HomeMy WebLinkAbout05.20.2021 Finance Committee Agenda Packet
CITY OF SARATOGA
COUNCIL FINANCE COMMITTEE
MAY 20, 2021
Teleconference/Public Participation Information to Mitigate the Spread of COVID ‐19
This meeting will be entirely by teleconference. All Council members and staff will only participate
via the Zoom platform using the process described below. The meeting is being conducted in
compliance with the Governor’s Executive Order N‐29‐20 suspending certain teleconference rules
required by the Ralph M. Brown Act. The purpose of t his order was to provide the safest
environment for the public, elected officials, and staff while allowing for continued operation of
the government and public participation during the COVID‐19 pandemic.
Members of the public can view and participate in the meeting by:
Using the Zoom website https://us02web.zoom.us/j/86310243632 or App Webinar ID: 863 1024
3632 and raising their hand to speak on an agenda item when directed by the Mayor.
1. Calling 1.669.900.6833 or 1.408.638.0968 and pressing *9 to raise their hand to speak
on an agenda item when directed by the Mayor.
The public will not be able to participate in the meeting in person.
As always, members of the public can send written comments prior to the meeting by
commenting online at www.saratoga.ca.us/fc prior to the start of the meeting. These emails will
be provided to the members of the Council and will become part of the official record of the
meeting.
During the meeting the Mayor will explain the process for members of the public to be recognized
to offer public comment.
In accordance with the Americans with Disabilities Act and the Governor’s Executive Order, if
you need assistance to participate in this meeting due to a disability, please contact the City
Clerk at debbieb@saratoga.ca.us or calling 408.868.1216 as soon as possible before the
meeting. The City will use its best efforts to provide reasonable accommo dations to provide as
much accessibility as possible while also maintaining public safety.
TIME 3:00 p.m.
LOCATION Linda Callon Conference Room
Saratoga City Hall
13777 Fruitvale Avenue
Saratoga, CA 95070
1. CALL TO ORDER Mayor Zhao
2. ROLL CALL Council Members: Bernald, Fitzsimmons, Kumar, Walia, Zhao
3. REPORT ON POSTING OF THE AGENDA: Pursuant to Government Code Section 54954.2,
the agenda for this meeting was properly posted on: May 17, 2021.
4. ORAL & WRITTEN COMMUNICATION
Any member of the public may address the Committee about any matter not on the agenda
for this meeting for up to three minutes. Committee members may not comment on the
matter but may choose to place the topic on a future agenda.
5. APPROVAL OF FINANCE COMMITTEE MEETING MINUTES FOR April 22, 2021
6. OLD BUSINESS
A. None
7. NEW BUSINESS
A. Budget Preview follow-up, as needed
B. Theater Rental Fees
C. Investment Policy Annual Report
D. Gann Limit Annual Report
8. ADJOURNMENT
CERTIFICATE OF POSTING OF THE AGENDA, DISTRIBUTION OF THE AGENDA PACKET,
COMPLIANCE WITH AMERICANS WITH DISABILITIES ACT
I, Mary Furey, Administrative Services Director for the City of Saratoga, declare that the
foregoing agenda for the meeting of the Council Standing Finance Committee of the City of
Saratoga was posted and available for public review on May 17, 2021 at the City of Saratoga,
13777 Fruitvale Ave., Saratoga, CA 95070, and on the City’s website at www.saratoga.ca.us.
Signed this 17th day of May 2021 at Saratoga, California.
Mary Furey, Administrative Services Director
In compliance with the Americans with Disabilities Act, if you are a disabled person and need a
disability-related modification or accommodation to participate in this meeting, please contact
the City Clerk’s Office at (408) 868-1216 or by email at debbieb@saratoga.ca.us. Requests must
be made as early as possible and at least one full business day before the start of the meeting.
In accordance with the Ralph M. Brown Act, staff reports and other materials provided to the members
of the legislative body will be made available following removal of State and local shelter in place
orders in the office of the City Clerk at 13777 Fruitvale Avenue, Saratoga, CA 95070.
[28 CFR 35.102-35.104 ADA title II]
CITY OF SARATOGA
ACTION MINUTES
COUNCIL FINANCE COMMITTEE
APRIL 22, 2021
MEETING TIME 3:00 p.m.
