材料科学新闻简报

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材料科学新闻简报 2022 年 9 月

其重要的技术意义,它在第一次和第二

次工业革命期间钢铁行业的爆炸式创新

中达到顶峰。虽然我们目前生活在工业

4.0 时代,对数字技术和生物技术发展 的依赖日益增加,但金属仍然是交易量 最大的商品之一,铁矿石也是除沙子、 砾石和水泥外开采量最大的材料。全球 每年的钢产量比硅产量高出两百多倍。

因此,冶金对世界经济而言仍然至关重 要。

工业冶金主要由钢铁行业主导,铁合金 仍继续广泛用于建筑、制造和电气等应 用领域。但是,人们对有色合金的兴趣 正在增长,特别是制造商,他们想要生 产出更轻型的结构(以减少汽车或航空 航天工业的燃料消耗等)或者找出能够 承受极端环境的材料(从实验聚变反应 堆堆芯到现代燃气涡轮发动机)。

有色冶金是一个很广阔的领域,涵盖大 量的材料和工艺,包括铝、钛等成熟行 业以及近期开发的高熵合金。本文探讨 了有色金属的专利申请趋势,以便全面 了解该技术领域的发展情况。

方法 我们的知识产权分析团队对 2012 年至今 联合专利分类 C22C(合金)类相关已公 布欧洲专利申请进行了调查,并基于与 有色合金相关的每个子类 1/00 到 32/00 对结果进行了细分。然后,我们分析了

Patent Filing Trends in NonFerrous Metallurgy

Metallurgy has been of huge technological importance to humanity since the start of the Bronze Age, culminating in the explosion of innovation in the iron and steel industry during the first and second Industrial Revolutions. While we are currently living through Industry 4.0, with an ever-increasing reliance on digital technologies and biotech developments, metals remain one of the most-traded commodities and iron ore is the most-mined material after sand, gravel and cement components. The mass of steel produced globally in a year outstrips silicon production by a factor of over two hundred. Metallurgy is therefore still vitally important to the world economy.

Industrial metallurgy is dominated by the steel industry, with ferrous alloys continuing to find widespread use in construction, manufacturing and electrical applications. However, interest in non-ferrous alloys is growing, particularly as manufacturers aim to produce lighter structures (to reduce fuel consumption in the automobile or aerospace industries, for example) or seek out materials which can withstand extreme environments (from experimental fusion reactor cores to modern gas turbine engines).

Non-ferrous metallurgy is a broad field and covers a large number of materials and processes, from established industries such as aluminium and titanium to more recently developed high-entropy alloys. In this article, we look at patent filing trends for non-ferrous metals to build up a picture of how this technology area is progressing across the board.

Methodology

Our IP Analytics team carried out a search for published European patent applications in the Cooperative Patent Classification C22C (Alloys) between 2012 and the present. The results were broken down for each of the sub-classifications 1/00 to 32/00 relating to non-ferrous alloys. We then analysed the total number of applications published, the top 10 filers in each area, and the publication trends over time.

2 www.hlk-ip.cn 有色冶金专利申请趋势
自青铜时代开始,冶金就对人类具有极
已公布申请的总数、各领域的前 10 大申 请人以及长期公布趋势。 最强技术领域 从图 1 可以看出,1/00(有色合金的制 造)是过去十年已公布欧洲申请数量最 多的子类。这一结果似乎也不足为奇, 因为该子类涵盖了可应用于许多不同贱 金属的冶金工艺。 但是,除 1/00 外,其他各子类都侧重 于特定的贱金属或合金类型。在该分组 中,铝基合金 (21/00) 位列第一,紧接着 是镍和钴,它们同属于 19/00 子类。这 突出了铝基合金作为轻型和耐腐蚀结构

肢(如人造髋关节)领域应用广泛。

我们发现,欧洲专利申请数量较多的领 域还有铜基合金 (9/00)、贵金属 (5/00) 、基于金属化合物(如碳化物、氧化物 或氮化物)的合金 (29/00 和 32/00),以 及钛基合金 (14/00)。29/00 子类还包括 金属陶瓷,它是一种特殊的复合材料, 由陶瓷材料和金属结合构成。 我们发现,申请数量极少的领域有铅基 合金 (11/00)、镉基合金 (20/00)、锰基 合金 (22/00)、碱金属或碱土金属基合金 (24/00) 及铍基合金 (25/00),这表明这 些合金目前在工业上的重要性不大,或 者这些技术领域缺少创新。

Strongest technology areas

As can be seen from Figure 1, 1/00 (Making non-ferrous alloys) was the sub-classification in which the largest number of European applications published in the past decade. This is perhaps not surprising, since the classification covers metallurgical processes which could be applied to many different base metals.

