RD 4279-2 Certification of Non-Relocation and Market and Capacity

Position 3
Form 4279-2
(Rev. 4-97)

FORM APPROVED
OMB NO. 0570-0017
OMB NO. 0570-0050

UNITED STATES DEPARTMENT OF AGRICULTURE
RURAL BUSINESS-COOPERATIVE SERVICE (RBS)

CERTIFICATION OF NON-RELOCATION
AND
MARKET AND CAPACITY INFORMATION REPORT
(To be completed by applicant)
This form is to be executed by applicants for financial assistance for loan guarantees or grants under provisions of the
Consolidated Farm and Rural Development Act (7 U.S.C 1932 and 7 U.S.C. 8107).
1.

Name of Applicant:

1a. Employer ID No.

2.

Name of Benefited Business or Industry:

2a. Employer ID No.
2b. Labor File No.

3.

Location of Proposed Project:

4.

This Project is:
A new business venture
A new branch or facility
An expansion of an existing facility
Affiliate or Subsidiary of:

5.
6.
7.

Amount of Loan or Grant:
$ ______________________________
Purpose of Loan or Grant - (Specify)

8.

a.

Principal
Product
Col. (1)
Product #1
$ Value
In Units
Product #2
$ Value
In Units
Product #3
$ Value
In Units
Product #4
$ Value

Refinance of Existing Loan
A Transfer of Ownership
Other (Explain)

Information about your products or services: (NOTE: Describe each principal product or service to be furnished through this project.
Do not list products or services already being offered unless this project also offers them and they are essentially an expansion of past
activities. Enter in Column 6 the same information as provided in Column 4 except it should relate to employment at full capacity.
Be specific. For example, “MANUFACTURE FURNITURE-OFFICE-WOOD DESKS”.

Products or Services
and NAICS Code
(2)

Projected Annual Sales and Average Employment to be
Generated by each product:
Latest Annual Total
At Full Capacity
Sales
Employment
Sales
Employment
(3)
(4)
(5)
(6)

In Units
According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a valid OMB control number. The
valid OMB control number for this information collection is 0570-0017 and 0570-0050. The time required to complete this information collection is estimated to average 2 hour per response, including the time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

b.

Principal Occupations:

Occupational Job Title
Col. (1)

9.

INFORMATION ABOUT YOUR MARKET
List below, for each principal product or service, the states in which you expect to make the greatest part of your sales. You need list only those
states in which you expect to sell at least 5 percent of your volume. If your sales are nationwide, enter the word “NATIONAL” in the righthand
column. If more than 5 percent of your total projected sales are to be in any standard metropolitan statistical area (for example, Chicago and its
nearby suburbs), enter the name of the area. If possible, give the approximate percentage of your total sales which you expect to make in the states
and metropolitan areas listed. (See sample entry in the table below.)

Principal Product
or Service
(Sample entry)
Product “X”

10.

a.

Average Employment and Wage Rates
Current Period
When Fully Operational
Average
Average
Employment
Wage Rate
Employment
Wage Rate
(2)
(3)
(4)
(5)

States and Standard Metropolitan Statistical Areas in Which Sales Are Projected
Chicago (8%)
Kentucky (15%)

Indiana (12%)
Iowa (20%)

Wisconsin (20%)
Nebraska (10%)

INFORMATION ABOUT YOUR COMPETITORS
Please list the principal competitors offering the same or similar service or manufacturing a similar or identical product, regardless of where they
are located, but only those who are selling in the market area you have indicated in section 9 above, where you intend to sell. Also indicate the
location of your competitor's plants from which he is most likely to be serving your market area. If your market is national, omit a listing of
competitors shipping points.
NOTE: In terms of the following listing, a competitor should be considered an enterprise offering essentially similar services or products. Thus,
a summer resort providing golf, swimming and tennis is not competitive with a winter resort offering only skiing and skating. By the same token,
gypsum board or particle board are not considered competitive with plywood, nor wood furniture with metal furniture.
Names of Competitors
Location of plants serving market (Include street, city,
state and zip code).
1.
2.
3.
4.

b.