LOCATION Virtual Meeting via Zoom
1. CALL TO ORDER
Mayor Zhao started the meeting at 3:00
2. ROLL CALL
A. COUNCIL PRESENT: Mayor Zhao, Vice Mayor Walia, Bernald
B. STAFF PRESENT: Lindsay, Furey, Jaw, Bothelio
C. PUBLIC ATTENDEES: None
3. REPORT ON POSTING OF THE AGENDA
Meeting notice posted April 19, 2021
4. ORAL & WRITTEN COMMUNICATION
None
5. APPROVAL OF PRIOR FINANCE COMMITTEE MEETING MINUTES
March 25, 2021 Meeting Minutes approved
6. OLD BUSINESS
None
7. NEW BUSINESS
A. Use of Hillside Reserve
Action Item: Finance Committee recommendation to Council: Use up to $400,000 of
the Hillside Reserve for emergency repairs on a section of roadway on Pierce Road near
Chalet Clotilde.
B. Budget Study Session
Action Item: none.
8. ADJOURNMENT
Motion to close passed at 3:45pm
3
Memorandum
DATE: May 20, 2021
TO: Finance Committee
FROM: Mary Furey, Administrative Services Director
SUBJECT: Budget Preview Follow-up
This Finance Committee meeting time is programmed to allow for any follow-up items on the May
19th Budget Preview Council presentation from attending Finance Committee members or public
in attendance of this meeting.
4
Memorandum
DATE: May 20, 2021
TO: Finance Committee
FROM: Crystal Bothelio, Assistant City Manager
SUBJECT: Waiver Request for Theater Rental Costs
The Civic Theater has two primary users: West Valley Light Opera and South Bay
Musical Theater Company. West Valley Light Opera has used the facility for rehearsals
and performances since the theater was constructed in 1964. South Bay Musical
Theater Company has been using the theater since 1966. Each group rents the facility
approximately 135 days per year for rehearsals and performances. State and County
regulations to prevent the spread of the novel coronavirus (COVID-19) prohibited
many events and gatherings, particularly those indoors. As a result, the two theater
groups could not hold performances. As COVID-19 regulations begin to relax, the
West Valley Light Opera and South Bay Musical Theater Company are planning to
resume rehearsals and performances in the Civic Theater in fall 2021.
However, both groups are facing financial hurdles and have requested that the City
Council waive rental fees for the performance season that will run September 2021
through July 2022. The request represents a waiver of an estimated $30,000 in rental
fees. The request is being brought before the Finance Committee for recommendation
prior to City Council consideration. Facility and park rental fees are a form of General
Fund revenue in the City’s operating budget.
The two Theater groups have indicated that they plan to continue collecting $2.50
per ticket surcharge. This surcharge is collected on each admission ticket and
remitted to the City and deposited in the Civic Theater Annual Improvements capital
improvement project. Prior to the pandemic, the City collected approximately
$30,000 to $40,000 per year in ticket surcharge revenues. In Fiscal Year 2018/19,
the City collected just over $39,000 in ticket surcharge revenues. Currently, there is
a balance of just over $107,000 that will be used in its entirety for LED lighting
improvements in the Theater.
Money from this capital project is used to fund improvements to the Civic Theater.
Examples include electrical and lighting system upgrades, stage floor maintenance
and replacement, the addition of a screen used during meetings, and installation of
fully accessible seating. The surcharge has helped keep the theater in good operating
condition and offset maintenance expenses resulting from use of the theater.
If the Finance Committee would like to recommend City Council approval of a waiver
of rental fees as requested by the two theater groups, the Finance Committee could
recommend that the City Council direct staff to apply ticket surcharge revenues
collected during the 2021/2022 theater season to the operating budget to recoup lost
rental revenues.
5
April 27, 2021
Dear Council Members, Mr. Lindsay, and Saratoga City Staff,
Over the past sixty years, South Bay Musical Theatre and West Valley Light Opera
have been a mainstay in Saratoga, providing enrichment and entertainment for
the community. Theatrical productions bring communities together, build
empathy, and create civic awareness. In a typical year, we would bring 20,000 arts
patrons to the Civic Theater, providing great benefits to the local establishments.
