人類經濟活動重心之變革推動著產業競爭的樣貌，於二十一世紀的今日，知識已成為經濟活動中最主要之價值驅力，與之相應的，產業中智慧財產層面的競爭也逐漸受到重視，發展至今，智慧財產已深入產業鏈且細化為各種以智慧財產運用為中心以創造獲利之企業。 半導體產業於台灣經濟發展之推進中佔有關鍵性之地位，隨著台灣廠商在全球產業鏈中扮演的角色重要性與日俱增，難以避免必須因應半導體產業中由智慧財產所造就的新興商業模式，其中，智慧財產研發公司拋棄舊有以生產製造為主之商業模式，開創以知識為本的競爭場域，並挾其智慧財產進行全球化的授權以及訴訟，扮演著遊戲規則的創造者，尤其記憶體產業之兩大智慧財產研發公司Rambus Inc.以及Tessera Technology Inc.，自2000年起不斷於全球提起專利訴訟，對整體產業乃至於台灣廠商帶來無法忽視之影響。 本研究試圖建立分析智慧財產研發公司之架構，亦即由該等公司之策略演進出發，宏觀的了解其於變動的競爭環境中如何發揮企業優勢；其次，以公司策略定位為基礎，進一步推動資源投入之分配，並形塑商業模式的產生；最後，本研究萃取智慧財產研發公司商業模式中較具特色且影響廣泛之訴訟階段，藉由記憶體產業中之個案分析比較之方式進行深入之實證研究，以管窺該等公司之專利運用模式，期能透過提升對於智慧財產研發公司策略定位、商業模式以及訴訟模式之了解，活化企業智慧財產之管理，並提供台灣廠商面對專利授權與訴訟時因應之基礎。 / The revolution of economic activities of human beings has been the force behind the changing format of competition among industries. In the contemporary 21st century, knowledge has become one of the most valuable forces in economic activities; correspondently, the competition strategy of intellectual property also seized much attention. As of today, intellectual property has already been integrated in each and every industry chains and developed into various enterprises which earn profits by operating it. Semi-conductor industry played an important role in the process of Taiwan’s economic development. As Taiwanese companies claim more crucial roles in the global industry chain, they are inevitably forced to deal with the new business model established by the creation of intellectual properties. Among them, intellectual property development companies have withdrawn from old business model of production and manufacturing and create a new competition field on the basis of intellectually properties. Intellectual property development companies engage in global wide license and litigation, acting as the rule-maker within the new frame of competition. Rambus Inc. and Tessera Technology Inc. are the two leading intellectual property development companies which brought lawsuits internationally since 2000, creating serious impacts on both the entire industry and Taiwanese companies. This research aims to establish an analytical framework to observe intellectually property development companies, starting from the progress of strategy, try to understand how to exercise their advantages in the ever-changing competitive business world; furthermore, based on business strategies, this research look further into the distribution of resources and the creation of business models; lastly, this research closely examines the litigation phase of the business model of intellectual property development companies by comparative case studies, in order to conclude the operation pattern of patents of such companies. With further exploration on the strategic positioning, business model and litigation pattern of intellectual property development companies, this research provides not only a deeper understanding on the management of IPRs but also a framework for Taiwanese companies to cope with patent licenses and litigations.

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.

