材料科学: 2022年3月

材料科学 2022年3月

未来塑料专利 – 创新和趋势

Patents for plastics of the future – innovations and trends

传统塑料存在的问题

The problem with conventional plastics

方便、便宜、易得，我们都知道在日 常生活中我们使用了多少一次性塑 料。令人担忧的是，全球55%的塑料 垃圾被丢弃至垃圾填埋场或自然环境 中 1。仅去年一年，就有多达4800万 吨的塑料被丢弃；据估计，到2050 年，将有120亿吨的废塑料会被丢弃 2,3 。而仅6%的塑料垃圾被回收，9% 被焚烧。截至目前，塑料垃圾的最主 要来源是包装领域（47%），其次是 纺织品（14%）和消费品/机构产品 领域（12%）1。众所周知，废弃的塑 料垃圾会危害环境和生态系统，因为 塑料需要几个世纪才能自然腐烂。

Convenient, cheap and readily available, we all know how much single-use plastic we each use in day-to-day life. Worryingly, 55% of plastic waste is discarded globally into landfill or the natural environment1.

In the last year alone, up to 48 million tonnes of plastic was disposed of2, and it is estimated that 12 000 million tonnes of waste plastic will have been discarded by 20503. Meanwhile, only 6% of plastic waste is recycled, and 9% is incinerated. By far the largest contribution to plastic waste comes from the packaging sector (47%), but other main contributors are the textile (14%) and consumer/institutional product sectors (12%)1. As is well documented, discarded plastic waste is a threat to the environment and ecosystems, as plastics can take centuries to naturally decay.

因此，迫切需要开发对环境危害更小 的塑料及其回收方法。欧洲专利局 （EPO）最近发布了一份题为《未来 塑料专利》的详细报告，这份报告利 用全球专利数据对塑料开发创新趋势 进行了分析。我们来看看EPO在这份 报告中指出的一些关键趋势。 全球塑料专利趋势分析 EPO的报告重点介绍了可能有助于打 造一个“循环利用”度更高的塑料行 业的技术，而不是我们今天知道的线 性经济，即塑料一次性使用后即被丢 弃。报告所述的趋势通过分析每种技 术的国际专利族（IPF）数量计算得 出 - 每个专利族为某一个发明的相关 专利，包括在世界各地若干个专利局 提交和公布的申请。 报告给出的一个积极启示是，该研究 正在进行，而且还在增长。报告讨论 了两个主要的发展领域 - 塑料回收和 替代塑料。

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Accordingly, there is an urgent need to develop plastics and recycling methods which have a reduced environmental impact. The European Patent Office (EPO) has recently released a detailed report, titled “Patents for tomorrow’s plastics”, in which global patent data has been used to analyse trends in plastics innovation. In this report, we take a look at some of the key trends identified by the EPO. Analysis of global plastic patenting trends The EPO’s report focuses on technologies that may help provide a more “circular” plastics industry, as opposed to the linear economy we know today, where the plastics are used once and discarded. The reported trends have been calculated from analysing the number of International Patent Families (IPFs) – each family directed to a single

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J. Smith and S. Vignieri, "A devil's bargain," Science, vol. 373, no. 6550, 2021.

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M. et. al., "The global threat from plastic pollution," Science, vol. 373, pp. 61-65, 2021.

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S. Kakadellis and G. Rosetto, "Achieving a circular bio economy for plastics," Science, vol. 373 (6550), pp. 49-50, 2021.

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invention and including applications filed and published at several patent offices around the world – for each technology.

A big positive takeaway from the report is that the research is happening and is growing. The report discusses two main areas of development – plastic recycling and alternative plastics.

The plastic recycling area covers all aspects of recycling, including waste recovery (collection, cleaning and sorting) as well as mechanical, chemical and biological recycling methods.

塑料回收领域涵盖了回收的各个方 面，包括垃圾回收（收集、清洗、分 拣）以及机械、化学和生物回收方 法。 替代塑料领域包括生物基、生物可降 解和可堆肥塑料，以及更容易回收的 塑料。 全球总体趋势 从下图1可以看出，2010-2019年， 美国和欧洲在一直是上述两个研究领 域的全球主要创新者，分别贡献了超 过30%的专利族。报告还讨论了特定 技术领域的相对专项研究，计算了该 领域专利族数量并与所有技术领域专 利族数量进行了比较。根据分析，在 全球范围内，美国在回收和替代塑料 方面的研究能力都很强。在欧洲，法 国、英国、意大利、荷兰和比利时在 这些技术方面的专业性也很突出。

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The alternative plastics area covers biobased, biodegradable and compostable plastics, as well as plastics designed for easier recycling.

Overall global trends As can be seen from Figure 1 below, the US and Europe have been the main global innovators in each of the two research areas between 2010-2019, each contributing over 30% of the patent families. The relative specialism in a particular area of technology has also been discussed in the report, by calculating the number of patent families in the area relative to those in all fields of technology. According to the analysis, globally, the US has a strong specialism in both recycling and alternative plastics.

Within Europe, France, the UK, Italy, the Netherlands and Belgium also stand out for their specialisation in these technologies.

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Countries of origin for international patent families in plastic recycling technologies, 2010-19

Countries of origin for international patent families in technologies related to bioplastics, 2010-19

2010-2019年塑料回收技术国际专利族来源国

2010-2019年生物塑料相关技术国际专利族来源国

EPO成员国 30% 其他 11%

EPO成员国 31%

德国 8%

其他 11%

德国 8% 法国 4%

法国 4% 韩国 5%

韩国 5% 中国 5%

其他EPO成员 18%

中国 5%

其他EPO成员 19%

包括

包括

荷兰 3%

英国 3%

英国 3%

意大利 3%

意大利 2% 比利时 2%

日本 18%

西班牙 1%

瑞士 2% 荷兰 2%

日本 18%

比利时 1%

瑞士 1%

美国 31%

西班牙 1%

Source: European Patent Office 资料来源：欧洲专利局

美国 30%

Figure 1. Countries of origin for International Patent Families in plastic recycling and bioplastics technologies

