電腦軟體與商業方法是否為可專利標的，一直是各國專利實務之一大爭點。美國聯邦最高法院甫於2014年6月作出眾所矚目的Alice v. CLS bank案判決，確立了使用Mayo v. Prometheus案的二步分析法來檢驗發明是否屬於美國專利法第101條之適格客體，隨後美國專利商標局亦因應Alice案判決而公布最新的審查基準。再加上我國亦於2014年公布最新的電腦軟體相關發明審查基準，其中對於電腦軟體與商業方法之可專利性亦多所著墨。以上種種皆使得此一爭點近期又成為熱門的話題。 本論文試圖藉由整理美國及歐洲關於電腦軟體與商業方法專利標的適格性之重要案例，歸納出美國及歐洲實務見解之演進歷程，並從美國及歐洲專利制度面討論造成不同見解的原因。再進一步分析美國及歐洲實務見解對我國2014年版電腦軟體相關發明審查基準及相關法院判決的影響。 經由本論文之研究可得知，美國實務已由原本寬鬆的認定標準轉為逐漸限縮電腦軟體與商業方法的專利標的適格性。歐洲實務雖一直堅守以「技術性」要件作為判斷專利標的適格性之核心標準，卻已將原本要求的「技術貢獻」要件移至進步性審查階段。至於我國2014年版電腦軟體相關發明審查基準，則似乎有意兼採美國與歐洲近期的判決見解來進一步限縮電腦軟體與商業方法的可專利性。本論文將比較我國2014年版電腦軟體審查基準與美國及歐洲近期實務見解之間的對應關係，並提供相關的修訂建議。

美國最高法院於2013年6月13日，發佈自2010年起纏訟多年的 AMP v. USPTO & Myriad Genetics案判決，最高法院全體一致認為，與天然相同的DNA序列，即使經過單離（isolated）仍然不具有可專利性，但補償性的DNA（complementary DNA，簡稱cDNA），則為人為發明產物具有可專利性。 判決出來後，引發各界譁然，相關基因測試業者擔心，最高法院的見解，會使基因研發的投資意願大幅減少，反而會阻礙往後創新研發。但支持者認為基因本屬人類共有產物，且否准基因專利後，能夠讓其他更低價、更有效率的檢測方法進入市場，對社會有助益。在專利權人的私有利益與公共衛生利益激烈衝突下，各方都有鏗鏘有力的理由。 美國專利商標局（USPTO）從1980年代起，開始核發與基因有關之專利，並在2001年公布「實用性檢查指引」（Utility Examination Guidelines），認為單離的人類DNA或純化DNA分子，亦可賦予專利，透過賦予專利排他權，達鼓勵研發創新之目的。從過去三十年來，基因相關專利數量劇增，也因為專利排他的特性，對現有的科學研究產生阻礙，不僅如此，對於患者而言，因為專利權人積極行使權利，成為市場唯一壟斷者，使患者無法獲得其他醫療意見（second opinion）的權利，這也是Myriad案備受矚目的原因之一。 因此，本論文將藉由AMP v. USPTO & Myriad Genetics案，重新省思對於人體基因是否具有可專利性，並整理美國司法實務過往對於可專利標的、基因專利等重要判決進行分析，最後提出本文的見解，試圖提出一些可能的解決方案。

University of Macau / Institute of Chinese Medical Sciences

本文自學理、文獻以及比較法探討與專利更正制度有關的議題，並自我國法院的判決映證、探討實務對於更正的實踐程度，並對發現的問題提出評析及建議。具體而言，本文除介紹我國的專利更正制度外，亦就日本、歐洲、中國大陸及美國與專利核准後得更正的制度為介紹，並就申請更正時點、更正內容限制以及更正的效力等議題為綜合性之比較，再探討我國更正制度本身可能存在的問題並提出解決問題的可能方向；此外，本文亦探討更正與民事專利侵權訴訟間的諸多問題，包含民事法院得審理專利更正的依據何在、更正在民事訴訟中的性質為何以及核准更正之行政處分對於已做成之民事判決的影響等。

本論文以最高法院涉專利侵權民事訴訟判決為分析對象，而進行類型化的研究。本論文發現此類判決可分為「法律解釋爭議」、「專利爭議中鑑定報告證據力的認定爭議」、「損害賠償請求權或其他請求權基礎之爭議」、以及「特殊問題」等四個類型。而根據此類型化方式，我們可以系統化看待最高法院的判決對專利法發展的影響和貢獻。 / In this thesis, several patent infringement decisions of the Highest Court were analyzed for grouping. The decisions were further grouped by the legal issues therein into four types, “question of law,” “evidence of patent infringement analysis,” “cause of action,” and “special issue.” Through the grouping, the effects and contributations of the Highest Court over the patent law can be systematically studied.

