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社会互动的理论与实证研究评析
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摘要
人们日常生活中的决策往往受到别人的影响,时尚、榜样、攀比、随大流等词汇的流行可以说明这一点。个人行为与他人行为之间的相互影响是社会学和社会心理学的热点问题,然而在以研究个人选择问题著称的经济学中长期没有得到重视。现代经济学中关于个人选择研究的主流范式是理性选择理论。每个人都被抽象成具有理性偏好的“理性人”,即他对选择集里面的所有选项的偏好满足完备性和传递性。理性的偏好可以用效用函数来表示,个人的最优选择问题就转化为预算约束下的效用最大化。完全竞争市场上所有的理性人各自独立的对市场信号做出反应以最大化自己的效用,最终形成均衡的价格和资源配置。在这个过程中每个人的偏好都是独立于其他人,人和人之间仅通过市场价格间接地相互联系。这样个人选择的社会影响因素就被完全忽视了。这一状况在最近20年,特别是最近10年的经济学研究中正在发生显著的变化,经济学的理论和实证研究越来越重视社会因素对个人行为的影响及其产生机制。人与人之间的影响是相互的,经济学家们用“社会互动”来指称这种社会环境中的相互影响。社会互动理论或者“社会互动的经济分析”就成为这方面研究的一个统称。
     社会互动理论已经被广泛应用于分析犯罪率、城市贫困、福利中请、生育率、住房需求与城市发展、就业、学生成绩等多方面的问题,产生出许多新的见解,弥补了主流经济学在这些问题上的不足之处,有很大的理论和应用价值。不过由于社会互动研究是新兴的经济学研究领域,许多研究角度和思路各异的理论同时发展,这些理论虽然围绕相近的主题但又关系松散,没有形成统一的理论体系。本论文的研究目的有两个,一个是对现有的社会互动研究进行梳理以期得到一个社会互动研究的框架体系,另一个是对社会互动研究的主要理论进行评介
     对社会互动的逻辑自洽的研究需要对互动的过程做出清晰的概念化,什么是社会互动?进行互动的个体是什么?他们是怎样互动的?社会科学还没有对这些基本的问题形成统一的答案。本文的导论部分比较了经济学、社会学和社会心理学对社会互动的不同定义,并且从经济学的视角出发给出了一个社会互动的概念化框架。
     本文的第2章是对国内外社会互动研究现状的一个初步评估,以使为接下来的研究找到出发点。国内的社会互动研究尚处于起步阶段,本文择要做了简单介绍。社会互动的实证研究虽然也包罗万象,但其面临的主要问题和解决方法都已有了系统的研究,本文在那里做了重点介绍。
     为了从纷繁芜杂的众多社会互动理论中梳理出比较清晰的脉络,第3章从社会互动的先行者的理论思想入手,从源流上把握社会互动理论发展的线索。凡勃伦的炫耀性消费理论被认为是最早的社会互动理论,杜森贝里的相对收入假说和雷本斯坦对势利效应的研究与炫耀性消费理论一脉相承,都以个人的消费行为作为研究的着眼点。贝克尔用他的“新消费理论”的思想把社会互动的影响从个人的消费行为推广到各种选择行为,并开始探讨个人对社会影响因素的控制能力问题。贝克尔早期和近期对社会互动的看法有着很大的差异,体现了社会互动问题的复杂性。谢林的社会互动研究着眼点和前述几位经济学家的都不同,因为他关心的问题不是社会互动对个人行为的影响而是对整体的后果的影响。当个体的行为之间存在社会互动效应这种外部性时,整体的均衡结果可能与个人的动机大相径庭。
     社会互动发生的机制和表现形式是理解社会互动的关键,第4章对此做了考察。社会学和社会心理学的一些理论对理解社会互动的发生机制很有指导意义,所以第4章考察了社会学和社会心理学中的相关理论,包括米德的自我理论和符号互动论以及参照群体理论,社会因素的影响既可能是在个人的社会化过程中潜移默化的,比如一些文化特征的代际传递,也可能是通过同群压力或者社会学习效应发生的。然后遵循这些线索的指引对文化传递和社会学习进行了考察,它们都是社会互动发生的重要途径。
     第5章讨论的是阿克洛夫对社会结构与身份的研究,这是对社会因素影响个人行为的另一种视角。阿克洛夫的理论与前述贝克尔等人的社会互动理论既有竞争的地方也有互补的地方,而且他更强调个人的心理因素,有时可以看作社会互动理论的“微观基础”。
     第6章则考察社会互动对个人行为和群体总量的影响。这一章中的模型和谢林的思想关系紧密,比较着重于考察社会互动对群体加总后果的影响。
     第7章对社会互动理论做出总体的评论,指出它的方法论特点、与相邻学科的关系以及存在的不足之处。
People are influenced by others in everyday decision making, the popularity of expressions like fashion, role model, keeping up with the Joneses, following the mainstream serving as a proof of it. The interaction between one's behavior and others'is a major issue of numerous research in sociology and social psychology, but was literally ignored for a long time in economics, which boasts as the science of individual choice. The dominate theory on individual choice in modern economics is rational choice theory. In rational choice theory every man is modeled as a "rational man" with rational preferences, which means that his preference over all of the alternatives in his choice set satisfies the properties of completeness and transitivity. All of these rational men make their choices independently according to the market prices. In such models the social influence on one's choice is totally absent. But in last two decades, especially in last decade the conduct of economics changed dramatically. Social factors influencing individual behavior got more and more attention in economic research. Economists call this kind of research "economic analysis of social interactions", where social interactions referring to every kind of social factors.
     This thesis gives a synthesis and review of economic analysis of social interactions. It answers such basic questions as what social interactions mean, who are the actors in social interactions and how social interactions operate. By answering these questions I make clear the theoretical framework of social interaction research. In the process of answering these questions I reviewed major contributions of early economists on social interactions research, in order to find the trace of development of the research. I made clear the mechanisms through which social interactions operate, namely cultural transmission, peer pressure and social learning. Social structure and identity also play important roles in social interaction research. Social interactions also have interesting consequence on the group level such as multiple equilibrium and phase transition. I give a overall assessment on social interactions research at last.
引文
3凡勃伦《有闲阶级论》,蔡受百译,商务印书馆2009年出版,第148页。
    6凡勃伦《有闲阶级论》,蔡受百译,商务印书馆2009年出版,第14页。
    7凡勃伦《有闲阶级论》,蔡受百译,商务印书馆2009年出版,第30页。
    8同上书,第36-40页。
    9同上书,第55-66贞。
    10同上书,第68页。
    11约翰·梅纳德·凯恩斯,《就业、利息和货币通论》,陆梦龙译,英汉对照版,九州出版社,2007年,第149页。
    12同上书,第151页。
    13同上书,第185页。
    18这个批评来自Becker自己, Becker and Murphy(2000)讲到生育率时承认Becker原来的生育率研究忽视了社会互动因素的影响。见Becker and Murphy(2000),第20页。
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