sample lateral attorney business plan

Business Plans for Lateral Partners – Good vs. Great

Most effective business plans, if not done correctly, are relatively useless.  Why?  Because many partners end up borrowing a template from a friend at another firm, and they just fill in the sections. 

There is not that much thought about why certain information is included, and how it fits with the LPQ and the overall business case for joining the new firm.  Effective business plans often read like a rehash of a partner’s website biography and contain duplicative information that will be included in other documents as part of the due diligence process. 

But effective business plans don’t have to be superfluous, and here are recommendations. 

There are three main questions partners have regarding effective business plans:

• “Should I have a effective business plan?”
• “If so, when should it be presented to the firm?”
• “What should the business plan include?”

Main Purpose of Business Plan  

Before I answer the above three questions about effective business plans and it’s important to explain that the purpose of a effective business plan is to show your future vision for your practice at a particular firm. 

Effective Business plans are used in conjunction with a Lateral Partner Questionnaire (LPQ), which is a detailed questionnaire that focuses on various aspects of your practice and includes questions about the historical, current, and projected financial aspects and economics of your practice.  Taken together, these provide firms with the most comprehensive 360 degree view of your practice and how it will potentially fit in to the new firm.  

In short :  The LPQ looks at your past and present practice, and also encompasses projections for the future.  Business plans supplement the LPQ by putting more “meat on the bones” about your current practice, where you want to go, and how you plan to get there.  The business plan is also, at times, a stand-alone document that can be used at the new firm to present to the executive/hiring committee to explain why you should be hired.  

Now let’s address each of the above three questions.

• “Should I have a business plan?” Answer: it depends.

If you have an immediately portable practice that is at least self-sustaining (meaning you can keep yourself busy with your own work), or the new firm has enough work to keep you busy based on your unique skillset, a business plan may not be needed.   The information that you include in the LPQ will likely be sufficient.

If it’s unclear as to whether you may have enough business to keep yourself busy, a business plan is important to help explain your vision and plan for your practice.   It’s a piece of the puzzle that helps the new firm answer, “What’s the likelihood this partner will be successful at our firm?” 

• “When should it be presented to a firm?”

Do not present a business plan before you are interviewing (the exception is if you are coming from the government). 

The business plan must be tailored to each specific firm you are considering, and you will learn important information during the interview process that you will use to help build your case as to why you and your practice is a good fit for the new firm. A big mistake is presenting a generic business plan.  I remember attending a seminar a few years ago on lateral partner business plans, and the speakers (hiring partners at law firms) basically said, “We don’t like generic business plans and think they are sort of useless.  If we actually want a business plan, it should be focused on our firm specifically.” 

Your business plan ideally connects these dots: (1) what the firm wants to accomplish, (2) what you want to accomplish, and (3) how coming together could help you both accomplish these mutual goals.  You are (obviously) unable to connect the dots if you have a generic business plan that is presented at the outset.  As a result, presenting it after a round or two of discussions will enable you to connect the dots much better. 

• “What information should it contain?”

The level of detail included in your business plan will depend upon your particular circumstances, where you are in the process, and what you wish to highlight.  Below are the most relevant sections that can be presented.   Think of this as a general lateral partner business plan template, which should be modified and tailored based on your specific situation. 

DETAILS TO INCLUDE IN THE BUSINESS PLAN

• Practice Description . Briefly describe nature of your practice, including areas of expertise or specialization; ideal to provide breakdowns (e.g., example 30% M&A, 25% private equity, etc.).
• Practice Development to Date : What you have done to develop your practice to date.  Although the LPQ will cover your business development track record, it doesn’t hurt to reiterate your main clients, origination track record over the past few years, and your billing rate. 
• Highlights/Accomplishments : Any highlights about your practice (e.g., particular high-profile deals or cases) and/or industry recognition.
• Firm Citizenship: Leadership roles, etc.
• Key Strengths : What are your unique strengths as a partner?  Where do you see yourself adding the most value to a new firm/practice? 
• Future Goals : Where you want your practice to be in the next 3-5 years.  For example, do you want to expand your practice area or enhance a particular industry focus?  Are there additional clients you want to pursue, but you are limited at your current firm due to conflicts, rates, or geography?
• Industry Trends : What industries do you focus on? What is happening in your particular industries that could create more opportunity at the new firm?  What are the untapped opportunities and how are you positioned to capitalize on them? 
• Limitations or Challenges with Current Firm (this is optional, depending on the particular circumstances of your situation) : Why are your future goals difficult to accomplish at your current firm?   Note: the challenges can also be “softer” factors such as the manner in which client credit is shared is not consistent with the type of culture in which you enjoy practicing, etc.  Be careful, however, not to come across as venting your frustrations.  The more this is focused on business and limitations to your practice, the better.
• Your understanding of the new firm’s goals/strategic needs as it pertains to your practice (based on your discussions).
• How your background/experience could fit into the firm’s goals/strategic needs.
• How the new firm could help you (1) more easily accomplish your goals and/or (2) reduce some of the challenges with your current firm. In short, how could both sides come together in a way that meets everyone’s needs.
• Your Network of Contacts : Include a list or chart of people you would plan to continue receiving business from, and who would you expect to approach to develop new business.  The ideal format for the headers is the name, company, title, and the nature of your relationship, including how long your have represented the client (if they are a current client).  This can include the new firm’s clients to the extent it has been discussed already.  If you do mention the new firm’s clients, be sure to take a collaborative tone that includes pitching together as a group and not as a lone wolf. Note :  Some partners are understandably reluctant to “share their rolodex” too early in the process.  If you are uncomfortable, it’s ok to hold off on providing too much detail regarding your network if it’s still early in the process and you are unsure if the firm is a fit.  If the firm presses you for information on your network and future prospects, you can equalize the process by asking the firm to share information on their main clients/contacts as well, so it’s more of a “mutual brainstorming.” 
• Specific Business Development/External-Facing Activities : Many business plans have generic sections such as “Writing:  I plan to write articles” or “Speaking:  I plan to speak at industry conferences to help get my and the firm’s name out there.”  There is nothing wrong with this, but it often comes across as very generic.  To make more of an impact, provide specific examples of what you have done to date, and what you plan to continue doing.  For example, are you on the Board of any high-profile publications or do you often participate at certain industry conferences?

The business plan is not a one-size-fits all approach, but the above provides more clarity on the key issues these documents involve and how to best approach this part of the lateral hiring process. 

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Author: Dan Binstock

Dan co-owns Garrison & Sisson, where he focuses on lateral partner and practice group placements. He has consistently been recognized as one of the Top 100 Global Legal Strategists and Consultants by LawDragon, and authored "The Attorney's Guide to Using (or Not Using) Legal Recruiters." Dan is the Immediate Past President of the National Association of Legal Search Consultants (NALSC), where he also served as Chair of the Ethics Committee. Visit here to learn more about Dan, or contact him confidentially with any questions at (202) 559-0492 or [email protected].

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How to Write A Lateral Partner Business Plan [TEMPLATE]

by Jennifer | Jun 21, 2022 | Business Plan , Lateral Partner Moves

The Lateral Partner Business Plan is an essential tool when pursuing a partnership-level lateral move. Your perfect-fit law firm is out there. What distinguishes Gillman Strategic Group is our focus on our candidates and the career that you want. We work with you to assess your Business Plan and ensure that you are positioned to get the right results for you.   Rather than repurposing another Business Plan or a generic template we ask you to put this together because it makes you more valuable, more aware, and more prepared for a lateral move.  A thoughtful, well-crafted plan is a valuable tool. It educates the law firm about your expertise and background, gives you increased leverage when negotiating your wants and needs, and gives your partner a roadmap on how you will continue to be successful and benefit the firm.

Plus, it’s an excellent opportunity to market yourself and your practice.

This article will explore three components of an effective lateral law partner business plan. By including them in yours, you’ll be setting yourself up for a successful and smooth lateral placement process at a law firm where you will be happy.  Download our sample lateral business plan template, get started on your future today. 

Download the Lateral Partner Business Plan

(This post focuses mostly on Partner Business Plans, but the same template and approach can also be useful as an associate attorney business development plan.)

#1: Lateral Partner Business Plan Executive Summary

Think of this section as your bio or resume. This is your chance to hook the reader with an outline of your practice, experience, and industry niches or areas of specialized expertise.

Be sure to highlight any noteworthy accomplishments, like winning a high-value or high-profile case, and don’t forget to emphasize your key strengths. 

You can also include general information such as:

• Job title and job functions
• Leadership roles within and outside the law firm
• Relevant work history
• Community and charity involvement
• Your expectations for your practice in the future

Last but not least, when it comes to your summary, keep it brief. This is just an overview, so aim for 100-200 words. Remember that busy partners will be reading it – so keep this short. 

Our Business Plan Template guides you through putting your Lateral Partner Business Plan together. Download it here.  

#2: Current Business

In this section, dive deeper into your current book of business. The level of detail and specificity you employ can vary depending on your comfort level — some attorneys are willing to divulge all client information, while others are not.

Regardless, the goal is to show that you have a portable business portfolio that you are highly likely to retain at a new law firm. One of the primary motivating factors for law firms to bring in a lateral partner is revenue generation, so be sure to include realistic projections for your practice.

T his can be a bit of a tricky balancing act, as you don’t want to under or over-project. If you expect your revenue in a given category to increase or decrease from historic levels, be sure to explain why.

Your revenue projections will be of intense interest to the firm, so make sure you provide as much detail as possible and that your forecasts are credible. 

Your current business section should include the following information:

• Existing clients with the type of work, past and projected revenue, and cross-selling opportunities
• Origination information; in other words, identify how each client came to you, such as through a referral or marketing activity
• Client contact information, including all the individual relationships you have at the client’s business (for example, the CEO or General Counsel) as well as how long you have known each contact and the strength of the relationship

Finally, it may also be a good idea in this section to touch on how you have developed your practice to date. The LPQ is likely to cover your business development track record, but it is nevertheless useful to reiterate some of the information here. 

#3: Future Opportunities in the Lateral Partner Business Plan

This may be the most critical section of all — this is where the rubber hits the road. Here, you will connect the dots for the hiring firm by laying out how you will use your new platform to retain and grow business from existing clients and generate business from new clients. Include the following in your Lateral Partner Business Plan: 

• Define your ideal client, and be specific. Examples may include: multijurisdictional product liability defense for pharmaceutical companies, management-side labor, and employment for middle-market companies, or trusts and estates for wealthy individuals.
• Define your competitive advantage. Why do your ideal clients hire you? Is it because of your experience, industry knowledge, personal brand, reputation, pricing, or a combination of these?
• Write about the specific opportunities that a new law firm and its platform will bring to you and the firm. Perhaps you could not get work from a client due to conflicts at your current firm. Or, you have clients that need a national platform or services that your current firm cannot provide.

T he point is to put yourself in the best possible light. However, do not overpromise or create unrealistic expectations. Again, the level of detail and specificity depend on the comfort level of the individual candidate. 

You can also include other opportunities and plans, too. Where would you like to grow your practice geographically? What other specialties within your practice area would you like to explore? In which industries would you like to practice (where you don’t practice now)?

Ask yourself questions like these, and paint a portrait for the reader of what they can expect from you as a member of the firm. Remember, though, not to over or understate your potential. Protect your credibility and reputation by keeping your estimations optimistic but realistic. 

The Lateral Partner Business Plan  Bottom Line

When pursuing a lateral partnership opportunity, it is essential to create an in-depth and comprehensive Business Plan. Doing so is an important part of the lateral partner hiring process (and it will help you complete your Lateral Partner Questionaire .)

Even if you are not thinking of making a move now or at all, a Lateral Partner Business Plan can still be useful. 

If you have an up-to-date Business Plan you can explore other opportunities, if it ever sounds interesting. If you already have a Lateral Partner Business Plan, it can be constructive to review it for areas of improvement. If you don’t already have one, your first step before seeking lateral move opportunities should be to start working on your plan. If you have any questions or need help, let’s schedule a time to talk.

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Creating A Business Plan

The logistics of how lateral partners should sell themselves.

Ed. note: This is the latest installment in a series of posts Lateral Link’s team of expert contributors. Michael Allen is Managing Principal at Lateral Link, focusing exclusively on partner placements with Am Law 200 clients and placements for in-house attorneys. 

A business plan is one of the most important tools to explain your practice, relationships, and strategy to another law firm. You should put together a business plan before even pursuing opportunities to preemptively answer questions that you anticipate encountering throughout the lateral placement process.

Why are business plans necessary in conjunction with their shorter brethren, LPQ’s (Lateral Partner Questionnaires), which deals almost exclusively with historical and projected business generations, conflicts, and key relationships? The answer is simply, the LPQ is your one-sheet resume, with just enough details to diligence a conversation on a lateral partner. The business plan on the other hand, is your opportunity to market your practice and walk the firm through your strategic process to achieving your goals.

There are a multitude of guidelines to adhere to when composing a business plan, but here are the six of the most crucial principles to consider:

1.  The Format. There isn’t one set way to compose a business plan, but generally the best business plans we see follow this structure:

Summary: The summary highlights your practice and experience in a neat 100-200 word package, giving the firm an overview of your past achievements, and your expectations for your practice over the next few years. This is the time to brag about yourself, are you Chambers ranked? Did you win a high value or newsworthy case in the last year or two? These are eye-catching details that belong in the summary. The summary is your hook so be judicious about the material you include.

Strategy: Your strategy section should outline your vision for your practice at the firm. This is not the time for ambiguity; if your strategy calls for additional associates to service extra work, include this in your strategy. Context is vital to this section. Your strategy should detail current market trends and forecast future ones to synthesize a strategy that accounts for potential growth or decay in your practice.

Track Record: Your track record is simply a breakdown of clients by year and fee origination. This should be succinct, there is no need to delve into the fine details. A chart that lists your major clients and the revenue generated from them each year is sufficient.

Revenue Projection: This section is perhaps the most difficult and of the most interest to law firms. Completing this section requires straddling a fine line between over and under-projecting. The chart in this section should break down your work by category. For example, Outbound Lit, IP Lit and Inbound Lit, could be three sections under your category heading. Your next column should be projected revenue. If you anticipate an increase or decrease in your historic revenue, be sure to list why, as firms will examine this section carefully. The next column should list the percent of work serviced specifically by you. Your last column should be the amount you personally bill. As long as your projections are reasonable and you justify any projected growth then your business plan will be deemed credible.

Marketing Plan: The marketing plan is your opportunity to demonstrate your long-term plan for growth with the company. This section can easily span several pages and should include a market analysis across all your different specialties. In this section you want to identify trends in the market to anticipate legal demand. You should also list specific corporations and your plan for targeting them to gain their business. Structure matters here. It is easy to meander through two pages of epiphanies before you realize you have incoherent drivel. Outline this section before you write to save yourself an hour of revisions.

2. Identify The Why. Firms are looking for partners for different reasons. While some firms buy books for accretive growth, others have succession planning concerns in mind. Some have platform expansion on their minds or an appetite to build a practice that cross sells nicely with an existing client base. Whatever the reason, firms prioritize certain hires for various reasons. Determine the value you bring to the firm and vice versa. Connect the dots and communicate a strategy. For example, if you are nearing the retirement age, the firm may question your ability to pass down your business to the next generation of partners. If this is the case, your business plan should focus on the long-term viability of your practice and envision a seamless succession plan to help the firm retain the clients after your retirement.

3.  Don’t Exaggerate. One of the biggest mistakes a lateral partner can make is to overestimate their potential. Your reputation and credibility are everything. Firms generally peg partner compensation at 33% of their business generation if under a $5mm practice. As the practice grows, there are more costs required to service the practice, and the percentage typically diminishes with scale. Given this formula it can be tempting to overestimate, or become overoptimistic of your chances to retain a client.

Firms run pro formas based on years of historical originations to determine future compensation. Since firms are not privy to every detail of your dealings, they might be unaware that your clients expect their demand to drop significantly—and in turn, diminish your book. If you fail to temper their expectations of future potential drops in earning potential, a disappointing year-end bonus could be the least of your problems.

Similarly, if your inflated estimations are the tipping point of your acceptance, you may find yourself being pushed back onto the market soon after if your business generation is comparatively disappointing to your estimations.  You don’t want to start a job with a target on your back.

4.  Don’t Understate. While the preceding section may sound unduly ominous, you do not want to underestimate your business potential out of fear of overshooting your true potential. Like any job interview, your goal is to communicate your potential, which means remaining cautiously optimistic while tastefully bombastic, i.e., credible to the decision maker who decides your compensation and role with the firm. Don’t expect firms to give you the benefit of the doubt. In fact, expect them to take a haircut off your numbers and poke holes in your strategy. That said, remain confident without exaggerating.

5 Give Them A Vision. Most AmLaw firms seek to expand their presence or influence around the globe by bringing on profitable partners. It is probably the main priority of a firm chair in his or her strategic plan. Figure out what the firm’s vision is and see how you can contribute and how the firm platform might increase the pie for everyone.

For example, if you have potential business in Mexico City and your current firm does not have a Mexico City office but the prospective firm has a strong Latin American practice, walk the prospective firm through how you plan to cross-sell an international platform to your current client base to service additional business you are leaving on the table. A business plan marries your past performance with your future potential, showing how you plan to continue to grow your practice given new synergies.

6.  Address Issues Upfront. If you have something that needs explaining, you should take the opportunity to explain it upfront. Get ahead of the issue and make sure the firm understands what to expect. I am not suggesting that you should highlight your weaknesses, but at least, address issues that you can expect the firm to ask during the conversation. This can save major embarrassment later, and if the backlash is strong enough to push you from the partner ranks, it can be difficult to find another lateral job after that.

Writing a business plan is cumbersome, especially after a long day in the office. Between tailoring the message and the determining the structure, the whole affair can stretch out far longer than anticipated. My fellow recruiters and I at Lateral Link have ample experience to guide you through the process, help craft your motifs and structure your plan effectively. Feel free to reach out to me at [email protected] for more information.

Lateral Link is one of the top-rated international legal recruiting firms. With over 14 offices world-wide, Lateral Link specializes in placing attorneys at the most prestigious law firms and companies in the world. Managed by former practicing attorneys from top law schools, Lateral Link has a tradition of hiring lawyers to execute the lateral leaps of practicing attorneys. Click ::here:: to find out more about us.

Business Plan , Job Searches , Lateral Link , lateral partners , Lateral Partnership Questionnaire , Michael Allen

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Building a Business Plan for a Law Firm Partner Move

The legal market has become more and more competitive in recent years, with law firms coming under intense pressure to serve their clients more efficiently, while simultaneously increasing the amount of revenue that partners bring in. As a result, companies are now less willing to take a chance on a potential partner and instead will insist that they prove their worth. This is even more acute now that the economy has turned downwards and is likely to remain so for the foreseeable future.

Simply having the right skills and being a cultural fit is no longer enough to secure a partner position. Instead, you will need to demonstrate to the firm that you are able to earn your keep and make a profit. Because of this, it is essential that you develop a practice which is personal to you and clients and work that will move with you, should you choose to move law firms. You will then need to be able to write a detailed business plan that demonstrates your potential value to both your existing firm and any firm you may want to join. 

You will need to go through a similar exercise for any internal promotion to Partner. In most cases, a firm is only going to promote you if they feel they have to in order to protect their business. This means they need to feel that if you were to leave, a significant amount of clients and work would go with you.

Now that you understand why a business plan is necessary, the question is, what information should you include? Here are our thoughts on building a business plan for law firm partner.

What Do Law Firms Want to See?

For the most part, a company will want to see a breakdown of your financial performance. You will need to demonstrate not only how much money you have brought in in the past, but also project what you will post in your first few months with the firm.

In the context of a business plan, financial performance means three different things – all of which are important, although different firms will place different weighting on them. They are:

• Client Partner Billings: The total revenue which the firm gets from the clients you manage or “own”. If you are moving, then it is the total value to the new firm of having the clients you can bring
• Matter Partner Billings: The total revenue from all the files which you are in charge of, including the billings of your subordinates or fee earners in other teams. This demonstrates the overall value of your caseload.
• Personal Billing: The revenue generated directly from your time, whether on your own files or other people’s.  

Anticipating your revenue is a precise art and needs to be done with the utmost care. A law firm will hold you accountable for your figures, so it is essential that you do not inflate or under-value your estimations. Instead, you should thoroughly analyse the strength of your contacts and how much work you believe you will get from them. Another point is to pick out those who may have followed you from previous practices, as they will also add to your value. 

How to Begin

When building a business plan for law firm partner, it is essential that you are able to quickly pull out the information that will prove most valuable. This is why you should begin with an executive summary.

Your summary should ideally be a one page cover sheet that summarises all the main points in your plan. It needs to be concise and capture the essence of your business plan, especially your financial projections. Once this has been done, you are ready to move on to the rest of your proposal. Here are the elements we think you should include:

Set Your Objectives

The first main section you should include when building a business plan for law firm partner is an analysis of the key objectives you want to set yourself. You should then outline how you intend to meet these targets and what your strategies will be.

There are many different ways you can demonstrate how you will hit your goals. Here are just a few:

• Expanding existing relationships: list contacts you already work with and how you intend to increase the revenue they bring in.
• Identifying important sectors : identify which areas of the market you will expand your operations in and why.
• Using your reputation : discuss how your prominence in the industry can be harnessed to bring in business.
• Providing extra services : explain how you will use your experience to provide additional services to the firm’s existing clients.
• Enhancing pitches : outline how you can help the company improve the way it bids for a specific type of work.

You should also set out a few paragraphs underneath this to provide more information about your practice and how it will add value to the firm. Alongside this, it is a good idea to discuss your reasons for wanting to move – both social and economic.

Analyse the Markets

The next step is to take a detailed look at the specific market you will be working in. Are there any issues or trends that could impact the demand for legal services? What opportunities would be available to you?

You should also outline the specific geographical areas that you will service in your first few years at the practice. Ideally, this needs to be a mix of new and existing markets. Once you have done this, go into further detail about the precise industry sectors you will focus on and list the major participants in this area, plus the reasons why they are important. 

Outline Your Clients and Financials

Now we have arrived at arguably the most important part of building a business plan for law firm partner. This is where you identify the clients you think will be able to bring in quality work for the business, plus your financial information.

