尽职调查访谈提纲-HR、资料要求清单(中英文)

.. ;.Documentation Request List for Legal Due Diligence尽职调查文件清单Instructions指引This Documents Request List (the “Request”) has been prepared for the purpose of conducting legal due diligence on [X] (the “Company”).Subsidiaries of the Company with an independent legal person status are not included in the Request. If necessary, a separate request for the subsidiary may be provided. Branches, departments, offices and other entities of the Company without an independent legal person status are included in the Request.Documents asked for implies copies of such documents, unless otherwise specified. For each item below, it should be assumed that all documents that satisfy the criteria stated are requested, even though “all” may not be explicitly stated.For each item below, if all relevant documents have been provided, please check the box to the right to indicate that the item of request has been satisfied.If information or materials asked for is: (i) not applicable to the Company, (ii) applicable, but not expected to be available, or (iii) will be provided at a later date, please provide a separate response or explanation as appropriate.If, prior to the closing of the transaction, any event occurs or you obtain any additional facts that have a material effect on the information provided in 本尽职调查文件清单（“清单”）是为对【X】（“公司”）进行法律尽职调查而准备。

企业尽职调查内容提纲Contents of Due Diligence Report内容纲要Contents一：企业基本情况、发展历史及结构：The basic information, evolvement and organizational structure of the company二：企业人力资源 Human resources三：市场营销及客户资源 Marketing，Sales, and customer resources四：企业资源及生产流程管理 Enterprises resources and production management五：经营业绩 Business performance六、公司主营业务的行业分析Industry analysis七：公司财务情况 Financial status八：利润预测 Profitability forecast九：现金流量预测 Cash flow forecast十：公司债权和债务 Creditor’s rights and liability十一：公司的不动产、重要动产及无形资产 Properties, valuable assets and intangible assets 十二：公司涉诉事件 Lawsuits十三：其他有关附注 Other issues and comments十四：企业经营面临主要问题 Business obstacles and operational difficulties尽职调查提纲Contents of Due Diligence Report一：企业基本情况、发展历史及结构：The basic information, evolvement and organizational structure of the company1.法定注册登记情况 Registration2.股权结构 Ownership structure3.下属公司Subsidiaries and branches4.重大的收购及出售资产事件 Key events of purchasing and selling assets 5.经营范围 Business scope二：企业人力资源 Human resources1.管理架构（部门及人员）Management structure (Departments and staffing) 2.董事及高级管理人员的简历Resume of Directors of the Board and members of theupper management team3.酬薪及奖励安排 Policies on compensations, rewards and penalties员工的工资及整体薪酬结构 Salary structure4.5.员工招聘及培训情况 Recruitments and training arrangements6.退休金安排 Benefits Policy, e.g. Pensions三：市场营销及客户资源 Marketing, Sales and Customer resources产品及服务 Products and services1.2.重要商业合同 Important business contracts3.市场结构 Market structure4.销售渠道 Distribution channels5.销售条款 Sales policies and terms6.销售流程 Sales management procedure7.定价政策 Pricing policy8.信用额度管理 Credit & Risk exposure management9.市场推广及销售策略 Marketing and sales strategy促销活动 Promotion activities10.11.售后服务 Post-sales services12.客户构成及忠诚度 Customer base composition and customer loyalty 四：企业资源及生产流程管理 Enterprise resources and production management1.加工厂 Factory and plant2.生产设备及使用效率 Equipments and production capacity3.研究及开发 Research and development4.采购策略 Purchasing policy5.采购渠道 Purchasing channels6.供应商 Suppliers7.重大商业合同 Important business contracts五：经营业绩 Business performance1.会计政策 Accounting policy历年审计意见 Auditing results of the last three years if available2.3.三年的经营业绩、营业额及毛利详尽分析Analysis on business performance, salesrevenue and gross profit of the last three years if available4.三年的经营及管理费用分析 Analysis on operation and administration expenses of thelast three years if available5.三年的非经常项目及异常项目分析 Analysis on non-frequent and abnormal activities ofthe last three years if available6.各分支机构对整体业绩的贡献水平分析Analysis on the contribution of eachsubsidiary to the overall business performance六、公司主营业务的行业分析 Industry analysis1.行业现状及发展前景 Current situation and anticipation of industry development trend 2.中国特殊的经营环境和经营风险分析Analysis on business environment andoperational risks in China3.公司在该行业中的地位及影响The subject company’s position and influence in theindustry七：公司财务情况 Financial status1.三年的资产负债表分析 Three years Balance Sheet if available2.资产投保情况分析 Analysis on assets insurance status3.外币资产及负债 Capital and debts in foreign currency4.历年财务报表的审计师及审计意见Auditors’ opinion on the financial reports of thepast years5.最近三年的财务预算及执行情况Financial budgets and performing status of the lastthree years if available固定资产 Fixed assets6.7.或有项目（资产、负债、收入、损失）Contingent Items on assets, debts, income,losses8.无形资产（专利、商标、其他知识产权）Intangible Assets, e.g. patent, logo and otherintellectual property rights八：利润预测 Profitability forecast1.未来两年的利润预测 Profit forecast of the next two years2.预测的假设前提 Assumptions of the forecast预测的数据基础 Foundation of the forecast3.4.本年预算的执行情况 Current year’s budget performing status九：现金流量预测 Cash flow forecast1.资金信贷额度 Commercial and Bank Credit Limits2.贷款需要 Needs on loans3.借款条款 Borrowing terms十：公司债权和债务 Creditor’s rights and liability（一）债权 Creditor’s Rights1.债权基本情况明细 Details of rights2.债权有无担保及担保情况 Collateral/guarantee status on the rights3.债权期限 Duration of the creditor’s rights4.债权是否提起诉讼 Legal actions pursued（二）债务 Debts and Liabilities1.债务基本情况明细 Details of the liability2.债务有无担保及担保情况Collateral/guarantee status on the Liabilities3.债务抵押、质押情况 Mortgage and pledge4.债务期限 Duration of the liabilities5.债务是否提起诉讼 Legal actions pursued十一：公司的不动产、重要动产及无形资产 Properties, valuable assets and intangible assets 1.土地权属 Land property2.房产权属 House property3.车辆清单 Automobiles4.专利权及专有技术 Patents and self-developed technologies5.以上资产抵押担保情况 Mortgage and collateral status on the above listed assets十二：公司涉诉事件 Lawsuits1.作为原告诉讼事件 Lawsuit put out by the subject company, as Plaintiff 2.作为被告诉讼事件 Lawsuit against the subject company, as Defendant十三：其他有关附注 Other issues and comments1.公司股东、董事及主要管理者是否有违规情况 Violations by any of the shareholders, directors and executives if there’s any2.公司有无重大违法经营情况 Significant business operational violations by the company 3.上级部门对公司重大影响事宜Impact and influence from government administrative departments on the subject company十四：企业经营面临主要问题 Business obstacles and operational difficulties 1.困难或积极因素 Obstacles & difficulties and the negative impacts or positive if there’s any2.应对措施 Solutions。

