南京大学西方社会学理论讲义(成伯清)

西方社会学理论课程学习目标•社会学洞察力（sociological insight）•社会学想象力（sociological imagination）•社会学传统（the sociological tradition）西方社会学理论的叙述框架•人物 (the thinkers, masters)•流派 (the systems, the schools, the isms)•观念 (the ideas, the elements of systems)•主题 (the themes, the leitmotifs)以现代性为主线
(sociology=the study of modernity) the problematics of sociology is the project of modernity•传统———现代性———后现代性经典大师主要流派核心主题•经典社会学家侧重于解释和诊断从传统到现代的转变机制及其问题（宏大历史叙事与问题取向）（三位一体与三大神话）；•现代社会学家侧重于完善解释现代社会的理论体系（学科化、学院化与范式之争）；•当代社会学家侧重于新现实的探索与社会学本身的重新定位(后现代性与否思社会科学)。

西方现代性的形成发展西方现代性形成过程中的关键事件：•欧洲中古后期城市的兴起（11-13C）---自治•文艺复兴运动（14-15C）----“人的发现”•海外探险及殖民主义（15-19C）----“世界的发现”•资本主义（14-20C）•民族国家（16C）•科学革命（17C）•启蒙运动（18C）：a set of ideas•政治革命（18C）•工业革命（18-19C）西方与其他（the west and the rest）社会学理论中的东方主义（orientalism）社会学的起源孔孟之争Montesquieu(1689-1755):empiricismComte(1798-1857):order and progress社会学革命（sociological revolution）与时代精神（zeitgeist）社会学谱系的不断重写不同的圣典化（canonization）策略Classic Masters•马克思 Karl Marx (1818-1883)•迪尔凯姆 Emile Durkheim (1858-1917)•齐美尔 Georg Simmel (1858-1918)•韦伯 Max Weber (1864-1920)迪尔凯姆（涂尔干）•主要著作：•《社会分工论》（1893）必读：第二版序言、第三卷第一章“失范的分工”•《社会学方法的准则》（1895）第一章“什么是社会事实”•《自杀论》（1897）Book Two:5, “失范型自杀”•《原始分类》（1903）•《宗教生活的基本形式》（1912）“导言”、第二卷第七章•基本关怀：•现代世界中共同道德力量的衰落The declining strength of the common morality in the modern world迪尔凯姆（涂尔干）•核心概念•社会事实(social facts)：Durkheim•社会团结(social solidarity)•失范(anomie)Homo duplex (the duality of human nature)迪尔凯姆（涂尔干）•自杀(suicide)为何研究自杀：自杀的增多乃现代社会病态之体现;自杀乃personal &private之事，若能在此最为不利的情况下证明集体生活仍然支配着个人的命运，岂不妙哉!Durkheim根据原因来划分类型:integration: lowegoistic suicide（利己型自杀）(整合) high altruistic suicide（利他型自杀）regulation: lowanomic suicide(失范型自杀)(管制) high fatalistic suicide(宿命型自杀)Integration refers to the degree to which collective sentiments are sharedRegulation refers to the degree of external constraint on people.迪尔凯姆（涂尔干）•Religion: God or Society?•The sacred and the profane•Beliefs, rites,church:A religion is a unified system of beliefs and practices which unite into onesingle moral community called a church, all those who adhere to them.•“宗教力量非他，乃氏族之集体和莫名力量耳”•Collective effervescence•Religion is society becoming conscious of itself迪尔凯姆（涂尔干）•Morality:•现代社会的苦恼，并不集中于特定的阶级，而是普遍存在于整个社会。

“资本家忧心如焚，工人则不满和愤怒”•社会问题不是经济问题，而是道德问题。

组织起来，提高觉悟，将个人融合于具有道德权威的集体•调整现代工业失范状态最有限的手段是市民社会中的职业联合体（occupational associations）•道德教育的要素：纪律（discipline）精神对社会群体的依恋（attachment to group）自主（a sense of autonomy）或知性精神:willingly accepted by virtue of enlightened assent韦伯•主要著作：•《新教伦理与资本主义精神》（1904-5）（必读：导论、第五章“禁欲主义与资本主义精神”）•《经济与社会》（1922）（社会学的基本概念）•《学术生涯与政治生涯》（1918）•《儒教与道教》（1916）（“导论”，“结论”）•《民族国家与经济政策》•《韦伯政治著作选》（On Socialism）•基本关怀：•西方文明的理性化（rationalization）（世界历史进程？）核心概念：•理解(verstehen)Understanding, interpretation,explanation•理想类型(ideal type)"An ideal type is formed by the one-sided accentuation of one or more points of view and by the synthesis of a great many diffuse, discrete, more or lesspresent and occasionally absent concrete individual phenomena, which arearranged according to those one-sidedly emphasized viewpoints into aunified analytical construct. . . . In its conceptual purity, this mentalconstruct . . . cannot be found empirically anywhere in reality. It is a utopia" . •价值(values)•Value-free/neutrality, value relevance韦伯•社会行动(social action)：•工具理性行动(instrumentally rational)•价值理性行动(value-rational)•情感性行动(a ffectual/emotional)is determined by the emotional state of the actor.•传统性行动(traditional)is determined by the actor’s habitual and customary ways of behaving.