自1980年以來，台灣企業逐漸於國際商業競爭上嶄露頭角的同時，也開始面臨智慧財產保護課題。 2003年3月，聯發科為全球獲利最高的IC設計公司，美商DVD播放機控制晶片供應商ESS正向系統客戶送樣（預計4月開始出貨），以增加客戶採用之可能性的同時，在美國北加州聯邦法院向聯發科提起專利侵權訴訟，禁止聯發科使用DVDPlayer單晶片（SoC）播放機銷往美國；6月初，傳出ESS與聯發科達成和解，金額從數千萬美元到1億美元，消息傳出，聯發科股價一度下滑近10%，市場與法人同步傳出聯發科將面臨官司敗訴，需賠償1億美元，據悉聯發科高層對消息提前曝光相當震怒，傳出對消息外露人員處以解職。6月中，聯發科宣布與美商ESS簽訂技術授權合約，未來2年內，聯發科將支付9,000萬美元的權利金。 2004年3月，美商Zoran向美國國際貿易委員會（ITC）控告，聯發科侵犯CD/DVD控制器設計架構，以及直接連結IDE/ATA資料埠的主端界面控制器等相關三項專利權，隨後又向美國洛杉磯地方法院提起專利侵權訴訟，除請求賠償金以外，亦要求美國法院發出禁制令，命令聯發科之侵權相關產品不得輸往美國；聯發科則回應，因尚未收到任何正式文件，委由美國律師了解，俟收到正式文件後再對外說明；同年7月，聯發科也在美國德拉瓦聯邦地方法院對Zoran提起專利侵權訴訟，2005年9月ITC判定聯發科敗訴，市場傳聞聯發科已提列準備金8億元；2006年1月，雙方達成和解，聯發科支付8,500萬美元權利金給Zoran，侵蝕聯發科該年獲利約10％。 而跨國專利侵權訴訟有別於傳統訴訟的特殊性在於(1)跨國性：涉及於不同國家企業、不同國之涉訟地、不同國之市場與生產。因在跨國企業之布局運籌下，訴訟地必定尋求最有影響力之地點，通常為美國及中國，案例中由於ESS及Zoran均為美商，因此在美國提起對聯發科之訴訟；(2)計畫性：為達成商業目的而規劃之訴訟，案例中，ESS對聯發科基於競爭關係而提出訴訟，目的在於增加訂單、減少競爭；Zoran對聯發科則基於增加營收之目的，要求侵權損害賠償，作為過去一年之營運虧損。換言之，為自己或客戶增加營收及訂單、減少競爭，為其訴訟計畫之最終目的；(3)規模性：為了增加影響力與壓力，往往在許多國家同時提起，對象從侵權者擴及其下游客戶，攻擊點既廣且深；(4)繼續性：訴訟期間，影響客戶對其之信任及訴訟管理能力形象；案例中，聯發科雖有傲人之獲利能力，然而在與ESS一案中，卻顯出訴訟管理能力之薄弱，導致Zoran效而尤之，此形象一旦形成，勢必將為聯發科帶來更多不必要之侵權訴訟紛爭；(5)組織性：將訴訟工具與企業組織做連結，融入組織文化以全面改善，並由此發展一套標準作業流程，案例中Zoran習慣性地在提起訴訟前，先於市場發放消息，造成市場恐慌以形成其客戶之壓力，並使該壓力轉嫁至侵權對象，使其容易屈服；(6)資源性：跨國專利侵權訴訟必須具備以下基本要件，「錢多」因需支付龐大之訴訟費、律師費、專家費、賠償金及權利金、並有能力迴避設計及改變模具，並需有喪失市場及流失營收之心理準備。「人多」因訴訟之故，需具備詳盡之專利資料庫建立、調查產業/技術/產品/競爭者分析等資料為因應，並有訴訟規劃人員、應訴人員、支援人員等龐大後勤單位。「命長」因企業必須有能力支撐營運，不致在訴訟過程之謠言紛擾中倒下，案例中，均有市場傳言紛擾之問題，足以說明。 自1980年以來，台灣廠商歷經歐洲、美國、日本等大廠商之專利侵權訴訟逼迫下，付出了昂貴的代價，因此開始投入鉅額資金為研發、申請專利，近十年來台灣企業在美國、台灣、中國所申請的專利申請費用便高達了一千九百多億台幣，加上遭受了至少一百多件跨國專利訴訟的訴訟費用，便高達兩千億之多，尚不包括每年支付的權利金也高達台幣一千五百多億台幣，足以養活台積電兩萬名員工及影響四十七萬名股東生活長達兩年之久，足見台灣廠商在研發及專利申請方面之投入程度及所花費心血之鉅。 然而，審視台灣企業近十年在專利侵權訴訟方面之表現，發現：（1）每年均有影響台灣產業發展的專利侵權訴訟發生；（2）遍及每個產業；（3）以被告居多；（4）和解的以付出鉅額權利金居多；（5）打完訴訟的以敗訴居多。 由此可見，台灣企業付出昂貴的研發費用、專利申請費用之後，並沒有改善台灣企業年年被告、年年支付鉅額權利金、損害賠償金的宿命，在高度的付出之下，卻沒有改善在國際研發方面的地位，顯然付出與獲得顯不成比例。 智慧財產的創造、保護、管理，其中的費用包括研發費用、專利申請費用、訴訟費用、權利金及損害賠償等，美國企業是在研發、專利申請支出了龐大的費用，然而可以在訴訟費用、權利金及損害賠償中賺回來，亦即至少符合投資報酬率，然而，反觀台灣企業，不但在研發、專利申請時支出了龐大的費用，在訴訟費用及權利金、損害賠償方面，不但沒有賺回來，反而必需支付更多的金錢，顯然的，台灣企業在跨國專利侵權訴訟管理的方法論上出了極大的問題，而有立即改變之必要！ 有別於過去文獻侷限於「文獻與法規的翻譯」、「片段案例的選擇討論」、「過多理論的探討」、更幾乎沒有人探討重要的「中國專利侵權訴訟」，以致於見樹不見林，徒有理論而不會操作，消耗過多精力與資源於繁瑣而不重要的法律細節，卻無法猜透國際企業專利侵權訴訟背後的策略運籌，導致不能真正打贏過一場戰爭。 因此，本文提出一套跨國專利侵權訴訟管理之機制，橫跨最重要的兩個世界市場—美國、中國為主，法律面提供詳盡完整的如警告信發送、起訴、審前會議、馬克曼聽證會、發現程序、審判程序、專利無效程序、訴前救濟、保全措施等訴訟程序、制度規定與流程架構；企業管理面提供包含研發、生產製造、市場行銷、財務、會計、租稅、外部律師、專家、公證人等全面性管理策略，以大量實證的方式分析整理、以豐富的跨國專利侵權訴訟實戰經驗寫成，期望能使台灣產業真正打贏一場戰爭。 / Since 1980, Taiwan companies had been sued by European, U.S.A., Japan companies for patent infringements and forced to pay out enormously. Therefore, they started to invest tremendous amount of money and resources in research & development (R&D), as well as in patent prosecution. Last decade, Taiwan companies had already spent up to 190 billions New Taiwan Dollar (NTD) in U.S.A., Taiwan, and China patent prosecution and maintenance fee. Yet, if added up the cost of hundreds of transnational patent litigations, the total amount was up to 200 billions NTD and it did not include Taiwan companies had to pay out 150 billons NTD royalty yearly. 