初創(chuàng)公司必上的三堂課

　　初創(chuàng)公司在飛快的發(fā)展過(guò)程中，往往會(huì)犯下致命的法律錯(cuò)誤，致使尚處萌芽狀態(tài)的公司生存不保。企業(yè)家們，請(qǐng)謹(jǐn)記在心：以下是你們需要牢記的幾件事。

　　初創(chuàng)公司或者新興公司行動(dòng)必須果斷、高效、迅速。但是，這些公司由于面臨著高速發(fā)展以及其他諸多挑戰(zhàn)，也往往因此犯下嚴(yán)重的法律過(guò)失。以下幾個(gè)現(xiàn)象已屬司空見(jiàn)慣：這些公司不能區(qū)分并理解具有法律效力的協(xié)議與不具法律效力的協(xié)議這二者之間的區(qū)別；他們保存的文檔不能充分反映合營(yíng)企業(yè)合作伙伴之間的法律權(quán)力與責(zé)任；并且，他們不能明確并保護(hù)自身的商業(yè)機(jī)密。

　　什么樣的協(xié)議具備法律效力？

　　企業(yè)家應(yīng)該能夠辨識(shí)各類不同協(xié)議之間的區(qū)別。盡管存在少數(shù)特例，但一般情況下，口頭協(xié)議雖然具備法律效力但往往難以證實(shí)。如果沒(méi)有協(xié)議文件，協(xié)議雙方對(duì)協(xié)議的理解很可能不一致。如果你希望協(xié)議的所有條款都具備法律效力，那就把它們寫(xiě)下來(lái)。

　　準(zhǔn)備好書(shū)面協(xié)議之后，對(duì)于其中的哪些內(nèi)容具備法律效力，你還需要做到心中有數(shù)。按照協(xié)議用語(yǔ)，書(shū)面協(xié)議分為三個(gè)基本類型：協(xié)議將來(lái)達(dá)成協(xié)議（agreement to agree）、協(xié)議意向書(shū)、以及說(shuō)明詳細(xì)且具備約束力的協(xié)議。

　　協(xié)議將來(lái)達(dá)成協(xié)議只是說(shuō)明繼續(xù)協(xié)商的意向。盡管將來(lái)有可能會(huì)追加其他協(xié)議條款，但這類協(xié)議只是說(shuō)明，協(xié)議各方有責(zé)任繼續(xù)協(xié)商，以達(dá)成最終協(xié)議。

　　意向書(shū)往往對(duì)協(xié)議的基本條款進(jìn)行說(shuō)明，但具體細(xì)節(jié)要留待將來(lái)再進(jìn)一步完善。對(duì)于協(xié)議意向書(shū)，至為關(guān)鍵的是，你需要搞清楚，協(xié)議條款是立即生效，還是說(shuō)在最后條款最終確定之前并不存在任何具備約束力的協(xié)議。比較明智的做法是，在意向書(shū)中增加一個(gè)條文，說(shuō)明哪些條款是目前就具備法律效力的，哪些還不是。并且，達(dá)成最終協(xié)議時(shí)，一定要以書(shū)面形式將之制作成完整的文件。

　　制作合資企業(yè)協(xié)議文件

　　初創(chuàng)公司往往還會(huì)在技術(shù)和財(cái)務(wù)方面與其他公司或個(gè)人合作。多數(shù)情況下，幾方合作伙伴會(huì)先簽署一份保密協(xié)議，說(shuō)明每方都有義務(wù)保護(hù)并尊重其他合作方信息的機(jī)密性。

