Sba Form 1531 PDF Details

Seeking a Certificate of Competency (COC) is a critical step for small businesses aiming to confirm their capability to fulfill government contracts, a process facilitated by the use of the SBA Form 1531. This document, an application for COC, serves as a tool for small business entities to appeal contracting officers' decisions that question their responsibility and ability to perform accurately under specific government contracts. Significantly, the form covers a broad range of areas from basic company information, including the principal officials and performance locations, to more detailed accounts of financial status, previous contracting experience, and facilities available or needed for the contract in question. Applicants are required to provide exhaustive details regarding their direct experience related to the solicited services or products, current and past government and commercial contracts, and a thorough analysis of their production capability and scheduling. Additionally, the SBA Form 1531 gathers financial information and comparative statements of sales, profit, or loss to assess the financial health and sustainability of the applicant concerning the contract's demands. Furthermore, Part III of the form includes an agreement section where applicants certify their adherence to ethical guidelines regarding employment and representation, ensuring the integrity of the COC program. This form not only aids the Small Business Administration (SBA) in making an informed decision on the applicant's competency but also ensures that small businesses have a fair chance in the government procurement process, underlining the SBA's role in supporting small enterprises.

QuestionAnswer
Form NameSba Form 1531
Form Length6 pages
Fillable?No
Fillable fields0
Avg. time to fill out1 min 30 sec
Other namesseeking coc determination pdf, any sba certificate, sba competency payments online, sba coc application

Form Preview Example

 

Control No. 3245-0225

SMALL BUSINESS ADMINISTRATION

Exp. Date: 01-31-2021

APPLICATION FOR CERTIFICATE OF COMPETENCY

COC Case Number:

 

Instructions: The Certificate of Competency (COC) program allows a small business to appeal a contracting officer's determination that it lacks the responsibility necessary to perform a specific government procurement on which it is an apparent successful offeror. This form (SBA Form 1531) should be completed by a small business concern seeking a COC determination from SBA affirming that it is responsible to perform the specific procurement. The small business must complete questions 10-18 in Part I (SBA will complete questions 1-9 and 19), all questions in Parts II and III, and the certification in Part IV. The completed form must be submitted to an SBA Area Director serving your geographic area. For more information visit,http://www.sba.gov/content/certificate-competency-program

 

 

 

 

 

Basis of Referral:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PART I

 

 

 

 

Capacity

 

Credit

 

Capability Other

 

 

 

 

 

 

 

 

 

1.

U.S. Small Business Administration (Office)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Explain

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Procurement Designation (Solicitation Number)

 

 

 

 

 

 

 

 

 

 

Set-Aside

 

Unrestricted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2. Next Apparent Successful Offeror-- Whether large or small business,

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

price difference.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3.

Name and Address of Contracting Agency

Buyer

 

 

 

 

 

 

 

 

 

a.

Quantity

 

 

 

 

 

 

Phone

-----------------------------

 

b.

Increase Option

 

 

 

 

 

 

 

 

 

 

 

C.

Unit Price, if applicable

 

 

 

 

 

 

C/0

 

 

 

 

 

_

 

 

 

 

 

 

Phone

-----------------------------

 

d.

Total Offered Price

 

 

 

 

 

Email

 

e.

Progress Payments

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Fax

 

 

 

 

 

 

 

 

 

 

Available?

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.

Name of Company, Address (Street, City State, ZIP Code)

 

 

 

 

 

Principal

Company Officials (Attach

Resumes)

 

 

 

 

 

 

 

 

 

 

Name

 

 

 

 

 

 

 

Title

 

5.

Telephone No. (Include

Area Code)

County:

Email Address:

Website:

 

 

 

 

6.

Work Performance Location , if different from the above address

 

Functions at Location

 

(street, City, State, ZIP

Code)

 

 

 

7. Telephone No. (Include Area Code)

County:

Contact Name:

 

 

Email:

8.Brief Description of Solicited Items or Services

9.What are contract delivery and special provision requirements of contract?

9a. Was Pre-award Survey Conducted?

Yes

No If so, date of Pre-award Survey Performed

SBA Form 1531 (02/2021) Previous Editions Obsolete

10. Applicant's directly related experience to soliciteditems/services:

10 (a) If question 1 above is marked set-aside answer all that apply below.

Is this small business a Non-manufacturer?

 

Yes

 

No

Is this a Supply contract?

 

Yes

 

No

Has a NonManufacturer Rule Waiver been issued?

 

Yes

 

No

11.Percentage of Government contracts in relation to total sales over 3 years

%

Attach a list of all current commercial contracts and all

government contracts for past 3years

 

12.

