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12-31-2001district #1ANNUAL FINANCIAL REPORT OF THE GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 NINE MONTHS ENDED DECEMBER 31, 2001 J L_ ' TABLE OF CONTENTS PAGE NUMBER ' INDEPENDENT AUDITOR'S REPORT 1 NOTE: This is the final audit of the District. 1 GENERAL PURPOSE FINANCIAL STATEMENTS COMBINED BALANCE SHEET -ALL GOVERNMENTAL ' FUND TYPES AND ACCOUNT GROUPS 2 COMBINED STATEMENT OF REVENUES, EXPENDITURES, AND CHANGES IN FUND BALANCES - ALL GOVERNMENTAL FUND TYPES 3 ' STATEMENT OF REVENUES, EXPENDITURES, AND CHANGES IN FUND BALANCE - BUDGET AND ACTUAL - GENERAL FUND 4 NOTES TO FINANCIAL STATEMENTS 5-13 t SUPPLEMENTAL INFORMATION 'SUPPLEMENTAL SCHEDULES INC i MD WITHIN THIS REPORT C. AUDITOR'S REPORT ON SUPPLEMENTAL SCHEDULES 14 D. NOTES REQUIRED BY THE WATER DISTRICT ACCOUNTING MANUAL 5 E. SERVICES AND RATES 15 ' F. SCHEDULE OF GENERAL FUND EXPENDITURES 17 G. SCHEDULE OF TEMPORARY INVESTMENTS 18 H. ANALYSIS OF TAXES LEVIED AND RECEIVABLE 19 I. ANALYSIS OF CHANGES IN GENERAL FIXED ASSETS 21 ' J. GENERAL LONG -TERM DEBT SERVICE REQUIREMENTS BY YEARS 22 K. ANALYSIS OF CHANGES IN GENERAL LONG -TERM DEBT 23 ' L. COMPARATIVE STATEMENT OF REVENUES AND EXPENDITURES, GENERAL FUND, AND DEBT SERVICE FUND - FOUR YEARS AND NINE MONTHS ENDED DECEMBER 31, 2001 24 ' M. INSURANCE COVERAGE 25 N. BOARD MEMBERS, KEY ADMINISTRATIVE PERSONNEL, ' AND CONSULTANTS 26 NOTE: This is the final audit of the District. 1 I U 1 O LJ CI To zo �or CERTIFIED PUBLIC ACCOUNTANT City of Schertz Guadco Municipal Utility District No.1 Guadalupe and Comal Counties, Texas I have audited the accompanying general purpose financial statements of Guadco Municipal Utility District No. 1 as of December 31, 2001, and for the nine months then ended as listed in the table of contents. These general purpose financial statements are the responsibility of the Guadco Municipal Utility District No.1 management. My responsibility is to express an opinion on these financial statements based on my audit. conducted my audit in accordance with generally accepted auditing standards and generally accepted government auditing standards accepted in the United States of America. Those standards require that I plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. I believe that my audit provides a reasonable basis for my opinion. ' In my opinion, the general purpose financial statements referred to above present fairly, in all material respects, the financial position of Guadco Municipal Utility District No. 1 as of December 31, 2001, and the results of its operations and changes in fund balances for the nine months then ended in conformity with generally accepted accounting principles accepted in th ited States of America. y1n4 tit ' J e 6, 2002 ''I I ' 352 Landa St. • New Braunfels, TX 78130 830 - 625 -6073 830 - 625 -8225 FAX e -mall: jimr @the - cia.net ' Member of American Institute of Certified Public Accountants 1 1 ACCOUNT GROUPS GENERAL GENERAL FIXED LONG -TERM ASSETS DEBT TOTALS (MEMORANDUM ONLY) 12/31/01 3/31101 358,488 72,006 - 326,725 56,799 18,400 3,156 50,608 - 3,865 - 295 9,542 - 3,783,344 - 3,783,344 3,783,344 - 215,000 215,000 383,811 - - 106,189 3,783,344 215,000 4,426,329 4,745,243 - 2,247 6,440 - - 41,550 41,550 - - 52,160 52,085 - - 9,542 - - - 20,428 18,400 - 215,000 215,000 490,000 - 215,000 340,927 608,475 3,783,344 - 3,783,344 3,783,344 - 330,755 387,676 - (28,697) (34,252) 3,783,344 4,085,402 4,136,768 3,783,344 215,000 4,426,329 4,745,243 2 I H t _l I 1 H GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 COMBINED STATEMENT OF REVENUES, EXPENDITURES, AND CHANGES IN FUND BALANCES -ALL GOVERNMENTAL FUND TYPES NINE MONTHS ENDED DECEMBER 31, 2001 REVENUES Property Taxes Water Service Sewer Service Penalty and Interest Standby & Tap Connection Fees Interest on Time Deposits Total Revenues Debt Service Principal Retirement Interest and Fiscal Charges Purchase Water and Sewer Services Professional Fees Director Fees Contracted Services Utilities Materials and Supplies Repairs and Maintenance Tax Collection Services Insurance Other Expenditures Capital Expenditures Total Expenditures Excess of Revenues Over (Under) Expenditures mug m • H Transfers FUND BALANCES AT END OF YEAR TOTALS (MEMORANDUM ONLY) GOVERNMENTAL FUND TYPES Nine Months DEBT CAPITAL Ended GENERAL SERVICE PROJECTS 12/31/01 2001 36,298 222,485 - 258,783 339,943 191,634 - - 191,634 249,825 88,939 - - 88,939 119,608 579 2,564 - 3,143 21,942 4,200 - - 4,200 4,210 766 7,081 - 7,847 12,587 322,416 232,130 - 554,546 748,115 5,555 275,000 - 275,000 260,000 - 11,515 - 11,515 29,140 182,193 - - 182,193 165,759 7,130 - - 7,130 6,883 6,000 - - 6,000 5,000 64,850 - - 64,850 83,120 9,837 - - 9,837 11,011 1,419 1,419 2,782 14,505 - - 14,505 27,781 - 2,536 - 2,536 8,229 4,394 4,394 3,416 938 - - 938 2,939 25,595 - - 25,595 - 316,861 289,051 - 605,912 606,060 5,555 (56,921) (51,366) 142,055 (34,252) 387,676 353,424 211,369 (28,697) 330,755 302,058 353,424 The accompanying notes are an integral part of these financial statements. 3 LJ I 1 C n H U E n GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 STATEMENT OF REVENUES, EXPENDITURES, AND CHANGES IN FUND BALANCE - BUDGET AND ACTUAL - GENERAL FUND NINE MONTHS ENDED DECEMBER 21. 2001 TRANSFERS - FUND BALANCE AT END OF YEAR (134,545) (28,697) 105,848 The accompanying notes are an integral part of these financial statements. 