关于国家间交易成本概念的一个思辨

白鹤

<p class="MsoNormal" style="MARGIN: 0cm 0cm 0pt"><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'"><font size="3">【内容提要】鉴于经济学家已经将交易的概念一般化了，即交易的实质是权利让渡，我们把国家间交易定位为国家权利的让渡。作为一种制度，国家主权使处于无政府状态的国际社会至少具有了一种最低限度的秩序，从而为国家权利的界定、行使与保障提供了可能。根据操作主权的维度，主权和产权一样具有可分解性，国家为换取更大的国家利益可能会让渡自己的部分国家权利。作为一种具备有限理性的行为主体，国家在权利让渡的过程中面临信息不对称，不得不因之付出成本。由于在无政府状态下缺乏对国家行为的有效约束，国家对外机会主义行为经常充斥于国际关系的各个领域，从而产生了显著的国家间交易成本。</font></span><span lang="EN-US"><br /></span><font size="3"><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">【关</span> <span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">键</span> <span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">词】交易成本</span><span lang="EN-US">/</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">国家间关系</span><span lang="EN-US">/</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">概念探讨</span></font><span lang="EN-US"><br /></span><font size="3"><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">【正</span> <span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">文】</span></font><span lang="EN-US"><br /><font size="3">????</font></span><font size="3"><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">从经济学说史上考察，交易成本的概念是由货币经济学在分析货币的价值时最早使用的。罗纳德</span><span lang="EN-US">·</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">科斯</span><span lang="EN-US">(Ronald Coase)</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">率先将交易成本的概念应用于制度分析，由此引发了现代经济学中的</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">新制度主义革命</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">。从</span><span lang="EN-US">20</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">世纪</span><span lang="EN-US">70</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">年代起，交易成本作为新制度经济学的一个核心概念，不但在经济学领域的相关研究中，而且在政治学等其他学科领域中也得到了日益广泛的应用。经过多年的发展，交易成本政治学</span><span lang="EN-US">(Transaction-Cost Politics, TCP)</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">现在已经积累了相当可观的文献。</span><span style="FONT-FAMILY: 宋体; mso-bidi-font-family: 宋体">①</span> <span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">作为政治学的一个分支领域，国际关系研究已经引入交易成本研究路径来解释既有理论所无法解释的某些经验现象，并且积累了一批具有相当学术价值的理论文献。这些文献分别涉及超国家结构、贸易自由化、殖民主义、安全合作和正式国际组织等问题。</span><span style="FONT-FAMILY: 宋体; mso-bidi-font-family: 宋体">②</span> <span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">但是在既有的理论文献中，几乎所有学者都是把交易成本作为现成的概念加以运用，而没有认真讨论交易成本概念从新制度经济学转移到国际关系研究中所面临的特殊难题及其解决途径，因而在立论的概念基础上还不牢靠。如何在概念上界定国家间交易成本，显然是一项具有重要学术价值的基础性工作。本文关于国家间交易成本概念的思辨，顺次沿着以下三个问题展开：第一，什么是国家间交易？第二，国家间交易何以可能？第三，国家间交易为什么会付出成本？</span></font><span lang="EN-US"><br /><font size="3">????</font></span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'"><font size="3">　　　　一　什么是国家间交易？</font></span><span lang="EN-US"><br /><font size="3">????</font></span><font size="3"><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">在国际关系理论文献中，</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">交易</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">作为一个特有概念的使用频率明显低于</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">合作</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">、</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">冲突</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">、</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">竞争</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">、</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">和平</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">、</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">战争</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">等其他表达国际互动的概念。在专门探讨国际交易的有限理论文献中，卡尔</span><span lang="EN-US">·</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">多伊奇</span><span lang="EN-US">(Karl Deutsch)</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">关于</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">交易分析</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">的著述最为引人注目。多伊奇认为，随着计算机在美国学术界的应用，世界各国的大量统计数据具有了处理的技术可行性。邮递、旅游、留学、移民、书籍、新闻、电讯和航空器等国际移动的数据资料反映了成千上万的个人所做出的决定的总和，显示了不同社会之间相互联系的程度。外交往来、条约、国际组织中的成员国地位、技术支持、官方援助和文化交流等数据资料则反映了政治领导人所做出的决定，显示了政府间联系的程度。此外，有关国家特点的数据资料，如有关国内经济、社会和政治结构的情况，虽然不属于交易的范围，但是显示了不同国家的相似性程度。</span><span style="FONT-FAMILY: 宋体; mso-bidi-font-family: 宋体">③</span> <span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">在此基础上，布鲁斯</span><span lang="EN-US">·</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">拉西特</span><span lang="EN-US">(Bruce Russett)</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">等学者进一步发展了对国际交易的研究。