Beyond 1/00, however, each subclassification focuses on a particular base metal or type of alloy. Of this group, aluminium-based alloys (21/00) come out on top, closely followed by nickel and cobalt which are grouped together in sub-classification 19/00. This highlights the continued industrial importance of aluminium-based alloys as lightweight and corrosion-resistance structural materials, particularly for the automotive and aerospace sectors. Nickel and cobalt are also particularly important in aerospace, given that nickel- and cobalt-based superalloys are well-suited to withstand the high temperatures achieved in the hot sections of gas turbine engines. Aluminium, nickel and cobalt all find use in magnetic alloys (such as the Alnico alloy family), while nickel also forms the base of many shape memory alloys. Cobalt-based alloys are well-known for superior wear and/or corrosion resistance, and therefore find diverse applications in machine parts, dentistry and orthopaedic prostheses such as artificial hips.

Other areas where we found significant numbers of patent filings in Europe include copper-based alloys (9/00), the noble metals (5/00), alloys based on metal compounds (29/00 and 32/00) such as carbides, oxides or nitrides, and titanium-based alloys (14/00). Sub-classification 29/00 also includes cermets, which are a special type of composite combining ceramic materials and metals.

Areas where we found very few applications include lead-based alloys (11/00), cadmiumbased alloys (20/00), manganese-based alloys (22/00), alloys based on alkali or alkaline earth metals (24/00) and berylliumbased alloys (25/00), suggesting that these alloys currently have little industrial importance or that less innovation is happening in these technical fields.

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材料在工业上始终很重要,特别是在汽 车和航空航天领域。由于镍基和钴基高 温合金特别适合承受燃气涡轮发动机高 温段产生的高温,所以镍和钴在航空航 天领域也非常重要。铝、镍和钴都可用 于磁性合金(如铝镍钴合金系列),镍 还是许多形状记忆合金的基础成分。钴 基合金以出色的耐磨性和/或耐腐蚀性而 闻名,因此在机器零件、牙科和矫形假

Figure 1. Number of published European patent applications per C22C sub-classification between 2012 and today.

Biggest filers

欧洲的有色合金类申请主要来自由日本 公司主导,例如新日铁、三菱、日立金 属/化成、住友和 JFE 控股,其中几家 公司可能以钢铁生产更为著称。其他大 公司还包括西门子、通用电气、雷神技 术和肯联铝业。但是,不同申请人在各 技术领域的排名差异巨大。

1 中可以看出,日本公司 是 1/00(有色合金的制造)和

The non-ferrous alloys classification in Europe is dominated by Japanese corporations such as Nippon Steel, Mitsubishi, Hitachi Metals/ Chemical, Sumitomo and JFE Holdings, several of which are perhaps better known for steel production. Other big corporations include Siemens, General Electric, Raytheon Technologies and Constellium. The ranking of the various filers, however, varies quite strongly with technical fields.

For example, as can be seen in Table 1, Japanese corporations are the top filers in subclassifications 1/00 (Making non-ferrous alloys) and 9/00 (Alloys based on copper). In contrast, European and US corporations are much more active in sub-classifications 19/00 (Alloys based on nickel or cobalt) and 21/00 (Alloys based on aluminium), perhaps reflecting the greater importance of the aerospace industry in these regions. We also found that universities and research organisations only start to appear as top filers for more niche technologies such as alloys based on mercury (7/00) or cadmium (20/00).

4 www.hlk-ip.cn 最大申请人
例如,从表
9/00( 铜基合金)子类的最大申请人。而欧洲 公司和美国公司在 19/00(镍或钴基合 金)和 21/00(铝基合金)子类更为活 跃,这可能反映出航空航天工业在这些 地区更为重要。我们还发现,大学和研 究机构作为汞基合金 (7/00) 或镉基合 金 (20/00) 等更多小生境技术的最大申 请人,只是刚开始出现。
图 1. 2012 年至今各 C22C 子类的已公布欧洲专利申请数量 已公布欧洲专利申请数量 2012-2022 Number of published EP applications 2012-2022 合金制造 Making alloys 贵金属 Nobel metals 铜 Cu 钛 Ti 镍和钴 Ni & Co 铝 AI 金属化合物 Metal compounds C22 sub-classfication 金属化合物 3000 2500 2000 1500 1000 500 0 1/00 3/00 5/00 7/00 9/00 11/00 12/00 13/00 14/00 16/00 18/00 19/00 20/00 21/00 22/00 23/00 24/00 25/00 26/00 27/00 28/00 29/00 30/00 32/00

between 2012 and today in C22C CPC sub-classifi

Filing trends

As can be seen in Figure 2, there has been a strong growth in the number of applications filed for aluminium-based alloys and alloys based on metal compounds (such as metal carbides, oxides, nitrides, etc.), as well as metallurgical processes used to make nonferrous alloys, between 2012 and today.

The increasing numbers of filings for aluminium-based alloys may well reflect the growing need for lightweight materials for the transportation, aerospace and defence industries. Many jurisdictions have implemented strict regulations to reduce CO2 emissions from cars, for example, and this had led to manufacturers seeking ever lighter materials to reduce weight and increase fuel efficiency. Reductions in weight are also necessary to improve battery power consumption in electric vehicles.

