尽职调查问卷及文件清单.doc

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1、 尽职调查文件清单1初步尽职调查问卷及文件清单Questionnaire List of Preliminary Due Diligence问卷填写说明及按照本清单提供文件的基本要求：Questionnaire Instructions and Basic Requirements for Providing Documents 1. 请根据公司整理、提供文件的具体情况，按照如下要求填写问卷并提供文件：Please fill in this questionnaire and provide documents pursuant to the following requirements in

2、 accordance with the actual condition of preparation and provision of documents by the Company.（1） 如公司能够提供清单列出的某项文件，请在这项文件后代表“有”一栏“”处画“” ，并请提供完整、准确的文件文本（包括其附件及任何修订、补充文件）复印件；若文件以几种文字写成，请提供该文件的各种文字版本。If the Company can provide the documents numerated in the list, then please check Yes below and provid

3、e the photocopy of the complete and accurate documents (including their file attachments, amendments and supplements thereto). If a document is written in several languages, then the version of each language shall be provided.（2） 如公司查明没有清单列出的某项文件，请在该项文件后代表“没有”一栏的“”处画“” ；如公司认为清单列出的某项文件不适用，请在该项文件后代表“不

4、适用”一栏的“”处画“” 。If the Company does not have the document numerated in the list, please check No below. If the Company deems a document in the list inapplicable, then please check N/A below.2. 本问卷清单如有未列或未明确列出、但可能对投资人作出是否参与项目的决策造成影响的事件或文件，请公司自行进行说明并提供相关文件。If there is any event or document which have no

5、t been listed or expressly listed here but may have influence on the decision-making of the investor as to whether to participate in the project, please explain the reasons and provide relevant documents.尽职调查文件清单2一、公司对外投资III. Investment of the Company1. 请提供公司与其参股的所有公司（“子公司” ）的股权关系架构图，并请提供公司所参股的所有公司的

6、设立文件，包括但不限于下列各项：Please provide the chart of the shareholding structure between the Company and all the companies where it holds shares (“Subsidiaries”) and the documents of the establishment of all the companies where it holds shares including but not limited to （1） 各相关政府机构就设立子公司、分公司出具的批准文件有 没有 不适用T

7、he approval documents issued by the relevant authorities with respect to the establishment of the Subsidiaries or branch companies.Yes No N/A （2） 子公司、分公司企业法人营业执照或营业执照有 没有 不适用The Legal Person Enterprise Business License or Business License of the Subsidiaries or the Branch CompaniesYes No N/A （3） 子公司

8、、分公司组织机构代码证 、国税及地税税务登记证、社会保险登记证有 没有 不适用The Certificate of Organization Code, Certificate of Tax Registration and Social Insurance Registration Certificate of the Subsidiaries or the Branches of CompanyYes No N/A 2. 公司与其他经济组织签订的合作、联营协议或其他类似性质的文件有 没有 不适用The cooperation and/or joint operation agreement

9、s or other documents of similar nature entered into between the Company and other economic entitiesYes No N/A 二、公司财务报表V. Financial statements of the Company1. 公司最近 2 年的全部年中及年终财务报表尽职调查文件清单3有 没有 不适用All the financial statements of the Company in the middle and at the end of a year of the latest three y

10、ears or as of its establishment (whichever is shorter)Yes No N/A 2. 审计师对公司最近 2 年的财务报表所作出的审计报告有 没有 不适用The auditing reports issued by an auditor on the financial statements of the Company of the latest three years or as of its establishment (whichever is shorter)Yes No N/A 3. 上述 1、2 项述及的财务报表期间内公司聘请的会计

11、师及审计师的姓名及其所在事务所名称，以及其与公司是否存在某种关联，如互相持股、兼职等有 没有 不适用The names of the accountants and auditors engaged by the Company during the period of the financial statements mentioned in item 1 and 2 above and the names of the firms where they work, as well as whether they are affiliated to the Company in any fo

12、rm, such as holding equity by each other or holding concurrent position at the Company4. 公司所有重要的债权债务（应收应付款）的清单及相关合同文件复印件有 没有 不适用The list of all significant creditor right and debts (accounts receivable and payable) of the Company and the photocopy of the relevant contract and documentYes No N/A 三、公司

13、资产文件（除公司前述土地及工程、知识产权外的资产）VI. Documents with respect to the assets of the Company (in addition to the land and project and intellectual property rights)请提供公司关于资产状况的详细说明及相关证明文件，包括但不限于下列各项：Please provide a detailed description and relevant proof documents with respect to the assets condition of the Com

14、pany including but not limited to1. 与其他土地和建筑物租赁有关的文件（如办公用房等）：Documents related to the lease of other land and building (such as office building)（1） 房屋租赁协议及相关房屋产权证书复印件，及租赁登记证有 没有 不适用Photocopy of the lease agreement and relative title certificate of the property and lease registration certificateYes N

