HomeMy WebLinkAbout17-80 CC Resolution RESOLUTION NO. 17-80
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
TEMECULA ADOPTING TAX-ADVANTAGED BONDS
POST-ISSUANCE COMPLIANCE PROCEDURES AND
CONTINUING DISCLOSURE COMPLIANCE
PROCEDURES, AND TAKING RELATED ACTIONS
THE CITY COUNCIL OF THE CITY OF TEMECULA DOES HEREBY RESOLVE
AS FOLLOWS:
Section 1. Recitals. The City Council of the City of Temecula (the "City")
hereby finds, determines and declares that:
(a) The City of Temecula and its related public entities have issued bonds, the
interest on which is excluded from gross income for federal income tax purposes pursuant
to the Internal Revenue Code of 1986, as amended (the "Code").
(b) The City and its related public entities may issue additional tax-exempt
bonds and may also issue bonds or other obligations that entitle the issuer, the owners
of the bonds, or another party to a credit against federal income tax liability or to a
refundable credit from the United States Treasury. Such tax-exempt or tax-credit bonds
are sometimes referred to as "tax-advantaged bonds." Issuers of tax-advantaged bonds
are required to comply with certain post issuance requirements in accordance with the
Code.
(c) The City Council desires to adopt the Tax-Advantaged Bonds Post-
Issuance Compliance Procedures as set forth in Exhibit A hereto.
(d) The City and its related public entities have issued bonds and have agreed
to undertake certain continuing disclosure obligations pursuant to Rule 15c2-12
promulgated by the Securities and Exchange Commission. The City and its related public
entities may issue additional bonds and, in connection with such bonds, agree to
undertake certain continuing disclosure obligations pursuant to Rule 15c2-12.
(e) The City Council desires to adopt the Continuing Disclosure Compliance
Procedures, as set forth in Exhibit B hereto
Section 2. The Tax-Advantaged Bonds Post Issuance Compliance Procedures,
as set forth in Exhibit A, are hereby approved and adopted, and shall be made applicable
to all tax-advantaged bonds issued by or on behalf of the City and its related public
entities. The City Manager, in consultation with bond counsel, is hereby authorized to
amend such Procedures from time to time as necessary or appropriate.
Section 3. The Continuing Disclosure Compliance Procedures, as set forth in
Exhibit B, are hereby approved and adopted, and shall be made applicable to all bonds
issued by, or on behalf of the City and its related public entities. The City Manager, in
consultation with bond counsel or disclosure counsel, is hereby authorized to amend such
Procedures from time to time as necessary or appropriate.
Resos 17-80 1
Section 4. The City Manager, the Director of Finance and all other officers of
the City are hereby authorized and directed, jointly and severally, to do any and all things
to effectuate the purposes of this Resolution, and to implement both such Procedures
and any such actions previously taken by such officers are hereby ratified and confirmed.
Section 5. The City Clerk shall certify to the adoption of this Resolution.
PASSED, APPROVED, AND ADOPTED by the City Council of the City of Temecula
this 28th day of November, 2017.
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aryann Edwards, Mayor
ATTE
Ran , City Clerk
[SEAL]
Resos 17-80 2
STATE OF CALIFORNIA )
COUNTY OF RIVERSIDE ) ss
CITY OF TEMECULA )
I, Randi Johl, City Clerk of the City of Temecula, do hereby certify that the foregoing
Resolution No. 17-80 was duly and regularly adopted by the City Council of the City of
Temecula at a meeting thereof held on the 28th day of November, 2017, by the following
vote:
AYES: 4 COUNCIL MEMBERS: Comerchero, Rahn, Stewart, Edwards
NOES: 0 COUNCIL MEMBERS: None
ABSTAIN: 0 COUNCIL MEMBERS: None
ABSENT: 1 COUNCIL MEMBERS: Naggar
Randi Johl, City Clerk
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Resos 17-80 3
EXHIBIT A
TAX-ADVANTAGED BONDS POST-ISSUANCE COMPLIANCE PROCEDURES
1. BACKGROUND AND TRAINING
Bonds that receive preferential treatment under federal law are commonly referred
to by the Internal Revenue Service as "tax-advantaged bonds." These bonds or other
obligations are issued by or on behalf of state and local governments, including the City
of Temecula and its related public entities, (e.g., the Temecula Public Financing
Authority). These bonds are subject to federal tax requirements both at the time the
bonds are issued and for as long as they remain outstanding. An issuer's (or other
party's)failure to comply with any applicable federal tax requirement with respect to these
bonds jeopardizes their preferential treatment.
