NHA NUOC VA PHAP LUAT
VAN DE MIEN TRV DOI VOI CAC THOA THUAN VE NGHIEN CUV VA PHAT TRIEN
Pham Hoai Huan*
*TS. Dai hoc Luat TP.HCM.
Thdng tin bai viet:
Tic khoa: Thoa thuan R&D, mien
Lfch sic bdi viet:
Nhanbai Bien tiip Duy?t bai
19/12/2019 04/01/2020 10/01/2020
tru
Article Infomation:
Keywords: R&D agreements;
exemption.
Article History:
Received Edited Approved
19 Dec. 2019 04 Jan. 2020 10 Jan. 2020
Tom tat:
Trong qua trinh boat dpng, doanh nghidp trong llnh vuc san xuat va kinh doanh muon ton tai va phat trien phai tien hanh cac boat dpng nghien cmi va phit trien san pham mai (sau day gpi tat la R&D). Tuy nhien, chi phi nghien cuu va phat trien, dac bi?t la tao ra nhimg san pham mang tinh dpt phat thuong rat 1cm. Mat khac, boat dong dau tu cho R&D thucmg c6 xac xuat that bai lom. Chi phi Ion va riii ro cao chinh la mpt trong nhung thach thirc cua hoat dpng R&D. Bai viet phan tich cac khia canh co lien quan trong phap luat canh tranh ciia Vi^t Nam tren co so tham khao kinli nghiem tucmg iing tir phap luat canh tranh cua Hoa Ky va Lien minh chau Au.
Abstract:
During the business process, enterprises in the manufacturing sector, for the survival and development, they must conduct research and development activities for new products {known as R&D). However, the costs of research and development, especially creating breakthrough products are often very high.
On the other hand, investments in R&D often have a high probability of failure. High costs and high risks are the one of the challenges of R&D activities. This article provides analysis of the relevant aspects of Vietnam's competition law based on reference to relevant experience from the competition laws of the United States and the European Union.
1. Thoa thuan nghien cuu va phat trien Nghien ciru va phat tridn la thuat ngii thudng dugc sii dung dg md ta eac hoat ddng dugc thuc hifn bdi eac cdng ty va eac thuc the khac nhu cac ca nhan kinh doanh doanh de tao ra hoac eai tign cae san pham va quy trinh mdi'. Ciing vdi sir gia tang canh tranh.
yeu ciu tidn hanh R&D ddi vdi doanh nghigp ciing trd ndn ldn ban. Nhung mat khac, ban chit hoat ddng R&D ciing bao ham nhiing nii ro cho cae doanh nghiep thuc hien hoat ddng nay. Vd mat ly thuydt, cd hai nii ro ldn: i) mdt la xuat phat tii ban chat eua hoat dgng R&D la mdt hoat ddng bao ham
1 Bronwyn H. Hall, Research and Development, ngu6n tai: https://eml.berkeley.edu/~bhhall/papers/BHH06_
IESS_R&D.pdf, truy cap ngay 17/12/2019.
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NHA NUOC VA PHAP LUAT kha nang that bai cao; ii) hai la kha nang doanh nghiep bi nii ro tut vifc hi cae cdng ty khac chigm doat thanh qua R&D hi cae boat ddng thau tdm, sap nhap thu dich^.
Cho nen, doanh nghiep ddi didn vdi tinh the luang nan la sire ep phai tign hanh R&D (dd canh tranh tdt hem trgn thi trudng lidn quan) va rui ro tij boat ddng R&D. Dg giai quygt tinh the ludng nan nay, giai phap la tidn hanh phan bd rui ro thdng qua viec tidn hanh hoat ddng R&D nay ciing vdi cac doanh nghifp khac. Cd thg hidu mdt each dan gian, thoa thuan R&D la thoa thuan giiia cae doanh nghiep vg viee cung nhau ddng gdp tai chinh, thuc Men cac boat ddng can thigt dg nham cai tign va/hoac tao ra cac san pham hoac quy trinh san xuat, boat ddng.
Tir phan tich trdn day cho thay, boat ddng R&D cd hai dac trung quan trgng sau:
Sye liin kit duac hinh thdnh tic thod thudn giiea cdc doanh nghiep;
Rui ro se duac phdn bd cho cdc doanh nghiep ciing tham gia hogt dpng R&D. Omgt ngupc lgi, lai ich tic qud trinh ndy cUngseduac phdn bd cho cdc doanh nghiep tiin hdnh.
