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Home My WebLink About01-22-2024 City Council Packet CITY OF FAIRHOPE CITY COUNCIL WORK SESSION AGENDA Monday, January 22, 2024 - 3:30 PM City Council Chamber Council Members Kevin G. Boone Jack Burrell Jimmy Conyers Corey Martin Jay Robinson 1. Executive Session - To discuss the legal ramifications of and legal options for pending litigation, controversies not yet being litigated but imminently likely to be litigated or imminently likely to be litigated if the governmental body pursues a proposed course of action. 2. Presentation by Principal Jon Cardwell of Fairhope High School 3. Discussion of RAISE Grant for Bridges to Replace Box Culverts Over Fly Creek U.S. Hwy 98 - Nicole Love 4. Discussion of Historic Preservation Ordinance 5. Committee Updates 6. Department Head Updates City Council Agenda Meeting - 5:30 p.m. on Monday, January 22, 2024 City Council Chamber Next Regular Meeting – Thursday, February 15, 2024 – Same Time Same Place Page 1 of 120 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2023-335 FROM:Principal Jon Cardwell, Fairhope High School SUBJECT:Fairhope High School Presentation AGENDA DATE: January 22, 2024 RECOMMENDED ACTION: Presentation of Fairhope High School by Principal Jon Cardwell. BACKGROUND INFORMATION: BUDGET IMPACT/FUNDING SOURCE: GRANT: LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: Page 2 of 120 Fairhope High School Jon Cardwell, Principal Page 3 of 120 Piano Lab •Started in 2014 •Consists of 12 pianos •Current enrollment: 38 students •Instructional Levels 1-4 Page 4 of 120 Piano Lab •One year of instruction = 3.5 years of lessons •Three students have been awarded scholarships (None of these students had ever had lessons before) Page 5 of 120 Engineering Levels 1 -4 Engineering 4 Students and the Electric Car they built Page 6 of 120 Engineering 3 Projects Cornhole Game Swing Cutting Board Napkin Holder Page 7 of 120 Dance Page 8 of 120 Art Page 9 of 120 Art Page 10 of 120 ACT Prep 2022- 2023 •Last year we focused on ACT prep for everyone in the third quarter •Students did practice questions once a week for all 4 subtests (math, English, reading, & science •Students tracked their progress on a chart •Students calculated what their score would equate to on the actual ACT Page 11 of 120 ACT Prep 2023-2024 •This year, all 11th graders are in a 28 -minute ACT prep class •Three days a week, they receive direct instruction in math, science, English, reading, & writing •Students rotate between teachers who specialize in each subject matter •They will take the ACT in March Page 12 of 120 ACT Prep for Sophomores •Third quarter we started doing some ACT prep with our sophomores •They will take a mock ACT test as a baseline •Fourth quarter they will do a mock ACT writing assignment •Teachers will score the essays to determine what skills they need to focus on Page 13 of 120 Average ACT Scores for FHS (19/20 - 22/23) •Last year’s ACT average was above our pre- COVID scores •We predict our average ACT score will be even higher this year Page 14 of 120 Pre-COVID vs 2022-2023 Year Composite Average Percentage of Students that Benchmarked on 3+ Subtests Percentage of Students that Benchmarked on all 4 Subtests 2021-22 20.1 36%21% 2022-23 21.8 47%30% Page 15 of 120 Average ACT Scores by Subject (19/20 – 22/23) Page 16 of 120 Fairhope High School ACT vs. State & National Averages 0 5 10 15 20 25 2018-19 2019-20 2020-21 2021-22 2022-23 US Avg State Avg Fairhope Avg •Alabama is one of only 15 states that require all 11th graders to take the ACT •This means our state average is skewed when compared to the national average Page 17 of 120 Fairhope High State Report Card for 2023 Page 18 of 120 S ch o o l city/co u n ty Ov erall Acad emic Ach ievemen t Acad emic Gro wth Grad u atio n Rate Ch ro n ic Ab s en teeis m CCR LAMP county (mag net )100 100 100 100 3.22 100 Mounta in B rook city 98 98.65 100 97.53 7.51 95.06 New Cent ury Technology city 96 85.18 100 100 10.41 100 Vesta via Hills city 95 90.92 100 96.23 11.34 92.06 H omewood city 93 82.84 100 92.21 9.4 92.53 H ewitt Trussville city 93 79.49 100 96.75 9.09 85.5 B rewbaker Tech Ma g net county (mag net )93 75.81 100 96.84 5.35 95.79 Spa in Park city 92 79.57 100 94.46 11.78 89.31 Oak Mount ain county 92 75.44 100 97.44 12.67 92.33 Fairhope county 91 83.87 100 91.67 14.59 85.88 James Clemens city 91 77.35 100 96.1 17.4 85.5 Gulf Shores city 91 65.96 100 95.12 7.98 97.07 B ob Jones city 90 75.27 99.97 93.9 16.74 88.21 Spa nish Fort county 90 75.66 100 90.14 10.43 85.56 H oover city 89 73.09 99.57 91.36 11.43 83.01 D aphne county 89 69.46 100 92.64 17.56 93.46 H untsville city 89 67.89 98.64 93.61 18.04 92.07 Chelsea county 88 63.45 98.57 94.83 13.78 83.59 Sarala nd city 88 63.72 100 94.08 17.13 92.68 H elena county 88 61.89 95.59 97.31 15.8 90.72 Pelham city 86 59.9 100 91.97 14.12 80.94 Orang e Beach city 85 81.21 100 26.66 Auburn city 85 71.26 97.76 95.4 14.31 78.78 Thompson city 84 54.05 99.67 97.19 15.32 93.63 Comparing Overall Grade of Fairhope to Other High Schools Page 19 of 120 S chool city/county Overall Academic Achievement Academic Growth G raduation Rate Chronic Absenteeism CCR LAMP county (m a gnet)100 100 100 100 3.22 100 Mounta i n B rook city 98 98.65 100 97.53 7.51 95.06 Vestavi a Hil ls city 95 90.92 100 96.23 11.34 92.06 N ew Century Technology city 96 85.18 100 100 10.41 100 F a irhope county 91 83.87 100 91.67 14.59 85.88 Hom ew ood city 93 82.84 100 92.21 9.4 92.53 Orang e B ea ch city 85 81.21 100 26.66 S pain Park city 92 79.57 100 94.46 11.78 89.31 Hew itt Trus s ville city 93 79.49 100 96.75 9.09 85.5 Jam es Cl em ens city 91 77.35 100 96.1 17.4 85.5 B rew ba ker Tech Mag net county (m a gnet)93 75.81 100 96.84 5.35 95.79 S panis h F ort county 90 75.66 100 90.14 10.43 85.56 Oa k Mounta i n county 92 75.44 100 97.44 12.67 92.33 B ob Jones city 90 75.27 99.97 93.9 16.74 88.21 Hoover city 89 73.09 99.57 91.36 11.43 83.01 Auburn city 85 71.26 97.76 95.4 14.31 78.78 Daphne county 89 69.46 100 92.64 17.56 93.46 Huntsvi l le city 89 67.89 98.64 93.61 18.04 92.07 G ul f S hores city 91 65.96 100 95.12 7.98 97.07 S a rala nd city 88 63.72 100 94.08 17.13 92.68 Chels ea county 88 63.45 98.57 94.83 13.78 83.59 Helena county 88 61.89 95.59 97.31 15.8 90.72 Pelham city 86 59.9 100 91.97 14.12 80.94 Thom ps on city 84 54.05 99.67 97.19 15.32 93.63 Comparing Academic Achievement by School Page 20 of 120 ~~ ~~ dt.t\B/,.~~ FROM: SUBJECT: AGENDA DATE: CITY OF FAIRHOPE AGENDA MEMORANDUM Nicole Love , Grants Coordinator Richard Johnson , P.E., City Engineer Item ID : 2024-23 Request for Approval to Apply for RAISE Grant for Bridges to Replace Box Culverts Over Fly Creek , U.S . Highway 98 , Fairhope , Alabama January 22 , 2024 RECOMMENDED ACTION: Council to approve application for RAISE Grant for bridges to replace box culverts over Fly Creek , U.S . Highway 98 , Fairhope , Alabama . BACKGROUND INFORMATION: The United States Department of Transportation (USDOT) released the Notice of Funding Opportunity (NOFO) for Rebuilding American Infrastructure with Sustainability and Equity Program (RAISE) Discretionary Grant Program for 2024 . Minimum award is $5M and max award for capital projects is $25M . Capital projects include highway, bridge or other road projects eligible under Title 23 , USC. RAISE discretionary grants help project sponsors at state and loca l level , including municipalities , Tribal governments , counties , and others complete critical freight and passenger transportation infrastructure projects . The eligibility requirements of RAISE allow project sponsors to obtain funding for projects that may be harder to support through other U.S . DOT Grant Programs . In conjunction with ALDOT , Baldwin County Commission , Eastern Shore MPO , Mobile Bay NEP and other key stakeholders , the City of Fairhope have identified the US Highway 98 crossing of Fly Creek as an excellent Project to apply for a RAISE Grant. ALDOT's alternative analysis of the repair of failed box culverts , they identified the br idging of the Fly Creek to be the best solution from an infrastructure and environmental standpoint. However, cost is the main barrier to the best solution for a permanent fix . A bridge system would allow a full stream restoration that would facilitate reconnection of channel from upstream to downstream of the current crossing . Mobile Bay NEP has been awarded a $2 . 7M GOMESA Grant for Stream Restoration of Fl y Creek . Page 21 of 120 BUDGET IMPACT/FUNDING SOURCE: If awarded , RAISE Grant funds would be sufficient to cover the additional cost of bridging. We are requesting approval to apply for up to $20M for new bridges over Fly Creek on US Hwy 98 . The grant has a 20 percent match . ALDOT has committed to providing the $4M match funds. The City of Fairhope will serve as the Grant Facilitator, th is project will be managed by ALDOT Southwest Region . We will only serve as the "pass through " agency . GRANT: Rebuilding American Infrastructure with Sustainability and Equity Program (RAISE) Discretionary Grant Program 2024. LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: A resolution to be on City Council Meeting Agenda for January 22 , 2024 for approval of the application for RAISE Grant. Page 22 of 120 Memorandum From : To: T hru: CC: D ate: Subj ec t: N icol e Love , Grants Coordin ator, Treas ury Ri chard D. J ohn son, P.E ., C ity E ng in ~~ \ Corey Martin, Counc il Pres id ent Sher ry Sull ivan , May or C ity C lerk; Tre asur er; Proj ect Stakehold ers; F il e Janu ary 8, 2024 R equ es t for ap pro val to appl y for RAI SE Grant -Brid ges to re pl ace box cul verts over F ly C ree k -U.S. H ighway 9 8 -Fairh ope , AL Honorable President Martin : T he United States Department of Transportation (USDOT) just released the Notice of Funding Opportunity (NOFO ) for Rebuilding American Infrastructure with Sustainability and Equ ity program (RAISE ) discretionary grant program for 2024 . The minimum award is $5M and max award for capital projects is $25M . Capital projects include highway , bridge or othe r road projects eligible under title 23 , USC . RAISE discretionary grants help project sponsors at the state and local levels , including municipalities , Tribal governments , counties , and others complete critical freight and passenger transportation infrastructure projects . The eligibility requirements of RAISE allow project sponsors to obta in funding for projects that may be harder to support through other U.S . DOT grant programs . In conjunction with ALDOT, Baldwin County Comm ission , Eastern Shore MPO , Mobile Bay NEP and other key stakeholders , the City of Fairhope has identified the US H ighway 98 crossing of Fly Creek as an excellent Project to apply for a RAISE Grant. In ALDOT's a lternative analysis of the repair of the failed box culverts , they identified the bridging of the Fly Creek to be the best solution from an infrastructure and environmental standpoint. However , cost is the main barrier to the best solution for permanent fix . A b r idge system would allow a full stream restoration that would fac il itate the reconnection of channel from upst ream to downstream of the current crossing . Mobile Bay NEP has been awarded a $2 .7 M GOMESA grant for stream restoration of Fly Creek . Page 23 of 120 If awarded , these RAISE Grant funds would be sufficient to cover the additional cost of bridging . We are requesting approval to apply for up to $20M for new bridges over Fly Creek on US Hwy 98 . The grant has a 20 percent match . ALDOT has committed to providing the $4M match funds . In addition , the City of Fairhope will only serve as a Grant Fac ilitator , this project will be managed by ALDOT Southwest Region . We will only serve as the "pass through " agency . Thank you for your consideration of this request. Page 24 of 120 DEPARTMENT OF TRANSPORTATION Office of the Secretary otice of Funding Opportunity for Fiscal Year (FY) 2024 Rebuilding American Infrastructure with Sustainability and Equity (RAISE) Grant Program AGENCY: Office of the Secretary (OST), US Department of Transportation (DOT) ACTION : Notice of Funding Opportunity (NOFO) SUMMARY OVERVIEW OF KEY INFORMATION: RAISE Grant Opportunity Issuing Agency Office of the Secretary, US Department of Transportation Program Overview RAISE grants wi ll be awarded on a competitive basis , per statute, for planning or constructing surface transportation infrastructure projects that will improve safety; environmental sustainability ; quality of life ; mobility and community connectivity ; economic competiti veness and opportunity including tourism; state of good repair; partnership and collaboration; and innovation. Objective • Invest in surface transportation that will have a significant loc al or regional impact; and • Support projects that are consistent with the Department 's strategic goals : improve safety, economic strength and g lobal competitiveness, equity, and climate and sustainability. Eligible Applicants • States • District of Columbia • any territory or possession of the United States • a unit of lo cal government • a public agency or publicly chartered authority established by one or more States • a specia l purpo se district or public authority with a transportation function , including a port authority • a Federally recognized Indian Tribe or a consortium of such Indian Tribes • a transit agency • a multi-State or multijurisdictional group of entities that are separately eligible Eligible Project Types • highway or bridge projects eli gib le under title 23, United States Code • public transportation projects elig ibl e under chapter 53 of title 49 , United States Code 1 Page 25 of 120 • passenger and freight rail transportation projects eligible under title 49 • port infrastructure investments (inc ludin g inland port infrastructure and land ports of entry) • the surface transportation components of an airport project eli gib le for assistance under part B of subtitle VII of title 49 , United States Code • intermodal projects whose components are otherwise an eli gib le project type • projects to replace or rehab ilitate a culvert or prevent stormwater runoff for the purpose of improving habitat for aquatic species while advancing the goals of the RAISE program • projects investing in surface transportation facilities that are located on Tribal land and for which title or maintenance responsibility is vested in the Federal Government • any other surface transportation infrastructure project that the Secretary considers to be necessary to advance the goals of the program Funding Infrastructure Investment and Jobs Act (Pub . L. 117-58 , November 15 , 2021 , "Bipartisan Infrastructure Law ," or "BIL") provides $1.5 billion annually for FY 2022 -2026 Deadline • FY 2024 Deadline: February 28, 2024 at 11 :59 pm Eastern • FY 2025 D eadline: January 13, 2025 at 11 :59 pm Eastern • FY 2026 D eadline: January 13, 2026 at 11 :59 pm Eastern This notice describes the application requirements , selection and evaluation criteria, and applicab le program and Federal req uirements. ASSIS TANCE LISTING NUMBER: 20.933 National Infrastructure Investments DATES : Applications must be submitted by 11:59 PM Eastern on February 28 , 2024 WEBINAR : OST plans to conduct outreach regarding the FY 2024 RAISE NOFO in the form of webinars . The webinar schedule wi ll be posted when availabl e on the RAISE outreach webpage .1 ADDRESSES : App li cations must be submitted through Grants .go v FOR FURTHER INFORMATION CONT ACT: DOT wi ll not review applications in advance of their submission but RAISE program staff are available for questions. For further information concerning this notice , please contact the RAISE grant program staff via e-mail at RAISEgrants @dot.gov or call Andrea Jacobson at 202-366-9603 . A TDD is available for individuals who are deaf or hard of hearing at 202-366-3993 . In addition, DOT will regularly 1 http s://ww w.tran sportation .gov /RAISEgrants/outreach 2 Page 26 of 120 post answers to questions and requests for clarifications on the F AO website2 as well as information about webinars for further guidance on the RAISE program website . 3 SUPPLEMENTARY INFORMATION: The organization of this notice is based on an outline set forth in Appendix I to Title 2 of the Code of Federal Regulations (CFR), Part 200, to ensure consistency across Federal financial assistance programs . Each section of this notice contains information and instructions relevant to the application process for these RAISE grants, and all applicants should read this notice in its entirety so that they have the information they need to submit eligible and competitive applications. Table of Contents A. Program Description 1. Overview 2. Program Goal and Objectives 3. Changes from the FY 2023 NOFO B . Federal Award Information 1. Amount Avai lable 2. Award Size 3. Restrictions on Funding 4 . Availabi li ty of Funds 5 . Previous RAISE/BUILD/TIGER C . Eligibility Infmmation 1. Eligible Applicants 2. Cost Share or Non-Federal Match 3. Eligible Projects 4. Definition of Rural and Urban Areas 5. Areas of Persistent Poverty and Historically Disadvantaged Communities 6. Project Components 7. Application Limit D . Application and Submission Information 1. Address to Request Application Package 2 . Content and Form of App li cation Submission a. Project Description b . Project Location c. Project Budget d . Merit Criteria e. Project Readiness f. Benefit-Cost Analysis 3. Unique Entity Identifier and System for Award Management 4 . Submission Dates and Timelines 2 https://www.transportation.gov/RAISEgrants/raise-application-fags 3 https ://www.transportation.gov/RAISEgrants/outreach . 3 Page 27 of 120 5. Funding Restriction 6. Other Submission Requirements E. App li catio n Review Information 1. Criteria a. Merit Criteria b . Project Readiness c . Benefit-Co t Analysis 2. Review and Selection Process 3. Additional Information F. Federal Award Administration Information 1. Federal Award Notices 2 . Administrative and ational Policy Requirements 3. Reporting G . Federal Awarding Agency Contacts H . Other Information I. Protection of Confidential Business Information 2 . Publication and Sharing of Application Information ection A -Program Description 1. O ve rview The Infrastructure Inve tment and Jobs Act (Pub . L. 117-58 , November 15, 2021 , "Bipartisan Infrastructure Law," or "BIL ") authorized and appropriated $1.5 billion annually to be awarded by the Department of Transportation ("DOT") 2022 -FY 2026 for Local and Regional Project Assistance Program Grants under National Infrastructw-e Investments. The program is codified at 49 U.S.C . 6702 . The BIL requires the DOT to publish a otice of Funding Opportunity (NOFO) no later than 60 day after fund are made a ailable for the program , which for FY 2024 is ovember 30, 2023. In order to comply with this requirement, thi NOFO olicits applications for projects to be funded under the Local and Regional Project Assistance Program , known as the RAISE Grants program. If the FY 2024 Appropriations Act, or other subsequent Acts, provide additional funding or sigruficantly alter requirements for the RAISE Grant program , the Department will amend this otice with guidance on additional requirements . The FY 2024 -2026 round of RAISE will be implemented, as appropriate and consistent with law , in alignment with the prio1ities in Executive Order 14052, Implementation of th e 4 Page 28 of 120 Infrastructure In vestments and Jobs Act (86 FR 64355), whi ch are to invest efficientl y and equitabl y, promote the comp et iti ve ness of th e U.S . economy , impro ve job opportunities by focusi ng on hi gh labor standards, str ength en infra struc ture res ili ence to all hazards including climate chan ge, and to effectively coordinate with State, local, Tribal, and territorial governm ent partners . 2. Program Goa ls and Objectives The goal of the RAISE program is to fund eligibl e surface transportation projects that will have a significant lo cal or regional impact that advance the Departm ental priorities of safety, equi ty, climate and su stainabili ty, and workforce d evelopm ent, job qu ality , and wealth creation , consistent wi th law, and as described in the Departm ent 's Strategic Plan4 and in executi ve ord ers. The Dep artment seeks to fund projects under the RAISE program that redu ce greenho u se gas emissio ns in th e transportation sector ; inco rporate evidence-based climate r esilie nce m easures and fea tures ; avo id adverse environmental impacts to air or water qu ality , wetlands , and endangered spec ies; and address th e di sproportionate negative environm ental impacts of transportation on di sadvantaged co mmunities, consistent wi th Executive Order 1400 8, Tackling th e Climate Crisis at Hom e and Abroad (86 FR 7619). In add ition, the Department seeks to award projects under th e RAISE pro gram that proactively eva lu ate wh eth er a proj ect will create proportional impacts to all populations in a project area and increase equitabl e access to proj ec t ben efi t s, consistent w ith Exec uti ve Order 13985 , A dvancing R acial Equity and Support for Unders erved Communiti es Through th e F ederal Governm ent (86 FR 7009). The Department also seeks to award proj ects that address env ironm ental justice , particularly for communiti es that have experienced decades of und erinves tm ent and are mo st impacted by climate change , pollution, and environm ental h azards , co nsis tent with Executive Order 1400 8, Tackling th e Climate Crisis at Hom e and Abroad (86 FR 7619). Th e RAISE program advances President B id en 's Justice40 Initiative which set th e goal that 40 percent of the overall b en efit s of certain climate, clean energy, and other covered Federal investments flow to disadvantaged comm uniti es . In ad diti on , the Department intend s to use the RAISE program to support th e creation of goo d- paying j ob s with th e free and fair choi ce to join a uni on and th e incorporation of strong labor standard s and training an d placement pro gram s, especiall y registered apprenticeships, in proj ec t planning stages , co n sistent with Executive Ord er 14025, Worker Organizing and Empowerm ent (86 FR 22829), and Executive Order 1405 2 , I mplementation of the Infrastru cture Investment and Job s Act (86 FR 64335). The Departm ent also intends to u se the RAISE pro gram to support wealth creat ion , co nsistent with th e Dep artm ent's Equity Ac tion Plan , through the inclusion of local inclusive economi c development and entrepreneurshi p su ch as the utilization of Di sadvan tage d Busin ess Enterprises or 8(a) firm s . 4 See U .S . Department of Tran sportation Strategic Plan FY 2022-2026 at https://www.transportation.gov/dot- strategic-plan . 5 Page 29 of 120 The BIL included pro visions for Metropolitan Plannin g Organizations to cons id er integrating transportatio n p lanning, housing, emp loyment opportunities, and econo mi c development strategies . 5 The Departm ent strongly encourages appli cants to utili ze these new planning coordination opportunities in thei r propo sed proj ects and describ e them in th eir app li cations . ote, the RAISE program can onl y fund the surface transportation infrastructure elements of a project th at may also include hou s in g, em plo yment opportuniti es , and eco nomic development strategies . Section E of this NOFO , which outlines FY 2024 RAISE Grant merit crit eria, describes th e process for selecting projects that furth er th ese goa ls . Section F .3 describes progress and performance reporting requirements for selec ted projects, including the relationship between that reporting and the pro gram 's se lec tion criteria. The FY 2024 RAISE NOFO includes a Reco nn ectin g Communiti es and Neighborhood s (RCN) Program Extra elem ent. Applications for th e FY 2024 RAISE grant program that have id enti cal project sco p e to ap pli cations that were submitted and evalu ated und er the FY 2023 R eco nn ecting Communities eighb orhoods Pro gram competition and received the d esign ation of "RC N Program Extra ," will aut omaticall y advance for second-tier analysis if they recei ve an overall merit ra tin g of "R eco mm ended " and ha ve at least one "High " rating in a priority criter io n. See Section E.2. The D epartment ex p ec ts projects th at rated well und er th e FY 2023 RCN Pro gram criteria wi ll do well und er the FY 2024 RAISE pro gram cri teria. Applicants sh ould not e in th e FY 2024 RAISE Proj ect Information Form whether their FY 2 024 RAISE application was also submitted und er th e FY 2023 RCN competition and received a RC N Pro gram Extra designation . 3. Changes from the FY 2023 OFO This FY 2024 RAISE NOFO makes chan ges from the FY 2023 RAISE NOFO to : • Simp li fy the NOFO with th e u se of pl ain lan guage and tables to organize info1mation . • Refin e th e m erit criteria rating rnbri c. For examp le, this N OFO provides more exampl es of proj ect e lem ent s that a li gn w ith a "Hi gh' rating under Safety , Environmental Sustainability , and Innovation. Pl ease see th e merit criteria rating rnbri c in Secti on E for more d etai ls . • Clarify what appli cants should pro vi de in th e Project Budget document for the Financial Comp leteness R ev iew . • Update data used to determine Urban , Rural, and Areas of Persistent Pove1iy designations , and uses the Climate & Economic Justice Screening Tool (CEJST), created by th e White House Cou ncil on Environmenta l Qua lity (CEQ), to id entify Historically Di sadvan taged Communi ti es . In addition to providing the app li cation, obli gation , and expenditure d eadlin es for FY 2 024 funding , th e Department out lin es th e appli ca tion , ob li gati on, and expenditure deadlines for FY 5See BIL div . A§ 11201., Tran sportation Planning , which amends 23 U .S.C. 134 . 6 Page 30 of 120 2025 and 2026 fundin g for awareness . The D epartm ent intends to publish sub sequent NOFOs for FY 2025 and 2026, which may incorporate additional changes as necessary and appro pri ate. Additionall y, FY 2024 Projects of Merit, whi ch are Highly R ated appli cations not selected for award, wi ll automati ca ll y be carri ed forward for consideration und er FY 2025 RAISE funding . However, if there are any changes to the FY 2024 project being considered in the FY 2025 round, including but not limited to scope, sc hedul e, and budget, an applicant must sub mit an amendm ent to the application by th e FY 2025 app li cation deadline in order to be cons id ered. Applicants are encouraged to submit a summary of all changes with the updated app li catio n . The applicant is also respo nsible for updating an app li cation should th e FY 2025 RAISE NOFO include program or policy changes from this FY 2024 NOFO. Applicants who are pl anning to re-apply for th e RAISE program u sing m aterials prepared for prior competitions should ensure that their prior application fully ad dresses the criteria and considerations d escrib ed in this No ti ce and that all relevant information is up to date and submitt ed in th e prop er format outlined in Section D . Section B -Federal Award Information 1. Amount Available The BIL authorized and appropriat ed $1.5 billion to be award ed by the Secretary for RAISE grants under the Local and Regional Proj ect Assistance Program for FY 2024 . 2. Award Size For cap ital grant s, th e minimum RAISE grant award is $5 million in urban areas and $1 million in rural areas . There is no minimum award amount for planning grants. The maximwn grant award for cap ital and pl anning grants is $25 million . If selected for award, th e D epartment may d ec rease the RAISE funding request amo unt if so m e elements of the project are ineligible or to compl y with statutory set asides such as awarding funding evenly between projects lo cated in rural and urb an areas . 3. Restrictions on Funding No more than 15 percent (or $225 million) made available for RAISE grants may be award ed to projects in a sing le State. DOT must award at least 5 percent (or $75 million) to planning projects and at least 11 percent ( or $15 million) to projects lo cated in historically disadvantaged communities or areas of persistent poverty . Not more than 50 percent of th e fund s provided for RAISE grants (or $750 million) shall be awarded to rural projects (as defined in section C.4) and not more than 50 percent of the funds pro vi ded for RAISE gran ts ( or $750 million) shall be awarded to urban projects (as defined in section C.4). The Department may retain up to $30 million for oversight and adminis tration of grants . The D epartment may u se up to 20 percent of avai lab le funds ( or $300 million) to pay th e sub sidy and adminis trative costs of a project receiving credit assistance under th e Transportation Infrastructure Finance and Innovation Act of 199 8 (TIFIA) or Railroad R eh abi li tation and Improvement Financing (RRIF) pro grams , parti cu larly trans it and transit-oriented development 7 Page 31 of 120 (TO D) proj ec t s. Note, applicants mu st apply to both the RAISE pro gram and TIFIA or RR1F loan to be eli gibl e for the D epartm ent to pay for sub sidy and administrative costs assoc iated with credit assistance. In October 2022, th e Secretary app rove d the "TIFI A 49 Initiati ve," w hi ch authorizes tran sit and transit-oriented developmen t (TO D) proj ec t s to borrow up to 49 percent of eligib le project cos ts for projects that m eet eli g ibil ity requirements . TIFIA loan s have hi stori ca ll y been capp ed at 33 p ercent of eli gi ble proj ect cos ts. 4. Ava ilabili ty of Funds FY 2024 RAISE grant funds are avai labl e for obligation through September 30, 2028. Obligation occurs when a selec ted appli cant and the Departm ent enter into a wri tt en grant agreement after the app li cant has sati sfied app li cabl e administrative requirem ents, such as transportation planning and environmental review r equirem ents for capi tal co nstru ction proj ects. Note, so m e grant recipients enter into phased obligations with the Department. Unl ess authorized by the Department in writing after announcement of FY 2024 RAISE awards, any costs incurred prior to the Department 's o bli gatio n of fund s for a proj ect ("pre-award costs ") are in eli g ibl e for reimbursement.6 FY 2024 RAISE fund s mu st be expended (the grant obligation must b e liquidated or p aid out to th e grant recipi ent) by September 30, 2033 . After this date , unex p end ed funds are no lon ger avai labl e to the project. In the table belo w, th e D epartment outlines th e different ap pli cat ion deadlines as we ll as th e obligation and ex p enditure deadlines for each year of funding . BIL Fiscal Year BIL Funding BIL Funding Funding Obligation Deadline Expenditure Deadline FY 2024 September 30 , 2028 September 30, 2033 FY 2 025 September 30, 2029 September 30, 203 4 FY 2026 September 30, 2030 September 30, 2035 5. Previous RAISE/BUILD/TIGER Recipients of RAISE (formerly named B etter Utilizing Investments to Leverage D eve lopm en t (BUILD) and Transportation Investment Generating Economic R ecovery (TIGER)) grant s may apply for fundin g to supp ort additional phases of a project previously awarded funds in the RAISE/BUILD /TIGER program . Ho wever, to b e competitive, th e appli cant should d emo nstrate the ex tent to whi ch the prev iously fund ed proj ect phase has m et es tim ated project schedul es and budget, as we ll as th e ability to realize the b en efit s expected for th e project. A previous RAISE/BUILD/TIGER award, or application , do es not affec t co mp etiti veness under th e FY 2024 RAISE co mp etition . 