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Prepare for SBA small business programs:

These checklists provide help before you start the application or continuing eligibility process. You may have to take action and gather documents before starting. Each program has unique criteria and thresholds and may request additional supporting information. To make things easier, gather these documents before you start.

Principals may include the following:

  • Owner(s)
  • Officers
  • Directors
  • Members
  • Partners
  • Key employees

Women-Owned Small Business (WOSB) Preparation Checklist

Economically Disadvantaged Women-Owned Small Business (EDWOSB) Preparation Checklist

8(a) Business Development (BD) Program Preparation Checklist

Historically Underutilized Business Zones (HUBZone) Program Preparation Checklist

All Small Mentor-Protégé Program Preparation Checklist


Women-Owned Small Business (WOSB) Preparation Checklist

Qualifying individual(s) include all women claiming 51% ownership

  • Active registration in the System for Award Management for the firm, available at SAM.gov (Note: The firm’s DUNS number and EIN, and MPIN must exactly match SAM registration)
  • Proof of U.S. citizenship (i.e., birth certificate, naturalization paper, or unexpired passport) for qualifying individual(s).
  • Resume (optional)
  • Joint Venture agreements if applicable
  • Corporation
  • Articles of Incorporation
  • Copies of stock certificates (front and back)
  • Stock Ledger
  • Corporate Bylaws and any amendments
  • Limited Liability Company (LLC)
  • Operating Agreement and any amendments
  • Articles of Organization and any amendments
  • Partnership
  • Partnership Agreement and any amendments
  • Sole Proprietor
  • DBA (Doing Business As) or Trade Name Certificate

Economically Disadvantaged Women-Owned Small Business (EDWOSB) Preparation Checklist

Qualifying individual(s) include all women claiming 51% ownership and economic disadvantage

  • Active registration in the System for Award Management for the firm, available at SAM.gov (Note: The firm’s DUNS number and EIN, and MPIN must exactly match SAM registration)
  • Proof of U.S. citizenship (i.e., birth certificate, naturalization paper, or unexpired passport) for qualifying individual(s)
  • Resume (optional)
  • Joint Venture agreements if applicable
  • Corporation
  • Articles of Incorporation
  • Copies of stock certificates (front and back)
  • Stock Ledger
  • Corporate Bylaws and any amendments
  • Limited Liability Company (LLC)
  • Operating Agreement and any amendments
  • Articles of Organization and any amendments
  • Partnership
  • Partnership Agreement and any amendments
  • Sole Proprietor
  • DBA (Doing Business As) or Trade Name Certificate
  • Personal Financial Information – Required for each woman claiming economic disadvantage and for each woman’s spouse.*
  • A completed and signed IRS Form 4506-T, Request for Tax Transcript
  • Three most recent personal income tax returns (IRS Form 1040) including all schedules
  • Three most recent W-2’s
  • Detailed information regarding the value of all assets (including cash on hand and in banks, accounts and notes receivable, retirement accounts, stocks, bonds, real estate, personal property, life insurance, and any other assets), liabilities (such as loans, mortgages, tax debts, and any other liabilities), and income (including salary, investment income, real estate income, and any other income)

*Note: SBA may consider a spouse’s financial situation in determining whether qualifying individual(s) are economically disadvantagedwhere the spouse has a role in the business (e.g., an officer, employee or director) or has lent money to, provided credit or financial support to, or guaranteed a loan of the business.


8(a) Business Development (BD) Program Preparation Checklist

Supporting business information:

  • Active registration in the System for Award Management for the firm, available at SAM.gov (Note: The firm’s DUNS number and EIN, and MPIN must exactly match SAM registration)
  • SBA Form 1010 – 8(a) Business Development Program Application
  • The firm's past three years filed federal tax returns (must include all schedules and attachments)
  • The firm's most recent year-end financial statements, including a profit and loss statement and a balance sheet, or current business financial statements (including a balance sheet and income statement) no more than 90 days old from the date of the application’sreceipt
  • Two-Year Rule Waiver (if the firm does not meet 13 CFR 124.107(b)(1)) addressing how it meets the below objectives
  • Substantial demonstration of business management experience
  • Demonstrated technical expertise to carry out business plan
  • Adequate capital
  • Record of successful performance on contracts in the firm’s primary industry (please provide a list of current and past Federaland non-Federal contracts within the last 12 months. Include award date, agency/customer name, NAICS code, a description of work, and dollar value including letters of reference to establish successful contract performance).
  • Ability to obtain the personnel, facilities, equipment, and any other requirements to perform on contracts
  • If the firm has not generated revenue, you will be unable to waive the two year rule
  • A list of current and past Federal and non-Federal contracts within the last 12 months. Include award date, agency/customer name, NAICS code, a description of work, and dollar value
  • Proof of signature authority on firm bank account(s) (signature card(s) for firm bank account(s) and/or letter from the bank)
  • List of all contributions or transfers of all assets to-from the Applicant Firm and to/from any of its owners over the past two years. Include dollar value, from whom transferred, to whom transferred, relationship between the parties, date of transfer and copies of any supporting documents and agreements
  • State filings (signed, dated and stamped by the state where the firm does business)
  • Current certificate of good standing
  • Original and current Articles of incorporation, articles of organization
  • DBA (“doing business as”) filings for a sole proprietorship only
  • Governing documents, signed by the principals
  • Current bylaws, operating agreement, partnership agreement
  • The recent meeting minute showing the election of corporate officers and directors
  • All stock certificates (front and back), stock ledger or stock register, transmutation agreements (for community property states), and voting agreements
  • Other Documents: Business licenses (city, county, and state) necessary for the firm’s operations; Bonding information (if firm is inconstruction); Business loan agreements; IRS Form 4506-T for the firm; Management, joint venture, mentor-protégé, teaming, consulting, and indemnity agreements

