FSA-2211 Application for Guarantees

This form is available electronically. Form Approved – OMB No. 0560-0155 (See Page ­­  for Privacy Act and Public Burden Act Statements)

FSA-2211 U.S. DEPARTMENT OF AGRICULTURE Position 3 (02-06-17) Farm Service Agency APPLICATION FOR Guarantee

INSTRUCTIONS TO LENDER:

All Loan Applicants will complete Part A. If the Loan Applicant is an entity, they will complete Part B. If the Applicant is an individual, they will complete Part C. All Loan Applicants will complete Parts D, E and F. Lender will complete Parts G through L and attach items in Part P. Co-Applicants and entity members will complete Parts N and O. Note: When both spouses are involved in the operation, and both are applying for the loan, they should be considered a Joint Operation. One spouse completes Part C, the other completes Parts N and O.

PART A – TYPE OF OPERATION

Type of Operation:

Individual

Partnership

Trust

Joint Operation

Corporation

Cooperative

LLC

Other (Explain):

     

PART B – ENTITY APPLICANT INFORMATION

Entity Name      

2. Entity Tax ID No.      

3. Number of Entity Members      

4. Entity Address      

5. Entity Headquarters County      

6. Entity Telephone No. (Including Area Code)      

PART C – INDIVIDUAL APPLICANT INFORMATION

1. Applicant’s Full Legal Name      

2. Applicant’s 9 Digit Social Security or Tax ID No.      

3. Applicant’s Birthdate (MM-DD-YYYY)      

4. Applicant’s Address      

5. Residence or Headquarters County      

6. Applicant’s Telephone No. (Including Area Code)      

7. Marital Status: Married Unmarried Divorced Legally Separated Widowed

PART D – OTHER INFORMATION

1. Have you ever conducted business under any other name(s)? YES NO

If “YES”, what name(s)?      

Voluntary Information for Monitoring Purposes Ethnicity, race, and gender information is requested in order to monitor FSA's compliance with Federal laws prohibiting discrimination against loan applicants and to determine if you qualify for targeted funds. You are not required to furnish this information, but are encouraged to do so. Failure to complete this information may result in you not receiving access to targeted funds for which you may be eligible. Entity applicants should base their answers on the ethnicity, race, and gender of the owners of a majority interest in the entity.

2A. Ethnicity Hispanic or Latino Not Hispanic or Latino

2B. Race (Choose as many boxes as applicable) American Indian or Alaskan Native Asian Black or African American White

2C. Gender Male Female

2D. Veteran Status Veteran Non Veteran

Native Hawaiian or Other Pacific Islander

PART E - ELIGIBILITY INFORMATION (Continued on Page 2)

1. Number of Years Operating a Farm      

YES (True)

NO (False)

2.

I (including all members, if an entity applicant) have not caused the Farm Service Agency a loss by receiving debt forgiveness through write-down, write-off, compromise, adjustment, reduction, charge-off, payment of a guaranteed loss claim, or bankruptcy.

3.

I (including all members, if an entity applicant) am not delinquent on any debt to the United States Government.

FSA-2211 (02-06-17) Page    of   

PART E - ELIGIBILITY INFORMATION (Continued from Page 1)

YES (True)

NO (False)

4.

I (including all members, if an entity applicant) do not have any outstanding recorded judgments obtained by the United States in a Federal Court.

5.

I (or members holding a majority interest if an entity applicant) am a citizen of the United States, a U.S. non-citizen national, or a qualified alien under applicable Federal immigration laws. (United States non-citizen nationals and qualified aliens must provide the appropriate documentation as to their immigration status)

6.

I (including all members, if an entity applicant) have the legal capacity to incur the obligations of the loan.

7.

I (including all members, if an entity applicant) have not been convicted of planting, cultivating, growing, producing, harvesting, storing, trafficking, or possessing a controlled substance within the last 5 crop years.

8.

I (including all members, if an entity applicant) am not an employee, related to an employee, or an associate of an employee of the Lender or Farm Service Agency.

9.

I (including all members, if an entity applicant) am unable to obtain sufficient credit without a guarantee.

10.

I (including all members, if an entity applicant) have not provided the Farm Service Agency with false or misleading documents or statements in the past.

