1

DH LUAT HA NQI - DH LUND DH LU AT THANH PHO HO CHI MINH

Strengthening
Legal Education
in Vietnam
A SlDA SUPPORTED PROJECT

HET QUYEN DOI V0I NHAN HIEU VA NHlTNG
DE XU AT NHAM HO AN THIEN PHAP LUAT
NHAN HIEU CUA VIET NAM

NCS: Th.s Nguyen NhirQuynh
Ngiroi hirerng dan: PGS.TS Katarina Olsson va TS Bui Dang Hieu

THANG 5 NAM 2010


DH LUAT HA NQI - DH LUND DH LUAT THANH PHO HO CHI MINH

HET QUYEN DOI VOI NHAN Hlf U VA NHLfNG
DE XUAT NHAM HOAN THIEN PHAP LUAT
NHAN HIEU CUA VlfiT NAM
•

•

TT TT-Thu1 vi$n DH Lu$t TP.HCM

ri

»

1

■

J J.
i

lllllllllllllllll
A 1 4210003333

NCS: Th.s Nguyen Nhir Quynh
Ngircri hirong dan: PGS.TS Katarina Olsson va TS Bui Dang Hieu

THANG 5 NAM 2010


LOI NOI DAU
Cung nhu het quydn SHTT noi chung, het quyen doi voi nh£n hi^u la ngoai
le doi voi quyen SHTT. Thua nhan hdt quyen SHTT nhdm can bdng gitta lai
ich cua chu the ndm gift quyen SHTT va lpi ich cua ngudi tieu dung; giOra
bao h$ quyen SHTT vd dam bao luu thong cua hang hod, dich vy tren thi
trudng cung nhu canh tranh lanh manh. Ap dung nguyen tdc het quyen doi
voi nh2n hieu dupe khdng dinh la can thiet va dem lai nhttng gid tri nhat
dinh. Tuy vay, ca cdc nude phdt trien va cdc nude dang phdt trien deu gdp
nhumg kho khan trong xay dung phap luat va xu ly nhung van dd lien quan
den hdt quyen doi voi nhan hieu. Nhieu van de lien quan den thuyet hdt
quyen va lien quan den het quyen doi voi nhan hieu con gay tranh edi, ddc

bi?t la nhung vdn de ve khia canh kinh te cua het quydn. Day chinh la
nhung ly do nghien cuu sinh bat tay vao nghien cuu nay va nghien cuu sinh
co thd tiep tuc nghien cuu sau hon nura khi co co h$i trong tuong lai. Nghien
cuu sinh hy vong rdng nghien cuu nay la tai lieu tham khao cho nhung
ngudi quan tarn den thuyet het quyen va het quyen doi voi nh£n hi?u, ddc
biet la cac van de: dieu kien dan den het quyen doi voi nhdn hieu, he qua
phap ly cua hdt quydn doi voi nhan hi?u, co chd hdt quydn danh cho nh£n
hi?u va NKSS hdng hod dupe bao hp nhdn hQ, sua chua hang hod mang
nh£n hieu dupe bao ho va thoa thuan gidi han trong hop dong lien quan den
nhan hieu. Hon ntta, nghien cuu cung dua ra mQt sd dd xudt cho cac nha
lam luat cung nhu cac nha hoach dinh chinh sach - dac biet cac nha lam luat
va hoach dinh chinh sach cua Viet Nam - trong xay dung phap luat va chinh
sach vd cac van dd vua neu.

Ban thao nay la ket qua nghien cuu cua nghien cuu sinh sau hon ba ndm.
Nghien cuu sinh nhan thuc sau sdc rdng day la nghien cuu chua hoan chinh
va nghien cuu sinh edn phai no luc horn nura de hoan thipn phdn vidt hipn
nay. Nghien cuu sinh mong muon nhan dupe nhung y kien dong gop quy
bau tu cac thanh vien trong Hoi ddng va cac thdy cd cung nhu cac dong
nghiep khac. Day thqrc sp la nguon ddng gop gid tri, giup nghien cuu sinh
tiep tuc hoan thien ban thao nay trong thdi gian con lai.
Trong qua trinh nghien cuu, nghien cuu sinh da nhan dupe su khich 1? va
giup do quy bau tu cac giao su, chuyen gia, thu thu va can bo khac cua
nhidu td chuc, ddc bipt la: Truong Dai hQC Luat Ha NQi (Viet Nam), Truong
Dai hQC Lund (Thuy Dien), Du an tdng cudng giao due phap luat d Viet
Nam (do Quy hpp tac phdt trien quoc te Thuy Dien tai Uqt), Truong Dai hQC


Suffolk (My), WIPO, Vi?n nghien cuu Max Plack (Due), Co quan Sang chd
Chau Au, Thanh tra Bq Khoa hQC va Cong nghe (Viet Nam), Cue SHTT Bq Khoa hQC va Cong nghQ (Viet Nam), Cyc Quan ly canh tranh - Bq Cong

thuong (ViQt Nam), Cyc Quan ly xuat nhap khau - Bq Cong thuong (Vi§t
Nam), Cue Quan ly duQC - Bq Y t£ (Viet Nam), Tdng cyc Hai quan - Bq Tai
chinh (Vi§t Nam) va Toa an nhan dan toi cao (Vi?t Nam). Nghien cuu sinh
bay to su biet on dac biet doi vdi nhttng to chuc cung nhu thanh vien cua
nhung to chuc nay.

Nghien cuu sinh xin bay to sy biet om sau sac doi vdi hai giao vien hudng
dan - Pho giao su Katarina Olsson va Tidn si Bui Dang Hidu - nhttng ngudi
da va dang chia se kien thuc, kinh nghiem va thdi gian quy bau vdi nghien
cuu sinh. Dong thdi, nghien cuu sinh cam on gia dinh da dong vien va ho
try nghien cuu sinh vuyt qua nhung kho khan trong qua trinh thuc hien
nghien cuu nay.
Cudi cung, nghien cuu sinh thua nhan rang hinh thuc cua ban thao hien nay
chua hoan thien (dac biet la doi vdi cac chu thich). Hom nua, ngon ngu cua
ban thao nay edn duyc kiem tra. Nhung van de nay sd duoc giai quydt trong
bao thao cudi cung. Nghien cuu sinh chju hoan toan tfach nhiem ddi vdi bdt
ky loi nao trong phan viet hi$n nay.

Phap luat duyc de cap trong ban thao nay con hi$u luc vao ngay 12 thang 4
nam 2010.

Ha N$i, ngay 12 thang 4 nam 2010

Nguyen Nhu Quynh


MVC LVC

CHlTONG 1................................................................................................................. 1
Gidi THIEL............................................................................................................... 1


1.1. Ly do chyn de tai.............................................................................................. 1
1.2. Myc dich............................................................................................................ 4
1.3. Gidi han............................................................................................................. 6
1.4. Phuong phap.................................................................................................... 12
1.5. Tinh hinh nghien ciru va tai lieu....................................................................14
1.6. Ket cau.............................................................................................................. 17
CHlTONG 2................................................................................................................20
LY LUAN VE HET QUYEN SCI HUE TRI TUE VA..................................... 20

HET QUYEN D6l VOI NHAN HIEU................................................................ 20

2.1. Ly luan ve het quyen SHTT..........................................................................20
2.1.1. Thuyet het quyen.................................................................................... 21
2.1.1.1. Sy hinh thanh va phat trien cua thuyet het quyen......................21
2.1.1.2. Mdi quan he gitta thuyet het quyen voi thuyet ban lan dau tien va
thuyet cho phep ngu y................................................................................. 29
2.1.2. H^t quyen SHTT................................................................................... 32

2.1.2.1. Khai mem het quyen SHTT.......................................................... 32
2.1.2.2. Dieu kien het quyen SHTT........................................................... 33
2.1.2.3. H? qua phap ly cua het quyen SHTT........................................... 37
2.1.3. Cac co che het quyen.............................................................................. 39
2.1.3.1. Het quyen quoc gia........................................................................ 39
2.1.3.2. Het quyen khu vuc........................................................................ 43
2.1.3.3. Het quyen quoc te............................................................................44
2.1.3.4. Ket luan............................................................................................ 50
2.2. Ly luan ve het quyen doi voi nhan hieu...................................................... 52
2.2.1. Dinh nghTa va chuc n£ng cua nhan hieu.............................................52
2.2.2. Kha nang ap dung thuyet het quyen doi voi nhan hieu..................... 55

2.2.3. D£c diem het quyen doi voi nhan hieu................................................. 58
2.2.3.1. Het quyen quoc te phu hop hon doi voi nhan hieu.................... 58
2.2.3.2. Het quyen doi vdi nhan hieu tac dong dang ke den mot so san
pham............................................................................................................... 60
2.2.4. Het quyen doi voi nhan hieu trong mot so hoat dong thuong mai...61
2.2.4.1. NKSS hang hoa mang nhan hieu diroc bao ho........................... 61
2.2.4.2. Sua chua hang hoa mang nhan hieu duyc bao ho.......................65
2.2.4.3. Thoa thuan gioi han trong hyp ddng lien quan den nhan hieu..67
2.3. Ket luan............................................................................................................ 72


