。                          非訴訟法律服務(wù)的基石
。                            -----盡職勤勉調(diào)查原則
。                                           沃薛軍


 。       在新世紀(jì)的中國法律服務(wù)中，有一種趨勢已經(jīng)越來越明晰，那就是在經(jīng)濟(jì)發(fā)達(dá)地區(qū)的律師服務(wù)領(lǐng)域里，更多的律師從傳統(tǒng)的訴訟業(yè)務(wù)中掙脫出來，他們將眼光投向了非訴訟領(lǐng)域。在上海、北京、廣州、深圳等城市，許多大型律師事務(wù)所或外向型律師事務(wù)所的業(yè)務(wù)服務(wù)和收費中，非訴訟業(yè)務(wù)的比例已經(jīng)接近甚至超過了傳統(tǒng)的訴訟服務(wù)。近幾年，資本市場風(fēng)起云涌，又造就了許多新型的法律服務(wù)領(lǐng)域，如PE(private equity)私募股權(quán)項目、PF（project finance）項目融資項目、京都議定書涉及的大氣減排項目等。
這些新型的法律服務(wù)領(lǐng)域都值得作為社會法律工作者的廣大律師積極進(jìn)行學(xué)習(xí)和探索。特別是在從事新型法律服務(wù)時，對法律風(fēng)險的規(guī)避和把握顯得尤其重要。通過去年下半年在美國首都華盛頓的法律學(xué)習(xí)，筆者更深切地了解到在非訴訟法律服務(wù)中的基本問題和原則。其中之一就是盡職勤勉調(diào)查原則（due diligence）以及由該原則所引發(fā)的其他原則如保密原則（confidential rule）、客戶沖突規(guī)避原則等。
    有關(guān)盡職勤勉調(diào)查原則，筆者編譯了《國際商業(yè)法律事務(wù)》（2007版）注1第42章“盡職調(diào)查分析”中的格式內(nèi)容（含中英文對照），供大家在法律實踐中參考。


注1：《國際商業(yè)法律服務(wù)》《INTERNATIONAL BUSINESS TRANSACTION》第42章作者，ARNO BRAUNEIS, ROLAND LOHNERT.

Due Diligence Analysis
盡職調(diào)查分析

Legal Due Diligence Request List 法律盡職調(diào)查清單
For the analysis of the company, the following documents are required. If the requested documents do not exist, an expressive negative report is required. In case referral to contracts or agreements is made, all such contracts, regardless whether concluded orally or in writing, are comprised. The whole of the contract, including all annexes or amendments, is to be provided.
為對公司進(jìn)行分析，請?zhí)峁┮韵虏牧?。如果所要求的材料不存在，請?zhí)峁┎淮嬖诘恼f明。如果涉及合同或協(xié)議，則應(yīng)提供所有的（包括口頭或書面的）合同或協(xié)議，并且應(yīng)提供完整，含所有的附件、對合同的修改。
In the following the requested documents and data are listed. In the column “Responsibility/Company”, the unit of the COMPANY responsible for providing the relevant information (e.g., technical unit, financial department, legal department) must be mentioned. The person in charge of providing the requested information must indicate whether such documents, respectively, data, can be provided. The following list is not exclusive, further requests being reserved.