懲罰性賠償金為英美法傳統下之制度，其目的在於以超越實際損害數額之賠償金，制裁主觀惡性程度特別重大之侵權人，與一般用以填補損害之補償性賠償金有本質上之差異。昔日多適用於被害人尊嚴遭嚴重侵犯之案件，然隨現代經濟社會之發展，亦漸用於處罰公司法人、制裁經濟犯罪。 我國侵權行為法主要繼受德國之體系，以損害填補為原則，故僅於特定領域之立法中承認懲罰性賠償金制度。現行專利法採取懲罰性賠償金之立法例，而目前經濟部之修法草案則擬廢除。 本研究首先介紹美國法發展趨勢、實務重要案例與晚近之專利改革法案，歸納其趨勢為「嚴格限制故意侵權之構成、提高專利權人舉證責任、限縮懲罰性賠償金之適用範圍」；其次，以實證方式分析台灣智慧財產法院歷年相關之判決結果，認為實務運作有「大多數請求懲罰性賠償金之案例，連侵權責任都尚未構成，有請求浮濫、逼迫被告和解之嫌」、「法院認定侵權人故意，實質上往往僅論及侵權人『知悉系爭專利存在』即可，相較於現行法標準實過於寬鬆」；最後，綜合美國法發展趨勢、我國實務情形、懲罰性賠償金功能論與法律經濟分析觀點，認為我國尚不宜廢除專利侵權懲罰性賠償金制度，惟應將其限縮適用於「搭便車」與「專利有效性毋需再確認」之故意侵權情形，以降低社會研發成本、賦與從事研發者挑戰垃圾專利之機會，方切合專利法促進研發之本旨。 / Punitive damages, a traditional system under the common law, aims to sanction those infringers having substantially subjective malice by awarding enhanced damages beyond the actual damages. It is naturally different from compensatory damages. Punitive damages were originally used to dealing with serious violations of the victims’ dignity of the cases. With the development of economic society, this system was gradually used to punishing corporations and sanctioning economic crimes. Since Taiwanese tort laws are mainly inherited from German laws, which only permit plaintiffs claiming for compensatory damages. Punitive damages were only adopted in several specific kinds of tort laws, as in the patent law. However, the provision of punitive damages was revoked in the current patent reform act drafted by Ministry of Economic Affairs. This study starts out by introducing the trend of American law, the essential practical cases, and the recent patent reform acts. It concludes the trend to have the following three characteristics: 1. Strictly limit the constitution of willful infringement; 2. Increase patentee’s burden of proof; and 3. Restrict the scope of awarding punitive damages. The study then empirically analyzes the related judgments of Taiwan Intellectual Property Count over the years. It finds that in majority of the cases claiming punitive damages, most plaintiffs can even not to prove that defendants have infringed their patents, yet force defendants to settle. Also, the court in Taiwan usually award patentees punitive damages loosely only if they can prove that infringers had known the existence of the patent . This phenomenon makes the standard in practice not strict as the standard in law. Lastly, this study sums up the aspects from the development trend of American patent law, current practice in Taiwan, the theory of punitive damages function, and economic analysis of law, and finds that it would be inappropriate to revoke the provision of punitive damages in patent infringement cases. This study suggests that punitive damages should be awarded only in two types of willful infringement: 1. when the defendant is a “free rider, or 2. when the validity of the patent need not be challenged anymore. This way, it may lower the cost of research and development, give developers more chance to challenge junk patents, and finally reach the purpose of patent law – encourage innovation.

