NCDOT Rail Division > Industrial Access

Application and Grant Requirements

Step 1 - Pre-Application

1. The applicant requests from the Rail Division a copy of the Rail Industrial Access Program policy and procedures, as well as an application.

Eligible costs for RIAP funding include:

site preparation - including grading and drawings
track construction
switches
grade crossings and signals.

Costs such as engineering, relocation of utilities, right-of-way acquisition and rail dock are not eligible for RIAP funding.

2. Rail Division staff meet with the applicant/ industry representative to review program process - including eligible program costs, funding allocation and bid procurement requirements. Photographs of the proposed project site will be taken.

3. Industry meets with railroad representative as soon as possible to inspect site, prepare preliminary plans, and prepare a cost estimate to construct rail spur for proposed site.

4. Industry obtains Assurance of Service Commitment from railroad.

5. Industry obtains resolution from municipal government(s). An interim letter of support may be accepted pending receipt of a formal resolution.

Step 2 - Application

1. The applicant submits project application and budget for grant. The application must include certification that the industry will meet program requirements for employment and rail use, and will obtain necessary easements.
Download Project Application form (MS Word)

2. Rail Division receives and evaluates grant application and project budget.

3. Rail Division submits request to Board of Transportation for approval. Applications received by the 1st of the month will normally be considered for approval at the following monthly BOT meeting.
Board Meeting Schedule for 2010:
January 6-7, February 3-4, March 3-4, March 31-April 1, May 5-6, June 2-3, June 30-July 1, August 4-5, September 1-2, October 6-7, November 3-4, December 8-9.
Note: Schedule is subject to change. Visit the NCDOT web page for the latest Board of Transportation information.

4. Board of Transportation approves funding and decides funding level, including any retroactive eligible expenses.

Step 3 - Grant Agreement

1. Rail Division will prepare letter to applicant acknowledging grant approval and requesting that final plans and specifications be submitted to Rail Division as soon as possible. A copy of this letter should be provided to appropriate elected officials.

2. Rail Division prepares and sends Rail Industrial Access Agreement to applicant (hereafter grantee).

Sample agreement for Government Entity
Sample agreement for Private or Non-Profit Entity

3. Grantee executes above agreements and returns documents to Rail Division.

Step 4 - Preconstruction

1. Grantee submits railroad-approved construction plans and specifications to Rail Division for review. Plans should identify: the track(s) to be constructed, point of switch station, end of track station, stationing, length of track to be constructed, construction responsibility limits for railroad and contractor, grading associated with track construction and who furnishes and installs the turnout on the railroad. Specifications should list size of rail and ties to be provided, along with other materials and miscellaneous hardware. Line item bid sheet is suggested. (Note: Rail Division review will be for suggestions and recommendations only and not for approval.)

2. Rail Division staff visit site to review project budget, proposed plans/specifications and answer any additional questions.

3. Grantee should follow these steps to meet bid procurement requirements.
1) Submit request for bids to Rail Division for review/approval.
2) Obtain contractor bids through competitive bid process.
3) Recommend bid award for review and approval by Rail Division prior to execution of the contract.
4) Execute the contract after approval from the Rail Division.

Step 5 - Construction

1. Grantee provides copy of signed contract and monthly work schedule to Rail Division staff.

2. Rail Division staff may periodically visit sites to observe track construction progress.

3. Grantee notifies Rail Division when track construction is completed.

4. Grantee provides to the Rail Division a form completed by the delivering railroad that track construction is acceptable and that rail service will be provided to subject industry site.
Download Rail Acceptance form (MS Word)

5. Grantee requests and receives rail service from the railroad.

6. Grantee provides documentation to Rail Division that first car has moved in revenue service over new rail spur.

7. Rail Division staff conducts site visit after construction is completed to review project work and confirm that cars are moving in revenue service.

8. Grantee submits a copy of the final construction plans to Rail Division.

Step 6 - Reimbursement and Monitoring

1. Grantee submits Request for Reimbursement form and Subcontractor Payment Information form with copies of backup documentation to the Rail Division.

2. Rail Division and Fiscal Section review and approve project invoices submitted with Request for Reimbursement form. Site grading, track construction and crossing costs associated with construction of the railroad track are eligible for reimbursement.
Download Request for Reimbursement form (MS Word)
Download Subcontractor Payment Information form (MS Excel)

3. After approval of invoices by Rail Division and Fiscal, reimbursement check is submitted to grantee.

4. Fiscal conducts audit; Rail Division closes project.

State Audit
Non-state grantees and private entities are required to comply with the reporting requirements in North Carolina General Statute 143-6.2 and North Carolina Administrative Code Title 09, Section 03M-.0102 - .0802. They specify that non-state grantees that receive state funds between $25,000 and $500,000 must file annually with NCDOT the following:

State Grant Certification and Sworn Statement;
State Grants Compliance Reporting: Receipt of $25,000 or more;
Schedule of Receipts and Expenditures;
Program Activities and Accomplishments Report.

All reporting requirements shall be filed with the NC Office of State Budget and Management within six months after the end of the grantee's fiscal year in which the state funds were received. These forms are available at ncgrants.gov. An NCIO username and password is required to access the Grants Center. (https://ncid.nc.gov)

Project Monitoring
For the first two years after construction, the Industry should report employment and rail uses to Rail Division.

During years three, four and five after construction, the Industry should report rail uses to Rail Division.