典型的知识产权尽职调查提纲 IP DueDiligence Checklist
知识产权尽职调查报告(专业律师版)
知识产权尽职调查报告(专业律师版)知识产权尽职调查报告（专业律师版）1. 背景本次尽职调查的目的是评估目标公司的知识产权状况，并为投资方提供相关风险和机会的评估意见。
该报告基于对目标公司的尽职调查，并针对知识产权领域进行了深入调研。
2. 目标公司概述在尽职调查中，我们对目标公司进行了全面的概述。
目标公司是一家专注于（此处填写目标公司的主要业务领域和产品/服务）的公司。
该公司创立于（此处填写公司成立时间），总部位于（此处填写总部地点）。
目标公司在（此处填写目标市场/行业）具有一定的知名度和市场份额。
3. 知识产权分析3.1 专利目标公司在专利方面的情况如下：- 专利数量：目标公司目前拥有（填写数量）项有效专利。
- 专利类型：包括发明专利、实用新型专利和外观设计专利。
- 专利保护范围：目标公司的专利保护范围覆盖了（填写领域或技术）等关键技术领域。
- 特别注意事项：（填写特别需要关注的专利情况，如专利诉讼风险或侵权纠纷）3.2 商标目标公司的商标情况如下：- 注册商标：目标公司已注册（填写数量）个商标，并取得了相关授权。
- 商标保护范围：目标公司的商标涵盖了（填写领域或产品）等关键领域。
- 商标风险：目标公司的商标登记情况良好，并无重大商标争议或侵权纠纷。
3.3 版权目标公司的版权情况如下：- 著作权登记：目标公司已登记著作权的作品数量约为（填写数量）个。
- 版权保护范围：目标公司的版权保护范围包括了（填写关键作品类型或领域）等重要作品。
- 版权风险：目标公司的版权作品没有重大侵权纠纷。
3.4 机密信息保护目标公司的机密信息保护情况如下：- 机密信息保护措施：目标公司已采取了（填写机密信息保护手段，如保密协议、访问控制等）等措施。
- 机密信息泄露风险：目标公司的机密信息泄露风险较低，未发生重大泄露事件。
4. 结论根据对目标公司知识产权的尽职调查结果，我们得出以下结论：- 目标公司在知识产权方面具有较好的保护和管理机制。
知识产权尽职调查制度范本
知识产权尽职调查制度范本一、总则第一条为了保护知识产权，促进创新发展，降低交易风险，根据《中华人民共和国知识产权法》等相关法律法规，制定本制度。
第二条本制度适用于公司在投资、并购、许可、技术转移等重大经营活动中，对目标公司的知识产权进行权属调查、风险分析和价值评估的专业活动。
第三条知识产权尽职调查应遵循客观、公正、全面、细致的原则，确保调查结果的真实性、准确性和完整性。
第四条公司应建立健全知识产权尽职调查团队，配备具有专业知识和实践经验的知识产权律师、工程师、分析师等人员。
二、调查内容第五条知识产权尽职调查内容包括：1. 知识产权资产的确认：梳理目标公司的专利、商标、著作权等知识产权，明确知识产权的种类、数量、有效期限、权利人等信息。
2. 知识产权稳定性分析：调查知识产权的法律状态、权利负担、是否存在侵权纠纷等情况，评估知识产权的稳定性和合法性。
3. 自由竞争分析：分析目标公司的知识产权在相关行业中的地位和影响力，评估知识产权对市场竞争的影响力和潜在价值。
4. 专利技术评估：对目标公司的专利技术进行技术性评估，分析专利技术的创新性、实用性、市场竞争力等。
三、调查程序第六条知识产权尽职调查按以下程序进行：1. 确定委托：与目标公司签订知识产权尽职调查委托协议，明确调查范围、期限、费用等事项。
2. 制定计划：根据调查任务，制定详细的调查计划，明确调查目标、方法、步骤、责任分工等。
3. 前期调查：收集目标公司的相关资料，包括企业简介、产品技术、市场情况、知识产权档案等。
4. 资料搜集：通过公开渠道搜集目标公司的知识产权相关信息，包括专利检索、商标查询、著作权登记等。
5. 访谈走访：与目标公司的管理人员、技术团队、法律顾问等进行访谈，了解知识产权的实际运用和管理情况。
6. 信息核查：对收集到的信息进行核实，确保信息的真实性和准确性。
7. 与第三方机构沟通交流：与知识产权局、行业协会、专业服务机构等第三方机构进行沟通，获取权威信息。
附录二知识产权尽职调查报告
附录二：知识产权尽职调查报告样本关于***项目的知识产权尽职调查报告前言法律责任声明***律师事务所受托就***项目（下称“本项目”）的知识产权状况及风险展开法律尽职调查，并向本法律尽职调查的委托人（下称“委托人”）出具本报告。
本报告是基于截至本报告出具之日相关人员向本所律师提供的文件、说明、访谈等信息，以及本所律师通过公开途径查询获得的信息作出。
本报告仅基于本所迄今为止从目标公司提供的资料和本所查证的事实中获得的信息编写。
因此，如果在本报告出具后本所获得进一步的信息，则本报告将需要随之相应更新，而且可能导致其中的某些结论发生变化。
本所仅从中国法律角度根据委托人的要求进行本知识产权尽职调查。
本所在本报告中对有关问题进行的分析、提供的建议均依据截至本报告出具之日中国已公开发布且现行有效的法律法规作出。
对项目可行性、技术水平、发展前景等投资决策等事宜，以及除中国法律问题以外的其他法律问题，本所不发表任何意见。
本所仅就本报告所述之目的向委托人出具本报告。
未经本所事先书面同意，本报告不应被任何其他单位或个人使用，亦不应被用于任何其他目的。
相关用语释义在本报告中，除非文义另有所指，下列用语具有下述涵义：正文一、本项目知识产权尽职调查的背景二、本所工作计划及工作内容三、本项目参与人员基本情况四、本项目知识产权尽职调查范围五、目标公司的知识产权基本状况六、法律风险分析及建议七、附录附录附录文件清单附件一：访谈照片附件二：访谈记录附件三：调查对象的劳动合同（保密协议、竞业禁止协议）附件四：知识产权文献：包括但不限于专利证书（含专利说明书、专利权利要求书、行政机构重要发文等），著作权登记及变更文书，商标证及变更通知、域名注册证明等）附件五：知识产权相关荣誉附件六：知识产权合同附件七：承诺书/保证函。
尽职调查提纲
尽职调查提纲一、背景调查1.公司背景：包括公司的历史、地位、规模、组织结构等。
2.行业分析：分析公司所处的行业的市场情况、竞争对手、发展趋势等。
二、管理层调查1.管理层背景：了解公司的核心管理团队成员，他们的背景、经验和领导能力。
2.经理层的计划和目标：了解他们的战略和计划，以及他们的目标实现情况。
3.公司内部沟通和决策机制：了解公司内部的沟通渠道、决策流程和团队合作能力。
4.风险管理和公司治理：了解公司的风险管理政策和公司的治理结构。
5.管理层的任职历史：了解公司管理层的任职历史，包括他们在过去的公司的表现和离职原因。
三、经济状况调查1.公司财务状况：包括公司的收入、利润、资产负债表等财务指标。
2.销售和市场份额：了解公司的销售业绩和市场份额。
3.供应链和分销渠道：了解公司的供应链和分销渠道的稳定性和效率。
四、法律调查1.公司的法律纠纷：了解公司目前是否有未决的法律纠纷，以及过去的法律纠纷处理情况。
2.知识产权的保护情况：了解公司的知识产权保护政策和过去的知识产权纠纷情况。
五、风险调查1.宏观经济风险：了解目前的宏观经济环境对公司的影响，包括通货膨胀、利率变动等。
2.经营风险：了解公司的经营风险，包括市场风险、技术风险、竞争风险等。
3.法律和合规风险：了解公司的法律风险和合规风险，包括违反法律和监管规定等。
六、市场调查1.客户调查：了解公司的客户群体、客户关系以及客户满意度情况。
2.产品调查：了解公司的产品质量、创新能力和市场竞争力。
3.竞争对手调查：了解公司的竞争对手，包括他们的产品、定价策略和市场份额。
4.市场调查：了解公司所在市场的发展趋势、需求情况、市场份额等。
七、财务调查1.财务报表分析：对公司的财务报表进行详细分析，包括利润表、资产负债表和现金流量表。
2.财务指标分析：分析公司的财务指标，如盈利能力、偿债能力、资本结构等。
3.净现值和内部回报率分析：根据公司的财务数据计算净现值和内部回报率。
知识产权分析报告提纲
知识产权分析报告提纲
知识产权分析报告提纲
****（项目名称）
知识产权分析报告
正文主要内容包括：
一、项目涉及的知识产权及其权属，合法性与稳定性分析；
二、知识产权对相关经济活动的作用及影响分析；
三、项目实施过程中知识产权的风险及对策分析；
四、项目申报（建议）单位知识产权管理措施；
五、预期获得的知识产权目标级归属；
六、其它相关知识产权事项。
有关附件：
一、知识产权权属状况的权利证书、相应文件或其它证明材料；
二、受让或被许可知识产权的合同文本级相应文件；
三、项目实施过程中涉及的关键技术、核心技术和主要技术专利检索分析报告及其说明；
四、项目申报（建议）单位知识产权管理工作情况的说明；
五、涉及以知识产权作为注册资本、投资或者作价入股的，还应当提供出资或投资协议书、该无形资产的评估报告书等；
六、其它相关证明材料。
注：知识产权分析报告可以申报（建议）单位自己出具，也可以由申报（建议）单位委托具备分析评价资格的知识产权中介服务机构出具。
但相关附近，如主要技术专利检索分析报告等，须由相应的具备资质的机构提供。
申报（建议）单位须对所提供的知识产权分析报告的完整性、真实性、合理性、可行性等负责。
尽职调查提纲
尽职调查提纲
一、调查目的
本调查清单目的是对贵公司及关联方的基本情况、业务发展、资产等进行初步了解，以便制订合理、可行的上市方案。
二、尽职调查范围
本次尽职调查的对象包括贵公司及其下属控股、参股公司（单列）、贵公司的控股股东及相关公司以及贵公司的实际控制人。
我们将根据贵公司提供的尽职调查材料随时更新补充尽职调查文件清单，请贵公司根据我们出具的补充尽职调查文件清单及时提供反馈材料。
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知识产权尽职调查报告
知识产权尽职调查报告知识产权尽职调查报告随着全球经济的发展和科技的进步，知识产权的保护和尽职调查变得愈发重要。
尽职调查是指在商业交易或投资过程中对相关知识产权进行全面调查和评估的过程。
本文将探讨知识产权尽职调查报告的重要性、内容和步骤，并讨论其对商业决策的影响。
一、知识产权尽职调查报告的重要性知识产权尽职调查报告对于企业和投资者来说至关重要。
首先，它可以帮助评估目标公司或项目的知识产权状况，包括专利、商标、著作权等。
这有助于确定目标公司的核心竞争力和市场地位，为商业决策提供依据。
其次，尽职调查报告可以揭示潜在的法律风险和侵权问题。
这有助于避免未来可能的法律纠纷和损失。
最后，尽职调查报告还可以为商业交易的谈判提供支持和依据，有助于确保交易的公正和合法性。
二、知识产权尽职调查报告的内容知识产权尽职调查报告的内容涵盖多个方面。
首先是目标公司或项目的知识产权注册情况。
这包括专利、商标和著作权的注册情况，以及相关权利的有效性和保护范围。
其次是知识产权的使用和许可情况。
这包括目标公司是否拥有必要的许可和授权，以及是否存在侵权行为。
第三是知识产权的价值评估。
这包括对目标公司知识产权价值的评估、市场竞争力和未来发展潜力的分析。
最后是法律风险和侵权问题的评估。
这包括相关法律纠纷的调查和潜在的侵权风险分析。
三、知识产权尽职调查报告的步骤知识产权尽职调查报告的制作需要经过一系列步骤。
首先是信息收集和整理。
这包括对目标公司或项目的相关文件、合同和证据进行收集和整理，以获取必要的信息。
其次是信息分析和评估。
这包括对收集到的信息进行分析和评估，确定知识产权的状况和价值。
第三是风险评估和分析。
这包括对潜在的法律风险和侵权问题进行评估和分析，确定可能的风险和影响。
最后是报告撰写和总结。
这包括将收集的信息和分析结果整理成报告，并对调查结果进行总结和提出建议。
四、知识产权尽职调查报告对商业决策的影响知识产权尽职调查报告对商业决策有着重要的影响。
知识产权尽职调查
知识产权尽职调查一、背景和目的知识产权尽职调查是在进行商业交易、合作或投资时为了评估和保护相关方的知识产权而进行的调查活动。
其目的是了解相关方的知识产权状况，包括专利、商标、版权等，并评估其合法性、有效性和商业价值，以帮助决策者全面了解相关方的知识产权风险和潜在价值。
二、调查步骤和方法1. 确定调查的范围和目标：明确所调查方的相关信息，如名称、注册地，了解其知识产权的关键领域。
2. 收集基础信息：通过公司官方网站、公开报告、专利数据库等途径，收集相关方的基本情况，包括所拥有的专利、商标、版权等类型和数量。
3. 检查知识产权的合法性：核实相关方所拥有的知识产权是否合法有效，包括通过专利局、___等官方机构查询确认。
4. 评估商业价值：分析相关方知识产权的商业价值和潜在利益，考虑其市场地位、技术优势、竞争对手等因素，进行量化或定性分析。
5. 评估知识产权的风险：识别相关方知识产权存在的风险，如侵权风险、失效风险等，细化分析风险的概率和影响程度。
6. 形成调查报告：将调查结果进行整理、梳理和分析，并形成调查报告，明确提出知识产权尽职调查的结论和建议。
三、调查报告内容1. 调查目的和背景：对调查的目的和背景进行简要说明，包括对相关方的概况介绍。
2. 调查范围和方法：明确调查的范围和方法，以及所使用的工具和资源。
3. 知识产权情况介绍：整理和汇总相关方所拥有的知识产权情况，包括专利、商标、版权等的类型和数量。
4. 知识产权的合法性：确认相关方所拥有的知识产权是否合法有效，并提供相关证明文件。
5. 商业价值评估：评估相关方知识产权的商业价值和潜在利益，并提供相应数据和分析。
6. 风险评估：识别相关方知识产权存在的风险，并对风险进行概率和影响程度的评估。
7. 结论和建议：从知识产权合法性、商业价值和风险三个方面进行综合评估，给出合理的结论和建议。
四、注意事项1. 保护机密信息：在进行知识产权尽职调查时，应注意保护涉及到的机密信息，避免泄露和滥用。
典型的知识产权尽职调查提纲IPDueDiligenceChecklist
