社会科学研究方法 课件

1、社会研究方法课程安排社会科学研究法课程大纲第一讲：科学和社会研究我们怎么认识世界权威传统经验思辨社会科学（1）社会学、政治学、经济学、人类学及其交叉学科和分支学科构成：理论、资料收集、分析是什么vs. 应该如何结论的适用范围社会规律社会科学理论的终极目的三个问题：微不足道、例外、人为干扰社会科学（2）社会科学知识的性质系统性、因果决定论、普遍性、开放性社会科学研究的性质实证性、明确性、客观性社会科学研究的特点研究的现象复杂、异质性较大个人因素的影响：研究者、研究对象不确定因素更多，偶然性和独特性社会研究方法体系（2）为什么学习社会研究法我们需要了解所在的世界我们的世界和我们的困惑贫穷公平 民族

2、1、一定的社会作为整体，其结构是什么？它的基本组成成分是什么，这些成分又是如何联系的？这一结构和其他种种社会秩序有什么不同？在此结构中，使其维持和变化的方面有何特定涵义；2、在人类历史长河中，该社会处于什么位置？它发生变化的动力是什么？对于人性整体的进步，它处于什么地位，具有什么意义？我们所考察的特定部分与它将会进入的历史时期之间，是如何相互影响的？那一时期的基本特征是什么？与其他时代有什么不同？它用什么独特的方式来构建历史？3、在这一社会的这一时期，占主流的是什么类型的人？什么类型的人又将逐渐占主流？通过什么途径，这些类型的人被选择，被塑造，被解放，被压制，从而变得敏感而迟钝？我们在这一时期

3、一定社会中所观察到的行为与性格揭示了何种类型的“人性”？我们所考察的社会各个方面对“人性”有何意义？（C.Right.Mills. 社会学的想象力， 第5页）秩序社会研究法的发展整体发展实证vs.反实证实证：现实的而不是幻想的、有用的而不是无用的、可靠的而不是可疑、确切的而不是含糊的、有用的（寻求社会的规律）反实证（社会学的任务是具体而细微地描述实际的社会生活，揭示人类行动的内部逻辑“还世界的本来面目”）证伪范式统计技术的引入中国社会研究法的发展历史概览田野调研/文化人类学社会学专业重建后第二讲 社会研究的方法论问题理论及其构成什么是理论(Theory)概念（Concepts）变量(Varia

4、bles)属性(Attributes)变量之间的关系性别男/女教育程度小学/初中/高中/大学理论社会理论社会理论应当是一套加以系统陈述的，以可靠的经验资料为基础并在逻辑上相互联系的命题理论的功能指导研究的方向描述事物的状况和性质解释现象之间的关系预测未来的事件或现象概念（concepts）实体概念和非实体概念核心概念变量（Variable）自变量（Independent variables）因变量(Dependent variables) 变量之间的关系相关因果虚无变量之间的关系相关因果虚无举例：市场转型理论假设1：假设2：国家社会主义中市场交换取代再分配机制越是彻底，政治资本相对市场资本就越

5、贬值假设3：.市场权力论题市场转型理论市场动力论题市场机遇论题：国家社会主义由再分配向市场的转型导致了新的以市场为核心的机会结构。为单纯的侧重于进入再分配部门以及其中的流通不同，市场机遇打开了社会经济流动的新渠道假设4：假设5：对男女两性而言，从国家社会主义再分配向市场的转型都会增加教育对家庭的价值假设6：.假设7：邻近城市程度对农民家庭收入的正向影响，在改革的社会主义经济中比在国家社会主义再分配经济中要高假设8：由社会主义再分配经济向市场经济的转型将强化市场邻近对家庭收入的影响假设9：分析单位对象：社会事实（social facts）？社会事实：社会事实的特殊性质：1、对于个人意识而言它的外

6、在性；2、它对个人意识产生或容易 产生强制作用社会事实的存在不取决于个人，它先于个体的生命而存在，比个体生命更持久，它由先行的社会事实所造成 ，并以外在的形势强制和作用于人们，塑造人们的意识。层次：个人、群体、社会结构层次、文化层次宏观、微观、社会单位具体的对象：宏观与微观宏观：社会中规模大且综合性强的实体，甚至是整个社会微观：个人或者小群体个案式和通则式解释模式个案式（idiographic）通则式（Nomothetic）因果解释归纳与演绎演绎：从理论到实际归纳：从现实到理论实证主义和非实证主义实证主义：孔德、斯宾塞、迪尔凯姆非实证主义（诠释主义、主观主义、现象学）主要的研究范式简介范式（P

