今天有两个内容要讲 PROFESSOR: So we have two basic agenda items today.
第一个是快速结束上一堂课关于惩罚的讨论 The first is to finish up briefly our discussion of punishment from last lecture.
第二个是开始课程的第三单元 And the second is to start with the third unit of the course,
这一单元不再考虑作为个人 that is the unit that's concerned not with our status as individuals
如何培育内在和谐的问题 trying to cultivate a kind of internal harmony,
也不再考虑个人同他人的局部道德关系 nor with our status as individuals in local relations with others of a moral or immoral sort,
而是讨论我们作为群体成员的问题 but rather with our status as members of a community.
你们应该记得柏拉图的《理想国》 And you'll remember from Plato's Republic, the text
这是课程开始和结束时所用的材料 with which we begin and with which we'll end the course,
柏拉图认为个人和群体具有直接平行性 that Plato sees there being a direct parallel between the individual and the community,
一方面是个人灵魂的和谐性 between what's mandated for the harmonious soul on the one hand,
一方面是群体的稳定性 and what's required for a community to stay stable on the other.
课程最后这个单元中 我们将要深入挖掘这种平行性 And one of the tacit themes that will underlie our discussion in this final unit of the
课程最后这个单元中 我们将要深入挖掘这种平行性 course are the ways in which that parallel is manifest.
某种意义上讲 关于惩罚的讨论正是这两者之间的一个过渡 Now to some extent our discussion of punishment provided a microcosm of this transition.
关于惩罚的第一讲中 我们考虑了三个问题 You'll recall that in the first lecture on punishment we looked at three questions.
我首先相当精确地描述了公民惩罚这一概念 We tried to articulate in a fairly precise sense what we
我首先相当精确地描述了公民惩罚这一概念 meant by the notion of civil punishment.
然后 我们考虑了公民惩罚的两类正当性理由 And then we looked at two families of justification for civil punishment.
一类是义务论或应得导向的理论 A family of deontological or desert oriented theories on the one hand--
考虑行为人应该得到什么报应 theories that look at what somebody deserves.
另一类则是结果主义理论 And on the other hand, we looked at some consequentialist theories--
通过行为结果来为惩罚提供正当性 theories that try to justify punishment on the basis of its consequences.
对于这两种理论 我们问自己 And for each of those theories, we asked ourselves
它们提供了多大的正当性理由 how reasonable the justifications are that they
以及它们强制要求怎样的行为来源 offer and what source of behaviors do they seem to mandate.
这里仍然具有整个课程中不断出现的相同结构 And here we had the same sort of structure that we have found throughout the course.
一方面 我们勾勒出了便于理解人类行为的原则性框架 On the one hand, an articulation of a principled framework
一方面 我们勾勒出了便于理解人类行为的原则性框架 for understanding a large segment of human behavior
试图为我们应该如何构建行为提供规则和指导原则 that tries to lay down rules and guiding principles by which we ought to structure behavior.
另一方面 我们对个别案例进行了直观理解 And on the other, we had intuitions about particular cases.
我们发现 这里同其它地方一样 And we found that here, as elsewhere,
至少在我和几位助教们的讨论课上 你们很多人也是如此 for many of you at least, certainly for the students in my section and for
至少在我和几位助教们的讨论课上 你们很多人也是如此 the students in the sections of the TAs that I've spoken to,
哲学框架和心理学直觉上存在难以调节的矛盾 that there was a challenge reconciling on the one hand,
一方面哲学框架看起来非常让人信服 the philosophical framework that seemed truly compelling
另一方面 心理学因素 and on the other hand, the psychological factors that
却在个别案例中将我们拉往一个或另一个方向 seemed to be pulling us in one direction or another with regard to particular cases.
我们在周四的讨论中 So what we looked out at in our a discussion on Thursday were
尝试着系统性探索了一些心理学现象 some attempts to provide systematic explorations of some of these psychological phenomena:
某些因素似乎会加强人们对处罚施加的愿望 factors that seemed to exacerbate people's desire to inflict punishment, at
至少西方社会大多数时间大多数人是如此 least most people, most of the time, in Western society.
某些因素则有减弱作用 And factors that tend to mitigate it.
我们还考虑了道德运气在人们对惩罚反应中的作用 And we also talked a bit about the role of moral luck in
我们还考虑了道德运气在人们对惩罚反应中的作用 underlying lying our responses to punishment.
今天课上的第一部分 What I want to turn to in the first part of today's lecture
我将把惩罚内容的残留问题讲完 is the residual question that we had in the context of our punishment lecture.
也就是 考虑公民惩罚工作方式 Namely, to look at the question of how on the one hand civil punishment works,
同更加个人语境中的惩罚之间的关系 and on the other, how punishment works in a much more personal context.
抱歉 我的幻灯片似乎有点问题 So you'll recall that-- sorry, I guess we don't have the final version of these slides up.
这里本来应该有张幻灯 不是这张 OK. There was to have been a slide here-- which is not this one--
将我们关于惩罚的理论同阿兰•凯兹丁的观点联系起来 that connected our theories of punishment to our discussion in Alan Kazdin.
这里是之前我用过的一张幻灯 What we have instead is an earlier slide, where I
将阿兰•凯兹丁的作品同亚里士多德《尼各马可伦理学》联系起来 suggested a connection between the work of Alan Kazdin on the
将阿兰•凯兹丁的作品同亚里士多德《尼各马可伦理学》联系起来 one hand and Aristotle's Nicomachean Ethics on the other.
当时 我们试图讨论如何培育美德的问题 You'll recall that when we were trying to think about the
当时 我们试图讨论如何培育美德的问题 question how do we cultivate virtue,
我说 我们可以通过当代文化来考虑这一问题 I suggested that one of the places to look in your contemporary culture at the
可以考虑 "我们如何帮助人们成为他们所希望成为的人" question "how do we help people become that which we hope they will be?"
这存在于科学性很强的 富有同情心的子女培育指南中 are in scientifically informed, compassionate, parenting guides.
