创新是促进中国经济发展的“双引擎”之一。小微企业在增加工作岗位、活跃 经济市场、改善民生、促进经济结构调整等方面具有不可忽视的重要作用。然而， 与大中型企业相比，小微企业在技术、防范与抵御风险、创新成果转化等方面的能 力较弱且经济实力比较差，难以平衡创新的成本与风险，严重抑制了小微企业创新 的积极性和创新绩效的提升。因此，如何提高小微企业的创新绩效使其在激烈的市 场竞争中得以生存和发展具有重要意义。 已有关于小微企业创新绩效的研究，仅从外部关系或内部能力的单一视角来关 注其对小微企业创新绩效的影响，少有文献将外部关系、内部能力和创新绩效纳入 同一研究框架内。然而，外部关系、内部能力分别是影响小微企业创新绩效的外因 和内因。外因只能通过内部能力这一内因才能起作用。因此，为弥补已有研究的不 足，本文将探讨外部关系是如何通过内部能力的中介作用来影响小微企业创新绩效 的，进一步打开外部关系影响小微企业创新的“黑箱”，从而拓展和丰富现有小微 企业创新研究。 为此，本文基于2015年中国小微企业调查数据，首先构建“外部关系—内部 IV 能力—创新绩效”理论框架模型，以2381家小微企业为样本，实证分析外部关系 是如何通过内部能力的中介作用来影响小微企业创新绩效。研究结果表明：外部关 系通过内部能力的中介作用正向影响小微企业创新绩效。具体来讲，外部关系通过 表征内部能力的代理指标，如：学习能力、吸收能力、技术能力、研发能力、创业 导向的中介作用来正向影响小微企业创新绩效。研究结论为完善小微企业创新管理 实践以及制定相关小微企业创新政策提供参考。 关键词：外部关系；内部能力；创新绩效；小微企业；中介作用 V EFFECT OF EXTERNAL RELATIONSHIP ON INNOVATION PERFORMANCE OF SMALL AND MICRO ENTERPRISES ——TAKING INTERNAL CAPABILITIES AS A MEDIATING VARIABL ABSTRACT Innovation is one of the "two engines" of China's economic development. Small and micro businesses play an important role in creating jobs, invigorating the economic market, improving people's livelihood and promoting economic restructuring. However, compared with large and medium-sized enterprises, small and micro enterprises are weak in capital, technology, risk prevention and resistance, innovation achievements transformation and other aspects, and it is difficult to balance the cost and risk of innovation, which seriously inhibits the enthusiasm of small and micro enterprises in innovation and the improvement of innovation performance. Therefore, how to improve the innovation performance of small and micro enterprises to survive and develop in the fierce market competition is of great significance. There have been researches on the innovation performance of small and micro enterprises, only from the perspective of external relations or internal capabilities to focus on its impact on the innovation performance of small and micro enterprises from a single perspective. Few literatures have included external relations, internal capabilities and innovation performance in the same research framework.However, external VI relationship and internal capability are the external and internal factors that affect the innovation performance of small and micro enterprises respectively.The external cause can only function through the internal cause of internal ability.Therefore, in order to make up for the deficiencies of existing researches, this paper will discuss how external relations affect the innovation performance of small and micro enterprises through the intermediary role of internal capabilities, and further open the "black box" of external relations affecting the innovation of small and micro enterprises, so as to expand and enrich the existing research on innovation of small and micro enterprises. For this reason, this article is based on China small micro enterprise survey data in 2015, the first building "external relations，internal ability, and innovation performance theory frame model, with 2381 small micro enterprises as samples, the empirical analysis how external relationships by learning ability, absorption ability, technical skills, research and development ability, entrepreneurial orientation, etc, the internal ability to influence the small micro enterprise innovation performance.The results show that: The external relationship of small and micro enterprises not only directly promotes the innovation performance of enterprises, but also indirectly improves the innovation performance of enterprises by influencing the internal ability.The internal capability of enterprises is the mediating variable of "external relation-enterprise innovation performance".The research conclusion provides reference for improving the innovation management practice of small and micro enterprises and formulating relevant innovation policies of small and micro enterprises. KEYWORDS: external relationship;internal capability;innovation performance; small and micro Enterprise; mediating effect VII 目 录 第一章 引言 .................................................................................................................................. 1 1.1研究背景 ............................................................................................................................ 1 1.2研究目的及意义 ................................................................................................................. 2 1.3研究内容和研究思路 ......................................................................................................... 2 1.3.1研究内容和结构安排.............................................................................................. 2 1.3.2技术路线.................................................................................................................. 3 1.4本文的创新之处 ................................................................................................................. 3 1.4.1 研究视角的创新..................................................................................................... 3 1.4.2 研究对象和数据的创新......................................................................................... 3 第二章 文献综述与理论基础 ......................................................................................................... 5 2.1概念界定 ............................................................................................................................. 5 2.1.1企业外部关系资本的概念及内涵.......................................................................... 5 2.1.2企业内部能力的概念及内涵.................................................................................. 6 2.1.3企业创新绩效的概念及内涵.................................................................................. 7 2.1.4小微企业的概念...................................................................................................... 8 2.2相关理论基础回顾 ............................................................................................................. 9 2.2.1企业的资源基础理论.............................................................................................. 9 2.2.2关系资本理论........................................................................................................ 10 2.3外部关系影响企业创新绩效的相关研究 ....................................................................... 11 2.4外部关系影响企业内部能力的相关研究 ....................................................................... 12 2.5内部能力影响企业创新绩效的相关研究 ....................................................................... 13 2.6文献述评 ........................................................................................................................... 14 第三章 研究假设与研究设计 ....................................................................................................... 15 3.1研究假设 ........................................................................................................................... 15 VIII 3.1.1外部关系对小微企业创新绩效的影响................................................................ 15 3.1.2内部能力的中介作用............................................................................................ 16 3.2数