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科斯：企业的性质（英文版）TheNatureoftheFirm(1937)R.H.COASEEconomictheoryhassufferedinthepastfromafailuretostateclearlyitsassumption.Economistsinbuildingupatheoryhaveoftenomittedtoexaminethefoundationsonwhichitwaserected.Thisexaminationis,however,essentialnotonlytopreventthemisunderstandingandneedlescontroversywhicharisefromalackofknowledgeoftheassumptionsonwhichatheoryisbased,butalsobecauseoftheextremeimportanceforeconomicsofgoodjudgmentinchoosingbetweenrivalsetsofassumptions.Forinstance,itissuggestedthattheuseoftheword“firm”ineconomicsmaybedifferentfromtheuseofthetermbythe“plainman.”'Sincethereisapparentlyatrendineconomictheorytowardsstartinganalysiswiththeindividualfirmandnotwiththeindustry,2itisailthemorenecessarynotonlythatacleardefinitionofthewordfirmshouldbegivenbutthatitsdifferencefromafirmintherealworld,ifitaists,shouldbemadeclear.Mrs.Robinsonhassaidthatthetwoquestionstobeaskedofasetofassumptionsineconomicsare:Aretheytractable?and:Dotheycorrespondwiththerealworld?3Though,asMrs.Robinsonpointsout,Moreoftenonesetwillbemanageableandtheotherrealistic,yettheremaywellbebranchesoftheorywhereassumptionsmaybebothmanageableandrealistic.Itishopedtoshowinthefollowingpaperthatadefinitionofafirmmaybeobtainedwhichisnotonlyrealisticinthatitcorrespondstowhatismeantbyafirmintherealworld,butistractablebytwoofthemostpowerfulinstrumentsofeconomicanalysisdevelopedbyMarshall,theideaofthemarginandthatofsubstitution,togethergivingtheideaofsubstitutionatthemargin.4Ourdefinitionmust,ofcourse,relatetoformalrelationswhicharecapableofbeingconceivedexactly.5IItisconvenientif,insearchingforadefinitionofafirm,wefirstconsidertheeconomicsystemasitisnormallytreatedbytheeconomist.LetusconsiderthedescriptionoftheeconomicsystemgivenbySirArthurSalter6.“Thenormaleconomicsystemworksitself.Foritscurrentoperationitisundernocentralcontrol,itneedsnocentralsurvey.Overthewholerangeofhumanactivityandhumanneed,supplyisadjustedtodemand,andproductiontoconsumption,byaprocessthatisautomatic,elasticandresponsive.”Aneconomistthinksoftheeconomicsystemasbeingco-ordinatedbythepricemechanismandsocietybecomesnotanorganizationbutanorganism.7Theeconomicsystem“worksitself.Thisdoesnotmeanthatthereisnoplanningbyindividuals.Theseexerciseforesightandchoosebetweenalternatives.ThisisnecessarilysoifthereistobeorderinthesystemButthistheoryassumesthatthedirectionofresourcesisdependentdirectlyonthepriceTheNatureoftheFirm(1937)R.H.COASE2mechanism.Indeed,itisoftenconsideredtobeanobjectiontoeconomicplanningthatitmerelytriestodowhatisalreadydonebythepricemechanism.8SirArthurSalter'sdescription,however,givesaveryincompletepictureofoureconomicsystem.Withinafirm,thedescriptiondoesnotfitatall.Forinstance,ineconomictheorywefindthattheallocationoffactorsofproductionbetweendifferentusesisdeterminedbythepricemechanism.ThepriceoffactorAbecomeshigherinXthaninY.Asaresult,AmovesfromYtoXuntilthedifferencebetweenthepricesinXandY,exceptif50farasitcompensatesforotherdifferentialadvantages,disappears.Yetintherealworld,wefindthattherearemanyareaswherethisdoesnotapply.IfaworkmanmovesfromdepartmentYtodepartmentX,hedoesnotgobecauseofachangeinrelativeprices,butbecauseheisorderedtodo50.Thosewhoobjecttoeconomicplanningonthegroundsthattheproblemissolvedbypricemovementscanbeansweredbypointingoutthatthereisplanningwithinoureconomicsystemwhichisquitedifferentfromtheindividualplanningmentionedaboveandwhichisakintowhatisnormallycalledeconomicplanning.Theexamplegivenaboveistypicalofalargesphereinourmodemeconomicsystem.0fcourse,thisfacthasnotbeenignoredbyeconomists.Marshallintroducesorganizationasafourthfactorofproduction;J.B.Clarkgivestheco-ordinatingfunctiontotheentrepreneur;ProfessorKnightintroducesmanagerswhoco-ordinate.AsD.H.Robertsonpointsout,wefindislandsofconsciouspowerinthisoceanofunconsciousco-operationlikelumpsofbuttercoagulatinginapailofbuttermilk.”9Butinviewofthefactthatitisusuallyarguedthatco-ordinationwillbedonebythepricemechanism,whyissuchorganizationnecessary?Whyaretheretheseislandsofconsciouspower?Outsidethefirm,pricemovementsdirectproduction,whichiscoordinatedthroughaseriesofexchangetransactionsonthemarket.Withinafirm,thesemarketstransactionsareeliminatedandinplaceofthecomplicatedmarketstructurewithexchangetransactionsissubstitutedtheentrepreneurco-ordinator,whodirectsproduction.10Itisclearthatthesearealternativemethodsofco-ordinatingproduction.Yet,havingregardtothefactthatifproductionisregulatedbypricemovements,productioncouldbecarriedonwithoutanyorganizationatall,wellmightweask,whyisthereanyorganization?0fcourse,thedegreetowhichthepricemechanismissupersededvariesgreatly.Inadepartmentstore,theallocationofthedifferentsectionstothevariouslocationsinthebuildingmaybedonebythecontrollingauthorityoritmaybetheresultofcompetitivepricebiddingforspace.IntheLancashirecottonindustry,aweavercanrentpowerandshop-roomandcanobtainloomsandyarnoncredit.11Thisco-ordinationofthevariousfactorsofproductionis,however,normallycarriedoutwithouttheinterventionofthepricemechanism.Asisevident,theamountof“vertical”integration,inv