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RPVCCA_CC_SR_2014_04_01_E_FY12-13_CAFRCITY OF RANCHO PALOS VERDES MEMORANDUM TO: FROM: HONORABLE MAYOR & CITY COUNCIL MEMiS DENNIS McLEAN, DIRECTOR OF FINANCE & . INFORMATION TECHNOLOGY DATE:. SUBJECT: APRIL 1, 2014 FY12-13 COMPREHENSIVE ANNUAL FINANCIAL REPORT REVIEWED: CAROLYNN PETRU, ACTING CITY MANAGER~ Project Manager: Kathryn Downs, Deputy Director of Finance & Information Technology CCQ RECOMMENDATION 1. Receive and file the following: a. FY12-13 Comprehensive Annual Financial Report (CAFR) of the City of Rancho Palos Verdes; b. Independent Auditors' Report on Internal Control; c. Letter from Independent Auditors regarding Significant Audit Findings; and d. Report to Audit Committee. 2. Adopt Resolution No. 2014-_, A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF RANCHO PALOS VERDES, AMENDING RESOLUTION 2013-43, THE BUDGET APPROPRIATION FOR FY13-14, TO ADJUST THE BUDGET IN THE GENERAL FUND AND CAPITAL IMPROVEMENT PROJECTS FUND. 3. Approve retention of the $563,554 FY12-13 insurance refund in the General Fund Reserve (in excess of the Reserve Policy Threshold) to provide for future spikes in insurance costs. EXECUTIVE SUMMARY The City's FY12-13 CAFR is available to view on the City's website and at City Hall. Based upon their independent audit, Vavrinek, Trine, Day & Co., LLP (VTD) have issued an unqualified (clean) opinion of the City's FY12-13 financial statements. E-1 FY12-13 Comprehensive Annual Financial Report April 1, 2014 Page 2of6 The City's General Fund Reserve at June 30, 2013 was $13,968,268 (referred to as the Rainy Day Fund on page 60 of the CAFR, in the Notes to Financial Statements). The overall General Fund Reserve variance is summarized as follows. Actual $13,968,268 . Per the City Council's Reserve Policy, $1,709,057 of the variance amount (related to expenditures) would be transferred to the Capital Improvement Projects (CIP) Reserve. In addition, as reported with the 2013 Five-Year Financial Model, $563,554 of this variance (related to revenue) is attributable to a retrospective refund of general liability insurance. Staff continues to recommend that the General Fund Reserve retain this refund amount to provide for future spikes in insurance costs. If the City Council approves the recommended $1.7 million transfer to the CIP Reserve and retention of the $0.5 million insurance refund, then the General Fund Reserve will have about $1.8 million in excess of the Reserve Policy threshold (calculated below). DISCUSSION Comprehensive Annual Financial Report (CAFR) A separately bound copy of the FY12-13 CAFR has been delivered to each City Council Member, an electronic version has been posted to the City's website, and a copy is available for viewing at City Hall. Staff believes that the FY12-13 CAFR meets the standards and requirements established by the Governmental Accounting Standards Board (GASB) for presentation of financial data, note disclosure and statistical information. The CAFR includes the audited financial statements and accompanying notes for the fiscal year ended June 30, 2013. The scope of the audit examination is limited to Management's Discussion & Analysis, the financial statements and the accompanying notes, beginning on page 9 of the CAFR. Based upon their independent audit, VTD has issued an unqualified (clean) opinion. The opinion letter is presented on page 3 of the CAFR. Independent Auditors' Report on Internal Control The auditors expressed an opinion that the results of their tests identified no deficiencies in internal control over financial reporting considered to be material weaknesses. A copy of this internal control opinion is attached (see Attachment A). Management Letter & Significant Audit Findings The auditors have not issued a Management Letter for FY12-13. A management letter is E-2 FY12-13 Comprehensive Annual Financial Report April 1, 2014 Page 3of6 intended to call attention to matters involving internal controls of the City's accounting system, including suggestions for improving the internal controls and efficiency of the City's financial systems. The Auditing Standards Board of the American Institute of Certified Public Accountants (AICPA) requires the independent auditor to communicate significant audit findings to those charged with governance. The