Vdi tinh chat la mdt hoat ddng bao ham xac xuat riii ro cao, xet vd mat logic, eae doanh nghiep se cd khuynh hudng khdng chia se thanh qua R&D cho cae doanh nghiep khae. Va day eung la luc luat canh
tranh phat huy vai trd ciia minh. Thuc tidn eiia nhidu nude trdn thd gidi eho thiy, phap luat eanh tranh coi eae thda thuan R&D la eac thda thuan thiic diy canh tranh hoac se danh cho ede thda thuan nay s\r midn trir^
Tuy vay, khdng phai thda thuan R&D nao eiing thiic diy canh tranh mgt each rd rang.
Trdn thuc td, eae thda thuan tir chdi giao dich vdi ddi thu nham bao dam thanh qua cua R&D chi dugc phau bo cho cac doanh nghifp cimg dau tu tai chinh va cdng siic de tign hanh la mdt trong nhiing thda thuan gay nhidu tranh cai nhat trong qua trinh thuc thi.
Theo do, van cd nhieu y kien khac nhau lign quan den viec nen coi cac thda thuan tir chdi giao dich vdi cac ben khdng tham gia thoa thuan la cac thda thuan vi pham phap luat canh tranh mdt each mac nhidn hay nen ap dung nguydn tac lap luan hgp ly khi xu ly^.
2. Quy dinh cua phap lu^t canh tranh d m$t s6 qu6c gia
Nham muc dich tao tinh hifu qua eua hoat ddng kidm soat eac thda thuan han chg canh tranh (HCCT), tren thire td phap luat canh tranh Lien minh chau An phan cac tieu chi mign trir thanh nhigu nhdm khac nhau.
Nhung thda thuan ve R&D dugc Lien minh chau Au coi la la nhiing thda thuan mang gia tri thiie diy canh tranh. Theo phap luat canh tranh cua Lign minh chau Au^ cac thda thuan vd R&D la thda thuan duge mign trir
Bena, Jan, Kai Li, Corporate innovations and mergers and acquisitions, The Joumal of Finance 69.5 (2014):
1923-1960.
Alison Jones, Brenda Sufrin (2011), EU Competition law: Text, cases, and materials, 4th Edition, Oxford University Press, tr.253.
Cac thoa thuan tir ch6i giao dich vai d6i thii doi khi con dugc gpi 1^ tay chay. Trong khuon kh6 bai vigt, hai thuEit ngii nay duac hi6u voi cung mpt nghia. Dong thoi, van de tay chay luon dat trong boi canh ciia cac thoa thuan R&D.
C§n luu y la, cac quy dinh v^ thoa thuan ban ch8 canh tranh dupe quy dinh tai DiSu 81 (3) ciia Hiep dinh vl Lien minh Chau Au (Treaty on European Union). Tuy vay,_^d6n nam 2007, Hiep dinh nay dupe thay thi bang Hi?p djnh quy dmh v6 chiic nang cua Lien minh Chau Au (Treaty oil the Functioning of the European Union - TFEU), dupe ky tai Lisbon. Cac nguyen tic va thoa thuyin ban che canh tranh vin dupe giii nguyen trong TFEU, ngoai trir vi tri ciia quy dinh dupe thay d6i tii Dilu 81(3) thanh Dilu 101(3).
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t[f ddng^. Cac quy dinh midn trir duge ap dung tu ddng eo nghia la khi doanh nghiep thuc hifn cae thda thu^n, nhung theo quy dinh cua phap luat canh tranh nd dugc xac dinh la cae thda thuan ed gia tri thiic day canh tranh mdt each mac nhien. Co quan canh tranh khdng can phai xem xet cac khia canh cd lgi hay tae ddng phan canh tranh eua thda thuan. Theo do:
Can cu vdo Diiu 81 (3) cua Hiep dinh, cdc diiu khodn cua Quy chi ndy, tuyin bd rdng Biiu 81 (1) se khdng dp dung doi v&i cdc thod thuan giUa hai hodc nhiiu bin (sau ddy gpi la cdc bin) liin quan din cdc diiu kiin md cdc bin do theo dudi:
cung nhau R&D cdc sdn phdm hodc quy trinh vd cung khai thdc cdc kit qud cita R&D do;
cimg nhau khai thdc cdc kit qud R&D cdc sdn phdm hodc quy trinh md hp dd ciing nhau R&D tru&c do; hodc la
ciing nhau R&D chung cdc sdn phdm hogc quy trinh nhung khdng bao gom khai thdc chung kit qud.
