ITDueDiligenceChecklist-v102

8/10/2019 ITDueDiligenceChecklist-v102

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ITDueDiligenceRequestListTargetCo

Copyright20122013AlzhanDevelopmentLLC. Allrightsreserved. http://www.ITDueDiligenceGuide.com

ItemID ItemDescription Provided

Not

Applicable

DataRoom

Location Comments

IT

Staff

Anorganizationchartforthetechnologystaff. Include

employeenames,titles,fullorparttimestatusand

localorremotelocation.

AlistofallITemployees,asummaryoftheir

responsibilitiesandcopiesoftheirresumes.

Alistofanyinactiveemployees,statingthereasonfor

theirinactivestatusandtheprognosisfortheirreturn.

A

list

of

terminated

employees

for

the

past

three

years,

andanyconfidentiality,nonsolicitation,severance

agreementsetc.thatapplytothem.

Copiesofanynoncompeteornonsolicitation

agreementssignedbytheemployees,andalistofany

employeeswithoutsuchagreements.

Alistofanyopenpositionsandplannedhiresinthe

technologyorganization,includinganticipatedsalaries.

Alist

of

all

staff

salaries

and

bonuses

for

the

past

three

yearsandanyraisesorbonusesexpectedinthenext

twelvemonths.

Adescriptionofanyexisting,pendingoranticipated

lawsuitsrelatedtoITorITemployees.

Adescriptionofhowthetechnologystaffcollaborates.

Adescriptionofthetrainingandeducationthatthe

technologystaffreceives.

Alist

of

new

hires

required

to

accomplish

planned

new

objectivesordevelopmentprojects.


2/10




Not

Applicable

DataRoom

Location Comments

Products

AlistanddescriptionofallITorsoftwareproductssold

orbuiltforinternaluse. Foreach,includedelivery

method,keycompetitors,numberofactivecustomers,

status(inproduction,planned,beta,etc,),highlevel

marketstrategyandanyuniqueorproprietary

technology.

Adescriptionofanyadministrativeinterfacesto

existingproductsandsystemsandalistofallpeople

whohavehadaccessforthepastthreeyears.

Copiesofanydocumentsrelatedtoindustry

certificationsforanyofthecompanysproducts.

Alistingofallawardsorindustryrecognition,datesand

selectioncriteria.

Anestimateofhowthecompanyssoftwareand

systemswouldhandleasignificantincreaseinvolume.

The

opportunity

to

see

a

demonstration

of

all

products,

internaltoolsandsupportsoftware,including

administrativeinterfaces.

Adescriptionofanyproductsunderdevelopmentor

productprototypes/wireframes.

Adescriptionofthewaycustomerdataisstoredinthe

database. Iseachcustomersdatastoredseparately?

Adescriptionofanyproductssoldbasedonthedata

thecompany

collects

from

its

customers,

or

any

direct

resaleofraworsummarycustomerdata.

SoftwareDevelopmentProcess Adescriptionofthesoftwaredevelopmenttoolsand

environmentutilizedbythecompany.

Adescriptionoftheversioncontrolprocessand

system(s)utilized.


3/10




Not

Applicable

DataRoom

Location Comments

Adescriptionoftheprocessforapprovingand

developingnew

software

products

or

features.

Adescriptionofanyoutsourcedsoftwaredevelopment

arrangementsandcopiesoftherelatedagreements.

Adescriptionofthesoftwaredevelopmentmodelthat

isused(examplesincludeAGILEorwaterfall).

Adescriptionoftheprocessinplaceforidentifying,

trackingandcorrectingproductbugs.

Adescriptionoftheprocessfordesigningproductuser

interfaces.

Adescriptionofthedatabasedesignprocess.

Adescriptionastohowproductsecurityisconsidered

duringproductdevelopment.

Adescriptionofthesoftwaredevelopmentcoding

standardsusedbythecompany.

Documentation

Alist

of

people

with

access

to

the

companys

source

codeforthepastthreeyears.

Alistofanysoftwaredevelopedbythecompanyfor

whichthesourcecodeisnolongeravailable.

Productdevelopmentroadmapsforthenexttwelve

months.

Copiesofanyendusersoftwaredocumentation.

Monthlytrafficreportsincludingpageviews,unique

visitorsand

top

referrers

for

the

past

three

years

and

estimatesfornexttwelvemonths.

Copiesofanydatadictionariesforbothproductsand

systemsdevelopedforinternaluse.

Copiesofanyinternalorpublicwhitepapersorcase

studiesdescribingthetechnology.


4/10




Not

Applicable

DataRoom

Location Comments

Software

Utilized

Alistofproductdevelopmenttoolsutilized,including

costsandcurrentlicensingterms.

Alistanddescriptionofdatabasesoftwareutilized,

includingtheversion,licensingmodelandcosts.

Alistofallsoftwarelicensesmaintainedbythe

company.

Alistofanythirdpartytoolsorcontentthatare

utilizedbyorembeddedwithinthecompanyssoftware

products.

Adescriptionofthewaythecompanytracksthe

softwareitlicensesforitsownuse.

Adescriptionoftheinternaltechnologysystems:email,

network,payroll,accounting,customerrelationship

managementetc.

Alistofanysoftwarethatisnotproperlylicensed.

HardwareAlistofallcomputerserverhardware,whetheritis

ownedorleased,andcurrentvalue. Includeoperating

systemsandversions.

