空气污染、人力资本流动与创新活力——基于个体专利发明的经验证据
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摘要
人力资本作为创新发展的重要基础,是激发创新潜能的关键所在。本文基于个体专利发明的大样本数据和中国地级市的空气质量指数,研究了空气污染对发明人创新产出的影响及其作用机理。研究结果发现,空气污染会显著降低发明人的创新产出,抑制个体创新活力。同时,空气污染显著增加了人力资本流动的可能性,发明人更可能向空气质量较好的城市迁移。从影响机制看,空气污染会通过影响个体的健康和情绪状况,进而影响创新活力;从总体效应看,空气污染会进一步地从总体上降低地区的创新活力。此外,本文还对空气污染类型和创新类型进行分组检验,结果发现,相对于非发明专利,空气污染对创造力要求较高的发明专利的抑制作用更为明显;对个人健康影响更为严重的细微颗粒物PM_(10)和PM_(2.5)与创新产出的负向作用更为显著。在缓解内生性问题、排除替代性解释和遗漏变量检验等一系列稳健性检验之后,上述结论依旧成立。本文的结论不仅从微观个体的角度完善和丰富了创新的相关文献,也为地方政府引人引智工作、激发人才创新活力,从而推动经济的高质量发展提供了理论支持和经验证据。
As an important foundation for innovation development, human capital is the key to develop and stimulate innovation potential. Based on the large sample data of individual patent inventions and the Air Quality Index(AQI) of city-level in China, this paper systematically investigates the impact of air pollution on the inventor's innovation output and its mechanism of action. We find that air pollution is significantly negatively associated with the innovation output of inventors due to it inhibits the vitality of individual innovation. At the same time, air pollution is significantly associated with the likelihood of human capital flow and inventors are more likely to migrate to cities with better air quality. The influence mechanism test shows that air pollution affects an individual's health and emotional status, therefore impacts the vitality of individual innovation. In general, air pollution further diminishes the overall innovation of the region. Compared with the non-invention patents, the heterogeneity test also finds that air pollution, especially the fine particles PM_(10) and PM_(2.5), had a more significant effect on invention patents. The results are robust to several sensitivity tests, such as alleviating endogenous problems, mitigating alternative explanations and missing variables. This paper not only enriches the relevant literature of innovation on the individual-level, but also provides enlightenment for promoting the work of attracting talents to local governments, stimulating the innovative vitality of talents and promoting the high-quality development of economy.
As an important foundation for innovation development, human capital is the key to develop and stimulate innovation potential. Based on the large sample data of individual patent inventions and the Air Quality Index(AQI) of city-level in China, this paper systematically investigates the impact of air pollution on the inventor's innovation output and its mechanism of action. We find that air pollution is significantly negatively associated with the innovation output of inventors due to it inhibits the vitality of individual innovation. At the same time, air pollution is significantly associated with the likelihood of human capital flow and inventors are more likely to migrate to cities with better air quality. The influence mechanism test shows that air pollution affects an individual's health and emotional status, therefore impacts the vitality of individual innovation. In general, air pollution further diminishes the overall innovation of the region. Compared with the non-invention patents, the heterogeneity test also finds that air pollution, especially the fine particles PM_(10) and PM_(2.5), had a more significant effect on invention patents. The results are robust to several sensitivity tests, such as alleviating endogenous problems, mitigating alternative explanations and missing variables. This paper not only enriches the relevant literature of innovation on the individual-level, but also provides enlightenment for promoting the work of attracting talents to local governments, stimulating the innovative vitality of talents and promoting the high-quality development of economy.
引文
[1]蔡卫星,倪骁然,赵盼,杨亭亭.企业集团对创新产出的影响:来自制造业上市公司的经验证据[J].中国工业经济,2019,(1):137-155.
[2]陈诗一,陈登科.雾霾污染、政府治理与经济高质量发展[J].经济研究,2018,(2):20-34.
[3]陈硕,陈婷.空气质量与公共健康:以火电厂二氧化硫排放为例[J].经济研究,2014,(8):158-169.
