Hubzone Application. What information must be provided to get certified.

Keep in mind that each Hubzone Application is unique and document requirements vary for each Hubzone Application.

Below is a general list of items that will need to be included within your Hubzone application. Your unique application may require additional items not specified below.

IMPORTANT NOTE: The electronic verification date for your firm’s HUBZone application is the date on which the applicant authorizes the electronic HUBZone Application for processing by the SBA. The verification notice will be sent to the firm via electronic communication by the SBA after completing the HUBZone electronic Application. This date is extremely important to note.

Documents demonstrating your firm meets Ownership & Control and Size requirements:

Corporate documents: Although your firm may not be required to submit all of the following documentation to the Secretary of State, in your state, it is nonetheless required and necessary to determine the eligibility criteria for the SBA HUBZone Program. Failure to provide these documents will result in your application being withdrawn or declined by the SBA.

The following documents must be provided, each of which must be valid at the time of electronic verification and have all required signatures:

If your firm is a Corporation:

  • DBA (Doing Business As) Certificate, if applicable.
  • Articles of Incorporation and any amendments (Only submitting the Secretary of State (SOS) seal certificate is not acceptable. You must also submit a copy of the firm’s Articles of Incorporation along with the SOS seal certificate.)
  • Corporate Bylaws and any amendments.
  • Executed Stock Certificates (front & back).
  • Stock Ledger or Register (This ledger or register should summarize all stock actions taken from issuance through transfer and or cancellation.

If your firm is a Limited Liability Company (LLC):

  • DBA (Doing Business As) Certificate, if applicable.
  • Articles of Organization and any amendments (Only submitting the Secretary of State (SOS) seal certificate is not acceptable. You must also submit a copy of the firm’s Articles of Organization along with the certificate with the SOS seal certificate.)
  • Operating Agreement and any amendments.

If your firm is a Sole Proprietor:

  • DBA (Doing Business As) Certificate, if applicable.

If your firm is a Partnership:

  • DBA (Doing Business As) Certificate, if applicable.
  • Partnership Agreement and any amendments.

Documents demonstrating Firm Ownership, any Affiliation and Citizenship:

  • Proof of US Citizenship for owners. One of the following:
    • Birth certificate
    • Current valid U.S. Passport
    • Certificate of Naturalization.
  • Other key ownership related documents:

If your firm is a member of a franchise you will need to provide a copy of the franchise agreement. If your firm is owned in part by an ESOP or Trust you will need to provide a copy of the ESOP plan or Trust Agreement.

Documents demonstrating your firm meets the Hubzone employment and principal office requirements:

  • Firm location list that lists all locations maintained by your firm or used as job sites to include:
    • Complete address for all office locations and each applicable job site location(s).
    • Specification of which of the following 3 location types it is:
      • Principal Office: Location maintained by your firm (i.e., owned or leased by your firm) where the greatest number of your firm’s employees at any one location perform their work.
      • Other firm location(s): Location(s) maintained by your firm which are NOT the Principal Office.
      • Job site: Firms whose “primary industry” is service or construction should classify as job sites all locations used to fulfill specific contract obligations.
    • A listing of all employees working at the Principal Office.
    • The number of hours that each employee performs their work at the Principal Office location that include the days of week and business hours each office is staffed.
    • The number of hours that each employee performs their work at other office location(s) that include the days of week and business hours each office is staffed at other office location(s).

Please Note: If the firm only operates from the principal office location and there are no other locations or job sites, you must provide the requested information for the principal office location and indicate that there are no other locations and or job sites in writing.

  • A Hubzone Map printout of your principal office location.
  • Lease/rental agreement/deed for Principal Office: A copy of a fully executed lease/rental agreement or deed for the firm’s Principal Office location which is valid and in full effect at the time of electronic verification of your application. Your firm’s full legal name must be identified as being the lessee, renter, or owner. If your lease/rental agreement or deed only includes a parcel description, you must also provide a property tax bill and/or insurance policy supporting the physical address of the Principal Office location.

If you operate out of your primary residence, you must provide a copy of the deed for your primary residence, a copy of a utility bill that covers the period of time including the electronic verification of your application. Examples include gas, electric, water, sewer or landline telephone. Cellular phone bills are not acceptable. You must also provide a copy of the firms insurance policy too.

Note: A property tax bill and/or insurance policy is for verification of the physical address only. Submission of this document in lieu of the required lease or deed is not acceptable.

  • Utility bill for Principal Office:  You must provide a copy of a utility bill for the firm’s Principal Office that covers the period of time including the electronic verification of your application. Examples include gas, electric, water, sewer, internet or landline telephone. Cellular phone bills are not acceptable. If utilities are included with the rent and you cannot provide a land-line telephone bill, you must provide evidence that utilities are included within lease/rental agreement or signed affidavit from lessor indicating this is the case.
  • Employee list: You must provide a complete listing of all who work for the firm at the time of electronic verification, including paid or unpaid owners, salaried or hourly-wage employees, and temporary workers. If an individual has an ownership interest in and works for the business a minimum of 40 hours per month, that owner is considered an employee regardless of whether or not the individual receives compensation. This listing must include for each individual:
    • Full name
    • Description of type of worker, e.g., salaried, included in payroll, owner, leased, obtained through PEO, obtained through union agreement, shared with affiliate, temporary, etc. Note: Some individuals may require multiple designations in the description, “owner, salaried, included in payroll.”
    • Whether or not the individual resides in a Hubzone. This should be supported by the documents specified below regarding Hubzone maps and identification/proof of residence.
    • Number of hours worked per month.
    • Primary work location, e.g., Principal Office, other firm location, OR job site. If the individual works at more than one location, select the location where the individual spends the single greatest portion of their time. (As an example, if an employee works 16 hours per week at the “Principal Office,” 12 hours per week at an “other firm location,” and 12 hours per week at a “job site,” specify the Principal Office as the primary work location).
    • Working days of the week and hours of principal office.
  • Contractor List (If Applicable):

The SBA may use the totality of circumstances to find that independent contractors are considered employees for the purpose of Hubzone certification.

