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題名 論專利法進步性判斷之後見之明與防免策略—從心理學研究成果為出發點觀察
Ascertaining and Avoiding Hindsight Bias in Judgement of Inventive Step—Observation from the Viewpoint of Psychology Studies作者 葉國璽
Yeh, Kuo-Hsi貢獻者 沈宗倫
葉國璽
Yeh, Kuo-Hsi關鍵詞 專利法
進步性
非顯而易見性
後見之明
系爭發明本身結果知識
系爭發明外結果知識
Patent law
Inventive step
Obviousness
Hindsight bias
Hindsight bias resulting from the invent at dispute itself
Hindsight bias resulting from out of the invent at dispute日期 2020 上傳時間 2-Sep-2020 12:23:54 (UTC+8) 摘要 進步性基準作為專利有效性審查最關鍵之門檻，其標準之重要性自然不言而喻，然而近年來，專利實務上的進步性判斷受到後見之明影響之批評不絕於耳，因此各國審查實務與學說無不渾身解數試圖建構後見之明防免策略，然而究竟何為後見之明，其是否真實影響進步性判斷，其如何影響以及影響之範圍為何，如何判斷實務進步性判斷中是否存有後見之明，以及最重要的係如何在進步性判斷架構中建構完整的後見之明防免策略等問題，均未在各國專利實務中被完整解答，是以本文嘗試以後見之明防免為中心，從心理學角度分析後見之明之意涵，並透過法學與心理學跨領域整合研究，探討後見之明對於進步性之影響，進而提供是否實務進步性判斷受到後見之明影響之分析，並重新詮釋進步性之意義，據以建構最大程度減緩後見之明的進步性判斷架構，以期為我國進步性判斷上提供妥適、有效且正確之理論基礎與判斷指引。 本文將介紹現行美國、歐盟專利局、我國專利實務上對於進步性審查之架構，並分析各國法學與心理學之後見之明偏誤學說研究，證實後見之明對進步性之影響，再以後見之明的來源為區分標準，定義出系爭發明本身結果知識與系爭發明外結果知識，並解釋該等結果知識如何影響進步性判斷與影響之範圍，再以之作為檢驗實務進步性判斷是否受到後見之明的影響，進而提出五種審查者可能受到不可容許後見之明影響之案例類型，但不以此為限，其分別為不當認定技術內涵、使用不適當之先前技術、不適當定義所屬領域具有通常知識者、不適當拼湊複數引證、不適當技術推演之論理等類型，以提供實務判斷其進步性是否受到後見之明影響之參考。 最後，本文將交互分析、結合現行可能有效減緩後見之明偏誤之心理學界與法學界的策略，建構出實體與程序架構之九重防免機制，以期能夠最大程度減緩後見之明對進步性審查所可能造成之偏誤，確保進步性之判斷盡可能達到正確之境地，以落實進步性之立法目的。
As the most crucial threshold in patent validity examination, the importance of inventive step, in other words, obviousness standard is self-evident. However, in recent years, patent practice such as substantive examination as well as judgement has been affecting by hindsight bias causing strong criticism by the legal scholar. Therefore, patent examiners all over the world are trying their best to construct strategies against hindsight bias. Nevertheless, what exactly is hindsight bias? Whether it actually affects the judgement of inventive step? If does, how it affects, and what is the scope of the influence? How to diagnose whether there is hindsight bias in practical judgement of inventive step? And the most important, how to construct a mature strategy and judgmental framework for inventive step to prevent hindsight bias? Those questions above have not been fully answered in the patent practice of any country. Thus, this article attempts to focus on averting hindsight bias, analyzing the meaning of hindsight bias from the perspective of psychology, investigating the impact of hindsight bias on judgement of inventive step through interdisciplinary researches of jurisprudence and psychology. And then, this article will also provide an analysis protocol to diagnose whether practical inventive step judgement is affected by hindsight bias as well as reinterpret the significance of inventive step so as to construct, the most crucially, an inventive step judgment