我认为 这个有趣问题也可以在惩罚语境下提出 And it is, I think, an interesting question to ask with respect to punishment.
上一讲 我在一张幻灯片中给出了四种惩罚的正当性理由 So you'll recall that when we had the slide with four kinds
上一讲 我在一张幻灯片中给出了四种惩罚的正当性理由 of justification for punishment in the earlier
一方面是效用主义和基于应得的理论 lecture, we had on the one hand the utilitarian and the desert-based theory.
另一方面 我在幻灯片下端给出了两种惩罚动机 But we also had, at the bottom of that slide, two motivations for punishment
一方面考虑受害者 that look on the one hand at the victim and
另一方面考虑施害者 on the other hand at the perpetrator,
并试图设法使这些情况相互调和 and aimed somehow to reconcile their situation.
这些惩罚动机认为 And what those motivations for punishment suggested is that
就受害者而言 要紧的是复原 with respect to the victim, what matters is restitution
就施害者而言 如果我们真正展望未来 and with respect to the perpetrator, if we are truly forward-looking,
要紧的是改造 what matters is rehabilitation.
问题是 这些动机是否 And the question is whether those motivations are
足够强力 足够强效 sufficiently forceful and sufficiently powerful
使得在公民语境中 从惩罚里 我们能捕捉到自己所希望捕捉的 to capture what we're looking for from punishment in a civil context.
看起来相当明显 这些动机至少 It seems fairly clear that those motivations are at least
在个人语境中 非常接近于充分 close to sufficient in a personal context.
这也正是阿兰•凯兹丁在其子女养育指南中所讨论的 And it's to that question that Alan Kazdin's discussion in
这也正是阿兰•凯兹丁在其子女养育指南中所讨论的 the context of this encoding of cultural practices in the parenting guide that we read.
凯兹丁指出 如果目标是改造 So Kazdin points out that if your goal is something akin you to rehabilitation,
如果惩罚目标是展望未来理论所认为的那样 if the goal of punishment is what forward-looking theories suggest,
也就是 that is the
改变社会规范违反者未来的行为 changing of future behavior on the part on the individual who has violated social norms
让他们未来能按照预期那样按利社会方式行为 in such a way that you can predictably expect them to behave prosocially,
那么很重要的一点是 then it's incredibly important
不仅应描述出什么行为是不允许的 not merely to articulate what sort of behavior is disallowed,
还应描述出什么行为是被希望的 but also to provide an articulation of what sort of behavior is desired.
凯兹丁说 "与其考虑不希望让孩子有哪些行为" "Instead," says Kazdin, "of thinking of your child's behavior in terms of what you don't want,
"不如考虑希望他们有哪些行为" start thinking in terms of what you do want.
"通过对相反行为的奖励" When you get rid of a behavior by rewarding its opposite, the
"比简单惩罚不希望的行为 效果更好和持续时间更长" effects of the getting rid are stronger and last longer than
"比简单惩罚不希望的行为 效果更好和持续时间更长" if you punish the undesired behavior."
你们所有人都有机会 And all of you had the opportunity to think about
在课程最开始时考虑这种实践结构 this structure of practice in the opening segment of the course.
也就是 将注意力集中于你所希望培养的习惯上 The very idea of focusing on what it is that you hope to cultivate as a habit in yourself,
然后进行这种习惯对应的行为 and then engaging in behaviors that allow
从而让这种实践成为你的本能 that sort of practice to become instinctive to you,
这是课程第一单元的中心内容之一 was one of the central lessons of the first unit of the course.
建立一种好行为的最好方式 是通过加强实践 The best way we learned to build up a behavior that you want is through reinforced practice.
在惩罚的语境中 凯兹丁继续论述说 And Kazdin goes on to suggest, in the context of punishment,
惩罚教会我们不要做什么 that punishment teaches what not to do.
惩罚表示 某种特定行为是不可接受的 It says that particular behavior is unacceptable.
但是某种行为只是众多可能行为中的一种 But a behavior is one among a panoply of possible modes of action.
剔除掉的某种行为并不能保证被利社会行为所代替 And simply ruling out one of them doesn't guarantee that
剔除掉的某种行为并不能保证被利社会行为所代替 what will replace it is something prosocial.
他考虑了打架这种特例 So he writes in a very specific context of fighting,
惩罚小孩同其兄弟之间的打斗 确实能制止打架 if you punish your child for fighting with her brother, it will indeed stop that fight.
不过下次他们之间发生冲突时 The next time there's a conflict between them though,
打架仍然处在孩子的行为目录中 这是默认设置 fighting will still be in the daughter's repertoire, the default setting.
你并没能改变这一点 You haven't done anything about changing that.
用语言解释打架不好 也不能改变这种行为状态 Explaining in words that fighting is bad won't change the state of behavior either.
你需要培育孩子的其它行为方式 You need to develop another way of behaving.
你需要促进相反的好行为 让其形成习惯 You need to promote the positive opposite to get another response locked in.
问题在于 是否存在某种可能性 Now the question is whether there is any possibility of
将这种个人语境下的深刻观点 generalizing this profoundly correct lesson about what one
推广到社会语境之中 does in deeply personal interactions to a societal context?
我在分析柏拉图《理想国》时指出过 As I pointed out when we read Plato's Republic, it begins
柏拉图认为 如果你希望理解灵魂的结构 with the suggestion that if you want to understand the structure of the soul,
你需要理解社会的结构 you need to understand the structure of society.
反之亦然 如果你希望理解社会的结构 And if you want to understand the structure of society, you
你需要理解灵魂的结构 need to understand the structure of the soul.
某些意义上 一个显得有些荒谬的问题 In some ways, asking the apparently absurd question
"一本子女养育指南能否告诉我们关于犯罪司法系统方面的内容" "does a parenting guide have anything to teach us about the criminal justice system?"
其实问的是柏拉图《理想国》中最根本的问题 is to ask the fundamental question of Plato's Republic--
我们在最个人的情况中所做的事 does what we do when we engage in the most intimate and personal of attempts
能否培育他人行为 让他人繁荣 to cultivate in others behaviors that will allow them to thrive--
思考这些能否告诉我们 社会应当如何构建制度实践方面的内容 does thinking about that teach us anything about how society
思考这些能否告诉我们 社会应当如何构建制度实践方面的内容 ought to structure its institutional practices?