7、aradigms）：某一特定学科的科学家所共有的基本世界观实证、非实证；实证、诠释学、批判理论主要的研究范式简介范式实证主义后实证主义批判理论建构论本体论天真的实在论-“真实”的现实，但可以理解批判实在论-“真实”的现实，但只能不起完全地而且是概率性地理解历史实在论-被社会的、政治的、文化的、经济的、伦理的和性别的价值所形塑的实质现实；随时间的发展而逐渐形成实在论-被本土化地、有针对性地构建的现实认识论二元论/客观主义；发现是真实的经修正的二元论/客观主义；批判传统/社群；发现可能是真实的交流/主观主义；由价值调节的发现交流的/主观主义的/创造的发现方法论实验/操作的（方法）；对假设的证实；主

8、要使用定量方法经修正的实验/操作（方法）；批判多元主义；对假设的证伪；可以包括定性方法对话的/辩证的（方法）诠释学的/辩证方法社会研究流程及组成部分简介理论逻辑推论方法接受或拒绝假设假设检验的方法逻辑演绎方法假设经验概括形成概念建立命题理论的方法量度、测定与分析方法经验观察操作化方法理论构建过程（归纳法）理论构建过程（演绎法）第三讲 问题的提出和文献回顾选择研究问题的重要性“提出一个问题往往比解决一个问题更重要，因为解决一个问题，也许仅仅是一个数学上或实验上的技能而已。而提出新的问题，新的可能性，从新的角度去看旧的问题，却需要有创造性，有想象力，而且标志着科学的真正进步。” -爱因斯坦一个学生

9、如何形成研究题目一个学生如何形成一个研究题目在一些核心课程上：Identify interesting topics in the first set of courses that you take (Which are usually core or required course)在课程作业中：Ask questions and incorporate the answers into the body of knowledge you acquire during your coursework结合自己的兴趣和实际：Consider your own experiences and p

10、ersonal characteristics and qualities, such as your potential professional growth and future career interests, the ability and interests of the faculty with whom you are working, your ability and desire to work with a specific professor, and the availability of resources (money, equipment, etc.) to

11、complete your work如何形成一个问题：举例Developing a Research Question Before developing your research question, you need to have a topic as a starting point. For purposes of this demonstration, well follow the efforts of Megan ONeil, a student writing a research project about the general topic of health care

12、in the United States. Megans audience for this assignment is her classmates and teacher. After exploring her topic, shes focused on diabetes, a disease that affects 17 million Americans. To develop her research question about diabetes, Megan followed six general steps. This demonstration will show y

13、ou how Megan worked through each step. In turn, you can use these steps to narrow your topic to a research question. The six steps are as follows:Consider what your readers want or need to know about the conversation. Select a role (or roles) consistent with your purpose. Generate potential research

14、 questions. Select a working research question. Refine your working research question by narrowing its scope. Refine your working research question by conducting preliminary searches. 如何形成一个问题：步骤1步骤1：考虑你的读者（Step 1: Consider Your Readers）Megan used brainstorming to began to consider what her readers

15、wanted or needed to know about diabetes. She asked herself a series of questions and recorded her responses. Try brainstorming a response to the following questions, as the example on the right shows. While free writing your answers to the following questions, keep the needs and interests of your re

16、aders in mind: Why will my readers care about this issue?为什么我的读者关心这个主题 What will my readers want or need to know about this issue? 有什么是我的读者想要或者需要知道的？What do my readers already know about this issue? 我的读者已经知道了什么？What do I want my readers to learn about the issue? 我希望我的读者知道关于这个问题的什么东西？If I am trying t

17、o persuade my readers of something, how easily will they be persuaded? 如果我想要说服我的读者一些什么东西，怎样才能更容易做到？What will my readers use my writing for? 我的读者会用我所写的东西做什么？如何形成一个问题：步骤1Megans BrainstormingWhy will my readers care about this issue? My readers will care about this issue because many people know someon

