从此走进深度人生 Deep net, deep life.

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  • WELLS WILLIAMS《The Middle Kingdom》6-9

    CHAPTER VI.  NATURAL HISTORY OF CHINA

    The succinct account of the natural history of China given by Sir John Davis in lS^i^, contained nearly all the popular notices of much value then known, and need not be repeated, while summarizing the items derived from other and later sources. Malte-Brun observed long ago, ” That of even the more general, and, according to the usual estimate, the more important features of that vast sovereignty, we owe whatever knowledge we have obtained to some ambassadors who have seen the courts and the great roads—to certain merchants who have inhabited a suburb of a frontier town—and to several missionaries who, generally more credulous than discriminating, have contrived to penetrate in various directions into the interior.”

    The volumes upon China in the Edinburgh Cabinet Library contain the best digest of what was known forty years since on this subject. The botanical collections of Robert Fortune in 18-14-1849, and those of Col. Champion at Hongkong, have been studied by Bentham, while the later researches of Hance, Bunge and Maximowitch have brought many new forms tc notice. In geology, Pumpelly, Ivingsinill, Bickmore, and Bai-on Richthofen have greatly enlarged and certiiied our knowledge by their travels and memoirs ; while Pere David, Col. Prejevalsky, Swinhoe, Stimpson, and Sir John Richardson have added hundreds of new species to the scientific fauna of the Empire.

    GEOLOGICAL FORMATIONS. 297

    Personal investigation is particularly necessary in all that relates to the geology and fossils of a country, and the knowledge possessed on these heads is, it must be conceded, still meagre, though now sufficient to convey a general idea of the formations, deposits, and contents of the mountains and mines, as well as the agencies at work in modifying the surface of this land. The descriptions and observed facts recorded in native books may furnish valuable hints when they can be compared with the places and productions, for at present the difficulty of explaining terms used, and understanding the processes described, render these treatises hard to translate. The empirical character of Chinese science compels a careful sifting of all its facts and speculations by comparisons with nature, while the amount of real information contained in medical, topographical, and itinerant works render them always worth examining. Large regions still await careful examination in every part of the Empire ; and it will be m’ell for the Chinese Government if no tempting metallic deposits are found to test its strength to protect and work them for its own benefit. But in mere science it cannot be doubted that so peculiar a part of the world as the plateau of Central Asia will, when thoroughly examined, solve many problems relating to geology, and disclose many important facts to illustrate the obscure phenomena of other parts of the world.

    A few notices of geolooical formations furnished in the waitings of travelers, have already been given in the geographical account of the provinces. The summaiy published by Davis is a well digested survey of the observations collected by the gentlemen attached to the embassies.’

    The loess-beds, covering a great portion of Northern China, are among the most peculiar natural phenomena and interesting fields for o;eoloo;ical investigation on the world’s surface. Since attention was first directed to this deposit by Pumpelly, in 18G4, its formation and extent have been more carefully examined by other geologists, whose hypotheses are now pretty generally discarded for that of Baron von Eichthofen. The loess territory begins, at its eastern limit, with the foot hills of the great alluvial plane. From this rises a terrace of from 90 to 250 feet in height, consisting entirely of hjess, and westward of it, in 1 The Chinese, Vol. II., pp. 333-343.

    a nearly north and south line, stretches the TaihangShan or dividing range between the alluvial land and the hill (tountrj of Shansi. An almost uninterrupted loess-covered country extends west of this line to the Koko-nor and head-waters of the Yellow River. On the north the formation can he ti’aced from the vicinity of Ivalgan, along the water-shed of the Mongolian steppes, and into the desert beyond the Ala shan. Toward the south its limits are less sharply defined ; though covering all the country of the Wei basin (in Shensi), none is found in Sz’chuen, due south of this valley, but it appears in parts of Ilonan and Eastern Shantung. Excepting occasional spurs and isolated spots—as at Xanking and the Lakes Poyang and Tungting—

    loess may be considered as ending everywhere on the north side of the Yangzi valley, and, roughly speaking, to cover the parallelogram between longs. 99° and 115°, and lats.

    33° and 41°. The district within China Proper represents a territory half as large again as that of the German Empire, while outside of the Provinces there is reason to believe that loess spreads far toward the east and north. In the WuTaiShan (Shanxi), Richthofen observed this deposit to a height of 7200 feet above the sea, and supposes that it may occur at higher levels.

    LOESS-BEDS OF ISTORTIIERX CHINA. 299

    The term loess, now generally accepted, has been used to designate a tertiary deposit appearing in the Illiine valley and several isolated sections of Eurt)pe ; its formation has heretofore been ascribed to glaciers, but its enormous extent and thickness in China demand suine other origin. The substance is a brownish colored earth, extremely porous, and when dry easily powdered between the fingers, when it becomes an impalpable (lust that may be rubbed into the pores of the skin. Its particles are somewhat angular in shape, the lumps varying from the size of a peamit to a foot in length, whose appearance warrants the peculiarly appropriate Chinese name meaning ‘ ginger stones.’(‘ Journal of the Oeolog. Soc, Loudon, for 1871, p. 379.) After washing, the stuff is readily disintegrated, and spread far and wide by rivers during their freshets ; Ivingsmill’ states that a nimiber of specimens which crumbled in the moist air of a Shanghai summer, rearranged themselves afterward in the bottom of a drawer in which they had been phiced. Every atom of loess is perforated by small tubes, usually very minute, circulating after the manner of root-fibres, and lined with a thin coating of carbonate of lime. The direction of these little canals being always from above downward, cleavage in the loess mass, in-espective of its size, is invariably vertical, while from the same cause surface water never collects in the form of rain puddles or lakes, but sinks at once to the local water level.

    One of the most striking, as well as important phenomena of this formation is the perpendicular splitting of its mass into sudden and multitudinous clefts that cut up the country in every direction, and render observation, as well as travel, often exceedingly difficult. The clifPs, caused by erosion, vary from cracks measured by inches to canons half a mile wide and hundreds of feet deep ; they branch out in every direction, ramifying through the country after the manner of tree-roots in the

    soil—from each root a rootlet, and from these other small

    fibres—until the system of passages develops into a labyrinth of

    far-reaching and intermingling lanes. Were the loess throughout

    of the uniform structure seen in single clefts, such a region

    would itideed be absolutely imj^assable, the vertical banks

    becoming precipices of often more tlian a thousand feet. The

    fact, however, that loess exhibits all over a terrace formation,

    renders its surface not only habitable, but highly convenient

    for agricultural purposes; it has given rise, moreover, to the

    theory advanced by Kingsmill and some otliers, of its stratification,

    and from this a proof of its origin as a marine deposit.

    Richthofen argues that these apparent layers of loess are due

    to external conditions, as of rocks and debris sliding from surrounding hillsides upon the loess as it sifted into the basin or

    valley, thus interrupting the homogeneity of the gradually rising

    deposit. In the sides of gorges near the mountains are seen

    layers of coarse debris which, in going toward the valley, become

    finer, while the layei’s themselves are thinner and separated

    by an increasing vertical distance ; along these rubble

    beds are numerous calcareous concretions which stand upright.

    These are then the terrace-forming layers which, by their

    resistance to tlie action of water, cause the broken chasms and

    step-like contour of the loess regions. Each bank does indeed

    cleave vertically, sometimes—since the erosion works from below—

    leaving an overhanging bank ; but meeting with this

    horizontal layer of marl stones, the abrasion is interrupted, and

    a ledge is made. Falling clods upon such spaces are gradually

    spread over their surfaces by natural action, converting them

    into rich fields. AVhen seen from a height in good seasons,

    tliese systems of terraces present an endless succession of green

    fields and growing crops ; viewed from the deep cut of a road

    below, the traveller sees nothing but yellow walls of loam and

    dusty tiers of loess ridges. As may be readily imagined, a

    country of this nature exhibits many landscapes of unrivalled

    picturesqueness, especially when lofty crags, which some variation

    in the water- course has left as giant guardsmen in fertile

    river valleys, stand out in bold relief against the green background

    of neighboring hills and a fruitful alluvial bottom, or

    when an opening of some ascending pass allows the eye to range

    over leagues of sharp-cut ridges and teaming crops, the work of

    the careful cultivator.

    UTILITY AND FRUITFULNESS OF THE LOESS. 301

    The extreme ease with which loess is cut away tends at times to seriously embarrass traffic. Dnst made by the cart-wheels on a highway is taken up by strong winds during the dry season and blown over the surrounding lands, much after the maimer in which it was originally deposited here. This action continued over centuries, and assisted by occasional deluges of rain, Which find a ready channel in the road-l)od, has hollowed the country routes into depressions of often 50 or 100 feet, where the passenger may ride for miles without obtaining a glimpse of the surrounding scenery. Lieutenant Kreitner, of the Szechenyi exploring expedition, illustrates,’(‘ Imfirnen Oxtin, j>. 4()2.) in a personal experience in Shansf, the difficulty and danger of leaving these deep cuts; after scrambling for miles along the broken loess above the road, he only regained it when a further passage was cut off by a precipice on the one side, while a jump of some 30 feet into the beaten track below awaited him on the other. Difficult as may be such a territory for roads and the purposes of trade, the advantages to a fanner are manifold. Wherever this deposit extends, there the liusbandman has an assured harvest, two and even three times in a year. It is easily worked, exceedingly

    fertile, and submits to constant tillage, with no other manure

    than a sprinkling of its own loam dug from the nearest bank.

    Facade of Dwelling in Loess Cliffs, Ling-shf hien. (Fronn Richthofen.)

    But loess performs still another service to its inhabitants. Caves

    made at the base of its straight clefts afford homes to millions

    of people in the northern provinces. Choosing an escai”pment

    where the consistency of the earth is greatest, the natives cut

    for themselves rooms and houses, whose partition walls, cement,

    bed and furniture are made from the same loess. Whole villages

    cluster together in a series of adjoining or superimposed chambers, some of which pierce the soil to a depth of often more than 200 feet. Tii more costly dwellings the terrace or succession of terraces tlms perforated are faced with brick, as well as the arching of rooms within. The advantages of such habitations consist as well in imperviousness to changes of temperature without, as in their durability when constructed in properly selected places, many loess dwellings outlasting six or seven generations. The capabilities of defence in a country such as this, where an invading army must inevitably become lost in the tangle of interlacing ways, and where the defenders may always remain concealed, is very suggestive.

    There remains, lastly, a peculiar property of loess which is perhaps more important than all other features M’hen measured by its man-serving efficiency. This is the manner in which it brings forth crops without the aid of manure. From a period more than 2,000 years before Christ, to the present day, the province of Shansi has borne the name of Grainery of the Empire, while its fertile soil, HuangDi, or ‘yellow earth’, is the origin of the imperial color. Spite of this productiveness, which, in the fourteenth century, caused the Friar Odoric to class it as the second country in the world, its present capacity for raising crops seems to be as great as ever. In the nature of this substance lies the reason for this apparently inexhaustible

    fecundity. Its renuirkably porous sti-uctui-e must indeed cause

    it to absorb the gases necessary to plant life to a much greater

    degree than other soils, but the stable productit>n of those mineral

    substances needful to the yearly succession of crops is in

    the ground itself. The salts contained more or loss in solution

    at the water level of the region are freed by the capillary action

    of the loess when rain-water sinks thi’ough tlie spongy mass

    from above. Surface moisture following the downward direction

    of the tiny loess tubes establishes a connection M’ith the

    waters compressed below, when, owing to the law of diffusion,

    the ingredients, being released, mix with the moisture of the

    little canals, and are taken from the lowest to the topmost

    levels, permeating the ground and fni-nishing nourishment to

    the plant roots at the surface. It is on account of this curious

    action of loess that a co])ious i-ain fall is nioi-e necessary in North

    richtiiofen’s theory of its origin. 303

    China than elseM’lieie, for with a dearth of rain the capillary communication from above, below, and vice versa, is interrupted, and vegetation loses both its niainire and moisture. Drought and famine are consequently synonymous terms here. As to the formation and origin of loess, Richthofen’s theory is substantially as follows :
    ‘The uniform composition of this material over extended areas, coupled with the absence of stratification and of marine or fresh-water organic remains, renders impossible the hypothesis that it is a water deposit. On the other hand, it contains vast quantities of land-shells and the vestiges of animals (mammalia) at every level, both in remarkably perfect condition. Concluding, also, that from the

    conformation of the neighboring mountain chains and their

    peculiar weathering, the glacial theory is inadmissible, he advances

    the supposition that loess is a sub-aerial deposit, and that

    its fields are the drained analogues of the steppe-basins of Central

    ‘ China : Ergebnisse eigener Reiaen. Baud I. , S. 74. Berlin, 1877.

    Asia. They date from a geological era of great dryness, before the existence of the Yellow and other rivers of the northern provinces. As the rocks and hills of the highlands disintegrated, the sand was removed, not by water-courses seaward, but by the high winds ranging over a treeless desert landward, until the dust settled in the grass- covered districts of what is at present China Proper. New vegetation was at once nourished, while its roots were raised by the constantly arriving deposit; the decay of old roots produced the lime-lined canals which impart to this material its peculiar characteristics. Any one who has observed the terrible dust-storms of North China, when the air is filled with an impalpable yellow powder, which leaves its coating upon everything, and often extends, in a foglike cloud, hundreds of miles to sea, will understand the power of this action during many thousand years. This deposition received the shells and bones of innumerable animals, while the dissolved solutions contained in its bulk stayed therein, or saturated the water of small lakes. By the sinking of mountain chains in the south, rain-clouds emptied themselves over this region with much greater frequency, and gradually the system became drained, the erosion working backward from the coast, slowly cutting into one basin after another. AVith the sinking of its salts to lower levels, unexampled richness was added to the wonderful topography of this peculiar formation.’

    Pumpelly, while accepting this ingenious theory in place of his own (that of a fresh- water lake deposit), adds that the supply of loess might have been materially increased by the vast mersde-(jlam of High Asia and the Tien Shan, whose streams have for ages transported the products of glacial attrition into Central Asia and Northwest China. Again, he insists that llichthofen has not given importance enough to the parting planes, wrongly considered by his predecessors as planes of stratification.

    ” These,” he says, ” account for the marginal layers of debris brought down from the mountains. And the continuous and more abundant growth of grasses at one ])lanG would produce a modification of the soil structurally and chemically, which superincumbent accumulations could never efface. It should seem probable that we have herein, also, the explanation of the calcareous concretions which abound along these planes ; for the greater amount of carbonic acid generated by the slow decay of this vegetation would, by forming a bicarbonate, give to the lime the mobility necessary to produce the concretions.”

    ‘Compare Kingsmill, in the Quar. Journal of the Oeol. Soe. of London, 1868, pp. 119 ff., and in the North China Herald, Vol. IX., 85, 80.

    METHODS OF WORKING COAL. 305

    The metallic and mineral productions used in the arts comprise nearly everything found in other countries, and the common ones are furnished in such abundance, and at such rates, as conclusively prove them to be plenty and easily worked. The careful digest of observations published by Pumpelly through the Smithsonian Institution, carries out this remark, and indicates the vast field still to be explored. Coal exists in every province in China, and Pumpelly enumerates seventy-four h)calities which have been ascertained. Marco Polo’s well-known notice of its use shows that the people had long employed it: ” It is a fact that all over the country of Cathay there is a kind of black stone existing in beds in the mountains, which they dig out and burn like firewood. It is true that they have plenty of wood also, but they do not burn it, because those stones burn better and cost less.’ This mineral seems to have been unknown in Europe till after the return of the Venetian to his native land, while it was employed before the Christian era in China, and probably in very ancient times, if the accessible deposits in Shensi then cropped out in its eroded gorges, as represented by Richthofen. The few fossil plants hitherto examined indicate that the mass of these deposits are of the Mesozoic age. The mode of working the coal mines is described by Pumpelly,” and was probably no worse two thousand five hundred years ago.

    Want of machinery for draining them prevents the miners from going much below the water-level, and a rain-storm will sometimes flood and ruin a shaft. An inclined plane seldom takes the workmen more than a hundred feet below the level of the mouth, and then a horizontal gallery conducts him to the end of the mine. Some water is bailed out by buckets handed from one level up to another at the top, and the coal

    is carried out in baskets on the miners’ backs, or dragged in

    sleds over smooth, round sticks along passages too low for the

    coolies to do better than crawl as they work. Mr. Pumpelly

    found the gallery of one mine near Peking so low that he

    had to crawl the whole distance (six thousand feet) to see its

    construction, and when he emerged into daylight, with his

    knees nearly skinned, ascertained that the workmen padded

    theirs. The timbering is very expensive, yet, with all drawbacks,

    the coal sells, at the pit’s mouth, for $2.00 down to 50 cents a ton. The mines, lying on the slopes of the plateau reaching from near Corea to the Yellow River, supply the plain with cheap and excellent fuel.

    » Yule’s Marco Polo, Vol. I., p. 395.^ Across Aineric i and Asia, pp. 291 ff.Vol. I.—20

    Blakiston gives an account of the manner in which coal is worked on the Uj^per Yangzi near the town of Siichau: “Having to be got out at a great height up in the cliff, very thick hawsers, made of plaited bamboo, are tightly stretched from the mouth, or near the mouth, of the working gallery, to a space near the water where the coal can be deposited. These ropes are in pairs, and large pannier-shaped baskets are made to traverse on them, a rope passing from one over a large wheel

    at the upper landing, and down again to the other, so that the

    full basket going down pulls the empty one up, the velocity

    being regulated by a kind of brake on the wheel at the top.

    At some places the height at which the coal is worked is so

    great that two or more of these contrivances are used, one takine:

    to a landins; half wav down, and another from thence to the

    river. The hawsers are kept taut by a windlass for that purpose

    at the bottom.” * This useful mineral appears to be abundant

    throughout Sz’chuen Province, and is used here much less

    sparingly than in the east. With such inexpensive methods of

    getting coal to the water-courses, foreign machinery can hardly

    be expected to reduce its price very materially.

    The economical use of coal in the household and the arts has

    been carried to great perfection. Anthracite is powdered and

    mixed with wet clay, earth, sawdust or dung, according to the

    exigencies of the case, in the proportion of about seven to one ;

    the balls thus made are dried in the sun. The brick-beds

    (Jcang) are effective means of warming the house, and the hand

    furnaces enable the poor to cook with these balls—aided by a

    little charcoal or kindlings—at a trifling expense. This form

    of consumption is common north of the Yellow River, and brings

    coal within reach of multitudes who otherwise would suffer and

    starve. Bituminous, brown, and other varieties of coal occur

    in the same abundance and extent as in other great areas, giving

    promise of adequate supplies for future ages. The coal

    worked on the Peh kiang, in Ivwangtung, contains sulphur,

    ftud is employed in the manufacture of copperas.*

    Crystallized gypsum is brought fi-om the northwest of the

    province to Canton, and is ground to powder in mills ;

    plaster

    ‘ Five Months on the Ynng-Uze, p. 265. Annates de la Foi, Tome IX., p.

    457.

    2 N. C. Br. R. A. Soc. Journal, New Series, No. III., pp. 94-106, and No.

    IV., pp. 243 ff. Notes by Mr. Hollingworth of a Visit to the Coal Mines in the

    Neighborhood of Loh-Ping. Blue Book, China, No. 2, 1870, p. 11. Notes

    and Queries on China and Japan, Vol. IT., pp. 74-76. North China Herald,

    passim. Richthofen’s Letters, and in Ocean Highways, Nov., 1S78. Chinese Repository, Vol. XIX., pp. 385 fE. l4j’Cr /’ 111/

    BUILDING STONES AND MINP:RALS. 307

    of Paris and other forms of this sulphate are common all over China. It is not used as a manure, but the flour is mixed with wood-oil to form a cement for paying the seam’s of boats after they have been caulked. The powder is employed as a dentifrice, a cosmetic, and a medicine, and sometimes, also, is boiled to make a gruel in fevers, under the idea that it is cooling. The bakers who supplied the English troops at Amoy, in 1843, occasionally put it into the bread to make it heavier, but not, as was erroneously charged upon them, with any design of poisoning their customers, fur they do not think it noxious ; its employment in coloring green tea, and adulterating powdered sugar, is also explainable by other motives than a wish to injure the consumers.

    Limestone is abundant at Canton, both common clouded marble and blue limestone ; the last is extensively used in the artificial rockwork of gardens. Even if the Cantonese knew of the existence of lime in limestone, which they generally do not, the expense of fuel for calcining it would prevent their burning it while oyster-shells are so abundant in that region. In other provinces stone-lime is burned, by the aid of coal, in small kilns.

    The fine marble quarried near Peking is regarded as fit alone

    for imperial uses, and is seen only in such places as the Altar

    of Heaven and palace grounds. The marble used for floors is a

    fissile crystallized limestone, unsusceptible of polish ; no statues

    or ornaments are sculptured from this mineral, but slabs are

    sometimes wrought out, and the surfaces curiously stained and

    corroded with acids, forming rude representations of animals or

    other figures, so as to convey the appearance of natural markings.

    Some of these simulated petrifactions are exceedingly

    well done. Slabs of aro-illaceous slate are also chosen with

    reference to their layers, and treated in the same manner. An

    excellent granite is used about Canton and Amoy for building,

    and no people exceed the Chinese in cutting it. Large slabs are

    split out by wooden wedges, cut for basements and foundations,

    and laid in a beautiful manner ; pillars are also hewn from single stones of different shapes, though of no extraordinary dimensions, and their shafts embellished with inscriptions.

    Ornamental walls are frequently formed of large slabs set in posts, like panels, the outer faces of which are beautifully carved with figures representing a landscape or procession. lied and gray sandstone, gneiss, mica slate, and other species of rock, are also worked for pavements and walls.

    Nitre is cheap and common enough in the northern provinces

    to obviate any fear of its being smuggled into the country from

    abroad ; it is obtained in Chihli by lixiviating the soil, and

    furnishes material for the manufacture of gunpowder. A lye

    is obtained from ashes, which partially serves the purposes of

    soap ; but the people are still ignorant of the processes necessaiy

    for manufacturing it. Fourteen localities of alum are

    given in Pumpelly’s list, but the gi-eatest supply for the eastern

    provinces comes from deposits of shale, in Ping-yang hien, in

    Chehkiang, Avhich produces about six thousand tons annually.

    It is used mostly by the dyers, also to |)urify tnrbid water, and

    whiten paper. Other earthy salts are known and used, as borax,

    sal-ammoniac (which is collected in Mongolia and 111 from

    lakes and the vicinity of extinct volcanoes), and blue and white

    vitriol, obtained by roasting pyrites. Common salt is procured

    along the eastern and southern coasts by evaporating seawater,

    rock-salt not having been noticed ; in the western provinces

    and Shansf, it is obtained from artesian wells and lakes

    as cheaply as from the ocean ; in Tsing-3’en hien, in Central

    Sz’chuen, two hundred and thirty-seven wells are worked. At

    Chusan the sea-water is so turbid that the inhabitants filter it

    through clay, afterward evaporating the Avater.

    The minerals heretofore found in China have, for the most part, been such as have attracted the attention of the natives, and collected by them for curiosity or sale. The skillful manner in which their lapidaries cut crystal, agate, and other qnartzose minerals, is well known.’ The corundum used for polishing and finishing these carvings occurs in China, but a good deal of emery in powder is obtained from Borneo. A composition of gramdar corundum and gum-lac is usually employed by workmiMi in order to produce the highest luster of

    ‘ Compare Remusat, Uistmre de Khotan, pp. 163 ff., where there is an qxtended list of Chinese precious stones drawn from native sources.

    JADE STONE, Oil YUH. 300

    which the stones arc capable. The three varieties of the silicate of alumina, called jade, nephrite, and jadeite by mineralogists, are all named yuh by the Chinese, a word which is applied to a vast variety of stones—white marble, ruby, and cornelian all coming under it—and therefore not easy to define.

    Jade has long been known in Europe as a variety of jasper, its separation from that stone into a species by itself being of comparatively recent origin. Since the third edition of Boetius, in 1647, the two minerals have been regarded as entirely distinct. Its value in the eyes of the Chinese depends chiefly upon its sonorousness and color. The costliest specimens

    are brought from Yunnan and Klioten ; a greenish-white

    color is the most highly prized, a plain color of any shade

    being of less value. A cargo of this mineral was once imported

    into Canton from New Holland, but the Chinese would

    not purchase it, owing to a fancy taken against its origin and

    color. The patient toil of the workers in this hard mineral is

    only equalled by the prodigious admiration with which it is

    regarded ; both fairly exhibit the singular taste and skill of the

    Chinese. Its color is usually a greenish-white, or grayish-green

    and dark grass-green ; internally it is scarcely glimmering. Its

    fracture is splintery; splinters white; mass semi-transparent

    and cloudy ; it scratches glass strongly, and can itself generally

    be scratched by flint or quartz, but while not excessively hard

    it is remarkable for toughness. The stone when freshly broken

    is less hard than after a short exposure. Specific gravity from

    2.9 to 3.1.’ Fischer (pp. 31-1-318) gives some one hundred and

    fifty names as occurring in various authors—ancient and modern

    —for jade or nephrite.” An interesting testimony to the esteem

    ‘ Murray’s China^ Edinburgh, 1843, Vol. III., p. 276 ; compare also an

    article on this stone by M. Blondel, of Paris, published in the Smithsoninn

    Report for 1876. Memoires concernant Us Chinois, Tome XIII., p. 889. Remusat

    in the Journal des Savcuis, Dec, 1818, pp. 748 fF. J^i’otes and Queries

    oil a and J., Vol. II., pp. 173, 174, and 187 ; Vol. III., p. 63 ; Vol. IV., pp.

    13 and 33. MacmilUui’H Magazine, October, 1871. Yule, Cathay and the

    Way Thither, Vol. II., p. 564.

    ‘^ Nephrit undjadeit, nach ihren miiieralogischen Eigenschaften soioie nach ihrer

    urgeschichtiichea und ethnographischen Bedeutiing. Heinrioh Fischer, Stuttgart,

    1880. An exhaustive treatise on every phrase and variety of the mineral in wliicli tills stone was held in China during tlie middle agea

    conies from Benedict Goes (1002), who says : “There is no article

    of traffic more valuable than lumps of a certain transparent

    kind of marble, which we, from poverty of language, usually

    call jasper. . . , Out of this marble they fashion a variety of

    articles, such as vases, brooches for mantles and girdles, which,

    when artistically sculptured in flowers and foliage, certainly

    have an effect of no small magniflcence. These marbles (with

    which the Empire is now overflowing) are called by the Chinese

    lusce. There are two kinds of it ; the first and more valuable

    is got out of the river at Cotan, almost in the same way

    in which divers fish for gems, and this is usually extracted in

    pieces about as big as large flints. The other and inferior

    kind is excavated from the mountains.” The ruby, diamond,

    amethyst, sapphire, topaz, pink tourmaline, lapis-lazuli,’ turquoises,

    beryl, garnet, opal, agate, and other stones, are known

    and most of them used in jewelry. A ruby Ijrought from

    Peking is noticed by Bell as having been valued in Europe at

    $50,000. The seals of the Boards are in man}’ instances cut on

    valuable stones, and private persons take great pride in quartz

    or jade seals, with their names carved on them ; lignite and

    jet are likewise employed for cheaper ornaments, of which all

    classes are fond.

