人類社 會的階層化：不平等的歷史

1. 人類社會的階層化：不平等的歷史 Social Stratification in Human Societies: The History of Inequality

2. History of inequality • 1820世界各地的不平等程度差不多 • 中國的per capital income 約$500 • 歐洲$1000-1500 • 二十世紀末 • US $30,600 • Ethiopia $500 • 人類社會中不平等的長期趨勢為何？Have these inequalities always been so great? Is our society more unequal than others? Will it always be so?

3. History of inequality • hominids (our closest ancestors) 距今四百萬年前 (see Leakey and Lewin 1977). • 人類在一萬年前才形成定居的農業社群，或今天所謂的「社會」的雛形。 • 在人類的文明大部分的時間中，人類生活處於接近平等的狀態下，而非今天十分普遍的不平等狀態。

4. History of inequality • Neolithic revolution—settling down to an agricultural life.從新石器時代革命，人類才開始定居的農業生活。 • 幾千年後，大型城市、文明與帝國興起。 • 至此，因為社會分工，有些人得以離開農業生產從事科學，宗教，藝術及軍事技術等活動。

5. History of inequality • 人類文明的進展也有其代價： • “The process of civilization was also one of enslavement (see Wells, 1971:193)” • 定居的農業生活，也是階層化、不平等及剝削歷史的開始。 • 文明的歷史，可以說是社會階層化的歷史The history of civilization is, in fact, the history of social stratification.

6. Varieties of human stratification system • 人類文明中五種社會階層化類型： • Primitive communal原始社群 • Slavery奴隸制 • Caste喀司特系統 • Estate or feudal封建領主制 • Class system階級系統

7. Varieties of human stratification system • Each of these five general typescan be compared on five basic characteristics of stratification systems: • (1) normatively closed versus open divisions階級界線的嚴峻程度：封閉還是開放界線？ • (2) The actual method of status or class placement地位安排的方法 • (3) the major method of legitimation合理化不平等的方式。 • (4) the predominated form of inequality主要不平等的形式 • (5) comparative level of inequality in each type of stratification system不平等的程度

8. Varieties of human stratification system • (1) the degree of normativeclosure or openness between the hierarchical divisions or ranks within the stratification system.階層化系統中科層地位界線的開放性程度 • Normative because we are referring to values prescribing relatively open versus closed rankings. • 界定社會流動的開放性程度的社會規範及價值。

9. Varieties of human stratification system • (2) Differentmethods by which people are actually placed within ranks in the stratification system.將每一個人置於階層體系地位的方法 • Ascription –出生的屬性決定社會位置 • Achievement –根據個人後天成就來排位。 • The ascription-achievement continuum大部分的社會介於兩個極端之間。

10. Varieties of human stratification system • (3) 每一個社會都需要合理化不平等存在的事實，一般稱為正當化（process of legitimation)過程。不平等程度越大的社會，正當性的要求越高。在下層社會的人民必須被「說服」他們「適得其位」。 • 在缺乏正當性之下，結構性的不平等僅能憑藉強權來維繫，且長期十分不穩定。

11. Varieties of human stratification system • 合理化不平等可以透過： • （一）：傳統或習俗 • （二）：a systematic ideological justification 有系統性意識型態上的合理化，例如對於在上位者具有較優秀的品質或對於社會有卓越貢獻的世俗信仰體系。 • （三）：宗教信仰 • Deity or supernatural force＋promised rewards (遵守現世規範及地位者的來世或天國報酬） • （四）：法律 • backed up by the authority of the state or on legal procedures that claim to ensures fair setof rules in assigning ranks and rewards.

12. Varieties of human stratification system • (4) The predominated form of inequality不平等的主要形式 • Three major dimensions or kinds of inequality : • 1. inequalities of honor, status, or prestige; • 2. inequalities of economic influence and material rewards; • 3. inequalities based on military, political, or bureaucratic power. • 三者通常有很高的相關性，但在不同階層化體系中，其中之一的重要性會高過其他兩者。

13. Varieties of human stratification system • (5) comparative level of inequality in each type of stratification system • Overall inequality比較菁英與平民之間在權力及經濟力量上的差異，五種社會原型的不平等程度依序為： • Primitive communal< industrial societies < estate societies < caste < slave • 一一檢視各種社會的原型以瞭解造成上述不平等差異的原因。

14. Primitive Communal Societies原始社區部落 • 以簡單狩獵及採集為主要經濟活動。 • 因其經濟方式每隔一段時間就會窮盡環境中的資源，因此需要經常移動以尋找新的資源，導致大多為游牧或半游牧社會。 • 不容易累積物質財富，物品與食物約略平均分配於部落成員中。 • 不平等的主要形式—地位(status)或榮耀(honor)。 • 可以透過提供部落重要功能或服務得到地位，但物質報酬不會因而有顯著的增加。 • 由於不平等的程度不高，因此不需有系統性的意識型態來合理化不平等，訴諸傳統是最常用的合理化解釋。

