Human Resources/Comp & Ben/ Payroll

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 General Company Information
1.01 Number Employees
1.02 Employee Contractors?
Decision Needed - Are we integrating
1.03
payroll and benefits?
1.04 Pro and Con list of integrating vs. not
Decision Needed - if we integrate to SAP,
are we going to have EEs under
1.05
appropriate segment or separate
company code?

What FEIN will be used? Current FEIN or

1.06
a new one?
If we create a separate company code
1.07 but put all the EEs in appropriate
segment
1.08 Do we have to transfer YTD Balances
1.09 Company Code Decision
1.10 Company Code Config
1.11 Payroll Area
1.12 Personnel Subareas
1.13 Bank Account for payroll
1.14 Personnel Area(s) Decision
1.15 Personnel Area number
Need Physical Addresses for Personnel
1.16
Areas
1.17 Process(es) Decision
1.18 Current Pay Cycle:
Are they a stand alone company or part
1.19
of another organization?
1.20 Any Unions?
1.21
2.0 Job and Pay Info
2.01 What Org Structure is needed for day 1?
2.02 What Jobs need to be set up for day 1?
2.03 Create temp jobs in SAP
2.04 Pay Grades?
2.05 What Workers comp codes?
2.06 States where they are located
Clean up after - put everyone in correct
2.07
jobs, positions, pay grades, etc.
3.0 Payroll Plan / Taxes
3.01 Seller payroll system
3.02 Payroll Cycle
3.03 Commissions - When paid
3.04 PTO/Vacation - when Paid
3.05 Planned Execution Date (if Stock Deal)
3.06 Planned Close Date
3.07 Payroll Transition Overview Plan
3.08 Hourly Time capture
Decision on employee Data to SAP -
3.09
Manual or Load?
3.10 Plan for Data Entry - Initial
3.11 Plan for Data Entry - Ongoing
3.12 Any off cycles needed?
3.13 Last paycheck old system:

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Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Hours worked for last paycheck old
3.14
system
Employees paid current on old payroll
3.15
through what date?
3.16 First off cycle paycheck in SAP.
3.17 One week of pay cycle adj
How will benefit deductions be handled
3.18
for off cycle and first pay check in SAP?
Communication regarding pay cycle
3.19
adjustment needed for employees?
Enter DD in to SAP, compare data to
3.20
current data to ensure it matches
3.21 First "normal" paycheck in SAP
How are we "truing up" pay for hourly
3.22
employees?
3.23 Effective Date of Hire
3.24 Seniority Date
3.25 Plan for Time Collection - Ongoing
3.26 Time clocks?
Any new states or local taxes to register
3.27
in?
Confirm that Seller will process the final
3.28 tax reporting including W2's, 940's and
941's for current year.
Determine if majority of the ee's have
3.29
direct deposit
3.30 Determine paycheck/advice distribution
3.31 Side by side OT compare
3.32 Side by side payroll advice compare
3.33 Payroll FAQs
3.34 Any new wage types needed?
3.35 Any new benefit deductions needed?
Do they have any garnishment rules
3.36
different from us?
3.37 Garnishments
Need Garnishment Files - Need the
3.38
actual Court Orders
3.39 Set up new Garnishment vendors
3.40 Final change file from the Seller
3.41 Communicate payroll deadlines to Seller
Communicate 26 vs. 24 pay periods to
3.42
EEs
3.43
Determine if the current FEIN will result
3.44
in a final payroll notification requirement
3.45 Register new FEINs
4.0 PTO / Time Off
4.01 Current Plan:
4.02 Current Plan Carryover?
4.03 When will CompanyAplan be effective?
4.04 What is the plan for transition?
How will carryover from previous
4.05
company be handled?
4.06 Personal Leave Time

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Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Confirm process on PTO payout if EE
4.07 terminates prior to scheduled departure
date
4.08 GF YOS to determine PTO?
4.09 Ee's with negative leave balances
4.10 Side by Side Comparison of Time off
4.11 Holidays?
How will we handle tracking PTO for
4.12
2010?
What about Jury Duty, Holiday Pay for
4.13
2010
4.14 PTO FAQs
4.15 PTO Leave Balances Needed
Provide hours to rollover into SAP to
4.16
Steph
4.17 Load PTO balances
4.18 PTO Payout
4.19 Secondary Payroll reviews
5.0 Benefits
Seller Benefits Vendors AND contact
5.01
information
Request all benefit plan documents,
5.02
SPDs, policies and certificates.

Request benefit census of all ee's and

covered dependents with dob, doh,
5.03 salary, coverage elections, premiums,
employer costs/premiums, benefit
coverage amounts.

Copies of most recent discrimination

testing: Coverage test and for self-
5.04 funded plans, 105(h) tests for health
plan and health care FSA test and
dependent care testing.

Do they use a broker? If yes, get contact

5.05
information.
Get OK to contact broker and benefit
5.06
vendors.
5.07 Confirm Plan Year.
Determine Benefit Vendor Notification
5.08
Requirements.
Any seriously ill employees, large claims
5.09 or large pending claims? Can we get a
12 month claims report?

Identify any transition of care issues

(seriously ill ee's or undergoing severe
5.10
dental work with a provider not on our
company networks.

Any Retiree Benefits? If so, provide

5.11
details, plan doc, eligibility, census, etc…
Do they have Domestic Partner
5.12 coverage? Common law coverage in
applicable states?

How many Part-time employees do they

5.13 have and who are they? Are their part-
timers eligible for benefits?
5.14 Dependents covered up to what age?

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Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Any Voluntary Benefits? (such as AFLAC)
5.15
to transition?
Identify ee's with special treatment
5.16 (dependents of execs, exceptions, etc…)
COBRA exceptions/extensions.
5.17 List Premiums Post or Pre-tax
5.18 Any current FSAs?
Do they have FSA debit cards, if yes,
5.19
how will we handle Debit Cards?

If have an HRA, FSA or other Health

savings plans, determine how to handle
5.20
remaining balances and grace period for
submitting claims.

Do they file 5500s? Are filings current?

5.21
Are there missing filings?

Determine what add'l federal reporting is

required for anything different offered,
5.22
e.g., HRA contributions, etc... (e.g., W-2
implications if any).

Determine who gets COBRA participants

5.23
- seller or buyer?
Side by Side Comparison of Benefits.
5.24
Make sure Seller has reviewed.
Side by Side of Employee Premiums.
5.25
Make sure Seller has reviewed.

Any EEs on Leave? If so determine

transition plan. If on paid leave are
5.26 benefits paid through payroll or outside
vendor? Determine transition process if
needed.
Overview of Benefits Transition Plan -
5.27 stay on their own benefits or transition
to ours?
How does Seller's prorate benefit
5.28 deductions if we close in the middle of a
pay cycle?
What is the policy on when the Seller's
5.29
benefits end?
5.30 Notify prior company vendors
5.31 Notify our benefit Vendors
Confirm no vendors will make any
5.32 changes to benefits until the effective
date of benefits under our company.

Get approval from our insurance carrier

5.33 to waive the 30 wait period, if needed,
for basic and supp. life coverage.

Determine if our insurance carrier will

5.34 grandfather all current supp life
amounts, if applicable.
5.35 Get final supp. Life census, if applicable.
How are we handling employees who
5.36
have already met their deductible?
Determine COBRA process for terms
5.37
within the first 30 days of employment.

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Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
If new plan, how many new Benefit Plans
5.38
are needed in SAP?
What are the Plan Options for SAP if
5.39
adding new plan to SAP?
For SAP, what group of employees are
5.40 eligible for these new plans, if
applicable?
Set up new benefit Vendors in AP if
5.41
necessary

If necessary, configure benefit interfaces,

or determine how data will be interfaced
5.42
to the vendors if we have a separate
company code

Determine Benefits Effective Date for

5.43
Medical, Dental, Vision, Supp Life.
Determine Benefits Effective Dates for
5.44
new elections as "new hires"
Determine when are employees eligible
5.45
for the other voluntary benefits
Final Benefits Deductions File from
5.46
payroll vendor
YTD files from Seller benefit vendors on
5.47
accumulators / deductibles
Final FSA, Health Savings, HRA Balances
5.48
from Seller's vendor.
Reconcile FSA, Health Savings, HRA
5.49
balances vs YTD deductions
Transition plan for Basic Benefits - Life,
5.50
LTD, STD, Etc. Benefits
Determine Key Transition
5.51
Communication Items
Determine Benefit Communication
5.52
process/forms/docs
5.53 Draft Benefit FAQs for Employees
Draft Side by Side Supp. Life example, if
5.54
applicable.
5.55 Determine Enrollment Process
Determine contents and assemble
5.56
Benefit Packets for Day 1
Determine on-site benefit support during
5.57
transition
Determine when employees must return
5.58
enrollment forms.

Determine how enrollment data will be

loaded in SAP AND transmitted to
5.59
vendors - electronic? Keyed? Date of
transmission/data entry?