Number of Employees

 

Without

With CoC

Hours of Work

Without

 

With CoC

CoC Contract

 

Contract

CoC Contract

 

Contract

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Administrative and Management

 

 

 

 

 

 

 

 

 

No. of Shifts Hours

 

 

 

 

 

 

 

Production

 

 

 

 

 

 

 

 

 

per Shift Employees

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Other

 

 

 

 

 

 

 

 

 

per Shift Days per

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Week

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

13. Are special skills required?

 

Yes

 

 

No

 

 

 

 

Yes

 

 

No

 

 

Are Employeeswith necessary skillsavailable?

 

 

Yes

 

 

 

No

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SBA Form 1531 (02-2021) Previous Editions Obsolete

 

 

 

 

FACILITlES AND EQUIPMENT

 

 

 

 

 

 

 

 

 

 

14.

 

Facility

 

Add'l. for CoC

List Machinery & Equipment required for this CoC Contract currently available.

 

 

 

Present

List separately additional equipment to be acquired. Use separate sheet if

Area in sq. ft.

Contract

 

necessary.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(1)

Administrative

 

 

 

 

 

 

(2)

Manufacturing

 

 

 

 

 

 

 

 

 

 

 

 

(3)

Storage- inside

 

 

 

 

 

 

 

 

 

 

 

 

 

 

-outside

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(4)

Other- (specify)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Total

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

15.

Give percentage(dollarwise) of inventory on hand for the proposed contract

 

%.

 

 

 

 

 

15a.

Is the inventory proposed for this contract surplus inventory from another contract? __Yes

No

 

 

 

 

 

 

 

 

 

16. Total amount of dollars and percentage of dollars to be received from the Government under this contract and proposed to besubcontracted.

PLANT LOADING AND PRODUCTION SCHEDULES

17.Total Projected Plant Load Chart (Use a separate line for each existing and proposed contract and each item of present and projected commercial production. Show start and finish of each item by drawing a line between the month or week started and the month or week to be finished. Use separate spread sheet if greater detail is needed to evaluate capacity.)

Schedule Periodsare in _ Months.

 

 

 

_ Weeks.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

A.Commercial

B.Government

C.CoC Application Contract

D.Other

Present explanation for production and scheduling overlaps; explain delinquent contracts

 

 

 

 

COST ANALYSIS

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

18. Check basis

_ Unit Price, _ Total Contract

 

 

 

 

 

 

 

 

 

Direct Material

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Direct Labor

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Overhead

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Subcontracting

 

 

 

 

 

 

 

 

 

 

 

 

 

 

G&A

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SBA USE ONLY

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

19. Based on data contained in the foregoing and in the attached enclosures a CoC is

0 I Concur

0 Recommended

0NotRecommended

0 I Do Not Concur (State reasons in items)

By

 

 

_

 

 

 

 

 

 

 

 

 

 

Signature

_

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Reviewing

 

 

 

 

 

 

 

 

Official

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

----------------------------

 

 

 

Title

 

Date

 

 

 

 

Date

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SBA Form 1531 (02-2021)

Previous Editions Obsolete

 

 

 

 

 

 

 

 

 

PART II

1. Name of Applicant

 

 

 

 

 

CoC

Case#

 

 

 

 

 

 

 

 

 

2. Type of Business (Check)

 

 

 

 

 

3. Date Business Was Established

 

 

Individual Ownership

 

 

 

 

 

 

 

 

 

Partnership

 

 

 

 

 

Month

Year

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

 

 

 

 

 

 

 

 

 

 

 

 

FINANCIAL STATEMENT

 

 

 

 

 

 

 

 

 

 

A.

 

THE FOLLOWING MUST BE FILLED OUT OR ITS EQUIVALENT ATTACHED

 

Balance Sheet As Of ----------------------------------

, Fiscal Year Ends

 

 

 

 

 

 

 

(Statement must be dated within 90 days of the filing of this application. Omit $.00)

 

 

Audited or Unaudited:

 

 

 

Prepared By:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ASSETS

 

 

LIABILITIES

 

Cash on Hand and in Banks ---------------------

 

$

 

 

 

 

 

* Notes Receivable -----------------------------

 

 

 

 

 

*Accounts Receivable (Trade)

. $

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Less Reserve for Doubtful Account_.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Inventories (How valued- Cost ( )

or Market( )

 

 

 

 

 

Finished ------------------ $

 

 

 

 

 

Stock in Process-------------

 

 

 

 

 

 

 

 

 

 

 

 

Raw Material---------------

 

 

 

 

 

 

 

*Other Current Assets --------- ---

······-·- ---

 

 

 

 

 

Total Current Assets -------------------

 

 

 

 

 

 

 

 

Cost

 

Depr.

