美國聯邦最高法院廣達v.LG案的判決結果，再次確認「專利權耗盡原則」之適用原則及標準。被告廣達電腦乃為台灣資訊代工產業的龍頭，該判決除了限制專利權人對產業鏈的不當控制外，也將影響整個產業供應鏈對於專利風險的承擔及專利授權策略。廣達案除了建立「未完成品足以體現專利物之必要特徵，且唯一用途係該專利物」及「方法權利項」適用專利權耗盡的重要標準，但也留下「附條件銷售或授權」合法性的爭議。在廣達案後續判決，對「專利權耗盡原則」的詮釋及適用，更值得加以重視。台灣資訊產業在產業供應鏈多居於「製造或組裝」角色，卻受制於上游關鍵元件的強勢及品牌客戶的訂單壓力，而被迫必須承擔產品引發的所有專利侵權的風險。如何善用廣達案及後續各國相關判決，將有助於台灣資訊代工廠商處理國際專利爭訟、專利授權等議題，並做為專利侵權抗辯手段的參考。 本論文首先從經營策略及代工模式，探討台灣資訊代工產業發展與面臨的困境。其次，從專利權與專利侵害的法律規範，到專利權耗盡原則的法理基礎做一完整論述，加以美國先前相關案例的整理及類型分析，對「專利權耗盡原則」的理論與發展做一完整的探討。更進而整理廣達案判決後美國、中國大陸及台灣重要案例，探討「專利權耗盡原則」在其專利法制及實務案例的適用及影響。接著，探討在「契約自由原則」與「專利權耗盡原則」的衝突與調和下，其對於專利授權實務的操作及影響。最後，整理台灣資訊代工產業的代工類型化與廣達案前後美國、中國大陸及台灣權利耗盡重要判決之關聯性，並提出看法及建議。本文初步結論，美國法院案例可初步解析侵權風險及專利權耗盡的適用，並在專利授權談判可提出有效因應條款。廣達案後，美國各級法院均大致遵守此一判決先例，惟中國大陸及台灣法院實務判決仍未完全採取美國的判斷原則。對於後續的研究建議，新興3D列印科技發展及應用，其引發的複雜智慧財產權及「專利權耗盡原則」適用的爭議，確實值得重視。 / Quanta v. LG reaffirmed the applicable principles and standards of the "patent exhaustion principle". As the Quanta plays the lead role in Taiwan’s Information ODM/OEM industry, this US Supreme court’s decision not only limits the patent holder improper control of the industrial chain, but also affects the entire supply chain face the risks and patent license strategies. Quanta establishes the index that "unfinished finished enough to reflect the essential features of the patent and the sole purpose thereof " and "method claim" apply to patent exhaustion. However, "conditional sale or license" is still controversial. Therefore, the Post-Quanta interpretation is worthy of attention. Taiwan's IT Industries most account for the role of "manufacture or assembly" in the supply chain. Subject to the upstream suppliers of the key components or downstream brand customers, they bear all risks caused by infringement of patented products. The Quanta case and its post development will help Taiwan Information foundries to deal with international patent litigation, patent license and etc., and take it as a means to defend against patent infringement claim. Firstly, this thesis explores the development of Taiwan's information ODM/OEM industry and the difficulties of its business strategies and ODM/OEM models. Secondly, it turns to discuss the development of the "patent exhaustion doctrine", and then reviews US critical cases of "patent exhaustion doctrine". In addition, it analyzes post-Quanta cases of the United State, China and Taiwan to discuss the application and impact of the "patent exhaustion doctrine". Furthermore it explores its operation and effect on patent license practice under the conflict and reconciliation of "freedom of contract" and "patent exhaustion doctrine". Then, it identifies Taiwan’s information OEM/OEM industry in a variety of models and associates the models with the important cases of the United States, China and Taiwan regarding patent exhaustion, and makes remarks and suggestions. Finally, this thesis preliminarily concludes that US court cases basically resolve the risk of infringement and patent exhaustion application, and patent license negotiation may be made to respond effectively to the situation. After Quanta, US courts are substantially in compliance with this precedent judgment, but not for China and Taiwan. For subsequent study suggestion, it is worth attention about dispute of the emerging 3D printing technology development and application, which link complex intellectual property rights and the application of "patent exhaustion doctrine".

