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HomeMy WebLinkAboutSECTION 4-FINANCIAL PLAN 2003 Final Budaet Financial Plan SECTION IV: FINANCIAL PLAN Introduction A budget is a plan that develops and allocates the City's financial resources to meet community needs in both the present and future. The development and allocation of these resources is accomplished on the basis of the foregoing policies, goals and objectives addressing the requirements and needs of the City of Auburn. While the other sections of this document will present the budget in detail, this section provides an overview of the budget as a Financial Plan. As such, this section will particularly focus on the City's strategies to maintain its financial strength and the basis for the expectation for future revenues. Since any financial plan has a structure, this section also describes the financial structure of the City as a full service City. An important part of a financial plan is the City's Capital Improvement Program. While the City of Auburn's Capital Facilities Plan is discussed in some detail in a separate section, this section does discuss the City's debt capacity. This section describes the fund structure of the City, analyzes the 2003 revenues and expenditures, Citywide, and explains the revenue sources and trends for the different fund types of the City. A six-year forecast and analysis of General Fund revenue, expenditure, and fund balance is presented along with the current debt capacity. This section concludes with an analysis of working capital balances in the City's proprietary funds. Financial Structure Auburn's accounting and budget structure is based upon Governmental Fund Accounting to ensure legal compliance and financial management for various restricted revenues and program expenditures. Fund Accounting segregates certain functions and activities in to separate self-balancing 'funds' created and maintained for specific purposes, (as described below). Resources from one fund used to offset expenditures in a different fund are budgeted as either a 'transfer to' or 'transfer from'. The following describes the types of funds used as part of the City's accounting and budget structure: Governmental Fund Types: This group of funds accounts for the activities of the City, which are of a governmental character. These funds are budgeted on the modified accrual basis of accounting. Briefly, this means that obligations of the City are budgeted as expenditures and revenues are recognized when they are susceptible to accrual; i.e., both measurable and available within the current period or soon enough thereafter to pay current liabilities. . General Fund - is the general operating fund of the City. The General Fund exists to account for the resources devoted to finance the services traditionally associated with local government. Included in these services are police and fire protection, parks and recreation, planning and economic development, general administration of the City, and any other activity for which a special fund has not been created. . Special Revenue Funds - are used to account for the proceeds of specific revenue sources that are legally restricted to expenditures for specified purposes. Examples of restricted revenues that must be spent on specific purposes are Gas Tax revenues, federal and state grants for transportation, Community Development Block Grants, Page 49 2003 Final Budaet Financial Plan forfeited drug funds, Business Improvement Assessments, recreation trails, hotel/motel tax and mitigation fees. · Debt Service Funds - are used to account for the accumulation of resources for, and the payment of, general long-term debt principal and interest not serviced by the enterprise funds. These funds do not include contractual obligations accounted for in the individual funds. · Capital Project Funds - are used to account for the financial resources to be used for the acquisition or construction of major capital facilities, except those financed by enterprise funds. · Permanent Funds - are a new classification of fund type per the new GASB 34 reporting structure. These funds report resources that are legally restricted to the extent that only earnings, and not principal, may be used for purposes that support the programs. The City has one permanent fund, Cemetery Endowed Care. Proprietary Fund: These funds account for the activities of the City that are of a proprietary or "business" type in nature. These funds are budgeted on an accrual basis. Under the accrual basis, revenues are recognized when earned and expenses are recorded when incurred. · Enterprise Funds - are used to account for operations, including debt service, which are financed and operated similar to private businesses where the intent is that costs of services are entirely or predominantly supported by user charges. The City maintains Seven Enterprise funds to account for Water, Sewer, Storm, Solid Waste, Airport, Cemetery and Golf Course operations. · Internal Service Funds - are used to account for the financing, on a cost reimbursement basis, of commodities or services provided by one department for the benefit of other departments within the City. The City maintains two Internal Services funds to account for fleet management and self-insurance activities. Fiduciary Funds: These funds are used to report assets held in a trustee or agency capacity for others and therefore cannot be used to support the City's own programs. These include pension trust, investment trust, private-purpose trust, and agency funds. The City's pension trust fund is the Fire Relief and Pension Fund and is budgeted on the accrual basis of accounting where revenues are recognized when earned and expenses are recorded when incurred. The City's agency fund is custodial in nature and is not budgeted. The City does not have any investment trust funds or private purpose trust funds. Page 50 2003 Final Budaet Financial Plan Summary of Financial Structure Mayor & Council Mayor Budgets Mayor & Council Expenses Human Resources Human Resources Budgets general government employment, safety Director Finance Finance Director Budgets general government finance and admin City Attorney City Attorney Budgets general government legal costs Planning Planning Director Budgets planning, social service, building permits, and City building maintenance costs Police Police Chief Budgets direct police costs Fire Fire Chief Budgets direct fire and EMS costs Public Works Public Works Director Budgets general government engineering costs Parks & Rec. Parks Director Budgets park maintenance, senior programs, arts and recreation programs Street Public Works Director Budgets street maintenance costs and street const. Funded by general taxes Non-Departmental Finance Director Budgets fund transfers, fund balance and one time 101 City Street Public Works Director Gas tax maintenance; transferred to General Fund 102 Arterial Street Public Works Director Gas tax for Arterial St., including grants 104 Hotel Motel Tax Finance Director Lodging tax for promotion of tourism 117 Drug Forfeiture Fund Police Chief Forfeited drug money for drug enforcement 118 Local Law Enf. Blk. Grnt Finance Director Police Overtime 119 CDBG Planning Director Budgets Community Development Block Grants 120 Rec. Trails Parks Director Dedicated funds for recreational trails 121 BIA Planning Director Budgets rev and exp of downtown area 122 Cumulative Res Finance Director Governmental Reserves 123 1986 Prks & Strt Impr Finance Director Tax for Park & Street Improvement 124 Mitigation/Impact Finance Director Collects Mitigation/Impact Fees 125 Parks Finance Director To account for donations and related Finance Director To pay principal and interest on 1998 bonds. Finance Director Reserves for security of LIDs Parks Director Misc. revenues specifically for parks Finance Director Funds capital improvements 430 Water Public Works Director Operating fund for water utility 431 Sewer Public Works Director Operating fund for sewer utility 432 Storm Drainage Public Works Director Operating fund for storm water utility 434 Solid Waste Public Works Director Operating fund for solid waste utility 435 Airport Planning Director Operating fund for City airport 436 Cemetery Parks Director Operating fund for City cemetery 437 Golf Course Parks Director fund for course 501 Insurance Finance Director Self -insurance reserves 550 Rental Public Works Director fund for rental 611 Fire Pensions Finance Director Pension fund for old retirement 701 Cemetery Endw Finance Director Long-term reserves for cemetery operation Page 51 2003 Final Budaet Financial Plan Analysis of 2003 Revenues by Source for All Funds The opposite page presents an analysis of total new revenues (excluding fund balances and revenue received during previous years) that are anticipated to be available to support City programs during 2003. The table also details the revenue by fund. The revenues received by the City are derived from a diverse range of sources, and the types of revenues received by each fund vary significantly. The largest source of revenue to the City is taxes and represents 40% of all revenue. Almost all of these funds are received in the General Fund. Other tax receipts are in funds that are restricted for defined construction and infrastructure improvements. The City does not have any excess levies at this time. The next largest source of funding is service revenue, or user fees from services, at 39%. Most of this revenue consists of fees for services in the City's four utilities. Federal and State grants, along with other governmental contributions, are 10% of total revenue and fund the scheduled construction of street projects. Other revenue sources are 5% of total revenue. Almost all of this type of revenue is in the Utility Funds and consists of system development charges. Other revenue sources in the General, Street, Debt Service, ClP, and proprietary funds are interfund operating transfers. The City's interfund revenue is primarily payments to the Insurance and Equipment Rental Funds and is included in the miscellaneous