【作者】 关永红；

【导师】 温世扬；

【作者基本信息】 武汉大学 ， 民商法学， 2012， 博士

【摘要】 知识产权的一般效力问题主要是知识产权法的基础理论问题，同时也是对知识产权法律制度的变迁进行梳理、审视及对现行知识产权法律规范进行剖析与抽象的问题。对知识产权一般效力的理论概括可以从法律效力理论、民事权利效力理论，特别是从物权效力理论中吸取“养分”，寻求基本的分析依据和线索，同时更应当在知识产权法律制度独特产生、发展路径中，以及在知识产权权利体系、权利属性、权利特征的形成过程中寻求分析依据和线索。知识产权是法律为保护特定的利益而赋予其法律上的力，而知识产权的一般效力就可界定为知识产权权利所具有的共同作用力、约束力和保障力。作用力直接体现为知识产权人对权利客体——即对设定了知识产权的无形财产或知识产品的积极支配力或控制力以及消极的控制力；约束力体现为知识产权法律关系的主体应当在知识产权强制作用力所及的客体、时间、地域等范围或领域内活动，不应超越合理的界限，不当行使或滥用权利。知识产权的合理使用、法定许可、强制许可、权利穷竭等制度设计实质上就是对权利人与社会公众行使权利、履行义务设定的界线；保障力则体现为知识产权存在受侵害之虞或受侵害之时法律必将通过请求权设定以及法律责任和强制执行制度预以排除和救济，以保障权利回复圆满状态。知识产权法规定的诉前禁令、行政查处、侵权司法救济等措施即是知识产权保障力的制度化实现。知识产权的一般效力即不同于知识产权的特别效力，也不同于知识产权的属性、特征和权能。知识产权一般效力的内容由控制效力、排他效力、时间效力、地域效力及请求权效力构成，而在制度层面这些效力全面存在或体现于国际条约及国内法的规范之中。知识产权效力因应经济、科技、文化和国际贸易的全球化发展处于不断变迁、扩张之中。知识产权控制效力是知识产权权利作用力的直接体现，控制效力是指知识产权人以特定方式控制知识产品而享受权利利益的积极作用力。知识产权的客体——知识产品具有无形性、知识性、共享性、公用性，无法进行排他性的现实占有，法律在专利、商标、作品等客体之上设定知识产权后，权利人对知识产品只能按法律规定的方式去自行利用知识产品和禁止他人利用知识产品。知识产权的权利设定与行使是建立在对知识产品进行法律拟制的控制性利用的基础之上。知识产品的利用包括制造、使用、许可、复制、传播、销售、进口、标记等方式，权利人对他人的擅自利用享有禁用权。知识产权控制效力的内容包括控制的客体范围、控制的具体方式和控制的空间范围。控制效力一方面受到了远比物权效力更普遍的严格限制，另一方面控制效力所及的客体范围、控制效力作用的空间范围在不断扩张，控制的方式更趋多样化、技术化。知识产权排他效力是指排除同一知识产品上内容相斥的权利或排除他人非法享有和使用其知识产品的约束力、保障力或消极的作用力，也可称为“排他力”或“排他性”。知识产权排他效力有广义和狭义之分，前者是指知识产权与其他私权间的相互排他力和知识产权权利之间的相互排他力；后者仅指知识产权权利之间的相互排他力。知识产权作为私权的支配权、绝对权的本质属性，必然产生知识产权排他效力。知识产权排他效力与知识产权控制性效力相互协调，形成“合力”，保障知识产权的权益得以全面实现。知识产权排他效力具体体现为同类知识产权取得的排他效力、不同种类知识产权取得的排他效力及知识产权行使阶段的排他效力。知识产权排他效力在专利、商标、著作等具体法律制度中得以制度化实现。知识产权时间效力是指知识产权取得、行使和保护的时间范围或时间约束力。其内容包括了时间效力期间（即保护期间）的起算与届满、时间效力的类型、时间效力的期限利益、时间效力的限制、时间效力的保护等。知识产权时间效力是多数知识产权权利内容的构成部分，是知识产权行使与保护过程中必须充分关注或考虑的重要法律要素。知识产权国际条约及国内法中包含大量时间性规范，这些规范的共同特征为：效力期间的性质为支配权的有效期、效力期间呈现不断延长趋势及效力期间届满后产生特殊的法律后果。法律对知识产权时间效力期间的起算与消灭的方式进行了不同的规定，而时间规范包含的期限利益对相关主体产生直接的利害关系。知识产权效力期间在制度变革中存在不断延长的趋势，对时间效力制度存在的合理性提出了挑战，需要寻求一个利益平衡点以确定合理长度的时间效力期间。知识产权地域效力是知识产权权利取得、行使、保护的的空间范围或空间约束力，超出特定的空间范围，知识产权的约束力、作用力和保障力即不复存在，也即知识产权权利本身不复存在。知识产权地域效力分为知识产权取得阶段的地域效力、行使阶段的地域效力、保护阶段的地域效力。知识产权地域效力的发展产生了知识产权的域外效力，而知识产权的域外效力是指一国授予的知识产权即使在授予国以外也可获得他国承认或再次授权或权利行使被他国承认及获得他国法律保护的效力。域外效力并不是对地域效力的否定，而是地域效力内容的延伸和发展的结果。知识产权国际保护的强化和国际一体化知识产权的出现反映了知识产权域外效力的不断增强，但知识产权地域效力仍然会继续发挥基础性作用。知识产权请求权效力是在知识产权存在受侵害之虞或受侵害之时，权利人基于知识产权的支配性、绝对性而享有的请求相对人为一定行为或不为一定行为的请求作用力。这种请求作用力在制度层面直接体现为知识产权请求权制度。知识产权请求权派生于知识产权，为回复知识产权权利的圆满状态存在，具有救济权利的功能，同时该权利实际也是知识产权作用力延伸于特定的相对人，并对相对人的行为产生约束力的体现，即知识产权请求权也属于知识产权一般效力的内容之一。依据法律的相关规定及救济知识产权的需要，可以将停止侵害请求权、妨害防止请求权、废止妨害物品请求权、获取侵害信息请求权等权利纳入知识产权请求权的内容构成之中。知识产权请求权与损害赔偿请求权、物权请求权具有一定的联系，但分属不同性质的请求权。知识产权请求权行使时一般不适用于消灭时效，但会受到其它具体法律制度的制约或限制。更多还原

【Abstract】 The general legal effect matter of intellectual property is the basic theoreticalmatters of Intellectual Property Law, and it’s also involved the analysis of the intellectualproperty system and the current Intellectual Property Law. Firstly, the summarization ofintellectual property’s legal effect may base on the theory of legal effect, civil rights andreal rights. Secondly it may base on the evolution of intellectual property system,intellectual property rights system and the right attribute. The intellectual property rightis essentially a kind of governing clause to protect specifically interest, the definition ofthe legal effect can explained as there has the same influence and binding between