IP DUE DELIGENCE CHECKLIST知识产权尽职调查清单1, Intellectual Property1、知识产权a A list of all issued, pending and abandoned patent applications and patents filed in China and in foreign countries owned or licensed by or to the Company or any subsidiary, and copies of all certificates, agreements and instruments relating to the acquisition, assignment, licensing, ownership, public announcement and registration thereof, and the copy of recent payment certificate for maintenance fees and the status of each patent.a公司或任何子公司拥有的或许可给他人使用的或被许可使用的、在中国或国外的所有已获授权的、尚未授权的及无效的专利申请和专利的清单,以及与其购买、转让、许可、所有权、公告、注册有关的所有证书、协议和文件的复印件,以及最近一次所有专利维持费缴纳证明的复印件及它们的状态;b A list of all valid and related patents filed or issued. Highlight those key or important patents.b列出所有申请的或已获授权的有效及有关专利中的关键和重要专利;c A list of all registered, pending and abandoned trademarks and service marks in China and in foreign countries owned or licensed by or to the Company or any subsidiary, and copies of all certificates, agreements and instruments relating to the acquisition, assignment, licensing, ownership, public announcement and registration thereof,and all the agreements that include trademark licenses, including, for example, co-branding agreements and marketing and distribution agreements.c公司或任何子公司拥有的或许可给他人使用的或被许可使用的、在中国或国外的所有已注册的、尚未获准注册的和无效的商标或服务标记,以及与其购买、转让、许可、所有权、公告、注册有关的所有证书、协议和文件的复印件,以及包含商标许可的所有协议,包括如品牌合作协议、市场推广和分销协议;d A list of all copyrights including computer software, and all applications therefore created or commissioned in China and in foreign countries owned or licensed by or to the Company or any subsidiary and copies of all certificates, agreements and instruments relating to the acquisition, assignment, licensing, ownership, public announcement and registration thereof.d公司或任何子公司拥有的或许可给他人使用的或被许可使用的、在中国或国外创作或定作的所有着作权包括计算机软件,以及所有相应的申请的清单,以及与其购买、转让、许可、所有权、公告、注册有关的所有证书、协议、文件的复印件;e A list of all mask works, domain names and other registered intellectual property in China and in foreign countries including all applications therefore owned or licensed by or to the Company or any subsidiary and copies of all agreements and instruments relating to the acquisition, assignment, licensing, ownership, public announcement and registration thereof.e公司或任何子公司拥有的或许可给他人使用的或被许可使用的、在中国或国外的所有集成电路布图设计、域名和其他经注册产生的知识产权包括所有相应的申请的清单,以及与该其购买、让与、许可、所有权、公告和注册有关的所有协议和文件的复印件;f A list of all know-how, trade secrets, technology, technical information owned or licensed by or to the Company or any subsidiary and its brief description.f公司或任何子公司拥有的或许可给他人使用的或被许可使用的所有专有技术、商业秘密、技术和技术信息的清单及简单描述;g A list of the R&D projects or proposed to be researched and developed by the Company or any subsidiary and the corresponding intellectual property including patents, trademarks, copyrights, software, trade secrets and technical specifications.g公司或任何子公司正在进行或拟进行研究开发的研发项目的清单,以及相应的知识产权包括专利、商标、着作权、软件、商业秘密和技术指标;h A list of the products of each type produced or proposed to be produced by the Company or any subsidiary and the corresponding intellectual property including patents, trademarks, copyrights, software, trade secrets and technical specifications.h公司或任何子公司正在生产或拟生产的各种类型的产品的清单,以及相应的知识产权包括专利、商标、着作权、软件、商业秘密和技术指标;i A list of the services of each type provided or proposed to be provided by the Company or any subsidiary and the relevant intellectual property including patents, trademarks, copyrights, software, trade secrets and technical specifications.i公司或任何子公司正在提供或拟提供的各种类型的服务的清单,以及相应的知识产权包括专利、商标、着作权、软件、商业秘密和技术指标;j Correspondences with any government authorities regarding intellectual property if applicable.j与任何政府机构之间的有关知识产权的重要往来函件如果有;2, LicensingCopies of the agreements or relevant documents on transferring or licensing of intellectual property right, trademark, patent, know-how or software, or technologycooperation or similar arrangements entered into by the Company as the licensor or licensee, transferor or transferee with any third party including the shareholders or affiliates of the Company, domestic or overseas entities.2、许可公司作为许可方或被许可方,转让方或受让方与任何第三方包括公司股东或关联方、国内的或国外的签订有关知识产权、商标、专利、专有技术、软件的转让或许可,或者进行技术合作及类似安排的协议或相关文件的复印件;3, InfringementDetails of any historical, existing, or potential infringements, disputes or litigations relating to any infringement to a third party’s intellectual property.3、侵权任何已发生的、现存的或可能发生的与侵犯任何第三方知识产权相关的侵害行为、纠纷或诉讼的详细情况;4, Other IP Agreements4、其他知识产权协议a All agreements between the Company or any subsidiary and any third party relating to technology development, services and cooperation and all resulting technology therefrom.a公司或任何子公司与任何第三方签订的关于技术开发、服务和合作的所有协议,以及所有由此产生的技术;b Any agreements or contracts containing provisions for indemnification relating to IP infringement.b包含对侵犯知识产权予以赔偿的条款的任何协议或合同;c Any agreements relating to software maintenance.c与软件维护相关的任何协议;5, Company IP PolicyThe current policies of the Company regarding intellectual property including, but not limited to:5、公司知识产权政策公司有关知识产权的现行政策,包括但不限于：a Measures taken to prevent disclosure of intellectual property and rules regarding the use of intellectual property particularly trade secrets.a为防止知识产权泄露所采取的措施,以及与知识产权尤其是商业秘密使用有关的规范;b In the extent of this cooperation, relevant agreements with other partiesincluding the shareholders, directors, executives, employees and agents, and distributors of the Company.b就此合作而言,与有关各方包括公司的股东、董事、经理人员、雇员及代理商、经销商签订的相关协议;c Policies regarding the use and reproduction of third party software.c对于第三方软件的使用和复制的政策;d Policies and procedures adopted to ensure non-infringement of any person's intellectual property in the process of development and introduction of new products.d在开发或引进新产品时确认不侵犯他人知识产权所采取的政策和程序;e Policies, procedures, work-for-hire agreements and contracts relating to the IPownership of work-for-hire inventions and works.e与职务发明、职务作品的知识产权归属有关的政策、程序、任职协议及合同;6, Other General Intellectual Property Questionnaires if applicable6、其它一般性知识产权问题如果相关a Identify any patents or pending patent applications owned directly or indirectly by a party that protect a significant part of the business or assets.请指出现有哪些国内外机构已授权或仍在公告的专利保护了公司主要的生产及应用相关技术;b Identify any unpatented, but proprietary information, owned directly or indirectly by a party that protect a significant part of the business or assets.请指出现有哪些国内外机构拥有未申请专利的专有技术保护了公司主要的生产及应用相关技术;c Identify any trademarks or copyrights that protect a significant part of the business or assets.请指出现有哪些商标或版权保护了公司主要的生产及应用领域;d Identify any pending or unresolved disputes, oppositions, interferences, reissues, nullity actions or revocations, claims, security interest or litigation that may have a significant impact on the value, ownership or right to use patents, patent applications, trade secrets, trademarks, software or copyrights.指出任何已发生或未解决的纠纷、反对、干预、重议、无效性行动或撤回、所有权、债券利益或指控可能影响价值、所有权或使用专利、专利申请、商业秘密、商标、软件或版权的权利;e Identify any third party patents or published patent applications that arereasonably believed to represent a substantial competitive threat to the business.请合理指出任何第三者授权专利或已公告专利申请对公司存在竞争威胁;f Identify any substantial third party activity that is currently being investigated or is being considered for investigation to determine whether rights in patents, trademarks or confidential information that may be assigned or licensed have been violated.