考虑关键核心技术发展的我国集成电路产业政策效力研究

基于专利数据识别集成电路产业关键核心技术，构建技术发展水平评价指标体系并评估关键核心技术发展水平。进一步基于13项关键核心技术对产业政策进行分解匹配，测度各技术环节政策措施间协调度，并实证分析政策措施及其协调度对关键核心技术发展水平的影响。结果表明，我国集成电路产业各关键核心技术差距明显，技术发展水平相对较低；规划引导措施对关键核心技术发展存在显著正向影响，监管认证、税收优惠、规划引导与技术支持措施间协调情况对关键核心技术发展具有显著负向影响，现有金融支持、技术支持措施与其它措施间协调情况较差，不利于关键核心技术发展水平提升。未来政策应鼓励创新主体加大研发投入力度，及时更新监管认证措施并加强对金融支持等措施的监督，为关键核心技术发展提供更强有力的政策保障。

The Policy Effectiveness of China's Integrated Circuit Industry Considering the Development of Key and Core Technologies

Since some key and core technologies are controlled by other developed countries, China's policies on the integrated circuit industry should be implemented accurately to provide a strong guarantee for the development of the key technologies. By identifying the key andcore technologies of the integrated circuit industry, this study aims to evaluate the effectiveness of existing industrial policies from the perspective of the development level of key and core technologies, and find out policy bottlenecks restricting the development of key and core technologies to provide a reference for policy optimization and adjustment.#br#A method for identifying key and core technologies of the industry that integrates the industrial chain, technology chain, and patent data is proposed. From the multiple dimensions such as its criticality and the degree of technology monopoly, 13 key and core technologies of the integrated circuit industry are identified including large silicon wafer preparation and lithography process and so on. A further search of the relevant patent data of key and core technologies from 2000 to 2020 is made, and the authorized patents are selected from the five offices of World Intellectual Property Rights with 69 497 high-quality patents obtained by simple integration of the same family. Then the evaluation index system of the key and coretechnological development level is constructed from technology developmental support level and technology developmental mastery level, and the technology developmental level is evaluated. The results show that with the support of national policies and R&D funds, the development level of the key and core technologies has been improved to a certain extent after years of development, but the gap between the key and core technologies in foreign countries is obvious. The overall level of technological development is relatively low, and the development of a large number of industrial technologies is still not optimistic.#br#Taking integrated circuit, chips, and the words related to the key and core technologies as the keywords, this study obtains a total of 70 national policies of the integrated circuit industry as the research objects. After coding, a total of 165 policy text units are obtained and divided into five classes that mean tax measures, planning measures, regulation and certification measures, financial support measures and technological support measures. Further on the basis of the 13 key and core technologies, these policy units are decomposed in accordance with the "technology - policy measures" two-dimensional structure. Combined with the results of policy decomposition and existing research, an evaluation index system of industrial policy measures is constructed.#br#In the integrated circuit industry policy system, policy measureslike tax measures, planning measures,etc. can be regarded as policy subsystems. Each subsystem generates an amplification effect through the mutual influence and matching of elements, thereby providing stronger policy impetus for the development of key and core technologies. This coordination relationship can be measured by the coupling coordination degree model. Furthermore, the development level of the key and core technologies is taken as the explained variable; various policy measures and their coordination degree are taken as the explanatory variable. The influence of various policy measures and their coordination degree on the development level of key and core technologies is analyzed by using multiple regression models.#br#The results show that tax measures, planning measures, and regulatory certification measures have a positive impact on the development of the key and core technologies, and planning guidance measures have a particularly significant impact. There are directional differences in the impact of coordination among measures of the IC industry on the development of the key and core technologies. Coordination among tax measures, planning measures, regulatory certification measures and technical support measures has significant negative impacts on the development of the key and core technologies, but the coordination among tax measures, planning measures, regulatory certification measures and financial support measures has a significant positive impact on the development of the key and core technologies. The coordination between existing financial support measures, technical support measures, and other measures is not conducive to the improvement of the development level of the key and core technologies. In addition, the coordination between tax measures, financial support measures, and regulatory certification measures also has adverse effects on the improvement of the level of the key and core technologies.Therefore policies should encourage to increase in R&D investment intensity, update regulatory certification measures timely and strengthen supervision of other measures, and provide stronger policy guarantees for the development of key and coretechnologies.#br#