 

 

 

 

 

 

 

 

 

 

 

Land

 

 

 

 

 

 

 

Buildings

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Mach. & Equip.

 

 

 

 

 

 

 

F&F

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Autos & Trucks

 

 

 

 

 

 

 

 

Net Fixed Assets (Cost Less Depr.)_ - - - - - -- - -

-

$

 

*Due from Affiliates or Subsidiaries----------------

* Due from Officers, Directors, and Stockholders Life Insurance (Cash Surrender Value)_

* Other Assets ------------------------- - -- - - - - -

Total Assets

 

._.

 

$

 

 

Accounts Payable for Merchandise

.

 

 

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Notes Payable- Payments Due Within One Year

 

 

 

 

To Banks -------------------------------

 

 

 

 

For Merchandise -------------------------

 

 

 

 

To Officers, Directors and Stockholders _ _ _ _

 

 

 

 

To Others -------------------------------

 

 

 

 

 

 

 

 

Mortgages Payable- Payments Due Within OneYear

 

 

 

 

 

 

 

 

Contracts Payable-Payment Due Within One Year_

 

 

 

 

 

 

 

 

*Accounts Due Officers or Stockholder

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Accounts and Notes Due Affiliates----------------

 

 

 

 

 

 

 

 

Income Taxes - - - - - - - - - - - - - - - - - - - - - - - - - --- - - -

 

 

 

 

 

 

 

 

Withholding and Other Taxes

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

*Other

Accruals

------------------------------

 

 

 

 

 

 

 

 

 

*Other

Current Liabilities

------------------------

$

 

 

 

 

 

 

 

Total Current

Liabilities

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Notes Payable- Payments Due After One Yea_r

 

 

 

 

 

 

 

 

 

Mortgages Payable- Payments Due After One Year

 

 

 

 

 

 

 

 

Contracts Payable- Payments Due After One Yer

 

 

 

 

 

 

 

 

SBA Loan- Payments Due After One Year

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

*Other

Liabilities

------------------------------

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Total Liabilities----------------------

$

Capital Stock Outstanding _ _ _ _ _ _ $

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Earned Surplus

 

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Capital Surplus

 

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Capital Account (If individual or partnership)

 

 

 

 

 

 

 

 

 

$

 

Total Liabilities and Net Worth

 

 

..

 

 

 

 

 

 

*ITEMIZE ON A SEPARATE SHEET ALL ITEMS MARKED WITH AN ASTERISK.

Contingent Liabilities:

Accounts

or notes receivable discounted or sold with endorsement or guarantee

and all other contingent liabilities, including terms

 

of any leases, should

be explained on a separate sheet. Also, describe

any pending

or imminent litigation, claims against U.S. Government or others.

 

Give present status.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Ageing

 

 

Accounts

Receivable

 

 

 

Accounts Payable

 

Under 30 days

 

$

 

 

 

 

$

 

 

30- 60 days

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

60- 90 days

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

90- 120 days

 

 

 

 

 

 

 

 

 

Over 120 days

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Uncollectible

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Totals

 

$

 

 

 

 

$

 

 

 

 

 

 

 

 

 

Contracts,Notes and Mortgages Payable:

Present

Rate of

 

Monthly

 

 

 

 

 

 

 

To Whom Payable

 

Original Amt.

Balance

Interest

 

Payment

 

SBA Form 1531 (02-2021) Previous Editions Obsolete

State Specific Sources for funds to finance this proposed contract:

 

 

 

 

(Attach letters of credit and/or your personal financial statements,

if necessary)

 

 

 

 

 

COMPARATIVE STATEMENTS OF SALES, PROFIT OR LOSS, ETC. Detailed Profit and Loss statements Must Be Attached

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Fiscal Year Ends (Give Date): MM/DD/YY

 

 

 

 

 

 

 

 

If a Corporation, Use This Block:

 

 

 

 

to date

Net Sales (Gross sales less returns and allowances)

 

 

 

 

 

 

Depreciation

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Income Taxes

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Compensation of Officers (Included

in expenses)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Net Profit (After

depreciation and

Income Taxes)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Dividends Paid

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

If a Partnership or

Proprietorship, Use This Block:

 

 

 

 

to date

Net Sales (Gross sales less returns and allowances

 

 

 

 

 

 

Depreciation

 

 

 

 

 

 

 

Withdrawals (For Income Taxes)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Personal Withdrawals by Owner or Partners

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Net Profit (After

depreciation and withdrawals)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

B.