.Due Diligence lists尽职调查资料清单1.Basic information company and History一、公司基本资料及历史沿革1.1The latest business license ,organization code certificate ;最新的营业执照、组织机构代码证1.2 Articles of Association currently;现行有效的公司章程1.3Detailed written description of the following main profiles:下列主要概况的详细书面说明:1.3.1History历史沿革1.3.2 Company on the industry and profile information of the company industry status .Business scope and the mode of operation ,the market share of the company are included.公司所处行业及公司行业地位的简介资料；包括经营范围、经营方式、市场占有情况等；1.4 The latest shareholding structure,organization chart (all departments and affiliated companies are contained).最新的股权架构、组织结构图(含所有职能部门、下属企业)1.5 Companies engaged in business activities Certificates (or franchise certificate).公司所从事业务活动的资质证书(或特许经营证书)1.6 Related capital increase agreement ,equity transfer agreement and related documents;employee stock ownership plan ,labor union ,trust, principal holdings and related agreements(Depending on the actual situation);相关增资扩股协议、股权转让协议及相关文件；内部职工持股、工会、信托、委托持股情况及相关的协议（如有）;1.7 All previous the verification report of increase registered capital since the company establishment,all previous evaluation report of the company(Depending on the actual situation).公司设立以来历次增(减)注册资本的验资报告(工商局登记复印资料)，公司历次评估报告（如有）；1.8 A full set of industry and commerce the end of file data(including subsidiaries,since the establishment of the beginning).全套工商局登记底档资料(含子公司，自设立始)2.Corporate governance and internal Control公司治理及内部控制2.1Directors, supervisors, senior executives and resume list;董事、监事、高管人员名单及简历；2.2 The written explanation of the modify of articles of association all previous .章程的历次修改情况书面说明；2.3All of the shareholder resolution since the company set up , the resolutions of board of directors and the board of supervisors .公司设立以来历次股东会决议、董事会、监事会会议决议2.4 A full set of effective internal control system currently .全套公司现行有效的内部控制制度。

***有限公司
访谈对象：
访谈日期：
访谈地点：
访谈目的：本次访谈的主要目的是回访我司项目组尽职调查及受托管理相关工作开展情况以及了解贵司经营情况及未来发展规划。

访谈内容：
第一部分我司项目组尽职履责情况方面
1、在尽调和存续期间，项目组成员、现场负责人是否发生重要调整？项目组与贵司沟通情况如何？
2、项目组是否向贵司有关人员进行有关债券市场的法律法规、基础知识培训？采取何种方式？
3、项目组采取了哪些方式开展尽职调查工作？
第二部分贵公司业务发展、合规经营方面
1、请介绍贵公司主要业务模式。