凯兹丁思考了这方面的问题 至少是暗示出了一些见地 And Kazdin gives some indication that he is thinking at least implicitly along those lines.
他写道 "惩罚失败的原因有很多种" He writes, "Punishment can fail for many reasons.
"一种原因是 行为不端的奖励比惩罚更直接 更可靠" One of them is that reward for misbehaving
"一种原因是 行为不端的奖励比惩罚更直接 更可靠" is often more immediate and reliable than punishment."
然后他还认为 没有详细讨论 但他暗示说 And goes on to suggest, not in detail, but just as a hint,
从犯罪司法系统的一般操作中就能很明确看到 that a look at the criminal justice system's normal operations makes that clear.
偷盗行为能马上获得要偷的东西 If you steal, you get what you stole right away.
这是一种立刻的回报 局部层面上强化了坏行为 You are therefore reinforced in a very local sense in the bad behavior by an immediate reward.
希望用延迟的惩罚后果来改变行为 是必然会失败的 If you experience a delayed punishing consequence, that
希望用延迟的惩罚后果来改变行为 是必然会失败的 punishment is doomed to failure as a method for changing behavior.
要让惩罚具有完全的遏制效果 What's required if punishment is to have a totally deterrent effect is somehow
需要设法将惩罚成本加入到行为实施的那一刻 for the calculation of the cost of the punishment to enter in at the moment of practice.
凯兹丁写道 "必须要消除掉" Kazdin writes, "One must eliminate the immediate
"坏行为的直接强化因素 但这很难做到" reinforcer for the punished behavior if possible, and that's hard to do."
很久以前 我讲过尤利西斯试图不受塞壬诱惑 You'll recall long ago, we had a picture of Ulysses trying to get past the sirens.
我展示了十九世纪的精美油画 It was a beautiful 19th century portrait
尤利西斯把自己绑在船桅上 of Ulysses on a ship, tied to a mast,
而他旁边的划桨手则堵住耳朵 with the rowers beside him, with their ears blocked.
那里 我们考虑的是如何克服具有立刻回报的诱惑 That was a slide that we looked at in the context of how you overcome immediate temptation.
在讨论诺齐克的原则及艾瑞里的延时问题时 And we talked about, in our discussion of Nozick on
在讨论诺齐克的原则及艾瑞里的延时问题时 principles and our discussion of Ariely on procrastination,
我讲到过 哪些策略能帮助我们 what sort of strategies there are for recalculating or
重新校正自己对潜在立刻回报的评估 recalibrating our assessment of potential immediate payoff.
考虑最广义上的惩罚 Thinking about punishment in its broadest sense
让我们能从另一个方向上思考这个问题 gives us a way of thinking about that question from yet another direction.
而且 你们将会发现 这个问题在不久我们要讨论的 And, as you'll see, that issue is going to reemerge very soon
霍布斯问题中还会出现 when we start thinking about Hobbes.
我将把这个包含多个部分的难题留给你们思考 So I leave this puzzle-- or this multi-part puzzle-- for you, as a question.
惩罚一方面启发我们理解 Punishment illuminated for us, on the one hand, the
效用主义和义务论道德理论的差异 distinction between utilitarian and deontological moral theory.
让我们思考赞扬和谴责之间的对称与不对称关系 It got us thinking about the symmetric or asymmetric relation between praise and blame.
还让我们思考个人和社会之间的关系 And it gave us yet another venue for thinking about the
还让我们思考个人和社会之间的关系 relation between the personal and the societal.
惩罚就到这里 下面进入今天的真正主题 So with that, I want to move to the general topic of today's lecture.
政治正当性的根本问题 So the fundamental question of political legitimacy,
在阅读霍布斯作品之前你们就简要读到过 as you know from the brief reading that you did before the Hobbes,
在于国家的存在为什么具有正当性 is the question of why it is ever legitimate for there to be such thing as a state.
关于二十一世纪人类存在有一个很让人震惊的事实 It is an astounding fact about 21st century human existence
也就是世界上70亿人口 that of the roughly seven billion people who live on this planet at this time,
几乎都服从于某种统治或管理 nearly all of them are subject to rules and regulations
统治由政府这一实体强加于人们身上 that are imposed on them by a governing body-- a government--
而这仅仅是由人们生于哪个领土之上所决定 as a result simply of their having been born within the confines a particular territory.
这种事实为什么正当 这个问题很值得思考 It's worth thinking for a moment about why and perhaps whether that fact is legitimate.
什么让国家正当这一问题 And this question-- what makes the state legitimate--
正是课程最后一单元所要回答的 is the one that we'll address in the context of this final unit of the course.
首先 让我们回到学期最开始讲到的柏拉图选段 So let's begin by going back to a passage right before the
首先 让我们回到学期最开始讲到的柏拉图选段 one that we focused on so intently at the beginning of the term from Plato's Republic.
你们应该记得 就在盖吉斯之戒的讨论之后 So you will remember right before the discussion of the ring of Gyges,
格劳孔提出了他所认为的正义本性和来源 Glaucon provides an account of what he calls the nature and origins of justice.
他是这样说的 "他们说做不正义之事自然上有好处" And here is what he said. He says, "They say to do injustice is naturally good
"遭受不正义之事则有坏处" and to suffer injustice is bad,
"但遭受的坏处要远大于做的好处" but that the badness of suffering it so far exceeds the goodness of doing it that
"同时做过和遭受过不正义之事的人" those who have done and suffered injustice and tasted both,
"由于没有避免遭受的能力" but who lack the power to avoid suffering it,
"相互之间协议认为 既不做" decide that it's profitable to come to an agreement with each other
"也不遭受不正义之事 才是最有利的做法" to neither do injustice nor to suffer it."
观点也就是这样的 So the picture is this.
假设有两个牧人 Suppose we have two shepherds.
