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研究生:黃睿彣
研究生(外文):Jui-wen Huang
論文名稱:利用授權契約迴避專利耗盡原則的問題─以美國聯邦最高法院 Quanta Computer, Inc. v. LG Electronics, Inc.判決為例
論文名稱(外文):The Issue of Avoiding Patent Exhaustion by Contract─In the Case of U.S. Supreme Court on Quanta Computer, Inc. v. LG Electronics, Inc., 128 S. Ct. 2109 (2008)
指導教授:鄭家捷鄭家捷引用關係楊智傑楊智傑引用關係
指導教授(外文):Chia-chieh ChengChih-chieh Yang
學位類別:碩士
校院名稱:國立雲林科技大學
系所名稱:應用外語系碩士班
學門:人文學門
學類:外國語文學類
論文種類:學術論文
論文出版年:2013
畢業學年度:101
語文別:英文
論文頁數:138
中文關鍵詞:授權限制專利耗盡售後限制OEM/ODM授權協議專利侵權
外文關鍵詞:OEM/ODMPatent InfringementPatent Exhaustion DoctrineRestriction on licenseLicense AgreementPost-sale Restriction
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台灣科技業代工廠不論是以OEM、ODM或自有品牌的方式對外營業,美國均是其主要市場,故釐清專利權耗盡原則在美國專利制度中如何被解釋適用,對我國科技業代工廠具有相當借鑒意義(王鍾齊, 2009)。專利耗盡原則通常為國際專利侵權訴訟中常見的防禦方式,近期最受矚目的專利侵權案件,為美國聯邦最高法院於2008年裁定的Quanta Computer, Inc. v. LG Electronics, Inc.,首次引起近66年來專利耗盡原則議題備受討論。本論文集結相關判例分析專利耗盡原則,並對美國聯邦最高法院在Quanta案中,未對售後限制問題(Post-sale Limitation)做出正面回應,而影響後續專利耗盡案件的問題,做進一步解析。

