Transcript 馬克思

社會階層化理論
古典理論
1
最早的人類議題之一
• 從有文字歷史以來（人類開始用文字紀錄自己的
情境），不平等及社會區隔就一直是歷史的重要
關懷。
• 以色列的先知
• Aristotle："It is thus clear that there are by
nature free men and slaves, and that servitude
is agreeable and just for the latter. . . . Equally,
the relation of the male to the female is by
nature such that one is superior and the other is
dominated. . . ."
2
近代理論的誕生
• Age of Enlightenment: Locke, Rousseau,
and Montesquieu.
• After revolution: Bonald, Maistre, and
Saint-Simon
• with these earlier philosophers, the nature
of human inequalities provided the central
question for the new science called
sociology.
3
本章目的
• We will examine the major assumptions
behind these theories, as well as show the
roots of major contemporary theories of
social stratification
4
COMPETING PARADIGMS IN THE STUDY
OF SOCIAL STRATIFICATION
• Scientists must, to some degree, work
from a set of pre-scientific and untested
assumptions about the phenomena under
study.
5
典範及典範預設
• As Albert Einstein put it, "For the creation of a
theory the mere collection of recorded
phenomena never suffice--there must always be
added a free invention of the human mind that
attacks the heart of the matter"
• Einstein went further by rejecting the idea that
"facts by themselves can and should yield
scientific knowledge without the free conceptual
construction".
6
典範及典範預設
• We can call the general images of reality
(which shape more specific theories)
paradigms, and the assumptions about
reality within paradigms can be called
paradigm assumptions.
7
two points of caution
• 1. Although we will see that values and politically
related assumptions at times have shaped or
influenced theories of social stratification, we do
not find only political debates in the study of
social stratification.
• There is a reality out there, however complex
and many-sided it may be, that these theories
are struggling to understand. Just as the
physical scientist must attempt to understand his
or her subject matter by making certain untested
or even untestable assumptions, so must the
social scientist.
8
two points of caution
• The struggle to understand social
phenomena such as inequality is not only
a scientific endeavor; it also has a basis in
class or group interests. The advantaged
classes, and especially elites, have had
(and continue to have) an interest in
shaping the understanding of social
stratification so that this understanding
does not threaten their interests in the
status quo.
9
two points of caution
• Because the upper classes have usually
had the means to make their view of social
phenomena the accepted view (because
of their free time to speculate and write,
because of their influence over religion
and education, and because of their ability
to reward or punish social thinkers), the
upper-class view of inequality has usually
(although by no means always) been the
dominant view.
10
two points of caution
• 2. We cannot ask whether a paradigm is
right or wrong, true or false. Rather, we
must ask whether a paradigm is useful or
less useful in answering specific questions
about the subject matter.
11
two points of caution
• All of the paradigms and general theories
outlined in the following lead us to some
important insights about the nature of social
stratification.
• But, depending on the questions asked, some
may be more useful than others.
• If in the study of social stratification we are most
concerned with the question of who gets what,
and why, it is increasingly recognized in
sociology that some type of conflict theory will be
able to supply the most useful answers.
12
Typology of stratification paradigms
• Our typology of stratification paradigms is
constructed by combining two divergent
sets of paradigm assumptions:
• Model assumptions (functional vs. conflict)
• Value assumptions (conservative vs.
radical)
13
Two main macrolevel general
theories or paradigms
• functional and conflict theories of society:
• They are both attempts at answering the
most basic question in sociology-How is
society possible? How is it that most
people obey the rules most of the time?
How is it that we can have orderly
interaction without perpetual disruptive
conflict between differing interest groups?
14
Three model assumptions – (1)
• (1) Functional theorists maintain that
society is held together primarily by a
general consensus over the major values
and norms in the society.
• People tend to obey the rules because
through a long socialization process they
have come to accept these rules.
15
Three model assumptions – (1)
• Conflict theorists maintain that society is held
together in the face of conflicting interests
because either
• (a) one group in the society has the power to
enforce the rules (and thus make subordinate
groups follow rules that may primarily serve the
interests of the superordinate group) or
• (b) there are so many overlapping and divided
interest groups that individuals or groups must
learn to cooperate.
16
Three model assumptions – (2)
• Functional theorists tend focus more on
societies as holistic systems (much like
biological organism),
• Conflict theorists tend to focus on parts
and processes within what we call
societies.
17
Three model assumptions – (3)
• Functional theorists tend to view societies
as social system with specific needs of
their own that must be met if the societies
are to function properly, and thus survive.
• Conflict theorists view societies as settings
within which various groups with differing
interests interact and compete.
