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RPVCCA_SR_2010_11_04_10_Pension_Revision_ReportMEMORANDUM TO: FROM: DATE: SUBJECT: CITY COUNCIL MEMBERS STEVE WOLOWICZ NOVEMBER 4,2010 PENSION REVISION RECOMMENDATION (1)Select and retain a retirement plan consulting firm to assist in the design of an alternative defined contribution retirement program similar to a standard 401 (k)plan and cost-saving suggestions to modify the current defined benefit plan. (2)Appoint a two-member subcommittee to (a)work with City Staff in the selection of the consulting firm.(b)Work with the consultant in the analysis and recommendation of the new retirement plan,and (c)By January 31,2011 based on that analysis submit a recommendation for the new pension plan to the City Council (3) Based on the information provided by the consultant and subcommittee The City Council will deliberate and select a new retirement plan for all new employees hired after July 1,2011. It is important to note that no part of this recommendation is to change any part of the current plan for existing employees. BACKGROUND Over the last decade the City's annual costs for the existing defined benefit retirement plan has dramatically increased.For the fiscal year ended June 30,2010 the base cost was $814,205 which excludes an additional $1,661,376 paid to the "side-fund liability."The annual cost alone is $679,204 or 504%higher than the expense amount recorded during the fiscal year ended June 30,2000.(See comparative costs on Exhibit A and Financial Statement Pension footnote on Exhibit B). Our City's problem with the increasing retirement costs is similar to most all governmental entities sponsoring defined benefit retirement plans.These significant increases are 10-1 primarily not due to increases in the number of participating personnel,but rather in the underlying nature of the defined benefit plans.As described in the CalPERS Member booklet "Three factors are used to calculate your service retirement:Service Credit,Benefit Factor,and Final Compensation."The service credit is earned for each year of partial year worked for the sponsoring employer (in our case as a participating CalPERS entity).The Benefit Factor is the percentage of pay to which employees are entitled for each year of service.That percentage is determined by age of the employee at retirement,which was contracted by the City.This formula is commonly quoted in terms of a percent and number. For our City that formula is stated 2.5%(at)55 years of age. The funding policy is described in the Notes of Financial Statements in the annual CAFR (Exhibit B).As with all defined benefit (DB)plans,the City's contributions decline when investment returns rise and increase when investment returns decline. As explained by the Governor's Special Advisor for Jobs and Economic Growth,David Crane:"When promises for deferred compensation such as pensions and retiree health care are made to employees,sufficient monies are suppose to be set aside at the same time and invested in order to grow large enough to meet the promises.The amount of money to be set aside is a function of how successfully that set-aside money is expected to be invested.The greater the assumed investment return,the lower the set-aside when the promise is made,and vice-versa.If those assumed investment earnings arise,all's well. But if not,money must be added in the future to meet the promise ...At some point such promises come due and that's when their costs are revealed ...By assuming unattainable investment returns,the state has been making promises but underfunding them,assuring massive demands on future general funds."The City has been exposed to the same problem resulting in the skyrocketing costs during the last decade. However,the over-assumption of investment returns during periods of slow growth is not the only reason why the City's pension costs are now so high and disproportionate to covered payroll. The rising and disproportionate costs related to DB plans were recognized in the private sector beginning in the late 1980's.The trend away from defined benefit programs began at that time and has continued to today.The rapidly increasing annual costs and the growth of unfunded vested benefits are the primary reasons for changing from DB plans.By the late 1990's,there were virtually no defined benefit plans used by most small and mid-sized businesses.In 1987 even the Federal Government introduced a defined contribution (DC)- type plan which depends in great part on employee contributions. Defined benefit plans remain in place only in very large public companies and governmental entities which have a strong union presence. Ultimately the amounts of those ultra-large unfunded liabilities were cited as a major factor in the financial failures of large business entities including various airlines and General Motors.The failures of several significant governmental entities are similarly attributed to the runaway costs combined with off-balance sheet unfunded liabilities. 