Mien trir ndy se duac dp dung trong tru&ng hap cdc thod thudn dd (du&i day gpi Id "cdc thda thudn R&D") cd nhimg hgn che vi cgnh tranh thupc phgm vi dieu chinh cua Diiu 81 (I)\
Trong hudng dan ve chinh saeh thuc thi phap luat canh tranh qudc td duge ban hanh nam 1998, Bd Tu phap Hoa Ky eung nhan manh ddn khia canh nay lign quan ddn cac thda thuan tir chdi giao dich. Theo do,
NHA NU6C VA P H A P LUAT vide budc eac lien doanh phai md ra ca hdi de cae ddi thii canh tranh ed thd trd thanh thanh vien eua lidn doanh (hoac eip license ciia cac san phim R&D eiia lidn doanh eho eac doanh nghiep dang mudn sd hiiu license) se lam giam di ddng co eiia cac lien doanh trong R&D. Hf qua cua viec thuc thi rapt chmh sach khdng cho phep cae lien doanh dugc quygn lira chpn thanh vien cd thg din de he qua tf hai la khuygn khich cae doanh nghigp ne tranh rui ro (khdng ein phai thara gia tir dau^ nhung hp cd ca sd dd hi vgng se duge quydn chia se thanh qua tii cac doanh nghifp da raao higra trudc do thdng qua qua trinh td tiong canh tranhl
3. Quy ainh cua phap luait canh tranh Viet Nam
Theo quy dinh eua Luat Canh tranh nam 2018, neu cac thoa thuan HCCT tai Didu 11 ed lgi cho ngudi tieu dung va dap img rapt trong cac didu kifn quy dinh tai khoan 1 Dieu 14 thi cd thd dugc hudng raign tni. Cac dieu kifn ay la:
Tac ddng thuc day tidn bg ky thuat, cdng nghe, nSng cao chat lugng hang hda, dieh vu;
Tang cudng siic eanh tranh ciia doanh nghigp Viet Nam trgn thi trudng qudc te;
Thiie day viee ap dung thdng nhat tigu ehuan chat lugng, dinh miic ky thuat cua chung loai san pham;
Thdng nhat cac dieu kidn thuc hien hgp ddng, giao hang, thanh toan nhung khdng lidn quan dgn gia va cac yen td eua gia.
European Commission, Commission Regulation (EC) No. 2659/2000 ngay 29/11/2000 vl viec ap dyng Dilu 81(3) ciia Hi^p dinh ve nhom cac thoa thuan nghien ciiu va phat trien. Co the tai vt tii http://
eur-lex.europa.eu/legal-contentajR/ALL/?uri=CELEX:32000R2659, tmy cap ngay 06/10/2019. Van ban nay, den nay dupe thay thi boi Commission Regulation (EU) No 1217/2010 on the application of Article 101(3) of the Treaty on the Functioning of the European Union to certain categories of research and development agreements nhung tinh thin ciia hucmg din vin dupe giii nguyen.
Khoan 1 Dieu 1 Regulation No.2659/2000.
U.S. DOJ (1998), Antitrust guidelines for international enforcement policy. Khia canh khuygn khich canh tranh ciia cac thoa thuan lien doanh, xem them Herbert Hovenkamp (2005), Federal Antitrust Policy: The Law of Competition and Its Practice, 3rd edition, Thomson/West.
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NHA NUOC VA PHAP LUAT Nhu vay, theo quy dinh cua phap luat canh tranh Viet Nam, khdng cd quy dinh rieng ve R&D. Cac tieu chi dugc quy dinh tai khoan 1 Didu 14 Luat Canh tranh cd the la he qua eiia cac thoa thuan R&D, nhung nd khdng nhat thidt phai la thoa thuan R&D.
Ndi each khac, cac tidu chi nhu tac ddng thuc day tign bd ky thuat, cdng nghe, nang cao chit lugng hang hda, dich vu, thiic day viec ap dung thdng nhat tieu chuan chat lugng, dinh miic ky thuat cua chiing loai san pham... cd the la he qua ciia thoa thuan R&D hoac mdt thoa thuan khac.
