卢梭美学思想研究

【作者】 李妍妍；

【导师】 王元骧；

【作者基本信息】 浙江大学 ， 文艺学， 2007， 博士

【摘要】 作为启蒙运动的产儿,卢梭的“回归自然”思想既是对这一运动的补充与拓展,也是对其所具有的唯理主义精神之反动。在声势浩大的唯理主义思潮中,卢梭所关注的不是怎样以数学的思维模式寻找知识的依据,而恰恰是如何有效地理解与认识人自身。以自然替代文明、以情感僭越理智,卢梭通过对文明社会及其道德秩序的原则性批判挪移了启蒙运动的重心。他的全部推论体系,就是为了证明“自然使人善良,社会使人邪恶;自然使人自由,社会使人奴役;自然使人幸福,社会使人痛苦”(卢梭语),他从未放弃、也从未动摇和离开过“回归自然”这个基本原则。“回归自然”是卢梭全部思想的核心,它是从与18世纪思想界流行的观点完全不同的、对事实世界与价值世界的关系的反思中得出的结论,这样的理念也最终导致了一个超越以往审美观念的新的美学思潮的诞生。本文尝试以“回归自然”思想作为论述中心,从艺术审美的角度全面、深入地解读卢梭及其著作,对其在美学史中的地位与影响进行有意识发掘和系统整理。全文共包括七个部分,主要内容如下:序言部分主要论述了三个问题:一是卢梭思想的研究现状;二是本选题的可行性与必要性;三是本文的研究思路和研究方法。卢梭的思想传入中国已有一百多年的历史,学术界大多把他看作一个政治思想家、社会理论家和道德教育家进行研究,而往往忽略了从艺术审美的角度对其进行集中、深入的探讨。因此,无论是在专门研究卢梭思想还是在探讨启蒙时代的各种理论著述中,虽然不乏对其思想具有的审美特征,以及他与浪漫主义思潮之间的关系等进行阐发,却并没有在系统的美学观念的指导下对卢梭及其著述做宏观、整体的把握和探究。所以,迄今为止的国内学界尚没有一部专门研究卢梭美学思想的专著,这不能不被认作一个世纪性的遗憾。然而,事实上,卢梭正是怀着一种浪漫的心情,以文学的方式言说着他的哲学美学思想,而且以其“完全个人化的、来自思想、情感和激情的动力”(恩斯特·卡西尔语)推动了19世纪的欧洲社会革命与文化运动,这恰恰是美学史的研究所不容忽略的。罗素评价卢梭为“浪漫主义运动之父”,威尔·杜兰也把卢梭看作浪漫主义运动一切反叛的“根据”,而本文正是在前辈学人研究的基础上,以“回归自然”思想为核心,从共时和历时的角度,对卢梭诗意化、文学化的浪漫主义美学的理论渊源及其构成进行探究和总结,并进一步分析其在西方美学史中的地位与影响。第一章即“卢梭的生平及学术思想概观”。在这一部分,本文首先对卢梭的生平和著作进行简单描述,揭示卢梭的一生是如何与自然结缘的,并且从中提炼出了统率他千丝万缕、错综复杂的理论经纬的主线——“回归自然”思想。这一思想的形成不是时代的偶然现象,而是在前人理论成果和文化资源的基础上产生的。可以说,“回归自然”思想的提出是对抗启蒙时代盛行的功利主义伦理观的必然,然而,单纯的时代语境并未能使卢梭的“回归自然”思想以一种独立完整的形式进入理论世界,其理论含蕴的形成还要通过与经验论哲学、欧洲的泛神论与自然神论、近代自然权利学说等各种思想文化资源的结盟来实现。所以,本文分别从哲学根基、神学背景和政治理论资源三个方面论述了“回归自然”思想的文化源头。进一步说,这也有助于我们了解卢梭美学思想的理论渊源,为本文从艺术审美的角度研究卢梭及其著述打下了坚实的基础。“回归自然”既是卢梭全部思想的核心,也是他美学思想中最重要的组成部分。作为那个时代的公共知识分子,卢梭具有一种饱涵人文关怀的审美文化人格。他对于人性:的反思与重塑,最能体现“回归自然”思想的美学内涵。而自然、情感、自由等观念和范畴,以及它们之间的相互关系,都是“回归自然”思想所包含的美学元素及内在逻辑。第二章即“卢梭美学思想中的‘自然’观念”。在这一部分,本文从对抗异质的文化偶像、平民意识主导下的自然美思想和自然主义的生态智慧这三个环节对“自然”概念进行辨析。这里的“自然”是一个狭义的词汇,不能与“回归自然”之中的“自然”相提并论,它作为卢梭美学思想中的一个重要元素,不再是异己于人而存在的外在机械世界,而是成为审美对象的特征,或是艺术品味、风尚的抽绎,以及人们特定的“文化——心理”感受和精神指向的积淀,成为“质朴”、“本真”、“原生态”等的代名词。从这一意义上说,“自然”与“文明”相对,它指的是一种特定的文化特征或存在状态,充分体现出了卢梭所追求的平民文化的品格及特点。卢梭正是以此作为批判文明社会罪恶的基点,揭示了启蒙运动所高歌的文明进步所隐含的内在文化危机,在批判社会的深度和广度上远远超越了理性启蒙主义。另一方面,卢梭在文化思想上的突破导致了他的审美观念的革新。作为平民文化的道德偶像,“自然”为人们提供了一种全新的审美价值和尺度,所以卢梭的审美观以崇尚自然、反对文明为基本原则,他把自然作为一切美的源头,主张自然美高于艺术美,而这实际上也是卢梭从审美的角度对文明异化问题提出的解决方案。相应地,原始、淳朴甚至是意象崇高的自然生命终于成为艺术审美的对象,在文学活动中占有了一席之地。同时,卢梭在描写人与自然的关系时所体现出的平等与协作思想,又是整体主义、自然主义生态智慧的朴素表达。因此我们认为,虽然卢梭没有明确地提出生态学的理论,但他把人类面临的生态困境看作是一种文化的危机,从而将生态问题由科学技术领域导向了诗学、审美层面。第三章即“卢梭美学思想中的‘自由’倾向”。在这一部分,我们通过分析“自由”概念,展现了卢梭对人生审美境界的追求,同时也为理解德国古典美学及浪漫主义文学架起了桥梁。卢梭的自由观肯定了自由作为人类天赋的权利神圣不可侵犯,从这一意义上说,“自由”亦是“自然”。他认为,人类社会进入不平等状态之后,人类的基本权利被强权者的暴力所剥夺,自然的自由也随之消失了,而代之以社会的不自由,而要改变不自由的个体现状,就应首先破除人们观念上的痼疾。卢梭批判近代自然法学家大多无视个体的自由权利,认为纯粹精神领域的自由意志是无法用自然的因果律加以解释的,因此我们只能把自由权利放在社会的领域中通过道德的不断完善来加以实现。他充分运用自己诗意的想象力把人的自然的自由与社会中的不自由的矛盾化解在道德的内在规定性之上,把对社会关系中有关自由问题的探讨建立在他对人的道德问题的思索之上,而这本身就是对人的“完整性”的追求,预示着“回归自然”思想所到达的人生最高境界——审美境界。社会道德领域中的“自由”具有了艺术审美的意味,也就在实际上已经涉及到一种阐释生存意义的文化原则的确立。正是卢梭自由学说中对道德自由与审美解放的论述,导致了从德国古典美学家康德开始,审美就表现为自由的必然,审美的生存方式也就成为19世纪及其后的西方美学发展的主旋律之一。另外,在卢梭的话语体系中,自由不仅代表了他对自然万物天性的认识,而且还意味着对人的个性解放的追求,表现在文艺活动中则主要转换为作家的自我意识。卢梭的作品蕴含着浓郁的“个人主义”气息,也因此开辟了内心文学与心理描写的新天地。第四章即“卢梭美学思想中的‘情感’意蕴”。卢梭的“回归自然”要求返璞归真,这不仅表现为人类对自然文化的向往和自由权利的追求,而且也表现为对人的纯真情感的呼唤。自然、自由和情感三者协调一致,共同构成了19世纪浪漫主义思潮的主要精神来源。在这一部分,本文从情理之辨、情感表现论和情教说三个方面论述了情感这一浪漫主义元素在卢梭美学中的内涵和精神实质。在18世纪的欧洲社会中,科技理性主宰着人们的生活,一切都要放在理性的审判席上加以评判,理性主义在精神领域里把现实中的人抽象成为机械的人,抹杀了人类自身的丰富性。与大多数启蒙思想家不同,卢梭在“百科全书派”把理性原则奉若神明时,给欧洲社会带来了一封柔美的情感福音书。他率先以浪漫主义的姿态批判理性的误用,自觉地把知识理性与道德理性区分开来,强调内在的感受、情感较之于知识理性的重要性。