Vendor Due Diligence Checklist

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Legal

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Financial

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Operational

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Compliance

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Ethical

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Score / 25

Answer items below — your qualification verdict appears here in real time

Y = 1 point · N = 0 points · N/A = excluded from score · Critical items flagged separately

Vendor Identification

Complete all fields — one form per vendor

Vendor / Supplier Name

DBA / Trade Name

Assessment Date

Country / City

Products / Services Offered

Assessed By

Primary Contact — Name, Title, Email, Phone

Section 1 — Legal & Business Standing

0 / 5

#	Due Diligence Item	Y / N / N/A	Risk Flag	Notes
1.1	Business legally registered — certificate obtained ★ Critical
1.2	Tax ID confirmed and active
1.3	Required operating licenses current
1.4	No sanctions/debarments — OFAC & SAM.gov clear ★ Critical
1.5	Ownership structure disclosed — no shell arrangements

Section 2 — Financial Health & Stability

0 / 5

#	Due Diligence Item	Y / N / N/A	Risk Flag	Notes
2.1	Audited financials provided for prior 2 years
2.2	No insolvency, bankruptcy, or significant debt flags ★ Critical
2.3	Credit references from 2+ buyers reviewed
2.4	Payment history with suppliers confirmed — no late payment pattern
2.5	Financial capacity to fulfill projected order volume confirmed

Section 3 — Operational Capacity & Quality Systems

0 / 5

#	Due Diligence Item	Y / N / N/A	Risk Flag	Notes
3.1	On-site facility visit completed ★ Critical
3.2	Production capacity confirmed vs. projected monthly volumes
3.3	Quality control systems documented — inspection, defect tracking, CA process
3.4	No unauthorized subcontracting disclosed ★ Critical
3.5	Management team assessed — experienced, traceable history

Section 4 — Social Compliance & Labor Practices

0 / 5

#	Due Diligence Item	Y / N / N/A	Risk Flag	Notes
4.1	Active WRAP, SA8000, BSCI or equivalent certification confirmed
4.2	No forced labor, child labor, or debt bondage indicators ★ Critical
4.3	Wages at or above legal minimum — payroll records reviewed
4.4	Working hours within legal maximums — time records reviewed
4.5	Grievance procedure documented and accessible to workers

Section 5 — Ethical Standing & Reputational Risk

0 / 5

#	Due Diligence Item	Y / N / N/A	Risk Flag	Notes
5.1	No negative press re: labor, corruption, or environmental in prior 3 years
5.2	Anti-bribery / anti-corruption policy in place — Code of Conduct signed
5.3	Buyer references from 2+ current/former clients — positive feedback
5.4	No FCPA, UFLPA, or forced labor import prohibition flags ★ Critical
5.5	Environmental compliance — no outstanding violations or enforcement

Overall Vendor Rating & Qualification Decision

Updates automatically

Legal

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/ 5

Financial

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/ 5

Operational

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/ 5

Compliance

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/ 5

Ethical

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/ 5

Composite Score: — / 25

✓ Approved

No critical flags. Score ≥ 18/25. Proceed to onboarding.

⚠ Conditional Approval

Score 12–17/25 or isolated flags. Use with mitigation plan.

✗ Not Approved

Score < 12 or critical item answered N. Do not engage.

Assessed By

Signature Date: ___________

Approved By

Signature Date: ___________

Sources & References

U.S. CBP — UFLPA Entity List (2025) — cbp.gov
U.S. Treasury / OFAC — Sanctions List Search — ofac.treas.gov
SAM.gov — System for Award Management Exclusions — sam.gov
WRAP — Active Certified Facility Registry (2024) — wrapcompliance.org

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