董事高管勤勉义务的豁免功能与责任构成

Exemption and Liability for Duty of Diligence on Board Members and Senior Executives

勤勉义务有别于一般过失侵权中的注意义务,但仍属过失责任的范畴,具有保护行为自由之属性,反映在公司法中则具有责任豁免功能:只要董事高管在决策时妥善履行勤勉义务,即使决策引发公司损失,也得以已履行勤勉义务为由抗辩免责。勤勉义务的主体范围具有封闭性,但仍应采实质标准,即包括实际行使董事高管职权的人员。勤勉义务内容应限于法律法规、公司章程为董事高管所规定的事务性职责,但得以此基础在个案中适当解释与类推。违反勤勉义务造成损害的因果链条为:违反事务性职责→行使决策性职权→决策结果引发损失;事务性职责与决策性职权之间有请示型、知悉型、督查型三类对应关系。损害结果要件要求固有利益或债权性利益均达到已受损之状态。责任构成要件应由作为原告的公司或股东举证,但董事高管得以勤勉义务已完成、勤勉义务与决策行为的对应关系进行抗辩。

Intrinsic differences exist between duty of diligence and duty of care. Because it falls into the perimeter of negligence liability, duty of diligence is of a mechanism for civilian freedom protection and indicates exemption function underCorporation Law. If board members or senior executives fail to fulfill relevantduties of diligence when they are engaged in decisionmaking duties, they shall be imposed by the liability of damages provided for in the Article 149 of the Corporation Law of China,Otherwise if they properly perform relevant duties of diligence, they shall be exempted from the liability of damages for the real loss caused by their decisionmaking. The duty of diligence shall be limited within the routine duties of management which written in statutory laws or articles of association.Liability of damages for nonfeasance of duty of diligence include: the limitation on the scope of subject, factual causation rule, the happened loss and seriousness thereof. The distribution the requirements of proofs for the liability of damages should fit the function of exemption embodied in duty of diligence.