10-2 A related administrative issue surfaced several years ago when CalPERS announced their decision to discontinue disclosure of the City's specific amount of the unfunded vested benefits.That along with other unilateral actions by CaIPERS,has reminded us of periodic difficulties in dealing with such a large entity as a service provider. During the decade or so after the City adopted the DB plan,the costs were relatively nominal due to the investment rate assumptions included in the plan.However,as costs increased staff responded to council concerns by stating thatthe rising costs were merely the "balancing"of the favorable investment rates that were assumed during those earlier periods.However,the continual acceleration of costs has long offset any of the assumed benefits in the earlier years. When pension reform was initially proposed in 2004,those Council members opposed to changes cited a number of arguments.These included assertions that any decrease in benefits or decrease in City contributions would expose the City to organization by unions, exposure to increased staff turnover and difficulty in hiring future employees.Further many City Staff joined them in the argument that the superior retirement benefits were need to offset the wage differentials compared with private industry.During the last half-dozen years the condition of our economy,the continuing 12.5%unemployment in California,and uncertainty of long-term stability in the private sector render those prior arguments moot or subject them to revaluation in light ofthe increased pension costs during the same period. CURRENT REFORM TRENDS A "two-tier"system Each week we are learning of new pension reform proposals.Virtually all of the new plans are specifically designed for new employees who are not now covered by the existing defined benefit plan.This is commonly referred as creating a "two-tiered"plan.When first proposed to RPV in 2004,most existing City staff and the majority of the voting council members stated such a two-tiered plan would create an unequal benefit structure. However,as we have seen during the last year,this concept has been accepted by very large employee unions dealing with the State and Orange County.They too recognize that pension reform must be started at some time and this is proving to be an appropriate time and manner to initiate the process.The newly approved two-tier State plans include the California Highway Patrol. Talks or action to reduce pension costs,including the adoption of two-tier systems are also underway in local government agencies.For example,the City of South San Francisco has adopted a two-tier plan.The City of Ventura has approved a two-tier plan,subject to negotiation of the details with employees.At least eight California cities and one County have pension measures on this month's ballot.Proposals in Bakersfield and Menlo Park would create two-tier systems with lower benefit formulas. Action by the State of California 10-3 On October 20th the Governor signed SB 867 and SBX 622 which implements some major pension objectives.There were three major objectives reforms included in this action:(1) Rolls back expansion of pension benefits in 1999 under SB 400 will be rolled back for new employees.(s)Ended pension spiking by requiring employee retirement rates to be based on the highest consecutive three year average salary as opposed to the single highest year.(3)Increases transparency by requiring CalPERS to notify the Governor and others any time it adopts contribution rates.Also the Governor negotiated pension reforms with seven significant state employee unions resulted in retaining the basic structure of the existing defined benefit programs but significantly reducing the percentage benefits and extending various retirement ages. During conversation with the Governor's principal advisor on these pension reforms,David Crane,he recommended that the recently passed plan in Orange County should be considered as an improvement over the state negotiated changes. Action by Orange County Adopted in May 2010 by Orange County,their new plan has been recognized as being innovative in dealing with the powerful Orange County Employee Association (Union).This is a hybrid defined benefit/defined contribution retirement plan (see article on Exhibit C and their Agenda Staff Report Exhibit D),which required special legislation approved by the State Legislature. It is very important to note that the plan adopted by Orange County required state legislation.The format of this plan is not available to cities -however the innovative hybrid plan and underlying assumptions could be modified and considered by