The pandemic has shuttered our doors. We didn’t just dim the lights, we closed.
Community theater is produced by counting every nickel and dime, stretching
cash, and squeezing each penny. As non-profit companies,our goal is simply to
break even. Since March 2020, South Bay Musical Theatre has relied on the
generosity of our community to cover our single staff member, and our rental
spaces. West Valley Light Opera has relied on donors and their savings.
As we begin to rebuild, we ask the City of Saratoga to consider supporting its
resident theatre arts groups by waiving the theater lease fees during the coming
season, from September 2021 through July 2022.
When the arts thrive, communities thrive. Here’s what a few of our patrons and
Saratoga residents have said about SBMT’s and WVLO’s impact:
-As a resident of Saratoga I have been involved with both SBMT and
WVLO both as a patron and lighting designer. I think theater is a vital
element that makes Saratoga a place my family and I call home for the
last 20 years. I think the city should continue to support both groups as
they restart live theatre in our community. - Ed Hunter
-Thank you and keep up the quality of your productions.We love them
and do tell others about your “hidden gem.” -Beverly L.
-Saratoga has a long history of enjoying and encouraging the arts, and having
SBMT and WVLO as our resident companies continues that tradition. As a
resident of Saratoga, I'm thrilled to have such a professional outfit right here in
town. I can't wait to take my little ones to their first show. - Libby Moore
Schroeder
We ask for the council's support to keep the arts flourishing in Saratoga. Any
savings will make a huge difference for us in this critical season of rebuilding. I
am available to discuss further, at your convenience.
Thank you,
Sara K. Dean,
Executive Director, South Bay Musical Theatre
on behalf of the South Bay Musical Theatre Board of Directors,
the West Valley Light Opera Board of Directors,
and theatre lovers in Saratoga
sdean@southbaymt.com
408.410.1870 6
Memorandum
DATE: May 20, 2021
TO: Finance Committee
FROM: Dennis Jaw, Finance Manager
SUBJECT: Fiscal Year 2021/22 Investment Policy Update
Last year, at the June 17, 2020 Council Meeting, the City Council approved the
standard Investment Policy for FY 2020/21. The FY 2021/22 version presented to
the Finance Committee is the same policy, with a minor change in the glossary which
will be discussed during the meeting.
Staff recommends continuing the currently adopted investment policy for fiscal year
2021/22. However, the Committee can recommend changes before it is brought
before the City Council on June 16, 2021.
7
Attachment A
POLICY TITLE: INVESTMENT POLICY – for Fiscal Year 20210/221
REGULATORY COMPLIANCE: California Government Code Section - 53600 et seq.,
City of Saratoga Municipal Code Section - 2-20.035,
City of Saratoga Investment Policy - Section XVI
POLICY EFFECTIVE DATE: July 1, 20210
AMENDMENTS: Annual adoption
CITY COUNCIL APPROVAL: June 167, 20210
I. POLICY:
It is the policy of the City of Saratoga to invest public funds in a manner which
will provide the maximum security with the highest investment return, while
meeting the daily cash flow demands of the City and conforming to all state
and local statutes governing the investment of public funds.
II. SCOPE:
This investment policy applies to all financial assets of the City of Saratoga.
These funds are accounted for in the City of Saratoga's Comprehensive Annual
Financial Report and include:
A. Funds
1. General Fund
2. Special Revenue Funds
3. Internal Service Funds
4. Capital Project Funds
5. Debt Service Funds
6. Trust and Agency Funds
7. Any new fund, unless specifically exempted
B. Exceptions
1. Deferred Compensation Plans – Investments are directed by the individual
plan participants.
2. Debt Service Funds held by trustees – Investments are placed in
accordance with bond indenture provisions.
3. Notes and Loans – Investments are authorized by separate agreements
approved by City Council.
III. PRUDENCE
Investments shall be made with judgment and care, under circumstances then
prevailing, with prudence, discretion and intelligence not for speculation, but for
8
Attachment A
investments, considering the probable safety of capital as well as the probable
income to be derived.
A. The standard of prudence to be used by investment officials shall be applied
in the context of managing an overall portfolio. Investment officers acting in
accordance with written procedures and this investment policy and exercising
due diligence shall be relieved of personal responsibility for an individual
security's credit risk or market price changes, provided deviations from
expectations are reported in a timely fashion and appropriate action is taken
to control adverse developments.