category. Interest is the largest component of miscellaneous revenue. Total New Revenue: 2003 other Sources 5% Misc 5% Lic Pmt 1% Fines 1 % Page 52 2003 Final Budaet Financial Plan 2003 Revenues by Source for all Funds (Thousands of Dollars) Lic. & Inter- Other Total % # Fund Taxes Permits gov't Services Fines Misc Sources Revenue Share 001 General $ 31,082 $ 914 $ 1,425 $ 1,597 $ 653 $ 680 $ 997 $ 37,348 46.41% 101 street 639 200 839 1.04% 102 Arterial street 4,595 20 592 5,207 6.47% 104 Hotel Motel Tax 45 45 0.06% 11 7 Drug Forfeiture 11 11 0.01% 118 Low Enf. Block Grant 1 5 6 0.01% 119 HCDA 483 483 0.60% 120 Recreational Trails 1 1 0.00% 121 Business Impr Area 51 2 53 0.07% 122 Cum Reserve 100 100 0.12% 123 Prks & Strt Imp 0.00% 124 Mitigation Fund 189 6 50 245 0.30% 125 Special Parks 10 10 0.01% 229 Bond Debt 304 304 0.38% 249 LID Guarantee 35 35 0.04% 321 Municipal Pk 22 1 23 0.03% 328 Capitol Impr Projects 1,600 209 300 2,109 2.62% 430 Water 6,311 85 565 6,961 8.65% 431 Sewer 9,689 130 380 10,199 12.67% 432 Storm Drain 2,815 60 300 3,175 3.95% 434 Solid Waste 8,330 40 28 8,398 10.44% 435 Airport 298 530 828 1.03% 436 Cemetery 585 3 30 618 0.77% 437 Golf Course 990 10 1,000 1.24% 501 Insurance 55 55 0.07% 550 Equipment Rental 155 1,965 15 2,135 2.65% 611 Fire Relief 45 180 225 0.28% 701 Cemetery Endow 40 15 55 0.07% TOTAL $ 32,778 $ 914 $ 7,188 $ 31,041 $ 653 $ 4,128 $ 3,7 66 $ 80,468 100.00% Page 53 2003 Final Budaet Financial Plan Analysis of 2003 Budgeted Expenditures by Fund and Type The page opposite presents an analysis of the budgeted expenditures of the City by fund and type. The largest expenditure categories in the 2003 budget are Salaries and Benefits at $36.5 million or 40.0%. Approximately 79 .0% of these costs are in the General Fund, while 21.0% are in other funds. $14.0 million is allocated for capital improvement and projects. Most of the projects planned are in the Arterial Street Fund. The Capital projects fund is funding $1.4 million in new apparatus for the Fire Department and the second of three $700,000 payments to Sound Transit for the new parking garage and retail space. The balance of capital expenditures is primarily in the utility funds. This category fluctuates from year to year and is dependent on available funding from grants, loans, one-time revenues, and service fees. Supplies and other services make up approximately 27% of the budget. A contractual service for the disposal of solid waste is the largest service charge for the City. The largest single such intergovernmental charge is the contractual cost for sewerage to Metro, who provides sewage treatment for Auburn and much of the region. In 2003, the cost of the sewerage treatment is not expected to increase except for additional costs due to new customers coming on line. Metro had a large rate increase in 2002, which will sustain the system for the next couple of years. Debt service accounts for 2.9% of budgeted expenditures. Most debt service is in the City's utilities, primarily to retire recently issued bonds and loans to finance projects identified in the City's Comprehensive Water and Storm Drainage Plans. Expenditures by Object: 2003 All Funds Interest 1.0% Intergovn 12.2% Prin 1.9% Supplies 3.0% Interfund 2.3% Page 54 2003 Final Budaet Financial Plan 2003 Expenditures by Object for all Funds (Thousands of Dollars) 10 20 30 40 50 60 70 80 90 Total % # Fund Name Salaries Benefits Supplies Services Intergov Capital Prin Int Interfd Exp Share 001 General $ 22,576 $ 6,226 $ 1,586 $ 8,530 $ 1,964 $ 1,311 $ 134 $ 117 $1,090 $ 43,534 47.8% 101 street 839 839 0.9% 102 Arterial st 221 64 50 4,864 5,199 5.7% 104 Hotel Motel Tax 70 70 0.1% 117 Drug Forfeiture 46 46 0.1% 118 Local Low Enf. 58 58 0.1% 119 CDBG 46 13 448 507 0.6% 120 Rec. Trails 0.0% 121 BIA 39 7 2 33 81 0.1% 122 Cum Reserve 0.0% 123 Parks & strt Impr. 0.0% 124 Mitigation/Impact 241 241 0.3% 125 Spec Pork 6 20 26 0.0% 229 GO Libr Bond Debt 150 154 304 0.3% 249 LID Guarantee 10 1 11 0.0% 321 Muni Constr. 0.0% 328 Capitallmpr Proj 494 645 2,363 3,502 3.8% 430 Water 1,450 430 168 2,163 17 1,309 1,092 417 345 7,391 8.1% 431 Sewer 1,026 299 43 1,010 7,106 588 165 10,237 11.2% 432 Storm Drainage 1,157 335 38 584 52 1,785 298 150 303 4,702 5.2% 434 Solid Waste 424 122 11 8,114 213 75 8,959 9.8% 435 Airport 191 56 245 185 30 88 21 816 0.9% 436 Cemetery 354 101 111 51 30 13 660 0.7% 437 Golf Course 334 94 105 252 250 10 1,045 1.1% 501 Insurance 60 8 68 0.1% 550 Equip Rental 408 119 339 438 1,094 64 2,462 2.7% 611 Fire Relief 113 129 44 286 0.3% 701 Cem Endowed 30 30 0% Total $ 28,397 $ 8,055 $ 2,700 $ 22,046 $ 11,117 $ 14,042 $ 1,704 $ 927 $ 2,086 $ 91,074 100.0% Page 55 2003 Final Budaet Financial Plan Budget Allocations by Fund The opposite page presents the budget of the City as it is allocated to the various funds. The amounts listed in the table are the total allocation to each fund or sub-category, including reserves. Consequently, the total budget exceeds the amount of money that will be spent by the City (as presented on the previous page). In the City Operations Section, two other perspectives on how the operations of the City can be viewed are presented: by its administrative structure and by the services it provides. These different views of the budget separate reserves from the actual expenditure of funds. While various budgets fluctuate for a variety of reasons, one of the main influences is that of capital projects. These projects increase expenses while they are under construction, although the construction expenses subside as the capital project is completed. However, completed projects often result in additional maintenance and operating expenses. Budget by Fund Type: 2003 Internal Service 6% Permanent Fiduciary 3% other Enterprise 2% General Fund 36% utilities 32% Construction 9% Debt Service 2% other Gov Funds 9% Page 56 2003 Final Budoet Financial Plan Budget Allocations by Fund 2000 2001 2002 2002 2003 % Actual Actual Budget Projected Budget Share General $ 49,335,584 $ 55,355,795 $ 50,714,753 $ 54,051,075 $ 50,030,080 35.7% Departments: Mayor & Council 239,290 258,280 329,800 403,200 596,147 0.4% Human Resources 1,233,647 1,420,595 2,164,900 1,890,900 2,177,940 1.6% Finance 1,225,059 1,173,708 1,971,400 1,805,500 2,698,750 1.9% City Attorney 743,026 878,373 1,036,600 1,036,600 1,085,850 0.8% Planning 1,208,108 1,240,495 1,725,000 3,304,270 3,525,296 2.5% Police 10,660,521 11,286,023 12,451,900 12,754,200 13,287,789 9.5% Fire 6,976,304 7,309,648 8,005,700 7,925,700 8,247,703 5.9% Public Works 2,898,200 3,185,137 3,700,000 2,046,320 2,619,900 1.9% Parks & Rec 3,316,109 3,404,447 4,158,100 4,299,145 4,304,600 3.1% street 1,534,649 1,501,269 1,761,800 1,867,300 2,008,300 1.4% Non-Departmental 19,300,671 23,697,820 13,409,553 16,717,940 9,477,805 6.8% City streets 611,363 635,783 639,000 624,000 839,000 0.6% Arterial street 14,115,926 18,877,247 9,612,100 11,688,445 5,740,945 4.1% Hotel Motel Tax 2,521 55,000 47,521 87,521 0.1% Drug Forfeiture 124,435 107,527 31,500 104,841 49,841 0.0% Local Low Enforcement Blk Grnt 114,350 106,497 59,149 110,981 58,386 0.0% CDBG 722,012 547,704 478,784 483,219 524,535 0.4% Recreational Trails 20,104 20,128 4,800 12,551 14,151 0.0% Business Improvement Area 188,058 174,079 156,400 157,098 125,798 0.1% Cumulative Reserve 3,940,272 4,166,351 4,340,200 4,260,351 4,360,351 3.1% Park & street Improvement 56,825 59,176 60,276 300 0.0% Mitigation Fund 430,718 1,066,816 2,281 ,300 1,316,816 1,028,816 0.7% Parks & Rec Special Projects 129,900 104,392 54,949 70,848 69,348 0.0% 1998 G.O Library Bond 363,942 370,450 367,400 310,660 307,860 0.2% LID Guarantee 2,230,632 1,797,259 1,817,600 1,817,236 1 ,841 ,236 1.3% Mun Park Const 2,196,874 2,471,752 110,400 253,058 55,500 0.0% Capitol Improvement 13,252,938 12,991,592 15,976,800 16,908,338 12,812,374 9.1% Water 12,789,495 16,868,987 10,586,826 12,827,807 10,115,090 7.2% Sewer 16,121,037 17,345,960 16,885,300 18,105,388 17,119,048 12.2% Storm Drainage 9,138,489 8,151,043 5,913,300 7,293,961 6,720,623 4.8% Solid Waste 11 ,451,1 66 12,100,069 12,151,510 11,401,395 11,651,235 8.3% Airport 2,193,608 1,247,150 2,340,168 1,052,390 970,720 0.7% Cemetery 1,017,708 970,117 1,1 00,000 935,541 896,641 0.6% Golf Course 1,220,514 1,174,738 1,216,379 1,199,754 1,243,264 0.9% Insurance 2,897,435 2,948,830 2,997,600 2,965,106 2,947,106 2.1% Equipment Rental 5,650,263 5,397,672 5,261,540 5,444,099 5,649,519 4.0% Cemetery Endowed 1,156,179 1,185,832 1,265,179 1,235,532 1,243,832 0.9% Fire Pension 3,7 60,500 3,7 64,033 3,795,570 3,856,870 3,795,570 2.7% Total All Funds $ 155,230,327 $ 170,009,500 $ 150,213,507 $ 158,595,157 $ 140,298,690 100% Expenditure figures include fund balances. Page 57 2003 Final Budoet Financial Plan Revenue Analysis General Fund: The City's General Fund receives a wide variety of revenue. This section of the budget will discuss the key factors that affect revenue for the next year. Tax Revenue Current estimates indicate that the City will receive approximately $30.2 million in tax revenue during 2002. This is 8.0% below the $32.8 million received in 2001. Revenues from taxes are anticipated to increase in 2003 to an estimated $31 million. The decline in growth from the previous years has been due to decreases in sales tax revenue, initiative limits on property tax levies, and utility tax revenue from energy use. It is now expected that economic growth will remain stagnant through 2002 and most of 2003. Low interest rates have sustained the housing market in the region. New construction is ongoing, but not at the pace experienced in the late 90's. The terrorist attack on September 1Ph and the economic slowdown have had a significant financial impact on General Fund revenue. Revenues were revised downward for 2002 at midyear. If the economy remains consistent with 2002, General Fund revenue may not need to be revised downward in 2003. Property Taxes: Over the past several years' voters of the State of Washington have changed the property tax levying process through referenda and initiatives. Referendum 47, passed in 1997, changed the 