    All the common metals, except platina, are found in China, and the supply would be sufficient for all the purposes of the inhabitants, if they could avail themselves of the improvements adopted in other countries in blasting, mining, etc. The importations of iron, lead, tin, and quicksilver, are gradually increasing, but they form only a small proportion of the amount used throughout the Empire, especially of the two first named ; iron finds its way in because of its convenient forms more than its cheapness. The careful examination of Chinese topographical works by Pumpelly,” records the leading localities of iron in every province, and where copper, tin, lead, silver, and quick, silver have been observed ; he also mentions fifty-two places pro-

    ‘ Obtained from Badakslian. Wood, Journey to tlie Oxus, p. 263.

    ‘ Geological licucarches in China, Chap. X.

    METALS AND THEIR PRODUCTION. 31J

    diicing gold in various forms, most of them in Sz’cliuen. The rumor of gold-washings occurring not far from Chifn, in Shantung, caused much excitement in 1808, but thej were soon found to he not worth the labor. Gold has never been used as coin in China, but is wrought into jewelry ; most of it is consumed in gilding and exported to India as bullion, in the shape of small bars or coarse leaves.

    Silver is mentioned in sixty-three localities by the same author; large amounts are brought from Yunnan, and the mines in that region must be both extensive and easily worked to afford such large quantities as have been exported. The working of both gold and silver mines has been said to be prohibited, but this interdiction is rather a government monopoly of the mines than an injunction upon working those which are known. The importation of gold into China during the two centuries the trade has been opened, does not probably equal the exportation which has taken place since the commencement of the opium trade.

    It is altogether improbable that the Chinese are acquainted

    with the properties of quicksilver in separating these two

    metals from their ores, though its consumption in making vermilion

    and looking-glasses calls for over two thousand flasks

    yearly at Canton. Cinnabar occurs in Kweichau and Shensi

    and furnishes most of the ” water silver,” as the Chinese call

    it, by a rude process of burning brushwood in the wells, and

    collecting the metal after condensation.

    Copper is used for manufacturing coin, bells, bronze articles,

    domestic and cooking utensils, cannon, gongs, and brass-foil.

    It is found pure in some instances, and the sulphuret, the blue

    and green carbonates, pyrities, and other ores are w’orked ; malachite

    is ground for a paint. It occurs in every province, and

    is specially rich in Shansi and Kweichau. The ores of zinc

    and copper in Yunnan and Sz’chuen fnrnish spelter, and the

    peculiar alloy known as white copper or argentan, containing in

    addition tin, iron, nickel, and lead. So much use indicates

    large deposits of the ores. Tin is rather abundant, but lead is

    more common ; thirty-nine localities of the first are mentioned,

    some of which are probably zinc ores, as the Chinese confound

    tin and zinc under one generic name. Lead occurs with silver in many places ; twenty-four mines are mentioned in Pumpelly’s list, and those in Fuhkien are rich ; but the extensive importations prove that its reduction is too expensive to compete with the foreign.

    Realgar is quite common, this and orpiment being used as paints; statuettes and other articles are carved from the former, while arsenic is used in agriculture to quicken grain and preserve it from insects. Amber and fossilized copal are collected in several localities ; the first is much employed in the making of court necklaces and hair ornaments. Thefel-tsui or jadeite is the most prized of the semi-precious stones; it is cut into ear-rings, finger-rings, necklaces, etc. Pumpelly mentions pieces of this mineral set in relics obtained from tombs in Mexico, though no locality where it abounds has yet been found in America. Lapis-lazuli is employed in painting upon copper

    and porcelain ware ; this mineral is obtained in Chehkiang and

    Kansuli ; jadeite, topaz, and other fine stones are most plenty

    in Yunnan. A few minerals and fossils have been noticed in

    the vicinity and shops at Canton, but China thus far has furnished

    very few petrifactions in any strata. Coarse epidote

    occurs at Macao, and tungstate of iron has been noticed in the

    quartz rocks at Hongkong. Petrified crabs {inacrojpJithalinus)

    have been brought to Canton from Hainan, which are prized

    by the natives for their supposed medicinal qualities. Scientists have hitherto described a score or more species of Devonian shells, and recognized fragments of the hyena, tapir, rhinoceros, and stegedon, among some other doubtful vertebrate in the ” dragon’s bones ” sold in medicine shops ; but further examinations will doubtless increase the list. Orthoceratites and bivalve shells of various kinds are noticed in Chinese books as being found in rocks, and fossil bones of huge size in caves and river banks.

    There are many hot springs and other indications of volcanic

    action along the southern acclivities of the table land in the

    ])rovinces of Shensi and Sz’chuen ; and at Jeh-ho, in Chihli,

    there are thermal springs to which invalids resort. The Ilo

    tsing, or Fire wells, in Sz’chuen are apertures resembling artesian

    springs, sunk in the rock to a depth of one thousand

    QUADRUMANOUS ANIMALS OF CHINA. 313

    five hundred or one thousand eight hundred feet, whilst theii

    breadth does not exceed five or six inches. This is a work

    of great difiicultj, and requires in some cases the labor of

    two or three jears. The water procured from them contains

    a fifth part of salt, which is very acrid, and mixed with nmch

    nitre. When a lighted torch is applied to the mouth of

    some of those which have no Avator, fire is produced with

    great violence and a noise like thunder, bursting out into a

    flame twenty or thirty feet high, and which cannot be extinguished

    M’ithout great danger and expense. The gas has a

    bituminous smell, and burns with a bluish flame and a quantity

    of thick, black smoke. It is conducted under boilers in bamboos,

    and employed in evaporating the salt-water from the

    other springs.’ Besides the gaseous and aqueous springs in

    these provinces, there are others possessing different qualities,

    some sulphurous and others chalybeate, found in Shansi and

    along the banks of the Yellow River. Sulphur occurs, as has

    been noted, in great abundance in Formosa, and is purified for

    powder manufacturers.

    The animal and vegetable productions of the extensive regions

    under the sway of the Emperor of China include a great

    variety of types of different families. On the south the

    islands of Hainan and Formosa, and parts of the adjacent

    coasts, slightly partake of a tropical character, exhibiting in the

    cocoanuts, plantains, and peppers, the parrots, lenmrs, and

    monkeys, decided indications of an equatorial climate. From

    the eastern coast across through the country to the northwest

    provinces occur mountain ranges of gradually increasing elevation,

    interspersed with intervales and alluvial plateaus and bottoms,

    lakes and rivers, plains and hills, each presenting its

    peculiar productions, both wild and cultivated, in great variety

    and abundance. The southern ascent of the high land of Mongolia,

    the uncultivated wilds of Manchuria, the barren wastes

    of the desert of Gobi, with its salt lakes, glaciers, extinct volcanoes,

    and isolated mountain ranges ; and lastly the stupendous

    ‘ Humboldt, Fragmens Asiatiques, Tome I., p. 196. Annates de la Foi,

    Janvr., 182’J, pp. 41G ff.

    chains and v^alleys of Tibet, Koko-nor, and Kwanlun all differ

    from eacli other in the character of their prodnctions. In one

    or the other division, every variety of soil, position, and temperature

    occur which are known on tlie globe ; and what has

    been ascertained within the past fifteen years by enterprising

    naturalists is an earnest of future greater discoveries.

    Of the quadrumanous order of animals, there are several

    species. The Chinese are skilful in teaching the smaller kinds

    of monkeys various tricks, but M. Breton’s picture of their

    adroitness and usefulness in picking tea in Shantung from

    plants growing on otherwise inaccessible acclivities, is a fair instance

    of one of the odd stories furnished by travellers about

    China, inasmuch as no tea grows in Shantung, and monkeys

    are taught more profitable tricks.’ One of the most remarkable

    animals of this tribe is the douc^ or Cochinchinese monkey

    {Seinnojnthecus 7iemmus). It is a large species of great rarity,

    and remarkable for the variety of colors with which it is

    adorned. Its Ijody is about two feet long, and when standing

    in an upright position its height is considerably greater. The

    face is of an orange color, and flattened in its foi-m. A dark

    band runs across the front of the forehead, and the sides of the

    countenance are bounded by long spreading yellowish tufts of

    liair. The body and upper parts of the forearms are brownish

    gray, the lower portions of the arms, from the elbows to the

    wrists, being white ; its hands and thighs are black, and the

    legs of a bright red color, while the tail and a large triangular

    spot above it are pure white. Such a creature matches well,

    for its grotesque and variegated appearance, with the mandarin

    duck and gold fish, also peculiar to China.

    ‘ Breton, China, its Costumes, Arts, etc., Vol. II.

    THE FI-FI AND IIAI-TUH. 315

    Chinese books speak of several species of this family, and small kinds occur in all the provinces. M. David has recently added two novelties to the list from his acquisitions in Eastern Koko-nor, well fitted for that cold region by their abundant hair. The Rhinoplthccus I’oxellancB inhabits the alpine forests, nearly two miles high, where it subsists on the buds of plants and bamboo shoots laid up for winter supply; its face is greenish, the nose remarkably /’cfrousse, and its strong, brawny limbs well fitted for the arboreal life it leads ; the hair is thick and like a mane on the back, shaded with yellow and white tints.

    In this respect it is like the Gelada monkey of Abyssinia, and a few others protected in this part of the body from cold. This is no doubt the kind called f’t-fi in native books, and once found in flocks along many portions of western China, as these authors declare. Their notices are rather tantalizing, but, now that we have found the animal, are worth quoting: “The f’l-fi resembles a man ; it is clothed with its hair, runs quick and eats men ; it has a human face, long lips, black, hairy body, and turns its heels. It laughs on seeing a man and covers its eyes with its lips ; it can talk and its voice resembles a bird. It occurs in Sz’chuen, where it is called jhi hiung, or ‘human bear ; ‘ its palms are good eating, and its skin is used; its habit is to turn over stones, seeking for crabs as its food. Its form is like that of the men who live in the Kwaiilun Mountains.”

    Another large simia {2Iacactis thlhetanus) comes from the

    same region; it lives in bands like the preceding, but lower

    down the mountains. A third species of gi-eat size was reported

    to occur in the southwestern part of Sz’chuen, and described

    as greenish like the Macacus tcheliensis from the hills

    northwest of Peking—the most northern species of monkey

    known. The former of these two may possibly be the sinysing

    of the Chinese books, though its characteristics involve

    some confusion of the Macacus and baboon on the part of those

    writers. Two other species of ]\Iacacus, and as many of the

    gibbons, have been noticed in Hainan, Formosa, and elsewhere

    in the south.

    The singular proboscis monkey {J^^asalis laivalus\ called hhi-doc in Cochinchina and hai-tuh by the Chinese, exhibits a strange profile, part man and part beast, reminding one of the combinations in Da Yinci’s caricatui-es. It is a large animal, covered with soft yellowish hair tinted with red ; the long nose projects in the form of a sloping spatula. The Chinese account says : ” Its nose is turned upward, and the tail very long and forked at the end, and that whenever it rains, the animal thrusts the forks into its nose. It goes in herds, and lives in friendship ; when one dies, the rest accompany it to buriaL Its activity is so great that it runs its head against the trees; its fur is soft and gray, and the face black.’”‘

    ‘The Chinese llerhal., from which the preceding extract is taken, describes the bat under various names, such as ‘ heavenly rat,’ ‘faiiy rat,’ ‘flying rat,’ ‘night swallow,’ and ‘belly wings;’Ff-fr and Hai-tuh. (From a Chinese cut.)

    it also details the various uses made of the animal in medicine,

    and the extraordinary longevity attained by some of the wdiite

    species. The bat is in form like a mouse ; its body is of an

    ashy black color ; and it has thin fleshy wings, which join the

    four legs and tail into one. It appears in the summer, but becomes

    torpid in the winter ; on which account, as it eats nothing

    during that season, and because it has a habit of swallowing its

    breath, it attains a great age. It has the character of a night

    ‘ Bridgmiui’s Chinese Chrestomathy, p. 4G9.

    WILD ANIMALS. 317

    rover, not on account of any inability to fly in the day, hnt it dares not o;o abroad at that time because it fears a kind of hawk. It subsists on mosquitoes and gnats. It flies with its head downward, because the brain is heavy,’ This quotation is among the best Chinese descriptions of animals, and shows how little there is to depend upon in them, though not without interest in their notices of habits. Bats are common everywhere, and seem to be regarded with less aversion than in certain other countries. Twenty species belonging to nine genera are given in one list, most of them found in southern China ; the wings of some of these measure two feet across ; a large sort in Sz’chuen is eaten.

    The brown bear is known, and its paws are regarded as a

    delicacy ; trained animals are frequently brought into cities by

    showmen, wdio have taught them tricks. The discovery by

    David of a large species {Ailunypus riielanoleurus) allied to the

    Himalayan panda {Ailurasfulgens), also found on the Sz’chuen

    Mountains, adds another instance of the strange markings common

    in Tibetan fauna. This beast feeds on flesh and vegetables

    ; its body is white, but the ears, eyes, legs, and tip of the

    tail are quite black ; the fur is thick and coarse. It is called

    peh hlaixj, or white bear, by the hunters, but is no doubt the

    animal called j;i in the classics, connnon in early times over

    western China, and now rare even in Koko-nor. The Tibetan

    black bear occurs in Formosa, Shantung, and Hainan, showing

    a wide range. The badger is quite as widespread, and the two

    species have the same general appearance as their European

    congeners.

    Carnivorous animals still exist, even in thickly settled districts.

    The lion may once have roamed over the southwestern

    Manji kingdom, but the name and drawings both indicate a

    foreign origin. It has much connection with Buddhism, and

    grotesque sculptures of ranq3ant lions stand in pairs in front of

    temples, palaces, and graves, as a mark of honor and symbol

    of protection. The last instance of a live lion brought as tribute

    was to Hientsung in a.d. 1470, from India or Ceylon.

    ‘ Chinese Repository^ Vol. VII., p. 90.

    Many other species of yeZ/5 are known, some of tliein peculiar

    to particular regions. The royal tiger has been killed near

    Amoy, and in Manchuria the panther, leopard, and tiger-cat

    all occur in the northern and southern provinces, making

    altogether a list of twelve species ranging from Formosa to

    Sagalien. Mr. Swinhoe’s ‘ account of his rencounter with a

    tiger near Amoy in 1S58 explains how^ such large animals still

    remain in thickly settled regions where food is abundant and

    the people are timid and unarmed. In thinly peopled parts

    they become a terror to the peasants. M. David enumerates

    six kinds, including a lynx, in Monpin alone, one of which

    {Felis sc/’fj)ta) is among the most prettily marked of the whole

    family. Ilunting-leopards and tigers were used in the days of

    Marco Polo by Kublai, but the manly pastime of the chase, on

    the magnificent scale then pi-actised, has fallen into disuse with

    the present princes. A small and fierce species of wild- cat

    {Felis chinensls), two feet long, of a brownish-gray coloi’, and

    liandsomely marked with chestnut spots and black streaks, is

    still common in the southwestern portions of Fuhkien. (Uvet

    cats of two or thi-ee kinds, tree-civets (Ildwtes), and a fine

    species of marten {Martes), with yellow neck and purplishbrown

    bod}’, from Formosa, are among the smaller cai-nivora in

    the southern provinces.

    The domestic animals offer few peculiarities. The cat, lia U,

    or ‘household fox,’ is a favorite inmate of families, and the

    ladies of Peking are fond of a variety of the Angora cat,

    having long silky hair and hanging ears. The common species

    is variously marked, and in the south often destitute of a tail; when reared for food it is fed on i-ice and vegetables, but is not much eaten. Popular superstition has clustered many omens of good and bad luck about cats ; it is considered, for example, the prognostic of certain misfortune when a cat is stolen from a house—much as, in some countries of the western world, it is unlucky when a black cat crosses one’s pathway.

    The dog differs but little from that reared among the Esquimaux,

    and is perhaps the original of the species. There is

    • Zodl. &c. Proc, 1870, p. G3G.

    CATS AND DOGS. 319

    little variation in tlieir size, wliicli is about a foot liigli and

    two feet in length ; the color is a pale yellow or black, and

    always uniform, with coarse bristling hair, and tails curling up

    high over the back, and rising so abruptly from the insei-tion

    that it has been humoi-ously remarked they almost assist in

    lifting the legs from the ground. The hind legs are unusually

    straight, which gives them an awkward look, and perhaps pre*

    vents them running very rapidly. The black eyes are small

    and piercing, and the insides of the lips and months, and the

    tongue, are of the same color, or a blue black. The bitch has a

    dew-claw on each hind leg, but the dog has none. The ears are

    sharp and upright, the head peaked, and the bark a short, thick

    snap, very unlike the deep, sonorous baying of our mastiffs. In

    Xganhwui a peculiar variety has pendant ears of great length,

    and thin, wii-ey tails. One item in the Chinese description of

    the dog is that it ‘ can go on three legs ‘—a gait that is often

    exhibited b}’ them. They are used to watch houses and flocks; the Mongolian breed is fierce and powerful. The dogs of Peking are very clannish, and each set jealously guards its own street or yard ; they ai-e fed by the butchers in the streets, and serve as scavengers there and in all large towns. They are often mangey, presenting hideous spectacles, and instances of j>//(‘«2)oloni<‘a are not uncommon, l)nt, as among the celebrated street dogs of Ooiistantinople, hydrophobia is almost unheard of among them. Dog markets are seen in every city where this meat is sold ; the animals are reared expressly for the table, but their flesh is expensive.

    One writer remarks on their habits, when describing the

    worship offered at the tombs : ” Hardly had the hillock been

    abandoned by the M’orshippers, when packs of hungry dogs

    came running up to devour the part of the offerings left for the

    dead, or to lick up the grease on the ground. Those who came

    first held up their heads, bristled their hair, and showed a

    proud and satisfied demeanor, curling and wagging their tails

    with selfish delight ; while the late-comers, tails between their

    legs, held their heads and ears down. There was one of them,

    however, which, grudging the fare, held his nose to the wind as

    if sniffing for better luck ; but one lean, old, and ugly beast. with a flayed back and liaii-less tail, was seen gradually separating himself from the band, though without seeming to hurry himself, making a thousand doublings and windings, all the while looking back to see if he was noticed. But the old sharper knew what he was about, and as soon as he thought himself at a safe distance, away he went like an arrow, the whole pack after him, to some other feast and some other tomb.”

    ‘Wolves, raccoon-dogs, and foxes are everywhere common, in some places proving to be real pests in the sheepfold and farmyard. In the vicinity of Peking, it is customary to draw large white rings on the plastered walls, in order to terrify the wolves, as these beasts, it is thought, will flee on observing such traps.

    The Chinese regard the fox as the animal into which human spirits enter in preference to any other, and are therefore afraid to destroy or displease it. The elevated steppes are the abodes of three or four kinds, which find food without difficulty. The Tibetan wolf (Cams chanco) has a warm, yellowish-white covering, and ranges the wilds of Tsaidam and Koko-nor in packs. The fox {Ganis cossac) spreads over a wide range, and is famed for its sagacity in avoiding enemies.

    The breed of cattle and horses is dwarfish, and nothing is done to improve them. The oxen are sometimes not larger than an ass ; some of them have a small hump, showing their affinity to the zebu ; the dewlap is large, and the contour neat and symmetrical. The forehead is round, the horns small and irregularly curved, and the general color dun red. The buffalo(shui niu), or ‘water ox’, is the largest beast used in agriculture. It is very docile and unwieldy, larger than an English ox, and its hairless hide is a light black color; it seeks coolness and refuge from the gnat in muddy pools dug for its convenience, where it wallows with its nose just above the surface. Each horn is nearly semi-circular, and bends downward, while the head is turned back so as almost to bring the nose horizontal.

    ‘ Borget, La Chine Ouverte, p. 147.

    CATTLE, SHEEP, AND DEER. 321

    The herd-boys usually ride it, and the metaphor of a lad astride a buffalo’s back, blowing the flute, frequently enters into Chinese descriptions of rural life. The yak of Tibet is employed us a beast of burden, and to furnish food and raiment. It is covered with a mantle of hair reaching nearly to the ground, and the soft pelage is used for making standards among the Persians, and its tail as fly-Haps or chowries in India ; the hair is woven into carpets. The wild yak {PoepluKjas (jrunnienH) has already been described. Great herds of these huge bovines roam over the wastes of Koko-nor, where their dried droppings furnish the only fuel for the nomads crossing those barren wilds.

    The domestic sheep is the broad-tailed species, and furnishes excellent mutton. The tail is sometimes ten inches long and three or four thick ; and the size of this fatty member is not affected by the temperature. The sheep are reared in the north by Mohammedans, who prepare the fleeces for garments by careful tanning ; the animal is white, with a black head. Goats are raised in all parts, but not in large numbers. The argali and wild sheep of the Ala shau Mountains {Ovis Burrhel) furnish exciting sport in chasing them over their native cliffs, which they clamber with wonderful agility. Another denizen of those dreary wilds is the Antilope jpicticauda, a small and tiny species, weighing about forty pounds, of a dusky gray color, with a narrow yellow stripe on the flanks. Its range is about the head-waters of the YangZiJiang River ; its swiftness is amazing; it seems absolutely to fly. It scrapes for itself trenches in which to lie secure from the cold.

    Many genera of ruminants are represented in China and

    the outlying regions ; twenty-seven rare species are enumerated

    in Swinhoe’s and David’s lists, of which eleven are antelopes

    and deer. The range of some of them is limited to a

    narrow region, and most of them are peculiar to the country.

    The wealthy often keep deer in their grounds, especially the

    spotted deer {Cermis j)seicdaxis), from Formosa, whose coat is

    found to vary greatly according to sex and age ; its name, Mntsien

    lu/i, or ‘money deer,’ indicates its markings. Mouse-deer

    are also reared as pets in the southern provinces.

    One common species is the dscren or hwang yan<j {AntiUpe(jiitturosa), which roams over the Mongolian wilds in large herds, and furnishes excellent venison. It is heavy in comparison to the gazelle ; liorns thick, about nine inches long, anmilated to the tips, lyrated, and their points turned inward. The goitre, which gives it its name, is a movable protuberance occasioned by the dilatation of the larnyx ; in the old males it is much enlarged. The animal takes surprising bounds when running.

    Great numbers are killed in the autunm, and their flesh,

    skins, and liorns ai’e all of service for food, leather, and medicine.

    Several kinds of hornless (or nearly hornless) deer, allied to

    the musk-deer, exist. One is the river-deer {Ihjdrojyotes)^ common

    near the Yangtsz’ Eiver, which resembles the pudu of

    Chili ; it is very prolific on the bottoms and in the islands. Another

    sort in the northwest {Elaj>hod>iK) is intermediary between

    the muntjacs and deer, having long, trenchant, canine

    upper teeth, and a deep chocolate-colored fur. Three varieties

    of the musk-deer {MoscJiun) have been observed, differing a

    little in their colors, all called shie or hkouj cliaiuj by the Chinese,

    and all eagerly hunted for their musk. This perfume

    was once deemed to be nseful in medicine, and is cited in a

    Greek presci-iption of the sixth century ; the abundance of the

    animal in the Himalayan regions may be inferred from Tavernier’s

    statement that he bought 7GT3 bags or pods at Patna in

    one of his journeys over two hundred years ago. This animal

    roams over a vast extent of alpine territory, from Tibet and

    Shensi to Lake Baikal, and inhabits the loftiest cliffs and defiles,

    and makes its way over nigged mountains with great rapidity.

    It is not unlike the roe in general appearance, though the projecting

    teeth makes the npper lip to look broad. Its color is

    grayish-brown and its limbs slight; the hair is coarse and brittle,

    almost like spines. The musk is contained in a pouch beneath

    the tail on the male, and is most abundant during the

    i-utting season. He is taken in nets or shot, and the hunters

    are said to allure him to destruction by secreting themselves

    and playing the flute, though some would say the animal

    showed very little taste in listening to such sounds as Chinese

    flutes usually produce. The musk is often adulterated with

    clay or mixed with other sul)stanees to moderate its powerful

    odor. A singular and interesting member of this familv is

    reared in the great park south of Peking—a kind of elk with

    HORSES, ARSES, AND ELEPHANTS. 8,’?:}

    short horns. This large animal {Elwphwus Damdianus)^ of a

    gentle disposition, equals in size tlie largest deer; its native

    name, sz’-2>uh slang, indicates that it is neither a horse, a deer,

    a camel, nor an ox, but partakes in some respects of the characteristics

    of each of them. Its gentle croaking voice seems to be

    nnworthj of so huge a body ; the color is a uniform fawn or

    light gray.

    The horse is not much larger than the Shetland pony ; it is

    bony and strong, but kept with little cai-e, and presents the

    worst possible appearance in its usual condition of untrinmied

    coat and mane, bedraggled fetlocks, and twisted tail. The Chinese

    language possesses a great variety of terms to designate

    the horse ; the difference of age, sex, color, and disposition, all

    being denoted by particular characters. Piebald and mottled,

    white and bay horses are common ; but the improvement of

    this noble animal is neglected, and he looks sorry enough compared.

    with the coursers of India. lie is principally used for

    carrying the post, or for military services ; asses and mules

    being more employed for draught. lie is hardy, feeds on

    coarse food, and admirably serves his owners. The mule is

    well-shaped, and those raised for the gentry are among the very

    best in the M’orld for endurance and strength; dignitaries are

    usually drawn by sumpter mules. Donkeys are also carefully

    raised. Chinese books speak of a mule of a cow and horse, as

    M’ell as from the ass and horse, though, of course, no such hybrid

    as the former ever existed.

    The wild ass, or onager (under the several names by which

    it is known in different lands, Ji-yaiuj^ djan/j, I’ulan, djiggeta),

    ghor-hhar, and ye-la), still roams free and untameable. It is

    abundant in Koko-nor, gathering in troops of ten to fifty, each

    under the lead of a stallion to defend the mares. The flesh is

    highly prized, and the difficult}^ of procuring it adds to the

    delicacy of the dish ; the color is light chestnut, with white

    belly.

    Elephants are kept at Peking for show, and are used to

    draw the state chariot when the Emperor goes to worship at

    the Altars of Heaven and Earth, but the sixty animals seen in

    the days of Kienlung, by Bell, have since dwindled to one or two. Van Braam met six going into Peking, sent thither from Yunnan. The deep forests of that province also harbor the rhinoceros and tapir. The horn of the former is sought after as medicine, and theTjest pieces are carved most beautifully into

    ornaments or into drinking cups, which are supposed to sweat

    whenever any poisonous liquid is put into them. The tapir is

    the white and brown animal found in the IMalacca peninsula,

    and strange stories are recorded of its eating stones and copper.

    The wild boar grows to weigh over four hundred pounds and

    nearly six feet long. In cold weather its frozen carcass is

    brought to I’eking, and sold at a high price. A new species of

    The Chinese Pig.

    hoff has been found in Formosa, about three feet long, twentyone

    inches high, and showing a dorsal row of large bristles ; a

    tliird variety occurs among the novelties discovered in Sz’chuen

    ij^m moujnnensiH)^ having short ears. Wild boars are met M’ith

    even in the hills of C’hehkiang, and seriously’ annoy the husbandmen

    in the lowlands by their depredations. Deep pits are

    dug near the l)ase of the hills, and covered M’ith a bait of fresh

    grass, and many are annually captured or droM’iied in them.