allkinds of intellectual property rights. The influence represents as the intellectual propertyrights holder has both positive and negative control force to the incorporeal property andknowledge product. And the legally binding represents as the rights holder shouldexercise his rights within limits of the subject, period and region in terms of law. Thelegal system of fair use, legal permission, compulsory license and right exhaustionessentially set a regulation to the exertion of rights and the obligatory performancebetween the rights holder and public. The guarantee ability of intellectual property canadminister relief to make the right protected by enforcement, set a claim and legalliability when the right was damaged. And the guarantee ability of intellectual propertycan also refer to the preliminary injunction, the administrative and judicial remedy. Thegeneral legal effect of intellectual property is neither the same as the special effect ofintellectual property nor the characteristic of intellectual property. On the institutionallevel, the general effect of intellectual property consists of the dominant effect, exclusiveeffect, time effect, territorial effect and claim effect which reflected in international treatyand domestic law. With the global development of economy, technology and culture, thelegal effect of intellectual property is changing and expanding continuously.The influence of intellectual property is expressed directly as the dominant effect ofintellectual property which is dominated by the rights holder in a special way to exercisethe right. The object of intellectual property is knowledge product, and the characteristicof knowledge product is invisible and common sharing, which lead to a fact that theintellectual property rights holder can only use the knowledge product by law instead ofreal occupied. The creation and exercise of intellectual property right is based on theexclusive use of knowledge product. The way to use the intellectual property consists ofmanufacturing, applying, permission, copying, spreading, sales agreement, import and sign, etc. The rights holder has a right to forbid people using the intellectual propertywithout permission. The content of dominant effect includes the object scope, concreteway and the spatial scope. On the one hand, the dominant effect of intellectual property ismore restricted than the real right effect, and on the other hand, the object scope and thespatial scope of the intellectual property is expanding and becoming more and morevarious and technicalization.The exclusive effect of intellectual property means that the rights holder has a rightto forbid people who use the knowledge product without permission, and this bindingalso called exclusive power or exclusiveness. The exclusive power of intellectualproperty can be defined in a broad sense and a narrow sense. In a broad sense, exclusivepower means the exclusive power between intellectual property and other private rights,while in a narrow sense, exclusive power means the exclusive power between all kinds ofintellectual property. As a private right, intellectual property right is essentially a kind ofeminent domain and absolute right. The exclusive