我国集成电路产业政策协同演变及其有效性研究
张越1,2，余江1,2，刘宇3，陈凤2
（1.中国科学院科技战略咨询研究院，北京100190；
2.中国科学院大学 公共政策与管理学院，北京100049；
3.中国科学院大学 中丹学院，北京100049）
摘要：政策工具的有效协同对于推动我国集成电路产业成长具有关键意义。本文基于2000—2020年我国国家层面颁布集成电路相关政策，构建政策力度量化标准和政策工具评分标准搭建政策工具协同度模型，系统解析我国集成电路产业政策主要政策工具间协同度演变及其对集成电路产业发展的影响。研究发现：从2000年开始，国务院出台的鼓励集成电路产业发展的节点性政策具有使命导向特征，对我国集成电路政策力度的整体提升影响显著。“金融支持与引导措施协同”“金融支持与研发创新协同”对集成电路产业发展产生了显著的正向影响，鼓励集成电路高技术企业在科创板上市等引导措施进一步强化金融支持政策的政策效力。“税收优惠与知识产权措施协同”并未有效促进我国集成电路产业发展，当前发展阶段亟须鼓励企业进行集成电路高质量专利布局，最大限度降低税收优惠引发的产能扩张对企业知识产权布局的挤出效应，推动税收优惠政策与知识产权政策的协同联动。同时需要进一步加强金融支持与税收优惠的精准支持，完善政府引导基金的组织与监管机制，谨防产能无序扩张带来的负面影响。
关键词：政策协同；政策工具；集成电路产业；政策有效性
主要研究结论：本研究收集和梳理了2000年—2020年我国国家层面出台的143份集成电路相关政策文本，通过文本分析法和专家评议法对主要政策工具从力度和强度两方面进行量化，构建我国集成电路产业政策工具量化标准，并对2005—2018年间的政策协同做出演化分析和影响分析，主要结论如下：
第一，我国集成电路产业的政策作用机制具有使命导向型特征。我国政府为集成电路产业的发展进行了持续的、高密度政策支持，相关政策的配套措施更加齐全，国家各部委在政策实施落地中发挥了重要作用。
第二，“金融支持与引导措施协同”“金融支持与研发创新协同”有效推动了我国集成电路产业的发展。鼓励集成电路高技术企业在科创板上市等引导措施进一步强化金融支持政策的政策效力。
第三，“知识产权政策与税收优惠政策”“知识产权政策与引导措施政策”未能有效促进我国集成电路产业的发展。现有优惠政策主要针对产品布局和产能扩张，在很大程度上对企业投入资源进行知识产权布局形成一定的挤出效应。
第四，我国集成电路产业主要政策工具与引导措施保持较高协同度，而与保障措施的协同度较低。“大水漫灌” 式的政策支持可能会对企业自身的投资产生挤出效应，并且降低企业自身的风险抵御能力，助长企业的投机行为，引起产业项目无序扩张等不良现象，导致产能过剩或者市场混乱。
Research on the evolution and effectiveness of the policy coordination of China′s IC industry
Zhang Yue1,2, Yu Jiang1,2, Liu Yu3, Chen Feng2
(1. Institutes of Science and Development, Chinese Academy of Sciences, Beijing 100190, China;
2. School of Public Policy and Management, University of Chinese Academy of Sciences, Beijing 100049, China;
3. Sino-Danish College, University of Chinese Academy of Sciences, Beijing 100049, China)
Abstract:The effective coordination of policy measures has key significance to promote the growth of China′s IC industry. China′s government has invested in the IC industry to carry out large-scale policy support. China′s IC industry has achieved greatly in chip design, packaging and testing fields. However, there are also lots of technology shortcomings that make China highly dependent on other countries and regions in high-end materials, high-precision integrated lithography machine, chip design EDA tools and other core technologies and products. Therefore, it is difficult to fully explain the paradox of "policy support for the IC industry" and "weakness of technical or industrial competitiveness" in China from the perspective of policy tool or policy strength analysis. It is urgent to introduce the perspective of policy coordination, to systematically evaluate the synergetic evolution of Chinese IC industrial policy, and its internal evolutionary mechanisms and impact on industry development. According to the theoretical perspective of mission-oriented policy, this paper studied the influence of policy synergy on the development of Chinese IC industry.
Based on the IC related policies at the national level in China during 2000-2020, this paper constructed the quantitative criteria of policy intensity and the scoring criteria of policy tools through the analysis of policy text and the expert review method, and measure the intensity of various policies in China′s IC industry. A model of policy tool synergy degree was built to systematically analyze the evolution of synergy degree among major policy measures and its impact on the development of IC industry. The results showed that since 2000, the key policy that encouraging the development of IC industry issued by the State Council was characterized by mission-oriented, which had a significant effect on the overall improvement of the IC policy. Coordination of financial support and guidance measures and coordination of financial support and R&D innovation had a significant positive impact on the development of IC industry. Guidance measures such as encouraging high-tech IC enterprises to list on the Science and Technology Innovation Board further strengthen the effectiveness of financial support policies.
However, coordination of tax incentives and intellectual property measures has not effectively promoted the development of China′s IC industry. In the current development stage, it is urgent to encourage enterprises to carry out high-quality IC patent layout, minimize the crowding out incentive effect of preferential-tax-policy in enterprise′s intellectual property layout by production capacity expansion, and promote the synergistic interaction between preferential-tax-policy and intellectual property policies. The main policy measures and guidance measures in China′s IC industry maintain a high degree of synergy, while the degree of synergy with implementation measures is low.
This paper also provides some policy implications. It is suggested to strengthen the continuously mission-oriented policy support to IC industry. It is highly important to strengthen the effective coordination between financial support and other measures, and also optimize the coordination mechanism between tax incentives and intellectual property measures. At the same time, it is necessary to further strengthen the precise support of financial support and tax incentives, improve the organization and supervision mechanism of government guidance fund, and prevent the negative impact of disorderly expansion of production capacity.
引用本文：张越,余江,刘宇,等.我国集成电路产业政策协同演变及其有效性研究[J].科研管理,2023,44(7):21-31.
转自：“科研管理”微信公众号
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