典型的知识产权尽职调查提纲IPDueDiligenceChecklist
VC 做的尽职调查(Due Diligence)一般包括哪些问题？
作为一家PE机构员工，在做项目的尽职调查时，主要涉及的范围有：（一）公司基本情况1、公司设立情况了解公司注册时间、注册资金、经营范围、股权结构和出资情况，并取得营业执照、公司章程、评估报告、审计报告、验资报告、工商登记文件等资料，核查公司工商注册登记的合法性、真实性；必要时走访相关政府部门和中介机构。
2、历史沿革情况查阅公司历年营业执照、公司章程、工商登记等文件，以及历年业务经营情况记录、年度检验、年度财务报告等资料，调查公司的历史沿革情况，核查是否存在遗留问题；必要时走访相关政府部门和中介机构。
3、公司主要股东情况调查了解主要股东的背景，相互之间关联关系或一致行动情况及相关协议；主要股东和实际控制人最近三年内变化情况或未来潜在变动情况。
（二）管理人员调查1、管理人员任职资格和任职情况调查了解管理人员的教育经历、专业资格、从业经历及主要业绩，以及在公司担任的职务与职责。
2、管理人员胜任能力和勤勉尽责调查了解高管人员曾担任高管人员的其他公司的规范运作情况以及该公司经营情况，分析高管人员管理公司的能力。
分别与董事长、总经理、财务负责人、技术负责人、销售负责人（包括但不限于上述人员）就公司现状、发展前景等方面问题进行交谈，了解高管人员的胜任能力和勤勉尽责情况。
3、高管人员薪酬及兼职情况通过查阅三会文件、与高管人员交流、与发行人员工交谈等方法，调查公司为高管人员制定的新酬方案、股权激励方案。
通过与高管人员交谈、查阅有关资料等方法，调查高管人员在公司内部或外部的兼职情况，分析高管人员兼职情况是否会对其工作效率、质量产生影响。
（三）业务与技术情况1、行业情况及竞争情况根据公司主营业务及所属行业，了解行业监管体制和政策趋势，了解行业的市场环境、市场容量、进入壁垒、供求状况、竞争状况、行业利润水平和未来变动情况，判断行业的发展前景及行业发展的有利和不利因素，了解行业内主要企业及其市场份额情况，调查竞争对手情况，分析公司在行业中所处的竞争地位及变动情况。
VC 做的尽职调查(Due Diligence)一般包括哪些问题？
作为一家PE机构员工，在做项目的尽职调查时，主要涉及的范围有：（一）公司基本情况1、公司设立情况了解公司注册时间、注册资金、经营范围、股权结构和出资情况，并取得营业执照、公司章程、评估报告、审计报告、验资报告、工商登记文件等资料，核查公司工商注册登记的合法性、真实性；必要时走访相关政府部门和中介机构。
2、历史沿革情况查阅公司历年营业执照、公司章程、工商登记等文件，以及历年业务经营情况记录、年度检验、年度财务报告等资料，调查公司的历史沿革情况，核查是否存在遗留问题；必要时走访相关政府部门和中介机构。
3、公司主要股东情况调查了解主要股东的背景，相互之间关联关系或一致行动情况及相关协议；主要股东和实际控制人最近三年内变化情况或未来潜在变动情况。
（二）管理人员调查1、管理人员任职资格和任职情况调查了解管理人员的教育经历、专业资格、从业经历及主要业绩，以及在公司担任的职务与职责。
2、管理人员胜任能力和勤勉尽责调查了解高管人员曾担任高管人员的其他公司的规范运作情况以及该公司经营情况，分析高管人员管理公司的能力。
分别与董事长、总经理、财务负责人、技术负责人、销售负责人（包括但不限于上述人员）就公司现状、发展前景等方面问题进行交谈，了解高管人员的胜任能力和勤勉尽责情况。
3、高管人员薪酬及兼职情况通过查阅三会文件、与高管人员交流、与发行人员工交谈等方法，调查公司为高管人员制定的新酬方案、股权激励方案。
通过与高管人员交谈、查阅有关资料等方法，调查高管人员在公司内部或外部的兼职情况，分析高管人员兼职情况是否会对其工作效率、质量产生影响。
（三）业务与技术情况1、行业情况及竞争情况根据公司主营业务及所属行业，了解行业监管体制和政策趋势，了解行业的市场环境、市场容量、进入壁垒、供求状况、竞争状况、行业利润水平和未来变动情况，判断行业的发展前景及行业发展的有利和不利因素，了解行业内主要企业及其市场份额情况，调查竞争对手情况，分析公司在行业中所处的竞争地位及变动情况。
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。
尽职调查清单
尽职调查清单
尽职调查清单（DueDiligenceChecklist）是指经过细致调查、审议和考察，根据相关方重复提供的信息，进行评估、分析和研究，以确认是否符合采取特定业务行动、交易或投资所需的一系列要求或条件的程序。
一般来说，尽职调查清单是财务和法律行业用于衡量企业的运营状况的重要工具。
尽职调查的意义
尽职调查是为了充分了解某个公司的真实情况，以便有效地进行投资或并购活动。
它是投资者在投资或参与商业交易之前，应进行的全面、有组织的审查，以确认交易的合理性、可行性和相关风险。
尽职调查过程中，应考虑的因素
通常，尽职调查清单规定应向被考察方收集以下信息：
1.财务报表：报告包括年度财务数据，以及上市公司可能包括的更多的财务和税务信息。
2.政策、程序和合同：这包括与此次考察有关的企业政策文件，以及企业可能已经缔结的所有合同。
3.报表和统计数据：这些包括企业的市场竞争分析、收入成长和利润率分析、股权结构分析、行业分析和市场概况等等。
4.企业管理和内部控制评估：此处包括企业内部结构、流程和政策、技术和人力资源管理等。
5.法律和税务：这些包括财务和税务报告，以及适用于该地区、行业或投资企业的法律和税务信息。
6.技术和知识产权：这些指的是公司有权使用的技术和设计，以及与之相关的知识产权信息。
结论
尽职调查清单是企业或投资者在参与重大交易前，必须检视的一项重要工作。
尽职调查清单涵盖了一系列重要方面：财务状况、政策、法律和税务、管理结构、内部控制、技术和知识产权等。
只有彻底的尽职调查，才能识别并解决潜在的风险，为投资者在交易中做出正确的决定。
负责任矿产尽职调查审核清单RMI DueDiligence Checklist3
负责任矿产尽职调查审核清单
RMI DueDiligence Checklist
IMPORTANT NOTE 重要提示:
Please complete fields highlighted in yellow (as applicable). 请完成黄色区域
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Production and Processes
Contact Information联系信息
Questions问题Responses回答
1 Name姓名
2 Title职位
3 Email邮件
4 Phone number电话号码
General Information基本信息
Questions问题Responses回答Supporting Documentation支持文档
1 Full legal name of company公司依法登记的全称
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持续尽职调查典型问题及工作思路探析
持续尽职调查典型问题及工作思路探析1. 引言持续尽职调查(Due Diligence)是指在投资、并购、合作等商业决策中对目标公司或项目进行全面的调查和评估。
它的目的是为了降低风险、发现潜在问题，并提供决策者所需的信息和数据支持。
本文将探讨持续尽职调查的典型问题以及工作思路，帮助读者更好地理解和应用该方法。
2. 典型问题持续尽职调查中可能涉及到的典型问题如下：2.1 财务状况•公司财务报表是否真实准确？•是否存在未披露的负债或资产贬值风险？•营收增长是否可持续？是否存在重大客户流失风险？•公司盈利模式是否稳定？是否存在盈利能力下降风险？•公司现金流状况如何？是否存在资金链紧张风险？2.2 法律合规•公司是否遵守相关法律法规？•是否存在未披露或被处罚的违法行为？•公司是否存在未解决的法律纠纷或诉讼风险？•公司知识产权是否完整、有效？是否存在侵权风险？2.3 经营状况•公司市场地位如何？是否面临激烈竞争？•公司产品或服务的质量和可靠性如何？•是否存在供应链风险，如原材料供应不稳定或关键供应商问题？•公司内部管理是否规范？是否存在重大管理风险？2.4 市场前景•目标公司所处行业的市场规模和增长趋势如何？•是否存在技术变革、政策调整等不确定因素对行业的影响？•目标公司在行业中的竞争优势和可持续发展能力如何？2.5 品牌声誉•目标公司的品牌声誉如何？是否存在负面新闻报道或社会舆论负面影响？•是否存在违背道德伦理、社会责任等问题？3. 工作思路持续尽职调查是一个系统性工作，需要有明确的工作思路和方法。
以下是一种常用的工作思路：3.1 制定调查计划根据项目的具体情况，制定调查计划，明确调查的范围、目标和重点。
同时，确定调查所需的资源和时间安排。
3.2 收集信息通过多种渠道收集目标公司或项目的相关信息，包括财务报表、合同文件、市场研究报告、行业分析等。
可以借助专业机构、律师事务所等外部资源进行信息收集。
3.3 数据分析与验证对收集到的信息进行分析和验证，核实数据的真实性和准确性。
尽职调查清单
尽职调查清单尽职调查是一种基于司法理论的系统性行为，它对对象的财产状况、经营状况以及其他相关情况进行详细的审查和调查，以确保其信息的准确性。
虽然尽职调查过程通常可能涉及许多领域，但重点始终围绕非披露资产的清晰了解，以便更好地进行预期的投资分析。
尽职调查清单（Due Diligence Checklist）是一种技术性，细致而又系统性的清单，用于为尽职调查提供指导。
该清单旨在帮助尽职调查人员确保调查目标尽可能地被全面考虑，以最大限度地提高尽职调查的准确性和客观性。
尽职调查清单通常包括各种有关被调查对象的资料，可以帮助我们深入了解其背景、财务状况、客户关系、资产状况等信息。
其中，主要的内容包括：公司的信息包括：财务报表、会计核算系统、税务报表、财务行为报告；公司结构和管理：司法文书、公司章程、董事名册、公司政策、技术结构；支付情况：票据、支票等财务凭证；商业运营：销售情况、市场分析报告、合同、客户及供应商信息等。
尽职调查清单还应包括对调查对象的可信度、可验证性和可重复性等方面的考虑。
它将确保尽职调查的可靠性，并实现投资人的目的，充分发挥其在投资过程中的价值。
为了达到有效尽职调查的目的，尽职调查清单应该结合实际情况，精确地表达关键信息。
尽职调查中需要调查的信息，要求调查者可以识别出重要信息，同时尊重知识产权和隐私权。
尽职调查清单是尽职调查过程中最重要的工具之一，它有助于投资人做出充分考虑后的决定，使他们能够根据业务方案的可行性，做出更明智的投资决策。
综上所述，尽职调查清单是一项必要的工作，它不仅为投资者提供了重要的信息，而且还增强了对投资对象的信任。
任何投资者在投资前都应该对计划进行尽职调查，避免投资失败带来的损失。
因此，尽职调查清单作为投资者做出合理投资决策的重要工具，将充分利用投资机会，帮助投资者更好地利用资源。
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。
法律尽职调查清单(中英文)
法律尽职调查清单（中英文）IntroductionA legal due diligence is an essential step in any corporate transaction, including mergers and acquisitions, private equity investments, and lending deals. The objective of a legal due diligenceis to identify any legal risks associated with the target company and assess potential liabilities that could arise. To ensure a thorough and effective legal due diligence, the following checklist is recommended.前言法律尽职调查是企业交易中的重要步骤，包括并购、私募股权投资和贷款交易。
法律尽职调查的目的是确定与目标公司相关的任何法律风险并评估可能出现的责任。
为确保全面有效的法律尽职调查，建议使用以下清单。
Legal Due Diligence ChecklistCorporate Informationpany Name and Legal Statuspany Registration Number and Registration Certificate3.Articles of Association and Bylaws4.Business Registration and Licenses5.Shareholding Structure and Capitalization6.Board of Directors and Key Management Personnel7.Financial Statements and Audit Reports8.Material Contracts and Agreements9.Litigation, Arbitration, and Regulatory Proceedings10.Related Party TransactionsIntellectual Property1.Patents, Trademarks, and Copyrights2.Trade Secrets and Confidential Information3.Licenses and Agreements Related to Intellectual Property4.Litigation or Claims Related to Intellectual Property5.Ownership and Validity of Intellectual Property Rights6.Intellectual Property ValuationEmployment and Labor1.Employment Agreements and Contractspany Policies and Procedurespliance with Employment and Labor Laws4.Collective Bargaining Agreements and Trade Unions5.Employee Benefits and Compensation6.Litigation or Claims Related to Employment and Labor Matters Real Estate1.Title Deeds and Land Use Permits2.Ownership and Encumbrances on Land3.Leases and Agreements Related to Real Estatepliance with Zoning and Building Regulations5.Environmental and Health and Safety Matters6.Litigation or Claims Related to Real EstateRegulatory Compliance1.Licenses and Permits Required to Operate the Business2.Regulatory Framework for the Industry or Sectorpliance with Environmental, Health and Safety Regulationspliance with Data Privacy and Cybersecurity Regulationspliance with Anti-Bribery and Corruption Laws6.Litigation or Claims Related to Regulatory MattersTax Matters1.Corporate Tax Returns and Financial Statements2.Value Added Tax and other Sales Taxes3.Transfer Pricing and International Tax Matters4.Withholding Taxes and Double Taxation Treaties5.Tax Disputes and Settlements6.Employee Taxes and Social Security Contributions法律尽职调查清单（中文）公司信息1.