製造ライセンス契約について その3

前回からの続きです。

5 Consideration for Grant of License including providing Technical Information and Technical Services
技術支援は、派遣タイミング、期間、人数等がわからないことが多いですね。従い、ライセンスと技術情報と別のお金の取り方となることが多いでしょう。また、派遣費用と報酬部分に分かれます。注意点としては、現地の給与レベルに比し当然かなり高額になるので、相手となかなか金額が折り合わない一方、余りに低い金額にすると日本の税務署が「安すぎる」と文句をつける可能性があることですね。

5.1 Royalties for Grant of License and providing Technical Information
5.1.1 特許実施料の取り方にはいろいろ考えられますね。
(1) Onetime lump sum payment 一括払いですね。契約締結後ｘｘ以内に支払えというのが多いですね。
(2) License Maintenance Fee- 毎期（年）一定金額を支払うものです。
(3) 製品売上にリンクしたRunning Royaltiesですね。例えば、Licensee shall pay to Licensor a royalty of two point five percent (2.5%) of the net Sales Price of the Products sold by Licensee during the term of this Agreement.
(4) 例えば、契約時に一括払いを受け取り、その後Running Royaltiesを、売上高の一定率を受け取る場合も多いですね。この場合は、Licenseeの売上高を調査する権限などの規定も必要になります。

5.1.2. Payment of Royalty shall be made within thirty (30) days after the end of each half year period for all Products sold or otherwise disposed of during such half year.
5.1.3 Record keeping and reporting. Licensee shall keep accurate records showing the quantity, price and date of sale of all Products sold by Licensee during the term of this Agreement and Licensee shall furnish Licensor within thirty (30) days after the end of each half year a certificate showing the quantity and Sales Prices of such Products sold or for any taxes withheld by Licensee or paid on behalf of Licensor. Licensee shall permit inspection and verification of all such records by representative of Licensor at reasonable times and upon reasonable notice.

5.2 Fee and Expense for Technical Assistance
ここでのポイントは、派遣費用と技術支援の報酬の峻別ですね。技術支援の報酬は、派遣元の報酬ですし、これに対して現地で租税条約に従った源泉徴収がされます。この源泉徴収税は派遣元が現地税務当局に支払う税金ですので、納税証明を取り付け、日本での税額控除の対象にしてもらわないと損しますね。一方、派遣費用は、費用補填ですし、一種の立替費用ですので、源泉徴収の対象外になります。もし、立替費用と報酬が明確に分けられていないと、この両者の金額の合計金額から源泉徴収されることになるので面倒になりますね。
5.2.1 The following fee related to the provision of services by Licensor shall be borne by Licensee.
- Daily allowance of US$xxx.00 per person per day (including meals) for the period from departure date to returned date including Saturday, Sunday and Public Holiday.

5.2.2 The following cost and expenses shall be borne and reimbursed by Licensee to Licensor when such cost and expenses are paid by Licensor/Licensor’s engineers.
(1) Transportation expenses of engineers – airfare (economy class ticket including related taxes), travel insurance (including the cover of injury and/or sick) and transportation cost from home to airport and from airport to hotel (both way)
(2) Communication expenses
(3) Hotel (accommodation) charge
(4) Charge of car with driver or appropriate alternative transport cost.

6. Payment of Royalty and Fee
6.1 Currency. -売上は通常Local Currencyですので、それをUS$払いにするのか、その時の換算をどうするのか等の定めもしておかないといけません。例：All payments made to Licensor pursuant to this Agreement shall be in U.S.Dollars. The net Sales Price shall be converted as appropriate into U.S.Dollars at the exchange rate used by a principal international bank in xxxx effective at the close of the last business day of each half year period prior to calculating the royalty due for that period or, as to Technical Assistance Fee, at the time of remittance.

6.2 Taxes. Any taxes required to be withheld by the Government of the Territory applicable amounts which become payable to Licensor under this Agreement shall be paid by Licensee on behalf of Licensor and deducted from the amount of payment which is to be remitted to Licensor. Licensee agrees to furnish Licensor with the payment certificates or receipts from the appropriate tax authorities for any such taxes which have been so paid for.