When listing your clients, you should identify the significant clients and discuss in detail the type of work you have carried out for them and what your measurable outcomes were – such as fees. If this is a plan for a new firm, then be specific about the clients but do not name them. That would be a flagrant breach of your duty of confidentiality and at this stage it would not be appropriate to expose yourself to that risk. Simply call them “Client A”, “Client B” etc.

You should also consider identifying opportunities to further develop your clientele. If the plan is for a move, then you should think about how you could get extra work from existing clients of the firm that those clients don’t send in at the moment. If it is an internal plan, then target existing clients of your current firm that you do not presently work for. Also, set out which new clients you want to target and why. 

In terms of financials, you should outline your billing hours over the last three years. These include the hours you billed to your own clients, your current firm’s or other partner’s clients, plus any productive non-billable hours. If there are any figures you feel need explaining, such as an unusually low or high billing, consider adding a footnote underneath.

The next things you should list are your personal charge out rate for the last three years and your billings, collections and referrals. For the latter section, you should differentiate between your own billings and referrals you made to other teams, with the total amount underneath. You also need to include fees you earned from clients of another partner, where you were the main ‘matter partner’.

Finally, you need to outline the compensation you have received in the last three years. This includes your basic salary, monthly draw, plus any bonuses you may have received.

Look at Business Development

The next major area you should include when building a business plan for law firm partner is business development. There are four main sections that are important to mention, which are:

Provide a breakdown of your current team, including their position, how much of their time is dedicated to your case work and whether they are in part or full time employment. If there is anybody within your team that you wish to bring with you to your new firm, explain why this would be a good idea and list their current and expected remuneration, plus the hours they billed in the last year.

You may also need to request extra support from your new firm, in addition to your current team. If this is the case, be sure to outline who they are (for example, a junior associate) and why you believe they are necessary. A potential reason is that you envisage you will grow the business dramatically and want to focus on the more high-end clients – meaning you would need an assistant to carry out the day-to-day lawyering work.

Time Allocation

If you are intending to bring in a lot more business for the firm, or focus on new markets, you will need to outline how much time you wish to spend on this. Remember that you will also be expected to harness and grow existing clients, so it is essential that you demonstrate you are able to divide your time effectively. 

Initiatives

The next thing you should outline is what marketing initiatives you intend to pursue during the next financial year. These include any sponsorships you will undertake, the conferences or seminars you plan on attending, speaking engagements and any articles you intend to write for external publication. 

If there are any specific initiatives you think the firm should pursue, such as training in key areas, be sure to include this as well. It would be a good idea to also outline why this is important and, if possible, identify potential providers to work with.

Expenditure

Like any business, the law firm will want you to outline how much you expect your ventures will cost. Each time you identify something that you will need the company to provide, whether it is additional team members, a sponsorship opportunity, or extra training, you need to ensure you fully work out how much this will cost.

How You Fit Their Culture

It is important to outline why you believe you will be a good fit for the firm. After all, the company will want to know if they can work with you professionally – regardless of the amount of money you will bring in or what your plans will be. If two candidates sound the same on paper, then the business will likely go with the one they feel will integrate better into their culture. To determine whether you will be a good fit, you should carry out detailed research into the company and utilise any contacts within your network who may be able to help.

Now that you understand the basics of building a business plan for law firm partner, you should be confident in your ability to achieve your dream job. Once you have completed your plan, you may feel that you need an extra pair of eyes to advise you on any areas that may need to be tweaked. While this could come from another lawyer, you might find it more beneficial to contact a specialist legal recruiter. 

Having somebody that lives and breathes the legal market in your corner could enhance your prospects in a number of areas. They will first of all be able to offer independent, and sometimes critical, input into both your client list and proposed billings. 

An experienced recruiter will also be able to give your prospects of success a health-check and advise on how to fine-tune your sales pitch. In addition, they are likely to have an in-depth knowledge of the firm you are applying with, meaning they can give you essential information about the company and its culture that you may not otherwise have access to – thereby giving you a potential advantage over your competition. What is more, they could even provide details on other opportunities you may want to consider based on your experience. 

If you believe that your business plan could benefit from the expertise of a specialist legal recruiter, contact Jepson Holt today. We will review your document and provide expert assistance to give you the best possible chance of success. For further information, you can also read our free eBook entitled: “Taking Control of Your Legal Career” . This handy guide details everything you need to know about progressing in your career and the actions you should take. At Jepson Holt, we aim to help you get the most out of your working life as possible. 

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How to Lateral Without a Book of Business

Many attorneys are laboring under the misconception that without a $750,000 book of business, they don’t have the option to move laterally to another firm. Fortunately, there is no absolute bar to making that kind of transition with a smaller or even non-existent book of business. Below, we outline the real relationship between your book of business and your chances of lateralling as a partner. And we explain how you can strengthen your pitch to compensate for what you may be missing.

• Legal recruiters should and do care a lot about the size of your book of business. They have to. They get paid on a percentage basis and want to maximize their chances of success. So, they prefer safer bets in the people they choose to work with. In this world, “safe” means a degree from a prestigious law school, a career with well-known national firms, and a sizable book of business.
• All things being equal, a larger book of business does open up more doors. If another candidate has everything you have to offer plus hundreds of thousands of dollars in business to bring to a firm, you’ll be at a disadvantage on that front. But that doesn’t mean you have no chance.
• There are a number of great reasons for lacking this kind of portfolio. You may have been working in-house or in a government role, or you may still be relatively early in your career. People without these justifications hold their own advantage in the marketplace: they’re more affordable.
• The reality that a recruiter won’t work with you doesn’t mean there’s no market for lawyers with smaller books of business. Firms may want a partner who brings a large book of business, but that doesn’t mean they’re willing to pay what it takes to hire and keep someone like that. Hiring an attorney with a smaller book of business poses less of a financial risk.
• An indispensable part of your pitch is the presentation of a compelling business plan. Your most promising strategy in trying to lateral without a substantial book of business is to demonstrate how you can grow your practice given the new platform. You should create a written business plan that specifically identifies the clients you want to attract, the referral resources you will cultivate, and the revenues you can expect to generate over a one-to-three-year period. Your business plan should explain what assistance you will need from the firm in terms of resources and support and otherwise make clear that, if given the opportunity, you will ultimately build the book of business they’re seeking.

The legal services market as a whole doesn’t subscribe to the same strict rules recruiters do, so don’t color the lack of a sizable book of business as an insurmountable obstacle. As consultants to lawyers and laws firm, we’ve seen firsthand how solid business plans have overcome sub-par books of business.

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How to Write a Law Firm Business Plan + Free Sample Plan PDF

Elon Glucklich

6 min. read

Updated April 3, 2024

Free Download:   Sample Law Firm Business Plan Template

It’s a dynamic time to be in the legal industry. Over 63,000 new attorneys have started practicing in the U.S. in the past decade, and they’re joining law firms that are increasingly leveraging new technologies like AI to work more efficiently.

Owning your own law practice offers numerous advantages, from greater control of your caseloads to flexibility in setting billing rates. 

But running a successful firm requires more than a deep knowledge of the law. 

You need to market yourself, understand potential clients’ motivations and desires, and clearly explain to them why they should hire you over another firm. All of which you can figure out by going through the process of writing a business plan.

• What should you include in a law firm business plan?

Here are a few sections we recommend including in any law firm business plan:

Executive summary

Market analysis, marketing plan, company overview, financial plan.

The details of your plan will vary based on factors like the size of your legal practice and whether or not you need funding

If you’re seeking a bank loan or investment, you’re best off following the traditional approach to writing a business plan . Otherwise, don’t feel bound to writing a full plan. You can just focus on the business plan sections that are most relevant to your situation. 

The executive summary is your opening pitch to the reader. Although it comes first in a business plan, you should write it last, since it distills your entire plan into a concise, one- to two-page overview. 

Start by outlining your law firm’s focus and current status. Are you:

• A newly founded practice
• An established firm seeking expansion
• A multi-location enterprise

Then, summarize your practice areas and target clientele. Describe the issues you’re solving for potential clients, and why they should choose you over competitors. 

Maybe your team has experience that’s relevant to your ideal client, or you offer an appealing fee structure. Anyone who reads the executive summary should be able to understand what makes your law firm unique .

Your executive summary briefly touches on your law firm’s area of focus. But the services section is where you give readers a detailed look at the expertise your legal practice offers, and how you address specific client needs.

What are your core practice areas? Do you represent:

Businesses: Contract disputes, regulatory compliance, employment law issues

Individuals: Personal injury claims, divorce proceedings, estate planning

Simply list all of your legal services. If you run an existing law practice, you can mention your existing client base. Also, specify if your law firm specializes in courtroom litigation, drafting contracts, or legal advisory services.

When writing out your services, consider what sets your firm apart. Maybe you provide free or low-cost initial consultations or specialize in areas underserved by competitors. Any services that might give you a competitive advantage are worth mentioning.

Understanding your potential client base is vital. Do you know the size of your market ? What are their characteristics? 

To conduct a market analysis , start by profiling your ideal client. Consider basic demographic information , like their:

• Income level
• Geographic location

Take their life circumstances into account as well. Are they navigating events like:

• Recovering from an injury
• Being charged with a crime
• Running a business
• Planning an estate

Depending on their circumstances, you’ll need to research relevant trends in your area to determine whether there’s a growing demand for the services you offer. 

Document who your competitors are as well. What other law firms might potential clients turn to? Note their strengths and weaknesses and compare them to your own in your market analysis. 

This research will help you develop a unique value proposition—something only your firm offers that you can emphasize in your marketing strategy.

The marketing and sales plan is where you describe how you will stand out and attract clients.

Where are your potential clients seeking out legal information? Common channels for law firms to market their services include:

• Television and radio commercials
• Print and online advertisements
• Company website

You’ll likely want to consider a combination of these tactics. 

But before spending your marketing budget, take some time in your business plan to determine how you’ll position yourself. If you’ve determined your law practice’s unique value proposition , it should be incorporated into all of your messaging.

Say you offer a unique combination of legal services in your market, such as financial compliance services for businesses and high-net-worth individuals. Your marketing plan is where you develop engaging messaging around your services that are tailored to your ideal client and the medium you’re promoting your services on.

Examples could include:

• Hiring a video production team to film a commercial for your legal practice
• Ensuring your law firm’s website is optimized for visibility on search engines.
• Creating pamphlets highlighting your service to distribute at business networking events or places where high net worth individuals frequent, like upscale health clubs or financial advisory offices.

One key point to remember is that the legal profession has specific marketing restrictions, to ensure law firms are promoting their services in an honest, ethical way. Make sure your plans adhere to the bar association’s guidelines .

The company overview isn’t an exhaustive history of your firm’s experience. It’s meant to quickly give the reader an understanding of your background, experience, and the structure of your firm.

Start with the basics:

Founding date: When was the firm established?

Legal structure: Is it a partnership, LLC, corporation, or other structure?

Location(s): List the communities your firm serves

Provide some detail about you and your team as well:

Founding partners: Summarize their legal experience, specializations, and any notable accomplishments.

Key Associates & staff: Briefly outline their roles and credentials

If your legal practice is already established, note any milestones you’ve achieved, such as major cases or community recognition. But even if you’re just starting, listing milestones like securing office space or building an initial client base are worth noting here as well.

Your law firm’s financial plan is crucial to determining if you have a strategy for running a viable business over the long term. 

Here’s a breakdown of what you need:

Sales forecast : Project revenue based on billable hours, retainer fees, contingency cases (if applicable), and any other income sources. Be realistic, especially in the early stages.

Expense budget : List all of your costs, including:

• Salaries and benefits:
• Rent and office expenses
• Malpractice insurance and bar dues
• Technology (i.e. case management software)
• Marketing and client development

Profit & Loss (P&L) : Your income minus your expenses, showing if you expect to be profitable.

Cash flow statement : Predicts when cash comes in and goes out of your business. Cash flows are crucial to ensure you can cover bills and payroll.

Balance sheet : An overview of your law practice’s financial health, listing assets (cash, accounts receivable), liabilities (loans), and equity.

If you’re seeking outside financing to start your legal practice, list startup costs like office build-outs, initial marketing, and technology investments separately from your expenses, since these are areas you’ll be looking to fund with lender or investor funds.

Additionally, be clear about assumptions you’re making when forecasting your revenue streams (case volume, hourly rates, etc.). Researching similar law firms can help you ensure your projections are reasonable.

• Download your free law firm sample business plan

Download our law firm sample business plan for free right now and use it for reference as you write your own plan. You can even copy and paste sections from the sample plan and customize them for your business. Just make sure you’re taking the time to do your own research.

You can also view other legal business plans , or browse the full Bplans library of over 550 sample business plans across numerous industries.

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Elon is a marketing specialist at Palo Alto Software, working with consultants, accountants, business instructors and others who use LivePlan at scale. He has a bachelor's degree in journalism and an MBA from the University of Oregon.

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• Starting a Law Firm

How to Create a Law Firm Business Plan

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Contents: Guide To Starting a Law Firm

1. How to Create a Law Firm Business Plan

2. how to create a law firm budget, 3. getting support: networking and hiring, 4. setting up your workplace, 5. creating your online presence, 6. implementing systems and processes, 7. making it official, 8. how to get clients more for your law firm.

The wait is over…gain an edge with the latest report.

What is a business plan and why is it important.

A law firm business plan is a document that summarizes what you want to achieve and how you’ll run your business. This summary includes general information about your law firm, why you chose to start it, major goals, the services you offer, a budget, and a strategy for gaining and managing clients.

A business plan is essential to any law firm as it documents, and serves as, a roadmap for the future.

As you think through what it is you want to achieve, what type of clients you want to serve, how much to charge as a lawyer , and what type of matters you want to handle, your business plan may evolve. That’s okay! Your law firm business plan can change as your goals change, so don’t feel pressured to have all the answers upfront.

That being said, the more thought you put into your business plan now, the better you’ll set yourself up for success in the long run.

What to consider when creating your business plan

Before you start writing a law firm business plan, as an attorney and a potential entrepreneur, it’s important to take a step back and reflect on what you want from your practice first. For a more specific, meaningful, and ultimately rewarding business plan, consider these three points:

1. What are your business goals?

The first and most critical step in writing an effective plan is to ask yourself, “Why do I want to own a law firm ? What do I want to achieve? What’s my definition of success ?”

Starting your own law firm isn’t just about having a job—it gives you the potential to have more freedom and more fulfillment. In theory, owning your own firm gives you more control over your income.

Consider the following questions to get started:

• What do I want to achieve through starting my own law firm?
• What’s the impact I want to have?
• What am I good at?
• How do I want to service my clients?
• What problems do I want to help solve?
• What does success look like after starting this law firm?

Answering these questions might be more difficult than you think, but they’ll help you get clear on your goals for why you want to run a law firm. 

2. Consider how much revenue you’ll need

Now that you have an idea of what success looks like, calculate how much annual revenue you’ll need to achieve those goals—and more.

In 2024, the median pay for lawyers was $176,470   (up from $126,930 in 2023) .  While this isn’t a small amount of money, after factoring in living expenses like saving for retirement, rent or mortgage payments, student debt repayment, vehicles, emergencies, office lease etc., that number gets eaten away quickly.

More importantly, there’s no extra room for investment in hiring or marketing to grow your law firm. So, it may just be you and you alone until things pick up.

In that case, be generous when estimating how much revenue you’ll need, and write down a number that scares you. You’ll be much better off planning with that number in mind from the beginning.

3. Setting your fee structure

After setting your goals and estimating a few rough numbers to start, it’s time to create your fee structure. 

Your fee structure should include:

• What others charge on average
• What practice area you’ve chosen
• What your business expenses are 

As you might already know, each client is different which means each matter you handle will be different. It could make sense to charge a flat rate for one project but an hourly rate for another. 

Understanding what your competitors are charging and how they’re structuring their pricing is a good starting point to then build out your own fee structure.

Luckily, there are so many incredible tools out there such as Clio’s Legal Trends Report , which can help you understand average hourly rates; a benchmark calculator for hourly rates within your jurisdiction ; blog posts about billing; and more, that make it easy for you to do market research and understand what others are charging.

4. Determine how many cases you need to meet that revenue goal

If you are only handling two or three cases per month, the number you came up with above might look outrageous. It’s not. 

For example, let’s use the 2024 median pay of $176,470 a year in annual revenue as our goal, with a flat fee of $3,000 per client.

$176,470  per year in revenue = an average case value of $3,000 – $3200 = 55 cases per year = 4 – 5 per month.

$176,470  per year might seem crazy if you’re only working a couple of cases per month, but keep in mind that you’re going to gradually work up to it.

The number of cases you’ll need may differ depending on your location and practice area, so do your research to make sure you come up with a realistic case goal (even if it still feels like a stretch).

This brings us to the next part of developing your business plan—writing it.

How to write a law firm business plan

Once you’ve got the starting points of your business plan worked out, it’s time to put pen to paper. 

While your law firm business plan should be tailored to your unique situation, the following list will walk you step-by-step through all key sections you need to have a comprehensive business plan:

1. Executive summary

An executive summary is a one-page, high-level overview of all the key information in your business plan.

Law firm business plans can cover a lot, so it’s worth having a succinct high-level overview to keep things simple (hint: While this section should come first in your plan, it’s actually easier to write this section last, after you’ve laid out your plan).

Your executive summary should include:

• Mission statement : One or two sentences describing your firm’s purpose.
• Core values : What values are most important to the firm?
• Major goals : What are your firm’s overarching goals and objectives?
• Unique selling proposition : What sets your firm apart from other firms?

2. Firm description

Next, write a company summary for your firm, something  concise that provides a general overview of your firm, while providing important details describing your practice and clients, including:

• Service(s) : What type of law do you practice? What types of clients do you serve? Firm values : Restate your mission statement and core values.
• Legal structure : What sort of business entity are you? Are you in a sole proprietorship or a limited liability partnership?
• Location : Where is the office geographically located? What areas does the firm serve?
• Unique selling proposition : What makes your firm stand out? What technology or services give your firm an edge?

3. Market analysis

A little bit of preliminary market research goes a long way. 

Look at bar association listings to see how many other firms in your area offer similar services. Is there a high demand for what you’re offering? If not, how can you ensure you stand out to potential clients? This will greatly inform the message you choose to use in your marketing efforts.

Create a market analysis for your firm, including the following:

• Ideal client : What demographics (like location, age, occupation), needs, and motivations would signify the best client match for your firm, and why?
• Industry description : What is the current and projected size of the market your firm is in? What are the trends in your legal niche?
• Competitive analysis : Who are your direct and indirect competitors, and how are they serving your target market? Where do your competitors succeed? What opportunities are there for your firm?
• Projections : How much can your ideal clients spend on legal services ? How much can you charge?

4. Organization and management overview

You know that you’re the best person to lead the firm, but does everyone else know it too? This section is your opportunity to provide important details about yourself—and the key players in your firm.

• Highlight your experience and the educational background details that set you apart.
• Add the same for other members of your team, if applicable, including what makes them right for their specific roles.
• If your practice is on the larger size, this section is a great place to add quick visual aids like an organizational chart.

5. Services

Outline the types of legal services your firm provides.

For example, if you practice family law, what will you provide in your portfolio of legal services—cohabitation agreements? Wills/estates? Pre-nups? 

You also want to include who your services are for. For example, you might offer legal tech services to start-up companies and high-tech clients.

When writing about your services it’s important to consider:

• What problems do your potential clients need your help with?
• How can your services uniquely help your clients solve their problems?
• What is the benefit of your services to clients?
• Why would potential clients choose your firm over another firm?

How to Start a Law Firm Checklist

Everything you need to start a law firm—in one checklist

6. Marketing strategy

Marketing is a critical part of your law firm , and your business plan. It helps you understand how to make your firm stand out from others, how much you need to charge, and how you’ll get the word out and attract new clients. Learn more about how to get new clients for law firms .

Consider including the following in your law firm marketing strategy:

• Ideal client : Where would you find your ideal client?
• Marketing goals : Detail what specific outcomes you hope to accomplish through marketing. Goals should include tactical objectives (more clients? Higher billing rates?) and overall objectives (like increased name recognition).
• Unique selling proposition : Restate what sets you apart and makes you uniquely able to best serve your clients.
• Competition : Detail who your competition is—and what they’re doing to gain clients. Analyze their marketing strategies and assess where the cost of your services fits in with your competitors.
• Action plan : List the specific actions your firm will take to reach your target market and achieve your marketing goals (this could include a media/advertising strategy).

It’s also important to consider that your marketing needs will be different depending on the current stage of your law firm. 

When starting your own law firm, then marketing for you might mean a lot of hustle—working referral relationships , identifying groups that you can get in front of for speaking engagements, blogging, and using social media to get your name in front of potential clients.

As you grow (or if you have existing marketing in place) you should be able to estimate the number of cases you will bring in through each channel. Then, you can quantify your marketing cost per client by dividing the total cost of that marketing effort by the number of cases you got from each marketing channel. For example, if you’re the only corporate lawyer in a small town, you’ll need to spend less on advertising than a family lawyer in a larger city.

Once you have an idea of the cost and effectiveness of your marketing efforts, implement a marketing tax on yourself—a percentage that comes out of every single case fee you collect, and that gets invested straight back into marketing efforts. 

This is a simple way to think about how much you need to be charging to fuel your revenue goals. It’s also an easy way to scale and grow your marketing budget.

Once you start mapping out this information, you’ll notice that a system starts to form, which connects your goals, the number of cases you need to bring in, the profit you need to make on each case, the money you need to re-invest in marketing, and the number of people or contract resources you will need to employ to keep growing.

Learn more about how to market your law firm with Clio.

7. Financial plan

The heart of your law firm business plan is the financial plan. After all, when it comes to your business, there may not be a more important question than, “How much does it cost to run your law firm?”

The key is to include as much specific financial information as possible—particularly if you’re seeking funding like taking out a bank loan. As you start out, this financial plan should include numbers for your first year.

This could include:

• Revenue goal : How much money you want to make broken down by month.
• Financial projections : What you’ll realistically expect to earn, how many cases you think you’ll have capacity to take on, and what you’ll be charging each client each month.
• Budget : A breakdown of your expenses and what your money will be going towards each month.
• Cash flow statement: What you actually earned and spent each month. This is different from your projections and budget and should be updated as the year progresses. You’ll find that you may have budgeted for something that cost you much less than you originally thought or made more in a month than you projected, these discrepancies should be recorded in your cash flow statement.