framework that can minimize hindsight bias in order to provide an appropriately, effectively and accurately theoretical basis and judicial guideline for inventive step. This article will introduce the current structure of inventive step examination in the United States, the European Patent Office, and Taiwan’s patent practice, and analyzes the doctrines of hindsight bias in the researches of jurisprudence and psychology in order to confirm the impact of hindsight bias on inventive step. Then, I use the resource of hindsight information causing hindsight bias as the distinguishing standard to define the hindsight bias resulting from the invent at dispute itself as well as the hindsight bias resulting from out of the invent at dispute for explaining how such hindsight bias above affects inventive step judgement and the scope of influence. Furthermore, I use them as a test to diagnose whether the inventive step judgement is affected by such hindsight bias, and then address five types of cases where each of the cases below proposes considering factors that show the examiner may be affected by unacceptable hindsight bias in inventive step judgement, but notice that those cases are not an all-inclusive list. Those cases are improperly identifying technical inference, using improper prior arts, improperly defining a person having ordinary skill in the art, improperly combining multiple references, and improperly deducting technical results. Those cases will be provided to check whether the inventive step judgements made by examiners are affected by hindsight bias or not. Finally, this article will analyze and apply the possible strategies made by psychology and jurisprudence in order to propose the nine-levels substantive and procedural mechanisms for preventing hindsight bias with the hope that the errors in inventive step judgement caused by hindsight bias can be alleviated as far as possible. 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國立政治大學
法律科際整合研究所
105652007資料來源 http://thesis.lib.nccu.edu.tw/record/#G0105652007 資料類型 thesis dc.contributor.advisor 沈宗倫 zh_TW dc.contributor.author (Authors) 葉國璽 zh_TW dc.contributor.author (Authors) Yeh, Kuo-Hsi en_US dc.creator (作者) 葉國璽 zh_TW dc.creator (作者) Yeh, Kuo-Hsi en_US dc.date (日期) 2020 en_US dc.date.accessioned 2-Sep-2020 12:23:54 (UTC+8) - dc.date.available 2-Sep-2020 12:23:54 (UTC+8) - dc.date.issued (上傳時間) 2-Sep-2020 12:23:54 (UTC+8) - dc.identifier (Other Identifiers) G0105652007 en_US dc.identifier.uri (URI) http://nccur.lib.nccu.edu.tw/handle/140.119/131674 - dc.description (描述) 碩士 zh_TW dc.description (描述) 國立政治大學 zh_TW dc.description (描述) 法律科際整合研究所 zh_TW dc.description (描述) 105652007 zh_TW dc.description.abstract (摘要) 進步性基準作為專利有效性審查最關鍵之門檻，其標準之重要性自然不言而喻，然而近年來，專利實務上的進步性判斷受到後見之明影響之批評不絕於耳，因此各國審查實務與學說無不渾身解數試圖建構後見之明防免策略，然而究竟何為後見之明，其是否真實影響進步性判斷，其如何影響以及影響之範圍為何，如何判斷實務進步性判斷中是否存有後見之明，以及最重要的係如何在進步性判斷架構中建構完整的後見之明防免策略等問題，均未在各國專利實務中被完整解答，是以本文嘗試以後見之明防免為中心，從心理學角度分析後見之明之意涵，並透過法學與心理學跨領域整合研究，探討後見之明對於進步性之影響，進而提供是否實務進步性判斷受到後見之明影響之分析，並重新詮釋進步性之意義，據以建構最大程度減緩後見之明的進步性判斷架構，以期為我國進步性判斷上提供妥適、有效且正確之理論基礎與判斷指引。 