Background information and personal information for all principals include all individuals claiming social and economic disadvantage

  • SBA Form 1010-IND
  • Resume
  • Completed SBA Form 912, Statement of Personal History

Background information and personal information for individuals claiming social and economic disadvantage

  • Nature of outside employment and business interests, as well as official work schedules (including days and times)
  • Verification of social disadvantage in some cases, such as a copy of the birth certificate or tribal enrollment card
  • Proof of U.S. citizenship (i.e., birth certificate, naturalization paper, or unexpired passport) for qualifying individual(s), when theperson is born outside of the United States.
  • Personal Financial information*:
  • Three most recent personal Federal income tax returns (IRS Form 1040) including all schedules, statements, and forms(W-2, 1099-R, etc.) for qualifying individual(s) and his/her spouse
  • SBA Form 413 (for qualifying individual(s) and spouse
  • Detailed information regarding the value of all assets (including cash on hand and in banks, accounts and notes receivable, retirement accounts, stocks, bonds, real estate, personal property, life insurance, and any other assets), liabilities (such as loans, mortgages, tax debts, and any other liabilities), and income (including salary, investment income, real estate income, and any other income). Funds invested in an Individual Retirement Account (IRA) or other official retirement account that are unavailable to an individual until retirement age without a significant penalty will not be considered in determining an individual's net worth. In order to properly assess whether funds invested in a retirement account may be excluded from an individual's net worth, the individual must provide information about the terms and restrictions of the account to SBA and certify that the retirement account is legitimate.
  • Information on delinquent federal obligations, past due taxes or liens, bankruptcy filings and pending civil lawsuits
  • List of SBA loans for firm and other businesses owned by the principal(s)
  • Transmutation Agreement. A notarized transmutation agreement, if applicable, if the new disadvantaged individual is married and resides in a community property state or territory
  • Three years of past personal filed federal income tax returns including all schedules, attachments, and W2 forms

*Note: SBA may consider a spouse’s financial situation in determining whether qualifying individual(s) are economically disadvantaged wherethe spouse has a role in the business (e.g., an officer, employee or director) or has lent money to, provided credit or financial support to, or guaranteed a loan of the business.


Historically Underutilized Business Zones (HUBZone) Program Preparation Checklist

Qualifying individual(s) include all individuals that either own more than 51% of the firm.

  • Active registration in the System for Award Management for the firm, available at SAM.gov (Note: The firm’s DUNS number and EIN, and MPIN must exactly match SAM registration)
  • Signed HUBZone Program Certification Signature Sheet
  • ESOP, Trust, or Franchise Agreement if applicable
  • The firm's signed and dated federal tax returns over the past three years (must include all schedules and attachments)
  • Deed, Lease/Rental Agreement or property records – Covers the date of electronic verification
  • Utility Bill – Covers the date of electronic verification
  • Firm Location List
  • Official Payroll –Covers the date of electronic verification
  • HUBZone Maps of employee’s home address
  • Valid (unexpired) Driver’s License, DMV ID, or Voter Registration cards for each employee residing in a HUBZone –Covers the date of electronic verification
  • Most recent State and Federal Unemployment tax filing/report
  • Employee List
  • Corporation
  • Articles of Incorporation
  • Copies of stock certificates (front and back)
  • Stock Ledger
  • Corporate Bylaws and any amendments
  • Certificate of Good Standing
  • Limited Liability Company (LLC)
  • Operating Agreement and any amendments
  • Articles of Organization and any amendments
  • Certificate of Good Standing
  • Partnership
  • Partnership Agreement and any amendments
  • Sole Proprietor
  • DBA (Doing Business As) or Trade Name Certificate
  • Proof of U.S. citizenship (i.e., birth certificate, naturalization paper, or unexpired passport) for qualifying individual(s)
  • Three most recent personal income tax returns (IRS Form 1040) including all schedules

All Small Mentor-Protégé Program Preparation Checklist

A Mentor-Protégé relationship should be established before starting the application – this is not a matching program. The Protégé firm must meet the size standard for small in the NAICS code in which they are seeking business development assistance.

  • Active registration in the System for Award Management for the firm, available at SAM.gov (Note: The firm’s DUNS number and EIN, and MPIN must exactly match SAM registration)
  • Electronic versions (in PDF format) of the following documents:
  • Certificates of completion for viewing the All Small MPP training module (mandatory viewing for both the Protégé and the Mentor)
  • Your completed business plan
  • Any active Mentor-Protégé Agreements you have with either the SBA or another federal agency
  • An SBA size redetermination letter if the SBA has ever found you to be “other than small” in the NAICS code in which you’re requesting business development assistance
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