基于核心企业创新驱动视角，本文构建的“核心企业创新驱动-知识溢出传
导-产业集群升级”的内在机理为：集群企业是产业集群升级的微观基础，各企
业的行为相互影响且企业间交易地位不对等；异质性的核心企业是集群升级的
创新源动力，其创新行为和创新成果会产生关联效应和示范效应作用于其他企
业；同时核心企业也是集群内的知识溢出源，借助知识溢出的路径完成横向传
导和纵向传导，即集群升级的传导机制；最后，其他核心企业的战略调整和技
术改进及配套企业的协作创新与技术更新反过来影响核心企业的行为，相互作
用，协同演化，共同提升了集群的技术水平和产业共性技术水平，企业间的联
系变得紧密但富有柔性，本地根植性增强，实现了集群的技术升级和结构升
级
围绕集群升级的内在机理，本文构建了核心企业创新行为对集群升级影响
的实证研究框架，并探讨知识溢出的中介作用。其中核心企业创新行为指产品
创新、工艺创新、战略创新与管理创新，知识溢出是直接合作、员工流动、企
业衍生与非正式交流，集群升级则是技术升级与结构升级。借助 SPSS21.0 和
AMOS21.0 对收集到的调研数据进行质量分析、测量模型检验和结构模型检验，
实证结果表明产品创新和管理创新对集群升级有显著影响，知识溢出在产品创
新与集群升级中起部分中介作用，而在管理创新与集群升级中起完全中介作II
用。因此，产业集群的升级不仅需要集群企业不断提升自我，树立正确竞合观
念，加强协作创新，不断更新技术和管理经验；还需要行业协会充分发挥桥梁
作用，促进集群企业间的交流和知识的分享与流动；集群升级更离不开政府对
创新的政策支持与鼓励
关键词：核心企业， 创新行为， 知识溢出， 集群升级III
Research on the Impact of Core Enterprise’s Innovation Behavior on
Industry Cluster Upgrading
--Based on Intermediary Role of Knowledge Spillover
Abstract
Industry cluster needs to avoid path dependence and lock-ins, but also to confront with
problems such as resource shortage, increasing labor price and international trade barriers,
therefore it is urgent to solve industry cluster’s upgrading and sustainable development. Regarding
cluster upgrading, based on the whole cluster, most scholars study it from the perspective of value
chain upgrading and innovation network, ignoring the fact that enterprises in cluster are
heterogeneous, their behaviors have effects on others and the whole cluster. In combination with
our economic background, development must be driven by innovation under the new normal.
However, by whom to accomplish innovation-driven How to achieve innovation-driven How
should industry cluster finish upgrading through innovation-driven This thesis attempts to analyze
them. Therefore, based on the literature review of the related researches, this thesis explained
internal mechanism of cluster upgrading and verified the empirical study from a perspective of
core enterprise compete innovation-driven, so as to provide possible path and relative policy
suggestions.
From a perspective of core enterprise compete innovation-driven, this thesis conducted the
mechanism--“innovation driven by core enterprise--transmitted by knowledge spillover--industry
cluster upgrading” -- of cluster upgrading. Enterprises in clusters are micro foundation of clusters
upgrading, their behaviors influence others and their transaction status are unequal, heterogeneous
core enterprise’s innovation behaviors are the dynamic mechanism, its innovation behavior and
fruits generate relatedness effects and model effect to other enterprise. At the meantime, core
enterprise also is the source of knowledge spillover, transits horizontally and longitudinally through
spillover path, which is the transition mechanism. At last, other core enterprise adjusts strategy and
change technical, supporting enterprise innovates collaboratively, which have effects on core
enterprise. Their interaction and co evolution enhance technical level of both cluster and industry,
thus relationship between enterprises becomes tight but full of flexibility, local embeddedness
boosts, technical and structure upgrading realize finally.
To verify the internal mechanism, this thesis then constructed an empirical research
framework about influence of core enterprise innovation behavior on cluster upgrading, discussing
mediating effect of knowledge spillover. The core enterprise innovation behaviors are product
innovation, technology innovation, strategy innovation and management innovation, knowledge
spillover are direct corporation, employee transfer, enterprise derivation and informalIV
communication, cluster upgrading are technical upgrading and structure upgrading. The data
quality analysis, measurement model test and structural model test were conducted to research data
by means of SPSS21.0 and AMOS21.0, the results reveal that product innovation and management
innovation have positive effects on industry cluster upgrading, knowledge spillover plays partial
mediation in the relationship between product innovation and cluster upgrading, while plays full
mediation in the relationship between management innovation and cluster upgrading. Therefore, in
order to accomplish cluster upgrading, enterprises should get promotion themselves continuously,
establish the correct concept of competing, increase technical and management
skill. Industry associations need to play full role of bridge, encouraging share and transfer of
knowledge among enterprises. Last but not least, the government’s policy support and encourage
are essential.
Key Words：core enterprise, innovation behavior, knowledge spillover, cluster
upgradingV
目 录
1 绪论........ 1
1.1 研究背景与意义. 1
1.1.1 研究背景.. 1
1.1.2 研究意义.. 2
1.2 研究思路与方法. 3
1.2.1 研究思路... 3
1.2.2 研究方法... 4
1.3 研究内容与结构安排..... 4
1.3.1 研究内容... 4
1.3.2 结构安排... 5
1.4 研究的重难点与创新点. 5
1.4.1 研究的重难点...... 5
1.4.2 研究的创新点....... 6
2 相关理论回顾与研究现状评述.......... 7
2.1 产业集群中的核心企业........
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