While compliance with applicable federal tax requirements normally occurs at
closing, other federal tax requirements require on-going monitoring after the issuance of
the bonds. These requirements include filing a Form 8038 information return (8038-G for
fully tax-exempt bonds, 8038-GC for fully tax-exempt bonds with an issue price of less
than $100,000, 8038 for tax-exempt ("qualified") private activity bonds or 8038-TC for tax
credit bonds) and the issuer having reasonable expectations of on-going, post-issuance
compliance.
Post-issuance federal tax requirements generally fall into two categories: (1) the
use of proceeds and the use of bond-financed property; and (2) arbitrage yield restriction
on investments and rebate. Use requirements require monitoring of the various direct
and indirect uses of bond-financed property over the life of the bonds and calculations of
the percentage of nonqualified uses. Arbitrage requirements also require monitoring over
the life of the bonds to determine whether the yield on investments acquired with bond
proceeds are properly restricted and whether the City must file a Form 8038-T to pay a
rebate or a yield reduction payment. References to the City in these procedures include
the City's related public entities.
Post-issuance compliance procedures will help the City monitor compliance as
long as the bonds remain outstanding and improve the City's ability to identify
noncompliance and prevent violations from occurring, or timely correct identified
violations, to ensure the continued tax-advantaged status of the bonds.
The designated officer or employee (described in Section 2.A, below) and anyone
assigned particular responsibilities in connection with the procedures described below
must read the certificate regarding compliance with certain tax matters (commonly
referred to as the "tax certificate") that is executed by the City (or a related public entity)
in connection with each bond issue for a more complete explanation of the matters
described in these Procedures. In addition, the designated officer or employee and
anyone assigned particular responsibilities, should discuss these matters with bond
counsel and meet with bond counsel for training related to these Procedures.
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2. GENERAL ADMINISTRATION
A. Responsible Officers or Employees. The City Manager will designate the
officer or employee (e.g., the Director of Finance of the City) who will be responsible for
compliance with each of the procedures set forth below. The City Manager will notify the
current holder of that office, or the employee, of the responsibilities and provide that
person a copy of these Procedures. The holder of the office, or the employee, may in
turn designate other officers or employees and assign to them particular responsibilities
for certain of these Procedures. Qualified consultants may assist in conducting the
compliance procedures. The City Manager must be notified in writing of all such
designations and assignments.
B. Reassignment of Responsibilities. Upon the transition of a designated
officer or employee, the City Manager will advise the new officer or employee of the
responsibilities under these procedures. If officer or employee positions are restructured
or eliminated, the City Manager, or his or her designee will reassign responsibilities as
necessary to ensure that all of the procedures listed below have been appropriately
assigned.
C. Periodic Reviews. The designated officer or employee will conduct periodic
reviews of compliance with these procedures and with the terms of any existing tax
certificate relating to outstanding tax-advantaged bonds, such as fully tax-exempt bonds
or tax-credit bonds, to determine whether any violations have occurred. Such periodic
reviews will occur at least once every twelve months. In the event that violations have
occurred, bond counsel will be contacted immediately so that violations can be remedied
through the remedial actions set forth in Section 1.141-12 of the Treasury Regulations,
the Voluntary Closing Agreement Program described in IRS Notice 2008-31, or further
guidance as may be provided by the IRS. Where necessary, violations will be reported
to the IRS by submitting a VCAP request within 90 days after identification of the violation.
D. Changes or Modifications to Bond Terms. If any change or modification to
the terms of tax-advantaged bonds is contemplated, the designated officer or employee
will immediately contact bond counsel.
E. Recordkeepinq. For each issue of tax-advantaged bonds, the designated
officer or employee will:
(1) maintain a copy of the transcript of the documents relating to the
bonds.
