Notice on Issuing the Guidelines for the Construction and Operation of Patent Pools and Its Interpretation
Notice of the China National Intellectual Property Administration, Ministry of Science and Technology, Ministry of Industry and Information Technology, State owned Assets Supervision and Administration Commission, Chinese Academy of Sciences on Printing and Distributing the Guidelines for the Construction and Operation of Patent Pool
Guozhi Shipping Letter [2025] No. 11
The competent departments of intellectual property, science and technology, industry and informatization, state-owned assets and market supervision of all provinces, autonomous regions, municipalities directly under the Central Government and Xinjiang Production and Construction Corps, all central enterprises, all units affiliated to the Chinese Academy of Sciences, and all relevant units:
The China National Intellectual Property Administration, the Ministry of Science and Technology, the Ministry of Industry and Information Technology, the State owned Assets Supervision and Administration Commission of the State Council, the General Administration of Market Supervision, and the Chinese Academy of Sciences have formulated the Guidelines for the Construction and Operation of Patent Pool, which are now printed and distributed to you. Please earnestly implement them.
China National Intellectual Property Administration
Ministry of Science and Technology
Ministry of Industry and Information Technology
SASAC
the State Administration for Market Regulation
Chinese Academy of Sciences
April 14, 2025
Interpretation of the Guidelines for the Construction and Operation of Patent Pools
Recently, the China National Intellectual Property Administration, the Ministry of Science and Technology, the Ministry of Industry and Information Technology, the State owned Assets Supervision and Administration Commission of the State Council, the State Administration of Market Supervision and Administration, and the Chinese Academy of Sciences jointly issued the Guidelines for the Construction and Operation of Patent Pools (hereinafter referred to as the Guidelines). The relevant content of the Work Guidelines is now interpreted as follows.
1、 Background and significance of the introduction
As an important patent joint operation model, patent pool plays an important role in integrating industry patent resources, reducing patent licensing transaction costs, improving patent licensing scale and efficiency, assisting in the transformation and application of patent technology, and strengthening industrial competitive advantages. In recent years, in industries with high standardization, fierce market competition, and frequent patent disputes such as communication and audio and video, a number of international patent pools have relied on their first mover advantages formed by long-term development to continuously strengthen their industrial influence and control while obtaining high profits, playing an increasingly important role in global industrial and technological competition. In recent years, domestic industry organizations and local governments have continuously accelerated their exploration of patent pool construction, achieving certain results and accumulating useful experience. However, overall, China's patent pool is still relatively weak in terms of infrastructure construction, operational mechanisms, talent guarantee, and development environment. Compared with the international mainstream patent pool, there is still a significant gap in development level, and the overall functional role of the patent pool still needs to be further utilized.
With the rapid improvement of China's industrial innovation capability and the increasingly fierce international intellectual property competition, the requirements for collaborative patent application in key domestic industries are constantly increasing. Therefore, accelerating the construction of high-quality patent pools, better leveraging the role of patent pools in promoting patent conversion, preventing and controlling industrial risks, optimizing innovation ecology, etc., has extremely important practical significance for supporting the construction of modern industrial systems and cultivating and developing new quality productive forces. The Central Committee of the Communist Party of China and the State Council attach great importance to the construction of industrial patent pools. The State Council's "14th Five Year Plan for National Intellectual Property Protection and Utilization" has put forward clear requirements for "building industrial patent pools", and the General Office of the State Council's "Special Action Plan for Patent Conversion and Utilization (2023-2025)" has further deployed the "construction and operation of key industrial patent pools". In order to implement the deployment requirements of the Party Central Committee and the State Council, accelerate the high-quality construction and operation of the domestic patent pool, respond to the relevant demands of key industries in a timely manner, and strengthen policy guidance and support, the China National Intellectual Property Administration, together with relevant departments, organized professional forces to comprehensively sort out the experience and laws of the construction and operation of the international patent pool, in-depth research on the actual needs of different industries in China for the patent pool, and widely absorb the opinions and suggestions of various enterprises, industry organizations, service agencies and government departments. After repeated research and demonstration, on the basis of consensus from all walks of life, focused on the construction orientation, function, compliance with principles, operating mechanism and other key points of the patent pool, formulated and issued the Work Guidelines.
2、 Overall idea
The Work Guidelines follow the overall idea of "one main line, two roles, three parties taking into account, and four mechanisms" to guide the strengthening of high-quality construction of patent pools, better play the functional role of patent pools, effectively promote the low-cost and high-efficiency transformation and application of patents, promote fair and orderly competition in industries, and accelerate the cultivation and development of new quality productive forces.
