亚当·斯密问题:同情心与利己心



1878年,德国历史学派经济学家斯卡尔茨基在《亚当·斯密的道德哲学及其作为政治经济学的创始人》中提出,斯密《道德情操论》的人性观是利他的,而《国民财富的性质和原因》中的人性观是利己的①。自此,有人将斯密理解为一个有着两个相互割裂的世界的人:伦理学中的利他主义者和经济学中的利己主义者。前苏联学者卢森贝在《政治经济学史》中也认为,斯密在《道德情操论》中“研究道德世界的出发点是同情心”,而“他研究经济世界的出发点”则“是利己主义”②。将《道德情操论》中的同情心和《国富论》中的利己心理解为一对不可调和的矛盾,这就是所谓的“亚当·斯密问题”。                                                                                                                                                                                                                                                                                                

在亚当·斯密的时代,思想家们开始重新构架对人类和社会关系的理解,这种努力是文艺复兴及自然科学发展的结果。15——16世纪的文艺复兴运动提倡理性和科学,削弱了关于自然和社会现象的宗教学说;17——18世纪数学和其他自然科学的发展强调了自然主义,形成用自然力解释社会现象的观念。这一时期对自然科学进步的最大推动力来自牛顿,他的《自然哲学的数学原理》揭示了宇宙万物在运动、引力、能量守衡的自然法则作用下达到均衡的机制。在牛顿哲学的影响下,把世界看作是和谐的、有秩序的、质量卓绝的机械装置成为主流思潮,寻找与自然秩序一致的社会秩序和建立与自然和谐一致的社会和谐成为当时思想家的任务。斯密将牛顿哲学看成是“人类曾经做出的最伟大贡献”③,《道德情操论》和《国富论》体现了他对于道德和社会的牛顿式秩序的理解。《道德情操论》阐明了道德世界的和谐与秩序的建立,而《国富论》则将世界是一个和谐而有秩序的机械装置这一思想扩展到政治经济学领域。

 亚当·斯密问题:同情心与利己心

不论在《道德情操论》还是在《国富论》中,即不论在斯密的道德世界还是在经济世界中,斯密都将人们的行为动机归结为利己心。在《道德情操论》中,斯密说:“毫无疑问,每个人生来首先和主要关心自己;而且,因为他比任何其他人都更适合关心自己,所以他如果这样做的话是恰当和正确的。因此每个人更加深切地关心同自己直接有关的、而不是对任何其他人有关的事情;或许,听到另一个同我们没有特殊关系的人的死讯,会使我们有所挂虑,但其对我们的饮食起居的影响远比落在自己身上的小灾小难为小。”④斯密在《国富论》中对人的利己本性的认识与《道德情操论》是一致的。他说:“我们每天所需的食物和饮料,不是出自屠户、酿酒家或烙面师的恩惠,而是出于他们自利的打算。”⑤在资本主义生产方式中,“私人利润的打算,是决定资本用途的唯一动机。”⑥

在《道德情操论》和《国富论》中,斯密同样充分肯定了利己心作为社会繁荣和进步的推动力量作用。在《道德情操论》中,斯密说,利己的天性“最初促使人类耕种土地,建造房屋,创立城市和国家,在所有的科学和艺术领域中有所发现、有所前进。这些科学和艺术,提高了人类的生活水平,使之更加丰富多彩;完全改变了世界面貌,使自然界的原始森林变成适宜于耕种的平原,把沉睡荒凉的海洋变成新的粮库,变成通达大陆上各个国家的行车大道。土地因为人类的这些劳动而加倍地肥沃,维持着成千上万人的生存。”⑦在《国富论》中,个人追求自身利益推动社会福利实现的思想得到了进一步的发挥。斯密说:“在可自由而安全地向前努力时,各个人改善自己境遇的自然努力,是一个那么强大的力量,以致没有任何帮助,亦能单独地使社会繁荣。”⑨

自利是否自然导致社会繁荣,对个人利益的追求是否必然导致社会利益的实现,或者说,个人利益是否与社会利益无条件一致,斯密对此是持怀疑态度的。在《道德情操论》和《国富论》中,斯密以同样的方式表达了他对“自然”的商业社会自私自利的道德和社会危害谴责。在《道德情操论》中,他说,富人的“天性是自私和贪婪的,……他们雇佣千百人来为自己劳动的唯一目的是满足自己无聊而又贪得无厌的欲望……”⑩。在《国富论》中,斯密对商业社会的道德缺陷的谴责甚至具有了马克思和凡勃伦式的辛辣。“同业中人甚至为了娱乐或消遣也很少聚集在一起,但他们谈话的结果,往往不是阴谋对付公众便是筹划抬高价格。”⑾“不论在哪一种商业或制造业上,商人的利益在若干方面往往和公众利益不同,有时甚或相反。……一般地说,他们的利益,在于欺骗公众,甚至在于压迫公众。事实上,公众亦常为他们所欺骗所压迫。”⑿