    They are fond of the bamboo shoots, and persons are stationed

    near the groves to fi-igliten them away by striking pieces of

    wood together.

    The Chinese hollow-backed pig is known for its short legs,

    tup: wild boar and domestic hog. 325

    round body, crooked back, and almndance of fat; the flesh is

    the connnoii meat of tlie people soutli of tlie Yaii<>’ts// liiver.

    The black C-hinese breed, as it is called in England, is considered

    the best pork raised in that country. The boo-” in the

    northern provinces is a gaunt animal, unifoiiuly black, and not

    so well cared for as its southern rival. Pieljald pigs are common

    in Formosa, resulting from crossing; sometimes animals

    of this kind are quite woolly. The Chinese in the south, well

    aware of the perverse disposition of the hog, find it much more

    expeditious to can-y instead of drive him through their narrow

    Mode of Carrying Pigs.

    Streets. For this purpose cylindrical baskets, open at both ends,

    are made ; and in order to capture the obstinate brute, it is

    secured just outside the half-opened gate of the pen. The men

    seize him by the tail and pull it lustily ; his rage is roused by

    the pain, and he struggles ; they let go their hold, whereupon

    he darts out of the gate to escape, and finds himself snugly

    caught. He is lifted up and unresistingly carried off.

    The camel is employed in the trade carried on across the

    desert, and throughout Mongolia, Manchuria, and northern

    China near the plateau; without his aid those regions would be ii))pa?sil)le ; the passes across the ranges near Tvoho-nor, sixteen thonsand feet high, ai-e traversed by his help, though amid suffej’ing and danger. In the summer season it sheds all its hair, which is gathered for weaving into ropes and rugs ; at this period, large herds pasture on the plateau to recuperate. The humps at this season hang down the back like empty bags, and the poor animal presents a distressed appearance during the hot weather. In its prime condition it carries about six hundred

    pounds weight, but is not used to ride upon as is the Arabian

    species. The two kinds serve man in one continuous l-ajilah

    from the Sea of Tartary across two continents to Tinibuctoo.

    The Chinese have employed the camel in wai’, and trained it to

    carry small gingalls so that the riders could fire them while

    resting on its head, but this antique kind of cavalry has disappeared

    with the introduction of better weapons.

    Among the various tribes of smaller animals, the Chinese

    Em])ire furnishes many interesting peculiarities, and few families

    are unrepresented. Xo marsupials have yet been met, and

    the order of edeutata is still restricted to one instance. Several

    families in other orders are rare or wanting, as baboons,

    spider-monkeys, skunks, and ichneumons. In the weasel tribe,

    some new species have been added to the already long list of

    valuable fur-bearing animals found in the mountains—the sable

    ermine, marten, pole-cat, stoat, etc., whose skins still repay the

    hunters. The weasel is common, but not troublesome. The

    otter is trained in Sz’chuen to catch fish in the mountain

    streams \vith the docility of a spaniel ; another species {Lutia

    siolnhosl) occurs along the islands on the southern coast, while

    in Hainan Island appears a kind of clawless otter of a rich

    brown color above and white beneath ; each of these is about

    twenty inches long. The furs of all these, and also the seaotter,

    are prepared for garments, especially collars and neckwraps.

    A kind of mole exists in Sz’chuen, having a muzzle of extreme

    length, while the scent of another variety near Peking is so

    nuisky as to suggest its name {Scapfot’hirKi^ moschatus). Muskrats

    and shrew-mice are found both north and south ; and one

    western species has only a rudimentary tail ; w^hile another, the

    SMALLER ANIMALS AISTD RODET^TS, 327

    Scaptony.i’, forms an intermediate species l>ctween a mole and a

    shrew, having a bhmt muzzle, strong fore feet and a long tail;

    and lastly, a sort fitted for aquatic lial)its, with l)road hind feet

    and flattened tail. Tiny hedgehogs are common even in the

    streets and by-lanes of Peking, where they find food and

    refuge in the allnvial earth. Two or three kinds of marmots

    and mole-rats are fonnd in the north and west {Sqyhucus Arctami/

    s), all specifically unlike their congeners elsewhere. The

    Chinese have a curious fancy in respect to one beast, one bird,

    and one fish, each of which, they say, requires that two come

    together to make one complete animal, viz., the jerboa, the

    spoonbill and sole-fish ; the first {D’qius annnlatus) occurs in

    the sands of northern China, the second in Formosa, and the

    third along the coasts.

    Many kinds of rodents have been described. The alpine

    hare {Lagomijs ogotona) resembles a marmot in its habits and is

    met with throughout the grassy parts of the steppes ; its burrows

    riddle the earth wherever the little thing gathers, and endangers

    the hunters riding over it. It is about the size of a rat,

    and by its w^onderful fecundity furnishes food to a great number

    of its enemies—man, beasts, and birds ; it is not dormant, but

    gathers dry grass for food and warmth during cold weather

    ;

    this winter store is, however, often consumed by cattle before

    it is stored away. Hares and rabbits are well known. Two

    species of the former are plenty on the Mongolian grass-lands,

    one of which has very long feet ; in winter their frozen bodies

    are brought to market. One species is restricted to Hainan

    Island, Ten or twelve kinds of squirrels have been described,

    red, gray, striped, and buff ; one with fringed ears. Their skins

    are prepared for the furriers, and women wear winter robes

    lined with them. Two genera of flying-squirrel {Pteromys and

    Sciurapterus) have been noticed, the latter in Formosa and the

    former mostly in the western provinces, Chinese writers have

    been puzzled to class the flying-squirrel ; they place it among

    birds, and assure their readers that it is the only kind which

    suckles its young when it flies, and that ” the skin held in the

    hand during parturition renders delivery easier, because the

    animal has a remarkably lively disposition,” The long, dense

    328 THE MIDDLK KINGDOM.

    fur of the P. alhonifow’i makes beautiful dressep, the white

    tips of the hair contrasting prettily with the red ground.

    Of the proper rats and mice, more than twenty-five species

    have been already described. Some of them are partially

    arboreal, others have remarkably long tails, and all but three

    are peculiar to the country. A Formosan species, called by

    Swinhoe the spinous county rat, had been dedicated to Koxinga,

    the conqueror of that island ; while another common

    in Sz’chuen bears the name of Mufi Confucianus. The extent

    to which tlie Chinese eat rats has been greatly exaggerated

    by travellers, for the flesh is too expensive for general

    use.

    One species of porcupine {TTijsfrir suhcrlxtata) inhabits the

    southern provinces, wearing on its head a purplish-black crest

    of stout spines one to five inches long ; the bristles are short,

    but increase in size and length to eight oi- nine inches toward

    the rump ; the entire length is thiity-three inches. The popular

    notion that the porcupine darts its quills at its enemies as

    an efPectual weapon is common among the Chinese.

    Xo animal has puzzled the Chinese more than the scaly anteater

    or pangolin {JIa?iis dahnanni), which is logically considered

    as a certain and useful remedy bv them, simply because of

    its oddity. It is regarded as a fish out of water, and therefore

    named Ihuj-l’i., or ‘ hill carp,’ also dragon carp, but the most

    common designation is ehuen. s/ian liah, or the ‘ scaly hill borer.’

    One author says: ” Its shape resembles a crocodile ; it can go in

    dry paths as well as in the water ; it has four legs. In the

    daytime it ascends the banks of streams, and lying down opens

    its scales wide, putting on the appearance of death, which induces

    the ants to enter between them. As soon as they are in,

    the animal closes its scales and returns to the water to open

    them ; the ants float out dead, and he devours them at leisure.”

    A more accurate observer says: “It contimially protrudes its

    tongue to entice the ants on which it feeds ; ” and true to

    Chinese physiological deductions, similia similihis curantur,

    he recommends the scales as a cure for all antish swellings.

    lie also I’emarks that the scales are not bony, and consist of

    the agglutinated hairs of the body. The adult specimens

    PORPOISES AND WHALES. 329

    measure tliirty-threo inches. It walks on the sides of the

    hind feet and tips of the claws of the fore feet, and can stand

    upright for a minute or two. The large scales are held tt

    the skin by a liesliy iiipple-like pimple, which adheres to the

    base.

    Among the cetaceous inhabitants of the Chinese waters, one

    of the most noticeable is the great white poi-poise {Delj>/ihi>;s

    chinensis), whose uncouth tumbles attract the traveller’s notice

    as he sails into the estuary of the Pearl River on his way to

    Hongkong, and again as he steams up the Yangtsz’ to Hankow.

    The Chinese fishermen are shy of even holding it in their nets,

    setting it free at once, and never pui-suing it ; they call it^>M-^i

    and deem its presence favorable to their success. A species of

    fin-whale {Balmnoptera) has been described by Swinhoe, which

    ranges the southern coast from the shores of Formosa to Hainan.

    Its pi-esence between Hongkong and Amoy induced some

    foreigners to attempt a fishery in those waters, but the yield of

    oil and bone was too small for their outlay. The native fishermen

    join their efforts in the wintei*, when it resorts to the seas

    near Hainan, going out in fleets of small boats from three to

    twenty-five tons burden each, fifty l)oats going together. The

    line is about three hundred and fifty feet long, made of native

    hemp, and fastened to the mast, the end leading over the bow.

    The harpoon has one barb, and is attached to a wooden handle

    ;

    through an eye near the socket, the line is so fastened along the

    handle, that when the whale begins to strain upon it, the handle

    draws out upon the line, leaving only the barlj buried iji the

    skin. The boat is sailed directly upon the fish, and the harpooner

    strikes from the bow just behind the blow-hole. As

    soon as the fish is struck the sail is lowered, the rudder unshipped,

    and the boat allowed to drag stern foremost until the

    prey is exhausted. Other boats come up to assist, and half a

    dozen harpoons soon dispatch it. The species most common

    there yield about fifty bai-rels each ; the oil, fiesh, and bone are

    all used f(jr food or in manufactures. Tiie fish resort to the

    shallow waters in those seas for food, and to roll and rub on the

    banks and reefs, thus ridding themselves of the barnacles and

    insects which torment them ; they are often seen leaping en330

    THE MIDDLE KINGDOM.

    tire)y out of water, and falling back perpend icnlarly against the

    hard bottom.’

    The Yellow Sea affords a species of cow-lish, or round headed

    cachalot {Globicejjhalus Itissii), wdiich the Japanese capture.*

    Seals have been observed on the coast of Liautung, but nothing

    is known of their species or habits ; the skins are common and

    cheap in the Peking market. Xative books speak of a marine

    animal in Koko-nor, from wliich a rare medicine is obtained,

    that probably belongs to this famOy.

    This imperfect account of the mammalia known to exist

    in China has been drawn from the lists and descriptions inserted

    in the zoological periodicals of Europe, and may serve to

    indicate the extent and richness of the field yet to be investigated.

    The lists of Swinhoe and David alone contain nearly

    two hundred species, and within the past ten years scores more

    have been added, but have not exhausted the new and unexplored

    zoological regions. The emperors of the Mongol dynasty

    were very fond of the chase, and famous for their love of the

    noble amusement of falconry ; Marco Polo says that Kublai employed

    no less than seventy thousand attendants in his hawking

    excursions. Falcons, kites, and other birds were taught to

    pursue their quarry, and the Venetian speaks of eagles trained

    to stoop at wolves, and of such size and strength that none

    could escape their talons.’ Hanking has collected * a number

    of notices of the mode and sumptuousness of the field sports of

    the Mongols in China and India, but they convey little more

    information to the naturalist, than that the game Avas abundant

    and comprised a vast variety. ]\rany s])ecies of accipitrine

    birds are described in Chinese books, but they are spoken of so

    vaguely that nothing definite can be learned from the notices.

    Few of them are now trained for sport by the Chinese, except

    a kind of sparrow-hawk to amuse dilettanti hunters in

    showing their skill in catching small birds. The fondness for

    sport in the wilds of Manchuria which the old emperoi-s

    ‘ CMnese Repository, Vol. XII., p. 608.

    Mbid., Vol. VI., p. 411.

    •Yule’s Marco Polo, Vol. I., p. ‘m^.

    * Wars and Sports of the Mongols and Romans.

    BIRDS OF PREY. 331

    encouraged two centuries ago has all died out among their

    descendants.

    Within the last fifteen years a greater advance has been

    made in the knowledge of the birds of China than in any other

    branch of its natural history, perhaps owing somewhat to their

    presenting themselves for capture to the careful observer. The

    list of described species already munljers over seven hundred, of

    which the careful paper of the lamented Swinhoe, in the ProceedingH

    of the Zoological SocJeti/ for May, 1871, gives the

    names of six hundred and seventy-five species, and M. David’s

    list, in i\\(i Nouvelles Archives for 1871, gives four hundred and

    seventy as the number observed north of the Itiver Yangtsz’.

    The present sketcli must confine itself to selecting a few of the

    characteristic birds of the country, for this part of its fauna is

    as interesting and peculiar as the mammalia.

    Among birds of prey are vultures, eagles, and ernes, all of

    them M’idespread and well known. One of the fishing-eagles

    (Ilalicctus macei) lives along the banks of the bend of the Yellow

    River in the Ortous country. The golden eagle is still

    trained for the chase by Mongols ; Atkinson accompanied a

    party on a hunt. ” We had not gone far,” he says, ” when

    several large deer rushed past, bounding over the plain about

    three hundred yards from ns. In an instant the barkut wai

    unhooded and his shackles removed, when he sprung from hi^

    perch and soared on high. lie rose to a considerable height,

    and seemed to poise fof^ minute, gave two or three flaps with his

    wings, and swooped off in a straight line for the pi’ey. I could

    not see his wings move, but he went at a fearful rate, and all of

    us after the deer ; when we were about two hundred yards off,

    the bii-d struck the deer, and it gave one bound and fell. The

    barkut had struck one talon in his neck, the other into his back,

    and was tearing out his liver. The Kirghis sprung from his

    horse, slipped the hood over the eagle’s head and the shackles

    on his legs, and easily took him off, remounting and getting

    ready for another flight.” ‘ Other smaller species are trained

    to capture or worry hares, foxes, and lesser game.

    ‘ Oriental and Western Siberia, p. 41 G.

    332 TIIK MIDDLK KINGDOM.

    The falcons which inhabit the gate-towers and trees in Pe

    kinw form a peculiar feature of the place, from their impudence

    in foraging in tlie streets and markets, snatching things out of

    the liands of people, and startling one by their responsive

    screams. Much quarrelling goes on between them and the

    crows and magpies for the possession of old nests as the spring

    comes on. Their services as scavengers insures them a quiet

    residence in their eyries on the gate-towers. Six sorts of harriers

    (Circles), with various species of falcons, bustards, gledes,

    and spaiTOw^-hawks, are enumerated. The family of owls is

    well represented, and live ones are often exposed for sale in

    the markets ; its native name of ‘ cat-headed hawk ‘ {inao-rhtao

    ying) suggests the likeness of the two. Out of the fifty-six

    species of accipitrine birds, the hawks are much the most

    numerous.

    The great order of Passerinae has its full share of beautiful

    and peculiar representatives, and over four hundred species

    have been catalogued. The night-hawks have only three

    members, but the swallows count up to fifteen species. Around

    Peking they gather in vast numbers, year after year, in the

    gate-towers, and that whole region was early known by the

    name of Yen Kwoli, or ‘ Land of Swallows.’ The innnunity

    granted by the natives to this twittering, bustling inmate of

    their houses has made it a synonym for domestic life ; the

    phrase yin yen. {lit. to ‘ drink swallows ‘) means to give a feast.

    The famil}’ of king-fishers contains several most exquisitely

    colored birds, and multitudes of the handsome ones, like the

    turquoise king-fisher {Halcyon fi/nyrnensis), are killed by the

    (Chinese for the sake of the plumage. Beautiful feather-work

    ornaments are made from this at Canton. The hoopoe, beeeater,

    and cuckoo are not uncommon ; the first goes by the

    name of the s/ia/i. ho-.shan’j, or ‘ country priest,* f i-om its color.

    Six species of the last have been recognized, and its peculiar

    habits of driving other birds from their nests has made it well

    kuuwn to the people, who call it ha-l’a for the same reason as

    do the English. On the upper Yangtsz’ the short-tailed species

    makes its noisy agitated Hight in order to draw off attention from

    its nest. The C’hinesc say it wcepi blood as it bewails its mate

    SWALLOWS, THRUSHES, LARKS, El’C. 333

    all night long. The Cacutas strlatus varies so greatly in different

    provinces that it has much perplexed naturalists ; all of

    them are only summer visitants.

    The habit of the shi-ike of impaling its prey on thorns and

    elsewhere before devouring it has been noticed by native

    writers ; no less than eleven species have been observed to cross

    the country in their migrations from Siberia to the Archipelago.

    Of the nuthatches, tree and wall creepers, wrens, and chats,

    there is a large variety, fJid one species of willow-wren {Sylvia

    horealls) has been detected over the entire eastei’u hemisphere ;

    six sorts of redstarts {Rat’tGilla) are spread over the provinces.

    Among the common song birds reared for the liousehold, the

    thrush and lark take precedence ; their fondness for birds and

    flowers is one of the pleasant features of Chinese national character.

    A kind of grayish-yellow thrush {Garrula,c j)<”i’-y)i<-il’^-

    tus)j called hwa-mi, or ‘painted ej’ebrows,’ is common about

    Canton, where a well-trained bird is worth several dollars.

    This genus furnishes six species, but they are not all equally

    nnisical ; another kind {Suthorla wehhiana) is kept for its fighting

    qualities, as it will die before it yields. These and other

    allied birds furnish the people with much amusement, by teaching

    them to catch seeds thrown into the air, jump from perches

    held in the hand, and })erform tricks of various kinds. A party

    of gentlemen will often be seen on the outskii-ts of a town in

    mild weather, each one holding his pet bird, and all busily engaged

    in catching grasshoppei’s to feed them. The spectacle

    thrush {Leuc()d’wj.>trn,tii) has its eyes surrounded by a black

    circle bearing a fancied resemblance to a pair of spectacles ; it

    is not a very sweet songster, but a graceful, lively fellow. The

    species of wagtail and lark known amount to about a score altogether,

    but not all of them are equally good singers. The

    southern (^hinese prefer the lark which comes from Chihli, and

    large numbei-s ai-e annually carried south. The shrill notes of

    the field lark {Alauda adkiox and arvensis) are heard in the

    shops and streets in enmlous concert with other kinds—these

    larks becoming at times well-nigh frantic with excitement in

    their struggles for victory. The Chinese name of peh-ling, or

    ‘hundred spirits,’ given to the Mongolian lark, indicates the

    334 THE MIDDLE KINGDOM.

    reputation it has earned as an active songster ; and twenty-five

    dollars is not an unconnnon pi-ice for a good one.’

    The tits [Parus) and recdlings {Emhe/’ha), together with kindred

    genera, are among the most common .small birds, fifteen or

    twenty species of each having been noticed. In the proper season

    the latter are killed for market in such numbei-s as to excite

    surprise that they do not become extinct. In taking many of

    the warblers, orioles, and jays, for rearing or sale as fancy birds,

    the Chinese are veiy^ expert in the use of birdlime. In all parts

    of the land, the pie family are deemed so useful as scavengers

    that they are never molested, and in consequence become very

    connnon. The magpie is a favorite bird, as its name, /il tsloh,

    or ‘ joyous bird,’ indicates, and occurs all over the land. Ravens,

    choughs, crows, and blackbirds keep doM-n the insects and vermin

    and consume offal. The palace grounds and inclosures of

    the nobility in Peking are common I’esorts for these crows,

    where they are safe from harm in the great trees. Every

    morning myriads of them leave town with the dawn, returning

    at evenino; with increased ca\\ino; and clamor, at times actuallv

    darkening the sky with their flocks. A pretty sight is occasionally

    seen M’hen two or three thousand young ci’ows assemble

    just at sunset in mid-air to chase and play with each other.

    The crow is i-egarded as somewhat of a sacred bird, either from

    a service said to have been rendered by one of his race to an

    ancestor of the present dynasty, or because he is an emblem of

    filial duty, from a notion that the young assist their parents

    when disabled. The owl, on the other hand, has an odious

    name because it is stiy-matized as the bii’d which eats its dam.

    One member of the pie family deserving mention is the longtailed

    l)lue jay of Formosa (^.TO^’^Vm), remarkable for its brilliant

    plumage. Another, akin to the sun birds {^Ethoj^njija

    (lahryi)^ comes from Sz’chuen, a recent discovery. The body is

    red, the head, throat, and each side of the neck a brilliant

    violet, belly yellow, wings black with the primaries tinted green

    along the edge, and the feathers long, tapering, of a black or

    steel blue.

    ‘ Journal of the North China Branch of the Eoyal Asiatic Society, May, 1S59.

    p. 289.

    MAGPIES AND PIGEONS. 335

    Tlie Mahiah, or Indian niino [Acndotheus)^ known by its

    yellow carbuncles, which extend like ears from behind the eye,

    is reared, as are also three species of Mu7iia, at Canton. Sparrows

    abound in every province around houses, driving away

    otiier birds, and entertaining the observer by their quarrels and

    activity, llobins, ouzels, and tailor-birds are not abundant.

    Xone of the humming-birds or birds of paradise occur, and

    only one species has hitherto been seen of the parrot group.

    Woodpeckers {Picus) are of a dozen species, and the wryneck

    occasionally attracts the eye of a sportsman. Tlie canary is

    reared in great numbers, being known under the names of

    ‘white swallow’ and ‘time spari-ow ;

    ‘ the chattering Java

    sparrow and tiny avedavat are also taught little tricks by their

    fanciers, in compensation for their lack of song. The two or

    three proper parrots are natives of Formosa.

    The family of pigeons {Coluvibidie) is abundantly represented

    in fourteen species, and doves form a common household

    bird ; their eggs are regarded as proper food to prevent smallpox,

    and sold in the markets, being also cooked in birdnest and

    other kinds of soups. The Chinese regard the dove as eminently

    stupid and lascivious, but gi^ant it the qualities of faithfulness,

    impartiality, and filial duty. The cock is said to send

    away its mate on the approach of rain, and let her return to the

    nest with fine weather. They have an idea that it undergoes

    periodic metamoi-phoses, but disagree as to the form it takes,

    though the sparrow-hawk has the preference.’ The bird is

    most famed, howevei-, for its filial duty, arising very probably

    from impei’fect observations of the custom of feeding its young

    with the macerated contents of its crop ; the wood pigeon is

    said to feed her seven young ones in one order in the morning,

    and reversing it in the evening. Its note tells the husbandman

    when to begin his labors, and the decorum observed in the nests

    and cotes of all the species teach men how to govern a family

    and a state. The visitor to Peking is soon attracted by the

    aeolian notes proceeding from doves which circle around their

    homes for a short time (forty or fifty or less in a flock), and

    ‘ Journal N. O. Br. R A. Soc, Vol. IV., 1867, Art. XI., by T. Walters.

    336 THE MIDDLE KINGDOM.

    then settle. These birds are cdWed j)aN -tie n l-ido-j’in^ or ‘ mid

    cky houris,’ and their weird music is caused by ingenious wooden

    whistles tied on the rumps of two or three of the Hock, which

    lead the others and delight themselves. Carrier pigeons are

    used to some extent, and training them is a special mystery.

    One of the prettiest sort is the rose pigeon, and half a dozen

    kinds of turtles enliven the village groves with their gentle

    notes and peculiar plumage.

    No tribe of birds in China, however, equals the Gallinaceous

    for its beauty, size, and novelty, furnishing some t)f the most

    elegant and graceful birds in the world, and yet none of them

    have become domesticated for food. As a connecting link between

    this tribe and the last is the sand-grouse of the desert

    {Syrrhaptis paradoxus), whose singular combination attracted

    Marco Polo’s eye. “This bird, the harg^erlae, on which the

    falcons feed,” says lie, ” is as big as a partridge, has feet like

    a parrot’s, tail like a swallow’s, and is strong in tUght.” ‘ Abbo

    Hue speaks of the immense flocks which scour the plateau.

    The gold and silver pheasants are reared without ti-ouble in

    all the provinces, and have so long been identified witli tlic

    ornithology of China as to bo regarded as typical of its grotesque

    and brilliant fauna. Among other pheasants may be

    mentioned the Impeyan, Heeves, Argus, JVIedallion, Andierst,

    riluys, and Pallas, each one vicing with the other for some

    peculiarly graceful featui’e of color and sha])e, so that it is liaid

    to decide which is the lincst. The Amherst pheasant has tlic

    bearin<r, the ele«i;ance, and the details of form like the goM

    pheasant, but the neck, shoulders, back and M’ing covers are of

    a sparkling metallic green, and each feather ends in a belt of velvet

    black. A little red crest allies it to the gold ])heasant, and a

    pretty silvery ruff M’ith a black band, a white breast and belly, and

    a tail barred with bi-own, green, Avhite, and red bands, complete

    the picturesque dress. Jlidden away in these Tibetan wilds are

    other pheasants that dispute the })alm for beauty, among which

    four species of the eared pheasant {( ‘fossoptUon) attract notice.

    One is of a pure white, with a black tail curled up and spread

    ‘ Yule’s Marco Polo, Vol. T., p. 2:57.

    vai:ii:tiks of piika.sants. 337

    out like a plume, uud is mcII called the suow pheasant. Another

    is the better knctwn Pallas pheasant, nearly as large as a

    turkey, distinguished hy eai’-like appendages or Avattles hehind

    the head, and a red neck above a white body, whence its native

    name of /lo-li, or ‘ fire hen.’ Another genus {^Lojp1ioj)horus) contains

    some elegant kinds, of Avhich the I’lluys pheasant is new,

    and noted for a coppery-green tail bespangled with white. The

    longer known Reeves pheasant is sought for by the natives for

    the sake of its white and yellow-l)arred tail feathers, which are

    used l)y play actoi’S to complete a wan-ior’s dress ; Col. Yule

    proves a reference to it in Marco Polo from this part of its

    plumage, Mhicli the Venetian states to be ten palms in length

    not far beyond the truth, as they have been seen seven feet

    long.’ It is a long time for a bird of so iiiuch beauty to have

    been unknown, from 1350 to ISOS, Avhen Mr. Thomas Beale

    procured a specimen in Canton, and sent others to England in

    1832 ; Mr. Reeves took it thither, and science has recorded it

    in her annals. As Xew Guinea is the home of the birds of

    paradise, so do the Himalayas contain most of these superb

    pheasants and francolins, each tribe serving as a foil and comparison

    with the Creator’s handiwork in the other.

    The island of Formosa has furnished a second species, Swinhoe’s

    pheasant, of the same genus as the silver pheasant {Eujploeamus),

    and another smaller kind {Phasianusfcmnosanus) ; the

    list is also increased by fresh acquisitions from Yimnan and

    Cochinchina through Dr. Anderson. This is not, liowever, the

    place where Me may indulge in details respecting all of these

    gorgeous birds ; we conclude, then, with the Medallion, or

    horned pheasant. It has a ” l)eautiful membrane of resplendent

    colors on the neck, which is displayed or conti’acted according

    as the cock is more or less roused. The hues are chiefly

    purple, with bright red and green spots, which vary in intensity

    according to the degree of excitement.’”