1 4 GENERALFUND VARIANCE - FAVORABLE BUDGET ACTUAL (UNFAVORABLE) REVENUES Property Taxes 37,700 36,298 (1,402) Water Service 142,650 191,634 48,984 Sewer Service 63,000 88,939 25,939 Penalty and Interest 450 579 129 Standby & Tap Connection Fees 33,000 4,200 (28,800) Interest on Time Deposits 4,500 766 (3,734) Total Revenues 281,300 322,416 41,116 EXPENDITURES Purchase Water 162,000 99,936 62,064 Water Maintenance and Repair 9,000 11,156 (2,156) Capital Outlay 20,750 25,595 (4,845) Electric Utilities - 9,837 (9,837) Sewer Treatment 117,000 82,257 34,743 Director Fees 4,500 6,000 (1,500) Legal Fees - 330 (330) Audit Fees 6,800 6,800 - Bookkeeping Fees 3,150 3,500 (350) Administration 10,800 12,000 (1,200) Utility Operation 36,000 49,350 (13,350) Legal Notices 225 303 (78) Telephone 540 469 71 Insurance and Bonds 4,000 4,394 (394) Printing and Office Supplies 1,650 1,419 231 Repairs 4,500 3,349 1,151 Miscellaneous 678 166 512 Total Expenditures 381,593 316,861 64,732 Excess of Revenues Over (Under) Expenditures (100,293) 5,555 105,848 FUND BALANCE AT BEGINNING OF YEAR (34,252) (34,252) - TRANSFERS - FUND BALANCE AT END OF YEAR (134,545) (28,697) 105,848 The accompanying notes are an integral part of these financial statements. 1 4 ' GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 NOTES TO FINANCIAL STATEMENTS ' December 31, 2001 NOTE 1: SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES ' A. Reporting Entity All significant activities and groups on which the GUADCO Municipal Utility District No.1 (District) exercises oversight responsibility have been included in the general purpose ' financial statements, for the fiscal year ended. The District is located in Guadalupe and Corral counties in Texas. The following criteria regarding manifestation of oversight were considered by the District in its evaluation of District organizations and activities: ' Financial Interdependency - The District is responsible for its debts and entitled to surpluses. No separate agency receives a financial benefit nor imposes a ' financial burden on the District. Election of the Governing Authority - The locally elected Board of Directors is exclusively responsible for all decisions and accountable for the decisions it makes. Designation of Management - The Board of Directors hires the management company. The activities under the purview of management are within the scope of the reporting entity and management is accountable to the Board of Directors ' for the activities being managed. Abilify to Significantly Influence Operations - The Board of Directors has the ' statutory authority under provision of state law, and specifically the Texas Water Code, to significantly influence operations. This authority includes, but is not limited to, adoption of the budget, control over assets, including facilities and properties, short -term borrowings, signing contracts, and developing programs ' to be provided by the District. Accountability of Fiscal Matters - The responsibility and accountability over all ' funds is vested in the Districts management. Purchase and sales of water are provided through an interconnect shared by Guadco ' Municipal Utility District No.1 and another district, Guadco Municipal Utility District No. 2. There is no oversight relationship among any of the previously described entities, as each is controlled and directed by its own independently elected governing body. ' B. Description of Funds The District has established several funds, in conformance with generally accepted ' accounting principles, for the purpose of accounting for transactions in compliance with legal requirements. Funds and account groups in use by the District in accounting for its financial activities are as follows: ' Governmental Funds ' General Fund - To account for all of the general water and sewer revenue of the District and other revenues not specifically levied or collected for other District funds, and for expenditures related to the maintenance of operations. E GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 NOTES TO FINANCIAL STATEMENTS ' December 31, 2001 NOTE 1, SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (CONTINUED) ' B. Description of Funds (Continued) Governmental Funds Debt Service Funds - To account for the source and disposition of funds for paying interest and principal on general long -term debt and fiscal agents expenses. Capital Project Funds - To account for the acquisition of capital facilities being financed from bond proceeds. Account Group ' General Fixed Assets Account - To account for property, plant and equipment of the District. General Long -Term Debt Accounts - To account for the unmatured principal of outstanding ' bonds. C. Basis of Accounting The District maintains its accounting records on the modified accrual basis. The modified accrual basis recognized revenues that are suspectable to accrual when measurable and available, and recognizes expenditures when incurred including expenses that normally ' qualify as prepaid expenses. Measurable means the amount of the transaction can be determined, and available means collectible within the current period or soon enough thereafter to be used to pay liabilities of the current period. Property taxes remaining ' uncollected at year end are reported as deferred revenues, since they are not considered to be available. D. Cash ' Cash includes amounts in demand deposits, and interest - bearing deposits held by the District. Cash in excess of current requirements is invested in various interest - bearing instruments and is disclosed as part of investments. These deposits and investments were authorized by ' legal provisions. E. Investments ' All investments during the fiscal year consisted of short -term U.S. Treasury Bills held in the District's name and carried at cost. It is the policy and practice of the District to hold all Treasury bills to maturity. F. Receivables All receivables are reported at gross values. There is no estimate for uncollectible amounts ' in the customer water, sewer, and stand -by fee accounts as the deposits have proven to be adequate to cover liabilities except in non - material amounts. ' G. Interest Receivable Interest on investments is recorded as revenue in the year the interest is earned and is available to pay liabilities of the current period. 