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Course Structure and Readings

• Two main chapters: Introduction and IP
Protection (Fields of IP)
• One (tentative) chapter on specific trade-related
IP issues

• Compulsory reading: WIPO, Intellectual Property

Handbook: Policy, Law and Use, WIPO
Publication No. 489 (E), Geneva, 2004.
• Optional readings: to be informed

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CHAPTER 1
AN INTRODUCTION
TO INTELLECTUAL PROPERTY

Basic questions to be answered:

-What is IP/IPR?
-What are main categories of IP?
- Why promote and protect IPR?
- Why businessmen/economists have to learn
about IP?
- What is structure of the legal framework for
IP?

CHAPTER OUTLINE
• The concept of IP, IPRs
• Main IP categories
• The Rationale of IP Protection
• The Evolution of Intellectual Property Rights (IPRs)
• The Roles of Intellectual Property Rights in
International Business
• IP law system

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- They are intangible, formulus and last longer.
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- They are embedeed in a physical object.
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- They are tradable. They can be transformed from one to another.
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- Song can be sung by many people, but physical asset cannot. Because they are non - rivalous.
- They are non- excludable. (:it is costly or impossible for one user to exclude others from using a good)
- They are industrial applicable.

1. What is IP?

Intellectual property refers to creations of the mind:

inventions, literary and artistic works, and symbols,
names, and images used in commerce.

WIPO-What is Intellectual Property-page 1

Do we need to build a protection regime intellectual asset ?

There are many ways:
- Publicity/social media => morality ground
- Recognition by state authorities => legal
- Social benefit/ social cost => economic ground

Bad consequences of no IP Protection:

- Lack of motivation to create (If we can take away other … without
permission, people will be discouraged)
- Lack of motivation to share
- Low/no supply of innovation
- Low/no supply of following on innovation
- A culture of stealing ?

1. What is IP?
•

• “Intellectual property, very broadly, means the

legal rights which result from intellectual
activity in the industrial, scientific, literary and
artistic fields.”

WIPO Intellectual Property Handbook: Policy, Law and Use – 2004, p.3

Slides by Pham Thi Mai Khanh-FTU

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VIETNAM: IP Law 50/2005/QH11,

effective from 1/7/2006

1. Intellectual property rights mean rights of

organizations and individuals to intellectual assets,

including copyright and copyright-related rights,

industrial property rights and rights to plant varieties.
Article 4.- Interpretation of terms

1. IP=IPR
Intellectual property (IP) is a term referring to a number of
distinct types of creations of the mind for which property
rights are recognized-and the corresponding fields of law.
– wikipedia.org

Slides by Pham Thi Mai Khanh-FTU

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Art. 2(viii), The Convention Establishing the World Related Rights

Intellectual Property Organization (WIPO) -1967
“... intellectual property shall include rights relating to:

- literary, artistic and scientific works, Copyright

- performances of performing artists, phonograms and Related Right
broadcasts,
- inventions in all fields of human endeavor, Patent
- scientific discoveries, ???
- industrial designs,
- trademarks, service marks and commercial names and
designations,
- protection against unfair competition,

and all other rights resulting from intellectual activity in the

industrial, scientific, literary or artistic fields.”

1. IPR
Industrial Property Copyright
Quy n i v i sáng ch (Patents) n quy n (Copyrights)
Quy n i v i ki u dáng (Designs) Các quy n liên quan (Related
Quy n i v i nhãn hi u (Trademarks) rights)
Quy n i v i tên và ch d n th ng m i
(Commercial names and designations)
Quy n i v i bí m t th ng m i (Trade
secrets)
Quy n liên quan n Lu t h n ch c nh
tranh không lành m nh (Protection against
Unfair Competition)
Quy n i v i thi t k b trí m ch tích
p bán d n (Layout/designs of
integrated circuits)

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1. IPR
Sui Generis Regimes
Quy n i v i gi ng cây tr ng oh i v i c s d li u
(New variety of plants) (Database Protection)

1. IPR
Rights for the creators
Quy n i v i sáng ch
(Patent)
Quy n i v i ki u dáng
(Industrial Design)
n quy n và quy n liên quan
(Copyrights and related rights)
Quy n i v i thi t k b trí m ch tích
p bán d n (Layout/designs of
integrated circuits r ghts)
Quy n i v i gi ng cây tr ng (New
variety of plants)
Quy n i v i bí m t th ng m i
(Trade secrets)
Rights upon commercial
signs
Quy n i v i nhãn hi u
(Trademark)
Quy n i v i tên th ng m i
(Commercial name and
designation)
Quy n liên quan n Lu t h n ch
nh tranh không lành m nh
(Rights related to the Unfair
Competition Prevention Law)