106% limit to the lesser of six percent or inflation. There was a provision, however, that with a finding of substantial need, a majority plus one vote of the city council could raise revenue to the 106% limit. In 2001. the citizens voted on and passed Initiate 747, which limits the increase in property taxes to the lesser of 1 % or inflation. New construction, annexations and refund levies are additional. This budget allows for an increase of the regular levy at the rate of 1% and an estimated levy rate of $2.90. This legislation has significantly impacted the City as labor contracts increase at CPI and the tax authority that assists in the payment of those contracts is limited to 1 %. The 2002 assessed property values for 2003 collection are anticipated to increase approximately 4.5%. Property tax for 2003 has been budgeted at approximately 4.5% above the 2002 level in the general fund. The increase is based upon the 1 % increase on the regular levy and new construction. The 2003 levy rate is anticipated to be $.04 lower than the 2002 levy rate of $2.94 due to assessed valuations increasing at a greater rate than the dollars levied. Property taxes constitute about 32% of total budgeted revenue in 2003. Sales Tax: The City tax rate is 1 % (of which the County receives a 15% share) on all retail sales. This leaves a net rate of .0085% for the City. Sales tax receipts have fluctuated in Auburn because, historically, a large proportion of the receipts have been derived from automobile sales and new construction, two sectors that are particularly sensitive to changes in economic conditions. Sales taxes have generally been budgeted conservatively. In the recession years of 1991 and 1992, sales tax revenue was flat, contrasted with 15% annual growth between 1987 and 1990. 1993 revenues were 13% above 1992 due to a surge in automobile sales, and a one-time audit settlement with the Boeing Co. Revenues in 1994 were up by 11.4% over 1993 because of the continued strong economy and the SuperMall construction. 1995 sales tax was up 11.4% above 1994 due to significant revenues, again, from both the construction of the SuperMall and the initial opening late in 1995 of the SuperMall itself. Sales tax revenue growth decreased in 1996 and 1997 to 3.3% and 5.7% respectively because significant legislation exempting manufacturing activities from sale tax became effective in mid 1995. Exemptions for the retooling of manufacturing equipment and for research and development became effective mid 1996. These exemptions have impacted the City heavily because the City's largest employer, the Boeing Co., has a large manufacturing plant in our community. Without these exemptions, growth would have been significantly higher. 1998 and 1999 revenue growth surged 18% and 23% respectively with 2000 revenue growth Page 58 2003 Final Budoet Financial Plan slowing to a 7% increase over 1999. Analysis of the large increases in 1998 and 1999 revealed a large utility construction service center and warehouse is located in Auburn. The utility had spent the latter half of 1998, 1999 and 2000 recabling the area using supplies and equipment housed in Auburn. 2001 sales tax receipts were flat, increasing less than .5% in 2001. The impacts of the recession became evident in 2002 when sales tax revenue took a sudden decline. The interest rate decreases over the course of 2001 and 2002 have had a positive effect on sales tax, but not enough to overcome the lack of consumer confidence and climbing unemployment rate. The City expects to see no increase in sales tax revenue in 2003. Year 2003 sales tax revenue is estimated to be slightly higher than 2002 projected revenue. Declining orders for commercial airliners have impacted the Boeing Company who announced approximately 1,900 layoffs over 18 months in the Fabrication Division. Of the 12,000 workers employed in that division, 6,500 are employed at the Auburn site. Economists expected a short and shallow recession for the Puget Sound region beginning in the fourth quarter of 2001. The recession and the Boeing downturn reduced the region's employment by 1.9 percentage points in 2002. Gross Domestic Product was anticipated to accelerate rapidly in 2003. After a small increase during the first quarter of 2002, the recovery slumped and did not sustain itself. Economists in the Puget Sound region are anticipating a double dip recession with the earliest turn around late 2003. The downturn is longer and deeper than originally expected. The City will continue to remain cautious estimating sales tax growth and identifying large one-time transactions. This revenue will be closely monitored early in 2003 and may be adjusted. Sales tax remains the largest single source of General Fund revenue for the City and in 2003 will constitute 41 % of tax revenue and 34% of total budgeted revenue. Other Taxes: This category includes utility taxes, which are taxes applied to utilities providing services in the City, including City-owned and private utilities. 24% of this tax revenue is derived from electric services. Utility taxes, as a whole, have been considered to be very stable from year-to-year, not only in the amount received, but also in terms of consistent growth rates. During 1996, Federal legislation was passed deregulating the electric industry, allowing companies to seek power out of the area instead of relying on existing local providers. During 2001 tax received from electric services rose significantly. The increase was from commercial customers who did not have long-term contracts with Puget Sound Energy and were forced to pay spot prices on the open market. The subsequent decrease in electric utility taxes in late 2001 and early 2002 is attributed to declining energy costs and out of state brokering of energy by some larger industries in Auburn. In late 2002 the City Council passed an ordinance raising the utility taxes on the major four city utilities: Water, Sewer, Storm, and Solid Waste. In the Other Taxes category, an overall increase of 6.4% is anticipated for 2003. Page 59 2003 Final Budoet Financial Plan 2003 General Fund Tax Revenue $14,000,000 $12,000,000 $10,000,000 $8,000,000 $6,000,000 $4,000,000 $2,000,000 -+- Property Taxes Sales Tax -.- Other Tax $- 1998 1999 2000 2001 2002 2003 Other Revenue Licenses and Permits: License and permit activities are user fees that are derived from various regulatory activities of the City. The bulk of the revenue is derived from building permit activities. Since this activity is dependent on new construction, it can fluctuate greatly depending on the economy, interest rates and available land. One of the City's large housing developments was put on hold in early 1999. After several months of negotiation, the project was sold and building resumed at a brisk rate late in 1999 and through 2001. 2002 budgeted permit revenue will be 4% less than originally estimated. 2003 permit revenue is anticipated to be less than the 2002 budget amount but constant with actual 2002 receipts. New construction and development are anticipated to continue, but at a slower rate. Interest rates are at a 30-year low, however, the regional economy and employment outlook are guarded for the next 12 months. This revenue will require close monitoring and may have to be adjusted downward in 2003. 2003 revenue is estimated to be approximately the same as 2002 actual. Licenses and permits constitute 2.5% of 2003 estimated revenue. Intergovernmental: Various state-shared tax revenues, including liquor taxes and liquor profits, dominate this category. All of these revenues are provided on the basis of a state prescribed formula that is based on population. As such, these revenues tend to be rather predictable. However, since grants are also included in this category, the total amount is variable. State shared revenues have been flat in recent years, largely due to lower revenue from liquor, a change in sharing of revenue based on crime rates, and city incorporation's. The revenue the City receives from the Muckleshoot Casino has been reclassified from general taxes to this area because this revenue is received from another local agency and also, to comply with federal audit requirements. This revenue is based on the profits from the Casino. Every year the City negotiates with Muckleshoot Tribe for the amount to be received. State shared revenues are budgeted at the same level, except for vehicle excise tax. In November 1999, the voters of Washington State passed Initiative 695, reducing the motor vehicle excise tax to a flat $30 fee. The estimated impact on the City's general fund in 2001 was $650,000 and $675,000 in 2002. Furthermore, the State had provided backfill funding to partially "makeup" for the excise tax revenue loss. Due to significant budget constraints at the State level, this funding is no longer being provided. The City received approximately $200,000 in 2001 and 2002. Grants aside, intergovernmental revenues are budgeted at the same level as 2002, less the State backfill for motor vehicle excise tax. Charges for Services: This category consists of user fees that are derived from a variety of activities. Revenue from recreational services tends to gradually increase with community growth and demand. Recreational fees support about 50% of the costs of the related services. Arts revenue is similar to grants, Page 60 2003 Final Budoet Financial Plan and additional revenue may be received, but expenses would offset such revenue. Another relatively large type of fee category is a plan check fee derived from the review of private construction plans. Plan checks are likely to remained constant in 2003 as they follow the new construction and permitting activity. Charges for services constitute 4.3% of total 2003 revenue. General Fund Revenue Licenses, Permits, Intergov't, Service 2,500,000 1,500,000 2,000,000 1,000,000 -+- Licenses & Permits -'-Intergovernmental -!IE- Charges for Service 500,000 1998 1999 2000 2001 2002 2003 Fines and Forfeits: Fines and forfeits consist mainly of fines from law enforcement related activities. In recent years this has been a fairly consistent source of revenue and has not increased significantly. It is budgeted to reflect modest growth for 2003. Miscellaneous and Other Sources: Miscellaneous revenue consists primarily of interest revenue on idle treasurers' cash and investments. The 2003 estimate for interest was decreased to reflect current interest rate earnings and the decreased balance available for short-term investment. Interest rates on investments have decreased over 60% in the past two years. Other revenue is the unrestricted portion of gas tax transferred from the Street Fund for street operations funded out of the General Fund, and in 2003, a one time $142,000 reimbursement from AT&T for TV broadcast equipment, and interest earnings from the capital projects fund which will be used for street preservation projects. These sources of revenue constitute 4.5% of total revenue for 2003. General Fund Revenue Fines, Misc., Other 1,400,000 1,200,000 1,000,000 800,000 600,000 400,000 200,000 -+-Fines -.