Preliminary Application Checklist — Shuttered Venue Operators Grant, SBA (March 5, 2021)

Summary

Shuttered Venue Operator Grant Preliminary Application Checklist, dated March 5, 2021, in which the SBA provides a preliminary list of supporting documents required when Shuttered Venue Operators Grant applications open. The checklist states that it is not an all-inclusive list and that the SVOG application process is still under development. For all applicants it lists background documents such as a written statement of need and assurance and corporate documents, financial documents including the 2019 Tax Return and quarterly income statements for 2019 and 2020, and standard forms including SF-424B, SBA Form 480 and SBA Form 1623. It also lists applicant-specific documents for live venue operators or promoters, motion picture theatre operators, museums, and talent representatives.

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                                                       Shuttered Venue Operators Grant
                                         Preliminary Application Checklist | March 5, 2021


When the Shuttered Venue Operators Grant applications open, specific documents will be needed to
support grant requirements and eligibility, as per required by the Economic Aid Act.

To assist with gathering and preparing the necessary SVOG application materials in advance of the
opening, the SBA is providing the following preliminary list of supporting documentation that will be
required. All documents will need to be legible and certification documents will need to be signed and
dated. This is not an all-inclusive list and additional documents may be required to meet eligibility
and compliance.

The SVOG application process is still under development and this list is subject to further refinement.
Detailed document descriptions can be found following the list. For additional information on program
eligibility, definitions, etc., refer to the website and SVOG Frequently Asked Questions.


All Applicants
Background documents
 Written statement of need and assurance
 Corporate documents (may include Articles of Incorporation, Certificate of Existence, Certificate of
  Organization, State LLC Agreement, Certificate of Formation or Articles of Information)
 Government issued photo ID – front and back
 Employee list with job titles and employee status (full or part time)
 Tax Exempt Status Letter (only required for non-profit entities)

Financial documents
 2019 Tax Return
 2020 Tax Return, if filed
 Quarterly Income Statements for 2019 and 2020
 Copy of most recent Audited Financial Statement (2019) or Single Audit (if applicable) or link to
  website where the report can be located
 Indirect Cost Rate Agreement from Cognizant Agency (if applicable)
 Payroll statements covering 2/29/2020

Standard Forms
 SF-424B – Assurances for Non-Construction Programs (via grants.gov)
 SBA Form 480 – Size Status Declaration
 Certification of a Drug-free Workplace
 SBA Form 1623, Certification Regarding Debarment, Suspension, and Other Responsibility Matters
 SBA Form 1711, Certification Regarding Lobbying & Disclosure of Lobbying Activities




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Applicant-Specific Documents
Live Venue Operator or Promoter, Theatrical Producer, or Live
Performing Arts Organization Operator
 Floor Plan (and plan of grounds if outdoor space is used for the performance venue)
 Documents to show that the venue has audio mixing equipment, a public address system, and a
  lighting rig
 Marketing materials listing event title, show time, and price or entry requirements (may include
  printed materials or social media posts)
 Box office/ticketing report that shows date, artist, ticket price, and number of tickets sold. Provide
  the report for all February 2020 performances. If the venue was in operation but had no performances
  in February 2020, select one month between January 2019 and January 2020 and provide that report.

Motion Picture Theatre Operator
 Floor Plan (the floor plan must identify the projection booth)
 Marketing materials listing motion picture titles and show times (may include printed materials or
  social media posts)
 Box office/ticketing report that shows date, ticket price, and number of tickets sold. Provide the
  report for all February 2020 performances. If the theater was in operation but had no performances in
  February 2020, select one month between January 2019 and January 2020 and provide that report.

Museum
 Floor Plan (and plan of grounds if outdoor space is used for the performance venue)
 State or local COVID occupancy restrictions demonstrating limits on occupancy

Talent Representative
 Examples of Contractual/Consultant Agreements with talent represented, and venues used and
  evidence of booking
 List of all individuals or acts represented and venues for which they were contracted to perform in
  2019 and 2020 (including performances cancelled due to COVID-19)


Document Descriptions
Background documents
WRITTEN STATEMENT OF NEED AND ASSURANCE: Required by statute and must include:
   a. A good faith certification that the uncertainty of current economic conditions makes the grant
      necessary to support the ongoing operations of the eligible person or entity.
   b. If the entity is currently in operation, must state that the entity will remain in operation after
      receipt of the funds. If the entity is currently shuttered, the statement shall include the intent to
      reopen with an estimated reopening date.
   c. All statements shall include an assurance that the entity was fully operational on February 29,
      2020, and that the funds will only be used for the allowable purposes established by law.



