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研究生: 柯凱豪
KAI-HAO KO
論文名稱: 不正行為理論於美國發明法案(AIA)變革後之研究
A Study on Inquitable Conduct Doctrine – Post- Leahy-Smith America Invents Act
指導教授: 管中徽
Chung-Huei Kuan
鄭中人
Chung-jen Cheng
口試委員: 蔡鴻文
Hung-wen Tsai
學位類別: 碩士
Master
系所名稱: 應用科技學院 - 專利研究所
Graduate Institute of Patent
論文出版年: 2014
畢業學年度: 102
語文別: 中文
論文頁數: 110
中文關鍵詞: 衡平原則不潔之手不正行為揭露義務補充審查
外文關鍵詞: Equitable Rule, Unclean Hands, Inequitable Conduct, IDS, Supplemental Examination
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  •   在美國專利制度中,專利權人於申請專利時有責任與義務將所知悉會影響可專利性的的重要資訊公正且誠實地呈報給專利商標局,一旦違反此原則,往後請求保障自己的專利權時有可能會面臨「不正行為」的指控,一旦確立後專利權將無法行使,因此,如何避免落入不正行為的泥淖中對專利權人而言是必須且重要的課題。
    美國法院於過去數十年來建立了不正行為的判定準則,但隨著時間的推移,不正行過被過度的主張,於判例法下構成不正行為的要件也逐漸做了調整,2010年美國聯邦法院更是以全院聯席聽審了Therasense v. Becton, Dickinson一案,對不正行為立定了新的判斷方式,同年通過了最新的專利法修正案,為美國近年來最大規模的專利法修法。新增加的補充審查程序提供機會使專利權人得補提先前審查過程中未呈報的重要資訊給專利商標局,如此大幅度之判例與制度更動,於訴訟面,是否能夠因此有效遏止不正行為理論的過度主張與降低其連帶的負面效應,於申請面,是否可藉此防止過於浮濫的資訊如洪水般湧入專利局,乃是十分值得觀察與探討的對象,因此本文將以此作詳細的探討,並得出結論與建議。


    Everyone substantively involved in patent prosecution owes a duty of good faith to disclose any information that is “material” to the issuance of the patent under consideration to” the examiner in U.S. patent system. A failure to meet the required duty would make patent unenforceable under the inequitable conduct doctrine, which is an equitable defense to patent infringement. For this reason, how to complies with the duty and avoiding for being accused of burying material information in the mean while is a big issue for inventor or patent owner.
    For decades, standard for pleading inequitable conduct has been adjusted depart from past precedents. In virtue of inequitable conduct doctrine has been over expanded and increasingly used as a defense in U.S. patent infringement litigation, 2010, the Federal Circuit in Therasense v. Becton, Dickinson, unanimously undertook to rehear en banc, the standards governing the judicially-created defense of inequitable conduct. Soon after Therasense, congress enacted the Leahy-Smith America Invents Act(AIA), providing a new post-issuance proceeding called supplemental examination that allows patent owners preemptively reduce the likelihood of being accused of burying .In here we review the inequitable conduct doctrine and discuss whether both en banc decision and AIA legislation can cure, or stem the drawback of the doctrine. Finally, the thesis will make a conclusion and giving advice.

    目錄 第一章 緒論 1 1.1研究意識 1 1.2研究方法 3 1.3研究架構 3 第二章 不正行為理論發展 5 2.1衡平法 5 2.1.1背景 6 2.1.2救濟 7 2.1.3與普通法之關係 8 2.1.4 eBay Inc. v. MercExchange, L.L.C. 10 2.1.5 小結 17 2.2不潔之手理論(Unclean Hands) 18 2.2.1概論 18 2.2.2理論要件 19 2.2.3相關判決 20 2.2.4 同等過失理論 21 2.3 不正行為理論前導 23 2.3.1 背景 23 2.3.2 Keystone Driller Co. v. General Excavator Co. 24 2.3.3 Hazel-Atlas Glass Co. v. Hartford-Empire Co. 25 2.3.4 Precision v. Automotive 27 2.4 Therasense v. Becton,Dickinson前之不正行為理論 31 2.4.1 背景 31 2.4.2意圖 35 2.4.3 重要性 39 2.4.4 權衡 44 2.5 Therasense v. Becton,Dickinson 46 2.5.1 事實背景 46 2.5.2 重要性標準 50 2.5.3 意圖標準 53 2.5.4 廢棄「移動尺度法」標準 55 2.6 小結 56 第三章 美國專利法之揭露義務制度 61 3.1揭露義務制度之意義與簡介 61 3.2揭露義務之背景與法源 62 3.3誰有揭露義務 64 3.4揭露義務之期間與IDS提出的時間 65 3.5資訊揭露聲明書(IDS)內應有之內容 69 3.6應揭露之資訊 72 3.7 違反揭露義務與小結 78 第四章 補充審查制度 81 4.1背景 81 4.2 主體 82 4.3 時機 83 4.4 如何適用 84 4.4.1 申請人之誠實義務 88 4.4.2 專利價值最大化 88 4.5 小結 89 第五章 結語 91 參考文獻 94 附錄  99

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    美國判決(依照年份)
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    2010).
    中文書籍
    [1]鄭中人,專利法規釋義(2009)
    [2]鄭中人,智慧財產權法導讀(三版)(2008)
    [3]吳庚,行政法理論與實用(2006)
    [4]黃文儀,專利侵害論(2013)
    [5]王承守 、 周延鵬 、 陳郁婷 、 鄧穎懋,跨國專利侵權訴訟之管理(第二版)(2006)
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    [8]蔡明誠 專利法(培訓學院教材02)(4版)(2013)

    中文論文
    [1]林育輝,美國專利不正行為法則的發展-兼論於我國專利制度中之適用性探討,國立交通大學管理學院碩士在職專班科技法律組碩士論文碩士論文(2010)
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    [3]陳志光,專利申請人不正行為規範之研究-以台灣及美國法之比較
    為中心,台灣大學碩士論文(2009)

    中文期刊
    [1]尹守信,由Agfa v.Creo案談美國專利法上之揭露義務,智慧財產權月刊96期(2006)
    [2]葉德輝,美國專利商標代理制度之研究,智慧財產權月刊90 期(2006)
    [3]王錦寬、林敏浩,簡介美國專利制度之資訊揭露聲明書,智慧財產權月刊37期(2002)
    [4]蔣犀勐,二元法體系及其衡平法發展,西南政法大学電子期刊2009年第6期,(2009)

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