Apply for Small Business Enterprise or Minority Business Enterprise Certification (SBE or MBE)

Documents/Forms

The following documents must be uploaded with your online application. Your application cannot be submitted until all required documentation has been uploaded. Additional or supporting documentation maybe requested by the Program if necessary to determine eligibility.

Sole Proprietorship: 

  • Federal Tax Returns: 
    • A copy of the entire tax return from the most recent fiscal year is required. 
    • Dormant Company: Your company must indicate in writing if you have considered the company dormant for the past fiscal year. 
  • Trade Name Certificate: 
    • Persons doing business under a name other than their own must file a trade name certificate in the Town Clerk’s office. Contact your Town Clerk's office to obtain a copy 


General Partnerships:

  • Partnership Agreement:  A partnership agreement establishes the structure of the relationship between the partners of the organization. The agreement will usually include the share of profits (or losses) each partner will take, the responsibilities of each partner, what will happen to the business if a partner leaves, as well as other important aspects of the business. 
  • Federal Tax Return: 
    • A copy of the entire tax document from the most recent fiscal year is required. 
    • Dormant Company: Your company must indicate in writing if you have considered the company dormant for the past fiscal year. 
  • Trade Name Certificate: 
    • Persons doing business under a name other than their own must file a trade name certificate in the Town Clerk’s office. Contact your Town Clerk's office to obtain a copy 


Limited Liability Partnership: 

  • Certificate of Limited Liability Partnership: A registration filed with the Connecticut Secretary of State's Office when the Limited Liability Partnership is formed that establishes legal existence of the Limited Liability Partnership.  
  • Federal Tax Returns:
    • A copy of the entire tax document from the most recent fiscal year is required.
    • Dormant Company: Your company must indicate in writing if you have considered the company dormant for the past fiscal year.
  • Limited Liability Partnership Agreement: 
    • A written agreement that establishes the structure of the relationship between the partners of the organization. The agreement will usually include the share of profits (or losses), the responsibilities of each partner, what will happen to the business if a partner leaves, as well as other aspects of the partnership. 
  • Trade Name Certificate: 
    • Persons doing business under a name other than their own must file a trade name certificate in the Town Clerk’s office. Contact your Town Clerk's office to obtain a copy 


Limited Liability Company (LLC):

  • Articles of Organization: 
    • A registration filed with the State of Connecticut Secretary of State's Office to establish legal existence of the LLC. 
  • Fiscal Year Federal Tax Returns: 
    • A copy of the entire tax document is required. 
    • Dormant Company: Your company must indicate in writing if you have considered the company dormant for the past fiscal year. 
  • Operating Agreement And Any Amendments: 
    • This document outlines the structure of the financial and working relationships of an LLC that has multiple owners. This document is usually created when the LLC is formed, and establishes each owner's percentage of ownership, his or her share of profits (or losses), his or her rights and responsibilities, and what will happen to the business if one of you leaves. If the applying company is a single member LLC, and no operating agreement exists, please send a note on your company letterhead stating that the Operating Agreement does not exist due to single owner.


Corporation: 

  • By-Laws & Any Amendments: 
    • By-Laws dictate the operating standards and procedures that a corporation will follow throughout its life as a business entity. This document is usually created when the corporation is formed, and outlines company structure as well as authority in the control of the direction and affairs of the corporation. 
  • Certificate Of Incorporation: 
    • A registration that is filed with the Office of the Secretary of State that establishes legal existence of the Corporation. 
  • Federal Tax Returns: 
    • A copy of the entire tax document for the most recent fiscal year is required. 
    • Dormant Company: Your company must indicate in writing if you have considered the company dormant for the past fiscal year. 
  • Organization & First Report: 
    • A document that is filed with the Office of the Secretary of State. 
  • Stock Certificates & Stock Transfer Ledger: 
    • Stock Certificates & Stock Transfer Ledger is a legal document that certifies ownership of a specific number of stock shares in a corporation. We require both sides of the stock certificate. If no stocks were issued a letter on company letterhead must be included that states this to have this requirement waived


Non-Profit Organization: 

