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  • 1

    序一

    这本书的作者是美国斯坦福大学社会学教授格兰诺维特。他是一位跨界的奇才,可以说是当代社会学界最具有经济头脑的学者,也可以说是经济学界最注重非经济因素影响的人物,甚至被认为是最有可能获得诺贝尔经济学奖的社会学家。他一生都在试图完成一项似乎难以完成的理论工作,就是构建一个逻辑自洽的人类行为动态复杂系统,使该系统既能解释个人对集体行动的建构,也能解释集体和制度对个人

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  • 2

    序二

    大师的淡定 2018年12月的一天,忙里偷闲的家德兄,到我办公室小叙。一落座,闲扯了几句时事,话题自然落到格兰诺维特教授的这部《社会与经济》大书上。 家德是教授的弟子,深得真传,这点在一年前他出版的著作《复杂:信息时代的连接、机会与布局》中表现得淋漓尽致。不过,家德并未就此止步,他将教授的“社会网络嵌入”的理论,很自然地移植到中华传统文化的语境,用“圈子”、

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  • 3

    译者序

    先谈一个有趣的现象,知道格兰诺维特的人一定都会觉得他是一位博学深思的理论家,他提出了“弱连带优势”(The Strength of Weak Ties)理论和“嵌入理论”,在社会学引文中排名数一数二,对经济社会学的推动有着不可磨灭的功绩。确实,受教于格兰诺维特教授五年半,我从他那里学到的都是理论,但很奇怪的是,从他第一个学生伍迪·鲍威尔(Woody Powe

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  • 4

    1.1 个人行动、经济结果与经济“制度”

    在本书中,我将提出一套与经济行动和制度有关的论述,同时在纯粹的经济因素之外强调对社会、文化和历史的考量。因此这样的论述可以归类为“经济社会学”,一个在过去30年蓬勃发展的社会学分支学科。但是更基本地,我希望以一种跨越学科边界的方式来理解经济,不论其中的观念来自哪一个学科。 在本章中,我将对社会科学的性质提出一般性主张,一般性地解释经济行动、结果和制度的意义,

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  • 5

    1.2 “教养”取代“天性”了吗

    元假设(null hypothesis)就是一种不言自明、潜藏在所有经济解释的社会科学理论中的假设。我用它来指对人类行为和社会组成的基本前提预设,这是学者理解一组社会现象的概念原点。它是社会科学词汇的基本组成部分,并且对于谁被什么样的理论说服具有强烈的心理效果[像唐纳德·麦克洛斯基(Donald McCloskey)1983年发表的论文所生动表达的那样]。

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  • 6

    1.3 适者生存、社会资本与历史

    因为化约到个人层次的解释经常不能令人满意,所以它的反对者会补充其他的论述。在社会科学中,两个最主要的反对者分别是功能论与文化论。而令人讽刺的是,这两者可以归类为整体主义者的工具。 行为、实践与制度的功能主义解释指的是它所解决的“问题”。比如在企业世界的研究中,有限责任公司的制度可以解释为,很少有人愿意承担完整的企业家任务才出现的一种安排,因为当公司失败时他们

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  • 7

    1.4 低度社会化与过度社会化

    关于人类天性的元假设以及相关的概念导致了不被明说的关于人类行动本质的系列理论。当我们的推论太急时,这些概念就受到很大的扭曲。举例来说,社会学总以为行动者高度敏感于他们所处社会的刺激,这一观点就被社会学家丹尼斯·朗(Dennis Wrong)所批判,认为其是“现代社会学中对人的过度社会化概念”(1961),也就是认为人过度敏感于他人意见的一种概念,因此会完全服

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  • 8

    1.5 社会网与“嵌入性”

    中观层次的社会网之所以重要,是因为它避免了“低度社会化”和“过度社会化”两个理论极端。具体地说,社会网之所以重要,是因为人们在同时追求经济与社会目的时,会考虑他人作为一个显著的因素。这个相关他人网络很重要,而且相关分析的论述已被认为是“嵌入性”观点,部分观点在我于1985年写的相关论文中已有论述。大部分这一类的研究被认为是“新经济社会学”(Granovett