指出是否正在调查和考虑调查那些有可能违反公司专利、商标授权或保密信息的第三者g Identify any agreements related to: i joint or shared ownership; ii settlement of rights; iii licenses, including cross-licenses; iv options; v sales, transfers or assignments; or vi immunities or agreements not to assert, any intellectual property rights that relate to a significant part of the business or assets.指出任何关于如下方面对公司业务有重大影响的协议：i合资或共同所有权；ii权利处置；iii授权或相互授权；iv期权；v销售、转移或分配；或vi 豁免权或未宣称的任何知识产权;h What testing has been done versus competitive product and technologies公司有无与其竞争的产品和技术的比较和测试i What deficiencies would company point to for immediate attention from inventor scientists公司发明研究人员指出的需要立即引起注意的不足之处是什么j What common complaints have been received from customers about the company product performance客户对公司所有相关产品的普遍抱怨是什么k What are your current key development projects现行正在开发的项目是哪些l Describe your key development,testing,and manufacturing facilities请描述现有的主要开发、测试及生产设备m How many current patent filings are underway有多少正在申请还尚未公布的专利n Describe your current technological advantage and disadvantage vs competitors请描述公司与竞争者相比的技术优劣势o Is any technology currently practiced by the company licensed from other parties公司有无正在使用从别人授权的技术p What is your view of their freedom to practice outside China given the extensive patent field in the area of your business就贵公司现有业务相关技术专利,请提出关于其专利能否在中国以外地区自由使用的观点及评论;q List significant R&D initiatives and any intellectual property protection pending or contemplated for same.列出重要的研发计划及任何准备保护的知识产权;r Are any of the intellectual or physical assets shared with other businesses or owned by the parent company and therefore are not exclusive to the proposed cooperation公司有无与其它公司共有的知识产权和固定资产,而这些产权和资产将不为此次合作所有s Are there any divestitures or acquisitions pending that could affect the assets of the company公司有无正在与其它公司进行就此项合作所进行的相关活动t List of the key R&D personnel that are key to retaining the intellectual capital or transferring the technology and know-how.列出所有拥有知识产权和与知识产权或专有技术转移的关键研发人员;u Relative to product stewardship, are there any governmental actions.关于对产品的所有权,政府方面有无任何问题。
尽职调查提纲及文件清单 中英文
尽职调查提纲及文件清单中英文Contents and document list 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 SolutionsDUE 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。
知识产权尽职调查方案模板-知名律所权威版
知识产权尽职调查方案模板-知名律所权威版知识产权尽职调查方案模板 - 知名律所权威版1. 背景和目的尽职调查是一项重要的程序，旨在帮助企业在涉及知识产权交易、合作或其他相关事宜前，全面了解和评估相应的法律风险和商业机会。
本文档旨在提供一份知名律所权威版的知识产权尽职调查方案模板，以引导企业进行全面且有效的尽职调查。
2. 尽职调查的流程和步骤为了确保尽职调查的全面性和有效性，我们推荐以下流程和步骤：2.1 确定调查范围和目标在开始尽职调查之前，明确调查的范围和目标。
例如，在知识产权交易中，可能需要调查专利、商标、著作权等各个方面的法律情况。
2.2 收集必要的信息和文件与相关方合作，收集所有必要的信息和文件。
这可能包括专利申请、商标注册证明、版权登记证书、合同和许可证书等。
2.3 分析知识产权权利状况仔细分析所收集到的知识产权相关文件和信息，评估知识产权的有效性、可行性和完整性。
特别关注存在的法律纠纷、侵权风险以及是否存在未申请或未注册的情况。
2.4 评估商业机会和风险在尽职调查过程中，需要对商业机会和风险进行全面评估。
这包括市场需求、竞争情况、未来发展潜力以及可能面临的商业风险等。
2.5 撰写尽职调查报告根据所得到的信息和评估结果，撰写一份详尽的尽职调查报告。
报告应清楚列出发现的问题、风险和建议。
报告的结论应明确表明知识产权交易是否值得进行。
3. 风险和挑战在进行知识产权尽职调查时，可能会面临以下风险和挑战：- 不完整的信息和文件，可能导致评估结果不准确；- 时间和资源的限制，可能导致无法全面调查；- 法律法规的不确定性，可能对尽职调查结果产生影响。
为了应对这些风险和挑战，建议与知名律所合作，以确保尽职调查的准确性和可靠性。
4. 结论知识产权尽职调查是企业保护知识产权和做出明智决策的重要环节。
通过遵循本文档中所提供的知名律所权威版的知识产权尽职调查方案模板，企业可以更好地评估相关法律风险和商业机会，从而做出明确的决策。
知识产权尽职调查与尽职风险报告
知识产权尽职调查与尽职风险报告摘要知识产权（Intellectual Property，简称IP）是现代经济中最重要的资产之一。
对于企业来说，尽职调查和风险评估是成功管理知识产权的关键。
本报告旨在提供关于知识产权尽职调查和尽职风险的综合指南，包括定义和目的、调查流程、评估方法以及尽职风险报告的重要性。
第一部分知识产权尽职调查1. 定义和目的知识产权尽职调查是指在购买、收购或合作项目中对知识产权相关问题的全面调查和评估。
其目的是识别潜在的风险和机会，以支持决策制定和风险管理。
2. 调查流程收集信息收集与目标企业的知识产权相关的所有信息，包括专利、商标、版权、商业秘密等。
整理文件组织和归档相关文件，确保调查的准确性和完整性。
调查核实对相关知识产权进行实地调查和验证，确认其合法性和有效性。
风险评估评估潜在风险，包括侵权、流失、依赖和价值等方面。
撰写报告将调查结果整理成报告的形式，向相关方提供清晰的调查结论和建议。
第二部分尽职风险报告1. 评估方法侵权风险评估目标企业是否存在侵权行为，包括侵犯他人知识产权或依赖于他人的权利。
流失风险评估目标企业的知识产权是否存在流失的风险，如未有效保护或维护等。
依赖风险评估目标企业是否过度依赖某项知识产权，如某个专利或商标。
价值风险评估目标企业的知识产权在市场上的实际价值，是否符合预期和战略要求。
2. 尽职风险报告的重要性尽职风险报告为企业提供了决策制定和风险管理的重要依据。
它能够帮助企业全面了解目标企业的知识产权状况，预测潜在的风险和机会，并为购买、收购或合作项目提供可靠的风险评估。
尽职风险报告的主要功能包括提供决策支持报告中的调查结果和评估能够帮助企业决策者制定明智的决策，减少投资风险。
揭示潜在风险和机会报告中的风险评估能够揭示目标企业可能面临的潜在风险和机会，有助于企业进行风险管理和战略规划。
建立信任和合作尽职风险报告能够增加交易方对企业的信任，促进合作项目的顺利进行。
知识产权尽职调查方案模板-知名律所权威版
知识产权尽职调查方案模板-知名律所权威版一、背景和目的本文档旨在提供一份全面的知识产权尽职调查方案模板，以便在进行商业交易或投资时，确保对所涉及的知识产权进行充分的调查和评估。
本方案模板由知名律所权威版提供，结合相关法律规定和最佳实践，涵盖了全面的尽职调查程序和步骤。
二、尽职调查步骤1. 确定调查范围：- 确定所涉及的知识产权类型，例如专利、商标、著作权等。
- 确定调查的详细内容和要求。
2. 收集公司和知识产权相关信息：- 收集被调查方的公司资料，包括注册信息、业务范围等。
- 收集被调查方的知识产权信息，包括已注册或申请中的专利、商标、著作权等。
3. 评估知识产权的有效性：- 对已注册的知识产权进行核实，并评估其有效性和可执行性。
- 对待审批的知识产权申请进行评估，包括审查程序和可能的风险。
4. 评估知识产权的所有权和转让情况：- 确定知识产权的所有权归属和转让情况。
- 检查任何已签署的许可协议或转让协议的合法性和有效性。
5. 评估知识产权的侵权风险：- 进行相关市场调研，评估知识产权的侵权风险。
- 检查是否存在任何正在进行的侵权诉讼或其他纠纷。
三、尽职调查报告尽职调查结束后，根据所收集和评估的信息，编写一份尽职调查报告。
该报告应包括对知识产权有效性、所有权和转让情况以及侵权风险的评估，并提供相应的建议和风险提示。
四、免责声明本方案模板仅作为尽职调查的参考，并不能替代具体案件的特定需求和法律意见。
在实际应用中，建议寻求专业律师的意见并根据具体情况进行调整和修改。
五、总结知识产权尽职调查是商业交易和投资中的重要环节，通过采用该知名律所权威版的方案模板，可以确保对知识产权进行全面、深入的调查和评估，为商业决策提供有力支持。
---*注意：本文档仅提供参考，不作为法律依据。
在实际应用中，请务必遵循法律法规和相关部门的指导意见。
*。
DUE_DILIGENCE尽职调查
D UE D ILIGENCE Q UESTIONNAIREI G ENERAL B ACKGROUND1. Please supply the following basic information about the company:a) History of business, any predecessor companies and changes in capitalstructure, capitalisations or insolvency proceedings.b) Description of products/services, markets, principal customers, subsidiariesand their line of business.c) List of officers and directors, with their affiliations, ages and number of yearsin office.d) Number of people employed and their major areas of activity.e) Capitalisation and share distribution, including the number of shareholdersand names of principal shareholders, rights of each class of capital andshareholders’ agreements.f) Terms of outstanding warrants, options and convertible securities.g) Any press clippings and media releases.h) Organisation chart.i) Names, addresses and contact personnel of company’s professionaladvisers, including legal, auditors, principal bankers and investment bankers j) Locations of company’s financial and legal records.k) State of incorporation and date incorporated.l) Key statistics and financial information. .2. If any subsidiaries are not wholly owned, the details of outside ownership.3. Has the company any significant investment in other companies (especially thosecarried on the balance sheet under the equity method of accounting).4. What aspects of the business appear to be dominant in the industry (eg technology,product design, marketing). What factors make the company more attractive than other companies in the industry?5. How can the company maintain a competitive advantage over other companies?6. Have any of the company’s officers or director s been involved in criminalproceedings, regulatory violations or significant litigation.7. Any