6 Pre-award costs are costs incurred after award annou ncement, but directly pur suant to the negotiation of a grant agreemen t where suc h costs are necessary for efficient and timel y performance of the scope of work , as determined by DOT . Costs incurred un der an advance construction (23 U.S.C . 115) auth orizat ion before the DOT a nnounce s that a project is se lected for a FY 2024 RAISE award cannot be charged to FY 2024 RAISE funds . Likewise, costs incurred under an FTA Letter of No Prejudice und e r Chapter 53 of title 49 U.S.C. before the DOT anno un ces th at a project is se le cted for a FY 2024 RAISE award , cannot be charged to FY 2024 RA I SE funds . 8 Page 32 of 120 C. Eligibility Information 1. Eligible Applicants Eligible applicants for RAISE grants are : States and the District of Co lumbi a; any territory or possession of the United States ; a unit of local government; a public agency or publicly chartered authority established by one or more States ; a special purpose district or public authority with a transportation function , including a port authority; a Federally recognized Indian Tribe or a consortium of such Indian Tribes ; a transit agency; and a multi-State or multijurisdictional group of entities that are separately eligib le. Federal agencies are not eli gib le applicants for the FY 2024 RAISE program. Multiple States or jurisdictions may submit a joint application and should identify a lead applicant as the primary point of contact and also identify the primary recipient of the award . Joint app li cations should include a description of the roles and responsibilities of each applicant. DOT expects that the eligible app li cant submitting the application will administer and deliver the project. If the app li cant seeks a transfer of the award to another agency , that intention should be made clear in the app li cation and a letter of supp ort from the otherwise eligible, designated entity should be included in the application . 2. Federal Cost Share The Federal share of the costs of an eli gib le project carried out using a grant provided und er the RAISE grant program shall not exceed 80 percent unless the project is located in a rural area, a historicall y disadvantaged community (HOC), or an area of persistent poverty (APP). Urban area and rural area are defined in Section C.4 of this notice. HDCs and APPs are defined in Section C.5. Applicants should u se the following equation when determining the cost share for their project: (RAISE Grant Request+ Other Federal Funds) T l p . C = Federal Cost Share ota ro1ect ost Federal cost share may not exceed 80 percent for urban projects that are not located in an APP or HOC . For the RAISE Program, Total Project Cost means the sum of future eli gibl e Federal and Non- Federal costs that have not yet been incurred . Total Project Cost cannot include any previously incurred costs. The Department does not use an app li cant 's cost share w he n eva lu ating application s on merit. The Department considers an app li ca nt 's cost share during the eva lu ation and selection process onl y to confirm eli gibi li ty for urban projects that are not located in an APP or HOC . 9 Page 33 of 120 on-Federal sources includ e State funds originating from programs funded by State revenue, lo ca l funds originating from State or loca l revenue-fund ed program s, or private funds . The BIL also al lows for the fo ll owing Federa l fu nd s to be considered "non-Federal" for the purpose of the RAISE program : (A) tribal transportation program funds under section 202 of title 23; (B) Federal land s transportation program funds under sec tion 203 of tit le 23 ; (C) TIFIA program funds (as defined in section 601(a) of title 23); and (D) Railroad Rehabi litation and Impro vement Financing Program und er chapter 224 . Toll credits under 23 U.S.C. 120(i) are co nsidered a Federal so urc e under th e RAISE program and , therefore, cannot be u sed to satisfy the statutory cos t sharing requirement of a RAISE award. Unless otherwise authori zed by statute, funds used to satisfy the non-Federal cost-share requirements of a different Federa l program may not be co unted as th e non-Federal cost-sh are for both the RAISE grant and another Federal grant program . DOT wi ll not consider previous ly incurred costs or prev ious ly expended or encumbered fund s tow ard s the non-Federal cost-share requirement for any project. Non-Federal cos t-share funds are subject to the same Federal requirements described in Section F.2. as award ed fund s. If repaid from non-Federa l sourc es, Federal credit assistance is co n sidered non- Federal share . See Section D .2 for information about documenting cos t sharing in the application. For each project that recei ves a RAISE grant award , the te rms of th e aw ard wi ll re quire th e reci pi ent to compl ete th e project usin g at leas t the leve l of non-Fed e ral fundin g th at was speci fi ed in th e applica tio n . If th e actual co sts of the proj ect are gr ea ter th an the co sts estimated in th e appli cati on, t he re cipi e nt w ill be res pons ibl e fo r address ing the fundi ng s ho rtfa ll a nd main ta in ing the level of non -Fed era l fu ndin g state d in th e ap pli cati on . If th e actua l costs of the project are les s than the costs estimated in the application, th e Department will ge nerall y r edu ce th e Fed era l contribution to ensure federal cost share requirement s are met. 3. Eli gibl e Proj ects Ca pi ta l P roj ect s Eligible projects for RAISE grants are surface tran sportation capital projects within the United States7 or an y territory or po ssess ion of the United States that are : (1) highway or bridge proj ects e li g ible under title 23 , United States Code; (2) publi c transportation projects eligible under ch apter 53 of titl e 49 , United States Cod e; (3) pas senger and freight rail transportation proj ects; ( 4) port infrastrn cture in ves tments (including inland port infrastructure and land ports of entry); (5) the surfac e transportation co mponents of an airport project eligible for assistance under part B of subtitle VII of tit le 49 , United States Code ;8 (6) intermodal projects whose co mponent parts are otherwise an eligible proj ect typ e; (7) projects to replace or rehabi litate a cul ve1t or prevent 7 ln add ition to projects located in the U nited States, e li g ibl e projects fo r RAISE grants in c lud e projects th at are necessary for reconstruction of th e A laska Hi ghway fro m the A la kan border at Beaver Creek, Yukon Territory, lo Haines Jun cti on in Cana d a and the Haines Cutoff Hi gh way from Haines Jun cti on in Canada to Haines, Alaska, as provided in 23 U.S .C . 218. 8 Eligib le surfa ce tr anspo rt at ion compo nent s of e li g ibl e airport projects are th ose projects li sted in "Ap pendi x P : Roa d an d Surfa ce Transportation Projects" of th e A irp o rt Imp rovement Program ( IP) handb ook, ava il abl e at http s://www.faa .go v/a irport s/aip/aip handboo k/?Chapter=App endi x#PP00 . For more de tails on airport proj ect eligibi li ty, please see the Frequentl y Asked Question at http s://www.tran sportation .go v/RAlS E grant s/rai se- application-faq s . 10 Page 34 of 120 stormwater runoff for the purpose of improving habitat for aquatic species while advancing the goals of the RAISE program ; (8) projects investing in surface transpo,tation facilities that are located on Tribal land and for which titl e or maint enance responsibility is vested in the Federal Government; and (9) any other surface transportation infrastructure project that the Secretary considers to be necessary to advance the goa ls of the program . 9 The Secretary cons iders the following projects necessary to advance the goals of the program , and therefore eli gib le: public road and non-motorized projects th at are not otherwise eli gib le under title 23, United States Code; surface transportation components of transit-oriented deve lopment projects; and s urface transportation components of mobility on-demand projects that expand access and reduce transportation cost burden . If an application includes right-of-way acquisition, the project will be considered a capital project. Projects that include right-of-way acquisition should include a timeline for construction. The fo ll owing projects are not considered necessary to advance the goals of the program , and, therefore, they are ineligible: schoo l bus e lectrification and broadband deployment as a standalone project. Furthermore, improvements to Federally owned facilities are ineligible under the FY 2024 RAISE program, unless they are projects investing in surface transportation facilities that are located on Tribal land and for which title or maintenance responsibility is vested in the Federal Government. If a project type is not described as exp li citly eligib le or ineligible above, then applicants should exp lain in their app lication why the project is necessary to advance the goa ls of the program, and the Department wi ll determine eli gibility on a case-by- case basis. Research, demonstration, or pilot projects are eligibl e only if they wi ll result in long-term, permanent surface transportation infra structure that has independent utility as defined in Section C.6. Planning Projects Activities eli gib le for funding under RAISE planning grants are related to the planning, preparation, or design-for examp le environmental analysis, equity analysis , community engagement, feasibility studies, benefit-cost analysis , and other pre-construction activities--of eligible surface transportation capital projects described in Section C.3 that will not result in construction with RAISE FY 2024 funding. In addition, activities eli gible for RAISE planning grants include those related to multidisciplinary projects or regional planning, such as: (1) development of master plans, comprehensive plans, transportation corridor plans , and integrated economic development , land use , housing , and transportation plans ; (2) zero emissions plan for transit fleet ; (3) planning activities related to the de ve lopment of a multimodal freight conidor, including those that seek to reduce conflicts with residential areas and with passenger and non-motorized traffic ; (4) planning 9DOT may award a RAISE grant to pay for the urface transportation components of a broader project that ha s non- surface transportation co mpon ent , and applicant are encouraged to apply for RAISE grants to pay for the surface tran sportation components of the e projects. However, costs for non-surface tran portation components are not eligible to count as matching fund for the RAISE grant. 11 Page 35 of 120 activities related to zero emjssions goo d s mov ement; (5) development of port and regional port planrung , including State-wide or multi-port planning within a sing le jurisdiction or region ; and (6) risk assessments and planrung to identify vulnerabilities and address the transportation sys tem 's abi lity to with stand probable occ urr enc e or recurrence of an emergency or major di saster. As stated above, projects that include right-of-way acquisition are capital projects and , therefore , not eligible for RAISE planrung grants. 4. Definition of Rural and Urban Areas Rural and urban defimtions are different in other DOT program s. For the RAISE program : Urban -A project is designated as urban if it is located within (or on the boundary of) a Census-designated urban area10 that had a population greater than 200,000 in the 2020 Census.11 Rural -A project is designated as rmal if it is located outside a Census-designated urban area that had a population greater than 200 ,000 in the 2020 Census. The Department will have an interactive map on the RAISE website to show Census-designated urban areas with populations greater than 200,000 in th e 2020 Census. A project located in both an urban and a rural area wi ll be de signated as urban if the majority of the project's costs wi ll be spent in urb an areas . Conversely, a project located in both an urban area and a rural area will be de signated as rural if the majority of the project's costs wi ll be spent in rural areas. For RAISE planrung grants , the lo cation of the project being planned , prepared, or designed will be used for the urban or rural designation . Trus defimtion affects four aspects of the program : (1) not more than 50 percent (or $750 million) of the fund s pro vi ded for RAISE grants are to be used for projects in rural areas; (2) not more than 50 percent (or $75 0 million) of the funds pro vided for RAISE grants are to be used for projects in urban areas ; (3) for a capital project in a rural area, the mimmum award is $1 million , wru le th e mimmum capital award for urban areas i s 5 million ; and (4) the Secretary may increase th e Federal share above 80 percent to pay for the eli gib le costs of a proj ec t in a rural area. 5. Areas of Persistent Poverty and Historically Disadvantaged Communities The defirution for Areas of Persistent Poverty is found in the RAISE statute: Areas of Persistent Poverty (APP) -(1) any co unty that has consistently had greater than or equal to 20 percent of the population li ving in po verty during th e 30 -ye ar period 10 Lists of 2020 UAs as defined by the Ce ns us Burea u are available on the Census Bureau website at https:/ /www.census.gov/ geograph i es/reference-maps/2020/ geo/2020-census-urban-areas.h tm 1. 11 For the purpose of thi s NOFO, the definit ion of urban and rural is based on the 2020 Census-desig nated urb anized areas. The Department is required by the BIL to use th e m ost recent decennial census inform ation . See https ://www.transportatio n.gov/RAlSEgrants/urban ized-areas for a list of 2020 Cens us-designated UAs. 12 Page 36 of 120 preceding N ove mb er 15 , 2 021 , as m easured by th e 1990 and 2000 12 decenni al censu s and the mo st recent annu al Small Area In com e Poverty E stim ates as es tim ated by th e Bureau of th e ce nsu s; (2) any censu s tra ct with a poverty rate of at leas t 20 perce nt as measured by th e 2014-201 8 5-year data seri es av ailabl e fro m th e Ameri can C ommuni ty Survey of th e Bureau of th e Census; 13 or (3) an y te rrit ory o r possess ion of th e United State s. A county sa ti sfi es thi s d efiniti on onl y if 20 perce nt of it s p opul ati on was living in po ve rty in all thr ee of th e li sted datase ts: ( a) th e 1990 d ecenni al cen su s; (b ) th e 2000 d ece nni al cen sus; and (c) th e 202 1 Small Area In com e P overty E stim ates .14 DO T will li st all co unti es and cen su s trac t s that m eet thi s d efiniti on fo r Areas of P ersistent P overty RAISE website as well as prov id e an intera cti ve m ap on the RAISE website .15 The definiti on of hi stori ca ll y di sadvantaged communiti es fo llow s th e Ju sti ce40 Int erim Guidance Add endum , iss u ed by th e White House Offi ce of M anagem ent and Budget (0MB), White Hou se Co un cil on En vironm ental Qu ali ty (C EQ), and C lim ate Poli cy Of fi ce (CPO ): 16 Historically Disadvantaged Communities (HDC) -(1) an y censu s tract or tr ac ts id entifi ed as di sadvantaged in th e Climate & Economic Justice Screening Tool (geoplatform.gov) (CEJ ST), 17 created by CEQ , whi ch id entifi es su ch co mmuniti es th at h ave been mar g inali ze d b y und erin ves tm ent and overburd ened by po llu tion.; (2) an y Fed erall y R ec ogni zed Trib e or Tribal enti ty , whether or not th ey have lan d . DOT will li st all censu s tracts th at m eet thi s de finition for Hi stori call y Di sad vantaged Co mmuniti es as well as pro vid e an in terac ti ve m ap on th e RAISE website . 6. Project Components An appli cati on m ay descri be a proj ect th at contain s m ore than one co mp on ent and m ay d esc rib e co mp onent s th at may be carried out by parti es oth er th an the applic ant. Th e Dep artment ex p ec ts, an d will imp ose requirement s on rec ipi ent s to ensure , th at all co mp onent s in clud ed in an ap pli cation w ill b e deli ve red as p art of th e RAIS E proj ec t , reg ardl ess o f wheth er a co mpon ent includ es F ed eral fundin g. The statu s of each comp onent should be c learl y described (for ex ampl e, in th e projec t sc h edul e). The Departm ent m ay award fund s for a compon ent , instead of th e larger proj ec t, if th at com ponent: (1) ind ep end entl y m eet s minimum award amo unts desc rib ed in Section B and all eli gi bili ty requirement s described in Section C ; (2) ind ependentl y ali gn s we ll with the se lection criteria sp ec ifi ed in Sec ti on E . l ; and (3) meets Na ti onal E nvironmental P oli cy Act (NEPA) req uirem ent s with res pect to indep end ent utility. Ind ep end ent utili ty mea n s th at th e component 12 See https://www.census.gov/data/tables/time-series/dec/census-poverty.html fo r co un ty dataset. 13 See https://data.census .gov/cedsci/table?g=ACSSTI Y2018.S 170I&tid=ACSST5Y2018 .S 1701 &hidePreview=false for 2014-20 18 five year d ata serie from the Am erican Co mmu nity Survey 14 On December 15 , 2022 , the 2021 Sma ll Area In come Poverty Estimates (SA IPE) Data et was publis hed at https://www .ce nsus.gov/data/data ets/2021 /demo/saipe/2021-state-and-county.html . 15 www.transportation.gov/RAISEgrants /raise-app-hdc 16 M-23-09 (Jan . 2023), http s://www.whitehouse.gov/wp-content/uploads/2023 /0I/M-23- 09 Signed CEO CPO.pdf. 17 https://screeningtool.geoplatform.gov/en/ 13 Page 37 of 120 will represent a transportation improvement that is usable and represents a reasonable expenditure of DOT funds even if no other impro vements are made in the area and wi ll be ready for intended use upon comp letion of that component's construction . All proj ect components that are presented together in a single application must demonstrate a relationship or connection between th em . See Section D .2 for R equired Approvals. Applicants shou ld be aware that, depending upon the relationship between project components and app li cab le Federal law , DOT funding of only some project components may make other project components subj ect to Federal requirements as described in Section F.2. DOT strong ly encourages app li cants to identify in their app lications the project components that have independent utility and separately detail costs and requested RAISE grant funding for those components . If the application identifies one or more independent project components , the application shou ld clearly identify how each independent component addresses selection criteria and produces benefits on its own, in addition to describing how the full proposal , of which the independent component is a part, addresses se le ction criteria. 7. Application Limit Each lead applicant may submit no more than three applications. Unre lated project components should not be bundled in a single application for the purpose of adhering to the limit. If a lead applicant submits more than three applications as the lead app li cant, only the first three received will be considered . D. Application and Submission Information 1. Address to Request Application Package All app li cation materials may be found on Grants .gov at www .grants .gov . Instructions for submitting applications can be found on the RAISE program website 18 along with forms and attachments required for submission . 2. Content and Form of Application Submission All app li cations must be submitted electronica ll y through Grants.gov at www .grants .gov . The Department expects the application to include these files in the fo ll owing order, using the following file names : Information File Name NOFO Section Page Limit SF-424 SF-424 D.2 NIA Project Information Form FY 2024 RAISE Project D .2 NIA (Excel file) Information Form Project D escription Project Description D.2 5 pages Project Location File Project Location File D .2 NIA Project Bud get Project Budget D.2 5 pages 18 http s://w ww .tran sportation .gov/RAISEgrant s/appl y 14 Page 38 of 120 Funding Commitm ent Fund in g Commitments D .2 NIA Documentation Merit Crit eria Merit Cri teria Narrative D .2 and E.1 15 pages Project Readiness Project R eadiness D .2 and E.l 5 pages Benefit-Cost Analysi s arrative (capital projects only) BCA Narrative D .2 and E.l NIA Benefit-Cost Analysis Calcul ations ( capital projects BCA Calculations D.2 and E.l NIA only, unlocked Excel file) Letters of Support (Optional) Letters Of Support D 2 and E.l NIA The Department expects the application files be prepared w ith standard formatting preferences (a sing le-spaced document, using a standard 12-point font such as Times New Roman , with I-inch margins), and documents should be submitted in PDF , unless otherwise specified (i.e., project information form should be in Excel, project lo cation map files can be Shapefiles , GeoJSON, KML or KMZ , and th e BCA calculations should be submitted in Excel). The app li cation files should collectively include all information necessary for the Department to determine that the proj ect sa tisfies project requirements described in Sections B and C and to assess th e se lection cri teria specified in Section E. l. The Department expects applications to be complete up on submi ssion . The Department may ask any applicant to supp lement data in it s app li cation, but an app li cant is not required to do so. Unsupported claims related to th e selection criteria (merits , project readiness, economic benefits , etc.) wi ll negatively affect competiti veness of the application, as de scribed throughout Section E.2. Supporting documents may be attached in addition to the listed files , but merit criteria eva lu ators are not req uired to r eview supporting documents attached to the app li cation or pro vided on websites as part of the merit criteria review described in Section E. The Department expects application file s to include the following detailed information : Standard Form 424 The SF-424 Application for Federal Assistance must be completed. App li cants may leave the following fields on th e form blank: 3, 4 , 5a, 5b , 6, 7, 11, 13 , and 14 . A number of separate files must be attached in Item 15 to provide required project information that is not included in the body of the SF-424. FY 2024 RAISE Project Information Form The project infonnation form can be downloaded from Grants.gov or from the RAISE program we bsite at https:llwww.transportation.gov/RAISEgrantsl apply. The FY 2024 RAISE Project Information Form on will be u sed to determine app licant and project eli gibili ty for the program as described in pait C of thi s notice . 15 Page 39 of 120 Informati on suc h as applicant name, RAISE amount requested, o th er Federal funding, non- Federal funding, etc. may be requested in varying degrees of detail on both the SF-424 and the FY 2024 RAISE Project Information Form. Applicants must fill in all fields unless stated otherwise on the forms. a. Project Description This file must provide a description of the project that is to be planned or constructed and should include a detailed statement of work that focuses on the technical and engineering aspects of th e project, the current design status of th e project, the transportation chall enges that the project is intended to address , and how the project is ex p ected address those chall enges. This file m ay also discuss the project 's hi story , in c ludin g a descripti on of any previously comp leted co mp onents. The app li cant may u se this fi le to place the proj ect into a broader context of other transportation infrastructure investments being pursued by the app li cant. This file shou ld also describe the proj ec t location in a narrative fashion, including a detailed geographic description of the proposed project and map(s) of the project's location, to supplement the geographic project map provided in the project location file. The project location description shou ld narratively identify: • Area of Persistent Poverty -Indi cate whether the project is lo cated in an Area of Persistent P overty, including th e relevant County and/or census tract(s); • Historicall y Disadvantaged Community -Indicate whether the project is lo cated in a Historically Disadvantaged Community based on the Climate & Economic Justice Screening Tool (CEJST); and • Urban areas -Indicate the Census-designated urban area in which the project is located . b. Project Location Applicants sho uld submit one of the fo ll owing file types for project location identification. This will be used to verify the urban/rural designation and the APP/HDC designations described in the Project Description file . These location designations, together with budget information, co uld affect eli gibility under the FY 2024 RAISE grants program, as described in NOFO Section C. Therefore, accuracy in the location file is important. Acceptab le file types are: Shapefile (compressed to a .zip file containing at least the .shp , .shx , .dbf, and . p1j components of the Shapefi le), GeoJSON, KML, or KMZ. Ap pli cants may use Google Earth, a publicly avail abl e online mapp ing tool, to prepare a KML file . These spatial files should include onl y the direct ph ys ical location of the project, and not a broad service area or area of impact. c. Project Budget This file should describe the budget for the RAISE project using tables as well as include a narrative section . The RAISE project budget shou ld show future eligible project costs and should not include any previously incurred expenses . 16 Page 40 of 120 T he RAISE proj ect budget ta bl e shoul d sho w th e total proj ec t co s t broken into di ffe rent fundin g so urces by major proj ec t ac ti vity or co st cl ass ifi cati on and present tho se am o unts in do ll ar s and perce ntag es. Fun d in g so urces sho uld be gro up ed into three categories: (1) RAIS E fund ing req ues t; (2) oth er F ederal fund s; and (3) non-F ed eral Fund s. Id entify th e sp ec ifi c fund ing amo unt , typ e (grant, loan , bond , etc.), and source o f all fund s. If mu ltip le non-fed era l and oth er- federa l fundin g ar e b ein g ut ili zed , identi fy each sp ecifi c so urce b y nam e and th e amo unt th at so ur ce w ill co ntribute t o t he p ro j ec t's bud ge t. The RAIS E proj ect bud get tabl e should also show th at th e proj ect ati sfi es th e statuto ry co st share or non-fe deral fund s m atching requirem ent s d escrib ed in Sec tion C.2 if appli cab le. If need ed , th e D ep artm ent m ay requ es t addition al budget information to clari fy an appli cation . Th e Department enc ourages app l icant s to su bmit th e mos t re levant and comp lete information th ey can pro vid e. If the proj ec t contain s compon e nts , 19 th e bud get should separate th e cos ts of each proj ec t co mp onent. Tabl e 1: F undin g Source RA IS E Funds: Other F ed eral Fund s: on-F ed eral Funds: T otal Proj ect Co st: [Com onent 1] F undin g A mount [$XXX] [$XXX] [$XXX] [$XXX] [C om onent 2] F undin g A mount [ XXX] [$XXX] [$XXX] [$XXX] T ota l F undin [ XXX ] [$XXX] [ XXX ] [$XXX] If th ere is onl y a s in g le co mpo nent, re move "Co mpo nent 2" co lu mn . If th e re are more th an 2 co m po nents, add columns . A ppli cants shou ld compl ete and include th e fo ll owin g tabl es in th eir project budge t fi le. The Departm ent w ill u se th ese tabl es to determin e wh ere th e majority of proj ec t cos ts occur for the purp oses of making APP , HD C, and Urban d es ign at ions. The tot al proj ect cos t li sted in Tabl es 2a, 2 b, and 2c should ma tch th e tot al proj ec t c ost li sted on th e SF 4 24 and the FY 202 4 RAISE P rojec t Inform ati on Fo rm . Appli cants should refer to th e Grant Project Location Verification m apping to o l to id enti fy censu s tracts and urban d esign ati on s . Tabl e 2a: No te: Pl ease refer to th e Ce nsus Tracts (2 020 Census) laye r in th e Grant Project Location Verification m appin g too l to id enti fy 2 02 0 Census trac ts. 19 "Project co m po ne nts" mea n separate proj ec ts act ivi ti es are schedu led to be comp leted at the same ti me. 17 Page 41 of 120 2020 Census Tract(s) Pro_ject Costs per Census Tract rxx.xx1 $ rxx.xx1 $ rxx.xx1 $ rxx.xx1 $ rxx.xx1 $ rxx.xx1 $ rxx.xx1 $ rxx.xx1 $ rxx.xx1 $ Total Project Cost : $ Add more rows for additi onal census tracts , if need ed. Table 2b : No te: Please refer to the Disadvantaged Census Tracts from CEJST (20 10 Census) layer in th e Grant Project Location Verification mapping tool to identify 2010 Cens u s tracts . 