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  • 9

    1.6 个人动机

    要找到一条路径,从完全强调个人利益的理论走向引入这些利益会从属于一些较大社会实体的理论,我们需要进一步讨论个人的动机。行为可能是工具性理性导向的,可能是个人导向的,可能是经济导向的,也可能是社会导向的。 这些分野首先要探讨一项行为是否可以视为达成某个目的所需要的手段。这个问题有时可以架构为工具性行为或自有性的(consummatory)行为,后者指的是行动不

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  • 10

    2.1 心智观念、信任与权力

    接下来的三章将关注对经济非常重要的因素,分别是心智观念、信任与权力。它们深度地相互依存,且其重要性没有明显的次序之分。对所有这些因素有两种相同的解读:第一种,它们反映了个体角度的理性行为;第二种,它们反映了某种更大、更模糊意义上的、经由选择性演化过程(该演化过程比其他过程更有利于经济效率的产生)而来的理性。贯穿这些章节的一个线索是,因为我坚定地怀疑我的这些讲

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  • 11

    2.2 什么是合适的行为

    人们在经济和其他背景下对“什么是合适的行为”这一观点没有怀疑。争论在于:首先,我们需要在多大程度上援引这些观点,以更好地解释经济行为和经济结果;其次,这种援引是否应该与理性选择和方法论的个人主义相一致。 在一段时间里,价值和规则的区别在社会学一般理论中占据了重要地位;在人类学中,重要程度稍轻一些。大卫·格雷伯(David Graeber,2001:4-5)指

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  • 12

    2.3 最后通牒博弈

    如果我们一致认为规则会影响经济行为,那么我们就会想知道它们从何而来,以及它们是否会提高“经济效率”。经济规则或其他规则是如何产生的,这个问题并不总是被问到。大多数关于经济的论述都将规则作为一种给定的文化,并且是进一步分析的出发点。然而,长期以来人们却一直在讨论某些非经济规则的起源,比如对“乱伦禁忌”的探讨似乎就很普遍。许多这样的探讨(预示着对经济规则的讨论)

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  • 13

    2.4 道义经济:为什么规则很重要

    怀疑论者经常会问,我们如何才能真正知道规则会对经济行为产生重大影响,我们又如何才能将自利行为用作一种更为“简洁”的解释方式,去解释人们为什么会如此行事。当“规则作为重要决定因素”的支持者提供证据,表明在某些情况下行为者会按照自利原则所描述的方式行事时,怀疑论者的追问貌似就会变得更有道理。因为规则支持者的元假设是,人类是社会性的,是以社会规则为导向的,他们会考

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  • 14

    2.5 结论

    到目前为止,我主张的两个关键观点是:(1)在孤立的状态下分析单一规则的起源或功能是具有误导性的,因为它们通常与其他规则密切相关,正如我将在第五章和第六章详细介绍的那样;(2)假设规则只有在小型的、本地化社会网络中才能有效运转,也是有误导性的。我主张的这些观点引导我们将规则当作“在更大的社会框架中出现的更大观念结构中的元素”分析。如何理解这些结构对宏观经济中行

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  • 15

    3.1 什么是信任

    信任的概念在上一章谈规范时也简单地提到过。这个概念十分重要,值得我们专辟一章来加以介绍。信任和可信赖行为(trustworthy behavior)对任何经济而言都是关键的资产,因为它们会引导人们进行合作,使他们相互间产生比纯粹自利动机更善良的行为。这是我认为纯粹自利动机对信任的解释其实只得到信任的反面的原因。信任很重要,就如同一些经济学家经常提到的,它带来

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  • 16

    3.2 你属于哪种信任

    1.基于对他人的了解或利益的算计而产生的信任(理性选择理论)。也许对信任及可信赖行为最简单的主张就是,一个信任者对被信任者的利益诉求有精确评估,知道其在考量了其他可能的行动后仍会表现出可信赖性,只要此行动满足了他的利益诉求,他就会报以一种信任的行为方式。因此,詹姆斯·科尔曼展现了一个预期效用最大化的模型,当一个信任者的“(从被信任者身上)得益可能性与损失可能

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  • 17

    3.3 信任之外

    在讨论信任的原因和动态变化之前,考虑使用“信任”这个概念的范畴条件十分必要,这与原因的讨论十分相关。研究信任的学者经常讨论这一概念只限于用在某些情境中。我在这里反对这样的设限而建构一个更广泛的信任概念,以区分出不同情境,在每一情境里信任都以不同的方式展现并产生影响,而且信任与可信赖行为的成因也不一样。这比我认为针对那一个特殊情境中“真的”有信任这类无谓争论有