cities. I spoke with the two Orange county Supervisors most responsible for these changes, Supervisor Bill Campbell,and supervisor John Moorlach (who is also a CPA)along with the county's Director of Human resources Carl Crown. It was surprising to learn from the two supervisors that while they were pleased with the plan which their County had adopted given our City's circumstances they recommended that we pursue a defined contribution-type program similar to a 401 (k)plan. Actions by Cities While there is a great deal of change discussed by cities,the changes thus far adopted by cities has been to modify now existing defined benefit plans through lowering benefit formulas and extending retirement ages for new employees. CONCLUSION Again,there is to be no change to the existing defined benefit plan for current employees. Given our City's increased pension costs during the last decade we should retain pension 10-4 consultants to help us design a DC plan similar to a 401 (k)pension plan to be adopted only for new employees beginning July 1,2011. AL TERNATIVES Retain pension consultants to help modify the existing defined benefit program in a manner similar to those modifications adopted by other cities and even consider some of the hybrid features adopted by Orange County. Make no change. 10-5 RANCHO PALOS VERDES PENSION COSTS Exhibit A Add'!.side I PensionIPaidtoside-fund Change I Change Covered cost %of Fiscal year Base cost fund liability payment Pension cost Amount percent Payroll Payroll 2009-10 $814,205 $180,000 $1,481,376 $2,475,581 $967,277 64%$4,630,020 53% 2008-09 $808,304 $700,000 $1,508,304 $761,121 102%$4,650,530 32% 2007-08 $747,183 $747,183 $115,963 18%$4,239,406 18% 2006-07 $631,220 $631,220 $40,629 7%$3,490,159 180/; 2005-06 $590,591 $590,591 $179,179 44%$3,621,822 16% 2004-05 $411,412 $411,412 $143,728 54%$3,663,957 11% 2003-04 $267,684 $267,684 $100,261 60%$3,242,093 80/; 2002-03 $167,423 $167,423 $2~,640 16%$2,904,427 6% 2001-02 $144,783 $144,783 $11,323 8%$2,455,956 6% 2000-01 $133,460 --$133,460 I $(1,541)-1%$2,086,935 6%----_. 135,0011999-00 $135,001 $$2,102,848 1998·99 $ .- 2,064,127 -.._---~- na ----Totals $1,481,376 i $last 10-years $4,716,265 $880,000 7,077,641 $34,985,305 20% H;IMy OocumenlslRPV City Councll\penslon IssueslPayroll,pension,health Insurance.xls 1111120103:23 PM 10-6 I EXHIBIT B CITY OF RANCHO PALOS VERDES NOTES TO FINANCIAL STATEMENTS JUNE 30,2009 NOTE #7 -PENSION PLAN Plan Description The City provides a defined benefit pension plan that,includes retirement and disability benefits,annual cost-of-Iiving adjustments,and death benefits to plan members and beneficiaries.The City participates in the Miscellaneous 2.5%at 55 Risk Pool of the California Public Employee's Retirement System (CaIPERS), a cost-sharing,multi-employer public employee defined benefit pension plan administered by CaIPERS.CalPERS provides retirement and disability benefits, annual cost-of-Iiving adjustments,and death benefits to plan members and beneficiaries.State statutes,within the Public Employees'Retirement Law, establish benefit provisions and other requirements.The City selects optional benefit provisions from the benefit menu by contract with CalPERS and adopts those benefits through local ordinance.Copies of the CalPERS annual financial report may be obtained from the CalPERS Executive Office at 400 P Street, Sacramento,California 95814 or downloaded from their website at www.calpers.gov. Funding Policy ,..-' The contribution requirements of plan members are established by State statute and the employer contribution rate is established and amended by CaIPERS. Active City employees are required to contribute 8%of their annual covered salary.The City pays 6.5%of the contribution for all the full-time positions,and 1%of the'contribution for part-time employees.The City is required to contribute the actuarially determined remaining amounts necessary to fund the benefits for its members.The FY08-09 rate was 15.275%of covered payroll.The City's contributions to CalPERS for the years ending June 30,2009,2008 and 2007 ,were $1,508,304,$747,183 and $631,220,respectively,and were equal to the reqUired contribution for each year. As a result of having less than 100 active members as of June 30,2003,the City was reqUired to participate in a risk pool.The City's pooled employer contribution rate is the same as the stand-alone employer contribution rate.At the time of joining the mandatory pooled plan,CalPERS established an employer side fund to account for the difference between the funded status of the pooled plan and the funded status of the City's plan.The amortization of the side fund is included in the determination of the City's annual required contribution. The funded status of the pooled plan may be obtained from CaIPERS. _,See independent auditors'report. 