independent auditors have issued a letter to the City Council dated February 17, 2014 to comply with these requirements (see Attachment B). The letter includes the following: • All significant transactions have been recognized in the financial statements in the proper period; • Management's estimates to determine the allowance for the City's receivable from the Successor Agency to the Redevelopment Agency, fair value of investments, and depreciation and valuation of capital assets were reasonable; • The most sensitive financial statement disclosures were related to the City's receivable from the Successor Agency; • The financial statement disclosures are neutral, consistent and clear; • There were no significant difficulties dealing with management during the audit; • A schedule of corrected misstatements of the draft financial statements, which primarily relate to one-time unusual transactions including redevelopment dissolution; and • There were no disagreements with management. Report to Audit Committee The audit partner, Kevin Pulliam, conducted an exit interview with the City Council's 2013 Ad-Hoc Audit Subcommittee (Duhovic and Brooks) on March 19, 2014. Single Audit A Single Audit of federal financial assistance is required when local governments spend more than $500,000 for projects funded with federal monies. The City received $427,345 of federal assistance during FY12-13. The revenue was primarily a combination of Community Development Block Grant money for the Home Improvement Program and projects to improve compliance with the Americans with Disabilities Act (ADA), as well as a Highway Safety Improvements Program grant for Hawthorne Blvd. Pedestrian Improvements. A Single Audit was not required to be performed for FY12-13. Calculation of General Fund Reserve Variance at June 30, 2013 The $3.5 million variance between the expected General Fund Reserve and the actual amount at June 30, 2013 is calculated below. Per the City Council's Reserve Policy, the $1,709,057 expenditure variance would be transferred to the GIP Reserve during FY13- 14. E-3 FY12-13 Comprehensive Annual Financial Report April 1, 2014 Page 4 of 6 Revenue , $24,231,864 , $25,531,952 $1,300,088 Expenditures 19!309,973 17,600,916 1, 709,057 Net Transfers 6,511,368 ' 6,637,258 (125,890) i§'~~f ~f,ij'.i::§;~ij¢1t~,trF~.n:~t~~~;~1~·f y~~~!~Af~~":,~,[,t·'it\~&f llif:/~'.\.~~~Il~ii~t~·~',)j~f;,i\'i11~t~~;·,,:[,;,i'!~i)l:'ll$·~~-M~~ji~;?; Change in Non-Spendable Fund Balance (e.g. prepaid amounts and gift shop inventory) :i~~ilr~~ri~t~t f~yfiij1f~:~,~~1 Revised Estimate of General Fund Reserves as of June 30. 2014 571,290 11"~1~ As most recently reported with the FY13-14 Midyear Financial Report on March 4, 2014, Staff estimated that the ending General Fund Reserve would be $10,444,080 as of June 30, 2014 (about $0.6 million in excess of the reserve threshold). If the City Council adopts Staff's recommendation, the revised estimate of General Fund Reserves at June 30, 2014 would be calculated as follows (about $1.8 million in excess of the reserve threshold). Beginning Balance (aftertransferto CIP Reserve)· $12,259,211 , i-~~'!~!1.u~. 2!),572,690 , !~.X.e~n~iture_~ (19,678,519) •Net Transfers (5,963,814) ~~~Ymi~ ·'"' ,, .... ,, ... ,.,,~~~i1~~µ~:~~1q~f~g~!l~!~~t~$!~~~~l~J~-i~; ·Reserve Policy (50% of Expenditures) (9,839,260), Retention of Insurance Refund (563,554) ~~K~~~~~i;rl~~).·:§Y~~lR~~~~~;~~~!~'i~~i'.~9!~ii1~(\t~f~l.~r:'i$t~if~l~Jt~iz~~~;;: Discussion of Significant Revenue and Expenditure Variances A summary of significant revenue variances follows. [§~_rll:!~a_l __ ~i~~~:!i!Y~rl~~E~nce Ref~nd !Transient Occupancy Tax $ 563,554_ 179,285 I :••--.~.'