5 www.hlk-ip.cn 申请趋势 从图 2 可以看出,2012 年至今,铝基 合金和基于金属化合物(如碳化物、 氧化物或氮化物)的合金以及用于制 造有色合金的冶金工艺类的申请数量 增长强劲。 铝基合金申请数量的增长可以很好地 反映出运输、航空航天和国防工业对 轻型材料的需求日益增长。例如,为 了减少汽车的二氧化碳排放,许多司 法管辖区开始实施严格的法规,因此 制造商希望找到更轻型的材料,以期 减轻重量并提高燃油效率。要想改 善电动汽车的电池功耗,必须减轻重 量。 基于金属化合物的合金,强度和硬度 通常较高,因此能够承受恶劣的环 境。例如,金属碳化物、氮化物和碳
Table 1. Top filers of European patent applications
cations 1/00, 9/00, 19/00 and 21/00. 表 1:2012 年至今 C22C CPC 1/00、9/00、19/00 和 21/00 子类欧洲专利申请的最大申请人。 排名

Alloys based on metal compounds often exhibit superior strength and hardness, which make them able to withstand difficult environments. Metal carbides, nitrides and carbonitrides, for example, are often used in cutting tools, milling and grinding machinery, gears, and radiation

Cermets also fall into the same classification as the compounds and combine the properties of ceramics (such as high temperature resistance and hardness) and metals (such as toughness and the ability to deform plastically). Cermets are being used increasingly in the manufacture of high-temperature electrical components (such as resistors), as well as replacements for metal carbides or nitrides in cutting tools or in automotive and aerospace applications.

Making alloys

As can be seen in Figure 3, one area where we see a marked reduction in the number of filings is for sub-classification 26/00, which covers alloys containing diamond, as well as alloys containing fullerenes, carbon nanotubes and boron nitrides. Such nanostructured materials were a hot topic in academic research at the beginning of the 21st century, but it appears that few of these materials have found largescale industrial applications in metallurgy.

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Figure 2. Number of published European patent applications for certain C22C CPC sub-classification per year between 2012 and 2021, normalized by the corresponding number of applications published in 2012. 图 2. 2012 年至 2021 年间每年公布的特定 C22C CPC 子类的欧洲专利申请数量,以 2012 年公布的相应申请数 量为基准。 申请数量/ 2012 年申请数量 No Applications/No Applications in 2012 Year 年度 Metal compounds I 金属化合物 I Metal compounds II金属化合物 II
合金制造 铝 AI 1.8 1.7 1.6 1.5 1.4 1.3 1.2 1.1 1 0.9 0.8 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021
从图 3 可以看出,26/00 子类的申请 数量显著减少,该子类涵盖含金刚石 的合金,以及含富勒烯、碳纳米管和 氮化硼的合金。这种纳米结构的材料 是 21 世纪初的学术研究热点,但在 冶金领域,很少看到这类材料在工业 上的大规模应用。

型的计算机系统的内部功能进行了技术 考虑);或应用于 EPO 认定具有技术 性的技术领域。对于涉及 AI 的材料发 明,权利要求的编写可能相对简明,这 些权利要求会基于在特定技术领域的应 用来定义技术主题。但是,起草在某种 程度上使用 AI 的材料相关专利申请之 前,我们需要重点考虑 AI 在发明中所 扮演的角色。

AI 在该发明中扮演什么角色? 起草草案之前,我们必须就发明的性质

Drafting Materials Related Applications Involving AI: Considerations for Success at the EPO

The use of artificial intelligence (AI) in materials science is rapidly growing. AI can be useful across a range of technical areas in the field, such as: screening databases of known materials; materials modelling; materials design; and the prediction of properties of materials.

Patentability of AI inventions in materials fields

When considering the patentability of AI inventions, we need to assess whether the EPO will consider the claimed subject-matter to be technical and therefore not excluded from patentability. The EPO considers this requirement to be met if the AI invention is either: adapted to a specific technical implementation (in the sense that the design of the AI model is motivated by technical considerations of the internal functioning of the computer system on which it is run); or applied to a field of technology which the EPO has determined as being technical. For materials inventions involving AI, it is likely to be relatively straightforward to write claims that are considered to define technical subject-matter based on application to a specific field of technology. However, before we draft materials related patent applications which use AI to some extent, an important point to consider is the role AI plays in the invention.

What role does AI play in the invention?

Before we start draft drafting, we have to ask some key questions about the nature of the invention. For example, is the AI aspect of the invention incidental to the invention or is the invention only possible because of the advent of AI? Or does the invention actually represent a contribution to the field of AI itself rather than just to a specific field within materials science? The answers to these questions help us distinguish between “Applied-AI inventions” and “Core-AI inventions”.