CHVQNG3.............................................................................................................. 74

HET QUYEN DOI VOI NHAN HIEU THEO QUY DINH...........................74
CUA Hlf P DINH TRIPS.......................................................................................74

3.1. Gioi thieu........................................................................................................ 74
3.2. Cac cong uoc quoc te lien quan den het quyen doi voi nhan hieu......... 74
3.2.1. Cong uoc Paris...................................................................................... 77
3.2.2. Hiep dinh GATT................ ,.................................................................. 80
3.3. Tong quan ve Hiep dinh TRIPS................................................................... 81
3.3.1. DSc diem cua Hiep dinh TRIPS........................................................... 81
3.3.2. Cac nguyen tac cua Hiep dinh TRIPS................................................. 84
3.3.3. Su* phu hop vdi Hiep dinh TRIPS....................................................... 87
3.4. Cac van de lien quan den het quyen doi voi nhanhieu theo quy dinh cua
Hiep dinh TRIPS................................................................................................... 88
3.4.1. Dieu kien het quyen doi voi nhan hieu................................................89
3.4.2. He qua phap ly cua het quyen doi voi nhan hieu............................... 91
3.4.3. Co che het quyen doi voi nhan hieu theo quy dinh cua Hiep dinh
TRIPS................................................................................................................ 94

3.4.3.1. Nhtrng quy dinh tuy nghi cua Hiep dinh TRIPS ve co che het
quyen............................................................................................................ 94
3.4.3.2. Quan he voi Cong uoc Paris va Hiep dinh GATT.................. 100
3.4.4. H6t quyen doi voi nhan hieu trong trudng hop sua chua hang hoa
mang nhan hieu dupe bao ho........................................................................ 102
3.4.5. Cac nguyen tac canh tranh dieu chinh thuc te chong canh tranh lien
quan den quyen SHTT..............
103
3.4.5.1. Nhung quy dinh tuy nghi............................................................ 105
3.4.5.2. Nhung tieu chuan toi thieu.......................................................... 108
3.5. Ket luan......................................................................................................... 110
CHUONG 4............................................................................................................ 112
HET QUYEN DOI VOI NHAN HIEU TRONG PHAP LUAT VA THUC
TIEN CUA MY VA LIEN MINH CHAU AU.................................................. 112

• 4.1.My..................................................................................................................112
4.1.1. Co so phap ly cua het quyen doi voi nhan hieu............................... 112
4.1.2. Dieu kien va he qua phap ly cua het quyen doi voi nhan hieu
114
4.1.2.1. Dieu kien dan den het quyen doi voi nhan hieu...................... 114
4.1.2.2. He qua phap ly cua het quyen doi voi nhan hieu................... 117
4.1.3. Co che het quyen doi voi nhan hieu va NKSS................................ 118
4.1.3.1. Nhung no luc lien tiep nham ngan chan NKSS........................119
4.1.3.2. Cim NKSS thu6c..........................................................................130


4.1.4. H$t quyen doi vai nhan hieu trong trirang hap sira chtra hang hoa
mang nhan hieu dirac bao ho......................................................................... 132
4.1.4.1. Tinh hap phap cua sira chua hang hoa mang nhan hieu duoc bao
hp.................................................................................................................. 132

4.1.4.2. Phan biet giua sua chtra, tao moi va tai che.............................. 133
4.1.4.3. Sira chtra hop phap va xam pham quyen doi vai nhan hieu... 135
4.1.5. Het quyen doi vai nhan hieu trong trirang hap ton tai thoa thuan giai
han trong hap dong......................................................................................... 140
4.1.5.1. Kha nang ngan chan het quyen doi vai nhan hieu cua thoa thuan
giai han trong hap dong............................................................................ 140
4.1.5.2. Het quyen doi vai nhan hieu trong trirang hap vi pham dieu
khoan giai han trong hop dong................................................................. 143
4.1.6. K6t luan................................................................................................ 147
4.2. Cong dong Chau Au................................................................................. 148
4.2.1. Co sa phap ly cho het quyen doi vai nhan hieu............................... 148
4.2.2. Dieu kien dan den het quyen va he qua cua het quyen doi vai nhan
hieu.................................................................................................................... 152
4.2.2.1. Dieu kien dan den het quyen trong pham vi Cong dong........152
4.2.2.2. He qua phap ly cua het quyen trong pham vi Cong dong...... 157
4.2.3. Co che het quyen trong khu virc va NKSS..................................... 158
4.2.3.1. Co che het quyen khu vtrc........................................................... 158
4.2.3.2. Dong goi lai thuoc NKSS............................................................ 163
4.2.4. Het quyen doi vai nhan hieu trong tnrang hap sira chira hang hoal70
4.2.5. Het quyen doi vai nhan hieu trong trirang hap ton tai thoa thuan giai
han theo hap dong.......................................................................................... 175
4.2.5.1. Kha nang ngan chan het quyen doi vai nhan hieu cua thoa thuan
giai han theo hop dong.............................................................................. 175
4.2.5.2. Het quyen doi vai nhan hieu trong trirang hap vi pham thoa
thuan giai han theo hap dong
176
183

CHUONG5.


185

EN DOI ven NHAN HIEU TRONG PHAP LUAT VA THIJC
TIEN CUA VIfT NAM....................................................................................... 185

5.1. Giai thieu.......................................................................................................185
5.2. Ca sa phap ly cua het quyen doi vai nhan hieu....................................... 186
5.2.1. Vai net ve phap luat SHTT Viet Nam............................................... 186
5.2.2. Cac quy dinh phap luat ve het quyen doi vai nhan hieu................. 190
5.3. Dieu kien va he qua phap ly cua het quyen doi vai nhan hieu............. 192
5.3.1. Dieu kien dan den het quyen doi vai nhan hi?u.............................. 193


5.3.1.1. Quy dinh tai Didu 125(2)(b) cua Luat SHTT...........................193
5.3.1.2. Vu vide TRIBECO\ Didu kien het quyen................................. 196
5.3.2. H? qua phap ly cua hdt quydn ddi vdi nhan hieu............................200
5.4. Co che hdt quyen va NKSS....................................................................... 201
5.4.1. Nghi dinh 63/CP: Quy dinh khong rd rang
ca che het quyen... 201
5.4.2. Thong tu 825/2000/TT-BKHCNMT: Thua nhan het quyen quoc te
vaNKSS......................................................................................................... 202
5.4.3. Luat SHTT: Khing dinh hdt quydn quoc te va NKSS...................204
5.4.3.1. Co che het quyen quoc te ap dung cho nhan hieu...................205
5.4.3.2. Vu vi?c KINGMAX'. NKSS hay xam pham quyen doi vdi nhan
hieu............................................................................................................... 208
5.4.4. NKSS thudc.......................................................................................... 211
5.4.4.1. Dinh nghTaNKSS thudc.............................................................. 212
5.4.4.2. Didu ki?n NKSS thudc................................................................ 212
5.4.4.3. Cac trudng hop NKSS thuoc..................................................... 213
5.4.4.4. Dong goi lai va dan nhan phu..................................................... 214

5.5. Hdt quydn doi voi nhan hieu trong trudng hop sua chtta hang hoa..... 216
5.5.1. Quy dinh phap luat.............................................................................. 216
5.5.2. Sua chda hang hoa mang nhan hieu trong thuc te......................... 218
5.6. Hdt quyen doi voi nhan hi§u trong trudng hap ton tai thoa thuan gidi han
trong hgp ddng.....................................................................................................219
5.6.1. Gidi han 13nh tho trong hap ddng su dung nhan hieu.................... 219
5.6.2. Gidi han lanh tho va hdt quyen ddi vdi nhan hieu......................... 221
^J^£t4yan......................................................................................................... 226

CHVONG 6J........................................................................................................... 228
THAP-EtfAT VA THlTC TIEN VIET NAM VE HET QUYEN DOI V6l
NHAN HIEU - SO SANH V6l HIEP DINH TRIPS, MY VA LIEN MINH
CHAU AU............................................................................................................... 228
6.1. Gidi thi?u...................................................................................................... 228
6.2. Co sd phap ly cho het quyen ddi vdi nhan hieu..................................... 229
6.3.1. Didu kien het quyen doi vdi nhan hieu............................................ 229
6.3.1.1. Didu ki^n ddng y.......................................................................... 229
6.3.1.2. Dieu kien dua ra thi trudng....................................................... 231
6.3.2. He qua phap ly cua het quyen ddi vdi nhSn hi?u............................ 233
6.4. Co che hdt quydn va NKSS....................................................................... 234
6.4.1. Quy dinh tuy nghi cua Hiep dinh TRIPS va nhung khac biet trong
lira chon co che hdt quydn........................................................................... 234
6.4.2. Lap luan ve su khac biet.................................................................... 235


6.4.2.1. My va Lien minh Chau Au: vai tro cua chinh sach trong lyra
chQn co chd hdt quydn................................................................................ 236
6.4.2.2. Viet Nam: lya chQn co chd hdt quydn phu h(yp vdi didu kien kinh
td-xa hpi va chinh sdch lien quan............................................................. 239
6.5. Hdt quyen ddi vdi nhan hieu trong trudng hop sua chtta hang hoa..... 248

