【作者】 刘耀春；

【导师】 王挺之；

【作者基本信息】 四川大学 ， 世界史， 2007， 博士

【摘要】 自瑞士文化史家雅各布·布克哈特(Jacob Burckhardt，1818-1897)的杰作《意大利文艺复兴时期的文化》(1860年)出版以来，文艺复兴主要被看作一个开启西方现代性的伟大时代。笔者认为对文艺复兴的这种认识存在偏差，在笔者看来，文艺复兴主要是一个文化概念，确切的说，文艺复兴是一个通过接受、复兴、利用和改造古典文化传统实现文化革新的伟大运动。因此，笔者打算从这个角度重新审视文艺复兴运动。笔者在论述中有时也把文艺复兴当作一个时期使用，但仅用它指从1350年到1620年这一时段，而祛除了褒贬的色彩。国内外学界有关文艺复兴文化史的研究成果汗牛充栋，但现有研究往往就文化谈文化，将文艺复兴运动与其历史场景(historical context)割裂开来，导致过高估价文艺复兴运动，甚至产生了种种误解。正因为如此，笔者积极响应英国文艺复兴学者德尼斯·海(Denys Hay，1915-1994)的号召，努力把文艺复兴置于其历史场景中。在笔者看来，文艺复兴运动主要是在城市空间里发生的一个文化现象，因此，文艺复兴时期的城市空间就构成了这一伟大文化运动最重要的历史场景，然而，这一点却往往被人们忽略。鉴于目前对文艺复兴文化的思想和艺术形式已有大量出色研究，本文对这一部分内容从略，而是着重呈现文艺复兴运动赖以发生的历史环境以及它的一些表现形式，换句话说，本书的一项主要任务是为意大利文艺复兴运动提供一部“外史”(external history)。本文的时间范围大致从1350年(“黑死病”爆发后两年)到1620年，但本文并不是以时间顺序为主的编年史，而毋宁是“共时性”(synchronous)的多专题综合研究。笔者效法伟大的文化史家伏尔泰的《路易十四时代》和布克哈特的《意大利文艺复兴时期的文化》的多专题研究法，尤其以后者的《意大利文艺复兴时期的文化》为榜样，分成若干专题进行讨论，力求描绘出一幅有机、协调的文艺复兴城市社会图景。由于文艺复兴运动是在意大利城市社会中产生并展开，故而笔者注重从城市地理或“城市空间”的角度理解文艺复兴运动。不过，笔者理解的城市和城市史和流行的见解略有不同。笔者心目中的城市和城市史是非常开放的，至少不是大多数建筑史家所理解的城市和城市史。在笔者看来，任何时期的城市社会都是两个身体或两个空间的复合体，一个是“物理身体”(physical body)或“物理空间”(physical space)，一个是“社会身体”(social body)或“社会空间”(social space)，有关城市的任何研究都离不开对这两方面的考察。本文对文艺复兴时期意大利城市社会的研究也主要从这两个方面入手。本文的前半部分(第一章到第五章)主要探讨了文艺复兴时期意大利城市的物质空间或物质形态。过去，城市史研究在很大程度上是建筑史家的禁脔，一般的历史学家甚少关注。在传统的城市研究中，城市建设、城市景观、城市的理念和实践等内容占了很大比重，史学家通常将这部分内容称为“城市形体论”(urbanism)。笔者着重考察了文艺复兴时期意大利城市的建筑环境，以及文艺复兴文化运动和城市空间(尤其是城市景观)之间的互动关系。总之，本文的前半部分旨在让人们更好地理解文艺复兴运动的物质环境。本文的后半部分，即第六章至第十章，从具体的物质空间转向以人为中心的社会空间，即城市居民在这个空间中的各种组织形式和生活方式。这一部分涉及面较多，笔者将其分成社会结构、经济、文化机构、社会生活以及社会问题等几大板块。任何城市都是由人组成的社群(civitas)，因此笔者考察了城市居民的职业构成、职业等级、社会观念和以及社会等级结构。此外，笔者还分析了城市中的特殊少数群体，即犹太人的生存状态以及犹太人隔居区的形成。经济是城市正常运转的基础，故而笔者也探讨了城市的商业文明，包括资本主义的辅助工具、早期的资本主义经济类型、商品消费和物质文化。城市的一个优势在于其作为文化生产和传播的中心地位，笔者考察了文艺复兴时期支撑文化和知识生活的组织和机构，以及文化的生产和传播方式等。接着，笔者从社会史和大众文化的角度观察了文艺复兴时期意大利城市的社会生活，分析了文艺复兴时期的宗教性(religiosity)和世俗性(secularity)的问题，笔者发现，在文艺复兴时期，宗教在文艺复兴时期的日常生活中占有十分重要的地位，人们仍然是非常虔诚的，布克哈特所说的信仰的普遍衰落是不能成立的。此外，笔者还考察了这一时期的休闲和娱乐生活，笔者认为文艺复兴时期意大利城市社会生活具有鲜明的剧场性(theatricality)特点。最后，笔者还探讨了文艺复兴时期城市社会肌体的病理——社会问题，包括贫困问题和社会救济、暴力和犯罪，以及妇女的卖淫问题，这一部分内容尤其暴露了布克哈特精英史观的局限。总之，本文是一项融合了城市史、文化史和社会史的综合性研究。另一方面，笔者在论述过程中还力图回应和反思布克哈特关于文艺复兴时代开启了欧洲现代性(modernity)的经典观点。笔者认为，仅仅所谓的“时代精神”或单纯的精英文化史评判文艺复兴时代的现代性存在很大局限，而应当从多个角度来思考这个问题。笔者将从城市空间的角度透视文艺复兴时代的现代性问题，即从城市的物质空间的演变，经济、文化机构、社会生活和社会问题等诸多方面进行反思。笔者尤其注重“自下而上”的研究路径，注重日常生活以及以往被史学研究忽略的层面。从总体上，笔者认为布克哈特提出的文艺复兴现代性的命题只有经过严格的限定方能成立。文艺复兴时期的意大利社会蕴藏着现代性因素，但也夹杂着大量传统的因子。笔者认为，文艺复兴时代的现代性尚处于萌芽状态，未充分展开，是一种稀疏和柔弱的现代性，笔者认为可以用“原初现代性”(proto-modernity)来命名它。文艺复兴时代的“原初现代性”与工业社会时代产生的“高度现代性”(high modernity)和第二次世界大战之后的“晚期现代性”(late modernity)或“后现代性”(post-modernity)之间有很大差异。“原初现代性”这一命名有助于我们对文艺复兴运动发生时代给予时空上的定位，也有助于重新认识欧洲历史的分期问题。人们习惯上把欧洲历史划分为三个发展阶段：古代——中世纪——文艺复兴(近代)，但必须指出的是，这个欧洲历史分期的三分模式最初是从文化史的角度提炼出来的，因此综合来看存在很大不足。根据上述对文艺复兴近(现)代性的新认识，笔者认为可将欧洲历史的发展划分为五个阶段：古代——中世纪——现代早期(从文艺复兴到启蒙运动)——现代(从启蒙运动到第二次世界大战)和后现代(从第二次世界大战)。笔者认为，作为历史分期的概念，“现代早期”(early modern)比“文艺复兴”更适宜。更多还原

【Abstract】 Ever since Swiss cultural historian Jacob Burckhardt (1818-1897) published his masterpiece The Civilization of the Renaissance in Italy (1860), the Renaissance has been regarded as the great age of initiating the Western modernity, the present author thinks that this definition is problematic, and believes that the Renaissance is mainly a cultural conception, more precisely, the Renaissance is a great movement of cultural innovation by accepting, reviving, appropriating and adapting the classical tradition. Therefore the present author plans to re-examine the Renaissance in this sense. In this dissertation the present author also takes the Renaissance as an age from time to time, but just uses it to signify the time span between 1350 and 1620, and tries to keep the position of the value-free. There have been immense studies and publications on the cultural history of the Italian Renaissance made by both domestic and outside academic world, but the researches available tend to focus on the Renaissance culture as such and seem to isolate the Italian Renaissance from its historical context, such academic practice often results in the overestimation of the significance of the Renaissance or even many misunderstandings. It’s for this reason that the present author, by actively echoing the appeal of British Renaissance scholar