近年来是否存在主营业务、经营模式发生变化的情形？公司未来发展规划？贵司在行业的竞争优势有哪些？
2、请介绍贵司公司治理结构及运行情况。

简要介绍公司董事会和管理层的构成。

3、请介绍贵司目前有息债务情况以及未来重大投融资计划。

对于未来金额较大的投资计划，贵公司的融资措施包括哪些？
4、贵公司应收当地政府及其他平台公司的非经营性往来款项较多，近年来回款情况如何？
5、债券发行以来，贵公司主要资产是否有较大变动？有无划转或调整子公司的情况？
6、贵司名下资产主要有哪些？已抵押的资产占比？
7、目前贵司对外担保金额多大？是否存在代偿责任风险。

8、发行人在存续期间有无发生重大事项？
9、请简要介绍贵公司重点在建和拟建项目。

（以下无正文）
被访谈人签字：
访谈人签字：
***有限公司
年月日。

DUE DILIGENCE DOCUMENTS CHECKLIST尽职调查文件清单In order for the and to conduct the due diligence review regarding a proposed transaction between and , we will need to receive certain information and documentation from with respect to the business, assets and operations of following entities:为便于和就有关与的交易进行尽职调查，请提供下列企业关于业务、资产和经营方面的信息和文件：[][][](Each a “Company” and collectively the “Companies”)(单独或合称为“公司”)If the Company has any sub-entity with independent legal person status (“Subsidiary”), the Subsidiary should be regarded as another “Company” and should separately provide answers and all relevant documents in relation to the items indicated in this Documents Checklist.若公司有任何具有独立法人地位的下属机构(“子公司”)，该子公司应视为另一个“公司”并另行按本文件清单所列事项提供答复及所有有关文件。

To expedite the due diligence process, we have compiled the following outline which lists the documentation and information that we will need to review (set forth in no particular order).为了加快尽职调查的进程，我们准备了下列提纲列明所需要审阅的文件和信息(排序不分先后)。

HR访谈提纲基本信息被访人信息访谈目的二、访谈记录1.1请介绍公司组织人事、劳动工资、招聘培训等人力资源管理相关部门设置及主要职责，部门内岗位设置及主要职责？1.2目前的业务制度是否和公司管理制度保持一致?哪些方面会有比较大的差异？期望未来那些方面能够在公司层面进行规范和统一？1.3请简单描绘现有公司的组织结构情况、员工种类情况，公司地域划分等情况。

请描述现有人力资源部门的人员配备情况。

1.4请介绍一下贵公司现有人力资源现状，简单描绘当前HR现状，都涉及人力资源哪些业务方面的管理？下属各级单位是否还有自己的人力资源管理系统？1.5目前在人力资源管理中面临哪些挑战？您希望人力资源系统能够帮助企业管理提升哪些业务方面？（请从组织管理、人员基础信息管理，考勤和薪资、员工绩效、员工招聘、员工培训和发展、等业务角度阐述）1.6在人力资源报表及分析方面，您的期望值是什么？2组织结构及岗位管理2.1请您简单介绍一下贵公司组织管理相关的主要工作内容以及所涉及到的部门和岗位，包括公司组织机构的基本情况，岗位管理的情况。

并请提供组织机构图。

2.2目前是否有完整的岗位体系？例如职务分类、职务等级等。

2.3目前有没有成型的岗位说明书要求？对岗位任职资格的有没有进行量化的管理？2.4公司对于岗位编制是如何管理的？目前是否是一人一岗的管理模式，如果存在兼职兼岗的情况，未来需要怎样管理？空缺岗位如何管理？2.5请详细介绍公司在编制定员管理和用工总量管理的工作流程及各层级审批权限（明确方案制定、上报、审批和落实的责任部门及调控的流程等)。

如有流程图请提供。

2.6请提供目前的组织管理方面的报表样张，或您对未来组织管理方面的报表需求有哪些？3.1请您简单介绍一下目前贵单位人事管理工作过程中涉及到的部门和岗位。

3.2目前对于人事信息管理的主要工作有哪些？主要管理员工哪些信息？目前管理的员工数量大概多少？员工数据是否进行电子化的存储？3.3目前贵公司所使用并需记录的人事事件活动包括哪些？例如，员工录用、员工转正、员工调动（升职、平调、降职）、员工离职、等等。

Human Resources劳动人事1Please provide the following documents and the statements regarding the following status.请提供下列文件并就下列情况提供说明。

2Where the request is not applicable, please fill in with "N/A".如有关要求确实不适用，请填入“不适用”。