18、e who has diabetes, and most people have at least heard of the disease. Its a leading cause of heart disease, kidney disease, and blindness. What will my readers want or need to know about this issue?I think a lot of my readers will be interested to know that they can do a lot to prevent themselves

19、from getting Type 2 diabetes. Also, there is a difference between Type 1 and Type 2 diabetes. Most diabetics are Type 2 diabetics, which means that they can often control their diabetes with diet and exercise, whereas Type 1 diabetes is very different. I think that they would like to know the sympto

20、ms of diabetes, the ways to control it, why some diabetics take shots, and whether there is a cure in sight. What effects does the disease have on the economy? Why are so many people getting the disease now? What do my readers already know about this issue?Most people know somebody with diabetes. Th

21、ey know it has something to do with shots and insulin, and they think diabetics cant eat sugar. What do I want my readers to learn about the issue? I want my readers to know there is a difference between the two types of diabetes, and the symptoms, treatment, and complications of the disease. Id als

22、o like them to know why the disease is becoming an epidemic in the U.S. and in other parts of the world. If I am trying to persuade them of something, how easily will they be persuaded?I think that if I can write my paper so that they understand they have some control over whether they will end up w

23、ith Type 2 diabetes, they would be somewhat easily persuaded to take care of themselves. If I抦 trying to have them donate money or time to the diabetes association, I have to make sure they understand why it抯 such a scary disease and how close researchers are to a cure.What will my readers use my wr

24、iting for?I think most of my readers will use this paper as a source of information.如何形成一个问题：步骤2步骤二：为自己选择一个角色（Step 2: Select a Role）Megan also considered different rolessuch as reporter, advocator, or interpretershe might adopt as a writer. Essentially, she considered how the different roles would a

25、llow her to accomplish her purpose as a writer. Below are five possible roles. On the right, Megan has brainstormed the possible outcome of adopting each of the particular roles.Five Possible Roles to Adopt:Advocate（支持者/拥护者/倡导者） Reporter（报道者） Interpreter（解释者） Inquirer （调查者）Entertainer（表演者）Note: Thes

26、e roles are not mutually exclusiveyou might adopt one role or another at different points in a project.如何形成一个问题：步骤2Megans BrainstormingRole of the Advocate: If I adopt the role of the advocate in this paper, I could argue that because diabetes is becoming an epidemic in the U.S., Congress should all

27、ow stem-cell research to continue and should spend a lot of money in finding a cure before the year 2005. I could also argue that since Type 2 diabetes is largely controllable, people who get it shouldnt get health coverage unless they agree to join a fitness program and monitor their food intake. R

28、ole of the Reporter: If I adopt the role of the reporter in this paper, I could inform people about the causes of diabetes, the different types of diabetes, the complications of diabetes, and the progress being made to cure diabetes.Role of the Interpreter:If I adopt the role of the interpreter in t

29、his paper, I could compare different scientific studies on treatments for diabetes complications.Role of the Inquirer: If I adopt the role of the inquirer in this paper, I could try to determine why African-Americans are more susceptible to Type 2 diabetes than are White Americans. I could try to lo

30、ok into the link between Agent Orange exposure and diabetes in Vietnam veterans and their children.Role of the Entertainer: If I adopt the role of the entertainer in this paper, I could look at the way in which diabetes is portrayed in films. I could look at Steel Magnolias, Panic Room, and other mo

31、vies and write about how Hollywood often misrepresents diseases in order to fit the plot.如何形成一个问题：步骤3After thinking about her readers and about the possible roles she might adopt, Megan decided to adopt the role of a reporter. It most closely fit her purposesto help her readers understand the causes

32、 and symptoms of and treatments for diabetes. Her next step in generating a research question was to start drafting possible research questions. She used the words what, why, when, where, who, and how as starting points for her questions. She also used the words would, should, or could. 步骤三：生成潜在的研究问

33、题Step 3: Generate Potential Research Questions如何形成一个问题：步骤3Megans Potential QuestionsWhat is diabetes?What is the research community doing to prevent or cure diabetes?Why do African-Americans have a higher risk for diabetes?Why is diabetes becoming more common in other countries around the world?When

