In the modern, sophisticated world, connectivity has become a part of everyday routine: answering the phone call through the car or sending emergency calls by smartwatch to the nearest hospital. The ICT industry is the one that enables this connectivity by developing such technologies as 3G, 4G, 5G and WI-FI that can connect the phone with a smartwatch, car, house or speaker. At the same time, the interconnection of a significant number of devices creates licensing issues, and one of them is discussed in this thesis. The two long-established industries: ICT and automotive, are in licensing contradiction due to the different licensing practices. One such case is the dispute between ICT producer Nokia and car manufacturer Daimler. Nokia obtains a patent essential to the 4G standard that shall be licensed on the FRAND terms. The merits of the case- are to who shall the owner of the ICT patent provide license: to all implementers or just to one; whether it has the right to choose its licensees. To figure out the answers, I examined the contractual obligations of Nokia to the ETSI (FRAND commitment), its compliance with Article 102 of the TFEU (abuse of dominant position) and whether the patent exhaustion prohibits some licensing practices.

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".