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Microlesson · 5-min read

Optimum Cash Balance - Baumol and Miller-Orr Models

## Determining the Optimum Cash Balance

The Core Trade-off:

  • Too little cash → Risk of default on obligations
  • Too much cash → Opportunity cost (loss of interest/profit)
  • Goal: Find the optimum cash level based on predictability of cash flows

### Classification of Cash Management Models

Model TypeWhen to UseExample
Inventory-type modelsPredictable, steady cash flowsBaumol's EOQ Model
Stochastic modelsRandom, unpredictable cash flowsMiller-Orr Model

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### Baumol's Economic Order Quantity (EOQ) Model

Applies the EOQ logic (from inventory management) to determine the optimal cash balance.

Assumptions: Cash usage is predictable and steady.

Formula:

$$C = \sqrt{\frac{2PU}{S}}$$

VariableMeaning
COptimal cash balance to be maintained
PCost per cash conversion (transaction cost)
UAnnual cash usage
SOpportunity cost of holding cash (interest rate)

Logic: Minimize total cost = Transaction cost + Opportunity cost

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### Miller-Orr Cash Management Model (1966)

Designed for random, unpredictable cash flows. Avoids daily monitoring.

Three Control Limits:

LimitLevelAction Triggered
Upper Limit (h)High thresholdCash exceeds h → Invest the excess
Lower Limit0 (or minimum)Cash drops to 0 → Withdraw from investments
Return Point (z)Target levelCash is brought back to z after any transfer

Advantage: Works well in fluctuating conditions; does not require daily decision-making.

Worked example

### Example 1

Baumol's Model Example:

Annual cash requirement (U) = ₹12,00,000

Cost per conversion (P) = ₹150

Opportunity cost (S) = 10% = 0.10

C = √(2 × 150 × 12,00,000 / 0.10)

= √(3,60,00,00,000 / 0.10)

= √(36,00,00,000)

= ₹60,000

Interpretation: The firm should convert ₹60,000 worth of securities to cash each time it runs low. Average cash balance = ₹60,000 / 2 = ₹30,000.

⚠️ Common exam mistakes

  • Applying Baumol's model to unpredictable cash flows — it only works for steady, predictable usage
  • Mixing up variables in Baumol's formula: P is the transaction/conversion cost per transaction, S is the annual opportunity cost rate
  • Confusing Miller-Orr limits: Upper limit triggers investment (move cash out); Lower limit triggers withdrawal (bring cash in); Return point is always the target after a transaction
  • Thinking Miller-Orr lower limit is always zero — it can be set at a minimum safety balance
Reference:
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