本稿は、以下のセミナーで配布した教材をもとに、【設問】についての解答例を補足したもの

です。なお、セミナーでお伝えしたかったことは、別添の【つぶやき版】というファイルに、

ところどころ挿入した「つぶやき」で、よりご理解がいただけるかもしれません。

無料・英文契約書セミナー

３月２６日（水曜日）　１８:３０～２０：３０　英文契約書入門（１）

３月２８日（金曜日）　１８：３０～２０：３０　英文契約書入門（２）

会場：　〒１０５－０００４　東京都港区西新橋１－１８－１ 航空会館５０６号室

３月２６日（水曜日）　１８:３０～２０：３０　英文契約書入門（１）教材

１．教材

今回のセミナーで使用する英文契約書は、http://www.onecle.com/ の Sales Contract セク

ションの 2014/03/19 日現在、「一番下」にあるファイルです。全体は、添付のＰＤＦファイ

ル Sales Agreement - ConocoPhillips Specialty Products Inc_ and A123 Systems Inc_.pdf をごご覧ください。説明の便宜上、Onecle に掲載されているファイルを、Wordファイルに整形したもの Sales Agreement.docx も用意しています。

２．検討

【設問①】この契約書の種類は？それは、どこで分かりますか？売買契約であれば、登場する

当事者は誰で、そのようなことを約束しますか？

＜ 解 答 ＞ 教 材 の 契 約 書 の タ イ ト ル が 、 CPREMETM - A123 SYSTEMS SALES AGREEMENT となっていることから、売買契約であることが推測できます。 Sales と「ｓ」がついているので、「動産売買契約（書）」であると、さらに推測できます。さらに、

下線の部分にも目がいくと思います。

CPREMETM - A123 SYSTEMS SALES AGREEMENT

This Sales Agreement ("Agreement") is made and entered into between ConocoPhillips Specialty Products Inc., a Delaware corporation with an office at 600 North Dairy Ashford, Houston, Texas 77079 ("Seller") and A123 Systems, Inc., a

1

Delaware corporation, with an office at Arsenal on the Charles, 321 Arsenal Street, Watertown, Massachusetts 02472 ("Buyer").

そうすると、次に、「目でさがす」のは、売買契約の「主たる債権債務」が、どこに記載され

ているか、になります。

つまり

が、どこに記載されているか、です。

【設問②】この契約の当事者、誰ですか？

CPREMETM - A123 SYSTEMS SALES AGREEMENT

This Sales Agreement ("Agreement") is made and entered into between ConocoPhillips Specialty Products Inc., a Delaware corporation with an office at 600 North Dairy Ashford, Houston, Texas 77079 ("Seller") and A123 Systems, Inc., a Delaware corporation, with an office at Arsenal on the Charles, 321 Arsenal Street, Watertown, Massachusetts 02472 ("Buyer").

＜解答＞

売主－ Seller－が、ConocoPhillips Specialty Products Inc.

買主－ Buyer－が、A123 Systems, Inc.

です。日本語の契約書だと、「甲」と「乙」になるところですが（中国で使われている英語版

契約書では、 Party A とかになっています）、英語の契約書では、取引上の地位に即した

Seller、Buyer になること、そして、住所（番地等）の書き方も、日本とは逆（つまり、日本

国東京都．．．とは逆に、何番地、何丁目．．．になる）であることが分かります。

【設問③】WHEREAS CLAUSE は何のためにあるのでしょうか？法的効力は、どのような

ものでしょうか？

2

SeSEll Sell

Buy

WHEREAS, Seller is a manufacturer of graphite powder; and WHEREAS, Buyer desires to purchase graphite powder from Seller to be used solely for manufacture of Li-ion cells and batteries in Buyer's facilities and approved subcontractors, upon the terms and conditions set forth herein;

＜解答＞Whereas で始まる条項は、whereas clause と呼ばれています。当該契約が締結さ

れるに至った縁由、背景事情を説明するものです。ここを読むと、この契約書がどんなものか

を、事前に、ちょっとだけ知ることができます。「リチウム電池に使うグラファイト（黒鉛）

の売買か」と少し納得できます。

ただし、whereas clause に書かれていることは、通常、「法的拘束力がない」とされていま

す。つまり、Buyer desires to purchase graphite powder と書いてあるじゃないか、と

言って、買主に購入を法的に義務付けることはできない、ということです。場合によっては

whereas clause に書かれていることを、「本文に移してほしい」ということで、そのような

コメントを書くこともあります。

【設問④】「約因」条項がありません。契約書として欠陥があるのでしょうか？

NOW, THEREFORE, the parties agree as follows:

＜解答＞

英文契約書には、よく

NOW THEREFORE, in consideration of the foregoing premises, the mutual covenants and agreements herein contained and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, Sanden and the Supplier hereby mutually agree in good faith as follows:

下線の consideration つまり「約因」条項が入っています。ものの本によると、有償契約でな

いと「有効」enforceable でないというのが、一般的な原則だそうですが、これは、有償契約

であることを契約書の文言として書き入れないといけないかとは別問題です。

本契約は、黒鉛粉体を「お金」を払って売り買いするのですから、consideration 条項があろ

うとあるまいと、有償契約で、enforceable なはずです

では、enforceable とは、どんな意味でしょうか。「強制実現可能」とか訳されていますが、

その語感を確認しておいてください。

3

余談ですが、私が英米契約法を習った道田先生によると、in consideration of は、文字どおり

「・・・を考慮して」という意味だったそうです。でも、訳すときは「・・・を約因として」

としないといけないようです。

【設問⑤】契約（売買）の「目的物」は何でしょうか？Graphite Powder が何かは、

Google で「ぐぐれ」ば、いまは分かるようになっています。

＜解答＞

売買の対象は、大文字ではじまる Product です。具体的には、別紙に「仕様」の記載のある

CPREME Graphite Powder ということになります。この CPREME Graphite Powder は、製

法特許のあるもののようです。

1. Product. Product ("Product") is defined as CPREME Graphite Powder. Seller shall provide to Buyer all material safety data sheets (MSDS) applicable to the Product purchased at or before the time of the initial shipment. All updates to such MSDS shall be provided to Buyer with the first shipment after updating. The Product will conform to the specifications attached in Exhibit 2.

