本文選題：缺口理論　切入點(diǎn)：外資　出處：《上海交通大學(xué)》2014年碩士論文

【摘要】：以“雙缺口”模型為基礎(chǔ)的缺口理論為新興市場國家吸引外資、增強(qiáng)經(jīng)濟(jì)發(fā)展動(dòng)力奠定了重要的理論基礎(chǔ),它從最初的雙缺口(儲(chǔ)蓄缺口、外匯缺口)理論逐漸發(fā)展成三缺口(雙缺口基礎(chǔ)上加技術(shù)缺口)理論和四缺口(三缺口基礎(chǔ)上加稅收缺口)理論。這一理論對我國利用外資政策的調(diào)整具有重要的指導(dǎo)意義。在我國進(jìn)入開放型經(jīng)濟(jì)時(shí)代的初期,國家建設(shè)發(fā)展所需資金難以依靠國內(nèi)儲(chǔ)蓄來滿足,對外經(jīng)濟(jì)往來所需的外匯也較為缺乏,填補(bǔ)資金缺口和外匯缺口就成了當(dāng)時(shí)利用外資的重要目標(biāo),這一階段的引資戰(zhàn)略重點(diǎn)體現(xiàn)出兩大方向:一是不斷努力擴(kuò)大利用外資的規(guī)模,重在彌補(bǔ)儲(chǔ)蓄缺口;二是積極鼓勵(lì)外商投資舉辦出口企業(yè),重在彌補(bǔ)外匯缺口。這種利用外資策略是符合當(dāng)時(shí)的中國國情的。隨著外資持續(xù)大規(guī)模的流入,我國儲(chǔ)蓄缺口和外匯缺口逐漸填滿,并出現(xiàn)國內(nèi)儲(chǔ)蓄快速增加及外匯儲(chǔ)備大幅增長的現(xiàn)象。至此,應(yīng)該說,我國已較好地處理了“雙缺口”模型中的兩大缺口,進(jìn)入儲(chǔ)蓄和外匯相對充盈的時(shí)代。但對照缺口理論,中國的經(jīng)濟(jì)發(fā)展仍存在較大的技術(shù)缺口,外資企業(yè)稅收也有大量流失的問題,同時(shí)還存在東部地區(qū)和中西部地區(qū)引資不平衡的現(xiàn)象。在這樣的背景下,進(jìn)入新世紀(jì)以來,我國利用外資政策作出了相應(yīng)的調(diào)整,其呈現(xiàn)出來的特征主要包括:外商投資企業(yè)逐漸執(zhí)行“國民待遇”,普惠制的優(yōu)惠政策被取締,但對外資企業(yè)的限制也有所放寬;重視引進(jìn)技術(shù)含量高的外資企業(yè);強(qiáng)化外商投資的區(qū)域?qū)?指引更多的外資企業(yè)到我國的中西部地區(qū)投資落戶等,這樣的戰(zhàn)略設(shè)計(jì)符合缺口理論的精髓,取得了一定的積極效果,使我國利用外資方式逐漸從粗放型向內(nèi)涵型轉(zhuǎn)變,吸引了一批優(yōu)質(zhì)的技術(shù)型企業(yè),并使外商投資區(qū)域分布趨向合理。然而,這一階段的政策調(diào)整還有不到位的現(xiàn)象或者說還有一些尚未解決的問題,例如,我國在利用外資過程中仍存在技術(shù)溢出效應(yīng)不顯著、中西部地區(qū)引資比重仍然較低、內(nèi)部引資不平衡的現(xiàn)象。對此,我國在下一階段的外資政策調(diào)整中應(yīng)著力解決這兩大問題,充分借鑒其他國家經(jīng)驗(yàn),把好技術(shù)關(guān),制訂更加有利于外資企業(yè)技術(shù)外溢的政策,更快地彌補(bǔ)我國技術(shù)缺口;并進(jìn)一步優(yōu)化外商投資的區(qū)域布局,縮小儲(chǔ)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.
【學(xué)位授予單位】：上海交通大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：F832.6

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