3Agreements, licenses etc referred to below cover rights granted either to or by the Company 下述协议和许可等，其中包含由公司授予的或授予公司的权力。

1.1. orgnization.请提供本企业的愿景（长期发展目标）、使命和企业价值观1.2. Please list the HR management and organization development actions in 2007 and plans for 2008-1010请列举企业在2007年已经实施和计划在2008-2010年实施的人力资源或组织发展方面的举措2. Organization Structure 组织机构状况2.1. Operating history. Please specify any M&A activities happened before including acquisition, business spin-off, asset purchase etc. Please specify how you handle employment issues in such cases.运营历史：请说明公司历史上发生的如兼并收购，业务剥离，所有权变化等事件；请说明在这些事件过程中，公司员工的劳动关系进行了如何的处理；2.2. Employee category, the description for every category including: competancy requirement,working experience, management range and etc. Please also clarify the principle and standard to divide those category and the headcount in every grade.公司内员工的级别划分，每一级别的描述，包含能力要求、工作年限、管理范围等,请说明岗位级别的评估原则和标准，并请提供目前在每一级别上的具体员工数量;2.3. Organization structure(detail as every in-direct employee especially those who have people management responsibility);the headcount for every department and if there is any headcount change plan, as increase or retrench in 2008-2009, please provide the reason and planed headcount.公司组织架构图（请细到每一位有人员管理职能的管理人员和办公室人员）；各部门人数，各部门2008.2009和2010年计划的人员变动情况；如果未来一到三年计划人数有变动，请说明原因；Human Resources劳动人事1Please provide the following documents and the statements regarding the following status.请提供下列文件并就下列情况提供说明。

尽职调查之访谈问题清单【最新】XXX1.Management interview1.1 What is the company's equity structure。

Who composes the board of directors?1.2 What are the company's short。

medium。

and long-term strategic plans?1.3 What do you think is the company's development n。

What should be the future market ning and business n of the company。

What are your thoughts and ns for the company's future development。

(Business ning)1.4 What is the company's current n in the market。

How do you view the company's current development status。

What are its successes and ings?1.5 What kind of company strategy are we currently adopting。

(n。

low cost。

n)1.6 Who is our main XXX?1.7 How do you think the industry will develop in the nextfive years。

What are the XXX?1.8 What is our core competitiveness?1.9 Are there any strategic alliances at present。

尽职调查提纲Contents of Due Diligence Report一：企业基本情况、发展历史及结构：The basic information, evolvement and organizational structure of the company法定注册登记情况Registration股权结构Ownership structure下属公司Subsidiaries and branches重大的收购及出售资产事件Key events of purchasing and selling assets经营范围Business scope二：企业人力资源Human resources管理架构（部门及人员）Management structure (Departments and staffing)董事及高级管理人员的简历Resume of Directors of the Board and members of the upper management team酬薪及奖励安排Policies on compensations, rewards and penalties员工的工资及整体薪酬结构Salary structure员工招聘及培训情况Recruitments and training arrangements退休金安排Benefits Policy, e.g. Pensions三：市场营销及客户资源Marketing, Sales and Customer resources产品及服务Products and services重要商业合同Important business contracts市场结构Market structure销售渠道Distribution channels销售条款Sales policies and terms销售流程Sales management procedure定价政策Pricing policy信用额度管理Credit & Risk exposure management市场推广及销售策略Marketing and sales strategy促销活动Promotion activities售后服务Post-sales services客户构成及忠诚度Customer base composition and customer loyalty四：企业资源及生产流程管理Enterprise resources and production management1. 加工厂Factory and plant2. 生产设备及使用效率Equipments and production capacity3. 研究及开发Research and development4. 采购策略Purchasing policy5. 采购渠道Purchasing channels6. 供应商Suppliers7. 重大商业合同Important business contracts五：经营业绩Business performance会计政策Accounting policy历年审计意见Auditing results of the last three years if available三年的经营业绩、营业额及毛利详尽分析Analysis on business performance, sales revenue and gross profit of the last three years if available三年的经营及管理费用分析Analysis on operation and administration expenses of the last three years if available三年的非经常项目及异常项目分析Analysis on non-frequent and abnormal activities of the last three years if available各分支机构对整体业绩的贡献水平分析Analysis on the contribution of each subsidiary to the overall business performance六、公司主营业务的行业分析Industry analysis行业现状及发展前景Current situation and anticipation of industry development trend中国特殊的经营环境和经营风险分析Analysis on business environment and operational risks in China公司在该行业中的地位及影响The subject company’s position and influence in the industry七：公司财务情况Financial status三年的资产负债表分析Three years Balance Sheet if available资产投保情况分析Analysis on assets insurance status外币资产及负债Capital and debts in foreign currency历年财务报表的审计师及审计意见Auditors’ opinion on the financial reports of the past years最近三年的财务预算及执行情况Financial budgets and performing status of the last three years if available固定资产Fixed assets或有项目（资产、负债、收入、损失）Contingent Items on assets, debts, income, losses 无形资产（专利、商标、其他知识产权）Intangible Assets, e.g. patent, logo and other intellectual property rights八：利润预测Profitability forecast未来两年的利润预测Profit forecast of the next two years预测的假设前提Assumptions of the forecast预测的数据基础Foundation of the forecast本年预算的执行情况Current year’s budget performing status九：现金流量预测Cash flow forecast资金信贷额度Commercial and Bank Credit Limits贷款需要Needs on loans借款条款Borrowing terms十：公司债权和债务Creditor’s rights and liability（一）债权Creditor’s Rights债权基本情况明细Details of rights债权有无担保及担保情况Collateral/guarantee status on the rights债权期限Duration of the creditor’s rights债权是否提起诉讼Legal actions pursued（二）债务Debts and Liabilities1.债务基本情况明细Details of the liability2.债务有无担保及担保情况Collateral/guarantee status on the Liabilities3.债务抵押、质押情况Mortgage and pledge4.债务期限Duration of the liabilities5.债务是否提起诉讼Legal actions pursued十一：公司的不动产、重要动产及无形资产Properties, valuable assets and intangible assets土地权属Land property房产权属House property车辆清单Automobiles专利权及专有技术Patents and self-developed technologies以上资产抵押担保情况Mortgage and collateral status on the above listed assets十二：公司涉诉事件Lawsuits作为原告诉讼事件Lawsuit put out by the subject company, as Plaintiff作为被告诉讼事件Lawsuit against the subject company, as Defendant十三：其他有关附注Other issues and comments公司股东、董事及主要管理者是否有违规情况Violations by any of the shareholders, directors and executives if there’s any公司有无重大违法经营情况Significant business operational violations by the company上级部门对公司重大影响事宜Impact and influence from government administrative departments on the subject company十四：企业经营面临主要问题Business obstacles and operational difficulties困难或积极因素Obstacles & difficulties and the negative impacts or positive if there’s any 应对措施Solutions。