Applied-AI inventions

I’m using the term “Applied-AI inventions” here to refer to inventions which use a known AI algorithm to solve a problem in a particular area of materials science, i.e., where the invention lies in the manner

8 www.hlk-ip.cn 人工智能 (AI) 在材料科学中的使用正在 迅速增加。AI 在该学科所涉的一系列技 术领域都能派上用场,例如:筛选已知 材料的数据库;材料建模;材料设计; 以及材料性能预测。 材料领域 AI 发明的可专利性 考虑 AI 发明的可专利性时,我们需 要评估 EPO 是否会认为要求保护的 主题具有技术性,因此不会被排除可 专利性。如果 AI 发明满足以下任一条 件,EPO 则视为其符合技术性要求: 适用于特定的技术实施(从某种意义上 说就是,设计 AI 模型时,对运行该模
提出一些关键性的问题。例如,该发明 AI 方面的内容是否是发明附带的?或 者,该发明是否因为 AI 的出现才得以 实现?或者,该发明实际上是否是对 AI 领域的贡献,而不仅仅是对特定材料科 学领域的贡献?这些问题的答案有助于 我们区分“应用 AI 的发明”和“以 AI 为核心的发明”。 应用 AI 的发明 在本文中,“应用 AI 的发明”系指使 用已知 AI 算法来解决特定材料科学领 域内某一问题的发明,即发明在于已知 AI 算法的使用方式。由于这类发明“适 用于技术领域”,EPO 会认为其具有技 术性(并且不会排除其可专利性)。 我们可以将应用 AI 的发明分为两大 类:附带 AI 的发明;以及因为 AI 的出
起草涉及人工智能的材料相关申 请:成功获得欧洲专利局 (EPO) 专利的注意事项

AI 是一个 实施细节,但不是主要发明。因此, 在起草这类发明的专利申请时,AI 实 施例在独立权利要求中可能作用不 大,甚至在从属权利要求中也没什么 用处。尽管如此,在描述中详述 AI 实 施情况可能有助于提供发明的详细工 作原理。

但是,AI 在材料领域开辟了诸多可能 性。第二类应用 AI 的发明是那些虽然

不代表对基本 AI 算法的改进,但是因

为 AI 的出现才得以实现的发明。在材 料科学中,使用 AI 来预测将形成具有 所需特性结构元素组合的发明,就属

于这类发明。例如,在 AI 出现之前,

人们可能不会考虑或者说实际上不可 能利用许多不同的元素来生产一种新 型合金,从而得到一种具有特定特性 的材料,这类方法会被视为具有创造 性。通过测定其他看似不相关的特性 来鉴别某一材料的某一特性(例如晶

体结构)的发明,也属于第二类应用

AI/材料的发明。由于这类发明的技术 效果在没有 AI 的情况下无法合理地实

in which a known AI algorithm is used. These types of inventions are considered technical (and so not excluded from patentability) by the EPO due to being “adapted to a field of technology”.

We can split Applied-AI inventions into two main categories: inventions where AI is incidental to the invention; and inventions which are only possible because of the advent of AI. The category of AI invention impacts the content that may be required in the claims and description of a patent application.

An example of a materials invention where AI is incidental to the invention and merely one way that the invention might be realised could be an invention involving a step of simulating the behaviour of materials under different conditions, in which the behaviour is simulated using a machine learning model (but might also be performed using other methods). For inventions of this type, AI is an implementation detail, but not the main invention. Therefore, when drafting a patent application for this type of invention, AI embodiments would be unlikely to be useful in the independent claims, possibly even the dependent claims. It may, nevertheless, be helpful to include details of the AI implementation in the description in order to provide details of how to work the invention.

AI has, however, also opened up many possibilities in materials fields. The second category of Applied-AI inventions are those which, whilst not representing improvements to fundamental AI algorithms, are only possible because of the advent of AI. In materials science, an example of such an invention could be using AI to predict combinations of elements which will form structures having desired properties. For example, it may be that producing a new type of alloy from many different elements to provide a material having a particular property would not have been contemplated, or indeed possible, before the advent of AI and so such a method could be considered inventive. Another example of this second type of Applied-AI/materials invention could be one that involves identifying a property (e.g. crystal structure) of a material from measurements of other seemingly unrelated properties. For drafting purposes, as the technical effect of these types of invention can’t reasonably be obtained without AI, the AI will likely feature in the independent claims of a patent application. We would also expect the description to include further details regarding the AI embodiments for

9 www.hlk-ip.cn 现才得以实现的发明。AI 发明的类别 会影响权利要求和专利申请描述所需 的内容。 举例来讲,如果一项材料发明涉及模 拟材料在不同条件下行为的步骤,并 且使用了机器学习模型来模拟该等行 为(但也可以使用其他方法进行模 拟),那么它就属于附带 AI 的发明, 并且 AI 只是可能实现发明的一种方 式。对于这种类型的发明,
现,所以起草申请时,AI 很可能会在 专利申请的独立权利要求中起到重要 作用。为了确保充分性和创造性,我 们期望在描述中添加关于 AI 实施例的 更多细节(详见下文)。 值得注意的是,如果只是使用已知的 AI 算法来改进已知的工艺或者实现已 知工艺的自动化,例如,使用已知的 机器学习方法从衍射图中分析晶体结 构,那么要想在欧洲证明其创造性, 可能会很难。着手起草针对此类主题 的申请之前,应先思考使用已知的 AI 算法能否产生意想不到的技术效果, 或者是否有任何其他可以证明存在创 造性的优点。

