【正文】 recent claims, investigations, disputes, administrative penalties, arbitrations and court proceeding involving the Company or its shareholders, subsidiaries, senior officers and directors, including their status and resolution, where: 公司、其股東、子公司、高級(jí)管理人員和董事的潛在的、正在進(jìn)行的或近三年的權(quán)利主張、調(diào)查、爭議、行政處罰、仲裁和法院訴訟，包括它們的狀態(tài)和結(jié)果：□(1) more than the material amount is in dispute(1) 超過重大數(shù)額的□(2) it is otherwise material to the affairs of the Company(2) 在其他方面對公司業(yè)務(wù)有重大影響的□11 Government Authorizations Pertaining to the Company’s Business11 關(guān)于公司業(yè)務(wù)的政府批準(zhǔn)Provided/已提供Practitioner’s Notes/提示Items in this section must be adapted to the particular line of business of the Company.本節(jié)中的各項(xiàng)應(yīng)適用于公司的特殊業(yè)務(wù)。The practitioner should define and explain the technical terms below to the Company so that they can provide the proper documents.盡職調(diào)查方應(yīng)當(dāng)告知公司以下技術(shù)性條款的定義或解釋以便公司能夠提供合適的文件。 Official documents from or to environmental authorities or those having some jurisdiction over environmental matters, including: 有管轄權(quán)的環(huán)保部門對環(huán)境問題出具的文件，以及向該等部門發(fā)出的函件□(1) environmental licenses, registrations, assessments(1) 許可證、登記、評(píng)估等□(2) permits and approvals relating to urban planning, water, air quality, solid waste disposal, oil and gas transport and storage(2) 與城市規(guī)劃、用水、空氣質(zhì)量、固體廢物處理、石油、煤氣和天然氣運(yùn)輸和儲(chǔ)存相關(guān)的許可證和批準(zhǔn)□ Information about environmentally sensitive activities that are or may be regulated, including: 受管制或?qū)⑹芄苤频沫h(huán)境敏感活動(dòng)的信息，包括□(1) information and documents regarding hazardous, contaminating or polluting materials owned, used, deposited or otherwise handled by the Company(1) 與公司擁有、使用、儲(chǔ)存或以其他方式處置的危險(xiǎn)、污染原料有關(guān)的信息和文件□(2) internal environmental policy and whether such policy is adhered to。 regulations, including a description of how they are formulated, revised and publicized(2) 員工手冊和其他內(nèi)部規(guī)章制度，包括對這些規(guī)章制度是如何制定、修改和發(fā)布的描述□(3) overtime policy, including whether the Company arranges for alternative rest periods or for overtime payment and whether such policy is adhered to(3) 加班政策，包括公司是否安排補(bǔ)休或支付加班費(fèi)以及這些政策是否得到遵守□(4) actual numbers of overtime hours worked by each employee(4) 每個(gè)員工的實(shí)際加班時(shí)間□(5) stock options for employees and other benefits(5) 員工股票期權(quán)計(jì)劃和其他福利□ Relevant contracts, such as: 相關(guān)合同，如：□(1) Employment contracts and contracts for training, confidentiality, nondisclosure and nonpetition between the Company and senior management and key technical personnel(1) 高級(jí)管理人員和關(guān)鍵技術(shù)人員的勞動(dòng)合同\培訓(xùn)合同、保密協(xié)議、非競爭協(xié)議□(2) Employment form contract(s) used by the Company, including fulltime, parttime and foreign employees(2) 公司采用的勞動(dòng)合同范本，包括全職、兼職和聘用外勞的合同□(3) Form contracts for training, confidentiality, nondisclosure and nonpetition(3) 培訓(xùn)合同、保密協(xié)議、非競爭協(xié)議范本□(4) Form contracts with independent contractors, such as interns and retirees(4) 勞務(wù)合同范本，如實(shí)習(xí)生和退休人員□(5) Labor dispatch agreement and service outsourcing agreement(5) 勞務(wù)派遣協(xié)議及勞務(wù)外包協(xié)議□ Work permits and residence permits for foreign employees 外籍員工的工作許可證和居留證□ Documents relating to social