一人偷了另一人的马 And the one steals the other's horses.
这个过程中 偷马人得到了15的快乐 From that, he gets pleasure of say 15.
同时 马被偷的人 At the same time, the one whose horses were stolen
首先由于马的丢失经历了15的不满 experiences a dissatisfaction, first 15 at the loss of his
然后由于被盗还有额外10的不高兴 horses and then an additional displeasure at having been robbed.
之后 他回头偷了另一人的马 So he turns and steals the other horses--
抱歉 本来动画应该更好的 sorry, that was supposed to be more nicely animated.
好了 感觉到了15的高兴 但对方感到了25的不高兴 There we go-- feeling the pleasure of 15, where his opponent feels a displeasure of 25.
这里也就是说 两个人都意识到 So the thought is that both recognize that in a situation
如果盗窃成为常态 where stealing is the norm,
两个人将都没有原来过得好 both have the potential to end up worse off than they would have
没有盗窃发生时是最好的 had they just stuck with their original property.
格劳孔认为 因此他们会到一起达成某种形式的协议 As a result, suggests Glaucon, they come together and they
格劳孔认为 因此他们会到一起达成某种形式的协议 form some sort of interpersonal agreement.
而且 他们将其制度化 Moreover, they institutionalize it.
格劳孔说 "因此 他们开始制定法律" As a result says Glaucon, "they begin to make laws and
"法律上要求的 他们称之为法定和正义" covenants and what the law commands, they call lawful and just. This,"
"这就是正义的来源和本质" says Glaucon, "is the origin and essence of justice.
"它是最好和最坏之间的中间物" It is intermediate between the best and the worst.
"最好的是做不正义之事而不用遭受惩罚" The best thing to do injustice without paying the penalty.
"最坏的是被伤害而不能复仇" The worst to separate without being able to take revenge.
"正义是两极端之间的中间物" Justice this is a mean between two extremes."
这份2000年前的古老文字中所给出的 What we have in this 2,000 year old text is a preliminary articulation of
是政治哲学社会契约传统中最原始的描述 what has come to be known as the social contract tradition in political philosophy.
这种观点认为 This is the view that
因为某种意义上讲 it is because in some sense
生活在一个由法律所构建的社会对所有人都有好处 living in a society structured by laws is advantageous for all of us,
所以国家是正当的 that the state is legitimate.
生活在这个星球上的70亿人 On this picture, what makes it reasonable that seven billion people on this planet
都生活在特定政府保护下 live their lives as a result of having been born in a particular place under the
都生活在特定政府保护下 auspices of a particular government,
使之合理正当的是 不管作为总和 还是作为个人 what makes that legitimate is the fact that as an aggregate and in fact as individuals,
生活在这种政府结构下 他们都会比无政府时过得更好 they are better off than they would be without that structure having been in place.
这正是托马斯•霍布斯《利维坦》中的基本论述 And that is the fundamental argument that lies behind the
这正是托马斯•霍布斯《利维坦》中的基本论述 text that we read from Thomas Hobbes' Leviathan.
霍布斯的作品你们已经读过 他的生活年代同莎士比亚差不多 So Hobbes, as you know from reading the text, lived roughly at the time of Shakespeare.
他生活在1588到1679年 He lived from 1588 to 1679.
他出生时 莎士比亚的第一部作品刚刚面世 So just as he was born, Shakespeare's first works were being produced.
抱歉 动画中他俩应该并排一段时间的 And you can see-- sorry, they should stay next to each other for a moment--
他们穿着相同的服饰 that they wear the same outfit.
今天的动画有些活跃过头了 My animation is very active today.
霍布斯是英国人 So, Hobbes was British.
他最著名的是政治哲学作品 He's best known for his work in political philosophy, but
不过他也涉足语言学和数学 he also did work in linguistics and mathematics.
你们在阅读中需要意识到 And it's important to realize as you think through the ways
他的文字非常具有系统性 in which the text that we read is extraordinarily systematic,
霍布斯非常认同 that Hobbes was highly influenced by the idea that it
广泛政治理论原则能够通过人类心理的基本事实推导出 would be possible to derive very broad principles of
广泛政治理论原则能够通过人类心理的基本事实推导出 political theory from very basic facts about human psychology.
这里的推理基础就像几何学方法那样 And the idea was to base the reasoning here on something like the geometrical method,
从少量简单公理出发 通过一些推导法则 where you start with a few very simple axioms, you have some rules of derivation, and
构建起非常精妙复杂的系统 from them you can build up rather elaborate systems. In
特别地 霍布斯认为存在可能性 particular, Hobbes thought it would be possible to derive
能从心理学思考中推导政治哲学 political philosophy from thinking about psychology, to
能从生理学思考中推导出心理学 derive psychology from thinking about physiology, and
能从物理学思考中推导出生理学 to derive physiology from thinking about physics.
物理世界的性质限定了生理学的事实 Facts about the physical world constrained facts about physiology.
进而限定了心理学的事实 Those in turn constrained facts about psychology.
进而决定了政治理论的本性 And those in turn determined the nature all political theory.
我们这次所阅读的文字主要涉及到后面两阶段 So the text that we read for today is primarily concerned with these two last stages.
我们读的是霍布斯的1651年著作《利维坦》 The text we read is from Hobbes' 1651 book Leviathan.
我在幻灯中再现了这幅卷首插画 And I reproduced this frontispiece here because we
离我们100码远处就有一本第一版的原本 are, all of us right now, sitting about 100 yards from a copy of this first edition.
当我以小型研讨会形式上这门课时 And when I taught this class as a small seminar,
我代领大家兴致勃勃地去实地参观了 one of the most exciting things that we did was to take a field trip
Beinecke图书馆所藏有的原本 to the Beinecke Library and to see this in person.
作为耶鲁学生 你们都能免费到那里去 And all of you as Yale students are free to walk over there
预约就能看到这本书 and to make an appointment to look at this.
这幅插画的上半部分和下半部分都非常让人赞叹 What's amazing about the frontispiece is both the
这幅插画的上半部分和下半部分都非常让人赞叹 visual imagery on the bottom and the visual imagery on the top.