~'"""~"~~ <&¥••• '"'~'-"'"""~r•-~ ~···~c ·•·•~--•••«••~· •-• • "" ·~••·~·•-•·-~~• ••--~"'"M"""""'' "• •"""~·•· • ,,.,,.,,.,. • •Building & Safety Permits/Plan Checks Utility Users' Tax Planning Permits Property Tax Redevelopment Property Tax Trust Fund Distribution .. ., •••• "·-· -~ .. -., • ., •. J 135,766 95,966 86,132 45,310 23,689 E-4 FY12-13 Comprehensive Annual Financial Report April 1, 2014 Page 5of6 • As reported with the 2013 Five-Year Financial Model, the City received a one-time $563,554 refund from the California Joint Powers Insurance Authority (CJPIA); which represented a retrospective calculation based on actual historical claims results. The one-time refund was a result of CJPIA transitioning from a retrospective fund model to a prospective funding model. • As reported with the FY13-14 Midyear Financial Report, Transient Occupancy Tax (TOT) received from Terranea for May and June 2013 was 25% higher than the prior year. • The Building & Safety and Planning permit revenue variance was the result of increased Community Development permit activity. Permit activity in the City is difficult to predict, as fluctuations are often based on outside factors such as lending rates and housing stock turnover. • Th~ Utility Users' Tax (UUT) variance was primarily driven by California Water. As reported with the FY13-14 Midyear Financial Report, dry weather has led to increased water usage. • The property tax variance was less than 1 % of budgeted property tax revenue; but resulted in a $45,31 O improvement of General Fund Reserves. • All taxing entities in the former redevelopment project area, including the City, began receiving an approximate 6% share of residual redevelopment property tax (after payment of Successor Agency obligations). Staff expects that the City will continue to receive small residual distributions in the future until redevelopment debt is paid off (including the City's Consolidated Loan). A summary of significant expenditure variances follows. Building & Park Maintenance . Emeq~_ency ~repan~dn.ess .. I Sewer Maintenance I -" - !Storm Water gl:'(lli~y (NP.DE~ Compliance) ·Unemployment Claims Contingency Appropriation for initiatives to support City Council goals Other Immaterial Expenditure Variances 24 rams) :rqi~i~;~i~~:~~tf~t''... . .. ; .. :lt~~:t~'r{~j'.)1 ...... . $ 439,201 : 111,982 I 74,754 70,599 30,000. 500,000 482,521 I~r~;~1~z~~~~1~;~1 ~ Consistent with prior years, Building & Park Maintenance programs were conservatively budgeted and actual costs resulted in permanent savings. Considering the historical favorable trend in these programs, Staff will continue to analyze the expenditures during the 2014 budget process, and determine whether program budgets can be adjusted to mitigate future variances. ~ Emergency Preparedness appropriations to stock emergency supply caches have been carried over from year to year. Stocking the caches was completed for significantly less cost than the appropriations that had accumulated for this purpose, resulting in permanent savings. E-5 FY12-13 Comprehensive Annual Financial Report April 1, 2014 Page 6of6 ~ The county has fast-tracked sewer cleaning and filming in the City, and has completed about 80% of the sewer lines. As such, it was unnecessary for the City to engage in cleaning and filming activities during FY12-13, and permanent savings were realized. ~ Due to fewer rain storms, less catch-basin cleaning was required during FY12-13 resulting in permanent savings for the Storm Water Quality program. In addition, consulting time (professional services) was less than expected in this program due to the ever-changing requirements of the state water quality permits. ~ The City did not have to pay unemployment claims during FY12-13, which resulted in permanent savings. ~ The FY11-12 budget included a contingency for initiatives to support City Council goals that was carried forward to FY12-13. The $500,000 contingency was unnecessary and the General Fund realized permanent savings. ~ Although other variances from 24 General Fund programs totaled $482,521, individually they were insignificant. With so many programs that are required to be in budgetary compliance, the combined variance has become expected and is equivalent to 2.5% of the General Fund expenditure budget. FISCAL IMPACT As noted above, the actual June 30, 2013 General Fund Reserve exceeded expectations by about $3.5 million. If City Council adopts Staff recommendations to transfer $1.7 million to the CIP Reserve and retain $0.5 million to provide for retention of the FY12-13 insurance refund as a set-aside for future spikes in the cost of insurance, then the estimated excess General Fund Reserve at June 30, 2014 will be $1.8 million. Staff will offer recommendations to the City Council during the 2014 budget process for one-time uses of this excess availability of funds. Attachments: Resolution No. 2014-_, A RESOLUTION OF THE CITY COUNCIL OF THE CITYOF RANCHO PALOS VERDES, AMENDING