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2. FIELDS OF IPR
Copyright (books, paintings, films)

1. Protects the work of expressions, not the ideas (ie.

the form a creator/publisher gives to ideas)
=> Limited protection against substitute
2. Protection focuses on copying
3. Long but limited protection (life + 50years)
4. Covers original work of authorship in a tangible
medium of expression (e.g. book)
5. Registration is not necessary and inexpensive=>
easy to obtain

2. FIELDS OF IPR
Patents (inventions)

1. Protect the ideas, not just expressions

2. Registration is necessary (patent office)
3. Requirements: utility, novelty, non-obviousness.
Difficult to obtain
4. Short protection periods but greater protection
against infringers (20 years)

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2. FIELDS OF IPR
Trademarks (brand names, product logos)

• Protect signs, symbols and phrases

• Registration is not necessary but easy
• Protection periods vary, perpetual protection is
possible
• Distinctiveness is required

2. FIELDS OF IPR
Geographical Indications (appellations of origin
or indications of source)

• Identify a product with a city or region

• Underlying products possess certain quality or enjoy
reputation associated with their geographical origin

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2. FIELDS OF IPR
• Trade Secrets (e.g. formula, programme,
technique, method, process)

• Derives independent economic value from not being

known
• Registration is not required. Perpetual protection is
possible

Intellectual Property
Tools
Industrial Copyright &
Property Related Rights
Exclusive
-patents Temporary - literary, artistic,
- trademarks Territorial musical works
- industrial
designs - actors, music
- geographical distributors, etc.
indications
-Trade secrets
18

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Intellectual Property

Industrial Copyright &

Property Intangible Related Rights
-patents Original
- literary, artistic,
- trademarks Tradable
musical works
- industrial
designs - actors, music
- geographical distributors, etc.
indications
-Trade secrets
19

3. The RATIONALE OF
IP Protection

Why promote and protect IP?

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Three distinct philosophies

about the nature of IP:
Natural right view (John Locke –The Two
Treatises of Gov, 1886)
Public right view
Utilitarian view

ECONOMIC RATIONALE OF IP

IP= information, knowledge (like public good)

Incentives/Return v Access/Social Welfare
IPR is legal remedy to balance I/R v A/SW

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INFORMATION (=IP) HAS PUBLIC

GOOD CHARACTERISTICS:
• Non-rivalrous (one person's use of it does not
diminish another's use) (“you can use what I use”)

• Non-excludable (costly to exclude others from

consuming a good)

INFORMATION (=IP) HAS PUBLIC

GOOD CHARACTERISTICS:
• Non-rivalrous
– Non optimal rationing problem
– Effect: Over-consumption of Innovation (+no incentives
for future innovation and competition)
• Non-excludable
– Non-appropriability;
– Costly to produce but cheaper to copy it
– Free-Riding Problems (+costly protection of innov.)
– Effect: Undersupply of Innovation (due to no incentives)

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Central Problem: INCENTIVES v ACCESS

Creating Incentives for Innovation v.
Expanding Public Access to Innovations

• INCENTIVES: why? (dynamic efficiency)

– Protection of current innovation to promote future innovation (e.g.
new drug development)
– Ensure economic returns on investment in innovation
• ACCESS: why? (static efficiency)

– Encourage future innovation by competitors (“build on”)

– Promote greater competition
– Enhance consumer welfare (e.g. health, lower prices)

• INCENTIVES+ACCESS=SOCIETY’S WELFARE

BALANCING INCENTIVES v ACCESS

IS THE CHALLENGE

• Dilemma:
– Optimal utilization of information available to
all Vs. No incentives for investment in
creativity and innovation
(Arrow, 1962 in NBER)
– Incentives to produce information/creativity
activity Vs Expand the use of information and
its welfare impact on society

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REMEDIES OR SOLUTIONS
TO “I/R v A/SW”

SOLUTIONS TO PUBLIC GOOD PROBLEMS

OF INNOVATION

1. State supply of information

2. Public subsidies for private production of
information
3. Market competition and Inter-Firm Collaboration
4. Trade Secrets Agreements
5. Intellectual Property Rights

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“Super-simple” Economic Theory

• A linear demand and marginal revenue

for a product that has been invented and
may be supplied to the market at constant
marginal cost.