以下列舉的是所要求的文件及數(shù)據(jù)。在“責(zé)任、公司”這一欄中，應(yīng)寫明負(fù)責(zé)提供相關(guān)信息的公司部門（如技術(shù)部、財務(wù)部、法務(wù)部）。負(fù)責(zé)提供所要求信息的人士應(yīng)分別說明此類文件、數(shù)據(jù)是否可提供。下列清單并非全部，可能需提供進(jìn)一步的材料。

Number   Section/                       Responsibility/Document Provided/Not Provided
          Subject Matter                 COMPANY
          Request
序號      部門                         責(zé)任/文件提供/文件未提供
          內(nèi)容                         公司
          要求
Ⅰ.     Corporate Structure
一．    公司結(jié)構(gòu)
1.      Organizational chart of the Company’s group
公司的組織結(jié)構(gòu)圖
2.      Short summary of the Company’s history as of its formation
        關(guān)于公司設(shè)立歷史的簡要說明
3.      Short description of the Company’s development as of its formation
        關(guān)于公司發(fā)展概況的簡要描述
Ⅱ      Formation Documents
        Commercial Law
二．    公司設(shè)立文件      
        商法
1.      All current extracts from the commercial register concerning the Company and its subsidiaries, affiliates, and representative office (address, seat, and founding documents of any subsidiaries, affiliates, and representative offices)
        目前公司及其所有分支機(jī)構(gòu)、成員組織和代表處的工商登記摘要（如地址、營業(yè)場所以及設(shè)立文件等）
2.      Current articles of association of the Company
        公司目前的章程
3.      Documents modifying the articles of association (e.g., capital increases, capital deceases, and mergers)
        修改公司章程的文件（如增資、減資及兼并）
4.      Minutes of all general assemblies
        所有公司大會的會議紀(jì)要
5.     Participations and silent interests of the Company in any company or business, participating loans granted by the Company
        公司在其它公司或企業(yè)的投資及隱性收益，公司的銀團(tuán)放貸
6.      Silent participations in the Company and participating loans granted to the Company
        隱性參與公司投資及公司接受銀團(tuán)放貸的情況
7.      Complete information on the shareholders
        公司股東的完整信息
8.      Complete information on the capitalization of the Company
        公司資本總額的完整信息
9.      Statements of assignment of shares in the Company, payment of the share capital
        公司股權(quán)分配的說明及股本出資情況
10.    Evidence of ownership in the shares by uninterrupted chain of contractual deeds concerning all transfers of shares
        股權(quán)所有權(quán)的證明（不間斷的股權(quán)流轉(zhuǎn)的合同文本）
11.     All agreements between the shareholders and between the shareholders and the Company
        股東之間及股東與公司之間的所有協(xié)議
12.    All shareholders’ resolutions of the last five years, in particular all shareholders’ resolutions regarding capital increases or grant of authorized capital
        最近五年的所有股東會決議，特別是關(guān)于增資或注冊資本減少的股東會決議
13.     Obligations vis-à-vis shareholders who have withdrawn and/or are withdrawing from the Company and/or their heirs
        已經(jīng)或正從公司撤股的股東及/或其繼承人的責(zé)任
Ⅲ.     Supervisory Board/Advisory Board
        監(jiān)事會/顧問委員會
1.     List of all members of the supervisory board and/or advisory board (all current names, professions, residences, and mandates in other companies)
       列出監(jiān)事會及/或顧問委員會所有成員的名單（名字、職業(yè)、住所及在其它公司的任職情況）
2.     Bylaws of the supervisory board and/or advisory board
       監(jiān)事會及/或顧問委員會規(guī)則
3.     Minutes of all meetings of the supervisory or advisory board
       監(jiān)事會或顧問委員會的所有會議紀(jì)要
Ⅳ.    Management Board
       董事會
1.     List of all managing directors (names, year of birth, duration of occupation in the Company, former occupations, supervisory mandates in other companies)
       列舉所有董事名單（名字、出生年月、在公司的任職時間、以前職業(yè)、在其它公司的監(jiān)事任職情況）