190 billions NTD for example could provide for twenty thousand employees and influence 470 thousand shareholders in Taiwan Semiconductor Manufacturing Company (TSMC). This certainly exhibited that Taiwan companies had been invested magnificently in R&D and patent prosecution. However, examining the outcome of patent infringement litigations of Taiwan companies in last decade, it shows: (1) every year there are critical patent infringement litigations which influence the development of Taiwan industry; (2) litigations are throughout all important Taiwan industries; (3) in most of time, Taiwan companies are defendant , not plaintiff; (4) Taiwan companies reach the settlement with paying a great sum of indemnification and royalty mostly; (5) most Taiwan companies lose in the litigation. As the above described, although Taiwan companies have invested enormous resources in R&D and patent prosecution, it does not change the situation which every year Taiwan companies are sued for patent infringement, have to pay out a great sum of indemnification and royalty, and certainly still stand in indifferent position of the R&D value chains. After all, what Taiwan companies obtain is not what they expect from their investments. The cost of creation, protection, management of intellectual property include R&D, patent prosecution, patent litigation, royalty, and indemnification. Although U.S.A. companies invest a lot in R&D and patent prosecution, they usually earn back from patent litigation, royalty, and indemnification. However, Taiwan companies not only invest tremendous money and resources in R&D and patent prosecution, but also pay out much for royalty or the outcome of patent litigation. Obviously, Taiwan companies have some serious problems in their methodology of management transnational patent infringement litigations, thus it is very crucial to change their methodology immediately! Taiwan theses and studies usually fall into “translating foreign papers, laws and regulations ”, “discussing the choice of some parts of cases”, or “studying theories excessively”, also almost no inquires into patent litigations in China. Consequently, the discussions and studies of patent litigations in Taiwan have never brought out the whole picture and practical actions of strategic management of patent litigations. Obviously, most studies spend too much efforts and resources on legal details and ignore the most important matter which is how international companies control and manage transnational patent litigation. As a result, Taiwan companies never learn how to win a patent litigation war. Therefore, this thesis is different from other Taiwan theses because this thesis provides a mechanism of managing transnational patent infringement litigations. Prominently, this thesis covers patent litigation procedures and management in the most significant markets in the world—U.S.A. and China. In the legal aspect, this thesis provides information on the complete litigation procedure in U.S.A. and China which includes cease and desist letter , service, pre-trial conference, markman hearing, discovery, trial, patent validity procedure, pre-trial injunction, protective injunction; in the management aspect, this thesis provides complete management strategies which shall be carried out as the regular basis and during a patent litigation while managing R&D, manufacture, marketing, finance, accounting, taxing, law firm and lawyer, expert, judge performing notarization. Most importantly, this thesis analyzes enormous patent litigation cases and industrial information, therefore this thesis is able to provide the first and never-seen practical structure for Taiwan companies to win a patent litigation war.

