中国风电项目调查清单讲课讲稿

中国风电项目尽职调查文件清单CHINA WIND FARM PROJECTList of Requested Documents for Due DiligenceProject Document 文件Status状况Comments备注1 General Introduction 一般介绍1.1 Historical and projected electricitydemand & supply information forlocal/regional Grid 省/地方电网供求过去情况和未来预测1.2 Information from the ProvincialPower Bureau regarding the latestWind Power Development Plan省电力局关于风电的发展计划2. Major Project Documents主要项目文件2.1 Investment Agreement(s) (and/orinitial term sheets and otherexpressions of intent) relating to thedevelopment and investment in theWind Project 项目开发投资协议（及/或投资意向书、初步合约细则）2.2 Wind Test Agreement(s) signed forconducting the initialmeteorological measurement anddata collection period for the WindProject 就项目进行初步气象测量和收集数据而签订的测风协议2.3 Agreements, letters, and othercommitments and/or arrangementsin place or pending with the powerbureau or government, with respectto establishing the tariff for theWind Project 与政府或电力局就确定项目电价而签订或即将签订的协议、信函、出纳、或安排2.4 Power Purchase Agreement,commitment letters, and otherarrangements under which the WindProject will sell its electrical energyto the grid 就向电网销售电力的购电协议、承诺函或其他合约2.5 Inter-connection agreements underwhich Wind Project will transmitelectrical energy to the grid并网协议2.6 Operations and maintenanceagreements and other related serviceagreements entered into with thirdparties 与第三方签订的运营协议、维护协议和其他服务协议2.7Land use rights extended by any of the following entities as applicable, including land use rights certificates, evidencing exclusivity over the designated project site, and documentary evidence of the payment of the fees for granted land or land use rights ?Local land user(s) ?Local Government ?Provincial Government 与以下单位签订的项目用地土地出让合同、土地使用权证，及缴纳土地出让金或使用费的证明文件：?当地用地原业主?当地政府?省政府2.8Supply & Installation Agreement (and/or initial term sheets and other expressions of intent) relating to the supply of WGT for the Wind Project, including any information and/or agreements relating to the structure of performance guarantees, warranties, liquidated damages, liability caps 风机的供货和安装协议（及/或初步合约细则、意向书），包括任何关于履约保证、担保、损害赔偿、责任上限的协议和资料2.9Agreement(s) (and/or initial term sheets and other expressions of intent) relating to the design and construction of the balance-of-plant 除风机以外的设计和建筑协议（及/或初步合约细则、意向书）2.10Insurance program and/or plan in connection with the power plants and facilities of Projectco, incl: ?All Risk/property damage ?Machinery breakdown ?Business interruption ?Third party/public liability 项目保险文件和计划，包括：?全险/财产险?设备故障?收入险?第三者险/公共责任险2.11 Clean Development Mechanism:?Baseline data (ie. BaselineScenario and EmissionsFactor) for applicable grid?Documentation work -?Project DesignDocuments (PDD)?Project Idea Notes(PIN)?Project Concept Notes(PCN)?Validations and approvals(if any) granted by ChinaCDM Board 清洁发展机制（CDM ）：?电网基准日（包括电网基准线和排放因子）?文件：?项目设计文件（PDD ）?项目简介文件（PIN ）?项目概念文件（PCN ）?国家CDM 项目审核理事会的批准书3.0Corporate & Shareholder Matters 公司和股东资料3.1Articles of Association of any project company established to develop, own, and operate the Wind Project (“Projectco ”), and any subsequent amendments thereto 所有项目公司章程及有关修订3.2 Any Projectco Shareholder ’sAgreements or Joint Venture Agreements by and between theexisting sponsors of the WindProject, and any subsequentamendments thereto项目公司股东协议或合资协议及有关修订3.3 Articles of Association of anyholding company established to ownone or more Projectco(s), and anysubsequent amendments thereto 所有为持有一个或多个项目公司而成立的控股公司的章程及有关修订3.4 