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> . : USDA Rural Development Section 523 Mutual Self-Help Housing
Application Instructions and Form Links
Based on AN No. 4828 (1944-I) March 27, 2017
Rural Community Assistance Corporation (RCAC) is one of four technical and management assistance contractors hired nationally by USDA Rural Development (RD) to provide general program information to all inquiries and specialized 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 RCACs contract service area of Western Region IV:
AlaskaMontanaArizona NevadaCaliforniaOregonColoradoUtahHawaiiWashingtonIdahoWestern 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 RCACs 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 4828, issued on March 27, 2017. 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 and 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 land acquisition and site development expenses as is the RCACs 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 FY17 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 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 application forms and links
Most of this information comes from Administrative Notice (AN) 4828 which provides the instructions and required forms for the application process. The application checklist for a Predevelopment grant is not included at this time since the agency does not intend to fund these grants. Only a partial list of the application components is listed below to provide the links to the required forms. AN 4828 is available at the RCAC webpage for more information and a complete listing of all the required documents. There are thirty eight sections in the full application.
Checklist LocationName and NumberLink and InstructionsAttachment 2 Tab (1)Form SF-424- Application for Federal Assistance for Non-Construction Programs Including Intergovernmental Review Response HYPERLINK "http://apply07.grants.gov/apply/FormLinks?family=15" http://apply07.grants.gov/apply/FormLinks?family=15
This link takes you to a listing of several federal forms. Scroll down to:
Government Wide
Application for Federal Assistance (SF-424)
(If you get an unable to navigate message, please refresh the page.)
Open file to make it fillable then save. Completed by the applicantAttachment 2 Tab (6)House plans, specifications, and detailed cost estimates HYPERLINK "http://forms.sc.egov.usda.gov/efcommon/eFileServices/eForms/RD1924-2.PDF" http://forms.sc.egov.usda.gov/efcommon/eFileServices/eForms/RD1924-2.PDF
Completed by the applicantAttachment 2 Tab (9)Form SF-424A Budget Information (non construction) HYPERLINK "http://apply07.grants.gov/apply/FormLinks?family=15" http://apply07.grants.gov/apply/FormLinks?family=15
This link takes you to a listing of several federal forms. Scroll down to:
Government Wide
Budget Information for Non-Construction Programs (SF-424A)
(If you get an unable to navigate message, please refresh the page.)
Open file to make it fillable then save. Completed by the applicantAttachment 2 Tab (14)Form RD 400-4 Assurance Agreement HYPERLINK "http://forms.sc.egov.usda.gov/efcommon/eFileServices/eForms/RD400-4.PDF" http://forms.sc.egov.usda.gov/efcommon/eFileServices/eForms/RD400-4.PDF
Completed by the applicantAttachment 2 Tab (17)Group Agreement including Exhibit B-2 Labor Tasks HYPERLINK "http://www.rurdev.usda.gov/SupportDocuments/1944i.pdf" http://www.rurdev.usda.gov/SupportDocuments/1944i.pdf Page 42
Group agreement template available from RCAC. Must include Labor tasks such as those listed in Exhibit B-2. Completed by the applicant.Attachment 2 Tab (18)Form RD 1940-1 Request for Obligation of Funds HYPERLINK "http://forms.sc.egov.usda.gov/efcommon/eFileServices/eForms/RD1940-1.PDF" http://forms.sc.egov.usda.gov/efcommon/eFileServices/eForms/RD1940-1.PDF