 

 

 

MANAGEMENT

 

 

 

 

 

 

 

Information to be furnished as to each officer, partner, or owner of applicant

 

 

 

 

Name

 

 

 

%of Ownership

Net Worth Outside of Applicant

PART Ill

AGREEMENT

In order to comply with the provisions of Section 13of the Small Business Act, 15 U.S.C. , the applicant does hereby certify to and agree as follows:

A. In the event SBA issues the Certificate of Competency herein applied for, then for a period of two years from the date upon which such Certificate shall have been issued, the applicant and its subsidiaries and affiliates agree to refrain from employing, tendering any offer of employment to, or retaining for

professional services, any person who, on such date, or within

one year

prior thereto, shall have served as

an officer, attorney, agent, or employee of

SBA occupying a position or engaging in activities which SBA

shall have

determined involve discretion with

respect to the granting of assistance under

the above Act

 

 

 

B. The names of all attorneys, accountants, appraisers, engineers, consultants, agents, or other persons engaged by or on behalf of the applicant for the purpose of expediting this application or obtaining a Certificate of Competency and the fees and/or other compensation paid to such a person,are as follows:

Name

Occupation

Address (Include Zip Code)

Compensation

C.The names of any members of the Small Business Administration National or Small Business Administration District Advisory Councils who have any direct or indirect financial interest whatsoever in the applicant (such interest to include any direct or indirect financial interest in any other business entity or enterprise which is, in any way, connected with the undersigned) are to the best of my knowledge, information, and belief as follows:

Name

Address (Include Zip Code)

 

 

D.To notify SBA in writing within five (5) days of any changes in items B and C above.

E.The applicant further agrees, in order to insure the continued recognition of the integrity of the SBA Certificate of Competency program if the Certificate of Competency herein applied for is issued to permit authorized employees or representatives of SBA access to the applicant's financial, production, or other business records and to the applicant's facilities at all reasonable times during the performance of the contract described in item 8.

Any documents that you provide as part of this request for a Certificate of Competency, including bid or proposal information or source selection information, are prohibited from being released prior to the award of a contract. See, FAR § 3.104-3. After award of a contract, all information and/or documents may be disclosed but will be protected to the fullest extent permitted by law, including the Privacy Act 5 U.S.C. § 552a and Freedom of Information Act, 5 U.S.C. § 552.

SBA Form 1531 (02-2021) Previous Editions Obsolete

PART IV -Certifications

By signing below, I hereby certify that all statements and all other information set forth on this form, and in all exhibits and documents submitted with or in connection with this application are complete and accurate. I understand that the SBA is relying on the accuracy of this information in determining whether to issue the Certificate of Competency (COC) and that issuance of the COC can entitle me and/or my company to obtain future governmental payments or other benefits. WARNING: Any false information or misrepresentation regarding the accuracy and completeness of the information provided may result in criminal, civil and/or administrative sanctions including, but not limited to: 1) fines of up to

$500,000 and imprisonment of up to 10 years, or both, under 18 U.S.C. § 1001, as well as penalties under other criminal laws; 2) treble damages and civil penalties under the False Claims Act, 31 U.S.C. §§ 3729-3733; and 3) suspension and/or debarment from all Federal procurement and non-procurement transactions.

Date

--------------------------------

Signature

NOTE: Corporate applicants must execute application in corporate name, by duly authorized officer, and partnership applicants must execute application in firm name, together with signature of a general partner.

Section 16 of the Small Business Act, 15 U.S.C. 645, makes it a criminal offense punishable by fine of not more than $500,000 or by imprisonment

for not more than ten (10) years, or both, to make a statement knowing it to be false or make any misrepresentation to the Small Business Administration for the purpose of influencing in any way the action of the Administration.

According to the Paperwork Reduction Act you are not required to respond to this collection of information unless it displays a currently valid OMB Control Number. The

number for this collection is 3245-0225. The estimated burden for completing this form, including time for reviewing instructions, gathering data needed, and completing and reviewing this form is 2 hours per response. Comments or questions on the burden estimates should be sent to U.S. Small Business Administration, Director, Records Management Division, 409 3rd

St. SW, Washington DC 20416 and/or SBA Desk officer, Office of Management and Budget, New Executive Office Bldg, Room 10202, Washington DC 20503 PLEASE DO NOT SUBMIT COMPLETED FORMS TO OMB

SBA Form 1531 (02-2021) Previous Editions Obsolete