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  • Background
    • Realize company’s short- and long-term objectives.
    • Realize company’s ;financial needs.
    • Realize company’s ;unique advantage.
  • Management
    • Organizational chart.
    • Board of Directors and how active they are.
    • Professional ;advisers/consultants.
    • Gaps in the management team.
    • Anticipated management changes.
    • Resumes of key employees and management.
    • Compensation of officers and key personnel.
    • Key management references.
    • Employment contracts or agreements.
    • Confidentiality agreements.
    • DOB and SS# and address for principal(s) background check.
    • Number of employees and employee handbook.
    • Current and anticipated staffing needs.
    • Labor market needed for growth.
  • Products or Services
    • How will customers use your product or service?
    • What benefit(s) will the customers perceive from your product or service?
    • How does your product or service compare price, quality, availability, service?
    • Is there patent or trademark and who owns it?
    • What factors affect demand for your product or service?
    • List of current products or services.
    • List of future products and services.
  • Market
    • Is demand basic or created?
    • Is the market mature?
    • What are the trends in the industry?
    • What is the geographic market?
    • Is there an opportunity for exporting?
    • Where is the growth opportunity?
    • How is your market segmented?
  • Customers
    • Who are your customers?
    • Why are they buying?
    • Are there any long-term purchase agreements?
    • Is there any trend among customers toward purchasing substitute products or switching suppliers?
  • Competition
    • Who are your major competitors?
    • What is their unique advantage?
    • Are they growing?
    • How do they compare on key buying issues?
    • What are their plans?
  • Sales and Marketing
    • Pre-contract sales costs.
    • When is your sale closed?
    • How much custom engineering is required?
    • Is your product/service well documented?
    • Engineering support on installation and in operation.
    • Direct sales force.
    • Sales representatives.
    • Channels of distribution.
    • Advertising and sales promotion practices.
    • Sales forecast and justification.
    • Target markets.
    • How is your product priced?
    • Company’ s credit policies.
  • Operations
    • Fixed assets, location and condition.
    • Location and description of facilities.
    • Assessed and fair market value.
    • Future facility and equipment needs.
    • Basic manufacturing process.
    • How are procedures being modified to improve efficiency?
    • System in place to assure the quality of your product or service.
    • Critical suppliers, contracts.
    • Vendors with contact names and phone numbers.
    • What factors might cause a substantial delay in production?
    • Status of inventory, including level and obsolescence.
    • Purchasing.
    • How do you decide between make vs. buy?
    • Contractual obligations other than those requested here.
  • Financial Considerations
    • Audited financial statements.
    • Capitalization Table.
    • Grants.
    • Sales backlog information.
    • Aging reports.
    • Company’ s tax I D. #.
    • Projected financials, including cash flow.
    • Sources and uses of funds.
    • Cost accounting system.
    • Adequate insurance coverage.
    • Tax liability and payment record.
    • Quality of cost identification and control.
    • Worst-case scenario.
  • Legal Matters
    • Articles of Incorporation.
    • Bylaws and Amendments.
    • Minutes of Directors’ and Shareholders’ meetings.
    • Subsidiary listing.
    • Contractual agreements.
    • Stock option plan.
    • Current or anticipated litigation.
    • Regulatory hurdles.
    • Environmental regulation/violations.
    • Warranty and service guarantees.
    • Product liability.
Due Diligence Checklist
  Campbell Rodriguez


on December 29, 2011

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