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.
Question | Answer |
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Form Name | Sba Form 1531 |
Form Length | 6 pages |
Fillable? | No |
Fillable fields | 0 |
Avg. time to fill out | 1 min 30 sec |
Other names | seeking coc determination pdf, any sba certificate, sba competency payments online, sba coc application |
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Control No. |
SMALL BUSINESS ADMINISTRATION |
Exp. Date: |
APPLICATION FOR CERTIFICATE OF COMPETENCY |
COC Case Number: |
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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
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Basis of Referral: |
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PART I |
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Capacity |
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Credit |
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Capability Other |
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1. |
U.S. Small Business Administration (Office) |
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Explain |
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Procurement Designation (Solicitation Number) |
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Unrestricted |
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2. Next Apparent Successful |
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price difference. |
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3. |
Name and Address of Contracting Agency |
Buyer |
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Quantity |
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b. |
Increase Option |
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C. |
Unit Price, if applicable |
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C/0 |
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d. |
Total Offered Price |
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e. |
Progress Payments |
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Fax |
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Available? |
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4. |
Name of Company, Address (Street, City State, ZIP Code) |
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Principal |
Company Officials (Attach |
Resumes) |
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Name |
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Title |
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5. |
Telephone No. (Include |
Area Code) |
County: |
Email Address: |
Website: |
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6. |
Work Performance Location , if different from the above address |
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Functions at Location |
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(street, City, State, ZIP |
Code) |
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7. Telephone No. (Include Area Code) |
County: |
Contact Name: |
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Email: |
8.Brief Description of Solicited Items or Services
9.What are contract delivery and special provision requirements of contract?
9a. Was |
Yes |
No If so, date of |
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
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Is this small business a |
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Yes |
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No |
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Is this a Supply contract? |
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Yes |
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No |
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Has a NonManufacturer Rule Waiver been issued? |
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Yes |
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No |
11.Percentage of Government contracts in relation to total sales over 3 years
% |
Attach a list of all current commercial contracts and all |
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government contracts for past 3years |
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12. |
Number of Employees |
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Without |
With CoC |
Hours of Work |
Without |
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With CoC |
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CoC Contract |
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Contract |
CoC Contract |
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Contract |
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Administrative and Management |
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No. of Shifts Hours |
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Production |
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per Shift Employees |
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Other |
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per Shift Days per |
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Week |
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13. Are special skills required? |
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Yes |
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No |
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Yes |
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No |
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Are Employeeswith necessary skillsavailable? |
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Yes |
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No |
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SBA Form 1531
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FACILITlES AND EQUIPMENT |
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14. |
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Facility |
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Add'l. for CoC |
List Machinery & Equipment required for this CoC Contract currently available. |
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Present |
List separately additional equipment to be acquired. Use separate sheet if |
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Area in sq. ft. |
Contract |
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necessary. |
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(1) |
Administrative |
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(2) |
Manufacturing |
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(3) |
Storage- inside |
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(4) |
Other- (specify) |
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Total |
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15. |
Give percentage(dollarwise) of inventory on hand for the proposed contract |
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15a. |
Is the inventory proposed for this contract surplus inventory from another contract? __Yes |
No |
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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. |
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_ Weeks. |
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1 |
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A.Commercial
B.Government
C.CoC Application Contract
D.Other
Present explanation for production and scheduling overlaps; explain delinquent contracts
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COST ANALYSIS |
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18. Check basis |
_ Unit Price, _ Total Contract |
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Direct Material |
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Direct Labor |
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Overhead |
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Subcontracting |
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G&A |
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SBA USE ONLY |
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19. Based on data contained in the foregoing and in the attached enclosures a CoC is |
0 I Concur |
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0 Recommended |
0NotRecommended |
0 I Do Not Concur (State reasons in items) |
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Signature |
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Reviewing |
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Official |
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Title |
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Title |
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Date |
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Date |
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SBA Form 1531 |
Previous Editions Obsolete |
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PART II
1. Name of Applicant |
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CoC |
Case# |
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2. Type of Business (Check) |
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3. Date Business Was Established |