图1。塑料回收和生物塑料技术国际专利族来源国

塑料回收技术

Plastic recycling technologies

20世纪90年代之前，机械回收是 最简单和最常见的回收方法，并且 该领域的研究占主导地位。机械回 收需要对热塑性塑料进行熔化和重 整，以制造新产品。机械回收的主 要缺点是，每对聚合物进行一次再 处理，聚合物的质量都会下降，会 有杂质掺入混合物中。因此，该领 域的研究重点在于如何提高再加工 产品的质量。例如，研究发现，使 用工程填充材料（如增容剂）可以 改善可回收和共混聚合物的特性。

Mechanical recycling is the simplest and most common recycling method, and research in this area was dominant until the 1990s. Mechanical recycling involves the melting and reforming of thermoplastics to manufacture new products. The main downside of mechanical recycling is that each time a polymer is reprocessed, the quality degrades, and impurities are incorporated into the mixture. Research in this area therefore tends to focus on how to improve the quality of reprocessed product. For instance, the use of engineered filler materials, such as compatibilizers, have been found to improve recycled and blended polymer properties.

从图2可以看出，对化学和生物回收 方法的研究现在已经超过了传统机 械回收方法。化学回收需要使用热 处理，如裂解和热解，这种处理可 将塑料分解成更短的分子。将聚合 物分解成其组成单体，并将这些单 体重新聚合，从而制造出质量与原 聚合物相当的产品是有可能的。但 是，实践中，大多数较短的分子通 常被用作其他化学反应的原料或者 被焚烧，以回收能量。 生物回收是一种更新、更有前途的 开发技术，涉及利用酶或其他微 生物将聚合物选择性地分解成单 4

As can be seen from Figure 2, research into chemical and biological recycling methods has now overtaken traditional mechanical methods. Chemical recycling involves the use of thermal treatments, such as cracking and pyrolysis, which decompose plastics into shorter molecules. It is possible to break a polymer down into its constituent monomers and to repolymerise them to make a product with virgin-like quality. However, in practice, most of the shorter molecules are typically

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体，以供重复使用的解聚过程。这种 新技术克服了传统回收所面临的聚合 物性能退化问题。EPO的报告简要指 出，法国公司Carbios已经开发出了 一种生物回收工艺，并正在尝试开发 一种商业化回收工艺。Carbios在全 球拥有大量的专利和专利申请，包括 EP2922906B1，该专利权利要求是一 种塑料产品回收方法，包含使用角质 酶解聚PET。

used as feedstock for other chemical reactions or incinerated for energy recovery.

Biological recycling is a more recent and promising development and involves depolymerisation using enzymes or other organisms to selectively break down polymers into monomers for reuse. This overcomes the issue of degradation of polymer properties faced by conventional recycling. The EPO’s report briefly notes that French company Carbios has developed a biological recycling process and is looking to develop a commercial recycling programme.

Carbios own a large number of patents and applications worldwide, including EP2922906B1, which claims a method for recycling a plastic product comprising using a cutinase enzyme to depolymerise PET.

从图2可以看出，垃圾回收行业也在不 断创新，创新点主要集中在垃圾分类 和分离上。

As can be seen from Figure 2, there also continues to be innovation in the waste recovery sector, with most of the focus being on sorting and separation of waste.

Figure E.2 图E.2 Innovation in recycling technologies (number IPFs, 2010-2019) 回收技术创新（IPF编号：2010-2019）

...产品（消费前）

…产品 （消费后）

机械回收…

…堆肥

…单体

…原料

生物和化学回收…

收集

清洁

分选和分离

废弃物回收

注：有些发明可能与不同的技术领域有关，导致相关IPF数在每个领域都会被计算一次。 Source: European Patent Office 资料来源：欧洲专利局

Figure 2. Number of International Patent Families in each plastic recycling technology area 2010-2019

图2。2010-2019年各塑料回收技术领域国际专利族数

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替代塑料

Alternative plastics

如上所述，“替代塑料”领域包括 生物塑料（在本报告中包括生物基 和生物可降解塑料）以及更容易回 收的塑料（见图3）。在这些领域进 行的开发可以为化石基或不可生物 降解塑料提供替代品。

As mentioned above, the area of “alternative plastics” encompasses bioplastics (taken in this report to cover both bio-based and biodegradable plastics) as well as plastics designed for easier recycling (see Fig 3).

Developments in these areas could provide an alternative to fossil-based or nonbiodegradable plastics.

自20世纪80年代末以来，生物塑料 的研究一直很活跃。生物塑料可以 分为多个类别： 化学改性的天然生 物聚合物和使用生物质材料合成的 聚合物；以及生物可降解塑料，可 能是化石基塑料，也可能是生物基 塑料。图3列出了可被归类为“生物 塑料”的一系列材料及其特性。

Research into bioplastics has been active since the late 1980s. Bioplastics fall into several categories: chemically modified natural biopolymers and polymers synthesized using biomass sources; and biodegradable plastics, which may be fossilbased or bio-based. Figure 3 shows a range of materials and their properties which allow them to be categorized as “bioplastics”.

值得注意的是，并不是所有的生物 塑料都可以生物降解，因为生物可 降解性取决于聚合物的化学结构。 要实现生物降解，聚合物必须能够 在真菌、细菌或其他生物流程的帮 助下分解成自然元素（如二氧化碳 和水蒸气）。事实上，一些化石基 塑料（如PBAT）也可以生物降解。

It is important to note that not all bioplastics are biodegradable, as biodegradability is a property which depends on the chemical structure of the polymer. To be biodegradable, the polymer must be able to be disintegrated into natural elements (such as carbon dioxide and water vapor) with the help of fungi, bacteria, or other biological processes. In fact, some fossil-based plastics (such as PBAT) are also biodegradable. 生物基

生物塑料

生物塑料

传统塑料

如生物基PE、PET、PA、PTT

如PLA、PHA、PBS、 淀粉共混塑料 生物降解

非生物降解 生物塑料 如PBAT、PCL 如PE、PP、PET

化石基塑料

Figure 3. Diagram showing a range of bioplastics and their properties (European Bioplastics association) 图3。该图显示了一系列生物塑料及其特性（来自欧洲生物塑料协会）