    The peacock, though not a native, is reared in all parts ; it

    bears the name of I’ung Utah, sometimes rendei-ed ‘ Confucius’

    ‘ Yiile’s Marco Polo, Vol. I., p. 246—where there is an admirable wood-cut of one from Wood.

    Lird,” though it is more probable that the name means the great

    or magniticeiit bird. The use of the tail feathers to designate

    official rank, which probably causes a large consumption of

    them, does not date previous to the present dynasty. Poultry

    is reared in immense quantities, but the assortment in China

    does not equal in beauty, excellence, and variety the products

    of Japanese culture. The silken cock, the vane of whose plume

    is so minutely divided as to resemble curly hair, is probably the

    same sort with that described by some w^riters as having wool

    like sheep. The Mongols succeed very well in rearing the tall,

    Shanghai breed, and their unifoi-m cold winter enables them to

    preserve frozen flesh without much difficulty. The smaller

    gallinaceous birds already described, grouse, quails, francolins,

    partridges, sand-snipe, etc., amount to a score or more species,

    ranging all over the Empire. The red partridge is sometimes

    tamed to keep as a house bird with the fowls. The Chinese

    quail {Cotarnic) has a brown back, sprinkled with black spots

    and white lines, blackish throat and chestnut breast. It is reared

    for lighting in south China, and, like its bigger Gallic rival, is

    soon eaten if it allows itself to be beaten.

    The widespread family of waders sends a few of its representatives

    from Europe to China, but most of the members are

    Oriental. The marshes and salt lakes of Mongolia attract

    enormous numbers of migratory birds in summer to rear their

    young in safety, in the midst of abundant food. Col. Prejevaleky

    watched the arrival of vast flocks early in February, and

    thus describes their appearance : ” For days together they

    sped onward, always fi-oni the W.S.AV., going further east in

    search of open water, and at last settling down among the open

    pools ; their favorite haunts were the flat nnid banks overgrown

    with low saline bushes. Here every day vast flocks would congregate

    toward evening, crowding among the ice ; the noise they

    made on rising was like a hurricane, and at a distance they resembled a thick cloud. Flocks of one, two, three, and even five thousand, followed one another in quick succession, hardly a minute apart. Tens and hundreds of thousands, even millions

    of birds appeared at Lob-nor during the fortnight ending the

    2l6t of February, when the flight was at its height. What

    FAMILY OF WADERS I]?f CHINA. 339

    prodigious quantities of food must be necessary for such numbers

    ! ” ‘ Wading and web-footed birds all harmlessly mix in

    these countless hosts, but hawks, eagles, and animals gather too,

    to prey on them.

    Among the noticeable wadei-s of China, the white Manchurian

    or Montigny crane is one of the finest and largest ; it is

    the official insigna of the highest rank of civilians. Five

    species of crane {Grus) arc recognized, and seven of plovers,

    together with as many more allied genera, including an avocet,

    bustard, and ov8ter-catclier. Curlews abound along the flat

    shores of the Gulf of Pechele, and are so tame that they race

    up and down with the naked children at low tide, hunting for

    shell-fish ; as the boy runs his arm into the ooze the curlew

    pokes his long bill up to the eyes in the same hole, each of

    them grasping a crab. Godwits and sandpipers enliven the

    coasts with their cries, and seven species of gambets {Totanus)

    give them them the largest variety of their family group, next

    to the snipes {Tr’tnga)^ of wdiich nine are recorded. Herons,

    egrets, ibis, and night-herons occur, and none of them are discarded

    for food. At Canton, a pure Nvliite egret is often exposed

    for sale in the market, standing on a shelf the livelong

    day, with its eyelids sewed together—a pitiable sight. Its

    slender, elegant shape is imitated by artists in making bronze

    candlesticks. The singular spoonbill {Platalea) is found in

    Formosa, and the jacana in southwestern China. The latter

    is described by Gould as ” distinguished not less by the grace

    of its form than its adaptation to the localities which nature

    has allotted it. Formed for traversing the morass and lotuscovered

    surface of the water, it supports itself upon the floating

    weeds and leaves by the extraordinary span of the toes,

    aided by the unusual lightness of the body.” ‘ Gallinules,

    crakes, and rails add to this list, but the flamingo has not been

    recorded.

    In the last order, sixty-five species of web-footed birds are

    enumerated by naturalists as occui-ring in China. The fenny

    ‘ From Kulja to Lob-nor, p. 116.

    ‘John Gould, Century of Birda, London, 1831-32.

    margins of lakes and rivera, and tlie seacoast niaislies, afford

    food and shelter to Hocks of water-fowl. Ten sepaiate species

    of duck are known, of which four or live ai”e peculiar. The

    whole coast fi’oin Hainan to jVIanchuiia swarms with gulls,

    terns, and grebes, while geese, swans, and mallards resort to the

    inland waters and pools to rear their young. Ducks are sometimes

    caught by persons who first cover their heads with a

    gourd pierced with holes, and then wade into the water where

    the birds are feeding ; these, previously accustomed to emptycalabashes

    floating about on the water, allow the fowler to approach,

    and ai”e pulled under without difficulty. The wild

    goose is a favorite bird with native poets. The reputation for

    conjugal fidelity has made its name and that of the mandarin

    duck emblems of that virtue, and a pair of one or the other

    usually forms part of wedding processions. The epithet mandarin

    is applied to this beautiful fowl, and also to a species of

    orange, simply because of their excellence over other varieties

    of the same genus, and not, as some writers have inferred, l)ecause

    they are appropriated to officers of government.

    The yuen-ydng, as the Chinese call this duck, is a native of

    the central provinces. It is one of the most variegated birds

    known, vieing with the humming-birds and parrots in the

    diversified tints of its plumage, if it does not equal them for

    brilliancy. The drake is the object of admiration, his partner

    being remarkably plain, but during the sunnner season he also

    loses much of his gay vesture. INFr. P>ennet tells a pleasant

    story in proof of the conjugal fidelity of these birds, the incidents

    of which occurred in Mr. Beale’s aviary at Macao. A

    drake was stolen one night, and the duck displayed the strongest

    marks of despair at her loss, retiring into a corner and refusing

    all nourishment, as if determined to starve lierself to death

    from grief. Another drake undertook to comfort the disconsolate

    widow, but she declined his attentions, and was fast becoming

    a martyr to her attachment, when her mate was recovered

    and restored to her. Their nnmioii was celebrated by

    the noisiest demonstrations of joy, and the duck soon infoi-med

    her lord of the gallant ])i-o]iosals made to her during his absence

    ; in high dudgeon, he instantly attacked the luckless bird

    BEale’s aviary. 341

    which would have snp})hintc(l him, and so maltreated liim as to

    cause his death.

    The aviary here mentioned was for many j’ears, up to 1838,

    one of the principal attractions of Macao. Its owner, Mr

    Thomas Beale, had erected a wire cage on one side of his house,

    having two apartments, each of them about fifty feet high, and

    containing several large trees ; small cages and roosts were

    placed on the side of the liouso under shelter, and in one corner

    a pool afforded bathing conveniences to the water-fowl. The

    genial climate obviated the necessity of any covering, and only

    those species which would agree to live quietly together were

    allowed the free range of the two apartments. The great attraction

    of the collection was a living bird of paradise, which, at

    the period of the owner’s death, in 1840, had been in his possession

    eighteen years, and enjoyed good health at that time.

    The collection during one season contained nearly thirty specimens

    of pheasants, and besides these splendid birds, there were

    upward of one hundred and fifty others, of different sorts, some

    in cages, some on perches, and others going loose in the aviary.

    In one corner a large cat had a hole, where she reared her

    young ; her business was to guard the whole from the depredations

    of rats. A magnificent peacock from Damaun, a large

    assortment of macaw^s and cockatoos, a pair of magpies, another

    of the superb crowned pigeons {Goura coronata), one of Mdioni

    moaned itself to death on the decease of its mate, and several

    Nicobar ground pigeons, were also among the attractions of this

    curious and valuable collection.

    Four or five kinds of grebe and loon frequent the coast, of

    which the Podlcejys cristatus, called shui nu, or ^ water

    slave,’ is connnon around Macao. The same region affords

    sustenance to the pelican, which is seen standing motionless for

    hours on the rocks, or sailing on easy wing over the shallows

    in search of food. Its plumage is nearly a pure wliite, except

    the black tips of the wings ; its height is about four feet, and

    the expanse of the wings more than eight feet. The bill is

    flexible like whalel)one, and the pouch susceptible of great

    dilatation. Gulls abound on the northeast coasts, and no one

    who has seen it can forget the beautiful sight on the marshes at the entrance of the Pei ho, where myriads of white gulls assemble to feed, to ‘preen, and to quarrel or scream—the bright sun rendering their plumage like snow. The albatross, black tern, petrel, and noddy increase the list of denizens in Chinese waters, but offer nothing of particular interest.’

    There are foui* fabulous animals which are so often referred

    .y to by the Chinese as

    to demand a notice.

    The ki-lin is one of

    these, and is placed

    ‘^’i at the head of all

    hairy animals; as

    the funfj-Jiwang is

    pre-eminent among

    feathered races ; the

    dragon and tortoise

    among the scaly and

    shelly tribes ; and

    man among naked

    animals! The naked,

    hairy, feathered,

    shelly, a n d scaly

    tribes constitute the

    quinary system of

    ancient Chinese naturalists.

    The Tci-lin

    is pictured as resembling

    a stag in its

    \)^’>k\\ and a horse in its hoofs, but possessing the tail of an ox

    and a parti-colored or scaly skin. A single horn having a

    Heshy tip proceeds out of the forehead. Besides these external

    marks to identify it, the ¥i-lin exhibits great benevolence of

    The Kf-lin, or Unicorn,

    ‘ On the birds of China, see in general T^es Oiteaux de la Chine, par M.

    I’Abbo Armand David, avec un Atlas de 124 Planches dessin.’es et lith. par M.

    Arnonl. Taris, 1877. R. Rwinhoe, in the Procredmfjs of th<‘. ScknUfic Meetinf/

    s of the Zoological Sac. of London, and in 77ie Ihis, a Max/azine of General

    Ornitholodn, passim. Journ. N. C. Br. R. A. Soc, Nos. II., p. 225, and

    III., p. 287.

    THE KI-LIN AND FUNU-IIWANO. 343

    disposition toward other living animals, and appears only when

    w’ise and just kings, like Yau and Shun, or sages like Confucius,

    are born, to govern and teach mankind. The Chinese description

    presents many resemblances to the popular notices of the

    unicorn, and the independent origin of their account adds something

    to the probability that a single-horned equine or cervine

    animal has once existed.’

    Cuvier expresses the opinion that Pliny’s description of the

    The Fung-hwang, or Phcenix.

    Arabian phcenix was derived from the golden pheasant, though

    othei-s think the Egyptian plover is the original type. From his

    likening it to an eagle for size, having a yellow neck with purple,

    a blue tail varied with red feathers, and a richly feathered tufted

    head, it is more probable that the Impeyan pheasant was Pliny’s

    ‘ Chine.se Rejiository, Vol. VII., p. 213. Compare Yule’s note, Marco Polo,

    Vol. I., p. 233. Hue, Travels in Tartary, etc.. Vol. II., p. 246. Bell,

    Journey from St. Petersburgh in Russia to Ispahan in Persia., Vol. I., p. 216.

    Also Heeren, Asiatic Nations, Vol. I., p. 98, where there is a resume of

    Ctesias’ acco\int of the unicorn.

    tvpe. The Chinesefung-kivang, or phoenix, is probably based

    on the Argns pheasant. It is described as adorned with every

    color, and combines in its form and motions whatever is elegant

    and graceful, while it possesses such a benevolent disposition

    that it will not peck or injure living insects, nor tread on

    o-rowino- herbs. Like the ki-lin, it has not been seen since the

    halcyon days of Confucius, and, from the accomit given of it,

    seems to have been entii-ely fabulous. The etymology of the

    characters implies that it is the emperor of all birds. One Chinese author describes it ” as resembling a wild swan before and a unicorn behind ; it has the throat of a swallow, the bill of a cock, the neck of a snake, the tail of a fish, the forehead of a crane, the crown of a mandarin drake, the stripes of a dragon, and the vanlted back of a tortoise. The feathers have five colors, which are named after the five cardinal virtues, and it i;^ five cubits in height ; the tail is graduated like Pandean pipes, and its song resembles the music of that instrument, having five modulations.” A beautiful ornament for a lady’s headdress is sometimes made in the shape of i\\e fung-Jnrang, and somewhat resembles a similar ornament, imitating the vulture, worn by the ladies of ancient Egypt.

    The lung, or dragon, is a familiar object on articles from

    China. It furnishes a comparison among them for e\ierything

    terrible, imposing, and powerful ; and being taken as the imperial

    coat of arms, consequently imparts these ideas to his

    person and state. The type of the dragon is probably the boaconstrictor

    or sea-serpent, or otiier similar monster, though the

    researches of geology have brought to light such a near counterpart

    of the lung in the iguanadon as to tempt one to

    believe that this has been the prototype. There are three

    dragons, the lung in the sky, the U in the sea, and the hlao in

    the marshes. The first is the only authentic species, according

    to the Chinese ; it has the head of a camel, the horns of a deer,

    eyes of a rabbit, ears of a cow, neck of a snake, belly of a frog,

    scales of a carp, claws of a hawk, and palm of a tigei-. On

    each side of the mouth are whiskers, and its beard contains a

    bi’ight pearl ; the breath is sometimes changed into water and

    sometunes into fire, and its voice is like the jingling of copper

    THE LUNG, OR DRAGON. 345

    pans. The dragon of the sea occasionally ascends to heaven in

    Avater-sponts, and is the rnler of all oceanic phenomena.’ The

    dragon is worshipped and feared by Chinese fishermen, and

    their liing-wang, or ‘ drag(jn king,’ answei-s to Keptnne in western

    mythology ; perhaps the ideas of all classes toward it is a

    modified relic of the widespread serpent worship of ancient

    times. The Chinese suppose that elfs, demons, and other

    supernatural beings often transform themselves into snakes ;

    and M. Julien has translated a fairy story of this sort, called

    Blanche et Bleue. The J,-wet, or tortoise, has so few fabulous

    qualities attributed to it that it hardly comes into the list ; it

    was, according to the story, an attendant on Pwanku when he

    chiselled out the world. A semi-classical work^ the SJian-hal

    Kmg, or ‘ Memoirs upon the Mountains and Seas,’ contains

    pictures and descriptions of these and kindred monsters, from

    which the people now derive strange notions respecting them,

    the l)Ook having served to embody and fix for the whole nation

    what the writer anciently found floating about in the popular

    legends of particular localities.

    A species of alligator {A. sinensis) has been described by

    Dr. A. Fauvel in the iT. O. Br. B.A. So,-. Journal, Xo. XIII.,

    1879, in which he gives man}’ historical and other notices of its

    existence. Crocodiles are recorded as having been seen in the

    rivers of Ivwangtnng and Ivwangsi, but none of this family

    attain a large size.

    Marco Polo’s account of the huge serpent of Yunnan,” having

    two forelegs near the head, and one claw like that of a lion or

    hawk on each, and a mouth big enough to swallow a man whole,

    referring no doubt to the crocodile, is a good instance of the

    way in which truth and fable were mingled in the accounts of

    those times. The flesh is still eaten by the Anamese, as he

    says it was in his day. A gigantic salamander, analogous to

    the one found in Japan (the Sieholdia), has suggested it as the

    ‘ CJdnese Refiository, Vol. VII., p. 250. For a careful analysis of this relic

    of ancient lore, see the Nowoeau Journal Asiatiq^ie, Tome XII., pp. 232-243,

    1833 ; also Tome VIII., 3d Series, pp. 337-382, 1839, for M. Bazin’s estimata of its value.

    •^ Yule’s Marco Polo, Vol. II., p. 46.

    type of the dragon which ligures on the Chinese national flag.

    Small lizards abound in the southern parts, and the variety

    and numbers of serpents, both land and water, found in the

    maritime provinces, are hardly exceeded in any country in the

    world ; they are seldom poisonous. A species of naja is the

    only venomous sruike yet observed at Chusan, and the hooded

    cobra is one of the few yet found around Canton. Another

    species frequents the banks, and is driven out of the di’ains and

    creeks l)v high water into the houses. A case is mentioned by

    Bennet of a Chinese who was bitten, and to whose wound the

    mashed head of the reptile had been applied as a poultice, a

    mode of treatment which probably accelerated his death by

    mixing more of the poison diluted in the animars blood with

    the man’s own blood. It is, however, rare to hear of casualties

    from this source. This snake is called ‘black and M’hite,’

    from beino; marked in alternate bands of those two colors. A

    species of acrochordon, remarkable for its abrupt, short tail,

    has been noticed near Macao.

    It is considered felicitous by the Buddhist priests to harbor

    snakes around their temples ; and though the natives do not

    play with poisonous serpents like the Hindoos, they often

    handle or teach them simple tricks. The common frog is taken

    in great numbers for food. Tortoises and tui-tles from fresh

    and salt water are plenty along the coast, while both the emys

    and trionyx are kept in tubs in the streets, where they grow

    to a large size. An enormous carnivorous tortoise inhabits the

    M’aters of Chehkiansr near the ocean. The natives have strange

    ideas concerning the hairy turtle of Sz’chuen, and regard it as

    excellent medicine ; it is now known that the supposed hair

    consists of confervre, whose spores, lodged on the shell, have

    grown far beyond the animal’s body.

    The ichthyology of China is one of the richest in the world,

    though it may be so more from the greater proportion of food

    fui-nished by the waters than from any real supei’abundance of

    the finny tribes. The offal thi-own from boats near cities attracts

    some kinds to those jdaces, and gives food and employment

    to multitudes. Several large collections of fishes have

    CHTHYOLOGY OF CHINA. 347

    been made in Canton, and IMr. Reeves deposited one of the richest in the British Museum, together with a series of drawings made Ijy native artists from living specimens ; they have been described by Sir John liicliardson in the Report of the British Association for the Advancement of Science, for 1845. In this paper he enumerates one hundred and ninety genera and six hundred and seventy-one species, nearly all of which are marine

    or come out to sea at certain times. Since it was prepared

    great accessions to this branch have been made from the inland

    waters, so that probably a thousand sorts in all have been observed.

    The salmon and cod families are comparatively scarce,

    but the mackerel, goby, and herring families are very abundant.

    The variety of fish is so great in Macao, that if one is

    willino; to eat all that are brought to market, as the Chinese do

    (including the sharks, torpedoes, gudgeons, etc.), one can have

    a different species every day in the year. It may with truth

    be said that the Chinese eat nearly every living thing found in

    the water, some of the hideous fishing frogs or gurnards alone

    excepted.

    The cartilaginous fishes, sharks, rays, and saw-fish, are abundant

    on the sea-coast. The sturgeon is not common at the south,

    but in the winter it is brouo;ht fi-om the Sonsfari and other

    rivers to Peking for the imperial table, being highly prized by

    Chinese epicures. There is found in the Yangtsz”‘ a singular

    species of sturgeon, the i/iuyil, which lies under the banks in still

    water and sucks its prey into a sac-like mouth projecting like

    a cusp under the long snout ; it has no scales, and is four feet

    long. Common sturgeon, weighing a thousand pounds, are

    caught in this river. The hammer-headed and zebra shark

    {Cestracion zehra) are seen in the markets at Macao; also huge

    skates, some of them measuring five feet across ; the young of

    all these species are regarded as particularly good eating. A

    kind of torpedo {J^arcine lingula) is not uncommon on the

    southern coast, but the natives do not seem to l)e aware of any

    electrical properties. It is said that the fishermen sometimes

    destroy the shark by boiling a melon and throwing it out as a

    bait ; when swallowed, the heat kills the fish. The true cod

    has not been observed on the Chinese coast, but several species

    of serrani (as Plectrojiotna susuki, Serranus shihjjan, Megachh\etc.), generally called s/n’/i-jxtn by the natives, and garoupa bj foreigners, are common oft” C^anton, and considered to be most

    delicate fare. Anothei” fine fish is the Poh/nennis fetradactylus^

    or bjnni-carp, often called salmon by foreigners ; isinglass is

    prepared from its skin. The pomfret, or tsang yii {Stromateus

    argenteus), is a good pan-fish, bnt hardly so delicate as the sole,

    many fine species of which aboimd along the whole coast. Besides

    these, two or three species of mackerel, the Soiodna lucicla^

    an ophicephalns, the mullet, and the ‘ white rice fish ‘ occur.

    The shad is abundant oft’ the Yangtsz’, and is superior to the

    American species; Chinese epicures will sometimes pay fifty

    dollars for the first one of the season.

    The cai’p family {C’i/2>i’hiidie) is very abundant in the rivers

    and lalces of China, and some species are reared in fish-pools and

    tubs to a monstrous size ; fifty-two species are mentioned in

    Ricliardson’s list. The gold-fish is the most celebrated, and

    has been introduced into Europe, M’here it M-as first seen towai’d

    tlie end of the seventeenth century. The Chinese say that its

    Jiative place is Lake Tsau, in the province of l^ganhwui. The

    effects of domestication in changing the natm-al form of this

    fish are great ; specimens are often seen without any doi-sal fin,

    and the tail and other fins tufted and lol)ed to such a degree as

    to resemble artificial appendages or wings rather than natui-al

    organs. The eyes are developed till the globe projects beyond

    the socket like goggles, presenting an extraordinary appearance.

    Some of them are so fantastic, indeed, that tlioy would be regarded

    as Insns nature M^ere they not so connnon. The usual

    color is a I’uddy golden hue, but both sexes exhibit a silvery or

    blackish tint at certain stages of their growth ; and one variety,

    called the silver-fish, retains this shade all its life. The Chinese

    keep it in their garden ponds, or in earthern jai-s, in which

    are placed rocks covered with moss, and overgi-own w\x\\ tufts

    of ferns, to afford them a retreat fi-om the light. Vriien the

    females spawn, the eggs must be removed to a shallow vessel,

    lest the males devour them, where the heat of the sun hatches

    them ; the young are nearly black, but gradually become whitish

    or i-eddish, and at last assume a golden or silvery hue.

    Specimens upward of two feet long have been uoticed, and

    METHODS OF REARIN^G FISH. 349

    those wlio rear tlieni emulate each other in producing new

    varieties.

    The rearing of lisli is an important pursuit, the spawn being

    collected with the greatest care and placed in favorable positions

    for hatching. The Bulletin Universel for 1829 asserts

    that in some part of China the spawn so taken is carefullv

    placed in an empty egg-shell and the hole closed ; the cirg is

    then replaced in the nest, and, after the hen has sat a few davs

    upon it, reopened, and the spawn placed in vessels of water

    warmed bj the sun, wdiei-e it soon hatclies.

    The innnense fleets of fishing boats on the Yangtsz’ and its

    tributaries indicate the finny supplies its waters afford. A species

    of pipe-fish [Fistula/’ia iminaculata\ of a red color, and

    the gar-pike, with green bones, are found about Canton ; as are

    also numerous beautiful parrot-fish and sun-fish {Chwtodon).

    An ingenious mode of taking its prey is practised by a sort of

    chsetodon, or chelmon ; it darts a drop of water at the flies or

    other insects lighting on the bank near the edge, in such a

    manner as to knock them off, when they are devoured. All

    the species of ophieephalus, or mruj yi’i., so I’emarkable for their

    tenacity of life, are reared in tanks and pools, and are hawked

    alive through the streets.

    Eels, mullets, alewives or file-fish, breams, gudgeons, and

    many other kinds, are seen in the nuirkets. Few things eateix

    by the Chinese look more repulsive than the gobies as they lie

    wriggliTig in the slime which keeps them alive; one species

    {Try])auchen vcujina)^ called chu 2>’Ji yu, or ‘vermilion pencilfish,’

    is a cylindrical fish, six or eight inches long, of a dark red

    color ; its eyes protrude so that it can see behind, like a girafle.

    Some kinds of gobies construct little liillocks in the ooze, with

    a depression on the top, in which their spawn is hatched by tlu;

    sun ; at low tide they skip about on the banks like young frogs,

    and are easily captured with the hand. A delicious species oi

    Saurus {Leiicosoma Chinensis), called pihfan yil, or ‘ white rice

    fish,’ and yin yil, or silver-fish, ranges from Hakodate to Canton.

    It is six or eight inches long, the body scaleless and transparent,

    so that the muscles, intestines, and spinal column can

    be seen without dissection ; the bones of the head are thin, flexible, and diaphanoiis. Many species of file-fish, sole-fish, an^ cliovy, and eels, are captured on the coast. Vast quantities of

    dried fish, like the stock fish in Sweden, are sent inland to sell

    in resrions where fish are rare. The most common sorts are the

    perch, sun fish, gurnard, and hair-tail {Trlchlnrus).

    Shell-fish and mollusks, both fresh and salt, are abundant in

    the market. Oysters of a good quality are common along the

    coast, and a species of mactra, or sand-clam, is fished up near

    Macao. The Pearl River affords two or three kinds of freshwater

    shell-fish {Mytilus), and snails ( Voluta) are plenty in all

    pools. The crangons, prawns, shrimps, crabs, and other kinds

    of Crustacea met with, are not less abundant than palatable;

    one species of craw-fish, as large as (but not taking the place of)

    the lobster, called Ian// hat, or ‘ dragon crab,’ together with

    cuttle-fish of three or four kinds, and the king-crab {Poly])]ietnus),

    are all eaten. The inland w^aters produce many species

    of shells, and the new genus theliderma, allied to the unio,

    was formed by Mr. Benson, of Calcutta, from specimens obtained

    of a shopkeeper at Canton. The land shells are abundant,

    especiall}’ various kinds of snails {IIcll,i; Liftiiiwa, etc.) ;

    twenty two species of helix alone were contained in a small

    collection sent from Peking, in which region all this kind of

    food is well known. A catalogue of nearly sixty shells obtained

    in Canton is given in Murray’s China,’ but it. is doubtful

    whether even half of them are found in the country, as the

    shops there are supplied in a great degree from the Archipelago.

    Dr. Cantor”” mentions eighty-eight genera of shells occurring

    between Canton and Chusan. Pearls are found in China, and

    Marco Polo speaks of a salt lake, supposed now to be in Yunnan,

    which produced them in such quantity that the fishery in

    his day was farmed out and restricted lest they should become

    too cheap and common. In Chehkiang the natives take a largo

    kind of clam {Alasmodonta) and gently attach leaden images

    ‘ Vol. TIL, p. 445.

    ” Conspectus of collections made by Dr. Cantor, CMnefte Ttepository, Vol. X.,

    p. 434. General features of Cliusan, with remarks on the Fh)ra and Fauna of that Island, by T. E. Cantor, Aimal. Nai. Hist., Vol. IX. (1H42), pp. 205, 3()1

    and 481. Juuriial Ah. Soc. of Bengal, Vol. XXIV., 1855.

