尽职调查访谈提纲-HR、资料要求清单(中英文)

尽职调查访谈提纲（工薪和人事管理）1、请简单介绍您个人的基本情况。

2、人力资源管理部门的职责主要是什么？岗位是如何设置的？目前有多少人？3、公司的人员构成（招聘、劳务派遣；学历构成；年龄结构；技术等级等）？4、员工的聘用要经过哪些环节？5、外聘劳务公司人员如何管理的？6、劳动合同的签订过程是如何控制的？（涉及哪些部门？谁签字？谁审批？）7、薪酬标准如何制定的？8、福利包括哪些？按什么标准支付？9、是否发生劳务纠纷及处理措施？10、公司员工的社保费、公积金是按什么标准支付的？11、员工的业绩是如何考核的？与薪酬、职务是如何挂钩的？12、近两年业绩计划或任务的完成情况？13、员工薪酬的发放是如何控制的？14、公司经营管理有哪些地方可以进一步完善？INFORMATION AND DOCUMENTATION REQUIRED资料要求清单Comments注明The list below is the information necessary for the due diligence work. The objective of the list is to make sure that our team can smoothly start its due diligence work according to the date noted on engagement. It is possible that the list doesn’t cover all the information we needed in our work. So, we would ask for other information not included in the list.以下清单列明在对贵公司进行财务评阅之所需资料，此清单之目的是为了确保有足够的资料使得评阅小组能够在业务约定书约定之开始工作日期顺利开展工作。

The following list maybe not includes all documents and information we needed, so additional information will be required to provide during our financial due diligence.清单所列之资料可能未有全面概括所需资料，因此在评阅过程中可能会提出获取附件中未列出的资料。

1Related legal materials有关法定资料Organization chart (including investors, investors’ holding company, subsidiaries and etc.) and list the legal name of these companies;公司组织结构图(包括该公司之投资者、投资者之母公司、公司的子公司等)并列出该些公司之法定名称；Organization chart of the management and organization structure;公司管理层组织结构图和组织机构情况；Business license issued by SAIC;国家工商管理局发出的营业执照；Joint venture agreement and contract, articles of association, import and export license and other related documents; (if any)公司合同、章程、进出口许可证(或其他经营性之许可证)及其他相关文件；（如有）M inutes of Board and Shareholders’ meetings;股东会议及董事局会议之会议记录；Foreign exchange registration certificate; (if any)外汇登记证；（如有）Insurance contracts (Fixed assets, Employees and others);保险合同(固定资产、劳工及其他)；2HR related information人事相关资料Staff compensation and benefits and compensation available to employees;贵公司的员工薪酬及福利制度；Headcount of each functional department and workshop;各车间及职能部门2006年度平均人数；Social securities commitment (whether in written or oral ), if any;请提供社会保险的相关承诺（书面或口头形式），如有；3General operation业务之概况General description and business plan of the Company;概述贵公司之一般业务性质及商业计划Details of its main equipment including the date of acquisition, date of putting into use and any possible improvement project;贵公司经营场所之主要设施，设备之详情、购买及投入使用之年份及改良计划；The flowchart of the Company’s business;贵公司营运流程图；The detailed information of the development of the Company;贵公司的发展之详细资料；Appraisals and due diligence reports prepared by other external parties, if any;贵公司由其他外部机构出具之评估报告或尽职调查报告，如有请提供；4Important contract重要合约Please provide the copies of important contract. For examples:请提供所有重要合约的副本。

例如：Main suppliers contracts;与主要供应商之合约；Main sales contracts;主要的销售合同；Loan agreement;借款合同；Seniors management’s contracts;高级管理人员雇佣合同；Construction contracts;工程合约；Assurance agreements;担保合约；Loan contracts which are valid for the period under review;审阅期间尚未清偿之贷款合约；Assets pledge agreements;资产抵押合约；Other important contracts;其他有重大影响之合同；5General financial materials一般财务资料Accounting policy (for most major items on the financial statement);贵公司的主要会计政策(财务报表的各主要项目)；Detailed summary of your accounting and management reporting systems;贵公司会计及报表系统的详细说明；Audit report and management letter from statutory auditors;法定审计师提供的审计报告和管理建议书；Provide balance sheets as at YTD February and March 2006 提供截至2006年最近日期(2月底及3月底)的资产负债表；Provide account ledger for the above mentioned period;提供截至2006年最近日期(2月底及3月底)的科目余额表；Provide the trial balance as of YTD February and March 2006 提供截至2006年最近日期(2月底及3月底)之试算平衡表；Provide the details of risk management。

