Jerald S. Howe, Jr. Former Executive Vice President, General Counsel & Corporate Secretary / Leidos Holdings, Inc.
Jerald S. Howe, Jr. 前执行副总裁、总法律顾问及公司秘书 / Leidos Holdings, Inc.
Systems engineering offers a robust framework for solving complex legal problems by breaking them down into manageable parts, ensuring integration and coherence in processes such as M&A due diligence and complex litigation
系统工程为解决复杂法律问题提供了一个强大的框架，通过将问题分解为可管理的部分，确保并购尽职调查和复杂诉讼等流程中的整合与一致性
Systems engineering arose as a discipline in the late 1950s and early 1960s, concomitant with the beginnings of the space race. The discipline was developed for solving large, complex problems in the design of systems for which the tolerance of failure was slim to none.
系统工程作为一门学科兴起于 20 世纪 50 年代末至 60 年代初，与太空竞赛的开端同步。该学科的开发是为了解决在系统设计中容忍度极低甚至为零的大型复杂问题。
One of the most fundamental concepts of systems engineering is the V model that originated within the aerospace industry in the early 1980s. The idea of the V model is to provide a framework for complex systems analysis and problem-solving. As one would expect, the model is depicted in the shape of the letter V. The left-hand side moving downward includes key actions to be completed — such as analyzing what the requirements are, what needs to be accomplished, what the constraints are within the existing technology, what requires fixing, and what questions need to be answered.
系统工程最基本的概念之一是 V 模型，该模型起源于 20 世纪 80 年代初的航空航天工业。V 模型的理念是为复杂系统分析和问题解决提供一个框架。正如预期的那样，该模型呈字母 V 形状。左侧向下包括需要完成的关键行动——例如分析需求是什么、需要完成什么、现有技术中的约束条件是什么、需要修复什么以及需要回答哪些问题。
The next step is to break down the problem into its various elements, which interestingly, is also a common practice of legal project management. This is the left-hand side of the V, and once it is broken down, those different pieces typically are assigned out to different teams, for them to examine and work on. Together, they form a team of teams.
下一步是将问题分解为其各个要素，有趣的是，这也是法律项目管理中的一种常见做法。这是 V 字形的左侧，一旦分解完成，这些不同的部分通常会被分配给不同的团队，让他们进行检查和处理。他们共同组成一个团队团队。
At the bottom of the V is the time to gather and analyze the system in its entirety and to reassemble it into a new and coherent whole on the right side of the V. That whole is intentionally more capable, efficient, and resilient than what had existed before. The new system answers the mail for all the requirements, identifies all the interfaces and dependencies among the elements of the solution, and optimizes all the trade-offs. The integrated solution is thoroughly tested coming up the right side of the V.
V 字形的底部是收集和分析整个系统，并在 V 字形的右侧重新组装成一个新而连贯的整体。这个整体有意设计得比之前更强大、高效和有弹性。新系统满足了所有需求，识别了解决方案各元素之间的所有接口和依赖关系，并优化了所有权衡。集成解决方案在沿 V 字形右侧进行彻底测试。
Along the way, importantly, risk is retired, and margin is built up. What I mean by margin is the margin for error. The idea is that if something small goes wrong — in a deal, for example, if part of the analysis fails or something has been missed; or in a complex piece of litigation, if a witness’s testimony comes out the wrong way on a particular day — the margin for error is great enough that the system as a whole does not fail. Over several decades, I have found this to be a highly effective model of problem-solving in complex matters of law, regulation, and business.
在过程中，重要的是风险被规避，而余地被建立起来。我所说的余地是指容错余地。这个理念是，如果出现小问题——比如在交易中，分析的部分失败或遗漏了某些内容；或者在复杂的诉讼中，某天的证人证词出现偏差——容错余地足够大，以至于整个系统不会崩溃。几十年来，我发现这个模式在解决复杂的法律、法规和商业问题中非常有效。
Utilizing the V model approach during M&A due diligence
在并购尽职调查中运用 V 模型方法
The V model can be a useful tool for demonstrating how systems engineering works in the in the legal field, for instance, starting with M&A. Often, lawyers work to close any disconnects between the various due diligence work streams arising from a potential M&A transaction. In a complex corporate transaction, responsibilities are broken down and actions assigned to separate teams for different diligence areas, including, for example, business development, finance, HR, intellectual property, and technology.
