2022年9月13日，《汽车行业标准必要专利许可指引（2022版）》中英文版全文发布，提出了“产业链任一环节均有资格获得许可原则”等在内的四项核心原则，阐明了合理许可费的计算基础、考虑因素、计算方法和累积许可费率限制原则，为汽车行业标准必要专利许可提供参考。
Guidelines of Standard Essential Patent License for Automotive Industry (2022 Edition)
汽车产业是新一轮科技革命的先导性产业，智能网联汽车蓬勃发展，汽车技术与以无线通信技术等为代表的跨行业技术呈现融合发展态势，汽车产品上所遵循的技术标准中涉及的专利技术日趋增多，由于不同行业在知识产权保护和专利许可模式等方面存在较大差异，进而衍生出标准必要专利许可等新问题。
The automotive industry is pioneering in the new round of technological revolution. As intelligent connected vehicles (ICV) develop vigorously, automotive technologies and interdisciplinary technologies which represented by wireless telecommunications technologies have demonstrated over time a trend of convergent development, technical standards followed in automobile products have come to involve an increasing number of patent technologies. Due to the relatively large differences among industries in terms of intellectual property protection and patent licensing models, as a result, new issues such as standard-essential patent licenses have emerged.
为进一步促进汽车产业高质量发展，形成不同产业间的良性互动和融合发展，中国汽车技术研究中心有限公司和中国信息通信研究院，依托中国汽车工程学会知识产权分会、IMT-2020（5G）推进组和汽车标准必要专利工作组，组织行业专家进行起草、研究与论证，在各自工作组内分别进行了意见征集，形成“汽车行业标准必要专利许可指引”，作为行业参考。
To further promote high-quality development of the automotive industry and form positive interactions and integration among different industries, China Automotive Technology and Research Center Co., Ltd. (CATARC) and China Academy of Information and Communications Technology (CAICT), with support from IP Committee of China-SAE, the IMT-2020 (5G) Promotion Group and the Working Group on Automotive Standard Essential Patents, have organized industrial experts to conduct drafting, research and demonstration, solicited opinions within their respective working groups, which has led to the formulation of the Guidelines of Standard Essential Patent License for Automotive Industry as a reference.
“标准必要专利（SEP）”指实施某项技术标准过程中所必须使用的专利。
“Standard Essential Patent (SEP)” means a patent that is necessary for the implementation of a technical standard.
“Automotive Product” refers to a part or component of an automobile or the automobile.
“汽车行业标准必要专利”是指汽车产品遵循的技术标准中所涉及的标准必要专利。
“Automotive Industry SEP” refers to an SEP involved in technical standards followed by Automotive Products.
“公平、合理和无歧视”原则为国际范围内标准化组织公认的许可原则，又称为FRAND原则。
“Fair, Reasonable and Non-discriminatory” is a licensing principle recognized by worldwide standard setting organizations (SSOs), also known as the FRAND principle.
II. Core Principles for Automotive SEP Licenses
1. Principle of Balancing of Interests
标准必要专利许可应遵循利益平衡原则，既要保证专利权人的创新投入可以获得合理的回报，又要使得许可费维持在合理范围内，从而保证技术标准能够广泛普及和应用，以促进汽车产业健康可持续发展，此外还应考虑社会公众的利益。
SEP licensing should follow the principle of balancing of interests, which should not only ensure reasonable returns to the patentee for its investment in innovation, but also cause the amount of royalties to be maintained within a reasonable range, so as to ensure the technical standards can be widely popularized and applied, and promote healthy and sustainable development of the automobile industry. In addition, the interests of the public should also be considered.
2. Principle of Fair, Reasonable and Non-discriminatory
“公平、合理”原则主要指标准必要专利权人在遵循FRAND原则的前提下，有权就其研发投入和技术创新获得回报，但专利权人的许可回报应维持在合理范围内。
The principle of “fair and reasonable” refers to the entitlement of an SEP owner to obtain a return on its investment in R&D and technological innovation on the premise of compliance with FRAND principle, returns generated from the patentee’s licenses should be limited to a reasonable range.