18
The two competing models
• 以上典範預設代表對於研究對象（社會）
的不同意象，無所謂對錯，但在回答特定
問題時，可能某種觀點較有幫助。
19
Model assumptions
Conflict
1. Society held together by
conflict and unequal power
2. Focus on parts and
processes within the society
3. Society a setting for
struggles betweenclassesor
interest groups
Order
1. Society held together by
consensus (norms and values)
2. Holistic view of society
3. Focus on a social system
with needs of its own
20
Value assumptions on social
stratification
Value assumptions
Critical (radical)
Uncritical (conservative)
1. Inequality not inevitable
1. Inequality inevitable
(at least to present degrees)
(little or no criticism)
2. Optimistic view of human nature
3. Better, more just, societies the
goal of social science
2. Distrust of human nature
3. Sociology should be value-free
21
Model of society
A Typology of Stratification Paradigms
Value assumptions
Critical 批判
Uncritical 非批判性
Critical-order paradigm
Uncritical-order paradigm
Order
Functional theory
功能
缺席
(Durkheim)
Conflict Critical-conflict paradigm Uncritical-conflict paradigm
Ruling class theory
Power conflict theory
衝突
(Marx)
(Weber)
22
Uncritical-order paradigm
• 不平等是歷史的必然，因為
– (1) 人性本是自私的
– (2) 社會系統需要不平等來「滿足」其基
本需求。
23
Uncritical-order paradigm
• 不平等可以提供誘，因讓社會按照才能來安排適
當位置。
• 由於人性是自私的，不能信任的，因此社會需要
一些抑制機制(restraining mechanism)來控制人
類自私的天性。
• 抑制機制：透過社會化及正當化的過程來維繫社
會價值及規範的一致看法(consensus)。
• 這些價值規範合理化不平等的存在，使受不合理
待遇者不至於威脅社會系統。
24
Uncritical-order paradigm
• this paradigm tend to view the task of
social science as that of making a valuefree analysis of society, rather than of
attempting to understand how societies
can be changed for the better.
• However, there is a tendency to be at least
relatively supportive of the status quo.
25
Uncritical-conflict paradigm
•
•
•
•
•
相同假設：
Distrust of human nature
inequalities are inevitable
相異點：
because society is assumed to be a
setting for conflicting interests, it is the
power of one group over others that
maintains social order.
26
Uncritical-conflict paradigm
• Given the view of human nature inherent
in this paradigm, when one group is able
to achieve a dominant position in the
society, this group will tend to use that
position to serve selfish interests.
27
Uncritical-conflict paradigm
• task of social science as that of making a
value-free analysis of society in order to
uncover basic social laws, rather than of
attempting to promote social change.
From their perspective, a society without
some form of class conflict is viewed as
impossible, and a more equal or just
society is rejected.
28
Critical-conflict paradigm
• A powerful group is usually able to coerce
or manipulate subordinate classes
(through force, threat of force, withholding
of jobs, or other means) because of the
dominant group's influence over basic
institutions in the society (such as the
economy, government, courts, and police).
29
Critical-conflict paradigm
• Theorists from an uncritical-conflict
paradigm are more accepting of these
conditions, not necessarily because they
are unsympathetic toward the lower class
but because, given their assumptions
about human nature and the inevitability of
inequalities, they do not foresee that more
just and equitable societies are possible.
30
Critical-conflict paradigm
• Critical-conflict theorists are more
optimistic.
• Because they view human nature as more
altruistic, cooperative, and unselfish, or
perhaps simply more flexible (meaning
that human beings can be either selfish or
unselfish, depending on factors outside
themselves), they believe that more equal
and humane societies are possible.
31
Critical-conflict paradigm
• Uncritical-conflict theorists are distrustful
of human nature, whereas critical conflict
theorists are distrustful of restraining
social institutions.
32
Critical-conflict paradigm
• According to them, the historical
development of present social institutions
shapes human behavior in such a way as
to lead to exploitation by the powerful. In
other words, the role people must play
under a particular set of social institutions
requires the exploitation. If this historical
stage of social development is altered, the
new set of social institutions can lead to
basically different social relations.
33
Critical-conflict paradigm
• Critical-conflict theorists are, as the label implies,
more critical of the status quo.
• the task of social science is to understand
present society in order to be able to alter it.
• Their work is often more historically oriented
than that of other theorists. They believe that by
examining the historical progression or
evaluation of human societies we can better
understand how we arrived at our present
predicament, and, thus, how we can change the
status quo.
34
• 以上這些typology是化約的表達方式。沒有
理論可以絕對的置於任何位置。
• 兩個面向可以視為是連續的向度，每個理
論僅在程度上有差異。
35
社會階層化理論
古典理論-馬克思
36
馬克斯對社會階層化的貢獻：批判衝突
典範的發展
• 柏林圍牆倒塌象徵馬克斯思想的崩盤？
• 馬克斯理論與東歐蘇聯的政策不可劃上
等號。
• 蘇聯的瓦解反而使馬克斯思想從馬克斯
政權的意識型態解釋中解放出來。
37
38
馬克斯對社會階層化的貢獻：批判衝突
典範的發展
• The seeds for both conflict and functional
theories were contained in Saint-Simon's
works.
• Durkheim was a principal figure who
transferred Saint-Simon's ideas into
Western academic sociology in the form of
an uncritical-order paradigm.
• But it was Marx who transferred these
ideas into a critical-conflict paradigm.
39
馬克斯思想的model assumptions
• At the base of human societies he saw class
conflict and domination.
• Marx's perspective was one of dynamics and
change, in contrast to the static and holistic
perspective of early functionalists such as
Durkheim.
• In Marx's view, social order exists because one
class (the dominant class) is favored by a
specific stage of economic development and is,
thus, able to maintain social order through its
power over the lower classes.
40
馬克斯思想的value assumptions
• The tasks of social science as not only to
understand society but also to change it. He was
critical of existing inequalities, conflicts, and
exploitation, and he believed these conditions
could, or more strongly would, be changed.
• He saw the root of these conditions of inequality
and exploitation in social structures that had
been, and would continue to be, subject to
change. These conditions were not explained by
"selfish human nature": "
41
馬克思的生平與思想
• Born in 1818.
• Phd., Universities of Bonn and Berlin,
1841.