In a perfect competition setting

Consequence:
- consumer benefits = the area
APcC
There no such
investment, the power,
no producer has market M
all firms have immediate and P
product would go
m

perfect access to the same

underdeveloped,
technologies andPc C
the entire
all firms couldconsumer
costlessly imitate
benefit
the productarea
and sellwould
a close
substitute, => no rents to cover Qm
disappear.
the original cost of R&D

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Monopoly through an IPR

- the firm would offer the product
atCompared
price Pm andto having
quantity Qm,no
earning monopoly rents of the
innovation, however,
blue rectangle.
society
These rents,achieves a neta
which represent M
transfer from consumers to Pm
gain of are
inventors, thetheremaining
return on the
origninal
consumer investment
surplusin (the
R&D => Pc C
incentive to invent
red triangle)
However, plus make
that incentives
the economy suffers a
monopoly profits (the
deadweight loss of the orange Qm
blue rectangle),
triangle in comparisonless
with the
competitive (but unatainable)
associated
sollution R&D
at point C. costs

ROLE OF IPR IN BALANCING

INCENTIVES & ACCESS
• Public Good characteristic of innovation
provides an important economic rationale
for IPRs
• IPR solution: legal control over
reproduction creates incentive for
innovation while facilitating limited public
access
– Limited legal exclusion

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ECONOMIC RATIONALE OF IPR

Recapping Key ideas
1. IPR are property rights over information, knowledge and ideas
2. IPR are exclusive, tradeable and temporary
3. IPR differ in the information being protected (copyright,
patent, trade secrets, trademarks)
4. IPR protect information that has public good characteristics
(non-excludability and non-rivalry consumption)
5. Public good characteristic of IP (information) creates
problems i.e. high cost of creativity and exclusion Vs low cost
of reproduction/copying…..undersupply of IP Vs over-
consumption of IP
6. Challenge is to solve these problems so as to both create
incentives for innovation and expand access for the benefit of
society
7. IPR may solve the public good problems of IP (information)
so as to promote innovation and public access

THINK ABOUT IT

Should a developing country award

IPRs to foreign firms?

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IP in an Open Economy

M
Pm

Pc C

Qm

Further Readings

• P. Yu (editor) 2009, The WIPO Journal : Analysis and

Debate on Intellectual Property Issues, 2009, Issue 1,
http://www.wipo.int/export/sites/www/freepublications/en/i
ntproperty/wipo_journal/wipo_journal_1_1.pdf
• P. Yu (editor) 2013, The WIPO Journal: Analysis of
Intellectual Property Issues, Volume 5, Issue 1
http://www.wipo.int/export/sites/www/freepublications/en/i
ntproperty/wipo_journal/wipo_journal_5_1.pdf
• Lemley 2004, Property, Intellectual Property and Free
Riding,
http://papers.ssrn.com/sol3/papers.cfm?abstract_id=582602

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3. The EVOLUTION OF IP

The History of IP

‘Intellectual Property’ is a generic term that

probably came into regular use during the
twentieth century
This generic label is used to refer to a group
of legal regimes, each of which, to different
degrees, confers rights of ownership in a
particular subject matter.
The different subject areas of IP originate
in different places and at different times

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The history of the term IP

Modern usage of the term intellectual property goes back

at least as far as 1888 with the founding in Bern of the
Swiss Federal Office for Intellectual Property (the
Bureau fédéral de la propriété intellectuelle).

Slides by Pham Thi Mai Khanh-FTU

The history of the term IP

When the administrative secretariats established by the

Paris Convention (1883) and the Berne Convention
(1886) merged in 1893, they also located in Berne, and
also adopted the term intellectual property in their new
combined title, the United International Bureaux for
the Protection of Intellectual Property.