Denys Hay (1915-1994), is planning to place or replace the Renaissance in its historical context. In present author’s view, the Renaissance is mainly a cultural phenomenon taking place in urban space, naturally, the urban space of Renaissance Italy formed the most important historical context for this great cultural movement, but unfortunately this fact has always been neglected. Since there have been plenty of outstanding studies on the ideas and forms of the Renaissance culture, this dissertation will leave limited pages to this aspect but rather try to present the historical environment in which the Renaissance movement took place and developed, and to present the certain expressions of the Renaissance movement, in other words, one of the major tasks of this dissertation is to provide an external history for the Italian Renaissance movement.The dissertation covers roughly the time span from 1350 (two years after the Black Death) to 1620, but the dissertation is not a chronicle or history in timely order but rather a "synchronous" and synthetic study consisted of many themes. The present author follows the methods of thematic synthesis which are adopted by two masterpieces of cultural history, i.e. Voltaire’s Le Siecle de Louis XIV and Burckhardt’s The Civilization of the Renaissance in Italy, the present author particularly takes the latter as a model, and divides the dissertation into several themes, and tries to paint an organic and harmonious image of the urban society of Renaissance Italy. Since the Renaissance movement took place in the urban society of Renaissance Italy, the present author especially wants to understand it from the perspective of urban geography or "urban space". However, my vision of city and urban history are different from those that are held by popular views. My view of city and urban history are very open, at least are not the city and urban history understood by most architectural historians. In my view city is a complex of two bodies or two spaces, one is physical body ox physical space, another is social body or social space, any researches on cities will have to focus on these two aspects. This dissertation also makes an investigation of the urban society of Renaissance Italy by focusing the two aspects.The former part of this dissertation (Chapter I to chapter V) mainly deals with the physical space or morphologies of Italian Renaissance cities. In the past, the urban history is mainly a monopoly of architectural historians, common historians seldom ventured into this field. The urban constructions and buildings, urban landscape, urban theory and practices occupy a large proportion in the traditional urban history, and all of these are often categorized as urbanism by historians. The present author focuses on the built environment of Italian Renaissance cities, and the interaction between the Renaissance movement and urban space (particularly the cityscape). In sum, the aim of the first part of this dissertation is to help the readers to understand the material environment of the Renaissance movement.The latter part of this dissertation (Chapter VI to Chapter X) turns attention from the concrete material space to the man-centred social space, that is, the various organizations and the life style of urban dwellers. This part is concerned with many aspects such as social structure, economy, cultural bodies, social life, and social problems. Any city is a civitas (community) made up of people, therefore the present author makes an investigation of the occupational structure, ladder, view of society, and the social hierarchy. In addition the present author also analyses the existence of the special group within the urban society, i. e. minority group (Jews) and the formation of Jewish Ghetto. Economy is the foundation on which the urban life bases and operates, therefore, the present author also makes an investigation into the commercial civilization, which includes the auxiliary tools of capitalism, the types of early capitalism, the consumption of commodities and material culture. One of the advantages of city is its position as the centre of cultural production and diffusion, therefore the