「氣候變遷」此一名詞出現時，大多被認為是人類活動對氣候所造成之影響與後果，1988年成立的《聯合國跨政府間氣候變遷小組》（Intergovernmental Panel on Climate Change of the UN , IPCC）每六年發表一次《全球氣候評估報告》，於2001年第3次氣候評估報告即點出，未來之氣候變遷將不再侷限於評估人為活動對氣候的影響，氣候自然變化同為評估重點。而最近一次在2013年發表第五次氣候評估報告則指出，預估到本世纪末全球地表温度將持續升高1.5至2.0℃，該報告指出有95%的可能性，人類活動是自1950年代以来地球暖化之主要原因。 科學家們早已一再提出警告，氣候變遷將導致水災、旱災、沙漠化、海島陸沉、糧食危機、氣候難民、戰爭、生態浩劫等各種無法逆轉的事件層出不窮，本論文將就因應氣候變遷而衍生之綠色專利審查機制，得以快速取得綠色專利權，進而可適度抑制溫室現象之綠色產品將大量出現，與智慧財產權有關之綠色專利亦將被大量運用。人們可盡一己之力來為減緩地球暖化做出貢獻，徹底實現世代正義，於此同時綠色經濟所帶來之商機亦將無可限量。 關鍵字：氣候變遷、智慧財產權、綠色專利審查機制、世代正義

創新能力是近年產業發展的趨勢，過去文獻常只單用專利數量來衡量研發效率，方法直觀卻無法真實反應專利價值。本研究嘗試利用專利數量及專利價值指數一起衡量廠商研發投入與產出間的效率，研究對象為2005年至2007年間中國規模水準以上廠商，利用其專利總價值指數與該公司所投入的資本要素與勞動要素探討該公司資源錯置的現象。有鑑於中國積極引進外資企業進駐中國，本研究依公司註冊登記類型將公司分為國有企業、民營企業及外資企業三大類，藉以研究中國經濟發展政策對此三類企業研發效率發展的影響。結果顯示，國有企業的研發效率優於民營企業與外資企業。因為政府積極實施產業政策以促進國內研發創新能力，給予國有企業相當多的政策優惠，故國有企業擁有較高的研發生產力；而民營企業因核心技術的不足，多以替國外大廠代工為主要經營模式，研發創新能力較低。中國改革開放後，積極引進外資企業進駐中國，而當時外資企業看中的是中國低廉的勞動成本與廣大的潛在市場，核心研發技術並未引進中國，導致外資企業研發能力在資料區間內呈現最為低落的情形。 / Innovation has become the trend for the industrial development nowadays. In the past, little research can measure the industrial outcome due to inadequate knowledge on patent value index. In this paper, I compute the patent value index based on the surveyed data of the manufacturing firms in China from 2005 to 2007. The misallocation between research output and input is computed as the major result. Based on firm registration data, I divided firms into three categories, state-owned firms, private firms and foreign firms. Our result shows that state-owned firms have higher innovation efficiency than others. The high research efficiency belonging to state-owned firms benefited from many industrial policies and preferential policy implemented by government. Due to the lack of innovation technology characterized by OEM (Original equipment manufacturer) model, private firms record lower research performance. Other than domestic firms, foreign firms simply utilize cheap production inputs and the larger market size as a base for process trade. Innovation activities are only conducted by parent companies. That is why foreign firms’ record lower innovation efficiency in this research.

台灣健保政策、環境、健保付費者的態度及病患期待，因時空變遷改變，為求能在不斷改變的環境中保有競爭力，本研究將原廠藥物開發商在台灣健保環境中常面臨的狀況-引進新藥健保價格偏低、時程過長及面對藥品在過專利期後面對學名藥的競爭，提出建議。 / It is observed that the Taiwan health care environment, policies, payer’s attitude, tendency and patients’ expectations change over time and nothing has remained unchanged over the past years. To stay competitive over time, it is important to know what is learnt in the past and how to transform the learnings and make it be an aid in such a dynamic environment. This thesis focuses on how to maximize the product life cycle of a loss of exclusivity drug in Taiwan and how to leverage the time span between obtaining product license and gaining reimbursement for self-pay market development. The goal is to sort out all these learnings and experiences and make it a reference in the future.

