考虑一个上游企业和一个下游企业组成的两层供应链,上游企业为斯坦克尔伯格跟随者,下游企业为斯坦克尔伯格领导者,存在技术溢出,首先研究非合作研发情形下企业的研发水平、产品价格、产量和获利性问题,并以此为基准,接着研究合作研发情形下企业的研发水平、产品价格、产量和获利性问题。研究结果表明,与非合作研发情形相比,合作研发能够提高上下游企业的研发水平,降低产品价格,增加产量,增加整个供应链的利润,而且通过收益分配契约和相应的惩罚机制能够实现供应链协调；合作研发情形下,上下游企业的研发水平和整个供应链的利润均随着技术溢出系数的增加而增加。

Based on a two tier supply chain consisting of an upstream firm which is Stackelberg follower, and a downstream firm which is Stackelberg leader, there are technology spillover. The first we study the R D strategy of upstream and downstream firms and the problems of product price, output and profitability in the case of non-cooperative R D, and this is the benchmark, and then we study the R D strategy and the problems of product price, output and profitability in the case of cooperative R D. Our research shows that, compared with the non-cooperative R D case, in the case of cooperative R D, cooperative R D improve the level of the R D, and product’s prices fall, equilibrium output increases, the equilibrium of the supply chain profit increases, and through the contract of sharing revenue and appropriate punishment mechanism can coordinate the supply chain ; in the case of cooperative R D, the R D level of the upstream and downstream firms and the equilibrium of the supply chain profit increases with the increase of technology spillover coefficient.

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国家自然科学基金资助项目：“供应链视角下创新与产品线设计决策研究”(71601098)；教育部人文社科规划基金资助项目“基于策略性消费者无缺陷退货的供应链优化与协调机制研究”(12YJA630183)；2015年硕士研究生科研及实践创新计划项目：“两层供应链中企业的产品创新研究—基于技术差距视角”(KYLX15_1029)