HomeMy WebLinkAbout2004-08-24-9:00AM-RegularFILED
1004 AUG 2 0 P 4. 4q
Lh '.OUNTY CL RAZOS COUNTY
f C„YAN.1EX
BRYAN, TEXAS
UTY
NOTICE OF MEETING
AND AGENDA
BRAZOS COUNTY COMMISSIONERS COURT
THE C
SESSII
COUR
SUITE
1.
2.
Consid
3.
4.
MISSIONERS COURT OF BRAZOS COUNTY WILL MEET IN REGULAR
ON 24 AUGUST 2004 AT 9:00 A.M. IN THE COMMISSIONERS
OOM OF THE BRAZOS COUNTY COURTHOUSE, 300 E. 26TH STREET,
BRYAN, TEXAS.
and Pledge of Allegiance - Commissioner Mallard
for citizen's input and/or concerns.
take action on agenda items 3 - 31:
;st from Alma Fonseca, County Extension Agent, for approval to transfer $2,300
account #516400 to account #521000 to hire a temporary employee for the
ionist position which is currently vacant.
:t Amendment 03/04-43.1 thru 03/04-43.5.
5. P sonnel Change of Status.
6. P ment of Claims.
7. A roval of Election Contract between Brazos County and Texas Voting Systems for the
1 eptember 2004 Special Tax Limitation Election.
8. A ption of a Cellular Telephone / Pager Policy.
9. S the Allowance to be paid to Elected Officials, Department Heads and employees for
c ular telephones
Commissioners Court Agenda
24 August 2004
Page 2
10. Aptance of the transition of Canada Life Insurance Company to Jefferson Pilot
Fi cial Insurance Company, with no change in benefits.
11. Oer Authorizing the Issuance of $5,000,000 "Brazos County, Texas Certificates of
O iization. Series 2004" and other matters related thereto.
12. T Refund to Curtis Capps for property (R12077) purchased at a Sheriff's sale for
d nauent taxes.
13. C sider hiring a Consultant for Information Purposes related to the Tax Limitation
Election.
14. T Refund Applications for the following:
a. Baker & Carnes Investments L.L.C. e. Lius U. Rodriguez
b. Ann Brewster Baker f. Christopher Sanderson Spang
c. Thelma E. Boatwright g. James Tennard c/o Thelma M. Williams
d. Chistopher Designs Christopher Spang
15. Request from Juvenile Services for Approval of the Contract Employing Rachel DeLeon
as eacher for the Brazos County Academy. Term of service is 18 August 2004 through
3 my 2005.
16. R uest by Charles Ellis, Jr., Justice of the Peace, Precinct 1 for Permission to Purchase a
C Lhologv uter from WTI, Inc., a state-approved vendor, using monies from the J.P.
T Fund.
17. R uest by the Information Technology Department for Approval to Purchase Servers for
th Intranet Messaging System. Total cost is $14,339.00.
18. R uest by the Information Technology Department for Approval to Purchase the
S ware Upgrade for the Intranet Messaging System. Total cost is $5,000.00.
19. R~olution #04-013 Declaring Intention to Reimburse Certain Expenditures with
b owing proceeds.
20. A and of annual contract for carpet cleaning to Asure Carpet Cleaning. Term of
C tract will be from 1 October 2004 through 30 September 2005.
21. Ruest for permission to advertise Bid #2004-038, Janitorial Supplies.
22. A and of Bid #2004-034 Uniforms for Sheriff's Department to Lone Star Uniforms,
w , submitted the lowest bid. Term of Contract will be from 30 September 2004 until
3 entember 2005.
23. Ruest for permission to advertise Bid #2004-039 - Culverts, Various Types.
24. Rfouest for permission to advertise Bid #2004-040 - Lane Striping / Pavement Markers.
25. Request for permission to advertise Bid #2004-041 -Road Signs and Sign Posts.
Commissioners Court Agenda
24 August 2004
Page 2
11 26
27
28
for permission to advertise Bid #2004-042 - Equipment Lubricants.
for permission to advertise Bid #2004-043 - Heavy Machinery Rental.
for permission to advertise Bid #2004-044 - Rental of Equipment with Operator.
29. A eptance of Wellborn Special Utility District's cost estimate of $2,660.00 to relocate
a roximately 500 linear feet of 2-inch water line in the right of way of Kathy Fleming
R d to accommodate improvements to the roadway. Site is located in Precinct 1.
30. A eptance of a Special Warranty Deed from TLS Properties, Ltd. For improvements to
a rtion of North Dowling Road located in Precinct 1.
31. A roval of Lodging Expenses of $142.54 per day for Brett Blankner at the ESRI
C Ifference on 9-13 August 2004. Price paid per day was less than area host hotels
w ch had no rooms available on these dates.
32. Aowledgement of receipt of the Order Determining Compensation of Court
R orters.
33. AMknowledgement of receipt of the Order Determining Compensation of the County
A itor and the Assistant County Auditors.
34. A#ouncement of interest items and possible future agenda topics.
35. C for citizen input and/or concerns.
36. Atoncy / Board / Committee reports by Court members.
37.
The Brazos ounty Courthouse is wheelchair accessible. Handicap parking spaces are available. Any request for sign
interpretive ices must be made two business days before the meeting. To make arrangements, call (979) 361-4102.
1
-
COMMISSIONERS' COURT
REGULAR MEETING
AUGUST 24, 2004
Cd
A regular meeting of the Commissioners' Court of Brazos
nty, Texas was held in the Brazos County Commissioners
rtroom in the Courthouse in Bryan, Brazos County, Texas,
inning at 9:00 a.m. on Tuesday, August 24, 2004 with the
fq~lowing members of the Court present:
Randy Sims, County Judge, Presiding;
Eric Caldwell, Commissioner of Precinct 1;
Duane Peters, Commissioner of Precinct 2;
Kenny Mallard, Commissioner of Precinct 3;
Carey Cauley, Jr., Commissioner of Precinct 4;
Karen McQueen, County Clerk.
The attached sheet contains the names of the citizens and
officials that were in attendance.
Commissioner Mallard gave the invocation and led the
pledge of allegiance.
There was no citizen input/and or concerns.
The Court next considered a request from Dr. Alma
F
Seca, County
Extension
Agent, for
approval
to
transfer
f
ds from one
account
to another
to hire
a
temporary
e
loyee. Due to
a receptionist position
being vacant,
Dr.
F
seca will need
a temporary individual
for six weeks
at
ad~roximately 40 hours per week for an estimated cost of
$ 300.00. On motion by Commissioner Cauley, seconded by
L C PAGE x
C issioners Court meeting August 24, 2004 2
C issioner Peters, the Court voted unanimously to approve
t request to transfer $2,300.00 from account 516400 (Hourly
T porary) to 521000 (Employment Services).
The Court next considered Budget Amendment #03/04-43.1
t ough 43.5, that would reallocate funds for the Road and
B dge Department, Non Departmental, Sheriff-Jail
A' inistration, Brazos County Grant Fund-NTTF, and County
A icultural Extension. On motion by Commissioner Peters,
s onded by Commissioner Cauley, the Court voted unanimously
t approve the budget amendment as submitted, a copy of which
i attached.
The Court proceeded to consider the change of status of
e loyees as submitted on the attached Personnel Action
R uests. On motion by Commissioner Peters, seconded by
C issioner Cauley, the Court voted unanimously to
a rove the changes as submitted.
The Court next considered the following Claims as
s mitted by the County Treasurer for payment:
20066128 through 20066367
0 motion by Commissioner Cauley, seconded by Commissioner
P ers, the Court voted unanimously to approve the Claims as
s mitted.
The next matter before the Court was approval of a
L 6, C) PAGE
d3
C issioners Court meeting August 24, 2004 3
Contractual Agreement between Brazos County and Texas Voting
Systems (TVS) for the September 11, 2004 Special Tax
L itation Election. TVS will provide election supplies and
s vices to Brazos County at a cost of $15,100.00. The
C my Judge asked the County Clerk the cost of this election
w reupon she replied that it was approximately $40,000.00.
0 motion by Commissioner Cauley, seconded by Commissioner
P ers, the Court voted unanimously to enter into contractual
a eement with Texas Voting Systems. A copy of the
c tractual agreement is attached.
The next matter before the Court was consideration of a
Cj~lular Telephone/Pager Policy. Commissioner Mallard
e#lained the policy saying that there were two (2) options,
11 a county issued cell phone or 2), a cell phone allowance.
T County Auditor clarified that a Department Head, after
d
ermining who would qualify
for a cell
phone
could initiate
w'
h a Personnel Change of
Status
form.
On motion by
Cginmissioner Caldwell, seconded by Commissioner Mallard, the
C rt voted unanimously to approve the policy. Then on motion
b Commissioner Mallard, seconded by the County Judge, the
C ;rt voted unanimously to make the policy effective October
9,112004.
The Court next considered setting the allowance to be
L
L~
PAGE ;4
C issioners Court meeting August 24, 2004 4
p d to elected officials, department heads and employees for
c lular telephones. On motion by Commissioner Mallard,
sq~onded by Commissioner Peters, the Court voted unanimously
tglset an allowance of $40.00 per month for cell phones.
The next matter before the Court was acceptance of the
t nsition of Canada Life Insurance Company to Jefferson Pilot
F' ancial Insurance Company. Jefferson Pilot recentlv
p chased Canada Life Insurance Company. There will be no
c nge in benefits. On motion by Commissioner Mallard,
sq~onded by Commissioner Peters, the Court voted unanimously
tq'laccept the transition of Canada Life Insurance Company to
Jefferson Pilot Financial Insurance Company.
The County Judge skipped agenda item number 11.
The next matter before the Court was a tax refund to
C tis Capps for property (R12077) purchased at a Sheriff's
s e for delinquent taxes. The tract that he purchased has
p ven to be a duplicate and therefore non-existent. On motion
b Commissioner Peters, seconded by Commissioner Mallard, the
C rt voted unanimously to approve the refund of $2,600.00.
The next matter before the Court was the hiring of a
c#sultant for information purposes related to the Tax
LAtitation Election. This is for information purposes only.
Odd motion by Commissioner Mallard, seconded by Commissioner
L b,"O PAGE J5
Commissioners Court meeting August 24, 2004 5
C ley, the Court voted unanimously to approve the contract
anil the hiring of Kent Consulting. A copy is attached.
The next matter for consideration was approval of tax
and applications from the following individuals and/or
antes:
a) Baker & Carnes Investments L.L. C., Over Payment
$462.38
b) Ann Brewster Baker, Over Payment $662.65
c) Thelma E. Boatwright, Over Payment $5.66
d) Christopher Designs/Christopher Spang, Over
Payment $19.81
e) Luis U. Rodriguez, Over Payment, $110.88
f) Christopher Sanderson Spang, Over Payment
$189.14
g) James Tennard c/o Thelma M. Williams, Over
Payment $19.10
0 motion by Commissioner Peters, seconded by Commissioner
C dwell, the Court voted unanimously to approve the tax
rffund applications.
The Court next considered approval of a contract
loying a teacher for the Brazos County Academy at the
enile Justice Center. This is a 10 month contract for the
2
4-2005 school
year. Commissioner Caldwell
noted that
on
Pa
ge 3, Paragraph
17 it still says insert date.
This needs
to
b
fixed before
signing the document.
On motion
by
Cgrtmissioner Mallard, seconded by Commissioner Peters, the
C#rt voted unanimously to approve the contract to employ
el Deleon as teacher. A copy is attached.
L (-,O PAGE
C issioners Court meeting August 24, 2004 6
The next matter before the Court was a request by Charles
Ellis, Justice of the Peace, Precinct 1 for permission to
p chase a computer from WTI, Inc., for a more efficient
c nter operation. Commissioner Caldwell moved to approve the
r uest. Commissioner Peters seconded the motion. Commissioner
C ley said that by approving this request, the Court would be
i violation of the Computer Policy and it allows access to
other's computer passwords. The County Judge asked the
A itor if she had any concerns, which she replied that she
d' Commissioner Caldwell said that the problem could be
s ved. The IT Department just needs to decide to do it and
stop hindering elected officials from efficiency. The County
J ge asked the Auditor to get together with the IT Department
a Judge Ellis and see if they could come to a resolution.
J ge Ellis is requesting a computer capable of having three
w' dows open on one computer for the clerks to log in on. The
C my Judge then called for a vote. Commissioners Caldwell
a Peters voted "Aye". Commissioners Mallard, Cauley and the
C my Judge voted "Nay". The motion failed. On motion by
C issioner Mallard, seconded by Commissioner Peters, the
C curt voted unanimously to table consideration of this item.
The Court next considered the purchase of Servers for the
I ranet Messaging System. The cost of the servers is
L Lio
PAGE %
Commissioners Court meeting August 24, 2004 7
$11,339.00. On motion by Commissioner Peters, seconded by
C issioner Cauley, the Court voted unanimously to approve
t purchase of Servers.
The next matter before the Court was the purchase of
sgrtware upgrade for the Intranet Messaging System. The cost
o4lthe upgrade is $5,000.00. This is not a final copy of the
tract. On motion by Commissioner Peters, seconded by
C issioner Cauley, the Court voted unanimously to approve
t purchase subject to the contract being corrected and that
t re be no late fees as in item number 4. A copy is
a ached.
On motion by the County Judge, seconded by Commissioner
C ley, the Court voted unanimously to adopt Resolution #04-
0 Declaring Intention to Reimburse Certain Expenditures with
b rowing proceeds. Brazos County expects to incur a debt
a unt not to exceed $5,000,000.00 and intends to pay the
c is of certain projects including the purchase of land.
The next matter before the Court was awarding the annual
c tract for carpet cleaning. The Buyer for the Purchasing
D artment recommended Asure Carpet Cleaning. On motion by
C issioner Mallard, seconded by Commissioner Cauley, the
C rt voted unanimously to accept the recommendation of the
4er and award the contract to Asure Carpet Cleaning. A copy
L C~ PAGE
41
C issioners Court meeting August 24, 2004 g
o the bid tabulation is attached.
The next matter for consideration was approval for the
PI-chasing Agent to advertise Bid 2004-038, Janitorial
S plies. On motion by Commissioner Peters, seconded by
C issioner Caldwell, the Court voted unanimously to
a horize the Purchasing Agent to advertise for bids for
J itorial Supplies.
The Court next considered awarding Bid No. 2004-034,
U forms for Sheriff's Department. Pat Howard, Purchasing
A nt, recommended acceptance of the bid submitted by Lone
Star Uniforms. On motion by Commissioner Peters, seconded by
C issioner Cauley, the Court voted unanimously to accept the
r ommendation of the Purchasing Agent and award the contract
t Lone Star Uniforms. A copy of the bid tabulation is
attached.
The next matter for consideration was approval for the
P chasing Agent to advertise Bid 2004-039, Culverts, Various
T es. On motion by Commissioner Cauley, seconded by
C issioner Mallard, the Court voted unanimously to authorize
t Purchasing Agent to advertise for bids for culverts.
The next matter for consideration was approval for the
P chasing Agent to advertise Bid 2004-040, Lane
Striping/Pavement markers. On motion by Commissioner Cauley,
L (0 PAGE
C missioners Court meeting August 24, 2004 9
seconded by Commissioner Peters, the Court voted unanimously
t authorize the Purchasing Agent to advertise for bids for
L e Striping/Pavement markers.
The next matter before the Court was approval for the
P chasing Agent to advertise Bid 2004-041, Road Signs and
Si n Posts. On motion by Commissioner Cauley, seconded by
C issioner Peters, the Court voted unanimously to authorize
t Purchasing Agent to advertise for bids for Road Signs and
Sign Posts.
The Court next considered approval for the Purchasing
A cent to advertise Bid 2004-042, Equipment Lubricants. On
m ion by Commissioner Peters, seconded by Commissioner
C ley, the Court voted unanimously to authorize the
P chasing Agent to advertise for bids for Equipment
L ricants.
The next matter before the Court was approval for the
P chasing Agent to advertise Bid No. 2004-043, Heavy
M hinery Rental. On motion by Commissioner Peters, seconded
b Commissioner Cauley, the Court voted unanimously to
a horize the Purchasing Agent to advertise for bids for Heavy
Machinery Rental.
The next matter before the Court was approval for the
P chasing Agent to advertise Bid No. 2004-044, Rental of
L b 0, PAGE
Cc n issioners Court meeting August 24, 2004 10
E ipment with Operator. On motion by Commissioner Cauley,
s onded by Commissioner Peters, the Court voted unanimously
t authorize the Purchasing Agent to advertise for bids for
R tal of Equipment with Operator.
The Court next considered acceptance of the Wellborn
S cial Utility District cost estimate of $2,660.00 for
r 'Location of approximately 500 linear feet of 2 inch water
l# e in the right-of-way of Kathy Fleming Road in Precinct 1.
O motion by Commissioner Caldwell, seconded by Commissioner
C
ley,
the Court voted
unanimously to
accept the Wellborn
S
cial
Utility District
cost estimate
of $2,660.00 for
r4location of a water line.
The Court next considered acceptance of a Special
W~tranty Deed for right-of-way on North Dowling Road in
Pjtcinct 1. On motion by Commissioner Caldwell, seconded by
C
issioner Cauley, the Court
voted unanimously to
authorize
t
County Judge to accept
on behalf of Brazos
County a
S
cial Warranty Deed from
TLS Properties, Ltd.
for the
e ansion and improvements to North Dowling Road.
The next matter before the Court was approval of lodging
e enses of $142.54 per day for Brett Blanker at the ESRI
C ference in San Diego, California August 9th through 13th,
2 4. This price was lower than the host hotel but exceeded
6)o
L
PAGE 31
Co missioners Court meeting August 24, 2004 11
t amount allowable in the county travel policy. On motion
b Commissioner Caldwell, seconded by Commissioner Cauley, the
C rt voted unanimously to approve payment of lodging
e enses.
On motion by Commissioner Mallard, seconded by the County
J ge, the Court voted unanimously to acknowledge receipt of
t Order Determining Compensation of the Court Reporters of
t 85th, 272nd and 361St District Courts.
On motion by Commissioner Mallard, seconded by
C issioner Cauley, the Court voted unanimously to
a nowledge receipt of the Order Determining Compensation of
t County Auditor and Assistant County Auditors.
At this point, the County Judge returned to agenda item
11, adopting an Order Authorizing the Issuance of
$E4000,000.00 "Brazos County, Texas Certificates of
O igation, Series 2004" and other matters related thereto.
Bill Newman, representative of Public Financial Management
( M), informed the Court that he had received 11 bids, that
t County maintained a AA rating and qualified for an
i erest rate of 4.147425 percent. On motion by Commissioner
M lard, seconded by Commissioner Peters, the Court voted
u nimously to approve the bid of 4.41475 percent interest,
s' ned the Order and Levy of Tax. A copy of the Order is
L ~O PAGE
C issioners Court meeting August 24, 2004
a ached.
12
Under announcement of interest items and possible future
a#nda topics the following spoke:
Demerle Giordano
a) Said that there will be some
activation of pipelines beginning on
Friday and will continue for a couple
of weeks from Wallace Road to the
Bryan city limits. This is safe but
noisy.
There was no citizen input and/or concerns.
Under Agency/Board/Committee reports by Court members,
t following spoke:
County Judge
a) received a letter in reference to HB 2060 stating
that the County will no longer be receiving funds
from permits but will be receiving materials instead.
b) There will be a meeting this afternoon on the budget
beginning at 1:00 p.m. and then one at 3:00 p.m. on
the tax rate.
There being no further business to come before the
Cq*rt, the meeting was adjourned.
L b0
PAGE -3
T foregoing minutes of the Commissioners Court meeting held
A ust 24, 2004 have been examined and are approved in open
Court this the rd day of -N p'crOx-r 2004, in Bryan,
B zos County, Texas.
dy
Cg*nt;f Judge
D u+ ne Peters
C i issioner, Precinct 2
ey CaLley, Jr.
miss oner, Precinct
Atlttest :
Keen McQueen
C my Clerk
0 l,,
Eric Caldwell
Commissioner, Precinct 1
Kenny Mallar
Commissioner, recinct
L PAGE
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BRAZOS COUNTY, TEXAS
BUDGET AMENDMENT(S) FOR THE 2003-2004 BUDGET YEAR
NO. 03/04-43.1 thru 03/04-43.5
members
The
2003
the 24`h day of August 2004 at a regular meeting of the Commissioners' Court, the following
present:
Randy Sims, County Judge, Presiding
Eric Caldwell, Commissioner, Precinct 1
E. Duane Peters, Commissioner, Precinct 2
G. Kenny Mallard, Commissioner, Precinct 3
Carey Cauley, Jr., Commissioner, Precinct 4
Karen McQueen, County Clerk
proceedings were held:
T WHEREAS, on 24 August 2004 the Court heard and approved a budget amendment for the
zdget year for Brazos County, Texas.
REAS, an expenditure is necessary due to the necessity to meet unusual and unforeseen
conditions hich could not be reasonably included in the original budget adopted 12 September 2003 the
following endment(s) to the original are hereby authorized, as described on the attached page(s).
A PTED AND APPROVED this the 24`h day of August 2004.
THE COWSSIONERS' COURT OF BRAZOS COUNTY, TEXAS.
By:
ims, County Judge
Original: I ounty Clerk's Office and
ttached to the original budget
Copies: ounty Auditor
ounty Treasurer
ommissioners' Court Minutes
BUDGET AMENDMENTS
No. 03/0443.1
8/24/2004
FD
DIV
ACCT
PROJ
DR/CR
ACCOUNT NAME
Increase
Decrease
01
560010
725900
CR
Professional Fees -Other
60,000.00-
01
560010
656700
DR
R&B-Maintenance-General
60,000.00
Road & B
d e Admin
istration
To realloc
funds for general main
tenance to be used for the remainder of fiscal year.
,000.00
60,000.00
if'
/x.7/2004
Apprcved_.l3
llatc:
90
A
BUDGET AMENDMENTS
No. 03/04-43.2
8/24/2004
FD
DIV
ACCT
PROJ
DR/CR
ACCOUNT NAME
Increase
Decrease
01
110005
720900
CR
Auditor-External
13,300.00
01
110005
725900
DR
Professional Fees - Other
13,300.00
Commissi
er's Court - Non-De artmental
To realloc
funds for t
he cost of consultin fees on tax freeze.
s
l V00.00
13,300.00
))1OVi (~ti , _ ri
t J /
BUDGET AMENDMENTS
No. 03/04-43.3
8/24/2004
FD
DIV
ACCT
PROJ
DR/CR
ACCOUNT NAME
Increase
Decrease
01
280020
618060
CR
Travel-Inmate Transport
1,000.00
01
280020
721570
DR
Counseling Services
1,000.00
Sheriff De
artment - Jail Adminis
tration
To realloc
funds to cover counseling services for the remainder the of fiscal year.
100.0
1,000.00
red~By
: ifj
f
A.1~Pr'vcl By:
~
;
j
n t'i
ern r
l pp
/AO/20
8A9/2041'
S
y 3 jy'. S ."is3'
W..` tt
£
t
'ir k,l r `s .!k,
a
M
BUDGET AMENDMENTS
No. 03/04-43.4
8/24/2004
FD
DIV
ACCT
PROJ
DR/CR
ACCOUNT NAME
Increase
Decrease
30
2821
614000
282104
CR
Insurance
3,000.00
30
2821
672860
282104
DR
Equipment - Other
3,000.00
Brazos C
n Grant Fund -NTTF
To realloc
monies to reimburse the S.O. Crime Fund for vests purchased. This information is
provided f
informational purposes only.
3,DO-W
3,000.00
cd Y, s"
~
~la •
?fj
:
i?
p~roved 13y y~
4.
r s
r
'?I.Gr+
r:.
~
a
/1~/Z 1)0
p ~F
r Md7 7 1' r.
del!
BUDGET AMENDMENTS
No. 03/04-43.5
8/24/2004
FD
DIV
ACCT
PROJ
DR/CR
ACCOUNT NAME
Increase
Decrease
01
370001
516400
CR
Hourly- Temporary
2,300.00
01
370001
521000
DR
Employment Services
2,300.00
A
I
.
~,vu.ii ri i~uiiui C raiCUaivu
To reallocaki funds to create a temporary position to fill a vacant position.
19
00 1 \ 2,300.00
t6-
PERSONNEL CHANGE OF STATUS
Page I of I
CO T DATE: August 24, 2004
DE RTMENT: Personnel
PU OSEs Approve Personnel Change of Statue
son
DEP TMENT NAME EMPLOYEE NAME ACTION REQUESTED
'S OFFICE -
GWIN, JUSTIN
SIMPSON, HARRROLD
RESIGNATION
RETIREMENT
SERVICES-
PAROLE
LAMAR, DELECIA K. NEW HIRE
CO. *1PRICULTURE EXTN. MOLDENHAUER, LORI RESIGNATION
AND BRIDGE
CORRAL, HIGINIO
FOSTER, ANTHONY
MENDEZ, BISENTE
MENDEZ, DAVID
RETIREMENT
DISCHARGED
RETIREMENT
RETIREMENT
Appr ed in Commissioners' Court:
Coun Judge's or Commissioner's Si
(This py to be attached to minutes)
VOL PAGE ~3
~-ff 7
THE STATE F TEXAS §
COUNTY O RAZ;OS §
This c,tract made and entered into this the ALth day of August 2004, by and between TEXAS
VOTING SY EMS, INC., a Texas Corporation, and the COUNTY OF BRAZOS, State of Texas.
WITNESSETH:
Texas Voting Systems, Inc. is the business of selling election services and supplies; and
Whe' s, the BRAZOS COUNTY is desirous of employing the services of Texas Voting Systems, Inc. in
connection wi the BRAZOS COUNTY TAX LIMITATION ELECTION be held on September 11, 2004 in
Brazos Coun Texas;
Now, herefore, in consideration of the premises and mutual promises and obligations herein set forth, it
is agreed that:
I
VOTING SYSTEMS, INC. will provide the following supplies:
(a) F (50) custom gathered election sets to include the five Early Voting locations, one Early
Voting Ballot Board set and one Central Counting set.
e pad lock seals
(b) fi
(c) P inct polling place supply packs as required
ing material and supplies
(d) T n
II
VOTING SYSTEMS, INC. will provide the following services:
(a) , required programming for above mentioned election.
(b) iver, set up, pick up and monitor training of Election Judges and Clerks
(c) Pi t define eSlates (voting devices) and Judge's Booth Controllers (JBCs )
(d) iver, set up and pick up all equipment for he Early Vote locations
(e) D iver and pick-up equipment for election day
(f) k up and reset eSlates (voting devices) and Judge's Booth Controllers (JBCs) after the election
(g) ist with Early Voting as required.
(h) ist with assembling all supplies for use in the individual precincts.
(i) istance on election day, as required, to include the Central Counting Station.
0) P vide any consulting services before and after the above mentioned election.
(k) P vide help crew on election day.
(1) trip to Austin, one trip to Houston to deliver faulty equipment for repair.
T, _
III
The C,
duties and obli
on September
:JNTY OF BRAZOS, State of Texas, will be responsible for, and hereby assumes the following
tions in regard to the BRAZOS COUNTY SPECIAL TAX LIMITATION ELECTION to be held
. 2004:
(a) Pa ` ent of all invoices, Election Judges, Alternate Judges, and Clerks of Election, to include the
Ce ral Counting Station.
(b) Fu fish Texas Voting Systems, Inc. a complete list of all issues to be conducted in the above
m , tioned election.
(c) Al eports, expense accounts, canvass of the election, conduct of the election at the individual polling
pl , and any other statutory requirements as required by the Texas Election Code and/or the
F ral Voting Rights Act.
IV
The c sideration to be paid by BRAZOS COUNTY to TEXAS VOTING SYSTEMS, INC. for the
services rend 'ed and supplies provided by said corporation for the BRAZOS COUNTY SPECIAL TAX
LIMITATION LECTION to be held on September 11, 2004 is FIFTEEN THOUSAND ONE HUNDRED
DOLLARS NO CENTS ($15,100.00).
IN Wl~ gESS WHEREOF, the parties have hereunto set their hands, this 94 th day of August, 2004.
COUNTY OF OS TEXAS VOTING SYSTEMS, INC.
Randy Sims Hillie D. Sims
County Judge Vice President
ATTEST:
County Clerk
ae1edions212004 B Tax Freeze Contract
CELLULAR PHONE /PAGER POLICY
BRAZOS COUNTY, TEXAS
The purp e of this policy is to provide guidelines for the assignment, use and control of
cellular tE -1 ?phones/ pagers and to ensure such equipment is used in the most efficient and
ethical m er. The acquisition and use of cellular telephones/pagers by Brazos County
departme and employees shall be in accordance with Penal Code 39.02(2).
& ACQUISITION
The assi ent of a cellular telephone/pager shall be based on an employee's need for
immediat communication as deemed necessary by the Department Head or Elected Official.
The assignment of cellular telephones/ pagers should not be considered a benefit to County
employee; but a necessary tool. The Department Head or Elected Official should not assign
cellular t phones/pagers when a less costly alternative is safe and effective (i.e. two-way
radio, lan a phone, etc.)
As an al dative to Coun owned cellular tgle hones the Department Head or Elected
Official, y choose to give an allowance to an employee who needs a cellular telephone, but
would nc t be able to use it for County purposes only. This decision will be at the discretion of
the Depa ent Head or Elected Official. In this instance, the employee would be compensated
with an owance that is the same as the standard cellular telephone rate established by
Commiss ners Court. Continued allowance toward the cellular telephone is contingent on
providin a front page of the monthly statement to the Department Head/Elected Official on
at least a arterly basis.
The Purc fiected ng Department shall maintain a master list of all employees who have acquired a
Brazos C ty issued cellular telephone/ pager. In addition, all cellular telephones/ pagers will
be acquir through the County's contract provider. All changes in service must be processed
through chasing to keep records accurate. It shall be the responsibility of the Department
Head or Official to ensure that sufficient funds are budgeted for the monthly
operation costs associated with cellular telephones/ pagers prior to assigning a cellular
telephon pager to an employee. Please note that cell phone expenditures should be charged
to line ite 61750000 "Telephone - Cellular" and pager expenditures should be charged to line
item 6146, "Pagers" within each department's budget.