Determine date of First premium

5.60
deduction in SAP
When will they get new Medical, Dental
5.61
and Vision ID Cards?
Schedule an HR Review of Benefits FAQs
5.62
and Presentations
Train Acquisition HR staff on benefit
5.63
administration procedures

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 Human Resources/Comp & Ben/ Payroll

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
6.0 401(k) Plan
6.01 Any defined benefit plans?
6.02 Plan transition Overview
6.03 401(k) Effective Date
Need to confirm their 401k deductions
6.04
continue through last pay check
How will outstanding employee loans be
6.05
handled? How many are there?
6.06 Do they allow multiple loans?
Decision on asset transfer or amendment
6.07
for loans
How will we reimburse employees for
6.08
penalty and taxes on loans?
What are the employee options for
6.09
rolling over?
6.10 Plan amendments, if needed
6.11 Review of Protected Benefits
6.12 Notify their Vendor of plan termination
6.13 EE Census Needed:
6.14 EE Census Provided
6.15 Census sent to ML
6.16 Enrollment Process:
6.17 Waiting Period?
6.18 Auto Enroll at 3%?
Determine if we need a listing of how
6.19 much EE contributed to their former
401(k) plan YTD
EE 401k Contributions Needed under
6.20
prior plan
Vendor requirements on vendor
6.21
interfaces.
6.22 Updated 401k Interface
6.23 Draft Board Resolution
Make sure employees are aware that
6.24
they must watch their 401(k) maximums
6.25 401(k) FAQs
6.26 401(k) Packets for Day 1
6.27 Need final updated 401k file
Schedule 401K vendor on site to
6.28
locations after close
7.0 HRIS/SAP
7.01 Cost Centers
7.02 Personnel Areas
Will SAP track tardies, leave early and
7.03
occurrences?
Will there be any new interfaces? If so,
7.04
to who and for what?
What Attendance & Absence codes count
7.05
toward overtime?
7.06 What new Wage types will we need?
Will they use our overtime rules which
7.07
are hours worked over 4 hours?
Will they use our double-time rules which
7.08
are hours worked over 6 hours?
7.09 Do they have any shift premium rules?

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Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
7.10 Are there any new states/local codes?
7.11 Profit Centers
7.12 Personnel Subareas
7.13 Any YTD balances to bring over?
7.14 Load Programs for YTD
7.15 Work Schedule Rules set up in SAP
EEO Info provided to the right internal
7.16
individual to configure
7.17 Creating the Org Structure
Create positions for each EE in
7.18
Production
7.19 Enter employees for Test
Benefits plan testing of new personnel
7.20
area and other SAP testing
7.21 Run a payroll in test
Which info types will their time be loaded
7.22
into?
Employee Ids. Need to determine if we
7.23 are going to assign Ids or have the
system auto assign Ids

Will they have an automated interface to

7.24 collect their time? Or will someone
manually upload their hours?
7.25 Mapping of the Time File
Set up Data Mapping session after we
7.26
get the ADP file
Test Master Data Load Basic EE data &
7.27
Generate A id's Gary will then load
7.28 Test load for Taxes not validated yet
7.29 Complete Data Mapping - Benefits
Master Data is mapped to prep for test
7.30
load file
Benefits are Mapped to prep for test
7.31
Load file
7.32 Benefits Test Files Loaded
7.33 Benefits Test Files Validated
Final Benefits LOAD File - all "rollover"
7.34 YTD benefits need to be loaded to SAP
and validated
7.35 Create Master Data Template
7.36 Master Data Template
Final Key in to Prod of all employee
7.37
Master Data
Validate Production - Master Data and
7.38
Benefits
7.39 Run payroll simulation for Prod
7.40 Confirm Date Mapping
7.41 Create load files for other (TBD)EE data
7.42 create T&E file
7.43 upload file T&E file
Load list of Employees receiving T&E
7.44
reimbursements
Upload Email addresses for the T&E
7.45
upload

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 Human Resources/Comp & Ben/ Payroll

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Post Close - Scheduled and Unscheduled
7.46 PTO. They need to know to change how
they track it
7.47 Payroll Cycle Adjustment Load (arrears)
8.0 Misc Comp
8.01 Next Merit Increases?
8.02 Sales Commissions
8.03 Stay/Retention Bonuses
8.04 Employment Agreements
What other bonus plans do they have in
8.05
place
Do they have any shift pay or any other
8.06
special pay (such as bilingual)?
9.0 General HR
9.01 New Hire Orientation
What is the plan for data entry for all
9.02
"new hire" Info?
9.03 H-1B Visas, etc?
9.04 Schedule Day 1 visits
9.05 Complete FAQs
Provide Seller HR with info prior to day
9.06
one if able
Set up Enrollment Meetings / New Hire
9.07 Orientation Training / HR Communication
Plan
Communicate ACH / DD Option to
9.08
Employees - for T&E
9.09 What email system do they use?
9.10 Create the New Hires Forms
10.0 Organization Management
Map jobs to equivalent jobs in our
10.01 company; create new job descriptions as
needed
Update organizational and reporting
10.02
structure in SAP
Identify any contractors; assist in routing
10.03 project proposals; ensure proper set-up
in SAP
Load all information for the phone
10.04
directory into SAP
10.05 Deploy promotions/job change process
Work with managers to identify any
10.06 necessary position eliminations due to
redundancy
11.0 Performance Management
Performance reviews: Integrate
11.01 employees into our company's process
as appropriate
11.02 Add to merit process/cycle
Deploy appropriate forms (review, IDP,
11.03
EEA)
11.04 Conduct training on process
12.0 Recruiting

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Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Update employment application to
12.01
include new company.
12.02 Implement new application forms
Conduct training for managers on the
12.03
recruiting process
12.04 Add and train Taleo users
12.05 Deploy COP posting process
Communicate and train managers/HR on
12.06
processes for bringing on Contractors
Deploy standardized offer letter,
12.07 noncompete, and confidentiality
agreement template
Integrate pre-employment testing
12.08
processes
13.0 Policies and Procedures
Conduct orientation(benefits, company
13.01
info, etc.)
13.02 Require non competes per our practices
Ensure completion of all required new
hire forms (to include handbook
13.03
acknowledgement and code of conduct
acknowledgement)

Ensure completion of all required

13.04
benefits forms
Implement Background Check process as
13.05
appropriate; integrate into annual cycle
Implement Drug Screening as
appropriate; deploy process for new
13.06
hires, accidents, and reasonable
suspicion
Evaluate use of Credit Checks;
13.07 standardize in accordance with
CompanyAprocesses
Implement Corrective
13.08
Action/Performance Management process
Implement Leave of Absence Policies
13.09 (train HR and communicate processes to
employees)
13.10 Deploy Relocation Policy
Conduct general handbook/policy
13.11
comparison and integration
13.12 Implement Sales Car Allowance Program
Communicate process for reporting
13.13
workplace accidents/injuries
Decision on deployment of policies such
13.14 as Dress Code, Flexible Work schedules,
Attendance
14.0 Affirmative Action
14.01 Add/integrate into AA Plans
Identify and train HR POCs for reporting
14.02
and tracking
15.0 Recognition
15.01 Integrate into Service Awards program
15.02 Deploy Informal Recognition tools

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Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Determine timing for participation in
15.03 Pillar of Excellence Award program;
integrate as appropriate

Evaluate employee morale functions;

15.04 integrate into Employee Event Team
model as appropriate
16.0 Diversity & Inclusion
16.01 Conduct leadership training
16.02 Conduct employee training
16.03 Conduct needs assessment
Conduct evaluation of Diversity benefits
16.04
for client relationships
17.0 Learning & Development
17.00 Conduct compliance training
17.01 Conduct LDP training
Conduct other required new hire training
17.02 (Performance Excellence, Values at
Work, etc.)
17.03 Integrate into LMS Access
Introduce New Leader Transition
17.04
Workshops
18.0 Community
Determine timing for deployment of
18.01
United Way activities
Introduce MLK Day On at appropriate
18.02
time
18.03 Include in other Community programs
19.0 Other
Determine timing of when to include in
19.01
Employee Opinion Survey process
Determine timing for deployment of
19.02
periodic Temperature Checks process
Check employment posters at each
19.03
locations and add where required
Conduct I-9 file audit; determine
19.04
whether new I-9s are needed
19.05 Conduct employee file audit
Review unique practices of new company
19.06 (i.e., furloughs) that need to be
addressed

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 Information Technology

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 General/Common
Obtain total number of physical locations
1.01
including remote sites
Obtain total number of internal
1.02 employees along with total number of IT
employees
Obtain current organizational chart,
business flow documentation and other
1.03
pertinent documents relating to the
existing business model
1.04 Obtain current technology roadmap
Obtain existing ISO, PCI, SAS70, SOX
1.05 and other compliance guidelines,
diagrams and documentation

Obtain hardware inventory including all

make, model, year, asset tag, support
1.06
agreements and serial numbers from all
IT equipment