【設問⑥】契約書に散在している、契約当事者の義務を整理する。そのときに、主たる債務か

ら、従たる債務、付随的な債務、、、というように、「階層的に、しかも有機的に」理解する

のが、こつ

＜解答＞

売り買いする主たる義務が書かれているのは、この契約書では、

2. Forecast, Quantity and Lead Times.

(i) Purchase Orders. Seller agrees to sell to Buyer, and Buyer agrees to purchase from Seller the amount of Buyer's requirements specified in the applicable purchase orders issued to Seller for anode material in Buyer's manufacturing facilities or A123 Systems approved subcontractors' manufacturing facility.

にあることになります（これは、「敢えて言えば」で、見つからなくてもかまいません。）。

4

のように、「引き渡し」義務、「代金の支払い」義務という主たる義務に続いて、その下位に

付随義務とか補助的な義務が「数珠つなぎ」に出てくるので、それを整理することが、こつになります。

例えば、下の第２条を読むと、買主は、向こう６ヵ月間に購入する数量について「購入見積も

り」を買主に提供する義務を負っています。これは、単純な「売る」、「買う」という契約に、

英文契約書の世界で言う「条件」を付けたものになります。

この見積もりは、６カ月ごとに提出するのではなく、毎月、更新のようです。

a rolling six (6) month forecast

さらに、この見積もりは、法的な拘束力は、原則としては「ない」、よく「ノンバインディン

グ」となっています：

No Forecast shall be considered in any manner or to any extent to be a binding commitment to purchase Products on the part of Buyer. Seller shall utilize the Forecast solely for planning and inventory purposes.

ただし、Notwithstanding the forgoing と続いていきます．．．

2. Forecast, Quantity and Lead Times. (a) Forecasts: It is agreed that Buyer will provide Seller upon request, a rolling six (6) month forecast for the Product ( "Forecast"). No Forecast shall be considered in any manner or to any extent to be a binding commitment to purchase Products on the part of Buyer. Seller shall utilize the Forecast solely for planning and inventory purposes.

5

売る

製造する

材料調達

買う

代金を支払う

購入金額の保障

(b) Notwithstanding the forgoing Seller shall be capable of providing Buyer with a minimum of [**] per month in January, 2010 ramping to [**] per month by [**] and [**] per month by [**] (collectively "Minimum Capacity"). Seller will immediately notify Buyer in the event Seller has reason to believe Seller will not be able to supply Buyer with the amount of Product required under the Forecast.

なお、requirement contract とか output contract というのも、売買契約でよく登場します

ので、調べておいてください。

Section 2-306(1) of the Uniform Commercial Code.

【設問⑥】契約書に散在している、契約当事者の義務を整理する。そのときに、主たる債務か

ら、従たる債務、付随的な債務、、、というように、「階層的に、しかも有機的に」理解する

のが、こつ

買主の主たる義務である、代金の支払い義務に関しては、

3. Price.

The price for Product is set forth in Exhibit #1. Freight will be Ex-Works in accordance with Incoterms 2000.

という規定があります。

ただし、買主には、「年間最低購入数量」つまり、「最低でもこれくらいは買わなければなら

ない義務」が課せられています。ただし、買主は、最低購入数量の購入をこなせなかった場合

には、その差額だけを支払ってすませる（「商品を受け取る義務まではない」、との規定が続

くことになります。

6

売る

製造する

材料調達

買う

代金を支払う

購入金額の保障

(c) Subject to Buyer's right under this Agreement to make "Variance Payments" (as hereinafter defined) in lieu of purchases, Buyer agrees to purchase annual volumes of Product (the “Annual Minimum Purchase”)as follows: a. 2010 - [**];b. 2011 – [**];c. 2012 – [**];d. 2013 – [**].

(d) If Seller fails to meet product specifications or is unable to produce the Annual Minimum Purchase volume, Buyer will be relieved of the obligation to purchase the Annual Minimum Purchase by the amount of the shortfall.

(e) If the Annual Minimum Purchase has not been purchased by Buyer by the applicable year end, Buyer agrees to pay a fee equal to $[**] for the difference between the amount actually purchased in that calendar year and the Annual Minimum Purchase ("Variance Payment"). Buyer agrees to pay the Variance Payment within [**] after date of Seller's invoice.

(f) Buyer shall receive credit for any Variance Payment in the following year at a rate of $[**]. This credit shall reduce the price of ongoing purchases of Product until the prior year's variance payment has been re-claimed in its entirety and the prior year's Annual Minimum Purchase has been satisfied. Once the prior year's annual minimum purchase has been satisfied, subsequent purchases begin to count towards the current year's Annual Minimum Purchase. (g) Product purchased by Buyer in 2010 prior to the Effective Date of this Agreement will be applied towards the 2010 Annual Minimum Purchase. (h) If Buyer is required to pay a Variance Payment for 2012 or 2013, Buyer will have until April 1, 2015, to continue to purchase Product and re-claim the 2012 or 2013 Variance Payment provided that after April 1, 2014, no more that [**], may be applied to re-claim the Variance Payment. The price charged for Product purchased to re-claim the Variance Payment will be equal to the 2013 contract price with a price adjustment to be negotiated for reasonable storage charges.

7

【設問⑦】「代金は百万円」と言われても、自分で工場まで取りにいくのか、自社工場まで運

んでくれるのか（運んでくれるということは、運賃はとうぜん相手持ち、とは限らな

い、、、）ので、この「百万円」に、絞りをかける必要があります。 Incoterms は役に立ち

ますか？

＜解答＞

4. Payment Terms. For Products shipped to [**], Buyer shall pay the invoices [**] after date of Seller's invoice. For Product shipped to [**], Buyer shall pay invoices [**] after date of invoice.

本契約書では、「請求後の後払い」で、「支払条件」については簡単です。「ドルで払え」と

か、ドルで払うときのドル転レートは「ウォールストリート・ジャーナルに掲載されたレー

ト」とかの規定がない、という意味で。

さて、「引き渡し」その他の条件ですが、

7. Title and Risk of Loss; Delivery.

Title and risk of loss to the Product shall pass to Buyer in accordance with Ex Works Seller's dock.

