【作者】 张军；

【导师】 安维复；

【作者基本信息】 华东师范大学 ， 马克思主义哲学， 2014， 博士

【摘要】 由于不满于传统实在论(包括传统的批判实在论)在主体与客体、事实与价值、结构与功能等问题上的二分法,英国科学哲学家罗伊·巴斯卡提出了“超验的实在论”(transcendental realism)和“批判的自然主义”(critical naturalism),随后这两种思想被其继承者们合称为“批判实在论”(critical realism)。由科学哲学领域到社会科学领域乃至哲学本体论等领域包括人的解放问题,批判实在论因其独特的理论视角和富有批判精神的方法论,成为继实证主义以及后现代主义之后的替代性选择方案之一,日益引起学界的关注,罗姆·哈瑞(Rom Harre)认为巴斯卡在科学哲学中制造了一个崭新的、强有力的、完美的原创性论证,安德鲁·克里尔(Andrew Collier)认为巴斯卡的成就可以与波普尔、拉卡托斯、库恩等并驾齐驱,普里森斯(Nigel Pleasants)也曾将巴斯卡与吉登斯、哈贝马斯等相提并论。同时,在“科学实在论与人的解放”(scientific realism and human emancipation),巴斯卡将批判实在论作为马克思主义的“帮手’’(under laborer),旨在为马克思主义提供科学的基础；在“辩证法：自由的脉搏”(dialectic:the pulse of freedom)中,对马克思传统特别是辩证法思想进行新的解读和思考,因而也成为当代西方马克思主义在后现代背景下的一种思想声音。本文以巴斯卡的思想与传统观点的比较为切入点,深入挖掘巴斯卡在突破传统实在论的二分法过程中体现的新型辩证法思想,重新理解或丰富发展辩证法的(异质)包容性、批判性和超越性等理论品格。巴斯卡将自己的思想发展划分为五个阶段：“超验的实在论”(transcendental realism),“批判的自然主义”(critical naturalism),“解释性批判理论”(theory of explanatory critique),“辩证的批判实在论”(dialectic critical realism),“超验的辩证批判实在论”(transcendental dialectic critical realism)。鉴于资料占有情况和思想成熟程度所限,笔者选取前四个阶段作为本文的基本结构。第一,“超验的实在论”(transcendental realism)。(1)巴斯卡认为科学研究的对象既不是古典经验主义的原子事实,也不是先验唯心主义的观念构造,而是事物现象背后的结构与机制；(2)科学研究的领域,既不是现实主义的事实,也不是经验主义的经验,而是产生现象和事实的更为深层的实在；(3)科学研究的条件上,与经验主义所设定的封闭系统相反,巴斯卡建立了开放系统的观念,主张自然和科学的分层性、差异性和开放性；(4)在科学发现的逻辑上,超越了经验主义的规律性发现和先验唯心主义的模型建构,明确了科学发现的逻辑,提出了科学发现的辩证法。第二,“批判的自然主义”(critical naturalism)。(1)自然主义强调自然科学和社会科学研究方法的同一性,反自然主义则强调社会科学的意义性,“批判的自然主义”认为社会科学完全可以进行科学式的研究,只是在具体的方法上有所不同；(2)在研究对象上,既反对方法论个人主义的个人观,也不赞成以整体为视角的整体观,认为社会科学的研究主题是人与人之间的关系；(3)与以人类行为为基点来解释社会的行为主体论和以社会为基点来解释人类行为的结构主体不同,巴斯卡创立“社会行为转换模型”,认为人类生活于社会结构中,社会结构是先在于人类而存在的,但是人类行为可以再生产和转换社会结构。(4)在身体-精神问题上,与传统的二元论和还原论不同,巴斯卡提出“共时态的突现力唯物主义”(synchronic emergent power materialism),认为思想及其他属性作为物质实体的特殊突现力,不能化约为物理学、化学和生物学的规律。第三,“解释性批判理论”(theory of explanatory critique)。(1)与实证主义、解释学以及历史主义的社会科学价值中立论不同,巴斯卡认为社会科学本身是批判的和内在批判的；(2)与理性知识论或理论主义认为社会科学在实践中具有直接的效用不同,巴斯卡指出社会科学的解释和批判是有条件的；(3)与休谟将事实与价值的二分的立场不同,巴斯卡指出事实陈述内含价值判断,价值判断引导事实陈述,事实与价值、理论与实践之间是螺旋式的上升过程。第四,“辩证的批判实在论”(dialectic critical realism)。(1)与传统辩证法(巴门尼德、柏拉图、康德)肯定存在、否认非存在的“本体论单一性”(ontological monovalence)不同,巴斯卡主张本体论的双面性或多面性(ontological bivalence or polyvalence),提出“实在的缺失或否定”(real absence or negation)概念作为世界的基础和辩证法的起点,认为“缺失”具有本体论上的优先性。(2)以对马克思辩证法的理解为起点,批判了黑格尔辩证法的唯心性、先验性和封闭性,认为黑格尔过分强调“同一性”而忽视了“实在”,同时“确定性的否定”对于理解实在是不充分的和矛盾的,而封闭的总体性也无法保存“实在的缺失”(real absence)观念；(3)以“非同一性”、“否定性”、“总体性”和“有改革能力的实践”范畴替代了黑格尔的“同一性”、“否定性”和“总体性”范畴,并且即使在相同的术语中,巴斯卡也注入了与黑格尔截然不同的涵义,从而对辩证法范畴做出了新的规定。通过以上考察,本文认为：巴斯卡批判实在论是一种以重新诠释“实在论”为基础,以超越二元论及二分法为目的,以批判传统辩证法为载体的辩证法。较之传统辩证法,巴斯卡的辩证法将“非同一性”植入辩证法的范畴体系,重新诠释了传统辩证法中的“否定性”范畴,用“有改革能力的实践”作为其辩证法的动力机制。巴斯卡思想不仅有助于突破传统实在论的二分法难题,也有助于将黑格尔和马克思等人的辩证法思想推进到一个新的高度或开辟了一条新的路径。这种新型的实在论或新型的辩证法为解决当代科学哲学领域、社会科学(哲学)领域中的二元论提供了有益的借鉴与参考,同时也为解决马克思主义中的二分法(唯意志论与经济决定论、人道主义与经济主义、主体与结构等)提供了建设性的方案。更多还原

【Abstract】 Due to his being discontented with the dichotomy of traditional realism (including traditional critical realism) on problems such as subject and object, fact and value, form and function, etc., Roy Bhaskar, the British scientific philosopher, put forward "Transcendental Realism" and "Critical Naturalism", the two of which were then named Critical Realism by his successors. Being one of the alternative options after Positivism and Postmodernism because of its special theoretical perspective and critical methodology from the field of philosophy of science to the field of social science, and even to the field of philosophical ontology including the issues of human