information regarding:a) The image of the company and its products and services compared to thoseof industry leaders.b) The reputation of present owners, directors, management and professionaladvisers.c) The trend of market share.d) Recent major developments among competitors.e) The extent of government or other regulation under which the companyoperates.f) Other external factors affecting the company, such as, the impact of asignificant change in economic conditions.g) New developments, planned or in progress, including:∙Industry programs affecting the company’s position in the industry∙Capital equipment needs and commitments.h) Special skills and advantages, such as:∙Technical position∙Market dominance∙Cost structures∙Management/employee capabilitiesi) Major litigation, pending or potential.j) Cyclical factors affecting the industry.k) Credit rating. .l) Major operations discontinued in recent years or that may be discontinued in the near future.m) Contracts and leases nearing expiration.n) Labour negotiations pending.o) Trade association membership.p) International trends in similar industries.q) Major customers.r) Major suppliers.D UE D ILIGENCE Q UESTIONNAIREII M ANAGEMENT &C ONTROLManagement Approach1. What would you say is the basic approach of management (eg. entrepreneurial,authoritative, management-by-objectives) and the extent of centralisation or decentralisation of authority?2. Is the company well structured overall to best meeting the requirements of eacharea for management and supervision, eg. by activity, product, service, function, location.3. To what extent could management be integrated or permitted to operateautonomously.4. Will existing management remain in the employ of the company.5. Set out the record of the management team as a whole, including:a) The success of the company relative to the industry.b) Whether the success of the company can be attributed to good managementor a good market and industry.c) The strategies that management is using to increase market share andprofitability.d) The i ntelligence demonstrated in taking advantage of anticipated changes inthe marketplace and environment.e) The work environment that management has created in the company. Is themanagement as small in scale and as low in cost as possible.f) Does management work as an integrated unit or is it constantly dealing withcrises and emergencies? Integrated and cohesiveg) Are the right decisions being made at the right level of the organisation?6. How would you rate the effectiveness of basic concepts and tools of goodmanagement, including:a) Documented objectives.b) Strategic and tactical plansc) Responsive organisational structures and .d) Effective policies and procedures.e) Adequate management information systems.f) Budgetary control and responsibilityg) Standards of performance and control.h) Management and manpower development.Planning7. Outline:a) The company’s attitude towards the planning process, annual and long-term.b) Whether plans are well thought out.c) Whether plans and budgets are effective management tools8. Who in the organisation is responsible for long-range plans and are the plansdocumented and communicated to the people responsible for implementing them?9. Describe whether:a) In the budgeting process, the sales forecasts are based on real assessmentsof the market, rather than on percentage increases. How are costs estimatedand how far down the company does the budgeting process extend?b) Budgets embody realistic assumptions of the availability of manpower,productive capacity and working capital.c) Long-term plans are integrated with capital budgeting and financial planning.d) Long-term plans reflect competitive reactions.e) These plans include alternative strategies.10. State whether:a) Objectives are described so achievement can be monitored.b) Senior management assess operating personnel in working toward andachieving specified objectives.c) The company has a history of meeting its goals.d) The budgeting and internal accounting functions are integrated so that actualperformance is reported on the same basis and under the same assumptionsas the budgets were prepared.e) Actual is compared to budget, and if there is a formal procedure for documentingvariances.f) Actual financial results are used periodically to update budgets and revise theannual or quarterly financial projections.11. Describe the procedures used to monitor the marketplace, such as:a) Market share.b) Activities of competitors.c) Attitudes of customers.Internal Controls12. Set out the extent to which these basic elements of control operate within theorganisation.a) The duties and responsibilities within the company are organised to provideadequate segregation of duties.b) The authority and responsibility of each function and person is clearly definedin a job description and understood by each person.c) There is an adequate accounting system that provides control over all assetsand transactions.d) There are documented statements of policies and procedures.13. Identify any cost reduction or profit improvement programs. On-going review of allfacets of financial management.D UE D ILIGENCE Q UESTIONNAIREMarkets1. What is the demand for end product from the company?2. Are customers individuals or corporate?3. Is the company’s market new?4. Does the company rely entirely on export or import markets?5. Analyse factors affecting demand, including:a) Environmental issues.b) General business conditions.c) Population changes.d) New services, product changes or technological innovation.e) Advertising or promotional pressure.f) Governmental factors.g) Customer growth..h) Ecological considerations.6. Is the market for the company’s products entirely a function of the company’s ability tosell?7. Describe market segments:∙Type of customer∙Geographic location∙Product/service∙Channel of distribution∙Pricing policy8. Analyse sales patterns and shifts.9. Set out the record of sales performance.10. Project growth/contraction trends.11. Supply a forecast of sales expectations and estimated share of market.12. Give an est imate of the company’s ability to supply present and anticipated demand.13. Review sales backlog, accounts receivable, sales correspondence and customercontinuity.14. Analyse present and probable pricing policies for services, considering:a) The sensitivity of both the industry and company to price changes.b) Whether there is a price leader.c) Whether there is price-cutting.d) Any excess capacity in the industry that might tend to depress