RESOLUTION 2013-43, THE BUDGET APPROPRIATION FOR FY13-14, TO ADJUST THE BUDGET IN THE GENERAL FUND AND CAPITAL IMPROVEMENT PROJECTS FUND A -Independent Auditors' Report On Internal Control Over Financial Reporting And On Compliance And Other Matters Based On An Audit Of Financial Statements Performed In Accordance With Government Auditing Standards B -Independent Auditors' letter communicating Significant Audit Findings and Other Matters dated February 17, 2014 E-6 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF RANCHO PALOS VERDES, AMENDING RESOLUTION 2013-43, THE BUDGET APPROPRIATION FOR FY13-14, TO ADJUST THE BUDGET IN THE GENERAL FUND AND CAPITAL IMPROVEMENT PROJECTS FUND WHEREAS, on June 18, 2013, the City Council of the City of Rancho Palos Verdes adopted Resolution 2013-43, approving a spending plan and authorizing a budget appropriation for FY 13-14: and WHEREAS, actual FY12-13 General Fund expenditures were less than budgeted; WHEREAS, City Council Policy No. 41 titled Reserve Policies calls for transfer of prior year favorable General Fund expenditure variances to the Capital Improvement Projects (CIP) Reserve; and WHEREAS, the City Council desires that the FY13-14 budget be adjusted to provide for a transfer of the FY12-13 General Fund expenditure variance. BE IT, THEREFORE, RESOLVED BY THE CITY COUNCIL OF THE CITY OF RANCHO PALOS VERDES: The following adjustments are made to the FY13-14 budget: General Fund Transfers Out CIP Fund Transfers In 101-6000-491-91-00 330-3030-391-10-00 $1,709,057 $1,709,057 PASSED, APPROVED, AND ADOPTED THE 1st DAY OF APRIL 2014. ATTEST: CITY CLERK State of California ) County of Los Angeles )ss City of Rancho Palos Verdes ) MAYOR I, CARLA MORREALE, City Clerk of The City of Rancho Palos Verdes, hereby certify that the above Resolution No. 2014-was duly and regularly passed and adopted by the said City Council at regular meeting thereof held on April 1, 2014. E-7 CITY CLERK CITY OF RANCHO PALOS VERDES E-8 Attachment A Vavrinek, Trine, Day & Co., LLP VAL U E TH E D I FF E REN C E Certified Public Accountants INDEPENDENT AUDITOR'S REPORT ON INTERNAL CONTROL OVER FINANCIAL REPORTING AND ON COMPLIANCE AND OTHER MATTERS BASED ON AN AUDIT OF FINANCIAL STATEMENTS PERFORMED IN ACCORDANCE WITH GOVERNMENT AUDITING STANDARDS To the Honorable City Council of The City of Rancho Palos Verdes City of Rancho Palos Verdes, California We have audi.ted, in accordance with the auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards issued by the Comptroller General of the United States, the financial statements of the governmental activities, the business- type activities, each major fund, and the aggregate remaining fund information of City of Rancho Palos Verdes, California (City), as of and for the year ended June 30, 2013, and the related notes to the financial statements, which collectively comprise the City's basic financial statements, and have issued our report thereon dated February 17, 2014. Our report includes an emphasis of matter describing the City's implementation of Governmental Accounting Standards Board (GASB) Statement No. 63, Financial Reporting of Deferred Outflows of Resources, Deferred Inflows of Resources, and Net Position, effective July 1, 2012. In addition, our report includes an emphasis of matter describing the write off and establishment of an allowance for the receivable due from the Successor Agency. Internal Control Over Financial Reporting In planning and performing our audit of the financial statements, we considered the City's internal control over financial reporting (internal control) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinions on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of City's internal control. Accordingly, we do not express an opinion on the effectiveness of City's internal control. A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entity's financial statements will not be prevented, or detected and corrected on a timely basis. A significant deficiency is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance. Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control that might be material weaknesses or, significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weaknesses. However, material weaknesses may exist that have not been identified. 