霍布斯所关注的 是为世俗国家提供哲学正当性基础 So Hobbes, remember, is concerned with providing a
霍布斯所关注的 是为世俗国家提供哲学正当性基础 philosophical basis to justify the secular state.
图的下方 他并列有 And on the bottom what he has is a juxtaposition of the
世俗国家工具和宗教政权工具 tools of the secular state with the tools of religious authority.
他讲到了城堡和教会之间的关系 So he's talking about the relation between the castle and the church,
武装力量和宗教力量之间的关系 between the might of weaponry and the might of religion.
上方这张不可思议的图 同我们的讨论关系密切 What's relevant for our discussion here is this incredible image on the top--
君主的图像由数百人构成 the image of the sovereign composed of hundreds of individuals,
根据霍布斯的观点 这里每个人 each of whom has, on Hobbes' picture of things,
理性上决定在特定问题上放弃自己的权利 服从于权威 rationally decided to give up his for her right to self-authority on certain questions
以保证社会的稳定性 in order to guarantee the stability of society.
让我们问一个问题 霍布斯是如何得到这个结论的 So let's ask the question, how does Hobbes get to this conclusion?
他试图回答的根本问题是什么 And what are the fundamental questions he's trying to answer?
如我所言 他一开始讨论的是 人的推理是怎样的 So, as I said, he starts out with a discussion simply of what human reasoning looks like.
我们的感觉系统是怎样的 语言如何让我们沟通 What's our sensory system like? How does language allow us to communicate?
然后在此基础上 他讲到了人的心理 And he goes on from there to talk about human psychology
以及国家的正当性 and the legitimacy of the state,
以公民国家和宗教法律之间联系的广泛讨论作结 concluding with a very broad discussion of
以公民国家和宗教法律之间联系的广泛讨论作结 the relation between the civil state and religious law.
他所提出的问题 也就是我们接下来四讲中所要讨论的 The questions he's asking are the questions we're going to ask for the next four lectures.
什么让国家正当 What makes the state legitimate?
霍布斯的答案是 具有公民国家 具有公民社会 Hobbes' answer is having a civil state, having civil society,
是"舒适自我保护"的唯一有效手段 is the only effective means of what he calls commodious self-preservation.
到时候我会解释这是什么 And I'll say a bit about what that amounts to.
第二个问题是 我们能做些什么 来保证国家的稳定性 And the second question, what can we do to guarantee the stability of the state?
霍布斯在这里给出的答案很有争议 And Hobbes' rather controversial answer here is
他认为只有存在某种绝对权威 that it's only by means of putting in place some sort of absolute sovereign,
只有放弃一定量的个人自由 only by abdicating a certain amount of personal freedom,
国家的持续存在才能得到保证 that the state's continued existence is guaranteed.
论述是怎样的呢 So how does the argument go?
这次我们所阅读的是 We started our reading for today with the incredibly
《利维坦》卷一第13章中的著名段落 famous passages from Book I, Chapter 13, of Leviathan,
霍布斯进行了如下论述 where Hobbes make the following argument.
他说 就偷取别人财产和取走别人性命的可能性而言 He says, with respect to the possibility of stealing one another's property
他说 就偷取别人财产和取走别人性命的可能性而言 and potentially taking one another's lives,
人都是相对平等的 human beings are relatively equal.
人们的身体平等性体现在 They are physically equal in the sense that each of them
每个人都有被人杀死和杀死别人的可能性 has the live possibility of killing and of being killed.
人们的心理平等性 智力平等性体现在 And they are mentally equal, intellectually equal, in the sense that
所有人类都具有能力 human beings on the whole are capable of
使用经验学习如何应对环境 using experience to learn how to navigate their environment.
而且 他有些隐蔽地指出 And in a somewhat coy argument, he suggests
每个人都认为自己很聪明 that everybody thinks himself to be somewhat clever,
而大致平等性的最好证据在于 每个人都满足于他所拥有的份额 and that the best evidence of rough equality is that each is contented with his share.
霍布斯论述的第一个前提由此得出 From this comes the first premise of the Hobbesian argument,
也就是 当我们具有这种身心上的大致平等性时 that when we have this sort of rough equality in physical and intellectual strength,
存在一种"达到目的的平等愿望" there is an "equality of hope in attaining our ends."
每个人都能合理预期 Everybody can reasonably expect
追逐自身的个人利益 that pursuing their own self-interest
不一定是徒劳的尝试 will not necessarily be a futile endeavor.
不过自身利益之间会产生冲突 Since, however, self-interests conflict--
粗略而言也就是 我想获得尽可能多的东西 since, roughly speaking, I want to get as much as I can get
你也想获得尽可能多的东西 and you want to get as much as you can get--
霍布斯认为 这种大致平等性的结果 Hobbes suggests that the result of this rough equality,
这种关于实现个人目标可能性的预期 this expectation of the possibility of achieving one's goals,
加上这类目标通常包含取得财产这一事实 coupled with the fact that goals of this sort often involve taking of property,
我们发现了个人之间的三大冲突来源 we find three sources of conflict among individuals.
第一种 霍布斯称作竞争 其中目标是 The first Hobbes calls competition, where the goal is
我想控制你现在拥有控制权的东西 I want to gain control of stuff over which you currently have control.
注意 这里没有说"你的东西" Note that this use out the term 'your stuff' at this point is still metaphorical.
霍布斯认为 自然状态下不存在这种所有权 Right. There's no such thing, says Hobbes, as property in the state of nature.
我希望控制你拥有控制权的东西 I want to control things that you control.
结果就是 我将采取暴力行动 And the consequence of that, says Hobbes, is that I will engage in violent behavior
以获得现在处于你控制之下的东西 to get things that are now under your control.
自然状况下 冲突的第二种起因是这个的先发制人版本 The second cause of conflict in the state of nature is the preemptive version of this.
意识到我希望维持对我现在所控制的东西的控制权 The recognition that I want to keep control of those things over which I have control,
我会为了保持这种控制权而采取先发制人的行动 with the resulting action that I may preemptively strike to preserve my possessions.