15、o N/A 尽职调查文件清单4（2） 土地使用权租赁合同（如有）及相关土地使用权证书有 没有 不适用Lease contract of land use right (if any) and relative certificate of use right of state-owned landYes No N/A 2. 公司拥有的重要资产清单及相关证明文件，包括但不限于下列各项：List of significant assets owned by the Company and relative proof documents including but not limited to（1

16、） 公司重要的生产设施、机器设备、办公设备、备品、备件清单有 没有 不适用List of the significant manufacture facility, machinery and equipment, office facility, spare articles and spare partsYes No N/A （2） 关于公司重要的生产设施、设备或重要办公设备的购买合同及付款发票有 没有 不适用Purchase contracts and payment receipts with respect to the significant manufacture facilit

17、y, equipment or significant office facility of the CompanyYes No N/A （3） 运输工具的购买合同、和付款发票及车辆登记证明有 没有 不适用Purchase contract, payment receipt and vehicle registration certificate of the transportation instruments Yes No N/A （4） 公司拥有证券（股票和债券）的相关证明文件有 没有 不适用Proof documents with respect to owning any secur

18、ity (stock and bond) by the CompanyYes No N/A （5） 公司拥有的其它资产的证明文件有 没有 不适用（如有关资产是通过划拨的方式取得，请提供政府批文。 ）Proof documents with respect to owning other assets by the CompanyYes No N/A (if any asset is acquired by allocation，please provide the government reply)尽职调查文件清单53. 公司如就上述各项资产设置任何形式的担保或他项权利（如抵押、质押、留置）

19、，请提供担保合同及其担保的主债权文件，以及设立担保所取得的政府批准文件（如有）及登记备案文件。有 没有 不适用If any guaranty in any form or any encumbrance exists on the aforesaid assets by the Company, (such as mortgage, pledge or lien), then please provide the guaranty contract and the base documents for which the guaranty is set as well as the gover

20、nment reply obtained for such guaranty (if any) and the registration and filling documents.Yes No N/A 4. 公司租赁的重要资产清单及相关证明文件，包括但不限于下列各项：The list of the leased significant assets and relative proof documents, including but not limited to（1） 公司租赁的生产设施、机器设备、办公设备清单及租赁合同有 没有 不适用The manufacture facility, m

21、achinery equipment and office facility leased by the Company and the lease contractsYes No N/A （2） 公司租赁运输工具清单及租赁合同有 没有 不适用The list of the transportation vehicles leased by the Company and the lease contractsYes No N/A （3） 公司租赁的其它资产清单及租赁合同有 没有 不适用The list of other assets leased by the Company and the

22、 lease contractsYes No N/A 四、重大合同VII. Material Contracts除本问卷清单其他各条已要求提供的合同外，请提供公司就该项目所签订的重大合同及其合同履行情况的相关证明（标的额在人民币 5 万元以上，且不论期限及是否已执行完毕） ，包括但不限于下列各项：In addition to the contracts provided in accordance with other provisions under this DD list, please provide material contracts related to the project

23、in question as well as relevant proof of the performance of those contracts (i.e. contract with its targeted contractual price over 尽职调查文件清单6RMB50,000, regardless of its deadline or completion of performance), including but not limited to1. 销售合同有 没有 不适用Sales contractYes No N/A 2. 生产资料采购合同有 没有 不适用Pro

24、duction material procurement contractYes No N/A 3. 共用设施供应合同（水、电、热、气供应、污水处理合同）有 没有 不适用Common facilities supply contract (water, electricity, heat, gas and sewage treatment contracts)Yes No N/A 4. 广告合同（广告设计、发布合同）有 没有 不适用Advertising contracts (advertisement design, and publishing contracts)Yes No N/A 5

25、. 公司其他承包或租赁经营合同有 没有 不适用Other Rental operation contract or management contractYes No N/A 6. 代理或分销合同有 没有 不适用Agent or sub-distribution contractYes No N/A 7. 设备维修及其它服务合同有 没有 不适用Equipment maintenance or other service contractYes No N/A 8. 技术合同（包括但不限于技术开发、转让、许可及咨询服务合同）有 没有 不适用尽职调查文件清单7Technique contract (

26、Including but not limited to the technology development, transfer, license or consultation service contract)Yes No N/A 9. 公司使用的所有格式合同（包括但不限于销售合同、职工劳动合同等）有 没有 不适用All standard contracts adopted by the Company (Including but not limited to sales contract, employee labor contract etc.)Yes No N/A 10. 与关联