PART F – LOAN APPLICANT CERTIFICATIONS

RIGHT TO FINANCIAL PRIVACY ACT OF 1978 FSA has a right of access to financial records held by financial institutions in connection with providing assistance to you, as well as collecting on loans made to you or guaranteed by the government. Financial records involving your transaction will be available to FSA without further notice or authorization but will not be disclosed or released by this institution to another government Agency or Department without your consent except as required by law. THE FEDERAL EQUAL CREDIT OPPORTUNITY ACT prohibits creditors from discriminating against applicants on the basis of race, color, religion, sex, national origin, marital status, or age (provided the applicant has the capacity to enter into a binding contract), because all or a part of the applicant's income derives from any public assistance program, or because the applicant has in good faith exercised any right under the Consumer Credit Protection Act. CERTIFICATIONS, RESTRICTIONS, AND DISCLOSURE OF LOBBYING ACTIVITIES

1.

The loan applicant certifies that: if any funds, by or on behalf of the loan applicant, have been or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant or Federal loan, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, or loan, the loan applicant shall complete and submit Standard Form - LLL, ''Disclosure of Lobbying Activities,'' in accordance with its instructions.

2.

The loan applicant shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including contracts, subcontracts, and subgrants, under grants and loans) and that all subrecipients shall certify and disclose accordingly.

3.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this statement is a prerequisite for making or entering into this transaction and is imposed by 31 U.S.C. 1352. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each failure.

ABUSE OF CONTROLLED SUBSTANCES The loan applicant certifies that he or she as an individual, or any member of an entity applicant, has not been convicted under Federal or State law of planting, cultivating, growing, producing, harvesting, or storing a controlled substance within the last 5 crop years, in accordance with 21 U.S.C. 889. The loan applicant also certifies that he/she as an individual, or any member of an entity applicant, is not ineligible for Federal benefits based on a conviction for the distribution of controlled substances or any offense involving the possession of a controlled substance under 21 U.S.C. 862. FEDERAL DEBT The loan applicant certifies and acknowledges that any amounts paid by FSA on account of the liabilities of the guaranteed loan borrower will constitute a Federal debt owing to FSA by the guaranteed loan borrower. In such case, FSA may use all remedies available to it, including offset under the Debt Collection Improvement Act, to collect the debt from the borrower. The Agency's right to collect is independent of the lender's right to collect under the guaranteed note and will not be affected by any release by the lender of my (our) obligation to repay the loan. Any Agency collection under this paragraph will not be shared with the lender. ACKNOWLEDGMENT I certify that I accept and comply with the conditions stated hereon. I certify that the statements made by me in this application are true, complete, and correct to the best of my knowledge and belief and are made in good faith to obtain a loan. I understand that the approval period will not begin until a complete application has been filed. (Warning: section 1001 of Title 18, United States Code provides for criminal penalties to those who provide false statements on loans. If any information on this application is found to be false or incomplete, such finding may be grounds for denial of the requested credit and civil and criminal prosecution.)

4A. Signature of Applicant

4B. Capacity Self Entity Representative

4C. Date Signed (MM-DD-YYYY)      

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PART G - TYPE OF ASSISTANCE REQUESTED

1. Request No.

2. Loan Type

3. Loan Amount or LOC Ceiling

4. Interest Rate

  

of

  

FO OL

$      

     

%

Variable

OL/LOC CL

Fixed

5. Repayment Period (Years)      

6. Repayment Frequency      

PART H – FUNDS PURPOSE

1. Purposes for which funds will be used

2. Amount

     

$      

     

$      

     

$      

     

$      

     

$      

PART I - PROPOSED SECURITY

1. Item Description

2. Lien Position

3. Estimated Value

4. Amount of Prior Lien

5. Collateral Value

     

     

$      

$      

$      

     

     

$      

$      

$      

     

     

$      

$      

$      

     

     

$      

$      

$      

6. TOTALS:

$      

$      

$      

PART J - ENVIRONMENTAL INFORMATION

Based on a site visit to the loan applicant's operation and discussion of the operating plan, answer the following:

YES (True)

NO (False)

1.

HEL/WL Compliance: Applicant has certified compliance on AD-1026 covering the period of the loan and filed AD-1026 with the applicable Farm Service Agency Service Center.

2.

Land Use: Proceeds from this request or project will not accommodate any shifts in land use, ground disturbance, clearing of woody vegetation or stumps or for drilling of a well.

3.

Floodplains: Property on which farming activities are taking place is not located near or within a floodplain.

4.

Historical and Archaeological Sites: Property on which farming activities take place is not known to be of historical significance or contain any known archaeological sites.

5.

Hazardous Substances: Property on which the farming activities take place is not contaminated with hazardous substances or waste and does not contain underground storage tanks.

6.