•社会分层（social stratification）Multidimensional:economic order Classsocial order statuspolitical order party•权威类型（authority）：•法理型权威(rational-legal)科层制•传统型权威(traditional)家长制•感召型权威(charismatic，克理斯玛)•理性化(rationalization)•实用理性，理论理性，实质理性，形式理性•社会的麦当劳化（McDonaldization）•"Not ideas, but material and ideal interests, directly govern men's conduct. Yet very frequently the 'world images' that have been created by 'ideas' have, like switchmen, determined the tracks along which action has been pushed by the dynamic ofinterest"•宗教与资本主义的崛起•新教伦理与资本主义精神选择性亲合（elective affinity）意外后果（unintended consequences）•中国的宗教与资本主义韦伯论题（Weber thesis）的局限齐美尔•主要著作：•《论社会分化》（1890）•《社会学：社会交往形式研究》（1908）•《社会学的基本问题》（1917）•《货币哲学》（1900）•基本关怀：•现代性的诊断（成伯清：《格奥尔格·齐美尔：现代性的诊断》，1999年）核心概念：•社会互动（social interaction）•形式社会学（formal sociology）：•社会几何学(social geometry)数量(number)二人关系（dyad）& 三人关系（triad）距离(distance)•社会类型(social types)•穷人（the poor）•外来人（the stranger，异乡人，陌生人）•社会形式(Social forms)支配-从属（superordination-subordination）•Subordination under an individuala pluralitya principle•文化悲剧（cultural tragedy）•客观文化与主观文化(objective vs. subjective)•货币哲学•最纯粹的工具形式变为目的本身•一切归诸how much，量化，还原•理性、计算的性格•非人格化，物化社会学的专业化与学院化•两次世界大战与社会学中心的转移从欧洲到美国美国社会学重镇的迁移芝加哥学派的衰落常春藤联盟的崛起美国社会学铁三角：Parsons-Merton-Lazarsfeld现代主要流派•功能主义（functionalism）•Parsons, Merton•冲突理论（conflict theory）•Dahrendorf, Coser•交换理论（exchange theory）•Homans, Blau•符号互动论（symbolic interactionism）功能主义帕森斯（Talcott Parsons，1902-1979）的主要观点：——系统或抽象功能主义•意愿行动理论（voluntaristic theory of action）：规范性取向（normative orientation）行动者(actor)----------可能的手段-----------目标(end)情境 situation（conditions、means）功能主义•模式变项（pattern variables）•普遍主义-特殊主义(universalism-particular ism)•先赋-自致(ascription-achievement)•情感性-情感中立性(affectivity-affective neutrality)•专一性-扩散性(specificity-diffuseness)•自我取向-集体取向(Self-collectivity)源于Tonnies的二分（dichotomy）：Gemeinschaft与Gesellschaft更早Maine: status society vs. contract society功能主义•AGIL公式任何系统都需满足四个要求，且由不同的子系统来承担相应功能：•A：adaptation 适应行为有机体•G：goal-attainment目标达成人格系统•I：integration 整合社会系统•L：latency 维模文化系统A•Adaptation (A). Each system exists in an environment, and must be able to adapt to this environment. In the process of adaptation, the environment is also affected and may be adapted to the society. This is the mobilization of resources so that the system can survive and that things can be done to meet goals of the system.G•Goal Attainment (G). Each system has certain purposes associated with it. The goals of the system must be defined, means of attempting to achieve these goalsmust be laid out, and then these goals must be achieved. Within the social system, the polity (political sphere and government) is an important aspect of this, setting and altering the goals for the society as a whole, and mobilizing actors andresources to that end.I•Integration (I). This is the means by which social relationships, and interrelationships among units or groups, are regulated. At the level of society as a whole, there are a variety of institutions that do this. Religion, education, themedia, the legal structures – police and courts – all play a role. ( societalcommunity). Where strains are great, there may be a need for social control, formal and informal sanctions, or discipline to enforce order.L•Latency (L) or pattern maintenance (P). also refers to this as the cultural-motivational system. For Parsons, "All institutionalization involves common moral as well as other values” . The organizations and roles that perform latent functions can be regarded as those that furnish, maintain, and renew both the motivation of individuals and the cultural