1 GUADCO MUNICIPAL DISTRICT NO. 1 NOTES TO FINANCIAL STATEMENTS 1 December 31, 2001 NOTE 1: SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (CONTINUED) 1 H. Propedy. Plant and Equipment Property, plant, and equipment, including infrastructure assets, are recorded at cost when 1 acquired. General fixed assets are recorded as expenditures in the general fund and capital projects fund at the time of purchase and are capitalized in the General Fixed Asset Account Group. No depreciation is provided for on the general fixed assets of the 1 District. Costs related to repairs and maintenance are recorded as expenditures. Significant 1 renovations and improvements are capitalized when incurred. Interest costs are not capitalized on projects financed by government grants, third -party donations, or on assets that will be reported in the General Fixed Assets Account Group. 1 I. Employee Salaries. Taxes and Pension Plans The District has engaged a municipality to oversee the monthly operations in a manner 1 dictated by the Board of Directors. Thus, the District has no employees and is not required to pay salaries, payroll taxes, or amounts to pension plans. 1 J udgets The District follows these procedures in establishing the budgetary data reflected in the financial statements: 1 1. Formal budgetary integration is employed as a management control service during the year for the general fund and is presented to directors monthly in the internal accounting information. 1 2. The manager prepares the budget for Board review usually at the December meeting. The budget is discussed, any changes are made, and the final 1 budget is presented at the March meeting. 3. The Board approved total budget appropriations. 1 4. Any unused appropriations in the budget lapse at the end of the fiscal year. 1 K. Comparative Data Comparative totals for the prior year have been presented in the accompanying financial statements in order to provide an understanding of changes in the Districts financial position 1 and operations. However, comparative data by fund type has not been presented in each of the statements since their inclusion would make the statements unduly complex and difficult to read. 1 L. Total Columns on Combined Statements Total columns on the combined statements are captioned Memorandum Only to indicate 1 that they are presented only to facilitate financial analysis. Data in these columns does not present financial position, results of operations, or changes in financial position in conformity with generally accepted accounting principles. Neither is such data comparable ' to a consolidation. Interfund eliminations have not been made in the aggregation of this data. H I F 1 1 1 r 1 GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 NOTES TO FINANCIAL STATEMENTS December 31, 2001 M. Use of Estimates The preparation of financial statements in conformity with generally accepted accounting principles require management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the date of financial statements and the reported amounts of revenue and expenses during the reporting period. Actual results could differ from those estimates. NOTE 2: STEWARDSHIP. COMPLIANCE, AND ACCOUNTABILITY A. Compliance with Bond Covenants The annual debt service requirements at December 31, 2001, of all bonds is $11,515, and the balance of the interest and sinking fund and all investment at December 31, 2001, is $303,926. The District met or exceeded the funding requirements of all bonds issues on a timely basis. Expenditures and resources of the interest and sinking fund were all of an authorized nature. B. Deposits with Financial Institutions All investments, demand deposits, and savings of the District were sufficiently covered through either FDIC insurance amounts, collateralized deposits in the District's name, held by other banks, or by nature of the investment (purchase of U.S. Treasury Bills.) Throughout the fiscal year, the District's only investments were in the form of U.S. Treasury Bills. The District records all interest revenue related to the investment activities in the respective fund in which they were earned. Deposits At December 31, 2001, the bank balance of the District's deposits was $358,488. This entire amount was covered by $100,000 federal depository insurance and collateral deposits held in the District's name. The collateral for the District's deposits is categorized to give an indication of the level risk assumed by the District at year end. Category 1 includes deposits that are insured, registered or for which the securities are held by the District or its agent in the District's name. Category 2 includes uninsured and unregistered deposits for which the securities are held by the counter party's trust department or agent, but not