- Miscellaneous -!IE- Other 1998 1999 2000 2001 2002 2003 Page 61 2003 Final Budoet Financial Plan Summary: Total General Fund revenue, including fund balance reserves, for 2003 is budgeted at approximately 7.4% below the 2002 projected revenue. 2002 projected revenue is anticipated to be consistent with the 2002 amended budget. General Fund Revenue By Funding Source 1998 1999 2000 2001 2002 2003 Actual Actual Actual Actual Projected Budget Beginning Fund Balances: Reserved $ - $ 15,637 $ 17,978 $ 17,978 $ 18,743 $ Designated for Retirements 727,311 814,000 668.672 574,315 574,315 587,600 Undesignated 7,187,212 10,311,752 10,916,143 14,696,059 16,686,269 12,093,660 Total Fund Balances 7,914,523 11,141,389 11,602,793 15,288,352 17,279,327 12,681,260 Taxes: Property Taxes 9,105,645 9,222,439 10,209,181 11,016,171 11,198,840 11,700,000 Soles Tax 10,932,486 12,262,818 13,208,764 13,264,608 12,500,000 12,480,000 Other Tax 4,882,832 5,337,038 6,695,195 8,531,898 6,483,300 6,902,020 Licenses & Permits 1, 100, 121 879,343 1,183,990 1,120,433 940,700 914,100 Intergovernmental 2,082,150 2,152,169 1,743,071 2,059,441 2,078,928 1,425,300 Charges for Service 1,689,833 1,658,507 1,770,058 1 ,502,1 99 1,457,500 1,597,500 Fines 529,168 535,106 578,838 623,427 590,300 652,800 Miscellaneous 888,507 933,172 1,096,931 1,1 01,953 734,100 680,100 Other 585,933 671,972 1,246,7 63 847,313 788,080 997,000 Total General Fund $ 39,711,198 $ 44,793,953 $ 49,335,584 $ 55,355,795 $ 54,051,075 $ 50,030,080 Page 62 2003 Final Budoet Financial Plan Special Revenue Funds: The City has 12 special revenue funds presented in this budget. These funds account for the proceeds of specific revenue sources and are legally restricted to expenditures for specific purposes. Special Revenue Funds Revenue By Funding Source 1998 1999 2000 2001 2002 2003 Actual Actual Actual Actual Projected Budget Beginning Fund Balances $ 3,860,772 $ 5,273,584 $ 4,440,699 $ 7,627,062 $ 7,975,268 $ 5,900,187 Taxes 68,502 86,254 78,384 47,271 94,000 96,200 Intergovernmental 5,171,141 6,517,070 12,556,080 15,085,567 8,980,364 5,717,400 Charges for Services 141,848 73,106 391,727 785,971 482,000 209,000 Miscellaneous 342,889 212,769 281,215 469,896 145,600 130,300 Operating Transfers In 1,139,099 452,224 2,705,859 1,852,454 1,259,715 845,905 Total Resources $ 10,724,251 $ 12,615,007 $ 20,453,964 $ 25,868,221 $ 18,936,947 $ 12,898,992 1,400,000 1,200,000 1,000,000 800,000 600,000 400,000 200,000 Special Revenue Fund Revenue (Intergovernm ental not Included) -+-Taxes _Charges for Services -.-Miscellaneous 1998 1999 2000 2001 2002 2003 Special Revenue Fund (Intergovernmental only) 20,000,000 15,000,000 10,000,000 5,000,000 I-+- Intergovernmental I 1998 1999 2000 2001 2002 2003 Page 63 2003 Final Budoet Financial Plan Operating Transfers In 3,000,000 2,500,000 2,000,000 1,500,000 1,000,000 500,000 -+-Operafing Transfers In 1998 1999 2000 2001 2002 2003 Taxes: The City levies a tax on all business within the downtown core area. Retail businesses are levied $0.15 per square foot and service businesses are levied $0.05 per square foot, up to a maximum of one thousand square feet. These funds are then administered by the Auburn Downtown Association to promote the central business area. There is approximately 288,840 square feet of service businesses and 238,083 square feet of retail space assessed annually. 2003 revenues have been budgeted to reflect anticipated collections. Intergovernmental: This funding source has traditionally been the largest of all categories in the Special Revenue Funds. The Arterial Street fund is anticipating approximately $4.3 million of state, federal, and local funding. Major projects include design for M Street project and land widening in conjunction with the 277th Street grade separations. Two large projects that have been on going at the City for several years were completed in 2002. The 3rd Street overpass project was completed in the summer of 2002. The 277th project had been transferred to a neighboring jurisdiction for the construction phase and was completed in the fall of 2002. Other intergovernmental revenues include the Local Option Motor Vehicle Excise Tax, the Motor Vehicle Fuel Tax, the Local Law Enforcement grant (received since 1997), and Community Development Block Grant Funds. Block Grant revenue is a direct pass through. The 2003 budget provides the funding for several programs for low income, including community service programs, urban renewal and housing repair projects. There is concern over continued funding from the Local Option Motor Vehicle Tax. Initiative 1-776, which was approved by the voters in November 2002, repealed this tax that was voted on locally and adopted by three counties in the state. There is currently a court challenge to the constitutionality of this initiative. King County will continue to collect and hold the funds until the constitutionality of 1-776 is decided. The City will lose approximately $400,000 annually if the initiative stands. This revenue is used for street and road construction projects. Intergovernmental Revenue 1998 1999 2000 2001 2002 2003 Actual Actual Actual Actual Projected Budget street Grants $ 3,440,263 $ 4,895,207 $ 10,469,598 $ 13,165,914 $ 7,144,145 $ 3,909,000 County MV Tax 568,311 344,699 370,739 388,510 390,000 395,000 Motor Vehicle Fuel Tax 582,828 845,754 897,215 933,054 924,400 930,400 Local Law Enforcement 46,345 40,000 1 09,882 51 ,434 44,135 Block Grant 533,395 391,410 708,646 546,655 477,684 483,000 Total Resources $ 5,171,142 $ 6,517,070 $ 12,556,080 $ 15,085,567 $ 8,980,364 $ 5,717,400 Page 64 2003 Final Budoet Financial Plan Charges for Service: This revenue is miscellaneous service fees and mitigation fees paid by developers. The increase for 2001 reflects the transportation impact fee adopted on July 1, 2001. The revenue decreased in 2002 and is projected to decrease more in 2003 as developers are delaying projects until the economy strengthens. The City continues to receive mitigation fees for transportation and fire on each building permit issued for a large housing community development on the southern edge of the City. It is anticipated the development will be at build out by 2006. These fees have decreased in 2002 and 2003 as building has slowed. Miscellaneous: Miscellaneous revenues consist primarily of interest income. Fluctuation of revenue is a direct result of the current interest rate and idle fund resources available for investment. Investment revenue is showing a decrease in 2002. The upswing in 2003 is the additional interest income earned in the Capital Project Fund and transferred to the City Street Fund for pavement preservation projects. In 2002, the average interest rate on investments was lower than 2001. Other Sources: This category is interfund operating transfers from the general fund to the arterial street fund. Transfers in 2002 and 2003 have decreased as large street construction projects were completed in 2002. 2003 transfers are for continued support of street projects identified in the Transportation Improvement Plan and are from the Capital Projects Fund (Real Estate Excise Tax) and impact fee fund. Capital Project Funds: The City budgets for major non-proprietary capital acquisitions and construction separately from operations in the Capital Project funds. Capital Project Fund Revenue By Funding Source 1998 1999 2000 2001 2002 2003 Actual Actual Actual Actual Projected Budget Beginning Fund Balance $ 2,908,172 $ 8,062.428 $ 8.725.482 $ 9,978,160 $ 11,856,614 $ 10.735,638 Taxes 1,175,699 1,278,645 1,787,325 1.483,368 1,880,000 1,600,000 Intergovernmental 23,200 97,908 637,565 93,326 150,000 Charges for Service 21,100 19,525 19,534 25,320 22,000 22,000 Miscellaneous 230,127 418,713 765,706 575,170 159,239 210,236 Other Sources 4,966,054 3,350,000 3,514,200 3,308,000 3,093,543 300,000 $ 9,324,352 $ 13,227,219 $ 15,449,812 $ 15,463,344 $ 17,161,396 $ 12,867,874 Capital Project Fund Revenues 6,000,000 5,000,000 4,000,000 3,000,000 2,000,000 1,000,000 -+-Taxes -!lE-1 nfergovernmenfal -.