Loading...
HomeMy WebLinkAboutAgenda - 04-05-2011 - 8coRANGECOUNTY BDARD of COMMISSIONERS ACTION AGENDA ITEM ABSTRACT Meeting Date: April 5, 2011 Action Agenda Item No. SUBJECT: Approval of orange County's Capital Funding, Debt Management, Fund Balance, and Investment Policies DEPARTMENT: County Manager and Financial PUBLIC HEARING: ~Y1N} No Services ATTACHMENTS}: INFaRMAT14N CONTACT; Attachment 1:orange County Capital Frank Clifton, X919} 245-2306 Funding Policy Clarence Grier, X919} 2452453 Attachment 2: orange County Debt Management Policy Attachment 3: orange County Fund Balance Management Policy Attachment 4: orange County Investment Polic PURPQSE: To approve changes in the Capital Funding, Debt Management, Fund Balance Management and Investment Policies. BACKGROUND: Earlier this fiscal year, staff proposed changes to some existing financial policies of the County Capital Funding and Debt Management}, Additionally, staff proposed two new financial policies Fund Balance and Investment}. As previously, discussed, one of the factors in the County's bonds and debt being rated highly by the rating agencies is the existence of sound fiscal policies and procedures. Staff has provided the updated policies and procedures for Board information and approval: • orange County Capital Funding Policy • orange County Debt Management Policy • orange County Fund Balance Management Policy • 'Grange County Investment Policy The attached policies document the County's current practices, procedures, and standards. Moreover, these policies viii align the County's financial management practices with the current financial rules and reporting standards promulgated by the Government Finance Officers Association ~GFOA} and the Local Government Commission ~LGC~. FINANCIAL IMPACT: There is no a financial impact with .consideration of these policies. RECO~II~ENDAT1oN~5}: The Manager recommends the Board approve the Orange Gounty Capital Funding Policy, Orange County Debt Management Policy, Orange Gounty Fund Balance Policy and Orange County Investment Policy. V Orange County Board of Commissioners Capital Funding Policy Preamble This capital funding policy is the product of extensive analysis and deliberation, The intent of this policy is to reflect greater priority than there has been historically on providing funding far County projects, with particular emphasis directed at enhanced upkeep of existing County facilities. The policy reflects the implementation of the Board of Commissioners' resolution of November ~ 6, ZDO4 that the Board "does hereby adopt in principle a policy of allocafing a target of 60 percent of capital expenditures for school projects and 40 percent of capr'fal expenditures for county projects over the decade begv'nning in calendar year 2045" This policy continues the County's principle and historical practice of funding all School and County related debt service obligations before allocating any other School or County capital funds for other purposes. Long Range Capita[ Investment Plan During January of each fiscal year, the County Manager shall present, to the Board, five- year County and School capital needs and funding plans in the form of a Capital Investment Plan. Each year, the Board of Commissioners shall conduct a public hearing on the Manager's Recommended GIP during March and subsequently adopt a five~year Capital investment Plan GIP} as part of the annual operating budget in June, County and School recurring capital needs will be identified and reviewed during each annual operating budget cycle, and recurring capital appropriations will be approved by the Board of Commissioners as an element of each annual Orange County Budgetordinance. The five-year plan for long-range capital funding shall include anticipated County and School capital expenditures costing $~oo,aao or more. Sources of Funds The County will allocate the following sources of funds for County and School debt service and long-range and recurring capital: • All proceeds from the Article 4o and Article 4Z half~cent sales taxes. (The North Carolina General Statutes require that 30 percent of the Article 40 (NCGS~105-487(a)) and 60 percent of the Article 42 (NCGS§105-502(a)) sales tax revenue be earmarked for public school capital outlay as defined in NCGS§105-4260 or to retire any indebtedness incurred by the county for these purposes) • School Construction Impact Fees for each school system. • Property tax revenue as needed and approved by the Board. The County wi[1 budget NC Education Lottery proceeds as the revenues are distributed by the State each quarter, once the revenues are identified for an individual school capital projec# and requested by each district. Debt Service All County and School related debt service obligations would be funded prior to allocation of programmed funding far any other capital purposes. grange County Schools' impact fees will be earmarked to pay for debt service on projects that involved the construction of new school space in the grange County Schools system. Chapel Hill-Carrboro City Schools' impact fees will be earmarked to pay for debt service on