1Due Diligence IssuesDaniel Chan Bonded Processing ArrangementsIssues relating to Bonded ProcessingArrangementsz factory transfer¾transfer of partially finished goods to anotherfactory for further processing before export¾non-refund of VAT on inputs3Bonded Processing Arrangements(cont’d)z import processing (“buy-sell”)¾title to imported materials ¾under customs supervision (no customsduties & import VAT)z processing & assembly (“consignment”)¾no title to imported materials¾no VAT on processing fees Bonded Processing Arrangements(cont’d)z equipment import¾VAT and duty free ¾preferential treatment may be changed5Licenses & PermitsAll licenses & permits (issued by national,provincial or other levels of governmentauthorities)z e.g. chemical manufacturing WFOE¾permits for production of dangerouschemical products¾permits for emission of waste TaxesSmugglingzimported machinery z import VAT and Custom duties receiptsIndividual Income Tax z withholding taxzdual employment contract Potential issue of retroactive payment oftaxes exempted under tax holiday, in assetacquisition scenario7Tax Implications on TransferAcquisition of equity interestz capital gain is subject to EIT Tax Implications on Transfer (cont’d)Acquisition of AssetzVAT on sale of equipment and machinery, inventory-exemption on used equipment zEIT on WFOE’s gain zstamp tax of either 0.03% or 0.05%z deed tax on real property and land use rights3% -5%9Transfer PricingPotential Tax Audit –Income TaxAdjustment Transactions with affiliatesztangible property zintangibles –cost sharing arrangement?z servicesTransfer Pricing Defense z functional analysiszcomparability studies Land and Building IssuesTypes of land use rightsz collectively-owned, allocated or grantedDocuments evidencing land use rights and buildingownershipz land grant contract, land use rights certificate, buildingownership certificateLand use rights or building ownership encumbered?z mortgaged?Occupation of building zbuilding completion certificate and approval for fireprotectionTrademark (“TM”)Determine types of TM the WFOEpossesses; identify the TM for the goodsand/or services that will be acquiredOwnership (own or user rights)z TM searchesz any sub-license grantedAny TM infringement litigation11EmploymentCross-border issues (expatriates visa, income tax liabilities, etc)Employment termination issuesSeverance payments for terminationInsurance policies: employment, asset, medical, etc.Due Diligence Checklist尽职调查文件清单This is a checklist for due diligence exercise on a foreign invested enterprise, which is in the nature of a wholly foreign owned enterprise (“WOFE”), a Chinese-foreign equity joint venture (“EJV”) or a Chinese-foreign cooperative joint venture (“CJV”).以下系对外商投资企业（公司”）进行尽职调查所需的文件清单，该公司之性质为外商独资企业（“外资企业”）、中外合资经营企业（“合资企业”）或中外合作经营企业（“合作企业”）。

