Vendor Due Diligence Checklist

• Company Name

• Location
  Address

• Date

  Date

• Purpose of Due Diligence Check

• Vendor Name

• Vendor Address

• Facilitator Name

• Review the following:

Business Information

• Company name, address, and contact details

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Legal structure (corporation, LLC, etc.)

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Date of establishment

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Business registration and licensing documentation

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Ownership structure and key stakeholders

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Organizational chart

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Financial Information

• Audited financial statements for the last three years

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Current financial statements (balance sheet, income statement, cash flow statement)

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Bank statements

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Outstanding debts and liabilities

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Financial projections for the next three years

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Revenue breakdown by product or service

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Regulatory Compliance

• Business licenses and permits

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Regulatory filings

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Compliance with industry-specific regulations

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Environmental, health, and safety compliance

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Any ongoing or past legal disputes or regulatory actions

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Contracts and Agreements

• Overview of key contracts and agreements

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Client and supplier agreements

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Employment contracts

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Non-disclosure agreements

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Material contracts and their renewal dates

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Any change of control clauses

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Intellectual Property

• List of intellectual property assets (patents, trademarks, copyrights)

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Documentation proving ownership of intellectual property

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Any infringement claims or legal actions related to intellectual property

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Licensing agreements

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Operations and Technology

• Overview of business operations

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Technology infrastructure and systems

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Data security measures

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Disaster recovery and business continuity plans

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• IT policies and procedures

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Employee and Labor Relations

• Number of employees and their roles

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Organizational structure and hierarchy

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Employee contracts and benefits

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Compliance with labor laws

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• History of labor disputes or strikes

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Insurance Coverage

• Overview of insurance policies

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Coverage limits and deductibles

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Any pending insurance claims or history of claims

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Insurance certificates and expiration dates

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Supply Chain Management

• Key suppliers and vendors

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Supply chain risks and contingency plans

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Quality control measures

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Any supply chain disruptions in the past

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Environmental and Social Responsibility

• Environmental impact assessments

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Social responsibility policies and initiatives

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Corporate social responsibility reports

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Any history of environmental or social violations

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Cybersecurity

• Cybersecurity policies and procedures

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Data breach history, if any

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• IT security infrastructure

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Compliance with data protection regulations

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Due Diligence on Subcontractors

• Identification of subcontractors and their roles

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Compliance of subcontractors with relevant regulations

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Security measures taken with subcontractors

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Business Continuity and Disaster Recovery

• Business continuity plans

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Disaster recovery plans

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Testing and validation of these plans

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Corporate Social Responsibility (CSR)

• CSR policies and initiatives

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• CSR reports and achievements

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Community engagement activities

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

Health and Safety

• Health and safety policies

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Incident reports and safety records

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Compliance with occupational health and safety regulations

  Select Done In Progress/For Follow-Up Needs Attention/For Improvement Not Applicable

  • Done
  • In Progress/For Follow-Up
  • Needs Attention/For Improvement
  • Not Applicable

• Notes and Comments

• Review and Approval

  Sign

• Facilitator Name and Signature

  Sign