本报告旨在为5G标准必要专利（SEP）许可费率的确定提供深入、全面、可靠、透明的数据支持， 可供许可方、实施人、法院、研究机构等提供参考。所有的原始数据、中间过程数据均留有备份， 必要时可以作为证据提供。充分而可信的数据基础是确定一个合理的5G SEP许可费率的必要条件。 本报告旨在通过公开数据，结合部分国家和地区的法律法规、判决案例， 努力搜集并分析广泛被讨论和认可的费率影响因素，并基于这些要素给出5G SEP的全景和深度分析报告， 努力凝聚共识、尝试为合理的费率计算提供数据基座。

This report aims to provide in-depth, comprehensive, reliable, and transparent data support for the determination of licensing fees for 5G Standard Essential Patents (SEPs). The data presented herein is intended to serve as a reference for licensors, implementers, courts, research institutions, and other stakeholders. All original data and intermediate process data are backed up and can be provided as evidence when necessary. A robust and credible data foundation is a prerequisite for establishing a reasonable licensing fee for 5G SEPs.

This report strives to collect and analyze widely discussed and acknowledged factors influencing fees by utilizing publicly available data, in conjunction with legal regulations and judicial cases from various countries and regions. Based on these factors, it aims to present a panoramic and in-depth analysis of 5G SEPs, seeking to build consensus and providing a data foundation for the calculation of reasonable fees.

本报告试图更深入、更广泛地披露和讨论上述部分影响SEP许可费率的关键要素，其中包括：

√ SEP数量及占比

√ SEP地域分布、地域保护均衡度、地域保护强度

√ SEP技术分类和可能的应用场景

√ SEP适用产品

√ SEP在垂直行业的分布

This report endeavors to provide an in-depth and extensive disclosure and discussion of key factors influencing SEP licensing fees, including:

√ Number and proportion of SEPs

√ Geographic distribution of SEPs, balance of geographical protection, and strength of geographical protection

√ Classification of SEP technologies and potential application scenarios

√ Applicable products for SEPs

√ Distribution of SEPs in vertical industries

通过这些分析，本报告揭示的关键结论归纳如下：

1. 截至2023年9月20日，全球5G简单同族总数达到80679，INPADOC同族总数达到58425。 中国企业声明的5G专利族总数超过50%，其中华为（Huawei）、中兴通讯（ZTE）、欧珀（OPPO）、 小米（Xiaomi）、大唐（CATT）均进入前10名。随着新兴5G SEP专利权人的崛起， 部分传统的主要SEP专利权人的SEP相对实力显著下降，他们根据2G、3G或4G时代SEP实力确定的5G许可费率正面临极大的挑战。

2. 华为（Huawei）持有的IP3(CNIPA、USPTO、EPO)有效5G专利族数量最多，占比达到15%。排名第2的是三星（Samsung）， 排名第3的是高通（Qualcomm）。排名4-10位依次是：乐金电子（LG）、中兴通讯（ZTE）、诺基亚（Nokia）、欧珀（OPPO）、 大唐（CATT）、维沃（VIVO）和爱立信（Ericsson）。 在排名前20的专利权人中有一半是中国企业（含联发科（MediaTek）和联想（Lenovo））。

3. 高达35%的5G专利族同时被声明为4G 专利。其中三星（Samsung）、中兴通讯（ZTE）、诺基亚（Nokia）、夏普（Sharp）、 交互数字（InterDigital）、日本电气（NEC）的比例均不低于50%。应避免对这部分专利进行重复计费， 也应在费率计算中考虑到这部分专利的剩余有效时间相对更短。

4. NTT都科摩（NTT Docomo）、高通（Qualcomm）、联想（Lenovo）等持有较佳的5G专利族地域保护均衡度， 而其他多数专利权人的5G专利族地域保护均衡度在40-60%之间。地域保护均衡度较好的SEP族有理由获得较高的权重。

5. 在智能手机行业，在中国、印度、印度尼西亚、巴西、墨西哥、泰国、菲律宾、埃及、土耳其等国家， SEP地域保护强度较弱；而在美国、德国、韩国、日本、西班牙等国家，SEP地域保护强度较强。在SEP许可费率中， 考虑SEP地域保护强度有一定的合理性。地域保护强度较高的SEP族有理由获得较高的权重。

6. 沿用性技术和演进性技术（合并为基础性技术）的比例在所有5G专利族中的比例为86.4%， 其中沿用性技术占35%，而突破性技术占比仅为13.6%。

7. 可能用于eMBB、URLLC、mMTC的终端与RAN侧突破性IP3有效5G专利族数量分别为3703、2702、1954， 而用于eMBB、URLLC、mMTC的则分别为4572、3646、2813，不同场景下对5G SEP的依赖程度差异明显。

8. 仅适用于终端设备（UEonly）或仅适用于网络基础设施（NWonly）的5G专利族分别占38.8%和12.6%。 其中，网络基础设施供应商持有的NWonly专利族比例较高，普遍超过了20%。

9. 在车联网领域，持有较多5G专利族的专利权人包括乐金电子（LG）、华为（Huawei）、欧珀（OPPO）、 大唐（CATT）、维沃（VIVO）等。

10. 在物联网领域，持有较多5G专利族的专利权人包括三星（Samsung）、华为（Huawei）、中兴通讯（ZTE）、 乐金电子（LG）、高通（Qualcomm）等。

11. 在NTN领域，持有较多5G专利族的专利权人包括小米（Xiaomi）、华为（Huawei）、高通（Qualcomm）、 朗帛（Langbo）、大唐（CATT）等。

12. 中国、欧盟、美国、日本等纷纷出台SEP许可相关的法律法规，普遍要求加强SEP真实性认定。

Through these analyses, the key conclusions revealed in this report are summarized as follows:

1. As of September 20, 2023, the total number of declared 5G SEP (Standard Essential Patent) families has reached 80,679, with the InpaDoc total reaching 58,425. Chinese companies account for over 50% of the declared 5G SEP patent families, with Huawei, ZTE, OPPO, Xiaomi, and CATT all ranking in the top 10. With the rise of emerging 5G SEP (Standard Essential Patent) holders, the relative strength of some traditional major SEP holders has significantly declined. They face considerable challenges to the licensing rates or rate shares determined based on their SEP strength in the 2G, 3G, or 4G eras.

