【摘要】 后发企业如何突破“技术引进陷阱”并实现有效追赶一直是管理领域较为关注的重要问题。鉴于此，本研究基于“政府-市场”双元驱动视角，通过对中车四方从追赶到立足前沿整个发展历程进行复盘，进而提炼我国后发企业技术演进理论框架。研究发现：后发企业突破“技术引进陷阱”并实现有效追赶的关键在于培育自主创新能力，而自主创新能力的提升得益于“政府-市场”双元驱动的作用机制；政府在企业后发追赶至技术前沿的过程中，经历了政府主导-政府引导-政府服务的角色转变过程，且随着政府行政力量的减弱，以市场为“抓手”的激励力量在逐渐增强；市场需求的创新驱动作用也不容忽视，通过竞争机制、利益诱导和机会驱动机制来激励企业进行持续创新，并逐渐主导企业创新行为；在政府与市场双元驱动背景下，后发企业通过“利用式单元型”学习、“交互型”和“协同型”双元学习策略以及“由内及外”不断扩大的知识搜索途径快速实现了能力的积累与跃迁，进而确保了企业技术的持续演进。更多还原

【Abstract】 How latecomer firms break through the “technology import trap” and achieve effective catch-up has always been a important theoretical issue of concern in the management field. In view of this, based on the dual driving perspective of “Government-Market”, this paper refines the evolution path and promotion theoretical framework of the independent innovation capability of latecomer enterprises by reinstating the whole process of CRRC Sifang from technology catching up to the forefront. The results show that:(1) The key for late-developing enterprises to break through the “technological catch-up” and achieve effective catch-up is to cultivate the ability of independent innovation, which benefits from the dual driving mechanism of “Government-Market”;(2) In the process of enterprises catching up to the technological frontier, the government has experienced the role transformation process of government leadership, government guidance and government service, and with the weakness of government administrative power, the incentive power of taking the market as the “grasp” is gradually increasing.(3) the innovation-driven role of market demand can not be ignored, through the competition mechanism, interest induction and opportunity-driven mechanism to encourage enterprises to carry out sustainable innovation, and gradually lead the enterprise innovation behavior.(4) under the background of dual drive between the government and the market, late-developing enterprises have rapidly realized the accumulation and transition of capabilities through the “exploitative learning of unit”, “interactive” and “collaborative” dual learning strategies and the expanding knowledge search approach from the inside to the outside, so as to ensure the sustainable evolution of enterprise technology.更多还原