59 10-7 Exhibit C Reprinted with permission Irorn- .\ Pension Funds Orange County offers a combo plan to new union employees less.In addition.they mllst work until age 65 to get tbeir Cull benefit payment.Those sticking WiUl the originnl DB-only approach milY retire with full benefits at 55. Benefit to county MI'.Campbell said that change also benefits the county because "the COWlty can retain employees 10 years longer <md thereby reduce costs associated with training and recmitment." Costs could be reduced further II existing employees are given the same cllOlces that new employees get,something both the county-and.the union support,So fur;howev- er.that move has been blocked by the Internal Reve!)ue Service, "Mandatory employee contdbutions to public employee retirement plans are ·con- sidered 'picked up'employer contributions for federal income tax purposes:said MJ." Campbell."The employee is not taxed when the contributions are made but is taxed on the benefits whell (they)al'e received: The ms is questioning if allo\ving CUl1'ent employees a one-time chance to s\vitah to the new plan "wUI cause their contributions to lOse tlleir pre-tali:status and whether this ·Ioss·will apply to all ...current employees ... induding those who do not elect the lower formula:he said. Mr.Campbell said U,e county has been discussing this issue \vith Ule ms since September 2009.He hopes for a ruling later this yeal·. The new shllcture reflects employees' evolving attitudes about work and retire- ment,Ms.Major said."If I'm 25.I don't Irnow if l'U be working·in Ihe same place llUtil I'm 55:she said."People move around a lot more.A defined benefit plan Is the most reli- able (retirement investment),but some peo- ple want more control over their money" U,rougl1 a defined contrihution plan._ plans with a clefined contribution component "present lower.long- term liabilities for the employer." The problem,.howevel:is usage. Mr.Brainard said he believes most new employees select u'l1di- tional DB plans over other types. The new plan Ls unique to California.and requir.ed passage William Campbell of a state law last year to author- I7.C it.The county and the union agreed to the plan in June 2009;enrollment began last month. Neither Mr.Cmi1pbeLl nor Lisa Major, assistant general manager for the union, could recall WllO made the first move toward proposing tbe new approach wben urAon and county negotia~rs starting discussil).g a new contract in the spring of 2009. "It seemed like we came to it at about the same time:Ms.Major said said. "It was both of us:said MI'.Campbell."We wanted to recJuce the (DB)plan for new employees.The llnion wanted to give new employees a choice." The defined contribution pOl1ion was developed -and \vill be administered -by TIAA-CREF;NewYol'k. The DC component "works in tandem \vith,raUler than sUPI,lements"the defined benefit plan.said Ridlard HIller.vice presl- dellt for gO\'Clllment and religiou.~markets at Tl':AA-CREF."The overall pension plan is structured to help employees replace 70%or more.(jf their income in retirement.The DB (formula)doesn't accompUsh that 011 ils own. so Ule DC plan is layered on to help achieve the necessmy income in retirement," The standard employer match is 50%on up to 2')(,of Ule employee's conlrlbutiOll.In the plan's first year of operation.howevec the malch Is 100%on up to 2%of the employ- ee contribution.On the defined benefit side, those.choosing to enroll in tlie DC plan Will make a smaller contribution to the DB plan. In exchange.the benefit payment \vill be By Robel't Steyer Orange County.Calif.,has .adopted a novel retirement plan inwhich new union employ- ees cun choose between participating only in the $4.7 billion defined benefit plun,or par- ticipating in both the DB and a new defined contribution plan. Those choosing the combination pay a lower contribution to the defined benefit plan,but also get reduced benefits.On tIle DC side.they get a small employer matc1L AlUlOUgl1 some stale govemment plan sponsors and a few municipal ones offer defined contribution .pJans.Orange County's version -where all new employees partici- pate in the defined benefit pian -is rare. More common approaches include dosing the DB plan to·new employees und allowing them to participate only in a DC plan,or giv- ing them a choice between a defined benefit or a defined \.'Olltribution plan. An analysis last year by the Center for Retirement Research at BOStOl1 College found that 18 of 126 mostly state plans stud- ied had some form of DC component for new employees,said Jean-Pierre Aubry.a resem'd1 associate at the center. In Orange County.the Orange County Employees Retirement System,Santa Ana. administers tbe plan,but the ne\v approach \VdS developed by·cxecutives of the union - the Orange County Employees Ass.ociation -and management. Offidllls from both