Phan 3

MOT SO CHU THUYET

■

XA HOI HOC HIEN DAI

 Chu’o’ng 9
THUYET CHlfC NANG

1. M ot so lu a n d ie m goc
Lich sti cua thuyet nay gan lien vdi ten tuoi cua cac nha
xa hoi hoc nhU: Auguste Comte, Herbert Spencer, Emile
Durkheim, Vilfredo Pareto (1848-1932), Athur Radcliffe-
Brown (1881-1955), Bronislaw Malinowski (1884-1942),
Talcott Parsons (1902-1979), Robert Merton (sinh 1910),
Peter Blau (1918 - 2002) va nhieu ngUdi khac.
Ve mat thuat ngti, chu thuyet chtic nang con dUdc goi la
thuyet chtic nang-cau true hay thuyet cau trtic-chtic nang. Du
vdi ten goi nao, cac tac gia cua chu thuyet chtic nang deu
nhan manh tinh lien ket chat che cua cac bo phan cau thanh
nen mot chinh the ma mdi bo phan deu cd chtic nang nhat
dinh gdp phan dam bao sU ton tai cua chinh the dd vdi tu
cach la mot cau true tudng doi on dinh, ben vting.
Mot sd" tac gia coi thuyet chtic nang-cau true la mot dang
xuat hien tUdng doi cham cua thuyet chtic nang trong xa hoi
hoc. Parsons va Merton da tting sti dung thuat ngti nay va
tting dUdc coi la tac gia cua thuyet chtic nang-cau true.

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Nhiing sau nay, chinh Parsons da cho rang cum tii “chtic
nang-cau true'’ la ten goi khong thich hdp trong ly thuyet xa
hoi hoc va dung thay vao dd la thuyet he thong1.
De tranh tranh luan khdng can thiet, d day chi dung mot
ten goi chu thuyet chtic nang de chi mot tap hdp gom cac ly
thuyet cau true, cac ly thuyet chiic nang va cac ly thuyet ket
hdp chiic nang vdi cau true nhii chiic nang-cau true, cau truc-
chiic nang2. Cac ly thuyet nay tuy khac nhau ve nhieu diem
nhiing deu thong nhat d nhiing luan diem goc, nhiing pham
tru, khai niem cd ban va phiidng phap luan nghien ciiu.
Nguon goc ly luan cua thuyet cau truc-chiic nang la: thii
nhat, truyen thong khoa hoc xa hoi Phap coi trong sii on dinh,
trat tii cua he thong vdi cac bo phan cd quan he chiic nang-
hiiu cd vdi chinh the he thong; va thii hai, truyen thong khoa
hoc Anh vdi thuyet tien hoa, thuyet kinh te, thuyet vi ldi,
thuyet hiiu cd phat trien manh3. Tii hai truyen thong nay da
nay sinh nhiing y tiidng khoa hoc ve xa hoi nhii la mot sinh
the hiiu cd dac biet vdi he thong gom cac thanh phan cd
nhiing chiic nang nhat dinh tao thanh cau true o’n dinh.
Comte la ngiidi dau tien de ra hiidng nghien ciiu tinh hoc
xa hoi de tim hieu cac quy luat duy tri sii o’n dinh, trat tii cua

1 Talcott Parsons. The Present Status o f Structural-Functional Theory in

Sociology, trong Lewis A. Coser (Ed. ). The Idea o f Social Structure: Papers
in Honor o f Robert K. Merton. New York. 1975. Tr. 67.

2 Do la nhiing ten goi khac nhau cua cac bien the t i mot chu thuyet chic
nang trong lich s i xa hoi hoc.

3 Hansjurgen Daheim. Thuyet chtic nang-cau true., trong Cdc ly thuyet xa

hoi hoc hien dai. Guter Endruweit (chu bien). Nxb The Gidi. Ha Noi -1999.
Tr. 49-160.

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cau true xa hoi. Ong cho rang do thieu sU phoi hdp nhip
nhang giufa cac bo phan ma cau true xa hoi bi roi loan gay ra
sU bat thudng xa hoi. NhUng dng chua sti dung khai niem
chtic nang vdi tu cach la pham tru xa hoi hoc.
Spencer da van dung hang loat cac khai niem sinh vat
hoc nhu sU tien hoa, sU phan hoa chtic nang va dac biet la
khai niem cau true va khai niem chtic nang de giai thich cac
hien tudng cua sinh the/cd the xa hoi. Spencer cho rang thdng
qua qua trinh phan hoa, chuyen mon hoa ma xa hoi loai
ngUdi da tien hoa tti hinh thtic ddn gian len phtic tap. Ong chi
ra rang sU bien do’i chtic nang cua cac bo phan keo theo sU
bien doi cau true cua ca chinh the xa hoi.
Durkheim khdng nhting nghien ctiu chtic nang va cau
true xa hoi ma con dUa ra cac quy tac sti dung cac khai niem
nay lam cdng cu phan tich xa hoi hoc. Durkheim de ra yeu
cau la nghien ctiu xa hoi hoc can phai phan biet ro nguyen
nhan va chtic nang cua sU kien xa hdi. Ong cho rang viec chi
ra dUdc chtic nang ttic la ich ldi, tac dung hay sU thoa man
mot nhu cau khdng cd nghia la giai thich dUdc sU hinh thanh
va ban chat cua sii kien xa hoi. De lam dieu dd, can phai vach
ra cac tac nhan gay ra su kien xa hoi.
Ddng gop vao xay dung thuyet chtic nang-cau true con cd
cac nha nghien ctiu khac. Vilfredo Pareto (1848-1923)1 nhan

1 Vilfredo Pareto (1848-1923) la nha xa hoi hoc, nha kinh te hoc ngiidi Italia.
Tac gia cuon sach Luan ve xa hoi hoc dai ctfdng (Tattato di Sociologia
Generate) xuat ban nam 1916. Ngufdi dau tien diia ra thuat ngii "tinh hoa”
(elite) de chi mot thieu so' ngiidi thong tri da so ngUdi khac trong xa hoi. Tac
gia bang phan loai hanh dong xa hoi logic va phi logic. Pareto coi xa hoi hoc
la mot khoa hoc tong hdp nghien ciiu xa hoi noi chung. Ong viet ring: Xa
hoi ngiidi la doi tUdng cua nhieu nghien ctiu. Mot so trong do tao thanh

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manh vai tro cua trang thai can b ln g dong trong sii bien doi
cau true xa hoi. Bronislaw Malinowski (1884-1942)1 la ngUdi
dau tien van dung khai niem chiic nang vao nghien ciiu cac
nhu cau va chiic nang tam ly cua cac ca nhan. Tuy ma thuat
la gia khoa hoc, nhung theo dng ma thuat cd nhiing chtic
nang quan trong doi vdi con ngUdi nhu nghi le hoa va cung co
niem tin, hy vong, sii lac quan cua con ngUdi trong cuoc dau
tranh chong lai sU sd hai, nghi ngd va bi quan2. Thed dng, xa
hoi dUdc to chiic de dap iing cac yeu cau va sii doi hoi tam ly
cua ca nhan.
Radcliffe-Brown (1881-1955)3 chu trUdng nghien ciiu
chiic nang cua cac thiet che" trong he thong xa hoi. Theo dng,
xa hoi hoc phai trd thanh khoa hoc tu nhien (thuc chiing) ve
xa hoi vdi nhiem vu chu yeu la phat hien ra cac quy luat cua

nhiing bo mon chuyen nganh: luat, kinh te chinh tri, lich s i chinh tri, lich
s i cac ton giao, v.v. M ot so" khac con chua diidc phan biet bang cac ten goi cu
the. Theo Pareto, tong hdp tat ca cac nghien ciiu nao nham muc dich tim
hieu xa hoi noi chung, chung ta co the dat cho cai ten la X a hoi hoc.
1 Bronislaw Kaspar Malinowski (1884-1942) la nha nhan hoc xa hoi chic
nang ngiidi Ba-lan. Lay bang tien sy toan-ly, nhung sau chuyen sang nghien
c iu nhan hoc xa hoi va (cung v6i Radcliffe-Brown) de ra thuyet cau tric-
ch ic nang de giai thich cac hien tUdng van hoa, xa hoi, kinh te, chinh tri
trong moi hen he tao thanh mot chinh the cau true. Ong giang day mon
nhan hoc xa hoi tai trUdng Dai hoc Kinh te London, 1927-1938. Ly thuyet
ch ic nang cua ong the hien ro nhat trong cuon: A Scientific Theory o f
Culture (1944).

2 Bronislaw Mahnowski. M a thuat,khoa hoc vd ton gido, trong Hoi khoa hoc
lich s i . Nhiing van de nhan hoc ton gido. Nxb Da N ln g . 2006. Tr. 212-213.
3 Alfred Radcliffe-Brown (1881-1955) la nha nhan hoc ca'u tr ie -c h ic nang
ngUdi Anh. Tac gia thuyet xa hoi hoc so sanh trong nhan hoc. Giang day d
nhieu triidng dai hoc d Anh, M y, Uc, Nam Phi. Tac pham chinh: Structure
and Function in Primitive Society (1952).

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moi quan he xa hoi gitia cac ca nhan. Ong coi cau true xa hoi
la hinh mau, mo hinh cua cac quan he xa hoi hinh thanh,
bien doi trong dieu kien lich sti cu the.
Moi quan he dac biet gitia khai niem cau true xa hoi vdi
tmh cach la cong cu, phUdng phap phan tich va hien thuc xa
hoi gom cac moi lien he xa hoi diidc Claude Levi-Strauss (sinh
1908)1 lam ro trong nghien ctiu no’i tieng cua dng ve nhan hoc
cau true. Ong diia ra “Nguyen tac can ban la khai niem cau
true xa hoi khdng cd quan he vdi thiic te kinh nghiem luan
nhiing lai cd quan he vdi nhting md hinh diidc xay diing theo
thiic te nay”2. Nhiing, theo dng, chi nhting md hinh nao dam
bao bon dieu kien sau day mdi diidc goi la cau true. (1) cau
true cd tinh he thong vdi nghia la sii bien doi cua yeu to" nay
cua md hinh se keo theo sii bien doi cua cac yeu to" khac, (2)
mdi sii bien doi tUdng ting vdi mot md hinh, do dd toan bo mot
loai bien doi tao thanh mot nhdm nhting md hinh tudng ting,
(3) tti bien doi cua mot yeu to" ctia md hinh cd the du bao sii
phan ting cua ca md hinh, (4) md hinh dUdc xay diing de giup

1 Claude-Levi-Strauss (sinh 1908) la nha nhan hoc xa hoi ngiidi Phap. Sinh
d Bruxelles, Bi nam 1908. Nam 1914 gia dinh ong ve song d Versailles,
Phap. Ong hoc luat d Sorbome, nam 1928 diidc bau lam tong thii ky Lien
doan sinh vien xa hoi chu nghia. Hoan thanh luan an tien sy ve Cau true ca
ban cua he than toe nam 1947 d Dai hoc Sorbone. Giang day dai hoc d nhieu
ndi trong do co Hoa Ky. Ong co cong thanh lap Phong thi nghiem nhan hoc
xa hoi va sang lap Tap chi Nhan hoc Phap. Mot trong nhQng cong trinh
nghien ciiu noi tieng nhat cua ong la Nhan hoc cau true xuat ban nam 1958.
2 Claude Levi-Strauss. Nhan loai hoc cau true, trong Boris Lojkine va
Benoit de Treglode. M o t so van d i v i xa hoi hoc vd nhan loai hoc. Nxb Khoa
hoc xa hoi. Ha Noi. 1997. Tr. 293-294.

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nhan thiic dUdc sii kien quan sat1.
Nhu vay, sU phat trien cua thuyet cau truc-chiic nang la
ket qua cua nhiing dong gop ly luan xa hoi hoc cua nhieu tac
gia khac nhau, nhung thong nhat d cho cho rang de giai thich
sii ton tai va van hanh cua xa hoi, can phan tich cau truc-
chiic nang cua no, tiic la chi ra cac thanh phan cau thanh
(cau true) va cac cd che hoat dong (chiic nang) cua chung.
Cac luan diem goc cua thuyet cau truc-chiic nang deu
nhan manh tinh can blng, on dinh va kha nang thich nghi
cua cau true. Thuyet nay cho rin g mot xa hoi ton tai, phat
trien dUdc la do cac bo phan cau thanh cua nd hoat dong nhip
nhang v6i nhau de dam bao sii can b ln g chung cua ca cau
true; bat ky mot sU thay doi nao d thanh phan nao cung keo
theo sU thay do’i d cac thanh phan khac. Sii bien do’i cua cau
true tuan theo quy luat tien hoa, thich nghi khi mdi trUdng
song thay doi; sii bien doi cua cau true luon hu6ng t6i thiet
lap lai trang thai can bang, o’n dinh. Doi vdi cau true xa hoi,
cac dai dien cua chu thuyet chiic nang viia nhan manh tinh
he thong cua nd vCfa de cao vai tro quan trong cua he gia tri,
he chuan miic xa hoi trong viec tao diing sii nhat tri, thong
nhat, o’n dinh, trat tu xa hoi.
PhUdng phap luan. Thuyet chiic nang hudng vao giai
quyet van de ban chat cua cau true xa hoi va he qua cua cau
true xa hoi2. Doi vdi bat ky sii kien, hien tudng xa hoi nao,

1 Claude Levi-Strauss. Nhan loai hoc cau true, trong Boris Lojkine va
Benoit de Treglode. M ot so van de ve xa hoi hoc va nhan loai hoc. Nxb Khoa
hoc xa hoi. Ha Noi. 1997. Tr. 294-295.

2 Can chu y t6i y nghia phUdng phap luan cua khai niem cau true ma
Claude Levi-Strauss da neu len nhu sau: “Khai niem cau true khong phai la

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nhiing ngudi theo thuyet chiic nang deu hudng vao viec phan
tich cac thanh phan tao nen cau true cua chung, xem cac
thanh phan do co moi lien he vdi nhau nhii the nao va dac
biet xet quan he cua chung doi vdi nhu cau chung cua sii ton
tai, phat trien sii kien, hien tiidng dd.
Dong thdi, ve mat phiidng phap luan, chu thuyet nay ddi
hoi phai tim hieu cd che hoat dong cua tiing thanh phan de
biet chung cd chiic nang, tac dung gi doi vdi sii ton tai mot
cach can bang, on dinh cua cau true xa hoi. Vdi tat ca nhiing
dac diem cd ban neu tren, chu thuyet nay cd the goi la thuyet
cau truc-chiic nang hay thuyet chiic nang-cau true.

2. M ot so k h a i n ie m co? b a n
Cau true vd he thong
Cac tac gia khac nhau cua thuyet chiic nang cd quan
niem khdng giong nhau ve cau true, he thong va quan he
giiia chung. Tuy nhien, cd the neu mot each khai quat: cau
true la kieu quan he giiia con ngUdi va xa hoi dUdc dinh
hinh mot each on dinh, ben viing. VI du, cau true phan tang
xa hoi, cau true to chiic nhiem sd, cau true thi trUdng, cau

mot hoc thuyet triet ly, m a la mot phiidng phap”. “No trich lay nhiing sii
kien xa hoi co trong kinh nghiem, dem vao trong phong thi nghiem. Noi
day, no co' cong de dinh chiing diidi hinh thiic khuon mau, liic nao cung xem
trong khong phai nhiing ddn to, ma la nhiing hen quan giiia cac ddn to”.
Trich theo Tran Thien Dao. Chu nghia hien sinh & Thuyet cau true. Nxb
Van hoc. Ha Noi. 2001. Tr. 339. Claude Levi-Strauss da ap dung he tho'ng
phUdng phap cau true vao nghien ciiu cau true lich dai (cac hang trong bang
phan tich) va cau true dong dai (cac cot) cua than thoai. Claude Levi-
Strauss. “Cau true cua than thoai’, trong Hoi khoa hoc lich sii. Nhiing van
d i nhan hoc ton gido. Nxb Da Nang. 2006. Tr. 214-241.

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true he gia tri van hoa la nhiing hinh thiic bieu hien cu the
cua cau true xa hoi.
Khai niem “he thong” nhan manh tinh chinh the, tinh
toan ven, tinh thong nhat cua cac thanh to". Vi du, Gordon
M arshall dinh nghia: “He thong la bat ky moi lien he co
cau true hay dUdc dinh hinh cua bat ky mot so" cac yeu to
nao ma he thong do tao thanh mot chinh the hay mot the
thong nhat” 1.
Ca hai khai niem nay deu noi tdi mot tap hdp cac
thanh phan, bo phan co mo"i lien he chat che, hiiu cd tao
thanh mot chinh the ton tai trong mo"i quan he tUdng tac,
trao doi vdi mdi trUdng song xung quanh. Ca hai khai niem
deu nhan manh rang bat ky mot thay do’i d bo phan nao
cung gay ra nhiing thay doi d bo phan khac va d toan bo
cac bo phan khac. Ca hai khai niem nay deu dUdc trien
khai tren cac cap do khac nhau tii vl md den vi md, vi du
mdi he thong ldn deu chiia diing nhieu he thong nho, tUdng
tu nhu vay mdi mot cau true ldn deu cd nhieu cac thanh
phan cau true nho.
Trong nhieu trUdng hdp, khai niem cau true dUdc dung
vdi nghia tUdng tu nhu khai niem he thong. Viec sti dung
tUdng dudng hai khai niem nay the hien rd nhat trong ly
thuyet cua Foucault, Parsons va Merton. Vi du, trong cac
nghien ctiu cua Parsons, khai niem “cau true cua hanh dong
xa hoi” dUdc hieu la “he thong cua hanh dong xa hoi".

1 Gordon Marshall. Oxford Dictionary o f Sociology. 2nd Edition. New York:

Oxford University Press. 1998. 1998. Tr. 659.

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 Chiic nang
Chiic nang la nhu cau, ldi ich, sU can thiet, sU ddi hoi, he
qua, tac dung ma mot thanh phan, bo phan tao ra hay thUc
hien de dam bao sU ton tai, van dong cua ca he thong.
Day la khai niem cd ban cua xa hoi hoc dUdc dinh nghia
theo nhieu cach khac nhau. Durkheim coi chiic nang nhu la
cac nhu c&u chung cua cd the xa hoi va bat ky su kien xa hoi
nao cung cd nhiing chute nang nhat dinh, tiic la cd su dap iing
iing nhu cau nhat dinh cua xa hoi. Ong cho rin g su trCtng
phat khdng chi cd chiic nang ddi den bu hay tra thu ddi vdi
nhiing thiet hai do toi pham gay ra ma con cd chiic nang duy
tri trang thai dong thuan, nhat tri cao cua cong dong xa hoi
trUdc mot sii kien xa hoi xay ra.
Radcliffe-Brown chi ra rang cac nghi le ma thuat cd chiic
nang giam b6t cam giac lo sd hiem nguy va tao ra cam giac
yen tam, an toan xa hoi. Nhu vay, chiic nang lien quan tdi
hien tudng tam ly va hanh vi ca nhan song trong cong dong
xa hoi.
Parsons cung coi chiic nang la nhu cau, la nhiing yeu
cau, nhiing doi hoi cua he thong doi vdi tiing bo phan cau
thanh cua no. Diia vao bang phan loai cac chiic nang, tiic la
cac nhu cau cua he thong, Parsons chi ra thanh phan cau true
cua he thong xa hoi. Chiic nang con dUdc hieu la qua trinh
hoat dong dap iing nhu cau, tao ra ich ldi, thoa man yeu cau
cua mot chinh the xa hoi.
Dieu quan trong can chu y d day la chiic nang xuat phat
mot cach tu nhien tii chinh sU ton tai va phat trien cua ca he
thong gom cac bo phan tao thanh mot cau true nhat dinh. Co

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the hinh dung mot chuoi cac sU kien cua chiic nang nhu sau:
he thong -» nhu c&u —> chiic nang —> bo phan —» cau true —>
he thong.

Chiic nang vd loan chiic nang

Khi phan tich cau truc-chiic nang cua hien tUdng xa hoi,
nha xa hoi hoc phan biet nhiing he qua tich cUc co ldi cho sii
trat tU, o’n dinh, can bang cua hien tUdng dd vdi nhiing he qua
tieu cUc khdng cd ldi, tham chi cd hai, gay mat trat tu, pha vd
trang thai on dinh, can blng. Merton goi nhiing he qua tich
cUc la chiic nang (Function) va he qua tieu cUc la loan chiic
nang (Dysfunction).

Chiic nang trdi, chiic nang an vd loan chiic nang

Merton, mot nha chiic nang luan noi tieng da phan biet:
mot la, loai he qua noi troi dUdc bieu hien, dUdc thiia nhan,
dUdc y thiic mot cach cd muc dich; va hai la, loai he qua tiem
an bieu hien chua rd rang, ngam ngam, chua dUdc thiia nhan
cdng khai. Merton goi loai he qua noi troi la chiic. nang troi,
chiic nang hien (Manifest function) va nhiing he qua chua
bieu hien rd rang la chiic nang an, chiic nang lan (Latent
function).
Ket hdp hai cach phan loai chiic nang (theo bang 2 x 2),
se cd bon loai chiic nang sau day:
• Chiic nang tich cUc noi troi;
• Chiic nang tich cUc tiem an;
• Loan chiic nang hien;
• Loan chiic nang an.

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 3 . L y th u y e t h e th o n g x a h o i c u a T a lc o tt P a r s o n s

Luac sit
Talcott Parsons (1902-1979) la nha xa hoi hoc ngudi My,
tac gia noi tieng cua ly thuyet he thong xa hoi, ly thuyet hanh
dong. Ong hoc dai hoc chuyen nganh sinh vat hoc, sau do hoc
d triidng Dai hoc Kinh te Luan Ddn va viet luan an tien sy d
Dtic ve de tai Khai niem chu nghia tii ban trong van hoc Dtic
dtidng dai. Ong giang day d khoa Kinh te hoc triidng Dai hoc
Tong hdp Harvard. Trong thdi gian nay, dng cd cdng ldn trong
viec gidi thieu Weber vdi xa hoi hoc My: dng da dich cuon
“Dao dtic Tin lanh vd tinh than chu nghia tii ban” nam 1930.
Parsons da cd cdng dau trong viec diia xa hoi hoc vao giang
day d triidng Dai hoc nay vao nam 1931. Nhiing dng trd nen
no’i tieng trong gidi xa hoi hoc ke tti khi dng chd xuat ban
cuon sach “Cau true cua hanh dong xa hoi” nam 1937.
Parsons cd cdng sang lap ra Khoa cdc quan he xa hoi d
triidng Dai hoc To’ng hdp Harvard nam 1946. Dd la ndi thu
hut sii tham gia cua nhieu nha nhan hoc, tam ly hoc va xa hoi
hoc, trong sd" dd cd ca Gordon W. Alport - tac gia cua ly thuyet
tam ly hoc xa hoi va nhan cach, George Homans - tac gia cua
ly thuyet trao doi xa hoi theo hudng tam ly hoc doi lap vdi ly
thuyet he thong xa hoi cua dng. Parsons la tac gia ctia khoang
270 an pham nghien ctiu, trong so' dd cd nhting cong trinh xa
hoi hoc quan trong nhu: “He thong xa hoi” (The Social
System) (1951) va “Tien tdi mot ly thuyet tong quat v i hanh
dong" (Towards a General Theory o f Action) (1951),
(.Sociological Theory and Modern Society) (1967), (.Action
Theory and the Human Condition) (1978).

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 Ly thuyet he thong - hanh dong
Chiu anh hucing cua nhiing nha ly thuyet xa hoi hoc
noi tieng 6 chau A u1, ly thuyet cua Parsons cung tap trung
vao giai quyet van de ve hanh dong xa hoi va trat tu xa
hoi2. Nhin chung, Parsons sti dung khai niem cau true va
khai niem he thong gan nhu tUdng dUdng nhau vdi nghia
la he thong cd cau true va ca hai deu cd chung nhting
thanh phan nhat dinh3. Khai niem cau trtic nhan manh cac
yeu to' tao thanh khuon mau, dinh hinh he thong mot cach
tUdng do'i on dinh. Khai niem he thong nhan manh mot tap
hdp cac yeu to' dUdc s ip xep theo trat tu nhat dinh, nghia
la dUdc dinh hinh vtia doc lap vtia lien tuc trao doi qua lai
vdi he thong mdi trUdng xung quanh.
Ve mat ly thuyet, vdi tu cach la mot tap hdp ldgic cac

1 Ly thuyet he thong xa hoi cua Parsons chiu anh hucing to 16n ve mat ly
luan t i phia ba nha sang lap khoa hoc xa hoi hien dai la Pareto, Durkheim,
Weber va dac biet la Sigmund Freud. Xem Talcott Parsons. The Social
System. Glencoe, Illinais: The Pree Press. 1951. Tr. XI.

2 Me! dau cuon sach He thong xa hoi day 575 trang cua minh Parsons da noi
ro muc tieu cua ong la vach ra mot khung khai niem de phan tich cau true
va cac qua trinh cua cac he thong xa hoi. Talcott Parsons. The Social
System. Glencoe, Illinais: The Pree Press. 1951. Tr. 7; Robert J. Holton.
Talcott Parsons: Conservative Aplogist or Irreplaceable Icon?, trong George
Ritzer and Barry Smart (eds). Handbook o f Social Theory. London: Sage
Publications. 2001. Tr. 153.

3 Parsons viet: “Khi mot tap hop cac hien tudng phu thuoc lan nhau cho
thay tinh on dinh va tinh khuon mau du ro rang trong khoang thdi gian
nhat dinh thi ta co the noi la no co “cau true” va co the coi no nhu la mot “he
th on g. Trong James Fargams. Readings in Social Theory: the Clasic
Trandition to Post-Modernism. McGraw-Hill, Inc. 1993. Tr. 213.

228
khai niem1, Parsons xem xet he thong trong mot khong gian
it nhat co ba chieu nhu sau:
• Thii nhat la chieu cau true - he thong nao cung co
cau true cua no;
• Thii hai la chieu chiic nang - he thong luon n&m
trong trang thai dong viia tu bien doi viia trao doi
vdi moi trUdng;
• Thii ba la chieu kiem soat - he thong co kha nang
dieu khien va tu dieu khien2.
Ly thuyet tong quat ve cdc he thong hanh dong. Parsons
dinh nghia “hanh dong” la “mot qua trinh trong mot he thong
tac nhan-tinh huong ma he thong do co y nghia dong cd doi
vdi tac nhan ca nhan, hay, trong trUdng hdp cua mot tap the,
cac ca nhan thanh vien cua tap the”3. Parsons chi ra thuoc
tmh cd ban cua hanh dong la ca nhan khdng nhiing “phan
iing” doi vdi mot “kich thich” nhat dinh cua tinh huong ma
con phat trien mot he thong cac “ky vong” doi vdi cac doi
tUdng khac nhau cua tinh huong xa hoi.
Cau true cua hanh dong gom cac yeu to' dUdc phan hoa va

1 Ve cuon H e thong xa hoi cua minh, Parsons viet: “Cuon sach nay ro rang la
bai luan ve ly thuyet co tinh he thong. No khong phai la sU t h i nghiem
trinh bay ly thuyet ve mot hien tiiOng cu the nhat dinh, ma la sU co' gln g
trinh bay mot sd do khai niem diidc diln dat mot cach logic”. Talcott
Parsons. The Social System . Glencoe, Illinais: The Pree Press. -1951. Tr.
536.
2 Talcott Parsons. The Social System, trong James Farganis. Readings in
Social Theory: The Clasic Trandition to Post-Modernism. McGraw-Hill, Inc.
1993. Tr. 213-216.
3 Talcott Parsons. The Social System. Glencoe, Illinais: The Pree Press.
1951. Tr. 4.

229
ket hdp cua mot he thong tac nhan-tinh huong. Theo Parsons,
mot ddn vi hanh dong (Unit act) diidc cau true bdi nam yeu to
vat chat va tinh than, khach quan va chu quan la1:
• Muc dich cua hanh dong;
• Phiidng tien de thiic hien hanh dong;
• Dieu kien dien ra hanh dong;
• Cac chuan miic de liia chon muc dich va phiidng
tien hanh dong cho phu hdp;
• Sii nd liic: nhiing thao tac, cong viec can lam de
thiic hien hanh dong.
Cau true cua hanh dong2 diidc quy chieu, trien khai tren
cac cap do he thong khac nhau, trong dd he thong xa hoi chi
la mot trong cac he thong cua nd. Chinh vi vay, cd the goi ly
thuyet cua Parsons ve hanh dong xa hoi la thuyet he thong
hanh dong xa hoi.
Parsons phan biet it nhat bon cap do he thong va cho
rin g thdng qua qua trinh xa hoi hoa ca nhan, hanh dong cua
con ngUdi hinh thanh va bieu hien tren cac cap do he thong tii
cap hanh vi cua cd the len cap nhan cach, cap xa hoi va cap
van hoa. Dac diem cua tiing cap do he thong nhu sau:

1 Jeffrex Alexander. Van hod vd thuyet chiic nang, trong Do Lai Thuy. Theo
vet chan nhiing ngiidi khong lo: tdn Guylivd phieu li/u ky ve cdc ly thuyet
van hod. Nxb Van hoa Thong tin. Ha Noi. 2006. Tr. 49-50.
2 Trong triidng hdp nay, Parsons goi cac khi'a canh cua hanh vi hen quan
trUc tiep tdi cac he thong thuoc “cap do van hoa” la hanh dong. Talcott
Parsons. Several Interdependent Functions Define Society, trong Lynn
Barteck and Karen Mullin. Enduring Issues in Sociology. CA: Greenhaven
Press, Inc. 1995. Tr. 62.

230
 • Cap he thong van hoa1 tUdng iing vdi he thong
bieu truing. Bieu hien cu the cua no la he cac niem
tin ton giao, he ngon ngii, he cac gia tri va chuan
mule xa hoi. Thong qua cd che xa hoi hoa ca nhan,
cac he thdng van hoa cd kha nang bien cac gia tri
chung cua xa hoi thanh he nhulng gia tri rieng cua
mdi ngiidi va nhd vay thuc hien chiic nang kiem
soat xa hoi, duy tri trat tii va bao ton cac khuon
mau hanh dong cua cac ca nhan. Tren cap do nay,
cd the hinh dung hanh dong la qua trinh giao tiep,
qua trinh sii dung cac ky hieu, cac bieu tiidng, cac
phiidng tien cua van hoa de tiidng tac.
• Cap he thong xa hoi gom tap hdp cac ca nhan
tiidng tac vdi nhau trong cac tinh huong nhat
dinh. Tap hdp nay gom hai hay nhieu hdn hai cac
tac nhan (actors - hanh the) la ca nhan hay nhdm
ngiidi tiidng tac vdi nhau trong mot tinh huong it
nhat la cd khia canh vat the hay mdi triidng. Moi
tiidng tac giiia cac hanh the diidc cau true hoa
thdng qua van hoa va he cac gia tri chung. Tren
cap do nay cd the hinh dung hanh dong xa hoi la
hanh dong cua nhdm, hanh .dong tap the.
• Cap he thong nhan cach cd ddn vi cau thanh cd

1 Khai niem van hoa diidc Parsons dung de chi nhiing gi co the truyen nhan
(transmitted) nhii di san, truyen thong; nhiing gi co the hoc tap duoc va
nhulng gi co the chia se duoc. Ong viet: “Van hoa, do la, mot mat, san pham
va mat khac la yeu to' quyet dinh cua cac he thong cua tUdng tac xa hoi
ngUdi”. Talcott Parsons. The Social System. Glencoe, Illinais: The Pree
Press. 1951. Tr. 15.

231
 ban la ca nhan, la chu the hanh dong. Tren cap do
nay, Parsons dac biet quan tam tdi he cac nhu
cau, dong cd, thai do hudng tdi ldi ich ca nhan, tdi
ldi nhuan. Hanh dong xa hoi trong tinh hudng nay
la hanh dong cd y thiic cua con ngUdi.
• Cap he thong hanh vi bao gom cac qua trinh sinh ly,
vat chat hiiu cd cua ddi song con ngUdi ma quan
trong nhat la he thong hoat dong than kinh va he
thong van dong. Tren cap do nay, hanh dong la hanh
vi co dong cd, c6 dinh hudng, la hanh vi bi thuc day
bcJi nhu cau thoa man mot cai gi dd nhat dinh.
Tat ca cac he thong hanh dong tii cap hanh vi den cap
van hoa deu phai dudng dau vdi nhiing van de chiic nang,
“nhiing nhu cau” cua tong the he thong, dd la van de thich
nghi, hudng dich, thong nhat va duy tri khuon mau. Cac nhu
cau cua he thong ddi hoi cac bo phan cau thanh cua nd phai
dap iing, ttic la cd chiic nang hoat dong de thoa man nhu cau
ton tai, phat trien cua he thong. Cac nhu cau chiic nang cua
he thong la nhiing ddi hoi manh den miic nd buoc bo phan
nao hoat dong khdng dung chiic nang se phai thay dd’i tham
chi bi teo di, hay pha san va hinh thanh bo phan thay the. Bo
phan nao hoat dong cd hieu qua se trUdng thanh, ldn manh.
Cdc bien dinh hinh hanh dong. Con ngUdi hanh ddng
khdng tuy tien hoac khdng hoan toan theo y muon chu quan
ma luon hanh dong trong mot tinh huong xac dinh doi hoi
phai lUa chon. Khi xet he thong cua hanh dong tii goc do cua
cac tac nhan, tiic la cua nhiing ngUdi tudng tac vdi nhau va
vdi mdi trUdng thi cd the thay he thong cua hanh dong la he
thong cua cac sU lUa chon ma cac tac nhan dd thuc hien khi

232
doi mat vdi cac kha nang, cac tieu chuan hay cac doi tUdng
cua tinh huong.
Hanh dong dUdc dinh hinh thanh cac kieu, loai hay dang
thiic khac nhau la do tac dong cua nhting yeu to' dinh hudng
ma Parsons goi la cac bien khuon mau (Pattern variables)1.
Parsons neu ra nam bien khuon mau cua viec xac dinh vai
tro. Co the hinh dung cau true cua he thong xa hoi la cau true
cua cac he thong hanh dong dUdc xac dinh trong moi tUdng
quan cua cac bien khuon mau. ThUc chat, nam bien khuon
m&u tao thanh nam moi tUdng quan lUdng cUc, trong dd mdi
tac nhan la ca nhan hay nhdm cd the quyet dinh hanh dong
theo hudng nay hay hudng khac. Su lUa chon tUdng ting vdi
mdi bien khuon mau la2:
• Su lUa chon dong cd, tinh cam gitia sU thien vi va
sU vd tU;
• Su lUa chon ldi ich gitia ldi ich ca nhan va ldi ich
tap the;
• Su lUa chon chuan mUc dinh hudng-gia tri gitia
chuan mUc pho bien va chuan mUc dac thu;
• Su lUa chon phUdng thtic hanh dong gitia gianh
lay va gan cho;
• Su lUa chon quy md cua ldi ich gitia ldi ich dac
trUng rieng va ldi ich pho bien chung.

Tuy nhien, viec hanh dong rdi vao cUc nay hay cUc kia

1Co the coi do nhii la mot cach phan loai hanh dong xa hoi.
2 Talcott Parsons. The Social System. Glencoe, Ilhnais: The Pree Press.
1951. Tr. 66-67.

233
hoac nlm d mot diem nhat dinh tren tiing moi tiidng quan
neu tren phu thuoc vao nhieu yeu to nhii xa hoi hoa, thiet che
hoa, sii kiem soat xa hoi.
Tom lai, ly thuyet tong quat ve cac he thong cua hanh
dong nhan manh khia canh quan he khi coi he thong cua
hanh dong la he thong cua cac moi lien he cua cac cd the
tudng tac lan nhau va tudng tac vdi cac yeu to phi xa hoi
trong mdi trUdng hay tinh huong1. Thuyet nay, tiic la thuyet
he thong hanh dong xa hoi, nhan manh khia canh chinh the
khi cho rin g he thong cua hanh dong la he thong duy tri-ranh
gidi. Thuyet nay nhan manh khia canh cam tinh cua cac he
thong hanh dong khi cho rang viec nghien ciiu hanh dong
phai xuat phat tCf quan diem cua ngUdi hanh dong, “tdc
nhan". Thuyet nay nhan manh tinh xu hudng cua cac he
thong hanh dong khi chi ra cac khuon mau van hoa, cac dinh
hudng gia tri, cac bien khuon mau cua sii dinh hudng vai tro
va cac dieu kien tien quyet cua hanh dong. Thuyet ve cac he
thong hanh dong cua Parsons la mot ly thuyet tong quat,
phiic tap gom cac thuyet ve van hoa, thuyet ve he thong xa
hoi, thuyet ve nhan cach va thuyet ve hanh vi ddi hdi sii
nghien ciiu tiep theo ve ly luan va thuc nghiem.

Thuyet he thong xa hoi

Mot so khai niem ca ban cua ly thuyet ve he thong xa hoi.
Theo Parsons, xa hoi la mot kieu hay loai he thong xa hoi dap
iing dUdc tat ca cac ddi hoi chiic nang cd ban cua mot su ton

1 Talcott Parsons. The Social System. Glencoe, Illinais: The Pree Press
1951. Tr. 543.

234
tai lau ben tu: cac nguon liic ben trong cua no1. He thong xa
hoi la he thong cua cac qua trinh tudng tac giiia cac tac nhan
(Actors), do do, Parsons cho rang, cau true cua he thong xa
hoi ve cd ban la cau true cua cac moi lien he giiia cac tac nhan
tham gia vao qua trinh tiidng tac2.
Ddn vi cua he thong xa hoi. Parsons phan biet bori ddn vi
cua he thong xa hoi nhu sau3:
• Mot la dong tac xa hoi (Social act) do mot ngUdi
thuc hien va hudng vao mot ngUdi hay nhieu
ngUdi khac nhu la doi tUdng,

• Hai la vi the-vai trd vdi tmh cach la mot tieu he

thong cd to’ chiic cua mot ngUdi hay nhieu ngUdi
chiem giii nhiing vi the da cho va hanh dong hudng
vad nhau theo cac xu hudng tUdng tac nhat dinh.

• Ba la ban than tac nhan - ngUdi hanh dong vdi

tinh cach la mot ddn vi xa hoi, mot he thong cd to
chiic cua tat ca cac vi the va vai tro dat ra doi vdi
ngUdi dd nhu la mot doi tUdng xa hoi va vdi tinh
cach la “tdc gid” cua mot he thong cac hoat dong-
vai trd.
• Bon la ddn vi tong hdp, la mot tap the vdi tinh
cach la mot tac nhan va mot doi tudng.

1 Talcott Parsons. The Social System. Glencoe, Illinais: The Pree Press.
1951. Tr. 19
2 Talcott Parsons. The Social System. Glencoe, Illinais: The Pree Press.
1951. Tr. 25.
3 talcott Parsons. The Social System. Glencoe, Illinais: The Pr^e Press.
1951. Tr. 26

235
 Tiidng iing vdi bon loai ddn vi he thong xa hoi la bdn loai
cau true xa hoi: cau true cua cac dong tac xa hoi, cau true cua
cac vi the-vai trd, cau true cua cac tac nhan hanh dong va cau
true cua tap the.

Set do ly thuyet AGIL: He thong bon chiic nang

Parsons noi tieng trong gidi xa hoi hoc ve sd dd ly thuyet
he thong xa hoi viet t it la AGIL theo bon chui cai cua bon tieu
he thong. Theo Parsons, he thong xa hoi dUdc cau thanh tii
bon tieu he thong (he thong nho hdn), tudng iing vdi bdn loai
nhu cau hay bon loai chiic nang cd ban cua he thong xa hoi.
Bon loai yeu cau chiic nang cua xa hoi la:
• Mot la: Thich iing (Adaptation - ky hieu la A) vdi
mdi trudng tu nhien-vat ly xung quanh.
• Hai la: Hudng dich (Goal Attainment - G) - huy
dong cac nguon luc nhim vao cac muc dich da xac
dinh.
• Ba la: Lien ket (Integration - I) - phoi hdp cac hoat
dong, dieu hoa va giai quyet nhiing khac biet,
mau thuan.
• Bdn la: Duy tri khuon mau lan (Latent-Pattern
Maintenance - L) - tao ra sii on dinh, trat tu.
Tii dd, trong xa hoi hoc hien dai da xuat hien sd do noi
tieng cua Parsons ve he thong xa hoi viet t it la sd dd AGIL,
con dUdc goi la sd do he thong hay md thiic “bon chiic nang”1.

1 Robert J. Holton. "Four-Function" Paradigm, trong George Ritzer and

Barry Smart (eds). Handbook o f Social Theory. London: Sage Publications
2001. Tr. 155.

236
 Trong he thong xa hoi, tieu he thong (A) co chtic nang
cung cap cac phiidng tien, nguon liic va nang liidng de thiic
hien cac muc dich da xac dinh. Trong he thong xa hoi, day
chinh la tieu he thong kinh te. Nen kinh te, cac doanh nghiep
va cac qua trinh kinh te diidc to chtic de thiic hien chtic nang
thich ting ctia xa hoi doi vdi mdi triidng khan hiem cac nguon
liic va dang bien doi khdng ngting.
Tieu he thong hiidng dich (G) ddng vai trd xac dinh cac
muc tieu va dinh hiidng cho toan bo he thong vao viec thiic
hien muc dich da xac dinh. Tieu he thong hiidng dich trong xa
hoi chinh la he thong chinh tri vdi cac to chtic dang phai va
cac cd quan chinh quyen trung lidng va chinh quyen dia
phiidng cung nhieu ddn vi va cd quan quyen liic khac.
Tieu he thong lien ket (I) thiic hien chtic nang g in ket
cac ca nhan, cac nhdm va to chtic xa hoi, dong thdi kiem soat
xa hoi thdng qua giam sat, kiem tra, dieu chinh, trting phat
de giai quyet cac quan he mau thuan, xung dot nham tao nen
sii on dinh, sii doan ket va trat tii xa hoi. Tieu he thong lien
ket gom cd cac cd quan phap luat, cd quan hanh chinh va bo
may an ninh xa hoi.
De ton tai mot cach on dinh va trat tii, mdi xa hoi can
phai co tieu he thong bao ton (L) thiic hien chtic nang kich
thich, dong vien cac ca nhan va nhdm xa hoi, dong thdi dam
nhiem chtic nang quan ly va bao tri cac khuon mau hanh vi,
ting xti cua cac thanh vien. Tieu he thong L bao gom gia dinh,
nha triidng, to chtic van hoa, tdn giao, khoa hoc, nghe tfruat.
Thdng qua cac cd che xa hoi hoa, hdp thtic hoa va thiet che
hoa he cac gia tri, chuan nuic xa hoi cd kha nang dap ting nhu
cau duy tri cac kieu hanh dong, cac khuon mau hanh vi de

237
bao dam trat til, on dinh, can bln g va an toan xa hoi.
Cac tieu he thong quan he vdi nhau theo nguyen ly dieu
khien hoc. He thong d cap do cao hdn ve thong tin nhiing yeu
ve nang liidng (vl du he thong van hoa - L) chi phoi va kiem
soat he thong ci trinh do cao hdn ve nang liidng nhiing kem ve
thdng tin (vl du he thong kinh te - A).
Cac tieu he thong cd moi quan he qua lai vdi nhau theo
nguyen ly chiic nang de tao thanh mot chinh the toan ven.
C hlng han, tieu he thong kinh te cd moi quan he qua lai vdi
nhau va vdi cac tieu he thong khac cua xa hoi de lay nguon
“dau vao” va cung cap “dau ra” la san pham, hang hoa va
dich vu. VI du, doanh nghiep sii dung lao dong cua cdng nhan
cd trinh do chuyen mon va ky nang tay nghe do tieu he thong
giao due tao ra va doi lai, nd tra cdng lao dong cho cdng nhan
de ho nuoi song ban than va gia dinh.
Cac tieu he thong trao doi vdi nhau thdng qua mot loat
cac phUdng tien va cdng cu xa hoi, vl du, tai san, tien bac,
quyen liic, sii anh hUdng, sU g in bd va niem tin. Mdi mdt cap
tieu he thdng quan he trao doi vdi nhau thdng qua mot sd" loai
phUdng tien chuyen biet. PhUdng tien cd ban cua tieu he
thong A la tien, von; cua tieu he thong G la quyen liic; cua
tieu he thong I la sii anh hudng; va cua tieu he thong L la sii
cam ket ve mat gia tri1. Chang han, tien cdng la phUdng tien
chinh de trao doi giiia tieu he thong kinh te (A) va tieu he
thong duy tri khuon mau (L). Von tu ban la phUdng tien

1 Jeffrex Alexander. Van hod vd thuyet chiic nang, trong Do Lai Thuy. Theo
vet chan nhiing ngiidi khong lo: tdn Guylivo phieu litu ky ve cdc ly thuyet
van hod. Nxb Van hoa Thong tin. Ha Noi. 2006. Tr. 5 7 .

238
chinh trong quan he trao doi giiia tieu he thong kinh te (A) va
tieu he thong hudng dich (G). Can chu y la cac chtic nang va
cac tieu he thong co the tUOng ting dan xen, bu trti vdi nhau
rat phtic tap. Vi du, tieu he thong chinh tri trong tinh huong
nhat dinh cd the dam nhan ca nhiem vu lam kinh te va
nhting to’ chtic kinh te doc quyen manh cd the lung doan
chinh tri, phap luat.
Ly thuyet ve cac he thong xa hoi cua Parsons dUdc trinh
bay dudi dang sd do khai niem chu yeu giup ta phan tich va
md ta hanh dong xa hoi va trat tu cua cau true xa hoi mot
cach to’ng hdp, khai quat va he thong1.

4 . T h u y e t c a u tr u c -c h iic n a n g c u a R o b e r t M e r to n

Litdc sic
Robert K. Merton (1910-2003) sinh ra trong mot gia dinh
ngUdi Do Thai di cU sang My song d thanh pho" Philadelphia.
Ong lay bang cti nhan d Dai hoc To’ng hdp Temple va lam
luan an tien sy dudi sU hudng dan cua Talcott Parsons d
trudng Dai hoc Tong hdp Harvard. Tti nam 1941 den khi nghi
hUu, Merton giang day va nghien ctiu d TrUdng Dai hoc Tong
hdp Columbia.
Khi ndi ve ly thuyet he thong xa hoi, Parsons cho biet,
trong mdt thdi gian dai dng va Merton dUdc moi ngudi biet tdi

1 Doi vdi Parsons, ly thuyet xa hoi hoc, v6i tii cach la mot khia canh cua ly
thuyet ve cac he thong xa hoi, chu yeu quan tam tdi hien tiidng thiet che
hoa cac khuon m&u dinh hiio'ng-gia tri trong he thong xa hoi. Talcott
Parsons. The Social System . Glencoe, Illinais: The Pree Press. 1951. Tr.
552.

239
chu yeu vdi tu cach la nhiing ngUdi diing dau trUdng phai cau
truc-chiic nang trong xa hoi hoc My1.
Ngoai Parsons, Pitirim Sorokin2 va Paul K. Lazarsfeld3
la hai ngUdi cd anh hudng manh me tdi xu hudng nghien ciiu
xa hoi hoc thuc nghiem cua Merton.
Mot trong nhiJng ly thuyet noi tieng cua dng la ly thuyet
ve sii lech chuan. Cdng trinh khoa hoc noi tieng nhat cua
Merton la cuon “Ly thuyet xa hoi vd cau true xa hoi” (Social
Theory and Social Structure) (1968). Khi ban ve tinh hinh
phat trien xa hoi hoc hien dai4, Randall Collins da coi Robert
Merton la nhan vat no’i tieng nhat trong lang xa hoi hoc
chuyen nghiep d My giGa the" ky 20. Vi nhiing ddng gop cua
dng trong nghien ciiu khoa hoc, nam 1994, Robert Merton la

1 Talcott Parsons. On Building Social System Theory: A Personal History.

Daedalus. 99. 1970. Tr. 849.
2 Pitirim Alexandrovich Sorokin (1889-1968) la nha xa hoi hoc M y goc Nga;
tifng lam thii ky cho Thu tUdng Kerensky cua chinh quyen N ga nam 1917,
bi true xuat nam 1922, di cU sang M y nam 1924, giao sii xa hoi hoc cua
triidng Dai hoc Tong hdp Harvard. Tac gia cua hdn 30 cuon sach ve cac chu
de xa hoi hoc, trong so' do co cuon: Sociological Theories o f Today (1966).
Ong de ra ly thuyet tuan hoan xa hoi, cho rin g cac xa hoi bien doi tii trang
thai tam tiiclng (nang ve tii duy cam tinh) sang trang thai y tiidng (nang ve
tu duy ton giao) va trang thai y niem (ket hdp ca tam tuefng va y tudng).

3 Paul F. Lazarsfeld (1901-1976) la nha xa hoi hoc ngUdi M y goc Ao. Ngiidi
sang lap ra Phong nghien ciiu xa hoi ting dung ndi tieng d tnidng Dai hoc
tong hdp Columbia. Chuyen gia ve phUdng phap nghien cUu dinh liidng va
dieu tra xa hoi. NgUdi co cong xay dung Toan hoc xa hoi lam cong cu phan
tich xa hoi hoc. Tac gia cua mot so ly thuyet cap trung binh nhii ly thuyet
giao tiep dai chung-hai bu6c (mot la qua thu linh va hai la dai chung). Tac
pham chinh: The People's Choice (1944) va Personal Influence (1955).
4 Randall Collins. Sociology Since M idcentury. New York: Academic Press.
1981.

240
nha xa hoi hoc dau tien dUdc Nha nUdc My tang huan chUdng
quoc gia ve xa hoi hoc1.

Quan niem ve ly thuyet trung binh

Mot dong gop ly luan quan trong cua Merton la quan
niem cua ong ve viec xay diing ly thuyet xa hoi hoc cap trung
binh hay ly thuyet trung gian (middle-range theory)2. Theo
ong, nhiem vu cua xa hoi hoc hien dai khong phai la tim kiem
mot ly thuyet tong quat de giai thich moi hien tiidng xa hoi,
ma la phat trien nhiing ly thuyet chuyen biet ap dung vao
tiing linh vUc nhat dinh nhii ly thuyet ve hanh vi sai lech, ly
thuyet ve chuyen giao quyen liic va nhiing ly thuyet khac.
Thiic ra trUdc Merton, mot so”nha xa hoi hoc da xay dung
nhiing ly thuyet loai nay, vi du Durkheim diia ra ly thuyet
diidi hinh thiic cac menh de de giai thich hien tiidng tii tii; va
ly thuyet giao tiep hai budc cua Lazarsfeld. NhUng chi
Merton mdi la ngUdi chu trUdng viec xay dung loai ly thuyet
cap trung binh (Middle-Range Theory) nhu la mot giai phap
ly luan de thiic hien nhiem vu trung gian, cau noi giiia he

1 Bui Dinh Thanh. Vinh biet Robert Merton (1910-2003), trong Tap chi Xa
hoi hoc. So 2. 2003. Tr. 87. Neu nhii co giai thiiOng Nobel ve khoa hoc xa hoi
hoc thi, theo y kien cua mot so' tac gia, Robert Merton se la ngiidi ditoc de c i
trUdc tien. Tuy nhien, con trai cua ong la Robert K. Merton da difOc tang
giai thiiOng Nobel ve khoa hoc kinh te nam 1997.
2 Theo Merton, cac ly thuyet cap trung binh hay ly thuyet trung gian la
n h in g ly thuyet nfim g iia cac gia thuyet cong tac can thiet dUdc r i t ra t i
nghien c iu hang ngay va n h in g he thong ly thuyet 16n co kha nang giai
thich hang loat cac hien tUo'ng co the quan sat duoc ve hanh vi xa hoi, to
chic xa hoi va s i bien doi xa hoi. Ly thuyet cap trung binh diidc dung trong
xa hoi hoc de hiidng dan nghien c iu thuc nghiem. Xem Robert K. Merton.
On Theoretical Sociology. London: The Free Press. 1967. Tr. 39.

241
thong ly luan xa hoi hoc vdi nghien ciiu thuc nghiem.
Theo Merton, thuyet cau truc-chiic nang la sU giai thich
mot hien tudng xa hoi bang cach chi ra he qua (chiic nang)
cua no ddi vdi nhiing cau true ma nd la mot bo phan cau
thanh. Giong nhu quan niem cua Durkheim va Parsons,
Merton cho rang cac cau true van hoa ma cu the la he cac gia
tri xa hoi la nhiing yeu to" cd ban de ly giai cd che hoat dong
•a phoi hdp hoat dong cua cac thiet che xa hoi.

Quan niem ve chiic nang

Khai niem loan chiic nang (dysfuntion). Mot ddng gop ldn
cua Merton doi vdi chu thuyet chiic nang trong xa hoi hoc la
viec phat hien ra sU loan phan chiic nang, con goi la phi chiic
nang hay phan chiic nang. Khac vdi Parsons luon coi moi he
qua cua mot thiet che xa hoi la chiic nang vdi nghia la nhiing
tac dung tot, cd ldi cho toan bo cau true xa hoi, Merton chi ra
nhiing phan chiic nang cua thiet che xa hoi. Phan chiic nang
la nhiing he qua lam can trd, tham chi gay roi loan, lam giam
kha nang ton tai, thich iing cua cau true. De nhan dien sU
loan chile nang hay phan chiic nang, can tra ldi cau hdi: he
qua cua mot hien tudng xa hoi dem lai ldi ich hay gay td’n hai
tdi ldi ich cua ai?
Can thay rin g he qua cd the la chiic nang, tiic la cd ldi
chd nhdm ngudi nay nhung lai la phan chiic nang, tiic la cd
hai cho nhdm ngudi kia. Vi du, bo may nhiem sd cd chiic
nang nang cao tinh hieu qua cua to chiic, nhung cd phan
chiic nang la tao ra sU xd ciing, may moc trong hanh vi cua
cac thanh vien trong bo may dd.

242
 Phan loai chtic nang trdi vd chtic nang lan. Nhii tren da
trinh bay, mot dong gop quan trong khac cua Merton la viec
phan loai chiic nang troi (manifest function) va chiic nang
lan (latent function) diia vao miic do bieu hien cua chung.
Merton chi ra cach phan tich chiic nang la phai viidt qua
quan niem thong thiidng ve muc dich, y nghia ma cac chu
the gan cho sii vat, hien tiidng de xac dinh chinh xac, khach
quan tac dung cua chung. Khi tim hieu thiet che va to’ chiic
xa hoi, can chi ra dau la he qua khdng chu dinh, chua thay
rd, chua bieu hien cdng khai va dau la he qua chu dinh, thay
rd, cdng khai. Tren thiic te, muon hieu cd che hoat dong, ton
tai va phat trien cua mot cau true xa hoi, ta khdng nen voi
vang tin vao nhiing ldi tuyen bo' cdng khai ve muc dich, tac
dung cua nd; ma can phai phan tich nhiing tac dong nhieu
chieu cua nd doi vdi cac cau true xa hoi cd lien quan.
Cdc cau true chtic nang thay the. Giong nhu nhieu nha
chiic nang luan, Merton chi ra nhiing nhiing nhu c iu chiic
nang can phai dap iing de xa hoi van hanh mot cach binh
thudng va goi chung la “nhting dieu kien tien quyet v i mat
chtic nang doi vdi xa hoi". NhUng khac vdi ho, Merton cho
rang khdng nhat thiet mdi thiet che xa hoi chi dap iing mot
loai nhu cau xa hoi. Ma tren thiic te, trong xa hoi luon cd “cdc
cau true chtic nang thay the nhau" de thoa man cac yeu ciu
chiic nang ma xa hoi dat ra. Mot chiic nang cd the do hai hay
nhieu hdn cac to’ chiic, thiet che xa hoi cung cd kha nang thiic
hien. Dieu nay cd nghia la nhiing thiet che hien hanh, dang
dUdc duy tri khdng phai vi chung thiic sii can thiet va thiic sii
tot hay cd ldi cho xa hoi; ma chang qua chung cd cd che de ton
tai va cd kha nang de duy tri sii ton tai cua chung bat chap

243
viec chung co thuc sU can thiet hay co chiic nang hay khong.
Cac thiet che xa hoi luon luon co kha nang thay the lan
nhau trong viec dap iing nhiing nhu cau can thiet cho sii van
hanh va hoat dong cua xa hoi. Vi du, khi xa hoi chua co nha
trUdng theo nghia dang dung hien nay thi gia dinh la thiet
che thuc hien chiic nang giao due tre em. Khi cac doanh
nghiep quoc doanh khong co kha nang tao viec lam cho moi
ngiidi lao dong thi gia dinh trd thanh mot trong nhiing thiet
che xa hoi ddng vai tro tao viec lam cho cac thanh vien trong
gia dinh. Khi ngUdi gia khdng dUdc cham soc tai gia dinh thi
trong xa hoi xuat hien cac trung tam dudng lao cung cap loai
dich vu nay.

Ly thuyet chiic nang ve sai lech xa hoi

Merton da s ii dung triet de cach phan tich chiic nang
luan de dua ra ly thuyet ve sU sai lech xa hoi. Ong van
dung khai niem lech chuan ma Durkheim da dua ra khi
ban ve cac hinh thiic phan cdng lao dong trong xa hoi va
cac loai hinh tu tti de xem xet sii sai lech xa hoi. Theo
Durkheim, lech chuan la sU thieu v ln g cac chuan miic,
thieu sii dieu tiet, thieu sii quan ly, kiem soat xa hoi.
Merton cho rin g su thieu v ln g hay ro'i loan chuan miic
theo cach hieu cua Durkheim chi la mot nhan to cd the gay
ra hanh vi bat binh thudng, hanh vi sai lech so vdi chuan
miic. Merton lam rd y tUdng cua Parsons ve vai tro cua yeu
to van hoa, yeu to' thiet che va su phan hoa dinh hudng-gia
tri trong viec phan loai hanh vi sai lech. Parsons cho rin g
sU lech chuan diln ra trong he tho'ng cua sU phan hoa
hanh dong theo xu hudng do'i lap nhau la chu dong va thu

244
dong va sii phan hoa dong cO thanh thoa hiep va xa la1.
Merton diia ra mot dinh nghia: su lech chuan la sii
khong phu hdp, sii “lech pha” gitia muc tieu van hoa va
phiidng tien dUdc thiet che hoa. Do xac dinh sai muc tieu van
hoa hoac chon sai phiidng tien ma hanh dong bi coi la lech
chuan, la sai lech tham chi la toi pham. Nhu vay, sU lech
chuan xa hoi la do sii lech lac so vdi chuan miic xa hoi trong
viec liia chon mot trong hai thanh to" quan trong nhat cua cau
true hanh dong, dd la muc tieu va phiidng tien.
Tti cach giai thich mang tmh chtic nang luan ve sii lech
chuan (Anomie), Merton diia ra bang phan loai hanh dong de
nhan dien cac kieu hanh vi sai lech xa hoi2. Can cti vao viec
xa hoi chap nhan (ky hieu la dau +) hay bac bo (ky hieu la
dau - ) muc tieu va phiidng tien, Merton phan biet nam kieu
hanh dong thich nghi vdi xa hoi nhii sau:
• Kieu thoa hiep (++): Khi ca muc tieu van hoa va
phiidng tien diidc chu the liia chon deu phu hdp
vdi he cac gia tri, chuan miic xa hoi va do vay
diidc xa hoi hoan toan chap nhan. Vi du, de dat
muc tieu lam giau ma xa hoi khdng phan doi muc
tieu nay3 thi ca nhan cd the chon phiidng tien

1 Khung khai niem (Paradigm) cua Merton ve sU lech chuan la mot trUOng
hdp quan trong cua cau true xa hoi cua hanh vi sai lech do Parsons dua ra.
Talcott Parsons. The Social System. Glencoe, Illinais: The Pree Press. 1951.
Tr. 257-258.
2 Ho Dieu Thuy. Diem qua cdc ly thuyet xa hoi H qc ve lech lac vd toi pham .
Tap ch iX a hoi hoc. So 1. 2 0 0 0 . Tr. 95-101.
3 Co ndi co thdi ky, viec lam giau ngay ca mot cach chinh dang cung co the bi
len an la xau xa, la boc lot. Ngay nay, tinh hinh da doi m6i: nhung “lam
giau” chi dUdc de cao la muc dich c h i khong phai la ly tUOng.

245
diidc xa hoi chap nhan la hoc hanh “den ndi den
chon1' va tim kiem dUdc mot chd lam viec tot.
Kieu doi mdi (+ -): Day la kieu hanh dong nham
muc tieu da diidc chap nhan nhiing b ln g nhiing
phiidng tien va cach lam mdi ma xa hoi co the
chua hay khdng chap nhan. Vi du, viec lam giau
b ln g cach doi mdi cdng nghe hay md rong doanh
nghiep ma luc dau chiia diidc moi ngiidi thiia
nhan.
Kieu nghi thtici- +): Day la kieu hanh dong tuan
theo cac thu tuc, cac quy dinh va sti dung cac
phiidng tien diidc thtia nhan, nhiing lai khdng
nhlm vao muc tieu van hoa diidc xa hdi chap
nhan. VI du, hanh dong quan ly cua nhting vi
giam doc chi biet lam theo mot cach may moc
nhting quy dinh nhiing khdng dem lai ket qua gi,
tham chi con gay thua lo va bat binh dang xa hoi
trong doanh nghiep.
Kieu thoai lui (— ): Day la kieu hanh dong ma ca
muc tieu va phUdng tien cua nd deu khdng diidc
chap nhan. Vi du, hanh dong cua nhting ngiidi di
tim khoai lac bln g cach sti dung cac chat ma tuy.
Kieu hanh dong nay con goi la sii suy doi.
Kieu noi loan (+ - + -) : Day la kieu hanh dong
hiidng tdi muc tieu mdi dUdc dat ra de thay the
cho nhting muc tieu cu va sti dung phUdng tien
mdi thay the cho phUdng tien cu. Vi du, hanh
dong cua nhting ngUdi khdi nghia, nhung ngUdi
 cach mang hay viec thanh lap doanh nghiep mdi
de san xuat nhufng mat hang hoan toan mdi.