patterns that create and sustain this motivation. Parsons refers to these as fiduciary, that is, founded on trust. At the level of the socialsystem, these are schools, educational institutions, and the major institution that is concerned with the latent function is kinship and family or other forms of personal relationships.Social System• A social system consists in a plurality of individual actors interacting with each other in a situation which has at least a physical or environmental aspect, actorswho are motivated in terms of a tendency to the "optimization of gratification" andwhose relation to their situations, including each other, is defined and mediated in terms of a system of culturally structured and shared symbols (Parsons, 1951, pp. 5-6).功能主义•进化变迁范式（a paradigm of evolutionary change）•分化（differentiation）•适应力提升（adaptive upgrading）•吸纳（inclusion）•价值普遍化（value generalization）发展性突破（developmental breakthrough）进化三阶段：primitive, intermediate, modern功能主义默顿（Robert K. Merton,1910-2003）：——经验功能主义“社会学先生”中层理论（middle-range theory,中程理论）功能分析范式（functional analysis）：正功能、反功能、无功能（eu-/ dys-/non）显功能、潜功能（manifest-/ latent-）功能替代（functional substitutes）Theories of the middle range•Sociological theory: logically interconnected sets of propositions from which empirical uniformities can be derived.•Theories of the middle range: theories that lie between the minor but necessary working hypotheses that evolve in abundance during day-to-day research and the all-inclusive systematic efforts to develop a unified theory that will explain all the observed uniformities of social behaviour, social organization and social change.A paradigm of functional analysis• 1. The item(s) to which functions are imputed.a standardized(patterned and repetitive) item• 2. Concepts of subjective dispositions (motives, purposes)• 3. Concepts of objective consequencesA paradigm of functional analysis•Functions are those observed consequences which make for the adaptation or adjustment of a given system; and dysfunction, those observed consequenceswhich lessen the adaptation or adjustment of the system. ---The empiricalpossibility of nonfunctional consequences.A paradigm of functional analysis•Manifest functions are those objective consequences contributing to the adjustment of adaptation of the system which are intended and recognized byparticipants in the system.•Latent functions,correlatively, being those which are neither intended nor recognized.A paradigm of functional analysis• 4. Concepts of the unit subserved by the function• 5. Concepts of functional requirements (needs, prerequisites)• 6. Concepts of the mechanisms through which functions are fulfilled.•7. Concepts of functional alternatives(functional equivalents or substitutes)A paradigm of functional analysis•8. Concepts of structural context (or structural constraint) :•The interdependence of the elements of a social structure limits the effective possibility of change or functional alternatives.•9. Concepts of dynamics and changeA paradigm of functional analysis•10. Problems of validation of functional analysis•It requires a system review of the possibility and limitations of comparative (cross-cultural and cross-group) analysis.•11. Problems of the ideological implications of functional analysis.