因此,在情理之辨中,他以情感作为反思理性的感性介质,坚持情感先行。而这种对传统理性思维模式的颠覆在美学领域中首先表现为极具浪漫主义特色的艺术与审美的情感本质论。卢梭认为,艺术源自于人类表达情感的需要,因此模仿说的诗学传统在这里发生了根本的转变,他的以情感表现为核心的主体性美学背离着古典主义所恪守的“三一律”原则。这种对传统理性思维模式的颠覆还表现在卢梭进一步把情感与教育结合起来,提倡教育要顺应人的天性,情感培养要先于理智培养,把审美体验作为教育的主要方式,把塑造完美人格作为教育的终极目的。这种以“情”为中心的教育,渗透着艺术的理念,也贯穿着审美的原则。因此我们认为,卢梭又以对情感的独特思考改变着传统教育的理论形态。第五章即“‘回归自然’语境下的艺术理论”。“回归自然”思想是卢梭艺术理论展开的逻辑起点,他的艺术观也是处处以自然、自由和情感等因素作为标尺。由此也形成了卢梭艺术批判体系中的三种不同视野,即道德视野、社会视野与审美视野。在道德视野的批判中,艺术败坏道德,不利于风俗的敦化;在社会视野的批判中,艺术已经成为了推动社会不平等的工具,不利于自由平等的实现;在审美视野中,艺术过分追求形式化的物理特征,不利于自身与情感的认同。卢梭之所以强调艺术的社会、政治价值多过艺术自身的价值,是因为他站在一个公共知识分子的立场上,把能否促进人类的幸福、能否有助于建立一个平等自由的社会,以及能否有助于培养纯朴的民风和自然的人性等作为评价的标准。在对卢梭的艺术批判视域有了一个总的概括之后,本文又接着分析卢梭对悲剧“净化说”的问难,通过梳理其悲剧批评观的历史发展线索,发现其悲剧理论中所承袭的柏拉图主义情愫,也揭示了卢梭在表现反叛一切的浪漫主义精神之余透露出的反古典主义的不彻底性。进而本文又把理论视点由悲剧推衍到其它艺术门类,分析卢梭在对待艺术的“已然”与“应然”问题时所体现出的两面性。卢梭批判“已然”艺术的功能,但并不取消“应然”艺术的存在。他提出了“诗辩”的原则,认为艺术除了自身形式上的纯粹审美意义之外,还应该具有作为升华人性、敦化风俗的道德载体的作用,由此肯定了悲剧之外的文学与音乐这些艺术形式存在的合理性。然而,卢梭并没有打算在艺术领域中解决艺术自身存在的问题,而是寄希望于经济、政治制度的变革,他认为只要解决好社会问题,达到人类社会的理想状态,包括艺术问题在内的一切问题也就迎刃而解了,这又最终循环到了“回归自然”这一出发点上来。第六章即“卢梭美学思想的贡献与局限”,是本文对卢梭美学思想的影响及其局限性的考察和分析。卢梭本人在生活中建立以“自然”原则为基础的新的社会秩序的设想与已经在历史中发酵的社会革命的种种因素,都促使他的美学观点不能不具有异常积极的作用和鲜明的纲领性。可以说,卢梭的全部努力都在客观上给人类美学史上的一次最伟大的革命做了思想上的准备:对“回归自然”的倡导与追求开启了西方浪漫主义运动之先河。因此,本文认为,卢梭的美学思想不仅是法国美学史,也是西方美学史发展的一个重要阶段。就其在美学史中的地位而言,有两点应该予以肯定:一方面,卢梭是一个处于从古典主义美学向浪漫主义美学转型期的人物,对于康德美学的影响与启发使其在19世纪西方审美范式的转换过程中起着举足轻重的作用;另一方面,卢梭对自然、自由和情感等观念的重视形成了他傲视一切的浪漫主义批判精神,而正是这种精神促使他以一种“更加先进的现代性的名义”批判了现有的启蒙现代性,成为审美现代性的法国源头。当然,卢梭的美学思想也存在着非常明显的问题。他在批判文明异化时表现出的“片面的深刻”,对审美经验的过分执着导致的“整体的偏狭”,在艺术观上体现出的美与善、古典与浪漫等等之间的“内在的矛盾”,都说明卢梭在思考人类命运、回答艺术审美问题时所具有的思想和时代的局限性。更多还原

【Abstract】 Being the son of the Enlightenment, Rousseau’s "Returning to Nature" not only complements and expands it, but also is contrary to its spirit on Intellectualism. In the trends of Intellectualism, Rousseau doesn’t pay attention to how to look for the basis of knowledge by the mathematical thinking mode, but how to comprehend and recognize oneself availably. Replacing civilization by nature and arrogating reason by emotion, Rousseau moves the center of the Enlightenment through the principle critique to civil society and moral order. The whole of his reasoning system is for the sake of "the nature makes person kind, the society makes the person improbity; the nature makes person free, the society makes person enslave; the nature makes person happy, the society makes person painful". He has never given up, faltered and left this basic principle of "Returning to Nature". It is the core of Rousseau’s thinking, and the conclusion from reflecting the relationship between the fact world and worth world which is totally different from the standpoints of the 18th centuries. Such idea also results in a new esthetics current which surmounts the former esthetic idea. This text tries to take "Returning to Nature" as the center, read Rousseau and its works at the aesthetic angle overall and thoroughly, so that discover intentionally and sort systematically its’ position and influence on the Aesthetics History. The full text consists of seven parts, the main contents as follows:The introduction contains three problems: the author offers a general survey of studies on Rousseau’s thinking, discusses the possibility and necessity of this topic selection, and