Xep tat ca nam kieu hanh dong nay tren cung mot true
ta thay kieu hanh dong thoa hiep nam d cUc “binh thiidng,
dung miic” doi lap vdi kieu noi loan ci cUc “bat thiidng, sai
lech". Cac kieu hanh dong con lai nam doc tren true nay, cu
the sau “thoa hiep” la “doi mdi", tiep den la “nghi thiic” roi
“thoai lui” va cuoi cung la “noi loan".
Su khac biet giiia cac kieu iing xti xa hoi chu yeu la ci
nhan thiic va thai do danh gia cua xa hoi doi vdi tting bieu
hien cua muc tieu van hoa va phUdng tien dUdc lUa chon de
thUc hien muc tieu. Tieu chuan de xac dinh mtic do dung mUc
hay sai lech cua hanh dong phu thuoc vao he qua cua nd doi
vdi xa hoi. Dieu nay lien quan tdi cau hoi phUdng phap. luan
I* 4
cua thuyet cau truc-chtic nang ma Merton da dat ra, la: hanh
dong xa hoi cd chtic nang hay phan chtic nang doi vdi ai?
Ly thuyet trung gian cua Merton ve sU lech chuan chua
giai thich day du va chi tiet tai sao va khi nao thi xuat hien
tting loai hanh vi sai lech. Nhung dua vao cach phan tich cau
truc-chtic nang, Merton da dua ra dUdc bang phan loai cac
kieu quan he gitia con ngUdi va xa hoi. Dua vao dd cd the xay
dung cac nghien ctiu thuc nghiem ve van de sai lech xa hoi.

Quan niem ve he vai trd

Merton md rdng khai niem vi the-vai trd ctia Ralph
Linton1. Theo quan niem cua Linton, vi the la vi tri trong cau

1 Ralph Linton (1893-1953) la nha nhan hoc van hoa ngiidi My. NgUdi dau
tien s i dung khai niem “vai trd" va “vi the" de nghien c iu cau trie ben trong

247
true xa hoi v6i nhiing quyen ldi va nghia vu tudng ting, va vai
tro la kieu hanh vi hiidng t6i sii mong ddi cua nhting ngiidi
khac xung quanh1. Nhiing trong khi Linton cho rang moi mot
vi the co mot vai tro tiidng ting, thi Merton quan niem rang
mot vi the co nhieu vai tro ma ong goi la he vai tro (Role-set).
Merton diia ra khai niem “he vai trd” de chi mot cau true
gom cac vai tro va cac quan he cua chung ma ca nhan thiic
hien khi n lm giti mot vi the xa hoi nhat dinh. Ong dac biet
quan tam tdi he vai tro bcii vi khai niem nay lien quan triic
tiep t6i chtic nang. Vai tro chinh la chtic nang ma hanh vi ca
nhan hay thiet che xa hoi dam nhan thiic hien. He vai tro
thiic chat la he thong cac chtic nang va phan chtic nang, chtic
nang troi va chtic nang lan co lien quan chat che v6i nhau.
Ly thuyet trung gian cua Merton ve he vai tro hay vai tro
tap hdp dat ra mot loat van de nghien ctiu quan trong trong
xa hoi hoc. Do la tim hieu sii tac dong cua cau true xa hoi doi
v6i viec hinh thanh he vai tro. Do la xem xet each thiic hien
he vai tro de dam bao tinh can blng, on dinh va giai quyet

cua he thong xa hoi, cua mdi quan he giUa nhan cach va xa hoi, va ket hdp
chu nghia chiic nang v6i tiep can lich sU de nghien c iu van hoa. Tac pham
chinh: The Study o f M an (1936) va The Culutural Background Personality
(1954). Xem : Gordon Marshall. Oxford Dictionary o f Sociology. 2nd Edition.
New York: Oxford University Press. 1998. Tr. 371.
1 Thed Linton, vi the la vi tri trong mot khuon m&u nhat dinh cua cac
hanh vi tiidng tac giufa cac ca nhan hoac nhom ngUdi. V a i tro la mat
dong thai cua vi the. Linton phan biet vi the gan cho ca nhan khong lien
quan gi t6 i nang luc hay nhufng khac biet ben trong cua ho va vi the
gianh dUdc nhd nhufng nang luc, pham chat dac biet. Ralph Linton.
Status and R oles Explain Social Behavior, trong Lynn Barteck and
Karren M u llin . E nduring Issues in S ociology. CA: Greenhaven Press
Inc. 1995. Tr. 101 -1 0 3 .

248
nhiing mau thuin, xung dot co the xay ra giufa cac vai tro.

5. Hifdng nghien ctiu cau true xa hoi vl mo

cua Peter Blau

L iic fc s ii
Trong so" nhiing hu6ng phat trien mdi cua thuyet cau
truc-chiic nang cl My, quan trong nhat la hucing nghien ciiu
cua Peter Blau (1918-2002). Blau la nha xa hoi hoc ngUdi My
goc Do Thai sinh d Ao, di cu den My nam 1939. Sau khi tham
gia quan doi trong thdi ky The" chien thii hai, ong vao hoc
triidng Dai hoc Tong hdp Columbia va lay bang tien sy xa hoi
hoc nam 1952. Ong diidc bau lam chu tich Hoi Xa hoi hoc My
nam 1973. Blau la giao sii triidng Dai hoc Tong hdp Chicago
nam 1953-1970, triidng Dai hoc Tong hdp Columbia nam
1970-1988; ong da tiing giang day d Tianjin Trung Quoc tai
Vien Han lam khoa hoc xa hoi v6i tii cach la giao sii nam
1981-1987. Blau tii gia trUdng Dai hoc Tong hdp Columbia de
nghi hUu nam 1988 va chuyen sang giang day ci trUdng Dai
hoc Tong hdp North Carolina, Chapel Hill tii nam 1988 den
nam 2001. Cac cong trinh nghien ciiu quan trong cua ong la
cuon sach: Dong thdi cua bo may nhiem sd (The Dynamics o f
Bureaucracy) dUdc bien soan tii luan an tien sy cung ten cua
ong, Trao doi vd quyen liic trong ddi song xa hoi (.Exchange
and Power in Social Life) (1964), Cau true nghe nghiep cua
My (The American Occupational Structure) (1968), V i bdn
chat cua cdc to chtic (On the Nature o f Organizations) (1974),
va cuon sach Bat binh ddng vd sii hon tap (Inequality and
Heterogeneity) (1977).

249
 Dac trUng cd ban cua nhiing dong gop ly luan va phUdng
phap luan cua Blau the hien cl sU tuan thu nghiem ngat
nguyen tic khoa hoc thuc chiing trong viec xay dung nhiing
dinh ly co the kiem chiing. Cac gia thuyet cua ong deu dUdc
kiem nghiem b ln g nhiing so lieu, sU kien thuc, tii do ong xay
dung nhiing ly thuyet noi tieng trong do co ly thuyet cau true
xa hoi vi mo. Day la dieu rat it nha xa hoi hoc co the lam dUdc
mot each thudng xuyen va thanh cong nhu Peter Blau1.
Trong cuon sach Bat binh ddng vd sii hdn tap2, Blau da
cung cap cach nhin nhan m6i de giai dap mot cau hoi cd ban
cua xa hoi hoc: cai gi tao nen sU thong nhat xa hoi? Blau cho
rin g nhat dinh co mot loai lien ket xa hoi, mot loai quan he
xa hoi nao do co kha nang tao ra sU thong nhat xa hoi. Theo
ong, sU ket hdp cua cac nhom va cac tin g 16p xa hoi khac
nhau thanh mot the thong nhat khong the chi dUa vao moi
phu thuoc lan nhau ve mat chiic nang ma doi hoi sU tUdng tac
xa hoi thuc sU giiia cac thanh vien. Do vay, nhiem vu cua xa
hoi hoc la phai chi ra dUdc cac tac nhan cau true cua moi
tudng tac do de hieu sU thong nhat xa hoi.

Hai kieu cau true xa hoi

Blau phan biet hai loai dac diem cd ban cua cau true xa hoi
quy dinh vi tri, vai tro va moi lien he xa hoi cua cac ca nhan.

1 Blau cho ring: Muc tieu cua nha ly thuyet la phat hien ra mot so" khai
quat ly luan ma t i chung co the n it ra nhieu cac dinh de thiic nghiem khac
nhau. Trich theo Adam Kuper and Jessica Kuper (Eds.). The Social Science
Encyclopedia. London: Routledge & Kegan Paul. 1985. Tr. 74.
2 Peter Blau. Inequality and Heterogeneity: A Primitive Theory o f Social
Structure. New York: The Free Press. 1977.

250
 • Loai dac diem thii nhat la dac diem danh nghia
(dinh tmh b&ng ten goi) cho biet chat cua sU vat,
hien tUdng xa hoi. Nhd chung ma cac ca nhan
dUdc phan ra thanh tCfng loai, tiing nhom khac
nhau ve ten goi chii khong phai ve thii bac cao
thap, tren dUcfi. Vi du, dac diem ve gi6i tmh, dan
toe, ton giao, dang phai, nghe nghiep, v.v..
• Loai dac diem thii hai la dac diem rnufc do (dinh
lUdng) nhd no ma cac ca nhan phan hoa thanh
tiing loai, tufng nhom khac nhau ve mile do nhieu
it, cao thap, tren dudi. Vi du la cac dac diem ve
miic thu nhap, trinh do hoc van, trinh do chuyen
mon, miic do uy tin, quyen liic v.v..
Tudng iing v6i hai loai dac diem nay la hai kieu cau true
xa hoi nhu sau:
• Diia vao dac diem danh nghia, co kieu cau true xa
hoi khong dong nhat - kieu cau true hang ngang
gom cac nhom ngUdi khac nhau ve ten goi nhUng
giong nhau ve cap bac, tang 16p.
• Diia vao dac diem miic do, co kieu cau true xa hoi
bat binh ding - kieu cau true hang doc gom cac
nhom ngUdi khac nhau ve vi the tren du6i, cao
thap. Cac kieu cau true xa hoi nhu vay deu co the
tao ra nhiing hang rao hoac nhiing cd hoi cho sii
tudng tac xa hoi, tiic la cho sii thong nhat xa hoi.

Mot so dinh de xa hoi hoc

• • • •

Dinh d i tdn suat tiidng tdc ti le nghich vdi quy mo nhom.

251
Blau dac biet chu y tdi cac yeu to" cau true nhu quy mo nhom
va tinh cd dong xa hoi tac dong tdi svf lien ket xa hoi. Ong
phat bieu mot dinh ly ve tac dong cua quy mo tdi tUdng tac xa
hoi nhu sau: trong mot chinh the xa hoi gom hai nhom, neu
moi thii deu nhu nhau thi tan suat tUdng tac giiia cac thanh
vien cua nhom nho nhat dinh nhieu hdn nhom ldn. Ve dieu
nay kho co the lay nhiing dac diem tam ly cua nhiing thanh
vien cua nhom nho de giai thich, ma can xuat phat tii quy mo
tiic la so" lUdng cac thanh vien cua moi nhom. Ro rang la ve
mat dinh lUdng, neu lay tong so" cac mo"i tUdng tac xa hoi giiia
hai nhom ma chia cho tong so" thanh vien cua moi nhom thi
nhom nao nho se cho tan suat ldn hdn so vdi nhom co quy mo
ldn (vi tii so" nhu nhau mau so" tang thi thudng se giam). Tuy
nhien, tren thuc te" it nha khoa hoc thuc sU chu y va nhan
thay r5 sU tac dong cua quy mo nhom tdi mo"i tUdng tac xa hoi
cua cac thanh vien.
Dinh d i sit lien ket xa hoi ti le thuan vdi sit khong dong
nhat. Qua viec nghien ciiu mo"i tUdng quan giufa cac dac diem
cua cau true xa hoi vdi sU thong nhat xa hoi, Blau da khai
quat dUdc mot so dinh de quan trong, vi du nhu sau: sU
khong dong nhat cang ldn thi cac nhdm phan hoa cang nho va
do vay cang tang kha nang lien ket giiia cac nhdm nhd. Dieu
nay dUdc phan anh qua phUdng cham quan ly la dam bao “sit
thong nhat trong sit da dang” cua ldi ich, sang kien va hanh
dong xa hoi.
Cac nghien ciiu ve cac nhdm khdng dong nhat ve nghe
nghiep, ngon ngii, ton giao, dan toe cho thay cd mo"i tUdng
quan ro ret giiia quy md nhdm vdi quan he giiia cac nhdm
dung nhu dinh ly cua Blau: quy md nhdm nhd va su khdng

252
dong nhat cua nhom lam tang moi lien he giiia cac nhom tiic
la lam tang sii thong nhat xa hoi.
Dinh dte tiicfng tdc xa hoi lam tang siC lien ket xa hoi. Blau
diia ra mot dinh ly niia, do la sii giao ket va tUdng tac hdp dong
gop phan cung co moi lien he giiia cac nhom; con sU hdp nhat
lam giam moi lien he giiia cac nhom. Dieu nay lien quan tdi
van de phan hoa xa hoi va sU phan cong lao dong trong xa hoi
ma Durkheim da tiing noi tdi khi ban ve sii doan ket xa hoi.
Theo Durkheim, sii phan cong lao dong cang cao, chuyen mon
hoa cang sau thi cang lam tang sii phan hoa xa hoi, lam tang
sii phu thuoc chiic nang lan nhau giiia cac thanh vien trong xa
hoi. Nhung Blau cho rang sii phan cong lao dong khong nhat
thiet tao ra sii thong nhat, hoi nhap xa hoi. Ma sii doan ket xa
hoi phu thuoc chu yeu vao moi tUdng tac thiic sii giGa cac ca
nhan thanh vien khac nhau trong xa hoi.
Tren thiic te, cac ca nhan co the phu thuoc lan nhau
nhung lai khong trUc tiep gap gd, trao doi vdi nhau, do vay
cung khd cd the tao ra dUdc sii thong nhat. Nhii vay, Blau
nhan manh vai trd quan trong cua cac moi tiidng tac xa hoi
thiic sii dien ra giiia cac ca nhan doi vdi su hoi nhap va thong
nhat xa hoi.

6. Htidng n gh ien ctiu cau true hoa

cua A n th on y G idd en s

Anthony Giddens sinh nam 1938 d North London cua

nUdc Anh, la nha xa hoi hoc ngiidi Anh. giao sii xa hoi hoc cua
triidng Dai hoc Tong hdp Cambridge, ddng thdi cd vi tri giang
day tiidng tu d trUdng Dai hoc Tong hdp California. Ong da

253
viet va cho xuat ban hdn 20 cuon sach, trong so" do quan trong
nhat la cuon: Chu nghia tit ban vd ly thuyet xa hoi hien dai
(Capitalism and Modern Social Theory) (1971), Cau true giai
cap cua cdc xa hoi tien tien (The Class Structure o f the
Advanced Societies) (1973), Cdc quy tdc mdi cua phitcfngphap
xa hoi hoc (New Rules o f Sociological Method) (1976), Cdc van
d i trung tam cua ly thuyet xa hoi hoc (Central Problems of
Sociological Theory) (1979), Ly thuyet xa hoi vd xa hoi hoc
hien dai (Social Theory and Modern Sociology) (1987) va
nhieu cuon sach khac.
Quy tac mdi cua phifcfng phap xa hoi hoc. Giddens
cho rin g cach tiep can cua khoa hoc tu nhien qua nang ve
phan tich cac bo phan, “cdc nguyen tii” cua doi tudng nghien
ciiu. Dieu nay khac han vdi khoa hoc xa hoi va nhan van
luon phai chu y tdi tmh chinh the, toan ven, “tong the kep”
gom sU kien khach quan va sU kien dem lai cho moi ca nhan
vdi tu cach la chu the/dong the. Giddens dua ra mot so quy
t ic mdi cua phUdng phap xa hoi hoc, trong so" dd noi bat len
bon nhdm sau day:
• Mot la, nhiing quy tic ve do"i tudng cua xa hoi hoc -
vi du, xa hoi khdng phai la mot hien thuc khach
quan da cho tii trUdc ma nd dUdc tao ra bdi cac
hanh dong cua cac thanh vien cua xa hoi;
• Hai la, nhiing quy tic ve hanh dong va cau true -
vi du, cac chu the/dong the khdng dUdc tu do liia
chon cach tao ra xa hoi ma bi gidi han bdi hoan
canh lich sti cua ho; cau true xa hoi cd anh hudng
hai mat tich cUc va tieu cUc do"i vdi hanh dong cua
con ngudi; hanh dong ngudi luon cd cac yeu to' y

254
 nghia, chuan mUc va quyen lUc;
• Ba la, nhiing quy tac cua phUdng phap nghien
ciiu, vf du, nha xa hoi hoc kho tranh khoi thien vi
bdi ho luon sti dung kinh nghiem rieng cua ho de
tim hieu xa hoi.
• Bon la, nhting quy tac ve cach xay dung khai niem
- vl du nha xa hoi hoc luon phai dau tranh vdi tinh
trang “tong the kep" khi cin xac dinh ro khai niem
khoa hoc tranh khoi cach hieu thudng ngay1.
Cai “mdi” trong cac quy tic cua Giddens, ngu y so vdi cac
quy tic ma Durkheim da neu ra tti nam 1895, cd le deu xuat
phat tti tinh hai mat vtia “dong" vtia “tinh" cua doi tUdng
nghien ctiu. VI du, cau true xa hoi vtia xuat hien vdi tinh cach
la san pham cua hanh dong xa hoi vtia la mot qua trinh lien
tuc dUdc tai tao, vtia la ket qua vtia la phUdng tien cua hanh
dong. Khdng nhu nhieu nha cau true luan hoac tap trung vao
cap vi md - hanh vi ca nhan hoac tap trung vao cap vl md -
cac hinh thtic bieu hien cua tong the he thong xa hoi, Giddens
cho ring can phai nghien ctiu to’ng hdp ca hai cap do cau true.
De trien khai y tUdng nay, Giddens da xay dung ly thuyet ve
sU cau true hoa nhim vao doi tudng nghien ctiu chu yeu cua
nd la “tinh hai mat cua cau true”, la qua trinh san xuat va tai
san xuat xa hoi.
Ly thuyet cau true hod. Luan diem cot ldi cua ly thuyet
cau true hoa la con ngUdi vdi tu cach la nhting hanh the
(Actor - didn vien, ngUdi hanh dong) luon tai tao ra cac cau

1 Athony Giddens. N ew Rules o f Sociological Method. London: Hutchinson.

1976. Tr. 160-162.

255
true xa hoi, dong thdi hanh dong cua ho bi cau true xa hoi quy
dinh. Thdng qua cac hanh vi, hoat dong cua minh, con ngUdi
tao dung, thay doi nhiing cau true xa hoi ma ho la thanh
vien1. Su cau true hoa dien ra trong thdi gian, khdng gian va
trong suot cuoc song cua mdi ca nhan. Nhd mat tich cUc cua
hanh dong ca nhan ma cau true xa hoi dUdc tai tao mot cach
sinh dong, lien tuc chi! khdng may moc.
Theo Giddens, cau true gom cac quy tac va cac nguon lUc
dUdc sU dung trong qua trinh tai tao cac he thdng xa hoi. Cac
quy tac cho biet con ngUdi phai lam gi va lam nhu the nao khi
tUdng tac xa hoi, con cac nguon luc vat chat-tinh than giup
con ngudi dat dUdc muc dich cua ho2.
Giddens chi ra mot sd yeu to" tac dong tdi sU tai tao xa hoi
- sU cau true hoa xa hoi. Trong sd" dd cd sU hieu biet lan nhau,
sU tu chu, sU tin cay, thdi quen va nhufng yeu to" khac thuoc
ve dieu kien ben trong va dieu kien ben ngoai.
Vdi viec dua ra ly thuyet cau true hoa, Giddens hy vong
giai quyet dUdc nhufng van de “tien thoai litdng nan” cua xa
hoi hoc ndi chung va chu nghia cau truc-chiic nang ndi rieng.
Dd la cap van de “hanh dong ngitdi vd cau true xa hoi”, “nhat
tri vd mau thuan”, van de long ghep quan niem gidi trong xa

* Giddens viet: “Cau true bao gom cac khuon mau hay cac mdi quan he co
the quan sat duoc trong sU da dang cua cac khung canh xa hoi”. Anthony
Giddens. Social Theory and Modern Sociology. Stanford California:
Stanford University Press. 1987. Tr. 60.

Giddens viet: theo quan niem ve tinh hai mat cua cau true, cau true khong
phai nam ngoai hanh dong ngu'61 va cung khong phai la cai han che no.
Cau true viia la phuong tien viia la san pham cua cac hoat dong cua con
ngudi ma no lien tuc to chiic”. Anthony Giddens. Social Theory and Modern
Sociology. Stanford California: Stanford University Press. 1987. Tr. 61.

256
hoi hoc va van de nghien ctiu, du bao sU phat trien cua xa hoi
hien dai trong boi canh toan cau hoa.
Tuy nhien, nhu da trinh bay ci phan I, ly thuyet cau true
hoa chi la mot trong nhting hudng co trien vong cua viec giai
quyet nhting cap chu de quan trong cua doi tUdng nghien ctiu
xa hoi hoc. Ly thuyet cau true hoa nhan manh tmh chat hai
mat cua hanh dong ngudi va cau true xa hoi cung nhu noi den
qua trinh chuyen hoa va tai tao lan nhau cua chung. Van de
dat ra la xay dung va kiem chting cac gia thuyet co the co cua
cac ly thuyet noi chung va ly thuyet cau true hoa noi rieng.
Bdi vi se la khong day du va thieu thuyet phuc khoa hoc neu
chi dting lai d viec triet ly hay lap luan mot cach logic1.

7. Htiotag nghien ctiu m an g ltidi xa hoi

G in lien vdi hudng nghien ctiu cau true xa hoi tren cap
do vi md nhu Peter Blau da xuc tien thuc hien trong nhting
nam 1960-1970 la cac nghien ctiu ve mang ludi xa hoi. Dac
diem va tmh chat cua cau true mang ludi xa hoi dUdc cac tac
gia nghien ctiu tti nhieu hudng khac nhau xuat phat tti nhieu
nguon goc ly luan khac nhau. Karl Marx da tting nhan manh
ban chat cua con ngudi va cua ca xa hoi la. moi tong hoa cac
lien he va quan he gitia ho vdi nhau. Georg Simmel kh lc hoa
hinh thtic mang tUdng tac xa hoi (Formal Sociology), Emile
Durkheim nhan manh cau hinh xa hoi (Social Morphology -

1 Giddens viet: “Sii da dang cua tii duy ly luan tao ra nguon giau co cac y
tUOng co the nit ra de nghien c iu , va kich thich cac kha nang tUdng tUdng
rat can thiet cho sii tien bo trong hoat dong xa hoi hoc.” Anthony Giddens.
Sociology. 3rd Edition. U K Polity Press. 1997. Tr. 578.

257
loai hinh hoc xa hoi). Jacob Moreno1 phat trien ky thuat trSc
nghiem xa hoi (Sociometry) de xay diing cac do thiic xa hoi
(Sociogram). Alex Bavelas va Harold Leavitt chi ra cac kieu,
loai, hinh thiic mang lucli giao tiep trong nhom. Fritz Heider,
Theodore Newcomb va mot so" nha khoa hoc khac tap trung
vao nghien ciiu dong thai va sU can bang dong cua cau true
mang lu6i xa hoi.
Cac tac gia cua ly thuyet mang ludi xa hoi dat ra nhiem
vu nghien ciiu cau true ben trong cua xa hoi2. Do la cau true
cua cac moi lien he xa hoi, tUdng tac xa hoi va quan he xa hoi
giiia cac ca nhan. Cac ly thuyet cau true xa hoi dua ra ldi giai
thich ve tac dong cua cac dac diem cua cau true mang ludi xa
hoi doi vcli hanh vi cua ca nhan, cac thanh vien tham gia cau
true xa hoi do3. Hang loat nhiing khai niem, nhiing mo hinh
da dUdc dua ra de nghien ciiu mang lu6i xa hoi. Trong so do,
quan trong nhat can ke tdi nhiing dac diem dinh lUdng nhu
tan suat tiep xuc, cUdng do giao tiep va cac dac diem dinh
tinh nhu chieu, hucing, vi tri, kieu, dang, loai hinh cua moi

1 Jacob Moreno (1890-1974), nha tam ly hoc ngiidi M y goc Ao da phat trien
phiidng phap nghien ciiu T rie nghi£m xa hoi (Sociometry) de do cac chieu
canh cua cau true mang lil6i tam ly cua nhom nho.
2 W ellm an viet: “Cac nha phan tich mang ludi bat dau b ln g mot nhan xet
ddn gian nhiing rat manh la cong viec hang dau cua cac nha xa hoi hoc la
nghien c iu cau true xa hoi. Cach nghien ciiu tnlc tiep nhat cau true xa hoi
la phan tich kieu cac mdi hen he cua cac thanh vien cua no.” Barry
Wellman. Network Analysis: Som e Basic Principles, trong R. Collins (Ed. ).
Sociological Theory. 1983. San Fransisco: Jossey-Bass. Tr. 156-157.
3 Barry W ellm an and S. D. Berkowitz (Editors) Social Structure: A Network
Approach. Cambridge: Cambridge University Press. 1988; Mark
Granovetter. The Strength o f Weak Ties. American Journal o f Sociology.
Vol. 78.(6). 1973. Tr. 1360-1368.

258
lien he, cap do, ddn vi phan tich.
Tren cap do vi mo, cac nghien ciiu mang ludi xa hoi chu
yeu thuc hien trong nhom nho bang phUOng phap trac
nghiem tam ly xa hoi, vi du nghien ciiu cua Jacob Moreno.
Cac cong trinh nay da thuc day hudng nghien ciiu xa hoi hoc
ve cac kieu mang ludi xa hoi va vai tro cua chung doi v6i sU
thong nhat xa hoi. Tii nhiing nghien ciiu ve cac qua trinh
nhom da phat hien ra loai cau true chinh thiic dua vao quan
he chinh thiic va cau true phi chinh thiic dua vao moi tudng
tac ca nhan. Cac nha tam ly hoc chu yeu nghien ciiu nhu cau,
dong cd cua mang ludi xa hoi; cac nha xa hoi hoc tap trung
nghien ciiu hinh thu, khuon mau, kieu, loai, quy mo va cac
dac diem dinh lUdng cua cau true mang lUcfi xa hoi.
Tren cap do vi mo, nghien ciiu cua Mark Granovetter ve
mat do va cUdng do cua mang ludi xa hoi cho biet nhiing dac
diem cua mang lu6i xa hoi co tac dung khac nhau doi vdi giao
tiep va sii hoi nhap xa hoi. Trai vdi quan niem thong thudng,
ong cho rin g nhiing ngUdi co mang lu6i xa hoi day dac trong
do moi ngUdi deu quen biet va than thiet nhau co the se tao
ra sU han che trong viec trao doi thong tin va han che sU lien
he v6i the gidi ben ngoai. NgUdc lai, mot mang lu6i xa hoi
gom cac moi lien he yeu 6t, long leo, thua th6t lai co the tao
ra ldi the cho sU trao doi thong tin va tao ra su hoi nhap v6i
xa hoi cung nhu tao cd hoi cho ca nhan theo duoi muc dich
cua ho. Granovetter goi hien tudng nay la “hieu dng manh
cua cdc moi lien he yeu &t" hay “si/’c manh cua quan he yeu”1.

1 Mark Granovetter, giao su! xa hoi hoc triidng Dai hoc Tong hdp Quoc gia
New York-Stony Brook. Duoc nhan giai thudng ve ly thuyet cua Hoi xa hoi

259
 8. Htfdng nghien ctiu hau chtic nan g va chu
nghia chtic nang mdi

Vai thap ky cuoi the ky 20, trong xa hoi hoc da xuat

hien thuyet cau truc-chiic nang m6i, thuyet chiic nang hau-
Parsons hay tan-chiic nang luan va chu nghia chiic nang
mdi. Dai dien tieu bieu cua chu nghia chiic nang mcli la
Jeffrey C. Alexander trong xa hoi hoc My va Niklas
Luhmann trong xa hoi hoc Diic1.
Luhmann da nghien ciiu xa hoi hoc mot nam (1960) du6i
sU hu6ng dan cua Talcott Parsons d trUdng Dai hoc Tong hdp
Harvard va da chiu anh hucing cua ly thuyet he thong xa hoi
cua Parsons2. Theo Luhmann, cau true xa hoi xuat hien d bat
ky ndi nao co moi tudng tac giiia cac ca nhan vdi nhau.
Luhmann phan biet ba loai cau true xa hoi tudng iing v6i cap
do vi mo, trung mo va vl mo nhu sau:
• Cau true tudng tac xa hoi giiia cac ca nhan.
• Cau true to chiic xa hoi, vl du nhiing to chiic van
hoa, chinh tri, kinh te, xa hoi.

hoc M y ve bai viet: Economic Action and Social Structure: The Problem of
Embedeness (1985); dong chu bien cuon: The Sociology o f Economic Life
(1992). The Strength o f Weak Ties. American Journal o f Sociology. Vol. 78.
1973. Tr. 1360-1368.
1 Jeffrey C. Alexander. Twenty Lectures: Sociological Theory Since World
War II. New York: Comlumbia University Press. 1987; Niklas Luhmann.
The Differentiation o f Society. New York: Comlumbia University Press.
1982.
2 Mark Abrahamson. Functional, Conflict and Neofunctional Theories, trong
George Ritzer and Barry Smart (eds). Handbook o f Social Theory. London:
Sage Pubhcations. 2001. Tr. 148.

260
 • Cau true he thong xa hoi gom cac loai xa hoi, cac
the che xa hoi, la toan bo he thong xa hoi.
Luhmann cho rang moi he thong xa hoi deu co “sit tit
chinh cau true” cho phep no co kha nang tu quan ly, tu dieu
khien, tU kiem soat, tu ra quyet dinh va tudng doi doc lap
trong moi quan he vdi cac he thong khac va vdi moi trudng
xung quanh.

Xa hoi hoc hien dai chiing kien cac xu hudng phat trien
mdi cua chu thuyet chiic nang vdi cac ly thuyet, luan diem,
quan niem phong phu, da dang nhUng thong nhat nhau d mot
so" diem chinh. Dd la cac ly thuyet nay deu cd xu hudng:
• Trien khai phan tich cau truc-chiic nang tren
nhieu cap do va nhieu phUdng dien cua he thong
xa hoi tu: vi mo den vi mo, tu: noi dung den hinh
thiic bieu dat, tu: qua trinh cd sd den toan cau
hoa1.
• Tang cUOng tinh phe phan khi xem xet cac chiic
nang cua thiet che xa hoi.
• Bo sung va lam ro nhieu khai niem nghien ciiu
quan trong, trong so" dd cd khai niem mau thuan,
bat on dinh, sU rui ro, chiic nang, phan hoa xa hoi,

1 Vi du: thuyet hau cau true co muc tieu dula sii phan tich ngon ngu va van
ban vao trung tam cua sii phan tich xa hoi va chinh tri hoc. Steven Seidman
and Jeffrey C. Alexander (eds). The New Social Theory Reader. New York:
Routledge. 2001. Tr. 7; Giddens coi toan cau hoa la sU tang cUOng cac mdi
hen he xa hoi toan the gidi lam cho cac dia phUdng g in lien vdi nhau theo
kieu sU kien xay ra d dia phiidng nay bi anh hiidng bdi cac sU kien xay ra d
nhiing ndi xa xoi va nglide lai. Anthony Giddens. Dimensions of
Globalization, trong Steven Seidman and Jeffrey C. Alexander (eds). The
New Social Theory Reader. New York: Routledge. 2001. Tr. 245.

261
 cau true xa hoi, mang ludi xa hoi.
• Coi trong sU bien doi, sU da dang va tinh tich cUc,
sU cd dong, nang dong xa hoi.
• Dac biet la nhan manh tam quan trong cua viec
nghien ciiu cau truc-chiic nang ve mat thUc
nghiem mac du tren thUc te chua lam dUdc nhieu.

Tuy nhien cac quan niem cu va mdi, truyen thong va

hien dai, hau hien dai cua chu thuyet chiic nang trong xa hoi
hoc thudng bi phe phan manh me d mot sd diem cd ban sau
day:
• Mot la, thuyet nay qua de cao tam quan trong cua
sU can bang, on dinh, trat tu xa hoi ma xem nhe
vai trd cua sU bien do’i xa hoi, nhat la nhiing budc
nhay vot cd tinh cach mang.
• Hai la, thuyet nay qua nhan manh quy luat tien
hoa ma xem nhe quy luat dot bien. Van vat van
dong, bien doi khong ngifng va xa hoi cung khong
ngGng thay doi mot cach day phiic tap khong chi
luc tang len luc giam xuong, ma cd ca tien trien va
suy thoai, viia phan hoa viia hoi nhap. Con ngUdi
va cac to chiic xa hoi khong nhiing thich nghi ma
con cai tao, bien doi mot cach can ban dieu kien
song cua minh. Su tien trien xa hoi khong tranh
khoi nhiing cuoc khung hoang va nhiing cuoc cach
mang trong lao dong san xuat, khoa hoc cdng
nghe va ca trong nhan thiic, tu tudng cua con
ngUdi.
• Ba la, thuyet nay neu lay chiic nang de giai

262
 thich sU vat, hien tudng xa hoi thi rat de rdi vao
vong luan quan cua viec lay he qua lam nguyen
nhan khi giai thich su ton tai va sU bien doi xa
hoi. Bdi vi, theo mot so" tac gia, khai niem chiic
nang khong chiia dung mot noi dung thuc the
nao1.
• Bon la, nhin chung mot so" ly thuyet, quan niem
cua chu thuyet chiic nang nang ve mo ta nhieu
hdn la giai thich. Vi du, sU phan biet chiic nang
“an, hien” chu yeu la tCf goc do chu the hanh dong
xa hoi, tiic la lien quan tdi nhan thiic, y thiic, tinh
chu dinh, tinh muc dich cua viec thuc hien chiic
nang. Do vay, ly thuyet nay kho co the giai thich
thoa dang qua trinh cau true hoa dien ra dudi tac
dong cua nhiing yeu to" nao va cd he qua ra sao.
Nhiing cau hdi dai loai nhu vay ddi hdi cau tra ldi
cd tinh kiem chiing ve ca ly luan va b in g chiing
thuc nghiem.
Viec phe phan cac ly thuyet chiic nang khdng vi the" cd
the phu nhan dUdc nhiing thdi ky phat trien “vang son”
cua chu thuyet nay. Nhiing bien the mdi rat phong phu, da
dang cua thuyet hau chiic nang, thuyet hau cau true va
thuyet hau he thong cho thay kha nang tu dieu chinh, tu
thich nghi va tU doi mdi cua chu thuyet chiic nang trong xa
hoi hoc.
Theo truyen thong b it dau tii niia cuo'i the ky 19 den

1 Gordon Marshall. Oxford Dictionary o f Sociology. 2nd Edition. New York:

Oxford University Press. 1998. Tr. 660.

263
nay, cac tac gia thuyet chtic nang luon co xu hudng tong tich
hop va he thong hoa cac thanh tUu cd ban, quan trong nhat
cua xa hoi hoc va cac khoa hoc xa hoi va nhan van de tao ra
nhting bo khung ly luan, nhting sd do khai niem ve cac bieu
hien phong phu, cac cd che phtic tap cua moi quan he gitia
con ngUdi va xa hoi.

264
 Chtfdng 10
THUYET MAU THUAN

1. M ot so" luan diem goc

Nhiing ngiidi dat nen mong xay diing chu thuyet mau
thuan (con goi la thuyet xung dot) trong xa hoi hoc hien dai la
Karl Marx va Fridrich Engels. Xuat phat diem cua thuyet mau
thuan la hoc thuyet cua Marx va Engels ve mau thuan xa hoi, la
sU dau tranh cua cac mat doi lap trong linh vUc ddi song xa hoi
dUdc phan anh va ke thiia trong cac khuynh hu6ng xa hoi hoc
khac nhau ve mau thuan d Phap, Diic, Anh, My va cac nU6c
khac. Cac tac gia noi bat cua nhiing khuynh hu6ng ly thuyet
mau thuln trong xa hoi hoc la Vilfredo Pareto (1848-1923),
Thorstein Velblen (1857-1929), Georg Simmel (1858-1918),
Gaetano Mosca (1858-1941), Robert Park (1864-1944), Robert
Michels (1876-1936), Joseph Schumpeter (1883-1950), Max
Horkheimer (1895-1973), Herbert Marcuse (1898-1979), Erick
Fromm (1900-1980), Theodor Adorno (1903-1969), Lewis Coser
(sinh 1913?), Wright Mills (1916-1962), Jurgen Habermas (sinh
1929), Ralf Dahrendorf (sinh 1929), Pierr Bourdieu (sinh 1930),
Randall Collins (sinh 1941) va nhieu ngUdi khac.

265
 Trong khi thuyet chtic nang nhan manh sii on dinh, trat
tii, can bang, thi thuyet mau thuan nhan manh sii mau
thuan, xung dot va sii bien doi xa hoi. Sii cang thang xa hoi,
sii phan hoa xa hoi cung vdi sii mau thuan, canh tranh, xung
dot, dau tranh, bien doi xa hoi la nhting chti de nghien ctiu cd
ban ctia cac ly thuyet mau thuan trong xa hoi hoc.
Nhting luan diem goc cua thuyet mau thuan cho rang, do
co sii khan hiem cac nguon liic (vi du nhu dat dai, nguyen vat
lieu, tien tai, dia vi) va do sii phan cong lao dong va sii bat
binh ding trong phan bo nguon liic, quyen liic nen quan he
gitia cac ca nhan, cac nhom xa hoi luon nam trong tinh trang
mau thuan, canh tranh vdi nhau vi nguon liic va ldi ich.
Theo quan niem ctia Marx va Engels, xa hdi c6 giai cap
bad g6m cac tap ddan xa hdi c6 cac ldi ich khac nhau, mau
thuan nhau tham chi ddi khang nhau. Cd sd vat chat cua thdi
dai van minh, cua cac xa hdi hien dai la sii bdc ldt cua giai
cap nay ddi vdi giai cap khac. Tdan bd sii phat trien cua xa
hdi tti ngay dau cua thdi dai van minh chd den tan ngay nay
dien ra trdng mdt m6i mau thudn thiidng xuyen gitia giai cap
bdc 16t, ap btic vdi giai cap bi bdc lot, bi ap btic. Moi biidc tien
ctia nen san xuat hien dai dong thdi cung danh dau mdt biidc
ltii trdng tinh canh cua giai cap bi ap btic, nghia la cua dai da
sd' nhan dan1. Chinh sii mau thudn, sii dau tranh giai cap la
ngudn gdc va ddng liic cua sii bien ddi xa hdi va sii phat trien
lich sti xa hdi ldai ngiidi.
Gid'ng nhii quan mem cua Marx, cac tac gia cua ly thuyet

1 C. Mac va Ph. Angghen. Toan tap. Tap 21. Nxb Chinh tri quoc gia. Su
that-H a Noi. 1995. Tr. 263.

266
mau thuan deu cho rang hanh dong cua con ngudi bi quy
dinh bdi cac ldi ich khac nhau. Nhung nhieu tac gia cho
rin g loi ich kinh te khong phai la ldi ich duy nhat ma cac
ldi ich chinh tri, xa hoi, van hoa cung dong vai tro het siic
quan trong.
De giai quyet mau thuan xa hoi, nhieu tac gia thuyet
mau thuan chu trUdng phe phan va dau tranh chti khong
phai la thoa hiep. Trong qua trinh giai quyet mau thuln xa
hoi, he cac gia tri va cac chuan mUc van hoa dUdc coi la vu
khi, phiidng tien dau tranh vo cung ldi hai.
PhUdng phap luan. Thuyet mau thuan cho rang can
phai tap trung vao phan tich dong cd va dac diem xa hoi cua
cac ben tham gia mau thuan va ban chat cua moi quan he
mau thuan. Cau hoi nghien ctiu dat ra doi vdi cac nha xa hoi
hoc theo chu thuyet nay la: ai mau thuan vi cai gi vdi ai? Ai
thing ai trong cuoc canh tranh, xung dot? Lam the nao duy
tri, cung co dia vi, quyen liic va ldi ich trong moi quan he mau
thuan do? Cac ly thuyet co dien va cac ly thuyet hien dai ve
mau thuin deu hudng vao nhting cau hoi dai loai nhu vay va
dua ra cac cau tra ldi theo nhieu cach khac nhau.

2. Thuyet tinh hoa va ly thuyet cua Thorstein Veblen

Thuyet tinh hoa

Nhan thay ro mau thuan ve ldi ich va quyen lUc la tat
yeu trong xa hoi, mot so tac gia la Vilfredo Pareto, Gaetano
Mosca va Robert Michels cho ring: chi mot nhom it ngUdi la
co kha nang nim giti vi the va quyen luc lanh dao nhting
ngu'di khac trong xa hoi. Nhom ngUdi do dUdc goi la nhom

267
tinh hoa cua xa hoi va cua to chiic xa hoi. Dac trUng cua
nhom tinh hoa la cac thanh vien cua no cung chiem giut va cung
ra siic bao ve dia vi lanh dao, quan ly cung nhu la cung chia se
loi ich, quyen luc va nhufng Uu the gin lien v6i vi tri cua ho.
Tuy nhien, moi tac gia cua thuyet tinh hoa nhan manh
mot khia canh cua moi quan he mau thuan giufa nhom thong
tri va nhom bi tri. Pareto dac biet quan tam t6i nhom tinh
hoa cam quyen trong xa hoi va cho rin g luon ton tai moi
quan he mau thuan cua nhom ngUdi co dia vi thong tri vdi
nhom ngudi bi tri; va khong hiem trUdng hdp ca nhan ldi
dung dia vi chinh tri de kiem ldi kinh te1.
Gaetano Mosca2 nhan manh quan he mau thuan giufa
mot ben la nhufng ngUdi lanh dao, quan ly va mot ben la
nhufng ngUdi bi lanh dao, bi quan ly; Mosca cho rin g dia vi va
quyen luc chinh tri chi phoi tat ca cac loai quan he trong tat
ca cac linh vUc khac nhau cua ddi song con ngUdi ke ca linh
vUc kinh te.
Robert Michels3 phat hien ra “quy luat thep” cua gidi cam

1 Theo Amartya Sen. Phat trien la quyen tu do. Nxb Thong Ke. Ha Noi.
2002. Tr. 146.
2 Gaetano Mosca (1858-1941), nha chinh tn hoc ngUdi Y , la mot trong cac
tac gia cua ly thuyet xa hoi hoc tinh hoa. Ong coi cau true xa hoi gom hai
giai cap: mot la thieu so ngUdi thdng tri va hai la da sd ngUdi bi tri. Nhom
tinh hoa thong tri xa hoi va cung co, duy tri dia vi thong tri cua minh bing
cach khac nhau ke ca s i dung cd che hdp ly hoa, hdp phap hoa, hdp thiic hoa
va dao d ie hoa. Tac pham chinh: Giai cap cam quyen (The Ruling Class)
xuat ban bang tieng Y nam 1896, dich ra tieng Anh nam 1939.
3 Robert Michels (1876-1936) la nha xa hoi hoc, kinh te hoc, chinh tri hoc
ngtfdi D ie . Tac gia cuon sach ndi tieng Cdc ddng phai chinh tri (Political
Parties) (1911), trong do ong dua ra "quy luat thep cua tap doan thong tri"
cua cac to ch ic chinh tri dan chu.

268
quyen1. Theo quy luat nay, cac thu linh cua gi<3i tinh hoa
trong xa hoi cung nhii trong to chtic thiic chat chi hoat dong
bang moi cach vi muc dich va loi ich cua rieng ho ma thoi.
Nhii vay, ve mat nao do, thuyet tinh hoa rat giong v6i
quan niem cua Marx khi cho rang xa hoi co phan chia giai
cap la mot the thong nhat cua cac mat doi lap, trong do mot
thieu so' ngufOi thong tri da so' nhting ngiidi khac. Tuy nhien,
ly thuyet tinh hoa chti yeu xem xet cac dac diem cua co che
van hanh va duy tri cau true mau thuan ma it tap trung vao
phan tich nen tang kinh te cua cau trtic do.
i

Ly thuyet cua Thorstein Veblen

Thornstein Veblen (1857-1929), nha xa hoi hoc, kinh
te hoc ngiidi My, la ngiidi dat nen mong xay diing kinh te
hoc thiet che va vach hiidng nghien ctiu xa hoi hoc kinh te
ve chu nghia tii ban, tac gia cua Ly thuyet ve giai cap nhan
roi (The Theory o f the Leisure Class) (1899) va Ly thuyet ve
doanh nghiep kinh doanh (The Theory o f Business
Enterprise) (1904).
Khac vdi nhieu nha xa hoi hoc My chi tap trung nghien
ctiu cac “van de xa hoi” cu the, Veblen tim hieu nguon goc sau

1 Thieu so' kiem soat da so nhii the nao? Michels chi ra rin g to ch ic co xu
hu6ng phan hoa thanh mot nhom nho ngiidi chi huy va mot nhom 16n
nhiing ngiidi bi chi huy. Trong to ch ic , n h in g t h i linh luc dau chi dong vai
tro th ia hanh y chi tap the, nhiing sau do tu giai phong khoi so dong va trd
nen doc lap khoi s i kiem soat cua sd dong va quay trd lai kiem soat sd dong.
Robert Michels. A Few Control the M any, trong Lynn Barteck and Karren
Mullin. Enduring Issues in Sociology. CA: Greenhaven Press, Inc. 1995. Tr.
233-234.

269
xa cua quyen luc va mau thuln trong boi canh lich sU rong
lcfn. Theo Veblen, mau thuan trong xa hoi bat nguon tii
nhiing mau thuan ve ldi ich cua cac nhom khac nhau. Veblen
cho r&ng xa hoi gom cac giai cap, cac nhom theo duoi
nhiing ldi ich va dong cd kinh te. Dieu nay khong co gi mdi
doi vdi cac ly thuyet xa hoi hoc ve mau thuan. NhUng dieu
dac biet trong ly thuyet cua Veblen la sii nhan manh ba
giai cap noi troi nhat trong xa hoi hien dai. Do la: (1) giai
cap “cong nghiep" tao ra hang hoa, (2) giai cap “tai chinh1'
hoat dong trong linh vUc tien te va thudng mai va (3) giai
cap “nhan roi" theo duoi loi song vui chdi, giai tri, loi song
tieu dung, hudng thu.
Cung vdi dong cd kinh te, danh vong va uy tin la nhiing
nhan to" thuc day hanh vi ca nhan. Veblen cho rin g moi ngUdi
deu tim moi cach de chiem dUdc sU ton trong cua ngUdi khac,
sii ngUdng mo va kinh ne cua ngUdi xung quanh. Dieu do co
nghia la mau thuan khong chi dien ra trong linh vUc kinh te,
quyen luc ma con xay ra trong nhieu linh vUc khac cua ddi
song xa hoi. Cuoc dau tranh cua con ngUdi khong nhiing
nhim vao muc tieu kinh te ma con hudng tdi muc tieu gianh
dUdc dia vi ngay cang cao trong xa hoi.

3. T r u in g phai Chicago va quan niem

cua R obert Park

TrUdng phai xa hoi hoc Chicago noi chung chuyen nghien

ciiu van hoa va ddi song xa hoi d thanh thi dudi su lanh dao
cua giao sU xa hoi hoc ngudi My ten la Robert Park (1864-
1944). Ong da tiing hoc tap dudi sU hudng d in cua Wiliam

270
James, nha tam ly hoc y thtic, nha triet hoc thiic dung chu
nghia. Park da hoc mot ky mon xa hoi hoc do Simmel giang
day cl Berlin. Qua khoa hoc nay ong da tiep thu dUdc nhting
kien thtic quan trong va can thiet de theo duoi linh vUc
nghien ctiu xa hoi hoc. Sau nay dua vao quan niem xa hoi la
mot he thong cac tUdng tac cua Simmel, cua Park va cac dong
sii gom William Issac Thomas va Florian Znaniecki, Park da
xay dung va phat trien trUdng phai xa hoi hoc cua trudng Dai
hoc Tong hdp Chicago ndi ong bat dau lam viec nam 1914.
TrUdng phai nay noi tieng vdi ten goi ngan gon la trUdng phai
Chicago. Herbert Blumer, mot nha tUdng tac luan bieu trUng
noi tieng, cho rang giao su Robert Park la nha nghien ctiu
khoa hoc xa hoi hoc gioi nhat d nUdc My.
Tac pham chinh cua Robert Park la cuon giao trinh Nhap
mon khoa hoc xa hoi hoc (Introduction to the Science o f
Sociology) (viet chung vdi Ernest Burgess xuat ban nam
1921) va cuon Thanh pho (The City) (1925).
Park chu trUdng phai van dung cac phUdng phap nghien
ctiu khac nhau de hieu cac kieu tUdng tac xa hoi va cac khia
canh khac nhau ctia qua trinh xa hoi dien ra d cong dong.
Thay vi nghien ctiu nhting mat tinh cua cau trtic xa hoi, Park
da yeu cau cac cong sii va hoc tro cua minh tim moi cach nam
bat dUdc dong thai cua cau trtic xa hoi va ddi song xa hoi thuc
nhu no xay ra. PhUdng cham cua ong la: hay den tting goc pho'
de quan sat, nghien ctiu ddi song thiic d thanh thi.
Theo quan niem cua Park, sii mau thuln va canh tranh
la mot hien tUdng cua loi song xa hoi, la dac trUng cua mo'i
quan he gitia cac ca nhan va cac nhom xa hoi. Khac vdi Marx,
Park cho rin g mau thuln chu yeu dien ra tren linh vUc vi the

271
va quyen liic giufa cac nhom xa hoi khac nhau ve chung toe,
van hoa va loi song. Park quan niem rang, mau thuan khong
chi xay ra giiia cac nhom ma con dien ra giiia cac ca nhan
tren cung mot thang bac, cung mot tang 16p cua cau true
phan tang xa hoi. Tuf do, ong cho rang mau thuan tac dong t6i
moi khia canh cua ddi song xa hoi cua con ngUdi.

4. Ly thuyet cua Joseph Schumpeter

Joseph Schumpeter (1883-1950), nha kinh te hoc ngUdi
Ao, la mot dai dien tieu bieu cua xa hoi hoc kinh te hien dai
va la tac gia cua nhieu y tUclng phe phan xa hoi tu ban chu
nghia v6i tat ca nhiing bieu hien cua cac mau thu&n noi tai
cua no. Tac pham chinh: Ly thuyet phat trien kinh te (Theory
o f Economic Development) (1912). Chu nghia tii bdn, chu
nghia xa hoi vd ddn chu (Capitalism, Socialism and
Democracy) (1943).
Quan niem xa hoi hoc kinh te. Trong khi cac nha kinh te
hoc khac chi noi tdi mot so chu de, mot so khai niem xa hoi
hoc, Schumpeter da de cap mot cach he thong cac quan diem
xa hoi hoc, mac du ong khong chinh thiic dUdc dao tao ve
nganh nay1.
Giong nhu Weber, Schumpeter coi xa hoi hoc kinh te la
mot bo phan chuyen nganh cua kinh te hoc bao gom:
• Ly thuyet kinh te;
• Lich sii kinh te (trong do co ca nhan hoc kinh te);

1 Le Ngoc Hung. Xa hoi hoc kinh te. Nxb Ly luan chinh tri. Ha Noi. 2004.
Tr. 143.

272
 • Xa hoi hoc kinh te;
• Thong ke hoc kinh te.
Khac vdi Weber va Durkheim, Schumpeter khu biet hoa
xa hoi hoc kinh te b in g cach coi doi tUdng nghien ctiu cua nd
chi bao gom cac khia canh thiet che cua nen kinh te ma
khong phai la ban than hien tudng kinh te. Theo dinh nghia
cua Schumpeter, xa hoi hoc kinh te cd nhiem vu mieu ta va ly
giai cac thiet che tudng ting vdi kinh te bao gom cac thdi quen
va tat ca cac hinh thtic hanh vi ting xti ndi chung nhu chinh
phu, tai san, doanh nghiep tu nhan, cac hanh vi theo thdi
quen hoac con goi la hanh vi “duy ly”. Trong khi dd, kinh te
hoc cd nhiem vu mieu ta cd ly giai ve cac cd che kinh te cua
cac thiet che dd, vf du nhu cd che thi trUdng1.
Thuc chat cau hdi nghien ctiu cd ban cua kinh te hoc la:
cac ca nhan cti xti nhii the nao trong tinh huong kinh te-xa
hoi da cho? Cau hdi cd ban cua xa hoi hoc kinh te la: tai sao
cdc cd nhan lai cti xti nhii vay ?
Tuy nhien, tren thuc te rat khd tach biet kinh te hoc va
xa hoi hoc kinh te trong cac nghien ctiu cua Schumpeter. Vf
du, cong trinh no’i tieng cua dng la Ly thuyet phat trien kinh
fe" (1912) ban v l sU bien do’i xa hoi, to’ chtic doanh nghiep va
vai trd cua cac doanh nhan. Cac nha xa hoi hoc trong dd cd
Weber cho ring, chu nghia duy ly la nhan to' phat trien nen
kinh te tu ban chu nghia. 6 day, tmh duy ly chu yeu mang y
nghia cua tinh hdp ly, ttic la sti tmh toan, su lUa chon phUdng

1 Joshep Schumpeter. Essays on Entrepreneurs, Innovations, Business

Cycles, and the Evolution o f Capitalism. (1949). New Brunswick. NJ:
Transaction Pubhshers. 1989.

273
tien sao cho phu hdp vdi muc dich theo nguyen tac chi phi it
nhat nhung dem lai nhieu ldi ich nhat. Hanh dong duy ly con
co nghia la hanh dong vi ldi ich trUdc mat. NhUng
Schumpeter cho rang, quan niem nhu vay la chua day du. Su
phat trien kinh te can den sU doi mdi va tinh nang dong cua
chu the kinh te, dac biet can t6i mot doi ngu cac doanh nhan
dam mao hiem trong kinh doanh, di dau trong viec dua ra cac
san pham mdi va nhanh chong ap dung cac ky thuat, cong
nghe mdi, tien tien trong san xuat, kinh doan.
Schumpeter dua ra khai niem doanh nghiep va phan tich
moi quan he cua no vdi kinh te. Chiic nang doi m6i cua nha
doanh nghiep la nhan to" cua sU phat trien kinh te va bien doi
xa hoi. Dieu nay doi hoi nha doanh nghiep phai co mot so
pham chat nhan cach va hanh vi khac han vdi “con ngiidi
kinh t e ’ nang ve hanh dong duy ly, may moc. Nha doanh
nghiep la ngudi dam vUdt qua nhufng trd ngai va sii rang buoc
cua hang rao truyen thong bao thu, tri tre de thanh lap
doanh nghiep, de doi mdi va md mang san xuat kinh doanh
gop phan phat trien kinh te. Nha doanh nghiep la thu linh
kinh te, la nhan to khong the thieu cua mot nen kinh te dac
trUng bdi sU canh tranh, van dong va bien doi khong ngiing.
Schumpeter nghien ciiu ve sU phat trien doanh nghiep va
chi ra vai tro xa hoi cua giai tang doanh nhan trong viec tao
ra dong cd thuc day sU bien doi kinh te va bien doi xa hoi1.
Thong qua viec lien tuc doi mdi san pham va cong nghe san
xuat kinh doanh cac doanh nhan gop phan trUc tiep vao viec

1 Le Ngoc Hung. Xa hoi hoc kinh te. Nxb Ly luan chinh tri. Ha Noi 2004
Tr. 145.

274
dap ting cac nhu c£u hien co va md rong, nang cao va tao ra
nhufng loai nhu cau mdi cua xa hoi. V6i nghia nhu vay, co the
noi Schumpeter da goi ra y tudng quan trong ve vai tro dong
cd, dong lUc cua doanh nhan, doanh nghiep trong sU bien doi
xa hoi va co the dien dat thanh chuoi cac yeu to' gom: sU khdi
nghiep - san pham mdi - cong nghe mdi - nhu cau mdi - bien
doi xa hoi - doanh nghiep mdi - san pham mdi va cut the.
Khai niem nha doanh nghiep hay doanh nhan, theo quan
niem cua Schumpeter, khac vdi nha lanh dao, nha quan ly va
ngUdi buon ban. Nha lanh dao va nha quan ly cd the chi la
ngUdi dUdc giao quyen chi huy, chi la ngUdi thufa hanh trach
nhiem dieu phoi hoat dong cua ngudi khac va giam sat qua
trinh san xuat kinh doanh. De trd thanh doanh nhan, ho can
cd trach nhiem ca nhan doi vdi dong von dau tu ma ho da bd
ra, can cd sang kien va tinh than doi mdi de lam ra ldi nhuan.
NgUdi buon ban cd the trd thanh doanh nhan khi ho sang lap
ra doanh nghiep va lam chu tu lieu san xuat de tao ra nhufng
san pham nhat dinh.
Quan niem ve vai tro cua doanh nghiep va nha doanh
nghiep nhu vay d§.n den y tUdng la sU phat trien kinh te ndi
rieng va viec giai quyet cac mau thuan trong xa hoi ndi chung
phu thuoc vao ca hai yeu to'. Mot la, yeu to duy ly the hien
trong hanh dong kinh te. Hai la, yeu to' sang tao va tinh than
doanh nghiep bieu hien trong hanh vi cua nhdm cac nha
doanh nghiep.
Quan niem ve giai cap. Khai niem ve giai cap xa hoi cua
Schumpeter kha dac biet. Ong cho ring: thii nhat, giai cap
gin vdi gia dinh, cd cau giai cap la cd cau gom cac gia dinh va
gia dinh la thiet che cd ban cua xa hoi. Thuf hai, sU phan chia

275
giai cap khong chi gan vdi ban than qua trinh san xuat (sd
hiiu tu lieu san xuat) ma con g in vdi chtic nang quan trong ve
mat xa hoi, dd la chtic nang lanh dao kinh te va doi mdi trong
nen kinh te. Thti ba, sU doan ket, gan bd gitia cac thanh vien
✓ • V •
cting giai cap trong viec nam giti, tap trung va chuyen giao tai
san, quyen luc, vi the xa hoi tti the he nay sang the he khac.
Dd la cd che “di truyiri” xa hoi, cd che di dong xa hoi theo the
he, nhd vay khong nhting vi the cua giai cap ma ca cau true
xa hoi-giai cap dUdc duy tri va tai tao tti the he nay sang the
he khac.
Schumpeter cho ring, giai cap nam giti dUdc quyen luc
la do ho cd nhting ky nang mdi, thich nghi, sang tao, doi mdi
ma trUdc dd ho hay nhting giai cap khac khong cd. Vi the
quyen luc khong nhting dUdc giai cap nam giti ma con dUdc
sti dung de lam giau, de cung co" va bao ve ldi ich cua minh
chong lai sU canh tranh cua cac giai cap hay cac nhdm khac
trong xa hoi.

Ve dau tranh quyen luc, theo Schumpeter, khi nao giai

cap thong tri khong cd kha nang cung cap cac dich vu cin
thiet cho xa hoi va nhting giai cap mdi, tien tien hdn xuat
hien thi giai cap thong tri mdi bi thay the. Schumpeter lay vi
du la giai cap tu san hien nay dang bi suy yeu do nhting tien
bo kinh te ma nd tao ra dang bi suy giam. Trong khi dd cac
tien bo cong nghe dang dem lai nhting doi thay to ldn ve ca
kinh te va xa hoi. Ket qua la mot giai cap mdi gom cac nha tri
thtic khoa hoc cong nghe dang ldn manh va ngay cang cd anh
hudng sau rong tdi su bien doi xa hoi.
Cac y tudng xa hoi hoc cua Schumpeter ve moi quan he
gitia nha nUdc va nen kinh te, ve tai chinh va thue cho den

276
nay van con mang tmh thdi su. Ong phan tich cac mau thuan
cua he thong tu ban chu nghia va cho ring, no tu lam xoi mon
chinh nen tang cua no de sdm muon se bi thay the bdi chu
nghia xa hoi. Schumpeter tting khang dinh, chti nghia tu ban
khong the song sot dUdc. Ong du bao kha nang cac nha doanh
nghiep se bi cac nha hanh chinh cong nghiep thay the va sU
can thiet cua ke hoach hoa kinh te tat yeu se khuyen khich
chu nghia xa hoi phat trien1. Nhting y tudng cua Schumpeter
ve sU mat din tinh hdp thtic cua chu nghia tu ban sau nay
dUdc mot so" tac gia tiep tuc trien khai trong ly thuyet mau
thuan-phe phan.

5. Trifc/ng phai Frankfurt va thuyet mau thuan -

phe phan
Ly thuyet mau thuan-phe phan la ket qua cua hudng
phat trien thuyet mau thuan d Dtic, cu the la d Vien Nghien
ctiu xa hoi thanh lap nam 1923 tai trUdng Dai hoc To’ng hdp
Frankfurt. Nhung ly thuyet phe phan (Critical Theory) khong
dong nhat vdi trUdng phai Frankfurt. Ke tiep the he thti nhat
gom nhting ngUdi sang lap ra trudng phai nay la the he thti
hai gom cd Juergen Habermas (sinh 1929) va Albrecht
Wellmer va the he thti ba gom Axel Honneth d Dtic va Seyla
Benhabib d My va mot so' tac gia khac d Phap2. TrUdng phai

1 Joseph Schumpeter. Capitalism, Socialism and Democracy. London:

Unwin University Books. 1943. Tr. 131-155.
2 Craig Calhoun and Joseph Karaganis. Critical Theory, trong George
Ritzer and Barry Smart (eds). Handbook o f Social Theory. London: Sage
Pubhcations. 2001. Tr. 179. Doc them chuyen de 6 phan 4 cuon sach nay.