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从图4可以看出，令人鼓舞的是，在 过去的20年里，大多数生物塑料类 别领域的创新似乎都在增多。大部 分的创新都集中在化学改性的天然 聚合物上，尤其是改性纤维素，改 性纤维素领域的专利族数量大约是 其他所有类型改性天然聚合物专利 族数量的两倍。 在其他生物基聚合物中，增长最快 的领域是基于生物单体的聚合物， 即便许多生物单体聚合物都不可生 物降解。该领域的大多数专利都 与“滴入式生物塑料”相关（如 Bio-PE、Bio-PET、Bio-PA或BioPP），其中的单体由可再生资源 生产，最常见的是生物乙醇。这种 塑料与矿物油基同类产品的化学结 构相同，因此特性和可回收性也相 同，但生产过程中温室气体的排放 和不可再生资源的消耗有所减少。 该报告还重点介绍了一些有趣的替 代塑料的成功案例，包括一种由 蘑菇菌丝体生长的可降解生物塑 料，这种塑料可以被塑造成多种形 状，并用于各种应用。Ecovative Design在这一领域拥有广泛 的专利和专利申请，其中包括 EP2094856B1，该专利权利要求是 一种复合材料制造方法，包含一个 促使真菌消化营养物质以形成相互 连接的菌丝细胞网络的步骤。

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As can be seen from Figure 4, encouragingly, innovation within most of the categories of bioplastics appears to be on the up over the past 20 years. A majority of the innovation is focused on chemically modified natural polymers, with research into modified cellulose in particular generating roughly twice as many patent families as any other type of modified natural polymers.

Among other bio-based polymers, polymers from bio-sourced monomers are the fastestgrowing field, although many of these are not biodegradable. Most of the patents in this field relate to “drop-in plastics” (i.e., Bio-PE, Bio-PET, Bio-PA or Bio-PP), in which the monomers are made from renewable resources, most commonly from bioethanol.

They have the same chemical structure as their mineral oil-based counterparts, resulting in the same properties and same recyclability, but provide a reduction in emissions of greenhouse gases and consumption of non-renewable resources during their production.

The report also highlights some interesting alternative plastic success stories, including a biodegradable bioplastic grown from mushroom mycelia, which can be moulded into multiple shapes and used in a wide variety of applications. Ecovative Design own a broad range of patents and applications in this area, including EP2094856B1, which claims a method of making a composite material including a step of allowing a fungus to digest a nutrient material to form a network of interconnected mycelia cells.

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图3.2.2

1980-2019年不同类别生物塑料IPF的数量

改性纤维素

其他改性多糖

改性淀粉

其他改性天然 聚合物

化学改性天然聚合物

生物降解

来自生物源单 体的聚合物

工业生产中产 生的天然聚 合物

生物基橡胶

化石基生物降 解塑料

其他生物基聚合物

非生物降解 Source: European Patent Office 资料来源：欧洲专利局

Figure 4. Number of International Patent Families for each category of bioplastics 图4。各类别生物塑料国家专利族数量

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结论

Conclusion

要实现全面的循环塑料经济，还有很 多工作要做。但是，目前全世界都在 进行大量的研究，并且在塑料制造和 回收行业的所有领域都取得了进展， 这一点是非常明确的。从EPO的报告 可以看出，专利申请为研究趋势的分 析提供了强大的工具，并将在新材料 和新工艺的商业开发中发挥重要作 用。希望我们很快能在日常生活中看 到这些创新！

Lots of work still needs to be done to reach a fully circular plastics economy. However, it is clear that there is a great deal of research happening, and that progress is being made across all areas of the plastics manufacture and recycling industry. As can be seen from the EPO’s report, patent filings provide a powerful tool for the analysis of research trends, but they will also play an important part in the commercial development of new materials and processes. Hopefully we will soon see many of these innovations in our day-to-day life!

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EPO的合金专利申请： 明确性

Patenting Alloys at the EPO: Clarity

考虑到这些重要工业材料的独特性质， 欧洲专利局制定了一套统一的方法来审 查与合金有关的专利申请。

The European Patent Office has developed a consistent approach to the examination of patent applications relating to alloys, taking into consideration the unique nature of these important industrial materials.

Pearlite 珠光体

虽然一些简单的合金由金属基质中合金 元素的单相固溶体组成，但多个合金体 系可以形成多个不同的固相，这些固相 的原子排列和/或化学成分各不相同。 在给定条件下形成一个给定合金体系的 特定固相取决于该金属基质不同晶体结 构的相对稳定性、合金元素溶解度的浓 度依赖性和温度依赖性，以及原子通过 熔体和固体进行扩散的相对容易度等因 素。

Alloys – not just a chemical mixture At the most fundamental level, an alloy is a metallic material which contains at least one metal and at least one other element (whether metal or non-metal). However, an alloy is much more than just a chemical mixture characterised by the concentration of each element present.

While some simple alloys consist of singlephase solid solutions of alloying elements in a metal matrix, many alloy systems can form multiple, distinct solid phases having different atomic arrangements and/or chemical compositions. The particular phases which form in a given alloy under a given set of conditions depend on factors such as the relative stability of different crystal structures for the metal matrix, the concentration- and temperaturedependence of alloying element solubility and the relative ease with which atoms can diffuse through both the melt and the solid.

Cementite (Fe3C) 渗碳体 (Fe3C)

从最基本的层面来看，合金是一种包含 至少一种金属和至少一种其他元素（金 属或非金属元素）的金属材料。但是， 合金的特性远不止该化学混合物中每种 元素的浓度。

Ledeburite 莱氏体

合金 - 不仅仅是一种化学混合物

Schematic equilibrium phase diagram illustrating some of the different phases formed in the Fe-C alloy system.