6.3 Late Payment. Licensee shall pay interest at a rate of ten per cent (10%) per annum to Licensor on all payments not made in a timely manner pursuant to the above Section 5.1.2. Licensor’s receipt of such interest, however, shall not eliminate or prejudice any of Licensor’s rights of termination as hereinafter set forth.

特許のライセンスは実施許諾ですので、特許をLicenseeが、きちんと実施できるようにするのがLicensorの義務になります。従い、Patent Infringementのときどうするかとか、そのIndemnificationをどうするか等を規定しますね。また、米国の契約等は、契約記載事項以外は、No Representation & Warrantyの条項が入ります。長くなるので、次回にします。

製造ライセンス契約について その２

前回の続きです。ライセンス契約の内容に入って行きましょう。

LicensorからLicenseeに提供するものは、1) 特許のライセンス=実施権。2) 技術情報ですが、操業Manual、検査基準、メインテナンス作業手順書等。3) 技術支援、即ち技術者が技術提供先に行って操業支援するーこの３つが必要です。この３つが有機的に機能することにより、製品の製造技術が移転できるわけですね。更に、これに加えてこれら支援をしても、受入側の技能者がTrainingを受けマスターしないと身に付きませんので、Trainingの条項を入れることもありますが、受入側がマスターするかの保証はできないですね。

特許を発明するときに得た種々の技術的な知見、操業するときに試行錯誤しながら得た効率的かつ品質維持の実際のノウハウ等が記載されたマニュアル・手順書。しかし、ライセンス・技術情報を与えても、直ぐにLicensorと同じ生産が可能かといいますと、そんなことはないです。Licenseeにきちんとした操業が可能になるには、こういったノウハウを身に着けた技術者が現地に行って、教えてLicenseeの技能者がマスターして初めて、同等の品質の製品を同等の効率性・歩留まりで作れるわけですね。

では、この３つの支援と、Licenseeからのお金の取り方とはどういった関係でしょうか？一番お金に換算しにくいのは2)の技術情報の提供ですね。マニュアル代は〇〇〇ドル。検査基準書は〇〇〇ドルという決め方もありますが、即ちノウハウ提供料を、相手から取ろうとしても、なかなか算定できるものではないです。従い、(1) 結局一式50万ドルとか「エイヤー」と決める方法か、あるいは(2) 特許の使用料（Lump-some 又はrunning royalties）に含めるかぐらいが実際的ではないでしょうか。

上記の例外は、親子間（100％子会社）のライセンス契約ですね。ノウハウを持った技術者が出向するのが通例ですから、契約も簡単で良いですね。

2. Grant of License
2.1 License Grants. Subject to the terms of this Agreement, Licensor hereby grants Licensee for the Term a royalty-bearing non-transferable right under the Patent Rights to make, use, sell, offer to sell and lease the Products and use the Technical Information to be provided by Licensor for manufacturing the Products in the Territory.

2.2 Exclusivity. In order to establish an exclusive period for Licensee, Licensor agrees that it shall not grant any other license to make, use, sell, lease and import the Products in the Territory during the period of time commencing on the date hereof and extending to the end of the Term.

3．Ｔechnical Information
3.1 Without prejudice to the generality of Section 1 (c) , “Technical Information" ｓｈａll include but is not limited to the following which shall be supplied to Licensee by Licensor to the best of Licensor’s knowledge and information.
(a) Information as to Materials
i) Material specification
ii) Names of materials’ suppliers
iii) Sources of supply know to Licensor

(b) Information as to the method of manufacturing and processing
i) Process Flow diagram
ii) Production standard

(c) Information as to tools and machines
i) Machine tools specifications
ii) Tooling specification and drawings
iii) Machines and tools setting procedures

(d) Information as to Inspection
i) Inspection standard specification for incoming materials, process as well as finished goods.
ii) Quality control chart
iii) Gauge drawings for measurement

(e ) Operation method and/or advice
i) Layout of production equipment
ii) Operation optimization of machines
iii) Cost reduction procedure
iv) Quality assurance program and procedure
iv) Preventive maintenance program

(f) Factory layout and/or advice
i) Overall factory and line design
ii) Environment control and waste management

Licensor shall furnish such Technical Information to Licensee in English to the best of Licensor’s abilities.