As you start it’s reasonable to make assumptions based on your goals. You should also review and update this document for your second year, third year, and so on as time goes on.

8. Start-up budget

If you’re creating a business plan for a new law firm, you need a realistic start-up budget. To do this, you’ll need to consider a number of up-front and day-to-day costs, and account for these in your revenue goals.

Here are a few examples of costs to include in your budget:

• Hardware (laptops, printers, scanners, office furniture, etc.)
• Practice management software and other technology services
• Office space (Will you rent, or work from home?)
• Malpractice insurance
• Staff salaries (Are you planning to hire an administrative assistant or paralegal?)
• Utilities (Phone, internet, etc.)

Once you’ve laid out all of these costs, take a second look. Are there places where you could reduce your operating costs, and in turn, increase your profit margins? There are also plenty of tools you can look at to help streamline non-billable tasks and leave yourself more time to practice law. Be sure to look at these options and work them into your operating budget.

Law firm business plan templates

Here are some links where you can find examples of business plans and business plan templates for law firms:

• Wy’East Law Firm
• Smith & Jones, P.A.
• Business Plan Workbook

Final thoughts on how to create a law firm business plan

Having a goal and understanding how to get there is essential for any lawyer deciding to hang their own shingle. Having a written business plan does a few key things:

• It creates a concrete explanation and breakdown of why you need to work a certain number of hours this week.
• It keeps you accountable to your goals and commitments.
• It serves as a comprehensive tool you can share with your firm, investors, and potential partners.

To learn more about how to start a law firm, be sure to check out our complete guide .

And again, remember that technology is a key part of any business plan. Watch how law firms use Clio in this on-demand webinar to learn how to set up an efficient and organized back office.

Written by: Lisa Dimyadi Last updated: July 5, 2024

How to Create a Law Firm Business Plan Aimed at Success

Want a successful law firm? Start with a solid business plan. Our guide covers everything that will help you create a roadmap for success.

A firm exists to serve people—so its business plan must take into account those it aims to help. A law firm's business plan lays out the key pillars that will support a practice, from operational details to marketing strategies to financial projections. Furthermore, it should provide a clear roadmap for where the firm hopes to be in the coming years.

In this blog,  we will guide you through the process  of creating a comprehensive law firm business plan that  will help you achieve your goals . Additionally, in our latest Grow Law Firm podcast, our host Sasha Berson conversed with Omar Ochoa, the founding attorney of Omar Ochoa Law Firm, to discuss the topic of creating a law firm business plan aimed at success. Be sure to listen to another insightful episode featuring Tom Lenfestey, where he discusses crafting a sellable and profitable law firm.

Why Is a Business Plan Important for Law Firms?

A business plan is a vital tool for any law firm to achieve success. It outlines goals, strategies, and the feasibility of business ideas, providing a clear direction and focus for the firm. The plan can be used to secure funding from investors or financial institutions by demonstrating the potential for growth and profitability.

Moreover, a business plan supports decision-making by evaluating the feasibility of new ventures and assessing potential risks and rewards. It helps to manage resources effectively by setting financial goals and tracking progress, ensuring the firm is making the most of its resources and achieving objectives.

Lastly, a law firm's business plan enables growth by identifying new opportunities and developing strategies to capitalize on them. By planning for the future and setting realistic growth targets, law firms can take their businesses to the next level. Overall, a well-developed business plan is critical for success in the legal industry, providing direction and focus, supporting decision-making, managing resources effectively, and enabling growth.

General Tips for Creating an Attorney Business Plan

Building a business plan for law firms is not an easy or intuitive process. By considering the following issues before opening your doors to clients, you have a much better chance of having a stable firm that matches your values and has a clear set of goals.

— Stay Focused

Forming a law firm can feel overwhelming. You have a lot of freedom and can easily get sidetracked into issues that either can wait or do not deserve your attention.

If having a strong law firm website design is important enough for you to include in your plan, you will spend time on that instead of less important matters.

A plan also includes a budget. The process of planning your firm's finances can ensure that you do not overspend (or underspend) as you start your own firm.

The attention to detail that comes from having a plan will help you avoid spreading yourself too thin by focusing on every issue or the wrong issues. Instead, you will maintain your focus on the important issues.

Whether you have law partners or develop a solo law firm business plan, the plan will help you stay focused on your end goals.

— Keep Track of Goals and Results

It is easy to set goals when you  start a law firm and then promptly forget about them.

Your plan will set out your goals and the metrics you will use to determine your progress toward meeting them. The plan should also explain how you will know when you have met them.

For example, you might have a growth goal of reaching five lawyers within two years. Or you might have a revenue goal of collecting $200,000 your first year.

Too many businesses, including law firms, meander on their developmental path. By setting goals and the path for meeting them, you will have guardrails to keep your firm on track.

"If you want to be the number one law firm in the country by revenue right in a 20 year time period, have that be your goal and everything that you do right is in service of that goal. You might not get there, but you're gonna find that you're gonna be very successful either way."

"If you want to be the number one law firm in the country by revenue right in a 20 year time period, have that be your goal and everything that you do right is in service of that goal. You might not get there, but you're gonna find that you're gonna be very successful either way." — Omar Ochoa

— Sort Out Your Own Law Firm Strategy

Developing a clear vision is important for establishing a strategic law firm plan aimed at long-term goals . As Omar Ochoa discusses in the podcast, having very specific milestone visions like where you want to be in five, ten, or fifteen years helps drive the strategy and actions needed to get there.

It's easy to say that you'll run your law firm better. But a plan actually helps you identify how to improve by articulating a concrete strategy. The process of creating the plan will help you pinpoint problems and solutions.

A plan forces consideration of operational details often overlooked. It equates to defining your firm's purpose and then pursuing that vision with purpose-driven strategies and actions. As Omar notes, marrying vision to action through knowledge of other successful law firm models is key to achieving goals.

One area that is frequently overlooked in plans is the inclusion of law firm marketing strategies . Developing this aspect is critical for attracting clients and sustaining growth.

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— Move Forward

You should view your plan as a law firm business development plan that will guide the formation and growth of your firm .

You can review the document periodically to remind you and your law partners of your growth and expansion projections. After this review, you can ensure your growth and expansion remain on track to carry you to your goals.

The review will also tell you whether you need to update your firm's goals. When you started your law firm, you might have been unduly pessimistic or optimistic in your projections. Once you have some time to operate according to your plan, you can update your goals to keep them realistic. You can also update your processes to focus on what works and discard what does not.

The review can provide your projections for what you hope to accomplish and the roadmap for accomplishing it.

Law Firm Business Plan Template

Each of the websites below includes at least one attorney business development plan template:

• Business Plan Workbook
• PracticePro
• Smith & Jones, P.A.
• Wy'East Law Firm

You can use a law firm strategic plan example from these sites to start your firm's plan, then turn the plan into a document unique to your circumstances, goals, and needs.

What to Consider before Starting Law Firm Business Plans

Before starting a law firm business plan, think through a few key issues, including:

— Setting the Goals

Reflect deeply on your firm's purpose. Think about who you represent and how you can best meet their needs. A law firm exists for its clients. As you think about your  law firm goals , think about goals for providing legal services to your clients.

"We continue to try to have the biggest impact that we can because ultimately, in my opinion at least, that's what lawyers are for, is to be able to help people and be able to move us forward." — Omar Ochoa

You need to set realistic and achievable goals. These goals should reflect your reasons for starting your law firm. Thus, if you started your law firm because you expected to make more money on your own than working for someone else, set some goals for collections.

While you are setting your goals, think about how you will reach them and the ways you will measure your success. For example, if you want to expand to include ten lawyers within three years, think about intermediate goals at the end of years one and two. This helps measure your progress.

— Choosing Partnership Structure

For lawyers considering a partnership structure, it's important to select partners that complement each other's strengths and weaknesses to help the firm function effectively.

There are 2 main partnership structure options:

• A single-tier model provides equal decision-making power and liability between partners.
• Meanwhile, a two-tier structure offers tiers like equity and non-equity partners, providing flexibility and career progression opportunities.

While similarly skilled individuals may clash, partners with differing abilities can succeed together. Some attorneys also choose to run their own firm for flexibility. This allows them to leverage different specialists through occasional joint ventures tailored for specific cases, without the constraints of a single long-term partnership. Furthermore, it highlights how the law firm partnership structures impacts freedom and sustainability.

— Thinking of the Revenue You Need

Calculate how much revenue you need to cover your overhead and pay your salary. Suppose your expenses include:

• $2,000 per month for office rent
• $36,000 per year for a legal assistant salary
• $600 per month for courier expenses
• $400 per month for a copier lease

Assume you want the  median annual salary for lawyers  of $127,990. You need $199,990 per year in revenue to cover your salary and expenses.

But revenue is not the end of the story. Your landlord, vendors, and employees expect to get paid monthly. So, you should also calculate how much cash flow you need each month to cover your hard expenses.

You also need a reserve. Clients expect you to front expenses like filing fees. Make sure you have a reserve to pay these costs and float them until clients reimburse you.

— Defining the Rate of Payment

You need to make some difficult decisions when it comes to setting your own fee structure. If you choose a higher billing rate, you will need to work less to meet your revenue goals. But you might not find many clients who are able to pay your fees.

Whether you charge a flat fee, contingent fee, or hourly fee, you should expect potential clients to compare your fees to those of your direct and indirect competitors. Remember, your firm competes against other lawyers, online services like  LegalZoom , and do-it-yourself legal forms books.

Finally, you need to comply with your state's rules of professional conduct when setting your fees. The  ABA's model rules  give eight factors to determine the reasonableness of a fee. These factors include the customary fee for your location and the skill required to provide the requested legal services.

— Making the Cases in Your Law Practice Meet the Revenue Needs

Figure out how much you need to work to meet your revenue target . If you charge a flat fee, you can simply divide your revenue target by your flat fee.

Hourly fee lawyers can calculate the number of hours they need to bill and collect. However, law firm owners rarely bill 100% of the hours they work due to the administrative tasks they perform to run a firm. Also, you will probably not collect 100% of your billings, and clients could take 90 days or longer to pay.

Contingency fee lawyers will find it nearly impossible to project the cases they need. You have no way of knowing the value of your cases in advance. You also have no idea when your cases will settle. You could work on a case for years before you finally get paid.

The Founder of Omar Ochoa Law Firm

Omar Ochoa is a founding attorney with extensive experience in complex litigation, including antitrust, class actions, and securities cases. He has recovered hundreds of millions of dollars for clients and has been nationally recognized as one of the best young trial lawyers in the country.

Omar graduated from the University of Texas at Austin with degrees in business administration, accounting, and economics. He later earned his law degree from the university, serving as editor-in-chief of the Texas Law Review. He has clerked for two federal judges and has worked at the prestigious law firm Susman Godfrey L.L.P. Omar is dedicated to seeking excellence. He has been recognized for his outstanding achievements in antitrust litigation.

Parts of a Business Plan for Law Firm Formation: Structure

A law firm business plan is a written document that lays out your law firm goals and strategies.

For many businesses, a business plan helps secure investors. But the ethical rules prohibit law firms from seeking funding from  outside investors or non-lawyer shareholders .

Your business plan is for you and your law partners. It will help you manage everyone's expectations and roles in the firm. Here is a law firm business plan example to help you see the parts and pieces in action.

— Executive Summary

An executive summary combines the important information in the business plan into a single-page overview. Your plan will include details like projections, budgets, and staffing needs. This section highlights the conclusions from those detailed analyses.

Your executive summary should include :

• A mission statement explaining the purpose of your firm in one or two sentences
• A list of the core values that your firm will use whenever it makes decisions about its future
• The firm's overarching goals for itself, its lawyers, and the clients it serves
• The unique selling proposition that sets your firm apart from other firms in the legal industry

You should think of this section as a quick way for people like lenders, potential law partners, and merger targets, to quickly understand the principles that drive your firm.

— Law Firm Description and Legal Structure

First, you will describe what your law firm does. You will describe your law practice and the clients you expect to serve.

Second, you will describe how your firm operates. The organization and management overview will explain your legal structure and the management responsibilities of you and your law partners.

This section should fill in the details about your firm's operation and structure by:

• Describing the scope of the legal services you offer and your ideal clients
• Restating your mission statement and core values and expanding upon how they will guide your firm
• Explaining your location and where your clients will come from
• Describing your business entity type and management structure
• Detailing your unique selling proposition , including the features that distinguish your firm from your competitors

When someone reads this section, they should have a clear picture of what you will create.

— Financial Calculations

Your attorney business plan explains where your firm's revenue comes from and where it goes. This is where your skills as a lawyer begin to diverge from your skills as a business owner. You may need to learn a few new accounting concepts so you can perform the analyses expected in a financial plan.

You will need a  financial plan  for at least the first year.

If you plan to seek a bank loan or line of credit, your bank may need a financial plan that covers three years or longer.

You will need more than a few rough numbers for a useful business plan. Instead, you will need to estimate your expenses and revenues as accurately as possible.

"Take some financial statements courses, take some managerial accounting courses that teach you how to track costs, how to frame costs in a way that you're looking at the important costs." — Omar Ochoa

You might need to contact vendors and service providers to get precise costs. You will probably need to track your billings with your prior firm to predict your revenues. If you are opening a law firm after law school or an in-house job, you may need a competitive analysis to show what similar law firms earn in your location and practice area.

Some reports you may need in your business plan include:

• Revenue analysis listing the fees you will collect each month
• Budget describing your monthly and annual expenses
• Financial projections combining the revenue analysis and budgeted expenses to predict your profit margins
• Cash flow statement showing how your revenues and expenses affect your cash on hand.

Your cash flow statement might be the most important financial report because it explains how your bank balance will fluctuate over time. If your clients take too long to pay their bills or you have too many accounts payable due at the same time, your cash flow statement will show you when money might get tight.

— Market Analysis

A market analysis will tell you where you fit into the legal market in your location and field. You need a competitive analysis to understand the other lawyers and law firms that will compete with you for potential clients. You can also analyze their marketing messages to figure out how to stand out from the competition.

A competitive analysis will tell you what services other firms offer, how much they charge, and what features help your competitors succeed.

Your analysis should include a discussion about your :

• Ideal clients and what you can do to help them
• Market size and whether you offer something clients need
• Competitors and what they offer to clients
• Competitive advantages and how you can market them to potential clients

You can also develop and hone your marketing strategy based on the benefits you offer to clients over your competitors. Finally, a market analysis can tell you the locations and practice areas in which your firm may expand in the future.

Your market analysis helps you focus your efforts on your legal niche.

— Marketing Plan

A marketing plan sets out the steps you will take to reach your target market. Your marketing strategy will take your market analysis and turn it into a plan of action.

You will start with the results of your market analysis identifying your clients, your competitors, and your competitive advantages. You will then discuss the message you can deliver to potential clients that captures the advantages you have over your competition.

Some advantages you might have over other lawyers and law firms might include tangible benefits like lower billing rates or local office locations. Other advantages might provide some intangible benefits like more years of experience or state-bar-certified specialists in those states that allow specialization.

You will then discuss your marketing plan. A marketing plan explains :

• Characteristics of the target market you want to reach
• What your competition offers
• The distinct benefits you offer
• A message you can use to explain what separates you from your competition
• Your action plan for delivering your message
• Your goals for your action plan, such as the number of client leads, new clients, or new cases per month

Your action plan will include the marketing channels you want to use to spread your message. Marketing specialists can help you identify the best channels for your marketing message and client base.

For example, if you practice intellectual property law, you need to reach business owners and in-house lawyers who want to protect their companies' brands, inventions, artistic works, and trade secrets. A marketing agency may help you create a marketing strategy geared toward trade publications and business magazines.

However, IP lawyers require an entirely different marketing strategy than firms that practice family law. Family lawyers need to market to individuals and will tailor their marketing efforts toward different marketing channels and messages.

Even if you expect most of your client leads to come from referrals, you still need brand recognition for those leads to find you. You should consider a website, basic SEO, legal directory, and bar association listings.

— Your Law Firm Services

You will outline the services your law firm offers to clients. Lawyers with established clients and an existing legal practice can simply describe what they already do.

Any new law firm or lawyer transitioning from other practice areas should consider:

• Practice areas you know and enjoy
• Overlapping practice fields that will not require extra staff, such as personal injury and workers' comp
• Related legal services your clients may need, such as wills and guardianship

By offering needed services you can competently provide, you can gain clients and avoid referring existing clients out to other lawyers.

— Your Law Firm Budget

You should approach your budget as a living document. You will spend more money as you add more lawyers and staff members to your firm. But you can also look for ways to reduce your operating costs through investments in technology services and other cost-saving measures .

Your budget should set out the amount you expect to initially spend on start-up expenses. As you create your start-up budget, remember many of these expenses are not recurring. Furniture, computers, and office space build-outs can last several years. In short, your budget should answer the question, "What do you need to open a law firm?"

It should also lay out the amount you plan to spend each month to operate your firm. Here, you will include your recurring expenses, such as rent, staff salaries, insurance premiums, and equipment leases.

Using your operating budget, you will determine the amount of money you need to start and run your firm. This, in turn, will tell you whether you need to take out a loan or tap into your savings to start your law firm. You will need a plan for paying your expenses and day-to-day costs while your firm gets onto its feet.

Let us help you create a digital marketing strategy and a growth plan

Some Useful Tips on Creating a Business Plan for Law Firm Creation and Development

As you draft your law firm business plan, you should focus on the process. By putting your thoughts down in writing, you will often identify issues you had not previously considered.

Some other tips for drafting your business plan include:

— Describe Both Strengths and Weaknesses

You want to project confidence as you prepare your business plan. Remember, you will use this plan to approach potential law partners, lenders, and merger targets. You need to show that you have a solid plan backed up by your financial projections.

At the same time, you need to remain realistic. Write a business plan that describes your business challenges as well as your competitive advantages.

For example, if you have a strong competitor that has a solid  law firm reputation management  and many of the clients you will target, acknowledge the difficulty of getting those clients to switch law firms. Describe your marketing strategies for approaching and pitching your law firm to those clients.

— Think Ahead

Remember that your business plan sets out the roadmap for both the establishment and operation of your law firm . Think about issues that could arise as your firm grows and matures.

For example, you may have a goal of reaching ten lawyers in three years. But as your staff grows, you may need a human resources manager. You may also seek to handle your payroll in-house instead of outsourcing it to a payroll provider. These changes will create ripple effects throughout your business plans. You will incur costs when you add staff members. You will also realize benefits like increased attorney efficiency.

At the same time, any projections more than five years into the future will likely be useless. Your firm and its clients will evolve, and technology will change how you practice law.

"A law firm that actually does something in the unique way that is an actual measurable advantage to their clients or to their firm." — Tom Lenfestey

— Be Clear about Your Intentions

As you develop your plan, you should keep its purpose in mind. First, you want to outline your core values and goals for your law firm. Set out the reasons why you started your law firm and what you intend to accomplish with it.

"You can't just be doing something because you want prestige. There's gotta be more to that, right? You have to have a purpose that you're following. And if you've got that, that purpose is like gravity, right? You will always be grounded." — Omar Ochoa

Second, you set out your path to achieving those goals. This will include boring technical information like how much you spend on legal research every month. But it will also explain your approach to solving problems consistent with your mission statement and philosophy for law firm management.

— Consult and Update If Necessary

Your plan should guide you as you build your firm. It contains your goals and the roadmap for reaching them. But your plan is not carved in stone.

As you face challenges, you will consult your plan to make sure you approach these challenges in a way consistent with achieving your goals. But under some circumstances, you might find that the plan no longer provides the right solution.

As you work with your firm and your law partners, your goals, processes, and solutions to problems may evolve. The technology your firm uses may change. Your law firm's costs may go up with inflation or down as you realize economies of scale. You should update your plan when this happens.

— Develop a Succession Plan for Your Law Firm

Creating a succession plan for a law firm is essential for ensuring a smooth transition and preserving the firm’s value. Drawing from the experiences of professionals in other fields, it is clear that lawyers often face unique challenges in succession planning. A well-structured exit strategy can help lawyers realize the value of their practice, whether they plan to retire or pursue other interests.

Firms generating over $2 million in revenue typically have invested in systems that make them more attractive and easier to transition. These systems are crucial in creating value and attracting buyers. A transition-based sale, where the selling attorney remains involved for a period, ensures a smooth handover of clients and referral sources, reducing the risk of value loss. Additionally, specialized, systematized, and profitable firms command higher valuations. By investing in robust systems and considering your exit strategy early, you can create lasting value, financial security, and peace of mind, making your law firm more sellable in the future.

Building High-Value Law Firms with Tom Lenfestey, the CEO of Law Practice Exchange

This podcast episode features a discussion between Sasha Berson and Tom Lenfestey about the Law Practice Exchange, a marketplace for buying and selling law firms. Tom, an attorney and CPA, explains how his experience with other professionals inspired the creation of this marketplace. They discuss the importance of building systems to enhance a firm's value, the challenges of succession planning, and strategies for creating a smooth transition and maximizing value during a sale.

"You make more money with hopefully more consistency and less stress. And so that's also part of it is enjoy it. Build to better, right, overall, but build that firm that you want." — Tom Lenfestey

Tom Lenfestey

The CEO of Law Practice Exchange

Tom Lenfestey is an attorney and CPA who founded the Law Practice Exchange, a marketplace for buying and selling law firms. With a background in assisting dentists and CPAs in selling their practices, Tom identified the need for a similar platform for lawyers. His work focuses on helping attorneys realize the value of their practices, providing structured exit strategies, and facilitating smooth transitions.

Final Steps

There is no recipe for creating a business plan for law firm development. What goes into your mission statement and plan will depend on several factors, including your law firm's business model. But this is a feature, not a bug of developing a business plan.

The process of business planning will help you develop solutions to issues you might have overlooked. If you have law partners, just going through the process of creating a law firm business plan can ensure that everyone is on the same page.

As you create your plan, the process itself should provoke thoughts and ideas so you can have a unique law firm tailored to your goals and values. This will help you get exactly what you wanted when you started in the legal industry.

To learn how to expand your client base as your firm grows, check out Grow Law Firm, a professional  law firm SEO agency .