本文將介紹現行美國、歐盟專利局、我國專利實務上對於進步性審查之架構，並分析各國法學與心理學之後見之明偏誤學說研究，證實後見之明對進步性之影響，再以後見之明的來源為區分標準，定義出系爭發明本身結果知識與系爭發明外結果知識，並解釋該等結果知識如何影響進步性判斷與影響之範圍，再以之作為檢驗實務進步性判斷是否受到後見之明的影響，進而提出五種審查者可能受到不可容許後見之明影響之案例類型，但不以此為限，其分別為不當認定技術內涵、使用不適當之先前技術、不適當定義所屬領域具有通常知識者、不適當拼湊複數引證、不適當技術推演之論理等類型，以提供實務判斷其進步性是否受到後見之明影響之參考。 最後，本文將交互分析、結合現行可能有效減緩後見之明偏誤之心理學界與法學界的策略，建構出實體與程序架構之九重防免機制，以期能夠最大程度減緩後見之明對進步性審查所可能造成之偏誤，確保進步性之判斷盡可能達到正確之境地，以落實進步性之立法目的。 zh_TW dc.description.abstract (摘要) As the most crucial threshold in patent validity examination, the importance of inventive step, in other words, obviousness standard is self-evident. However, in recent years, patent practice such as substantive examination as well as judgement has been affecting by hindsight bias causing strong criticism by the legal scholar. Therefore, patent examiners all over the world are trying their best to construct strategies against hindsight bias. Nevertheless, what exactly is hindsight bias? Whether it actually affects the judgement of inventive step? If does, how it affects, and what is the scope of the influence? How to diagnose whether there is hindsight bias in practical judgement of inventive step? And the most important, how to construct a mature strategy and judgmental framework for inventive step to prevent hindsight bias? Those questions above have not been fully answered in the patent practice of any country. Thus, this article attempts to focus on averting hindsight bias, analyzing the meaning of hindsight bias from the perspective of psychology, investigating the impact of hindsight bias on judgement of inventive step through interdisciplinary researches of jurisprudence and psychology. And then, this article will also provide an analysis protocol to diagnose whether practical inventive step judgement is affected by hindsight bias as well as reinterpret the significance of inventive step so as to construct, the most crucially, an inventive step judgment framework that can minimize hindsight bias in order to provide an appropriately, effectively and accurately theoretical basis and judicial guideline for inventive step. This article will introduce the current structure of inventive step examination in the United States, the European Patent Office, and Taiwan’s patent practice, and analyzes the doctrines of hindsight bias in the researches of jurisprudence and psychology in order to confirm the impact of hindsight bias on inventive step. Then, I use the resource of hindsight information