他们运用因素分析</span><span lang="EN-US">(factor analysis)</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">的方法确定了具有相关性的若干变量，然后根据这些变量分析处在不同区域中的几组国家以考察这些区域所具有的一体化特征。</span><span style="FONT-FAMILY: 宋体; mso-bidi-font-family: 宋体">④</span></font><font size="3"><span lang="EN-US"> <br />????</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">卡尔</span><span lang="EN-US">·</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">多伊奇所开辟的</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">交易分析</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">对当时的一体化研究具有重要的推进作用，但是这种分析路径的缺点也是显而易见的。例如，大多数数据是一个国家与世界上其他所有国家交换的总体数据，而不是两个国家相互交换的具体数据。又如，这种</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">交易分析</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">没有提供基本的理论或方法来区分不同类型的交易模式。</span><span style="FONT-FAMILY: 宋体; mso-bidi-font-family: 宋体">⑤</span> <span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">从严格的意义上说，多伊奇的</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">交易分析</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">并没有为国家间交易提供一个具有理论价值的概念框架，而且在社会间联系和政府间联系之间着重强调社会间联系的作用，因而不可能为我们对国家间交易的概念探讨提供直接的基础。</span></font><span lang="EN-US"><br /><font size="3">????</font></span><font size="3"><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">事实上，自亚当</span><span lang="EN-US">·</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">斯密讨论</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">分工的原由</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">开始，</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">交易</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">作为一个概念在经济学中就得到了广泛运用。斯密认为，产生诸多利益的分工并非人类智慧的结果，而是一种人类倾向缓慢进化的结果，</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">这种倾向就是互通有无，物物交换，互相交易</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">。</span><span style="FONT-FAMILY: 宋体; mso-bidi-font-family: 宋体">⑥</span> <span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">斯密指出了交易的一般涵义，</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">请给我以我所要的东西吧，同时，你也可以获得你所要的东西：这句话是交易的通义。</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-bidi-font-family: 宋体">⑦</span> <span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">旧制度经济学的代表人物约翰</span><span lang="EN-US">·</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">康芒斯</span><span lang="EN-US">(John Commons)</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">对</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">交易</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">的概念进行了进一步的抽象。康芒斯认为，交易包含</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">冲突、依存和秩序</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">三项原则，是经济分析的基本单位。交易，</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">不是实际</span><span lang="EN-US">‘</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">交货</span><span lang="EN-US">’</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">那种意义上</span><span lang="EN-US">‘</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">物品</span><span lang="EN-US">’</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">的交换，它们是个人与个人之间对物质的东西的未来所有权的让与和取得，一切取决于社会集体的业务规则。因此，这些权利的转移，必须按着社会的业务规则先在有关方面之间谈判，然后劳动才能生产，或者消费者才能消费，或者商品才会实际交给其他的人</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">。</span><span style="FONT-FAMILY: 宋体; mso-bidi-font-family: 宋体">⑧</span> <span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">作为新制度经济学的开创者，科斯拒绝了旧制度经济学的研究方法，但是接受了康芒斯把交易解释为权利让渡的思想。例如，他指出，从表面上看，</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">商人得到和使用的是实物</span><span lang="EN-US">(</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">一亩土地或一吨化肥</span><span lang="EN-US">)”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">，而实际上，他们是在</span><span lang="EN-US">“</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">行使一定</span><span lang="EN-US">(</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">实在</span><span lang="EN-US">)</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">行为的权力</span><span lang="EN-US">”</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">。</span><span style="FONT-FAMILY: 宋体; mso-bidi-font-family: 宋体">⑨</span> <span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">新制度经济学的另一位代表奥利佛</span><span lang="EN-US">·</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">威廉姆森</span><span lang="EN-US">(Oliver Williamson)</span><span style="FONT-FAMILY: 宋体; mso-ascii-font-family: 'Times New Roman'; mso-hansi-font-family: 'Times New Roman'">则明确表示赞同康芒斯把交易作为基本分析单位的主张。</span><span style="FONT-FAMILY: 宋体; mso-bidi-font-family: 宋体">⑩</span></font><font size="3"><span lang="EN-US"></span></font></p>

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