無形資產中的智慧財產權與其他財產一樣，都是使競爭性的市場經濟得以發揮機能的必要條件，因為使用智慧財產權而賺得的利潤，對發明人而言是其創新的報酬，而對於向別人購買權利的人而言，亦必須因此而付出相當代價。這利潤無形中激勵了原來從事研究發展的那一方，如此一來，創新者賺取較多利潤並能長期保持競爭優勢，會更鼓勵更多的人願意投入創新發明。 本研究企圖將智慧財產權視為一項企業資源，將其視為可以商品化交易的商品，而研究其中研發所投入的成本、所投入的代價，如何在市場的交易買賣中，獲得回饋與報酬，或是形成企業的核心資源，在對價格的認知提供企業思考的方向。 本研究另一主要目的在於探討智慧財產權中專利權，其主張專利範圍權限的核心--「申請專利範圍」(claim)，述說其滿足要件、撰寫原則、侵權理論，將專利權中的申請專利範圍做全方位的分析，並說明在侵權損害認定上的優劣，提供企業在申請專利時應妥善思考的方向。 而在「專利計價模式」方面，除了整合世界各國的專利計價模式，並對專利計價模式與公司智慧財產權策略之關係，作更明確的剖析。 最後則以國內 DVD 光碟機產業為例，訪談國內企業在面對專利的評價時應有的認知與應採取的策略，並且訪問國內智慧財產保護頗有成就的公司輿相關領域專家，企圖對於企業在專利授權或是專利策略評估時，提供更明確的價格觀念，以免除其誤蹈專利地雷的窘境。 智慧財產權中，有關專利權在實務上，通常較為人注意的是法律層次的問題，而在專利權價值方面，一般文獻均歸類於會計層次，甚少將法律與評價問題作歸納整合。本研究企圖將兩者作更緊密的連結，並且歸納出有關的策略議題，期能對國內廠商在面對國外廠商索求專利權與公司內部專利權的價值評估時，有一較清楚的方向。 / Patent Pricing for DVD Technology In the business of high technology manufacturing and marketing, intellectual property is a company's lifeblood. As with any other assets, intellectual property assets must be carefully managed. When it come to manage intellectual property assets, your company's main challenge will lie in skillfully navigating a minefield of existing or pending patents, both to produce goods that do'nt infringe on other companies' right and to vouchsafe rights that will secure your marketshare. Concern for those issues is especially important when your company seeks financing. Inventors need assurance that their investment will not be endangered by infringement litigation or by poorly framed intellectual property right that do not adequately stake out a share of the company's markets Intellectual property right (IPR) encourages the R&D, and protect their IPR by litigation. In another way, the exhibition of IPR will light a way for another companies to avoid infrigement and can take more research in new product or process. The research attempt to view IPR - especially patent, as industrial resources, and make it exchangeable just like merchandise. When patent is exchanged in industrial market, how to evaluate its price? How to determine the price? According to industry norm or R&D expense? Whether to sell it or keep it in company as core competence? The research will focus on another topic -- the patent "Claim", will estate the condition of patent, the principles of patent, the infringement theory. And research will identify this topic and give a clear way for company when considering IPR. Thesis also integrates all the patent pricing models and list the relationship between pricing theory and IPR strategies. It will use the tomorrow star industry - DVD (Digital Versatile Disc) industry as a example, because it is the way for Taiwan to approach the high technology and DVD will knock the heaven's door for next century. The paper outlines all the founded documents and visit the field expert and list all the patents for various technologies, take reaserch about the determination of price and give a clear direction for Taiwan DVD industry.

本研究探討損害賠償計算方法理論對請求金額與判賠金額間差距幅度之影響。本研究以請求金額與判賠金額的差距幅度作為應變數，以三大損害賠償計算方法作為解釋變數，並設定三大群組變數作為控制變數。本研究之樣本為智財法院所審理之專利侵權求償判決，樣本期間為2008年9月至2010年9月。 本研究所建立之回歸模型解釋該差距幅度的變異量達45.1%。實證結果顯示，我國專利侵權損害賠償訴訟之差距幅度，顯著地受到總利益說及總銷售額說之兩種損害賠償計算方法的影響，但受合理權利金說之影響並不顯著。該等實證結果指出，總利益說的採用對於縮短請求差距幅度的影響能力，優於總銷售額說，代表著專利權人於訴訟中應詳盡地提出損害賠償相關事證，以獲得較高的賠償救濟。 / This research explores the association of the patent-damage calculation theories with the Variance between the amount of damage claimed and that awarded. Specifically, it tests the relationship between the Variance and three explanatory variables, namely, patent-damage calculation theories based on the profit, sales, and reasonable royalty, along with control variables including the case specifics, patents-at-issue, and litigants information. Its sample includes 186 patent infringement cases decided in Taiwan Intellectual Property Court from 2008/9 to 2010/9. The empirical regression model explains 45.1% of the variation in the Variance. The results show significance associations of the Variance with the profit approach and the sales approach, but not with the reasonable royalty approach. Such findings point out that the profit approach is more successful at reducing the Variance, implying that the patentee should present more detailed evidence during litigation to get more awards.

