Moderator:Atsushi Sunami,Associate Professor. National Graduate Institute for Policy Studies Panelists: Yasuyuki Sugiura,Director, Institute of International Strategy. Mitsubishi Corporation
Qixue Wei,President King & Wood
Michael O’Keeffe,Managing Director, Kroll International Inc. Japan
cies to deal with this issue. Another challenge is that companies do not know which patent office or law office to ask to represent their case because their track records are unknown to many Japanese companies. In addressing this issue, the group sent questionnaires to 50 law offices as well as other consultants in China.
Furthermore, companies want to know what kind of IP issues have actually occurred in conducting risk management as they do busi-ness in China.
One of the issues faced by all three working groups—IP, market analysis and risk management—is that there is the risk that tech-nology will transfer illegally to Chinese affiliates or their local Chinese offices. Another issue is that authentic products flow into the black market, but it is difficult to enforce countermeasures. A third issue is that the IP division staff in China is busy dealing with infringements that they do not have enough time to tackle patent issues. Fourth, it is difficult for Japanese companies to file an IP-related case with companies that are heavily influenced by the Chinese government, considering the possible effects on business in China.
The second working group on market analysis is composed of the marketing, project planning and international divisions of major Japanese companies interested in expanding their business in China. An issue that this working group faces is the difficulty in obtaining adequate information and relevant statistics in China.
One of the issues encountered by all three working groups is col-lecting market data to determine whether or not to advance into the Chinese market given the outflow risk of IP, technology and know-how. Second, indices that link IP risk and investment effects are necessary. A third issue is drawing up an IP strategy in view of the market size and uncertain growth. Another issue is to examine both technological trends and technological standards in China. Finally, the positioning of potential local partners in the market is exam-ined.
The third working group, risk management, involves the legal, business partnership and overseas business development divisions of major companies interested in expanding into China. A few of the issues faced by the three working groups include observing the technological export management rules in China as well as the technical licensing regulations such as the articles that stipulate the scope of compensations of indemnity to licensees in patent dis-putes. Another issue is collecting technical royalties as sometimes royalties are not paid. Finally, disclosure of know-how and trade secrets to local office and joint stock company employees is also a risk.
Michael O’Keeffe, Kroll International Inc., said that IP involves risk. According to multiple surveys, counterfeits represent around five to seven percent of world trade. There are certain patented technologies where countermeasures are possible, but there are areas that cannot be enforced in many countries.
Kroll’s strategies include the filing of patents in strategic market countries. Kroll also recommends that patents and trademarks be registered in China if production occurs in China. Third, companies should refuse demands to supply samples to Chinese patent offices.
Fourth, it is important to survey the market regularly in all target countries.
Mr. O’Keefe then provided many examples of the difference in the number of patents filed in the US and China. For example, for Philips, which has had a longstanding presence in China, the num-ber of patents filed in the US is decreasing, while the numnum-ber of patents filed in China is increasing every year. Matsushita files a large number of patents in both China and the US, alluding to the fact that it affords a similar level of importance for both markets.
On the other hand, Toshiba files four times the number of patents in the US as in China. This may be attributed to the fact that Toshiba only files patents on certain technologies in China. Sony, which only recently launched PlayStation II in China, files double the number of patents in the US as in China. Possessing a sophisti-cated global IP strategy, Hitachi has few patents filed in China.
Meanwhile, Fujitsu files a large number of patents in the US, and NEC is said to have transferred a significant share of production to China, but its level of patenting in China remains relatively low.
NEC used to be the number-two patent holder in the US, but it ranked 13th in 2003.
Siemens has a strong presence in China and shows a clear global patent strategy as well. Samsung, meanwhile, files a high number of patents in the US and the number of patents filed in China is only half that number. At one point, the number of applications filed in China reached the same level as the US, but in recent years, more applications have been filed in the US than in China. Perhaps this phenomenon can be attributed to the fact that Samsung has selected technologies that it manufactures in China, which it later exports to the US. Leading semiconductor manufacturer Intel files ten times the number of patents in the US as in China. IBM, the leading holder of patents in the US, filed more than 3,500 patents in 2001 in the US. This means that IBM files 30 times as many patents in the US as in China. The fact that IBM places importance on licensing fees may lend support to the declining number of applications filed in China. For Motorola, the number of patents filed is falling both in China and in the US. HP, which has merged with Compaq, files ten times more patents in the US as in China.
Canon files nine times the number of patents in the US as in China.
