專利交易之交易風險及其控管策略

專利交易之研究乃智慧資本管理不可或缺之一環。由於專利權之特殊屬性，專利權交易之風險猶較一般商品交易為高。因此研究專利交易之交易風險及其風險控管策略，便成為智慧資本管理之學術與實務上相當重要的課題。本研究基於法律規範並以法院判決做為實證資料，指出對於專利受讓人或被授權人而言，專利交易之風險可以歸納出下列四大類：(1)專利權已當然消滅或即將消滅、(2)專利權之有效性顯有疑義、(3)專利權有權利狀態上之瑕疵、以及(4)專利權有權利實施上之瑕疵。對於專利受讓人或被授權人之交易風險，本文提出盡職查核與契約策略等二項風險控管機制。首先針對前述四種類型之交易風險，研究當公司欲購買專利或接受專利授權時，必須進行之盡職查核項目，用以確保所購買或授權專利之品質。其次為強化前開盡職查核之功效，本文進而研究專利買受人或被授權人之契約策略，並提出下列實質建議：(1)購買專利或接受專屬授權應避免附加同意專利權人繼續使用專利技術之保留條款；(2)契約中應要求專利權人擔保其專利權之存在且無瑕疵，並加入解除契約及損害賠償之條款；(3)若接受專利授權，特別是非專屬授權後會委託他人代工或代銷時，務須徵得專利權人或專屬被授權人之同意，於專利授權契約中載明同意再授權之條款。

關鍵字

智慧資本管理；專利交易；交易風險；風險控管；盡職查核；契約策略

並列摘要

Based on the legal norms and many courts’ judgments, this article identifies four categories of patent transaction risks as follows: (1) whether the patent has been or almost expired; (2) whether the patent is likely to be held invalid; (3) whether the patent has some defects on right’s condition; and (4) whether the patent has some defects on right’s enforcement. Furthermore, on the ground of these transaction risks, this article develops a standard of due diligence for patent transaction, in order to ensure the quality of the patents to be assigned or licensed. Moreover, in order to strengthen the achievement of the due diligence, this article suggests some special clauses in the patent assignment or licensing agreements as follows: (1) the agreement shouldn’t reserve a part of the patent right on the original patent owner; (2) the agreement should contain a warranty and an indemnification clauses; and (3) the license agreement should contain a sub-license clause if necessary.