in the District's name. Category 3 includes uninsured and unregistered deposits for which the securities are held by department or agent, but not in the District's name. All deposits are Category 1. C H U U n H U U U 1 D C' 11 GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 NOTES TO FINANCIAL STATEMENTS December 31, 2001 NOTE 2: STEWARDSHIP. COMPLIANCE. AND ACCOUNTABILITY (CONTINUED The District is allowed to invest in (1) obligations of the United States or its agencies and instrumentalities; (2) direct obligations of the State of Texas or its agencies; (3) other obligations, the principal of and interest on which are unconditionally guaranteed or insured by the State of Texas or the United States,; (4) obligations of states, agencies, counties, cities, and other political subdivisions of any state having been rated as to investment quality by a nationally recognized investment rating firm and having received a rating of not less than AA or its equivalent; (5) certificates of deposits issued by state and national banks domiciled in Texas that are guaranteed or insured by the Federal Deposit Insurance Corporation or its successor, or secured by obligations mentioned above; and (6) fully collateralized direct repurchase agreements having a defined termination date. For fiscal year 2001, the District invested only in the U. S. Treasury bills and notes. The District records all interest revenue related to investment activities in the respective funds in which they are earned. The District's investments are categorized to give an indication of level of risk assumed by the District at year end. Category 1 includes investments that are insured or registered or for which the securities are held by the District or its agent in the District's name. Category 2 includes uninsured and unregistered investments for which the securities are held by the counter party's trust department or agent in the District's name. Category 3 includes uninsured and unregistered investments for which the securities are held by the counter party's trust department or agent, but not in the District's name. Investments are stated at cost, and all investment activities are conducted through the depository. During the nine months ended December 31, 2001, the District did not invest through any security brokers or dealers. Treasury bills are bought and held at the depository bank in safekeeping. NOTE 3: CREATION OF DISTRICT Guadco Municipal Utility District No. 1 was created by an order of the Texas Water Rights Commission on October 28, 1975, and confirmed by the electorate of Guadco Municipal Utility District No. 1 at a confirmation election held on December 17, 1975, The District is operating pursuant to the provisions of Chapter 54, Texas Water Code, as amended. The Board of Directors, consisting of five elected property owners, held its first meeting on December 22, 1975, and the first bonds were sold March 1, 1977. ' RANGE OF GENERAL GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 INTEREST NOTES TO FINANCIAL STATEMENTS ' MATURITY December 31, 2001 DEBT MATURITIES MATURITIES NOTE 4: INT RF ND RECEIVABLES AND PAYABLES The following is a summary of amounts due from and due to other funds at year end: DUE FROM DUE TO Unlimited Tax and General Fund ' Debt Service Fund 9,542 Capital Projects Fund - 2002 Capital Projects Fund 215,000 215,000 General Fund Debt Service Fund ' General Fund - 9,542 TOTAL ALL FUNDS 9,542 9,542 NOTE 5: GENERAL LONG -TERM DEBT The following is a summary of changes in general long -term debt: ' TAX AND REVENUE BONDS SERIES 1999 Bonds Payable at April 1, 2001 490,000 Less Bonds Retired 275,000 L n h k l� I BONDS PAYABLE AT December 31, 2001 215,000 At December 31, 2001, the Districts long -term debt consisted of: A schedule of bond maturities for the next five (5) years is as follows ENDING Mar 2002 2003 Total Principal Interest Total 10 TAX AND REVENUE BONDS SERIES 1999 $ 11,515 225,105 $ 236,620 $ 215,000 21,620 $ 236,620 RANGE OF GENERAL INTEREST LONG -TERM CURRENT LONG -TERM MATURITY RATES DEBT MATURITIES MATURITIES Water Works and Sewer System Combination Unlimited Tax and Serially Revenue Refunding through Bonds Series 1999 2002 4.70% 215,000 215,000 A schedule of bond maturities for the next five (5) years is as follows ENDING Mar 2002 2003 Total Principal Interest Total 10 TAX AND REVENUE BONDS SERIES 1999 $ 11,515 225,105 $ 236,620 $ 215,000 21,620 $ 236,620 ' GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 NOTES TO FINANCIAL STATEMENTS ' December 31, 2001 ' NOTE 5: GENERAL LONG -TERM DEBT (CONTINUED) Tax and revenue bonds authorized and unissued as of December 31, 2001 amounted to $1,280,000. The bonds are payable from the proceeds of an ad valorem tax levied upon all property subject to taxation within the District, without limitation as to rate or amount, and are further payable from and secured by a lien on the pledge of the net revenues to be received from the operation of the ' District's waterworks and sanitary sewer system. During June 1999 the Series 1999 Revenue Bonds were approved and sold in the aggregate ' amount of $750,000 to refund the Series 1977 and 1978 Revenue Bonds. The District refunded the bonds to reduce its total debt service payments over future years by $100,000. ' NOTE 6: WATER AND SEWER SERVICE RATES The Guadco Municipal Utility District No. 1 has established the following water and sewer service rates for residential or multi- family customers: ' FOR FISCAL YEAR 2000 -2001 Water Service Only, 