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 Property

1、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, Licensing

Copies 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, Infringement

Details 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。

4, Other IP Agreements

4、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 Policy

The 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 parties

(including 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 applicable)

6、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 are

reasonably 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？