Self-Help Pre-application Forms and Links



USDA Rural Development Section 523 Mutual Self-Help Housing

Application Instructions and Form Links

Based on AN No. 4553 (1944-I) August 25, 2014

Rural Community Assistance Corporation (RCAC) is one of four technical and management assistance contractors hired nationally by USDA Rural Development (RD) to provide consultation and training to approved self-help applicants and grantees. RCAC also assists grantees and RD offices by providing program reviews, financial certifications, training, quarterly evaluation meetings, program reporting (SHARES) and recommendations in for best practices in program administration. The following states comprise RCAC’s contract service area of Western Region IV:

|Alaska |Montana |

|Arizona |Nevada |

|California |Oregon |

|Colorado |Utah |

|Hawaii |Washington |

|Idaho | Western Pacific Region |

If you are interested in the self-help program, please contact our staff in your state. If you are not sure who to call, please send an email or call RCAC’s Central Office for a referral.

RCAC will provide you with information on the program and help you assess whether the program is right for your community and your organization. The application process is lengthy and time intensive. We can guide you in the process and assist with templates for program development. This technical assistance is free to you. All we ask is that you contact us to explore the program. If you wish to proceed, it is required that you send us a letter after our initial consultation indicating that you would like to proceed. Please contact us for the template and instructions for this request. We will take that information and secure authority to work with you under our technical assistance contract with USDA Rural Development. Please assist us by securing our technical assistance services prior to the development of an application.

The official guide that established the required forms, recommended sections and specific items for the self-help preapplication and final applications is currently published in USDA Administrative Notice (AN) AN 4553, issued on March 3, 2011. This can be found on the RCAC website. To provide for smooth processing and review, specific information may be requested by the State RD Office. Check with your RCAC representative for the preferred formatting, routing, and required content.

Normally, the program is open for funding year round but is a two step process for new grantees. New grantees first prepare a preapplication for the operating program and a request for a predevelopment grant. If approved the grantee is awarded a grant of $10,000 to prepare the final application which is both costly in time to package a mortgage for the first builders and may require some additional funding for house plans and land development or purchase. The Self-Help Housing Program or SHOP which is funded by HUD through intermediaries is a good source to assist with these expenses as is the RCAC Loan Fund. The final application includes the first group of families qualified for the construction financing, developed lots, house plans and cost estimates, and a staffing plan to hire the qualified staff who will supervise the families in construction and bill paying. It may take as long as one year to develop this program. (See the Self-Help Housing Fact Sheet for more information)

In FY14 no new AN has been issued but a National Office directive has been stated. Due to the forecasting of renewing grantees and the appropriation level in the budget, the demand for funds appears to exceed available funds so no new grantees are being accepted at this time to expand the program. There may be an opportunity to transfer or replace grants as some grantees have left the program but this is decided on a case by case basis. All renewing grantees, which are performing satisfactorily, will only be funded at 90% of their current grants.

All applications in the region will be reviewed by RCAC for comment to USDA. Please be sure to give us your contact information and keep us current with it so we can easily send you updates as they are available.

Self-Help pre-application

forms and links

Most of this information comes from Administrative Notice (AN) 4553 which provides the instructions and required forms for the application process. AN 4553 is available on the RCAC webpage at: . The list below is only a partial listing of the application components which contain the forms. The links will give you the current online form. Since links and forms often change without notice, please contact us if you find one that does not work. We will assist you to find the replacement.

PRE-APPLICATION CHECKLIST

|Checklist Location|Name and Number |Link and Instructions |

|Attachment 1 (1) |Form SF-424 | or see the full set of forms at: |

| |Application for Federal | (If you get an unable to navigate message, please refresh the |

| |Assistance |page) |

| | |Completed by the applicant. Not a fillable form. |

|Attachment 1 (2) |Intergovernmental Review |No form but here is the actual federal document- Each state has a different processor it may have been discontinued by |

| |Submittal |the state. |

|Attachment 1 (10) |Form SF-424A Budget | |

| |Information (non |Completed by the applicant |

| |construction) | |

|Attachment 1 (15) |HUD Form 935.2b Fair | |

| |Housing Marketing Plan |Completed by the applicant |

|Attachment 1 (16) |Form RD 2006-38 Civil | |

| |Rights Impact Analysis |Completed in cooperation with RD |

| |Certification | |

|Attachment 1 (17)|Form RD 400-8 Compliance | |

| |Review (Pre-Award) |Completed in cooperation with RD |

|Attachment 1 (18) |RD Instruction 1944-I | |

| |Exhibit D Self-Help TA |Predevelopment Grant Agreement is on Page 50 |

| |Grant Predevelopment |Completed in cooperation with RD |

| |Agreement | |

|Attachment 1 (23) |Form AD-622 Notice of |Completed by RD- Sample in AN 4553 |

| |Pre-Application Review | |

| |Action and Letter of | |

| |Conditions | |

|Attachment 1 (24) |Form RD 1940-1 Request for| |

| |Obligation of Funds |Completed in cooperation with RD |

| |(Pre-development | |

| |Assistance) | |

|Survey on Ensuring|Survey on Faith Based |Required of all federal grants. Not on the SH Checklist but is required by USDA |

|Equal Opportunity |Organizations |before any grant closing. Recommend it be submitted with application cover letter or |

|for Applicants | |placed in a tabbed file at the end of the required tabs. Request form from State RD Office. |

| | |For more information see the report published at: |

| | | |

Self-Help application forms and links

Most of this information comes from Administrative Notice (AN) 4553 which provides the instructions and required forms for the application process. AN 4553 is available at the RCAC webpage. The partial list of the application components listed below contains the forms and links for the forms to be used.

