本文构建了外商直接投资、区域自主创新能力和能源强度的分析框架,通过收集中国30个省域行政区(西藏及港澳台地区除外)1999-2012年的面板数据,运用结构方程模型对外商直接投资、区域自主创新能力影响能源强度的效果进行了实证检验。研究结果表明：我国境内的外商直接投资主要集中在高能耗工业部门,提高了能源强度,其“量变效应”为正；外商直接投资的直接溢出效应和间接溢出效应提高了各省域行政区的区域自主创新能力,降低了能源强度,其“质变效应”为负；但外商直接的“量变效应”强于“质变效应”,在整体上提高了能源强度。针对上述结论提出了优化引资结构、提高区域自主创新能力、促进能源高效利用等政策建议。

This thesis has constructed a framework to analysis the relationship among foreign direct investment, regional independent innovation ability and energy intensity. It uses the panel data sample in 1999-2012 from China’s 30 provinces (Tibet and Hong Kong, Macao and Taiwan excepted) to test the empirical impact of foreign direct investment, regional independent innovation ability on energy intensity. It reveals that foreign direct investment within the territory of China mainly concentrated in the high energy consumption industrial sector, which improves the energy intensity, its "quantitative effect" is positive; the direct and indirect spillover effects of foreign direct investment increase the regional independent innovation ability, which lowers the energy intensity, its "quality effect" is negative; but quantitative effect of foreign direct investment is stronger than its quality effect, which promotes the energy intensity on the whole. Based on the above conclusions, it puts forward the corresponding policy recommendations: optimize capital structure, improve the regional independent innovation ability and promote the efficient utilization of energy.

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2012年国家社会科学基金项目“矿产资源密集型区域可持续发展研究”资助(编号:12BJL074)；2012年度教育部哲学社会科学研究重大课题攻关项目“经济全球化背景下中国矿产资源战略研究”资助(编号:12JZD034)