公司名称和法律地位2.公司注册号和注册证书3.公司章程和规章制度4.工商注册和许可证5.股权结构和注册资本6.董事会和主要管理人员7.财务报表和审计报告8.重要合同和协议9.诉讼、仲裁和监管程序10.关联方交易知识产权1.专利、商标和版权2.商业秘密和保密信息3.与知识产权有关的许可和协议4.与知识产权有关的诉讼或索赔5.知识产权权利的所有权和有效性6.知识产权估值雇佣和劳动1.雇佣协议和合同2.公司政策和程序3.遵守雇佣和劳动法律法规4.集体谈判协议和工会5.员工福利和薪酬6.与雇佣和劳工事务有关的诉讼或索赔不动产1.土地使用许可证和房产所有权证2.土地所有权和限制3.与房地产有关的租赁和协议4.遵守土地规划和建筑法规5.环境、健康和安全事项6.与房地产有关的诉讼或索赔法规合规1.经营业务所需的许可证和证书2.所在行业或领域的法规框架3.遵守环境、健康和安全法规4.遵守数据隐私和网络安全法规5.遵守反贿赂和腐败法律6.与监管事项相关的诉讼或索赔税务事项1.公司税务申报和财务报表2.增值税和其他销售税3.转让定价和国际税务事项4.预扣税和双重征税协定5.税务争议和和解6.员工税费和社会保险费用ConclusionThe legal due diligence process is critical for identifying and assessing potential legal risks associated with a target company. This checklist provides a comprehensive guide for conducting an effective legal due diligence. It is important to note that every transaction is unique, and a customized due diligence approach may be necessary. This checklist serves as a starting point for a thorough legal due diligence.。
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。
Due Diligence 尽职调查
Case # 5-0014This note was prepared by Hal Nelson T’03 under the supervision of Adjunct Assistant Professor Fred Wainwright and Professor Colin Blaydon of the Tuck School of Business at Dartmouth College. It was written as a basis for class discussion and not to illustrate effective or ineffective management practices.Copyright © 2004-2005 Trustees of Dartmouth College. All rights reserved. To order additionalnote begins with an overview of due diligence followed by challenges with this process.The Landscape of Due DiligenceUnderneath the due diligence process resides a simple fact: a significant amount of knowledge resides with the experience of the individual, not the firm. Many practitioners have characterized the assessment of investment proposals to be about “pattern recognition.” Therefore those individuals with significant experience tend to have a knack for identifying winning investment proposals. Because this knowledge is hard to extract and codify, many firms struggle with consistently evaluating investment proposals. Either poor efficiency leads to delays in executingDue Diligence StrategyThe due diligence strategy of a firm establishes the criteria for screening and evaluating potential investment proposals. This strategy outlines the types of investments that are consistent with the firm’s investment philosophy. Obviously, afirm has to first define the types of investment that are a fit with the firm. Venture firms typically have a set of investment criteria that define the type of investments that they find attractive. These criteria include the stage of the business, the geographic region, the size of the deal, the industry sector, etc. Once these criteria are defined, a firm will tailor the process to answer specific questions. The fundamental focus of the process is to raise flags with the deal.As few as 10 to 15 % of business proposals pass the screening phase. The deals that pass the initial screen will be evaluated further with detailed due diligence. For the venture capital investment process, due diligence means a rigorous investigation and evaluation of an investment opportunity before committing funds. The due diligence process is designed to reduce the investors’ risk by understanding the issues and challenges embedded in a business proposal. In essence, it involves asking and answering a series of questions, just as the screening process but in much greater depth. This information is used to determine if the deal warrants further consideration in moving to the next phase of the process, valuation and deal structuring.In addition, each firm must decide how they will execute the due diligence process. There are many alternatives depending on the resources available to the firm. The firm may allow the process to proceed in an ad hoc manner, while other firms may choose to use a defined, rigorous process. The firm may allow individuals to review proposals based on their area of expertise or assign responsibility to associates to conduct a general screening of all proposals.One approach does not fit the needs of all firms, especially because of industry specialization. In addition, there is no single question that will answer the simple question, “Is this a winning investment proposal?” However, there are opportunities to formalize the process and take a general look at best practices that will facilitate due diligence for a firm.Due Diligence ProcessDue diligence can be broken down to include an initial screening of the deal and a detailed evaluation in determining the suitability of a deal before moving to the next stage in which the valuation and deal structure is conducted. This note will outline the general practices involved in screening due diligence and business due diligence.Screening Due Diligence. The intent of screening due diligence is to quickly flag the deals that either do not fit with the investment criteria of the firm or the criteriathat are deemed necessary for success. Venture firms are often inundated with investment opportunities. These firms typically use processes or mechanisms to quickly screen out the deals that are not of interest. There is no single best approach to screening because each firm has to determine what is critical to its fund and what types of deals will fit. Fit is often characterized by the stage of the business, geographic region, size of the deal, and industry sector. In screening for a high quality deal there are a few additional areas of focus. Therefore most firms screen based on investment fit and investment potential.Investment Fit –Determines if the investment proposal is consistent with the investment philosophy of the firm - Venture capitalists may be generalist or specialist depending on their investment strategy. As a generalist, a firm may invest in various industry sectors, or various geographic locations, or various stages of a company’s life. As a specialist, a firm may invest in one or two industry sectors, or may seek to invest in only a localized geographic area.