PAGEPAGE1DUEDILIGENCEDOCUMENTSCHECKLIST盡職調(diào)查文件清單Inorderfortheandtoconducttheduediligencereviewregardingaproposedtransactionbetweenand,wewillneedtoreceivecertaininformationanddocumentationfromwithrespecttothebusiness,assetsandoperationsoffollowingentities:為便于和就有關(guān)與的交易進(jìn)行盡職調(diào)查，請(qǐng)?zhí)峁┫铝衅髽I(yè)關(guān)于業(yè)務(wù)、資產(chǎn)和經(jīng)營(yíng)方面的信息和文件：[][][](Eacha“Company”andcollectivelythe“Companies”)(單獨(dú)或合稱(chēng)為“公司”)IftheCompanyhasanysub-entitywithindependentlegalpersonstatus(“Subsidiary”),theSubsidiaryshouldberegardedasanother“Company”andshouldseparatelyprovideanswersandallrelevantdocumentsinrelationtotheitemsindicatedinthisDocumentsChecklist.若公司有任何具有獨(dú)立法人地位的下屬機(jī)構(gòu)(“子公司”)，該子公司應(yīng)視為另一個(gè)“公司”并另行按本文件清單所列事項(xiàng)提供答復(fù)及所有有關(guān)文件。Toexpeditetheduediligenceprocess,wehavecompiledthefollowingoutlinewhichliststhedocumentationandinformationthatwewillneedtoreview(setforthinnoparticularorder).為了加快盡職調(diào)查的進(jìn)程，我們準(zhǔn)備了下列提綱列明所需要審閱的文件和信息(排序不分先后)。Asourduediligenceprogresses,additionaldocumentsandinformationmayberequested.Wewouldappreciatereceivingyourpreliminaryresponseassoonaspossible.隨著我們盡職調(diào)查的進(jìn)行，可能需要貴司進(jìn)一步提供文件和信息，我們希望貴司能盡快提供初步反饋。

Item

文件名稱(chēng)PreviouslyProvided

(withthenameandReferenceNumberListed)

已提供(列明文件名稱(chēng)及文號(hào))Note備注

(TobeProvided/N/A)

(待提供/不適用)PartI CorporateStructureandShareholdingofeachCompany第一部分公司的組織結(jié)構(gòu)和持股情況ArticlesofAssociationandJointVentureContract(ifany)andanyamendments/revisionsthereto.公司章程和合資合同(如有)及其任何補(bǔ)充/修訂。ApprovalletterfortheArticlesofAssociationandJointVentureContract(ifany)andanyupdatesthereto.公司章程和合資合同的批復(fù)(如有)及其任何更新。Approvalcertificateforestablishmentofforeigninvestedcompanyandanyupdatesthereto.外商投資企業(yè)批準(zhǔn)證書(shū)及其任何更新。ProjectProposalandFeasibilityStudyReport(ifany).項(xiàng)目建議書(shū)及可行性研究報(bào)告(如有)。Projectverificationletter.項(xiàng)目核準(zhǔn)函。BusinessLicenseandanyupdatesthereto.營(yíng)業(yè)執(zhí)照及其任何更新。Detailsofanyincreasesofcapital,reductionsofcapitalorothercapitalreorganizationsinvolvingthecompanythatmayhaveoccurredsincetheirrespectivedatesofincorporation.公司從合法注冊(cè)之日至今一切增資、減資及資產(chǎn)重組的情況。Alltheapprovals,opinions,agreements,contractsandotherdocumentswithrespecttothereorganization,recapitalization,andchangesofcorporatestructureandshareholdingofthecompany.任何有關(guān)改制、重組以及公司結(jié)構(gòu)和股權(quán)變更的批復(fù)、意見(jiàn)、協(xié)議、合同和其他文件。Ifapplicable,namesandaddressesofalldirectorsandlegalrepresentatives(ifrelevant)ofthecompany,statingtitleandanyotherdirectorshipsheld.公司董事及法定代表人(如有)名單、地址、職務(wù)及是否還擔(dān)任其他公司董事(如適用)。