(2) maintain records of all facilities and other costs (e.g., issuance costs,
credit enhancement fees and capitalized interest) and uses(e.g., deposits to project funds
and reserve funds)for which bond proceeds were spent or used (in the case of a qualified
private activity bond, the conduit borrower will be responsible for providing the City with
this information);
(3) maintain records of investments and expenditures of bond proceeds,
rebate exception analyses, rebate calculations, Forms 8038-T, and rebate and yield
reduction payments, and any other records relevant to compliance with arbitrage
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restrictions(in the case of a qualified private activity bond, the borrower will be responsible
for providing the City with this information in the event it is not otherwise available to the
City);
(4) maintain all records described in these Procedures while any bonds
of the issue are outstanding and during the three-year period following the final maturity
or redemption of the bond issue or, if later, while any bonds that refund bonds of that
original issue are outstanding and for the three-year period following the final maturity or
redemption date of the latest refunding bond issue; and
(5) maintain copies of all of the following contracts or arrangements with
non-governmental persons or organizations or with the federal government: (a) the sale
of any bond-financed facility; (b) the lease of any bond-financed facility (other than
individual tenant leases in the case of qualified private activity multifamily rental housing
bonds); (c) management or service contracts relating to a bond-financed facility (other
than those entered into in connection with qualified private activity bonds); (d) research
contracts involving research undertaken in a bond-financed facility (other than those
entered into in connection with qualified private activity bonds); and (e) any other
contracts involving "special legal entitlements" (such as naming rights or exclusive
provider arrangements) with respect to a bond-financed facility (other than those entered
into in connection with qualified private activity bonds).
3. IRS INFORMATION RETURN FILING
In cooperation with bond counsel, the designated officer or employee will ensure
that the Form 8038-G (or other applicable Form 8038) is timely filed (on or before the 15°'
day of the second calendar month after the end of the quarter in which the bonds were
issued) with respect to each tax-advantaged bond issue, including any required
schedules and attachments.
4. INVESTMENT AND EXPENDITURE OF BOND PROCEEDS AND REBATE
A. Track Investments and Expenditures. The designated officer or employee
will ensure the existence of an established accounting procedure for tracking the
investment and the timely expenditures of bond proceeds, including investment earnings.
B. Reimbursement. Upon issuance of the bonds, the designated officer or
employee will allocate bond proceeds for the reimbursement of prior expenditures
(assuming, if required, an appropriate declaration of intent to reimburse has been
adopted). In the case of qualified private activity bonds, the designated officer or
employee shall rely on information provided by the conduit borrower.
C. Final Allocations. The designated officer or employee will ensure that a final
allocation of bond proceeds (including investment earnings) to qualifying expenditures is
made if bond proceeds are to be allocated to project expenditures on a basis other than
"direct tracing" (direct tracing means treating the bond proceeds as spent as shown in the
accounting records for bond draws and project expenditures). This allocation must be
made within 18 months after the later of the date the expenditure was made or the date
the project was placed in service, but not later than the earlier of five years and 60 days
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after the issuance date of the bonds or 60 days after the bond issue is retired. In the case
of qualified private activity bonds, the designated officer or employee shall rely on
information provided by the conduit borrower, which shall be required to provide such
information within the timeframe described in the preceding section.
D. Timely Expenditure of Bond Proceeds. Mindful of the expectations
regarding the timing of the expenditures of bond proceeds set forth in the tax certificate,
the designated officer or employee will monitor expenditures of bond proceeds, including
investment earnings, against issuance date expectations for satisfaction of three-year(or
five-year) temporary period from yield restriction on investment of bond proceeds. In the
case of qualified private activity bonds, the conduit borrower shall be required to comply
with this section.
E. Yield. The designated officer or employee will make note of the "yield" of
the bond issue, as shown on the Form 8038-G, 8038-B or other applicable Form 8038.
F. Temporary Periods and Yield Restriction. The designated officer or
employee will review the tax certificate to determine the "temporary periods" for the bond
issue, during which periods various categories of gross proceeds of the bond issue may
be invested without restriction as to yield. In the case of qualified private activity bonds,
the conduit borrower shall be required to comply with this section.
G. Investment of Proceeds and Yield Restriction. The designated officer or
' employee will ensure that bond proceeds are not invested in investments with a yield
above the bond yield following the end of the applicable temporary period unless yield
reduction payments are to be made. In the case of qualified private activity bonds, the
conduit borrower shall be required to comply with this section.
H. Bidding Requirements. If purchasing investments other than publicly traded
securities for immediate delivery (for example, a guaranteed investment contract or
certificates of deposit), the designated officer or employee will consult with bond counsel
to ensure that investments of bond proceeds satisfy IRS regulatory safe harbors for
establishing fair market value (e.g., through the use of bidding procedures), and maintain
records to demonstrate satisfaction of such safe harbors. In the case of qualified private
activity bonds, the conduit borrower shall be required to comply with this section.
