张堃 潘小军

摘 要： 研究了下游竞争环境下同时进行流程创新投资和产品创新投资的企业最优决策问题。上下游厂商主要采取收益共享契约，并与一体化和分散化的合作契约进行比较分析。研究发现，与上下游一体化和分散化的合作契约相比，收益共享契约下的下游竞争强度提高会使企业流程创新和产品创新投资提高。但只有当下游竞争强度较高时，产业链才会随下游竞争程度提高而同时增加两种创新投资。当下游竞争强度较低时，下游竞争强度提高会导致两种创新投资减少。对于产业链而言，选择一体化的合作契约可实现最高的创新投资和产业链绩效，选择收益共享契约次之。对于下游厂商而言，如果没有一体化的倾向，选择收益共享契约可以获得在产业链中比分散化更高的绩效分配。

关键词： 下游竞争;流程创新;产品创新;收益共享;产业链绩效

中图分类号： F 270.5

文献标志码： A

The Research of Process Innovation and Product Innovationin the Downstream Competitive Environment

ZHANG Kun PAN Xiaojun

（Antai College of Economics and Management， Shanghai Jiao Tong University， Shanghai 200030， China）

Abstract： This paper focuses on the optimal decision problem of process innovation investment and product innovation investment in the downstream competitive environment. The industrial chain adapts the revenue-sharing contract compared with the integration and decentralization contract. It shows that， increasing downstream competition intensity under the revenue sharing contract will promote the investment of enterprise process innovation and product innovation. However， only when the downstream competition intensity is high， the industrial chain will promote two kinds of innovation investment with the increase of downstream competition intensity. If the downstream competition intensity is low， the situation is on the opposite. For the industrial chain， the choice of integrated cooperation contract can achieve the highest innovation investment and supply chain performance， followed by the revenue sharing contract. For the retailers in the downstream， if there is no forward integration tendency， choosing revenue sharing contract can obtain higher performance distribution in the industrial chain than decentralization.

Key words： downstream competition; process innovation; product innovation; revenue share; industrial chain performance

1 研究假設

本文基于一个上游厂商对应两个下游厂商构成的垂直产业链模型，分别采取上下游一体化、上下游分散化以及收益共享的纵向合作创新机制，探讨下游竞争对于流程创新和产品创新的影响。本文的上下游关系既包括供应商与制造商，也包括制造商与零售商。下游厂商在本文中占据主导地位，决定产品的订货量。此外，本文中的流程创新与产品创新投资同时进行。

假设一个上游垄断厂商承担单位生产成本c∈（0，a），并向两个寡头下游厂商分别按照批发价w1和w2出售产品。……