近年來在美國有一種”新興產業”崛起，部份非專利權實施者NPE，專門尋找實際生產商品或提供服務的知名企業為對象，以提出專利侵權訴訟的方式，加上持有法院核發之禁制令，威脅被告以達到強迫授權或合解的目的，一般稱之為「Patent Trolls」。 按專利制度的二大政策目標，一為提供發明人發明的誘因，一為鼓勵發明人揭露其發明技術內容，而Patent Trolls投機性授權模式所造成的問題，是否會破壞專利法之立法目的，而降低企業投資創新研發的誘因，乃值得觀注且為有待解決的議題。 故本文之主要目的乃從美國與台灣之專利改革與實務判決，探討Patent Trolls之解決之道。 / Recently there is a “new industry” in the U.S., some NPEs brought patent infringement suits against famous enterprises, which manufacture product or supply service and threatened with injunction, commonly called “Patent Trolls”. Among the two policy objects of patent law, one is giving the inducement to invent, the other is encourage inventors to disclose their inventions. Whether the problems caused by the opportunistic licensing models of Patent Trolls would cause damage to the object of patent law and decrease the driving force to invent of the enterprises is an issue worth observing and solving. Consequently, the object of this thesis is to discuss the solution of the Patent Trolls issues in light of Patent Reform and cases in the U.S. and Taiwan.

Thèse numérisée par la Direction des bibliothèques de l'Université de Montréal.

1 Abstract Trademarks and their territorial limits The purpose of my thesis is to analyze the ways that are used for overcoming territorial limits of trademarks, to point out the pros and cons of these methods. Likewise, I'd like to point out the fact that the various systems of trademarks - national and international systems and system of Community trade mark are interconnected and they complete each other. Therefore, it is necessary to focus on the quality of national legislation, to match the European Union standards and international standards, as well. I chose this topic, because the issue of trademarks is in my opinion very interesting, I like the fact that they can connect designers and businessmen, I am fascinated by their overlap into the art sphere, too. The topic of marks is very broad and quite specific, for understandable reasons it cannot be given so much time within the subjects taught at the Faculty. Also this was one of the reasons I chose this topic. My work is divided into six major thematic units, together there are 25 chapters, some of them are further divided into subchapters and sections. In the first part, which corresponds to the first and the second chapter, I try to out the trademarks as an institution in a wider context of intellectual property rights and industrial property...

Made available in DSpace on 2016-04-27T14:31:57Z (GMT). No. of bitstreams: 1 Marcia Zendron de Campos.pdf: 1646100 bytes, checksum: 9264a159e01097ddba0e99a14b62ceba (MD5) Previous issue date: 2006-12-15 / This study aims at underscoring the pressing search of a new meaning for the concept of practice in the initial teaching licensing formation course. Such meaning should refer to the legislation regulating this universe, and point at both a curricular restructuring panorama and the reflexive teaching theories for teacher education; those, in turn, face the issue of how to meet the National Curricular Guidelines (Resolutions CNE/ CP 01 and 02/2002) in relation to 800 hours of practice for teaching licensing courses. With the objective of identifying how such practice has been