Aninventoryofalllaptopsanddesktopcomputers,

includingmodel,approximateage,approximatecost,

operatingsystem,operatingsystemversion,and

whetherthecomputerisleasedorowned.

Adescription

of

how

computer

systems

are

maintained.

Aninventoryofanycompanyownedmobileortablet

devicesissuedtoemployees.

NetworkandInfrastructure Anetworkdiagramshowingnetworkentrypoints,

firewalls,serversetc.


5/10




Not

Applicable

DataRoom

Location Comments

Alistofanymonitoringtoolsinplaceforthecompanys

ITinfrastructure.

Adescriptionofthecurrentserver/hosting

environment. Isithostedinhouse,viaathirdparty,

etc.? Describetheuseanycloudbasedresourcessuch

asAmazonWebServicesorMicrosoftWindowsAzure.

Adescriptionoftheprocessbywhichthesalesand

operationsstaffcommunicatesalesandmarketing

informationtotheITstaffsopropercapacityplanning

canbe

performed.

Adescriptionofanyredundanciesbuiltintothehosting

platformandhardware.

Anexplanationofanyunschedulednetworkorsystem

downtimeinthepasttwelvemonths.

Backup

and

Recovery

Copiesofanyexistingdisasterrecoveryand/or

business

continuity

plans.

Copiesofanybackuppolicies,anddetailsregarding

howlongtheyhavebeeninplace.

Intellectual

Property

Alistofalldomainnamescontrolledbythecompany

(alsoTwitterhandlesandcorporateLinkedIn,Facebook

andothersocialnetworkingaccounts).

Alistofanypatentsortrademarksappliedfororheld

bythe

company

related

to

company

technology.

Alistofanycopyrightsrelatedtosoftwaredeveloped

bythecompany.

Adescriptionofanysoftwareescrowdepositsrelated

tothecompanyssoftwareproducts,andcopiesofany

relatedagreements.

CustomersAdescriptionofthetechnicalsupportprocess.


6/10




Not

Applicable

DataRoom

Location Comments

Alogofcustomertechnicalsupportcalls/questionsfor

thepast

four

months.

Adescriptionoftheimplementationprocessforanew

customer.

QualityAdescriptionofthesoftwaredevelopmentQA/testing

process.

Alistofknownsoftwarebugs/limitations/

outstandingcustomerfeaturerequests.

FinancialAdescriptionofthewaynewsoftwaredevelopment

projectsandongoingmaintenancearecapitalizedand

expensed.

Alistofthetechnologycapitalexpendituresforthe

pastthreeyearsandthoseplannedfornexttwelve

months.

Security

and

Compliance

Adescriptionofhowthecompanystaysuptodateon

allvendorsoftwarepatches.

Adescriptionofanysystemvulnerability,intrusion

detectionorpenetrationtestingthathasbeen

performed.

Alistanddescriptionofanyfirewallsmaintainedbythe

company,includingtheirpurposeandanymonitoring

thatis

performed

on

aregular

basis.

Adescriptionofanywirelessnetworksmaintainedby

thecompany,includingpasswordprotectionanddata

encryptionsettings,andanymonitoringthatis

performedonaregularbasis.


7/10




Not

Applicable

DataRoom

Location Comments

AdescriptionofanyVPNsorotherremoteaccess

systemsthat

allow

access

to

the

companys

networks,

includingpasswordprotectionanddataencryption

settings,andanymonitoringthatisperformedona

regularbasis.

Adescriptionofthehowaccesstothecompanys

sourcecodeandothercriticalresources(documents,

contractsetc.)ismonitoredandtracked.

Forwebbasedproducts,adescriptionoftheprocessof

releasingchanges

to

the

products,

including

the

use

of

anytestorstagingservers,andthelevelofaccessthat

developershavetotheproductionenvironment.

Acopyofanyacceptableusepolicyregardingcompany

computersandsystemsthatallpersonnelarerequired

tosign.

Alistofanyusersthatarenotsubjecttothestandard

securitypoliciesofthecompany.

Adescription

of

any

situations

in

which

users

or

networkadministratorsshareaccesstosystems.

Alistofanyregulatoryrequirementsrelatingto

technologytowhichthecompanyissubject,anda

descriptionastohowthecompanycomplies.

Alistofanynonemployeeswhohaveaccesstocritical

companyinformation(sourcecode,documentation,

etc.).

Adescription

of

the

communication

and

coordination

betweencompanyhumanresourcesstaffandtheIT

stafftoremoveaccessforemployeesandcontractors

thatareterminated.

Adescriptionofanyencryptionofcompanyorproduct

dataduringtransmissionoratrest.


8/10


9/10




Not

Applicable

DataRoom

Location Comments

Detailsofanycontractuallyobligatedproductfeatures

orservice

level

agreements.

Copiesofcustomersoftwarelicenseorsubscription

agreementtemplates.

Copiesofanyhardwaremaintenanceorsupport

agreements.

Adescriptionofthecompanyspropertyandliability

insurancecoverageasitrelatestocomputerequipment

andmarketedproducts.

Copiesof

any

telecommunications

agreements.

Copiesofcustomerandsuppliercontractswithchange

ofcontrolandassignmentprovisions.

OtherAsourcecodereview.


10/10



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ITDueDiligenceChecklist-v102

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Transcript of ITDueDiligenceChecklist-v102