- Charges for Service ~Miscellaneous -!IE- Of her Sources 1998 1999 2000 2001 2002 2003 Page 65 2003 Final Budoet Financial Plan Taxes: The City is authorized to levy Real Estate Excise Tax (REET) up to lJ2% on all real property sales transactions within the City. The tax is divided into quarter of percents; the City levied the first lj,¡% several years ago. Early in 1997 the City levied the additionaI1j,¡%, raising the levy to the allowable lJ2%. Revenues from this tax must be used for financing capital facilities specified in the city's Capital Facility Plan. Both the first and second lj,¡% may be used for: Streets; Sidewalks; Street lighting systems; Traffic signals; Bridges; Domestic water systems; and storm and sanitary sewer systems. In addition, the first lj,¡% may be used to purchase park and recreational facilities; law enforcement facilities; fire protection facilities; trails; libraries; and administrative and judicial facilities. Due to strong construction activity and low interest rates, this revenue source has increased each year. In this preliminary budget, REET revenue is presented at the same level budget level as 2002. Actual 2002 revenue will be higher than originally anticipated, as several large commercial transactions have occurred during the year. This revenue will be monitored closely in 2003 and adjusted downward if necessary. Intergovernmental: The 2002 budget included $100,000 funding from the 1989 King County Open Space Bond to complete construction of the White River Trail. There is no intergovernmental revenue anticipated for 2003. Charges for Services: Portions of all adult team sport fees are put into the capital facility program. These funds are then used to construct facilities at City parks to benefit the users of the parks and fields. This revenue is fairly consistent from year to year as class fees have not increased. Miscellaneous: Miscellaneous revenue is interest earnings on idle fund resources. Decreases in 2002 and 2003 reflect the low interest rates in the market. Other Funding Sources: Other funding sources are interfund operating transfers in from the general fund. These transfers are used to fund the purchase of capital, such as fire engines, computer systems and other capital projects to be determined by Council. In previous years, one-time revenues were transferred to this fund from the General Fund. In 2003 there are limited transfers. These revenues will be required in the General Fund for continued operation Enterprise Funds: The City has seven enterprise funds presented in this budget used for the purpose of accounting for the revenues derived from services provided. The City enterprise funds include the following services: Water, Sanitary Sewer, Storm Drainage, Solid Waste, Golf Course, Airport, and Cemetery. The graph presented below depicts the amount of revenues received by source. Enterprise Funds Revenue By Funding Source 1998 1999 2000 2001 2002 2003 Adual Adual Adual Adual Projeded Budget Beg. Fund Balance $ 15,665,856 $ 12,125,398 $ 21,626,384 $ 19,835,205 $ 19,177.463 $ 17,537,532 Charges for Services 24,190,983 26,039,325 26,941,117 28,119,311 28,167,873 29,017,289 Miscellaneous 1,000,343 717,293 1.488,854 1,357,232 801 ,000 858,600 Other Sources 7,900,736 12,814,822 3,688,256 8.408,823 4,669,900 1,303 ,200 Intergovern. Revenue 844,643 906,092 187,405 137.493 Total Resources $ 49,602,561 $ 52,602,930 $ 53,932,016 $ 57,858,064 $ 52,816,236 $ 48,716,621 Page 66 2003 Final Budoet 40,000,000 30,000,000 20,000,000 10,000,000 14,000,000 12,000,000 10,000,000 8,000,000 6,000,000 4,000,000 2,000,000 Financial Plan Charges for Services ..... I-+- Charges for Services I 1998 1999 2000 2001 2002 2003 Enterprise Fund Revenues -+- Miscellaneous other Financing Sources --à-Intergovernmental Revenue 1998 1999 2000 2XJl 'XfJ2 2003 Charges for Services: This revenue source represents fees charged by the City's enterprise funds in return for a public service. A breakdown of these revenues is shown in the graph labeled "Charges for Service." 62% of the City's charges for services are collected in the sewer and solid waste funds. Approximately 80% of the sewer revenues are related to pass through charges from King County for Metro services, which is for the treatment and disposal of the City of Auburn's sewage. The Solid Waste collection is contracted through Waste Management Disposal Company. The City started curbside recycling in 2002. Garbage rates are structured in a way that encourages participation in the recycling program All of the above funds account for city-operated utilities provided to citizens of Auburn and the outlying areas. The utility revenues are directly affected by growth factors and rate increases. In 2003 utility rates, except for sewer, are not scheduled for increases at the time this budget is being prepared. The Sewer utility will increase the City's portion of the rate by approximately 3% on January 1, 2003. The City normally reviews the fees charged for utilities on a yearly basis to ensure the fees charged cover the costs associated with providing the services. The Storm Water fund implemented a one-time rate increase late in 2000. All fees and charges are adopted through the public process of an ordinance. The Golf Course charges for services consist of green fees for the 18-hole championship course. Over the last several years the city has done major renovations to many of the holes. Golf course revenue has remained fairly constant over the past few years. The City projects fees to continue in the same trend in 2002 and 2003. Revenues are also dependent on seasonal weather trends. Page 67 2003 Final Budoet Financial Plan The Airport charges for services consist of fuel sales and hangar rentals. The Airport recently completed new hangar buildings that provided 49 new enclosed spaces. In 2001. the City installed a new card fueling system that allows patrons of the airport to self-service their airplanes at any time during the day. The City also entered into several ground leases with developers who in turn will build hangars and other facitlities. With the completion of new hangars, the new ground leases and the 24-hour fueling station; the airport revenues increased by 14.2% in 2001 and are expected to increase 4.3% and 5.2% respectively, in 2002 and 2003. Once again, this revenue will be closely monitored in 2003. The City of Auburn Cemetery is one of the most beautiful in the county, over-looking the Auburn valley and majestic Mount Rainier. Charges for services in the Cemetery fund are for lot sales and retail sales for burial related products. In 2002 the City aggressively marketed the cemetery to sustain revenue growth. Charges for services were anticipated to decrease by 8.8% in 2002 to $552,800 and then increase in 2003 by 5.4%. The new Veterans Cemetery in Maple Valley has had a negative impact on lot sales and burial services. Other Financing Sources: This revenue source represents the resources available from Public Works Trust Fund loans (PWTF) and developer contributions. The City anticipates $250,000 of PWTF loans available for construction in 2003. The loan will be used to pay final costs on the corrosion control facility that was completed in 2002. Developer contributions will be used for capital purposes. There is an entire section of this budget that describes the capital projects along with their prospective budget, time frame, and impact on operations. Miscellaneous Revenues: The majority of miscellaneous revenues are comprised of investment income earned on idle cash. Intergovernmental Revenue: This revenue represents grants received in the Airport Fund from the FAA for airport improvements to the runways and hangars. The City did not receive any grants in 2002 and is not anticipating any in 2003. Internal Service Funds: The City's Internal Service Funds are used to budget for the financing of goods and services provided by one department of operation to other funds and departments on a cost of reimbursement basis. The City has two internal service funds: Insurance and Equipment Rental. Internal Service Funds By Funding Source 1998 1999 2000 2001 2002 2003 Actual Actual Actual Actual Projected Budget Beginning Fund Balance $ 5,173,786 $ 5,314,232 $ 5,906,400 $ 6,210,703 $ 6,778,205 $ 6,406,755 Charges for Service 1,631,696 1,681,184 1,812,787 1,631,11 3 1,430,400 2,019,470 Miscellaneous 336,625 283,249 378,125 280,375 150,600 155,000 Other Sources 10,653 44,313 450,386 224,311 50,000 15,400 Total Revenue $ 7,152,760 $ 7,322,978 $ 8,547,698 $ 8,346,502 $ 8,409,205 $ 8,596,625 Page 68 2003 Final Budoet Financial Plan Internal Service Fund Revenue 2,500,000 2,000,000 1,500,000 1,000,000 500,000 Charges for Service -.- Miscellaneous ~ other Sources 1998 1999 2000 2001 2002 2003 Charges for Service: This revenue is in the Equipment Rental Fund and consists of interfund fuels sales and rental rates of equipment and other assets. Equipment rental rates were increased in 2003 for all funds. A study was performed on the fund in 2002 and capital replacement was under funded by $900,000. To replenish the funding, rates will be increased over the next 4 years to bring balances back in line with requirements. Miscellaneous Revenue: This is investment income on idle cash and investments. This revenue has decreased from prior years due to declining interest rates. Other Sources: This is the gain on the sale of surplused equipment and contributed capital from other funds for equipment purchase and other improvements at the facility. Fiduciary Funds: In the past the City budgeted three trust funds: the Cemetery Endowed Care Fund; the Fire Relief and Pension Fund; and the Special Parks and Recreation Trust Fund. With the implementation of Governmental Accounting Standards Board (GAS B) Statement 34, the reporting type and structure of these funds have been changed. The Cemetery Endowed Care fund is now classified as a "Permanent Fund" which is a new fund type under GASB 34. The Special Parks and Recreation Trust Fund has been reclassified and will be reported as a special revenue fund. That leaves the City with two fiduciary type funds, the Fire Relief and Pension Fund and one Agency Fund. The balances reflected below for 2000 and beyond do not include the Cemetery Endowed Care or the Special Parks and Recreation funds. Fiduciary Funds By Funding Source 1998 1999 2000 2001 2002 2003 Actual Actual Actual Actual Projected Budget Beginning Fund Balance $ 4,754,314 $ 4,797,277 $ 3,542,500 $ 3,497,469 $ 3,631,870 $ 3,570,570 Charges for Service 35,681 42,192 Miscellaneous 352,013 218,240 175,000 229,283 180,000 180,000 Intergovernmental 44,580 52,738 43,000 37,281 45,000 45,000 Total Revenue $ 5,186,588 $ 5,110,447 $ 3,760,500 $ 3,764,033 $ 3,856,870 $ 3,795,570 Page 69 2003 Final Budoet Financial Plan Fiduciary Fund Revenues 400,000 300,000 200,000 100,000 -+- Charges for Service Miscellaneous -.