I. Credit Enhancement and Hedging Transactions. The designated officer or
employee will consult with bond counsel before engaging in credit enhancement or
hedging transactions with respect to a bond issue. The designated officer or employee
will maintain copies of all contracts and certificates relating to credit enhancement and
hedging transactions.
J. Debt Service Fund. The designated officer or employee will ensure that the
debt service fund meets the requirements of a "bona fide debt service fund," i.e., one
used primarily to achieve a proper matching of revenues with debt service that is depleted
at least once each bond year, except for a reasonable carryover amount not to exceed
the greater of(i) the investment earnings on the fund for the immediately preceding bond
year; or(ii)one-twelfth of the debt service on the bond issue for the immediately preceding
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bond year. To the extent that a debt service fund qualifies as a bona fide debt service
fund for a given bond year, the investment of amounts held in that fund is not subject to
yield restriction for that year. The designated officer or employee will consult with bond
counsel before creating separate additional funds that are expected to be used to pay
debt service on the bonds. In the case of qualified private activity bonds, the conduit
borrower shall be required to comply with this section.
K. Reserve Fund. The designated officer or employee will ensure that
amounts of bond proceeds invested in any reasonably required reserve fund do not
exceed the least of(each determined at the time of issuance of the bonds): (i)ten percent
of the stated principal amount of the bonds (or the sale proceeds of the bond issue if the
bond issue has original issue discount or original issue premium that exceeds two percent
of the stated principal of the bond issue plus, in the case of premium, reasonable
underwriter's compensation); (ii) maximum annual debt service on the bond issue; or (iii)
125 percent of average annual debt service on the bond issue. In the case of qualified
private activity bonds, the conduit borrower shall be required to comply with this section.
L. Escrow Fund. For an advance refunding escrow (where the refunding
bonds are issued more than 90 days before the refunded bonds are to be redeemed)
funded with taxable open market securities earning yields higher than the yield of the
advance refunding bonds, assure that all or part of the escrow is invested in zero interest
rate SLGS issued by the U.S. Treasury Department if needed to blend down the yield.
M. Gifts for Bond-Financed Proiects. Before beginning a campaign that may
result in gifts that will be restricted for use relating to a bond-financed facility (or, in the
absence of such a campaign, upon the receipt of such restricted gifts), the designated
officer or employee will consult with bond counsel to determine whether replacement
proceeds may result. In the case of qualified private activity bonds, the conduit borrower
will be required to comply with this paragraph.
N. Performance of Rebate Calculations. Subject to the small issuer exception
and the exceptions described in the tax certificate, investment earnings on bond proceeds
at a yield in excess of the bond yield generally must be rebated to the United States. The
designated officer or employee will ensure that rebate calculations will be timely
performed and payment of rebate amounts, if any, will be timely made. Rebate payments
are generally due 60 days after the fifth anniversary of the issuance date of the bond
issue, then in succeeding installments every five years. The final rebate payment is due
60 days after retirement (or early redemption) of the last bond of the issue. In the case of
qualified private activity bonds, the conduit borrower shall be required to comply with this
section.
0. Rebate Consultant. The designated officer or employee will engage the
services of an experienced rebate consultant to undertake rebate calculations described
above for each bond issue. In the case of qualified private activity bonds, the conduit
borrower shall be required to comply with this section.
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P. Spending Exceptions. If the six-month, 18-month, or 24-month spending
exceptions from the rebate requirement (as described in the tax certificate) apply to the
bond issue, the designated officer or employee will ensure that the spending of bond
proceeds is monitored prior to semi-annual spending dates for the applicable exception.
Q. Follow-up on Rebate. After all bond proceeds have been spent, the
designated officer or employee will ensure compliance with rebate requirements for any
reserve fund and any debt service fund that is not exempt from the rebate requirement.
In the case of qualified private activity bonds, the conduit borrower shall be required to
comply with this section.
R. Filing of 8038-T. The designated officer or employee will make rebate and
yield reduction payments timely and file Form 8038-T.
5. PRIVATE BUSINESS USE
A. Private Business Use. Use of bond proceeds or bond-financed property by
a nongovernmental person (including the federal government) in furtherance of a trade
or business activity is considered private business use. Any activity carried on by other
than a natural person (individual acting as a member of the general public) is treated as
a trade or business. Indirect uses of bond proceeds must also be considered in
determining whether more than ten percent of the proceeds of a bond issue will be for a
private business use. For example, a facility is treated as being used for a private
business use if it is sold or leased to a nongovernmental person and the nongovernmental
person's use is in a trade or business. The designated officer or employee will analyze
any private business use of bond-financed facilities and, for each issue of bonds,
determine whether the ten percent limit on private business use (five percent in the case
of "unrelated or disproportionate" private business use) is exceeded and immediately
contact bond counsel if either of these limits is exceeded. This section shall not apply to
qualified private activity bonds.