第一种仅仅关于物体的夺取 So the first is simply about the acquisition of objects.
第二种则包含智力的应用 The second involves an application of intelligence, a
意识到有人可能试图夺取我所控制的东西 recognition that someone might try to acquire things over which I have control
为了避免这个 我需要先发制人 and that in order to prevent that, I need to act preemptively.
第三种 霍布斯认为 是人类的独特心理特征 And the third, says Hobbes, is this uniquely psychological feature of human being,
这让我们再次想起了我们的基本社会性质 reminding us yet again of our fundamentally social nature.
霍布斯将其称为荣誉 And that is what Hobbes calls glory.
这里的目标是声誉 The goal here being reputation.
我寻求你的尊敬 于是我采用暴力来获取你的尊重 I seek your admiration. And in so doing, I engage in violence to earn your respect.
霍布斯认为 在自然状态中 这种冲突是不可避免的 Hobbes thinks that in the state of nature, this sort of conflict is inevitable.
特别是假设存在大致平等性 In particular, when there is an assumption of rough equality
并假设渴望自身利益的前提下 and an assumption of a desirous self-interest, the
霍布斯认为 结果将是"每个人对每个人的战争" result will be a war, says Hobbes, "of every man against every man."
并不一定要是热战 不一定要每时每刻充斥着暴力 Not necessarily a hot war in the sense of violence going on at every moment,
但在任意时刻 每个人的安全感都会失去 but a recognition that at any given moment that which feels secure, might be lost.
由于生活在恐怖主义威胁之中 And we known from living at a time when terrorist threat
我们对这种恐惧也有一些了解 induces in many of us a feeling of standing fear, how
也就是 心灵上感觉自己无法从环境中获得稳定和安全 dangerous to the psyche it is to feel that one cannot be certain or safe in one's surroundings.
有趣的是 事情出错的威胁 Interestingly, the threat of things going wrong has almost
在心理上同事情实际出错具有同样强力的预计效果 as powerful a psychological effect in anticipation as the actuality of things going wrong.
霍布斯认为 这会导致没有事业 文化 航行 The result of this, says Hobbes, is that there is no industry, no culture, no navigation.
他富有诗意地写道 "这种条件下将不会有事业" He writes rather poetically, "in such condition there is no place for industry
"因为成果是不确定的" because the fruit thereof is uncertain.
"这种条件下 世间将没有文化" And consequently, there's no culture of the earth, no
"没有航行 没有海上运输的商品" navigation, no use of commodities that may be imported by sea,
"没有舒适的建筑物" no commodious buildings,
"没有工具能帮助移动和清除难以处理的物体" no instruments of moving and removing such things as require much force,
"没有对世间知识的理解 没有时间概念" no knowledge of the face of the earth, no account of time,
"没有艺术 没有书信 没有社会" no arts, no letters, no society,
"最糟糕的是 人们持续恐惧 害怕自己会死于非命" and what is worst of all, continual fear and danger of violent death."
这是很重要的 你们可以想想 It's important to think about how many features--
自己日常生活中多少事物 in fact, all the features of your daily life--
依赖于某种稳定性和可预测性假设 rely on an assumption of a certain kind of stability, a certain kind of predictability.
缺乏这种稳定性和可预测性 And without that kind of stability and predictability
霍布斯认为 人们会持续恐惧 害怕死于非命 says Hobbes, there's continual fear and danger of violent death.
生活会… 这是霍布斯《利维坦》中最著名的引文了 And life is, this being the most famous quote from Hobbes' Leviathan,
生活会"孤独 贫穷 肮脏 粗野 短暂" --life is "solitary, poor, nasty, brutish, and short."
霍布斯继续谈论说 Hobbes goes on to suggest that this rather unpleasant picture
他所描述的这种人类心理倾向的糟糕图景 of human psychological tendencies that he's painted in this famous passage
非常具有普遍性 is one which is rather widely shared.
他让你考虑 外出时你锁不锁门 He asks you to think about whether when you travel, you lock your doors
离开图书馆时 你是否带走自己的电脑 and whether when you leave the library, you bring your computer with you.
当然 他那时还没有电脑这种东西 He doesn't ask about the computer, in those words.
指出人们具有保护自己财产和人身的倾向后 But in pointing out the tendency of people to protect
指出人们具有保护自己财产和人身的倾向后 themselves with respect to their property and their person,
他问 "你用行动指责人类 难道没有我用言辞那么多吗" he asked "whether you do not as much accuse mankind by your actions as,"
他问 "你用行动指责人类 难道没有我用言辞那么多吗" says Hobbes, "I do by my words."
这就是说明国家正当性的最开始论述 So that's the beginning of the argument in favor of the state.
大致平等性 想要其他人也想要的东西的倾向 以及导致的战争状态 Rough equality, a tendency to want what others also want, and a consequent state of war.
然后 霍布斯回头给出了两个重要警告 Hobbes steps back for a minute then and makes two important caveats.
一是 他指出 想要让他的论述成立… The first is that he points out that in order for his argument to work--
记住 他的论述是说 remember his argument is going to be that the reason it's
70亿人在国家政治控制下生活是正当的 legitimate for seven billion people to be under the political control of state
是因为若非如此 所有人生活将更糟 is because if they weren't, they would be worse off.
霍布斯说 这种论述成立 Hobbes says that argument works regardless of whether
不管自然状态是否实际发生 the state of nature is actually something that happened.
历史事实上 论述不会改变 The argument doesn't turn on historical fact.
霍布斯认为问题是 怎样的生活中 The question, says Hobbes, is what manner of life there
没有普遍需要恐惧的力量 would be were there no common power to fear.
他指出… And he points out--
这是他在此指出的第一点 so that's the first point that he makes there.
然后他继续指出 大多数 He then goes on to point out that most of the things which
我们认为生活中理所当然的事物 we take for granted as part of how we organize our lives
若没有社会结构的存在 将会荡然无存 would be absent without the existence of social structures.