projects that involved the construction of new school space in the Chapel Hill-Carrboro City Schools system. These expenditures will be tracked and verified by each district annually. NC Education Lottery Proceeds Each school district will have the option to dedicate its share of the annual NC Education Lottery monies to address school facility renovation needs or as additional revenue to the districts pay-as-you-go funding to address school facility renovation needs. Annually either district can request that the County dedicate Lottery proceeds to repay debt service and the county will substitute pay-as-you-go-funding to expedite approved capital projects in the schools capital improvement plan. Allocation Capital funding for each fiveyyear capital planning period will be allocated between the two school districts based on the student membership planning allotments, provided by the NC Department of Public Instruction by March 1 of each year. Capital Project ordinances --Form and Purpose All funds allocated to capital projects are to be accounted for in a Capital Project Fund as authorized by a Board of County Commissioner approved Capital Project ordinance. The Capital Project ordinance will include a detailed break down of each major cost category related to the project. In accordance with the Board of County Commissioners November 24aD adopted "Policy on P~anr~ing and Furrding Schoo! Capital Pra~ects", whenever School capital project bids are either higher or lower than originally projected, ar any other factor affect'[ng the project budget occurs, the affected school system is expected to work with County Management and Budget staff to present revised capital project ordinances for adoption by the Board of Commissioners. The same expectations shall be applicable for changes to County Capital project budgets. Community Use of Schools It is the intent of the Board of County Commissioners to evaluate each new proposed school in both Schoa[ Districts for joint community use opportunities, including, but not limited ta, park and recreation use. Schools Adequate Public Facilities Ordinance Orange County's Schools Adequate Public Facilities Ordinance ~SAPFO} and Memoranda of Understanding ~MOUs} between the County and its municipal and school partners establish the machinery to assure that, to the extent possible, new development will take place only when there are adequate public school facilities available, or planned, which will accommodate such new development. The Board of County Commissioners is committed to the principle that new school space documented as needed through the annual SAPFO technical review process wi[1 be reflected in the next adopted CIP, and will be funded so as to be constructed to be available before the relevant level of service threshold is exceeded. Rescission This policy supersedes any policy in place prior to this date. GRANGE COUNTY BGARD GF COMMISSIONERS DEBT MANAGEMENT PGLIGY The County has long recognized the importance of proper [ong~-range planning in order to meet capital improvement needs as they arise without experiencing dramatic impacts on operational cost and debt service. The following policy statements will provide guidance on the issuance of dept to help insure that the County maintains a sound debt position and that its credit quality is protected. In conjunction with the County's Capital Policies, these policy statements rationalize the decision making process, identify objectives for staff to implement, and demonstrate a commitment to long term financial planning objectives. In addition, this debt management policy will allow for an appropriate balance between the established debt parameters and providing flexibility to respond to unforeseen circumstances and new opportunities. PODGY STATEMENTS _ u r os e a n d T e,.,.,,,.,,,_ ~? ___ ~ ~~~,~~~,~Yp ~., of Debt ~. Incurrence of debt or long-term borrowing will only be used far the purpose of providing f nancing for capital projects to include, but not limited to: a. Construction of new School and County facilities b. Renovation and repair of existing School and County facilities c. Acquisition of real property bland and~ar buildings} d. Construction or expansion of Public Utilities. e. Providing funds forAffordable Housing Projects f. Construction, acquisition and development of Parks g. Purchase of major equipment Debt issuance will not be used to finance current operations ar normal maintenance. 2. The types of debt instruments to be used by the County include: a. General Obligation Bonds b. Bond Anticipation Notes c. Installment Purchase Agreements (private placement) d. Special Obligation Bonds (landfill only) e. Certificates of Participation, when feasible f. Revenue Bonds 3. All debt issued, including installment purchase methods, will be repaid within a period not to exceed the expected useful life of the improvements ar equipment financed by the debt. 4. The County will not issue tax or revenue anticipation notes. Purpose and Type of Debt (continued) 5. The County will not issue bond anticipation notes with maturities in excess of one year. 6. The County will strive to maximize the use ofpay-as-you-go financing for capital improvements. issuance of Debt ?'