prices.e) Whether the company has been able to pass along recent cost increases tocustomers.f) Regulatory factors, such as, the Australian Competition and ConsumerCommission.g) Possible loss of customers.h) Whether there is a disproportionate level or type of sales to a number ofcustomers eg. a high percentage of sales made to a few customers.15. Assess advertising media and other sales promotion programs for cost andeffectiveness.16. Review trends in the major elements of marketing, including:a) Market forecasts compared to actuals.b) Sales cancellations and the reasons for them.c) Departmental costs compared to budget.d) Sales and expenses per salesman.e) Customer service costs.f) Shift in product mix profitability.g) Order processing costs.h) Customer complaints and loss of customers.i) Discount pattern by customer groupings.j) New accounts opened.17. Analyse the industry’s composition and, in particular, recent changes in thatcomposition, considering:a) The number of companies that operate in this industry and whether thatnumber has been declining or increasing.b) The recent merger, acquisition and divestiture deals that have occurred in theindustry.c) The trends in the prices paid for these deals.d) Recent company closings or openings or announcements of such.e) The degree to which foreign companies are entering this market, possiblythrough joint ventures.f) The number of market leaders or specialists in this industry and whether theyhave diversified into other businesses.g) Whether the industry has significant over/under capacity.18. Outline the factors critical to success in this industry by considering:a) The industry leaders and reasons for their success.b) The principal bases of competition:∙Price∙Service∙Quality∙Innovation19. Determine the extent to which external factors influence the industry’s health:a) Existing or pending litigation.b) Governmental regulations, such as Trade Practices Act, ACCC or surveillancebodies, tariffs.c) Environmental issues.d) Any potential adverse political, social or economic conditions.e) The existence and power of any industry lobby groups.D UE D ILIGENCE Q UESTIONNAIREIV H UMAN R ESOURCES1. Supply details of the number of employees by sex and age, grouped into operatingactivity and approximate total wage or salary cost of each category.2. Outline all union affiliations and contracts for significant agreements, includingindustrial awards.3. Identify what labour unions are represented in the industry and the Company.4. What are the average pay scale and fringe benefits for employees?5. Overview the industrial relations history for the past five years.6. Are there any formal cases pending and how have similar cases been resolved inthe past.7. Outline the incentive system, average rates (incentive and hourly), the date theywere established and date of the last updating of standards.8. Describe:a) Labour morale and the handling of labour relations.b) Working conditions, statistics on staff turnover and reasons for it.c) Employment, recruiting and personal policies and procedures.d) Accident frequency and safety inspection reports.e) Medical problems and sick leave.f) The wage and salary administration system.g) Training programs and apprenticeships systems.h) The productivity of the labour force.i) Any unfilled positions.j) The cost and effectiveness of the personnel department.9. Overview the general labour market, including:a) The types of skills available in the area.b) Current pay rates and personnel practices of the industry and of othercompanies operating in the immediate area.c) Area transportation, community recreation facilities, housing and schools.10. Supply information on management personnel, such as:a) The organisation of management functions and responsibilities.b) Management and key employees, including position, career path, age,compensation, retention outlook and management training received.c) The terms of any employee service agreements or whether unwrittenunderstandings exist.d) Any replacement candidates for present management.e) Recent key personnel losses to competitors.f) The character and attitude of the key personnel.g) Whether there has been a recent major “turnover” in key staff or whetherthese personnel are “stable”.11. In evaluating employee benefit programs, please provide:a) The details and costs of pensions, post-retirement benefits, profit sharing, lifeinsurance, disability insurance, medical benefits, travel, accident bonus,deferred compensation and severance plans.b) Whether superannuation funds are presently over-undertraded (as determinedby most recently conducted actuarial valuation) and whether the performanceof fund managers is satisfactory.c) Benefits and salary levels compared with those of other companies. Does thecompany need to upgrade its benefit programs or salaries? If so, estimate thecost.d) Vacation and sick pay policies.e) The number and average cost of company-provided cars.f) Employee share ownership schemes including any share option, share bonusor partly paid share plans. How is the efficacy of the scheme judged and whatare estimated resulting costs?12. State whether there are any outstanding claims, such as, sexual discrimination,illness, negligence, workers compensation.D UE D ILIGENCE Q UESTIONNAIREV P ROPOSED A ND E XISTING O PERATIONSPlant and Facilities1. Please supply information on:a) Location and description of plant and property.b) Proximity to transportation facilities, materials sources.c) Description of the area, including climate and natural hazards.d) Restrictions imposed by building costs and zoning laws.e) Utilities, including availability, usage and rates.f) Property taxes and other fixed costs.g) Title to property.h) The adequacy of insurance coverage.i) Any liens or actual or potential condemnation proceedings.2. Also supply land information, including:a) Size.b) Cost.c) Assessed value and fair market (appraised) value.d) Current and possible future use and value.3. Please supply building information, including:a) Description, pictures and current use.b) Cost, accumulated depreciation and depreciation rates and policies (or leaseterms).c) Assessed and fair market (appraised) value.4. Supply machinery and equipment information, including:a) A list of principal machinery and equipment showing cost, age and condition,accumulated depreciation, location and departmental use.b) Depreciation rates and policies (or lease terms). Refer Asset register anddepreciation schedules - financialsc) Lead times established, by