Ex Works は「工場渡し」と訳されますが、別段、工場でなくてもよく、要は「引き渡す場

所」です。ここでは、Seller’s dock となっています。Seller’s shipping dock、つまり

shipping dock n, (place for loading and unloading cargo, freight), ということになりま

す。ドック、つまり船渠の意味だけではないようです。

Ex Works などは、「貿易条件」と呼ばれているものの一つで、「どこで引き渡す、とか、引

き渡す場所までの運送賃は売主・買主のどちらがもつ、等々を、長々と契約書に書くのではな

く（書かずに済ませるため）の符牒のようなもの、と理解すれば足りると思います。

なお、ここでは、Ex Works も「米国国内の貿易条件」の意味を付与」されていると思います

が、国際取引において、INCOTERMS が用いられます。

この Incoterms については、よく指摘されるように、売主と買主が互いに協力して、契約が

最終的に履行されるのを促進するような、ステップ毎の構成がとられています。 INCOTERM

8

では、例えば、A ４（売主の義務）と B ４（買主の義務）のように、対称的に構成されていま

す。

売買契約書を理解する場合、上述のような「対称的」で、「ステップ毎の構成」に留意しなが

ら理解する必要があります。

「ステップ」が抜けていたら、それは、その契約書に欠陥があることになりますので、欠陥を

塞ぐ必要があります。

契約書は、当事者が、契約の履行をしやすくするためのものです。と、思います。相手方に不

利、自分に有利なことを書いておくのが目的ではないと、私は、思います。

輸出書類を準備するにも、買主から情報を与えてもらわないとできない、船積みするにしても

（コンテナ時代には、すこし変な教室設例ではありますが）、船の名前が分からないと詰めな

い、、、

売買契約書を読むときにも、

なお、上のような「通関手続に必要な情報を与える義務」とか「必要な情報は、これこれだか

ら知らせてほしい」といった「問合せ義務」は、INCOTERMS の解説書に、「情報義務」とい

かたちで登場します。「情報義務」は、Informational Duty で、ウィーン売買条約のころか

らある言葉です。３０年以上も前からある言葉であり、「哲学」なのですね。

【設問⑧】売買なのに、契約期間と終了（解除）の規定があります。何か、変ですか？

＜回答＞

売買であっても、一定期間、ある商品を供給するといった継続的な売買契約であることがあり

ます。会社によっては、原材料の供給を、この継続的な供給契約でまかなっていることの方が

多いかもしれません。継続的な供給契約は、売主にとっても、一定期間、販路が保証されるの

9

用船の通知１ 商品の港までの運送２ 輸出書類の作成

に必要な情報３

でありがたいことではあります。「一定期間、一定の値段で買ってくれると約束してもらえる

なら、単価（／重量）何ドルで売りますよ」というように、価格設定の基礎になることがあり

ます。

5. Term and Termination; End of Life.

(a) This Agreement shall be for a term commencing on the Effective Date and ending on December 31, 2014, (the "Initial Term") and from day to day thereafter, provided however, that Buyer may terminate this Agreement upon not less than one year's written notice and Seller may terminate this Agreement upon not less than two year's written notice. For avoidance of doubt, and notwithstanding the foregoing, no termination may be effective prior to the expiration of the Initial Term. Without limiting the foregoing, after December 31, 2013, (i) unless the Parties agree otherwise, Buyer may, but is not required to, purchase a volume of Product consistent with its Forecast up to [**]/calendar year, and (ii) unless the Parties agree otherwise, the price of Product shall be the same as that during 2013. (b) End of Life/Changes to material process or equipment. If any of the component parts of any Product that Seller purchases from some other source ceases being produced for any reason, Seller will notify Buyer as soon as it learns of the planned discontinuance and will, at Seller's sole cost purchase enough of the components to meet its obligations under this Agreement until another source is identified and qualified to meet the product specification and such qualification to be at Seller's sole cost. In the event that a last time buy of a component is required, Seller and Buyer will mutually agree as to the total quantity of that component that must be purchased by Seller to meet requirements under this Agreement. In case of a capacity constraint or limited availability of raw materials, Seller reserves the right to allocate Product to customers based on historic purchases over the previous 12-months provided however that in no event shall such allocation relieve Seller of it obligation to provide the Minimum Capacity set forth in Section 2. Seller shall not ship any product to Buyer with any material changes to current formulation, equipment, process, raw materials or manufacturing location without Buyers approval in writing. Seller shall in writing provide reasonable notice to Buyer prior to any planned changes. Buyer's approval will not be unreasonably withheld. (c) Discontinuance of Product[**]. Seller may discontinue manufacture and supply of Product only upon termination of this Agreement by either Party. [**] of this Agreement.

10

継続的な供給であるであることから、期間中に、売主の意図に反して製造できなくなる場合も

ありえます。このような場合（製造不能だけではなく、同じものを製造できない、つまり変更

しなければならなくなることも含みます）に備えた条項が、上記の(b)、(c)になります。

【設問⑨】いわゆる「期限の利益喪失約款」とはおもむきが違うようです。これも継続的な取

引のゆえでしょう。一般的な債務不履行条項と比較してください（比較の資料は、Oncecle で手に入ります。）

＜解答＞

6. Default.

(a) Any credit Seller may elect to extend to Buyer shall be upon Seller's credit terms. (b) Seller shall have the right to change the terms of such credit at any time if Seller determines, in its reasonable discretion, that the financial condition of Buyer warrants such a change. (c) Notwithstanding any other provision, if: (a) Buyer fails to make any payment within payment terms, then Seller shall have the right to issue a written payment demand notice to Buyer. If Buyer fails to make payment within a period of [**] from the written notice thereof provided such notice is sent by overnight courier or (b) Buyer's financial condition does become impaired or unsatisfactory to Seller, in Seller's reasonable discretion, then Seller may suspend deliveries to Buyer until such time as satisfactory credit arrangements are made with Seller, including payment of past due invoices and which may include providing an irrevocable letter of credit in a form and substance specified by Seller, issued and confirmed (if required) by a bank acceptable to Seller and in an amount sufficient to cover the estimated credit exposure to Seller, or Seller may require Buyer to pay by cash in advance. Buyer's failure to cure any default within the [**] cure period or meet any obligation under this section shall give Seller the right to seek payment of the amounts due and immediately suspend further shipments as it's exclusive non-judicial remedy.