• Easy steps you can take to bring in more clients and up this year’s revenue
• The top website and marketing mistakes holding your law firm back

Find out how much demand there is in your geographical area

To view the calculation tailored to your law firm's needs, please provide your email address

Consult with Sasha Berson, a legal marketing expert , to address your marketing needs.

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Starting a law firm can be a rewarding and lucrative venture, but it requires careful planning and strategy. A well-crafted business plan is a crucial tool for any law firm looking to establish itself, secure funding, or grow its practice. The business plan will serve as a roadmap, outlining the law firm’s objectives, strategies, and unique selling proposition

Why Every Law Firm Needs a Business Plan

A well-structured business plan is imperative for every law firm, regardless of its size or specialization. While legal expertise is undoubtedly crucial, having a clear vision and strategic direction is equally essential. A business plan serves as a guiding light, defining the firm’s mission, values, and long-term goals. This clarity is vital for aligning the entire firm towards a common purpose, ensuring that everyone understands the objectives and the path to achieving them. Without a business plan, a law firm may find itself navigating uncertain waters, reacting to circumstances rather than proactively pursuing its ambitions.

The Key Components of a Law Firm Business Plan

A well-structured law firm business plan consists of several key components, each playing a crucial role in guiding the firm’s operations and ensuring its long-term success. Here are the essential elements of a comprehensive law firm business plan:

• Executive summary
• Law firm description
• Market analysis
• Organization and management
• Services 
• Marketing Strategy
• Financial plan
• Start-up budget

Section One: Executive Summary

The executive summary is arguably the most critical section of your law firm’s business plan. While it appears at the beginning, it is often written last, as it serves as a concise yet comprehensive overview of your entire plan. This section should capture the reader’s attention, providing them with a clear understanding of your law firm’s essence, mission, and what to expect from the rest of the document. In your executive summary:

• Introduce your law firm: Briefly describe your law firm’s name, location, and legal specialization.
• Mission and vision: State your firm’s mission and vision, highlighting your commitment to serving clients’ legal needs effectively.
• Your unique selling proposition: Clearly state your USP, and present what is unique about your firm that will ensure success.

The executive summary sets the stage for your entire business plan. It should be a concise yet compelling introduction to your firm’s mission, values, and potential. If crafted well, it can grab the reader’s attention and encourage them to explore other sections in detail. If you feel overwhelmed by this, you can write this section last. 

Section Two: Law Firm Description

This section of your business plan provides a deeper dive into your firm’s background, history, legal specializations, and legal structure and ownership. This section should provide a concise yet informative overview of your firm’s identity and history. Here’s what this section should cover:

• Mission Statement: Briefly reiterate your law firm’s mission statement. This statement should encapsulate your firm’s overarching purpose and guiding principles.
• Geographic Location: State out the physical location of your law firm’s office(s). This should include the city or region where your primary office is situated.
• Legal Structure and Ownership: State the legal structure of your law firm, whether it’s an LLC, S-Corp, or another legal entity. This choice is a fundamental aspect of your business model, influencing ownership, liability, and taxation. If your firm’s ownership is not that of a sole proprietorship, provide details on the ownership structure. Explain how the chosen structure aligns with your firm’s business model, decision-making processes, and long-term goals.
• Firm History: Provide the history of your law firm. Highlight key milestones, achievements, and notable moments in your firm’s journey. If your firm is well-established, briefly summarize its history, showcasing your accomplishments and contributions to the legal field.

Remember that brevity is key in this section. Don’t spend too much time, just touch on important points and achievements. 

Section Three: Market Analysis

A well-conducted market analysis will not only demonstrate your understanding of the legal industry but also inform your law firm’s strategies and decision-making. It goes beyond understanding your competition; it delves deep into your potential clients’ needs and expectations. 

Through market analysis, you can segment your target market based on demographics, industry, legal needs, and preferences. This segmentation allows you to tailor your services to meet the specific needs of different client groups. It also helps you identify the pain points and challenges that potential clients face. By understanding their concerns, you can offer solutions that directly address these pain points.

Your market analysis should also reveal the pricing strategies of your competitors. By benchmarking your pricing against theirs, you can position your services competitively. You can choose to price higher if you offer unique value or lower if you aim to attract price-sensitive clients. Your market analysis should reveal areas where your competitors may be falling short. Use this information to frame your services as the solution to these weaknesses. For example, if competitors have slow response times, emphasize your firm’s commitment to timely communication. 

Showcase your firm’s USPs that directly address client needs and preferences. If you excel in a particular practice area, have a reputation for excellent client service, or offer innovative fee structures, use these strengths to attract your preferred clientele. Ultimately, a well-documented market analysis not only informs your law firm’s business model but also guides your approach to client acquisition, pricing, and service delivery. It ensures that your legal services align with client expectations and positions your firm for success in a competitive legal industry

Section Four: Organization and Management

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This section provides a clear picture of your firm’s internal structure and leadership. Name the key stakeholders in your law firm and what they bring to the table. Highlight any unique experiences or expertise that each partner brings to the firm. This could include prior work at prestigious law firms, involvement in landmark cases, or specialized knowledge in a specific area of law. Explain how these experiences set your firm apart and enhance its capabilities. You can also include an organizational chart that visually represents your law firm’s structure. This chart should showcase the hierarchy, roles, and reporting lines within the firm. By including the names, educational backgrounds, unique experiences, and organizational chart, you paint a comprehensive picture of your law firm’s leadership and structure. This not only builds confidence in your team’s capabilities but also showcases the depth and expertise of your staff to potential clients, partners, or investors.

Section Five: Services

This section is the core of your law firm business plan. Here, you will go into detail about all aspects of your services. Present in simple words:

• The problem(s) your law firm is addressing and your approach to how to alleviate those pain points? Answer these questions, and provide in detail how your firm is in the best position to tackle this problem. 
• The solution(s) you are providing. This should describe how your law firm resolves your prospective market’s needs. This should include the work you do, and the benefits that each client will receive if they work with your firm. 
• Your law firm competition.  This should describe what advantages your law firm has over your competitors? What you do differently when providing your solutions and how your clients will gain additional benefits when they work with your law firm.

Section Six: Marketing Strategy

As you craft your business plan, keep these four essential questions in mind:

• What Is Your Firm’s Value Proposition? Clearly define what sets your law firm apart from others. This should guide your marketing and sales strategies, emphasizing the unique value you offer to clients.
• Who Is Your Target Audience? Identify your ideal client profile. Understanding your target audience helps tailor your marketing efforts to reach those most likely to benefit from your services.
• What Are Your Growth Goals? Set specific, measurable growth goals for your firm. These goals should inform your sales and marketing strategies, outlining how you plan to achieve them.
• How Will You Measure Success? Determine key performance indicators (KPIs) to measure the success of your marketing and sales efforts. Whether it’s tracking client acquisition rates, website traffic, or revenue growth, having measurable metrics will help you gauge your progress and make informed adjustments.

It is also valuable to perform a SWOT analysis (Strengths, Weaknesses, Opportunities, Threats) to assess your law firm’s internal and external factors. Describe your online marketing efforts, including your website, social media presence, and email marketing campaigns. Explain how you plan to leverage marketing  to reach and engage potential clients effectively. You should also define your pricing structure and fee arrangements. This may include hourly rates for specific legal services, retainer agreements for ongoing representation, or flat fees for standardized services. 

Section Seven: Financial Plan

If you want to expand your law firm and ensure a steady income, it’s essential to create a financial strategy for your practice. While you might not have all the answers regarding your firm’s finances, provide comprehensive details. Your goal should be to establish a financial plan, particularly for the initial year of your firm’s operation.

Provide comprehensive financial projections that cover the anticipated income, expenses, and cash flow for your law firm. These forecasts should offer a clear picture of how your firm expects to perform financially. You should also Incorporate income statements, which show your firm’s revenue and expenses, balance sheets that detail your assets and liabilities, and cash flow projections, which illustrate how money moves in and out of your business. These financial statements offer a holistic view of your firm’s financial health.

Explain the assumptions underlying your financial projections. This may include factors like growth rates, market trends, client acquisition strategies, and pricing models. Describe your strategies for achieving growth and how they translate into financial outcomes. This section is critical for demonstrating your law firm’s financial preparedness and sustainability. Investors, lenders, or partners will scrutinize these sections to assess the viability of your firm, making it essential to provide detailed and well-supported financial information.

Section Eight: Start-up Budget

When developing a business plan for your law firm, it is essential to create a realistic startup budget. This involves carefully considering various initial and ongoing expenses and factoring them into your revenue objectives. Here are some instances of expenses to incorporate into your budget:

• Hardware costs, such as laptops, printers, scanners, and office furniture.
• Office space expenses, whether you plan to rent space or work from home.
• Malpractice insurance fees.
• Staff salaries, including potential hires like administrative assistants or paralegals.
• Utility expenses, covering phone and internet services, among others.
• Expenses on practice management software or other tech tools

After itemizing these costs, review them thoroughly. Clearly state the total amount of funding you require to start and sustain your law firm. Explain how this funding will be allocated, including how much goes into covering startup costs and how much is reserved for ongoing operations. Be specific about the purpose of each funding component. 

Additionally, explore tools and solutions that can streamline non-billable tasks, freeing up more time for your legal practice. This not only enhances your overall productivity but also allows you to allocate more time to your legal practice. One exceptional solution that can significantly benefit your law firm operations is a legal practice management software. 

DigitsLaw: The Legal Practice Management Software for Law Firms

DigitsLaw is an all-in-one practice management software that streamlines and simplifies the day-to-day operations of a law firm. Whether you are a small firm or you have law firms in major cities, DigitsLaw can meet the unique needs of your legal practice. Our simple and intuitive tool offers a wealth of features that can make a substantial difference in the success and efficiency of your firm.

Here’s how DigitsLaw can help your new law firm scale:

• Effortless Case Management: DigitsLaw simplifies case management by centralizing all your client information, documents, and communications in one secure location. This ensures that you have easy access to everything you need, right at your fingertips.
• Time Tracking and Billing: With DigitsLaw, tracking billable hours and generating invoices is seamless. You can accurately record your time, expenses, and activities, allowing for transparent and error-free billing processes.
• Conflict Check: DigitsLaw provides a robust conflict check system that assists law firms in maintaining ethical standards and preventing conflicts of interest. By incorporating DigitsLaw conflict check capabilities into your law firm’s workflow, you can enhance your due diligence processes, reduce the risk of conflicts of interest, and uphold the highest ethical standards in your legal practice. 
• Client Collaboration: Foster better client relationships through DigitsLaw’s client portal . Clients can securely access case information, share documents, and communicate with your firm, enhancing transparency and trust.
• Legal Document Management: Say goodbye to the hassle of paper documents and disorganized files. DigitsLaw enables efficient document storage, organization, and collaboration, saving you time and reducing the risk of errors.
• Secure and Compliant: DigitsLaw prioritizes security and compliance, ensuring that your client data and sensitive information are protected at the highest standards.

By leveraging DigitsLaw’s capabilities, you can significantly reduce administrative overhead, minimize errors, and provide a more streamlined and responsive experience for your clients. It’s a strategic investment that will pay dividends as your firm grows and prospers.

Sample Business Plan and Fillable Template

If you’re in the early stages of creating your business plan, we’ve prepared an example that can serve as a reference. You can also download a blank version of our template here. Remember to tailor your plan to your specific requirements and objectives. 

Download your copy of our law firm business plan template HERE

Final thoughts.

In conclusion, crafting a law firm business plan is not just a formality; it’s a roadmap that guides your firm toward success. Whether you’re launching a new law firm or seeking to revitalize an existing one, a well-thought-out plan helps you.  From defining your firm’s mission and values to conducting a thorough market analysis every section of your plan plays a crucial role in shaping your law firm’s journey. It’s not just about impressing potential investors; it’s about setting clear goals, making informed decisions, and ensuring that your firm is well-prepared for the challenges and opportunities that lie ahead.

As you start planning, remember that your business plan is a living document. It should evolve and adapt as your firm grows and the legal industry changes. Regularly revisit and update your plan to stay aligned with your mission, serve your clients better, and achieve your long-term vision.

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Ultimate Legal Business Plan Sample: Your Key To Success

Every year, countless legal businesses fail due to poor planning. Crafting a robust business plan can be the lifeline your practice needs. Just how essential is a well-crafted plan for your firm’s survival and growth?

A comprehensive legal business plan has roots dating back to the industry’s early days. Reports indicate that firms with detailed business plans are 30% more likely to grow. This document not only guides your operations but also opens doors to potential investors and partners.

Ultimate Legal Business Plan Sample: Your Key to Success

Creating an effective legal business plan starts with a detailed blueprint for success. A well-crafted plan helps secure funding , attract clients, and guide day-to-day operations. It contains all the essential elements to keep a law firm running smoothly. By addressing key areas like market analysis and financial planning , you create a path for growth.

One crucial element is defining your firm’s vision and mission. This gives direction to your business and helps align all activities with your core goals. Make sure to write a clear and concise mission statement reflecting your firm’s values. This will inspire your team and attract clients who resonate with your vision.

Knowing your target market is another vital part of your business plan. Identifying and understanding your clients helps you tailor your services to meet their needs. Use market research to analyze trends and assess competition. This allows you to position your firm strategically in the market.

Financial planning is also critical for a legal business plan. Include detailed budgets and financial forecasts to keep track of income and expenses. This helps in making informed decisions and ensuring financial stability. Regularly review and update your financial plan to adapt to changing circumstances.

The Core Elements of a Successful Legal Business Plan

An effective legal business plan starts with a strong executive summary. This section provides an overview of your firm’s goals and strategies. It should be clear and compelling to grab the reader’s attention. Include key points that highlight your firm’s unique value proposition. This section sets the stage for the detailed components that follow.

Next, focus on market analysis. This involves researching your target market and understanding industry trends. Use data to identify your competitors and potential clients. This information helps you position your firm strategically within the market. A thorough market analysis guides your marketing and operational decisions.

Your business plan should also include an organizational structure. Define the roles and responsibilities within your firm. This helps in managing tasks efficiently and clarifies the reporting hierarchy. Include a table for easy reference:

Finally, don’t forget the financial statement section. This includes budget forecasts, startup costs, and revenue projections . Provide detailed financial statements to showcase your firm’s stability and profitability. This section is critical for attracting investors and securing loans. Regular updates here ensure your business plan stays relevant and accurate.

Establishing Your Firm’s Vision and Mission

Creating a clear vision for your firm is the first step in establishing its future. A vision statement defines what your firm aspires to achieve in the long term. It’s a guiding star that informs all major decisions. When crafted effectively, it inspires everyone involved. It gives a sense of purpose to your team and sets the tone for your firm’s culture.

Unlike a vision statement, a mission statement focuses on the present. It describes what your firm does, who it serves, and how it stands out from competitors. A well-articulated mission statement clarifies your firm’s purpose and direction. This boosts employee morale and attracts clients. Both statements should be concise and memorable.

To create a meaningful vision and mission, involve your team in the process. Gather input from different roles to ensure a comprehensive perspective. Use brainstorming sessions or workshops to develop these statements. This approach fosters a sense of ownership and alignment among team members. Here are key components to include:

• Core values and principles
• Target audience and market
• Unique selling point ( USP )

Once established, communicate your vision and mission consistently. Display them prominently in your office and on your firm’s website. Incorporate them into daily operations and strategic planning. Regularly revisit and refine these statements as your firm evolves. This ensures they remain relevant and effective in guiding your firm’s growth.

Identifying Your Target Market

Knowing your target market is crucial for the success of your law firm. It starts with defining who your ideal clients are. Consider factors like age, location, income, and occupation. Understanding these demographics helps in tailoring your services to meet their specific needs. It also aids in crafting effective marketing strategies.

Market research is the next step in identifying your target market. This involves collecting data on industry trends, client preferences, and competitor strategies. Use surveys, interviews, and online tools to gather this information. Analyzing this data provides insights into what your potential clients want. It also reveals opportunities for your firm to stand out in the industry.

Segmenting your market into distinct groups can make your efforts more efficient. Create profiles or personas for each segment, detailing their unique characteristics. This allows you to tailor your marketing messages and services for each group. For example, a family law firm might have segments for newlyweds, parents, and retirees. Each group will have different needs and preferences.

Understanding your competitors is another key part of market identification. Analyze what other law firms in your area are offering and how they are marketing their services. This can help you find gaps in the market that your firm can fill. Knowing your competitors’ strengths and weaknesses allows you to position your firm more effectively.

Here are some tools that can assist you in identifying your target market:

• Google Analytics
• SurveyMonkey
• CRM systems
• Social media insights

Regularly revisiting your market research and client profiles is essential. Markets evolve, and client needs change over time. Keeping your target market updated ensures your firm remains relevant and competitive. This continuous process helps adapt your strategies to new trends and preferences.

Framing Your Marketing and Growth Strategy

Developing an effective marketing and revenue growth strategy is vital for your law firm’s success. Start by setting clear and achievable goals. These could range from increasing client acquisition to boosting your firm’s online presence. Having well-defined objectives gives your strategy direction and purpose. It allows you to measure progress and make necessary adjustments.

Creating a comprehensive marketing plan involves multiple components. First, identify the channels that will best reach your target audience. These might include social media, email marketing, or local advertising. Using a mix of channels ensures a wider reach and higher engagement. Tailor your messages to fit each platform for maximum impact.

Content marketing should be a cornerstone of your strategy. Quality content attracts and retains clients by providing valuable information. Types of content you can create include:

• Case studies
• Newsletters

Regularly updating your content keeps your audience engaged and informed.

Networking and partnerships can also fuel your firm’s growth. Building relationships with other legal professionals and businesses can lead to referrals and collaborations. Attend industry events and join professional organizations to expand your network. Strong partnerships often lead to mutually beneficial opportunities.

Finally, track your marketing performance using analytics. Tools like Google Analytics and CRM systems provide insights into what works and what doesn’t. Use this data to refine your marketing efforts continually. Regularly reviewing your strategy ensures it remains effective and aligned with your firm’s goals.

Financial Planning: Budgeting and Forecasting

Effective financial planning is crucial for the sustainability of your law firm. Start by creating a detailed budget. This involves listing all your expenses, from salaries to office supplies. Having a budget helps you manage your cash flow and avoid unexpected shortfalls. It also provides a roadmap for your financial activities throughout the year.

Forecasting is another essential part of financial planning. Forecasts predict future revenue and expenses based on historical data and market trends. This helps you prepare for upcoming financial needs and opportunities. Accurate forecasting allows you to make informed decisions about investments and growth. Regular updates to your forecasts keep them relevant and useful.

To simplify the process, use financial management tools. Software like QuickBooks or Excel can help in tracking and analyzing your financial data. These tools can generate reports, giving you a clear view of your firm’s financial health. Here are some key financial metrics to monitor:

• Revenue growth
• Profit margins
• Expense ratios

Keep in mind that financial planning is not a one-time task. Regularly review your budgeting and forecasts to adapt to changes. This includes updating your plans based on actual financial performance and market conditions. Consistent financial monitoring helps you stay on top of your firm’s financial stability.

Financial planning also involves setting aside reserves for unexpected expenses. Building a financial cushion can help you manage temporary downturns and maintain operations. Plan for short-term and long-term needs to secure your firm’s future. With a solid financial plan, you can confidently steer your firm toward success.

Reviewing and Refining Your Legal Business Plan

Regularly reviewing your legal business plan is essential for staying on track. The industry evolves, and so should your strategies and goals. Set a schedule to review different sections of your plan, perhaps quarterly or annually. This ensures you address any outdated information promptly. A well-maintained plan can guide your firm more effectively toward success.

During the review process, gather input from team members. Multiple perspectives can help identify strengths and weaknesses in the current plan. Use their feedback to make necessary adjustments. Consider organizing a meeting to discuss these insights collectively. Collaboration fosters a sense of ownership and commitment among staff.

Analyzing key performance metrics will also inform your review process. Focus on metrics such as client acquisition costs, revenue growth, and profit margins. These figures indicate whether your strategies are working or need adjustment. Here’s an example table:

A critical aspect of refining your business plan is adapting to new market conditions. Stay updated on changes in laws, technology, and client expectations. Adjust your marketing strategies, service offerings, and operational procedures as needed. Being flexible allows you to seize opportunities quickly while mitigating risks.

Your business plan should be a living document that grows with your firm. Write down all changes made during reviews for future reference. Regular updates keep the plan aligned with current goals and challenges. This proactive approach ensures continuous improvement.

Frequently Asked Questions

Here are some common questions about creating a successful legal business plan. These answers will help you understand the key components and their importance.

1. Why is an executive summary important in a legal business plan?

An executive summary offers a quick overview of your entire business plan. It highlights essential aspects like goals, strategies, and unique selling points. Investors and stakeholders often read this section first to gauge the viability of your firm.

The clarity provided by a strong executive summary can make or break initial interest. It’s vital for securing funding and support, as it paints a clear picture without delving into details initially.

2. How does market analysis benefit my legal business plan?

Market analysis helps you understand your target audience and industry trends. This data is crucial for tailoring your services to meet client needs effectively. It involves researching competitors, potential clients, and market conditions.

With detailed market analysis, you can identify gaps in the market that your firm can fill. It also aids in crafting marketing strategies that resonate with your target audience, enhancing client acquisition and retention.

3. What should be included in the organizational structure of a legal business plan?

The organizational structure outlines roles and responsibilities within your firm. This includes titles like Managing Partner, Senior Attorney, and Paralegal along with their specific duties. Clear organization helps streamline operations and clarifies reporting lines.

A well-defined structure ensures everyone knows their roles, leading to efficient workflow management. It also provides clarity for new hires on where they fit within the organization.

4. Why is financial planning critical for my legal business?

Financial planning is essential for managing cash flow, expenses, and revenue forecasts. A solid financial plan includes detailed budgets that guide spending throughout the year. This ensures you have enough resources for both expected costs and unexpected situations.

It also helps in making informed decisions regarding investments or expansions. Regularly updating financial plans based on actual performance keeps your business financially healthy.

5.What role do vision and mission statements play in a legal business plan?

A vision statement defines what your firm aims to achieve long-term while a mission statement focuses on its current purpose.It serves to align all activities with core goals.Mission statements define why your firm exists which boosts employee morale.

Together these statements guide decision-making ensuring all actions contribute towards fulfilling broader objectives.They build inspiration attracting clients who share same values fostering team commitment.