在霍布斯和洛克的思想中,“自然状态”或者是危险的,或者是不方便的,他们将解决问题的思路建立在“社会契约”上。斯密被认为是一个乐观主义者,他相信人本身及市场的自我矫正能力。在《道德情操论》中,矫正“自然状态”下人们道德缺陷的是基于“同情心”的自我控制和自我依赖。在斯密的伦理学中,人具有设身处地分享他人情感,认可他人感受的能力,人的行为必须得到居于内心的“公正的旁观者”的认同。这使人们向往得体、高雅的行为方式,追求高尚、正义的道德情操。这样,人们对自身利益的追求,会受到同情心的有效制约,从而保证人们道德行为的合理性。“无论人们会认为某人怎样自私,这个人的天赋中总是明显地存在着这样一些本性,这些本性使他关心别人的命运,把别人的幸福看成是自己的事情,虽然他除了看到别人的幸福而感到高兴之外,一无所得……最大的恶棍,极其严重地违犯社会法律的人,也不会全然丧失同情心。”⒀正是由于作为人的本性的同情心对人的自私心理的约束,才推动了人性和道德的完善。“具有最完美德行因而我们自然极为热爱和尊重的人,是这样的人,他既能最充分地控制自己自私的原始感情,又能最敏锐地感受他人富于同情心的原始感情。”⒁在《国富论》中,将个人的自利追求引导向社会福利即将个人“劣行”转化为社会“美德”的仍然是一种自发的力量,不过这种自发力量不是来自人的内心,而是来自市场——“一只看不见的手”。在斯密看来,一个经济活动的参与者,“他通常并不打算促进公共的利益,也不知道他自己在什么程度上促进了那种利益。……他所盘算的也只是他自己的利益。在这场合,像在其他许多场合一样,他受着一只看不见的手的指导,去尽力达到一个并非他本意想要达到的目的。……他追求自己的利益,往往使他能比在真正出于本意的情况下更有效地促进社会的利益。”⒂“各个人都不断地努力为他自己所能支配的资本找到最有利的用途。固然,他所考虑的不是社会的利益,而是他自身的利益,但他对自身利益的研究自然会或者毋宁说必然会引导他选定最有利于社会的用途。”⒃“一只看不见的手”其实就是市场机制,其自发作用的结果是资源的有效配置和社会福利的增进。

可见,所谓“亚当·斯密问题”——将斯密《道德情操论》中的同情心和《国富论》中的利己心界定为一对矛盾,是对斯密理论的一个误读。以人性而论,人性不是单一的,而是多元的自利和同情,利己和利他并不是非此即彼的。其实,不论是在《国富论》还是在《道德情操论》中,亚当·斯密都毫不含糊地认为人既有利己的一面也有利他的一面的。从亚当·斯密对同情心和利己心的应用来看,也不存在的矛盾的问题。斯密的学术使命似乎是建立和论证牛顿式和谐的道德和社会秩序,无论是在道德世界还是在经济世界,他都将自利理解为基本的推动力量,并相信这一力量可以推动社会的进步。但是,他怀疑自利心自发膨胀情况下均衡实现的可能性。于是,在道德世界里,需要“同情心”来对人进行道德约束;而在经济世界里,需要 “一只看不见的手”加以引导。


① 王莹、景枫:《经济学家的道德追问——亚当·斯密伦理思想研究》,人民出版社,2001年版,P16

② 卢森贝:《政治经济学史》第1卷,三联书店,1979年版,P243

③ 亨利·威廉·斯皮格尔:《经济思想的成长》,中国社会科学出版社,1999年版,P191

④ 亚当·斯密:《道德情操论》,商务印书馆,1997年版,P101—102

⑤ 亚当·斯密:《国民财富的性质和原因的研究》(上),商务印书馆,1974年版,P14

⑥ 亚当·斯密:《国民财富的性质和原因的研究》(上),商务印书馆,1974年版,P344

⑦ 亚当·斯密:《道德情操论》,商务印书馆,1997年版,P229

⑨ 亚当·斯密:《国民财富的性质和原因的研究》(下),商务印书馆,1974年版,P112

⑩ 亚当·斯密:《道德情操论》,商务印书馆,1997年版,P229—230

⑾ 亚当·斯密:《国民财富的性质和原因的研究》(上),商务印书馆,1974年版,P122

⑿ 亚当·斯密:《国民财富的性质和原因的研究》(上),商务印书馆,1974年版,P243—244

⒀ 亚当·斯密:《道德情操论》,商务印书馆,1997年版,P5

⒁ 亚当·斯密:《道德情操论》,商务印书馆,1997年版,P184

⒂ 亚当·斯密:《国民财富的性质和原因的研究》(下),商务印书馆,1974年版,P27

⒃ 亚当·斯密:《国民财富的性质和原因的研究》(下),商务印书馆,1974年版,P25

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             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