277
Frankfurt gom cac nha khoa hoc ndi tieng la Max Horkheimer
(1895-1973), Erick Fromm (1900-1980), Herbert Marcuse
(1898-1979), Theodor Adorno (1903-1969). Cac tac gia nay
deu xuat than tit nhiing gia dinh trung liiu ngUdi Do Thai,
deu la thanh vien cua Vien Nghien ciiu xa hoi, nhUng den
giiia nhiing nam 1930 deu rdi nUdc Diic di cU sang My lam
nghien ciiu va giang day tai cac trUdng dai hoc. Sau do chi co
Adorno va Horkheimer quay ve Diic lam viec cl trUdng Dai
hoc Tong hdp Frankfurt ndi ma Vien Nghien ciiu xa hoi dUdc
tai lap nam 1949.
Cac thanh vien cua trUdng phai Frankfurt ke thiia
nhiing hat nhan cua thuyet mau thuln va nghien cvfu mot
cach day tinh phe phan doi vdi nhiing gi xay ra trong xa hoi
dUOng thdi. Trong nhieu trUdng hdp sii “phe phan” dUdc nhan
manh tdi miic lan at “mau thuan”, vi the trUdng phai nay con
co ten goi ngln gon la “thuyet phe phan” . Cung vdi tinh “phe
phan”, trUdng phai Frankfurt co dac trUng khac la tinh triet
hoc rat cao nhd ke thiia truyen thong xa hoi hoc Diic do Marx1
va Weber khdi xudng. Dieu nay the hien qua hang loat cac
khai niem, thuat ngii triiu tudng, khai quat va cac chu de lien
quan tdi cau hoi cd ban cua triet hoc la moi quan he giiia vat
chat va y thiic, kinh te va xa hoi.
Cac luan diem goc cua thuyet mau thuln-phe phan cho

1 M arx da viet nhiing tac pham ndi tieng trong do ong phe phan manh me
nhiing sai lam cua triet hoc cd dien va khoa kinh te chinh tri, vi du nhii Gop
phan phe phan triet hoc phap quyen cua He-ghen (1844), Gop phan phe
phan khoa kinh te chinh tri (1859) va bo T u hdn; phe phan khoa kinh te
chinh tri (1867), ddng thdi phat trien ly luan khoa hoc cach m ang ve sii van
dong cua lich sik loai ngUdi.

278
r in g tri thtic, f tiidng cua con ngiidi la san pham cua xa
hoi ho dang song. Do v&y con ngiidi khd cd the vUdn tdi tri
thiic khach quan, khd tranh khoi bi anh hiidng bdi kieu tii
duy, suy nghi cua thdi dai lich sti xa hoi cu the; trong tinh
hinh dd, cac nha khoa hoc cung khong nen co to ra khach
quan va khong nen co tim cach tach bang chting ra khoi sii
phan xet ve mat gia tri1. Nha khoa hoc can phe phan, can
cd cai nhin phe phan va thai do phe phan khi nghien ctiu.
Bang cach nhii vay khoa hoc mdi cd the tim ra diidc tri
thtic dting dan, mdi tien gan den chan ly, mdi cd the hieu
diidc can phai lam gi va lam nhu the nao de cai bien xa
hoi. Tieu chuan de danh gia tri thtic dung hay sai la sii
duy ly, sii hdp ly giong nhu Hegel tting khang dinh: Tat ca
cai gi la hien thiic deu la hdp ly va tat ca cai gi la hdp ly
deu la hien thiic. NhUng can phai cd tinh than phe phan
vdi ca tri thtic va doi tudng cua tri thtic.
Ve quan he gitia con ngudi va xa hoi, thuyet nay cho
rang sii tu do phat trien cua ca nhan phu thuoc vao sii
kien tao hdp ly xa hoi va trong mot xa hoi hdp ly se khong
con chd cho mau thuan gitia nang liic ngudi va cach to chtic
lao dong xa hoi2. Nhung nhu the nao la mot xa hoi hdp ly
va lam the nae de xay diing dUdc nd? Nhting ngUdi theo
thuyet mau thuin-phe phan khdng tra ldi dUdc. Ve diem

1 Thuyet phe phan khong dong tinh v6i triet hoc thiic chiing, logic thuc
chiing hay thuc chiing luan. Nhiing thuyet phe phan lai rat coi trong tinh
khach quan khoa hoc diidc n it ra tii sii kiem chiing thiic nghiem doi vdi cac
gia thuyet khoa hoc.
2 M ax Horkheimer. Critical Theory. New York: Herder and Herder. 1972.

279
nay, thuyet phe phan tut lui rat xa so vdi hoc thuyet mau
thuan cua Marx. Thay vao do, thuyet nay tap trung vao
chu de cd ban la phan tich anh hudng cua xa hoi doi vdi
con ngUdi1 va phe phan tinh than chu nghia tU ban, buoc
toi cach to chiic xa hoi kieu tu ban chu nghia la nguyen
nhan gay ra sU tha hoa va mat nhan tinh.
Ve moi quan he giiia “cdi kinh te” va “cdi xa hoi” , thuyet
mau thuan-phe phan ke thiia quan niem cua Marx coi cau
true kinh te la cd sd cua cau true xa hoi. Nhung cac tac gia
cua thuyet phe phan cho rang van hoa va he tu tudng co the
dong vai tro doc lap trong xa hoi va quan he giiia kinh te va
xa hoi nhieu chieu rat phiic tap. Do vay, thuyet nay tap trung
vao nghien ciiu moi quan he mau thuan giQa cac tieu cau true
kinh te-xa hoi vdi van hoa, tri thiic, nhan cach va phe phan
he thong kinh te cua xa hoi da bop meo, tham chi lam thui
chot sU phat trien nhan each, kim ham nhu cau cd ban cua
con ngUdi trong do co nhu cau sang tao va nhu cau khing
dinh ban nga.
Cac tac gia cua thuyet nay phe phan van hoa dai chung
va sU doi mdi cdng nghe, ky thuat vi chung da gop phan tao
nen mot he thong che ngU, kiem soat con ngudi den miic moi
ngUdi chi biet phuc tung, tuan thu, lam theo quy dinh ma
khdng dam nghi tdi phe phan hay khang cU. Tii dd xuat hien
kieu “con ngiidi mot chieu” trong hanh dong, suy nghi va
tinh cam2.

1 Erich From. The Crisis o f Psychoanalysis. New York: Fawcett World

Library. 1975.

2 Herbert Marcuse. One-dimentional M an. Boston: Beacon Press. 1963.

280
 6. Thuyet phe phan “Con ngtfcfi mot chieu”
cua Herbert Marcuse
Dai dien tieu bieu cua trudng phai Frankfurt - thuyet
xa hoi hoc phe phan la Marcuse (1898-1979), nha triet hoc
ngudi Dtic. Mot trong nhting tac pham chinh cua ong la
cuon sach: Con ngiidi mot chieu (One-dimentional man)
(1964). Theo Marcuse, sU duy ly ky thuat-cong nghe la
quan niem tiep can dien hinh cua xa hoi hien dai doi vdi
cuoc song lao dong va gidi tu nhien. Theo dd, toan bo cac
van de dUdc con ngudi giai quyet bang cac bien phap ky
thuat-cong nghe. Toan bo moi quan tam cua con ngUdi
hudng vao viec tim ra cach thtic va qua trinh to chtic hoat
dong lao dong de dat muc dich da dinh sao cho cd the khai
thac toi da cac nguon luc san cd trong tu nhien va xa hoi.
NhUng dd la qua trinh mot chieu vdi tU duy mot chieu,
hanh dong mot chieu, tinh cam mot chieu thieu tinh sang
tao can phai phe phan.
Marcuse phan tich cach to’ chtic ddi song lao dong trong
xa hoi hien dai va dua ra mot sd" nhan xet cd tinh phe phan
nhu sau:
• Mot la, trong cac nUdc cdng nghiep, giai cap cdng
nhan khdng con phai trai qua sii boc lot den tan
xUdng tuy mot cach thd bao nhu trong the ky 19.
NhUng dieu dd khdng cd nghia la moi cai da trd
nen tot lanh.
• Hai la, lao dong thu cdng, lao dong gian ddn bi thu
hep va lao dong tri oc, lao dong cd tring - tri thtic,
lao dong phtic tap ngay tang len cung vdi qua

281
 trinh cd khi hoa, tu dong hoa1.
Tiidng tu nhu cach phan tich cua Durkheim, Marcuse
cho r&ng tien bo ky thuat va cong nghe co chiic nang doan
ket xa hoi. Cu the la viec ting dung khoa hoc-cong nghe
trong san xuat lam cho cong nhan phai tUdng tac, phu thuoc
lln nhau va phai tham gia vao cac qua trinh trong nha may,
xi nghiep - tham gia quan ly, ra quyet dinh. Moi tUdng tac
nay gop phan tao nen sU doan ket toan cau cua giai cap cong
nhan, dieu nay chi trd thanh hien thuc trong xa hoi hien
dai. Cong nghe cung la hinh thtic to chtic hieu qua, co muc
dich va co cuoc song rieng cua no. NhUng cong nghe cung co
mat trai cua no, do la viec no che day sU bat binh ding va
lam tha hoa, suy thoai lao dong. Trong boi canh do xuat
hien hinh thtic thong tri mdi vdi tam man “khoa hoc-cong
nghe” che giau ban chat bat binh d in g ve quyen luc, kinh te,
xa hoi gitia cac nhom ngudi.
Marcuse vach tran viec gidi chu trong cac nUdc cdng
nghiep tien tien tim moi cach mua chuoc cdng nhan va me
hoac ho bang cach ap dung nhting thanh tUu khoa hoc ky
thuat, cdng nghe vao san xuat, kinh doanh. Dieu dd lam cho
ho khdng con du y chi, dong cd va nang luc thuc hien sti menh
lich sti cua minh nhu Marx va Engels da tting chi ra2.

1 Hien nay may tinh hoa, tin hoc hoa, Internet hoa dang 1am cho cong nhan
phai hen he, g in ket vdi nhau c h i khong the don doc, xa cach vdi nhau nhii
khi lam viec trong day chuyen san xuat d the ky 19.
2 Theo quan niem cua M arx, giai cap cong nhan dai dien cho luc liidng tien
tien nhat trong lich s i co s i menh pha bo cau true xa hoi chinh tri bat cong,
phi ly va duy tri, phat huy sU tien bo cong nghe c ia c h i nghia tu ban de xay
dung xa hoi mdi khong cd bat cdng, khdng cd ap b ic , khong cd sU bdc lot
ngiidi, khong cd s i tha hoa con ngUdi.

282
 Tuy nhien, can thay ro sU phan hoa giau-ngheo mot
cach tUdng do’i dang ngay mot sau s ic trong cac nUdc cong
nghiep tien tien. Can thay rin g mac du ddi song cong nhan
d nhting nUdc nay dUdc cai thien mot cach tuyet doi nhung
cai ngheo tUdng ddi ve vat chat va tinh than cua ho ngay
mot nang ne va tinh vi hdn. “Con ngiidi mot chieu” thuc
chat la san pham cua thdi dai cdng nghiep cd khi khd cd
the dudng dau vdi nhiing mau thuan nay sinh trong long
xa hoi dd. Cung vdi viec “con ngiidi mot chieu” va xa hoi tu
ban chu nghia hien dai boc lo nhiing mau thuan va nhulng
han che can phai phe phan dang xuat hien “con ngiidi
nhieu chieu” cua thdi dai khoa hoc-cong nghe trd thanh luc
lUdng san xuat - thdi dai cua nhiing bien doi nhanh chong
khd lUdng.

7. Ly thuyet “Phe phan kep” cua Juergen Habermas

Habermas sinh nam 1929 d Dusseldorf, nUdc Diic, hoc
triet hoc, sti hoc, van hoc Dtic d Gottingen, Zurich va Bonn
lam trd ly cho Theodor Adorno d Frankfurt nam 1956, cd hoc
vi tien sy d trUdng Dai hoc tong hdp Marbug, trd thanh giao
sU triet hoc va xa hoi hoc d trudng Dai hoc Tong hdp
Hedelberg nam 1961 khi mdi 32 tuoi va giang day d nhieu
trudng dai hoc d Dtic. Tac pham chinh cua dng la: Tri thiic vd
lai ich ngiidi (Knowledge and Human Interest) (1971), Ly
thuyet ve hanh dong giao tiep (A Theory o f Communicative
Action) (1984)1.

1 Steven Seidman and Jeffrey C. Alexander (eds.). The New Social Theory
Reader. New York: Routledge. 2001. Tr. 29.

283
 Nhiem vu phe phan kep cua khoa hoc. Ve mat ly luan,
Habermas co dong gop quan trong trong viec lam r5 ban chat
va nhiem vu kep cua ly thuyet phe phan. Theo ong, ly thuyet
khoa hoc xa hoi co nhiem vu phe phan kep1, mot mat, nham
vao hien thiic xa hoi va mat khac nhltm vao chinh cac khoa
hoc dang phan anh cai hien thiic xa hoi do. Ly thuyet phe
phan b&ng cach chi ra nhiing thieu sot, nhting nghich ly,
nhting cai phien dien trong ca hai mat nghien ciiu do. Tinh
than phe phan neu tren the hien ro trong quan niem cua
Habermas ve hang loat cac chu de quan trong cua ddi song xa
hoi hien dai tti cach to chiic lao dong den he tii tiidng va he
van hoa.
Habermas nghien ctiu hoc thuyet Marx va diia ra cach
phan loai xa hoi co nhting diem gan giong vdi Marx.
Habermas phan biet: (1) hinh thai xa hoi khong co giai cap -
xa hoi nguyen thuy va (2) hinh thai xa hoi co giai cap. Nhiing

1 Jurgen Habermas viet: (ly thuyet) “No phe phan cac khoa hoc xa hoi
dUcfng dai va hien thiic xa hoi ma cac khoa hoc do c in n im bat. No phe
phan hien thiic cua cac xa hoi phat trien do cac xa hoi do khong phat huy
day du tac dung cua cac tiem nang hoc tap s in co trong van hoa xa hoi,
nhiing lai tap trung sic life vao viec lam tang sU p h ic tap mot cach khong
kiem soat diidc... Ly thuyet cung phe phan cac cach tiep can khoa hoc-xa
hoi da khong co kha nang lam sang to nhiing ngich ly cua sU duy ly hoa xa
hoi boi vi chung bien cac he thong xa hoi phiic tap thanh doi tiidng nghien
ciiu t i goc do triiu tiidng nay hoac goc do triiu tudng kia m a khong tinh den
boi canh lich s i hinh thanh linh \oic doi tiidng nghien c iu (vdi nghia la xa
hoi hoc phan tii). Ly thuyet phe phan xa hoi khong co hen quan gi t6i cac
diidng hii6ng nghien c iu da diidc thiet lap vdi tu cach la ngUdi canh tranh;
xuat phat t i quan niem c ia no ve s i xua't hien cua cac xa hoi hien dai, no co
nhiem vu giai thich n h in g han che cu the va n h in g quyen tUdng doi c ia cac
cach t;iep can do”. Jurgen Habermas. The Tasks o f a Critical Theory o f
Society, trong James Farganis. Readings in Social Theory: the Clasic
Transition to Post-Modernism. M cGraw-Hill, Inc. 1993. Tr. 339.

284
khac vdi Marx, Habermas chia xa hoi co giai cap thanh hai
loai la (1) xa hoi truyen thong gom xa hoi cd dai - xa hoi
chiem hufu no le va xa hoi phong kien, va (2) xa hoi hien dai
gom xa hoi tu ban chu nghia tii do, xa hoi tii ban chu nghia co
to chutc va xa hoi hau tii ban chu nghia.
Habermas cho rang Marx mdi chi phan tich loai xa hoi tii
ban chu nghia tii do d the ky 19 ma chiia biet tdi nhufng hinh
thiic xa hoi tii ban chu nghia phat trien trong the ky 20.
Habermas cho rang cac cuoc cach mang xa hoi la san pham
cua nhiing cuoc khung hoang, nhiing mau thuan nay sinh
trong long he thong xa hoi.
TUOng tu nhu Weber, Habermas phe phan cai xa hoi
dang bi quan lieu hoa den mufc bien thanh cai “cui sat” (Iron
Cage) - theo cach noi cua Weber, bop nghet con ngUdi. Trong
cai xa hoi do, kieu thong tri quan lieu diia vao to chiic thay
the cho kieu thong tri diia vao uy liic cua ca nhan va kieu
thong tri diia vao truyen thong. Trong xa hoi hien dai, cac ca
nhan khong phai phuc tung ngUdi khac theo kieu thong tri
truyen thong ma phuc tung va tuan thu cac quy dinh va luat
phap theo kieu thong tri duy ly.
Habermas de cao vai tro cua he tu tudng, y thiic va he
gia tri, chuan miic trong viec duy tri sii on dinh xa hoi. Ong
cho rang cac mau thuan tham chi sii doi khang trong xa hoi
khong nhat thiet tao ra sii bien doi cua he thdng xa hoi neu
nhu he cac gia tri va chuan miic khac nhau van cd the cung
ton tai ma khdng gay ra tac dong nguy hai nao ddi vdi sii on
dinh cua he thong xa hoi. Dieu nay cd ve duy tam chu nghia
theo cach ndi cua triet hoc, nhUng lai giai thich dUdc vi sao cd
kieu cau true xa hoi tri tre keo dai rat lau va v in ton tai dUdc

285
bat chap nhiing biidc thang tram, khung hoang cua no.
Phan loai hanh dong xa hoi. Can cti vao nhu c iu xa hoi,
Habermas phan biet ba loai hanh dong. Thii nhat, xa hoi co
nhu cau san xuat vat chat va tai san xuat xa hoi nen tat yeu
co lao dong san xuat vdi tu cach la phUdng tien song, la hanh
dong san xuat tao ra cac san pham dap iing loai nhu cau nay.
Thii hai, xa hoi cd nhu cau ly giai, thdng hieu cac trang thai y
thiic, do dd tat yeu xuat hien hoat dong giao tiep vdi phUdng
tien cd ban la ngon ngii. Thti ba, xa hoi cd nhu cau thuc hien
nhiing Udc nguyen ve sU tu khang dinh ca nhan, tu do ca
nhan va phat trien nang luc, do dd tat yeu xuat hien hoat
dong chinh tri vdi phUdng tien chu yeu la quyen lUc.
Tudng iing vdi ba loai hanh dong neu tren la ba loai tri
thiic: (1) tri thiic khoa hoc (diia vao quan sat), (2) tri thiic lich
sti (diia vao su cam thu) va (3) tri thtic phe phan (diia vao sii
dau tranh).
Tuy nhien, theo thuyet duy ly, Habermas chia toan bo
hanh dong cua con ngudi thanh hai loai la: (1) hanh dong duy
ly muc dich ttic la lao dong va (2) hanh dong tUdng tac bieu
trung dua vao ngon ngti hudng vao sii hieu biet lin nhau ttic
la hanh dong giao tiep. Lao dong hudng vao san xuat vat chat
va tuan thu cac quy tic ky thuat, con giao tiep thi hudng vao
ddi song van hoa-xa hoi va tuan thu cac chuan mUc da dUdc
xa hoi tao ra.
Habermas con goi loai hanh dong thti nhat la hanh dong
cdng cu (Instrumental action) dac trUng bdi sii phan biet rd
rang phUdng tien vdi muc dich va loai hanh dong thti hai la
hanh dong giao tiep (Communicative action) vdi dac trUng la

286
muc tieu khong tach rdi khoi cac qua trinh ngon ngii ma
thong qua no muc tieu dat dUdc. Tudng iing vdi hai loai hanh
dong xa hoi la hai the gidi: the gidi he thong (System world)
va the gidi cuoc song (Life w orld)1.
Theo Parsons va Durkheim, Habermas cho rin g xet cho
cung thi trat tii xa hoi dUdc thiet lap thong qua hanh dong
giao tiep va quyen lUc kinh te, chinh tri2. NhUng xuat hien
mot van de nghiem trong can phe phan trong xa hoi hien dai
la giao tiep trd thanh mot bo phan cua he thong hanh dong
duy ly muc dich. Nghia la giao tiep bi tha hoa, bi bien chat va
xa hoi bi chi phoi bdi loai hanh dong thuan tuy duy ly nhu
Weber da tiing ndi tdi.
Chu nghia duy ly ky thuat/cong cu, ndi theo thuyet hanh
dong xa hoi cua Weber, tao ra loai sung bai ky thuat, sung
bai khoa hoc. Chu nghia duy ly dd cho rin g moi van de xa hoi
deu cd the giai quyet bin g nhiing thu tuc ky thuat, b&ng thu
tuc cua to chiic quan lieu ky thuat (Bureaucrat-tecnocrat).
Chu nghia duy ly doi lap vdi tu duy, vdi ly tri. Duy ly chi
quan tam tdi liia chon phUdng tien, cdng cu de dat muc dich
cuc bo; trong khi ly tri ddi hdi phai xac dinh dUdc muc tieu
chung, ldi ich chung va van de chung can giai quyet.

1 Craig Calhoun and Joseph Karaganis. Critical Theory, trong George

Ritzer and Barray Smart (eds.). Handbook o f Social Theory. London: Sage
Pubhcations Inc. 2001. Tr. 192; Richard Harvey Brown and Douglas
Goodman. Jurgen Habermas' Theory o f Communicative Action: An
Incomplete Project, trong Ritzer, G. and Barry Smart (eds.). Handbook o f
Social Theory. London: Sage Publications. 2001. Tr. 204.
2 Jurgen Habermas. Contribution to Discourse - Theory o f Law and
Democracy, trong S. Seidman and J. C. Alexander (Eds.). The N ew Social
Theory Reader. New York:: Routledge. 2001. Tr. 30-38.

287
 Cdi nhin phe phan sii phat trien xa hoi. Habermas chi ra
mot sd xu hudng phat trien xa hoi hien dai. Trong so dd, quan
trong nhat la: (1) linh vUc cdng ngay mot thu hep, (2) sU can
thiep cua nha nUdc vao kinh te ngay mot tang len, (3) Uu the
va vai trd cua khoa hoc ngay mot ldn trong viec kiem soat lao
dong xa hoi. Tuy nhien, sU bieu hien cua nhiing xu hudng nay
khac nhau tuy vao mdi xa hoi cu the.
Trong qua trinh phat trien cua minh, xa hoi khdng tranh
khoi nhiing cuoc khung hoang. Tudng iing vdi ba tieu he
thong cd ban cua cau true xa hoi la kinh te, chinh tri-hanh
chinh va van hoa, Habermas chi ra ba loai khung hoang la:
(1) khung hoang kinh te" khi he thong nay khdng cung cap du
cac san pham dap iing nhu cau cua moi ngUdi, (2) khung
hoang tinh duy ly khi he thong chinh tri-quan ly khi khdng cd
du cac quyet dinh c in thiet, va (3) khung hoang nhu cau dong
cd khi tieu he thong nay khdng sti dung dUdc cac bieu tudng
can thiet de tao ra y nghia can thiet cho moi ngudi tham gia
day du vao cac qua trinh cua xa hoi.
Tuy nhien, khung hoang kinh te trong xa hoi hien dai
khdng phai la khung hoang thieu, ma la khung hoang thiia
keo theo sU ro'i loan san xuat. Do dd, su bien do’i xa hoi cd the
bat nguon tti viec chan hung linh vUc cdng trong khu vUc
chinh tri-hanh chinh-quan ly de lam sao kh&c phuc dUdc
khung hoang ve mat phap ly. Dong thdi tang cUdng hanh
dong giao tiep trong cac linh vUc lao dong, cung cd" quan he xa
hoi va gia dinh, ttic la khac phuc sU khung hoang ve dong cd,
nhu cau xa hoi.

Mot dieu rat ro rang la, theo Habermas, ldi ich vat chat
(tai chinh) khdng con la dong cd duy nhat thtic day su bien

288
doi kinh te-xa hoi va dong cd ca nhan, cu the la dong cd lam
giau cho ban than khong con la dong liic phat trien duy nhat
cua xa hoi. Linh vUc dich vu cong (giao due, y te, the thao,
giai tri, cd sd ha tang, v.v.) trd thanh cd sd va nguon luc cua
sU phat trien xa hoi. Khoa hoc - nhat la sU sung bai khoa hoc
khong chi co chiic nang hdp phap hoa yeu to' duy ly cong cu
ma no con dong vai tro thiet che hoa vi the quyen uy cua
nhom cac chuyen gia, cac nha chuyen mon, cac nha tri thiic.
Xa hoi hien dai phUdng Tay khong tranh khoi nhiing
mau thuan noi tai cua no, nhving mau thuan nay thay hinh,
doi dang do co nhiing thay doi ve noi dung va cach to chiic xa
hoi. Theo Habermas, nhiing mau thuan mdi chu yeu nay sinh
trong linh vUc tai san xuat xa hoi, linh vUc van hoa-tinh than
cua xa hoi1.
Mau thuan mdi ddi hdi phai cd cach giai quyet mdi thich

1 Habermas viet: ‘Trong mot hay hai thap ky qua, cac mau th u ln nay sinh
trong cac xa hoi phat trien phuong Tay da bien dang theo nhieu cach khac
nhau so vdi mau thuan dUdc thiet che hoa ve sU phan phoi theo kieu nha
nUdc phuc ldi. Cac mau thuan nay khong con nam trong linh vUc san xuat
vat chat; chung cung khong con dien ra theo kenh dang phai va cac hiep hoi;
va chung cung khong con diu di bang cach den bu nQa. M a nhiing mau
thuln mdi nay xuat hien trong linh vUc tai san xuat van hoa, hoi nhap xa
hoi va xa hoi hoa; chung dien ra dudi hinh thiic dau tranh can thiet che -
hay it nhat ngoai nghi triidng; va nhiing thieu sot cd ban phan anh sii cu
the hoa cac linh viic hanh dong diidc cau true hoa theo kieu giao tiep se
khong cd phan iing gi doi vdi dong tien va quyen luc niia. Van de khong phai
la sii den bu ma nha midc phuc ldi cd kha nang thiic hien ma la bao ve va
phuc hoi nhiing loi song dang bi de doa. Ndi n g ln gon, cac mau thuan mdi
khong b it nguon tii nhiing van de phan phoi ma tii nhiing van de hen quan
tdi trat tu, cdng th ic cua loi song”. Jurgen Habermas. The Tasks o f a
Critical Theory o f Society, trong James Farganis. Readings in Social
Theory: the Clasic Trandition to Post-Modernism. McGraw-Hill, Inc. 1993.
Tr. 351.

289
hdp. Habermas cho rang nhiing mau th u ln mdi khong hoan
toan nay sinh tti sii bat binh ding ve ldi ich kinh te ma tti
nhieu linh vUc khac1. Dieu do co nghia la cau true phan tang
xa hoi da thay doi theo hiidng khoang cach giau ngheo dan ra
nhiing so" ngiidi thuoc tang day xa hoi giam va so ngiidi trung
liiu tang hdn so vdi triidc day. Do vay, cac mau thuan mdi
trong xa hoi tii ban chu nghia diidng dai dUdc giai quyet theo
cach mdi goi la kieu “chinh tri mdi” vdi sii ting ho chu yeu tti
phia tin g ldp trung lUu trong xa hoi.
Tom lai, theo cac ly thuyet thuoc triidng phai phe phan
xa hoi, trong sii phat trien xa hoi va trong ddi song lao dong
sinh hoat cua con ngiidi tdn tai nhting mau thuan, nhting van
de can cd cai nhin phe phan. Trong sd" dd, dang chti y nhat la:
• Thti nhat, mau thuan do mot ben la sii duy ly-
cong nghe tim cach khai thac tdi da cac nguon liic
va giam chi phi va mot ben la sii duy ly-van hoa
tim cach md rong quyen tii do ca nhan va giam ap
liic bi tri.

1 Habermas viet tiep: “Kieu mau thuan m6i nay la sU bieu hien cua “mot
cuoc cach mang im lang” trong he cac gia tri va thai do ma R. Inglehart da
quan sat trong toan bo cac bo phan dan ctf. Cac nghien ciiu cua Hildebrandt
va Dalton, va Barnes va Kaase, khang dinh co sii thay doi trong cac chu de
tii "chinh tri cu” (xoay quanh cac van de kinh te va an ninh xa hoi, an ninh
noi vu va an ninh quan sii) sang “chinh tri m d i'. Cac van de mdi phai giai
quyet hen quan tdi chat liidng cuoc song, quyen binh dang, sU khang dinh
ca nhan, sii tham gia va quyen con ngUdi. Theo ngon ngul cua thong ke hoc
xa hoi, kieu “chinh tri cu" diidc sii in g ho manh me cua gidi chu, cong nhan
va cac thiidng gia trung liiu, trong khi do kieu “chinh tri m&T dude stf ung
ho chu yeu t i phia cac tang ldp trung lUu mdi, t i the he tre hdn va t i cac
nhom cd trinh do hoc van”. Jurgen Habermas. The Tasks o f a Critical
Theory o f Society, trong James Farganis. Readings in Social Theory: the
Clasic Trandition to Post-Modernism. M cGraw-Hill, Inc. 1993. Tr. 351.

290
 • Thii hai, mau thuan nay sinh tii Uu the cua sU
duy ly ky thuat-cong nghe gan lien vdi vi the vUdt
troi va ap dao cua giai tang tren so vdi cac giai
tang dudi trong cau true phan tang xa hoi.
• Thii ba, mau thuan bat nguon tijf sU duy ly ky
thuat-cong nghe dUdc thiet che hoa mot cach co he
thong thong qua he tu tUdng cua giai cap cam
quyen luon co xu hudng bop meo thuc tai khach
quan vi ldi ich rieng cua giai cap ho.

• Thii tu, mau thuan nay sinh tii thuc te la cac thiet
che va cac hinh thiic to chiic lao dong trd thanh
cong cu the hien tmh duy ly ky thuat-cong nghe
va ban than sU duy ly nay trd thanhTethuoc vao
cac cong cu, phUdng tien do.

Nhin chung, cac quan niem va cac ly thuyet phe phan

deu hudng vao vach tran nguyen nhan sau xa cua cac mau
thuan xa hoi la dong cd lam giau, dong cd ldi nhuan cua
cach to chiic ddi song xa hoi noi chung va sU phan cong lao
dong xa hoi noi rieng. Cac ly thuyet nay phe phan cach giai
quyet mau th u ln giiia hanh dong lao dong va hanh dong
giao tiep sao cho co ldi cho loai hanh dong lao dong chti
khong phai la co ldi cho loai hanh dong giao tiep. Tiic la
phe phan cai xu hudng vi ldi nhuan cua gidi chu, gidi tu
ban ma coi nhe loai hanh dong giao tiep. Do do, nay sinh
mau th u ln giiia mot ben la sU giau co ve ddi song kinh te
tieu dung va mot ben la sU ngheo doi ve ddi song tinh than
cua con ngUdi.
Can ghi nhan va danh gia cao tinh than cdi md day tinh

291
phe phan cua trUdng phai Frankfurt doi vdi hau nhu moi ngo
ngach cua ddi song xa hoi hien dai. Bdi vi, phe phan la vu khi
ly luan can thiet de vach ra cac khuyet tat trong nhan thiic
va trong cach to chiic ddi song xa hoi hien dai dang chiia day
mau thuan noi tai. Tuy nhien, dung nhu Marx da tiing noi
cach day hdn mot the ky, phe phan va giai thich khong thoi
chua du, van de la dua ra cac giai phap bien doi the gidi1. Cau
hoi thUc tiln nay, cau hoi “phai lam gi day?” con bo ngo doi
vdi ly thuyet phe phan noi chung va ly thuyet phe phan “kep”
cua Habermas noi rieng2.

8. Thuyet hien dai va hau hien dai trong xa

hoi hoc
Thuyet hau hien dai (Postmodernism) khong phai la mdi
trong ly thuyet xa hoi nhUng thu hut sU quan tam nghien ciiu
cua nhieu nha khoa hoc trong nhiing thap ky cuoi the ky 20.
Cac tac gia da dua ra nhieu y kien khac nhau ve “tinh hau
hien dai”, “cdi hau hien dai”, “hau hien dai hod” (Post-

1 Nam 1844 M arx viet: “Co' nhien la vu khi cua su phe phan khong the thay
the dUOc sU phe phan cua vu khi; luc lUdng vat chat chi co the hi danh do
bang lilc liidng vat chat; nhiing ly luan cung se trd thanh luc liidng vat cha't,
mot khi no tham nhap vao quan chung. C. M ac. Gop phan phe phan triet
hoc phap quyen cua He-ghen, trong Cac M ac - Phridrich Angghen. Tuyen
tap. Tap 1. Nxb Sii that. Ha Noi. 1980. Tr. 25.

2 Mot sd tac gia phe phan goi ly thuyet ve giao tiep cua Haberm as la mot dil
an chila hoan thanh. Xem Richard Harvey Brown and Douglas Goodman.
Jurgen Habermas' Theory o f Communicative Action: A n Incomplete Project,
trong Ritzer, G. and Barry Smart (eds.). Handbook o f Social Theory.
London: Sage Pubhcations. 2001. Tr. 215.

292
Modernization)1. Mot so" tac gia nhan manh moi quan he giufa
cac dac diem cua xa hoi hau cong nghiep vdi tmh cach la cac
dieu kien cua hau hien dai2. Thuyet hau hien dai khac nhung
khong hoan toan doi lap vdi thuyet hien dai. Mot so” nha ly
thuyet phe phan tap trung phan biet hai thuyet nay tren mot
so" chu de chinh nhu sau:
Cau true xa hoi. Thuyet hien dai quan tam chu yeu tdi
cau true giai cap va tang ldp xa hoi gan lien vdi he thong kinh
te va cong nghiep hoa. Thuyet hau hien dai cho rin g cau true
xa hoi rat da dang, phiic tap va gan lien vdi sU phan hoa xa
hoi tren cac khia canh tu: kinh te, chinh tri den van hoa, tam
ly, gidi (Gender).
Van hod. Thuyet hien dai coi trong quyet dinh luan
kinh te, nhung cac thuyet hau hien dai coi van hoa la yeu
to" trung tam cua moi bien doi xa hoi. Dieu nay da dUdc neu
len trong ly thuyet xa hoi hoc cua Weber va Durkheim khi
hai ong ban ve sU bien doi xa hoi hien dai. Thuyet van hoa
diidc chu y tim hieu va van dung trong viec to chiic lao
dong tii lau. NhUng cung vdi sU bien doi cua xa hoi, ben
canh khai niem von tai chinh (Financial Capital) da xuat
hien khai niem von van hoa (Cultural Capital), von tudng
trUng (Symbolic Capital), khai niem van hoa doanh nghiep
va nhieu khai niem khac vdi vai tro ngay cang to ldn cua

1 Stephen Crook. Social Theory and the Postmodern, trong George Ritzer
and Barry Smart (eds). Handbook o f Social Theory. London: Sage
Pubhcations. 2001. Tr. 30S-323.
2 David Harvey. The Condition o f Postmodernity, trong Steven Seidman and
Jeffrey C. Alexander (eds). The N ew Social Theory Reader. New York:
Routledge. 2001. Tr. 176-183.

293
chung doi vdi sU phat trien kinh te-xa hoi.
Lao dong. Thuyet hien dai de cao cac phUdng phap khoa
hoc to chiic lao dong theo quan niem cua F. Taylor, theo chu
nghia Ford. Theo thuyet nay, cac cong ty 16n sti dung lao
dong ban-ky nang de san xuat hang loat hang hoa cung c£p
cho thi trUdng dai chting. Thuyet hau hien dai cho rin g cach
to chtic lao dong tuan theo xu hudng da nganh, da linh vUc va
sti dung lao dong da ky nang. Cac thi trUdng dUdc phan
nhanh tUdng ting vdi cac nhanh san xuat va linh vUc dich vu.
Tren cd sd do, cac ly thuyet quan he ngUdi dUdc van dung va
phat trien trong cach to chtic lao dong. Khac vdi sU hien dai
kieu Ford (Fordist Modernity) dac trUng bdi san xuat quy mo
ldn, chuyen mon hoa cao lao dong, tu ban doc quyen la hau
hien dai linh hoat (.Flexible Postmodernity) dac trUng bdi san
xuat nang dong, to chtic phi tap trung, quan ly chien lUdc1.
Kiem soat xa hoi. Doi vdi sU kiem soat lao dong, cac
thuyet hien dai deu tap trung vao tim hieu va danh gia cac cd
che quan ly, kiem soat. Nhung cac thuyet hau hien dai lai
phu nhan kha nang quan ly, kiem soat. Thuyet hien dai cho
rin g de kiem soat can thong tin, can hieu biet mot cach duy
ly/hdp ly ve muc tieu va phUdng phap hoat dong. Nhung
thuyet hau hien dai cho rin g dieu nay khd cd the xay ra, khd
cd the khang dinh dude dieu gi mot cach chac chan trong the
gidi day mau thuan, bat on, bat trie nay.
To chiic vd sit kiem soat xa hoi. Cac thuyet theo chu

1 David Harvey. The Condition o f Postmodernity, trong Steven Seidman and

Jeffrey C. Alexander (eds). The N ew Social Theory Reader. New York:
Routledge. 2001. Tr. 181.

294
nghia hien dai, vf du thuyet quan ly khoa hoc va thuyet phe
phan, coi to chiic la phiidng tien bieu hien cua tinh duy ly cua
con ngUdi va rat coi trong mo hinh kiem soat bln g ky thuat,
may va bo may nhiem sd.
Thuyet hau hien dai cho rin g to chiic la cd che phan iing
tu ve chong lai nhiing yeu to" gay mat on dinh trong xa hoi.
Chu nghia hien dai noi lich sti tuan theo xu hudng tien bo,
duy ly. NhUng chti nghia hau hien dai cho rin g lich sti khong
dien ra nhu vay, lich sti khong mang tmh quyet dinh luan,
khong mot chieu tien len va ho tim moi cach de ly giai va du
bao sU dien bien cua xa hoi.
Cac nha xa hoi hoc hien dai cho rang to chtic duy ly md
ra chan trdi mdi cho sU phat trien cua xa hoi. Nhung cac nha
hau hien dai lai cho rang kieu to chtic nhu vay chi lam tang
sU kiem soat dUdc the che hoa ve moi mat doi vdi con ngudi;
cac to chtic dUdc kien tao nen khong phai de lam cd che tang
kha nang kiem soat cua con ngUdi ma de lam qua trinh che
day sU bat on, sU mau thuan va xung dot trong cuoc song cua
con ngUdi.
Cac thuyet hien dai dua vao tien de ve xu hudng hoat
dong cua to chtic la hudng tdi sU on dinh, trat tu va nhat tri -
theo nguyen t ic logic. NhUng cac nha hau hien dai cho rin g
to chtic phai hoat dong trong sii bat on dinh, trong sU md ho
va bat dong - theo nguyen tic phi logic, logic md, tap hdp md.
Chinh tri. Thuyet hien dai de cao vai tro cua nha nUdc
phuc ldi vdi bo may ldn, cong kenh, vdi chinh sach cong, dich
vu cong va sU can thiep manh me vao ddi song kinh te-xa hoi.
Thuyet hau hien dai nhan manh xu hudng tu chu, canh tranh

295
va de cao vai tro cua khu vUc dan doanh, khu vUc tu nhan va
ca linh vUc rieng tu, ca nhan.
Nhan thiic. Cac thuyet hien dai coi trong cac phUOng
phap nhan thiic kieu khoa hoc tu nhien (thUc chiing, khach
quan), coi ngon ngii la phUdng tien da cho, co san va mang
tinh khach quan, trung lap de chuyen tai thong tin, la
phUdng tien minh bach de giao tiep. Thuyet hien dai coi ngon
ngii, giao tiep la phUdng tien de dat muc dich hoac gin lien
vdi muc dich cua hanh dong; mot so' tac gia coi quan he xa hoi
khong nhiing bieu hien thong qua ngon ngii va bi “tro chcfi
ngon ngii' chi phoi ma con la mot mang ludi quan he ngon
ngii1. Thuyet hau hien dai de cao yeu to' chu quan, yeu to
phan tu trong nhan thiic, yeu to' tU nhan thiic, tu phan tich,
tu danh gia; de cao chu nghia tudng do'i - tiic la phu nhan cac
tieu chuan khach quan cua chan ly. Thuyet hau hien dai cho
rin g ngon ngii khong co vai tro, chiic nang phat hien chan ly.
Ngon ngii la phUdng tien de moi ngUdi gan cho sU vat, hien
tudng nhiing y nghia va sU kiem soat cua ho. VI du, bfing cach
ve ra sd do quan ly, ngUdi ta khong mo hinh hoa cau true
quan ly dang di§n ra tren thuc te ma mong muon thiet che
hoa va xay dung cau true quan ly theo sd do do. Marx da tiing
nhan xet tii lau rin g trUdc khi xay dung mot toa nha, ngUdi
ky sU toi nhat cung biet tao ra toa nha do trong dau oc minh,

1 Jean-Francois Lyotard (1924-1998) la nha triet hoc ngUdi Phap, tifng

giang day nhieu nam d trUdng pho thong trung hoc d Algeria, tot nghiep
tien sy nam 1971, giang day 0 trUdng Dai hoc Tong hop Sorbom e, Nantere,
Vincennes 3 Paris. Jean-Francois Lyortard. The Postmodern Condition,
trong Steven Seidman and Jeffrey C. Alexander (eds). The N ew Social
Theory Reader. New York: Routledge. 2001. Tr. 169.

296
tiic la da co hinh anh cua toa nha do. Do do, thuyet hau hien
dai cho ring nha nghien ciiu khong co nhiem vu phat hien,
ma la phan ra, phan tach cau tao “Deconstruct” cua nhiing gi
quan sat dUOc, nhiing gi dUdc coi dung thuc trong thuc te;
dong thdi chi ra sU map md cua ngon ngii.
Nhiing diem khac nhau giGa thuyet hien dai va thuyet
hau hien dai con nhieu hdn niia. Bdi vi, ca hai trao lUu ly
thuyet nay deu la sU phan anh nhiing dac trUng cd ban cua
m6i mot giai doan phat trien cua xa hoi. Vf du, mot so" tac gia
phan biet “hien dai kieu Ford” v6i “hau hien dai linh hoat”
tren 13 khfa canh tii san xuat kinh te den sU can thiep cua
nha nUdc1. NhUng, mac du co sU khac nhau tren nhieu
phUdng dien, thuyet hau hien dai chu yeu van la sU ke thiia,
phat huy va bd sung chii khong phai la sU phu nhan “sach
trdn" nhiing thanh tUu cua thuyet hien dai.

9. Ly thuyet cua Lewis Coser

Lewis Coser (1913-2003) sinh ra trong mot gia dinh Do
Thai ci Diic. Do tham gia vao phong trao xa hoi chu nghia cua
sinh vien nen trong thdi ky Quoc xa Coser da phai lanh nan
sang Phap song nhiing thang nam rat vat va, kho nhoc. Ong
vao hoc van hoc so sanh cl trUdng Dai hoc Sorbonne, sau do
viet luan van tot nghiep ve van hoc the ky 19 cua Phap, Anh
va Diic. Ong tu coi do la xa hoi hoc chii khong phai la van hoc
so sanh. Khi xay ra The chien thii hai, Coser xin dUdc ti nan

1 David Harvey. The Condition o f Postmodernity, trong Steven Seidman and

Jeffrey C. Alexander (eds). The N ew Social Theory Reader. New York:
Routledge. 2001. Tr. 179-181.

297
chinh tri b New York, My. Sau chien tranh, ong dUdc nhan
vao lam giang day d trUdng Dai hoc Tong hdp Chicago mot
thdi gian, roi lam luan an tien sy d Dai hoc tong hdp
Comlumbia, sau lam viec d trUdng Dai hoc tong hdp Brandeis.
Tti 1968 den 1988 ong la giao sU xa hoi hoc d trUdng Dai hoc
Tong hdp Quoc gia New York.
Tac pham chinh: Cdc chiic nang cua mau thuan xa hoi
(The Functions o f social Conflict) (1956) va dac biet la cuon
Cdc bac thay td ttidng xa hoi hoc (Masters o f Sociological
Thought) xuat ban lan dau nam 1971. Cuon sach nay dUdc R.
Merton coi la mau mUc ve lich sti cac ly thuyet xa hoi hoc.
Khac v6i mot so" nha mau thuan luan, Coser tim nguon
goc cua mau thuln trong cac hien tUdng tam ly nhat la trong
trang thai xuc cam cua con ngUdi. Ong cho rang con ngUdi co
nhting “xung Itic” hieu chien, xam kich va vi vay mau thuan,
xung dot la mot phan tat yeu cua hanh vi va quan he xa hoi.
Mau thuan khong phai la dau hieu cua sU bat on dinh hay sU
ran ntit quan he ma la mot yeu to" gan lien vdi sU on dinh,
trat tu xa hoi.
Coser cung chi ra sU phu thuoc cua cac hinh thtic va cac
mtic do bieu hien khac nhau cua mau thuan, xung dot doi v6i
cac tinh huong xa hoi. Dua vao tinh muc dich cua mau thuan,
ong phan biet hai loai mau thuln nhu sau:
Loai mau thuan “thiic te” , “hdp ly” xay ra khi cac ca nhan
hay cac nhom sti dung mau thuln lam phUdng tien co hieu
qua de dat dUdc muc tieu ma ho dat ra. Neu ho co the dat
dUdc muc dich ma khong can phai gianh giat hay dau tranh
thi ho se loai bo ngay mau thuan nay.

298
 Loai mau thuan phi thuc te hay mau thuan “tiC than” . Do
la trUdng hdp ma mau thuan la muc dich du dieu do co dUdc
chap nhan va dUdc thiia nhan hay khong. Loai mau thuan
nay co vai tro lam giam bdt tinh trang cang thing hay gop
phan khang dinh ban s ic cua chu the mau thuln. Vi du kinh
dien b day la hanh vi lay bieu hien cua mau thuln nay thay
cho mau thuln khac theo kieu “gian cd chem th&t” .
Coser, co ve giong nhu mot nha chiic nang luan, rat quan
tam tdi he qua cua mau thuan. Ong cho rang mau thuan co
vai tro bien doi xa hoi, kich thich sU doi mdi va tang cUdng sU
tap trung, gin bo xa hoi. NhUng ong khang dinh, dieu do
khong co nghia mau thuan la chiic nang cua nhom ma sU
doan ket, sU nhat tri la nhiing san pham co the co cua mau
thuan.
Diia vao pham vi mau thuan, Coser phan biet hai loai
mau thuan nhu sau:
• Mot la, loai mau thuan trong nhom (mau thuan
noi bo nhom) giup cac ca nhan thanh vien biet
dUdc ho phai lam gi, co nghia la no dieu chinh
hanh vi cua ca nhan trong nhom. NhUng mau
thuln trong nhom chi co tac dung thuc day sii co"
ket nhom khi no khong dong cham tdi nhiing gia
tri nen tang cua nhom.
• Hai la, loai mau thuan ben ngoai nhom gan lien
v6i sii khang dinh ban sac cua nhom. Mau thuan
nay giup xac dinh dUdc ranh gidi giiia cac nhom
trong mot he thong gom cac nhom xa hoi khac
nhau, giup cung cd y thiic nhom va tinh doan ket

299
 cua nhom dong thdi lam tang mCtc do tham gia
cua cac thanh vien vao hoat dong chung cua
nhom. Coser cho rang mau thuan se cang thang
hdn neu cac thanh vien tham gia cam thay ho dau
tranh vi ldi ich chung cua nhom chii khong phai vi
ldi Ich cua ca nhan minh.
Coser cho rang do ca nhan tham gia vao nhieu nhom xa
hoi khac nhau nen moi nhom theo duoi ldi ich rieng va phai
giai quyet nhiing mau thuan rieng. Do vay, ho kho co the
cung tham gia vao mot mau thuln chung nao khac trong xa
hoi. Dieu nay giai thich phan nao viec mau thuan 16n khong
bung no b nhiing ndi co nhieu nhom, hoi, to chtic khac nhau.
Tuy nhien, co the thay quan niem nay chua tinh den tam
quan trong cua luat phap va he nhiing gia tri, chuan mUc
chung trong viec dieu tiet va giai quyet mau thuan.

10. Sii hinh dung xa hoi hoc va ly thuyet nhom

tinh hoa-quyen ltfc cua Wright Mills
Mills (1916-1962) la nha xa hoi hoc ngUdi My noi tieng
vdi cuon sach Sii hinh dung xa hoi hoc (The Sociological
Imagination) (1959). TrUdc do, ong da viet cuon sach Co trdng
(White Collar) (1951) va da noi tieng vdi ly thuyet Nhom tinh
hoa quyen liic (The Power Elite) (1956).
Sii hinh dung xa hoi hoc. Theo Mills, muon nghien ciiu
xa hoi hoc tiic la muon hieu cau true cua mot xa hoi, cd che
bien doi xa hoi va ban chat con ngudi trong xa hoi ta c&n co
“sii hinh dung xa hoi hoc". Do la nang luc cua nha xa hoi hoc
trong viec chuyen tii cach tiep can nay sang cach tiep can

300
khac, la kha nang xay dung mot cai nhin ve tong the xa hoi
va cac thanh to" cua no. Do la cach tim hieu boi canh lich sii,
tieu sii va moi quan he gitia chung trong xa hoi, la xem xet
con ngUdi trong khung canh lich sii xa hoi ma ho dang song
va hoat dong, la n&m b it y nghia cua thdi ky lich sii doi vdi
cuoc song va nhting trai nghiem cua cac ca nhan1.
Co the noi, vdi tac pham nay, Mills da dat nen mong
phat trien trao lUu xa hoi hoc nhan van trong viec xem xet
mot cach tong hdp cac khia canh van hoa, xa hoi, lich sti,
nhan cach cua ddi song con ngUdi. Khi nhan manh sU hinh
dung xa hoi hoc, thUc chat Mills da dat cach tiep can xa hoi
hoc khoa hoc doi lap vdi cach lam xa hoi hoc theo “chu nghia
kinh nghiem tritu tiicfng” {Abstracted Empiricism) nang ve
dieu tra xa hoi2 va chu nghia chtic nang he thong kieu
Parsons tach rdi khoi bang chting khoa hoc.
Theo Mills, mot cong cu cd ban cua su hinh dung xa hoi
hoc la phan biet nhting moi quan tam, lo lang ca nhan vdi
nhting van de xa hoi. Nhting lo lang ca nhan la nhting trai
nghiem va nhting khd khan cua ca nhan, do vay chung khong
thuoc doi tudng nghien ctiu cua xa hoi hoc. Nhting van de xa
hoi la nhting cai lien quan tdi boi canh, moi trUdng song cua
ca nhan ttic la can he tdi cac thiet che xa hoi va cau true xa
hoi ma moi sU thay doi cua chting deu tac dong tdi toan bo he
thong va cac ca nhan. Do do, van de xa hoi la doi tUdng
nghien ctiu cua xa hoi hoc. Mills lay vi du minh hoa nhu sau:

1 C. Wright Mills. The Sociological Imagination. Oxford University Press.

1959. Tr. 5, 7 ,2 1 1 .
2 C. Wright Mills. The Sociological Imagination. Oxford University Press.
1959. Tr. 50-75.

301
trong mot thanh pho co 100.000 ngUdi ma co mot ngiidi bi
that nghiep thi do chi la van de kho khan ca nhan. Nhiing
neu mot quoc gia co 50 trieu lao dong nhiing 15 trieu ngUdi bi
that nghiep thi do la van de xa hoi lien quan tdi thiet che
kinh te va chinh tri cua xa hoi1.
Nhom tinh hoa quyen liic. Giong nhu mot so nha ly
thuyet mau thuan, Mills coi xa hoi la mot cau true quyen liic.
Theo quan niem cua ong, quyen liic gan lien vdi viec ra quyet
dinh, vdi ngUdi ra quyet dinh va ngUdi tham gia vao quyet
dinh.
Mills cho rin g khi noi tdi quyen liic, ta can phai phan
biet ro ba hinh thai cua quyen liic: (1) quyen liic cUdng che
(Coercion) - kha nang b it ngUdi khac phai tuan theo, phai
lam theo y chi, nguyen vong cua minh; (2) quyen liic thong tri
(Authority) - quyen liic dUdc nhiing ngUdi dudi quyen tii
nguyen tin la chfnh dang, la dung dan va (3) quyen liic thao
tung (Manipulation) - quyen liic dUdc thiic thi ma ngUdi
khong cd quyen liic khong he biet2.

1 C. Wright Mills. The Sociological Imagination. Oxford University Press.

1959. Tr. 9.
2 Mills viet: “Quyen liic lien quan tdi bat ky quyet dinh nao cua con ngiidi ve
bo'i canh ma ho dang song va ve nhiing sii kien tao thanh lich sii cua cac
thdi dai cua ho. Co nhiing sii kien xay ra nam ngoai sii quyet dinh cua con
ngiidi; co nhiing boi canh xa hoi thay doi ma khong dinh dang gi tdi ket qua
cua mot quyet dinh ro rang nao. Nhung mot khi ra dUdc cac quyet dinh, thi
van de ai tham gia vao quyet dinh la van de cd ban cua quyen liic. Trong
trUdng hdp cd the ra quyet dinh nhung lai khdng lam, thi van de la ai la
ngiidi da that bai trong viec ra quyet dinh?” C. W right M ills. The Structure
o f Power in American Society, trong James M . Henslin. Down to Earth
Sociology: Introductory Readings. The Free Press. A Division Macmillan
Inc. 1991. Tr. 439-440.

302
 Mills cho rin g cau true quyen luc da bien xa hoi thanh
mot cau true gom hai nhom la: (1) nhom ngUdi co quyen lUc
va (2) nhom ngUdi khong co quyen luc. Loai cau true xa hoi-
quyen luc nay the hien ro trong xa hoi My hien dai. Doi vdi
cau hoi: "Ai lanh dao nUdc My?”, Mills tra ldi qua quyet:
"Khong mot ca nhan nao ca ma la mot nhom tinh hoa quyen
lUc" (Power Elite)1.
Mills dung khai niem “tinh hoa quyin liic” de chi sU hdp
thanh cua ba thiet che chinh tri, quan sU va kinh te co kha
nang ra cac quyet dinh chi phoi cac thiet che khac con lai
trong xa hoi. Mills chi ro la “bo ba” hay “tam giac quyen liic”
chinh tri-quan sU-kinh te tao thanh gidi tinh hoa quyen luc
trong xa hoi tu ban hien dai the ky 20 ma dien hinh nhat la d
xa hoi My.
Mills vach ro su thong nhat cua gidi tinh hoa quyen luc
dua tren ba cd sd la2: su giong nhau ve mat tam ly, su giong

1 C. Wright M ills. The Sociological Imagination. Oxford University Press.

1959. Tr. 31.
2 Ve ba cd sd cua sii thong nhat cua gi6i tinh hoa quyen hie, Mills viet: “1.
De hieu sii thong nhat cua gidi tinh hoa quyen luc, ta can phai chu y t6i tam
ly cua mot so' thanh vien cua no... V i gi6i tinh hoa quyen liic bao gom nhiing
ngiidi co nguon goc va hoc van gio'ng nhau, co sii nghiep va loi song gio'ng
nhau, nen sii thong nhat cua ho co the noi la diia vao mot thiic te la ho
thuoc ve mot kieu xa hoi gio'ng nhau dan den mot thiic te la ho de dang
tho'ng nhat v6i nhau...”. “2. Dang sau sii tho'ng nhat tam ly va xa hoi la cau
true va cd che cua kien true thang bac thiet che ma tren d6 la sii ngii tri cua
bo may chinh tri, sii giau c6 cua cac tap doan va s ic manh quan sii”. “3. Sii
tho'ng nhat cua ho, tuy nhien, khong chi diia vao mo'i hen ket cau true cua
cac vi tri lanh dao va cac ldi ich chung. M a sii tho'ng nhat do bao gid cung la
sii tho'ng nhat cua sii phoi hdp ro rang”. C. Wright Mills. The Structure o f
Power in American Society, trong James M . Henslin. Down to Earth

303
nhau ve mat xa hoi va su phoi hdp chat che cua nhom chop
bu dai dien cho moi mot the luc chinh tri, quan sU, kinh te.
Su thong nhat kieu “lien minh than thanh” cua cac the
lUc chinh tri-quan sU-kinh te la nhan to' thuc day va duy tri
sU phat trien mot nen kinh te sac mui chien tranh. Nhom
tinh hoa-quyen luc vdi tu cach la mot to hdp thong nhat gom
the lUc chinh tri, quan sU va kinh te n lm givi vi the va vai tro
lanh dao, chi huy xa hoi, do vay chiu trach nhiem ve nhiing
bat hanh, nhiing bat on va nhiing mau thuan, xung dot tren
toan xa hoi.
Mills phe phan cach to chCfc theo kieu nhiem sd
{Bureaucracy) va chu nghia tu ban quan lieu hien dai dang
lam tha hoa lao dong, lam con ngUdi cam thay xa la vdi
chinh qua trinh lao dong va san pham do minh tao ra. Ong
chi ra rin g , ngUdi lao dong ke ca cong nhan “co trdng” - tiic
la nhiing ngUdi cd trinh do chuyen mon va tay nghe cao
trong luc lUdng lao dong, deu bi bo may quyen luc, bo may
quan lieu nhao nan, bien doi thanh hang hoa va phUdng
tien trong he tho'ng san xuat xa hoi. Ho trd nen bi dong,
mat quyen luc, bat luc.

11. Ly th u yet cua M ich el F ou ca u lt

Michel Foucault (1926-1984), nha triet hoc hau hien dai

ngUdi Phap cd anh hudng ldn tdi nen xa hoi hoc dudng dai
Phap. Ong sinh d Poitiers, nUdc Phap. Ong tiing giang day d

Sociology: Introductory Readings. The Free Press. A Division Macmillan

Inc. 1991. Tr. 444.

304
nhieu trudng dai hoc d Phap, cac nUdc chau Au va cl Hoa Ky.
Ong dUdc phong giao sU lich sii he tho'ng tu tudng cl TrUdng
Cao ding Phap (College de France) nam 1969. Mot so ngUdi
dan cho ong cai mac nha ly thuyet “hau cau true” (Post-
Structuralist) nhung ong khong nhan1. Ong nghien ciiu nhieu
chu de triet hoc quan trong nhu lich sti tU tudng, ly tri, ngon
ngti, tri thtic va quyen lUc. Ong nghien ctiu cac trUdng hdp
trong linh vUc tam than, y hoc, nha tti, tinh due. Tac pham
chinh la: Mat tri vd van minh (Madness and Civilization)
(1961), Trat tti cua sti vat2 (The Order o f Things) (1966), Ky
luat vd trting phat (Discipline and Punish) (1975), Lich sti
tinh due. (The History o f Sexuality) (1976)3. Mot so' cuoc
phong van va mot so' tac pham do Foucault cong bo' trong thdi
ky 1972-1977 da dUdc tuyen dich va xuat ban b ln g tieng Anh
trong tuyen tap “Quyen Itic/Tri thtic” (Power /Knowledge)4.
°i
Cau true xa hoi quyen Itic. Theo Foucault, quyen luc
khong ton tai vdi y nghia la mot thuc the, mot danh tti ma la
cac moi lien he gitia cac ca nhan, cac nhdm. Foucault viet:
“Tren thuc te, quyen luc co nghia la cac mo'i lien he, la mot

1 Adam Kuper and Jesssica Kuper. The Social Science Encyclopedia.

London: Routhledge & Kegan Paul. 1985. Tr. 310. V e mot so' tac pham cua
Foucault xem Paul Rabinow. The Foucault Reader. New York: Pantheon
Books. 1984.
2 Cuo'n sach nay xuat ban bang tieng Phap n&m 1966 v6i khoi litong 35,000
ban ban het trong vong vai thang. Xem Tran Thien Dao. Chu nghia hien
sinh & Thuyet cau true. Nxb Van hoc. Ha Noi. 2001. Tr. 318.
3 Steven Seidman and Jeffrey C. Alexander (eds). The New Social Theory
Reader. New York: Routledge. 2001. Tr. 68.
4 Michel Foucault (1980). Power I Knowledge: Selected Interviews and Other
Writtings 1972-1977. Colin Gordon (Ed.). New York: Harvester Press. 1980.

305
bui cac moi lien he it nhieu co to chtic, co phoi hdp va co trat
tu thti bac”1. Vdi y nghia nhu vay, cau true xa hoi la cau true
cua cac moi lien he ttic la cau true quyen lUc.
Foucault cho rin g chi co the nghien ctiu cai he thong
(System) hay cai cau true (Structure) chi phoi cac bien co lich
sti va con ngUdi, chti khong the tim dUdc muc tieu, hudng di
va tien trinh cua lich sti2. Doi lap vdi thuyet hien sinh cua
Jean-Paul Satre luon dat con ngUdi vao vi the trung tam cua
vu tru, vi tri chtia te cua muon loai va chu the cua hanh dong
lich sti, Foucault cho rin g con ngUdi khong co tu cach nhu
vay. Theo Foucault, trong moi he tho'ng xa hoi ttic la trong
mdi cau trtic xa hoi, con ngUdi dUdc xac dinh vi tri nhat dinh
va phai hanh dong theo mot kieu nhat dinh de thich nghi vdi
chinh cau true do3.
Foucault cho rang xa hoi hien dai trong dd cd cac hinh
thtic to chtic xa hoi, to chtic lao dong dUdc duy tri khong phai
bang sU nhat tri hay sU kiem soat va cUdng btic ben ngoai ma
la b ln g he thong giam sat va ky luat ngam doi vdi the xac con
ngUdi. Cac hinh thtic to chtic trong xa hoi cung tUdng tu nhu
cach to chtic biet lap kieu nha tti dUdc xay dung tren cd sd
giam sat, theo doi tting hanh vi cua con ngUdi. Diem khac biet
duy nhat la he tho'ng, cd che giam sat trong nha tu thi mang

1 Michel Foucault (1980). Power / Knowledge: Selected Interviews and Other

Writtings 1972-1977. Colin Gordon (Ed.). New York: Harvester Press. 1980.
Tr. 198.

2 Tran Thien Dao. Chu nghia hien sinh & Thuyet cau true. Nxb V an hoc. Ha
Noi. 2001. Tr. 317-318.

3 Tran Thien Dao. Chu nghia hien sinh & Thuyet cau true. Nxb V an hoc. Ha
Noi. 2001. Tr. 318-321.

306
tinh cUdng btic va cong khai con trong cac to chtic khac thi he
thong va cd che nhu vay dUdc thiet che hoa ngam nglm , kho
nhan biet. Vi du, ve mat nao do, giong nhu tti nhan, moi
ngUdi cong nhan vien trong mot cd quan kinh te hay to chtic
xa hoi deu bi theo doi, giam sat mot cach true tiep va gian
tiep thong qua he tho'ng hanh chinh chat che gom cac loai ho
sd, giay td, so sach va sU trinh bao.
Cach phan tich cua Foucault di den mot ket luan am
dam, bi quan rang “xa hoi la cdi nhd tii khong lo, to chtic la
phong giam” dang ngay dem nhot chat con ngUdi1. Vay la, den
gan cuoi the ky 20, mot triet gia hien dai noi tieng ngUdi
Phap la Foucault da chting thuc dUdc nhan dinh ve cai “xa hoi
cui sat” cua chu nghia tu ban ma Weber - nha xa hoi hoc
ngUdi Dtic neu len vao dau the ky 20.
Ve quyen liic, Foucault cho rin g con ngUdi bi quyen lUc
chi phoi chti khong phai con ngUdi nam giti va sti dung quyen
luc. Theo Foucault, cac thuyet hien dai co truyen thong coi
quyen luc bat nguon tti nha nu6c, ttic la tti tren xuong du6i va
ban chat ctia quyen luc la stic manh cua tin g 16p chop bu co
vi the va kha nang kiem soat, khong che tin g 16p du6i.
Theo Foucault, quyen luc la mot loai luc tudng tac cua
van vat va vi vay no co d moi ndi, moi ltic. Quyen luc co trong
moi cd the xa hoi tti nhom den to chtic chti khong phai ap dat
tti tren xuong dUcii hoac tti ngoai vao trong. Quyen luc khong
phai la “vat” , khong phai la “tdi san” de ngUdi nay chiem doat

1 Giam thi la t i dung trong ca nha tu va nha trUdng mot cach chinh th ic va
phi chinh th ic de chi vi the va vai tro c ia mot ngiidi di giam sat, coi, xet
hanh vi va thai do c ia ngiidi khac.

