于海东 徐棣枫

[摘 要]作为一种司法创制原则，美国专利法不正当行为原则在规制不正当专利申请、提升专利申请授权质量方面发挥着积极作用。但对该制度进行本土化的前提是需要充分论证该制度下的信息披露义务以及专利不可执行性的正当性。专利契约论下的对价和正义原则能够对这两方面给予充分证实：专利契约论下的实质对价要求专利申请人的信息披露义务应延伸至专利申请人所知悉的与专利申请的可专利性相关的所有信息;在正义原则之下，专利权人对其通过不正当行为而获取的专利权的主张行为使其不正当行为延伸至司法程序，法院拒绝向其提供司法救济是正义原则的应有之义。

[关键词]不正当行为原则;专利质量;信息披露义务;不可执行性

[中图分类号] DF523.2[文献标识码]A [文章编号]1008—1763（2019）05—0144—09

Abstract：As a judicial doctrine， the US inequitable conduct doctrine plays an active role in regulating improper patent applications and improving the quality of patent applications. However， the premise of localization of this doctrine is to fully demonstrate the legitimacy of the information disclosure obligations and the unenforceability of the patent under the doctrine. The principles of consideration and justice under the patent contract theory can fully demonstrate these two aspects： the substantive consideration under the patent contract theory requires that the patent applicant's information disclosure obligation should extend to the patent applicant's knowledge of all the information related to the patentability of the patent application. And under the principle of justice， the patentees claim for patent rights obtained through misconduct is intended to obtain benefits that should not belong to it， and the courts refusal to provide relief to the patentee is in accordance with the requirements of this principle.

Key words： inequitable conduct doctrine; patent quality; information disclosure obligation; unenforceability

隨着中国创新型国家建设的不断深入，专利申请量与日俱增，呈现出爆发式增长的态势，但这并没有带来专利申请质量的同等提升。同时，以“一句话权利要求”为代表的非正常专利申请现象也较为突出，这进一步恶化了专利申请的整体质量水平。低质量专利申请的大量存在不仅造成专利申请和审查资源的浪费，而且还阻碍技术的普及推广，损害公平的市场竞争秩序。针对专利申请长期存在的质量问题，中国出台了一些政策性措施，但都尚难从根本上解决该问题，因此，急需创设或者引入一种具有更强纠错能力的长效机制。……