carried out, I conducted descriptive, interpretive and qualitative research in which, through the analysis of the discourse from 14 teachers in 5 teaching licensing courses in a private university, I found out the existence of the predominance of teaching practice and internship. However, good initiatives of changing from the concept of supervised internship emphasizing technical rationality toward a concept of the field of knowledge generated from reflexive practice have been suggested. Those initiatives show the intention of updating the practice dimension in the curriculum. The latter is, nevertheless, made difficult due to a certain misunderstanding in relation to both the nature of such practice as a curricular component and the way of using it, as inferred from the discourses analyzed in this study. From this realization, proposals and examples of how to apply this practice as a curricular component are presented in this study. It is also concluded that the articulation of theory and practice as the curricular core is not carried out, except in some isolated disciplines. Facing this situation, it may be said that the panorama does not favor the professional development underscoring the role of the teacher as someone active, critical, creative and compromised with the educational goals in Basic Education, away from the perspective of teacher professionalization / Este estudo pretende enfatizar a busca premente de um novo significado para a concepção de prática no curso de formação inicial, licenciatura, tendo como referência a legislação que normatiza esse universo e acena para o panorama de reestruturação curricular, bem como as teorias da prática reflexiva com fins à profissionalização docente, referenciais confrontadas com o problema sobre como atender às Diretrizes Curriculares Nacionais que regem as Resoluções CNE/CP 1 e 2/2002 na indicação das 800 horas de prática para os cursos de licenciatura. Tendo como objetivo identificar como esta prática vem sendo promovida, realizei uma pesquisa de campo descritiva, interpretativa e de cunho qualitativo, em que, a partir da análise de discursos de 14 docentes em 5 cursos de licenciatura em uma universidade particular, pude constatar a predominância da prática de ensino e estágio. Na obstante isso, por um lado, boas iniciativas quanto a alterar o conceito do estágio supervisionado com ênfase na racionalidade técnica vêm sendo sugeridas com vistas a uma concepção de campo de conhecimento que se promova a partir de uma prática reflexiva, o que mostra intenção em atualizar a dimensão prática no currículo, dificultada, de outro lado, por certa incompreensão quanto à natureza dessa prática enquanto componente curricular e quanto ao modo pelo qual realizá-la, como é possível inferir dos discursos em questão. A partir dessa constatação, são apresentadas proposições e exemplos de como trabalhar a prática como componente curricular no decorrer do estudo. Conclui-se ainda que não se promove a articulação da prática e teoria enquanto eixo do currículo, mas apenas em algumas disciplinas isoladas. Em face disso, é possível dizer que o panorama desfavorece uma profissionalidade que ressalta o papel de professor como alguém atuante, crítico, criativo e comprometido com as finalidades educacionais na educação básica, distanciando-se da perspectiva de profissionalização docente