Obtain software inventory including

1.07
licensing agreements for all systems
1.08 Obtain all network diagrams
Obtain IP address ranges for all network
1.09
locations
Obtain complete data center and rack
1.10
center diagrams
Obtain full Windows domain
1.11
infrastructure diagram
Identify current messaging system
1.12
platform
Obtain disaster recovery plan along with
1.13
latest test date and future plans
Obtain complete backup and recovery
1.14
plans for all IT related systems
Identify areas where PCI and NPI related
1.15
data is stored
Obtain SLA information for all internal
1.16
and external customers
Identify current Antivirus software,
vendor, tools and release/definition file
1.17
update process(All systems and
messaging)
Determine Telco/Telephony vendors and
1.18 what services are in use(MPLS, Frame,
etc..)
Obtain complete voice network
1.19
diagrams/documentation
Obtain IT release and change
1.20
management process documentation
Determine all system and application
1.21
bound maintenance windows
Identify usage of ticketing and service
1.22
management tools

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 Information Technology

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Identify current monitoring tools, usage
1.23 and documentation for all infrastructure
and applications
Obtain classification information,
1.24 response and SLA's for severity based
issues
Identify communication path/process
1.25 used for notification purposes of outages,
etc. of all systems

Coordinate and implement access

1.26 controls to systems and architecture for
all required employees
Project Management Office
2.0
(PMO)
Determine if PMO and/or project
2.01 management methodology exist at
acquired company
2.02 Evaluate PMO org structure
Evaluate PMO tools (i.e. Project Server,
2.03
etc.)
2.04 Evaluate PMO processes
Assign PSG project manager to
2.05
integration
3.0 Netcom
Obtain IP address schema currently in
3.01 use for both the internal network and
internet
Identify usage of all 3rd party network
3.02
providers and service they provide
Gather all current data center/Internet
3.03
connectivity designs and configurations
Identify current client connectivity design
3.04
and configuration(VPN, Circuits, etc.)
Obtain all protocols used on the
3.05
WAN/LAN
Identify all unique processes running on
3.06 the WAN/LAN(VOIP, Tunneling, IPSec
VPN, Citric, Video Conferencing, etc.)

Identify process utilized for remote

3.07 employee connectivity including usage of
NAC and/or 2 factor authentication
Determine usage of wireless usage
3.08
anywhere on the production network
Identify existing network initiatives that
3.09
are underway that need to be completed
Identify any existing network problems
3.10
that need to be resolved or alerted to
4.0 TSC
Determine IT service desk hours of
4.01 operation including availability of after
hours support
Obtain current IT service desk staffing
4.02
model
Identify total number of external facing
4.03
clients IT service desk supports
Identify support channels(phone, email,
4.04
chat, self service, etc.)

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 Information Technology

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Obtain average monthly customer
4.05
contacts for all channels
Identify IT service desk SLA's including
4.06
targets and metrics
Identify IT service desk service level
4.07
reporting, frequency and audience
Obtain required skill set of existing IT
4.08
service desk employees
Determine existence of customer side
4.09
intranet site(s) and descriptions of use
Identify all toll free support numbers in
4.10
use within the IT service desk group
Identify all email support addresses in
4.11 use that interact with customers and the
IT service desk

Determine additional support channels

4.12 utilized when submitting issues and
service requests to the IT service desk
Identify usage of self service password
4.13 reset utilities along with description of
use
Obtain overall statistical data from
4.14
existing IT service desk
Determine escalation path for support
4.15
tickets for Tier levels above 1
Obtain list of all supported applications
4.16
IT service desk currently supports
Define overall support requirements for
4.17 each channel including phone, chat, self
service, and email
Determine connectivity, application and
4.18
system access requirements
4.19 Define ticketing tool requirements
Coordinate installation of all required
4.20 applications onto the IT service desk
client workstations

Develop and implement all system,

4.21 application, ticketing tool training and
self service portals

Implement all communication, launch,

4.22 reporting, incident management and
assessment processes
5.0 IT Business Alignment
Identify existence of business alignment
5.01 roles, relationship or service managers
along with descriptions of each

Identify existence of IT service catalog or

5.02 documentation of supported overall IT
services

Determine finance related policies

5.03 regarding the charging of IT services to
internal lines of business

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 Information Technology

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Identify IT request and planning tools
5.04
along with how requests are prioritized
5.05 Obtain IT SLA's, targets and metrics
Determine usage of IT scorecards and
5.06 scheduled reviews of IT operational
performance
Determine overall usage of tools used for
5.07
IT related requests and
5.08 Identify need for BAM support
Implement all required changes to train
5.09 and support existing CMDB, Planview,
release management processes

6.0 System Administration(Messaging, Open Systems, Telephony, Windows Systems)

Obtain current DNS name
6.01
space(External/Internal)
Determine current internet filtering
6.02
solutions
Determine current systems patch
6.03
management solutions
Determine current server virtualization
6.04
solutions
Obtain existing skill set of System
6.05
Administration Engineers
6.06 Determine current VDI solutions
6.07 Identify current SMTP relay processes
Identify current messaging(email)
6.08
filtering and security solutions(TLS)
Identify number of users, accessibility,
6.09 platforms, number of domains and
retention policy for messaging systems
Obtain current security certificate
6.10
management process
6.11 Identify server inventory by function
6.12
Determine scalability of existing
6.13
infrastructure
Identify environments for critical
6.14
applications
Determine scope of critical applications,
6.15 user base, and other performance level
indicators
Identify areas for system and application
6.16
improvement
Identify multi-site dependencies on
6.17
existing infrastructure and systems
Identify timeline to begin integration
6.18
steps.
Audit software compliance with actual
6.19
server counts/inventory
Implement standard backup and
6.20
recovery system processes

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 Information Technology

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Identify existing systems that need
6.21
upgraded to our company standards

Implement changes to remove

overlapping IP ranges and conflicting
6.22
network subnets including supporting
any changes
6.23 Determine disposition of old hardware
Implement a domain consolidation
6.24 project to bring all systems under the
common windows umbrella

Implement changes to move outbound

6.25 internet access to CompanyAproxy and
web filter(s)

Identify system and hardware

6.26 consolidation areas and overall approach
to reduce footprint

Plan and implement projects to bring

6.27 messaging, telephony and voice systems
up to company standards
7.0 Availability
Obtain existing incident, problem and
7.01 change management standards and
policies

Obtain list of applications and URL's

supported and identify ownership of
7.02
development, maintenance and points of
contact

Identify support levels and escalation

7.03
paths of existing applications
Determine existing pain points from an
7.04
application perspective
Obtain release cycle documentation
7.05 including, development, QA, load testing
and implementation into production
7.06 Identify load testing tools and processes
Obtain documentation on measurements
7.07 of availability, existing statistics,
application and hardware monitoring

Determine scope of alerts from existing

7.08 monitoring
7.09 Identify owners of existing monitoring
Identify reporting on availability along
7.10 with expectations and targets
Identify approval matrix for change
7.11 management along with reporting
requirements and standards

7.12 Obtain IT service desk availability

Identify communication paths for critical
7.13 incidents
Identify reporting paths for critical
7.14 incidents

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 Information Technology

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Identify on call rotations and escalation
7.15 procedures
Obtain problem management
7.16 procedures, reporting and documentation
Determine tools utilized to track and
7.17 monitor websites including standards,
statistics and targets

Obtain all information and

7.18 documentation regarding vulnerability
scans and type of software/process used

8.0 Data Center

8.01 Identify locations of all data centers
Obtain inventory of all support hardware
in each data center including make,
8.02
model, year, asset tags, support
agreements and serial numbers
Determine physical security of data
8.03 center including type of entry/security
systems
Identify use of raised flooring and
8.04 separation of network, power, fiber
channel and other cabling

Identify power requirements including

8.05 redundancy, placement and connection
locations

Identify network requirements including

8.06 placement of hardware and connection
locations

Determine type of cooling, fire

suppressant, ups and generator systems
8.07
including support/maintenance
agreements
Determine scheduled maintenance
8.08 history, ownership of overall support of
systems
Obtain system loads and run times for
8.09 each type of cooling, fire suppressant,
ups and generator systems

9.0 Systems Administration - Facilities

Obtain location of all IDF closets and
9.01 usage of UPS, Generator and fire
suppression systems

Obtain specifications and purpose behind

9.02 each virtual and physical server for all
Windows, open and mainframe systems
Determine software patching processes
9.03
for all server, desktop and laptop clients
Identify whether backup tapes on site
9.04
are encrypted and where they are stored
Identify server and client support by
local technicians, responsibilities,
9.05 location and if FTE or contracted out for
all Windows, open and mainframe
systems

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 Information Technology

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Identify usage of disk encryption
software for client desktop and laptop
9.06
computers, management method and
licensing agreement(s)

10.0 Data Services

Identify security model for all data
10.01
services platforms
Obtain backup and recovery model for all
10.02
environments
Determine software patching processes
10.03
for all data services environments
Identify areas for integration into
10.04 existing environments for potential
footprint reduction
Obtain scalability footprint on all data
10.05
services systems

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 Corporate Security

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 Physical Security
Is there a published physical security
1.01 policy? Please provide a copy of the
policy.
Is there an automated alarm system
deployed in the facility(ies)? Is this
function outsourced, if so, who is the
1.02 third party? What functions does the
alarm system provide, fire, burglar, etc.
Please provide a copy of the contract for
review.
Are identification badges used for all
1.03 employees, contractors, and temporary
employees?
Is there a automated badge reading
1.04
system deployed? If so, what type?
Are Guards present at the facility(ies)? If
1.05
so, are they armed?
Is there a visitor access procedure?
1.06
Please describe.
What additional access controls are used
1.07 at each facility? (biometrics, additional
procedures, compensating controls, etc)

Does the company have restricted areas

that are controlled through more
1.08
stringent controls, such as data centers,
etc? If so, please describe.