    SHELL-FISII AND INSECTS OF CHINA. 351

    of Buddha under tlie flsli, after wliieli it is thrown back into

    the water. Xacre is deposited over the lead, and after a few

    months the shells are retaken, cleaned, and then sent abroad to

    sell as proofs of the power and presence of Buddha. The

    Quarterly lieview speaks of a mode })ractised by the Chinese

    of making pearls by dropping a string of small mother-of-pearl

    beads into the shell, which in a year ai’e covered wdth the

    pearly crust. Leeches are much used by native physicians;

    the hammer-headed leech has been noticed at Chusan.

    The insects of China are almost unknown to the naturalist.

    In Dr. Cantor’s collection, from Chusan, there are fifty-nine

    genera mentioned, among which tropical forms prevail ; there

    are also six genera of arachnida^, and the list of spiders could

    easily be nudtipliod to hundreds ; among them are many showing

    most splendid coloring. One large and strong species is

    affirmed to capture small birds on the trees. Locusts sometimes

    commit extensive ravages, and no part of the land is free

    from their presence, though their depredations do not usually

    reach over a great extent of country, or often for two successive

    years. They are, however, sufficiently troiildesome to attract

    the notice of the government, as the edict against them, inserted

    in another chapter, proves. Centipedes, scorpions, and some other species in the same order are known, the former being most abundant in the central and western regions, where scorpions are rare.

    The most valuable insect is the silkworm, which i.; reared in

    nearly every province, and the silk from otlier wild M’orms

    found on the oak and ailantus in Shantung, Sz’chuen, and elsewhere

    also gathered ; the proper silkworm itself has been met

    with to some extent in northern Shansi and Mongolia. Many

    other insects of the same order {Lepidoj)ter(e) exist, but those

    sent abroad have been mostly from the province of Kwangtung.

    Eastward of the city of Canton, on a range of hills

    called Lofau shan, large butterflies and night moths of immense

    size and brilliant coloring are captured. One of these

    mQGcis, {Bornhyx atlas) \\\e2i&\\ve& about nine inches across ; the

    ground color is a rich and varied orange brown, and in the centre

    of each wing there is a triangular transparent spot, resembling a piece of mica. Sphinxes of great beauty and size are common, and in their splendid coloring, rapid noiseless flight from flower to flower, at the close of the day, remind one of the lunnming-bird. Sonje families are more abundant than others ; the coleopterous exceed the lepidopterous, and the range of particular tribes in each of these is often very limited. The humid regions of Sz’chuen furnished a great harvest of beautiful butterflies to M, David, while the lamellicorn beetles and cerambycidae are the most common in the north and central parts.

    Many tribes of coleopterous insects are abundant, but the

    number of species yet identified is trifling. Several water

    beetles, and others included under the same general designation,

    have been found in collections sold at Canton, but owing to the

    careless manner in wliich those boxes are filled, very few specimens

    are perfect, the antenna3 or tarsi being broken. The molecricket

    occurs everywhere. The common cricket is caught and

    sold in the markets for gambling ; persons of all ranks amuse

    themselves by irritating two of these insects in a bowl, and betting

    upon the prowess of their favorites. The cicada, or broad

    locust, is abundant, and its stridulous sound is heard from trees

    and groves with deafening loudness. Boys tie a straw around

    the abdomen of the male, so as to irritate the sounding apparatus,

    and carry it through the streets in this predicament, to

    the great annoyance of every one. This insect was well known

    to the Greeks ; the ancient distich

    ” Happy the cicadas’ lives,

    For they all have voiceless wives,”

    hints at their knowledge of this sexual difference, as well as intimates

    their opinion of domestic quiet. Again it forms the

    subject of Meleager’s invocation :

    •’ shrill-voiced insect ! that with dew-drops meet,

    Inehriate, dost in desert woodlands sing ;

    Perch’d on the spray top with indented feet,

    Thy dusky body’s echoings harp-like ring.”

    COLEOPTEM^ AND THE WAX \VOK>t. 358

    The lantern-fly {Fulgm’o) is less common than the cicada. It is easily recognized by its long cylindrical snout, arched in an upward direction, its greenish reticulated elytra, and orange-yellow wings with black extremities ; but its appearance in the evening is far from being as luminous as are the fire-Hy and glow-worm of South America. The Peh lah ahu, or ‘ white wax tree’ {Fraxinus chinensis), affords nourishment to an insect of this order

    called Coccus pela. The larvae alone furnish the wax, the secretion

    being the result of disease. Sir Geo. L. Staunton first

    described the tly from specimens seen in Annam in 1795, where

    the natives collected a white powder from the bark of the

    tree on which it occurs. Daniel Ilanbury figured the insect

    and tree with the deposit of crude wax on the limbs, all obtained

    in Chekhiang province.’ Baron Richthofen speaks of

    this industry in Sz’chuen as one furnishing employment to

    great multitudes. The department of Kia-ting furnishes the

    best wax, as its climate is warmer than Chingtu. The eggs of

    the insect are gathered in Kien-chang and King-yuen, where

    the tree flourishes on which it deposits them, and its culture is

    carefully attended to. The insect lives and breeds on this evergreen,

    and in April the eggs are collected and carried up to

    Kia-ting by porters. This journey is mostly performed by

    night so as to avoid the risk of hatching their loads ; 300 eggs

    weigh one tael. They are instantly placed on the same kind of

    tree, six or seven balls of eggs done up in palm-leaf bags and

    hung on the twigs. In a few days the larvae begin to spread

    over the branches, but do not touch the leaves ; the bark soon

    becomes incrusted with a white powder, and is not disturbed

    till August. The loaded branches are then cut off and boiled,

    when the wax collects on the surface of the water, is skimmed

    off, and melted again to be poured into pans for sale. A tael’s

    weight of eggs will produce two or three catties of the translucent,

    highly crystalline wax ; it sells thei-e for five mace a tael and

    upward. The annual income is reckoned at Tls. 2,000,000.’

    The purposes to which this singular product are applied include

    all those of beeswax. Pills are ingeniously enclosed in small

    ‘ Hanbury’s notes on Chinese Materia Medica, 1862 ; Pharmaceutical

    Journal, Feb., 1802.

    ^ Baron Ricbthofen’s Letters, No. VII. , to Shanghai Chamber of Commerce, May, 187e, p. r)2.

    globes of it, and onndles of every size made. “Wax is also gatli

    ered from wild and domestic bees, but honey is not miicli used ;

    a casing of wax, colored with vermilion, is nsed to inclose the

    tallow of great painted candles set before the idols and tablets.

    The Chinese Ilerhal contains a singular notion, prevalent

    also in India, concerning the generation of the sphex, or solitary

    wasp. When the female lays her eggs in the clayey nidus

    she makes in houses, she encloses the dead body of a caterpillar

    in it for the subsistence of the worms when they hatch. Those

    who observed her entombing the caterpillar did not look for

    the eggs, and immediately concluded that the sphex took the

    wo)-m for her progeny, and say that as she plastered up the

    liole of the nest, she hinnmed a constant song over it, saying,

    ^^ Class ‘ii’ith nnc ! (Jhixs tiufji, me ! ‘”—and the transformation

    gradually took place, and was perfected in its silent grave by

    the next spring, when a winged wasp emerged to continue its

    posterity in the same mystei’ious way.’

    White ants are troublesome in the warmer parts, and annoy

    the people there by eating up tlie coffins in the graves. They

    form passages under ground, and penetrate upward into the

    woodwork of houses, and the w’hole building may become infested

    M’ith them almost before their existence is suspected.

    They will even eat their way into fruit trees, cabbages, and

    other plants, destroying them while in full vigor. Many of the

    internal arrangements of the nests of bees and ants, and their

    peculiar instincts, have been described by Chinese writers with

    considerable accuracy. The composition of the characters for

    the bee, ant, and mosquito, respectively, denote the atcl insect,

    the 7’l(jhteous insect, and the lettered insect ; referring thereby

    to the sting of the first, the orderly working and subordination

    of the second, and the letter-like markings on the wings of

    the latter. Mosquitoes are plenty, and gauze curtains are considered

    to be a more necessary part of bed furniture than a

    mattress.

    The botany of China is rather better known than its zoology,

    ‘ Darwin, NaturalisVs Voyage, p. 35, notices a similar habit of the spliex in

    tlie vicinity of Rio Janeiro. The insect partially kills the spider or caterpillar

    by stinging, when they are stored in a rotting state with her eggs.

    RESEARCHES IN THE BOTANY OF CHINA. 355

    though vast and unexplored fields, like that reaching from Canton

    to Silhet and Assam, still invite the diligent collector to

    gather, examine, and make known their treasures. One of the

    earliest authors in this branch was Pere Loureiro, a Portuguese

    for thirty-six years missionary in Cochinchina, and professor of

    mathematics and physic in the royal palace. He gathered a

    large herbarium there and in southern Kwangtung, and published

    his Flora Coehinehinensis in 1790, in which he described

    one hundred and eighty-four genera and more than three hundred

    new species. The only other work specially devoted to

    Chinese botany is Bentham’s Flora JTongJcongensis, published

    in 18G1. The materials for it were collected by Drs. Hinds,

    Ilance and Ilarland, Col. Champion, and others, during the

    previous twenty years, and amounted in all to upward of five

    thousand specimens, gathered exclusively on the island. Since

    its publication, Dr. Hance has added to our accurate knowledge

    of the Chinese flora many new specimens growing in other

    parts of the Empire, whose descriptions are scattered through

    various publications. Pere David, during his extensive travels

    in northern China, gathered thousands of specimens which have

    yet to be carefully described. The Pussian naturalists Maximowitch,

    Bunge, Tatarinov, Bretschneider, Prejevalsky, and

    others liave largely increased our knowledge of the plants of

    Mongolia, the Amur basin, and the region about Pekhig. The

    first named has issued a separate work on the Amur flora, but

    most of the papers of these scientists are to be found in periodicals.

    In very early days, China was celebrated for the camphor,

    varnish, tallow, oil, tea, cassia, dyes, etc., obtained from

    its plants ; and the later monographs of professed botanists,

    issued since Linneus looked over the two hundred and sixtyfour

    species brought by his pupil Osbeck in 1750, down to the

    present day, have altogether given immense assistance to a

    thorough understanding of their nature and value.

    Mr. Bentham’s observations on the range of the plants collected

    in the island of Hongkong represent its flora, in general

    character, as most like that of tropical Asia, of which it offers,

    in numerous instances, the northern limit. The damp, M’ooded

    ravines on the north and west furnish plants closely allied to those of Assam and Sikkiiii ; while other species, in considerable numbers, have a much more tropical character, extending with little variation over the x\rchipelago, Malaysia, Ceylon, and even to tropical Africa, but not into India. Within two degrees north of the island these tropical features (so far as is

    known) almost entireW cease, and out of the one thousand and

    fifty-six species described in the Flora Ifongl’ongensis, only

    about eighty have been found in Japan ; thus indicating that

    very few of the plants known to range across from the Himalaya

    to Japan grow south of Amoy. On the twenty-nine

    square miles foi-ming the area of Hongkong there exists, Mr.

    ]3entham says, a greater number of monotypic genera than in

    any other flora from an equal area in the world ; he gives a

    comparative table of the floras of Hongkong, Aden and Ischia

    islands, about equal in extent, showing one thousand and three

    species growing on the first, ninety-five on the second, and

    seven hundred and ninety-two on the third. Tlie proportion

    of woody to herbaceous species in Hongkong is nearly one-half,

    while in Ischia it is one to eleven ; yet Hongkong has actually

    fewer trees than Ischia. Out of tlie one thousand and three

    species of wild plants there, three hundred and ninety-eight

    also occur in the tropical Asiatic flora, while one hundred and

    eighty-seven others have been found as well on the mainland; one hundred and fifty-nine are peculiar to the island.

    Many species of coniferae are floated down to Canton, taken

    from the Mei ling, or brought from Kwangsi ; the timber is

    used for fuel, but more for rafters and pillars in buildings.

    The wood of the pride of India is employed for cabinet work ;

    there are also many kinds of fancy wood, some of which are

    imported, and more are indigenous. The nan muh, or southern

    wood, a magnificent species of laurus common in Sz’chuen,

    which resists time and insects, is peculiarly valuable, and reserved

    for imperial use. The cc«salpinia, rose wood, aigle

    wood, and the camphor, elm, willow, and aspen, are also

    serviceable in carpentry.

    The people collect seaweed to a great extent, using it in the

    arts and also for food ; among these the Gi<jartina tenax affords

    an excellent material for glues and varnishes. It is boiled, and

    CONIFERyE AND GRASSES. 357

    the transparent glne obtained is brushed upon very coarse silk or

    mulberry paper, filling up their substance, and making a transparent

    covering for lanterns ; it is also used as a size for stiffening

    silks and gauze. This and other kinds of fuel are boiled to a

    jelly and used for food ; it is known in commerce under the name

    of agar-agar. The thick fronds of the laminaria are gathered on

    the northern coasts and imported from Japan. Among other

    cryptogams, the Tartarian lamb {Aspldiian haromefz), so

    graphically described by Darwin in his Botania Garden, has

    long been celebrated ; it is partly an artificial production of the

    ingenuity of Chinese gardeners taking advantage of the natural

    habits of the plant to form it into a shape resembling a sheep or

    other object.

    Among i-emarkable grasses the zak or saxaul {Ilaloxylon) and

    the sulhJr {Agr’tojdnjllu.m), which grow in the sandy parts of

    the desert of Gobi, should he mentioned. The first is found

    across the whole length of this arid region, growing on the bare

    sand, furnishing to the traveller a dry and ready fuel in its brittle

    twigs, while his camels greedily browse on its leafless but

    juicy and prickly branches. The Mongols pitch their tents bebeath

    its shelter, seeking for some covert from the wintry

    winds, and encouraged to dig at its roots for water which has

    been detained by their succulent nature, a wonderful provision

    furnished by God in the bleakest desert. The sulh’ir is even

    more important, and is the ” gift of the desert.” It grows on

    bare sand, is about two feet high, a prickly saline plant, producing

    many seeds in September, of a nutritious, agreeable

    nature, food for man and beast.

    The list of gramineous plants cultivated for food is large; the common sorts include rice, wheat, barley, oats, maize, sugarcane,

    panic, sorghum, spiked and panicled millet, of each kind

    several varieties. The grass {Phragmites) raised along the

    river banks is carefully cut and dried, to be woven into floormatting

    ; a coarser sort, called ataj), is made of bamboo splints

    for roofs of huts, awnings, and sheds. In the milder climes of

    the southern coasts, cheap houses are constructed of these

    materials. The coarse grass and shrubbery on the hills is cut

    in the autumn for fuel by the poor ; and when the hills are well slieared of their grassy covering, the stubble is set on lire, in order to supply ashes for manuring the next crop—an operation which tends to keep the hills ])are of all shrubbery and trees.

    Few persons mIio have not seen the bainlxio growing in its

    native climes get a full idea from pictures of its grace and

    beauty. A clump of this magnificent grass will gradually develop

    by new shoots into a grove, if care be taken to cut down

    the older stems as they reach full maturity, and not let them

    flower and go to seed ; for as soon as they have perfected the

    seed, they die down to the root, like other grasses. The stalks

    usually attain the height of fifty feet, and in the Indian islands

    often reach seventy feet and upward, with a diameter of ten or

    twelve inches at the bottom. A road lined with them, with

    their feathery sprays meeting overhead, presents one of the most

    beautiful avenues possible to a warm climate.

    In China the industry and skill of the people have multiplied

    and pei-petuated a number of varieties (one author contents

    himself with describing sixty of them), among M’liich are the

    yellow, the black, the green, the slender sort for pipes, and a

    slenderer one for writing-pencils, the big-leaved, etc. Its uses

    are so various that it is not easy to enumerate them all. The

    shoots come out of the ground nearly full-sized, four to six

    inches in diameter, and are cut like asparagus to eat as a pickle

    or a comfit, or by boiling or stewing. Sedentary Buddhist

    priests raise this lenten fare for themselves or to sell, and extract

    the tabasheer from the joints of the old culms, to sell as a

    precious medicine for almost anything which ails you. The

    roots are carved into fantastic and ingenious images and stands,

    or divided into egg-shaped divining-blocks to ascertain the will

    of the gods, or trinnned into lantern handles, canes, and umbrella-

    sticks.

    The tapering culms are used for all pui’poses that poles can

    be applied to in carrying, propelling, suj)])orting, and measuring,

    for which thcii- light, elastic, tubular sti-uctni-e, guarded by

    a coating of silicious skin, and strengthened by a thick septum

    at each joint, most admii-ably fits them. The pillars and props

    of houses, the framework of awnings, the ribs of mat-sails, and

    THE BAMBOO—ITS BEAUTY AND USEFULNESS. 359

    tlie shafts of rakes are each fnrnislied bj these cuhns. So,

    also, are fences and all kinds of frames, coops, and cages, the

    wattles of abatis, and the ribs of uuibi-eHas and fans. The

    leaves are sewed into rain-cloaks for farmers and sailors, and

    thatches for covering their huts and boats, pinned into linings

    for tea-boxes, plaited into immense um])rellas to screen the

    huckster and his stall from the sun and rain, or into coverings

    for theatres and sheds. Even the whole lot where a two-storj

    house is building is usually covered in by a framework of bamboo-

    poles and (?/%;—as this leaf covering is called, from its

    Malay name—all tied together by rattan, and protecting the

    workmen and theii” work from sun and rain.

    The wood, cut into splints of proper sizes and forms, is woven

    into baskets of every shape and fancy, sewed into window-curtains

    and door-screens, plaited into awnings and coverings for

    tea-chests or sugar-cones, and twisted into cables. The shavings

    and curled threads aid softer things in. stuffing pillows ; while

    other parts supply the bed for sleeping, the chopsticks for eating,

    the pipe for smoking, and the broom for sweeping. The

    mattress to lie upon, the chair to sit upon, the table to eat on,

    the food to eat, and the fuel, to cook it with, are also derivable

    from bamboo. The master makes his ferule from it, the carpenter

    his foot-measure, the farmer his water-pipes, irrigating

    wheels, and straw-rakes, the grocer his gill and phit cups, and

    the mandarin his dreaded instrument of punishment. This last

    use is so common that the name of the plant itself has come in

    our language to denote this application, and the poor wretch

    who is hamhooed for his crimes is thus taught that laws cannot

    be violated with impunity.

    The paper to write on, the book to study fi’om, the pencil to

    write with, the cup to hold the pencils, and the covering of the

    lattice-window instead of glass are all indebted to this grass in

    their manufacture. The shaft of the soldier’s spear, and oftentimes

    the spear altogether, the plectrum for playing the lute,

    the reed in the native organ, the skewer to fasten the hair, the

    undershirt to protect the body, the hat to screen the head, the

    bucket to draw the water, and the easy-chair to lounge on,

    besides cages for birds, fish, bees, grasshoppers, shrimps, and

    360 THE MIDDLE KINGDOM.

    cockroaches, crab-nets, fishing-poles, sumpitans oi* sliooting

    tubes, fintes, fifes, fire-holders, etc., etc., are among the thingti

    furnished from this plant, whose beauty when growing is commensurate

    to its usefulness when cut down. A score or two of

    bamboo- poles for joists and rafters, fifty fathoms of rattan ropes,

    with plenty of palm-leaves and bamboo-matting for roof and

    sides, supply material for a common dwelling in the south of

    China. Its cost is about five dollars. Those houses built over

    creeks, or along the low banks of rivers and sea-beaches, are

    elevated a few feet, and their floors are neatly made of split

    bamboos, which allow the water to be seen through. The

    decks, masts, yards, and framework of the mat-sails of the small

    boats of the islanders in the Archipelago are all more or les.’i

    made of this useful plant. Throughout the south of Asia it

    enters into the daily life of the people in their domestic economy

    more than anything else, or than any other one thing does in

    any part of the world. The Japanese supply us with fans

    neatly formed, ribs and liandle, from a single branch of bamboo,

    and covered with paper made from mulberry bark, while their

    skill is shown also in the exquisite covering of fine bamboo

    threads woven around cups and saijcers.’

    In ancient times the date palm was cultivated in China, but

    is now unknown. The cocoanut flourishes in Hainan and the

    adjacent coasts, where its fruit, leaves, and timber are much

    used. A great variety of utensils are carved from the nut-case,

    and ropes spun from the coir, while the cultivators drink the

    toddy made from the juice. The fan palm {Ch(Hiucroj)s) is the

    comlnon palm of the country, two species being cultivated for

    the wiry fibres in the leaf-sheaths, and fur their broad leaves.

    This fibre is far more useful than that from cocoanut husks, as

    it is longer and smoother, and is woven into ropes, mats, cloaks,

    and brushes. The tree is spread over the greater part of the

    provinces, one of their most ornamental and useful trees. Another

    sort {Canjotd) also furnishes a fibre employed in the same

    way, but its timber is more valuable ; sedan thills are made of

    its wood. Still another is the tali}>ot \rA\\\\ (ItoraxKits), from.

    ‘ Compare Yule’s Marm Polo, Vol. I., p. 271 •, A. 11. Wallace. 2’he Malay

    Archipelago, pp. 87-91, American Ed.

    PALMS, YAMS, PLANTAINS, ETC. 861

    whose leaves a material fur writing books upon was once produced,

    as is the case now in Siam.’

    Several species of Aroideae are cultivated, among which the

    Caladluiii cuculaturn, Arum esculentuvi, and Indicurii are

    common. The tuberous farinaceous roots of the Sagittaria

    srueihslfi are esteemed ; the roots of these plants, and of the

    water-chestnut, are manufactured into a powdoi- resemblingarrow-

    root. The sweet Hag {Calanitm) is used in medicine for

    its spic\’ warmth. The stems of a species of Juncus are collected

    and the pith carefully taken out and dried for the wicks

    of water lamps, and the inner layers of the pith hats so generally

    worn in southern China.

    The extensive group of lillies contains many splendid ornaments

    of the conservatory and garden, natives of China ; some

    are articles of food. The Agcqxinthus, or blue African lily, four

    species of IlemerocaUis, or day lily, and the fragrant tuberose,

    are all common about Canton ; the latter is widely cultivated

    for its blossoms to scent fancy teas. Eight or ten species of

    Lilium (among which the speckled tiger lily and the unsullied

    white are conspicuous) also add their gay beauties to the gardens

    ; while the modest Commelina, with its delicate blue blossoms,

    ornaments the hedges and walks. Many alliaceous plants,

    the onion, cives, garlic, etc., belong to this group ; and the Chinese

    relish them for the table as nmcli as they admire the

    flowers of their beauteous and fi-agrant congeners for bouquets.

    The singular red-leaved iron-wood {Draccena) forms a common

    ornament of gardens.

    The yam, or t((-s/tu (i.e., ‘great tuber’), is not much raised,

    though its wholesome qualities as an article of food are well

    understood. The same group {3Iusalei^) to which tlie yam

    belongs furnishes the custard-apple, one of the few fruits which

    have been introduced from abroad. The Amaryllidse are represented

    by many pretty species of Crinum, Xerine, and Amaryllis.

    Their unprotitable beauty is compensated by the plain but

    useful plantain, said to stand before the potato and sago pahn

    as producing the greatest amount of wholesome food, in propor-

    ‘See also in Nates and Queries on 0. and J., Vol. IIL, pp. 115, 139, 13^

    147, 150, 170.

    362 tup: middle kixgdom.

    tion to its size, of any cultivated plant.’ There are many varieties

    of this fruit, some of them so acid as to require cooking

    hefore eating.

    That pleasant stomachic, ginger, is cultivated through all the

    country, and exposed for sale as a ereen vegetable, to spice

    dishes, and largely made into a preserve. The Alpinia and

    Canna, or Indian shot, are common garden flowers. The large

    group of OrchideiB has nineteen genera known to be natives of

    China, among which the air plants ( Vanda and jErides) are great

    favorites. They are suspended in baskets under the trees, and

    continue to unfold their blossoms in gradual succession for manv

    weeks, all the care necessary being to sprinkle them daily. The

    true species of brides are among the most beautiful productions

    of the vegetable world, their flowers being arrayed in long racemes

    of delicate colors and delicious fragrance. The beautiful Bletia,

    Arundina, Spathoglottis, and Cymbidium are common in damp

    and elevated places about the islands near Macao and Hongkong.

    Many species of the pine, cypress, and yew, forming the

    three subdivisions of cone-bearing plant?, furnish a 1 a I’ge proportion

    of the timber and fuel. The larch is not rare, and the

    Pinus tndssoniana and Cunninghamia furnish most of the

    common pine timber. The finest member of this order in

    China is the white pine {Pinus htDujtami), peculiar to Chihli

    ;

    its trunk is a clear white, and as it annually sheds the bark it

    always looks as if whitewashed. Some specimens near Peking

    are said to be a thousand years old. Two members of the

    genus Sequoia, of a moderate size, occur near Tibet. The juniper

    and thuja are often selected by gardeners to try their skill

    in forcing them to grow into rude representations of birds and

    animals, the price of these curiosities being proportioned to

    their grotesqueness and difiiculty. The nuts of the maiden-hair

    tree {Saliffhu/’ia adiatdifolia) are eaten, and the leaves are

    sometimes put into books as a preservative against insects.

    The willow is a favorite plant and grows to a great size,

    Staunton mentioning some which were fifteen feet in girth ;

    ‘ From calculations of Humboldt It was estimated that the productiveness

    of this plant as compared with wheat is as 133 to 1, and as against potatoes, 44

    to 1.

    FOKEST TREES, HEMP, ETC. 363

    they shade the roads near the capital, and one of them is the

    true Babylonian ^\ illow ; the trees are grown for timber and for

    burning into charcoal. Their leaves, shape, and habits afford

    many metaphors to poets and Avriters, much more use being

    made of the tree in tliis way. it miglit almost be said, than any

    other. The oak is less patronized by fine writers, but the value

    of its wood and bark is well understood ; the country affords

    several species, one of which, the chestnut oak, is cultivated for

    tlie cupules, to be used in dyeing. The galls are used for dyeing

    and in medicine, and the acorns of some kinds are ground in

    mills, and the iiour soaked in water and made into a farinaceous

    paste. Some of the missionaries speak of oaks a hundred feet

    high, but such giants in this family are rare. ” One of the

    lai’gest and most interesting of these trees, which,’”‘ writes Abel,

    ” I have called Quercus derhsifolia, resembled a laurel in its

    sliming green foliage. It bore branches and leaves in a thick

    head, crowning a naked and straight stem ; its fi-uit grew along upright

    spikes terminating the branches. Another species, growing

    to the height of fifty feet, bore them in long, pendulous spikes.”

    The chestnut, walnut, and hazelnut together furnish a large

    supply of food. The queer-shaped ovens fashioned in imitation

    of a raging lion, in which chestnuts are roasted in tlie streets of

    Peking, attract the eye of the visitoi”. The Jack-fruit {Artocarj>

    us) is not uidvnown in Canton, but it is not much used. Thei’e

    are many species of the banian, but none of them produce fruit

    worth plucking ; the Portuguese have introduced the connnon

    fig, but it does not flourish. The bastard banian is a magnificent

    shade tree, its branches sometimes overspreading an area a

    hundred or more feet across. The walls of cities and dwellings

    are soon covered with the Ficus rej>en.s, and if left unmolested

    its roots gradually demolish them. The paper mulberry

    {Broussonetia) is largely cultivated in the northern provinces,

    and serves the poor with their chief material for windows.