Background: All brands need to keep moving and to keep building their stories by bringing new and exciting products or experiences. During the last twenty years, companies have been more and more convinced that their brands are among their most valuable resources and today we see an increasing trend of brand extension attempts, however with a significant number of failures, as well.The strategies of how a brand extension should be done, have been published in several books during the last decades. Despite of this, some companies still do not see the link between brand extension and business development. There seem to be a certain lack of knowledge and understanding of the underlying factors that affect a brand extension. In this study, we would therefore like to examine and identify these different factors in order to create a greater understanding of branding strategies.Purpose: The purpose of this study is to research, describe and analyse the nature of horizontal brand extensions in order to create a theory regarding the essential key factors to take into consideration before considering an extension. Based on the theory, the hypothesis will be tested empirically in order to strengthen- or reject it.Methodology: This study is made with a deductive approach, where the theoretical framework, based on previous presented theories, has led to the conformation of our hypothesis, which has later on been applied to the findings from the empirical researches in order to confirm or discard our hypothesis.The empirical basis consists of qualitative interviews with respondents from two companies with experience from horizontal brand extension: Craft of Scandinavia and Peak Performance.Conclusion: Our conclusion from this research is that for a horizontal extension to be successful it must:‐ Be a part of a brand with a clear brand image and plan, for the brand ­‐ Fit the brand ‐ Live up to the original brand promise - Fit with the old associations and generate new, positive associations to the brand ­‐ Have high perceived quality and trust in the mind of the customer- Be a part of a risk evaluation in order to limit the risks and obtain a more realistic view of the extension. / Program: Textil produktutveckling med entreprenörs- och affärsinriktning

本研究在探討消費者對品牌延伸與品牌授權產品的評估，以及採用品牌延伸與品牌授權策略對原品牌權益的稀釋效果。本研究主要包括三部份：第一，探討「消費者對原品牌的認知與評價」、「產品特徵相似性」、「品牌概念一致性」、「製造商技術移轉能力／被授權台灣廠商之產銷能力」、「延伸／授權產品之產品知識」等變數如何影響消費者對品牌延伸與品牌授權產品的評估；第二，評估品牌延伸與品牌授權對原品牌權益的影響；第三，比較品牌延伸與品牌授權對新產品評估以及原品牌權益影響的差異。 　　經由過去文獻探討，本研究提出品牌延伸與品牌授權評估之一般化數學模型，並簡化模型進行實證研究。在研究設計上，以原品牌產品相對價格、產品適合延伸與授權的程度為依據，採取3 （Nike運動鞋／Cartier珠寶／Nokia手機）×2（適合／不適合延伸與授權之產品類別）×2（品牌延伸／品牌授權）的實驗設計，將研究情境分為12組，分組探討新產品的評估及對原品牌權益之影響，並比較採用品牌延伸與品牌授權時，消費者對延伸與授權產品的評估是否有差異，以及採用品牌延伸與品牌授權對原品牌權益之影響是否有差異。 　　研究結果發現：第一，當消費者對原品牌的認知與評價愈高、產品特徵相似性愈高、品牌概念一致性愈高、製造商技術移轉能力愈強／被授權廠商之產銷能力愈強、延伸／授權產品知識愈缺乏時，消費者對延伸／授權產品有較正面的評估。第二，消費者對延伸與授權產品的接受程度會影響其對原品牌的評價，兩者具正向關係。第三，消費者對延伸產品與授權產品的評估，兩者無顯著差異。第四，消費者對新產品的接受程度對原品牌權益的影響，不會因為採用延伸或授權而有所差異。 　　由研究結果可知，採用品牌延伸與品牌授權策略，消費者對新產品的評估及對原品牌權益的影響並無顯著差異，因此知名品牌的廠商在利用該品牌的品牌權益時，只需以品牌擁有者的角度，選擇總成本最低與效益較高的策略即可。