6.5.1. Cong nhyn sua chtta: phu hyp vdi Hiep dinh TRIPS......................248
6.5.2. Quy djnh khong ddy du cua phap luat Viet Nam va tham khao phap
lu§t My............................................................................................................. 248
6.6. Hdt quydn doi vdi nhan hieu trong trudng hop tdn tai thoa thuan gidi han
trong hop dong.................................................................................................... 250
6.6.1. Phu hyp vdi Hiep djnh TRIPS............................................................ 250
6.6.2. So sanh vdi My va C$ng ddng Chau Au.......................................... 251
6.6.2.1. Kha nSng ngin chan hdt quydn cua thoa thuan gidi han trong hop
ddng.............................................................................................................. 251
6.6.2.2. Hdt quydn ddi vdi nhan hieu trong trudng hop vi pham thoa
thuan gidi han trong hop ddng.................................................................. 252
6.6.2.3. Moi quan he gitta phap luat SHTT, phap luat hyp ddng va phap
luat canh tranh ddi vdi vide didu chinh nhung thoa thuyn gidi han trong
hyp ddng lien quan den nhan hieu............................................................ 254
6.7. Kdt luan.......................................................................................................... 255
CHV0NG7............................................................................................................ 257

NHUNG DE XUAT NHAM HOAN THIf.N PHAP LI AT VIET NAM Vt
HET QUYEN Ddi VOI NHAN HIEU............................................................. 257
7.1. Gidi thieu...................................................................................................... 257
7.2. Muc dich va nguyen tAc............................................................................... 257

7.3. Dd xuat chung............................................................................................... 258
7.4. NhOng dd xuAt cy thd................................................................................... 264

7.4.1. Co sd phap ly cho hdt quydn doi vdi nhan hieu............................... 264
7.4.2. Dieu kien va he qua hdt quydn doi vdi nhan hieu............................ 266
7.4.3. Co chd hdt quydn va NKSS................................................................. 267
7.4.4. Hdt quydn ddi vdi nhan hieu trong trudng hyp sua chtta hang hoa
mang nhan hieu duyc bao hQ......................................................................... 273

7.4.5. Hdt quydn doi vdi nhan hieu ddi vdi trudng hop tdn tai dieu khoan
gidi han trong hop ddng................................................................................. 276
KET LUAN.............................................................................................................. 280

PHV LVC................................................................................................................. 283
PHU LUC 1: Dorn xin cap van bang bao hQ va van bang duQrc cap 2007-2009
............................................................................................................................... 283
PHU LUC 2: Co chd hdt quydn d m$t sd qudc gia/vung lanh tho................ 284


PHU LUC 3: MOi quan he gitta quySn SHTT va m$t sd san pham............ 285
PHU LUC 4: H6t quy6n ddi vai nhan hi$u theo phap luat My..................... 286
PHU LUC 5: Mirai mat hang xu£t khau chinh cua Viet Nam 2004-2008...287
PHU LUC 6: Mirai m$t hang nhap khau chinh cua Viet Nam 2004-2008..287
PHU LUC 7: Xuit khiu hang hoa cua Vi§t Nam theo khu vuc kinh td 20042008...................................................................................................................... 288
PHU LUC 8: Nhap kh&u hang hoa cua Viet Nam theo khu virc kinh td 20042008...................................................................................................................... 288
PHU LUC 9: Ca ch€ h£t quyBn a mot s6 nirac dang phat tridn.................... 289
PHU LUC 10: H£t quySn trong phap luat va thirc tien Vi?t Nam - So sdnh vdi
Hiep dinh TRIPS, My va Lien minh Chau Au.................................................290

DANH MUC CAC Vy VIEC.............................................................................. 293

DANH MUC VAN BAN...................................................................................... 298
DANH MUC CAC BAI VIET............................................................................304


BANG VIET TAT
AIPPI
ASEAN
BLDS

CUTS
EC
ECJ
EEA
EFPIA
EEC
CFI
EFTA
EU
FDA
ICTSD
Hiep dinh
GATS
Hiep dinh
GATT
Nghien cihi
NERA

NKSS
NOIP
OECD
R&D
Hiep dinh
TRIPS
TRIPS Council

SHTT
UNCTAD
XKSS


Hi$p hHiep hQi cac nude Ddng Nam A
Bq luat Dan su
To chuc trach nhiem va su thong nhat ngudi tieu
dung (India)
CQng ddng Chau Au
Toa an Cong ddng Chau Au
Khu vuc Kinh td Chau Au
Hiep h$i nganh cong nghiep thudc Chau Au
C$ng ddng Kinh te Chau Au
Toa sa tham (Toa an Cong ddng Chau Au)
Thoa thuan Thuang mai tu do Chau Au
Lien minh Chau Au
Ca quan Quan ly thuc pham va thudc (My)
Trung tarn Thuang mai va Phat tridn bdn vung
qudc te
Hiep dinh chung ve thuang mai va dich vu
Hiep dinh chung ve thud quan va thuang mai

Nghien cuu vd “Nhung he qua kinh te cua vide
lua chQn ca chd quydn cho nhan hieu” do Hiep
hoi Nghien cuu Kinh te Qudc gia tien hanh vdi
su uy quydn cua Uy ban Chau Au
Nhap khau song song
Cue Sd huu tri tue (Viet Nam)
To chuc phat trien va hop tac kinh te
Nghien cuu va phat trien
Hiep dinh ve cac khia canh thuang mai cua
quydn sd huu tri tue
Hoi ddng quan ly Hiep dinh ve nhung khia canh

thuang mai cua quydn sd huu tri tue (WTO)
SHTT
Dien dan thuang mai va phat trien cua Lien hiep
qudc
Xuat khau song song


US
WHO
WIPO
WTO

My
To chuc Y te the thai
T6 chuc SHTT th£ giai
To chuc thuang mai the giai


CHL1JNG 1
GI0I THlf U
1.1. Ly do chQn de tai
Hdt quydn SHTT khong con la van de moi ddi vdi hau het cac nude tren the
gidi, tuy nhien, day van la “mQt trong nhung de tai lien quan den SHTT gay
tranh luan gay git nh^t.”1 Ddng thdi, “het quyen va nhap khau song song co
16 la mQt trong nhung vAn de SHTT lien quan nhieu nhat den thuomg mai.”2
Do do, vAn de nay thu hut sy quan tarn cua cac nha nghien cuu phap luat va

kinh te.
Thuyet het quyen SHTT duyc hinh thanh tu nhung phan quyet cua Toa an
va hi?n nay duyc chuyen tai vao phap luat nhieu quoc gia do yeu cau thuc

thi Hi?p dinh TRIPS. Hiep dinh TRIPS bao gom mQt dieu quy dinh rd rang
ve het quyen SHTT (Dieu 6).3 Thuyet het quyen duyc tao ra nhSm kiem soat

tinh dQC quyen cua quyen SHTT. Thuyet nay xac dinh thdi diem cham dut
quyen SHTT cua chu the nSm gitr quyen SHTT ddi vdi san pham cu the
duyc bao hQ quyen SHTT. Theo thuyet het quyen SHTT, het quyen SHTT
xay ra khi san pham duyc dua ra thi trudng bdi chinh chu the nSm gift
quyen SHTT hoftc vdi su ddng y cua chu the nay. Hq qua la, chu the nSm
* quyen SHTT mat quyen kiem soat sy luu thong tiep theo cua san pham;
giu
ngudi mua cd quyen su dyng, tang cho, chao hang, ban l^i san pham. Ben
canh dd, quyen kiem soat hoat dQng xuat khau, nhap khau san pham cua chu
the nam giu quyen SHTT ve nguyen tac cung khong con khi co che het
quyen khu vuc hoac co che het quyen quoc te duoc ap dung.
Het quyen SHTT duyc thua nhan la mQt van de phuc tap xuat phat tu cac
khia canh kinh te va phap ly cua no. Trude het, het quyen SHTT phan anh
moi quan he gitta phdp luat canh tranh va phap luat SHTT.4 “Moi quan he

gitta bao hQ quyen SHTT va chinh sach canh tranh l£m phat sinh nhung van
Peter Ganea, Exhaustion of IP Rights: Reflections from Economic Theory. Institute of Innovation
Research-Hitotsubashi University, Japan, 2006.
Nhyn xdt ndy cua Thomas Cottier dirge trich dan tyi bdi Ekaterina Shekhtman vb Evgeniy Sesitsky. Xem:
Sheckhtman, Ekaterina and Sesitsky, Evgeniy, Exhaustion and Parallel Importation in the Field of
Trademark,
2008,
< />Hi?p djnh TRIPS Id Phy lyc IC cua Thoa thuyn Marrakesh ve thiet lap WTO, dirge ky tyi Marrakesh.
Morocco ngay
15 thdng 4 ndm
1994. Todn vdn Hiep djnh dirge tim thay tyi:
http^/www. wto.org/english/tratop_e/trips_e/t_agmO_e.htm.