. The County will strive to issue bonds no more frequently than once in any fiscal year. The scheduling of bond sales and installment purchase decisions and the amount of bonds to be sold and installmentfinancing to be sought will be determined each year by the County Commissioners. These decisions will be based upon the identified cash flow requirements for each project financed, market conditions, and other relevant factors. These factors will be ascertained from the school systems and County departments. if cash needs for bond projects are insignr`ficant in any given year, the Board may choose not to issue bands. Instead, the Board may fund upfront project costs and reimburse these costs when bonds are sold. In these situations the Board will adopt Reimbursement Resolutions prior to the expenditure of project funds. 8. The County will seek level or declining debt repayment schedules and will avoid issuing debt that provides for balloon principal payments reserved at the end of the term of the issue. 9. The County will avoid over-reliance on variable rate debt. Variable rate debt will only be considered when market conditions favor this type of issuance. 111vhen variable rate debt is considered, careful analysis will be perrormed and techniques applied that will ensure that the County's sound debt position will be maintained. At no time will variable rate debt exceed ~o°/~ of the County's total outstanding debt. 1 o. The County is required by Statute to issue general obligation debt through a competitive process. The competitive process will also be used for other debt issuance unless time factors, interest rates ar other factors make it more favorable to the County to use a negotiated process. ~ 1. In the planning process for debt issuance the County will assess the need to maintain its "Bank Qualification" if installment purchase financing is being considered. Level of Debt 12. The County will maintain its net bonded debt at a level not to exceed three percent of the assessed valuation of taxable property within the County, 13. The County will strive to maintain its annual debt service costs at a level no greater than fifteen percent of general fund revenues, including installment purchase debt. This is a recommended "best practice" from the Government Finance Officers Association. Advance_Refunding of Debi ~ 4. The County will make every effort to issue advance refunding bonds to achieve cost savings of at feast 3°/° percent net of the refunding bonds. Net savings includes gross savings less issuance costs and any cash contributions to the refunding. The 3% savings is the minimum savings permissible before the North Carolina Local Government Commission will consider advance refunding bonds. These decisions will be based upon the maturity date of the refunded bonds, the call date and premium on the refunded bonds and the interest rates at which the refunding bonds can be issued. Undesignated Fund Balance ~ 5~ The County will strive to maintain an undesignated balance in the general fund of ~?'°/° percent of budgeted general fund operating expenditures each fiscal year. The amount of undesignated fund balance maintained during each fiscal year should not fall below 8°/° percent of budgeted general fund operating expenditures as recommended by the North Carolina Local Government Commission. ~ 6. To the extent that general fund undesignated fund balance exceeds ~ 7°/° percent the balances maybe utilized to fund capital expenditures or pay down outstanding County debt. investment of Capital Funds ~ 7. investment of capital funds will be per#ormed in accordance with the North Carolina General Statutes ~~59-3g}. Funds will be invested in instruments that will provide the liquidity required to meet the cash flow needs of each project funded. 18. Investment earnings on capital funds, after subtracting required or potential arbitrage, will be used for project casts andlor debt service. Bond Ratings 19. The Countyw"rll maintain good communications with bond rating agencies regarding its financial condition and will follow a policy offull disclosure on every financial report and offering statement. 20. The County will strive to maintain bond ratings at or better than AAA (Fitch), Aa2 (Moody's Investor Services) and AA+ (Standard & Poor's). Arbitra a Rebate and Seconda Market Disclosure Re uirements ~1. The County will comply with all arbitrage rebate requirements as established by the Internal Revenue Service and all secondary market disclosure requirements established by the Securities and Exchange Commission. 