2010 Census Tract(s) Project Costs per Census Tract rxx.xx1 $ rxx.xx1 $ rxx .xx1 $ rxx.xx1 $ rxx.xx1 $ rxx.xx1 $ rxx.xx1 $ rxx.xx1 $ rxx.xx1 $ Total Proj ect Cos t : $ Add more rows for addi ti ona l censu s tract s, if nee ded. Table 2c: Note : P lease refer to the Census D esignated Urban areas with Popula tion of More than 200,000 (202 0 Census) lay er in th e Grant Project Location Verification mapping tool to id entify urban ar eas. Urban/Rural Project Costs !Urban (2020 Ce nsus-designated urban area wit h $ ~ JJOJJu lat ion greater than 200,000) Rural (Located outside of a 2020 Census-~ d es ignat ed urban area with a population greater 1ha n 200,000) rrotal Project Cos t : $ The project budget narrative should in clud e: 18 Page 42 of 120 • Sour ces, Uses , and Ava il abili ty -Pro v id e co mpl ete informati on on how a ll c apital o r planning proj ec t fund s may be u sed , th e ir avail ability, and do c um ented fundin g commitment s. Fo r example , if a somce of fund s is av ai labl e onl y aft er a co ndition is sati sfi ed , th e appli ca ti o n shou ld ide ntify that co ndition and desc rib e th e appli cant 's control over wh eth er it is sati sfi ed . Simil arl y, if a source o f fund s is ava il abl e for ex p enditure onl y dur ing a fi xed p eriod , th e appli cati on should describ e th at res triction . Exampl es o f do cum e nta tion include, but ar e not limited to , a le tt er sign ed by a governin g offi c ial or c hi ef fin ancial offi cer co nfirming th e amount and so urce of fundin g, a page or pages fr o m th e STIP or TIP (pl ease do not includ e a link to th e entire ST IP /TIP), a sign ed city ordn an ce, or a co unty admini strator co mmitting prev iously appro ved gen eral obli gation bond s. • Con ti nge ncy A mo unt -Indicate th e sp ec ifi c contingency amount in clud ed in the budge t to d emonstrate th ere is suffici ent fundin g to co ve r unanticipated cost in c reases and desc rib e a p lan to address potenti al c ost overrun s . Planning proj ec ts are not required to includ e a contin gen cy amount but mu st describ e a plan to address pote nti al cost ove rruns. • Level of D es ign -In di cate th e degr ee of des ign compl etion ( e.g., no d es ig n , 30 , 60 , 90 percent d es ign ) for whi ch th e cos t was es tim ated in the case o f a c apital pro j ect ; • Cost Esti m ates -Indi cate ho w, when , and b y whom proj ect cos ts were es tim ate d . Cos t es tim a tes should be no old er th an a year fro m February 2 8, 2024 . If old er, pl ease appl y an infl ation factor. • Cost S hare or N on -Fed eral F undin g Match -Ex plain how th e proj ect budget sati sfi es th e statutory co st sh are or non-fed era l fund s matching requirem ents sh ow n in th e proj ec t bud get tabl e, if appli ca bl e. T he bud get should cl early id enti fy an y ex p e nses ex pec ted to be inc urred b etween tim e of award an d o bli gati on becau se th ese ex penses ar e not e li g ibl e fo r reimbursem ent , as descri b ed in Sec ti on B .4. Simil arl y, n on-F ed eral fund s in cmT ed prior to obli ga tion are not eli g ibl e to co unt as matchin g fund s n o r el igibl e to count tow ard s mee tin g th e level of non-F ed era l th at is b e in g committed in th e appli cati on , as d escrib ed in Sec ti on C.2. Unless authori ze d by th e D epartment in writin g after t he Se creta ry's announc em ent of FY 2024 RAIS E award s, an y cos ts that a rec ipi ent incur s befor e DO T exe cutes a grant a gree ment fo r that recipi e nt 's p roj ec t are ine lig ib le fo r reimbursem ent and ar e ineli gib le match for co st sh ar e requirem ents. d . Me ri t C riteri a Th e m erit criteri a narrati ve fi le should demonstrat e how th e proj ec t ali gn s w ith each of th e 8 statut ory m erit criteri a d escrib ed in Section E of thi s noti ce. Th e narrati ve s hould ex plain ho w an d wh y th e propo se d tra n sp ort ation infras tru cture proj ec t w ill address th e s ur face tran sportation pro bl em and achi eve b en e fit s under each criterion . T o do thi s, app lic ant s should : • organi ze merit criteria in th e ord er in w hi c h th ey are describ ed in th e Section E of th e N OFO ; • address each criterio n separately; • id enti fy th e e le me nt s o f th e prop osed proj ec t th at ali gn w ith it em s li sted und er eac h crit erion und er th e m e1it ratin g rubri c; and • supp ort es tim ated b en e fit cl aim s w ith d ata, de tail s, an d/or qu alit ati ve description s 19 Page 43 of 120 Appli cants ar e encouraged to u se th e Departm ent 's Equitable Transportation Community (ETC) Explorer (arcgis .com) as a reso urce to d es crib e ho w th eir proj ec t ar ea is ex p erien cin g transport ation related di sadvantage as it relat es to safety, afford abl e tran sportati on options, polluti o n, access to goo d -p ay in g jobs, climate change, an d/or impro ving qu ali ty of li fe. Insu ffi cient information to assess an y crit erion will negati ve ly imp ac t the proj ect rating. Appli cants should not e th at merit rev iewer s will foc u s on thi s fil e and will not be required to reference link s or th e other fil es in th e application p ackage; th erefor e, all relevant information to demonstrate alignment with the merit criteria , as described in Section E , should be included in this file. Guidance d escribing how th e Department will evalu ate proj ects again st the Selec ti on Criteria lis ted in Sec tion E of thi s no ti ce. Appli cants should rev iew th at sec tion b efor e prep aring th eir appli ca tion . e. Project Readiness P ro j ec t rea din ess describ es an applicant 's preparedness to move a propo se d proj ect fo rward on ce it receives a RAIS E grant. The Proj ec t Readine ss fil e should includ e information that, when co nsid ered with th e proj ec t budget information , is su ffi cient for th e D epartm ent to ev alu ate wheth er the proj ec t is reaso nabl y ex pec ted to b eg in the capital or planning proj ect in a tim ely m anner and m eet both th e obli gation and ex penditure deadlines. Appli cants can see a Proj ec t Readin ess checkli st on th e DOT Navigator website .20 The Proj ec t R eadiness fil e should in clud e th e fo llo w in g section s: Project Schedule (capital and pl annin g projects) T he Proj ec t R eadiness fil e should includ e a detail ed proj ec t schedul e th at identi fies all major proj ec t ac ti viti es and mil es tones . For capital proj ec t s, ex ampl es of such mil es tones include Stat e an d local plannin g app rova ls; start and compl etion of NEPA and oth er F ed eral enviro nment al rev iews and appro vals, including penrutting, des ign co mpl etion , ri ght-o f-way ac qui sition, approval of pl an s, sp ec ifi cati ons, and es timates; procurem ent; State and lo cal approvals; proj ec t p artnership and impl em ent ati on agreement s including agreement s with railro ad s; and co nstruction start and end . For planning proj ec ts, ex ampl es of mil es tones m ay in cl ud e start d ates, schedul e fo r publi c engagem ent and compl etion d ates . T he sc h edul e should be su ffic ientl y d etail ed to demonstrate th at: • all necess ary ac tiviti es will be compl ete at leas t six month s in advan ce of the obli gati on deadline2 1 to allo w suffi cient tim e fo r un ex pected d elays and not put th e 20 http s://www.transportati on .go v/dot-nav igator 21 The statutory ob ligat ion dead line is Septe mb er 30, 2028 . The Department assess es risk aga inst an earli er dea dlin e of June 30 , 2028 to a ll ow ti me to complete admini strat ive processing an d address c hall enges before the statut ory deadline . 20 Page 44 of 120 funds at risk of expiring before they are obligated;22 • the cap it al project can begin construction upon obligation of grant funds and that those funds will be spent expeditiousl y once construction starts, with all funds expended by September 30 , 2033; • all real property and right-of-way acquisition wi ll be completed in a timely manner in accordance with 49 CFR part 24, 23 CFR part 710 , and other applicable legal requirements or a statement that no right-of-way acquisition is necessary; and • the applicant will or has meaningfully sought community input through public involvement, particularly disadvantaged communities or other communities with environmental justice concerns that may be affected by the project where applicable . Environmental Risk Assessment (capital projects only) Trus sectio n of the application should include sufficient information for the Department to evaluate whether the project is reasonably expected to begin construction in a timely manner consistent with all applicable local , State, and Federal requirements. To assist the Department 's environmental risk review the app li cant sho uld pro v ide the information requested on project schedu le, required approvals and permits, NEPA class of action and status, public involvement, right-of-way acquisition plans , risk and mitigation strategies. Required Approvals Trus section should provide: • Information about the EPA status of the project. If the NEPA process is comp lete, an applicant shou ld indicate the date of completion, and pro v ide a website link or other reference to the final Categorical Exclusion , Finding of o Significant Impact, Record of Decision , and any other NEPA documents prepared . If the NEPA process is und erway, but not complete, the application should d etail the type of NEPA review underway, wh ere th e project is in the process , and indicate the anticipated date of comp letion of all milestones and of the final NEPA determination . If the final agency actio n with respect to NEPA occurred more than 3 years before the app li cation date , the app li cant sho uld describe a proposed approach for updating trus material in accordance with applicab le EPA reconsideration requirements . • Information on reviews, approvals, and permits by other Federal and State agencies . An application sho uld indicate whether the proposed project requires reviews or approva l actions by other agencies, 23 indicate the status of such act ion s, provide detailed information about the status of those reviews or approvals and shou ld demonstrate compli ance with any other app li cab le Federal , State, or lo ca l 22 Obligation occurs when a selected app licant and DOT e nt er into a wri tten grant agreement after the appl icant has ati fied a pplicabl e admini trative requirements , including transportation planning and environmental review requirements . 23 Projects that may impact protected resources such a wetlands, species habitat , cultural or historic resources require review and approva l by Federal and State agencies w ith jurisdiction over those resources . 21 Page 45 of 120 requirement s, and when such appro v al s are ex p ec t ed . Appli ca nt s should prov id e a link or oth er referen ce to copi es of an y rev iews , approva ls, and p ermit s prepared . • Environmental studies or other documents , through a link, th at describ e in d etail kno wn proj ec t imp acts, and poss ibl e miti ga ti on for tho se impa cts. • A description of discussions with the appropriate DOT operating administration field or headquarters office reg ardin g th e p roject 's co mplian ce w ith E PA and other appli ca bl e F ed eral env ironm ental rev iews and appro v al s . • If appli c abl e , right-of-way acquisition plans , w ith det a il ed sc hedul e an d comp en sation plan . • A description of public engagement a bout th e proj ec t th at has occurred , including detail s on th e degree to w hi c h publi c co mm ents and co mmitment s h ave b een integrated into proj ec t developm ent and des ign including th e c on sid erati on of ensurin g prop orti on al impac ts to all popul ati on s . State and Local Approvals Thi s section should prov id e: • Receipt ( or the schedule for anticipated receipt) of Tribal government, State, and local approvals on whi ch th e proj ec t d epends, su ch as State and local env ironm ent al and planning approva ls, and Sta tewid e Tran sportati on Impro vem ent Program (STIP ) or transportation imp rovement pro gram (TIP ) fundin g . A ddition al supp ort fr om relevant State and lo ca l officials is not required ; ho wever, an appli cant sh ould d emo nstrate that th e proj ec t has broad public support , including support from imp acted co mmuniti es . • Federal Transportation Requirements Affecting State and Local Planning . The plannin g requirem ents applicabl e to th e re levant ope ratin g admini stration appl y to all RAI SE grant proj ec ts, in c ludin g proj ec ts located at a irport fac iliti es. A pplicants should dem on str ate that a proj ect that is requi re d to b e includ ed in th e relevant State , m etrop olitan , and local planning do cum e nts has b een or will be in c lud ed in su ch docum ent s. If th e proj ec t is not in c lud ed in a relevant planning docum e nt at the tim e th e appli cati on is submitted, th e appli cant sh ould submit a statem ent fro m th e appro priate planning agen cy th at ac tion s are und erway to in c lud e th e proj ect in th e relev ant pl anning docum ent. T o th e ex tent p oss ibl e , fr eight proj ec ts should be includ ed in a State Fre ight Plan and supp orted by a State Freight Adv isory Committee ( 4 9 U .S .C. 7020 1, 70202), if th ese ex ist. A ppli c ant s sh ould prov id e link s or other doc um entati on supportin g thi s consid era ti o n su c h as lett ers of supp ort from th e St ate DOT if th e proj ect is intend ed to be in c lud ed in th e State Freight Pl an , or res ults fr om appli ca ti on of th e FHWA Freight Mobility Trends Tool.24 24 https ://fp c b .o ps.fl1wa .d ot.gov/mo bi lity _t re nd s_ too l .a s px 22 Page 46 of 120 Assessment of Project Risks and Mitigation Strategies Proj ect ri sk s, such as pro curem ent delays, environmental uncertainti es, in creas es in real es tate acqui s ition costs, uncommitted local match (non-fed eral fundin g), lac k of support fr om stakeholders or impacted communiti es, or lac k of leg islati ve appro val, affe ct th e likelihood of su ccess ful proj ec t start and compl eti on . The appli cant should identi fy all materi al ri sk s and harms to th e proj ec t and the strat eg ies that the lead applicant and an y proj ec t partn ers have und ertaken or will und ert ake to mitig ate tho se ri sk s. Th e appli cant should assess th e great es t ri sk s to th e proj ec t an d id enti fy ho w the proj ec t parti es will miti gat e tho se ri sk s . Proj ect ri sk s can al so includ e th e unavailabili ty o f vehicl es th at eith er co mpl y with Fed eral Moto r V ehicl e Safety Standard s or are exempt from Fed eral M otor Vehicl e Safe ty Standard s in a m anner that allo ws for th eir leg al ac qui sition and d epl oym ent , unava ilability of dom es ti call y manufactured equipm ent. If an appli cant anti cip ates pursuing a wai ve r fo r relev ant dom es ti c preference laws, th e appli cant should d escrib e step s that have been or will be tak en to max imize the u se o f dom es ti c good s, pro du cts, and mate1ial s in co n stru cting it s proj ect. T o th e extent th e appli cant is unfamili ar with th e Federal pro gram , the appli cant should co nt ac t th e appropriate DOT op erating admini stration fi eld or headquarters offi ces, as fo und in co ntac t inform ati on on th e RAIS E pro gram website, for infonnation on th e pre-requi sit e step s to obli gate F ederal fund s in order to ensure that th eir proj ect sch edul e is reasonabl e and that th ere ar e no ri sks of delays in sati sfy in g Federal requirem ent s. Technical Capacity Assessment (capital and planning proj ec ts) Al l appli cation s should in clud e a sec tion in th e Proj ec t R eadiness fil e th at d em o nstr ates th eir tec hni cal cap ac ity to successfull y deli ver th e proj ec t in compliance with appli cabl e Federal requirem ent s including, but not limited to, compli ance with Titl e V I/Civil Ri ghts requirem ents an d Buy Ameri ca pro v isions, describ ed in Sec tion E.1 of thi s N OFO. The applic ant should address th e follo wing in th e tec hni cal capac ity sec ti on of the Proj ec t Readin ess fi le: • Federal Funding -Ex peri ence impl em enting fe d erall y fund ed transportati on proj ec ts . • Federal Regulations -Under standing of fe dera l contract and pro curem ent requirement s, Bu y Am eri ca, Am ericans with Di sabiliti es Act, U niform R elo cation Ass istan ce and Rea l Prop erty Acqui siti on Ac t , , Davis B ac on Ac t, etc. • Project Planning -Pra cti ce inco rp orating proj ect s into long -range d evelopm ent plan s or addin g proj ec ts to th e TIP/STIP throu gh th e MPO planning pro cess. • Project Delivery -Example s o f success full y deli ve red proj ects of simil ar size, sc op e, and co mpl ex ity. f. Benefit-Cost analysis (capital projects onl y) 23 Page 47 of 120 The purp ose of th e B en efit-Cos t An alys is (B CA) is to ena bl e th e D ep artm en t to eva lu ate th e cost-effecti ve ness of th e pro p o ed proj ect by co mp ari ng it s ex p ect ed ben efit s to its ex pected cos ts relati ve to th e current pro bl em often re ferred to as th e "baselin e" or "n o-build alt ern ati ve." Th e b aselin e d efin es th e wo rld with ou t th e propo se d proj ec t. Any b en efit s cl aim ed fo r the pro pose d proj ec t, both qu an tifi ed and unquantifi ed , sh o uld be c learly ti ed to th e ex pec ted outco mes of th e prop osed project. Whil e ben efit should b e quan tifi ed wh erever p oss ibl e, appli c ant s m ay also de crib e other ca tego ri es of benefi ts in th e B CA that are more di ffic ul t to quanti fy and/o r va lu e in eco n omic term . There should b e two B A fi le includ ed in th e a ppli cat io n : (1) a narrati ve descriptio n of th e B CA; and (2) an unl ock ed p read sh ee t revea lin g th e und erl y in g ca lcul a ti on s. • N arrati ve D escrip ti on of A nal ys is -Th e BCA n arrati ve shou ld desc rib e th e current base lin e, th e so urces of data u sed to es tim a te th e b en efit s o f th e proj ec t, document an y ass umpti ons, and th e va lu es of k ey input p arameters. A pplicants may al so prov id e a tabl e simil ar to th e on e how n b elo w summarizing th e imp ac ts of th e proj ect and h ow th ose im p acts wo uld trans late into ex p ec ted ben efit . Thi s is shown as an examp le onl y: B ase lin e / C han ge to B ase lin e / Exa mpl e I mp acts C urr ent Sta tus Proposed Proj ect to and Probl em to be A ddress Probl em Addressed A freeway di id e A new street will be R educed travel t ime for two n eighb orh oods co n stru cted to conn ect p edestrian s and cyclists by neighb orh oo ds on eac h s id e X mil es p er d ay du e to a of th e fr eeway m ore direc t ro ute, as well as redu ce d emi ss io ns, vehi cle op erating cos ts, and trave l tim e for vehicl e occ up ant s by lowering VMT by Y mil es p er yea r A roa dway w ith a Sid ewalks, hi gh visib ility Redu ced ped estrian fata liti es hi gh numb er of crosswalks, an d up gra ded an d injuries by X and Y p er pedestrian fata liti e li ghting will be add ed to th e year, res p ec ti ve ly, as we ll as has n o sid ewa lk or roadway am eni ty ben efi t of w id er m ark ed c ro swa lk s sid ewalks for Z d ail y p ed es tri a n trip s • S prea d sheet R evea li ng nd erly ing Ca lcul ations -The B CA prea d h eet fi le sh ould present th e calc ul ations in suffic ient deta il an d trans p arency to all ow the ana lysis to b e re pro du ced by Department eva lu ator . Whil e DOT does no t h ave a pre c ri bed fo rmat for th e BCA sprea dsheet ubmitted by th e appl ican t beyo nd en surin g that it is unl oc ked , to 24 Page 48 of 120 allo w rev iew, th e D epartm ent is also deve lopin g a new BCA spread h ee t templ ate th at w ill b e av ai la ble to ass ist applic ant s in stru c tu r in g th eir ana lys is. App lic an ts shoul d rev iew th e Depa rtm e nt 's deta il ed guidance on how to condu c t a BCA. Both th e gu idance do cum e nt and spread sh ee t temp lat e w ill be av ai labl e on th e RAISE pro gram website.25 3. niqu e E nti ty Id e ntifi e r (UE I) and Sys te m for Awa rd M ana gem e nt (SAM) Each appli ca nt mu t o btain a UEI and reg ister w ith SAM.gov. E ach appli ca nt is req uired to : (i) be reg ist ered in SAM befo re submi ttin g an app lica tion ; (ii ) pro v id e a va lid uniqu e entity id entifi er in th e app lica tion ; and (iii) contin u e to ma int ain an acti ve SAM reg istr ati o n with current information at a ll tim es durin g whi ch th ey h ave an acti v e F ed era l award or an app lication or plan under c onsid erati on by a Fed era l awardin g agency The Departm ent ma y n ot m ake a RAIS E grant to an appli c ant until th e appli can t has compli ed with all appli ca bl e UEI and SAM requirem ent and , if an applicant h as not full y compli ed with the req uirem ents b y th e tim e DOT is ready to make a RAIS E grant , DOT may d etermine th at th e appl icant is n ot qu al ifi ed to receive a RAI SE grant and use that de termin ation as a b as is for making a RAIS E grant to anoth er app lic ant. 4 . S ubmi ssion Dates and Tim e s Appli cations mu st b e s u bmitted throu gh Grants.gov by 11 :59 PM Easte rn on Febru ary 28 , 20 24 fo r FY 2024 RAIS E. Grants.gov attach es a tim e stamp to each appli ca tion a t th e tim e that ubmi ss ion is co mpl ete. Applica tions w ith a t im e stam p after th e d ea dlin e wi ll not be con sid ered. Th e D epartment doe no t accept app lica ti ons v ia mai led pap er , fax ma chin e, e ma il , or other means. In additi on to th e FY 20 24 OFO dates, te nt at ive futur e OFO pu bli ca tio n d ates and appl icati on deadlin es fo r FY s 202 5 and 2 026 ar e Ii ted in th e tabl e b elow . BIL F iscal Y ear RAI SE OFO F unding P ublication Date FY 2024 Nove mb er 30 , 202 3 FY 20 2 5 Octob er 15 , 2024 FY 2 02 6 Oc to b e r 15 , 2 02 5 To submit an ap pl ic ation throu gh Grant s.g ov, app lic ants must: • Ob tain a UE I numb er;26 25 www.transportation .gov/RAI Egrants/additional-guidance Appli cation D ea dlin e Febru ary 28, 2 024 Janu ary 13 , 2 025 Janu ary 13, 2026 26 On April 4 , 2022 the Federal government topped u ing the Data Universal umbering y tern (DUNS) number to uniquely identify entitie . ntitie doi ng busine w it h the Federal government mu t u ea Unique E ntity Identifier (UEI) created in SAM.gov . If your entity i currently regi tered in SAM.gov, your I has a lready been assigned and is viewab le in AM.gov. Thi s inc lude inac ti ve regi trations. 25 Page 49 of 120 • Register with the SAM at www.SAM.gov; • Create a Grants .gov username and password; and • The E-Business Point of Co nt act (POC) at the app licant 's organ izat ion must respond to the registration email from Grants .gov and login at Grants .gov to authorize the applicant as the Authorized Organization Representative (AOR). Please note that there can be more than one AOR for an organization . Please note that the SAM registration process takes a minimum of 2 weeks to complete if not longer. Failure to register for SAM or comply with Grants.gov applicant requirements in a timely manner will not be considered for exceptions to the submission requirements and deadline. The D epartment is not ab le to assist w ith technical issues related to Grants .gov or SAM registration . For information and instruction on each of these processes, please see instructions at grants. gov/ applicants/ applicant-fag shttp://www. grants. gov/web/ grants/ applicants/ app licant- fag s.htrnl. If applicants experience difficulties at any point during the registration or app li cation process , please call the Grants .gov Customer Service Support Hotline at 1-800-518-4 726 . 5. Funding Restrictions Recipients of RAISE Grant awards wi ll not receive lump-sum cash disbursements at the time of award announcement or obligation of funds . Instead, RAISE funds w ill reimburse recipients only after a grant agreement has b een execut ed , allowable expenses are incurred , and valid requests for reimbursement are submitted. Unless authorized by the Department in writing after the Secretary 's announcement of FY 2024 RAISE awards , any costs that a recipient incurs before DOT executes a grant agreement for that recipient's project are ineligible for re imbur sement and are in e li g ibl e match for cost share requirements . Federal funds awarded under this program may not be used to support or oppose union organizing, whether directly or as an offset for other funds . 6. Other Submission Requirements a. Submission Location Applications must be submitted to Grants.gov. The Department does not accept applications via mailed paper, fax macrune , emai l, or other means . b. Consideration of Applications Only applicants who comply with all submiss ion deadlines described in this notice and electronically submit valid , on-time app li cations through Grants.go v wi ll be eligible for award . c. Late Applications 26 Page 50 of 120 Any a ppli ca tion s th at Gran ts .gov tim e tamp s a ft e r 11 :59 PM on Febru ary 28, 202 4 will not b e accepted . App l icants are stro ng ly en couraged to m ake submi ss ion s d ays , if n ot weeks, in adva nce of th e dea d li n e . A pp lic ant s fa cin g tec hni cal iss u es are adv ised to contac t th e Gran ts .gov helpdesk well in adv an ce of th e de adl in e. d . C ompliance w ith ection 508 of th e R e ha bili ta tion Act of 1973 Th e D ep artm ent encou rage appli cant s to submit docum ent s that ar e comp liant w ith Sec tion 50 8 of th e R eha bi lit a ti on Ac t of 197 3 . Section 50 8 guid e lin es are ava ila ble at https://www.access- board.gov/ict/. E. A pplication R evi ew Information 1. C riteria This secti on spec ifi es th e cri teri a th e D ep artm ent will u e to evalu a te app lica ti on . TI ER 1 Al l E li gibl e Appli catio n s Merit C riteria Review TIER 2 Al l applica ti on s rat ed "Hi ghl y R ec omm end ed " und er th e m erit criteri a rev iew a utom ati ca ll y adv an ce for secon d ti er an alys is . T h e Senior R ev iew T eam (S R T) ca n advan ce app lic at ions rat ed "R ecomm end ed" for seco nd ti er ana lys is. Proj ect R eadin ess Re view Env ironmental Ri sk A ssess m ent Ca pit a l Proj ec ts T ec hni ca l Ca paci ty Assessm ent Ca pi ta l and Planning Proj ec ts Financia l Compl eten ess A ssess m ent Ca pital and Plannin g Proj ec ts B e nefit-Cos t A nal y si s Capital Pro jec ts T h e D ep artm ent w ill rev iew m erit cri teria for a ll appli ca ti on s . Hi ghl y R ec ommended c ap ita l appli cat ion s will au to m ati ca ll y advance to receive sec ond -ti er an al ys is con sistin g of three Proj ec t R eadin ess rev iews : (1 ) E nv ir onm enta l Ri k A sess ment ; (2) T ec hni ca l Cap acity Assessm e nt ; and (3) Finan cial Co mpl e teness Assessm ent , a well as a Be ne fit-C os t Analys is (BCA). Hi ghl y Reco mme nd ed p la nnin g ap pli ca tions w ill autom ati ca ll y adv ance to receive second -ti er ana lys is co ns istin g of tw o Proj ec t R eadin ess area s: (1 ) T ec hni ca l Capacity Assess m ent; and F in an c ia l Co mpl eten es Review. E nv ironm ental Ri sk Assess ment an d BC A will not be reviewed for pl anning appli ca ti on s . Th e SRT c an ad an ce selec t Reco mmended ca pita l and pl annin g appli ca tions fo r second -ti er ana lys i s und er th e c ircum stan ces desc rib ed in Sec ti on E .2. T he D epartm ent does not con sider the amount of non-F ederal contribution as a s election cri te rion or a comp e titi ve ness factor . H owever, genera l budget in fo 1m a tion m ay be ev alu ated a part of th e fin anc ia l co mpl eten ess in th e readin ess rev iew or und er th e Inn ov ati on criteri a in th e merit rev iew . See Sec tio n s E .1.a and E . l .b for more details . a. Merit C rite ri a 27 Page 51 of 120 For each merit crit erion , the Department wi ll eva lu ate whether th e appli ca ti on uses data-driven and evi dence-based method to d emonstrate that the project will provide the anticipated be n efits, whic h wi ll res ult in a rating of "hi gh, "med ium ," "low ," or "non-responsive" as described in the rubric b elo w . Individual Merit Criteria Ratings High The criterion must be addressed as a primary project purpose (not an anci llary or in cide nt a l co nsideration , except for the Partnership and Collaboration and Inno vation criteria), must include clear, direct , data- driven (capital projects only), and significant benefits , and must ali gn with at least one of the benefits described in the hi gh column of the merit criteria rubri c. Medium The criterion may not be a primary proj ect purpose, or the project benefits do not meet at least one of th e requirements for a 'hi gh ' rating , as described in the merit criteria rubric . Low The app lication contain s insufficient information to assess that criterio n 's ben efits . on-Responsive The proposed project n egatively affects the criterion , or the app li cation does not address the criterion. Planning grant app li cation will be eva lu ated against the same m er it crit eria as capital g rants. Planning grant applications should in c lud e data on the problem intended to be addressed , but infonnation does not need to be as driven by data as a capital project wh en estimating benefits of the implemented project