高校作为创新体系的重要部分，是国家科技创新中基础研究和应用研究的主力军， 是产生新思想、新知识和新技术的摇篮。高校的科技创新工作对国家或区域社会经济的 可持续发展、科技进步和核心竞争力的提升至关重要。山西省作为我国资源型经济转型 综改区，目前正处于新动能加快成长，转型发展出雏型的关键时期，坚持创新为上，实 施创新驱动、科教兴盛人才强省战略，正在加快打造新一代支柱性产业集群和高成长 性产业集群，亟需高校科技创新为经济转型发展助力。因此，本文对山西省高校科技创 新能力进行评价，以为提升山西省高校的科技创新能力提供建议，使山西省高校能够更 好地助力山西省经济转型发展。 同所有的生物相似，在一个特定的生态系统中每一所高校在与环境的相互作用过程 中，形成其独有的生存力、竞争力和影响力，有最适合其在社会环境中生存立足与稳定 持续发展的生态位。本文在系统梳理相关理论和现有研究成果的基础上，运用2009-2018 年面板数据，首先对山西省高校科技创新能力的发展现状进行分析。其次，基于生态学 视角，使用生态位理论，构建评价指标体系和评价模型，采用熵值法确定指标权重，对 山西省高校在中部六省区域中的科技创新能力进行评价分析，并对山西省12所具有研 究生培养能力的高校科技创新能力进行评价研究和聚类分析。研究发现：在中部六省区 域高校生态圈中，山西省高校整体的科技创新能力和影响力较弱，与科技创新强省之间 的差距较大；在山西省省内高校生态圈中，12所高校的科技创新能力有较大的差异，聚 类分为创新领先型、创新活力型、创新发展型和创新滞后型。最后，针对当前山西省高 校科技创新能力发展的不足之处，从生态位扩充、生态位分离和生态位共生三个方面为 提升山西省高校的科技创新能力提出建议。 关键词：生态位理论，山西省高校，科技创新能力 中北大学学位论文 Research on the evaluation of scientific and technological innovation ability of colleges and universities based on Niche Theory -a case study of colleges and universities in Shanxi Province Abstract As an important part of China's innovation system, colleges and universities are the main force of basic research and Applied Research in national science and technology innovation, and the cradle of new ideas, knowledge and technology. The work of scientific and technological innovation in colleges and universities is of great importance to the sustainable development of national or regional social economy, scientific and technological progress and the promotion of core competitiveness. Shanxi Province, as China's resource-based economy transformation and comprehensive reform area, is in the key period of accelerating the growth of new driving forces and developing the embryonic form of transformation and development, adhering to innovation as the top priority, implementing the strategy of innovation-driven, vitalizing the province through science and education, and strengthening the province with talents, we are speeding up the building of a new generation of pillar industrial clusters and high-growth industrial clusters. Therefore, this paper evaluates the sci-tech innovation ability of Shanxi universities, in order to provide suggestions for improving the sci-tech innovation capability of Shanxi universities, so as to help the economic transformation and development of Shanxi Province. Similar to all living things, in a particular ecosystem, each university forms its unique viability, competitiveness and influence in the course of its interaction with the environment, it has the most suitable ecological niche for its survival and sustainable development in the social environment. On the basis of systematizing correlative theories and existing research 中北大学学位论文 achievement, this article analyzes the development status of sci-tech innovation ability of colleges and universities in Shanxi Province using panel data from 2009 to 2018. Secondly, based on the ecological perspective, using the niche theory, constructing the evaluation index system and evaluation model, using the entropy method to determine the index weight, to evaluate and analyze the sci-tech innovation capability of Shanxi universities in six central provinces, at the same time, the paper evaluates and cluster analyses the sci-tech innovation capability of 12 universities in Shanxi Province which have the ability of cultivating postgraduates. It is found that in the ecosphere of colleges and universities in the six central provinces, the ability and influence of Shanxi universities in sci-tech innovation is weak, and the gap between them and the province with strong sci-tech innovation is large, the ability of sci-tech innovation capability of 12 universities is quite different, and can be divided into leading innovation type, dynamic innovation type, developing innovation type and lagging innovation type. Finally, aiming at the deficiency of the development of sci-tech innovation ability of colleges and universities in Shanxi Province, this paper puts forward some suggestions for improving the sci-tech innovation ability of colleges and universities in Shanxi Province from three aspects of niche expansion, niche separation and niche symbiosis. Key words: Niche Theory; Universities of Shanxi Province; Technological innovation capability 中北大学学位论文 I 目 录 1 绪论 ....................................................... 1 1.1研究背景和意义 .................................................... 1 1.1.1研究背景 .................................................... 1 1.1.2研究意义 .................................................... 2 1.2研究内容和方法 .................................................... 3 1.2.1研究内容 .................................................... 3 1.2.2研究方法 .................................................... 5 1.3创新点 ............................................................ 5 2 相关理论与研究综述 ......................................... 6 2.1高校科技创新的相关理论 ............................................ 6 2.1.1创新 ........................................................ 6 2.1.2科技创新 .................................................... 6 2.1.3高校科技创新 ................................................ 7 2.2生态位理论 ........................................................ 7 2.2.1生态位概念 .................................................. 7 2.2.2生态位测度 .................................................. 8 2.3国内外相关文献研究综述 ............................................ 9 2.3.1国外对高校科技创新能力研究的文献综述 ........................ 9 2.3.2国内对高校科技创新能力研究的文献综述 ....................... 10 2.3.3生态位理论在高校科技创新领域应用的文献综述 ................. 12 3 山西省高校科技创新能力现状分析 ............................ 13 3.1科技创新基础能力 ................................................. 13 3.2科技创新投入能力 ................................................. 14 3.2.1科技创新人力投入 ........................................... 14 中北大学学位论文 II 3.2.2科技创新经费投入 ........................................... 15 3.3科技创新产出能力 ................................................. 16 3.3.1科技论文产出 ............................................... 16 3.3.2科技专著产出 ............................................... 17 3.3.3专利产出 ................................................... 18 3.3.4科技奖励 ................................................... 18 3.4科技创新成果转化能力 ............................................. 19 3.4.1专利出售 ................................................... 19 3.4.2技术转让 ................................................... 20 3.5综合能力分析 ..................................................... 21 4 山西省高校科技创新能力评价分析 ............................ 23 4.1构建评价指标体系 ................................................. 23 4.1.1评价的基本原则 ............................................. 23 4.1.2评价指标体系 ............................................... 23 4.2建立评价模型 ..................................................... 25 4.3实证分析 ......................................................... 27 4.3.1山西省高校科技创新能力在中部六省区域中的生态位分析 ......... 27 4.3.2山西省12所研究生培养高校科技创新能力的生态位分析 .......... 31 4.3.3山西省高校科技创新能力综合评价