USE OF IQOUNTY OWNED CELLULAR TELEPHONES/PAGERS
• C ular telephones/ pagers are to be used for the conduct of County business and
sh Id not be misused for personal communication.
• C ular telephones/pagers should not be used when a less costly alternative is safe,
co enient and readily accessible (i.e. two-way radio, landline phone, etc.).
• U, g a cellular telephone while operating a vehicle is strongly discouraged.
t -4&
• C ular transmissions are not secure; therefore, employees should use discretion in
re ying confidential information. Reasonable precautions should also be made to
pr Went equipment theft and vandalism.
CELLUL41Z TELEPHONE/PAGER MISUSE
Any abu which indicates inordinate use of cellular devices or pagers, will be considered
miscond and neglect of duty, subject to removal of cellular telephone/pager usage and/or
discipline action up to and including termination.
ADMINWRATION
The Dep ent Head or Elected Official shall be responsible for the administration and
adherenc of the Cellular Telephone/ Pager Policy & Procedures for their department. This
Policy car 'be more restrictive if the Department Head or Elected Official deems necessary, but
shall nev be less restrictive.
CELLULAR TELEPHONE/PAGER AGREEMENT
As an e loyee of Brazos County, I, . recognize and
understanc that cellular telephones/pagers are provided for employee use in support of the
business erations of Brazos County and are to be used for legitimate business purposes. I
further erstand that the equipment belongs to Brazos County and is to be used in an
effective, 'cient, ethical and lawful manner.
I am aw a that Brazos County reserves the right to review, audit and inspect cellular
telephone ,ager records at any time, with or without notice.
I unders d that I am responsible for good care and maintenance of my assigned cellular
telephone ager and will be required to pay for any damage done to this equipment due to my
negligence. I also acknowledge that I become fully liable to Brazos County for the full
replacem t cost of any lost cellular telephone/ pager equipment.
I am awathat my assigned cellular telephone/pager may be reassigned or withdrawn at any
time, withr without notice, at the discretion of the Department Head or Elected Official.
I unders d that I will surrender my cellular telephone/pager upon termination of
employm , t (voluntary or involuntary termination, including retirement). At this point, I am
aware tha o further use of my cellular telephone/pager is authorized.
I certify acknowledge that I have read and understand Brazos County's policy regarding
cellular t phone/pager usage and will comply with the terms and conditions stated
Employee
Date Signed
Cellular 44phone Number Assigned
Pager Nu ber Assigned
CELLUL R TELEPHONE ALLOWANCE PLAN
Plan Rate
As an e loyee of Brazos County, I, , agree to make my
personal 'cellular telephone number available as required by my Department
Head/El ted Official when opting for Brazos County Cellular Telephone Allowance
Plan.
I agree t ubmit a copy of the front page of my cellular telephone bill at least quarterly,
or as req sted, to my Department Head/ Elected Official.
Employ Signature Date
Cellular lephone Number Allowance (Amount to be set by
Commissioners Court)
As the partment Head or Elected Official, I understand I am responsible for this
employ use and care of the assigned cellular telephone/ pager.
Signatur f Department Head/ Date Signed
Elected Ofticial
• All lissuance of County owned cellular telephones/pagers shall be initiated by the
Pu hasing Department.
APPROVED AS TO CONTENT AND FORM:
y Sims, County Judge
VOL PAGE q
date
BRAZOS COUNTY, TEXAS
ACCOUNTING PROCEDURES MANUAL
CELLULAR TELEPHONE ALLOWANCE
Date:
Au
By: Commissioner's Court
County Auditor
To esta sh standard procedures for cellular telephone allowance for County
emnlov
FOR THE CELLULAR TELEPHONE ALLOWANCE
1.) a Department Head/Elected Official should determine whether the
Department Head/Elected Official will be assigned a County cellular
lephone or pager or if they will be receiving a cellular telephone allowance.
's decision should be made prior to the publication of the proposed
alaries, which will be published after July 3111 each year.
2.) a Department Head/Elected Official should designate the employee to
eceive the cellular telephone allowance by completing the Cellular
elephone Agreement and completing a Personnel Action Form for the
mployee to receive the allowance. The original signed copy of the
greement should be attached to the Personnel Action Form and submitted to
3.) „ he Personnel Action Form and the Cellular Telephone Agreement should
eflect the monthly amount to be received by the employee. This amount will
based on 24 pay periods.
4.) he Department Head/Elected Official should require the employee to turn
n a copy of the first page of the monthly cellular phone bill at least quarterly.
e Department Head/Elected Official should attach these copies to each
rbul ployee's personal timesheet, which is to be kept in their office.
5.) order to terminate the allowance, a Personnel Action Form must be
m
itted d to Personnel and signed by the Department Head/Elected Official.
ivL 0~ F r 1
JEFFERSON PILOT
FINANCIAL
Ira)
July 8, 20041
Brazos Coui
ATTN: Lorr<
300 E. 26th 14
Bryan, TX 77
e Nichols
eet, Ste 107
Dear Ms. Nichols :
Welcome to fferson Pilot Financial Insurance Company. We have transitioned your policy from Canada Life to
Jefferson Pil ;and are pleased to have you as a customer! As you begin to administer your policy, you may
have questions. Jefferson Pilot Financial understands that you area busy professional who appreciates prompt,
friendly custo er service. For your convenience, we have provided you with our toll-free client management
telephone nu er listed below. This telephone number can be used for policy administration, life and disability
claims and d tal claims and eligibility questions.
• ClienpPanagement (800) 423-2765
• Pres 1 and enter your account number(s) which is/are 232859. NOTE: if you have multiple
acco t numbers just choose one and enter it.
• Your I4all will be directed to our client management team who will assist you in any and every
way tWt we can.
Our dedicate lient Management team will be here for you and we want you to know that Customer Service is
our mission a of our products-delivered to you in real-time, every time---anyway you want it. We believe to
deliver the be customer service experience in the insurance industry, we have to hold ourselves to the highest
possible stan rds. We believe that customer service is proactive.... it happens before anything goes wrong.
We would als ke to introduce our On-line Services, which offers 24-hour real time access to all your account
information. If u're looking for a way to simplify or eliminate administrative hassles, On-line Services is for
you. Our On-li Services functionality allows you to do all of the following and much more:
• Subnlll Life and Disability claims. View Life, Disability and Dental claims status on-line
• Enrol[ ew members on-line, add, change or terminate members, then recalculate your bill to
reflec he actual amount you owe, and pay your bill on-line and in real time
• Revie bills and payment status on-line
• View d print group forms, administration guidelines, contracts and certificates on-on-line
.ALL IN REA1U TIME!
It's easy to re ter! Simply visit our Web site at www.jpfic.com, and within 24 hours your selected user id and
password will authenticated and a confirmation will be emailed to you.
Again, welco to the Jefferson Pilot Financial Insurance Company!. Remember we are here to provide great
service and ar excited to have the opportunity to work with you. We want your transition to our company to be
seamless and ooth and the beginning of a long-term relationship. Please contact us at 800-423-2765 with
any questions u may have. Any one of our specially trained Client Management Representatives will be
available and le to assist you!
JEFFERSON PILOT Jefferson Pilot Financial Insurance Company
FINANCIAL 8801 Indian Hills Drive, Omaha NE 68114-4066
(402) 361-7300 A Stock Company
Group
Brazos County
In Co 'ideration of the Group Policyholder's application for this Policy and payment of all
premiu r. is when due, Jefferson Pilot Financial Insurance Company agrees to make the payments
provid in this Policy to the persons entitled to them.
The first premium for this Policy is due on its effective date. Subsequent premiums are due on
July 1, 004, and on the same day of each month after that. Policy anniversaries will be each
Janua 1st; unless shown otherwise on the Premium Rate Schedule inside.
The pr isions and conditions set forth on the following pages are a part of this Policy, as fully
as if re ted over the signatures below.
Jeffers Pilot Financial Insurance Company has executed this Policy at its Home Office in
Omah ebraska. The issue date of this Policy is March 1, 2004.
s
'sxecutive Officer
V4&0_G,s
Secretary
WORKERS' COMPENSATION INSURANCE NOTICE
THIS I NOT A POLICY OF WORKERS' COMPENSATION INSURANCE. THE EMPLOYER
DOES OT BECOME A SUBSCRIBER TO THE WORKERS' COMPENSATION SYSTEM BY
PURC SING THIS POLICY. IF THE EMPLOYER IS A NON-SUBSCRIBER, THE
EMPL ER LOSES THOSE BENEFITS WHICH WOULD OTHERWISE ACCRUE UNDER
THE RKERS' COMPENSATION LAWS. THE EMPLOYER MUST COMPLY WITH THE
WO RS'. COMPENSATION LAW AS IT PERTAINS TO NON-SUBSCRIBERS. THE
REQ D NOTIFICATIONS MUST BE FILED AND POSTED.
GROUP INSURANCE POLICY
No. 000860051003
PROVIDING
LIFE INSURANCE
ACCIDENTAL DEATH AND DISMEMBERMENT INSURANCE
DEPENDENT INSURANCE
GL110 TITLE PAGE 95
f 03/01/04
VOL
TABLE OF CONTENTS
Sc dule of Insurance ......................................................................................................3
De itions ........................................................................................................................4
General Provisions ...........................................................................................................5
Pro sions Applicable to Participating Employers ..........................................................6
Eli ility and Effective Dates for Personal Insurance ....................................................7
Ind idual Terminations ...................................................................................................8
Co nuation of Coverage ................................................................................................9
Pre , iums and Premium Rates .........................................................................................10
Gram, Period .....................................................................................................................12
Pol Termination ...........................................................................................................12
Be iciary .......................................................................................................................13
Fac X ty of Payment ..........................................................................................................14
De Benefit ...................................................................................................................14
Sett ment Options ...........................................................................................................14
Ext sion of Death Benefit ..............................................................................................15
Acc erated Death Benefit ...............................................................................................16
Con rsion Privilege
Dep dents Life Insurance ...............................................................................................19
Clai s Procedures for Life or Accidental Death and Dismemberment Benefits ............21
Acc ental Death and Dismemberment Insurance ...........................................................24
Safe river Benefit ..........................................................................................................28
Prior Insurance Credit Provision ......................................................................................29
Noti6 ...............................................................................................................................30
GL1101 -1
2 03/01/04
OL~~ PG v
SCHEDULE OF INSURANCE
The amount c
coverage is th
An Insured Pe
such increase
(1) the f
that
(2) the
(3) the
Any decrease
the change; w
The amount 4
as a result of
an Insured Person's insurance is determined from the following table. The initial amount of
amount which applies to an Insured Person's Class on the date his or her coverage takes effect.
on may become eligible for increases in the amount of insurance in accord with the table. Any
ill take effect on the latest of:
st day of the Insurance Month which coincides with or follows the date on which the
Person becomes eligible for the increase; provided he or she is Actively at Work on
Y;
y the Insured Person resumes Active Work, if not Actively at Work on the day the
e would otherwise take effect; or
any required evidence of insurability is approved by the Company.
take effect on the first day of the Insurance Month which coincides with or follows the day of
;r or not the Insured Person is Actively at Work.
Insured Person's Life Insurance shall be reduced by the amount of any Life Insurance in effect
rising the rights under the Conversion Privilege section of this Policy.
CLASSIFICATION
Class 1 All Full-Time Employees
WAITING 1
(a) N(
(b) 30
GL1101-2
)D (For date insurance begins, refer to "Effective Date" section)
r employees who were hired on or before the Policy Issue Date.
of continuous Active Work for employees who were hired after the Policy Issue Date.
3
03/01/04
L
SCHEDULE OF INSURANCE (CONTINUED)
BASIC INSURANCE
LIFE AND AD&D INSURANCE
Amount of Personal
Life Insurance
Class 1
Personal Life
- At age 65,
- At age 70,
- At age 75,
- At age 80,
Benefits will t
$20,000
AD&D Insurance will be reduced as follows:
.efits will reduce by 35% of the original amount;
.efits will reduce an additional 20% of the original amount;
.efits will reduce an additional 15% of the original amount;
efits will reduce an additional 10% of the original amount.
inate when the Insured Person retires.
AD&D Insurance
Principal Sum
$20,000
If the Insured rson first enrolls for Personal Life and AD&D Insurance at age 65 or older, the above age
reductions will pply to:
- Any Guaraj ee Issue Amount available without evidence of insurability; and
- The maxim.- rn amount of insurance for which he or she is eligible.
Insured Person are not required to make contributions for Basic Personal Life Insurance and AD&D Insurance
GL1101-2
3-2
03/01/04
SCHEDULE OF INSURANCE (CONTINUED)
OPTIONAL INSURANCE
LIFE AND AD&D INSURANCE
Amount of Personal AD&D Insurance
Life Insurance Principal Sum
Class 1
Personal Life a
- At age 65,
- At age 70,
- At age 75,
- At age 80,
Benefits will to
If the Insured
reductions wil
- Any Guam
- The maxis
Basic Ann
Group Poli
prior to the
It does not ins
income from
Policyholder's
A Person may elect Optional Life
Insurance in any $10,000 increment;
subject to a maximum of Five times Basic
Annual Earnings. Coverage is subject to
an overall maximum of $500,000
A Person may elect Optional AD&D
Insurance in any $10,000 increment;
subject to a maximum of Five times Basic
Annual Earnings. Coverage is subject to an
overall maximum of $500,000
AD&D Insurance will be reduced as follows:
refits will reduce by 35% of the original amount;
refits will reduce an additional 20% of the original amount;
refits will reduce an additional 15% of the original amount;
refits will reduce an additional 10% of the original amount.
inate when the Insured Person retires.
i first enrolls for Personal Life and AD&D Insurance at age 65 or older, the above age
to:
Issue Amount available without evidence of insurability; and
amount of insurance for which he or she is eligible.
arnings means the Insured Person's annual base salary or annualized hourly pay from the
ler before taxes on the determination date. The determination date is the last day worked just
commissions, bonuses, overtime pay, or any other extra compensation. It does not include
•ce other than the Group Policyholder. It will not exceed the amount shown in the Group
cial records or the amount for which premium has been paid, whichever is less.
Evidence of in rability must be submitted to and approved by the Company for:
1. Option Personal Life and AD&D Insurance amounts in excess of $50,000 at initial enrollment;
2. any in ases (salary or benefit) to the current amount of Optional Personal Life and AD&D
Insuran ` after the initial enrollment; and
3. all am is of Optional Personal Life and AD&D Insurance if initially enrolled more than 31
days a
first becoming eligible.
rqT
Evidence of in rability must be submitted to and approved by the Company for:
1. Optional Personal Life and AD&D Insurance amounts in excess of $20,000, if initially enrolled
after ag 60 through age 69; and
2. all amounts of Optional Personal Life and AD&D Insurance if initially enrolled more than 31
days a first becoming eligible.
GL1101-2
3-3
. 55
%
03/01/04
SCHEDULE OF INSURANCE (CONTINUED)
Evidence of it
1. all am(
2. all am
days ai
An Insured
the Basic It
GL1101-2
ability must be submitted to and approved by the Company for:
:s of Optional Personal Life and AD&D Insurance if initially enrolled after age 70; and
is of Optional Personal Life and AD&D Insurance if initially enrolled more than 31
first becoming eligible.
may elect Optional Personal Life Insurance, provided such Insured Person is also enrolled in
Program.
3-4
03/01/04
SCHEDULE OF INSURANCE (CONTINUED)
DEPENDENTS INSURANCE
(For Class 1)
Dependent
Spouse
Amount of
Spouse
Life Insurance
A Person may elect Optional
Spouse Life Insurance in any
$5,000 increment; subject to a
maximum of 50% of the Insured
Employee's Optional Life
Insurance Benefit. Coverage is
subject to an overall maximum
of $250,000
Spouse AD&D
Insurance
Principal Sum
A Person may elect Optional
Spouse AD&D Insurance in any
$5,000 increment; subject to a
maximum of 50% of the Insured
Employee's Optional AD&D
Insurance Benefit. Coverage is
subject to an overall maximum
of $250,000
Amount of Child Life Insurance
Dependent C
(birth to
21 years
years,
older, if a full-time student)
$10,000
Spouse Life a
AD&D Insurance will be reduced as follows:
- by 50% of
e original amount when the Insured Employee attains age 70.
Spouse Insur
w
e will terminate when the Insured Employee attains age 75.
Evidence of in
9
rability must be submitted to and approved by the Company for:
1. Option
Spouse Life and AD&D Insurance amounts in excess of $25,000 at initial enrollment;
2. any in
eases (salary or benefit) to the current amount of Optional Spouse Life and AD&D
Insur
a after the initial enrollment; and
3. all am
is of Optional Spouse Life and AD&D Insurance if initially enrolled more than 31 days
after fi
becoming eligible.
Evidence of in ' lability must be submitted to and approved by the Company for:
1. Option Spouse Life and AD&D Insurance amounts in excess of $10,000, if initially enrolled
after a 60 through age 69; and
2. all am is of Optional Spouse Life and AD&D Insurance if initially enrolled more than 31 days
after fi becoming eligible.
Evidence of in rability must be submitted to and approved by the Company for:
1. all am is of Optional Spouse Life and AD&D Insurance if initially enrolled after age 70; and
2. all am is of Optional Spouse Life and AD&D Insurance if initially enrolled more than 31 days
after fi becoming eligible.
Dependents L
An Insured Pi
Person is also
GL1101-2
Insurance may not exceed the Insured Person's amount of Life Insurance.
may elect Optional Dependent Life Insurance (Spouse and/or Child), provided such Insured
lled in the Optional Life Insurance Program.
3-5 03/01/04
7
SCHEDULE OF INSURANCE (CONTINUED)
Insured Per
Spouse Life
Facility of
The followi
the Social S
Note: Persons
If any
GL1101-2
are required to make contributions for Optional Personal Life Insurance, AD&D Insurance,
D&D Insurance and Child Life Insurance.
Amount: $2,000
t applies to the Extension of Death Benefit provision when benefits end upon attainment of
Normal Retirement Age:
Year of Birth
Normal Retirement Age
1937 and prior
65
1938
65 and 2 months
1939
65 and 4 months
1940
65 and 6 months
1941
65 and 8 months
1942
65 and 10 months
1943 - 54
66
1955
66 and 2 months
1956
66 and 4 months
1957
66 and 6 months
1958
66 and 8 months
1959
66 and 10 months
1960 and later
67
on January 1 of any year should refer to the Normal Retirement Age for the previous year.
insurability is required, it will be provided at the Person's own expense.
3-6
03/01/04
VOl 66 PAGE
DEFINITIONS
ACTIVE W(
duties of his c
(1) the c
(2) any
or ACTIVELY AT WORK means an employee's full-time performance of all customary
occupation at:
UP POLICYHOLDER'S place of business; or
business location where the employee is required to travel.
Unless disable on the prior workday or on the day of absence, an employee will be considered Actively at
owing days:
Work on the Iu
(1) a Sat day, Sunday or holiday which is not a scheduled workday;
(2) a paivacation day, or other scheduled or unscheduled non-workday; or
(3) an a se
d or emergency leave of absence (except a medical leave).
COMPANY rnpans Jefferson Pilot Financial Insurance Company, a Nebraska corporation, whose Home Office
address is 880 14 Indian Hills Drive, Omaha, Nebraska 68114-4066.
DAY OR DA means at 12:01 A.M., Standard Time, at the GROUP POLICYHOLDER'S place of business;
when used will. regard to eligibility dates and effective dates. It means 12:00 midnight, Standard Time, at the
same place; w. j n used with regard to termination dates.
FULL-TIME PLOYEE means an employee of the GROUP POLICYHOLDER:
(1) who employment with the GROUP POLICYHOLDER is the employee's principal
occu tion;
(2) who not a temporary or seasonal employee; and
(3) who 11, ~ ` regularly scheduled to work at such occupation at least 40 hours each week.
GROUP POL YHOLDER means the person, partnership, corporation, or trust as shown on the Title Page of
this Policy.
INSURANCE ONTH means that period of time:
(1) beginning at 12:01 A.M. Standard Time, at the GROUP POLICYHOLDER'S place of business
on t first day of any calendar month; and
(2) endi at 12:00 midnight on the last day of the same calendar month.
INSURED PE SON means a PERSON for whom the coverages provided by this Policy are in effect.
PERSON mea a FULL-TIME EMPLOYEE of the GROUP POLICYHOLDER:
(1) who a member of an employee class which is eligible for coverage under this Policy; and
(2) who s completed an enrollment form.
PERSONAL SURANCE means the insurance provided by this Policy on Insured Persons.
PHYSICIAN ans a licensed practitioner of the healing arts other than the Insured Person or a relative of the
Insured Person.
POLICY
GL1101-3 91
this Group Insurance Policy issued by the Company to the Group Policyholder.
4
(REV)
03/01/04
VA fix; PAGE
GENERAL PROVISIONS
ENTIRE CO]
(1) this
(2) the ]
(3) the ]
All statement
No statement
(1) it is
(2) a co
'RACT. The entire contract between the parties consists of
►licy and the Group Policyholder's application (a copy is attached);
rticipating Employer's participation agreement; and
ured Persons' enrollment cards, if any.
nade by the Group Policyholder and by Insured Persons are representations and not warranties.
ade by an Insured Person will be used to contest the coverage provided by this Policy; unless:
ntained in a written statement signed by that Insured Person; and
of the statement is furnished to the Insured Person or Beneficiary.
Only an Office of the Company may change this Policy or extend the time for payment of any premium. No
change will b alid unless made in writing and signed by an Officer of the Company. Any change so made will
be binding on 1 persons referred to in this Policy.
INCONTEST ILITY. Except for the non-payment of premiums, the Company may not contest the validity of
this Policy as any Insured Person after it has been in force for two years during his or her lifetime. This
clause will no ffect the Company's right to contest claims made for disability, accidental death, or accidental
dismemberme benefits.
NONPARTICATION. This Policy will not be entitled to share in the surplus earnings of the Company.
BASIS OF RE RVE. The reserve for this Policy will not be less than the reserve computed using:
(1) the 1 0 Intercompany Group Life Disability Valuation Table; and
(2) inter at not less than three percent per annum.
INFORMATI TO BE FURNISHED. The Group Policyholder and Participating Employers may be required
to furnish any nformation needed to administer this Policy. Clerical error by the Group Policyholder or
Participating ployer will not:
(1) affec he amount of insurance which would otherwise be in effect; or
(2) conti a insurance which otherwise would be terminated.
Once an error
s discovered, an equitable adjustment in premium will be made. If a premium adjustment
involves the re t
m of unearned premium, the amount of the return will be limited to the twelve month period
which precede
he date the Company receives proof such an adjustment should be made.
The Company
ay inspect any of the Group Policyholder's records (and Participating Employers' records)
which relate to
is Policy.
MISSTATEM
T OF AGE. If an Insured Person's age has been misstated, premiums will be subject to an
`
equitable adjust
ent. If the amount of benefit depends upon age; then the benefit will be that which would have
been payable,
sed upon the person's correct age.
CERTIFICATE
S. The Group Policyholder 'will be furnished with individual Certificates for.delivery to each
'
Insured Person
These certificates summarize the benefits provided by this Policy. If there is a conflict between
'
the Policy and
e Certificate, the Policy will control.
CONFORMI
WITH STATE STATUTES. If any provision of this Policy conflicts with any applicable law,
the provision
1 be deemed to conform to the minimum requirements of the law.
WORKER'S C
MPENSATION. This Policy is not to be construed to provide benefits required by Worker's
Compensation
ws.
GL1101-4.1 95. p E
5 03/01/04
PROVISIONS APPLICABLE TO PARTICIPATING EMPLOYERS
A Particil
Employer
Persons u:
PARTICIPA
in the covera
Employer has no rights under this Policy except as provided in this Section. The Participating
e responsible for all premiums payable with respect to any of its Employees who are Insured
is Policy.
G EMPLOYER means an employer who has been approved by the Company for participation
rovided by this Policy. The following are Participating Employers:
Brazos Valley Development
Brazos County Rape Crisis
EFFECTIVE
later of.
(a) the
(b) the
(c) a
TE. As it applies to any Participating Employer, the Effective Date of this Policy will be the
;e this Policy is issued;
st day of the Insurance Month following the Company's approval of the employer's
pation Agreement; or
agreed upon by the Company, the Participating Employer, and the Group Policyholder.
TERMINATI : Coverage under this Policy will cease as to the employees of any Participating Employer on
the date the PE j icipating Employer:
(a) no 1 ger meets the definition of a Participating Employer;
(b) susp ids active business operations or is placed in bankruptcy or receivership;
(c) disc ' es or merges;
(d) is ex uded from coverage by Policy amendment; or
(e) stop aying premiums as required by this Policy.
If an employe t ` ceases to be a Participating Employer, it may not be a Participating Employer until it is re-
approved si 14 h by the Company.
GL1101-4a
6 03/01/04
LIGIBILITY AND EFFECTIVE DATES FOR PERSONAL INSURANCE
ELIGIBILITY
! A Person becomes eligible for the coverage provided by this Policy on the later of:
(1)
the Pc
licy's date of issue; or
(2)
the d
' e the Waiting Period is completed.
WAITING PE
OD. (See Schedule of Insurance).
EFFECTIVE
TE. Personal Insurance becomes effective on the latest of.
(1)
the
t day of the Insurance Month coinciding with or next following the date the Person
beco
es eligible for the coverage;
(2)
the
a the Person resumes Active Work, if not Actively at Work on the day he or she
`
beco
es eligible;
(3)
the d
e the Person makes written application for Personal Insurance; and signs:
(a)
payroll deduction order, if Insured Persons pay any part of the Policy premium;
r
(b)
order to pay premiums from the Person's Section 125 Plan account, if
mployer contributions are made through a Section 125 Plan; or
(4)
the d
e the Company approves the Person's coverage, if evidence of insurability is required.
EVIDENCE
INSURABILITY. Evidence of insurability satisfactory to the Company must be submitted
when:
(1)
a Per
m makes written application for Personal Insurance more than 31 days after becoming
eligi 1
' for the coverage; or
(2)
a Per
n makes written application for Personal Insurance after he or she has requested:
(a)
cancel Personal Insurance;
(b)
stop payroll deductions for the coverage; or
(c)
stop premium payments from the Section 125 Plan account.
EXCEPTION If an Insured Person's coverage terminates due to an approved leave of absence or military
leave, the Cori. any will waive any Waiting Period or evidence of insurability requirement upon his or her
return; provide
(1) the P 'son returns within six months after the leave begins;
(2) the Poison applies or is enrolled within 31 days after resuming Active Work; and
(3) the r stated amount of insurance does not exceed the amount which terminated.
If an Insured
rson's coverage terminates due to a lay-off, the Company will waive any Waiting Period or
evidence of in
ability requirement upon his or her return; provided:
(1) the P
son returns within six months after the date the lay-off begins;
(2) the P
son applies or is reenrolled within 31 days after resuming Active Work; and
(3) the re ~
stated amount of insurance does not exceed the amount which terminated.
Reinstatement
ill take effect on the first day of the Insurance Month coinciding with or next following the date
"
the Insured Pe
n returns to Active Work.
If an Insured
son's coverage terminates because his or her employment ends, the Company will waive any
Waiting Perio
r evidence of insurability requirement upon his or her return; provided:
(1) the P
on is rehired within six months after employment terminated;
(2) the P
on applies or is reenrolled within 31 days after resuming Active Work; and
(3) the re
stated amount of insurance does not exceed the amount which terminated.
I
Reinstatement
ll take effect on the first day of the Insurance Month coinciding with or next following the date
the Insured Pe
n
returns to Active Work.
GL1101-5 93
(FMLA)
03/01/04
INDIVIDUAL TERMINATIONS
An Insured P
on's coverage will terminate on the earliest of.
(1) the
to this Policy terminates;
(2) the 1
` A
t day of the Insurance Month in which the Insured Person requests termination;
(3) the
t day of the last Insurance Month for which premium payment is made on the Insured
Pers
's behalf;
(4) the
to the Insured Person ceases to be in a class of employees which is eligible for coverage
and
this Policy;
(5) with
spect to any particular insurance benefit, the date the portion of the Policy providing that
ben
t terminates;
(6) the 1
t day of the Insurance Month in which the Insured Person's employment with the Group
Poli
holder or Participating Employer terminates; or
(7) the
'
to the Insured Person enters the armed services of any state or country on active duty;
exce
for duty of 30 days or less for training in the Reserves or National Guard. (If the
Ins
d Person sends proof of military service, the Company will refund any unearned
preiffr
m.)
Ceasing Acti
Work results in termination of insurance; but coverage may be continued as follows:
(1) If the
cured Person is disabled due to illness or injury, then coverage may be continued:
(a)
til the Person is no longer disabled;
(b)
rovided premium payments are made on his or her behalf.
(2) If the
sured Person ceases work due to a temporary lay off, an approved leave of absence, or a
mili
leave; then coverage may be continued:
(a)
or three Insurance Months after the lay off or leave begins;
(b)
rovided premium payments are made on his or her behalf.
GL1101-5 93
(FMLA)
03/01/04
~V 6-3
CONTINUATION OF COVERAGE
This section
Insurance pr(
paying the re
(1) an ]
(2) the
Continuation (
allowed under
To continue it
31 days of the
plies to any Optional Personal Life Insurance and Accidental Death and Dismemberment
led by this Policy. Such insurance may be continued until the Insured Person attains age 70, by
red premiums, when:
fired Person's employment with the Employer ends for a reason other than sickness or
)r retirement (normal or early retirement); and
urance has been in force for at least 12 months in a row just prior to the date
anent ends.
insurance under this provision will follow any state required continuation or other continuation
e Ceasing Active Work section of this Policy.
ice, written application and the first premium payment must be made to the Company, within
insurance would otherwise end.
