標準對後進產業演進過程的影響
——以中國輕型車排放標準與東風汽車集團為例

本研究主要關注在標準與後進產業演進過程的關係。本文選取中國東風汽車集團作爲研究案例，藉由理解中國輕型車污染物排放標準（下文簡稱「排放標準」）的階段變化過程，探討汽車廠商如何應對標準的變遷，並厘清排放標準在中國汽車產業升級和技術演進的過程中所扮演的角色。研究發現：中國排放標準的更新迭代是一個逐步嚴苛的，由模仿學習到自主制定的過程。首先，在標準的演變過程中，排放標準能夠通過保障產品品質、促進產品升級、促進廠商獲取及應用新技術等方面促進汽車產業的發展。其次，由於排放標準帶來的時間和成本壓力，汽車廠商優先選擇技術購買、委託開發等管道來獲取新技術，導致廠商形成研發惰性。最後，從後進追趕角度，排放標準促進汽車產業的新技術應用及產品更新，進而促進產業的追趕過程，但是由於標準帶來的時間和成本壓力阻礙廠商對新技術的自主研發，因此標準仍難以帶來技術的突破和超越。此外，標準的自主制定受到政府、汽車廠商及產業機構等參與者的影響，制定過程中為平衡各方利益會放寬標準限值，顯示標準實質上是一種產業相關參與者的集體選擇。

關鍵字

中國汽車產業；東風汽車；技術學習；排放標準；標準經濟學

並列摘要

This study focuses on the relationship between standards and the evolution of late-comer industries. Taking China's Dongfeng Automobile Group as the case, this study explores the changing process of China's light vehicle emissions standards (hereinafter, "emissions standards"), and discusses how automobile manufacturers responded to the changes of such standards. In so doing, it helps to clarify the role of emission standards in the technological upgrading and evolutionary processes of China's automobile industry. According to this study, the development of China's emission standards has evolved from the phase of imitation learning to the phase of independent development. In the process, emission standards were utilized for promoting the development of automobile industry through guaranteeing product quality, stimulating product upgrading and encouraging the acquisition and application of new technologies. And, owing to the time and cost pressures brought by the emission standards, Chinese automobile manufacturers were forced to acquire advanced technologies through technology licensing, contracted development and other channels, leading to the emergence of R&D inertia among these manufacturers. In general, from the perspective of catch-up, this study finds that the enforcement of emission standards indeed has facilitated Chinese automobile makers’ efforts in applying new technologies and upgrading products. However, it is argued that the implementation of such standards seems not able to bring about their technological breakthroughs. In addition, the establishment of standards was affected by the government, automobile manufacturers, industrial institutions and other relevant participants. In order to balance the interests of all the actors involved, standards have inevitably become the outcomes of collective choices among these participants.