ince data is often an outcome of the project to be planned. The Department w ill con sid er how the plan, o nce impl emented, will ultim ately further the merit criteria . The co mbinatio n of indi vidu al cri terion ratings will inform one overall Merit R ating: Highly Recommended , R ecommended , Accepta bl e, or Unacceptable, as show n belo w . Overa ll Merit Rating Highly Recommended • six or more of the eight merit criteria ratings are "hi g h" • none of the merit criteria rating are "non- responsive " 28 Page 52 of 120 Recommended • one to five of the merit criter ia rat in gs a re "hi gh " • no m ore than three of th e m erit criteria ratings are "low " • none are "non-re s pon sive" Acceptable • a combination of "hi gh ," "medium ," "low," or "no n-respo nsive " ratings that do not fit w ithin th e d efinitions of Hi ghl y Reco mm en ded , R ecommended , or Unacceptabl e Unacceptab le • thr ee or more "non-res po ns ive" ratings 29 Page 53 of 120 Meri t Criteria: S afety Envi ronm enta l us taina bility Non -Responsive A ppli ca ti o n did not address the Safety crite ri o n OR P roj ect nega ti ve ly affects safety A ppli catio n did not addres s th e nv iro nm enta l Susta in ab il ity cri te ri o n OR Projec t negative ly affec t env iro nm enta l su sta in a bil ity Low A ppli cati o n co nta in s in suffi c ient in fo rm ati o n to assess safety bene fi t A ppli ca ti o n co ntain s in su ffic ient in for mat io n to assess enviro nm enta l s usta in a b ili ty benefi ts Medi um T he proj ec t has o ne o r mo re of th e fo ll owin g safety be nefit s , but safety may not be a primary proj ect purp ose o r does not meet th e descripti on(s) ofa 'hi g h ' rat in g: • Pro tect no n-m o to ri ze d o r moto ri ze d trave lers fr o m safety ri sks; o r • Redu ce any numb er of fa ta li ties and/or se ri o us inj ur ies P roj ec t has o ne or mo re o f th e fo ll owin g e nv ir o nm enta l sustain a bili ty bene fit s , bu t e n iro nm enta l sus ta in a bil ity may not be a prim ary project purpose o r does no t meet th e de sc ripti on(s) ofa 'hi g h ' ratin g: • R edu ce trans po rtati o n-re lated a ir po lluti o n and g reenho use gas emi ss io ns ; o r • Red uce ve h ic le mil es trave led ; or • In co rp orate lower-carbo n pave m e nt/co nstructi o n mate ri a ls; o r • R ed eve lo p bro wnfi e ld s it es ; or • Improve res ili ence of in fra tru ctur e to current a nd fu tu re weather and c lim ate r i ks ; o r • Make bas ic sto rm water imp rove ments 30 Hi2:h Safety is a prim ary proj ect purp ose AND th e proj ec t has c lear , direc t, data-driven (fo r ca pi ta l projects o nl y), a nd ig nifi cant be ne fit s th at ta rgets a kn own, doc um ented safety pro bl em , by do in g o ne o r mo re of the fo ll owin g : • Pro tect no n-m o to ri zed trave le rs fro m safety ri sks; o r • R edu ce fa taliti es and /o r se ri o us injuri es in und erse rve d co mmuniti es to brin g th em be low th e sta te-wid e average ; o r • In co rp orate and c it e specific actio ns and activities identifi ed in th e De partm ent's National Roadway Safety Strategy plan o r Improving Safety for Pedestrians and Bicyclists Accessing Transit report , o r FT A's Safety Advisory 23-1 : Bus-to -Person Collisions ; or • In co rp o rate s peci fi c safety imp rove m en ts that are part of a docum ented ri k redu cti o n m it iga ti o n strategy a nd th at h ave, fo r exampl e, po rt -w id e o r tran s it sys tem imp act. E nv iro nm enta l s usta inabili ty is a prim ary proj ec t purpose AND th e proj ec t has clear, direc t, data-driven (fo r ca pita l p rojects o nl y), and s ig ni fica nt b en efits that ex pli c itl y co ns id e rs c lim ate change and env iro nm enta l j ustice , by do in g o ne or mo re of the fo ll owin g: • R educe tran s po rt ati o n-re lated a ir polluti o n a nd g ree nh o use gas e mi ss io ns in di sa dvantages communiti es ; o r • ddress the di s pro po rti o nate ly negati ve en v iro nm enta l impacts of tra nsportati o n o n loca l co mmuni ties such as by re du c in g ex pos ur e to e levated leve ls of a ir , wate r, and no ise po lluti o n; o r • A li g n w ith the appli can t 's tate Ca rb o n Redu cti o n trategy, tate E lectric Ve hi c le In frastru ctu re De pl oym en t Pl an , o r oth er tate , loca l, o r trib a l g ree nh o u e gas redu cti o n pl an ; o r • A li g n w ith th e U.S. National Blueprint for Transportation Decarbonization ; o r • Impl e ment trans po rtati o n-e ffi c ient lan d use a nd des ig n , s uch as d rawi ng o n th e fea tures o f hi sto ri c towns and Page 54 of 120 Merit C riteria: Non-Res pon s ive L-Ow Medium High v ill ages that had a mi x of land uses, co mp act a nd walka bl e deve lo pm ent patte rn s, access ibl e g ree n s pace , a nd ne ig hb o rh oo d ce nters th at mak e it co n ve ni e nt to tak e fewe r o r sho rter trip s ; o r • R edu ce ve hi c le mil es trave led s peci fi ca ll y thro ugh mod a l s hi ft to tran sit , ra il , o r active transportat io n ; or • R edu ce emi ss io ns s pec ifi ca ll y by shi ft in g freig ht to lower- carbo n trave l modes; o r • In co rp o rate energy effi c ient in ves tm e nts, s uc h as e lectrifi ca ti o n o r zero em iss io n ve hicl e infras tru cture; or • Improve th e re ili ence of at-ri sk in fras tru c ture to be res ili ent to ex treme weath er eve nts a nd n atu ral di sasters caused by c lim ate ch a nge , s uch as by us in g bes t-avail a bl e climate d ata se ts, informati o n reso urces, and dec is ion- s upp o rt too ls ; o r • I nco rp o rate nature-based solutions o r natural infrastructure with the use of native 12lants ; o r In co rp o rate nature-based solutions o r natural infrastructure ; o r • R e fer e nce d in a Resilience Im12rovement Plan o r s imil ar pl an ; o r • R emove, re pl ace , o r res to re c ul ve rt s fo r the purp o e of imp rov in g habitat fo r aqu atic s pec ies ; o r • vo id adve rse e nv iro nm enta l imp ac ts to air o r water qu a li ty , wetl and s, and endangered s pec ies Quality of Life A ppli cati o n did not A ppli ca ti o n co nta in s P roj ect has o ne o r mo re o f th e fo ll owin g Q ua li ty of life is a prim ary proj ect purp ose AND th e proj ect address th e Q ua li ty of L ife in su ffic ie nt in fo rm ati o n qu a li ty of life ben e fit s bu t qu a li ty of li fe has c lea r, direct, data-driv en (fo r ca p ita l proj ects o nl y) and c ri te r io n to assess qu a lity of li fe may not be a prim ary project purpose o r ign ifica nt b enefi t , by do in g o ne o r mo re of the fo ll owin g: bene fit s does not mee t th e descripti o n(s) of a • In crease affordabl e tran s po rtatio n c ho ices by improv in g OR 'hi g h ' ratin g : and ex panding active trans po rtati o n u sage o r sig nifi cantl y • In c rease a ffo rd a bili ty fo r trave lers ; o r redu c in g ve hi cle de pe nd ence , parti c ul arl y in und erserved P rojec t negative ly affect • Redu ce s ve h ic le d ep end ence co mmuniti es ; o r q ua li ty of li fe • R edu ce transpo rtati o n an d housi ng cost b urd en by integ ratin g mi xed-u se deve lo pm ent and a di ve rs ity of ho us in g ty pes , in c ludin g by redu c in g barri ers to s uch d eve lo pm ent and increas in g th e suppl y of affo rdabl e ho us in g, w ith multim o d a l tran s po rtati o n infras tru cture ; o r 31 Page 55 of 120 Merit Criteria: Non-Responsive Low Medium Hie:h • Coordinate and integrate land u se, affordab le housing , and transportation planning in order to create more livabl e communities a nd expand travel choices ; or • Tm prove access to daily destinations lik e jobs, healthcare, grocery stores , schoo ls, places of worship, recreation , or parks through transit and active transportation ; o r • Implement transit-oriented development that benefits existing residents and businesses , low-in come and disadvantaged communities, and minimizes displacement; or • Improve public health by adding new facilitie s that promote walking, biking, and other forms of active transportation ; or • Mitigate urban heat islands to protect the hea lth of at-risk residents , outdoo r workers, and others ; or • Proactively addresses equity . Mobility and Application did not App licati on contains Project has one or more of the following Mobility and community connectivity is a primary project Community address the Mobility and insufficient information mobility and commu nity connectivity purpose AND the project has clear, direct, data -driven (for Connectivity Community Connectivity to assess mobility and benefits, but mobility and community capital projects only) a nd significant benefits, by doing one or criterion community connectivity connectivity may not be a primary project more of the following: benefits purpose or doe s not meet the • Im pro e sy s tem-wide connectivity with access to transit, OR description(s) ofa 'high ' rating : micro-mobility , and mobility on -d emand ; or • Increase accessible • Implement plans , based o n community participation and Project negatively affects transportation choi ces; or data, that addre sses ga ps identified in the existi ng netwo rk ; mobility and community • Include ADA improvements or connectiv ity • Remove physical barriers for individuals by reconnecting communities to direct, affordab le transportation options ; or • Include transportation features that increase the accessibi li ty for non-motorized travelers in underserved communities ; or • Incorporate Universal Design including detail s of how the improvements go beyond ADA requirements by designing enviro nments to be usable by all people, to the g reatest extent possible , without the need for adaption or specialized design such as a Comp lete Streets aooroach ; or 32 Page 56 of 120 Merit C riteria: Non-Responsive Low Medium High • Directly increasing intermodal and multimodal freight movement; or • Consider last-mil e freight plans in a Complete Streets and multimodal approach Economic App li cation did not App li cation contains Project has one or more of the fo ll owing Economic competitiveness is a primary project purpose AND Competitivene s address the Economic insufficient information eco nomic competitiveness and the project ha c lear, direct, data-driven (for capital projects and Opportunity Competitiveness and to assess eco no mic oppo rtuni ty benefits, but economic o nl y), and sig nifi cant benefits , by doing o ne or more of the Opportunity criterion com petitiveness and competitiveness and opportunity may not fo ll owi ng: opportunity benefits be a primary project purpose or does not • Improve intermodal and/or multimodal freight mobility , OR meet the description(s) of a 'high ' rating : especia ll y for supp ly chain bottlenecks ; or • Improve travel time reliability ; or • Facilitate tourism opportuniti es ; or Project negatively affects • Improve movement of goods ; or • Promote lo ca l inclusive eco nomi c development and eco nomic competitiveness • C reate jobs related to the project 's entrepreneurs hip such as the utilizati o n of Disadvantaged and opportunity delivery and on -going operations Business Ent erprises or 8(a) firms ; or • Promote wea lth building ; or • Promote long-term economic growth and other broader economic and fiscal benefits; or • Create good -p aying jobs wi th free and fai r choice to join a union including through the use of a project labor agreement; or • Adopt local and economic hiring preferences for the project workforce or include other changes to hiring policies and workplace cultures to promote the e ntry and retention of underrepresented populations ; or • Promote greater public and private investments in land -u se productivity , including rural main street revitalization or locally driven density decisions that support equitable commercial and mixed-income residential development 33 Page 57 of 120 Merit C rit e ri a: Non-Res pon sive Low Medium Hieh S tate of Good A ppl icat io n di d not A ppli catio n co nta in s Project has o ne or mo re of the fo ll owin g State of good re pa ir is a pri mary project purpose AND t he Repair address th e State of Good in su ffic ient in formati o n state of goo d re pa ir benefit s but state of proj ect has clear, direc t, data -driven (fo r ca pita l proj ects o nl y) R e pa ir cri te ri o n to assess state of goo d good re pa ir may not be a prim ary project a nd sig nifi ca nt be nefi ts , by do in g o ne o r mo re of the fo ll owin g: re pa ir bene fi ts purp o se o r does no t meet th e • R es to re and mo derni ze (s uc h as thro ug h ro ad di ets a nd OR desc rip t io n(s) of a 'hi g h ' ratin g: co mpl ete streets a pp roac hes) th e ex istin g co re • R o ut in e o r defe rr ed ma in te nance ; o r infras tru ctur e assets that have met the ir use ful li fe ; or Project nega ti ve ly affec ts • C reate new in frastru cture (not in a • R edu ce co n stru ct io n and ma int enan ce burd e ns th ro ug h state of good re pa ir remo te co mmuni ty) that w ill be efficient a nd we ll-integ rated des ig n; or mai ntain ed in a state of goo d re pa ir; • Create new in frastru cture in remote co mmun it ies th at w ill or be m ai ntained in a state of goo d re pa ir ; o r • Ide ntify the party respo nsibl e for • A ddres s c urren t o r projected trans po rt at io n system mai nte nance and desc ri be how the vu ln erabili ties fo r und erse rve d co mmuniti es ; or new o r imp rove d asset(s) wi ll be • Pri o riti ze imp rove me nt of th e co nditi o n and safety of ma inta in ed in a state of goo d re pa ir; existin g trans po rt ati o n infras tru cture w ithin th e ex istin g o r foo tp rin t • R eso lve the c urrent o r projec ted trans po rtati on sys tem vu ln erab iliti es Partnership and ppli cation d id not A ppli catio n co nt a in s P roject has o ne o r mo re of th e fo ll owin g P roject has , o r d emo nstrates pl ans to , supp o rt an d engage C ollaboration add res s th e Partn ership in su ffic ient in fo rm at io n pa rt nership and co ll a bo rat io n be nefits b ut diverse peo pl e an d co mmun iti es by do in g one or mo re of the and Co ll aboration c ri te rio n to assess th e partn ersh ip partn ers hip and co ll a bo ratio n may not be fo ll owi ng : an d co ll a boratio n a prim ary project purp ose o r does not • E ngage res id ents and co mmuni ty -based o rgani za ti o n s to O R be nefits meet th e desc ripti o n(s) of a 'h ig h ' rati ng : e nsure equi ty co nsiderati o ns fo r und e rserved co mmunities • Co ll a borate w ith publi c an d/o r are mea nin gfull y in tegrated thro ugho ut the lifecyc le of the Project negati ve ly affects pri vate e ntiti es ; o r proj ect, fo r exa mpl e, by c itin g an d desc ribin g how th e partn ers o r co mmuni ty • D oc um ent suppo rt fr om loca l, proj ec t a li gn s with the D epartm ent 's Promising Practices me mb ers (e .g. negati ve reg io na l, o r nati ona l leve ls for Meaningful Public Involvement in Transnortation im pacts fro m R OW Decision-Making Guide ; o r acq ui sitio n , lac k of • Coordin ate w ith oth er ty pes of projects such as eco no mi c supp o rt for the project, deve lo pm ent, co mm e rc ia l o r res id enti al d eve lo pm ent near etc .) publi c trans portatio n , power/e lectri c in fras tru cture projects , o r broad band de pl oy me nt; o r • P artner w ith Di sadvantaged Bu si ness E nterpr ises o r 8(a) fi rm s ; or • Partn er w ith hi g h-qu a li ty wo rk force deve lo pm ent progr ams w ith supp o rt ive se rvices to he lp tra in , pl ace, and retain peo pl e in goo d -pay in g job s o r reg iste red appre nti ces hip s . T hese prog rams sho uld have a foc us o n ex pandin g access fo r wo men, peo pl e of co lo r, and o th ers 34 Page 58 of 120 Me rit C riteria: Non-Res pon s ive Low Medium Hie:h that are und erre prese nted in in frast ru ctur e jobs (peo pl e with di sabiliti es , peo pl e w ith co n victi o ns, etc .); o r • P artn e r and engage w ith uni o ns and/o r wo rk er o rgan izatio ns in th e deve lo pm ent of th e project and the li fecyc le of the project, inc lud ing the mai nte nance or o peratio n of the co mpl ete d project; or • P artner w ith co mmuni t ies o r co mmun ity gro up s re prese ntati ve of hi sto ri call y und e rr e prese nted gro up s to d eve lo p wo rkfo rce strateg ies; or • Esta bli sh fo rm a l publi c -pri vate partne rship s o r join t ventures to ex pand o r create new in frastr uc ture o r eco no mi c deve lo pm ent ca pac ity ; o r • P arti c ip ate in th e Thriving Communities Network Innovation A ppli cati o n did not A ppli ca ti o n co ntain s Proj ect has o ne o r mo re of th e fo ll owin g P roj ect has , o r de mo nstrates pl ans fo r, on e o r mo re o f the address the Inn ovati o n in suffic ient in fo rm atio n inn ovatio n benefit s but does no t mee t th e fo ll owin g inn ovati ve be nefi ts. cri te ri o n . to assess inn ovati o n descripti o n(s) ofa 'hi g h ' rat in g : • Inn ovat ive Techn o log ie benefits • D e pl oy techn o log ies , project 0 Enh a nce th e e nv iro nm ent fo r e lectri c, co nn ected , OR de li very, o r finan c in g meth o d s th at o r aut o mated ve hi c les to impro e the detecti o n a re new o r inn ovati ve to th e a1mli cant and miti gati o n of safety ri sks; o r In c lud es no n-inn ovative o r co mmuni ty 0 Tm prove safety u sin g A dva nce d Dri ve r prac ti ce o r co mp o nents ssistance Systems o n publi c tra ns it ve hi cles, inc ludin g fu ncti o ns such as prec is io n dockin g ; lane kee pin g o r lane ce nte rin g ; or 0 U e sen o rs o r sma ll unm ann ed ae ri a l ve hicl es to enh ance infrastru cture in s pectio n a nd ass et man age ment processes ; or 0 se se nso rs to mo nito r rea l-tim e co ndi t io n s of pavement quali ty , ig nage , crosswa lk s, transit hea dways, o r o th er publi c infrastru cture; o r 0 Use low-ca rb o n o r o th er inn ovati ve mat erial s; o r 0 U e ca ps, la nd brid ges, o r und erd ecks; o r 0 Use ac ti ve g rade cross in g detectio n system s to ena bl e res po ns ive traffic man age ment ; or 0 Use detecti o n syste ms o n ra il road s to ta rget and dete r tres pass in g; o r 0 Di g it ali ze curb manage ment to o ptimi ze u se across purposes and mo des , in c ludin g fr e ight, pi c k-up d ro p-off, and trans it usage • Innovative Proj ect D e li very 35 Page 59 of 120 Merit Criteria: Non-Responsive Low Medium Hie:h 0 Use practices that fac ilitate acce lerate d project de li ve ry suc h as sin g le co ntracto r des ig n-build arrange ments, Advanced Digital Construction Management, Accelerated Bridge Construction , Digital as-builts, or an up-to-d ate programmati c ag reem ent between an environmental resource age nc y and a state DOT , o r o ther NEPA lead age nc y, that establishes a streamlined process for environmental co nsultati o ns and permits for co mm o nl y e ncou nt ered proj ect ty pes . • Inn ovative Fi nan ci ng 0 Sec ure TIFIA, RRIF , or pri vate activ ity bond financing; o r 0 Use congestion pri c in g o r other demand man age me nt strateg ie s 36 Page 60 of 120 Safety The Department wi ll assess how the proj ect targets a known safety problem and seeks to protect motorized or non-motori zed travelers from safety risks on roadways , transit , rail, or ports. Applicants are hi ghl y encouraged to in clud e data-driven information when addressing the safety criterion su ch as the current and proj ected nwnber or rate of crashes, fata liti es and/or seriou s injuries among transportation users and ho w those compare to th e statewide average; details about the transportation u ser that will reap th e safety benefits su ch as wh ether the project addresses vulnerable roadway u sers 27 or whether the project addresses inequities in crash vict ims . If app li cabl e, applicants should describ e how the project incorporates specific ac ti ons and activities identified in the Department 's National Roadway Safety Strategy ,28 or Improving Safety for Pedestrians and Bicyclists Accessing Transit report , or FT A 's Safety Advisory 23-1: Bus-to-Person Collisions . E nvironmental Sustainability The Department w ill consider the extent to whi ch the project incorporates considerations of climate change an d environmental justice in the project planning or project deli very stage. Environmental justice means the just tr eatment and meaningfu l involvement of all people, regardless of income , race, color, national origin, Tribal affiliation, or disability, in agency decision-making and other Federa l activities th at affect human health and the environment so that people: (i) are fully protected from disproportionate and adverse human health and environmenta l effects (including risks) and hazards , including those related to climate change, the cumulative impacts of environmenta l and other burdens, and the legacy of racism or other structural or systemic baniers; and (ii ) have eq uitable access to a healthy, sustainable, and resilient environment in which to li ve, play, work, learn , grow, worship, and engage in cultura l and subsistence practices. The Department wi ll evaluate wheth er and how the project demonstrates environmental su stainability benefits. For this assessm ent , the D epartment w ill consider, for examp le, how the project wi ll significantly reduce transpo11ation-related pollution lik e air pollution and greenhou se gas emiss ions; a li gns with the app li cant 's State, regional , county or city ca rb on-reduction plan or the U.S . National Blueprint for Transportation Decarbonization ; address the disproportionate negative environmental impacts of transportation such as exposure to elevated levels of air , water, and noi se pollution; or imp lem ent transportation-efficient land u se and de sign , such as drawing on the fea tur es of hi storic to wns and vill ages that had a mix of land uses, co mp act and walkable de ve lopment patterns , access ibl e green space, and neighborhood centers that make it convenient to take fewer or shorter trip s. The Department wi ll assess wheth er and ho w the project is expected to reduce emissions, su ch as shifts to lower emissions vehicles , transit , or active transportation ; shift freight to lower-carbon travel modes to reduce emissions; improve the resiliency of at-risk infrastructure29 to wi th stand 27 As defi ned by FHW A's Vulnerable Road User Safety Assessment G uidanc e, a vulnerable road user is a non- motorist and may inc lu de people walki ng, biking, or rolling as well as highway workers on foot in a work zone. 28 www .transportation.gov/NRSS 29 For the RAISE program , at -ri sk infrastructure is defined as infrastructure that is su bject to , or faces increased long-term future risks of, a weather event, a natural di saster, or changing conditions, such as coasta l flood in g, coastal erosion , wave action, storm surge, or sea level ri se, in order to impro ve transportation and public safety and to reduce costs by avoiding larger future maintenan ce or rebuildin g costs . 37 Page 61 of 120 extrem e we ather events and natural di sasters cau sed by climate chan ge su ch as by u sing bes t - avai lable climate dat a set s, in fo rm ati on resources, an d dec ision-support tool s, and incorporating nature-based solutions or natural infrastructure ; or inco rp orat es lo wer-carbon pavem ent or cons tru cti on material s as describ ed in th e Env ironm e nta l Protecti o n Age ncy's interim guidance on low-carbon materials 30 or th e U.S . National Blueprint for Transportation Decarbonization . The Dep artm ent will al so co n sid er wh ether and how the proj ect w ill incorp orate en ergy effi cient inves tments such as electrificati on or zero emi ss ion vehicl e infras tructure; red eve lop bro wnfi eld sites; remove, replace or res tor e cul vert s to improve p assage of aquati c sp ecies; or avo id ad verse im p ac ts to air or water qu ality, we tland s, and endan ge red sp ec ies. If appli cabl e, appli cant s are encouraged to m ake flo odpl ain up grad es co nsistent w ith the Federal Flood Ri sk Man agem ent Stan dard , to the ex tent co nsistent with current law, in Executi ve Order 140 30, Climate -R elated Financi al Risk (8 6 FR 27967) an d 13 690 , Esta blis hing a Fe dera l F loo d Risk Management Standard and a P rocess for Further So li citing and Considerin g Sta keho lder I nput (8 0 FR 6425 .) Quality of Life Th e Dep artm ent will co n sid er wheth er and ho w th e proj ect will improve qu ali ty of li fe, such as by increasing affordabl e tr ans portation choi ces and ex p anding acti ve tran sportati on u sage or significantl y reducing ve hicle dep end ence; redu ce tr ansportati on and hou sing cos t burden s by integratin g mi xed u se d evelopment and a di versity of hou sing typ es (including afford abl e hou sing) with multim odal trans port ation infrastru cture; coo rdinate and integrate lan d u se, afford abl e hou sin g, and tran sportati on planning in ord er to create more li vabl e co mmuniti es and expand tr avel choi ces; redu ce ve hicl e d epend ence and im pro ve access to d ail y des tin ati ons such as j ob s, hea lth car e, gro cery store, scho o ls, pl aces of worship , rec rea tion , or park s suc h as by add ing new fac iliti es that pro m ote walking, biking; impl em ent tran sit -ori ented d evelopm ent th at b enefit s ex istin g res id ent s an d busin esses; miti gate urb an heat island s to protec t th e health of at- risk res id ent s, outdoor workers, and oth ers; or pro actively addr ess racial equi ty. 31 Mobility and Community Connectivity The Departm ent will assess wheth er and how th e app lic ant will impro ve m ob ility an d communi ty conn ecti vity. For thi s assessm ent, DO T w ill co n sid er, for ex ampl e, how the proj ect will address sys tem-wid e co nn ecti vity with access to tr ans it , mi cro-mobili ty, an d mobili ty on - demand; impl em ent pl ans, base d on community p art icip ati on and data, that id enti fies and ad dr esses gap s in th e ex isti ng network; remove physical b arri er s for individu als by rec onnecting co mmuniti es to direc t, afford abl e tr ans portation opti ons; includ e transportati on fea tur es that increase access ibili ty fo r non-m otori ze d traveler s, such as through a Compl ete Streets appro ac h ; inco rp orate Am eri can s w ith Di sabiliti es Ac t (AD A) or Universal Design32 imp rovem ents; directl y in crease intermo dal and multimod al fr eight m ovem ent ; or consid ers last -mil e fr eight plans in a Co mpl ete Streets an d multimod al appro ac h . 30 http s ://www .ep a .gov/system/fi les/docu me nts /2023- 01 /2022 .1 2 .22 %20In ter i m%20Determ i na tio n%20on %20Low%20Carbo n%20Materials%20under%201RA %206050 3 %20and%2060506 _508 .p df 31 Defin itions for "rac ia l equi ty " an d "und erserved co mmuniti es " are fo und in Exec uti ve Order 13985 , Adva nc ing Rac ial Equity and Sup po rt for Underserved Communjti es Thro ugh th e Federal Government, Sections 2 (a) and (b). 32 Defin it io n fo r "Uruve rsa l Design " fo und on the Ge nera l Services Admin istra ti o n 's Section508 .gov we bsite and states , "Unjversa l des ign is a concept in wruc h pro du cts and environments are design ed to be usable by a ll peop le, to the greatest extent poss ibl e, without the need for adapt io n or specialized design." 