2. Huawei holds the highest number of valid IP3 (CNIPA、USPTO、EPO) 5G patent families, accounting for 15%. Samsung ranks second, followed by Qualcomm in third place. The fourth to tenth positions are occupied by LG, ZTE, Nokia, OPPO, CATT, VIVO, and Ericsson. Among the top 20 patent holders, half are Chinese companies, including MediaTek and Lenovo.

3. A significant 35% of 5G SEP families are simultaneously declared as 4G SEP. Samsung, ZTE, Nokia, Sharp, InterDigital, and NEC all have proportions not less than 50%. Care should be taken to avoid double counting these patents, and their shorter remaining validity should be considered in rate calculations.

4. NTT Docomo, Qualcomm, Lenovo, and others maintain a better geographical balance in their 5G SEP portfolios, while many other SEP holders have a geographical balance ranging from 40% to 60%. SEP families with better geographical balance may deserve higher weights.

5. In the smartphone industry, weak SEP geographical protection intensity is observed in countries such as China, India, Indonesia, Brazil, Mexico, Thailand, the Philippines, Egypt, and Turkey. Strong SEP geographical protection intensity is observed in the United States, Germany, South Korea, Japan, and Spain. Considering SEP geographical protection intensity is reasonable in SEP licensing rate considerations. SEP families with higher geographical protection intensity may deserve higher weights.

6. The proportion of foundational technologies, including reuse and evolutionary technologies, in all 5G patent families is 86.4%, with reuse technologies accounting for 35%, and breakthrough technologies only making up 13.6%.

7. The number of breakthrough IP3 effective 5G patent families for terminals and RAN in different scenarios, such as eMBB, URLLC, and mMTC, is 3,703, 2,702, and 1,954, respectively. The numbers for all scenarios combined are 4,572, 3,646, and 2,813, indicating significant differences in the reliance on 5G SEP across different scenarios.

8. Only applicable to User Equipment (UE only) or only applicable to Network Infrastructure (NW only) 5G patent families account for 38.8% and 12.6%, respectively. Network infrastructure suppliers tend to hold a higher proportion of NW-only patent families, generally exceeding 20%.

9. In the field of connected vehicles (car IoT), companies with a significant number of 5G patent families include LG, Huawei, OPPO, CATT, and VIVO.

10. In the Internet of Things (IoT) domain, companies with a substantial number of 5G patent families include Samsung, Huawei, ZTE, LG, and Qualcomm.

11. In the Non-Terrestrial Network (NTN) domain, companies with a notable number of 5G patent families include Xiaomi, Huawei, Qualcomm, Langbo, and CATT.

12. China, the European Union, the United States, Japan, and others have introduced laws and regulations related to SEP licensing, universally emphasizing the need to strengthen the verification of SEP authenticity.

报告的可靠性、透明性是极端重要的。报告所采用的原始数据、中间过程结果均留有备份。 必要时墨丘也愿意将这些数据在合理的范围内进行分享，这也是墨丘一直尝试提高SEP许可透明度、 推动开发与协作的举措之一。

The reliability and transparency of the report are of utmost importance. All original data and intermediate results utilized in the report have been backed up. If necessary, MQPat willing to share this data within a reasonable scope. This reflects MQPat's consistent efforts to enhance the transparency of SEP licensing, demonstrating a commitment to openness and collaboration in the industry.

全球5G SEP（Standard Essential Patent）拥有者正积极开展相关许可活动。 其中，如何计算5G SEP费率是各方都特别关注的一个核心问题。 通常认为，SEP费率的确定至少应考虑这些因素：SEP专利/专利族数量和所占比例、 SEP真实性和稳定性、SEP地域分布、SEP技术贡献度、“合理的”行业累积费率等。 然而，尽管每年有若干专利分析机构不定期地发布SEP分析报告， 但各自披露的数据和结论往往存在明显差异，且分析维度较为单一，因此无法得到普遍认同。 因此，报告发布方启动了“全球4G/5G SEP深度分析”项目，对所有在ETSI网站（www.etsi.org） 进行了SEP声明的4G/5G专利进行了全面而深入的分析，并形成本报告。

本报告是SEP透明许可项目的一部分。 SEP透明许可项目旨在通过大规模、深入的技术分析，帮助许可活动各方更准确地评估SEP专利/专利组合的价值， 推动许可活动各方形成客观上更加FRAND的专利许可协议。

与现有其它某些类似报告相比，本报告提供了若干全新的分析维度，至少包括：

（1）SEP标准制式分类：按标准3GPP标准制式对SEP专利进行详尽的分类（包括4G、4Gn5G、5G only等）。

（2）5G SEP适用产品分析：对5G SEP按适用于终端或网络设备进行分类统计。

（3）5G SEP技术分类分析：将5G SEP按突破型技术和演进型技术进行分类，对突破型技术进行了进一步的技术分类。

以上全新的分析维度有利于提高专利许可过程中的透明度，建议专利权人和专利实施者加以参考。 这也是首次由中国本土机构完成的SEP分析报告，并将不定期更新。根据下面表单输入相关信息，可以免费下载报告全文。 任何意见或建议可通过（huangwc@mqpat.com）联系报告发布方。