8270 Aspen Street Rancho Cucamonga, CA 91730 Tel: 909.466.4410 Fax: 909.466.4431 www.vtdcpa.com FRESNO • LAGUNA HILLS • PALO ALTO • PLEASANTON • RANCHO CUCAMONGA • RIVERSIDE • SACRAMENTO E-9 Attachment A Compliance and Other Matters As part of obtaining reasonable assurance about whether the City's financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity's internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity's internal control and compliance. Accordingly, this communication is not suitable for any other purpose. \/~( -r:.--~~,"" ( /1_ /) /~ ~ <-o,,L.l-r Rancho Cucamonga, California February 17, 2014 2 E-10 Di Vavrinek, Trine, Day & Co., LLP Certified Public Accountants To Honorable City Council of The City of Rancho Palos Verdes Rancho Palos Verdes, California Attachment B VALUE THE DIFFERENCE We have audited the financial statements of the governmental activities, the business-type activities, each major fund, and the aggregate remaining fund information of the City of Rancho Palos Verdes (City) for the year ended June 30, 2013. Professional standards require that we provide you with information about our responsibilities under generally accepted auditing standards and Government Auditing Standards, as well as certain information related to the planned scope and timing of our audit. We have communicated such information in our letter to you dated September 1, 2013. Professional standards also require that we communicate to you the following information related to our audit. Significant Audit Findings Qualitative Aspects of Accounting Practices Management is responsible for the selection and use of appropriate accounting policies. The significant accounting policies used by the City are described in Note 1 to the financial statements. The City adopted Governmental Accounting Standards Board Statement No. 63, Financial Reporting of Deferred Outflows of Resources, Deferred Inflows of Resources, and Net Position. No other new accounting policies were adopted and the application of existing policies was not changed during 2013. We noted no transactions entered into by the governmental unit during the year for which there is a lack of authoritative guidance or consensus. All significant transactions have been recognized in the financial statements in the proper period. Accounting estimates are an integral part of the financial statements prepared by management and are based on management's knowledge and experience about past and current events and assumptions about future events. Certain accounting estimates are particularly sensitive because of their significance to the financial statements and because of the possibility that future events affecting them may differ significantly from those expected. The most sensitive estimates affecting the City's financial statements were: Management's estimates were used in: determining the allowance for the receivable from the Successor Agency, fair value of investments, and depreciation and valuations of capital assets. We evaluated the key factors and assumptions used to develop these estimates in determining that they are reasonable in relation to the financial statements taken as a whole. Certain financial statement disclosures are particularly sensitive because of their significance to financial statement users. The most sensitive disclosures affecting the financial statements were: The disclosure of the Successor Agency Trust Fund in Note 16 to the financial statements. The Successor Agency footnote describes the obligations of the Agency to pay the City for certain advances that are subject to the State of California Department of Finance approval. In addition, as described in Note 4, the City has written off $7,230,481 of the receivable due from the Successor Agency. The City has also established an allowance for the remaining $12,058,578 portion of the receivable due from the Successor Agency as described in Note 5. The financial statement disclosures are neutral, consistent, and clear. 