For each independent contractor that worked at least 40 hours during the month preceding the time of review, provide the contractor’s full name and signed copies of executed contracts.

If signed copies of executed contracts are not available, provide:

  • A detailed description of work performed by each independent contractor including the number of hours worked, the type of work performed, and where the work is performed.
  • Copies of all invoices from each independent contractors, and proof of payment for invoices.
  • Do any of the independent contractors have or have they had in the past, business cards issued by your firm? If yes, provide SBA with a copy of the business card.
  • Do any of the independent contractors have email accounts issued to them by your firm? If so, provide SBA with individual’s email address.
  • Payroll records: You must provide a copy of your firm’s official payroll record from a time period which covers the date of electronic verification and shows at a minimum the employee’s name, number of hours worked for that pay period, and wages with taxes and adjustments. (Salaried employees who do not have hours worked specified are assumed to work 40 hours per week.) This payroll record must clearly show the pay period’s beginning and end dates, not just the pay date. Do not submit a combined summary of all the pay periods. Each pay period will need to be provided on a separate payroll record.

Note: In order for the SBA to consider a person working for your firm to be an employee, we must have evidence from your payroll records that the person works at least 40 hours in a month’s time. All payroll records submitted must be for the time of electronic verification and PRIOR.

For example: If Payroll is paid on the 30th of the month and the application is submitted on January 2, 2019. The applicant firm must wait at minimum until the January 31, 2019 payroll is issued before the processing of the application may begin. In this example, you would be prohibited from using the December 31, 2019 payroll date because that date does not include the electronic verification date. For any employees working less than 40 hours in the payroll period which includes the date of electronic verification, you must also provide enough immediately previous payrolls to demonstrate that those employees work at least 40 hours in a month’s time. As an example, if you have a weekly payroll system and an employee who works 10 hours the week of electronic verification, you would need to provide the 3 previous weekly payrolls in order to demonstrate that the person works 40 hours per month for a total of 4 weekly payrolls. The latest of these 4 contiguous payroll periods should include the date of application submission.

  • State and federal employment filings: You must provide complete copies of your firm’s most recently available state unemployment tax filing and the most recently available federal employment quarterly report (Form 941- Employer’s Quarterly Federal Tax Form). The state unemployment report must include the employee listing supporting the summary of wages.

If the firm has not filed any of the above reports, you must note as such in writing. Failure to provide a response to this request will cause a delay in the processing of the application.

  • Hubzone maps of Hubzone residents’ addresses: Copies of the Hubzone Map to verify each Hubzone employees’ residence is in a Hubzone. In order to provide the Hubzone map for each employee, select the following link:

https://maps.certify.sba.gov/hubzone/map

Once you enter the Hubzone mapping system enter the physical address for each Hubzone employee. Print the page using the Printable Version button on the right side of the screen. Print the page exactly as it is displayed including the personal address for each individual. Altering the Hubzone Map or not providing the entire printout will make the document invalid. Please write the employee’s name at the bottom of each map and provide a printed map for each employee and do not provide one locator for multiple employees.

  • Identification/proof of residence for Hubzone residents: You must provided a copy of a valid (unexpired) Department of Motor Vehicles driver’s license, Department of Motor Vehicles Identification card, or voter’s registration card for each of the firm’s Hubzone resident employees. Do not send Social Security cards. The copy must be legible and show the employee’s full name and address. If the address listed is no longer valid or is a PO Box, you must also provide a copy of a current lease agreement, mortgage statement, utility bill (not cell phone), or change of address card in the name of the individual which shows the Hubzone address where the individual resides. Failure to provide sufficient proof of Hubzone residency for employees could lead to your firm being proposed for de-certification.
  • Provided the appropriate HUBZone Program Certification Signature Sheet (based on your firm’s ownership structure)

This form must be signed by an officer of the firm authorized to represent the applicant, notarized, and mailed in hard copy. An email or faxed copy of the Program Certification Signature Sheet will NOT be accepted.

Please note that if all of the above supporting documentation being requested is not received within the allotted time frame, your application may be withdrawn or declined. Failure to submit information and documentation within the allotted time frame is a common cause of applications being withdrawn or declined. Please make note of your submission deadline.

Other Key Tips:

  • You must have a current SAM.GOV, SBA DSBS (Dynamic Small Business Search) and Dun and Bradstreet (D&B) profile for your business. All profiles must match the address of principal office of the firm.
  • You must identify your primary NAICS code within your SAM.GOV and DSBS Profile.

Cloveer provides assistance with all aspects of the SBA HUBZone Program. Please visit our website for more information or call 813-333-5800.

Leave a Reply

Fill in your details below or click an icon to log in:

WordPress.com Logo

You are commenting using your WordPress.com account. Log Out /  Change )

Google photo

You are commenting using your Google account. Log Out /  Change )

Twitter picture

You are commenting using your Twitter account. Log Out /  Change )

Facebook photo

You are commenting using your Facebook account. Log Out /  Change )

Connecting to %s

This site uses Akismet to reduce spam. Learn how your comment data is processed.