  • Articles of Information: 
    • This document must be filed with the State of Connecticut Secretary of State's Office to establish legal recognition as a Non-Profit Organization. 
  • Non-Stock Certificate Of Incorporation: 
    • This document is filed with the Office of the Secretary of State establishing legal existence of the Non-Profit Organization. 
  • By-Laws & Any Amendments: 
    • By-Laws dictate the operating standards and procedures that the Non-Profit Organization will follow throughout its life as a business entity.
  • Federal Tax Returns: 
    • A copy of the entire tax return (Form 990) for the most recent fiscal year is required. 
    • DORMANT Company: Your Organization must indicate in writing if you have considered the Organization dormant for the past fiscal year. 
    • IRS or IRS-interim tax-exempt certification letter for a 501 (c)(3) or 501 (c)(4) organization
  • Current resumes: of the Executive Director, Board of Directors/Trustees, Officers and key employees 
  • List of all members of the board of directors/ trustees: identify gender, ethnicity, term expiration date and total number of years served on the board. 


Additional Documents (As applicable, depending upon business structure):

  • Broker Agreement: Provide only if company is a Broker. A legal agreement between an agent (someone who negotiates contracts, purchases, or sales in return for a fee or commission) and another individual or company, that outlines in detail each party's responsibilities and obligations. If no broker agreement exists, please send a statement on your company letterhead requesting a waiver of this requirement.
  • Beneficial Interest Document for Majority Owner(s): Provide only if the Federal Tax Return provided does not indicate compensation of officers/owners. Provide written documentation to support: The eligible principal(s) have the right to and actually receive the level and kind of profit, benefits and customary incidents of ownership, if any, are commensurate with the level and kind of ownership reflected in the ownership documents. The eligible principal(s) must be at risk for, and actually incur losses, if any, of the business enterprise in the manner and to the extent which is commensurate with the level and kind of ownership reflected in the ownership documents. The eligible principal’s (s’) ownership must be continuing and the certification criteria must be met in substance as well as form. Please Note: Profits, dividends, salaries, debt repayments, retained earnings and distributions of any kind (including distributions upon liquidation) are included among all of the indicators. This documentation can be in the form of a written narrative. 
  • Business Purchase Documents: Provide only if company was purchased. Provide documents to show how owner(s) initiated business. Businesses over seven (7) years old may document initial contribution with an affidavit. The affidavit must detail the source and type of contribution and the approximate dollar amount of the contribution. All affidavits must be signed and notarized. 
  • Company Changes: Please submit all documents supporting the company's change in ownership or management personnel. Documents include transfer of ownership, dissolution documents, meeting minutes, addendums to by-laws or operating agreements, etc. 
  • Franchise Document: Provide only if franchise. 
    • A legal contract between a franchisor and franchisee that outlines in detail the specific obligations and responsibilities of each party involved in the agreement. The franchise agreement will usually specify the given territory the franchisee retains exclusive control over, royalties or fees that will be paid to the franchisor, standards that must be adhered to, as well as the extent to which the franchisee will be supported by the franchisor. 
  • Majority Owner written narrative: document must be provided if you have not provided detailed information in the personnel section of the application. The eligible principle can show background, experience, and technical knowledge of the industry necessary to supervise the operations of the business (applicable company license)
  • Minority Affiliation Documents: 
    • Birth Certificate (long form) 
    • Other government document that clearly shows minority affiliation 
    • An applicant seeking certification as a minority business enterprise pursuant to subsection (k) of section C.G.S. 4a-60g of Connecticut General Statutes based on a disability shall provide documentation substantiating that the applicant’s owner is an individual who (1) has a physical or mental impairment that substantially limits one or more of the individual’s major life activities or (2) has a record of such impairment. The documentation shall be from a licensed physician. 
  • Sales & Use Tax Permit: 
    • Please ensure you have completed the online section related to Sale and Use Tax Permit. If not applicable, please indicate this in the box labeled NA. For information on permits contact the Department of Revenue Services at (800) 382- 9463. 
  • Shared Resources: 
    • If your company shares resources, provide documentation related to the shared resources that clearly shows how the sharing of resources such as office space, yard space, employees or equipment is facilitated between the applying company and any other companies. Explain how costs such as rent, mortgage, utilities, equipment costs, and employee wages are allocated between the companies for all resources that are shared.