Shareholder’sAgreement or Joint Venture Agreement by and betweenthe existing sponsors of any holdingcompany established to own one ormore Projectco(s), and anysubsequent amendments thereto 上述控股公司的股东协议或合资协议4.0 Governmental Support &Approvals政府批准文件4.1 Approvals by NDRC (provincial-level) for the construction of theWind Project and supporting tariff 国家发改委（省发改委）关于项目建设和电价的批准4.2 Approvals by Ministry ofCommerce (MOFCOM) on theestablishment of Projectco and itsarticles of association 商务部对项目公司的成立及其公司章程的批准文件4.3 Business license for Projectco byAdministration For Industry &Commerce (SAIC)工商局颁发的公司营业执照4.4 Tax registration certificates andforeign exchange registrationcertificates for Projectco公司税务登记和外汇登记4.5 Approvals issued by relevant taxauthorities granting any taxincentive for Projectco 有关税务部门给予公司税务优惠待遇的批文4.6 Approval on the use of land ofProjectco 利用项目选址作风电项目用途的批文4.7 Title documents of the properties ofProjectco公司房产的产权证明文件5.0 Corporate Assets and FinancialSituation公司资产及财务5.1 Audited financial statements,including balance sheet, profit andloss and cash flow statements,dividends distribution plans for theyears 2005, 2006 经审核的2005、2006年度的公司财务报表，包括资产负债表、损益表、现金流转表、利润分配方案5.2 Un-audited management accounts,including balance sheet, profit andloss statement, cash flowstatements, and dividendsdistribution plan available for theyear 2005, 2006 未经审核的2005、2006年度的公司季度和中期财务报表，包括资产负债表、损益表、现金流转表、利润分配方案、财务状况变动表、派息记录5.3 Asset appraisal reports and assetlists of Projectco, confirmed byState-owned Assets ManagementAuthorities 国有资产管理部门确认的公司资产评估报告及财产清册5.4 Investment verification reports forProjectco, issued by localaccounting firm(s) engaged by thecompany由独立审计师出具的验资报告5.5 Investment certificates issued byProjectco to the shareholders公司向股东颁发的出资证明书5.6 Pro-forma financial projectionsprepared by the company and/or itsadvisors公司或其顾问编制的财务预测5.7 Latest capital investment plans anddevelopment budgets showing thefinancial resources spent to date andstill required to implement theproject plan. 最新的资本投资计划和预算（如有），及其资金来源计划5.8 Management and executive boardpresentations, meeting minutes, andother related information,presentations, and reports preparedby management that may bematerially relevant in gaining acomprehensive understanding of thebackground, objectives, andbusiness plan of the Wind Project,Projectco, and the key sponsor(s) 任何能协助对项目、项目公司和股东的背景、目标和业务计划取得全面了解的管理层报告、董事会报告、会议记录和其它有关资料或报告6.0 Financing Documents 融资文件6.1 Confirmation and terms of alloutstanding third party loanfacilities for Projectco, includingcurrent outstanding loan balances 公司目前的第三方贷款情况，包括贷款条款和目前未偿还金额6.2 Confirmation and terms of alloutstanding shareholder loanfacilities for Projectco, includingcurrent outstanding loan balances 公司目前的股东贷款情况，包括贷款条款和目前未偿还金额6.3 Board resolutions and the relevantcontracts or agreements on any loanguarantees provided by Projectco orits shareholders 关于由公司或股东提供的对外担保的董事会决议及合同协议6.4 Other documents and evidence ofconditions precedent associatedwith any project loans (ie. mortgageagreements, pledge agreements,other forms of security, dividendblocks, working capital, etc.)关于项目贷款的先决条件已被执行的文件和证明，例如抵押协议、担保协议、利润分配限制、流动资金要求等6.5 Board resolutions regarding thecharge of assets of Projectco and therelevant security agreements orcontracts. 关于公司资产抵押的董事会决议和有关协议6.6 Any term sheets or other initialarrangements entered into by andbetween the Projectco and a thirdparty project lender/debt provider 与项目贷款方签订的初步合同细则或初步协议7.0 Litigation and Disputes 诉讼及争议7.1 Proceeding notices and judgementsof courts received by Projectco withoutstanding payment of more thanRMB [1] million. 