Document Types to SBA Categories Mapping
Apr 09, 2024
301
You can use the below reference table to ensure you are mapping documents in Ventures correctly. The table lists common documents and the relevant SBA Category they should be mapped to, along with whether the document is related to an Entity, a Contact, both, or neither.
| Document Description | Related to Entity/Contact? | SBA Category |
|---|---|---|
|
504 Complete Closing File Checklist (Form 2303) CFR |
N/A | 504 Closing Checklist - Complete File - Form 2303 |
| 504 Debenture Closing Checklist (Form 2286) | N/A | 504 Closing Checklist - Form 2286 |
| 912, Supporting Docs | N/A | Signed SBA Form 912 Package, T4 - SBA Form 912 - Statement of Personal History |
| ACH Form With Voided Check | Entity | ACH Debit Authorization Form |
| Affiliates | Entity | Affiliates |
| Appraisal - Equipment | N/A | T9 - M Appraisal Documents |
| Appraisal - Real Estate | N/A | Appraisal, T9 - Real Estate Appraisal |
| Assignment Mort/Note | N/A | 11. Assignment of Lien Instrument on Project Property |
| Authorization With All 327's | N/A | Executed Loan Authorization |
| Bank Letter | N/A | Bank Letter |
| Borrower Board Resolution | Entity | T10 - SBA Form 160 - Resolution of Board of Directors |
| Borrower/OC Certification | Entity | Borrower and Operating Company Certification, T3 - Borrower's Certification |
| Business Financials | Entity | Historical Financial Statements, T6 - Business Financials |
| Business Financials - Interim Statement | Entity | Interim Statements, T6 - Business Financials |
| Business Financials -Affiliate | Entity | T7 - Affiliate Financial Income Statement and Balance Sheets |
| Business Licenses | Entity | Licenses required to operate, T10 - Business License |
| Business Projections | Entity | Projections, T6 - Business Forecast |
| Business Valuation | Entity | T5 - Business Valuation |
| CAIVRS & SAM | Entity/Contact | CAIVRS, T10 - CAIVRS Report |
| CDC Board Resolution (Form 1528) | N/A | 01. CDC Board Resolution (SBA Form 1528) |
| CDC Certification (Form 2101) | N/A | 05. CDC Certification (SBA Form 2101) |
| Certificate Of Good Standing | Entity | Certificate of Existence/Good Standing/Authority, T10 - Certificate of Good Standing |
| Commitment Letter | N/A | Bank Letter |
| Community Advantage Addendum | N/A | T1 - SBA Form 2449 - CA Addendum |
| Construction - Certificate Of Occupancy | Entity | 08a. Construction Documents: Certificate of Occupancy |
| Construction - Evidence Of Compliance With Seismic Standards | Entity | 08b. Construction Documents: Evidence of Compliance with Seismic Standards |
| Construction Bids | N/A | Cost Documents |
| Correspondence - application | N/A | Correspondence |
| Correspondence - screen out | N/A | Screen Out Checklist |
| Cost Docs | N/A | Cost Documents |
| Credit Memorandum | N/A | Electronic Credit Memorandum, T2 - Lender's Credit Memo |
| Credit Report - Personal | Entity/Contact | Credit Report, T4 - Credit Bureau Report |
| Criminal Background | Entity/Contact | Criminal Background Checks |
| Current A/R and A/P | Entity | T6 - Current A/R and A/P |
| Debt Schedule | Entity | Debt Schedule, T2 - Debt Schedule documents |
| Deed Trust | N/A | Lien instrument on Project Property |
| Documentation Lawsuits/Judgements/Bankruptcy | Entity/Contact | Miscellaneous, T10 - Documentation of Lawsuits / Judgements / Bankruptcy |
| Entity Borrowing Resolutions | Entity | Borrowing Resolution for LLC or LLP |
| Entity Organizational Documents | Entity | T10 - Articles of Organization |
| Environmental Report | N/A | Environmental Report, T9 - Environmental Investigation Report |
| Equipment To Be Purchased | N/A | T5 - List of all M being Purchased |
| Equity Injection Documentation | N/A | T10 - Equity Injection Evidence |
| Escrow Agreement | N/A | Escrow Agreement |
| Exports | Entity | Miscellaneous |
| Fema Form 81-93 Flood Certification | Entity | FEMA Form 086-0-032 and Flood Insurance |
| Fictitious Or Assumed Name Cert | Entity | Fictitious or Assumed Name Cert |
| Final Title Loan Policy With Exceptions | N/A | 07a. Evidence of Lien Priority on Real and Personal Property Collateral: Title Insurance |
| Franchise Documents | Entity | Franchise Agreement, T8 - Franchise Documents |
| Guarantee Agreement - Unconditional Limited | Entity/Contact | 09. Unconditional Guarantee (SBA Form 148 or 148L), T10 - SBA Form 148L - Unconditional Limited Guarantee |