IV. OBJECTIVES
The primary objectives, in priority order, of the City of Saratoga's investment
activities shall be:
A. Safety
Safety of principal is the foremost objective of the investment program.
Investments of the City of Saratoga shall be undertaken in a manner that
seeks to ensure the preservation of capital in the overall portfolio. The
objectives will be to mitigate credit risk and market risk.
1. Credit risk, defined as the risk of loss due to failure of the issuer of a
security, shall be mitigated by investing only in investment grade
securities and by diversifying the investment portfolio so that potential
losses on individual securities will have a minimal impact on the portfolio.
2. Market risk, defined as market value fluctuations due to overall changes
in the general level of interest rates, shall be mitigated by limiting the
average maturity of the City’s investment portfolio to two years and the
maximum maturity of any one security to five years, and by structuring
the portfolio based on cash flow analysis so as to avoid the need to sell
securities prior to maturity.
B. Liquidity
The City of Saratoga's investment portfolio will remain sufficiently liquid to
enable the City of Saratoga to meet all operating requirements, which might
be reasonably anticipated.
C. Return on Investments
The City of Saratoga's investment portfolio shall be designed with the
objective of attaining a rate of return throughout budgetary and economic
cycles, commensurate with the City of Saratoga's investment risk constraints
and the cash flow characteristics of the portfolio.
9
Attachment A
V. DELEGATION OF AUTHORITY
Authority to manage the City of Saratoga's investment program is derived from
the following: California Government Code Section 53600 et seq. and Saratoga
Municipal Code Section 2-20.035. Management responsibility for the investment
program is hereby delegated to the City Manager who shall be responsible for
supervising all treasury activities of the Administrative Services Director and who
shall establish written procedures for the operation of the investment program
consistent with this investment policy. Procedures should include reference to:
safekeeping, delivery vs. payment, investment accounting, wire transfer
agreements, banking service contracts and collateral/depository agreements.
Such procedures shall include explicit delegations of authority to persons
responsible for investment transactions. No person may engage in investment
transactions except as provided under the terms of this policy and the procedures
established by the City Manager. The City Manager shall be responsible for all
transactions undertaken and shall establish a system of controls to regulate the
activities of subordinate officials.
VI. ETHICS AND CONFLICTS OF INTEREST
Officers and employees involved in the investment process shall refrain from
personal business activity that could conflict with proper execution of the
investment program, or which could impair their ability to make impartial
investment decisions. These officers and employees involved in the investment
process shall disclose to the City Manager any material financial interests in
financial institutions that conduct business with the City. Employees and
investment officials shall refrain from undertaking personal investment
transactions with individuals who conduct business on behalf of the City of
Saratoga.
VII. AUTHORIZED FINANCIAL DEALERS AND INSTITUTIONS
The City Manager will maintain a list of financial institutions authorized to provide
investment services to the City. In addition, a list will also be maintained of
approved security broker/dealers selected by credit worthiness and who are
authorized to provide investment services in the State of California. These may
include "primary" dealers or regional dealers that qualify under Securities &
Exchange Commission Rule 15C3-1 (uniform net capital rule). No public deposit
shall be made except in a qualified public depository as established by state laws.
All financial institutions and broker/dealers who desire to become qualified
bidders for investment transactions must supply the City Manager with the
following: personal interview, firm description and audited financial statements,
proof of National Association of Securities Dealers (NASD) certification, proof of
State of California registration, completed broker/dealer questionnaire and
certification of having read the City of Saratoga's investment policy and
10
Attachment A
applicable depository contracts. An annual review of the financial condition and
registrations of qualified bidders will be conducted by the City Manager.
A current audited financial statement is required to be on file for each financial
institution and broker/dealer with which the City of Saratoga invests prior to any
transaction.
VIII. AUTHORIZED AND SUITABLE INVESTMENTS
The City of Saratoga is empowered by Government Code Section 53601, and
further limited by this investment policy, to invest in the following types of
securities:
Type Guarantee Limits
Term to
Maturity
LAIF State Fund $40,000,000 On Demand
U.S. Treasury Bills U.S.