台灣科技業代工廠常面臨購買合法來源零組件，仍無法擺脫專利侵權控訴之命運，亦或常居於談判地位劣勢之被授權方角色，只能接受授權方完全排除自身擔保責任之契約條款，導致國內廠商始終擺脫不了高額權利金及侵權損害賠償金之累。本論文之核心研究問題，即在於探討如何在專利授權之架構下，降低未來潛在之第三人侵權責任風險？並區分法律制度層面、契約設計層面、管理制度層面，三個面向進行探討，嘗試提出可行之風險管控策略。個案研究方面，選擇美國最高法院Quanta v. LG專利侵權訴訟案，此案受各界宣稱為近期美國司法界對於專利制度最具指標性之判決，本論文透過判決評析探求美國法院見解真意，並在此架構下，提出個人意見及看法，進而對於專利權人未來之策略轉變，以及台灣代工業者應之因應方式提出建議。 1、法律制度面管控： 被控侵權者可運用專利制度下賦予專利權本質上限制之「專利權耗盡原則」，衡平原則發展下之「默示授權原則」，以及「再授權理論」對於專利權人之權利主張限制，以達降低侵權責任成立之風險。美國法下針對專利權耗盡原則及默示授權原則發展出多種態樣，惟其是否於個案中有所適用空間，往往仍取決於授權契約條款之解釋，此即彰顯出事先明確定義授權條款之重要性。 2、契約設計面管控： 由於我國法與美國法下對於專利授權契約定性上之差異，進而推衍出我國法下相較於美國法較加重授權人責任之結果，是以我國學說有主張當被授權人因運用授權標的遭受第三人主張侵權時，應準用民法瑕疵擔保規定使授權人承負一定責任者；反之，美國學說則普遍否認授權人存在有此等法定契約責任，此亦和雙方政策選擇保護立場互異之結果不謀而合。惟在現階段實務及學說對於授權人是否承擔被授權人之侵權瑕疵擔保責任尚無定見之下，以契約條款預先分配侵權風險最可達成管控風險之目的。美國企業之授權契約發展已十分成熟，與侵權責任分配相關之典型條款，如：授權條款、聲明擔保條款、補償條款，均存有許多附隨之細節需於契約設計談判時預先留意。惟若於契約條款中無法獲得有利於己之責任分配模式，即應評估風險性高低，決定是否採行其他之風險管控方式，如：專利侵權責任保險、企業自行提撥風險準備金、進行專利侵權訴訟評估與管理等。 3、管理制度面管控： 授權做為專利眾多換價模式之一，其背後最終之目的即在於具體落實為企業利潤收益，自然無法背離商業策略思維而獨立運作。國內現階段之專利授權實務發展成效不彰，其原因即在於國內普遍認為授權是單純法律之範疇，而未於企業內建立一套完備之授權管理制度。事實上，授權契約設計亦應與智財行銷要素、商業模式建構要素，以及企業營運流程相互配套，藉由平時有效之管理制度，方能確實將侵權風險防患於未然。 4、個案判決評析結論： 國內代工業者Quanta雖於本案中獲得最終勝訴判決，可說是貫徹了美國最高法院近年來持續傾向限縮專利權人權能之見解。然其是否代表台灣代工業者獲得了完全的勝利？往後不需再為合法採購之零件是否侵權一事苦惱？本論文採取保留之態度。因本案判決事實上僅圍繞在判斷LG與Intel授權範圍之解釋，並未對於能否以契約條款限制專利權耗盡原則表示見解。且本案判決出爐後，專利權人未來勢必轉變其授權策略，亦可預見其授權條款將更趨嚴苛，以規避判決中劃定之界限。台灣代工廠商實應謹慎集思因應策略以對。 / Taiwan OEMs are often situated in the role as licensees with inferior bargaining power when negotiated license agreements with foreign companies, and usually had no choice but to accept unfair contract terms. Therefore, Taiwan companies cannot get ride of high royalties and infringement penalty for all these years. This paper aims to discuss how to reduce potential patent infringement risk under the license system. The discussion will be elaborated from three aspects: Legal, Contract, and Management, and it will also try to propose some feasible risk management strategies. Furthermore, the paper will include a case study on Quanta v. LG, which is believed to be the most significant patent infringement case in United States Supreme Court in 2008.Through the analysis of Court opinions, the thesis then proposes some different suggestions about conversion of the patentee’ license strategies and how Taiwan OEMs should cope with the change in the future. 1.Legal Aspect: The defendant of a infringement case can apply for the doctrine of patent exhaustion, implied license, and sublicense. These doctrines are derived from patent right essential limitation. The U.S. law develops a lot of different models of patent exhaustion and implied license. It often depends on the interpretation of the terms of license agreement whether theses doctrines should be applied to individual case. This demonstrates the importance of precise definition and arrangement of contracts in advance. 2.Contract Aspect: The contract qualification of patent license agreement are different in Taiwan Law and the U.S. Law. Taiwan law intensifies licensor’s liability than American Law. Some Taiwan theories consider that when the licensee is accused of infringement because of the use of licensed articles, the licensor should have liability corresponding to the liability of warranty against defects in Civil Law. On the contrary, the majority of American theories deny such contract liability from law of licensor. Such difference corresponds to the different policies adopted in both countries. Since the defect warranty liability of the licensors are still in dispute, it will be the best way for risk management to distribute the infringement liability of both parties in contract explicitly. License agreement research has been fully developed in the U.S.. Grant Clause, Representations & Warranties and Indemnifications are all accompanied with details to be concerned. If the corporation unfortunately cannot obtain favorable clauses for its own side, it should evaluate risk to decide should it adopt another way for risk control, such as insurance, setting up risk reserves or litigation management. 3.Management Aspect: License is one of business models for corporation to make profit from patent. Its main purpose is to realize intangible patents into tangible profit. Accordingly, licensing strategy cannot be apart from commercial strategies. Patent license practice is still immature in Taiwan. Domestic corporations generally consider license as only a legal issue and do not properly construct a management system. In fact, license agreement design is a multidisciplinary subject and should coordinate with IP marketing strategies, business model, and enterprise operation procedure. Effective management system can establish necessary precautions against infringement liabilities. 4.Case Study: United States Supreme Court finally decided in favor of Quanta, Taiwan OEM, in Quanta v. LG case. The judgment does not mean a complete victory for Taiwan OEMs and neither did it indicate that the manufacturers do not need to bother for patent infringement by combining licensed components. Because the Court opinion only focuses within the scope of the license agreement by LG to Intel, without mentioning about if license conditions could break free of the doctrine of patent exhaustion. Furthermore, the stricter license conditions from the licensor is expectable after this case. Taiwan OEMs should make their best to find a solution.

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".