Town of Southampton, NY
Suffolk County
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Table of Contents
Table of Contents
[HISTORY: Adopted by the Town Board of the Town of Southampton 2-11-1992 by L.L. No. 2-1992; amended in its entirety 9-9-2008 by L.L. No. 56-2008. Subsequent amendments noted where applicable.]

§ 10-1 Definitions.

As used in this chapter, the following terms shall have the meanings indicated:
CAPITAL BUDGET
The first year of the capital program, to be incorporated in the annual Town budget, together with the necessary funding through direct budgetary appropriation, bonded loans or reimbursements and grants-in-aid.
CAPITAL PROGRAM
A plan of capital projects proposed to be undertaken during a six-year period, the priority of their implementation, the estimated cost thereof, and the proposed method of financing.
[Amended 11-10-2009 by L.L. No. 47-2009]
CAPITAL PROGRAM COMMITTEE
A committee chaired by the Town Supervisor or his/her designee and comprised of the Comptroller and heads of the General Services, Municipal Works, Highway, Water District and Parks and Recreation Departments, or their designees, who are responsible for recommending capital program policies and project rankings to the Supervisor and the Town Board.
[Amended 9-25-2012 by L.L. No. 13-2012]
A. 
Any physical betterment or improvement, including furnishings, machinery, apparatus or equipment for such physical betterment or improvement when first constructed or acquired;
B. 
Any project to renovate, restore, redecorate, maintain or upgrade municipal facilities that exceeds threshold established by the Town Board for both budget and useful life through its adoption of capital program policies recommended by the Capital Program Committee;
C. 
Any preliminary studies and surveys that result in any betterment or improvements;
[Amended 9-25-2012 by L.L. No. 13-2012]
D. 
The acquisition of land or rights in land except the purchases of land or rights in land that are purchased through the Community Preservation Fund; or
E. 
Any combination of Subsections A, B, C, and D.
CAPITAL PROJECT PROCEDURE MANUAL
The Town's official procedure manual, detailing the administrative procedures for requesting, planning, implementing, reporting on and closure of capital projects, and any amendments thereto, as adopted by the Town Board from time to time and filed with the Town Clerk.
[Added 9-25-2012 by L.L. No. 13-2012]
CAPITAL RESERVE FUND
A fund for the purpose of financing all or part of the cost of the construction, reconstruction or acquisition of a specific or type of capital improvement under General Municipal Law § 6-c[2].
OPERATING BUDGET
The projected revenues and expenditures of the Town, including all transactions and other events that are not defined as capital activities. The operating budget for the Town of Southampton includes its part-town and full-town operating funds, and its enterprise funds.
PARK RESERVE FUND
A capital reserve fund containing park fees paid in accordance with the Town's subdivision and planned development district regulations, and used to fund parks and recreation capital projects.
SPECIAL DISTRICT
A district formed to provide improvements or services paid for by the beneficiaries within the district boundaries, including but not limited to the following: water, streetlight, sewer, park, public parking, fire protection, ambulance, erosion control, and special road improvements.

§ 10-2 Capital program and Capital Program Committee.