explains the thoughts and methods of this text. It has for more than 100 years since Rousseau’s thoughts been introduced into China. The Academics explore it mostly at the angle of the politics, sociology and morality, but neglect from the angle of aesthetics to carry on the concentrative and thorough study. Therefore, all kinds works on Rousseau’s thoughts and the Enlightenment, haven’t grasped and investigated Rousseau and Rousseau’s works wholly with the systematical aesthetic concept, although have the explanations on his thoughts’ aesthetic characters and the relationship between him and Romanticism. So, until now, there is no monograph on Rousseau’s aesthetic thinking. In a kind of romantic mood, Rousseau say his philosophy esthetics thought by literary method exactly, and push the European social revolution and the cultural movement in the 19th centuries through "complete personalized motive, coming from the thought, emotion and passion"(Ernst Cassirer). That Bertrand Russell evaluating Rousseau for "the Father of the Romanticism" and Will Durant taking him as the rebellious "Basis" of the Romanticism, not only affirms this topic selection, but also provides the possibility of enriching and transcending previous scholars’ thought on the academic theory level for me. Based on the previous scholars’ achievement, this paper circling "Returning to Nature", explores and summaries its resources and contents, further analyses Rousseau’s position and influence on the Western Aesthetics History.The first chapter is namely "Rousseau’s Biography and Thoughts Review". In this part, the paper simply describes Rousseau’s biography and works firstly to discover how to contact with nature, and refines to the theoretical structure and historical orientation-"Returning to Nature". The formation of this thought is not the accidental phenomenon of that time, but based on the formers’ theoretical achievements and cultural resources. In other words, putting forward "Returning to Nature" not only accords the era language situation, but also depends on the alliance with empiricism philosophy, European theology and the modern natural right theories. Therefore, this paper discusses its’ cultural resources at the angle of philosophical, theological and political background. Furthermore, this also contributes to understanding the origin of Rousseau’s aesthetic thoughts and offering solid foundation to our study. "Returning to Nature" is the core of Rousseau’s thoughts, also the most important part in his esthetics thought. Being the public intellectual in his age, Rousseau has a kind of Aesthetic Cultural Personality implying humanism. He introspects and remoulds the human nature, most body the aesthetic content of "Returning to Nature". That nature, emotion, freedom etc. idea and category, and their correlation, is all the esthetic element and inherent logic.The second chapter is namely "The Concept of ’Nature’ in Rousseau’s Aesthetic Thinking". In this part, the paper differentiates and analyses the concept of "Nature" from three links of cultural idol, beauty of Nature and naturalistic ecologic intellectual. This "Nature" is a phrase in narrow sense, which couldn’t equate with this in "Returning to Nature". Being