미국 특허담보제도의 역사적 기원
The Historical Origins of Security Interests in Patents in the United States
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미국의 특허담보(security interests in patents) 제도는 저당권설정자에게 저당물을 점유하여 사용하게 하면서, 저당물의 등록을 요구하는 부동산 저당(mortgage) 제도를 기반으로 탄생했다. 미국 독립 전에는 토지 등을 저당물로 한 부동산저당제도가 먼저 도입되었고, 17세기 남부 식민지 지역에서 저당물의 대상이 농업과 관련된 ‘동산⋅노예’로 확대 되었다. 미국 독립 이후인 19세기 북동부 지역에서 섬유산업이 발달하게 되어, 기계의 가치가 높아지게 됨에 따라, 인적재산(동산)을 저당물로 특화한 인적재산(동산) 저당권법이 제정되었다. 예컨대, 1832년 제정된 매사추세츠 법률(An Act to prevent Fraud in the transfer of Personal Property)은 법률 명칭과 법조문에 ‘chattel(동산)’ 보다 더 넓은 개념인 인적재산(personal property)이라는 용어를 사용하고 있다. 1793년 개정된 미국 특허법이 특허권을 배타적 재산권(exclusive property)이라고 명시하고 있고, 1845년 뉴욕의 연방지방법원이 이를 인적재산권(personal property)으로 이해했다는 점에서 동 법률은 특허권이 저당권의 대상으로 들어오는 문을 열어 주었다고 할 수 있다. 뉴욕 주 대법원은 1854년 특허를 대상으로 한 저당권설정의 효력을 인정한 판결을 내리게 된다. 한편, 1870년 특허법은 양도와 관련해서 저당권을 언급하지만, 그 유효성은 규정하지 않고 있다. 1891년 연방대법원은 1870년 특허법이 특허권의 양도가 저당권설정계약으로 이루어 질 수 있다는 것을 명확히 했다고 판단하여, 특허저당계약의 유효성을 인정하였다. 이로서 특허 저당제도는 확고한 법적 기반을 마련하게 된다. 결론적으로 미국 특허담보제도는 부동산저당제도가 시대의 흐름에 따라 저당물의 대상으로 경제적 가치가 높아지게 되는 노예, 동산, 기계 등을 흡수하는 흐름 속에서 탄생한 것이라고 할 수 있다. 법제라는 맥락에서는 1830년대 북동부 지역의 인적재산 저당법을 기반으로 하여, 1870년 연방특허법과 1891년 연방대법원 판례에 의해 제도적 틀을 갖추게 된 것이라고 평가할 수 있다. 또한 특허권의 경제적 가치가 극대화된 제2차 산업혁명 돌입 시기에 미국 특허담보제도가 탄생했다는 점에서, 기술혁신과 특허제도는 특허담보제도 탄생을 촉발시켰다고 할 수 있다.
Abstract
The U.S. system of security interests in patents was born on the basis of mortgage in real property that required mortgagee to record the mortgage, allowing mortgagor to occupy and use the collateral. The mortgage in real property with land as a collateral was first introduced, and in the 17th century, the subject of mortgage was expanded to negroes and chattels related to agriculture in the southern colonial region. As the textile industry developed in the northeastern region of the 19th century after the independence of the United States, and the value of machinery increased, the ‘personal property(chattel)’ mortgage law was enacted, specializing in personal property(chattel) as collateral. The Massachusetts Act of 1832(An Act to prevent Fraud in the transfer of Personal Property) uses the term ‘personal property’, a broader concept than ‘chattel’ in the title and provisions. The U.S. Patent Act revised in 1793 defines patent rights as exclusive property, and in 1845 the Federal District Court in New York understood them as personal property. Therefore, it can be argued that the 1832 act opened the door for patent rights to enter the mortgage system. The New York Supreme Court ruled in 1854 that the mortgage in patent was valid. On the other hand, the Patent Act of 1870 refered to mortgage related to assignment of patent, but did not specify its validity. In 1891, the Supreme Court acknowledged the validity of mortgage in patent, interpreting that the Patent Act of 1870 made clear that the assignment of a patent right could be made by a mortgage. Like this, the Patent Act of 1870 and the case of 1891 gave a firm legal foundation for the birth of the patent mortgage system. In conclusion, the U.S. system of security interests in patents was born in the midst of the flow of ‘the mortgage in real property’ system absorbing slaves, chattel and machinery, whose economic value increases with the trend of the times. In the context of legislation, patent mortgage system was institutionalized by the Federal Patent Act of 1870 and the Supreme Court decision of 1891, based on ‘personal property’ mortgage act of the Northeast of the 1830s. It can also be argued that the Industrial Revolution triggered the birth of the patent security system, given that the patent mortgage system was born at the time of the second industrial revolution, in which the economic value of patent rights was maximized.
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