本契約では、「後払い」でしたので、「掛け売り」を承諾するについての条件が既定されてい

ます。日本で言う「不安の抗弁」のような規定です。

その次に、伝統的な「期限の利益喪失」タイプの規定が続いています。

11

【設問⑩】「危険の移転」と言われているものです。「危険」とは？運送途中で、製品が「仕

様」を満たさなくなった場合も、この条文の守備範囲でしょうか？

＜解答＞

伝統的には、「所有権の移転」と「危険の移転」条項は、売買型の契約書につきものです。多

くの場合、貿易条件で対応されることが多いと思いますが、「危険の移転」にあっては、その

危険が loss に限定されている点で、不都合がおこりそうです。

商品が、運送中に「仕様」を満たさなくなった場合－「不適合」となった場合－の処理は、あ

らかじめ決めておいた方が賢明です。この場合、品質保証規定との関係も問題となります。

仕様 specifications　－　適合性 conformity －品質保証 warranties －そして、基準時！

7. Title and Risk of Loss; Delivery. Title and risk of loss to the Product shall pass to Buyer in accordance with Ex Works Seller's dock. Except as provided elsewhere in this Agreement, Buyer will have no responsibility or liability on account of anything that may be done, happen or arise with respect to Product before risk of loss has passed to Buyer, and Seller will have no responsibility or liability on account of anything that may be done, happen or arise with respect to Product after risk of loss has passed to Buyer.

【設問⑪】Indemnity は、責任制限 Limitation of liability とどこが違うのでしょうか？

常に「三角関係」の文脈で使われるという意味で、「補償」とか「免責」とかの訳語が与えら

れますが、どちらが実際に即しているでしょうか？

＜解答＞

余談ですが、duty to warn などは、日本の保護義務のような規定です。

さて、indemnity ですが、

12

Seller

例えば、下線を施した規定のように、Buyer が Third Party からの Claim にさらされたとき

に、Seller が Buyer に替わって責任を引き受け、Seller が責任を負わないようにするという

ことが、indemnity の内容になっています。

indemnity は「第三者あればこそ」ということになります。

責任制限は、二当事者間の責任を引き受ける上限、あるいはそれ以上は賠償責任を負わないと

いう意味では免責規定になります。

ただし、第三者に対する関係で責任を引き受けることを前提に、その後は二当事者の関係に引

き直されることから、indemnity に続いて、limitation of liability が登場することもあり得

ます。

8. Product Management and Duty to Warn. Guidelines for managing Product are attached hereto and made a part of this Agreement as Exhibit 3, attached hereto and incorporated herein. Buyer agrees to follow the Product Management Guidelines as the same may be amended from time to time by the mutual agreement of the parties. Buyer acknowledges that it is familiar with, and will take all reasonable steps necessary to inform, warn, and familiarize its employees, agents, customers, and contractors who may handle the Product, of all hazards pertaining to and proper procedures for safe use of the Product and of the containers or equipment in which the Product may be handled, shipped, or stored. Buyer also undertakes to label as appropriate any materials which it makes or resells that include Product.

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BuyerThird Party

BUYER SHALL INDEMNIFY AND DEFEND THE SELLER AND ITS AFFILIATED ENTITIES FROM AND AGAINST ANY THIRD PARTY CLAIM, LIABILITY OR EXPENSE INCLUDING INJURY OR DEATH EXCEPT TO THE EXTENT THAT THE CLAIM, LIABILITY OR EXPENSE IS CAUSED BY SELLER'S NEGLIGENCE, PRODUCT DEFECTS ATTRIBUTABLE TO SELLER'S NEGLIGENCE OR THE FAILURE OF THE PRODUCT TO MEET THE SPECIFICATIONS CONTAINED IN ATTACHED EXHIBIT A WHEN DELIVERED TO BUYER. EXPENSE AS USED HEREIN SHALL INCLUDE REASONABLE ATTORNEYS FEES.

SELLER SHALL INDEMNIFY AND DEFEND THE BUYER AND ITS AFFILIATED ENTITIES FROM AND AGAINST ANY THIRD PARTY CLAIM, LIABILITY OR EXPENSE INCLUDING INJURY OR DEATH EXCEPT TO THE EXTENT THAT THE CLAIM, LIABILITY OR EXPENSE IS CAUSED BY BUYER'S NEGLIGENCE OR PRODUCT DEFECTS ATTRIBUTABLE TO BUYER'S NEGLIGENCE. EXPENSE AS USED HEREIN SHALL INCLUDE REASONABLE ATTORNEYS FEES.

【設問⑫】 warranty とは何だ？どこを見ると、warranty が何者かわかる？

＜解答＞

9. Limited Warranty. Seller warrants that the Product sold under this Agreement will be free from defects in materials and workmanship and shall meet the mutually agreed upon specifications for a period of [**] from receipt of shipment. This warranty does not cover any Product which (a) has been used in a manner not authorized by the specifications; or (b) has not been stored and handled in accordance with Product Storage Instructions set forth in Exhibit 4 provided that the failure of the Product is directly attributable to the improper storage of the Product or the use of the Product in a manner not authorized by the specifications.

ここでの warranty は、「品質保証」の「保証」です（つまり、 representations and warranties の warranty とは少し違う）。この意味での warranty は、UCC (Uniform Commercial Code) を参照する以外に、理解する途はないと思います。

§ 2-315. IMPLIED WARRANTY: FITNESS FOR PARTICULAR PURPOSE.

Where the seller at the time of contracting has reason to know any particular purpose for which the goods are required and that the buyer is relying on the

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seller's skill or judgment to select or furnish suitable goods, there is unless excluded or modified under the next section an implied warranty that the goods shall be fit for such purpose.