Ve moi quan he giira phdp luyt sd hdu tri tye vd phap luyt cynh tranh. xem: Steven D. Anderman. (bien
typ), The Interface between IPRs ad Competition Policy. Cambrige University Press. 2007; Alice Pham.
C ompetilion Law and Intelelclual Property Rights: Controlling Abuse or Abusing Control? CUTS
International, Jaipur, Inida, 2008; Tina Hart, Linda Fazzani and Simon Clark, Intellectual Property Law,
5 ' edition, Palgrave Macmillan, 2009.


dd phuc t^p, nhttng vdn de ndy da nhyn dirge nhieu giai phap phap ly dong
thdi gay ra nhidu tranh cdi.”5 Cy the, vi?c thyc hiyn cdc quydn SHTT mang

tinh chdt dgc quydn cd the gay ra nhttng rdo can phi thud quan doi vdi co

h$i tidp can hang hoa vd djeh vy dirge bao hg quyen SHTT cung nhir vdi sy
luu thong binh thirdng cua nhOrng san pham ndy. Myc dich cua viyc dp dyng
thuyet het quyen la nhdm can bang xung dgt von cd giOra lgi ich cua chu the
ndm quydn SHTT vd lgi ich cua ngudi tieu dung cung nhir gifra bao vy
quyen SHTT va dam bdo sy liru thong binh thirdng cua hang hod, djeh vy.
Ddi vdi thuang mai qudc td, vide dp dyng thuydt het quydn nhdm ngdn ch$n
cdc chu the ndm gilt quydn SHTT sir dyng quydn SHTT de chia cdt thj
trudng. Do dd, het quydn khong chi thugc ve phap luat SHTT ma lien quan
rdt nhieu den cdc van de kinh td. Hon nOra, kho danh gid mgt each day du
nhOrng tdc dgng cua moi co che het quydn. Tdc dgng cua co che hdt quydn
“rat khac bi?t gitta cdc nude, cdc nganh cong nghiyp va cdc ddi tugng
SHTT.”6 Chang han, My ap dyng co chd hdt quydn qudc gia, Lien minh
A

9

9


>

Chau Au lya chgn co chd hdt quydn khu vyc, trong khi dd sy lya chgn cor
chd hdt quydn lai khong rd rdng ddi vdi mgt so nude phat trien khac. Trong
cdc ddi tugng SHTT, co chd hdt quydn qudc td dudng nhu phu hgp vdi nhdn
hi?u han vdi sdng chd vd quydn tdc gid.
0 cap dQ qudc td, vdn ban phdp luyt quoc te quan trQng nhat quy dinh ve hdt

quydn SHTT ndi chung vd het quyen ddi vdi nhdn hiyu ndi rieng Id Hiyp
djnh TRIPS. Hi?p dinh TRIPS phan dnh nhttng no lyc cua cdc qudc gia
trong viyc loyi bo rao edn doi vdi thuang mai qudc td dong thdi khdng dinh
het quydn SHTT Id mQt trong nhttng khia canh thuang mai cua quyen
SHTT. Ben canh nhttng yeu cdu tdi thidu, Hi?p dinh TRIPS cung bao gdm
cdc quy dinh tuy nghi (quy dinh md) cho phdp cdc nude thanh vien cua
WTO sir dyng trong xay dyng phdp luyt va giai quyet nhitng van dd lien
quan ddn hdt quydn SHTT. Moi nude thanh vien cd quyen lya chgn chinh
sach, nguyen tdc doi vdi hdt quydn SHTT vd thuang myi song song. Do
nhChig quy djnh tuy nghi cua Hiyp djnh TRIPS vd hdt quydn SHTT, sy khde
biyt phdp luat vd hdt quydn ddi vdi nhdn hi?u gida cdc nude thanh vien cua
WTO van tidp tuc tdn tyi nhu trudc khi thidt lyp Hiyp dinh ndy.
Ddi vdi Viyt Nam, song song vdi nhung thay ddi Idn trong lTnh vyc phdp
luat ke tu khi ban hanh Hien phdp ndm 1992, van dd hdt quydn SHTT - mQt

UNCTAD-ICTSD Project on IPRs and Sustainable Development. Resource Book on TRIPS and
Development, Cambridge University Press. 2005. trang 571.
Caste Fink & Keith E. Maskus (bien t^p), Intellectual Property and Development Lessons from recent
economic research, A copublication of the World Bank and Oxford University Press, 2005, trang 172.

2



vAn d6 mdi chua dung cac khia canh thuang mai - lAn dau tien dupe quy
dinh trong BLDS nSm 1995 (t^ii DiSu 803(2)) va h$t quy6n d6i vdi nhan
hi$u 14n d£u tien duac quy dinh trong Nghi djnh 63/CP (tai Dieu 53(3)(b)).7
Ki tu nhumg quy dinh mang tinh budc ngo^t nay, het quyin dugc thua nhan
d Vipt Nam m£c du thuat ngu “hit quyen” khong xuat hien trong bat ky v£n
ban phap luat nao. Vipt Nam quy dinh rd ca che het quyen qudc ti dupe ap
dung cho nh£n hieu (theo quy dinh tai Dieu 125(2)(b) Luat SHTT) va NKSS
thudc dugc cong nhan hop phap (theo quy dinh cua Quyet dinh
1906/2004/QD-BYT). Tuy v$y, “Vipt Nam van la mQt nude dang chuyen
doi va ca cac hQC gia Vipt Nam cung nhu nude ngoai deu cho ring khung

phap ly con thieu ddng bp va chua hoan chinh, toi thieu ddi vdi cac van de
lien quan den thuang mai.”8*Nhan xet nay hoan toan chinh xac ddi vdi cac
quy djnh phap luat vi hit quyin ddi vdi nhan hipu, trong do mot sd quy
dinh chua rd rang va nhieu quy dinh chua day du ho£c thieu quy dinh can
thiet. Hit quyin SHTT mdi chi dupe giai quyet tai cac ca quan hanh chinh
trong mQt sd vu viec (dien hinh la vu TRIBECO nzl vu KINGMAXf va chua
duac giai quyet tai Toa an. Noi chung, cac van di lien quan din het quyen
SHTT vln la nhumg van de mdi ddi vdi Vipt Nam. Nhttng han che vua neu
da ton tai tu trudc va tiip tuc ton tai khi Viet Nam trd thanh thanh vien thu

150 cua WTO vao ngay 11 thang 01 nSm 2007. Vdn de la Viet Nam phai
lam thi nao de tuan thu cdc yeu cau tdi thieu cua Hiep dinh TRIPS, ddng
thdi su dung duac nhflmg quy djnh tuy nghi cua Hipp djnh vi hit quyen
SHTT d muc do “ddy du nhat”10 cho phu hap vdi lai ich va chien luac cua
dat nude.11 Nhu thuc tien cua nhieu nude da chung minh, nhumg quyen va

nghTa vu nay khong de dang thuc hien.


7 BLDS cua niroc Cgng hoi xi hgi chu nghTa Vigt Nam. dugc Qu&c hgi thong qua thing 10 nim 1995 vi
co hi?u lyc tir ngiy 1 thing 7 nim 1996; Nghi djnh 63/CP ngiy 24 thing 10 nim 1996 quy djnh chi tiet ve
so huru cong nghiyp (Nghi djnh niy di het hi?u lyc ke tir ngiy BLDS nim 2005 c6 hi?u lyc thi hinh vio
ngiy 01 thing 7 nim 2006).
Christina MoSlI, Rules of Origin in the Common Commercial and Development Policies of the European
Union, Juristfbrlaget in Lund, 2008, trang 277.
Vy viyc TRIBECO lien quan den dieu kiyn dan den het quyen so huru cong nghi^p va dirge giii quyet tyi
cic co quan hinh chinh Vi?t Nam (1999-2001), xem Phin 5.3.1.2. de c6 them chi tiet. Vy vi^c KINGMAX
liSn quan den nhyp khiu song song vi cung dirge giii quyet tai co quan hinh chinh, xem PhAn 5.4.3.2. de
c6 them chi tiet.
Duncan Matthews (tq Viviana Munoz-Tellez, Parallel Trade: A User's Guide fin Intellectual Property
Management in Health and Agricultural Innovation: A Handbook of Best Practices, eds. A Krattiger, RT
Mahoney, L Nelson, et. al.). MIHR: Oxford, U.K., and PIPRA: Davis, U.S.A. <wy^^iollj^bguk1o^>,
trang 1433.
Correa, Carlos M., Intellectual Property Rights, the WTO and Developing Countries: The TRIPS
Agreement and Policy Options, Zed Books Ltd., 2000, trang 225; Durin, Esperanza and Michalopoulos,
Constantine, Intellectual Property Rights and Developing Countries in the WTO Millennium Round,
Volume 2, Issue 6, trang 871-872 (phit hinh tren Internet ngiy 01 thing 11 nim 2005).

3


Hdt quydn SHTT la mQt lTnh vyc phdp luyt phuc typ. Khi duyc sir dung hiyu
qud, phdp luat ve het quyen SHTT tra thanh mQt cong cy httu ich trong
kiem che thyc te chong cynh tranh va mang lai lyi ich cho cd ngudi tieu
dung cung nhir cac ngdnh cong nghiyp. Do dd, phdp luat ve het quydn
SHTT gop phan thuc day phdt trien kinh te va phuc lyi xd hQi.