    The leaf of the common nmlberry is the pi-incipal object of its

    culture, but the fruit is eaten and the wood burned for lampblack

    to make India-ink.

    Hemp {Cannahis) is cultivated for its fibres, and the seeds

    furnish an oil used for household purposes and medicinal prep364

    THE MIDDLE KINGDOM.

    arations ; the intoxicating substance called hang, made in India,

    is unknown in China. The family Proteaceae’ contains the

    Eleococca cvrdata, or wu-ttnuj, a favorite tree of the Chinese for

    its beauty, the hard wood it furnishes, and the oil extracted

    from its seeds. The Stillingia belongs to the same family ; this

    symmetrical tree is a native of all the eastern provinces, where

    it is raised for its tallow ; it resembles the aspen in the form

    and color of the leaf and in its general contour. The castor-oil

    is cultivated as a hedge plant, and the seeds are used both in

    the kitchen and apothecai’ies’ ^\\o\>.

    The order Ilippuriuie furnishes the water caltrops {Trwpa),

    the seeds of which are vended in the streets as a fruit after

    boiling; one native name is ‘buffalo-head fruit,’ Mhicli the unopened

    nuts strikingly resemble. Black pepper is imported,

    not so much as a spice as for its infusion, to be administered in

    fevers. The betel pepper is cultivated for its leaves, which are

    chewed with the betel-nut. The pitcher plant (N’ejpenthes),

    called pig-basket plant, is not unfrequent near Canton ; the

    leaves, or ascidia, bear no small resemblance to the open baskets

    employed for carrying hogs.

    Many species of the tribe JRumicince are cultivated as esculent

    vegetables, among which maybe enumerated spinach, green

    basil, beet, amaranthus, cockscomb, broom-weed {Kochia), buckwheat,

    etc. Two species of Polygonum are laised for the blue

    dye furnished by the leaves, which is extracted, like indigo, by

    maceration. Buckwheat is prepared for food by boiling it like

    millet; one native name means ‘triangular wheat.’ The tlour

    is also employed in pastry. The cockscomb is much adniire<l

    by the Chinese, whose gardens furnish several splendid varieties.

    The rhubarb is a member of this useful tribe, and large quantities

    are l)rought from Kansuh and Koko-nor, where its habits

    have lately been observed by Prejevalsky. The root is dug by

    Chinese and Tanguts during September and October, dried in

    the shade, and ti-ansported by the Yellow River to the coast

    towns, where Europeans pay from six to ten times its rate

    among the mountain markets.’ The Chinese consider the rest

    ‘ Compare Yule’s Marco Polo, Vol. T., p. 197.

    RHUBARB, LEGUMINOS^, ETC. 365

    of tiie world dependent on them for tea and rhubarb, whose

    inhabitants are therefore forced to resort thither to procure

    means to relieve themselves of an otherwise irremediable costiveness.

    This argument was made use of by Commissioner

    Lin in 1840, when recommending certain restrictive regulations

    to be imposed upon foreign trade, because he supposed merchants

    from abroad would be compelled to purchase them at

    any price.

    The order lliclna^ or holly, furnishes several genera of

    lihamneai, whose fruits are often seen on tables. The Zizyphus

    furnishes the so called Chinese dates’ in immense quantities

    throughout the northern provinces. The fleshy peduncles

    of the llovenia are eaten ; they are connnon in the southeastern

    provinces. The leaves of the Rltaninus tlieezans are among

    the many plants collected by the poor as a make-shift for the

    true tea. The fruit called the Chinese olive, obtained from the

    Pimela, is totally diiferent from and is a poor substitute for the

    rich olive of the Mediterranean countries.”

    The Leguminos^e hold an important place in Chinese botany,

    affording many esculent vegetables and valuable products.

    Peas and beans are probably eaten more in China than any

    other country, and soy is prepared chiefly from the ISoja or

    Dolichos. One of the modes of making this condiment is to

    skin the beans and gi’ind them to flour, which is mixed with

    water and powdered gypsum, or turmeric. It is eaten as a

    jelly or curd, or in cakes, and a meal is seldom spread without

    it in some form. One genus of this tribe affords indigo, and

    from the buds and leaves of a species of Coluteaakind of green

    dye is said to be obtained. Liquorice is esteemed in medicine ;

    and the red seeds of the Ahna j^recrt/o^’/^^.s” are gathered for

    ornaments. The Poinciana and Bauhinia are cultivated for

    their flowers, and the Erythrina and Cassia are among the

    most magnificent flowering trees in the south.

    ‘ Tlie application of this name to the jujube plum by foreigners, because

    the kind cured in honey resembled Arabian dates in color, size, and taste

    when brought on the table, is a good instance of the nuinner in which errors

    arise and are perpetuated from mere carelessness.

    ‘^ Compare Dr. H. F. Hance, in Journal of Bot<iny, Vol. IX., p. 38.

    366 THE MIDDLE KINGDOM.

    The fruits are, on the whole, inferior in flavor and size to

    those of the same names at the west. Several varieties of

    pears, plums, peaches, and apricots are known ; it is probable

    that China is the native country of each of these fruits, and

    some of the varieties equal those found anywhere. Erman

    mentions an apple or haw which grows in ” long bunches and

    is round, about the size of a cherry, of a red color, and very

    sweet taste,” found in abundance near Kiahhta. There are

    numerous species of Amygdalus cultivated for their flowers

    ;

    and at new year the budding stems of the flowering almond,

    narcissus, plum, peach, and bell-flower (Enlianthus retlculatuH)

    are forced into blossom for exhibition, as indicating good luck

    the coming year. The apples and cpiinces are generally destitute

    of that flavor looked for in them elsewhere, but the lu-l’uh,

    or loquat^ is a pleasant acid spring fruit. The pomegranate is

    chiefly cultivated for its beauty as a flowering plant ; but the

    guava and Eugenia, or rose-apple, are sold in the market or

    made into jellies. The rose is a favorite among the Chinese and

    extensively cultivated ; twenty species are mentioned, together

    with many varieties, as natives of the country ; the Banks rose

    is developed and trained with great skill. The Spira?a or privet,

    myrtle, Quisqualis, Lawsonia or henna, white, purple, and red

    varieties of crape-myrtle or Lagerstrcemia, Hydrangea, the passion-

    flower, and the house-leek are also among the ornamental

    plants found in gardens. Few trees in any countiy present a

    more elegant appearance, when in full flowei”, than the Lagerstra’inias.

    The Pride of India and Chinese tamarix are also

    beautiful flowering trees. Specimens of the Cactus and Cereus,

    containing fifty or more splendid flowers in full bloom, are not

    unusual at Macao in August.

    The watermelon, cucumber, squash, tomato, brinjal or eggplant,

    and other garden vegetables are abundant ; the tallowgourd

    (Bcnincctsacerifcm) is remarkable for having its surface

    covered with a waxy exudation which sniells like rosin. The

    dried bottle-gourd {Cucnirbita lagenaria) is tied to the backs of

    children on the boats to assist them in floating if they should

    ^Travels in Siberia, Vol. II., p. 151.

    FRUIT TREES AND FLOWERING PLANTS. 367

    Tinluckily fall overboard. Tlie fniit and leaves of the papaw,

    or inuh k^va, ‘ tree melon,’ are eaten after being cooked ; tlie

    Chinese are aware of the inteneratino; property of the exhalations

    from the leaves of this tree, and make use of them sometimes

    to soften the flesh of ancient hens and cocks, by hanging

    the newly killed birds in the tree or by feeding them upon the

    fruit beforehand. The carambola {Averr/ioa) or tree gooseberry

    is nnich eaten by the Chinese, but is not relished by

    foreigners ; the tree itself is also an ornament to any pleasure

    grounds.

    Ginseng is found wild in the forests of Manchuria, where it

    is collected by detachments of soldiers detailed for this purpose ;

    these regions are regarded as imperial preserves, and the medicine

    is held as a governmental monopoly. The importation of

    the American root does not interfere to a very serious degree

    with the imperial sales, as the Chinese are fully convinced that

    their o’svn plant is far superior. Among numerous plants of

    the malvaceous and pink tribes (Dianthacece) remarkable for

    their beauty or use, the Lychnis cownata, five sorts of pink,

    the Althcea Chinensis, eight species of Hibiscus, and other

    malvaceous flowers may be mentioned ; the cotton tree {Salmalia)

    is common at Canton ; the fleshy petals are sometimes

    j^repared as food, and the silky stamens dried to stuff cushions.

    The (Tossyjnmn hevljaceniti and Pachyrrhizus affoi-d the matCv

    rials for cotton and gra«scloth ; both of them are cultivated in

    most parts of China. The latter is a twining, leguminous

    plant, cultivated fi-om remote antiquity, and still grown for its

    fibres, which are woven into linen. The petals of the Ilihiscvs

    rosa-sinensis furnish a black liquid to dye the eyebrows, and at

    Batavia they are employed to polish shoes. The fruits of the

    Hibiscus ocJira^ or okers, are prepared for the table in a vai’iety

    of ways.

    The Camellia Ja^wnica is allied to the same great tribe as

    the Hibiscus, and its elegant flowers are as much admired by

    the people of its native country as by florists abroad ; thirty or

    forty varieties are enumerated, many of them unknown out of

    China, while Chinese gardeners are likewise ignorant of a large

    proportion of those found in our conservatories. This flower is

    368 THE MIDDLE KINGDOM.

    cultivated solely for its beauty, but other species of Camellia

    are raised for their seeds, the oil expressed from them being

    serviceable for many household and mechanical purposes. From

    the fibres of a species of Waltheria, a j)lant of the same tribe, a

    fine cloth is made ; and the Pentapctes Pluxnicia^ or ‘ noon

    fiower,’ is a common ornament of gardens.

    The widely diffused tribe Ranunculiacese has many representatives,

    some of them profitable for their timber, others sought

    after for their fruit or admired for their beauty, and a few

    prized for their healing properties. There are eight species of

    Magnolia, all of them splendid flowering plants ; the bark of

    the Magnol’ui yulan is employed as a febrifuge. The seed vessels

    of the IllclunL anisatum, or star-aniseed, are gathered on

    account of their spicy warmth and fragrance. The Artabotrys

    odoratixslinuH and Unona odorata are cultivated for tlieir perfume.

    Another favorite is the iiiowtan^ or tree paiony, reared

    for its large and variegated flowers ; its name of hwa uiang, or

    ‘ king of flowers,’ indicates the estimation in which it is held.

    The skill of nativ-e gardeners has made many varieties, and

    their patience is rewarded b}’ the high prices which fine specimens

    command. Good imitations of full-grown plants in flower

    are sometimes made of pith paper. Tlie Clematis, the foxglove,

    the Berheris Chinensh^ and the magnificent lotus, all

    belong to this tribe ; the latter, one of the most celebrated

    plants in Asia, is more esteemed by the CMiinese for its edible

    roots than reverenced for its religious associations. The Adtm

    aKpci’d is sometimes collected, as is the scouring i-ush, for cleaning

    pewter vessels, for which its hispid leaves are well fitted.

    The groups which include the poppy, nnistai-d, cabbage, cress,

    and many ornamental species, form an important ])ortion of

    native agriculture. The poppy has become a connuon crop in

    all the province^, driving out the useful cereals by its greater

    value and profit. The leaves of many crucifei-ous plants are

    eaten, whether cultivated or wild ; and one kind {Lsates^ yields

    a fine blue dye in the eastern provinces ; the variety and amount

    of such food consumed by the Chinese proi)ably exceeds that

    of any other people. Another tribe, Tlutaceie, contains the

    oranges and shaddocks, and some very fragrant shrubs, as the

    ORTSTAMKNTAL PLANTS, ETC. 369

    Mnvraya ci’otk’a and jHiniculata, and tlie Aglaia odoratd ;

    while the bhiddei’-tree {Koelt’euteria) is a great attraction when

    its whole surface is brilliant with golden tlowers. The whamj^e,

    ^.^?,, yellow skin {Cvo/iJ((, j}a/uiat(f), is a common and superior

    fruit. The seeds of the Gleditschia, besides their value in cleansing,

    are worn as beads, ” because,” say the Buddhists, ” all

    demons are afraid of the wood ;” one name means ‘ preventive

    of evil.’ Two native fruits, the lic/u and liinrjan, are allied to

    the Sapindus in their affinities ; while the f’f’/i/j sku, or Liquidambar,

    and many sorts of maple, with the P’tttosj[)orum tohira^

    an ornamental shrub, may be mentioned among plants used for

    food or sought after for timber.

    Tiiese brief notices of Chinese plants may be concluded by

    mentioning some of the most ornamental not before spoken of

    ;

    but all the beautiful soi-ts are soon introduced into western

    conservatories by enterprising florists. In the extensiv^e tribe

    of Rubiacinae are several species of honeysuckle, and a fragrant

    Yiburnum resembling the snowball. The Serissa is cultivated

    around beds like the box ; the Ixora eocGinea, and other species

    of that genus, are among common garden shrubs. The seeds of

    two or three species of Artemisia are collected, dried, and reduced

    to a down, to be bui-ned as an actual cautery. The dried

    twigs are frequently woven into a rope to slowly consume ^s

    a means of driving away mosquitoes. From the Carthamxis

    tlnctoirus a fine red dye is prepared. The succory, lettuce, dandelion,

    and other cichoraceous plants, either wild or cultivated,

    furnish food ; while innumerable varieties of Chrysanthemums

    and Asters are reared for their beauty.

    The Labiatae afford many genera, some of them cultivated ;

    and the Solanaceae, or nightshades, contain the tomato, potato,

    tobacco, stramony, and several spetnes of Capsicum, or red pepper.

    It has been disputed whether tobacco is native or foreign,

    but the philological argument and historical notices prove that

    both this plant and maize were introduced -within half a century

    after the discovery of America, or about the year 1530. The

    Chinese dry the leaves and cut them into shreds for smoking ;

    the snuff is coarser and less pungent than the Scotch ; it is said

    that powdered cinnabar is sometimes mixed with it.

    Vol. I.— -4

    Among the Convolvnlaceai are many beautiful species of Ipomea,

    especially the cypress vine, or quaniodU, ti-ained about the

    houses even of the poorest. The Ijxnnea marithiia occurs, trail

    ing over the sandy beaches along the coast from Hainan to

    Chusan and Lewchew. The Convolvulus rej)tans is planted

    around the edges of pools on the confines of villages and fields,

    for the sake of its succulent leaves. The narcotic family of

    Apocynese contains the oleander and Plumeria, prized for their

    fragrance ; while the yellow milkweed {Asdejykis curamamca)

    and the Vlnea rosea, or red periwinkle, are less conspicuous,

    but not unattractive, members of the same group. The jasmine

    is a deserved favorite, its clusters of flowers being often wound

    by women in their hair, and planted in pots in their houses.

    The Ol<iafragrans, or hwei hum, is cultivated for scenting tea.

    In the eastern provinces the hills are adorned with yellow and

    red azaleas of gorgeous hue, especially around Ningbo and in

    Chusan. ” Few,” says Mr. Fortune, ” can form any idea of the

    gorgeous beauty of these azalea-clad hills, where, on every side,

    the eye rests on masses of flowers of dazzling brightness and

    surpassing beauty. IS^or is it the azalea alone which claims our

    admiration ; clematises, wild roses, honeysuckles, and a hundred

    others, mingle their flowers with them, and make us confess

    that China is indeed the ‘ central flowery land.’ “

    A few notices of the advance made by the Chinese themselves

    in the study of natural history, taken from their great work on

    materia medica, the Pun tsao, or ‘ Herbal,’ will form an appropriate

    conclusion to this chapter. This work is usually bound

    in forty octavo volumes, divided into fifty-two chapters, and

    contains many observations of value mixed up with a deal of

    incorrect and useless matter ; and as those who read the book

    have not sufiicient knowledge to discriminate between what is

    true and what is partly or wholly wrong, its reputation tends

    .greatly to perpetuate the errors. The compiler of the Pun fsao,

    Li Shi-chin, spent thirty years in collecting all the information

    on these subjects extant in his time, arranged it in a methodical

    manner for popular use, adding his own observations, and pub-

    ‘ Wanderings in China.

    THE PUN TSAO, OR CHINESE HERBAL. 371

    lished it about 1590. lie consulted some eight hundred preceding

    autliors, from whom he selected one thousand five hundred

    and eighteen prescriptions, and added three hundred and

    seventy-four new ones, arranging his materials in fifty-two books

    in a methodical and (for his day) scientific manner. But how

    far behind the writings of Pliny and Dioscorides ! The nucleus

    of Li’s production is a small work which tradition ascribes to

    Shinnung, the God of Agriculture, and is doubtless anterior to

    the Ilan dynasty. His composition was well received, and attracted

    the notice of the Emperor, who ordered several succeeding

    editions to be published at the expense of the state. It

    was, in fact, so great an advance on all previous books, that it

    checked future writers in that branch, and Li is likely now to

    be the first and last purely native critical writer on natural science

    in his mother tongue.

    The first two volumes contain a collection of prefaces and

    indices, together with many notices of the theory of anatomy

    and medicine, and three books of pictorial illustrations of the

    rudest sort. Chapters I. and II. consist of introductory observations

    upon the practice of medicine, and an index of the

    recipes contained in the work, called the Sure Guide to a

    Myriad of Recipes ^ the whole filling the first seven volumes.

    Chapters III. and IV. contain lists of medicines for the cui-e of

    all diseases, occupying three volumes and a half, and comprising

    the therapeutical portion of the work, except a treatise on the

    pulse in the last volume.

    In the subsequent chapters the author carefully goes over

    the entire range of nature, first giving the correct name and

    its explanation ; then comes descriptive remarks, solutions of

    doubts and corrections of errors being interspersed, closing with

    notes on the savor, taste, and application of the recipes in

    which it is used. Chapters V. and YI. treat of inorganic

    substances under water and fire, and mine)-als under Chapters

    VII. to XL, as earth, metals, gems, and stones. Water is

    divided into aerial and terrestrial, /.c, from the clouds, and

    from springs, the ocean, etc. Fire is considered under eleven

    species, among which ai-e the flames of coal, bamboo, moxa,

    etc. The chapter on earth comprises the secretions from various animals, as well as soot, ink, etc. ; that on metals includes

    metallic substances and their common oxides ; and gems

    are spoken of in the next division. The eleventh chapter, in

    true Chinese stvle, groups together what could not be placed

    in the preceding sections, including salts, minerals, etc. In

    looking at this arrangement one detects the similarity between

    it and the classification of characters in the language itself,

    showing the influence this has had upon it ; thus /«>, shui, tu,

    Hn, yuh, shih, and la^ or fire, water, earth, metals, gems,

    stones, and salts, are the seven radicals under which the names

    of inorganic substances are classified in the iuiperial dictionary.

    A like similarity runs through other parts of the Ilcrhal.

    Chapters XII. to XXXATLL, inclusive, treat of the vegetable

    kingdom, under fivej*??^, or ‘divisions,’ viz. : herbs, gi-ains, vegetables,

    fruits, and trees; which are again subdivided into lui^ or

    ‘families,’ though the members of these families have no more

    relationship to each other than the heterogeneous family of an

    Egyptian slave dealer. The lowest term in the Chinese scientific

    scale is chung, which sometimes in<;ludes a gemis, but

    quite as often corresponds to a species or even a variety, as

    Linneus understood those terms.

    The first division of hei’bs contains nine families, viz. : hill

    plants, odoriferous, marshy, noxious, scandent or climbing,

    aquatic, ston}^, and mossy plants, and a ninth of one hundred

    and sixty-two miscellaneous plants not used in medicine, making

    six hundred and seventy-eight species in all. In this classification

    the habitat is the most influential principle of arrangement

    for the families, while the term tsao, or ‘herb,’ denotes

    M-hatcver is not eaten or used in the arts, or which does not attain

    to the magnitude of a tree.

    The second division of grains contains four families, viz. : 1,

    that of hemp, sesamuiii, buckwheat, wheat, rice, etc.; 2, the

    family of millet, maize, opium, etc. ; 3, leguminous plants,

    pulse, peas, vetches, etc. ; and 4, fermentable things, as bean

    curd, boiled rice, wine, yeast, congee, bread, etc., which, as they

    are used in medicine, and pi’oduced from vegetables, seem most

    naturally to come in this place. The first three families em

    bi-ace thirty-nine species, and the last tweny-nine articles.

    BOTANY OF THE HERBAL. 373

    The tliird division of kitclicn herbs contains five families: 1,

    offensive pungent plants, as leeks, nnistard, ginger ; 2, soft and

    mucilaginous plants, as dandelions, lilies, bamboo sprouts; 3,

    vegetables producing fruit on the ground, as tomatoes, eggplants,

    melons ; 4, aquatic vegetables ; and 5, mushrooms and

    fungi. The number of species is one hundred and thirty-three,

    and some part of each of them is eaten.

    The fourth division of fruits contains seven families : 1, the

    five fruits, the plum, peach, apricot, chestnut, and date (Rhamnus)

    ; 2, liill fruits, as the orange, pear, citron, persinniion ; 3,

    foreign fruits, as the cocoanut, lichi, cararnbola ; 4, aromatic

    fruits, as pepper, cubebs, tea ; 5, trailing fruits, as melons,

    grape, sugar-cane ; G, aquatic fruits, as water caltrops, water

    lily, water chestnuts, etc. ; and 7, fruits not used in medicine,

    as whampe. In all, one hundred and forty-seven species.

    The fifth division of trees has six families: 1, odoriferous

    trees, as pine, cassia, aloes, camphor ; 2, stately trees, as the

    willow, tamarix, elm, soapl)erry, palm, j^oplar, julibrissin or silk

    tree ; 3, luxuriant growing trees, as mulberry, cotton, Cercis,

    Gardenia, Bonibax, Hibiscus ; 4, parasites or things attached to

    trees, as the mistletoe, pachyma, and amber ; 5, flexible plants,

    as bamboo ; this family has only four species ; 6, includes what

    the other five exclude, though it might have been thought that

    the second and tliird families were sufficiently comprehensive

    to contain almost all miscellaneous plants. The mnnber of

    species is one hundred and ninety-eight. All botanical subjects

    are classified in this manner under five divisions, thirtyone

    families, and one thousand one hundred and ninety-five

    species, excluding all fermentable things.

    The arrangement of the botanical characters in the language

    does not correspond so well to this as does that of inorganic

    substances. The largest group in the language system is tsao^

    which comprises in general such herbaceous plants as are not

    used for food The second, muh, includes all trees or shrubs ;

    and the bamboo, on account of its great usefulness, stands by itself,

    though the characters mostly denote names of articles made

    of bamboo IS’o less than four radicals, viz., rice, wdieat, millet,

    and grain, serve as the heads under which the esculent grasses

    374 tup: middle kingdom.

    are arranged ; tliere are consequently many synonymes and

    superfluous distinctions. One family includes beans, and another

    legumes ; one comprises cucurbitaceous plants, another

    the alliaceous, and a fourth the hempen ; the importance of

    these plants as articles of food or manufacture no doubt suggested

    their adoption. Thus all vegetable substances are distributed

    in the language under eleven different heads.

    The zoological grouping in the Pun tsao is as rude and unscientific

    as that of plants. There are five jpu^ or divisions,

    namely : insect, scaly, shelly, feathered, and hairy animals. The

    first division contains four families : 1 and 2, insects born

    from eggs, as bees and silkworms, butterflies and spiders; 3,

    insects produced by metamorphosis, as glow-worms, molecrickets,

    bugs ; and 4, water insects, as toads, centipedes, etc.

    The second division has four families: 1, the dragons, including

    the manis, ” the only fish that has legs ; ” 2, snakes ; 3,

    fishes having scales ; and 4, scaleless fishes, as the eel, cuttlefish,

    prawn. The third division is classified under the two

    heads of toi”toises or turtles and mollusks, including the starfish,

    echinus, hermit-crab, etc. The fourth division contains

    birds arranged under four families : 1, water-fowl, as herons,

    king-fishers, etc. ; 2, heath-fowl, sparrows, and pheasants ; 3,

    forest birds, as magpies, crows; and 4, wild birds, as eagles

    and hawks. Beasts form the fifth division, which likewise

    contains four families : 1, the nine domesticated animals and

    their products ; 2, wild animals, as lions, deers, otters ; 3,

    rodentia, as the squirrel, hedgehog, rat ; and 4, monkeys and

    fairies. The number of species in these five divisions is three

    hundred and ninety-one, but there are only three hundred and

    twenty different objects described, as the roe, fat, hair, e.xuvite,

    etc., of animals are separately noticed.

    The sixteen zoological characters in the language are not

    quite so far astray fi-om being types of classes as the eleven

    botanical ones. Nine of thorn are mannniferous, viz. : the tiger,

    dog, and leopard, which stand for the carnivora ; the rat for

    lodentia ; the ox, sheep, and deer for ruminants ; and the

    horse and hog for pachydermatous. Birds are chiefly comprised

    under one radical niao, but there is a sub-family of

    ITS ZOOLOGY AND OI?SKKV ATFOXS OX TTTE IIOKSP:. 37.7

    short-tailed gallinaceous fowls, though much confusion exists in

    the division. Fishes form one group, and improperly inchide

    crabs, lizards, whales, and snakes, though most of the latter are

    placed along with insects, or else under the dragons. The tortoise,

    toad, and dragon are the types of three small collections,

    and insects are comprised in the sixteenth and last. These

    groups, although they contain many anomalies, as might be

    expected, are still sufficiently natural to teach those who write

    the language something of the world around them. Thus,

    when one sees that a new character contains the radical dorj in

    composition, he will be sure that it is neither fowl, fish, nor bug,

    nor any animal of the pachydermatous, cervine, or ruminant

    tribes, although he may have never seen the animal nor heard

    its name. This peculiarity runs through the whole language, indeed,

    but in other groups, as for instance those under the radicals

    man, woman, and child, or heart, hand, leg, etc., the characters

    include mental and passionate emotions, as well as actions and

    names, so that the type is not sufficiently indicative to convey a

    definite idea of the words included under it ; the names of

    natural objects being most easily arranged in this manner.

    Between the account of plants and animals the Jlerhal has

    one chapter on garments and domestic utensils, for such things

    ” are used in medicine and are made out of plants.” The remaining

    chapters, XXXIX.-LII., treat of animals, as noticed

    above. The properties of the objects spoken of are discussed

    in a very methodical manner, so that a student can immediately

    turn to a plant or mineral and ascertain its virtue. For instance,

    the information relative to the history and uses of the

    horse is contained in twenty-four sections. The first explains

    the character, ma, which was oi-iginally intended to represent

    the outline of the animal. The second describes the varieties

    of horses, the best kinds for medical use, and gives brief descriptions

    of them, for the guidance of the practitioner. ” The

    pure white are the best for medicine. Those found in the south

    and east are small and Aveak. The age is known by the teeth.

    The eye reflects the full image of a man. If he eats rice his

    feet will become heavy ; if rat’s dung, his belly will grow long; if his teeth be rubbed with dead silkworms, or black plums, he will not eat, nor if the skin of a rat or wolf be li\uii^- in his

    manger, lie should not he allowed to eat from a hog’s trough,

    lest he contract disease; and if a monkey is kept in the stable

    he M’ill not fall sick.”

    The third section goes on to speak of the flesh, which is an

    article of food ; that of a pure white stallion is the most wholesome.

