Small Business Enterprise (SBE) Certification Information

Required Documents for new Small Business Enterprise (SBE) certification:

• Résumés (that include places of employment with corresponding dates), for all owners, officers, and key personnel of the applicant firm.
• Personal Net Worth Statement for each socially and economically disadvantaged owners comprising 51% or more of the ownership percentage of the applicant firm.
• Personal Federal tax returns for the past 3 years, if applicable, for each disadvantaged owner.
• Federal tax returns (and requests for extensions) filed by the firm and its affiliates with related schedules, for the past 3 years.
• Documented proof of contributions used to acquire ownership for each owner (e.g., both sides of cancelled checks).
• Signed loan and security agreements, and bonding forms.
• List of equipment and/or vehicles owned and leased including VIN numbers, copy of titles, proof of ownership, insurance cards for each vehicle.
• Title(s), registration certificate(s), and U.S. DOT numbers for each truck owned or operated by your firm.
• Licenses, license renewal forms, permits, and haul authority forms.
• Descriptions of all real estate (including office/storage space, etc.) owned/leased by your firm and documented proof of ownership/signed leases.
• Documented proof of any transfers of assets to/from your firm and/or to/from any of its owners over the past 2 years.
• DBE/ACDBE and SBA 8(a), SDB, MBE/WBE certifications, denials, and/or decertifications, if applicable; and any U.S. DOT appeal decisions on these actions.
• Bank authorization and signatory cards.
• Schedule of salaries (or other remuneration) paid to all officers, managers, owners, and/or directors of the firm.
• List of all employees, job titles, and dates of employment.
• Proof of warehouse/storage facility ownership or lease arrangements.

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The following documents are required according to business structure:

Partnership or Joint Venture

• Original and any amended Partnership or Joint Venture Agreements.

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Corporation or LLC

• Official Articles of Incorporation (signed by the state official).
• Both sides of all corporate stock certificates and your firm’s stock transfer ledger.
• Shareholders’ Agreement(s).
• Minutes of all stockholders and board of directors meetings.
• Corporate by-laws and any amendments.
• Corporate bank resolution and bank signature cards.
• Official Certificate of Formation and Operating Agreement with any amendments (for LLCs).

Optional Documents to Be Provided on Request

The UCP to which you are applying may require the submission of the following documents. If requested to provide these documents, you must supply them with your application or at the on-site visit.

• Proof of citizenship.
• Insurance agreements for each truck owned or operated by your firm.
• Audited financial statements (if available).
• Personal Federal Tax returns for the past 3 years, if applicable, for other disadvantaged owners of the firm.
• Trust agreements held by any owner claiming disadvantaged status.
• Year-end balance sheets and income statements for the past 3 years (or life of firm, if less than three years).

Suppliers

• List of product lines carried.
• List of distribution equipment owned and/or leased.

The following documents are required according to business structure:

Sole Proprietor:

• Renewal form
• Complete copy of 1040 Tax Return (including Schedule C)
• Any licenses required to operate business

Partnership:

• Renewal form
• Complete copy of 1065 Tax Return
• Any licenses required to operate business

Corporation:

• Renewal form
• Complete copy of 1120/1120S Tax Return
• Minutes of last annual meeting
• Any licenses required to operate business

LLC:

• Renewal form
• Complete copy of Business Tax Return
• Minutes of last annual meeting (if applicable)
• Any licenses required to operate business

APPLICATION

• 1st Certification
  • Fees: $150
  • Renewal Fee: $75 (every two years)

• 2nd Certification
  • Fees: $100
  • Renewal Fee: $75 (every two years)

• 3rd Certification
  • Fees: $75
  • Renewal Fee: $75 (every two years)

• 4th Certification
  • Fees: $75
  • Renewal Fee: $75 (every two years)

• OUT OF JURISDICTION APPLICANTS
  • $250 (NEW APPLICATIONS)

Note: Credit Card, Company Check, Cashier’s Check or Money Orders are accepted. No personal checks will be accepted.

1. Contact each NCTRCA Member Entity to register in their procurement database and to access their procurement process.
2. Maximize certification exposure by participating in NCTRCA member agencies ongoing outreach events.
3. Market your businesses products or service.
4. Obtain bid opportunities, attend pre/bid proposals, conferences and check procurement request.
5. Visit buyers to assess the needs of the member entity.
6. Be proactive and contact the prime contractors or prime consultants, if your business lends itself to participating as a subcontractor or sub-consultant.
7. Check periodically that your firm's information is accurate in their database.