15. Slavery奴隸社會 • 人類文明進入農業定居生活時即出現奴隸制度，到早期農業文明時期，蓄奴達到最高峰。 • 努隸制度為一種經濟關係，不平等的主要形式為經濟的不平等。 • 奴隸的地位出於出生、戰敗俘虜、欠債、商業貿易及掠奪。 • 與美國黑奴的經驗不同，人類文明中的奴隸地位不一定是繼承的，也不是不能流動。在很多地區，奴隸可以透過努力取得自由。

16. Slavery奴隸社會 • In some ancient societies, slaves were sometimes highly rewarded, and even placed in positions of high authority. • 理由：Elites sometimes believed that slaves could be controlled andtrusted with power more than could nonslaves, who might aspire to the kingship. • 例如：埃及的約瑟，中國的宦官

17. Slavery奴隸社會 • Two means of legitimation • (1) Legal: slave status was usually a legal property relation sanctioned by state authority. • (2) Ideological justification: • Racist beliefs "explaining" the inferior qualities of slaves

18. caste system喀司特（種性）制度 • 起源不詳：約4000年前 • Indiancaste system： four main divisions or castes • 不是每一個人都在嚴峻的種性體系內找到位置，很多人屬於”outcastes”或”untouchable”—在階層化體系內找不到位置的一群。 • 特點：high degree of normative closure and rigid rank地位界線沒有模糊地帶，界定的十分清楚。

19. caste system喀司特（種性）制度 • More recent historical research on small villages in India have indicated that the caste system was not always quite as rigid as earlier scholars have claimed, nor as completely accepted by people in lower caste positions (Sekhon 2000; Fuller 1996; Srinivas 1996; Gupta 1991; Beteille 1996). • 英國殖民期間反而強化了種性制度。

20. caste system喀司特（種性）制度 • Very high degree of institutionalization and acceptance of rigid ranks, as well as the rights and duties of each caste. It is ahighly ritualistic system, meaning that strict rules must be observed whenever people from differing castes come into contact.

21. caste system喀司特（種性）制度 • 種性制度在印度是否是普遍被接受？Moore宣稱找不到任何叛變的紀錄。 • 新的研究指出在較為邊陲的鄉村地區，種性制度不完全為untouchables接受 (Dube 1998). • 在早期印度歷史中，小宗教教派所領導的社會運動如Bhakti, Buddhism, Jainism, and Sikhism，都曾經挑戰過種性制度的正當性。

22. caste system喀司特（種性）制度 • Q: 為何如此嚴峻的種性制度會被普遍的接受？ • 合理化不平等種性態度的方法： • 印度教的信仰提供了執行種性制度最好的工具(sanctions，核准、處罰） • 印度人相信輪迴，來生會在種性階級上下流動，而現世是否遵循個人在階級位置的職分，會影響輪迴。例如untouchables被認為是前世為罪人。

23. caste system喀司特（種性）制度 • 雖然在種性制度下，經濟及政治資源分佈十分不均，但整個系統仍然為地位(status inequality)不平等所支配，經濟與政治不平等隨著地位而變。

24. caste system喀司特（種性）制度 • 除了印度外，其他文化也有很接近種性制度的雛形： • Japan 德川幕府(1603～1867)Tokugawa period • 今天我們經常將基於出生的不平等稱為caste，如種族喀司特。

25. Feudalism or estate system • 起源於軍事力量還是經濟支配？仍有爭議。 • Marx 認為是基於土地產權的擁有所形成的一種支配關係。 • Bloch認為是歐洲中古早期的幾大家族藉由軍事力量所行成的制度。 • 本書認為封建制度在早期發展憑藉軍事力量，但經濟在封建後期較為重要。封建的最後階段bureaucratic state power變成最重要的元素。

26. Feudalism or estate system • 12th世紀，封建制度已經在歐洲建立。 • 貴族(Nobility)為擁有土地所有權的一批軍人階級。 • 與其屬民(subject)之間有明確的從屬封臣關係(vassalage)，農民以提供勞務及軍事服務來換取生活的必須及保護。

27. Feudalism or estate system • 封建早期，歐洲為分散且主權互相重疊的封建領主所佔領。經過長期的征戰及政治結盟，幾個顯赫的貴族家族形成龐大力量，逐漸形成封建帝國，為現代國家的前身。

28. Feudalism or estate system • It was with the consolidation of early feudal states around the twelfth century thatthe true form of an estate system fully emerged. • For it was with state sanction that estateranks, similar to classes, were formalized and given justification or legitimationthrough law.

29. Feudalism or estate system • Three estates (等級） were defined by law: • The priestly class (the first estate) • The nobility (the second estate) • Commoners (the third estate) • 封建早期藉由傳統來維繫社會不平等，隨著國家的發展，法律的sanction成為維繫此制度的重要支柱。

30. Feudalism or estate system • The church, primarily the Roman Catholic church, was a hierarchical institution that through its teachings supported the tradition of worldly inequality. • With the emergence of the state, the higher church officials were given legal sanction as the first estate. • In this later stage of feudalism, the church usually gave supporting religious sanction to the secular rulers through an ideology of divine right kings.