ここでは、Licenseeがライセンス＝特許実施権を受ける際に、新規に製造ラインの増設などを行う場合を想定していますので、結構提供する技術情報は多いですね。
新規設備をLicensorから購入する場合がありますね。標準設備に、独自の改造を加えた機械設備・工具などです。この機械設備・工具販売でも、Licensorは適正利潤を得られます。工具でも、定期的に新品が必要なときは、継続的な販売もできますね。その部分は別の部品供給契約の締結になります。

3.2 Licensor warrants that all Technical Information disclosed and rendered or to be disclose and rendered to Licensee under this Agreement is, or will be, to the best of Licensor’s knowledge and belief, accurate (provided always that Licensor will promptly correct any errors in the Technical Information subsequently discovered by Licensee).

In the event that Licensee suffers legal suits pertaining to the use of the said Technical Information, Licensor shall provide necessary support to Licensee in overcoming the said legal suits.

４．Technical Assistance and dispatch of Licensor’s Engineers
4.1 Technical Assistance
Licensor shall, at the request of Licensee, provide Licensee with the following Technical Assistance:

(1) With regard to planning of the Plant including total facilities for manufacture of the Products:
i) Preparation of basic plan of the Plant;
ii) Preparation of layout drawing of the Plant including a list of Machinery and Equipment in relation to the site of the Plant, as well as　consultations aimed at the correct technical administration of the functional design, construction and facilities of the Plant;
iii) Planning of supply network for gas, electric power, water, air, etc.;
iv) Counseling to the Licensee's constructor involved in the Plant and construction of the Plant.

(2) With regard to the Machinery and Equipment:
i) Advice on Licensee's procurement of the Machinery and Equipment from suppliers;
ii) Supply useful Technical Information on the Machinery and Equipment.

(3) With regard to the starting and initial operation of the Plant:
i) Consultation and advice for installing the Machinery and Equipment in the Plant up to such time when production of the Products reaches "at running level";
ii) Counseling by Licensor's engineers for the determination of parameters that will control the efficient operation of the Machinery and Equipment in the Plant;
iii) Supervision by Licensor's engineers for such directions and explanations as may be necessary for smooth operation of the Machinery and Equipment;
iv) Other useful advice on or about the operational optimization of machines, cost reduction procedure, inspection of the Products and environmental control and waste treatment if any and requested by Licensee.

4.2 Dispatch of Licensor’s Engineer
Upon request of Licensee, unless otherwise agreed, Licensor shall agree to dispatch Licensor-nominated engineers (including such engineers of its subsidiary) to provide Licensee with the Technical Assistance mentioned in 4.1 above, at such mutually agreeable time arranged in advance and for such reasonable duration which will not unduly interfere with the normal operation of Licensor:
(1) To dispatch appropriate number of engineers to provide Technical Assistance for the purpose of investigation of the Plant site, making basic plan and layout drawing of the Plant, installing and commissioning the Machinery and Equipment and other assistance mentioned in 4.1 above and furthermore relating to the production of the Products;

(2) The number of engineers dispatched by Licensor to Licensee’s Plant shall be mutually agreed upon;

(3) The engineers dispatched by Licensor to Licensee’s Plant shall have enough expertise and capability of performing their tasks efficiently;

(4) The period of stay for engineers dispatched by Licensor to Licensee’s Plant shall be in principle no more than fourteen (14) working days per visit;

(5) The period of stay for engineers shall mean the time from when the engineer leaves Japan to the time that such engineer returns to Japan, excluding any private holidays taken during the course of such engineer’s voyage;

(6) The working hours for Licensor’s engineers dispatched to Licensee will be in principle to follow Licensee’s normal working hours for day-shift operation, but will not exceed forty (40) hours per week excluding lunch breaks.

結構長くなりました。この続きは、次回にします。