Meanwhile, P&G files the same number of patents in both coun-tries and is pursuing a vigorous IP strategy in China.
Although companies have a tendency to ignore counterfeit goods as long as the sales of authentic goods are increasing, com-panies will suffer a heavy blow from low-cost counterfeit goods that sell well considering the long-term perspective. Therefore, companies should take measures when counterfeit goods account for 10-20 percent of the market, such as conducting regular market surveys.
Kroll’s analysis shows that infringers are often former licensees or that infringers are in a few incidences assisted by the Chinese government because industrial development is a priority for both local and national governments. In addition, Kroll’s surveys reveal that in many cases, infringed products are made in nearby factories and that the manager or owner is a former employee who is respon-sible for leaking the technology and know-how. University profes-sors are also able to direct reverse production and it is possible that infringers are using the same blueprints as the original products.
In light of the recent trends in IP infringement, infringers are aware of what they are doing. They devise methods as attaching labels and packaging in the last stages of production. There is an
increasing tendency of infringers exporting from China to the Middle East and Latin America.
Discussion
The moderator asked the panelists to discuss the key points one needs to consider regarding the development of IP strategies in China. Mr. Wei said that China has seriously engaged in expanding its markets since it joined the World Trade Organization (WTO).
However, the western and central parts of China are still underde-veloped. Trade between China and Japan will grow even more if western and central China develops as well. Mr. Wei stated that China is not a rival for Japan; rather, it is a close partner. In China, although there are a lot of imitations and copies, the manufactur-ing, production and sales of such products are actually an economic phenomenon. Mr. Wei said that perhaps exchanges between the Japanese and Chinese authorities in dealing with imitations and copies will lead to greater understanding. Imitations and copies are attractive to consumers, but it is necessary to resolve this issue.
In regard to the same question, Mr. Sugiura said that China will continue to show promising growth for the next several years.
Once risk is identified, one discovers that there are some risks that cannot be eliminated, but that other risks can be translated into business opportunities. In response to the view that there should be more joint ventures with China, Mr. Sugiura said that it is essential to forge partnerships with Chinese companies as a means of stay-ing at the forefront of technological trends and standards. Mr.
Sugiura said that he thought that the number of patents filed in China by US companies will increase in the future. Mr. O’Keefe said that it was necessary for any company to conduct adequate market research and formulate a strategy before entering the mar-ket.
Q&A
An examiner from the Chinese Patent Office referred to Mr.
O’Keefe’s comment that the Chinese authorities were involved in cases of infringement in China. The patent examiner stated that since China has joined the WTO, China has emphasized IP protec-tion. According to the examiner, the US has investigated infringe-ment cases in China and has reported that the results were satisfac-tory. Mr. O’Keefe said that the cases of infringements have been declining in recent years, but it is true that there are reported cases where the Chinese government either supports or tolerates the man-ufacture of counterfeit goods. Mr. Wei said that there is no involve-ment by the central governinvolve-ment, but in some cases local govern-ment officials are colluding with local companies.
A participant asked Mr. Wei about the effectiveness of licensing from the legal perspective and if safeguards against infringements existed. He also asked if it was possible to transfer money to the outside of China. Mr. Wei said that licensing has been possible in China for a long time and that has contributed to China’s being able to develop its economy to its current level. He also explained that related laws, such as patent law and contract law (supervisory bylaws on technological exports and imports), are being developed.
Since the issue is deciding which companies to offer licenses, it is important to investigate the partner company. In response to the second question, Mr. Wei noted that it was possible for companies to transmit money outside of the country. He stated that there has
been a great deal of deregulation in China. Mr. Wei also noted that there have been many successful cases of technology transfer, such as YKK, which has built large-scale factories in China. Kao and Shiseido, for example, are two companies which have successfully uncovered counterfeit goods.
A participant asked Mr. Wei how know-how can be provided to a company and if China had any legal countermeasures to deal with the job hopping by employees that possess the know-how. Mr. Wei said that according to Chinese law, if trade secrets are violated and these secrets are passed erroneously to a third party, there will be a punishment. However, this is a very difficult issue to handle given a worker’s right to work. The Chinese government is now consid-ering a new legal system on trade secrets in order to find a solution to this issue.
Mr. Sugiura said that knowledge management plays an impor-tant role in dealing infringements successfully. He said that it is also important to pay attention to the security aspect by raising awareness about IP.
