房地产尽职调查表

房地产尽职调查表 DUE DILIGENCE CHECKLIST FOR REAL ESTATE ACQUISITION IN CHINA 在华进行房地产并购的尽职调查文件清单 Compiled By: PAUL, HASTINGS, JANOFSKY & WALKER 2301 Hong Kong New World Tower 300 Huai Hai Middle Road Shanghai 200021, China Telephone: +86-21-6335-3930 Facsimile: +86-21-6335-3940 www.paulhastings.com Updated as of January 25, 2004 CONTENTS OF CHECKLIST 文件清单目录 I. REAL ESTATE / 房地产 1.1 REAL ESTATE ASSETS / 房地产资产 1.2 TITLE ENCUMBRANCE DOCUMENTS / 阻碍权力行使的文件 1.3 CONSTRUCTION / 建设工程 II. ONSHORE PROJECT COMPANY / 境内项目公司 2.1 ORGANIZATION AND ESTABLISHMENT / 组织机构和设立 2.2 FINANCING / 融资 2.3 DISPUTES/LITIGATION/INVESTIGATION / 争议/诉讼/调查 i Due Diligence Checklist for Real Estate Acquisition in China from A Private-owned Onshore Project Company (“Onshore Project Company”) 在华进行房地产并购的尽职调查文件清单 由一家境内私营项目公司(下称“境内项目公司”)所拥有 STATUS/COMMENTS/RESPONSIBLE DOCUMENT/ACTION DOCUMENTS PARTY REVIEWED 文件/行动 责任方 状态/备注 I. REAL ESTATE / 房地产 1.1 Real Estate Assets / 房地产资产 1.1.1 Real Estate Ownership Rights 房地产所有权 a Copy of Land Use Rights Grant Contract signed with the local real estate administration bureau (“Real Estate Bureau”) or Land Use Rights Transfer Contract signed with the original land use rights holder 与当地房屋土地管理局(下称“房地局”)签定的土地使用权出让合同或与原 土地使用权人签定的土地使用权转让合同复印件 b Copy of the evidences of payment of land premium, such as invoices and / or receipts issued by the local real estate bureau 土地出让金付款凭证，例如当地房地局发出的，表明国有土地使用权出让金已 支付的凭证，例如发票和 / 或收据的复印件 c Copy of the land deed tax receipt issued by relevant tax authority 有关税务部门发出的土地契税的纳税收据复印件 d Copy of the red line drawings of the property land 物业土地的红线图复印件 e Copy of the Real Estate Title Certificate in the name of Onshore Project Company issued by the local real estate bureau 境内项目公司名下的由当地房地局颁发的房地产权证 1.1.2 Copy of the Construction Work Completion and Inspection Filing Certificate issued by the local construction administration authority 当地建设主管部门发放的建设工程竣工验收备案证明复印件 1.1.3 Copy of contracts and documents in relation to transfer or lease of land use rights and/or buildings and evidence of payments 买卖或租赁土地使用权和/或房屋的合同或文件及上述买卖或租赁价款的付款收据的复 印件 1.1.4 Copy of all other relevant documents and reports pertaining to land use rights for land used by Onshore Project Company 其他所有与境内项目公司使用的土地的土地使用权有关的文件和报告的复印件 1.1.5 Copy of Pre-sale/Sale Permits 预售/销售许可证复印件 1.1.6 Copy of Pre-sale/Sale Contracts 预售/销售合同复印件 1.1.7 Copy of evidence of payments under Pre-sale/Sale Contracts 预售/销售合同的付款收据复印件 1.1.8 Rent Roll 租金帐册 1 STATUS/COMMENTS/RESPONSIBLE DOCUMENT/ACTION DOCUMENTS PARTY REVIEWED 文件/行动 责任方 状态/备注 1.1.9Copy of Pre-lease/Lease Permits 预租/租赁许可证复印件 1.1.10Copy of Pre-lease/Lease Contracts 预租/ 租赁合同 房屋租赁合同免费下载租赁合同范本下载上海市房屋租赁合同下载办公室租赁合同免费下载免费房屋租赁合同下载 复印件 1.1.11Copy of evidence of payments under Pre-lease/Lease Contracts 预租/租赁合同的付款收据复印件 1.1.12Copy of evidence of proper handling of deposit payments 恰当支付保证金的付款收据复印件 1.1.13Copy of Verification Certificate of Determination of Real Property Management Area issued by the local real estate bureau 由当地房地管理部门颁发的划分物业管理区域核定单 1.1.14Copy of Property Management Contract(s) 物业管理合同复印件 1.1.15Copy of evidence of payments under property management contract(s) 物业管理合同的付款收据复印件 1.1.16Copy of Facility Management Contract(s) 设施管理合同的复印件 1.1.17Copy of evidence of payment under Facility Management Contract(s) 设施管理合同的付款收据复印件 1.1.18Copy of evidence of payment