顯示器在日常生活中應用廣泛，未來市場發展朝向大尺寸、畫面精緻度兩方面發展，在畫面精緻度方面，目前主要發展技術有二：OLED及量子點，由於OLED尚有產品壽命短、畫面殘影、成本較高等缺點待克服，且在製程上與現今主流LCD相差甚多，因此本研究針對另一可能發展之技術－量子點進行研究，了解產業現況、技術發展趨勢，並給予台灣相關企業建議。 本研究蒐集與專利品質相關的專利量化指標－專利家族規模、申請專利範圍項數、引用專利數、被引用次數及專利年齡，並利用主成分分析法計算專利品質方程式，以針對研究範圍內的專利進行品質排序，並且蒐集專利權人相關市場及專利活動資訊。在專利分析部分將產業區分上、中、下游三區位進行分析，每一產業區位包含重點專利、重要專利權人分析，在中游部分，另進行專利權人研發專利佈局分析，以專利活動程度與專利品質兩軸向衡量市場競爭者之地位。 研究結論首先將總結如何以專利量化指標衡量專利品質，接者以專利分析結果說明量子點顯示技術整體產業發展現況，並歸納台灣企業未來策略。近年投入研究之企業、申請專利數量漸增，但目前尚無企業在此技術領域處於領導者之地位，上游企業的研發方向多是改善LED背光源各波長強度不均的問題，可加強與量子點研發製造商的合作；中游企業需注意韓國廠商大量申請專利所帶來的效果及部分專利權人專利活動程度低，然而握有高品質專利，對其他企業可能造成威脅；下游企業則須思考如何以其他關鍵技術搭配量子點顯示器，研發符合消費者需求之產品。研究最後，針對以專利量化指標進行專利品質分析的過程進行檢討，給予未來研究建議。 / Nowadays displays have wide applications in our daily life, people are looking forward to large size displays and high image performance displays. OLEDs and Quantum dots are the most important technologies which may enhance the image performance. However, OLEDs have some key disadvantages, including the high price, the motion blur and the short lifespan. Therefore, this study focused on Quantum dots. By looking into the industry and realizing the development of Quantum dots, this study gave advice to related companies in Taiwan. To measure the value of patents, we collected five quantifiable indicators of each patent－the patent age, the size of patent family, the amount of claims, forward and backward citations. Then, we calculated the weight of each indicators by Principal Component Analysis（PCA）. As the result, the value of patents were estimated. In the chapter of patent analysis, we classified patents and patentees to the upper, middle and lower stream, each category included the analysis of important patents and patentees. In the middle stream, we also analyzed the patent portfolio, according to two axis－the patent activity and the patent quality proposed by Ernst in 1998. In sum, this study found that companies invested and researched in the industry increasingly; however, there was no company at the leader position. In the upper stream, companies were improving the intensity of different wavelengths in the backlight, cooperating with quantum dot suppliers could be a good strategy for those companies. In the middle stream, Taiwan companies should pay attention on competitors locating in the high patent activity and the low patent activity but high patent quality. In the lower stream, products disposed quantum dots should also fit in needs of customers. Finally, this study reviewed the analysis of patent quantifiable indicators and gave suggestions for the future research.