• could not find employment in academia,
become a journalist.
• Life in London in desperate poverty,
reading and writing in British Museum.
42
馬克斯思想的value assumptions
• 馬克斯思想長期被簡化及誤解，與其同時扮演
political activist及 Social scientist雙重角色有關。
• 為了要使大眾瞭解他的思想，馬克斯的政論性著
作經常都用簡化的方式來呈現他複雜的思想。
• 早期的英文翻譯以馬克斯的政論性著作較多，嚴
謹的學術論述很少人讀。
• 直到1953《政治經濟學批判大綱》（Grundrisse）
的德文版出版，及1971年部分英文翻印問世，馬
克斯的思想才受到正確的對待。我們才真正開始
瞭解馬克斯。
43
馬克斯理論的基本架構
• Max believed that to understand human
societies the theorist must begin with the
material conditions of human subsistence,
or the economics of producing the
necessities of life.
44
•“The first premise of all human history is, of
course, the existence of living human beings.
Thus the first fact to be established is the
physical organization of these individuals and
their consequent relation to the rest of nature . . .
• Man can be-distinguished from animals by
consciousness, by religion or anything else you
like. They themselves begin to distinguish
themselves from animals as soon as they begin
to produce their means of subsistence, a step
which is conditioned by their physical
organizations.”
•“By producing their means of
subsistence men are indirectly producing
their actual material life. The way in which
men produce their means of subsistence
depends first of all on the nature of the
actual means of subsistence they find in
existence and have to produce. . . . The
nature of individuals thus depends on the
material conditions determining their
production.”
馬克斯理論的基本架構
• Historical materialisml歷史惟物論：生產的物
質條件的歷史演進為理解人類社會的首要關鍵。
to understand human societies most fully, the
key is the historical progression or
development of these material conditions of
production.
• 政治組織與思想、宗教、家庭結構等其他社會制
度皆受到社會的經濟基礎與生產方式的型塑。
• 這一觀點與Weber有很大的差異：Weber認為文
化因素與經濟因素同等重要。
47
馬克斯理論的基本架構
• 惟物與決定論僅在政論性的論述中色彩較
為強烈，在馬克斯其他的著作中，思想與
物質的關係沒有如此簡單的單向關係。
• Marx clearly recognized that ideas or
other aspects of the superstructure can at
times be of independent importance in
shaping the nature of human societies.
48
Superstructure
上層建構（宗教、政
治、意識型態）
the superstructure is
shaped (but not
completely
determined) by the
substructure
例如：封建社會與農業社會
中不易產生民主政治、個人
主義的價值思想、核心家庭
觀念
Substructure
下層建構（生產方式
及生產關係）
Substructure
下層建構
Mode of production
Means of production:
the type of technology
used to produce
goods
Relations of production :
the human relationships
within a given
means of production.
Substructure
下層建構
Mode of production
Means of production:
capitalism
Relations of production :
the human relationships
under capitalism
(1)the relationships between workers as dictated by the
type of production. 工人彼此間的關係（特別是在工作
場所）
(2)the dominance-submission relationships among
workers and authorities（工人與管理權威之間的關係）
(3)the ownership and distribution of valued goods in the
society.（有價物品的擁有及分配）
生產關係
• 工人彼此（或與機器）之間的關係決定他
們的生命機會及價值信仰系統。
• 經濟及生產系統中的權屬關係影響社會中
人與人之間的關係。
• 工人在工作場所的關係也影響其家庭關係、
休閒活動、養兒育女、自尊等。
52
所有權關係如何型塑上層理念建構
• 當某一階級控制社會中重要的生產工具時，
他們可以藉由生產工具的擁有所產生的力
量，來塑造有利於自身利益的價值觀與意
識型態。
• "The ideas of the ruling class are in every
epoch the ruling ideas: i.e., the class
which is the ruling material force of society,
is at the same time its ruling intellectual
force.”
53
統治階級與上層理念結構
• the dominant normative system or ideology in a
society is shaped and maintained by powerful
group because it serves its interests.社會中的主
流價值系統及意識型態之所以成為「主流」乃是
因為其符合統治階級的利益。
• 例如資本社會中控制生產工具的資產階級不斷設
法「教育大眾」資本主義是現代文明的唯一出路，
資本主義的運作效益，及私有財產制對於社會的
利益是如何的重要等等。
54
Social Change
• 馬克斯的理論叫強調動態、變遷、及衝突，
而較少均衡及功能的觀點。
• 因為階級剝削所造成的社會衝突及階級鬥
爭，使人類社會透過一系列的鬥爭階段而
朝向最後共產社會演進。
55
The Marxian Model of Social
Change
Superstructure
上層建構（宗教、
政治、意識型態）
Superstructure
上層建構（宗教、
政治、意識型態）
改變舊有的上
層建構
Substructure
下層建構（生產技
術及生產關係）
下層建構
（生產技術
或生產關係）
發生改變
Substructure
下層建構（生產技術
及生產關係）
56
The Marxian Model of Social
Change
Primitive communism
Ancient society (slavery)
Feudalism (land owned by nobility)
Capitalism (private ownership of
the major means of production).