進入知識經濟的時代，面對全球化的競爭，「知識」已成為決勝的關鍵，智慧財產之所在，往往就是最重要的經濟利益來源，權利一旦遭受侵害及可能面對龐大之損失，而司法救濟儼然成為保護智慧財產的最後一道防線，。 面對國內外對智慧財產在法院之量刑迭有質疑，本文就九十三年之智慧財產權刑事案件提出相關數據，研究結果顯示地檢署偵查終結近五千件，其中三成七由檢察官提起公訴。地院一共終結2,123件智財刑事案件，得提起上訴的案件中有二成對判決不服提起上訴。著作權案件的判決中17.1%獲無罪判決，超過八成遭定罪，裁判結果82.5%科以有期徒刑，12.6%拘役，4.9%處以罰金。商標案件無罪占4.2%，有罪者多科以有期徒刑及拘役，分占45.9%、49.8%，罰金之比率僅4.3%，惟觀察得易科罰金占科刑之比率為94.1%，顯示儘管被告大多受有期徒刑或拘役之宣判，得易科罰金之比率仍高。 九十三年之確定案件，違反著作權法者，自繫屬法院至判決確定平均費時11.3個月始能確定，量刑集中在六月以下有期徒刑。商標，平均費時3.3個月確定，確定裁判宣告刑集中在拘役（50.6%）與六月以下有期徒刑（43.6%），兩項已合占全數之94.2%。 檢視美國對於智慧財產權的科刑，2002年美國134位被告中，有43.3%屬自由刑（Any prison），緩刑（Probation）占56%，科以罰金（Fine only）之比率僅占0.7%；為利兩國之比較，經調整我國2004年地方法院第一審之判決，有67.4%科以自由刑，28.5%處以緩刑，罰金占4.1%。相較之下，我國緩刑之比率明顯較美國為低，就此若美國要指責我國量刑過輕，恐讓人有證據不夠充分的疑慮。

『專利資產評估』依其目的可分為兩個主要方向，一是作為企業策略管理工具，二則提供專利授權、技術交易以及公司購併等的價值參考。前者的評估結果是一組具有策略意涵的指標，幫助企業審視專利管理的有效程度，更進一步作為研發管理(R & D Management)與達成企業目標的策略工具(Strategic Tool)。後者的評估結果是專利資產的一個參考價值，作為買賣雙方交易或進行投資的依據。 本研究以智慧資本理論推導專利資產效度的測量方法，依照員工競爭力、內部結構、外部結構以及策略資本四個面向，分別得出量化的測量指標，並且以這些指標進一步探討其結果在管理上的意涵，形成策略管理工具。 專利資產的價值方面，本研究以無形資產的技術價值理論，探討專利估價的各種模型，其適用場合以及優缺點。本研究進一步探討以專利價值的概念與經驗法則的應用，發展專利價值量表作為初步估計專利價值的工具。這套方法可以作為專利資產效度評估的基礎，相對於各種專利計價模型而言，具有低成本的實用價值。 本研究以工研院為個案研究對象，探討實務上專利資產評估與管理問題，進一步修正由理論推導的專利資產效度評估指標以及專利價值量表方法，使其具備實用價值。以下為本研究之重要結論： 一、提出專利資產評估流程，建議分為『價值的分析』與『管理的分析』進行。 （一）發展專利價值評量表，做為價值分析的工具 （二）發展專利資產管理評估指標模型，作為管理分析的工具 二、提出專利資產評估方法論述 三、提出專利資產評估研究架構 / The assessment of patent asset has two dimensions according to its purposes. One is considered as a strategic management tool, which provides useful information to the enterprise. On the other hand, the assessment of patent asset often provides a referenced value used for licensing, technology transaction, or merge and acquisitions. One of the most important parts of researches performed in this thesis were conducted from the intellectual asset theories, which gathering quantified information from Employee Competence, Internal Structure, External Structure, and Strategic Alliance. These quantified measuring indexes reflect the efficiency and effectiveness of the improvement of the considered patent asset. The information delivered recommends to the management strategy. In order to verify the value of the patent asset, discussions about several kinds of valuation theories concentrated to intangible asset have been carried out. As a result, the valuation method for the patent asset has been revealed. The use of simplified questionnaire method as a tool for the patent asset valuation is suggested here. The questionnaire method used as a valuation tool is comparatively low cost compared to all kinds of valuation methods so that it can be used practically in patent asset valuation. A case study of the ITRI (Industrial Technology Research Institute of Taiwan) has been conducted as a result. The assessment model of patent asset suggested in this study has been verified and modified from the ITRI case study. The major contributions and conclusions of this study are summarized below. 1. Suggestions of the process for assessment of patent asset: The major process is recommended to “The Analysis of Value” and “The Analysis of Management”. 2. Development of “Patent Valuation Questionnaire” method: as a tool for the analysis of value. 3. Development of “Evaluation Index Model” method: as a tool for analysis of management. 4. Discussions of methodology for valuation of the patent asset. 5. Discussions of the research frame for the assessment of patent asset.