5/8" Line First 3,000 Gallons of Water Used - Minimum Bill 21.58 Each 1,000 Gallons of Water Used from 3,001 to 18,000 1.85 Each 1,000 Gallons of Water Used from 18,001 to 30,000 2.93 Each 1,000 Gallons of Water Used from 30,001 to 45,000 4.01 Each 1,000 Gallons of Water Used from 45,001 to 60,000 5.21 ' Each 1,000 Gallons of Water Used from 60,001 0.32 Sewer Service Only ' First 5,OD0 Gallons of Water Used - Minimum Bill 13.85 Each 1,000 Gallons of Water Used Thereafter 0.55 ' Deposits Refundable Deposits - Owner 75.00 Refundable Deposits - Renter 150.00 Tap Fees Standard Home 2,000.00 There was 709 metered water and sewer customers at December 31, 2001. ' The rates above have not been sufficient to fund operating costs. At a regular meeting held on August 21, 2001, a maintenance tax of $.06 per $100 valuation was approved to help defray part of the cost of operations. This levy provided the District $36,298 during the ' fiscal year. ' 11 k I P P GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 NOTES TO FINANCIAL STATEMENTS December 31, 2001 NOTE 7: CHANGES IN GENERAL FIXED ASSETS A summary of changes in general fixed assets follows: Land Water System Sewage System Drainage System Engineering Fees Organizational Costs TOTAL BALANCE NET BALANCE APRIL 1, ADDITIONS December3l, 2001 (DELETIONS) 2001 31,176 - 31,176 1,171,861 - 1,171,861 1,083,416 - 1,083,416 541,945 - 541,945 301,433 301,433 653,503 653,503 3,783,334 3,783,334 The District, in conformance with requirements of the Texas Natural Resource Conservation Commission, capitalized and charged to organization cost for the creation period all costs incurred in the creation of the District allowed by statue. The Texas Natural Resource Conservation Commission also requires capitalization as organizational costs for the construction period all costs incurred in the issued and sale of bonds, bond interest and amortized bond premium and discount, losses on sales of investments, accrued interest on investments purchased, attorney fees, and some administrative expenses until construction and acceptance or use of the first revenue producing facility has occurred. Investment interest earnings and gains on sales of investments were capitalized as a reduction to organizational costs for the construction period. NOTE 8: PROPERTY TAXES Property taxes attach as an enforceable lien on property as of January 1, are due October 1 and become delinquent on February 1. Property taxes for the District are not limited as to rate or amount. The Districts current tax rate is $.43 per $100 of assessed valuation and assessed valuation is approximately 100% of actual values. Of the $.43 per $100 of assessed valuation, $.37 is designated for debt service and $.06 is designated for maintenance. ' NOTE 9: FUND EQUITY RESERVES AND TRANSFERS FROM CAPITAL PRO TS FUND The District records one (1) general type of reserve. The one (1) type is used to indicate that a portion of the fund equity is legally restricted for a specific future use. H I F Following is a list of all reserves used by the District and a description of each: Reserved for Debt Service An account used to indicate that certain assets are legally restricted by the bond indenture to be used for specific purposes. Reserved for Capital Projects An account used to indicate that certain assets are generally legally restricted to be used for specific purposes. 12 ' GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 NOTES TO FINANCIAL STATEMENTS ' December 31, 2001 NOTE 10: EXCESS OF EXPENDITURES OVER REVENUES ' During the current fiscal year the debt service fund incurred expenditures in excess of revenues earned. This excess is expected to continue for the next few years until either property values increase or a tax rate increase is approved. NOTE 11: COMMITMENTS AND CONTINGENCIES The District purchases its water supply form the City of Schertz under a contract dated May 25, ' 1975. The contract is for a term of 30 years, at which time it is renewable for a maximum of 15 years. ' NOTE 12: ANNEXATION BY CITY OF SCHERTZ Effective January 1, 2002 the City of Schertz annexed the District and assumed all of the assets and liabilities of the District. h h I h U 13 F I 1 1 LJ 0 I_ J 0 1 I GUADCO MUNICIPAL DISTRICT NO.1 SUPPLEMENT SCHEDULES INCLUDED WITHIN THIS REPORT ' NINE MONTHS ENDED DECEMBER 31, 2001 PAGE NUMBER 14 5 15 17 18 19 21 22 23 24 25 26 YES NO ' X C. INDEPENDENT AUDITOR'S REPORT ON SUPPLEMENTAL SCHEDULES ' X D. NOTES REQUIRED BY THE WATER DISTRICT ACCOUNTING MANUAL -ALL NOTES REQUIRED BY THE WATER DISTRICT ACCOUNTING MANUAL ' HAVE BEEN FULLY DISCLOSED IN THE GENERAL PURPOSE FINANCIAL STATEMENTS ' X E. SERVICES AND RATES X F. SCHEDULE OF GENERAL FUND EXPENDITURES X G. SCHEDULE OF TEMPORARY INVESTMENTS X H. ANALYSIS OF TAXES LEVIED AND RECEIVABLE X I. ANALYSIS OF CHANGES IN GENERAL FIXED ASSETS ' X J. GENERAL LONG -TERM DEBT SERVICE REQUIREMENTS BY YEARS X K. ANALYSIS OF CHANGES IN GENERAL LONG -TERM DEBT ' X L. COMPARATIVE STATEMENT OF REVENUES AND EXPENDITURES, GENERAL FUND, AND DEBT SERVICE FUND - FOUR YEARS AND NINE MONTHS ENDED DECEMBER 31, 2001 ' X M. INSURANCE COVERAGE X N. BOARD MEMBERS, KEY ADMINISTRATIVE ' PERSONNEL, AND CONSULTANTS PAGE NUMBER 14 5 15 17 18 19 21 22 23 24 25 26 I 1 Itp, g0jrjor CERTIFIED PUBLIC ACCOUNTANT INDEPENDENT AUDITOR'S REPORT ON SUPPLEMENTAL SCHEDULES ' City of Schertz GUADCO Municipal Utility District No. 1 Guadalupe and Coma] Counties, Texas In my opinion, the accompanying information is stated fairly in