34、 are people most at risk for diabetes?Where is diabetes most common in the world?Who is most at risk for developing diabetes?How can Americans avoid it?How is diabetes treated and prevented?How much does diabetes cost Americans each year?Could Vietnam veterans exposed to Agent Orange have a greater

35、chance of getting diabetes?Would it be better to find a cure for diabetes or a vaccine?Should the U.S. invest a lot of money in diabetes research? How much?Should finding a cure for diabetes be Americas number one health priority?Should people with a history of Type 2 diabetes in their families be r

36、equired to be tested for it regularly?如何形成一个问题：步骤4步骤四：选择一个初步的研究问题Megans Preliminary Research QuestionWhat is diabetes and how can it be avoided?After she reviewed the information from the first three steps, Megan selected the research question on the right. As you can see, her preliminary research q

37、uestion is a combination of two questions she generated in Step 3. Megan chose this question because it best fulfilled her purposes as a writer (to write an informative article about an issue affecting the health of Americans), the needs and interests of her readers, and the role she adopted (report

38、er). Note: If you are combining questions, be sure that the scope of your question is not too broad.如何形成一个问题：步骤5步骤5：收窄你的研究问题的范围（Step 5: Narrow the Scope of Your Research Question）After choosing a research question, Megans next step was to narrow the scope of her question by replacing vague words and

39、 phrases with ones that were more specific. Another way she further narrowed her question was to add limitations to it, as shown in question number two on the right. Replacing Vague WordsWhat is diabetes and how can it be avoided? What is the difference between Type 1 and Type 2 diabetes and how can

40、 they be avoided? What is the difference between Type 1 and Type 2 diabetes and how can Americans reduce their risk of getting these diseases?如何形成一个问题：步骤6步骤6：通过搜索来提炼你初步的研究问题（Step 6: Refine Your Preliminary Research Question through SearchesMegans next step was to test her research question by conduc

41、ting preliminary searches (on an online library catalog, a database, or the Web) using words and phrases found in or related to her research question. She first tried Google, and got nearly one million results from a search for the keywords reducing risk getting diabetes. Megan then decided to searc

42、h for different types of diabetes to reduce the number of hits. If you find too many responses when you conduct your preliminary searches, consider revising your question so that it focuses more narrowly on your issue. For a list of databases that may help you focus your question, visit the Discipli

43、nes and Professions page in the Research Room Links. 如何形成一个问题：步骤6怎样才算一个好的研究问题1研究所提供的知识是否使用了一些基本的概念并能够积累到现有的知识体系中去：Is the problem concerned with basic concepts, such that the knowledge produced will be cumulative and build on an existing body of knowledge如：Andrew Walder的communist neo-traditionalism:

44、work and authority in Chinese industry是否能够对一些理论进行检验？Will the investigation of the research problem result in a testing of some theoretical formulation?如：蔡禾教授的一篇文章论国有企业的权威问题-兼与Andrew Walder G.讨论怎样才算一个好的研究问题2研究问题是否能够运用到准确地形成变量和方法设计？Does the research problem allow for the careful specification of the v

45、ariables involved and use of the most precise and appropriate methods available?是否对研究方法有所贡献：Will an investigation of the research problem result in a contribution to methodology by the discovery, development, or refinement of practicable tools, techniques, or methods?一些新的研究方法的应用：如早期的结构方程在社会学论文上的应用怎样

46、才算一个好的研究问题3研究是否使用了某些学科或者是一些分支学科的概念、理论、证据或者技术？Will the research problem utilize the relevant concepts, theories, evidence, and techniques from the discipline or subdiscipline of interest?如社会分层研究的一系列的研究、国家与社会的研究所设的研究是否比之前别人做的更有意义？Will the integration of this single study into a planned program of rela

47、ted research produce results that are more meaningful than those achieved prior to the integration怎么判断？能和更多的理论进行讨论，有更详细的资料？用更严谨先进的方法？选的角度更有意义从理论中形成问题西方社会学理论脉络古典阶段: 孔德斯宾塞现代阶段: 迪尔凯姆卡尔.马克思马克斯.韦伯二战后: 结构功能主义符号互动论交换理论批判理论新的综合:吉登斯布迪厄哈贝马斯亚历山大社会学理论和问题的形成一些可行的角度：用已有的理论去检验新的事实经常被采用尤其是在中国对已有的论争进行综合例如理论A和理论B的论争理