Endangered Species: There are no known endangered or proposed endangered species or habitats that will be disturbed by the operation.

7.

Environmental Compliance: There are no pending or active law suits regarding environmental compliance against the operator or property and there are no environmental liens or judgements filed against the property as a result of not complying with Federal or State environmental laws.

8.

State Water Quality Standards: This is not a livestock operation.

*If “No”, this is a livestock operation consisting of

     

     

(number of livestock)

(type of livestock)

PART K – REPAYMENT CAPACITY

NET CASH FLOW (inflows - outflows) WITHOUT INTEREST ASSISTANCE

     

If a feasible plan cannot be developed (net cash flow is negative) without interest assistance, the applicant should be considered for interest assistance. The applicant must project a feasible plan with interest assistance or the request will be denied.

NET CASH FLOW (inflows - outflows) WITH INTEREST ASSISTANCE

     

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PART L – LENDER INFORMATION AND CERTIFICATION
1. Lender Certifies that:
a.	All applicable requirements in 7 C.F.R. Part 762, and FSA-2201 have been or will be met.
b.	The Lender would not make the loan without an FSA guarantee.
c.	The applicant shows the ability to repay requested loan.
d.	The proposed collateral securing the loan is considered adequate.
e.	All documentation required by 7 C.F.R. Part 762, but not required to be submitted with the loan application, has been obtained and supports the data presented in this application.
f.	Application will be governed by Lender's Agreement (FSA-2201) dated:			     			.
					(Date)
g.	Application filed as a (check one): SEL CLP
2A. Lending Institution Name and Address      			3A. Lender 9 Digit Tax ID No.      
			3B. Regulatory or Certifying Agency
2B. Telephone No. (Including Area Code)      			4. Email Address      
5A. Name of Lender’s Representative      			5B. Title of Lender’s Representative      
6A. Authorized Lender Representative’s Signature			6B. Date      
PART M – FSA USE ONLY
1A. Date Received      			1B. Date Complete      
NOTE:		The following statement is made in accordance with the Privacy Act of 1974 (5 USC 552a – as amended).  The authority for requesting the information identified on this form is 7 CFR Part 762, the Consolidated Farm and Rural Development Act (7 U.S.C. 1921 et seq.), and the Agricultural Act of 2014 (Pub. L. 113-79).  The information will be used to determine applicant/borrower ability to participate in and receive benefits under an FSA Loan Program through Lender certification that all applicable FSA Loan Program requirements have been or will be met.  The information collected on this form may be disclosed to other Federal, State, Local government agencies, Tribal agencies, and nongovernmental entities that have been authorized access to the information by statute or regulation and/or as described in applicable Routine Uses identified in the System of Records Notice for USDA/FSA-14, Applicant/Borrower. Providing the requested information is voluntary.  However, failure to furnish the requested information will result in a determination that the applicant/borrower is unable to participate in and receive benefits under an FSA Loan Program. 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 0560-0155. The time required to complete this information collection is estimated to average 1.15 minutes 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. RETURN THIS COMPLETED FORM TO YOUR COUNTY FSA OFFICE.

In accordance with Federal civil rights law and U.S. Department of Agriculture (USDA) civil rights regulations and policies, the USDA, its Agencies, offices, and employees, and institutions participating in or administering USDA programs are prohibited from discriminating based on race, color, national origin, religion, sex, gender identity (including gender expression), sexual orientation, disability, age, marital status, family/parental status, income derived from a public assistance program, political beliefs, or reprisal or retaliation for prior civil rights activity, in any program or activity conducted or funded by USDA (not all bases apply to all programs). Remedies and complaint filing deadlines vary by program or incident.

Persons with disabilities who require alternative means of communication for program information (e.g., Braille, large print, audiotape, American Sign Language, etc.) should contact the responsible Agency or USDA’s TARGET Center at (202) 720-2600 (voice and TTY) or contact USDA through the Federal Relay Service at (800) 877-8339. Additionally, program information may be made available in languages other than English.

To file a program discrimination complaint, complete the USDA Program Discrimination Complaint Form, AD-3027, found online at http://www.ascr.usda.gov/complaint_filing_cust.html and at any USDA office or write a letter addressed to USDA and provide in the letter all of the information requested in the form. To request a copy of the complaint form, call (866) 632-9992. Submit your completed form or letter to USDA by: (1) mail: U.S. Department of Agriculture Office of the Assistant Secretary for Civil Rights 1400 Independence Avenue, SW Washington, D.C. 20250-9410; (2) fax: (202) 690-7442; or (3) email: [email protected]. USDA is an equal opportunity provider, employer, and lender.