307
mat cua ngUdi kia theo nguyen t ic “ngiidi co, ke khong” . Ma
do la “triidng lilc” nhu trong vat ly hoc, la quan he tUdng tac -
quan he quyen lUc, mang quyen luc, trong do moi ca nhan,
m6i ngUdi la mot dau moi cua quyen luc. NhUng quyen luc
phan bd khong deu va thudng tap trung vao tay nhiing ai co
chien ludc khai thac toi da cac nguon luc ma ho co.
Khai niem ve “triidng quyen liic” cho thay cac nhom xa
hoi, cac ca nhan bat ke cl vi tri nao trong he thong cau true xa
hoi deu co quyen luc nhung v6i nhiing miic do khac nhau. Vi
du, ngUdi du6i quyen co quyen luc phan iing, quyen khang cU
mot cach cong khai hoac ngam ngam. Chinh sU khang cU tii
du6i len chii khong phai chi la sU ra lenh tii tren xuong lai la
cd che de cai tien va tang cUdng quyen lUc.
Theo Foucault, khong chi cach to chiic xa hoi da mo
phong theo nha tu ma cac phUdng phap quan ly, phan loai,
giam sat, kiem soat va trving phat cung b it nguon tii cac
phUdng phap theo doi, trving phat, ky luat trong nha tu.
Trong qua trinh tien hoa xa hoi, quyen luc chuyen tii hinh
thiic chu quyen - quyen tu tri (Sovereignty Power) dua vao sU
triing phat trUc tiep len the xac sang hinh thiic quyen ky luat
(.Disciplinarry Power) dUa vao cac thu tuc thiet che, vl du sU
cach ly, biet lap va he cac chuan mUc phan biet “cdi binh
thiidng” v6i cai “bat binh thudng” . Nhung Foucault cho ring
hai loai quyen luc nay khong loai trvi nhau ma bd sung cho
nhau, bdi vi ca hai deu la san pham cua xa hoi tu san cong
nghiep ton tai tii the ky 19 den nay; ca hai deu la hai mat -
chu quyen va ky luat - cua mot qua trinh kiem soat va gin
ket cac ca nhan nhim tao nen sU nhat tri, sU trat tu va sU

308
gan ket xa hoi1. Tri thiic vd quyin liic. Trong qua trinh bien
quan he quyen luc thanh “triidng quyen liic”, thanh thuoc
tinh pho bien cua ddi song xa hoi hien dai co vai tro cua tri
thtic khoa hoc. Foucault da nghien ciiu mang ludi xa hoi kieu
nha tu, kieu to chtic xa hoi nha tu va neu bat moi quan he
gitia tri thtic va quyen luc2. Trong moi quan he do, tri thiic
gop phan luan chiing de hdp phap hoa, thiet che hoa va cung
co quyen luc.
Theo Foucault, tri thiic khoa hoc gop phan tao nen mang
lu6i quyen luc va ban than no cung bien thanh loai tri thiic-
quyen luc (Power-Knowledge)3. Tri thtic giup phat hien ra
chan ly, sU that ve ca cai binh thudng va cai bat binh thudng;

1 Foucault. Pow er/ Knowledge, trong Steven Seidman and Jeffrey C.

Alexander (eds). The N ew Social Theory Reader. New York: Routledge.
2001. Tr. 69-75.
2 Foucault viet trong cuon K y luat vd tritng phat: Sii ra ddi cua nhd tu nhu
sau: “Toi khong noi r in g cac khoa hoc nhan van b it nguon t i nha tu.
Nhung neu cac khoa hoc nay da co the diidc hinh thanh va co kha nang tao
ra nhieu thay doi nhu vay, thi do la vi chiing dUdc mang mot hinh thai
quyen lilc cu the va mdi: mot nguyen ly nhat dinh ve thiic the, mot cach
nhat dinh lam cho nhom ngiidi trc) nen de bao va h iu dung. Nguyen ly do
doi hoi sii tham gia cua cac moi hen he nhat dinh cua tri th ic vao trong moi
hen he c ia quyen hie; no doi hoi mot ky thuat ket hdp s i c h i the hoa va sU
khach the hoa; no keo theo cac thu tuc mdi c ia qua trinh ca nhan hoa”. Xem
James Farganis. Readings in Social Theory: The Classic Tradition to Post-
Modernism. McGraw-Hill, Inc. 1993. Tr. 372.
3 Foucault viet tiep: “M ang liidi cam tu nay tao nen mot trong n h in g dong
cd c ia cai tri thic-quyen luc da lam cho cac khoa hoc nhan van trd thanh
hien thiic ve mat lich s i . Con ngiidi co kha nang hieu biet, (linh hon, ca
tinh, y th ic , hanh dong, bat ky cai gi co the goi ten) la he qua-khach the cua
sii dau tii phan tich nay, cua stf quan sat-thong tri nay”, trong James
Farganis. Readings in Social Theory: The Classic Tradition to Post-
Modernism. M cGraw-Hill, Inc. 1993. Tr. 372.

309
ddng thdi, tri thtic dUdc sti dung lam cong cu, phUdng tien cua
quyen luc de kiem soat hanh dong cua cac ca nhan1. Y tudng
sau sac nay cua Foucault gdi nhd den dinh nghia ndi tieng
cua Francis Bacon2: “Tri thiic la siic manh” (tieng Latin:
scientia est potentia).
Do do, quan niem quyen lUc la stic manh la ap luc tti ben
ngoai doi vdi ca nhan khong con du de giai thich cac hien
tudng ctia no ntia. Can phai tinh den cac mat cua quyen luc,
ca mat ben ngoai va ben trong, ca vat chat va tinh than, ca
linh hon va the xac.
Theo Foucault, cac quan niem khoa hoc kieu thuc
chting khong du stic giai thich ban chat quyen luc3. Bdi vi
chinh cac tri thtic khoa hoc trd thanh cong cu, ky thuat cua
quyen luc trong viec uon nan, giao due, dao tao ra nhting
con ngUdi quyen luc va nhting ca nhan co tinh ky luat, ttic
la biet quy phuc.
Tom lai, cac thuyet phe phan noi chung va thuyet hau

1 Foucault viet dai y: “Chung ta phuc tung sU san xuat ra sU that thong qua
quyen liic va chung ta khong the thuc thi quyen hie neu khong co sii san
xuat ra sii that”. Khoa hoc la mot bo phan cua sii san xuat ra sii that. Trich
theo Anthony Elliott. Sexualities: Social Theory and the Crisis o f Identity",
trong George Ritzer and Barry Smart (eds). Handbook o f Social Theory.
London: Sage Pubhcations. 2001. Tr. 431.
2 Francis Bacon (1561-1626), nha triet hoc, nha khoa hoc ngudi Anh, ngiidi
van dong, cd vu va bao ve cuoc Cach mang khoa hoc ci chau A u the ky 16-17.
3 Foucault viet: “Cac khai niem ve thiet che tran ap, bac bo, loai tr i, han che
deu khong thich hdp de mo ta sii hinh thanh tinh khoan dung am th&m,
tinh doc ac, tinh nho nhen, nhiing hanh vi xao quyet, nhiing phUdng phap
tinh toan, nhiing ky thuat, nhiing “khoa hoc” cho phep tao ra ca nhan co ky
luat”, trong James Farganis. Readings in Social Theory: The Classic
Tradition to Post-Modernism. McGraw-Hill, Inc. 1993. Tr. 374.

310
hien dai noi rieng ma tieu bieu la quan niem cua Foucalt da
phe phan cai nhin mot chieu kieu quyet dinh luan, mot chieu
kieu “to hong”, kieu phu hoa cho he tu tUdng thong tri trong
khoa hoc xa hoi cua cac thuyet co dien va cac thuyet hien dai.
Dong thdi cac ly thuyet nay chi ra nhiing bat hdp ly, nhiing
dieu md ho trong tri thiic khoa hoc kieu thuc chiing va dat doi
lap vdi no, thay the no bSng cach nhin phe phan, cach phan
tich nhieu chieu doi v6i hien thuc xa hoi day mau thuan, day
bat tr&c va bien dong khon lUdng.

12. Ly th u yet cua R a lf D a h ren d o rf

Ralf Dahrendorf sinh nam 1929 cl Diic. Ong tiing lam

khoa hoc cl Diic, Anh va My. Nam 1974, ong la giam doc
TrUdng Dai hoc Kinh te Luan Don. Nam 1984, ong trci ve Diic
va lam giao sU xa hoi hoc cl trUdng Dai hoc Tong hdp
Constance. Tac pham chinh cua ong la: Giai cap va mau
thuan giai cap trong xa hoi cong nghiep (Class and class
conflict in an industrial society) (1959), Xa hoi va nen ddn
chu dDtic (1967), Tii do mdi (The new liberty) (1975).
Mau thuan, quyin liic vd sii thong tri. Dahrendorf quan
tam nghien ciiu ly thuyet ve mau thuan va coi do la mot ly
thuyet quan trong ve xa hoi co kha nang giai thich nhiing
hien tUdng “cdng thang” trong “he thong” xa hoi ma ly thuyet
tich hdp (Integration theory) nhu cua Parsons khong ly giai
dUdc1. Theo Dahrendorf, ly thuyet cUdng che' (Coercion theory)

1 Dahrendorf cho r in g ly thuyet tich hdp cua Parsons va nhiing nha chiic
n&ng luan nhan manh bon yeu to' chinh la sii on dinh, sii hoi nhap, sii dieu
phoi ch ic nang va sii dong thuan cua ca'u true xa hoi co the giai thich diidc

311
la mot loai ly thuyet mau thuan va co the quy gian ve bon
luan diem cd ban la: (1) xa hoi luon bien doi va khong tranh
khoi sU bien doi; (2) xa hoi luon chila dUng moi bat hoa va
mau thuln; (3) moi mot bo phan cua xa hoi deu dong gop vao
sU phan ra va bien doi; va (4) moi xa hoi deu dUa vao sU
cUdng che cua mot bo phan nay doi v6i cac bo phan khac1.
Dahrendorf xac dinh giai cap khong dUa vao che do sd
hiiu ma dua vao yeu to quyen lUc. Ong cho rin g mau thuln
tat yeu nay sinh tii cuoc dau tranh vi quyen luc giiia cac
nhom co ldi ich doi lap, mau thuan nhau.
Quyen luc, dUdc Dahrendorf hieu tUdng tu nhu Weber, la
kha nang ma mot ngUdi trong quan he xa hoi co vi the thiic
hien y chi cua minh bat chap sU khang cU cua ngUdi khac. Su
thong tri, theo Weber, la kha nang ma mot menh lenh v6i noi
dung da cho se dUdc mot nhom ngUdi nhat dinh tuan theo.
Dahrendorf van dung hai khai niem nay cua Weber va chi ra
sii khac biet cd ban giiia chung ci cho quyen luc gan v6i cac
dac diem ca nhan con sU thong tri g in v6i vi the xa hoi hay
vai tro xa hoi2. Quyen luc la sii kiem soat, la quyen ra lenh va
quyen chiem ^Joat ldi ich tii nhiing ngUdi yeu the khong co

nhieu nhung khong phai tat ca cac van de cua hien thuc xa hoi. Ralf
Dahrendorf. Coercion and Constraint Define Society, trong Lynn Barteck
and Karren Mullin. Enduring Issues in Sociology. CA: Greenhaven Press,
Inc. 1995. Tr. 71.

1 Ralf Dahrendorf. Coercion and Constraint Define Society, trong Lynn

Barteck and Karren Mullin. Enduring Issues in Sociology. C A Greenhaven
Press, Inc. 1995. Tr. 72.

2 Ralf Dahrendorf. Coercion and Constraint Define Society, trong Lynn

Barteck and Karren Mulhn. Enduring Issues in Sociology. CA: Greenhaven
Press, Inc. 1995. Tr. 73.

312
quyen luc. Tti do, nay sinh mau thuln giufa mot ben la nhting
ngUdi co bao ve va duy tri quyen luc va mot ben co" khang cU
va tim cach gianh lay quyen luc.
Dahrendorf nhan manh mot bo mat cd ban cua quyen
luc la sU gianh giat va sii dung quyen luc de theo dudi muc
dich va ldi ich cua minh. Nhom ngUdi cam quyen khong phai
dUdc cong ddng trao cho quyen luc de thuc hien y chi va
nguyen vong chung ma nhom do nam lay quyen luc nhu la
cong cu, phUdng tien de dat muc dich cua ho. Theo
Dahrendorf, su phan chia quyen lUc la mot nhan to" quyet
dinh quan trong doi vdi cau true xa hoi va quyen lUc la
nguon goc cua mau thuan.
Tuy nhien, khac vdi mot so" tac gia thuyet mau thuan coi
quyen luc cd d bat ky ndi nao cd quan he xa hoi, Dahrendorf
cho ring trong nhieu tinh huong xa hoi, ca nhan dUdc tu do
hanh dong theo y muon cua ho ma khong phUdng hai den
nhiing ngUdi xung quanh, khdng can tinh den hanh dong cua
ngUdi khac. Dieu nay tuy thuoc vao cach to chiic xa hoi d mdi
quoc gia. Vi du, cd ndi ngUdi dan dUdc tu do di lai, tu do cu
tru, nhung cd ndi thi quyen tu do nhu vay cd the bi han che.
Giong nhu nhieu tac gia thuyet mau thuan, Dahrendorf
cho rin g chuan mile khdng b it nguon tii sU nhat tri xa hoi,
ma dUdc thiet lap va duy tri bin g quyen luc va vi ldi ich cua
nhiing ngUdi n im quyen lvfc1. Chuan mUc phan biet cai dUdc
mong muon vdi cai khdng dUdc mong muon. Trong cac tinh
huong xa hoi, chuan mUc giup ta xac dinh dUdc miic do hdp

1 Ve dieu nay M arx da tifng nhan manh dai y rfing he tu tUcing cua giai cap
tho'ng tri la he tii tUdng thong tri.

313
thtic hay khong hdp thiic cua tting hanh dong xa hoi. Tti do
cac ca nhan bi phan ra thanh tting nhom, tting tin g 16p khac
nhau1. Dieu do co nghia la, theo Dahrendorf, sU phan tang xa
hoi phu thuoc vao he cac chuan mUc va sau xa hdn la bat
nguon tti quyen lUc.
Mot van de then chot cua thuyet mau thuan la sU hinh
thanh mau thuln xa hoi. Dahrendorf cho rin g sU khac nhau
ve sU tho'ng tri, ve quyen the gitia cac nhom la nguyen nhan
gay ra mau thuan xa hoi. Quyen thong tri la mot loai quyen
luc dUdc g in cho mot vi the hay mot vai tro xa hoi nhat dinh,
theo ngon ngti cua Weber, do la quyen luc hdp thtic. Dieu do
co nghia la loai quyen lUc nay dUdc xac dinh va bi han che bdi
cac quy tic, chuan mUc xa hoi gan vdi vi the nhat dinh. Vi du,
ngUdi soat ve tren tau co quyen doi hoi hanh khach phai xuat
trinh ve va neu khach khong co ve thi bi buoc phai mua ve
mdi cho di tau. Nhung ngUdi soat ve khdng cd quyen b it hanh
khach phai mua hang hoa ban tren tau. Do cd su khac biet ve
sU phan chia quyen the ma trong xa hoi cd cac loai nhdm
khac nhau ve loai quyen the va quy md, pham vi quyen the,
tti dd nay sinh mau thuan xa hoi.
Theo Dahrendorf, sU phan chia quyen the theo nguyen
tac “ke co ngitcti khdng” lam cho xa hoi bi phan thanh hai
“giai cap” luon mau thuin nhau. Dd la:
• Mot la, giai cap gom nhting ngUdi n im giti nhting
vi the gan vdi quyen luc va ldi ich, cu the la nhdm

Co the lay vl du ve chuan ngheo doi: chi can thay doi cach tinh va chi tieu
ngheo doi thi lap tiic cau true phan tang xa hoi ve thu nhap se thay doi
trong thay theo hudng tang hoac giam ti le dan so"bi ngheo d o i... tren giay.

314
 tinh hoa cam quyen va nhom ngUdi thuoc bo may
hanh chinh.
• Hai la, giai cap gom nhufng ngudi khong co vi the,
khong co quyen luc, phai tuan thu, chap hanh
menh lenh cua nhom co quyen luc.
Qua cau true phan tang xa hoi nay, mot lan ntia ta thay
rSng cd sd de phan tang xa hoi va phan chia giai cap theo
quan niem cua Dahrendorf la quyen life va trUc tiep hdn la
quyen luc bat nguon tti vi the xa hoi.
Mau thuan vd bien doi xa hoi. Mau thuan xa hoi co trd
thanh xung dot va co bting nd thanh nhting hanh dong bien
doi xa hoi hay khong con phu thuoc vao nhieu yeu to" khac
nhau. Dahrendorf chi bon loai yeu to" chinh nhu sau:
• Mot la, yeu to" ky thuat: can phai co ngudi dting
dau, ngUdi sang lap va cUdng linh hay dieu le hoac
he tu tudng cua nhom “giai cap”;
• Hai la, yeu to" chinh tri: bau khong khi doc doan
hay dan chu, tu do deu co tac dong trUc tiep tdi
mau thuan xa hoi;
• Ba la, yeu to" xa hoi: cac thanh vien cua nhom
“giai cap” cang tap trung lai vdi nhau ve mat cU
trti va tUdng dong nhau ve hoan canh gia dinh, ve
trinh do hoc van thi cang thuan ldi cho viec huy
dong stic manh chung cua nhom;
• Bon la, yeu to" tam ly: thai do va y thtic cua cac
thanh vien do"i vdi vi the" xa hoi va quyen luc, ldi
ich cd tac dong rat ldn doi vdi hanh dong dau
tranh cua ho vdi tu cach la mot “giai cap” .

315
 Cac yeu to" nay thiidng tudng tac v6i nhau, ket qua la lam
cho mau thuan xa hoi bung len, xep di hay giti dUdc trang
thai trat tu, on dinh. Vi du, viec d l dang dUdc boc lo sU chong
doi nhu bai cong co the lam giam b6t rat dang ke sU cang
thang cua mau thuan xa hoi giiia cong nhan v6i gi6i chu; hoac
viec thuan ldi trong di cU va trong di dong xa hoi tii nhom nay
sang nhom khac, tti tang 16p nay sang tang 16p kia lam cho
mau thuln xa hoi luon cf trong trang thai can bln g dong ma
khong bi day vao the cUc doan la xung dot bao luc.
Dahrendorf lUu y ring, nhom “giai cap” quyen the hoan
toan co the d i dang dung siic manh cua minh (vl du vu luc
quan su) de dap tan sU bung nd mau thuan xa hoi.
Dahrendorf xac dinh dUdc cUdng do cua mau thuan va
bao lUc. CUdng do dUdc hieu la miic do chi phi nang lUdng va
mile do tham gia cua cac ben mau thuln nhau. Bao luc la van
de lien quan t6i su lUa chon va sti dung vu khi de giai quyet
mau thuln. Viec mau thuln co trcl thanh bao lilc hay khong
lien quan tcii “luat chcfi” ma cac ben tham gia thoa thuan
nhau. VI du, Dahrendorf cho rang nhting ai ddng y v6i nhau
cach giai quyet mau thuln, xung dot b ln g cach thao luan, ddi
thoai thi ho kho co kha nang gay ra bao luc.
Dahrendorf phan tich cac yeu to tac dong tdi cUdng do
mau thuln. Ong cho rin g mau thuin se trd nen cang thang
neu nhu mot ben n lm giti nhieu vi the va quyen luc khac
nhau va sti dung chung de bao ve ldi Ich rieng cua ho. Ddng
thdi, su di dong xa hoi gitia cac vi the cang cao bao nhieu thi
cang lam giam bay nhieu mtic do cang thang cua mau thuln.
Qua phan tich sU hinh thanh va phat trien mau thuln,

316
Dahrendorf dua ra khai niem “vi the chong chat” (Super-role
co the dich la sieu vi the) de chi mot kieu vi the diidc g in cho
nhieu loai quyen luc, ldi fch va vai tro xa hoi khac nhau trong
cac lmh vUc chinh tri, kinh te va xa hoi. ThUc chat van de nay
lien quan tdi sii thau tom, tap trung quyen liic vao mot nhom
ngiidi co vi the xa hoi nhat dinh.
Dahrendorf cho rang trong xa hoi hien dai ngay nay,
quyen sd htiu bi tach ra khoi quyen kiem soat va quan ly, do
dd mau thuan xa hoi nhat la trong linh vUc san xuat da thay
do’i mot cach can ban so vdi thdi dai triidc kia. Tuy nhien, ta
can thay rin g dong cd lam giau van la mot trong nhting dong
cd chu yeu thuc day hanh dong xa hoi va sii bien doi xa hoi.
Thiic chat mau thuan ve ldi fch kinh te van chiem vi tri chu
dao khdng thay do’i trong cac thdi dai trUdc kia va hien nay.
Can nhin thay ro dieu nay de nam dUdc nguon goc sau xa cua
mau thuan va quyen luc trong xa hoi.

13. Ly th u yet cu a R andall Collins

Randall Collins (sinh 1941) lay bang cti nhan d trUdng

Dai hoc Tong hdp Harvard, bang thac sy d Dai hoc Tong hdp
Stanford va b in g tien sy d Dai hoc Tong hdp California,
Berkeley. Ngay tti khi con la sinh vien lam trd ly nghien ctiu
dng da cd bai viet chung dang tren tap chi Xa hoi hoc My nam
1966. Nam 1975 dng da cho in cuon sach “Xa hoi hoc mau
thuan: tien tdi mot khoa hoc gidi thich"1. Ngoai Weber, cac
quan niem cua Marx cd anh hudng rat ldn tdi Collins. Trong

1 Randall Collins. Conflict Sociology: Toward an Explanatory Science. New

York: Academic Press. 1975.

317
cuon “Xa hoi hoc mau thuan..." ong coi Marx la ngUdi khdi
xUdng vi dai cua ly thuyet mau thuan hien dai.
Collins cho r in g con ngUdi luon luon theo duoi sU giau
co, quyen lUc va uy tin, nhung khong ai muon bi ra lenh va
luon tim moi cach de tranh bi rdi vao tinh trang nhu vay.
Day cung chinh la nhiing ldi ich cd ban chi phoi moi hanh
vi va hoat dong cua con ngUdi. Do sU phan chia cac ldi ich
khong dong deu ma dieu nay thi kho tranh khoi do sU
khan hiem cua chung nen tat yeu nay sinh mau thuan
trong xa hoi. Trong cac loai mau thuan co the xay ra, mau
th u in do sU cUdng che la pho bien nhat bdi vi do la sU bieu
hien ro ret nhat cua sU phan chia ldi ich theo nguyen tac
“ngiidi co ke khong".
Collins phan biet cac loai nguon luc ma con ngUdi stf
dung trong cuoc dau tranh vi ldi ich vdi nhau nhu sau:
• Mot la ve kinh te, cac nguon luc vat chat va ky
thuat bao gom tai san, phUdng tien, cdng cu, ky
nang va ca cac loai vu khi cd the cd;
• Hai la ve tam ly, nguon lUc bat nguon tii siic
manh va sU hap dan the chat trong quan he xa
hoi giiia cac ca nhan;
• Ba la ve xa hoi, nguon luc bat nguon tii mang ludi
xa hoi, tii sU quen biet, than thich vdi nhiing
ngudi cd the va luc;
• Bdn la ve van hoa, nguon lUc bat nguon tii cac yeu
to van hoa cd the khich dong dUdc tinh cam va sU
doan ket xa hoi nhd vay ma duy tri va cung co
dUdc Uu the gianh dUdc.

318
 Giong nhii quan niem cua Weber, Collins phan biet ba
linh vUc cua ddi song xa hoi trong do sU phan chia cac nguon
luc co the rat khac nhau gitia cac ca nhan, cac nhom ngUdi.
Cu the nhu sau:
• Mot la, linh vUc nghe nghiep: cac ca nhan dUdc
phan thanh tting nhom xa hoi (con goi la giai cap)
khac nhau ve nghe nghiep;
• Hai la, linh vUc cong dong: cac ca nhan song theo
tting nhom vi the khac nhau ve dong ho, tuoi tac,
gidi tinh, hoc van, uy tin;

• Ba la, linh vUc chinh tri: cac ca nhan tham gia vao
cac dang phai khac nhau ve quyen luc chinh tri.

Ca ba linh vUc cd ban nay deu co kha nang quy dinh kieu
phan tang xa hoi trong do cac ca nhan khac nhau ve cua cai,
vi the, quyen luc va cac nguon luc khac.

Giong nhu cac nha mau thuan luan, Collins nhan

manh vai tro quan trong cua yeu to tu tudng va he gia tri,
niem tin doi vdi sU cung cd" va duy tri quyen luc. Collins
phat hien thay mot so" yeu to" gitip ta hieu dUdc qua trinh
hdp thtic hoa sU phan chia va thuc hien quyen luc. Theo
quan sat cua Collins, nhting ngUdi nao n&m quyen luc va
ra menh lenh thudng cd xu hudng danh dong minh vdi ly
tudng cua to chtic va thudng nhan danh to’ chtic de hdp
thtic hoa, thiet che hoa cac menh lenh cua minh. NgUdc lai,
trong sd" nhting ai bi ra lenh thi tuy theo mtic do gan-xa
trong thang bac vi the va quyen luc, mot sd" ngudi nay sin
sang chap hanh menh lenh de dUdc khen thudng va tranh
bi trting phat va mot so' ngUdi khac vtia lam theo menh

319
lenh vtia tim cach truyen lenh kieu “sai truyen" cho ngiidi
khac lam thay.
Collins cho rin g cac ca nhan co xu hu6ng chung la tang
cUdng kha nang nam giQ quyen liic va giam b6t kha nang
phai chap hanh menh lenh. Trong to chiic xa hoi, xu hu6ng
nay rat de lam cho bo may to chiic quyen liic phinh to mQt
cach kem hieu qua ve kinh te-ky thuat nhiing lai co hieu qua
trong viec lam diu bdt nhiing mau thuan noi bo.
Doi vdi xa hoi hoc giao due, Collins diia ra thuyet xa hoi
bin g cap trong do phe phan mau thuan cua xa hoi hien dai
trong do nhieu ngiidi chay theo bang cap, tiic la hinh thiic ma
coi nhe noi dung, gia tri thiic ti§n cua giao due, dao tao1.

1 L e N goc H u n g . X a hoi hoc g id o d u e. N x b D a i hoc quoc gia H a N o i

2009.

320
 Chtfcfng i i

THUYliT TUONG TAC BlfiU TRUNG

1. M ot so" luan diem goc

Thuyet tiidng tac bieu trUng co nguon goc la cac quan

niem xa hoi hoc cua Max Weber, Georg Simmel,. Robert
Park va cac dong sU va hoc tro cua ho. Thuyet nay cung
chiu anh hudng cua mot so" trUdng phai triet hoc, sinh vat
hoc va cac ly thuyet tam ly hoc y thiic, tam ly hoc hanh vi
va tam ly xa hoi v6i cac dai dien ndi tieng nhu John
Dewey, Wilhelm Wund, William James, Edward Lee
Thorndike, John B. Watson va nhieu ngUdi khac. Cac tac
gia ndi bat cua thuyet tUdng tac bieu trUng la Charles
Horton Cooley (1863-1929), George Herbert Mead (1863-
1931), Herbert Blumer (1900-1987), Erving Goffman
(1922-1982). Ten goi cua thuyet nay la “tiidng tdc luan bieu
trting” do Blumer dua ra nam 1937.
Weber tiing qUan niem doi tudng nghien ciiu cua xa
hoi hoc la hanh dong xa hoi dUdc chu the gan cho y nghia
nhat dinh va dUdc dinh hu6ng vao hanh vi cua ngUdi khac,
tiic la chu the luon phai tinh den sii hien dien cua ngUdi

321
khac trong suot qua trinh hanh dong cua minh. Dieu nay
gdi ra mot y tUdng la hanh dong xa hoi chi co the xay ra
trong moi tudng tac vdi ngUdi khac mot cach trUc tiep hay
gian tiep qua he thong tri giac, bieu tudng, tUdng tUdng ve
ngudi khac.
Simmel cho r&ng xa hoi dUdc tao thanh tii vo so cac
“nguyen tii xa hoi” la cac moi tudng tac xa hoi giiia cac ca
nhan. Theo ong, tUdng tac xa hoi phu thuoc vao so lUdng cac
thanh vien cua nhom. Moi tudng tac cua hai ca nhan trong
mot nhom hai ngUdi, mot cap/mot doi phu thuoc vao tiing ca
nhan thanh vien. Dieu do co nghia la chi can mot trong hai
ngUdi tii choi khong tiep tuc quan he la nhom co nguy cd bi
pha vd. NhUng khi trong nhom xuat hien mot thanh vien thii
ba thi tinh hinh khac han. Luc do trong nhom lap tiic hinh
thanh “cdi xa hoi”, tiic la mot cai gi do chung cua ca nhom
khong phai cua bat ky mot ca nhan nao niia nhu trong trUdng
hdp nhom hai ngUdi. Trong trUdng hdp nay, nhom da co ap
liic doi v6i moi thanh vien thong qua sU nay sinh moi tudng
tac giiia hai thanh vien nao day cua nhom. Khi do, thanh vien
thii ba cua nhom phai lUa chon mot trong ba kha nang: thii
nhat la trcJ thanh mot minh mot phe de tudng tac vdi phe kia
gom hai ngUdi; thii hai la lam nhan vat trung gian giiia hai
ngUdi kia; va thii ba la co tinh tao ra mau thuan giiia hai
ngUdi kia de hUdng ldi theo kieu “toa son quan ho dau” de thu
ldi ve minh. Qua do, Simmel chi ra y nghia xa hoi cua so
lUdng ma cu the la, nhom gom tii ba ngudi trd len mdi tao
thanh cai xa hoi co siic manh cua “<fa sd, dai da so” chi phoi
hanh dong ca nhan.
TU tudng cua Simmel da dUdc cac nha xa hoi hoc R. Park,

322
W. Thomas va F. Znaniecki1 ke thiia va phat trien thanh
triidng phai Chicago - cai noi cua thuyet tUdng tac bieu trUng.
Vi du, Thomas2 cho ring, cai cach ma ca nhan hieu biet hay
ly giai ve tinh huong xay ra se co anh hUdng quyet dinh tdi
hanh dong cua ho trong tinh huong do. Thomas dua ra mot
dinh ly noi tieng trong xa hoi hoc ve sau dUdc goi la “Dinh ly
Thomas”: neu ngUdi ta xac dinh tinh huong mot cach thuc te
thi ket qua hanh dong cua ho cung thiic te.
Thuyet tUdng tac bieu trUng ke thiia nhieu y tudng cd
ban, quan trong cua triet hoc, tam ly hoc. Wilhelm Wund,
nha sang lap khoa hoc tam ly ngUdi Diic, da co nhiing nghien
ciiu quan trong ve y thiic, ve vai tro cua yeu to" ngon ngii, tri
nhd doi v6i cac qua trinh trai nghiem ben trong cua con
ngUdi. Dieu nay dUdc cac tac gia thuyet tudng tac bieu trUng
ke thiia va phat trien thanh nhiing ly thuyet ve giao tiep,
tudng tac va xa hoi hoa.
Quan niem cua W illiam James3 ve “dong y thtic” da chi

1 Florian Znaniecki (1882-1858) la nha xa hoi hoc ngiidi M y goc Ba Lan.

Dong tac gia vdi W . Thomas cuon sach noi tieng Ngiidi nong ddn Ba Lan d
chau A u vd M y (1918-1920). Znaniecki co sang kien thanh lap Vien X a hoi
hoc Ba Lan va Tap chi X a hoi hoc Ba Lan.
2 William Thomas (1863-1947) la nha xa hoi hoc M y, sang lap vien triidng
phai Chicago. Dong tac gia vdi F. Znaniecki cuon sach no’i tieng Ngiidi nong
ddn Ba Lan d chau A u vd M y (1918-1920). Thomas la ngudi tien phong s i
dung phUdng phap luan lich s i cuoc ddi, phucing phap lich s i xa hoi va
phiidng phap tieu s i de tim hieu moi quan he g iia van hoa va nhan cach,
cau true xa hoi va ca nhan. Ong la Chu tich Hoi xa hoi hoc M y nam 1927.
3 W illiam James (1842-1911), nha tam ly hoc va nha triet hoc no’i tieng
ngiidi M y. Ong di du lich nhieu va hieu biet sau rong nhieu linh vUc. Ong da
hoan thanh luan an tien sy ve y hoc d Dai hoc Harvard nam 1869. T i moi
quan tam ve y hoc dng chuyen sang nghien c iu va giang day sinh ly hoc,
luan ly hoc, tam ly hoc va triet hoc. Ong da cd cdng phat trien triet hoc thiic

323
ra nhiing dac trUng cd ban cua no la tinh phan tu, tU nhan
thiic, tu danh gia, tu y thtic, tinh nang dong, tinh lUa chon,
tinh muc dich. Quan niem nay dUdc van dung triet de
trong thuyet tudng tac bieu trUng khi noi ve dac diem cua
hinh anh ve ban than, ve “cdi toi” cua ca nhan1.
John B. W atson va Edward L. Thorndike, nhting ngUdi
sang lap ra trUdng phai tam ly hoc hanh vi, da co anh
hudng nhieu chieu tdi cac tac gia cua thuyet tudng tac bieu
trUng. Watson cho rang tam ly hoc hanh vi la mot “canh
nhanh” khoa hoc thuc nghiem khach quan cua khoa hoc tu
nhien vdi muc tieu nghien ctiu la du bao va kiem soat hanh
vi2. Thorndike phat hien mot so' quy luat quan trong cua

dung thanh tinh hoa van hoa Hoa ky vao cuoi the ky 19 n ia dau the ky 20.
Tuy nhien, chu nghia thUc dung (Pragmatism) v6i ten goi cua no da gay
nhieu hieu lam den miic ong lay lam tiec la da s i dung thuat ngu! nay, mSc
du t i n g i nay bat nguon t i c h i Hy lap co nghia la hanh dong va thuyet nay
la thuyet ve cac quy tac c ia hanh dong. Thuc ra, ong tu khang dinh minh la
nha hien thiic t i nhien (natural realist) chuyen nghien c iu chan ly trong
moi hen he v6i ldi ich. Tac pham ndi tieng c ia ong la Cac nguyen ly tam ly
hoc (The Principles o f Psychology) day hdn 1000 trang xuat ban nam 1890
va Chu nghia thiic dung: m ot ten mdi cho m ot so cach suy nghi cu
(Pragmatism: A N ew N am e for Som e Old W ays o f Thinking) xua't ban nam
1907. Xem : The Selected Letters o f William James. Edited with An
Introduction by Elizabeth Hardwick. New York: American Book-Straford
Press. 1961; W illiam James (ed. Russell B. Goodman). Pragmatism: A
contemporary Reader. London: Routlege. 1995. Tr. 204-207.
1 Ngoai ra, doi v6i xa hoi hoc ma cu the la thuyet c h ic nang, W i l l i a m James
da co cong lam ro y tudng rang tam ly y th ic co c h ic nang trong viec giup
con ngiidi thich i n g v6i dieu kien va hoan canh song.

Watson viet: T a m ly hoc, theo quan niem cua nha hanh vi luan, la mot
canh nhanh thuc nghiem khach quan thuan tuy c ia khoa hoc t i nhien.
Muc tieu ly luan c ia no la du bao va kiem soat hanh vi. PhUdng phap noi
quan khong phai la mot bo phan cd ban cua no va cung khong dem lai mot
gia tri khoa hoc nao doi v6i n h in g so lieu phu thuoc vao sU san sang ly giai

324
hanh vi. Vf du “Quy luat hieu qua” hanh vi nao dem lai ket
qua mong muon, tao ra diidc sii thoa man thi hanh vi do co
kha nang tiep tuc xay ra moi khi tinh huong tUdng tii lai
xuat hien; “Quy luat thuc hanh” - hanh vi nao diidc lap di
lap lai nhieu lan thi hanh vi do diidc dinh hinh va trd nen
quen thuoc.
Cac tac gia thuyet tiidng tac bieu triing van dung quan
niem cua thuyet hanh vi nhiing cho rin g tii duy va sii trai
nghiem ben trong cung la hanh vi va mac du cac hanh vi ben
trong kho quan sat nhiing chung van tuan theo nhiing quy
luat cua hanh vi ben ngoai. Dong thdi, cac tac gia thuyet
tiidng tac bieu triing phat trien thuyet hanh vi xa hoi de nhan
manh vai tro cua cac yeu to" tu duy, y thiic va tu y thiic cua ca
nhan trong hanh vi, hoat dong, giao tiep nhat la moi tUdng
tac xa hoi.
Luan diem goc cua thuyet tudng tac bieu trUng cho rang
xa hoi dUdc tao thanh tii sii tudng tac cua vo so" cac ca nhan;
bat ky hanh vi va ciJt chi nao cua con ngUdi deu co vo so" cac y
nghia khac nhau; hanh vi va hoat dong cua con ngUdi khong
nhting phu thuoc ma con thay doi cung vdi cac y nghia bieu
trUng. Do do, de hieu dUdc tUdng tac xa hoi gitia cac ca nhan,
gitia con ngUdi vdi xa hoi, can phai nghien ctiu tUdng tac xa
hoi, can phai ly giai dUdc y nghia cua cac bieu hien cua mo"i
tUdng tac do.

theo nghia y th ic . N ha hanh vi luan, khi no lilc tim ra sd do chung cua sU

phan in g cua dong vat, t h ia nhan r&ng khong co dudng phan chia con
ngiidi va dong vat”. John B. W atson. Tam ly hoc theo quan niem cua nha
hanh vi luan. Psychological Review. Vol. 20. 1913. Tr. 158-177.

325
 2. Ly thu yet “Toi soi gifcfng” cu a C harles Cooley

Charles Horton Cooley (1864-1929), nha xa hoi hoc My

ndi tieng ve ly thuyet cdi toi nhin trong giCdng hay “toi soi
giidng” va khai niem nhom nguyen thuy, giao sU trudng Dai
hoc Tong hdp Michigan, la mot trong so nhiing ngUdi co cong
dau xay diing trUdng phai tUdng tac bieu trUng1.
Ve moi quan he giiia con ngUdi va xa hoi, Cooley cho ring
cac moi tudng tac lln nhau theo kieu trao doi nhieu chieu,
nhieu mat da g in ket cac ca nhan thanh to chiic xa hoi,
thanh cac nhom nho, nhom ldn, thanh tong the xa hoi. Trong
qua trinh tiidng tac, quan trong nhat la sU giao tiep giiia cac
ca nhan, trong dd moi ca nhan phai biet doc, hieu ngon ngii
bieu hien cua ngiidi khac bdi hanh vi cua moi ca nhan bi anh
hiidng bdi an tiidng cua ho d moi ngudi khac.
Ve mat phUdng phap luan, Cooley dac biet quan tam tim
hieu hanh vi cua cac ca nhan trong moi tUdng tac xa hoi nhat
dinh, trong tinh huong xa hoi cu the. Vai trd ca nhan va cau
true xa hoi tudng tac vdi nhau tao thanh nhiing so' phan con
ngUdi khac nhau.
Tii quan niem quan trong nay, Cooley da phat trien ly
thuyet “toi soi giCdng". Theo ly thuyet cua ong, “cdi tdi” (ma
trong tam ly hoc goi la ban nga) d mdi ngudi la ket qua cua sU
tudng tac vdi ngUdi khac, cua tri giac ngudi khac tiic la nhin
vao ngUdi khac nhu la soi minh trong gUdng. Den lUdt nd, “cdi
toi trong gitang” la cd sd de ca nhan tu danh gia, tu kiem soat,
tu dieu chinh va tao ra nhiing moi tUdng tac xa hoi, to’ chiic

1 Charles Horton Cooley. Hum an Nature and the Social Order New York-
1902. Tr. 121, 184 .

326
xa hoi1. Nhu vay, cau hoi “ta la ai?” chi co the dUdc tra ldi dua
vao nhiing y kien danh gia cua ngudi khac ma ta cd the cam
nhan dUdc khi tUdng tac vdi ho, chii khdng hoan toan phu
thuoc vao ban than ta. Dieu nay cung tUdng tu nhu cach ndi:
nhin vao ngudi khac nhu nhin vao tam gUdng, hay muon biet
ta la ai hay xem ngudi khac doi xut vdi ta nhu the nao.
Cooley cho rin g “cdi toi nhin trong gitcfng” gom ba yeu to'
quan trong la: (1) sii hinh dung ve ve be ngoai cua ta ddi vdi
mot ngUdi khac, (2) sii hinh dung ve an tUdng cua ngUdi dd ve
cai ve be ngoai dd va (3) sU tii cam nhan cua ban than khi cd
nhiing hinh dung dd. Theo dng, sU hinh dung ve nhau cua cac
ca nhan trong xa hoi la nhufng bang chiing, su kien xa hoi ma
xa hoi hoc cd nhiem vu phai quan sat, tim hieu va giai thich.
Nhu vay, giong nhu quan niem cua cac nha tudng tac
bieu trUng, quan niem cua Cooley cho biet: cau true xa hoi, to’
chiic xa hoi deu diia tren nen tang gom cac sii kien, b in g
chiing b&t nguon tii mo'i tudng tac xa hoi va sii tri giac, hinh
dung lan nhau cua cac ca nhan.
Trong so' cac ly thuyet xa hoi hoc hien dai, thuyet tudng
tac bieu trUng cua Cooley gop phan tra ldi trUc tiep cau hdi ve
ban chat mo'i quan he giiia cac ca nhan va xa hoi. Thuyet nay
cho ring xa hoi dUdc tao nen tii cac mo'i tudng tac xa hoi giiia

1 Cooley viet: “T a nhin thay mat minh, hinh dang va quan ao cua minh
trong gUdng, va ta quan tam den chung vi chung la cua chung ta,... Cung
nhii vay trong tiidng tiidng chung ta nhan thay trong tam tri ngUdi khac
mot so'y tiidng ve hinh dang, hanh vi, muc tieu, c i chi, tinh tinh, ban be, va
nhieu t h i khac, va dieu do anh hUdng den ta theo nhieu cach khac nhau.”
Charles Horton Cooley. Hum an Nature and the Social Order. New York:
Charles Scribner s. 1902. Tr. 184.

327
cac ca nhan. Do vay, can phai tap trung nghien ciiu y nghia
bieu trUng va y nghia chu quan ma con ngUdi gan cho cac moi
tudng tac tao nen xa hoi cua con ngUdi va tim hieu sU anh
hucing cua moi tudng tac bieu trUng do doi vdi cac ca nhan.
Phan loai nhom diia vao moi tiidng tdc. Theo Cooley, cac
ca nhan tudng tac vdi nhau tao thanh cac nhom xa hoi. Dua
vao dac diem va tinh chat cua moi tUdng tac xa hoi Cooley
phan biet hai loai nhom sau day:
• Mot la, nhom nguyen thuy hay nhom bac nhat,
nhom nguyen sinh (Primary Group). Dac trUng cd
ban cua nhom nguyen thuy la sU tudng tac, hdp
tac, giao tiep “mat-doi-mat” giiia cac thanh vien
cua nhom1. Nhd vay, nhom nguyen thuy khong
nhiing gan ket cac ca nhan vdi nhau thanh mot
khoi ma con tao ra ban sac, muc tieu, ly tudng cua
ca nhom va cua moi ca nhan thanh vien.
• Hai la, nhom phat sinh hay nhom bac nhi
(Secondary Group). Loai nhom nay xuat hien tren
cd sd nhom nguyen thuy vdi nghia la cac ca nhan
cua nhom nguyen thuy tudng tac vdi cac ca nhan
khac trong nhom va ngoai nhom tao cac nhom
mdi. Mot dac trUng cd ban cua nhdm phat sinh la
moi tUdng tac cd the dien ra mot cach gian tiep
chii khdng trUc tiep nhu trong nhdm nguyen.
Hinh thiic dien hinh nhat cua nhdm phat sinh la

1 Cooley giai thich ro vi sao goi la cac nhom nguyen sinh hay nhom t h i nhat
nhu sau. Chung la t h i nhat theo nhieu nghia nhifng chu yeu la d cho
chung la nen tang tao thanh ban chat va ly tUOng xa hoi cua cac ca nhan”.
Charles Horton Cooley. Social Organization. Tr. 23.

328
 to chiic xa hoi diidc thanh lap mot cach chinh thiic
de thiic hien hoat dong nhim muc tieu xac dinh.

3. Ly thuyet t ifdng tac “Ba ngoi” cua George Mead

George Herbert Mead (1863-1931), nha triet hoc thiic

dung, nha tam ly hoc hanh vi xa hoi, nha xa hoi hoc ngiidi
My, la mot trong nhiing ngiidi diing dau triidng phai xa hoi
hoc Chicago, la mot trong nhiing ngiidi sang lap thuyet tiidng
tac bieu triing.
Nam 1887 dng den hoc triet hoc d triidng Dai hoc Tong
hdp Harvard diidi sii hiidng dan cua nha triet hoc, nha tam ly
hoc William James. Sau khi hoc diidc mot nam, dng chuyen
den Diic hoc triet hoc va tam ly hoc cua Wilhelm Wundt
(1832-1920) - ngiidi sang lap ra phong thiic nghiem tam ly
hoc dau tien tren the gidi tai triidng Dai hoc To’ng hdp Leipzig
va gap nha tam ly hoc Stanley Hall. Cac sii kien nay giai
thich tai sao Mead da chiu anh hiidng rat dang ke tii phia cac
nha tam ly hoc y thiic va chu nghia thiic dung
(Pragmatism)1. Sau mot thdi gian d chau Au khdng hoan
thanh diidc luan an tien sy, dng da trd ve My va nam 1891
dng day tam ly hoc va triet hoc tai triidng Dai hoc tong hdp
Michigan d Ann Arbor Tii nam 1894, dng chuyen den giang

1 Theo Hans Joas, M ead tii coi minh la nha hanh vi luan nhung khong phai
v6i nghia cua thuyet hanh vi co dien nhan manh yeu to phan xa, yeu to
quan sat diidc t i ben ngoai cua hanh vi, ma theo nghia cua chu nghia thiic
dung nhan manh yeu to' sang tao cua hanh dong cua ca nhan. X em Hans
Joas. The Emergence o f the N ew : M ea d s Theory and Its Contemporary
Potential, trong George Ritzer and Barry Smart (eds). Handbook o f Social
Theory. London: Sage Pubhcations. 2001. Tr.96.

329
day mon tam ly hoc cl khoa triet hoc triidng Dai hoc tong hdp
Chicago cho den khi ong mat nam 1931. Tac pham chinh cua
Mead: Tam tri, toi vd xa hoi {Mind, Self and Society) (1934)
la tap hdp nhiing bai giang dUdc hoc tro cua ong bien tap va
xuat ban sau khi ong mat1.
Phiidng phap tiep can. Dong gop ly luan va phUdng phap
luan cua Mead doi vdi ly thuyet xa hoi hoc hien dai the hien d
viec dng xay diing va phat trien nhiing khai niem nhu “cdi
toi” , “nhan cach”, “tiidng tdc”, “bieu tiidng” de nghien ciiu dac
diem va tinh chat dac thu cua moi quan he giiia ca nhan va
xa hoi. Theo Blumer, Mead la ngudi duy nhat coi sii tUdng tac
xa hoi trong dd cac ca nhan sii dung cac bieu tUdng va ly giai
y nghia cua cac hanh dong cua nhau la chia khoa de hieu ban
chat cua con ngUdi va cua xa hoi2.
Cac tac gia thuyet tUdng tac bieu trUng thudng sti dung
nhting khai niem nhu “cdi toi”, “bdn nga”, “nhan cach”, “tri
giac”, “tiidng tdc” . Nhung khdng vi vay ma quan niem cua ho
bi coi la cua tam ly hoc. Dac biet, Mead phan biet rd cach tiep
can xa hoi hoc vdi tam ly hoc ndi chung va vdi tam ly hoc xa
hoi ndi rieng. Dieu khac biet cd ban d day la xa hoi hoc xuat
phat tti chinh the xa hoi, boi canh, tinh huong xa hoi, tti hanh
dong cd to chtic cua nhdm de giai thich hanh vi nhdm, hanh vi

1 George Herbert Mead. Mind, S e lf and Society: from the Standpoint o f a

Social Behaviorist. Chicago and London: The University of Chicago Press.
1934, 1962. Phu de cua tac pham nay nhan manh cach tiep can xa hoi hoc vi
mo, cu the la cach tiep can tam ly hoc xa hoi cua Mead.

2 Herbert Blumer. Society as Symbolic Interaction, trong Arnold M . Rose

(Ed.). Human Behavior and Social Processes: an Interactionist Approach.
Houghton-Mifflin. 1962.

330
cong dong va hanh vi ca nhan; con tam ly hoc xa hoi thi xuat
phat tti cac hanh vi cua cac ca nhan rieng le de giai thich cac
hien tudng cua nhom1.
Quan niem ve cdi toi vd ly thuyet tiicfng tdc ba ngoi. Quan
niem ve “cdi tdi” la hat nhan cua thuyet tudng tac bieu trung
cua Mead. Theo ong, “cdi toi” ma tam ly hoc goi la “bdn nga”
thUc chat la mot cau true xa hoi nay sinh tti kinh nghiem xa
hoi ma ca nhan da trai qua trong moi quan he “ba ngoi” cua:
(1) ca nhan vdi ban than, (2) ca nhan vdi ngudi khac va (3) ca
nhan vdi xa hoi. “Cdi tdi” la cau trtic toan ven mang tinh chu
dong, tich cUc trong tat ca hinh thtic bieu hien cua nd. Moi
hanh dong cua nd bi quy dinh bdi cac yeu to' kinh te'-van hoa-
xa hoi-tam ly.
Quan niem nay cua nha tUdng tac bieu trUng ve ban chat
cua ca nhan con ngUdi khac han vdi chtic nang luan. Thuyet
chtic nang cd xu hudng coi ca nhan la mot thuc the thu dong
chiu sU chi phoi cua cac nhan to' tam ly-xa hoi.

Mead cho rang can phai tim ra cd che hanh dong cua ca
nhan. Cd che quan trong d day la sU hinh thanh “cdi tdi” va

1 Ve sU khac nhau giiia cach tiep can tam ly hoc va xa hoi hoc, M ead viet:
“Chung ta khong nhu trong tam ly hoc xa hoi dung xay hanh vi cua nhom
xa hoi vcii nghia la hanh vi cua cac ca nhan rieng le hdp thanh, ma chung ta
bat dau tii chinh the xa hoi da cho cua hoat dong phiic tap cua nhom, trong
do chung ta phan tich hanh vi (nhii cac bo phan) cua tung ca nhan rieng le
tao thanh. Tiic la, chung ta giai thich hanh dong cua ca nhan v6i nghia la
hanh dong co to c h ic cua nhom xa hoi c h i khong phai tinh den hanh dong
co to chiic cua nhom xa hoi vdi nghia la hanh dong cua cac ca nhan rieng le
thuoc nhom do”. George Herbert Mead. Mind, S e lf and Society. Chicago:
University of Chicago Press. 1934. Tr. 7; X em them Le Ngoc Hung. Tam ly
xa hoi: nhtfng thach thiic vd cd hdi phat trien. Tap chi Tam ly hoc. So 3.
1998.

331
sii “tU tUOng tac". Ca nhan tUdng tac vdi chinh ban than minh
qua cd che doc thoai, til thoai, til “noi mot minh” , tii minh tac
dong tdi chinh ban than va qua cd che tudng tac vdi ngufdi
khac. Cac bieu hien cua cd che nay la viec dat minh vao vi tri
cua ngUdi khac, ddng vai ngudi khac va ddng vai/nhap vai vao
sii vat1.
Thdng qua cd che dd, cac yeu to cua mdi trUdng dUdc tach
ra lam hai loai: mot la cac “sti vat” khach quan ton tai vdi tu
cach la cac kich thich, khdng phu thuoc vao ca nhan va hai la
cac “sti vat” ton tai vdi tu cach la doi tUdng cua hanh dong
hay yeu to" tao thanh cau true cua hanh dong.
Cd the goi ly thuyet tUdng tac cua Mead la ly thuyet
tudng tac “ba ngoi” vdi mot nghia niia la trong moi quan he
vdi ngUdi khac mdi ca nhan deu xuat hien dudi ba hinh thai,
“ba ngoi” la: tdi (I), ban than (Me) va tu minh (Self). Mot cach
tudng ting, Mead cho rin g cau true cua “cdi tdi” gom it nhat
hai thanh phan: mot la cai “tdi” chu the (I) va hai la cai “tdi”
khach the (Me) ma dng con goi la hai “pha” , hai mat cua cau
true xa hoi d cap vi md - cap ca nhan. Mead cho r in g thai do
cua ngUdi khac tao thanh “toi”- khach the (Me) ma con ngUdi
vdi tu cach la “toi”- chu the tudng tac vdi nd.
“Toi-chu the” bao gom cac phan iing chua dUdc dinh
hinh, chua dUdc to’ chiic cua cd the ddi vdi thai do, hanh vi
cua ngudi khac. “Toi-chu the” bieu hien ra thanh nhiing
hanh dong tu phat, nhiing hanh vi tiic thdi va dac biet la d

1 M ead goi cd che do la dong vai (tro) cua su vat (taking the role o f the thing).
X em Hans Joas. The Emergence o f the N ew : M e a d s Theory and Its
Contemporary Potential, trong George Ritzer and Barry Sm art (eds).
Handbook o f Social Theory. London: Sage Pubhcations. 2001. Tr. 93.

332
nhulng hoat dong tu giac.
“Toi-khach t h i’ bao gom cac thai do co tmh to chuc dUdc
dinh hinh cua ngUdi khac ma ca nhan nhan dUdc ve phia
minh, tiic la sii hinh dung ve ban than ma ca nhan hoc dUdc
tii nhiing ngUdi khac, la sii hinh dung ve ban than qua con
mSt cua ngUdi khac.
Trong cau true kep Mead dua ra, cai “toi-chu t h i ' co kha
nang dem lai cam giac doc lap, tu chu, sang tao trong hanh
dong khac han v6i cai “toi-khach th i' dong vai tro dinh
hucing, dieu chinh va kiem soat xa hoi doi vdi hanh vi cua ca
nhan. Mead cho rSng chinh nhd co cau true kep nay ma cai
toi thiic chat la mot cau true xa hoi, la mot qua trinh xa hoi
dang dien ra vdi sU dan xen cua hai pha “toi-chu th i' va “toi-
khach thi'.
Thanh phan thii ba la cai toi “tii minh” (Self). Cai toi nay
xuat hien khi cai “toi-chu th i' phan than de tu nhin nhan,
xem xet va danh gia chinh ban than no. Cai toi tu minh xuat
hien ro, vi du, khi ta quyet dinh: toi tU lam lay mot minh va
the hien qua ldi day “doi vdi tii minh phai can, kiem, liem,
chinh''. Can chu y la cai “toi tii minh" va “toi chu th i' deu
nam trong moi tUdng tac vdi chinh ban than cua ca nhan, do
do thuoc ve mot phe, mot phia, doi lap vdi cai toi khach the
luon n&m trong mo’i tUdng tac vdi ngUdi khac, hudng den
ngUdi khac.
Ve cau true cua “cdi toi", ta thay quan niem cua Mead co
phan giong vdi quan niem cua nha phan tam hoc Sigmund
Freud (1856-1939) ve cau true cua nhan each. Theo Freud,
nhan each co cau true kieu “ba ngoi mot th i' bao gom: “toi"

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(Ego), no (Id), sieu toi (Super-ego). Trong cau true ba ngoi do
cai “toi" va cai “no" diing ve mot phe chu dong, chu the va cai
“sieu tdi” diing ve phe khach the, che ngii. kiem soat hanh
dong cua ca nhan.
Trong mdi quan he vdi xa hoi, nhd “cdi tdi” ma con ngUdi
cd mot loat cac kha nang hanh dong quan trong. Trong sd" dd
can ke tdi, thii nhat, ca nhan cd the tu tach ra khoi ban than
de nhin minh nhu mot ngUdi khac, tu dat minh ddi lap vdi
ngUdi khac. Nhd vay ca nhan cd the phoi hdp, thong nhat
hanh dong cua minh vdi hanh dong cua ngUdi khac. Thii hai,
con ngudi cd the dat minh vao vi tri ngUdi khac, cd the ddng
vai, nhap vai de hieu ngUdi khac, de tham gia vao cac qua
trinh xa hoi va hoi nhap xa hoi.
Mead cung cho biet rang, trong qua trinh phat trien cua
ca nhan den mot liia tuoi nhat dinh mdi hinh thanh cau true
hai pha cua “cdi tdi”, den mot giai doan nhat dinh ca nhan
mdi cd kha nang tu phan ddi tiic la tach dUdc minh ra khoi
chinh ban than minh de nhin nhan, phan tich va danh gia ve
ban than minh. Thdng qua cd che b it chudc, giao tiep, ddng
vai trong cac trd chdi luc con nhd va trong qua trinh tiep xuc,
trao doi, tUdng tac vdi ngudi khac luc ldn len ma hinh thanh
cau true kep, cau true ba ngoi cua cai tdi. VI du, thdng qua
giao tiep ca nhan hoc dUdc each ddng vai ngudi khac, hoc dUdc
each dat minh vao vi tri ngudi khac. Nhd cac cd che nay, con
ngUdi “nhap tam", thau tom dUdc cai xa hoi va trd thanh mot
thanh vien cua nhdm, cong ddng xa hoi.
Nhu vay, cai tdi la mot loai cau true xa hoi dac thu nay
sinh, phat trien trong mo'i tUdng tac xa hoi vdi ngUdi khac va
vdi chinh ban than minh.

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 Khai niem “bieu ti/cfng” . Mead quan niem thanh to" cd ban
cua tUdng tac xa hoi la bieu tudng (Symbol). Ong lay dieu bo
cua mot ngUdi hut thuoc la de lam vi du giai thich y nghia
cua bieu tUdng va tac dong cua no doi vdi moi tudng tac. Dieu
bo khong nhiing la mot yeu to" hang dau cua mot hanh dong
ma con la ky hieu, tin hieu cua ca hanh dong do"i vdi moi
ngUdi. Khi mot ngUdi hut thuoc la rut tii tui ra mot bao thuoc
la thi dieu bo hay cti chi nay du de khien cho mot ngUdi
khong hut thuoc d ben canh hieu ngUdi do se lam gi va 'minh
phai lam gi. NgUdi do se htit thuoc va ngUdi khong htit co the
phai md ctia sd cho thoang. Nhu vay, chi can vtia nhin thay
mot dieu bo nao do ta co the hinh dung dUdc toan bo hanh
dong tiep theo.
Dieu quan trong la dieu bo cua ca nhan mang y nghia xa
hoi, ttic la co mot nghia nhat dinh ma tat ca cac thanh vien
cua cong ddng deu biet, deu hieu va deu co mot thai do va
cach ting xti nhat dinh. Do do, trong quan he tudng tac dieu
bo/cti chi cua ngUdi nay la sU kich thich lam nay sinh phan
ting dap lai tti phia ngUdi khac. Tti khai niem ve dieu bo,
Mead dua ra dinh nghia ve “bieu tM ng” theo kieu chu nghia
hanh vi nhu sau: bieu tudng la mot loai kich thich ma phan
ting dap lai no da dUdc dem lai tti trUdc.
Can ghi nhan cong lao cua Mead do"i vdi lich sti ly
thuyet xa hoi hoc. Mot la: Mead da neu ra chu de ve sU
thong nhat cua qua trinh ca nhan hoa (Individuation) va
qua trinh xa hoi hoa ca nhan (Socialization khac vdi
Societization - xa hoi hoa xa hoi). Hai la: Mead da gop
phan dat nen mong phat trien hudng nghien ctiu xa hoi hoc

335
dinh tinh, xa hoi hoc vi mo va thuyet tudng tac bieu trUng
trong xa hoi hoc hien dai1.

4. Ly thuyet tifofng tac bieu tnfng cua Herbert Blumer

Herber Blumer (1900-1987) lay b ln g tien sy nam 1928

dudi sU hudng d in cua Ellsworth Faris. La mot thanh vien
cua khoa Xa hoi hoc trUdng Dai hoc Tong hdp Chicago tti nam
1927-1952, Blumer chiu anh hudng sau s ic bdi trUdng phai
Chicago. Blumer tting la hoc tro cua Mead va thudng xuyen
du thmh cac buoi giang cua Mead va dUdc Mead de nghi
giang thay ong mot mon chuyen de Tam ly hoc xa hoi cao cap.
Sau thdi ky lam viec d Chicago keo dai 25 nam, Blumer
chuyen sang giang day d trUdng Dai hoc tong hdp California d
Berkeley va lam d dd cho den khi nghi hUu. Blumer lam tong
bien tap Tap chi Xa hoi hoc My tti nam 1941 den 1952 va la
chu tich Hoi Xa hoi hoc My nam 1956.
Dong gop ly luan doi vdi thuyet tiCcfng tdc bieu triCng.
Blumer khong nhting ting ho ly thuyet cua Mead bln g cach
giai thich cac quan niem cua Mead ma con phat trien thuyet
tudng tac bieu trUng ma Mead va cac dong sU cua ong da khdi
xudng. Blumer la ngudi cd cong khai sinh thuyet “titang tdc
luan bieu triing” (Symbolic Interactionism) nam 1937.
Blumer he thong hoa ba luan diem goc cua thuyet tudng
tac bieu trUng ma Mead da tting neu ra nhu sau:

1 Hans Joas. The Emergence o f the N ew : M ea d ’s Theory and Its

Contemporary Potential, trong George Ritzer and Barry Sm art (eds).
Handbook o f Social Theory. London: Sage Publications. 2001. Tr. 96-97.