The Continuati of Coverage is not available when Policy coverage terminates solely because:
(1) an In red Person's Employer ceases to be a Participating Employer; or
(2) this icy terminates.
For life insura a that terminates under this Policy due to an Insured Person's termination of membership in an
eligible class; " the Conversion Privilege section of this Policy.
AMOUNT OF OVERAGE. The amount of continued insurance may not exceed the amount in force when
employment a s. During the continuation period the amount of insurance may not be increased. Continued
insurance will subject to any reduction on account of age, as shown in the Schedule of Insurance.
The Insured P on may decrease the amount of continued insurance at any time, by completing a request form
supplied by th Company. The decrease will take effect on the first day of the Insurance Month after the
Company recei s the request.
PAYMENT 011 :PREMIUM. Timely payment of premium must be made directly to the Company, throughout
the period of ' ntinued insurance. Premiums will be based on attained age as shown in the premium
information pr ided with the application. A direct billing fee will be added to the premium based on the
frequency chos . The premium frequency may be changed by sending the Company advance written request
on forms suppl 'd by the Company. Such request may be sent at any time while continued insurance is in force,
except during a race Period.
TERMINATIO OF COVERAGE. Continued insurance will end on the earliest of:
(1) the da this Policy terminates;
(2) the la day of the Insurance Month in which termination is requested;
(3) the la day of the Insurance Month for which premium is paid;
(4) the da ~'i the Insured Person attains age 70, or dies;
(5) the d insurance would otherwise end had the Insured Person remained an Active Employee;
or
(6) the d the Insured Person enters, the armed forces of any state or country on active duty;
excep 'for duty of 30 days or less for training in the Reserves or National Guard. (If the
Insured Person sends proof of military service, the Company will refund any unearned
premi
When continue o insurance ends, the Insured Person may be entitled to purchase an individual life policy, in
accord with the ' onversion Privilege section of this Policy.
GL1101-5.5 01
._.~w.
TG PORT (Opt. Life, Opt. AD&D)
03/01/04
PREMIUMS AND PREMIUM RATES
PAYMENT
such coverage
due date. Th
payable on or
'PREMIUMS. No coverage provided by this Policy will be in effect until the first premium for
s paid. For coverage to remain in effect, each subsequent premium must be paid on or before its
Group Policyholder is responsible for paying all premiums as they become due. Premiums are
,fore their due dates at the Company's Home Office.
PREMIUM TE CHANGE. The Company may change any premium rate on any of the following dates:
(1) any licy Anniversary;
(2) any mium due date; or
(3) the e any of the Policy's terms are changed.
PREMIUM OUNT. The amount of premium due on each due date will be the sum of the products obtained
by multiplying ach rate shown in the Premium Rate Schedule by the amount of insurance to which the rate
applies. For p mium purposes only, the effective date of any change in the amount of insurance is the fast day
of the Insuran Month which coincides with or follows the change.
Unless the C pany and the Group Policyholder agree otherwise, the Company will give at least 60 days'
advance writt notice of any increase in premium rates.
PREMIUM RATE SCHEDULE
Monthly Basic roup Life Rate $.23 per $1,000 of insurance
Monthly Basic &D Rate .03 per $1,000 of insurance
Monthly Opti 1 Group Life Rate
ured Employee's Monthly Rate per
Attained Age $1,000 of insurance
Less than 30
$.09
30 - 34
.10
35 - 39
.13
40 - 44
.20
45 - 49
.33
50 - 54
.56
55 - 59
.91
60 - 64
1.14
65 - 69
1.98
70 - 74
3.21
75 - 79
4.49
80 - 84
7.19
85 - 89
11.50
90 - 94
16.90
95 and over
35.93
Rate changes to an increase in age will become effective on the Policy Anniversary date coinciding with or
next following a Insured Person's birthday.
Monthly Option 1 AD&D Rate .05 per $1,000 of insurance
GL1101-6
10
(REV)
03/01/04
PREMIUMS AND PREMIUM RATES
Monthly
Rate changes c
next following
Monthly Optio
Monthly Optio
The above rate
(1) as agi
(2) as a r
After that, any
Policyholder a
1 Spouse Life Rate
ured Employee's Monthly Rate per
Attained Age $1,000 of insurance
Less than 30
$.09
30 - 34
.10
35 - 39
.13
40 - 44
.20
45 - 49
.33
50 - 54
.56
55 - 59
.91
60 - 64
1.14
65 - 69
1.98
70 - 74
3.21
75 - 79
4.49
80 - 84
7.19
85 - 89
11.50
90 - 94
16.90
95 and over
35.93
to an increase in age will become effective on the Policy Anniversary date coinciding with or
Insured Person's birthday.
Spouse AD&D Rate .05 per $1,000 of insurance
Child Life Rate .20 per Insured Child(ren)
e guaranteed until January 1, 2005, unless any of the Policy's terms are changed:
I upon by the Group Policyholder and the Company; or
t of a change in state or federal law which affects this Policy.
mium rate change will be as shown in the renewal letter. The Company will send the Group
ewal letter prior to each Policy Anniversary.
11
(REV)
03/01/04
GRACE PERIOD
A grace peri
The Policy i
advance wri-
premium for
►f 31 days from the due date will be allowed for the payment of each premium after the first.
remain in effect during the grace period; unless the Group Policyholder gives the Company
notice of termination. The Group Policyholder will remain liable for payment of a pro rata
time this Policy remained in force during the grace period.
POLICY TERMINATION
TERMINAT
Policyholder
effect for at 1
(1) the
(2) all
(3) part
are
After the
premium
1 BY THE COMPANY. To terminate this Policy, the Company must give the Group
least 31 days' advance written notice of its intent to do so. Until the premium rate has been in
t 12 months, the Company can terminate coverage only if
it number of Insured Persons is less than ten;
he premium is paid by the Group Policyholder and less than 100% of those eligible for
;e are insured; or
the premium is paid by Insured Persons and less than 75% of those eligible for coverage
aced. This part 3 will not apply to any voluntary, optional or supplemental insurance
A under this Policy.
rate has been in effect for at least 12 months, the Company can terminate coverage on any
by giving 31 days' advance written notice.
TERMINATI BY GROUP POLICYHOLDER. The Group Policyholder may terminate this Policy at any
time, by givin he Company advance written notice. Coverage will then terminate:
(1) on th date the Company receives the notice; or
(2) any 1 r date the Group Policyholder and the Company have agreed upon.
The Group
AUTOMA
Policy will
Period.
EFFECT ON
claim incurre
GL1101-7 96
remains responsible for the payment of premiums to the date of termination.
;ATION. If any premium remains unpaid at the end of the Grace Period; then this
y terminate, without any action on the Company's part, on the last day of the Grace
CURRED CLAIMS. Termination of this Policy will not affect benefits otherwise payable for a
chile this Policy is in force.
12
No Bene.-ten lives
03/01/04
BENEFICIARY
PAYMENTS
Insurance will
named Benefi
(1) survi
(2) survi
(3) survi
(4) survi
(5) estat
The amount
Payment sec
PO BENEFICIARY. At an Insured Person's death, the amount of his or her Personal Life
►e paid to the surviving Beneficiary. If the Insured Person has not named a Beneficiary, or if no
ary survives the Insured Person; then payment will be made to that Insured Person's:
.ng spouse; or, if none
1ng child or children in equal shares; or, if none
Ong parent or parents in equal shares; or, if none
Fng brothers and sisters in equal shares; or, if none
or in accord with the Facility of Payment section of this Policy.
to anyone shown above will be reduced by any amount paid in accord with the Facility of
In determining ho is to receive payment, the Company may rely upon an affidavit by a member of the class of
relatives to r ` ive payment. The Company will make payment based upon the affidavit it has; unless it
receives notic of a valid claim by some other person, at its Home Office, before paying the proceeds. Such
payment will ease the Company from any further obligation for the Insured Person's life insurance benefit.
If an Insured son's named Beneficiary dies:
(1) with' 15 days of the Insured Person's death; and
(2) befo the Company receives satisfactory proof of the Insured Person's death;
then payment ill be made as if the Insured Person had survived that Beneficiary; unless other provisions have
been made.
NAMING TH BENEFICIARY. An Insured Person's Beneficiary will be as shown on his or her enrollment
card, unless c ged.' This Policy may replace a group policy providing similar coverages. In that event, the
Beneficiary w ch the Insured Person named under the prior policy will be the Beneficiary under this Policy,
until changed.
CHANGING HE BENEFICIARY. Only the Insured Person, or his or her assignee, may change the
Beneficiary. new Beneficiary may be named by filing a written notice of the change with the Company at its
Home Office. he change will be effective as of the date it was signed; subject to any action the Company takes
before receiving notice of the change.
When applyin for a conversion policy under the Conversion Privilege Section, an Insured Person must name a
Beneficiary. a Beneficiary named for the conversion policy may be someone other than the person named
under this Pol ` . In that event, the application for the conversion policy will be treated as a written notice of
change of Ben iciary.
GL1101-7.1A
13
1! 11 t, I 9,, /J
Pref. Bene.
03/01/04
FACILITY OF PAYMENT
Policy benefi
does not con
more of the f
(1) ape
(2) a pc
(3) the
(4) any
y become payable to an Insured Person's estate, to a minor, or to a person who the Company
competent to give a valid release. In that event, the Company has the option to pay one or
who has assumed the care and support of the Insured Person or Beneficiary;
who has incurred expense as a result of the Insured Person's last illness or death;
nal representative of the Insured Person's estate; or
m related by blood or marriage to the Insured Person.
No payment rjhhde under this section may exceed the Facility of Payment Amount shown in the Schedule of
Insurance. payment made in good faith under this section will fully discharge the Company to the extent of
the payment. tny remaining amount of benefit will be paid as shown in the Beneficiary section.
DEATH BENEFIT
AMOUNT P
`
ABLE ON DEATH. Upon receipt of satisfactory proof of an Insured Person's death, the
Company will
ay a death benefit equal to the amount of Personal Life Insurance in effect on the date of death.
This amount '
shown in the Schedule of Insurance. The benefit will be paid as shown in the Beneficiary,
Facility of Pay
n
ent, and Settlement Options sections.
EXCLUSION.
Benefits will not be payable if the Insured Person's death:
(1) resul
from suicide, while sane or insane; and
(2) occ
within two years after the Insured Person's Personal Life Insurance or an increased
amo
'
t of insurance takes effect under the Policy (or under any prior group life insurance
polic
'
which the Policy replaced within 1 day of the prior plan's termination date).
This exclusion
ill apply only to that amount of insurance or increase which was issued subject to evidence of
insurability, w
in the two years prior to the Insured Person's death.
SETTLEMENT OPTIONS
INST,
to the
ELECTION.
If no such d
election.
practices at 1
be sufficient
GL1101-8 97
. All or part of the death benefit may be received in installments, by making written election
living, an Insured Person may direct the Company to pay the death benefit in installments.
is in effect at the time of the Insured Person's death, the Beneficiary may make such an
Any election, whether by an Insured Person or a Beneficiary, must comply with the Company's
me it is made. The amount applied under a settlement option must be at least $2,000. It must
rovide a payment of at least $20 per month.
14
Death Ben. & Suicide Excl.
03/01/04
C
VCS 0- PAGE f'
EXTENSION OF DEATH BENEFIT
BENEFIT. L
(1) becc
(2) rem,,
(3) subs
(a)
(b)
PREMIUM P.
(1) the c
(2) the c
Upon receipt
Person's life it
DEFINITION
(1) is ur
(2) is nc
AMOUNT C(
(1) will
the d
(2) will
If the Insured
provision. An
insurance will be continued, without payment of premiums, for an Insured Person who:
es Totally Disabled while insured under this policy and before reaching age 60;
.s Totally Disabled for at least 6 months in a row; and
s satisfactory proof within the 7th through the 12th months of disability; or:
s soon as reasonably possible after that; but
of later than the 24th month of disability, unless he or she was legally incapacitated.
rMENT. Premium payments must continue until:
the Insured Person is approved for this Extension of Death Benefit; or
this Policy terminates (whichever occurs first).
satisfactory proof, the Company will refund up to 12 months' premium paid for the Insured
trance, from the 1 st day of Total Disability.
or this benefit, Total Disability or Totally Disabled means an Insured Person:
ale, due to sickness or injury, to engage in any employment or occupation for which such
l Person is or becomes qualified by reason of education, training, or experience; and
:ngaging in any gainful employment or occupation.
ITINUED. The life insurance continued by this section:
the amount of Personal Life Insurance and any Dependent Life Insurance in effect on
the Insured Person's Total Disability begins; and
subject to the reductions and terminations in effect under this Policy on that day.
,rson receives an Accelerated Death Benefit, the amount will be reduced in accord with that
Accidental Death and Dismemberment Benefit will not be continued.
ADDITION ROOF. At any time during this continuation, the Company may require the Insured Person:
(1) to su it further proof of his or her continued Total Disability; and
(2) to be amined by a Physician of the Company's choice, as often as reasonably necessary.
After the first o years of Total Disability, the Company will not request proof or an exam more than once a
year. Proof w 1 be at the Insured Person's expense; unless the Company requests an exam by a Physician of its
choice.
When an Insu Person dies after submitting proof, further proof must be submitted to the Company showing
that he or she mained continuously and Totally Disabled until death. When an Insured Person dies within 12
months after 1 Disability begins, but before submitting proof; then his or her death benefit will still be paid
under the term; of this Policy. But the Company must first receive satisfactory proof of his or her continuous
Total Disabili from the last day of Active Work until the date of death.
TERMINATI . Any life insurance extended under this section will terminate automatically on:
(1) the d the Insured Person ceases to be Totally Disabled;
(2) the d the Insured Person fails to take a required medical examination;
(3) the 611 h day after the Company mails a request for additional proof, if it is not given;
(4) the a ective date of the Insured Person's individual conversion policy, with respect to any
amoi*it of life insurance converted in accord with the Conversion Privilege section; or
(5) the the Insured Person reaches Social Security Normal Retirement Age (SSNRA), as
sho in the Schedule of Insurance (whichever occurs first).
RIGHTS AFT TERMINATION. If Total Disability ends, and the Insured Person does not return to a class
eligible for Po y coverage; then he or she may exercise the Conversion Privilege. If Total Disability ends, and
the Insured Pe on does return to an eligible class; then his or her Policy coverage will resume when premium
payments are r umed, and any conversion policy is surrendered as provided below.
CONVERSIO POLICIES. If the Insured Person has exercised the Conversion Privilege, and the benefits
payable under is Policy and the conversion policy combined would exceed:
(1) the red Person's original amount of Policy coverage prior to the conversion; or
(2) any ater amount for which he or she later becomes insured under this Policy;
then benefits 1 be payable under the terms of this Policy. But the conversion policy must first be surrendered
to the Compan and no claim may be made under the conversion policy, except for refund of premium less any
dividends and licv loans.
GL1101-9 96
15
Stand. Ext. - SSNRA
03/01/04
T
ACCELERATED DEATH BENEFIT FOR TERMINAL ILLNESS
BENEFIT. T Accelerated Death Benefit for Terminal Illness is an advance payment of part of the Insured
Person's Pers al Life Insurance. It may be paid to the Insured Person, in a lump sum, once during the Insured
Person's lifetii r. .
To qualify, a Terminal Insured Person must:
(1) have atisfied the Active Work requirement under this Policy;
(2) have en insured under this Policy for at least 12 months; and
(3) have at least $2,000 of Personal Life Insurance under this Policy on the day before the
Acc 1' rated Death Benefit is paid.
Receiving the ` ccelerated Death Benefit will reduce the Remaining Life Insurance and the Death Benefit
payable at dea , as shown on the next page.
"Claimant," a sed in this section, means the Terminal Insured Person for whom the Accelerated Death Benefit
is requested.
"Terminal" in ns the Insured Person has a medical condition which is 'expected to result in death within 12
months, despi ' appropriate medical treatment.
APPLYING R THE BENEFIT. To withdraw the Accelerated Death Benefit, the Insured Person (or his or
her legal repre ntative) must send the Company:
(1) writt election of the Accelerated Death Benefit, on forms supplied by the Company; and
(2) satin tory proof that the Claimant is Terminal. Such proof shall consist of a Physician's
writt . statement on a claim form supplied by the Company and any related medical records
requ 'ted by the Company.
The Company serves the right to decide whether such proof is satisfactory.
(1) base upon the preponderance of the medical evidence; and
(2) in ac rd with generally accepted medical standards. The Company, at its own expense, may
have a Claimant examined by one or more Physicians of its choice.
Before payin an Accelerated Death Benefit, the Company must also receive the written consent of any
irrevocable be ficiary or assignee with an interest in the benefit. (See Limitations 3 and 4.)
NOTE: TH IS NOT A LONG-TERM CARE POLICY. RECEIVING THIS ACCELERATED
DEATH BE FIT WILL REDUCE THE BENEFIT PAYABLE AT DEATH. ANY AMOUNT
WITHDRA MAY BE TAXABLE INCOME, SO THE INSURED PERSON SHOULD CONSULT A
TAX ADVIS BEFORE APPLYING FOR THIS BENEFIT.
AMOUNT O HE BENEFIT. The Insured Person may elect to withdraw an Accelerated Death Benefit in any
$1,000 increm t; subject to:
(1) a m' ' mum of $1,000 or 10% of the Claimant's amount of Life Insurance (whichever is
--neat and
(2) a maximum of $250,000 or 75% of the Claimant's amount of Life Insurance (whichever is
less).
To determine t he Accelerated Death Benefit, the Company will use the lesser of A or B below:
A. the i imant's amount of Life Insurance which is in force on the day before the Accelerated
Deat Benefit is paid; or
B. the 1` imant's amount of Life Insurance which would be in force 12 months after that date; if
the c erage is scheduled to reduce, due to age, within 12 months after the Accelerated Death
Bene is paid.
GL1101-9.8 0
16
ADB-DEP.
03/01/04
ADMINIST
TIVE CHARGE: NONE
WITHDRAW
FEE: NONE
EFFECT ON
AMOUNT OF LIFE INSURANCE. "Remaining Life Insurance" means the amount of Life
'
Insurance wh
h remains in force on the Claimant's life after an Accelerated Death Benefit is paid. The
Remaining Li
Insurance will equal:
(1) the
aimant's amount of Life Insurance which was used to determine the Accelerated Death
Ben( I
it (A or B above); minus
(2) any
rcentage by which the Claimant's coverage is scheduled to reduce, due to age; if the
'
redu
on occurs more than 12 months after the Accelerated Death Benefit is paid, and while he
ors
is still living; minus
(3) the a
unt of the Accelerated Death Benefit withdrawn.
Exception. I
e Accelerated Death Benefit was determined using the amount shown in Part B on the prior
i
page, and dea
occurs prior to the age reduction scheduled to occur within 12 months after the Accelerated
Death .Benefit
ayment;
then Remaining Life Insurance will equal the amount shown in Part A
minus the
Accelerated D
,
th Benefit withdrawn.
PREMIUM: T
'iere is no additional charge for this benefit. Continuation of the Remaining Life Insurance will
be subject to
ely payment of the premium for the reduced amount; unless the Insured Person qualifies for
waiver of pren.
um under this Policy's Extension of Death Benefit provision, if included.
CONDITION
If the Claimant exercises the Conversion Privilege after an Accelerated Death Benefit is paid
the amount of
,
a conversion policy will not exceed the amount of his or her Remaining Life Insurance. If the
'
Claimant has,,
cidental Death and Dismemberment benefits under this Policy, the Principal Sum will not be
affected by thell
ayment of an Accelerated Death Benefit.
EFFECT ON EATH BENEFIT. When the Claimant dies after an Accelerated Death Benefit is paid, the
amount of Re ining Life Insurance in force on the date of death will be paid as a Death Benefit. The Insured
Person's Death enefit will be paid in accord with the Beneficiary section of this Policy. If the Claimant dies
after applicati for an Accelerated Death Benefit has been made, but before the Company has made payment;
then the reque will be void and no Accelerated Death Benefit will be paid. The amount of Life Insurance in
force on the of death will be paid in accord with Policy provisions.
EFFECT ON ES AND GOVERNMENT BENEFITS. Any Accelerated Death Benefit amount withdrawn
may be taxabl income to the Insured Person. Receipt of the Accelerated Death Benefit may also affect the
Claimant's eli ility for Medicaid, Supplemental Security Income and other government benefits. The
Claimant shou consult his or her own tax and legal advisor before applying for an Accelerated Death Benefit.
The Company not responsible for any tax owed or government benefit denied, as a result of the Accelerated
Death Benefit vment.
LIMITATION No Accelerated Death Benefit will be paid:
(1) if anyequired premium is due and unpaid;
(2) on an conversion policy purchased in accord with the Conversion Privilege;
(3) witho the written consent of the beneficiary, if the Insured Person has named an irrevocable
(4) withc
undej
(5) if an~
spow
court
(6) if the
suicic
(7) if a €
Dead
(8) if an,
GL1101-9.8 01
,
the written consent of the assignee, if the Insured Person has assigned his or her rights
is Policy;
art of the Life Insurance must be paid to the Insured Person's child, spouse or former
pursuant to a legal separation agreement, divorce decree, child support order or other
laimant has been insured under this Policy less than two years and is Terminal due to a
attempt, while sane or insane; or due to an intentionally self-inflicted injury;
vernment agency requires the Insured Person or the Claimant to use the Accelerated
lenefit to apply for, receive or continue a government benefit or entitlement; or
scelerated Death Benefit has been previously paid for the Claimant under this Policy.
I~ q1.7 J/
ADB-DEP.
03/01/04
CONVERSION PRIVILEGE - CONVERSION BENEFITS
GENERAL B:
Company wid
terminates for
(1) termi
(2) the h
(a)
(b)
To purchase a
after the life in
Any policy issi
(1) be fo
(2) be or
(3) be i
(4) be i
(5) regi
purchased fre
(1) all(
and
(2) that
Any conversi
a policy issue
(1) $ I a
(2) the .
EFFECTIVE I
on the later of
(1) its da
(2) 31 &
DEATH DUR
the amount of
(1) was
(2) dies
This death bet
for the convey:
NOTICE OF
Insurance term
(1) giver
(2) mail(
(3) mail(
An additional
at least 15 dal
will expire on
(1) 15 &
(2) 60 d
such
No death ben(
the right to coi
GL1101-10
;FIT. An individual life policy, known as a conversion policy, may be purchased from the
evidence of insurability, if all or part of anyone's life insurance, provided by this Policy,
reason except:
on or amendment of the Policy; or
-d Person's request for:
nination of insurance; or
cellation of payroll deduction.
eversion policy, application and payment of the first premium must be made within 31 days
ince is terminated.
d under the General Conversion Benefit will:
to amount not to exceed the amount of the life insurance which was terminated;
my form (except term) then issued by the Company at the age and amount for which
tion is made;
;d at the Insured Person's age at nearest birthday;
:d without disability or other supplemental benefits; and
premiums based on the class of risk to which the person then belongs.
BENEFIT-POLICY TERMINATION OR AMENDMENT. A conversion policy also may be
he Company if
part of anyone's insurance terminates due to amendment or termination of this Policy;
rson has been covered continuously under this Policy for at least five years.
policy issued due to Policy termination or amendment will be subject to the same conditions as
nder the General Conversion Benefit except its amount may not exceed the lesser of:
0. or
zt of Life Insurance which terminates less the amount of any group life insurance for
Insured Person becomes eligible within 31 days after the termination.
PROVISIONS APPLICABLE TO ALL CONVERSION POLICIES
TES. The coverage provided by a conversion policy issued under this Section will be effective
of issue; or
after the date on which the person's life insurance terminated.
"G CONVERSION PERIOD. The Company will pay a death benefit under this Policy equal to
life insurance which could have been converted, if the person:
titled to purchase a conversion policy; and
thin the 31 day conversion period.
it will be paid even if no one applied for the conversion policy. If the first premium was paid
,n policy, the amount of the premium will be refunded and the conversion policy will be void.
ONVERSION PRIVILEGES-INSURED PERSONS. When an Insured Person's Personal
ates, written notice of the right to convert will be:
ersonally to the Insured Person;
by the Group Policyholder to the Insured Person at his last known address; or
by the Company to the Insured Person at his last known address as furnished by the
Policyholder.
riod in which to convert will be granted if this written notice is not given to the Insured Person
before the end of the 31 day conversion period. Any such extension of the conversion period
earliest of.
after the Insured Person is given the written notice; or
after the end of the 31 day conversion period even if the Insured Person is never given
will be payable under this Policy after the 31 day conversion period has expired even though
rt may be extended.
18
03/01/04
DEPENDENTS LIFE INSURANCE
BENEFIT.
Company N
amount is s
(1) to
(2) if
on receipt of satisfactory proof of a Dependent's death while insured under this Policy, the
Say the amount of the Dependents Life Insurance in effect on the date of such death. This
a in the Schedule of Insurance. The death benefit will be paid:
Insured Person; or
Insured Person fails to survive the Dependent, to the Insured Person's Beneficiary or
ing to the Facility of Payment Section.
EXCLUSION.
enefits will not be payable if a Dependent's death:
(1) result
from suicide, while sane or insane; and
(2) occu
within two years after insurance or an increased amount of insurance for that Dependent
takes
ffect under this Policy (or under any prior group life insurance policy which this Policy
repla
d within 1 day of the prior plan's termination date).
This exclusion
11 apply only to that amount of insurance or increase which was issued subject to evidence of
insurability, w
in the two years prior to a Dependent's death.
DEPENDENT
A Dependent means a person who meets the definition of a dependent of the Insured Person
'
under the prow
on of the U.S. Internal Revenue Code; and is an Insured Person's:
(1) spou
who is not legally separated from the Insured Person;
(2) unm
'ed child less than 21 years of age;
(3) unm
'ed child 21 years of age or older, if attending an accredited educational institution for
the
imum credit hours required to maintain full-time student status there; or
'
(4) unm
ed child who is totally and permanently disabled and who became so disabled prior to
reach
Mg 21 years of age.
A legally ado
` d child is considered the Insured Person's child from the date of placement in the insured
Person's home
or an agency adoption; or from the date the adoption petition is filed, if later, for a private
adoption.
In addition to
aturally born and legally adopted children, the word "child" includes an Insured Person's
stepchild or fo
r child; provided the child resides in the Insured Person's household and is dependent on the
Insured Person
ffir principal support.
The term Depe
` lent does not include anyone serving in the armed forces of any state or country; except for duty
of 30 days or 1
for training in the Reserves or National Guard.
ELIGIBILITY.
Insured Person becomes eligible for Dependents Life Insurance on the latest of
(1) the da
x- the Insured Person becomes eligible for Ptrsonal Insurance;
(2) the a
ctive date of this Section; or
(3) the d
the Insured Person first acquires a Dependent.
EFFECTIVE
TES. An Insured Person's Dependents Life Insurance will become effective on the latest of the
following dates
(1) the d
the Insured Person becomes eligible for Dependents Life Insurance;
(2) the da
h, the Insured Person makes written application for Dependents Life Insurance and signs
a pa
1 deduction order; and
(3) the daf
T the Company approves any required evidence of insurability on all the Insured Person's
If an Insured P on acquires a new Dependent while insured for Dependents Life Insurance, insurance for that
Dependent will ke effect on the date the Dependent is acquired.
If a Dependent " confined in a hospital on the date his or her Dependents Life Insurance would otherwise take
effect, then De dents Life Insurance for that Dependent will not take effect until ten days after final discharge
from the hosni .
GL1101-11A
19
A - Suicide Exclusion
03/01/04
p /fwd
EVIDENCE
F INSURABILITY. Each Insured Person's Dependent must submit evidence of insurability
satisfactory t
he Company if the Insured Person:
(1)
m
s application for Dependents Insurance more than 31 days after the date such Insured
Pe
n becomes eligible for Dependents Insurance; or
(2)
elec
to be insured for Dependents Insurance after such Insured Person had requested:
(a)
termination of the Dependents Insurance; or
(b)
cancellation of the payroll deduction order; or
(3)
ma
application for Dependents Insurance after it has automatically terminated, due to failure
'
to p
premium by the end of the grace period.
INDIVIDUA
` TERMINATION OF DEPENDENT INSURANCE. An Insured Person's Dependents Insurance
will cease for
11 of the Insured Person's Dependents on the earliest of:
(1)
the
to the Insured Person's Personal Insurance terminates;
(2)
the
to Dependent Insurance is discontinued under this Policy;
(3)
the
to the Insured Person ceases to be in a class of employees eligible for Dependent
Ins
ce;
(4)
the
to the Insured Person requests that the Dependent Insurance be terminated; or
(5)
the
t day of the premium paying period for which the Insured Person has made any required
con
bution toward the cost of the Dependent Insurance.
Dependents Impany rance on a particular Dependent will cease on the earliest of.
(1) the o he or she ceases to be a Dependent as defined in this Policy;
(2) the o he or she becomes covered under this Policy as an Insured Person; or
(3) the o he or she enters the armed forces of any state or country; except for duty of 30 days or
less the Reserves or National Guard. (If the Insured Person sends proof of military service,
the will refund any unearned premium.)
MISSTATE NT OF AGE. If the age of a Dependent has been misstated, premiums will be subject to an
equitable adj ent. If the amount of benefit is dependent upon age, the benefit will be that which would have
been payable sed upon the Dependent's correct age.
Dependents Insurance may not be assigned.
INCONTEST BILITY. Except for non-payment of premiums, the Company may not contest the validity of
this Policy as any Dependent, after it has been in force for two years during the lifetime of that Dependent.
This clause not affect the Company's right to contest claims made for accidental death, or dismemberment
benefits.
GL1101-12
20
03/01/04
CLAIMS PROCEDURES
LIFE OR ACCIDENTAL DEATH AND DISMEMBERMENT BENEFITS
NOTE: This olicy may include an Extension of Death Benefit, an Accelerated Death Benefit or a Living
Benefit. If so lease refer to that section for special claim procedures.