2~. Arbitrage will be calculated at the end of each fiscal year and interest earned on investment of bond or installment purchase proceeds will be reserved to pay any penalties due. Enterpr~se_ Funds 23. For any Enterprise Fund that is supporting debt, an annual rate study will be performed to ensure that fees or rates are sufficient to meet the debt service requirements. Capital Reserve Funds 24. The County will create and maintain capital reserve funds as appropriate, such as for school and county projects. ~5. The Capital Reserves will be funded from properfiy tax revenues, sales tax revenues andlor any other revenue source that the County Commissioners may choose. ~6. Funds accumulated in the Capital Reserve Funds will be used on a pay-as- you-go basis to finance renovations and repairs to existing buildings and the purchase of major equipment. The Board may also choose to fund other pay- as-you-go initiatives from Reserve Funds. ~0 ~wYear Capital Investment Plan ~CIP~ 27. The County will review and adopt afive-year C[P annually. 2S. This Debt Management Policy will be incorporated into the C[P. 29. The County will strive to include plans for debt issuance within the C[P. Rescission This policy supersedes any policy in place prior to this date. I~ ORANGE c~uNTYBOARD of coMMlssIONERs FUND BALANCE MANAGEMENT POLICY The Fund Balance Management Policy is intended to address the needs of Grange County County}, in the event of unanticipated and unavoidable occurrences which could adversely affect the financial condition of the County and thereby jeopardize the continuation of necessary public services. This policy will ensure the County maintains adequate fund balance and reserves in the County's Governmental Funds to provide the capacity to: 1. Provide sufficient cash flow for daily financial needs, 2. Secure and maintain investment grade bond ratings, 3. Gffset significant economic downturns or revenue shortfalls, and 4. Provide funds for unforeseen expenditures related to emergencies. Fund Balance forthe County's Governmental Funds will be comprised of the following categories: 1. Nonspendable -amounts that cannot be spent because they are either (a) not in spendable form or (b) legally or contractually required to be maintained intact. 2. Restricted -amounts externally imposed by creditors debt covenants}, grantors, contributors, laws, or regulations of other governments. 3. Committed _ amounts used for a specific purpose pursuant to constraints imposed by formal action of the government's highest level ofdecision-making authority. a. Amounts set aside based on self~imposed limitations established and set in place priorto yearend, but can be calculated after year end. b. Limitation imposed at highest level and requires same action to remove or modify c. Grdinances that lapse at year-end 4. Assi ned -amounts that are constrained by the government's intent to be used for specific purposes, but are neither restricted nor committed. 5. Unassf,. need -amounts that are not reported in any other classification. The General Fund will be the only fund that will have an unassigned fund balance, The Special Revenue Funds and Capital Project funds will consist of only nonspendabley restricted, committed and assigned categories of fund balance. Unassigned Fund Balance -General Fund Grange County has adopted a fiscal policy that provides for capital projects to be financed with debt and pay-as-you-go funding. !n order to obtain the best possible financing, the County has adopted policies designed to maintain bond ratings at or better than AAA Fitch}, Aa2 ~Moody's Investor Services} and AA+ Standard & Poor's}. Part of the County's fiscal health is maintaining a fund balance position that rating agencies feel is adequate to meet the County's needs and challenges. Grange County has therefore adapted a policy that requires management to maintain an unassigned balance as follows: 1. The County will strive to maintain an unassigned fund balance in the General Fund of 17°/~ percent of budgeted general fund operating expenditures each fiscal year. The amount of unassigned fund balance maintained during each fiscal year should not fall below 8% percent of budgeted general fund operating expenditures, as recommended by the North Carolina Local Government Commission. ~. To the extent that the General Fund unassigned fund balance exceeds 17% percent, the balances may be utilized to fund capital expenditures or pay down outstanding County debt. 3. The County's budget and revenue spending policy provides for programs with multiple revenue sources. The Financial Services Director will use resources in the fallowing hierarchy: bond proceeds, Federal funds, State funds, local non-county funds, county funds. For purposes of fund balance classification, expenditures are to be spent from restricted fund balance first, followed in-order by committed fund balance, assigned fund balance, and lastly, unassigned fund balance. The Financial Services Director has the authority to deviate from this policy if it is in the best interest of the County with Board of County Commissioner's approval. 