平衡相图显示了在Fe-C合金体系中形成的一些不同的相。

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合金中存在的每种相的数量和空间排列 决定了它的微观结构。合金的微观结构 在很大程度上决定了它的物理特性（如 强度、柔韧性或导电性），并且这种微 观结构对化学成分、凝固过程和部件制 造过程中应用的所有热机械处理的变化 非常敏感。即使是单相合金，也可以以 单晶、多晶和非晶形式生产。

The quantity and spatial arrangement of each phase present in an alloy characterises what is known as its microstructure. The microstructure of an alloy determines to a large extent its physical properties (e.g. strength, flexibility or electrical conductivity) and is highly sensitive to changes in the chemical composition, solidification processes and any thermomechanical treatments applied during manufacture of a component. Even singlephase alloys can be produced in single-crystal, polycrystalline and amorphous forms.

Example multi-phase microstructures in steel (by Kim et al, Scientific Reports 10, 17835 (2020)).

钢多相微晶结构示例（Kim等，科学报告10, 17835 （2020））。

因此，合金形成了一类特殊的化学混合 物，合金的定义不仅取决于其化学成 分，还取决于其物理结构和特性，而且 通常还取决于其制造方法，EPO在评估 可专利性时也会考虑这一点。明确性和 新颖性是EPO合金专利申请审批与其他 领域不同的两个特殊要求。在本文中， 我们考虑了EPO在明确性方面的审批实 践；另一篇文章会深入讨论新颖性。

明确性 EPC第84条 要求专利申请的权利要求书 明确、简洁，并有描述支撑。在很多方 面，合金专利申请中权利要求的明确性 评估方法与所有其他类型权利要求的评 估方法相同。但是，EPO针对元素组成 的明确性专门制定了适用于合金的审批 实践。

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Alloys therefore form a special class of chemical mixtures which are defined not only in terms of their chemical composition but also their physical structure, properties and often their method of manufacture, and this is taken into account by the EPO when assessing patentability. Clarity and novelty are two particular areas where EPO alloy practice diverges from other fields. In this article, we consider the EPO’s practice as regards clarity; novelty is covered in depth in a separate article.

Clarity Article 84 EPC requires that the claims of a patent application are clear, concise and supported by the description. In many respects, the clarity of alloy claims is assessed in the same way as any other type of claim.

However, the EPO has developed alloyspecific practices regarding the clarity of elemental compositions. www.hlk-ip.cn

包含 vs 由……组成

Comprising v. Consisting of

在专利申请中，通常采用“包含” 和“由……组成”等术语界定化学组 成。按照EPO的解读，“包含”通常 表示包括但不限于。例如，以下权利 要求涵盖含成分A、B和C的组成以及 含任何其他成分，如成分D的组成。

Chemical compositions are usually defined in patent applications using the terms comprising or consisting of. Comprising is normally interpreted by the EPO to mean including, but not limited to. For example, the following claim covers compositions which include components A, B and C, as well as compositions also including any other components such as D.

组成含成分A、B和C。 而与之相反，“由……组成”有封闭 含义，表示不可能含其他任何成分。 例如，以下权利要求表示组成由成分 A、B和C组成，不含其他任何成分D. 组成由成分A、B和C组成。 EPO通常也允许使用“主要由……组 成”的表述，用以表示组成可能含其 他成分，但仅限于这些成分不会对组 成的基本特征产生实质性影响的情 况。 在正常的EPO实践中，所有这些权利 要求配方都是可以的，只是不同的配 方有不同的解读。但是，合金的权利 要求在审评时却并没有遵循这种做 法。 众所周知，合金的组织和特性都对合 金组成的微小变化非常敏感。例如， 微合金化钢的特性取决于是否添加含 量小于0.1 wt%的合金元素。一种元素 的浓度仅仅发生百分之一的变化就足 以导致析出全新的相或限制结晶缺陷 的移动，而结晶缺陷可为金属提供延 展性。因此，EPO不接受以开放组成 界定的合金权利要求。相反，合金的 组成必须采用100%的封闭形式来定 义。封闭形式的组成当然应该采用“ 由……组成”来描述，如下所述。 “合金由A、B和C组成”。 或者，只要界定了组成的余量，是允 许使用“包含”来描述的。这种情况 下，平衡元素的规定用量可以排除存 在其他任何元素的可能性。因此，以 下权利要求的含义与采用“由……组 成”表述的权利要求具有同等效力。 合金包含A和B，余量为C。 仅使用“包含”，但没有界定余量， 11

Composition comprising A, B and C. Consisting of, in contrast, is given a closed meaning which excludes the possible presence of any other components. For example, the following claim only covers compositions made up of A, B and C and does not cover a composition also including D. Composition consisting of A, B and C. The EPO also usually permits use of the phrase consisting essentially of to mean that further components can be present, but only to the extent that these components do not materially affect the essential characteristics of the composition.

In normal EPO practice, any of these claim formulations can be permissible, although they will be afforded different interpretations. This practice is, however, not followed when alloy claims are examined.

It is well known that the microstructure and properties of an alloy are highly sensitive to even small changes in the alloy composition.

For example, the properties of microalloyed steels depend on the inclusion of alloying elements in amounts less than about 0.1 wt. %. A change in concentration of one element by only a hundredth of a percent can be enough to cause entirely new phases to precipitate or to restrict the movement of crystalline defects which provide metals with ductility. The EPO therefore does not accept alloy claims which are defined in terms of open-ended compositions. Instead, the composition must be 100 % defined in a closed form. Of course, one way to achieve a

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closed-form composition is to use consisting of, as follows.

Alloy consisting of A, B and C. Alternatively, use of comprising is also permissible as long as a balance of the composition is defined. In this case, the specification of a balancing element excludes the possible presence of any other elements. Thus, the following claim has effectively the same meaning as a claim using consisting of.

Alloy comprising A and B, the balance being C. The use of comprising alone, without definition of a balance, is not acceptable and will trigger an objection under Article 84 EPC.