insurance and housing fund pliance: 社會(huì)保險(xiǎn)文件和住房公積金文件□(1) social insurance registration certificate and housing fund account establishment certificate(1) 社會(huì)保險(xiǎn)登記證和住房公積金開戶證明□(2) proof that the Company has fully paid social insurance and housing fund for all its employees(2) 公司已為其全部員工足額繳付社會(huì)保險(xiǎn)費(fèi)和住房公積金的證明□(3) proof of payment for unions and workplace health pensation(3) 支付工會(huì)費(fèi)和職業(yè)健康補(bǔ)償?shù)淖C明□ Proof of employee’s ine tax withholding during the last 3 months 最近三個(gè)月代扣員工個(gè)人所得稅的證明□ Information and documents relating to labor unions that the Company’s workers belong to 公司員工所屬工會(huì)的信息和文件□ Information and documents relating to any potential, ongoing or recent employment / labor disputes 任何潛在、正在進(jìn)行或近三年的雇傭或勞動(dòng)爭議的信息和文件□8 Environment8 環(huán)境保護(hù)Provided/已提供Practitioner’s Notes/提示Provide information about activities of the Company that may be regulated under environmental laws.提供有關(guān)公司所從事的任何有可能受環(huán)保法律規(guī)制的活動(dòng)的信息。Assess the risk of nonpliance with employment, immigration or social insurance laws.評(píng)估公司是否存在未符合相關(guān)勞動(dòng)法、移民法或社會(huì)保險(xiǎn)法的風(fēng)險(xiǎn)。Assess whether the Company is in pliance with tax regulations.評(píng)估公司是否按照相關(guān)稅法的規(guī)定行事。Assess the value and risk of such investments, loans and security interests.評(píng)估該等投資、貸款和擔(dān)保權(quán)益的價(jià)值和風(fēng)險(xiǎn)。 SAFE official documents, such as foreign exchange registration certificate, foreign debt registration certificate and foreign debt repayment approvals, including any amendments and showing all annual inspection passed 外匯管理部門文件，如外匯登記證，外債登記證和外債償還核準(zhǔn)，包括任何變更和年檢記錄□ MOF official documents, such as the financial registration certificate, including any amendments and showing all annual inspection passed 財(cái)政部門文件，如財(cái)政登記證，包括任何變更和年檢記錄□ Contracts relating to all debt, financing or guarantees, including those relating to security interests (mortgages, pledges, liens, etc.) and credit facilities 所有與借款、融資或保證有關(guān)的合同，包括與擔(dān)保權(quán)益有關(guān)的合同（抵押、質(zhì)押、留置等）和信用貸款合同□ Information and documents relating to the performance of the above contracts, including: 有關(guān)前述合同履行情況的信息和文件，包括：□(1) whether all reporting and registration requirements have been plied with(1) 是否全部報(bào)告及登記要求均已得到遵守□(2) whether all material covenants including financial covenants/ratios have been plied with(2) 是否全部重大承諾包括財(cái)務(wù)承諾/比率均已得到遵守□(3) whether any event of default has occurred(3) 是否發(fā)生任何違約行為□(4) whether any notice or demand has been served on the Company in relation to default or nonpliance with any of the provisions of loan or security documentation(4) 與違反或未遵守貸款或擔(dān)保文件的任何規(guī)定相關(guān)的任何通知或要求是否已送達(dá)公司□(5) any further action taken by lenders to enforce any security interests (. appointment of receivers, mencement of winding up proceedings etc.)(5) 貸款人為強(qiáng)制執(zhí)行任何擔(dān)保權(quán)益采取的任何進(jìn)一步行動(dòng)（如指定接管人、開始清算程序等）□ Receipts or documents from the bank showing payments made on debt 銀行關(guān)于收到還款的收據(jù)或其他文件□ Information and documents relating to bank accounts (of all types) of the Company 銀行賬戶（所有類型）的信息和文件□ Information and documents relating to other financial arrangement other than banking loan w