本文将专利引进划分为排他式引进与非排他式引进，基于技术追赶理论视角，比较研究不同引进方式对企业自主创新绩效的影响，并验证引进企业自身知识基础的中介作用以及引进专利知识特征的调节作用。运用2006—2019年间沪深上市的高新技术企业的专利数据进行实证检验。结果表明：专利引进对企业自主创新绩效有倒U型关系影响，排他式专利引进比非排他式专利引进对企业自主创新绩效提高的影响更大，企业知识基础在其中起中介作用；同时，企业知识基础较弱时，引进专利知识异质性在非排他式专利引进与企业自主创新绩效之间起正向调节作用。

In this paper, patent introduction is divided into exclusive introduction and non-exclusive introduction, based on the perspective of technology catch-up theory, the influence of different introduction modes on the independent innovation performance of enterprises is compared, and the mediating effect of the knowledge base of introduced enterprises and the regulating effect of the characteristics of introduced patent knowledge are verified.The patent data of high-tech enterprises listed in Shanghai and Shenzhen from 2006 to 2019 were used for empirical test.The results show that: the patent introduction has an inverted U-shaped effect on the independent innovation performance of enterprises, and the exclusive patent introduction has a greater influence on the improvement of the independent innovation performance than the non-exclusive patent introduction, in which the knowledge base of enterprises plays an intermediary role.At the same time, When the knowledge base of the enterprise is weak, the heterogeneity of patent introduction plays a positive regulating role between non-exclusive patent introduction and enterprise independent innovation performance.

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西安市社会科学基金重点项目“技术转移促进西安市产业二元创新能力提升的路径研究”（JG187）