an important element in Rousseau’s aesthetic thinking, it is not machine world different from the person any more, but the character of aesthetic object or generalization of art taste, vogue, and accumulation of particular"Culture-Mental" feeling and spirit direction. So, it becomes the noun phrase of"simplicity", "true", "ecosystem" etc. In this sense, "Nature" is opposed to "Civilization", which points to one kind of cultural character or existence to express the character of Civilian Culture that Rousseau pursue. Basing on this, Rousseau have critiqued the crime of civil society to announce the cultural crisis praised by the Enlightenment, so that his criticism surmounts coeval in depth and width. On the other hand, Rousseau’s breakthrough in the culture thoughts has caused his reform in aesthetic concept. Being the moral idol of Civilian Culture, "Nature" offers a new aesthetic value and dimension. So, Rousseau’s aesthetic sense takes Nature as basic principle. He attributes beauty to Nature and believes the beauty in nature higher than in art, which is Rousseau’s solution to alienation at the aesthetic angle in fact. Correspondingly, the original, simplicity, even lofty natural lives become the aesthetic object finally to occupy a place in the literature activity. At the same time, the equal thought what the relationship between human and nature shows, also expresses Rousseau’s holistic naturalistic ecologic intellectual. Therefore, in our point, although he doesn’t put forward the theories on ecology clearly, Rousseau takes ecosystem predicament that the mankind faces as cultural crisis, thus leading the ecosystem problem from scientific technological realm to the poetic and aesthetic level.The third chapter is namely "The Inclination of ’Freedom’ in Rousseau’s Aesthetic Thinking". In this part, the paper analyses the concept of "Freedom", to show Rousseau’s pursuit to the aesthetic life and contribute to comprehend the German Classic Aesthetics and the Romantic Literature. Rousseau’s view on freedom affirms that freedom is sacred and inviolable right. In this sense, "Freedom" is "Nature" as well. He thinks that non-freedom takes place freedom after human beings enter into inequality. So, we should get rid of the confirmed disease on people’s idea firstly to change the present situation. Rousseau criticizes that the modern natural jurists pay no attention to the individual right, thinks that causality can’t explain the free will in pure spirit realm, so we can only realize it in society through moral self-perfection. He makes full use of imagination to dissolve the antinomy between nature and society into the moral intrinsic rules, establish relevant discussion in society on his deliberation on moral question. This is the pursuit to human’s "Integrity", which indicates the tallest state in life that "Returning to Nature" willarrive-Aesthetic State. That "Freedom" in social moral realm has the aestheticmeaning has already involved a kind of cultural principle that explains the meaning of life. The discussion on the relationship between moral freedom and aesthetic liberation leads to the aesthetic existence become one of the main melodies in the 19th centuries and afterward western esthetics