38 Page 62 of 120 Economi c Comp eti tive ness a nd Opport uni ty The Departm ent wi ll asses w hether and how the proj ect wi ll impro ve eco nomi c co mpetitiven ess and opportunity . For thi s a sess ment, DOT wi ll con id er, for ex amp le, how th e proj ec t wi ll improve int ermod al or multimoda l fr eight mobi lity , espec ially for upp ly ch ai n bottle necks ; faci lit ate tourism ; prom ote loca l inclu sive eco nomi c development and entrepreneurs hip su ch as the utilization of Di sadvantaged Bu sin es Enterp1i es or 8(a) firm s ; wea lth building ; long-t erm econo mic growth and other broader economic and fi sca l benefit s; create goo d-pa yi ng jobs with free and fair choi ce to join a union includin g throu gh the use of a proj ec t labor agreem ent ; or adopt local and eco nomi c hiring preferences for th e project workforce or includ e other changes to hiring poli cie and workp lace cultures to promote the entry and retention of unden-epresented popu lations. DOT wi ll eva lu ate the extent to which the project will promote greater public and pri vate inves tm ent s in land-use prod uctivity, inc ludin g rural main s tre et rev itali zation or locall y driven den sit y d ec isions that upport equitabl e commercial and mi xed -income res id ential development. State of G ood R epair The Departm ent w ill asses w hether and to what ex tent th e project impro ves state of goo d r epair. For this assessment, DOT will co n sider , for ex ampl e, how the proj ect w ill miti gate current or projected sys tem vulnerabilities; re store and mod ernize (su ch as throu gh road diets and Complete Streets approaches) th e ex i stin g co re infrastru cture assets that ha ve met their use ful li fe ; reduce construction and maintenan ce burden s through efficient and well-integrated desi gn; create ne w infra tru cture in remote communities that wi ll be maintain ed in a state of goo d repair ; prioritize impro ve m ent of the co ndition and afety of exist in g tran sportation infrastructure w ithin the exis tin g footpr int; co ndu ct routine or defen-ed maintenance ; crea te n ew infra tructure (not in a remote community) th at wi ll be mainta in ed in a state of goo d repair ; or id enti fy the party responsible for m aintena nce and how th e new or improved asset(s) will be maintained in a state of goo d rep air. The Departm ent enco urage applicants to impro ve the co ndition and safety of existi ng state and lo ca ll y owned transportation infrastructure within th e ri ght-of-way befo re propo s in g proj ects that add new genera l purpo se travel lanes serv in g sin gle occupanc y ve hi cles . Partne rsh ip and C oll aborati on The Departm ent will consider th e extent to whi ch the project has or will supp ort and engag e diverse p eo pl e and co mmuniti es. For thi s as ess ment , DOT will co ns id er , for exampl e, how th e project ha s or wi ll co llab orate wi th publi c and/or pri vate entities; doc um ents support from lo ca l , regional, and/or nation al leve ls ; engage resi de nt s and comm unity-h a ed organizations to en sw-e equity co nsid erat ion s for under erved co mmuniti es are meaningfull y int egrated throughout th e project. Applicants shou ld d escribe how th e proj ect incorporates specific actions and activities identified in th e Departm ent 's Promi sin g Pra cti ces for Meanin gful Publi c In vo lvement in T rans port ation Decisio n-Making Guid e ;33 coo rdin ate w ith oth er types of proj ects such as econo mi c deve lop m ent , commercial or residential de elop ment nea r public tran portation , power/elec tri c in fras tru cture projects, or broadband deployment ; partner with Di sadvan taged 33 https://www.tran portation.gov/priorities/eguity/promising-practices-meaningful-public-involvement- transportation-decision-making 39 Page 63 of 120 Business Enterpri es or 8(a) firms; partn er with hj gh-quality workforce development programs with su pportive services 34 to help trajn, place, and retain underrepresented commuruties in good- paying jobs or re gistered apprenticesmp s includin g through the u se of local and eco nomic mring preferences, linkage agreements with workforce pro grams that serve underrepresented groups, and proactive plan to prevent harassment; partn er and engage with lo ca l union or other worker- based organizations in the development and lifecycle of the project, including through evidence of project labor agreement and/or commuruty benefit agreements; or partners with communities, or commuruty group repre entative of m torically underrepresented groups , to develop workforce strategie ; or establish formal public-pri ate partnersmps or joint ventures to expand or create new infra trncture or economic development capacity. DOT will asse s the level of detail and description provided about the partnerships li sted above . Applications that provide more detail s and descriptions abo ut the project partnersmp will be rated hi gher than those that do not , in alignment with the merit rating rubric . The Departm ent will consider whether th e applicant is participating in the Thriving Commuruties etwork.35 Applications that include right-of-way acquisition plans that mirurnally disrupts communities and maintain commuruty cohe ion will be more competitive than right-of-way acquisition plans that di rupt commuruties. For projects involving other Federal agencies, or requiring action from other Federal agencies , DOT will consider the level of in olvement and commitment from those agencies. For example, relevant port projects should demonstrate alignment with U.S . Army Corps of Engineers in vestment strategies. Innovation The Department w ill asses the extent to wmch the applicant uses innovative: ( 1) technologies; (2) project delivery ; or (3) financi ng. If trus project is the first time the applicant or commuruty will deploy specific inn o ations, th e D epartme nt will consider them innovative, to the ex tent applicants provide enough detail to determin e whether the innovations being deployed are new or innovati e to the applicant or commuruty regardle s of whether other app li cants or commuruties have implemented the se innovations . Innovative Technologies -The Depaitment wi ll co nsider how the project enhances the environment for connected, electric, or automated vemcles to improve the detection, mitigation, and documentation of safety risks . Example s include the use of Advanced Dri ver Assistance Systems on public transit vemcles and detection ystems on railroads to target and deter trespassing . The D epaitment will assess the extent to wruch the project uses innovative technology that significantly enhances the operational performance and maintenance of the urface transportation system including sensors to inspect infrastructure and manage assets or to morn tor real-time conditions of pavement quality , signage, cro walks, or transit headways ; active grade crossing d etection system s to enabl e re spo n s ive traffic managem ent ; or digitalized curb management to optimjze use 34 upportive service are critical to help women and people facing y temic barrier to employment be able to participate and thrive in training and employment. Reco mm ended supporti ve services in c lud e childcare, tools , work clothing, application fee and other cost of apprentice hip or required pre -employment training , transportation and travel to training and work ite , and services aimed at helpin g to retain underrepresented group like mentoring , upport groups, and peer networking . 35 https://www.transportation .gov/federal-interagency-thriving-communities-network 40 Page 64 of 120 across purposes and modes, including freight , pick-up drop-off, and transit usage. The use of low-carbon materials as well as the use of caps , land bridges , or underdecks are also considered innovative . Please note that all innovative technology must be in comp liance with 2 CFR § 200.216.36 If an applicant is proposing to deploy autonomous vehicles or other innovative motor vehicle technology , the D epartment wi ll consider whether and how the applicant demonstrates that all vehicles will comply with applicable safety requirements , including those administered by th e National Highway Traffic Safety Administration (NHTSA) and Federal Motor Carrier Safety Administration (FMCSA). Specificall y, the Department will consider whether the vehicles acquired for the proposed project wi ll comply with applicable Federal Motor Vehicle Safety Standards (FMVSS) and Federal Motor Carrier Safety Regulations (FMCSR). If the vehicles may not comply , the Department will consider applications that do one of the following more competitive than app li cations that do not: either (1) show that the vehicles and their proposed operations are within the scope of an exemption or waiver that has already been granted by NHTSA , FMCSA, or both agencies or (2) directly address whether the project wi ll require exemptions or waivers from the FMVSS , FMCSR, or any other regulation and , if the project wi ll require exemptions or waivers , present a plan for obtaining them . Innovative Project Delivery -The Department will consider the extent to which the project utilizes innovative practices in contracting (such as public-private partnerships and single contractor design-build arrangements), single contractor design-build arrangements , project bundling , Advanced Digital Construction Management, Accelerated Bridge Construction, Digital as-builts, or an up-to-date programmatic agreement between an environmental resource agency and a state DOT, or other NEPA lead agency , establishing a streamlined process for environmental consultations and permits for commonly encountered project types .Digital as-builts . Innovative Financing -The Department will assess the extent to which the project incorporates innovations in transportation funding and finance, for example through private sector funding or financing , using congestion pricing or other demand management strategies to address congestion, securing a TIFIA or RRIF loan, or receiving an a ll ocation for private activity bond s through DOT's Build America Bureau . b. Project Readiness Capital project app li cations that receive seco nd -tier analysis 37 wi ll be reviewed for Project Readiness and assigned three evaluation ratings: Environmental Risk Assessment, Technical Capacity Assessment , and Financ ial Comp leteness As sessment. Planning project applications that receive second-tier analysis wi ll be reviewed for Project Readiness and assigned two evaluation ratings: Technical Capacity Assessment and Financial 36 https :// ecfr. federal register .go v/current/ti ti e-2/su bti t ie-A/ chapter-II/part-200/su bpart-C/secti on-200 .216 37 Th e process for determinin g whi c h application s receive second-tier anal ys is is described in Sec ti on E.2 of thi s no ti ce. 41 Page 65 of 120 Completeness Assessment. (Environmental Risk Assessment will not be performed for planning applications). Low ratings in any of these readiness areas do not disqualify projects from award , but competitive app li cations clearly and directly describe achievab le risk mitigation strategies. A project with mjtigated risks or with a risk mitigation plan is more competitive than a comparable project with unaddressed risks. Environmental Risk The Environmental Risk Assessment analyzes the project 's environmenta l approvals and likelihood of the necessary approval affecting project obligation funds wi ll be spent expeditiou sly once construction start s as described in Section D of the NOFO , and results in a rating of "high risk ," "moderate risk," or "low risk ." Technical Capacity The Techn ica l Capacity Assessme nt wi ll assess the applicant 's capacity to successful ly deliver the project in comp lian ce with app li cab le Federal requirements as well as the recipient 's experience working with Federal funds , civi l rights compliance, and previous experience delivering infrastructure projects. This review is partially based on information submitted with the application and partially based on DOT Operating Administration knowledge of the applica nt 's performance. Technical Capacity rating s will be one of the following: "certain ," "s omewhat certain ," or "uncertain." DOT wi ll assign the hi ghest rating of "certain ," if the application demonstrates that: the applicant ha s extensive experience with Federal funds ; th e applicant has extensive experience comp leting projects with similar scope; the app li cant has th e resources to deliver the project; and the project will comp ly with all applicable Federal requirements including , but not limited to , Buy America provisions , ADA regulations , Civil Rights requirements , Federal Motor Vehicle Safety Standards , and/or the Federal Motor Carrier Safety Regulations . If an applicant is proposing to adopt innovative technology or other innovative practices, DOT will assess whet her the applicant's capacity to implement those innovations , the applicant 's understanding of app li cable Federal requirements and whether the innovations may require extraordinary permitting, approvals, exemptions , waivers, or other procedural actions , and the effects of those innovations on the project delivery timeline . Financial Completeness The Financial Completeness Assessment reviews the project budget to confirm the availabi li ty of funding for the project and whether the app li cant presented a comp lete funding package based on reasonable cost estimates . Financ ial Comp lete ness ratings are: "comp lete ," "partially complete ," or "incomplete." DOT will assign the highest rating of "comp lete," if the app li cation identifies all funding sources for the project budget, documents all funding is available and committed to the project, includes contingency amount in the project budget and describes a plan to address potential cost overruns , and cost estimates are no more than a year old or include an inflation factor. Planning grants are 42 Page 66 of 120 not required to include a contingency amount but must discuss a plan to address potential cost overruns. Projects with funding estimates that are based on early stages of design ( e.g., less than 30 percent design) or outdated cost estimates without specified budget contingencies will receive a lower rating. All applicants, including those requesting 100 percent grant funding , should describe a plan to address potential cost overruns. c. Cost Benefit Analysis For capital projects that receive second-tier analysis , the Department will consider the costs and benefits of projects seeking RAISE grant funding in determining whether a project is cost effective. To the extent possible, the Department will rely on quantitative, evidenced-based and data-supported analysis to assess how well a project addresses this criterion, including an assessment of the project's estimated benefit-cost ratio (BCR) based on the applicant-supplied BCA described in Section D.2 .f. To evaluate the costs and benefits of a proposed project, the Department will assign the project as either negative net benefits (costs exceed benefits) or positive net benefits (benefits exceed costs.) Projects with negative net benefit ratings will not be selected for an award , unless the project receives a "Highly Recommended " rating and demonstrates exceptional benefits for underserved or disadvantaged communities, as identified by the Senior Review Team . 38 2. Review and Selection Process This section explicitly addresses the BIL requirement to describe the methodology for evaluation in the NOFO. The RAISE grant program review and selection process consists of Merit Criteria Review ; Project Readiness Review (consisting of Technical Capacity Assessment, Environmental Risk Assessment, and Financial Completeness Assessment); Benefit-Cost Analysis; and Senior Review . The Secretary makes final project selections. Teams comprising Department and contractor staff review all eligible applications received by the deadline for a Merit Review and assign ratings as described in Section E. Using the Merit Review rubric described in section E , the combination of eight merit criteria ratings will result in one overall Merit Rating : Highly Recommended , Recommended, Acceptable, or Unacceptable . "Highly Recommended " projects automatically advance for second-tier analysis . The Senior Review Team (SRT) reviews all "Recommended " projects to determine if the benefits of a particular criterion are so significant that the project merits advancing for second- tier analysis. The SRT can advance a "Recommended " project only if: 38 The Senior Rev ie w Team , and its role in the application evaluation and se lection process, is described in section E.2 of this notice. 43 Page 67 of 120 1. the project recei ed a "hi gh" in o ne o r more of the priority criteria of safety , environmenta l ustainabi lity , mobi lity and community connectivity , or quality of li fe , and the be nefits in that criterion are exceptional; or 2 . if the SRT provides addition a l inform ation to demonstrate that a criterion has b enefits that are a li gned with a "hi g h" rating for one or more of the priority merit c rit er ia li sted above (whether or not the Merit Review Team ass igned a "high " rat in g) and the benefits in that criterion wou ld be exceptional. Senior Operating Administration staff and OST staff may make recommendations to the SRT for which projects shou ld advance based on excep ti ona l benefits of a particular prio1ity criterion . "Recommended " proj ects designated a "RCN Pro gram Ex tra " project und er the FY 2023 Reconnecting Comm uniti es and Neighborhood s (RC ) Program co mp etition that receive at least one "High " in a priority criterion durin g the FY 2024 RAISE application evaluation process will automaticall y advance for second-t ier analysis . Second-tier ana lysis con ist of: • Capital Proj ects -Cost-B enefit Analysis and Project R eadiness: (1) Environmental Risk Assessment; (2) Financia l Comp leteness Asse sment ; and (3) Technical Capacity Assessment. • Plannin g Proj ects -Project Readine s: (l ) Financia l Completeness Asses sment ; and (2) Technical Capacity A sessm ent. Following completion of second-tier analysis , the SRT determines whic h project are designated as Highly Rated . Using th e di scretio nary au th ority prov id ed in statute, the Secretary se lects proj ects fro m th e Highly Rated List for award , con sistent with th e se lection criteria and statutory requirements for geographic and mod al diversity. The Secretary may , depending on the pool of qualified application s, seek to award at least one project per state or territory . Projects for which an FY 2024 RAISE app li cation i ad vanced by the Senior Re view Team to the Highly Rated List, but that are not awarded , are automatica ll y designated as "Projects of Merit. Projects with tru de ignation wi ll be carried over into FY 2025 RAISE and con idered by the SRT for advancement to the Highly Rat ed List , along with other FY 2025 applications eli gib le for adva n cement to th e Highly Rated List. The BIL mandates that RAISE g rant award se lec tion s be announced by June 27 , 2024. Consistent with past practice and statut e, the Department offers debriefs to applicants not se lected for award to recei e informat ion abo ut the RAJ E project 's eva lu ation . Due to overwhelming demand , the Department is wrnble to provide a RAISE award to ev ery competitive project that applies. 44 Page 68 of 120 3. Additional Information Prior to award , each se lected app li cant wi ll be subject to a risk assessment as required by 2 CFR § 200.206. The Department must review and consider any information about the applicant that is in the Federal Awardee Performance and Integrity Information System (FAPIIS), the designated integrity and performance system accessible through SAM. An applicant may review information in FAPIIS and comment on any infonnation about itself that a Federal awarding agency previously entered. DOT will consider comments by the applicant, in addition to the other information in FAPIIS , in making a judgment about th e applicant's integrity , business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants. F. Federal Award Administration Information 1. Federal Award Notice Following the evalu ation outlined in Section E, the Secretary will announce awarded projects b y posting a list of selected projects on th e RAISE program website .39 Recipients will be notified by email. Notice of se lection is not authori zatio n to begin performance or to incur costs for the proposed project. Following that announcement, the RAISE program Office and relevant operating administration will contact th e point of contact listed in the SF-424 to initiate negotiation of the grant agreement for authorization . Recipients of RAISE Grant awards will not receive lump-sum cash disbursements at the time of award announcement or obligation of funds. Instead, RAISE funds wi ll reimburse recipients only after a grant agreement has been executed, allowable expenses are incurred , and valid requests for reimbursement are sub mitted. Unless authorized by the Department in writing after the Secretary's announcement of FY 2024 RAISE awards, any costs that a recipient incurs before DOT executes a grant agreement for that recipient 's project are in eligib le for reimbursement and are ineligible match for cost share requirements . 2. Administrative and National Policy Requirements a. Administrative Requirements Please visit the RAISE program website40 for the General Terms and Conditions for FY 2023 RAISE awards. The FY 2024 RAISE Terms and Conditions wi ll be similar to the FY 2023 RAISE Terms and Conditions, but it wi ll include relevant updates consistent with this notice. 39 www.transportation .gov/RAISEgrants 40 https://www.transportation.gov/po licy-ini tiatives/raise/raise-grant-agreements 45 Page 69 of 120 Al l award s will be adm in is tered pursuant to th e U ni fo rm Admini strati ve R equi rements, Co st P rinc ipl es and A udit R equ ir em ents for Fed eral Award fo und in 2 C .F.R p art 200 , as adopt ed by DOT at 2 C .F .R part 1201 . Federal wa ge ra te requirements in clud ed in sub ch apter IV of chapter 3 1 of titl e 40 , U.S .. , appl y to all proj ec ts receiv in g fund s unde r tru s program , and app ly to all part of th e proj ec t, wh e th er fund ed w ith RAIS E Gran t funds, other Fed eral fund s, or non- Federal fund s. In co nn ec tio n w ith an y p rogram or acti v ity co ndu c ted w ith or b en e fitin g fr o m fun d s aw ard ed un der tru s noti ce , rec ipi ent s of fund s mu t co mpl y with a ll applica bl e requirem ent s of Fed eral law , includin g , w ith out limitat ion, th e Con stituti o n of th e United State ; th e co nd it ion s of perfo rman ce, non -di crimin ati on requirem ent , and o th er ass urances m ad e a ppli ca bl e to th e award of fund s in acco rd ance with regulation of th e D ep a rtm ent of Tran sportati on ; and appli cabl e Fed era l fin an c ial ass istance and contrac tin g principl es promulga ted by th e Offi ce of Managem ent and Bud get. In co mpl y ing w ith th e e requirem ents, rec ipi ent , in particul ar , mu st ens ure th at no co ncess io n agr eem ent s are d eni ed or oth er co ntracting dec isio ns m ad e on th e b as is of sp eech or oth er ac ti v it ies pro tec ted b y th e First Amendment. If DOT de termines that a rec ip ient h as fa il ed to co mpl y w ith appli cabl e Fed era l requirem ents, DOT m ay terminate the award of fund s and di sa ll ow previou sly in c urred co ts , re quiring th e rec ipi e nt to re imburse any expend ed award fund s . Addition all y, appli cabl e Federal law s, rul es and reg ul a ti on s o f the relevant op era ting admini stration admini sterin g th e proj ec t will app ly to th e proj ec ts tha t receive RAIS E grant award s, including pl a nnin g requirem ents, Service Outco m e A gr eem ents, Stak e hold er Ag ree ment s, Bu y A me ri ca co mp lian ce , a nd oth e r require me nt s und e r DO T's o th er hi ghway , transi t , ra il , an d p ort gr ant programs. Fo r proj ec t th at are eli gibl e und er RAI SE but are not e lig ible und er DOT's oth e r p rogram s or pro j ec ts th at are e li g ibl e und e r multipl e DOT progra m s, the RAI SE p rogram will determine th e appro pria te req u ir em ent s to en ure th e project is de live red co n istent w ith p rogram and D ep artm en t goa ls. In parti cul ar, Execut i e O rd er 1400 5 directs th e Executi ve Bran c h D ep artm ent s and agencies to max imize th e use of goo d s, products , an d m aterial s produ ced in , an d serv ices offered in , th e U nited States throu gh th e terms and co nditions of Fed era l fin an c ial ass istance aw ard s. If se lected for an award , gran t rec ipi ent s mu st be prepared to de mon strate h ow th ey wi ll max imi ze th e u se of domes ti c good , products, and materia ls in co n stru ctin g th ei r project. RAI SE grant proj ec ts in vol ving ve ru c le acqui sition mu st in volve onl y ve rucl es th at co mpl y w ith appli ca bl e Federal Motor Veru cle Safety Stan dard s an d Federal Mo tor Carri er Safety R egul ati on s, or ve hicles th at are exempt fr om Federa l M otor Verucle Safety Sta nd ard or Federal M otor Ca rri er Safety R egul ati on s in a m anner that all ows for th e lega l ac qui iti on an d depl oyment of th e vehi cle or vehicl es . For pro j ec ts admini ste red by FHWA , appli ca bl e Federa l laws, rul es , and regul atio ns set forth in Tit le 23 U.S .C. and Titl e 23 C .F .R gen erall y appl y, in c luding th e 23 U .S .C. 129 res tri ction s on th e use of toll revenu es , a nd Sec tion 4(f) preservati on of p arkland s and hi stori c pro perti es req u irem ent s und e r 23 U .S .C . 13 8. For an illu s tr ati ve li st of th e oth er appli cabl e laws , rul es , regu lations, executi ve ord ers, poli ces , gu id elin es , an d req uirem ent s as th ey rela te to a RAI SE grant proj ec t admini ste red b y th e FHW A, pl ease see th e RAISE program website .4 1 41 https ://www.transportation.gov/ grants/raise/raise-fy2023-fhwa-exhibi ts-june-23-2023 46 Page 70 of 120 For RAISE projects admini tered by th e Federa l Transit Administration and partially funded with Federal transit assi tance , all re levant req u irements under ch apter 53 of title 49 U.S.C. apply. For transit projects funde d exclu sive ly with RAISE grant funds , some requirements of chapter 53 of tit le 49 U.S.C . and ch apter VI of title 49 CFR app ly . For projects admini tered by the Federal Railroad Administration, FRA requirements described in 49 U .S .C. Subtit le V , Part C apply . b . Pro gra m R equir eme nts Climate C han ge and E nvironmental Ju stic e Imp act C on sid eration Each app licant selected for RAISE grant fu nd ing must demonstrate effort to consider climate change and environmental justice impacts as described in Section E , consistent with Executive Order 14008 , Ta cklin g th e Climate Crisis at Hom e and Abroad (86 FR 7619). In the grant agreement, app licant will be required to memorialize commjtments they ha e made in their applications in one or more of the acti itie in Section E . l . Land Use and Housing Affordability Impact Consideration Eac h applicant se lect ed for RAISE grant fundin g mu t d emon strat e e ffort to co n sid er housin g a ffordabilit y imp ac ts of th e grant , and pa11icularly how local land u se and zonin g pra ctices a lr eady allow for , or ha ve bee n modified to , ensure ad equate affordable hou s in g supply pro ximate to th e tran s it in ves tment. Appli c ants will b e required to me moriali ze co mmitments th ey ha ve mad e in th e ir appli c ation s in on e or more of th e ac ti v iti es in Sec tion E. I . Racia l E qui ty and Ba rri ers to Opportuni ty Each applicant selected for RAISE grant funding must demonstrate effort to improve racial equity and reduce barriers to opportunity as described in Section E , con istent with Executive Order 13985 , Advanc in g Racial Equity and Support for Unders erv ed Communities Through th e F ederal Government (86 FR 7009). In the grant agreement, app licants wi ll be required to memorialize commit ments they have made in their applications in one or more of the activities listed in Sectio n E . l . Lab or and W orkforce Each applicant selected for RAISE grant funding must demonstrate, to the full extent possible cons istent with the law , an effort to create good-paying jobs with the free and fair choice to join a union and incorporation of strong labor standard a described in Section E , consistent with Executive Order 14025 , Worker Organiz in g and Empowerm ent (86 FR 22829), and Executive Order 14052 , Implem entation of th e Infra s tru c ture Inve tm ent and Job s A ct (86 FR 64335). In the grant agreement, app licants wi ll be required to memoriali ze commitmen ts they have made in their app lications in on e or more of th e activ ities listed in Section E.1. 47 Page 71 of 120 Critica l Infrastru ctu re ec uri ty, Cy be rsecuri ty, an d R es ili en ce It is th e poli cy of th e U nite d States to stren g th en th e security and res ilien ce of it s c riti c al in fras tru c ture aga in st all hazard s, inclu din g both ph ys ica l and cy b er threats, co nsistent with Presi denti al Po li cy Direc ti ve 2 1 -Criti ca l Infras tru c ture Security and R e ilien ce an d th e N ati on al Securi ty M em orandum on Improv in g Cyb ersec urity for Criti c al Infra tru c ture Con tro l Sys tem s. Each appli cant se lec ted fo r Fed eral fundin g und er thi noti ce mu st demonstr ate, prior to th e signing of th e gran t agr ee m ent, effort to co n sid er an d address phys ica l and cyb er securi ty ri sks re levan t to th e tr an p orta ti on mo de and typ e and ca le of th e proj ect. Pro j ec ts th at h ave n ot ap pro pri ately co n sid ered and addressed phy ica l and cy b er secrni ty and r es ili ence in th eir pl annin g , des ign, and pro j ec t oversight, as de termin ed by th e D epartment o f H om elan d Securi ty, will be required to do so before rec ei v ing fund s . Domes ti c Pref e re nce R equir em e nts A ex pr esse d in Exec uti ve Ord er 1400 5, ' nsurin g th e F uture I s M ade in A ll of Americ a b y All of Ame ri ca 's Wo rk e rs ' (86 FR 747 5), th e exec uti ve br a nch should max imi ze, co n i te nt w ith law , th e u se of goo d , pro du c t , and m ateri als produ ced in , and services offered in , th e Unit ed States . Fund s made a ail a bl e und er thi s no ti ce ar e ubject to dom es ti c preference req uirem ents based on the Op era tin g Admini str ation th at admini ter th e proj ec t, includin g 23 U .S .C . 3 13 (FHWA proj ect s); 4 9 .S .C. 5323 G) (FT A proj ec ts); 49 U .S .C . 