此外，在推出新產品時，要盡量選擇產品特徵相似性高、品牌概念一致性高、目標顧客缺乏主觀產品知識的產品類別，且廠商有能力產銷該產品，才能獲得品牌延伸或品牌授權極大化之原品牌權益。 第一章 緒論 1 第一節 研究動機 1 第二節 研究目的 3 第三節 研究流程 4 第二章 文獻探討 6 第一節 品牌權益 6 第二節 品牌授權 10 第三節 品牌延伸 15 第四節 由消費者角度探討品牌延伸的評估 25 第五節 品牌授權與品牌延伸的比較 41 第六節 來源國形象 45 第三章 研究方法 49 第一節 一般化模型的建立 49 第二節 研究架構 51 第三節 研究假設 53 第四節 研究設計 57 第五節 各項變數的定義與衡量 62 第六節 問卷設計與抽樣方法 65 第七節 資料分析方法 68 第四章 研究結果 69 第一節 樣本結構 69 第二節 信度與效度分析 72 第三節 品牌延伸之分析 75 第四節 品牌授權之分析 97 第五節 品牌延伸與品牌授權之比較 119 第五章 結論與建議 129 第一節 研究結論與討論 129 第二節 研究貢獻 142 第三節 研究限制 147 第四節 後續研究方向 148 參考文獻 150 中文文獻 150 英文文獻 151 附錄 158 附錄一：產品知識與涉入程度之相關分析 158 附錄二：預試問卷 160 附錄三：正式問卷 162 附錄四：延伸與授權的合併分析 171 附錄五：相關係數表 175

本論文應用策略性貿易理論的觀點，分別探討三個獨立的研究主題：各國關稅結構中普遍存在的「關稅調升」現象、外銷比例政策與外籍廠商技術選擇的關係、及關稅與配額政策對於外籍廠商技術授權決策的影響。 壹、 關稅調升與連續性壟斷 「關稅調升」為世界上大部分國家關稅結構中普遍存在的現象，惟這種現象的理論探討卻十分匱乏。因此，本章的目的即在補充「關稅調升」成因的理論探討。藉由連續性壟斷產業模型的建立，我們的研究顯示：政府若對下游進口產品課徵關稅，此一關稅除了具備新貿易政策理論所稱之「利潤萃取」效果之外，尚具備萃取外國生產上游產品廠商部份獨佔利潤的功能，我們稱此為下游產品關稅的「垂直」效果。在連續性壟斷產業的架構之下，隨著生產階段的遞增，下游產品關稅能夠萃取這些上游獨佔利潤的外國廠商家數亦將增加，「關稅調升」現象因而產生。因此，本章發現關稅之「利潤萃取」效果與「垂直」效果的聯合作用是造成關稅調升現象的重要因素。 貳、 外銷比例政策與技術選擇 在實務上，外銷比例政策常為開發中國家對於多國籍廠商在其國內設廠營運時的一項管制措施。在台灣的發展經驗中，外銷比例政策亦常被政府的財經官員認為具有移轉外國優越技術的有效政策工具，其理由乃在於藉由對多國籍廠商內銷比例的管制，誘使其提升在台的生產技術以面對高度競爭性的國際市場，並同時讓本國廠商透過技術擴散或技術移轉的方式獲得多國籍廠商的技術水準。 本章的目的在於探討外銷比例政策是否真能達到提升外籍廠商技術水準的效果。本章的研究結果發現：在外籍廠商獨占本國市場的情況下，除非政府允諾給於外籍廠商高度比例的內銷市場，否則外銷比例政策非但不會促使外籍廠商選擇較為優良的技術，反而會導致其採取較劣等的技術。另一方面，當本國市場有本國廠商參與競爭時，外銷比例對於外籍廠商技術水準的選擇除了受到前述比例值高低之影響外，也受到市場策略性競爭效果的影響。當本國市場的需求函數為線形時，市場競爭的策略性效果會使得外籍廠商在面對外銷比例的管制增加時會選擇較差之技術。因此，一般而言，外銷比例政策並無法確保外籍廠商會使用較為先進之技術水準。 參、 外籍廠商技術授權：關稅與配額政策的比較 貿易保護政策的實施有可能改變廠商海外市場的營運選擇，譬如改採以技術授權的方式間接進入海外市場，因此地主國的貿易保護政策可以促使該國廠商獲取外籍廠商先進技術的授權。 本章的研究乃在於提供貿易保護政策與國際間授權技術選擇關係的理論分析。藉由比較不同的貿易政策對於對於多國籍廠商市場進入方式與授權技術選擇的影響，本章發現對應於一特定之關稅稅率，等量配額政策在市場需求曲線為凹性（凸性）的情況下，將比關稅政策更易於（更不易於）誘使外國廠商授權先進的技術給本國廠商；而當市場需求曲線為線性的情況下，關稅政策與等量配額政策對於外籍廠商授權技術水準的影響是完全相同的。然而，若本國採取的是等率配額政策，則不論其對應之關稅稅率為何，外籍廠商在等率配額限制之下一定會授權給本國廠商最先進之技術。 第一章 緒論 1 第二章 關稅調升與連續性壟斷 6 第一節 本章前言 6 第二節 基本模型 11 （1） 最終財貨關稅 13 （2） 原物料關稅 20 第三節 關稅調升現象 23 第四節 n層次加工產業下的關稅結構 32 第五節 本章結語 35 附錄 37 第三章 外銷比例政策與技術選擇 39 第一節 本章前言 39 第二節 外籍廠商獨佔下的技術選擇 42 第三節 寡占下的外籍廠商技術選擇 48 第四節 本章結語 54 附 錄 56 第四章 外籍廠商技術授權：關稅與配額政策的比較 58 第一節 本章前言 58 第二節 基本模型 61 第三節 外籍廠商在關稅政策下的授權技術選擇 62 第四節 外籍廠商在等量配額政策下的授權技術選擇 70 第五節 外籍廠商在等率配額政策下的授權技術選擇 78 第六節 範例說明 82 第七節 本章結語 86 第五章 結論 87 參考文獻 89

『智慧財產』是二十一世紀世界產業競爭的決勝關鍵。智慧財產的佈局、產出及保護固然非常重要，但是最終還是需要積極的運用，發揮智慧財產這種無形資產獨有之國際性、重複利用性及同時異地併行使用實施之特性，彰顯其最大化之價值。世界各國政府在積極建置各種政策手段提升智慧財產運用之同時，也考慮到自身國家安全及國內產業競爭力消長之影響，大多規範了一系列智慧財產輸出到國境之外的運用管制。智慧財產之積極運用與境外實施管制，是兩種截然不同，有時甚至是互相衝突之面向，需要有清晰的觀念，才能建置雙贏策略，讓國內產業在決勝關鍵所向無敵。 我國科技基本法自民國88年公佈實施以來已有十年。智慧財產的產出、保護及運用在這十年間突飛猛進。雖然如此，但是仍有許多配套措施及觀念尚未成熟的建立起來。對於彰顯及發揮智慧財產價值所面對之『境外實施管制機制』更是有相對檢視之急迫性。在『國際技術移轉制度理論與實務』（王偉霖、劉江彬 著，2010年9月初版）劉江彬教授序中，劉教授特別指出這一點，認為應該突破其限制。我國在智慧財產方面之創新管理成就，中國也在快速學習，急起直追，從中國十二五計畫之政策可以看出他們更在發揚創新商業化之投資，學習我們企業的經營哲學。台灣有相當多的創新能量，蘊含智慧財產運用之潛力，政府可以從更宏觀的角度思考，發揮台灣的『軟實力』，實現台灣的願景。 本研究針對經濟事務財團法人研究機構，於政府資助產出之專利權在中華民國管轄區域外使用實施所需要事前陳報政府主管機關核准之規定嘗試提出更有效率之管理機制。 本研究比較美國、日本、大陸及台灣之政府資助產出之成果下放、技術出口管制、技術與投資境外實施管制相關法規之規範與作法，並訪問各國極具智慧財產管理運用代表性之組織--Association of University Technology Manager (AUTM) 及Licensing Executive Society (LES) 總會之會長、美國Stanford University技轉辦公室主任、美國前University of Washington負責技術移轉之副校長、日本東京大學技轉辦公室主任、前新加坡大學之技轉辦公室主任、徐小波大律師、台灣積體電路股份有限公司負責技術移轉之法務處宿文堂處長、政治大學商學院智慧財產研究所王偉霖教授及我國技術服務業之宇東公司副執行長等在智慧財產授權領域之產官學研專家學者，彙整歸納他們之看法及筆者之意見。