•Stage – Not all Venture firms invest in “start-ups.” Many firms will invest at various stages of the business life cycle from seed, to early, or even latestage. A firm may choose to invest in a business when there is only an idea;before a product or company is formed. This is known as seed investing.Early stage investors may provide capital to a company in the first or second stages of the business life cycle. And some firms invest during the latestages of the business development cycle to facilitate the growth of acompany towards exit. Finally, buyout investing might assist managementor an outside party to acquire control of a firm.•Geography – Often firms prefer to invest in deals that are in a local geographic area. The reason behind a geographic preference tends to simply be a desire to easily manage the investment. The investors will need tospend time with the management of the company regarding strategicbusiness decisions, in addition to the other investments in the firm’sportfolio. If the investment is located within the firm’s “region,” it savestime in attending meetings, monitoring the investment, and visiting themanagement team. In addition, location may provide access to resourcessuch as a high caliber labor pool, top law firms, or other needs of adeveloping business.•Size – Venture firms will often establish a minimum and / or maximum amount that they like to invest. There are several reasons for defining therange of investment. The lower bound is often related to the need for theinvestment to be large enough to justify the involvement of the firm. Thefirm does not want to dilute their time over a lot of small deals. Also theminimum amount could be a result of the size of the fund and the need toput a sufficient amount of capital to work. The maximum amount is oftenrelated to the size of the fund as well because the venture firm wants toensure that the fund remains sufficiently diversified.•Industry Sector – There are venture firms that will be broadly diversified and will invest in industry sectors as diverse as information technology, life sciences, and consumer goods, and others that may specialize in only onetechnology. While technology investment makes up most of the investing,venture firms also invest in companies such as retail, manufacturing,business services, etc. It is nearly impossible to maintain the knowledge and skills necessary to understand all industry sectors, thus every investmentopportunity. Therefore, discipline is required to ensure that firms focus onsectors that they understand, or solicit consultation, to maximize theirpotential for success.Investment Potential – Once the investment proposal is deemed to “fit” with the philosophy of the firm, a screening is conducted to test the viability of the deal. Although screening is unique to a particular firm’s needs, there are some common threads that a firm evaluates.•Management – Generally speaking, one of the most important criteria in the screening process is the quality of management. In real estate it is often said that the three most important words are “location, location, location.” Inevaluating a business, many venture firms will proclaim the three mostimportant words to be “people, people, people.”•Market – It is no secret that venture firms are looking for large, high growth markets. In fact, it would be surprising to see a business plan that does notsuggest a significant market. The ability to clearly articulate why aparticular business proposal will experience rapid market growth isessential. Most important is being able to explain the competitive landscape.A deep understanding of the competition is a clear indication that oneunderstands the market.•Product / Service – The key to evaluating a product or service is to ask, “What customer problem is being solved?” Once an understanding of thesolution is clear, the next question is, “Can the problem be solvedprofitably?” The intent is to get a feel for the types of customers and thevalue that is added by the product or service.•Business Model - In evaluating the business model, one wants to determine that the business plan tells a compelling story. Simply put, how is thecompany going to make money, and how will it operate over time? As noted earlier, there is much discussion in the industry about “pattern recognition.”Does the business model appear similar to other proven models? Identifying analogous business models is not a requirement, there are obviously newmodels developed every day, but the venture firm will be more comfortableif they can identify with proven success.Business Due Diligence. Simply put, due diligence is the process by which investors determine that they are getting exactly what they agree to buy. The intent of business due diligence is to verify the potential of the deals that survive the initial screening. Often the criteria which are evaluated are similar to those explored in the initial screening criteria but in greater depth. Therefore, assumptions are often made during the initial screening that need to be further investigated and verified. The business due diligence should test the robustness of the information obtained during the initial screening process.Due diligence can be described as simply a process of getting answers to questions. The key is in asking the right questions that are open-ended and probing in nature. Continuing to “peel the onion” helps to get below the surface of the initial question. For purposes of brevity, typical questions are highlighted under each category. These questions will help explore management, market, product / service, and the business model in further detail.Management – Venture firms look for high-energy, driven founders who recognize the value of building a world class organization. One of the reasons that venture capitalist place so much importance on the quality of management is because they know that the environment will change. Management will need to react to competitive threats, changing customer demands, new regulations, and other dynamics. Making the right tactical and strategic decisions will be vital for a company’s success. Venture firms want to be sure that the management team is up for the challenge. Venture firms realize that management teams may often be incomplete. This is not a show stopper. The focus then turns toward understanding the access to key resources and / or the ability to attract the necessary talent. •Who are the founders and what are their backgrounds?