對專利權濫用之因應機制－以專利主張實體及新型態防禦策略為中心

Abstract

本文以美國學說與實務為主軸，探討專利非實施實體（NPE）在美國蓬勃發展與活動之原因以及其於專利市場中之定位與學說之評價，並觀察相應而生的多項專利制度改革，同時探討台灣專利制度相關議題，以及傳統與新興的企業因應策專利主張實體濫用專利權之策略發展。 首先，本文第二章介紹學說上對NPE於專利市場上所扮演之角色的分析，並從制度及市場面向分析濫用專利權之專利主張實體（PAE）盛行之原因。制度面向上，專利審查制度無法完全因應暴增的專利申請，而訴訟制度設計則形成對專利權人較有利的情況；市場面向上，網際網路的發達、高科技產品的複雜化與專利主張實體低成本高獲利的營運模式，均為專利主張實體營造出良好的生存環境。 接著，第三章則就美國為因應專利主張實體活動以及平衡專利權人與公眾技術利用，對專利法所提出的相關改革法案討論。以發明法案為首，針對專利制度做了基礎性的改革；此後參眾兩院亦相繼提出各項修正法案。其改革方向大致上可歸納為下列面向：對惡意警告函之規制、證據揭示程序之限制、訴訟費用移轉規範之修正，以及專利權歸屬透明化之倡議。除了國會提出的法案以外，行政機關與法院也在禁制令的核發標準上逐漸建立具體化之標準。前述修正目的均在將過度偏頗專利權人之規範逐步修正至合乎專利制度本旨之平衡狀態。相較於美國專利法規範，台灣專利法則相反地被批評為過度壓抑專利權人行使權利，而有害於技術創新發展。就台灣專利法制之困境，本文就以下面向進行探討：新型專利規範議題、警告函處理原則與相關議題、引進證據揭示程序與否之爭議以及登記對抗制度之相關議題。雖然台灣與美國遭遇之問題不盡相同，但解決問題之核心均在於回歸專利制度平衡專利權人保障與促進公眾技術利用之本旨，進行相關規範之改良。 於制度改革面向之探討後，本文於第四章就傳統的企業因應策略，自企業內部與外部以及訴訟上之防禦方式探討之。企業內部因應專利主張實體主張專利權之策略，包括建立專利資料庫與專利監控制度，並尋求專業合作對象之協助；若自身資源較為缺乏，則可嘗試投保專利訴訟保險；另一方面，訴訟上之基本防禦策略，包括專利無效、專利未侵權以及專利濫用抗辯，亦為企業應熟知之防禦方式。 近年來，除了前述傳統的防禦方式外，亦出現了新興的防禦策略－防禦型專利聚集。本文於第五章即就其組織型態與運作模式等進行探討。首先介紹防禦型專利聚集之概念緣起與發展，並就現存防禦型專利聚集中，經營模式較有特色之組織：RPX、AST以及LOT Network，分析其經營方式與策略。另外，部分防禦型專利聚集之運作模式以及與會員間成立之協議，則出現了競爭法上的爭議。就此，本文亦就目前RPX公司遭其他專利非實施實體控訴之反托拉斯法訴訟爭議，自兩造之主張分析本案爭點。即便存有競爭法上爭議，防禦型專利聚集的出現仍然為企業降低專利訴訟風險帶來新的契機，並且有助於產業進步與市場競爭。 最後，第六章為前述研究之總結，並就前述企業因應專利主張實體活動之相關策略分析，提供台灣企業於面臨類似問題時的策略建議。

This thesis focuses on the flourishing of Non-Practicing Entities in the U.S., as well as its position in patent market and opinions of scholars, then observes institutions reform with regard to patent law in responses to NPE issues in the U.S. Also, this thesis further explores patent law issues in Taiwan. In addition, this thesis introduces traditional tactics which enterprises have adopting and new tactics rising recently and relevant issues. First, this thesis introduces the role that NPE plays in patent market based on scholars, and analyzes the reason why Patent Assertion Entities who misuse patent right have been prevailing through the aspects of legal institution and market. With regard to legal institution, the design of patent application examination procedure cannot deal with exploding patent application well, while litigation institutions have created relatively friendly surroundings for patent holders. On the other hand, with regard to market aspect, the development of internet, the complex high-tech products and the operation modes of PAE which spend less cost and gain high profit have also created better surroundings for PAE. Second, this thesis introduces acts raised by congress related to patent law in order to balance the protection to patent holder and encouraging technics using by public. Leading by America Invents Act, which has reformed some basic rules in patent system, congress has then raised a lot of amendment acts. The issues of those amendment acts meant to deal with are as follow: regulations to warning letter, restrictions to discovery procedure, switching litigation fees and transparency of patent ownership. Apart from acts raised by congress, government organizations and courts have also created specific standards in respect to injunctions orders. Preceding reforms have corrected patent regulations into a balance between patent holder and practicing entities. In comparison to the U.S. patent law, there have been criticisms pointing out that patent law in Taiwan has overly suppressed patent holders in exercising their rights, which may have some negative influences in innovations. With regard to the problems encountered by Taiwan, This thesis discusses following issues: utility model patent and relevant issues, regulations for warning letter, adopting U.S. discovery procedure and registration antagonism in patent registration. Although the issues in Taiwan are different with those in the U.S., the way to solve those problems are the same, that is, regulations reform should focus on balancing protections to patent holder and encouraging technics using by public. After the discussion of institution reform, this thesis turns to another direction exploring tactics that enterprises have adopted in responses to PAE issues. First, this thesis introduces traditional tactics, including developing patent database, creating patent monitor system, and finding professional to manage tactics. If the enterprise lack of resources, it can take out patent litigation insurance. On the other hand, the basic defense tactics used in litigation, including patent invalidity claim, non-infringement claim, and patent misuse claim, are what all enterprises should knowing well.

Recently, apart from preceding traditional defense tactics, there has been a newly developed defense tactic, Defensive Patent Aggregation. This thesis introduces the origin of the concept and development, and then analyzes the organization and operation mode of DPA based on three unique organizations, RPX, AST, and LOT Network. This thesis further discusses relevant issues with regard to antitrust law as some agreements between DPA and its members may have anticompetitive effects to the market. For this issue, this thesis introduces the antitrust lawsuit between DPA and PAE and analyzes the issues within the case. Although anticompetitive concerns may occur in the operation of DPA, it still brings the opportunities for enterprises in lowering patent litigation risk. In addition, it is helpful in promoting industries development and market competition. Finally, this thesis concludes preceding researches in the last chapter, and analyzes the tactics for enterprises when confront PAE issues as tactic advices for enterprises in Taiwan when encounter similar issues.