27、公司签订的合同有 没有 不适用Contract entered into with affiliated companyYes No N/A 11. 对公司业务及经营活动有重大影响的其它合同，如联营协议、互不竞争协议、市场分配协议有 没有 不适用Other contracts that substantially influence the business and operation of the Company, for instance, joint operation contract, non-competition contract, market division contrac

28、tYes No N/A 12. 以公司为投保人或受益人的保险合同/保单有 没有 不适用Insurance contract/policy where the company is the insurer or beneficiary Yes No N/A 13. 关于上述合同履行情况的说明有 没有 不适用Statement with regard to the performance of the aforementioned contractYes No N/A 14. 公司签订的合作协议、联营协议、开发协议等有 没有 不适用Cooperative contract, joint opera

29、tion contract, development contract where the company is a partyYes No N/A 五、公司的关联交易VIII. Related Party Transactions尽职调查文件清单81. 请说明公司的关联人士（包括但不限于公司自然人股东，公司的法定代表人、关键管理人员，以及与上述人员关系密切且在公司或关联企业中担任重要职务或对其经营决策有重要影响的家庭成员）的基本情况（包括但不限于关联人士的姓名、性别、出生日期、关联关系。是否在公司任职/在公司担任的职务、身份证号码） 。前述已提供的除外。有 没有 不适用Please prov

30、ide us with information regarding the related party of the company (Including without limitation to the natural person of the company, the legal representative of the company, key management staff and other important family members who assume an important role in the company or its related entities

31、or exercise key influence on the decision making of the company). Information that has been provided in the aforementioned section is excluded.Yes No N/A 2. 请说明公司关联企业（包括但不限于发起人，持股比例最大的若干名股东直接或间接控制的其他企业，公司的附属企业、控股子公司，前款所述之关联人士直接控制的其他企业）的基本情况，并提供关联企业的营业执照、章程和验资报告，前述已经提供的除外。有 没有 不适用Please provide basic

32、 information on the affiliated company (including but not limited to those entities directly or indirectly controlled by sponsors or majority shareholders, affiliated company, subsidiary controlled by the company and other entities controlled by the aforementioned affiliated person), as well as busi

33、ness license, AOA and capital verification report. Information that has been provided in the aforementioned session is excluded.Yes No N/A 3. 公司与本文件清单本条前两款所述的关联人士和关联企业之间进行的关联交易的清单，内容包括：有 没有 不适用List of the transactions between the company and the affiliated persons and affiliated company mentioned in

34、 the first two subsection of the Section, including,Yes No N/A （1） 交易对方的身份及其与公司的关系；有 没有 不适用The Status of the other party and its relationship with the companyYes No N/A （2） 交易的详细内容；尽职调查文件清单9有 没有 不适用Transaction detailsYes No N/A （3） 交易开始的日期；有 没有 不适用Transaction date Yes No N/A （4） 交易条件；有 没有 不适用Transac

35、tion conditionYes No N/A （5） 交易结束的日期；有 没有 不适用The closing date of the transactionYes No N/A （6） 请提供前款所述关联交易相关的法律文件，包括但不限于协议书、承诺函、同意函等有 没有 不适用Please provide legal documents related to the aforementioned transaction, including but not limited to agreements, letter of commitment, letter of intent, etc.Y

36、es No N/A 上述情况将特别针对公司关联企业的借款情况。The aforementioned information will be applied specifically to the loan condition of the affiliated company.六、公司融资及担保文件X. Financial and Security documents of the Company请提供公司在过去 3 年中所签订的重大融资合同（标的额在人民币 100 万元以上）文本，包括但不限于下列各项：贷款文件（包括与关联公司的贷款协议）：Please provide financing c

37、ontract (with its targeted contractual price over RMB 1 million), in the latest three years, including but not limited to: the loan documents (including the loan agreements related to affiliated company) 1. 公司融资文件Financing Documents of the Company尽职调查文件清单10（1） 经担保的人民币贷款协议有 没有 不适用Secured Loan agreeme

38、nt in RMB Yes No N/A （2） 未经担保的人民币贷款协议有 没有 不适用Unsecured Loan agreement in RMBYes No N/A （3） 经担保的外汇贷款协议（包括转贷协议）有 没有 不适用Secured Loan Agreement in foreign currency (including sub-loan agreement)Yes No N/A （4） 未经担保的外汇贷款协议（包括转贷协议）有 没有 不适用Unsecured Loan Agreement in foreign currency (including sub-loan agreement)Yes No N/A （5） 外汇贷款的外债登记有 没有 不适用Foreign debt registration on Loan in foreign currencyYes No N/A （6） 银行透支安排有 没有 不适用Overdraw arrangement with banksYes No N/A （7） 企业债券有 没有 不适用Company bondsYes No N/A （8） 还贷情况及计划有 没有 不适用Loan repayment situation and planYes No N/A