以下為本研究的主要目的:
(1) 首先,藉由過往判例介紹專利耗盡原則的起源,完整描述Quanta案的事實背景與法院判決; 並列出可能排除專利耗盡適用的限制情況。
(2) 第二,針對Quanta案判決中衍生出的問題,探討售後限制的可行性。
(3) 最後,總結並統整可行的授權架構,提供擬定契約的專利權人、被授權人或購買者參考。
本研究結論強調專利耗盡原則的目的,乃維持公眾利益與私人利益之間的平衡; 允許施行專利法下的售後限制,即有可能減低自由市場的競爭力。因此,本研究不支持專利權人能在授權契約中,利用售後限制的方式,控制購買者行為。
Regardless of using OEM or ODM to carry out foreign business, U.S. is the major market of the sub-contractors of technology industry in Taiwan; thus, clarifying how doctrine of patent exhaustion is being explained and applied to the patent system in U.S. is significant to the sub-contractors of technology industry in Taiwan (王鍾齊, 2009). Doctrine of patent exhaustion is the defense that is always brought up in patent infringement litigation internationally. For the well-known patent exhaustion case in U.S., the Supreme Court decided Quanta Computer, Inc. v. LG Electronics, Inc. on June 9, 2008, marking the first time the Court had addressed the topic of patent exhaustion in sixty-six years. This paper collects precedents to analyze the principle of patent exhaustion doctrine. Moreover, it analyzes the effect of disclaiming the validity of post-sale limitation by U.S. Supreme Court to the future patent exhaustion cases.
In sum, the study concludes the purposes as follow:
(1) First, introduces the principle of patent exhaustion doctrine and make an overall view of Quanta case; subsequently, illustrate specific restrictions that narrow the enforceability of this doctrine in circumstances.
(2) Second, by proposing questions, discusses the viability of post-sale restriction based on the unclear issue derived from Quanta.
(3) Third, summarizes and sort out the useful license structure for patent holder, licensee or purchasers who may engage in negotiating, drafting, or enforcing license agreement in the future.
In conclusion, the fact that the study emphasizes the original purpose of patent exhaustion doctrine is to balance the public interest and private interest. Allowing the enforcement of post-sale restriction may destroy the balance of free competition on market. Hence, the study does not support the validity of post-sale restriction on purchaser under patent law.
TABLE OF CONTENTS
CHINESE ABSTRACT I
ENGLISH ABSTRACT II
ACKNOWLEDGEMENTS IV
TABLE OF CONTENTS V
LIST OF FIGURES VIII
CHAPTER ONE INTRODUCTION 1
1.1 Background of the Study 1
1.1.1 Patent Infringement 3
1.1.2 Patent Exhaustion Weakens Double Dipping 5
1.2 Purpose of the Study 7
1.3 Significance of the Study 8
1.4 Definition of the Terms 10
1.4.1 OEM/ODM 11
1.4.2 Intellectually Property 11
1.4.3 Patent holder/Licensor/Patentee 11
1.4.4 Licensee 12
1.4.5 License Agreement 12
1.4.6 Patent Law 13
1.4.7 Patent Exhaustion Doctrine 13
1.4.8 Patent Infringement 14
1.4.9 Restrictions on License 15
1.4.10 Restrictions on Sale 15
1.4.11 Post-sale Restrictions 15
CHAPTER TWO LITERATURE REVIEW 17
2.1 Patent Law 17
2.2 Patent Licensing 18
2.3 Restrictions, Conditions, and Patent Exhaustion 21
2.4 Patent Exhaustion Doctrine 21
2.4.1 The Legal Source of Exhaustion Doctrine in U.S. and Taiwan 25
2.4.2 The Principle of Patent Exhaustion Doctrine in Supreme Court 27
2.4.2.1 Bloomer v. McQuewan 27
2.3.2.2 Mitchell v. Hawley 29
2.4.2.3 Adams v. Burke 30
2.4.2.4 Keeler v. Standard Folding-Bed 32
2.4.2.5 Henry v. A.B. Dick Co. 33
2.4.2.6 Motion Picture Patents Co. v. Universal Film Mfg. Co. 34
2.4.2.7 General Talking Pictures Corp. v. Western Elec. Co. 36
2.4.2.8 United States v. Univis Lens Co. 37
2.4.2.9 Pre-Quanta Interpretation 40
2.4.3 The Principle of the Conditional Sale Doctrine in Federal Circuit 40
2.4.3.1 Mallinckrodt, Inc. v. Medipart, Inc. 41
2.4.3.2 B. Braun Med. Inc. v. Abbott Labs. 44
2.5 Restriction of Patent Exhaustion Doctrine 46
2.5.1 A Known, Explicitly Restriction Exclude Exhaustion 47
2.5.2 Method Claim Seeks to Avoid Exhaustion 50
2.5.3 Exhaustion by Incomplete Article 52
2.5.4 Limitations on Sale, Restrictions on Licensees 53
2.5.5 Post-sale Limitations, Restrictions on Purchasers 54
2.5.5.1 The Viability of Post-sale Restriction Remain Unsettle 56
2.5.6 Seed Cases and Other Replicable Technologies 58
2.6 Sales in Violation of License Restrictions Give Rise to Exhaustion 62
CHAPTER THREE METHODOLOGY 65
3.1 Study Methods 65
3.2 The Structure of the Research 66
CHAPTER FOUR ANALYSIS &; DISCUSSION 70
4.1 Facts and History of the Quanta Litigation 70
4.1.1 Factual background 71
4.1.2 Procedural History 74
4.1.2.1 District Court Proceeding 74
4.1.2.2 Federal Circuit Proceeding 76
4.1.2.3 Supreme Court Proceeding 78
4.2 The Unresolved Issue Remained after Quanta 81
4.2.1 Post Effect of Quanta: Criticisms on the Judgment 82
4.3 The Invalidity of Post-sale Restriction in Quanta 86
4.3.1 Conditional Sale Doctrine Abrogate the Patent Exhaustion Doctrine 87
4.3.2 Can the Post-sale Restriction be Applied Under Patent Law? 90
4.3.3 Why Quanta Court Fails to Discuss Mallinckrodt in Quanta? 92
4.3.4 Why Mallinckrodt cannot be Reconciled with Univis? 95
4.3.5 Will the Outcome be Different if LG Imposed the Post-sale Limitation on Intel’s Right to Sale in License Agreement? 97
4.3.6 Restrictions on Use or Resale after an Authorized Sale Potentially Enforceable under Contract Law 101
4.4 The Influence on License Structure after Quanta 103
4.4.1 Request Up-front Royalties at the Point of Sale 106
4.4.2 Restrict Licensee’s Act of Selling to Arrange the License Structure 106
4.4.2.1 Request for Selling Certain Purchaser 107
4.4.2.2 Only to Sale Purchasers Who Have Signed the Agreement with Patentee 107
4.4.2.3 Only to Sale Purchaser Who Contractually Promised and Complied with the Agreement 108
4.4.3 Limit Purchasers’ Post-sale Use Under Contract Law 109
CHAPTER FIVE CONCLUSION 110
REFERENCES 112
APPENDIX 117
LIST OF FIGURES
Figure 3.1: Flowchart of the Study 69
Figure 4.2: Graph of Quanta Relation 74
Chinese Reference
(一)博、碩士論文
王鍾齊(2009)。從Quanta Computer v. LG Electronics案論專利權耗盡原則,南台科技大學財經法研所碩士論文。
林珀如(2010)。美國專利權耗盡原則之研究:以聯邦最高法院Quanta v. LGE判決造成之衝擊與反思為中心,交通大學科法所碩士論文。
林靜雯(2011)。由美國判決發展看以契約排除權利耗盡原則適用的容許性,交通大學科法所碩士論文,2011年。
黃柏仁(2012)。由廣達電腦對LG電子案看專利法上權利耗盡原則-從比較法的角度出發,東吳大學法學所碩士論文。
楊淑芳(2004)。專利權耗盡原則與默示授權原則,世新大學法研所碩士論文。
(二)期刊
李森堙(8, 2009),專利耗盡與基改種子販售後使用限制:Quanta案判決觸發之新觀點。科技法律透析,21卷8期,31-35。
李森堙(7, 2009)。淺談美國最高法院Quanta案判決對專利耗盡原則之釐清。科技法律透析,20卷7期, 27-31。
李森堙(8, 2007)。談專利耗盡--一個為專利權利畫界的原則。科技法律透析,19卷8期,24-39。
(三)書籍
林家亨(2008)。ODM大破解:國際代工設計製造買賣合約重點解析。臺北市:秀威資訊科技,88。

(四)報章雜誌
黃智銘,王尹軒 (9.27, 2007)。攸關台灣代工模式走向廣達LG專利糾紛美最高法院受理,工商時報。
陳致中 (2, 2004)。宏碁「微笑曲線」,遠見雜誌,212期。


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