是不可接受的，审查员将依据EPC第84 条提出反对意见。 EPO也不允许在界定合金组成时使用“ 主要由……组成”这一表述。但是，允 许规定存在常见杂质，最常见的是作为 余量的一部分而存在的杂质。这是因为 EPO认为，生产出连以杂质形式存在的 氧、氮等都不含的合金是实际上不可能 的。因此，以下权利要求配方是可以接 受的。 “合金由A、B、C和常见杂质 组成”。 合金包含A和B，余量为C和常 见杂质。 通常不需要指明具体的杂质名称，也 不需要提供杂质水平的上限。但是， 如果申请文件披露了具体的杂质和限 度，EPO审查员可能会将其视为本发明 的基本特征，并坚持要求在权利要求中 列述这些杂质和限度。因此，起草申请 说明书时，应注意确保任何公开的杂质 水平不受过度限制。

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The EPO also does not permit use of the phrase consisting essentially of when defining an alloy composition. However, it is permissible to specify the presence of the usual impurities, most commonly as part of the balance. This is because the EPO accepts that it is not practically possible to manufacture an alloy which does not contain at least some oxygen, nitrogen, etc., at impurity levels. The following claim formulations are therefore also acceptable.

Alloy consisting of A, B, C and the usual impurities.

Alloy comprising A and B, the balance being C and the usual impurities.

It is not normally necessary to specify which impurities are meant or to provide upper limits for the impurity levels. However, if particular impurities and limits are disclosed in the application, an EPO examiner may consider these to be essential features of the invention and insist that they are recited in the claims. Care should therefore be taken when drafting applications to ensure that any disclosed impurity levels are not overly restrictive.

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可选元素 vs 从属权利要求

Optional elements v. dependent claims

除必须使用封闭式语言界定合金组 成外，EPO还要求在独立权利要求中 100%界定组成。这就意味着，如果以 下权利要求在独立权利要求中指明进一 步的合金元素，则不可接受。

Not only must alloy compositions be defined using closed-form language, the EPO also requires that compositions are 100 % defined in the independent claims. This means that the following claim set, in which further alloying elements are specified in dependent claims, is not acceptable.

1.

合金包含A和B，余量为C和常见杂 质。

2. 权利要求1所述的合金，进一步包 含D. 这种情况下，EPO将依据EPC第84条提 出异议，并要求删除权利要求2或将权 利要求2的主题整合到权利要求1中。为 了不限定保护范围（除非因其他原因 需要限定），通常可以在权利要求1中 添加一个可选元素成分D，以此作出补 救，如下所示。 1.

合金包含A、B和可选成分D，余量 为C和常见杂质。

EPO对这种权利要求的解读为，合金由 A、B和C（不包括其他任何成分）组 成，以及合金由A、B、C和D（不包括 其他任何成分）组成，而不是合金由 A、B、E和D或A、B、C、D和E组成。 当然，权利要求通常会规定成分在组成 中的相对含量。因此，元素的可选性质 也可以用一个不设下限的范围来表示， 比如最多X%，小于Y%，等等，如下所 示。 1.

合金包含5%-10%相对重量的 A，3%-7%相对重量的B，和不到1% 相对重量的D，余量为C和常见杂 质。

与一些国家的专利局相反，EPO并不一 定会坚持要求设定范围的下限（除非 EPO认为下限是发明的一个基本特征） 。 微结构特征

EPO规定，基本特征是指实现申请所 涉及技术问题的解决方案所必需的 权利要求特征 如独立权利要求未包 含申请文件明确描述的，实施本发 明所需的所有特征，审查员将依据 EPC第84条提出异议。 13

1.

Alloy comprising A and B, the balance being C and the usual impurities.

2. Alloy according to claim 1 further comprising D. In such circumstances, the EPO will object under Article 84 EPC and require that claim 2 is deleted or the subject-matter of claim 2 is incorporated into claim 1. So as not to restrict the scope of protection (unless necessary for other reasons), this situation can usually be remedied by including component D as an optional element in claim 1, as follows.

1.

Alloy comprising A, B and optionally D, the balance being C and the usual impurities.

The EPO interprets such a claim as covering alloys made up of A, B and C (and nothing else), as well as alloys made up of A, B, C and D (and nothing else), but not alloys made up of, for example, A, B, E and D or A, B, C, D and E. Of course, claims will usually specify the relative amounts of the components present.

The optional nature of an element can therefore also be expressed using a range lacking a lower limit, such as up to X %, less than Y %, etc., as follows.

1.

Alloy comprising from 5 wt. % to 10 wt. % A, from 3 wt. % to 7 wt. % B, and less than 1 wt. % D, the balance being C and the usual impurities.

In contrast to some national offices, the EPO does not necessarily insist on the specification of a lower limit for ranges (unless the lower limit is considered to be an essential feature of the invention).

Microstructural features The EPO defines essential features as those

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由于大多数合金的特性在很大程度 上取决于合金的微观结构，因此， 对仅根据化学成分来界定合金，但 缺乏基本特征描述的权利要求，欧 洲专利局的审查员可能会提出异 议。因此，通常有必要至少在一定 程度上定义所述合金的微观结构。 在某些专利申请中，定义合金的微 观结构可能很简单，仅需指明合金 为非晶、纳米晶、铁素体等。但 是，有些专利申请可能需要详细描 述合金的微观结构，包括指明其主 要微观结构相及其相对数量，各相 的大小、分布和任何沉淀的组成， 或是否存在通过合金形成成分（如 金属板）的任何组成梯度。 因此，合金专利申请包含对微观结 构的描述，以及任何特定微观结构 特征对发明至关重要（或不重要） 的原因很重要。如果在所有实施例 中均观察到某一个特定的微观结构 特征，但是没有解释所述特征不会 影响所申请专利发明实现的原因， 有时很难说服欧洲专利局审查员相 信这个特征并不重要，并且不应纳 入权利要求。 充分描述所有微观结构表征步骤的 测定方法也是至关重要的。否则， 欧洲专利局审查员将以在权利要求 书中引述了微观结构特征导致保护 范围不明确为由提出反对意见。例 如，如果一种钢的专利申请权利要 求根据铁素体、奥氏体、马氏体和 贝氏体的存在百分比界定了一种微 观结构，那么申请应当清楚地解释 如何识别这些相，包括样品的制备 方法、使用的测定设备和设置、各 相的区分办法，以及必须进行的所 有计算。

features of a claim necessary for achieving a technical effect underlying the solution of the technical problem with which the application is concerned. An independent claim which does not contain all features explicitly described in the application as being necessary to carry out the invention will trigger an objection under Article 84 EPC. Since the properties of most alloys are highly dependent on the alloy microstructure, a European examiner is likely to object that a claim which defines an alloy solely in terms of its chemical composition lacks essential features. It is therefore normally necessary to define the claimed alloy microstructure to at least some extent. In some applications, this may be as simple as specifying that the alloy is amorphous, nanocrystalline, ferritic, etc. However, a more detailed microstructural characterisation can be necessary, including specifying the main microstructural phases present and their relative amounts, the size, distribution and composition of any precipitates, or the presence of any compositional gradients through a component (e.g. a metal sheet) formed from the alloy.