　　如果你在不具備任何進(jìn)一步的證明文件的前提下，就“勇往直前”，與他人建立了合作關(guān)系，那等于自找麻煩。比如說(shuō)，2006年，一位名叫約翰？沃克爾的地質(zhì)學(xué)家就與LaFarge North America公司達(dá)成協(xié)議，負(fù)責(zé)領(lǐng)導(dǎo)一家合營(yíng)企業(yè)在海地的一個(gè)采石場(chǎng)項(xiàng)目。沃克爾負(fù)責(zé)向LaFarge公司提供地質(zhì)數(shù)據(jù)、財(cái)務(wù)預(yù)估數(shù)據(jù)、初創(chuàng)公司成本以及營(yíng)銷分析等信息，但是雙方從未簽署書(shū)面合作協(xié)議。合作關(guān)系不久就分崩離析，LaFarge公司自然也就將沃克爾踢出了該項(xiàng)目。沃克爾以違背口頭協(xié)議為由將LaFarge公司告上了法庭，但是法庭駁回了沃克爾的索賠要求，因?yàn)樗麩o(wú)法提供正式的書(shū)面協(xié)議。

　　在這些合作開(kāi)發(fā)項(xiàng)目中，初創(chuàng)公司往往會(huì)簽署保密協(xié)議，或者將相關(guān)文件定為機(jī)密文件，然后就與其他公司開(kāi)始了合作，一般合作期為半年甚或更長(zhǎng)，直到其中一方終止合作關(guān)系為止。在這種情況下，被拋棄的一方認(rèn)為雙方已經(jīng)達(dá)成口頭協(xié)議，自己有權(quán)使用相關(guān)技術(shù)或者接受股票或報(bào)酬，但只是苦于不能提供書(shū)面文件。而另一方則很可能面臨著索賠要求：犧牲其業(yè)務(wù)模式或者部分資產(chǎn)。但是，由于缺乏恰當(dāng)?shù)奈募?，法庭往往?huì)駁回雙方的要求。更糟的是，到頭來(lái)雙方很可能會(huì)發(fā)現(xiàn)，經(jīng)過(guò)這么一折騰，其商業(yè)秘密或者機(jī)密信息已經(jīng)徹底喪失，或者面臨著被泄露的風(fēng)險(xiǎn)。

　　所以，在簽署合作關(guān)系文件之前，千萬(wàn)不要與合作伙伴展開(kāi)合作活動(dòng)。如果與合作伙伴的合作關(guān)系發(fā)生了變化，也要確保在書(shū)面協(xié)議中增加新條款，以反映這種變化。然后，起草一份完整的合同。

　　保護(hù)商業(yè)機(jī)密

　　最后一點(diǎn)，初創(chuàng)公司必須制作相應(yīng)的商業(yè)機(jī)密文件，并嚴(yán)格保守這些秘密。商業(yè)機(jī)密可能包括任何可給保守秘密者帶來(lái)經(jīng)濟(jì)價(jià)值、但眼下尚不為其他人所知的信息、過(guò)程或者技術(shù)。商業(yè)機(jī)密不同于專利，這在某種程度上是由于其范圍更廣，而且必須保密。實(shí)際上，每家初創(chuàng)公司都會(huì)擁有許多富有價(jià)值的商業(yè)機(jī)密。將來(lái)有一天，其中一些商業(yè)機(jī)密有可能就成了專利。

　　公司員工（入職時(shí)）需要簽署員工協(xié)議，該協(xié)議強(qiáng)制性說(shuō)明，公司機(jī)密只能用于公司業(yè)務(wù)。在合營(yíng)企業(yè)與其他公司和第三方的協(xié)議中，亦應(yīng)使用同樣的文件用語(yǔ)，以確保公司商業(yè)秘密得到保護(hù)。

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　　接下來(lái)，公司需要采取措施，確定哪些內(nèi)部信息屬于商業(yè)機(jī)密。首席技術(shù)官或者首席法務(wù)官應(yīng)該鼓勵(lì)員工，不僅要明確公司的核心商業(yè)機(jī)密，還要將之制作成有約束力的法律文件。在生成文件之后，還應(yīng)該建立責(zé)任制，以保護(hù)這些商業(yè)機(jī)密，其中包括限制員工和第三方的訪問(wèn)權(quán)限，將關(guān)鍵文件和電子文檔設(shè)為保密級(jí)，并且要求特別口令保護(hù)。