西元2005、2006年間，臺灣數家知名手機代工業者，或是從手機代工兼跨經營自有品牌的手機業者，透過與國內、外企業所進行之整併活動，上演多幕併方與被併方商業資源之切割、位移與重新整合的戲碼，而除決意退出賽局的企業不論，其他繼續競逐的業者，似正利用整併活動，快速囊闊並整合企業繼續成長壯大所需的商業資源。 其中，在明基整併西門子手機事業案例中，併方明基集團明確指出，透過整併，希望能取得被併方手機相關之智慧財產資源，包括核心專利、有限期的商標使用權及人員、技術等。且併方亦表示，取得被併方手機相關核心專利與品牌使用，是該整併案中重要標的，更是決意整併與否的關鍵因素，故在本件整併，併方對於取得被併方手機相關核心專利與品牌使用，顯然有高度之期許與重視。 讀到上開資訊，腦海中所伴隨著的問題意識，包括：究竟台灣手機業者透過整併活動，取得知名手機大廠所擁有之核心專利，其商業目的為何？倘若取得此等核心專利，有其商業價值，依據併方擬達到之商業目的，併方應於整併前，進行何等相應評估與規劃作業？此外，在取得國外知名手機廠商授權商標使用權能部分，此等商標使用權能之取得，究竟併方商業目的何在？倘併方看中的是，被併方商標具有品牌價值，那麼奠基手機品牌價值之價值活動為何？且併方應透過何等途徑，才能順利位移被併方之品牌價值到併方身上，並讓併方據此更佳蓬勃？ 本論文以上開問題意識出發，於論文各章節中，進行相應之探討。而明基整併西門子手機事業之案例，恰好提供豐富的商業基礎事實，故本論文援引此一案例，作為研究與論述基礎，並藉由實際案例所提供資訊，讓學術討論更具意義。 經本論文研究結果認為：倘若併方將被併方核心專利與商標使用權能之取得，列為整併重要標的，在進行此等整併作業時，併方應依據所設定之商業目的，事先應有一套完整的評估作業（本論文嘗試提出評估作業架構圖），亦需規劃後續相應配套執行作業，如此，始能提高商業目的既遂的機率，並且避免讓『大機會』變成『大風險』，而且，在併方取得被併方商標使用權能部分，併方應先明辨商標與品牌之不同，併方於使用被併方之商標，也應事先確定其具品牌價值且無嚴重的負面印象存在。 基於以上研究結論，筆者進一步提出幾項建議如下，作為本論文研究成果： 一、併方整併被併方智財資源之具體標的，倘在於核心專利取得。建議併方應於整併前，對所取得之專利是否為核心專利先予驗明正身，而且必須設定取得核心專利之明確商業目的，後續也應依據商業目的，具體規劃相關評估與執行作業。 二、若欲讓整併目的既遂並降低相關商業風險，整併前之評估作業，至為關鍵，建議未來進行類似整併案件之併方，務需於雙方拍板定案簽約前，即投入相當人力物力資源進行評估與資訊情報蒐集作業，而不是於拍板定案後，才臨機應變並見招拆招。 三、併方取得被併方之核心專利，本質上存有有哪些風險，建議併方亦需清楚臚列評估，並應於雙方併購合約中透過合約約款之設計，讓併方之商業風險有效控制與降低。 四、在取得被併方商標使用權能部分，建議併方事先應評估被併方商標是否具有品牌價值，並找出奠基被併方品牌價值之因素，且併方應明確區分品牌價值與品牌知名度之不同，進而仔細評估被併方品牌究竟是有真實價值，還是徒具知名度而已。 五、確認被併方商標具品牌價值後，若欲將被併方品牌價值真實位移到併方體內，建議併方應將被併方企業價值活動盤點，並進行去蕪存菁作業，進一步將有價值之企業活動加值，亦需將雙方企業活動整合與融合，如此被併方之品牌價值始能真實位移，而不是曇花一現。 六、又，不論併方品牌策略之操作，是採單一品牌或雙品牌操作模式，如果被併方授權商標使用是有期限的，併方應考慮到使用期限屆至後，儲蓄在被併方商標上的品牌價值應如何順利位移承接到併方商標上，以及在採行雙品牌策略後，當併方之品牌脫離了被併方之品牌，要如何自立不受影響。 / In 2005 and 2006, several renowned mobile phone OEM or branding companies in Taiwan were merging, sinning off and/or restructuring through their local or foreign affiliates. Except some were intended to exit the market, most were utilizing the merger and acquisition to combine various resources to grow in their sizes. In one of the cases, the merger of mobile phone business units of BenQ – Siemens, BenQ clearly indicated that through the merger, BenQ intended to acquire the intellectual property resources from Siemens including the essential patents, license of trademarks, technical supports and know-how, etc. BenQ also indicated that the acquisition of licenses of Siemens’ essential patents and brand name usage regarding mobile phone business would be the major target in the merger deal, as well as the turning point as to whether the merger should proceed along. In that case, therefore, BenQ highly expected to obtain licenses of Siemens’ essential patents and brand name regarding mobile phone business. The foregoing paragraph raises certain issues: what is the business purpose of a Taiwan mobile phone company to obtain the essential patents from other renowned and sized mobile phone branding companies? Assuming such business purpose is found, what kinds of evaluations and feasibility studies the merging company should conduct before the merger closing, in order to warrant the business purpose? Besides, what is the business purpose for the merging company to acquire from the renowned company a license to use the trademarks? If the merging company views such trademarks not as merely trademarks, but largely focuses the branding value added by the merged company with such trademarks, one would ask a question: where are the activities that have created and supported the mobile phone branding value? Through what ways, the merging company is able to successfully transfer the branding value from the merged company to the merging company and develop its business prosperously with the transferred branding value? This thesis starts with the above issues and discusses the relevant topics in various theories, using the ample business materials and facts in BenQ – Siemens merger as a base for case study so as to make the theory discussions in this thesis in a more practical sense. The research conclusion in this thesis indicates: If the major target in the whole merger deal is to acquire essential patents and trademarks from the merged business, the merging business must establish a complete feasibility assessment program in accordance with the intended business purpose (the thesis intends to provide a illustration charts for such assessment program) before the closing, and a well coordinated implementing procedures for post-closing operation, in order to higher the probability of meeting the intended business purpose while lower the possibility of spoiling a “great opportunity” into a “huge risk”. In addition and beforehand, the merging business should be able to tell the specific differences in nature between the brand names and trade marks. The merging business should also clearly identify the merged branding value, and further, ensure there is no negative impact in applying the merged branding in its business. Based on the conclusion stated in the preceding paragraph, the author thereby submits the following recommendations as a result of the research in the thesis: 1.If the specific target for a merging business seeking to combine intellectual property resources of the merged business is to obtain the essential patents from the merged business, it is advisable for the merging business to, before the merger, identify whether the patents proposed to be acquired are indeed essential patents in relevant industries, establish a clear business purpose feasibly achievable by acquisition of such patents, and establish an assessment program and a well coordinated implementing procedures operation in accordance with the established business purpose. 2.It is extremely imperative to conduct a solid and full-scaled pre-closing feasibility studies so as to reduce the business risks in merger deal. It is advisable for a merging business to devote considerable resources to conduct evaluation and information gathering before merger closing, and not to remedy and mitigate the case in post closing days. 3.It is advisable for the merging business to identify and list in detail the risks in acquiring the core patents from the merged business, and further structure through merger related contracts to effectively control and minimize such risks. 4.It is advisable for the merging business to clarify whether the proposed trademarks are having true branding value, find the factors within the merged business creating and supporting such branding value, clearly tell differences between branding value and brand popularity, and then carefully assess if the proposed brand name is powered with the true branding value or merely covered with a wide popularity. 5.After identifying the branding value of the proposed trademark, if the branding value is intended to be transferred into the merging business, it is advisable for the merging business to conduct a full examination on the previous branding value activities of the merged business, and adjust/develop the value-added items of new activities by continuing joint efforts of corporate businesses, not a flash show in the market. 6.No matter the marketing strategy is by single brand name or combined dual brand name, if the proposed trademark usage is limited by time expiration, the merging business must consider after the expiration, how to successfully transfer the branding value of the proposed trademark to existing trademark originally held by the merging business, and how to maximize or maintain the independent branding value of the existing trademark after the expiration.