UCC を勉強してみよう！UCC の Sales に関する本を読んでみることが前提条件になります。

「品質保証の制限」の規定が続きます。DISCLAIM は、排除とも訳されているとおりです。

OTHER THAN THE WARRANTY SPECIFIED IN THIS SECTION 9, SELLER DOES NOT MAKE AND EXPRESSLY DISCLAIMS, AND BUYER EXPRESSLY WAIVES, ANY OTHER WARRANTIES INCLUDING BUT NOT LIMITED TO WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, REGARDLESS OF WHETHER ORAL OR WRITTEN, EXPRESS OR IMPLIED, OR ALLEGEDLY ARISING FROM ANY USAGE OF ANY TRADE OR FROM ANY COURSE OF DEALING.責任制限条項が、続いています。

10. Warranty Remedy and Limitation of Liability. Seller's liability for breach of warranty shall be limited to replacement of non-conforming Product or refund of the purchase price thereof, at Seller's option, and any loss, damage or cost for which Seller is obligated to indemnify Buyer pursuant to the terms of this Agreement. EXCEPT FOR CLAIMS ARISING UNDER SECTION 13 AND 24, OR FROM SELLER'S GROSS NEGLIGENCE AND WILLFUL MISCONDUCT, BUYERS TOTAL LIABILITY ARISING FROM THIS AGREEMENT FOR ANY CLAIMS OF ANY NATURE WHETHER BASED IN CONTRACT, TORT (INCLUDING NEGLIGENCE), INDEMNITY, CONTRIBUTION, STRICT LIABILITY OR OTHERWISE, WILL NOT EXCEED THE SUM OF $[**] AND SELLER'S TOTAL LIABILITY WILL NOT EXCEED THE SUM OF $[**].THIS CONSTITUTES A PARTY'S MAXIMUM LIABILITY EVEN IF THE PRODUCT HAS BEEN MIXED WITH OTHER MATERIALS OR USED IN SPECIALIZED EQUIPMENT. EXCEPT FOR CLAIMS ARISING UNDER SECTION 13 OR SECTION 24 OR EITHER PARTY'S WILLFUL MISCONDUCT, IN NO EVENT WILL EITHER PARTY BE LIABLE TO THE OTHER PARTY FOR ANY LOST PROFITS OR ANY INDIRECT, CONSEQUENTIAL, INCIDENTAL, SPECIAL, CONTINGENT, EXEMPLARY OR PUNITIVE DAMAGES INCURRED BY BUYER OR RESULTING FROM OR ARISING OUT OF THIS AGREEMENT INCLUDING, WITHOUT LIMITATION, LOSS OF USE, LOSS OF PROFIT, OR BUSINESS INTERRUPTION, HOWEVER SAME MAY BE CAUSED AND REGARDLESS OF A PARTY'S SOLE OR CONCURRENT NEGLIGENCE.

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【設問⑬】消費税型の売上税、付加価値税は買主負担、これはあたりまえのようだが、所得税

型税の負担は、売り主。もしロイヤルティを支払う場合は、源泉徴収税の取扱いが問題によく

なったが、租税条約の改正で、現在は規定を設ける必要は、多くの場合なくなっている。

＜解答＞

間接税については、買主が支払い義務を負う（転嫁）のがあたりまえのようではあるが、その

趣旨を確認する規定が設けられる。（ただし、国境をまたぐ輸出のような場合に、本規定が、

適用されないことには注意しなければならない。）

租税条約の締結国間では、ライセンス契約などで、ライセンス料の源泉徴収（所得税－直接

税）をしなくてもよい場合が多いが、この直接税の問題と、間接税の問題とを区別して、条文

を検討することに注意しなくてはいけない。

12. Taxes. In addition to the price provided herein, Buyer will pay Seller an amount equal to any Tax related to sales made pursuant to this Agreement, or to the transportation, production, or use of the Product, and assessed on Seller by any governmental authority or that Seller is required to collect from Buyer under applicable law. For purposes of the foregoing sentence, the term "Tax" shall include, without limitation, sales, use and excise taxes, duties (including dumping duties), or other assessments or charges (including Superfund/environmental levies, Goods & Services Taxes, or the like), but such term shall not include any income or franchise tax measured by Seller's net income or margin, or any gross receipts tax imposed by any jurisdiction on Seller for the privilege of Seller doing business in that jurisdiction Any personal property taxes assessed upon the value of the Product will be paid by the party having title thereto at the time such taxes are assessed. If Buyer is exempt from the payment of any Tax, Buyer will furnish to Seller proper exemption certificates, taxpayer identification number, or other documentation acceptable to Seller to cover the Product purchased hereunder.

【設問⑭】商品の売買で、買主が特許権の侵害を心配しなくてはいけないコンテキストを考え

てみよう。例えば、米国企業が、あるは発明についての特許権をもっていて、米国で出願され

ている特許、日本で出願されている特許、等々の関係は？

＜解答＞

いわゆるパテント・インデムニティと「カタカナ」で呼ばれている問題。米国企業が米国で特

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許をもっており、同企業が製造した製品を日本に持ち込んだ場合、特許権を侵害する可能性は 、

日本国の特許を基準にして判断される。

本契約の場合、米国内の特許を前提に、製品が米国内で販売されることを念頭に、売主は買主

に広範なパテント・インデムニティを与えている。indemnity が「三角関係」なのは、ここで

も同じ。

13. Patent Defense and Indemnification. Seller shall indemnify and hold Buyer harmless in connection with any suit, claim or demand that: (a) alleges that the Product (as used in this Section, the term "Product" includes the ingredients thereof taken both singularly and collectively) purchased hereunder or its method of manufacture infringes a claim of any Patent or other third party intellectual property right or involves the misappropriation of a trade secret by Seller; or (b) alleges that the use or application of the Product purchased hereunder for using as an anode material in a Lithium—ion battery infringes a claim of any Patent or other third party intellectual property right. Seller shall not be obligated in any way under this Section to defend, indemnify and hold Buyer harmless for any suit, claim or demand alleging infringement of a claim of any Patent or other third party intellectual property right which is based on Buyer (x) using the Product purchased hereunder for any purpose other than an anode material in a Lithium-ion battery, or (y) combining the Product purchased hereunder with any other material if the Product alone is not infringing, or (z) which is based on an improper or unauthorized way that Buyer handles or introduces the Product purchased hereunder into the Buyer's product if not in accordance with Seller's written instructions. Seller's obligations set forth herein shall be conditioned on Buyer promptly advising Seller in writing of any suit, claim or demand for which Seller is obligated under this Section, and on Seller having sole charge and direction of the defense and/or settlement of any such suit, claim or demand. Buyer shall have the right to be represented by advisory counsel of its selection at its own expense.