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PART N – CO-APPLICANT OR ENTITY MEMBER INFORMATION
1A. Co-Applicant’s or Entity Member’s Full Legal Name      		1B. Co-Applicant’s or Entity Member’s 9 Digit Social Security or Tax ID No.      			1C. Co-Applicant’s or Entity Member’s Birthdate (MM-DD-YYYY)      
1D. Co-Applicant’s or Entity Member’s Address      		1E. Residence or Headquarters County      			1F. Co-Applicant’s or Entity Member’s Telephone No. (Including Area Code)      
		1G. % Ownership (if entity member):      
1H. Marital Status: Married Unmarried Divorced Legally Separated Widowed
Voluntary Information for Monitoring Purposes Ethnicity, race, and gender information is requested in order to monitor FSA's compliance with Federal laws prohibiting discrimination against loan applicants and to determine if you qualify for targeted funds. You are not required to furnish this information, but are encouraged to do so. Failure to complete this information may result in you not receiving access to targeted funds for which you may be eligible. Entity applicants should base their answers on the ethnicity, race, and gender of the owners of a majority interest in the entity.
1I. Ethnicity Hispanic or Latino Not Hispanic or Latino	1J. Race (Choose as many boxes as applicable) American Indian or Alaskan Native Asian Black or African American White Native Hawaiian or Other Pacific Islander		1K. Gender Male Female			1L. Veteran Status Veteran Non Veteran
2A. Co-Applicant’s or Entity Member’s Full Legal Name      		2B. Co-Applicant’s or Entity Member’s 9 Digit Social Security or Tax ID No.      		2C. Co-Applicant’s or Entity Member’s Birthdate (MM-DD-YYYY)      
2D. Co-Applicant’s or Entity Member’s Address      		2E. Residence or Headquarters County      		2F. Co-Applicant’s or Entity Member’s Telephone No. (Including Area Code)      
		2G. % Ownership (if entity member):      
2H. Marital Status: Married Unmarried Divorced Legally Separated Widowed
Voluntary Information for Monitoring Purposes Ethnicity, race, and gender information is requested in order to monitor FSA's compliance with Federal laws prohibiting discrimination against loan applicants and to determine if you qualify for targeted funds. You are not required to furnish this information, but are encouraged to do so. Failure to complete this information may result in you not receiving access to targeted funds for which you may be eligible. Entity applicants should base their answers on the ethnicity, race, and gender of the owners of a majority interest in the entity.
2I. Ethnicity Hispanic or Latino Not Hispanic or Latino	2J. Race (Choose as many boxes as applicable) American Indian or Alaskan Native Asian Black or African American White Native Hawaiian or Other Pacific Islander		2K. Gender Male Female			2L. Veteran Status Veteran Non Veteran
3A. Co-Applicant’s or Entity Member’s Full Legal Name      		3B. Co-Applicant’s or Entity Member’s 9 Digit Social Security or Tax ID No.      		3C. Co-Applicant’s or Entity Member’s Birthdate (MM-DD-YYYY)      
3D. Co-Applicant’s or Entity Member’s Address      		3E. Residence or Headquarters County      		3F. Co-Applicant’s or Entity Member’s Telephone No. (Including Area Code)      
		3G. % Ownership (if entity member):      
3H. Marital Status: Married Unmarried Divorced Legally Separated Widowed
Voluntary Information for Monitoring Purposes Ethnicity, race, and gender information is requested in order to monitor FSA's compliance with Federal laws prohibiting discrimination against loan applicants and to determine if you qualify for targeted funds. You are not required to furnish this information, but are encouraged to do so. Failure to complete this information may result in you not receiving access to targeted funds for which you may be eligible. Entity applicants should base their answers on the ethnicity, race, and gender of the owners of a majority interest in the entity.
3I. Ethnicity Hispanic or Latino Not Hispanic or Latino	3J. Race (Choose as many boxes as applicable) American Indian or Alaskan Native Asian Black or African American White Native Hawaiian or Other Pacific Islander		3K. Gender Male Female			3L. Veteran Status Veteran Non Veteran