Communism (collective
ownership of means of
production)
57
由封建進入資本社會
• means of production從土地變成工業
• relations of production新興市場力量與勞力
商品化
• 工廠制度興起，形成工廠所有人與擁有土
地的舊貴族勢力的衝突。因為舊的
superstructure仍然反映舊貴族階級的利益
（稅制、政治權力的分配與代表、外交政
策）。
58
由封建進入資本社會
• 兩種解決方式：
• (1) 漸進改革：英國Magna Carta in 1215,
Cromwell’s revolution in the mid-1600s就不
斷地在進行改革。
– 很多舊有的土地階級在十九世紀從農業生產轉
入工業生產，因此與新興的工業階級利益重疊。
• (2) 法國革命1789
59
資本主義的矛盾
• 馬克斯認為資本主義的勝利無法解決上層
結構與下層結構的矛盾。
• 馬克斯相信生產方式的改變最後會導致共
產主義的興起；不是因為生產工具有重大
的變革，而是生產關係起了大變化：從小
規模的個別生產走向大規模的壟斷式資本
主義。
60
資本主義的矛盾
• 壟斷式資本主義之下，工廠規模愈來愈大，
越來越多的雇主被擠入無產階級，造成工
人階級膨脹而所有權人愈來愈集中，形成
少數所有者與多數生產者之間的對立。加
上分配上的不平均，最後數目較多的無產
階級終究會意識到他們與有產階級之間的
利益矛盾。最後工人起來革命，以集體所
有解決了少數生產工具的擁有者與多數生
產者之間的矛盾。
61
馬克斯對於階級的看法
• The Communist Manifesto, in 1848
• “The history of all hitherto existing society is the
history of class struggles. Free man and slave,
patrician貴族 and plebeian庶民, lord and serf,
guild-master and journeyman, in a word,
oppressor and oppressed, stood in constant
opposition to one another, carried on an
uninterrupted, now hidden, now open fight, a fight
that each time ended, either in a revolutionary
reconstitution of society at large, or in the common
ruin of the contending classes.”
62
馬克斯對於階級的看法
• 階級在馬克斯思想中的核心概念，可惜馬
克斯在著作中並無清楚定義「階級」，反
而常有不一致的用法及意義。
• 對馬克斯來說，瞭解社會的關鍵為“the
material condition determining their
production”，即生產方式(mode of
production)。階級矛盾乃是因「生產工具的
私有化」才開始產生的。此為階級的最簡
單定義。
63
馬克斯對於階級的看法
• 根據這個階級的最簡單定義，封建社會的
兩大對立階級為：
• Lord serf aristocracy   peasant
• 資本主義社會的兩大對立階級為：
• Bourgeoisie (生產工具的擁有者）  
Proletariat
64
馬克斯對於階級的看法
• 馬克斯認為推動歷史的力量(The moving
force in history)為階級鬥爭或階級衝突,
"the history of all hitherto existing society
is the history of class struggles," or class
conflict.
• 階級衝突根植於不同的階級利益。在階級
社會中，某一階級擁有生產工具，為了自
己的利益及需求支配並控制社會所生產的
剩餘，階級之間有剝削的情形。
65
馬克斯對於階級的看法
• 他提出所謂的價值的勞動理論(a labor
theory of value)來解釋社會生產的價值：
• "The magnitude of the value of any article
is the amount of labor socially necessary,
or the labor-time socially necessary for its
production" (see Anderson 1974: 16)
66
馬克斯對於階級的看法
• 資本主義的剝削本質，在於資本家支付勞工僅夠
活口的工資，遠低於其所實際生產的價值。多出
的「剩餘」部分為資本家佔據成為自己的利潤。
•“surplus value is nothing but the difference
between the value created by the worker and
the cost of maintaining him.”「剩餘價值僅不過
是工人生產的實際價值與維持其生產所需成本之
間的價差而已。」
67
馬克斯對於階級的看法
• 資本主義的剝削關係因資本的生產而擴大。所謂
資本指的是工廠、機器、或任何被當成生產工具
的物品。「資本」是過去勞動力的一種儲存、累
積，被資本家用來製造更多的剩餘價值。
• The exploitative relationship of capitalism is
extended by the 'production of capital itself. By
capital is meant the factories, machines, or any
goods used as a means to produce more goods.
Thus, “capital is stored-up, accumulated labor”
This stored-up labor or capital from past worker
is used to produce even more surplus value for
the capitalists' own profit, taking more and more
profit from fewer and fewer workers.
68
馬克斯對於階級的看法
• 隨著資本主義的進步，越來越多的勞工淪
為工業的儲備人力，活在貧窮邊緣，僅在
景氣好、產業擴張時得以工作。
• In Marx‘s poetic terms, “Capital is dead labor,
that vampire-like, only lives by sucking living
labor, and lives the more, the more labor it
sucks” (1906:257).