What are the security procedures for

terminated employees? Are access
1.09 badges recovered? When are terminated
employees disabled/removed from the
system?

Through what process is physical

1.10 security (facility) access managed
(access cards, building keys, etc.)?
Is there an Emergency Management
1.11
Process? If so, provide documentation.
Are there current drawings of the facility
1.12
floor plan? If so, provide a copy.
Are criminal background checks
1.13 performed for new hires, or current
employees? If so, at what intervals?

Is this a 24x7x365 facility? If not, what

are the procedures for security the
1.14 facility during non-working hours? Who
controls the approval for access during
no-working hours?

2.0 Security Training

Do all employees, contractors, temporary
employees received formal security
2.01 training? If so, is that training annual,
semi-annual, quarterly, etc? Please
provide sample training material.

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 Corporate Security

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Are new employees provided with
2.02
security orientation training?
Is security awareness provided through
2.03 the use of security posters, websites, or
other communication vehicles?
Are restricted areas posted with visual
2.04 identification? (signs, posters, guards,
etc)
Do you have a crisis management plan?
2.05
Please provide a copy.
Do you have a designated crisis
2.06
emergency management team?
Do you have an incident response
2.07 management process and policy? If so,
Please provide a copy.
3.0 Information and Data Storage
Do filing cabinets that contain
3.01 confidential documents remain locked
when not in use?

Are procedures in place to ensure that

3.02 only authorized employees have access
to confidential documents?
Are storage area network (SAN) devices
3.03 located in a data center or controlled
area?
Is there a back-up policy and procedure
in place using magnetic tapes, disk-to-
3.04
disk, or other data recovery strategy?
Please provide documentation.

If data is stored off-site, where is that

off-site location located? Is this service
provided by a 3rd party? Is there a
3.05
contract in place, accepting liability for
the protection of the data? Please
provide a copy of the contract.

Are back-up tapes, or electronic data

3.06
stores encrypted?
Information Security
4.0
Management
Do you have a viable Information
4.01 Security Program? If so, please provide
documentation.

Do you have an published Information

Security Policy? If so, please provide a
4.02
copy. Is this policy approved by
executive management?

Do you have published Information

4.03 Security Standards? If so, please
provide a copy of the Standards.

Do you have designated Information

Security leadership and resources? If so,
4.04
please provide an organizational chart of
where those resources are located.

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 Corporate Security

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
How is computer incident management
done? Is there a process established? Is
4.05 there a computer incident response team
designated and established? If so,
please provide documentation.

How do you conduct vulnerability

management? What vulnerability
4.06
management solution do you use?
Please provided documentation.
Do you conduct computer/systems
forensics? If so, please provide the
4.07 extent to which you conduct this activity.
If so, is the function in-house or
outsourced?
Please describe you change management
4.08
process and procedures.
Please describe you configuration
4.09
management process and procedure.

What type of information/data does the

company manage, maintain, store,
transact, etc? Examples would be PCI
4.10
data, FFIEC data, HIPAA data, FERPA
data, etc. Pleas provide a copy of your
data classification policy.

Do you have a vendor risk management

4.11 process in place? If so, Please provide
documentation of the process.
5.0 Systems Security
Is anti-virus, anti-spyware, and anti-
malware solutions deployed on all
5.01 systems? If so, what type? If so, how
are these solutions updated? Are they
centrally managed?

Are all system hard drives backed-up?

Who is responsible for this
process/procedure? Are network drives
5.02
used? Are the part of the network back-
up strategy? If so, please provide
documentation.

Are hard drives encrypted? If so, what

5.03
technology is used?
What authoritative LDAP is used (AD,
5.04
Sun, etc)? Please describe.

What access control procedures are used

for Users? Is there a separate process for
5.05 privileged Users (System Administrators,
Database Administrators, etc)? Please
describe.

Are removable media authorized and

used on systems? If so, please describe
5.06 the media allowed, and provided
documentation regarding the security of
the media.

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 Corporate Security

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
5.07 Are removable media devices encrypted?
5.08 Are screen savers used on all systems?
6.0 Network Security
Are firewalls used? If so, what type and
6.01 how are they deployed? Please provide a
network diagram.

Is Intrusion detection/prevention
systems deployed? If so, what type and
6.02
how are the deployed? Please provide a
network diagram.

Is a date leakage protection solution

deployed? If so, what type and how are
6.03
the deployed? Please provide a network
diagram.

What other edge security devices are

deployed on the network? (Content
6.04 filtering, web filtering, end-to-end
protection, email screening technology)
Please describe.

How do you monitor your network(s)?

What monitoring technology is used? If
6.05 this function is outsourced, what 3rd
party is it outsourced to? Please provide
a copy of the contract.

What is the age of your network security

devices? Please provide a description of
6.06 the type and length of your maintenance
agreements for your network security
devices.

7.0 Payment Card Industry Data

Does the company accept credit card
payments or pay using credit cards? Is
the data stored on any systems? Is the
7.01
data transmitted from any systems
owned or managed by the company or
outsourced?

Does the Company have a requirement

for PCI certification? Are there any PCI
7.02
company locations that are certified as
PCI compliant?
7.03 Who is you PCI certification vendor?
8.0 Application Security
Do you have a application security
8.01 program? Do you follow OWASP
guidance for application security?
What application security tools do you
8.02
use? (Web Inspect, Fortify, etc)
How often do you scan your Internet
8.03 facing applications for security related
vulnerabilities?

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 Corporate Security

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
How often to you conduct application
8.04 security testing of your code base? Is
there a process for testing new releases?
How often do you remediate any
8.05
application security findings?
Business Continuity and Disaster
9.0
Recovery
Do you have a published Business
9.01 Continuity Plan? Please provide a copy
of the plan.

Do you have a published Disaster

9.02 Recovery Plan? Please provide a copy of
the plan.

When did your company test your

9.03 Disaster Recovery Plan? Please provide a
summary of those results?

When did your company test your

9.04 Business Continuity Plan? Please provide
a summary of those results?
9.05 Do you have a Pandemic Plan?
When did your company test your
9.06 Pandemic Plan? Please provide a
summary of those results?

Have you conducted a Business Impact

Analysis in the last 24 months for each of
9.07
your facilities? If so, please provide the
results.

Do you have a business recovery tool? If

9.08
so, what tool are you using?
Are RTO's and SLAs included in any
9.09 Client contracts? If so, please provide
copies of those contracts.

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 Procurement

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 Synergy
1.01 Obtain Vendor Spend Data
Determine main POC for Vendor Contract
1.02
and/or Spend Discussions
Obtain Vendor Contact
1.03 Names/Addresses/Numbers and Spend
Type, With Data Above
Analyze Spend Data to Identify
1.04
Duplications/Opportunities/Risks
Send Name Change/Ownership Change
1.05
Letter to All Suppliers
1.06 Coordinate Vendor Setup with A/P
1.07 Conduct Supplier Rationalization
1.08 Identify Savings Opportunities
1.09 Prioritize Opportunities
Compare Comparable Agreements for
1.10
Spend Type
Gather Quotes-Conduct RFI/RFP & Best
1.11
Supplier Selection
Negotiate Agreements & Get Legal
1.12
Approvals As Needed for Execution
1.13 Migrate Spend to Selected Suppliers
Block Vendor in ERP to Inactivate
1.14
Suppliers with A/P
2.0 Agreements - Non IT
Coordinate with A/P, Acquisition Team,
2.01 Engineering and Operational Business
Owners for Integration Planning
Review Contracts Commitments, "take or
2.02
pay language" and Assignment Clauses
Review Leases for Commitments,
2.03
Relocation Options, and Payoffs
2.04 Facilitate Name Changes as Needed
Coordinate with Security and Business
2.05 Owners on NPI/PCI Data Access to
Identify Risks
Review/Renew All Supplier NDAs as
2.06
Necessary
Send Necessary Assignment Letters for
2.07
Vendor Approval
2.08 Issue new Supplier NDAs as necessary
Follow-up to assure receipt of all
2.09
necessary assignment letters
Follow-up to assure receipt of all
2.10
necessary NDAs
3.0 IT
Coordinate with I.T. Business Owners for
3.01
Integration Planning
Audit PC's and servers for software in
3.02
use, and identify proof of entitlement

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 Procurement

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Determine potential to assign all
3.03 software licenses, acquire permission for
assignment where required.
3.04 Acquire any software licenses necessary
Assess capital requirements for PC
3.05
management program
3.06 Request capital for PC Management
Disseminate PC Management process
3.07
instructions
Disseminate I.T. Service, Maintenance,
3.08
Repair/Replacement Process Instructions
4.0 Compliance
Verify with Security, I.T., and Business
4.01 Owners which suppliers need NPI / PCI
NDAs
4.02 Execute NDAs as Necessary
Review Contracts for Acceptable NPI /
4.03
PCI Language
4.04 Identify and resolve NPI / PCI issues
Disseminate Control Processes on
Approval of Spend, Preferred Suppliers,
4.05
Vendor Setup, Payment Approvals, SOX
Controls, etc.