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Individual Ownership |
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Partnership |
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Corporation |
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FINANCIAL STATEMENT |
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A. |
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THE FOLLOWING MUST BE FILLED OUT OR ITS EQUIVALENT ATTACHED |
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Balance Sheet As Of |
, Fiscal Year Ends |
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(Statement must be dated within 90 days of the filing of this application. Omit $.00) |
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Audited or Unaudited: |
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Prepared By: |
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ASSETS |
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LIABILITIES |
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Cash on Hand and in Banks |
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$ |
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* Notes Receivable |
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*Accounts Receivable (Trade) |
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Less Reserve for Doubtful Account_. |
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Inventories (How valued- Cost ( ) |
or Market( ) |
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Finished |
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Stock in |
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Raw |
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*Other Current Assets |
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Total Current Assets |
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Cost |
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Land |
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Buildings |
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Mach. & Equip. |
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F&F |
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Autos & Trucks |
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Net Fixed Assets (Cost Less Depr.)_ - - - - - |
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*Due from Affiliates or
* Due from Officers, Directors, and Stockholders Life Insurance (Cash Surrender Value)_
* Other Assets
Total Assets |
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Accounts Payable for Merchandise |
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Notes Payable- Payments Due Within One Year |
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To Banks |
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For Merchandise |
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To Officers, Directors and Stockholders _ _ _ _ |
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To Others |
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Mortgages Payable- Payments Due Within OneYear |
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Contracts |
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*Accounts Due Officers or Stockholder |
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Accounts and Notes Due |
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Income Taxes - - - - - - - - - - - - - - - - - - - - - - - - - |
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Withholding and Other Taxes |
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*Other |
Accruals |
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*Other |
Current Liabilities |
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Total Current |
Liabilities |
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Notes Payable- Payments Due After One Yea_r |
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Mortgages Payable- Payments Due After One Year |
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Contracts Payable- Payments Due After One Yer |
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SBA Loan- Payments Due After One Year |
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*Other |
Liabilities |
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Total |
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Capital Stock Outstanding _ _ _ _ _ _ $ |
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Earned Surplus |
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Capital Surplus |
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Capital Account (If individual or partnership) |
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Total Liabilities and Net Worth |
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.. |
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*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 |
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of any leases, should |
be explained on a separate sheet. Also, describe |
any pending |
or imminent litigation, claims against U.S. Government or others. |
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Give present status. |
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Ageing |
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Accounts |
Receivable |
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Accounts Payable |
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Under 30 days |
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$ |
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$ |
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30- 60 days |
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60- 90 days |
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90- 120 days |
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Over 120 days |
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Uncollectible |
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Totals |
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$ |
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$ |
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Contracts,Notes and Mortgages Payable: |
Present |
Rate of |
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Monthly |
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To Whom Payable |
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Original Amt. |
Balance |
Interest |
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Payment |
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SBA Form 1531
State Specific Sources for funds to finance this proposed contract: |
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(Attach letters of credit and/or your personal financial statements, |
if necessary) |
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COMPARATIVE STATEMENTS OF SALES, PROFIT OR LOSS, ETC. Detailed Profit and Loss statements Must Be Attached |
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Fiscal Year Ends (Give Date): MM/DD/YY |
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If a Corporation, Use This Block: |
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to date |
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Net Sales (Gross sales less returns and allowances) |
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Depreciation |
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Income Taxes |
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Compensation of Officers (Included |
in expenses) |
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Net Profit (After |
depreciation and |
Income Taxes) |
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Dividends Paid |
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If a Partnership or |
Proprietorship, Use This Block: |
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to date |
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Net Sales (Gross sales less returns and allowances |
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Depreciation |
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Withdrawals (For Income Taxes) |
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Personal Withdrawals by Owner or Partners |
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Net Profit (After |
depreciation and withdrawals) |
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B. |
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MANAGEMENT |
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Information to be furnished as to each officer, partner, or owner of applicant |
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Name |
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%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 |
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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) |
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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 §
SBA Form 1531
PART IV
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. §§
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
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