    One author recommends ” eating almonds, and taking a

    rush broth, if the person feel uncomfoi-table after a meal of

    horse-flesh. It should he roasted and eaten with ginger

    and pork ; and to eat the flesh of a black horse, and not

    drink wine -with it, will surely produce deatli.” The fourth

    describes the crown of the horse, the ” fat of which is sweet,

    and good to make the hair grow and the face to shine.” The

    fifth and succeeding sections to the twenty-fourth treat of the

    sanative properties and mode of exhibiting the milk, heart,

    lungs, liver, kidneys, placenta, teeth, bones, skin, mane, tail,

    brains, blood, perspiration, and excrements.

    Some of the directions are dietetic, and others are prescriptive.

    ” When eating horse-flesh do not eat the liver,” is one of

    the former, given because of the absence of a gall-bladder in

    the liver, wdiich imports its poisonous qualities. ” The heart of

    a white horse, or that of a hog, cow, or hen, when dried and

    rasped into spirit and so taken, cures forgetfulness; if the patient

    hears one thing he knows ten.” ” Above the knees the

    horse has night-eyes (warts), M’hich enable him to go in the

    night ; they are useful in the toothache ;” tliese sections partake

    both of the descriptive and pi-escriptive. Another medical one

    is : ” If a man be restless and hysterical when he wishes to

    sleep, and it is requisite to put him to rest, let the ashes of a

    skull be mingled with water and given him, and let him have a

    skull for a pillow, and it will cure him.” The same preservative

    virtues appear to be ascribed to a horse’s hoof hung in a

    house as are supposed, by some who should know better, to

    belong to a horseshoe Avhen nailed upon the door.’ The whole

    of this extensive work is liberally sprinkled with such whimsies,

    but the practice of medicine among the Chinese is vastly

    ‘ Chinese Repository, Vol. VII., p. 393.

    NATURAL SCIENCES IN CHINA. 377

    better than their tlieories ; for as llenmsat justly oTjserves, ” To

    see well and reason falsely are not wholly incompatible, and the

    naturalists of China, as well as the chemists and physicians of

    our ancient schools, have sometimes tried to reconcile them.”

    Another work on botany besides the Jlefbal, issued in 1848,

    deserves notice for its research and the excellence of its drawings.

    It is the Ch’th Wuh Mlng-shih Ta-kao, or Researches

    into the Names and Virtues of Plants, with plates, in sixty volumes.

    There are one thousand seven hundred and fifteen

    drawings of plants, with descriptions of each, arranged in

    eleven books, followed by medical and agricultural observations

    on the most important in four books. One of its valuable

    points to the foreigner is the terminology furnished by

    the two authors for describing the parts and uses of plants.

    Renmsat read a paper in 1828, ‘ On the State of the Natural

    Sciences among the Orientals,’ in which he indicates the position

    attained by Chinese in their researches into the nature

    and uses of objects around them. After speaking of the adaptation

    the language possesses, from its construction, to impart

    some general notions of animated and vegetable nature,

    he goes on to remark upon the theorizing propensities of their

    writers, instead of contenting themselves with examining and

    recording facts. “In place of studying the organization of

    bodies, they undertake to determine by reasoning how it should

    be, an aim which has not seldom led them far from the end

    they proposed. One of the strangest errors among them relates

    to the transformation of beings into each other, which has

    arisen from popular stories or badly conducted observations on

    the metamorphoses of insects. Learned absurdities have been

    added to puerile prejudices ; that which the vulgar have believed

    the philosophers have attempted to explain, and nothing

    can be easier, according to the oriental systems of cosmogony, in

    which a simple matter, infinitely diversified, shows itself in all

    beings. Changes affect only the apparent propei’ties of bodies, or

    rather the bodies themselves have only appearances ; according

    to these principles, they are not astonished at seeing the electric

    fiuid or even the stars converted into stones, as happens when

    aerolites fall. That animated beings become inanimate is proven by fossils and petrifactions. Ice enclosed in the earth for a millenninm becomes rock crystal ; and it is only necessary that lead, \\\e father of all metals (as Satnrn, its alchemistic type, was of gods), pass thi-oiigh four periods of two centuries each to become successively cinnabar, tin, and silver. In spring the rat changes into a quail, and quails into rats again during the eighth month.

    ” The style in which these marvels is related is now and then a little equivocal ; but if they believe part of them proved, they can see nothing really impossible in the others. One naturalist, less credulous than his fellows, rather smiles at another author who reported the metamorphosis of an oriole into a mole, and of rice into a carp ;

    ‘ it is a ridiculous story,’ says he ;

    ‘ there is proof only of the change of rats into quails, which is reported in the almanac, and which I have often seen myself, for there is an imvaried progression, as well of transformations as of generations.’

    Animals, according to the Chinese, are viviparous as quadrupeds, or oviparous as birds ; they grow by transformations, as insects, or by the effect of humidity, as snails, slugs, and centipedes The success of such systems is almost always sure, not in China alone either, because it is easier to put words in place of things, to stop at nothing, and to have formulas ready for solving all questions. It is thus that they have formed a scientific jargon, which one might almost think had been borrowed from our dark ages, and which has powerfully contributed to retain knowledge in China in the swaddling clothes we now find it. Experience teaches that when the human mind is once drawn into a false way, the lapse of ages and the help of a man of genius are necessary to draw it out.

    Ages have not been wanting in China, but the man whose superior enlightenment might dissipate these deceitful glimmerings, would find it very difficult to exercise this happy influence as long as their political institutions attract all their inquiring minds or vigorous intellects far away from scientific researches into the literary examinations, or put before them the honors and employments which the functions and details of magisterial appointments bring with them.” ‘* Melanges Orientules, Posthumes, p. 315.

    CONSKKVATISM OF NATIVE liESEARCH. 379

    This last observcation indicates the reason, to a great degree, for the fixedness of the Chinese in all departments of learned inquiry ; hard labor employs the energy and time of the ignorant mass, and emulation in the strife to reach official dignities consumes and perverts the talents of the learned. Then their language itself disheartens the most enthusiastic students in this branch of study, on account of its vagueness and want of established terms. When the vivifying and strengthening truths of revelation shall be taught to the Chinese, and its principles acted upon among them, we may expect more vigor in their minds and more profit in their investigations into the wonders of nature.

    CHAPTER VII. LAWS OP CHINA, AND PLAN OP ITS GOVERNMENT

    The consideration of the theory and practice of the Chinese government reconmiends itself to the attention of the intelligent student of man by several peculiar reasons, among which are its acknowledged antiquity, the multitudes of people it rules, and the comparative quiet enjoyed by its subjects. The government of a heathen nation is so greatly modified by the personal character of the executive, and the people are so liable to confound institutions with men, either from imperfect acquaintance with the nature of those institutions, or from being, through necessity or habit, easily guided and swayed by designing and powerful men, that the long continuance of the Chinese polity is a proof both of its adaptation to the habits and condition of the people, and of its general good management. The antiquity and excellence of such a government, and its orderly administration, might, however, be far greater than it is in China, without being invested with the interest which at present attaches to it in that Empire in consequence of the immense population, whose lives and property, food and well-being, depend to so great a degree upon it. What was at first rather a feeling of curiosity, gradually becomes one of awe, when the evil results of misgovernment, or the beneficent effects of equitable rule, are seen to be so momentous.

    THEORY OF THE CHINESE GOVERNMENT. 381

    The theory of the Chinese government is undoubtedly the patriarchal; the Emperor is the sire, his officers are the responsible elders of its provinces, departments, and districts, as every father of a household is of its inmates. This may, perhaps, be the theory of other governments, but nowhere has it been systematized so thoroughly, and acted upon so consistently and for so long a period, as in China, ^wo causes, mutually acting upon each other, have, more than anything else, combined to give efficiency to this theory. The ancient rule of Van and Shun ‘ was strictly, so far as the details are known, a patriarchal chieftainship, conferred upon them on account of their excellent character ; and their successors under Yu of the Xia dynasty were considered as deriving their power from heaven, to whom they M’ere amenable for its good use. When Chingtang, founder of the Shang dynasty, b.c. ITOG, and Wu Wang, of the Zhou, B.C. 1122, took up arms against the Emperors, the excuse given was that they had not fulfilled the decrees of heaven, and had thereby forfeited their claim to the throne.

    Confucius, in teaching his principles of political ethics, referred to the conduct of those ancient kings both for proof of the correctness of his instructions and for arguments to enforce them.

    The large number of those who followed him during his lifetime furnishes some evidence that his countrymen assented to

    the propriety of his teachings. This may account for their reception,

    illustrated as they were by the high character the sage

    boi-e ; but it was not till the lapse of tM’o or three centuries

    that the rulers of China perceived the great security the adoption

    and diffusion of these doctrines would give their sway.

    They therefore turned their attention toward the embodiment of

    these precepts into laws, and towai’d basing the institutions of

    government upon them ; through all the convulsions and wars

    which have disturl)ed the country and changed the reigning

    families, these writings have done more than any one thing

    else to uphold the institutions of the Chinese and give them

    their character and permanence. Education being founded on

    them, those who as students had been taught to receive and

    reverence tliem as the oracles of political wisdom, would, when

    they entered upon the duties of office, endeavor to carry out, in

    some degree at least, their principles. Thus the precept and

    the practice have mutually modified, supported, and enforced

    each other./

    • 2357 and 2255 before Christ.

    But this civilization i;^ Asiatic and not European, pagan and not Christian. ^The institutions of China are despotic and defective, and founded on wrong principles. They may have the element of stability, but not of improvement.^ The patriarchal theory does not make uien honorable, truthful, or kind; it does not place woman in her right position, nor teach all classes their obligations to their Maker; the wonder is, to those who know the strength of evil passions in the human breast, that this huge mass of mankind is no worse. We must, indeed, look into its structure in order to discover the causes of this stability, inasmuch as here we have neither a standing army to enforce nor the machinery of a state religion to compel obedience toward a sovereign. A short inspection will show that(the great leading principles by which the present administration preserves its power over the people, consist in a system of strict surveillance and viatual 7’esj)onsihiHtij among all classes.

    These are aided in their efficiency by the geographical isolation of the country, a remarkable spirit of loyal pride in their own history, and a general system of political education and official examinations!)

    These two principles are enforced by such a minute gradation of rank and subordination of othces as to give the government more of a military character than at first appears, and the whole system is such as to make it one of the most unmixed oligarchies now existing. (It is like a network extending over the whole face of society, each individual being isolated in his own mesh but responsibly connected with all around him’) The man who knows that it is almost impossible, except by entire seclusion, to escape from the company of secret or acknowledged emissaries of government, will be cautions of offending the laws of the country, knowing, as he must, that though he should himself escape, yet his family, his kindred, or his neighbors will suffer for his offence; that if unable to recompense the sufferers, it will probably be dangerous for him to return home ; or if he does, it will be most likely to find his property in the possession of neighbors or officials, who feel conscious of security in plundering one whose offences have forever placed him under a ban.

    RESPONSIBILITY, FEAR, AXD ISOLATION. 383

    ^The effect of these two causes upon the mass of the people is to imbue them with a i^ceat fear of the government, both of its officers and its operations; each man considers that safety is best to be found in keeping aloof from both. This mutual surveillance and responsibility, though only partially extended throughout the multitude, necessarily undermines confidence and infuses universal distrust ; while this object of complete isolation, though at the expense of justice, truth, honesty, and natural affection, is what the government strives to accomplish and actually does to a wonderful degree.) The idea of government in the minds of the uneducated people is that of some everpresent terror, like a sword of Damocles; and so far has this undetined fear of some untoward result when connected with it counteracted the real vigor of the Chinese, that to it may be referred much of their indifference to improvement, contentment with what is already known and possessed, and submission to petty injustice and spoliation.^

    Men are deterred, too, as much by distrust of each other as by fear of the police, from combining in an intelligent manner to resist governmental exactions because opposed to principles of equity, or joining with their rulers to uphold good order; no such men, and no such instances, as John Hampden going to prison for refusing to subscribe to a forced loan, or Thomas Williams and his companions throwing the tea overboard in Boston harbor, ever occurred in China or any other Asiatic country. They dread illegal societies quite as much from the cruelties this same distrust induces the leaders to exercise over recreant or suspected members, as from apprehension of arrest and punishment by the regular authorities. (Thus, with a state of society at times on the verge of insurrection, this mass of people is kept in check by the threefold cord of responsibility, fear, and isolation, each of them strengthening the other, and all depending upon the character of the people for much of their efficiency. Since all the officers of government received their intellectual training when connnoners under these influences, it is easy to understand why the supreme powers are so averse to improvement and to foreign intercourse—from both of which causes, in truth, the monarch has the greatest reason to dread lest the cliarin of his power be weakened and his sceptre pass away. I (There is, however, a further explanation for the general peace which prevails to be found back of this. It is owing partly to the diffusion of a political education among the people ^teaching them the principles on which all government is founded, and the reasons for those principles flowing from the patriarchal theory—and partly to their plodding, industrious character. A brief exposition of the construction and divisions of the central and provincial governments and their mutual relations, and the various duties devolving upon the departments and officers, will exhibit more of the operation of these principles.

    Although the Emperor is regarded as the head of this great

    organization, as the fly-wheel w^hich sets other wheels of the

    machine in motion, he is still considered as bound to rule according

    to the code of the land ; and when there is a w^ellknown

    law, though the source of law, he is expected to follow

    it in his decrees. The statutes of China form an edifice, the

    foundations of which were laid by Li Ivwei twenty centuries

    ago. Successive dynasties have been building thereon ever

    since, adding, altering, pulling down, and putting together as

    circumstances seemed to require. The people liave a high regard

    for the code, ” and all they seem to desire is its just and

    impartial execution, independent of caprice and uninfluenced

    by corruption. That the laws of China are, on the contrary,

    very frequently violated l)y those who are their administrators

    and constitutional guardians, there can, unfortunately, be no

    question ; but to what extent, comparatively with the laws of

    other countries, must at present be very much a matter of conjecture

    : at the same time it nuiy be observed, as something in

    favor of the Chinese system, that there are substantial grounds

    for believing that neither flagrant nor repeated acts of injustice

    do, in point of fact, often, in any rank or station, ultimately

    escape with impunity.” ‘ Sir George Staunton is well qualified

    to speak on this point, and his opinion has been corroborated

    ‘ Penal Code, Introduction, p. xxviii.

    THE PENAL CODE OF CHINA. 385

    by most of those who have had siinihir opportunities of judging; while his translation of the Code has given all persons interested in the (piestion the means of ascertaining the principles on which the government ostensibly acts.

    This body of laws is called Ta Tsing Liuh Li, i.e., ‘ Statutes and Eescripts of the Great Pure Dynasty,’ and contains all the laws of the Empire. They are arranged under seven leading heads, viz.: General, Civil, Fiscal, Ritual, Military, and Criminal laws, and those relating to Public Works ; and subdivided into four hundred and thirty-six sections, called Hah, or ‘ statutes,’ to which the li, or modern clauses, to limit, explain or alter them, are added ; these are now much more numerous than the original statutes. A new edition is published by authority every five years; in the reprint of 1830 the Emperor ordered that the Supreme Court should make but few alterations, lest wily litigants might take advantage of the discrepancies between the new and old law to suit their own purposes. This edition is in twenty-eight volumes, and is one of the most frequently seen books in the shops of any city. The clauses are attached to each statute, and have the same force. ]^o authorized reports of cases and decisions, either of the provincial or supreme courts, are published for general use, though their record is kept in the court where they are decided ; the publication of such adjudged cases, as a guide to officers, is not unknown. An extensive collection of notes, comments, and cases, illustrating the practice and theory of the laws, was appended to the edition of 1799.

    A short extract from the original preface of the Code, published in 101:7, only three years after the Manchu Emperors took the throne, will explain the principles on which it was drawn up. After remarking upon the inconveniences arising from the necessity of aggravating or mitigating the sentences of the magistrates, who, previous to the re-establishment of an authentic code of penal la\vs, were not in possession of any fixed rules upon which they could build a just decision, the Emperor Shunchi goes on to describe the manner of revising the code:

    ” A numerous body of magistrates was assembled at the

    capital, at our command, for the purpose of revising the penal

    code formerly in force under the late dynasty of Ming, and of dio-esting the same into a new code, by the exchision of such parts as were exceptionable and the introduction of others which were likely to contribute to the attainment of justice and the t>-eneral perfection of the work. The result of their labors having been submitted to our examination, we maturely weighed and considered the various matters it contained, and then instructed a select number of our great officers of state carefully to revise the whole, for the purpose of making such alterations and emendations as might still be found requisite. “Wherefore, it being now published, let it be your great care, officers and magistrates of the interior and exterior departments of our Empire, diligently to observe the same, and to forbear in future to give any decision, or to pass any sentence, according to your private sentiments, or upon your unsupported authority. Thus shall the magistrates and people look up with awe and submission to the justice of these institutions, as they find themselves respectively concerned in them ; the transgressor will not fail to suffer a strict expiation of his crimes, and will be the instrument of deterring others from similar misconduct ; and finally both officers and people will l)e equally secured for endless generations in the enjoyment of the happy effects of the great and noble virtues of our illustrious progenitors.”

    Under the head of Genei-al Laws are forty-seven sections,

    comprising principles and definitions applicable to the whole,

    and containing some singular notions on equity and criminality.

    The description of the five ordinary punishments, definition of

    the ten treasonable offences, regulations for the eight privileged

    classes, and general directions regarding the conduct of officers

    of government, are the matters treated of under this head.

    The title of Section XLIY. is ” On the decision of cases not provided for by law ; ” and the rule is that ” such cases may then be determined by an accurate comparison with others which are already provided for, and which approach most nearly to those under investigation, in order to ascertain afterward to what extent an asirravation or mitiij-ation of the i)nnislinment would be equitable. A provisional sentcMice confonnablc thereto shall be laid before the superior magistrates, an<l, after receiving their approbation, be submitted to the Enqieror’s final decision. Anv

    GENEIIAL, CIVIL, AXD FISCAL LAWS. 387

    *

    erroneous judgment which may be pronounced, in consequence

    of adopting a more summary mode of proceeding in cases of a

    doubtful nature, shall be punished as wilful deviation from justice.”

    This, of course, gives great latitude to the magistrate, and

    as he is thus allowed to decide and act before the new law can

    be confirmed or aimulled, the chief restraints to his injustice in

    such cases (which, however, are not nuinerous) lie in the fear

    of an appeal and its consequences, or of summary reprisals

    from the suffering parties.

    The six remaining divisions pertain to the six administrative

    boards of the government. The second contains Civil Laws,

    under twenty-eight sections, divided into two books, one of

    them referring to the system of government, and the otlier to

    the conduct of magistrates, etc. The hereditary succession of

    rank and titles is regulated, and punishments laid down for

    those who illegally assume these honors. HlMost of the nobility

    of China are Manchus, and none of the hereditary dignities existing

    previous to the conquest were recognized, except those

    attached to the family of Confucius*’ Improperly recommending

    unfit persons as deserving liigh honors, appointing and

    removing officers witliout the Emperor’s sanction, and leaving

    stations without due permission, are the principal subjects

    regulated in the first book. The second book contains rules

    regarding the interference of superior magistrates with the proceedings

    of the lower courts, and prohibitions against cabals and

    treasonable combinations among oflScers, which are of course

    capital crimes ; all persons in the employ of the state are required

    to make themselves acquainted with the laws, and even

    private individuals ” who are found capable of explaining the

    nature and comprehending the objects of the laws, shall receive

    pardon in all offences resulting purely from accident, or imputable

    to them oidy from the guilt of others, j^rovided it be the

    first offence.”

    The third division, of Fiscal Laws, under eighty-two sections,

    contains rules for enrolling the people, and of succession and

    inheritance ; also laws for regulating marriages between various

    classes of society, for guarding granaries and treasuries, for

    preventing and punishing smuggling, for restraining usury, and for overseeing shops. Section LXXYI. orders that persons and families truly represent their profession in life, and restrains them from indulging in a change of occupation ; ” generation

    after generation they must not vary or alter it.” This i-ule is,

    however, constantly violated. Section XC. exempts the huildinffs

    of literarv and relio;ious institutions from taxation. The

    general aim of the laws relating to holding real estate is to

    secure the cultivation of all the land taken up, and the regular

    payment of the tax. The proprietor, in some cases, can be deprived

    of his lands because he does not till them, and though in

    fact owner in fee simple, he is restricted in the disposition of

    them by will in many w^ays, and forfeits them if the taxes are

    not paid.

    The fourth division, of Ritual Laws, under twenty-six sections,

    contains the regulations fur state sacritices and ceremonies,

    those appertaining to the worship of ancestors, and whatever

    belongs to heterodox and magical sects or teachers. The heavy

    penalties threatened in some of these sections against all illegal

    combinations under the guise of a new form of worship presents

    an interesting likeness to the restrictions issued by the

    English, French, and German princes during and after the

    Heformation. The Chinese authorities had the same dread

    lest the people should meet and consult how to resist them.

    Even processions in honor of the gods may be forbidden for

    good reason, and are not allow^ed at all at Peking ; while, still

    more, the rites observed by the Emperor cannot be imitated by

    any unauthorized person ; women are not allowed to congregate

    in the temples, nor magicians to perform any strange incantations.

    Few of these laws ai’e really necessary, and those

    against illegal sects are in fact levelled against political associations,

    which usually take on a religious guise.

    The fifth division, of Military Laws, in seventy-one sections,

    provides for the protection of the palace and government of

    the army, for guarding frontier passes, management of the

    imperial cattle, and forwarding despatches by couriers. Some

    of these ordinances lay down rules for the protection of the

    Emperor’s person, and the disposition of his body-guard and

    troops in the palace, the capital, and over the Empire. The

    RITUAL, MILITARY, AND CRIMmAL LAWS!. 380

    sections r(‘latiii<2; to the goveniinoiit of tlie army include tlic

    rules for tli(> police of cities ; and those designed to secure the

    protection of the frontier conipi-ise all the enactments against

    foreign intei’course, some of which have already been refei-red tn

    in passing. The supply of horses and cattle for the army is a

    matter of some importance, and is minutely regulated ; one law

    orders all persons who possess vicious and dangerous animals to

    restrain them, and if through neglect any person is killed or

    wounded, the owner of the animal shall be obliged to redeem

    himself from the punishment of manslaughter by pa-ying a fine.

    This provision to compel the owners of unruly beasts to exercise

    proper restraint over them is like that laid down by Moses

    in Exodus XXT., 20, 30. There is as yet no general postoffice

    establishn’ent, hut governmental couriers often take

    private letters ; local mails are safely carried by express companies.

    The required rate of travel for the official post is one hundred miles a day, but it does not ordinarily go more than half that distance. Officers of government are allowed ninety days to make the journey from Peking to Canton, a distance of twelve hundred miles, but conriers frequently travel it in twelve days.

    The sixth division, on Criminal Laws, is arranged in eleven books, containing in all one hundred and seventy sections, ‘and is the most important of the whole. The clauses under some of the sections are numerous, and show that it is not for want of proper laws or insufficient threatenings that crimes go unpunished.

    The books of this division relate to robbery, in which is included high treason and renunciation of allegiance ; to homicide and murder; quarrelling and fighting; abusive language; indictments, disobedience to parents, and false accusations ; bribery and corruption ; forging and frauds ; incest and adultery ; arrests and escapes of criminals, their imprisonment and execution ; and, lastly, miscellaneous offences.

    Under Section CCCXXIX. it is ordered that any one who is guilty of addressing abusive language to his or her father or mother, or father’s parents, or a wife who rails at her husband’s

    parents or grandparents, shall be strangled ; provided always

    that the persons so abused themselves complain to the magistrate, and had personally heard the language addressed to them.

    This law is the same in regard to children as that contained

    in Leviticus XX. , H, and the power here given the parent does

    not seem to be productive of evil. Section CCCLXXXI. has

    reference to ” privately hushing np public crimes,” but its

    penalties are for the most part a dead letter, and a full account

    of the various modes adopted in the courts of withdrawing cases

    from the cognizance of superiors, would form a singular chapter

    in Chinese jurisprudence. Conseq\icntly those who refuse every

    offer to suppress cases are highly lauded by the people. Another

    section (CCCLXXXYI.) ordains that whoever is guilty of improper

    conduct, contrary to the spirit of the laws, but not a

    breach of any specific article, shall be punished at least with forty blows, and with eighty when of a serious nature. Some of the provisions of this part of the code are praiseworthy, but no part of Chinese legislation is so cruel and irregular as criminal jurisprudence. The permission accorded to the judge to torture the criminal opens the door for much inhumanity.

    The seventh division contains thirteen sections relating to Public Works and Ways, such as the weaving of interdicted patterns of silk, repairing dikes, and constructing edifices for government. All public residences, granaries, treasuries and manufactories, embankments and dikes of rivers and canals, forts, walls, and mausolea, must be frequently examined, and kept in repair. Poverty or peculation render numy of these laws void, and many subterfuges are often practised by the superintending officer to pocket as much of the funds riS he can.

    One officer, M’hen ordered to repair a wall, made the workmen go over it and chip off the faces of the stones etill remaining, then plastering up the holes.

    CRITICISM OF THE CODE. 301

    Besides these laws and their numerous clauses, every high provincial officer has the right to issue edicts upon such public matters as require regulation, some of thei^,; even affecting life and death, either reviving some old law or ^.v^ving it an application to the case before him, with such iuodifications as seem to be necessary. lie must report these ac-t* to the proper board at Peking. Xo such order, which for Uf*. time has the force of law, is formally repealed, but gradually f;(,lls into ohlWion, until circumstances again require its reiteration. This mode of publishing statutes gives rise to a sort of common and unwritten law in villages, to which a council of elders sometimes compels individuals to submit ; long usage is also another ground for enforcing them.

    Still, with all the tortures and punishments allowed by the law, and all the cruelties superadded upon the criminals by irritated officers or rapacious underlings and jailors, a broad survey of Chinese legislation, judged by its results and the general appearance of society, gives the impression of an administration far superior to other Asiatic countries. A favorable comparison has been made in the Jidinlmrgh Review:’ ” By far the most remarkable thing in this code is its great reasonableness, clearness, and consistency, the business-like brevity and directness of the various provisions, and the plainness and moderation in which they are expressed. There is nothing here of the monstrous verhiage of most other Asiatic productions, none of the superstitious deliration, the miserable incoherence, the tremendous non-sequiturs and eternal repetitions of those oi”acnlar performances—nothing even of the turgid adulation, accumulated epithets, and fatiguing self-praise of other Eastern despotisms—but a calm, concise, and distinct series of enactments, savoring throughout of practical judgment and European good sense, and if not always conformable to onr improved notions of expediency, in general approaching to them more nearly than the codes of most other nations. When we pass, indeed, from the ravings of the Zendavesta or the Puranas to the tone of sense and business in this Chinese collection, we seem to be passing from darkness to light, from the drivellings of dotage to the exercise of an improved understanding ; and redundant and absurdly minute as these laws are in many particulars, we scarcely know any European code that is at once so copious and so consistent, or that is so nearly free from intricacy, bigotry, and fiction. / In everything relating to political freedom or individual independence it is indeed wofuUy defective!; but for the repression of disorder and the gentle coer-cion o£ a vast population, it appears to be equally mild and efficacious. The state of society for which it was formed appears incidentally to be a low and wretched o!ie ; but how could its framers have devised a wiser means of maintaining it in peace and tranquillity ?”