•Do they have relevant experience?•How well do the individuals function as a team?•Do they have a track record of success?•What critical resources do they have access to?•How well do they evaluate risk?•Are they detail oriented?•Do they exhibit a capacity for a sustained effort?Market – The business proposal must show how it will serve a large, rapid growth market. The entrepreneurs must be able to clearly identify their target customers and define strategically how they will reach them. In addition it is essential that the competitive landscape is mapped out and action plans developed to minimize competitive threats.•Who are the users of the product and how many of them are there?•What are the drivers that are fueling the growth?•How is the company positioned against competitive threats?•Describe the competition.•Is the customer, the supplier, and / or the competition fragmented?•Are there attractive substitutes?•What regulations govern this market space?•What are the barriers to entry?•What is the distribution channel and who controls it?•What are the market boundaries?Product / Service – The companies must describe how their product / service will deliver value to the customer and can not be easily replicated by the competition. A platform that can be easily modified to meet changing market needs and stay ahead of the competition is important. In addition scalability becomes important to the financial success of the venture.•What customer problem is being solved?•What unique technology and / or knowledge does the company have?•How does this technology and / or knowledge create value for the customer? •Why is this product or service superior to the competition?•Are there any strategic relationships?•Does this product exhibit scalability?•What are the barriers to enter? IP protection?Business Model – As mentioned in the screening criteria, understanding how a firm is going to make money is necessary to defining the key financial drivers. It is more important to see if the company understands the key components that driveprofitability than to spend time trying to forecast each line item over the next five years. Although forecasts represent a predication of the future, they are simply that, a predication. The focus is rather on potential for high gross margins and potential for recurring revenue streams. Companies with these two components will be well suited for rapid growth and fierce competition.•How will the company sell its product or services?•How will the customer perceive value?•Are there comparable companies to benchmark?•Who are the key market influencers that the company needs to target? •What are the financial requirements, ie capital investment, cash, etc.?•Is the business model scalable?•What is the potential for recurring revenue?•What are the anticipated margins?•What is the exit strategy? Is it feasible?Origin of the deal - Venture firms place significant weight on the origin of the deal. This is because firms often know more about the source of the deal than the quality of the deal itself. In fact several firms noted that they would not support a deal that arrived without recommendation.Due Diligence InfrastructureTo execute the above process, venture capital firms need an appropriate infrastructure. This includes defining the roles and responsibilities and organizational expertise to ensure that the process is effectively managed.Roles and responsibilities. Several different functions exist within a venture capital firm, often depending on the size and context of the firm. The positions can range from an entry level analysts to a managing partner. Deal screening and the due diligence process tends to be some portion of each person’s responsibility. The extent of the involvement tends to be related to the size of the firm. As firm’s become larger they have additional resources, such as associates, to conduct more of the initial screening and reduce the time burden on partners. However, the partners will ultimately be involved in evaluated the potential deal and making the final investment decision.Organizational expertise. At venture capital firms, there tends to exist subject matter experts. These areas of expertise may be organized around industry sectors, functional knowledge, or selected activities. These individuals have theresponsibility for analyzing and understanding the area relevant to their assignment, developing strategies to attract deals, and setting investment strategies and priorities.Organizational process. Each organization is unique in the manner in which the investment proposals are reviewed. However, each firm will typically hold formal investment meetings on some frequency; often Monday of each week. The dynamics of these meetings are another driver of the success of the firm. These meetings serve as a platform for critiquing potential deals. Often an individual will support a particular plan and present the opportunity while other members of the organization will challenge assumptions. This act of constructive dialogue serves to promote a deeper review of the opportunity.ChallengesDespite the progress that has been made in the industry in developing processes and organizational routines to manage due diligence, a number of key challenges still remain.Consistent application of criteria. This challenge is particularly prevalent in the larger firms. As many of the firms have grown they have added employees and have even expanded to new locations. Various firms indicate that their process is outlined and documented but tends to be more institutional. Formal