Allassetvaluationreportsinrelationtothecompany.與公司有關(guān)的所有資產(chǎn)評(píng)估報(bào)告。AnnualinspectionreportofSAICofthepastthreeyears(ifany).最近三年的工商年檢報(bào)告(如有)。Minutes/resolutionsofmeetingsoftheboardofdirectors,boardofsupervisorsandshareholdersforthelastthreeyears.過(guò)去三年的董事會(huì)、監(jiān)事會(huì)和股東會(huì)的決議及記錄。Pleasealsoprovideorconfirmthefollowing:請(qǐng)?zhí)峁┗虼_認(rèn)以下信息：Alistofallshareoptions,sharepledges,warrantsorsimilararrangementsaffectingthesharesofthecompany.影響公司股權(quán)的所有股票期權(quán)、質(zhì)押、認(rèn)股權(quán)證或類(lèi)似的安排清單;Arethereanyshareholdersagreementsrelatingtothecompanyoranyotheragreementsamongshareholdersand/orthirdpartiesrelatingtothevoting,disposaloracquisitionofsharesorsecuritiesofsuchcompany是否存在關(guān)于其他公司的股東間協(xié)議或關(guān)于股東之間和/或與第三方之間的任何與其他公司的股票或其他證券的投票權(quán),處置權(quán)或取得有關(guān)的協(xié)議?Corporateownershipchartofthecompanyandtheiraffiliates;and公司和其關(guān)聯(lián)方的股權(quán)結(jié)構(gòu)圖;以及Operationalstructurechartofthecompanyandtheiraffiliates.公司和其關(guān)聯(lián)方的組織結(jié)構(gòu)圖。PartII FinancialStatusofeachCompany第二部分公司的財(cái)務(wù)狀況Copiesofcurrentfinancialstatements,managementaccounts(ifany)andauditedfinancialreportsofthepastthreeyearsofthecompanyandasawhole(ifconsolidated).Forcompany,copiesofcapitalverification(驗(yàn)資報(bào)告),reports,certificatesandotherdocumentsconfirmingthetiming,formandvaluationofallcontributionstotheregisteredcapitalofcompany.公司現(xiàn)有的財(cái)務(wù)報(bào)表、管理賬戶(hù)(如有)、合并報(bào)表(如有)及最近三年經(jīng)審計(jì)的財(cái)務(wù)報(bào)告,任何證明公司注冊(cè)資本的出資時(shí)間。出資形式及出資價(jià)值的驗(yàn)資報(bào)告、證明或其他文件。Ascheduleofallindebtednessowedbythecompany,detailsofanyborrowingsorotheramountscurrentlyoutstandingtothebankersofthecompany,anddetailsofanyproposeddischargeofsuchindebtedness.公司負(fù)債的全部狀況,包括目前對(duì)銀行所有尚未還清的借款或其他欠款的數(shù)量以及詳細(xì)情況,以及任何對(duì)該等負(fù)債的償還計(jì)劃。Detailsofallloansmadetoorbythecompany,includingallloansandindebtednesstodirectors,officers,employeesorshareholdersofanyofthecompanyoranyotherCompaniesinwhichanysuchdirector,employeeorshareholderisinterested.有關(guān)公司間貸款的詳細(xì)情況,包括與董事、管理人員、員工或股東之間的貸款和負(fù)債情況或與該等董事、管理人員、員工或股東利益相關(guān)的公司之間的貸款和負(fù)債情況。Alloutstandingmortgages,charges(whetherregisteredornot)andothersecurityarrangementsanddocumentsrelatingtooraffectingthecompany.所有現(xiàn)存的與公司有關(guān)的或影響公司的抵押、質(zhì)押(不論是否登記)或其他擔(dān)保安排。Detailsandcopiesofallguarantees,indemnitiesandothercontingentobligations(a)givenbythecompanyinrelationtotheobligationsofanyotherpersonand(b)givenbyanyotherpersoninrespectoftheobligationsofanyofthecompany.所有有關(guān)保證,補(bǔ)償或其他或有負(fù)債的詳細(xì)情況及復(fù)印件,包括(a)公司對(duì)其他任何人士做出的該等安排;(b)或其他任何人士對(duì)公司做出的該等安排。