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  • 18

    3.4 信任与欺骗

    我在前面回顾并批判的理论,不是置重点于很小范围内的信任,而是考察较大的社会与制度层次的信任,但不是说这样的信任来自历史或政治的发展,或是说它来自个人信念的“加总”,却未提供缜密而翔实的理论细节以及行为机制以说明这样的发展。一个更全面的信任研究会更立体地探索这样的“加总”,而探索的部分会涉及政治、历史、宏观经济以及其他制度的内涵如何解释较高层次的信任。在这里我

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  • 19

    3.5 信任、规范与权力

    我已经提出信任关系如果被分散在一个大型社会结构中将发挥比只是在小范围或地区内的信任远为重要的作用。这个论述的弱点在于这样类型的关系虽然重要,却不会只是信任关系。事实上,在我使用的实证资料中大多数并未导向信任关系的讨论,而是强调了它们其他方面的特质,比如权力的差距、规范与价值、战略的使用,或只是信息交换。在本书的组织上,我将信任、规范与权力分在各章中介绍,一个

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  • 20

    4.1 三种权力

    到目前为止,我所涵盖的经济图景考虑到了个人的激励和行动、社会网络、规则和信任,所有这些要素都可能受到宏观层面制度的强烈影响,并反过来形塑宏观层面的制度。在第五章和第六章的主题更系统地转向制度之前,我还需要讨论权力。关于权力,研究中存在着尖锐的分歧。有人认为它是经济结果最重要的决定因素;有人认为它与经济无关,或只是同义反复性质的一个原因。 我认为,如果我们希望

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  • 21

    4.2 权力和社会结构

    对权力根源或类型进行分类的讨论只能将我们带到目前的深度,必须续之以另一种讨论,即在何种情况下,哪些行动者或哪类行动者能够运用不同类型的权力及其组合。 4.2.1基于个人特征的权力 方法论个人主义者可能会在起始点上就假设,某些个体注定会是富有权力的,因为他们所具有的特征或资源,使他们很有可能创造对他们的依赖关系,通过传达合法性赢得顺从,或令人信服地塑造经济议程

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  • 22

    4.3 中间人业务

    一种弥合小规模交换与大型经济结构(在此权力很重要)之间概念距离的方法,就是更密切地关注中间人业务。中间人业务在交换研究中的重要性已在积极性连接的网络中引起了注意,在这类网络中,参与者通常投身于“正和”(博弈)性质的活动。在某些情况下,中心性位置通过助长中间人业务来创造权力。这样一种观念将我带向了更深入的分析,有助于我们理解中间人业务的内涵,以及这种业务将如何

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  • 23

    4.4 老练与高效的权力支配者

    现在,我们要更多地来讨论一下这个更大的框架:基于依赖(对他人视为至关重要的资源的控制)、合法权威或者对议程的控制而行使权力的个人,往往在那些被他们所支配的人面前表现出独一无二的老练和高效,恰如他们可能真的能够达到的水平那样。但是,如果我们从当下的处境中退一步,可能就会发现,历史、政治和经济环境在让这些人(无论其多么老练)步入施展他们权力的位置方面发挥了巨大的

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  • 24

    5.1 制度和“逻辑”

    我们必须从对“社会制度”的定义入手。最典型的定义是,它们是一套持久化的模式,定义了一套特定的社会行为应该如何实施以及如何执行。詹姆斯·马奥尼(James Mahoney)和凯瑟琳·西伦(Kathleen Thelen)在《解释制度变迁》(Explaining Institutional Change)中将制度描述为“相对持久的政治和社会生活特征(规定、规则、

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  • 25

    5.2 中距制度

    在考虑一大串规则集合如何规制经济活动的早期理论中,社会学的组织理论假定,规范性模式或“制度逻辑”适用于特定的“组织场域”。所谓“组织场域”,即一套相互作用的组织的集合,在实践中通常是指一个特定的产业和与之互动的那些消费者、投资者、律师、立法者、监管者和其他形形色色的行为者。关于“组织的新制度理论”(“新制度”这个术语在社会学和管理学中都有使用,只是与“新制度