48、解重大事件用一些已有的理论来解释重大事件如：非典、文革、改革开放对已有理论的一些修正变量的细化加入新的变量当前西方学者对中国的主要研究经济成就社会分层和市场转型理论国家与社会：农村政治研究都市政治研究海外中国社会分层研究述评（1989-2004）问题的产生毛时代中国的社会分层状况组织化的社会再分配体制庇护关系 (Hinton 1984; Kraus 1981; Oi 1985; Oi 1989; Shue 1980; Unger 1984; Walder 1986; Whyte 1985; Yang 1959) 问题的产生市场改革给上述社会分层状况带来了什么变化？孰得何物，为何（who get

49、s what and why）？ 第一阶段：市场转型理论及其论争市场转型理论及其论争Nee（1989）的市场转型理论：三个论题和十个假设: 政治精英（干部）的权力回报将会被削弱有利于直接生产者（direct producers）而相对地不利于再分配者(redistributors) （市场权力、市场动力和市场机遇）有利于市场资本（market capital）、人力资本(human capital)和文化资本(Culture Capital)而不利于政治资本 （political capital）市场转型理论及其论争Nee (1991)的“局部改革”观点干部家庭在市场改革后仍然保持优势，是因为

50、市场改革的不完善。随着市场化改革的完善，干部的权力必然会被削弱 市场转型理论及其论争直接的反对意见“权力维持论” (Bian and Logan 1996)再分配与市场改革共存：党的领导和单位制度不变政治资本仍然具有优势（党员身份、单位级别）“权力转化论”（Rona-Tas 1994）再分配权力转变成为社会网络资源并最终转变成为私有财产 市场转型理论及其论争间接的反对意见“地方国家合作主义模式（Local State Corporatism）”合作主义中国财税制度的分税制改革准予地方政府保留上缴国家的税额外的余额。在此一利益推动下，地方政府就像是一个拥有着许多生意的大企业，努力地利用和整合在自

51、己权限下的资源并参与到企业的行为中去 (Oi 1992; Oi 1995; Walder 1995) 市场转型理论及其论争间接的反对意见“地方市场社会主义模式（Local market socialism）”（Lin 1995） 地方：地方的社会和文化背景市场：变化中的经济系统社会主义：最近的政治和意识形态上的变化第二阶段：新制度分析（new institutional analysis）新制度分析社会分层新制度主义分析概述新制度主义社会学新制度主义以“约束性的选择”为核心的分析框架(a choice-within-constraints framework of analysis) (Bri

52、nton and Nee 1998; Granovetter 1985)社会分层新制度主义分析对社会分层的新制度分析强调社会分层机制的差异是由于其背后的制度框架的变化，这种制度框架的变化形成了多样的利益和机遇结构，从而影响了这些结构中的人努力实现权力和资源最大化的选择 新制度分析理论的辨析市场还是制度转变的是制度而不是抽象的市场Polanyi的问题（Walder 1996）多种多样的产权上的转变（stark 1996, walder 1996, Oi and Walder 1998）公有财产（public asset）的外租和外借（contracting and leasing）公有财产的售卖

53、和彻底私有化公有财产向精英的非法转移国家实体对私营企业的投资新的家庭经济和其他的私人经济的兴起 新制度分析理论的辨析市场转型还是经济扩展（economic expansion）在分配经济向市场经济转变+传统的农业经济（二元经济）经济发展市场转型：生产市场劳动力市场依赖政府的非农工作机会经济扩展：平均收入和工业产值（Walder 1996;2002）新制度分析 理论的辨析国家与市场：互斥还是共生再分配与市场改革共存 （Bian and Logan 1996, Bian and Zhang 2002）政治市场（Political Market): 工人与管理者，管理者与国家官员国家官员与国有企业之