V 模型可以是一个有用的工具，用于展示系统工程如何在法律领域发挥作用，例如从并购开始。通常，律师会努力消除潜在并购交易中不同尽职调查工作流之间的脱节。在复杂的公司交易中，责任被分解，并分配给不同团队负责不同的尽职调查领域，包括例如业务发展、财务、人力资源、知识产权和技术。
One of the ways that M&A deals can get off track is for those diligence streams to proceed in a disconnected or incoherent way. For that reason, it is important in managing a big deal to bring the teams together and make sure they are staying connected, so that all key interrelationships and patterns are identified.
并购交易偏离轨道的一种方式是尽职调查流程脱节或不协调。因此，在管理大型交易时，将团队聚集在一起并确保他们保持联系非常重要，以便识别所有关键相互关系和模式。
Another example is identifying relationships between due diligence issues and findings and making an assessment of the target’s leadership. Observing a pattern in which a particular area is going errant repeatedly, it must be assessed whether the leaders for the target company in that area are really the right people to lead the business, post-acquisition.
另一个例子是识别尽职调查问题与发现之间的关系，并对目标公司的领导层进行评估。观察到某个特定领域反复出现偏差的模式时，必须评估该领域目标公司的领导者是否真的是收购后业务的合适领导者。
A third M&A example is identifying the interfaces between the due diligence findings and deal negotiations. The terms and conditions, ideally, are going to be negotiated based on what the findings are during the diligence process. Sometimes they get disconnected. However, if diligence is tightly coordinated with the negotiation of terms and conditions, a better negotiation process emerges among those on the other side of the deal — company management and the company’s own board — resulting in a better set of deal documents.
一个第三方的并购案例是识别尽职调查结果与交易谈判之间的接口。理想情况下，条款和条件将根据尽职调查过程中的发现进行谈判。有时它们会脱节。然而，如果尽职调查与条款和条件的谈判紧密协调，交易另一方的谈判过程将更加完善——包括公司管理层和公司自身的董事会——从而形成一套更好的交易文件。
Demonstrating systems engineering discipline in complex litigation
在复杂诉讼中展示系统工程学科
Another legal context in which to demonstrate the value of the V model is in complex litigation. Doing up-front legal analysis early is critical to understanding exactly what ultimately will be needed in order to prevail — whether that be a motion for summary judgment as a defendant, or in preparation for a trial — all before discovery is entered.
另一个可以展示 V 模型价值的法律背景是复杂诉讼。在诉讼初期进行法律分析至关重要，这有助于准确理解最终获胜所需的一切——无论是作为被告提出简易判决动议，还是为审判做准备——所有这些都必须在证据开示之前完成。
This is part of classic systems engineering, going down the left side of the V to understand all the requirements and what the objectives are before developing a solution. In civil litigation, which is what companies are predominantly involved in, this is typically done through discovery. Systems engineering is a good way of thinking about how to coordinate both defensive and offensive discovery — that is to say, what facts need to be extracted from the other side. It is perilous to assume in civil litigation that the case can be proved through something potentially received from the other side, so this must be undertaken with care.
这是经典系统工程的一部分，沿着 V 模型的左侧深入理解所有需求以及目标是什么，然后再开发解决方案。在民事诉讼中，这是公司主要涉及的领域，通常通过证据开示来完成。系统工程是思考如何协调防御性和进攻性证据开示的一种好方法——也就是说，需要从对方那里提取哪些事实。在民事诉讼中，假设可以通过从对方那里获得的东西来证明案件是危险的，因此必须谨慎进行。
Conclusion 结论
Leveraging systems engineering in the anatomy of legal matters is a highly effective way of managing problem-solving. It tends to be most helpful in solving complex, interdependent, often technical problems; often over a longer-term time period, such as that involving major litigation or M&A deals.
在法律问题的解剖中运用系统工程是一种非常有效的问题管理方式。它通常在解决复杂、相互依赖且往往涉及技术的问题时最为有帮助；通常需要较长时间的投入，例如涉及重大诉讼或并购交易的情况。
Under this discipline, leaders need to bring their teams along to obtain optimal results. As a by-product of solving particular challenges, leaders will be building consensus, resilience, and ultimately common purpose within their organization.
在这一学科中，领导者需要带领团队取得最佳成果。在解决特定挑战的过程中，领导者将构建组织内部的共识、韧性和最终共同目标。
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