[4]姜春海,宋志永,冯泽.雾霾治理及其经济社会效应:基于“禁煤区”政策的可计算一般均衡分析[J].中国工业经济,2017,(9):44-62.
[5]李蕾蕾,盛丹.地方环境立法与中国制造业的行业资源配置效率优化[J].中国工业经济,2018,(7):136-154.
[6]黎文靖,郑曼妮.空气污染的治理机制及其作用效果---来自地级市的经验数据[J].中国工业经济,2016,(4):93-109.
[7]罗知,李浩然.“大气十条”政策的实施对空气质量的影响[J].中国工业经济,2018,(9):136-154.
[8]申宇,赵玲,吴风云.创新的母校印记:基于校友圈与专利申请的证据[J].中国工业经济,2017,(8):157-174.
[9]石庆玲,郭峰,陈诗一.雾霾治理中的“政治性蓝天”---来自中国地方“两会”的证据[J].中国工业经济,2016,(5):40-56.
[10]肖挺.环境质量是劳动人口流动的主导因素吗?---“逃离北上广”现象的一种解读[J].经济评论,2016,(2):3-17.
[11]王木之,李丹.资本市场中的媒体公关:来自我国企业IPO的经验证据[J].管理世界,2016,(7):121-136.
[12]张文勤,石金涛,刘云.团队成员创新行为的两层影响因素:个人目标取向与团队创新气氛[J].南开管理评论,2010,(5):22-30.
[13]Almeida,P.,A.Phene,and S.Li.The Influence of Ethnic Community Knowledge on Indian Inventor Innovativeness[J].Organization Science,2015,26(1):198-217.
[14]Audia,P.G.,and J.A.Goncalo.Past Success and Creativity over Time:A Study of Inventors in the Hard Disk Drive Industry[J].Management Science,2007,53(1):1-15.
[15]Bassi,A.,R.Colacito,and P.Fulghieri.An Experimental Analysis of Weather and Risk Attitudes[J].Review of Financial Studies,2013,26(7):1824-1852.
[16]Chen,Y.,A.Ebenstein,M.Greenstone,and H.Li.Evidence on the Impact of Sustained Exposure to Air Pollution on Life Expectancy from China’s Huai River Policy[J].Pnas,2013,110(32):12936-12941.
[17]Chen,Y.,R.Ge,J.Pittman,M.Veeraraghavan,and L.Zolotoy.Obscured by Clouds:The Impact of Weather-Induced Managerial Mood on Corporate Tax Avoidance[R].SSRN Working Paper,2017.
[18]Chen,Y.,P.H.Hsu,E.Podolski,and M.Veeraraghavan.In the Mood for Creativity:Weather-Induced Mood,Inventor Productivity,and Firm Value[R].SSRN Working Paper,2018.
[19]Dehaan,E.,J.Madsen,and J.D.Piotroski.Do Weather-Induced Moods Affect the Processing of Earnings News[J].Journal of Accounting Research,2017,55(3):509-550.
[20]Ebenstein,A.,V.Lavy,and S.Roth.The Long-Run Economic Consequences of High-Stakes Examinations:Evidence from Transitory Variation in Pollution[J].American Economic Journal Applied Economics,2016,8(4):36-65.
[21]Hasanefendic,S.,J.M.Birkholz,H.Horta,and P.V.D.Sijde.Individuals in Action:Bringing about Innovation in Higher Education[J].European Journal of Higher Education,2017,7(2):101-119.
[22]He,J.,and X.Tian.Finance and Corporate Innovation:A Survey[J].Asia-Pacific Journal of Financial Studies,2018,47(2):165-212.
[23]He,Z.L.,T.W.Tong,Y.Zhang,and W.He.A Database Linking Chinese Patents to China’s Census Firms[J].Scientific Data,2018,5(5):180-142.
[24]Higdon,R.,G.Van Belle,and E.Kolker.The Effect of Pollution on Labor Supply:Evidence from a Natural Experiment in Mexico City[J].Journal of Public Economics,2015,122(10):68-79.