Review Major Client SLAs for Vendor

4.06 Control Compliance and Contract
Congruence
5.0 Systems and Process
Coordinate with Controller and I.T. to
5.01 determine what ERP system they will be
on initially and going forward
Determine and disseminate Procurement
5.02
Process
Determine process with A/P for supplier
5.03 payment and new setups in SAP or other
systems as needed

Define the process for supplier selection,

5.04 approvals of contracts, purchase orders
and project proposals
Modify distribute and implement
5.05
company and procurement policies
Assign and/or Train Buyers and Sourcing
5.06 Agents as needed to facilitate the
process within policy
6.0 Integration
Determine Location Lists, Contact Names
by Location, Travelers, Buyers, Contract
6.01
Manager(s), other Employees & Roles as
needed

Review current ERP use/processes,

6.02 number of P.O.s, P.O. types, Payment
Processes, Preferred Suppliers, etc.

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 Procurement

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Disseminate InsideHarlandClarke
6.03
Procurement Processes and Contacts
Roll-out preferred suppliers and
processes for immediate use: Corporate
Travel Planners, Staples Office Products,
6.04
Xerox Copiers, Visa P-Card/Travel Card,
I.T. process, Project Proposal use and
process
Participate with Integration Team
6.05
throughout Completion

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 Legal

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 General Information
Identify in-house legal team members
1.01
(attorneys and staff)
Identify in-house legal services provided
1.02
(areas of practice)
Identify types of legal services typically
1.03
requested
1.04 Identify legal engagement process
Identify "internal client" areas and
1.05
contacts
1.06 List all outside counsel engaged
1.07 Obtain annual outside counsel spend
Identify all matters for which outside
1.08
counsel is currently providing service
Identify legal department restructuring,
1.09
if any
1.10 Locate all legal files
2.0 Contracts
2.01 Identify contracting party(ies) for entity
2.02 Describe contract process, if any
2.03 Obtain contract template(s), if any
Identify legal entities and state(s) of
2.04
incorporation
2.05 List all pending contracts
Identify contracts with change of control,
2.06 assignment restrictions or consents
needed
2.07 Identify contracts with MFN clause
Identify contracts with early termination
2.08
restrictions / penalties
2.09 Locate all contract files
3.0 Claims
List all pending claims (court, counsel,
3.01
type of action)
3.02 Obtain 5 year claim history
Identify pending court notices (to include
3.03
subpoena)
Identify pending hearing dates and filing
3.04
deadlines, if any
3.05 Locate all claim files
3.06 Workers Compensation process, if any
3.07 Environmental claims process, if any
3.08 Consumer claims process, if any
4.0 Corporate Maintenance
4.01 Provide all corporate resolutions
4.02 Locate all corporate minute books
5.0 Compliance
5.01 Identify legal reporting requirements
5.02 Identify risk evaluation process, if any
5.03 Locate copies of all legal reporting
5.04 Identify compliance officer, if any
List pending compliance issues or
5.05
investigations, if any
6.0 NDA

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 Legal

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
6.01 List all existing NDA's
7.0 Administrative
7.01 Pending CLE requirements
7.02 Pending bar dues and licensing fees
7.03 Legal department location(s)
8.0 Insurance
Describe if risk is part of the legal
8.01
department and oversight

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 Accounting & Compliance

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 General Information
Obtain signed NDA's (Non-Disclosure
1.01
Agreement), as needed
Will the acquired company be on our
1.02
company Platform (SAP or Oracle)?
Determine if acquiree history will be
1.03
loaded in GL
Develop timing of any history loads into
1.04
the GL
1.05 Determine Integration Date for cut-off
Will the acquired company be adopting
1.06
the PO process?
Will they have access to Lotus Notes (i.e.
1.07
databases/distribution listings)?
Exchange contact information to both
1.08
teams (acquiree and acquirer)
Schedule weekly integration meetings
1.09
with integration team

Legal Entity Set up and Set up in

2.0
ERP Systems
2.01 Determine the legal entity
2.02 Establish co. codes or use existing?
2.03 GL Mapping - create new accts if needed
2.04 Establish I/C structure
Establish & Load Cost center hierarchy -
2.05
need for both COS & SGA
Communicate cost centers and
2.06 integration IO numbers (as applicable) to
buyers
2.07 Establish & Load profit center hierarchy
2.08 Establish & Load product codes
2.09 Establish & Load Plants/Locations
2.10 Establish & Load SKF's
2.11 Interface requirements
2.12 - Frequency
2.13 - File layout
2.14 Load history in ERP System
2.15 Reconcile historical data after loaded
Opening Balance Sheet
3.0
Considerations
3.01 Acquisition Date
3.02 Establish Intangibles (lives/amort sch)
3.03 Establish Fav/Unfav Leases
3.04 Review Facility Leases
- Establish lease schedule to capture
3.05
straight-line rent
- Evaluate potential ARO and record
3.06
liability if needed
3.07 Review Capital Leases
3.08 FMV of AR & Deferred Revenue
Evaluate and Record Medical/WC
3.09
assumed liabilities

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 Accounting & Compliance

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Evaluate and Record Contingent
3.10
Liabilities - Present Value if needed
Distribute list for Valuation of Fixed
3.11
Assets / Est. useful life
Load opening balance sheet into ERP
3.12
System
3.13 Record working capital
Create/prepare acq. Packet for External
3.14
Auditors
4.0 Fixed Assets / FA Process
Establish timeline to load assets into ERP
4.01
System
4.02 Consider Property Tax Value
Create load file for upload of assets into
4.03
ERP System
Issue/establish IO numbers for existing
4.04
or new capital spend
4.05 Provide capitalization policy
4.06 Cut over process for CIP
4.07 Provide FA team contact information
FA training on transfers, disposals, NOC's
4.08
process, and reports
GL Business Processes /
5.0
Training
Provide Month/Qtr end cut-off
5.01
procedures
Add acquiree's to Mo/Qtr/Yr end
5.02
databases (task lists)
5.03 Request list of standard JE's

5.04 - Assign std JE reference #'s

5.05 Add users to finance distribution lists

5.06 Account Reconciliation Process
- Provide support to Corporate
5.07
(mthly/qtrly)
5.08 - Identify owners of new accts
Discuss possible restructuring process -
5.09
proposals/rules

5.10 Develop Park/Post authority

Provide link to LMS to train users on JE
5.11
procedures
Train new users on GL display/reporting
5.12
for applicable ERP System
6.0 SAP User Set-up
Determine who needs access to ERP
6.01
Systems

6.02 Determine JE creators

6.03 Set roles/security levels for all new users

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 Accounting & Compliance

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Determine if special reporting should be
6.04
developed
6.05 Load SAP on machines/user testing
Load Z-options on machines of users
6.06 who will be creating JE's ( SAP ERP
System)
6.07 Test new Co. Codes/CC's/PC's/Accts

Determine if special reporting should be

6.08
developed

6.09 Develop any custom reports

Modify existing reports/variants for new

6.10
Co. Codes/CC's/PC's/SKF's/Accts
6.11 Determine interfaces that will be needed
6.12 Develop Interfaces

6.13 Test Interfaces

7.0 Items for Non-SAP
GL Mapping to SAP GL accts- create new
7.01
accts if needed
Understand how to get a trial balance
7.02
and ledger detail out of existing system
Determine if monthly activity will be
7.03
loaded in summary or at line item detail
Develop process/template to load activity
7.04
into SAP or Oracle

Set process to open and close periods in

7.05
system

Establish/provide point of contact for

7.06
intercompany items

Communicate to AP/Payroll and other JE

7.07 Creators how to IC something to the
acquiree and what support to send

7.08 Payroll considerations

- How will they post payroll in their

ledger? Will we send them a file and
7.09
upload or will it hit in SAP and need
to be backed out of mthly load file?