2.     Resolutions regarding the appointment for all managing directors
       所有董事的任命書
3.     Bylaws of the management board
       董事會的規(guī)則
4.     Minutes of all meetings of the management board
       董事會的所有會議紀(jì)要
Ⅴ.    Agreements between the Company and Managing Directors or with Members of the Supervisory Board and/or Advisory Board
       公司與董事之間或與監(jiān)事會、顧問委員會之間的協(xié)議
1.     Employment agreements and other agreements with the managing directors, supervisory board members and/or advisory board members
       聘用董事的協(xié)議或其它與董事之間、監(jiān)事會成員及/或顧問委員會成員之間的協(xié)議
2.     Loan or surety agreements with members of the management supervisory board and/or advisory board
       與董事會、監(jiān)事會及/或顧問委員會成員之間的貸款或擔(dān)保協(xié)議
Ⅵ.    Group Relations
       團(tuán)組關(guān)系
1.     Survey of the structure of the group of companies and organization
       公司及組織內(nèi)團(tuán)組結(jié)構(gòu)概況
2.    Inter-company agreements, such as governing agreements, agreements with the management, tax allocation agreements, financing agreements, and central purchasing agreements
        公司內(nèi)部協(xié)議，如管理協(xié)議、與管理層之間的協(xié)議、稅務(wù)分配協(xié)議、融資協(xié)議及集中采購協(xié)議
Ⅶ.    Staff
       員工
1.     Head of divisions or areas and authorized officers (name, function, age, qualification, occupation before entrance, date of entrance, occupation since foundation, salaries/wages, pension agreements and other voluntary benefits of the Company, leading function in other companies)
       部門或地區(qū)負(fù)責(zé)人及授權(quán)人員（姓名、職能、年齡、資格、進(jìn)公司前職業(yè)、進(jìn)公司時間、自公司成立起的職位、薪水/工資、退休金協(xié)議及公司的其它自愿福利、在其它公司的領(lǐng)導(dǎo)職能等）       
2.    Organizational chart according to the functional sphere of responsibility, including the names of the respective department heads
       根據(jù)職責(zé)制定的部門規(guī)章，包括各相應(yīng)部門領(lǐng)導(dǎo)的姓名
3.    Number of employees structured according to the kind of occupation (full time and part time), blue collar workers, white collar workers, apprentices, location, sex, maternity leaves, disabled, works council members
       根據(jù)職位不同劃分的員工人數(shù)（全職及兼職）、藍(lán)領(lǐng)、白領(lǐng)、實習(xí)生、所在地、性別、產(chǎn)假、殘疾、工會成員）
4.    Development of the number of persons employed since formation and further planned development
       自公司成立以來員工人數(shù)的發(fā)展及后續(xù)的員工人數(shù)計劃發(fā)展數(shù)
5.    Detailed description of existing share option plans for employees, description of share incentive schemes or bonus plan arrangements, share options or profit-sharing arrangements
       對現(xiàn)有員工股票期權(quán)、股權(quán)激勵機(jī)制的詳細(xì)說明或獎金計劃、股票期權(quán)計劃或利潤分享的安排
6.    Staff pension fund agreements, pension commitments, list of all fringe benefits
       員工養(yǎng)老金協(xié)議、養(yǎng)老金發(fā)放、額外福利的清單
7.    Applicable collective bargaining agreements
       現(xiàn)行的勞資雙方代表進(jìn)行的談判協(xié)議
8.    Sample employment contract
       勞動合同樣本
9.    Sample employment agreement for executive officers
       經(jīng)營管理人員的勞動合同樣本
10.   Any other employment contracts, service contracts
       其它勞動合同、服務(wù)合同
11.   List of the members of the works council (if such works council is established), relief from work for works council members
       列舉工會成員名單（如果工會已經(jīng)成立），工會成員免除工作的情況
12.   Members of the works council delegated to the supervisory board
       被委派進(jìn)入監(jiān)事會的工會成員
13.   Any further benefit for employees of the Company, including medical health care and company cars
       公司雇員的其它福利、如醫(yī)療、公費用車
14.   Pension or life insurance plans
       退休金、人壽保險計劃