隨著知識經濟時代的來臨，許多企業、機構開始投入龐大的資源在智慧財產的發展，並規劃所謂智慧財產策略，標榜智慧財產是其最大價值及獲利所在，然而，這些為取得智慧財產所付出的鉅額代價，是否真的為企業和機構創造出高價值的智慧財產並帶來豐厚的利潤？以台灣為例，2005年台灣的專利申請數量，在美國排名外國申請人第四名，在日本排名第三，在歐洲也僅次於日本和韓國排名亞洲第三；而專利獲准件數方面，在美國排名第三，在日本也高居第二。但是，台灣每年花費超過新台幣100億元在專利申請上的結果，卻係每年仍需支付高達新台幣1500億元之多的權利金，以及每年新台幣500至600億元之律師費以應付美國專利侵權訴訟，而造成此結果的原因就在於整個智慧財產從研發、保護、經營、管理到行銷，都欠缺規劃、理論、方法和商業模式，而全球現今亦尚未有針對智慧財產發展出來之行銷學或行銷理論。 　　以有形產品和服務為基礎形成之行銷學理論發展迄今已有五十餘年的歷史，不但帶動了相關產業的發達，滿足了市場的需求，也為企業創造了獲利，而各種行銷學理論更是不斷形成和發展，包括運用市場區隔（segmentation）、選定目標市場（targeting）及定位（positioning）的STP程序，以及有形產品的4P、4C、6P、3V，和服務行銷的7P、8P等等，該等行銷理論雖然成熟，惟因智慧財產性質特殊，使得有形產品和服務之行銷理論無法直接套用於智慧財產行銷上，因此，實有必要針對各種智慧財產態樣，分別建構智慧財產之行銷理論及商業模式。 　　基此，本文試圖建立一套完整的專利行銷理論和商業模式，建構流程和步驟如下：(一)發展專利行銷之環境條件；(二)專利行銷應考量之因素；(三)專利行銷流程之組合要素；(四)專利行銷執行規劃；(五)專利行銷商業模式。本文並融合前述專利行銷理論，架構出發展專利行銷所需之平台系統，以及專利行銷執行中所需之配套措施，包括代理及經銷機制、會計財務制度和稅務規劃。此外，本文亦就全球包括台灣在內的一些較著名之智慧財產交易平台深入分析、檢視，並探討渠等可能面臨之問題和困境。本文在架構智慧財產行銷理論時，著重於涵蓋並融合整個組織內部和外部的研發創新、經營管理和市場行銷之作業流程，祈有助企業建立以市場為導向之商業發展策略和創新研發計劃，有助政府的產業政策得以使整個國家產業鏈規劃更完整、資源配置更具效益，有助研發機構之研發計畫更貼近產業和市場需求。 / With the emerging of knowledge-economy era, lots of enterprises and institutions begin to invest huge amount of resources in the development of Intellectual Property (“IP”), and to develop so called “Intellectual Property Strategy.” Some of them will try to boost its reputation by highlighting that intellectual property is their most valuable assets and the source of profits. However, it is questionable whether those IP related significant investments really create high value IPs and bring in high margin profits for these enterprises and institutions. Take Taiwan as an example, Taiwan has been ranked as the top fourth foreign applicant in the US in comparison of the total quantity of patent applications in year 2005. The same ranking for Taiwanese patent application in Japan is top 3 and Taiwan is also ranked as top 3 among Asia countries in Europe (only fewer than Japan and Korea.) As for the total amount of patents granted, Taiwan is top 3 in the US and top 2 in Japan. Nevertheless, even though Taiwan has made an annual investment for more than NT$10 billion in patent applications, it is estimated that annually Taiwan still needs to pay more than NT$150 billion for patent royalty fees, as well as 50 to 60 billion of legal fees in responding to US patents infringement litigations. The reason is the lack of strategic planning, theory, methodology and business model in the overall IP areas, including from Research & Development to IP protections, business operation, management and marketing. In addition, currently there is no marketing research or marketing theory specifically developed for IP in the world. 　　There are more than 50 years of history and development in the marketing study or theory that based on tangible goods and services, such study not only promoted the vibrant development of related industries, fulfilled the market needs, but also generated profits for enterprises. In the meantime, all kinds of marketing theories continue to emerge and develop, including the STP procedure for leveraging market segmentation, market targeting and market positioning, and the 4P, 4C, 6P, 3V theories focused on tangible products, and the 7P, 8P theories applied to service marketing. Although these theories are quite mature, due to the special nature of IP, these theories focused on tangible goods and services still cannot directly apply to the IP marketing. Therefore, it is really necessary to separately build up unique marketing theories and business models specially focused on different kinds of IP. 　　Based on the above, this thesis is trying to establish a set of complete patent marketing theory and business model. The flow and process are: (1) the environment conditions for developing patent marketing; (2) the factors that need to be considered when conducting patent marketing; (3) the necessary components in the process of patent marketing; (4) the implementation planning for patent marketing; (5) the business model for patent marketing. This thesis also combines the above patent marketing theories to establish the platform system which is necessary for developing patent marketing, and also a complete set of supporting measures which is necessary for implementing patent marketing, including agent and distribution mechanisms, accounting and finance system, as well as tax planning. In addition, this thesis also conducted in-depth analysis and review on some of the well-known global (including Taiwan) IP transaction platforms, and also study potential issues and challenges these platforms may encounter. During the structuring of IP marketing theory, this thesis focuses on covering and integrating all the internal and external 　　organizational operation processes related to R&D, innovation, business management and segment marketing. The author wishes to assist enterprises by building up market-driven business development strategy and R&D/innovation plan; to assist the government by improving the industry development policy to establish a more complete country wide industry value-chain planning and a more efficient resources allocation plan; and to assist the research institutes by creating a research and development plan which is more close to industry and market needs.