Crafting an effective legal business plan is fundamental to your firm’s success. It provides a clear roadmap, outlining your vision, mission, and strategies. Regularly updating the plan helps you adapt to changes and seize new opportunities.

From financial planning to market analysis, each component plays a critical role. Involving your team in the process fosters a sense of ownership and alignment. Together, a well-drafted business plan and a committed team can drive your firm toward long-term success.

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Supplementary information:, table of contents, a. program description, 1. overview, 2. definitions of key terms, b. federal award information, 1. available award amount & special funding set-asides, 2. award size, a. award minimums and planning exception, 3. award type, 4. concurrent applications, c. eligibility information, 1. eligible applicants, 2. cost sharing and matching, 3. eligible projects, a. the following are eligible under this nofo, b. project component, c. application tracks, d. rural or tribal lands project, d. application and submission information, 1. address to request application package, 2. content and form of application submission, a. project narrative, b. additional application elements, c. post-selection requirements, 3. unique entity identifier and system for award management (sam), a. register with the sam at www.sam.gov, b. obtain a unique entity identifier, c. create a grants.gov username and password, d. acquire authorization for your aor from the e-business point of contact (e-biz poc), e. submit an application addressing all requirements outlined in this nofo, 4. submission dates and times, 5. intergovernmental review, 6. funding restrictions, 7. other submission requirements, e. application review information, 1. criteria, a. eligibility and completeness, b. evaluation criteria, merit criteria ratings—project readiness, merit criteria ratings—technical merit, merit criteria ratings—project benefits, c. selection criteria, i. fra will give preference to eligible projects that—, administration priorities, 2. review and selection process, 3. reporting matters related to integrity and performance.

• F. Federal Award Administration Information  20

1. Federal Award Notices

2. administrative and national policy requirements, a. federal contract compliance, b. critical infrastructure security, cybersecurity and resilience, c. domestic preference requirements, d. civil rights and title vi, 3. reporting, a. progress reporting on grant activity, b. additional reporting, c. performance and program evaluation, d. performance reporting, e. program evaluation, f. project signage and public acknowledgements, g. federal awarding agency contacts, h. other information, enhanced content - submit public comment.

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Federal Railroad Administration (FRA), Department of Transportation (DOT).

Notice of funding opportunity (NOFO or Notice).

This Notice details the application requirements and procedures to obtain grant funding for eligible projects under the Railroad Crossing Elimination Program for Fiscal Years (FY) 2023 and 2024. This Notice solicits applications for funds made available by the Infrastructure Investment and Jobs Act (IIJA). The opportunity described in this notice is made available under Assistance Listings Number 20.327, “Railroad Crossing Elimination.”

Applications for funding under this solicitation are due no later than 11:59 p.m. EST, September 23, 2024. Applications that are incomplete or received after 11:59 p.m. EST, on September 23, 2024 will not be considered for funding. See section D of this notice for additional information on the application process.

Applications must be submitted via www.Grants.gov . Only applicants who comply with all submission requirements described in this notice and submit applications through www.Grants.gov will be eligible for award.

For further information concerning this notice, please contact the FRA NOFO Support program staff via email at [email protected] . If additional assistance is needed, you may contact Ms. Jenny Zeng, Transportation Industry Analyst, at email: [email protected] or telephone: 857-330-2481; Stefani Gaede, Transportation Industry Analyst, at email: [email protected] or telephone: 202-940-8426; in FRA's Office of Rail Program Development.

Notice to applicants: FRA recommends that applicants read this notice in its entirety prior to preparing Start Printed Page 56789 application materials. Definitions of key terms used throughout the NOFO are provided in section A(2) below. These key terms are capitalized throughout the NOFO. There are several administrative and specific eligibility requirements described herein with which applicants must comply. Additionally, applicants should note that the required Project Narrative component of the application package may not exceed 25 pages in length.

F. Federal Award Administration Information

Summary Overview of Key Information: Railroad Crossing Elimination Program (RCE)

Issuing AgencyFederal Railroad Administration, U.S. Department of Transportation.Program OverviewThe purpose of the RCE Program is to fund highway-rail or pathway-rail grade crossing improvement projects that focus on improving the safety and mobility of people and goods.Eligible Applicants• A State (including the District of Columbia Puerto Rico, and other United States territories and possessions). • A political subdivision of a State. • A federally recognized Indian Tribe. • A unit of local government or a group of local governments. • A public port authority. • A metropolitan planning organization. • A group of entities included above.Eligible Project Types• Grade separation or closure, including through the use of a bridge, embankment, tunnel, or combination thereof. • Track relocation. • The improvement or installation of protective devices, signals, signs, or other measures to improve safety, provided that such activities are related to a separation or relocation project described above. • Other means to improve the safety and mobility of people and goods at highway-rail grade crossings (including technological solutions). • A group of related projects described above that would collectively improve the mobility of people and goods. • The planning, environmental studies, and final design for a project or group of projects described above.FundingThe total funding available for awards under this NOFO is up to $1,148,809,580.DeadlineDeadline: No later than 11:59 p.m. EST, September 23, 2024.

The RCE Program provides a federal funding opportunity to fund highway-rail or pathway-rail grade crossing improvement projects that focus on improving the safety and mobility of people and goods. Such projects will improve American rail infrastructure to enhance rail safety, improve the health and safety of communities, eliminate highway-rail and pathway-rail grade crossings that are frequently blocked by trains, and reduce the impacts that freight movement and railroad operations may have on underserved communities.

The purpose of this NOFO is to solicit applications for projects through the competitive RCE Program, which is authorized by the Infrastructure Investment and Jobs Act (IIJA), Sec. 22104, Public Law 117-58 (November 15, 2021), and funded by the 2023 and 2024 advance appropriations in Title VIII of Division J of the IIJA. This NOFO describes funding available, application submission requirements, and the selection and evaluation criteria for projects under the RCE Program. The RCE Program requirements are codified at 49 U.S.C. 22909 .

This NOFO integrates FRA's Guidance on Development and Implementation of Railroad Capital Projects (Jan. 12, 2023, 88 FR 2163 ) (FRA's Capital Projects Guidance), which assists project sponsors in developing effective and complete capital projects by defining the project development process and describing implementation tools, processes, and documentation that may be required for a grant. FRA's Capital Projects Guidance can be found here: https://railroads.dot.gov/​elibrary/​fra-guidance-development-and-implementation-railroad-capital-project .

In December 2023, FRA updated its standard grant agreement terms and conditions. The new FRA grant agreement consists of three parts: Attachment 1: Standard Terms and Conditions, Attachment 2: Project-Specific Terms and Conditions, and Terms and Conditions Exhibits. The updated agreements are available at: https://railroads.dot.gov/​grants-loans/​fra-discretionary-grant-agreements .

DOT seeks to fund projects that advance the Administration Priorities of safety, equity, climate and sustainability, workforce development, job quality, and wealth creation as described in the U.S. Department of Transportation (DOT) Strategic Plan, [ 1 ] and in executive orders, which are described in section E.

Terms defined in this section are capitalized throughout this notice.

a. “Capital Project” means a project for acquiring, constructing, improving, or inspecting rail equipment, track and track structures, or a rail facility, including expenses incidental to the acquisition or construction including pre-construction activities (such as designing, engineering, location surveying, mapping, acquiring rights-of-way) and related relocation costs, [ 2 ] environmental studies, and all work necessary for FRA to consider the effects of the proposed project under the National Environmental Policy Act; Highway-Rail Grade Crossing improvements; communication and signalization improvements; and rehabilitating, remanufacturing, or overhauling rail rolling stock and rail facilities.

b. “Commuter Rail Passenger Transportation” means short-haul rail passenger transportation in metropolitan and suburban areas usually having reduced fare, multiple rides, and commuter tickets, and morning and evening peak period Start Printed Page 56790 operations, consistent with 49 U.S.C. 24102(3) ; the term does not include rapid transit operations in an urban area that are not connected to the general railroad system of transportation.

c. “Construction” means the Lifecycle Stage of a Capital Project during which the Capital Project is completely built, installed, and placed in use. Construction activities include, but are not limited to, physical construction and installation of the Capital Project, including testing of equipment, workforce training, and start-up testing. Construction activities occur after a project has completed Final Design. Construction is described in FRA's Capital Projects Guidance.

d. “Final Design” or “FD” means the Lifecycle Stage of a Capital Project during which the Capital Project design is advanced to be ready for Construction. This is when the agreements necessary to construct and operate the Capital Project are secured, acquisition of right-of-way is completed, and final engineering plans and specifications necessary for the construction of the project are produced. Final Design activities occur after a Capital Project has completed Project Development, and before a Capital Project can advance to Construction. Final Design is described in FRA's Capital Projects Guidance.

e. “Grade Separation or Closure” means an underpass or overpass to eliminate level crossings between railroad and highway users at an existing highway-rail or pathway-rail grade crossing, or the closing of a highway-rail grade crossing to vehicular or pedestrian traffic.

f. “Highway-Rail Grade Crossing” means a location where a public highway, road, street, or private roadway, including associated sidewalks and pathways, crosses one or more railroad tracks at grade.

g. “Improvement Project” means a project related to an existing highway or pathway-rail crossing including: installation, repair, or improvement of crossings, grade separations, railroad crossing signals, gates, bells, audible warning devices and related technologies; highway traffic signalization, lighting, crossing approach signage, and roadway improvements such as medians or other barriers; pathway improvements such as bollards; railroad crossing panels and surfaces; and other safety engineering improvements, or highway-rail programs to reduce risk.

h. “Intercity Rail Passenger Transportation” means rail passenger transportation, except Commuter Rail Passenger Transportation, see 49 U.S.C. 22901(3) , and in this NOFO, it has the same meaning as “Intercity Passenger Rail Service” and “Intercity Passenger Rail Transportation.”

i. “Lifecycle Stage” means each of the consecutive stages of a Capital Project as it is developed and implemented that include Systems Planning, Project Planning, Project Development, Final Design, Construction, and Operation. Each sequential stage involves specific activities. Lifecycle Stages are described in FRA's Capital Projects Guidance.

j. “Major Project” means a Capital Project with a capital cost estimate equal to or greater than $500 million and with at least $100 million in federal assistance under the Railroad Crossing Elimination Program. Major Project is described in FRA's Capital Project Guidance.

k. “National Environmental Policy Act” or “NEPA” ( 42 U.S.C. 4321 et seq. ) is a federal law that requires federal agencies to analyze and document the environmental impacts of a proposed action in consultation with appropriate federal, tribal, state, and local authorities, and with the public. Environmental Review under NEPA consists of an Environmental Impact Statement (EIS), Environmental Analysis (EA) or Categorical Exclusion (CE). The NEPA class of action depends on the potential environmental impacts of the proposed action. For purposes of this NOFO, NEPA also includes all related federal laws and regulations including the Clean Air Act, section 4(f) of the Department of Transportation Act, section 7 of the Endangered Species Act, and section 106 of the National Historic Preservation Act. Additional information regarding FRA's environmental processes and requirements is located at https://railroads.dot.gov/​rail-network-development/​environment/​environment . NEPA consultation and documentation are considered part of the Project Development Lifecycle Stage, as described in FRA's Capital Projects Guidance.

l. “Pathway-Rail Grade Crossing” means a pathway that crosses one or more railroad tracks at grade and that is: (1) explicitly authorized by a public authority or a railroad; (2) dedicated for the use of non-vehicular traffic, including pedestrians, bicyclists, and others; and (3) not associated with a public highway, road, or street, or a private roadway.

m. “Preliminary Engineering” or “PE” means engineering design to define a Capital Project, including identification of all environmental impacts and design of all critical project elements at a level sufficient to ensure reliable cost estimates and schedules. The PE development process starts with specific project design alternatives that allow for the assessment of a range of rail improvements, specific alignments, and project designs. PE is considered part of the Project Development Lifecycle Stage, as described in FRA's Capital Projects Guidance.

n. “Project Development” means the Lifecycle Stage of a Capital Project during which the project sponsor conducts design, environmental, and other studies to ensure the project is ready for implementation. Project Development activities occur after a project has completed Project Planning, and before a Capital Project can advance to Final Design. Project Development is described in FRA's Capital Projects Guidance.

o. “Project Management Plan” means, under this NOFO, a document that describes how the Capital Project will be implemented, monitored, and controlled to help the project sponsor effectively, efficiently, and safely deliver the project on-time, within budget, and at the highest appropriate quality. Project Management Plan is described in FRA's Capital Projects Guidance.

p. “Project Planning” is the first Lifecycle Stage of a Capital Project during which the project sponsor identifies Capital Project concepts to adequately address transportation needs and opportunities; identifies and compares costs, benefits, and impacts of project options; identifies the impacted environmental resources; and engages with interested parties, agencies, and infrastructure owners. Project Planning activities are completed before a Capital Project advances to Project Development. Project Planning is described in FRA's Capital Projects Guidance.

q. “Rural Area” means any area that is not within an area designated as an urbanized area by the most recent Bureau of the Census.

r. “Track Relocation” means moving a rail line vertically or laterally to a new location in order to eliminate an existing Highway-Rail Grade Crossing. “Vertical Relocation” refers to raising above the current ground level or sinking below the current ground level of a rail line. “Lateral Relocation” refers to moving a rail line horizontally to a new location.

s. “Tribal Lands” means any lands reserved for a federally recognized Native American tribe or tribes under treaty or other agreement with the United States, executive order, or federal statute or administrative action as permanent tribal homelands, and Start Printed Page 56791 where the federal government holds title to the land in trust on behalf of the tribe.

The total funding available for awards under this NOFO is up to $1,148,809,580, made available by the FY 2023 and 2024 advance appropriations provided in Title VIII of Division J of IIJA and by remaining unawarded FY 2022 RCE Program balances. [ 3 ] Should additional RCE Program funds become available after the release of this NOFO, FRA may elect to award such additional funds to applications received under this NOFO. Any selection and award under this NOFO are subject to the availability of appropriated funds.

Further, of the available award amount listed above, certain funding amounts are set-aside for the following purposes under this NOFO:

a. Planning Projects—At least three percent of the total FY 2023-2024 RCE Program grant funds available, or $36,000,000, as well as $2,281,580 in FY 2022 RCE funds, will combine to make $38,281,580 available for planning projects described in 49 U.S.C. 22909(d)(6) . Of these funds, $10,840,000 (which includes $1,840,000 in FY 2022 carryover funds) will be made available for planning projects located in Rural Areas or on Tribal Lands. Further, FRA specifically expects to support planning projects that seek to advance efforts to grade separate at least one or more at-grade crossings. Planning projects are also subject to special considerations for award size and preference, as detailed in the following section 2(a).

b. Rural or Tribal set-aside—At least 20 percent of the total FY 2023-2024 RCE Program grant funds available, or $229,305,600, will be made available for projects located in Rural Areas or on Tribal Lands, as required by 49 U.S.C. 22909(f)(3)(A) . [ 4 ] At least five percent of these set-aside funds, or $11,465,280, will be made available for projects in counties with 20 or fewer residents per square mile, according to the most recent decennial census, provided that sufficient eligible applications have been submitted.

c. In addition, FRA will make at least $3,000,000 available for grants that carry out Highway-Rail Grade Crossing safety information and education programs. FRA expects that activities to promote further awareness of grade crossing safety will be based on existing best practices and such efforts will be implemented in a comprehensive manner through coordination with relevant stakeholders.

FRA anticipates making multiple awards with the available funding. FRA may not be able to award grants to all eligible applications even if they meet or exceed the stated evaluation criteria (see section E, Application Review Information). FRA strongly encourages applicants to seek funding for the appropriate Lifecycle Stage of a Capital Project, consistent with the application tracks in section C(3)(c) below. Where an application includes multiple Lifecycle Stages of a Capital Project, FRA may decide to only award funds for what it determines is the appropriate Lifecycle Stage.

In addition, projects may require more funding than is available. FRA encourages applicants to propose a project that has operational independence, or a component of such project, which can be completed and implemented with funding under this NOFO as a part of the total project cost together with other, non-federal sources. (See section C(3)(c) for more information). There are no predetermined maximum dollar thresholds for individual awards, but no more than 20 percent of the grant funds available ($229,761,916 total from both FY 2023-2024 funding and FY 2022 carryover funds) will be awarded for projects in any single State.

Applicants are not limited in the number of projects for which they seek funding. Applicants submitting more than one application are requested to submit a priority ranking of their submitted applications that is consistent with each application package submitted.

FRA will not award grants for less than $1,000,000, except for a Planning project, as described in 49 U.S.C. 22909(d)(6) . Projects requesting less than $1,000,000 must consist solely of Planning activities (Planning is defined in section A.3.n of this NOFO) to be considered eligible. Applications that request funding for a combination of Planning and Project Development activities must exceed $1,000,000 in federal assistance under this NOFO.

FRA will make awards for projects selected under this notice through grant agreements and/or cooperative agreements. Grant agreements are used when FRA does not expect to have substantial federal involvement in carrying out the funded activity. Cooperative agreements allow for substantial federal involvement in carrying out the agreed upon investment, including technical assistance, review of interim work products, and increased program oversight. The term “grant” is used throughout this document and is intended to reference funding awarded through a grant agreement or a cooperative agreement.

The funding provided under this NOFO will be made available to grantees on a reimbursable basis. Applicants must certify that their expenditures are allowable, allocable, reasonable, and necessary to the approved project before seeking reimbursement from FRA. Additionally, the grantee is expected to expend matching funds at the required percentage concurrent with federal funds throughout the life of the project.

The new FRA grant agreement consists of three parts: Attachment 1: Standard Terms and Conditions, Attachment 2: Project-Specific Terms and Conditions, and Terms and Conditions Exhibits. The grant agreement templates are available at: https://railroads.dot.gov/​grants-loans/​fra-discretionary-grant-agreements . These templates are subject to revision.

DOT and FRA may concurrently solicit applications for transportation infrastructure projects for several financial assistance programs. Applicants may submit applications requesting funding for a particular project to one or more of these programs. In the application for funding under this NOFO, applicants must indicate the other program(s) to which they submitted an application for funding the entire project or certain components, as well as highlight new or revised information in the application responsive to this NOFO that differs from the previously submitted application(s).

This section of the notice explains applicant eligibility, cost sharing and matching requirements, project eligibility, and project component Start Printed Page 56792 operational independence. Applications that do not meet the requirements in this section are ineligible for funding. Instructions for submitting eligibility information to FRA are detailed in section D of this NOFO.

The following entities are eligible applicants for all projects permitted under this notice:

a. A State (including the District of Columbia, Puerto Rico, and other United States territories and possessions).

b. A political subdivision of a State.

c. A federally recognized Indian Tribe.

d. A unit of local government or a group of local governments.

e. A public port authority.

f. A metropolitan planning organization.

g. A group of entities described in any of paragraphs (a) through (f).

The applicant serves as the primary point of contact for the application, and if selected, as the recipient of the RCE Program grant award. An application may identify entities that are not eligible applicants as project partners.

The federal share of total costs for RCE Program projects funded under this NOFO may not exceed 80 percent. The estimated total cost of a project must be based on the best available information, including engineering studies, studies of economic feasibility, environmental analyses, and information on the expected use of equipment and/or facilities. Additionally, in preparing estimates of total project costs, applicants are encouraged to use FRA's cost estimate guidance documentation, “Capital Cost Estimating: Guidance for Project Sponsors,” which is available at: https://www.fra.dot.gov/​Page/​P0926 . Project sponsors should account for the impact of factors such as inflation as the applicant prepares their scope, schedule, and budget.

The minimum 20 percent non-federal share may be comprised of public sector ( e.g., State or local) or private sector funding. FRA will not consider any federal financial assistance, or any non-federal funds already expended (or otherwise encumbered) toward the matching requirement, unless such sources are compliant with 2 CFR part 200 . In-kind contributions, including the donation of services, materials, and equipment, may be credited as a project cost in a uniform manner consistent with 2 CFR 200.306 . In addition, applicants may count costs incurred for Preliminary Engineering associated with Highway-Rail Grade Crossing and Pathway-Rail Grade Crossing Improvement Projects as part of the total project costs. Such costs are eligible as non-federal share or for reimbursement, even if they were incurred before project selection for award, consistent with 49 U.S.C. 22909(g) . Such costs must have been incurred no earlier than November 15, 2021, and must be otherwise compliant with 2 CFR part 200 and the requirements of this RCE Program.

Funding under this NOFO may not be used for costs that are included in or used to meet cost sharing or matching requirements of any other federally financed award or program. If the applicant is seeking additional funding for a project that has already received federal financial assistance, costs associated with the scope of work for the existing federal award are not eligible for funding under this NOFO. Only new scope elements/activities ( e.g., new deliverables) are eligible for funding under this NOFO.

Before applying, applicants should carefully review the principles for cost sharing or matching in 2 CFR 200.306 . See section D(2)(a)(iii) of this NOFO for required application information on non-federal match and section E for further discussion of FRA's consideration of matching funds in the review and selection process. FRA will approve pre-award costs incurred after announcement of awards consistent with 2 CFR 200.458 , as applicable. See section D(6). Cost sharing or matching may be used only for eligible expenses for authorized Federal award purposes.

All contracts for projects financed with federal funds will be subject to applicable federal requirements. Applicants that have entered into contracts for a proposed project prior to award must ensure that applicable federal requirements are included in the contract in the event the project is selected and federal funds are obligated.

The following Highway-Rail or Pathway-Rail Grade Crossing Improvement Projects (including acquiring real property interests) that focus on improving the safety and mobility of people and goods are eligible for funding under 49 U.S.C. 22909(d) and this NOFO:

i. Grade separation or closure, including through the use of a bridge, embankment, tunnel, or combination thereof;

ii. Track Relocation;

iii. The improvement or installation of protective devices, signals, signs, or other measures the improve safety, provided that such activities are related to a separation or relocation project described in paragraph (i) or (ii);

iv. Other means to improve the safety and mobility of people and goods at highway-rail grade crossings (including technological solutions);  [ 5 ]

v. A group of related projects described in paragraphs (i) through (iv) that would collectively improve the mobility of people and goods; or

vi. The planning, environmental review, and design of an eligible project described in paragraphs (i) through (v).