8270 Aspen Street Rancho Cucamonga, CA 91730 Tel: 909.466.4410 Fax: 909.466.4431 www.vtdcpa.com FRESNO • LAGUNA HILLS • PALO ALTO • PLEASANTON • RANCHO CUCAMONGA • RIVERS I DE • SACRAMENTO E-11 Attachment B Difficulties Encountered in Performing the Audit We encountered no significant difficulties in dealing with management in performing and completing our audit. Corrected Misstatements Professional standards require us to accumulate all known and likely misstatements identified during the audit, other than those that are clearly trivial, and communicate them to the appropriate level of management. The attached schedule summarizes corrected misstatements to the financial statements. Management has corrected all such misstatements. Disagreements with Management For purposes of this letter, a disagreement with management is a financial accounting, reporting, or auditing matter, whether or not resolved to our satisfaction, that could be significant to the financial statements or the auditor's report. We are pleased to report that no such disagreements arose during the course of our audit. Management Representations We have requested certain representations from management that are included in the management representation letter dated February 1 7, 2014. Management Consultations with Other Independent Accountants In some cases, management may decide to consult with other accountants about auditing and accounting matters, similar to obtaining a "second opinion" on certain situations. If a consultation involves application of an accounting principle to the governmental unit's financial statements or a determination of the type of auditor's opinion that may be expressed on those statements, our professional standards require the consulting accountant to check with us to determine that the consultant has all the relevant facts. To our knowledge, there were no such consultations with other accountants. Other Audit Findings or Issues We generally discuss a variety of matters, including the application of accounting principles and auditing standards, with management each year prior to retention as the governmental unit's auditors. However, these discussions occurred in the normal course of our professional relationship and our responses were not a condition to our retention. Other Matters With respect to the supplementary information accompanying the financial statements, we made certain inquiries of management and evaluated the form, content, and methods of preparing the information to determine that the information complies with accounting principles generally accepted in the United States of America, the method of preparing it has not changed from the prior period, and the information is appropriate and complete in relation to our audit of the financial statements. We compared and reconciled the supplementary information to the underlying accounting records used to prepare the financial statements or to the financial statements themselves. This information is intended solely for the use of the City Council and management of the City of Rancho Palos Verdes and is not intended to be, and should not be, used by anyone other than these specified parties. V~c ~I~',\ L-0.,L~! Rancho Cucamonga, California February 17, 2014 2 E-12 CITY OF RANCHO PALOS VERDES Schedule of Corrected Misstatements For the Fiscal Year Ended June 30, 2013 Number Fund <I> General Fund General Fund Account/Descri tion Dr. Other Receivables Cr. Other Revenue Income Statement Dr. Cr. $ 563,554 To record refund due from CalJPIAfor risk management activities as of June 30, 2013 <2> <3> <4> <5> Government-wide Statements Dr. Other Revenues $ 5,315,802 Government-wide Statements Cr. Extraordinary Loss $ 5,315,802 To record the reduction in value of the loan between the City and the former RDA as of June 30, 2013 Water Quality Flood Protection Fund Water Quality Flood Protection Fund Dr. Deferred Revenue Cr. Other Revenue To record grant revenue on the accrual basis as of June 30, 2013 City 'Low-Moderate Income Housing City Affordable Housing In-Lieu Dr. Deferred Revenue Dr. Deferred Revenue City Low-Moderate Income Housing Dr. Fund Balance City Low-Moderate Income Housing Cr. Note Receivable City Affordable Housing In-Lieu Cr. Note Receivable To record note receivables on the modified accrual basis as of June 30, 2013 Government-wide Statements Dr. Investment Income Government-wide Statements Cr. Unearned Revenue To record unearned revenue on the government-wide statements as of June 30, 2013 3 $ 2,029,816 $ 100,190 Attachment B Balance Sheet Dr. Cr. $ 563,554 $ 2,029,816 $ 2,626,898 $ 1,385, 165 $ 2,990,000 $ 5,616,898 $ 1,385,165 $ 100,190 E-13