present author makes an analysis of the cultural and intellectual organization and institutions, and the mode of cultural production and spreading in this period. Then the present author examines the urban life of Italian Renaissance cities from the perspective of social history and popular culture, and discusses the controversial problem of the religiosity and secularity of the Renaissance times, the present author finds that religion played an important role in the daily life of the urban society of Renaissance Italy, and the majority of citizens (cittadini) were still very pious in Christianity, and Burckhardt’s view that people’s religious belief in the age of the Renaissance experienced a general decline is not able to hold the water. Besides the present author also investigates the leisure and amusement of this period, and the present author thinks that the social life of Renaissance Italian urban society had the striking characteristics of theatricality. Finally, the present author examines the pathology of the body of the Renaissance urban society, in other words, the social problems, including poverty, poor relief and charity, violence and crime, and prostitution. The presentation and illustrations of the social problems particularly reveal the shortcomings of Burckhardt’s elitist view of history. In all, this dissertation is a synthetic study which incorporates the urban history, cultural history and social history together.The present author is always echoing and reflecting the classical view that the Renaissance initiated European modernity, which is come up with by Burckhardht. The present author thinks that there is a great limit in evaluating the modernity of the Renaissance merely from the perspectives of so-called Zeitgeist (spirit of times) or elitist cultural history, instead the present author thinks that this problem should be discussed from many perspectives. The present author plans to investigate the modernity of Renaissance times from the perspective of urban space, that is, try to discuss it from the perspectives of the evolution of physical space, economy, cultural bodies, social life and social problem of Renaissance cities. The present author holds that Burckhardt’s view of Renaissance Italy was the very beginning of Western modernity only valid under strict qualifications. The urban society of Renaissance Italy did contain the elements of modernity, nonetheless, it also contained lots of traditional ones. The present author in particular emphasizes the approach of history from below, and pays more attention to the daily life, and the historical dimensions neglected by past historical scholarship. Generally the present author believes that the modernity of the Renaissance age was just in the sate of burgeoning, and was immature, and it was the loose and weak modernity. For this reason, the present author thinks that we may name the Renaissance modernity as "proto-modernity". The proto-modernity of the Renaissance times differs greatly from the "high modernity" produced by the industrial society, and from the "late modernity" or "post-modernity" coming into being after the Second World War. Perhaps the naming above is of help to position the era when the Renaissance movement happened and evolved, and is also helpful to revisit the issue of the periodization of the European History. Traditionally the European history is divided into three grand periods: the Classical Antiquity, the Middle Ages and the Modern Times (starting with the Renaissance), but we must bear in mind that this three partition of European history is mainly from the perspectives of cultural history, taking as a whole, this pattern of periodization is problematic. According to the new perception of the modernity of the Renaissance times, the development of European history may be divided into five periods: the Classical Antiquity, the Middle Ages and the Early Modern (from the Renaissance to the Enlightenment), the Modern Times (from the Enlightenment to the World War Two) and the Post-Modern Times (from the World War Two to the present). In my view, as a conception of periodization, "Early Modern" is much better than the "Renaissance".更多还原