CAJ | 학술논문

纵向合作创新是制造业企业常用的技术创新模式。本文利用三级供应链模型对Samiran Banerjee andPing Lin（2001）的二级纵向合作创新模型进行改进,研究了在M个上游企业、1个中游企业和N个下游企业构成的三级供应链中,中游企业的技术研发策略对技术研发效果和整个产业链体系的利润函数的影响。研究结果表明：相对于未创新的初始状态,中游企业的研发活动可以增加供应链上各级企业的利润;中游企业的独立研发策略会产生溢出效应,使上、下游企业利润增加;相对于独立研发策略,中游企业的合作研发策略可以获得更大的研发效果,更高的中游企业和全产业链利润。
종향합작창신시제조업기업상용적기술창신모식。본문이용삼급공응련모형대Samiran Banerjee andPing Lin（2001）적이급종향합작창신모형진행개진,연구료재M개상유기업、1개중유기업화N개하유기업구성적삼급공응련중,중유기업적기술연발책략대기술연발효과화정개산업련체계적리윤함수적영향。연구결과표명：상대우미창신적초시상태,중유기업적연발활동가이증가공응련상각급기업적리윤;중유기업적독립연발책략회산생일출효응,사상、하유기업리윤증가;상대우독립연발책략,중유기업적합작연발책략가이획득경대적연발효과,경고적중유기업화전산업련리윤。
Advancing information technology is shortening product life cycle and the lead time to market for new products.To overcome limited RD budgets and resources,an enterprise often resorts to building an RD alliance with other enterprises.Cooperative RD alliances can help increase the speed of new product development and reduce investment risks.The industrial economics literature shows that RD alliances can be formed via vertical cooperation or horizontal cooperation.Empirical studies show that vertical RD alliances are more widely used and effective than horizontal RD alliances in helping enterprises improve their innovation capability.However,the theoretical research on horizontal RD alliances is very limited.There is a growing need for researchers to understand the potential effect of horizontal RD alliances on RD profits and innovation capability.This paper proposes a three-level industry chain system based on Banerjee and Ling＇s two-level vertical cooperation innovation model.The industry chain system consists of M upstream enterprises,1 midstream enterprise,and N downstream enterprises.The midstream enterprise plays a leading role in the industry chain by sourcing materials from upstream enterprises,processing the raw materials,and selling the works-in-progress to downstream enterprises.The downstream enterprises convert the works-in-progress into final products for end customers.Therefore,the midstream enterprise can play the central role of forming a vertical RD alliance with upstream and downstream enterprises.All enterprises in the industry chain can share both costs and profits,and improve their innovation capability.The midstream enterprise can adopt three strategies to help form the vertical RD alliance： non-RD,independent RD,and cooperative RD.Depending on the strategy adopted by the midstream enterprise,our model calculates the outputs and profits for each form of enterprise in the supply chain： upstream,midstream and downstream enterprises.The main conclusions from this paper are as follows.（1） The RD effect of the vertical RD alliance on the midstream enterprise is proportional to the number of downstream enterprises when the midstream enterprise adopts the independent RD strategy.（2） The independent RD strategy adopted by the midstream enterprise can create spillover effect on the profit of upstream and downstream enterprises.（3） The independent RD strategy adopted by the midstream enterprise can increase the profits for the entire three-level industry chain.（4） The RD effect of the vertical RD alliance on the midstream enterprise is proportional to the number of downstream enterprises and inversely proportional to the number of upstream enterprises when the midstream enterprise adopts the cooperative RD strategy.（5） The cooperative RD strategy is more effective than the independent RD strategy to create effective RD for the midstream enterprise.（6） The cooperative RD strategy can generate more profit than the independent RD strategy for the entire industry chain.