Theo quy dinh tai khoan 3 va khoan 4 Didu 12 Luat Canh tranh nam 2018, chii the cua thda thuan khdng giao dich vdi cac bdn khdng tham gia thda thuan ed the la giUa cac doanh nghiep trgn cimg thi trudng lien quan hoae cac doanh nghiep kinh doanh d eae edng doan khac nhau trong cung mdt chudi san xuat, phan phoi, cung img ddi vdi mdt loai hang hda, dich vu nhat dinh. Xet ve ban chit thoa thuan tay chay nay se bi kidm soat theo hudng lap luan hgp ly. Cd nghia, thoa thuan se bi xir ly khi thda thuan do gay tac ddng hoac cd kha nang gay tac ddng ban chd canh ttanh mdt each dang kd ttdn thi tnrdng^.
4. NhSn xet va kien nghi
Mac dil cung dg cap dgn hanh vi tay chay, nhung phap luat canh ttanh Viet Nam va phap luat canh tranh Hoa Ky, EU khac nhau vg each tigp can. Dac biet, phap luat canh tranh EU kha cdi md khi xgp thoa thuan R&D vao nhdm midn truf tu dgng.
Cach tigp can ciia Viet Nam khac vdi each tigp can cua phap luat EU khi khdng thira nhan cae thoa thuan R&D. Cu the, theo quy dinh ciia phap luat Hoa Ky va phap luat EU, neu cac doanh nghiep thoa thuan vg viec ciing nhau R&D san pham va mdt trong cae ngi dung ciia thoa thuan nay la cac bdn se
khdng giao dich vdi eac ben khdng tham gia thoa thuan R&D tir diu, thi thoa t h u ^ nay se vin dugc hudng mign trir. Cin luu y rang, midn tni d day la midn tni ddi vdi thoa thuan R&D va viec tiy chay chi la mpt phan hoac mdt ngi dung ciia thoa thuan. Trong khi dd, Luat Canh ttanh nam 2018 xem day la thoa thuan khdng giao dich vdi cac bgn khdng tham gia thda thuan dugc quy dinh tai khoan 9 Digu 11. Theo do, thoa thuan nay se bi xir ly hoac cd the se dugc midn trir neu nd dap img didu kidn tai Didu 14 Luat Canh ttanh (vi du nhu thoa thuan ed tac ddng thiie day tign bd ky thuat, cdng nghf, nang cao chat lugng hang hda, dieh vu). Ndi each khae, theo phap luat canh ttanh Viet Nam thi vin dg midn trit d day la midn trir ddi vdi thoa thuan khdng giao dich vdi cac bdn khdng tham gia thoa thuan chii khdng phai la mign trir ddi vdi thoa thuan R&D.
Chung tdi eho rang, vdi vide phap luat Canh tranh Viet Nam khdng ghi nhan eac dang thoa thuan R&D la khdng hgp ly vi ly do sau:
Mdt Id, thuc tidn kinh te Vif t Nam hien nay, vdi su biing nd cua kinh te sd va thuong mai dien tir, cac thoa thuan R&D ngay cang nhieu. De dap iing cho nhu ciu do, nhit tiiidt nhung boat ddng R&D phai dugc khuyen khich.
Hai Id, xet tir gdc do dudng ldi, phat ttidn khoa hgc va cdng nghe dugc xac dinh la mdt trong nhung uu tien nhim bao dam su phat tridn ciia Viet Nara. Nghi quygt sd 52-NQ/TW ngay 27/9/2019 ciia Bd Chinh tri vd ragt so chii truang, chinh sach chii ddng thara gia cupe Cach mang cdng nghiep lan thii tu yeu cau "hoan thien phap luat, trude hdt la phap luat ve doanh nghiep, khdi nghiep sang tao, sd hihi tri tue, thuang mai, diu tu, kinh doanh de tao dieu kien thuan lai
9 Khoan 3, 4 Dilu 12 Luat Canh tranh nam 2018.
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cho qua trinh chuydn ddi sd qudc gia va phat trign cae san phim, dieh vu, md hinh kinh td mdi dua ttdn ngn tang cdng nghf sd"'°.