具有技术性(并因此不会被排除可专利 性)。

在第一种情况下,以

发明可以通过针对数学方法本身的独立 权利要求得到有效定义,并且不受任何 领域限制。这样可以确保,申请能够为 申请人提供最大数量的审查选择,特别 是在专利资格要求与 EPO 不同的其他 司法管辖区也将对该申请进行审查的情 况下。

但是,考虑到 EPO,从属权利要求应 包含范围不同的,最好是分级的特定用 例。有一点很重要的是,应就以 AI 为 核心的发明在欧洲可能获得的实际范围 以及此类权利要求的商业实用性开展一 次对话。

基于这一点,可以选择能够详细说明 如何将以 AI 为核心的发明应用于申请 人最具商业价值的 AI 模型和产品的用 例。因此,选择用例时,应该采用一种 战略性的方式,而不能仅仅依靠发明人 自己提供的用例。以这种方式创建权利 要求集,可以最大限度地提高以 AI 为 核心的申请获授商业相关性欧洲专利的 可能性。

充分性和创造性注意事项

describe how the invention is adapted to a field of technology, by providing use-cases. In Europe, even Core-AI inventions may need to be limited to a use-case to ensure the claims are considered technical (and so not excluded from patentability) due to being “adapted to a field of technology”.

In the first instance, inventions relating to CoreAI may be defined usefully by independent claims directed to the mathematical method itself, irrespective of any field restrictions. This ensures that the application offers the applicant the widest number of options in prosecution, particularly if the application will also be prosecuted in other jurisdictions having different patent eligibility requirements to the EPO.

However, with the EPO in mind, the dependent claims should contain specific use-cases of different, and preferably graded, scopes. Importantly, a conversation should be had about the realistic scope that may be obtained for Core-AI inventions in Europe and the commercial usefulness of such claims.

With this in mind, use-cases might be chosen that detail how the Core-AI invention could be applied to the applicant’s most commercially important AI models and products. They should therefore be chosen in a strategic manner, as opposed to merely relying on the use-cases provided by the inventors themselves. Building up a claim set in this way provides the best opportunity to obtain granted European patents that are commercially relevant for Core-AI applications.

Sufficiency and Inventive Step Considerations

In materials fields, providing experimental data to ensure that patent applications meet the requirements of sufficiency at the EPO and demonstrate an inventive step is usually a fairly major consideration when drafting. However, it should be noted that for inventions in materials fields in which AI is a key aspect, the provision of examples is also important in terms of sufficiency and inventive step of the AI aspects.

Researchers in the field of AI understand that the design of a training data set can be critical to success of an algorithm, as well as the possible effects of model assumptions and

11 www.hlk-ip.cn 描述如何让它们适用于技术领域。在 欧洲,即使是以 AI 为核心的发明,可 能也需要被限定在一个用例中,确保权 利要求因“适用于技术领域”而被视为
AI 为核心的相关
在材料领域,起草申请时,通常需要重 点考虑提供实验数据,确保专利申请满 足 EPO 的充分性要求,并能证实创造 性。但是,需要注意的是,对于在材 料领域内作出的以 AI 为关键要素的发 明,要想证实 AI 的充分性和创造性, 实例的提供也很重要。 AI 领域的研究人员明白,训练数据集 的设计是算法得以成功以及模型假设和 设计潜在效果的关键。因此,如果在权 利要求中加入 AI 实施例,那么专利申 请就应该提供与训练数据集相关的信息 (例如,大小、异常值的处理方式、选 择)、用于推导 AI 的模型(包括模型 的类型,例如神经网络、遗传算法、决 策树等,和模型的结构),以及模型所 做的任何假设。

此,即使是以 AI 为核心的发明,可能

也需要在申请中提供足够的证据,表明 申请中描述的“用例”是可信的(例 如,表明该技术效果是由要求保护的发 明实现的)。如果没有这类证据,申请 可能会被认为不具有充分性,或者可能 需要将权利要求限定在申请所描述的具

体“用例”中(例如更为狭义的技术效 果),并且是能够基于申请提供的证据 或者技术人员的公知常识证实在申请日 可信的“用例”。

结论

涉及 AI 的材料发明在欧洲是可以申请

专利的,但是单纯使用已知的 AI 算法 来直接改进已知的工艺或者实现已知 工艺的自动化的发明除外。但是,起 草申请时,需要考虑 AI 在发明中的作 用,以便制定合适的权利要求范围,并 为在欧洲的充分性和创造性提供合适的 证据。

design. Therefore, if AI embodiments are to be included in the claims, the patent application should provide information in relation to the training data set (e.g., size, how outliers are handled, selection), the model used to derive the AI (including the type of model, e.g. neural network, genetic algorithm, a decision tree, etc. and how the model is structured), as well as any assumptions made by the model.

Furthermore, if, as suggested above, it is necessary for a “use-case(s)” to be defined in the claims in order to meet the subject-matter eligibility requirements in Europe, this will effectively result in a technical effect being defined in the claims. When a technical effect is defined in a claim, in order for the requirement of sufficiency of disclosure to be satisfied in Europe, it is necessary for the technical effect to be made plausible to the skilled person at the filing date, based on the information provided in the application as filed and their common general knowledge. Therefore, even for Core AI inventions, it is likely to be necessary to provide enough evidence in the application to make the “use-cases” described in the application plausible (e.g., evidence that this technical effect is achieved by the claimed invention).

