美國專利法不正當行為原則研究
發(fā)布時間：2018-10-09 20:42
【摘要】：不正當行為原則，是美國專利法領域自判例發(fā)展而來的一項普通法規(guī)則，也是美國專利侵權訴訟中最為著名和普遍的抗辯規(guī)則。其中不正當行為，是指專利申請人在專利申請過程中對美國專利商標局作出的違反誠實義務的行為。在這一原則下，法院經(jīng)由被控侵權方舉證證明專利持有人在專利申請過程中存在不正當行為，則判決駁回該專利整體的強制效力。自此不正當行為原則確立的第一個判例落定至今，針對不正當行為成立的檢測方法和舉證標準一直處于發(fā)展和演變過程中，并經(jīng)過大量的歷史判例積累，形成了較為復雜的適用規(guī)則。 本文在結構上包括五個部分。 第一部分介紹該原則的基本概念和特征，其在專利法體系當中的功能和目標，以及該原則發(fā)展的歷史判例，以期從整體對該原則在美國專利制度中的地位和作用形成一個初始概念。 第二部分討論不正當行為原則的理論基礎。不正當行為原則的理論淵源來自兩個方面，其一，是美國專利法實施細則第一章第56條規(guī)定的專利申請程序中申請人的“真實陳述義務”，其二，，是一項普通法原則——“不潔之手”原則。前者解釋了不正當行為原則的設立意義以及主要的目標，后者則是在該原則的創(chuàng)設案例中作為其上位原則被援用，并因此成為法院創(chuàng)設并適用該原則的判例法上的依據(jù)。 第三部分分析和梳理不正當行為的認定和檢測標準的形成、發(fā)展和演變。首先是重要性標準，本文梳理了重要性標準兩種不同的測試方法，以及對重要性認定的三種相互區(qū)別的裁量尺度；其次是意圖因素，通過分析幾個重要判例中法官對意圖因素認定的意見，梳理了意圖因素常見的認定標準，以及法官認定該意圖因素所普遍采用的分析方法。通過上述梳理和分析，本文向讀者展示法院具體如何運用該原則鑒別和治愈不正當行為。 第四部分闡釋不正當行為原則適用的訴訟結果及其成文法律依據(jù)和判例法淵源，尤其是分析不正當行為所導致的專利整體無執(zhí)行力的法律意義，并論述為何不正當行為原則將導致專利整體無執(zhí)行力。此外，該部分還對不正當行為可能引起的其他懲罰性后果進行了介紹。 第五部分的主題是美國范圍內圍繞不正當行為原則的爭論和質疑，以及其對我國的借鑒意義。該部分中首先梳理了美國法院、學者和專利持有人等專利界各方面對該原則的評價和爭議，明確該原則目前的爭議核心所在，其次，分別從作為一種司法公共政策和作為一種訴訟抗辯策略兩種功能角色入手，分析該原則在美國專利歷史發(fā)展和凈化專利申請程序和專利市場秩序方面的功能及其現(xiàn)狀，以及其對美國專利訴訟的影響和功能發(fā)揮。
[Abstract]:The principle of improper conduct is a common law rule developed from case law in the field of patent law in the United States. It is also the most famous and universal defense rule in patent infringement litigation in the United States. The improper act refers to the act of violating the honest obligation of the patent applicant to the US Patent and Trademark Office in the process of patent application. Under this principle, if the court proves that the patent holder is guilty of improper behavior in the process of patent application, the court will reject the compulsory effect of the patent as a whole. Since the establishment of the first case law on the principle of improper conduct, the detection methods and standard of proof for the establishment of improper acts have been in the process of development and evolution, and have been accumulated through a large number of historical precedents. The formation of more complex applicable rules. The structure of this paper consists of five parts. The first part introduces the basic concepts and characteristics of the principle, its functions and objectives in the patent law system, as well as the historical precedents of the development of the principle. In order to form an initial concept about the position and function of the principle in the patent system of the United States as a whole. The second part discusses the theoretical basis of the principle of improper conduct. The theoretical origin of the principle of improper conduct comes from two aspects. One is the "true statement obligation" of the applicant in the patent application procedure stipulated in Chapter I, Article 56, of the United States Patent Law Enforcement rules, and the other is the true statement obligation of the applicant. Is a common law principle-the "unclean hand" principle. The former explains the significance of the establishment of the principle of improper conduct and its main goal, while the latter is invoked as its superior principle in the case of the creation of the principle, and thus becomes the basis of case law for the court to create and apply the principle. The third part analyzes and combs the formation, development and evolution of the identification and detection standard of improper behavior. The first is the importance standard, this article combs two different test methods of importance standard, and three different kinds of discretion measure to the materiality, the second is the intention factor, By analyzing the opinions of judges on the determination of intention factors in several important cases, this paper combs the common criteria for the determination of intention factors and the analytical methods commonly used by judges to identify the intention factors. Through the above analysis, this paper shows the readers how to use the principle to identify and cure misconduct. The fourth part explains the legal results of the application of the principle of improper conduct and its written legal basis and the origin of case law, especially analyzes the legal significance of the patent as a whole with no execution power caused by improper conduct. And discusses why the principle of improper conduct will lead to the patent as a whole has no enforcement. In addition, this part also introduces other punitive consequences of improper conduct. The theme of the fifth part is the controversy and doubt about the principle of improper conduct in the United States, and its reference significance to our country. In this part, the author firstly combs the evaluation and dispute of the principle in the patent circles, such as American courts, scholars and patent holders, and clarifies the core of the dispute on the principle. Secondly, This paper analyzes the function and current situation of this principle in the development of patent history and the purification of patent application procedure and patent market order in the United States, starting with its two roles as a judicial public policy and a kind of litigation defense strategy. And its impact on the United States patent litigation and function play.