Cd nhiing thoa thuan giiia eac doanh nghifp gay tdn hai cho eanh ttanh mdt each ro rang. Nhung d khia canh ngugc lai ciing CO nhiing thoa thu^n cd lgi va mang tinh thiic diy canh ttanh. Dat ttong bdi canh phat trien khoa hgc cdng nghf d Viet Nam hidn nay, cac thoa thuan ve R&D giiia eae doanh nghigp, ngay ca khi hara chiia nhiing yeu td gay han chd canh tranh, van nen can nhac khuyen khich. Dg thiic day hoat ddng lien ket tign hanh hoat dgng R&D, phap luat canh tranh Viet Nam can thay ddi each tidp can ddi vdi loai thoa thuan nay theo hucmg
NHA NUOC VA PHAP LUAT
ghi nhan loai thoa thuan nay ttong luat va cho nd dugc hudng ea chd midn trir tu dgng.
Kigm soat viee lgi dung danh nghia cua thoa thuan R&D dd tidn hanh cac loai thoa thuan han chd canh ttanh khac bang each danh gia eac yeu td han chd canh tranh. Neu trong trudng hgp thoa thuan R&D nhung lai ham chiia nhiing kha nang gay han chg canh ttanh mgt each dang kg thi liic do mdi tinh dgn kha nang xu ly. Dg danh gia kha nang gay han chg canh ttanh ttong trudng hgp nay, cd the can nhac dua ttgn hai tieu chi i) Thi phan cua cac doanh nghidp tham gia vao thoa thuan R&D va ii) vi thd ciia doanh nghifp ttong thi trudng lign quan hoac ttong chudi san xuat, phan phdi, cung img ddi vdi mdt loai hang hda, dich vu nhat dinh •
10 Muc in.2 Nghi quyet so 52-NQ/TW ngay 27/9/2019 ciia Bp Chinh tri ve mpt so chii truang, chinh sach chu dpng tham gia cupc Cach mang cong nghiep lan thii tu.
m u CHI NHAN DIEN..
(Tiip theo trang 42) sd hihi tai san bi chiem hiiu, sir dung khdng cd can eii phap luat chi cd quyen ygu can ngudi chiem hiiu, sir dung tai san khdng ed can eii phap luat hoan tta gia tri eiia tai san va, tu^* tinh hudng, bdi thudng thiet hai."Diiu 583, Nghia vu thanh todn Chu sd hihi. chu the cd quyin khac ddi v&i tdi sdn, ngu&i bi thiit hgi duac hodn trd tdi sdn thi phdi thanh todn chi phi cdn thiit md ngudi chiim hieu, ngu&i sic dgng tdi sdn, ngudi duac lpi vi tdi sdn md khdng cd cdn cic phdp lugt nhieng ngay tinh da bd ra di bdo qudn, ldm tdng gid tri cua tdi sdn ".
Can nhan manh rang, ehi trong trudng hgp ngay tinh, ngudi chiem hihi, sir dung tai san, dugc lgi vd tai san ma khdng cd can cii phap luat radi cd quyen yeu cau thanh toan ehi phi. Ngudi khdng ngay tinh ma da bd chi phi trong thdi gian chiem hiiu, sir dung tai san thi khdng cd quyen ydu cau dd. Didu nay
Cling cd nghia la ngudi cd tai san hi chiem hihi, sii dung ma khdng ed can cii phap luat^
ngudi hi thiet hai do ngudi khae dugc lgi ye tai san ma khdng cd can cii phap luat, ddn lugt minh, lai dugc lgi trong khi ngudi khae hi thidt hai. Tuy nhien, ttudng hgp dugc lgi nay la ed can cii tai chinh Dieu 582 da dan.
Va lai, cd thd coi vide khdng thira iihan quydn ydu c i u thanh toan cho ngudi chiem hihi, sir dung hoac dugc lgi ve tai san ma khong cd can cir phap luat va khdng ngay tmh nhu mdt bif n phap chg tai ddi vdi ngudi nay.
Dau sao, ndu ngudi ed tai san bi chigm hihi, sir dung khdng cd can cii phap luat, ngudi bi tiiiet hai do ngudi khac dugc lgi vd tai san ma khdng cd can cii phap luat tu nguyen thanh toan cho ngudi chiem hiru, sii dung tai san, dugc lgi vg tai san ma khdng ed can cii phap luat, thi ngudi nay cd quyen, tham chi cd dit chinh danh dd nhan khoan thanh toan dd •
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