Het quyen doi vdi nhdn hi^u c6 mQt so ddc diem khdc biQt vd chua dyng
nhieu van de gay tranh cdi so vdi het quyen doi vdi cac ddi tirong SHTT

khac12 xuat phdt tu chuc ndng chi dan nguon goc hang hod vd dich vy, kha
ndng tyo ra quyen tao ra quyen lyc thj trudng cua nhdn hi$u thap (ddc bi$t
so vdi sang che va quyen tac gid) va kha ndng duyc bao hQ vd thdi hyn. Neu
nhu khong ai nghi ngd ve het quyen ddi vdi sang che, kieu ddng cong
nghiQp vd quyen tac gid, sy can thiet dp dung het quyen ddi vdi nhdn hi£u
cdn la van de tranh cdi. Han ntta, co che het quyen quoc te dudng nhu thich
hyp han vdi nhdn hi?u trong khi dd ca che het quyen quoc gia lai thuong
duyc dp dung cho sang che va quyen tac gid. Sua chda thuong xay ra vdi
hang hod mang nhdn hieu (va sang che) duyc bao hy nhung lai hiem khi xay
ra vdi hdng hod duyc bao hQ quyen tac gia. Cung do ddc diem cua nhdn
hiyu, phdp luyt canh tranh duyc cho la khong can thiet can thiyp vdo cdc
thoa thuyn gidi han trong hyp ddng lien quan den nhdn hiyu. Them vdo do,
het quyen ddi vdi nhdn hiyu tdc dyng nhieu han den mQt sd hang hod nhat
dinh.13

Nhung gid trj, tinh phuc tap cua van de het quydn ddi vdi nhdn hiyu va ddc
biyt la thyc trang phdp luat ve het quyen ddi vdi nhdn hiyu cua Viyt Nam dd
loi cuon su quan tarn cua nghien cuu sinh. Do dd, nghien cuu sinh dd chQn
de tai Het quyen ddi vdi nhdn hi£u vd nhung de xuat nham hoan thi?n
phdp luat nhdn hi$u cua Vi^t Nam ” cho luyn an tien sT.cua minh.
1.2. Myc dich

Luan an nhdm dat hai myc dtch: thu nhat, xem xet va lam rd mQt sd van de
ve het quyen ddi vdi nhdn hiyu; thu hai, dua ra nhung kien nghi cho Viyt
Nam trong hoan thiyn phdp luat ve het quyen ddi vdi nhdn hiyu.

Irong lu$n in niy, het quyen doi vdi nhin hi?u chu yeu dugc so sinh vdi het quyen ddi vdi sang che,
quyen tic gia vi kieu dang cong nghi?p.
Nhung khic bi?t ve h6t quyen doi vdi nhin hi$u so vdi het quyen doi vdi cdc doi tugng SHTT (dye bi(‘t
la sang che vd quyen tdc gia) dupe lim rd

Phan 2.2. cua lu§n in niy.

4


Dd dyt dirge myc dich thur nhat, luyn dn khai thde cdc khia cynh ly thuyet,
phdp ly va thyc tien cua het quyen ddi vdi nhan higu. Cy the, ly thuyet vd
hdt quydn ddi vdi nhan higu dirge lam rd tren ca sd tap trung vao sy hinh
thanh vd phdt trien cung nhu n$i dung cua thuyet hdt quydn, cac ca chd het
quydn (bao gom hdt quydn qudc gia, hdt quydn khu vyc vd hdt quydn qudc
te), nhttng tranh luyn vd kha ndng dp dyng cua thuyet hdt quyen ddi vdi
nhdn higu, ddc diem cua hdt quydn ddi vdi nhan higu va hdt quydn ddi vdi
nhan higu trong mgt sd hoyt d$ng thuang myi (bao gom NKSS hang hod
dugc bdo hQ nhdn higu, sua chtta hdng hod dugc bao hg nhdn higu va dieu
khoan gidi hyn trong hgp dong lien quan den nhan higu). Sau dd, cac khia
cynh phap ly vd thyc tien cua het quydn ddi vdi nhdn higu dugc 1dm rd
thong qua gidi quyet mgt loyt cac van de. Chang han, van de het quyen ddi
vdi nhdn higu trong Higp dinh TRIPS; hdt quydn ddi vdi nhdn higu trong
phap luyt va thyc tien cua My, Lien minh Chau Au va Vigt Nam; muc dg
tuang thich cua phdp luat Vigt Nam vd hdt quyen ddi vdi nhdn hi?u so vdi
Higp djnh TRIPS; nhttng tuang dong va khac bigt giua phap luat cung nhu
thyc tien cua Vigt Nam vdi phap luat, thyc tien cua My va Lien minh Chau
Au vd hdt quydn doi vdi nhdn higu.
X

f

Dya tren nhttng ket luan dugc rut ra tu nghien cuu thuyet hdt quydn ndi
chung, het quyen ddi vdi nhdn hi?u ndi rieng cung nhu xem xdt boi canh
kinh te-xd hQi cua Vigt Nam, nghien cuu sinh dua ra nhCTng kien nghj cho

Vigt Nam trong hoan thign phdp luat vd hdt quydn ddi vdi nhdn higu. Day
chinh la myc dich thu hai cua luyn an. Hoan thign phap luat nhdm lam cho
phap luyt vd hdt quydn ddi vdi nhdn hi?u trd nen toan dien han, dong bg han
va kha thi han. Han ntta, hoan thign phap luat nhdm bao vg va can bdng
giita lgi ich cua chu sd htfru nhdn hi?u, nhd san xuat san phdm mang nhdn
hi?u dugc bao hQ vd lgi ich cua ngudi tieu dung; dd bd cdc rao can trong
thuang mai; thuc day cynh tranh lanh manh. Muc tieu cuoi cung Id thuc day
phdt trien kinh td va phuc lgi xd hQi.

Dd dat dugc myc dich nghien cuu thu hai, nghien cuu sinh dya vao mQt sd
yeu td nhu danh gid phdp luat Vigt Nam hign hanh vd hdt quyen ddi vdi
nhdn hiQu va djnh hudng hoan thign phdp luyt cua Nha nude - do Id Chien
lupc xay dung va hoan thien he thong phdp luat Viet Nam den nam 2010,
dinh hudng den nam 2020.^ Phdp luat Viet Nam hign hanh vd hdt quydn ddi
vdi nhdn higu dugc danh gid tren co sd xem xet mgt sd van dd nhu sy phu
x Xem Nghi quy£t so 48-NQ-TW cua Bq Chinh trj Dang CQng san Vi?t Nam ngiy 24 thing 5 nftm 2005
vc Chien luge xay dgng vi hoin thi?n hQ thong phip lugt Vi$t Nam den nim 2010. djnh hudng den nim
2020.
5


hgp vdi didu ki?n kinh td-xd hQi cua Vi?t Nam, sy twang thich vdi Hi$p
djnh TRIPS va kha ndng didu chinh cdc van dd phdt sinh trong thyc tien.

1.3. Gidi han

Luan an chi tap trung nghien cuu het quydn doi vdi nhdn hi?u vd dira ra
phdp luyt nhdn hi?u Vi?t Nam. Gidi hyn cua luan an dirge xdc djnh cy the

nhu sau:
Thu- nhdt, luqn an chi nghien cihi het quyen ddi voi nhdn hi?u chu- khong

SHTT khac.
Luan dn chi tap trung nghien cuu het quyen doi vdi nhdn hiQu vdi ly do het
lien quan den het quyen ddi vdi nhdn hi?u edn gay tranh edi (sd trinh bay d
Phan 2.2.2.). MQt so ngudi tham chi con hoai nghi vd kha ndng dp dyng cua
thuyet hdt quydn cho nhdn hieu vdi nhung lyp luan dua vao ly thuyet bu ddp
chi phi cho chu the sang tao, chuc ndng chi dan nguon goc cua nhdn hi$u va
tinh dQc quydn cua quydn SHTT. Ben canh do, mQt so van de khac van tiep
tyc duQc bdn luan nhu: ca che hdt quyen qudc te phu hgp vdi nhdn hi?u han
ca che het quydn qudc gia vd ca che het quydn khu vyc; giai quyet cdc van
de phuc typ lien quan den het quydn doi vdi nhdn hi£u phdt sinh tu thyc tien
(chdng hyn, sua chtta hang hod duyc bdo hQ nhdn hi?u va dp dyng phdp luyt
cynh tranh doi vdi nhttng thoa thuyn mang tinh gidi han trong cdc hyp ddng
chuyen giao quydn su dyng nhdn hi^u).
Han ntta, ddi vdi Vi?t Nam, nghien cuu vd hdt quydn ddi vdi nhdn hi?u dem
lai gid trj thiet thyc cho nhttng nha hoych djnh chinh sach, doanh nghi^p va
ngudi tieu dung. Mdc du mQt sd diem chua rd rang edn ton tyi trong Didu
125(2)(b) Luat SHTT, trong chung myc nhat dinh, hdt quydn ddi vdi nhdn
hi?u duyc quy djnh rd rang han hdt quydn ddi vdi cdc ddi tuyng SHTT
khde. Them vao dd, nhdn hi?u la ddi tuyng sd huu cong nghi^p pho bien
nhat d Vi$t Nam (dd biet them chi tiet, xem Phy lyc 1). Bdn cynh dd, cdc
khieu nai va tranh chap SHTT duyc yeu cau giai quyet tyi cdc ca quan nha
nude cd tham quydn cung hau hdt lien quan den nhdn hi$u.

