Shuttered Venue Operators Grant Application Checklist — Small Business Administration (July 28, 2021)

Summary

Shuttered Venue Operators Grant Application Checklist, dated July 28, 2021, from the SBA. It says the SVOG application (SBA Form 3515) requires applicants to submit supporting documents to demonstrate compliance with grant and eligibility requirements. Required items for all applicants include a written Certification of Need, a government issued photo ID, 2019 and 2020 tax returns, and standard forms such as SF-424B, SBA Form 1623 and SBA Form 1711. It lists applicant-specific documents for live venue operators, motion picture theatre operators and museum operators. It says the SVOG online application portal requires multi-factor authentication upon login.

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                                                           Shuttered Venue Operators Grant
                                                                 Application Checklist | July 28, 2021


The Shuttered Venue Operators Grant Application (SBA Form 3515) requires Applicants to submit
supporting documents with the application to demonstrate compliance with grant and eligibility
requirements for the Shuttered Venue Operators Grant (SVOG).

To assist with gathering and preparing the necessary SVOG application materials, the SBA is providing the
following Application Checklist. Some of these items will be required, and some are examples of
documentation that can be submitted as supporting evidence of eligibility. All documents will need to be
legible and certification documents will need to be signed and dated. Changes/updates to this checklist
from previous versions are indicated with an * prior to the item.

For additional information on program eligibility, definitions, etc., refer to and carefully review the SVOG
Frequently Asked Questions (SVOG FAQ).


Required Documentation, Information, and
Technology
All Applicants
    Technology
     * Internet access and a compatible browser
      o The SVOG application portal will best perform in the latest versions of Microsoft Edge, Google,
           Firefox and Safari. It will not work in Internet Explorer.
     * Smartphone with an authenticator app installed
      o The SVOG online application portal requires multi-factor authentication upon login. Applicants
           will need access to a smartphone with an authenticator installed. Applicants do not need to
           own the phone.
      o Authenticator apps (Salesforce, Google, Authy, etc.) can be found on Android devices on the
           Google Play app and on Apple Devices at the App Store. This is only to authenticate your
           account. The SBA will not contact you by phone.
     * A valid email address
      o All communications from the SBA regarding your application will be through email. You must
           have a valid email address to apply for SVOG.


    Organizational and Identifying Documents
     Written Certification of Need
      o 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.
      o If the entity is currently in operation, must state that the entity will remain in operation after


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      receipt of the funds. If the entity is currently shuttered, the statement must include the intent
      to reopen with an estimated reopening date.
  o All statements must include an assurance that the entity was fully operational on February 29,
      2020.
  o The SVOG FAQ has language an Applicant may use for the Certification of Need.
 Government issued photo ID of the business owner or authorized representative of the entity
  o A copy of the front of a photo ID of the business owner or an authorized representative of the
      organization. Acceptable forms of ID are a state driver’s license or identification card, passport
      book, passport card, US permanent resident card, etc.
 Business license, if applicable
  o If your entity is required by city, county, or state laws to have a business license, provide a
      copy.
 * The name, EIN, and DUNS number for each of the applicant’s affiliates, if applicable
  o If your entity has affiliates (organizations connected through common ownership,
      management, or through contractual or other legal arrangements), you will need to provide a
      list, including the names, EINs, and DUNs numbers.
  o For more information on affiliates, see the SVOG FAQ.


Financial Documents
 2019 Tax Return
  o If in operation for any portion of 2019, a copy of the entity's 2019 tax return, including all
      schedules.
 2020 Tax Return
  o If applicant has already filed 2020 taxes, applicant will be required to provide 2020 tax return,
      including all schedules, at time at application.
  o If applicant has not yet filed 2020 taxes, applicant will be required to provide 2020 tax return,
      including all schedules, upon filing if awarded an SVOG.
 2018 Tax Return (only required for non-profit organizations which have not ended their 2020 fiscal year)
  o For non-profit organizations that have not yet reached the end of their 2020 fiscal year, a copy
      of the organization’s 2018 tax return, including all schedules.
 * Bankruptcy Documents (only required if Chapter 11 or Chapter 13 bankruptcy)
  o Such as a copy of the bankruptcy petition, current docket sheet of the bankruptcy proceeding,
      an order of confirmation of the bankruptcy plan, or an order of dismissal or order closing the
      case.
 Tax exempt status documentation (in the form of 501(a) exempt status, government charter), if
  applicable
  o If you were exempt from filing 2019 and 2020 federal taxes, upload a document verifying your
      exempt status.
  o Note that exempt from filing taxes and exempt from paying taxes are separate and distinct.




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  Standard Forms
   SF-424B – Assurances for Non-Construction Programs
    o Certifies the entity will comply with all applicable requirements of the federal laws, executive
         orders, regulations, and policies governing the grant program. This is part of the SAM.gov
         registration as well.
   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 – required for
    organizations that do not engage in lobbying, as applicable
   * SF-LLL Disclosure of Lobbying Activities – required for organizations that engage in lobbying
    activities, as applicable
    o Certification explaining the nature of any lobbying activities.
   * SVOG-specific 4506-T – SVOG Request for Transcript of Tax Return – required for applicants who
    filed tax forms 1040, 1065, 1120, 1120-S, 990, or 990-EZ


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

  Motion Picture Theatre Operator
   Floor Plan of the facility that identifies the projection booth or space containing a motion picture
    projector