product and vendor.a) Formalised make-or-buy analyses.b) Commodity specific.c) Price standards and variance accounting.5. Identify if there is any concentration of purchases of any items from individual vendors.6. Review operating information and trends for the purchasing department, including:a) Trend of cash discounts earned.b) Operating costs compared to budgetc) Waste, scrap and salvage disposals.d) Rejection of material on incoming inspections.Inventories and Costing7. Supply information on:a) Trends in inventory levels by reporting category.b) Stratification by value of fast-moving, slow-moving, excess and obsolete inventory.c) Seasonal inventory fluctuations.d) Inventory turnover by product line, in line of business, division or subsidiary.e) Basis of valuation (eg. FIFO, average costs).f) Trends in customer service levels.g) Sales and write-offs of obsolete stock over the past few years.h) Inventories of plant, equipment, parts.i) Returnable packages, sacks, containers, and pallets.j) Arrangements for and experience with inventory held by others, whether under consignment or otherwise.k) Extent of any “field warehousing” financing activity.8. For cost accounting procedures, explain:a) Whether the cost system is job cost of process cost.b) The costs that are included in overhead.c) Whether unfavourable volume variances from idle plant overstate inventory unitcosts.d) How overhead is distributed.e) Whether standard costs are used, and how under and over-absorbed costs areallocated to inventory and cost of sales.f) In ascertaining lower of cost or market, how market is determined.g) The treatment of intercompany profit in inventory and its effect on ratio analysis byline of business.9. Supply information on long-term contracts, including:a) Contracts entered into, noting products, types of customer, price terms, paymentschedules, extent of sub-contracting and dollar volume.b) The method of recording income and provision for losses.c) Cost-estimate procedures and an analysis of cost overruns and underruns.d) Bidding procedures and strategy.e) Any disputes or litigation with customers subcontractors.10. Overview trends of important controllable elements, including:a) The frequency and adequacy of physical counts and extents of adjustmentsrequired.b) The accuracy and quality of perpetual inventory records.c) Inventory security and insurance coverage.Research and Development11. Assess the quality of service and market research available to the company. Compareit to that of the industry as a whole.12. Identify the industry’s basic source of eff ective research.13. Review industry expenditures for research and how the company’s researchexpenditure compares.14. Identify the company’s policy regarding research and development. Review thepercentage of sales it has been spending on R & D and any significant new services under development.15. Evaluate the company’s technical activities and services by classification.16. Review the current and proposed staffing and personnel requirements for each activity.17. Identify the methods of authorisation, funding and reporting for product engineering andcompany R & D, related to overall research plans and market requirements.18. Assess the effectiveness of the R & D program and identify whether the researchprogram actually produced new services during the past five years.19. Set out the relationship of customer services to market activity, product sales andprofitability.20. Are proprietary rights on all services under development adequately secured? .21. Identify any patents and trademarks held or that have been applied for.22. Are there any agreements under which the company is licensee or licenser?Ascertain the level of the estimated current business models.23. Are any key patents held by shareholders, management or other individuals.24. Set out any infringement suits or claims that are outstanding.Environment25. Does the company comply with national, state and local environmental regulatoryagencies?26. Evaluate the impact on operational costs and efficiencies of:a) Non-compliance with applicable regulations.b) Ensuring compliance.c) The use of by-products and recyclable materials.d) Recycling by-products and other materials for sale to third parties.D UE D ILIGENCE Q UESTIONNAIREIV L EGAL1. What is the legal structure of the group and the relationship of the company withsubsidiaries and/or holding companies.2. Supply any minutes of meetings of the Board of Directors and minutes ofcommittee meetings relating to any current or contingent legal proceedings to which the company is a party or is likely to become a party.3. Outline the circumstances surrounding the prior issue of all securities of thecompany and whether they are likely to impact on the results of this due diligence investigation. No impact on Due Diligence investigation.4. Identify any charges pending against the company by any governmental agency orpublic authority and the nature of such charges, including outstanding taxation obligations. State whether such obligations are likely to give rise to any penalties for non-compliance.5. Do you believe that the proposed float will raise any trade practices problems andwill it be in compliance with the applicable Companies Code and Trade Practices regulations and requirements?6. Supply a copy of the most recent legal representation letters sent to the company’sauditors and identify any evidence of current or contingent legal proceedings involving the company.7. Is the company in compliance with all relevant special Acts of Parliament (State orFederal) that are applicable to operations?8. Is the company in compliance with environmental, equal employment opportunityand other regulatory requirements? If not, what efforts have or need to be made to ensure satisfactory compliance.9. Is the company likely to experience legal action in relation to industrial matters?10. Give confirmation that share capital has been validly issued and that thecorporation is in good standing in the state of its incorporation and in all states in which it is doing business.11. Identify any legal problems competitors have experienced and determine whetherthey will ever confront the company.12. Assess whether the company has adequate insurance coverage with regard topublic and professional indemnities. Ascertain whether such coverage has an effect on specific performance and warranty clauses in current or pending contracts.13. Supply copy of the Memorandum and Articles of Association of the company.14. Is