It is therefore important that alloy applications include descriptions of microstructural observations, along with explanations as to why any particular microstructural features are important (or not) to the invention. If a particular microstructural feature is observed in all of the examples, and there is no explanation as to why said feature does not contribute to the effect underlying the invention, it can sometimes be difficult to convince European examiners that such a feature is not essential and should not be included in the claims.

It is also vital that the measurement methods used for any microstructural characterisation steps are described fully. Otherwise, European examiners can object that references to microstructural features in the claims render the scope of protection unclear. For example, if a claim

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to a steel specifies a microstructure in terms of percentages of ferrite, austenite, martensite and bainite present, the application should contain a clear explanation of how each of these phases is to be identified, including how samples are prepared, the measurement equipment and settings used, how phases are distinguished from one another, and any calculations which must be performed.

欧洲专利局的参数定义常见问题和规 避办法 与化学制品和材料有关的发明可借助他 们的物理结构和可通过实验测定的特性 进行定义。例如，对于用于分离混合物 组分的多孔膜方面的发明，可以很容易 地通过膜材料的孔径和孔分布来进行表 征。对于其他发明，例如使用了原子无 序排列的大块金属玻璃材料的发明，可 测定特性或可测定特性组合，如屈服强 度、硬度和弹性，可能是定义该发明最 合适的方式，也可能是唯一方式。 从欧洲专利法的角度来看，应慎重考虑 在专利申请中，特别是在权利要求书 中，用这些参数来定义发明。参数定义 不恰当,从好的方面来说可能会给专利 申请审查引发一些问题，从坏的方面来 说可能会对专利申请造成致命后果。在 这点上，重要的是要记住，专利权的授 予实质上就是垄断的授予，所以正确做 法是专利应该清楚定义被垄断的发明。 以下是我们总结的与参数定义发明相关 的一些常见问题。我们还为感兴趣的人 提供了来自欧洲专利局上诉委员会的判 例法参考！但出于本文目的，暂没有阅 读或查询这些判例法参考的必要。

常见参数 - 术语不明确 发明领域的常见参数，从表面上看是很 明确的。但是，对此类参数应用不明确 的术语可能导致专利申请被拒。例如， 表面的“粗糙度”可用参数Rz（DIN） 、R（max）、Rz（ISO）、Ry、R3z和 R3zmax（以及其他参数）代表。这些 参数均与表面轮廓的峰谷高度相关，但 从测定数据得到这些参数的方式各有不 15

Parametric definitions at the European Patent Office: common issues and how to avoid them Chemical and materials related inventions lend themselves to being defined in terms of their physical structures and experimentally measurable properties. Inventions directed to porous membranes, for example, which are used to separate components of a mixture, can be readily characterized by the pore size and pore distribution of the membrane material. For other inventions, such as those employing bulk metallic glass materials, which have disordered atomic arrangement, a measurable property or combination of measureable properties such as yield strength, hardness and elasticity may be the most suitable way – and perhaps the only way – of defining the invention.

From a European patent law perspective, defining an invention in terms of such parameters in a patent application, particularly in the claims, merits careful consideration. A poorly defined parameter is at best likely to cause problems during examination of a patent application, and at worst could have potentially fatal consequences for the patent application. It is important to bear in mind in this regard that at its heart the grant of a patent is the grant of a monopoly, so it is right that patents should define the monopolized invention clearly.

What follows is a summary of issues that we see arise quite frequently in relation to parametrically defined inventions. Reference www.hlk-ip.cn

to some Board of Appeal case law of the European Patent Office is provided for the enthusiasts among us! But it is not necessary to read or consult these for the purpose of this article.

Common parameters – imprecise terminology

同。这意味着，同一个表面轮廓得到 的参数值可能会迥异不同。i 再举一个 例子，颗粒混合物的“平均粒径”可 能包含几个不同的参数，包括体表面 积平均直径、算术平均直径、质量平 均直径和体积平均直径。对于由均匀 颗粒组成的材料，这些平均直径的值 相同，因此，在这种情况下，术语“ 平均粒度”是相当清楚的。但是，对 于含有各种不同大小颗粒的材料，这 些平均直径的值可能彼此相差很大， 在这种情况下，术语“平均粒度”就 会产生歧义。ii 因此，确保参数使用 明确的术语非常重要。 可采用由国际纯粹与应用化学联合会 （IUPAC）、国际标准化组织（ISO） 和美国材料与试验协会（ASTM）等 组织发布的标准中的定义来进一步明 确地定义参数。即使采用这些标准中 的定义，也应当检查标准中的定义是 否明确，最好采用在专利申请日期有 效的标准，特别是在标准中的定义或 测定方法会随着时间的推移而发生改 变的情况下。 16

Commonly used parameters in the field of the invention are, on the face of it, clear. However, the use of imprecise terminology for such parameters can give rise to objections. To take an example, the “roughness” of a surface may be represented by the parameters Rz(DIN), R(max), Rz(ISO), Ry, R3z and R3zmax (among others). These parameters are all associated with the peak-to-valley heights of a surface profile, but they differ from each other by the way in which they are derived from the measured data. This means that, for the same surface profile, these parameters may have very different valuesi. As another example, the “average particle size” of a mixture of particles may encompass several different parameters, including volume surface mean diameter, arithmetic mean diameter, mass mean diameter, and volume mean diameter.