history. Moreover, in the words system of the Rousseau, Freedom not only represents his understanding on the natural creation disposition, but also means his pursuit to individuality liberation, which changes into writer’s self-expression consciousness. Rousseau’s works contain heavy spirit of "Egoism", which have developed the new world of the innermost being literature and mental depiction.The forth chapter is namely "The Implication of ’Emotion’ in Rousseau’s Aesthetic Thinking". "Returning to Nature" request that recover human’s original nature, which not only expresses to look forward to the Nature Culture and pursue free right, but also expresses to call forth the pure emotion. Nature, Freedom and Emotion are in accordance with each other, and constitute main mental sources of the Romanticism in the 19th centuries together. In this part, the paper discusses the content and the spirit substance of Emotion in the Rousseau esthetic thoughts from three aspects of the relationship between emotion and reason, emotional expression and emotional cultivation. In the 18th centuries of European society, the technological reason dominates people’s life, so that people’s judging everything according to reason and Rationalism annihilating the richness of humanity. Different from majority, Rousseau brings a soft and beautiful emotion evangel book for European society while Encyclopedist worships reason as their god. He criticizes the misapplication to reason with romantic carriage firstly, distinguishing knowledge reason and moral reason consciously, and emphasizing the importance of feeling, emotion to knowledge reason. Therefore, in analysis to the relationship between emotion and reason, Rousseau insist that emotion is in advance. This subversion to traditional reasonable thinking mode represents emotional expression having romantic features firstly. Rousseau thinks that art originates the human demand of expressing emotion, so the mimicry poetics tradition takes place basically. Subjective Aesthetics circling emotion deviates from "Three Unities" observed by classicism. This subversion represents Rousseau combining emotion and education as well. He promotes that education should adjust to the disposition, emotion cultivation should prevail on reason -development. Moreover, he takes aesthetic appreciation as main educational method, perfect personality as ultimate educational purpose. With "emotion" for center, this education permeates the artistic idea, also pierces through the aesthetic principle. So we believe, that Rousseau have changed the traditional theoretical form with the special emotional thinking.The fifth chapter is namely "The Artistic Theories Under Double Context of ’Returning to Nature’". "Returning to Nature" is the logic point of Rousseau’s artistic theories, which standardize artistic questions with Nature, Freedom and Emotion. This forms three kinds of different perspective, namely moral perspective, social perspective and aesthetic perspective. In the critique of moral perspective, that art corrupts moral does harm to custom purification. In the critique of social perspective, that art has already become the tool to push the social inequality does harm to the realization of freedom. In the