sides say the new design will reduce the county's defined ben- efit plan ell."'Penses. William Campbell,vice chairman of the Orange County Board of Supervisors in Santa Ana,said an actuary hired by the COWlty caLC\llated the new plan coulel cut annual costs by about 2%over time,assum- ing half of the new employees choose the combination of a DB und 11 DC plan. Keith Brainard.research director for the National Association of Stale Retirement Administrators.Baton Rouge.La ..noted that Th~l'l1blisher"s snle of lhis l""'lilll do~s liD!.cOlL.linne Of illlpl)'nn)'cndorsclll~lllor sllOlIsurshi)lof nn)'prodUCI.SC\'\'kc ur organi1.nliull. C:1~lin CUIlIJllIlIli.'illinns 7:~2.i:l:t1)56U.DO NOT lmrr ott AI:mR IHiPIUJ\-rS.RI(I'IWI)UCI10l'S ARI~NOT I'I~RMrnlm.i':illiH .r.:.Emirc GnlllclllS copyrighl II)'Cmin ClIlllllllllli."liuIlS Inc.Allligills rc'~I'\·cd. 10-8 EXHIBIT D •Page 1 Steve Wolowicz From: Sent: To: Cc: SUbject: Attachments: Steve Crown,Carl [carl.crown@ocgov.com] Thursday,August 12,20109:23 AM Stevew@rpv.com Johnson,Michael [03] 1.62%@ 65 formula 1.62 ASR.doc Attached is the item that went to the Board to adopt the new retirement formula.It is a good description of the plan and issues surrounding the tax implications for current employees.Let me know if you need anything else and,as discussed,I would be happy to meet with you to discuss further.. Carl Crown Human Resources Director County of Orange,Ca. (714)834-2836 «1.62 ASR.doc» 1 10-9 EXHIBIT D -Page 2 Agenda Item AGENDA STAFF REPORT ASR Control 10-000296 MEETING DATE: LEGAL ENTITY TAKING ACTION: BOARD OF SUPERVISORS DISTRICT(S): SUBMITTING AGENCYIDEPARTMENT: DEPARTMENT CONTACT PERSON(S): 04/20/10 Board of Supervisors All Districts Human Resources Department (Approved) Robert J.Franz (714)834-4304 Carl H.Crown (714)834-2836 SUBJECT:Approve Resolution for "1.62%at 65"Retirement Formula CEO CONCUR Concur Budgeted:N/A COUNTY COUNSEL REVIEW Approved Agreement(s)and Resolution(s) Current Year Cost:N/A CLERK OF THE BOARD Discussion 3 Votes Board Majority Annual Cost:N/A Staffing Impact:No #of Positions: Current Fiscal Year Revenue:N/A Funding Source:N/A Prior Board Action:N/A RECOMMENDED ACTION(S): Sole Source:N/A 1.Approve and adopt the resolution implementing the"1.62%at 65"retirement formula as detailed in Exhibit A. 2.Approve and adopt Side Letter Agreements between the County and applicable labor groups implementing the retirement formula election as to new employees,as detailed in Exhibits B,C andD. 3.Approve and adopt the Amendment to the Personnel and Salary Resolution,adopting the election of the 111.62%at 65 11 retirement formula for unrepresented employees,as detailed in Exhibit E. SUMMARY: In an effort to address increasing pension costs,the County initiated steps towards implementing a new lower retirement formula n 1.62%at 65 11 combined with a Defmed Contribution Plan.The implementation ofthe proposed retirement program required legislation to be approved through the State legislative process.On October 11,2009,Senate Bill 752 was approved,which permits in Orange County,the board of supervisors,or the governing body of a district within the county,by resolution adopted by majority vote,to require certain employees to make a written election between two specified retirement formulas. Page 1 10-10 EXHIBIT 0 -Page 3 The lower formula,combined with the Defined Contribution Plan will result in a significantly lower cost to the County and to the employees than the current 2.7%at 55 retirement formula.Approval and adoption of the Resolution before your honorable Board today will allow the County to implement the new "1.62%at 65"retirement formula. MOUs with the Orange County Employees Association (OCEA),Association of Orange County Workers (AOCW)and the International Union of Operating Engineers (JUOE)currently contemplate offering to both current and new employees the election between the two retirement formulas.Issues have arisen with respect to the possible tax impact of implementing the retirement formula election for current employees.Until these issues are resolved,we believe it is best to proceed with implementing the election for new employees only.We have entered into Side Letter Agreements with each of these collective bargaining associations whereby they acknowledge and agree with implementing only for new employees and postponing the election for current employees. The attached amendment to the Personnel and Salary Resolution extends the election ofthe new retirement formula to unrepresented new employees,which includes Elected Officials,Executive Management and Executive Aides and Executive Assistants of elected officials,and is included in Exhibit E. Discussions are underway with the Orange County Managers Association (OCMA)and Orange County Attorneys Association (OCAA)regarding the implementation ofthe