Tuy nhien, trong luan dn nay, hdt quydn SHTT noi chung duyc gidi thi?u
khai quat (tyi Phan 2.1.1) vdi y nghTa la nen tang cho hdt quydn ddi vdi

6

quyen tdc gid ho$c cac doi tuyng SHTT khac chi nhdm myc dich so sdnh,
lam rd vdn de hdt quydn ddi vdi nhdn hidu.

Thu hai, luan an chi nghien cuu het quyen ddi vdi nhdn hit?u theo quy dinh
cua Hiep djnh TRIPS chu khong phdi tat cd cac cong udc quoc te lien quan
den het quyen ddi vdi nhdn hieu.
Trude het, edn liru y rdng khong cd bat ky cong udc quoc te nao - trong dd
bao gom cd Hidp dinh TRIPS - quy djnh cy the ve het quyen ddi vdi nhdn
hidu. Them vdo dd, Hidp djnh TRIPS khong phdi Id thoa thuan da phuong
duy nhdt ve hdt quydn SHTT. Tuy nhien, Hidp dinh TRIPS la vdn ban phap
luyt quan trQng nhat vd SHTT cua WTO. Hidp djnh ddi hoi cdc nude thdnh
vien cua WTO tuan thu cdc tieu chuan bao hQ tdi thieu ddi vdi cdc doi
tUQng SHTT bao gdm quydn tac gid, nhdn hieu, chi dan dia ly, quydn doi
vdi gidng cay trong, kieu ddng cong nghidp, sdng chd, thiet kd bo tri mach
tich hop ban dan vd thong tin bi myt. Nhttng tieu chuan bao hQ ndy duQC
dam bao thyc thi bdi mQt co chd ddc bidt duyc gQi la Co chd gidi quydt
tranh chap. Vdi vide thiet lap co chd ndy, WTO yeu cau cdc nude thdnh vien
thuc day bao hQ quyen SHTT d cd hai cap dQ quoc gia vd qudc te. Tuy vyy,
trong thyc td, co chd gidi quydt tranh chdp quy dinh trong Hidp dinh TRIPS
duyc cdc nude phdt trien su dyng dd de doa lay di hodc thyc td dd lay di
nhttng lyi ich thuong myi trong mQt sd linh vyc kinh td cua mQt so nude
dang phdt trien.15 Tu ndm 1995 den ndm 2007, My dd yeu cdu Co quan gidi
quydt tranh chap cua WTO gidi quydt sau vy vide nhdm chdng lai mQt sd
nude dang phat trien vd Lien minh Chau Au cung yeu cau gidi quyet mQt vy
vide.16 0 goc dQ ndy, Hidp dinh TRIPS cd the duyc coi nhu cong cy phap ly
cho cdc nude phdt trien chdng l^i cac nude dang phdt tridn vi myc dich
khong phdi la thyc thi quyen SHTT.

Vd cdc vdn dd lien quan den hdt quydn SHTT, cdc quy dinh cua Hidp djnh
TRIPS bao gdm hai loyi: cdc quy dinh bdt bu$c vd cdc quy djnh tuy nghi
(duyc phan tich trong Chuang 3). Theo Hidp djnh TRIPS, nhttng tranh chdp
lien quan ddn hdt quydn SHTT ndm ngoai hd thong gidi quydt tranh chap
cua WTO (Didu 6). Do do, mQt nude thanh vien cua WTO khong thd yeu
cau Co quan gidi quydt tranh chdp cua WTO xem xdt mQt vy vide nhdm
chdng lai mQt nude thdnh vien khac vdi ly do nude bi ki?n dp dyng chinh

Xem: Carolyn Deere, The Implementation Game: The TRIPS Agreement and the Global Politics of
Intellectual* Property Reform in Developing Countries, Oxford University Press. 2009, trang 156-157.
Theo thong ke cua Carolyn Deere, nhOng vy vi$c n£y 14: US v. Pakistan (1996). US v. India (1996). EU
v. India (1996), US v. Argentina (1999), US v. Brazil (2000). US v. China (2007). Xem: Carolyn Deere,
trang 157.

7


sdeh h£t quySn gay hyu qud bdt lgi cho nuac khai ki?n. Tuy nhien, Hi?p
djnh TRIPS khong lam rd khai ni?m h£t quy6n. Do do, cdc nude thdnh vien
c6 th£ yeu cdu Co quan gidi quy£t tranh chip cua WTO lam rd khdi ni?m

nay17*
. Hon ntta, trong thyrc te, chinh sdeh het quyen cua mQt nude thdnh
vien WTO cd thi Id vdn di gay tranh edi trong quan h? thuang myi song
phuong gitta cdc nude thdnh vien cua WTO. Hit quyen SHTT duQC chung
minh la mQt trong nhOng vdn di quan trQng md cdc nude phdt triin mong

muin dua vdo cdc thoa thuyn thuemg mai song phuong vdi cdc nude dang
phdt triin nhdm bdo dam chinh sdeh thyrc thi Hi?p djnh TRIPS vdi edeh tiep
can tren mire yeu cau cua Hi?p djnh nay.

Xudt phdt tu nhOng ly do tren day, trong qud trinh xay dyng vd thi/c thi
phdp luat vi hit quyin SHTT ndi chung vd hit quyin ddi vdi nhdn hi?u ndi

rieng cdc nude thanh vien cua WTO edn phai nghien cuu ky ludng Hi?p
dinh TRIPS. Cdc nude nen dp dyng edeh tiep can ddp ung nhQ’ng yeu cdu toi
thieu cua Hi?p dinh TRIPS ddi vdi nhOng van di lien quan den het quyen
SHTT. Mdt khac, cdc nude edn su dyng nhOng quy dinh tuy nghi vi het
quyen SHTT cua Hi?p dinh TRIPS phyc vu cho lyi ich va chien Iuqc qudc

Thu ba, phdp lupt vd thuc tien cua Vi?t Nam, My vd Lien minh Chau Au ve
het quyen ddi vdi nhdn hi$u dupe nghien cuu thdu ddo trong luqn dn nay.
SHTT; trong khi do, thuyt ngQr “hit quyin” bat ngudn tu Chau Au. My dien
hinh cho co chi hit quyin qudc gia, trong khi dd Lien minh Chau Au lyi la
17 William J. Davey vi Werner Zdouc, The Triangle of TRIPS. GATT and GATTS, (trong tic phim cua
Thomas Cottier vi Petros C. Mavroidis, Intellectual Property Trade. Competition, and Sustainable
Development, World Trade Forum, Vol.3.), The University of Michigan Press. 2003, trang 66; Frederick
M. Abbott, The Doha Declaration on the TRIPS Agreement and Public Health: Lighting a Dark Corner at
the WTO, Journal of International Economic Law, Vol. 5, 2002, trang 493.
Xem: Carsten Fink, Entering the Jungle of Intellectual Property Rights Exhaustion and Parallel
Importation, (trong tic phAm cua Carsten Fink vi Keith E. Maskus (bifin t$p), Intellectual Property and
Development: Lesson from Recent Economic Research), The International Bank for Reconstruction and
Development/World Bank, 2005, trang 184; Tait R. Swanson. Combating Gray Market Goods in a Global
Market: Comparative Analysis of Intellectual Property Laws and Recommended Strategies. Houston
Journal of International Law, Vol. 22, 2000; Deere Carolyn, trang 152 (Bang 5.1.). Ddi vdi Vifit Nam. het
quyen SHTT cung li van de gay tranh cii trong qui trinh dam phin Hi?p djnh thuang m$i song phuong
£*0a MJ vi Vifit Nam.
Carlos M. Correa, Intellectual Property Rights, the WTO and Developing Countries: The TRIPS
Agreement and Policy Options, Zed Books Ltd.. 2000, trang 225. Khi dua ra nhOng gyri y cho cic nude
dang phit trifin trong thyc thi Hifip djnh TRIPS, Durin vi Michalopoulos dit nhOng quy djnh tuy nghi

(hay quy djnh md) cua Hifip djnh d vj tri dAu tifin trong danh myc cic ggi y vi m^t trong nhOng quy djnh
tuy nghi mi cic nude dang phit trifin nfin khai thic dd li quy djnh ve nh(ip khAu song song. Xem:
Esperanza Durin vi Constantine Michalopoulos, Intellectual Property Rights and Developing Countries in
the WTO Millennium Round, Volume 2, Issue 6, trang 871-872. (phit hinh trfin Internet ngiy 01 thing 11
nim 2005).