NOTICE AND PROOF OF CLAIM
Notice of Cla [ber Written notice of an accidental death or dismemberment claim must be given within 20 days
after the loss urs; or as soon as reasonably possible after that.* The notice must be sent to the Company's
Home Office. should include:
(1) the red Person's name and address; and
(2) the n of this Policy.
Claim Forms When notice of claim is received, the Company will send claim forms for filing the required
proof. If the ompany does not send the forms within 15 days; then the Insured Person or Beneficiary (the
claimant) may 'end the Company written proof of claim in a letter. It should state the nature, date and cause of
the loss.
Proof of Clai The Company must be given written proof of claim within 90 days after the date of the loss; or
as soon as rea nably possible after that.* Proof of claim must be provided at the claimant's own expense. It
must show th ature, date and cause of the loss. In addition to the information requested on the claim form,
documentatio ust include:
(1) A ce fied copy of the death certificate, for proof of death.
(2) A co of any police report, for proof of accidental death or dismemberment.
(3) A si d authorization for the Company to obtain more information.
(4) Any her items the Company may reasonably require in support of the claim.
* Exception: ailure to give notice or furnish proof of claim within the required time period will not invalidate
or reduce the im; if it is shown that it was done:
(1) as so as reasonably possible; and
(2) in no vent more than one year after it was required.
These time h 1' will not apply while the claimant lacks legal capacity.
EXAM OR TOPSY. At anytime while a claim is pending, the Company may have the Insured Person
examined:
(1) by a. I ysician of the Company's choice;
(2) as o as reasonably required.
If the Insured rson fails to cooperate with an examiner or fails to take an exam, without good cause; then the
Company may eny benefits, until the exam is completed. In case of death, the Company may also have an
autopsy done,, A here it is not forbidden by law. Any such exam or autopsy will be at the Company's expense.
TIME OF PA ENT OF CLAIMS. Any benefits payable under this Policy will be paid:
(1) immediately after the Company receives complete proof of claim and confirms liability; and
(2) in anvent, within 60 days after the Company receives acceptable proof of claim.
TO WHOM 11AYABLE
Death. Any b efits payable for the Insured Person's death will be paid in accord with the Beneficiary, Facility
of Payment, Settlement Options sections of this Policy. If this Policy includes Dependent Life Insurance;
then any bene payable for an insured Dependent's death will be paid to:
(1) the red Person, if he or she survives that Dependent; or
(2) the ured Person's Beneficiary, or in accord with the Facility of Payment section; if the
Insur Person does not survive that Dependent.
Dismemberm t. If this Policy includes Accidental Death and Dismemberment Benefits; then any benefit,
other than the sured Person's death benefit, will be paid to the Insured Person.
GL1101-13A TX UADD
21 03/01/04
CLAIMS PROCEDURES
(Continued)
NOTICE OF
If the Compan
(1) the r
(2) how
(3) whet
CLAIM DECISION. The Company will send the claimant a written notice of its claim decision.
denies any part of the claim; then the written notice will explain:
son for the denial, under the terms of this Policy and any internal guidelines;
le claimant may request a review of the Company's decision; and
-r more information is needed to support the claim.
The Compan ill send this notice within 15 days after resolving the claim. If reasonably possible, the
Company will end it within:
(1) 90 d s after receiving the first proof of a death or dismemberment claim; or
(2) 45 d vs after receiving the first proof of a claim for any Extension of Death Benefit, Living
Ben It or Accelerated Death Benefit available under this Policy.
Delay Notice. f the Company needs more than 15 days to process a claim, in a special case; then an extension
will be permi . If needed, the Company will send the claimant a written delay notice:
(1) by th 15a' day after receiving the first proof of claim; and
(2) eve 0 days after that, until the claim is resolved.
The notice wi xplain the special circumstances which require the delay, and when a decision can be expected.
In any event, t lib Company must send written notice of its decision within:
(1) 180 ys after receiving the first proof of a death or dismemberment claim; or
(2) 105 ys after receiving the first proof of a claim for any Extension of Death Benefit, Living
Ben t or Accelerated Death Benefit available under this Policy.
If the Comp fails to do so; then there is a right to an immediate review, as if the claim was denied.
Exception: I the Company needs more information from the claimant to process a claim; then it must be
supplied with' 45 days after the Company requests it. The resulting delay will not count towards the above
time limits fo laim processing.
REVIEW PROCEDURE. The claimant may request a claim review, within:
(1) 60 d s 4after receiving a denial notice of a death or dismemberment claim; or
(2) 180 ys after receiving a denial notice of a claim for any Extension of Death Benefit, Living
Ben t or Accelerated Death Benefit available under this Policy.
To request a r iew, the claimant must send the Company a written request, and any written comments or other
items to supp the claim. The claimant may review certain non-privileged information relating to the request
for review.
Notice of De i on. The Company will review the claim and send the claimant a written notice of its decision.
The notice wxplain the reasons for the Company's decision, under the terms of this Policy and any internal
guidelines. ICompany upholds the denial of all or part of the claim; then the notice will also describe:
(1) any her appeal procedures available under this Policy;
(2) the t to access relevant claim information; and
(3) the t to request a state insurance department review, or to bring legal action.
For a death o dismemberment claim, the notice will be sent within 60 days after the Company receives the
request for review; or within 120 days, if a special case requires more time. For a claim for any Extension of
Death Benefit Living Benefit or Accelerated Death Benefit available under this Policy, the notice will be sent
within 45 day after the Company receives the request for review; or within 90 days, if a special case requires
more time.
GL1101-13A TX UADD
~n 22 03/01/04
V 0 L PA G Ep -1 q 7.
CLAIMS PROCEDURES
(Continued)
Delay Notic
Insured Pers
explain:
(1) the
(2) wh,
(3) wh
Exception:
supplied w:
time limits
the Company needs more time to process an appeal, in a special case; then it will send the
written delay notice, by the 30th day after receiving the request for review. The notice will
;ial circumstances which require the delay;
more information is needed to review the claim; and
decision can be expected.
he Company needs more information from the claimant to process an appeal; then it must be
45 days after the Company requests it. The resulting delay will not count towards the above
)peal processing.
Claims Subje to ERISA (Employee Retirement Income Security Act of 1974). Before bringing a civil legal
action under federal labor law known as ERISA, an employee benefit plan participant or beneficiary must
exhaust avails a administrative remedies. Under this Policy, the claimant must first seek two administrative
reviews of the dverse claim decision, in accord with this section. If an ERISA claimant brings legal action
under Section 2(a) of ERISA after the required reviews; then the Company will waive any right to assert that
he or she faile o exhaust administrative remedies.
RIGHT OF iblv COVERY. If benefits have been overpaid on any claim; then full reimbursement to the
Company is rl
fired within 60 days. If reimbursement is not made; then the Company has the right to:
(1) redu uture benefits until full reimbursement is made; and
(2) reco such overpayments from the Insured Person, or from his or her Beneficiary or estate.
Such reimburent is required whether the overpayment is due to fraud, the Company's error in processing a
claim, or any r rea
son.
LEGAL AC NS. No legal action to recover any benefits may be brought until 60 days after the required
written proof claim has been given. No such legal action may be brought more than three years after the date
written proof claim is required.
COMPANY' ISCRETIONARY AUTHORITY. Except for the functions that this Policy clearly reserves
to the Group P icyholder or Employer, the Company has the authority to:
(1) mana this Policy and administer claims under it; and
(2) inte t the provisions and resolve questions arising under this Policy.
The Company uthority includes (but is not limited to) the right to:
(1) estab h and enforce procedures for administering this Policy and claims under it;
(2) deter ine Employees' eligibility for insurance and entitlement to benefits;
(3) deter ine what information the Company reasonably requires to make such decisions; and
(4) resol ` all matters when a claim review is requested.
Any decision t Company makes, in the exercise of its authority, shall be conclusive and binding; subject to the
Insured Person or Beneficiary's rights to:
(1) reque a state insurance department review; or
(2) bring 1gal action.
GL1101-13A OIL TX
23 J(~/
UADD
03/01/04
ACCIDENTAL DEATH AND DISMEMBERMENT INSURANCE
DEATH OR
benefit listed 1
(1) an h
(2) that
The loss must
BENEFIT FOR AN INSURED PERSON. The Company will pay the
Person sustains an accidental bodily injury while insured under this provision; and
directly causes one of the following losses within 365 days after the date of the
directly from the injury and from no other causes.
LOSS
Loss of Life
Loss of One
Loss of Two
(Hand, Foot or Eye)
Members
BENEFIT FOR
COMMON CARRIER
ACCIDENT
2 Times Principal Sum
Principal Sum
2 Times Principal Sum
The Principal Nam for the Insured Person's class is shown in the Schedule of Insurance.
BENEFIT FOR
OTHER COVERED
ACCIDENT
Principal Sum
1/2 Principal Sum
Principal Sum
MAXIMUM ER PERSON. If an Insured Person sustains more than one loss resulting from the same
accident, the efit:
(1) will the one largest amount listed;
(2) will t exceed two times the Principal Sum for all of that person's combined losses resulting
from Common Carrier Accident; and
(3) will ` t exceed the Principal Sum for all of that person's combined losses resulting from any
othe overed accident.
TO WHOM PAYABLE. Benefits for the Insured Person's loss of life will be paid in accord with the
Beneficiary section. All other benefits will be paid to the Insured Person.
LIMITATIO
(1) inter
(2) dise~
(3) parti
(4) duty
(5) war
(6) parti
(7) volu
(8) volu
(9) travi
on a
(10) driv:
GL1101-1
S. Benefits are not payable for any loss to which a contributing cause is:
onal self-inflicted injury or self-destruction;
bodily or mental infirmity, or medical or surgical treatment of these;
pation in a riot;
s a member of any military, naval or air force;
any act of war, declared or undeclared;
pation in the commission of a felony;
ary use of drugs; except when prescribed by a Physician;
ary inhalation of gas, including carbon monoxide;
or flight in any aircraft, including balloons and gliders; except as a fare paying passenger
;gularly scheduled flight; or
a a vehicle while intoxicated.
01
24
COMMON CARRIER
03/01/04
f1~' g f5 v
ACCIDENTAL DEATH AND DISMEMBERMENT INSURANCE
CONTINUED
DEFINITIO
"Beneficiary"
change the Be
"Common Ca
paying passen
Carrier
"Common Ca
hire.
.ns the person(s) named on the Insured Person's enrollment form. The Insured Person may
,iary by filing a written notice of the change with the Company at its Home Office.
Accident" means a covered accidental bodily injury, which is sustained while riding as a fare
(not a pilot, operator or crew member) in or on, boarding or getting off from a Common
means any land, air or water conveyance operated under a license to transport passengers for
"Intoxicated" all be defined by the jurisdiction where the accident occurs. The exclusion will apply whether
or not the driv is convicted.
"Loss of a Me ber" includes the following:
(1) "Los of Hand or Foot," means complete severance through or above the wrist or ankle joint.
(In S th Carolina, "Loss of Hand" can also mean the loss of four whole fingers from one
hand
(2) "Los f an Eye," means total and irrevocable loss of sight in that eye.
GL1101-14.3 1 COMMON CARRIER
25 03/01/04
`tPt~ Fay ~a1
ACCIDENTAL DEATH AND DISMEMBERMENT INSURANCE
DEATH OR DISMEMBERMENT BENEFIT FOR A DEPENDENT SPOUSE. The Company will pay the
benefit listed " low, i£
(1) a D ndent Spouse sustains an accidental bodily injury while insured under this provision;
and
(2) that jury directly causes one of the following losses within 365 days after the date of the
acci nt.
The loss must sult directly from the injury and from no other causes.
A Dependent ouse is eligible for the Accidental Death and Dismemberment Insurance if the Spouse:
(1) is in red by this provision on the date of the accident;
(2) is not i ` legally separated from the Insured Person; and
(3) is n serving on active duty in the armed forces of any state or country except for duty of 30
days r less for training in the Reserves or National Guard.
BENEFIT FOR BENEFIT FOR
LOSS COMMON CARRIER OTHER COVERED
ACCIDENT ACCIDENT
Loss of Life 2 Times Principal Sum Principal Sum
Loss of One mber (Hand, Foot or Eye) Principal Sum 1/2 Principal Sum
Loss of Two More Members 2 Times Principal Sum Principal Sum
The Principal m which applies to the Dependent Spouse is shown in the Schedule of Insurance.
MAXIMUM ER PERSON. If a Dependent Spouse sustains more than one loss resulting from the same
accident, the efit:
(1) will the one largest amount listed;
(2) will t exceed two times the Principal Sum for all of that person's combined losses resulting
from Common Carrier Accident; and
(3) will t exceed the Principal Sum for all of that person's combined losses resulting from any
othe overed accident.
TO WHOM YABLE. Benefits for a Dependent Spouse's loss will be payable:
(1) to th Insured Person; or
(2) if th sured Person fails to survive the Dependent Spouse, to the Insured Person's Beneficiary
or in : ccord with the Facility of Payment section of this Policy.
LIMITATIO
S. Benefits are not payable for any loss to which a contributing cause is:
(1) inte
onal self-inflicted injury or self-destruction;
(2) dise
, bodily or mental infirmity, or medical or surgical treatment of these;
(3) parti
pation in a riot;
(4) duty
a member of any military, naval or air force;
(5) war
`
any act of war, declared or undeclared;
(6) parti
pation in the commission of a felony;
(7) volu
ry use of drugs; except when prescribed by a Physician;
(8) vol
ry inhalation of gas, including carbon monoxide;
(9) tray
1
or flight in any aircraft, including balloons and gliders; except as a fare paying passenger
on a
,
gularly scheduled flight; or
(10) drivi
a vehicle while intoxicated.
GL1101-14.3TIO1 COMMON CARRIER SP
26 03/01/04
f _ PR
ACCIDENTAL DEATH AND DISMEMBERMENT INSURANCE
CONTINUED
DEFINIT
"Common
paying pa;
Carrier.
"Common
hire.
"Insured P
PERSON
Policy. (R
Accident" means a covered accidental bodily injury, which is sustained while riding as a fare
(not a pilot, operator or crew member) in or on, boarding or getting off from a Common
means any land, air or water conveyance operated under a license to transport passengers for
" as used in this section (Death or Dismemberment Benefit for a Dependent Spouse), means a
Dependent Spouse is covered by Accidental Death and Dismemberment Insurance under this
the Definitions section of this Policy for the definition of PERSON.)
"Intoxicated" all be defined by the jurisdiction where the accident occurs. The exclusion will apply whether
or not the driv is convicted.
"Loss of a Me ber" includes the following:
(1) "Los of Hand or Foot," means complete severance through or above the wrist or ankle joint.
(In uth Carolina, "Loss of Hand" can also mean the loss of four whole fingers from one
hand
(2) "Los of an Eye," means total and irrevocable loss of sight in that eye.
INDIVIDUA ;TERMINATION OF INSURANCE FOR A DEPENDENT SPOUSE. Accidental Death and
Dismemberm t Insurance for a Dependent Spouse will cease on the earlier o£
(1) the d , e he or she is no longer an eligible spouse; or
(2) the d e the Insured Person is no longer eligible for coverage under this Policy.
GL1101-14.313 01
27 Q
COMMON CARRIER SP
03/01/04
SAFE DRIVER BENEFIT
BENEFIT. I an Insured Person dies as a direct result of a covered auto accident, for which Accidental Death
and Dismemb ent Benefits are payable; then:
(1) an a itional Seat Belt Benefit will be payable, if the Insured Person was wearing a properly
fast d seat belt at the time of the accident; and
(2) an a itional Air Bag Benefit will be payable, if the auto was equipped with air bag(s).
The Seat Belt enefit equals $10,000 or 10% of the Principal Sum, whichever is less; and the Air Bag Benefit
equals $10,00 or 10% of the Principal Sum, whichever is less. The Seat Belt Benefit and the Air Bag Benefit
will not be 1 than $1,000 per Insured Person. The Principal Sum is the amount payable because of the
Insured Perso accidental death.
A copy of the olice report must be submitted with the claim. The position of the seat belt or presence of an air
bag must be c ified by:
(1) the 1cial accident report; or
(2) the c ` oner, traffic officer or other investigating officer.
Upon receipt satisfactory written proof, the additional benefit will be paid in accord with the Beneficiary
section.
DEFINITION As used in this provision:
"Auto" means 4-wheel passenger car, station wagon, jeep, pick-up truck or van-type car. It must be licensed
for use on pub c highways. It includes a car owned or leased by the Group Policyholder.
"Intoxicated,"
accidentoccu:
"Seat Belt" in
(1) seat
(2) other
LIMITATIOT
(1) the E
Pers,
(2) at th
whic
(a)
(b)
(c)
The
GL1101-14.1
it or "Under the Influence of Drugs" shall be defined as by the jurisdiction where the
a properly installed:
or lap and shoulder restraint; or
traint approved by the National Highway Traffic Safety Administration.
. Safe Driver Benefits will not be paid if
cidental Death and Dismemberment Benefit is not paid under this Policy for the Insured
i s death; or
time of the accident, the Insured Person or any other person who was driving the auto in
the Insured Person was traveling:
vas driving without a valid drivers' license;
vas driving in excess of the legal speed limit; or
vas driving while intoxicated, impaired, or under the influence of drugs (except
or drugs taken as prescribed by a Physician for the driver's use).
love limitations will apply, whether or not the driver is convicted.
f ~C,
28
17
Seat Belt & Air Bag
03/01/04
AMENDME
TO BE ATTACHED TO AND MADE PART OF GROUP POLICY NO.: 000860051003
ISSUED TO:
razos County
The Policy is
ended by the addition of the following provisions.
PRIOR INSURANCE CREDIT UPON TRANSFER OF
E
LIFE INSURANCE CARRIERS
This provisio
prevents loss of life insurance coverage for an Insured Person, which could otherwise occur
solely because
of a transfer of insurance carriers. This Policy will provide the following Prior Insurance Credit,
when it replac
es
a prior plan.
"Prior Plan"
ans a prior carrier's group life insurance policy, which this Policy replaced within 1 day of the
prior plan's to
ination date.
FAILURE T
ATISFY ACTIVE WORK RULE. Subject to payment of premiums, this Policy will provide
life coverage
a Person who:
(1) was '
ured under the prior plan on its termination date;
(2) was
erwise eligible under this Policy; but was not Actively-At-Work due to Injury or
Sic
ss on its Effective Date;
(3) is no
ntitled to any extension of life insurance under the prior plan; and
(4) is no
otally Disabled (as defined in the Extension of Death Benefit section of this Policy) on
the d,
i
e this Policv takes effect.
AMOUNT O IFE INSURANCE. Until the Person satisfies this Policy's Active Work rule, the amount of his
or her group li insurance under this Policy will not exceed the amount for which the Person was insured under
the prior plan its termination date.
This Amend t takes effect on the effective date of coverage under this Policy. In all other respects, this
Policy remain he same.
Jefferson Pilot Financial Insurance Company
Officer of the Company
GL 1101-AMEND. PC 1
29
F
Prior Ins. Cred. - Life
03/01/04
TOT ff -FREE TELEPHONE NUMBERS FOR INFORMATION AND COMPLAINTS
;1PORTANT NOTICE AVISO IMPORTANTE
To obtain in ation or make a complaint: You Para obtener informacion o para someter una queja:
may call J ferson Pilot Financial Insurance Usted puede llamar al numero de telefono gratis de
Company's 11-free telephone number for Jefferson Pilot Financial Insurance Company para
information o''to make a complaint at 1-800-423- informacion o para someter una queja al 1-800-423-
2765. 2765.
You may als write to Jefferson Pilot Financial
Insurance Co any at:
8801 Indian ~ is Drive
Omaha, Nebr ka 68114-4066
You may tact the Texas Department of
Insurance to I' btain information on companies,
coverages, rig s or complaints at 1-800-252-3439.
You may writ he Texas Department of Insurance
P.O. Box #14 04
Austin, TX 7 14-9104
FAX # (512) 5-1771
PREMIUM 0, 1 CLAIM DISPUTES: Should you
have a disput I' oncerning your premium or about a
claim, you slid Id contact the Company first. If the
dispute is not esolved, you may contact the Texas
Department o Insurance.
ATTACH T S NOTICE TO YOUR POLICY:
This notice i or information only and does not
become a or condition of the attached
document.
TX NOTICE-
Usted tambien puede escribir a Jefferson Pilot
Financial Insurance Company:
8801 Indian Hills Drive
Omaha, Nebraska 68114-4066
Puede comunicarse con el Departamento de Seguros
de Texas para obtener informacion acerca de
companias, coberturas, derechos o quejas al 1-800-
252-3439.
Puede escribir al Departamento de Seguros de
Texas
P.O. Box #149104
Austin, TX 78714-9104
FAX # (512) 475-1771
DISPUTAS SOBRE PRIMAS O RECLAMOS:
Si tiene una disputa concemiente a su prima o a un
reclamo, debe comunicarse con la compania
primero. Si no se resuelve la disputa, puede
entonces comunicarse con el departamento (TDI).
UNA ESTE AVISO A SU POLIZA: Este aviso es
solo para proposito de informacion y no se convierte
en parte o condicion del documento adjunto.
30
04-
REV. 08/01
03/01/04
IMPORTT INFORMATION ABOUT COVERAGE UNDER THE TEXAS LIFE, ACCIDENT,
H LTH AND HOSPITAL SERVICE INSURANCE GUARANTY ASSOCIATION
Texas law est lishes a system, administered by the Texas Life, Accident, Health and Hospital Service Guaranty
Association ( "Association"), to protect policyholders if their life or health insurance company fails to or
cannot meet i contractual obligations. Only the policyholders or insurance companies which are members of
the Associati are eligible for this protection. However, even if a company is a member of the Association,
protection is 1 ited and policyholders must meet certain guidelines to qualify. (The law is found in the Texas
Insurance Co Article 21.28D.)
BECAUSE STATUTORY LIMITATIONS ON POLICYHOLDER PROTECTION, IT IS
POSSIBLE T THE ASSOCIATION MAY NOT COVER YOUR POLICY OR MAY NOT COVER
YOUR POLJF
Y IN FULL.
Eligibility fo rotection by the Association
When an ins ce company which is a member of the Association is designated as impaired by the Texas
Commissioner f Insurance, the Association provides coverage to policyholders who are:
• reside s of Texas at the time that their insurance company is impaired
• reside s of other states, ONLY if the following conditions are met:
(1) 11 a policyholder has a policy with a company based in Texas;
(2) a company has never held a license in the policyholder's state of residence;
(3) le policyholder's state of residence has a similar guaranty association; and
(4) 11 e policyholder is not eligible for coverage by the guaranty association of the
licvholder's state of residence.
Limits of Pro ction by the Association
Accident, Ac dent and Health, or Health Insurance:
• up to otal of $200,000 for one or more policies for each individual covered.
Life Insurance
• net ca surrender value up to a total of $100,000 under one or more policies on any one life; or
• death nefits up to a total of $300,000 under one or more policies on any one life.
Individual A uities:
• net ca surrender amount up to a total of $100,000 under one or more policies owned by one
contra older.
Group Annu es:
• net cass, surrender amount up to $100,000 in allocated benefits under one or more policies owned
by one ' ontractholder; or
• net ca surrender amount up $5,000,000 in unallocated benefits under one contractholder
reizard ss of the number of contracts.
THE INSUI
EXISTENC
INDUCEM'
When you a
Texas Life,
Service Insu.
6504 Bridge
Austin, Tex
800-982-63(
www.txlife2
TX NOTIC
NCE COMPANY AND ITS AGENTS ARE PROHIBITED BY LAW FROM USING THE
OF THE ASSOCIATION FOR THE PURPOSE OF SALES, SOLICITATION, OR
T TO PURCHASE ANY FORM OF INSURANCE.
an insurance company, you should not rely on coverage by the Association.
ident, Health and Hospital
-e Guaranty Association
int Parkway, Suite 450
'8730
L. 93
31
Texas Department of Insurance
P.O. Box #149104
Austin, Texas 78714-9104
800-252-3439
03/01/04
Kent Consulting
FOR PROFESSIONAL SERVICES
~ (3
THIS CONRACT is made and entered into on the 24`h day of August 2004, by and between
hereinafte ailed COUNTY, and KENT CONSULTING, hereinafter called the CONSULTANT.
The CO engages the CONSULTANT to perform professional services for a project known and
described Voter Information Project, hereinafter called the "Project".
SECTIO - SERVICES OF THE CONSULTANT
The CON 4 ;LTANT shall perform the following professional services to BRAZOS COUNTY standards.
A. The C(
upcoming
B. The CC
C. The C(
before disc
SECTIOI
The CON
experience
by the CII
JLTANT shall prepare information to be distributed to Brazos County voters concerning the
Freeze proposal.
'ANT has assigned Todd Kent and Chris Peterson as Project Managers for this Contract.
PANT shall submit all information to the Brazos County Commissioners Court for approval
to voters.
- PERIOD OF
(LT ANT shall complete all services before September 11, 2004. In the event delays are
beyond the control of the CONSULTANT, the schedule may be revised as mutually agreed upon
and the CONSULTANT.
- TERMINATION
The CO 1, at its sole discretion, may terminate this CONTRACT for convenience or abandon any portion
of the Proj iy, for which services have not been performed by the CONSULTANT, upon five (5) days written
notice deli ed to CONSULTANT personally or by certified mail at Kent Consulting, 221 N. Harvey
Mitchell P Bryan, TX 77807.
In the eve t of such termination or abandonment, the CONSULTANT shall be paid for services performed
prior to re 'pt of said notice of termination including reimbursable expenses then incurred. In the event this
CONTRA is terminated, the COUNTY shall have the option of completing the work, or entering into a
CONTRA with another party for the completion of the work according to the provisions and agreements
herein.
IN WITN4 S WHEREOF, the parties hereto have executed this CONTRACT this 24`h day of August, 2004.
The CON LTANT warrants that the person who is signing this CONTRACT on behalf of the
CONSUL is authorized to do so and to execute all other documents necessary to carry out the
terms of t s CONTRACT.
CONSUL
Chris
t¥
/''/'%T TATT[/
p E Op
f
F ~ to
Y OF
BRAZOSCOUNTY
BRYAN, TEXAS
One-Year Term Contract
for
Professional
N
Employee: Rachel DeLeon
The mmissioner Court (hereinafter, County) Juvenile Board of Brazos County, hereby
empl s the undersigned professional Employee, and Employee accepts employment on
the fo owing terms and conditions:
1. Eloyee shall be employed on a 10-month basis for the school years 2004-2005
accor ng to the hours and dates set by the County as they exist or may hereafter be
2. T County shall pay Employee in twenty-four installments an annual salary
accor ng to the compensation plan adopted by the County. Employee's salary includes
consi ration for any assigned duties, responsibilities, and tasks, except as provided in
the C ty's supplemental duty schedule.
3. T contract does not cover assignments of or payments for supplemental duties. Any
such yments are not included as part of the annual salary under this contract. This
contr, t does not create a property right to continued employment in any supplemental
duty.
4. E loyee shall be subject to assignment and reassignment of positions or duties,
additi al duties, changes in responsibilities or work, transfers, or reclassification at
anyti during the contract term.
5. E loyee shall comply with, and be subject to, state and federal law and County
policies, rules regulations, and administrative directives as they exist or may hereafter be
amen d. Employee shall faithfully perform to the satisfaction of the County all duties
set for in the job description or as assigned.
6. T " contract is conditioned on Employee's satisfactorily providing the certification,
servi records, teaching credentials, and other records and information required by law,
the T as Education Agency, the State Board for Educator Certification, the State Board
of Ed
come
may 1
in
felon
ation, or the County. If proper certification is not provided, this contract does not
to force. Failure of Employee to maintain certification in the position(s) assigned
grounds for discharge. False statements, misrepresentations, omissions of
;d information, or fraud by the Employee in or concerning any required records or
nployment application may be grounds for discharge. Employee hereby
its the he/she has made written disclosure to the County of any conviction for a
it any offense involving moral turpitude.
7. E loyee shall satisfactorily submit or account for all grades, reports, school
equip ent, or other required items at the end of the contract term. Employee agrees that
the la salary payment under this contract is conditioned upon receipt from Employee of
all su, 11 items.
8. In cordance with the Texas Education Code, Chapter 21, Subchapter's E and F, the
Count may terminate this contract and discharge Employee or suspend Employee
witho ` pay during the term of this contract for good cause as determined by the County.
A sus nsion without pay may not extend beyond the end of the school year.
9. T County may terminate this contract and discharge Employee during the term of
the cc i tract if it determines that a financial exigency requires a reduction in personnel.
Finanal exigency, as used herein, means any event or occurrence that creates a need for
the C ty to reduce financial expenditures for personnel including, but not limited to, a
decli in the County's financial resources, a decline in enrollment, a cut in funding, a
decli in tax revenues, or an unanticipated expense or capital need.
10. etermination by the County that a program change requires that the contract of
Empl ee be terminated during the contract term constitutes good cause for discharge.
Progra.n change, as used herein, means any elimination, curtailment or reorganization of
a curriculum offering, program, or school operation. Program change includes, but is not
limit to , a change in curriculum objectives, a modification, or reorganization of
staffipatterns on a particular campus or County-wide, a redirection of financial
reso es to meet the educational need of the students, a lack of student response to a
partic ar course offering, legislative revisions to programs, or a reorganization or
consoll dation of two or more individual schools.
11. lployment in federally or categorically funded positions is expressly conditioned
upon e availability of full funding for the position.
12. e County has not adapted any policy, rule, regulation, law or practice providing
for to e. Neither right of tenure nor any other contractual obligation, other expectancy
of co 'nued employment, or claim of enrollment is created beyond the contract term.
13.
14.
or non-renewal of this contract shall be in accordance with state law; Texas
code, Chapter 21 Subchapter F; and County Policy.
►yee may be released from this contract only in accordance with Texas
Code 21.210 or with County approval, pursuant to local policy. Upon such
2
relea~ the County shall continue to make regular payroll disbursements to Employee
until y due and owing salary amount is fully paid.