all material respects in relation ' to the general purpose financial statements, taken as a whole, of GUADCO Municipal Utility District No. 1 for the nine months ended December 31, 2001, which are covered by my opinion presented in the first section of this report. The accompanying information is supplemental to the general purpose financial statements and is not essential for a fair presentation of the ' financial position, and the results of operations. My examination, which was made primarily for the purpose of forming an opinion of the combined ' financial statements taken as a whole, included such tests of accounting records, from which the supplementary information was complied, and such other auditing procedures as I considered necessary in the circumstances. ' The information prior to April 1, 1998 was audited by other auditor's whose unqualified audit reports were issued at various dates prior to April 1, 1998. ' p ne 6, 2002 H 14 352 Landa St • New Braunfels, TX 78130 ' 830- 625 -6073 830 - 625 -8225 FAX e -mail: JimrCihe- cia.net Member of American Institute of Certified Public Accountants GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 E. SERVICES AND RATES NINE MONTHS ENDED DECEMBER 31, 2001 1. Services Provided by the District: X Retail Water Wholesale Water Drainage X Retail Wastewater Wholesale Wastewater Irrigation Parks /Recreation Fire Protection Security Solid Waster /Garbage Flood Control Roads Participates in joint venture, regional system, and /or wastewater service (other than emergency interconnect) Other (specify) : 2. Retail Rates Based on 518 Meter NIA Retail Rates Not Applicable Most prevalent type of meter (if not a 518) : NIA FLAT RATE PER 1,000 MINIMUM MINIMUM RATE GALLONS OVER CHARGE USAGE Y/N MINIMUM USAGE LEVELS WATER $ 21.58 3,000 N $1.85 3,001 To 18,000 WASTEWATER $ 13.85 5,000 N $0.55 5,001 To Thereafter SURCHARGE: $ - - District employs winter averaging for wastewater usage ? Yes No X Total water and wastewater charges per 10,000 gallons usage (including surcharges) 52.93 3. Retail Service Providers: Number of retail water and /or wastewater* connections within the District as of fiscal year end. Provide actual numbers and single family equivalents (ESFC) as noted: INACTIVE ACTIVE ACTIVE CONNECTIONS CONNECTIONS ESFC (ESFC) ** Single Family 690 18 Multi - Family - - Commercial 12 - 1 Other - Recreational Centers, Government, and VFD 7 - TOTALS 709 - 19 * Number of connections relates to water service, if provided. Otherwise, number of wastewater connections should be provided. " Inactive means that water and wastewater connections were made, but service is not being provided. 4. Total Water Consumption (In Thousands) During The Fiscal Year: Gallons pumped into system: 51,070,200 Gallons billed to customers: 43,211,000 The accompanying notes are an integral part of these financial statements. 15 ' GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 E. SERVICES AND RATES (CONTINUED) NINE MONTHS ENDED DECEMBER 31, 2001 5. Standby Fees: Does the District assess standby fees? Yes No If Yes, Specify Amount and Basis of the Assessment. 1 $ Per Lot (Check One) _ Percent Allocated to: Per Year $ Per Acre General Fund _% Per Quarter X Other or Non- Uniform Rates Per Month Debt Service Fund _% ' Have Standby Fees Been Approved by the Texas Water Commission? _ Yes —No Have standby fees been levied in accordance with Water Code Section 50.056, thereby constituting ' a lien on property? Yes _ No 6. Anticipated sources of funds to be used for debt service payments in the District's following fiscal ' year: Amount a. Debt Service Tax Receipts 11,515 b. Surplus Construction Funds - ' c. Water and /or Wastewater Revenue - d. Standby Fees e. Debt Service Fund Balance to be Used - ' f. Interest Revenues - g. Surplus Funds TOTAL ANTICIPATED FUNDS TO BE USED * 11,515 ' * This total should equal the District's annual debt service for the fiscal year following the fiscal year reported or in the audited financial statements. ' 7. Location of District: Counties in which district is located. Guadalupe and Coma] Counties. ' Is the District located entirely within one county? Yes No X Is the District located within a city? Entirely Partly Not at all X City (ies) in which district is located. Is the District located within a city's extra territorial jurisdiction (ETJ)? Entirely Partly X Not at all ' ETJ's in which district is located. SchedZ Texas Is the general membership of the Board appointed by an office outside the district? Yes No X If Yes, by whom? The accompanying notes are an integral part of these financial statements. 16 GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 F. SCHEDULE OF GENERAL FUND EXPENDITURES NINE MONTHS ENDED DECEMBER 31, 2001 CURRENT Personnel (Including Benefits) PROFESSIONAL FEE$ Auditing Legal Engineering PURCHASED SERVICES FOR RESALE Bulk Water and Sewer Service CONTRACTED SERVICES Bookkeeping Utility Operator Administrator UTILITIES ADMINISTRATIVE EXPENDITURES Directors Fees Office Supplies and Printing Insurance Other Administrative Expense Telephone CAPITAL OUTLAY Acquisition of Fixed Assets SOLID WASTE DISPOSAL (Sewer Only Not Garbage) FIRE FIGHTING PARKS AND RECREATION OTHER EXPENDITURES TOTAL EXPENDITURES Number of persons employed by the District: (Do not include independent contractors or consultants) All Services in District Provided by Contractors or City of Schertz, Texas. The accompanying notes are an integral part of these financial statements. 