Consistent with 49 U.S.C. 22909(j)(1) , grants under the RCE Program are not subject to the limitation in 49 U.S.C. 22905(f) and may therefore be awarded for commuter rail passenger transportation projects. Consistent with 49 U.S.C. 22909(j)(2) , FRA will transfer such projects to the Federal Transit Administration to administer.

If an applicant requests funding for a component or set of components of a larger Capital Project, the project component(s) included in the application must be attainable with the award amount and comply with all eligibility requirements described in section C. In addition, the component(s) must enable independent analysis and decision making, as determined by FRA, under NEPA ( i.e., have independent utility, connect logical termini, and not restrict the consideration of alternatives for other reasonably foreseeable rail projects).

Applicants are not limited in the number of projects for which they seek funding. FRA generally evaluates applications in Tracks based on the Lifecycle Stages of a Capital Project. While applications covering multiple Lifecycle Stages are not precluded, FRA generally expects that applications identify only one of the following tracks for an eligible proposed project:

• Track 1—Project Planning;
• Track 2—Project Development;
• Track 3—Final Design (FD)/Construction.

FRA strongly encourages applicants to seek funding for the appropriate Lifecycle Stage of a Capital Project, consistent with these application tracks. Start Printed Page 56793 To the extent possible, applicants should describe their projects consistent with FRA's Capital Projects Guidance, which provides a detailed description of each Lifecycle Stage and its required activities: https://railroads.dot.gov/​elibrary/​fra-guidance-development-and-implementation-railroad-capital-project .

If an application seeks funding under more than one application Track for multiple Lifecycle Stages, FRA may award funds for the application Track and corresponding Lifecycle Stage(s) it determines most appropriate based on project readiness information. Applicants are directed to identify the project components and estimated amount of federal funding requested for each Lifecycle Stage. If an application selected for award includes multiple Lifecycle Stages, FRA will require the grantee to complete the Lifecycle Stages in the order consistent with FRA's Capital Projects Guidance.

i. Track 1—Project Planning: Track 1 consists of Project Planning specific to an eligible Capital Project. Example activities for Project Planning include: the development of a purpose and need statement; completion of conceptual engineering and other design; documentation showing that project alternatives were considered; completion of an environmental resource inventory and potential environmental concerns analysis; scale design drawings; public and stakeholder involvement; completion of an order-of-magnitude project cost estimate; and for Major Projects, completion of an initial Project Management Plan. Project Planning projects funded under this NOFO must be sufficiently developed when complete to support Project Development activities.

FRA strongly encourages Track 1 Planning projects given the RCE Program's dedicated set-aside funding for planning activities. Please note that, pursuant to 49 U.S.C. 22909(d)(6) , the minimum award requirement of $1,000,000 does not apply to applications for awards that fund only activities consistent with the Project Planning Lifecycle Stage. Consistent with Section A.2 of this NOFO, FRA intends to prioritize Planning projects that seek to grade separate one or more grade crossings.

ii. Track 2—Project Development: Track 2 consists of projects for eligible Project Development activities. Example activities include: completion of PE and architectural or other design; PE drawings and specifications (scale drawings at the 30 percent design level, including track geometry as appropriate); design criteria, schematics and/or track charts that support the development of PE; work that can be funded in conjunction with developing PE, such as operations modeling, surveying, project work/management plans, preliminary cost estimates, and preliminary project schedules; completion of environmental review; and completion of applicable project management documentation (such as a Project Management Plan, schedule, capital cost estimate, and financial plan). Project Development projects funded under this NOFO must first demonstrate completion of Project Planning elements prior to Project Development funds being awarded and be sufficiently developed when complete to support FD or Construction activities.

iii. Track 3—Final Design (FD)/Construction: Track 3 consists of projects for eligible FD and Construction activities. Applicants must complete all necessary Planning and Project Development stages, including PE and NEPA requirements, prior to moving to the FD/Construction stage of a project. FD activities may include completion of the FD documentation, acquisition of right-of-way, [ 6 ] resolving remaining uncertainties or risks associated with changes to the design and scope of the Capital Project; addressing procurement processes; and updating/completing the applicable project management documentation (such as a Project Management Plan, schedule, capital cost estimate, and financial plan). [ 7 ] Construction activities may include physical construction and installation of the Capital Project, including procurement and manufacturing of vehicles and equipment, project administration, testing of equipment ( e.g., signal equipment and rolling stock), systems integration testing, workforce training, system certification, procurement of insurance, provision of warrantees, pre-revenue service, and start-up testing. Prior to obligation, applicants selected for funding for FD/Construction must demonstrate completion of applicable Systems Planning and Project Planning and Project Development activities, consistent with FRA's Capital Projects Guidance.

FRA will consider a project to be in a Rural Area or on Tribal Lands if all or the majority of the project (determined by geographic location(s) where the majority of the project funds will be spent) is located in a Rural Area or on Tribal Lands. However, in the event FRA elects to fund a component of the project, then FRA will reevaluate whether the project is in a Rural Area or on Tribal Lands.

Required documents for the application are outlined in the following paragraphs. Applicants must complete and submit all components of the application for the application to be reviewed by FRA. An applicant that fails to submit all required documentation prior to the closing period of the notice may have its application deemed incomplete and will not advance to evaluation review. See section D(2) for the required documents and information for an application package. FRA welcomes the submission of additional relevant supporting documentation, such as planning, engineering, and design documentation, and letters of support from partnering organizations, which will not count against the Project Narrative 25-page limit.

Applicants may access application materials at https://www.Grants.gov and must submit all application materials in their entirety through https://www.Grants.gov no later than 11:59 p.m. EST, on September 23, 2024. Applicants must complete an Authorized Organization Representative (AOR) profile on www.Grants.gov and create a username and password. Additional information about the registration process is available at: https://www.grants.gov/​applicants/​applicant-registration .

Applicants are strongly encouraged to apply early to ensure that all materials are received before the application deadline. FRA reserves the right to modify this deadline. General information for submitting applications through Grants.gov can be found at: https://www.fra.dot.gov/​Page/​P0270 . FRA is committed to ensuring that information is available in appropriate alternative formats to meet the requirements of persons who have a Start Printed Page 56794 disability. If you require an alternative version of files provided or paper copies of materials, please contact Ms. Laura Mahoney, Office of the Chief Financial Officer, Federal Railroad Administration, 1200 New Jersey Avenue SE, Washington, DC 20590; email: [email protected] ; or telephone: 202-578-9337.

The E-Biz point of contact (E-Biz POC) at the applicant's organization must respond to the registration email from Grants.gov and login at www.Grants.gov to authorize the applicant as the AOR. Please note there can be more than one AOR for an organization.

If an applicant has difficulty at any point during this process, please call the Grants.gov Customer Center Hotline at 1-800-518-4726, 24 hours a day, 7 days a week (closed on federal holidays). For information and instructions on each of these processes, please see instructions at: https://www.grants.gov/​support .

FRA strongly advises applicants to read this section carefully. Applicants must submit all required information and components of the application package to be considered for funding. Applications that are not submitted on time or do not contain all required documentation will not be considered for funding. To support the application, applicants may provide additional relevant and available optional supporting documentation that may have been developed by the applicant, especially such documentation that provides evidence of completion of the appropriate Lifecycle Stage(s) of a Capital Project. Additionally, applicants selected to receive funding must satisfy the requirements in 49 U.S.C. 22903 and 22905 , including FRA's Buy America requirement and conditions explained in part at https://www.fra.dot.gov/​page/​P0185 and further in section F.2 of this notice.

Required documents and information for an application package include the following:

Application informationNOFO section for guidanceProject NarrativeSee D.2.a.Statement of Work (SOW), project budget, estimated project schedule, and performance measuresSee D.2.b.i.Environmental Compliance DocumentationSee D.2.b.ii.Draft Agreement required under , if applicableSee D.2.b.iii.SF 424—Application for Federal Assistance  See D.2.b.iv.SF 424A—Budget Information for Non-Construction or SF 424C—Budget Information for ConstructionSee D.2.b.v.SF 424B—Assurances for Non-Construction or SF 424D—Assurances for ConstructionSee D.2.b.vi.FRA's F 30—Certifications Regarding Debarment, Suspension and Other Responsibility Matters, Drug-Free Workplace Requirements and LobbyingSee D.2.b.vii.FRA F 251—Applicant Financial Capability QuestionnaireSee D.2.b.viii.SF LLL—Disclosure of Lobbying Activities, if applicableSee D.2.b.ix.

This section describes the minimum content the applicant is required to provide in the Project Narrative section of the grant application. The Project Narrative must follow the basic outline below to address the program requirements and assist evaluators in locating relevant information.

I. Cover PageSee D.2.a.i.II. Project SummarySee D.2.a.ii.III. Grant Funds, Sources and Uses of Project FundsSee D.2.a.iii.IV. Applicant Eligibility CriteriaSee D.2.a.iv.V. Project Eligibility CriteriaSee D.2.a.v.VI. Detailed Project DescriptionSee D.2.a.vi.VII. Highway-Rail Grade Crossing Safety Information and Education ProgramsSee D.2.a.vii.VIII. Project LocationSee D.2.a.viii.IX. Grade Crossing InformationSee D.2.a.ix.X. Safety BenefitSee D.2.a.x.XI. Evaluation and Selection CriteriaSee D.2.a.xi.XII. Project Implementation and ManagementSee D.2.a.xii.

The applicant must provide the content listed above in a narrative statement. The Project Narrative may not exceed 25 pages in length (excluding cover pages, table of contents, and supporting documentation). When possible, applicants should submit supporting documents via website links rather than hard copies. If supporting documents are submitted, applicants must clearly identify the relevant portion of the supporting document with the page numbers of the cited information in the Project Narrative. The Project Narrative must adhere to the following outline.

i. Cover Page: include a cover page that lists the following elements in either a table or formatted list:

Project TitleApplicant Name Amount of RCE Program Funding Requested under this NOFO$:Amount of Proposed Non-Federal Match$:Does some or all of the proposed Non-Federal Match for the total project cost consist of Preliminary Engineering costs incurred before project selection (but after November 15, 2021)?If yes, how much?Other Sources of Federal funding, if applicableProvide funding source and amount $:Source(s) of Proposed Non-Federal MatchIf applicable, are set-aside funds requested? Is the project eligible for a funding set-aside in Section B.1?Yes/No. If yes, please specify which one [Planning Projects, Safety Information and Education Program, Rural or Tribal Set-Aside].If “Yes,” amount of set-aside funds requested:$:Total Project Cost$: Was a Federal Grant Application Previously Submitted for this Project?Yes/No. If yes, please specify the program, funding year and project title of the previous application, and identify any differences between the applications. City(ies), County(ies), State(s) Where the Project is LocatedIs the Project Located in a Rural Area or on Tribal Lands?Yes/No.If the Project is located in a Rural Area or Tribal Land, is the Project Located in a county with 20 or fewer residents per square mile, according to the most recent decennial census?Yes/No.Congressional District(s) Where the Project is Located Application Track(s) proposed to be funded by this NOFO?Lifecyle Stage(s) proposed to be funded by this NOFO?Current Lifecycle Stage and Anticipated completion of current Lifecycle Stage? Is the Project located on real property owned by someone other than the applicant?Yes/No. If yes, list real property owners and the nature of the property interest.Host Railroad/Infrastructure Owner(s) of Project Assets;Other impacted Railroad(s)Tenant Railroad(s), if applicableIf applicable, is a -compliant Railroad Agreement executed or pending?Yes/No/Pending. Is the project currently programmed in ANY medium- or long-range planning document: ?Yes/No. If yes, please specify.   Yes/No. If yes, please specify the corridor(s).

ii. Project Summary: Provide a brief 4-6 sentence summary of the proposed project. Include challenges the proposed project aims to address and summarize the intended outcomes and anticipated benefits that will result from the proposed project.

iii. Grant Funds, Sources and Uses of Project Funds: Project budgets should show how different funding sources will fund project activities and present the data in dollars and percentages. The budget should identify other federal funds the applicant is applying for or has been awarded, if any, or intends to use. Funding sources should be grouped into three categories: RCE request, non-federal, and other federal with specific amounts for each funding source. If other federal funding is proposed as match, demonstrate the applicant's determination of eligibility for such use, Start Printed Page 56796 and the legal basis for that determination. If federal funding for the project is currently or has previously been sought, identify the federal program and fiscal year of the funding request(s), as well as highlight new or revised information in the application responsive to this NOFO that differs from the application(s) to other financial assistance programs.

As shown in the table format below, the applicant should indicate the amount in dollars and percentages of RCE Program funding requested, the amount of non-federal match, source(s) for all non-federal match, [ 10 ] other federal funds (if applicable), and the total project cost. FRA may not award more funding for a project than is requested in an application.

The applicant should itemize funding by project Lifecycle Stage(s) and by project activity. For a Major Project, applicants are encouraged to provide an annualized budget in year of expenditure dollars. Project budget information must be consistent throughout all application materials, specifically the Standard Form (SF) 424, Project Narrative, Statement of Work, and funding commitment letters. [ 11 ] The project budget should be specific to the project scope described in the applicant's request for funding under this NOFO. If the project proposed to be funded under this NOFO is part of a larger scope, the applicant may reference the larger scope in the Project Narrative but should only include the project scope proposed to be funded under this NOFO within the budget table.

If applicable, the applicant should explain if the RCE Program request or other funds must be obligated or spent by a certain date.

If applicable, the applicant should provide the type and estimated value of any proposed in-kind contributions, as well as explain how the contributions meet the requirements in 2 CFR 200.306 . If the applicant is requesting set-aside funds per section B(1), identify the dedicated activities and amount requested within the budget table.

Example Project Funding Table: Applicants may use the following table to describe project funding, and may use additional rows and columns, or additional project funding tables, as appropriate.

Task No.	Task name project component	Cost	Percentage of total cost	Source of funds and citation, as applicable
1
2
Total Project Cost
Federal Funding Requested in this Application (RCE Program Request)
Total Non-Federal Match
Non-Federal Funding (State)		Cash:
		In-Kind:
Non-Federal Funding (Private Sector)		Cash:
		In-Kind:
Non-Federal Federal Funding (Local)		Cash:
		In-Kind:
Other Committed Federal Funding  ( Federal Highway Administration, congressionally directed/earmark, other FRA grant program funds—including previous RCE grants, etc.) Note: If there are multiple sources of other federal funding, please break funding down by each source
Other Pending Federal Funding Requests
Amount (if any) of funding request eligible for set-aside funds as described in section B(1) (Planning, Rural/Tribal set-aside, or Highway-Rail Grade Crossing safety information and education programs)
Portion of Total Project Costs Spent in a Rural Area, if applicable
Does some or all the proposed Non-Federal Match for the total project cost consist of Preliminary Engineering costs incurred before project selection (but after November 15, 2021)?		If yes, how much?

iv. Applicant Eligibility Criteria: In this section, the applicant must explain how it meets the applicant eligibility criteria outlined in section C of this NOFO and include citations to appropriate authorities that demonstrate the applicant's eligibility to receive federal funds. For example, if the applicant is a political subdivision of a State, public agency or publicly chartered authority established by one or more States, the applicant should provide relevant legislative language, including citations to the applicable enabling legislation, that demonstrate the applicant's legal status. Applicants that fail to adequately demonstrate their Start Printed Page 56797 legal status may be found ineligible and their application will not be reviewed.

v. Project Eligibility Criteria: Explain how the proposed project meets the project eligibility criteria in section C(3) of this NOFO.

vi. Detailed Project Description: In this section, the applicant must provide a detailed project description that expands upon the brief project summary. This detailed description should provide, at a minimum: additional background on the challenges the project aims to address; a summary of current and proposed railroad operations in the project area and service frequency, which should include identification of all railroad owners and operators; typical daily, weekly, or annual train counts by operator; the primary expected project outcomes such as increased safety outcomes or reduced delays, improved rail network asset condition and performance, or similar outcomes and benefits; the expected users and beneficiaries of the project, including all railroad operators; the specific components and elements of the project; and any other information the applicant deems necessary to justify the proposed project. Applicants should specify whether the project will result in the elimination of one or more grade crossings. Provide detailed descriptions on the proposed improvement to each grade crossing included in the application. For all projects, applicants must provide information about proposed performance measures, as described in section F(3) and required in 2 CFR 200.301 .

vii. Highway-Rail Grade Crossing Safety Information and Education Programs: For these projects, specify how the program will enhance education and informational outreach to help prevent and reduce pedestrian, motor vehicle and other accidents, incidents, injuries, and facilities, and how the program will help improve awareness along railroad rights-of-way and at Highway-Rail Grade Crossings. FRA expects that activities to promote further awareness of grade crossing safety will be based on existing best practices and such efforts will be implemented in a comprehensive manner through coordination with relevant stakeholders.

viii. Project Location: Applicants must include geospatial data for the project, as well as a map of the project's location. Geospatial data must be expressed in decimal degrees for latitude and longitude with at least five decimal places of precision. If the project includes a length of track or corridor development, the start and end coordinates for each corridor or segment must be provided. Milepost, railroad, and subdivision identifiers can also be provided but must be accompanied by corresponding latitudes and longitudes. For projects with multiple locations, the corresponding geospatial data must be included for each location, with individual columns for latitude and longitude, in table form as an attachment to the application. On the map, include the Congressional districts in which the project will take place.

ix. Grade Crossing Information: Cite specific US DOT National Grade Crossing Inventory information for each grade crossing to be addressed in the proposed application, including the US DOT grade crossing inventory number. Include latitude and longitude coordinates for each grade crossing location, the railroad that owns the infrastructure (or the crossing owner, if different from the railroad), the primary railroad operator, and the roadway at the crossing. To find US DOT grade crossing inventory number(s) and location(s), please visit: https://railroads.dot.gov/​safety-data/​fra-safety-data-reporting/​crossing-inventory-data-search . For projects involving Pathway-Rail Grade Crossings that do not have US DOT grade crossing inventory numbers or data, please provide as much locational data as possible.

List the following details for each grade crossing involved in the application scope of work, either in the following table format within the Project Narrative or, if more space is needed, in a separate, unlocked Excel file attachment (the table will not count against the 25-page Project Narrative page limit). Please include, to the best of the applicant's ability, specific US DOT National Grade Crossing Inventory information that may combine information requested under both this section and E.2.a.viii “Grade Crossing Information,” including:

a. US DOT grade crossing inventory number;

b. The proposed improvement requested in the application, using “new, separated, closed, or improved” to describe proposed improvement (such as gate additions, lights, etc.);

c. The primary railroad operator;

d. The railroad that owns the infrastructure (or the crossing owner, if different from the railroad); and

e. The roadway at the crossing with location latitude and longitude coordinates.

Example Table 1. In Project Narrative or attached as an appendix in unlocked Excel file format:

* Example Table 1—Grade Crossing Information for Proposed Project

US DOT grade crossing inventory #Proposed improvementRail operator(s)Railroad ownerLatitude coordinates (at least five decimal places of precision)Longitude coordinates (at least five decimal places of precision)

x. Safety Benefit Data: Applicants are strongly encouraged to submit safety justifications for the project that rely on standardized, objective safety metrics and data, if available, including data from sources such as: GradeDec.Net; National Risk Index; 49 CFR part 234 ; safety metrics found in Appendix D of 49 CFR part 222 ; the FRA crossing incident dashboard (FRA Safety Data & Reporting | FRA ( dot.gov )); or other relevant safety data or metrics. FRA will analyze data for each grade crossing, including information and data detailing the history of each crossing's incident history for the past five calendar years (2019-2023), to demonstrate the existing level of risk for each grade crossing proposed for improvement, as well as other tools and measures to better inform selection evaluation. [ 15 ]

viii. Evaluation and Selection Criteria: The applicant must include a thorough discussion of how the proposed project meets the evaluation and selection criteria. As described in section E, FRA will evaluate applications based on project readiness, technical merit, and project benefits, and will consider how the applicant's project aligns with the Start Printed Page 56798 Administration Priorities. If an application does not sufficiently address the evaluation criteria and the selection criteria, it is unlikely to be a competitive application. Applicants are expected to follow the directions and format requested in this NOFO, and adherence to these directions will be considered in evaluations. Applicants are encouraged to include quantifiable railroad data, such as information on delay, failure or safety incidents, daily train movement, or similar metrics, and should include qualitative data on accessibility improvements to either new or existing assets. To the extent feasible, such railroad metrics should be provided and analyzed discretely for intercity passenger rail and, if applicable, Commuter Rail Passenger Transportation and freight rail transportation services involved in the proposed project. For more information on performance metrics see FRA's Metrics and Minimum Standards for Intercity Passenger Rail Service, available at: https://railroads.dot.gov/​elibrary/​metrics-and-standards-final-rule-november-16-2020 .

xiii. Project Implementation and Management: Applicants must describe proposed project implementation and project management arrangements. Include descriptions of the expected arrangements for project contracting (construction, maintenance, and operation), contract oversight and control, change-order management, risk management, and conformance to federal requirements for project progress reporting (see FRA Reports, available at: https://www.fra.dot.gov/​Page/​P0274 ). Further, applicants must provide their plan for taking affirmative steps to employ small businesses consistent with 2 CFR 200.321 . Describe experience in managing and overseeing similar projects; the technical qualifications and demonstrated experience of key personnel proposed to lead and perform the technical efforts; and the qualifications of the primary and supporting organizations to fully and successfully execute the proposed project within the proposed timeframe and budget, including a discussion of the factors in 2 CFR 200.206(b) and the proposed approach to assessing and mitigating project risk.

Applicants must submit the following documents and forms. Note, the Standard OMB Forms needed for the electronic application process are available at: www.Grants.gov .

i. A Statement of Work (SOW), addressing the scope, project budget, estimated project schedule, and performance measures, for the proposed project if it were selected for award. The applicant should include sufficient detail in those documents so that FRA can understand the expected outcomes of the proposed work to be performed and can monitor progress toward completing project tasks and deliverables during a prospective grant's period of performance. Applicants are expected to include Articles 4-7 of Attachment 2: Project Specific Terms and Conditions, at a minimum. [ 16 ] Applications that do not follow this format may be considered incomplete and may not be reviewed. In addition, FRA encourages applicants submitting planning projects to look at the planning-specific Statement of Work template available here: https://railroads.dot.gov/​elibrary/​RCE-Grant-Project-Planning-SOW-sample .