隨著近世產業、科技不斷地變革、精進，使得目前的勞資關係已與工業革命之初，有著相當大的變動，不再是勞動者自保或者以社會國理念出發的勞動法規所能完全涵蓋。專業與創新的知識已是現代企業生存與發展的關鍵，有了這個認知，使得「智慧財產權」的概念更加光芒萬丈，因而促使智慧財產的規範日益複雜，觀諸近世文獻資料，普遍被討論地泰半是有關智慧財產權的外部關係或對第三人侵權的探討，反之，對於智慧財產權內部（勞、資）權益歸屬的討論，則較不被重視；況且觀察經濟權力強弱消長，勞動者置於智慧財產權的領域之中，地位反愈顯得薄弱。 因此，勞動者在智慧財產權中權益之歸屬，此問題跨越民法、智慧財產權相關立法及勞動法交錯的領域，冀望藉此探討，能有助此問題之解決於萬一，並且非一昧地賦予勞動者權利，而苛課企業主責任，希望能夠跳脫出傳統的勞資角力的刻板印象，發展出一個嶄新的架構與視野，具體而微地重塑勞動關係。 本研究旨在探討勞動者智慧財產權歸屬的問題，由兩大問題出發，在研究脈絡上，首先處理的議題乃是，就智慧財產權法的架構中，找尋國際上及國內立法相近似的法制，以之作為本文研究的對象。再者，處理的議題是勞動者在智慧財產權法的權益為何，以上述該法制為基礎，分別加以探討勞動者於智慧財產權法中所擁有的權利、應負擔的義務及權利的限制。再次，進一步探討，從企業契約的規範中，是否能夠兼顧勞動者之智慧財產權權益及企業之利益，以企業契約為討論的基礎，逐一對其加以分析之。 本研究從第二章至第四章，即以上述三大方向加以構築。第二章的重心是藉由國際條約及國內立法的陳述，點出智慧財產權在現今法律秩序中所佔有的一席之地，以之作為「勞動者智慧財產權歸屬」研究之引子。第二章在通篇論文中可作為問題思考之基石，同時從文獻中分別闡述各智慧財產權的類型及其特性為何。於第三章論述勞動者立於智慧財產權法域中的地位如何，推其具有可研究性，以「勞動者」作為智慧財產權歸屬之研究對象。第三章係對研究對象之權益範圍加以釐清並分類探討。於第四章乃就實務上企業實際運作加以探討，就契約形式及實質內容分別論述分析。而第四章所討論者，亦是在觀察現實的運作與法律規範的落差。第五章為本文研究之結論及建議。

全球日益嚴重的環境問題多為科技進步所帶來的副作用，科技發展確實為人們帶來許多好處，但同時也破壞了人們所居住的環境。當某些科技被發現對人類和自然環境為有害時，通常原採用此科技的企業會在消費大眾的輿論、政府法規或國際公約的規範壓力之下，停止使用此污染的科技和停止生產相關的產品。另一方面，企業、學術或研究單位也會積極研發相關的替代科技和產品。但污染技術的發展是否就如我們所想像的，會終結於政府法令或國際公約的規範、管制之下？本研究試圖以CFC（氟氯碳化物）破壞臭氧層的例子透過相關專利的分析來觀察此技術和替代技術的發展歷程。 就CFC技術的發展過程，加以相關文獻回顧，提出三項研究問題： 一、當CFC初步被發現會對臭氧層造成破壞，但尚無實際科學證據時，其相關的應用技術是否不再發展？同時，是否會有相關的替代技術開始發展？ 二、當政府頒布法令以禁止CFC的製造和使用時，其相關應用技術是否不再發展？同時，其相關的替代技術是否會增加？ 三、當1987年「蒙特婁議定書」國際公約規範形成，並開始管制CFC之生產和使用後，其相關應用技術是否不再發展？同時，其相關的替代技術是否會大增？ 根據本研究專利分析之驗證，獲得以下結論： 1.當污染的因果關係被發現時，若原科技具污染性的科學證據仍不足、大量原設備仍有很長的使用壽命、替代品的價格相對較為昂貴，則企業為維持既有市場利益，污染技術繼續被使用、相關應用技術仍繼續發展，而替代技術發展開始起步，但開發的情形並不積極。 2.當政府頒布法規來管制污染科技的製造和使用，但若管制範圍僅限於單一國家區域內，企業仍可在其他非管制的國家區域進行製造和使用原污染科技，則污染科技會繼續發展，且替代技術開發的壓力不大，以致成效不彰。 