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CORPORATE DOCUMENTS: Items such as Articles of Incorporation, Certificate of Existence, Certificate of
Organization, State LLC Agreement, Certificate of Formation, Articles of Information, or Partnership
Agreements. The documents must be valid at the time of submission and have all required signatures.

GOVERNMENT ISSUED PHOTO ID: A copy of a photo ID. This could be a state driver’s license, passport
book, passport card, US military or military dependent ID, US permanent resident card, etc.

EMPLOYEE LIST: A complete listing of all who work for the entity at the time of application (this is
separate from the official payroll record). Each employee must include:
   a. Complete name
   b. Description of employee: full-time; part-time; temporary from employee agency, leasing concern,
       or through a union agreement; co-employed pursuant to a professional employer organization
       agreement; salaried; included in payroll; not included in the payroll; owner; officer; shared with
       affiliate; etc. Some individuals may require multiple designations in the description: e.g. “Jane
       Smith - owner, salaried, included in payroll; Joe Smith - owner, not included in payroll, shared
       with affiliate."
   c. Number of hours employee works per month.

TAX EXEMPT STATUS LETTER: Required for non-profit entities; also known as a "determination letter"
and confirms the entity meets the IRS criteria for being a tax-exempt charitable organization.

Financial documents
2019 TAX RETURNS: If in operation for any portion of 2019, a copy the entity's 2019 tax return.

2020 TAX RETURNS: If already filed, a copy the entity’s 2020 tax return. The 2020 tax return must be
provided to the SBA when filed with the IRS.

INCOME STATEMENTS FOR 2019 AND 2020: Quarterly income statements which demonstrate all
sources of revenue and expenditures. If the entity was not in business for all of 2019, include income
statements for all quarters it was in operation.

AUDITED FINANCIAL STATEMENT: Copy of most recent Audited Financial Statement (2019) or Single
Audit (if applicable) or link to website where the report can be located. If the period audited is older than
six months, include interim Income Statement and Balance Sheet (certified by an officer of the
organization).

INDIRECT COST RATE AGREEMENT FROM COGNIZANT AGENCY (if applicable): Submit current
approved rate and attach indirect cost rate agreement from cognizant agency. If a current negotiated
indirect cost rate is not in place, a proposed indirect cost rate may be negotiated. If a negotiated cost rate
agreement was never in place, a 10% de minimis rate in accordance with procedures in 2 C.F.R. 200.414.

Standard Forms
SF-424B – ASSURANCES FOR NON-CONSTRUCTION PROGRAMS: Certifies the entity will comply with all
applicable requirements of the federal laws, executive orders, regulations, and policies governing the
grant program.

SBA Form 480 - Size Status Declaration: Provides information on the applying entity and any affiliates.



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CERTIFICATION OF DRUG-FREE WORKPLACE: Certifies applicant will provide a drug-free workplace.

SBA FORM 1623: Certification Regarding Debarment, Suspension, and Other Responsibility Matters.

SBA FORM 1711: Certification Regarding Lobbying & Disclosure of Lobbying Activities.

Applicant-Specific Documents
FLOOR PLAN: Provide the floor plan used for insurance purposes or local fire inspections. Floor Plan (and
plan of grounds if outdoor space is used for the performance venue) should demonstrate the location of
the defined performance space. For Motion Picture Theater Operators, the floor plan should also identify
the projection booth.

PROOF OF AUDIO MIXING EQUIPMENT, A PUBLIC ADDRESS SYSTEM, AND A LIGHTING RIG: This can
include receipts for purchase or installation, or insurance documents covering the items.

MARKETING MATERIALS: Include copies of print or electronic advertising, paid receipts for advertising,
social media pages, etc. that list event or motion picture titles, show times and dates, and ticket price or
entry requirement.

BOX OFFICE/TICKETING REPORT: Should show date, artist or event, ticket price, and number of tickets
sold for all 2019 performances and any 2020 performances.

STATE OR LOCAL COVID OCCUPANCY RESTRICTIONS: A copy of state or local ordinances that
demonstrate the limitation on occupancy that affected the museum.

EXAMPLES OF CONTRACTS: Examples of contractual/consultant agreements with talent represented,
and venues used and evidence of booking. Not all contractual agreements will be needed but you may
need to provide them as evidence for disbursements.

LIST OF INDIVIDUALS REPRESENTED AND VENUES: Crosswalk listing of all individuals or acts
represented and venues for which they were contracted to perform. This list should include all talent
represented in 2019 and 2020, the venues for which they were contracted to perform and the
performance dates (note if the performance was canceled due to COVID).




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