For a material consisting of uniform particles, the values of these mean diameters will be the same so that, in this context, the term “average particle size” is reasonably clear. For a material containing particles of various sizes, however, the values of these mean diameters may differ widely from one another, and in this context the term “average particle size” gives rise to ambiguityii. It is therefore important to ensure that the terminology used for the parameter is precise.

Definitions in standards issued by organizations such as the International Union of Pure and Applied Chemistry (IUPAC), the International Organization for Standardization (ISO) and the American Society for Testing and Materials (ASTM) can be used to more precisely define parameters. But even then it should be checked that the definition in the standard is unambiguous and preferably the date of the standard included in the patent application, particularly if the definition in the standard or the method by which it is to be measured change over time. www.hlk-ip.cn

常见参数 - 测定方法的定义不明确 最佳实践是，在专利申请文件中描述 用于确定参数的测定装置和方法。描 述内容不仅应包括一般的测定方法， 还应包括用于测定的具体条件。如果 特定的条件会影响测定结果，则更应 如此。 例如，如果材料的结晶度可采用不同 的方法（或使用相同的方法在不同条 件下）测定，且不同方法或条件测得 的结果不具有可比性，则在专利申请 文件中描述结晶度的测定方法和测定 条件对申请而言至关重要。iii 此外，测定方法得到的结果应一致， 这一点很重要。例如，从含数千个粒 子的样品中随机选择50个粒子测定“ 平均长宽比”，可能会得到很多不同 的结果，因为结果取决于所选择的粒 子。因此，如果不提供具体如何得出 这一测定的详细信息，则可能会产生 问题。iv 正如预期的那样，在本发明 的技术领域中，如果不能使用简单或 易获得的或常规使用的设备来测定参 数，则需要提供更多的详细信息。v 对参数术语而言，可采用标准来定义 测定设备和方法。不过，在使用标准 之前，应检查专利申请中使用的参数 是否与标准一致，专利申请中是否考 虑了标准中未定义的任何变量。例 如，定义热塑性聚合物成分的参数 时，采用的是按已建立的标准测得的 导热系数，但该标准或专利申请都没 有规定导热系数的测定温度，那么很 可能会导致导热系数这个参数不明 确。vi

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Common parameters – imprecisely defined measurement methods It is good practice to include a description of the measurement device and method for determining the parameter in the patent application. This includes not only the general measurement approach, but also the specific conditions used for the measurements. This is particularly so if the specific conditions could affect the outcome of the measurement.

For example, if the crystallinity of a material can be determined by different methods (or using the same method but under different conditions), and these do not lead to comparable results, then omitting to describe the method and conditions under which the crystallinity was obtained may be fatal to the applicationiii.

Furthermore, it is important that the measurement method produces consistent values. For example, determining the “mean aspect ratio” from fifty randomly selected particles in a sample containing thousands of particles may produce a range of different values depending on which particles are selected. Problems can therefore arise if no details are provided of how this is achievediv.

As one might expect, the amount of detail required will be greater in cases where a parameter cannot be measured using a simple or readily available, or conventionally used apparatus in the technical field of the inventionv.

As in the case of parameter terminology, standards can be useful to define measurement devices and methods. But it should be checked that the parameter used in the application is consistent with the standard, and that any variables that are not defined in the standard are taken account of in the application. For example, a parameter that defines a thermoplastic polymer composition in terms of a thermal conductivity as measured according to an identified standard, but neither the standard nor the application specifies the temperature at which the thermal conductivity is to be measured, may well be held to lack clarityvi. www.hlk-ip.cn

“罕见”参数

“Unusual” parameters

使用本发明领域中不常用的参数定义 材料时，需要特别小心。使用这些所 谓的“罕见”参数会对上述的常见参 数提出额外的要求。如果一个罕见参 数定义了本发明技术领域中存在的一 个可识别参数的可测定特性，则应考 虑在申请文件中描述该罕见参数与 常用参数之间的具体关联性。申请文 件必须包含用于测定参数的可用装置 的详细信息，特别是在测定装置为专 有装置的情况下。如果该罕见参数定 义了以前在本发明领域中从未测定过 的特性，则申请文件应明确定义该参 数，并在文件中描述参数的测定方 法。

Particular care needs to be taken when defining materials using parameters that are not commonly used in the field of the invention. The use of these so-called “unusual” parameters attracts additional requirements to those set out above for common parameters. In the case where an unusual parameter defines a measured property for which a recognized parameter exists in the technical field of the invention, then consideration should be given to describe in the application how the unusual parameter relates to the more commonly used parameter. The application must include details of an accessible apparatus for measuring the parameter, particularly if it is a proprietary apparatus. In the case that the unusual parameter defines a property that has not previously been measured in the field of the invention, then the application should clearly define the parameter and include a description of the measurement method.

参数和测定方法定义不充分 有时，专利权利要求书中的内容含糊 不清可能会导致披露不充分问题（即 发现专利申请缺乏足够的细节，导致 第三方在复制发明时负担过重）。参 数及其测定方法定义不充分会引发与 上述参数和测定方法密切相关且经常 重叠的问题。vii 但是，参数或其测定 方法定义不充分还可能造成更大的风 险，这是因为所发现的不充分性可能 无法补救，其次是因为缺乏充分性的 异议不仅可以在专利申请审查期间提 出，还可以在专利授权后提出，例如 在授予专利后的反对程序或无效程序 中提出。 如与给定参数相关的可变性较高，导 致发明不能被复制，则会引发典型的 异议。例如，树脂层的“半结晶时 间”在结晶温度和升温速率的大幅影 响下会导致半结晶时间参数值发生很 大的变化。因此，如果在专利申请中 没有提供关于结晶温度和升温速率的 信息，导致第三方无法复制树脂层， 则将视为发明披露不充分。viii 即使参数及其测定方法定义明确，仍 有可能会出现充分性方面的问题，例 如，申请文件没有描述如何选择合适 的材料，从而确保所需特性得到满 足，或者无法在主张的整个参数值范 围内复制发明。例如，有关提炼燃料 油的专利申请定义了“平均粒径小于 18

Insufficiently defined parameters and measurement methods Sometimes an ambiguity in a patent claim may lead to an insufficiency problem (i.e., a finding that the patent application lacks sufficient detail to enable the invention to be reproduced by a third party without an undue burden).