  Museum Operator
   Floor Plan (or comparable documentation) demonstrating indoor exhibit spaces and at least one
    auditorium, theater, or performance or lecture hall with fixed seating
    o Include plan of grounds if outdoor space is used for the auditorium, theater, or performance or
        lecture hall.
   A document with links to State or local ordinances documenting pandemic-related occupancy
    restrictions (orders from government officials or offices)
    o State or local orders that demonstrate the limitation on occupancy that affected the museum.
    o Links or copies of documents (e.g., a .pdf or .doc of restrictions) will be accepted.
   Documentation of non-profit or not-for-profit status (in the form of tax-exempt status letter - only
    required for non-profit entities)




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Examples of Supporting Documentation,
Information, and Technology
In addition to the required documents identified above, the SBA is providing the following list of types of
supporting documentation that can be used to demonstrate an applicant’s compliance with a particular
eligibility requirement. The examples on this list are not exhaustive and applicants are invited to submit
any other documentation they feel helps support their eligibility. All documents will need to be legible.


All Applicants
    Technology
     * Business website address, if applicable
      o If the Applicant organization has a business website, provide the address.
      o If an applicant does not have its own website address, a link to the applicant’s page on a social
          media platform can be used.
     * Social media presence (in the form of links to social media posts, screenshots of social media
      posts, or receipts for paid advertising on social media platforms)


    Organizational and Identifying Documents
     Business formation documents
      o Examples include Articles of Incorporation, Certificate of Existence, Certificate of Organization,
         State LLC Agreement, Certificate of Formation, Articles of Information, or Partnership
         Agreements, Operating Agreement, Doing Business As (DBA) Certificate, Certificate of Good
         Standing from State or City Government, etc.
      o The documents must be valid at the time of submission and have all required signatures.
     Documents that support date business began operations
      o Examples include quarterly tax filings, financial statements, payroll documents, business
         formation documents referenced above, business license, etc.
     *Personnel documents
      o Documents to support personnel working for the entity. Examples include employee list with
         job titles and employee status (full and part time), contracts, payroll records, job descriptions,
         etc.
      o See SVOG FAQ for additional information.


    Financial Documents
     Copies of the submitted tax returns which cover all of 2019 and 2020, including any and all
       Schedules used, such as:
      o IRS Form 1040 Schedule C
      o IRS Form 1065 (including K-1s)
      o Fiscal year filers may need to submit returns for Tax Year 2018 to cover 2019



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   Signed financial statements covering the quarters of 2019, 2020, and 2021, such as Income
    Statements or Profit and Loss Statements
    o Monthly or Quarterly income statements or profit & loss statements that demonstrate all
         sources of revenue and expenditures.
    o If the entity was not in business for all of 2019, include income statements for all quarters it
         was in operation.
   Signed financial audits completed by a third party
    o Copy of most recent audited financial statement (2019) or Single Audit (if applicable) or link
         to website where the report can be located.
   Third-party ticket system or third-party merchant accounts
   CPA comfort letters or CPA firm attestations are accepted (but not required) in combination with
    one of the above



Applicant-Specific Documents
  Live Venue Operator or Promoter, Theatrical Producer, or Live
  Performing Arts Organization Operator
   Documents to show that the venue has audio mixing equipment, a public address system, and a
    lighting rig
    o Examples include receipts for purchase or installation, insurance documents covering the
         items, photographs, venue spec sheets, or other documentation that proves the venue has this
         equipment.
   If the applicant is promoting or producing live performing arts events at venues they do not
    operate, document the events
    o Examples include a list of venues at which the applicant has promoted, produced, managed, or
         hosted live events between January 1, 2019 and February 29, 2020; show listings and
         contracts/memorandums with artists; or profile in professional industry database or registry.
   Marketing materials
    o Examples include copies of print or electronic advertising, paid receipts for advertising, social
         media pages, etc. that list event titles, show times and dates, and ticket price or entry
         requirement.
    o If you had 10 or more events during 2019, provide support for the 10 events that you feel best
         represent your organization.
    o If you had fewer than 10 events, provide support for all events.
   Box office/ticketing information for February 2020 performances
    o Examples include ledgers, income statements, box office reports, etc. Should show dates,
         artists or events, ticket prices, and number of tickets sold. Provide the report for all February
         2020 performances.
    o 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 documentation.
   Artist performance agreements
    o Examples include contracts, financial documentation, and performance agreements.



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Motion Picture Theatre Operator
 Proof of a cinema projection system
  o Examples include a venue layout diagram, photos, service agreements, purchase agreements,
     or contracts from a projector provider, or a digital cinema certification form.
 Marketing materials
  o Examples include copies of print or electronic advertising, paid receipts for advertising, social
     media pages, etc. that list motion picture titles, show times and dates, and ticket price or entry
     requirement.
  o If you had 10 or more events during 2019, provide support for the 10 events which you feel best
     represent your organization.
  o If you had fewer than 10 events, provide support for all events.
 Box office/ticketing information for February 2020 performances
  o Examples include ledgers, income statements, box office reports, etc. Should show dates,
     artists or events, ticket prices, and number of tickets sold. Provide the report for all February
     2020 performances.
  o 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 documentation.

Talent Representative
 Evidence demonstrating representation of at least two performing artists or entertainers
  o Examples include contractual/consultant agreements with talent represented, venues used
       and evidence of booking.
 List of individuals or acts represented and venues for which they were contracted to perform in
  2019 and 2020 (including performances cancelled due to COVID-19)
  o 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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