提供公司有关风险管理的详情。

6Land, buildings and equipment土地、房屋及设备List of the land use right owned by the Company, please describe the location, area of the land, the ownership of the land and the ownership of any buildings, factories and other equipment on the land;有关所拥有之土地使用权，请列出该地之位置、面积、拥有该土地使用权之公司名称及该土地工厂或其他设施之业权；The nature of the lands the Company is using and the method the Company got this using right;拥有土地之性质(如土地使用权)及取得该拥有权之方法；The nature of the lands the Company is using and the method the Company got this using right;土地使用证、土地批文或免地价之批文之副本；Land use contracts;土地使用合同；Land transfer contracts;土地转让合同；Land lease contracts;土地租赁合同；Property ownership certificates;房屋之房产证；Assets appraisal report;贵公司的资产评估报告；Assets appraisal report;所有租赁协议之副本；7Balance sheet items资产负债表Please provide the information for the year ended YTD Feb and Mar 2006.请提供与公司截止2006年最新日期(2月底及3月底)之资产负债表有关之以下资料内容。

Fixed assets固定资产Detailed list of fixed assets as at YTD Feb and Mar 2006;截止2006年最新日期(2月底及3月底)的固定资产明细表；Detailed list of fixed assets movement in different accounting period listed above，disposal details since the establishement, and plans of sale, lease, sub-lease or other dispositions of existing properties;列出固定资产於每个会计年度内的增购变卖及报废明细表（自成立之日起），以及目前准备购买、租赁或处置其他现有固定资产的计划；Whether there is any pledge of fixed assets to other parties and any supporting documents;说明固定资产有否用作抵押并提供有关文件；The existence of any major idle fixed assets;固定资产闲置情况；Describe any important accounting policy (depreciation, appraisal, capitalization and other);说明会计政策(折旧、评估、资本化及其他会计政策)；Describe any capitalized expenses and the accounting policy;说明资本化费用的会计政策，以及相关资本化费用的情况；Describe any fixed assets re-valuation，indicate increase to the fixed assets book and the basis for such increase;说明固定资产有无评估增值的情况以及增值的依据；Describe any lease agreements and terms of assets leased to or by the Target Company;说明固定资产有无租入或租出的情况，及相应的条款；Construction in progress (if applicable)在建工程(如适用)Detailed list of Construction in progress;在建工程明细表；Important construction contracts and decoration contracts;重要的工程合同以及装修合同；The budget of construction projects and related working capital arrangement and forecast;各项工程预算以及资金安排和预测；The details of capitalized expenses;资本化费用的详情；Accounts receivable应收帐款List of accounts receivable (including related companies balances);列出应收帐款清单(包括关联公司往来)；An ageing analysis of accounts receivable as at YTD Feb and Mar 2006 (0~30days, 31~90days, 91~180days, 181~365days, above 1 year);应收帐款帐龄分析(0~30天，31~90天，91~180天，181天~365天，1年以上), 截止2006年最新日期(2月底及3月底)；Basis of bad and doubtful debts provision;坏帐准备计提原则；List of sold or pledged trade debts;请提供已出售或抵押之应收款项的清单；Cash and equivalents现金及现金等价物Reconciliation of latest cash balances with bank accounts；最近一期的银行对帐单及银行余额调节表；Other assets其他资产List of other assets and their nature (if applicable, its ageing analysis);列出其他资产的明细并注明业务性质(如可能，作帐龄分析)；Intangible assets, other deferred assets and goodwill无形资产，其他递延资产及商誉Breakdown of the above items;列出无形资产、其他递延资产和商誉的清单以及相关的摊销政策；Basis of amortization;指出摊销基础；Equity所有者权益Breakdown of equity and the movement during the review period;所有者权益明细及复核期间的增减变动情况；Short-term l oan短期借款Breakdown of outstanding short-term loans as at latest balance sheet date, and relevant loan agreement, guarantee agreement, and pledge agreement;截至最近资产负债表日未偿还短期借款明细，及相关借款合同、担保合同、抵押合同等；Accounts payable应付帐款Suppliers balances at the latest balance sheet date with the aging analysis;按供货商名列出应付帐款清单，并请提供相应的账龄分析；Purchase turnover with major suppliers for YTD Feb and Mar 2006;2006年最近日期(2月底及3月底)主要供货商的采购周转期；Accruals and other payable预提费用和其他应付款Details of amount and nature;列出明细及业务性质；Basis of calculation of accrual and movement of the accruals account;列出预提费用变动表及计算依据；Payroll and welfare payable应付工资其福利费Detailed list of welfare payables and related accrual basis;应付福利费的明细及计提基准；Other liabilities其他负债Breakdown of the payables due to the related parties as at YTD Feb and Mar 20062006年最近日期(2月底及3月底)的应付关联方款项的明细；Details of amount and nature of other liabilities;列出其他负债的明细及业务性质；Contingent liabilities或有负债Detailed list of the guarantee given to other companies;详列所有对其他单位所作之担保；Information of all the litigation the Company involved but not settled;有关所有与公司有关而又尚未解决之法律诉讼之资料；List of unsettled conditional bill of exchanges;详列所有有条件之承兑汇票；List of unsettled conditional liabilities;详列其他或有负债；Lease commitment and capital commitment租约及资本承担Detailed list of all the capital commitments which contracted but not paid and copies of all the related documents;详列并提供已达成合约的资本性支出及提供有关文件之副本；Detailed list of any approved but not contracted capital expenditure;已经审批但未达成合约的资本性支出；Detailed lease commitment and related contracts.详列租约承担并提供有关合约。