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Required Documents

During the application process, the following documents may be requested to assess a company’s eligibility for certification. 

Federal Tax Return: Most Recently Completed Fiscal Year

Sole proprietorships and single-member LLCs submit a Schedule C while all other business types submit a full return. If not available, the following is acceptable:

• Prior year’s tax return is accepted until April 15. 
• Business filed an extension with IRS. Submit:
  • Most recently filed federal tax return
  • Extension form submitted to the IRS
  • Letter signed by the majority owner stating that the business has not filed a tax return for the most recently completed fiscal year and why
• New business has not yet submitted a return. Submit:
  • Employee Identification Number (EIN) letter received from the IRS
  • Letter signed by the majority owner stating that the business has not filed a tax return
• Business hasn't submitted recent return for any other reason. Submit:
  • Most recently filed federal tax return
  • Letter signed by the majority owner stating that the business has not filed a tax return for the most recently completed fiscal year and why
  • Additional documentation may be requested

Documents by Business Type

Sole Proprietorship:

•  Trade Name Certificate: Filed with the Town Clerk’s office when doing business under a name other than the name listed on the tax return.  

General Partnership:

• General Partnership Agreement & Amendments: Establishes the structure of the relationship between the partners such as share of profits/losses, responsibilities of each partner, and exit plan.  

Limited Liability Partnership (LLP): 

• Certificate of Limited Liability Partnership: Filed with the CT Office of the Secretary of State to establish legal existence of the LLP. 
• Limited Liability Partnership Agreement & Amendments: Establishes the structure of the relationship between the partners such as share of profits/losses, responsibilities of each partner, and exit plan.  

Limited Liability Company (LLC):

• Certificate/Articles of Organization: Filed with the CT Office of the Secretary of State to establish legal existence of the LLC. 
• Operating Agreement & Amendments: Establishes the structure of the relationship between the members such as share of profits/losses, responsibilities of each member, and exit plan. If the applying company is single-member and no operating agreement exists, provide a letter requesting a waiver of requirement.

Corporation:

• Certificate Of Incorporation: Filed with the CT Office of the Secretary of State to establish legal existence of the corporation. 
• By-Laws & Amendments: Outlines the company structure, operating standards, and procedures that the corporation will follow.
• Organization and First Annual Report: Filed with the CT Office of the Secretary of State.
• Stock Certificates and Stock Transfer Ledger: Certifies ownership of a specific number of stock shares in a corporation. Both sides of stock certificates are required. If no stocks were issued, provide a letter explaining this.

Nonprofit Organization:

• Certificate Of Incorporation: Filed with the CT Office of the Secretary of State to establish legal existence of the nonprofit organization. 
• By-Laws & Amendments: Outlines the organization structure, operating standards, and procedures that the nonprofit organization will follow.
• Affirmation Letter: IRS letter confirming tax exempt status. Learn how to request here.
• Board of Directors/Trustees list: Identify gender, ethnicity, term expiration date, and total number of years served on the board for each member
• Current resumes: Executive Director, Board of Directors/Trustees, Officers, and key employees                

Additional Documents

• Broker Agreement: 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, provide letter requesting a waiver of this requirement.
• Beneficial Interest Document for Majority Owner(s): Documentation demonstrating that the eligible principal(s) has the right to and actually receives the level and kind of profit, benefits, and customary incidents of ownership that are commensurate with the level and kind of ownership reflected in the ownership documents. Acceptable documentation includes most recently completed fiscal year tax return and documents detailing profits, dividends, salaries, debt repayments, and retained earnings and distributions.
• Business Purchase Documents: Documents demonstrating how owner(s) initiated business. Businesses over 7 years old may document initial contribution with a signed and notarized affidavit detailing the source, type of contribution and approximate dollar amount of the contribution.
• Certificate of Authority: Document filed with the CT Office of the Secretary of State if company was incorporated in another state.
• Company changes (for renewal applications): Documents supporting the company's change in ownership or management personnel such as transfer of ownership, dissolution documents, meeting minutes, and addendums to by-laws or operating agreements. 
• Franchise Document: Contract between a franchisor and franchisee that outlines in detail the specific obligations and responsibilities of each party involved in the agreement. Usually specifies 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, and the extent to which the franchisee will be supported by the franchisor. 
• Licenses: Current license(s) detailed in the application. For more information on licenses, contact the Department of Consumer Protection.
• Majority owner narrative demonstrating background, experience, and technical knowledge/expertise in the industry necessary to supervise the operations of the business.
• Minority affiliation documents:
  • Birth certificate long form: Certificates provided from Puerto Rico must be issued after July 1, 2010. Learn more here. 
  • Marriage license long form
  • State-issued driver's license or non-driver ID: Accepted for demonstrating gender only
  • Tribal membership/license or identification
  • Government-issued id or document that clearly states minority affiliation in writing
  • Disability form completed, signed, and notarized by physician: Download Disability form_SMBE Certification
• Trade Name Certificate: Filed with the Town Clerk’s office when doing business under a name other than the name listed on the tax return.