技術標準化與相關智慧財產權保護，一直以來為智慧財產權法與競爭法的交集與爭議的話題。其中又以標準必要專利侵權糾紛為主。基於標準必要專利權人與前在被授權人雙方的立場，其中目前最具爭議的問題應該涉及禁制令救濟的適用性或以F/RAND授權原則為基礎的抗辯來排除侵權。 標準制訂組織（Standard Setting Organization, SSO）訂定F/RAND授權原則承諾（Fair, Reasonable And Non-Discriminatory）於其智慧財產權政策，要求標準專利權人應以公平、合理且無歧視的授權條件，向所有標準實施者提供授權。F/RAND授權原則承諾之發展，目前趨向於強調專利權人的契約義務，以第三方受益人的立場來平衡授權當事人的談判地位；如何「符合F/RAND授權原則之授權」，目前各國尚未有明文法律解釋，對於F/RAND授權原則承諾之清楚定義與規範，目前僅有法院及競爭法主管機關之見解。 在標準必要專利訴訟中，台灣廠商處於被告之身分的狀況居多。面對禁制令的威脅，如何更清楚地了解目前各管轄法院的看法以決定訴訟或談判策略更是重要。本文整理美國、歐洲及亞洲國家之管轄法院案例，加上對競爭法架構下的標準專利授權規範的分析，最後整理如何讓F/RAND授權原則承諾成為對抗禁制令有效抗辯。希望本文能為涉及標準專利訴訟之台灣廠商提供有價值的參考意見。 / Technology standardization and intellectual property protection has been an overlapping and controversial issue between Intellectual Property laws and Competition Law, particularly when it comes to infringement on F/RAND encumbered Standard Essential Patent, SEP. From both standard essential patent owner and potential licensee’ perspectives, the most questionable issue is whether injunctive relief should be available to the holder of F/RAND encumbered SEP who committed to license on fair, reasonable and non-discriminatory (F/RAND) terms, in order to prevent a third-party implementer from practicing a standard reading on that SEP, when such implementer is willing to take a license but the parties disagree on the terms of the license. Furthermore, the definition of F/RAND has never been clearly defined by statutes or interpreted by any judiciary; interested parties could only refer to decisions or guidelines made by the judiciaries or competition authorities in different countries. It is rather common for Taiwanese companies to face F/RAND encumbered SEP law suits as the defendants. Given the even severer threat of injunctive relief, it becomes more important to understand the position each judiciary takes on this issue to have appropriate strategies on law suits and negotiation. This thesis is accordingly written on the following perspectives: firstly, starting with discussion about F/RAND-encumbered SEP law suits in the United States, Europe and Asia; secondly, bringing in SEP encumbered disputes or investigations into framework of Competition Law from competition authorities among different countries and lastly trying to present possibilities that F/RAND commitment as a cause of action under Contract Law can be applied as defense to overcome injunctive relief sought by F/RAND-encumbered SEP licensors. Meanwhile, this thesis is expected to provide Taiwanese companies valuable strategies to law suits or disputes involving F/RAND-encumbered SEPs.

在二十一世紀中， LED發光二極體更是備受期待的節能產品。過去背光源一直是LED主要應用項目，而漸漸地照明也開始採用LED產品，甚至各國已宣布將禁用白熾燈。然而，在各國政府及業者大力推廣及投入LED產業之際，目前LED產品尚未能實現市場替代效應之事實卻不容忽視。細究其可能原因，是否LED產品仍有技術功能缺陷，抑或其價格無法競爭，又者消費者對產品認知不足、終端通路尚未成熟、品牌塑造尚待建立等因素，讓消費者暫時裹足不前? 鑒於台灣在LED產業中已有完整的上中下游布局，不但是下游封裝的全球最大供應中心，近年更也逐步紮根中游晶粒產品，甚至切入上游單晶基板、磊晶產品製程。故此，本研究希冀探查現有LED產品所遭遇之困難，以功能品質及經濟價值等角度，找尋可突破市場瓶頸之關鍵因素，並針對其中可進行專利檢索及分析的較具技術性因素：LED單晶基板，以中國大陸此成長最為顯著之市場作為專利檢索及分析之核心地理區域，探討LED單晶片基板之專利發展趨勢以及研發參考目標及方向。 在進行專利檢索之前，本研究將先行剖析現有LED單晶片基板的應有功能、重點特性、4大類基板材料選擇與其最新研發優勢，包含藍寶石、碳化矽、矽、氮化鎵，以助於後續專利檢索及分析結果之觀察思考。本研究的結論與建議將分別針對不同的LED單晶片基板材料選擇，以專利分析結果對照其市場發展近況，向台灣業者提出藍寶石、碳化矽已係過度競爭、不宜進入的項目，並在最後建議台灣業者仍可持續投入研發LED矽、氮化鎵基板材料，以及額外以技術與應用創新增加其產品的市場連結度及應用產業競爭利基。 / Nowadays LED has become a future mainstream of highly expected energy-saving product. Back-lighting has been the main application for LED, such as in monitors, and furthermore lighting has grown its market size into significance. However, it should draw attention that LED products has not yet fully replace conventional lighting as expected, due to a number of possible factors, including functions, prices, consumer awareness, channeling, and/or branding. In light of the fully established LED industry in Taiwan, including the largest downstream packaging supply source, mature middle-stream wafer production and leading upstream epitaxy and substrate manufacturing, this study aims to seek and find the patent searchable and analyzable part of the current LED obstacles in product quality and economic value perspective. As a result, single crystal substrate falls into abovementioned criteria, including four major substrate materials: sapphire, silicon carbonate, silicon, and gallium nitrite. This study further concentrates the patent search and analysis on China, the fastest growing LED market among all regions and the biggest opportunity for Taiwan players. Before patent search, this study gives a detailed elucidation about four substrate materials on functions, important traits, different types and respective R&D updates and breakthrough, followed by interpretation of and association with patent search and analysis. At the end of this study, conclusions and suggestions are given, based on Taiwan players’ current relative strength and weakness. In sum, sapphire substrates and silicon carbonate substrate have overly competitive patent and market situation, and silicon substrates and gallium nitrite substrate may allow Taiwan players to continue and/or reinforce R&D investment. Additionally, technology and application innovation could increase product-market linkage and competitive edge in LED application industry.