“无歧视”原则指标准必要专利权人对处于实质相同或相似条件的实施者，应以实质相同或相似的条件进行许可，不得无故拒绝许可或附加不合理的许可条件；若许可条件或条款存在显著差异应做出合理解释，避免使实质相同或相似条件的实施者处于竞争不利的地位。
The principle of “non-discriminatory” means an SEP owner should license with substantially identical or similar terms to the implementers under substantially identical or similar conditions, and unjustified refusal to license or attachment of unreasonable licensing conditions is prohibited; if there are significant differences in licensing conditions or terms, a reasonable explanation should be provided so as to avoid the situation where the implementers under substantially identical or similar conditions are at competitive disadvantage.
在标准化组织作出承诺的标准必要专利，若后续发生承继、转让等专利权权属变更，原专利权人应与其承继人或受让人通过适当形式，让所有后续承继人或受让人仍然受到公平、合理、无歧视原则下的约束。
In the event of subsequent succession, assignment or other change of ownership of the SEPs , the original patentees should make efforts with its successors or assignees to ensure them compliant to the FRAND principle appropriately.
3. Principle of Entitlement to Obtain Licenses at Any Level in the Industry Chain ("license to all")
根据在标准化组织做出的FRAND承诺或者标准化组织的知识产权政策，任何善意的专利实施者都有获得标准必要专利许可的权利，标准必要专利权人有义务向有意取得许可的实施者授予许可，无论其处于产业链的何种层级。
According to the FRAND commitment of SSO or the SSO’s intellectual property policy, any good faith patent implementer is entitled to obtain an SEP license, SEP owner is obliged to license to an implementer who intends to obtain a license (“license to all”), regardless of the level in the industry chain.
标准必要专利权人不应向同一产业链中处于不同层级的制造商重复收取标准必要专利许可费。
An SEP owner should not repeatedly charge SEP royalties to manufacturers at different levels of the same industry chain.
4. Principle of Handling Differences Between Industries Through Negotiation
汽车产业链体系复杂，整车上所有零部件数量数以万计，在目前成熟的产业实践中，汽车行业通行的商业惯例是产业链纵向许可模式，即汽车企业通常会以合同约定的方式由上一级供应商来解决其供货零部件产品的知识产权许可问题，且整车企业通常会通过供应商来解决整车上各类零部件产品的知识产权问题。
The automotive industry chain is a complex system and tens of thousands of parts and components are involved in a vehicle. In the current mature industrial practice, the prevalent business custom in the automotive industry is to adopt a vertical licensing model along the industry chain; that is, automotive enterprises usually contract with their upper-level suppliers to resolve intellectual property license issues related to the supplied parts and components, and automobile manufacturers usually resolve intellectual property issues through their suppliers for all kinds of parts and components of an automobile.
当面向汽车产品的标准必要专利许可模式与汽车行业现行的许可模式和商业惯例存在差异或分歧时，宜充分尊重和考虑双方行业的行业特点和商业惯例，以积极和善意的方式进行谈判协商，寻求双方都可接受的许可模式。
When there are discrepancies or differences between SEP licensing model and current licensing model or commercial custom, it is appropriate to fully respect and consider the industry characteristics and business customs, positively discuss and negotiate in seeking a licensing model accepted by both parties.
III. Principles for Calculating Reasonable Royalties
针对标准必要专利许可费计算基数，应以标准必要专利技术对汽车产品中起到实际贡献的产品单元作为许可费计算基数，同时应避免将与标准必要专利技术无关的其他产品单元纳入许可费计算基数。
For the SEP royalty basis, the basis should be set as the product unit that actually contributes to the Automotive Product by SEP technology, excluding other product units that are not related to the SEP technology.
无论是汽车产品中的零部件还是整车作为许可费计算基数，都应考虑标准必要专利技术对于该汽车产品的实际价值度贡献；此外，无论许可层级如何，对于同一汽车产品计算得到的标准必要专利许可费应该大致相同，不应由于许可层级的不同而导致许可费产生显著差异。
Regardless of whether the basis is the parts and components of an Automotive Product or the automobile, the actual value contributed by SEP technology to the Automotive Product should be taken into consideration; moreover, regardless of the license level, the SEP royalty for the same Automotive Product should be approximately the same, the royalty should not differ significantly among various license levels.