- Intergovernmental 1998 1999 2000 2001 2002 2003 Miscellaneous: This is investment income on idle cash investments. Intergovernmental: This is the fire insurance premium tax that goes into the Fire Relief and Pension Fund. The City receives this revenue from the state and it is allocated based on the number of firefighters employed by the City. The 2000 State Legislature reduced the fire insurance premium tax. An actuarial study of the Fire Relief and Pension Fund was updated early 2001. The fund is fully funded and does not require additional contributions. The fund is scheduled for another actuarial evaluation in 2003. Permanent Fund: The City has one permanent fund, the Cemetery Endowed Care fund. This fund is used to account for resources that are legally restricted to the extent that only earnings, and not principal, may be used to support cemetery capital improvements. Permanent Fund By Funding Source 1998 1999 2000 2001 2002 2003 Actual Actual Actual Actual Projected Budget Beginning Fund Balance $ $ $ 1,038,477 $ 1,081,180 $ 1,185,832 $ 1,188,832 Charges for Service 43,246 39,432 38,000 40,000 Miscellaneous 74,456 65,220 11,700 15,000 Intergovernmental Total Revenue $ $ $ 1,156,179 $ 1,185,832 $ 1,235,532 $ 1,243,832 Permanent Fund Revenues 400,000 300,000 200,000 -+- Charges for Service Miscellaneous -.- Intergovernmental 100,000 1998 1999 2000 2001 2002 2003 Page 70 2003 Final Budoet Financial Plan General Fund Six-Year Forecast A six-year forecast of the City's General Fund can be found on page 73. The purpose of the forecast is to highlight issues associated with financial policies and budgetary decisions. It is not intended to be a multi- year budget. Revenues and expenditures are projected on the basis of assumed econometric relationships. Revenues are forecast on the basis of future economic and demographic factors with little dependence on past trends. Expenditures are forecast based on past trends modified by present and future conditions. Future conditions are based upon a series of complex assumptions. This model has been used to test a large range of assumptions and policy options in the course of developing the budget recommendations. This assumption regarding "real economic growth" is a factor that reflects the approximate rate of tax generation above the rate of inflation. The table opposite reflects a moderate set of assumptions regarding revenues and expenditures. The Auburn economy is cyclical and the City has enjoyed a strong economy for many years from low unemployment coupled with significant retail and housing development. Revenue losses from the recent legislative exemptions have been negated by the gains of economic development. However, the strength of the prior years has begun to erode as the region slips into recession. Decreases in the stock market, higher unemployment rates, and the war on terrorism are anticipated to have a negative impact on consumer spending and new construction. Economists expected the regional recession to be short and turn around by the fourth quarter of 2002. However the recovery has not been as strong and prolonged as the economists have predicted. It is now estimated that the region will not begin see sustained economic recovery until late 2003. This is reflected in the revenue forecasts through 2008. Property assessed values have increased steadily during the past 10 years at an average of 7.6%. 2003 increase in assessed valuation is anticipated to be approximately 4.5%. In the past, the forecast has relied on increases in assessed value for forecasting. However, with recent legislation and initiative activity, this forecast is relying on a 1 % increase for property taxes plus an average factor for new construction. While estimated revenue growth has decreased over the past year, expenditures involving public safety and public services are expected to increase at a greater rate. New commercial development, several large residential developments, currently in the permitting process, and newly annexed areas are a few of the areas expected to increase the demand for public services. Based on the current trends, it is anticipated that fund balance will decrease over the next five years when revenues begin to subside and expenditures increase. It is necessary to reflect non-departmental costs in 2003, so estimated ending fund balances are not overstated. Expenditures in this area generally represent one-time payments or transfers for capital projects, employee retirements or debt service. The Finance Department will continue to study revenue options and enhancements to offset the decline in future revenues. Residual budget is unused budget rolled over to be utilized in the subsequent year. Forecasting models have been used to assist in fiscal planning since 1989. Models have allowed analysis of alternative actions in funding programs during the development of the budget. The model accents the continuing need to control the per capita rate of expenditures reflected in the preceding pages. It is this model that created cautious funding decisions in spite of an apparent high rate of economic growth in the late 1990's. Continued caution will be required to anticipate and manage the effects of a slowing economy or additional legislative actions to avoid service reductions for budgetary reasons should economic growth continue to be feeble. Page 71 2003 Final Budoet Financial Plan The graph below reflects the six-year planning forecast on the previous page. If current trends continue, fund balance will decrease to 3.86% by the end of 2005. Revenue has been estimated realistically based on an anticipated economic growth, planned annexations, and considering the affects of voter initiatives. Should growth remain feeble, as expected by most economists, in the next 12 months and tax revenues slow, the adverse affect on fund balance may be greater than anticipated. Revenues from property taxes are increased at 1 % plus the addition of new construction and annexations. Initiative 747 went before the voters in November 2001 and passed. The initiative limits the increase in property taxes to the lesser of 1 % or inflation. Assessed valuation for the City is expected to grow by the rate of 4.5% in the model presented. However, since the City may not increase property taxes greater than 1 %, it is anticipated that the levy rate will decrease as assessed value increases. Six Year Planning Forecast 2003-2008 $48,000,000 $8,000,000 IITofal New Revenues IITofal Expendifures** o Revised Fund Bal.*** $38,000,000 $28,000,000 $18,000,000 $ (2,000,000) $( 12,000,000) 2003 2004 2005 2006 2007 2008 YEAR This analysis reflects the position of the City if no adjustments are made on the expenditure side and other revenue does not grow at a rate necessary to offset the slower growth rate from property taxes. The City is addressing the long-term revenue short fall through concerted efforts with other jurisdictions. At this time, however, the exact adjustments that will be necessary are unknown. As mentioned, the City has taken into account the recent statewide initiative in forecasting property taxes. The issue that develops when property tax increases are held to 1 % is that other costs are not. Costs such as employee benefits, negotiated labor contracts, services and supplies continue to increase at a greater rate. Fuel, professional services, and healthcare costs are good examples. The shortfall then has to be made up by increases in sales tax collection and population growth. In this economy, the City has been able to maintain the existing level of service, in light of legislative action in the mid 1990's, because the economy has been strong and growing at rates that have astounded economists. Sales tax revenue growth for 2003 is budgeted equal to the 2002 anticipated collection. Recent world events such as war, terrorist attacks, fuel costs, edgy stock markets and overall unrest in the Mid East will have an impact on spending patterns. When sales tax revenues slow down, such that they are unable to make up the revenues lost from property tax declines, the City will have to make some different choices in the delivery of basic levels of services. Page 72 2003 Final Budoet Financial Plan General Fund Revenue and Expense Forecast 2003 - 2008 2003 2004 2005 2006 2007 2008 Total Taxes $ 31,082,020 $ 32,531,185 $ 33,391,674 $ 34,406,192 $ 34,994,586 $ 35,962,225 Total Lic & Per 914,100 843,582 878,695 920,570 970,554 1,030,265 Totallntergovt 1,425,300 1,302,290 1,343,794 1,405,559 1,445,967 1,488,118 Total Chg/Serv 1,597,500 1,709,713 1,786,642 1,878,914 1,959,738 1,998,936 Total Fines 652,800 667,226 696,596 727,363 759,592 794,350 Total Misc Rev 680,100 821,656 839,536 858,197 877,676 898,008 Total Other Rev 997,000 667,112 695,131 724,326 754,748 786,447 Total New Revenues $ 37,348,820 $ 38,542,764 $ 39,632,067 $ 40,921,123 $ 41 ,762,862 $ 42,958,349 Mayor & Council $ 596,147 $ 626,600 $ 644,700 $ 663,500 $ 682,800 $ 702,600 Human Resources 2,177,940 2,229,400 2,294,400 2,361,300 2,430,300 2,501,200 Finance 2,698,750 2,767,801 2,847,102 2,928,703 3,012,704 3,098,905 City Attomey 1,085,850 1,111,401 1,144,002 1,1 77,503 1,212,004 1,247,805 Planning 3,525,296 3,606,501 3,711 ,202 3,818,703 3,929,604 4,043,805 Police 13,287,789 13,813,200 14,446,900 15,111,600 15,808,900 16,540,400 Fire 8,247,703 8,516,900 8,925,800 9,354,300 9,803,400 10,274,000 Public Works 2,619,900 2,681, 900 2,759,800 2,839,800 2,922,200 3,007,100 Parks & Rec 4,304,600 4,385,801 4,512,902 4,644,103 4,778,704 4,917,505 Street 2,008,300 2,059,700 2,119,000 2,180,000 2,242,700 2,307,100 Non-Departmental 2,982,105 1,822,200 1,825,700 1,829,302 1,833,005 1,836,808 Total Expenditures** 43,534,380 43,621,404 45,231,508 46,908,814 48,656,321 50,477,228 New Rev. Balance Residual/Unused Budget Revised Fund Bal. *** % Fund Balance Total (6,185,560) (5,078,640) (5,599,441) (5,987,691) ( 6,893,459) (7,518,879) 3,000,000 3,000,000 3,000,000 3,000,000 3,000,000 6,495,700 4,4 1 7,060 1,817,619 (1,170,072) (5,063,531 ) (9,582,4 10) 12.98% 9.19% 3.86% -2.56% -11.62% -23.43% $ 50,030,080 $ 48,038,464 $ 47,049,127 $ 45,738,742 $ 43,592,790 $ 40,894,818 Kev Assumptions: Inflation Rate Population Growth Rate Personnel Increases PropertyTox Increase 2.80% 4.50% 3%-5% 1 % + new construction ** Excludes estimated ending fund