15. is contract is subject to all applicable federal and state laws, rules and regulations.
Inval ity of any portion of this contract under the laws of the State of Texas or of the
Unit States shall not affect the validity of the remainder of the contract.
16. is contract combines and supersedes all prior agreements and representation
conc ` ing employment. No amendments to this contract shall be binding unless reduced
to wr ng and signed by both parties.
17. is offer of employment for the 2004-2005 school year shall expire unless this
contrt is signed and returned to the Office of Human Resources on or before September
2, 200 1, . Failure to return the signed contract by this date shall constitute a rejection of the
empl ent offer and current employment, if any, shall terminate at the end of the
existi contract term.
18. the discretion of the County or County's designee, an employee may be
recog ' zed by the County for outstanding performance. Recognized employees may
recei a single award not to exceed $1000 in addition to the annual salary and any
paym ` it to the Employee for supplemental duties. The award shall be paid prior to the
end o he contract term. Payment of an award does not create a property right to future
recog tion awards or incentive pay programs.
19. teachers are allowed five(5) sick days and five(5) personal days. I have read this
contr t and agree to abide by its terms and conditions:
BY:
Date: YINICY
Juveq e Board
BY: II Date:
Signature Date
3
OPEN PGUILDJU
Scftrmre. &slerna. S.h.67,ns.
This Agreement is m a between Open Guild LLC ("Consultant"), with a principal place of
business at 6500 Hill ont Drive Oakland CA 94605 and Brazos County, TX("Client" with a
principal place''of bu ` ess at Brazos County Courthouse 300 E. 26th Street, Suite 310
Bryan, TX77803.
1. Contract for
Scope of Serv s. Subject to and in reliance upon the representations, warranties,
and agreements co ined in this Agreement, and subject to the terms and conditions set
forth in this Agree nt, Consultant shall provide certain services to or for the Client, as
more fully described on Exhibit A attached hereto, and such other services as the Client
and the Consultant ee to (collectively, the "Services").
2. Consultant's
Consultant shall be
quarter-hour. Speci
3. Invoices
Consultant shall su
invoice shall detail
Client shall prompt
4. Term of Agreem
This Agreement will
(September L70, 2004.
be extended past that
5. Terminating the
a) Either pa
written n
payment
6. Intellectual Prot
This agreement gov
licenses, ownership
isated for each Developer's work at an hourly rate, billed to the nearest
ly rates and time constraints are set forth in Attachment A.
t invoices for all services rendered at the time of project completion. Each
total hours worked per day, with a brief comment on that day's activities.
ay the amounts due.
:ome effective when signed by both parties and will end no later than
mutual written agreement of Client and Consultant, this agreement may
may terminate this Agreement at any time by giving 5 business days
;e of termination without cause. Consultant shall be entitled to full
services performed prior to the effective date of termination.
ty Ownership
the development, implementation, and use of Open Source Software. No
lsigned rights are offered either explicitly or implicitly. Client
" 0" U
Comment: Brazos County strives to
pay invoices within 15 days but the
process involves several steps. Invoices
submitted to departments are checked and
forwarded to the Auditor who again
reviews and forwards to the County
Judge for signature. Once complete, the
treasurer writes the check
Comment: Is this the correct date?
acknowledges that ource code and any additional tailored elements of the project are part of a
public project and m be used by others freely.
7. Warranties
Consultant warrants 11 ' at all services performed under this Agreement shall be performed
consistent with gene ly prevailing professional or industry standards. Client must report any
deficiencies in Cons ant's services to Consultant in writing within 30 calendar days of
performance to recei, re warranty remedies.
THIS WARRANTY. S EXCLUSIVE AND IN LIEU OF ALL OTHER WARRANTIES.
8. Limitation Consultant's Liability to Client
(a) In no event s. i ill Consultant be liable to Client for lost profits of Client, or special,
incidental or con ' quential damages (even if Consultant has been advised of the possibility of
such damages).
(b) Consultant's tat liability under this Agreement for damages, costs and expenses,
regardless of cau , shall not exceed the total amount of fees paid to Consultant by Client
under this Aeree nt.
(c ) Client agree o test all work before relying upon it for any business purpose.
9. General Provisi s
(a) Sole agreem
t: This is the entire Agreement between Consultant and Client.
(b) Severability:
any part of this Agreement is held unenforceable, the rest of the
Agreement will
tinue in full force and effect.
(c) Applicable 14
W: This Agreement will be governed by the laws of the State of Texas
Date: Wql ci7 i
'o ultan
V Date: P~J" 04
(Signatur
Attachment A
0 PEN9 GU ILD,LLf
6500 Hillmont Drive
Oakland, CA 94605
Telephone (206) 984-1171
Fax (206) 984-1171
Overview
This is a proposal ished by Open Guild LLC at the direction of Brazos County, TX
for enhancements t he SquirrelMail web mail software. The purpose of this proposal is
to outline the work quested, the timeframe for the work to be completed within, the
hourly rate, and the mount of billable time required for completion and support.
Objectives
• Recurring 7
Events can
have a final
• Shared Cal,
Arbitrarily 4
calendars, b
will remain
• 24-Hour Sc
Events (sch
scheduled a
displays).
• Configurab,
The storage
different ba
nt Scheduling
scheduled to repeat daily, weekly, monthly (maybe yearly), and can
d-date, after which they no longer recur.
lar Management
fined user groups can be assigned to any number of different group
rhich they might have read or read/write access. Personal calendars
;vents will not overlap calendars in this release.
luling, Multi-day Scheduling
.ilable in 5-minute increments) can cross day boundaries and can be
ny time of the day (current calendar is limited in the hours it
Backend
f calendar data will be flexible enough to support any number of
ends; initially, a single file-based back end will be provided..
Completion Schede
Open Guild commi to the completion of the above-proposed configuration by
September 201H,
Support Servic
and Project Costs
Open Guild estima
the necessary time required to develop, test, implement, QA, and
support said confi
ration is one-hundred (100) hours. This includes:
• Support an(
ustomer service availability for the first twenty-four (24) hours post
installation
• Eight (8) h
s of standard customer support to be used within five (5) business
days of inst
lation
• An include
illing discount of ten (10) hours of standard support time
• Minor Squi
` 1 Mail plug-in adjustment, with no additional support charge for
five (5) bus
`ess days post installation
Open Guild will pr ide these services at a rate of $50 an hour, for a total maximum
project cost of $5,000 dollars.
Prioritized Second
ry Objectives
The following feat
s will be made available in subsequent version releases or possibly
as add-ons in the c
ently proposed release if allotted time allows:
• vCalendar s
port (should then be able to communicate with any vCal/iCal-
enabled dev
a or application) (approx 10 hours required)
• Email rem'
er system (approx 20 hours required)
• Import or s
ing of events between group and personal calendars (approx 10
hours requi
)
"
• Meeting re
st system (approx 50 hours required)
i
• IMAP, LD
and possibly other backends
• Migration t
s f
rom other calendar applications
i
CLWRq 1f :
Ciar-N S uurAm
Av-)
Ay\, et <e~ - C le-r't
Form W111119
Request for Taxpayer
Give form to the
(Rev. January 2003)
identification Number and Certification
requester. Do not
Department of the T
send to the IRS.
Internal Revenue Serv
N
Name
pE G~~ (
c.G
CY)
.
0.
Business n
, if different from above
c
0
C
C
`
Check app
IndividuaV
' riate box: ❑ Sole proprietor Corporation ❑ Partnership [-I Other ►
❑ Exempt from backup
withholding
o
Addt ess
be"r, t, and a' t. `or suite no.) rA Q ~ T ~
gp8p~A S U R E
a
c,,
L
e
300 EAST 26th
SUITE 31
a
N~ C a%-k c
o5
,
M
p
List accoun
umbers) here (optional)
m
M
- -
In
w
Tax
a er Identification Number IN
Enter your TIN in
appropriate box. For individuals, this is your social security number (SSN). Social security number
However, for a r
dent alien, sole proprietor, or disregarded entity, see the Part I instructions on
page 3. For other
tities, it is your employer identification number (EIN). If you do not have a number,
see How to get a
N on page 3. or
Note: If the acco
is in more than one name, see the chart on page 4 for guidelines on whose number Employer identification number
to enter.
01 Al
Ce
fication
Under penalties of i
duty, I certify that:
1. The number s
n on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and
2. 1 am not subj
to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal
Revenue Servi
(IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has
notified me th t
I am no longer subject to backup withholding, and
3. 1 am a U.S.
on (including a U.S. resident alien).
Certification i
,bons. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup
withholding becau
you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply.
For mortgage inter
t paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement
arrangement (IRA),,
d generally, payments other than interest and dividends, you are not required to sign the Certification, but you must
provide your corr
TIN. (See the ' struction on page 4.)
Sign
Here
Signallit
U.S.
of c
n ► y"'i t Date ► l-+ W 04-
Purpose of
orm
Nonresident alien who becort~s a resident allien.
A person who is
quired to file an information return with
Generally, only a nonresident alien individual may use the
terms of a tax treaty to reduce or eliminate U.S. tax on
the IRS, must o
in your correct taxpayer identification
certain types of income. However, most tax treaties contain a
number (TIN) to
port, for example, income paid to you, real
provision known as a "saving clause." Exceptions specified
estate transacts
, mortgage interest you paid, acquisition
in the saving clause may permit an exemption from tax to
or abandonment,
f secured property, cancellation of debt, or
continue for certain types of income even after the recipient
contributions yo
made to an IRA.
has otherwise become a U.S. resident alien for tax purposes.
U.S. person. Us
Form W-9 only if you are a U.S. person
If you are a U.S. resident alien who is relying on an
(including a resicif
nt alien), to provide your correct TIN to the
exception contained in the saving clause of a tax treaty to
person requesti
it (the requester) and, when applicable, to:
claim an exemption from U.S. tax on certain types of income,
1. Certify that
a TIN you are giving is correct (or you are
you must attach a statement that specifies the following five
waiting for a nu
er to be issued),
items:
2. Certify that, I
` u are not subject to backup withholding,
1. The treaty country. Generally, this must be the same
or
treaty under which you claimed exemption from tax as a
3. Claim exem
ion from backup withholding if you are a
nonresident alien.
U.S. exempt pa
2. The treaty article addressing the income.
Note: If a req
ter gives you a form other than Form W-9
3. The article number (or location) in the tax treaty that
to request your
, you must use the requester's form if it is
contains the saving clause and its exceptions.
substantially sum
to this Form W-9.
4. The type and amount of income that qualifies for the
Foreign person.
you are a foreign person, use the
exemption from tax.
appropriate For
-8 (see Pub. 515, Withholding of Tax on
5. Sufficient facts to justify the exemption from tax under
Nonresident Ale
and Foreign Entities).
the terms of the treaty article.
Cat. No. 10231X
Form W-9 (Rev. 1-2003)
R
~,~H
UTION DECLARING INTENTION TO REIMBURSE CERTAIN EXPENDITURES
WITH BORROWING PROCEEDS
IEREAS, Brazos County, Texas (the "Issuer") desires to pay capital expenditures in
with the purchase of 9.88 acres on Highway 21 (the "Land");
EREAS, Chapter 1201, Texas Government Code, as amended ("Chapter 1201"), permits the
Issuer to 11 e the proceeds of obligations to reimburse the Issuer for costs attributable to the Land paid or
incurred fore the date of issuance of the obligations for the purpose of financing public works projects,
which in 1' de the Land; and
VrJEREAS, the Issuer finds, considers, and declares that the reimbursement of the Issuer for the
payment such capital expenditures will be appropriate and consistent with the objectives of the Issuer's
programs' nd, as such, chooses to declare its intention, in accordance with the provisions of Section
1.150-2(3 of the Treasury Regulations, to reimburse itself for such payments at such time as it issues
obligatio to finance the Land.
W, THEREFORE, BE IT RESOLVED BY THE COMMISSIONERS COURT OF BRAZOS
TEXAS THAT:
S1 1 tion 1. This Resolution declares the intention of the Issuer to reimburse the expenditures for
the Land ith the proceeds of a borrowing. The Issuer presently intends to reimburse the expenditure by
incurring bt the interest on which is excludable from gross income under section 103 of the Internal
Revenue de of 1986, as amended.
S tion 2. The Issuer reasonably expects to incur debt with an aggregate maximum principal
amount n estimated to not exceed $5,000,000 for the purpose of paying the costs of certain projects-
including e Land. A portion of the proceeds received by the Issuer from such borrowing are reasonably
expected be used to reimburse the Road and Bridge Contingency Fund, from which such capital
expenditu s are expected to be made for the Land, in an amount not to exceed $600,000.
S tion 3. The Issuer intends that this Resolution satisfy the official intent requirement set forth in
Section 1.150-2(e) of the Treasury Regulations and evidences its intentions under Chapter 1201. The
Issuer has' o funds or sources of funds, other than the proceeds of the debt to be incurred, which the
Issuer has r reasonably expects to be, reserved, allocated on a long-term basis, or otherwise set aside in
the Issuer'; I budget or other financial policies with respect to the expenditures to be reimbursed.
S ion 4. All costs to be reimbursed pursuant hereto will be original expenditures within the
meaning Section 1.150-2(d)(3) of the Treasury Regulations. None of the expenditures to be
reimburse `pursuant to this Resolution have been allocated to expenditures entered on the books and
records o he Issuer earlier than the date on which such expenditures are paid. Moreover, no debt
obligation ill be issued by the Issuer in furtherance of this Resolution after a date which is later than 18
months aft r the later of (1) the date the expenditures are paid or (2) the date on which the property, with
respect to, 4 ich such expenditures were made, is placed in service.
Se' ion 5. The Issuer declares that this Resolution will be maintained as a public record available
for inspect'' n by all persons in accordance with the provisions of Chapter 552, Texas Government Code
and that n ater than 30 days after this date, this Resolution will be made available for inspection by all
members the general public at the offices of the Issuer.
tiro.
CERTIFICATE FOR RESOLUTION
ethe undersigned County Judge and County Clerk of Brazos County, Texas (the "County"),
hereby c ify as follows:
1. The Commissioners Court of the County (the "Commissioners Court") convened in regular
session, en to the public, on August 24, 2004, at the meeting place designated in the notice (the
"Meeting"), and the roll was called of the members, to wit: Randy Sims, County Judge, and the following
membersof the Commissioners Court: Eric Caldwell, Duane Peters, Kenny Mallard, and Carey Cauley,
Jr.
members of the Commissioners Court were present, except /Z/ A-,
thus con I tuting a quorum. Whereupon among other business, the following was transacted at the
Meeting: written
SOLUTION DECLARING INTENTION TO REIMBURSE CERTAIN
ENDITURES WITH BORROWING PROCEEDS
(the "Res ution") was duly introduced for the consideration of the Commissioners Court. It was then
duly move and seconded that the Resolution be finally passed and adopted; and after due discussion,
such mot' , carrying with it the adoption of the Resolution prevailed and carried by the following vote:
YES: 57 NOES: D ABSTENTIONS: D
. • 2 A true, full, and correct copy of the Resolution adopted at the Meeting is attached to and
-follows tl i Certificate; the Resolution has. been duly recorded in the Commissioners Court's minutes of
the Meet g; the above and foregoing paragraph is a true, full, and correct excerpt from the
Commiss `ners Court's minutes of the Meeting pertaining to the adoption of the Resolution; the persons
named in a above and foregoing paragraph are duly chosen, qualified, and acting officers and members
of the Co issioners Court as indicated therein; each of the officers and members of the Commissioners
Court wa duly and sufficiently notified officially and personally, in advance, of the time, place, and
purpose o the Meeting, and that the Resolution would be introduced and considered for adoption at the
Meeting a each of such officers and members consented, in advance, to the holding of the Meeting for
such purp e; and the Meeting was open to the public, and public notice of the time, place, and purpose of
the Meeti was given, all as required by Chapter 551, Texas Government Code, as amended.
3.I 'l aren McQueen is the duly appointed and acting County Clerk of the County
County
SIRNED AND SEALED this August 24, 2004.
Brazos County, Texas
COURT SEAL)
Brazos County,
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County,
272nd ar
the Offi
Court R
85th Dis
Court R
272nd D
Court R
3615` Di
ORDER DETERMINING COMPENSATION
OF
COURT REPORTERS
In the District Courts
of
Brazos County, Texas
the 18th day of August, 2004, after a public hearing in accordance with the Texas Local
rt Code, the undersigned Judges of the 85`h, 272nd and 361St District Courts in Brazos
xas, determined the compensation to be paid to the Official Court Reporters of the 85th,
61" District Courts as set forth in this order.
S THEREFORE ORDERED that, effective October 1, 2004, the annual compensation of
Court Reporters of the 85th, 272nd and 361 sc District Courts be set as follows:
ition Name Grp/Stp Sala
rter Paula K. Frederick 25/12 $53,576.47
t Court
Court
Carolyn J. White
25/12 $53,576.47
Court
Susan Rainwater
Page 1 of 2
/00
25/12 $53,576.47
IS FURTHER ORDERED that the District Clerk of Brazos County shall file this order in
the
of the District Courts of Brazos County, Texas and shall certify this order to the
Court of Brazos County, Texas for its observance.
this 18th day of August, 2004.
D. LA GLEYZ'
residin udge
85'x' Dist ct Court
STEVE SMITH
Presiding Judge
3615' District Court
RICHAAD W. B. "RICK" DAV
Presiding Judge
272nd District Court
Page 2 of 2
I
ACKNOWLEDGED:
~ o
w
In the District Courts
of
Brazos County, Texas
X33
ORDER DETERMINING COMPENSATION
OF
COUNTY AUDITOR AND
ASSISTANT COUNTY AUDITORS
the 18"' day of August, 2004, after a public hearing in accordance with the Texas Local
Code, the undersigned Judges of the District Courts in Brazos County, Texas,
the compensation to be paid to the County Auditor and Assistant County Auditors as set
forth in t* order.
THEREFORE ORDERED that, effective October 1, 2004, the annual compensation of
the Count Auditor and each Assistant County Auditor position be set as set forth as approved in the
attached f i hibit "A" which is incorporated herein.
FURTHER ORDERED that the District Clerk of Brazos County shall file this order in
the minus of the District Courts of Brazos County, Texas and shall certify this order to the
Commiss#4ners Court of Brazos County, Texas for its observance.
C
this 18th day of August, 2004.
85"
IGLEY FJ DAVIS
in Judge Presiding Judge
is ~lct Court 272nd District Court
STEVE SMITH
Presiding Judge
361St District Court
ACKN
ED:
Sims, County Judge
EXHIBIT A
Order Determing Compensation
of the County Auditor and
Assistant County Auditors
For the Fiscal Year Ending September 30, 2005
Position
Em
Hire Annual
Date Salarv
COL
f
ty Auditor Katie Conner 3/20/1995 $ 70,296.00
Dir
tor of Accounting Irene Jett 5/1/2004 47,362.00
Dir
for of Auditing Lane Lauderdale 10/1/2003 47,362.00
Ass
Auditor Level I I I Fang Deng 5/17/1999 40,830.00
Ass
Auditor Level II Brooke Jensen 7/29/2002 30,368.00
Ass
Auditor Level I Megan Conkel 10/13/2003 28,184.00
Ass
Auditor Level I Rosa Lozano 10/13/2003 28,184.00
Ass
.
Auditor Level I Brian Pratt 2127/2004 27,498.00
Acc
nting Asst. Level III Amy Bates 6/11/1999 31,117.00
Acc
nting Asst. Level II Beverly Murph 10/10/1994 27,498.00
t
Acc
nting Asst. - Part time Mark Garton 8/12/2004 12,459.00
$ 391,158.00
#ll
AUTHORIZING THE ISSUANCE OF $5,000,000 "BRAZOS COUNTY,
,ATES OF OBLIGATION, SERIES 2004" AND OTHER MATTERS R1
W tAUREAS, the Commissioners Court of Brazos County, Texas (the "County") deems it advisable to issue
the Certific s (defined herein) in the original aggregate principal amount of $5,000,000 for the purposes described in
Section 3 o s Order;
W EREAS, the Certificates hereinafter authorized and designated are to be issued and delivered for cash
pursuant to a Subchapter C, Chapter 271, Texas Local Government Code, as amended (the "Act"), and the County is
authorized Section 320.073, Texas Local Government Code, as amended, to secure obligations from certain
revenues re ived by the County from its ownership and operation of the Center (defined herein).
W EREAS, the Commissioners Court has heretofore, on August 3, 2004, passed an order authorizing and
directing th County Clerk to give notice of intention to issue the Certificates, which notice has been duly published in
The Bryan- liege Station Eagle, which is a newspaper of general circulation in the County, in its issues of August 4,
2004, and gust 11, 2004, the date of the first publication being at least 14 days prior to the tentative date stated in
such notice r passage of this Order;
WEREAS, the County has received no petition from the qualified voters of the County protesting the
issuance of e Certificates; and
WEREAS, it is considered to be in the best interest of the County that the Certificates be issued bearing the
date, intere rates, denominations, and maturities as hereafter provided;
N, THEREFORE, BE IT ORDERED BY THE COMMISSIONERS COURT OF BRAZOS COUNTY,
TEXAS, T T:
S( C ion 1. Authorization of the Certificates. There is hereby authorized to be issued and delivered, a series
of certifica s of obligation of the County, to be known as "BRAZOS COUNTY, TEXAS CERTIFICATES OF
OBLIGAT N, SERIES 2004" (the "Certificates"), in the original aggregate principal amount of $5,000,000 payable
from ad va em taxes and a limited pledge of $1,000 from the revenues of the Center (as further described in Section
5(a) of this rder), for the purposes described in the Form of Certificates contained in Section 3 hereof.
S ion 2. Date, Denominations, Numbers, and Maturities of Interest on the Certificates. The
Certificate i hall be dated as of August 15, 2004 (the "Dated Date"), shall be in denominations of $5,000 each or any
integral m 1 'ple thereof, shall be numbered I-1 for the Initial Certificate (defined herein) and consecutively from R-1
upward fo the definitive Certificates, and shall mature on September 1 in each of the years as provided in the
following edule. The Certificates shall bear interest at the specified rates per annum from the Dated Date, such
interest pa le semi-annually beginning March 1, 2005, and continuing on each September 1 and March 1 thereafter
through th spective maturity, as shown below:
(Remainder of page intentionally left blank)
(0 pp
Year of I
2007
2008
2009
2010
2011
2012
2013
2014
2015
shall be pa
shall be sil
Form of th
Texas to bf
Form of A
omissions,
shall apply
Principal Interest Year of Principal Interest
Amount Rate Maturity Amount Rate
2016
2017
2018
2019
2020
2021
2022
2023
2024
n 3. General Characteristics and Form of the Certificates. The Certificates (i) shall be issued; (ii)
(iii) shall be redeemable prior to their scheduled maturities; (iv) shall have the characteristics; and (v)
sealed, and executed, all as provided and in the manner indicated in the form set forth below. The
rtificates, the Form of the Registration Certificate of the Comptroller of Public Accounts of the State of
ited and manually endorsed on the Initial Certificate, the Form of the Authentication Certificate, and the
anent, which shall be, respectively, substantially as follows, with necessary and appropriate variations,
insertions as permitted or required by this Order, and the definitions contained within each such form
lv to such form:
FORM OF CERTIFICATES
United States of America
State of Texas
BRAZOS COUNTY, TEXAS
CERTIFICATE OF OBLIGATION, SERIES 2004
[FORM OF DEFINITIVE CERTIFICATES]
NUMBER
R-
DENOMINATION
REGISTERED
DATED MATURITY
DATE DATE CUSIP NO.
August 15, 2004
REGI
PRINCIP
of Texas,
Owner"),
payment c
the Princil
the Interes
the Dated
provided 1
each Seot(
OWNER:
AMOUNT: DOLLARS )
kZOS COUNTY, TEXAS (the "County"), being a body corporate and a political subdivision of the State
)mises to pay to the Registered Owner, specified above, or registered assigns (either, the "Registered
the Maturity Date, specified above, upon presentation and surrender of this Certificate at the designated
;e of JPMORGAN CHASE BANK, Dallas, Texas, or its successor (the "Paying Agent/Registrar"), to wit:
Amount, specified above, in lawful money of the United States of America, and to pay interest thereon at
ate, specified above, calculated on the basis of a 360-day year of twelve 30-day months, from the later of
ate, specified above, or the most recent interest payment date to which interest has been paid or duly
Interest on this Certificate is payable semi-annually by check beginning March 1, 2005, and continuing
ber 1 and March 1 thereafter through maturity, mailed to the Registered Owner of record as shown on the
2
VOL L G PAGE 106'
books of re i tration kept by the Paying Agent/Registrar (the "Registration Books"), as of the Record Date (hereinafter
defined), or ( such other manner as may be acceptable to the Registered Owner and the Paying Agent/Registrar. The
record date r determining the person to whom interest is payable on any interest payment date (the "Record Date") is
the 15th cal - dar day of the month preceding a scheduled payment. In the event of a non-payment of interest on a
scheduled ent date, and for 30 days thereafter, a new Record Date for such payment (a "Special Record Date")
will be esta shed by the Paying Agent/Registrar, if and when funds for the payment thereof have been received from
the County. Notice of the Special Record Date and of the scheduled payment date of the past due payment (the
"Special Pa' ent Date", which shall be 15 calendar days after the Special Record Date) shall be sent at least five
business da prior to the Special Record Date by United States mail, first-class postage prepaid, to the address of the
Registered er appearing on the Registration Books at the close of business on the last business day next preceding
the date of ailing of such notice. The County covenants with the Registered Owner that no later than each principal
installment ayment date and interest payment date for this Certificate it will make available to the Paying
Agent/Regi r the amounts required to provide for the payment, in immediately available funds, of all principal of
and interes n the Certificates, when due, in the manner set forth in the order authorizing the issuance of the
Certificates opted by the Commissioners Court of the County on August 24, 2004 (the "Order").
T CERTIFICATE is one of a series of Certificates dated as of the Dated Date specified above of like
designation. late, and tenor, except as to number, interest rate, denomination, and maturity, issued pursuant to the
Order in t original aggregate principal amount of $5,000,000 for the purpose of providing for the payment of
contractual ligations to be incurred in connection with the design, planning, acquisition, construction, equipping,
expansion,; v d/or renovation of certain public property, specifically being the purchase of ten acres on State Highway
21 for a S iff Administration building, 2.5 acres on the corner of Anderson Street and George Bush Drive for
Justice of t Peace, Precinct 3, right of way on State Highway 21 east to the county line, and realty, including any
improveme s thereon, located in close proximity to the county courthouse to be used or (if necessary) provide the
locale for ounty building; construction and equipment of a building for Justice of the Peace, Precinct 3; purchase
and acquis' on of heavy equipment for construction and maintenance of County roads; acquisition and installation
of chillers or the county courthouse; acquisition of technical equipment for courtrooms; improvements for
Americans % ith Disability Act compliance for entrances to all county buildings; and construction of the following
road impro ments: North Dowling Road, Dilly Shaw Tap Road, Westway, Lakewood Drive, Rabbit Lane, Koppe
Bridge Ro Grassbur Road, Enloe Drive, Barnes Road, Wooddale Circle, Bethany, and Opersteny Lane; and the
payment o ontractual obligations for professional services in connection with such projects (including, but not
limited to, ancial advisory, legal, architectural, and engineering); and the payment of contractual obligations for
profession services in connection with such projects (including, but not limited to, financial advisory, legal,
architectur and engineering), and paying costs of issuance of the Certificates.
RlItERENCE IS HEREBY MADE TO THE FURTHER PROVISIONS OF THIS CERTIFICATE SET
FORTH O HE REVERSE HEREOF, WHICH PROVISIONS SHALL HAVE THE SAME FORCE AND EFFECT
AS IF SET ORTH IN THIS SPACE.
ITNESS WHEREOF, this Certificate has been signed with the manual or facsimile signature of the
County Judge of the County and countersigned with the manual or facsimile signature of the County Clerk of the
County, and official seal of the County has been duly impressed, or placed in facsimile, on this Certificate.
x XXXXxXXxXXXXxXXXXxXXXxx xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
County C1 County Judge
(Back Panel of Certificates if printed)
T CERTIFICATES are issued pursuant to the Order, whereunder the Commissioners Court of the County
covenants levy a continuing, direct, annual ad valorem tax on taxable property within the County, within the limits
Vol
prescribed law, for each year while any part of the Certificates are considered outstanding under the provisions of
the Order, i sufficient amount to pay interest on each Certificate as it becomes due, to provide a sinking fund for the
payment of a principal of the Certificates when due, and to pay the expenses of assessing and collecting such tax, and
this Certifi e is additionally secured by and payable from a limited pledge of $1,000 of the revenues of the County's
convention d meeting facility known as the Brazos Center (the "Center"). Reference is hereby made to the Order for
provisions th respect to the custody and application of the County's funds, remedies in the event of a default here-
under or th under, and the other rights of the Registered Owner. By acceptance of this Certificate, the Registered
Owner con! it is to all of the provisions of the Order, a certified copy of which is on file in the office of the County
Clerk.
TI [ COUNTY RESERVES THE RIGHT to redeem the Certificates maturing on or after September 1, 2015,
in whole or part, on September 1, 2014 or on any date thereafter. Such optional redemption shall be at a redemption
price of pa lus accrued interest on the principal amounts called for redemption to the date fixed for redemption. If
less than al f the Certificates are to be redeemed, the particular Certificates to be redeemed shall be selected by the
County in tegral multiples of $5,000 within any one maturity. At least 45 days prior to the date fixed for any
redemption f Certificates or portions thereof prior to maturity, a written notice of such redemption shall be given by
the County to the Paying Agent/Registrar, and the Paying Agent/Registrar shall send a copy of such notice at least 30
days prior the date fixed for redemption by United States mail, first-class postage prepaid, addressed to the
Registered wner of each Certificate to be redeemed in whole or part at the address shown on the Registration
Books; pro, i led, however, that the failure to send, mail, or receive such notice, or any defect therein or in the sending
or mailing reof, shall not affect the validity or effectiveness of the proceedings for the redemption of any Certificate.
