近日，北大国发院余淼杰教授与合作者加拿大多伦多大学的Daniel Trefler教授、Kevin Lim教授合作的英文工作论文（尚未正式发表）“Trade and Innovation: The Role of Scale and Competition Effects”获上海财经大学主办的英文期刊Frontier of Economics in China年度最佳论文奖。

余淼杰教授的这篇合作论文主要从市场规模和市场竞争两个角度研究了我国制造业的研发创新行为。作者运用计量和理论结构模型校准方法，从规模效应（市场规模）和竞争效应（企业成本加成）两个角度分解了国际贸易如何影响企业创新的渠道。理论结构模型也通过允许企业异质性探讨了竞争效应的一个新渠道：企业会通过增加创新进去一个较为宽松的国际市场来逃离激烈的国内竞争。实证回归和模拟校准模型都表明规模效应和竞争效应是理解国际贸易如何影响企业创新的关键。具体地，国际贸易对企业创新的规模效应是正的，但竞争效应是负的。但是，当企业可以通过创新来逃离竞争时，较低的贸易壁垒所导致的更大国内竞争会使企业增加创新。最后，通过校准模型，作者也检验了中国与欧共体贸易成本的下降对全球主要经济体的产品质量、生产率、成本加成和创新的影响。

Trade and Innovation:The Role of Scale and Competition Effects

Kevin Lim, Daniel Trefler, Miaojie Yu

June 13, 2018

Abstract

This paper studies the effects of scale and competition on firm-level innovation in China. Using both econometrics and a calibrated structural model, we disentangle the mechanisms via which trade affects innovation, focusing on scale effects (impact on market size) and competition effects (impact on markups). The structural model also examines heterogeneity of these affects across firms, which leads to a new mechanism for competition effects: firms can escape the competition by innovating into a market segment where competition is less intense. The econometric estimates and simulations of the calibrated structural model indicate that both scale and competition effects are important for understanding how trade affects innovation in China. In particular, scale effects of trade on innovation are positive in the aggregate, whereas competition effects are negative. However, when firms can innovate to escape the competition, greater competition induced by lower trade barriers can lead firms to increase innovation rather than reduce it. Finally, the calibrated model allows us to examine the impact of reductions in trade costs between China and the OECD on quality, productivity, markups and innovation around the world.

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