4. Management is expected to manage the budget sa that revenue shortfalls and expenditure increases da not impact the County's total unassigned fund balance. If a catastrophic economic event occurs that requires a ~ 4% or more deviation from fatal budgeted revenues or expenditures, then unassigned fund balance can be reduced by action from the Board of County Commissioners; the Board also will adapt a plan of action tv return spendable fund balance to the required level. Enterprise Funds - Solid Vtilaste, Efland Sewer, and the Grange County Sportsplex~ -The County will strive to maintain unrestricted net assets greater than S°/~ of total operating revenues at fisca! year-end, net of any donated assets recognized, to provide reserves for operations and future capital improvements. Restrictions reservations and desi nations of Net Assets for Enter rise Funds Far external reporting purposes, net assets will be reported as restricted or unrestricted in accordance with GAAP. For `internal purposes, net assets will be reserved ar designated as follows: 1. Encumbered balances to continue existing projects are designated. 2. Designations forfunding of planned projects in afuture period to reduce the financial demands placed upon a subsequent budget. Internal Service Funds -~ Dental Insurance Fund --total net assets shall maintain a positive balance to illustrate the internal nature of recovery fees for services performed inself-insuring employees of the County. Additionally, the net assets of the fund will demonstrate adequate funding for incurred, but not reported claims. 13 Resc~ss~on This policy supersedes any policy in place prior to this date. 14 ORANGE COUNTY BOARD GF CGMMISSIDNERS INVESTMENT PoL[CY SCDPE This policy applies to al! investments of Grange County County} except authorized petty cash accounts and trust funds administered by the Financia! Services Director. The County pools the cash resources of its various funds into a single fund in order to maximize investment opportunities. These funds are accounted for in the Gaunty's Comprehensive Annual Financia! Report. Each fund's portion of total cash and investments is summarized by fund type in the combined balance sheet as equity or deficit in pooled cash and investments. This policy applies to al! transactions involving the financial assets and related activity of al! the various funds accounted for in the County's Comprehensive Annual Financial Report. OBJECTIVES Funds of the Gounty will be invested in accordance with North Carolina General Statute ~59- 3D Gash Management and Investment Policy, and written administrative procedures. The County's investments shall be undertaken in a manner that ~~} seeks to ensure the preservation of capita! in the overall portfolio, ~2} provides for sufficient liquidity to meet the cash needs of the County's various operations and ~~} attains a fair market rate of return. Gash management functions will be conducted in such a manner as to insure that adequate funds will always be available to meet the County's financial obligations and to provide the maximum amount of funds available for investment at a!I times. RESPGNSIB~LITY !n accordance with N.C. General Statutes, the Financial Services Director is charged with the responsibility of cash management and investment. The Financial Services Director is responsible for investment decisions and activities and shall develop and maintain written administrative procedures for the operation of the cash management and investment program, consistent with N.C. Statutes and these policies. The standard of prudence to be used by the Financial Services Director sha[I be the'"Prudent Investor" Rule, which states, "Investments shat! be made with judgment and care, under circumstances then prevailing, which persons of prudence, discretion and intelligence exercise in the management of their own affairs, not far speculation, but far investment, considering the probable safety of their capital as well as the probable income to be derived," This standard of prudence shall be applied in the context of managing the overall poifolio. The Financial Services Director, acting in accordance with North Carolina General Statues, this policy, and written administrative procedures and exercising due diligence shall be relieved of personal responsibility for an investment credit risk, provided deviations from expectations are reported in a timely fashion and appropriate action is taken to control adverse developments. ETHICS AND CONFLICTS OF INTEREST To avoid the appearance of potential conflict of interest or favoritism to a particular bank or broker, the Financial Services Director or any delegate employee who has investment responsibilities, shall make full disclosure to the County Manager of any relationship or dealings with any fiinanciaC institution that has business dealings with the County. This disclosure need not include normal banking ar brokerage relationships that are at normal market rates and conditions available to the genera[ public. Investment officials of banks and other institutions shall be familiar with N.C. General Statutes and County policy regarding gifts and favors and sha[1 act accordingly. STATUTGRY AUTHORIZATION The legal limitations ofi loco[ government investments are defined in N.C.G.S. 159~3g. Accordingly, the following classes of securities are indicative of the investments utilized by Grange County: A. obligations of the United States or obligations fully guaranteed both as to principal and interest by the United States. B. Obligations of the Federal Financing Bank, the