技术创新视角下企业
寻租理论分析
Analysis of a Rent-Seeking Theory from
Enterprise Technology Innovation
一、寻租的涵义及其实现形式
寻租（Rent seeking），占有
或获取具有固定供给量的生产要素
的要求权的努力，即寻求直接非生
产性利润(Directly Unproductive
Profit-seeking)的活动。
1.
Definition of Rent seeking
Rent
seeking
generally
implies
the
extraction
of
uncompensated value from others without making any
contribution to productivity, such as by gaining control of
land and other pre-existing natural resources, or by
imposing burdensome regulations or other government
decisions that may affect consumers or businesses.
寻租与正常寻利的区别
寻利（Profit seeking），即是在
正常的市场秩序下，人们根据自己的
资本、能力和机会所从事的利益最大
化努力，其结果是能够带来社会福利
的改善。
寻租（Rent seeking），占有或获
取具有固定供给量的生产要素的要求
权的努力，即寻求直接非生产性利润
(Directly Unproductive Profitseeking)的活动。
Rent seeking is different from profit seeking- it defined as
Directly Unproductive Profit-seeking
美国明尼苏达大学教授安•克鲁格在《寻租社会的政治经
济学》一文中提出:“在多数市场导向的经济中，政府对经济
活动的管制比比皆是。这些管制导致各种形式的租金，以及
人们经常为这些租金而展开竞争。在某些场合，这种竞争是
完全合法的。在另一些场合，寻租采取其他形式，如贿赂、
腐败、走私和黑市”
“In many market-oriented economies, government restrictions
upon economic activity are pervasive facts of life. These
restrictions give rise to rents of a variety of forms, and people
often compete for the rents. Sometimes, such competition is
perfectly legal. In other instances, rent seeking takes other
forms, such as bribery, corruption, smuggling, and black markets.”
---Anne O . Krueger
the political Economy of the rent-seeking society
二、技术创新的概念
技术创新
（Technology
Innovation），是指从
设想
研发
新产品或新工艺设想的
产生开始，经过研究与
发展、工程化、商业化
工程
生产，直至市场应用， 经济
化
取得良好经济收益的完 效益
整过程的一系列活动。
商业
化
2.
Definition of tech-innovation
The Technological Innovation is a concept
developed
within
the
scientific
field
of
innovation studies which serves to explain the
nature and rate of technological change.
technological innovation system
A Technological Innovation System can be
defined as ‘a dynamic network of agents interacting
in a specific economic/industrial area under a
particular institutional infrastructure and involved in
the
generation,
technology’
diffusion,
and
utilization
of
Seven system functions of tech-innovation
Entrepreneurial
Activities
Support from Advocacy
Knowledge
Coalitions
Development
Knowledge Diffusion /
Resource Mobilization
Market Formation
Knowledge Exchange
Guidance of the
Search
三、企业作为寻租主体时的主要类型
Major styles of enterprise as a Rent seeker
独立完善的寻租者（perfect rent seeker）
部分成功的寻租者（partial-win rent seeker）
完全失败的寻租者（perfect failure rent seeker）
部分失败的寻租者（partial failure rent seeker）
超赢的寻租者（super-win rent seeker）
四、企业技术创新过程中寻租行为的成因
4.
Causes of enterprise rent-seeking under techinnovation
(1)The Stimulation of Profit Maximizatio
(2)To control the costs of R&D
(3)Monopoly privilege
Cost of rent-seeking
We set an example of thieves, whom we treat as rentseekers.
1) Cost of Theft=C-C1+L
The cost of theft to society is the loss to the victim (C),
minus the gain to the thief (C1), plus the opportunity cost
to the thief of stealing (L).
2) P=MR=MC
In perfect competition resources earn the same return in
all employments and the thief earns zero economic profit
so L=C. Profit from investment of R&D equal marginal
revenue (MR) and marginal cost (MC), it means that all
investment for R&D transfer to profit.
3) P＞MR=MC
Technology renew maximization is required by entire
industry. when there is rent-seeker , Profit from
investment of R&D greater than marginal revenue (MR)
and marginal cost (MC)
五、寻租行为对企业技术创新所造成的影响
在传统企业理论中(很大程度
上忽略了均衡的条件以及企业家个
人行为)，寻租行为的出现会导致
均衡点（Equilibrium）左移，均
衡产量（Equilibrium quantity）
下降，消费者剩余（Consumer
surplus）的区域受到挤压，同时
生产者剩余也会减少，从而对社会
福利（Welfare）造成损害，对整
个社会的技术创新也产生破坏。
5. Affection of rent-seeking for techinnovation
According to the traditional economic enterprise theory,
Equilibrium will move left under the force of rent-seeking.
Equilibrium quantity will be reduced. Consumer surplus
area will be Extrusion. It will harm for the welfare of
entire society.
六、企业技术创新过程中寻租行为的负效应分析
负
效
应
(一) 企业进行技术创新受
到寻租行为的抑制
(二)
整个产业的升级受
到寻租行为的影响
(三) 政府调控的效率收到
寻租行为的影响而下降
6.
Negative effects
Tech-innovation will be inhibited
Harm for the Upgrading of Industrial Structure
Efficiency of government regulation will be reduced
Critical point: Rent-seeking and Needham puzzle
谢 谢！
Thank you