并购尽职调查清单1.企业基本情况、发展历史及结构（the basic information, evolvement and organizational structure of the company）（1）法定注册登记情况（registration）（2）股权结构（ownership structure）（3）下属公司（subsidiaries and branches）（4）重大的收购及出售资产事件（key events of purchasing and selling assets）（5）经营范围（business scope）2.企业人力资源（human resources）（1）管控管理架构（机构部门及有关人员）［management structure（departments and staffing）］（2）董事及高级管控管理有关人员的简历（resume of directors of the board and members of the upper management team）3.市场营销及客户资源（marketing, sales and customer resources）（1）相关生产产品及相关服务（products and services）（2）重要商业合约协议（important business contracts）（3）市场结构（market structure）（4）客户构成（customer base composition）4.企业资源及生产相关流程管控管理（enterprise resources and production management）（1）加工厂（factory and plant）（2）生产设备及使用效率（equipments and production capacity）（3）研究及开发（research and development）（4）采购渠道（purchasing channels）（5）供应商（suppliers）5.公司主营业务的行业分析（industry analysis）（1）行业现状及发展前景（current situation and anticipation ofindustry development trend）（2）公司在该行业中的地位及影响（the subject companys position and influence in the industry）6.公司财务情况（financial status）（1）最近三年的资产负债表分析（three years balance sheet if available）（2）外币资产及负债（capital and debts in foreign currency）（3）历年财务报表的审计师及审计意见（auditors opinion on the financial reports of the past years）（4）最近三年的财务预算及执行情况（financial budgets and performing status of the last three years if available）（5）固定资产（fixed assets）（6）无形资产（专利、商标、其他知识产权）（intangible assets, e.g. patent, logo and other intellectual property rights）7.利润预测（profitability forecast）（1）未来两年的利润预测（profit forecast of the next two years）8.公司债权和债务（creditors rights and liability）1）债权（creditor s rights）（1）债权基本情况明细（details of rights）（2）债权有无担保及担保情况（collateral/guarantee status on the rights）（3）债权期限（duration of the creditor s rights）（4）债权是否提起诉讼（legal actions pursued）2）债务（debts and liabilities）（1）债务基本情况明细（details of the liability）（2）债务有无担保及担保情况（collateral/guarantee status on the liabilities）（3）债务抵押、质押情况（mortgage and pledge）（4）债务期限（duration of the liabilities）（5）债务是否提起诉讼（legal actions pursued）9.公司的不动产、重要动产及无形资产（properties, valuable assets and intangible assets）（1）土地权属（land property）（2）房产权属（house property）（3）车辆清单（automobiles）（4）专利权及专有技术（patents and self-developed technologies）（5）以上资产抵押担保情况（mortgage and collateral status on the above listed assets）10.公司涉诉事件（lawsuits）（1）作为原告诉讼事件（lawsuit put out by the subject company, as plaintiff）（2）作为被告诉讼事件（lawsuit against the subject company, as defendant）11.股东出资情况（1）各股东出资情况（2）各股东与股份公司的关系及关联交易12.其他有关附注（other issues and comments）（1）公司股东、董事及主要管控管理者是否有违规情况（violations by any of the shareholders, directors and executives if there s any）（2）公司有无重大违法经营情况（significant business operational violations by the company）（3）上级机构部门对公司重大影响事宜（impact and influence from government administrative departments on the subject company）13.企业经营面临的主要问题（business obstacles and operational difficulties）（1）困难或积极因素（obstacles & difficulties and the negative impacts or positive if there s any）（2）应对措施（solutions）。