B. Management and Service Agreements. Management contracts between
governmental entities and private parties under which the private party receives
compensation for services provided with respect to a bond-financed facility may result in
private business use. Before entering into any new management agreement or service
agreement relating to bond-financed facilities, the designated officer or employee will
immediately contact bond counsel to review any such agreement to determine whether it
may result in private business use. This section does not apply to qualified private activity
bonds.
C. Special Legal Entitlements. Before entering into any agreement providing
special legal entitlements relating to a bond-financing facility, the designated officer or
employee will immediately contact bond counsel to review such agreement. This section
does not apply to qualified private activity bonds.
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6. PROCEDURES RELATING ONLY TO TAX CREDIT BONDS
A. Limit on Premium. The designated officer or employee will consult with the
financial advisor to ensure that the premium on each maturity (stated as a percentage of
principal amount) does not exceed one-quarter of one-percent multiplied by the number
of complete years to the earlier of the final maturity or, generally, the earliest optional
redemption date for the bonds.
B. Two Percent Costs of Issuance Limitation. The designated officer or
employee will consult with the financial advisor to ensure that the excess of the issue
price (i.e., the stated principal amount of the bonds plus the original issue premium or
less the original issue discount) over the price at which the bond issue is sold to the
investors at the initial bond offering, when combined with other issuance costs paid from
bond proceeds, does not exceed two percent of the sale proceeds.
C. Review of Market Availability. The designated officer or employee will
ensure that the financial advisor reviews the market trading activity after their sale date
but before their issuance date to determine whether the market pricing is consistent with
the issue price reported by the underwriter or original purchaser as of their sale date.
Market trading information is generally available through the Municipal Securities
Rulemaking Board's Electronic Municipal Market Access System (EMMA)
(http://www.emma.msrb.orq). A record of such determination, including copies of the
market trading information, will be maintained.
D. Monitor Interest For Refundable Credit. In the case of tax credit bonds, the
designated officer or employee will monitor the amount of interest payable on each
interest payment date to ensure that the proper amount of direct payment (refundable
credit) is requested on each Form 8038-CP.
E. Filing of 8038-CP. In the case of tax credit bonds, the designated officer or
employee will ensure that IRS Form 8038-CP is timely filed with respect to each interest
payment date (or each quarter in the case of certain variable rate bond issues).
F. Refundable Credit Payments to Proper Person. In the case of tax credit
bonds, if the direct payments (refundable credits) to be made by the federal government
with respect to the bonds will be paid to a person other than the issuer (e.g., the bond
trustee or the state or local government entity on whose behalf an authority issued the
bonds, such as the California Statewide Communities Development Authority), the
designated officer or employee will obtain and record the contact information of that
person, and ensure that it is properly shown on Form 8038-CP so that the direct payment
(refundable credit) will be made to the proper person.
G. Follow-up on Two Percent Costs of Issuance Limitation. In the case of tax
credit bonds, in cooperation with the financial advisor, the designated officer or employee
will ensure that no more than two percent of the sale proceeds are used to pay issuance
costs.
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H. Available Proiect Proceeds. In the case of tax credit bonds, the designated
' officer or employee will ensure that all of the sale proceeds and investment earnings,
other than (i) sale proceeds used to pay issuance costs (up to the two percent limit
described above) or(ii) deposited in a reasonably required reserve fund, are allocated to
capital expenditures.
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111EXHIBIT B
CONTINUING DISCLOSURE COMPLIANCE PROCEDURES
1. BACKGROUND AND TRAINING
Rule 15c2-12, promulgated by the Securities and Exchange Commission (SEC)
pursuant to the Securities Exchange Act of 1934, requires certain information be
disclosed to the municipal bond marketplace. The SEC recently amended the disclosure
requirements in an effort to improve the quality and availability of information regarding
outstanding municipal bonds. In the words of the SEC, the amendment is consistent with
its "mandate to adopt rules reasonably designed to prevent fraudulent, deceptive or
manipulative acts or practices in the market for municipal securities." This reiterates the
SEC's position that material non-compliance by an issuer with past continuing disclosure
obligations may warrant, without corrective actions, an underwriter being prohibited from
underwriting the issuer's bonds, and thus prevent the issuer from accessing the municipal
bond marketplace.