emancipation, Critical Realism has increasingly got attention from the academia. Rom Harre thought that Bhaskar created a completely new, powerful, perfect and original argumentation. Andrew Collier stated that Bhaskar’s achievements could be comparable to Karl Popper, Imre Lakatos, and Thomas Sammual Kuhn. Also, Bhaskar and Anthony Giddens、Jurgen Habermas were bracketed by Nigel Pleasants. Meanwhile, in the book of《Scientific Realism and Human Emancipation》, Bhaskar made critical realism as an under-laborer for Marxism, aiming at providing a scientific foundation for it, and in 《Dialectic:The Pulse of Freedom》, he reread and rethought Marxism traditional, and especially the dialectical thoughts, thus his new ideas becomes a kind of thoughts of contemporary western Marxism in the postmodern context.Starting from the comparison between Bhaskar’s thoughts and traditional ideas, this dissertation thoroughly explores his new dialectical thoughts in breaking through the dichotomy of traditional realism, re-comprehends, enriched and develops the theoretical character of (heterogeneous) inclusiveness, criticalness and transcendence of dialectics.Bhaskar divided his development of his thoughts into five stages:transcendental realism, critical naturalism, theory of explanatory critique, dialectic critical realism and transcendental dialectic critical realism. In a view of occupied relative materials and the limitations of thinking maturity, the author chooses the first four stages as the basic framework of this paper.First, in the field of the philosophy of science:(1) Bhaskar believes that the object of scientific research is neither the atomic facts of the classical empiricism, nor the concept structure of the transcendental idealism, but the structure and mechanism that generate phenomena;(2) the field of scientific research is neither the actual events nor the empirical experience, but the deeper reality contributing to the phenomenon and the fact;(3) as for the scientific research condition, contrary to the closed system of the Empiricism, Bhaskar established the concept of open system to advocate the stratification, the diversity and the openness of nature and science;(4) in the logic of scientific discovery, it goes beyond the regular empirical discovery and the model construction of transcendental idealism, defines the logic of scientific discovery, and puts forward the dialectics of scientific discovery.Second, in the field of social science:(1) Naturalism emphasizes the identity between the natural science and the social science in the scientific research methods, while Anti-naturalism emphasizes the significance of social science. Bhaskar, from the perspective of the critical naturalism, regards that the research of the social science could be conducted in a scientific way, although in the different specific method;(2) On the subject matter of social science, neither the personal view of the methodological individualism, nor the holistic view from the perspective of the Whole are agreed with. It is believed that the subject-matter of the social science is the social relation;(3) In opposition to the behavioral subjectivism with the human behavior as the starting point to explain the society and the structural subjectivism with the society as the starting point to explain the human behavior, Bhaskar sets up the transformational model of social activity, and believes that human beings live in the social structure, and the existence of social structure is prior to that of human beings, but human behavior can be reproduced and transform social structure.