causing hindsight bias as the distinguishing standard to define the hindsight bias resulting from the invent at dispute itself as well as the hindsight bias resulting from out of the invent at dispute for explaining how such hindsight bias above affects inventive step judgement and the scope of influence. Furthermore, I use them as a test to diagnose whether the inventive step judgement is affected by such hindsight bias, and then address five types of cases where each of the cases below proposes considering factors that show the examiner may be affected by unacceptable hindsight bias in inventive step judgement, but notice that those cases are not an all-inclusive list. Those cases are improperly identifying technical inference, using improper prior arts, improperly defining a person having ordinary skill in the art, improperly combining multiple references, and improperly deducting technical results. Those cases will be provided to check whether the inventive step judgements made by examiners are affected by hindsight bias or not. Finally, this article will analyze and apply the possible strategies made by psychology and jurisprudence in order to propose the nine-levels substantive and procedural mechanisms for preventing hindsight bias with the hope that the errors in inventive step judgement caused by hindsight bias can be alleviated as far as possible. This will ensure the inventive step judgements are as accurate as possible in order to make sure that the legislative purposes of inventive step will be fully fulfilled. en_US dc.description.tableofcontents 第一章 緒論 1第一節 研究動機與目的 1第二節 研究方法與範圍 2第三節 論文架構 3第二章 專利之進步性 4第一節 進步性之簡介 4第一項 進步性之定義 4第一款 意義 4第二款 各國法律就進步性之規定 6第二項 進步性之目的 7第一款 專利法之目的 7第二款 進步性之目的 12第三項 進步性之發展歷史 14第一款 美國第103條立法前進步性歷史 15第一目 Hotchkiss v Greenwood案 15第二目 Hotchkiss案後至美國專利法第103條制訂前之實務發展 17第三目 美國1952年專利法第103條之制訂 25第二款 我國專利法進步性之立法史 26第二節 各國現行進步性判斷法 28第一項 美國 28第一款 美國關鍵實務見解 28第一目 Graham v John Deere Co 三步驟測試法 28第二目 聯邦巡迴上訴法院TSM測試法 39第三目 KSR International Co v Teleflex, Inc 53第二款 KSR案後之影響 65第一目 KSR案後專利審查準則之因應 65第二目 KSR案之批評 71第三目 KSR案後組合專利判斷法之發展 72第三款 KSR案後實務案例發展 75第四款 美國現行審查準則 83第五款 非顯而易見性判斷操作範例 92第二項 歐盟專利局European Patent Office（EPO） 95第一款 問題解決法（problem-solution approach）簡介 95第二款 進步性判斷操作範例 106第三項 台灣 107第一款 專利審查基準之架構 107第二款 專利實務判決架構 113第三款 進步性判斷操作範例 123第四項 小結 126第三章 後見之明對於進步性之影響 127第一節 後見之明簡介 127第一項 後見之明之定義與影響 127第二項 後見之明之歷史 129第一款 早期後見之明相關研究 129第二款 後見之明在認知心理學上之研究 131第三款 後見之明之專門研究 133第三項 後見之明之成因 139第四項 後見之明之防免策略 143第二節 後見之明對於法律之影響 146第三節 後見之明對於進步性判斷之影響 149第一項 後見之明影響之存在 150第一款 針對法學院學生之實驗 150第二款 針對具有陪審團資格路人之實驗 152第三款 小結 154第二項 後見之明類型與影響之範圍 155第四節 各國改善後見之明對於進步性判斷影響的策略 159第一項 美國 159第一款 現行實務改善後見之明之政策 159第二款 仍受後見之明影響之批評與改善策略 161第一目 針對現行實務之批評 161第二目 改善策略與建議 166第二項 歐盟專利局 170第一款 現行實務改善後見之明之政策 170第二款 仍受後見之明影響之批評與改善策略 172第一目 針對現行實務之批評 