balance *** Includes Designated Fund Balance of $4,087,600 for cash flow purposes and funding employee leave balances at retirement. Page 73 2003 Final Budoet Financial Plan Current and Potential Legislative Action As previously mentioned, there have been several legislative actions at the state level that have permanently reduced sales tax revenues for the City of Auburn. This legislation and other pending legislation, including federal legislation, are summarized below, along with potential impacts on Auburn's revenue picture. Sales Tax Exemption On Purchase And Lease of Manufacturing Equipment, Retooling Of Manufacturing Equipment, And General Research And Development: During the 1995 legislative session, legislation was passed to exempt the purchase and lease of manufacturing equipment from state and local sales taxes. In the 1996 session, further legislation was enacted exempting sales taxes on research and development and on the retooling of manufacturing equipment. The impact of this legislation has been offset by the strong economy and low unemployment rates. Sales tax revenues are anticipated to grow in spite of the legislative effects. It is anticipated these revenues will grow at 4% 2003 through the year 2007. Initiative 695: In November 1999, the voters of Washington State approved Initiative 695, which repeals the state's long standing motor vehicle excise tax (MVET) and requires future voter approval of tax and fee increases proposed by state, county and local governments. The State Legislature responded to this initiative during the 2000 legislative session and repealed the MVET. The initiative has been challenged in court and was found to be unconstitutional and void. The ruling was upheld on appeal at the Washington State Supreme Court. The loss of the MVET eliminated a $750 million annual funding source for local governments, transit systems and state transportation projects. The City of Auburn lost an estimated $600,000 in 2000 and $725,000 in subsequent years of MVET. The loss of MVET revenues is approximately 2% of total General Fund revenues. During the 2000 State Legislature, state funding was provided to assist in the revenue losses. The City of Auburn received $195,000 in 2001 and 2002. Due to the State's fiscal problems, this funding has been eliminated. Initiative 747: This initiative went before the voters of the state in November of 2001 and was approved. Property tax increases are now limited to the lesser of one percent or inflation. The impact of this initiative on the City was estimated to be approximately $100,000 in 2002 and accelerates each year to have an annual impact of over $1 million by 2007. Endangered Species Act: On March 24, 1999 National Marine Fisheries Service (NMFS) published the listing of the Puget Sound Chinook as "threatened." On January 3, 2000 NMFS published in the Federal Register the draft proposed rule: Governing "Take" of Seven Threatened Evolutionary Significant Units (ESU) of West Coast Salmonids. Included in this listing was Puget Sound Chinook. Since the initial listing, Auburn has participated in the Green River Steering Committee to develop a recovery plan for the Green River. 16 jurisdictions participate and intend to share the costs. To date there are estimates of three cost categories; Five Year WRIA Planning Costs (approximately $435,000 in 2003), Green River Ecosystem Restoration Study Costs, and Individual Jurisdictional Costs for 4d Compliance. The total cost of the plan and the compliance are unknown at this time. The best estimates are $100 million total with the federal government picking up an estimated $75 million. The balance will be funded locally over a ten-year period by all the jurisdictions involved. Page 74 2003 Final Budoet Financial Plan Long-Term Debt Obligations and Debt Capacity Like private citizens, municipalities must sometimes borrow funds to pay for large purchases like capital equipment and capital projects. As in the private world, the ability to borrow depends upon the borrower's ability to pay the loan back, as indicated by means of credit ratings, potential future earnings, etc. Unlike private citizens and companies, public entities have the additional parameters of statutory limits on borrowing, as measured by set percentages of assessed value and ratios of revenue to operating expense. Debt incurred by a City is generally issued in the form of bonds, similar to promissory notes, which investors buy from the City, with the idea that the City will buy the bonds back at some future date - paying more money than the investor paid for them. There are three types of bonds issued by the City of Auburn, differentiated by the basis of the guarantee of payoff to the investor. General Obligation or "GO" Bonds are based on the tax base or the assessed value of the municipality. When issuing a GO Bond, the City is pledging its future taxing powers to payoff the debt. GO Bonds can also be issued as a voted "levy" when citizens are willing to pay extra taxes to pay for a particular project. Another less common type of GO Bond is one that is secured by the City's tax base, but is actually retired from utility revenues. Revenue Bonds are both guaranteed by and retired from specific future revenues (usually fees for a particular service). These are generally issued for utility capital projects, and guaranteed and retired by utility rate revenues. There is no general tax liability for these obligations. Local Improvement District or "LID" Bonds are issued through the formation of local improvement districts to provide specific capital improvements. The City has a LID Guarantee Fund; a reserve fund that guarantees LID Bonds. The City's outstanding LID Bond debt currently amounts to $658,894. L.I.D. Bonds Year Principal Interest Total 2003 $ 92,436 $ 42,979 $ 135,415 2004 122,436 37,249 159,685 2005 42,436 29,7 58 72,194 2006 42,436 26,828 69,264 2007 42,436 23,898 66,334 2008 42,436 20,967 63,403 2009 42,436 18,037 60,473 2010+ 121,852 36,529 158,381 Totals $ 548,904 $ 236,246 $ 785,150 Page 75 2003 Final Budoet Financial Plan General Obligation Bonds: The total indebtedness for general purposes with or without a vote of the people cannot exceed 2.5% of the value of taxable property. Up to 1.5% may be incurred without a vote; however, any indebtedness available without a vote is proportionately reduced by any indebtedness with a vote in excess of 1 %. The City may also levy, with a vote of the people, up to 5% of taxable property value for utility or open space and park facilities purposes. Any excess will proportionately reduce the margin available for general purposes. Total general obligation debt cannot exceed 7.5% of the value of property. The City debt obligations are well within the statutory limits for debt capacity. The chart below summarizes the City's current debt obligations by type of debt and legal limit. The City issued $4 million of general obligation debt in 1998 to provide funds to pay the cost of constructing a library to be owned and operated by the King County Library System. The City also issued $1.655 million in general obligation debt in 1999 to pay the construction cost of hangars at the Auburn Airport. Additional GO debt includes a bond issue from the Valley Communications Center Development Authority in 2000. The City is contracted to pay 20% of the debt service over a l5-year period. The City currently has an A 1 rating from Moody's. General Obligation Bond Debt (In Thousands) Without With utility Open space a Vote a Vote Purposes & Parks 1.50% 1.00% 2.50% 2.50% Total Bonding Capacity $ 60,285 $40,190 $100,475 $ 100,475 $ 301,425 Bonds Outstanding 7,402 - - - 7,402 Net Capacity $ 52,883 $40,190 $100,475 $ 100,475 $ 294,023 Revenue Bonds: The City has approximately $10.190 million of principal in utility revenue bonds outstanding that are being repaid by revenues from utility funds. In 1996, the Water utility changed the rate structure based on the outcome of a rate study. Both the Water and Sewer Funds increased rates during 1998 and 2000 to meet revenue needs for operations as well as financing capital improvements. Water and Sewer increased rates again in 2001 and 2002 based on a cost of service study. Storm had a one-time increase in 2000. All proceeds from the sale of bonds were used to improve and extend the existing municipal water and storm water systems. The water utility has used some of the bond proceeds to assist in the construction of facilities necessary to sell water to several neighboring communities thus increasing revenues. Other facilities constructed include, reservoirs, wells, corrosion control facilities and water lines. The Storm Drainage Fund was created in 1988 and began collecting fees with the intent of creating infrastructure. With the completion of the Storm Water Comprehensive plan, the City began implementing the plan in 1997. The bond proceeds, along with fund reserves, were used for central storm drainage improvements identified in the plan. The City has established a coverage ratio of 1.25 for the utility revenue bonds, where the net utility operating revenues will exceed 1.25 times the maximum annual utility revenue bond debt service cost. The annual debt service payment is paid from the utility user or system development fees. During 1999, Moody's upgraded utility revenue bonds from A2 to A 1. Page 76 2003 Final Budoet Financial Plan The following debt payment schedule is for all outstanding debt including utility revenue bonds. Revenue Bonds General Obligation Bonds Year Principal Interest Total Principal Interest Total 2003 $ 960,000 $ 523,333 $ 1,483,333 $ 314,000 $ 358,643 $ 672,643 2004 1 ,01 0,000 474,845 1,484,845 334,000 343,897 677,897 2005 1 ,065,000 423,320 1 ,488,320 351,000 327,997 678,997 2006 1,115,000 368,970 1 ,483,970 373,000 310,812 683,812 2007 1,175,000 312,070 1 ,487,070 395,000 292,774 687,774 2008 1 ,235,000 252,095 1,487,095 422,000 273,664 695,664 2009 1 ,300,000 580,897 1 ,880,897 445,000 253,065 698,065 201 0+ 2,330,000 138,070 2,468,070 4,7 68,000 1 ,206,1 98 5,974,1 98 Total $ 10,1 90,000 $ 