合同服务

化学工业的通行费协议

由Womble Bond Dickinson(美国)的公司和并购合作伙伴Melinda Davis Lux(美国)

Melinda Davis Lux, Corporate and M&A Partner at Womble Bond Dickinson (US), offers a guide to creating ‘win-win’ agr

Melinda Davis Lux, Corporate and M&A Partner at Womble Bond Dickinson (US), offers a guide to creating ‘win-win’ agreements between global manufacturers and toll contractors in the chemicals industry.
需要处理规格的原材料的全球制造商决定将处理功能外包。为什么决定外包?可能有多种原因。
  • The manufacturer has capacity constraints.
  • 第三方处理器具有专业知识或设备来执行处理功能。
  • A third-party processor operates a facility in close proximity to certain of the manufacturer’s customers.For cost or logistical reasons (or both), it is efficient for processing to occur close to those customers.
  • The manufacturer requires processing in small batches initially.The manufacturer’s operations are not designed optimally to process small batches.
一个较小的制造商(我们称为承包商)具有执行处理功能的专业知识。承包商具有现有能力,或者愿意购买设备并扩大其容量以提供处理功能。这是通行费安排的理想情况。
从技术上讲,通行费是根据制造商向承包商提供原材料的协议,并且承包商处理这些原材料以满足制造商的规格。但是,通行费的安排通常变得更加复杂,并且可能会变成定制制造或佣金制造协议。制造商可以指示承包商从制造商确定的供应商那里购买原材料,而不是直接向承包商提供原材料。或制造商可以提供一些原材料,承包商提供一些原材料。处理函数也特定于特定安排。
作为战略合作伙伴关系
在任何商业关系中,当事方都可以通过交易思维方式与人际关系,将谈判视为赢得冠军主张。另外,各方可以与协作思维定势相处,以寻求创造双赢的情况。
谈判理论告诉我们,当谈判涉及一组离散的变量,而结果(例如成本)是最重要的因素时,交易方法适用于一次性互动。另一方面,当双方对关系的价值和长期关系时,一种协作方法是适当的。
在更复杂的协作谈判中:
  • There are many variables to be considered and negotiated
  • 各方有动力寻找共同的立场以使他们的利益保持一致
  • 各方讨论了使双方受益的创意解决方案,从而导致“双赢”情况。
Many companies approach toll arrangements with a transactional mindset. The terms of the deal are win-lose – for example, the price is higher or lower, or the intellectual property enhancements are owned either by the manufacturer or the contractor. Most toll arrangements, however, are long-term, strategic relationships where ‘win-win’ outcomes should be the goal.
确定各方带给关系的价值
为了提供谈判的适当取向,各方应确定他们选择彼此的关键原因。然后,当事方可以专注于他们最想引起价值的合同的要素。
制造商是否因为承包商的位置选择了承包商?在这种情况下,收费协议应要求承包商在该位置专门处理。制造商是否选择承包商是因为承包商有能力满足特定的批量要求?在这种情况下,制造商应要求承包商优先满足制造商的需求。作为回报,制造商可以保证一定的最小量。
合作定价
通常,制造商提供其“剧本”,以便承包商使用的流程来满足制造商的规格。该剧本可能会反映制造商在自己的设施中长期使用的过程,或者可能反映实验室测试或其他方式中开发的过程。
制造商要求控制ractor to quote its price for the processing services. However, because the contractor’s facility layout, equipment, and employees do not mirror those of the manufacturer, the results may be different. The processes – when employed at the contractor’s facility – may require adjustments to meet the manufacturer’s specifications.
An upfront investment and cost sharing between the manufacturer and the contractor to run trial batches may save the parties from future headaches. By running trial batches, the parties can identify process discrepancies that could result in a failure to meet specifications or increased costs.
“最终的价格取决于当事方的决定是该过程,” Ethox总裁查克·辛顿(Chuck Hinton)说。
The toll agreement should also incentivize the parties to identify and implement cost reduction strategies. When pricing is determined, that pricing assumes a certain yield, says Jim Self, CEO of ProBioPharm. “As the toller gains experience, yields should improve and cost savings should result. Why not set cost reduction goals and share those savings?”
Use creative intellectual property sharing
制造商将知识产权带入了通行费,并继续拥有其知识产权。同样,承包商进入拥有其知识产权的关系。谁应该因收费安排而建立知识产权改进?
许多“标准”制造商通行费协议规定,制造商拥有处理服务所产生的所有知识产权。但是,当事方应考虑安排的实质,以及当事方将在何种程度上合作以发展改进。应激励双方投资于降低成本,提高产量或导致其他收益的流程改进。当双方能够通过这些投资而共同利用某些或全体知识产权时,将更好地激励这些投资。
A more nuanced approach is for the manufacturer to own intellectual property in improvements made by the contractor, and for the manufacturer to grant to the contractor a royalty-free license to use that intellectual property. The contractor’s right to use the intellectual property may be limited to a certain territory or field of use. In many situations, when drafted carefully and customized to the particular arrangement, the parties may both exploit intellectual property rights in a manner that protects the toll arrangement and simultaneously allows the parties to commercialize intellectual property in other respective business endeavors.
为了保护承包商在投资流程改进时,承包商可以要求在设定的一段时间内独有的通行费。这样可以防止制造商终止与承包商的关系,并披露对另一个承包商更换的改进。
创建有价值的知识产权的程度将取决于过程的性质和特定的通行安排。在大多数情况下,双方都可以从创建新的知识产权中受益,并且有多种方式可以在各方安排分享这些利益的方式。
优化设备购买
New equipment often must be purchased to support the toll arrangements. Who should purchase the new equipment? If the contractor purchases the new equipment, what assurances does the contractor have that the equipment will be fully utilized and that the contractor will recoup its investment?
One option is for the manufacturer to pay for the equipment cost over time by adding an equipment fee to the cost of the processing services. Because the contractor purchases equipment in anticipation of a certain contract volume over a certain period of time, the contractor should be protected if the volume or time expectations are not met. In that situation, the manufacturer may agree to pay for the shortfall as a result of a failure to meet those volume or time expectations to make contractor whole for the equipment purchase.
相反,如果制造商决定将某些处理功能外包,则制造商可以拥有出售给承包商的设备。由于制造商的业务线路或设施关闭的战略变化,制造商可以决定将现有运营外包外包。
在这种情况下,承包商可以同意将设备专门用于制造商的处理功能。承包商不得提前支付设备的费用,而处理费则反映了折扣以适应设备的互惠运输。如果承包商未能以固定的一段时间商定的量,制造商应保留安全利息或设备的其他权利。
Final thoughts
Successful long-term toll arrangements must benefit both parties. The manufacturer generally decides to outsource processing to benefit from the expertise and capacity of a contractor. The contractor benefits for exactly the same reason – the contractor’s ability to deploy its expertise and capacity. This strategic fit should be viewed as a ‘win-win’ opportunity.
You can listen to Melinda Davis Lux talk about揭开通行费协议的神秘面纱在今年12月的SOCMA周。
在12月5日(星期四)上午9:10加入商业曲目,以了解更多信息!
作者:
Melinda Davis Lux,Womble Bond Dickinson(美国),南大街550号,Suite 400,Greenville,SC 29601,美国
T: +4 864 255 5478