172第二目 改善策略與建議 173第三項 我國 174第一款 現行實務改善後見之明之政策 174第二款 仍受後見之明影響之批評與改善策略 176第一目 針對現行實務之批評 176第二目 改善策略與建議 189第四項 總評 194第四章 避免進步性判斷中後見之明的審查模型 197第一節 後見之明影響與否之判斷 197第一項 使用不適當之先前技術 197第二項 不適當認定技術內涵 200第三項 不適當定義所屬領域具有通常知識者 204第四項 不適當拼湊複數引證 206第五項 不適當技術推演之論理 213第二節 避免後見之明之架構與其理念 218第一項 架構理念 218第一款 進步性之意義 218第二款 後見之明之防免架構理念 221第二項 操作架構 225第一款 判斷架構實體模型 225第二款 判斷架構程序模型 232第三節 實務應用範例 233第五章 結論 236第六章 參考文獻 240 zh_TW dc.format.extent 5478904 bytes - dc.format.mimetype application/pdf - dc.source.uri (資料來源) http://thesis.lib.nccu.edu.tw/record/#G0105652007 en_US dc.subject (關鍵詞) 專利法 zh_TW dc.subject (關鍵詞) 進步性 zh_TW dc.subject (關鍵詞) 非顯而易見性 zh_TW dc.subject (關鍵詞) 後見之明 zh_TW dc.subject (關鍵詞) 系爭發明本身結果知識 zh_TW dc.subject (關鍵詞) 系爭發明外結果知識 zh_TW dc.subject (關鍵詞) Patent law en_US dc.subject (關鍵詞) Inventive step en_US dc.subject (關鍵詞) Obviousness en_US dc.subject (關鍵詞) Hindsight bias en_US dc.subject (關鍵詞) Hindsight bias resulting from the invent at dispute itself en_US dc.subject (關鍵詞) Hindsight bias resulting from out of the invent at dispute en_US dc.title (題名) 論專利法進步性判斷之後見之明與防免策略—從心理學研究成果為出發點觀察 zh_TW dc.title (題名) Ascertaining and Avoiding Hindsight Bias in Judgement of Inventive Step—Observation from the Viewpoint of Psychology Studies en_US dc.type (資料類型) thesis en_US dc.relation.reference (參考文獻) 一、中文部分(一) 專書劉國讚（2014），《專利法之理論與實用》，2版，臺北市：元照出版有限公司。謝銘洋（2014），《智慧財產權法》，5版，台北市：元照出版有限公司。(二) 期刊論文杜榮瑞、林孝倫（2010），〈法官對審計品質之評估: 後果知識與經驗之影響〉，《會計評論》，50期，頁1-21。李達嘉（2013），〈從抑商到重商: 思想與政策的考察〉，《近代史研究所集刊》，82期，頁1-53。李懷農（2018），〈建構進步性審查之正當法律程序〉，《專利師》，32期，頁1-15。李森堙（2007），〈談美國專利非顯而易知性與 TSM 判準之爭議〉，《科技法律透析》，19:10卷42-61。李素華（2011），〈進步性判斷之「所屬技術領域中具有通常知識者」—德國立法例之觀點〉，《專利師》，5期，頁38-51。李素華、張哲倫（2015），〈專利進步性判斷之法學方法論──美、德之借鏡及臺灣實務之檢討〉，《月旦法學雜誌》，242期，頁227-259。劉懿嫻（2010），〈美國專利法非顯而易知性之新觀點: 相同條件下的客觀指標〉，《科技法學評論》，7卷2期，頁181-219。林國塘（2014），〈談專利審查品質與無效抗辯成立過高之問題〉，《TIPA智慧財產培訓學院精選文章》，1-7。呂紹凡（2014），〈判斷專利進步性要件之再檢討〉，《萬國法律》，193期，頁41-50。胡心蘭（2008），〈非顯而易知之非顯而易知性—美國最高法院 KSR 案判決評析〉，《興大法學》，4期，頁193-238。謝祖松（2010），〈美國專利法上「具有通常技術者」之探討〉，《臺北大學法學論叢》，76期，頁43-94。熊誦梅（2011），〈衆裡尋他千百度: 談所屬技術領域中之通常知識者—從最高行政法院九十八年度判字第一二七七號判決談起〉，《月旦法學雜誌》，191期，頁129-144。陳豐年（2011），〈專利權之歷史溯源與利弊初探〉，《智慧財產權月刊》，156期，頁63-87。陳文吟（2010），〈由美國立法暨實務經驗探討專利品質對提昇產業科技之重要性〉，《臺北大學法學論叢》，74期，頁147-196。張嘉璧、李玉惠（2000），〈去除後見之明偏誤: 列舉理由程序的應用〉，《應用心理研究》，5期，頁69-92。張哲倫（2018），〈判斷進步性應界定通常知識者之學理基礎—最高行政法院105年度判字第503號判決之啟發暨智慧財產法院之回應〉，《月旦法學雜誌》，282期，頁149-170。張哲倫、李素華（2014），〈專利法之經濟結構—經濟分析理論對於臺灣專利制度運作之啟發〉，《月旦法學》，234期，頁229-262。鄭中人（2000），〈論追加專利〉，《智慧財產權》，18期，頁2-29。沈宗倫（2013），〈由專利法教示因果關係論專利進步性: 以組合專利與類似專利為中心〉，《臺大法學論叢》，42卷317-379。沈宗倫（2017），〈專利進步性評價的新視野與展望—簡評我國進步性審查基準之修訂〉，《萬國法律》，214期，頁25-36。宋皇志（2011），〈論進步性審理之進步空間—智慧財產法院九十七年度行專訴字第十九號行政判決評析〉，《月旦法學雜誌》，191期，頁145-159。宋皇志（2016），〈專利法中「發明所屬技術領域中具有通常知識者」之法實證研究〉，《政大法學評論》，146期，頁52-126。二、英文部分(一) 期刊論文A. 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