When Certi ates or portions thereof have been called for redemption, and due provision has been made to redeem the
same, the ncipal amounts so redeemed shall be payable solely from the funds provided for redemption, interest
which wou otherwise accrue on the amounts called for redemption shall terminate on the date fixed for redemption,
and redee Certificates shall no longer be regarded as outstanding except for the right of the Registered Owner or
Registered wners thereof to receive the redemption price from the Paying Agent/Registrar out of the funds provided
for such va ent.
TI I S CERTIFICATE IS TRANSFERABLE OR EXCHANGEABLE only upon presentation and surrender at
the design d payment office of the Paying Agent/Registrar. If this Certificate is being transferred, it shall be duly
endorsed f transfer or accompanied by an assignment duly executed by the Registered Owner, or his authorized
representat , subject to the terms and conditions of the Order. If this Certificate is being exchanged, it shall be in the
principal a unt of $5,000 or any integral multiple thereof, subject to the terms and conditions of the Order. The
Paying Ag it/Registrar is not required to accept any Certificate for transfer or exchange (i) during any period
beginning t the opening of business 15 days before the day of the fast mailing of a notice of redemption of Certificates
and ending in the close of business on the day of such mailing or (ii) 15 days prior to the date fixed for redemption of
such Certi ate; provided, however, such limitation of transfer shall not be applicable to an exchange by the Registered
Owner of e unredeemed balance of a Certificate called for redemption in part. The Registered Owner of this
Certificate tall be deemed and treated by the County and the Paying Agent/Registrar as the absolute owner hereof for
all purpose including payment and discharge of liability upon this Certificate to the extent of such payment, and the
County an he Paying Agent/Registrar shall not be affected by any notice to the contrary.
THE EVENT any Paying Agent/Registrar for the Certificates is changed by the County, resigns, or
otherwise ses to act as such, the County has covenanted in the Order that it promptly will appoint a competent and
legally qua ' red substitute therefor and cause written notice thereof to be mailed to the Registered Owners.
ASE any officer of the County whose manual or facsimile signature shall appear on any Certificate shall
cease to such officer before the delivery of any such Certificate, such manual or facsimile signature shall
neverthele & be valid and sufficient for all purposes as if such officer had remained in office until such delivery. Any
Certificate % hich bears the facsimile signature of such person who at the actual time of the delivery of such Certificate
shall be an i officer authorized to sign such Certificate, but who at the date of such Certificate was not such an officer,
shall be v 1 dly and sufficiently signed for all purposes as if such person had been such officer at the date of such
VOL V) PAGE 10~
Certificate. e County authorizes the printing of a true and correct copy of an opinion of Winstead Sechrest & Minick
P.C. relating to the validity and enforceability of the Certificates under Texas law and the status of interest on the
Certificates der federal income tax laws on the reverse side of each of the Certificates over a certificate of
identificatio executed by the facsimile signature of the County Clerk, and also authorizes the imprinting of CUSIP (the
American linkers Association's Committee on Uniform Securities Identification Procedures) numbers on the
Certificates; rovided, however, that the failure of such opinion, certificate, or CUSIP numbers to appear on any
Certificate, any errors therein, or in any part of the Certificate, the form of which is not included in the Order, shall in
no way affe the validity or enforceability of the Certificates or relieve the Initial Purchasers of the Certificates of their
obligation t ccept delivery of and pay for the Certificates.
IT HEREBY CERTIFIED, COVENANTED, AND REPRESENTED that all acts, conditions, and things
necessary t e done precedent to the issuance of the Certificates in order to render the same legal, valid, and binding
obligations the County have happened and have been accomplished and performed in regular and due time, form,
and manner is required by law; that provision has been made for the payment of the principal of and interest on the
Certificates the levy of a continuing, direct, annual ad valorem tax upon all taxable property within the County,
within the 1 t prescribed by law, and from the above-described limited pledge of $1,000 from the surplus revenues
received by e County from its ownership and operation of the Center; and that issuance of the Certificates does not
exceed any nstitutional or statutory limitation.
B) 1 ECOMING the Registered Owner of this Certificate, the Registered Owner thereby acknowledges all of
the terms a provisions of the Order, agrees to be bound by such terms and provisions, and agrees that the terms and
provisions this Certificate and the Order constitute a contract between each Registered Owner and the County.
FORM OF INITIAL CERTIFICATE
NO. I-1 $5,000,000
United States of America
State of Texas
BRAZOS COUNTY, TEXAS
CERTIFICATE OF OBLIGATION, SERIES 2004
Dated Dater, AUGUST 15, 2004
Registered
Principal A14ount: FIVE MILLION DOLLARS ($5,000,000)
BI L OS COUNTY, TEXAS (the "County"), for value received, acknowledges itself indebted to and hereby
promises t ay to the order of the Registered Owner, specified above, or the registered assigns thereof, the Principal
Amount, s ified above, with principal installments payable on September 1 in each of the years, and bearing interest
at per annu rates in accordance with the following schedule:
OF PRINCIPAL INTEREST
URITIES INSTALLMENTS RATES
(Information to be inserted from schedule appearing in Section 2 of the Order.)
VOL (0 RA,"g i O C~
IN EREST on the unpaid Principal Amount hereof from the Dated Date, as specified above, or from the most
recent inter t payment date to which interest has been paid or duly provided for until the Principal Amount has
become du nd payment thereof has been made or duly provided for shall be paid, computed on the basis of a 360-day
year of twe 1, a 30-day months, such interest being payable on March 1 and September 1 of each year, commencing
March 1, 2 5.
PRINCIPAL OF AND INTEREST ON this Certificate are payable in lawful money of the United States
of America 'thout exchange or collection charges. The final payment of principal of this Certificate shall be paid to
the Registe d Owner hereof upon presentation and surrender of this Certificate at final maturity, at the designated
payment Ice of JPMORGAN CHASE BANK, Dallas, Texas, or its successors, which is the "Paying
Agent/Regi ar" for this Certificate. The payment of principal installments and interest on this Certificate shall be
made by th Paying Agent/Registrar to the Registered Owner hereof as shown on the books of registration kept by the
Paying Age egistrar (the "Registration Books") at the close of business on the Record Date (hereinafter defined) by
check draw by the Paying Agent/Registrar on, and payable solely from, funds of the County required to be on deposit
with the Pa ng Agent/Registrar for such purpose as hereinafter provided; and such check shall be sent by the Paying
Agent/Regi ar by United States mail, postage prepaid, on each such payment date, to the Registered Owner hereof at
its address it appears on the Registration Books, as hereinafter described. The record date for determining to whom
interest is yable on any interest payment date (the "Record Date") means the 15th calendar day of the month
preceding cheduled payment. In the event of a non-payment of irterest on a scheduled payment date, and for 30
days there r, a new Record Date for such payment (a "Special Record Date") will be established by the Paying
Agent/Regi ar, if and when funds for the payment thereof have been received from the County. Notice of the Special
Record Da and of the scheduled payment date of the past due payment (the "Special Payment Date", which shall be
15 calendar (lays after the Special Record Date) shall be sent at least five business days prior to the Special Record Date
by United tes mail, first-class postage prepaid, to the address of the Registered Owner appearing on the Registration
Books at t j close of business on the last business day next preceding the date of mailing of such notice. The County
covenants th the Registered Owner that no later than each principal installment payment date and interest payment
date for thi Certificate it will make available to the Paying Agent/Registrar the amounts required to provide for the
payment, i ediately available funds, of all principal of and interest on the Certificates, when due, in the manner set
forth in the rder authorizing the issuance of the Certificates adopted by the Commissioners Court of the County on
August 24, 04 (the "Order").
FORM OF AUTHENTICATION CERTIFICATE
AUTHENTICATION CERTIFICATE
TI i Certificate of Obligation is one of the Certificates described in and delivered pursuant to the within-
mentioned rder, and this Certificate has been issued in conversion of and exchange for, or replacement of, a
Certificate, ertificates, or a portion of a Certificate or Certificates of an issue which was originally approved by the
Attorney eral of the State of Texas and registered by the Comptroller of Public Accounts of the State of Texas.
JPMORGAN CHASE BANK
Dallas, Texas
Paying Agent/Registrar
Registratio Date: By
11 Authorized Signature
VOL (yD PAGE I
FORM OF ASSIGNMENT
ASSIGNMENT
(Please insert
Identification
the within
within Cei
premises.
Dated:
Signature I
Z VALUE RECEIVED, the undersigned hereby sells, assigns, and transfers unto
ial Security or Taxpayer
nber of Transferee)
i
(Please print or typewrite name and address, including zip code, of Transferee)
ate of Obligation and all rights thereunder, and hereby irrevocably constitutes and appoints
attorney to register the transfer of the
of Obligation on the books kept for registration thereof, with full power of substitution in the
NOTICE: gnature(s) must be guaranteed by a member
firm of th ew York Stock Exchange or a commercial
bank or ttu company.
NOTICE: The signature above must correspond with
the name of the Registered Owner as it appears upon the
front of this Certificate of Obligation in every particular,
without alteration or enlargement or any change
whatsoever.
following abbreviations, when used in the Assignment above or on the face of the within Certificate of
all be construed as though they were written out in full according to applicable laws or regulations:
COM - as tenants in common
ENT - as tenants by the entireties
EN - as joint tenants with right of survivorship and not as tenants in common
GIFT MIN ACT - Custodian
(Cult)
Uniform Gifts to Minors Act
(Minor)
(State)
itional breviations may also be used though not in the list above.
*Attach to or print on Initial Certificate only
COMPTR LER'S REGISTRATION CERTIFICATE: REGISTER NO.
I EREBY CERTIFY THAT there is on file and of record in my office a certificate to the effect that the
Attorney neral of the State of Texas has examined and fords that this Certificate of Obligation has been issued in
conformi ith the Constitution and laws of the State of Texas and is a valid and binding obligation of Brazos County,
Texas, an er that this Certificate of Obligation has been registered this day by me.
7
ii ry~ppyy~
ESS my signature and seal of office this
'S SEAL)
Comptroller of Public Accounts of the State of Texas
[END OF FORMS]
Se ion 4. Definitions. In addition to other words and terms defined in this Order (except those defined and
used in Se on 3), and unless a different meaning or intent clearly appears in the context, the following words and
terms shall ve the following meanings, respectively:
" itional Obligations" means such other bonds, certificates, or other evidences of indebtedness as may
hereafter b ! authorized, payable from, and equally secured by a pledge of the County's taxes and/or the revenues
generated the County's ownership and operation of the Center to the same extent as pledged for and in all things on
a parity wi the lien securing the Certificates.
-A Jorney General" means the Attorney General of the State.
"~d Counsel" means Winstead Sechrest & Minick P.C., or such other nationally recognized bond counsel
selected b e County to serve in such capacity.
means the County's convention and meeting facility known as the Brazos Center.
ificate" or "Certificates" means any or all of the Certificates, as the case may be, of that series styled
"Brazos C nty, Texas Certificates of Obligation, Series 2004", issued in the original aggregate principal amount of
$5,000,00 uthorized by this Order.
means the Internal Revenue Code of 1986, as amended.
body.
issioners Court" means the Commissioners Court of the County, being its duly authorized governing
means the Comptroller of Public Accounts of the State.
successor
means Brazos County, Texas, a body corporate and a political subdivision of the State, or any
Clerk" means the County Clerk of the County.
Judge" means the County Judge of the County.
means the Depository Trust Company, New York, New York, and its successors and assigns.
" vernment Obligations" means (i) direct noncallable obligations of the United States, including obligations
that are u onditionally guaranteed by the United States of America; (ii) noncallable obligations of an agency or
instrument ity of the United States, including obligations that are unconditionally guaranteed or insured by the agency
or instru tality and that, on the date the Commissioners Court adopts or approves the proceedings authorizing the
issuance o refunding bonds, are rated as to investment quality by a nationally recognized investment rating firm not
less than ' AA" or its equivalent; or (iii) noncallable obligations of a state or an agency or a county, municipality, or
other polit t al subdivision of a state that have been refunded and that, on the date the Commissioners Court adopts or
8
~I
VOL 100 PAGE
approves throceedings authorizing the issuance of refunding bonds, are rated as to investment quality by a nationally
recognized ' estment rating firm not less than "AAA" or its equivalent.
Certificate" means the Certificate registered by the Comptroller as described in Section 10 hereof.
"I 1 Purchasers" means
"In rest Payment Date" means, when used in connection with any Certificate, March 1, 2005, and each
September nd March 1 thereafter until maturity or earlier redemption of such Certificate.
"O ctal Statement" means the disclosure document dated as of August 24, 2004, along with any supplement
or amendm thereto, distributed by the County in connection with the offering and sale of the certificates.
"O r" means this "Order Authorizing the Issuance of $5,000,000 `Brazos County, Texas Certificates Of
Obligation, ries 2004' and Other Matters Related Thereto" adopted by the Commissioners Court on August 24,
2004.
"P ng Agent/Registrar" means JPMorgan Chase Bank, Dallas, Texas, and such other bank or trust company
as may he fter be appointed in substitution therefor or in addition thereto to perform the duties of Paying
Agent/Regi r in accordance with the provisions of this Order.
Date.
g Agent/Registrar Agreement" means the agreement dated as of August 15, 2004, between the Paying
r and the County substantially in the form of Exhibit A attached hereto, which relates to the registration,
and transfer of the Certificates.
Date" means the date for determining the person to whom interest is payable on any Interest Payment
Owner" or "Registered Owners" means any person who shall be the registered owner of any
tes, or the assigns thereof.
"R istration Books" means the books of registration kept by the Paying Agent/Registrar in which are
maintained a names and addresses of, and the principal amounts registered to, each Registered Owner.
means the State of Texas.
S lion 5. County Funds. The County hereby confirms the establishment of the following funds of the
County at a epository of the County:
(a) Interest and Sinking Fund Tax Lev and Pledge of Revenues. The "Brazos County, Texas Certificates of
Obligationj ies 2004 Interest and Sinking Fund" (the "Interest and Sinking Fund") is hereby created and shall be
established maintained by the County at an official depository bank of the County. The Interest and Sinking Fund
shall be ke parate and apart from all other funds and accounts of the County and shall be used only for paying the
interest on principal of the Certificates. The accrued interest and any premium received upon the initial delivery of
the Certifi, and the net proceeds of all ad valorem taxes levied and collected for and on account of the Certificates,
shall be de ed, as collected, to the credit of the Interest and Sinking Fund.
D g each year while any of the Certificates or interest thereon are outstanding and unpaid, the
Commissi rs Court shall compute and ascertain a rate and amount of ad valorem tax which will be sufficient to raise
and produ the money required to pay the interest on the Certificates as such interest comes due and to provide and
maintain a nking fund adequate to pay the principal thereof as such principal matures (but never less than 2% of the
original p ipal amount of the Certificates as a sinking fund each year); and the tax shall be based on the County's
iL
60
latest appro d tax rolls, with full allowances being made for tax delinquencies and the cost of tax collection. The rate
and amount If ad valorem tax is hereby levied, and is hereby ordered to be levied, against all taxable property in the
County for ch year while any of the Certificates or interest thereon are outstanding and unpaid, and the tax shall be
assessed an collected each year and deposited to the credit of the Interest and Sinking Fund. The ad valorem taxes
sufficient to,i rovide for the payment of the interest on and principal of the Certificates, as such interest comes due and
such princi matures, are hereby pledged irrevocably for such payment, within the limit prescribed by law.
Th ertificates additionally shall be payable from and secured by a subordinate lien on and pledge of $1,000
of the reve es generated from the County's ownership and operation of the Center, such revenues permitted to be
pledged by ction 320.073, Texas Local Government Code, as amended. Notwithstanding the requirements of this
Section, if y revenues of the Center are actually on deposit in the Interest and Sinking Fund in advance of the time
when ad va' rem taxes are scheduled to be levied for any year, then the amount of taxes which otherwise would have
been requir to be levied pursuant to this Section maybe reduced to the extent and by the amount of such revenues
then on dep , it in the Interest and Sinking Fund or budgeted for deposit therein. The County shall deposit such limited
pledge of $ 00 of the revenues of the Center to the credit of the Interest and Sinking Fund.
Th ounty reserves the right to issue, for any lawful purpose at any time, in one or more installments, bonds,
certificates obligation, and other obligations of any kind payable in whole or in part from, and secured by a pledge of
the Center' revenues that may be prior and superior in right to, on a parity with, or junior and subordinate to the
$1,000 limi d pledge of the such revenues additionally securing the Certificates.
(b) Construction Fund. The "Brazos County, Texas Certificates of Obligation, Series 2004 Construction
Fund" (the ` onstruction Fund") is hereby created and shall be established and maintained by the County at an official
depository ink of the County. The Construction Fund is the fund into which the net proceeds of the Certificates shall
be deposit except that any premium received from the Initial Purchasers shall be deposited to the Interest and
Sinking Fu . Money in the Construction Fund shall be used to pay the costs necessary or appropriate to accomplish
the ourvos for which the Certificates are issued.
Se 'on 6. Investments and Security. (a) Investment of Funds. The County may place money in any fund
created by is Order in time or demand deposits or invest such money as authorized by law at the time of such deposit;
provided, ever, that the County hereby covenants that the proceeds of the sale of the Certificates will be used as
soon as pr, icable for the purposes for which the Certificates are issued. Obligations purchased as an investment of
money in a Rind shall be deemed to be a part of such fund.
( Amounts Received from Investments. Except as otherwise provided by law, amounts received from the
investment If the Construction Fund may be retained in such fund or deposited to the Interest and Sinking Fund as
determine y the Commissioners Court. Any amounts received from the investment of the Interest and Sinking Fund
shall be de sited in the Interest and Sinking Fund.
(c ecuri for Funds. All funds created by this Order shall be secured in the manner and to the fullest extent
required b law for the security of funds of the County.
Remaining Funds. Any money remaining after the purposes for which the Certificates have been
s shall be deposited in the Interest and Sinking Fund and the Construction Fund shall then be closed.
7. Covenants of the County. (a) General Covenants. The County covenants and represents that:
(i) The County is a duly created county, operating and existing under the laws of the State, and is duly
orized under the laws of the State to create and issue the Certificates, all action on its part for the creation
issuance of the Certificates has been duly and effectively taken, and the Certificates in the hands of the
istered Owners thereof are and will be valid and enforceable obligations of the County in accordance with
- terms; and
10
VOL 190 PAGE 114
(ii) The Certificates shall be ratably secured in such manner that no one Certificate shall have preference
ov other Certificates.
(b Specific Covenants. The County covenants and represents that, while the Certificates are outstanding
and unpaid will:
11 (i) proceed to acquire and construct with all due diligence and dispatch so much of the projects as
sh 1 have been financed with the proceeds of the Certificates;
(ii) levy an ad valorem tax, within the limits prescribed by law, that will be sufficient to provide funds
to y the current interest on the Certificates and to provide the necessary sinking fund, as described in this
(iii) have or obtain lawful title to the lands, buildings, structures, and facilities constituting the Center;
defend the title to all the aforesaid lands, buildings, structures, and facilities, and every part thereof, for
benefit of the Registered Owners and Additional Obligations, against the claims and demands of all
ons whomsoever; is lawfully qualified to pledge the revenues generated by the County's ownership and
ration of the Center to the payment of the Certificates and Additional Obligations in the manner
cribed herein; and has lawfully exercised such rights;
(iii) from time to time and before the same become delinquent, pay and discharge all taxes,
;ssments, and governmental charges, if any, which shall be lawfully imposed upon the Center; pay all
ful claims for rents, royalties, labor, materials, and supplies which if unpaid might by law become a lien
harge thereon, the lien of which would be prior to or interfere with the liens hereof, so that the priority
he liens granted hereunder shall be fully preserved in the manner provided herein, and not create or
er to be created any mechanic's, laborer's, materialman's, or other lien or charge which might or could
)rior to the liens hereof, or do or suffer any matter or thing whereby the liens hereof might or could be
aired; provided, however, that no such tax, assessment, or charge, and that no such claims which might
tsed as the basis of a mechanic's, laborer's, materialman's, or other lien or charge, shall be required to
)aid so long as the validity of the same shall be contested in good faith by the County;
(iv) will continuously and efficiently operate the Center, pay its costs of operation, and maintain the
iter in good condition, repair, and working order, all at reasonable cost;
(v) will not additionally encumber the Center's revenues in any manner, except as permitted by any
er in connection with outstanding County obligations or Additional Obligations which may be issued by
County;
(vi) will not sell, convey, mortgage, encumber, or in any manner transfer title to, or otherwise dispose
he Center, or any significant or substantial part thereof; provided, however, that whenever the County
ms it necessary to dispose of any property, machinery, fixtures, or equipment, it may sell or otherwise
pose of such property, machinery, fixtures, or equipment when it has made arrangements to replace the
-►e or provide substitutes therefor, unless it is determined by order or resolution of the Commissioners
art that no such replacement or substitute is necessary;
(vii) keep proper books of record and accounts in which full, true, and correct entries will be made of
dealings, activities, and transactions relating to the funds created pursuant to this Order, and all books,
;uments, and vouchers relating thereto shall at all reasonable times be made available for inspection
)n request from any Registered Owner;
(viii) will comply with all of the terms and conditions of any and all franchises, permits, and
horizations applicable to or necessary with respect to the Center, and which have been obtained from
governmental agency; and it has or will obtain and keep in full force and effect all franchises, permits,
11
and other requirements applicable to or necessary with respect to the acquisition,
equipment, operation, and maintenance of the Center; and
(ix) will not grant any franchise or permit for the acquisition, construction, or operation of any
peting facilities which might be used as a substitute for the Center.
(c ovenants Regarding Tax Matters. The County covenants to take any action to maintain, or refrain from
any action ich would adversely affect, the treatment of the Certificates as obligations described in section 103 of the
rest on which is not includable in "gross income" for federal income tax purposes. In furtherance thereof,
Code, the i
the County ecificallv covenants as follows:
if:
(i) to refrain from taking any action which would result in the Certificates being treated as "private
ivi onds" within the meaning of section 141(a) of the Code;
(ii) to take any action to assure that no more than 10% of the proceeds of the Certificates or the projects
financ therewith are used for any "private business use", as defined in section 141(b)(6) of the Code or, if more
than 1 o of the proceeds or the projects financed therewith are so used, that amounts, whether or not received by
the C my with respect to such private business use, do not under the terms of this Order or any underlying
arranent, directly or indirectly, secure or provide for the payment of more than 10% of the debt service on the
Certi tes, in contravention of section 141(b)(2) of the Code;
(iii) to take any action to assure that in the event that the "private business use" described in paragraph (ii)
hereof xceeds 5% of the proceeds of the Certificates or the projects financed therewith, then the amount in excess
of 5%1 used for a "private business use" which is "related" and not "disproportionate", within the meaning of
sectio 41(b)(3) of the Code, to the governmental use;
(iv) to take any action to assure that no amount which is greater than the lesser of $5,000,000 or 5% of the
of the Certificates is directly or indirectly used to finance loans to persons, other than state or local
ental units, in contravention of section 141(c) of the Code;
(v) to refrain from taking any action which would result in the Certificates being "federally guaranteed"
e meaning of section 149(b) of the Code;
(vi) except to the extent permitted by section 148 of the Code and the regulations and rulings thereunder,
to re in from using any portion of the proceeds of the Certificates, directly or indirectly, to acquire or to replace
funds hich were used, directly or indirectly, to acquire investment property (as defined in section 148(b)(2) of the
Code hich produces a materially higher yield over the term of the Certificates;
(vii) to otherwise restrict the use of the proceeds of the Certificates or amounts treated as proceeds of the
Certi ates, as may be necessary, so that the Certificates do not otherwise contravene the requirements of section
148o e Code (relating to arbitrage) and, to the extent applicable, section 149(d) of the Code (relating to advance
j (viii) except to the extent otherwise provided in section 148(f) of the Code and the regulations and rulings
there der, to pay to the United States of America at least once during each five year period (beginning on the date
of de very of the Certificates) an amount that is at least equal to 90% of the "Excess Earnings", within the
mean g of section 148(f) of the Code, and to pay to the United States of America, not later than 60 days after the
Certi ates have been paid in full, 100% of the amount then required to be paid as a result of Excess Earnings
unde ection 148(f) of the Code;
12
'VOL 60 PAGE I I U
(ix) to maintain such records as will enable the County to fulfill its responsibilities under this subsection
and se ns 141 and 148 of the Code and to retain such records for at least six years following the final payment
of grin i al and interest on the Certificates; and
(x) to comply with the information reporting requirements of section 149(e) of the Code.
For the pses of the foregoing, in the case of a refunding obligation, the term "proceeds" includes transferred
proceeds a for purposes of paragraphs (ii) and (iii), proceeds of the refunded obligations.
covenants contained herein are intended to assure compliance with the Code and any regulations or
rulings pro lgated by the U.S. Department of Treasury pursuant thereto. In the event that regulations or rulings are
hereafter p ulgated which modify or expand provisions of the Code, as applicable to the Certificates, the County
will not be uired to comply with any covenant contained herein to the extent that such modification or expansion, in
the opinion ' nationally-recognized bond counsel, will not adversely affect the exclusion from gross income of interest
on the Certcates under section 103 of the Code. In the event that regulations or rulings are hereafter promulgated
which imp additional requirements which are applicable to the Certificates, the County agrees to comply with the
additional r uirements to the extent necessary, in the opinion of nationally-recognized bond counsel, to preserve the
exclusion gross income of interest on the Certificates under section 103 of the Code.
Pr er officers of the County charged with the responsibility of issuing the Certificates are hereby authorized
and directe to execute any documents, certificates, or reports required by the Code and to make such elections, on
behalf of t County, which may be permitted by the Code as are consistent with the purpose for the issuance of the
N ithstanding any other provision in this Order, to the extent necessary to preserve the exclusion from
gross inco of interest on the Certificates under section 103 of the Code, the covenants contained in this subsection
shall survi the later of the defeasance or discharge of the Certificates.
(d ovenants Regarding Sale Lease or Disposition of Financed Pro e . The County covenants that it will
regulate thse of the property financed, directly or indirectly, with the proceeds of the Certificates and will not sell,
lease, or o rwise dispose of such property unless (i) the County takes the remedial measures as may be required by
the Code a the regulations and rulings thereunder in order to preserve the exclusion from gross income of interest on
the Certifi es under section 103 of the Code or (ii) the County seeks the advice of nationally-recognized bond counsel
with respe o such sale, lease, or other disposition.
S tion 8. Designation as Oualified Tax-Exempt Obligations. The County hereby designates the
Certificate as "qualified tax-exempt obligations" as defined in section 265(b)(3) of the Code. In furtherance of
such desi ration, the County represents, covenants, and warrants the following: (a) during the calendar year in
which the Certificates are issued, the County (including any subordinate entities) has not designated, nor will
designate, bligations which, when aggregated with the Certificates, will result in more than $10,000,000 of
"qualified x-exempt obligations" being issued; (b) the County reasonably anticipates that the amount of tax-
exempt ob' ations issued during the 2004 calendar year by the County (including any subordinate entities) will not
exceed $1 00,000; and (c) the County will take such action which would assure, or to refrain from such action
which wo I adversely affect, the treatment of the Certificates as "qualified tax-exempt obligations".
S tion 9. Paving Agent/Registrar. The Paying Agent/Registrar is hereby appointed as paying agent and
registrar f the Certificates and the County is hereby authorized to enter into any type of agreement necessary for the
Paying A t/Registrar to perform its duties hereunder. The principal of the Certificates shall be payable, without
exchange collection charges, in any coin or currency of the United States of America, which, on the date of payment,
is legal to r for the payment of debts due the United States of America, upon their presentation and surrender as they
respective become due and payable, whether at maturity or by prior redemption, at the designated payment office of
the Payin gent/Registrar. The interest on each Certificate shall be payable by check payable on the Interest Payment
13
,G ~0_ r~
Date maile y the Paying Agent/Registrar on or before each Interest Payment Date to the Registered Owner of record
as of the R ly rd Date, to the address of such Registered Owner as shown on the Registration Books, or in such other
manner as be acceptable to the Registered Owner and the Paying Agent/Registrar.
County, the Paying Agent/Registrar, and any other person may treat the person in whose name any
Certificate registered as the absolute Registered Owner of such Certificate for the purpose of making and receiving
payment o he principal thereof and for the further purpose of making and receiving payment of the interest thereon
and for al other purposes, whether or not such Certificate is overdue, and neither the County nor the Paying
Agent/Reg ar shall be bound by any notice or knowledge to the contrary. All payments made to the person deemed
to be the gistered Owner of any Certificate in accordance with this Order shall be valid and effectual and shall
discharge liability of the County and the Paying Agent/Registrar upon such Certificate to the extent of the sums
paid.
S4 i lar ng as any Certificates remain outstanding, the Paying Agent/Registrar shall keep the Registration Books
at its desig ed corporate trust office in which, subject to such reasonable regulations as it may prescribe, the Paying
Agent/Reg shall provide for the registration and transfer of Certificates in accordance with the terms of this Order.
County may at any time and from time to time appoint another Paying Agent/Registrar in substitution for
the previo Paying Agent/Registrar; provided, however, that any such Paying Agent/Registrar shall be a corporation
organized ~ ii d doing business under the laws of the United States of America or any state thereof, authorized under
such laws exercise trust powers, subject to supervision or examination by federal or state authority, and a transfer
agent regis red with the United States Securities and Exchange Commission (the "SEC"). In such event, the County
shall give tice by certified mail to each Registered Owner at least 30 days prior to the effective date of such
substitutio ! Any bank or trust company with or into which any Paying Agent/Registrar may be merged or
consolidat or to which the assets and business of Paying Agent/Registrar may be sold or otherwise transferred, shall
be deemed t e successor of such Paying Agent/Registrar for the purposes of this Order.