there a current Shareholders list?15. Are there any service agreements with the directors of the company?16. What is the legal/beneficial ownership of shares in the company?17. Supply statutory registers ie. charges, options, directors and other officers of thecompany.18. Identify any encumbrances over the property of the company (eg. mortgages andcaveats).19. Describe the financing arrangements relating to the company (eg. bank facilities).20. List any intellectual property rights owned by the company and any licenses it mayhave given in respect of them. .21. Are there any share investments or other interests the company holds in companiesthat are not part of its group.22. Is the company a guarantor under any agreement?23. Compile a list of the loans made by the company, as well as the loans in which thecompany is the borrower, and the security given as part of the loan agreement.24. Is the company involved in any joint venture agreements?25. Supply copies of any major or long-term contract containing unusual or onerousobligations and any agreements outside the ordinary course of business.26. Does the company have any interest in land and is it freehold or leasehold.D UE D ILIGENCE Q UESTIONNAIREVII F INANCIAL C ONSIDERATIONSFinancial Analysis Overview1. Supply for the past three years:a) (Audited) financial statements.b) Recent corporate returns.c) Comparative financial results by division.d) The most recent unaudited financial statements.e) Tax returnsf) Projected operating and financial statements.g) The chart of accounts and a description of accounting practices.h) Sales backlog information.2. Supply industry data on:a) Market trendsb) Economics of the industry.c) Accounting and auditing implications.d) Taxes.e) Management technologyf) Employment benefit plans.3. List the terms of the following agreements, where applicable, and of any other pertinentcontracts or agreements:a) Bonus or profit-sharing plans.b) Royalty agreements.c) Union contracts and employment contracts.d) Long-term leases.e) Sales contracts.f) Supplier contracts.g) Major marketing agreements.4. Calculate the following ratios, on a company basis, and on a divisional basis whereappropriate:a) Return on total assets (%).b) Return on net assets (%).c) Return on ordinary shareholders’ funds.d) Earnings per sharee) Gross profit margin (%).f) Net earnings margin (%).g) Growth in net profit (%).h) Growth in earnings per share (%).i) Interest cover (times).j) Trade receivable turnover (times).k) Fixed assets turnover (times).l) Effective tax rate (%).m) Gross cash flow to net profit (times).n) Current (or working capital) ratio.o) Quick assets (or liquid) ratio.p) Debt to equity ratio.q) Net tangible assets per share.Accounting Policies5. Are the company’s accounting policies in accordance with a ccounting standards, arethey reasonable in the circumstances and have they been consistently applied.Operating Results6. Prepare a detailed comparative analysis of the profit and loss accounts for the last fivecompleted years, and the most recent interim period. Where available, budgets for the periods under review should also be included.7. Prepare an analysis of gross profit, reconciled to the gross profit reported in thefinancial statements.8. Analyse operating results for unique or non-recurring items:a) Trends in sales, gross profit, net income, earnings per share, dividends and returnon equity. Determine compound growth rates.b) The affects of acquisitions, dispositions and charges in accounting presentation.c) The costs of services sold, selling expenses, general and administrative expenses.Review these expenses for significant trends, especially controllable costs suchas advertising, travel, entertainment, and repairs & maintenance.d) All extraordinary and abnormal items for the periods reviewed.e) Significant items in the other income and expenses categories.f) Annual interest expense and other fixed charges.g) Compensation paid to officers and key personnel.h) Legal retainers, consultants’ fees and similar arrangements.i) The impact of income taxes and changes in effective tax rates.j) Variations from budgets.Financial PositionsCash9. Delineate the company’s cash position, present and projected, including:a) Listing banks where the company maintains accounts and related balances atbalance sheet date.b) Analysing total cash by function of account.c) Reviewing monthly cash balances and inquiring about unusual fluctuationsand significant outstanding cheques or deposits in the reconciliations.d) Are idle cash balances promptly invested?e) Are seasonable bank borrowings required?。
某市知识产权(专利)工作调查情况总结汇报
某市知识产权（专利）工作调查情况总结汇报1. 背景介绍知识产权（Intellectual Property，简称IP）是指人们在创造性活动中所创造出的对可利用的产品或过程的合法所有权。
知识产权的保护对于一个国家的创新和经济发展至关重要。
某市作为全国经济发展的重要节点城市，为了进一步提升知识产权保护和运用能力，特进行了知识产权（专利）工作调查，以便总结情况并提出改进措施。
2. 调查方法为了全面了解某市知识产权（专利）工作的现状，我们采取了多种调查方法，包括：•现场调研：走访了某市知识产权局、企业和研究机构等相关部门，了解他们的工作情况和面临的问题；•数据分析：收集和分析了某市知识产权申请和授权数据，了解知识产权的数量、质量和申请者等情况；•问卷调查：设计了问卷调查，向企业和研究机构等主要知识产权申请者征求他们的意见和建议。
3. 调查结果3.1 知识产权数量和质量情况根据数据分析，某市知识产权（专利）的数量和质量有了显著提升。
截至目前，某市累计申请专利数量达到了XX件，其中发明专利占比XX%，实用新型专利占比XX%，外观设计专利占比XX%。
同时，某市的知识产权质量也在提高，专利授权率达到了XX%。
3.2 知识产权申请者情况调查发现，某市的知识产权申请者主要集中在企业和研究机构。
其中，企业申请占比最大，占总申请量的XX%，而研究机构申请占比为XX%。
这一情况说明了某市企业和研究机构对知识产权保护的重视程度和创新能力的提升。
3.3 知识产权保护措施情况问卷调查显示，某市知识产权申请者对知识产权保护措施的评价整体较高。
他们认为，某市知识产权局的工作效率较高，专利审查周期较短，保护力度较大。
同时，他们也提出了一些问题，如知识产权保护成本较高、保护措施落地不实等。
这些问题提醒了我们在知识产权保护方面需要进一步完善措施。
4. 总结和建议通过本次调查，我们对某市知识产权（专利）工作的现状有了更深入的了解。
总体来说，某市的知识产权保护和运用工作取得了积极的进展，但仍存在一些问题和待解决的挑战。
知识产权调研提纲
知识产权调研提纲
一、知识产权管理部门的组织架构
1.知识产权管理部门的机构设置与职责。
2.各知识产权管理部门（岗）的日常业务。
3.与第三方专利代理机构展开合作的情况。
二、知识产权管理制度建设与实施情况
1.知识产权战略（纲要、方案或指导意见）与配套实施细则的制定情况。
2.制定知识产权战略（纲要、方案或指导意见）的初衷。
3.知识产权战略的实施情况。
4.知识产权相关考核指标的制定情况以及知识产权相关奖励与惩罚措施。
5.知识产权预警机制与危机处理，以及知识产权流失防范措施。
6.知识产权档案管理。
三、专利管理
1.知识产权部门在专利管理方面的岗位职责。
2.知识产权部门对于专利申请的管理。
3.专利申请、维持和实施的经费安排情况。
4.知识产权部门在专利维护工作中承担的责任。
5.知识产权部门在知识产权纠纷处理中的责任。
6.知识产权许可贸易开展情况。
四、商标、商业秘密、和著作权
1.商标、技术秘密、著作权的管理的归口部门。
2.知识产权合同管理。
3.技术秘密的管理办法。
五、其他
1.宣传与培训的开展情况。
知识产权提纲（5篇范例）
知识产权提纲（5篇范例）第一篇：知识产权提纲知识产权与自主创新自主创新是落实科学发展观的必然选择；其中一个最主要的原则就是必须提高自主创新能力，把增强自主创新能力作为科学技术发展的战略要点和调整产业结构的中心环节。
2 自主知识产权是自主创新的重要环节；3 进一步加强知识产权工作的几个重点第一，要充分认识到新形势下知识产权工作的重要性，将知识产权战略作为国家的一个重要发展战略，服务于建设创新型国家的目标。
第二，进一步加强政府对知识产权的领导和组织建设，积极营造良好的政策环境和有效的激励机制，保护和鼓励发明人、科技人员从事发明创造的积极性。
第三，帮助和促进企业开发和实施具有自主知识产权的创新技术。
市场经济的主体是企业，自主创新的主体是企业，形成自主知识产权的主体也应该是企业。
第四，切实加强知识产权保护，健全知识产权保护体系，加大保护知识产权的执法力度。
因为知识产权作为无形的资产，本身的保护就不容易，如果保护力度不够，保护措施不到位，对企业、对发明人、对创造人的创新激情、创新积极性来说都是一个打击。
第五，要加强知识产权人才的培养，提高全社会知识产权的意识。
保护知识产权有赖于全社会全体公民知识产权意识的提高，要形成尊重他人知识产权，保护自己的知识产权的良好社会风气。