69
馬克斯對於階級的看法
• 歷史的動力：生產工具的擁有階級剝削其
他階級，其他階級在面對殘酷剝削時認知
到，當生產方式改變時，會適時群起推翻
統治階級並設立有利於自身利益的新社會
秩序。封建社會的貴族土地階級為資產階
級推翻，同理，資產階級也將會被無產階
級推翻。
70
馬克斯對於階級的看法
• 當無產階級意識到自己的真正利益時，從 a
class in itself （僅有共同的利益，但不知道
確切利益為何或採取行動）變成a class for
itself。
• 馬克斯認為無產階級執政時，階級鬥爭的
歷史將會結束，因為沒有其他更低下的階
級供其剝削。人類將恢復到原始的共產社
會，生活在富裕的物質生活中。
71
小結
• 共產革命並未發生在先進的資本主義社會
國家，反而發生在以農業為主的蘇俄、越
南、中國等。
• 馬克斯沒有看出一個政權掌權後，可以發
展出與其取得政權所賴的理念完全不同的
社會的可能性。
• 他也沒有看到資本社會可以發展出福利國
家制度來部分解決衝突與剝削等會導致資
本主義衰亡的內部衝突與矛盾。
72
小結
• 但馬克斯很早就正確預測壟斷性資本主義
的擴張，以及全球性的階級衝突與剝削網
絡的蔓延。
• 儘管馬克斯對於歷史的預言不盡然正確，
他的衝突觀點對於階層化研究有很大的貢
獻。
73
社會階層化理論
古典理論-偉伯
74
Max Weber: 另一種衝突觀點
• Weber的論著中雖然僅有很少的篇幅與階層
化相關，但十分重要：
• (1) 韋階級伯將馬克思的單一經濟觀點拓展
成多面向的觀點，包含階級、地位、權力。
• (2) 韋伯對於大型科層體制的研究使我們理
解現代工業社會中的權力與支配
(dominance)的本質。
75
Max Weber: 另一種衝突觀點
• 韋伯理論中的典範預設：
– 衝突觀點，但衝突的概念比馬克思涵蓋的更廣。
• 價值預設：
– 他認為人類文明不會朝向更公義及更人性化社
會發展
– 他對於理性-法治的社會組織模式（科層）是十
分悲觀的。甚至認為人類的社會的Iron Cage會
不斷的擴大。
76
Max Weber: 另一種衝突觀點
• 韋伯理論長期以來被認為是與馬克思的鬼
魂在辯論，受到很多的誤解。他認為純粹
的歷史惟物論有很大的侷限，他指出：
• (1) 一種新的價值系統如何成為資本主義的
推力
• (2) 社會階層化除了經濟與物質面向外，還
有其他的面向。
77
Max Weber: 另一種衝突觀點
• 韋伯的很多看法不僅是馬克思的替代，更
多的理論是馬克思觀點的進一步的擴大延
伸。
• 早期將韋伯介紹給美國社會界的學者，主
要是功能論的理論家如派森思。他們在解
讀韋伯時灌注了很多功能論的觀點。
• 直到韋伯的著作被大量翻譯之後，學者才
發現其實韋伯與馬克思在很多方面的想法
十分相似。
78
Max Weber: 另一種衝突觀點
• Max Weber was born in Erfurt, Germany, in
1864 and died in 1920.
• Weber had a homeland; for he was a patriotic
citizen of Germany who sought to understand
his society so that it could be strengthened and
humanized.
• his earliest professional work was an attempt to
shed light on the problems of land ownership
and utilization in this country.
79
Max Weber: 另一種衝突觀點
• hospital administrator during World War I,
• a delegate to the peace conference after World
War I.
• consultant on many issues confronting the new
German government during reconstruction.
• Weber grew more pessimistic about the
prospect of reform, especially after the recurring
bouts with extreme mental depressions that
began with his father's death in 1897.
• his greatest works were completed after his
recovery.
80
Max Weber: 另一種衝突觀點
• Weber grew up in an upper-middle-class
family. His father was a lawyer who held
several political positions.
• primarily pursued the life of a scholar and
teacher within the academic hall. He held
positions in a number of major German
universities and was a central figure in the
establishment of sociology as a respected
academic discipline.
81
Max Weber: 另一種衝突觀點
• Weber was an early advocate of a valuefree orientation in the study of society.
• Weber maintained that the social
scientist's task is to understand human
societies without the interference of
political objectives.
82
Max Weber: 另一種衝突觀點
• Weber was advocating this value-free
stance in order to shelter the new
discipline of sociology from the political
debates on both the left and the right .
• this value-free perspective guided his work
by making him more concerned with what
exists, rather than attempting to
understand what could be .
83
Weber's Paradigm Assumptions
• many varied and differing group or
individual interests could form the basis of
conflict relationships in human societies.
• "Weber did not suggest that dominant
persons act to integrate collectivities in the
interest of effective functioning. Rather, he
treated such individuals as acting in terms
of their own ideal and material interests as
they perceive them.”
84
Weber's Paradigm Assumptions
• "A correct understanding of Weber's
general sociology is impossible unless
founded on a faithful reading of his theory
of domination“.
85
Weber's Paradigm Assumptions
• The base of conflict relations could be
located in many differing types of interests
(social, material, political, and so on). But,
political or organizational conflict and
dominance are more important.
86
Weber's Paradigm Assumptions
• 'Weber . . . came very close to what
amounted to a transposition of Marx's
monistic explanation from the economic to
the political realm. One sees this most
graphically where Weber describes the
ongoing process of centralization of power
in all fields of human activity: war,
education, economics, religion, and most
crucial of all, politics" (Mitzman 1969: 1831 84).
87
Weber's value assumptions
• no end to conflict and domination, only
changing forms or bases of conflict.
• a society always divided between those
who ruled and those who were ruled.
• The interests behind this conflict and
domination are viewed as more diverse,
and he recognized that the means of
domination must be distinguished from
the interests or goals of domination.
88
Weber's value assumptions
• Weber saw that increasing population
density and diversity resulted in the need
for organization and coordination. And the
most efficient means of achieving this
organization was bureaucratic
administration. It was for this reason that
Weber came to view programs for radical
alternatives to the present inequality and
domination as hopeless (Mitzman 1969:
185).
