为了研究奖惩机制与回收处理商创新研发决策之间的相互影响，考虑存在技术溢出效应和回收竞争，构建了有无奖惩机制下回收处理商独立研发与合作研发的四种决策模型。研究表明：无论政府是否实施奖惩，回收处理商合作研发时的利润始终不小于独立研发时的利润,而研发水平的相对高低与技术溢出率和奖惩力度有关；当回收处理商合作研发时，奖惩机制总可以激励回收处理商提高研发水平，而回收处理商是否获得更优的利润受到技术溢出率和奖惩力度的影响。

In order to study the interaction between reward and punishment mechanisms and recycling processor s'' innovative R&D decisions , the technology spillover effect and recycling competition were considered, four decision-making models for independent R & D and cooperative R & D of the recycling processor under reward and punishment mechanism and without reward and punishment mechanism are established. The research shows that whether the government implements rewards and penalties or not, the profits from the cooperative R & D of the recycling processors are always not less than those from the independent R & D, the relative size of R & D level is related to the rate of technology spillovers and rewards and punishments. When recycling processors cooperate innovate together, the implementation of rewards and punishments by the government can always encourage recycling processors to improve their R & D level, but whether profits are improved is affected by the technology spillover rate and the degree of rewards and punishments.

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国家自然科学基金项目：我国废弃电器电子产品回收体系反馈机制研究（71573144）；城市废弃物综合管理视野下的城市功能生态化优化路径研究（71603143）。 山东省自然科学基金项目：我国废弃电器电子产品回收体系的政策设计（ZR2015GZ002）。