3,073,599 $ 13,263,599 $ 7,402,000 $ 3,367,050 $ 10,769,050 Public Works Trust Fund Loan Debt Year Principal Interest Total 2003 $419,990 $62,033 482,023 2004 $455,517 $58,900 514,417 2005 $455,517 $55,420 510,937 2006 $455,517 $51 ,940 507,456 2007 $455,517 $48,459 503,976 2008 $455,517 $44,979 500,496 2009 $455,517 $41,499 497,016 2010+ $5,091,697 $228,928 5,320,625 Total 8,244,788 592,157 8,836,946 Fiscal Capacity: General Fund The City utilizes a range of strategies to maintain its fiscal security. Several of the financial policies are based on this strategy. First, the City maintains fund balance sufficient to meet the General Fund cash flow needs and estimated employee retirement cash outs for the current year. This amounts to about 7% to 10% of the General Fund. In good economic times, this fund balance can be budgeted higher than when the economy takes a turn for the worse. This balance serves as the first line of defense against a sudden and significant economic downturn. However, revenues are forecast moderately. This not only provides protection from needing to rely on the fund balance, it has provided a higher fund balance than originally budgeted, augmenting reserves. In recent years the City has added a Cumulative Reserve Fund for two purposes. First, it allows the City to build funds for needed capital projects without having to rely exclusively on debt. Secondly, it provides long-term stability to City finances as a counter- cyclical balance. Money is put aside in good years (from higher than budgeted reserves), as in recent years, allowing the City a reserve to draw on in poorer years. The City also maintains two special purpose reserve funds to adequately meet specific and significant potential contingencies: 1) an insurance fund to augment regular coverage and to provide for insurance independence and/or stability, and 2) a guarantee fund to adequately secure the City's LID program. Page 77 2003 Final Budoet Financial Plan Finally, the City has reserved an amount of taxing and other revenue capacities for worse case circumstances. These capacities are: User Fees: There are several categories of user fees that could be increased to capture a larger share of associated costs. Utilitv Tax: The City taxes at 4.5% with a maximum of 6% available. This added authority could yield approximately $1,700,000 per year. B&O Tax: The City can levy a Business and Occupation Tax on gross business receipts. This authority applied conservatively would yield about $1,000,000 per year. At higher rates, as much as $2,000,000 per year could be realistically achieved. Business Licensinq: Some jurisdictions have used business licensing as a means of generating additional revenues. A very aggressive program could yield as much as $750,000 per year. Working Capital Proprietary funds are managed on a different basis than are general governmental services. The amount of expenses required for ongoing operation depends on the amount of activity that will be done next year. Since such activity provides new income to the fund directly in the form of charges for service, there is additional revenue to support those additional expenses. Therefore, the management of these funds is not focused on line items of revenue and expenses, but rather the "bottom line" of whether expenses are supported by revenue. This is measured by the working capital in each fund. In simple terms, "working capital" is similar to fund balance and is the result of all transactions during the year. An increase in working capital indicates that expenses are less than earnings. Since a city cannot make a profit, unlike private sector enterprises, working capital should not grow or decline and expenses and revenues should balance. However, working capital should accumulate to a level sufficient for at least three purposes: 1. Provide a cushion or a contingency for unforeseen needs and emergencies. 2. Provide adequate security for long-term debt. 3. Allow for a capital development program to reduce the need for borrowing. The trend for working capital in each of the City's proprietary funds is found on the following page. It should be noted that data for 2002 and 2003 are budget figures while the data for previous years are actual figures. The Water Fund continues with an aggressive capital program. The increases in 1997 and 1999 working capital are from bond proceeds received during those years to construct new joint facilities, research water rights and availability, build new pump stations, drill new wells, update worn out facilities, and construct a corrosion control facility. The utility also received Public Works Trust Fund Loans in 2001 and 2002 that will fund 90% of the corrosion control facility. The buildup of working capital in the Strom Drainage Fund between 1991 and 1996 was necessary in order to finance the five-year capital program planned for that utility. Working capital in 1997 and 1998 began to decrease due to an aggressive capital improvement program. The increase in 1999 is from the Page 78 2003 Final Budoet Financial Plan issuance of revenue bonds late in the year. 2002 and 2003 reflect significant decreases as scheduled projects are completed. The decreased sewer working capital in 1991 was from the temporary investment and backing of a sewer LI D. The increase in working capital at the end of 1998 was from the sale of facilities to King County and a rate increase. The fund sold an estimated $3.8 million in facilities. $1.4 million was received in 1997 and the balance will be paid for as customers connect to the system over the next several years. Planned facility improvements in 2001 and 2002 pushed working capital downward. The Sewer Fund increased rates mid 1998 and in January 2000,2001, 2002 and 2003 at 3% each year. Those increases are reflected in the ending working capital. Working capital in the Solid Waste Fund increased in 1992 due to rate restructuring in connection with the recycling program and also to a change to the accrual basis of accounting in this fund. The fund increased service rates in both 1997 and 1998. These estimates are reflected in the ending working capital. The City entered into a new contract for garbage disposal services beginning January 2002. Rates were set to recover the cost of the service and encourage recycling efforts. There is adequate fund balance at this time so rates are not expected to increase in 2003. The increase in Equipment Rental working capital from 1991 through 1996 is due to rate changes and also to the addition of reserves for those Fire and Police vehicles that were placed in the fund at that time. During 1997 and 1998 interfund rental rates were decreased 20% and 15% respectively because reserves were considered to be adequate at that time. Rates were again reduced in 2002 but are raised again in 2003. Further analysis of the working capital balances is needed to correct recently discovered underfunding of the capital replacement component of the equipment rental rates. The Golf Course has suffered attendance losses during the last few years due to the opening of new courses in the area. However, in 1999, revenues began to increase. Many ongoing course improvements have increased capital costs but improvements to the course are being noted with increased admissions. The Airport has been experiencing a continuing loss from operations over the pasts few years. The Airport completed the fueling facility and re-roofing of the hangars in 1999 in efforts to enhance lease and rental revenues. New hangars were completed in 2000. The large increase in 1999 is from the issuance of General Obligation debt to construct the hangars. Revenue from the new hangars will service the debt as well as increase revenue in future years. Working capital is expected to decrease in 2002 due to planned improvements to older hangars. The Airport entered into several long-term land leases in 2001 that will result in private development and increase revenue from the leases. This fund will be closely monitored for any sudden downturns in revenue from vacancy or decreased activity. The Cemetery completed several improvements in 1999 and 2000, including an area with over 1,000 ground burial spaces and a Centennial Niche Wall. Landscaping and irrigation improvements are ongoing. However, 2002 and 2003 working capital is projected to decrease due to the opening of a nearby national cemetery. Page 79 2003 Final Budoet Financial Plan Working Capital Proprietary Funds Water Sewer Storm Drainage Solid Waste Airport Cemetery Golf Course Equipment Rental Actual: 1991 $ 801,789 $ 991 ,865 $1,188,716 $ 273,920 $ 261,391 $ 114,439 $ 174,664 $ 171,677 1992 1,162,228 2,523,666 2,051,574 1,030,459 250,191 74,577 118,787 199,733 1993 1,646,231 2,755,476 3,014,433 1,084,902 252,595 150,757 187,950 767,123 1994 1 ,781 ,605 2,403,098 2,894,298 1,061,252 316,610 234,900 284,683 1 ,109,545 1995 1,878,543 2,621,593 3,478,896 1,240,084 349,514 249,610 130,804 1,560,454 1996 899,727 2,892,891 4,249,043 1,565,470 398,953 357,113 210,003 1,956,755 1997 4,172,203 4,850,288 3,940,962 1,839,422 392,046 316,369 134,278 2,389,468 1998 1,217,715 5,319,247 2,958,986 2,162,067 73,968 275,112 118,303 2,597,764 1999 5,270,987 6,532,437 5,188,879 2,782,048 1,342,537 296,208 213,284 2,656,196 2000 3,435,343 7,295,016 4,742,243 3,497,725 357,868 340,948 166,079 3,370,140 2001 2,666,189 8,127,088 4,183,961 3,410,540 260,890 329,041 199,754 3,863,699 Budget: 2002 3,154,153 6,919,998 3,545,423 3,253,133 143,120 278,441 243,264 3,514,649 Budget: 2003 2,724,350 6,881,973 2,019,048 2,692,253 154,430 235,851 198,664 3,187,819 Page 80 2003 Final Budoet $ 9 ,000 ,000 $8,000,000 $7,000,000 $6,000,000 $5,000,000 $4,000,000 $3,000,000 $2,000,000 $1,000,000 $0 Proprietary Funds - Working Capital city of Auburn: 1996-2003 ..... ..... (]) (]) 1::: è- (]) Õ (]) f 0) ..... 0 t: ..... '" (]) ..... ~ 0 ~ .f} ..... .:J C (]) .f; (]) 0 (]) Go) g <:( E () Q: J] (]) "- ..... () õ c 0 (]) § Go) ü E 0 .g ..... .:J Go) g Page 81 111996 111997 01998 01999 02000 112001 112002 112003 Financial Plan 2003 Final Budoet Financial Plan Page 82