第一章知识产权概述知识产权是指自然人或法人对自然人通过智力劳动所创造的智力成果，依法确认并享有的权利。
选民：年满18周岁具有完全民事能力的人。
公民：具有国籍的人自然人：独立的个人法人：人，社团，单位，公司，具有民事权利。
对法人惩罚的形式是罚款。
1 世界知识产权组织(WIPO)对知识产权的定义 WTO对知识产权的定义包括7类一、版权及有关权。
二、商标权。
三、地理标记。
四、工业设计。
五、专利。
六、集成电路布图设计。
七、保护商业秘密。
3 狭义知识产权包括工业产权和版权两类。
广义的知识产权还包括“边缘保护对象”的保护权，科学发现权，商业秘密权广义的知识产权分为三类：工业产权和版权边缘保护对象“的保护权知识产权的基本性质：1、无形性知识产权作为一种无形财产具有一般无形财产权的无形性，这是与有形财产权的根本区别所在。
知识产权尽职调查 - 副本
知识产权尽职调查某某某药业有限公司是专业从事研发、生产、销售中药提取物（某某某）和某某保健食品的高新技术企业。
公司拥有国内先进的GBE 生产线2条，其中年产80吨提取物生产线，目前正满负荷生产，以高标准的优质产品，供应某某、某某等知名企业，××年公司投入××万元建设一条具有国内领先水平的年产200吨某某某提取车间，通过了GMP认证，目前已完成产品试制，多家药企正进行原料药生产备案工作。
实现了企业由生物制品向制药行业迈进的历史性突破，填补了江苏省内GMP某某某提取车间的空白。
公司于2014年成立研发中心，与高校院所开展合作，承接了国家星火计划项目，通过了省级企业技术中心和工程研究中心认定。
“某某”牌被评为江苏省名牌产品、江苏省高新技术产品、江苏省著名商标。
公司自成立以来，始终坚持“立足资源，依靠科技，形成规模，跻身国际”的发展理念，奉行“诚信、敬业、创新、高效”的企业精神，坚持走管理创新和技术创新之路。
先后通过了“江苏省企业技术中心”和“江苏省工程研究中心”“高新技术企业”认定，先后荣获“中国林业产业创新奖”、“江苏医药科技进步奖”，企业连续多年被评为“AAA级守信用、重合同企业”“质量信用AA级企业”，“全国食品工业优秀龙头食品企业”、“江苏省农业科技型企业”等多项国家、省市级荣誉。
知识产权是某某某的宝贵财富，某某某也一直重视知识产权保护。
一、知识产权的战略和实施企业知识产权战略是企业从自身条件、技术环境和竞争态势出发做出的企业技术创新知识产权工作的总体部署，以及为实现创新目标而采取的有关知识产权的根本对策。
结合某某某的现状以及某某某提取物行业的前景，对面临的机遇和挑战，某某某经过长时间的研究和调整，制定实施知识产权战略主要内容和建设的尽职调查报告如下：1.专利情报战略专利情报作为企业知识产权战略中重要的一部分，企业在市场分析，竞争对手分析以及研发方向的确定上专利情报显得尤为重要。
知识产权尽职调查制度模板
知识产权尽职调查制度模板一、总则1.1 知识产权尽职调查的概念知识产权尽职调查是指在企业并购、投资、合资、合作等商业活动中，为了解目标公司的知识产权状况，由专业机构或人员对目标公司的知识产权资产进行全面的调查、评估和分析的活动。
1.2 知识产权尽职调查的目的知识产权尽职调查的目的是为了确保投资方或合作方对目标公司的知识产权资产有全面、准确的了解，评估知识产权资产的价值、风险和潜在利益，为商业决策提供依据。
1.3 知识产权尽职调查的范围知识产权尽职调查的范围包括目标公司的专利、商标、著作权、商业秘密等知识产权资产，以及与知识产权相关的许可、转让、诉讼等事项。
二、知识产权尽职调查的流程2.1 确定委托委托方与专业机构或人员签订知识产权尽职调查委托协议，明确调查的范围、期限、费用等事项。
2.2 立项组队专业机构或人员根据委托协议，组建调查团队，明确调查团队成员的职责和任务。
2.3 制定计划调查团队制定知识产权尽职调查工作计划，明确调查的时间、地点、内容、方法等事项。
2.4 前期调查调查团队通过公开渠道收集目标公司的基本信息，了解目标公司的业务、技术、市场等情况。
2.5 资料搜集调查团队向目标公司收集与知识产权相关的文件、资料，包括但不限于专利证书、商标注册证、著作权登记证书、许可协议、转让协议、诉讼文件等。
2.6 访谈走访调查团队与目标公司的管理人员、技术人员、法律顾问等进行访谈，了解知识产权资产的管理、运用、保护等情况。
2.7 信息核查调查团队对收集到的信息进行核查，评估知识产权资产的真实性、有效性和价值。
2.8 风险评估调查团队根据核查结果，评估知识产权资产的风险，包括但不限于侵权风险、无效风险、许可风险等。
2.9 报告撰写调查团队撰写知识产权尽职调查报告，报告内容包括目标公司的知识产权资产状况、风险评估、潜在利益等。
2.10 反馈与修改调查团队向委托方反馈调查结果，根据委托方的意见进行修改。
2.11 报告完成调查团队提交知识产权尽职调查报告，委托方对报告进行审查。
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IP DUE DELIGENCE CHECKLIST知识产权尽职调查清单1, Intellectual Property1、知识产权(a) A list of all issued, pending and abandoned patent applications and patents filed in China and in foreign countries owned or licensed by or to the Company or any subsidiary, and copies of all certificates, agreements and instruments relating to the acquisition, assignment, licensing, ownership, public announcement and registration thereof, and the copy of recent payment certificate for maintenance fees and the status of each patent.（a）公司或任何子公司拥有的或许可给他人使用的或被许可使用的、在中国或国外的所有已获授权的、尚未授权的及无效的专利申请和专利的清单，以及与其购买、转让、许可、所有权、公告、注册有关的所有证书、协议和文件的复印件，以及最近一次所有专利维持费缴纳证明的复印件及它们的状态。
(b) A list of all valid and related patents filed or issued. Highlight those key or important patents.（b）列出所有申请的或已获授权的有效及有关专利中的关键和重要专利。
(c) A list of all registered, pending and abandoned trademarks and service marks in China and in foreign countries owned or licensed by or to the Company or any subsidiary, and copies of all certificates, agreements and instruments relating to the acquisition, assignment, licensing, ownership, public announcement and registration thereof，and all the agreements that include trademark licenses, including, for example, co-branding agreements and marketing and distribution agreements.（c）公司或任何子公司拥有的或许可给他人使用的或被许可使用的、在中国或国外的所有已注册的、尚未获准注册的和无效的商标或服务标记，以及与其购买、转让、许可、所有权、公告、注册有关的所有证书、协议和文件的复印件，以及包含商标许可的所有协议，包括如品牌合作协议、市场推广和分销协议。
(d) A list of all copyrights (including computer software, and all applications therefore) created or commissioned in China and in foreign countries owned or licensed by or to the Company or any subsidiary and copies of all certificates, agreements and instruments relating to the acquisition, assignment, licensing, ownership, public announcement and registration thereof.（d）公司或任何子公司拥有的或许可给他人使用的或被许可使用的、在中国或国外创作或定作的所有著作权（包括计算机软件，以及所有相应的申请）的清单，以及与其购买、转让、许可、所有权、公告、注册有关的所有证书、协议、文件的复印件。
(e) A list of all mask works, domain names and other registered intellectual property in China and in foreign countries (including all applications therefore) owned or licensed by or to the Company or any subsidiary and copies of all agreements and instruments relating to the acquisition, assignment, licensing, ownership, public announcement and registration thereof.（e）公司或任何子公司拥有的或许可给他人使用的或被许可使用的、在中国或国外的所有集成电路布图设计、域名和其他经注册产生的知识产权（包括所有相应的申请）的清单，以及与该其购买、让与、许可、所有权、公告和注册有关的所有协议和文件的复印件。
(f) A list of all know-how, trade secrets, technology, technical information owned or licensed by or to the Company or any subsidiary and its brief description.（f）公司或任何子公司拥有的或许可给他人使用的或被许可使用的所有专有技术、商业秘密、技术和技术信息的清单及简单描述。
(g) A list of the R&D projects or proposed to be researched and developed by the Company or any subsidiary and the corresponding intellectual property (including patents, trademarks, copyrights, software, trade secrets and technical specifications).（g）公司或任何子公司正在进行或拟进行研究开发的研发项目的清单，以及相应的知识产权（包括专利、商标、著作权、软件、商业秘密和技术指标）。
(h) A list of the products of each type produced or proposed to be produced by the Company or any subsidiary and the corresponding intellectual property (including patents, trademarks, copyrights, software, trade secrets and technical specifications).（h）公司或任何子公司正在生产或拟生产的各种类型的产品的清单，以及相应的知识产权（包括专利、商标、著作权、软件、商业秘密和技术指标）。
(i) A list of the services of each type provided or proposed to be provided by the Company or any subsidiary and the relevant intellectual property (including patents, trademarks, copyrights, software, trade secrets and technical specifications).（i）公司或任何子公司正在提供或拟提供的各种类型的服务的清单，以及相应的知识产权（包括专利、商标、著作权、软件、商业秘密和技术指标）。
(j) Correspondences with any government authorities regarding intellectualproperty (if applicable).（j）与任何政府机构之间的有关知识产权的重要往来函件（如果有）。
2, LicensingCopies of the agreements or relevant documents on transferring or licensing of intellectual property right, trademark, patent, know-how or software, or technology cooperation or similar arrangements entered into by the Company (as the licensor or licensee, transferor or transferee) with any third party (including the shareholders or affiliates of the Company, domestic or overseas entities).2、许可公司（作为许可方或被许可方，转让方或受让方）与任何第三方（包括公司股东或关联方、国内的或国外的）签订有关知识产权、商标、专利、专有技术、软件的转让或许可，或者进行技术合作及类似安排的协议或相关文件的复印件。
3, InfringementDetails of any historical, existing, or potential infringements, disputes or litigations relating to any infringement to a th ird party’s intellectual property.3、侵权任何已发生的、现存的或可能发生的与侵犯任何第三方知识产权相关的侵害行为、纠纷或诉讼的详细情况。