Allhirepurchaseorinstalmentpurchaseagreements,financeleases,lettersofcredit,performanceandotherbonds,detailsofadvancedepositpaymentsformaterialsandsimilardocumentsinvolvingorrelatingtothecompany,oraconfirmationthatthecompanyhavenotenteredintoanysucharrangements.所有分期付款采購(gòu)協(xié)定、財(cái)務(wù)租賃、信用證、履約保函或者其他保函、預(yù)付款和/或類(lèi)似安排的詳/情況,或者公司出具確認(rèn)書(shū)確認(rèn)不存在上述情況。Detailsoffactoring,off-balancesheetorotherunusualfinancingarrangementsandcopiesofrelateddocumentation.有關(guān)應(yīng)收款銀行買(mǎi)斷、表外融資或者其他特殊融資安排的詳細(xì)情況及相關(guān)文件復(fù)印件。Detailsofallcontingentliabilitiesandcommitmentsnotrecordedinthebooksofthecompany.或有負(fù)債,或者其他沒(méi)有記入公司報(bào)表的付款承諾的詳細(xì)情況。Listofdebtorsmorethanthreemonthsoldanddetailsofstandarddiscountandcredittermsandcreditorcollectionpolicies.超過(guò)三個(gè)月的債務(wù)人名單、標(biāo)準(zhǔn)銷(xiāo)售折扣、應(yīng)收款期、以及其他授信和收款政策。Financialprojectionsforeachofthecompanyforthenextfiveyears.公司未來(lái)五年的財(cái)務(wù)預(yù)測(cè)。Describeindetailthedividendpolicyofthecompany.請(qǐng)?jiān)敿?xì)描述公司的股利政策。PartIII GovernmentRegulationregardingeachCompany第三部分有關(guān)公司的政府文件Copiesofalllicenses,permitsorotherauthorizationsissuedtothecompanybyanygovernmentagencyandofanyrelatedagreementsandmaterialcorrespondence,andwithrespecttothecompany,copiesofthefollowing:以下和公司相關(guān)的所有執(zhí)照、許可或其他由任何政府機(jī)構(gòu)或相關(guān)合同和重要信件賦予公司的授權(quán)的復(fù)印件：LocalTaxRegistrationCertificate;地稅登記證;StateTaxRegistrationCertificate;國(guó)稅登記證;FinanceRegistrationCertificate;財(cái)政登記證;ForeignExchangeCertificate;外匯登記證;CustomsRegistrationCertificate(ifany);海關(guān)登記證(如有);EnterpriseLegalPersonCodeCertificate;組織機(jī)構(gòu)代碼證;LicenseforOpenAccount;開(kāi)戶(hù)許可證;LoanCard;貸款卡;ForeignDebtRegistrationCertificate(ifany);外債登記證(如有);SocialSecurityRegistrationCertificate;社保登記證;StatisticsRegistrationCertificate;統(tǒng)計(jì)登記證;State-ownedAssetsRegistrationCertificate(ifany);國(guó)有資產(chǎn)產(chǎn)權(quán)登記證(如有);PlanningPermitforUseofConstruction建設(shè)用地規(guī)劃許可證;Constructionplanningpermit;建設(shè)工程規(guī)劃許可證;Constructionpermit;建筑工程施工許可證;Reportofacceptanceofconstruction;竣工驗(yàn)收?qǐng)?bào)告;Detailsofanyfilingsrelatingtoacceptanceofconstructionwithrelevantauthorityandcopiesofrelatedcorrespondence;在相關(guān)機(jī)構(gòu)的竣工驗(yàn)收備案及相應(yīng)往來(lái)的復(fù)印件;LicenseforOperatingDistributionofMovies;電影發(fā)行經(jīng)營(yíng)許可證；LicenseforOperatingProjectionofMovies;電影放映經(jīng)營(yíng)許可證；CertificateofProjectionEquipmentforDigitalMovie;and數(shù)字電影放映設(shè)備技術(shù)合格證；以及Anyotheroperatinglicense(s),permit(s)andconsent(s)issuedbyPRCauthoritiestothecompanywithrespecttoitsoperation.