336
• Thii nhat, con ngUdi doi xii vdi sii vat tren cd sd
nhiing y nghia ma sii vat do dem lai cho ho. Luan
diem nay nhan manh vai tro tien quyet cua viec
giai nghia hay n lm b it y nghia cua sii v&t doi v6i
hanh dong cua con ngUdi. Viec giai nghia sii vat cf
day dUdc Blumer hieu la viec tach sii vat do ra
khoi moi trUdng cua no, lam noi bat sii vat do len,
la g in cho no mot y nghia nhat dinh, la phan xet
sii c&n thiet hay thich hdp cua no doi v6i chu the
va diia vao sii giai nghia do ma chu the ra quyet
dinh hanh dong.
• Thii hai, y nghia cua sii vat nay sinh tii moi tUdng
tac xa hoi giiia cac ca nhan. Luan diem nay nhan
manh nguon goc xa hoi cua y nghia: ban than sii
vat von khong co nghia ma chinh con ngUdi trong
qua trinh tUdng tac v6i nhau da gan cho moi sii
vat mot y nghia nhat dinh. Nhu vay, y nghia cua
sii vat la mot san pham xa hoi, san pham cua
hanh dong va tudng tac cua cac ca nhan.
• Thii ba, y nghia cua sii vat dUdc n im b it va dUdc
dieu chinh qua cd che ly giai ma ca nhan sii dung
khi tiep can sii vat. Luan diem nay nhan manh
vai tro quan trong cua qua trinh ly giai y nghia
doi vdi hanh dong cua con ngUdi. Doi v6i ca nhan,
qua trinh ly giai nay the hien qua viec “tit noi mot
minh” ve mot dieu gi do, tu giai thich, tii trao doi
tham chi tii tranh luan v6i chinh minh de hieu y
nghia cua sii vat. Do vay trong qua trinh tudng
tac bieu trUng cac ca nhan khong nhiing giai

337
 nghia hanh vi cua nhau ma con til dat minh vao
vi tri cua ngudi khac de hieu y nghia cua hanh
dong cua nhau1.
Xa hoi vd hanh dong xa hoi. Blumer cho rin g tu duy xa
hoi hoc co mot diem sai lam quan trong la rat it khi thiia
nhan hay hiem khi coi xa hoi loai ngudi dUdc cau thanh tii
nhiing con ngUdi co ban nga, co “cdi tdi”, co the gidi rieng ben
trong cua ho, ma chi coi xa hoi la tap hdp gom cac cd the song.
Theo quan niem co tinh quy nap, tong hdp nhu vay, cac ca
nhan chi biet dap lai cac kich thich tu! phia xa hoi, chi la
ngUdi chuyen tai va bieu hien su tac dong cua cac yeu to" ben
ngoai. Hanh dong xa hoi chi dUdc hieu vdi nghia la san pham
cua nhiing yeu to" tac dong tdi ca nhan va thong qua ca nhan
nhu la dien vien.
Doi lap vdi quan niem nhu vay, thuyet tUdng tac bieu
trUng cho rang, xa hoi dUdc tao nen tii nhiing con ngUdi hanh
dong va ddi song cua xa hoi dUdc tao thanh tii cac hanh dong
cua cac ca nhan tudng tac vdi nhau. Su tudng tac do tao
thanh cac nhom, cac tap the, cac to chiic va cac ddn vi xa hoi
nay tUdng tac vdi nhau tao thanh tong the xa hoi. Thuyet
tUdng tac bieu trUng nhan manh rang, hanh dong xa hoi cua
cac ca nhan dUdc cac ca nhan kien tao, thiic hien thong qua
qua trinh giai nghia hanh dong cua ngUdi khac va ly giai tinh
huong cua ho.
Tiidng tdc bieu triing. Theo Blumer, khai niem nay dung

1 Herbert Blumer. (1969). Society as Sym bolic Interaction, trong James

Farganis. Readings in Social Theory: The Classic Tradition to Post-
Modernism. McGraw-Hill, Inc. 1993. Tr. 303-310.

338
de chi mot dac triing cd ban cua tUOng tac giufa ngUdi vdi
ngUdi. Do la viec cac ca nhan luon phai ly giai, dinh nghia,
xac dinh hanh dong cua nhau chut khong ddn thuan la dap lai
hanh dong cua nhau. Dieu do co nghia la hanh dong cua ca
nhan khong phai la sU phan ting trUc tiep doi vdi hanh dong
cua ngUdi khac. Tudng tac bieu trUng khong phai la tong so'
cac hanh dong cua tiing ca nhan rieng le. Ma tUdng tac bieu
trUng la mot qua trinh, mot hinh thtic xa hoi dUdc tao thanh
tii cac hanh dong cua cac ca nhan ma moi hanh dong do
dUdc thuc hien tren cd sd va thong qua sU ly giai y nghia,
dong cd hanh dong cua nhau dUdc the hien qua he tho'ng ky
hieu, bieu tUdng.
Cdc thanh to cua tiicfng tdc bieu triing. Gio'ng nhu Mead,
Blumer cho rang cd che tudng tac giufa ngUdi vdi ngUdi khong
ddn gian la chuoi kich thich (S) - phan iing (R) theo mo hinh
hanh vi S-R cua John Watson, cha de cua tam ly hoc hanh vi.
Nhat tri vdi quan niem cua Mead ve vai tro cua bieu tUdng,
Blumer bo sung mot yeu to' trung gian la “si/ ly gidi”
(Interpretation, viet t it la I) vao mo hinh nay va cho rin g mo'i
tUdng tac giufa cac ca nhan chu yeu xay ra khi co sU ly giai y
nghia hanh vi cua nhau.
Blumer bien mo hinh hanh vi: S-R thanh mo hinh tUdng
tac: S-I-R. Dua vao mo hinh nay, ong giai thich ring, ca nhan
nay (A) co mot hanh dong nao day do'i vdi ca nhan kia (B), de
dap lai B phai hieu dUdc y nghia cua hanh dong cua A; den
lUdt minh A chi co the tra ldi B sau khi da nam bat dUdc hanh
dong cua A. Cti nhu vay, mo'i tudng tac giufa cac ca nhan dUdc
thUc hien thong qua cd che ly giai y nghia cti chi, hanh vi,
hoat dong cua cac ben tham gia. Viec giai nghia nay, noi theo

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ngon ngti tin hoc la giai ma, chi co the thiic hien tren cd sd
cac bieu tiidng. Cac thao tac cu the cua sii ly giai la tiep nhan,
giai ma bieu tUdng, hieu y nghia cua bieu tiidng, sti dung cac
ky hieu, cac bieu tUdng de dien dat y nghia da dUdc nhan biet.
Qua trinh tudng tac nhu vay dUdc goi la tiictng tdc bieu triing.
Do la sii tUdng tac diia vao bieu tudng, diia vao sii ly giai y
nghia, dong cd, nhu cau hanh dong cua nhau.
Thoat xem ta thay sii tudng tac bieu trUng rat giong vdi
qua trinh giao tiep, qua trinh thong tin. Tuy nhien, tUdng tac
bieu trUng la khai niem co chieu1sau hdn khai niem giao tiep.
Bdi tudng tac bieu trUng la sii tac dong lan nhau vdi sii trd
giup die liic cua cac bieu tudng va thong qua cd che ly giai
hanh dong cua cac ca nhan tudng tac vdi nhau.
Blumer phan biet loai tudng tac bieu trUng vdi loai tUdng
tac phi bieu trUng. Su tUdng tac cd the nay sinh do sii phan
ting trUc tiep cua ngUdi nay doi vdi ngUdi kia ma khong co sii
ly giai y nghia hanh dong cua nhau. Ong goi dd la sii tUdng
tac phi bieu trUng. Vi du moi tUdng tac gitia nhting ca nhan
dang trong cdn gian dti: hanh vi ctia ho mang tinh chat bot
phat hay phan xa khong dieu kien.
Cau true xa hoi vi mo vd cau true xa hoi vl mo. Blumer
phat trien thuyet tUdng tac bieu trung tren cd sd lam ro
nhting y tUdng quan trong cua Mead. Blumer cho rin g khi
Mead coi cau trtic cua “cdi toi” d cap do vi mo-ca nhan la cau
true xa hoi thi dieu dd khong cd nghia la Mead phu nhan khai
niem cau true xa hoi d cap do vi mo. Theo Blumer. can phai
nghien ctiu nhting cau trtic xa hoi rat quan trong vdi tu cach
la phtic the cac vi the xa hoi, vai trd xa hoi, to chtic xa hoi,
thiet che xa hoi va cac moi quan he gitia chung.

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 Tuy nhien, Blumer kh&ng dinh rang nhiing cau true xa
hoi vi mo nay khong quy dinh hanh vi vdi nghia la con ngUdi
phai dap lai, phai phan iing lai mot cach trUc tiep doi vdi cac
yeu to" cua cau true xa hoi. Ma cac yeu to" cua he thong xa hoi,
cau true xa hoi, to chiic xa hoi, van hoa, vi the", vai trd xa hoi,
truyen thong, gia tri, chuan miic xa hoi la nhiing dieu kien
cua tinh huong xa hoi trong dd con ngudi hanh dong va tudng
tac vdi nhau. Do vay, theo ong, se la dieu niic cUdi khi coi moi
tUdng tac xa hoi la moi tudng tac giufa cac vai trd xa hoi. Ong
khang dinh, tudng tac xa hoi la tudng tac giufa cac ca nhan, la
tiidng tac giufa ngudi vdi ngUdi dien ra trong nhufng dieu kien
cua tinh huong xa hoi nhat dinh. Trong dd, hanh dong xa hoi
cua ca nhan la mot bo phan cau thanh cua hanh dong cung
nhau (Joint Action). Mdi ca nhan cd mot vi tri nhat dinh va
thuc hien nhiing hanh dong tUdng iing de cung ddng gop vao
hanh dong chung. Tat ca nhufng yeu to" dd tao thanh cau true
xa hoi.
Nhu vay, ca hanh dong xa hoi cua ca nhan va hanh
dong cung nhau deu cd cau true gom cac thanh phan lien
he vdi nhau theo trat tu va dUdc xac dinh trong khdng gian
va thdi gian. Dieu dd cung cd nghia la hanh dong va tudng
tac xa hoi cd nay sinh, dien bien va phu thuoc vao nhieu
yeu to" nhu cau true xa hoi, vi the-vai trd va cac yeu to"
khac niia. NhUng khdng gio'ng cac nha chiic nang luan,
Blumer nhan manh tam quan trong cua yeu to' ly giai
(Interpretation) cua ca nhan trong qua trinh tudng tac vdi
ngUdi khac. Khdng phai cau true xa hoi ma chinh la sii nd
liic cua ca nhan quyet dinh viec khdi xUdng, thuc hien,
dieu chinh, bien do’i hanh dong tren cd sd nhiing gi ma ca

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nhan do quan sat ly giai bieu tiidng, hanh vi, hoat dong
cua ngUdi khac trong mdi lien he, quan he xa hoi.

PhUdng phap luan tiidng tdc bieu triing

De nghien ctiu hanh dong xa hoi va tUdng tac xa hoi,
Blumer chu trUdng phai ke thtia va phat trien nhting phUdng
phap va nhting ky thuat cd kha nang di sau tim hieu dUdc the
gidi ben trong gom cac kinh nghiem, trai nghiem cua cac ca
nhan. Yeu cau phUdng phap luan d day la van de: lam sao
hieu dUdc sii vat, hien tUdng nhu chinh chu the nhin nhan
chting? Lam sao vtia hieu dUdc the gidi ben trong cua ddi
tudng nghien ctiu va vtia nam bat dUdc the gidi ben ngoai ma
ca nhan trai nghiem? Do dd, khac han vdi cac nha chtic nang
luan di tti ly thuyet den gia thuyet khoa hoc den van de thiic
te theo kieu dien dich, Blumer cho rin g thuyet tUdng tac bieu
trUng sti dung kieu phUdng phap quy nap. Dd la xuat phat tti
sii quan sat van de cu the, tti bang chting, sd" lieu va thdng tin
cu the den khai quat hoa, den sii hinh dung ca chinh the xa
hoi. Nha chtic nang luan nghien ctiu hanh dong xa hoi, cau
trtic xa hoi tti giac do cua ngudi ngoai cuoc. Nha tUdng tac
luan bieu trUng nghien ctiu hanh dong xa hoi, cau trtic xa hoi
tti giac do cua ngudi trong cuoc.
Mot sii kien lich sti ft ngudi de y d day la phUdng phap
luan nay tren thiic te da gap phai rat nhieu khd khan ve mat
hoc thuat va tai chinh. Trong mdi trudng khoa hoc ma ddng
chay chu yeu la thiic chting luan, la nghien ctiu thiic nghiem
phan ddng cac nha xa hoi hoc deu lay cac tieu chuan cua
phUdng phap luan thuc chting lam chuan mile de danh gia sU
can thiet va chat lUdng cua cac cdng trinh khoa hoc. Khdng it

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cac luan van thac sy, tien sy va cac cong trinh khoa hoc thiic
hien theo phiidng phap luan tiidng tac bieu triing, phiidng
phap dinh tinh bi nghi ngd tinh khoa hoc tCf goc do thiic
chiing luan. Nhieu cau hoi dac triing cua xa hoi hoc thiic
nghiem kieu thiic chiing luon diidc dat ra khi xem xet mot
cong trinh nghien ciiu xa hoi hoc. Do la nhiing cau hoi rat
quen thuoc, de tra ldi doi vdi bat ky ai lam xa hoi hoc thiic
chiing-nghiem, nhiing lai rat kho tra ldi doi v6i ngiidi theo
thuyet tiidng tac bieu triing. Vi du cau hoi ve khung ly
thuyet, gia thuyet nghien ciiu, thao tac hoa khai niem, cac
bien doc lap-bien phu thuoc, cac chi bao do liidng, phiidng
phap chon mau nghien ciiu, nhat la quy mo mau diidc chon va
nhieu cau hoi khac. Mot sii that co tinh lich sii la hoi dong
khoa hoc kho co the thong qua de tai, dii an nghien ciiu diidc
thiet ke theo mo hinh phiidng phap luan tiidng tac bieu
triing. Mot cach tiidng iing, hoi dong tham dinh cung nhii cac
cd quan tai trd kinh phi kho duyet cap tai chinh, tham chi
kho co the duyet cho xuat ban ket qua cua cac de tai nghien
ciiu theo thuyet tiidng tac bieu triing1.

1 Mot so' tac gia cho biet, tinh hinh nay cung xay ra d cd sd nghien c iu , dao
tao xa hoi hoc d Viet N am hien nay. Du luan ve tinh khoa hoc cao cua
nghien c iu dinh liidng va tinh khoa hoc thap c ia nghien c iu dinh tinh lam
cho khong it ngiidi ngai s i dung phiidng phap dinh tinh de thiic hien de tai
hay luan van tot nghiep dai hoc, sau dai hoc. Phan dong chay theo mot s i
dung phUdng phap dieu tra, khao sat xa hoi hoc de lam de tai nghien c iu xa
hoi hoc. Trong khi do, cac nha nhan hoc lai c h i yeu s i dung phUdng phap
nghien c iu triidng hdp. Xem.Trinh Duy Luan. Xa hoi hoc Viet N a m : M ot so
dinh hiidng tiep tuc xay difng vd phat trien. Tap chi Xa hoi hoc. So 1. 2001;
Mai Huy Bich. M ot so xu hiidng nghien ciiu vd nhiing kho khan trong viec
ket hop nghien cihi vdi giang day xa hoi hoc. Tap chi X a hoi hoc. So 4. 2001;
Le Ngoc Hung. Tang ciiitng sii thdng nhat giiia dao tao vd nghien ciiu khoa
hoc xa hoi. Tap chi L y luan chinh tri. So 4. 2001. Tr. 76-78.

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 Blumer hieu ro nhiing kho khan, trd ngai noi tren. Vi
vay, ong da chu trudng phai phat trien nhiing phUdng phap
va nhiing cong cu nghien ciiu thich hdp. Vi du, ong chia qua
trinh nghien ciiu thanh hai giai doan. Mot la giai doan tham
ry 9 ^ X N 1 a ' 0 9

do, tim hieu de xac dinh van de can nghien ciiu; ket qua cua
giai doan nay la tao ra dUdc nhiing khai niem co tinh chat
dinh hudng, khoanh vung nghien ciiu. Hai la giai doan xem
xet ti mi, ky lUdng va he thong v&'n de da dUdc xac dinh; san
pham cua giai doan nay la dua ra dUdc nhiing khai niem co
kha nang dinh nghia, mo ta nhiing gi quan sat dUdc, cam
nhan dUdc. Cach xem xet qua trinh nghien ciiu cua Blumer
cho thay sii can thiet phai phan biet va ket hdp yeu to" ly
thuyet va yeu to" quan sat, hai loai phUdng phap luan dinh
tinh va dinh lUdng. Cu the la phai ket hdp hai giai doan tim
hieu va xem xet trong mot qua trinh nghien ciiu thong nhat,
chii khong phai la dat chung do"i lap vdi nhau.
Blumer de ra mot quan niem trd thanh phUdng cham cd
ban cua phUdng phap luan xa hoi hoc dinh tinh: nghien citu
nhieu lan mot doi titdng co gid tri hdn la nghien citu mot lan
nhieu doi titctng.
Vdi nhiing quan niem ve phUdng phap nghien ciiu nhu
vay, ta cd the coi Blumer la mot trong nhiing ngUdi phat trien
xa hoi hoc dinh tinh. Nha xa hoi hoc can ap dung cach lam
giong nhu nha khoa hoc tu nhien. Dd la phai lap di lap lai
nhieu lan, tham chi hang tram lan mot cuoc thi nghiem de
lam sang to mot su vat hay mot hien tUdng nhat dinh. Can
dieu tra, khao sat nhieu lan, tham chi hang tram lan mot
trUdng hdp ca nhan hay mot trudng hdp nhdm de phat hien
ra dac diem va tinh chat cd ban cua doi tudng nghien ciiu xa

344
hoi hoc da diidc xac dinh. Phiidng cham nghien ctiu dinh tmh
la: khao sat hang chuc lan mot doi tiidng con tot hdn khao sat
hang tram, hang nghin doi tiidng mot lan.
De trien khai phiidng phap luan tiidng tac bieu triing,
Blumer cho rin g can phai khai thac triet de cac phiidng phap
cua tam ly hoc xa hoi nhii phiidng phap phong van, phiidng
phap tro chuyen va cac phiidng phap nghien ctiu lich sii ddi
song, nghien ctiu tieu sti, phan tich triidng hdp, nghien ctiu
thii tti, phan tich nhat ky, v.v.. Theo Blumer, cac phiidng
phap nghien ctiu xa hoi hoc phai nhlm vao nhting muc dich
sau day: (1) phac hoa diidc btic tranh ve nhting trai nghiem
rieng tii, ben trong cua ca nhan ma nhting trai nghiem do tao
thanh nen tang cua nhting hanh dong cua ca nhan; (2) chi ra
dUdc ban chat cua the gidi ben trong ca nhan ttic la the gidi
cua nhting hieu biet, thai do, tinh cam cua ca nhan ve the gidi
ben ngoai ma ca nhan cd dUdc; (3) lam sang to cac qua trinh
trai nghiem cua ca nhan, vi du, qua trinh tri giac, tu duy, ly
giai, tudng tUdng, ra quyet dinh, xac dinh tinh huong va giai
quyet van de.

5. Ly th u yet kich hoa cu a E rvin g G offm an

Erving Goffman (1922-1982), nha xa hoi hoc My sinh d

Alberta, Canada. Goffman lay bln g cti nhan tai trUdng Dai
hoc Toronto nam 1945, lay b ln g thac sy nam 1949 va bang
tien sy nam 1953 d trUdng Dai hoc Tong hdp Chicago. Sau khi
nhan hoc vi tien sy, Goffman da giang day d trUdng Dai hoc
To’ng hdp California cung vdi ngUdi thay cua minh la Herbert
Blumer cho den nam 1969. Sau dd, ong chuyen sang giang

345
day d triidng Dai hoc Tong hdp Pennsylvania cho den nam
1982. Mot so tac pham chinh cua Goffman la: Sii the hien cdi
toi trong cuoc song hang ngay (The Presentation o f Self in
Everyday life) ( 1959) va Cdc hinh thtic cua cuoc noi chuyen
(Forms o f Talk) (1981).
Phtidng phap luan kich hod. Goffman phan biet bon cach
tiep can trong xa hoi hoc ve nhom va to chiic xa hoi nhu sau:
• PhUdng phap tiep can “ky thuat” chu yeu quan
tam tdi tinh hieu qua cua to chiic vdi tu cach la
mot he thong khep kin cac hoat dong nhlm dat
dUdc muc tieu da xac dinh tii trUdc;
• Cach tiep can “chinh tri” chu trong tdi quyen lUc
kiem soat va hanh dong cua cac ben tham gia;
• PhUdng phap tiep can “cau true" tap trung vao sii
phan chia vi the theo hang doc va hang ngang va
cac mdi quan he cua cac nhdm.
• Cach tiep can “van hod" chu trong tdi he cac gia
tri dao diic, cac chuan miic, thi hieu chi phoi hoat
dong cua to chiic.
De bo sung cho bon phUdng phap tiep can xa hoi hoc neu
tren, Goffman neu len cach tiep can thii nam va goi la quan
niem kich hoa. Ong viet: “Doi vdi tdi cach tiep can kich hoa cd
the tao thanh quan niem thii nam, bd sung cho cac quan niem
ky thuat, chinh tri, cau true va van hoa. Quan niem kich hoa,
giong nhu bon quan niem kia, cd the dung vdi tu each la sU phan
tich diem cuoi, la cach sip xep trat tu cac bln g chiing. Nd din
chung ta den viec md ta cac ky thuat dieu khien an tUdng dUdc
thuc hien trong mot to chiic da cho, cac van de cd ban cua sii

346
dieu khien an tUdng trong to chiic, ban sic va cac moi tUdng tac
cua mot so”nhom hoat dong cung tham gia trong to chiic”1.
Goffman neu ro ring: ong sii dung phUdng phap tiep can
kich hoa (.Dramaturgical Approach) de nghien ciiu cach thiic
ma ca nhan trong cac tinh huong binh thudng the hien cai toi
va thUc hien hoat dong doi v6i nhiing ngUdi khac, tim hieu
cach thiic ma ca nhan dieu khien, kiem soat nhiing an tUdng
cua ngUdi khac ve ban than minh va xem xet nhiing gi ma ca
nhan co the thiic hien hoac khong thuc hien khi trinh dien
trUcic mat nhiing ngUdi khac2.
Co che gidi thieu cdi tdi. Giong nhu quan niem cua Mead
va Blumer, Goffman coi con ngUdi la mot thuc the tich ciic va
co tu duy. Goffman rat quan tam tdi “cdi toi” vdi tu cach la
mot khai niem xa hoi hoc. Ong cho rin g ca nhan co xu hudng
the hien cai toi (the hien ban than - Presentation o f Self), duy
tri va bao ton “cdi toi” cua minh chii khong phai la thu dong
chap nhan dong nhiing vai ma thiet che" xa hoi quy dinh hay
gan cho ho. Ong chi ra cd che tu ve cua ca nhan trong cac tinh
huong xa hoi nhat la khi ca nhan phai dudng dau v6i nhiing
thach thiic. Qua quan sat hanh vi cua ca nhan trong nhiing
tinh huong nhat dinh, Goffman cho rin g ca nhan thudng tim
cach hieu bin g dUdc ho can phai lam gi va phai the hien nhu
the nao de khong bi danh mat “cdi toi”, danh mat minh.

1 Erving Goffman. The Presentation o f S elf in Everyday Life, trong James

Farganis. Readings in Social Theory: The Classic Tradition to Post-
Modernism. McGraw-Hill, Inc. 1993. Tr. 311.
2 Erving Goffman. Audience Reaction Explains Social Behavior, trong Lynn
Barteck and Karren M ullin. Enduring Issues in Sociology. CA: Greenhaven
Press, Inc. 1995. Tr. 135.

347
 Theo cach noi cua ngUdi A Dong, ca nhan luon co xu
hUclng giti the dien trong moi tinh huong, moi ngUdi luon tim
cach tranh bi “mat mat" trong moi tinh huong xa hoi. Do vay,
bat ky d dau va bat ky luc nao, moi ngUdi luon co xu hudng
thu thap cac thong tin ve boi canh do, nhat la ve nhiing ngUdi
tham gia v6i tu cach la thanh vien va nhiing doi tac cua ho.
Cd che cd ban, quan trong nhat ma ca nhan sti dung de
trinh dien cai toi, de gi6i thieu ban than la cd che dong kich.
Moi ca nhan dudng nhu biet “tii nhan ddi” va biet phai the
hien dieu gi va ltic nao. Goffman viet r5 ve cd che kich hoa
nhu sau:
“Ca nhan dUdc chia ra thanh hai ph&n cd ban: ca nhan
dUdc xem la ngUdi trinh dien, ngUdi co nhiem vu tao ra cac an
tudng trong suot qua trinh bieu dien; va ca nhan dUdc xem la
nhan vat, la kieu ngUdi dien hinh co tinh than, nghi liic va
nhting dac diem, pham chat ma ngUdi dien phai the hien. Cac
dac diem cua dien vien va cac dac diem cua nhan vat co trat
tu khac nhau, ve cd ban la nhu vay, nhung ca hai deu co y
nghia cua chung v6i tu cach la cuoc trinh diln phai xay ra.”1
Goffman chi ro, ca nhan co nhu cau va nhiem vu dieu
khien an tUdng, ttic la luon tim moi cach de dinh hudng, dan
dat va tao ra an tudng “tot dep” ve ban than minh d ngUdi
khac. Tren san khau cuoc ddi, trUdc mat ngUdi khac, ca nhan
the hien mot mat cua cai toi, la nhting gi ma nhting ngUdi do
v6i tu cach la cac khan gia mong ddi quan sat. Trong hau

1 Erving Goffman. The Presentation o f S e lf in E veryday Life, trong James

Farganis. Readings in Social Theory: The Classic Tradition to Post-
Modernism. M cGraw-Hill, Inc. 1993. Tr. 318.

348
trUdng, khi chi co mot minh, ca nhan the hien mot mat khac
cua cai toi, la nhiing gi ngUdi khac khong nhin thay, khong
biet. Luc do, ca nhan co the trd ve v6i chinh ban than minh,
khong can phai dieu khien an tudng cua ngUdi khac ve ban
than minh niia.
Vdi quan niem kich hoa nhu vay, Goffman da co cong
dem “trd lai khai niem vai cho san khau". Ong lam ro quan
niem cuoc ddi la san khau, moi tinh huong la mot canh, mot
doan kich trong do moi ca nhan the hien, dong vai dien cua
minh. Moi ca nhan deu hoc vai, chuan bi vai, vao vai, nhap
vai trong tiing canh d nha, tren dudng pho", tai van phong,
cong scf va trong tiing moi tiep xuc cu the v6i nhiing ngUdi
xung quanh. Vdi viec phan biet “san khau” va “hau triidng”,
Goffman chi ra sii khac nhau giiia hai bo mat cua “cdi toi”
cua moi ca nhan:
• Mot bo mat dUdc gi6i thieu cho moi ngUdi biet tren
san khau. Bo mat nay dUdc goi la vai dien hay bo
mat san khau.
• Mot bo mat chi dUdc the hien ci hau trUdng. Bo
mat nay chinh la tinh cach cua ca nhan hay bo
mat hau trUdng.
Bo mat hau trUdng hay “cdi tdi hau triidng” dUdc boc lo
qua nhiing hanh vi kho nhin thay doi vdi ngUdi ngoai, tham
chi bi che day. NhUng bo mat do lai the hien ro moi khi ca
nhan khong phai dong kich, moi khi khong phai gay an tUdng
doi v6i ngUdi khac.
Cau hoi xa hoi hoc tii goc do phUdng phap tiep can kich
hoa d day la: chuyen gi se xay ra neu nhiing gi tren san khau

349
trai ngUdc vdi nhiing gi cl hau trUdng? Chuyen gi se xay ra
neu nhiing gi trong hau trudng lai bi phdi bay tren san khau?
Goffman dua ra cau tra ldi chung la trong tinh huong dd ca
nhan de bi rdi vao tinh trang tien thoai lUdng nan, khung
hoang. De tranh tinh huong dd, Goffman cho biet, khong chi
moi ca nhan cd xu hudng phan biet va giQ gin de nhiing tinh
huong nhu vay khdng xay ra, ma ca xa hoi cung cd nhiing cd
che de bao ve cuoc song rieng tu cua moi ca nhan. “Git? the
dien” nhu cach ndi va phUdng cham song cua ngudi A Ddng
thuc chat la giQ khdng cho ngudi ngoai dung cham den “cdi
toi hau triidng” .
Goffman cho rang sdi chi dd xuyen suot moi tUdng tac xa
hoi la tudng tac xa hoi trUc tiep giiia cac ca nhan ma dng goi
la tudng tac xa hoi mat-doi-mat. Tudng tac xa hoi giiia cac
nhdm xa hoi hay cac to chiic deu phai dien ra thdng qua mdi
tUdng tac xa hoi trUc tiep mat-dol-mat. Theo Goffman dd la
qua trinh tudng tac xay ra khi hai hay nhieu ca nhan hien
dien vdi nhau. Ong cho rang bat ky moi tudng tac xa hoi nao
cung bao gom mot sd" thanh to" cd ban la: cac ca nhan rieng le
hoac nhdm cac ca nhan, cac moi tiep xuc trUc tiep hoac gian
tiep thdng qua phUdng tien, khung canh dien ra sU tudng tac,
cac hoat dong chinh va cac sii kien xa hoi.
Tom lai, thuyet tudng tac bieu trUng vdi cac luan
thuyet goc cua Cooley, Mead, Blumer va cac bien the mdi
cua nd dUdc coi la chu thuyet tieu bieu nhat cua kieu xa
hoi hoc My1. Bdi vi chu thuyet nay g in lien vdi triet hoc

1 Kent L. Sandstrom, Daniel D. M artin and Gan,' Alan Fme. Symbolic

Interactionism at the End o f the Century, trong George Ritzer and Barry

350
thiic dung (kieu My) phat trien tii cuoi the ky 19 va vdi
truyen thong van hoa (kieu My) de cao yeu to" ca nhan
(tinh tich ciic, chu dong, sang tao) trong moi quan he giiia
con ngUdi va xa hoi.
Trong so" cac ly thuyet xa hoi hoc, thuyet tiidng tac
bieu triing gan vdi hii6ng nghien ciiu xa hoi hoc ve con
ngiidi hdn ca. Hang loat cac khai niem cd ban cua xa hoi
hoc diidc xac dinh theo phiidng phap tiep can tiidng tac
bieu triing. Xa hoi diidc hieu la mot phiic the gom cac ca
nhan tiidng tac vdi nhau. Moi ca nhan diidc xem xet v6i tii
cach la mot cau true xa hoi vi mo gom cac thanh phan khac
nhau cua “cdi tdi” . Ngay ca moi quan he ben trong cua cau
true “cdi toi” cung chiia diing moi quan he giiia con ngUdi
va xa hoi. Cau true xa hoi vi mo dUdc xem xet du6i hinh
thiic mo'i tudng tac xa hoi cua cac ca nhan tac dong lin
nhau tren cd sd ly giai y nghia hanh dong cua nhau va
thong qua viec sii dung he thong cac ky hieu, bieu tudng.
Mot so" dac diem va tinh chat cua moi quan he giiia con
ngUdi va xa hoi dUdc thuyet tUdng tac bieu trUng xem xet
trong phiic the cac bo phan chu the-khach the, cac trai
nghiem, cac hinh anh ve ban than dUdc hinh thanh du6i
tac dong cua nhiing yeu to" xa hoi nhat dinh va boc lo trong
nhiing tinh huong xa hoi cu the.
Thuyet tudng tac bieu trUng co cong phat trien phUdng
phap tiep can vi mo trong xa hoi hoc hien dai ve nhom xa

Smart (eds). Handbook o f Social Theory. London: Sage Publications. 2001.

Tr. 217.

351
hoi, to chiic xa hoi va thiet che xa hoi. Cac tac gia thuyet
tudng tac bieu triing phat trien dUdc hang loat cac phUdng
phap nghien ciiu dinh tinh, phiidng phap nghien ciiu nhan
hoc dang diidc cac nha xa hoi hoc tim hieu va ap dung triet
de trong hoat dong chuyen mon nghe nghiep.

352
 Chtfdng

THinrfsT Ll/A CHON DUY LY

1. M ot so luan diem goc

Thuyet lUa chon duy ly1 trong xa hoi hoc co nguon goc tu:
triet hoc, kinh te hoc va nhan hoc the ky 18-19. Mot so" nha
triet hoc da tting cho rang ban chat con ngUdi la vi ky, luon
tim den sU hai long, sU thoa man va lang tranh noi kho dau.
Mot so nha kinh te hoc co dien tting nhan manh vai tro dong
luc cd ban ctia dong cd kinh te, dong cd ldi nhuan khi con
ngUdi phai ra quyet dinh lUa chon hanh dong. Vao nam 1908,
Joseph Schumpeter da dua ra khai niem “PhM ng phap luan
cd nhan” (.Methodological Individualism)2 de nhan manh dac
trUng thti nhat co tinh chat xuat phat diem cua su lUa chon

1 Thuyet liia chon duy ly con goi la thuyet liia chon hop ly (Rational-choice
Theory). M ot so' tac gia quan niem thuyet nay la mot trong hai hien the cua
thuyet trao doi, bien the kia la thuyet trao doi-nhan hoc. X em Gordon
Marshall. Oxford Dictionary o f Sociology. 2nd Edition. New York: Oxford
University Press. 1998. Tr. 209.
2 Theo Douglas D. Heckathorn. Sociological Rational Choice, trong George
Ritzer and Barry Smart (eds). Handbook o f Social Theory. London: Sage
Pubhcations. 2001. Tr. 274.

353
duy ly: cac ca nhan lUa chon hanh dong, sii liia chon la hanh
dong cua ca nhan.
Thuyet lUa chon duy ly dua vao tien de cho rang con
ngUdi luon hanh dong mot cach co chu dich, co suy nghi de
lUa chon va sii dung cac nguon luc mot cach duy ly nham dat
dUdc ket qua toi da vdi chi phi toi thieu. Theo Marx, muc dich
tu giac cua con ngUdi nhu la quy luat quyet dinh toan bo cau
true, noi dung, tinh chat, phUdng phap cua hanh dong va y
chi cua con ngUdi1.
Thuat ngii “Itfa chon” dUdc dung de nhan manh viec phai
can nhac, tinh toan de quyet dinh sii dung loai phUdng tien
hay cach thiic toi Uu trong so" nhiing dieu kien hay cach thiic
hien co de dat dUdc muc tieu trong dieu kien khan hiem cac
nguon luc. Cach hieu nay luc dau mang nang y nghia kinh te
hoc vi nhan manh yeu to" ldi ich vat chat (lai, ldi nhuan, thu
nhap). NhUng sau nay cac nha xa hoi hoc md rong pham vi
cua muc tieu bao gom cac yeu to" ldi ich xa hoi va tinh than.
Dinh de cd ban cua thuyet duy ly dUdc Homans dien dat
theo kieu dinh ly toan hoc nhu sau2: khi liia chon trong so cac
each hanh dong co the co, ca nhan se chon each nao ma ho cho

1 M arx viet: “Cuoi qua trinh lao dong, ngiidi lao dong thu dUdc cai ket qua
ma ho da hinh dung ngay t i dau qua trinh ay, t ic la da co trong y niem roi.
Con ngiidi khong chi lam bien doi hinh thai c ia n h in g cai do tu nhien cung
cap; trong n h in g cai do tu nhien cung cap, con ngtfdi cung dong thdi thiic
hien cai muc dich t i giac c ia minh, muc dich ay quyet dinh phiidng thic
hanh dong c ia ho giong nhii mot quy luat va b i t y chi' c i a ho phai phuc
tung no”. C. Mac va Ph. Angghen. Toan tap. Tap 23. Nxb Chinh tri quoc gia-
Su that. Ha Noi 1993. Tr. 267
2 George C. Homans. The Nature o f Social Science. N ew York: Harcourt,
Brace & World. 1967. Tr. 38-39

354
la tich (C) cua xac suat thanh cong cua hanh dong do (ky hieu
la P) vdi gia tri ma phan thudng cua hanh dong do (V) la 16n
nhat: C = (P x V) = Maximum.
Nhu vay, dinh de nay da khai quat hoa dac trUng thti hai
cua sU lUa chon duy ly, do la qua trinh toi Uu hoa1.
Tudng tU nhu Homans, John Elster dting cau noi co ve
ddn gian sau day da tom lUdc noi dung cd ban ctia thuyet lUa
chon duy ly. Thuyet nay cho biet: “Khi doi dien vdi mot so"
cach hanh dong, moi ngUdi thudng lam cai ma ho tin la co
kha nang dat dUdc ket qua cuoi cung tot nhat”2.
So vdi cac thuyet xa hoi hoc khac, thuyet lUa chon duy ly
dUdc phat trien manh trong kinh te hoc hien dai. Coi hanh vi
kinh te la hanh vi lUa chon mot cach duy ly, cac nha kinh te
hoc luon chu y den cac yeu to" vat chat nhu chi phi, gia ca, ldi
nhuan, ich ldi de giai thich hanh vi kinh te. Tti cach giai thich
nay, nhieu ngUdi suy luan ra de ly giai hanh vi xa hoi. Vi du,
doi vdi cau hoi: tai sao nhieu ngUdi tich cUc tap the due buoi
sang, ta co the noi den ly do dich vu y te dat nen can phai
cham soc stic khoe de khoi phai di kham chtia benh.
Alfred Marschal (1842-1924), nha kinh te chinh tri ngUdi
Anh, cho rin g ca nhan bi nhu cau tam ly ben trong thuc day

1 Douglas D. Heckathorn. Sociological Rational Choice, trong George Ritzer

and Barry Smart (eds). Handbook o f Social Theory. London: Sage
Publications. 2001. Tr. 275.
2 John Elster sinh nam 1940 b N a Uy, Giao sii khoa hoc chinh tri triidng
Dai hoc tong hdp Chicago, Giam doc nghien cdu cua Vien nghien ciiu xa hoi
Olso. M y. Tac pham chinh: N uts and Bolts for the Social Sciences.
Cambridge: CUP. 1989, The Cements o f Society. Cambridge: CUP. 1989;
Xem Malcolm W aters. Modern Sociological Theory. Sage Pubhcations Ltd.
1994. Tr. 80.

355
phai hanh dong, nhiing cai dinh hudng va dan dat hanh dong
lai la Ich ldi cua sii vat ben ngoai ca nhan. Cac ca nhan chi
tham gia vao quan he trao doi nhiing hang hoa nao co ich ldi
doi v6i ho. Marschal dua ra quy luat ich ldi giam dan cho biet
khi nao hang hoa khong con co ich ldi gi niia thi ngUdi ta cung
se khong tham gia vao quan he trao doi niia.
Giong nhu cac nha kinh te hoc, cac tac gia cua thuyet liia
chon duy ly coi con ngUdi la chu the ra quyet dinh mot cach
hdp ly trong dieu kien khan hiem nguon liic tren cd scJ xem
xet, danh gia ldi ich kinh te cua tiing cach liia chon.
Nha kinh te hoc noi tieng Paul Samuelson tiing nhan xet
ring, nhieu nha kinh te hoc phan biet kinh te hoc v6i xa hoi
hoc chi dua vao cach phan loai hanh vi duy ly va hanh vi phi
ly. Theo do, kinh te hoc nghien ciiu hanh vi duy ly, con xa hoi
hoc nghien ciiu hanh vi phi duy ly. Pareto cung da tiing phe
phan sU cach biet may moc nhu vay. Theo Pareto, kinh te hoc
khong nen chi tap trung vao nghien ciiu hanh dong logic (the
hien r5 nhat la hanh dong kinh te) ma can phai nghien ciiu ca
hanh dong phi logic (hanh dong phi kinh te)1.
George Homans nhan xet chi ly rang: trong rat nhieu cac

1 Thiic chat, hanh dong kinh te la hanh dong xa hoi, quan he kinh te la
quan he giiia ngUdi v6i ngUdi trong san xuat, trao doi. M oi quan he cua
hanh dong kinh te vdi hanh dong xa hoi, trao doi kinh te va trao doi xa hoi
diidc M arx nhan manh vao nam 1867. M arx viet: “H ang hoa khong the tii
minh di tdi thi trUdng va trao doi v6i nhau dUdc” va “Cho den nay, chung ta
chiia he biet mot quan he kinh te nao giiia ngiidi ta v6i nhau ngoai moi
quan he giiia nhiing ngUdi chu hang hoa, moi quan he trong do nhiing ngUdi
chu hang hoa chi chiem hiiu dUdc san pham cua ngiidi khac bang cach
chuyen nhiidng san pham cua minh”. C. Mac. Tii bdn: Phe phan khoa kinh
te chinh tri. (1867), trong C. M ac va Ph. Angghen. Toan tap. Tap 23. Nxb
Chinh tri quoc gia-Sii that. Ha Noi 1993. Tr. 132, 167.

356
phiidng phap tiep can hanh vi xa hoi, chi co tiep can kinh te
hoc la bi xem thiidng nhat, mac du trong moi ndi moi luc ta
deu sti dung no nhiing cti khi nao lam xa hoi hoc thi ta lai bo
quen no.
Thuyet liia chon duy ly doi hoi phai phan tich hanh dong
liia chon cua ca nhan trong moi lien he vdi ca he thong xa hoi
cua no bao gom cac ca nhan khac vdi nhting nhu cau va sii
mong ddi cua ho, cac kha nang liia chon va cac san pham dau
ra cua tting liia chon cung cac dac diem khac. Do tac dong cua
nhieu yeu to" nhu vay ma cac hanh vi liia chon duy ly cua cac
ca nhan co the tao ra nhting san pham phi ly khong mong ddi
cua ca nhom, tap the.
Thiic chat sii khac biet gitia tinh duy ly va tinh phi duy
ly, logic va phi logic chi la van de mtic do nhieu-it chti khong
phai la theo quy tac “hoac co hoac khong". Hien nay, cac khoa
hoc kinh te ngay cang noi nhieu tdi “tinh duy ly trong boc" ttic
la sii duy ly cd gidi han cua nd chti khong phai la sii duy ly
tuyet doi.
Hoc thuyet kinh te tan co dien cho rang ca nhan hanh
dong de dat dUdc ldi ich kinh te toi da. Dieu dd cd nghia la ca
nhan dUdc xem la ngUdi cd muc dich va mot khi da cd muc
dich thi ho liia chon moi phUdng tien can thiet de dat muc
dich. Tti dd nay sinh van de ldi ich xa hoi va cau hdi cd ban
cua xa hoi hoc kinh te la: lam the nao ma cac ca nhan vtia
theo duoi ldi ich ctia minh lai vtia tao ra dUdc toi da ldi ich cho
xa hoi?
Cd the tim thay cau tra ldi trong mot bien the noi tieng
cua ly thuyet liia chon duy ly. Dd la ly thuyet trd chdi do mot

357
so' nha kinh te hoc hang dau cua the ky 20 diing xay va phat
trien1. Thuyet nay nhan manh yeu to mong ddi hdp ly va cac
chien lUdc hdp ly giai quyet van de ma cac ben tham gia phai
phan tich, liia chon va ra quyet dinh hanh dong. Ve nguyen
tic, thuyet nay cho rin g moi ca nhan deu xuat phat tii dong
cd duy ly la liia chon hanh dong nao dem lai ldi ich ldn nhat
vdi nguy cd chi phi va thiet hai nho nhat. Nhung trong dieu
kien thieu thdng tin, thieu sii hdp tac tiic la thieu tinh xa hoi
nen tiing hanh dong liia chon duy ly cua ca nhan da ngan can
viec xuat hien mot giai phap, mot ket cuc tot nhat cho ca hai.
Harold Kelly va John Thibaut da dua ra “cdc ma tran phu
thuoc ldn nhau” de phan tich cac kieu ket hdp khac nhau cua
cac hanh vi ma cac thanh vien trong nhdm cd the xem xet, liia
chon va de phan tich nhiing cach ma cac ca nhan dd kiem
soat hanh vi cua nhau.
Cac vi du kinh dien cua thuyet trd chdi la nhiing tinh the
lUdng nan, cu the nhat la tinh the “song de pham nhan”'1. Gia
dinh rin g cd hai ngUdi bi nghi la cung tong pham mot toi va
bi hdi cung tiing ngudi mot, doc lap vdi nhau. Neu ca hai
ngUdi nay deu choi khdng nhan toi thi ca hai dUdc tha bo’ng.
Neu mot ngUdi choi toi va mot ngUdi nhan toi thi ngUdi choi
toi bi phat 10 nam tu va ngudi nhan toi bi phat 2 nam tu.
Neu ca hai cung nhan toi thi mdi ngUdi bi phat 5 nam tu.

1 John C. Harsanyi. ‘7 Vo chdi vdi thdng tin khong day du”; John F. Nash.
“L y thuyet trd chdi'\ Reinhard Selten. “Cdc md hinh trd chdi da giai doan vd
sieu tro chdi tri” trong Cdc thuyet trinh tai l i trao gidi thiidng Nobel v i khoa
hoc kinh te 1991-1995. Nxb Chinh tri quoc gia. Ha Noi. 2000. Tr. 207-364.
2 Guter Endruweit (chu bien). Cdc ly thuyet xa hoi hoc hien dai. Nxb The
gidi. Ha Noi. 1999. Tr. 224-225 ; Am artya Sen. Phat trien Id quyin tii do.
Nxb Tho’n g Ke. Ha Noi. 2002. Tr. 94, 307.

358
Theo thuyet tro chdi, moi ngUdi nay hanh dong mot cach duy
ly la se nhan toi de tranh bi hau qua nang ne nhat - tranh bi
phat 10 nam tu. Ket hdp ca hai cach hanh dong duy ly cua
tting ngUdi mot din den ket cuc chung la ca hai cung nhan toi
va moi ngUdi bi phat 5 nam tu. Thuyet tro chdi cho thay,
hanh dong duy ly ca nhan chi co the dem lai ket qua tot dep
cho cac ben tham gia khi cung nhat tri nhting “luat chcti”, vi
du trao doi thong tin, hdp tac cting co ldi, tin cay lan nhau.
Thuyet lUa chon duy ly dUdc phat trien trong linh vUc
chinh tri hoc va nhat la xa hoi hoc chinh tri. Nhting chu de
nghien ctiu nhu chinh sach cong, hang hoa cong, hanh vi b iu
cti va sU lUa chon chinh sach cong luon thu htit sU chu y,
quan tam hang dau cua cac nha chinh tri hoc, cac nha phan
tich chinh sach va cac chuyen gia ve hoat dong bau cti.
Trong linh vUc nhan hoc, Marcel M auss1 nhan manh ban
chat cua sU rang buoc va ich ldi ctia viec trao-nhan qua va cac
hinh thtic khac cua sU trao doi xa hoi. Dac biet, Mauss cho
ring quan he trao doi la mot loai quan he quyen lUc trong do
ngUdi nhan qua muon thoat khoi sU rang buoc thudng tim
cach trao lai mon qua khac, nhung vdi gia tri tUdng dudng2.

1 Marcel M auss (1872-1950). Ong hoc triet hoc cl dai hoc Paris va Dai hoc
Bordeaux. Tuy khong co hoc vi tien sy nhiing ong chuyen nghien ciiu ve xa
hoi hoc va nhan hoc xa hoi. Ong cung vdi cau minh la Emile Durkheim va
cac dong nghiep sang lap tap chi Annee Sociologique d Phap. Cong trinh ndi
tieng cua ong la Khao luan ve qua tang xuat ban nam 1925. Laurent
Mucchielli. H u yin thoai vd lich siicdc khoa hoc nhan van. Nxb The Gidi. Ha
Noi. 2006.
2 Khi nghien c iu ve qua tang, M auss cho ring: “Nguyen tic va muc dich cua
xa hoi hoc la nhan thay toan bo nhom va toan bo i n g x i c ia no” bang mot
phUdng phap so sanh chinh xac nh&m vao n h in g he thong nhat dinh tren
n h in g dia ban nhat dinh dUdc chon loc. M auss ket luan ring: “Cac xa hoi

359
Bronislaw Malinowski da tien hanh nhiing nghien ciiu quan
trong cho biet cuoc song cong dong co dac trUng cd ban la sii
trao-nhan qua, la moi tudng tac theo nguyen tac hai ben cung
co ldi. Khi nghien ciiu sU trao doi xa hoi, Malinowski phan
biet thiet che xa hoi quy dinh sU trao doi va ban than hanh vi
trao doi. Nhd thiet che trao doi gom cac chu&n miic co tac
dung rang buoc lan nhau giiia cac ca nhan tham gia trao doi
ma sU g in ket xa hoi dUdc cung co, duy tri.
Tam ly hoc, ma cu the nhat la thuyet tam ly hoc hanh vi,
da co nhiing dong gop quan trong doi vdi sU phat trien thuyet
lUa chon hdp ly ndi chung va thuyet trao do’i xa hoi ndi rieng.
Vi du, quy luat hieu qua cua tam ly hoc hanh vi cho biet,
trong tudng tac xa hoi, ca nhan cd xu hudng lap lai nhiing
hanh vi nao da dem lai cho ho sii thoa man. Cac luan diem cd
ban cua tam ly hoc hanh vi da dUdc mot so' nha xa hoi hoc van
dung triet de nhlm phat trien thuyet trao doi xa hoi d cap do
vi md - hanh vi xa hoi cua ca nhan.
Trong xa hoi hoc, Georg Simmel neu ra nguyen tic “cung
cd ldi" cua moi tUdng tac xa hoi giiia cac ca nhan va cho ring
mdi ca nhan luon phai can nhlc, toan tinh thiet-hdn de theo
duo’i muc dich ca nhan, de thoa man cac nhu c iu ca nhan.
Simmel cho rang moi moi tUdng tac giiia ngUdi vdi ngUdi deu
dua vao cd che cho-nhan tiic la trao do’i nhiing thii ngang gia
nhau. Nhu vay, xa hoi dUdc hieu la mang ludi cac quan he

da tien trien trong miic do ban than ho, cac phan nhom cua ho va cuoi cung
la cac ca nhan cua ho, da biet on dinh cac quan he cua ho, cho, nhan va cuoi
cung tra”. Marcel M aus. Khao luan v i qua tang, trong Boris Lojkine va
Benoit de Treglode. M o t so van d i v i xa hoi hoc vd nhan loai hoc. Nxb Khoa
hoc xa hoi. Ha Noi. 1997. Tr. 276, 279

360
trao doi giiia cac ca nhan.
Quan niem nay ve sau dUdc phat trien thanh ly thuyet
trao doi trong xa hoi hoc hien dai. Thuyet trao doi xa hoi coi
tUdng tac xa hoi nhu la sU trao doi hang hoa, dich vu giuta cac
ben tham gia. Moi ben luon xem xet chi phi bo ra va nguon ldi
thu ve cua tiing mon hang, tiing dich vu trUdc khi dem chung
ra trao doi v6i nhau.
Trong so" cac bien the cua thuyet liia chon duy ly trong xa
hoi hoc hien dai, dang chu y nhat phai ke den ly thuyet trao
doi xa hoi do George Homans xay diing tren cd sd nghien ciiu
hanh vi xa hoi d cap vi mo la ca nhan va nhom nho, va ly
thuyet trao doi xa hoi do Peter Plau dua ra tren cd sd phUdng
phap tiep can cau true xa hoi d cap do vi mo - nhom 16n.
Thuyet liia chon duy ly khong phai chi giai thich hanh
dong xa hoi tren cap do vi mo - hanh dong ca nhan, mac du no
con co ten goi la thuyet hanh dong lUa chon duy ly. Thuyet nay
dUdc xay diing, phat trien de xem xet hoat dong chiic nang cua
cac he thong va thiet che kinh te, xa hoi, tiic la tren cap do vi
mo. No dUdc dung lam phUdng phap tiep can hanh dong cua ca
nhan, cua nhom va chiic nang cua ca he thong cung nhu la cac
moi lien he chiic nang giiia ca nhan, nhom va he thong. Tren
thuc te, thuyet liia chon hdp ly v6i cac bien the cua no chu yeu
dUdc trien khai tren nhieu cap do tii hanh dong xa hoi cua ca
nhan den chiic nang cua he thong xa hoi va moi tudng tac giiia
ca nhan, nhom, thiet che va he thong xa hoi. Nhd vay, doi vdi
cau hoi cd ban cua xa hoi hoc: cai gi tao nen sii trat tii xa hoi,
cac tac gia cua thuyet nay da dua ra cau tra ldi kha ro rang. Do
la sii liia chon hdp ly, sii trao doi xa hoi co kha nang tao diing
va duy tri sii on dinh, trat tu xa hoi.

361
 Trong nhiing nam gan day, thuyet lUa chon hdp ly thu
hut dUdc nhieu sU quan tam nghien ciiu den miic ma nha xa
hoi hoc Neil Smelser ghi nhan rin g do la mot chu de trong
tam khong nhiing cua ly luan xa hoi hoc ma con cua cac khoa
hoc xa hoi khac trong thap nien cuoi cua the ky 20. C) day co
ly do lien quan tdi phUdng phap luan nghien ciiu xa hoi hoc.
James Coleman cho rang, siic hap dan cua thuyet liia chon
hdp ly la b ch§ mot khi thiet che xa hoi hay mot qua trinh xa
hoi nao dUdc xem xet tii goc do hanh dong duy ly cua ca nhan
thi luc do ta co the noi rang chung da dUtfc “giai thich"; va
ban than thuat ngii “hanh dong duy ly” da cho ta biet la hanh
dong do “cd the hieu diidc" ma khong can phai hoi gi them1.
Su kien noi bat danh dau sii hoi sinh, sU trd lai cua thuyet
lUa chon duy ly la viec ra ddi mot tap chi m6i cua cac nha xa
hoi hoc nam 1989. Do la tap chi Tinh duy ly vd xa hoi
(Rationality and Society) do James Coleman lam tong bien tap.

2. L y thuyet h an h v i liia ch o n cu a G eorge H om ans

George Homans (1910-1989), nha xa hoi hoc ngUdi My,
mot trong cac tac gia cua ly thuyet trao doi xa hoi, noi tieng
vdi chu trUdng dua con ngUdi trd lai xa hoi hoc. Ong nghien
ciiu tieng Anh chii khong phai la xa hoi hoc d trUdng Dai hoc
Tong hdp Harvard. Ong co y thiic r5 ve vai tro cua moi tudng
tac trUc tiep giiia cac ca nhan va quan tam tim hieu cac dac
diem cua moi tUdng tac xa hoi d cap do vi mo hdn la cac dac
diem cua ca he thong xa hoi, cap do vi mo. Noi ve viec hoc tap

‘James Coleman. Individual Interest and Collective Action. N ew York:

Cambridge University Press. 1986.

362
b triidng Dai hoc Tong hdp Harvard, Homans cho biet: ong
hoc cach “/am xa hoi hoc” nhieu hdn la hoc ly luan xa hoi hoc
va khong co cong viec gi ma ong co the lam tot hdn la viec
nghien ctiu xa hoi hoc d triidng Dai hoc Tong hdp Harvard.
Mac du chUa bao gid theo hoc chUdng trinh tien sy xa hoi
hoc va cung chUa co hoc vi tien sy nhung Homans v ln dUdc
bau lam chu tich Hoi Xa hoi hoc My nam 1964, dUdc phong
giao sU danh du cua trUdng Dai hoc Tong hdp Harvard nam
1988. Dieu nay cho thay Homans co uy tin khoa hoc ldn trong
cong dong cac nha xa hoi hoc.
Trong so" nhiing ngUdi co anh hUdng ly luan tdi Homans
can phai ke tdi Elton Mayo - nha tam ly hoc xa hoi noi tieng
vdi cac cuoc nghien ctiu thiic nghiem trong nhiing nam 1930.
Sau The chien thii hai, Homans cung lam viec vdi Talcott
Parsons d Khoa Lien nganh cac quan he xa hoi, Dai hoc Tong
hdp Harvard. NhUng b dd Homans luon dem phUdng phap
tiep can xa hoi hoc vi mo - ca nhan chong lai ly luan xa hoi
hoc vi mo - he thong xa hoi cua Parsons. Ong cho rin g moi ly
thuyet xa hoi hoc khong lo thiic chat deu la xa hoi hoc ve
nhdm va cac hien tudng xa hoi can dUdc giai thich bang cac
dac diem cua ca nhan chii khong phai b in g cac dac diem cua
cau true xa hoi1.
Homans da tham du cuoc hoi thao ve Pareto khi ma d My

1 Nicholas Abercrombie et al. The Penquin Dictionary o f Sociology. 3rd

Edition. England: Penguin Books Ltd. 1994. Tr. 201; David Jary and Julia
Jary. The HarperCollins Dictionary o f Sociology. Harper Collins Pubhshers,
Ltd. 1991. Tr. 215; Gordon Marshall. Oxford Dictionary o f Sociology. 2nd
Edition. New York: Oxford University Press. 1998. Tr. 281.

363
con rat it ngiidi biet den Pareto la ai va ong da co cong gidi
thieu xa hoi hoc cua Pareto vdi nen xa hoi hoc My. Quan niem
xa hoi hoc kinh te cua Pareto cd anh hudng ro ret tdi Homans
trong viec xay dung cac quy luat xa hoi hoc theo kieu dien
dich. Ngoai cac khai niem kinh te hoc, Homans khai thac
triet de cac quy luat tam ly hoc de giai thich hanh vi cua
nhdm nhd va hanh vi xa hoi cua ca nhan. Hai cong trinh
nghien ciiu quan trong nhat trong dd ong trien khai xay dung
ly thuyet trao doi xa hoi la cuon: Nhom ngiicfi (The Human
Group) (1950) va Hanh vi xa hoi: cdc hinh thiic sc? ddng cua
no (Social Behavior: Its Elementary Forms) (1961).
Mot so dinh d i hanh vi duy ly. Khac han cac nha chiic
nang luan, Homans cho rin g cach ly giai hdp ly nhat doi vdi
hien tUdng xa hoi la cach giai thich tam ly hoc va cac nguyen
ly tam ly hoc phai la nhufng nguyen ly goc cua cac khoa hoc xa
hoi trong dd cd xa hoi hoc. Homans phe phan thuyet chiic
nang vi thuyet nay da coi nhe tham chi da khudc tii tam ly
hoc, do vay, khd cd the viia dua ra nhufng quy luat chung,
khai quat viia giai thich mot cach thiic sii xa hoi hoc ve hanh
vi xa hoi cua ca nhan. De k h ic phuc tinh trang han che dd,
Homans chu trUdng “trd lai con ngiidi cho xa hoi hoc” 1.
Hanh vi xa hoi sd din g dUdc Homans dinh nghia la hanh
vi ma con ngUdi lap di lap lai khong phu thuoc vao viec nd cd
dUdc hoach dinh hay khong. Hanh vi xa hoi sd d in g diln ra
dudi nhieu hinh thiic tut phan xa cd dieu kien den ky nang, ky
xao den thdi quen. Hanh vi xa hoi sd dang la cd sd cua su trao

1 George Homans. Bringing M en Back In. American Sociological Review. 29.

No. 5. 1964.

364
 doi xa hoi giufa hai hay nhieu ngUdi.
Homans chi ra ba dac triing cd ban cua hanh vi xa hoi.
Mot la hien thiic hoa - hanh vi phai diidc thiic hien tren thiic
te chii khong phai trong y niem. Hai la hanh vi do diidc khen
thudng hay bi trufng phat tu( phia ngiidi khac. Ba la ngiidi
khac cl day phai la nguon cung co" triic tiep doi vdi hanh vi chut
khong phai la nhan vat trung gian cua mot cau true xa hoi
nao day. gi
Homans cho rang “md hinh liia chon-duy ly” cua hanh vi
ngUdi tUdng thich mot phan nao do vdi cac dinh de cua tam ly
hoc hanh vi. Su trao doi xa hoi va moi quan he giufa cac ca nhan
thiic chat la sii trao doi lap di lap lai giiia ho vdi nhau. Homans
dua ra mot so" dinh de cd ban ve hanh vi ngudi nhu sau1:
• Dinh d i phan thiidng-. doi vdi tat ca cac hanh dong
cua con ngUdi, hanh dong nao cang thudng xuyen
dUdc khen thudng thi cang cd kha nang dUdc lap lai.
• Dinh d i kich thich: neu mot (nhdm) kich thich nao
trUdc day da tiing khien cho mot hanh dong nao
day dUdc khen thudng thi mot (nhdm) kich thich
mdi cang giong vdi kich thich dd bao nhieu thi
cang cd kha nang lam cho hanh dong tudng tu
nhu trUdc day dUdc lap lai bay nhieu.
• Dinh d i gid tri, ket qua cua hanh dong cang cd
gia tri cao doi vdi chu the bao nhieu thi chu the
dd cang cd xu hudng thiic hien hanh dong dd

1 Co ngtfdi khoac cho cac dinh de nay cai ten chung la “ly thuyet hoc tap”,
nhufng Homans bao goi ten nha vay la sai. George C. Homans. The Nature
o f Social Science. New York: Harcourt, Brace & World. 1967. Tr. 36-38.