- Include Workers' Comp files w/

7.10
payroll files
8.0 Compliance
Determine which management personnel
8.01 need to sign quarterly management
certification

Determine new controls which may need

8.02 to be added for newly acquired company
with effective dates
8.03 Determine control business owners

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 Accounting & Compliance

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Work with Internal Audit to determine
8.04 what control testing needs to be done
and who needs to do it

Document revenue and inventory scope

8.05 by system application to determine if
acquired company is in scope for SOX

Plan timeline for integrating SOX into

8.06 new acquired company; agree with
Internal Audit

Update significant account analysis to

8.07 properly reflect acquired company
activities once SOX scope is determined

9.0 Authorities
Understand existing authority levels at
9.01 acquisition and obtain authorities
documents
Determine level of vendor and client
9.02
contract approval levels for XX and XX
Determine changes to existing
9.03
authorities for capital projects
Determine who will complete Project
Proposals for newly acquired company
9.04
and when Project Proposals will be
required
Determine when employee matter
authorities will change from existing
9.05
acquisition policies to fully integrated
company policies

Determine authorities for legal related

9.06
matters
Determine authorities for contract/temp
9.07
labor
9.08 Determine authorities for leases
Determine authorities for charitable
9.09
contributions

Determine if acquisition will maintain

existing advertising spend authorities or
9.10
if company segment levels apply or
something in between
10.0 Identify Revenue Recognition Issues
Determine current revenue recognition
10.01 policies, and identify policies that will
need to be changed upon acquisition.

Lead process to determine impact of

10.02 changes in revenue recognition on
systems, policies & procedures.

Review all deferred revenue schedules

10.03 for purchase accounting adjustments and
schedule anticipated reversals.

Identify methods for tracking revenue

10.04 under legacy approaches if necessary for
earnout. Set process for computations.

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 Accounting & Compliance

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Identify impending changes in Revenue
Recognition and how they will impact
10.05
future revenue forecasts, and
communicate to appropriate FP&A folks.

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 Accounts Payable

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 General Information
Will Company be immediately integrated
1.01
into SAP as of Acquisition Date?
1.02 Identify how/where AP will be processed
1.03 Identify AP main POC
1.04 Determine Acquiree travel agency used
1.05 Determine if Acquiree uses Lotus Notes
Obtain location list (production facilities,
1.06
offices, warehouses, etc.)
Determine ERP to be used for processing
1.07
invoices
Determine who performs A/P work at
1.08
Acquiree
Determine average number of invoices
1.09
processed per month by Acquiree
Determine # of Active Vendors in
1.10
Acquiree ERP system
2.0 Working Capital
Determine process for pre-close, post-
2.01
close invoices.
Communicate and agree to process with
2.02
Acquiree
Obtain detailed schedule of A/P trade
2.03
balance.
Verify A/P Trade schedule balances to
2.04
G/L Account XXXX
2.05 Obtain detailed schedule of A/P accruals.
Verify A/P accrual schedule balances to
2.06
G/L Account XXXX
2.07 Receive pre-close invoices
Verify amount coded to GL XXXX
2.08
balances to detailed accrual schedule
2.09 Adjust schedule as needed
Code all pre-close items to G/L Account
2.10
XXXX
2.11 Process pre-close invoices
3.0 Vendors
Determine point of contact at Acquiree
3.01
for help with Vendors
Obtain Vendor list from Acquiree (With
3.02 data for all fields in system in Excel
Format)

Complete review of vendor file to

determine: vendor types, new payment
terms needed, vendors not to load,
3.03 vendors already in SAP, last payment
date for inactive vendors, pmt method
supplements, id field that 'triggers' 1099,
minority indicator, NPI & NDA

Provide AP with list of New Vendors w/

3.04
Discount Terms
Provide AP with list of Terms for
3.05 Comparison. (CompanyATerms vs.
Acquiree terms for same vendor)

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 Accounts Payable

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Gather rent payments and landlord
3.06
information

ID EE Vendors setup for reimbursements

in Acquiree ERP system. Coordinate with
HRIS to set up ONLY those in the AP
3.07
module. Compare HRIS EE Listing to
EE's included in Vendor File to ensure
there isn't anyone overlooked

3.08 ID COD Vendors

Identify Minority Reporting Requirements
3.09
(Who, When, What, How)
Determine if there are any vendors with
3.10
special withholding requirements
3.11 ID Foreign Vendors
Communicate Garnishment Vendors to
3.12
Payroll
Run New Vendors through IRS TIN
3.13
Matching
3.14 Load Vendor file to XXXX
3.15 Review vendor file load errors from XXX
Correct Vendor Load File and supply
3.16
updated file to SAP team
3.17 Load Vendor file to Production
Review vendor file load errors from
3.18
Production and Correct Errors
3.19 Complete Manual Vendor Setups
3.20 Obtain Vendor Paper Files from Acquiree
Obtain Vendor Packages on Acquiree
3.21
Vendors loaded into SAP
Obtain Vendor Spend by Vendor by Year,
3.22 from Acquiree ERP System, for minimum
of past 18 months
Identify who will notify vendors of
3.23
Company name & address change
Send communication to Acquiree
3.24
Vendors
4.0 Process
4.01 Determine SAP Buyers for Acquiree
9.10 Determine PO Cutover Date
Determine how Inventory will be handled
9.11
SAP or other system
Determine Inventory Cutover Process
9.12
and date
Determine if PO's are required on
9.13
Inventory
9.14 Determine solution for postage
Determine if there are any consolidated
9.15
invoices requiring allocation

Determine how shared invoices across

business units will be handled (i.e. AT&T
9.16
for entire company, how will specific
entity be removed)

Determine if PO's are required on Capital

9.17
Purchases
Identify the Acquiree invoices dated prior
9.18
to Acquisition Date

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 Accounts Payable

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Determine if Acquiree has a Petty Cash
9.19
fund
9.20 Determine any Special Processing Needs
Determine Cutover/Go Live Date for A/P
9.21
Processing
Identify AP EE(s) who will process
9.22
Acquiree invoices in SAP
What Date on Acquiree invoices will be
9.23 sent to Acquiree to verify they have not
been processed in Acquiree ERP System
Determine to whom the invoices should
be sent at Acquiree to verify they have
9.24
not been processed in Acquiree ERP
System
Determine who will be responsible for
9.25 identifying & coding pre-close expenses
on invoices
Determine how Garnishments will be
9.26
handled
Identify process for resolving stale
9.27
dated/outstanding checks
Coordinate Unclaimed Property Process
9.28
with CompanyAAccounting
Determine Qtr End Invoice Review
9.29
Process
5.0 SAP
5.01 Determine SAP Users to be set up
5.02 Determine SAP User access needed
Submit ticket to SAP Team to setup User
5.03
in SAP
5.04 Complete SAP User Setup
Determine if Acquiree Vendor Payables
5.05 History will be loaded to SAP (If yes, IT
resources will be needed)
Determine if Acquiree processes any
5.06
electronic invoices
Determine if there are any interfaces
5.07
needed
5.08 Develop interfaces
Obtain report samples of any required
5.09
reports
Determine if special reporting must be
5.10
developed
5.11 Develop special reports
Prepare Testing Plans for special
5.12
requirements that require SAP changes
5.13 Identify Users to complete Testing
Submit ticket to SAP Team to setup
5.14
testers in Test environment
Complete testing for all SAP changes
5.15
required
Determine Acquiree EEs who require AP
5.16
Special Process training
Set up Webinar for Special AP Process
5.17 training for SAP users & send invite to
attendees
5.18 Complete Special Process training in SAP

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 Accounts Payable

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Determine filing process for unfiled
5.19
1099's
Obtain 1099 file for prior/current year
5.20
from Acquiree ERP System
Load 1099 info from Acquiree ERP
5.21 System for prior/current year to SAP via
load program
6.0 Credit Cards/PASS Cards
Determine if Corp Card Program Exists
6.01
with Acquiree
Determine if a contract for Corp Card
6.02
Program Exists
Determine if there are any negative
6.03 ramifications of cancelling cards and
account
Determine current Credit Card holders to
6.04
convert to PASS Card
6.05 Determine New PASS Card Holders
ID Office Supply Cardholders &
6.06 communicate to Procurement for Access
& Training
Determine GO Live date for all new PASS
6.07
Cards
Identify Person responsible for Cancelling
6.08
Cards for Acquiree Program
6.09 Create Hierarchy in Works
6.10 Order PASS Cards
Determine Date to move Acquiree
6.11
employees to CTP
Communicate setup & card #'s to CTP at
6.12
go live date
6.13 Provide training CD for PASS Card
6.14 Issue PASS Cards to new EE's
6.15 Cancel all Acquiree Corp Credit Cards
6.16 Determine NEW card request process
Communicate New Card request process
6.17
to POC
7.0 Authorities
Determine who will be approving invoices
7.01
for processing.
Direct Post Authority-determine who will
7.02
need unlimited facility related approval
7.03 Provide G/L Purchasing Matrix
7.04 Provide Direct Post Signature Matrix
7.05 Provide Signature Cards
7.06 Provide Delegated Signature Cards
7.07 Obtain Completed Signature Cards
Add Authorized Approvers to Signature
7.08
Database
8.0 Payments
Determine how open payables are to be
8.01
handled
Communicate Payment Schedule
8.02
(Monday and Thursday)
8.03 Obtain Aged Payable List
8.04 Review Aged Payables List

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 Accounts Payable

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
Determine date to Purge A/P
8.05
Outstanding Balance
Determine date to transfer credits to SAP
8.06
or collect credits open
Determine if any Foreign payments are
8.07
made