8


vi dy duy nhdt cho co che het quyen khu vyc. Ca My vd Lien minh Chau Au
ddu c6 nhidu kinh nghi?m trong giai quydt cdc vu vi?c vd hdt quydn ndi
chung va het quyen ddi vdi nhdn hi?u ndi rieng. Ddi vdi het quyen nhdn
hi?u, My sang tyo ra ngoyi 1? “khac bi?t ve hang hoa” de ngdn ch£n thanh
cong NKSS vd cd nhieu kinh nghiem trong gidi quyct nhQng van de phuc
tap lien quan ddn het quydn doi vdi nhdn hi?u (va het quydn SHTT ndi
chung) nhu sua chtta hang hod mang nhdn hi?u dugc bdo hQ vd dieu khodn
gidi hyn trong hgp dong chuyen giao quydn su dyng nhdn hiyu. Phdp luyt
CQng ddng Chau Au vd hdt quydn ddi vdi nhdn hi?u cung la mQt linh vyc
phdp luat tuang doi hoan thi?n. Cdc quy dinh phdp luat va cdc dn 1? cua
Lien minh Chau Au vd dieu kiyn hdt quydn, hy qua phdp ly cua hdt quyen va
didu khoan gidi han trong hop dong chuyen giao quydn su dyng nhdn hi?u d
muc dQ hoan thi?n cao. Dong thdi, Lien minh Chau Au giai quyet rat tot
nhQng vdn dd phdt sinh tu hoat dQng NKSS thudc. Ddng gdi lyi thuoc
thudng xuyen xay ra trong hoyt dQng thuang myi song song ddi vdi san
pham thudc va Lien minh Chau Au lai cd nhieu kinh nghi?m trong xu ly
loai vi§c phuc tap nay. Ben canh My va Lien minh Chau Au, kinh nghiem
tu mQt sd nude phdt trien khde nhu cdc nude ASEAN va An Dq cung dugc
de cap nhung khong dugc nghien cuu sau trong luyn dn nay. Dieu quan
trQng can phdi ghi nhd la “khong cd mQt mo hinh phdp luyt ndo phu hgp vdi
tat cd cdc mo hinh khde.”20 Trong xay dyng va hoan thi§n phdp luyt ViQt

A

Nam vd het quyen doi vdi nhdn hi?u, trudc het phdi dua vao dieu ki?n cy
the cua ViQt Nam. Van dung nhQng kinh nghiem nude ngoai trong qua trinh
xay dyng va thuc thi phdp luat la edn thi£t nhung phdi dugc chQn Iqc mQt
edeh ky ludng.

Thu tu, luan dn chi tap trung nghien cuu nam vdn de sau day: (i) dieu kien
het quyen; (ii) he qua phdp ly cua het quyen; (iii)ca che het quyen vd NKSS
hang hod dupe bdo h$ nhdn hieu; (iv) sua chtra hang hod mang nhdn hieu
dupe bdo hp; (v) dieu khodn gidi han trong hpp ddng lien quan den nhdn
hi?u.
Van de thu nhat va thu hai la nhQng van de ca ban cua het quyen ddi vdi
nhan hiyu (va het quyen SHTT ndi chung). NhQng van de ndy dugc coi nhu
nen tang de hieu cdc van de khde lien quan den het quyen ddi vdi nhdn hieu.
Dieu ki?n het quyen la edn cu de xac dinh ca che het quyen va tinh hgp
phdp cua NKSS. Quyen sua chQ
*a
hang hod mang nhan hiyu dugc bdo hQ la
mQt trong nhung hQ qua phdp ly cua het quyen ddi vdi nhdn hiyu. Vi dy,
20 Nguyen Thanh Tu, trang 351.

9


theo Didu 7(1) Chi thj 2008/95/EC (tuomg ty tyi Didu 13.1 Quy djnh
207/2009), het quydn ddi vdi nhan hidu xay ra khi hang hoa dirge dira ra thj
trudng bdi chinh chu sd hOru nhan hidu hoSc vdi sy ddng y cua chu sd hOru
nhMn hidu. Quy dinh nay khang djnh phdp lu§t CQng ddng Chau Au lya
chQn co chd het quyen khu vyc. Cung theo Dieu 7(1) Chi thj 2008/95/EC

(tuong ty tyi Didu 13.1 Quy djnh 207/2009), sau khi dua hang hoa ra thi
trudng, chu sd httu nhan hidu mat quydn ngan ch$n vide su dyng nhan hidu
doi vdi hang hod dd. Do dd, sua chiJa hang hoa mang nhan hidu dupe bao
hQ sau khi hdt quydn ddi vdi nhan hidu xay ra dupe coi la hanh vi hpp phap
%
A
theo quy djnh cua phap luyt CQng ddng Chau Au.

Thuong mai song song chi la mQt trong nhieu hd qua phat sinh khi co chd
hdt quydn qudc td hoac hdt quydn khu vyc dupe ap dyng. Tuy nhien, thuong
myi song song va dac bidt NKSS cd nhieu van dd can ban nhat khi xem xet
hdt quydn SHTT. Ly do la thuong mai song song tac dQng true tiep den lpi
ich qudc gia, doanh nghidp va ngudi tieu dung. Cot ldi cua lua chpn co chd
hdt quydn la xem xdt co thua nhyn thuong mai song song hay khong. Do do,
thuong mai song song, dac bidt la NKSS, xuat hidn xuyen suot luan an m£c
du luan an khong tap trung nghien cuu van de nay.
NKSS thuoc cung dupe nghien cuu trong moi quan hd vdi hdt quyen ddi vdi
nhan hidu. Nhieu nam qua, nhttng tranh c3i xung quanh kha nang tiep cyn
thuoc cua cac nude dang phat trien va kdm phat trien van chua cham dut.
Cac cong ty da qudc gia lyp luan rang: hQ can ban thuoc vdi gia cao dd bu
dap nhung chi phi trien khai nghien cuu, san xuat, kinh doanh loyi thuoc do
va dd dau tu cho hoat dQng nghien cuu va phat trien nhttng thuoc mdi.
Ngupc lai, cac nude dang phat trien va kern phat trien - nhttng nude cd van
dd nghiem trQng vd sue khod nhung lyi khong cd kha nang dd mua thuoc gia
cao21 - chi trich nhttng cong ty nay chi tim kiem lpi nhuan toi da ma bo qua
van de dao due, xa h$i. Tir gdc dQ phap ly, Didu 6 va Didu 31 cua Hidp djnh
TRIPS va Tuyen bo Doha vd Hidp djnh TRIPS va Sue khoe CQng ddng giup
cac dang phat trien va kdm phat trien tiep can vdi thuoc de dang hon. Van
de con lai la: nhung nude nay - trong dd cd Vidt Nam - ap dyng nhttng quy
djnh tuy nghi vd NKSS va bat buQc chuyen giao quydn su dyng sang chd

trong Hidp djnh TRIPS va Tuyen bo Doha nhu the nao dd dem lai lpi ich
cho qudc gia minh. “Mac du NKSS va bat bupc chuyen giao quyen su dung

Udc tinh, hi^n nay tren loin the gidi cd khoang 36 tri^u ngudi nhiem HIV, irong dd 95% 6 cic nude
dang phit trien. 25 tri^u-han 2/3-d cdc nude Chau Phi, vi khoing 4 tri$u trong so niy d tinh tryng nghidm
trQng. Nguon: M. Gregg Bloche & Elizabeth R. Jungman, Health Policy and the WTO, 31 J.L. Med. &
Ethics 529, 534-535 (2003).

10


sang chd ho£n toan phu hpp vdi Hi?p djnh TRIPS, mQt so nude
nganh
cong nghi?p dirge ph£m van phan ddi nhttng hoat dpng nay cua cdc nude
dang phat tridn.”22 Day la mQt kho khan cho cac niroc dang phat trien va

kem phat triBn trong tidp can voi thudc. NKSS thudc, do vay, van la dd tai
gay tranh c3i giua cdc nude phdt trien, dang phdt trien va kem phdt trien.

Ddi vdi Vi?t Nam, NKSS thudc phong vd ch&a b?nh cho ngudi dupe thira
nhan theo Quyet dinh 1906/2004/QD-BYT. Tuy nhien, gid thudc tren thj
trudng Vi?t Nam van cao hon gid thudc cua cdc nude dang phdt trien khac
va chat lupng thudc van la van de ddng lo ngai. Hon ntta, cdc co quan cd
tham quydn dang phai ddi m£t vdi nhieu kho khdn trong giai quydt cdc van
dd vd NKSS thudc. Do dd, nghien cuu vd NKSS thudc va tim ra nhung ra
nhung gidi phdp cho van dd nay mang y nghTa thuc tien va ly luan.
Hai van dd con lai - sua chura hang hod mang nhdn hi^u dupe bao hp va didu
khoan gidi han trong hop ddng lien quan den nhdn hieu - la nhung noi dung
phuc tap cua hdt quydn ddi vdi nhan hieu.23 Nhung van dd nay ddi hoi su
didu chinh cua phdp luat SHTT va nhidu luat khac nhu luat xudt nhap khdu,

quan
Nam
phuc
Didu
hieu.

ly chdt lupng, quan ly gid, canh tranh va hpp ddng. Thuc tien Viet
cho thay cdc vp vi$c lien quan den hdt quydn ddi vdi nhan hi?u rat
tap. Tuy nhien, phdp luat Vi?t Nam vd van dd nay lai khong ddy du.
nay ddt ra yeu cau hoan thi?n phdp luat vd hdt quydn ddi vdi nhdn

Cudi cung, luan dn chi dua ra nhung de xudt hoan thien phap luat Viet Nam
ve het quyen ddi vai nhdn hieu.

Nhung dd xuat dupe dua ra chi gidi han d hoan thien phdp luat Viet Nam vd
hdt quydn doi vdi nhan hi?u chu khong phai hoan thi?n phdp luat hdt quydn
SHTT hay hoan thien phdp luat SHTT ndi chung.