A. 
The Town Board of the Town of Southampton hereby establishes a procedure for the planning and implementation of a capital program, which is to address capital project needs for a six-year planning period and is to be updated annually.
[Amended 11-10-2009 by L.L. No. 47-2009]
B. 
The capital program shall consist of those capital projects proposed to be undertaken during the immediately succeeding six-year period and shall include the information specified in § 10-2G below.
[Amended 11-10-2009 by L.L. No. 47-2009]
C. 
On or before July 31 of each year, the head of each administrative unit, department or office within the Town of Southampton shall file with the Capital Program Committee, through the use of a Capital Project Request Form, a written request for the inclusion in the capital program of any capital project within his/her jurisdiction.
[Amended 9-25-2012 by L.L. No. 13-2012]
(1) 
All requests for capital projects shall be submitted on forms consistent with the guidelines of the Capital Project Procedure Manual, which are designed to elicit sufficient information for ranking a project. Such information shall include, but not be limited to, the projected impact on the current and future operating budgets for any on-going costs, maintenance and staffing requirements in connection with the capital program request. The Committee Chair may require additional information relating to any such project from the department head.
(2) 
Updated requests shall be filed for each capital project on the previous year's capital program that has not yet been completed.
D. 
Capital project requests may also be submitted to the Capital Program Committee, through its Chair, by the Town Supervisor or individual Town Board members.
E. 
Ranking criteria for proposed capital projects shall be established by Town Board resolution and incorporated into the Capital Program Project Manual.
[Amended 9-25-2012 by L.L. No. 13-2012; 7-22-2014 by L.L. No. 21-2014]
F. 
The capital program shall be prepared so as to indicate:
[Amended 9-25-2012 by L.L. No. 13-2012]
(1) 
The project name, location and a narrative description;
(2) 
The department or division head that is to serve as project manager;
(3) 
Whether the project is a supplement to a prior authorization and, if so, a description of the work completed, prior financing, and the project status (i.e., whether the authorization is for a new proposal or a subsequent phase of the project);
(4) 
The proposed project schedule;
(5) 
The estimated total cost of the project and, if applicable, the cost of each phase of the implementation;
(6) 
The proposed source(s) of funding and method of financing, indicating the amount proposed to be financed by direct budgetary appropriation or duly established reserve funds; the amount, if any, estimated to be received from the federal and/or state governments; and the amount to be financed by the issuance of obligations, showing the proposed types of obligations, together with the period of probable usefulness for which they are proposed to be issued; and
(7) 
When applicable, relevant restrictions imposed by the proposed funding source(s), including but not limited to:
(a) 
Geographic areas where funds are to be spent;
(b) 
Project completion deadlines for grant compliance.
(8) 
An estimate of the effect, if any, upon the Town's operating budget.
G. 
The capital program shall also include the following summary information for the six-year capital project, listing:
[Amended 11-10-2009 by L.L. No. 47-2009; 9-25-2012 by L.L. No. 13-2012]
(1) 
A summary of proposed capital budgets by department; and
(2) 
A summary of proposed capital funding by funding source.
H. 
No capital project shall be authorized or undertaken unless it is included in the capital program as adopted or amended by the Town Board.
[Amended 11-10-2009 by L.L. No. 47-2009; 9-25-2012 by L.L. No. 13-2012[1]]
[1]
Editor's Note: This local law also repealed former Subsection H, regarding capital projects not reviewed and ranked, and Subsection K, regarding SEQR reviews, and redesignated former Subsections I and J as H and I, respectively.
I. 
The Capital Program Committee shall submit its proposed capital plan to the Town Board no later than September 30 of each year.
[Added 7-22-2014 by L.L. No. 21-2014[2]]
[2]
Editor's Note: This local law also renumbered former Subsection I as Subsection K.
J. 
The Supervisor shall include the capital program as part of the tentative budget, which shall be submitted by September 30 of each year.
[Added 7-22-2014 by L.L. No. 21-2014]
K. 
The Town Board shall adopt the capital program by November 20 of each year. Adoption of the capital program shall not equate with the funding of capital projects, which shall be made through subsequent bonding or appropriating resolutions.
[Amended 9-25-2012 by L.L. No. 13-2012; 7-22-2014 by L.L. No. 21-2014]

§ 10-3 Capital budget.

A. 
The Supervisor shall prepare an annual capital budget and shall submit it to the Town Board by September 30 of each year. The tentative capital budget shall include a list of those capital projects that the Town may fund in the upcoming year and the source(s) of funding for each.
[Amended 9-25-2012 by L.L. No. 13-2012]
B. 
Consistent with the statutory requirements relating to the consideration and adoption of the tentative operating budget, the Town Board annually shall consider the tentative capital budget in conjunction with the tentative operating budget. To assist in these considerations, the tentative capital budget shall include an assessment of its impacts on the operating budget provided by the Town Comptroller in an annual capital forecast statement, as detailed in § 10-4B.
C. 
The Town Board shall adopt the capital budget in conjunction with the operating budget by November 20 of each year.

§ 10-4 Comptroller reports.

[Amended 11-24-2009 by L.L. No. 53-2009; 9-25-2012 by L.L. No. 13-2012]
A. 
To support the development of both the capital program and budget, the Town Comptroller shall provide the following reports to the Supervisor and the Town Board prior to July 31 of each year:
(1) 
A report detailing the special capital reserve funds held for dedications from developers under the subdivision regulations and the Town Zoning Code, including but not limited to park reserve funds, public parking reserve funds, and other trust funds for public improvements.
(2) 
A fund balance report and a variance report on all capital projects.
B. 
The Town Comptroller shall prepare an annual capital forecast statement to be included as an integral part of the tentative capital budget. The forecast statement shall be submitted to the Supervisor and Town Board prior to September 30 of each year and shall include the following information:
(1) 
A consolidated debt service maturity schedule of all bonded indebtedness incurred by the Town;
(2) 
A forecast of the projected debt service requirements of all projects proposed in the tentative capital budget, and an analysis of the impacts of these debt service requirements on the amortized debt payment schedule, the debt service fund and the projected tax rate; and
(3) 
A forecast of the projected impact on capital reserve funds, fund balances, park reserve funds, public parking reserve funds, and other trust funds for public benefit.
C. 
Funding authorizations upon adoption of capital budget. The Town Comptroller shall prepare bond resolutions for on or before December 20 of each year, following the adoption of the capital budget.
D. 
Debt financing statement for capital improvements.
(1) 
Whenever the Town Supervisor executes a bond issuance or bond anticipation note (BAN) in furtherance of financing capital improvements, within 30 days following issuance of the financing, the Town Comptroller shall file a debt financing statement with the Town Board and Town Clerk detailing the amount of money, the various municipal purposes, a listing of the Town Board resolutions which authorized the bonding or BAN with dates and project names, and the balance of bonding remaining for each bond authorization, if any.
(2) 
Appended to the aforementioned statement, the Town Comptroller shall also provide an updated itemization of authorized but unissued bonds and updated indebtedness schedules that include serial bonds and all BANs.

