论美国专利法下“首次销售规则”理论基础之演变

On the Evolution of the Therotical Basis of the First Sale Doctrine under U.S. Patent Law

美国联邦最高法院在2017年5月31日作出的Lexmark案判决具有划时代的意义。这一判决厘清了美国持续了一百七十多年的理论争议,将美国专利法下的“首次销售规则”理论完全带入了绝对穷竭理论的时代。本文首先对美国专利法下“首次销售规则”的历史源头进行了分析,厘清了美国这一理论争议的起源。这一理论争议的源头在于美国联邦最高法院三个早期判例中,最高法院既考虑交易双方的意图,又考虑社会效用的论证逻辑。这一争议反映在法院随后的判决上,就是既认为商品经授权销售后,在其上就不存在专利权了;又认为在某些情况下,使用或转售这些商品会构成专利侵权。笔者将这些判例背后的原理归纳为“相对穷竭理论”。最新的Lexmark案对上述理论争议给出了最终的解答,最高法院高举普通法上“否定对财产转让的限制”这一原《,对专利权人与社会公众的利益进行了再平衡,使首次销售规则成为了专利权向财产权低头之地。

On May 31,2017,the Supreme Court of United States issued its epochal opinion in Lexmark case.It clarifies a theoretical dispute in the States lasting for over 170 years,leading the fundamental of the first sale doctrine under U.S. patent law into the era of absolute exhaustion theory. This paper first analyzes the origin of the first sale doctrine under U.S. patent law and discovers reasons for this dispute.It originates from the three early precedents of the supreme court.In these precedents,the supreme court based its argument on both the intention of the parties in transactions and social utility.A reflection of this dispute is in the subsequent cases courts ruled both that when an article is sold under authorization,the patent on it terminates,and that under certain circumstances,use or resale of the article constitutes patent infringement.The author summarizes the fundamental under these precedents as “relative exhaustion theory”.The newly decided lexmark case finally solves the dispute.The common law principle against restraints is exhalted by the supreme court in this case.The supreme court re-bal-anced the interest between a patent owner and the public,making first sale doctrine Mark the point where patent rights yield 通 tangible property rights.