Without such evidence, the application could be considered to be incurably insufficient, or it may be necessary to limit the claims to a more specific “use-case” described in the application (e.g. a more narrowly defined technical effect) that is considered to be made plausible by the evidence provided in the application or the skilled person’s common general knowledge at the filing date.

Conclusion

Materials inventions involving AI can be patentable in Europe unless the invention is purely directed to using a known AI algorithm to straightforwardly improve or automate a known process. However, it is important to consider the role AI plays in the invention when drafting the application in order to formulate a suitable breadth of claim and provide suitable evidence for the purposes of sufficiency and inventive step in Europe.

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此外,如果如上所述,为了满足欧洲的 主题资格要求,有必要在权利要求中 定义“用例”,则需要在权利要求中 定义技术效果。在权利要求中定义技术 效果时,为了满足欧洲的公开充分性的 要求,有必要基于在申请中提供的信息 以及公知常识证实,在申请日,对技术 人员来说,这些技术效果是可信的。因

能量——与产生太阳能量来源的反应 相同。

在地球上,核聚变是在一种被称为“ 托卡马克”的环形真空室中进行的, 托卡马克使用强大的磁铁来控制含有 氢同位素(氘和氚)的热等离子体。

当等离子体被加热时,原子核融合在 一起,形成氦和中子,同时在此过程 中释放能量。释放的能量可用于加热 水,也可以驱动涡轮机发电。

2022 年 2 月,位于英国卡勒姆聚变能 源中心的 JET(“欧洲联合环”)实验 室宣布,他们的托卡马克创造了从核 聚变反应中提取能量的新世界纪录,

五秒钟内产生了 59 兆焦耳的能量。听 起来可能并不多,但却是未来设计可 行核聚变发电厂的重要一步。

托卡马克所需的条件包括极高的温度 和磁场。此外,反应释放的高能中子 会对反应堆材料造成辐照损伤。那么 这些反应堆背后的哪些材料能够让我 们在地球上实现这些极端条件呢?

为了弄清楚这个问题,我们查看了涵 盖该主题的专利。在过去,核研究( 聚变和裂变)是政府机构的事。但现 在,越来越多的私营公司也开始投资 核研究。随着下一代反应堆开发在商

Materials for Nuclear Fusion

Nuclear fusion has long been heralded as a safe, efficient, low-carbon source of energy, which uses starting materials which are abundant on Earth. In nuclear fusion, light nuclei are fused to form a heavier nucleus, releasing energy – in the same reaction as is used to power the Sun.

On Earth, one way to perform nuclear fusion is in a doughnut-shaped vacuum chamber known as a “tokamak”, where powerful magnets are used to contain a hot plasma containing hydrogen isotopes (deuterium and tritium). When the plasma is heated, the nuclei fuse together to form helium and a neutron and release energy in the process. The released energy can be used to heat water and power turbines to generate electricity.

In February 2022, the JET (“Joint European Torus”) laboratory located at the Culham Centre for Fusion Energy in the UK announced that their tokamak had set a new world record for the amount of energy extracted from a nuclear fusion reaction, producing 59 megajoules of energy over a five second period. This may not sound like much, but it is an important step in the journey to designing a viable nuclear fusion power plant for the future.

The conditions required in the tokamak involve very high temperatures and magnetic fields. Furthermore, the release of high-energy neutrons from the reaction can cause radiation damage to the reactor materials. So what are the materials behind these reactors which allow us to achieve these extreme conditions here on Earth?

To answer this question, we have looked at patents covering this topic. Nuclear research (fusion and fission) was historically the domain of governmental bodies. However, there is a growing number of private companies also investing in nuclear research. With a more commercial focus on developing the next generation of reactors, private companies and public bodies are increasingly also seeking to protect their research outputs by way of patent protection. One way to find out what research is being undertaken, which we have done for this article, is to look at the patent landscape, as patent documents are technical disclosures that describe inventions.

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核聚变材料 核聚变一直被视为安全、高效的低碳 能源,它所使用的原材料在地球上的 储量十分富足。在核聚变中,轻原子 核结合形成较重的原子核,同时释放
业上受关注度的增加,越来越多的私 营公司和公共机构希望通过专利保护 来保护其研究成果。由于专利文件是 描述发明的技术公开,所以要想弄清 楚我们在本文中所做的研究,一种可 行的方法就是了解专利格局。 第一壁 在托卡马克的中心,等离子体被加热 到超过 1 亿摄氏度。虽然设置磁场是 为了让这种热等离子体远离托卡马克 的壁,但有时等离子体仍然会接触到 壁。第一壁(即最里面的壁)的一些 设计侧重于承受等离子体冲击,防止

子能委员会 (CEA) 于 2012 年申请获 得,它描述了第一壁组成,带有一个 由铜合金组件、中间铌层和直接与铌 层接触的铍元素组成的堆垛。该组成 还包含在一个位于铌层和铜合金元素 之间的应力降低层,该应力降低层由 铜或镍构成。这种安排是为了改进热 疲劳行为,同时避免金属间化合物对 结构中的机械应力产生限制。 WO2021110969 专利由 Tokamak Energy Ltd 申请获得,它描述了一种托卡马克

