DocumentationRequestListforLegalDueDiligence盡職調(diào)查文獻(xiàn)清單Instructions指導(dǎo)ThisDocumentsRequestList(the“Request”)hasbeenpreparedforthepurposeofconductinglegalduediligenceon[X](the“Company”).SubsidiariesoftheCompanywithanindependentlegalpersonstatusarenotincludedintheRequest.Ifnecessary,aseparaterequestforthesubsidiarymaybeprovided.Branches,departments,officesandotherentitiesoftheCompanywithoutanindependentlegalpersonstatusareincludedintheRequest.Documentsaskedforimpliescopiesofsuchdocuments,unlessotherwisespecified.Foreachitembelow,itshouldbeassumedthatalldocumentsthatsatisfythecriteriastatedarerequested,eventhough“all”maynotbeexplicitlystated.Foreachitembelow,ifallrelevantdocumentshavebeenprovided,pleasechecktheboxtotherighttoindicatethattheitemofrequesthasbeensatisfied.Ifinformationormaterialsaskedforis:(i)notapplicabletotheCompany,(ii)applicable,butnotexpectedtobeavailable,or(iii)willbeprovidedatalaterdate,pleaseprovideaseparateresponseorexplanationasappropriate.If,priortotheclosingofthetransaction,anyeventoccursoryouobtainanyadditionalfactsthathaveamaterialeffectontheinformationprovidedinresponsetotheRequest,pleaseinformusimmediately.“Officialdocuments”referstoapprovals,certificates,licenses,contracts,formalapplications,etc.Agovernmentauthorityincludesitslocalorsubordinateorgans.“Recent”or“recentyears”meansthepast[X]years,unlessotherwisespecified.“Materialamount”refersto[￥X].“Affiliate”refersto:TheparentcompanyoftheCompany;ThesubsidiariesoftheCompany;OthercompaniesunderthecontrolofasameparentcompanyoftheCompany;TheinvestorshavingjointcontrolovertheCompany;TheinvestorshavingsignificantinfluenceontheCompany;ThejointventuresoftheCompany;TheassociatedcompaniesoftheCompany;Theprincipalindividualinvestorsandtheclosefamilymembersofsuchindividuals.“Principalindividualinvestors”referstoanindividualinvestorwhocancontrolorjointlycontrolacompany,orhassignificantinfluenceonacompany;ThekeymanagersoftheCompanyorofitsparentcompanyandtheirclosefamilymembers.“Keymanagers”refertothemanagerswhohavetheauthorityandresponsibilityforplanning,directingandcontrollingtheactivitiesoftheCompany.Theclosefamilymembersofaprincipalindividualinvestororofakeymanagerrefertothefamilymemberswhomayinfluence,orbeinfluencedby,thatindividualindealingwithtransactionswiththeCompany.Othercompanieswhicharecontrolledorjointlycontrolledbytheprincipalindividualinvestors,orkeymanagers,ortheclosefamilymembersofsuchindividuals,oronwhichtheprincipalindividualinvestors,orkeymanagers,ortheclosefamilymembersofsuchindividualshavesignificantinfluence.本盡職調(diào)查文獻(xiàn)清單（“清單”）是為對(duì)【X】（“公司”）進(jìn)行法律盡職調(diào)查而準(zhǔn)備。公司含有獨(dú)立法人資格的子公司的有關(guān)文獻(xiàn)并不在本清單之列。如有必要，我們將為子公司準(zhǔn)備單獨(dú)的盡職調(diào)查文獻(xiàn)清單。對(duì)公司不含有獨(dú)立法人資格的分支機(jī)構(gòu)應(yīng)提供文獻(xiàn)的有關(guān)規(guī)定已包含于本清單中。除非另有闡明，本清單中所規(guī)定文獻(xiàn)均為復(fù)印件。對(duì)下列每一項(xiàng)，盡管并非每一項(xiàng)都明確標(biāo)明提供“全部”文獻(xiàn)，但應(yīng)假設(shè)全部滿足本清單中所設(shè)定原則的文獻(xiàn)均應(yīng)提供。對(duì)于下列每一項(xiàng)，如果全部有關(guān)文獻(xiàn)均已提供，請(qǐng)?jiān)谟覀?cè)方框中打勾表明該項(xiàng)文獻(xiàn)已提供完畢。如果所規(guī)定提供的信息或資料（i）并不合用于公司，（ii）合用于公司，但在本次調(diào)查中不可提供，或（iii）需要稍晚提供，請(qǐng)向我們提供一份單獨(dú)的回復(fù)或做必要闡明。如果在交易結(jié)束前，發(fā)生了任何事件或您獲得任何額外的信息，且該等事件或信息會(huì)對(duì)您根據(jù)本清單回復(fù)的文獻(xiàn)信息產(chǎn)生影響，請(qǐng)立刻告知我們?！肮俜轿墨I(xiàn)”指同意、證書、許可、合同、正式申請(qǐng)等。政府部門涉及其地方派出機(jī)構(gòu)或下屬機(jī)構(gòu)?！敖鼇怼被颉敖辍敝高^去【X】年，除非另有闡明?！爸卮髷?shù)額”指【￥X】。“關(guān)聯(lián)方”指：（一）公司的母公司。

（二）公司的子公司。

（三）與公司受同一母公司控制的其它公司。

（四）對(duì)公司實(shí)施共同控制的投資方。

（五）對(duì)公司施加重大影響的投資方。

（六）公司的合營公司。

（七）公司的聯(lián)營公司。

（八）公司的重要投資者個(gè)人及與其關(guān)系親密的家庭組員。重要投資者個(gè)人，是指能夠控制、共同控制一種公司或者對(duì)一種公司施加重大影響的個(gè)人投資者。