過去台灣LED產業伴隨著面板業的發展而崛起，但目前正是投入LED照明，放眼進千億美元市場的機會，本研究針對傳統照明大廠OSRAM於技術、專利、與商業策略等角度分析，探討LED照明的佈局策略，期望能給台灣LED廠商一些啟發。整體而言，LED照明取代傳統照明的趨勢是肯定的，關鍵在於LED照明的價格走勢以及政府政策的支持。目前雖然LED照明市場仍然以美國為主，但以整體亞洲市場而言，市佔率已經越來越高。而亞洲區域市場最重要的國家－中國，目前在LED照明應用市場僅次美國，差距已經越來越小，未來極可能成為最主要的市場。 在一開始進入半導體照明時，OSRAM受惠於母公司Siemens，在專利、技術上就已取得領先，OSRAM並採取垂直整合的策略，從磊晶、晶粒、封裝、模組都有佈局，使LED的生產更有效率。除此之外，由於未來LED照明產業的趨勢是照明整合服務，OSRAM也透過併購的方式，補強照明設備、照明系統的能力。未來OSRAM不僅供應LED元件，也提供照明解決方案，觸手一路延伸至終端應用。OSRAM初期都是以合資為主以分散風險，若合資公司經營順利，OSRAM便以併購的方式，強化OSRAM的全球佈局。此外，OSRAM 建立了一個平台，聚集了熱管理、光學、電子相關的專業廠商，以及照明整合的系統廠商，形成產業群聚，一方面可以鞏固供應商、被供應商關係，一方面透過產業群聚的效果，建立緊密的合作網路。此外，於經營策略方面，不僅提供整合型產品，開拓銷售管道，且透過生產基地的轉移，降低生產成本，並隨著市場導向，轉換銷售區域，加強於亞太地區的在地化發展。最後，OSRAM之專利申請策略配合市場需求，且除了LED以外，也鞏固OSRAM於省電燈的領先地位；在專利授權部份，OSRAM採取開放式專利授權策略，為Nichia增加競爭者，也為自身帶來大量的授權金以及代工廠商。 研究結論顯示，OSRAM成功的因素在於掌握專利、品牌以及通路，以及LED元件垂直整合的供應鏈，並積極的貼近市場，瞭解市場趨勢，將LED光源技術的挑戰成功的轉化成OSRAM新的產品線。因此本研究建議台灣廠商應與中國之照明廠商合作，台灣廠商於LED技術以及製造仍具優勢，但缺乏品牌以及通路的佈局，台灣LED廠商與其自己發展品牌，不如以代工的方式與既有的傳統照明品牌廠商合作，與中國照明廠商合力抵抗來自國際照明廠的威脅。此外，台灣廠商應認清產業定位，台灣於半導體、電子領域擁有領先技術，可以從LED照明產業鏈的中游模組切入，像是熱處理或是驅動IC等，會是台灣廠商切入照明產業的利基。 / The LED manufactures in Taiwan now actively involved in the general lighting application of LED. In order to provide the manufacturers with some suggestions, the main goal of this thesis is to study OSRAM’s LED lighting layout and strategy, including patent, technology and business strategy. In the long run, LED lighting replacing traditional lighting is in a positive direction. Key factors are the price of LED lamps and the support of government policies. At the present time, the US market is still the main market. However, the market share in Asia-Pacific is steadily increasing. The most important country in the Asia-Pacific region, China, is getting closer and very likely to become the most important market in the near future. Benefited from parent company, Siemens, OSRAM took the leading position at the beginning of semiconductor lighting. OSRAM then adopted the strategy of vertical integration of epitaxy, chip process, packaging and end applications. Therefore, OSRAM can manufacture LED products in a more efficient way. Furthermore, OSRAM also reinforces the capability of the lighting fixtures and lighting systems via mergers, acquisitions, and joint ventures. OSRAM not only provides LED components but also lighting systems and solutions. To spread risks, OSRAM use joint ventures instead of mergers and acquisitions in the beginning. Once the company has operated smoothly, OSRAM will then merge the company. In addition, OSRAM has established a platform to gather companies that provide electronic, optical, or thermal solutions. Industry cluster is formed. With the effect of cluster, the relationship between buyers and suppliers is enhanced. About business strategies, OSRAM developed integrated products to extend channels and moved manufacturing overseas. Referring to patent application strategy, OSRAM meet the demand of market. In addition to LED-related patents, OSRAM also filed many efficient lamp patents these years. And OSRAM actively licensed patents to other companies, not only created competitors against Nichia but also received licensing fee. In conclusion, the main reasons why OSRAM succeed are the strategies of brand, channel and patent. As the lack of branding and channel, this study suggests that Taiwan manufacturers could cooperate with traditional lighting companies in China. With the OEM service of Taiwan manufacturers, supplying LED components, and the channels and brand of China lamp manufacturers, Taiwan and China may have a chance to compete with other international companies. In addition, Taiwanese firms should recognize their positions in the industry value chain. In addition to building a brand, investing in LED lamp, there’ll be a better choice to develop midstream light engines like thermal management or driver IC.