election of the "1.62%at 65" retirement formula for new employees,under the terms of the respective contract extension agreements. We anticipate that we will return to your Board in the near future with implementation agreements for OCMA and OCAA upon completion of those discussions. BACKGROUND INFORMATION: In an effort to address increasing pension costs,the County initiated steps towards implementing a new lower retirement formula 111.62%at 65 11 combined with a'Defined Contribution Plan for non-safety employees.The lower formula,combined with the Defined Contribution Plan will result in a significantly lower cost to the County and to the employees than the current 2.7%at 55 retirement formula.The implementation of the proposed retirement program required legislation to be approved through the State legislative process,which was approved on October 11,2009. The bill requires an employee who elects the lesser of the two specified retirement formulas be eligible to receive a contribution to a defined contribution program from the County based on the employee's contribution to a defined contribution program. Employees who elect the new,lower retirement formula will be eligible to participate in a Defined Contribution Plan in which the County will provide a one-hundred percent (100%)match ofthe employee's contributions during the first year of the plan up to two percent (2%)of the employee's salary, and in subsequent plan years will provide a fifty percent (50%)match of the employee's contributions up to two percent (2%). An issue has arisen regarding the possible tax impact of offering the retirement formula election to current employees.The Internal Revenue Service (IRS)has indicated that doing so would result in the employee contribution paid by the Current employees offered the election to no longer be excludable from gross income.We are pursuing this issue withthe IRS.Until this tax issue is resolved,we recommend Page 2 j 10-11 ': EXHIBIT D·Page 4 proceeding with the implementation ofthe election for new employees only.Memoranda of Understanding with OCEA,AOCW and lUOE are currently contemplating offering to both current and new employees the election between the two retirement formulas.Attached are Side Letter Agreements with each ofthese labor associations whereby they acknowledge and agree with implementing only for new employees and postponing the election for current employees.When the tax.issues are resolved,we will return to your Board with a Resolution adopting the election of the new Tier III 1.62%at 65 formula for the current employees. The Human Resources Department,the County Executive Office,the Auditor-Controller,OCERS staff, OCEA and other labor representatives have worked together on implementation efforts,including system modifications,employee communications,pre-employment seminars,website information and updated forms so new employees will be properly informed of the requirement to elect their retirement benefit formula.Additionally,tracking and reporting mechanisms will be available for use by departments to assist in following up with any new employees who have not made an election before the 45 days provided for has expired. Government Code Section 7507 requires that the County engage an actuary to provide a statement ofthe actuarial impact upon future annual costs,including normal cost and any additional accrued liability,of any changes in retirement benefits or other postemployment benefits prior to the Board of Supervisors authorizing such changes.The required report is attached hereto as Exhibit F.Section 7507 requires that the actuary's report be made public at a public meeting at least two weeks prior to the adoption of any changes in public retirement plan benefits or other postemployment benefits.The report was made public at the meeting of the Board of Supervisors held on December 15,2009.Finally,Section 7507 requires, with respect to any such changes,that the County Executive Officer (CEO),acknowledge in writing that he or she understands the current and future cost of the benefit as determined by the actuary.That acknowledgement is attached hereto as Exhibit G. FINANCIAL IMPACT: There is ~o immediate financial impact;potential future savings from implementing of the new pension program. STAFFING IMPACT: No REVIEWING AGENCIES: County Counsel EXIllBIT(S): Exhibit A -Resolution Adopting Election and "1.62%at 65"Retirement Formula Exhibit B -Side Letter Agreement with OCEA Exhibit C -Side Letter Agreement with AOCW Exhibit D -Side Letter Agreement with lUOE Exhibit E -Amendment to Personnel and Salary Resolution Page 3 10-12 )1 .j EXHIBIT D •Page 5 Exli1ibit F-Bartel Actuarial Statement of Cost Impact of the "1.62%at 65"Retirement Change dated December I,2009 Exhibit G •Acknowledgement Pursuant to Government Code Section 7507 Page 4 10-13