of utilities 公共设施的付款收据复印件 1.1.19Copy of insurance policy in respect of the property 物业相关保单的复印件 1.1.20Copy of evidence of payment under the insurance policy 保单项下的付款收据复印件 1.1.21Copy of approval for division of the title of the property (if any) 分割产权的批准文件的复印件(如有) 1.1.22Copy of Inspection Filing Certificate for Environment, Fire Prevention and Planning issued respectively by local environmental, fire prevention and urban planning authorities 由当地环保、消防和城市 规划 污水管网监理规划下载职业规划大学生职业规划个人职业规划职业规划论文 部门出具的环保、消防、规划竣工验收许可证复印件 1.2 Title Encumbrance Documents / 阻碍权力行使的文件 1.2.1 Copy of any search result of public records relating to the property, including but not limited to search results relating to land and building titles, transfer and mortgage records, pledge of title certificates, and lease registrations (chopped by relevant record-keeping authorities) 任何关于物业的公共纪录查询结果的复印件，包括但不限于，关于土地和房屋产权、 转让和抵押，权利证件质押，及租赁登记 (查询结果复印件由有关记录保存部门盖章) 1.2.2 Copies of all documents pertaining to lien, pledges, mortgages, charges and other security interests on the property or its title certificates 所有就物业或其权利文件设定的留置、质押、抵押以及其他担保利益的文件的复印件 2 STATUS/COMMENTS/RESPONSIBLE DOCUMENT/ACTION DOCUMENTS PARTY REVIEWED 文件/行动 责任方 状态/备注 1.2.3 Copies of all registration certificates pertaining to mortgages, pledges or other security interests against property or its title certificates 所有就物业或其权利文件设定的抵押、质押以及其他担保利益的登记证的复印件 1.2.4 Copies of all documents pertaining to all easements and covenants affecting the property, including those affecting the property but benefiting other property, those imposed on other property but benefiting the property 所有关于影响本物业的地役权及约定文件，包括影响本物业但为其他物业带来利益的 地役权和约定，及加之于其他物业之上，但为本物业带来利益的地役权和约定 1.3 Construction / 建设工程 1.3.1 Copy of the Controlling Plan and Controlling Detailed Plan in effect issued by the local planning bureau covering the location of the property, and their adjustment and modification thereafter 当地规划局发布的涵盖物业所处位置的现行控制性规划和控制性详细规划，及其调整 和修改的复印件 1.3.2 Copy of the Site Selection Opinion issued by the local planning bureau 由当地规划局颁发的项目选址意见书复印件 1.3.3 Copy of the Preliminary Design Approval issued by the local construction commission and the local government 由当地建设委员会和政府颁发的项目初步 设计 领导形象设计圆作业设计ao工艺污水处理厂设计附属工程施工组织设计清扫机器人结构设计 方案 气瓶 现场处置方案 .pdf气瓶 现场处置方案 .doc见习基地管理方案.doc关于群访事件的化解方案建筑工地扬尘治理专项方案下载 批准复印件 1.3.4 Copy of the Construction Detailed Plan issued by the local planning Bureau 由当地规划局颁发的修建性详细规划复印件 1.3.5 Copy of Construction Land Planning Permit issued by the urban planning department 由城市规划部门颁发的建设用地规划许可证复印件 1.3.6 Copy of the Construction Land Use Approval issued by the local real estate bureau 由当地房地局颁发的建设用地批准书复印件 1.3.7 Copy of the Construction Drawing Approval issued by the local construction commission 由当地建设委员会颁发的施工图批准复印件 1.3.8 Copy of the Construction Project Planning Permit issued by the local planning bureau 由当地规划局颁发的建设工程规划许可证复印件 1.3.9Copy of the Construction Work Permit issued by the local construction commission 由当地建设委员会颁发的施工许可证批准复印件 1.3.10Copy of construction contracts, designers’ contracts and other contracts and government approvals relating to the construction and development of the property and evidence of payment thereof 建筑合同、设计合同、与物业建设开发有关的合同及政府审批文件，及上述合同的付 款收据的复印件 1.3.11Copy of contracts relating to supervision by banks of proceeds from pre-sales of property 预售款银行监管 协议 