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  • 26

    5.3 哪套规则是合适的

    在探讨组织和产业“制度逻辑”的文献中,地理空间偶尔会作为这个或那个逻辑所在场所而出现,就像劳恩斯伯里笔下波士顿共同基金的“受托人逻辑”与集中于纽约的“增长型逻辑”那样进行对比。但是,许多学者如今更进一步把重点放在地理单位上,认为它们才是文化、规范和制度性差异的主要载体,这些差异塑造了经济行动,也影响了该区域内的任何产业。被说成是规制着经济不同方面的规则复合体

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  • 27

    5.4 “集成式”生产和汽车工业

    汽车工业之所以特别有趣,不仅在于它在国家文化或逻辑的讨论中被提及,还在于近年来它的供应链变得越来越全球化。生产已分散在许多国家,这确为事实。如果国家文化起着重要作用,那么有人可能会问,是只有OEM(原始设备生产商)所在的国家的文化重要,还是说OEM必须找出如何整合不同民族文化下各种行为的解决办法。正如我在这里描述的案例所示,这通常不是一个大问题,尽管它可能存

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  • 28

    6.1 华尔街的分析师

    在某些情况下,行动者从可用的制度方法中选择一种来解决他们想要处理的问题。当一个行为与多个制度领域相交时,多种方法便相互关联起来。我以一个普通的、几乎是老生常谈的例子开始,一个华尔街的金融分析师每周投入上百小时分析合并和收购项目,这为她带来了卓越和勤奋的声誉。但是,如果让她按照义务标准来分配自己的活动,并对生活在郊区的配偶和孩子多负点责任,她很可能会把投入于曼

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  • 29

    6.2 跨越的逻辑和资源的转置

    在某些情境下,有着待解决的经济问题的行动者,可能看不到任何明显的提供指导的制度模式,而是将他们的问题类比到某种不同类型的、“对行为模式确有文化性解释的”制度中去,并为了经济而将这些模式转置(即挪用到当前情境下)。换句话说,有问题待解决的实用主义者没有无限的模板可供使用,而着手处理新问题的方法之一,就是从另一种制度背景(也就是他们自己生活的另一个方面)中将模板

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  • 30

    6.3 有意识思考的选择

    尽管我可能会采取“个人如何选择一个制度框架来指导其行动”这样的说法,但我想重申的是,相较于真实的情形,这里的“选择”实在是包含了过多“有意识思考”的成分。哪一种规范起到支配作用,取决于什么样的认知框架被触发,而这些框架,如果它们是真正的行动指导,则不太可能被积极地思考和衡量,因为思考和衡量将削弱它们在构建认知方面的能力。当框架碰撞成为愿景分歧和利益冲突的一部

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  • 31

    6.4 从动荡、战争和革命中取舍制度

    对于这些主题,我试图通过考察在历经创伤的历史条件下“国家经济和政治系统遭受剧烈重构”的案例来加以探究,因为这些案例揭示了很多有关广泛的历史力量、策略行动和制度之间相互作用的内容,无论这其中的制度是任何给定时刻、给定地点的存在,还是残留于历史记录之中的痕迹——通过个人和制度性记忆的延续它们可以作为“合理的模型”来解决当下问题。我可以通过一个广泛、综合的处理方式

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  • 32

    6.5 经济行动、网络和制度中的信任、规范与权力

    一本书行文至此,按照惯例是要有最后一章的,以便扼要总结所有的主要观点,并试图展示它们如何以某种一致性方式串联在一起。我抗拒这样做,一是因为我不想假装出某种并不存在的一致性;二是因为我可以向读者解释说,我承诺将出版下册书,其主题将呈现诸如腐败、组织形式和公司治理之类的具体案例,在这些应用性案例中,我将试图说明,本书所发展的框架能比标准理论更有助于说清楚一些道理

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    参考文献

    Abbott, Andrew. 1983. “Professional Ethics.” American Journal of Sociology 88:855–885. Abend, Gabriel. 2014. The Moral Background: An Inquiry into the History of Busness Ethics. Pr

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    译后记

    有多少“成就”源于“让自己别无选择”的制度 2016年12月18日,在参加完中国管理科学学会的年会后,20余年来对我多有帮助的罗家德老师和我一块离开会场回家,罗老师打车捎我一程。在出租车上罗老师说,格兰诺维特有一本综合其“经济社会学基本思想”的著作,删删改改20多年,2017年会推出英文版。他希望邀我一块将其翻译成中文。 尽管知道自己因女儿年幼而时间非常紧张

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