Abstract: Under the global rising resources competition and accelerating technical innovation, intellectual property risks are emerging in the industrial chain of critical mineral resources, which has become a potential factor impacting the industrial development. This paper analyzes the evolution and mechanism of intellectual property risks in industrial chain of critical mineral resources, recognizes its key factors impacting industrial security, and establishes a harness framework of intellectual property risks consistent with China's resource features and industrial development, which can provide decision-making supports for China to raise its global allocating capabilities and industrial controls in critical mineral resources. Six key risk categories are identified: technical lockout risk impacting minerals value capturing, supply termination risk which may result in a systematic risk in intellectual property intensive industries, structural conflict between technical autonomy and market openness amid vertical integration of supply chain, dual challenges of local regulations and market access barrier for overseas investment, fragmentated regulation risk arising from regional trade differentiated provisions, changes of mineral resources ownership from resource nationalization policies. The six risks go through the whole industrial chain from exploration, mining, processing to end-use applications, forming a compound risk matrix. The intellectual property risks need to establish a multiple-dimensional harness system to guarantee national resources security. A system of “technical advancement-standard leading-patent prevention” can break technical monopoly and boost independent intellectual property protection. A system of “international coalition-strategic reservation-cycling replacement” can optimize supply chain resilience and expand resource channels. A system of “layered prevention-standard leading-international prevention” can protect the core technologies and overseas investment risks as well. A system of “compliance management-risks alerting-industrial coalition” can boost enterprises' capabilities against international lawsuit and laws barriers. A system of “multiple lateral coalition-smart alerting-linked right protection” can break regional barriers and increase global speaking power. A system of “alerting-service-cooperation” can effectively handle the property risks under nationalized resources.

Key words: ritical minerals, whole industrial chain, intellectual property, risk controls

摘要： 在当前全球资源竞争加剧、技术迭代加速的背景下，关键矿产资源产业链中的知识产权风险日益凸显，成为制约行业健康发展的潜在隐患。分析关键矿产资源产业链中知识产权风险的演化特征与作用机制，识别制约产业安全的核心风险要素，构建符合我国资源禀赋特征和产业发展需求的知识产权风险治理框架，能够为我国提升关键矿产资源的全球配置能力和产业控制力提供决策支撑。通过系统梳理关键矿产资源全产业链的知识产权风险，识别出六大核心风险类型：1）技术锁定风险制约矿产价值捕获能力；2）关键矿产供应中断可能引发知识产权密集型产业的系统性风险；3）供应链垂直整合过程中存在技术自主性与市场开放性的结构性矛盾；4）海外投资面临东道国法律规制与市场准入壁垒叠加的双重挑战；5）区域贸易协定差异化条款导致规则碎片化风险；6）资源国有化政策调整引发的矿产资源权益归属变动。六大风险贯穿关键矿产资源勘探开发、加工贸易到终端应用的产业链全环节，形成了复合型风险矩阵。面对全球化背景下关键矿产资源全产业链的知识产权风险，亟须构建多维度协同治理体系以保障国家资源安全。构建“技术攻关-标准引领-专利防御”体系，突破技术垄断并强化自主知识产权保护；构建“国际协同-战略储备-循环替代”体系，优化供应链韧性并拓展资源获取渠道；构建“分层防护-标准引领-跨国联防”体系，实现核心技术保护与海外投资风险防控的双重目标；构建“合规管理-风险预警-行业协同”体系，增强企业应对国际诉讼与法律壁垒的能力；构建“多边协同-智能预警-联动维权”体系，打破区域规则割裂并提升全球话语权；构建“预警-服务-合作”体系，有效化解资源国有化背景下的权属风险。

关键词: 关键矿产, 全产业链, 知识产权, 风险控制