　　公司還需要密切關(guān)注員工開(kāi)發(fā)的商業(yè)機(jī)密，確保隨時(shí)記錄新的商業(yè)機(jī)密，并將之納入到保密計(jì)劃中。當(dāng)員工離職時(shí)，他們（往往還包括他們的新雇主）應(yīng)該得到警告，禁止他們?cè)谙乱蝗喂ぷ髦惺褂们叭喂镜纳虡I(yè)機(jī)密。如果懷疑有人不恰當(dāng)?shù)厥褂昧斯镜纳虡I(yè)機(jī)密，應(yīng)該馬上強(qiáng)制性隔離離職員工的計(jì)算機(jī)或者文件，并雇傭法庭專家對(duì)事件進(jìn)行深入調(diào)查。

　　最后，在雇人時(shí)還要提高自我保護(hù)意識(shí)。確保新員工明白，他們因其智力和技能而被雇傭，而非公司企圖從他們那兒獲取其前任雇主的商業(yè)機(jī)密。熱心過(guò)度的員工往往認(rèn)為，他們可以通過(guò)使用前任工作中的商業(yè)機(jī)密信息，縮短開(kāi)發(fā)過(guò)程，但是正是其此舉毀了初創(chuàng)公司，而且有時(shí)造成了無(wú)可挽回的損失。2006年，一名前IBM員工就曾將一份機(jī)密級(jí)IBM備忘錄，發(fā)給了他在惠普公司（HP）的新上司。備忘錄中包括IBM的商業(yè)機(jī)密--商業(yè)計(jì)劃和技術(shù)?；萜展颈黄冉夤土嗽搯T工，并將此事通報(bào)給了IBM和聯(lián)邦調(diào)查局，而且還得協(xié)助美國(guó)政府進(jìn)行長(zhǎng)達(dá)數(shù)年的聯(lián)邦調(diào)查，并最終起訴該名偷竊IBM商業(yè)機(jī)密的員工。

　　千萬(wàn)不要重蹈此覆轍。從新員工報(bào)到伊始，就向其清晰闡明：他們不應(yīng)該攜帶與其前任工作有關(guān)的任何機(jī)密材料或者信息，而且也不應(yīng)該使用其他公司的商業(yè)機(jī)密。

　　如果你為公司的合同關(guān)系建立了書(shū)面文件，而不僅僅是做出口頭或者非正式的合作協(xié)議，并且注重保護(hù)公司的商業(yè)機(jī)密，那么你就可避免許多初創(chuàng)公司常犯的低級(jí)法律錯(cuò)誤。

　　本文作者Benjamin K. Riley是舊金山律師事務(wù)所Bartko， Zankel， Tarrant & Miller的負(fù)責(zé)人。

　　譯者：大海

　　下附原文：

　　Startup or emerging growth companies have to act decisively， efficiently and quickly. But the frenetic pace and other challenges these companies face often lead to serious legal mistakes. All too often， these companies fail to distinguish and understand the differences between an agreement that is legally enforceable and one that is not; keep inadequate documentation of the legal rights and responsibilities among joint venture partners; and fail to identify and protect the company's trade secrets.

　　What makes an agreement enforceable?

　　An entrepreneur should recognize the differences between different kinds of agreements. With a few exceptions， an oral agreement is enforceable but will often be hard to prove. Without documentation of the agreement， understanding of any agreement will likely differ between two parties. If you want to make all the terms of an agreement enforceable， document it in writing.

　　Once a written agreement is prepared， make sure you understand what is actually enforceable. There are three basic types of written agreements， depending on the language of the agreement: agreements to agree， letters of intent， and a fully defined， binding agreement.

　　Agreements to agree simply state the intent to continue negotiating. While other terms might be tacked on， these agreements only commit the parties to continue to work towards a final agreement.

