基于缺口理论的我国利用外资政策调整及效果研究

发布时间：2018-04-04 08:09

本文选题：缺口理论　切入点：外资　出处：《上海交通大学》2014年硕士论文

【摘要】：以“双缺口”模型为基础的缺口理论为新兴市场国家吸引外资、增强经济发展动力奠定了重要的理论基础,它从最初的双缺口(储蓄缺口、外汇缺口)理论逐渐发展成三缺口(双缺口基础上加技术缺口)理论和四缺口(三缺口基础上加税收缺口)理论。这一理论对我国利用外资政策的调整具有重要的指导意义。在我国进入开放型经济时代的初期,国家建设发展所需资金难以依靠国内储蓄来满足,对外经济往来所需的外汇也较为缺乏,填补资金缺口和外汇缺口就成了当时利用外资的重要目标,这一阶段的引资战略重点体现出两大方向:一是不断努力扩大利用外资的规模,重在弥补储蓄缺口;二是积极鼓励外商投资举办出口企业,重在弥补外汇缺口。这种利用外资策略是符合当时的中国国情的。随着外资持续大规模的流入,我国储蓄缺口和外汇缺口逐渐填满,并出现国内储蓄快速增加及外汇储备大幅增长的现象。至此,应该说,我国已较好地处理了“双缺口”模型中的两大缺口,进入储蓄和外汇相对充盈的时代。但对照缺口理论,中国的经济发展仍存在较大的技术缺口,外资企业税收也有大量流失的问题,同时还存在东部地区和中西部地区引资不平衡的现象。在这样的背景下,进入新世纪以来,我国利用外资政策作出了相应的调整,其呈现出来的特征主要包括:外商投资企业逐渐执行“国民待遇”,普惠制的优惠政策被取缔,但对外资企业的限制也有所放宽;重视引进技术含量高的外资企业;强化外商投资的区域导向,指引更多的外资企业到我国的中西部地区投资落户等,这样的战略设计符合缺口理论的精髓,取得了一定的积极效果,使我国利用外资方式逐渐从粗放型向内涵型转变,吸引了一批优质的技术型企业,并使外商投资区域分布趋向合理。然而,这一阶段的政策调整还有不到位的现象或者说还有一些尚未解决的问题,例如,我国在利用外资过程中仍存在技术溢出效应不显著、中西部地区引资比重仍然较低、内部引资不平衡的现象。对此,我国在下一阶段的外资政策调整中应着力解决这两大问题,充分借鉴其他国家经验,把好技术关,制订更加有利于外资企业技术外溢的政策,更快地弥补我国技术缺口;并进一步优化外商投资的区域布局,缩小储蓄缺口差距。
[Abstract]:The gap theory based on the "double gap" model has laid an important theoretical foundation for emerging market countries to attract foreign capital and enhance their economic development momentum, starting from the initial double gap (savings gap).The theory of foreign exchange gap has gradually developed into the theory of three gaps (adding technology gap on the basis of double gap) and the theory of four gaps (adding tax gap on the basis of three gaps).This theory has important guiding significance to the adjustment of our country's foreign investment policy.At the beginning of our country's entry into the era of an open economy, it is difficult to rely on domestic savings for the funds needed for the construction and development of the country, and the foreign exchange required for foreign economic exchanges is also relatively scarce.Filling the fund gap and the foreign exchange gap became the important target of utilizing foreign capital at that time. The strategy of attracting foreign capital in this stage reflected two main directions: one is to expand the scale of utilizing foreign capital and to make up the saving gap;The second is to encourage foreign investment to set up export enterprises, focusing on filling the foreign exchange gap.This strategy is in line with the current situation of China.With the continuous and large-scale inflow of foreign capital, China's savings gap and foreign exchange gap gradually fill, and there is a rapid increase in domestic savings and a large increase in foreign exchange reserves.So far, it should be said that China has handled the two big gaps in the "double gap" model and entered the era of relatively full savings and foreign exchange.However, compared with the gap theory, there is still a big technological gap in China's economic development, and there is also a large loss of tax revenue for foreign-funded enterprises, as well as an imbalance in attracting investment in the eastern region and the central and western regions.Against this background, since the beginning of the new century, China's foreign investment policy has been adjusted accordingly. The main features of this policy include the gradual implementation of "national treatment" by foreign-invested enterprises, and the ban of preferential policies under the GSP system.However, restrictions on foreign-funded enterprises have also been relaxed; attention has been paid to the introduction of foreign-funded enterprises with high technology content; regional orientation of foreign investment has been strengthened and more foreign-funded enterprises have been guided to invest in the central and western regions of China.This kind of strategic design accords with the essence of gap theory and has achieved certain positive results. It has gradually changed the mode of utilizing foreign capital from extensive to intension and attracted a number of high-quality technological enterprises.And the distribution of foreign investment tends to be reasonable.However, there are still some unsolved problems in the policy adjustment at this stage. For example, in the process of utilizing foreign capital in China, the technology spillover effect is still not significant, and the proportion of attracting investment in the central and western regions is still low.The imbalance of internal investment.In view of this, in the next stage of foreign investment policy adjustment, our country should focus on solving these two problems, fully draw lessons from the experience of other countries, close the technology, formulate more favorable policies for technology spillover of foreign-funded enterprises, and make up the technology gap of our country more quickly.And further optimize the regional layout of foreign investment, reduce the gap in savings.
【学位授予单位】：上海交通大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.6

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