When preparing the budget, the total cost of a project must be based on the best available information as indicated in cited references that include engineering studies, economic feasibility studies, environmental analyses, and information on the expected use of equipment or facilities. Applicants must include annual budget estimates in year of expenditure dollars for the duration of the project.

ii. Environmental compliance documentation, as applicable, if a website link to such documentation is not provided in the Project Narrative.

Applicants should explain what Federal (and, if appropriate, State, Tribal, and local) environmental compliance and permitting requirements have been completed. Such requirements include NEPA and other Federal, State, Tribal, and local environmental permitting requirements, if applicable. For all other Federal, State, Tribal, and local permitting requirements, the applicant should describe which permits apply, the status of those reviews, and the expected timeline for completion. If the NEPA process is complete, an applicant should indicate the date of completion, and provide a website link or other reference to the documents demonstrating compliance with NEPA, which might include a final Categorical Exclusion determination documentation, Finding of No Significant Impact, or Record of Decision. If the NEPA process is not yet underway, the application should state this. If the NEPA process is underway, but not complete, the application should detail the type of NEPA review underway, where the project is in the process, and indicate the anticipated date of completion of all NEPA and other environmental requirements. Additional information regarding FRA's environmental processes and requirements is located at https://fra.dot.gov/​environment .

iii. Draft or finalized agreement required under 49 U.S.C. 22905(c)(1) , if applicable. Provide information about the status of agreements with infrastructure owners. FRA encourages early cooperation between applicants and any relevant infrastructure owners. Under section 22905(c)(1), a grant applicant must have entered into a written agreement with a railroad that owns rights-of-way to be used by the project (referred to as the 22905 Agreement) prior to grant obligation. If the agreement is complete at the time of the application, an applicant should indicate the agreement's effective date, and provide a website link or attach the agreement as part of the application. Applicants are also encouraged to provide draft agreements. The written agreement between the grantee and the railroad should describe use and ownership, including any compensation for such use; assurances regarding the adequacy of infrastructure capacity to accommodate both existing and future freight and passenger operations; an assurance by the railroad that collective bargaining agreements with the railroad's employees including terms regulating the contracting of work will remain in full force and effect according to their terms for work performed by the railroad on the railroad transportation corridor; and an assurance that the grantee complies with liability requirements consistent with 49 U.S.C. 28103 . For additional guidance see the FRA Answers to Frequently Asked Questions about Rail Improvement Grant Conditions under 49 U.S.C. 22905(c)(1) : https://railroads.dot.gov/​elibrary/​frequently-asked-questions-about-rail-improvement-grant-conditions-under-49-usc-ss-22905c1 .

iv. SF 424—Application for Federal Assistance.

v. SF 424A—Budget Information for Non-Construction or SF 424C—Budget Information for Construction.

vi. SF 424B—Assurances for Non-Construction or SF 424D—Assurances for Construction.

vii. FRA F30—Certification Regarding Debarment, Suspension and Other Responsibility Matters, Drug-Free Workplace Requirements and Lobbying, located at https://railroads.dot.gov/​elibrary/​fra-f-30-certifications-regarding-debarment-suspension-and-other-responsibility-matters . Start Printed Page 56799

viii. FRA F 251—Applicant Financial Capability Questionnaire, located at https://railroads.dot.gov/​elibrary/​fra-f-251 .

ix. SF LLL—Disclosure of Lobbying Activities.

Forms needed for the electronic application process are at www.Grants.gov .

See section F(2) of this notice for post-selection requirements.

To apply for funding through Grants.gov , applicants must be properly registered in SAM before submitting an application, provide a valid unique entity identifier in its application, and continue to maintain an active SAM registration all as described in detail below. Complete instructions on how to register and submit an application can be found at www.Grants.gov . Registering with Grants.gov is a one-time process; however, it can take up to several weeks for first-time registrants to receive confirmation and a user password. FRA recommends that applicants start the registration process as early as possible to prevent delays that may preclude submitting an application package by the application deadline. Applications will not be accepted after the due date. Delayed registration is not an acceptable justification for an application extension.

FRA may not make a grant award to an applicant until the applicant has complied with all applicable SAM requirements, and if an applicant has not fully complied with the requirements by the time the federal awarding agency is ready to make a federal award, the federal awarding agency may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant. Late applications, including those that are the result of a failure to register or comply with Grants.gov applicant requirements in a timely manner, will not be considered. If an applicant has not fully complied with the requirements by the submission deadline, the application will not be considered. To submit an application through Grants.gov , applicants must follow the directions below in this subsection.

All applicants for federal financial assistance must maintain current registrations in the SAM database. An applicant must be registered in SAM to successfully register in Grants.gov . The SAM database is the repository for standard information about federal financial assistance applicants, grantees, and subrecipients. Organizations that have previously submitted applications via Grants.gov are already registered with SAM, as it is a requirement for Grants.gov registration. Please note, however, that applicants must update or renew their SAM registration at least once per year to maintain an active status. Therefore, it is critical to check registration status well in advance of the application deadline. If an applicant is selected for an award, the applicant must maintain an active SAM registration with current information throughout the period of the award, including information on a grantee's immediate and highest-level owner and subsidiaries, as well as on all predecessors that have been awarded a federal contract or grant within the last three years, if applicable. Information about SAM registration procedures is available at www.SAM.gov .

On April 4, 2022, the Federal government discontinued using DUNS numbers. The DUNS Number was replaced by a new, non-proprietary identifier that is provided by the System for Award Management ( SAM.gov ). This new identifier is called the Unique Entity Identifier (UEI), or the Entity ID. To find or request a Unique Entity Identifier, please visit: www.SAM.gov .

Applicants must complete an Authorized Organization Representative (AOR) profile on www.Grants.gov and create a username and password. Applicants must use the organization's UEI to complete this step. Additional information about the registration process is available at: https://www.grants.gov/​applicants/​applicant-registration .

The E-Biz POC at the applicant's organization must respond to the registration email from Grants.gov and login at www.Grants.gov to authorize the applicant as the AOR. Please note there can be more than one AOR for an organization.

If an applicant has trouble at any point during this process, please call the Grants.gov Customer Center Hotline at 1-800-518-4726, 24 hours a day, 7 days a week (closed on Federal holidays). For information and instructions on each of these processes, please see instructions at: https://www.grants.gov/​support .

Applicants must submit complete applications to www.Grants.gov no later than 11:59 p.m. EST, September 23, 2024. Applicants will receive a system-generated acknowledgement of receipt. FRA reviews www.Grants.gov information on dates/times of applications submitted to determine timeliness of submissions. Late applications will be neither reviewed nor considered, no exceptions. To apply for funding under this announcement, all applicants are required to be registered as an organization with Grants.gov . Applicants are strongly encouraged to apply early to ensure all materials are received before this deadline.

To ensure fair competition for limited discretionary funds, no late submissions will be reviewed for any reason, including: (1) failure to complete the Grants.gov registration process before the deadline; (2) failure to follow Grants.gov instructions on how to register and apply as posted on its website; (3) failure to follow all the instructions in this NOFO; and (4) technical issues experienced with the applicant's computer or information technology environment.

Intergovernmental Review is required for this program. Applicants must contact their State Single Point of Contact to comply with their State's process under Executive Order 12372 .

Consistent with 2 CFR 200.458 , as applicable, FRA will only approve pre-award costs if such costs are incurred pursuant to the negotiation and in anticipation of the grant agreement and if such costs are necessary for efficient and timely performance of the scope of work. [ 17 ] Under 2 CFR 200.458 , grant recipients must seek written approval from FRA for pre-award activities to be Start Printed Page 56800 eligible for reimbursement under the grant. Activities initiated prior to the execution of a grant or without FRA's written approval may be ineligible for reimbursement or matching contribution. Cost sharing or matching may be used only for authorized Federal award purposes.

Applicants may count costs incurred for Preliminary Engineering costs on Highway-Rail and Pathway-Rail Grade Crossing Projects as part of the total project costs. Consistent with 49 U.S.C. 22909(g) , such costs are eligible as non-federal share or reimbursement, even if they were incurred before project selection for award. Such costs must have been incurred no earlier than November 15, 2021, and must be otherwise compliant with 2 CFR part 200 and the requirements of this NOFO.

Please use generally accepted formats such as .pdf, .doc, .docx, .xls, .xlsx and .ppt, when uploading attachments. While applicants may embed picture files, such as .jpg, .gif, and .bmp, in document files, applicants should not submit attachments in these formats. Additionally, the following formats will not be accepted: .com, .bat, .exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, .ora, .sys, and .zip.

FRA will first screen each application for applicant and project eligibility (eligibility requirements are outlined in section C of this NOFO), completeness (application documentation and submission requirements are outlined in section D of this NOFO), and the 20 percent minimum non-federal match.

FRA will evaluate all eligible and complete applications using the evaluation criteria outlined in this section to determine project readiness, technical merit, and project benefits.

i. Project Readiness:

In evaluating Project Readiness, FRA will evaluate project and applicant risk based on the applicant's preparedness and capacity to implement the proposed project, including whether the applicant is reasonably equipped to begin the capital or planning project in a timely manner to meet its proposed schedule. FRA will evaluate whether the applicant is able to meet project milestones and use Federal funds efficiently to deliver the proposed project. [ 18 ]

FRA will evaluate the application for the degree to which—

(A) The application demonstrates strong project readiness, evidenced by status of required NEPA actions and environmental permitting readiness (if applicable);

(B) The status and timeline of agreements, such as an agreement required under 49 U.S.C. 22905(c)(1) , necessary for the legal, financial, and technical capacity to complete the project as proposed, are sufficiently developed;

(C) The application identifies the appropriate Lifecycle Stage(s) for the proposed project, demonstrates that the project has completed or will complete any preceding Lifecycle Stage(s), and the project is able to complete all requirements of the identified Lifecycle Stage(s); and

(D) Project partner coordination and commitments, including letters of support, agreements, and funding, are secured or able to be secured without undue delay.

ii. Technical Merit:

In evaluating Technical Merit, FRA will evaluate the degree to which the application, statement of work, schedule and budget are reasonable and appropriate to achieve the expected outcomes, commitment of necessary resources and workforce to deliver the project, and the proposed project elements are appropriate for the project funding request. FRA will also consider applicant risk, including the applicant's past performance in developing and delivering similar projects.

FRA will evaluate application information for the degree to which—

(A) The tasks and subtasks outlined in the SOW, project budget, and estimated project schedule are appropriate to achieve the expected outcomes of the proposed project;

(B) The technical qualifications and experience of key personnel the applicant proposes to lead and perform the technical efforts, including the qualifications of the primary and supporting organizations, demonstrates the ability to fully and successfully execute the proposed project within the proposed time frame and budget;

(C) The project is identified in the freight investment plan component of a state freight plan, a state rail plan, a state highway-rail grade crossing action plan, a state freight plan, or other equivalent document;

(D) The project will use innovative technologies, innovative design and construction techniques, or construction materials that reduce greenhouse gas emissions;

(E) The project will use financial support from impacted rail carriers; and

(F) The project will improve the mobility of multiple modes of transportation, including ingress and egress from freight facilities, or users of nonvehicular modes of transportation such as pedestrians, bicycles, and public transportation.

iii. Project Benefits:

FRA will evaluate application information for the extent to which the proposed project—

(A) Improves safety at Highway-Rail or Pathway-Rail Grade Crossings;

(B) Proposes to grade separate, eliminate, or close one or more Highway-Rail or Pathway-Rail Grade Crossings;

(C) Improves the mobility of both people and goods;

(D) Reduces emissions, protects the environment, and provides community benefit (including noise reduction);

(E) Improves access to emergency services;

(F) Improves access to communities;

(G) Provides economic benefit; and

(H) Uses contracting incentives to employ local labor, to the extent permissible under federal law.

For each evaluation criterion—Project Readiness, Technical Merit, and Project Benefits—FRA will evaluate whether the application demonstrates level of risk or responsiveness, as applicable, as described in the rubrics below.

For each merit criterion, FRA will use rubric ratings with applied criteria to evaluate whether the applications meet the defined thresholds:

For the Project Readiness Criteria described in section E(B)(i), FRA will evaluate the application's responsiveness to the criteria, including an assessment of supporting justifications, and assign a cumulative Project Readiness risk rating. Start Printed Page 56801

UnacceptableHigh riskMedium riskLow riskApplication provides limited or no information necessary to assess the project readiness criteria; application does not demonstrate support, progress, or completion of required Lifecycle Stage(s) pre-requisites; or application contains one or more significant barriers that would prevent project deliveryApplication provides insufficient information to assess the project readiness criteria; application does not demonstrate sufficient support, progress, or completion of required Lifecycle Stage(s) pre-requisites but indicates risk to advancing the project without foreseeable delays; or application contains a barrier that would likely prevent project delivery in any of these areasApplication provides sufficient information to assess the project readiness criteria; demonstrates support, progress, or completion on one or more required Lifecycle Stage(s) pre-requisites, but indicates some risk to advancing the project in a timely manner; and the application does not contain a barrier that would likely prevent project delivery in any of these areasApplication provides thorough and complete information and evidence to assess the project readiness criteria, and demonstrates strong support, progress, or completion on required Lifecycle Stage(s) pre-requisites, and indicates minimal risk to advancing the project in a timely manner; and application does not contain a barrier that would likely prevent project delivery in any of these areas.

For the Technical Merit Criteria described in section E(B)(ii), FRA will evaluate the application's responsiveness to the criteria, including an assessment of supporting justifications, and assign a cumulative technical merit rating.

UnacceptableAcceptableResponsiveHighly responsiveApplication provides limited or no information necessary to assess the technical merit criteria, or application demonstrates one or more significant technical challenges that would prevent the applicant from delivering the projectApplication contains insufficient information to assess one or more of the technical merit criteria, or application demonstrates technical challenges that could affect project delivery, but not prevent the applicant from delivering the projectApplication provides sufficient information and evidence to assess the technical merit criteria and demonstrates that the applicant can deliver the project with minimal technical challengesApplication provides thorough and complete information and evidence to assess the technical merit criteria, and sufficiently demonstrates that the project can be successfully delivered by the applicant.

For the Project Benefits Criteria described in section E(B)(iii), FRA will evaluate the application's responsiveness to the criteria, including an assessment of supporting justifications, and assign a cumulative Project Benefits rating.

UnacceptableAcceptableResponsiveHighly responsiveApplication provides insufficient information necessary to assess the project benefits criteria, and does not demonstrate that the project will achieve its intended benefitsThe application contains limited information to assess the project benefits criteria; or the project is not likely to achieve all of its intended benefitsApplication provides sufficient information to assess the project benefits criteria, and adequately demonstrates that the project will likely achieve its intended benefitsApplication provides thorough and complete information and evidence to assess the project benefits criteria, and sufficiently demonstrates that the project will achieve its intended benefits.

In addition to the ratings described above, FRA will also apply the selection preferences described in section E(C)(i) and consider the Administration Priorities described in section E(2)(c)(ii).

After completing the merit review, FRA will apply the selection criteria and consider the Administration Priorities in this section.

(A) result in one or more grade separated crossings;

(B) close grade crossings through Track Relocation; or

(C) result in corridor-wide grade crossing improvements. [ 19 ]

ii. Administration Priorities

FRA will consider how projects address the following key Administration Priorities:

Safety: FRA will assess the project's ability to foster a safe transportation system for the movement of goods and people, consistent with DOT's strategic goal to reduce transportation-related fatalities and serious injuries across the transportation system. Such considerations will include, but are not limited to, the extent to which the project improves and upgrades infrastructure to achieve a higher level of safety, reduces incidences of rail-related trespassing, upgrades infrastructure to achieve a higher level of safety, and uses an appropriately trained workforce. Overall, FRA expects that projects will provide positive safety benefits for all users and not negatively impact safety for all users.

Climate Change and Sustainability: FRA will assess the project's ability to reduce the harmful effects of climate change and anticipate necessary improvements to prepare for extreme weather events. Such considerations may include, but are not limited to, the extent to which the project reduces emissions, promotes energy efficiency, increases resiliency, incorporates evidence-based climate resilience measures or features, and avoids adverse environmental impacts to air or Start Printed Page 56802 water quality, wetlands, and endangered species.

Applicants are encouraged to use the DOT Navigator Climate checklist in responding to this criterion. Applications that are rated highly on this criterion will be those that use data-driven and evidence-based methods to demonstrate that the project will:

• Significantly reduce GHG emissions in the transportation sector; and
• Incorporate evidence-based climate resilience measures or features.

Equity and Justice40: FRA will assess elements including how the project will create positive outcomes that will reduce, mitigate, or reverse how a community is experiencing disadvantage through increasing affordable transportation options, improving health or safety, reducing pollution, connecting Americans to good-paying jobs, fighting climate change, and/or improving access to nature, resources, transportation or mobility, and quality of life. FRA will consider the benefits and potential burdens a project may create, who would experience them and how the benefits and potential burdens will impact disadvantaged communities.

Applicants are strongly encouraged to use the FRA's Justice40 Rail Explorer Tool ( https://usdot.maps.arcgis.com/​apps/​webappviewer/​index.html?​id=​fd9810f673b64d228ae072bead46f703 ) to identify the rail infrastructure in their project and features of the surrounding community as the basis of their assessment. The FRA Justice40 Rail Explorer Tool is a rail-specific complement to the USDOT ETC Explorer and leverages the same methodology and metrics. The FRA Justice40 Rail Explorer Tool provides GIS information on existing rail infrastructure, communities, and pollution levels based on the proposed project's location, and applicants can thus use this tool to note how their project location scores across several different measures. Transportation disadvantaged communities experience burden, as a result of underinvestment in transportation, in the following five components: Transportation Insecurity, Climate and Disaster Risk Burden, Environmental Burden, Health Vulnerability, and Social Vulnerability.

Applicants are also encouraged to use Climate & Economic Justice Screening Tool (CEJST), a new tool by the White House Council on Environmental Quality (CEQ), that aims to help Federal agencies identify disadvantaged communities as part of the Justice40 initiative to accomplish the goal that 40% of benefits from certain federal investment reach disadvantaged communities. Applicants should use CEJST to identify disadvantaged communities (Justice40 communities). Applicants are encouraged to use the USDOT Equitable Transportation Community (ETC) Explorer to understand how their community or project area is experiencing disadvantage related to lack of transportation investments or opportunities. Through understanding how a community or project area is experiencing transportation-related disadvantage, applicants are able to address how the benefits of a project will reverse or mitigate the burdens of disadvantage and demonstrate how the project will address challenges and accrued benefits.

Workforce Development, Job Quality, and Wealth Creation: FRA will assess how the project will create good-paying, safe jobs with free and fair choice to join a union including through the use of a project labor agreement, promote investments in high-quality workforce development programs, adopt local and economic hiring preferences for the project workforce, and promote local inclusive economic and entrepreneurship programs.

For Administration Priorities, FRA will consider the application's responsiveness to the criteria, and will result in a rating of “Non-responsive, “Acceptable,” “Responsive,” or “Highly Responsive” as described in the rubric below. Applicants do not need to respond to all of the Administration Priorities if the criterion is not applicable to the proposed project.

For the Administration Priorities Criteria described in section E(C)(ii), FRA will consider the application's responsiveness to the criteria, including an assessment of supporting justifications.

Non-responsiveAcceptableResponsiveHighly responsiveApplication contains insufficient information to assess any of the Administration Priorities, or project is inconsistent with one or more of the Administration PrioritiesApplication contains limited information that is supported by some evidence, but primarily described qualitatively, that the project is consistent with at least one of the Administration PrioritiesApplication contains sufficient information that is adequately supported by both quantitative and qualitative evidence that the project has clear and direct benefits in at least one of the Administration PrioritiesApplication contains thorough and complete information that is strongly supported by both quantitative and qualitative evidence that the project has clear, direct, and significant benefits in one or more of the Administration Priorities, and is not inconsistent with any of the Administration Priorities.

Upon completion of all reviews, FRA will finalize an Overall Rating for each application. This rating will be a combination of the results of the three Merit Criteria reviews, specifically Project Readiness, Project Benefits, and Technical Merit criteria ratings as described in sections E(B)(i)-E(B)(iii); and the Administration Priorities as described in section E(c)(ii). Provided in the Overall Rating Rubric below, each rating has defined parameters to which each application will be assessed. Start Printed Page 56803

Overall Rating

Not recommendedAcceptableRecommendedHighly recommendedThe application received an overall score of not recommended based on Project Readiness, Technical Merit, and Project Benefits ratings, and consideration of Administration PrioritiesThe application received an overall score of acceptable based on Project Readiness, Technical Merit, and Project Benefits ratings, and consideration of Administration PrioritiesThe application received an overall score of recommended based on Project Readiness, Technical Merit, and Project Benefits ratings, and has clear and direct benefits in one of the Administration PrioritiesThe application received an overall score of highly recommended based on Project Readiness, Technical Merit, and Project Benefits ratings, and has clear, direct, and significant benefits in one or more of the Administration Priorities.

The evaluation process may draw upon subject matter experts within FRA Division offices whose expertise is relevant to understanding the application's responsiveness to the program criteria, such as assessing the applicant's capacity to successfully deliver the project in compliance with applicable federal requirements based on factors including, but not limited to, the recipient's experience working with federal agencies, previous experience with DOT discretionary grant awards and/or the technical experience and resources dedicated to the project. Finally, in determining the allocation of program funds, FRA may also consider geographic diversity, diversity in the size of the systems receiving funding, and the applicant's receipt of other competitive awards.

FRA will conduct a five-part application review process, as follows:

• Intake and Eligibility Phase: Screen applications for applicant and project eligibility, completeness, and the minimum match (completed by the Evaluation Management and Oversight Team, or “EMOT,” comprised of FRA program review directors who manage the pre-award process);
• Evaluation Review Phase: Evaluate remaining applications against the statutory technical merit criteria, project benefit criteria, project readiness and the applicant's ability (based on past performance and relevant project factors) to develop and deliver similar projects, and alignment with Administration Priorities (completed by technical merit review panels consisting of FRA and other Department of Transportation (DOT) staff). The EMOT will compile the results of the Evaluation Review Phase consistent with the RCE Program set-asides and selection preferences. After considering all FRA reviews under the statutory criteria, applications will be assigned an overall rating of “Highly Recommended,” “Recommended,” “Acceptable,” or “Not Recommended”;
• Steering Committee Phase: The Steering Committee is comprised of Senior Directors with the Office of Railroad Development, which may also include senior leadership from the Railroad Office of Safety and other relevant offices. The EMOT briefs the Steering Committee on all rated applications, and the Steering Committee may request more information from FRA offices whose expertise may be relevant. The Steering Committee provides strategic direction, in line with program goals outlined in this NOFO, on the development of materials and approach for the Senior Review Team (SRT) briefing;
• Senior Review Phase: The SRT, which may include senior leadership from the Office of the Secretary and FRA, will review and apply selection criteria, and recommend an initial selection of projects for the FRA Administrator's review; and
• Selection and Award Phase: The FRA Administrator will recommend awards for the Secretary or his designee's review and approval.