　　Letters of intent， however， normally state the basic terms of an agreement， but leave the finer details for later. With letters of intent， it is critical that you understand whether the agreed terms are immediately binding or if there will be no binding agreement until all terms are nailed down. With a letter of intent， it's a good idea to include a clause that defines which provisions are presently enforceable and which are not. And when you reach a final agreement， fully document it in writing.

　　Document your joint venture agreements

　　Startups often collaborate with other companies and individuals on technology or financial issues. In most situations， partners will first sign a confidentiality agreement， obligating each to safeguard and respect the confidentiality of the other's information.

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　　If you go ahead and form a relationship without any further documentation， you're asking for trouble. For example， a geologist named John Walker entered into an agreement with LaFarge North America in 2006 to conduct a joint venture on a stone quarry project in Haiti. Walker provided LaFarge with geologic data， financial projections， startup costs and marketing analysis， but the parties never put together a written joint venture agreement. The relationship later fell apart and LaFarge took Walker off the project. Walker sued for breach of an oral agreement， but the court dismissed Walker's claim because of the absence of a formal， written agreement.

　　In these joint development situations， startups will often sign a confidentiality agreement or stamp confidential on its documents and then work with the other company for six months or more before one party severs the relationship. At that point， the dismissed party finds itself with oral understandings about rights to use technology or to receive equity or payment， but no documentation. The other party may be confronted with claims against its business model or property. Courts will often reject both parties' claims on account of inadequate documentation. Even worse， the parties might find that they have lost or compromised their trade secrets or confidential information.

　　Don't begin working with a partner without first documenting the relationship. If the relationship with your partners changes， make sure the written agreement reflects the new terms. Draft a full and complete contract.

　　Protect your trade secrets

　　Finally， startup companies must document and protect their trade secrets. A trade secret may include any information， process or technology that provides economic value to the secret holder that is not readily known to others. Trade secrets are different from patents in part because they are broader and must be kept secret. Virtually every startup will have many valuable trade secrets which may or may not someday be patented.

　　Employees should sign an employment agreement mandating that company secrets be used only for company business. The same language protecting trade secrets should also be included in joint venture agreements with other companies and third parties.

　　Next， the company needs to take steps to internally identify its trade secrets. The chief technology or legal officer should encourage employees to identify and document the company's key trade secrets. Once documented， you should take reasonable measures to protect the trade secrets， including limiting employee and third party access， marking key documents and electronic files as confidential， and requiring special password protection.

　　The company also needs to keep tabs on the trade secrets being developed by its employees， making sure that new trade secrets are documented and folded into the protection program. When employees leave the company， they （and often their new employer） should be advised of the prohibition on using the company's trade secrets at their next job. If there's any suspicion of improper use of the trade secrets， segregate the former employee's computer and files， and hire a forensics expert to investigate the situation.

　　Finally， engage in defensive hiring. Make sure new employees understand they are being hired for their brainpower and skill， not to obtain trade secrets from former employers. Startups are often damaged -- sometimes irreparably -- by over-zealous employees who believe they need to shortcut the development process by using confidential， trade secret information from their former jobs. In 2006， a former IBM （IBM） employee sent his then new bosses at HP （HPQ） a confidential IBM memorandum containing trade secret business plans and technology. HP was forced to fire the new employee， report the incident to IBM and federal agents， and cooperate with a multi-year federal investigation and prosecution of the pilfering employee.

　　Don't let this happen to your company. Make it clear to new employees that they should not bring confidential materials or information from previous jobs with them， nor should they use others' trade secrets.

　　By documenting your key contractual relationships， avoiding oral or informal joint venture agreements， and safeguarding your trade secrets， your company will avoid many of the most common legal pitfalls that startups encounter.

　　Benjamin K. Riley is a principal with the San Francisco law firm of Bartko， Zankel， Tarrant & Miller.