First Wall

At the heart of a tokamak, the plasma is heated to temperatures of over 100 million degrees Celsius. Although the magnetic fields are arranged to keep this hot plasma away from the walls of the tokamak, sometimes the plasma does touch the walls. Some designs of the first wall, which is the innermost wall, focus on withstanding plasma impact without damage or contaminating the plasma. Originally, carbon inner walls were employed. However, since 2009/2010, the first wall of the JET tokamak has been made of beryllium and tungsten tiles, which do not contaminate the plasma as much as carbon. Moreover, developments in the design of the first wall components are continually being made, and inventions are being protected by patents.

EP2740125A , filed in 2012 by The French Alternative Energies and Atomic Energy Commission (CEA), describes a first wall component provided with a stack comprising a copper alloy component, an intermediate niobium layer, and a beryllium element directly in contact with the niobium layer. The component further comprises a stressreducing layer between the niobium layer and the copper alloy element, the stressreducing layer being formed from copper or nickel. This arrangement is described as providing improved thermal fatigue behavior, and avoiding the presence of intermetallic compounds limits the mechanical stresses in the structure.

WO2021110969, filed by Tokamak Energy Ltd, describes a first wall structure for a tokamak, as shown in Figure 1 below. The structure comprises an inner wall 201 formed from a refractory metal or alloy (such as beryllium or tungsten as described above), having pores which provide a passage through the inner wall. Upon an outer side of the inner wall there is an additional material 202 deposited. The deposited material has a boiling point lower than the material of the first wall, and a melting point greater than the temperature of the first wall during normal operation. In this way, the deposited material is solid during general use of the plasma chamber and will boil before the inner wall metal melts.

In the case of an unstable event in the plasma chamber, a large amount of heat is

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等离子体损坏或污染。最开始使用的 是碳内壁。但是,自 2009/2010 年以 来,JET 托卡马克开始用铍和钨瓦制成 的第一壁,铍和钨瓦不会像碳那样污 染等离子体。此外,第一壁组成的设 计还在不断发展,相关发明也受到了 专利保护。 EP2740125A专利由法国替代能源和原
的第一壁结构,如下图 1 所示。该结 构包括一个由难熔金属或合金(例如 上文所述的铍或钨)构成的内壁 201, 拥有多个贯穿内壁的孔。内壁的外侧 沉积有一种其他材料 202。沉积材料 的沸点低于第一壁材料的沸点,正常 操作过程中,沉积材料的会高于第一 壁的温度。因此,正常使用等离子体 室过程中,沉积材料是固体,并且在 内壁金属熔化之前会沸腾。 如果等离子体室内发生不稳定事件, 大量热量会传递到内壁,并在内壁传 导,熔化沉积材料。熔化后的材料被 挤出孔隙,在内壁的内表面上形成涂 层 305,该涂层可能会因热量而蒸发 或沸腾。熔化和汽化过程中,潜热会 被吸收。该申请指出,这样可以抑制 内壁的熔化。

transferred to the inner wall, which is conducted through the inner wall, melting the deposited material. The molten material is forced out of the pores and forms a coating 305 on the inner surface of the inner wall, which may evaporate or boil due to the heat. During the melting and vaporization, latent heat is absorbed. The application states that this inhibits melting of the inner wall.

Figure 1: Image taken from WO2021110969 图 1:图片来自 WO2021110969

偏滤器

托卡马克上部和/或下部区域的偏滤器用

作排气装置,用于在操作期间以受控方式 去除热量和不需要的产物。在限制区域边 缘设计磁场的目的是,将等离子体杂质和 氦灰从反应器中转移出去。构成偏滤器的 材料与上述第一壁中的材料承受的应力不 同。JET 中的偏滤器由钨制成。

偏滤器的设计还在改进中。EP0280940专 利由 Euratom 申请获得,它描述了一种 偏滤器,该偏滤器配备了一个散热板,该 散热板上覆盖有一个离子保护层。离子保 护层的作用是,防止反应器中的离子流对 散热板产生影响。离子保护层包含由耐火 材料构成的多个平行纤维,这些纤维从散 热板伸出,并呈刷状排列,如图 2 所示。

Divertor

A divertor provided at the upper and/or lower region of the tokamak acts as an exhaust to allow the controlled removal of heat and unwanted products during operation. The magnetic field at the edge of the confinement region is designed so as to divert plasma impurities and helium ash away from the reactor. The material forming the divertor is subjected to different stresses than those in the first wall described above. In JET, the divertor is made from tungsten.

Improvements in the design of divertors are ongoing. EP0280940, filed by Euratom, describes a divertor having a heat dissipation plate and an ion protection layer covering the plate. The ion protection layer is described as protecting the plate from the ion flux in the reactor. The ion protection layer comprises a plurality of parallel fibres formed from a refractory material, the fibres forming a brush like arrangement which extends from the heat dissipation plate, as shown in Figure 2.