Completed by RD with the cooperation of the grantee. Save a tab spaceAttachment 2 Tab (19)RD Instruction 1944-I Exhibit A Self-Help TA Grant Agreement HYPERLINK "http://www.rurdev.usda.gov/SupportDocuments/1944i.pdf" http://www.rurdev.usda.gov/SupportDocuments/1944i.pdf Page 30
Completed by both RD and the grantee after grant approved and obligated at closing. Starts the 24 hour clock and compliance with this agreement is an evaluation criteria.Attachment 2 Tab (20)Form AD-1049 Certification Regarding Drug-Free Workplace HYPERLINK "http://www.fnph.org/images/Form_AD-1049_REV_5_90_.pdf" http://www.fnph.org/images/Form_AD-1049_REV_5_90_.pdf
Instructions: HYPERLINK "http://www.fnph.org/images/AD1049_-_Instructions.pdf" http://www.fnph.org/images/AD1049_-_Instructions.pdf
Completed by the applicantAttachment 2 Tab (21)Form AD-1047 Certification Regarding Debarments, Suspension, and other Responsibility Matters HYPERLINK "http://www.fnph.org/images/Form_AD-1047_1_92_.pdf" http://www.fnph.org/images/Form_AD-1047_1_92_.pdf
HYPERLINK "http://www.fnph.org/images/AD1047_-_Instructions.pdf" http://www.fnph.org/images/AD1047_-_Instructions.pdf
Completed by the applicantAttachment 2 Tab (22)RD Instruction 1940-Q Exhibit A-2 Certification Regarding Lobbying HYPERLINK "http://www.rurdev.usda.gov/SupportDocuments/1940q.pdf" http://www.rurdev.usda.gov/SupportDocuments/1940q.pdf
Execute form on page 6. Completed by the applicantAttachment 2 Tab (23)Statement of Compliance with 2 CFR 200 Part 400 & 416 if a State or Local government; or Part 400 & 415 if a non-profit HYPERLINK "https://www.gpo.gov/fdsys/pkg/CFR-2016-title2-vol1/pdf/CFR-2016-title2-vol1-sec200-400.pdf" https://www.gpo.gov/fdsys/pkg/CFR-2016-title2-vol1/pdf/CFR-2016-title2-vol1-sec200-400.pdf
HYPERLINK "https://www.gpo.gov/fdsys/pkg/CFR-2016-title2-vol1/pdf/CFR-2016-title2-vol1-sec200-416.pdf" https://www.gpo.gov/fdsys/pkg/CFR-2016-title2-vol1/pdf/CFR-2016-title2-vol1-sec200-416.pdf
HYPERLINK "https://www.gpo.gov/fdsys/pkg/CFR-2016-title2-vol1/pdf/CFR-2016-title2-vol1-sec200-415.pdf" https://www.gpo.gov/fdsys/pkg/CFR-2016-title2-vol1/pdf/CFR-2016-title2-vol1-sec200-415.pdfAttachment 2 Tab (24)Form SF -424B Assurances Non Construction Programs HYPERLINK "http://apply07.grants.gov/apply/FormLinks?family=15" http://apply07.grants.gov/apply/FormLinks?family=15
This link takes you to a listing of several federal forms. Scroll down to:
Government Wide
Assurances for Non-Construction Programs (SF-424B)
(If you get an unable to navigate message, please refresh the page.)
Open file to make it fillable then save. Completed by the applicantAttachment 2 Tab (31)HUD Form 935.2A Fair Housing Marketing Plan HYPERLINK "https://portal.hud.gov/hudportal/documents/huddoc?id=935-2b.pdf" https://portal.hud.gov/hudportal/documents/huddoc?id=935-2b.pdf
Completed by the applicant per each location where Self-Help activities will take placeAttachment 2 Tab (34)Form RD 2006-38
2006-P, 2006.754(b) HYPERLINK "http://www.rcac.org/wp-content/uploads/2015/03/RD2006-0038_civil-rights-impact.pdf" http://www.rcac.org/wp-content/uploads/2015/03/RD2006-0038_civil-rights-impact.pdf
Completed by RD. Will need information from the organization.Attachment 2 Tab (35)Compliance Review
Form RD 400-8 RD Inst. 1901-E,
1901.204(a) & 1901.204 (c)(3) HYPERLINK "http://www.rcac.org/wp-content/uploads/2015/03/RD0400-0008_compliance-review.pdf" http://www.rcac.org/wp-content/uploads/2015/03/RD0400-0008_compliance-review.pdf
Completed by RD. Will need information from the organization. Other handy
forms and links
Current USDA Rural Development ANs, handbooks, and instructions can be found at: HYPERLINK "http://www.rurdev.usda.gov/RegulationsAndGuidance.html" http://www.rurdev.usda.gov/RegulationsAndGuidance.html. Documents are generally available in PDF, Text, and Word formats.