公司收到的涉及未付清金额人民币一百万元或以上的法院诉讼通知及法院判决7.2 Any claims of more than RMB [1]million against Projectco, includingrelevant correspondence andsolicitor’s letters 向公司提出的涉及金额人民币一百万元或以上的索偿，包括有关索偿信函或律师函7.3 Any penalty notices orcorrespondence issued bygovernmental organizations toProjectco due to any violation ofenvironmental laws, taxation lawsand other regulations. 公司因违反法规而收到的政府部门发出的处罚通知或函件8.0 Technical Information主要技术资料：8.1 Wind Power Site 风电场8.1.1 Information on Land:?Status and disposition of anyexisting inhabitants?Site access and transportationinfrastructure?Existing and requiredeasements and permits 土地资料：?目前居民状况和处置安排?进路和运输设施?目前和要求的通行权和使用权8.1.2 General information on the locationof the Wind Project:?Meteorological data andanalysis?Topographical, geological,seismological, meteorologicaland hydrological data on siteand surrounding terrain?Description of any majorstructures or potentialobstructions in the area, suchas military radar, etc.?History of natural calamities,such as flooding, drought,earthquake, typhoon, etc. 项目选址环境概况：?气象资料和分析?选址和周边的地理，地质，地震，气象，水文资料?地面建筑物或设施，例如：军事雷达?自然灾害的历史：如水灾，旱灾，地震，台风等8.2.2 Site development requirements andplans用地开发要求和计划8.2 Wind Power Plant 风电场8.2.1 Technical Feasibility Study Reports 技术可行性研究报告8.2.2 Existing and/or plannedAnemometry:?Location, equipment type,and specifications ofmeteorological masts(including diagrams andphotos)?Site-specific meteorologicaldata?Information on reference dataused?Wind assessment reports andanalysis?Energy yield analysis 目前和计划的测风：?测风塔的位置、设备型号和规格（包括设计图和照片）?厂区的气候数据?采用的参考数据?风能评估报告?风能产出分析8.2.3 Wind Turbines:?Information and technicalspecifications for selected orshort-listed WTG?List(s) of key equipment andcomponent vendors 风机：?选用或入选的风机的资料和技术规格?主要设备及零件的供应商8.2.4 Preliminary design specification andschematic diagrams for the mainsystems, plot plan, and wind farmarrangement plans 主系统、厂区布置、风机分布的初步设计参数和设计图8.2.5 Pre-Feasibility Studies andFeasibility studies and related plansand assessments for theprocurement, delivery to site, andinstallation of the major WTG andancillary equipment 关于风机和附属设备的采购、运输和安装的预可研、可行性研究和计划8.3 Interconnection Facilities 并网设施8.3.1 Technical information and datadescribing existing transmissioninterconnection facilities and relatedinfrastructure 目前输电、并网和有关设施的技术资料和数据8.3.2 Information and plans for anyproposed interconnection lines andrelated facilities required for theWind Project 项目并网所需的连接线及有关设施的资料和计划8.3.3 Development plans, schedules, andagreements for to any proposedinterconnection lines and relatedfacilities required for the WindProject 项目并网所需的连接线及有关设施的建设计划、时间表和协议9.0 Operation and MaintenanceInformation运营资料9.1 Comprehensive O&M budgets(including 5-year plans) 电厂运营年度预算（包括五年计划）9.2 Management organization chart(s) 组织机构图10.0 Environmental ProtectionInformation环境保护：10.1 Environmental Impact AssessmentReports and list of required andreceived approvals 环境影响评价报告，及已取得和需要取得的批文清单10.2 Status of local community relationsand related assessments, studies,and reports dealing with issues andprograms concerning localinhabitants and businesses directlyor indirectly affected by the WindPower Project. 当地社区关系和有关评估、调查和报告，以及任何关于如何处理风电项目对当地居民和经济的直接和间接影响的计划11.0 Others 其它11.1 Any documents, agreements, and/ormemoranda relating to thedevelopment rights for possiblefuture site expansion potential. 其它关于项目未来后续开发权的文件、协议、备忘录等。