County Judge and the County Clerk, respectively, are hereby authorized to enter into, execute, and deliver
the Paying gent/Registrar Agreement with the initial Paying Agent/Registrar in substantially the form attached hereto
as Exhibit
S tion 10.Initial Purchaser's Certificates; Exchange or Transfer of Certificates. Initially, one
Certificate he "Initial Certificate"), numbered I-1 as described in Section 3 of this Order and representing the entire
principal a „ ount of the Certificates, shall be registered in the name of the Initial Purchaser and shall be executed and
submitted the Attorney General for approval, and thereupon certified by the Comptroller or his duly authorized
agent, by nual signature, and the Initial Certificate shall be effective and valid without the Authentication Certificate
being sign by the Paying Agent/Registrar. At any time thereafter, the Registered Owner may deliver the Initial
Certificate the Paying Agent/Registrar for exchange, accompanied by instructions from the Registered Owner or
designee ignating the persons, maturities, and principal amounts to and in which the Initial Certificate is to be
transferre ! nd the addresses of such persons, and the Paying Agent/Registrar shall thereupon, within not more than
three days gister and deliver such Certificates upon authorization of the County as provided in such instructions.
h Certificate shall be transferable only upon the presentation and surrender thereof at the designated
payment ice of the Paying Agent/Registrar, duly endorsed for transfer, or accompanied by an assignment duly
executed the Registered Owner or his authorized representative in form satisfactory to the Paying Agent/Registrar.
Upon pres tation of any Certificate for transfer, the Paying Agent/Registrar shall authenticate and deliver in exchange
therefor, t he extent possible and under reasonable circumstances within three business days after such presentation, a
new Certil ii ate or Certificates, registered in the name of the transferee or transferees, in authorized denominations and
of the sari maturity and aggregate principal amount and bearing interest at the same rate as the Certificate or
Certificate j o presented.
14
VOL Y) PAGE
Al ertificates shall be exchangeable upon presentation and surrender thereof at the designated payment
office of the aying Agent/Registrar for a Certificate or Certificates of the same maturity and interest rate and in any
authorized nomination, in an aggregate principal amount equal to the unpaid principal amount of the Certificate or
Certificates esented for exchange. The Paying Agent/Registrar shall be and is hereby authorized to authenticate and
deliver exc ge Certificates in accordance with this Order and each Certificate so delivered shall be entitled to the
benefits an ecurity of this Order to the same extent as the Certificate or Certificates in lieu of which such Certificate
is deliveredl ',I
County or the Paying Agent/Registrar may require the Registered Owner of any Certificate to pay a sum
sufficient % 'cover any tax or other governmental charge that may be imposed in connection with the transfer or
I I
exchange o uch Certificate. Any fee or charge of the Paying Agent/Registrar for such transfer or exchange shall be
paid by the unty.
N i her the County nor the Paying Agent/Registrar shall be required (i) to issue, transfer, or exchange any
Certificate ring any period beginning at the opening of business 15 days before the day of the first mailing of a notice
of redempt c, n of Certificates and ending on the close of business on the day of such mailing or (ii) to transfer or
exchange a 1, 1 Certificate so selected for redemption in whole or in part when such redemption is scheduled to occur
within 15 c ndar days.
S ion 11. Book-Entry Only System. (a) The definitive Certificates shall be initially issued in the name
of Cede & as nominee of DTC, as Registered Owner of the Certificates, and held in custody of DTC. A single
certificate 11 be issued and delivered to DTC for each maturity of the Certificates. Beneficial owners of definitive
Certificates! ill not receive physical delivery of Certificates except as provided hereinafter. For so long as DTC
shall conti a to serve as securities depository for the Certificates as provided herein, all transfers of beneficial
ownership terest will be made by book-entry only, and no investor or other person purchasing, selling, or
otherwise nsferring beneficial ownership of Certificates is to receive, hold, or deliver any Certificates. No person
shall acqui or hold any beneficial interest in any Certificate representing a portion of the principal amount of such
Certificate hich is other than $5,000 or an integral multiple thereof.
(b 1 Replacement definitive Certificates may be issued directly to beneficial owners of Certificates other
than DTC,r its nominee, but only in the event that (i) DTC determines not to continue to act as securities
depository r the Certificates (which determination shall become effective no less than 90 days after written notice
to such a ct to the County and the Paying Agent/Registrar); or (ii) the County has advised DTC of its
determinat (which determination is conclusive as to DTC and beneficial owners of the Certificates) that DTC is
incapable discharging its duties as securities depository for the Certificates; or (iii) the County has determined
(which det ination is conclusive as to DTC and the beneficial owners of the Certificates) that the interests of the
beneficial vvners of the Certificates might be adversely affected if such book-entry only system of transfer is
continued. Upon occurrence of any event described in (i) or (ii) above, the County shall use its best efforts to
attempt to cate another qualified securities depository. If the County fails to locate another qualified securities
depository replace DTC, the County shall cause to be executed, authenticated, and delivered replacement
Certificates, in certificate form, to the DTC participants having an interest in the Certificates as shown on the
records of TC provided by DTC to the County. In the event that the County makes the determination described in
(iii) above d has made provisions to notify the beneficial owners of Certificates of such determination by mailing
an approp i to notice to DTC, it shall cause to be issued replacement Certificates in certificate form to the DTC
participant' having an interest in the Certificates as shown on the records of DTC provided by DTC to the County.
The Coun undertakes no obligation to make any investigation to determine the occurrence of any events that
would pe t the County to make any determination described in (ii) or (iii) above.
15
v,oi (~o ~ F I 1 ri
O' Whenever, during the term of the Certificates, the beneficial ownership thereof is determined by a book
entry at D , the requirements in this Order of holding, delivering, or transferring Certificates shall be deemed
modified t equire the appropriate person or entity to meet the requirement of DTC as to registering or transferring
the book e y to produce the same effect.
If at any time DTC ceases to hold the Certificates, all references herein to DTC shall be of no further
force or of t.
tion 12. County Officers' Duties. (a) Issuance of Certificates. The County Judge shall submit the Initial
Certificate,', a record of the proceedings authorizing the issuance of the Certificates, and any and all other necessary
orders, ce ►cates, and records to the Attorney General for his investigation. After obtaining the approval of the
Attorney eral, the County Judge shall cause the Initial Certificate to be registered by the Comptroller. The officers
or acting tcers of the County are authorized to execute and deliver on behalf of the County such certificates and
instrument s may be necessary or appropriate prior to delivery of and payment for the Certificates to and by the Initial
Purchasers
( ~ Execution of Order. The County Judge and the County Clerk, respectively, are authorized to execute the
certificate which this Order is attached on behalf of the County and to do any and all things proper and necessary to
carry out t intent thereof.
S4 ~ tion 13. Remedies of Registered Owners. In addition to all rights and remedies of any Registered
Owner pro ded by the laws of the State, the County covenants and agrees that in the event the County defaults in the
payment o he principal of or interest on any of the Certificates when due, fails to make the payments required by this
Order to made into the Interest and Sinking Fund, or defaults in the observance or performance of any of the
covenants, onditions, or obligations set forth in this Order, any Registered Owner shall be entitled to a writ of
mandamus ssued by a court of proper jurisdiction compelling and requiring the County and other officers of the
County to serve and perform any covenant, obligation, or condition prescribed in this Order. No delay or omission
by any Re tered Owner to exercise any right or power accruing to such Registered Owner upon default shall impair
any such r ht or power, or shall be construed to be a waiver of any such default or acquiescence therein, and every
such right power may be exercised from time to time and as often as may be deemed expedient. The specific
remedies ntioned in this Order shall be available to any Registered Owner of any of the Certificates and shall be
cumulativ f all other existing remedies.
S tion 14. Lost, Stolen, Destroyed, Damaged, or Mutilated Certificates: Destruction of Paid
Certificat (a) Replacement Certificates. In the event any outstanding Certificate shall become lost, stolen,
destroyed, amaged, or mutilated, at the request of the Registered Owner thereof, the County shall cause to be
executed, gistered by the Paying Agent/Registrar, and delivered a substitute Certificate of like date and tenor, in
exchange d substitution for and upon cancellation of such mutilated or damaged Certificate, or in lieu of and
substitutio or such Certificate lost, stolen, or destroyed, subject to the provisions of subsections (b), (c), (d), and (e) of
this Sectio ooearine below.
Application and Indemnity. Application for exchange and substitution of lost, stolen, destroyed, damaged,
or mutilat Certificates shall be made to the County. In every case the applicant for a substitute Certificate shall
furnish to e County such deposit for fees and costs as may be required by the County to save it and the Paying
Agent/Regj~ trar harmless from liability. Except as hereinafter provided, in every case of loss, theft, mutilation, or
destructio f a Certificate, the applicant shall also furnish to the County indemnity to the County's satisfaction and
shall file It the County evidence to the County's satisfaction of the loss, theft, mutilation, or destruction and of the
ownership f such Certificate. In every case of damage or mutilation of a Certificate, the applicant shall surrender the
Certificate damaged or mutilated to the Paying Agent/Registrar.
( Matured Certificates. Notwithstanding the foregoing provisions of this Section, in the event any such
t hall have matured, and no default has occurred in payment of the principal of or interest on the Certificates
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VOL W PAGE I -~D
which is th continuing, the County may authorize the payment of the same (without surrender thereof except in the
case of a ged or mutilated Certificate) instead of issuing a substitute Certificate, if any, provided security or
indemnity i shed as above provided in this Section.
(d Expenses of Issuance. Upon the issuance of any substitute Certificate, the County may charge the
Registered Owner of such Certificate with all fees and costs incurred in connection therewith. Every substitute
Certificate sued pursuant to the provisions of this Section by virtue of the fact that any Certificate is lost, stolen,
destroyed, damaged, or mutilated shall constitute a contractual obligation of the County, whether or not the lost, stolen,
destroyed, maged, or mutilated Certificate shall be found at any time, or be enforceable by anyone, and shall be
entitled to the benefits of this Order equally and proportionately with any and all other Certificates duly issued under
this Order.
(e uthori i to Issue Substitute Certificates. This Order shall constitute sufficient authority for the issuance
of any such uCertificate without necessity of further action by the County or any other body or person, and the
issuance o h substitute Certificates is hereby authorized, notwithstanding any other provisions of this Order.
( Destruction of Paid Certificates. At any time subsequent to the payment thereof, the Paying
Agent/Reg ar is authorized to cancel and destroy any Certificates duly paid, and promptly after any such destruction,
the Paying gent/Registrar shall furnish to the County a certificate evidencing such destruction.
S ion 15. Redemption. (a) The Certificates are subject to optional redemption as described in the "Form
of Certific s" appearing in Section 3 of this Order. The Certificates having stated maturities on or after September 1,
2015 shall subject to redemption, prior to stated maturity, at the option of the County, on September 1, 2014, or on
any date eafter, in whole or in part, in integral multiples of $5,000, at the redemption price of par plus accrued
interest to date of redemption.
each
and the ii
Order (a'
date (whe
caused to
or (ii) sha
a person
the safek
sufficient
bear inter
Defeased
scheduled
to the Der
event an
of an in(
or (ii) in
certifying
At least 45 days prior to a date fixed for the redemption of Certificates, the County shall notify the Paying
tar of its decision to exercise the right to redeem Certificates. At least 30 days prior to the date fixed for
the Paying Agent/Registrar shall send a copy of such notice by the County to the Registered Owner of
ate to be redeemed.
Hon 16. Defeasance. (a) Except to the extent provided in subsection (c) of this Section, any Certificate,
est thereon, shall be deemed to be paid, retired, and no longer outstanding within the meaning of this
:teased Certificate") when payment of the principal of such Certificate, plus interest thereon to the due
r such due date be by reason of maturity, redemption, or otherwise) either (i) shall have been made or
made in accordance with the terms thereof (including the giving of any required notice of redemption)
ave been provided for on or before such due date by irrevocably depositing with or making available to
cribed by section 1207.061(a), Texas Government Code, as amended (a "Depositary"), with respect to
ing, investment, administration, and disposition of a deposit made under section 1207.061, Texas
Code, as amended, for such payment (the "Deposit") (A) lawful money of the United States of America
make such payment or (B) Government Obligations, which may be in book-entry form, that mature and
payable at times and in amounts sufficient to provide for the scheduled payment or redemption of any
;rtificate. To cause a Certificate scheduled to be paid or redeemed on a date later- than the next
terest payment date on such Certificate to become a Defeased Certificate, the County must, with respect
it, enter into an escrow or similar agreement with a Depositary.
connection with any defeasance of the Certificates, the County shall cause to be delivered: (i) in the
:row or similar agreement has been entered into with a Depositary to effectuate such defeasance, a report
;ndent firm of nationally recognized certified public accountants verifying the sufficiency of the escrow
to pay the Defeased Certificates in full on the maturity or redemption date thereof (the "Verification");
ie event no escrow or similar agreement has been entered into, a certificate from the County Judge
iat the amount deposited with a Depositary is sufficient to pay the Defeased Certificates in full on the
17
maturity o redemption date thereof. In addition to the required Verification or certificate, the County shall also
cause to b elivered an opinion of nationally recognized bond counsel to the effect that the Defeased Certificates
are no lon outstanding pursuant to the terms hereof and a certificate of discharge of the Paying Agent/Registrar
with respe to the Defeased Certificates. The Verification, if any, and each certificate and opinion required
hereunder all be acceptable in form and substance, and addressed, if applicable, to the Paying Agent/Registrar and
the County The Certificates shall remain outstanding hereunder unless and until they are in fact paid and retired or
the above driteria are met.
A uch time as a Certificate shall be deemed to be a Defeased Certificate hereunder, and all herein required
criteria ha been met, such Certificate and the interest thereon shall no longer be outstanding or unpaid and shall no
longer be titled to the benefits of the pledge of the security interest granted under this Order, and such principal
and interes hall be payable solely from the Deposit of money or Government Obligations; provided, however, the
County ha reserved the option to be exercised at the time of the defeasance of the Certificates, to call for
redemptio at an earlier date, those Certificates which have been defeased to their maturity date, if the County: (i)
in the proc dings providing for the firm banking and financial arrangements, expressly reserves the right to call the
Certificate or redemption; (ii) gives notice of the reservation of that right to the Registered Owners immediately
following making of the firm banking and financial arrangements; and (iii) directs that notice of reservation be
included i ny redemption notices that it authorizes.
( Any money so deposited with a Depositary may at the written direction of the County also be invested
in Gove nt Obligations, maturing in the amounts and times as hereinbefore set forth, and all income from such
Govern me Obligations received by a Depositary which is not required for the payment of the Defeased
Certificate land interest thereon, with respect to which such money has been so deposited, shall be used as directed
in writing the County.
( Until all Defeased Certificates shall have become due and payable, the Paying Agent/Registrar shall
perform t services of Paying Agent/Registrar for such Defeased Certificates the same as if they had not been
defeased, d the County shall make proper arrangements to provide and pay for such services as required by this
Order.
Si H tion 17. Order a Contract; Amendments. This Order shall constitute a contract with the Registered
Owners, frtime to time, of the Certificates, binding on the County and its successors and assigns, and shall not be
amended repealed by the County as long as any Certificate remains outstanding except as permitted in this Section.
The Count may, without the consent of or notice to any Registered Owners, amend, change, or modify this Order as
may be re ed (i) by the provisions hereof, (ii) in connection with the issuance of Additional Obligations, (iii) for the
purpose o uring any ambiguity, inconsistency, or formal defect or omission herein, or (iv) in connection with any
other than which is not to the prejudice of the Registered Owners. The County may, with the written consent of the
Registered wners of a majority in aggregate principal amount of Certificates then outstanding affected thereby,
amend, ch ge, modify, or rescind any provision of this Order; provided, however, that without the consent of all of the
Registered' wners affected, no such amendment, change, modification, or rescission shall (i) extend the time or times
of payme f the principal of and interest on the Certificates, reduce the principal amount thereof or the rate of interest
thereon, o n any other way modify the terms of payment of the principal of or interest on bonds or certificates on a
parity wit he lien of the Certificates, (ii) give any preference of any Certificate over any other Certificate, (iii) extend
any waive f default to subsequent defaults, or (iv) reduce the aggregate principal amount of Certificates required for
consent t any such amendment, change, modification, or rescission. When the County desires to make any
amend net or addition to or rescission of this Order requiring consent of the Registered Owners, the County shall
cause noti of the amendment, addition, or rescission to be given as described above for a notice of redemption.
When at a time within one year after the date of the giving of such notice, the County shall receive an instrument or
instrumenisi in writing executed by the appropriate number of Registered Owners of the Certificates then outstanding
affected b any such amendment, addition, or rescission requiring the consent of Registered Owners, which instrument
or instru is shall refer to the proposed amendment, addition, or rescission described in such notice and shall
specificall consent to and approve the adoption thereof in substantially the form of the copy thereof referred to in such
notice, the upon, but not otherwise, the County may adopt such amendment, addition, or rescission in substantially
18
VC,tiI(o 0 PAGE
such form, ept as herein provided. No Registered Owner may thereafter object to the adoption of such amendment,
addition, or scission, or to any of the provisions thereof, and such amendment, addition, or rescission shall be fully
effective fo ! 11 purposes.
Se ' on 18. Sale and Delivery of Certificates. (a) Sale. The sale of the Bonds to the Initial Purchaser
pursuant to a taking of competitive bids at a price of par, plus accrued interest to the date of delivery is hereby
confirmed. is hereby officially found, determined, and declared that the Initial Purchaser submitted the bid which
results in th 1. lowest true interest cost to the County and delivery of the Bonds to the Initial Purchaser shall be made
as soon as cticable after the adoption of this Order, upon payment therefor, in accordance with the terms of sale.
The officer f the County are hereby authorized and directed to execute and deliver such Bonds, instructions, or
other instru ents as are required or necessary to accomplish the purposes of this Order.
(b j Approval of Official Statement. The County hereby approves the form and content of the Official
Statement ating to the Certificates and any addenda, supplement, or amendment thereto, and approves the
distribution such Official Statement in the reoffering of the Certificates by the Initial Purchasers in final form, with
such chang therein or additions thereto as the officer executing the same may deem advisable, such determination to
be conclusi ly evidenced by his execution thereof. The form and content of and the distribution and use of the
Official Sta " ent prior to the date hereof is hereby ratified and confirmed.
(c al Ot)inion. The Initial Purchasers' obligation to accept delivery of the Certificates is subject to their
being fumi d an opinion of Bond Counsel, such opinion to be dated and delivered as of the date of delivery and
payment fo I e Certificates.
(d Registration and Delivery. Upon the registration of the Initial Certificate, the Comptroller is authorized
and instruct deliver the Initial Certificate, pursuant to the instruction of the County Judge, for delivery to the Initial
Purchasers. fto
S ion 19. Use of Proceeds. The proceeds from the sale of the Certificates shall be used in the following
manner: (i j accrued interest on the Certificates shall be deposited to the credit of the Interest and Sinking Fund; (ii)
$ shall be deposited to the credit of the Construction Fund to be used to accomplish the purposes for
which the C t, ificates were issued; and (iii) $ shall be used to pay costs of issuing the Certificates.
S ion 20. Continuing Disclosure. (a) Annual Reports. The County shall provide annually to each
nationally- ognized municipal securities information repository ("NRMSIR") and to any state information depository
("SID"), w 'n six months after the end of each fiscal year ending in or after 2004, financial information and operating
data with r ect to the County, being the information described in Exhibit B hereto. The type of information to be
provided i udes financial information and operating data with respect to the County of the general type included in
the Officia tatement authorized by Section 18 of this Order, being the information described in Exhibit B attached
hereto. A financial statements so to be provided shall be (i) prepared in accordance with the accounting principles
described i Exhibit B attached hereto and (ii) audited, if the County commissions an audit of such statements and the
audit is co leted within the period during which they must be provided. If the audit of such financial statements is
not comple within such period, the County shall provide audited financial statements for the applicable fiscal year to
each NRM R and any SID when and if the audit report on such statements becomes available.
I e County changes its fiscal year, it will notify each NRMSIR and any SID of the change (and of the date
of the new cal year end) prior to the next date by which the County otherwise would be required to provide financial
informatio and operating data pursuant to this Section.
financial information and operating data to be provided pursuant to this Section may be set forth in full in
one or mo documents or may be included by specific reference to any document (including an official statement or
other offe g document) if it is available from the Municipal Securities Rulemaking Board (the "MSRB") that
theretofore s been provided to each NRMSIR and any SID or filed with the SEC.
19
"r`'~ ail 1
(b Material Event Notices. The County shall notify any SID and either each NRMSIR or the MSRB, in a
timely mat 0 r, of any of the following events with respect to the Certificates, if such event is material within the
meaning o % he federal securities laws: (i) principal and interest payment delinquencies; (ii) non-payment related
defaults; (i' unscheduled draws on debt service reserves reflecting financial difficulties; (iv) unscheduled draws on
credit enha ements reflecting financial difficulties; (v) substitution of credit or liquidity providers, or their failure to
perform; ( adverse tax opinions or events affecting the tax-exempt status of the Certificates; (vii) modifications to
rights of h ers of the Certificates; (viii) calls; (ix) defeasances; (x) release, substitution, or sale of property securing
repayment the Certificates; and (xi) rating changes.
County shall notify any SID and either each NRMSIR or the MSRB, in a timely manner, of any failure by
the County provide financial information or operating data in accordance with this Section by the time required by
this Sectio
(c imitations Disclaimers and Amendments. The County shall be obligated to observe and perform the
covenants cified in this Section for so long as, but only for so long as, the County remains an "obligated person"
with respe to the Certificates within the meaning of the SEC's Rule 15c2-12 (the "Rule"), except that the County in
any event 1 give notice of any deposit made in accordance with Section 16 of this Order that causes the Certificates
no longer t be outstanding and any call of Certificates made in connection therewith.
provisions of this Section are for the sole benefit of the Registered Owners and beneficial owners of the
Certificate j and nothing in this Section, express or implied, shall give any benefit or any legal or equitable right,
remedy, or laim hereunder to any other person. The County undertakes to provide only the financial information,
operating , financial statements, and notices which it has expressly agreed to provide pursuant to this Section and
does not h by undertake to provide any other information that may be relevant or material to a complete presentation
of the Cou' 's financial results, condition, or prospects or hereby undertake to update any information provided in
accordance ith this Section or otherwise, except as expressly provided herein. The County does not make any
representat n or warranty concerning such information or its usefulness to a decision to invest in or sell Certificates at
any future te.
DER NO CIRCUMSTANCES SHALL THE COUNTY BE LIABLE TO THE REGISTERED OWNER
OR BE CIAL OWNER OF ANY CERTIFICATE OR ANY OTHER PERSON, IN CONTRACT OR TORT,
FOR D GES RESULTING IN WHOLE OR IN PART FROM ANY BREACH BY THE COUNTY, WHETHER
NEGLIGE OR WITHOUT FAULT ON ITS PART, OF ANY COVENANT SPECIFIED IN THIS SECTION,
BUT EVE Y RIGHT AND REMEDY OF ANY SUCH PERSON, IN CONTRACT OR TORT, FOR OR ON
ACCOUN OF ANY SUCH BREACH SHALL BE LIMITED TO AN ACTION FOR MANDAMUS OR SPECIFIC
default by the County in observing or performing its obligations under this Section shall comprise a breach
of or defa under this Order for purposes of any other provisions of this Order.
mg in this Section is intended or shall act to disclaim, waive, or otherwise limit the duties of the County
under fede 1 and state securities laws.
T.. e provisions of this Section may be amended, supplemented, or repealed by the County from time to time
under the lowing circumstances, but not otherwise: (a) to adapt to changed circumstances that arise from a change in
legal requ' ments, a change in law, or a change in the identity, nature, status, or type of operations of the County, if the
provisions' of this Section, as so supplemented or amended, would have permitted an underwriter to purchase or sell
Certificate in the present offering in compliance with the Rule and either the Registered Owners of a majority in
aggregate ncipal amount of the outstanding Certificates consent to such amendment, supplement, or repeal, or any
State age or official determines that such amendment, supplement, or repeal will not materially impair the interests
of the ben cial owners of the Certificates; (b) upon repeal of the applicable provisions of the Rule, or any judgment by
20
VOL W PAGE la~
a courtof fil jurisdiction that such provisions are invalid; or (c) in any other circumstance or manner permitted by the
Rule.
S ion 21. Perfection of Security Interest. Chapter 1208, Texas Government Code, applies to the
issuance o I e Certificates and the pledge of the proceeds of ad valorem taxes and certain revenues of the Center
thereto grail d by the County under Section 5(a) of this Order, and such aforementioned pledge is, therefore, valid,
effective, perfected. Should Texas law be amended at any time while the Certificates are outstanding and
unpaid, the sult of such amendment being that the pledge of the ad valorem tax proceeds and such revenues are to
111
be subject the filing requirements of Chapter 9, Texas Business & Commerce Code, in order to preserve to the
Registered wners a security interest in such pledge, the County agrees to take such measures as it determines are
reasonable d necessary to enable a filing of a security interest in said pledge to occur.
S ion 22. Further Procedures. The County Judge and the County Clerk, and all other officers, employees,
attorneys, agents of the County and each of them, shall be and they are hereby expressly authorized, empowered,
and directei 1: om time to time and at any time to do and perform all such acts and things and to execute, acknowledge,
and deliver the name and under the seal and on behalf of the County, all such instruments, whether or not herein
mentioned, s may be necessary or desirable in order to carry out the terms and provisions of this Order, the
Certificates nd the Official Statement. In case any officer whose signature shall appear on any Certificate shall cease
to be such icer before the delivery of such Certificate, such signaturq shall nevertheless be valid and sufficient for all
purposes same as if such officer had remained in office until such delivery. Prior to the initial delivery of the
Certificates he County Judge, the County Clerk, and Bond Counsel are hereby authorized and directed to approve any
technical c ges or corrections to this Order or to any of the instruments authorized by this Order necessary in order to
(i) correct y ambiguity or mistake or properly or more completely document the transactions contemplated and
approved b' j this Order, (ii) obtain a raring from any of the national bond rating agencies, or (iii) obtain the approval of
the Certific es by the Attorney General's office.
S ion 23. Other Documents. The County Judge and the County Clerk are hereby authorized to execute
and attest t' such other documents, certificates, letters of instruction, tax information forms, and other agreements of
any kind w ch, in the opinion of Bond Counsel, are necessary or advisable in order to issue the Certificates and verify
that the int st on the Certificates will be exempt from gross income of the holders thereof under current federal tax
law.
S tion 24. Successor Registrar, Successor Paving Agent. The County covenants with the Registered
Owners th prior to the time all of the Certificates have been finally retired, the County will provide competent and
legally qua fied persons to act as and perform the services of Paying Agent/Registrar for the Certificates under this
Order. Th County reserves the right to, and may, at its option, change the Paying Agent/ Registrar with respect to
the Certi tes upon not less than 60 days written notice to the Paying Agent/Registrar. Any Paying
Agent/Reg ar may resign and be discharged of its respective duties under this Order by written resignation filed
with the C, i my not less than 60 days before the date such resignation is to take effect. In the event that the person
at any tim acting as a Paying Agent/Registrar (or its successor by merger, acquisition, or other method) should
resign or erwise cease to act as such, the County covenants that promptly it will appoint a competent and legally
qualified ional or state banking institution organized and doing business under the laws of the United States of
America o ! e State, authorized under such laws to exercise trust powers, subject to supervision or examination by
federal or to authority, to act as such Paying Agent/Registrar, under this Order. Upon any change in a Paying
Agent/Re trar, the previous Paying Agent/Registrar promptly shall transfer and deliver the Registration Books (or
a copy the of), along with all other pertinent books and records relating to the Certificates, to the new Paying
Agent/Re ' trar designated and appointed by the County. Upon any change in the Paying Agent/Registrar, the
County pr ptly will cause a written notice thereof to be sent by the new Paying Agent/Registrar to each Registered
Owner, by nited States mail, first-class postage prepaid, which notice also shall give the address of the new Paying
Agent/Re i trar. By accepting the position and performing as such, each Paying Agent/Registrar shall be deemed to
have agred'd to the provisions of this Order, and a certified copy of this Order shall be delivered to each Paying
21
Se ion 25. Nonaresentment of Certificates. In the event any Certificate shall not be presented for
payment w n the principal thereof or interest thereon, if applicable, becomes due,. either at maturity or otherwise,
or if any ch k or draft representing payment of principal of or interest on the Certificates shall not be presented for
payment, i ands sufficient to pay the principal of or interest on such Certificate shall have been made available by
the County the Paying Agent/Registrar for the benefit of the Registered Owner thereof, all liability of the County
to the Reg' ered Owner thereof for the payment of the principal of or interest on such Certificate shall cease,
terminate, be completely discharged, and thereupon it shall be the duty of the Paying Agent/Registrar to hold
such funds trust, uninvested and without liability for interest thereon, for the benefit of the Registered Owner of
such Certi ate, who shall thereafter be restricted exclusively to such funds for any claim of whatever nature on his
part under is Order with respect to the principal of or interest on such Certificate. To the extent applicable, the
Paying Ag t/Registrar shall hold and apply any such funds in accordance with Title 6, Texas Property Code, as
amended, a shall comply with the reporting requirements of Chapter 74, Texas Property Code, as amended.
Se ion 26. Miscellaneous Provisions. (a) General. Except where the context otherwise requires, words
importing t singular number shall include the plural number and vice versa; words importing the masculine gender
shall inclu the feminine and neuter genders and vice versa. Reference to any document means that document as
amended o supplemented from time to time. Reference to any party to a document means that party and its
successors d assigns. Reference herein to any article, section, subsection, or other subdivision, as applicable,
unless spec: J cally stated otherwise, means the article, section, subsection, or other subdivision, as applicable, of this
Order.
(bj itles Not Restrictive. The titles assigned to the various sections of this Order are for convenience only
and shall n be considered restrictive of the subject matter of any section or of any part of this Order.
(c nconsistent Provisions. All orders and resolutions, or parts thereof, which are in conflict or inconsistent
with any p ision of this Order are hereby repealed and declared to be inapplicable, and the provisions of this Order
shall be and: emain controlling as to the matters prescribed herein.