5.
To the best of your knowledge, has any competitor recently ceased operations or withdrawn from your market area?
Give name and state reason, if known.

c.

Are you aware of any potential new entries or planned expansions which will be competitive in your market area? If known, describe by
name and location.

11.

Applicant must check one of a, b, or c below: (NOTE: “Related Company” as used in this form means any affiliate, subsidiary, or other business
entity under direct, indirect or common control with applicant.)
a. New Business Venture. This project is a new business venture unrelated to existing business facilities, and that the applicant is not a company
related to an existing business facility. (NOTE: If applicant or a related company has ceased or substantially reduced operations during the 24
months preceding the date of this request, the information required by Section 12 below must be attached.)
b.

Expansion of Applicant’s Only Business Facility. This project is an expansion of an existing business facility located at:

Which carries on the following operations:

c.

12.

Applicant or Related Company with Business Facility at Another Location. Applicant has attached __________ pages containing the
information required by section 12 of this form concerning business operations conducted by the Applicant or by a related company at
other locations than the location of the proposed project. Applicant has included business operations which have ceased or have been
substantially reduced during the 24 months preceding the date of this request if such operations were conducted by Applicant or a
related company.
It is not the intention of the Applicant or any related company to relocate any present operation as a result of the proposed Project; that
to the extent said Project is undertaken to assist in the expansion of the operations of Applicant through the establishment of a new
branch, affiliate or subsidiary of Applicant, such expansion will not result in an increase of unemployment in the area of original
location or in any area where Applicant or any related company now conducts related business operations; that any such expansion is
not being undertaken with the intention of closing down or curtailing any existing operations of Applicant or of any related company;
and that such Project is not being undertaken with the intention of performing as contractor or subcontractor work heretofore performed
by Applicant or a related company, the transfer of which work would result in the transfer of employment opportunities from one
location to another and an increase in unemployment at the previous location of such work.
I agree further that if within one year of the commencement of operations of the Project for which the United States Department of
Agriculture (USDA) has made a grant, loan, or guarantee, there should occur a significant and related decline in employment in a
present location or locations conducted by Applicant or a related company, the lender, pursuant to instructions from USDA, shall
liquidate the loan or accelerate the repayment of any financial assistance guaranteed, insured, or provided by USDA. I understand that
there shall arise a rebuttable presumption that a decline in employment in a present location or locations is significant and related to
USDA assistance to the Project, if the reduction in average employment in present facilities and location is equal to (a) 50% for all
locations or (b) 25% for one location, of the level of employment in this USDA assisted Project. These understandings and agreements
are applicable to all transferees and successors in interest.
The information required by this section must be supplied if Applicant or a related company now conducts business operations at a location other
than the location of the proposed Project, or if Applicant or a related company has ceased or substantially reduced operations within the
24 months preceding the date of this application. A separate sheet of paper should be used for each location. Give the following information:
(l) Name of company, (2) Full address of site on which business operations are or were conducted, (3) Relationship of Applicant to business entity
conducting operation, (4) Brief description of articles produced or services provided at location, (5) Underline production articles or services
provided which are similar to articles to be produced or services to be provided by the proposed Project, (6) Average number of persons employed
at the location, (7) Average number of persons employed in production of articles or services similar to those provided by the proposed Project, (8)
If applicable, date on which operations ceased, or were substantially reduced, and (9) If applicable, the size of the reduction.

13.

Please give below name, address, telephone number and title of person to be contacted if any questions arise concerning this form.

14.

CERTIFICATION: I, hereby certify that the information reported on this form, and any attachments to this form, are to the best of my belief and
knowledge, truly representative of the facts and reflect the future intentions of the Applicant as of this date:

(Date)

(Signature of authorized official)

(Title)