One main line "refers to the overall requirements for the construction and operation of patent pools, which are based on scientific organization, rational layout, standardized management, and efficient operation. Among them, "scientific establishment" is the key to the successful operation of the patent pool, which requires the patent pool to reasonably determine its target positioning, operation mode, and work rules during the establishment process, ensuring that the patent pool has professional and market-oriented operational capabilities; Reasonable layout "is the foundation of patent pool construction, which requires the construction of patent pools to be closely integrated with the national industrial development strategy, adapt to the development status and trends of industrial intellectual property rights, fully integrate high-quality patent resources in the industry, focus on key industrial areas for key layout and reasonable layout, and avoid rushing forward and redundant construction; Standardized management "is the guarantee for the healthy development of patent pools, which requires patent pools to follow national laws, regulations, and industry rules, based on an international perspective, establish and improve internal management systems and processes, ensure healthy and orderly development, and operate legally and compliantly; Efficient operation "is the core of realizing the value of patent pools, which requires the construction of patent pools with the goal of realizing the market-oriented value of patents, exploring effective operation models, efficiently carrying out licensing business and operation services, and achieving the expected functional role.
The two roles are to play the roles of an efficient market and a proactive government. On the one hand, "efficient market" refers to the construction of patent pools that should fully follow market laws and fully leverage the decisive role of the market in resource allocation. Actively guide and support the exploration of patent pools to form a business model that responds to industry needs, follows market rules, adheres to the principles of marketization, rule of law, and internationalization, meets the demands of both rights holders and implementers in operation, and can also obtain reasonable benefits for itself, continuously enhancing its ability to "self generate" and achieving sustainable development. On the other hand, 'proactive government' refers to the government strengthening compliance guidance and implementing corresponding policies to provide key support. Starting from national strategic requirements and industrial development needs, we will strengthen key guidance and support, enhance the overall layout and resource coordination of patent pools in key industrial chains, guide patent pools to effectively balance the legitimate rights and interests of patent licensors and licensees, and effectively play the supporting role of patent pools in enhancing industrial competitiveness and improving security and stability.
Three party consideration "refers to taking into account the characteristics of different industries, based on the actual situation and needs of emerging industries, traditional industries, and future industries, supporting differentiated construction of patent pools in different fields, exploring diversified operating mechanisms and business models; Taking into account the interests of different parties, guiding the construction of a fair, reasonable, and non discriminatory patent licensing operation ecosystem, ensuring a balance of interests between patent owners and implementers, and fully guaranteeing the reasonable benefits that patent implementers should receive while supporting patent owners to obtain their rightful returns; Taking into account innovation exploration and standardized management, starting from the overall situation of supporting industrial innovation and development, while encouraging patent pool operating institutions to boldly innovate and actively explore commercial operation models, effective regulation and avoidance of unfair competition behaviors such as abuse of patent rights and industry monopoly under the guise of patent operation are necessary to better maintain a fair competition order in the market.
The "Four Mechanisms" refer to guiding patent pool management and operation institutions to strengthen mechanism construction, improve operational efficiency, achieve standardized management and efficient operation, and better meet the needs of patent pool self construction and industrial innovation and development, focusing on four important aspects: external licensing, revenue distribution, management services, and information disclosure.
3、 Key content
The Work Guidelines provide guidance and support for the scientific establishment, rational layout, standardized management, and efficient operation of domestic patent pools from the aspects of functional positioning, construction principles, operational management mechanisms, and safeguard measures.
Regarding the functionality of patent pools. On the basis of the conventional functions of patent pools, combined with the needs of China's industrial development and the actual operation of patent work, the "Work Guidelines" propose three main functions that patent pools should have. One is to improve the efficiency of patent licensing. Using a patent pool as a platform, integrate common technology patents in related fields, and implement a one-stop licensing approach of "one to many" and "many to many" between rights holders and licensees to reduce licensing transaction costs and improve licensing efficiency. This is not only the basic function that a patent pool should possess, but also the foundation for its market-oriented operation. The second is to promote the industrial application of patented technology. Using the patent pool as a carrier, by carrying out centralized operation of patents, fully leveraging its function of promoting patent transformation and application, continuously expanding the scale and benefits of patent industrialization, and accelerating the transformation of innovative achievements into real productivity. Promoting the use of patent licenses is the basic function of patent pools, but effectively promoting the industrial application of patent technology is the rightful purpose of patent pool functions. This is not only an effective means to promote the deep integration of scientific and technological innovation and industrial innovation, but also a task requirement to accelerate the cultivation and development of new quality productivity. The third is to carry out diversified operational services. In response to the current practical needs of domestic industrial innovation and development, patent pools should promptly respond to the needs of industrial intellectual property development in the operation process, further expand the service functions of patent pools, guide patent pools to combine the actual needs of enterprises and various entities in related fields, carry out diversified services, popularize the awareness of enterprise patent compliance use, and improve the level of collaborative application and risk prevention of industrial patents. The diversified operation services of patent pools play an indispensable role in optimizing the ecological development of industrial innovation, enhancing the comprehensive benefits and operational efficiency of patent conversion and utilization.