再綜整工業技術研究院過去十年來向經濟部提出境外實施申請之案件，以三案不同技術、授權模式及授權區域之案件為案例探討。對照經濟部投資業務處對於我國境外投資之管理規範及審核要項，對於經濟部技術處目前審核境外實施作業，分析實務操作面之問題所在，進而提出『分類分級管理』之構想。視專利權之技術內容及授權模式，將審查作業分為高度管理、低度管理及事後報備。希望未來境外實施之管制也能夠兼顧行政成本降低、多元化彈性模式及商機時效。 本研究分別對政府及申請人提出建議，並由微觀到鉅觀，對我國智慧財產落實運用之全面性結構問題提出後續可繼續研究之議題供參。 對於政府處理其出資產出之成果的境外實施管制，建議涉及國家安全之技術輸出可比照國際作法採取『高度管理』。對於不涉及國家安全之智慧財產境外實施可採『低度管理』。同時建立具體明確可預期之審理標準、流程及正面或負面表列之技術清單。專利之非專屬授權及已經經過政府相關單位審核者，建議可採『事後報備』簡化流程。進一步考量規劃逐步建立企業及研發機構境外實施『自主管理』機制。至於境外實施之對價應回歸『商業談判』之市場機制，政府不需過多干涉。最後建議加強政府承辦人員對於智慧財產管理運用理論及實務認識之訓練。 在目前政府『境外實施』機制尚未調整之前，本研究綜整過去工業技術研究院申請境外實施之經驗，對於申請人提出建議作法，希望有助於審查流程之加速。事前與政府機關承辦人多溝通有絕對必要，充分瞭解其關切之事項，並備妥相關之文件。要求境外實施之廠商直接向政府承辦機關關切不必然有助於加速審核流程，有時反而弄巧反拙，造成承辦人之困擾，相對的攪亂了審核的節奏。 『境外實施』僅為提升智慧財產運用的一個點，必須要達到數個點的突破，形成面的結構調整，後續仍然有相當多的議題需要繼續研究，提出解決方案。例如修改科技基本法以明確擴大適用之層面至政府相關研究機關及學校—如中央研究院、公立大學等。這些機關是政府單位智慧財產之重要生產者，與下放之執行機構一樣，需突破國有財產法及政府採購法以發揮智慧財產之價值，但是同時適用之政府機關應配套建立智慧財產管理及評鑑機制。本研究以經濟事務研究機構之境外實施為限，其他仍然有教育體系之學校及經濟事務以外之研究機構之境外實施制度值得一窺。 本研究參酌世界各國之作法，搭配本研究生多年在工研院之經驗，檢視目前我國之實務運作，以學術討論之立場，結合實務與理論，嘗試提出一些看法，希望能夠提供給政府宏觀的思考，構建更契合打造台灣為亞洲樞紐之願景的機制。但本研究之所有論述純屬本研究生之個人觀點，不代表工研院或其他任何機構與單位之立場。 / “Intellectual Property” is the key factor to winning the industrial competition among competitive countries in the twenty-first century. Although domestic products and well-protected intellectual property are both extremely important, intellectual property should ultimately be used actively in order to maximize its core value. While governments around the world enthusiastically harness a variety of policy instruments to actively promote the use of intellectual property, they also take into account the security and competitiveness of their nations’ own domestic industries, as well as the impact of growth and decline on their economy. With these concerns, most of the intellectual property outputs are regulated by a series of overseas licensing restrains. The active usage of intellectual property and the control over overseas licensing are issues that are usually mutually independent. However, they sometimes conflict with each other. Only a clear and thorough understanding of both topics can allow one to establish a well-rounded strategy that creates a win-win situation in reference to the relationship between overseas licensing and domestic products. The Fundamental Science and Technology Act of the Republic of China has been in effect for a decade since its original ratification. Even so, there are still a lot of support measures and concepts established by the Act that have yet to be fully developed. For example, the “Overseas Licensing” control mechanism within the Act is an important measure that has received minimal development, and is in urgent need of having its political limitations removed for it to become more effective. This study compares United States, Japan, China and Taiwan’s export controls and overseas licensing laws. By visiting leaders of those intellectual property management representative organizations - -Association of University Technology Manager (AUTM) and Licensing Executive Society (LES), Director of the United States Stanford University Technology Transfer Office, former Vice President responsible for technology transfer of University of Washington, Director of Technology Transfer Office of University