中图分类号：F224.32；D923.42 文献标识码：A doi：10.3969/j.issn.1672-2272.202504061

TheEvolutionary Analysis of Incentive Strategies for Patent Open Licensing under Uncertain Environments

Deng Wenjie

（Chongqing Intellectual Property School，Chongqing Universityof Technology，Chongqing 40oo，China）

Abstract：To optimize the incentive implementation path of the patent open licensing system under uncertain environments，this study constructs a three-party evolutionary game model involving patent administrative departments，patent holders，and potential licensees. To better capture environmental randomness，the stochastic evolutionary game model is further developed by introducing Gaussian white noise.，and the Taylor expansion method is employed to derive analytical solutions and conduct stability analysisand numerical simulations.The findings reveal that the intensity of environmental disturbances significantly affects the volatility of strategic choices and the speed of evolutionary processes， with potential licensees being most susceptible and patent administrative departments the least sensitive.Initial participation probabilities play a moderating role in theevolution of strategies：low initial probabilities require administrative guidance，whereas high initial probabilities lead to more rapid incentive responses.Moreover，punitive measures exhibit diminishing marginal utility，economic incentives mayinduce adverse selection，while convenience-based incentives effectively enhance patent holders’ willingness to participate.This study uncovers the heterogeneous behavioral mechanisms of the strategic agents，delineates the boundaries of incentive policy applicability，and ofers theoretical support for the optimization of the patent open licensing system.

Key Words：Patent Open Licensing；Uncertain Environment； Incentive Strategies；Stochastic Evolutionary Game

0 引言

2021年6月1日，《中华人民共和国专利法》完成修订并正式施行，其中增设了专利开放许可制度。该制度规定，专利权人自愿提出专利开放许可申请，并在声明中载明许可使用费支付标准后，国务院专利行政部门将予以公告。任何人以书面形式通知专利权人，并依公告标准支付使用费，即可获得专利实施许可。自2022年5月起，国家知识产权局先后在上海、江苏、广东、浙江、北京等22个省份启动了专利开放许可试点工作。经过试点推进，截至2023年底，全国22个省份的开放许可制度吸引了逾3200名专利权人，共推动5.9万余件专利进入开放许可池，成功促成许可交易1.7万多项。然而，相较于全国同期401.5万件的有效发明专利规模，这一成果仍显不足，凸显出显著差距。因此，如何激励更多专利权人和潜在被许可人充分利用开放许可制度，成为当前亟待解决的问题。

专利开放许可的激励机制大致可分为两类：便利型激励和经济型激励[。便利型激励主要通过建设交易平台、优化流程等手段降低交易成本；经济型激励则借助年费减免和财政补贴等方式，缓解专利权人面临的经济压力。然而，当前专利开放许可在促进专利转化方面的激励制度尚不健全，存在多方面的问题。一方面，参与成本使得参与主体间存在明显不均，企业等市场化主体参与度普遍偏低[2]；另一方面，年费减免机制设计僵化，静态补贴难以适配快速变化的市场需求[3-4]，政策叠加效应也在一定程度上削弱了激励效果[5]。……