Treasury
No Limit 1 Year
U.S. Treasury Notes U.S.
Treasury
No Limit 5 Years
U.S. Govt. Agency Issues
(e.g. FNMA, GNMA)
Federal
Agencies
No Limit 5 Years
Certificates of Deposit
(California Bank or Savings
& Loan Companies)
FDIC/FSLIC
and
Collateral
20% portfolio per
institution; 30%
total portfolio
3 Years
Negotiable Certificates of
Deposit
Issuing
Institution
20% portfolio per
institution; 30%
total portfolio
5 Years
Investment Grade
Obligations of California, or
Local Governments, or
Public Agencies
Public
Entity
20% portfolio per
institution; 30%
total portfolio
5 Years
Money Market Mutual
Funds
Fund 10% portfolio per
institution; 20%
total portfolio
On Demand
Passbook Savings Account
and Demand Deposit
Issuing
Bank
Minimum necessary
for current cash flow
On Demand
11
Attachment A
The City shall not engage in leveraged investing, such as margin accounts, or
any form of borrowing for the purpose of investing.
The City shall not invest in instruments whose principal and interest could be at
risk contrary to Section IV.A of this policy. Examples of these instruments are
options and future contracts. Additionally, the City shall not invest in
"derivatives".
See Glossary for description of above securities.
IX. COLLATERALIZATION
Collateralization will be required on certificates of deposit and other deposit-type
securities. In order to anticipate market changes and provide a level of security
for all funds, the collateralization level will be 110% of market value of principal
and accrued interest, in accordance with California Government Code Section
53651 and 53652.
The City of Saratoga chooses to limit collateral to those listed in Section VIII.
Collateral will always be held by an independent third party with whom the entity
has a current custodial agreement. A clearly marked evidence of ownership
(safekeeping receipt) must be supplied to the City of Saratoga and retained.
The right of collateral substitution may be granted.
X. SAFEKEEPING AND CUSTODY
All security transactions entered into by the City of Saratoga shall be conducted
on a delivery-versus-payment (DVP) basis. Securities will be held by a third -
party custodian, in the City of Saratoga's name and control, designated by the
City Manager and evidenced by safekeeping receipts.
XI. DIVERSIFICATION
The City of Saratoga will diversify its investments by security type and institution.
Limits are provided for in Section VIII. With the exception of U.S. Treasury
securities and authorized pools, no more than 30% of the City of Saratoga's total
investment portfolio will be invested in a single security type or 20% with a single
financial institution.
XII. MAXIMUM MATURITIES
To the extent possible, the City of Saratoga will attempt to match its investments
with anticipated cash flow requirements. Unless matched to a specific cash flow,
12
Attachment A
the City of Saratoga will not directly invest in securities maturing more than five
(5) years from the date of purchase. However, the City of Saratoga may
collateralize its certificates of deposits using longer-dated investments not to
exceed ten (10) years to maturity.
Debt reserve funds may be invested in securities exceeding five (5) years if the
maturities of such investments coincide as nearly as practicable with the
expected use of the funds.
The City of Saratoga will retain a general operating reserve adopted annually by
the City Council. The amount of active deposits and inactive investments with
maturity of one year or less shall always be equal to or greater than the required
general operating reserve. The report discussed in Section XV shall demonstrate
this policy is in effect.
XIII. INTERNAL CONTROL
The City of Saratoga is responsible for establishing and maintaining an internal
control structure designed to ensure that the assets of the City are protected
from loss, theft or misuse. The internal control structure shall be designed to
provide reasonable assurance that these objectives are met. The concept of
reasonable assurance recognizes that (1 the cost of a control should not exceed
the benefits likely to be derived, and (2 the valuation of costs and benefits
requires estimates and judgments by the City Manager and staff.
Accordingly, the City shall establish an annual process of independent review by
an external auditor. This review will provide internal control by assuring
compliance with policies and procedures. The internal controls shall address the
following points:
• Control of collusion.
• Separation of transaction authority from accounting and recordkeeping.
• Custodial safekeeping.
• Avoidance of physical delivery of securities.
• Clear delegation of authority to subordinate staff members.
• Written confirmation of transactions for investments and wire transfers.