third critique, that art pursues the formal physics character excessively does harm to the approbation of itself and emotion. Rousseau emphasizes the social, political value of art much over the value of itself, because he takes it as standard that promots mankind’s happiness, contributes to building up an equal society and cultivates natural humanity on standpoint of a public intellectual. After making generaliztion from Rousseau’s critique horizon of art, the paper analyses Rousseau’s criticizing "Catharsis". Clearing up the historic clues of his tragedy criticism view, we discover his feelings in tragedy theory inherited by Platonism, also announce the anti-classical inexhaustiveness while he rebels everything with romantic spirit. Then the paper deduces the theory angle from tragedy to else art realm, in order to analyse Rousseau’s two value standpoints at treating artistic "having" and "should". Rousseau criticizes the function of "having" art, but don’t cancel the existence of "should" art. He puts forward the principle of "the argument for art", and thinks that art should have the function of sublimating humanity and purifying custom in addition to pure aesthetic significance. However, Rousseau isn’t going to solve artistic questions in the art realm, but keep hope on the change of the economic, political institutions. Because he believes if we have solved social questions to get to the idea society, all questions including artistic questions would be solved, this gets back the start point of "Returning to. Nature" again.The sixth chapter is namely "The Contribution and the Limitation of Rousseau’s Aesthetic Thinking". That Rousseau’s conceiving of building up new social order in the life with the principle of "Nature", and the various factors of social revolution having fermented in the history, all urges his aesthetics view important and fresh particularly. Rousseau’s all efforts make mental preparations for the greatest revolution in aesthetics history: the pursuit for "Returning to Nature" opening the western Romanticism. Therefore, the paper thinks, that Rousseau’s aesthetic thoughts is not only an important stage of French esthetics history, but also of the Western Aesthetics History. In regard to his position in aesthetics history, we have affirmed to two points. On the one hand, being a person in the transformation period from Classicalism to Romanticism, Rousseau plays an important role in the conversion process of western aesthetic type in 19th centuries by influencing Kant’s esthetics. On the other hand, his emphasizing Nature, Freedom and Emotion form the critical spirit of looking down upon everything, which prompts him to criticize the Enlightenment Modernity and become the Aesthetic Modernity’s France source in the name of "the more advanced modernity". Certainly, there have obvious problems in Rousseau’s aesthetic thinking. His "one-sided deepness" expressed by the critique to the civilization alienation, "overall bias" caused by the insistence on aesthetic experience and "internal contradiction" represented by the relationship between the Beauty and Well, the Classical and Romantic, all explain the limitation of Rousseau’s thoughts on human’s destiny and aesthetic problem.更多还原