documentation is not fully utilized. When asked about consistency in the process, since little formal documentation is used, one firm proclaimed that the process was “self-correcting” and the consistency comes out of the system. In contrast, the ability to articulate and codify the fundamental elements of the screening and due diligence process should create valuable time to explore the details of a potential investment opportunity. Capturing knowledge and experience. As mentioned earlier, success in this industry is often characterized by “pattern recognition.” Clearly experience is an advantage in this industry. Therefore, efforts to enhance one’s learning curve become critical in facilitating the capture of knowledge. Often it becomes necessary to have knowledge that is “narrow and deep” to intimately understand a particular market / technology space. This intimacy with a particular space leads to improved handling of the due diligence process.Proactive Research. Often firms are focused on their core expertise and are not able to devote sufficient time and resources to exploring new market spaces. Firms often comment that, if time allowed, they would like to devote resources to understanding new market space opportunities through extending their knowledgeand core competencies. The ability to not only identify new market space, but to also identify the specific companies, could create a significant potential advantage for firms. Therefore, improving the process of due diligence should create time to devote to other endeavors.Note on Due Diligence in Venture Capital Case # 5-0014References1.Camp, Justin, Venture Capital Due Diligence: A Guide to Making SmartInvestment Choices and Increasing Your Portfolio Returns, 20022.Daych, Diane, Principal, Conning Capital, (4/22/2003)3.Fairbrothers, Gregg, Executive Director, Dartmouth Entrepreneurial Network,(2003)4.Ferneau, Phil, Principal, Borealis (2003)5.Ferneaux, Jim, General Partner and Co-Founder, Kodiak Venture Partners,(4/14/2003)6.Lesemann III, A. Reenst, Managing Director, Tall Oaks Capital, (4/16/2003)7.Moore, James, “The Due Diligence Process: A Two Way Street”,/resource/artfafund_duediligenceprocess.doc8.Wainwright, Fred, Executive Director, Center for Private Equity andEntrepreneurship, Professor at The Tuck School of Business, (2003)9.Additional web sites sourced:/venture_financing/due_diligence.html/aarp/books/raisecap/Excerpt07.htm/bisc/veca/ch13.html/articles/content/2990.asp.au/live/venture.pdf/def.htmlwww.acoa-apeca.gc.ca/e/financial/venture_capital_doc.shtmlCenter for Private Equity and Entrepreneurship 11。
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。
毕马威尽职调查题纲
KPMG Due Diligence Information Request List8 August 2006毕马威财务尽职调查清单2006年8月8日Instructions:说明：1. "Sanbei" = the company and its affiliates being contemplated for the proposed transaction" 三北种业“= 拟定交易中的目标公司和其联营公司2. Please compile information and material listed below and write down the status of the information in thereply column (i.e. "Completed", "Still Collecting", "Not Applicable / Available")请准备我们要求的相关资料，并在答复栏目中（如：“完成”，“仍在收集”，“不相关/没有”）注明文件的准备情况及预计完成时间3. Please insert all material in folders, appropriately labelled with the Numbering Code (i.e. 1.1, 1.2)请把准备好的资料标上相对应的编码（例如，1.1, 1.2) 并按顺序放入文件夹4. This information request list is not exhaustive. Additional information may be required during the duediligence这份所需资料清单并不是完全详尽的，在获取以下所需资料的基础上我们可能要求另外的资料第1章 Business background an Corporate 公司背景第2章 Policies and internal control procedures会计政策和内部管理程序Project Dongfeng-Information Request List 3 24/03/2022第3章 Financial informationProject Dongfeng-Information Request List 5 24/03/2022第4 章 Related party transactions (NOTE: all information listed is required for the year ended 31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)关联交易 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第5章 R&D, breeding and New hybrids新种子类别Project Dongfeng-Information Request List 7 24/03/2022第6章 Sales revenue and gross profit (NOTE: all information listed is required for the year ended31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006) unlessspecified otherwise and if possible for operating year July to June销售收入 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日), 除了令有说明外)Project Dongfeng-Information Request List 9 24/03/2022第7章 Cost structure (NOTE: all information listed is required for the year ended 31 December 2004,2005 and latest 2006 information available (e.g. 30 June 2006)生产成本结构(2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日)第8章 Other income / expenses (NOTE: all information listed is required for the year ended31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)其它收入/费用(2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日)Project Dongfeng-Information Request List 11 24/03/2022第9章 Cash flow information (NOTE: all information listed is required for the year ended31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)现金流量(2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第10章Cash and bank (NOTE: all information listed is required for the year ended31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)现金及银行存款(2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第11 章 Borrowings and debts (NOTE: all information listed is required for the year ended 31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)贷款及债务(2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第12章 Accounts receivable (NOTE: all information listed is required for the year ended31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)应收账款 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))Project Dongfeng-Information Request List 13 24/03/2022第13章 Accounts payable (NOTE: all information listed is required for the year ended31 December 2004,2005 and latest 2006 information available (e.g. 30 June 2006)应付帐款 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第14章 Accrued expenses (NOTE: all information listed is required for the year ended31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)预提费用 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第15章 Inventory (NOTE: all information listed is required for the year ended 31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)存货 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))Project Dongfeng-Information Request List 15 24/03/2022Project