• Development of a wire transfer agreement with the lead bank and third-
party custodian.
XIV. PERFORMANCE STANDARDS
The investment portfolio shall be designed with the objective of obtaining a
reasonable rate of return throughout budgetary and economic cycles,
commensurate with investment risk constraints and cash flow needs.
13
Attachment A
A. Market Yield (Benchmark)
The City’s investment strategy is passive. Given this strategy, the benchmark
used by the City of Saratoga to determine whether market yields are being
achieved shall be the one-year U.S. Treasury Bill.
XV. REPORTING
The City Manager is charged with the responsibility of including a market report
on investment activity and returns in the City of Saratoga's Cash and Investment
Report. The report will be in compliance with California Government Code
Section 53646.
XVI. INVESTMENT POLICY ADOPTION
The City of Saratoga's Investment Policy shall be reviewed and adopted by
the City Council annually.
14
Attachment A
GLOSSARY
Asset Allocation
Refers to the division of holdings in a portfolio by asset class. A common strategy is
to hold assets that perform or react differently with the objective to limit or reduce risk.
Benchmark
A point of reference that serves as a standard for performance to be measured against.
Broker
A person or entity registered with the National Association of Security Dealers and
provides investment services and/or execution of services in exchange for
compensation.
Comprehensive Annual Financial Report (CAFR)
The City’s annual financial statements and footnotes, along with an executive summary,
financial outlook, statistical information, and other financial information.
Certificates of Deposit
Commonly called time deposit certificates or time deposit open accounts. These are
nonnegotiable.
Collateralization
Process by which a borrower pledges securities, property or other deposits for the
purpose of securing the repayment of a loan and/or security. Also refers to securities
pledged by a bank to secure deposits of public monies.
Custodian
A bank or other financial institution that keeps custody of stock certificates and other
assets.
Dealer
Someone who acts as a principal in all transactions, including buying and selling from
his/her own account.
Delivery vs. Payment
The preferred method of delivering securities, with an exchange of money for the
securities.
Demand Deposits
A deposit of monies which are payable by the bank upon demand of the depositor.
15
Attachment A
Derivative
Securities that are based on, or derived from, some underlying asset, reference date,
or index.
Dividend
A share of the income divided up amongst shareholders of a company.
FDIC
Federal Depository Insurance Corporation
FSLIC
Federal Savings and Loans Insurance Corporation
Index
A tool used to statistically measure the progress of a group of assets that share
characteristics. This can include a group of stocks, a group of bonds, or a group of
other assets.
Internal Rate of Return (IRR)
The discount rate at which the present value of future cash flows of an investment
equals the cost of the investment. It is determined when the net present value of the
cash outflows (the cost of the investment) and the cash inflows (returns on the
investment) equal zero, the rate of discount being used is the IRR
Liquidity
An asset that can easily and rapidly be converted into cash without significant loss of
value.
Local Agency Investment Fund (LAIF)
The LAIF was established by the State of California to enable treasurers to place funds
in a pool for investments. There is a limitation of $30 million per agency subject to a
maximum of ten (10) total transactions per month. The City uses this fund when
market interest rates are declining as well as for short-term investments and liquidity.
Money market mutual funds
Mutual funds that invest in short term securities and strive to maintain a share price
of $1.
Negotiable certificates of deposit
A bank deposit issued in negotiable form (i.e., one that can be bought or sold in the
open market).
Passive Investment Strategy
An approach to managing the investment portfolio, which entails a “buy and hold”
strategy in which investments are generally held until they mature.
16
Attachment A
Portfolio
Combined holding of more than one stock, bond, commodity, cash equivalent or other
asset. The purpose of a portfolio is to reduce risk through diversification.
Primary Dealer
A group of government securities dealers that submit daily reports of market activity
and security positions held to the Federal Reserve Bank of New York and are subject
to its oversight.
Rate of Return
The total income received over a period of time, including interest income, accretion
of discount, amortization of premium, and change of market value; usually expressed
as a percentage or in decimal format.
Regional Dealer
A dealer who is not a primary dealer, and therefore not monitored by the Federal
Reserve, but is registered with the Securities and Exchange Commission.