尽职调查访谈提纲采购部访谈1．公司的主要采购模式、近两年各种采购模式所发生的采购金额及占采购总金额的比重。

2．公司近两年采购的主要原材料的名称、各自的采购金额及分别占采购总金额的比例。

3．公司原材料的主要供应商名称、区域分布及向其采购的金额占公司采购总金额的比重。

4．公司主要原材料的供应情况、是否存在替代品、价格变动情况及对本公司产品价格的影响及公司的对策。

5．公司近两年主要产品成本中原材料占的比重。

6．公司在采购方面的优势。

7．公司如何进行品质管理？品质部访谈1．公司产品的质量控制措施。

2．公司主要客户对公司产品的品质有何要求？3．公司主要产品品质的行业标准及公司产品执行的标准4．公司主要产品品质所达到的水平。

5．公司产品质量纠纷及其处理。

6．公司在产品品质控制方面的优势。

7．公司在产品质量控制方面有何风险。

8．公司产品售后服务情况。

9．部门内部的相关文件（包括但不限于品质制度规划、目标及要求）10．品质部与其他部门的业务合作。

11．公司的特色及核心竞争力。

研发部访谈清单1．描述公司研发体系的设置、研发模式及研发流程。

2．公司研发部门设置及其职责。

3．公司现有的技术水平及技术优势。

4．公司主要技术的取得方式、核心技术介绍及其来源。

5．公司的技术储备情况。

6．公司主要产品所处的技术阶段。

7．主要产品的技术含量、可替代性。

8．公司的研发优势、技术成果、研发方面存在的风险。

9．公司针对研发团队采取的激励措施、研发团队的稳定性。

10．公司现有的技术开发平台及设施。

11．公司现有的专利的保护期、到期后对公司的影响。

12．与其他公司开展的技术合作情况（技术合作协议、合作成果的分配、保密措施）13．公司拥有的非专利技术情况。

14．公司如何介入主要客户的研发、双方的合作及合作成果的共享。

15．公司的技术创新机制、是否有稳定、连续的新产品以保持公司利润的稳定增长。

16．公司与上下游产业的合作。

17．公司的研发周期如何。

尽职调查所需资料日录（L}J英对照）Table of Contents for Due DiligenceA．公司法定成立文件(Incorporation Documents of the Company)1．公司历史背景的解释（包括任何股东变更、资产抛售、公司分立等）Explanation on the historical background of the Company (including e.g. whetherthere were any change of shareholders, major disposal of assets or spin-oft thecompany)2．公刊设立的完整文件，包括可行性报告、向审批机构递交的中请、审批机构的批复、行业主管部门的前置审批／许可、项日核准以及其他政府机构出具的批准或鸶记文件Complete set of incorporation documents of the Company, including feasibility studyreport, applications submitted to and official replies from the relevant examination andapproval authorities, preliminary examination and approval from competent authorityfor relevant industry, project approval and approvals or registration certificates issuedby other governmental authorities3。

政府机构就外商投资鼓励类项日出具的确认书（如有）Confirmation letter issued by governmental authorities for encouraged foreign-invested project(if any)4．股东协议（或合资合同）及其修改文件Shareholder's agreement (or joint venture contract), including any amendment.5．章程、其修改文件及相关的董事会和／或股东会决议Articles of association including any amendment, and relevant resolutions passed bythe board of directors and/or shareholdrs' meeting of the Company6。