365
 bay nhieu.
• Dinh de duy ly, ca nhan se lUa chon hanh dong
nao ma gia tri cua ket qua hanh dong do va kha
nang dat dUdc ket qua do la ldn nhat.
• Dinh de gid tri suy giam (nham chan), cang
thudng xuyen nhan dUdc mot phan thUdng nao do
bao nhieu thi gia tri cua no cang giam di bay
nhieu doi vdi chu the hanh dong.
• Dinh de mong ddi: neu sU mong ddi cua con ngUdi
dUdc dap iing, thuc hien thi ngUdi ta se hai long,
con neu khong dUdc thuc hien thi ca nhan se bUc
tiic, khong hai long.
Nhiing dinh de neu tren cang cd tinh hien nhien bao nhieu
thi cang chting to chung hieu nghiem bay nhieu khi van dung
de giai thich hanh vi xa hoi va moi tUdng tac giiia cac ca nhan.
Mac du chi cd dinh de thii tu trUc tiep ndi ve tinh duy ly,
nhung tat ca cac dinh de nay cho thay con ngUdi la mot chu the
duy ly trong viec xem xet va lUa chon hanh dong nao cd the
dem lai phan thudng ldn nhat va cd gia tri nhat. Dang chu y la
con ngudi luon cd xu hudng nhan boi gia tri cua ket qua hanh
dong vdi kha nang hien thuc hoa hanh dong dd. Cd nghia la con
ngUdi se quyet dinh lUa chon mot hanh dong nao day ngay ca
khi gia tri cua nd thap nhung dUdc bu lai, ho chon hanh dong
dd vi tinh kha thi cua nd rat cao.
Tuy nhien, mot mat, can thay rang sii lUa chon chi hdp ly
tren cd sd danh gia cac yeu to, dieu kien khach quan cua
hanh dong tii phia ban than chu the, tii goc do chu quan cua
ngUdi ra quyet dinh chii khd cd the dua vao nhiing tinh toan

366
chinh xac. Day chinh la diem cot loi mang tinh than tam ly
hoc hanh vi cua thuyet trao doi xa hoi d cap do xa hoi hoc vi
mo. Mat khac, can chu y rang gia tri cua ket qua, gia tri cua
phan thudng va ca sii mong ddi cua moi ca nhan b&t nguon tii
he chuan mUc xa hoi, tii phong tuc, tap quan, truyen thong.
Do vay, thuyet trao doi xa hoi cua Homans co kha nang vUdt
qua dUdc sU han che cua sU duy ly kinh te khi cho rang hanh
vi xa hoi con bi quy dinh bdi nhiing yeu to" tinh than, van hoa.
Dua vao nhiing dinh de da neu, Homans dua ra mot quy
tSc ve sU cong b&ng cd the ap dung cho moi xa hoi. Quy tac dd
cho biet, con ngUdi rat quan tam tdi viec phan thudng cua ho
cd tUdng xiing vdi sU dau tu va ddng gop cua ho khong. Ndi
cach khac sU bat cong xa hoi nhieu hay it phu thuoc vao miic
do tUdng quan ti le nghich giiia ba yeu to" dd: phan thudng, chi
phi va sii ddng gop. Mot khi thay phan thudng cang ldn ma
chi phi va ddng gop cang nhd thi moi ngUdi cam thay cang bat
cong. Ro rang la sii danh gia moi tUdng quan dd phu thuoc rat
nhieu vao cach nhin nhan chu quan cua moi ca nhan. Nhu
vay la, Homans da dUa chu yeu vao tam ly hoc ca nhan, tam
ly hoc nhdm de dUa ra quan niem xa hoi hoc vi mo ve mot
hien tUdng xa hoi dac thu la sU cong b&ng xa hoi.
Quyin Itic duy ly. Homans coi quyen luc la kha nang
dem lai nhiing phan thudng cd gia tri. Do vay, ong cho rin g
quyen luc phu thuoc vao mute do khan hiem cua cac nguon
lUc va tuan theo quy luat cung-c&u nhu trong linh vUc kinh
te" thi trUdng. Mot ca nhan cd quyen luc cd nghia la ca nhan
dd cd mot thii gi dd cd gia tri dudi dang hien vat hay tinh
than ma ngUdi khac khong cd hoac cd it va mong muon cd
hoac cd them.

367
 Vdi nghia nhu vay, quan he quyen liic cung la quan he
trao doi co the boc lo dudi hai hinh thtic sau day:
• Mot la, quyen luc cUdng che. Trong quan he quyen
liic cUdng che, ngUdi nay co kha nang trting phat
ngUdi kia bin g cach tudc doat phan thiidng co gia
tri cua ngiidi kia;
• Hai la, quyen liic khong ciidng che. Trong quan he
quyen liic nay, ca hai ben deu co kha nang chia se
phan thiidng vdi mtic do nhat dinh.
Giong nhii cac nha tam ly hoc hanh vi, Homans cho rang,
hinh thtic quyen liic phi ciidng che pho bien hdn va hieu
nghiem hdn quyen liic ciidng che". Sii trting phat de gay ra
phan ting tieu ciic con sii khuyen khlch, khen thiidng de tao
ra sii hai long va kieu hanh vi tich ciic theo hiidng da xac
dinh. Nhin chung, ly thuyet liia chon duy ly ctia Homans chu
yeu noi tdi hanh vi ca nhan va tiidng tac xa hoi trong cau trtic
xa hoi vi mo.
) it

3. L y th u y e t tra o d o i x a h o i c u a P e t e r B la u
Khai niem trao doi xa hoi
Khac vdi Homans, Blau quan tam nghien ctiu sii trao doi
xa hoi trong moi quan he vdi cau true xa hoi vi mo. NhUng
giong vdi Homans, Blau cho rang1: can phai nghien ctiu cac

1 Trong cuon sach Trao doi vd quyen liic trong dai song xa hoi (1964), Peter
Blau viet: “Cac qua trinh xa hoi cd ban chi phoi cac moi hen he giuta con
nguldi co nguon goc trong cac qua trinh tam ly, vi du nhu! cac qua trinh cd sd
cua s ic hap dan g iia cac ca nhan vdi nhau va cac mong muon dUdc nhan
cac phan thiidng khac nhau... Cac qua trinh cua sU hap dan xa hoi, vi vay,

368
qua trinh ddn gian co san, “dd cho” trong cac moi tUdng tac xa
hoi hang ngay cua cac ca nhan. Do la xuat phat diem de hieu
cau true xa hoi phiic tap va cac quan he xa hoi phiic tap ke ca
quan he quyen liic. Blau cho rin g sii trao doi xa hoi chi la
mot khia canh, mot mat cua hanh vi xa hoi nhung lai co vai
tro dac biet quan trong doi v6i sii hoi nhap, doan ket, thong
nhat xa hoi tiic la lam cho ca nhan gan ket vdi nhom, tao
thanh nhom xa hoi.
So sanh vdi trao doi kinh te, Blau cho rang trao doi xa
hoi co hai chiic nang cd ban: mot la tao ra mo’i quan he gin
ket, thien chi, tin cay, nhat tri trong xa hoi va hai la tao ra
moi quan he quyen liic giiia cac ben tham gia trao doi. NhU
vay, trao doi xa hoi co vai tro tao diing va phat trien he cac
gia tri, chuan miic cua nhom, to chiic va cong dong.
Ngoai sii khac nhau ve chiic nang, trao doi xa hoi co mot
so" dac trUng chu yeu sau day:
• Mot la, trao doi co gia tri noi sinh - mot so" quan
he trao doi xa hoi co gia tri tu than ma cac ben
tham gia san sang cho-nhan khong ngang gia
nhau. Vi du, tren thiic te" rat kho lUdng gia cung
nhu cac ben kho co the mong chd lay phan hdn
trong nhiing moi quan he nhu tinh yeu, tinh ban,
tinh anh em ruot thit.
• Hai la, trong trao doi xa hoi cac ben tham gia luon

da keo theo cac qua trinh cua sii trao doi xa hoi... Cac qua trinh trao doi,
sau do, lam nay sinh sU phan hoa quyen luc”. Trong James Farganis.
Readings in Social Theory: The Classic Tradition to Post-Modernism.
McGraw-Hill, Inc. 1993. Tr. 252.

369
 co xu hudng tao ra an tiidng tot dep vdi nhau theo
hai nghia: mot la, tao ra an tiidng co kha nang
dem lai mot phan thiidng nao do cho nhau; va hai
la, tao ra an tUdng la chi can co sii hien dien cua
nhau la du thay thoai mai, de chiu.
Dieu nay tUdng tu cd che “dieu khien an tiidng” ma
Erving Goffman da neu ra. VI du, Goffman cho rang de gay
an tudng co ldi ve minh, ngUdi ta co the co tinh tao ra khoang
cach can thiet trong quan he, hoac co tinh cho thay la chi co
ho mdi co kha nang thiic hien dUdc mot cong viec nhat dinh
nao do. Day la dac diem lam cho su trao doi xa hoi khac han
vdi sii trao doi kinh te.
• Ba la, sii trao doi xa hoi ngang vi the. Vi the d day
dUdc hieu la sii thtia nhan cua ngUdi khac, la sU
ton trong ma mot ngUdi nhan dUdc tu; ngUdi khac.
Blau cho rang quan he thiic sii la quan he “x a h o i”
dem lai sU de chiu, thoai mai, tu nguyen chu yeu
la quan he dien ra giiia nhting ngUdi ngang b&ng
nhau ve vi the xa hoi. Theo ong, quan he bat binh
9 f)

dang ttic la sU trao doi gitia cac ben khong ngang

nhau ve vi the se dd cang thJing hdn neu su bat
binh dSng la co that va dUdc nhan thtic mot cach
rd rang.
• Bon la, lam cho trao doi xa hoi khac trao doi kinh
te la sii thoa thuan ngam, hieu ngam va sU chd
ddi ngam nhting gi se dUdc nhan lai khi dem trao
cai gi do cho ngudi khac. Trong quan he kinh te,
nhting gi dUdc dem ra trao doi deu dUdc xac dinh
ro gia tri bang gia ca va thong qua cd che mac ca.

370
 Nhiing trong trao doi xa hoi, cach xac dinh gia tri
dUdc thuc hien mot cach ngam ngam d moi ben.
Giong nhii cac tac gia khac cua thuyet liia chon duy ly,
Blau coi nguyen tac “cung co lefi” la cd che goc cua cac tUOng
tac xa hoi, la chuan mile xa hoi cd ban quy dinh va dieu tiet
moi quan he tiidng tac va hanh vi trao doi.
Tiidng til nhu Homans, Peter Plau cho rang cac ca nhan
luon co xu hudng tu so sanh sU dau tu cua ho vdi phan thudng
ho nhan dUdc. Moi ben trong trao doi xa hoi chi cam thay
cong b^ng khi dUdc xem xet va danh gia sU cong bang do va
nhat la chi thay su cong bang khi so sanh ban than ho v6i
nhiing ngUdi khac.
NhUng, khac vdi Homans chu yeu nghien ciiu sii trao doi
trUc tiep giiia cac ca nhan trong nhom nho, Blau md rong cap
do nghien ciiu sii trao doi xa hoi sang thiet che xa hoi va cho
ring trong to chiic 16n, trong thiet che va he thong xa hoi 16n
trao doi khong dien ra trUc tiep ma gian tiep. Thong qua sii
trao doi gian tiep, cac ca nhan nhan dUdc sii ung ho til nhieu
ngUdi khac nhau va doi lai cac ca nhan phai thoa hiep va
chap nhan nhiing gia tri, chuan miic chung.

Trao doi xa hoi vd quyen luc

Yeu to' cot loi cua sii trao doi xa hoi la sii phu thuoc cua
ca nhan nay vao ca nhan kia ve san pham, hang hoa hay dich
vu nhat dinh nao do ma ho cho la can thiet, la co gia tri va
mong muon trao doi.
Blau quan niem rin g sii trao doi xa hoi chiia diing yeu to'
quyen liic va quan he trao doi la cd sd lam nay sinh quan he

371
quyen luc1. Rat giong vdi quan niem cua Weber ve quyen lUc,
Blau cho rin g quyen luc la kha nang thuc hien y chi cua
minh ngay ca khi co sU chong cU cua ngUdi khac2. Xet trong
linh vUc trao doi xa hoi, quyen luc dUdc Blau hieu la kha
nang cua ca nhan hay kha nang cua ca nhom ngUdi trong viec
ap dat y chi cua minh doi vdi ngUdi khac bat chap sU chong
doi cua ho thong qua viec cung cap phan thudng hay tudc
doat nhiing phan thudng ma ho co the dUdc hUdng hoac tien
hanh triing phat ho.
Thuyet mau thuln va thuyet chiic nang thudng nhan
manh yeu to" doc quyen, tinh chat mot chieu cua quan he
quyen luc, tiic la bo mat thii nhat cua quyen luc. Thuyet trao
doi xa hoi, cu the d day la ly thuyet cua Blau, luon coi quan
he quyen lUc la quan he tUdng tac nhieu chieu. Trong do
ngUdi co quyen lUc khong nhiing chi phoi, tac dong ma con bi
phu thuoc vao ngUdi khong co quyen luc vdi nghia la neu

1 Peter Blau viet: “M ot ngUdi co cac dich vu ma nhiing ngiidi khac can, va
ngUdi do khong phu thuoc vao ho ve bat ky cai gi, thi co quyen liic doi vdi
nhiing ngiidi dd b ln g cach dap iing nhu cau cua ho mot cach phu hdp vdi ddi
hdi cua ho. Nguyen ly nay dUdc ap dung do'i vdi moi quan he than thiet nhat
cung nhu la doi vdi moi quan he xa hoi xa la nhat”; Peter Blau. The
Structure o f Social Associations, trong Farganis. Readings in Social Theory:
The Classic Tradition to Post-M odernism. M cGraw-Hill, Inc. 1993. Tr. 252.
2 Peter Blau viet: “Cd sii khac biet can ban giiia dong thai quyen liic trong
tinh huong tap the vdi quyen liic cua ca nhan nay dd'i vdi ca nhan khac. Sii
yeu the cua mot ngUdi dudi quyen co doc han che y nghia quan trong cua
viec chap thuan hay khong cua ngiidi dd doi vdi ngiidi cd quyen. Sii thoa
thuan nay sinh trong tap the nhiing ngudi diidi quyen hen quan tdi sii phan
xet cua ho do’i vdi ngudi cd quyen, m at khac, cd y nghia rong ldn do’i vdi
nhiing sii phat trien trong cau true xa hoi”; Peter Blau. The Social
Associations, trong James Farganis. Readings in Social Theory: The Cldssic
Tradition to Post-Modernism. M cGraw-Hill, Inc. 1993. Tr. 254.

372
khong co ngudi dudi quyen thi y chi cua ngUdi co quyen khong
the trd thanh hien thuc.
DUa tren so" lUdng ngUdi tham gia trao doi, Blau chi ra
dac diem khac nhau giiia quan he quyen luc cua ca nhan vdi
nhau va quan he quyen luc cua ca nhan vdi nhom, cua nhom
vdi nhom1. Tinh chat bat binh dang, mat can do"i cua quyen
lUc the hien ro nhat trong nhdm hai ngUdi: ngUdi cd quyen ap
dao ngUdi dudi quyen va su phan ting cua ngUdi dudi quyen cd
y nghia rat han che" doi vdi dong thai cua quan he quyen lUc.
Tinh hinh khac h&n do"i vdi loai quyen lUc trong nhdm dong
ngUdi. Su chap thuan quyen luc tti phia nhting ngUdi dudi
quyen chu yeu la dua vao su tinh toan, can nhac thay cd ldi
trong viec chap hanh menh lenh cua nhting ngUdi dudi quyen.
Viec cap dudi thi hanh menh lenh cua cap tren khong nhting
co y nghia hdp phap hoa quyen liic ma con tao ra sU ting ho
va cam giac chiu dn ctia ngudi dudi quyen doi vdi ngudi nam
quyen lUc.
Blau cho biet, cung vdi viec ngUdi cd quyen luc tim moi

1 Peter Blau viet tiep: “Su chap thuan tap the doi v6i quyen liic hdp phap
hoa quyen liic do. Nhiing ngUdi nao nhan thay n h in g ldi the ma ho gianh
diidc t i phia ngiidi co quyen liic nhieu hdn han so vcfi nhiing kho khan kem
theo nhiing yeu cau t i phia ngiidi co quyen hie thiidng co xu hudng trao doi
v6i nhau ve sii chap thuan va cam giac chiu dn doi v6i ngudi co quyen
liic...“Sii khiidc t i tap the doi vdi quyen liic de ra sU chong doi. N h in g ngUdi
nao cam thay bi boc lot do s i doi hoi bat cong c ia n h in g ngiidi n&m g ii
quyen liic va dd sii khen thudng khdng day du ma ho nhan diidc so vdi dong
gop cua ho thUdng co xu hudng chia se cam giac buc tic , kho chiu va phan
no c ia ho vdi nhau. Dd do xuat hien y muon tra d ia b ln g cach danh do
n h in g quyen liic do”. Peter Blau. The Structure o f Social Associations, trong
James Farganis. Readings in Social Theory: The Classic Tradition to Post-
Modernism. M cGraw-Hill, Inc. 1993. Tr. 254.

373
cach de cung co vi tri quyen luc, nhiing ngUdi diidi quyen co
xu hiidng hdp ly hoa va thiia nhan tinh xac dang cua quan he
quyen liic va san sang chap nhan mot cach tU nguyen sii chi
huy cua ngUdi cd quyen liic de doi lai ho nhan dUdc sii ung ho,
nhat tri, on dinh va thong nhat cua ca nhom. Hien tUdng nay
trong xa hoi hoc goi la sii hcfp phap hod quyen liic, thong qua
nd quyen lUc trd thanh quyen uy, thanh quyen thong tri hdp
phap trong xa hoi.
NgUdc lai, sU khudc tii, khong dong y cd tinh chat tap the
doi vdi quyen luc la nguyen nhan gay ra nhiing phan iing
chong lai nhiing ngUdi n&m giQ quyen lUc trong nhdm.
NhU vay, trong quan he ca nhan, nhat la quan he giiia
hai ngUdi vdi nhau, quyen lUc chu yeu hoc lo qua bo mat thd
nhat cua nd: bo mat cUdng che mot chieu. Trong quan he trao
doi xa hoi gom nhieu ngUdi vdi nhau, quyen lUc the hien
nhieu bo mat khac nhau. Su trao doi xa hoi cua nhdm tao ra
he cac gia tri va chuan miic giup cho sU hdp phap hoa, hdp
thiic hoa, thiet che hoa quan he quyen luc. Cac ca nhan thanh
vien viia thay can thiet phai thuc thi menh lenh, viia thay
lam nhu vay la dung, la xac dang viia coi ngudi cd quyen dUdc
la ngUdi cd kha nang ra lenh. Trong trUdng hdp nhu vay,
quyen liic cd nhieu bo mat khac nhau nhu bo mat cUdng che,
bo mat hdp phap, bo mat quyen uy, bo mat ban dn. Dieu nay
cung xay ra doi vdi cac qua trinh tudng tac dudi hinh thiic hoi
nhap xa hoi, phan hoa xa hoi, canh tranh, hdp tac va ca doi
dau, xung dot xa hoi.
Blau cho thay, trong trao doi xa hoi, quyen liic la thii cd
the dem trao doi de lay thii khac. Do dd, ngUdi cd quyen luc
van can phai quan he, tUdng tac vdi ngUdi khac de nhan dude

374
nhiing thii can thiet va co gia tri. Dac biet, de thiic thi quyen
liic cUdng che cac ca nhan, nhom co the co" tinh tao ra nhiing
lech lac hoac bop meo sii that hay tao ra nhiing hang rao can
trd sii cd dong, nang dong xa hoi nhim duy tri quan he quyen
liic, nhat la de cung co" vi tri trong cau true thang bac quyen
liic trong xa hoi.
Ta co the lay vi du ve viec sii dung quyen liic lam vat
trao doi nhu sau. Tim hieu thu tuc phap ly lien quan den viec
hanh nghe y, dUdc hay kinh doanh co the thay: viec tao ra ho"
ngan cach ve mat phap ly, ve mat thu tuc xin giay phep hanh
nghe chu yeu la de duy tri, cung co" vi tri va uy tin cua nha
chuyen mon trong nhiing linh vUc nghe nghiep cu the.
Trao doi xa hoi: cau true vi mo vd cau true vi mo
Blau khong nhiing phan biet hinh thai quyen liic trong
nhom hai ngUdi v6i quyen lUc trong nhom dong ngUdi ma con
phan biet hai loai cau true xa hoi. Cu the nhu sau:
• Mot la, cau true xa hoi vi mo (Social Microstructure)
bao gom cac ca nhan tudng tac vdi nhau tao thanh.
• Hai la, cau true xa hoi vi mo (Social Macrostructure)
bao gom cac nhom tUdng tac v6i nhau tao thanh1.
Hai hinh thai cau true nay deu co nhiing dac diem giong

1 Peter Blau phan biet cau true vi mo (Microstructure) va cau true vi mo

(Macrostructure) cua xa hoi nhu sau: “Dac trUng cua cac cau true xa hoi
phiic tap la d chd cac yeu to' cau thanh cua chiing cung la cac cau true xa hoi.
Chiing ta co the goi cac cau true nay cua cac nhom tUdng quan veil nhau la
“cac cau true vi mo” va cau true xa hoi tao thanh tit ca nhan tiidng tac vdi
nhau la “cac cau true vi mo”. Trong James Farganis. Readings in Social
Theory: The Classic Tradition to Post-Modernism. McGraw-Hill, Inc. 1993.
Tr. 255..

375
nhau, tudng tu nhau do cung b it nguon tti cac qua trinh hap
din xa hoi, trao doi xa hoi va sU chong doi, mau thuan gitia cac
ca nhan va gitia cac nhom1. Dong thdi, Blau chi ra nhting diem
khac biet cd ban gitia hai loai cau true nay. Khac v6i cau trtic vi
mo, cau trtic vi mo luon co mot so" loai yeu to" dac thti nhu sau:
• Thti nhat, cau true xa hoi vi mo dUdc hinh thanh
tren cd sd cua sU nhat tri ve he cac gia tri, chuan
mUc chi phoi cac hanh dong va quan he gitia cac
yeu to tao thanh cau trtic;
• Thti hai, cau trtic xa hoi va mo luon bao gom cac
mo’i lien he phtic tap cua cac cau trtic bo phan va
cac cau trtic vi mo, vi du cac nhom, to chtic;
• Thti ba, cau true vi mo co tmh ben vting nhd chtia
dung cac thiet che" xa hoi nay sinh va phat trien
trong no va hdp phap hoa no2.

1 Blau viet rin g: Co mot so" diem giong nhau giufa cac qua trinh xa hoi trong
cac cau true vi mo va cau true vi mo. Qua trinh hap d in xa hoi tao ra cac
moi hen he g in ket giufa cac ca nhan thanh vien, va cac qua trinh hoi nhap
cung hen ket cac nhom vdi nhau trong mot cong dong. Cac qua trinh trao
doi giufa cac ca nhan de ra sU phan hoa giiia ho va cac trao doi hen nhom
lam tang sii phan hoa giufa cac nhom. Cac ca nhan bi loi cuon vao cac to
ch ic hdp phap va cac to c h ic nay den liidt chiing lai trd thanh nhufng thiic
the to 16n hdn cua sii thong tri hdp phap. Sii chdng doi va m au th u ln khong
chi xay ra trong cac tap the ma con xay ra giufa cac tap the vdi nhau. Nhufng
dieu tiidng tii nhau nay, tuy nhien, khong the che giau dtfdc nhiing diem
khac nhau can ban giufa cac qua trinh chi phoi cac quan he giufa cac ca nhan
trong cac cau true vi mo va cac liic liidng dac triing cho cac moi hen he xa
hoi phiic tap hdn va rong ldn hdn trong cac cau true vi mo. Trong James
Farganis. Readings in Social Theory: The Classic Tradition to Post-
M odernism. M cGraw-Hill, Inc. 1993. Tr. 255.
2 Blau chi ro ba dac triing cua cau true vi mo nhu sau: “T h i nhat, s i nhat
tri ve gia tri co y nghia ciic ky quan trong doi vdi cac qua trinh xa hoi xam

376
 Tom lai, vdi viec phat trien thuyet trao doi xa hoi trong
linh vUc nghien ctiu cau trtic xa hoi, Blau da dua ly thuyet xa
hoi hoc cua minh vUdt ra khoi pham vi cua cac dinh de tam ly
hoc ve sii l^a chon cua ca nhan. Thay vi nhan manh cac yeu
to" tam ly ctia hanh vi lUa chon, Blau dac biet chu trong tdi vai
tro cua cac yeu to" “cau true xa hoi”, vi du chuan mUc cung co
ldi va chuan mUc thoa hiep doi vdi sU lUa chon duy ly noi
chung va sii trao doi xa hoi noi rieng ctia ca nhan va nhom.
Do"i vdi cau hdi tai sao cac ca nhan phai thoa hiep, nhat
tri vdi nhau, Blau - tac gia ctia thuyet trao do’i xa hoi tra ldi
la: tai vi ho hanh dong theo he gia tri, chuan mUc cua nhom
da dUdc hinh thanh tti trUdc. Dieu dd cd nghia la hanh dong
lUa chon duy ly, moi lien he va sU trao do’i gitia cac ca nhan
chiu sU chi phoi cua sU lUa chon duy ly cua nhdm va ca bo"i
canh xa hoi rong ldn.
Diem dang chti y trong cach tiep can xa hoi hoc vi mo cua
Blau la d chd, dng nghien ctiu tti cac qua trinh ddn gian den
qua trinh phtic tap. Blau bat dau tim hieu qua trinh tam ly
ca nhan, tti dd dng nghien ctiu cac qua trinh phtic tap hdn. Dd

nhap vao kh&p cac cau true xa hoi phiic tap, bdi vi cac tieu chuan dUdc nhat
tri chung dong vai tro la cac moi hen he trung gian cho cac giao dich xa hoi
giiia cac ca nhan va cac nhom ma khong can tcli bat ky sii tiep xuc triic tiep
nao. Dac diem noi bat thii hai cua cac cau true vi mo la moi tiidng tac phiic
tap giQa nhiing liic liidng ben trong cua cac tieu cau true va nhiing luc liidng
hen ket cac tieu cau true khac nhau ma mot so' trong do co the la nhiing cau
true vi mo gom cac ca nhan trong khi mot so" khac co the la nhiing cau true
vi mo tao thanh tii cac nhom nho. Cuoi cung, cac thiet che ben viing thiidng
phat trien trong cac cau true vi mo. Cac he thong hdp phap hoa dUdc thiet
lap dat ra van de ve sii ton tai mai mai cua chiing”. Trong James Farganis.
Readings in Social Theory: The Classic Tradition to Post-Modernism.
McGraw-Hill, Inc. 1993. Tr. 255.

377
la cac qua trinh trao doi xa hoi va quan he quyen liic1. Ong
nghien ctiu cau true xa hoi vi mo v6i tii cach la cau true te
bao” cua xa hoi, tiic la cau true nhom hai ngUdi - nhom doi,
nhom cap. Tren cd sd do, ong trien khai nghien ctiu dac diem,
tinh chat ctia cau true xa hoi vi mo gom nhieu ngUdi, nhieu
nhom xa hoi, nhieu thiet che xa hoi va he thong xa hoi.
Ly thuyet cua Blau gop phan lam sang to moi quan he
gitia con ngUdi va xa hoi tren hai cap do cd ban cua cau true
xa hoi. Mot la, cau true xa hoi vi mo, trong do cac ca nhan
tudng tac vdi nhau thong qua cac qua trinh trao doi xa hoi.
Hai la, cau trtic xa hoi vi mo trong do cac nhom tUdng tac v6i
nhau thong qua cd che trao doi xa hoi va he cac gia tri, chuan
miic, thiet che xa hoi. PhUdng tien trung gian lam cau noi
gitia hai cap do nay la cac moi tUdng tac, trao doi xa hoi va he
cac gia tri, chuan mUc, cac tieu chuan dUdc cac ca nhan va
nhom nhat tri, chia se.

1 Blau viet: “Kieu lien he giiia hai ca nhan tat nhien chiu anh hudng manh
me boi boi canh xa hoi trong do diln ra mo'i lien he do. Tham chi stf phan
tich moi tudng tac xa hoi trong nhom doi, vi vay, cung khong difdc coi cac
cap do nhu la nhiing nhom biet lap khoi cac moi hen he xa hoi khac. Su
cuon hut lan nhau cua hai ca nhan va cac moi trao doi giiia ho, vi du, chiu
sU tac dong boi cac cd hoi co the co cua moi ngUdi, va ket qua la cac qua
trinh canh tranh xuat hien keo theo nhulng moi quan he rong ldn hdn va bo
sung va lam bien doi cac qua trinh trao doi va sU hap dan trong nhom doi do
va trong cac nhom doi khac”. Trong James Farganis. Readings in Social
Theory: The Classic Tradition to Post-Modernism. M cGraw -H ill, Inc. 1993.
Tr. 260

378
 Phan 4

MOT SO CHUYEN DE
■

LY THUYET XA HOI HOC

379
 1
LY LUAN
• VA PHlfONG PHAP XA H6l
• HOC
•
MARX-LENIN

(Qua nghien citu mot so tdc pham dau tay

cua V.I. Lenin)

Thieu sot ldn nhat cua khong it ly thuyet xa hoi hoc phUdng
Tay hien dai la chua nhan thiic day du nhiing dong gop to ldn
cua Lenin doi vdi xa hoi hoc Marx noi rieng va xa hoi hoc the gidi
noi chung. Cong lao cua Lenin doi vdi xa hoi hoc hien dai gan
lien vdi sU nghiep phat trien hoc thuyet Marx: Lenin viia bao ve,
viia ke thiia va viia phat trien hoc thuyet Marx trong dieu kien
cu the cua xa hoi nUdc Nga trUdc va sau cuoc Cach mang thang
Mudi. Lenin da van dung va phat trien hoc thuyet Marx trong
dieu kien giai cap vo san gianh dUdc chinh quyen va bat dau xay
dung mot xa hoi mdi khong co su ap biic, bdc lot. Chinh trong su
nghiep ly luan va thuc tien cach mang dd, Lenin da phat trien xa
hoi hoc Marx-Lenin1. Dudi day phan tich nhting luan diem cd

1 Le Ngoc Hung. Liicfc sii xa hoi hoc Mac-Lenin, trong Bui Quang Dung - Le
Ngoc Hung. Nhap mon lich su: xa hoi hoc. Nxb Ly luan chinh tri. Ha Noi.
2005. Tr. 185-204.

381
ban nhat cua ly luan va phiidng phap xa hoi hoc Marx-Lenin
trong nhiing tac pham thien tai do Lenin viet vao nhiing nam
1893-18951; luc do Lenin khoang 23-25 tuoi!

K h a i niem “xa hoi hoa”

Cac nha tam ly hoc va cac nha giao due hoc cuoi the ky
20 v&n chu yeu sti dung khai niem xa hoi hoa de noi ve qua
trinh phat trien ca nhan, nhan cach - qua trinh ca the ngUdi
trd thanh thanh vien cua xa hoi, ttic la qua trinh xa hoi hoa
ca nhan. Khong nhieu nha nghien ctiu biet ro ding cuoi the
ky 19, Lenin da xem xet noi dung rong ldn cua khai niem nay
tti goc do xa hoi hoc. Lenin phan tich qua trinh xa hoi hoa lao
dong va chi rd moi lien he phu thuoc ctia nd vao trinh do lao
dong san xuat. Xa hoi hoa lao dong la xa hoi hoa cac chtic
nang lao dong, ttic la ket hdp, tap trung, thong nhat tren cap
do mdi nhting chtic nang lao dong nao da dUdc chuyen mon
hoa nham thoa man nhu cau ctia toan the xa hoi2.

1 Do la tac pham: Nhiing bien doi mdi v i kinh te trong ddi song nong ddn...
(1893), Bdn v i cdi goi la van d i thi triidng (1893), Nhiing ngiidi ban ddn la
the nao vd ho da'u tranh chong nhiing ngiidi dan chii-xa hoi ra sao? (1894),
N oi dung kinh te cua chu nghia ddn tuy vd sii phe phan trong cuon sach cua
ong Std-ru-ve v i noi dung do (1895), trong V.I. Lenin. Toan tap. Tap 1. Nxb
Tien bo-Matxcdva. 1978.

2 Lenin viet: ‘Trong xa hoi tu ban chu nghia, stf tien bo ky thuat la d cho xa
hoi hoa lao dong; ma sU xa hoi hoa nay tat nhien doi hoi phai chuyen mon
hoa cac ch ic nang khac nhau cua qua trinh san xuat, phai bien n h in g chic
nang do t i cho la phan tan, ca the, lap di lap lai mot cach rieng biet trong
tin g doanh nghiep chuyen ve nganh san xuat ay, thanh n h in g c h ic nang
dUdc xa hoi hoa, tap trung vao trong mot doanh nghiep mcli, va nham thoa
man nhu cau cua toan the xa hoi”. V.I. Lenin. Bdn v i cdi goi la van d i thi
triidng (1893), trong Toan tap. Tap 1. Nxb Tien bo - Matxcdva. 1978. Tr
115.

382
 Theo Lenin, xa hoi hoa (xa hoi) khong phai la van de mcl
rong quy mo, so" lUdng ngUdi tham gia vao qua trinh xa hoi
ma la sU bien doi ve chat dan den sU tap trung, thong nhat
cua lao dong xa hoi. Xa hoi hoa lao dong la sU tfch tu tu ban,
tich tu va tang cUdng cac moi lien he xa hoi, cac quan he xa
hoi, la sU chuyen mon hoa, la sU ket hdp thanh mot qua trinh
duy nhat, va cac moi lien he xa hoi tao thanh mot khoi xa hoi
thong nhat1.
Nhu vay cd the xac dinh: xa hoi hoa (xa hoi) la qua trinh
tong hdp, thong nhat cac moi lien he xa hoi, quan he xa hoi,
hoat dong xa hoi thanh mot the thong nhat, mot he thong
thong nhat nhSm thoa man mot hay hdn mot nhu cau nhat
dinh cua toan the xa hoi2.

Mau thuan giufa tin h chat xa hoi hoa va che do sc?

htiu tit nhan: dong life cua sii b ien doi xa hoi hien dai
Theo quan diem cua Marx, Lenin da chi ro mau thuln cd
ban gitia sU tap trung tu ban - sti htiu tu nhan ve tu lieu san
xuat va xa hoi hoa lao dong - sU thong nhat cac qua trinh san

1 Lenin viet: “Noi san xuat til ban chu nghia xa hoi hoa lao dong thi hoan
toan khong phai la noi ngiidi ta lam viec d cung mot ndi (do chi mdi la mot
phan nho cua qua trinh), ma la noi sU tich tu til ban co kem theo sU chuyen
mon hoa lao dong xa hoi, sU giam bdt so' liidng cac nha tu ban trong t in g
nganh cong nghiep nhat dinh va sU tang them so' liidng nhiing nganh cong
nghiep rieng biet; - la noi nhieu qua trinh phan tan cua san xuat nhap lai
thanh mot qua trinh san xuat xa hoi duy nhat... Dieu do co nghia la mo'i hen
he xa hoi giufa nhiing ngUdi san xuat ngay cang cung co' them, n h in g ngUdi
san xuat ket thanh mot khoi”. V.I. Lenin. Nhting ngiidi ban ddn, trong Toan
tap. Tap 1. Nxb Tien bo-Matxcdva. 1978. Tr. 212-213.
2 Le Ngdc H in g . X a hoi hoc gido due. Nxb Ly luan chinh tri. H a Noi. 2004.
Tr. 295-298.

383
xuat trong long che do TBCN. Lenin viet: “NhU vay, tat ca
nhiing nganh san xuat hdp lai thanh mot qua trinh san xuat
xa hoi duy nhat, the ma moi nganh san xuat lai do mot nha
tu ban ca biet kinh doanh, lai phu thuoc vao y muon tuy tien
cua anh ta, va cung cap san pham cho anh ta lam cua rieng”1.
Lenin chi ra ring: “nguyen nhan cua sU tudc doat va boc
lot ngUdi lao dong nam ngay trong ban than cac quan he san
xuat”2, vl du quan he giiia tu san - ngUdi chu tu lieu san xuat
va vo san - ngUdi ban siic lao dong de lam thue. Lenin phe
phan nhiing “ngUdi ban dan” da khong hieu va da co tinh
khong nhan thiic dUdc quan niem cua chu nghia Marx ring
“tu ban la mot quan he nhat dinh giiia ngUdi va ngUdi, quan
he do vi.n nhu the chang ke trinh do phat trien cao hay thap
cua cac pham tru can so sanh. Cac nha kinh te hoc tu san
chua bao gid hieu dUdc dieu do: bao gid ho cung chong lai mot
dinh nghia nhu the ve tu ban”3. Nhu vay, theo chu nghia
Marx-Lenin, khong chi lao dong ma ca tu ban, ve thuc chat
deu la quan he xa hoi.
Lao dong bien doi dudi tac dong cua cac yeu to" xa hoi va
moi su bien doi lao dong deu keo theo sU bien doi xa hoi.
Lenin da phan biet tac dung tich cUc cua tien bo ky thuat la
lam giam nhe siic lao dong gian ddn, lao dong thu cong va chi
ra xu hudng cua viec san xuat ra tu lieu san xuat cua san

1 V.I. Lenin. Nhitng ngiidi ban dcrn. trong Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 214.

2 V.I. Lenin. Nhitng ngiidi ban ddn, trong Toan tap. Tap 1. Nxb Tien bo-
Matxccfva. 1978. Tr. 264.

3 V.I. Lenin. Nhitng ngiidi ban ddn, "ro, Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 270.

384
xuat. “Lao dong biing may moc thay the lao dong thu cong,
dieu do khong co gi la “phi ly” ca: trai lai, tat ca tac dung tien
bo cua ky thuat cua con ngUdi chinh la d cho do. Ky thuat
cang phat trien cao thi no cang lan at lao dong thu cong cua
con ngiidi va dem nhiing may moc ngay cang phiic tap de
thay the lao dong thu cong: trong toan bo nen san xuat cua
dat nUdc, may moc va nhiing tu lieu can thiet de che tao may
moc se ngay cang chiem dia vi ldn hdn”1. Lenin chu thich ro la
toan bo su phat trien cua chu nghia tu ban deu la do sU phan
cong lao dong ma ra.
Lenin chi ra nguon goc giai cap va nguon goc nhan thtic
luan cua xa hoi hoc tu san: cac nha triet hoc va cac nha kinh
te hoc tu san coi cac pham tru cua che do tu san la nhting
pham tru vinh vien va tU nhien giong nhu chinh cai che do
ma ho ra stic bao ve va duy tri2.
Nhu vay, Lenin da nghien ctiu ve xa hoi hoa lao dong va
chi r5 cd sd cua cau true xa hoi va sU bien doi xa hoi: do la
mau thuan gitia xa hoi hoa lao dong va sd htiu tu nhan ve tu
lieu san xuat cua che do TBCN. Quan niem ve xa hoi hoa cua
Lenin cuoi the ky 19 da vUdt trUdc quan niem cua nhieu nha
khoa hoc xa hoi cuoi the ky 20 ve xa hoi hoa. Mot so" tac gia
hien nay d trong nude va ngoai nUdc van gidi han noi dung
khai niem “xa hoi hoa' trong pham vi ca nhan - xa hoi hoa ca
nhan va v ln chua nhan ra nguon goc ly luan cua khai niem
xa hoi hoa (xa hoi) trong hoc thuyet Marx-Lenin noi chung va

1 V.I. Lenin. Bdn v i cdi goi la van de thi trUcfng (1893), trong Toan tap. Tap
1. Nxb Tien bo - Matxcdva. 1978. Tr. 121.
2 V.I. Lenin. Nhiing ngUcfi ban ddn, trong Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 270.

385
xa hoi hoc Marx-Lenin noi rieng1.

Bao ve xa hoi hoc duy vat chu nghia, phe phan xa

hoi hoc chu quan
Lenin da phe phan va yeu c&u phai loai bo quan diem
cua cac nha xa hoi hoc chu quan va phUdng phap chu quan ra
khoi khoa hoc xa hoi hoc. Bcfi vi nhiing nha xa hoi hoc chu
quan dua ra nhufng luan diem giai thich xa hoi tii yeu to y
thtic, nhu cau, ldi ich ca nhan. Vi du, luan diem cua xa hoi
hoc chu quan cho rin g: “muc dich cua xa hoi la mUu ldi ich
cho tat ca moi thanh vien cua xa hoi...” . Mot dai dien tieu
bieu cua xa hoi hoc chu quan la Mikhailopxki cho rang2:
“Nhiem vu can ban ctia xa hoi hoc la lam sang to nhting dieu
kien xa hoi trong do nhu cau nay hay nhu cau khac cua ban
tinh con ngUdi dUdc thoa man” va “quan he xa hoi la do con
ngUdi tao ra mot cach co y thtic”3.

1 Nhieu sach va bai viet xa hoi hoc v ln chu yeu xem xet khai niem xa hoi
hoa ca nhan tu: goc do tam ly hoc va giao due hoc. Nhieu tac gia mcJi chi nhin
thay 0 khai niem xa hoi hoa noi dung cua quan diem hanh dong va phUdng
th ic quan ly, ma chua nam bat dUdc yeu to qua trinh lich s i tu nhien cua
sU bien doi va phat trien xa hoi. Trong dieu kien cu the c i a V iet Nam vao
dau thdi ky doi mdi, khai niem xa hoi hoa dtfdc s i dung chu yeu vdi y nghia
va noi dung c ia khai niem huy dong xa hoi (Social Mobilization). Gan day d
Viet N am mdi xuat hien hudng nghien c iu khai niem xa hoi hoa (xa hoi)
(Socialitization hay Societization). X em Le Ngoc H in g . X a hoi hoc kinh te.
Nxb Ly luan chinh tri. Ha Noi. 2004. Tr. 248. N g u yln Dinh Tan. Xa hoi hoc.
Nxb Ly luan chinh tri. Ha Noi. 2005. Le Ngoc Hung. X a hoi hoc gido due.
Nxb Ly luan chinh tri. Ha Noi. 2006. Tr. 296.

2 Mikhailopxki (1842-1904) la nha ly luan noi tieng nhat cua phai dan tuy-
tu do c h i nghia, mot dai dien tieu bieu cua triidng phai chu quan trong xa
hoi hoc.

3 V.I. Lenin. Nhting ngticti ban ddn, trong Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 158.

386
 Lenin chi ra ring cac nha xa hoi hoc chu quan bi mat
phUdng hiidng, lung tung khong lam sao phan biet dUdc
nhting hien tUdng nao la quan trong va nhting hien tUdng nao
la khong quan trong trong cai mang ludi phtic tap cua cac
hien tUdng xa hoi. Bdi vi ho khong the tim ra dUdc mot tieu
chuan, quy tac khach quan nao cho sU phan biet do va ho
cung khong the dem ting dung tieu chuan, quy tac khoa hoc
ve tmh lap lai vao xa hoi hoc. PhUdng phap chu quan la mot
bo phan cua phUdng phap sieu hinh da lam cho xa hoi hoc
chu quan khong the nghien ctiu dUdc xa hoi vdi tu cach lam
mot qua trinh lich sti tu nhien.
Trong tinh hinh nhu vay, hoc thuyet Marx tap trung
nghien ctiu quy luat khach quan ctia sU ton tai, van dong
phUdng thtic san xuat cua xa hoi va hinh thai kinh te cua xa
hoi da to ro stic manh giai thich va cai bien xa hoi mot cach
khach quan, khoa hoc. Lenin kh&ng dinh: “Ro rang la tu
tUcing cd ban cua Mac ve qua trinh phat trien lich sti-tu nhien
cua nhting hinh thai kinh te-xa hoi da pha huy tan goc cai
dao ly tre con muon tu menh danh la xa hoi hoc do”1.
Qua do co the thay r5 dong gop cua Lenin trong viec bao
ve hoc thuyet Marx: dau tranh chong chu nghia chu quan,
chu nghia tam ly hoc chu quan va khang dinh phUdng phap
khoa hoc xa hoi hoc khach quan ma Marx da dua ra.
Phiidng phap luan xa hoi hoc duy vat bien chiing cua
Marx doi hdi phai nghien ctiu lam ro ban chat cac quan he
san xuat - quan he gitia ngUdi vdi ngUdi trong qua trinh

1 V.I. Lenin. Nhitng ngiidi ban ddn, trong Toan tap. Tap 1. Nxb Tien bo-
MatxccJva. 1978. Tr. 159.

387
san xuat - trong moi lien he vdi tat ca cac quan he cua xa
hoi. Lenin cho biet: “trong cac linh vUc khac nhau cua ddi
song xa hoi, ong (tiic la Mac) da lam noi bat rieng linh vUc
kinh te, b&ng cach la trong tat ca moi quan he xa hoi ong
da lam noi bat rieng nhiing quan he san xuat, coi do la
nhiing quan he cd ban, ban d&u va quyet dinh tat ca moi
quan he khac.” 1
Lenin khang dinh cong lao cua hoc thuyet Marx doi v6i
sU phat trien xa hoi hoc ci cho nhd chu nghia duy vat cua
Marx ma xa hoi hoc trd thanh mot khoa hoc xa hoi thuc sU.
Nhd quan diem cua chu nghia duy vat rang tien trinh cua
nhufng tu tUdng phu thuoc vao tien trinh cua sU vat ma xa hoi
hoc dUdc nang len dia vi ngang hang mot khoa hoc. Nhd chu
nghia duy vat lich sti ma xa hoi hoc co hai cd sd de trd thanh
khoa hoc:
• Mot la, tieu chuan, quy tic khach quan de phan
biet cac hien tudng xa hoi vdi cac hien tudng
khac2.
• Hai la, kha nang dem quy cac tu tudng xa hoi va
muc dich xa hoi cua con ngUdi vao nhting quan he

1 V.I. Lenin. Nhitng ngiidi ban dan, trong Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 159.

Lenin viet. Chu nghia duy vat da cung cap mot tieu chuan hoan toan
khach quan bang cach tach rieng nhiing quan he san xuat, v6i tu cach la cd
cau cua xa hoi, va bang cach cho chung ta co kha nang iing dung vao nhiing
quan he ay cai tieu chuan khoa hoc chung ve tinh lap lai, tieu chuan ma
phai chu quan chu nghia cho la khong the dem iing dung vao xa hoi hoc
dUdc”. V.I. Lenin. Nhitng ngitdi ban ddn, trong Toan tap. Tap 1. Nxb Tien
bd-Matxcdva. 1978. Tr. 162.

388
 xa hoi vat chat1 de co the nghien ciiu chung nhu
nhiing hien tUdng tu nhien co qua trinh lich sti
phat trien cua chting2.

C ach m a n g k h o a h oc tro n g xa h oi h oc
Do nghien ctiu va phat hien dUdc quy luat ctia lich sti tu
nhien cua sii ton tai va van dong xa hoi ma hoc thuyet Marx
da lam nen mot cuoc cach mang trong nhan thtic ve xa hoi,
tUdng tu nhu cuoc cach mang trong sinh vat hoc do Dawin
khcfi xUcing. Theo Lenin, hoc thuyet Marx da lam nen cuoc
cach mang khoa hoc trong xa hoi hoc: “Neu Dac-uyn da danh
do han dUdc quan niem cho rang nhting loai dong vat va thUc
vat la khong co lien he gi vcii nhau ca, la ngau nhien ma co, la
do “Thudng de tao ra” va la bat bien, va ong la ngUdi dau tien
da lam cho sinh vat hoc co mot cd sd hoan toan khoa hoc bln g
cach xac dinh tinh bien di va tinh ke thtia cua cac loai, - thi
Mac cting the, Mac da danh do han dUdc quan niem cho rin g
xa hoi la mot to hdp co tinh chat may moc gom nhting ca
nhan, mot to hdp ma nha cam quyen (hay la xa hoi va chinh
phu thi cting vay) co the tuy y bien doi theo du moi kieu, mot
to hdp sinh ra va bien hoa mot cach ngau nhien; va Mac cung
la ngUoi dau tien da lam cho xa hoi hoc co mot cd sci khoa hoc,

1 Lenin viet: “Chi co dem quy nhiing quan he xa hoi vao quan he san xuat,
va dem quy nhiing quan he san xuat vao trinh do cua nhiing luc liidng san
xuat thi ngiidi ta m6i co dUdc mot cO sd viing chac de quan niem stf phat
trien cua nhiing hinh thai xa hoi la mot qua trinh lich sU tu nhien”. V.I.
Lenin. Nhitng ngiidi ban dan, trong Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 163-164
2 Dieu nay gdi nh6 quy tic coi sU kien xa hoi nhu la sii vat ma Emile
Durkheim da neu ra.

389
blng cach xac dinh khai niem coi hinh thai kinh te-xa hoi la
mot toan bo nhting quan he san xuat nhat dinh, bang cach
xac dinh rang sU phat trien cua nhting hinh thai do la mot
qua trinh lich sti-tU nhien”1.
Chan ly cua tri thtic khoa hoc dUdc kiem nghiem thong
qua thuc tien va con dUdc dting vting cho tdi khi nao co nhting
nguyen ly khoa hoc khac dUdc kiem chting. Vdi y nghia nhu
vay, chu nghia duy vat lich sti ma Marx khdi dung la khoa
hoc ve xa hoi.
Theo Lenin, “ tti khi bo “Tu ban” ra ddi - quan niem duy
vat lich sti khong con la mot gia thuyet ntia, ma la mot
nguyen ly da dUdc chting minh mot cach khoa hoc; va chting
nao chung ta chua tim ra dUdc mot cach nao khac de giai
thich mot cach khoa hoc sU van hanh va phat trien cua mot
hinh thai xa hoi nao do... thi chting do quan niem duy vat lich
sti v&n cti la dong nghia vdi khoa hoc xa hoi”2.
PhUdng p h a p xa h oi h oc M a rx-L en in la phUdng phap
bien chting duy vat. Khac vdi phUdng phap sieu hinh, phUdng
phap nay doi hoi phai xem xet xa hoi trong sU phat trien
khong ngting cua cac yeu to' tao thanh mot he tho’ng song
dong ton tai va phat trien theo quy luat. Lenin viet: “Cai ma
Mac va Angghen goi la phUdng phap bien chting - de doi lap

1 V.I. Lenin. Nhitng ngitch ban dan, trong Toan tap. Tap 1. Nxb Tien bo-
MatxcOva. 1978. Tr. 165.

2 V.I. Lenin. Nhitng ngitch ban dan, trong Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 165. Luan diem nay da bi mot so tac gia co dau oc cUc
doan cl Lien Xo cu thoi phong, bop meo de bien khoa hoc xa hoi hoc thanh
mot bo phan cua chu nghia duy vat lich s i . Xem E.A. Capitonov. Xa hoi hoc
the'ky X X : Lich sit vd cong nghe. Nxb Dai hoc Quoc gia Ha Noi. 2000.

390
vdi phUdng phap sieu hinh - chang qua chi la phUdng phap
khoa hoc trong xa hoi hoc, phUdng phap coi xa hoi la mot cd
the song dang phat trien khong ngting (chti khong phai la
mot cai gi dUdc ket thanh mot cach may moc va do do, cho
phep co the tuy y phoi hdp cac yeu to' xa hoi nhu the nao
cung dUdc), mot cd the ma muon nghien ctiu no thi can phai
phan tich mot cach khach quan nhiing quan he san xuat cau
thanh mot hinh thai xa hoi nhat dinh, va can phai nghien
ciiu nhiing quy luat van hanh va phat trien cua hinh thai xa
hoi do”1.
Theo quan diem cua Marx-Lenin, “moi thdi ky lich sti
deu co nhting quy luat rieng cua no. Ddi song kinh te la r dt
hien tUdng giong nhu lich sti cua sU phat trien trong nhting
nganh sinh vat hoc khac... Nghien ctiu sau hdn niia thi se
thay rin g nhting cd the xa hoi cting khac nhau rat nhieu, het
nhu nhting cd the dong vat va thuc vay”2.
Do do, hoan toan co the nghien ctiu cd the xa hoi bln g
phUdng phap khoa hoc khach quan. Lenin chi ro rin g tu
tUdng cd ban cua Marx va Engels la: “nhting quan he xa hoi
phan ra thanh nhting quan he vat chat va nhting quan he tu
tUdng. Nhting quan he tU tudng chi la mot kien trtic thudng
tang xay dUng tren nhting quan he vat chat la nhting quan he
hinh thanh ngoai y chi va y thtic cua con ngUdi, nhu mot (ket
qua) hinh thtic cua sU hoat dong cua con ngUdi de duy tri sU
sinh ton cua minh... can phai giai thich nhting hinh thtic

1 V.I. Lenin. Nhitng ngiidi ban dan, trong Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 198.
2 V.I. Lenin. Nhitng ngiidi ban ddn, trong Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 201.

391
phap ly-chmh tri b ln g nhufng “quan he sinh hoat vat chat”1.
Do chinh la noi dung cd ban cua xa hoi hoc Marx-Lenin
khi ban ve moi quan he giiia kinh te va xa hoi vdi tu cach la
mot mat cua doi tudng cua xa hoi hoc kinh te va mat kia la
moi quan he giufa con ngUdi va kinh te2.
Lenin da danh mot chUdng trong tac pham Noi dung
kinh te cua chu nghia ddn tuy... viet nam 1895 de phe phan
xa hoi hoc dan tuy chu nghia. Thuc chat cua chu nghia dan
tuy la chu nghia dua tren quan diem cua ngUdi san xuat nho,
cua ngUdi tieu tu san. Lenin dat cau hoi va chi ro ban chat
cua xa hoi la kieu quan he nhat dinh giufa ngUdi vdi ngUdi:
“Chu nghia tu ban la gi, neu khong phai la nhufng quan he
nhat dinh giufa con ngudi vdi nhau?”3. Lenin xac dinh tong
quat thiic chat cua chu nghia tu ban la: “doc quyen ve tu lieu
san xuat nam trong tay mot thieu so", da so" thi mat nhufng tU
lieu san xuat ay va nan boc lot lao dong lam thue”4.
Khi phe phan xa hoi hoc dan tuy chu nghia va phUdng
phap chu quan trong xa hoi hoc (coi cac ca nhan dang song
lam ra lich sti), chu nghia Marx-Lenin phe phan viec ap dung
may moc, hinh thtic va vo ich cac quy luat, cac khai niem
khoa hoc tu nhien vao giai thich ddi song xa hoi, “viec van

1 V.I. Lenin. Nhitng ngitcti ban ddn, trong Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 178-179.

2 Le Ngoc Hung. X a hoi hoc kinh te. Nxb Ly luan chrnh tri. Ha Noi. 2004.
V.I. Lenin. Noi dung kinh te cua chu nghia ddn tuy vd sit phe phan trong
cuon sach cua ong Sta-ru-ve ve noi dung do (1895), trong Toan tap. Tap 1.
Nxb Tien bo - Matxcdva. 1978. Tr. 521.

4 V.I. Lenin. Nhitng ngitcti ban ddn, trong Toan tap. Tap 1. Nxb Ti§n bo-
Matxcdva. 1978. Tr. 271.

392
dung nhiing khai niem sinh vat hoc noi chung vao linh vUc
cac khoa hoc xa hoi la mot cau trong rong”. Nhu vay, chinh
Marx chii khong phai ai khac da phe phan viec may moc ap
dung cac thuyet sinh hoc ke ca thuyet Darwin ve dau tranh
sinh ton {Struggle for Life) - thuyet dao thai xa hoi hay
thuyet Malthus - thuyet nhan khau thiia, vao giai thich cac
hien tUdng xa hoi. Theo Lenin, ve mat xa hoi hoc thi chu
nghia kinh nghiem phe phan cung chi la sU xuyen tac chu
nghia Marx bln g nhiing ldi rong tuech.
Lenin phan biet ro doi tudng nghien cCfu cua xa hoi hoc
duy vat chu nghia va xa hoi hoc chu quan chu nghia: “Nha xa
hoi hoc duy vat chu nghia lay nhiing moi quan he xa hoi nhat
dinh giiia con ngUdi vdi nhau lam doi tUdng nghien ciiu cua
minh, do do cung nghien ciiu ca nhiing cd nhan co thiic, vi
nhiing moi quan he do la do nhiing hoat dong cua ho tao nen.
Nha xa hoi hoc chu quan chu nghia tu cho la minh da xuat
phat tii nhiing “ca nhan dang song”, nhung thuc te thi lai b it
dau tii cho gan cho cac ca nhan ay “nhiing tu tUdng va tinh
cam” ma ong ta cho la hdp ly (vi, khi dem tach “cac ca nhan”
cua minh ra khoi hoan canh xa hoi cu the thi do do, ong ta lai
khong co kha nang nghien ciiu dUdc nhiing tu tUdng va tinh
cam thtic cua ho), tiic la “b it dau tu' mot khong tudng”, nhu
ong Mikhailopxki da b it buoc phai thtia nhan”1.
Nha xa hoi hoc duy vat chu nghia khi nghien ciiu nhiing
moi quan he xa hoi thuc su va sU phat trien thuc sU cua
nhiing moi quan he do, da nghien ciiu chinh ngay cai ket qua

1 V.I. Lenin. Noi dung kinh te..., trong Toan tap. Tap 1. Nxb Tien bo-
MatxccJva. 1978. Tr. 531.

393
hoat dong cua nhiing ca nhan dang song. Con nha xa hoi hoc
chu quan chu nghia thi mieng noi la nghien ciiu nhiing “cd
nhan dang song” nhUng tren thuc te lai khac, ho tach cac ca
nhan do ra khoi cuoc song va nhet vao cac hinh nhan do
nhiing “tii tiidng vd tinh cam” cua chinh ho1.
Lenin da khai quat dUdc y do chung hay cach tiep can
chu yeu trong khoa hoc xa hoi hoc la muon quy nhiing “yeu to
ca nhan vao nhiing nguon goc xa hoi” . Theo Lenin, “ly luan ve
dau tranh giai cap, lan dau tien, da thuc hien y do do mot
cach d iy du va triet de den miic la nang xa hoi hoc thanh mot
khoa hoc” . Bdi vi hai ly do sau day:
• Mot la, ly luan do cung cap khai niem khoa hoc
cho biet r5 mot chuoi cac sU kien thUc sU cua ddi
song xa hoi bao gom: phUdng thiic san xuat tu lieu
sinh hoat - » quan he san xuat —»• cd sd cua xa hoi
—» hinh thiic chinh tri-phap luat-tU tUclng-khoa
hoc2. Dong thdi, ly luan do cung cap cai tieu chuan

1 V.I. Lenin. Nhiing ngiidi ban ddn, trong Toan tap. Tap 1. Tr. 535. Std-ra­
ve (1870-1944), nha kinh te hoc va nha chinh luan ttf san Nga, mot dai dien
cua xa hoi hoc chu quan chu nghia, bi Lenin phe phan manh trong tac
pham “Nhiing ngUdi ban dan”.

2 Lenin viet: “ly luan do da diing len khai niem hinh thdi kinh te-xa hoi.
Xuat phat tu: sii that cO ban cua moi sinh hoat cong dong cua loai ngUdi, tiic
la phuong thiic san xuat ra tu lieu sinh hoat, ly luan nay da gan vao phUdng
thiic do nhiing moi quan he giiia ngUdi va ngUdi dtfdc thiet lap len do anh
hUdng cua cac phUdng thiic nhat dinh san xuat tu lieu sinh hoat, va ly luan
do da vach ro rang he thong nhung quan he ay (tic la “quan he san xuat”,
theo thuat ngii cua Mac) la cd sd cua xa hoi, ma cd sd nay thi dtfdc boc ngoai
bang nhiing hinh th ic chinh tri-phap luat va n h in g trao liiu ttf tiidng xa hoi
nhat dinh”. V.I. Lenin. Noi dung kinh te..., trong Toan tap. Tap 1. Nxb Tien
bo-Matxcdva. 1978. Tr. 538.

394
 khach quan co mot gia tri khoa hoc chung, do la
“tmh lap di lip lai”; ly luan cua Marx chi ra rang
can phan biet khong phai la cai quan trong vdi cai
khong quan trong, ma la “sU phan biet gitia cd cau
kinh te cua xa hoi, ttic la ndi dung ctia xa hoi, vdi
hinh thiic chinh tri va tu tudng cua no” 1.
• Hai la, ly luan do cung cap mot quan diem ma
thieu no khong the co khoa hoc xa hoi: do la, qua
trinh xa hoi la mot qua trinh lich sti-tu nhien. Ly
luan cua Marx tao ra kha nang quy cac hoat dong
cua cac ca nhan dang song trong moi hinh thai
kinh te-xa hoi, ttic la nhting hoat dong muon hinh,
muon ve vo cting kho he tho'ng hoa, thanh nhting
hoat dong cua cac giai cap. Ttic la thanh nhting
hoat dong cua cac tap doan ca nhan khac nhau ve
vai tro cua chung trong he tho'ng quan he san
xuat, ve dieu kien san xuat, ve dieu kien sinh
hoat va nhting ldi Ich do dieu kien nay quyet dinh;
dong thdi vach ro rang cuoc dau tranh cua cac giai
cap da quyet dinh sU phat trien cua xa hoi2.
Tom lai, theo Lenin, cac khoa hoc tu nhien tti lau da tap
trung vao nghien ctiu cac quy luat chung chi phoi cai rieng.
Trong xa hoi hoc noi rieng va khoa hoc xa hoi noi chung, chi

1 V.I. Lemn. N oi dung kinh te..., trong Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 538. Tu ttfdng phan biet noi dung cua xa hoi v6i hinh
th ic cua xa hoi dtfdc Georg Simmel trien khai thanh trtfdng phai xa hoi hoc
hinh th ic, ttfdng ttf nhtf logic hoc hinh th ic.
2 V.I. Lenin. Noi dung kinh te..., trong Toan tap. Tap 1. Nxb Tien bo-
Matxcdva. 1978. Tr. 539.

395
nhd hoc thuyet Marx (va ca Lenin ntia) thi cac quy luat chung
chi phoi ca nhan mdi dUdc xac dinh vting chac, va xa hoi hoc
mdi trd thanh mot khoa hoc.
Ngay nay, xa hoi hoc hien dai v&n can phai tiep tuc
truyen thong khoa hoc do hoc thuyet Marx-Lenin khdi xUdng,
do la, nghien ctiu xem hoan canh xa hoi nao quyet dinh hoat
dong cua cac ca nhan va quyet dinh nhii the nao. Dong thdi,
cac nha khoa hoc c&n tim hieu xem trong nhiing dieu kien
nao ca nhan co the ra quyet dinh hanh dong thay doi hoan
canh cua ho va quyet dinh nhii the nao.
Cac nha nghien ctiu ve lich sti khoa hoc co the tiep tuc
tim thay nguon goc ly luan cua nhting quan niem xa hoi hoc
hien dai trong cac tac pham cua chti nghia Marx-Lenin, de
tti do co the tiep tuc phat trien lam ro noi dung nhting khai
niem cd ban nhu xa hoi hoa, cau trtic xa hoi, phan tang xa
hoi. Vi du, cach xac dinh doi tudng nghien ctiu cua xa hoi
hoc la mo'i quan he gitia con ngUdi va xa hoi, khi xet ky se
thay la co cd sd vting ch&c trong ly luan va phUdng phap
luan xa hoi hoc Marx-Lenin, ma cu the d day la cac tac
pham dau tay do Lenin viet vao nhting nam 1893-1895, cach
day hdn mot the ky!