Parameters and their measurement methods that are insufficiently defined raise issues that are closely related to and often overlap with those described abovevii. However, they potentially pose greater risk, firstly because a finding of insufficiency may be incurable, and secondly because lack of sufficiency objections can be raised not only during examination of the patent application but also after a patent is granted, for example, in post-grant opposition or invalidity proceedings.

Typical objections arise where the level of variability associated with a given parameter is such that the invention cannot be reproduced.

For example, the “half crystallization time” of a resin layer may be strongly influenced by the crystallisation temperature and the heating rate, leading to highly variable values of the half crystallization time. Accordingly, if information about the crystallisation temperature and www.hlk-ip.cn

4000 nm”的蜡质晶体，但申请文件未 描述如何获得所主张的含平均粒径小于 1000 nm的蜡质晶体的燃油，则可能会 导致缺乏充分性的异议。ix

the heating rate is not provided in the patent application, then the resin layer cannot be reproduced and the invention is consider to be insufficiently disclosedviii.

实验数据缺乏

Even when parameters and their measurement methods are properly defined, issues relating to sufficiency can still arise, for example, if the application does not describe how to select suitable materials to ensure that the required properties are fulfilled, or if the invention cannot be reproduced over the entire range of claimed parameter values. For example, a distilled fuel oil defined in terms of wax crystals having “an average particle size less than 4000 nm” may give rise to lack of sufficiency objections if the application fails to describe how to obtain fuel oils of the claimed type containing wax crystals of an average particle size of less than 1000 nm.

5ix.

从前面的讨论可以得出，专利申请应当 提供足够的实验数据，确保发明能够被 复制。这个规定存在一定的回旋余地， 允许在提出专利申请后递交实验数据， 例如证实这项发明确实可在权利要求范 围内解决创造性异议的实验数据，或者 比较了所主张工艺与相关现有技术性能 的实验数据。但是，如果专利说明书存 在的问题是缺乏充分性，那么这个回旋 余地就会小很多。在极少数情况下，也 可以利用专利申请提交后的实验数据来 解决不充分性问题，但前提是实验数据 可以支持并证实专利申请披露的内容。 尽管存在这些问题，可喜的是，每年仍 有数百个含参数的专利获得批准，使用 明确定义的参数来定义一项发明是完全 可以接受的。不过提出此类专利申请时 需要特别小心和注意。下面是一个简单 的非穷举列表，列出了使用参数起草专 利申请时需要注意和考虑的一些问题。 •

是否采用或不采用参数都可以定义该 发明？ – 如果是，则考虑将两种种定义方 式都添加在内

•

该参数是否为该发明领域的常用参 数？ – 仔细与发明人确认，查阅教材、 学术和专利文献 – 是否存在公认标准，如 IUPAC、ISO、ASTM？ – 仔细查阅标准！标准是否存在不 止一个版本？测定参数方法是不 是不止一个，测定方法是否会影 响测定结果？

•

参数是否为罕见参数？ •

应特别注意！ – 应在专利申请说明书中添加有关 测定装置和方法的详细描述。

Lack of experimental data It follows from the preceding discussion that a patent application should provide enough experimental data to enable the invention to be reproduced. Some leeway is granted for submitting experimental data after a patent application has been filed, for example experimental data to confirm that the invention does indeed work across the claim scope to address an inventive step objection, or experimental data that compares the claimed process with related performance of the prior art.

However, considerably less leeway is given if the problem identified is one of insufficiency. In some very limited instances, post-filed experimental data may be used to address a problem of insufficiency but only if it supports and confirms what is already disclosed and taught in the application.

Despite these issues, the good news is that many hundreds of patents containing parameters are granted each year, and it is completely acceptable to use clearly defined parameters to define an invention. But particular care and attention is required. Here is a simple, nonexhaustive, check list covering a number of the issues to look out for and consider when drafting a patent application using parameters.

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Can the invention be defined with and www.hlk-ip.cn

– 将异常参数与本发明领域中的常 用参数进行比较的难易程度如 何？ – 反复检查专利申请文件是否描述 了确定参数所需的所有必要条件 •

without using parameters?

– •

Is the parameter a common parameter in the field of the invention?

实验数据是否与定义本发明所用的参 数一致?

– 检查获取和描述实验数据所用的 方法和参数是否相同

•

实验数据的范围是否足以在其范围内 为权利要求提供充分支持？ The Boards of Appeal decisions database can be found at the following link: https://www.epo.org/ law-practice/case-law-appeals/advanced-search.html

•

T 702/09 T 2086/11 iii T 0908/04 iv T 2086/11 v T 1352/07 vi T 1252/08 vii T 0061/14 viii T 1657/15 ix T 409/91

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Double check with the inventors, check text-books, and the academic and patent literature

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Is there a recognised standard, e.g., IUPAC, ISO, ASTM?

–

Double check the standard! Is their more than one version? Is their more than one way of measuring the parameter and could that affect the result?

Is the parameter an unusual parameter?

•

上诉委员会裁决数据库链接如 下：https://www.epo.org/ law-practice/case-law-appeals/advanced-search.html

Extreme care should be taken!

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Full details of the apparatus and method should be included in the patent application.

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How readily can the unusual parameter be compared to a parameter more commonly used in the field of the invention?

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Triple check that all conditions essential for determining the parameter are included in the patent application

i

ii

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Is the experimental data consistent with the parameters used to define the invention?

–

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Check that the same methods and parameters are used to obtain and described the experimental data

Is the extent of experimental data sufficient to support the claim substantially across its scope?

Contact us

周冠冲 合伙人 dchew@hlk-ip.com

Daniel Chew

利敏

Li Min

中国代表处首席代表 lmin@hlk-ip.com

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If so, consider including both definitions

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

Chief Representative China Office lmin@hlk-ip.com

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