Dongfeng-Information Request List 1724/03/2022第16章 Other receivables, deposits and prepayments (NOTE: all information listed is required forthe year ended 31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)其它应收款，定金及预付款 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第17章 Other payables (NOTE: all information listed is required for the year ended 31 December2004, 2005 and latest 2006 information available (e.g. 30 June 2006)其它应付款 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第18章 Fixed assets (NOTE: all information listed is required for the year ended 31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)固定资产 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))Project Dongfeng-Information Request List 19 24/03/2022第19章 Intangible and other assets (NOTE: all information listed is required for the year ended 31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)无形及其它资产 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第20章 Construction in progress (NOTE: all information listed is required for the year ended 31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)在建工程 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第21章 Contingent liabilities / commitments或有负债/承担Project Dongfeng-Information Request List 21 24/03/2022December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)人力资源(2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第23 章 Dividends(NOTE: all information listed is required for the year ended 31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)股利分配(2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))Project Dongfeng-Information Request List 23 24/03/2022第24章 Other (NOTE: all information listed is required for the year ended 31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)其它 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))第25章 Taxation (NOTE: all information listed is required for the year ended 31 December 2004, 2005 and latest 2006 information available (e.g. 30 June 2006)税务资料 (2004, 2005年与2006年的最近期间的资料， (例如2006年6月30日))Project Dongfeng-Information Request List 25 24/03/2022。
EHS领域的尽职调查细则英文版
EHS领域的尽职调查细则英文版Due Diligence Guidelines in the EHS FieldIn the realm of EHS (Environmental, Health, and Safety) compliance, conducting due diligence is crucial for organizations to identify and mitigate risks associated with their operations. These guidelines outline the steps and considerations for a thorough due diligence process.IntroductionDue diligence in the EHS field involves assessing compliance with environmental regulations, occupational health and safety standards, and other relevant laws and regulations. It is essential to ensure that the organization is operating in a manner that is safe for employees, the community, and the environment.Scope of Due DiligenceThe due diligence process should cover all aspects of the organization's operations that have potential EHS impacts. This includesassessing current practices, identifying potential risks, and evaluating compliance with applicable laws and regulations.Conducting Due Diligence1. Document Review: Review all relevant documents, such as permits, licenses, inspection reports, and incident records, to gain an understanding of the organization's EHS performance.2. Site Visits: Conduct on-site visits to observe operations, interview key personnel, and assess the physical conditions of the facilities.3. Interviews: Conduct interviews with key stakeholders, including employees, regulators, and community members, to gather insights into the organization's EHS performance.4. Risk Assessment: Identify and assess potential EHS risks associated with the organization's operations, considering factors such as hazardous substances, waste management practices, and emergency response procedures.5. Compliance Evaluation: Evaluate the organization's compliance with relevant EHS laws and regulations, including monitoring and reporting requirements.6. Gap Analysis: Identify any gaps in the organization's EHS management systems and recommend corrective actions to address deficiencies.Reporting and Follow-UpAfter completing the due diligence process, a comprehensive report should be prepared detailing findings, recommendations, and action plans. Follow-up actions should be taken to address any identified risks or compliance issues.ConclusionEffective due diligence in the EHS field requires a systematic and thorough approach to assessing and managing risks. By following these guidelines, organizations can enhance their EHS performance and ensure compliance with legal requirements.。
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。
Properties-Due DiligenceChecklist尽职调查清单
DUE DILIGENCE CHECKLISTThe following list has been compiled for general guidance in the collection and recording of information about possible M&A activities. This list has been made broad enough to cover a wide range of minerals and conditions, hence many items may not be applicable to particular cases.The items in this checklist are compiled under the following main headings:I. LOCATION AND SERVICESII. OWNERSHIP/CORPORATEIII. MINING HISTORYIV. GEOLOGYV. MININGVI. ORE TREATMENTVII. SITE EVALUATIONVIII. ENVIRONMENTAL CONCERNS/PROTECTIONIX. LABOUR, ORGANIZATION AND SECURITYX. SALES AND MARKETINGXI. FINANCE AND TAXATIONXII. LEGALXIII. POLITICALXIV. ECONOMICSI LOCATION AND SERVICESA. Geographic Description1. Country, sub-division, nearest major population centre, latitude, longitude,altitude, important distances.2. Terrain, general ground cover (e.g. pasture, agriculture, forest).3. Seismicity4. Road and topo mapsB. Climate1. Temperature, rainfall, snow, hail, wind records, river/stream flows.2. Climate dangers - floods, tornadoes, snow slides, etc., including historicalpeak conditions.3. Health conditions, endemic diseases, precautions.C. General Facilities, Services and Resources1. Towns - location, size, availability and standard of housing and otheraccommodation.2. Medical, educational and security concerns, standards, resources andfacilities3. Electric power network, load availability, power price, conditions orrestrictions.4. Natural or industrial gas supplies.5. Availability and price of lumber, gasoline, oil, cement and constructionmaterials.6. Water resources, industrial and potable - availability, allocation and rights.7. Communications - telephone, telegraph, teletype, mail, messenger, radio -schedules and rates.8. Commercial and engineering supplies and services, machinery andequipment agencies.9. Custom treatment plants or smelters.10. Local building codes.D. Access and Transportation1. Railroads, highways, tidewater, inland waterways, airfields or airports.2. Docks, rail stations or sidings, warehouses.3. Available public carriers - categories, capabilities, schedules and rates.4. Availability of haulage contractors, charter aircraft, etc.5. Loading and packaging requirements, restrictions.6. Regulations or restrictions regarding mine operated transport.7. Special problems of access or transport service to mine locations.8. Expedition of equipment, parts and supplies - handling, rehandling,storage, customs, potential delays. (Construction and operating phases).E. Existing Installations at the Property1. Camp, townsite, roads, services.2. Power, compressed air, water supply machinery.3. Mine workings (covered in detail under Section V).4. Milling or treatment plant (covered in detail under Section VI).5. Offices, warehouses, workshops, service buildings.6. Machinery, equipment and inventory, other than covered above.II OWNERSHIP/CORPORATEA. Controlling Company or Partnership1. Name, status, home office, major shareholders, important officers, linkswith other companies.2. Shares authorized and issued, vendor or pooled shares, par value, marketvalue, marketability.3. Control blocks. Who owns them - how much? Willing to sell?4. Stock exchange listings.5. Other properties owned.6. Local ownership requirements.B. Mineral and Surface Rights1. Description, size and location of claims.2. Status, expiry dates.3. Assessment work requirements.4. Interference by claims under different ownership.5. Formalities governing mining rights, if not included in mineral rights;government or other mining lease policy.6. Surface rights desirable or essential.7. Access requirements and conflicts.8. Land values including post-closure values.C. Acquisition1. Proposed conditions and price for acquisition.2. Pre-existing contracts, agreements, options, etc.III MINING HISTORYA. History of District1. Previous developments, enterprises and activities.2. Production records, if any.3. History of local difficulties.B. History of Property1. Record of previous work: timing, nature and results.2. Ore reserve record, if any.3. Previous production record, if any.4. Reason for difficulties, closure or seeking financial assistance.IV GEOLOGYA. Regional and Area Geology1. Formations, chronology, structures, dip.B. Geology of Deposit and its Surroundings1. Country rocks, structures, etc.2. Mineralization controls.3. Orebody nature, size, dimensions, inclination. Is ore visuallydistinguishable?4. Effects of faults, dikes, etc.C. Ore Potential1. Measured, indicated and inferred reserves OR proven and probablereserves.2. Ore potential.3. Major and minor metals, grades, value distributions, mineralization trends,ore-shoots, etc.4. Likely ore waste ratios (for open pit projects - but any detailed estimateshould be under “Mining”).5. Drill hole locations (map).D. Water1. Water table, aquifers, inflow of underground water, etc.2. Water quality - pH, hardness, salinity, etc.E. Rock Strength Factors1. Geophysical or geotechnical work.2. Additional drilling for information or valuation.3. Pitting and trenching.4. Underground exploration or development.5. Bulk sampling.V MININGA. Present Operations of Workings1. Present mine workings, extent, size and purpose of openings. Entries,service, facilities. Condition of installations.2. Operating statistics of previous operations, if productive. Type of miningused.B. Proposed or Postulated Future Operations1. Potential output level.2. Proposed mining method, with likely operating statistics, requirements ofmen, equipment and materials.3. Estimate or ore losses in production, waste or low grade dilution (definewhether you dilution figure means a percentage of clean or a percentage ofthe total ore waste mixture).4. Mill feed - as daily or annual tonnage and grade. Likely scale of gradefluctuations. Grade control organization required.5. Waste handling and disposal - underground and/or pit stripping.6. Foreseeable mining problems - support, ventilation, drainage. etc.VI ORE TREATMENTA. Ore Characteristics1. Valuable metals or contents.2. Fineness of dissemination.3. Grindability, abrasiveness, etc.4. Foreseeable separation problems.5. Useful by-products, if any.6. Impurities and deleterious elements.B. Product Information1. Further treatment needed for concentrate, if any.2. Product specifications and quality requirements, if applicable.C. Present Operations1. Current and past treatment methods with operating figures, if available.2. Detailed description of any existing plant, with flowsheet.3. Available information on test work.D. Proposed Treatment Plant1. Flowsheet, with flow quantities, and sizes of major equipment items.2. Recoveries, product and tailing grades, etc.3. Concentrate handling and shipment.E. Tailing DisposalF. Further Treatment1. Smelter, refinery, acid plant, etc.VII SITE EVALUATIONA. Terrain1. Location of mine openings, dumps, plant and buildings, haulage roads,tailings, etc.2. Access requirements.3. Terracing, contouring, earthworks, stream diversions, bank protection, etc.4. Topo maps.B. Construction Controls1. Bedrock, soil strength conditions.2. Availability and quality of sand, gravel for concrete, roads, etc.3. Drainage, ground water.4. Removal of timber or surface cover.VIII ENVIRONMENTAL CONCERNS/PROTECTIONA. Environmental1. Terrestriala. Impermeability of tailing pond area, groundwater contamination.b. Impermeability of material for tailing dam.c. Seismic stability of area of pond and dump.d. Acid producing potential of waste rock.e. Radioactivity of waste and tailing.f. Ease of reclamation of pits, tailing dam and waste dump areas.2. Aquatica. Use of affected streams/lakes for drinking water.b. Economic value of fish and aquatic life in affected streams/lakes.c. Expected concentration of heavy metals, arsenic, cyanide,ammonia, sediments in effluent.d. Effluent standards required (EPA, EPS. other).e. Leachability of metals from waste dump into water bodies.f. Radioactivity.3. Aira. Expected levels of dust from mining/milling.b. Expected levels of arsenic, mercury, sulfides