89
Multidimensional view of stratification
• (1) Weber's expanded view of economic or class
divisions: In addition to ownership versus
nonownerip of the means of production, the
social scientist must consider a person's more
general relationship to the marketplace.
• (2) multidimensional aspect of social
stratification: Weber maintained that other
important divisions exist within society, divisions
that are at times independent of this class
division: class, status, and party (or power).
90
Weber’s class
• Weber: “We may speak of a class when
(1) a number of people have in common a
specific causal component of their life
chances, insofar as, (2) this component is
represented exclusively by economic
interests in the possession of goods and
opportunities for income, and (3) is
represented under the conditions of the
commodity or labor markets."
91
Weber’s class
• 除了生產力量(productive forces)的擁有外，
收入的機會（the skill level possessed by a
worker）也是階級的一個重要面向。
• 這是馬克斯階級觀點的一個重要延伸。An
important expansion of Marx's view of class.
• 這個延伸對於理解當代社會的中產階級十
分重要。除了以生產工具的有無來分成兩
個階級外，技能水準也是一個構成階級區
分的重要面向。
92
Status
• Status honor or prestige: “In content, status
honor is normally expressed by the fact that
above all else a specific style of life can be
expected from all those who wish to belong to
the circle. Linked with this expectation are
restrictions on social intercourse” (Gerth and
Mills 1946187).
93
Status
• 地位榮耀的區分：來自某人可以達到社會
（或內部社會團體）認為重要的理想、價
值及原則the ability of someone to live up
to some set of ideals or principle held
important by the society or some social
groups within it.
• 如上流社會的精緻文化、電影明星及職業
運動員、著名學者或科學家的地位比一般
人高。
94
Status
• 地位另一個重要面向為restriction on social
intercourse
• Status group tend to draw line among
themselves, restricting intimate social
interaction, marriage and other relations within
the status group.
• “where the consequences have been realized to
their full extent, the status group evolves into a
closed caste’”.
95
Status
• we will find how useful this status dimension
of stratification is in understanding how
powerful upper-class families have been able
to keep wealth and power within their own
group by status distinctions that hold the new
rich at a distance.
96
Power
• Weber: “Whereas the genuine place of
“classes” is within the economic order, the
place of “status groups” is within the social
order, that is, within the sphere of the
distribution of “honor.” . . . But “parties”
live in a house of “power.” Their action is
oriented toward the acquisition of social
“power,” that is to say, toward influencing a
communal action no matter what its content
may be.”
97
Power
• The most important aspect of this party (or
power) dimension of stratification is
organization, or "rational order," and a staff
with which to dominate or influence others for
whatever goal.
• 例如：political party or the bureaucratic form
of organization.
98
Power
• Where one stands with respect to the organized
forms of dominance or power within the
society defines one's position in this dimension
of stratification.
• Weber came to stress this dimension as
increasingly important in advanced industrial
societies.
99
Power
• Weber saw all three dimensions as important
hierarchies leading to the ranking of individuals or
groups in human societies.
• However, they were not all of equal importance
throughout the history of human societies.
• In the early stages of capitalism the class dimension
was viewed as more important.
• In caste societies, the status dimension remained
supreme.
• Weber saw that in modern societies the party or
power dimension gained importance.
100
Power
• Weber considered all societies to have
divisions based on all three dimensions of
class, status, and party.
• Equally important, Weber saw that normally
there would be a large degree of overlap
among all three dimensions.
101
Power
• For those on top, this overlap adds to their
overall strength within the stratification system.
• It is primarily in times of social change that
these three dimensions can diverge most
widely, leading to differing arenas (for class,
status, and party) in which conflicts for
advantage may be brought to the forefront.
102
Power
• he viewed conflict and domination as more
pervasive and enduring than did Marx.
• For Weber, even if one aspect of conflict and
inequality could ever be eliminated, others
would remain, and perhaps become an even
more important basis for inequality and
conflict. (read Animal Farm)
103
Power
• Weber's view of conflict was broader than that
of Marx.
• It was partly for this reason that Weber was
less hopeful than critical-conflict theorists that
inequality, conflict, and domination could ever
be substantially overcome.
104
The Rise of Bureaucratic Domination
• 韋伯對於科層的組織與權力的分析可能是
他對於理解現代社會最大的貢獻。
• Large bureaucratic organizations are seen as
dehumanizing, alienating, inefficient, and
encroaching upon valued human freedoms.
• But in spite of all the denunciations,
complaints, and political rhetoric, no one has
been able to do much toward solving the
problem.
105
The Rise of Bureaucratic Domination
• Everyone seems to want less government, but a wide
collection of interest groups also wants a strong
military, better economic planning, protection for
business in the face of foreign competition, better
prices for farmers, less crime, protection from
pollution and unsafe consumer products, and so on.
The sum total of all these interest group demands is
more government and bureaucratic regulation.
• It must be recognized that the many problems flowing
from large and complex societies such as ours require
some means of corrective action; this invariably
results in expanded bureaucracies.
106
The Rise of Bureaucratic Domination
• Max Weber, at the turn of the century, clearly
recognized the future growth and increasing influence
of rational-legal forms of social organization-that is,
bureaucracies.
• By the later 1800s, Weber could already see how the
state bureaucracy was growing in response to interest
group demands for protection, primarily from
powerful capitalists (DiMaggio and Powell 1983).