快速時尚為目前服飾零售業的主流經營理念，快速時尚服飾零售業者自時裝週伸展台上的華服汲取靈感，透過對供應鏈的設計與改良，縮短產品自設計、生產到上架的時間，販售高度客製化的流行服飾產品。同時，隨著網路購物市場持續膨脹發展，網路購物模式不斷新生，如團體合購與代買、代下標、連線等突破跨國購物障礙的中介服務。快速時尚的即時生產概念與暢通的網路通路，彷彿仿製時裝的雙翼，使之如蒲公英的種子般輕盈地飄落全球、遍地開花。 　　在仿製時裝的態樣及規模皆與過往顯著不同的當下，智慧財產權相關法律制度是否賦予原創時裝設計師保障？在專利權與商標權方面，由於時裝設計的流行性本質與新式樣專利之創作性要件有所矛盾，亦不易符合立體商標之識別性要件，且專利權與商標權須申請註冊獲核准始受保護，設計師得花費大量時間、費用及作業勞力成本，所費不貲，設計師與欲藉該二種智慧財產權維護其權益，既有難度也不適合。而在著作權方面，本研究一一檢視著作權取得要件後，則認為時裝設計為得受現行著作權法保護之客體，且不限於平面形式之時裝設計圖，立體形式同受保護，原創時裝設計師得依該法主張權利。 　　我國司法實務見解及近期行政函示亦肯定時裝設計受著作權法之保護，認定抄襲改作屬侵害他人時裝設計作品著作權之行為，就此本研究擇我國時裝設計侵權訴訟中的代表性案例，分析法院判決理由。本研究另挑選美國最新時裝設計侵權訴訟二案，進行個案分析，自該二案例顯見於法律並未明文保護時裝設計之情況下，訴訟並非有效對抗仿製時裝之手段。 　　最後，本研究以產業分析、法律分析及個案分析之研究結果為基礎，分別對政府與企業經營者提供建議：政府應釐清時裝設計產業政策走向，選擇較適我國之快速時尚服飾零售業扶植之，繼而朝有利發展快速時尚服飾零售業之方向解釋著作權法；我國快速時尚服飾零售業者應穩固基礎建設、善用網路通路，前進大中華市場；我國原創時裝設計師則應注意各國法制動態，提升商品與服務品質，並把握利用侵權訴訟宣傳行銷品牌之機會。

中國13億人口的內需市場已為各產業的新興目標，尤其是在醫藥產業，中國政府於2009年宣布將投注8,500億人民幣改革中國整體醫藥建設，更為目前身處於台灣飽和市場的本土藥廠的發展契機，加上兩岸近期簽署的兩岸經濟合作架構協議(ECFA)，未來兩岸商業互動將更為頻繁。台商藥廠如何在這各界搶占的中國市場占有一席之地？掌握通路即掌握市場。 影響通路建構的因素分析，是企業市場營銷的首要步驟，公司對影響通路建構的因素越是瞭解，越是能掌握變動的市場，做出調整以因應環境的變化。本研究首先從中國醫藥品生產企業發展概況的分析，引導出跨國藥廠(歐美等國與台灣企業)進入中國市場常見的問題，並研究影響其通路建構須掌握的三大分析構面，包括醫療體制、藥品管理相關法令，以及流通企業等。 在醫療體制部分，中國的醫療市場主要集中在國有醫院(public hospitals)，但國有醫院的營銷環境複雜，受到許多來自政策、地方主義、關係資本等因素的影響，使得外來投資企業在經營中國國有醫院市場上，皆需要各方面相當的營銷資源才足以支撐。 在藥品相關法令部分，中國政府為了整頓醫藥市場混亂的景象以及減輕民眾的用藥負擔，於1998年起陸續頒布了許多藥品管理相關法令，包括國家基本藥品目錄、藥品價格管理制度，以及藥品集中招標採購制度等，這些法令雖然規範與體制化了中國醫藥市場，但也約束了醫藥通路終端市場的藥品採購，並使藥廠的通路建構彈性大幅受限。另外，雖然過去由於中國專利法發展遲滯，致使許多歐美企業無法在中國發揮藥品發明專利之市場壟斷的作用，但中國於2007年再次修定並頒布新實施的藥品註冊管理辦法，已將中國的藥品專利保護之法律與行政制度進行初步連結，未來兩者整合性的發展，將塑造出更有利於擁有強大技術與專利能量的藥廠生存的環境，此為台商不可忽視的重要課題。 在流通企業部分，中國流通企業不僅了解當地行規，通常又擅長多角化經營，掌握了大多的終端客戶，往往能夠提供藥廠代銷、物流、倉儲、收款等服務，故在流通企業在中國醫藥通路上扮演著不可或缺的角色，藥廠對流通企業的通路功能依賴性極大。 台商過去進入中國醫藥市場發展十幾年來的商業模式，是否還能足以因應未來更變化多端的市場環境？而後進中國市場的台灣藥廠又該採取怎樣的進軍策略？面對未來，台商更應「衡外情、量已力」，從各面向深入瞭解影響中國醫藥品通路建構的因素，除了鞏固既有醫藥市場與通路資源外，更應積極思考如何提高通路系統的附加價值，開創嶄新的獲利模式。本研究後續將針對前述三大影響因素，分章論述分析，最後歸納與整理影響因素對台灣藥廠所造成的困難，並提具因應上的建議，期能提供在中國發展醫藥品市場的台商企業作為未來發展策略的參考依據。 / China’s great market demand has become the new target for international enterprises, especially in pharmaceutical industry. China government announced the investment of 850 billion RMB to ameliorate the medical infrastructure in China, which indicates an opportunity for Taiwan pharmaceutical companies. The Economic Cooperation Framework Agreement (ECFA) between Taiwan and China will encourage a more enthusiastic interaction across the strait. Channel strategy will be the key to predominate the highly competent China market for Taiwan pharmaceutical companies. Analysis on channel construction will be the first step for industrial marketing strategy. The better a company understands the factors influential for channel construction, the better it can get control in the ever-changing market and adjust itself to cope with any alteration in the environment. This thesis will begin with an introduction on the development of pharmaceutical industry in China and thus induce some common issues with which international pharmaceutical companies are confronted in China market. It will analyze the channel construction from three important perspectives, healthcare system, pharmaceutical regulations, and logistics industry. Public hospitals play a major role in the healthcare system of China market. The marketing in public hospital involves complicated variables, including policy, local protectionism, and relationship capital. Non-local companies need every considerable resource to manage the marketing in public hospitals. In order to reform the healthcare market and lower the medical expense, China government announced several pharmaceutical regulations, including National Reimbursement Drug List (NRDL), Medicine pricing policy, and Pharmaceutical Centralized Public Bidding Procurement process. On one hand, these regulations help to put the market into order; on the other hand, it sets restricts on the retail sales and the channeling flexibility of the pharmaceutical company. Due to the slow development of China patent law in the