Form NameLinkOrganizational DUNS numberOn the SF424 Form, Section 5 HYPERLINK "http://www.whitehouse.gov/omb/grants/duns_num_guide.pdf" http://www.whitehouse.gov/omb/grants/duns_num_guide.pdf
Required indexing number for all recipients of federal dollarsRD 1924-2
Materials and SpecificationsHYPERLINK "http://www.rurdev.usda.gov/regs/forms/1924-02.pdf"http://www.rurdev.usda.gov/regs/forms/1924-02.pdfRD 3550-12
Subsidy Repayment Agreement HYPERLINK "https://formsadmin.sc.egov.usda.gov/efcommon/eFileServices/Forms/RD3550-0012_060900V01.pdf" https://formsadmin.sc.egov.usda.gov/efcommon/eFileServices/Forms/RD3550-0012_060900V01.pdfSF 270
Request for Advance HYPERLINK "http://www.whitehouse.gov/omb/grants/sf270.pdf" http://www.whitehouse.gov/omb/grants/sf270.pdfSF 425
Federal Financial Report for Grant Close-out HYPERLINK "http://www.whitehouse.gov/sites/default/files/omb/assets/grants_forms/SF-425.pdf" http://www.whitehouse.gov/sites/default/files/omb/assets/grants_forms/SF-425.pdf
HYPERLINK "http://www.whitehouse.gov/sites/default/files/omb/grants/standard_forms/SF-425_instructions.pdf" http://www.whitehouse.gov/sites/default/files/omb/grants/standard_forms/SF-425_instructions.pdfRD Instruction 1944-IRD Instruction 1944-I HYPERLINK "http://www.rurdev.usda.gov/regs/regs/pdf/1944i.pdf" http://www.rurdev.usda.gov/regs/regs/pdf/1944i.pdfHB-1-3550502 Loan Program Handbook
Note: this is a very large document HYPERLINK "http://www.rurdev.usda.gov/regs/hblist.html#hb1" http://www.rurdev.usda.gov/regs/hblist.html#hb1
This is RDs underwriting guide. Included in the Appendix are the income guidelines for lending. Many of the RD forms for the 502 program are also keyed into the documentHB -1-3500
AttachmentSFH Direct Loan and Grant Income Limits HYPERLINK "http://www.rurdev.usda.gov/HSF-Direct_Income_Limits.html" http://www.rurdev.usda.gov/HSF-Direct_Income_Limits.htmlRD Instruction
1924A Guide 2House Plans/Site Requirements HYPERLINK "http://www.rurdev.usda.gov/regs/regs/pdf/1924a.pdf" http://www.rurdev.usda.gov/regs/regs/pdf/1924a.pdfForm AD-1048Certification Regarding Debarments, Suspension, and other Responsibility Matters- subcontractors HYPERLINK "http://www.rurdev.usda.gov/regs/forms/1048.pdf" http://www.rurdev.usda.gov/regs/forms/1048.pdfForm 402-2Form used for SBA tracking in RD office HYPERLINK "http://www.rurdev.usda.gov/regs/forms/1048.pdf" http://www.rurdev.usda.gov/regs/forms/0402-02.pdfAN 4252Indirect Costing-Technical Assistance Grants Interagency Agreement between Rural Housing Services (RHS) and the United States Department of the Interior (DOI)This AN has expired so it is no longer available on the web. Until it is reissued, please contact your RCAC staffer for a copy since we will still use it for guidance and it will be placed on our website.
AN 4553Self-Help Technical Assistance Grants AdministrationPlease contact your RCAC staffer for a copy since we will still use it for guidance or check the RCAC website for a copy.
Housing Assistance Council (HAC)
SHOP ProgramNational SHOP HYPERLINK "http://216.92.48.246/servicesLoans_SelfHelpHousing.php" http://216.92.48.246/servicesLoans_SelfHelpHousing.phpCommunity Frameworks
SHOP ProgramSHOP program in WA, OR, MT, and ID HYPERLINK "http://www.communityframeworks.org/shop/shop_index.html" http://www.communityframeworks.org/shop/shop_index.html
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RCAC e 7 * Self-Help Pre-application Forms and Links Title 8 @ _PID_HLINKS A W z c 8 h t t p : / / w w w . c o m m u n i t y f r a m e w o r k s . o r g / s h o p / s h o p _ i n d e x . h t m l Z ` 7 h t t p : / / 2 1 6 . 9 2 . 4 8 . 