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Documents Required for Section 202 and Section 811 Firm Commitment Application

Please refer to Completing Forms in How to Use the Guide for instructions on filling out forms.

The following documents are required for the Section 202 and Section 811 Firm Commitment Application for traditional financing, i.e., not mixed finance. Click here for additional requirements using mixed finance. HUD will require one original and four copies to be submitted. Two sets of working documents and specifications are also to be submitted with the application. The submission must include a numerically labeled tab for each exhibit.

1. Form HUD-92013. Application for Multifamily Housing Project. Click for information on Frontline expenses that can be included as a budget line in annual Admistrative expenses. Form 920134 is signed and dated by the owner on page 5 at the bottom right.

2. Form HUD-92013-Supp. Supplement to Application for a Multifamily Housing Project. This form is to be completed indivicually by the Owner, Sponsor, titled officers of the Owner corporation, and the general contractor.

3. Certificate of Incorporation for the Owner corporation, with an Incumbency Certificate on Officers and Directors and Evidence of the owner's IRS Tax Exemption (if not previously submitted). Click on Incumbency for 202 or Incumbency for 811.

4. Form HUD-92004F, Request for Verification of Deposit ("VOD"), for the Owner's account.

5. Evidence (or updated) evidence of Site Control.

6. Evidence (or confirmation) of Permissive Zoning.

7. Information on housing consultant (if applicable and not previously submitted): Submit a resume of experience and Form HUD-2530, Previous Participation Certificate either via APPS or the HUD paper form.

8. Form HUD-2530, Previous Participation Certificate (for Officers and Directors of the Sponsor and of the Owner, general contractor, and management agent. HUD is requiring that the Owner and Sponsor register the corporation in APPS.

9. Architectural Contract Documents

a. Standard Form of Agreement between Owner and Architect for Housing Services (AIA Document B108). Obtain this form from your project architect.

b. Amendment Form HUD-92408M. This the HUD amendment form to AIA B108.

c. Design Architect's Certification. See Attachment C, in HUD Notice 96-102.

d. Professional Liability Insurance (on an Acord form).

10. Final Working Drawings and Specifications. Two sets are to be submitted with the firm commitment application.

11. Topographic Survey. Two sets are to be submitted with the firm commitment application. The certification exactly as written in Form HUD-92457M (see item 13 below) must appear on the survey.

12. Soil Test Borings. Include the report in the application for a firm commitment. See attached HUD memo regarding Subsurface Conditions for New Construction.

13. Form HUD-92457M HUD Survey Report and Instructions, Form HUD-92457A-M.

14. Form HUD-51994, Life Cycle Cost Analysis of Utility Combinations (if applicable). If the project utilities are conventional, i.e., not solar or other non-typical energy-based source, then submit a chart showing the utilities that will be in the project, whether they are master metered or individually metered, and the name of the utility provider.

15. Resume on the general contractor's constructio experience, if no previous experience with the NY HUD Office.

16. Financial Statements on the general contractor (for last three years). See Handout from HUD Mortgage Credit regarding the financial requirements.

17. Form HUD-2328, Contractor's and/or Mortgagor's Cost Breakdown. Follow the instructions in HUD's Handout, Section 202 and 811 Procedures Cost Estimating, to calculate general requirements, overhead, profit and bond premium. See 19 below regarding the allowable percentage variance from the cost estimator's calculation of construction cost.

18. Contractor's Certification Regarding Compliance with MBE/WBE Objectives (not required for this submission).

19. Construction Cost Analysis, prepared by the Owner's hired professional cost estimator. Include in the submission, the Form 2328 (trade payment breakdown), a quantity take-off, and an analysis of cost and site not attributable. The total construction cost as reflected on the general contractor's 2328, must fall within an allowable percentage variation from the cost estimator's number. See HUD's requirement in the Handout Cost Estimating: Cost Estimate; Result.

20. Owner's List Showing the Intended Use of the Developer's Fee. For projects subject to current HUD processing requirements, items included in Developer's Fee are: working capital, housing consultant fee, contingency reserve for new construction, and minimum capital investment funded amount.

21. Form HUD-935.2A, Affirmative Fair Housing Marketing Plan.

22. Form HUD-9832, Management Entity Profile (submit if managment agent is new to the NY HUD Office) and Management Plan.

23. Form HUD-9839-B, Project Owner's and Management Agent's Certification for Multifamily Housing Projects for Identity of Interest or Independent management Agents.

24. Resume on Management Agent or Resident Manager

25. Model Form of Lease for 202. Model Form of Lease for 811.

26. Evidence of State/Local Exemption from Real and/or Personal Property Taxes, Tax Abatement, Payment in Lieu of Taxes (PILOT) OR ineligibilty from Any Tax Relief. Obatin a letter from the municipality of from the project attorney.

27. Amendments to Relocation, if any (if site occupants are to be displaced).

28. Schedule of Capital Expenditures. Submit a list of moveable equipment and furniture that will be in common ares of the building and cost of each item. Provide a statement indicating the source of funding for the items on the list.

29. Individual Conflict of Interest and Disclosure Certification for Sponsor and for the Owner. HUD requires two separate certifications, one for each entity. Make sure that each person who is on the Incumbency Certification submits his/her Conflict of Interest Certification. If a person is serving on both board, HUD will require two certifications, one for each entity. Click on Conflict of Interest Certification for Section 202. Click on Conflict of Interest Certification for Section 811.

30. Identity of Interest and Disclosure Certification for Development Team Members, to include a certification each from the general contractor, architect, attorney, housing consultant, management agent, cost estimator, and the seller of the property. Click on Identity of Interest Certification for Section 202. Click on Identity of Interest Certification for Section 811.

31. Standard Form-LLL, Disclosure of Lobbying Activities

32. Form HUD-2880, Applicant/Recipient Disclosure/Update Report, from owner

33. Owner's Certifications for Section 202. Click on Owner's Certification for Section 811.

34. Updated Suppport Service Plan