54、间选举政治而导致的农民、地方官员和国家之间市场与政治共生模式（a market-politics coevolution model ）（Zhou 2000）新制度分析经验研究上的扩展不同的经济部门上的分别（产权特征、级别特征）国营部门和私营部门（Zang 2002）政府机构，公共领域中的非营利机构（事业单位），中央企业，地方国营企业，集体企业和私营/合资企业 （Zhou 2000）经验研究上的扩展不同的地区城市与农村产权制度在农村的模糊性（ Peng 1992 ）农村劳动力市场的独特性不同的城市城市之间具有种种制度差别（Xie and Hannum 1996)不同的区域沿海再分配（河北、山东

55、、上海）；沿海合作主义（浙江、江苏）；沿海自由放任经济（广东、福建）；内地（Nee 1996）新制度分析新制度分析经验研究上的扩展不同的时间U型发展: 不平等随着改革过程的推进出现U型发展（Szelenyi and Kostello 1996 ）新制度分析经验研究上的扩展不同的群体党务政治精英和技术政治精英：精英二元主义 党务政治精英面对不利处境技术政治精英获得更多的机会(walder, Li, Treiman 2000; Zang 2004 ) 新制度分析经验研究上的扩展不同的资源资源的类别特征描述政治精英的机会Concentrated assetsIndustrialized urban

56、economyBetterDispersed assetsAn agrarian economy with widespread small-holding;A small-scale entrepreneurial economyworseLiquid AssetsFinancial instruments, asset transactions, price manipulations, international dealingsBetterTangible AssetsVehicles, tools, finished products, and landworse新制度分析概述：国家

57、体系的变化与个人机遇市场体系的变化与个人机遇新的研究方向新的研究方向国家之间的比较后社会主义国家之间后社会主义国家与发达资本主义国家之间新的研究方向经验研究上的多样性只是关于收入的回归分析生活历史人种学方法更详尽深入的数据新的研究方向考虑更多的制度农业商品市场资源资源市场房地产市场社会保障项目税收国际市场地方社区特征：社会网络、社会资本国家与社会现代国家取代传统社会Franz Schurman Vogel 国家与社会之间的妥协Martin King Whyte Martin King Whyte & William Parish Martin King Whyte & William Pari

58、sh国家与社会相互渗透Anita Chan Andrew Walder Jean Oi 公民社会改造国家东欧的改变社会组织的增加与变化农村基层政治村民选举都市政治居民委员会如何做文献回顾什么是文献回顾(literature review)就某一主题，问题而对相关的文献进行了解、汇总和评论，为自己的研究作准备文献回顾的重要性做好研究的前提条件寻找知识之树中你的位置遗憾的是：国内的出版物中还没有很好的书告诉学生怎么去做文献回顾如何进行文献回顾：step by step步骤1:界定文献回顾的范围步骤2:寻找文献步骤3:记录文献步骤4:评价文献步骤5:组织和撰写文献回顾如何进行文献回顾：界定文献的范围

59、选择一个合适的主题（领域）必须具体而且清晰文献的边界：什么时间段的作品？什么国家或者地区的作品？集中在某一方面（如理论或方法）还是整体？是否需要再扩大你的研究范围到相关的学科重要的和次要的？什么水平的文献你才使用文献的来源（杂志、书本、网页）只是中文还是包括其他语言，例如英语等注：一个渐进的过程寻找文献：重点一般的来源：书本、学术期刊、报纸、硕士或博士论文库、调研报告、网页资料（特别是大学和研究机构）等等重点1：评论性文章（review articles）和专门出版评论文章的杂志重点2：经典的和具有里程碑意义的文章（注：你的文献回顾如果没有这些文章将会是失败的）重点3：领域内的著名学者的文章的

60、参考文献重点4：一些学科的handbook(the handbook of sociology),越新出版越好重点5：学术研究应优先期刊、书本、博士论文库如何使用中大图书馆寻找文献（以期刊举例）中文期刊及其他资料的查找点击登陆,复制账号和密码输入用户名和密码输入检索的关键词: 如作者文章题目输入作者名或题目名或主题点击点击点击继续寻找外文期刊文章的寻找高级搜索基本搜索输入作者条件的界定搜索结果相关的搜索文章全文下载一些对文献回顾有用的网络资源/dbls/HowtoWriteLiteratureReview.htm香港中文大学大学服务中心(USC) 关于农村研究:农村研究网 最常用的外文期刊数据