（九）公司或其母公司的核心管理人員及與其關(guān)系親密的家庭組員。核心管理人員，是指有權(quán)力并負(fù)責(zé)計(jì)劃、指揮和控制公司活動(dòng)的人員。與重要投資者個(gè)人或核心管理人員關(guān)系親密的家庭組員，是指在解決與公司的交易時(shí)可能影響該個(gè)人或受該個(gè)人影響的家庭組員。

（十）該公司重要投資者個(gè)人、核心管理人員或與其關(guān)系親密的家庭組員控制、共同控制或施加重大影響的其它公司。Practitioner’sNotesPractitioner’sNotes/提示Thisdocumentrequestlistisadaptedforprivately-ownedlimitedcompaniesinthePRC.However,appropriaterevisionsshouldbemadeforeachtargetcompany.

本盡職調(diào)查文獻(xiàn)清單合用于中國的私營有限責(zé)任公司。但是，針對(duì)每一種目的公司進(jìn)行調(diào)查時(shí)應(yīng)當(dāng)對(duì)清單做出適宜的調(diào)節(jié)。Forexample,itshouldnotbeusedwithoutsubstantialrevisionsforstate-ownedcompanies,agriculturalenterprises,listedcompaniesorcompaniesthatissuesecurities.

如，本清單在未進(jìn)行必要改動(dòng)之前不應(yīng)合用于國有公司、農(nóng)業(yè)生產(chǎn)公司、上市公司或發(fā)行其它證券產(chǎn)品的公司。

PLEASEPROVIDETHEFOLLOWING:

請(qǐng)?zhí)峁┫铝形墨I(xiàn)BasicInformation基本信息Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示GiveanintroductiontotheCompany.

公司介紹Currentbusinesslicense,showinglatestannualinspection最新的營業(yè)執(zhí)照（正副本），顯示近來一次的年檢統(tǒng)計(jì)信息□IftheCompanyispartofagroup,theshareholdingstructureofsuchgroupinachartshowingallimportantrelationshipsandconnectionsbetweenthegroupcompanies(includingholdingofsharesintrust),aswellaseachcompany’scountryofincorporation如果公司為集團(tuán)的一部分，集團(tuán)的股權(quán)構(gòu)造圖，闡明集團(tuán)構(gòu)成公司之間的重要關(guān)系（涉及信托持股關(guān)系），以及每個(gè)公司的成立地□Internalorganizationchartandotherinformationshowingdepartmentsandauthorityofofficers內(nèi)部組織構(gòu)造圖以及其它信息，闡明公司內(nèi)部部門構(gòu)成以及部門主管的權(quán)力和職責(zé)□AlistofcitiesandcountrieswheretheCompany’sassets(tangibleandintangible)andemployeesarelocated公司資產(chǎn)（有形和無形）以及員工所在都市和國家列表□Listofcurrentdirectors,supervisorsandseniorofficersoftheCompanyandtheirlettersofappointment公司現(xiàn)在的董事、監(jiān)事以及高級(jí)管理人員名單以及其任命函□Authorizationsgivenbytheboardorbydirectorstospecially-appointedagentstodealwithsomeparticularmatter董事會(huì)或董事授權(quán)特別指定代理人解決某項(xiàng)特殊事務(wù)的授權(quán)書□ReportsrecentlypreparedbytheCompanyregardingbusinessandimportantmattersfacingtheCompany公司近來有關(guān)業(yè)務(wù)及重要事項(xiàng)的報(bào)告□

HistoricalChanges歷史變更Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示ShowthattheCompanywasdulyestablishedandlawfullyexists.

表明公司依法成立并正當(dāng)存續(xù)。HighlightmajorhistoricalchangestotheCompany.