229 05(a) (F RA proj ec ts); and secti on 70914 (a) of th e Build Am eri ca, Buy Am eri ca Act (a ll proj ec ts). Th e D epartm ent ex p ec ts all app lic ant s to comp ly with out needing a proj ec t -p ec ifi c waiver for dom es ti c pr eferen ce req uirement s. Civi l Ri gh ts and T itle VI A a co nditi on of a gra nt award , grant rec ipi ent s should dem on str ate th a t th e recip ient h as a pl an for compli ance w ith c iv il righ ts obli ga ti ons and nondi c rimin ati on laws , in clu ding T itl e VI of th e C i ii Ri ght s Act o f 1964 a nd impl em e ntin g reg ul at io ns (49 CF R § 2 1) th e Ame ri ca n s w ith Di sa biliti es Act of 1990 (ADA), and Sec ti on 504 of th e R eh abi lit ati on Act, a ll o th er c ivil ri ght s requirem ent s, and acco mp an y in g regu lati o ns . T hi s should in clude a current Ti tle VI plan, compl eted Commu ni ty Parti c ip ation Plan , and a pl an to address an y legacy in fras truc tur e or fac iliti es th at ar e no t co mpli a nt w ith ADA sta nd ard s . DO T's an d th e app li c a b le Op eratin g Ad mini strati o ns' Offi ce of iv il Ri g ht s may wo rk w ith awa rd ed gra nt rec ipi e nt s to e ns ure fu ll compliance with F ed era l c iv il right s requirem ent s. Federa l Con t ract Compli ance As a cond iti on of gran t award a ll Fed erall y a i ted contractors ar e req uired to m ake goo d fa ith efforts to m ee t th e goa l of EO 11 2 46 , Equ al E mpl oyment Opportuni ty (3 0 FR 123 19, and as amend ed). U nd er Secti on 503 of th e R eh abi lit a ti on Act an d it s impl em entin g regul a ti on s, affirm a ti ve ac ti on o b liga ti on s fo r cert ain co ntrac to rs in c lud e an as pi rati on al e mpl oym ent goa l of 7 percent work ers with di sabiliti es. The U.S. D ep a rtm ent of La bor 's Office of Fe dera l Co nt rac t Co mpli ance P rogra ms (OFCCP) is charged w ith e nfo rc in g Executi ve Ord er 11 246 , Sectio n 503 of the Reh a bilitat io n Act of 1973 , and the Vi e tn a m ra Vetera ns' Rea dju stm ent i ta nce Ac t of 1974 . OF CP h as a Mega Constru cti on Proj ec t Program throu gh w hi c h it en gages wi th p rojec t spo nso rs a early as th e de ign phase to he lp pro mote compli ance w ith non -di scrim in a ti on and affirm at i e ac ti on 48 Page 72 of 120 o bli gation s . OFCCP w ill id enti fy proj ects th at receive an aw ard und er thi s noti ce and ar e required to p arti cip at e in OFCC P 's M ega Co nstructi o n Proj ec t Prog ram fr o m a w id e ran g e of Fed erall y ass isted proj ec ts over which OFCCP has jurisdi ction and th at have a proj ec t cost ab ove 35 milli on. DOT will require proj ec t sponsors with cos ts above $3 5 million th at r eceive awards und er thi s fundin g oppo1tuni ty to partn er with OFC CP , if se lected by OF CC P, as a co ndition of th eir DOT award . Project Signage and Public Acknowledgements Rec ipi ents ar e encomaged for co nstru ction and non-co nstru ction proj ects to pos t proj ec t sign age an d to includ e publi c acknow ledgm ents in publi sh ed an d other co ll atera l materia ls (e.g., press re leases, marketing m ateri als, web sit e, etc.) sa ti sfac tory in form and sub stan ce to DOT , th at id entifi es th e natur e of th e p roj ec t and indi cates th at "th e p ro j ec t is fund ed by th e Bip arti san In fras tru ctur e Law". In additi on, recipi ent s empl oy in g pro j ect s igna ge a re required to use th e official Inves tin g in Am eri ca embl em in acco rdance w ith the Offi cial Investing in America Emblem Style Guide . Costs assoc iated with signage an d publi c ac kn ow led gments mu st b e reason abl e and lirrut ed . Signs or publi c ac kno w led gm ents should not be produced , di splaye d , or publ is h ed if doin g so res ul ts in unreaso nabl e cos t, ex p ense, or rec ipi ent burd en . T he R ec ipi ent is enco uraged to u se recycled or rec overed materi als when procuring signs . 3. Reporting a. Progress Reporting on Grant Activities Each appli cant se lec ted for RA ISE grant fundin g mu s t submit qu arterl y pro gr ess rep ort s and Fed era l F in anc ial R ep orts (SF -4 2 5) to m onitor pro j ect progress and ensure acco untabili ty and fi n anc ial tr ans p arency in th e RAIS E grant pro gr am . b. Performance Reporting Each applicant selec ted fo r RAISE grant fundin g must co ll ec t and rep ort to th e DOT inform ation o n th e proj ec t 's pe rfo rm ance base d on pe rfo rman ce indi ca tors DOT id entifi es re late d t o pro g ram goals ( e.g ., tra vel tim e savings , greenhou se gas emi ss ion s, p assenger co unts, level of servi ce, etc .) and oth er inform ati on as requ es ted b y DOT . P erfo rmance indi cato r s should incl ud e meas urabl e goals or targe ts th at DOT will use internall y to d etermin e wheth er th e proj ect meets program goa ls, and grant fun ds ac hi eve th e intend ed long -term o utco m es of th e RA ISE Grant Program . T o th e ex tent p ossi bl e, performan ce indi cators u sed in th e reportin g should ali gn w ith the measures includ ed in th e appli ca ti on and should relate to at least one of th e selec ti on criteri a d efin ed in Sec ti on E .1. P erform anc e reportin g continu es fo r several years a ft er pro j ec t cons tru ction is co mpl eted , and DOT do es not pro vid e RAIS E grant fundin g specifica ll y for p erfo rman ce reportin g. RAI SE grant perfo nnan ce m eas ures ar e pos ted on th e RAISE website . 42 c. Program Evaluation As a co nditi on of gra nt award, RAIS E grant rec ipi ents may be requ ired to p artici p ate in an evalu atio n und ert aken by DOT, or an oth er age ncy or partner . Th e eva lu ati on may take di ffe rent 42 http s ://www .tran sportation .go v/grant s/raise/raise-performance-measure s-update-2023 49 Page 73 of 120 forms such as an implementation assessment across grant recipients, an impact and/or outcomes analysis of all or selected sites within or across grant recipients , or a benefit/cost analysis or assessment of return on investment. The Department may require applicants to collect data elements to aid the evaluation . As a part of the evalu ation, as a cond ition of award , grant recipients must agree to : (1) make records avai labl e to the evaluation contractor; (2) provide access to program records, and any other relevant documents to calculate costs and benefits; (3) in the case of an impact analysis , facilitate the access to relevant information as requested; and (4) follow evaluation procedures as specified by the evaluation contractor or DOT staff. Recipients and sub-recipients are also encouraged to incorporate program evaluation including associated data co ll ection activities from the outset of their program design and implementation to meaningfully document and measure the effectiveness of their projects and strategies . Title I of the Foundations for Evidence-Based Policymaking Act of20 18 (Evidence Act), Pub. L. No . 115-435 (20 19 ) urges Federal awarding agencies and Federal assistance recipients and subrecipients to use program evaluation as a critical tool to learn, to improve equitable delivery , and to elevate program service and delivery acros s the program li fecyc le. Evaluation means "an assessment using systematic data co ll ection and analysis of one or more programs , policies, and organizations intended to assess their effectivenes s and efficie nc y" ( cod ifi ed at 5 U .S.C. § 311 ). For grant recipients , evaluation expenses are allowable costs ( either as direct or indirect), unless prohibited by statute or regulation, and such expenses may include the personnel and equipment needed for data infrastructure and expertise in data analysis , performance, and evaluation (2 CFR § 200). Credible program evaluation activities are implemented with rele vance and utility, rigor , independence and objectivity , tran sparency, and ethics (0MB Circular A-11 , Part 6 Section 290). d. Reporting of Matters Related to Recipient Integrity and Performance If the total va lu e of a selected app li ca nt 's currently active grants , cooperative agreements , and procurement contracts from all Federal awarding agencies exceeds $10,000 ,000 for any period of time during the period of performance of this Federal award , then the applicant during that period of time must maintain the currency of information reported to the SAM that is made available in F APIIS about civil , criminal, or administrative proceedings described in paragraph 2 of this award term and condition. This is a statutory requirement under section 872 of Public Law 110-417 , as amended (41 U.S .C . 2313). As required by section 3010 of Public Law 111- 212 , all information posted in the d esignated integrity and performance system on or after April 15 , 2011 , except past performance reviews required for Federal procurement contracts, will be publicly avai lab le. G. Federal Awarding Agency Contacts For further information concerning this notice please contact the RAISE grant program staff via e-mail at RAISEgrants@dot.gov , or call Andrea Jacobson at 202-366-9603 . A TDD is availab le for individuals who are deaf or hard of hearing at 202-366-3993 . In addition , DOT wi ll post answers to questions and requests for clarifications on the RAISE website at www.transportation.gov/RAlSEgrants . To ensure applicants receive accurate information about eligibility or the program , the app li cant is encouraged to contact DOT directly , rather than through intermediaries or third parties, with questions . DOT staff may also conduct briefings on the RAISE grant se lection and award process upon request. 50 Page 74 of 120 H. Other information 1. Protection of Confid ential Business Information All information submitted as part of or in upport of any app li cation shall use publicly available data or data that can be made public and methodologie that are accepted by indu try practice and standard s , to the extent possible . If th e appli cant submits information that the app licant con iders to be a trade secret or confidentia l commercial or financial information , the applicant mu t provide that information in a separate docwnent, which the applicant may cro s-reference from the app li cation narrati e or other portions of the application . For the separate docwnent containi ng co nfid enti al information, the applicant mu t do the fo ll owing: (1) state on the cover of that docume nt that it "Co nta in s Co nfidentia l Bu s in ess In fo rm ation ( Bl);" (2) mark eac h page that co ntain s confidential infonnation with "CBI ;" (3) high li g ht o r otherwise denote the confidential con tent on each page; and (4) at the end of the docwnent, exp l ain how disclosure of the confidenti al information wou ld cau se sub stantia l competitive harm. DOT will protect confidential information comp lying with these req uirements to the extent required under applica bl e law. If DOT recei ves a Freedom oflnformation Act (FOIA) request for the information that the applicant has marked in accordance with this section, DOT will follow the procedures de cribed in its FOIA reg ul atio n at 49 CFR § 7.29. Only in fonnation that is in the eparate do c um ent, m arked in accordan ce w ith thi s ection, and ultimately determined to b e confi dential und e r § 7.29 wi ll be exempt from di sc los ur e und er FOIA. 2. Publication and S harin g of Application Information Followin g the com pl etion of the selection process and anno uncement of awards , the D epartm ent intends to publish a li st of all app li cation received along with the names of the applicant organizations and funding amounts requested. Except for the information properly marked as described in Section H . l , The D epartment may make application naii-ati es publicly avai labl e or hare appli cation infonn ation within the D e partment or with other Federal agencies if the Department determines that shari ng is re levant to the respective pro gra m 's object ives. Pete Buttig g I ued in Washington D .C. on ovember 30 , 2023 51 Page 75 of 120 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-7 FROM:Historic Preservation Committee SUBJECT:DRAFT Ordinance to Establish Historic Preservation Commission AGENDA DATE: January 22, 2024 RECOMMENDED ACTION: Council to review and discuss DRAFT Ordinance to Establish Historic Preservation Commission. BACKGROUND INFORMATION: DRAFT Ordinance to Establish Historic Preservation Commission BUDGET IMPACT/FUNDING SOURCE: GRANT: LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: Page 76 of 120 Presentation to the City Council Fairhope Historic Preservation Committee January 22, 2024 Page 77 of 120 Page 78 of 120 Page 79 of 120 Page 80 of 120 Page 81 of 120 Page 82 of 120 Page 83 of 120 Page 84 of 120 Page 85 of 120 Page 86 of 120 Page 87 of 120 Page 88 of 120 HAHS Draft 12.13.23 AN ORDINANCE TO ESTABLISH A HISTORIC PRESERVATION COMMISSION IN THE CITY OF FAIRHOPE; TO PROVIDE FOR DESIGNATION OF HISTORIC PROPERTIES OR HISTORIC DISTRICTS; TO PROVIDE FOR ISSUANCE OF CERTIFICATES OF APPROPRIATENESS; TO PROVIDE FOR AN APPEALS PROCEDURE; CERTl.flCATE OF ECONOMIC HARDSHIP; AND FOR OTHER PURPOSES. BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF FAIRHOPE: Section I: Purpose A. In 1989, the State of Alabama enacted legislation authorizing all municipalities to adopt ordinances to establish historic development commissions, and to promote educational , cultural, economic and general welfare of Alabama municipalities through preservation and protection of historic resources . (Alabama Code§§ 11 -68 -1 through 11 -68 -15). B. Alabama Code § 11-68-14 additionally authorizes the City to grant the Commission additional powers set forth in Alabama Code Title 11 Chapter 68 . C. In support and furtherance of its findings and determination that the historical, cultural , and aesthetic heritage of the City of Fairhope is among its most valued and important assets and that the pre servation of this heritage is essential to the promotion of the health, prosperity, and general welfare of the people; D. In order to stimulate revitalization of the bu sine ss district and historic neighborhoods and to protect and enhance local historical and aesthetic attractions to tourists and thereby promote and stimulate business; E. In order to enhance the opportunities for federal or state tax benefits under relevant provisions of federal or state law; and F. In order to provide for the designation, protection, preservation and rehabilitation of Historic Properties and Historic Districts and to participate in federal or state programs to do the same; G. The City Council of the City of Fairhope hereby declares it to be the purpose and intent of this Ordinance to establish a uniform procedure for use in providing for the protection , enhancement, perpetuation and use of places , districts, sites , buildings, structures, objects, landscape features and works of art having a special historical, cultural or aesthetic interest or value , in accordance with the provisions of the Ordinance. 1 Page 89 of 120 NOW, THEREFORE, in conside r ation of these findings , the Council hereby adopts this Ordinance as follows . Section II: Creation of a Historic Preservation Commission A. Creation of the Commi ss ion 1. There is hereby created a Commission whose title shall be "City of Fairhope Historic Preservation Commission" (hereinafter "Commission") pursuant to §§ 11 -68 -1 through 11-68 -15 of the Code of Alabama (1975). 2. The Commission shall constitute a non -profit governmental agency whose funds shall be used exclusively for public purposes as provided herein . B. Commission Members : Number, Appointment, Terms, Compensation and Rules and Standards 1. The Commission shall be composed of seven (7) members, who shall have demonstrated t r ai ning or experience in the fields of history, architecture, architectural history, urban planning, archaeology, law, or related fields, or who shall have demonstrated an interest in historic preservation with training in historic preservation. Members may also be re sidents of a Historic District designated pursuant to this Ordinance regardless of training or experience. Members of the Commission shall be bona fide residents of the territorial jurisdiction of the City of Fairhope . Not more than one of the members of the Commission shall be a public official , and such public official shal l meet the experience and/or residency requirements set forth hereinabove . 2. Members of the Commission shall be nominated by the Mayor and appointed by the City Council. Nomination and appointment of members of the Commission shall be made to ensure that the Commission will be composed of persons having as much of the training and ex perience specified in se ction (1) as possible . 3. Except for the original members ofthe Commission , members of the Commission shall serve three yea r terms and shall be appointed in such a manner so as to serve overlapping terms. Two of the original members of the Comm i ssion shall be appointed to serve a one year term, two of the original members of the Commission shall be appointed to serve a two year term, and the remainder of the original members of the Commission shall be appointed to serve a three year term. Members of the Commission may be reappointed. 4. Members of the Commission shall serve without compensation but may be reimbursed for expenses incurred on behalf of the Commission in accordance with the rules and regulations for the reimbursement of expenses adopted by the Commission . 2 Page 90 of 120 5. Any vacancy occurri ng on the Commission other than by expiration of term shall be filled for the unexp i red term of such member by the procedures set forth in section 2 above. 6 . Conflict of Interest . No member shall vote, present, discus s or participate in any matter in which the member has a Conflict of Interest or in which the member o r any family member has any financial gain or interest. 7 . Members of the Commission may be removed for cause by the City Council, which shall be established in the sole discretion of the City Council. 8 . Members of the Commission shall elect a chairman and a vice chairman and such other officers as the Commission deem necessary . The Commission shall adopt rules of procedure and bylaws to govern its ope r ations and shall communicate those rules of procedure and bylaws to the City Counc i l. The rules of procedure and bylaws of the Commission shall specify what number of members ofthe Commission constitutes a quorum. The Commission's rules of procedure and bylaws may be amended from time to time by the Commission . C. Commission Meetings, Minutes and Public Participation 1. All meetings of the Commission must be publicly announced and be open to the public. Commission m eetings must occur at regular intervals. Written notice must be provided prior to all meetings, including any special meetings, by electronic transmission or US Mail and the Commission shall furnish a copy of its meeting schedule to the City Clerk, Mayor, and Commission Members and post such notices on the City's web page . 2. Minutes of all decis i ons and actions of t he Commission including the reasons for making these decisions must be submitted to the City Clerk and available for public inspection . 3 . All decisions of the Commission shall be made in a public forum and applicants must be given written notification of the Commission 's decision. 4. The rules of procedure and bylaws adopted by the Commission must be available for public inspection and constitute a public record that shall be furnished to the City Clerk . D. Statement of the Commission's Power 1. The Commission shall be authorized to : a. Prepare and maintain a survey and inventory of all property within the City having the potential for designation as a Historic Property or potential Historic District; b. Recommend to the City Council buildings, structures, sites, and districts for designation as Historic Properties or Historic Districts. c. Review applications for Certificates of Appropriateness and grant and deny same in accordance with this Ord i nance and Alabama Code§ 11-68-9 . 3 Page 91 of 120 d. Promote acquisit i on of fac;:ade and conservation easements by the City or by the Commission; e. Develop and conduct educational programs on historic projects and districts designated pursuant to this Ordinance and on historic preservation subjects ; f . Recommend to the City Council that the designation of any buildings, structures, sites , or districts as a Historic Property or as a Historic District be revoked or removed; g. Make recommendations for potential acquisition of Historic Properties to the City of Fairhope; h. Make such investigations and studies of matters relating to historic preservation as the City deems necessary and appropriate; i. Seek out local , state, federal and private funds for historic preservation , and make recommendations to the City Council concerning the most appropriate use of any funds acquired ; j. Employ persons , if necessary, to carry out the responsibilities of the Commission as authorized by the City Council ; k. Review and make comments to the Alabama Historical Commission concerning the nomination of properties within its jurisdiction to the National Register of Historic Places ; I. Investigate, survey and process nominations of properties to the National Register of Historic Places ; m . Investigate, survey and process applications for certification of Historic Properties for tax credits for preservation expenditures; n. Participate in private, state and federal historic preservation programs and enter into agreements with same to perform historic preservation related functions as authorized by City Council. o. Exercise such further powers as the Commission may deem reasonably necessary and proper to carry out the purposes, responsibilities and powers of the Commission pursuant to Alabama law and subject to approval by City Council. E. Annual Reports of the Commission's Activities 1. The Commission shall prepare and file with the City Council and with the Alabama Historical Commission , an annual report of its activities as required by the City Council and the Alabama Historical Commission . The annual report shall cover the period from October 1st to September 30th and shall be submitted in October of each year. The report shall include such items as the number of cases reviewed, Historic District and Historic Property designations made, revised resumes of Commission Members/staff, appointments to the Commission, and all minutes r elating to the 4 Page 92 of 120 review of National Register nominations. The report shall document attendance at the orientation and training sessions of Commission Members . F. Records of Commission Meetings 1. A public record shall be kept of the Commission's resolutions , proceedings and actions. G. Responsibilities of Commission Members 1. Each Commission Member and anyone serving the Commission in a technical/professional staff capacity are encouraged to attend informational or educational meetings each year pertaining to historic preservation . Such meetings may include those sponsored by the Alabama Historical Commission, the National Trust for Historic Preservation, or a local preservation organization. H. Liaison Between the Commission and the State Historic Preservation Office (Alabama Historical Commission) 1. Should the City Council elect to become a Certified Local Government ("CLG "}, the City Council shall designate an employee of the City or a person working under contract as a source of technical, administrative, or professional assistance to be responsible for the operations of the Commission pursuant to the requirements of certification for participation in the Certified Local Government Program. At least one member of the Commission and/or the person serving as the Commission's liaison will attend the Alabama Certified Local Government orientation training session sponsored by the Alabama Historical Commission each year. Section Ill: Recommendation and Designation of Historic Districts and Properties A. Preliminary Research by Commission 1. The Commission shall compile and collect information and conduct surveys of historic resources within the City of Fairhope in accordance with the rules and regulations of the Alabama Historical Commission. 2. The Commission shall present to the City Council recommendations for Historic Districts and Historic Properties. 3. Prior to the Commission's recommendation of a Historic District or Historic Property to the City Council for designation , the Commission shall prepare a report consisting of: a. a physical description; b. a statement of the historical, cultural, architectural, and/or aesthetic significance ; c. a map showing district boundaries and classification (i.e., historic, non -historic) of individual properties therein , or showing boundaries of individual Historic Properties; d. a statement justifying district or individual property boundaries; 5 Page 93 of 120 e. representative photographs. B. Designation of a Historic District 1. A Historic District is a geographically definable area, which contains buildings, structures, sites , objects , landscape features and works of art or a combination thereof, which : a. represents one or more periods, styles, or types of architecture typical of one or more eras in the history of the municipality, county, state, or region ; b. represents a significant aspect of the cultural, political, economic, military, or social history of the locality, region , state, or nation; c. h as had a significant re l ationship with the life of a historic person or event, representing a major aspect of the history of the locality, region, state, or nation ; d . is a part of the historic, architectural, archaeological , or aesthetic heritage of the locality, region , state, or nation; e. contains vernacular structures which contribute to an overall character and sense of place which is representative of the City of Fairhope. 2. Boundaries of a Historic District designated by City Council shall be shown on the Officia l Zoning Map or other designated map kept as a public record to provide notice of such designation . 3 . Evaluation of properties within Historic Districts: Individual properties within Historic Districts shall be classified as: a. contributing (contributes to the district); b. non-contributing (does not contribute to the district). C. Designation of a Historic Property 1. A Historic Property is a building, structure, or site deemed worthy of preservation by reason of value to the City of Fairhope for one of the following reasons: a. it is an outstanding example of a structure representative of its era ; b. it is one of the few remaining examples of past architectural style; c. it is a place or structure associated with an event of persons of historic or cultural significance to the City of Fairhope, State of Alabama, or the region; d . it is a site of natural or aesthetic interest that is continuing to contribute to the cultura l or historical development and heritage of the municipality, county, state or region; or e. the building or structure is an example of an architectural style, or combination of architectural styles, which is representat ive of the City of Fairhope, or which is unique to the City of Fairhope. 6 Page 94 of 120 2. A Historic Property designated by City Council shall be shown on the Official Zon i ng Map or other designated map kept as a public record to provide notice of such designation . D. Requirements for Adopting an Ordinance for the Designation of Historic Districts and Historic Properties 1. Application for Designation of Historic Districts or Property: Designations may be proposed by the City Council, the Commission , or: a. for Historic Districts -a historical society, neighborhood association or group of property Owners may apply to the Commission for designation; b. for Historic Properties -a historical society, neighborhood association or property Owner may apply to the Commission for designation . 2. Required Components of a Designation Ordinance: Any ordinance designating any property or district as historic shall: a. list each property in a proposed Historic District or describe the proposed individual Historic Property; b. set forth the name(s) of the Owner(s) of the designated property or properties; and c. require that a Certificate of Appropriateness be obtained from the Commission prior to any Material Change in appearance of the designated property. 3. Required Public Hearings: The Commission shall hold a public hearing on any proposed ordinance for the designation of any Historic District or Property. Notice of the hearing shall be published in accordance with the notice requirements of the City of Fairhope and Alabama law. A notice of such hearing shall be sent via United States Mail to the last -known Owner of the property shown on the Baldwin County tax roll and a notice sent via United States Mail to the address of the property to the attention of the occupant under this ordinance. 4. Recommendations on Proposed Designations : A recommendation in support, or with proposed revisions , or in opposition to the proposed Designation Ordinance shall be made by the Commission in the form of a recommendation to the City Council. 5. City Council Action on Commission Recommendation: Following receipt of the Commission's recommendation, the City Council may adopt the Designation Ordinance as proposed, may adopt the Designation Ordinance with any amendments it deems necessary, may return the Designation Ordinance to the Commission for further evaluation, or reject the ordinance. 