(4) In the mind-body problem, In opposition to the traditional dualism and the reductionism, Bhaskar puts forward’synchronic emergent powers materialism’. He argues that the thought and other properties as the special emergent power of the material entity cannot be reduced to the law of physics, chemistry and biology.Third, in the field of social scientific philosophy:(1) In opposition to t the view of value-neutrality of positivism, hermeneutics and historism on the social science, Bhaskar claims that the social science is critical and self-critique.(2) In opposition to the theory of rational knowledge or theoreticism which conceives social science as immediately efficacious in practice, Bhaskar points out that the explanations and criticism of the social science are conditional.(3) In opposition to Hume Law, Bhaskar states that value judgment is embodied in statements of facts, value judgment guides statements of facts, and there is a spiral progress between fact and value and between theory and practice.Forth, in the field of Dialectic:(1) In opposition to the traditional dialectics’(Parmenides, Plato, Kant) ontological monovalence which give a purely positive account of reality,Bhaskar advocates ontological bivalence or polyvalence, and proposes to take the concept of "the real negation or absence" as the foundation of the world and the starting point of the dialectic. Also he argues that absence or real negation takes priority in ontology.(2) Based on the comprehension of Marx’s dialectics, he criticized the idealism, apriority and closure of Hegel’s dialectics, and argued that Hegel overemphasized " identity " and neglected " reality ". Besides, he thought that "decisive negation" was inadequate and contradictory to understanding reality, while the close totality could not save the concept of "real absence".(3) The category of "non-identity","negativity","totality" and "transformative practice" replaced the category of "identity","negativity" and "totality". Even for the same terms, Bhaskar also introduced completely different connotations from Hegel’s, and then made new rules for the category of dialectics.Through the above mentioned, the dissertation argues that Bhaskar’s critical realism is a kind of dialectics, which bases itself on new explanations of "realism", aims at transcending dualism and dichotomy, and takes criticizing traditional dialectics as its carrier. Compared with the traditional dialectics, his implants "Non-identity" into the system of dialectic category, re-explains the category of "Negativity" of the traditional dialectics, and employs "the Transformative Practice" as the dynamic mechanism of his dialectics. His thoughts can not only make contributions to breaking through the problem of realist dichotomy, but also help to promote Hegel’s and Marxism dialectic ideas into a higher level or to open up a new path. This new realism or dialectics provides beneficial reference for the solutions to dualism in contemporary philosophy of science and (philosophy of) social science, and also constructive plans for solving the dichotomy in Marxism (such as voluntarism versus determinism, humanism versus economism, agency versus struture)更多还原