The following procedures will help ensure compliance by the City and its related
public entities with Rule 15c2-12 and its continuing disclosure obligations under
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continuing disclosure agreements or similar instruments executed in connection with its
municipal bond offerings. Certain capitalized terms herein will have the meanings
ascribed to them in the respective continuing disclosure agreements or similar
instruments.
2. DESIGNATION OF RESPONSIBLE OFFICER
The Responsible Officer will be the officer or other employee responsible for
compiling and filing Annual Reports and notices regarding enumerated events ("Event
Notices"), if required to be filed pursuant to the continuing disclosure agreements or
similar instruments. The initial Responsible Officer shall be the City's Director of Finance.
From time to time, the City Manager may designate a different person to serve as the
Responsible Officer.
3. RESPONSIBLE OFFICER TO BECOME FAMILIAR WITH "EMMA" AND FILING
REQUIREMENTS UNDER CONTINUING DISCLOSURE AGREEMENTS
A. The Responsible Officer will take such action as may be necessary or
appropriate to become familiar with the SEC's Electronic Municipal Market
Access (EMMA) website. The Responsible Officer should understand how
to locate on EMMA the filings made by the City in connection with bonds
issued by the City. If the City is serving as its own Dissemination Agent,
the Responsible Officer will establish a user identification and password for
EMMA and become familiar with uploading documents onto EMMA.
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B. For each separate issue of the City's outstanding bonds, the Responsible
Officer will read the related continuing disclosure agreement or similar
instrument and identify the following:
(i) The date by which the Annual Report must be filed;
(ii) The contents needed to be included in the Annual Report;
(iii) The Event Notices that must be filed; and
(iv) When Event Notices are required to be filed.
C. The Responsible Officer should be aware of the types of events (the "Listed
Events") that would require the filing of an Event Notice. If clarification is
required regarding what is meant by a Listed Event, the City's bond counsel
or disclosure counsel should be contacted to seek such clarification.
4. PREPARATION AND FILING OF ANNUAL REPORTS AND EVENT NOTICES
A. The City will strive to begin the process of completing its audited financial
statements as soon as practicable after the close of each Fiscal Year. Such
audited financial statements should be completed in time to be submitted to
the City Council (or other governing board) before the date that the Annual
Report must be filed.
B. The Responsible Officer will identify any information that is required to be
included in the Annual Report but is not part of the City's audited financial
statements, and contact the sources necessary to compile such information
as soon as possible after the close of each Fiscal Year. The Responsible
Officer will consider adding any information required by its continuing
disclosure agreements or similar instrument not already included in its
audited financial statements into a supplementary information section of
audited financial statements.
C. Following the compilation of the information that is to be included in the
Annual Report, the Responsible Officer will (or will cause the Dissemination
Agent to) submit the Annual Report to EMMA on or before the date on which
the Annual Report must be filed.
D. Each year, by no later than the date that the Annual Report is required to
be filed on EMMA, the Responsible Officer will review the EMMA website
to confirm that the Annual Report has been posted. If the Annual Report
has not been posted, the Dissemination Agent will be notified, or the
Responsible Officer will file the Annual Report, as applicable.
E. The Responsible Officer will, or with the assistance of consultants engaged
to monitor compliance, identify the occurrence of a Listed Event and
prepare, or have prepared, the appropriate disclosure. The Responsible
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Officer will file (or will cause the Dissemination Agent to file) Event Notices
on EMMA in a timely manner, when so required by the continuing disclosure
agreements or similar instrument. The Responsible Officer will contact the
City's bond counsel or disclosure counsel if there are any questions
regarding whether an event constitutes a Listed Event, and whether such
occurrence will require the filing of an Event Notice.
5. RETENTION OF RECORDS
A. The documents identified below should be retained for a period of at least
six years following the termination of the City's obligations (i.e., the legal
defeasance, prior redemption or payment in full of the related issue of
municipal securities) under a continuing disclosure agreement or similar
instrument.
B. The City will retain, in its records, the transcripts containing the documents
related to each issue of bonds or other obligations of the City.
C. The City will retain copies, in paper or electronic form, of each Listed Event
Notice submitted to EMMA.
D. The City will retain copies, in paper or electronic form, of each Annual
Report submitted to EMMA.
E. To the extent that the content of an Annual Report is based on source
materials created or obtained by the City, the City will retain in its records,
such source materials created or obtained by the City.
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