Shuttered Venue Operators Grant Preliminary Application Checklist — SBA (March 11, 2021)

Summary

The Shuttered Venue Operators Grant Preliminary Application Checklist, dated March 11, 2021, in which the SBA provides a preliminary list of supporting documentation that will be required when the Shuttered Venue Operators Grant applications open, as required by the Economic Aid Act. For all applicants it lists a written statement of need, corporate documents, an employee list, tax returns for 2019 and 2020 if filed, and quarterly income statements for 2019 and 2020, plus standard forms. It also lists documents specific to a live venue operator or promoter, theatrical producer, or live performing arts organization operator, a motion picture theatre operator, a museum, and a talent representative. It states that the list is not all-inclusive.

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                                                         Shuttered Venue Operators Grant
                                             Preliminary Application Checklist | March 11, 2021


When the Shuttered Venue Operators Grant applications open, specific documents will be needed to
support grant requirements and eligibility, as 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. Changes/updates from previous versions are indicated with an * prior to the item.

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
 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) of the business owner or a primary officer of the
  organization
 Employee list with job titles and employee status (full and 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, signed by a primary officer of the organization
 *Copy of most recent audited financial statement (2019) or Single Audit (if applicable) or link to
  website where the report can be located. (An audited financial statement should be submitted by
  entities that obtained this document within the normal course of business in 2019. A Single Audit
  should be submitted by entities that expended $750,000 or more in Federal grant funds in 2019.)
 Indirect Cost Rate Agreement from cognizant Agency (if applicable)
 Payroll statements covering February 29, 2020

Standard Forms
 SF-424B – Assurances for Non-Construction Programs (found on grants.gov)
 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
 *If the applicant is the operator of a venue: Floor Plan (or comparable documentation demonstrating
  defined performance and audience areas and plan of grounds if outdoor space is used for the
  performance venue)
 *If the applicant is the operator of a venue: Documents to show that the venue has audio mixing
  equipment, a public address system, and a lighting rig
 *If the applicant is promoting or producing live performing arts events at venues they do not
  operate: List of venues at which the applicant has promoted, produced, managed, or hosted live
  events between January 1, 2019 and February 29, 2020.
 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 dates, artists, ticket prices, and number of tickets sold 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 of the facility that identifies the projection booth. In lieu of a floor plan, applicant may
  provide proof of a cinema projection system AND a photo of at least one auditorium in the facility.
      o The photo must clearly show that the auditorium includes a motion picture screen and fixed
          audience seating.
 Examples of proof of projection system are service agreements, purchase agreements, or contracts
  from a projector provider, or a digital cinema certification form.
 Marketing materials listing motion picture titles and show times (may include printed materials or
  social media posts)
 Box office/ticketing report that shows dates, ticket prices, and number of tickets sold 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-19 occupancy restrictions demonstrating limits on occupancy

Talent Representative
 Contractual/Consultant Agreements with talent represented, 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)




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Document Descriptions
Background Documents
WRITTEN STATEMENT OF NEED: 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.

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 of the business owner or a primary officer of the
organization. Acceptable forms of ID are a state driver’s license or identification card, passport book,
passport card, US military or military dependent ID, US permanent resident card, etc.

EMPLOYEE LIST: A complete listing of all who worked for the entity as of February 29, 2020 (this is
separate from the official payroll record). Each employee must include:
   a. Complete name (First and Last 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 pay period.

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. An audited financial statement should be



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submitted by entities that obtained this document within the normal course of business in 2019. A Single
Audit should be submitted by entities that expended $750,000 or more in Federal funds in 2019.

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.

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 Theatre Operators, the floor plan should also identify the projection booth. In lieu of a
floor plan, Motion Picture Theatre Operators may provide proof of a cinema projection system AND a
photo of at least one auditorium in the facility.
         o The photo must clearly show that the auditorium includes a motion picture screen and fixed
             audience seating.
         o Examples of proof of projection system are service agreements, purchase agreements, or
             contracts from a projector provider, or a digital cinema certification form.

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 dates, artists or events, ticket prices, 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.

STATE OR LOCAL COVID-19 OCCUPANCY RESTRICTIONS: A copy of state or local ordinances that
demonstrate the limitation on occupancy that affected the museum.




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CONTRACTUAL/CONSULTANT AGREEMENTS: contractual/consultant agreements with talent
represented, venues used and evidence of booking. Depending on the number of contracts, not all
contractual agreements may be needed however you may need to provide the agreements as evidence of
lost revenue.

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-19).




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