• And Max Weber recognized the human costs of this
condition. Weber foresaw what he called a growing
iron cage that people were building for themselves;
but he foresaw no solution to this situation
107
The Rise of Bureaucratic Domination
• three principal ideal types of legitimate authority:
• rational-legal authority, "resting on a belief in the 'legality' of
patterns of normative rules and the right of those elevated to
authority under such rules to issue commands";
• traditional authority, "resting on an established belief in the
sanctity of immemorial traditions and the legitimacy of the
status of those exercising authority under them”;
• charismatic authority, "resting on devotion to the specific and
exceptional sanctity, heroism, or exemplary character of an
individual person, and of the normative patterns or order
revealed or ordained by him."
108
The Rise of Bureaucratic Domination
• Weber saw rational-legal authority as the most
efficient for modern societies.
• Traditional authority was primarily of earlier times
and began falling with the breakdown of feudalism in
the face of rising industrialization.
• Charismatic authority is only temporary; it comes
with a revolt against the old status quo led by an
influential personality (such as Jesus, Lenin). Once a
new authority structure is established after successful
revolt, charismatic authority gives way to one of the
other, more stable, types.
109
The Rise of Bureaucratic Domination
• of six main characteristics of bureaucracy:
• 1). There is the principle of fixed and official
jurisdictional areas, which are generally ordered by
rules; that is, by laws or administrative regulations.
• 2). The principles of office hierarchy and of graded
authority mean a firmly ordered system of
superordination and subordination in which there is a
supervision of the lower offices by the higher ones.
• 3). The management of the modern office is based on
written documents.
110
The Rise of Bureaucratic Domination
• 4). Office management . . . usually
presupposes thorough and expert training.
• 5). When the office is fully developed, official
activity demands the full working capacity of
the official. Formerly, official business was
discharged as a secondary activity.
• 6). The management of the office follows
general rules, which are more or less stable
and more or less exhaustive, and which can be
learned.
111
The Rise of Bureaucratic Domination
• Weber believed this form of social organization was far
superior to any other (in terms of a rational means to goals),
and would therefore come to exclude all others.
• ''The fully developed bureaucratic mechanism compares with
other organizations exactly as does the machine with the nonmechanical modes of production" (Gerth and Mills 1946:214).
The "precision, speed, unambiguity, knowledge of the files,
continuity, discretion, unity, strict subordination, reduction of
friction and of material and personal costs, and calculatable
rules" are all among the reasons cited by Weber for the
superiority of the bureaucratic form of organization.
112
The Rise of Bureaucratic Domination
• 近代史中，可以找到很多因為不能或不願
去迎接這種較為有效率的組織形式而發生
重大變革的國家的例(see Skocpol1979).
• 科層的優越性指的是其作為組織的一種理
性手段（the superiority of bureaucracy as a
rational means of organization）
• 組織的目標可以是非理性的（The goals for
which this means is applied may be irrational
with respect to differing interests within the
society ).
113
“Permanence” of bureaucracy
• “Once it is fully established, bureaucracy is among
those social structures which are the hardest to
destroy. . . . And where the bureaucratization of
administration has been completely carried through, a
form of power relation is established that is
practically unshatterable” (Gerth and Mills
1946:228).
• 這種持久性不代表他永遠為同一種利益服務。他
僅是一種支配的工具或手段，可以為任何利益團
體服務，如自由派政黨、法西斯政權等(Gerth
and Mills 1946:229).
114
“Permanence” of bureaucracy
• 科層組織為一種控制的手段隱含了衝突。
• Because bureaucratic organization is a form, or
means, of control, it implies the existence of
conflict (see Collins 1975289).
• 如果個團體可以控制或影響科層組織，將使得其
控制力大增If one group, such as an economic class,
fascist party, or small communist organization, is able
to gain control or influence over established
bureaucratic organization, the power of this group is
greatly increased.
115
Weber對階層化理論的重要影響
• 對功能論者的影響：
• 承襲韋伯，功能論強調地位而非階級。
• Functional theorists have tended to stress the status dimension
of Weber's multidimensional view. Strata or class divisions,
they maintain, flow from the need people have to evaluate and
rank others in terms of a dominant value system (see
especially Parsons 1951,1970).
• 職業地位的連續排比而非階級的間斷區分functional
theorists have tended to stress a continuous class ranking
rather than more rigid class divisions. This means that
functionalists have emphasized occupational status.
116
Weber對階層化理論的重要影響
• Status consistency：
• the functional view of an integrated social system, if
the social system is to be healthy, the various
dimensions of social stratification should show at
least a minimum of convergence. It is believed that if
some degree of convergence between stratification
dimensions (such as occupational status, education,
income) is not achieved, tensions, conflicts, and
confusion will be the result-for the general society as
well as for individuals within it.
117
Weber對階層化理論的重要影響
• 對衝突論者的影響：
• 意識到科層作為一種支配工具的重要性。
科層形式支配力量使得國家及科層體制成
為上層階級維繫其地位的一種重要手段the
importance of the state and other bureaucratic
form of dominance in providing the upper
class with an added means to maintain their
position .
118
社會階層化理論
古典理論-涂爾幹
119
The Functional Theory of Emile
Durkheim
• 功能論者從一個較為全盤整體的觀點
(holistic view)來看社會階層，比較關注社
會系統的需求，而不注意個別利益團體與
階級的分析。
• 對涂爾幹而言，當代的問題為道德的問題
而非物質的問題，疏離、剝削、不平等、
階級衝突等皆起因於道德問題而非經濟問
題所致。
120
The Functional Theory of Emile
Durkheim
• 他認為解決當代問題的方法不在於重新建
立一個新的道德，而使以漸進修改的方式
來調整既有的道德this reform "has for its
object, not to make an ethic completely
different from the prevailing one, but to correct
the latter, or partially to improve it" (Durkheim
1964:35-36).