of Tokyo, Ex-Director of the Office of Technology Transfer of University of Singapore, Professor Paul S. P. Hsu, Chairman & CEO of PHYCOS International Co., Ltd, Director of Legal Transactions of Taiwan Semiconductor Manufacturing Co., Ltd., National Chengchi University Institute of Intellectual Property Business School Professor Wang Weilin and Vice President of Tanspercific IP Ltd. , the study summarized views and opinions of these professionals . The author analyzed overseas licensing cases that Industrial Technology Research Institute (ITRI) applied over the last decade in their technology, business model, and licensing area. Using the analysis of the practical problems in the overseas licensing control regulations and rules under the Ministry of Economic Affairs, the author proposed a concept of “classification management” ideas. According to this concept, the technical content of patent rights and licensing models and their management will be reviewed in three different levels, including high degree management, low degree management and post-filing. In the future, the costs of administration, the diversity of business models, and the flexibility in time should be considered in all cases of overseas licensing. The overseas licensing control that is related to national security should take a “high degree of management”. The rest of which do not involve national security can be reviewed under a “low degree of management”. Non-exclusive patent license and the case which has already been reviewed by any government agencies under the overseas licensing control should be reviewed under “post-filing management” to simplify the process. Furthermore, government should consider the gradual establishment of self-management mechanism as an “Internal Control Program” in the industry and research institute. Without excessive government interference, the terms and considerations of an overseas licensing should return to” commercial market negotiations mechanism”. Government administrators who are involved in the intellectual property management affairs need to strengthen their knowledge, vision and experiences in the field of intellectual property by training courses. This study further points out several topics related to the need of follow-up studies which include extending the entity who can apply under the Fundamental Science and Technology Act to governmental natural research institutes and schools - such as Academia Sinica, public universities and so on in order to break through the National Property Act and the Government Procurement Law for getting more freedom and flexibility in Intellectual property management. Since this study focuses on Economic Affairs related overseas licensing control system, fields that are outside of this area such as educational system and other Minister which might have the same issue is worth a glimpse. This study is based on the experiences that author had when working in ITRI and the general practice in overseas licensing field, trying to raise view point from broader angle for government’s consideration. Every view point raised under this study is the observation of the author himself purely which does not represent or reflect ITRI’s thoughts whatsoever.