effect and dominant effect ofintellectual property coordinate well to protect the intellectual property right andguarantee the realization of the right. The intellectual property exclusive effect refers tothe exclusive effect between the same kinds of intellectual property rights, the exclusiveeffect between various intellectual property rights and the exclusive effect during all thestage of exercise the intellectual property right. And the patent system, trademark systemand copyright system can make sure of the institutional attainment of the exclusiveeffect.The time effect of intellectual property means the time period of the intellectualproperty rights, the content include the accounting of the time period, the type of the timeeffect, the interest in expectancy, limited and protection of the time effect. We must payattention to the time effect of intellectual property because of its importance. Thecommon characteristics of the timeliness clause in the intellectual property internationaltreaty and the domestic law are the nature of the time effect. The clauses of the beginningand extinguishing of intellectual property time period are different and the interest inexpectancy is directly concerned with the interrelated subject.With the reform of legalsystem, the period of intellectual property time effect in law have a tendency to becomelonger, which challenges people to find a possible balance point of the length of theperiod.The territorial effect of intellectual property means the spatial scope of theintellectual property right, the right eliminated out of the spatial scope. The territorial effect of intellectual property includes the stage of obtainment, the stage of exercisingand the stage of protection. With the development of the territorial effect, theextraterritorial effect appeared. The extraterritorial effect means if a certain type ofintellectual property has been authorized by domestic law, it can also authorized by theother countries. The extraterritorial effect is not the negative of the territorial effect but aresult of the development of territorial effect. With the development of the internationalprotection of intellectual property, the territorial effect will be the foundation ofinternational protection.The claim effect of intellectual property means the rights holder can permit theothers to use the right and forbid them using the right before the right is damaged orwhen the right is damaging. This claim effect reflected directly as the intellectualproperty claim system. The claim of intellectual property depends on the intellectualproperty and has a function of relieve. It is also content of the general effect ofintellectual property. The content of the claim of intellectual property includes stoppinginfringement, prevention of violation of right, abolishment of the damaged goods,acquirement of damaged information by law. The claim of intellectual property concernsto the right to the claim for damage compensation and the right of the real claim, but theyare different in essence. It is inapplicable for using the system of extinctive prescriptionwhen exercising the claim of intellectual property, but it’s always limited by the otherconcrete laws.更多还原