【設問⑮】この Contingency という規定は、多くの契約書では、どうゆう表題になってい

ますか？

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14. Contingencies. (a) Neither party will be in breach of its obligations hereunder to the extent that performance is prevented or delayed as a result of any of the following contingencies: (a) any cause beyond the reasonable control of the party concerned; (b) labor disturbance, whether or not involving the employees of the party concerned or otherwise, and whether or not the disturbance could be settled by acceding to the demands of a labor group; or (c) compliance with a request or order of a person purporting to act on behalf of any government or governmental department or agency (including but not limited to EPA and OSHA); or shortage in raw material, transportation, power, manufacturing capacity (except as Seller's capacity made available to Buyer and Buyer's obligation to purchase [**] of Product as described in Section 2) or product itself from a party's then contemplated source of supply, unless such shortage could have been avoided by Seller by purchasing Long Lead Time items in accordance with Section 2(c.). Seller reserves the right to allocate Product to customers based on historic purchases over the previous 12-months provided however, that nothing in this Section 14 shall relieve Seller of its obligation to provide the Minimum Capacity set forth in Section 2. (b) Quantities not purchased or sold due to the provisions of this Section need not be made up later. (c) Nothing in this Section will excuse Buyer from its obligations to make payments when due.

＜解答＞普通は、FORCE MAJEURE という条項になっている。これは、当該条項を「読んでみ

て」はじめて分かることではあるが、分かれば、「例の FORCE MAJEURE 条項か」と納得で

きる。

13. FORCE MAJEURE: Force Majeure shall mean any cause or causes which wholly or partly prevent or delay the performance of obligations arising under this Agreement and shall include, without limitation by enumeration, an act of God, explosion, accident, fire, epidemic, landslide, lightning, earthquake, storms, flood or similar cataclysmic occurrence; an act of the public enemy, war, blockade, insurrection, riot, civil disturbance, sabotage, strikes, lockouts, or other labor difficulties; unavailability of labor, fuel, power or raw materials, plant breakdowns or equipment failure due to cause(s) beyond the reasonable control of the affected party; inability to obtain

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supplies; restrictions or restraints imposed by law or by rule, regulation or order of governmental authorities, whether Federal, State or local; action or failure to act of governmental authorities; interruption or other loss of utilities due to causes beyond the reasonable control of the affected Party; and any other cause beyond the reasonable control of the Party relying on such cause to excuse its performance hereunder.

【 設 問⑮ -2 】 an act of God, explosion, accident, fire, epidemic, landslide, lightning, earthquake, storms, flood or similar cataclysmic occurrence; an act of the public enemy, war, blockade, insurrection, riot, civil disturbance, sabotage, strikes, lockouts, or other labor difficulties; unavailability of labor, fuel, power or raw materials, plant breakdowns or equipment failure と並んでいますが、上記の事由に、事由に（独自の？）事由を追加することはできるのでしょ

うか？

＜回答＞

不可抗力ということで、人間の力を越えた、後発的な不能事由と考えてしまいそうであるが、

特に欧州では、FORCE MAJEURE 事由が、単なる合意による免責事由の羅列になっていること

があり（オランダの契約書が典型だが、ヨーロッパ契約法という枠組みでも、「人間の力を越

えた」という発想はされていないようだ）、注意。

つまり、なんでも、かんでも FORCE MAJEURE とされることがあるので、注意しないといけ

ない。FORCE MAJEURE 条項も、よく読まないといけない、ということ。

【設問⑯】Warranty、Representation、Covenant とは何かは、保証、表明、誓約とか

訳しても、もう一つ分かりにくいです。

15. Representations, Warranties, and Covenants. (a) Buyer hereby represents and warrants to Seller that: (i) Buyer is a company of good standing established according to the laws of the State of Delaware and has its principal place of business in Arsenal on the Charles, 321 Arsenal Street, Watertown, Massachusetts 02472. Its officers, directors, employees, agents, and shareholders are neither officials, employees, or representatives of any government or of any department, agency, or instrumentality of any government nor officials, representatives, agents or candidates of any political party and shall not become such while this Agreement remains in effect.

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(ii) The execution, delivery, and performance by Buyer of this Agreement does not and shall not violate any laws or regulations presently binding on Buyer or Seller (including without limitation the United States export control laws and regulations). (b) Seller hereby represents and warrants to Buyer that: (i) Seller is a company of good standing established according to the laws of the State of Delaware and has its principal place of business in 600 North Dairy Ashford, Houston, Texas 77079. Its officers, directors, employees, agents, and shareholders are neither officials, employees, or representatives of any government or of any department, agency, or instrumentality of any government nor officials, representatives, agents or candidates of any political party and shall not become such while this Agreement remains in effect. (ii) The execution, delivery, and performance by Seller of this Agreement does not and shall not violate any laws or regulations presently binding on Buyer or Seller (including without limitation the United States export control laws and regulations).

