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

Abstract

本論文研製之目的係因所謂專利耗盡（patent exhaustion）或稱為第一次販售原則（the first-sale doctrine），是指專利權人的排他權利，不及於經合法販售的專利商品。合法購得專利商品者，不論是從專利權人自身或獲得專利權人合法授權之被授權人處購得，其使用或再販售之行為，專利權人均無權過問。 美國法將專利耗盡原則揭櫫於法院之判決。惟專利權人可否透過明訂於授權契約內之方式或在販售專利商品時附加條件，對販售後之專利商品使用做出限制，從而限制轉售後取得商品之第三人？本文試圖從美國最高法院之判決，對適用當事人排除專利耗盡原則之契約予以類型化；亦即區分在當事人間係販售專利物之販售型態（包括未附任何條件之完整式授權型態），或係授權他人使用專利權之授權型態，以上二種型態關於其約定排除專利耗盡原則之適用，若有違反時，在販售專利物之販售型態（包括未附任何條件之完整式授權型態）其效果是違反契約，另在授權他人使用專利權之授權型態，其效果則屬專利侵權。 此外，本研究再輔以美國判決分析對於專利產品使用所作之限制，依據合理原則（rule of reason）判斷該限制於系爭專利範圍內是否生專利法上效力，或專利權人的行為已經超脫系爭專利權限而生反競爭之效果。本文即以檢視美國最高法院專利耗盡原則之精神，輔以美國專利判決，探討上述問題並試圖建立判斷基準。

A procedure is Patent exhaustion, also referred to as the “first sale doctrine,” is a judicial doctrine established by the US Supreme Court that initial authorized sale of a patented article terminates all patent rights. In other words, once a patent holder sells a patented article, he may not collect royalties from the downstream makers or users of the same patented article. This doctrine protects purchasers or licensees of patented items by preventing patent holders from collecting duplicitous royalties. It raises the concern if a conditional license may avoid patent exhaustion. This paper reviews the decisions made by the US Supreme Court and examines the doctrine of patent exhaustion that are applicable for cases and contracts. In one hand, if the intent of the parties in a contract is post sale restriction or an expressly conditional sale, in order to avoid or limit application of the exhaustion doctrine, the effect of violation of such agreement is a breach-of-contract and pertinent damages are to be granted. In the other hand, if the intent of the parties in a contract is restriction on license, in order to avoid or limit application of the exhaustion doctrine, the violation of such agreement make the parties or the downstream purchasers/undertakers be subject to patent infringement liability and pertinent damages as well as injunctions may be granted.