[25]Isen,A.,M.Rossin-Slater,and R.Walker.Every Breath You Take Every Dollar You Make:The Long-Term Consequences of the Clean Air Act of 1970[R].NBER Working Papers,2017,105(1):1-14.
[26]Jesus,S.N.,C.L.Rus,W.Lens,and S.Imaginario.Intrinsic Motivation and Creativity Related to Product:A Meta-Analysis of the Studies Published between 1991-2010[J].Creativity Research Journal,2013,25(1):80-84.
[27]Kapoor,R.,and K.Lim.The Impact of Acquisitions on the Productivity of Inventors at Semiconductor Firms:A Synthesis of Knowledge-Based and Incentive-Based Perspectives[J].Academy of Management Journal,2007,50(5):1133-1155.
[28]Liu,H.,and A.Salvo.Severe Air Pollution and Child Absences When Schools Can Respond[R].SSRNWorking Paper,2018.
[29]Liu,T.,Y.Mao,and X.Tian.The Role of Human Capital:Evidence from Patent Generation[J].Kelley School of Business Research Paper,2017.
[30]Peters,F.S.,and A.F.Wagner.The Executive Turnover Risk Premium[J].Journal of Finance,2014,69(4):1529-1563.
[31]Shuai,C.,P.Oliva,and Z.Peng.The Effect of Pollution on Migration:Evidence from China[R].NBERWorking Paper,2017.
[32]Zivin,J.G.,and M.Neidell.The Impact of Pollution on Worker Productivity[J].American Economic Review,2012,102(7):3652-3673.
(1)新闻来源新华网：全国40多城市出台招揽人才政策招才引智需量力而行（http：//www.xinhuanet.com/politics/2018-06/04/c_1122932607.htm）。
(1)He and Tian(2018）的文章对公司金融领域中，与创新问题的相关研究进行了极为详细的探讨，本文不再对企业创新的相关文献进行系统性回顾。
(2)资料来源：https：//epi.envirocenter.yale.edu/epi-countries。
(1)PM2.5对人类健康影响的详细数据，可参照世界卫生组织2013年发布的《世界卫生统计报告》，该报告收录了190多个国家和地区详细的统计数据。
(2)“伦敦烟雾事件”是20世纪十大环境公害事件之一。1952年12月4-9日，英国伦敦上空大量废气难以扩散，空气污染物浓度持续上升，发病率和死亡率急剧增加。据官方信息统计，在短短4天时间里，丧生者达4000多人，事件过后的两个月内有8000多人相继死亡。
(1)在稳健性检验中，也使用了不删除重名发明人以及使用其他方法识别发明人重名问题的样本进行检验，回归结果与本文结论保持一致。
(2)从数据结构而言，可以识别出发明人流向的企业是否为非上市企业以及非上市企业所在的城市，但是由于非上市企业的数据极为有限，无法获得相应的数据进行实证检验，所以在这部分的实证分析中，本研究的样本仅限于发明人在上市公司之间的流动。
(1)具体变量定义请参见《中国工业经济》网站（http：//www.ciejournal.org）附件。
(1)具体描述性统计表请参见《中国工业经济》网站（http：//www.ciejournal.org）附件。
(1)本文也使用中国家庭追踪调查（China Family Panel Studies,CFPS）中的相关调查数据进行稳健性检验。
(1)稳健性检验的结果请参见《中国工业经济》网站（http：//www.ciejournal.org）附件。
(2)具体资料详见2016年10月20日京津冀及周边地区大气污染防治协作小组召开第七次会议（http：//www gov.cn/xinwen/2016-10/21/content_5122583.htm）。
(1)最为理想的情况是能够找到每一个发明人具体的薪酬数据并进行控制，但出于数据可得性的限制，本文使用企业研发人员的薪酬水平和企业职工的薪酬水平进行替代。
[2]陈诗一,陈登科.雾霾污染、政府治理与经济高质量发展[J].经济研究,2018,(2):20-34.