离婚协议模板下载合伙人协议 下载渠道分销协议免费下载敬业协议下载授课协议下载 复印件 1.3.12Where applicable, date of last valuation, name of appraiser and value assessed (including value of improvements) 如适用，上一次评估的时间、评估人和评估价值 1.3.13Copy of third party reports commissioned at time of acquisition (e.g., structural/engineering, environmental) 在并购当时委托第三方出具的报告(例如结构/工程，环境等因素)的复印件 3 STATUS/COMMENTS/RESPONSIBLE DOCUMENT/ACTION DOCUMENTS PARTY REVIEWED 文件/行动 责任方 状态/备注 1.3.14Copy of Survey Report prepared by engineer 工程师出具的勘查报告的复印件 1.3.15 Copy of other property-related documents (if applicable) 其他与房地产有关的文件的复印件(如适用) a certificate for the passing of fire prevention system inspection 消防系统验收合格证明 b car-park permits issued by the transportation authorities in respect of car-park zones交 通管理部门为停车区颁发的停车许可证 c permits issued by the technical supervisory authorities regarding the safety of the operation of elevators 技术监察部门出具的电梯安全运行许可证 d power supply agreements with the electricity supply authorities 与供电部门签订的 《供电协议书》 e certificates for power supply facilities 供电设施合格证 f approval documents issued by the gas authorities and the water supply authorities 供气 部门、供水部门的批准文件 g Details of service, supply or maintenance contracts for the property (e.g., cleaning, gardening / landscaping, mechanical / hydraulic / electrical services, etc.) 物业的服务 合同或维修合同 (例如清洁，园艺 / 景观，机械服务等) h Drawings of the locations of the connections of roads, electricity, storm sewer, gas, water and telecommunications to various relevant parts of the property与物业各个有 关部分相连接的道路、电力、排污落水、天然气、供水和电信接口的位置图 II. ONSHORE PROJECT COMPANY / 境内项目公司 2.1 Organization and Establishment / 组织机构和设立 2.1 Complete copy of the original Enterprise Legal Person Business License, and duplicate Enterprise Legal Person Business License for Onshore Project Company (including all pages and all annual inspection chops) 境内项目公司的企业法人营业执照正本、副本(包括所有页和年检章)的全套复印件 2.2 Financing / 融资 2.2.1 Loans of Onshore Project Company 境内项目公司的贷款 a Copies of all loan agreements (including overdraft facilities and trade credits), including all attachments, to which Onshore Project Company is or has been a lending party or a borrowing party, or to which Onshore Project Company is providing or has provided any guarantee or comfort letter, or assumed any actual or potential liability 境内项目公司是或已经是贷方或借方，或者提供或已经提供任何担保或安抚信， 或者承担任何实际或潜在责任的所有借贷合同(包括透支手段以及贸易信贷)以 及所有附件的复印件 b Details of all loan transactions (including overdraft facilities, trade credits, negotiable instruments and promissory notes) to which Onshore Project Company is or has been a lending party or a borrowing party, or to which Onshore Project Company is providing or has provided any promissory note or other form of security, guarantee or comfort letter, or assumed any actual or potential liability 境内项目公司是或已经是贷方或借方，或者提供或已经提供任何本票或其他形式 的担保、保证或安抚信，或者承担任何实际或潜在责任的所有借贷交易(包括透 支手段、商业信用、流通票据和本票)的明细 4 STATUS/COMMENTS/RESPONSIBLE DOCUMENT/ACTION DOCUMENTS PARTY REVIEWED 文件/行动 责任方 状态/备注 c Copies of other financing and credit agreements, including: 其他财务和债权债务协议复印件，包括: (i) bonds or other credit arrangements 债券或其他债权协议 (ii) debentures 债务 (iii) finance leases 融资租赁 (iv) guarantee contracts, guarantee and other credit enhancements (e.g., letters of credit or trade payables) 保证合同，保证或其它信用支持(例如，信用证，或应支付贸易款) (v) mortgage contracts 抵押合同 (vi) pledge contracts 质押合同 (vii) off-balance sheet