霍布斯认为 正义和不正义的概念都是社会概念 The notions of justice and injustice, says Hobbes, are social notions.
依赖于存在可以被违反或遵循的规则 They depend on there being rules which can be violated
依赖于存在可以被违反或遵循的规则 and rules which can be upheld.
类似地 就像我之前4张幻灯所说的那样 Likewise, in exactly the way that I flipped up four slides ago,
在自然状态中 没有所有权或法定控制权的概念 there it is in the state of nature no notion of ownership or legal control as such.
有的只有弱肉强食 All there is is possession by force.
这就是霍布斯论述中的最低点 So that's the nadir of Hobbes' argument.
这是很糟糕的消息 It's really bad news.
生活孤独 贫穷 肮脏 粗野 短暂 It's solitary, poor, nasty, brutish, and short.
问题是 什么能让我们摆脱这种处境 And the question now becomes what could possibly allow us
问题是 什么能让我们摆脱这种处境 to escape from such a situation?
霍布斯在第13章总结认为 And Hobbes suggests in the conclusion of Chapter 13 that
有三种动机可能帮助人们脱离这种状况 there are three sorts of motivations that might help people get out of this circumstance.
一是对死亡的自然恐惧 One is a natural fear of death.
二是"对舒适生活所必需事物的向往" The second is a "desire of such things as are necessary for commodious living."
也就是我们刚讨论的那些东西 Those are all the sorts of things that we just talked about.
这些东西只会来自于协作的可预测可能性 The things that come only from predictable possibilities of cooperation--
建筑 学识 舒适 稳定 buildings, learning, comfort, stability.
最后 霍布斯认为 有一种希望… And finally says Hobbes, there is a hope--
同之前我们讲过的平等性类似 the counterpart of the equality held with regard to the state of nature earlier on--
"通过不懈追求来获得的希望" that "by one's industry,"
仅当存在稳定环境 让这些努力持续下去时 it would be possible to obtain those things that are necessary for commodious living
才有可能获得那些舒适生活所必需的事物 if only there were stable circumstances to allow the efforts to persist.
我们现在转入霍布斯的基本论述 So we move now to the fundamental argument of Hobbes,
我们读的选段中 which involves, in the excerpts we read,
这包含他所说的第一 第二 第三自然法则的推导 the derivations of what he calls the first, second, and third laws of nature.
首先 我将介绍霍布斯的术语 So what I want to do first is to introduce you to Hobbes' terminology for this.
然后给出第一 第二 第三自然法则 And then I'm going to give you the first, second, and third laws of nature.
然后这一堂课就完结了 And with that we'll close the lecture.
霍布斯一方面讨论了权利 一方面讨论了法则 So Hobbes talks about rights on the one hand and laws on the other.
自然权利 霍布斯认为这是根本 A right of nature, which Hobbes thinks is fundamental,
关于这个 我们在周四读罗伯特•诺齐克的作品时还会读到 and we will hear about this again
关于这个 我们在周四读罗伯特•诺齐克的作品时还会读到 when we do our reading from Robert Nozick for next Thursday,
这种思想在美国立国文献中得到了明确表述 is the idea articulated in the founding documents of the nation in
这种思想在美国立国文献中得到了明确表述 whose boundaries we now sit,
每个人 根本上 在某种深远的意义上 都是自由的 that each human being is fundamentally in some profound sense free.
每个人都有权利 霍布斯明确表示 这是不可剥夺的 Each human being has rights, that Hobbes explicitly calls inalienable,
进行任何方式的自我保护 to engage in whatever way he or she can to self-preservation.
这是西方政治哲学的基本假设 That's a fundamental assumption of Western political philosophy.
自由 在霍布斯的图景中 是一个很狭隘的概念 Liberty, on Hobbes' picture, is a rather narrow notion.
他认为这只不过是缺乏外部障碍所造成的 All he means by this is the lack of external impediment.
霍布斯认为 出于恐惧所签订的契约仍然具有约束作用 Hobbes considers contracts that are entered into out of fear to be nonetheless binding.
要理解霍布斯剩余论述的第三条术语 The third term that we need from Hobbes to understand the rest of the argument
也就是自然法则 is the idea of a law of nature.
霍布斯的推理技巧就在这里 And this is where the trick of Hobbes' reasoning takes place.
霍布斯认为 虽然我们所有人确实都有自由的基本权利 Hobbes says that while it's true that all of us have fundamental rights to liberty,
确实也有作为理性结果的事物约束着我们 it's also true that there are things which are binding upon us as a result of reason.
存在一些一般性规则 理性能带领我们认识到 There are general rules which reason can lead us to recognize,
明确出什么是维持生活所禁止和所必需的 that specify what is forbidden and what is required to preserve life.
一旦我们发现 哪类事物是维持生活所必需的 And that once we discover that these sorts of things are required to preserve life,
我们这样做 就是被强制要求的 it becomes mandatory for us to do them.
自然法则的概念认为 So the idea of law of nature is the idea
我们能确定 让我们维持自身生活需要什么 that we can determine what it would be that would allow us to preserve our lives.
于是我们这样做 就是被强制要求的 And that it then becomes mandatory for us to do that.
虽然存在一种自由的权利 但法则则是一种约束 So whereas a right is a kind of freedom, a law is a kind of constraint.
霍布斯所说的自然法则是什么呢 So what are the laws of nature according to Hobbes?
他推导出的第一条自然法则如下 The first law of nature he derived as follows.
他在第13章中说 He says, as we know from Chapter 13,
人类的自然条件是 所有人对所有人的战争 that the natural condition of human beings is a war of all against all.
但我们从自然权利中知道 But that as we know from the right of nature,
我们每个人都能想方设法保护自身 包括伤害他人 each of us can do whatever it takes to preserve ourselves, including harming others.
结果就是 所有人都缺乏安全感 The result of this is a lack of security for all of us.
意识到这之后 霍布斯说 理性告诉我们 Once we recognize this, says Hobbes, reason tells us
具有如下一般性理性规则 it is a general rule of reason that
"有机会获取和平时 我们必须寻求和平" we are required to "seek peace if there is a chance of obtaining peace.