突出公司的重要?dú)v史變更。PriortotheestablishmentoftheCompany:公司成立以前：□resolutions&minutesofmeetingofpromoters發(fā)起人會(huì)議的決策和會(huì)議統(tǒng)計(jì)□agreementsenteredintobythepromoters發(fā)起人之間達(dá)成的合同□AttheCompany’sestablishmentorduringmajorchangetotheCompany:公司成立期間或公司進(jìn)行重大變更期間：□feasibilitystudyreports,projectproposalsandotherapplicationssubmittedtogovernmentauthoritiesforthepurposeofapprovingtheintendedbusinessactivitiesoftheCompany為獲得公司擬開辦業(yè)務(wù)有關(guān)同意而提交予政府部門的可行性研究報(bào)告、項(xiàng)目建議書或其它申請(qǐng)文獻(xiàn)□officialdocumentsfromortogovernmentauthoritiesrelatingtotheabove,includingifapplicableapprovalsfromgovernmentregulatorsforcertainindustriesorclassesofcompanies(suchasapprovalfromMIITfortelecommunicationscompanies,orforaprojectencouragedbythestate,acertificatetothateffect)與上述有關(guān)的政府部門復(fù)函或給政府部門的函件，涉及有關(guān)行業(yè)主管部門或?qū)?yīng)級(jí)別的主管部門的同意（如工業(yè)和信息化部對(duì)電訊公司的同意，或國家對(duì)激勵(lì)項(xiàng)目的同意等等）□SASACapprovalifstate-ownedassetsareinvolved如涉及國有資產(chǎn)，國有資產(chǎn)監(jiān)督管理部門的同意文獻(xiàn)□SincetheestablishmentoftheCompanyuntilthepresent公司自成立至今□businesslicenses,includinganyamendmentsandshowingallannualinspectionpassed營業(yè)執(zhí)照，涉及變更的營業(yè)執(zhí)照和全部年檢紀(jì)錄□amendmentstoinformationregisteredwithAIC工商局的變更登記證明□AOA,includinganyamendments章程，涉及全部章程修正案□JVcontracts(ifapplicable),includinganyamendments合資合同（如合用），涉及任何合資合同的修訂或補(bǔ)充□capitalverificationreports;assetappraisalreportsforin-kindcontributions驗(yàn)資報(bào)告；以非現(xiàn)金出資的資產(chǎn)評(píng)定報(bào)告□MOFCOMapprovalsforFIEestablishment,includinganyamendmentsandshowingallannualinspectionpassed商務(wù)部門同意外商投資公司成立的同意，涉及任何變更或年檢統(tǒng)計(jì)□organizationalcodecertificates,includinganyamendmentsandshowingallannualinspectionpassed組織機(jī)構(gòu)代碼證，涉及任何變更和年檢統(tǒng)計(jì)□ForallchangestotheAICregisteredinformation(suchasamendmentofAOA,amendmentofJVcontracts,increaseofcapital,changeofdirectors,changeofbusinessscope,acquisition,merger,divestiture,restructuring,etc.)工商變更登記信息（如章程修改、合資合同修改，增資，變更董事、經(jīng)營范疇變更、收購、吸取、合并、分立、重組等等）□shareholderandboardresolutionsoftheCompany公司股東會(huì)及董事會(huì)決策□contractsrelatingtosuchchangeortransaction該等變更或交易的有關(guān)合同□shareholderandboardresolutionsofotherpartiestosuchtransaction交易相對(duì)方的股東會(huì)決策和董事會(huì)決策□Shareholders股東Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示AllowapotentialinvestortoassessothershareholdersandtheirpotentialimpactonthevalueoractivitiesoftheCompany.

使?jié)撛谕顿Y者能夠?qū)ζ渌蓶|狀況以及他們可能對(duì)公司的價(jià)值或行動(dòng)造成的影響進(jìn)行評(píng)定。Generalinformationregardingtheshareholders(includingwhetheranyarestate-ownedenterprisesorFIE)andhistoricaldealings/interactionsamongthem股東的基本信息（涉及與否國有公司或中外投資公司）以及股東之間的關(guān)系□Businesslicenseorpersonalidentificationcardofshareholders營業(yè)執(zhí)照或個(gè)人身份證明□AnyagreementsamongsomeorallshareholdersregardingtheCompany部分或全部股東有關(guān)公司的任何合同、合同□Financing融資Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示ProvideinformationontheextentoftheCompany’sdebtobligations(includingguaranteesofdebts).

提供有關(guān)公司的債務(wù)信息（涉及所提供的擔(dān)保）。Assesswhethersuchdebtsareincompliancewiththelaw,suchasforeignexchangelaws.

評(píng)定該等債務(wù)與否正當(dāng)，例如與否符合有關(guān)外匯管理的法律。Discoveranythingthatmaycausedefaultonthedebts.

發(fā)現(xiàn)有可能造成債務(wù)推行違約的其它狀況。SAFEofficialdocuments,suchasforeignexchangeregistrationcertificate,foreigndebtregistrationcertificateandforeigndebtrepaymentapprovals,includinganyamendmentsandshowingallannualinspectionpassed外匯管理部門文獻(xiàn)，如外匯登記證，外債登記證和外債償還核準(zhǔn)，涉及任何變更和年檢統(tǒng)計(jì)□MOFofficialdocuments,suchasthefinancialregistrationcertificate,includinganyamendmentsandshowingallannualinspectionpassed財(cái)政部門文獻(xiàn)，如財(cái)政登記證，涉及任何變更和年檢統(tǒng)計(jì)□Contractsrelatingtoalldebt,financingorguarantees,includingthoserelatingtosecurityinterests(mortgages,pledges,liens,etc.)andcreditfacilities全部與借款、融資或確保有關(guān)的合同，涉及與擔(dān)保權(quán)益有關(guān)的合同（抵押、質(zhì)押、留置等）和信用貸款合同□Informationanddocumentsrelatingtotheperformanceoftheabovecontracts,including:有關(guān)前述合同推行狀況的信息和文獻(xiàn)，涉及：□whetherallreportingandregistrationrequirementshavebeencompliedwith與否全部報(bào)告及登記規(guī)定均已得到恪守□whetherallmaterialcovenantsincludingfinancialcovenants/ratioshavebeencompliedwith與否全部重大承諾涉及財(cái)務(wù)承諾/比率均已得到恪守□whetheranyeventofdefaulthasoccurred與否發(fā)生任何違約行為□whetheranynoticeordemandhasbeenservedontheCompanyinrelationtodefaultornon-compliancewithanyoftheprovisionsofloanorsecuritydocumentation與違反或未恪守貸款或擔(dān)保文獻(xiàn)的任何規(guī)定有關(guān)的任何告知或規(guī)定與否已送達(dá)公司□anyfurtheractiontakenbylenderstoenforceanysecurityinterests(e.g.appointmentofreceivers,commencementofwindingupproceedingsetc.)貸款人為強(qiáng)制執(zhí)行任何擔(dān)保權(quán)益采用的任何進(jìn)一步行動(dòng)（如指定接管人、開始清算程序等）□Receiptsordocumentsfromthebankshowingpaymentsmadeondebt銀行有關(guān)收到還款的收據(jù)或其它文獻(xiàn)□Informationanddocumentsrelatingtobankaccounts(ofalltypes)oftheCompany銀行賬戶（全部類型）的信息和文獻(xiàn)□InformationanddocumentsrelatingtootherfinancialarrangementotherthanbankingloanwiththeCompany,includingcashadvances,financiallease,deferredpaymentarrangements,saleandleaseback,swaps,hedgesandsimilarriskmanagementarrangements,debentures,bonds,notesorsimilardebtinstrumentissuedbytheCompany除銀行貸款以外公司的其它融資安排的有關(guān)信息和文獻(xiàn)，涉及現(xiàn)金預(yù)付款、融資租賃、延期付款安排、售后回租、掉期交易、套頭交易及類似的風(fēng)險(xiǎn)管理安排、公司發(fā)行的債券、公債、票據(jù)或類似債務(wù)文獻(xiàn)□PotentialfactorsthatmaycausetheCompanytodefaultonitsdebtsorotherpayables可能造成公司違反還款義務(wù)和償還其它應(yīng)付款義務(wù)的潛在因素□Auditedannualfinancialreportsforrecentyears,semi-annualreportsandquarterlyfinancialreportsforyear-to-date近三年度的年度審計(jì)報(bào)告、六個(gè)月度報(bào)告和季度報(bào)告□Currentandfuturefinancialplansandbudgets現(xiàn)在和將來的融資計(jì)劃和預(yù)算□Investments,LoansandSecurityInterests投資、貸款和擔(dān)保權(quán)益Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示ProvideinformationontheequityanddebtrelationshipsbetweentheCompanyanditsaffiliates.

