**SDB CERTIFICATION CHECKLIST**

**Section I Documents required of all sole proprietorships,
partnerships, limited**

> **liability corporations, and corporations**

\_\_\_ 1. Business license and fictitious business name statement, if
applicable.

\_\_\_ 2. Copies of any special licenses, permits and/or accreditations
required to

> do business.

\_\_\_ 3. A separate SBA Form 413, Personal Financial Statement(s), from
each person(s)

> claiming disadvantaged status and their spouses.

\_\_\_ 4. SBA Form 355, Application for Size Determination

\_\_\_ 5. History of business.

\_\_\_ 6. For disadvantaged individuals residing in community property
states or territories: proof of the transfer or relinquishment of
interest by the non-disadvantaged spouse if only one spouse claims
disadvantaged status.

\_\_\_ 7. Detailed resume or employee profile of all principals and key
employees,

> summarizing education, training, and employment history, with dates,
> duties, and responsibilities.

\_\_\_ 8. (a) Lease/rental agreement for business site(s)/office(s), or
(b) copy of trust

> deed and/or purchase loan agreement for ownership of business
> site(s)/office(s), or (c) if residence is used for business
> site/office, a letter so stating.

\_\_\_ 9. Business bank account information, consisting of: (a) copy of
bank account

> signature card, or (b) letter from your banker, verifying parties
> (names and titles) authorized to sign checks and the number of
> signatures required.

\_\_\_ 10. Three recent Federal tax returns, including, but not limited
to: (a) Form 1120,

> 1120A, or Schedule 1120s, including Schedule E, for corporations; (b)
> Form 1065 and Schedule K-1, for partnerships; (c) Schedule C---Form
> 1040, for sole proprietorships; (d) Form 4562 , for all businesses (if
> applicable); (e) IRS Form 4506, Request for Copy of Transcript of Tax
> Form

\_\_\_ 11. A current balance sheet and profit and loss statement,
including an aging of accounts, no older than 90 days from the filing
date of this application, signed, certified and dated by the concern's
highest officer, CEO or President.

\_\_\_ 12. Personal income tax returns including all schedules and W-2
Forms for [all]{.underline} individuals claiming disadvantaged status,
and all owners, directors, officers, managing members and key employees
of the firm.

\_\_\_ 13. A balance sheet and profit and loss statement for each of the
two preceding fiscal year-end periods, signed, certified and dated by
the concern's highest officer, CEO or President.

\_\_\_ 14. Copies of franchise or trust agreements.

**Section II Documents required of Partnerships**

\_\_\_ 1. Partnership agreements and any amendments thereto.

\_\_\_ 2. Profit-sharing agreements (if not in partnership agreements).

\_\_\_ 3. Buyout rights agreements (if not in partnership agreements).

**Section III Documents required of Corporations**

\_\_\_ 1. Articles of Incorporation or Articles of Organization,
including documents issued by Secretary of State.

\_\_\_ 2. Bylaws and any amendments thereto.

\_\_\_ 3. (a) Record of first organizational meeting; (b) subsequent
minutes which record

> any changes in ownership and/or control of the corporation (if
> applicable).

\_\_\_ 4. Copies of all stock certificates ever issued. Include front
and back of all certificates

> including those that have been canceled, transferred or surrendered.
> Copy of Assignment of interest for each member.

\_\_\_ 5. Copy of stock transfer registers/stock registers or
Certificate of Resolution.

\_\_\_ 6. Copy of most recent Certificate of Good Standing or
Certificate of Status issued by the State.

\_\_\_ 7. Any other agreements, which may impact the unconditional
ownership or control of individual(s) claiming disadvantaged status,
including agreements regarding: (a) stock options; (b) shareholder
voting rights; (c) restriction on the disposal of stock loan agreements;
(d) facts pertaining to the value of shares; (e) buy-out rights; and,
(f) restrictions on the control of the corporation.

\_\_\_ 8. Resolutions affecting rights and responsibilities of officers
and directors.

**Section IV Documents required of Limited Liabilities Corporations**

\_\_\_ 1. Articles of Organizations, including any amendments and/or
documents issued by the

Secretary of State.

\_\_\_ 2. Copy of Operating Agreement.

\_\_\_ 3. Copy of Certificate of Resolution or Membership certificate,
if applicable.

\_\_\_ 4. Any other agreements, which may impact the unconditional
ownership or control of individual(s) claiming disadvantaged status,
including agreements regarding: (a) buy-out rights; and, (b)
restrictions on the control of the LLC.