Principles for the construction of patent pools. To ensure the sustainable operation, healthy development, and fair and orderly competition of the patent pool, the "Work Guidelines" propose four construction principles. One is the principle of marketization, which focuses on solving the problem of sustainable development and operation of patent pools. In recent years, some places have actively explored the construction of patent pools under the leadership of the government, achieving certain results. However, due to the lack of effective market operation mechanisms, their actual role has not been fully utilized, and the development is difficult to sustain. In this regard, the "Work Guidelines" emphasize that the construction of patent pools should follow the laws of the market economy and explore the construction of a commercial operation model that can achieve stable returns and has the ability to "self generate". The second principle is the principle of balancing interests, aimed at guiding the patent pool to balance the interests between patent holders and implementers. The patent pool should be based on the overall interests of various industries in license operation, ensuring the reasonable income of patent holders and enabling innovators to obtain the expected investment return, in order to feed back a new round of innovation; At the same time, it is also necessary to avoid unreasonable licensing rules and excessively high licensing fees, which excessively compress the industry average profit margin of licensed enterprises and affect the sustainable and healthy development of the industry. Therefore, this principle emphasizes that in the operation of patent pools, the concept of balancing industry interests should be adhered to, ensuring that all types of entities involved in the entire process from innovation investment to achievement implementation can receive the appropriate benefits feedback, and promoting the formation of a virtuous cycle of "innovation application re innovation re application". The third principle is openness, which aims to ensure that patent holders in the same field can voluntarily join or withdraw from the patent pool construction and operation. In order to prevent some patent holders in a certain technology field from using unfair rule settings to prevent or restrict other patent holders from joining the patent pool, in order to gain a monopoly position and affect fair competition, this principle emphasizes that the patent pool should be equally open to all eligible patent holders at home and abroad, and actively explore market-oriented, standardized, and internationalized development paths. The fourth principle is non discrimination, aimed at ensuring equal licensing opportunities for all patent users. Fair, reasonable, and non discriminatory (FRAND) "is an internationally recognized standard and necessary patent licensing rule. The" Work Guidelines "draw on the FRAND principle and propose that patent pools should conduct licensing business for the entire society without discrimination, ensuring that all patent implementers have equal opportunities to obtain patent licenses in accordance with fair, reasonable, and non discriminatory rules.
The mechanism and mode of patent pool operation and management. The "Work Guidelines" focus on providing mechanistic guidance for key nodes such as "external licensing, internal allocation, service management, and information disclosure" in the operation of patent pools. One is to guide the establishment of a reasonable licensing fee mechanism. The patent pool should be determined based on important factors such as the number of patents, patent value, industry average profit margin, and technological development stage. It is particularly emphasized that when determining or adjusting the license rate, full consultation and communication with potential licensees should be carried out to fully ensure that patent owners obtain their due benefits while avoiding excessive or even unreasonable cost burdens on patent implementers due to unreasonable licensing behavior, which may affect their normal business development. The second is to guide the establishment of a fair income distribution mechanism. It is clear that the patent pool should fairly determine the profit distribution ratio among its members based on the number and contribution of licensed patents, ensuring that the license income obtained by the rights holders matches their value contribution, and incentivizing more industry related patent holders to operate in the pool. At the same time, based on the mature experience of patent pool operation, it is emphasized that patent operation and management institutions can extract management fees or charge service fees from patent license income to incentivize operation and management institutions to obtain reasonable benefits and have the ability to actively expand their business scope and license objects. The third is to guide the establishment of a flexible and efficient service management model. Encourage patent pool operation and management institutions to timely and orderly expand service types and innovate business models based on industry development needs and patent pool functional positioning, providing value-added or public welfare services such as evaluation and consultation, litigation response, negotiation, overseas risk analysis, compliance investigation, etc. for patent pool members or other innovative entities. On the basis of leveraging the basic functions of the patent pool, better meet the diversified needs of different fields and entities. The fourth is to guide the establishment of a moderately transparent information disclosure mechanism. In response to the licensee's demand for disclosure of patent pool information, encourage the patent pool to appropriately disclose relevant information, or provide necessary information according to reasonable requests from relevant parties, enhance the transparency of the patent pool within a reasonable and necessary scope, and safeguard the licensee's right to know.