所有中國(guó)政府頒發(fā)給公司的和其經(jīng)營(yíng)相關(guān)的其他經(jīng)營(yíng)證書(shū)、許可和同意。Copiesofanyreports,noticesorcorrespondencerelatingtoanyallegedviolationorinfringementbythecompanyofanygovernmentregulation,license,permitorotherauthorization.如果公司曾經(jīng)違反任何中國(guó)的法律法規(guī)、執(zhí)照、許可或者其他授權(quán)，請(qǐng)?zhí)峁┯嘘P(guān)報(bào)告，通知或回應(yīng)的復(fù)印件。PartIV TaxationregardingeachCompany第四部分稅務(wù)Detailsofanytaxclearancesorrulingsobtainedwithinthelast3yearsandcopiesofanytaxindemnitiestakenorgiven.過(guò)去三年中一切有關(guān)稅務(wù)的支付、裁決的詳細(xì)情況以及得到或支付的稅務(wù)補(bǔ)償?shù)膹?fù)印件。Detailsoftaxconcessions,holidaysandincentivesgrantedtothecompany.公司一切稅務(wù)優(yōu)惠、減免、鼓勵(lì)的詳細(xì)情況。Detailsofanydisputeswith,orinvestigationsby,anyfiscalauthorityandofanydisagreedassessmentsorarrangementsorproposedarrangementsforthesettlementofanyarrears,andcopiesofrelevantcorrespondence.與任何財(cái)稅機(jī)關(guān)的有關(guān)稅務(wù)的爭(zhēng)議或者調(diào)查,任何對(duì)于稅務(wù)評(píng)估或安排或計(jì)劃安排的不服及隨后的解決方案,以及相關(guān)回應(yīng)的復(fù)印件。Detailsandcopiesofanypenalties,finesorinterestchargesimposedinrelationtoanytaxes.一切有關(guān)稅務(wù)的罰款、罰金或罰息的詳細(xì)情況和復(fù)印件。PartV PropertyofeachCompany第五部分公司的財(cái)產(chǎn)Detailsofanyownedorleasedproperties.任何有關(guān)自有或租賃財(cái)產(chǎn)的詳細(xì)情況。Foreachparceloflandusedbythecompany,pleaseprovidethefollowinginformationanddocuments:對(duì)于公司使用的每一塊土地,請(qǐng)?zhí)峁┫铝行畔⒑臀募簂andusecertificate;土地使用權(quán)證書(shū);landgrantcontractorleasecontract(ifany);土地使用權(quán)出讓合同或土地租約(如有);temporarylicensestoinstallandrepairplants(ifany);安裝或維修廠房設(shè)備的臨時(shí)性證書(shū)(如有);evidenceofpaymentofalllandgrantpremiums,taxesandfeeswithrespecttotheland;and土地出讓金付款證明,相關(guān)的稅收和費(fèi)用支付證明;以及l(fā)istofallmortgagesovertheland,togetherwithcopiesofallcontracts,documentsandregistrationcertificatesrelatingtosuchmortgage(includingthemortgagecontracts,loancontracts,mortgageregistrationcertificates,etc.)土地抵押情況清單,包括與該抵押相關(guān)的有關(guān)合同,文件和登記證書(shū)的復(fù)印件(包括抵押合同,貸款合同,抵押登記證明等)。Foreachbuildingownedorleasedbythecompany,pleaseprovidethefollowinginformationanddocuments:對(duì)于任何公司自有或租賃的房產(chǎn),請(qǐng)?zhí)峁┫铝行畔⒑拖嚓P(guān)文件：listofrentedorleasedbuilding,andtheirrelatedagreementsandtherelevantpermitsandregistrations;租用或租賃房產(chǎn)的清單、相關(guān)合同及租賃許可或登記文件;buildingownershipcertificate;房產(chǎn)證;evidenceofpaymentofalltaxesandfeeswithrespecttothebuilding;and與房產(chǎn)相關(guān)的支付相關(guān)稅收和費(fèi)用的證明;以及l(fā)istofallmortgagesoverthebuilding(includingtheofficeproperties),togetherwithcopiesofallcontractsanddocumentsrelatingtosuchmortgages(includingthemortgagecontracts,loancontractsandmortgageregistrationcertificates,etc.).