15.   Redundancy schemes, any recent redundancies and reorganizations
       裁員機(jī)制、最近的裁員及重組情況
16.   Commission schemes
       代理機(jī)制
17.   Employee handbooks and work procedures, including rules relating to holiday entitlement, sickness, hours of work, overtime, travel, relocation, and training programs
       員工手冊及工作程序，包括享受假日、病休、工時、加班、旅游、重新安置、培訓(xùn)等規(guī)則
18.   Health and safety regulations
       健康及安全規(guī)則
19.   Obligations to re-employ former employees, expected salaries
       優(yōu)先雇傭老雇員的規(guī)定，預(yù)計薪金
20.   Memberships in employers’ organizations
       在雇主組織中的會員資格
21.   Shop agreements
       開店協(xié)議
22.   Social plans
       社會計劃
23.   Short description of all staff-related disputes whether court pending or not
       所有與員工有關(guān)的待決或已決訴訟的簡要說明
Ⅷ.   Capital Conditions, Consortium Agreements, Rules regarding Influence among Shareholders
       資本現(xiàn)狀、財團(tuán)協(xié)議、股東之間影響的規(guī)定
1.    Pledging or encumbrance of shares by shareholders
       股東質(zhì)押、抵押股權(quán)的情況
2.    Consortium agreements among shareholders
       股東之間財團(tuán)融資協(xié)議
3.    Other agreements between the Company and its shareholders
       公司與其股東間的其它協(xié)議
Ⅸ.   Legal Proceedings
       司法程序
1.    All pending administrative, court, or arbitration proceedings and out-of-court settlements, including the names of legal counsel, in which the Company or a member of any board of the Company (management board, supervisory board) is involved
       所有公司、董事會、監(jiān)事會卷入的行政、訴訟或仲裁待決程序和法院外和解程序，包括律師名稱。
2.    Pending or anticipated court proceeding in which the company or a member of any board will be involved, and legal opinions of legal counsel regarding the possible outcome of such proceedings
       公司或各委員會成員卷入的待決或預(yù)期訴訟及律師對該類訴訟可能結(jié)果所作的律師意見書
3.    Pending or anticipated legal disputes relating to product liability matters, all settled legal disputes relating to product liability matters over the last five years
       與產(chǎn)品責(zé)任有關(guān)的待決或可預(yù)期的法律糾紛，近五年來所有已了結(jié)的與產(chǎn)品責(zé)任有關(guān)的法律糾紛
4.    Pending or anticipated legal disputes and/or administrative proceedings relating to environmental matters
       與環(huán)境問題有關(guān)的待決或可預(yù)期的法律糾紛及/或行政程序
5.    Pending or anticipated legal disputes and/or administrative proceedings relating to industrial property rights
      與工業(yè)產(chǎn)權(quán)有關(guān)的待決或可預(yù)期的法律糾紛及/或行政程序
6.    Insurance claims raised in the last three years
       過去三年保險索賠
7.    Any asserted and/or expected claims by employees or former employees for compensation in respect of any inventions or developments relating to the Company
       任何已由雇員或前雇員針對公司發(fā)明或發(fā)展提出及/或可預(yù)期提出的補(bǔ)償主張
8.    List of documents regarding these administrative and court proceedings
       前述行政或訴訟程序的相關(guān)文件清單
Ⅹ.   Real Estate and Buildings
       不動產(chǎn)和建筑物
1.    Site plan of permanent establishments
       永久建筑物的造址計劃
2.    List and description (place, address, utilization) of the former proprietor of all real property owned by the Company
       公司所有的所有不動產(chǎn)的前業(yè)主清單及簡要描述（地點、地址、使用情況等）
3.    Up-to-date extracts from the land register concerning all real
       所有與不動產(chǎn)相關(guān)的最新房地局登記摘要
4.    List and description (place, address, utilization) of all real property leased or rented or used on grounds of any other right by the Company
       以其它權(quán)利為基礎(chǔ)的公司所有不動產(chǎn)出租、租賃或使用清單和簡要說明（地點、地址、使用情況）
5.    Agreements regarding the purchase, sale, tenancy, or lease of the premises, including all subsequent modifications or alterations