FSA-2211 (02-06-17) Page    of   
PART O – LOAN APPLICANT CERTIFICATIONS
RIGHT TO FINANCIAL PRIVACY ACT OF 1978 FSA has a right of access to financial records held by financial institutions in connection with providing assistance to you, as well as collecting on loans made to you or guaranteed by the government. Financial records involving your transaction will be available to FSA without further notice or authorization but will not be disclosed or released by this institution to another government Agency or Department without your consent except as required by law. THE FEDERAL EQUAL CREDIT OPPORTUNITY ACT prohibits creditors from discriminating against applicants on the basis of race, color, religion, sex, national origin, marital status, or age (provided the applicant has the capacity to enter into a binding contract), because all or a part of the applicant's income derives from any public assistance program, or because the applicant has in good faith exercised any right under the Consumer Credit Protection Act. CERTIFICATIONS, RESTRICTIONS, AND DISCLOSURE OF LOBBYING ACTIVITIES
1.	The loan applicant certifies that: if any funds, by or on behalf of the loan applicant, have been or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant or Federal loan, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, or loan, the loan applicant shall complete and submit Standard Form - LLL, ''Disclosure of Lobbying Activities,'' in accordance with its instructions.
2.	The loan applicant shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including contracts, subcontracts, and subgrants, under grants and loans) and that all subrecipients shall certify and disclose accordingly.
3.	This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this statement is a prerequisite for making or entering into this transaction and is imposed by 31 U.S.C. 1352. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each failure.
ABUSE OF CONTROLLED SUBSTANCES The loan applicant certifies that he or she as an individual, or any member of an entity applicant, has not been convicted under Federal or State law of planting, cultivating, growing, producing, harvesting, or storing a controlled substance within the last 5 crop years, in accordance with 21 U.S.C. 889. The loan applicant also certifies that he/she as an individual, or any member of an entity applicant, is not ineligible for Federal benefits based on a conviction for the distribution of controlled substances or any offense involving the possession of a controlled substance under 21 U.S.C. 862. FEDERAL DEBT The loan applicant certifies and acknowledges that any amounts paid by FSA on account of the liabilities of the guaranteed loan borrower will constitute a Federal debt owing to FSA by the guaranteed loan borrower. In such case, FSA may use all remedies available to it, including offset under the Debt Collection Improvement Act, to collect the debt from the borrower. The Agency's right to collect is independent of the lender's right to collect under the guaranteed note and will not be affected by any release by the lender of my (our) obligation to repay the loan. Any Agency collection under this paragraph will not be shared with the lender. ACKNOWLEDGMENT I certify that I accept and comply with the conditions stated hereon. I certify that the statements made by me in this application are true, complete, and correct to the best of my knowledge and belief and are made in good faith to obtain a loan. I understand that the approval period will not begin until a complete application has been filed. (Warning: section 1001 of Title 18, United States Code provides for criminal penalties to those who provide false statements on loans. If any information on this application is found to be false or incomplete, such finding may be grounds for denial of the requested credit and civil and criminal prosecution.)
1A. Signature of Co-Applicant or Entity Member		1B. Capacity Self Entity Representative	1C. Date Signed (MM-DD-YYYY)      
2A. Signature of Co-Applicant or Entity Member		2B. Capacity Self Entity Representative	2C. Date Signed (MM-DD-YYYY)      
3A. Signature of Co-Applicant or Entity Member		3B. Capacity Self Entity Representative	3C. Date Signed (MM-DD-YYYY)      

FSA-2211 (02-06-17) Page    of   

PART P – SUPPORTING INFORMATION
Please attach the following:
SEL (Standard Eligible Lender) Submission Requirements	For Loans $125,000 or Less	For Loans More Than $125,000
Loan Narrative
Balance Sheet
Cash Flow Budget
Location of Farmed Land
Credit Report
Proposed Loan Agreement
Verification of Debts over $1,000
Verification of Non-Farm & Other Income
3 Years of Financial History
3 Years of Production History
If Applicable, include the information below:
Entity Information (including a balance sheet for each member)
Environmental Information
Construction/Development Plans
FOR CL Loans: Transition Plan
FOR CL Loans: Conservation or Forest Stewardship Management Plan
CLP (Certified Lender) Submission Requirements	For Loans $125,000 or Less	For Loans More Than $125,000
Loan Narrative
Balance Sheet
Cash Flow Budget
Location of Farmed Land
Credit Report	In File	In File
Proposed Loan Agreement		In File
Verification of Debts over $1,000		In File
Verification of Non-Farm & Other Income		In File
3 Years of Financial History		In File
3 Years of Production History
If Applicable, include the information below:
Entity Information (including a balance sheet for each member)
Environmental Information
Construction/Development Plans		In File
FOR CL Loans: Transition Plan
FOR CL Loans: Conservation or Forest Stewardship Management Plan