提供有關(guān)公司與其關(guān)聯(lián)方之間的股權(quán)及債權(quán)關(guān)系信息。Assesswhethersuchinvestments,loansandsecurityinterestsareincompliancewiththelaw.

評(píng)定該等投資、貸款和擔(dān)保權(quán)益與否正當(dāng)。Assessthevalueandriskofsuchinvestments,loansandsecurityinterests.

評(píng)定該等投資、貸款和擔(dān)保權(quán)益的價(jià)值和風(fēng)險(xiǎn)。InformationonsharesofothercompaniesownedbytheCompany,including:公司擁有的其它公司股權(quán)的信息，涉及□sharecertificates股權(quán)證□AICregistrationofthesubsidiaryshowingtheCompanyasashareholder證明公司是該等公司股東的工商登記證明□contractsenteredintoinrelationtothepurchaseorestablishmentofsuchcompanies,suchassharepurchaseagreementorJVcontract購置或成立該等公司的有關(guān)合同，如股權(quán)轉(zhuǎn)讓合同或合資合同□shareholderandboardresolutionsrelatingtothepurchaseorestablishmentofsuchcompanies與購置或成立該等公司有關(guān)的股東會(huì)或董事會(huì)決策□documentsindicatinganypledgeontheshares股權(quán)質(zhì)押的文獻(xiàn)□ifanygovernmentapprovalisrequiredfortheCompanytoholdsuchshares(suchasanoffshoreinvestment),therelevantapproval政府部門有關(guān)公司擁有該等公司股權(quán)的同意文獻(xiàn)（如境外投資）□InformationondebtsowingtotheCompany(directlyorindirectly),including:別人欠付公司債務(wù)（直接或間接）的有關(guān)信息，涉及：□contractswiththeCompanyasthelender,includingthoserelatingtomortgagesandsecurityinterests公司作為出借人的合同，涉及與抵押和其它擔(dān)保權(quán)益有關(guān)的合同□shareholderandboardresolutionsrelatingtoprovisionofsuchloans股東會(huì)或董事會(huì)有關(guān)同意該等借款的決策□receiptsordocumentsfromthebankshowingpaymentsmadeonsuchloans銀行出具的有關(guān)償還該等貸款的收據(jù)或文獻(xiàn)□anythingthatmayindicatethedebtisdifficulttocollect任何顯示債務(wù)難以收回的文獻(xiàn)或信息□contractsrelatingtoasecurityinterestinfavorofathirdpartyondebtowingtotheCompany公司為出借人，而擔(dān)保權(quán)益受益人為第三方的有關(guān)合同□InformationonsecurityinterestsownedbytheCompany(e.g.mortgages,pledges,liens,etc.),including:公司享有的擔(dān)保權(quán)益信息（如抵押、質(zhì)押、留置等）□contracts合同□registrationdocumentsfromgovernmentauthorities政府部門的登記文獻(xiàn)□documentsindicatingtheseniorityofsuchsecurityinterests顯示擔(dān)保權(quán)益優(yōu)先次序的文獻(xiàn)□informationonthevalueoftheunderlyingcollateral押品價(jià)值的信息□Tax稅務(wù)Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示AssesswhethertheCompanyhasanyoutstandingtaxobligations.

評(píng)定公司與否存在任何未推行的賦稅義務(wù)。AssesswhethertheCompanyisincompliancewithtaxregulations.