|Checklist Location |Name and Number |Link and Instructions |

|Attachment 2 (1) |Form SF-424- Application for Federal | or see the full set of forms |

| |Assistance for Non-Construction Programs|at: (If you get an unable to navigate |

| |Including Intergovernmental Review |message, please refresh the page.) |

| |Response |Completed by the applicant. Not a fill able form. |

|Attachment 2 (6) |House plans, specifications, and | |

| |detailed cost estimates |Completed by the applicant |

|Attachment 2 (9) |Form SF-424A Budget Information (non | |

| |construction) |(If you get an unable to navigate message, please refresh the page.) |

| | |Completed by the applicant. Not a fill able form. |

|Attachment 2 (14) |Form RD 400-4 Assurance Agreement | |

| | |Completed by the applicant |

|Attachment 2 (17) |Group Agreement including Exhibit B-2 | Page 42 |

| |Labor Tasks |Completed by the applicant |

|Attachment 2 (18) |Form RD 1940-1 Request for Obligation of| |

| |Funds |Completed by RD with the cooperation of the grantee |

|Attachment 2 (19) |RD Instruction 1944-I Exhibit A | Page 30 |

| |Self-Help TA Grant Agreement |Completed by both RD and the grantee |

|Attachment 2 (20) |Form AD-1049 Certification Regarding | |

| |Drug-Free Workplace |Instructions: |

| | |Completed by the applicant |

|Attachment 2 (21) |Form AD-1047 Certification Regarding | |

| |Debarments, Suspension, and other | |

| |Responsibility Matters |Completed by the applicant |

|Attachment 2 (22) |RD Instruction 1940-Q Exhibit A-2 | |

| |Certification Regarding Lobbying |Execute form on page 6 Completed by the applicant |

|Attachment 2 (23) |RD Instruction 1944-I- 1944.411(c) | |

| |Statement of Compliance with 7 CFR Part | |

| |3015 & 3019 if a | |

| |non-profit or, Part 3015 & 3016, | |

| |if a State or Local government. | |

|Attachment 2 (24) |Form SF -424B Assurances – Non | |

| |Construction Programs |(If you get an unable to navigate message, please refresh the page.) |

| | |Completed by the applicant |

|Attachment 2 (31) |HUD Form 935.2A Fair Housing Marketing | |

| |Plan |Completed by the applicant per each location where Self-Help activities will take place |

|Attachment 2 (34) |Form RD 2006-38 Civil Rights Impact | |

| |Analysis Certification |Completed in cooperation with RD |

|Survey on Ensuring |Survey on Faith Based | |

|Equal Opportunity |Organizations | |

|for Applicants | |Required of all federal grants. Not on the SH Checklist but is required by USDA before any |

| | |grant closing. Recommend it be submitted with application cover letter or placed in a tabbed |

| | |file at the end of the required tabs |

Other handy

forms and links

Current USDA Rural Development AN’s, handbooks, and instructions can be found at: . Documents are generally available in PDF, Text, and Word formats.

|Form |Name |Link |

|Organizational DUNS |On the SF424 Form, Section 5 | |

|number | |Required indexing number for all recipients of federal dollars |

|RD 1924-2 |Materials and Specifications | |

|RD 3550-12 |Subsidy Repayment Agreement | |

|SF 270 |Request for Advance | |

|SF 425 |Federal Financial Report for | |

| |Grant Close-out | |

|RD Instruction 1944-I|RD Instruction 1944-I | |

|HB-1-3550 |502 Loan Program Handbook | |

| |Note: this is a very large |This is RD’s underwriting guide. Included in the Appendix are the income guidelines for lending. |

| |document |Many of the RD forms for the 502 program are also keyed into the document |

|HB -1-3500 |SFH Direct Loan and Grant Income| |

|Attachment |Limits | |

|RD Instruction |House Plans/Site Requirements | |

|1924A Guide 2 | | |

|Form AD-1048 |Certification Regarding | |

| |Debarments, Suspension, and | |

| |other Responsibility Matters- | |

| |subcontractors | |

|Form 402-2 |Form used for SBA tracking in RD| |

| |office | |

|AN 4252 |Indirect Costing-Technical |This AN has expired so it is no longer available on the web. Until it is reissued, please contact |

| |Assistance Grants Interagency |your RCAC staffer for a copy since we will still use it for guidance and it will be placed on our |

| |Agreement between Rural Housing |website. |

| |Services (RHS) and the United | |

| |States Department of the | |

| |Interior (DOI) | |

|AN 4553 |Self-Help Technical Assistance |Please contact your RCAC staffer for a copy since we will still use it for guidance or check the RCAC |

| |Grants Administration |website for a copy. |

|Housing Assistance |National SHOP | |

|Council (HAC) | | |

|SHOP Program | | |

|Community Frameworks |SHOP program in WA, OR, MT, and | |

|SHOP Program |ID | |

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