Figure 2: Image take from EPO280940 图 2:图片来自 EPO280940

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EP3170181B1

使用。该中子屏蔽层包括包含粘合剂的 硬质合金或硼化物,以及包含碳化物或 硼化物化合物颗粒的集料。硬质合金或 硼化物的成分随厚度变化,因此屏蔽层 面向等离子体的一侧,比非面向等离子 体的一侧,中子吸收材料的含量要低。 该申请指出,在中子速度最慢的区域放 置的中子吸收材料更多,这样可以让吸 收料工作效率更高。

覆盖层

在聚变反应堆中,等离子体容器周围系 统(即覆盖层)的功能可以是一种,也 可以是两种——吸收中子的能量来加 热水,用于发电和/或产生用作反应堆 燃料的氚。氚可以通过中子与嵌在覆盖 层中的锂反应产生,这个过程被称为“ 培育”。氚是一种半衰期较短的放射性 同位素,因此想从外部获得十分困难, 而且价格高昂。在反应过程中培育氚燃 料,可以减少这类困难。

US2010150291专利由韩国原子能研究院 申请获得,它描述了一种锂纳米流体覆 盖层,该覆盖层由分散在液态锂中的金

, also filed by Tokamak Energy Ltd, describes a form of neutron shielding for a fusion reactor, which can be used in a divertor. The neutron shielding includes a cemented carbide or boride comprising a binder and an aggregate which comprises particles of a carbide or boride compound. The composition of the cemented carbide or boride varies through the thickness, such that a plasma facing side of the shielding comprises a lower proportion of neutron absorbing material than a non-plasma facing side. The application states that more of the neutron absorbing material is placed where the neutrons will be slowest and states that this results in the absorbers being more effective.

Blanket

In fusion reactors, the system surrounding the plasma vessel, the blanket, can have one or two functions – to absorb the energy of the neutron to heat water for electricity generation and/or to produce tritium for use as fuel in the reactor. The tritium is produced by the reaction of the neutron with lithium, which is embedded in the blanket, in a process referred to as “breeding”. Tritium is a radioactive isotope having a short half-life, and so is difficult and expensive to obtain from outside sources. By breeding tritium fuel during the reaction process, these difficulties are reduced.

In one design, described in US2010150291, filed by Korea Atomic Energy Research Institute, there is a lithium nanofluid blanket, comprising nanoparticles of a metal or metal oxide which are dispersed in liquid lithium. This arrangement is described as having the effect of reducing the reactivity with cooling water and increasing stability and reliability.

EP2668831A1, filed by Lawrence Livermore National Security LLC, describes a fusion chamber which is formed from a plurality of segments, each segment including a first wall and a blanket region behind the first wall, as shown in Figure 3. At least one of the segments has a compartment in the blanket region containing a high-temperature resistant material (such as tin or beryllium). The application describes that this material can be inserted into and removed from the blanket, to capture additional neutrons and control the thermal power output and rate of tritium breeding in the blanket.

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专利也由 Tokamak Energy Ltd 申请获得,它描述了一种用于聚变 反应堆的中子屏蔽形式,可在偏滤器中
属或金属氧化物的纳米颗粒组成。这种 安排时为了达到降低与冷却水的反应性 并提高稳定性和可靠性的效果。 EP2668831A1 专利由 Lawrence Livermore National Security LLC 申请获 得,它描述了一种聚变反应堆,该聚变 反应堆由多个部分形成,每个部分都包 含第一壁,第一壁后面还有一个覆盖层 区域,如图 3 所示。在包含耐高温材料 (例如,锡或铍)的覆盖层区域中,至 少一个部分拥有一个隔室。该申请描述 称,这种材料可以插入覆盖层中或从覆 盖层中移除,用于捕获多余的中子,并 控制覆盖层中的热能输出和氚培育率。

Figure 3: Image taken from EP2668831A1 图 3:图片来自 EP2668831A1

这些只是聚变反应堆相关技术专利申请 的一小部分实例。事实上,自 2011

These are merely a handful of examples of patent applications being filed on technology relating to fusion reactors. Indeed, there have been over 3500 patent applications broadly relating to fusion reactors (as classified using the general G21B/ classification) filed worldwide since 2011. Therefore, it can be seen that there is a vast amount of research being carried out into all aspects of nuclear reactor materials and design. With the help of the inventions above, along with many others, we look forward to seeing even more progress towards a viable nuclear fusion power plant in the future.

Contact us

合伙人 dchew@hlk-ip.com

中国代表处首席代表 lmin@hlk-ip.com

Daniel Chew Partner, Head of Asia Group dchew@hlk-ip.com

Li Min Chief Representative China Office lmin@hlk-ip.com

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周冠冲
年 以来,全球已提交了 3500 多项与聚变 反应堆(见通用 G21B/分类法分类)广 泛相关的专利申请。因此,可以看出, 人们在核反应堆材料和设计的所有方面 都进行了大量研究。期待未来在上述发 明以及许多其他发明的帮助下,可行核 聚变发电厂的建设能够取得更多进展。

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