評(píng)定公司與否按照有關(guān)稅法的規(guī)定行事。Officialdocumentsfromortothestatetaxauthority,localtaxauthorityandcustomsofrecentyears,including:近三年的國家稅務(wù)局、地方稅務(wù)局或海關(guān)的文獻(xiàn)，以及公司向該等部門發(fā)出的函件，涉及：□stateandlocaltaxregistrationcertificate,includinganyamendmentsandshowingallannualinspectionpassed國家和地方稅務(wù)登記證，涉及任何變更和年檢統(tǒng)計(jì)□taxfilingsprovidedtoandpaymentverificationissuedbyalltaxauthorities,includingforincometax,value-addedtax,businesstax,etc.納稅申報(bào)表以及稅務(wù)部門出具的納稅證明，涉及所得稅，增值稅，營業(yè)稅等□approvallettersregardingexemptions,preferentialtreatment,taxholidays,etc.有關(guān)稅收豁免、稅收優(yōu)惠、免稅期等的政府文獻(xiàn)□thoserelatingtoexpected,ongoingorrecentaudits,investigationsordutydisputes(includeanystatementsfromtheCompany)與預(yù)期的、正在進(jìn)行的和近三年的稅務(wù)審計(jì)、調(diào)查或稅收爭(zhēng)議的文獻(xiàn)（涉及公司的任何陳說）□levyandexemptioncertificateforimport/export進(jìn)出口貨品征免稅證明□Astatementoftaxescurrentlypayableanditscalculation近來的應(yīng)付稅款或其計(jì)算辦法的闡明□Employment雇員Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示GiveinformationontheCompany’shumanresourcessystem.

提供有關(guān)公司人力資源系統(tǒng)的信息。Assesstheriskofnon-compliancewithemployment,immigrationorsocialinsurancelaws.

評(píng)定公司與否存在未符合有關(guān)勞動(dòng)法、移民法或社會(huì)保險(xiǎn)法的風(fēng)險(xiǎn)。InformationregardingthehumanresourcesoftheCompany公司人力資源的信息□totalnumberofpersonnelineachdepartmentorgrade(management,labor,etc.)各部門各級(jí)別的人員總數(shù)（涉及管理層、員工等）□employee’shandbookandotherinternalrules®ulations,includingadescriptionofhowtheyareformulated,revisedandpublicized員工手冊(cè)和其它內(nèi)部規(guī)章制度，涉及對(duì)這些規(guī)章制度是如何制訂、修改和公布的描述□overtimepolicy,includingwhethertheCompanyarrangesforalternativerestperiodsorforovertimepaymentandwhethersuchpolicyisadheredto加班政策，涉及公司與否安排補(bǔ)休或支付加班費(fèi)以及這些政策與否得到恪守□actualnumbersofovertimehoursworkedbyeachemployee每個(gè)員工的實(shí)際加班時(shí)間□stockoptionsforemployeesandotherbenefits員工股票期權(quán)計(jì)劃和其它福利□Relevantcontracts,suchas:有關(guān)合同，如：□Employmentcontractsandcontractsfortraining,confidentiality,non-disclosureandnon-competitionbetweentheCompanyandseniormanagementandkeytechnicalpersonnel高級(jí)管理人員和核心技術(shù)人員的勞動(dòng)合同\培訓(xùn)合同、保密合同、非競(jìng)爭(zhēng)合同□Employmentformcontract(s)usedbytheCompany,includingfull-time,part-timeandforeignemployees公司采用的勞動(dòng)合同范本，涉及全職、兼職和聘任外勞的合同□Formcontractsfortraining,confidentiality,non-disclosureandnon-competition培訓(xùn)合同、保密合同、非競(jìng)爭(zhēng)合同范本□Formcontractswithindependentcontractors,suchasinternsandretirees勞務(wù)合同范本，如實(shí)習(xí)生和退休人員□Labordispatchagreementandserviceoutsourcingagreement勞務(wù)差遣合同及勞務(wù)外包合同□Workpermitsandresidencepermitsforforeignemployees外籍員工的工作許可證和居留證□Documentsrelatingtosocialinsuranceandhousingfundcompliance:社會(huì)保險(xiǎn)文獻(xiàn)和住房公積金文獻(xiàn)□socialinsuranceregistrationcertificateandhousingfundaccountestablishmentcertificate社會(huì)保險(xiǎn)登記證和住房公積金開戶證明□proofthattheCompanyhasfullypaidsocialinsuranceandhousingfundforallitsemployees公司已為其全部員工足額繳付社會(huì)保險(xiǎn)費(fèi)和住房公積金的證明□proofofpaymentforunionsandworkplacehealthcompensation支付工會(huì)費(fèi)和職業(yè)健康賠償?shù)淖C明□Proofofemployee’sincometaxwithholdingduringthelast3months近來三個(gè)月代扣員工個(gè)人所得稅的證明□InformationanddocumentsrelatingtolaborunionsthattheCompany’sworkersbelongto公司員工所屬工會(huì)的信息和文獻(xiàn)□Informationanddocumentsrelatingtoanypotential,ongoingorrecentemployment/labordisputes任何潛在、正在進(jìn)行或近三年的雇傭或勞動(dòng)爭(zhēng)議的信息和文獻(xiàn)□Environment環(huán)保Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示ProvideinformationaboutactivitiesoftheCompanythatmayberegulatedunderenvironmentallaws.

提供有關(guān)公司所從事的任何有可能受環(huán)保法律規(guī)制的活動(dòng)的信息。Assessanyriskofnon-compliancewithenvironmentallaws.