3.當國際間有公約規範形成，並開始管制污染科技的生產和消費時，因為國際公約為世界全面性的管制，且管制的時程具有階段性，則污染技術之發展隨即轉為衰退，且為「逐漸」的減少、衰退。迫使企業必須逐漸停止使用污染技術及其應用之開發，轉而積極投入研發新的替代技術，使替代技術有蓬勃的發展，因此國際公約為影響污染技術和替代技術發展非常重要的因素。 4.在專利審查制度對污染技術發展的影響方面，於政府頒布禁令、國際公約簽署開始管制污染技術的生產和使用之後，仍有使用污染技術專利出現的情形。此係企業為了保有技術的完整性、盡量擴大其專利範圍，於專利範圍中列出該技術所有可使用的化學物質，其中含有已被管制之污染物質。然而專利審查制度中，實用性只考慮該技術是否「能夠」被實施，並未考慮到是否「被允許」實施。因此，雖然新技術的實施並不「必然」要使用舊技術，但新技術專利範圍中含有可使用舊技術的情形，仍可能增加舊技術的需求，因為其價格較低，在開發中或落後國家繼續被使用而造成環境的危害。而專利具有擴散技術知識的功能，因此專利的實用性應考量應用的原料是否環保，為減少污染物質被使用的機會，應除去其中之污染物質。

本研究主要在探究專利權對於高階經理人薪酬制度之影響，並提出以下之假說：(1)專利權與高階經理人之現金薪酬有正向關係；(2)專利權與高階經理人之年度股票薪酬有正向關係；(3)專利權與高階經理人之年度總薪酬有正向關係；(4)專利權與高階經理人之股票薪酬所佔總薪酬比例有正向關係。 本文以美國製造業的高階經理人薪酬為樣本，經實證結果發現，專利權申請數、股東權益報酬率及股票報酬率對於高階經理人，無論是在現金薪酬或股票薪酬制度下，皆有顯著正向影響，此正說明在製造業的公司中，專利權對高階經理人薪酬是很重要的非財務性指標。並且，專利權亦與股票薪酬所佔總薪酬之比有顯著正向相關，也顯示有專利權的公司在對經理人的薪酬上較為偏好使用股票薪酬。 / The research is to explore the association between patent count and top management remuneration system. I hypothesize that : (1) CEO cash compensation is positively associated with patent count; (2) patent count and CEO annual stocks compensation have a positive relationship; (3) patent count is positively associated with CEO total annual pay; (4) The proportion of stock compensation in CEO pay is positively associated with patent count. Using a sample of manufacturing firms I document that patent count is positively associated with CEO compensation, consistent with my hypotheses. I also find strong evidence that patent count impacts the proportion of stock compensation in CEO pay. Overall, these findings suggest that patent count is an important non-financial indicator in CEO compensation.