(Session B4 closed)
吉野
バルブ経済の崩壊を背景に日本の知的財産ビジネスはここ数 年で劇的な変化を経験している。バブルの崩壊後、企業は厳 しい経済環境の中で集中と選択を通じたビジネスの再構築に 迫られ、さらに製造業における競争が激化したことなどを、
知的財産取引ビジネスが本格化しだした要因として考えるこ とができる。アジア諸国の台頭により日本が競争の優位性が 失われつつある現在、「知的財産立国」のスローガンの下、知 的財産重視の動きが高まっている。
（パワーポイント資料P2）知的財産取引業者の役割を示す図 において、縦軸は契約確度、つまり商業化の確率をあらわし、
横軸は技術案件の商業的価値を表す。右上に位置する特許群 は、技術移転を進める上で最も有望と考えられるもので、左 下に向かって位置する特許群程、その可能性は低くなる。す なわち、商業的価値は相対的に低くなると考えられる。知的 財産取引業者においては膨大な量の特許の中からライセンス できる技術を見極める能力が非常に重要となる。
技術移転ビジネスは料理にたとえることができる。よい素材 と一流の料理人を通して初めておいしい料理ができあがるの と同じように、技術移転ビジネスについても、契約が締結さ れるには、よい技術と一流のライセンス担当者が必要となる。
技術移転は「技術探索（ソーシング）」と「市場活動」の二 段階に分けることができるが、本セッションでは、「どのよ うに商業的価値を有する『よい技術』をみつけだせるのか」
をテーマに技術探索の段階に焦点をあてて議論をすすめるこ ととする。
藤野
昨年、米国で技術流通移転業の実態調査を行ったが、日米の 特許流通は実態面においても、関係者の認識においても大き な差が存在することが明らかとなった。「知的財産取引ビジ ネス」をpatent dealといっても米国では通じない。それは technology transfer businessなのだ。このことから、米国に おいては技術がいわゆる主従関係における「主」にあたり特 許やライセンスは「従」にあたる、またはウィンウィンの関 係にあるとの認識が通常であり、技術ありきの知的財産権と の認識が浸透していることが理解できる。しかし、日本では からなずしもこの関係が認識されているとは言えず、特許の みでビジネスができるとの幻想を持つものもいる。
日本の技術移転市場の特徴について日米を比較した場合、技 術移転の数は日本は絶対数では多いが、企業規模で技術移転 に関与している例は少ない。米国の場合は1970年頃からスピ ンアウトやTLOからの事業が多く生まれ、ハイテク分野では 新規参入も増加している。技術移転ビジネスは「経験、知識、
ネットワーク」が必要となるプロフェッショナルな仕事であ るにもかかわらず、日本ではその認知度はまだまだ低い。企 業のスピンアウトが少ないというのも日本の技術移転市場の 特徴である。とはいうものの、全体としては日本でも変化の 兆しがみられ、大企業の間ではライセンスアウトを通じた収 益化を図ろうとする動きもでている。
日本技術貿易株式会社が技術移転のライセンシングの対象と するメモリーカードは何種類かあるが、それぞれのメモリー カードにつき企業連合が存在し、技術は標準として市場にで まわっている。映像データに特化したメモリーカードxＤ−
Picture Cardを例に話を進める。商標権、ロゴの使用権、技 術スペックや技術的サポート情報が提供されたほか、特徴的 な点として、技術要件適合テスト（ライセンスを受けて技術 情報を受けても、製品が一定の品質基準を満たさなければ市 場で販売を行うことができない）のスキームを構築した。ラ イセンスカテゴリーは三つあり、一つ目のカテゴリー（プリ ンタやPC等）では欧米企業が、二つ目（リーダーライター 等）では日本、韓国、台湾の企業が、三つ目（パーツ等）で は韓国、台湾の企業が多くのライセンスを受けている。
業界標準のライセンスで特徴的なのは、ライセンスを受け入 れるか否か、つまりオール・オア・ナッシングの世界である ため成約までの交渉時間を大幅に削減できる点にある。さら に業界標準の寿命が短いことに照らしてライセンス手続きの スピードが重視され、情報を平等かつ非差別的に公開するこ とが重視されている点も特徴的である。業界標準ライセンス の効果としては、ライセンス処理がオープンに行われている ので独禁法に対する配慮が浸透するという点をあげることが できる。
ハンスレー
知的財産からどのように価値の創出ができるのかを中心に話 を進めていきたい。
知的財産の価値は、他社の製造を差し止め、市場で独占的利 益を得ることができることにある。さらに技術と権利主張の
［B5］