評(píng)定任何可能違反環(huán)保法律的風(fēng)險(xiǎn)。Officialdocumentsfromortoenvironmentalauthoritiesorthosehavingsomejurisdictionoverenvironmentalmatters,including:有管轄權(quán)的環(huán)保部門對(duì)環(huán)境問題出具的文獻(xiàn)，以及向該等部門發(fā)出的函件□environmentallicenses,registrations,assessments許可證、登記、評(píng)定等□permitsandapprovalsrelatingtourbanplanning,water,airquality,solidwastedisposal,oilandgastransportandstorage與都市規(guī)劃、用水、空氣質(zhì)量、固體廢物解決、石油、煤氣和天然氣運(yùn)輸和儲(chǔ)存有關(guān)的許可證和同意□Informationaboutenvironmentallysensitiveactivitiesthatareormayberegulated,including:受管制或?qū)⑹芄苤频沫h(huán)境敏感活動(dòng)的信息，涉及□informationanddocumentsregardinghazardous,contaminatingorpollutingmaterialsowned,used,depositedorotherwisehandledbytheCompany與公司擁有、使用、儲(chǔ)存或以其它方式處置的危險(xiǎn)、污染原料有關(guān)的信息和文獻(xiàn)□internalenvironmentalpolicyandwhethersuchpolicyisadheredto;forexample,thepermittedamountofwastewatertobedischarged,thedischargestandardsandthepenaltyrateforexcessdischarge全部須恪守的內(nèi)部環(huán)境政策；例如，可排放廢水量、排放原則以及超額排放的處分原則□anymajorpolicychangesorphysicaladditions/changesmadeinrecentyearstocomplywithenvironmentallawsandthoseexpectedtobemadeinthenearfuture近三年，為符合環(huán)保法律法規(guī)而進(jìn)行的重大政策修訂或事實(shí)上的變更，以及打算要做出的修訂□Informationanddocumentsrelatingtoanypotential,ongoingorrecentinvestigations,penaltiesordisputeswiththegovernmentorthirdpartyregardingenvironmentalissues與政府部門或第三方在環(huán)境方面的任何潛在、正在進(jìn)行的或近三年的調(diào)查、處分或爭(zhēng)議□MaterialContracts重大合同Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示ObtaindisclosureofcontractswhoseperformanceisvitaltothesurvivalorsuccessoftheCompanyorcontaintermsorhavecounterpartiesthatmaycreateriskfortheCompany.

獲得對(duì)公司的生存或成功經(jīng)營含有重大意義的合同信息或披露任何所包含條款或相對(duì)方可能使公司面對(duì)風(fēng)險(xiǎn)的合同信息。ThepractitionershoulddefineandexplainthetechnicaltermsbelowtotheCompanysothattheycanprovidetheproperdocuments.

盡職調(diào)查方應(yīng)當(dāng)告知公司下列技術(shù)性條款的定義或解釋方便公司能夠提供適宜的文獻(xiàn)。Informationanddocumentsrelatingtocontracts(nototherwisedisclosed):含有以下特性的信息和合同（在本清單中其它地方未提及的）：□wherethecontractsumisoverthematerialamount合同金額超出重大金額□enteredintobetweentheCompanyandatleastoneaffiliateorbetweenatleasttwoaffiliates公司和最少一種關(guān)聯(lián)方或最少兩個(gè)關(guān)聯(lián)方之間訂立的合同□notenteredintoonarm’slengthterms有非正常條款的合同□thatareconfidentialityornon-disclosurecontracts保密合同□withaperformanceperiodexpectedtobeinexcessof6months推行期超出六個(gè)月□withtermsthatareparticularlyoneroustotheCompanyor,conversely,particularlyvaluabletotheCompany公司義務(wù)特別繁重的，或者對(duì)公司特別有利的□thoughtbytheCompanytobeinvalidorunenforceable公司認(rèn)為無效的或不能執(zhí)行的□wherethecounterpartyisbelievedtobeinsolventorincapableofmeetingitsobligations相對(duì)方被認(rèn)為將破產(chǎn)或不能推行其義務(wù)的□whichrequiregovernmentapprovalforittobevalid(alsoprovidesuchapproval)需要政府部門的同意以使其生效的（請(qǐng)同時(shí)提供該等同意）□Informationanddocumentsrelatingtoexecutionoftheabovecontracts,including:有關(guān)上述合同推行狀況的信息和文獻(xiàn)，涉及：□whetherallreportingandregistrationrequirementsinrespectoftheabovetransactionshavebeencompliedwith與否與上述交易有關(guān)的全部報(bào)告及登記規(guī)定均得到恪守□whetherallmaterialcovenantshavebeencompliedwith與否全部重大承諾均已得到恪守□whetheranyeventofdefaulthasoccurred與否發(fā)生任何違約行為□whetheranynoticeordemandhasbeenservedontheCompanyinrelationtodefaultornon-compliancewithanyoftheprovisionsoftheabovecontractsortransactions與違反或未恪守上述合同或交易的任何規(guī)定有關(guān)的任何告知或規(guī)定與否已送達(dá)公司□anyfurtheractiontakenbyotherpartiestotheabovecontractsortransactionstoenforceanysecurityinterests(e.g.appointmentofreceivers,commencementofwindingupproceedingsetc.)上述合同或交易的其它方為強(qiáng)制執(zhí)行任何擔(dān)保權(quán)益采用的任何進(jìn)一步行動(dòng)（如指定接管人、開始清算程序等）□Disputes爭(zhēng)議Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示ObtaindisclosureofdisputesthatmaymateriallyaffectorcreateriskfortheCompany.