past, moreover, a lot of American or European pharmaceutical companies could not develop an exclusive market for their drug through patent system. New Provisions for Drug Registration revised and announced by China government in 2007 established an initial connection between legal and administrative system of drug patent protection. Such integrated development will form an environment more suitable for pharmaceutical companies which possess powerful technology and patents, a significant trend for Taiwan companies’ attentions. China logistics companies understand local law and regulation and are usually familiar with multi-business strategy. They control most of the retailers and can offer sales agency, logistics, storage, and agency receipt. Logistic industry plays an important role in China pharmaceutical channel and is indispensable to pharmaceutical companies. It will be questionable whether Taiwan companies’ old business model can be sufficient for the changing China pharmaceutical market in the future. The newcomers should ponder more on their strategy for the market as well. Taiwan companies need to take the external condition and their own strength into consideration, understanding every factor of China pharmaceutical channel construction. Besides strengthening the original market and channels, Taiwan companies should aggressively enhance the add-value of channel system and find out new profit model. This thesis will focus on and elaborate the three perspectives and analyze the difficulties they bring upon Taiwan pharmaceutical companies, proposing possible solutions and future strategy for those who aim to develop their pharmaceutical business in China.

本研究旨在探討研發取得策略，情境因子，研發人力資本，與公司績效之間的關聯性。藉由理論模型的推導與實務訪談研發中心主管來發展假說，進而以混合資料模型(pooled data models)與橫斷面資料模型來進行實證分析。主要結果為：當公司的研發多樣化程度較高，專利權數目較少，公司較可能採取內外部研發並進策略(R&D hybrid strategy)，而非完全內部研發策略(make strategy)。最重要地，過度/低度的外部研發取得(under-/over-external R&D sourcing)對於公司績效有負/正向影響。相較於會計績效，此效果對市場績效的影響尤其顯著。同時，研發取得策略對於公司績效的影響，取決於公司的研發人力資本。相較於採取完全內部研發策略的公司，為了吸收外來的異質技術，採取內外部研發並進策略的公司較可能聘任不同研發種類的研發人員；而如此的研發取得策略與研發人力資本契合將進而改善會計與市場績效。本研究的發現與交易成本理論與supermodular理論一致。如同預期，相較於橫斷面資料模型，本研究的實證分析在混合資料模型較為顯著。 / The association between performance and R&D sourcing strategy in relation to contextual variables and R&D human capital is determined by the analytical model coupled with field interviews with directors or managers in R&D centers. Capitalizing on a unique database of the 2001-2003 Taiwan Industry R&D Investment Survey containing more detailed information available on the R&D activities to verify this association, the researcher tests the empirical results by cross-sectional and pooled data models. The findings are that an innovating firm will prefer to implement the R&D hybrid strategy when the higher degrees of R&D diversity and fewer counts of patents are exhibited. Perhaps most importantly, this study shows compelling evidence that over-/under-external R&D sourcing affects negatively/positively a firm’s performance. This effect is more significant in the market-based performance (Tobin’s q and average two-year Tobin’s q) than accounting-based performance (ROS and ROA). Moreover, the associations between R&D sourcing strategy and a firm’s performance are contingent on the use of R&D human capital. Innovative firms with the R&D hybrid/make strategy are more/less prone to employee diverse types of R&D experts to absorb the coming external knowledge, and such alignment between R&D sourcing strategy and R&D human capital thus improves both accounting- and market-based performance. The results are consistent with both transaction cost paradigms that discriminating alignment of transactions with strategy leads to more efficient outcomes, and the supermodularity model that a firm’s performance is a function of coherent alignment between strategy and structural elements of an organization. As predicted, these effects are noticeable and more pronounced in the pooled data model than in the cross-sectional design.