2、许可费考虑因素
2. Factors for Calculating Royalties
合理的许可费应考虑标准必要专利技术对于汽车产品的实际价值度贡献、行业累积许可费率、专利权人持有的标准必要专利数量、专利地域分布等因素，许可费率不应因专利被纳入标准而额外获益。
Reasonable royalty should consider the actual value contributed by the SEP technology to the Automotive Product, the cumulative royalty rate in the industry, the number of SEPs held by the patentee, the geographical distribution of the patents, etc. The royalty rate should not be raised when the patent is in line with the standard.
标准必要专利对汽车产品的价值度贡献需要考虑汽车产品的价值是由技术、市场、生产、品牌、售后等多个环节共同构成的，特别是品牌在汽车产品价值中的贡献；此外还应考虑标准必要专利技术对汽车产品的销售和利润的贡献。
The determination of the value contributed by SEPs to Automotive Products needs to be taken into account that the value of Automotive Products collectively comprises various aspects such as technology, market, production, brand and after-sales, especially the contribution of brand; in addition, the contribution of SEP technologies to the sales and profits should also be considered.
专利权具有地域属性，合理的许可费还可以考虑实施者的生产和销售区域、专利权人的专利地域分布以及不同地域的经济水平差异等因素，可以对不同地域适用不同的许可费率。
Patent rights have geographical attributes. For reasonable royalty, factors such as production and sales area of implementer, patent geographical distribution of patentee, and variances in economic conditions of different regions may also be considered, so that varying royalty rates may be applied to different regions.
3. Principle of Limitation to Aggregate Royalty Rates
为了保证许可双方的利益平衡，针对汽车产品的标准必要专利许可费之和应具有合理的上限，该上限值可以为被许可产品所在行业合理利润的一定比例。
To achieve a balance of interests between the licensing parties, a reasonable cap should be imposed against the aggregate amount of SEP royalties for Automotive Products. This cap could be a certain fraction of the reasonable profits in the industry of the licensed products.
同一技术标准下的标准必要专利在不同行业应用时的累积许可费率可以有所不同。
Aggregate royalty rates for SEPs under the same technical standard may vary when the SEPs are implemented in different industries.
4. Reasonable Selection of Royalty Calculation Method
计算标准必要专利许可费时，可采用“自上而下”法、可比许可协议法等。
When calculating SEP royalties, methods may be adopted such as “Top-down” and comparable license method.
采用“自上而下”法可以避免专利许可费堆叠问题，该方法首先需确定特定标准中所有标准必要专利的累积许可费率的上限，然后通过计算不同专利权人的实际标准必要专利占比，进而计算得出不同专利权人的合理许可费比例。
“Top-down” method can avoid royalty stacking. Firstly, the cap of the aggregate royalty rate should be determined for all the SEPs under a specific standard, then the actual share of the SEPs should be calculated by different patentees, and finally, the respective reasonable royalty shares could be reached.
采用可比许可协议法时，可以综合考虑许可交易的主体、许可产品、许可地域、许可标的之间的关联性、许可包含的交易对象及许可双方的谈判过程等因素。
When adopting the comparable license method, the factors shall be considered, such as the relevance of participator, licensed product, licensed territory, and licensed subject matter, counterparty included in licensing, as well as negotiation process for each party.
无论采用“自上而下”法还是可比许可协议法，都应考虑专利权人的实际标准必要专利占比、标准必要专利的地域分布，同时可考虑标准必要专利权人对于标准的实际贡献及提案情况。
Regardless of adoption of “Top-down” or comparable license method, the actual share of SEP owners and the geographical distribution of SEP portfolios should be considered. Consideration can also be given to the SEPs’ actual contributions and proposals.
IV. Right of Interpretation and Declarations
本指引由中国汽车工程学会知识产权分会、IMT-2020（5G）推进组和汽车标准必要专利工作组负责解释。
These guidelines are subject to interpretation by the IP Committee of the China-SAE, the IMT-2020 (5G) Promotion Group and the Working Group on Automotive Standard Essential Patents.
These guidelines will come into effect from the date of promulgation.
本指引中的条款如与国内现行法律法规存在不一致之处，以现行的法律法规为准。
If there is any inconsistency between the provisions in the guidelines and the current domestic laws and regulations, the current laws and regulations shall prevail.