| Guarantee -Unconditional | Entity/Contact | 09. Unconditional Guarantee (SBA Form 148 or 148L), T10 - SBA Form 148 - Unconditional Guarantee |
| Historical Property | Entity | Miscellaneous |
| Insurance - Disability | Contact | Other Insurance |
| Insurance - Flood | N/A | Other Insurance |
| Insurance - Hazard | N/A | Hazard insur. w/stand mortgagee -loss payee clause |
| Insurance - Liability | Entity | Liability |
| Insurance - Life | Contact | Life Insurance |
| Insurance - Malpractice | Entity | Other Insurance |
| Insurance - Other | Entity | Other Insurance |
| Insurance - Workers Comp | Entity | Workers Comp |
| Interim Lender Certification | N/A | Interim Lender Certification |
| Lease | N/A | Lease or Memorandum of Lease for Project Property, T9 - Lease Agreement |
| Lien Instrument On Project Property (Mortgage) | Entity | 10. Lein Instrument on Project Property |
| Life Assignment & Acknowledgement | Contact | Life Insurance |
| Loan Application - 1244 | N/A | Form 1244 - 504 Loan Application |
| Miscellaneous Documents | N/A | Miscellaneous, T10 - Other Misc Document |
| Monthly Cash Flow Analysis | Entity | Monthly Cash Flow Analysis, T6 - Business Forecast |
| Note | N/A | 02. Note (CDC/504 Loans) (SBA Form 1505), T10 - SBA Form 147 - SBA Note |
| Notes To Be Refinanced | N/A | T5 - Copies of Notes to be Refinanced |
| Opinion Of CDC Counsel | N/A | 06. Opinion of CDC Counsel (Appendix D of 504 Authorization Boilerplate) |
| Other Supporting Application Documents | N/A | T10 - Other Misc Document |
| Payment Transcripts For Refinance | N/A | T5 - Refi Transcript of Account |
| Personal Financials | Contact | Form 413 - Personal Finance Statement, T4 - SBA Form 413 - Personal Financial Statements |
| Previous Government Financing | Entity | Previous Government Financing |
| Purchase Agreement (Business/Stock/Asset) | N/A | T8 - Purchase Agreement (Business/Stock/Asset) |
| Purchase Agreement (Real Estate) | N/A | T8 - Purchase Agreement (Real Estate) |
| Refi With Expansion | Entity | Refinancing Documents |
| Refi Without Expansion | Entity | Refinancing Documents |
| Refinance Docs | N/A | Refinancing Documents |
| Religious Affiliation | Entity | Miscellaneous |
| Request For Notice Default Liens/Prior Sale | Entity | Request for Notice of Sale |
| SBA 504 Debenture | N/A | 03. Development Company 504 Debenture (SBA Form 1504), 01. CDC Board Resolution (SBA Form 1528) |
| SBA Form 159 - Itemization Documentation | N/A | T10 - SBA Form 159 - Itemization and Supporting Documentation |
| SBA Form 159 Compensation | N/A | Form 159 - Compensation Agreement, T10 - SBA Form 159 - Fee Disclourse and Compensation Form |
| SBA Form 1919 - Borrower's Information | Entity | T1 - SBA Form 1919 - Borrower's Information |
| SBA Form 1920 - Lender's Information | N/A | T1 - SBA Form 1920 - Lender's Application |
| SBA Form 2449 | N/A | T1 - SBA Form 2449 - CA Addendum |
| Schedule of Collateral | N/A | T2 - Schedule of Collateral |
| Security Agreement | N/A | 12a. Security Agreement and UCCs for Project Property, T10 - SBA Form 1059 - Security Agreement |
| Seller's Financials | Entity | T6 - Business Financials |
| Service Agent Agmt (Form 1506) | N/A | 04. Servicing Agent Agreement (SBA Form 1506) |
| Settlement Statement/Use Of Proceeds & Borrower Contribution | N/A | Settlement Statement or other evidence, T10 - Settlement Sheet 1050 / Documentary evidence for all disbursements |
| Standards Of Conduct | Entity | Miscellaneous |
| Standby Agreement | Entity/Contact | Standby agreements, T2 - SBA Form 155 - Standby Creditor's Agreement |
| Submission Checlist | N/A | CDC Checklist |
| Subordination Request | N/A | Servicing Request (327) |
| Tax Returns - Affiliate | Entity | T7 - Affiliate Tax Returns |
| Tax Returns - Business | Entity | T6 - Business Financials |
| Tax Transcript for Seller (4506) | Entity | T6 - Transcript of Tax Return for Seller (IRS Form 4560T) |
| Tax Verification (4506) | Entity | Tax verification, T6 - Transcript of Tax Return for Business (IRS Form 4506T) |
| Terms and Conditions | N/A | 504 Authorization, T3 - Loan Authorization |
| Third Party Lender Agreement | N/A | Third Party Lender Agreement |
| UCC Search | N/A | 07b. Evidence of Lien Priority on Real and Personal Property Collateral: UCC Search |
| USCIS Verification | Entity/Contact | USCIS Verification |