2 4 6 / s e r v i c e s L o a n s _ S e l f H e l p H o u s i n g . p h p v j ] / h t t p : / / w w w . r u r d e v . u s d a . g o v / r e g s / f o r m s / 1 0 4 8 . p d f v j Z / h t t p : / / w w w . r u r d e v . u s d a . g o v / r e g s / f o r m s / 1 0 4 8 . p d f h - W 3 h t t p : / / w w w . r u r d e v . u s d a . g o v / r e g s / r e g s / p d f / 1 9 2 4 a . p d f ` T 9 h t t p : / / w w w . r u r d e v . u s d a . g o v / H S F - D i r e c t _ I n c o m e _ L i m i t s . h t m l A Q , h t t p : / / w w w . r u r d e v . u s d a . g o v / r e g s / h b l i s t . h t m l h b 1 h # N 3 h t t p : / / w w w . r u r d e v . u s d a . g o v / r e g s / r e g s / p d f / 1 9 4 4 i . p d f G K ` h t t p : / / w w w . w h i t e h o u s e . g o v / s i t e s / d e f a u l t / f i l e s / o m b / g r a n t s / s t a n d a r d _ f o r m s / S F - 4 2 5 _ i n s t r u c t i o n s . p d f A 3 H Q h t t p : / / w w w . w h i t e h o u s e . g o v / s i t e s / d e f a u l t / f i l e s / o m b / a s s e t s / g r a n t s _ f o r m s / S F - 4 2 5 . p d f n h E / h t t p : / / w w w . w h i t e h o u s e . g o v / o m b / g r a n t s / s f 2 7 0 . p d f B [ h t t p s : / / f o r m s a d m i n . s c . e g o v . u s d a . g o v / e f c o m m o n / e F i l e S e r v i c e s / F o r m s / R D 3 5 5 0 - 0 0 1 2 _ 0 6 0 9 0 0 V 0 1 . p d f U ? 2 h t t p : / / w w w . r u r d e v . u s d a . g o v / r e g s / f o r m s / 1 9 2 4 - 0 2 . p d f k + < 8 h t t p : / / w w w . w h i t e h o u s e . g o v / o m b / g r a n t s / d u n s _ n u m _ g u i d e . p d f $ & 9 7 h t t p : / / w w w . r u r d e v . u s d a . g o v / R e g u l a t i o n s A n d G u i d a n c e . h t m l D 6 Q h t t p : / / w w w . r c a c . o r g / w p - c o n t e n t / u p l o a d s / 2 0 1 5 / 0 3 / R D 0 4 0 0 - 0 0 0 8 _ c o m p l i a n c e - r e v i e w . p d f G = 3 S h t t p : / / w w w . r c a c . o r g / w p - c o n t e n t / u p l o a d s / 2 0 1 5 / 0 3 / R D 2 0 0 6 - 0 0 3 8 _ c i v i l - r i g h t s - i m p a c t . p d f ! ; 0 @ h t t p s : / / p o r t a l . h u d . g o v / h u d p o r t a l / d o c u m e n t s / h u d d o c ? i d = 9 3 5 - 2 b . p d f " $ - 4 h t t p : / / a p p l y 0 7 . g r a n t s . g o v / a p p l y / F o r m L i n k s ? f a m i l y = 1 5 s " * [ h t t p s : / / w w w . g p o . g o v / f d s y s / p k g / C F R - 2 0 1 6 - t i t l e 2 - v o l 1 / p d f / C F R - 2 0 1 6 - t i t l e 2 - v o l 1 - s e c 2 0 0 - 4 1 5 . p d f s ! ' [ h t t p s : / / w w w . g p o . g o v / f d s y s / p k g / C F R - 2 0 1 6 - t i t l e 2 - v o l 1 / p d f / C F R - 2 0 1 6 - t i t l e 2 - v o l 1 - s e c 2 0 0 - 4 1 6 . p d f r ' $ [ h t t p s : / / w w w . g p o . g o v / f d s y s / p k g / C F R - 2 0 1 6 - t i t l e 2 - v o l 1 / p d f / C F R - 2 0 1 6 - t i t l e 2 - v o l 1 - s e c 2 0 0 - 4 0 0 . p d f L ! 6 h t t p : / / w w w . r u r d e v . u s d a . g o v / S u p p o r t D o c u m e n t s / 1 9 4 0 q . p d f B 5 h t t p : / / w w w . f n p h . o r g / i m a g e s / A D 1 0 4 7 _ - _ I n s t r u c t i o n s . p d f r e 2 h t t p : / / w w w . f n p h . o r g / i m a g e s / F o r m _ A D - 1 0 4 7 _ 1 _ 9 2 _ . p d f B 5 h t t p : / / w w w . f n p h . o r g / i m a g e s / A D 1 0 4 9 _ - _ I n s t r u c t i o n s . p d f | ] 6 h t t p : / / w w w . f n p h . o r g / i m a g e s / F o r m _ A D - 1 0 4 9 _ R E V _ 5 _ 9 0 _ . p d f T 6 h t t p : / / w w w . r u r d e v . u s d a . g o v / S u p p o r t D o c u m e n t s / 1 9 4 4 i . p d f I h t t p : / / f o r m s . s c . e g o v . u s d a . g o v / e f c o m m o n / e F i l e S e r v i c e s / e F o r m s / R D 1 9 4 0 - 1 . P D F T 6 h t t p : / / w w w . r u r d e v . u s d a . g o v / S u p p o r t D o c u m e n t s / 1 9 4 4 i . p d f 7 d H h t t p : / / f o r m s . s c . e g o v . u s d a . g o v / e f c o m m o n / e F i l e S e r v i c e s / e F o r m s / R D 4 0 0 - 4 . P D F " $ 4 h t t p : / / a p p l y 0 7 . g r a n t s . g o v / a p p l y / F o r m L i n k s ? f a m i l y = 1 5 I h t t p : / / f o r m s . s c . e g o v . u s d a . g o v / e f c o m m o n / e F i l e S e r v i c e s / e F o r m s / R D 1 9 2 4 - 2 . P D F " $ 4 h t t p : / / a p p l y 0 7 . g r a n t s . g o v / a p p l y / F o r m L i n k s ? f a m i l y = 1 5
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