31. Feudalism or estate system • 封建制度是否封閉？ • 早期流動頗多，武士可以被封貴族，讀書人可以升至宗教高位。 • 封建晚期變的較為嚴峻，「位階繼承」 (hereditary placement)有嚴格的規定，「血統」支配地位的取得，不同階級之間的婚姻被禁止，以確保等級的封閉性。 • It was in this type of society that relative inequality reached its highest level.

32. Class • 地位安排： • 階級社會的重要特色為以工業經濟為基礎（而非傳統的農業）。 • 由於工業革命帶來經濟結構的改變，封建貴族逐漸喪失經濟及政治的支配地位。工業社會需要完全不同的階層化系統。 • 社會必須在某種程度上，以個人的能力及表現來安排地位 –奠基於成就的開放系統。

33. Class • 不平等的程度： • 強調開放系統及成就取向並不等同於在社會價值上強調平等。階級社會支持在機會均等及自由競爭的前提下所產生的不平等。 • 能力最強的應給予最高報酬是一般的信念。 • 工業社會初期菁英與平民的差距比以前縮小，主要不是因為菁英擁有的變少了，而是因為一般民眾的財富增加。後期不平等有與日遽增的趨勢。

34. Class • 階級社會的正當化過程： • In class societies inequalities are justified in large measure by an ideology of equality of opportunity. Thus, the normative stress on open ranks and achievement itself becomes part of the legitimation process. • 在某種程度上，促進自由競爭及機會均等（如教育均等、反脫拉斯）的立法，也成為合理化不平等的意識型態之一。

35. Class • 不平等的形式： • 早期的階級社會以以經濟不平等為主。 • economically based inequalities are not as important now as inequalities in bureaucratic power. With the ownership of the means of production (capital or factories) no longer securely in the hands of wealthy families and with the growth of corporate and government bureaucratic institutions, it is said that top positions in these bureaucratic institutions are the most prominent forms of class superiority in advanced industrial societies.

36. 各種社會之比較

37. 各種社會之比較

38. 不平等與社會階層化的源頭 • A general outline of history of inequality. • In reality We find no unaltered linear progression from primitive communal societies to industrial class system, only a general tendency in this direction over the centuries.

39. 不平等與社會階層化的源頭 • what follows is a review of the development of human societies as well as systems of social stratification. We will be referring mostly to types of societies in terms of their levels of technology in contrast to types of stratification system in the above material.

40. 不平等與社會階層化的源頭

41. Early Human Groups • human beings have been on this earth from 500,000 to over 4 million years.(東非） • The general type of social organization based on this level of technology was described earlier as primitive communalism. • 這些社會的共同特色之一：near equality. Structured inequalities was seldom if ever found. The food they find is either considered common property or divided equally among all members of the tribe.

42. Early Human Groups • 不平等的程度相當低，主要是在權力及影響力上：Inequalities of power are usually based on the experience of age or the status of being the best provider of food. • Most common is a decision-making method involving free group discussion by all adult members of the tribe. • Thus, a form of democracy or equality of influence exists.

43. Early Human Groups • Because of their level of technology, these tribes are generally nomadic or seminomadic. • the food sources in their environment are usually depleted through time, and they must move on. This also prevents the accumulation of many personal possessions; they must travel light.

44. Early Human Groups • method of food production can support only a few people in one area. An examination of living hunting and gathering tribes shows they average only about fifty members (Mudock 2949:81)

45. Early Human Groups • Rousseau was more accurate (though not completely) in his view of earlyhuman beings than was Thomas Hobbes (who assumed their life to be "solitary, poor, nasty, brutish, and short"). Hunting, especially, is much more efficient as a cooperative enterprise.

46. Early Human Groups • Moreover, with weapons no more sophisticated than a club or spear, no member of the tribe had the power to forcefully prevent a majority of others from attaining their share of the prey.

47. Early Human Groups • From cooperativefood gathering comes the necessityof sharing (Pfeiffer 197750).

48. Early Human Groups • Gender inequality: Because of infant dependency, mothers were required to stay closer to the home base and could not pursue wild game as easily. • A division of labor based on sex developed, with men doing the hunting and women taking care of infants and gathering food that could more easily be collected around the home base (Chafetz 1984; 1988; Sanday 1981).

49. Early Human Groups • A division of labor alone does not necessarily require social inequality. • But, in the absence of economic or power concentration, when one occupation comes to be of major importance for the survival of the group, those who are most skilled in this occupation will usually come to be more highly rewarded.

50. Early Human Groups • Hadza of Tanzania and the Palliyans of southwest India eat little meat the level of status inequality between the sexes is low. • However, the Eskimos have a high dependence on meat, and thelevel of sexual-inequality among them is greater.