Federal Farm Credit Bank, the Bank fior Coaperat"rues, the Federal Intermediate Credit Bank, the Federal Land Banks, the Federal Home Loan Banks, the Federal Home Loan Mortgage Corporation, the Federal National Mortgage Association, the Government National Mortgage Association, the Federal Housing Administration, the Farmers Home Administration and the U.S. Postal Service. C. obligations ofithe State of North Carolina. D. Bonds and notes of any North Caralina,local government or public authority, subject to such restrictions as the Secretary of the Local Government Commission may impose. E. Deposits at interest or purchase of certifiicates of deposit with any bank, savings and loan association ar trust company in North Carolina, provided such deposits or certificates ofi deposit are fiully collateralized. F. Prime quality commercial paper bearing the highest rating of at least one nationally recognized rating service and not bearing a rating below the highest ~A1, P1, F1 } by any nationally recognized rating service which rates the particular obligation. 2 16 G. Bankers' Acceptances provided that the accepting bank or its holding company is either (1) incorporated in the State of North Carolina or (2} has outstanding publicly held obligations bearing the highest rating of at least one nationally recognized rating service and not bearing a rating below the highest (Aaa or AAA) by any nationally recognized rating service which rates the particular obligations. H. Participating shares in a mutual fund for local government investment (such as the N.C. Cash Management Trust) which is certified by the N.C. Local Government Commission. AaM[NISTRAT[VE RESTRICT[~NS [n addition to the previously noted limitations on appropriate securities, Grange County's investment activities are further restricted in the following manner: A. It is the policy of Grange County to diversify its investment po~fo[io. Assets held shat[ be diversified to eliminate the risk of loss resulting from the over concentration of assets in a specific maturity, a specific issuer or a specific class of securities. Diversification shall be determined and revised periodically by the Investment officer. Po~folio maturities shat[ be staggered to avoid undue concentration of assets in a specific maturity sector. Maturities selected shall provide for stability of income and reasonable liquidity. B. Grange County recognizes that investment risks can result from issuer defaults, market price changes or various technical complications leading to temporary illiquidity. Portfolio diversification is employed as a way to minimize default risk. No individual investment transaction shall be undertaken that jeopardizes the capital position of the overall por~o[ia. In the event of a default by a specific issuer, the Financial Services Director shat! review and, if appropriate, proceed to liquidate securities having comparable credit risks. C. No investments in Repurchase Agreements shall be made unless the underlying collateral shat[ be placed in safekeeping in the trust department of a third-parfiy designated by the County. D. The combined total investment in commercial paper and bankers' acceptances shall not exceed thirty five percent X35°/0} of the total portfiolio and the investment in commercial paper ar bankers' acceptances of a single issuer shall not exceed X35%} of the total po~folio at the time of investment. E. No investment shall be made in any security with a maturity greater than five (5) years from the date of purchase. 3 ~7 SELECTION QF SECURITIES The Financial Services Director will determine which instruments shat[ be purchased and sold and the .desired maturity dates} that are in the best interest of the County. The selection of an instrument will involve the evaluation of, but not be limited to, the following factors: A. Cash flow projections and requirements. S. Current market conditions. C. Qverall po~folio balance and makeup. CUSTODY AND SAFEKEEPING QF SECURITIES Qrange County will maintain a third party safekeeping account for all investments ~genera[ly provided by the County's primary bank}. Transactions should be processed on a delivery versus payment basis. Some securities, primarily certificates of deposit, will not be kept in the third party safekeeping account, but will be kept by the Financial Services Director in the vault of the Finance Services Department. INTERNAL CQNTRQLS The Financial Services Director is responsible for establishing a system of internal controls. These controls are designed to prevent lasses of public funds arising from fraud, employee error, and misrepresentation by third parties or imprudent actions by County employees. REPQRTING The Financial Services Director shall maintain a monthly investment report. The report shall include a general description of the por~olio in terms of investment securities, maturities, yields and other features. The report will show investment earnings for the month and fiscal year-to- date, including the annualized earned yield percentage for the poifolio. The report will compare actual investment earnings with budgeted earnings. 4