近幾年來關於創新研究的相關文獻，多半著墨於團隊創新之探討，包括團隊知識分享、團隊信任、團隊領導與團隊互動等議題；但「個人」所產生的創新力量，事實上也應不容小覷。本研究將透過資策會的專利提案，針對近十年間所提出的專利資料與訪談進行分析，以探討個人與團隊在研發創新所扮演的角色，以及個人與團隊創新的適用情境、組成特徵與互動歷程特徵。 / 根據資策會1995-2005間專利數據（共426件。專利從申請到取得時間經常需要2至3年，因此，本次研究僅統計至2005年）初步分析後發現：（一）民國90年以前，個人專利總件數比兩人以上組成之團隊的專利總件數多。（二）民國91年起，資策會的專利件數快速增加，而此時兩人團隊所獲得的專利件數最多；到了93、94年，三人或四人以上團隊所獲得的專利數，則超越個人或兩人團隊所獲得之專利。（三）個人專利佔全部專利數的32%，而由2~4人團隊所取得的專利數則佔64%。（四）個人專利共70件；這些由單獨個人提案的獲證專利中，有將近六成（41件）的專利，該提案人只提了這一項專利而已，往後並未有其他專利，表示這些人很可能只是偶然靈光乍現而獲得專利，抑或表示個人專利提案的創新方式有所侷限。（五）另一方面，有部分曾經獲得個人專利的研發人員，也樂於與其他人組成團隊來一同申請專利，並獲得146件專利；（六）有些人不曾獲得個人專利，但透過團隊合作，也獲得210件專利，佔資策會總專利數的近半數。 / 由此可見，個人創新與團隊創新是研發創新的兩種重要途徑，不應偏廢。而個人創新與團隊創新的優劣與適用情境，則值得進一步探討。本研究除了以資策會專利數據比較個人與團隊在創新的效率與品質上的差異之外，進一步也透過實地訪談之方式，分別探究研發創新過程中，個人與團隊創新的組成特徵與互動歷程特徵，並嘗試歸納資策會在專利提案與專利構思的理想方式，作為研發機構進行創新管理、任務指派與團隊編組之參考，以促進研發同仁的創意效能，提升研發創新能量，進而提升專利價值。 / In recent years, the majority of innovative research literature focuses on team innovation such as team knowledge sharing, team trust, team leadership, and team interaction. The contribution of individual innovation, however, should not be overlooked. This study will explore roles of individual and team efforts in innovative research, adequate applications of individual and team innovations, and characteristics and interactive features of individual and team innovations through an analysis of patent cases proposed by III (Institute for Information Industry) in past ten years and personal interview with patent inventors. / According to the patents data between 1995 to 2005, results of III preliminary analysis indicated that (1) The total number of individual patents obtained was more than the total number of patents obtained by innovation teams with two or more members before 2001. (2) After 2002, the number of III’s patents increased rapidly. During this period, the innovation teams with two members received the largest number of patents. Between 2004 and 2005, the number of patents received by teams with three or four members exceeded the number of patents obtained by an individual or teams with two members. (3) Individual patents accounted for 32% of the total number of patents, whereas, patents obtained from teams with two to four members accounted for 64% of the total number of patents. (4) The total number of individual patents obtained between 1995 and 2005 was 70. Of these certified individual patents, nearly 60% (41) of patent inventors mentioned that they had only one and no other future patents. This suggests that these people are likely to obtain a patent because of an occasional spurt of ideas. It also demonstrates the limitation of creativities among individual inventors. (5) The III’s data also shows that about 40% of research and development specialists who had obtained an individual patent were delighted to team up with other members to apply for a patent. These people received a total of 146 patents. (6) Those individuals who had not had any patent in the past also acquired 210 patents through team works. These patents accounted for about half of III’s patents. / The above evidence shows that individual innovation and team innovation are both important venues to research and development and they should not be disregarded. The advantages, disadvantages, and adequate applications of individual and team innovations, however, should be explored further in future innovation studies. In addition to the analysis of patents data acquired from III to compare the efficiency and quality between individual and team innovations, the current study also utilizes personal interview to understand the characteristics and interactive features of individual and team innovations during the process of research and development. This study also attempts to summarize ideal patent proposals and conceptions in III and provide exemplars of innovation management, task assignment, and team grouping to research and development institutions. Finally, this study will help promote the efficiency of innovative performance among research and development specialists, enhance research and creative ideas, and consequently increase the values of patents.