獲得可能對(duì)公司造成重大影響或產(chǎn)生風(fēng)險(xiǎn)的有關(guān)爭(zhēng)議的信息。Informationanddocumentsrelatingtopotential,ongoingorrecentclaims,investigations,disputes,administrativepenalties,arbitrationsandcourtproceedinginvolvingtheCompanyoritsshareholders,subsidiaries,seniorofficersanddirectors,includingtheirstatusandresolution,where:公司、其股東、子公司、高級(jí)管理人員和董事的潛在的、正在進(jìn)行的或近三年的權(quán)利主張、調(diào)查、爭(zhēng)議、行政處分、仲裁和法院訴訟，涉及它們的狀態(tài)和成果：□morethanthematerialamountisindispute超出重大數(shù)額的□itisotherwisematerialtotheaffairsoftheCompany在其它方面對(duì)公司業(yè)務(wù)有重大影響的□GovernmentAuthorizationsPertainingtotheCompany’sBusiness有關(guān)公司業(yè)務(wù)的政府同意Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示ItemsinthissectionmustbeadaptedtotheparticularlineofbusinessoftheCompany.

本節(jié)中的各項(xiàng)應(yīng)合用于公司的特殊業(yè)務(wù)。Forregulatedindustries,certainactivitiesrequiretheexplicitauthorizationoftheregulator.

對(duì)于受監(jiān)管的行業(yè)，某些活動(dòng)應(yīng)當(dāng)獲得監(jiān)管部門直接的授權(quán)。Somebusinessactivitiesalsoinvolveothergovernmentauthorities,suchascustoms.

某些業(yè)務(wù)活動(dòng)也可能涉及其它的政府部門，例如海關(guān)。【X】【X】□LandandBuildings土地和建筑Provided/已提供Practitioner’sNotesPractitioner’sNotes/提示GiveinformationabouttheCompany’slandandbuildingtitle.

提供有關(guān)公司土地和建筑物全部權(quán)的信息。GiveinformationabouttheCompany’songoingconstructionprojects.

提供有關(guān)公司在建工程項(xiàng)目的信息。Assessanynon-complianceorrisksrelatingtosuchland,buildingandongoingconstructionprojects.

評(píng)定該等土地、建筑物及在建工程項(xiàng)目與否違法或存在任何風(fēng)險(xiǎn)。Basicinformationregardingland,buildingsandconstructionprojectsownedbytheCompany,including:公司擁有的土地、建筑和在建工程的基本信息□location地址□landareaandgrossfloorarea占地面積和建筑面積□intendeduse目的用途□value/amountinvested價(jià)值/已投資金額□whetherthereisanyjointownership,profitdivision,“dianrights,”easement,leaseholdsorotherthird-partyinvolvementintheproperty物業(yè)中與否存在任何共有、權(quán)益分派、典權(quán)、地役權(quán)、租賃或其它第三方利益□InformationregardingpremisesleasedbytheCompany,including:公司承租物業(yè)的信息，涉及：□leasecontractandassociateddocuments租賃合同和有關(guān)文獻(xiàn)□leaseregistrationdocuments租賃登記文獻(xiàn)□informationregardingthelessorsshowingtheyhavetherighttothepremises出租人有權(quán)出租物業(yè)的證明文獻(xiàn)□receiptsshowingstatusofrentpayment租金支付的憑證□Informationanddocumentsregardingongoingconstructionprojects,including:在建工程的信息和文獻(xiàn)，□timewhenprojectwassubmittedtotheconstructionauthorities,whenconstructioncommenced,constructionprogressandexpectedcompletiondate工程提交有關(guān)政府部門審批的時(shí)間、工程開工時(shí)間、建設(shè)進(jìn)度以及預(yù)計(jì)竣工日期□timingrequirementsstipulatedbytheauthorities政府部門對(duì)工程進(jìn)度的時(shí)間規(guī)定□contractors,constructionsupervisors承包商、監(jiān)理人□statusofpayments(includingreceipts)付款狀況（涉及收據(jù)）□Inrelationtoeachland,buildingandconstructionprojectownedbytheCompany,allofficialdocumentsfromortoconstruction,environment,land,planningandotherauthorities,including:就公司所擁有的每一塊土地、建筑物以及在建工程而言，全部由建設(shè)、環(huán)保、土地、規(guī)劃及其它政府部門出具或提交予該等政府部門的官方文獻(xiàn)，涉及：□landgrantcontract,landtransfercontractorlandallocationapproval土地出讓合同、土地轉(zhuǎn)讓合同或土地劃撥批復(fù)□documentsrelatingtocompletionoflandrequisitionandrelocationandpaymentofallfeesforlandrequisitionandrelocation完畢土地出讓、拆遷以及支付完畢有關(guān)土地出讓、拆遷的全部費(fèi)用的有關(guān)文獻(xiàn)□receiptshowingfullpaymentofconsiderationforthelandandalltaxes(includingdeedtax,stamptax,value-addedtax)證明土地對(duì)價(jià)以及全部稅費(fèi)（涉及契稅、印花稅、增值稅）均已支付完畢的收據(jù)□landusecertificate,anddocumentsshowinganysecurityinterestontheland土地使用權(quán)證以及闡明土地上所附任何擔(dān)保權(quán)益的文獻(xiàn)□environmentalassessmentreport(anditsapproval)環(huán)境影響評(píng)定報(bào)告（以及其批復(fù)）□geologicaldisasterassessmentreport(anditsapproval)地質(zhì)災(zāi)害風(fēng)險(xiǎn)評(píng)定報(bào)告（以及其批復(fù)）□constructionengineeringplanningpermit建設(shè)工程規(guī)劃許可證□constructionlanduseplanningpermit建設(shè)用地規(guī)劃許可證□constructioncommencementapproval建設(shè)工程施工許可證□acceptanceinspection驗(yàn)收?qǐng)?bào)告□buildingtitlecertificate,anddocumentsshowinganysecurityinterestonthebuilding房產(chǎn)全部權(quán)證以及闡明房產(chǎn)上所附任何擔(dān)保權(quán)益的文獻(xiàn)□firefightingpermit消防許可證□sanitationpermit衛(wèi)生許可證□civilianairdefensepermit人防許可□Informationandofficialdocumentsregardinganyfactorsthatmayaffecttheintendedpurposeofthebuildingsorland,including:與有可能影響建筑物或土地用途的任何因素有關(guān)的信息和官方文獻(xiàn)，涉及：□materialdamagetoordeteriorationofthebuildingorland建筑物或土地的重大損壞或退化□thesurroundingnaturalandman-madeenvironment,suchaspublicutilities,roadsanduseofnearbybuildings周邊的自然環(huán)境及人工環(huán)境，如公用設(shè)施、道路及臨近建筑物的使用□IntellectualProperty知識(shí)產(chǎn)權(quán)Provided/已提供Practitioner’sNotessPractitioner’sNotess/提示AssesswhethertheCompanyinfringesanyIPofothercompanies.