Cung can luu y rdng, mdc du day la nghien cuu vd hdt quyen doi vdi nhdn
hi§u nhung mpt so phdn quydt cua Toa dn, quydt dinh cua co quan cd thdm
quydn (va vdn ban phdp luat) vd hdt quydn ddi vdi mpt sd ddi tupng SHTT
khac - ddc bi$t la vd sang che, kieu ddng cong nghe va quydn tac gia - cung
dupe xem xet.ViQc dd cap den nhung vu vi$c khong phai vd nhan hieu trong
mot sd trudng hpp nhdm so sanh hdt quyen ddi vdi nhdn hieu va hdt quydn
Pedro Roffe & Geoff Tansey vA David Vivas-Eugui (bien t£p). Negotiating Health: Intellectual
Property and Access to Medicines. Earthscan. 2006, trang 16. Vi dy. Chinh phu My coi quy djnh khAu

song song, v A bat bu$c chuyAn giao quyen sir dyng sAng ch£ trong Lu$t Dugc cua Nam Phi (1997) IA vi
|jh?m qu^en doi vdi sang che vA dua nude nAy vAo danh sAch Special Watch List 301.

CAc van de lien quan den tAi che vA tao mdi hAng hoa mang nhan hiyu dugc bao hp khong thugc pham vi
nghien cuu cua luyn An nAy.


ddi vdi cdc ddi tugng SHTT khde.24 Trong mQt sd trudng hop khac, nhQng
vy vi?c ve sang chd, kidu ddng cong nghi?p ho$c quydn tdc gia dirge su
dyng vdi cdc ly do: thieu vy vi?c vd nhdn hi?u dien hinh cho van dd can
xem xdt, trong khi dd vy viyc vd sang chd sang chd, kidu ddng cong nghi^p
ho$c quydn tdc gid lyi la vy vi$c didn hinh vd cd kha ndng dp dyng cho nhdn
hi?u.25

1.4. Phuong phdp
Thu nhdt, phuong phdp phdp ly truyen thong

Phuong phdp phdp ly truydn thong la phuong phdp dugc su dyng xuyen
sudt luyn an.26 Phuong phdp nay bao gom hai phuong phdp cy the: phuong
phdp mo td vd phuong phdp phan tich. Trong luan dn nay, phuong phdp
phdp ly truydn thdng dugc su dyng dd mo td va phan tich nhQng nguon luyt
khac nhau lien quan ddn hdt quydn doi vdi nhan hi?u; do la, vdn ban phdp
luat, cdc vy vide va cdc thuyet nhdm giup ngudi dgc hieu chinh xac, day du
va h? thong vd het quydn ddi vdi nhdn hi$u va nhQng de xuat nhdm hoan
thien phdp luat Vi?t Nam vd hdt quydn ddi vdi nhdn hi?u. Phuong phdp nay
cung ho trg trong tim kidm co sd cho nhung quy djnh phdp luat va phdn
quyet cua Tod dn vd van de hdt quydn doi vdi nhdn hi?u.

Quydn SHTT va hdt quyen SHTT chua dyng nhung khia cynh thuong
myi.27 Cho nen, hdt quyen ddi vdi nhdn hi^u “Id mgt de tai ddi hoi nhQng
nghien cuu cua cdc nha kinh td hgc”.28 Ndi edeh khac, can phai su dung
nhQng phan tich va mo td kinh td cho luyn dn nay. Tuy nhien, vdi y nghTa la
mgt nghien cuu luat hoc, luyn dn nay khong tap trung sau vao nhQng phan

tich kinh td.

24 Ching hyn, trong Phin 4.I.2.1vy viyc Quality King vi quyin tic gia vi vy vi§c Jac: Photo ve sing chi
dugc de cyp nhim chi ra sy khic biyt giOra dieu ki?n dan den het quyen d6i vdi nhin hi$u vi diiu ki?n din
den het quyen doi vdi cic d6i tugng SHTT niy.
Ching hyn, nhflrng phin quyit cua cic Toi in My vi sing chi Quanta, Transcore, Keeler, General
Talking Pictures dugc xem xfit trong Phin 4.1.5.1, vi khi ning xiy ra het quyen doi vdi nhin hi§u trong
trudng hgp tin tyi thoi thu$n gidi hyn trong hgp dong lifin quan den nhin hi§u. Trong Phin 5.3.1.2., vy
vi§c TRIBECO vi kieu ding edng nghifip dugc phin tich nhim lim sing id diiu kifin dan den hit quyin
theo phip luyt vi thyc tiin Vi£t Nam.
Ve phuong phip niy, xem “Research Methodology", Tii li?u cua khoi hgc vi Phuong phip Nghien cuu
tu ngiy I thing 9 den ngiy 19 thing 10 nim 2006, Khoa Luyt, Trudng Dyi hgc Lund, Thuy Diin; Reza
Banakar vi Max Travers (bifin t|p), Theory and Method in Socio-Legal Research, Hart Publishing, Oxford
and Portland Oregon, 2005; Nguyin Nggc Di$n, MQt so vdn de ly lutfn ve cdc phuong phdp phdn tich ludt
viet, Nhi xuit bin Tu phip, 2006.
Xem: William M. Landes & Richard A. Posner, The Economic Structure of Intellectual Properly Law,
The Belknap Press of Harvard University, 2003; Keith E.. Maskus, The WTO, IPRs and the Knowledge
Economy (bifin tip). Edward Elgar Publishing Limited (UK), 2004.
Daniel H. Cole & Peter Z. Grossman, Principles of Law and Economics. Pearson Prentice Hall. 2004,
trang 55.

12


Phdp luyt phan an kinh td va kinh td hQC giup gidi thich phap luyt d tdng
sau.29 Trong Chuang 2 cua luyn an, ket qua cua nhttng phan tich kinh te

duyc su dyng dd gidi thich sy hinh thanh thuyet het quyen n6i chung va het
quydn ddi vdi nhdn hidu ndi rieng. Hon ntta, cung trong Chuang 2, kdt qua
cua mQt sd phan tich kinh td duQc su dyng dd xem xet nhttng hd qua kinh td

do dp dyng co chd hdt quydn nhdt djnh. Nhttng tdc dQng hai m$t cua moi co
chd hdt quyen (doi vdi sy sdn cd, chdt luyng vd gid cua hang hod, ddu tu
tryc tidp nude ngoai vd chuyen giao cong nghd, thuong myi vd cynh tranh)
duyc lam rd tren co sd phan tich mQt sd ket qua nghien cuu kinh td. Them
vdo do, trong Chuomg 6, sy phu hyp cua co chd hdt quydn qudc te ddi vdi
nhdn hidu duyc danh gid tren cor sd tinh toan va phan tich mQt sd sd lidu
thdng ke kinh td chinh thuc nhu xuat nhyp khau, bien dQng trung binh vd chi
sd gid tieu dung.

Phan tich chi phi-lyi ich (cost-benefit analysis)30 cung duyc su dyng trong

luan an nay. Ap dung phan tich chi phi-lyi ich nhdm kiem tra tinh hidu qua
cua chinh sdeh hodc quy pham phdp luyt nhdt dinh. “Cy thd, lidu lyi ich cua
chinh sdeh [ho$c quy pham phdp luat] dd ddi vdi xd hQi cd ldn han nhOmg
chi phi/hyn chd hay khong?”31 Trong Chuang 6, phan tich chi phi-lyi ich
duyc su dyng dd chung minh rdng ddi vdi Vidt Nam, lyi ich cua viyc dp
dyng ca chd hdt quydn qudc td ddi vdi nhdn hidu vuyt qud nhttng hyu qua
bat lyi do ca che ndy gay ra. Ben cynh dd, kiem tra ve chi phi, hyn chd vd
lyi ich sd duyc tidn hanh trudc khi dua ra nhQng kidn nghi cy thd cho Vidt
Nam.
Thic hai, phuong phdp so sdnh

Ben cynh phuong phdp phdp ly truydn thdng, phuong phdp so sdnh duyc dp
dyng d nhieu phdn cua luyn an. Phuong phdp duyc dp dyng nhdm 1dm sdng
td thuyet hdt quydn, thuydt ban ldn ddu, thuyet cho phep ngu y vd mdi quan
hd giura ba thuyet ndy (trong Chuang 2). Phuang phdp so sdnh cung duyc su
dyng dd so sdnh ba ca chd hdt quyen - hdt quydn qudc gia, hdt quyen khu
vyc va hdt quydn qudc td - va phdn bidt hdt quyen ddi vdi nhdn hidu va hdt
quyen ddi vdi sdng chd cung nhu het quydn tdc gid (trong Chuang 2). Trong
De hieu d&nh gia n&y, xem: Robert Cooter & Thomas Ulen. Law and Economics, 3rd edition, AddisonWesley, 2000; Daniel H. Cole & Peter Z. Grossman, Principles of Law and Economics. Pearson Prentice

Hall, 2004; Lfi Minh Tam (chu bifin), Giao trinh Ly lutfn chung Nha nude va Phdp luqt. Nhi xu£t ban Tu
ph$p, 2004, trang 66 v& 67.
Chi tiet ve phan tich chi phi-lAnalysis: Legal, Economic, and Philosophical Perspectives. The University of Chicago Press, 2001, trang

Matthew D. Adler, & Eric A. Posner (bifin t$p), Cost-Benefit Analysis: Legal, Economic, and
Philosophical Perspectives. The University of Chicago Press. 2001. trang 17.

13