Determine if there any payment types

used other than check payments?
8.08
ACH/Debit-Credit, Wire Transfer, COD,
other

Determine if Acquiree makes any Rebate

8.09
or Royalty payments
Determine if Pmts for existing card
8.10
program will need to be made
Determine how AR Customer Refunds
8.11
will be handled
9.0 Process Communication and Training
9.01 Communicate Calendar for A/P Cutoff
9.02 Communicate Std PO invoices to SA
Communicate Svc PO and non PO
9.03 invoices to proper location for Svc entry,
coding, approval
Identify process-specific (CS&S) invoice
9.04
processing procedures
9.05 Provide Petty Cash Reconciliation Forms
9.06 Provide T&E Guidelines
9.07 Provide Expense Report Form
Determine Acquiree EEs who require AP
9.08
Process training
Determine who will provide Buyer
9.09
Training
Set up Webinar Training for new SAP
9.10 users & for AP Processes & send invite to
attendees
Complete AP Training for all new SAP
9.11
Users

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 Accounts Receivable

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 Accounts Receivable
Determine name of AR
1.01
System/Application
1.02 Determine number of Clients
Determine how payments are received
1.03
(CC, Wire, EFT, Check, ACH)
Identify internal and/or external
1.04
collection efforts
Identify any potential bad debt write-offs
1.05
& reserves
1.06 Name of Billing System/Application
Identify standard Invoice Terms and
1.07
Exceptions
1.08 Determine if discounts are offered
Determine Invoice Methodology
1.09
(electronic, ACH, paper)
Determine Invoice Frequency (daily,
1.10
weekly, monthly)
Identify Key A/R Contact(s) at Acquiree
1.11
and their location
Obtain AR Summary & Detail Aging
1.12
Report
Obtain Customer Master List with status
1.13
(active, inactive)
Determine handling of Refunds,
1.14
Adjustments, Credits
Determine handling of Rebates,
1.15
Allowances
Get copy of statements sent to clients,
1.16
review format, logos
Determine if Trade AR will migrate into
1.17
SAP or stand-alone
Send Change of Remittance Notifications
1.18
to Client
Identify Collection Representative (who
1.19
to contact Clients)
Obtain Open Items List at acquisition
1.20
date
Determine how to handle payments sent
1.21
by clients to newly acquired company

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 Treasury

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 General
1.01 What is the deal type Asset purchase, Merger, etc.
1.02 Targeted closing/ funding date
Review and update draft deal document Transaction funding, working capital,
1.03
sections relating to Treasury escrow, etc.
Finalize deal document sections relating
1.04
to Treasury
2.0 Deal Consideration
2.01 How is the deal to be financed Cash/Debt
2.02 What is the purchase price
Are there any special calculations Cash/cash equivalents, debt, liabilities,
2.03
required for the purchase price transaction expenses, etc.
Is there any outstanding stock, options
2.04
or warrants
2.05 Obtain any Payoff letters
Obtain Transaction Expenses Schedule
2.06 with funding requirements and wire
instructions
3.0 Banking Information
Will entity operate as a stand-alone
3.01
operation or will it be integrated
Type of account: A/P, Payroll,
3.02 Obtain Bank Account listing and signers
Investment, ZBA, etc.
Determine if bank accounts can be linked
3.03
into existing bank structure
Determine if new bank accounts need to
3.04
be opened
3.05 Update bank account signature cards
3.06 Determine cash procedures for day one Get on-line bank access
Order new checks and or deposit tickets
3.07
as necessary
Identify any special banking/Treasury ACH/EFT transfers, Postage meters,
3.08
needs or requirements wires, etc.
Where will bank statements be
3.09
reconciled
Determine where account analysis
3.10 Review banks fees
statements will be sent
4.0 Escrow Funds
4.01 Will escrow funds be required
4.02 Is there an escrow agreement
4.03 What is the dollar amount required
4.04 How long will funds be in escrow
4.05 Who is the escrow agent
5.0 Working Capital Adjustment
Obtain estimated pre-closing balance
5.01
sheet
5.02 Are pre-closing adjustments required
5.03 Prepare closing balance sheet
5.04 Prepare net working capital schedule
Determine if there is a working capital
5.05 surplus or deficit and if payment is
required
6.0 Earn-Out

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 Treasury

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
6.01 Is earn-out provision required
6.02 What is the length of the earn-out period
6.03 Prepare earn-out schedule
Establish process for calculation and
6.04
payment

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 Tax

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 General
1.01 Asset purchase vs stock deal?
Work with finance for purchase price
1.02
allocation, goodwill calculation

Prepare Purchase Price Allocation

schedules as agreed upon in purchase
1.03
agreements, coordinate with seller
regarding filings

Stock deal - what are timing differences

1.04
carried over?
Stock deal - what are tax attributes
1.05
carried over?
Purchase accounting - do we need to
1.06
defer tax effect?
Stock deal - who will file final returns for
1.07 acquired company for pre-acquisition
period?
Sales tax - what billing system is used,
1.08
what will be used going forward?
Does billing system have sales tax
1.09
calculation
Review sales tax nexus / filing practice
1.10
for stock purchase
Review products / services for sales tax
1.11
application
1.12 Determine sales tax compliance process
Registration of new company for income
1.13
tax / sales tax as applicable
Develop plan for sales tax
1.14
implementation

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 Billing Services

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 General Information
1.01 Determine main Billing contact
Determine the location where billing
1.02 activities will reside (Segment location or
Acquiree location)
Determine if existing billing system will
1.03
be retained
1.04 Determine number of clients
1.05 Determine billing methods required
1.06 Determine billing frequency required
1.07 Determine pricing ownership
1.08 Determine invoice format requirements
1.09 Determine what history may be required
1.10 Determine products and GL mapping
Determine internal and external
1.11
reporting requirements
Determine client key identifier if non
1.12
financial institution (no TR)
Determine how to assign territory
1.13
numbers if non financial institution
Determine internal and external
1.14
reporting requirements
2.0 Set up - Load
Obtain list of customers to include billing
2.01 contact, address, method, frequency and
SAP profit center (if applicable)
Load customers to identified segment
2.02
billing system
Obtain list of products and the
2.03 description required to print on the
invoice
Obtain GL, reporting allocation, tax rules
2.04
for products
2.05 Load products
2.06 Obtain master level pricing
2.07 Load master level pricing
2.08 Obtain client level pricing
2.09 Load client level pricing
2.10 Establish billing interface
2.11 Build billing interface
Develop billing interface sales order and
2.12
error reports
2.13 Develop process to correct errors/rejects
3.0 Test
3.01 Load and verify customers in test
3.02 Load and verify materials in test
3.03 Load and verify pricing in test
Load billing interface in test. Use live
3.04
data from a previous month
3.05 Create invoices in test
Compare billing data/invoices with billing
3.06 data/invoices created in Acquiree's billing
system

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 Billing Services

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
4.0 Training
Identify 'run the business employees'
4.01
provide applicable access
4.02 Document all procedures
4.03 Deliver training to employees
5.0 Communication
Advise Internal Audit new business will
5.01
be added to existing controls
Advise affected segment billing team
5.02 when new invoices are first mailed in
preparation for client calls
Determine if a letter will be included with
5.03
first invoice
Advise mail distribution group when first
5.04
invoices will print
Advise segment Finance internal
5.05
reporting of go live
6.0 Go Live
6.01 Check all sales orders loaded
6.02 Compare pricing to source data
6.03 Check invoices

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 Marketing

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 A+ Sales Experience
Analysis of collective Target/Acquirer
1.01
materials

Target/Acquirer Sales Digital

1.02
Presentation Tools (PPT, etc)
Target/Acquirer Sales Material--Launch
of short-term sheet that explains
1.03
acquisition of Target with customer
benefits
2.0 Channel Marketing
Rules of engagement and understanding
2.01
of where Acquirer direct begins and ends
3.0 Field Marketing/Sales
3.01 Canvassing Materials
Understanding canvassing process and
3.02
flow to lead to appt

Ensure integrated Acquirer/Target story

3.03
is included in cavassing talk tracks

4.0 HR + Culture Integration

Undertanding of current assets, process,
4.01
onboarding, rituals, etc

4.02 Bootcamp Refinement

4.03 New material assessement and rollout

Office environment integration: photo

4.04
walls, culture graphics etc.