"若非如此 则能从事战争" And, if not, to engage in war."
霍布斯的第一自然法则中有两个子句 So the first law of nature, according to Hobbes, has two clauses.
一个和平子句 这是一个必须子句 It has a peace clause-- a must clause.
如果存在协作的机会 你必须这么做 以寻求和平 If there's a chance of cooperation, you're required to do it-- seek peace and follow it.
而战争子句给了你许可 And a war clause, which gives you a permission.
如果无法保证和平 If you cannot have a guarantee of peace,
你可以采取任何方式保卫自己 you may defend yourself by all means we can to defend ourselves.
第一自然法则提出了一个难题 Now, the first law of nature raises a puzzle
也就是如何才能拥有获得和平的机会 because it asks us what it would take for there to be a chance of obtaining peace.
和平子句只有在其他人和你做法一样时才能奏效 The peace clause only kicks in if other people are doing the same thing as you.
第二自然法则为第一个子句的满足提供了条件 And the second law of nature gives voice to how that first clause is to be satisfied.
霍布斯说 你需要同其他人一样 Hobbes says you need to be willing to lay down your rights to the extent
愿意放弃部分权利 共同以促进和平状态为目标 that others are willing to do the same with the aim of promoting a peaceful state.
霍布斯说 你需要"满足于" You need, says Hobbes, to "content yourself with as much
"自己损害他人的自由 同他人损害你的自由等量" liberty against others as others have against you."
下一讲 我们将讨论这一观点中产生的问题 Now, what we will talk about in the next lecture is a problem that arises from this picture.
如果其他人不愿意像你一样放下自己的权利 If other men will not lay down their right as well as you,
你自己也没有理由放弃自己的这些权利 there is no reason for you to divest yourself of this.
你若放弃 你等于将自己沦为猎物 For to do that would be to expose yourself to prey,
没人会这样做 除非是为了和平 "which no man is bound to," rather than to dispose yourself to peace.
也就是说 第一自然法则说 That is the first law of nature says:
看 没有协作 没有和平 生活会很糟糕 Look, without cooperation, without peace, life is miserable;
孤独 贫穷 肮脏 粗野 短暂 it's solitary, nasty, brutish, and short--
根据自身利益要求 你需要尽可能寻求和平 so self-interest demands that you seek peace if you can.
第二自然法则告诉你 The second law of nature tells you:
只有当其他人也愿意这么做时 你才应该寻求和平 you should seek peace insofar as others are willing to do so.
不过 我们在囚徒困境中所要解决的问题是 But the problem that we will address in the form of the prisoner's dilemma
如果没有某种中央协调 is that without some sort of central coordination,
人们脱离协作将总是合乎情理的 it will always be rational for everybody to drop out of the cooperative situation.
正是受到这个的启发 霍布斯提出了他的解决方案 And it's in light of that Hobbes gives voice to his solution.
霍布斯的第三自然法则是 你需要执行约定 The third law of nature according to Hobbes is that you need to perform your covenants.
你需要按照自己的承诺行事 That is, you need to do what you have promised.
为了这个 你需要保证其他人也遵守承诺 And in order for you to do that, you need to have the
为了这个 你需要保证其他人也遵守承诺 guarantee that others will also do as they promise.
他说 如果你害怕其他人会食言 约定将无效 Covenants, he says, are invalid if you fear that the other party may renege.
因此 需要有强制措施让人履行约定 So to have covenants, there must be enforcement.
特别地 霍布斯说 需要有某种强制力 In particular, says Hobbes, there needs to be some sort of coercive power
通过惩罚的威慑 强迫所有人平等地履行约定 that will compel men equally to the performance of their covenants, by the terror of--
我说过还会回头讲惩罚的 I told you punishment was coming back--
这种惩罚将大于他们从背弃约定中所能指望获得的好处 some punishment greater than the benefit they expect by the breach of their covenant.
霍布斯的解决方案如下 So Hobbes' solution is the following:
他说 人天性喜爱自由和对他人的支配 He says men naturally love liberty and dominion over others,
人们意识到这样做的代价是战争这一糟糕情况 they recognize that the cost of this is the miserable condition of war.
唯一脱离战争的方式 The only means of getting themselves out of this is
是引入某种联邦形式 对所有人进行约束 through the introduction of a restraint among themselves in the form of a commonwealth.
人和蚂蚁蜜蜂并不相同 And because we are unlike ants and bees,
人需要外部约束 协作才能达成 cooperation can't be achieved without this external constraint.
霍布斯的结论是 我们每个人都必须假设地 自愿地说 Conclusion, says Hobbes, is that each of us must say, hypothetically and voluntarily,
"我愿意将支配自己的权利授予某位统治者" "I authorize and give up my right of governing myself to this man or to this
"或统治集团" assembly of men
"条件是 你也将自己的权利" on this condition that thou give up thy right to him
"像我这样授予统治者" and authorize his actions in like manner."
霍布斯认为 只有这样 个人才能组成社会 That is, says Hobbes, it is only when individuals form themselves into a society
作为放弃自由的回报 舒适生活成为可能 whereby in return for giving up freedom, commodious living is possible.
只有此时 人类社会和人类经历中 It's only then that most of the things that we take as
我们认为理所当然的事物才成为可能 definitive of human society and human experience even become possible.
下一讲 我们将考虑同霍布斯观念相关的困境情况 What we'll look at next lecture is a schema for
下一讲 我们将考虑同霍布斯观念相关的困境情况 thinking about the dilemma that Hobbes thinks we find ourselves in,
考虑霍布斯的解决方案 即通过外部绝对权威的强制力 and ask whether Hobbes' solution, the imposition of an external sovereign,
是不是他在自然状态论述 第一 第二 第三自然法则中 is indeed the only solution to the puzzle which he poses to us in the form of
是不是他在自然状态论述 第一 第二 第三自然法则中 his argument about the state of nature,
所提出的难题的唯一答案 the first and second laws of nature, and finally the third law of nature.
周四再见 So I'll see everyone on Thursday.