Safekeeping
Offers storage and protection of assets provided by an institution serving as an agent
U.S. Treasury Bills
Commonly referred to as T-Bills these are short-term marketable securities sold as
obligations of the U.S. Government. They are offered in three-month, six-month and
one-year maturities. T-Bills do not accrue interest but are sold at a discount to pay face
value at maturity.
U.S. Treasury Notes
These are marketable, interest-bearing securities sold as obligations of the U.S.
Government with original maturities of one to ten years. Interest is paid semi-annually.
U.S. Government Agency Issues
Include securities, which fall into this category. Issues, which are unconditionally,
backed by the full faith and credit of the United States, e.g. Small Business
Administration Loans.
Yield
The yield refers to the interest on a bond or the dividends paid on a stock or mutual
fund. Yield also includes expected capital gain or loss.
17
Memorandum
DATE: May 20, 2021
TO: Finance Committee
FROM: Dennis Jaw, Finance Manager
SUBJECT: Fiscal Year 2021/22 Gann Appropriation Limit
To comply with Proposition 4, commonly known as the Gann Spending Limitation
Initiative, the City Council adopts an annual resolution establishing an appropriations
limit for the following fiscal year using population and per capita personal income
data provided by the State of California’s Department of Finance. Each year’s limit
is based on the amount of tax proceeds that were authorized to be spent in fiscal
year 1978/79, with inflationary adjustments made annually to reflect increases in
population and the cost of living.
The California Department of Finance issues a letter with the annual percentage
change in California’s per capita personal income and the percentage change in
population in both the City and the County to jurisdictions on or about May 1st each
year. Either the City or County’s population factor may be used in the appropriation
calculation together with the California per capita Personal Income change factor.
As shown in the schedule below, the County’s percentage increase in population
change is combined with the State’s change in per capita income to determine the
City’s appropriation factor. The current year’s appropriation limit is then increased
by this appropriation factor to calculate the Gann Appropriation Limit for the following
fiscal year. The calculation for the FY 2021/22 limit is as follows:
Summary
The Gann Appropriation Limit establishes the maximum amount of tax revenue
proceeds the City may appropriate in the following fiscal year. The City’s proposed
budget for FY 2021/22 anticipates $18,138,300 in Gann designated tax revenues,
which is $32,540,774 less than the appropriation limit of $50,679,074; therefore, the
City’s budgeted appropriation is in compliance.
Staff will bring a resolution to adopt this limit on the June 16, 2021 City Council
meeting.
% Increase in California 2020/21 2021/22
County Per Capita Appropriation Appropriation Appropriation
Population Income Δ Factor Limit Limit
0.9944 X 1.0573 =1.0514 X 48,202,474$ =50,679,074$
FY 2021/22 Calculation
18
Attachment A
For Beginning County City California Ending %
YE Population Population Per Capita Limit
June 30 Limit Factor Factor Income Δ Limit Increase
2013 31,907,666 1.0124 1.0070 1.0377 33,521,156 5.06%
2014 33,521,156 1.0157 1.0129 1.0512 35,790,667 6.77%
2015 35,790,667 1.0150 1.0066 0.9977 36,243,974 1.27%
2016 36,243,974 1.0113 1.0000 1.0382 38,053,696 4.99%
2017 38,053,696 1.0126 1.0053 1.0537 40,602,404 6.70%
2018 40,602,404 1.0081 1.0023 1.0369 42,441,648 4.53%
2019 42,441,648 1.0099 1.0052 1.0367 44,434,849 4.70%
2020 44,434,849 1.0033 1.0003 1.0385 46,297,871 4.19%
2021 46,297,871 1.0037 1.0009 1.0373 48,202,474 4.11%
2022 48,202,474 0.9944 0.9901 1.0573 50,679,074 5.14%
% Increase in California 2020/21 2021/22
County Per Capita Appropriation Appropriation Appropriation
Population Income Δ Factor Limit Limit
0.9944 X 1.0573 =1.0514 X 48,202,474$ =50,679,074$
2021/22 2021/22 Percentage
Tax Appropriation of
Revenues Limit Limit
18,138,300 /50,679,074$ =36%
APPROPRIATION LIMIT FACTORS
FY 2021/22 Calculation
Percentage of Appropriation
AppropriationAppropriation
19