§ 10-5 Amendment of capital program.

[Amended 9-25-2012 by L.L. No. 13-2012]
A. 
The Town Board may amend the capital program by adding, modifying or abandoning any of the capital projects or by modifying the methods of financing, description of projects, project rankings, project manager or other program details. Such amendments shall be by Town Board resolution.
B. 
Notwithstanding the provisions of § 10-5A above, an amendment to increase the capital program may not be approved except by supermajority vote of the Town Board.
C. 
All capital program and capital budget amendments shall comply with § 10-2, as applicable, and have a financial analysis completed by the Town Comptroller to assess the fiscal impacts of the proposed project on the capital program, inclusive of any current and future operating budget impacts. Such analysis shall be provided, in writing, to the Town Board and Capital Program Committee prior to consideration of the amendment.
[Added 7-22-2014 by L.L. No. 21-2014]
D. 
Prior to any amendment to the capital program and/or capital budget or grant application associated with a potential capital project that proposes to amend the capital program and capital budget, a department shall follow the procedure outlined in § 10-2. Specifically, all applicable forms as outlined in the Capital Project Procedure Manual must be completed for review and scoring by the Capital Program Committee. Upon completion of the review by the Capital Program Committee, the grant application, capital project request forms, reviews and score sheets completed by the Capital Program Committee and the financial analysis completed by the Town Comptroller shall be distributed to all members of the Town Board for consideration.
[Added 7-22-2014 by L.L. No. 21-2014]
E. 
In cases of time-sensitive grant applications where a formal review by the Capital Program Committee cannot be completed prior to the grant application submission, the grant application and applicable forms as outlined in the Capital Project Procedure Manual shall be circulated to all members of the Town Board and the Capital Program Committee for review prior to the Town Board meeting at which such an application will be considered. If the grant application is approved at the Town Board meeting, a formal review of the capital project shall occur as outlined in § 10-2.
[Added 7-22-2014 by L.L. No. 21-2014]
F. 
If the grant is awarded and accepted, a resolution accepting the grant and a resolution creating a capital project must be adopted at the next Town Board meeting, as outlined in the Capital Project Procedure Manual. The resolution creating the capital project shall include, at a minimum, the total estimated project cost to completion, the sources of financing and/or funding for the entirety of the project, the source of funding for the current fiscal year, and all other required information as stated in the Capital Project Procedure Manual.
[Added 7-22-2014 by L.L. No. 21-2014]

§ 10-6 Capital reserve fund for financing interest or rights in real property.

A. 
Pursuant to Article 2, § 6-c, of the General Municipal Law, the Town Board of the Town of Southampton hereby authorizes the establishment of a capital reserve fund or capital reserve funds for the acquisition of various permanent interests or rights in real property in and/or for the Town, for the preservation of open spaces and areas, including agricultural lands or other acquisitions of interests or rights in real property allowed by law.
B. 
Notwithstanding any provisions of this chapter to the contrary, the Town Board may not authorize the transfer to another capital reserve fund of all or part of the capital reserve fund established hereunder, except by unanimous vote of the Town Board.

§ 10-7 Capital reserve fund for six-year capital program budgets.

Pursuant to Article 2, § 6-c, of the General Municipal Law, the Town Board of the Town of Southampton hereby authorizes the establishment of capital reserve funds as provided for in Article 2, § 6-c, of the General Municipal Law. Such capital reserve funds shall be established by resolution of the Southampton Town Board.

§ 10-8 Direct appropriations and funding.

[Added 11-24-2009 by L.L. No. 53-2009; amended 7-22-2014 by L.L. No. 21-2014]
A. 
The capital program shall clearly identify the source of funding for any projects proposed to be financed in whole or in part through direct appropriation of the operating budget or fund balance not otherwise reserved. A Town Board resolution shall also be required prior to the commencement of any such capital project proposed to be financed in whole or in part through direct appropriation of the operating budget or fund balance not otherwise reserved.
B. 
Capital projects with anticipated funding sources, such as reimbursable grants, greater than $100,000 shall have a bond authorization resolution in the full amount of the anticipated funding adopted by the Town Board.

§ 10-9 Financing of capital expenditures.

[Added 9-25-2012 by L.L. No. 13-2012]
Recurring expenses and small capital assets such as passenger vehicles, computers, and small equipment, including but not limited to equipment repair and equipment purchases which, although they do not occur in the same department each year, are costs that are incurred on an annual basis, whose per-item price is $5,000 or less, the aggregate cost of which is less than $25,000, and whose useful life is five years or fewer, shall not be funded by bond indebtedness. The Town Board may waive this requirement by adopting, by supermajority, a resolution making findings of its necessity. A new unallocated operating budget cost center will be created and funded annually to fund the purchases of these types of assets.