房屋(包括辦公物業(yè))抵押情況清單,以及與該抵押相關(guān)的合同和文件(包括抵押合同、貸款合同以及抵押登記證明等)。Listofanysecurityovertheassetsorrightsofthecompanyandtheguaranteeprovidedbythecompanytogetherwithcopiesofallcontractsanddocumentsrelatingtosuchsecurityandguaranteetotheextentnotprovidedabove.公司所有的資產(chǎn)或權(quán)利所設(shè)的擔(dān)保和公司提供的保證的清單,以及和上述擔(dān)保和保證相關(guān)且之前未提供的所有合同和文件的復(fù)印件。PartVI BusinessandOperationalMattersofeachCompany第六部分公司的業(yè)務(wù)和運(yùn)營(yíng)Confirmation(andevidencethereof)thateachofthecompanyhasalllicensesandpermitsnecessarytocarryonitsbusiness.公司確認(rèn)并證明所有和公司運(yùn)營(yíng)有關(guān)的執(zhí)照和許可都已經(jīng)獲得。Ascheduleofallmaterialplant,machineryandequipment,motorvehiclesandothertangibleassetsusedbythecompany,indicatingtheownershipandnaturethereofandthematerialtermsofanyfinanceleaseorsecurityagreementpursuantorsubjecttowhichthesamemaybeleasedorowned.顯示所有的工廠，機(jī)器，設(shè)備，汽車(chē)和其他有形資產(chǎn)的所有權(quán)，金融租賃或設(shè)置擔(dān)保權(quán)益的實(shí)質(zhì)條款清單。Detailsofallfines,penaltiesorotherbreachesoflegislationorregulationsandcopiesofrelatedcorrespondence.所有罰款，處罰或其他違反法律，法規(guī)的細(xì)節(jié)及相應(yīng)往來(lái)的復(fù)印件。Detailsofanycomplaints,filingsorreportsrelatingtoanti-competitivepractices,anti-trust,pricing,marketingorotherpracticesandcopiesofrelatedcorrespondence.任何有關(guān)反不當(dāng)競(jìng)爭(zhēng)，反壟斷，不當(dāng)價(jià)格或市場(chǎng)其他的投訴，備案或報(bào)告的復(fù)印件或相應(yīng)往來(lái)的復(fù)印件。Copiesoftheoperationalmanualsforfinanceprocedures,construction/procurementproceduresandoperationandmaintenanceprocedures.財(cái)務(wù)流程，工程流程，采購(gòu)流程及運(yùn)營(yíng)和維護(hù)流程的操作運(yùn)營(yíng)手冊(cè)。PartVII ContractsregardingeachCompany–General第七部分有關(guān)公司的合同-概況CopiesofallcontractstowhichanyoftheCompaniesisorwasapartyrelatingtoacquisitionorsaleofsharesorbusinesses(includinganyacquisitionofsharesinthecompany),jointventures,partnershipsorinvestmentsinotherentities,orreorganizations.公司作為或曾作為收購(gòu)、股票銷(xiāo)售、商業(yè)(包括公司內(nèi)的任何股票收購(gòu))，合資，合伙、投資其他實(shí)體或重組合同的一方的所有合同的復(fù)印件。Copiesofalllicense,distribution,franchise,agency,researchanddevelopment,marketing,consultingandmanagementcontracts.所有許可協(xié)議、銷(xiāo)售協(xié)議、特許或?qū)I(yíng)協(xié)議，委托代理協(xié)議及開(kāi)發(fā)協(xié)議，市場(chǎng)營(yíng)銷(xiāo)協(xié)議，咨詢(xún)顧問(wèn)協(xié)議及管理協(xié)議的復(fù)印件。Copiesofallcontractstowhichanyofthecompaniesisorwasapartyrelatingtorawmaterialsupply/productsales.公司作為或曾作為原材料供應(yīng)/產(chǎn)品銷(xiāo)售合同一方的所有合同的復(fù)印件。CopiesofallcontractstowhichanyoftheCompaniesisorwasapartyrelatingtoengineering,procurementandconstruction.公司作為或曾作為設(shè)計(jì)采購(gòu)施工合同一方的所有合同的復(fù)印件。