評(píng)定公司與否侵犯了其它公司的知識(shí)產(chǎn)權(quán)。AssesswhethertheCompany’sIPisprotectedandnotinfringedupon.

評(píng)定公司的知識(shí)產(chǎn)權(quán)與否受到保護(hù)并未受侵權(quán)。InformationanddocumentsrelatingtoforeignanddomesticIPowned,currentlyusedorpossiblyusedbytheCompanyoritssubsidiarieswhetherlicensedorunlicensed,whichforthispurposeincludes:有關(guān)公司或其子公司擁有的、現(xiàn)在正在使用或有可能使用的國內(nèi)外知識(shí)產(chǎn)權(quán)的信息及文獻(xiàn)，無論該等知識(shí)產(chǎn)權(quán)與否存在許可，該等信息應(yīng)涉及：□trademarks商標(biāo)□tradenames商號(hào)□logos標(biāo)記□tradedresses商業(yè)外觀□internetdomainnames互聯(lián)網(wǎng)域名□patents,inventions,know-how專利、發(fā)明、技術(shù)秘密□tradesecrets,designs商業(yè)秘密、設(shè)計(jì)□copyrights,software(includingthoseonofficecomputers),databases版權(quán)、軟件（涉及辦公電腦上的軟件）、數(shù)據(jù)庫□layoutdesignsofintegratedcircuits集成電路布圖設(shè)計(jì)□newvarietiesofplantsandotherrightsofasimilarkindowned植物新品種及其它類似權(quán)利□FortheIPabovethatislicensedtotheCompanyorbytheCompanytoanother:對(duì)于以上知識(shí)產(chǎn)權(quán)如由別人許可公司使用或者由公司許可別人使用：□licensingagreements許可合同□registrationcertificates注冊(cè)證明□proofthatthelicensoristheowneroftheIPorhastheauthoritytosub-license證明許可人為該知識(shí)產(chǎn)權(quán)的全部人或者其有權(quán)進(jìn)行分許可的有關(guān)文獻(xiàn)□receiptsshowingstatusofpaymentofroyaltiesorotherlicensefees證明版權(quán)費(fèi)或其它許可費(fèi)用支付狀況的收據(jù)□Patentandtrademarkapplications(ifsuchpatentortrademarkasnotyetbeenregistered)andassociatedreceiptsanddocuments專利和商標(biāo)申請(qǐng)（如果該等專利或商標(biāo)尚未被登記）以及有關(guān)的收據(jù)和文獻(xiàn)□Internalpolicyonprotectionofsecretsandknow-howandwhethersuchpolicyisadheredto有關(guān)保護(hù)機(jī)密信息和技術(shù)秘密的內(nèi)部政策以及該等政策與否得以實(shí)施的信息□FortechnologiesusedbytheCompanythatarenotclearlyinthepublicdomain,non-infringementopinionsissuedbyapatentagent,governmentorotherparties就公司所使用的并非清晰屬于公共領(lǐng)域的技術(shù)，由專利代理人、政府部門或其它方出具的有關(guān)該等技術(shù)并不存在侵權(quán)的意見□Informationanddocumentsrelatingtoanypotential,ongoingorrecentclaimofinfringementorIPdisputesinvolvingtheCompany涉及公司的任何潛在的、正在進(jìn)行的或近來發(fā)生的侵權(quán)主張或知識(shí)產(chǎn)權(quán)爭(zhēng)議的信息和文獻(xiàn)□OtherLong-TermAssets其它長久資產(chǎn)Provided/已提供Practitioner’sNotessPractitioner’sNotess/提示Giveinformationaboutotherlong-termassetsoftheCompany.

提供有關(guān)公司其它長久資產(chǎn)的信息。Basicinformationonlong-termassetsownedorleasedbyCompany,suchasmanufacturingequipment,automobilesandofficeequipment,includingwhetherthereareanyencumbrances有關(guān)公司擁有或租用的長久資產(chǎn)如制造設(shè)備、機(jī)動(dòng)車以及辦公設(shè)備的基本信息，涉及其上與否存在任何權(quán)利限制的信息□Foreachitemworthmorethanthe