随着知识经济时代的蓬勃发展，企业、高等院校和研究机构等之间的知识流 动已经成为我国产业创新能力提升不可替代的重要途径。高科技产业作为知识密 集和资本密集的特殊产业，知识流动更是成为其获取创新资源，提高创新能力和 降低技术学习成本的重要捷径。因此，对知识流动的研究非常具有意义。 不同的知识流动对创新产出的作用究竟如何，以及是否存在某种传导机制使 知识流动对创新产出产生影响是本研究的重点。论文采用理论与实证相结合的方 法，首先，进行文献研究将知识流动整理分类，把知识流动分为产学研合作、产 业聚集和外商直接投资（FDI）三种途径；其次，梳理总结了技术学习成本的先 前研究，并分析了技术学习成本的最新研究成果；最后，探索了产学研合作、产 业聚集和外商直接投资这三种知识流动途径对创新产出的影响，以及技术学习成 本的中介作用。本文采用2009-2016年我国高科技产业的省级面板数据，对知识 流动、技术学习成本和创新产出的关系进行了实证研究。研究发现：（1）知识 流动中产学研合作、产业聚集对创新产出具有正向影响；（2）知识流动中产学 研合作、产业聚集对技术学习成本具有负向影响，外商直接投资（FDI）对技术 学习成本的影响不显著；（3）技术学习成本在知识流动（产学研合作和产业聚 集）和创新产出之间具有中介作用。 论文发现高技术产业中的知识流动对技术学习有关成本的降低和创新绩效 的提高有重要作用，并且丰富了知识流动和技术学习成本的有关理论研究，为高 技术企业的管理者和政策制定者如何营造良好的技术创新环境提供了一些建议。 关键词：知识流动；产学研合作；产业聚集；外商直接投资（FDI）；创新 产出 II Abstract Withthevigorousdevelopmentoftheeraofknowledgeeconomy,theflowof knowledgeamongenterprises,universitiesandresearchinstituteshasbecomean irreplaceableandimportantwaytoenhanceChina'sindustrialinnovationcapability. Asaspecialindustrythatisknowledge-intensiveandcapital-intensive,high-tech industryhasbecomeanimportantshortcuttoobtaininnovationresources,improve innovationabilityandreducethecostoftechnologylearning.Therefore,theresearch onknowledgeflowisverymeaningful, Whatistheroleofdifferentknowledgeflowsoninnovationoutput,andwhether thereissometransmissionmechanismtomakeknowledgeflowaffectinnovation outputisthefocusofthisstudy.Thethesisadoptsacombinationoftheoryand empiricalmethods.First,itconductsliteratureresearchtoclassifyknowledgeflow, anddividesknowledgeflowintothreeways:industry-university-researchcooperation, industrialaggregation,andforeigndirectinvestment(FDI);second,itsummarizes technicallearningThepreviousresearchonthecost,andanalyzedthelatestresearch resultsofthecostoftechnologylearning;finally,exploredtheimpactofthethree knowledgeflowchannelsofindustry-university-researchcooperation,industrial aggregationandforeigndirectinvestmentoninnovationoutput,andtheintermediary roleoftechnologylearningcost.ThispaperusesprovincialpaneldataofChina's high-techindustryfrom2009to2016toconductanempiricalstudyonthe relationshipbetweenknowledgeflow,technologylearningcostandinnovationoutput. Thestudyfoundthat:(1)knowledgeflow,industry-university-research cooperation,andindustrialagglomerationhaveapositiveimpactoninnovationoutput; (2)knowledgeflow,industry-university-researchcooperation,andindustrial agglomerationhaveanegativeimpactontechnologylearningcosts,andforeigndirect investment(FDI)hasTheimpactoftechnologylearningcostsisnotsignificant;(3) Technologylearningcostshaveanintermediaryrolebetweenknowledgeflow (industry-university-researchcooperationandindustryaggregation)andinnovation III output. Thepaperfoundthatknowledgeflowinthehigh-techindustryhasanimportant roleinreducingthecostoftechnologylearningandimprovingtheperformanceof innovation.Thearticleenrichesthetheoreticalresearchonknowledgeflowand technologylearningcosts,andisahigh-techenterprisemanagerandpolicymaker. Somesuggestionsareprovidedonhowtocreateagoodtechnologicalinnovation environment. Keywords:knowledgeflow;industry-university-researchcooperation;industry gathering;foreigndirectinvestment(FDI);innovationoutput IV 目录 第1章绪论..................................................................................................................1 1.1研究背景及意义..................................................................................................1 1.1.1研究背景.................................................................................................1 1.1.2选题意义.................................................................................................1 1.2相关文献综述......................................................................................................2 1.2.1知识流动的文献综述............................................................................2 1.2.2技术学习成本的文献综述.....................................................................5 1.2.3文献述评................................................................................................6 1.3研究方法及内容..................................................................................................7 1.3.1研究方法.................................................................................................7 1.3.2研究内容................................................................................................7 1.4创新点..................................................................................................................8 1.5本章小结..............................................................................................................9 第2章相关理论基础................................................................................................10 2.1相关概念及定义................................................................................................10 2.1.1知识流动的概念...................................................................................10 2.1.2知识流动途径.......................................................................................10 2.1.3技术学习成本的概念..........................................................................12 2.2理论基础............................................................................................................12 2.2.1知识基础观..........................................................................................12 2.2.2知识基础观与知识流动......................................................................13 2.2.3交易成本理论.......................................................................................14 2.2.4组织学习理论.......................................................................................14 2.3本章小结............................................................................................................15 第3章知识流动对创新产出的影响机制................................................................16 3.1产学研合作对创新产出的影响机制................................................................16 3.2产业聚集对创新产出的影响机制....................................................................18 3.2.1地理邻近效应.......................................................................................19 3.2.2协同效应...............................................................................................20 3.2.3即时效应...............................................................................................20 3.3外商直接投资（FDI）对创新产出的影响机制.............................................21 3.3.1示范效应...............................................................................................21 V 3.3.2竞争效应...............................................................................................22 3.3.3人才流动效应.......................................................................................22 3.3.4关联效应...............................................................................................22 3.4本章小结............................................................................................................24 第4章实证研究........................................................................................................25 4.1数据来源.......................................................................................................