6. Notification of Adoption of Ordinance for Designation: Within thirty (30) days following the adoption of the Designation Ordinance by the City Council , the Commission sha l l give written notification to the Owners and occupants of each designated Historic Property, and the Owners and occupants of each building, structure or site within a designated Historic District, which notice shall apprise said 7 Page 95 of 120 Owners and occupants of the necessity of obtaining a Certificate of Appropriatene ss prior to undertaking any Material Change i n appearance of the Historic Property designated or within the Historic District de signated . A notice sent via the United States Mail to the last-known Owner of the property shown on the Baldwin County tax roll and a notice sent via United States Mail to the address of the property to the attention of the occupant shall constitute legal notification to the Owner and occupant unde r th is ordinance . The Comm iss ion shall also notify all agencies of the City of Fairhope of the Designation Ordinance following adoption by City Council. Section IV: Application to Historic Preservation Commission for Certificate of Appropriateness A. Approval of Alterations, Demolitions, or New Construction in Historic Districts or Involving Historic Properties 1. After the designation by Ordinance of a Historic Property or of a Historic District, no Historic Property may be demolished, no building or structure in a Historic District may be erected or demolished and no Material Change {see Section IX definitions) shall be made to the exterior appearance of such Historic Property, or of a structure, or site within such Historic District, unless or until the application for a Certificate of Appropriateness has been approved by the Commission, except that no Certificate of Appropriatenes s shall be required by the City for the demolition of all or part of a structure, building or other property deemed to be a public nuisance and ordered to be demolished by the City Council. B. Approval of New Construction within Historic Districts 1. The Commission shall issue Certificates of Appropriateness {COA) to new structures constructed within designated Historic Districts if these structures conform in design , scale, building materials, setback and landscaping to the character of the district specified in the design criteria developed by the Commission . C. Approval of Signs Within Historic Districts 1. Signs shall be considered as structures and no sign on a Historic Property or in a Historic District shall be changed , erected or demolished unless and until a Certificate of Appropriateness is approved by the Commission. D. Demolition Within Historic Districts 1. The Commission shall not grant Certificates of Appropriateness for the demolition or relocation of a Historic Property or any property within a Historic District unless the Commission finds that the removal or relocation of such building and/or structure will not be detrimental to the historical or architectural character ofthe district. In making this determination, the Commission shall consider : a. The historic or architectural significance of the structure in or of itself or as part of the district; b . The importance of the structure to the integrity of the Historic District, the immediate vicinity, area , or relationsh i ps to other structures; 8 Page 96 of 120 c. The difficulty or the impossibility of reproducing the structure because of its design, texture, material, detail, or unique location; d. Whether the structure is one of the last remaining examples of its kind in the neighborhood , the county, or the region or is a good example of its type, or is part of an ensemble of historic buildings creating a neighborhood ; e. Whether there are definite plans for reuse of the property if the proposed demolition is carried out, and what effect such plans will have on the architectural, cultural, historical, archaeological, social , or aesthetic nature of the district. 2. Content of Applications . All applications to demolish or relocate a structure in a Historic District shall contain the following minimum information : a. The date the Owner acquired the property, purchase price, and condition on date of acquisition; b. Replacement construction plans for the property in question and future use; c. Financial proof of the ability to complete the replacement project, which may include but not be limited to a performance bond, a letter of credit, a trust for completion of improvements, or a letter of commitment from a financial institution; and d. Such other information as may be reasonably required by the Commission . 3 . In no event shall the Commission entertain any application for the demolition or relocation of any Historic Property unless the applicant also presents at the same t i me the post-demolition or post relocation plans for the site. E. Approval of Alterations or Demolitions of Public Property Within Historic Districts or Public Property Which Has Been Designated as a Historic Property 1. The requirement of a Certificate of Appropriateness shall apply to public property which has been designated as a Historic Property or which is contained i n a Historic District, and shall apply to all actions by public authorities which involve Historic Properties and properties within Historic Districts . F. Interior Alternations 1. In its review of applications for Certificates of Appropriateness, the Commission shall not consider interior arrangement or use having no effect on Exterior Architectural Features. G. Failure to Maintain a Historic Property 1. Demolition by neglect and the failure to maintain a Historic Property or a structure i n a Historic District shall constitute a change for which a Certificate of Appropriateness is necessary. 9 Page 97 of 120 H. Guidelines and Criteria for Certificates of Appropriateness 1. The Historic Preservation Commission shall approve an application and issue a Certificate of Appropriateness if it finds that the proposed change, erection, or demolition conforms to the general design standards established by the Commission, is compatible with the character of the Historic Property or Historic District and does not detract from the value of the Historic Property or Historic District . 2. The Commission shall adopt rules and regulations setting forth the procedure for submission and consideration of applications for Certificates of Appropriateness . The Commission shall also adopt general design standards modeled on those established by the Alabama Historic Commission which shall apply in considering the approval or denial of Certificates of Appropriateness . I. Submission of Plans to Commission 1. An application for a Certificate of Appropriateness shall be submitted at least thirty (30) days before the next scheduled Commission meeting and shall be accompanied by such drawings, photographs, plans or other documentation as may be required by the Commission , Staff, or other representatives of the City of Fairhope . Applications involving demolition or relocation shall be accompanied by post-demolition or relocation plans for the site. J . Response to Applications for Certificate of Appropriateness 1. The Commission shall approve the application and issue a Certificate of Appropriatenes s if it finds that the proposed Material Change(s} in the appearance would not have a substantial adverse effect on the aesthetic, historic, or architectural significance and value of the Historic Property or the Historic District. In making this determination, the Commission shall consider, in addition to any other pertinent factors, the historical and architectural value and significance, architectural style, general design arrangement, texture and material of the architectural features involved and the relationship thereof to the exterior architectural style and pertinent features of the other structures in the immediate neighborhood. 2. The Commission shall deny a Certificate of Appropriateness if it finds that the proposed Material Change(s} in appearance would have substantial adverse effects on the aesthetic, historic, or architectural significance and value of the Hi storic Property or the Historic District . K. Public Meetings and Hearings on Applications for Certificates of Appropriateness 1. Applications for Certificates of Appropriateness shall be considered by the Commission at publ ic meetings, held at (time) in (place) on the (1st, 2nd, 3rd or 4th) ,{_Qfild. of each month . At least seven (7) days prior to review of a Certificate of Appropriateness, the Commission shall take such action as may be reasonably required to inform the Owners of any property likely to be affected by reason of the application , and shall give applicant and such Owners notice of the opportunity to be heard at the public hearing. 10 Page 98 of 120 L. Approval or Rejection of Application for Certificate of Appropriateness 1. The Commission shall approve or reject an application for a Certificate of Appropriateness at a public meeting within forty-five {45) days from the submission of a completed application, including all necessary supporting documentation, by the Owner or occupant of a Historic Property, or of a historic building, structure, or site, located within a Historic District. Evidence of approval shall be by a Certificate of Appropriateness issued by the Commission . Notice of the issuance or denial of a Certificate of Appropriateness shall be sent by United States Mail to the applicant and all other persons who have requested such notice in writing filed with the Commission. Failure of the Commission to act within forty-five {45) days shall constitute approval and no other evidence of approval shall be needed . An applicant requesting a delay or a Commission -adopted motion to holdover an application shall relieve the Commission of the 45-day deadline . M. Necessary Actions to be Taken by Commission upon Rejection of Application for Certificate of Appropriateness 1. In the event the Commission rejects an application, it shall state its reasons for doing so, and shall transmit a record of such actions and reasons, in writing, to the applicant, and the City Clerk . The Commission may suggest alternative courses of action it thinks proper if it disapproves of the application submitted. The applicant, if he or she so desires, may make modifications to the plans and may resubmit the application at any time after making any modifications. 2. In cases where the application covers a Material Change in the exterior appearance of a Historic Property or designated building, structure, or site within a Historic District which wou l d require the issuance of a building permit, the rejection of the application for a Certificate of Appropriateness by the Commission shall be binding upon the Building Department or other relevant Departments of the City charged with issuing permits or approvals and , in such cases , no building permit shall be issued. N. Appeals 1. Any person having a request for a Certificate of Appropriateness denied by the Commission as hereinafter provided, may appeal such denial to the Circuit Court of Baldwin County, Alabama within thirty (30) days of the Commission's decision . 2. Standard of Review. The appeal shall be determined solely on the question of whether the Commission, in rendering its decision, acted beyond the limits of its powers or abused its discretion . 0 . Certificate of Economic Hardship 1. If the Commission denies an application for a Certificate of Appropriateness, a property Owner may apply for a Certificate of Economic Hardship . The purpose of the Certificate of Economic Hardship is to provide relief where the application of this Ordinance would otherwise impose a Substantial Economic Hardship . 2. Burden of Proof. The burden of proof rests on the applicant to show that the denial 11 Page 99 of 120 of the Certificate of Appropriateness will result in a Substantial Economic Hardsh i p. 3. Applications. The applicant shall provide such information as may be reasonably required by the Commission to establish the Owner's claim of Substantial Economic Hardship. The data provided by the applicant must be substantiated by proof. The Commission may request additional information from the applicant as necessary to make informed dec isions . Certificates of Economic Hardship are granted only to the applicant and are not transferable . 4. Standards for Cons i deration. In making its determination, the Commission may consider, but is not limited to, the following described factors, evidence, and testimony: a. Date property was acquired and status of the property under this Ordinance at the time of acquisition, e.g., whether property was protected by this Ordinance, condition at the time of acquisition, etc. b. The structural soundness of the building, or any structures on the property and their suitability for rehabilitation. c. The current level of economic return on the property. d. The economic feasibility of rehabilitation or reuse of the existing property. e. Comments and/or reports from any community organizations, preservation groups, other associations and private citizens that wish to comment on a submission made under the financial hardship provision; and f. The extent to which the Owner is responsible for his or her own economic hardship, if any, such as the Owner's failure to: 1. Perform normal maintenance and repairs; 2. The Owner's purchase of the subject property after the enactment of this Ordinance without making said purchase contingent upon the Owner's first obtaining the approvals required by this Ordinance. 5. Hearing. The Commission shall hold a public hearing as soon as practical but no later than forty-five (45} days following receipt of a completed application for a Certificate of Economic Hardship. Notice shall be provided in the same manner the Commission uses for hearings on Certificates of Appropriateness . At the public hearing, the Owner and any other interested parties shall have the right to speak to the Commission and discuss the applicability of the standards set forth above. The Commission shall make its decision at the public hearing. If the Commission fails to timely hold a public hearing the application for a Certificate of Economic Hardship shall be deemed granted. 6. Denial. If the Commission determines to deny the application for a Certificate of Economic Hardship, the applicant shall be notified in writing and shall be provided a copy of the Commission's final order. 12 Page 100 of 120 7. Issuance of Certificate. The certificate may be subject to conditions including design guidelines for subsequent construction not inconsistent with the standards set forth in this Ordinance and the Commission's design guidelines . The Certificate of Economic Hardship shall be valid for a period of one hundred twenty (120) days from approval by the Commission . P. Record of Applications for Certificate of Appropriateness and Certificates of Economic Hardship 1. The Commission shall keep a public record of all applications for Certificates of Appropriateness and of all the Commission 's proceedings in connection with said application . Q. Certificate of Appropriateness Void if Construction not Commenced 1. A Certificate of Appropriateness shall become void unless construction is commenced within twelve (12) months from the date of issuance. Certificates of Appropriateness are renewable for one (1) additional twelve-month period. R. Requirements of Conformance with Certificate of Appropriateness 1. All work performed pursuant to a Certificate of Appropriateness shall strictly comply with all conditions of such certificate . In the event work is not performed in accordance with such Certificate, the City may issue a stop work or cease-and-desist order. 2. The City Council shall be authorized to institute any appropriate action or proceeding in a court of competent jurisdiction to prevent any Material Change in appearance of a designated Historic Property or Historic District, except those changes made in compliance with the provisions of this Ordinance or to prevent any illegal act or conduct with respect to such Historic Property or Historic District. Section V. Maintenance of Historic Properties and Properties in Historic Districts. 1. Failure to Provide Ordinary Maintenance or Repair. Owners of Historic Properties and/or properties within Historic Districts shall not allow their buildings to deteriorate by failing to provide ordinary maintenance or repair . It shall be a violation of this Ordinance for an Owner to fail to maintain any structure or to fail to prevent the deterioration of any exterior appurtenance or architectural features of a Historic Property or building, site, or structure within a Historic District. Section VI: Building and Zoning Code Provisions 1. Nothing in this Ordinance shall be construed as to exempt property Owners from complying with existing City building and zoning codes. Section VII: Penalty Provisions 13 Page 101 of 120 1. Violations of any provision of this Ordinance shall be punishable in the same manner as provided for violations of other Ordinances of the City. Section VIII: Severability 1. In the event that any section, subsection, sentence, clause or phrase of this Ordinance shall be declared or adjudged invalid or unconstitutional, such adjudication shall in no manner affect the other sections, sentences, clauses or phrases of this Ordinance, which shall remain in full force and effect, as if the section , subsection, sentence, clause or phrase so declared or adjudged invalid or unconstitutional were not originally a part thereof. Section IX: Definitions 1. "Certificate of Appropriateness" -means a document evidencing approval by the Commission to make a Material Change or repair in the appearance of a designated Historic Property or of a property located within a designated Historic District. A Certificate of Appropriateness is also required for demolition of a structure within a Historic District. 2. "Certificate of Economic Hardship" -Means a document evidencing approval of an Owner's application for relief based on Substantial Economic Hardship . 3. "Certified Local Government" {CLG) -means a local government certified by the National Park Service and the Alabama Historical Commission to participate in the federal Historic Preservation Program and be eligible to receive federal technical assistance and funding for preservation activities. 4 . "City" -means the City of Fairhope , an Alabama municipal corporation. 5. "City Council" -means the elected members of the City Council of Fairhope, Alabama . 6. "Commission" -means the City of Fairhope Historic Preservation Commission as established pursuant to this Ordinance. 7. "Commissioner" or "Commission Member" -means a person appointed to the Commission pursuant to this Ordinance . 8. "Conflict of Interest" -means a conflict on the part of a Commissioner between his or her private interest and the responsibilities imposed by this Ordinance . A Conflict of Interest involves any action , inaction, or decision by a Commissioner or in the discharge of his or her duties which would materially affect his or her financial interest or those of his or her immediate family members or any business with which the person is associated . 9 . "Contributing Property" -means a building, structure, or site recognized as adding to the historic significance of a Historic District. 10. "Exterior Architectural Features" -Means the architectural style, general design, and general arrangement of the exterior of a building or other structure, including but not limited to the kind or texture of the building material and the type and style of all windows, doors, signs and other appurtenant architectural fixtures, features, details, or 14 Page 102 of 120 elements. 11. "Historic District" -means a geographically definable area designated by the City Council as a Historic District." 12. "His toric Property" -means an individual building, structure, or site including the adjacent area necessary for the proper appreciation thereof designated by the City Council as a Historic Property. 13 . "Material Change" -means a change in appearance that will affect either the Exterior Architectural Features of a Historic Property or any building, structure, or site within a Historic District including, but not limited to: {1) Reconstruction or alteration of the size, shape, facade or elevation of a Historic Property, including, but not limited to, relocation or replacement of any doors or windows removal or alteration of any architectural features, details or elements; (2) Demolition or relocation of a building or structure designated Historic Property; or {3) Commencement of excavation for construction purposes . 14. "Mayor" -means the Mayor of the City of Fairhope. 15. "Non-Contributing Property" -means a building, structure or site not recognized as adding to the historic significance of a district. 16. "Owner" -means the holder of the fee simple title as revealed on the relevant property tax rolls and in probate court records, and any person (natural, legal or corporate) or groups of persons, companies, associations, corporations, or partnerships who, alone or jointly or severally with others: a. shall have legal title to any property, with or without an accompanying right of possession; or b. shall have charge, care or control of any property as Owner, executor, executrix, administrator, trustee, guardian of the estate Owner, mortgagee or vendee in possession, or assignee of rents, lessee , or other person, firm or corporation in control of a property. 17. "Substan tial Economic Hardship" -means a hardship so great that: 1. the Owner will effectively be deprived of all reasonable and beneficial use of or return from the property; and 2. the Owner would be unfairly penalized given that the Owner did not create the conditions at issue . Effective Date This Ordinance shall become effective on _____ _, ___ {date). THEREFORE, BE IT RESOLVED, that the City Council does hereby ordain, resolve, and enact the foregoing Historic Preservation Commission Ordinance for the City of Fairhope Adopted this __ day of ____ ~ 20 __ . 15 Page 103 of 120 Date of Implementation: __ day of ______ ~ 20 __ APPROVED: Mayor ATTEST: Clerk 16 Page 104 of 120 HAHS Draft 12.-713 .23 AN ORDINANCE TO ESTABLISH A HISTORIC PRESERVATION COMMISSION IN THE CITY OF FAIRHOPE; TO PROVIDE FOR DESIGNATION OF HISTORIC PROPERTIES OR HISTORIC DISTRICTS; TO PROVIDE FOR ISSUANCE OF CERTIFICATES OF APPROPRIATENESS; TO PROVIDE FOR AN APPEALS PROCEDURE; CERTIFICATE OF ECONOMIC HARDSHIP; AND FOR OTHER PURPOSES. BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF FAIRHOPE: Section I: Purpose A. In 1989, the State of Alabama enacted legislation authorizing all municipalities to adopt ordinances to establish historic development commissions, and to promote educational , cultural, economic and general welfare of Alabama municipalities through preservation and protection of histo r ic resources . (Alabama Code§§ 11-68-1 through 11-68 -15). B. Alabama Code § 11-68 -14 additionally authorizes the City to grant the Commission additional powers set forth in Alabama Code Title 11 Chapter 68 . C. In support and furtherance of its findings and determination that the historical, cultural, and aesthetic heritage of the City of Fairhope is among its most valued and important assets and that the preservation of this heritage is essential to the promotion of the health , prosperity, and general welfare of the people ; D. In order to stimulate revitalization of the business district and historic neighborhoods and to protect and enhance local historical and ae sthetic attractions to tourists and thereby promote and stimulate business; E. In order to enhance the opportunities for federal or state tax benefits under relevant provisions of federal or state law; and F. In order to provide for the designation , protection, preservation and rehabilitation of Historic Properties and Historic Districts and to participate in federal or state programs to do the same; G. The City Council of the City of Fairhope hereby declares it to be the purpose and intent of this Ordinance to establish a uniform procedure for use in providing for the protection, enhancement, perpetuation and use of places, districts, sites, buildings, structures, objects, landscape features and works of art having a special historical, cultural or aesthetic interest or value, in accordance with the provisions of the Ordinance . Page 105 of 120 NOW, THEREFORE, in consideration of these findings, the Council hereby adopts this Ordinance as follows. Section II: Creation of a Historic Preservation Commission A. Creation of the Commission 1. There is hereby created a Commission whose title shall be "City of Fairhope Historic Preservation Comm ission " (hereinafter "Commission") pursuant to §§ 11-68 -1 through 11-68 -15 of the Code of Alabama (1975). 2. The Commission shall constitute a non -profit governmental agency whose funds shall be used exclusively for public purposes as provided herein. B. Commission Members : Number, Appointment, Terms, Compensation and Rules and Standards 1. The Commission shall be composed of seven (7) members, who shall have demonstrated training or experience i n the fields of history, architecture, architectural history, urban planning, archaeology, law, or related fields, or who shall have demonstrated an interest in historic preservation with training in historic preservation. Members may also be residents of a Historic District designated pursuant to this Ordinance~ regardless of training or experience . Members of the Commission shall be bona fide residents of the territorial jurisdiction of the City of Fairhope. Not more than one of the members of the Commission shall be a public official, and such public official shall meet the experience and/or residency requirements set forth hereinabove. 2. Members of the Commission shall be nominated by the Mayor and appointed by the City Council. Nomination and appointment of members of the Commission shall be made to ensure that the Commission will be composed of persons having as much of the training and experience specified in sect i on (1) as possible. 3. Except for the original members of the Comm ission, members ofthe Commission shall serve three year terms and shall be appointed in such a manner so as to serve overlapping terms . Two of the original members of the Commission shall be appointed to serve a one year term, two of the original members of the Commission shall be appointed to serve a two year term, and the remainder of the origi nal members of the Commission shall be appointed to serve a three year term. Members of the Commission may be reappointed . 4. Members of the Commission shall serve without compensation but may be reimbursed for expenses incurred on behalf of the Commission in accordance with the rules and regulations fo r the reimbursement of expenses adopted by the Commission . 2 Page 106 of 120 5. Any vacancy occurring on the Commission other than by expiration of term shall be filled for the unexpired term of such member by the procedures set forth in section 2 above. 6. Conflict of Interest. No member shall vote, present, discuss or participate in any matter in which the member has a Conflict of Interest or in which the member or any family member has any financial gain or interest . 7. Members of the Commission may be removed for cause by the City Council, which shall be established in the sole discretion of the City Council. 8. Members of the Commission shall elect a chairman and a vice chairman and such other officers as the Commission deem necessary . The Commission shall adopt rules of procedure and bylaws to govern its operations and shall communicate those rules of procedure and bylaws to the City Council. The rules of procedure and bylaws of the Commission shall specify what number of members of the Commission constitutes a quorum. The Commission's rules of procedure and bylaws may be amended from time to time by the Commission. C. Commission Meetings, Minutes and Public Participation 1. All meetings of the Commission must be publicly announced and be open to the public. Commission meetings must occur at regular intervals. Written notice must be provided prior to all meetings, including any special meetings, by electronic transmission or US Mail and the Commission shall furnish a copy of its meeting schedule to the City Clerk, Mayor, and Commission Members and post such notices on the City's web page . 2. Minutes of all decisions and actions of the Commission including the reasons for making these decisions must be submitted to the City Clerk and available for public inspection . 3. All decisions of the Commission shall be made in a public forum and applicants must be given written notification of the Commission's decision. 4. The rules of procedure and bylaws adopted by the Commission must be available for public inspection and constitute a public record that shall be furnished to the City Clerk. D. Statement of the Commission's Power 1. The Commission shall be authorized to: a. Prepare and maintain a survey and inventory of all property within the City having the potential for designation as a Historic Property or potential Historic District; b. Recommend to the City Council buildings, structures, sites, and districts for designation as Historic Properties or Historic Districts. c. Review applications for Certificates of Appropriateness and grant and deny same in accordance with this Ordinance and Alabama Code§ 11-68-9. 