【學位授予單位】：西南政法大學
【學位級別】：碩士
【學位授予年份】：2012
【分類號】：D971.2;DD913
本文編號：2260719
[Abstract]:The principle of improper conduct is a common law rule developed from case law in the field of patent law in the United States. It is also the most famous and universal defense rule in patent infringement litigation in the United States. The improper act refers to the act of violating the honest obligation of the patent applicant to the US Patent and Trademark Office in the process of patent application. Under this principle, if the court proves that the patent holder is guilty of improper behavior in the process of patent application, the court will reject the compulsory effect of the patent as a whole. Since the establishment of the first case law on the principle of improper conduct, the detection methods and standard of proof for the establishment of improper acts have been in the process of development and evolution, and have been accumulated through a large number of historical precedents. The formation of more complex applicable rules. The structure of this paper consists of five parts. The first part introduces the basic concepts and characteristics of the principle, its functions and objectives in the patent law system, as well as the historical precedents of the development of the principle. In order to form an initial concept about the position and function of the principle in the patent system of the United States as a whole. The second part discusses the theoretical basis of the principle of improper conduct. The theoretical origin of the principle of improper conduct comes from two aspects. One is the "true statement obligation" of the applicant in the patent application procedure stipulated in Chapter I, Article 56, of the United States Patent Law Enforcement rules, and the other is the true statement obligation of the applicant. Is a common law principle-the "unclean hand" principle. The former explains the significance of the establishment of the principle of improper conduct and its main goal, while the latter is invoked as its superior principle in the case of the creation of the principle, and thus becomes the basis of case law for the court to create and apply the principle. The third part analyzes and combs the formation, development and evolution of the identification and detection standard of improper behavior. The first is the importance standard, this article combs two different test methods of importance standard, and three different kinds of discretion measure to the materiality, the second is the intention factor, By analyzing the opinions of judges on the determination of intention factors in several important cases, this paper combs the common criteria for the determination of intention factors and the analytical methods commonly used by judges to identify the intention factors. Through the above analysis, this paper shows the readers how to use the principle to identify and cure misconduct. The fourth part explains the legal results of the application of the principle of improper conduct and its written legal basis and the origin of case law, especially analyzes the legal significance of the patent as a whole with no execution power caused by improper conduct. And discusses why the principle of improper conduct will lead to the patent as a whole has no enforcement. In addition, this part also introduces other punitive consequences of improper conduct. The theme of the fifth part is the controversy and doubt about the principle of improper conduct in the United States, and its reference significance to our country. In this part, the author firstly combs the evaluation and dispute of the principle in the patent circles, such as American courts, scholars and patent holders, and clarifies the core of the dispute on the principle. Secondly, This paper analyzes the function and current situation of this principle in the development of patent history and the purification of patent application procedure and patent market order in the United States, starting with its two roles as a judicial public policy and a kind of litigation defense strategy. And its impact on the United States patent litigation and function play.
【學位授予單位】：西南政法大學
【學位級別】：碩士
【學位授予年份】：2012
【分類號】：D971.2;DD913
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