尽调清单中英文DocumentationRequestListforLegalDueDiligence尽职调查文件清单InstructionsThisDocumentsRequestList(the“Request”)hasbeenpreparedforthepurposeofconductinglegalduediligenceon[X](the“Com SubsidiariesoftheCompanywithanindependentlegalpersonstatus arenot includedintheRequest.Ifnecessary,aseparaterequ dentlegalpersonstatus are includedintheRequest.Documentsaskedforimpliescopiesofsuchdocuments,unlessotherwisespecified.Foreachitembelow,itshouldbeassumedthat a Foreachitembelow,ifallrelevantdocumentshavebeenprovided,pleasechecktheboxtotherighttoindicatethattheitemofrequ Ifinformationormaterialsaskedforis:(i)notapplicabletotheCompany,(ii)applicable,butnotexpectedtobeavailable,or(i If,priortotheclosingofthetransaction,anyeventoccursoryouobtainanyadditionalfactsthathaveamaterialeffectonthein “Officialdocuments”referstoapprovals,certificates,licenses,contracts,formalapplications,etc. Agovernmentauthorityincludesitslocalorsubordinateorgans.“Recent”or“recentyears”meansthepast[X]years,unlessotherwisespecified. “Materialamount”refersto[￥X].“Affiliate”refersto:1)TheparentcompanyoftheCompany;2)ThesubsidiariesoftheCompany;3)OthercompaniesunderthecontrolofasameparentcompanyoftheCompany;4)TheinvestorshavingjointcontrolovertheCompany;5)TheinvestorshavingsignificantinfluenceontheCompany;6)ThejointventuresoftheCompany;7)TheassociatedcompaniesoftheCompany;8)Theprincipalindividualinvestorsandtheclosefamilymembersofsuchindividuals.“Principalindividualinvestors”ref9)ThekeymanagersoftheCompanyorofitsparentcompanyandtheirclosefamilymembers.“Keymanagers”refertothemanagerswhamilymembersofaprincipalindividualinvestororofakeymanagerrefertothefamilymemberswhomayinfluence,orbeinfluenc 10)Othercompanieswhicharecontrolledorjointlycontrolledbytheprincipalindividualinvestors,orkeymanagers,orthelymembersofsuchindividualshavesignificantinfluence.PLEASEPROVIDETHEFOLLOWING:请提供下列文件1BasicInformation 1基本信息Provided/已提供1.1Currentbusinesslicense,showinglatestannualinspection1.2IftheCompanyispartofagroup,theshareholdingstructureofsuchgroupinachartshowingallimportantrelationshipsandcfincorporation1.3Internalorganizationchartandotherinformationshowingdepartmentsandauthorityofofficers1.4AlistofcitiesandcountrieswheretheCompany’sassets(tangibleandintangible)andemployeesarelocated1.5Listofcurrentdirectors,supervisorsandseniorofficersoftheCompanyandtheirlettersofappointment1.6Authorizationsgivenbytheboardorbydirectorstospecially-appointedagentstodealwithsomeparticularmatter1.7ReportsrecentlypreparedbytheCompanyregardingbusinessandimportantmattersfacingtheCompany2HistoricalChanges2.1PriortotheestablishmentoftheCompany: 2.1公司成立以前：□(1)发起人会议的决议和会议记录□(1)resolutions&minutesofmeetingofpromoters(2)agreementsenteredintobythepromoters (2)发起人之间达成的协议□2.2AttheCompany’sestablishmentorduringma2.2公司成立期间或公司进行重大变更期间：□jorchangetotheCompany:(1)feasibilitystudyreports,projectproposalsandotherapplicationssubmittedtogover nmentauthoritiesforthepurposeofapprovi ngtheintendedbusinessactivitiesoftheCo mpany (1)为取得公司拟开办业务有关批准而提交予政府部门的可行性研究报告、项目建议书或其他申请文件□(2)officialdocumentsfromortogovernmentauthoritiesrelatingtotheabove,includingif applicableapprovalsfromgovernmentregul atorsforcertainindustriesorclassesofco mpanies(suchasapprovalfromMIITfortelec ommunicationscompanies,orforaprojecten couragedbythestate,acertificatetothate (2)与上述有关的政府部门复函或给政府部门的函件，包括相关行业主管部门或相应级别的主管部门的批准（如工业和信息化部对电讯公司的批准，或国家对鼓励项目的批准等等）□ffect)(3)SASACapprovalifstate-ownedassetsareinvolved (3)如涉及国有资产，国有资产监督管理部门的批准文件□2.3SincetheestablishmentoftheCompanyuntilthepresent2.3公司自成立至今□(1)businesslicenses,includinganyamendmentsandshowingallannualinspectionpassed (1)营业执照，包括变更的营业执照和所有年检纪录□(2)amendmentstoinformationregisteredwithAIC(2)工商局的变更登记证明□(3)AOA,includinganyamendments (3)章程，包括所有章程修正案□(4)JVcontracts(ifapplicable),includingany(4)合资合同（如适用），包括任何合资合同的□amendments 修订或补充(5)capitalverificationreports;assetappraisalreportsforin-kindcontributions(5)验资报告；以非现金出资的资产评估报告□(6)MOFCOMapprovalsforFIEestablishment,includinganyamendmentsandshowingallannual inspectionpassed (6)商务部门批准外商投资企业成立的批准，包括任何变更或年检记录□(7)organizationalcodecertificates,includinganyamendmentsandshowingallannualinspectionpassed(7)组织机构代码证，包括任何变更和年检记录□2.4ForallchangestotheAICregisteredinformation(suchasamendmentofAOA,amendmentofJ Vcontracts,increaseofcapital,changeofd 2.4工商变更登记信息（如章程修改、合资合同修改，增资，变更董事、经营范围变更、收购、吸收、合并、分立、重组等等）□irectors,changeofbusinessscope,acquisition,merger,divestiture,restructuring,etc.)(1)公司股东会及董事会决议□(1)shareholderandboardresolutionsoftheCompany(2)该等变更或交易的相关合同□(2)contractsrelatingtosuchchangeortransaction(3)shareholderandboardresolutionsofotherp(3)交易相对方的股东会决议和董事会决议□artiestosuchtransaction3Shareholders 3股东Provided/已提供3.1Generalinformationregardingtheshareholders(includingwhetheranyarestate-owned enterprisesorFIE)andhistoricaldealings /interactionsamongthem 3.1股东的基本信息（包括是否国有企业或中外投资企业）以及股东之间的关系□3.2Businesslicenseorpersonalidentificationcardofshareholders3.2营业执照或个人身份证明□3.3AnyagreementsamongsomeorallshareholdersregardingtheCompany3.3部分或全部股东关于公司的任何合同、协议□4Financing 4融资Provided/已提供4.1SAFEofficialdocuments,suchasforeignexchangeregistrationcertificate,foreigndebtregistrationcertificateandfo4.2MOFofficialdocuments,suchasthefinancialregistrationcertificate,includinganyamendmentsandshowingallannualin4.3Contractsrelatingtoalldebt,financingorguarantees,includingthoserelatingtosecurityinterests(mortgages,pledg。