396
 2
XA H0I HOC WEBER
TRONG "DAO Btfc TIN LANH VA TINH ThAn
CUA CHU NGHIA TU BAN"

G id i th ie u
Sau hdn mot the ky ke tti khi Weber cho xuat ban Dao
dtic Tin lanh vd tinh than cua chu nghia tti bdn1 den nay da
co hang nghin, hang van bai viet ve tac pham nay2. Vdi cuon
“Dao dtic...”3, Weber da trd nen rat ndi tieng ve cach tiep can

1 Ban doc hay can than chu y hai chu! “Tin lanh” de hieu mot cach khoa hoc,
dung dan va khong suy dien phi ly t ic la khong co tinh hieu sai ve n h in g gi
tac gia Weber viet trong tac pham noi tieng la “Dao d ie Tin lanh va tinh
than c ia c h i nghia tu ban” xuat ban lan dau bang tieng D ie vao dau the ky
20. De to ra khach quan, khong thien vi ban doc co the thay c h i ‘T in lanh”
bang c h i ‘T a n giao”.
2 Khi go dong c h i ‘T h e Protestant Ethic & the Spirit of Capitahsm by
Weber” trang Google cho biet tim dtfdc 252.000 thtf muc. Truy cap lie
12h58’ ngay 15/6/2007.
3 Ban dich tieng Anh cua Talcott Parsdns xuat ban cl M y nam 1930 tac
pham Dao diic Tin lanh vd tinh than cua chu nghia tii bdn dd W eber cho
xuat ban nam 1904-1905 va xuat ban lai nam 1920. De ban doc d l tra c iu ,
chung toi se trich dan ban dich tieng Viet chtfdng 5 cua M ax Weber. Thuyet

397
va nhiing phat hien doc dao trong nghien ciiu ve moi quan he
giiia sU bien doi van hoa, ton giao, con ngUdi va xa hoi.
NhUng cung vi cach tiep can dac sac do ma Weber bi phe
phan manh me ve mot so' diem cd ban sau day:
Thii nhat la Weber da dua ra quan niem duy tam chu
nghia khi nhan manh tac dong thuc d&y cua dao diic Tin lanh
doi vdi sii phat trien CNTB c) phUdng Tay.
Thii hai la Weber da chu quan trong lap luan khi ong
trich d&n qua nhieu cac tai lieu ton giao.
Thii ba la Weber da dua ra quan diem doi lap v6i Marx
khi ban ve moi quan he giiia van hoa va kinh te.
Dieu dang lUu y la cac y kien phe phan nay khong m6i
ma lap di lap lai dai d in g 1: sinh thdi Weber deu biet r5 nhung
ong v in to ra binh tinh, tu tin vao quan niem cua minh.
Nhiing luan diem cd ban cua Weber ve “Tinh than cua chu
nghia txl bah' da dUdc ong giai thich trong tac pham nay ro
rang den miic hdn 15 nam sau do, khi xuat ban lai vao nam
1920, ong thay khong can phai stia doi dieu gi dang ke d phan
chinh van, ma chi bd sung them mot so' chii thich. Neu doc ky
tac pham Dao dtic..., ta se thay Weber co ly va day ban linh

khd hanh vd tinh than cua chu nghia tii bdn, trong Hoi khoa hoc lich s i.
Nhiing van d i nhan hoc ton gido. Nxb Da Nang. 2006. Tr. 73-123; va ban
tieng Anh cac chtfdng khac trong cuon M ax Weber. The Protestant Ethic
and the Spirit o f Capitalism. Translated by T. Parsons. Introduction by
Raddal Collins. CA: Roxbury Pubhshing Company. 1996.
1 Ngay ca Lewis Coser cung hieu sai khi viet: ‘T ron g tac pham nay, Weber
da bac bo cac quan diem duy vat ve nguon goc cua chu nghia ttf ban va cho
rin g cac niem tin ton giao cung dong mot vai tro nha't dinh”. Trong Do Lai
Thuy. Theo vet chan nhiing ngiicfi khong lo: tdn Guyliver phieu liiu ky v i cdc
ly thuyet van hod. Nxb Van hoa Thong tin. Ha Noi. 2006. Tr. 29.

398
khoa hoc trUdc nhufng dinh kien tii nhieu phia cua cac nha
phe binh. Thiic vay, trong tac pham nay, Weber da neu rat ro
la ong muon tim hieu van de gi, nhu the nao va da dat dUdc
ket qua ra sao. TrUdc khi phan tich ky nhufng dieu nay, c&n
ghi nhan mot diem mau chot ma khong hieu sao cac nha phe
binh co ve nhu khong biet, hay co' tinh khong thay, do la
Weber khong phe phan chu nghia duy vat lich sU chan chinh
cua Marx ma phe phan “thuyet duy vat lich sii ngay thd” giai
thich mot chieu su tac dong cua cd sd ha tang doi vdi thudng
tang kien true1. Ddi vdi Weber, cach tiep can mot chieu duy
vat va mot chieu duy tam deu khong dem lai ldi giai thich
dung din nao ve sU bien do’i xa hoi. Nhung Weber van luon bi
phe phan mot cach phi ly, nhu chinh ong da tting biet r5, ve
quan niem rin g tinh than CNTB la ket qua cua cuoc cai cach
ton giao va nhu the gian tiep coi ton giao Tin lanh da lam
xuat hien CNTB2.
Tac pham Dao diic... quan trong den miic no da dUdc
Talcott Parsons trUc tiep dich, viet ldi gidi thieu va cho xuat
ban d Hoa Ky vao nam 1930 sau khi ong viia di tu nghiep d
Diic trd ve3. Ngay lap tiic cuon sach Dao diic... da gay ra lan

1 Sinh thdi Engels da nhan manh rSng ca M arx va Engels deu chua bao gid
khing dinh rang nhan to' kinh te la nhan to' quyet dinh duy nhat trong lich
sii. Xem Angghen. Thti Angghen gid Joseph Bloch d Konigsberg, trong Cac
Mac - Phrid-rich Angghen. Tuyen tap. Tap 6. Nxb Su That-H a Noi. 1984.
Tr. 726.
2 Max Weber. The Protestant Ethic and the Spirit o f Capitalism. Translated
by T. Parsons. Introduction by Raddal Collins. CA: Roxbury Publishing
Company. 1996. Tr. 91, 217.
3 Viec dich, viet ldi gidi thieu va cho xuat ban tac pham “£)ao dtic...” va mot
so' tac pham khac cua W eber da anh hiidng tich ctfc tdi chinh Parsons: be
ngoai ong dtfdc nhieu ngtfdi biet tieng la da xay dtfng dtfdc thuyet he tho'ng

399
song quan tam nghien ciiu Weber cl Hoa Ky, roi sau do lan
song nay da trao dang sang Nhat Ban, Trung Quoc va nhieu
ndi khac1.
Tac pham Bao diic... co gi doc dao ve mat phUdng phap
nghien ciiu va phat hien khoa hoc ma cac nha xa hoi hoc coi
la “kinh dien”2 va cac nha kinh te hoc, luat hoc, chinh tri hoc,
nhan hoc, ton giao hoc tren the gi6i deu tim doc va thao luan,
tranh cai dung sai nhieu den miic tong so trang viet ve no,
neu dUdc tap hdp lai se la hang chuc tap sach 16n? Co the tra
ldi nhiing cau hoi dai loai nhu vay bang cach nghien ciiu tac
pham, cu the la nghien ciiu ban tieng Anh do Talcott Parsons
dich va xuat ban nam 1930 ma chUdng 5 cua cuon nay da
dUdc dich sang tieng Viet.

C a c h d a t v a n d e n g h ie n c iiu c u a W e b e r
Tac pham Dao d iic Tin lanh vd tinh than cua chu nghia
tii bdn dUdc Weber cho xuat ban lan dau tien tren tap chi
Archiv fur Sozialwissenschaft und Sozialpolitik nam 1904-
1905. Mudi lam nam sau, nam 1920, tac pham nay dUdc xuat
ban lai v6i phan chu giai cu va m6i ci cuoi sach ma ve so" lUdng
chu: con nhieu hdn ca phan chinh van cua tac pham. Rieng
mot chi tiet nay cung cho thay van de nghien ciiu trong tac
pham Bao diic... phiic tap nhu the nao va tac gia cua no la

xa hoi dac trung cho xa hoi hoc Hoa Ky, ben trong ong da khai thac nhieu y
ttfdng cua Weber de xay dtfng thuyet cau true, chiic nang trong xa hoi hoc.
1 Han Lam Hdp. M ax Weber. Nxb Thuan Hoa. Ha Noi. 2004. Tr. 195-197
2 Theo binh chon cua Hoi X a hoi hoc quoc te (ISA - International
Sociological Association), cuon sach nay cua W eber chiem vi tri thtf ttf trong
10 cuon sach noi tieng nhat cua the ky 20.

400
Weber da nghiem tuc, can trong den mtic nao trong viec thUc
hien cac quy tac cua phUdng phap khoa hoc trong giai quyet
van de va trinh bay ket qua nghien ciiu.
Trong tac pham nay, ngoai ldi noi dau cua ngUdi dich la
Parsons va ldi nhap mon do Weber viet cho l&n xuat ban cuon
Xa hoi hoc ton gido nam 1920, rieng noi dung tac pham Dao
diic... gom co1:
• Phan 1 “Van de” gom ba chUdng la2: chUdng 1
“Phan tang xa hoi va nguon goc ton giao”, chUdng
2 “Tinh than cua chu nghia tu ban”, chUdng 3
“Quan niem cua Luther ve nghe nghiep” ; tong
cong phan 1 dai khoang 60 trang;
• Phan 2 “Dao diic thuc te cua cac dong phai khd
hanh cua Dao Tin lanh” gom hai chUdng la3:
chUdng 4 “Cac nen tang ton giao cua thuyet khd
hanh tran the1’ va chUdng 5 “Thuyet khd hanh va
tinh than cua chu nghia tu ban”4; Tong cong phan
2 dai khoang 90 trang.
• Cac chu giai, chu thich ci cuoi sach5 v6i tong so
gan 90 trang.

1 Ban dich nay dtfdc xuat ban lai trong cuon sach cung ten bang tieng Anh
nam 1996 v6i Ldi gidi thieu cua Radall Collins.
2 Max Weber. Sdd. The Protestant Ethic... Tr. 33 - 92.
3 Max Weber. Sdd. The Protestant Ethic... Tr. 93 -183,
4 Chtfdng nay da dtfdc dich ra tieng Viet va in trong Hoi khoa hoc lich s i
Viet Nam. Nhitng van de nhan hoc ton gido. Nxb Da N ln g . 2006. Tr. 73-
122 .
5 Max Weber. Sdd. The Protestant Ethic... Tr. 185 - 292.

401
 Ket c£u noi dung tac pham nhii neu tren co mot diem
doc dao la Weber danh ca Phan 1 gom ba chUdng chiem gan
40% tong so hdn 150 trang chinh van de xac dinh van de
nghien ciiu. Md d iu chUdng 1, Weber gi6i thieu khai quat
nhiing sii kien phan tang xa hoi co thiic la1: nhiing ngiidi
theo dao Tin lanh chiem da so trong gidi kinh doanh, chu tii
ban, cong nhan lanh nghe, doi ngu quan ly, doi ngu nhan liic
co trinh do chuyen mon ky thuat va dUdc dao tao ve thudng
mai cua cac cong ty hien dai b Diic va nhieu ndi khac d chau
Au; ti le ngUdi theo Cong giao tham gia kinh doanh it hdn
han so vdi ngUdi theo dao Tin lanh trong suot thdi gian tii
the ky 17 den the ky 19; nhiing ngUdi theo dao Tin lanh,
nhiing ngUdi Thanh giao co tinh than lao dong hang say va
loi song khd hanh khong giong vdi nhiing nhom ngUdi khac
thich an nhan va hu^ng lac cuoc song. Dieu nay co nghia la
sii phan tin g xa hoi co moi lien he nhat dinh nao do v6i long
mo dao cua cac giai tin g xa hoi.
Tii quan sat nhu vay ket hdp vdi nhiing lap luan rut ra
tii nhiing cong trinh nghien ciiu cua mot so tac gia khac ve
moi quan he giiia long mo dao vdi kinh te thi trUdng, Weber
da xac dinh van de nghien ciiu la: moi lien he ben trong giiia
tinh than dao Tin lanh va van hoa TBCN va cho rang can
phai tim moi lien he do, neu co, b trong cac dac diem thuan
tuy ton giao cua no2. Tii do, Weber dat ra nhiem vu nghien

1 M ax W eber (1996). Sdd. The Protestant Ethic. Tr. 35. M ot dieu ltfu y la
Weber da ghi chu ro cac nguon dQ lieu thong ke ve von va trinh do hoc van
cua ngiidi theo dao Tin lanh, dao Thien chua (Cong giao) de minh chiing cho
ket qua quan sat nay.

2 M ax Weber. Sdd. The Protestant Ethic... Tr. 41.

402
ciiu la1: phan tich cac ton giao d chau Au de phat hien ra
nhiing dac tinh ton giao nao anh hudng tdi hanh vi cua cac
nhom xa hoi.

Tinh than cua chu nghia tit ban la gi?

Mot nghien ciiu kieu thUc chiing luan luon doi hoi phai
dinh nghia ro khai niem ngay luc bat dau nghien ciiu. Nhung
“Tinh than cua CNTB” thuoc khai niem loai hinh ly tudng-
lich sti, mot loai khai niem hinh thanh trong qua trinh lich sti
cu the, do do theo Weber, no phai dUdc xac dinh dan dan
trong qua trinh nghien ctiu ve lich sti cua sU hinh thanh tting
noi dung, tting net, tting dac diem va tting tinh chat cua “tinh
than cua CNTB”, chti khong the dinh nghia ngay tti dau cuoc
nghien ctiu2. Weber da danh ca chUdng 2 hdn 30 trang de
phan tich noi dung cua khai niem lich sti “Tinh than cua chu
nghia tu ban”.
Weber tim thay nhting bieu hien “Tinh th in ...” du6i
dang nhting ldi khuyen, nhting cham ngon ndi tieng neu trong
nhting cuon sach xuat ban vao gitia the ky 18, vi du nhu sau3:
• Thdi gian la tien bac: ai co the kiem dUdc 10 dong
mot ngay lam viec ma lai nghi, khong lam viec la
bo phi mat 10 dong;
• Cho vay nd la tien bac: ai chiu nd tien thi phai tra

1 Max Weber. Sdd. The Protestant Ethic... Tr. 40.

2 Day la mot phtfdng phap doc dao ma Weber da ltfa chon va s i dung mot
cach phu hdp v6i doi ttfdng va nhiem vu nghien ctfu ve n h in g khai niem
thuoc loai hinh ly ttfdng-lich s i trdng tac pham ndi tieng nay.
3 M ax Weber. Sdd. The Protestant Ethic... Tr. 48-50.

403
 lai bcii vi do la so tien lai co the dUdc tao ra trong
thdi gian chiu nd;
• Tien bac biet sinh soi: nam dong co the sinh thanh
6 dong, do do ai bo phi mot dong tien co nghia la
giet chet mot hat giong va dong giong con chau, ho
hang cua no nuta;
• NgUdi thanh toan tien tot la chu nhan cua vf tien
ngUdi khac: ai tra tien kip thdi va dung thdi gian
da hiia thi co the vao bat ky luc nao deu co the
huy dong dUdc so tien con du cua ngUdi khac;
• Su miet mai, cham chi la yeu to" tac dong manh
nhat t6i niem tin: neu ngUdi cho ban vay tien ma
thay ban dang mai chdi trong gid lam viec thi ban
co the bi doi lai tien, nhung neu thay ban dang
miet mai lam viec thi niem tin vao ban va kha
nang chi tra cua ban se tang;
• Su than trong va trung thuc cua ban luon lam
tang niem tin d ngUdi khac;
• Can phai tinh toan nhflng gi ban co va hay song
mot cach phu hdp v6i gi ban co;
• Ai bo phi mot lUdng thdi gian dang gia nam dong thi
* ngUdi do bi mat nam dong va co the da mat tat ca
nhung Uu the co the co trong khoang thdi gian do.
Cac nhan dinh mang tmh chuan mUc nhu neu d tren co
kha nang dieu chinh hanh vi cua con ngUdi va la nhiing bieu
hien cua tinh than cua CNTB. Nhiing cau cham ngon dai loai
nhu vay khong chi noi ve bien phap kiem tien ma ngu y ring
ban than qua trinh kiem tien la muc dich; khong chi noi ve

404
cach lam viec nhu the nao, ma am chi rin g ban than viec
lam, cong viec la muc dich, la dao diic. Chat lUdng cuoc song
khong ddn gian la so lUdng tien hay khoan thu nhap tii lao
dong, ma ban than viec lao dong mot cach can cu, chiu kho, co
suy nghi, co tinh toan, trung thiic, nhiet tinh la chat lUdng
cuoc song, la dao diic!
Theo Weber, cai tinh than cua CNTB hien dai chi xuat
hien d chau Au va B lc My. CNTB kieu cu, kieu truyen thong
da co d Trung Quoc, An Do va nhieu ndi khac, nhung ci do,
theo Weber, khong co tinh than cua CNTB hien dai nhu viia
trinh bay. Theo tinh than cua chu nghia tii bdn truyin thong,
ngUdi ta chi nham vao muc dich kiem tien de du an hoac
nhieu lam chi coi ket qua lao dong la muc dich cuoi cung, ma
khong coi qua trinh lao dong la muc dich cuoc song, la le
song1: khong coi ban than lao dong la dao diic xa hoi, dao diic
ca nhan!
Trong mot xa hoi khong phai truyen thong, Weber viet,
“Con ngUdi bi thong tri bdi viec kiem tien, bdi sii gianh dUdc
vdi tinh cach la muc tieu cuoi cung cua cuoc ddi. Su thu ldi
kinh te doi v6i con ngUdi khong con la phUdng tien de thoa
man cac nhu cau vat chat niia”2. Sii kiem ldi kinh te trd
thanh phUdng tien de thoa man nhu cau tinh than, va hdn
the niia, trd thanh muc dich song, le song, nguyen tac song,
dao diic. Dieu nay, nhu Weber nhan xet3, co ve rat ngUdc ddi

1 Tiic la cach nghi, cach mong lidc co mot cuoc song an nhan, sU6ng nhii tien
cl mot ndi khong phai lao dong, khong phai lam viec.
2 M ax Weber. Sdd. The Protestant E th ic ... Tr. 53.
3 Weber da canh bao rin g ban doc dau the ky 20 kho hinh dung noi nhiing
gi da dien ra dudi ap liic cua C N TB hien dai d phiidng Tay the ky 18. Do

405
xet theo cach nghi thong thudng, va rat xa la, kho hieu ddi vdi
nhiing ai chua tiing trai qua ap luc CNTB, nhung no lai la
nguyen ly song cua CNTB.
Tii goc do nghien ciiu khoa hoc, van de dat ra 6 day la:
tai sao viec kiem tien, viec thu ldi kinh te lai mang mot y
nghia mdi nhu vay? Tai sao con ngUdi phai tuan theo cac quy
tic hanh dong kieu TBCN? Dieu gi lam cho qua trinh lam
viec, qua trinh lao dong hay viec kiem tien, viec thu ldi kinh
te trd thanh lUdng tam, dao diic cua xa hoi, cua ca nhan?
Weber tim thay cau tra ldi trong moi lien he vdi cac y tudng
ton giao. Chinh ton giao ma cu the la dao Tin lanh d the ky 17
da lam cho ban than qua trinh lao dong mang mot y nghia
dac biet doi vdi cuoc song con ngUdi. Bdi vi mot ngUdi mo dao
se tin theo mot giao ly rang: ai cham chi kinh doanh ngUdi do
se dUdc den vdi Chua. “Viec kiem tien trong trat tu kinh te
hien dai, neu dung phap luat, la ket qua va bieu hien cua diic
hanh va sU thanh thao trong nghe nghiep”1 va diic hanh dd va
sU thanh thao dd chinh la dao diic2.

Cac loai hinh tinh than cua chu nghia tit ban
Theo Weber, “Chu nghia duy vat lich sii ngay thd”3 cho

vay, viec kho hieu tham chi kho tin hay hieu sai ve W eber la hoan toan co
the giai thich diidc, nhat la doi v6i nhiing ban doc song trong xa hoi cuoi the
ky 20 d iu the ky 21.
1 M ax Weber. Sdd. The Protestant Ethic ... Tr. 54.

2 W eber da tim thay va trich d in nhieu bieu hien cua tinh than cua CNTB
t i trong sach cua Benjamin Franklin.

3 Ngay thd, may moc vi cho rin g co kinh te cua C N TB thi mdi co tinh than
cua CN TB ma khong nhin thay moi hen he phiic tap, bien chiing giiia tinh
than va trat tii kinh te.

406
rin g cai tinh than cua CNTB la y thiic cua xa hoi TBCN va
thuoc ve thudng tang kien true phan anh cd sd kinh te TBCN.
NhUng thuc ra, theo Weber, “Tinh than cua CNTB, theo
nghia ma chung ta sti dung, da phai dau tranh de gianh
quyen song chong lai toan bo the gidi cua cac luc lUdng thti
dich”1 va trong qua trinh nhu vay da hinh thanh, phat trien
mot so" loai hinh tinh than cua CNTB. Weber phan biet: tinh
than cua thdi ky tien CNTB, tinh than cua CNTB truyen
thong va tinh than cua CNTB hien dai vdi cac moi lien he va
bieu hien phtic tap cua no2.
Can cti de Weber phan biet cac loai hinh tinh than cua
CNTB la cach thtic lao dong, cach thtic kiem tien chti khong
phai d dong cd kiem tien3. Su kiem tien co dao dtic, co ky luat,
co y thtic ton trong phap luat, co tmh toan, dan do, cham chi,
miet mai la bieu hien cua tinh than cua CNTB hien dai ma
Weber con goi la tinh than cua CNTB duy ly.
Viec “sti dung tu ban mot cach duy ly” va “sU to chtic tu
ban chu nghia duy ly doi vdi lao dong”4 la tinh than cua
CNTB hien dai ma cac thdi dai trUdc do khong co. Su kiem
tien mot cach tan bao, vo dao dtic kieu nhu an cUdp khong
phai la tinh thin cua CNTB ma la tinh than cua tien CNTB.

1 Max Weber. Sdd. The Protestant Ethic... Tr. 56. Can nhan manh ring, vdi
y ttfdng nay, Weber chi phe phan nhtfng quan diem ngay thd, may moc ve
chu nghia duy vat lich stf chtf khong phai la chu nghia duy vat bien chtfng
ve lich s i xa hoi.
2 Weber con stf dung mot so khai niem khac nhtf “Chu nghia tit bdn thitc
ddn”, “Chu nghia tu ban duy If'.
3 M ax Weber. Sdd. The Protestant Ethic... Tr. 57.
4 M ax Weber. Sdd. The Protestant Ethic... Tr. 58.

407
 Tinh than cua CNTB da phai dau tranh vdi nhan tnuc va
thai do thu dich doi v6i sU tinh toan duy ly trong hanh dong
kiem tien. Tinh than cua CNTB da phai dau tranh manh me
vdi “chu nghia truyen thong” 1 - mot the luc bao thu, mot the
luc khi thi ngam ngam, khi thi cong khai can tret con ngUdi
thich nghi v6i tinh huong mcli.
Tinh than cua CNTB truyen thong khac vdi tinh than cua
CNTB hien dai d cho nao'? Weber tra ldi cau hoi nay mot cach
dinh tinh bang cach neu vl du cho thay ro trUdng hdp thieu
tinh than cua CNTB hien dai 6 hanh dong cua mot nong dan
dien hinh cho mot xa hoi truyen thong. Weber neu vl du sau
day: mot ngUdi nong dan dUdc khoan cat co v6i miic 1 dong
mac II mau (0.4ha) da lam dUdc 2.5 mau va kiem dUdc 2.5
dong mac. NhUng khi mtic khoan tang len 1.25 dong/l mlu
thi ngUdi nong dan nay lai chi lam theo thoi quen, theo
“truyen thong” co 2 mSu de v ln kiem dUdc 2.5 dong chii
khong lam 3 m iu de dUdc 3.75 dong2. Cai cd hoi kiem dUdc
nhieu tien hdn van kem hap d in so vdi cd hoi lam viec It hdn.
Anh ta khong tu hoi xem co the kiem dUdc bao nhieu tien mot
ngay neu lam viec nhieu hdn v6i mtic co the dUdc. Ma anh ta
se hoi: toi phai lam bao nhieu viec de kiem dUdc mile tien
cong, vl du 2.5 dong, nhu mile da tting kiem dUdc trUdc day.
Nhu vay, tinh than cua CNTB khong phai cl dong cd
lam viec, khong phai la cach quan ly dUa vao khoan san
pham ma la thai do cua ngudi lao dong doi v6i lao dong,
viec lam cua ho.

1 M ax Weber. Sdd. The Protestant Ethic... Tr. 59.

2 M ax Weber. Sdd. The Protestant Ethic... Tr. 59.

408
 Chu nghia truyen thong, theo Weber, co nghia la: con
ngUdi ta khong “tii nhien" muon kiem nhieu tien hdn nufa, ma
chi ddn gian la song theo thoi quen da tiing song va chi muon
kiem song du miic can thiet cho muc tieu do1. Vf du, ngUdi
nong dan chi mong muon lam viec cho du song vdi miic song
da tiing quen thuoc, chii khong phai la muon lam nhieu viec
hdn de co cuoc song tot dep, la tim thay y nghia va gia tri
cuoc song ngay trong qua trinh lao dong.
Theo Weber, CNTB hien dai khi bat dau lam tang nang
suat lao dong bang cach tang cUdng do lao dong da gap phai
sU khang cu budng binh cua dac diem cua kieu lao dong “tien
tU ban chu nghia” nay, va da phai dau tranh vdi no, dau
tranh vdi chu nghia truyen thong trong lao dong2.
Theo Weber, CNTB khong ra ddi tvf loai lao dong re tien
hay bang cach tra cong re de lay ldi nhuan nhieu nhu mot so'
quan niem ngay thd v ln tin nhu vay. Bdi vi lao dong gia re se
khong the canh tranh dUdc vdi may moc hay vdi loai lao dong
lanh nghe gia cao. CNTB hien dai dUdc tao bdi mot loai lao
dong dUdc coi la muc dich cua cuoc song, mot sU lao dong tien
dinh. “Lao dong phai trd thanh muc dich tu than tuyet doi,
mot thien hudng nghe nghiep”3.
Nhii the nao la lao dong vdi tii cach la muc dich tii than,
la thien hiidng nghe nghiep? Weber cho biet, dd la loai lao

1 Co the phat hien thay nhieu dac diem tUdng ttf cl ngtfdi nong dan chau thd
B lc Ky dau the ky 20. Xem : Pierre Gourou. Ngticti nong dan chau thd Bdc
K y. Nxb Tre. Ha Noi. 2003.
2 M ax Weber. Sdd. The Protestant Ethic... Tr. 60.
3 M ax Weber. Sdd. The Protestant Ethic... Tr. 63.

409
dong vdi kha nang tap trung tri oc, cam giac ve nghia vu bat
buoc doi vdi cong viec, kha nang thu nhap cao hdn va sU tu
kiem soat lanh lung va tinh can cd, tiet kiem1. Nhd cac dac
diem nhu vay ma nang suat lao dong tang len vUdt bac so vdi
loai lao dong theo kieu truyen tho'ng: lao dong chi c ln du an,
lao dong chi can du song theo mtic da tting quen thuoc.
Theo Weber, cd the phan biet sU dap ting nhu c iu va sU
kiem ldi trong qua trinh hinh thanh CNTB nhu sau2: sU dap
ting nhu cau chi cd nghia la kiem dUdc cac hang hoa can
thiet de thoa man nhu cau ca nhan, con sU kiem ldi la cuoc
dau tranh gianh ldi nhuan khong bi gidi han bdi nhu cau va
la muc dich cuoi cting chi phoi hinh thtic va chieu hudng cua
hoat dong kinh te. “Nen kinh te cua nhu cau” (Economy of
needs) rat giong vdi “chti nghia truyen tho'ng kinh te'’3 (nen
kinh te truyen tho'ng chu nghia - Economic Traditionalism)
trong trUdng hdp cac nhu cau chi gidi han d cac nhu cau
truyen tho'ng. Do vay, nhieu hanh dong kiem ldi ke ca kiem
ldi kieu TBCN nhu doanh nhan sti dung tu ban de kiem ldi
nhuan bang cach san xuat, buon ban v ln cd the mang tinh
chat truyen tho'ng chti khong phai theo tinh than cua
CNTB. Dieu dd cd nghia la hinh thtic TBCN cua cach to
chtic lao dong hay doanh nghiep v in cd the khong mang tinh
than cua CNTB.
Theo Weber, hinh thtic kinh doanh cd the hoan toan la
TBCN vdi dac trUng nhu sti dung von, “tu ban”, quay vong

1 M ax Weber. Sdd. The Protestant Ethic... Tr. 63.

2 M ax Weber. Sdd. The Protestant Ethic... Tr. 63.
3 M ax Weber. Sdd. The Protestant Ethic... Tr. 64.

410
kinh doanh, so sach ke toan, hanh dong duy ly. NhUng kieu
doanh nghiep nhu vay van co the hoat dong kinh doanh theo
chu nghia “truyen thong” bcfi vi truyen thong trong cach hanh
dong - lam viia phai, chi can du an; truyen thong trong ti
le ldi nhuan - khong can lai nhieu, chi can lai vtia phai;
truyen thong trong quan he vdi lao dong - tra cong re, sti
dung lao dong re; truyen thong trong cach ting xti vdi doi
tac va doi thu.
Weber sti dung khai niem “tinh than cua CNTB hien dai”
de noi ve cai thai do tim kiem ldi nhuan mot cach duy ly va
he tho'ng nhu da dUdc dien dat thanh cac cau cham ngon neu
ci tren1. Day la thai do phti hdp nhat cho doanh nghiep TBCN
va doanh nghiep phu hdp nhat d day la doanh nghiep co dong
cd nay tti tinh than cua CNTB2.
Qua trinh duy ly hoat dong theo nguyen tac: nhting ai
khong phu hdp thi bi loai bo3. Van de khong phai la so von tu
ban ban dau huy dong dUdc bao nhieu ma van de la sU phat
trien tinh than cua CNTB dat tdi mtic do nao. Khi tinh than
cua CNTB xuat hien va di vao hoat dong thi no lam cho von
de ra von, tien de ra tien nhd thai do lam viec nhu “Trdi
dinh”, “Trdi khien” cua cac chu the lao dong4. Tinh than cua
chu nghia truyen tho'ng khong gitip ho vUdt qua dUdc nhting

1 M ax Weber. Sdd. The Protestant Ethic... Tr. 64.

2 M ax Weber. Sdd. The Protestant Ethic... Tr. 65.
3 Dieu nay gdi ta nhcl den quy luat dau tranh sinh ton va chon loc ttf nhien.
4 Mot so quan niem ngay thd thtfdng chi nhan manh dong cd la long tham
khong day cua con ngtfdi nen da khong the giai thich dtfdc tai sao nhieu
ngtfdi cung tham nhtfng khong the giau co va tai sao co nhiing ngtfdi vo
cung giau co roi m a van tiep tuc lao dong, lam viec nhtf quen minh.

411
kho khan, can trci, ma chi co tinh than cua CNTB m6i tao ra
dong luc ben trong du stic chi£n thing cac hang rao ben trong
cua con ngUdi. Nhting ngUdi mang tinh than cua CNTB co the
hoan toan cong hien ca cuoc ddi minh cho kinh doanh v6i cac
nguyen tic, thai do va quan niem TBCN nghiem ngat.
“He tho'ng tu ban chu nghia can den sU cong hien het
minh cho nghe nghiep (sU nghiep) kiem tien”1. Kiem tien nhu
la muc tieu tu than, nhu la sti menh, la thien hu6ng nghe
nghiep, la y thtic dao dtic.
Kinh te TBCN dua tren qua trinh lao dong v6i sU tinh
toan ky lUdng, dUdc dinh hudng bdi tam nhin xa va sU than
trong doi v6i cac thanh cong kinh te. Dieu nay trai ngUdc v6i
cach lam kieu nong dan “tay lam ham nhai” va doi lap v6i
chu nghia truyen tho'ng dac quyen dac ldi ctia cac chu xUcing
va do'i lap vcfi “chu nghia tit bdn phieu liiu” dinh hudng vao
khai thac cac cd hoi chinh tri va dau cd phi ly2.
Van de nghien ctiu ci day co the diln dat thanh cau hoi la:
tai sao lai xuat hien kieu lao dong theo tinh than cua CNTB
nhu vay? Tai sao lao dong lai co dUdc mot linh hon m6i - mot
tinh than cua CNTB nhu vay?
Weber cho rang can phai tra ldi cau hoi nay va giai quyet
van de nghien ctiu trong qua trinh xem xet mo'i lien he cua
lao dong vdi ton giao, bcii vi mot khi lao dong trd thanh sti
menh, thien hudng nghe nghiep thi ch ic h in tren thuc te da
co sU bien doi to 16n trong the gicii tam linh cua con ngUdi hay
it nhat la trong cach thtic tao ra niem tin d con ngUdi. Cau hoi

1 M ax W eber. Sdd. The Protestant Ethic... Tr. 72.

2 M ax W eber. Sdd. The Protestant Ethic... Tr. 76

412
cl day la mot khi lao dong la thien hiidng nghe nghiep thi ai
trao cho sii menh do? Cau tra ldi hoan toan mang tinh giao ly
la lao dong dUdc coi la “nhiem vu do Chua Trdi dinh”1. Sii
menh dUdc hieu la sii hoan thanh cac bon phan dat ra doi vdi
moi ca nhan bdi vi tri cua ho tren ddi2. Chinh giao ly Tin lanh
da dem lai y nghia ton giao dac biet cho moi quan he giufa con
ngUdi va lao dong: phai coi lao dong la mot thien hudng nghe
nghiep thi mdi dUdc Chua Trdi chap nhan.
Nhu vay, Weber da danh ca Phan 1 gom ba chUdng de
neu van de nghien ciiu va dan dan xac dinh noi dung cac khai
niem cd ban theo dung phUdng phap nghien ctiu loai hinh ly
tudng ma ong da lUa chon va ap dung de phan tich cac sU
kien lich sti cua sU phan tin g xa hoi va sU bien doi cua lao
dong trong xa hoi. Tinh than cua CNTB la mot khai niem
thuoc loai hinh ly tUdng-lich sti, do do, cting dan dan dUdc
lam sang to qua phan tich cac sU kien lich sti cua sU hinh
thanh va phat trien CNTB3. Van de nghien ctiu dUdc Weber
dat ra trong phan 1 tac pham nay la lam ro mo’i quan he d do
cac phong trao ton giao anh hudng tdi sU phat trien van hoa
vat chat cua chu nghia tu ban4. Weber khong gidi han van de
nghien ctiu ve vai tro cua ton giao do'i vdi su phat trien
CNTB, nhu mot so' nha phe binh van hay hieu lam, ma gdi ra
van de nghien ctiu sau rong ve qua trinh bien doi xa hoi trong

1 Max Weber. Sdd. The Protestant Ethic... Tr. 79

2 M ax Weber. Sdd. The Protestant Ethic... Tr. 80.
3 Bang phtfdng phap nghien c iu dac biet nay, mai den cuoi chtfdng 5 -
chtfdng cuoi cung cua tac pham, Weber mdi dua ra cach hieu ro rang va day
du hcin ve “tinh than cua chu nghia tU ban”.
4 M ax Weber. Sdd. The Protestant Ethic... Tr. 92.

413
moi lien he rat phtic tap vdi qua trinh duy ly hoa ddi song xa
hoi cua con ngUdi.
“Dao dtic thuc te cua cac nhanh dao Tin lanh kho hanh”
la nhan de cua phan 2 vdi chUdng md daU, chUdng 4, ban ve
“Cac cd sd ton giao cua thuyet khd hanh trin the*. Weber cho
rin g trong lich sti cua xa hoi phUdng Tay ton tai bon hinh
thtic cd ban gan bo chat che vdi nhau cua dao Tin lanh khd
hanh1: (1) thuyet Calvin anh hudng manh d Tay Au vao the
ky 17, (2) Hoi Sung dao (Pietism), (3) Hoi Giam ly va (4) cac
giong phai Baptist.
Khi nghien ctiu nhting bien doi ton giao, Weber khong
quan tam tdi cau hoi, vf du, dieu gi da dUdc ran day trong cac
giao ly cua ton giao nay hay ton giao kia, ma ong quan tam
tdi y nghia thuc te cua he gia tri, van hoa, chuan mUc ton
giao; Weber quan tam tdi su anh hudng cua nhting quy pham
tam ly nao b it nguon tti niem tin ton giao va tti thuc hanh
ton giao da dem lai sU dinh hudng cho hanh dong thuc te va
g in ca nhan vdi hanh dong do2. Ndi cach khac, Weber muon
tim hieu moi quan he gitia cac y tudng ton giao vdi cac ldi fch
ton giao thuc te.
Cd sd ton giao cua thuyet khd hanh cd le b it nguon tti
cau tra ldi cho nhting cau hoi rat cd ban va quan trong ve so"
phan con ngudi, ve y nghia cuoc song, ve dtic tin. Vf du, cd bao
nhieu ngUdi va ai se dUdc chon cho sU vinh quang ddi ddi? Toi
cd phai la mot trong so' nhting ngUdi dUdc Chtia Trdi lUa chon
khong? Lam the nao toi cd the tin chac vao sU vinh quang?

1 M ax Weber. Sdd. The Protestant Ethic... Tr. 95

2 M ax Weber. Sdd. The Protestant Ethic... Tr. 97.

414
Lam the nao duy tri diidc long tin? Day la nhiing cau hoi vo
cung quan trong do’i vdi bat ky mot ngiidi nao mo dao, cd diic
tin1. Theo thuyet Calvin, chi co mot bo phan nho so ngiidi
diidc chon cho sU vinh quang ddi ddi va moi thii chi cd y
nghia nhii la phiidng tien cho sii vinh quang va uy nghi cua
Chua Trdi2. Cach tot nhat de duy tri long tin - la hoat dong
tran the, nhd hoat dong nay ma su hoai nghi ton giao bi xua
tan va dem lai sii xac dinh cua vinh quang3. Nhiing ngiidi
theo dao Tin lanh cho rin g b&ng hanh dong trin the ma cu
the la hoat dong lao dong cua minh ho se dUdc lUa chon va
dUdc giai thoat.
Trong khi dd, theo Weber, giao dan theo Cd doc giao
thdi ky Trung cd song mot cach dao diic kieu “tii tay den
mom”, “tay lam ham nhai” , tiic la chi quan tam tdi ldi ich
vat chat trUdc mat. Ho cd y thiic thuc hien cac nghia vu
truyen thong cua ho, nhung chi thiic hien d miic toi thieu
chii khong phai mot cach he thong, kien tri. “Dao diic Cd
doc giao la dao diic cua cac y dinh”4. Cd doc giao khong
thuc hien qua trinh duy ly hoa the gidi, khong loai bd ma
thuat vdi tu cach la phUdng tien de giai thoat nhu Thanh
giao. Doi vdi Cd doc giao, su tuyet do'i hoa nha thd la sii bu
dip cho sii thieu hoan thien cua ho. Cha co' la ngUdi cua
ma thuat cd kha nang thiic hien nhiing sii than ky va la
ngudi n lm giii chia khoa cua cuoc song ddi ddi trong tay5.

1 M ax Weber. Sdd. The Protestant Ethic... Tr. 110

2 M ax Weber. Sdd. The Protestant Ethic... Tr. 103.
3 M ax Weber. Sdd. The Protestant Ethic... Tr. 112.
4 M ax Weber. Sdd. The Protestant Ethic... Tr. 116.
5 M ax Weber. S dd. The Protestant Ethic... Tr. 117

415
Cd doc giao chi doi hoi con chien nhiing viec lam tot rieng
le, rdi rac. Trong khi do, Chua trdi cua thuyet Calvin doi
hoi con chien cua minh khong phai nhiing viec thien rieng
le ma ca mot cuoc ddi lam viec thien (a life of good works)
va cac viec thien do hdp thanh mot he thong thong nhat.
Do'i v6i nhiing ngUdi theo dao Tin lanh, khong con cai vong
luan quan nhu d Cd doc giao la: toi 16i - an nan hoi loi - sU
chuoc loi - sii giai thoat - toi loi m6i. Ddi v6i ngUdi theo dao
Tin lanh, ho phai tu ctiu minh bang hanh dong tran the,
b ln g nhting no liic lam viec hang ngay.
Da hinh thanh ca mot qua trinh duy ly, phUdng phap
hanh dong duy ly mot cach he thong vdi muc tieu la vUdt qua
trang thai tu nhien, la giai phong con ngUdi khoi quyen luc
cua cac kich thich phi ly va sii phu thuoc vao the gi6i va phu
thuoc vao tu nhien1.
Thanh giao, tudng tu nhu bat ky mot loai thuyet khd
hanh duy ly nao khac da co gln g lam cho con ngUdi co kha
nang hoat dong va duy tri hanh dong khong theo cam xuc.
Muc tieu cuoi cung cua thuyet khd hanh la giup dua con
ngUdi den mot cuoc song duy ly, cuoc song cua tri tue va
thong minh: nhiem vu cap bach nhat ma thuyet nay dat ra
cho con ngudi la hay choi bo sii vui sUcing tu phat, ttic thdi; va
phUdng tien quan trong nhat ma thuyet nay cung cap cho con
ngUdi la xac lap lai trat tu cho hanh dong, co the hieu la hay
hanh dong theo trat tu cua no, quy luat cua no2.
Theo Weber, mot ngUdi song cuoc ddi duy ly theo nghia

1 M ax Weber. Sdd. The Protestant Ethic... Tr. 119.

2 M ax Weber. Sdd. The Protestant Ethic... Tr. 119.

416
ton giao se chi la mot thay tu. (Jd doc giao hay Thien chua
giao doi hoi con chien song cuoc ddi cua thay tu. Thuyet
Calvin dua ra quan niem khac han va tich cUc hdn: con chien
can phai chiing minh niem tin cua minh trong hoat dong tran
the chii khong phai trong cuoc song tu vien1. Theo nghia nhu
vay, thuyet Calvin doi hoi con ngUdi phai thudng xuygn tu
kiem soat va tii dieu chinh cuoc song cua minh, tiic la phai
song co dao dtic mot cach duy ly2. Vdi nhting phan tich nay,
Weber muon noi tdi mot qua trinh xa hoi sau s ic hdn dd la
qua trinh duy ly hoa ddi song xa hoi ma mot bo phan quan
trong hang dau cua nd la y tudng ton giao cua dao Tin lanh
kho hanh the ky 17.

Thuyet kho hanh va tinh than cua chu nghia ttf ban
Vdi nhan de gan nhu trung vdi ten sach, chUdng cuoi
cung nay, chUdng 5, cd the dUdc xem nhu la phan tong ket,
khai quat hoa toan bo noi dung cua tac pham3, Weber
muon trinh bay mot cach tong hdp nhiing dinh nghia cd
ban cua cac khai niem thuoc loai hinh ly tudng-lich sti ma
ong da neu ngay tii dau qua trinh phan tich cac sii kien
lich sti, vi du khai niem “tinh than cua chu nghia tu ban” .
Trong suot tac pham cua minh, Weber da can than xem xet

1 M ax Weber. Sdd. The Protestant Ethic... Tr. 121.

2 M ax Weber. Sdd. The Protestant Ethic... Tr. 126.
3 M ax Weber. Thuyet kho hanh vd tinh than cua chu nghia ttf bdn, Hoi khoa
hoc lich s i . Nhitng van d i nhan hoc ton gido. Nxb Da N ln g . 2006. Tr. 73-
123. Day la ban dich chtfdng 5, chtfcfng cuoi cung cua tac pham nay, dai 50
trang, co 119 trich d in v6i so' ltfdng c h i chic nhieu hdn ca phan chinh van
cua chtfdng nay; chtfa ke 36 muc chu thich cua ngtfdi dich/hieu dinh dai 3
trang c h i nho h ti ci cuoi chtfdng.

417
moi lien he giiia “y tudng ton giao cd ban cua dao Tin lanh
kho hanh va cham ngon cua no trong cach quan ly kinh te
hang ngay” 1 va tim hieu ky lUdng y nghia dao ly thUc sii va
ting dung cua cac y tudng do trong ddi song tran the cua
con ngUdi2.
Co the tim thay nhiing y tudng ton giao cd ban cua dao
Tin lanh kho hanh d dau? Weber da sii dung phUdng phap
phan tich noi dung tai lieu doi vdi cac van ban Thanh giao
(Puritanism) va cac cong trinh cua nhieu tac gia tieu bieu
khac de lam sang to anh hUdng cua ton giao trong ddi song xa
hoi phUdng Tay the ky 17-18.
Cac y tudng ton giao cd ban cua dao Tin lanh kho’ hanh la
gi? TrUdc het, can thay r&ng cac y tudng ton giao luon cd tinh
hai mat: mot la phe phan, hai la de cao. Vi du, mot y tudng
goc cua thuyet kho hanh, mot mat, phan doi ve mat dao dtic
ddi vdi viec theo duo’i sii giau sang vat chat va sii tan hudng
sii giau sang vat chat vdi hau qua la su ludi nhac va sU cam
dd than xac; mat khac khang dinh rang con ngUdi song tren
mat dat cd sii menh phai lao dong de dUdc hudng an hue cua
Chua, “lam viec la dao diic” chti khong ddn gian vi ly do vi ldi
nhu cau ndi “cd lam mdi Co an” hay “ngUdi khong lam thi se
khong an”.
Doi vdi mot ngUdi theo thuyet kho hanh thi, “Mot ngUdi
khdng chi lam viec de song, ma song vi cdng viec cua minh”.
Con ngudi phai tu nguyen lam viec vi dd la dao diic, vi dd la
cach de the hien long kinh Chua va la cach de dUdc ciiu roi.

1 M ax Weber. Sdd. Thuyet kho hanh... Tr. 73.

2 M ax Weber. Sdd. Thuyet kho hanh... Tr. 73.

418
 Ttfdng ttf nhtf vay, nhiing y ttfdng khac cung luon chtia
dtfng yeu to" phong ngtia mat nay va khuyen khlch mat kia, vl
du:. “Lang phi thdi gian vi vay la toi loi dau tien va toi te
nhat”1, la rat dang bi len an ve mat dao dtfc. Noi nhiing ldi vo
bo, khong can thiet cung la toi loi. Ngu nhieu hdn mtic c&n
thiet cho siic khoe cung la toi loi. Do do, “Hay quy trong thdi
gian va ngay cang can trong hdn de khong danh mat mot chut
thdi gian nao” bdi mdi mot gid bi mat di la mot gid khdng lam
viec va la mot stf ltfdi nhac, la mac mot toi loi.
“Hay toan tam trong viec sieng nang thtfc hien nghe
nghiep hdp phap cua minh hay “Lam viec cham chi
trong nghe nghiep cua minh” . Lao dong tri oc va lao dong
chan tay mot cach chuyen can, chuyen nghiep lap di lap lai
theo mot thien htfdng la ket qua cua hai dong cd: thii nhat
lao dong mang mot y nghia cua dao dtfc tdn giao2 va thii
hai la lao dong dtfdc coi la mot stf ttfdng thtfdng va an hue
thieng lieng3. Moi ngtfdi phai lam viec vi stf ve vang than
thanh. Do dd, ngtfdi giau cung phai lao dong de dtfdc htfdng
stf ve vang nay.
Thuyet kho hanh ddi hdi mdi ngtfdi phai lao dong mot
cach chuyen nghiep, chuyen can, thtfdng xuyen, lien tuc, mot

1 M ax Weber. Sdd. Thuyet kho hanh... Tr. 77.

2 Weber viet: “M ot mat lao dong la phiidng thiic khd hanh diidc cong nhan,
nhu no da luon dtfdc c6ng nhan trong Giao hoi phtfdng Tay, trong stf ttfdng
phan ro net khong nhiing chi vdi Phtfdng Dong ma con v6i phan 16n nhiing
ky luat ttf vien khac tren the gi6i”. M ax Weber. Sdd. Thuyet kho hanh... Tr.
79-80
3 W eber viet: “Khong ttf nguyen lam viec la mot trieu chiing cua stf thieu
long thtfdng va an hue cua Chua”. M ax Weber. Sdd. Thuyet kho hanh... Tr.
81.

419
cach duy ly, mot cach tu nguyen va tim thay d lao dong mot
y nghia dao diic ton giao, mot trach nhiem ton giao, mot sii
menh ma Chua da giao cho. “Dieu Chua doi hoi khong phai
la ban than lao dong ma la lao dong duy ly trong mot thien
hudng” 1. Vdi mot tinh than dac biet nhtl vay, lao dong thiic
sii la vinh quang, mot dieu rat khd tim thay d van hoa
phiidng Ddng.
Weber da ndi den sii phan biet lam giau hdp thiic va
lam giau khdng hdp thiic: ngiidi ta cd the lao dong de trd
nen giau cd vi Chua, day la sii lam giau hdp thiic. Khac di
la sii lam giau toi ldi dang bi len an. Ngiidi ta cd the lao
dong vi sii tien bo cua ban than tiic la lam cho moi tai
nang cua minh tien bo. Thuyet kho’ hanh ung ho sii lam
giau chinh dang cua doanh nhan neu ngiidi dd la ngiidi cua
cong viec, neu ngiidi dd lam viec chuyen nghiep theo mot
thien hiidng, neu ngiidi dd lam giau vi Chua va dox vdi
nhiing ngiidi nhii vay, cdng viec san xuat kinh doanh cua
ho luon dUdc Chua phu ho2. Sii giau cd chi bi coi la xau xa
ve mat dao ly khi nd khien con ngiidi trd nen liidi bieng va
ham me hiidng lac vat chat3.
Thuyet kho’ hanh phan doi va phe phan nhiing ngiidi
ngheo nao khdng chiu khd lao dong, khdng cd" gang lam

1 M ax Weber. Sdd. Thuyet kho hanh... Tr. 85.

2 M ax Weber. Sdd. Thuyet kho hanh... Tr. 89.
3 W eber viet: “Giau co vi the chi xau ve mat dao ly khi no la mot cam do ddi
vdi stf ltfdi nhac va nhiing htfdng thu toi loi cua ddi song, va cac vat htfu ich
cua no la xau xa chi khi nao no dtfdc dung vdi muc dich cua cuoc song vui ve
sau do va khong quan tam den cai gi”. M ax Weber. Sdd. Thuyet kho hanh...
Tr. 87.

420
viec de thoat khoi doi ngheo ma cti khu khii giti mai sti
ngheo kho; va cai “mong muon lam ngiidi ngheo kho” cung
tiidng tii nhii sii liidi bieng deu la toi loi, deu la sii xuc
pham tdi vinh quang cua Chua. Thanh giao cho rang “bo"
thi khong phai la tti thien” 1.
Thuyet kho hanh chong lai sii hiidng thu cuoc song mot
cach tii phat va tat ca nhting gi ma no dem den. Tti do xuat
hien thuyet kho hanh duy ly. Thanh giao nghiem cam moi sii
tieu dung xa xi, ngiidi co cua cai diidc hieu la ngiidi diidc
Chua uy thac trong nom cua cai va se la nguy hiem neu tieu
phi bat ky mot khoan tien nao, mot dong xu nao cho muc dich
khong phuc vu sii vinh quang cua Chua2. Thanh giao khuyen
khich viec lam giau mot cach duy ly, nhiing chong lai viec
tieu dting mot cach phi ly3. Tat ca nhting dac diem nhii loi
song co trach nhiem vdi cong viec, vdi cua cai; thai do can cd,
tiet kiem giti cho cua cai khong suy giam ma sinh soi nay nci;
nhting no liic lam cho doanh nghiep trd thanh mot thiic the
thieng lieng va tinh than lam viec miet mai, khong ngiing
nghi vi sii vinh quang cua Chtia deu co y nghia thuc day sii
phat trien cua CNTB4.
Thuyet kho hanh Tin lanh chong lai sii hiidng thu cua cai

1 “Chinh thuyet khd hanh Thanh giao da tham gia vao viec lam cho Luat
C iu trd Ngheo doi cua Anh trd thanh nghiem khac, dieu da lam thay doi
mot cach can ban tinh trang nay”, t ic la lam giam han so' ngtfdi lang thang
di an xin trong cong ddng xa hoi. M ax Weber. Sdd. Thuyet khd hanh... Tr.
112 .
2 M ax Weber. Sdd. Thuyet kho hanh... Tr. 101-102
3 M ax Weber. Sdd. Thuyet khd hanh... Tr. 103.
4 M ax Weber. Sdd. Thuyet khd hanh... Tr. 102

421
mang tinh tii phat, nghiem cam sii tieu dung phi ly va sii xa
xi; ung ho sii lam giau duy ly, chong lai viec sii dung sii giau
co mot cach phi ly, phi khoa hoc tiic la sii chi tieu de thoa
man nhiing nhu cau khong cap thiet lam.
Thuyet khd hanh khong ung ho viec lam giau b in g moi
gia hay sii lam giau phi ly ma ung ho sii lam giau duy ly, hdp
phap, hdp ly, hdp thiic. “Ve mat lam giau mang tinh ca nhan,
thuyet khd hanh len an ca sii khong trung thiic lan sii tham
lam hap tap”1, tiic la khong duy ly.
Khong chi viec kiem tien va tiet kiem diidc gin cho y
nghia thieng lieng ton giao ma ca viec lam tii thien cung vay
diidc g in cho dong cd ton giao: vi an hue cua Chua2.

Dinh nghia day du ve tinh than cua chu nghia t\i ban
Gan cuoi qua trinh phan tich, Weber mdi di den mot dinh
nghia ro rang va day du ve tinh than cua CNTB - mot thii
tinh than thuc day con ngiidi lao dong va soi sang hanh vi lao
dong va toa sang toan bo cuoc song con ngiidi: “danh gia
mang tinh ton giao ve lam viec lien tuc, khong ngiing nghi va
co he thong trong mot thien hiidng nghe nghiep, nhii phiidng
tien cao nhat doi vdi thuyet kho hanh, va cung luc la bang
chiing ro rang va ch ic ch in nhat cho sii dau thai va diic tin
dich thiic, h in phai la mot ddn bay co the hieu diidc cho sii

1 M ax Weber. Sdd. Thuyet kho hanh... Tr. 104

2 Weber trich dan mot ldi khuyen rang “nhiing ngiidi da kiem diidc moi ldi
nhuan ma ho co the va tiet kiem tdi miic cao nhat m a ho co the cung nen
cho tdi mile nhieu nhat m a ho co the, nhif vay ho se co them an hue va de
danh mot kho bau tren thien dang”. M ax Weber. Sdd. Thuyet kho hanh...
Tr. 110.

422
toa rong cua thai do doi vdi cuoc song ma d day chung ta goi
la tinh than cua chu nghia tu ban”1.
Ton giao phat trien tdi dinh cao cua sU nhiet tinh ton
giao thuan khiet va chuyen sang ton giao khd hanh duy ly the
hien d sU anh hudng to ldn cua no doi vdi hoat dong kinh te
va giao due dong cd kinh te duy ly2. Weber cho rang: ky
nguyen ton giao ldn, thuyet khd hanh Tin lanh the ky 17 da
de lai mot dieu tot lanh dang ngac nhien, dd la su ung ho viec
thu vet tien bac mot cach cd lUdng tam, ung ho viec tim kiem
ldi nhuan “chting nao nd dUdc thuc hien mot cach hdp phap” 3
va phu hdp vdi dao ly, dao dtic.
Vdi sU xuat hien cua thuyet khd hanh, Weber cho ring,
“Mot dao ly kinh te tu ban cu the da ldn day”4. Dd la gi? Dd la
y thtic dUdc an hue cua Chtia, sU phti ho cua Chtia khi theo
dudi ldi nhuan, khi lam giau mot cach hdp phap. Thuyet khd
hanh ton giao (Tin lanh) da cung cap cho nhting doanh nhan
va nhting ngUdi lao dong cai y thtic tinh tao va sU can man,
chuyen cin trong cong viec, va bien ho thanh “nhting ngUdi

1 Max Weber. Sdd. Thuyet kho hanh... Tr. 104. Weber viet: “M ot trong
nhufng thanh phan cd ban trong tinh than cua chu nghia tu ban hien dai, va
khong chi cua rieng no m a con cua tat ca moi van hoa hien dai: hanh kiem
mang tinh duy ly (rational conduct - cach iing x i duy ly) tren cd sd cua quan
diem thien htfdng nghe nghiep da ra ddi - dieu ma ban luan nay tim cach
chting minh - t i tinh th in cua thuyet khd hanh Kito giao”. M ax Weber.
Sdd. Thuyet kho hanh... Tr. 115.
2 Theo Weber: “Luc do tinh manh het cua viec tim kiem Ntf6c Chua da bat
dau tin g btfdc mot chuyen sang dao d ie kinh te tinh tao’ n h in g coi nguon
ton giao dan mat di, nhtfdng chd cho tinh chat tran tuc vi ldi”. M ax Weber.
Sdd. Thuyet kho hanh... Tr. Tr. 110.
3 M ax Weber. Sdd. Thuyet kho hanh... Tr. 111.
4 M ax Weber. Sdd. Thuyet kho hanh... Tr. 111.

423
bam chat lay cong viec cua minh nhu la mot muc aicn sung
dUdc Chua chi ra”1. Mot ngudi sung dao se lam viec cham chi,
sieng nang nhu dUdc Chua day bao bdi vi ngiidi do co “liidng
tam trong viec thiic hien trach nhiem cua minh” . Weber cho
rin g rat dung khi nhan xet rang “nhiing di dan theo dao Tin
lanh la nhufng ngudi tien phong cua lao dong lanh nghe” , lao
dong chuyen nghiep2. Luc bay gid, tiic la vao the ky 17, lao
dong cftuyen nghiep dUdc hieu la mot nghe nghiep ma mot
ngUdi co the song ca ddi vdi nd vdi mot thai do lao dong cham
chi, sieng nang, chuyen can va coi dd nhii mot muc dich song
cua minh3.
Weber da phan biet sii ly giai mang tinh ton giao vdi
sii ly giai mang tinh vi ldi doi vdi lao dong va sii phan tang
xa hoi. Vi du, do'i vdi sii phan tang xa hoi, ly giai mang
tinh tdn giao cho biet da so moi ngudi chi khi nao ngheo
khd mdi tin theo Chua va chi mot so" it ngudi giau cd khdng
bi sii hudng thu giau sang cam dd va van tin theo Chua. Do
dd, sii phan tang xa hoi la mang tinh dinh menh do Chua
liia chon, sap dat mot cach bi mat ma con ngUdi khdng biet
dUdc4. Ly giai mang tinh vi ldi cho biet: “phan ddng moi
ngUdi chi lao dong khi nao nhiing nhu cau thiet yeu buoc
ho phai lam nhu vay”5.
Thuyet khd hanh da tao ra mot dong cd dao ly, mot

1 M ax Weber. Sdd. Thuyet kho hanh... Tr. 111.

2 M ax Weber. Sdd. Thuyet kho hanh... Tr. 111.

3 Ngay nay, lao dong chuyen nghiep mang nhieu yeu to mdi, vi du yeu to
chuyen mon dUdc dao tao va tri thiic khoa hoc, cong nghe hien dai.
4 M ax Weber. Sdd. Thuyet kho hanh... Tr. 112
5 M ax Weber. Sdd. Thuyet kho hanh... Tr. 112.

424
tam ly cho rang lao dong nhii la “mot thien hiidng nghe
nghiep, nhii la dieu tot nhat,... la phUdng tien duy nhat
cua viec dat dUdc an hue c h ic c h in ” va da “hdp phap hoa
viec khai thac sii san sang lao dong cu the nay, trong dd nd
con ly giai hoat dong kinh doanh cua gidi chu nhu mot
thien hiidng nghe nghiep” 1. TrUdc day vao the ky 17, “Lao
dong trong mot thien hudng nghe nghiep nhu vay la dUdc
dinh bdi y Chua” 2 va chu nghia tu ban thdi ky dau cua sii
phat trien cua nd can nhiing ngiidi lao dong coi cdng viec la
muc dich de khai thac ve mat kinh te. Ngay nay, CNTB
hien dai (the ky 20) da pha huy y nghia tdn giao cua lao
dong, bdi vi ngay nay nd dang nam dUdc cai the va quyen
lilc cd the buoc moi ngUdi lao dong ma khdng can sii phe
chuan tien nghiem kieu tdn giao3.

