首先，本文对区域科技创新系统相关概念的内涵进行了界定，包括：科技创新、区
域科技创新能力与创新效率。并且通过具体的数据对山西省 11 地市的科技创新现状进
行了描述评价。考虑到数据的可得性，选取符合山西省 11 地市实际情况的科技创新能
力与效率的评价指标，来描述 11 地市的科技创新活动。其次，根据所选取的评价指标，
运用主成分分析法对山西省 11 地市的科技创新能力进行实证研究，得到 11 地市在科技
创新能力的综合得分，并按照综合得分进行排名，11 地市科技创新能力由高到低依次是：
太原、朔州、晋城、长治、吕梁、大同、晋中、忻州、阳泉、临汾、运城。同时根据综
合得分，运用层次聚类将 11 地市分成四类：第一类仅包括太原市；第二类仅包括朔州
市；第三类包括晋城市、长治市、吕梁市和大同市；第四类包括晋中市、忻州市、阳泉
市、临汾市和运城市。第一类与第二类地市的科技创新能力较强，第三类地市科技创新
能力处于中上游水平，但是相较于前两类，仍然有许多需要改进的地方，第四类地市的
科技创新能力较低，各方面均表现为能力不足。再次，对选取的科技创新投入与产出指
标分别提取主成分，将提取的主成分进行数据包络分析。得出的结果是：仅晋城市达到
了 DEA 有效，太原、阳泉、朔州达到了纯技术效率有效，而其他 7 个地市均为非 DEA
有效。除太原市为规模收益递减，其他 9 个地市均为规模收益递增。最后，对本文进行
总结，并针对各个地市的实际情况提出了相应的对策。
关键词：区域科技创新能力，区域科技创新效率，主成分分析，层次聚类分析，数据
包络分析中北大学学位论文
Research on Science and technology innovation ability and
Innovation efficiency of 11 cities in Shanxi Province
Author: Cao Meng Supervisor: Shi Xueqiao
ABSTRACT
Nowadays, science and technology as the first productivity ， its status and role are
increasingly prominent, science and technology innovation ability has become decisive factor
which decides a region even a country's core competitiveness. So more and more attention has
been paid by every country to the innovation of science and technology . Since the reform and
opening up, China's scientific and technological innovation consciousness constantly improve,
leaders promoted science and technology innovation to national strategic height. With
constantly development of the level of science and technology innovation, China's scientific
and technological innovation has made some achievements, it has promoted China's economic
development. Similarly, if a region has a better ability of innovation of science and technology,
It can also be very good to improve the comprehensive competitiveness of the region and
promote the economic development of the region. Therefore, researching on science and
technology innovation capacity and innovation efficiency of 11 cities of Shanxi province has
very important significance to enhance the comprehensive strength of Shanxi province and
promote the economic development of Shanxi province.
First of all, the connotation of this paper related to science and technology innovation,
regional science and technology innovation ability, regional science and technology
innovation efficiency concepts were defined, making 11 cities in Shanxi Province as the
research object, this paper described and analyzed the status of technological innovation to 11
cities. And according to the actual situation of 11 city and the availability of data, this paper
constructed an index evaluation system of 11 cities in Shanxi province science and technology
innovation capability and innovation efficiency. Secondly, according to the established index
system of innovation ability of science and technology, using the method of principal
component to analyze technology innovation ability of 11 city in Shanxi province, and were
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