       公司有關(guān)購買、銷售、租賃或出租不動產(chǎn)的協(xié)議，包括所有的整改、裝修協(xié)議
6.    Market and book values of real property owned by the Company (estimated expertise, if available)
       公司擁有的不動產(chǎn)的市場價值和帳面價值（最好是專業(yè)評估）
7.    List of the encumbrances of real property owned by the Company
       公司擁有的不動產(chǎn)抵押清單
8.    List and description of all premises used on basis of easements by the Company
       公司基于地役權(quán)而使用的不動產(chǎn)清單及說明
9.    Maintenance, service, and administrative agreements concerning all real properties of the Company
       公司所有不動產(chǎn)的維護(hù)、服務(wù)及管理協(xié)議
10.   Encumbrances in force or intended, any sales restrictions, notices, options, warranties, pledges, security rights, rights of preemption, or any third-party rights with respect to the real property owned by the Company
       公司擁有的不動產(chǎn)的被迫或自愿抵押、銷售限制、提示、期權(quán)、擔(dān)保、質(zhì)押、擔(dān)保權(quán)、優(yōu)先購買權(quán)或任何第三方權(quán)利
Ⅺ.   Movable Assets
       動產(chǎn)
1.    Detailed list of movable assets stating the facilities owned by the Company for which a security is provided
       公司擁有的有擔(dān)保的設(shè)備動產(chǎn)詳細(xì)清單
2.    Service and maintenance agreements
       服務(wù)及保養(yǎng)協(xié)議
3.    List of all resolved investments on movable assets
       所有已完成的動產(chǎn)投資清單
4.    Purchase, leasing, or tenancy agreements regarding movable assets (objects, term (beginning and ending), net payments per year)
       與動產(chǎn)相關(guān)的所有購買、出租或租賃協(xié)議[設(shè)備名稱、期限（起始日期）、每年的凈使用費
5.   Unfulfilled agreements regarding the purchase of movable assets, which establish obligations of the Company exceeding [    ]
       未履行的動產(chǎn)購買協(xié)議，該等協(xié)議導(dǎo)致公司應(yīng)承擔(dān)責(zé)任
Ⅻ.   Intellectual Property
       知識產(chǎn)權(quán)
1.    Description of all active and passive licenses, trade marks, models, trade names, copyrights, and other intellectual property rights
       公司所有主動、被動許可證、商標(biāo)、模型、商品命名、版權(quán)及其它知識產(chǎn)權(quán)的說明
2.    Agreements regarding intellectual property and know-how (license agreements)
       知識產(chǎn)權(quán)及技術(shù)秘密協(xié)議（許可協(xié)議）
3.    Software owned or licensed by the Company
       公司所有或獲許可使用的軟件
4.    Description of conflicts regarding intellectual property
       知識產(chǎn)權(quán)糾紛說明
ⅩⅢ. Insurance
       保險
1.   Insurance agreements and its policies, including a summary of such insurance agreements
       保險協(xié)議及其保單，包括保險協(xié)議的簡要說明
ⅩⅣ. Important Contracts
       重要合同
1.    General purchase terms, general terms and conditions of sale
       通用采購條款，通用銷售條款及條件
2.    Agreements or letters of intent regarding planned or realized cooperation
       已完成或計劃中的合作協(xié)議或草案
3.    General description of partners of cooperation and description of all expectations regarding the respective cooperation
       相關(guān)合作前景及合作伙伴的概述
4.    Cooperation agreements, joint venture agreements
       合作、合資協(xié)議
5.    Commercial agents and distribution agreements
       商業(yè)代理及分銷合同
6.    List of the largest suppliers and/or subcontractors with respect to the value (quantity, percentage of the purchasing volume)
       根據(jù)價值（數(shù)量、采購百分比）確定的最大供應(yīng)商及/或分包商清單
7.    List of the largest customers with respect to the value (percentage of the turnover)
       根據(jù)價值（交易額百分比）確定的最大用戶清單
8.    Agreements establishing an obligation excess of [    ] in particular cases or obligations being outside the ordinary course of business
       非正常交易中，設(shè)定特定義務(wù)的個案協(xié)議
9.    Agreements including restraints of competition