Regarding safeguard measures. In response to the current weak links in the construction of domestic patent pools, such as the lack of high-level operating institutions, scarcity of high-end operating talents, and lack of mature experience, as well as the weak awareness of enterprise patent payment usage, low social awareness of patent license operation, and the need to improve international rules for patent pool construction and operation, the "Work Guidelines" propose key support measures such as encouraging and supporting the standardized construction of patent pools, strengthening business training, talent cultivation, and publicity and communication, in order to make up for the weaknesses and shortcomings of patent pool construction in a relatively short period of time, guide and popularize the concept of patent pool operation, promote the establishment of fair, reasonable, open, inclusive, mutually beneficial and win-win international rules for patent pool construction and operation, accelerate the formation of a good atmosphere and internal and external environment conducive to the high-quality construction and operation of patent pools.
In addition, the "Work Guidelines" also provide standardized guidance on the initiation and establishment process of patent pools, especially on the strict compliance of anti-monopoly laws, regulations, and provisions in the construction of patent pools, and put forward clear requirements.
4、 Key issues that need to be emphasized
The Work Guidelines are based on the current characteristics and actual needs of China's industries, and from the perspective of better promoting fair competition and healthy development of the industry, focus on and guide several key issues in the construction and operation of patent pools.
One is to pay more attention to the balance of interests between different industries. China is the largest manufacturing country in the world with the most complete range of industries. It has a large number of production and manufacturing enterprises as patent licensees, as well as a considerable number of licensees with industry foundations and common patents. Therefore, based on fully absorbing international experience, the construction of China's patent pool should be based on the actual development of different industries and fully consider the balance of interests between patent licensing parties. The Work Guidelines focus on guiding the patent pool to fully consider various factors such as industry average profit margin in the process of determining license fees, strengthen communication and negotiation with potential licensees, to ensure the orderly development of license business, and promote the balanced and healthy development of the industry as a whole.
The second is to better meet the diverse needs of various types of entities. At present, the demand for patent pools in the industry is urgent and diverse. It is hoped that patent pools can play a more important role in promoting the coordinated development of industrial patents, regulating patent licensing behavior, preventing and responding to enterprise intellectual property risks, and reducing "internal competition and internal consumption" in key areas on the basis of realizing license operation functions. Therefore, the "Work Guidelines" fully consider the different stages and practical needs of intellectual property development in various industries, take into account the different characteristics of standard essential patent concentration areas and other fields, encourage and guide patent pools to be based on reality, explore and innovate, actively expand service types and business models, better meet the diverse needs of various entities, and provide more comprehensive service support for promoting the deep integration of scientific and technological innovation and industrial innovation.
The third is to encourage and guide the disclosure of information within a reasonable and necessary scope. In response to the different needs of patent licensing parties for the disclosure of patent pool information, the "Work Guidelines" combine the mature experience and operating rules of international patent pool construction, and clarify the guidance of encouraging moderate transparency of information. In terms of direction, encourage and guide the disclosure of patent pool information to enhance the necessary transparency of the patent pool and ensure the licensee's right to know; In operation, give the patent pool certain autonomy to choose, support it to reasonably determine the scope and method of information disclosure based on the characteristics of the industry field and its own positioning, and reserve moderate and reasonable space for market-oriented development.
The fourth is to scientifically distinguish between legitimate patent operations and patent abuse. It is reasonable and worthy of recognition that patent pools help patent owners maintain their legitimate rights and interests and obtain the necessary licensing benefits through legitimate patent operations and standardized exercise of rights; Under the guise of patent operation, the abuse of exercise rights will have a negative impact on the orderly development of the industry and the normal operation of enterprises. Especially in recent years, some "non patent implementing entities (NPEs)" have abused their patent rights under the guise of patent pool operation, deviating from the original intention of patent operation. They frequently send lawyer letters or file malicious lawsuits to some enterprises, causing great difficulties to the normal operation of enterprises. Therefore, in the process of promoting and implementing the "Work Guidelines", our bureau will increase collaboration with relevant departments, further clarify the reasonable boundaries of patent licensing operations, strengthen regulatory guidance, and encourage and support patent pools that exercise their rights legitimately; Strengthen positive guidance and regulation for the abuse of patent rights, and actively create a fair, reasonable, healthy, and orderly patent operation ecosystem.
Source: China National Intellectual Property Administration
33F, Shenzhen Special Zone Press Tower, No. 6008 Shennan Avenue, Futian District, Shenzhen P.R. China
+86-755-22984592/+86-755-82094518
Patent & Others: zysw@zyip.com 
Patent
Trademark
Litigation
Copyright
Project
Other
+86-755-22984592
zysw@zyip.com