5.0 Acquisition Marketing

Understand process from lead to on-
5.01
boarding
6.0 Retail Marketing
6.01 Understand Target--experience, staffing
6.02 New POS Collateral
6.03 New POS Signage
7.0 Messaging
Recommended messaging hierarchy for
7.01
online and offline communications
7.02 Message integration into public website
Partner with writer to refine messaging
7.03
and socialize final to key stakeholders
8.0 Visual Brand Overhaul
Branch Operations Signage (interior and
8.01
exterior)
Materials used at install (yard signs,
8.02
etc…)
Corporate System Materials (biz card,
8.03
letterhead, invoices, etc)
8.04 Vehicles wraps complete
8.05 Apparel
 Brand Rollout Schedule + Budget
8.06
Submission
8.07 Logo easy guide
9.0 Corporate Communications PR
9.01 Audit of Target historical PR
Determine Internal Comms program and
9.02
rhythm
10.0 Call Center
Understand process of appointment
10.01
setting
Call Center email and autoreponse
10.02
emails
11.0 Customer
Audit (pre and post) customer
11.01
communications and flow
Education about Acquirer/Target
11.02
customer touchpoints
11.03 Customer Newsletter integration
Execution plan for email and collateral
11.04
development
11.05 Customer website
11.06 Referral Programs
12.0 Acquirer Website + Digital Properties
12.01 Audit of online properties
12.02 Re-map of Target website to Acquirer
Facebook bridge and optimization
12.03
strategy
12.04 Yelp-Bridge and optimization strategy
Angie's List-Bridge and optimization
12.05
strategy
Resolve duplicative Marketo--dependent
12.06 on Salesforce and a new Marketo
contract
Google map --claiming locations as
12.07
Acquirer
13.0 Small Commercial
13.01 Understanding rules of engagement
13.02 Change phone tree messaging
13.03 Produce Proposal/Pitch needs
13.04 Web-to-lead landing page into SFDC
14.0 Marketing Org Structure and Processes
14.01 Acquisition Director and Team in place
Explain Marketing project management
14.02 process and creative development to
Target
14.03 How legal approval works
14.04 Roles of team and who owns what
14.05 How does the Acquirer store work?
14.06 All employee Brand Education
14.07 Employee Referral Bonus
 Sales

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 Overall / Sales Ops
Document combined org ("acting" roles
1.01
prior to HR roll-out)
Sales Operations evaluation (team,
1.02
roles/coverage, etc.)
1.03 Centralize definitions
Centralized reporting (preliminary
1.04
operating plan & management reporting)
1.05 Centralized planning/forecasting
1.06 New incentive comp
1.07 Common sales proposal
1.08 Long term org (roles and responsibilities)
Discovery of current and future active
1.09
markets
1.10 Define combined market/operating plan
Rollout combined Market Plan + rep
1.11 specialization/alignment to specific
markets
1.12 Compensation Alignment
2.0 Acquisition marketing
2.01 Short term lead triage
Align combined org ("acting" roles prior
2.02
to HR roll-out)
Discovery of business processes, best
2.03
practices, and metrics
Assessment of high growth initiatives
2.04 (field, digital, referrals, self gen, affiliate
mktg)
Develop strategy for non-competitive
2.05
lead sources
2.06 Evaluate lead sources/uses/effectiveness
2.07 Combined lead mix plan
2.08 Combined lead scoring plan
2.09 Combined lead nurturing plan
2.10 Combined customer referral plan
Evaluation of common technology
2.11
platforms (e.g., Marketo)
2.12 Combined budget
2.13 Discovery of budgets
Understand SFDC lead and opportunity
2.14
detail
3.0 Inside Sales
Identify key team members and
3.01
stakeholders
Document combined org ("acting" roles
3.02
prior to HR roll-out)
 Discovery of team structure,
3.03 budgets/plans, business processes,
metrics, tech tools
3.04 Map sales processes
Define best practice sales process (steps
3.05
to a sale)
Evaluation of common technology
3.06
platforms (e.g., phone systems)
Develop and execute upon referral talk
3.07
track as part of sales process
4.0 Retail Sales
Document combined org ("acting" roles
4.01
prior to HR roll-out)
Discovery of budgets/plans, business
4.02
processes, metrics, tech tools
4.03 Web to lead portal
4.04 Evaluate product & pricing for retail
4.06 Retail POS technology pilot
4.07 Retail POS technology broad go-live
4.08 Brand go-live in store
4.09 In-store collateral
Evaluation of common technology
4.10
platforms (e.g., scheduling software)
Retail Partner - Identify key stakeholders
4.12
and business owners
Retail Partner - Account management
4.13
structure
Retail Partner - Engagement and
4.14
evaluation
Retail Partner - Acceleration and market-
4.15
by-market planning
Retail Partner - Product and pricing
4.16
discovery
Retail Partner - Product and pricing
4.18
optimization

4.19 Retail Partner - Evaluate new markets

Retail Partner - Execution of quick

4.20
wins/strategic initiatives
4.21 Retail Partner - kiosk discussion
Retail Partner - Refreshed strategy
4.22
through year end
4.24 Retail Partner - Launch new markets
5.0 Field Marketing

5.01 Document combined org ("acting" roles

prior to HR roll-out)

Discovery of team structure,

5.02 budgets/plans, business processes,
metrics, tech tools

Short term field marketing/canvassing

5.03 recruiting plan in light of rules of
engagement
5.04 Identify field marketing recruitment gaps
by geo

Assess payroll processes and

5.05 streamline / integrate as necessary
(internal and/or 3rd party staffing
company)

Long term combined field

5.06 marketing/canvassing recruiting plan
(e.g., referrals)

5.07 Evaluation of common technology

platforms (e.g., scheduling tool)

5.08 Develop and execute upon referral talk

track as part of sales process
6.0 Training

6.01 Define combined org (roles &

responsibilities)

Full sales/profitability/project finance

6.02 training for combined sales management
team

6.03 Evaluate existing training materials and

capabilities
6.04 Evaluation of e-learning platform

6.05 Implement comprehensive training

programs
7.0 Channel

7.01 Define short term rules of engagement

(channel)
7.02 Define long term rules of engagement
7.03 Create the revised code of conduct

7.04 Launch short term rules of engagement

(channel)
7.05 Implement revised code of conduct
8.0 Tech

8.01 First pass tech integration business

requirements

8.02 Assess external consultants - SFDC

Consultant

8.03 Deliver business analysis/needs for

common phone system
8.04 Implement common phone system
8.05 SFDC data integration/migration

8.06 Long-term ownership/management of

technology platforms

8.07 Propose short and long term lead routing

strategy
8.08 Implement short term lead routing
8.09 Define interim lead routing rules
8.10 Implement interium lead routing routing
Deliver Business Requirements
8.11 Document
 Operations

Applicable Critical
Task# Task Description or Question Notes
Yes / N/A Yes / No
1.0 People / Team / Culture
Branch onboarding and field employee
1.01
experience
Initiate team building activities (i.e.
1.02
virtual lunch-and-learns)
Identify and recommend any changes to
1.03
reporting structures

Create an Operations Working Group to

evaluate and implement new operational
1.04
requests (specific focus on process
mapping)

2.0 Operations Process Mapping

Set up process/org discovery exchange
2.01
sessions

General: ensure all stakholders

3.0 are aligned on a shared
operations process map
Gather existing process maps from
3.01
respective organizations

Establish Cadence for Ops-Sales

Communication To Gather Feedback and
3.02
Requirements (i.e. what does sales need
in the first [30] days?)

Host a 1-day "deep dive" working session

3.03 to integrate content into a shared, new
process map
Test new process map by communicating
3.04
to all parties
Identify and recommend "quick wins" for
3.05
the integration effort
Set up meeting with IT/Technology to
3.06 preview our checklist and the technology
dependencies
Understand any requirements from Sales
3.07
Track

Generate Proposal: optimize

4.0 process for direct and channel
business
Define impacted stakeholders and their
4.01
requirements
Define existing process (includes onsite,
4.02
pre-sale engineering)
Define recommended process to support
4.03
direct business
4.04 Define integration recommendations
4.05 Define optimization plan

Customer Signed Contract ->

Approved Contract: optimize
5.0
process for direct and channel
business
 Define impacted stakeholders and their
5.01
requirements
Define existing process (includes handoff
5.02 of sales design to ops team, includes
credit)
Define recommended process to support
5.03
direct business
5.04 Define integration recommendations
5.05 Define optimization plan

Approved Contract -> Approved

6.0 to Build: optimize process for
direct and channel business
Define impacted stakeholders and their
6.01
requirements
6.02 Define existing process
Define recommended process to support
6.03
direct business
6.04 Define integration recommendations
6.05 Define optimization plan

Approved to Build -> Installation

7.0 Begins: optimize process for
direct and channel business
Define impacted stakeholders and their
7.01
requirements
7.02 Define existing process
Define recommended process to support
7.03
direct business
7.04 Define integration recommendations
7.05 Define optimization plan

Installation Begins -> Final

8.0 Completion: optimize process for
direct and channel business
Define impacted stakeholders and their
8.01
requirements
8.02 Define existing process
Define recommended process to support
8.03
direct business
8.04 Define integration recommendations
8.05 Define optimization plan
9.0 Data & Reporting
Data & Reporting: single source of truth
9.01
for data and shared/consistent reporting
Shared CRM and ERP databases of all
9.02 customer/contract/system info -- define
requirements and deliver to IT
Consolidate KPIs into shared Operations
9.03
dashboard
10.0 Design & Build Quality
Define design standards (make sure they
10.01
are consistent)
10.02 Define installation standards
10.03 QA program design
10.04 Technical training
11.0 Field Service
11.01 Identify opportunities
11.02 Make a plan
12.0 Customer Care
12.01 Identify opportunities
12.02 Make a plan
12.03 Implement Org Change