【設問⑯】Warranty、Representation、Covenant とは何かは、保証、表明、誓約とか

訳しても、もう一つ分かりにくいです。

＜解答＞

representation も warranty も、契約締結の前提となる事実の表明とされていますが、

warranty の方は、事実に関する約束で、ひょっとすると約束の履行を求められることがある

こと、これに対して representation は単なる事実の表明で、故意または過失によって事実に

反する内容であった場合には損害賠償責任を負う、という説明がなされています。

Covenant は、契約締結後に当事者が負う作為・不作為の義務で、契約締結の前提とも、「事

実に関する約束」とも、また事実の表明でもなく、「何かをする（作為）義務」の引き受け、

「何かを

しない義務」の引き受け、ということで、契約締結時を基準にすれば、「未来（将来）」のこ

とに属します。

そのような目で読めば、少しは意味がはっきりしますが、 Representations and Warranties については、具体的にどれが representation で、どれが warranty かという区別はつかない

ようです。

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要は、Representations and Warranties という規定にはどんなものがおさめられているか、

Covenants には、どのような条項が現れるかについて「慣れておく」ことが重要と思います。

この「いまひとつ分かりにくい」一線を突破するには、イギリスの契約法の教科書を読んでみ

るのがイチバンです。

16. Ethics; Conflicts of Interest. Buyer shall not pay any salaries, commissions, or fees, or make any payments or grant any rebates to any employee or officer of Seller, or to any designee of any Seller's employee or officer, or favor any employee or officer of Seller, or any designee of any Seller employee or officer, with gifts or entertainment of significant cost or value, or enter into any business arrangements with any employee or officer of Seller other than as a representative of Seller. 17. Technical Assistance. ANY TECHNICAL ADVICE, ASSISTANCE OR TESTING FURNISHED BY SELLER TO BUYER WITH RESPECT TO THE SELECTION OR USE OF THE PRODUCT DELIVERED TO BUYER HEREUNDER WILL BE GIVEN AND ACCEPTED AT BUYER'S SOLE RISK, AND EXCEPT FOR GROSS NEGIGENCE OR WILLFUL MISCONDUCT SELLER WILL HAVE NO LIABILITY WHATSOEVER FOR THE USE OF, OR RESULTS OBTAINED FROM, SUCH ADVICE, ASSISTANCE OR TESTING. 18. Compliance with Laws. This Agreement is made specifically subject to, and Buyer expressly agrees that

21

Buyer shall comply with and abide by, all applicable laws, rules, regulations, orders and ordinances (now existing or that may be hereafter enacted or promulgated), including, but not limited to U.S. export control and economic sanctions laws, and Buyer will not export, re-export or otherwise transfer the Product, or any technical information disclosed to Buyer concerning the Product, in violation of such laws.

【設問⑯】以下は、いわゆる一般条項です。この「一般条項」には、どんなものがあるでしょ

うか？

＜解答＞一般条項については、「この規定はこんなもの」という概略の理解ができていれば、

原則としてよいと思います。

19. Notices.【通知の方法、宛先等です】

All notices required under this Agreement shall be given in writing by letter, facsimile or overnight mail addressed to the parties at the addresses below or such other address as the party may designate: ConocoPhillips Specialty Products Inc.600 N. Dairy Ashford RdHouston, Texas 77079-1175, USAAttn: Manager, Composite GraphiteFacsimile: (+1) 832-486-2881 A123 Systems, Inc.Arsenal on the Charles, 321 Arsenal StreetWatertown, Massachusetts 02472Attention: General CounselFacsimile: 617-778-5749

20. Assignment.【契約の譲渡禁止が書かれています】

Neither party shall assign or transfer its rights and obligations under this Agreement without the prior written consent of the other party, such consent not to be unreasonably withheld. 21. Waiver of Breach.【相手方が契約違反をした場合に、これを咎めないと是認したことに

なりかなないので、そのような既成事実の発生を防ぐ規定です】

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Either party may waive the breach of any part of this Agreement by the other party; however, any such waiver shall not be a waiver of any other part of this Agreement or of any subsequent breach of the same part.

【設問⑰】法務関係者は「準拠法」に関心が高いはず。準拠法を選ぶと、その契約書を、選択

した準拠法国の「法文化」にどっぷり浸かって、ほんとうは賞味するはめになるはずです。と

ころで、準拠法の問題を克服するには、どうしたらよいのでしょうか？

＜解答＞

準拠法というと、その国の「制定法」だけが想定されそうですが、判例法も、慣習法も、ある

いは法的な文化一般までもが「準拠」する対象になります。

そうすると「準拠法」をどこにするかは、重大な問題になりますが、本契約について言えば、

「売主の所在する国（州）の法」「買主の所在する国（州）の法」、「その他第三国の法」し

か選択肢はなく、「全てか無か」になってしまいそうで、袋小路に入ってしまいそうです。

その解決方法は、必要な規定を、契約書に書いていくことです。準拠法まかえせにせず「この

ような場合は、こうしますよ。」という規定を、契約書に書き込んでいく、これしか方法はな

いと思います。どこの国でも「契約自由の原則」があるはずですから。

22. Governing Law. THIS AGREEMENT SHALL BE GOVERNED BY AND INTERPRETED ACCORDING TO THE LAWS OF STATE OF TEXAS WITHOUT REGARD TO ITS CONFLICT OF LAWS RULES.

ところで、WITHOUT REGARD TO ITS CONFLICT OF LAWS RULES.の意味は？

＜解答＞

これは、国際私法の規定により、思わぬ国の法律が「指定」されるのを防ぐため、前もって国

際私法の適用を排除し、実質法の適用を確保するためです。

国際私法の本を読むと、A 国法を準拠法に選ぶと、① A 国の国際私法規定がまず適用され、②

そこで A 国の実質法が指定されると、A 国の実質法（民商法）が適用される、というような発

想をしていることが分かると思います。

【設問⑱】いわゆる「紛争解決」規定ですが、仲裁以外にどのような方法があり、どのような

規定が設けられていますか？ Oncle の中から調べてみましょう。

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＜解答＞

本契約は、「仲裁」を紛争解決手段に選んでいます。仲裁条項としては簡潔で、模範的な部類

に入るかもしれません。その他には、（国家の）裁判所による場合があり（というか、多いか

もしれません）その場合は、「（合意）管轄 Jurisdiction 」という規定が登場します。

Onecle で Dispute Resolution とか、Jurisdiction の規定を集めておくと、だいたいのこと

は分かると思います。

23. Dispute Resolution. The parties shall attempt to resolve any disputes by negotiation. Any dispute under this Agreement, which cannot be settled amicably, shall be finally settled by arbitration in accordance with the Rules of Arbitration of the International Chamber of Commerce by the arbitrators; one selected by Buyer, one by Seller, and one by the first two arbitrators. The arbitration shall be held in Houston, Texas, if brought by Buyer and Boston, Massachusetts if brought by Seller and conducted in the English language. The decision of the arbitrators shall be final, binding, and enforceable on the parties. 【設問⑯続き】以下は、いわゆる一般条項です。この「一般条項」には、どんなものがあるで

しょうか？

24. Confidentiality.【秘密保持規定です】

Each party agrees that it will keep, and cause its employees to keep, confidential the terms and conditions of this Agreement, including but not limited to pricing, and any know-how and technical, business, or other information disclosed to it during the performance of this Agreement until such time as the same has become available to the general public through no fault of such party. The obligations of confidentiality herein contained shall continue to be observed, notwithstanding the expiration or earlier termination of this Agreement. Buyer agrees to make no effort, either directly or indirectly, nor enable any third party, to analyze or in any way attempt to determine the physical or chemical property or composition of Product without Seller's prior written consent.