專利聯盟（patent pools）可以創造龐大的促進競爭效益，但是同時也可能產生妨礙競爭與創新之疑慮，若法律完全不對專利聯盟之運作進行規範，專利權人將得以利用專利聯盟制度作為提昇自己市場獨占力量，抑制市場競爭，甚至是濫用專利排他權的工具。為了畫下專利權人正當行使權利之界限，維護專利制度的政策目的，以規範專利聯盟所產生之專利權濫用問題，美國的法制上遂逐漸發展出以專利權濫用原則（patent misuse doctrine）與競爭法（即美國之反托拉斯法），對專利聯盟進行管制的結構。美國法上之專利權濫用原則創設之初係為了限制輔助侵權理論之適用，此理論最初與競爭法制並無交集，判斷的重點在於專利權人是否逾越其權限，之後隨著1988年美國專利法之修正，以及學理實務的改變，現今專利權濫用原則的認定已牽涉競爭法「合理原則」之判斷，然而，許多爭議也逐漸浮現，例如應如何判斷專利權人在專利聯盟中所為之限制競爭行為是否成立濫用，專利權濫用原則與競爭法之間之關係為何，甚至專利權濫用原則本身是否仍有必要存在，這些問題都尚待解決，因此現今正是對專利權濫用理論進行全面檢討之時機。 本文以下將針對專利聯盟所涉及之專利權濫用問題進行研究，對於實務上專利權人利用專利聯盟所進行之搭售、包裹授權、聯合訂價、競業禁止條款等行為進行觀察，並對其所涉及之專利權濫用問題進行初步分析。基於此一研究所獲得之基礎，本文將嘗試指出專利權濫用理論值得檢討之處，並指出專利權濫用理論兼具專利制度和競爭法制之特質，也反映了兩者間之衝突，其亦具有能夠與時俱進，以及反映專利制度政策公益之特質，因此仍有繼續存在價值。尤其係在專利聯盟成員利用彼此間競業禁止協議抑制新生替代性技術發展之情形，法院在適用競爭法合理原則時，往往因為專利聯盟所創造的促進競爭效益，以及新生技術未來發展的不確定性，而傾向認定此種契約條款為合法，忽略其所產生之抑制創新問題，此時即有適用專利權濫用原則之空間。此外，更可以考慮以我國民法第148條所規範之誠信原則與權利濫用原則作為將專利權濫用理論引入我國法之基礎，而在尚未引入以前，對於專利聯盟所涉及之專利權濫用問題，我國實務可以將美國法專利權濫用原則之理論基礎作為操作民法第148條、專利法第60條、公平交易法第18條及第19條以及其他相關規定時之指導原則。本文之意旨並非在完全以專利權濫用原則取代競爭法規範的角色，而係期待實務上應當設法對專利權濫用原則之價值進行重新評估，以賦予專利權濫用原則嶄新之生命，讓專利權濫用原則與競爭法共同形成一個完善、合理的專利權行使規範體系。 / Patent pool licensing can both create enormous pro-competitive and anti-competitive effects. Without legal intervention, the patentee would be able to manipulate the patent pool system as a mean to increase his own monopoly power, suppress competition in the market, and even misuse his patent exclusive power. In order to prevent the misuse of patent rights, protect patent policy and regulate patent misuse issues in patent pools, the U.S law system employs the “patent misuse doctrine” and competition law (antitrust law) to deal with the above issues. The patent misuse doctrine was initially designed to limit the overexpansion of the contributory infringement theory and has no relationship with competition law. The essential factor to constitute patent misuse is that the patentee extends the patent monopoly over the statutory scope of his patent right. Nevertheless, in pace with the Patent Misuse Reform Act of 1988 and the conversion of the legal practice, the patent misuse doctrine has begun to intertwine with competition law’s “rule of reason” analysis. Gradually, many disputes have emerged, such as how to determine whether the patentee’s conduct constitutes patent misuse in patent pools, what is the relationship between the patent misuse doctrine and competition law, and whether the patent misuse doctrine itself is necessary to exist. Therefore, it is high time to conduct a comprehensive review of the patent misuse theory. This article will provide insights to patent misuse issues in patent pool licensing, such as tie-in arrangement, package licensing, price fixing, non-competition agreements, etc, and review the theoretical basis of the patent misuse doctrine. This article will also submit that the patent misuse doctrine is a doctrine which has both the characteristics of patent law and competition law and can compromise the