17 6,800 330 182,193 3,500 49,350 12,000 9,837 14,505 6,000 1,419 4,394 469 469 25,595 316,861 - Full -time - Part-time i 1 i 1 i 1 1 1 1 1 i 1 1 1 i 1 FUNDS DEBT SERVICE FUND GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 G. SCHEDULE OF TEMPORARY INVESTMENTS NINE MONTHS ENDED DECEMBER 31, 2001 ACCOUNT INTEREST NUMBER RATE COST BALANCES AT END OF YEAR NONE NONE MARKET BALANCES AT END OF YEAR The accompanying notes are an integral part of these financial statements. 18 MATURITY DATE RECEIVABLE AT END OF YEAR ' Nine Months GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 Ended 12/31/01 2001 H. ANALYSIS OF TAXES LEVIED AND RECEIVABLE 1999 TAX RATES PER $100 VALUATION NINE MONTHS ENDED DECEMBER 31, 2001 Debt Service DEBT ' MAINTENANCE Tax Rates SERVICE 0.0564 0.5068 TAXES TAXES 0.06 Taxes Receivable at April 1, 2001 1,974 0.08 16,426 ' 2001 Original Tax Levy 36,097 222,665 Adjustments to Roll 924 0.5675 1,125 0.5906 Total to be Accounted for 38,995 258,762 240,216 ' 333,549 ' Tax Collections: Percent of Taxes Collected to Current Year 34,912 215,356 Taxes Levied " Prior Years 1,386 99.68% 7,129 Total Collections 36,298 222,485 ' TAXES RECEIVABLE AT DECEMBER 31, 2001 2,697 are reduced by disabled 17,731 Taxes Receivable, By Years 2001 1997 53 The accompanying notes are an integral part of these financial statements. 301 ' 1998 126 804 1999 110 922 2000 2001 300 2,108 2,699 13,005 TAXES RECEIVABLE AT DECEMBER 31, 2001 2,697 17,731 ' Nine Months Ended 12/31/01 2001 2000 1999 ' PROPERTY VALUATIONS Land 7,833,465 8,148,639 8,088,868 7,704,955 Improvements 51,909,257 49,147,511 49,255,777 47,926,766 Personal Property 1,010,933 843,219 1,000,900 844,571 TOTAL PROPERTY VALUATIONS 60,753,655 58,139,369 58,345,545 56,476,292 ' Nine Months Ended 12/31/01 2001 2000 1999 TAX RATES PER $100 VALUATION Debt Service Tax Rates 0.37 0.0564 0.5068 0.5106 Maintenance Tax Rates 0.06 0.5111 0.0607 0.08 TOTAL TAX RATE PER $100 VALUATION 0.43 0.5675 0.5675 0.5906 TAX ROLLS 258,762 331,473 331,111 333,549 ' Percent of Taxes Collected to Taxes Levied " 96.72% 99.10% 99.68% 99.72% In 2001 total property valuations are reduced by disabled veteran exemption (576,500). ' The accompanying notes are an integral part of these financial statements. 19 GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 H. ANALYSIS OF TAXES LEVIED AND RECEIVABLE (CONTINUED) ' NINE MONTHS ENDED DECEMBER 31, 2001 Tax rate for any other special district which encompasses less than a county, (b) provides water, wastewater collection, drainage or roads to property in the District and (c) taxes property In the District. Name of Special District (s) Service Provide Tax Rate ' NIA N/A $ ' Total Rate (s) of Special District (s) ' Tax rates for all overlapping jurisdiction Tax Rate a. County Guadalupe $ 0.3499 b. City City of Schertz 0.3825 ' c. School District Schertz I.S.D. 0.7100 d. Special District (s) not included above: ' e. Total Special District (s) (from top of this page) - f. Total District (from previous page) 0.4300 ' Total Overlapping Tax Rate (Sum of a -f) 2.8724 ' The accompanying notes are an integral part of these financial statements. 20 I L1 GUADCO MUNICIPAL UTILITY DISTRICT NO.1 I. ANALYSIS OF CHANGES IN GENERAL FIXED ASSETS NINE MONTHS ENDED DECEMBER 31, 2001 PHYSICAL FACILITIES: Land Water System Sewage System Drainage System Engineering Fees Capitalized Construction Period Costs ' TOTALS d 1 0 Additions Provided by Operations Construction Fund Contribution from Developer TOTALS BALANCES BALANCES April 1, 2001 ADDITIONS DELETIONS December 31, 2001 31,176 - 31,176 1,171,861 1,171,861 1,083,416 1,083,416 541,945 541,945 301,433 301,433 653,503 653,503 3,783,334 3,783,334 329,254 - 329,254 2,474,318 2,474,318 979,762 979,762 3,783,334 3,783,334 The accompanying notes are an integral part of these financial statements. 21 t GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 J. GENERAL LONG -TERM DEBT SERVICE REQUIREMENTS - BY YEARS NINE MONTHS ENDED DECEMBER 31. 2001 DUE DURING SERIES 1999 FISCAL YEARS PRINCIPAL INTEREST ENDING DUE DUE MARCH 31, Sep -01 Mar -01, Sep -01 TOTAL 2002 - 11,515 11,515 2003 215,000 10,105 225,105 TOTALS 215,000 21,620 236,620 The accompanying notes are an integral part of these financial statements. 22 1 ' GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 K. ANALYSIS OF CHANGES IN GENERAL LONG -TERM DEBT NINE MONTHS ENDED DECEMBER 31, 2001 BONDISSUE - SERIES ' 1999 Interest Rate 4.70% ' Dates Interest Payable 3 -1 ; 9 -1 Maturity Dates 9 /1 100 to ' 9/1102 Maturity Outstanding at Beginning ' of Current Period 490,000 Retirements - Principal 275,000 ' Bonds Outstanding at End of Current Period 210,000 ' Retirements - Interest 11,515 PAYING AGENTS NAME AND ADDRESS Series 1999 The Bank of New York, New York, New York Jacksonville, Florida ' BOND AUTHORITY TAX BONDS OTHER BONS REFUNDING BOND Amount Authorized by Voters 4,650,000 ' Amount Issued 3,370,000 Remaining to be Issued 1,280,000 The accompanying notes are an integral part of these financial statements. ' 23 GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 L. COMPARATIVE STATEMENT OF REVENUES AND EXPENDITURES GENERAL FUND AND DEBT SERVICE FUND FOUR YEARS AND NINE MONTHS ENDED DECEMBER 31, 2001 GENERAL FUND REVENUES Property Taxes Water Services Sewer Services Penalty and Interest Tap Connection Fees Interest on Time Deposits Total Revenues EXPENDITURES Purchase Water and Sewer Services Professional Fees Contracted Services Utilities Materials and Supplies Repairs and Maintenance Insurance Other