1 Max Weber. Sdd. Thuyet kho hanh... Tr. 113. Weber viet: “Gid day dtfdng
nhien toan bo van ban ve sii kho hanh cua hau het cac giao phai dtfdc tham
dim quan diem rin g lao dong trung thanh, tham chi v6i tien cong re mat,
ve phan nhiing ngtfdi ma cuoc song khong cho ho nhiing cd hoi khac, la rat
lam Chua hai long. Ve phtfdng dien nay thuyet Tin lanh khd hanh khong
them dtfdc dieu gi mdi cho ban than no. Nhtfng no khong chi lam sau sic
them quan diem nay mot cach het siic manh me, ma con tao ra mot tac
dong to ldn mang tinh quyet dinh doi vdi hieu ltfc cua nd: stf phe chuan
mang tinh tam ly cua nd thong qua khia niem ve lao dong nhtf mot thien
htfdng nghe nghiep, nhtf la dieu tot nhat, thtfdng trong phan tich trtfdc la
phtfdng tien duy nhat cua viec dat dtfdc an hue chic chin. V a mat khac nd
hdp phap hoa viec khai thac stf san sang lao dong cu the nay, trong dd nd
con ly giai hoat dong kinh doanh cua gidi chu nhtf mot thien htfdng nghe
nghiep”. M ax Weber. Sdd. Thuyet kho hanh... Tr. 113.
2 M ax Weber. Sdd. Thuyet kho hanh... Tr. 113-114.
3 Weber viet: “Ngtfdi Thanh giao muon lam viec trong mot thien htfdng nghe
nghiep; chung ta thi bi buoc phai lam dieu dd. V i khi thuyet kho hanh ra
khoi cac chan song tu vien de hoa vao ddi song hang ngay, va b it dau thong
tri dao diic the tuc, nd thtfc hien vai tro cua inh trong viec xay dtfng vu tru

425
 Weber da trich dan mot triidng hdp kho giai thich doi
vdi ai thieu tinh than cua CNTB, ma cu the d day la doi vdi
mot ngUdi Dtic khi sang song trong mot gia dinh ngiidi My,
dd la: tai sao mot dng gia ngudi My mdi nam kiem dUdc 75
ngan dola ma van chua thoa man, chUa chiu nghi ngdi van
muon lam viec ntia, van muon mot ngay chu nhat nhanh
chong qua di de lai tiep tuc lao dong chuyen ckn trong mot
tuan lam viec mdi?1.
Trong ph ln ket cua tac pham nay, Weber to ra hoai nghi,
tham chi la bi quan ve sii bien doi xa hoi hien dai khi ong

to ldn cua trat til kinh te hien dai. Trat ttf nay hien tai gidi han trong nhiing
dieu kien kinh te va ky thuat cua cac san pham m ay moc ma ngay nay
quyet dinh dcJi song cua moi ca nhan sinh ra trong cd che nay, khong chi
nhtfng ai quan tam trtfc tiep den tich luy kinh te, v6i mot ltfc khong the
chong lai dtfdc. Co le no se quyet dinh ddi song cua ho cho tdi khi tan than
da cuoi cung dtfdc dot chay. Trong quan diem cua Baxter, moi quan tam den
cua cai ben ngoai chi nen n lm tren vai cua cac thanh “nhtf mot tam ao
choang nhe ma ong ta co the vtft bo bat ctf luc nao”. Nhtfng dinh menh da
quyet dinh rin g chiec ao choang vdi nghia la dong cd lam giau vat chat trd
thanh mot chiec long s it ”. M ax Weber. Sdd. Thuyet kho hanh... Tr. 116-117.
W eber viet tiep: “Bdi vi thuyet khd hanh dam trach viec thay doi mo hinh
the gidi va tien trien ly ttfdng cua no tren the gi6i, cua ciu vat chat da dat
dtfdc stf tang trtfdng va cuoi cung mot the ltfc bao trum cuoc song con ngtfdi
khong nhtf bat cti giai doan nao trtfdc do trong lich sti. N gay nay tinh than
cua thuyet khd hanh mang tinh ton giao - ai biet dtfdc lieu co phai la cuoi
cung? - da thoat khoi chiec long. Nhtfng chu nghia ttf ban chien thang, vi
dtfa tren nen tang cd khi, khong con can den stf trd giup ctia no niia....
Trong khu vtfc phat trien cao nhat ctia no, tai ntfdc M y, viec theo dudi stf
giau co, bi boc tran khoi y nghia dao ly va ton giao ctia no, co xu htf6ng dtfdc
gan vdi nhtfng tinh cam hoan toan tam thtfdng, m a tren thtfc te thtfdng cho
no dac tinh ctia the thao”. M ax Weber. Sdd. Thuyet kho hanh... Tr. 117.
1 M ax Weber. Sdd. Thuyet kho hanh... Tr. 117. Cach giai thich gian ddn,
may moc se vien dan long tham lam ctia con ngtfdi. Nhtfng nhtf the co nghia
la khong dem led stf hieu biet gi m6i.

426
cam thay rin g mo’i quan tam tdi cua cai vat chat co nguy cd
trd thanh chiec long s it va viec theo dudi su giau co noi rieng,
lao dong noi chung bi tudc mat y nghia dao ly va ton giao1.
Nhu vay, van hoa tinh than noi chung va cac y tudng ton giao
Tin lanh the ky 17 noi rieng khong ddn gian la gop phan hinh
thanh tinh than cua CNTB ma da co anh hudng sau rong tdi
toan bo sU bien doi xa hoi, ma thieu sU dinh hudng gia tri va
dao ly, sU bien doi dd cd the se bi mat phUdng hudng va lam
tha hoa con ngUdi.
Weber ket thuc tac pham cua minh bang viec gdi md
nhting hudng nghien ctiu tiep theo, vi du nhu can phai “tim
hieu sau hdn ntia viec thuyet khd hanh Tin lanh ve phan
minh da chiu anh hudng nhu the nao tti toan bo nhting
dieu kien xa hoi, dac biet la kinh te trong sU phat trien va
dac tinh cua no” 2. Dong thdi, Weber khang dinh r in g muc
dich nghien ctiu cua dng “khdng phai la thay the cach ly
giai duy vat phien dien b in g cach ly giai duy tam phien
dien tUdng dUdng ve van hoa va lich sti”3. Bdi vi mdi cach

1 Weber du bao day hoai nghi rang: “Khong ai biet diidc ai se song trong
chiec long nay trong tiidng lai, hay lieu r in g vao doan cuoi cua sii phat trien
to 16n nay, nhiing nha tien tri hoan toan mdi se xuat hien, hay se co sii tai
sinh 16n lao cua nhiing ly tUdng va quan diem cu, hay neu khong phai la hai
dieu tren, sii cd khi hoa den siing sot, dUdc to diem v6i mot kieu venh vang
tU cho minh la quan trong hdn thuc trang. V i d giai doan cuoi cua sii phat
trien van hoa nay, co the thuc sU noi ring: “Nhiing chuyen gia khong co linh
hon, nhiing ke song trac tang khong co trai tim; nhiing hinh anh vo gia tri
nay ma no da dat dUdc mot trinh do van minh chUa tiing dat dUdc tdi trUdc
do”. M ax Weber. Sdd. Thuyet kho hanh... Tr. 118.
2 M ax Weber. Sdd. Thuyet kho hanh... Tr. 118.
3 M ax Weber. Sdd. Thuyet kho hanh... Tr. 119.

427
tiep can nhu v&y, theo ong deu co nguy cd nhu nhau trong
viec dem lai ket qua it oi nhu nhau khi tim hieu sU that lich
sti ve moi quan he gitia y tucing ton giao va hanh vi kinh te
hang ngay, gitia van hoa tinh than va van hoa v&t chat, gitia
ly tUclng va thuc te cua ddi song xa hoi cua con ngUdi.

428
 3
"xA h 6 i h o c th £ ky xx11-
CAI NHIN CUA M 6t S(5 TAC GIA NGA

Co doc gia am hieu xa hoi hoc nao ma khong biet ten tuoi
cua cac tac gia xa hoi hoc nhu A. Comte, H. Spencer,
E. Durkheim, M. Weber, H. Mead, G. Simmel, G. Homans, T.
Parsons, R. Merton, N. Smelser, A. Giddens tii cac cuon sach
dich tu: tieng Anh, tieng Phap, tieng Diic1? Nhung cac tac gia
xa hoi hoc Nga thi sao? Xa hoi hoc Nga (Lien Xo cu) dtfdng
nhtf lot thorn trong mot “riing” xa hoi hoc phtfdng Tay. Nhtfng
chi can xem cuon Xa hoi hoc the ky XX: lich sti va cong nghe
cua tac gia E. A. Capitonov mdi dtfdc bien dich ttf tieng Nga
ra tieng Viet thi noi ban khoan ve stf im hdi, lang tieng tham
chi tut hau cua xa hoi hoc Nga se diu bdt. Lau roi den nay doc
gia Viet Nam mdi cd mot tai lieu giau thdng tin, dam chat ttf

1 Vi du cuon Nhap mon xa hoi hoc cua Tonny Bilton va cac dong sU. Nxb
Khoa hoc Xa hoi. Ha Noi. 1993; Cdc quy tdc cua phitctng phap Xa hoi hoc
cua Emile Durkheim, Nxb Khoa hoc Xa hoi. Ha Noi. 1993; Nhap mon lich sit
xa hoi hoc cua Hermann Korte. Nxb The gidi. Ha Noi. 1997; Cdc ly thuyet xa
hoi hoc hien dai cua Gunter Endrweit (chu bien) Nxb The gidi Ha Noi. 1999.

429
duy khoa hoc doc l&p cua mot nha xa hoi hoc Nga1. Vdi cuon
sach nay va mot so tai lieu khac niia, ta co the hinh dung
dtfdc phin nao btic tranh toan canh xa hoi hoc the gidi qua
con mat cua cac nha khoa hoc xa hoi Nga2 va phan nao hieu
them mot so bai hoc quy tren dtfdng phat trien ly luan va
cdng nghe xa hoi hoc.
Md dau lich sti xa hoi hoc the ky 20 la stf kien bung no’
phtfdng phap nghien ctfu thtfc nghiem va nghien ctiu ting
dung. Capitonov - tac gia cuon sach Xa hoi hoc the ky XX...
lap luan rang btfdc ngoat phat trien xa hoi hoc dau the ky 20
la do stf cap thiet ly luan va thtfc tien, cu the: (1) phai lay
nghien ctiu thtfc nghiem de tach xa hoi hoc ra khoi han triet
hoc xa hoi sieu hinh va ttf bien va (2) phai bien ly luan xa hoi
hoc thanh viec giai quyet cac bai toan thtfc te phuc vu cho
quan ly. Vay la, sau hdn ntia the ky phat trien xa hoi hoc
dtfdng nhtf quay lai vong khau dau tien cua nd. Vao buoi binh
minh cua minh, xa hoi hoc do Comte sang lap cung da phai
dau tranh chong lai thti triet hoc kinh vien, giao dieu de
gianh quyen cat tieng khoc chao ddi bao hieu mot khoa hoc
doc lap da ra ddi, cd kha nang sinh tdn, phat trien nhtf moi

1 E.A. Capitonov. X a hoi hoc th e k y X X : Lich sit vd cong nghe. Nxb Dai hoc
Quoc gia Ha Noi. 2000. De viet cuon sach nay Capitonov tham khao hdn
300 tai lieu, trong do mot phan ba tai lieu xuat ban bang tieng Anh con lai
la tieng Nga, khoang 9 5% tai lieu xuat ban trUdc nam 1991, con lai 5% tai
lieu - t i nam 1991 den 1996 - nam tac gia xuat ban sach cua minh.
2 Tim hieu lich s i phat trien xa hoi hoc ci nude Nga (Lien Xo cu) chu yeu qua
cuon sach X a hoi hoc the ky X X : Lich sit vd cong nghe cua E A . Capitonov
dUdc xuat ban b ln g tieng Nga nSm 1996 8 Roxtovna Donu, T S. Nguyen Quy
Thanh bien dich va xuat ban b ln g tieng Viet tai Nxb Dai hoc Quoc gia H&
Noi nam 2000 va mot so' sach, bai viet cua cac tac gia khac.

430
khoa hoc khac. Nhtf ta se thay, stf ra ddi cua xa hoi hoc Nga-
Xoviet cung khong. tranh khoi cdn vtfdt can day kho nhoc,
gian truan va ca may rui.
Nhtfng btfdc phat trien mdi cua xa hoi hoc dau the ky 20
la stf hoan thien theo htfdng tieu chuan hoa, chuyen mon hoa,
thiet che hoa cac the thtfc, cac phtfdng phap va cac ky nghe
nghien ctiu “cac hanh vi xa hoi, cac khai niem tap the, cac
quan he xa hoi v.v.. vdi ttf cach la doi ttfdng xa hoi hoc”. Khac
vdi mot so" tac gia ta dang lo ngai va phe phan trao ltfu nghien
ctiu thtfc nghiem mai chay theo de tai ma xem nhe nghien
ctfu cd ban, Capitonov cho rin g “Mac du coi thtfdng ‘ly thuyet
16n’, song chinh xa hoi hoc thtfc nghiem da gop phan giai
quyet nhting van de ly thuyet mdi, dtfdc sinh ra bcii cac van de
xa hoi cu the1...”. Cac ly thuyet cua chu nghia ttfdng tac bieu
trtfng, thuyet vai tro (luan diem kich tam ly), thuyet quan he
ngtfdi, v.v. da sinh thanh tti nhting nghien ctiu thtfc nghiem
ve cac qua trinh giao tiep, ttfdng tac, to chtic cua xa hoi cong
nghiep hien dai phtfdng Tay.
Trong cung thdi ky nay, tai que htfdng Cach mang thang
Mtfdi Nga, xa hoi hoc Xoviet da ra ddi nhtfng sau do da phai
trai qua vdi nhting nghich ly nhtf Capitonov viet “stf cach tan,
nhting tim kiem tuyet vdi va nhting cuoc thtfc nghiem vo bd”,
sau do “Nhting nghich ly dtfdc ket thuc b&ng viec cam doan xa
hoi hoc mot cach chinh thtic”2. Capitonov giup ta nhd lai thdi
ky dau phat trien vang son cua xa hoi hoc Xoviet vdi cac
nghien ctiu ve ca ly thuyet va thtfc nghiem ve mot xa hoi mdi

1 E.A. Capitonov. Sdd, Tr. 40

2 E.A. Capitonov. Sdd. Tr. 72

431
dtfng tren cd scf che do sd hufu xa hoi va chinh quyen Xoviet ve
tay quan chung lao dong. Nhtfng “ngay vui ngan chang tay
gang”, trong cac cuoc tranh luan vao cuoi nhtfng nam 20 quan
diem cua mot nhom ngtfdi do C.N. Cornilov, I.K. Luppol, D.P.
Nechoev da coi “chu nghia duy vat lich sti la stf ap dung chu
nghia duy vat bien chtfng vao linh vtfc cac hien ttfdng xa hoi -
chi la hoc thuyet triet hoc cua xa hoi1” . Theo Capitonov, quan
niem thin g the mot thdi nay da lat dtfdng dan den “thu tieu
xa hoi hoc va trong mot thdi gian dai da ttfdc bo chinh danh
ttf do khoi tti vtfng khoa hoc Xoviet”2.
Cai gia cua bai hoc bien tranh luan khoa hoc thanh stf
phan xet ttf ttfclng-chmh tri, Capitonov viet, la “nhtfng hau
qua nang ne doi vdi toan bo khoa hoc xa hoi macxit: xa hoi
hoc (cting nhtf tam ly hoc xa hoi, di truyen hoc, dieu khien
hoc) ve mat phap luat da bi cam “xoa bo”, stf phat trien cua
no nhtf la mot khoa hoc doc lap bi gian doan, con nhtfng
thanh ttfu cua no da bi lang quen mot cach oan uong” 3.
Tac gia Capitonov chi rd: “Trong che do doc tai, ngtfdi ta
lan Ion chinh tri va khoa hoc, chinh quyen cha dap nguyen
tac ttf do khoa hoc, ttf do sang tao. Khong khi quan lieu va
menh lenh trong khoa hoc dtfdc phuc hoi dan den tinh trang
nha ntfcfc quyet dinh ‘mau sac’ cua chan ly, coi thtfdng qua
trinh sang tao tim ra cac chan ly”4. Tinh hinh nay, theo
Capitonov lam cho “Cac cuoc nghien ctfu xa hoi hoc ttf cuoi

1 E.A. Capitonov. Sdd. Tr. 80.

2 E.A. Capitonov. Sdd. Tr. 80.
3 E.A. Capitonov. Sdd. Tr. 81.
4 E.A. Capitonov. Sdd. Tr. 81.

432
nhiing nam 30 den cuoi nhufng nam 50 da hau nhu khong
dtfdc tien hanh, con xa hoi hoc thi bi lang quen” d Lien Xo
(cu). Do la ldi .giai thich vi sao co cai so" phan chim ndi cua xa
hoi hoc Xoviet va vi sao cai nghich ly ma Capitonov noi tdi cl
Lien Xo (cu) thdi ky do da trd thanh “nen xa hoi hoc khong co
nha xa hoi hoc” va “Ngtfdi ta da coi hang tram dai dien cua
nhieu chuyen nganh dang kinh khac nhau la cac nha xa hoi
hoc, trong so" do co rat nhieu ngtfdi ngau nhien1”.
Bai hoc rut ra ttf xa hoi hoc the ky 20 ma Capitonov
muon gijfi tdi ban doc the ky 21 la chu nghia giao dieu ma
V.I. Lenin sinh thdi nghiem khac canh bao2 da trd thanh
nguy cd thtfc stf do chinh nhtfng ngtfdi doi lot macxit ap dung
sai chu nghia Mac lam tdn thtfdng j n xa hoi hoc Xoviet mdi
dtfdc hinh thanh3.
Thtfc ra, khong phai ddi tdi cuoi the ky 20 dau the ky 21
mdi cd mot tac gia la Capitonov cho ta biet ve chang dtfdng
lich sti d&y quanh co, phtfc tap cua xa hoi hoc Nga. Vao dau
nhtfng nam 1990, Vien Thong tin khoa hoc xa hoi d Ha Noi da
danh h in ba so" tap san chuyen de xa hoi hoc gidi thieu nhieu
bai viet, nhieu cuon sach cua mot so" tac gia Nga. Trong so" dd
cd nhting ten tac gia va cach dinh nghia xa hoi hoc cua ho da
trd nen quen thuoc vdi khong it ban doc Viet Nam nhtf
V.A. Jadov va G.V. Osipov. Quan niem coi xa hoi hoc la khoa
hoc ve tinh chinh the cua xa hoi, la khoa hoc ve stf hinh

1 E.A. Capitonov. Sdd. Tr. 319-320.

2 V.I. Lenin. But ky triet hoc. Toan tap. Tap 29. Nxb Tien bo-Matxcdva.
1981. Tr. 326-328.
3 E A . Capitonov. Sdd. Tr. 322.

433
thanh, phat trien va van hanh cua cac cong dong xa hoi, noi
v in t it la khoa hoc ve he thong xa hoi1 da dtfdc Osipov neu
len tii nam 1990. Cung trong thdi gian do, E.O. Sulimov da
neu ra quan niem coi xa hoi hoc la “khoa hoc ve cac dieu kien
va cac tmh quy luat hinh thanh va phat trien con ngtfdi xa
hoi...”2. Co the tim thay nguon goc cua quan niem coi xa hoi
hoc la khoa hoc nghien ctiu “cdi xa hoi” , “mat xa hoi” trong
bai “Khai niem ucai xa hoi” trong ly luan xa hoi hoc cua chu
nghia M ac"3 cua K. Slepenkov va Renznik Ju viet nam 1990.
Dac biet can chti y tdi cuon sach Xa hoi hoc vd chu nghia
xa hoi4 day 339 trang do G.V. Osipov viet nam 1990 da dtfdc
G.G. Sillaste tom tit, gidi thieu va Vien Thong tin khoa hoc
xa hoi dich ra tieng Viet dang trong tap san xuat ban nam
1992. Osipov cho biet, vao nhting nam 1930 xa hoi hoc d Nga
bi coi la nhting bieu hien cua “chu nghia thtic chting sd khai".
Tinh hinh nay keo dai cho den tan thap ky cuoi cua the ky 20.
Mot cuon giao trinh xa hoi hoc xuat ban nam 1989 cua trtfdng
Dai hoc Tong hdp Matxcdva van con bi phe phan la thieu tmh
xa hoi hoc va cac tac gia cua cuon giao trinh nay van khong

1 V. A. Jadov. N gh i ve do'i ttfdng xa hoi hoc, trong Vien Thong tin khoa hoc
xa hoi. Tap san Cdi mdi trong khoa hoc xa hoi: X a hdi hoc vd thdi dai. Tap 1.
Ha Noi. 1990. Tr. 4-25.

2 O. E. Sulimov. Ve m ay van de phtfdng phap luan cua xa hoi hoc vdi tinh
cach mot khoa hoc, trong Vien Thong tin khoa hoc xa hoi. Sdd. Tap 3. Tr.
14-18.

3 Slepenkov K., Reznik Ju. “Khai niem ‘cai xa hoi’ trong ly luan xa hoi hoc
cua chu nghia M ac”, trong Vien Thong tin khoa hoc xa hoi. Tap san Cdi mdi
trong khoa hoc xa h oi:X a hoi hoc vd thdi dai. Tap 2. Ha Noi. 1990. Tr. 3-14.
4 G. V . Osipov. Xa hoi hoc vd chu nghia oca hoi. Vien Thong tin khoa hoc xa
hoi. Sdd. Tap 3. Tr. 3-13.

434
xac dinh dtfdc xa hoi hoc nhtf la mot khoa hoc doc lap1.
Cung trong thdi ky nay, xa hoi hoc phtfdng Tay chuyen
sang giai doan mdi dac trtfng cho xa hoi hien dai phat trien
vdi cac thanh ttfu cua qua trinh cong nghiep hoa, hien dai
hoa, dan chu hoa, dai chung hoa, v.v.. Xuat hien nhtfng ly
thuyet mdi ve phan tang xa hoi, cau true he thong xa hoi,
chtfc nang he thong xa hoi, he thong tong quat xa hoi, cau
truc-chtfc nang xa hoi, hanh dong xa hoi ma moi thuyet, theo
phan tich cua Capitonov lac hau d cho nay nhtfng lai tien bo d
cho khac. Capitonov quan niem rang, thuyet cau truc-chtfc
nang cua nha xa hoi hoc ngtfdi My T. Parsons noi den cac pho
quat tien hoa cua phat trien nhtfng lai dat niem tin ngay thd
vao stf can bSng cua he thong xa hoi.
Trung thanh vdi y ttfdng coi nghien ctfu thtfc nghiem gan
lien vdi ly thuyet, Capitonov cho rang stf phat trien tiep theo
cua phtfdng phap phu thuoc vao viec giai quyet van de tang
ctfdng chat ltfdng nghien ctfu xa hoi hoc va tich luy cai mdi d
tat ca cac khau cua quy trinh nghien ctfu ttf xay dtfng chtfdng
trinh den chon mau den thu thap, xti ly thong tin den trach
nhiem cdng dan cua nha xa hoi hoc. Tuy nhien, dtfdng phan
cach gitia xa hoi hoc ly luan va thtfc nghiem van keo dai mai
tdi nhting nam 60-70 cua the ky 20. De xuat xay dtfng cac ly
thuyet “cap do trung binh” (Middle Range Theory - ly thuyet
trung gian) cua R. Merton - nha xa hoi hoc My, ltfc bay gid chi
lam yen long mot sd' nha nghien ctiu chti khdng giai quyet
triet de van de thieu v&ng nhting ly thuyet ldn. Xa hoi hoc

1 G. Zborovskij. V i sach gido khoa xa hoi hoc. Xem Vien Thong tin khoa hoc
xa hoi. Sdd. Tap 3. Ha Noi. 1990. Tr. 98-105

435
kieu chat ltfdng (dinh tinh) thuan tien vdi stf gia tang ti trong
tam ly hoc xa hoi va he bien vi cua chu nghia nhan van nang
ve phUdng phap thau hieu, dan toe hoc v.v. chi co tac dung mcl
rong “chan trdi ky vong” cua pham vi doi ttfdng nghien ctfu
cua xa hoi hoc. Nhtfng lai xay ra nguy cd lac vao con dtfdng xa
rdi ttf duy thtfc chtfng luan won dtfdc coi la ba dd cua xa hoi
hoc luc thoat thai khoi triet hoc sieu hinh, ttf bien the ky 19.
Xa hoi hoc nuta cuoi the ky 20 d phtfdng Tay phat trien da
dang phan anh stf bien doi xa hoi ldn lao bao hieu mot thdi ky
mdi ma nhtfng khai niem hau cong nghiep, hau ttf ban hay xa
hoi dich vu, xa hoi tri thtfc chi bao quat dtfdc phan nao.
Capitonov danh hdn 50 trang1 de khai quat, co dac ly thuyet
xa hoi tich ctfc, xa hoi hoc cau true, he bien vi xung dot hoc,
xa hoi hoc ctfc ta, luan diem con ngtfdi mot chieu, thuyet phe
phan, thuyet xa hoi hau cong nghiep, thuyet lan song van
minh va cac thuyet ve xa hoi thong tin, v.v.. Ttf day phoi thai
mot htfdng nghien ctfu day trien vong ve moi ttfdng tac giiia
tien bo khoa hoc-cong nghe vdi con ngtfdi va xa hoi the ky 21.
Nhtf bi danh thtfc bdi nhtfng bien doi manh me cua the
gidi xung quanh, xa hoi hoc Xoviet btfng tinh sau mot thdi
gian keo dai mot phan ba the ky. Ban doc chac khong ngac
nhien nhtfng se thu vi khi Capitonov cho biet, vien thuoc hoi
sinh xa hoi hoc Xoviet sau mot thdi ky dai rdi vao quen lang
la quan diem md cifa thiet lap quan he vdi cac doi tac ntfdc
ngoai: nam 1956 cac nha xa hoi hoc Xoviet lan dau tien tham
dtf cac ky hop cua Hiep hoi Xa hoi hoc quoc te. Ttf nam 1958
den 1964, cac nha xa hoi hoc ndi tieng cua phtfdng Tay nhtf

1 E.A. Capitonov. Sdd. Tr. 259-313.

436
R. Aron, R. Merton, T. Parsons da den tham Lien Xo. Cung vdi
stf kien thanh lap Hiep hoi Xa hoi hoc Xoviet nam 1962, hang
loat cac cd quan xa hoi hoc da moc len nhu nam d cac vien, cac
trtfdng dai hoc. Nhtfng mot l&n ntfa xa hoi hoc Lien Xo hau nhtf
khong hoc dtfdc gi ttf lich suf cua nd va nhtf capitonov viet:
“Nghich ly nim d cho doi ngu cac nha xa hoi hoc mdi d cac trung
tam, cac vien, cac trtfdng lai trd thanh cong cu kim ham nd, ngan
nd phat trien thanh khoa hoc doc lap”1.
Capitonov chi ra nguyen nhan sau xa cua stf tri tre, be
tic nay la “vi phong cach lam viec cua he thong hanh chinh
quan lieu ma cac bo cua cac cd quan quan ly xa hoi, quan ly
kinh te chtfa san sang ddi thoai tich ctfc vdi cac nha xa hoi
hoc, dieu nay gay thiet hai cho tat ca cac ben”. Ket qua la stf
tut hau: trong ly luan xa hoi hoc Xoviet “day ray nhtfng khai
niem triet hoc”, trong nghien ctfu thtfc nghiem-tfng dung tran
ngap cac phtfdng phap loi thdi, ky thuat lac hau.
Ban doc cd the chdt lien ttfdng: hinh nhtf tinh trang
nghien ctfu xa hoi hoc Lien Xo nhtfng nam 70-80 rat giong vdi
nhtfng gi dang bi phe phan hien nay d Viet Nam. Vi du, trong
xa hoi hoc tfng dung cd “sit say me cdc triing cau y kien bang
bdn anket” - ta goi la cac cuoc dieu tra b ln g phieu, cd hoat
dong khong chuyen nghiep cua cac nha xa hoi hoc (ttf hoc) - ta
goi la “tit bien tit diin” va hoat dong khoa hoc chu yeu dtfdc
tien hanh theo chu nghia kinh nghiem trtiu ttfdng vdi cac
cuoc “nghien citu-kien nghi” thieu v&ng ly luan soi dtfdng.
Mat them vai thap ky ntfa ke ttf khi hoi sinh, cuoc dau
tranh cua xa hoi hoc de trd thanh khoa hoc doc lap mdi lat

1 E.A. Capitonov. Sdd. Tr. 330-333.

437
sang trang sti mdi vdi viec thanh lap Vien Xa hoi hoc thuoc
Vien Han lam khoa hoc Lien bang Nga nam 1991 va Hoi Cac
nha xa hoi hoc Nga nam 1992. Capitonov ket thtic cuon sach
Xa hoi hoc the ky X X nhu la khep lai mot chang dtfdng gian
nan cua xa hoi hoc vdi mot niem tin, hy vong rin g “kinh
nghiem va nhtfng thanh ttfu cua cac ntfdc va cac dan toe dang
n im ci diem phat trien btft pha vao ttfdng lai, se ctfu gitip nen
xa hoi hoc the gidi”1.
Tuy nhien, dung nhtf Capitonov nhan dinh, stf tien trien
xa hoi hoc hien dai chang nhtfng phu thuoc vao trinh do ly
luan ma con can tdi stf dao tao chuyen mon, chuan bi nghe
nghiep cua cac nha xa hoi hoc. Dieu nay can he tdi stf thong
nhat bo may khai niem da dang dang phat trien cua ly luan
va cong nghe nghien ctfu xa hoi hoc. Dac biet can tim hieu va
van dung cac cong nghe (gom tri thtfc ly luan, phtfdng phap
ky thuat, thao tac) xa hoi hoc.
Nhtf vay, qua cuon sach cua Capitonov va mot so tac gia
khac cua Nga, ta co the rtit ra bai hoc cong nghe xa hoi hoc
the ky 20 la can phai mai sac ttf duy duy ly luan, nhat la chu
nghia Mac - Lenin va phtfdng phap nghien ctfu thtfc nghiem,
nghien ctfu ting dung trien khai; phai ton trong quy trinh lao
dong chuyen mon dac biet la tuan thu cac quy tac khoa hoc va
chuan mtfc dao dtfc nghe nghiep. Vi du, Capitonov viet: “Khi
tien hanh bat cti nghien ctiu nao, nha xa hoi hoc phai xuat
phat tti nguyen tac khach quan, htfdng den nhting tieu chuan
nghe nghiep cao ca, khong dtfdc xuyen tac chan ly trong bat

1E.A. Capitonov. Sdd. Tr. 360.

438
ke hoan canh nao”1.
Thien nien ky cu da khep lai nhung Xa, hoi hoc the ky hai
miidi lai md ra chan trdi mdi cho ly luan va cong nghe Xa hoi
hoc the ky ham mot2. Trtfdc day doc gia Viet Nam da co dip
doc va trich dan khong it cac cong trinh nghien ctiu cua tac
gia (tti Lien Xo cu va cac ntfdc Dong Au). Nhtfng phai den ltic
giao thdi gitia hai thien nien ky mdi thay xuat hien nhting
cuon sach quy hiem ve lich sti, ly thuyet va cong nghe xa hoi
hoc the gidi.

1 E.A. Capitonov. Sdd. Tr. 483

2 Ban doc diing qua that vong neu trong hang tram trang sach cua
Capitonov v ln khong tim ra dUdc mot dinh nghia thong nhat ve do'i tiidng
nghien ciiu cua xa hoi hoc the ky 20. Bdi vi thuc chat cac ly thuyet xa hoi
hoc the gidi deu nghien ciiu cac khia canh khac nhau cua moi quan he giQa
con ngUdi va xa hoi vdi tu cach la doi tUdng cua xa hoi hoc.

439
 4
LY THUYfiT PHfi PHAn VA XA H0I HOC
vi TINH Hl£N DAI

Dat van de
Stf nghiep cong nghiep hoa va hien dai hoa d nhtfng ntfdc
dang phat trien dang dat ra mot van de ldn ve mat ly luan va
thtfc tien la nhtfng ntfdc cham phat trien co the hoc hoi dtfdc
dieu gi d nhtfng ntfdc nhanh phat trien1. Mot stf nhat tri cao d
day la khong the ap dung mo hinh cong nghiep hoa-hien dai
hoa cua the ky 18-19 cho nhtfng ntfdc dang tien btfdc tren con
dtfdng nay d the ky 21. Dong thdi nhtfng ntfdc cham phat
trien cung khong the khong nhin thay d nhtfng ntfdc phat
trien cai hinh bong ttfdng lai cua minh de rut ra cac bai hoc
can thiet. Cach tiep can cua ly thuyet phe phan va g in lien
vdi no la xa hoi hoc ve tinh hien dai giup ta co cai nhin khoa
hoc doi vdi nhtfng van de xa hoi trong qua trinh phat trien
kinh te thi trtfdng dinh htfdng xa hoi chu nghia.
Ttfdng ttf nhtf cac trtfdng phai ly thuyet ldn cua the ky

1 Dua vao bai cua Le Ngoc Hung. L y thuyet phe phan vd xa hoi hoc ve tinh
hien dai. Tap chi-Xa hoi hoc. So 3. 2005. Tr. 46-51.

441
20, ly thuyet phe phan da trai qua cac giai doan lich sii cua
no: giai doan dau khdi nguon tut nhulng nghien ciiu co tinh
phe phan cua cac nha tu ttfdng thuoc thdi dai Khai sang va
dat tdi dinh cao phat trien d the ky 19 trong cac tac pham cua
Marx va Engels. Giai doan thii hai g in lien vdi thdi ky dau
cua stf hinh thanh va phat trien Vien Nghien ciiu xa hoi dtfdc
thanh lap b Frankfurt nam 1923.
• The he dau tien cua trtfdng phai ly thuyet phe
phan d Frankfurt la nhtfng ngtfdi sang lap ra no
nhtf Max Horkheimer, Theodore Adorno, Herbert
Marcuse.
• The he thtf hai cua trtfdng phai Frankfurt la
Jurgen Habermas, Albrecht Wellmer va nhtfng
ngtfdi khac.
• The he thtf ba gom nhtfng dai dien nhtf Axel
Honneth d Dtfc, Seyla Benhabib va mot so ngtfdi
khac b Hoa Ky.
Nhtfng ly thuyet phe phan khong gidi han d Dtfc hay b
Hoa Ky ma phat trien d Phap vdi dai dien tieu bieu la Michel
Foucault, Francois Lyotard, Pierre Bourdieu, Jacques Derrida
va nhieu ngtfdi khac1. Mot chu de xuyen suot ly thuyet phe
phan va bieu hien ro nhat moi lien he cua nd vdi xa hoi hoc ve
tinh hien dai la stf “phe phan tinh hien dai”. Chu de nay dtfdc
Alain Touraine, nha xa hoi hoc ndi tieng ngtfdi Phap lay lam

1 Craig Calhoun and Joseph Karaganis. Critical Theory, trong George

Ritzer and Barray Smart (eds.). Handbook o f Social Theory. London: Sage
Publications Inc. 2001. Tr. 179-180; Le Ngoc Hung. Lich sii & ly thuyet xa.
hoi hoc. Nxb Dai hoc Quoc gia Ha Noi. 2002.

442
nhan de cuon sach1 cua ong xuat ban d Paris nam 1992.
Ly thuyet phe phan cuoi the ky 20 da phat trien dtfdi
nhieu hinh thiic bien the phiic tap vi du nhu ly thuyet xa hoi
phe phan, thuyet hau hien dai, thuyet nut quyen va xam nhap
vao cac chuyen nganh xa hoi hoc, cac bo mon khoa hoc lan
can va trao lUu xa hoi. Do do, viec tim hieu mot cach khai
quat ly thuyet phe phan la can thiet de khang dinh do la mot
trong cac phtfdng phap tiep can xa hoi, mot cach “hinh dung
xa hoi hoc” khong the thieu trong nghien ctfu xa hoi hoc; qua
do gop phan phat trien mot htfdng nghien ctfu xa hoi hoc ve
tinh hien dai va xa hoi hoc ve stf phat trien cua mot xa hoi
dang doi mdi thoat khoi ngheo nan va lac hau tren dtfdng
cong nghiep hoa, hien dai hoa trong boi canh toan cau hoa
hien nay.

Mot so luan diem goc cua thuyet phe phan

Marx va Engels la nhtfng ngtfdi cd cong dau trong viec
tong hdp toan bo cac thanh ttfu cd ban, quan trong nhat cua
cac ttf ttfdng phe phan trong triet hoc cd dien Dtfc, kinh te hoc
chinh tri Anh va chu nghia xa hoi khong ttfdng Phap. Tren cd
sd dd hai ong da neu ra nhtfng luan diem goc lam nen mong
cho ly thuyet phe phan hien dai dtfdc phat trien phan nao qua
trtfdng phai Frankfurt d Dtfc va cac htfdng nghien ctfu ly
thuyet phe phan d cac ntfdc khac. Mot so' tac pham quan
trong nhat cua Marx va Engels deu cd ten goi kem theo chti

1 Alain Touraine. Phe phan tinh hien dai. (1992). Nxb The gidi. Ha Noi.
2003.

443
“phe phan” 1 va ngay ca nhtfng tac pham khong co ten goi nhtf
vay thi stf phe phan van la mot dac triing co tinh nguyen tac
ndi bat nhat cung v6i cac nguyen t ic cd ban khac nhu nghien
ciiu mot cach kinh nghiem va trung thtfc2. Do do, “viec phe
phan xa hoi hien ton” dtfdc Engels coi la “cd scl that stf, nhiem
vu chu yeu cua moi cong trinh nghien ctfu cac van de xa hoi”3.
Cd sd ly luan cua trtfdng phai (phe phan) Frankfurt va ly
thuyet xa hoi phe phan noi rieng, ly thuyet phe phan noi
chung la nhtfng luan diem co nguon goc ttf quan diem cua
Marx. Trong do ndi bat cac y ttfcfng chinh, vi du nhtf sau4:
• Thtf nhat, tri thtfc khong ttf chtfng minh la dung,
khong ttf hien nhien, khong ttf chtfng nghiem, ma
can phai xem xet mot cach phe phan ttf goc do
thtfc tien. Stf hieu biet cua chung ta ve nhtfng gi
xay ra the gi6i xung quanh dtfdc cam giac sao lai,
chup lai, dem lai. Nhtfng tat ca nhtfng gi chung ta
nhan thtfc deu dtfdc ly giai b ln g cac ngon ngtf va
khai niem khac nhau. Do do, thuyet phe phan co

1 V i du: C. M ac va Ph. Angghen. Gia dinh than thanh hay la phe phan sii
phe phan co tinh phe phan: chong Bru-nd Bau-d vd dong bon (1844); C. Mac.
T u bdn: phe phan khoa kinh te chinh tri (1867).
2 C. Mac. Bdn thao kinh te'-trie't hoc nam 1844, trong C. M ac va Ph.
Angghen. Toan tap. Tap 42. Nxb Chinh tri quoc gia-Su that. H a Noi. 2000.
Tr. 68.
3 Fh. Angghen. Trich tdc pham cua Phu-ri-e ve thuctng mai, trong C. Mac va
Ph. Angghen. Toan tap. Tap 42. Nxb Chinh tri quoc gia-Su that. Ha Noi.
2000. Tr. 437.
4 Craig Calhoun and Joseph Karaganis. Critical Theory, trong George
Ritzer and Barray (eds). Handbook o f Social Theory. London: Sage
Publications Inc. 2001. Tr. 180-181; Ben Agger. Critical Social Theories: An
Introduction. The United Kingdom: W estview Press. 1998. Tr. 4-5.

444
 nhiem vu xem xet cach thiic con ngtfdi nhan thtfc
the gidi, cach thtfc con ngtfdi dien dat the gidi va
danh gia cac tac dong cua chung doi vdi cuoc song
cua con ngtfdi. Ve van de nay Mac khang dinh
rang; “van de tim hieu xem ttf duy cua con ngtfdi
cd tmh chan ly khach quan khong, hoan toan
khong phai la van de ly luan ma la mot van de
thtic tien” 1.
• Thtf hai, thuyet phe phan cho rang moi stf kien
trong hien thtfc deu cd nguyen nhan va cac dieu
kien cua nd. Do dd, tri thtfc khong nhtfng giup ta
tra ldi cau hoi: cai gi ma con giai dap cau hoi: tai
sao. Vi du, tai sao kieu to chtfc van phong lai trd
nen pho bien trong xa hoi hien dai? Moi stf vat
trong xa hoi la ket qua cua hoat dong cua con
ngtfdi. Nhtfng, theo quan diem duy vat lich sti, con
ngtfdi lam nen lich sti khong phai tuy tien theo y
muon chu quan hay theo stf ltfa chon cua rieng
minh ma luon hanh dong trong nhting dieu kien
va hoan canh lich sti da cho2. Do dd, stf phe phan
khong chi nham vao hanh dong cua cac ca nhan
ma nhlm vao hoan canh xa hoi de cai tao nd cho
phti hdp vdi muc dich cua con ngtfdi.

1 C. Mac. Luan ci/ctng ve Phoi-O-Bac, trong C. M ac va Ph. Angghen. Toan

tap. Tap 42. Nxb Chinh tri quoc gia-Su that. Ha Noi. 2000. Tr. 371.
2 Nam 1890 Angghen viet: Chung ta tu lam nen lich sU cua chung ta, nhung
trU6c het la v6i nhiing tien de va trong nhiing dieu kien nhat dinh.
Angghen. ThU Ang-Ghen gid Joseph Bloch d Konigsberg, trong Cac Mac-
Phridrich-Angghen. Tuyen tap. Tap VI. Nxb Sii that. Ha Noi. 1984. Tr. 727.

445
 • Thti ba, thuyet phe phan nhlm vao doi ttfdng cua
stf phe phan la ban than ly thuyet. Theo gtfdng
Marx, cac nha ly lu&n phe phan luon phan tich
cac pham tru, khai niem cua nhting ly thuyet
dtfdng thdi nhlm vach ra nhting han che va
nhting nguyen nhan, he qua cua chting; dong thdi,
dieu quan trong hdn la phe phan cac thieu sot cua
ly thuyet de gdi ra suy nghi va de xuat nhting y
ttfdng phat trien mdi ly thuyet. Ly thuyet phe
phan khoa hoc ddi hoi phai ttf phe phan.
• Thtf ttf, thuyet phe phan tim cach dat tdi stf thong
nhat gitia ly thuyet va thtfc tien. Thuyet phe phan
dtfdc cd vu bdi mot niem tin rang moi tri thtfc
khoa hoc xuat phat tti ban than cuoc song xa hoi
va gSn lien vdi hanh dong xa hoi cua con ngtfdi.
Cac nha phe phan luan hien dai can k h lc sau
luan diem ndi tien£ Marx: “Cac nha triet hoc chi
gidi thich the gidi b ln g nhieu cach khac nhau,
song van de la cdi tao the gidi” \

Phe phan tinh hien dai cuoi the ky 20

Trong khi khong phai ltic nao cting cd the bien ly thuyet
thanh hanh dong thtfc tien, cac nha phe phan luan luon
htfdng sii quan tam chu y cua xa hoi vao nhting van de cd y
nghia quan trong va can thiet doi vdi xa hoi va dtfa ra nhtfng
cach lap luan It sai lech, it thien vi de con ngtfdi nhan biet

1 C. Mac. Luan ciMng ve Phoi-O-Bac, trong C. M ac va Ph. Angghen. Toan

tap. Tap 42. Nxb Chinh tri quoc gia-Su that. Ha Noi. 2000. Tr. 371.

446
chinh xac hdn va day du hdn ve cac stf kien, hien ttfdng xa
hoi. Mot van de ndi bat nhat trong xa hoi loai ngtfdi ttf the ky
19 den nay la tinh hien dai vdi dac trtfng cd ban la phat hien
va ap dung tri thtfc khoa hoc vao cuoc song de giai phong con
ngtfdi khoi stf ap btfc, boc lot, bat cong va bat binh dang, de
tien tdi stf cong blng, dan chu va van minh.
Vao ntia dau the ky 20, cac nha ly luan phe phan tap
trung vao len an stf bat cong, bat binh ding xa hoi, stf hon
loan, mat trat ttf xa hoi va khlng dinh stf thing ldi cua ly tri,
cua tmh hdp ly va stf ket hdp khoa hoc vdi cach mang trong
san xuat cong nghiep.
Ntia cuoi the ky 20, mot so nha ly luan phe phan tap
trung vao ttf phe phan ttfc la phe phan ban than khoa hoc vdi
ttf cach la mot he thong cac tri thtfc, cac cach nhan thtfc va
vdi ttf cach la mot thiet che xa hoi cd chtic nang cd ban la
nghien ctiu de san xuat ra tri thtic. Mot loat van de da dtfdc
neu ra xung quanh moi quan he gitia tinh hien dai vdi so"
phan con ngtfdi va xa hoi. Vi du, tinh hien dai lien quan nhtf
the nao vdi cac cuoc cach mang khoa hoc, cong nghe? Tinh
hien dai da tting g in lien vdi cong nghiep hoa, vay vdi hau
cong nghiep thi sao? Tinh hien dai cd dong nhat vdi stf hdp ly
hoa khong? Tinh hien dai cd lam cho con ngtfdi ttf do hdn
khong hay lai cang trdi buoc con ngtfdi vao mot trat ttf duy ly?
Tinh hien dai lien quan nhtf the nao vdi tinh doc lap, sang tao
cua con ngtfdi? Ban chat cua tinh hien dai la gi trong xa hoi
ngay nay? Nd phat sinh va bien doi nhtf the nao? Va nhieu
cau hdi khac.
Khi nghien ctfu phe phan tinh hien dai, mot tac gia tieu
bieu cua xa hoi hoc phe phan la Touraine da chi ra ba con

447
dtfdng can khoa lai vi chung co the dan den sai lam: mot la
con dtfdng phan hien dai, hai la con dtfdng “cat canh” voi va,
nhanh chong de co thoat khoi truyen thong va ba la con
dtfdng dong nhat tinh hien dai vdi chu nghia ca nhan, vdi chu
nghia ttf ban.
Giong nhtf cac nha phe phan luan, Touraine cho ring
khong the dao ngtfdc dtfdc xu htfdng cua tinh hien dai:
“Chung ta tat ca da len con tau cua tinh hien dai” . Do do,
van de dat ra la can mang hanh trang gi tren con tau tien
tdi stf hien dai. Gtfdng mat nao la tieu bieu cua tinh hien
dai? Trtfdc day, Descartes (1596-1650) cho r in g do la con
ngtfdi co ttf duy, co ly tri; “toi tii duy tiic la toi ton tai".
Simmel cho rang kieu “ngiidi xa la” la gtfdng mat tieu bieu
cua tinh hien dai. Weber cho rang do la con ngtfdi hanh
dong duy ly-cong cu, nhtfng cung canh bao la con ngtfdi do co
nguy cd bi rdi vao cui sat cua mo hinh to chtfc kieu hanh
chinh ctfng nhac. Con Touraine cho rang chung ta phai chon
gtfdng mat cua ngtfdi di ctf mang day ky tfc va dtf an de ndi
qua khtf vdi ttfdng lai, noi di san vdi hoi nhap nghe nghiep
va xa hoi1. Gan day dtfdi tac dong cua cac qua trinh toan cau
hoa, chung ta co the phat hien thay stf xuat hien mot gtfdng
mat mdi cua tinh hien dai, do la "con ngiidi toan cau" coi the
gidi la ngoi nha chung.
Mot so" nha nghien ctfu nhan manh ban chat cua tinh
hien dai la tinh duy ly va tinh trach nhiem. Touraine nhan
dinh rin g : “khong co tinh hien dai neu khong co hdp ly
hoa; nhtfng cang khong co tinh hien dai neu khong co stf

1 Alain Touraine. Sdd. Tr. 336.

448
hinh thanh mot “mot chu the-trong-the gidi” chiu trach
nhiem doi vdi ban than no va doi vdi xa hoi” 1. Tren cap do
vi mo, mot so nha tUOng tac luan nhu Herbert Mead noi tdi
cau true ba ngoi gom cai toi, nd va ban than (I, Me, Self),
Sigmund Freud ndi tdi cau true ba ngoi mot the cua nhan
cach gom “cdi sieu toi-cai toi-cai no” . Tren cap do hanh
dong xa hoi, bi anh hudng bdi Freud, Touraine ndi tdi cau
true: “cd nhan-chu the-tac nhan” . Ro rang, mot bieu hien
cua tmh hien dai la su khang dinh cac thanh phan cau
true cua con ngudi trong mo’i quan he vdi xa hoi.
Qua dd thay ring, phe phan luan cuoi the ky 20 cung luc
tien theo hai hudng, thoat nhin la trai ngUdc nhau: mot la
tien mai ve phia chu the nhlm khang dinh cai ban nga, cai
toi doc dao, tu do va sang tao; hai la tien mai ve phia xa hoi
nhim vUdn tdi cac gia tri cua nhan loai thdi toan cau hoa.
ThUc chat, phe phan luan theo hudng nay hay hudng kia hoac
hudng khac nUa luon xem xet tinh hien dai trong moi quan
he gitia con ngUdi va xa hoi tU cap do vi mo den vi mo va phe
phan bat ky bieu hien nao cua tmh hien dai thien lech ve ca
nhan hoac thien lech ve xa hoi. Bdi bat cU mot su thien lech
nao cua tmh hien dai theo hudng nay hay kia deu cd the lam
meo md hoac tmh ngUdi hoac tinh xa hoi. Su phe phan mot
cach khoa hoc tinh hien dai hudng tdi khang dinh sU ket hdp
hai hoa tting cap pham tru nhu tu do va trach nhiem, hdp ly
hoa va chu the hoa, lUdng tam va khoa hoc, ly tri va tinh cam,
trai tim va khoi oc, phe phan va tu phe phan va nhieu sU ket
hdp khac ntia.

1Alain Touraine. Sdd. Tr. 339.

449
 Thuyet phe phan - phtfcfng phap luan cua xa hoi
hoc ve tinh hien dai
Van de dat ra trong bai viet nay la tim hieu moi quan he
gitia ly thuyet phe phan va xa hoi hoc ve tinh hien dai. Ve
mat lich sti, ly thuyet phe phan ra ddi vao ntia dau the ky 19
vdi cong dau dat nen mong xay dung la hoc thuyet cua Karl
Marx va Fridrich Engels, den ntia d iu the ky 20 ly thuyet
phe phan da phat trien manh d Vien Nghien ctiu xa hoi d
Frankfurt, Dtic va b Phap, My va mot so nUdc khac. Cac ly
thuyet phe phan luon thUc hien cac vai tro dting nhu ten goi
cua no la “phe binh vd phan xet” cac bieu hien sai lech, vi du
nhu sU thong tri con ngUdi, sU bat cong, sU binh dang xa hoi
va bat binh dang gidi cua tmh hien dai trong ddi song xa hoi
cua con ngUdi cung nhu trong cach thtic ma con ngUdi nhan
thtic va giai thich cac hien tudng xung quanh. Doi vdi xa hoi
hoc ve tinh hien dai, ly thuyet phe phan cd mot vi tri dac biet
do nd khuyen khlch va duy tri sU quan tam chti y tti nhieu
phia doi vdi cac van de quan he con ngUdi-xa hoi cua tinh
hien dai. Tam quan trong cua phUdng phap phe phan trong
nghien ctiu xa hoi dUdc mot so" tac gia, vi du nhu Giddens de
cao den mtic quan niem xa hoi hoc nhu la “sit phe phan cdc
hinh thdi hien ton cua xa hoi” va ly thuyet xa hoi hoc nhu la
ly thuyet phe phan1. ThUc ra, nghien ctiu mot cach cd phe
phan chi la mot trong nhieu cach nghien ctiu khoa hoc, vl du
nhu nghien ctiu thUc nghiem, nghien ctiu thuc chting, nghien
ctiu mot cach trung thuc.

1 Anthony Giddens. Sociology: A B rief but Critical Introduction. London:

Macmillan Press Ltd. 1986. Tr. 22, 156-166.

450
 Phe binh va tii phe binh lam cho ly thuyet phe phan co
stic song manh liet va tinh hap din dac biet. Ai co the khong
dong tinh va ung ho mot phUdng phap tiep can phe phan luon
biet tii phe phan cd chU?! Tuy nhien, ten goi “ly thuyet phe
phan" chua du cho biet ban chat va noi dung cua no. Van de
la phe phan tti goc do ly luan nao, tren lap trUdng quan diem
cua ai va nham muc dich gi. Ve dieu nay nhu Marx tting
khing dinh “ngay ca nha than hoc phe phan cting van la nhd
than hoc". Mac va Angghen viet ring: “Neu nhu ngUdi ta thu
dUdc moi tri thtic va cam giac, v.v., cua minh tti the gidi cam
tinh va tti kinh nghiem trong the gi6i cam tinh thi do do can
phai to chtic the gidi xung quanh sao cho ngUdi ta nhan thtic
va linh hoi dUdc d do cai gi thuc sii hdp vdi tinh ngUdi, sao cho
ngUdi ta thay dUdc minh la con ngUdi. Neu nhu ldi ich dung
dan la nguyen tac cua toan bo dao dtic thi do do can ra stic
lam cho ldi ich rieng cua con ngUdi ca biet phti hdp vdi ldi ich
cua toan the loai ngUdi... Neu nhu tinh cach con ngUdi la do
hoan canh tao nen thi do do phai lam cho hoan canh hdp v6i
tinh ngUdi. Neu nhu con ngUdi bam sinh da la sinh vat co
tinh xa hoi thi do do con ngUdi chi co the phat trien ban tinh
chan chinh cua minh trong xa hoi va can phai phan doan luc
lUdng cua ban tinh cua anh ta, khong phai can cti vao luc
lUdng cua ca nhan rieng le ma can cti vao luc lUdng cua toan
xa hoi.”1
Khi tim hieu va van dung ly thuyet phe phan vao xem

1 C. Mac va Ph. Angghen (1844). Gia dinh than thanh hay la phe phan siI
phe phan cd tinh phe phan: chong Bru-no Bau-0 vd ddng bon, trong C. Mac
va Ph. Angghen. Toan tap. Tap 2. Nxb Chinh tri quoc gia-Su that. Ha Noi.
1995. Tr. 199-200.

451
xet tinh hien dai va stf bien doi, phat trien xa hoi, thi dieu
can thiet la chi ra nhiing can cti ly luan cua ly thuyet phe
phan va thii danh gia xem ly thuyet phe phan co tao ra dtfdc
cai gi mdi khong, co kha nang phat hien, bo sung mot dieu gi
mdi thay the cho cai “bi phe phan” khong, hay do chi la ly
thuyet phe phan de phe phan! Tieu chuan cao nhat de kiem
chtfng va phe phan ly luan la thtfc tien, la hanh dong phat
trien tinh xa hoi va tinh ngtfdi vdi tinh cach la bieu hien tich
ctfc cua tinh hien dai, cua stf phat trien. Ve mat ly luan,
thuyet phe phan gop phan lam sang to cac yeu to" can trd stf
phat trien hai hoa moi quan he gitfa con ngtfdi va xa hoi, ttf
do gdi ra nhtfng suy nghi ve htfdng giai quyet nhtfng van de
nhtf phan hoa giau ngheo, bat binh dang gidi va xung dot xa
hoi nay sinh trong qua trinh cong nghiep hoa, hien dai hoa.
Tom lai, xa hoi hoc ve tinh hien dai nghien ctfu ban chat
va quy luat cua stf nay sinh, ton tai, van dong, phat trien cua
tinh hien dai trong ddi song xa hoi cua con ngtfdi. Xa hoi hoc ve
tinh hien dai khong gidi han d stf phe phan ma phat hien ra
cac nhan to" cua stf hien dai hoa, stf phat trien tinh hien dai cua
moi quan he gitfa con ngtfdi va xa hoi. Vdi y nghia do, trong
khoa hoc xa hoi hoc, ly thuyet phe phan vdi cac bien the rat da
dang cua nd la mot he thong ly luan, phtfdng phap luan va
phtfdng phap phan tich cd kha nang bo’ sung va canh tranh vdi
cac ly thuyet khac trong nghien ctfu mot cach khoa hoc thtfc
nghiem, cd phe phan va trung thtfc de gop phan xay dtfng va
phat trien moi quan he hai hoa gitfa con ngtfdi va xa hoi.

452
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 BANG c m d A n t £ n n g u o i

A
Abercrombie: Nicholas Abercrombie, 363.
Abrahamson: Mark Abrahamson, 260.
Adorno: Theordor Adorno, 278, 283, 442.
Agger: Ben Agger, 444.
Alexander: Jeffrex Alexander, 37, 230, 238.
Anh: Tran Thi Van Anh, 66.
Ansart: Pierre Ansart, 11, 61, 64.
Aristotle, 28.
Aron R. , 70, 437.
Ashley D., 112.
A, Chung A, 35.

Bacon: Francis Bacon, 310.

Barteck: Lynn Barteck, 117, 172, 230, 248, 269, 312, 347.
Baxter, 426.
Benhabib: Seyla Benhabib, 277, 442.
Benokraitis: Nijole V. Benokraitis, 183.
Berkowitz S. D., 258.
Bich: Mai Huy Bich, 42, 343.
Bilton: Tony Bilton , 32, 439.
Blau: Peter Blau, 14, 38, 61, 217, 249, 250, 252, 253, 257,
368, 369, 370, 371, 372, 373, 374, 375, 376, 377, 378.

473
Bloch: Joseph Bloch, 111, 399, 445.
Blumer: Herbert Blumer, 13, 271, 321, 330, 336, 337, 338,
339, 340, 341, 342, 344, 345, 347, 350.
Bonaparte Luis Bonaparte, 110.
Bonnett: Kenvin Bonnett, 32.
Bourdieu: Pierre Bourdieu, 55, 61, 265, 442.
Brown: Richard Harvey Brown, 217, 220, 225, 287, 292.
Bru-no Bau-d, 444, 451.

c
Calhoun: Craig Calhoun, 277, 287, 442, 444.
Calvin, 414, 415, 416, 417.
Capitonov E. A. , 429, 430, 431, 432, 433, 435, 436, 437, 438.
Cazeneuve: Jean Cazeneuve, 11, 127, 163.
Cemercinier: Genevieve Cemercinier, 113.
Coleman: James Coleman, 38, 55, 362.
Collins: Radall Collins, 37, 206, 240, 265, 258, 317, 318, 319,
320, 398, 399, 401.
Comte: August Comte, 30, 35, 48, 49, 57, 60, 69, 70, 71, 72,
73, 74, 75, 76, 77, 78, 79, 80, 81, 82, 83, 84, 85, 86, 87,
88, 104, 117, 118, 124, 133, 134, 135, 138, 139, 140,
172, 217, 218, 429, 430, 490.
Cooley: Charles Horton Cooley, 321, 325, 326, 327, 328, 350.
Cornilov C. N., 432.
Coser: Lewis Coser, 218, 265, 297, 298, 299, 300, 396.
Crook: Stephen Crook, 293.

D
Daheim: Hansjurgen Daheim, 218.
Dahrendorf: Ralf Dahrendorf, 13, 186, 265, 311, 312, 313,

474
 314, 315, 316, 317.
Darwin: Charles Darwin, 91, 116, 393.
Derrida: Jacques Derrida, 112, 442.
Dewey: John Dewey, 321.
Diderot D. , 27.
Dilthey, 130.
Dong: Pham Tat Dong, 19, 31, 35.
Dung: Bui Quang Dung, 381.
Durkheim: Emile Durkheim, 13, 16, 25, 29, 30, 35, 39, 48,
49, 57, 60, 81, 84, 85, 86, 92, 121, 123, 124, 125, 129,
130, 131, 132, 133, 134, 137, 139, 139. 140, 141, 142,
143, 144, 145, 146, 148, 149, 153, 154, 155, 156, 157,
158, 159, 160, 161, 162, 163, 164, 166, 172, 174, 191,
213, 217, 219, 225, 228, 241, 242, 244, 253, 255, 257,
273, 282, 287, 293, 359, 389, 429.

D
Dao, Tran Thien Dao, 223, 305, 306.
Do-Bd-Ri-A-Nop, 62.
Duy-Rinh, 188.

Elster: John Elster, 55, 355.

Endruweit: Gunter Endruweit, 11, 64, 121, 134, 218, 358.
Engels: Phridrich Engels, Ph. Ang-Ghen, Ph. Angghen, 12,
13, 20, 21, 22, 25, 26, 45, 46, 74, 80, 89, 90, 91, 92, 93,
94, 97, 98, 99, 100, 101, 103, 104, 105, 108, 109, 110,
111, 188, 207, 265, 266, 282, 292, 354, 356, 397, 391,
399, 442, 443, 444, 445, 446, 450, 451.

475
F
Farganis: James Farganis, 72, 214, 228, 229, 284, 289, 290,
310, 338, 347, 348, 369, 372, 373, 375, 376, 377, 378.
Feurbach: Ludwig Feurbach, Phoi-d-Bac, 90, 445, 446.
Fine: Gary Alan Fine, 350, 351.
Foulcault: Michael Foucault, 224, 304, 305, 306, 307, 308,
309, 310, 442.
Fourier C., Fu-ri-e, 104.
Freud: Sigmund Freud, 228, 333, 449.
Fromm: Erick Fromm, 265, 278.

G
Gane: Mike Gane, 136, 148, 160.
Gerth H.H. , 197, 201, 208, 210, 211, 212, 213.
Giddens: Athony Giddens, 37, 55, 61, 63, 92, 129, 134, 163,
253, 255, 256, 257, 261, 429, 450.
Goffman: Erving Goffman, 52, 321, 345, 346, 347, 348, 349,
350, 370.
Goodman: Douglas Goodman, 287, 292, 324.
Gourou: Pierre Gourou, 409.
Gove: Walter R. Gove, 50.
Granovetter: Mark Granovetter, 258, 259.

Habermas: Jurgen Habermas, 13, 52, 61, 265, 272, 283, 284,
285, 286, 287, 288, 289, 290, 292, 442.
Han Phi Tii, 28.
Harsanyi: John C. Harsanyi, 358.
Harvey: David Harvey, 287, 292, 293, 294, 297.
Heckathorn: Douglas D. Heckathorn, 353, 355.

476
Hegel: Hegel, He-ghen, 94, 100, 278, 279.
Henslin: James Henslin, 302, 303.
Hien: Nguyen Thi Hien, 66.
Hoa: Nguyen Minh Hoa, 35, 66.
Holton: Robert J. Holton, 228, 236.
Homans: George Homans, 356, 429.
Honneth: Axel Honneth, 277, 442.
Horkheimer: Max Horkheimer, 265, 278, 279, 442.
Houtart: Francois Houtart, 113.
Hdp: Han Lam Hdp, 400.
Hdp: To Duy Hdp, 37.
Hung: Le Ngoc Hung, 19, 31, 41, 65, 66, 143, 156, 272, 274,
320, 331, 343, 381, 383, 386, 392, 441. 442.
Huy, Nguyen Sinh Huy, 35.
Huynh: Pham Dinh Huynh, 35.

J
Jadov V. A., 433,434.
James: William James, 321, 323, 324, 329.
Jary: David Jary, 58, 70, 187, 363.
Jary: Julia Jary, 58, 70, 187, 363.
Joas: Hans Joas, 329, 332, 336.
Jones: Philip Jones, 32.
Ju: Reznik Ju, 434.

Karaganis: Joseph Karaganis, 277, 287, 442, 444.

Khong Tti, 28.
Khu: Pham Chien Khu, 35.
Korte: Hermann Korte, 11, 40, 42, 82, 120, 186, 187, 204,
206, 429.

477