from any roastingoperation.c. Pattern of wind currents in area around stacks.d. Radioactivity (especially radon).B. Socio-Political Aspects1. Attitude of senior government to development.2. Attitude of junior government to development.3. Existence and activity of environment pressure groups.4. Past experience of development projects in coming on line.5. Land tenure position at mine/mill site.6. Laws and permits.7. Special problems.C. Financial-Legal Aspects1. Bonding2. Liabilities3. Permits4. Open “endedness”IX LABOUR AND ORGANIZATIONA. Local Labour1. Requirements - number and quality. Turnover2. Availability - permanent and seasonal.3. Competency, educational level, productivity.4. Languages used. Familiarity with or usage of a major language.5. Employee demographics - age, length of service.6. Local management resources.B. Outside or Expatriate Labour1. Requirements - number, qualifications, status. Turnover.2. Government regulations, residence permits and visas, restrictions as tonumbers or to duration of contracts.3. Personal taxation levels.4. Transferability of earnings.5. Language problems.C. Organization/Miscellaneous1. Ratio of management to employees.2. Availability of training of educational facilities.3. Key jobs.4. Key employees.5. Organization charts.D. Agreements1. Compensation program details - salaries/wages, stock options, bonuses,underground contract bonus, etc.2. Labour organization and unions.3. Labour contracts and agreements.4. Individual employee contracts and commitments.5. Benefits programs - housing, travel, vacations, public and statutoryholidays, feast days, medical and dental, etc.6. Pension status - type of plan, funding type and status, last valuation date.7. Government controls and requirements.8. Workers’ Compensation - assessment rate, costs.9. Employees on long term disability, salary continuance, etc.10. Relocation allowances.E. Safety Matters, Health and EducationF. Security1. People2. Products and SuppliesG. Contract Services and Availability1. Mining2. MaintenanceX SALES AND MARKETINGThis important aspect is included for completeness, but it may well be covered by independent inquiries made away for the mining property. The differences for individual mineralproducts are so great that only skeletal guidance can be included here.A. Previous Sales History1. Marketable products made.2. Where and how sold, prices received.3. Special sales conditions, if any.4. Sales contracts in force.5. Quality of production.B. Marketing1. Envisage outlet for product.2. Pricing basis.3. Realization costs.4. Contractual quantities, quotas or restrictions.5. Concentrate schedule terms, treatment charges, penalties, etc.6. Freight charges, insurance costs.C. Market Demand and Pricing OutlookXI FINANCE AND TAXATIONA. Finance1. Consolidated and entity balance sheets and income statement includingdividend and profit records.2. Sources of local finance, interest rates, etc.3. Currency and exchange controls.4. Local inflation rates, stability of local currency.5. Freedom to repatriate capital, pay dividends.B. Property Finance1. Balance sheets and income statements by property of cost centre.2. Investments by project.3. Annual report, on 10K.4. Details of indebtedness, loan agreements.5. Forms of financing (e.g. Joint Venture terms).6. Collectability of accounts receivable.7. Financial agreements (including exploration and developmentcommitments), leases, pension liabilities, contingent liabilities.8. Cost and variance statements, operational reports.C. Taxation1. Income tax system and rates, mining taxes, severance taxes, property taxes,employee profit sharing.2. Depreciation rates for tax purposes, calculation of taxable income.3. Treatment of exploration, property acquisition costs.4. Withholding taxes. Repatriation of funds.5. Incentives for exploration and development.6. Administration of tax system, competence of tax officials.7. Export and import taxes, sales taxes, VAT.8. Property tax information, opening balances for depreciation, exploration,losses, etc. available for future years.9. Last taxation year that has been audited, copy of reassessment.10. Trends, potential changes.XII LEGAL1. Outstanding agreements and liabilities. (Also in Financial and Taxation).2. Litigation pending or anticipated.3. States and/or countries in which the entity is authorized to conduct business.4. Articles of incorporation, by-laws, action of Board of Directors for both parentand subsidiary companies.5. Anti-trust considerations.6. Environmental laws, regulations, or other considerations to be noted.7. Laws of special interest governing the enti ty’s activities in a particular jurisdiction.8. Legal constraints on entity’s transference of business and/or assets.9. Insurance policies.XIII POLITICAL1. Customs of local people.2. Sources of “local knowledge”.3. Extent and type of corruption in business practices or government relations.4. Carried equity required for certain types of business within a country.5. Requirements to purchase or invest locally.6. Political stability, trends.7. Quality of government departments.8. Mineral concession control.9. Relations between government and private industry.10. Sundry political restrictions.XIV ECONOMICS1. Export and import taxes.2. Trade barriers and embargoes.3. Tax structures, concessions, etc.4. Transferability of capital and income.5. Level of internal inflation.6. Competitivity - competitive costs, strengths and weakness, potential forimprovement.7. Major risk factors affecting profitability. Upside and downside issues. Any fatalflaws?8. Economic outlooks:- three to five years.- ten to twenty years.9. Economic standards, cost of living.10. General availability of goods and supplies.11. Basic data on costs, labour rates, prices, etc., will have been accumulated andrecorded in the appropriate technical sections. The preparation of an EconomicReport (for which a more-or-less standard format already exists) depends largelyon derived and deduced data that does not and need not figure in a summary ofbasic information.12. A summary of the economics of present or previous operations may be includedhere。
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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 i nfringement 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。