The organisation subsequently relocated to Geneva in

1960, and was succeeded in 1967 with the
establishment of the World Intellectual Property
Organization (WIPO) by treaty as an agency of the
United Nations. Slides by Pham Thi Mai Khanh-FTU

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Further readings:
• Drahos 1998, The Universality of Intellectual Property
Rights: Origins and Development, www.wipo.int
• WIPO, WIPO- A Brief History, http://www.wipo.int/about-
wipo/en/history.html
• Stallman , Did You Say “Intellectual Property”? It's a
Seductive Mirage, http://www.gnu.org/philosophy/not-
ipr.html

4. The Role of IPRs in

International Business

Slides by Pham Thi Mai Khanh-FTU

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BUSINESS ASSETS
TANGIBE ASSETS INTANGIBLE ASSETS

land, building, human capital,

machinery, relationships,
financial assets, and know-how,
physical infrastructure brand, design,
patent, copyright,
trade secrets, etc.

BUSINESS ASSETS

> <
Traditionally, tangible More
-Largeand more enterprises
warehouses and
assets were regarded as are beginning
factories to realize that
are increasingly
the primary assets of value intangible assets
being replace are
by powerful
for creating and enhancing becoming
software andmore and more
innovative ideas.
the competitiveness of an valuable for competitiveness.
enterprise.

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IPR protection help a business

• inor closely imitating a company’s
preventing competitors from copying
products or services;

• avoiding wasteful investment in research and development (R&D) and

marketing;

• creating a corporate identity and reputation;

• negotiating licensing, franchising or other IP-based contractual agreements

(which will provide revenues through royalty);

• increasing the market value and competitiveness of the company;

• acquiring and accessing finance;

• obtaining access to new markets.

IP for Business Series-WIPO

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-THINK ABOUT IT

• What are various modes of entering a new

market, how can IP help?

4. IP law system

Slides by Pham Thi Mai Khanh-FTU

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Components of an IPRs system

LAYERS OF IP REGULATIONS

• International IP treaties:
– Set minimum standards of protection
– Facilitate the acquisition of IP rights in more than one jurisdiction

• National IP laws
• National registries for patents, trademarks,
GIs
• Judicial system responsible for enforcing IP
laws
• Control of anti-competitive practices

International IP Treaties

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General Characteristics
• IPR Regulation: the oldest Field of multilateral
Harmonization (Paris and Berne Conventions,
1983, 1886)
• IPR Regulation: the youngest Field of
international and multilateral Dispute Settlement
(TRIPs Agreement: 1995)
• “Infant” Jurisprudence in WTO: Trial and Error

Sources of International Law

• Article 38 Statute of the International Court
of Justice
– international agreements (conventions, treaties,
executive agreements, informal agreements)
– Customary Law
– General Principles of Law
– Judicial decisions (precedents) and literature

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The Evolution of IP Treaties

• WIPO: administers 25 Agreements relating to
– Substantive rules (harmonization)
– International registration
– Classification

WIPO Intellectual Property Handbook: Policy, Law and Use – 2004, p.12

• WTO: TRIPs Agreement

• Bilateral Agreements, mainly preferential trade
agreements

Harmonisation Treaties

Background:IP domestic laws and procedures differ

from country to country. This causes problems
for IP owners who seek protection in several
countries.

to ensure as much as possible

Objective:
harmonization of intellectual property laws,
standards, and practices among WIPO’s Member
States

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Harmonization Treaties
In the field of Copyright and Related Rights
The Berne Convention, adopted in 1886
Membership: 164 States
– Protects rights of the authors in their literary and artistic works in a
uniform manner
– Provides for national treatment against works from other countries
party to the Convention.
– Lays down very important minimum protection standards that have
to be met by national law
The Rome Convention, adopted in 1961
Membership: 88 States
The WCT, adopted in 1996 - Membership: 70 States
The WPPT, adopted in 1996 - Membership: 68 States

Harmonisation Treaties

In the field of Industrial Property

•The Paris Convention for the Protection of Industrial Property, adopted in
1883.

• The Convention applies to industrial property in the widest sense, including

patents, marks, industrial designs, utility models, trade names, geographical
indications and the repression of unfair competition.

•The substantive provisions of the Convention fall into three main categories:
national treatment, right of priority, common rules.

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Paris Convention for the Protection of

Industrial Property (1883)
• Right of priority: on the basis of a regular first
application filed in one of the contracting States, the
applicant may, within a certain period of time (12
months for patents and utility models; 6 months for
industrial designs and marks), apply for protection
in any of the other contracting States; these later
applications will then be regarded as if they had
been filed on the same day as the first application.

Harmonisation Treaties

In the field of Patents

• The Patent Law Treaty (PLT), adopted on June 1,
2000. (Concerns only patent formalities and
procedures.) Membership: 20 States

• Discussions on a draft Substantive Patent Law Treaty

(SPLT) started in May 2001. Discussions focus on
issues relating to the grant of patents.