面對未來全球人口成長、可耕地減少等現象，生物技術在農業上的應用日益增加。其中，基因改造技術等基因層次相關的平臺應用技術更是提升農作物價值的關鍵—透過跨物種功能應用，大幅提升育種效率。自1996年基改作物商業化種植開始至今，美國都是全球最大種植國家，也是基改作物研發先驅國家。生技農業政策以及和基因改造作物有關法規之制訂使基改作物在美國蓬勃發展，尤其是專利保護對於種子產業之影響尤為深遠。專利權所提供的完善保護使大量資本進入種子產業，投入資源將農業生物技術應用於種子培育上，此舉也促成Monsanto等跨國農業生技公司之興起，主導全球基因改造作物之市場。 Monsanto將研發重心放在基改種子之研發，其在生技種子相關營業比重遠高於同業，同時，其投入特殊性狀之基改種子研發之回收遠高於其他公司之相同營業項目之投資報酬率。Monsanto積極藉由併購取得基因、基因轉殖技術以及種子種源。掌握關鍵基因、基因轉殖技術以及大量且優良種源使含有Monsanto轉殖基因作物在市場上佔有極大的比例。在美國，超過一半以上之主要作物種植面積為基因改造作物，尤其是基因改造大豆，佔大豆總種植面積之比例高達94%。市面上絕大多數基改大豆係Monsanto的抗嘉磷塞（RounupReady，RR1Y）基改大豆種子。藉由智慧財產保護策略，Monsanto並進一步限制RR1Y及其他基改作物之使用方式。 惟RR1Y專利將在2014年到期，農民可在2014年時留種種植基改大豆種子而不用每年購買種子，或購買學名（generic）抗嘉磷塞轉基因大豆種子。在美國所種植之大豆約有四成會外銷，而外銷國家基改作物規範法規是出口與否之關鍵。若未取得歐盟、中國等主要外銷國家基改作物主管機關之批准，呈交包括基因之轉殖植物對環境衝擊之風險評估、包含該基因之轉殖植物所製成食品之安全性評估等基改作物資訊，則抗嘉磷塞基因大豆無法進入該國糧食市場。然而，在目前美國農業生技基改作物相關規範下，學名基改種子廠必須在專利種子專利到期後，才能進行實驗及田間試驗，呈交相關資料以符合基改作物主管機關之要求。透過建立學名基改作物快速獲得核准查驗登記之程序，允許學名廠依賴專利基改作物原廠之實驗及田間試驗資料以建立其學名基改作物之安全性與性狀表現有效性，同時，允許學名基改作物在原基改作物開發廠專利期滿前即可開始進行試驗，可以使學名抗嘉磷塞大豆種子以及其他學名基改種子能在原專利基改作物種子專利到期後順利進入市場，促使基改作物種子價格競爭，並對於專利基改作物研發公司進行適度之補償，以促進產業發展。 / The development of new technologies in plant breeding has led to improvements in the efficiency scientists produce improved plant varieties. Genetic modification is among the developments that support plant breeding. The introduction of genetically modified crops has revolutionized the agriculture industry. With patent protection available on GM traits, varieties and other aspects of seed production, private R&D investments in the seed industry have increased tremendously. Monsanto has been the leading company in investing agricultural biotechnology and has obtained a dominant position in the GM traits found in soybeans, cotton, corn and other commercialized crops. Currently, over 90 percent of soybeans planted in the United States were herbicide-resistant, with Monsanto’s Roundup Ready being the dominant soybeans planted. In 2014, however, the agriculture industry will be facing the expiration of a patent for Roundup Ready soybeans. Despiate the fact that the patent expiration date is approaching, the agricultural biotech industry has no guideline in place to tell its players exactly how to transition seamlessly from patent monopolies to generic competition. The transition problem is espectially significant for soybeans exported to oversea markets as more than 40 percent of the soybeans grown in the U.S. are exported. In order for those soybeans to be accepted in the grain channel, regulatory approvals are required in countries that import soybeans. Obtaining data, which includes scitific data on the trait being developed, for regulatory approvals can take years to complete. If a generic trait is to reach market immediately after the original trait go off patent, the data generation process should begin before patent expiration. A Hatch-Waxman type patent infringement defense for activities necessary to obtain regulatory approvals for biotech traits can ensure that seed companies have sufficient time to obtain registrations for a generic Roundup Ready trait or other generic traits. Current legislation should be modified to adequately oversee the transition to the generic use of genetically modified crops and, in the mean time, ensure the availability of generic modified crops.

本文將以Quanta v. LG電子案判決中尚留解釋空間及適用疑義的「契約自由」與「專利權耗盡理論」的關係為探討標的，從公法角度（我國憲法與經濟公法角度）探求專利制度中『追求公私利益衡平』的本質著手，探討專利權耗盡理論的理論基礎及其存在的合理性，然後分析美國專利權耗盡理論及Quanta v. LG電子案判決建構出的「契約自由」與「專利權耗盡理論」的關係之妥適性，並在「在知識專用權和知識共用權之間進行利益平衡，確保專用權的授予能換來知識共用的最大利益，並最大限度地增進社會的整體福利」精神下，重新省思Quanta v. LG電子案判決的未決爭點，分析契約約定與專利權耗盡理論應有的界限，看專利行使應如何受契約的限制（或者契約自由應受到限制），以對我國專利權耗盡理論提出解釋與適用上之建議。