功能主义•自我实现的预言（self-fulfilling prophecy）•unintended consequences of social action•越轨行为（deviance）适应模式文化目标制度化手段遵从 + +创新 + -仪式主义 - -隐退主义 - -冲突理论达伦多夫（Ralph Dahrendorf,1929~）——辩证冲突论•“走出乌托邦”•有关社会的冲突模型（conflict model of society）揭示社会的另一方面强调冲突、强制、变迁（conflict, coercion, constraint, change），而非共识、均衡和稳定（consensus, coherence, equilibrium, stability，integration, harmony）冲突理论•“后资本主义社会”•资本的解体（the decomposition of capital）•劳动力的解体（labor）•新中间阶级的发展（new middle class）•社会流动的增长（social mobility）•平等程度的提高（the growth of equality）冲突理论•社会冲突的根源：•权威分配的不平等——结构性产生的冲突（structurally generated conflict）ICA：强制性协作团体（imperatively coordinated association）•社会冲突的形成：利益，潜在利益，显现利益准群体（quasi group），利益群体，冲突群体利益群体形成的条件（技术、政治、社会、心理）冲突理论•社会冲突的程度•强度（intensity）影响因素：冲突关系的重叠程度权威关系与其他报酬分配的相关程度社会流动的程度•烈度（violence）影响因素：社会经济的剥夺程度冲突的调节程度冲突理论科塞（Lewis Coser,1913-2003）——theories of conflict•两种变迁•系统内的变迁（change within a system）缓慢的、边缘性的和调适性的变迁更为激进和彻底的变迁：新体制，新的政治体系决定何种变迁最有可能发生的主要社会结构性变量，是控制机制的灵活性•越是僵化，越有可能导致系统的变迁；•越是灵活，越有可能导致系统内的变迁•冲突具有重要的功能•解决冲突的努力可能导致整合冲突理论•冲突容许群体调整自身的结构•复兴现有的规范或者引入新的规范•冲突可以充当一种估量现有群体的相对力量的方式，从而强化或者调整权力的平衡•有助于在群体之间建立联盟•有助于维持群体边界•创造安全阀机制（safety-valve institutions）冲突理论•两种类型的冲突：realistic conflict vs. nonrealistic conflict•现实性冲突—手段—工具性—工具适用性—手段替代•非现实性冲突—目的—表意性—攻击满足感—对象替代其他因素：情感唤起，人格投入，意识形态等社会交换理论霍曼斯（George Homans,1910-1989 ）——行为主义交换论•“恢复人的地位”（Bringing men back in ）•经济人+心理学之鸽=经济鸽？•解释、演绎、还原的策略•基本概念社会交换理论•一般命题系统：•成功命题•刺激命题•价值命题•剥夺-满足命题•攻击-赞同命题•理性命题 (A = pV)Actor = a rational profit seekerPower-dependence relations•Richard Emerson (1925-1982)•“Power-dependence Relations”, American Journal of Sociology,1962,Vol. 27. • A depends upon B if he aspires to goals or gratifications whose achievement is facilitated by appropriate actions on B’s part.•Power resides implicitly in the other’s dependency.Power-dependence relations•Dependence (Dab). The dependence of actor A upon actor B is (1) directly proportional to A’s motivational investment in goals mediated by B, and(2)inversely proportional to the availability of those goals to A outside of the A-Brelation.Power-dependence relations•Power (Pab). The power of actor A over actor B is the amount of resistance on the part of B which can be potentially overcome by A.•Pab=Dba•Pba=Dab•Power advantage=Pab-PbaPower-dependence relations•How to reduce power advantage?•Cost reduction•Balancing operations•Cost reduction is a process involving change in values (personal, social, economic) which reduces the pains incurred in meeting the demands of a powerful other. Power-dependence relations•Balancing operations:•Pab=DbaV V•Pba=DabBalance can be restored either by an increase in Dab or by a decrease in Dba.Power-dependence relations•Four operations:• 1. If B reduces motivational investment in goals mediated by A;withdrawal• 2. If B cultivates alternative sources for gratification of those goals;extension of power network• 3. If A increases motivational investment in goals mediated by B;emergence of status• 4. If A is denied alternative sources for achieving those goals.coalition formationPower-dependence relations•Coalition formation•The organized group•Role-prescriptions•Group norms•Authority•Emergence of status•The extreme importance of the availability factor in dependency as a determinant of status position and the values employed in status ordering. 社会交换理论布劳（Peter Blau, 1918-2002）——结构交换论or dialectical exchange theory•Exchange and Power in Social Life, 1964•An important effort to theoretically integrate large- and small-scale sociological issues.•From elementary forms of behavior to complex social structure社会交换理论•从人际交换到社会结构到社会变迁个人之间的交换交易地位和权力的分化合法化和组织反抗和变迁•基本过程：吸引---竞争---分化---整合复杂社会结构中以规范和价值作为调节机制符号互动论•视角的重要性•New perspective means new reality•符号互动论作为一种视角的特点：•并不专注于个体及其人格特征，也不专注于社会结构或社会情境如何导致个体行动，而是专注于互动的性质，即个人之间发生的动态的社会活动。