Expenditures Capital Outlay Total Expenditures EXCESS REVENUES AMOUNTS Nine Months Ended 12/31101 2001 2000 1999 1998 36,298 34,348 37,245 43,814 46,886 191,634 249,825 233,050 235,783 211,819 88,939 119,608 123,202 119,857 135,238 579 15,375 6,396 10,747 9,769 4,200 4,210 6,400 1,275 3,890 766 1,387 6,068 9,929 9,834 322,416 424,753 412,361 421,405 417,436 Tax Collection Services 2,536 8,229 5,995 182,193 155,759 221,286 198,209 176,174 7,130 6,883 7,980 9,147 19,393 64,850 83,120 61,394 87,221 83,501 9,837 11,011 10,814 12,570 10,784 1,419 2,782 1,902 5,162 5,886 14,505 27,781 70,398 28,286 89,976 4,394 3,416 3,365 3,878 4,019 6,938 7,939 6,678 30,125 11,346 25,595 - - 316,861 308,691 383,817 374,598 401,079 5,555 116,062 28,544 46,807 16,357 DEBT SERVICE FUND REVENUES Property Taxes 222,485 305,595 301,968 292,146 266,699 Penalty and Interest 2,564 6,567 11,159 6,637 10,348 Interest on Time Deposits 7,081 11,200 5,404 13,263 15,801 Total Revenues 232,130 323,362 318,531 312,046 292,848 EXPENDITURES Tax Collection Services 2,536 8,229 5,995 8,750 22,643 Debt Service, Interest, and Fees 286,515 289,140 516,297 593,752 285,097 Total Expenditures 289,051 297,369 522,292 602,502 307,740 EXCESS REVENUES (EXPENDITURES) (56,921) 25,993 (203,761) (290,456) (14,892) TOTAL ACTIVE RETAIL WATER AND/ OR WASTEWATER CONNECTIONS 709 709 709 692 691 The accompanying notes are an integral part of these financial statements. 24 1 1 1 PERCENT OF FUND TOTAL REVENUE Nine Months 39.0 53.7 47.0 42.2 Ended 12/31/01 2001 2000 1999 1998 11.3% 8.1% 9.0% 10.4% 11.2% 59.4 58.9 56.4 56.0 50.8 27.6 28.1 29.9 28.4 32.4 0.2 3.6 1.6 2.6 2.3 1.3 1.0 1.6 0.3 0.9 0.2 0.3 1.5 2.3 2.4 1D0.0 100.0 100.0 100.0 100.0 56.5 39.0 53.7 47.0 42.2 2.2 1.6 1.9 2.2 6.1 20.1 19.6 14.9 20.7 20.0 3.1 2.6 2.6 3.0 2.5 0.4 0.7 0.5 1.2 1.4 4.5 6.5 17.1 6.7 21.6 1.4 0.8 0.8 0.9 1.0 2.2 1.9 1.6 7.2 1.3 7.9 0.0 0.0 0.0 0.0 98.3 72.7 93.1 88.9 96.1 1.7 27.3 6.9 11.1 3.9 95.8 94.5 94.8 93.6 91.1 1.1 2.0 3.5 2.1 3.6 3.1 3.5 1.7 4.3 5.3 100.0 100.0 100.0 100.0 100.0 1.1 2.5 1.9 2.8 7.7 123.4 89.4 162.1 190.3 97.4 124.5 91.9 164.0 1931 . 105.1 (24.5) 8.1 (64.0) (93.1) (5.1) 24 ' GUADCO MUNICIPAL UTILITY DISTRICT NO, 1 M. INSURANCE CONVERGE NINE MONTHS ENDED DECEMBER 31, 2001 INSURER TYPE OF POLICY ' AMOUNT CORPORATION CLAUSE TYPE OF COVERAGE OF COVERAGE NAME STOCKIMUTUAL CO- INSURANCE Fire and Lightning ' Building 89,250 Ohio Casualty Stock No Fence 7,350 Insurance Co. Tank 3550 Morning Dr. 105,000 ' Tank 9800 Morning Dr. 251,475 Fence 5,845 ' Liability Automotive- Ohio Casualty Stock No Property Damage Bodily Injury 500,000 500,000 Insurance Co. Comprehensive ' General 1,000,000 Ohio Casualty Stock No Products Completed 1,000,000 Insurance Co. Personal Injury 500,000 ' Fire 100,000 Medical 5,000 ' Umbrella 2,000,000 Ohio Casualty Stock No Insurance Co. Public Officials Bond - Directors 10,000 Ohio Casualty Stock No ' Insurance Co. 1 ' The accompanying notes are an integral part of these financial statements. ' 25 GUADCO MUNICIPAL UTILITY DISTRICT NO. 1 N. BOARD MEMBERS, KEY ADMINISTRATIVE PERSONNEL, AND CONSULTANTS NINE MONTHS ENDED DECEMBER 31, 2001 Complete District Mailing Address: District Business Telephone Number: Post Office Box 310 Cibolo, Texas 78108 (830) 625 -4810 FEES AND EXPENSE REIMBURSEMENTS December 31, 2001 TITLE AT YEAR END $1,400 President $1,500 Vice President $1,400 Secretary $200 Treasurer $1,500 Assistant Secretary/ Treasurer The accompanying notes are an integral part of these financial statements. 26 RESIDENT OF DISTRICT ? Yes Yes Yes Yes Yes TERM OF OFFICE ELECTED AND EXPIRES NAME AND ADDRESS OR DATE HIRED BOARD MEMBERS William Woeckner 5001 Crestwood Cibolo, TX 78108 03 -00 to 03 -04 Robert Cary 3425 Winheldon Cibolo, TX 78108 03 -00 to 03 -04 Stan Weeler 3700 Scenic Hills Dr. Cibolo, TX 78108 03 -00 to 03 -04 Ruby Cooper 04 -00 to 03 -02 3604 Scenic Drive Cibolo, TX 78108 Douglas Martin 07 -00 to 03 -02 3317 Sherwin Dr. Cibolo, TX 78108 Post Office Box 310 Cibolo, Texas 78108 (830) 625 -4810 FEES AND EXPENSE REIMBURSEMENTS December 31, 2001 TITLE AT YEAR END $1,400 President $1,500 Vice President $1,400 Secretary $200 Treasurer $1,500 Assistant Secretary/ Treasurer The accompanying notes are an integral part of these financial statements. 26 RESIDENT OF DISTRICT ? Yes Yes Yes Yes Yes 1 GUADCO MUNICIPAL UTILITY DISTRICT NO.1 N. BOARD MEMBERS, KEY ADMINISTRATIVE PERSONNEL, AND CONSULTANTS NINE MONTHS ENDED DECEMBER 31, 2001 The accompanying notes are an integral part of these financial statements. 27 TERM OF FEES OFFICE ELECTED AND EXPENSE RESIDENT AND EXPIRES REIMBURSEMENTS TITLE AT OF NAME AND ADDRESS OR DATE HIRED December 31, 2001 YEAR END DISTRICT? CONSULTANTS Bill Corsbie, P.C. 3708 Clawson Road Austin, TX 78704 Aug -99 $330 Attorney No Bill Blitch Samco Capital Markets 11111 Katy Freeway Ste 725 Financial Houston, TX 77079 Feb -99 $0 Advisor No City of Schertz Utility 10 Commercial Place System Schantz, TX 78154 Jun -98 $49,350 Operator No Jim Robertson, CPA 352 Landa St, New Braunfels, TX 78130 Oct -98 $6,800 Auditor No Guadalupe County Appraisal District Central P.O. Box 70 Appraisal Seguin, TX 78155 Jan -98 $1,509 District Guadalupe County Tax Office Tax 307 W. Court Assessor - Seguin, TX 78156 Jan -98 $1,026 Collector No Edna Turner 3338 Fox Brier Ln. Cibolo, TX 78108 Dec -98 $12,000 Administrator Yes Charles Allen, CPA 831 Landa Street New Braunfels, TX 78130 Jun -99 $3,500 Bookkeeper No The accompanying notes are an integral part of these financial statements. 27