arrangements (e.g., foreign exchange options, swaps and forwards) 表外安排(例如，外汇期权，互换和期货) 2.2.2 Copies of all documents and registration certificates pertaining to liens, pledges, mortgages, charges and other security interests against any assets of Onshore Project Company 所有就境内项目公司资产设定的留置、质押、抵押以及其他担保利益的文件和登记证 书的复印件 2.2.3 Copies of all contracts of indemnity entered into in the name of Onshore Project Company 所有以境内项目公司名义签订赔偿保证合同的复印件 2.2.4 Copy of all Foreign Debt Registration Certificates of Onshore Project Company 境内项目公司所有外债登记证的复印件 2.2.5 Copy of approvals of the State Administration of Foreign Exchange on any Onshore Project Company borrowing 国家外汇管理局批准境内项目公司任何借款的文件复印件 2.3 Disputes/Litigation/Investigation / 争议/诉讼/调查 2.3.1 If Onshore Project Company or any of its shareholders is any party to any litigation, arbitration or other dispute resolution procedure in respect of which a judgment or award has been made in the previous three (3) financial years, please provide copies of the judgments/awards and confirm whether there are any outstanding obligations on the part of Onshore Project Company or its shareholders 如果在近3个财政年度内有某项针对境内项目公司或其任何股东的判决、裁决或其他 争议解决程序，则应提供该判决、裁决的复印件，并确认是否为境内项目公司或其股 东设定了重大义务 5 STATUS/COMMENTS/RESPONSIBLE DOCUMENT/ACTION DOCUMENTS PARTY REVIEWED 文件/行动 责任方 状态/备注 2.3.2 Full details of all actual or reasonably contemplated litigation (civil or criminal), arbitration or other dispute resolution procedure in which Onshore Project Company is in any way concerned, including but not limited to, information with respect to the following: 有关境内项目公司的现实存在的或可合理预计的诉讼、仲裁或其他争议解决程序的信 息，包括 a the other parties to such litigation 此等诉讼的其他方 b brief details of the dispute 争议的简单介绍 c the approximate amount of money involved 标的金额的数额 d when the action is likely to be brought, heard or resolved; and 诉讼等行为何时提出、审理或解决 e an estimate of the cost or benefit to Onshore Project Company 预计的境内项目公司的损失或收益 2.3.3 Details of any breach of any agreement by Onshore Project Company and/or any of its subsidiaries which is liable to result in indebtedness becoming payable prematurely or in the termination of any agreement which is significant to the business of Onshore Project Company 境内项目公司和/或其子公司对任何协议的任何违反的详细情况，该违反将导致债务提 前到期或协议的解除从而对境内项目公司的业务产生重大影响 2.3.4 Copies of any consent decrees, prospective judgments, writs, orders and injunctions, and any material settlement agreements and related correspondence to which Onshore Project Company or any of its directors or officers have been or are a party from the date of incorporation until the present, or which are threatened against any of them 境内项目公司成立迄今，境内项目公司或任何其董事或管理人员作为或已经作为当事 一方的，或有成为当事一方风险的任何调解书、将会生效的判决书、诉状、命令、禁 令以及任何重要的和解协议以及相关来往信函的复印件 2.3.5 Copies of litigation response letters provided by counsel to Onshore Project Company's independent auditors for the past three (3) years 过去三(3)年来，法律顾问就诉讼事项提供给境内项目公司独立审计师的答复文书的复 印件 2.3.6 List of any on-going or potential regulatory or administrative compliance investigations initiated by relevant authorities, including without limitation to the tax, administration of industry and commerce, environmental protection, public security, doctor, labor and human resource, and disciplinary authorities, against Onshore Project Company 所有正在进行的或潜在的，由有关部门，包括但不限于由税务、工商行政管理、环 保、公安、医生、劳动人事、纪检等部门针对境内项目公司的执法或行政调查的清单 6