專利申請人不正行為規範之研究-以台灣及美國法之比較為中心

Search of Inequitable Conduct Doctrine - Focus on Comparison of the Law and Practice Between Taiwan and U.S.

陳志光(Jyh-Kwang Chen)

指導教授 ： 蔡明誠

國立臺灣大學/法律學院/科際整合法律學研究所/碩士(2009年)

https://doi.org/10.6342/NTU.2009.03357

摘要

美國專利申請人在專利申請及審查過程中，對專利局負有誠信及善良義務，除了必須要揭露與申請專利發明之可專利性相關之重要資訊，更不得以積極的行為欺騙專利局。

如果專利申請人具有欺騙專利局之意圖，故意隱瞞重要資訊或是對專利局提交不正確之資訊或是作出不當陳述的話，這種行為稱為是不正行為。不正行為之處罰相當嚴厲。如果發現專利申請人有不正行為的話，即使該發明事實上符合可專利性要件的要求，該專利所有申請專利範圍請求項，在某些情況下，甚至包括由該專利衍生出來的其它專利或是專利申請案，會被法院判決不可執行。法院得不給予專利權人救濟，使其無法向他人主張權利。

對於專利局而言，資訊揭露義務除了是專利申請人之道德規範之外，更有協助專利審查，加快專利審查速度以及改善專利審查品質之功能。美國的實證研究也證實不正行為，特別是資訊揭露義務之規範，加上專利有效推定原則，確實有達到協助專利審查委員知悉並審酌重要資訊的目的。

依我國行政法之規定，專利申請人在專利申請及審查過程中意圖欺騙專利局之不正行為該當為違反誠信原則之行為，會使得智慧財產局授予專利之行政處分違法得撤銷，人民不得主張信賴保護。

此外，我國目前並沒有課予專利申請人必須揭露相關重要資訊之義務。本文討論我國目前專利申請及審查實務面臨之問題，並且透過對我國專利審查實務之探討，建議我國應透過修法課予專利申請人資訊揭露義務，以改善上述專利申請及審查實務面臨之問題。

關鍵字

不正行為 ； 資訊揭露義務 ； 不可執行 ； 專利有效推定 ； 專利審查品質 ； 重要資訊

並列摘要

In U.S., every applicant bears a duty of candor and good faith before the United States Patent and Trademark Office (“USPTO”) during patent prosecution. In addition to disclose the information to the USPTO that is material to the patentability of the invention at issue, applicant also needs to be truthful in every correspondence with the USPTO.

Inequitable conduct occurs when an applicant fails to disclose material information, makes an affirmative misrepresentation of material act, or discloses material false information with the intent to deceive the USPTO. The penalty of inequitable conduct is severe. A finding of inequitable conduct renders the entire patent unenforceable for the rest of patent term. In some cases, the doctrine extends its reach to related patents, rendering them unenforceable as well.

Form the USPTO perspective, the function of inequitable conduct is far more than an ethical doctrine. Given applicants the duty to disclosure material information to the USPTO, along with the application of presumption of validity doctrine, are proven by the related empirical researches as extremely useful tools to assist patent examiner in reducing the time required, and improving the quality of patent examination.

According to Taiwan administrative procedure law, an applicant’s inequitable conduct with the intent to deceive the Taiwan Intellectual Property Office (“TIPO”) can be regarded as the violation of the principle of good faith. The administrative act of patent issuance can thus be revoked and the applicant’s reliance interest should not be protected.

Besides, this thesis discusses the current issues of Taiwan patent prosecution practice. Through conducting an empirical study about Taiwan patent prosecution, this thesis suggests Taiwan patent applicants should bear the duty to disclose the information material to the patentability of the invention at issue to the TIPO so that the current issues of patent prosecution can thus be improved.

並列關鍵字

Inequitable Conduct ； Duty of Disclosure ； Unenforceable ； Presumption of Validity ； Patent Examination Quality ； Empirical Study ； Material Information

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