[3]陈硕,陈婷.空气质量与公共健康:以火电厂二氧化硫排放为例[J].经济研究,2014,(8):158-169.
[4]姜春海,宋志永,冯泽.雾霾治理及其经济社会效应:基于“禁煤区”政策的可计算一般均衡分析[J].中国工业经济,2017,(9):44-62.
[5]李蕾蕾,盛丹.地方环境立法与中国制造业的行业资源配置效率优化[J].中国工业经济,2018,(7):136-154.
[6]黎文靖,郑曼妮.空气污染的治理机制及其作用效果---来自地级市的经验数据[J].中国工业经济,2016,(4):93-109.
[7]罗知,李浩然.“大气十条”政策的实施对空气质量的影响[J].中国工业经济,2018,(9):136-154.
[8]申宇,赵玲,吴风云.创新的母校印记:基于校友圈与专利申请的证据[J].中国工业经济,2017,(8):157-174.
[9]石庆玲,郭峰,陈诗一.雾霾治理中的“政治性蓝天”---来自中国地方“两会”的证据[J].中国工业经济,2016,(5):40-56.
[10]肖挺.环境质量是劳动人口流动的主导因素吗?---“逃离北上广”现象的一种解读[J].经济评论,2016,(2):3-17.
[11]王木之,李丹.资本市场中的媒体公关:来自我国企业IPO的经验证据[J].管理世界,2016,(7):121-136.
[12]张文勤,石金涛,刘云.团队成员创新行为的两层影响因素:个人目标取向与团队创新气氛[J].南开管理评论,2010,(5):22-30.
[13]Almeida,P.,A.Phene,and S.Li.The Influence of Ethnic Community Knowledge on Indian Inventor Innovativeness[J].Organization Science,2015,26(1):198-217.
[14]Audia,P.G.,and J.A.Goncalo.Past Success and Creativity over Time:A Study of Inventors in the Hard Disk Drive Industry[J].Management Science,2007,53(1):1-15.
[15]Bassi,A.,R.Colacito,and P.Fulghieri.An Experimental Analysis of Weather and Risk Attitudes[J].Review of Financial Studies,2013,26(7):1824-1852.
[16]Chen,Y.,A.Ebenstein,M.Greenstone,and H.Li.Evidence on the Impact of Sustained Exposure to Air Pollution on Life Expectancy from China’s Huai River Policy[J].Pnas,2013,110(32):12936-12941.
[17]Chen,Y.,R.Ge,J.Pittman,M.Veeraraghavan,and L.Zolotoy.Obscured by Clouds:The Impact of Weather-Induced Managerial Mood on Corporate Tax Avoidance[R].SSRN Working Paper,2017.
[18]Chen,Y.,P.H.Hsu,E.Podolski,and M.Veeraraghavan.In the Mood for Creativity:Weather-Induced Mood,Inventor Productivity,and Firm Value[R].SSRN Working Paper,2018.
[19]Dehaan,E.,J.Madsen,and J.D.Piotroski.Do Weather-Induced Moods Affect the Processing of Earnings News[J].Journal of Accounting Research,2017,55(3):509-550.
[20]Ebenstein,A.,V.Lavy,and S.Roth.The Long-Run Economic Consequences of High-Stakes Examinations:Evidence from Transitory Variation in Pollution[J].American Economic Journal Applied Economics,2016,8(4):36-65.
[21]Hasanefendic,S.,J.M.Birkholz,H.Horta,and P.V.D.Sijde.Individuals in Action:Bringing about Innovation in Higher Education[J].European Journal of Higher Education,2017,7(2):101-119.
[22]He,J.,and X.Tian.Finance and Corporate Innovation:A Survey[J].Asia-Pacific Journal of Financial Studies,2018,47(2):165-212.
[23]He,Z.L.,T.W.Tong,Y.Zhang,and W.He.A Database Linking Chinese Patents to China’s Census Firms[J].Scientific Data,2018,5(5):180-142.