Before making a federal award with a total amount of federal share greater than the simplified acquisition threshold per 2 CFR 200.1 and 2 CFR 200.320 , FRA will review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently the Federal Awardee Performance and Integrity Information System (FAPIIS)). See 41 U.S.C. 2313 .

An applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM.

FRA will consider any comments by the applicant, in addition to the other information, in making a judgment about the applicant's integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 CFR 200.206

F. Federal Award Administration Information  [ 20 ]

FRA will announce applications selected for funding in a press release and on FRA's website after the application review period. This announcement is FRA's notification to successful and unsuccessful applicants alike. Following this announcement, FRA will contact the point of contact listed in the SF 424 to initiate negotiation of a project-specific grant agreement. This notification is not an authorization to begin proposed project activities. FRA requires satisfaction of applicable requirements by the applicant and a formal agreement signed by both the grantee and FRA, including an approved scope, schedule, and budget, before obligating the grant.

In connection with any program or activity conducted with or benefiting from funds awarded under this notice, grantees of funds must comply with all applicable requirements of federal law, including, without limitation, the Constitution of the United States; the relevant authorization and appropriations, the conditions of performance, nondiscrimination requirements, and other assurances made applicable to the award of funds in accordance with regulations of DOT; and applicable federal financial assistance and contracting principles promulgated by the Office of Management and Budget. In complying with these requirements, grantees must ensure that no concession agreements are denied, or other contracting decisions made on the basis of speech or other activities protected by the First Start Printed Page 56804 Amendment. If DOT determines that a grantee has failed to comply with applicable federal requirements, DOT may terminate the award of funds and disallow previously incurred costs, requiring the grantee to reimburse any expended award funds. The new FRA grant agreement consists of three parts: Attachment 1: Standard Terms and Conditions, Attachment 2: Project-Specific Terms and Conditions, and Terms and Conditions Exhibits.

Examples of administrative and national policy requirements include: 2 CFR part 200 ; procurement standards at 2 CFR part 200 subpart D , 2 CFR 1207.317, and 2 CFR 200.401 ; compliance with federal civil rights laws and regulations; disadvantaged business enterprises requirements; debarment and suspension requirements; drug-free workplace requirements; FRA's and OMB's Assurances and Certifications; the Americans with Disabilities Act (ADA); safety requirements; NEPA; environmental justice; compliance with 49 U.S.C. 24905(c)(2) for the duration of NEC Projects; and 2 CFR 200.315 , governing rights to intangible property. Projects assisted with funds provided through the Maglev Grants Program are subject to 49 U.S.C. 5333(a) . Unless otherwise stated in statutory or legislative authority, or appropriations language, all financial assistance awards follow the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 CFR part 200 and 2 CFR part 1201 .

Assistance under this NOFO is subject to the grant conditions in 49 U.S.C. 22905 , including labor protective arrangements that are equivalent to the protective arrangements established under section 504 of the Railroad Revitalization and Regulatory Reform Act of 1976 ( 45 U.S.C. 836 ) with respect to employees affected by actions taken in connection with the project to be financed in whole or in part by grants, subject to 49 U.S.C. 22905 , the provision deeming operators as rail carriers and employers for certain purposes, and grantee agreements with railroad right-of-way owners for projects using railroad rights-of-way (see section D(2)(a)(viii)(A)(5)). [ 21 ]

Projects selected under this NOFO for commuter rail passenger transportation for positive train control projects may be transferred to the Federal Transit Administration for grant administration at the Secretary's discretion. If such a project is transferred to the Federal Transit Administration, applicants will be required to comply with chapter 53 of title 49 of the United States Code .

Projects that have not sufficiently considered climate change and environmental justice in their planning, as determined by FRA, will be required to do so before receiving funds for construction, consistent with core policy goals of assessing these potential impacts. For example, see Executive Order 14008 , Tackling the Climate Crisis at Home and Abroad ( 86 FR 7619 ), and Executive Order 14096 , Revitalizing Our Nation's Commitment to Environmental Justice. In the grant agreement, recipients will be expected to describe activities they have taken or will take prior to obligation of construction funds to address climate change and environmental justice (EJ). (See Article 9 of FRA's Attachment 2: Project-Specific Terms and Conditions for a list of project activities that address climate change and environmental justice priorities, available at: https://railroads.dot.gov/​sites/​fra.dot.gov/​files/​2024-02/​Attachment_​2_​Project_​Specific_​Terms_​12.11.23_​PDFa.pdf . ) Activities that address climate change include, but are not limited to, demonstrating the project: will result in significant greenhouse gas emissions reductions; supports emissions reductions goals in a local/regional/state plan; improves disaster preparedness and resilience; incorporates resilience in its design; and primarily focuses on funding for state of good repair and clean transportation options, including public transportation, walking, biking, and micro-mobility. Activities that address environmental justice may include, but are not limited to: basing project design on consideration of community impacts; information gained from screening tools such as CEJST, EPA's EJ Screen, or other appropriate environmental and community impacts tools developed by a State agency; connecting transportation disadvantaged communities or other communities with environmental justice concerns based on information gained from either the screening tools noted above or FRA's Justice40 Rail Explorer Tool; conducting enhanced, targeted outreach to potentially affected communities, including disadvantaged communities; considering environmental justice in alternatives analysis and final project design; and supporting a modal shift in freight or passenger movement to reduce emissions or reduce induced travel demand.

Projects must consider and address equity and barriers to opportunity in their planning, as determined by FRA, and as a condition of receiving construction funds, consistent with Executive Order 13985 , Advancing Racial Equity and Support for Underserved Communities Through the Federal Government ( 86 FR 7009 ). The grant agreement should include the grantee's description of activities it has taken or will take prior to obligation of construction funds that address equity and barriers to opportunity. These activities may include, but are not limited to: completing an equity impact analysis for the project; completing a community needs assessment; adopting an equity and inclusion program/plan; conducting meaningful public engagement to ensure underserved communities are provided an opportunity to be involved in the planning process in a manner consistent with Title VI of the Civil Rights Act (Title VI); including investments that either redress past barriers to opportunity or that proactively create new connections and opportunities for underserved communities; hiring from local communities; improving access to or providing economic growth and wealth building opportunities for underserved, overburdened, or rural communities; or addressing historic or current inequitable air pollution or other environmental, health, or economic burdens and impacts. (See Article 10 of FRA's Attachment 2: Project-Specific Terms and Conditions for a list of project activities that address efforts to improve racial equity and reduce barriers to opportunity, available at: https://railroads.dot.gov/​sites/​fra.dot.gov/​files/​2024-02/​Attachment_​2_​Project_​Specific_​Terms_​12.11.23_​PDFa.pdf . ) While not a selection criterion to the extent the project includes or is part of a station area, DOT encourages project sponsors to consider how the submitted project could develop or facilitate economic development, including commercial and residential development that enhances the economic vitality and competitiveness of the surrounding neighborhoods and region.

To the extent that applicants have not sufficiently considered job quality and labor rights in their planning, as determined by the Department of Labor, applicants will be required to do so before receiving funds for construction, consistent with Executive Order 14025 , Worker Organizing and Empowerment ( 86 FR 22829 ), and Executive Order 14052 , Implementation of the Infrastructure Investment and Jobs Act ( 86 FR 64335 ). Specifically, the project planning activities and project delivery actions must support: strong labor Start Printed Page 56805 standards and the free and fair choice to join a union, including project labor agreements, local hire agreements, distribution of workplace rights notices, and use of an appropriately trained workforce; support of high-quality workforce development programs, including registered apprenticeship, labor-management training programs, and supportive services to help train, place, and retain people in good-paying jobs and apprenticeships; and comprehensive planning and policies to promote hiring and inclusion for all groups of workers, including through the use of local and economic hiring preferences, linkage agreements with workforce programs that serve underrepresented groups, and proactive plans to prevent harassment. (See Article 11 of FRA's Attachment 2: Project-Specific Terms and Conditions for a list of project activities that address efforts to support good-paying jobs and strong labor standards, available at: https://railroads.dot.gov/​sites/​fra.dot.gov/​files/​2024-02/​Attachment_​2_​Project_​Specific_​Terms_​12.11.23_​PDFa.pdf . )

As a condition of grant award and consistent with Executive Order 11246 , Equal Employment Opportunity ( 30 FR 12319 , and as amended), all federally assisted contractors are required to make good faith efforts to meet the goals of 6.9 percent of construction project hours being performed by women, in addition to goals that vary based on geography for construction work hours and for work being performed by people of color. Under section 503 of the Rehabilitation Act of 1973 and its implementing regulations, affirmative action obligations for certain contractors include an aspirational employment goal of 7 percent workers with disabilities.

The U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) is charged with enforcing Executive Order 11246 , section 503 of the Rehabilitation Act, and the Vietnam Era Veterans' Readjustment Assistance Act of 1974. OFCCP has a Mega Construction Project Program through which it engages with project sponsors as early as the design phase to help promote compliance with non-discrimination and affirmative action obligations. OFCCP will identify projects that receive an award under this notice and are required to participate in OFCCP's Mega Construction Project Program from a wide range of Federally assisted projects over which OFCCP has jurisdiction and that have a project cost above $35 million. DOT will require project sponsors with costs above $35 million that receive awards under this funding opportunity to partner with OFCCP (if selected by OFCCP) as a condition of their DOT award.

It is the policy of the United States to strengthen the security and resilience of its critical infrastructure against all hazards, including physical and cyber risks, consistent with Presidential Policy Directive 21— Critical Infrastructure Security and Resilience, and National Security Memorandum (NSM-5) on Improving Cybersecurity for Critical Infrastructure Control Systems. Each applicant selected for federal funding must demonstrate, prior to signing of the grant agreement, efforts to consider and address physical and cyber security risks relevant to the transportation mode and type and scale of the project. Projects that have not appropriately considered and addressed physical and cyber security and resilience in their planning, design, and project oversight, as determined by DOT and the Department of Homeland Security, will be required to do so before receiving funds.

As expressed in Executive Order 14005 , Ensuring the Future Is Made in All of America by All of America's Workers ( 86 FR 7475 ), the executive branch should maximize, consistent with law, the use of goods, products, and materials produced in, and services offered in, the United States. Funds made available under this notice are subject to the domestic preference requirement in 49 U.S.C. 22905(a) (FRA Buy America) and the Build America, Buy America Act, Public Law 117-58 , 70901-52. DOT expects all applicants to comply with the applicable domestic preference requirements. However, Major Projects applicants should include a domestic sourcing plan that provides details on the extent to which the materials covered by the plan are to be imported and the extent to which such materials can be sourced domestically. Applicants should also provide an explanation in the plan of the number of domestic jobs—temporary and permanent—that will be generated by the project and outline a plan to transition any foreign labor responsibilities to domestic jobs. Major Projects applicants may also request a waiver from certain Buy America requirements along with the domestic sourcing plan.

As a condition of a grant award, grant recipients should demonstrate that the recipient has a plan for compliance with civil rights obligations and nondiscrimination laws, including Title VI of the Civil Rights Act of 1964 and implementing regulations ( 49 CFR part 21 ), the Americans with Disabilities Act of 1990 (ADA), section 504 of the Rehabilitation Act, and all other civil rights requirements and accompanying regulations. This may include a current Title VI plan, completed Community Participation Plan, and a plan to address any legacy infrastructure or facilities that are not compliant with ADA standards. DOT's and FRA's Offices of Civil Rights may work with awarded grant recipients to ensure full compliance with federal civil rights requirements.

Each applicant selected for a grant will be required to comply with all standard FRA reporting requirements, including quarterly progress reports, quarterly federal financial reports, and interim and final performance reports, as well as all applicable auditing, monitoring, and close out requirements. Reports may be submitted electronically. Pursuant to 2 CFR 170.210 , non-federal entities applying under this NOFO must have the necessary processes and systems in place to comply with the reporting requirements should they receive federal funding.

Applicants selected for funding are required to comply with all reporting requirements in the standard terms and conditions for FRA grant awards, including 2 CFR 180.335 and 2 CFR 180.350 . If the total value of a selected applicant's 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, the applicant during that period of time must maintain the information reported to SAM and ensure it is made available in the designated integrity and performance system (currently the Federal Awardee Performance and Integrity Information System (FAPIIS)) 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 Start Printed Page 56806 3010 of Public Law 111-212 , all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for federal procurement contracts, will be publicly available.

Recipients and subrecipients are also encouraged to incorporate program evaluation, including associated data collection activities from the outset of their program design and implementation, to meaningfully document and measure their progress towards meeting an agency priority goal(s). Title I of the Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act), Public Law 115-435 (2019) urges Federal awarding agencies and Federal assistance recipients and subrecipients to use program evaluation as a critical tool to learn, improve equitable delivery, and elevate program service and delivery across the program lifecycle. Evaluation means “an assessment using systematic data collection and analysis of one or more programs, policies, and organizations intended to assess their effectiveness and efficiency” ( 5 U.S.C. 311 ). Credible program evaluation activities are implemented with relevance and utility, rigor, independence and objectivity, transparency, and ethics (OMB Circular A-11, Part 6 Section 290).

For grant recipients receiving an award, evaluation costs are allowable costs (either as direct or indirect), unless prohibited by statute or regulation, and such costs may include the personnel and equipment needed for data infrastructure and expertise in data analysis, performance, and evaluation ( 2 CFR part 200 ).

Each applicant selected for funding must collect information and report on the project's performance using measures mutually agreed upon by FRA and the grantee to assess progress in achieving strategic goals and objectives. Examples of some rail performance measures for RCE funding are listed in the table below. The applicable measure(s) will depend upon the type of project.

Performance Measure Examples

Rail measures	Unit measure	Temporal	Primary administration goal	Secondary administration goal	Description
Reduced Grade Crossing Incidents	Count	Annual	Safety	Equity and Barriers to Opportunity	The number of grade crossing incidents at the grade crossings addressed by the project. Comparison of actual versus baseline and expected post-project number of incidents.
Reduced blocked crossing times	Count	Annual	Economic Strength	Safety	Average amount of time trains blocks the grade crossings addressed by the project. Comparison of actual performance versus baseline and expected post-project performance.
Improved emergency vehicle response times due to reduced blocked crossings	Time/Trip	Annual	Safety	Equity and Barriers to Opportunity	Measures how improvements impact emergency service vehicle response operations. Comparison of actual performance versus baseline and expected post-performance.
Increased percentage of freight transported by rail from commercial facility	Percentage	Annual	Economic Strength	Climate Change	Increased amount of freight transported compared to the baseline pre-project.
Average Daily Minutes of Delay	Average daily minutes of delay experience by vehicles	Minutes/Day	Economic Strength	Equity and Barriers to Opportunity	Traffic analysis can be performed to determine the average daily minutes of delay experienced by vehicles compared to baseline and expected post-project performance.

As a condition of grant award, grantees may be required to participate in an evaluation undertaken by DOT, or another agency or partner. The evaluation may take different forms, such as an implementation assessment across grant recipients, an impact or outcomes analysis of all or selected sites within or across grantees, or a benefit/cost analysis or assessment of return on investment. DOT may require applicants to collect data elements to aid the evaluation. As a part of the evaluation, and as a condition of award, grantees must agree to: (1) make records available 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 access to relevant information as requested; and (4) follow evaluation procedures as specified by the evaluation contractor or DOT staff. 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 part 200 ).

As a condition of grant award, for construction and non-construction projects, recipients may be required to post project signage and to include public acknowledgments in published and other collateral materials ( e.g., press releases, marketing materials, website, etc.) satisfactory in form and substance to DOT, that identifies the nature of the project and indicates that “the project is funded by the Bipartisan Infrastructure Law.” In addition, recipients employing project signage are required to use the official Investing in America emblem in accordance with the official Investing in America Emblem Style Guide. Costs associated with signage and public acknowledgments must be reasonable and limited. Signs or public acknowledgments should not be produced, displayed, or published if doing so results in unreasonable cost, expense, or recipient burden. The recipient is encouraged to use recycled or recovered materials when procuring signs. Start Printed Page 56807

For further information concerning this notice, please contact the FRA NOFO Support program staff via email at [email protected] . If additional assistance is needed, you may contact Ms. Jenny Zeng, Transportation Industry Analyst in FRA's Office of Rail Program Development, by email: [email protected] or telephone: 857-330-2481.

All information submitted as part of or in support of any application must use publicly available data or data that can be made public and methodologies that are accepted by industry practice and standards, to the extent possible. If an application includes information the applicant considers to be a trade secret or confidential commercial or financial information, the applicant should do the following: (1) note on the front cover that the submission “Contains Confidential Business Information (CBI)”; (2) mark each affected page “CBI”; and (3) highlight or otherwise denote the CBI portions.

DOT regulations implementing the Freedom of Information Act (FOIA) are found at 49 CFR part 7 subpart C —Availability of Reasonably Described Records under the Freedom of Information Act, which sets forth rules for FRA to make requested materials, information, and records publicly available under FOIA. Unless prohibited by law and to the extent permitted under the FOIA, contents of applications and proposals submitted by successful applicants may be released in response to FOIA requests. DOT may share application information within DOT or with other Federal agencies if DOT determines that sharing is relevant to the respective program's objectives.

Issued in Washington, DC.

Jennifer Mitchell,

Deputy Administrator.

1.  Additional information about the USDOT Strategic Plan, Research, Development and Technology Strategic Plan can be found here: https://www.transportation.gov/​dot-strategic-plan .

2.  FRA will consider right-of-way acquisition only if it is included in an application also seeking Construction funding.

3.  $1,146,528,000 in combined FY 2023-2024 supplemental appropriations ($573,264,000 each year) are provided by Title VIII of Division J of IIJA, as well as $2,281,580 in carryover FY 2022 supplemental appropriations from Title VIII of Division J of IIJA. This creates a total of $1,148,809,580 available.

4.  FRA awarded all of the FY 2022 Rural or Tribal set-aside to eligible applicants. No additional set-aside funds are carried forward to FY 2023-2024.

5.  Highway-Rail Grade Crossing Safety Information and Education Programs are eligible under this category. FRA generally interprets this project eligibility category to relate to projects that directly improve safety and mobility at existing at-grade crossing locations.

6.  FRA will only award funds for right-of-way (ROW)/property acquisition activities if the proposed project also includes construction activities consistent with the Construction Lifecycle Stage. FRA will not fund ROW acquisition activities independently or if proposed project only includes pre-construction activities or Lifecycle Stages ( i.e., Project Planning, Project Development, or Final Design).

7.  Applicants selected for funding are encouraged to submit the following before obligation: an updated Project Management Plan (including a schedule, capital cost estimate, and financial plan), as grantees will be expected to develop a Project Management Plan under the grant agreement. See FRA's Capital Projects Guidance, Section V—Project Management for additional information.

8.  The amount requested from the RCE program on the SF-424 is the official record of request, and therefore must be consistent with the amount requested in the Project Narrative and Statement of Work documents, including the breakdown of Federal and non-Federal sources. For applications with discrepancies, FRA will defer to the funding amount in the SF-424.

9.  For more information about selected Corridors under the Corridor Identification Program, please visit: https://railroads.dot.gov/​elibrary/​fy22-CID-program-selections .

10.  Applicants should submit evidence of the availability of non-Federal funds, which may include a board resolution, letter of support from the State, a budget document highlighting the line item or section committing funds to the proposed project. The applicant may provide this documentation in an appendix. Documentation of previous and recent local investments in the project may evidence of local financial commitment project, but cannot be used to satisfy non-Federal matching requirements. Any funding commitment letters must be signed by an authorized representative of the entity providing a non-Federal match.

11.  If there is a discrepancy between materials, FRA will defer to the funding amounts shown in the applicant's SF 424 as the amount requested for funding.

12.  For other Federal funding sources proposed as match, the applicant should explain why the Federal funds are eligible as match and the legal basis for that determination.

13.  For other Federal funds that will be used for the project, the applicant should identify the Federal program and fiscal year of the funding request(s), as well as highlight new or revised information in the application responsive to this NOFO that differs from the application(s) to other financial assistance programs.

14.  If seeking to use Preliminary Engineering costs as match for a Highway-Rail and Pathway-Rail Grade Crossing Improvement Project or trespassing prevention projects, please identify the costs incurred before project selection (but after November 15, 2021).

15.  Applicants can review the history of highway-rail crossing incidents relevant to their project on FRA's public safety website: https://safetydata.fra.dot.gov/​OfficeofSafety/​publicsite/​crossing/​crossing.aspx or https://data.transportation.gov/​dataset/​Highway-Rail-Grade-Crossing-Accident-Data-Form-57-/​aeeh-bp8c/​explore .

16.   https://railroads.dot.gov/​grants-loans/​fra-discretionary-grant-agreements .

17.  For more information on pre-award costs, see FRA Answers to Frequently Asked Questions about Pre-Award Authority, available at: https://railroads.dot.gov/​elibrary/​federal-railroad-administration-answers-frequently-asked-questions-about-pre-award .

18.  Additional information on DOT's Project Readiness checklist can be found here: https://www.transportation.gov/​grants/​dot-navigator/​project-readiness-checklist-dot-discretionary-grant-applicants .

19.  FRA considers corridor-wide grade crossing improvements to be projects that directly improve a series of linked, consecutive grade crossings.

20.  More information on FRA Discretionary Grant Agreements can be found at: https://railroads.dot.gov/​grants-loans/​fra-discretionary-grant-agreements .

21.  More information on labor protections can be found here: https://railroads.dot.gov/​elibrary/​equivalent-labor-protections .

[ FR Doc. 2024-15061 Filed 7-9-24; 8:45 am]

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