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Harmonisation Treaties
In the field of Trademarks

• The Trademark Law Treaty (TLT), adopted on

October 27, 1994. (Concerns only trademarks
formalities and procedures.) Membership: 43
States

• Revised by the Singapore Treaty, adopted in

Singapore on March 27, 2006

Industrial Property

In contrast with copyright, the common

denominator to industrial property (patents,
trademarks and designs) lies in the fact that:

protection requires registration

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International Registration Treaties

Enhancement of global protection systems to further simplify and
reduce costs of obtaining protection in multiple countries for:

• Patents (20 years): Patent Cooperation Treaty (PCT) Adopted: June

19, 1970. Membership: 141 Contracting Parties

• Trademarks (10 years indefinitely): Madrid Agreement and Protocol

Concerning the International Registration of Marks. Membership: 84
Contracting Parties

• Designs (10 to 50 years): Hague Agreement Concerning the

International Registration of Designs Membership: 75 States

• Appellations of Origin: Lisbon Agreement Concerning the

International registration of Appellations of Origin Membership: 26
States

International Classification Treaties

Locarno Agreement
Nice Agreement
Strasbourg Agreement
Vienna Agreement

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Relationship of TRIPs and WIPO

Agreements
• Incorporation and of Paris and Berne
Conventions, Washington Agreement
(layout-designs), Art. 2, 9 and 35 TRIPs
• Reference to Rome Convention, Art. 2.2, 3

Relationship WTO - WIPO

• WIPO: World Intellectual Property
Organisation; UN Special Organisation,
Geneva
• Responsible for administration of existing
treaties, and treaty-making in the field of
IPRs (substance, registration, classification)
• Registration of patents, trademarks and
designs
• Co-operation Agreement WTO-WIPO
• How does WIPO cooperate in Dispute
Settlement?

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Institutional design
-Member States (144): Ministerial Conference (biannual)
-DG & Secretariat
-General Council
-Training Institute
Council
GATT
-GATS -TRIPS -TPRM -CBFA -DSB

-Com -WIPO: -AB

-Com -Com -AWP
-Paris
-AWP
-Berne-AWP
-AWP
-TSB -Panels

National IP legislation framework

The case of Vietnam
• IP and IP related Laws
• The Governmental Degrees
• Ministerial Circulars
• NOIP’s notices

-www.noip.gov.vn

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Laws
• Civil Code (No. 33/2005/QH11 of 14 June 2005)-
PART SIX
• Intellectual Property Law (No. 50/2005/QH11 of
29 November 2005)
• Intellectual Property Law 2009 (revised some
provisions of Intellectual Property Law 2005)
• Related laws (Competition Law, Customs Law,
Technology Transfer Law,...)

The Governmental Degrees

• Decree No. 100/2006/ND-CP of September 21,2006,detailing and guiding
the implementation of a number of articles of the Civil Code and the
Intellectual Property Law regarding copyright and related rights
• Decree No. 85/2011/N -CP of September 20, 2011, supplementing and
revising some provisions of Decree No. 100/2006/ND-CP
• Decree No. 103/2006/ND-CP of September 22,2006,detailing and guiding
the implementation of the Intellectual Property Law regarding Industrial
Property
• Decree No. 122/2010/N -CP of December 31, 2010, supplementing and
revising some provisions of Decree No. 103/2006/ND-CP.
• Decree No. 104/2006/ND-CP of September 22,2006,detailing and guiding
the implementation of the Intellectual Property Law regarding rights to
plant varieties

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The Governmental Degrees

• Decree No. 105/2006/ND-CP of September 22,2006,detailing and guiding
the implementation of the Intellectual Property Law on the protection of
intellectual property rights and on the State management of intellectual
property
• Decree No. 119/2010/N -CP of December 30, 2010, supplementing and
revising some provision of Decree No. 105/2006/N -CP
• Decree No. 106/2006/ND-CP of September 22,2006, providing for sanction
of Administrative Violations in the field of intellectual property
• Decree No. 97/2010/N -CP of September 21, 2010, providing for sanction
of Administrative Violations in the field of industrial property
• Decree No. 131/2013/N -CP of October 16, 2013, providing for sanction of
Administrative Violations in the field of copyright and related rights

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