121
The Functional Theory of Emile
Durkheim
• 涂爾幹思想的一致主題：只有當人性透過x
為主流價值體系的集體力量所代表的道德
所約束時，社會秩序才有可能。consistent
theme： that social order is possible only
when human nature is restrained though a
morality represented in the collective force of
a dominant normative system.
122
About Durkheim
• 涂爾幹生於1858年法國，世代皆為猶太拉比
(rabbi)，家境小康，成長在以出產軍人及公僕聞
名，緊密連結的猶太正教社區中。
• 這個社區凝聚力大及道德規範強的成長環境對於
他日後強調道德整合的思想有很大的關係。
• 畢業後在Bordeaux (1887-1902)及Sorbonne
(1902-1917)擔任社會學及教育的教職。透過學生
及作品，對於法國社會學的發展有很大的影響。
123
About Durkheim
• 涂爾幹與政治保持一定的距離He saw his
role as that of the detached scholar
providing ideas toward a future moral
integration of the newly emerging
industrial society.
124
Organic analogy
• 瞭解涂爾幹的一個重要關鍵：organic analogy
• 社會被比擬為biological organism：There are
various organs or parts within this social system
that serve different functions for the health and
maintenance of the total society.
• This organic analogy lead to focus on the social
system as a whole (holistic perspective) and on
the interrelation of its parts rather than on
divisions and opposed interests among groups
within the society. (較不易將社會各部分（心、肺
等器官）抽離出系統單獨來分析其功能與個別利
益，著重在各部位彼此之間的關連）
125
Organic analogy
•“morality was the centre and the end of
his work”
• 強調道德與其對人性及社會的需求的基本
假設有關。
• 不信任人性，認為沒有道德的規範，人會
以自私狹窄的個別利益不斷的剝削同胞。
為了避免社會失序及人類自我毀滅，社會
需要一個強力的規範來維持秩序。
126
Organic analogy
• 涂爾幹認為新的社會制度有能力可以為了
眾人的利益來規範自私的衝突。很多社會
制度可以形成一個強而有力的道德整合力
量，包括：宗教、家庭、職業團體、及教
育。透過這些制度，個人不斷地在社會化
過程中內化可以減少私利行為的道德秩序。
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The Division of Labor and
Organic Solidarity
• 社會分工與有機連帶。
• 在前工業社會中，道德秩序的維持相對容
易--可以透過親密的人際關係來維持道德的
整合。
• 社會分化後，道德整合出現問題。societies
must move from mechanical sdidarity
(the moral order in preindustrial societies)
to organic solidarity in industrial societies.
128
The Division of Labor and
Organic Solidarity
• This organic solidarity was possible, he
believed, through occupational organizations
or guilds. It was reasoned that within each of
the many occupational guilds, moral principles
could be established regarding the rights and
duties of workers and employers. This new
type of moral order could restrain the selfish
interests for the good of the larger society (see
Durkheim 1964).
129
The Division of Labor and
Organic Solidarity
• His concern, his model of society, was so
dominated by a holistic image that the
divisions (such as classes) that may exist
within this society were easily neglected.
• Durkheim saw two types of inequality:
• external inequality: inequality based on birth-ascribed status
• internal inequality: inequalities based on
individual talent -- achieved status
130
The Division of Labor and
Organic Solidarity
• 外部不平等威脅社會的整合。社會若要正常運作，
必須根據個人的才能來安排適當的位置（內部不
平等）。
• A “meritocracy” based on equality of opportunity：
he believed an inequality based on merit was needed.
• 如果外部的不平等被強加於個人身上，則社會連
結(solidarity)的基礎將不會穩固。與後來發展的功
能論者所強調的適才適位不同，涂氏的關懷在於
「道德的整合」，而非分工上的效率與效益。
131
階級與階級衝突在涂爾幹理論中的
角色
• Durkheim dealt with the existence of class and class
conflict by dismissing them as unnatural: "If the
division of labor produces conflict, it is either because
society is in a transitional state of development, or
because of the existence of a pathological condition
of social order" (Giddens 1978: 114).
• 這種病態的狀態主要是因為負責維繫整合的職業
團體沒有充分發揮道德整合的功能所致。涂爾幹
從沒想過社會可以是一個階級宰制另一個階級的
權力結構。
132
涂爾幹對於國家的看法
• "For Durkheim, the state is above all a moral
agency, which concentrates within itself the
values of the broader social community. . . .
Again, a biological parallel is used: the state is
the 'brain,' the coordinating mechanism of the
social organism“ (Giddens 1978: 1 15).
• Durkheim never considered that the state could
be a mechanism for maintaining the
dominance of one class over others.
133
涂爾幹對於主流規範與價值的看法
• With respect to dominant norms and values, or the
moral order, it did not occur to Durkheim that this
moral order itself could be a mechanism of
dominance by one class over others (see Strasser
1976: 122).
• For Durkheim the moral integration of society served
the interests of all in the society.
• But for conflict theorists, these norms and values,
when internalized by the lower classes, can work to
maintain their support for a system in which their
interests are subordinated to the interests of the
dominant class.
134