【設問⑲】秘密保持契約は、案外、難しいのです。どこが？

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＜解答＞

NDA とか CDA とかの問題については、第二日目に取り扱った別のファイルをアップロードし

ます。

Confidential Information. The receiving party (“Recipient”) agrees that the information disclosed by the disclosing party (“Discloser”) may constitute a trade secret of Discloser. This Agreement shall apply to all Confidential Information disclosed by the parties to each other, whether disclosed verbally, in writing, or by inspection of tangible objects. Confidential Information includes, but is not limited to, all product designs, capabilities, specifications, drawings, program code, mask work designs, models, documentation, components, software (in various stages of development), test and development boards, hardware reference code and platforms, architectures, agreement terms, financial and pricing information, business and marketing plans, actual and potential customers and suppliers, and other similar information that is proprietary to Discloser (“Confidential Information”). Discloser shall designate such Confidential Information as “Confidential,” “Proprietary,” or other similar designation denoting confidentiality (i) by stamp or legend if communicated in writing or other tangible form, or (ii) orally at the time of disclosure with a written confirmation within thirty (30) days describing the Confidential Information communicated orally. All restrictions as to use and disclosure shall apply during such thirty-day period.

「秘密情報」は、「みんなが知らない」情報である必要があるのでしょうか？

＜解答＞

「みんなが知らない」「公知でない」情報が「秘密情報」ではなく、契約当事者が「秘密取扱

いをすることを約束した情報」が、「秘密情報」なはずです。

【設問⑳】この 25 条には、「いろんなこと」が書かれています。普通の契約書のように整理

し直してみてください。

＜解答＞

25. Entire Agreement【完全なる合意】; Interpretation. This Agreement is executed in two originals in the English language or may be executed in multiple counterparts and each counterpart shall represent a fully executed original as if signed by each Party. 【複数の正本での契約締結が可能】This

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Agreement and its exhibits replaces and supersedes any prior agreements and constitutes the entire Agreement between Seller and Buyer as to the subject matter set forth herein; there are no promises, representations or warranties other than as set forth in this Agreement. 【完全なる合意】This Agreement may be modified only by instrument in writing specifically stating that it is an amendment to this Agreement and executed by both parties hereto but no modification hereof shall be effected by the acknowledgment or acceptance of purchase orders or printed forms containing different or additional terms and conditions. 【改正の 場 合 の 書面性の要求】 The provisions of this Agreement will take precedence over, govern and control any purchase order, sales acknowledgement, invoice or other writing between the Seller and Buyer despite subsequent issuance, it being agreed and understood, without limitation, that any pre-printed terms and conditions appearing on any other writing, communication or transmittal between Seller and Buyer pertaining to the subject matter of this Agreement will be null and void and have no force or effect.【本契約書

と他の書面の優先劣後関係】

THE WARRANTIES, OBLIGATIONS, LIABILITIES AND REMEDIES OF THE PARTIES, AS PROVIDED HEREIN, ARE EXCLUSIVE AND IN LIEU OF ANY OTHERS AVAILABLE AT LAW OR IN EQUITY.【救済方法の排他性条項】

【契約条項の有効性を担保するための規定】 The parties acknowledge and agree the terms and conditions of this Agreement, including but not limited to those relating to allocations of, releases from, exclusions against and limitations of liability, have been freely and fairly negotiated. Each party acknowledges that in executing this Agreement they have relied solely on their own judgment, belief, and knowledge, and such advice as they may have received from their own counsel, and they have not been influenced by any representation or statements made by any other party or its counsel. 【ここは、「契約解釈は契約書作成者の不利益に」という英米法の解釈原則を排

除するためのもの】No provision in this Agreement is to be interpreted for or against any party because that party or its counsel drafted such provision. In the event that any portion or all of this Agreement is held to be void or unenforceable, the parties agree to negotiate in good faith to amend the commercial and other terms of the Agreement in order to affect the intent of the parties as set forth in this Agreement. 【通常は、解除・終了後も効力を維持する規定を具体的に列挙しますが、ここでは which by their nature are intended to survive the termination, と「手抜き」をしているよ

う で す 】 The provisions of this Agreement which by their nature are intended to survive the termination, cancellation, completion or expiration of the Agreement,

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including but not limited to any expressed limitations of or releases from liability, shall continue as valid and enforceable obligations of the parties notwithstanding any such termination, cancellation, completion or expiration.

【In Witness clause と署名欄です。 /s/ は、それに続く氏名が、本当は（原本では）手書

きされていることを意味しています。】

IN WITNESS WHEREOF, this Agreement is executed as of the date first above written. CONOCOPHILLIPS SPECIALTY A123 SYSTEMS, INC.PRODUCTS INC. By: By:/s/ Michael W. Brown /s/ Michael RubinoName: Name:Michael W. Brown Michael Rubino Title: Michael RubinoPresident Chief Financial Officer and

VP of Finance and Administration

【設問：番外編】Exhibit も読む必要があるのでしょうか？

＜解答＞

PDF ファイルにある Exhibits をみると、かなり技術的なことが書かれています。法律的なレ

ビューをする場合に、この「別紙」を検討するのか、疑問に思われるかもしれませんが、実務

では、法務部門の担当者も「いちおう」読んでいます。ここで、いろいろ担当部署に確認して

もらわなければならないことも出てきます。

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