interests of these two areas of regulations. It can also reflect patent policy and grow and change with time. Therefore, it is a doctrine which should continue to exist. Particularly, in the situation which patent pool members use non-competition agreements to suppress the development of nascent substitute technologies, courts would often consider this kind of agreement to be legal because of the enormous pro-competitive effects created by the patent pool and the uncertainty of the future development of the nascent technology. At this moment, it is necessary to apply the patent misuse doctrine to deal with the problem. In addition, the principle of good faith which is encoded in article 148 of the civil code may be an appropriate medium to introduce the patent misuse doctrine into our legal system. Even if it is not yet introduced into our system, the patent misuse doctrine could be the guiding principle for our legal practitioners to apply article 148 of the civil code, article 60 of the patent act, article 18 and article 19 of the Fair Trade Act in order to deal with patent misuse issues in patent pool licensing. This article supports that the patent misuse doctrine should be refined and cooperate with competition law in order to form a complete regulation of patent misuse conducts, but it does not submit that current competition law should be entirely replaced by the patent misuse doctrine.

稀土作為國防工業和科技產品之主要原料，因其材質具有特殊性及不可替代性，故原料供給來源之穩定有其重要性。目前全球稀土90％以上皆產於中國，然中國近年來積極地對於稀土之開採及出口，透過配額及許可證、出口關稅、價格控制、開採量限制等，對稀土採取管制措施，造成各國製造能源科技設備原料短缺，而引發美國、日本、歐盟等科技產品製造大國的不滿。 本文以GATT 1994及中國入會議定書對貨品貿易所作之承諾，作為分析中國稀土出口限制政策之法律依據，並主要參考「中國－原物料案（China-Raw Materials）」之小組裁決，輔以「中國－視聽服務案（China- Audiovisual Services）」之裁決，探究違反中國入會議定書承諾之稀土出口管制措施，是否有援用GATT 1994第20條一般例外條款之正當性，並對於中國稀土出口管制政策於WTO規範下之適法性進行分析，最後作出結論。 / The rare earths are essential for many hundreds of applications. The versatility and specificity of the rare earths has given them a level of technological, environmental, and economic importance considerably greater than might be expected from their relative obscurity. China supplies over 90 percent of rare earths globally, but has applied a series of restraints to limit the exportation and production of rare earths, including export duties and export quotas, and price and production control , leadind to raise serious concerns among industry in the U.S., Japan and European Unions. This thesis takes GATT 1994 and the Protocol of the People’s Republic of China (hereinafter China’s Accession Protocal) as the legal basis to analyze China’s rare earths export restriction measures. And in order to examine whether these dispute measures are pursuant to the WTO’s agreements, and whether Article XX of the GATT 1994 is available as a defense under China’s Accession Protocal, this thesis takes China-Raw Materials and China- Audiovisual Services’s ruling as the main references, and providing the conclusion of the study.