(d i everabili . If any word, phrase, clause, paragraph, sentence, part, portion, or provision of this Order or
the applica n thereof to any person or circumstance shall be held to be invalid, the remainder of this Order shall
neverthele be valid and the County hereby declares that this Order would have been enacted without such invalid
word, phra clause, paragraph, sentence, part, portion, or provision.
This Order shall be construed and enforced in accordance with the laws of the State.
( en Meetin . The County officially finds and determines the meeting at which this Order is adopted was
open to the ublic and that public notice of the time, place, and purpose of such meeting was given, all as required by
Chapter 55 Texas Government Code.
Immediate Effect. Notwithstanding any charter provision or other applicable laws, this Order shall be
effective upon its adoption by the Commissioners Court.
P SED AND APPROVED on fast and final reading by the Commissioners Court of Brazos County, Texas,
this 24th d of August, 2004.
County Judge, Brazos County, Texas
ATTEST:
County C$Jk, Brazos County, Texas
22
VOL V PAGEL
i
EXHIBIT A
PAYING AGENT/REGISTRAR AGREEMENT
T S PAYING AGENT/REGISTRAR AGREEMENT entered into as of August 15, 2004 (this
"Agreemen by and between BRAZOS COUNTY, TEXAS (the "Issuer"), and JPMORGAN CHASE BANK,
Dallas, Te , a banking association duly organized and existing under the laws of the United States of America (the
"Bank").
RECITALS
EREAS, the Issuer has duly authorized and provided for the issuance of its "Brazos County, Texas
Certificate if Obligation, Series 2004" (the "Securities"), such Securities to be issued in fully registered form only as
to the pay t of principal and interest thereon;
i
EREAS, the Securities are scheduled to be delivered to the initial purchasers thereof as provided in the
Order;
EREAS, the Issuer has selected the Bank to serve as Paying Agent/Registrar in connection with the
payment o he principal of and interest on the Securities and with respect to the registration, transfer, and exchange
thereof by registered owners thereof;
EREAS, the Bank has agreed to serve in such capacities for and on behalf of the Issuer and has full power
and autho to perform and serve as Paying Agent/Registrar for the Securities;
, THEREFORE, the parties mutually agree as follows:
ARTICLE I. APPOINTMENT OF BANK AS PAYING AGENT AND REGISTRAR
S tion 1.01. Appointment. The Issuer hereby appoints the Bank to serve as Paying Agent with respect to
the Securis. As Paying Agent for the Securities, the Bank shall be responsible for paying on behalf of the Issuer the
principal and interest on the Securities as the same become due and payable to the registered owners thereof, all in
accordanc with the provisions of this Agreement and the Order.
it
Issuer hereby appoints the Bank as Registrar with respect to the Securities. As Registrar for the
Securities, a Bank shall keep and maintain for and on behalf of the Issuer books and records as to the ownership of
said Sec es and with respect to the transfer and exchange thereof (defined herein as the "Securities Register") as
provided ein and in the Order.
Bank hereby accepts its appointments and agrees to serve as the Paying Agent and Registrar for the
lion 1.02. Compensation. As compensation for the Bank's services as Paying Agent/Registrar, the Issuer
hereby agii es to pay the Bank the fees and amounts set forth in Schedule I attached hereto for the first year of this
Agreeme t) and, thereafter, the fees and amounts set forth in the Bank's current fee schedule then in effect for its
services a Paying Agent and Registrar for municipalities, which shall be supplied to the Issuer on or before 90 days
prior to lose of the Issuer's Fiscal Year, and shall be effective upon the fast day of its following Fiscal Year.
addition, the Issuer agrees to reimburse the Bank upon its request for all reasonable expenses,
disburse ts, and advances incurred or made by the Bank in accordance with any of the provisions hereof (including
the reaso le compensation and the expenses and disbursements of its agents and counsel).
A-1
, / :
ARTICLE II. DEFINITIONS
unless the
2.01. Definitions. For all purposes of this Agreement, except as otherwise expressly provided or
otherwise requires:
Office" means the designated principal corporate trust office of the Bank as indicated on the signature
page hereo The Bank will notify the Issuer in writing of any change in location of the Bank Office.
Principal Payment Office" means Dallas, Texas.
Register.
Year" means the fiscal year of the Issuer, ending September 30.
and "Security Holder" each means the Person in whose name a Security is registered in the Security
"I uer Request" and "Issuer Order" means a written request or order signed in the name of the Issuer by its
County 7u e, County Treasurer, or County Clerk, such request signed by any one or more of said officials and
delivered The Bank.
Holiday" means a day on which the Bank is required or authorized to be closed.
` der" means the order of the governing body of the Issuer pursuant to which the Securities are issued,
attested to the County Clerk or any other officer of the Issuer, and delivered to the Bank.
Agent/Registrar" means the Bank in reference to its performance of the duties and functions of this
ltompany, rson" means any individual, corporation, limited liability company, partnership, joint venture, association,
joint stoc trust, unincorporated organization or government or any agency or political subdivision of a
" edecessor Securities" of any particular Security means every previous Security evidencing all or a portion
of the sa obligation as that evidenced by such particular Security (and, for the purposes of this definition, any
mutilated, lost, destroyed, or stolen Security for which a replacement Security has been registered and delivered in lieu
thereof p ant to Section 4.06 hereof and the Order).
date is
Date" means the date upon which the person to whom interest is payable on any interest payment
n Date" when used with respect to any Security to be redeemed means the date fixed for such
to the terms of the Order.
"Responsible Officer" when used with respect to the Bank means the Chairman or Vice-Chairman of the
Board of irectors, the Chairman or Vice-Chairman of the Executive Committee of the Board of Directors, the
President, my Vice President, the Secretary, any Assistant Secretary, the Treasurer, any Assistant Treasurer, the
Cashier, y Assistant Cashier, any Trust Officer or Assistant Trust Officer, or any other officer of the Bank
customari performing functions similar to those performed by any of the above designated officers and also means,
with resp t to a particular corporate trust matter, any other officer to whom such matter is referred because of his
knowled of and familiarity with the particular subject.
"Security Register" means a register maintained by the Bank on behalf of the Issuer providing for the
rep-istrati and transfer of the Securities.
A-2
VOL W PAGE 1
Maturity" means the date specified in the Order the principal of a Security is scheduled to be due and
payable.
S ion 2.02. Other Definitions. The terms "Bank", "Issuer", and "Securities" or "Security" have the
meanings St ion
to them in the recital paragraphs of this Agreement.
ARTICLE III. PAYING AGENT
S ion 3.01. Duties of Paying Agent. As Paying Agent, the Bank shall, provided adequate collected funds
have been vided to it for such purpose by or on behalf of the Issuer, pay on behalf of the Issuer the principal of each
Security at Stated Maturity, or Redemption Date, to the Holder upon surrender of the Security to the Bank at the
Bank Princ 1 Payment Office.
A aying Agent, the Bank shall, provided adequate collected funds have been provided to it for such purpose
by or on b if of the Issuer, pay on behalf of the Issuer the interest on each Security when due, by computing the
amount of erest to be paid each Holder and preparing and sending checks by United States Mail, first-class postage
prepaid, o ach payment date, to the Holders of the Securities (or their Predecessor Securities) on the respective
Record Da to the address appearing on the Security Register or by such other method, acceptable to the Bank,
requested i iting by the Holder at the Holder's risk and expense.
S1ion 3.02. Payment Dates. The Issuer hereby instructs the Bank to pay the principal of and interest on the
Securities the dates specified in the Order.
ARTICLE IV. REGISTRAR
S ion 4.01. Security Register - Transfers and Exchanges. The Bank agrees to keep and maintain for and
on behalf the Issuer at the Bank Principal Payment Office the Security Register for the purpose of recording the
names and dresses of the Holders of the Securities, the transfer, exchange, and replacement of the Securities, and the
payment oil, he principal of and interest on the Securities to the Holders and containing such other information as may
be reasona' y required by the Issuer and subject to such reasonable regulations as the Issuer and the Bank may
prescribe. 11 transfers, exchanges, and replacement of Securities shall be noted in the Security Register. A copy of
the Securiegister will be maintained by the Paying Agent/Registrar at the Bank Principal Payment Office.
E ry Security surrendered for transfer or exchange shall be duly endorsed or be accompanied by a written
instrument transfer, the signature on which has been guaranteed by an officer of a federal or state bank or a member
of the Nati1 Association of Securities Dealers, in form satisfactory to the Bank, duly executed by the Holder thereof
or his age my authorized in writing.
T Bank may request any supporting documentation it feels necessary to effect a re-registration, transfer, or
exchange the Securities.
T: the extent possible and under reasonable circumstances, the Bank agrees that, in relation to an exchange or
transfer of curities, the exchange or transfer by the Holders thereof will be completed and new Securities delivered to
the Holder r the assignee of the Holder in not more than three business days after the receipt of the Securities to be
cancelled i an exchange or transfer and the written instrument of transfer or request for'exchange duly executed by the
Holder, or is duly authorized agent, in form and manner satisfactory to the Paying Agent/Registrar.
S' tion 4.02. Certificates. The Issuer shall provide an adequate inventory of printed Securities to facilitate
transfers o xchanges thereof. The Bank covenants that the inventory of printed Securities will be kept in safekeeping
pending use, and reasonable care will be exercised by the Bank in maintaining such Securities in safekeeping,
which sha be not less than the care maintained by the Bank for debt securities of other political subdivisions or
coiporatio for which it serves as registrar, or that is maintained for its own securities.
A-3
Se ion 4.03. Form of Security Register. The Bank, as Registrar, will maintain the .Security Register
relating to registration, payment, transfer, and exchange of the Securities in accordance with the Bank's general
practices a procedures in effect from time to time. The Bank shall not be obligated to maintain such Security
Register in y form other than those which the Bank has currently available and currently utilizes at the time.
Security Register may be maintained in written form or in any other form capable of being converted into
written fo ithin a reasonable time.
S ion 4.04. List of Security Holders. The Bank will provide the Issuer at any time requested by the Issuer,
upon paym it of the required fee, a copy of the information contained in the Security Register. The Issuer may also
inspect the ' ormation contained in the Security Register at any time the Bank is customarily open for business,
provided t reasonable time is allowed the Bank to provide an up-to-date listing or to convert the information into
written fo
U ss required by law, the Bank will not release or disclose the contents of the Security Register to any
person oth than to, or at the written request of, an authorized officer or employee of the Issuer, except upon receipt of
a court ord or as otherwise required by law. Upon receipt of a court order and prior to the release or disclosure of the
contents of e Security Register, the Bank will notify the Issuer so that the Issuer may contest the court order or such
release or rlosure of the contents of the Security Register.
S ion 4.05. Return of Cancelled Certificates. All Securities surrendered for payment, redemption,
transfer, a ange, or replacement, if surrendered to the Bank, shall be promptly cancelled by it and, if surrendered to
the Issuer, all be delivered to the Bank and, if not already cancelled, shall be promptly cancelled by the Bank. The
Issuer may any time deliver to the Bank for cancellation any Securities previously authenticated and delivered which
the Issuer y have acquired in any manner whatsoever, and all Securities so delivered shall be promptly cancelled by
the Bank. 11 cancelled Securities held by the Bank shall be destroyed, and evidence of such destruction fiunished to
the Issuer t such reasonable intervals as it determines, subject to applicable rules and regulations of the Securities and
Exchange mmission.
S tion 4.06. Mutilated, Destroyed, Lost, or Stolen Securities. The Issuer hereby instructs the Bank,
subject to applicable provisions of the Order, to deliver and issue Securities in exchange for or in lieu of mutilated,
destroyed, st, or stolen Securities as long as the same does not result in an over issuance of securities.
I ! ase any Security shall be mutilated or destroyed, lost, or stolen, the Bank, in its discretion, may execute
and delive replacement Security of like form and tenor, and in the same denomination and bearing a number not
contempo eously outstanding, in exchange and substitution for such mutilated Security, or in lieu of and in
substitutio for such destroyed, lost, or stolen Security, only after (i) the filing by the Holder thereof with the Bank of
evidence 'sfactory to the Bank of the destruction, loss, or theft of such Security, and of the authenticity of the
ownership ereof and (ii) the furnishing to the Bank of indemnification in an amount satisfactory to hold the Issuer and
the Bank It: ess. All expenses and charges associated with such indemnity and with the preparation, execution, and
delivery oil; [ replacement Security shall be borne by the Holder of the Security mutilated or destroyed, lost, or stolen.
tion 4.07. Transaction Information to Issuer. The Bank will, within a reasonable time after receipt of
written re st from the Issuer, furnish the Issuer information as to the Securities it has paid pursuant to Section 3.01 of
this Agree ent, Securities it has delivered upon the transfer or exchange of any Securities pursuant to Section 4.01 of
this Agre ent, and Securities it has delivered in exchange for or in lieu of mutilated or destroyed, lost, or stolen
Securities uant to Section 4.06 of this Agreement.
Won 4.08. Redemption of Securities. Securities which are redeemable before their stated maturity shall be
in accordance with Section 15 of the Order and terms in accordance with this Article IV.
A-4
VOL AGE 130
S ion 4.09. Notice of Redemption. Notice of redemption shall be given by the Bank in the name and at the
expense of a Issuer, not less than 30 or more than 45 days prior to the date of redemption, to each registered owner of
Securities t e redeemed and as otherwise required by the Order.
of redemption shall include the CUSIP number and statement as to:
date of redemption;
price of the Securities expressed as a percentage of par amount of the Securities;
(c R the principal amount of Securities to be redeemed, and if less than all outstanding Securities are to be
redeemed, a identification (and, in case of partial redemption, the principal amounts) of the Securities to be
redeemed;
( t on the date of redemption, the principal of each of the Securities to be redeemed will become due and
payable an t the interest thereon shall cease to accrue from and after said date; and
rat the Securities to be redeemed are to be surrendered for payment of the price stated in the notice of
the designated principal payment office of the Bank and the address of such office.
T1hh Bank shall, at the expense of the Issuer, provide notice to designated securities depositories and
informatio ervices based upon the then-current guidelines of the Securities and Exchange Commission relating to
redemptio and refundings of municipal bonds, including the Securities. The Bank, at the expense of the Issuer, shall
also provi notice to any other addressees as the Issuer shall designate in writing.
ARTICLE V. THE BANK
S tion 5.01. Duties of Bank. The Bank undertakes to perform the duties set forth herein and agrees to use
reasonable re in the performance thereof.
Sion 5.02. Reliance on Documents, Etc. (a) The Bank may conclusively rely, as to the truth of the
statements d correctness of the opinions expressed therein, on certificates or opinions furnished to the Bank.
( )I The Bank shall not be liable for any error of judgment made in good faith by a Responsible Officer, unless
it shall be ved that the Bank was negligent in ascertaining the pertinent facts.
i
( No provisions of this Agreement shall require the Bank to expend or risk its own funds or otherwise incur
any financ liability for performance of any of its duties hereunder, or in the exercise of any of its rights or powers, if
it shall ha reasonable grounds for believing that repayment of such funds or adequate indemnity satisfactory to it
against su ' risks or liability is not assured to it.
( The Bank may rely and shall be protected in acting or refraining from acting upon any resolution,
certificate, tatement, instrument, opinion, report, notice, request, direction, consent, order, bond, note, security, or
other pap or document believed by it to be genuine and to have been signed or presented by the proper party or
parties. i hout limiting the generality of the foregoing statement, the Bank need not examine the ownership of any
Securities, but is protected in acting upon receipt of Securities containing an endorsement or instruction of transfer or
power of sfer which appears on its face to be signed by the Holder or an agent of the Holder. The Bank shall not be
bound to ke any investigation into the facts or matters stated in a resolution, certificate, statement, instrument,
opinion, r rt, notice, request, direction, consent, order, bond, note, security, or other paper or document supplied by
the Issuer.
A-5
(e a Bank may consult with counsel, and the written advice of such counsel or any opinion of counsel shall
be full and mplete authorization and protection with respect to any action taken, suffered, or omitted by it hereunder
in good fail and in reliance thereon.
( e Bank may exercise any of the powers hereunder and perform any duties hereunder either directly or by
or through ents or attorneys of the Bank.
S ion 5.03. Recitals of Issuer. The recitals contained herein with respect to the Issuer and in the Securities
shall be to as the statements of the Issuer, and the Bank assumes no responsibility for their. correctness.
Bank shall in no event be liable to the Issuer, any Holder or Holders of any Security, or any other Person
for any am t due on any Security from its own funds.
S tion 5.04. May Hold Securities. The Bank, in its individual or any other capacity, may become the owner
or pledgee f Securities and may otherwise deal with the Issuer with the same rights it would have if it were not the
Paying Ag t/Registrar, or any other agent.
S tion 5.05. Money Held by Bank. (a) Money held by the Bank hereunder shall be held for the benefit of
the registe owners of the Securities.
( D~ The Bank shall be under no obligation to pay interest on any money received by it hereunder.
( Except to the extent provided otherwise in the Order, any money deposited with the Bank for the payment
of the prin' al on, or interest on any security and remaining unclaimed for three years after the dates such amounts
have beco due and payable shall be reported and disposed of by the Bank in accordance with the provisions of Title
6 of the T s Property Code, as amended, to the extent that such provisions are applicable to such amounts.
S tion 5.06. Indemnification. To the extent permitted by law, the Issuer agrees to indemnify the Bank for,
and hold i rmless against, any loss, liability, or expense incurred without negligence or bad faith on its part, arising
out of or i connection with its acceptance or administration of its duties hereunder, including the cost and expense
against an, t j claim or liability in connection with the exercise or performance of any of its powers or duties under this
S tion 5.07. Interpleader. The Issuer and the Bank agree that the Bank may seek adjudication of any
adverse cl demand, or controversy over its person as well as funds on deposit, in either a federal or State District
Court loc d in either Brazos County, Texas, or another Texas county in which the Bank maintains administrative
offices, a agree that service of process by certified or registered mail, return receipt requested, to the addresses
referred t Section 6.03 of this Agreement, shall constitute adequate service. The Issuer and the Bank further agree
that the B has the right to file a Bill of Interpleader in any court of competent jurisdiction in the State of Texas to
determine e rights of any Person claiming any interest herein.
tion 5.08. Depository Trust Company Services. It is hereby represented and warranted that, in the event
the Securi ' s are otherwise qualified and accepted for "Depository Trust Company" services or equivalent depository
trust servi s by other organizations, the Bank has the capability and, to the extent within its control, will comply with
the "Oper onal Arrangements" currently in effect which establishes requirements for securities to be eligible for such
type of d sitory trust services, including, but not limited to, requirements for the timeliness of payments and funds
availabili transfer turnaround time, and notification of redemptions and calls.
ARTICLE VI. MISCELLANEOUS PROVISIONS
tion 6.01. Amendment. This Agreement may be amended only by an agreement in writing signed by
both of th, arties hereto.
A-6
VOL 0 PAGE ~ '
6.02. Assignment. This Agreement may not be assigned by either party without the prior written
consent of ft other.
S ion 6.03. Notices. Any request, demand, authorization, direction, notice, consent, waiver, or other
document vided or permitted hereby to be given or furnished to the Issuer or the Bank shall be mailed or delivered
to the Issue 11 r the Bank, respectively, at the addresses shown on the signature page of this Agreement.
Sion 6.04. Effect of Headines. The Article and Section headings herein are for convenience only and
shall not a t the construction hereof.
Sion 6.05. Successors and Assigns. All covenants and agreements made herein by the Issuer shall bind its
successors d assigns, whether so expressed or not.
S ion 6.06. Severability. In case any provision herein shall be invalid, illegal, or unenforceable, the
validity, le lity, and enforceability of the remaining provisions shall not in any way be affected or impaired thereby.
S ion 6.07. Benefits of Agreement. Nothing herein, express or implied, shall give to any Person, other
than the p ies hereto and their successors hereunder, any benefit or any legal or equitable right, remedy, or claim
hereunder. '
S ion 6.08. Entire Agreement. This Agreement and the Order constitute the entire agreement between the
parties her relative to the Bank acting as Paying Agent/Registrar and if any conflict exists between this Agreement
and the Or f
r, the Order shall govern.
S tion 6.09. Counterparts. This Agreement may be executed in any number of counterparts, each of which
shall be de ed an original and all of which shall constitute one and the same Agreement.
S tion 6.10. Termination. This Agreement will terminate (i) on the date of final payment of the principal of
and intere on the Securities to the Holders thereof or (ii) may be earlier terminated by either party upon 60 days
written no e; provided, however, an early termination of this Agreement by either party shall not be effective until (a)
a successo aying Agent/Registrar has been appointed by the Issuer and such appointment accepted and (b) notice has
been give the Holders of the Securities of the appointment of a successor Paying Agent/Registrar. Furthermore, the
Bank and uer mutually agree that the effective date of an early termination of this Agreement shall not occur at any
time whic ould disrupt, delay, or otherwise adversely affect the payment of the Securities.
n an early termination of this Agreement, the Bank agrees to promptly transfer and deliver the Security
Register ( a copy thereof), together with other pertinent books and records relating to the Securities, to the successor
Paying Ag t/Registrar designated and appointed by the Issuer.
provisions of Section 1.02 and of Article V shall survive and remain in full force and effect following the
f this Agreement.
(Remainder of this page intentionally left blank)
A-7
provisions of Section 1.02 and of Article V shall survive and remain in full force and effect following the
terminatio f this Agreement.
S tion 6.11. Governing Law. This Agreement shall be construed in accordance with and governed by the
laws of th tate of Texas.
n 41 WITNESS WHEREOF, the parties hereto have executed this Agreement as of the day and year first above
written.
Attest:
i
By
Title j
(BANKS L)
Attest:
'IA
By
~(,LC
C inty Clerk
(ISSUER AL)
JPMORGAN CHASE BANK
Dallas, Texas
By
Title
Address: 2001 Bryan, 10t' Floor
Dallas, Texas 75201
BRAZOS
By
County Judge
300 East 26d' Street
Bryan, Texas 77803
EXECUTION PAGE OF PAYING AGENT/REGISTRAR AGREEMENT
VOL W PAGE 134
SCHEDULEI
Paying Agent/Registrar Fee Schedule
(To be furnished by the Bank)
S-1
EXHIBIT B
DESCRIPTION OF ANNUAL FINANCIAL INFORMATION
following information is referred to in Section 20 of the Order.
A ual Financial Statements and Operating Data. The financial information and operating data with
respect to e county to be provided annually in accordance with such Section are as specified (and under the
headings o he Official Statement referred to) below:
(a the portions of the audited financial statements of the County included in the Official Statement, but for
the Count i" most recently concluded fiscal year, and, to the extent that such statements are not completed and
available, audited financial statements for such fiscal year;
( the tables or schedules in the Official Statement under the heading "TAX DATA".
A ounting Principles. The accounting principles, with respect to the County, referred to in such Section
are the ac nting principles described in the notes to the financial statements referred to in paragraph 1 above, as
such princ es may be changed from time to time to comply with state law or regulation.
B-I
VOL l PAGE I3 ry
August 15, 2004
The
Public
300 V
Austii
orney General of Texas
inance Section
st 15th, 9th Floor
Texas 78701
The C ptroller of Public Accounts
Attent' n: Melissa Mora
208 E "t 10th, Room 448
Austi l'Texas 78701-2407
Re: Brazos County, Texas Certificates of Obligation, Series 2004
TO THE ATTORNEY GENERAL
he captioned issue of certificates of obligations (the "Certificates") is being sent to you for your
exami "tion and approval and we enclose one executed but undated Signature Identification and No-
Litigat n Certificate and one executed but undated General Certificate. Upon approval of the
Certifi ' tes, you are authorized to insert the date of the approval in such certificates. If any litigation
should evelop, or if any other event should occur which would make any certificate inaccurate, before
you. ap'; ove the Certificates, we will notify you at once by both telephone and facsimile. With this
assura , you can rely on the accuracy of such certificates at the time you approve the Certificates,
unless advise you otherwise.
fter you have approved the Certificates, please deliver them to the Comptroller of Public
of the State of Texas for registration.
TO THE COMPTROLLER
he Certificates will be sent to you for registration. After the Comptroller's Registration
Certific e on the Certificates is duly signed and sealed, you are hereby authorized and directed to send
the Ce K 1cates by overnight delivery to Winstead Sechrest & Minick P.C., Attorneys at Law, 700 N. St.
Mary's,' Suite 1900, San Antonio, Texas, 78205, attention of Carey R. Troell (or otherwise as directed by
Mr. Tro' 1), together with four copies of each of the following:
) Attorney General's Approving Opinion.
Comptroller's Signature Certificate.
Very truly yours,
BRAZOS COUNTY, TEXAS
County
OFFICIAL STATEMENT CERTIFICATE
follows
of Obli
the "Of
Initial
of a ma
the li61
the undersigned County Judge of Brazos County, Texas (the "County") hereby certify as
connection with the issuance by the County of $5,000,000 "Brazos County, Texas Certificates
tion, Series 2004" (capitalized terms used without definition carry the meanings given them in
ial Statement' dated August 24, 2004).
the best of my knowledge and belief, as of the date of the delivery of the Certificates to the
haser(s), the Official Statement, excluding the Appendices and information relating to taxing
other than the County, as then supplemented or amended, does not contain an untrue statement
al fact and does not omit to state a material fact necessary to make the statements therein, in
the circumstances under which they were made, not misleading.
TNESS MY HAND this
BRAZOS COUNTY, TEXAS
CERTIFICATE FOR ORDER
hereby c
.session,
"Meetin
member
Jr.
thus coi
fe, the undersigned County Judge and County Clerk of Brazos County, Texas (the "County"),
rtify as follows:
The Commissioners Court of the County (the "Commissioners Court") convened in regular
-n to the public, on August 24, 2004, at the meeting place designated in the notice (the
and the roll was called of the members, to wit: Randy Sims, County Judge, and the following
'the Commissioners Court: Eric Caldwell, Duane Peters, Kenny Mallard, and Carey Cauley,
11 members of the Commissioners Court were present, except Vq7::~
tituting a quorum. Whereupon among other business, the following was transacted at the
a written
f:
;R AUTHORIZING THE ISSUANCE OF $5,000,000 "BRAZOS COUNTY,
.S CERTIFICATES OF OBLIGATION, SERI9S 2004" AND OTHER MATTERS
TED THERETO
(the "Or r") was duly introduced for the consideration of the Commissioners Court. It was then duly
moved a seconded that the Order be finally passed and adopted; and after due discussion, such motion,
carrying ith it the adoption of the Order prevailed and carried by the following vote:
YES: 5 NOES: O ABSTENTIONS: C~).
this Cer
the abo,
minutes
Court as
and that
officers
Meeting
given, a]
A true, full, and correct copy of the Order adopted at the Meeting is attached to and follows
icate; the Order has been duly recorded in the Commissioners Court's minutes of the Meeting;
and foregoing paragraph is a true, full, and correct excerpt from the Commissioners Court's
f the Meeting pertaining to the adoption of the Order; the persons named in the above and
paragraph are duly chosen, qualified, and acting officers and members of the Commissioners
ridicated therein; each of the officers and members of the Commissioners Court was duly and
y notified officially and personally, in advance, of the time, place, and purpose of the Meeting,
le Order would be introduced and considered for adoption at the Meeting and each of such
A members consented, in advance, to the holding of the Meeting for such purpose; and the
ras open to the public, and public notice of the time, place, and purpose of the Meeting was
is required by Chapter 551, Texas Government Code, as amended.
Karen McQueen is the duly appointed and acting County Clerk of the County.
AND SEALED this August 24, 2004.
(SEAL)
Brazos County, Texas
County J
Brazos County, Texas
bn :139
SIGNATURE IDENTIFICATION AND NO-LITIGATION CERTIFICATE
certify as f
(I
CERTIFIC
(2
facsimile s
the undersigned County Judge and County Clerk of Brazos County, Texas (the "Issuer"), hereby
ows that:
certificate is executed and delivered with reference to that issue of BRAZOS COUNTY, TEXAS
OF OBLIGATION, SERIES 2004 (the "Certificates"), dated as of August 15, 2004.
e officially executed and signed the Certificates by manually signing the Certificates or causing
Cures to be impressed or lithographed on each of the Certificates.
(3W-the he Certificates are substantially in the form, and have been duly executed and signed in the manner,
prescribed Order authorizing the issuance of the Certificates.
(4 I' t the time we so executed and signed the Certificates we were, and at the time of executing this
certificate are, the duly chosen, qualified, and acting officers indicated therein, and authorized to execute same.
(5 o litigation of any nature has been filed or is now pending to restrain or enjoin the issuance or delivery
of any of th Certificates, or which would affect the provision made for their payment or security, or in any manner
questioning a proceedings or authority concerning the issuance of the Certificates, and that so far as we know and
believe nos h litigation is threatened.
(6)' either the corporate existence nor boundaries of the Issuer is being contested, no litigation has been
filed or is w pending which would affect the authority of the officers of the Issuer, and no authority or
proceedings r the issuance of the Certificates have been repealed, revoked, or rescinded.
(7) e have caused the official seal of the Issuer to be impressed, or printed, or lithographed on each the
Certificates, Ind said seal on the Certificates has been duly adopted as, and is hereby declared to be, the official seal
of the Issue EXECUTED and delivered this
OFFICIAL TITLES
County Judge
Randy Sims
- / \ - / R C County Clerk
Karen McO n _
(Remainder of page intentionally left blank)
STATE O TEXAS §
COUNTY F BRAZOS §
T" undersigned, a Notary Public, certifies and represents that Randy Sims and Karen McQueen are known
to me to b he County Judge and the County Clerk, respectively, of Brazos County, Texas, and in my presence each
executed t s instrument before me in the capacity represented and each of said person's signature appearing above
is genuine.',!
under my hand and seal of office this A 14A ' day of August, 2004.
(NOTAR EAL) otary Pub
CANDY GALLEGO
Notary public, State of Texas
My Commission Expires
MAY 13, 2005
2l '