[24]Higdon,R.,G.Van Belle,and E.Kolker.The Effect of Pollution on Labor Supply:Evidence from a Natural Experiment in Mexico City[J].Journal of Public Economics,2015,122(10):68-79.
[25]Isen,A.,M.Rossin-Slater,and R.Walker.Every Breath You Take Every Dollar You Make:The Long-Term Consequences of the Clean Air Act of 1970[R].NBER Working Papers,2017,105(1):1-14.
[26]Jesus,S.N.,C.L.Rus,W.Lens,and S.Imaginario.Intrinsic Motivation and Creativity Related to Product:A Meta-Analysis of the Studies Published between 1991-2010[J].Creativity Research Journal,2013,25(1):80-84.
[27]Kapoor,R.,and K.Lim.The Impact of Acquisitions on the Productivity of Inventors at Semiconductor Firms:A Synthesis of Knowledge-Based and Incentive-Based Perspectives[J].Academy of Management Journal,2007,50(5):1133-1155.
[28]Liu,H.,and A.Salvo.Severe Air Pollution and Child Absences When Schools Can Respond[R].SSRNWorking Paper,2018.
[29]Liu,T.,Y.Mao,and X.Tian.The Role of Human Capital:Evidence from Patent Generation[J].Kelley School of Business Research Paper,2017.
[30]Peters,F.S.,and A.F.Wagner.The Executive Turnover Risk Premium[J].Journal of Finance,2014,69(4):1529-1563.
[31]Shuai,C.,P.Oliva,and Z.Peng.The Effect of Pollution on Migration:Evidence from China[R].NBERWorking Paper,2017.
[32]Zivin,J.G.,and M.Neidell.The Impact of Pollution on Worker Productivity[J].American Economic Review,2012,102(7):3652-3673.
(1)新闻来源新华网：全国40多城市出台招揽人才政策招才引智需量力而行（http：//www.xinhuanet.com/politics/2018-06/04/c_1122932607.htm）。
(1)He and Tian(2018）的文章对公司金融领域中，与创新问题的相关研究进行了极为详细的探讨，本文不再对企业创新的相关文献进行系统性回顾。
(2)资料来源：https：//epi.envirocenter.yale.edu/epi-countries。
(1)PM2.5对人类健康影响的详细数据，可参照世界卫生组织2013年发布的《世界卫生统计报告》，该报告收录了190多个国家和地区详细的统计数据。
(2)“伦敦烟雾事件”是20世纪十大环境公害事件之一。1952年12月4-9日，英国伦敦上空大量废气难以扩散，空气污染物浓度持续上升，发病率和死亡率急剧增加。据官方信息统计，在短短4天时间里，丧生者达4000多人，事件过后的两个月内有8000多人相继死亡。
(1)在稳健性检验中，也使用了不删除重名发明人以及使用其他方法识别发明人重名问题的样本进行检验，回归结果与本文结论保持一致。
(2)从数据结构而言，可以识别出发明人流向的企业是否为非上市企业以及非上市企业所在的城市，但是由于非上市企业的数据极为有限，无法获得相应的数据进行实证检验，所以在这部分的实证分析中，本研究的样本仅限于发明人在上市公司之间的流动。
(1)具体变量定义请参见《中国工业经济》网站（http：//www.ciejournal.org）附件。
(1)具体描述性统计表请参见《中国工业经济》网站（http：//www.ciejournal.org）附件。
(1)本文也使用中国家庭追踪调查（China Family Panel Studies,CFPS）中的相关调查数据进行稳健性检验。
(1)稳健性检验的结果请参见《中国工业经济》网站（http：//www.ciejournal.org）附件。
(2)具体资料详见2016年10月20日京津冀及周边地区大气污染防治协作小组召开第七次会议（http：//www gov.cn/xinwen/2016-10/21/content_5122583.htm）。
(1)最为理想的情况是能够找到每一个发明人具体的薪酬数据并进行控制，但出于数据可得性的限制，本文使用企业研发人员的薪酬水平和企业职工的薪酬水平进行替代。