Copiesofkeyprojectcontractsandallothercontractsmaterialtothebusinessofanyofthecompany.重大的項(xiàng)目合同和對(duì)公司的業(yè)務(wù)有重大影響的其他合同的復(fù)印件。Detailsofbreachesofanycontracts.任何違反合同的詳細(xì)情況。Copiesofallcontracts:所有下述合同：containinglong-term,unusualoronerousprovisions;含有長(zhǎng)期，非普通或有法律責(zé)任條款;containingexclusivityornoncompetitionprovisions;含有獨(dú)家或禁止競(jìng)爭(zhēng)條款;wherechangeofownershipcouldgivegroundsforterminationorisotherwiserelevant.所有權(quán)變化能帶來(lái)協(xié)議終止或其他相關(guān)。Contractswithdirectorsorofficersofthecompanyorthevendororwithanyaffiliateofthevendororofanysuchpersonnotbeingacquired.與公司董事，公司的任何管理人員，供應(yīng)商，供應(yīng)商的任何關(guān)聯(lián)企業(yè)或其他方的合同。PartVIII LegalProceedings,DisputesandInvestigationsregardingeachCompany第八部分有關(guān)公司的法律程序、糾紛和調(diào)查Detailsofallpendingorthreatenedlitigation,arbitrationproceedings,orgovernmentalinvestigationsandproceedings(domesticorforeign),includingparties,damagesandotherremediessought,natureofaction,detailsofanyactualorpotentialbreachesofcontractorinfringementofrightsbythecompany.任何現(xiàn)實(shí)或者潛在的(國(guó)內(nèi)與國(guó)外的)訴訟,仲裁或政府調(diào)查的詳細(xì)情況,包括當(dāng)事方,損失和其他賠償,行為的性質(zhì),公司任何實(shí)際或潛在的違反合同或侵權(quán)的詳細(xì)情況。PartIX InsurancePoliciesofeachCompany第九部分公司的保險(xiǎn)Provideadescriptionofallinsurancepoliciesashavebeentakenoutbythecompanyasarerequiredbylaw.請(qǐng)?zhí)峁┮环莨举?gòu)買(mǎi)的全部保險(xiǎn)以及根據(jù)法律要求公司購(gòu)買(mǎi)的全部保險(xiǎn)的詳細(xì)說(shuō)明。PartX EnvironmentalMattersregardingeachCompany第十部分有關(guān)公司的環(huán)境事宜Copiesofenvironmentalimpactassessmentreportandallpermitsrelatingtoenvironmentalmatters(includingbutnotlimitedtoenvironmentalimpactassessmentreport,approvalforenvironmentalimpactassessmentandevidenceofprojectenvironmentalprotectionacceptance).環(huán)境影響評(píng)估報(bào)告和有關(guān)環(huán)保的一切許可的復(fù)印件(包括但不限于環(huán)境影響評(píng)估報(bào)告、環(huán)境影響評(píng)估報(bào)告的批復(fù)及項(xiàng)目竣工環(huán)境保護(hù)驗(yàn)收的證明)。Allnotices,complaints,suitsorsimilardocumentssentto,receivedbyorserveduponanyofthecompanybyanygovernmental,departmentofenvironmentalregulationoranysimilargovernmental,regulatorybody,authorityoragency.任何政府執(zhí)法機(jī)關(guān),環(huán)保執(zhí)法機(jī)關(guān)或類(lèi)似政府機(jī)構(gòu),監(jiān)管機(jī)構(gòu)或代表機(jī)構(gòu)對(duì)公司發(fā)出的或者為公司發(fā)出的所有通知,投訴,訴訟或者其他類(lèi)似文件。Detailsofanyinfringementofanyenvironmentallaws.任何違反任何環(huán)境法律法規(guī)的詳細(xì)情況。Detailsofanyexistingenvironmentalmanagementsystemormonitoringsystemimplementingenvironmentalcontrolsatthecompany.公司任何現(xiàn)有的實(shí)施環(huán)境控制的環(huán)境管理系統(tǒng)或檢測(cè)系統(tǒng)的詳細(xì)情況。PartXI EmploymentMattersregardingeachCompany第十一部分有關(guān)公司的勞動(dòng)人事事宜Examplesofstandard-for