3 Page 107 of 120 d . Promote acquisition of fac;:ade and conservation easements by the City or by the Commission; e. Develop and conduct educational programs on historic projects and districts designated pursuant to this Ordinance and on historic preservation subjects; f . Recommend to the City Council that the designation of any buildings, structures, sites , or districts as a Historic Property or as a Historic District be revoked or removed ; g. Make recommendations for potential acquisition of Historic Properties to the City of Fairhope; h. Make such investigations and studies of matters relating to historic preservation as the City deems necessary and appropriate; i. Seek out local , state, federal and private funds for historic preservation , and make recommendations to the City Council concerning the most appropriate use of any funds acquired ; j . Employ persons , if necessary, to carry out the responsibilities of the Commission as authorized by the City Council; k. Review and make comments to the Alabama Historical Commission concerning the nomination of properties within its jurisdiction to the National Register of Historic Places; I. Investigate, survey and process nominations of properties to the National Register of Historic Places; m. Investigate, survey and process applications for certification of Historic Properties for tax credits for preservation expenditures; n. Participate in private, state and federal historic preservation programs and enter into agreements with same to perform historic preservation related functions as authorized by City Council. o. Exercise such further powers as the Commission may deem reasonably necessary and proper to carry out the purposes, responsibilities and powers of the Commission pursuant to Alabama law and subject to approval by City Council. E. Annual Reports of the Commission's Activities 1. The Commission shall prepare and file with the City Council and with the Alabama Historical Commission, an annual report of its activities as required by the City Council and the Alabama Historical Commission. The annual report shall cover the period from October 1st to September 30th and shall be submitted in October of each year. The report shall include such items as the number of cases reviewed, Historic District and Historic Property designations made, revised resumes of Commission Members/staff, appointments to the Commission , and all minutes relating to the 4 Page 108 of 120 review of National Register nominations. The report shall document attendance at the orientation and training sessions of Commission Members. F. Records of Commission Meetings 1. A public record shall be kept of the Commission's resolutions, proceedings and actions. G. Responsibilities of Commission Members 1. Each Commission Member and anyone serving the Commission in a technical/professional staff capacity are encouraged to attend informational or educational meetings each year pertaining to historic preservation. Such meetings may include those sponsored by the Alabama Historical Commission, the National Trust for Historic Preservation, or a local preservation organization . H. Liaison Between the Commission and the State Historic Preservation Office (Alabama Historical Commission) 1. Should the City Council elect to become a Certified Local Government ("CLG"), the City Council shall designate an employee of the City or a person working under contract as a source of technical, administrative, or professional assistance to be responsible for the operations of the Commission pursuant to the requirements of certification for participation in the Certified Local Government Program. At least one member of the Commission and/or the person serving as the Commission's liaison will attend the Alabama Certified Local Government orientation training session sponsored by the Alabama Historical Commission each year . Section Ill: Recommendation and Designation of Historic Districts and Properties A. Preliminary Research by Commission 1. The Commission shall compile and collect information and conduct surveys of h istoric resources within the City of Fairhope in accordance with the rules and regulations of the Alabama Historical Commission . 2. The Commission shall present to the City Council recommendations for Historic Districts and Historic Properties. 3. Prior to the Commiss ion's recommendation of a Historic District or Historic Property to the City Council for designation, the Commission shall prepare a report consisting of: a. a physical description; b . a statement of the historical, cultural , architectural, and/or aesthetic significance; c. a map showing district boundaries and classification (i .e., historic, non-historic) of individual properties therein, or showing boundaries of i ndividual Historic Properties; d . a statement justifying district or individual property boundaries; 5 Page 109 of 120 e. representative photographs. B. Designation of a Historic District 1. A Historic District is a geographically definable area, which contains buildings, structures, sites , objects, landscape features and works of art or a combination thereof, which: a. represents one or more periods, styles, or types of architecture typical of one or more eras in the history of the municipality, county, state, or region ; b. represents a significant aspect of the cultural, political, economic, military, or social history of the locality, region , state, or nation; c. has had a significant relationship with the life of a historic person or event, representing a major aspect of the history of the locality, region , state, or nation; d. is a part of the historic, architectural, archaeological, or aesthetic heritage of the locality, region , state, or nation; e. contains vernacular structures which contribute to an overall character and sense of place which is representative of the City of Fairhope . 2. Boundaries of a Historic District designated by City Council shall be shown on the Official Zoning Map or other designated map kept as a public record to provide notice of such designation . 3. Evaluation of properties within Historic Districts: Individual properties within Historic Districts shall be classified as: a. contributing (contributes to the district); b. non-contributing (does not contribute to the district). C. Designation of a Historic Property 1. A Historic Property is a building, structure, or site deemed worthy of preservation by reason of value to the City of Fairhope for one of the following reasons: a. it is an outstanding example of a structure representative of its era ; b. it is one of the few remaining examples of past architectural style; c. it is a place or structure associated with an event of persons of historic or cultural significance to the City of Fairhope, State of Alabama , or the region; d . it is a site of natural or aesthetic interest that is continuing to contribute to the cultural or historical development and heritage of the municipal ity, county, state or region; or e. the building or structure is an example of an architectural style, or combination of architectural styles, which is representative of the City of Fairhope, or which is unique to the City of Fairhope. 6 Page 110 of 120 2. A Historic Property designated by City Council shall be shown on the Official Zoning Map or other designated map kept as a public record to provide notice of such designation. D. Requirements for Adopting an Ordinance for the Designation of Historic Districts and Historic Properties 1. Application for Designation of Historic Districts or Property: Designations may be proposed by the City Council, the Commission, or: a. for Historic Districts -a historical society, neighborhood association or group of property Owners may apply to the Commission for designation; b. for Historic Properties -a historical society, neighborhood association or property Owner may apply to the Commission for designation. 2. Required Components of a Designation Ordinance: Any ordinance designating any property or district as historic shall: a. list each property in a proposed Historic District or describe the proposed individual Historic Property; b. set forth the name(s) of the Owner(s) of the designated property or properties; and c. require that a Certificate of Appropriateness be obtained from the Commission prior to any Material Change in appearance of the designated property. 3. Required Public Hearings: The Commission shall hold a public hearing on any proposed ordinance for the designation of any Historic District or Property. Notice of the hearing shall be published in accordance with the notice requirements of the City of Fairhope and Alabama law. A notice of such hearing shall be sent via United States Mail to the last-known Owner of the property shown on the Baldwin County tax roll and a notice sent via United States Mail to the address oft he property to the attention of the occupant under this ordinance . 4. Recommendations on Proposed Designations: A recommendation in support, or with proposed revisions, or in opposition to the proposed Designation Ordinance shall be made by the Commission in the form of a recommendation to the City Council. 5. City Council Action on Commission Recommendation: Following receipt of the Commission's recommendation, the City Council may adopt the Designation Ordinance as proposed, may adopt the Designation Ordinance with any amendments it deems necessary, may return the Designation Ordinance to the Commission for further evaluation, or reject the ordinance. 6. Notification of Adoption of Ordinance for Designation: Within thirty (30} days following the adoption of the Designation Ordinance by the City Council, the Commission shall give written notification to the Owners and occupants of each designated Histori c Property, and the Owners and occupants of each building, structure or site within a designated Historic District, which notice shall apprise said 7 Page 111 of 120 Owners and occupants of the necessity of obtaining a Certificate of Appropriateness prior to undertaking any Material Change in appearance of the Historic Property designated or within the Historic District designated . A notice sent via the United States Mail to the last-known Owner of the property shown on the Baldwin County tax roll and a notice sent via United States Mail to the address of the property to the attention of the occupant shall constitute legal notification to the Owner and occupant under this ordinance . The Commission shall also notify all agencies of the City of Fairhope of the Designation Ordinance following adoption by City Council. Section IV: Application to Historic Preservation Commission for Certificate of Appropriateness A. Approval of Alterations, Demolitions, or New Construction in Historic Districts or Involving Historic Properties 1. After the designation by Ordinance of a Historic Property or of a Historic District, no Historic Property may be demolished, no building or structure in a Historic District may be erected or demolished and no Material Change (see Section IX definitions) shall be made to the exterior appearance of such Historic Property, or of a structure, or site within such Historic District, unless or until the application for a Certificate of Appropriateness has been approved by the Commission, except that no Certificate of Appropriateness shall be required by the City for the demolition of all or part of a structure, building or other property deemed to be a public nuisance and ordered to be demolished by the City Council. B. Approval of New Construction within Historic Districts 1. The Commission shall issue Certificates of Appropriateness (COA) to new structures constructed within designated Historic Districts if these structures conform in design , scale, building materials, setback and landscaping to the character of the district specified in the design criteria developed by the Commission. C. Approval of Signs Within Historic Districts 1. Signs shall be considered as structures and no sign on a Historic Property or in a Historic District shall be changed, erected or demolished unless and until a Certificate of Appropriateness is approved by the Commission . D. Demolition Within Historic Districts 1. The Commission shall not grant Certificates of Appropriateness for the demolition or relocation of a Historic Property or any property within a Historic District unless the Commission finds that the removal or relocation of such building and/or structure will not be detrimental to the historical or architectural character ofthe district. In making this determination, the Commission shall consider: a. The historic or architectural significance ofthe structure in or of itself or as part of the district; b. The importance of the structure to the integrity of the Historic District, the immediate vicinity, area, or relationships to other structures; 8 Page 112 of 120 c. The difficulty or the impossibility of reproducing the structure because of it s design, texture, material, detail, or unique location; d . Whether the st r ucture is one of the last remaining examples of its kind in t he neighborhood , the county, or the region or is a good example of its type, or i s part of an ensemble of historic buildings creating a neighborhood; e. Whether there are definite plans for r euse of the property if the proposed demolition is carried out, and what effect such plans will have on the architectural, cultural, historical, archaeological, social , or aesthetic nature of the district . 2. Content of Applications . All applications to demolish or relocate a structure in a Historic District shall contain the following minimum information: a. The date the Owne r acquired the property, purchase price, and condition on date of acquisition; b. Replacement construction plans for the property in question and future use ; c. Financial proof of the ability to complete the replacement project, which may include but not be limited to a performance bond , a letter of credit, a trust for completion of improvements, or a letter of commitment from a financial institution; and d . Such other information as may be reasonably required by the Commission. 3. In no event shall the Commission enterta i n any application for the demolition or relocation of any Historic Property unless the applicant also presents at the same time the post-demolitio n o r post relocation plans for the site. E. Approval of Alterations or Demolitions of Public Property Within Historic Districts or Public Property Which Has Been Designated as a Historic Property 1. The requirement of a Certificate of Appropriateness shall apply to public property which has been designated as a Historic Property or which is contained in a Historic District, and shall apply to all actions by public authorities which involve Historic Properties and properties within Historic Districts. F. Interior Alternations 1. In its review of applications for Certificates of Appropriateness, the Commission shall not consider interio r arrangement or use having no effect on Exterior Architectural Features . G. Failure to Maintain a Historic Property 1. Demolition by neglect and the failure to maintain a Historic Property or a structure in a Historic District shall constitute a change for which a Certificate of Appropriateness is necessary . 9 Page 113 of 120 H. Guidelines and Criteria for Certificates of Appropriateness 1. The Historic Preservation Commission sha l l approve an application and issue a Certificate of Appropriateness if it finds that the proposed change, erection , or demolition conforms to the general design standards established by the Commission, is compatible with the character of the Historic Property or Historic District and does not detract from the value of the Historic Property or Historic District. 2. The Commission shall adopt rules and regulations setting forth the procedure for submission and consideration of applications for Certificates of Appropriateness. The Commission shall also adopt general design standards modeled on those established by the Alabama Historic Commission which shall apply in considering the approval or denial of Certificates of Appropriateness . I. Submission of Plans to Commission 1. An application for a Certificate of Appropriateness shall be submitted at least thirty {30) days before the next scheduled Commission meeting and shall be accompanied by such drawings, photographs, plans or other documentation as may be required by the Commission , Staff, or other representatives of the City of Fairhope . Applications involving demolition or relocation shall be accompanied by post-demolition or relocation plans for the site. J. Response to Applications for Certificate of Appropriateness 1. The Commission shall approve the application and issue a Certificate of Appropriateness if it finds that the proposed Material Change{s) in the appearance would not have a substantial adverse effect on the aesthetic, historic, or architectural significance and value of the Historic Property or the Historic District. In making this determination, the Commission shall consider, in addition to any other pertinent factors, the historical and architectural value and significance, arch itectural style, general design arrangement, texture and material of the architectural features involved and the relationship thereof to the exterior architectural style and pertinent features of the other structures in the immediate neighborhood . 2. The Commission shall deny a Certificate of Appropriateness if it finds that the proposed Material Change{s) in appearance would have substantial adverse effects on the aesthetic, historic, or architectural significance and value of the Historic Property or the Historic District. K. Public Meetings and Hearings on Applications for Certificates of Appropriateness 1. Applications for Certificates of Approp r iateness shall be considered by the Commission at public meetings, held at (time) in (place) on the (1st, 2nd, 3rd or 4th) li:@Y} of each month. At least seven (7) days prior to review of a Certificate of Appropriateness, the Commission shall take such action as may be reasonably required to inform the Owners of any property likely to be affected by reason of the application , and shall give applicant and such Owners notice of the opportunity to be heard at the public hearing. 10 Page 114 of 120 L. Approval or Rejection of Application for Certificate of Appropriateness 1. The Commission shall approve or reject an application for a Certificate of Appropriateness at a public meeting within forty-five (45) days from the submission of a completed application , including all necessary supporting documentation, by the Owner or occupant of a Historic Property, or of a historic building, structure, or site , located within a Historic District. Evidence of approval shall be by a Certificate of Appropriateness issued by the Commission. Notice of the issuance or denial of a Certificate of Appropriateness shall be sent by United States Mail to the applicant and all other persons who have requested such notice in writing filed with the Commission . Failure of the Commission to act with i n forty-five (45) days shall constitute approval and no other evidence of approval shall be needed . An applicant requesting a delay or a Commission-adopted motion to holdover an application shall relieve the Commission of the 45-day deadline. M. Necessary Actions to be Taken by Commission upon Rejection of Application for Certificate of Appropriateness 1. In the event the Commission rejects an application , it shall state its reasons for doing so, and shall transmit a record of such actions and reasons, in writing, to the applicant, and the City Clerk. The Commission may suggest alternative courses of action it th i nks proper if it disapproves of the application submitted. The applicant, if he or she so desires, may make modifications to the plans and may resubmit the application at any time after making any modifications . 2. In cases where the application covers a Material Change in the exterior appearance of a Historic Property or designated building, structure, or site within a Historic District which would requ i re the issuance of a building permit, the rejection of the application for a Certificate of Appropriateness by the Commission shall be binding upon the Building Department or other relevant Departments of the City charged with issuing permits or approvals and, in such cases , no bui l ding permit shall be issued. N. Appeals 1. Any person having a request for a Certificate of Appropriateness denied by the Commission as hereinafter provided, may appeal such denial to the Circuit Court of Baldwin County, Alabama within thirty (30) days of the Commission 's decision. 2. Standard of Review . The appeal shall be determined solely on the question of whether the Commission, in rendering its decision, acted beyond the limits of its powers or abused its discretion . 0 . Certificate of Economic Hardship 1. If the Commission denies an application for a Certificate of Appropriateness, a property Owner may apply for a Certificate of Economic Hardship . The purpose of the Certificate of Economic Hardship is to provide relief where the application of this Ordinance would otherwise impose a Substantial Economic Hardship . 2. Burden of Proof. The burden of proof rests on the applicant to show that the denial 11 Page 115 of 120 of the Certificate of Appropriateness will result in a Substantial Economic Hardship. 3. Applications . The applicant shall provide such information as may be reasonably required by the Commission to establish the Owner's claim of Substantial Economic Hardship. The data provided by the applicant must be substantiated by proof. The Commission may request additional information from the applicant as necessary to make informed decisions. Certificates of Economic Hardship are granted only to the applicant and are not transferable . 4 . Standards for Consideration . In making its determination, the Commission may consider, but is not limited to, the following described factors , evidence, and testimony: a. Date property was acquired and status of the property under this Ordinance at the time of acquisition, e.g., whether property was protected by this Ordinance, condition at the time of acquisition, etc. b. The structural soundness of the building, or any structures on the property and their suitability for rehabilitation . c. The current level of economic return on the property. d . The economic feasibility of rehabilitation or reuse of the existing property. e. Comments and/or reports from any community organizations, preservation groups, other associations and private citizens that wish to comment on a submission made under the financial hardship provision; and f. The extent to which the Owner is responsible for his or her own economic hardship, if any, such as the Owner's failure to: 1. Perform normal maintenance and repairs ; 2. The Owner's purchase of the subject property after the enactment of this Ordinance without making said purchase contingent upon the Owner's first obtaining the approvals required by this Ordinance. 5. Hearing. The Commission shall hold a public hearing as soon as practical but no later than forty-five (45) days following receipt of a completed application for a Certificate of ~conomic Hardship. Notice shall be provided in the same manner the Commission uses for hearings on Certificates of Appropriateness. At the public hearing, the Owner and any other interested parties shall have the right to speak to the Commission and discuss the applicability of the standards set forth above . The Commission shall make its decision at the public hearing. If the Commission fails to timely hold a public hearing the application for a Certificate of Economic Hardship shall be deemed granted. 6 . Denial. If the Commission determines to deny the application for a Certificate of Economic Hardship, the applicant shall be notified in writing and shall be provided a copy of the Commission 's final order. 12 Page 116 of 120 7. Issuance of Certificate . The certificate may be subject to conditions including design guidelines for subsequent construction not inconsistent with the standards set forth in this Ordinance and the Commission 's design guidelines . The Certificate of Economic Hardship shall be valid for a period of one hundred twenty {120) days from approval by the Commission . P. Record of Applications for Certificate of Appropriateness and Certificates of Economic Hardship 1. The Commission shall keep a public record of all applications for Certificates of Appropriateness and of all the Commission 's proceedings in connection with said application . Q. Certificate of Appropr i ateness Void if Construction not Commenced 1. A Certificate of Appropriateness shall become void unless construction is commenced within twelve {12) months from the date of issuance. Certificates of Appropriateness are renewable for one {1) additional twelve-month period. R. Requirements of Conformance with Certificate of Appropriateness 1. All work performed pursuant to a Certificate of Appropriateness shall strictly comply with all conditions of such certificate. In the event work is not performed in accordance with such Certificate, the City may issue a stop work or cease-and -desist order. 2. The City Council shall be authorized to institute any appropriate action or proceeding in a court of competent jurisdiction to prevent any Material Change in appearance of a designated Historic Property or Historic District, except those changes made in compliance with the provisions of this Ordinance or to prevent any illegal act or conduct with respect to such Historic Property or Historic District. Section V. Maintenance of Historic Properties and Properties in Historic Districts. 1. Failure to Provide Ordinary Maintenance or Repair . Owners of Historic Properties and/or properties within Historic Districts shall not allow their buildings to deteriorate by failing to provide ordinary maintenance or repair. It shall be a violation of this Ordinance for an Owner to fail to maintain any structure or to fail to prevent the deterioration of any exterior appurtenance or architectural features of a Historic Property or building, site, or structure within a Historic District . Section VI: Building and Zoning Code Provisions 1. Nothing in this Ordinance shall be construed as to exempt property Owners from complying with existing City building and zoning codes. Section VII: Penalty Provisions 13 Page 117 of 120 1. Violations of any provision of this Ordinance shall be punishable in the same manner as provided for violations of other Ordinances of the City. Section VIII: Severability 1. In the event that any section, subsection, sentence, clause or phrase of this Ordinance shall be declared or adjudged invalid or unconstitutional, such adjudication shall in no manner affect the other sections, sentences, clauses or phrases of this Ordinance, which shall remain in full force and effect, as if the section, subsection , sentence, clause or phrase so declared or adjudged invalid or unconstitutional were not originally a part thereof. Section IX: Definitions 1. "Certificate of Appropriateness" -means a document evidencing approval by the Commission to make a Material Change or repair in the appearance of a designated Historic Property or of a property located within a designated Historic District . A Certificate of Appropriateness is also required for demolition of a structure within a Historic District. 2. "Certificate of Economic Hardship" -Means a document evidencing approval of an Owner's application for relief based on Substantial Economic Hardship . 3 . "Certified Local Government" (CLG) -means a local government certified by the National Park Service and the Alabama Historical Commission to participate in the federal Historic Preservation Program and be eligible to receive federal technical assistance and funding for preservation activities . 4. "City" -means the City of Fairhope, an Alabama municipal corporation . 5 . "City Council" -means the elected members of the City Council of Fairhope, Alabama. 6. "Commission" -means the City of Fairhope Historic Preservation Commission as established pursuant to this Ordinance . 7. "Commissioner" or "Commission Member" -means a person appointed to the Commission pursuant to this Ordinance. 8 . "Conflict of Interest" -means a conflict on the part of a Commissioner between his or her private interest and the responsibilities imposed by this Ordinance. A Conflict of Interest involves any action, inaction, or decision by a Commissioner or in the discharge of his or her duties which would materially affect his or her financial interest or those of his or her i mmediate family members or any business with which the person is associated . 9 . "Contributing Property" -means a building, structure, or site recognized as adding to the historic significance of a Historic District. 10. "Exterior Architectural Features" -Means the architectural style, general design, and general arrangement of the exterior of a building or other structure, including but not limited to the kind or texture of the building material and the type and style of all windows, doors, signs and other appurtenant architectural fixtures, features, details, or 14 Page 118 of 120 elements. 11 . "Historic District" -means a geographically definable area designated by the City Council as a Historic District ." 12 . "Historic Property" -means an individual building, structure, or site including the adjacent area necessary for the proper appreciation thereof designated by the City Council as a Historic Property. 13. "Material Change" -means a change in appearance that will affect either the Exterior Architectural Features of a Historic Property or any building, structure, or site within a Historic District including, but not limited to: (1) Reconstruction or alteration of the size , shape, facade or elevation of a Historic Property, including, but not limited to, relocation or replacement of any doors or windows removal or alteration of any architectural features, details or elements; (2) Demolition or relocation of a building or structure designated Historic Property; or (3) Commencement of excavation for construction purposes . 14. "Mayor" -means the Mayor of the City of Fairhope. 15 . "Non-Contributing Property" -means a building, structure or site not recognized as adding to the historic significance of a district. 16. "Owner" -means the holder of the fee simple title as revealed on the relevant property tax rolls and in probate court records, and any person (natural, legal or corporate) or groups of persons, companies, associations, corporations, or partnerships who, alone or jointly or severally with others: a. shall have legal t itle to any property, with or without an accompanying right of possession ; or b. shall have charge , care or control of any property as Owner, executor, executrix, administrator, trustee, guardian of the estate Owner, mortgagee or vendee in possession , or assignee of rents, lessee , or other person, firm or corporation in control of a property. 17 . "Substantial Economic Hardship " -means a hardship so great that : 1. the Owner will effectively be deprived of all reasonable and beneficial use of or return from the property; and 2. the Owner would be unfairly penalized given that the Owner did not create the conditions at issue . Effective Date This Ordinance shall become effective on _____ _, ___ (date). THEREFORE, BE IT RESOLVED, that the City Council does hereby ordain , resolve, and enact the foregoing Historic Preservation Commission Ordinance for the City of Fairhope Adopted this __ day of _____ _, 20 __ 15 Page 119 of 120 Date of Implementation: __ day of ______ ~ 20 __ APPROVED: Mayor ATTEST: Clerk 16 Page 120 of 120