       包含競爭限制的協(xié)議
10.   Guarantees, warranties, or securities granted to third parties by the Company
       公司向第三方所作的保證、擔(dān)保或抵押等
11.   Factoring agreements
       代收帳款協(xié)議
12.   Agreements regarding future investments of the Company exceeding [    ]
       超過某一限度的公司對外投資協(xié)議
13.   Partnership agreements
       合伙協(xié)議
14.   Loans or other forms of credit granted to or by the Company
       公司貸款或其它貸出或借到的款項
15.   Contracts with advisors, lawyers, and notaries
       與顧問、律師及公證員簽的合同
16.   Agreements relating to legal consequences with respect to the acquisition of shares in the Company (change-of-control provisions)
       公司股權(quán)并購引起法律后果的協(xié)議（控制權(quán)轉(zhuǎn)移條款）
ⅩⅤ. Public Law Matters
       公共法律事務(wù)
1.    Trade permit, appointment of a trade manager
       交易許可、經(jīng)營經(jīng)理的任命書
2.    Statement of all production facilities requiring official approval, including such approvals
       需要官方許可的生產(chǎn)設(shè)備證明，包括該類許可
3.    Building permits for buildings used on real property or in permanent establishments of the Company
       公司不動產(chǎn)或或永久性建筑的建筑許可證
ⅩⅥ. Activities-Environment
       活動――市場環(huán)境
1.    Principal activities over the last five years, market share in each area of distribution, main competitors
       過去五年的主要活動、每一個銷售領(lǐng)域的市場份額、主要競爭對手
2.    Memberships in advertising organizations and professional associations, advertising budget, quality awards, customer service
       廣告組織、行業(yè)協(xié)會中的會員資格、廣告預(yù)算、質(zhì)量獎項、消費者服務(wù)
3.    Environmental regulations to which the Company is subject
       公司應(yīng)遵守的環(huán)保規(guī)定
4.    List of all dangerous materials with respect to environment used in conducting the business
       公司經(jīng)營中所用的對環(huán)境有危害的物質(zhì)清單
5.    List of all underground and above-ground storage tanks
       地下或地上儲物柜清單
6.    Statement regarding the existence of contaminated land or water on the real property used by the Company and statement regarding pollution of buildings and facilities used in the past or present by the Company
       公司所用的不動產(chǎn)存在土地或水污染的聲明及公司過去及目前所用的建筑物及設(shè)備被污染的聲明
7.    All public law approvals, including all modifications and alterations, administrative notes with respect to production facilities of the Company, its activities and structure as required under any federal or local regulations
       聯(lián)邦法律或法規(guī)規(guī)定的所有牽涉公司生產(chǎn)設(shè)備的政府許可、行政命令，包括修改、輪替、經(jīng)營或機(jī)構(gòu)建制
8.    All approvals or authorizations granted pursuant to environmental regulation
       依據(jù)環(huán)保規(guī)定的所有批準(zhǔn)、授權(quán)文件
9.    List of all complaints regarding environmental protection
       一切有關(guān)環(huán)保問題的投訴清單
10.   Identification of possible risks for health, safety, and environment deriving from the Company’s business
       公司運(yùn)營中可能產(chǎn)生的健康、安全及環(huán)境問題的認(rèn)定
11.   Any administrative proceedings against the Company because of infringement of environmental, conservation of the countryside, or any other provision concerning environment; list of all administrative decisions issued against the Company and evidence of its settlement (compliance with the respective conditions)
       因違反環(huán)保、鄉(xiāng)村保護(hù)或其它有關(guān)環(huán)境問題的規(guī)定而遭受的行政程序、對公司不利的行政決定及和解資料（對應(yīng)的情況下）
ⅩⅦ. Subsidies and contributions
       補(bǔ)貼及捐贈
1.    Schedule of all subsidies received or applied for within the last five years, reference to possible obligation of repayment
       過去五年收到或適用的所有補(bǔ)貼清單、或有的賠償責(zé)任說明。