    This encomium is to a certain extent just, but the practice of legislation in China has probably not been materially improved by the mere possession of a reasonable code of laws, though some melioration in jurisprudence has been effected.’ ^The infliction of barbarous punishments, such as blinding, cutting off noses, ears, or other parts of the body, still not uncommon in Persia and Turkey, is not allowed or practised in China ; and the government, in minor ci’imes, contents itself with but little more than opprobrious exposure in the pilloij, or castigation, which cari-y with them no degradation.

    uhe defects in this remarkable body of laws arise from several

    sources. The degree of liberty that can safely be awarded

    to the subject is not defined in it, and his i-ights are unknown

    in law. The government is despotic, but having no etficient

    military power in their hands, the lawgivers resort to a minuteness

    of legislation upon the pi-actice of social and relative virtues

    and duties which interferes with their observance ; though it

    must be remembered that no pulpit or Sabbath-school exists

    there to expound and enforce them from a higher code, and

    the laws must be the chief guide in most cases. The code also

    exhibits a minute attention to trifles, and an effort to legislate

    for every possible contingency, which nmst perplex the judge

    when dealing with the infinite shades of difference occuning in

    human actions. There are now many vague and obsolete statutes,

    I’eady to serve as a handle to prosecute offenders for the

    gratification of private pique ; and although usage and precedent

    both combine to prove their disuse, malice and bribery

    can easily effect their reviviscence and application to the case.

    Sheer cruelty, except in cases of treason against the Emperor,

    cannot be chai’ged against this code as a whole, though

    many of the laws seem designed to operate chiefly in terrorem^

    ‘ Chinese Repository, Vol. IV., pp. 24-29.

    INFLUEXCE OF THE LAWS UPON SOCIETY. 39o

    and the penalty is placed higher than the punishment really

    intended to be inflicted, to the end that the Emperor may have

    scope for mercy, or, as he says, ” for leniency beyond the bounds

    of the law.” The principle on which this is done is evident, and

    the commonness of the practice proves that such an exercise of

    mercy has its effect. The laws of China are not altogether unmeaning

    words, though the degi-ee of ethciency in their execu

    tion is subject to endless variations ; some officers are clement,

    others severe ; the people in certain provinces are industrious

    and peaceable, in others turbulent and averse to quiet occupations,

    so that one is likely to form a juster idea of their adnunistration

    by looking at the i-esults as seen in the general aspect

    of society, and judging of the tree by its fruits, than by drawing

    inferences applicable to the whole machine of state from particular

    instances of oppression and insubordination, as has been. so often the case with travellers and writers.

    The general examination of the Chinese government here proposed may be conveniently considered under the iieads of the Emperor and his court, classes of society, the different branches of the supreme administration, the provincial authorities, and the execution of the laws.

    The Emperor is at the head of the whole ; and if the possession

    of great power, and being the object of almost unbounded

    reverence, can impai-t happiness, he may safely be considered

    as the happiest mortal living; though to his power there are

    many checks, and the reverence paid him is proportioned somewhat

    to the fidelity with which he administers the decrees of

    heaven. ” The Emperor is the sole head of the Chinese constitution

    and government ; he is regarded as the vice-gerent of

    lieaven, especially chosen to govern all nations ; and is supreme

    In everything, holding at once the highest legislative and executive

    powers, without limit or control.” Both he and the Pope

    claim to be the vice-gerent of heaven and interpreter of its decrees

    to the whole world, and these two rulers have emulated

    each other in their assumption of arrogant titles. The most

    common appellation employed to denote the Emperor in state

    papers and among the people is hirangt’i, or ‘ august sovereign ;

    ‘it is defined as ” the appellation of one possessing complete virtues, and able to act on heavenly principles.” ‘ This title is further defined as meaning heaven : ” Heaven speaks not, yet the four seasons follow in regular succession, and all things spring forth. So the three august ones (Fulihi, Shinnung, and Hwangti) descended in state, and without even uttering a word the people bowed to their sway ; their virtue was inscrutal)le and boundless like august heaven, and therefore were they called august ones.”

    Among the numerous titles given the monarch may be mentioned

    hiimng shang, the ‘ august lofty one ; ‘ tien Mvang, ‘ celestial

    august one;’ shing hivang, the ‘wise and august,’-/.^.,

    infinite in knowledge and complete in virtue ; tien ti, ‘ celestial

    sovereign ;’ and shing t’l, ‘ sacred sovereign,’ because he is able

    to act on heavenly principles. He is also called tien tsz\ ‘ son

    of heaven,’ becanse heaven is his father and earth is his mother,

    and shing tien tsz\ ‘wise son of heaven,’ as being born of heaven

    and having infinite knowledge ; terms which are given him as

    the ruler of the world l)y the gift of heaven. He is even addressed,

    and sometimes refers to himself, under designations which pertain exclusively to heaven. Wan sui ye, ‘ sire of ten thousand years,’ is a term used when speaking of him or approaching him, like the words, O h’ng, live forever! addressed to the ancient kings of Persia. Pi Ida, ‘ beneath the footstool,’ is a sycophantic compellation used by his courtiers, as if they were only worthy of being at the edge of his footstool.

    ‘ Chinese Repositori/, Vol. IV., p. 12 ; Chinese Chrestomathy, p. 558.

    ATTRIBUTES OF THE CHINESE EMPEROR. 395

    The Emperor usually designates himself by the terms ehvn^ ‘ourself; ‘ hwa jin, the ‘ solitary man,’ or the one man ; and hwa Jciun, the ‘ solitary prince.’ He has been loaded with many ridiculous titles by foreign writers, as Brother of the Sun and Moon, Grandson of the Stars, King of Kings, etc., but no such epithets are known among his subjects. His palace has various appellations, such as hall of audience, golden palace, the ninth entrance, vermilion avenue, vermilion hall, rosy hall, forbidden pavilion, the crimson and forbidden palace, gemmeous steps, golden steps, meridian portal, gemmeous avenue, celestial steps,

    celestial court, great interior, the maple pavilion, royal house,

    etc. To see him is to see the dragon’s face ; the throne is called

    the ” di-agon’s throne,” and also the ” divine utensil,” i.e., the

    tliinir oiven him bv heaven to sit in Avhen executin<!; his divine

    mission ; his person is styled the dragon’s body, and a fiveclawed

    dragon is emblazoned, like a coat of arms, on his robes,

    which no one can use or imitate. Thus the Old Dragon, it

    might be almost said, has coiled himself around the Emperor

    of China, one of the greatest upholders of his power in this

    world, and contrived to get himself worshipped, through him,

    by one third of mankind.

    The Emperor is the fountain of power, rank, honor, and privilege to all within his dominions, which are termed tieti hia, meaning all under heaven, and were till recently, even by his highest officers, ignorantly supposed to comprise all mankind.

    As there can be but one sun in the heavens, so there can be

    but one hwangti on earth, the source and dispenser of benefits

    to the whole world.” /The same absolute executive power held

    by him is placed in the hands of his deputies and governorgenerals,

    to be by them exercised within the limits of their

    jui-isdiction. He is the head of religion and the only onef

    qualified to adore heaven ; he is the source of law and dispen-j

    ser of mercy ; no right can be held in opposition to his pleasure,

    no claim maintained against him, no privilege protect from his

    wrath. All the forces and revenues of the Empire are his, and

    lie has a riffht to claim the services of all males between sixteen j and sixty. In short, the whole Empire is his property, and they only cliecks upon his despotism are 2)ubli(‘ opinion, the want of j an efficient standing army, po^’erty and the venality of the agents of his power.

    When the Manchus found themselves in possession of Peking,

    they regarded this position as fully entitling them to assume all

    imperial rights. Their sovereign thus announced his elevation

    in November, 16-14 : ” I, the Son of Heaven, of the Ta-tsing

    ^ The attributes ascribed to a chakrnwartti in the Buddhist mythology have

    many points of resemblance to the hintngti, and Hardy’s Manual of Buddhism

    (p. 126) furnishes an instructive comparison between the two characters, one fanciful and the other real.

    dynasty, liuniljly as a subject dare to announce to Imperial

    Heaven and Sovereign Earth. Tliougli tlie world is vast,

    Sliangti looks on all without partiality. My Imperial Grandfather

    received the gracious decree of Heaven and founded a

    kingdom in the East, which became firmly established. My

    Imperial Father succeeding to the kingdom, extended it ; and I,

    Heaven’s servant, in my poor person became the ii heritor of

    the dominion they transmitted. AVlien the ]\Iing dynasty was

    coming to its end, traitors and men of violence appeared in

    crowds, involving the people in misery. China was without a

    ruler. It fell to me reverentially to accept the responsibility

    of continuing the meritorious work of my ancestors. I saved

    the people, destroyed their ojopressors ; and now, in accordance

    with the desires of all, I iix the urns of Empire at Yen-king.

    … I, receiving Heaven’s favor, and in accordance with their

    wishes, announce to Heaven that I have ascended the throne of

    the Empire, that the name I have chosen for it is the Great

    Pure, and that the style of my reign is Shun-chl (‘ Obedient

    Rule ‘). I beg reverentially Heaven and Earth to protect and

    assist the Empire, so that calamity and disturbance may soon

    come to an end, and the land enjoy universal peace. For this

    I humbly pray, and for the acceptance of this sacrifice.”

    The present Emperor is the ninth of the Tsing dynasty M’ho

    has reigned in China. Tk/ikj means Pure, and was taken by

    the Manchus as a distinctive tei’m for their new dynasty,

    alluding to the ])uj’ity of justice they intended to maintain in

    their sway. Some of the founders of the ancient dynasties derived

    their dynastic name from their patrimonial estates, as

    /SifUfj, ITaii, C//af/, etc., but the later ones have adopted names

    like T’uen, or ‘ Original,’ Min<j, or ‘ Illustrious,’ etc., which indicate

    their vanity.

    The present monarch is still a minor, and the affairs of government are nominally under the direction of the Empressdowager, who held the same office during the minority of his predecessor, Tungchf. -The surname of the reigning family is (j’ioi’o, or ‘ Golden,’ derived from their ancestral chief, Aisin Gioro, whom they feign to have been the son of a divine virgin.

    PERSONAL NAME AXD TITLES OF THE EMPEROR. 397

    They are the lineal descendants of the Kin, a rude race u-liieh drove out the Chinese rulers and occupied the northern provinces about 1130, making Peking their capital for many years. On the approach of the Mongols they were chased away to the east, and retained oidy a nominal independence ; changing their name from Niichih to Manjurs, they gradually increased in numbers, but did not assume any real importance until they became masters of China. The acknowledged founder of the reigning house was the chief IIien-tsu(1583-lC15), whose actual descendants are collectively designated Tsutuj-sJi’/h, or ‘Imperial Clan.’ The second Emperor further limited the Clan by giving to each of his twenty-four sons a personal name of two characters, the first of which, Ynn, was the same for all of

    them. For the succeeding generations lie ordered a series of

    characters to be nsed l)y all the membei-s of each, so that

    through all their ramifications the first name would show tlieir

    position. Ivanghi’s own name was Iliuen^ then followed Yun^

    Hung, Yung, JIt’en, Y!h, and T^v?/, tlie last and present sovereigns

    being both named T^cr/. All who bear this name are

    direct descendants of Kanghi. Since the application of these

    seven generation names, eight more have been selected for

    future nse by imperial scions.

    Tn order still further to distinguish those most nearly allied

    in blood, as sons, nephews, etc., it is required that the second

    names of each family always consist of characters under the

    same radical. Thus Kiaking and his brothers wrote their first

    names Yang, ‘Am\ under the radical ^?r>i for the second ; Taukwang

    and his brothers and cousins Mien, and under the radical

    heart. For some unexplained reason the radicals sill: and gaJ(l,

    chosen for the second names of the next two generations, were

    altered to u-ords and irater. This peculiarity is easily represented

    in the Chinese characters ; a comparison can be made

    in English with the supposed names of a family of sons, as

    Louis Edward, Louis Edwin, Louis Edwy, Louis Edgar, etc.,

    the word Louis answering to Mien, and the syllable Ed to the radical heart.

    The present Emperor’s personal name is Tsai-tien, and, like those of his predecessors, is deemed to be too sacred to be spoken, or the characters to be written in the common form.

    The same reverence is observed for the names after death, sg that twelve characters have been altered since the Manchu monarchs began to reign ; Hinen-wa, which was the personal name of Kanghi, has become permanently altered in its formation.

    The present sovereign was born August 15, 1871, and on January

    12, 1875, succeeded his cousin Tsaishun, who died without

    issue—the first instance in the Gioro family for nearly three

    centuries. At this time there was some delay as to which of

    his cousins should succeed to the dragon throne, when the united

    council of the princes was led by the mother of the deceased

    Emperor to adopt her nephew, the son of Prince Chun. The

    little fellow was sent for at night to be immediately saluted

    as hwangti, and ere long brought in before them, cross and

    sleepy as he was, to begin his reign under the style of Kwangsii,

    or ‘ Illustrious Succession.’

    This title is called a kwoh hao^ or national designation, and

    answers more nearly to the name that a new Pope takes with

    the tiara than to anything else in western lands. It is the expression

    of the idea which the monarch wishes to associate with

    his reign, and is the name by which he is known to his subjects

    during his life. It has been called a j>^^”^od by some

    writers, but while it is not strictly his name, yet period is not

    so correct as reign. Usage has made it equivalent in foreign

    books to the personal name, and it is plainer to say the Emperor

    Taukwang than the period Taukwang or the reign Taukwang,

    or still more than to write, as Wade has done, ” the Emperor

    Mien-Ning, the style of whose reign Mas Tau Kwang ;”or than Legge has done, to Bay, *’ the Emperor Pattern, of the period Yungciiing.” In such cases it is not worth the trouble to attempt strict accuracy in a matter so entirely unlike western usages.

    The use of the kwoh hao began with Wan-ti, of the Han dynasty,’ b.c. 179, and has continued ever since. Some of ‘ The remark of Heeren {Asiatic Nations, Vol. I. , p. 57), that the names by which the early Persian monarchs, Darius, Xerxes, and others, were called, were really titles or surnames, and not their own personal names, suggests the further comparison whether those renowned names were not like the kiroh hao of the Chinese emperors, whose adoption of the custom was after the ex

    THE KWOII HAO AND MIAO HAO. 399

    the early inouarclis elianged their hwoli hao many times during

    their reigns ; Kao-tsung (a.d. 650-684), for example, had thirteen

    in a regime of thirty four years, which induced historians

    to employ the laiao Jiao, or ancestral name, as more suitable

    and less liable to confusion. The reason for thus investinir the

    sovereign with a title different from his real name is not fully

    apparent, but arose probably out of the vanity of the monai-ch,

    who wished thus to glorify himself by a high-sounding title,

    and make his own name somewhat ineffable at the same time.

    The custom was adopted in Japan about a.d. 645, and is practised

    in Corea and Annam.

    When a monarch ascends the throne, or as it is expressed in Chinese, ” when he receives from Heaven and revolving nature the government of the world,” he issues an inaugural proclamation. There is not much change in the wording of these papers, and an extract from the one issued in 1821 will exhibit the practice on such occasions: “Our Da Qing dynasty has received the most substantial indication of Heaven’s kind care. Our ancestors, Taitsu and Taitsung. began to lay the vast foundation [of our Empire] : and Shitsu became the sole monarch of China. Our sacred ancestor Kanghi, the Emperor Yungching, the glory of his age, and Kienlung, the eminent in honor, all abounded in virtue, were divine in martial prowess, consolidated the glory of the Empire, and moulded the whole to peaceful harmony.

    ” His late Majesty, who has now gone the great journey, governed all under Heaven’s canopy twenty-live years, exercising the utmost caution and industry. Xor evening nor morning was he ever idle. He assiduously aimed at the best possible rule, and hence his government was excellent and illustrious; the court and the country felt the deepest reverence and the stillness of profound awe. A benevolent heart and a benevolent tinction of the Persian monarchy. Herodotus (Book VI., 98) seems to have been familiar with these names, not so much as being arbitrary and meaningless terms as epithets whose significations were associated with the kings. The new names given to the last two sons of Josiah, who became kings of Judah by their conquerors (3 Kings, 23; 34, and 24 : 17), indicate even an earlier adoption of this custom.

    administration were universally dift’used : in China Proper, as well as beyond it, order and tranquillity pi-evailed, and the tens of thousands of common people were all happy. But in the midst of a hope that this glorious reign would be long protracted, and the help of Heaven would be received many days, unexpectedly, on descending to bless, by his Majesty’s presence, Lwanyang, the dragon charioteer (the holy Emperor) became a guest on high.

    ” My sacred and indulgent Father had, in the yeai” that ho

    bejiran to rule alone, silent! v settled that the divine utensil

    should devolve on my contemptible person. I, knowing the

    feebleness of my virtue, at first felt much afraid I should not be

    competent to the office ; but on reflecting that the sages, my

    ancestors, have left to posterity their plans ; that his late

    Majesty has laid the duty on me—and Heaven’s throne should

    not be long vacant—I have done violence to my feelings and

    foi’ced myself to intermit awhile my heartfelt grief, that I may

    with reverence obey the unalterable decree ; and on the 2Tth of

    the Sth moon (October 3d) 1 purpose devoutly to announce the

    ev^ent to Heaven, to earth, to my ancestors, and to the gods of

    the land and of the grain, and shall then sit down on the imperial throne. Tx’t the next year be the first of Taukwang.

    ” I look upward and hope to be able to continue former excellences. I lay my hand on my heart with feelings of respect and cautious awe.—When a new monarch addresses himself to the Empire, he ought to c(»iifer benefits on his klndi-ed, and extensively bestow gracious favors : what is proper to be done on this occasion is stated below.”

    (Here follow twenty-two paragraphs, detailing the gifts to be

    conferred and promotions made of noblemen and officers ; ordering

    the restoration of suspended dignitaries to their full pay

    and honoi’s, and sacrifices to Confucius and the Emperors of

    former dynasties ; pardons to be extended to ciiminals, and

    banished convicts recalled ; governmental debts and arrearages

    to be forgiven, and donations to be bestowed upon the aged.)

    “Lo! now, on succeeding to the throne, T shall exei-cise myself

    to give repose to the millions of my ]>eople. iVssist me to

    sustain the burden laid on mv shoulders ! With veneration I

    COr.OXATIOX T’ROrr.AMATIOX OF TArKU’AXO. 4(‘]

    receive charge of Heaven’s great concerns.—Ye kings and statesmen, great and small, civil and military, let every one be faithful and devoted, and aid in supporting the vast afPairs, that our family dominion may be preserved hundreds and tens of thousands of years in never-ending tranquillity and glory ! Promulgate this to all under Heaven — cause every one to hear it!”

    The programme of ceremonies to be observed when the Emperor” ascends the summit,” and seats himself on the dragon’s throne, was published for the Emperor Taukwangby the Board of Kites a few days after. It details a long series of prostrations and bowings, leading out and marshalling the various officers of the court and members of the imperial family. After they are all arranged in proper precedence before the throne,” at the appointed hour the president of the Board of Bites shall go and entreat his Majesty to put on his mourning, and

    come forth by the gate of the eastern palace, and enter at the

    left door of the middle palace, where his Majesty, before the

    altar of his deceased imperial father, will respectfully announce

    that he receives the decree—kneel thrice and bow nine times.”

    lie then retires, and soon after a large deputation of palace

    officers ” go and solicit his Majesty to put on his impei-ial robes

    and proceed to the palace of his mother, the Empress-dowager,

    to pay his respects. The Empress-dowager will put on her court

    robes and ascend her throne, before which his Majesty shall

    kneel thrice and bow nine times.” After this filial ceremony

    is over the golden chariot is made ready, the officer of the

    Astronomical Board—whose business is to ohscrve times—

    h

    stationed at the palace gate, and when he announces the arrival

    of the chosen and felicitous moment, his Majesty comes forth

    and mounts the golden chariot, and the procession advances to

    the Palace of Protection and Peace. Here the great officers of

    the Empire are marshalled according to their rank, and when

    the Emperor sits down in the palace they all kneel and bow

    nine times.

    ” This ceremony over, the President of the Board of Rites, stepping forward, shall kneel down and beseech his Majesty, saying, ‘ Ascend the imperial throne.’ The Emperor shall then rise from his seat, and the procession moving on in the same order to the Palace of Peace, his Majesty shall ascend the seat of gems and sit down on the imperial throne, with his face to the south.” All present come forward and again make the nine prostrations, after which the proclamation of coronation, as it would be called in Europe, is formally sealed, and then announced to the Empire with similar ceremonies. There are many other lesser rites observed on these occasions, some of them appropriate to such an occasion, and others, according to our notions, bordering on the ludicrous ; the whole presenting a strange mixture of religion, splendor, and farce, though as a whole calculated to impress all with a sentiment of awe toward one who gives to heaven, and receives from man, such homage and worship.’

    Nothing is omitted which can add to the dignity and sacredness

    of the Emperor’s person or character. Almost everything

    used by him, or in his personal service, is tabued to the connuon

    people, and distinguished by some peculiar mark or color, so as

    to keep up the impression of awe with which he is regarded,

    and which is so powerful an auxiliary to his throne. The outer

    gate of the palace must always be passed on foot, and the paved

    entrance walk leading up to it can only be used by him. The vacant throne, or even a screen of yellow silk thrown over a chair, is worshipped equally with his actual presence, and an imperial dispatch is received in the provinces with incense and prostrations ; the A-essels on the canal bearing articles for his special use always have the rig:ht of way. His birthday is eel ebrated by his officers, and the account of the opening ceremony, as witnessed by Lord Macartney, shows how skilfully every act tends to maintain his assumed character as the son of heaven.

    ‘ Chinese Repository^ Vol. X., pp. 87-98. Indo-Chinese Gleaner, February, isai.

    HOMAGE KENDERP:D TO THE EMPEROR. 403

    ” The first day was consecrated to the purpose of rendering a solemn, sacred, and devout homage to the supreme majesty of the Emperor. The ceremony was no longer performed in a tent, nor did it partake of the nature of a banquet. The princes, tributai-ies, ambassadors, and great officers of state were assembled in a vast hall ; and upon particular notice were introduced into au inner building, bearing at least the semblance of a temple.

    It was chietiy furnished with great instruments of music,

    among which were sets of cylindrical bells suspended in a line

    from ornamental frames of wood, and gradually diminishing in

    size from one extremity to the other, and also triangular pieces

    of metal, arranged in the same order as the bells. To the

    sound of these instruments a slow and solemn hymn was sung

    by eunuchs, who had such a command over their voices as to

    resemble the effect of musical glasses at a distance. The performers

    were directed, in tlie gliding from one tone to the other,

    by the striking of a shrill and sonorous cymbal ; and the judges

    of music among the gentlemen of the embassy were much

    pleased with their execution. The whole had, indeed, a grand

    effect. During the performance, and at particular signals, nine

    times repeated, all present prostrated themselves nine times,

    except the ambassador and his suite, who made a profound

    obeisance. But he whom it was meant to honor continued, as

    if in imitation of the Deity, invisible the whole time. The

    awful impression intended to iTe made upon the minds of men

    by this apparent worship of a fellow-mortal was not to be

    effaced by any immediate scenes of sport or gaiety, which were

    postponed to the following day. ” ‘ The mass of the people are

    not aduutted to particij^ate in these ceremonies ; they are kept

    at a distance, and care, in fact, very little about them. In every

    provincial capital there is a hall, called Wan-shao l:u?ig, dedicated

    solely to the honor of the Emperor, and where, three days

    before and after his birthday, all the civil and military officers

    and the most distinguished citizens assemble to do him tlie

    same homage as if he were present. The walls and furniture

    are yellow.

    The right of succession is hereditary in the male line, but it

    is always in the power of the sovereign to nominate his successor

    from among his own children. The heir-apparent is not

    commonly known during the lifetime of the incumbent, though

    Staunton’s Embassy, 8vo edition, London, 1797, Vol. III., p. 63.

    there is a titular office of guardian of the heir-apparent. During

    tlie Tsing dynasty the succession has varied, l)ut tiie hloody

    scenes enacted in Turkey, Egypt, and India to remove competitors

    are not known at Peking, and the people have no fear that they will be enacted. Of the eight preceding sovereigns, Shunchi was the ninth son, Tvanghi the third, Vnngehing the fourth, Kienlung the fourth, Kiaking the iifteenth, Taukwang

    the second, Hienfung the fourth, and Tungchi the only son.

    When Kwangsii was chosen this regular line failed, and thus

    was terminated an nnbi-oken succession during two Inmdred

    and fifty-nine years (1616 to 1875), when ten rulers (including

    two in Manchuria) occupied the throne. It can be paralleled

    onlv in eTudah, where the line of David down to Jehoiachin

    (b.c. 1055 to 599) continued regularly in the same manner—

    twenty kings in four hundred and fifty six years.

    In the reign of Kieidung, one of the censors memorialized

    him upon the desirableness of announcing his sncsessor, in order

    to quiet men’s minds and repress intrigue, but the suggestion

    cost the man his place. The Emperor said that the name of

    his successor, in case of his own sudden death, would be found

    in a designated place, and that it was highly inexpedient to

    mention him, lest intriguing men buzzed about him, forming

    factions and trying to elevate themselves. The soundness of

    this policy cannot l)e doubted, and it is not nnlikely that Kienlung

    knew the evils of an opposite course from an acquaintance

    with the history of some of the princes of Central Asia or

    India. One good result of not indicating the heir-apparent is

    that not oidy are no intrigues formed by the crown-prince, but

    when he begins to reign he is seldom compelled, from fear of

    his own safety, to kill or imprison his brothers or uncles; for,

    as they possess no power or party to render them formidable,

    their ambition finds full scope for its exercise in peaceful ways.

    In 1861, when the heir was a child of five years, a palace intrigue

    was started to remove his custody out of the hands of his mother

    into those of a cabal wlio had held sway for some years, but the

    promoters were all executed.

    THE IMPKIilAL HOUSE AXD NOBILITY. 405

    The management of the imperial clan appertains entirely to the Emperor, and has been conducted with considerable sagacI’ty. All its members arc under the control of the Tsuny-jln fu, a sort ot” clansmen’s court, consisting of a presiding controller, two assistant directors, and two deputies of the family.

    Their duties are to regulate whatever belongs to the government of the Emperor’s kindred, which is divided into two branches, the direct and collateral, or the Uiukj-hMIi and Gioro.

    The TmurKj-sJiiJi, or ‘Imperial House,’ coni})rise only the lineal

    descendants of Tienming’s father, named llien-tsu, or ‘ Illustrious

    Sire,” who first assumed the title of Emperor a.d. 1610.

    The collateral branches, including the children of his uncles and

    brothers, are collectively c;illed Gioro. Their united number is

    unknown, l)ut a genealogical record is kept in the national archives

    at Peking and Mukden. The Tsunfj-ahlh are distinguished

    by a yellow girdle, and the Gioro by a red one; when

    degraded, the former take a red, the latter a carnation girdle.

    There are altogether twelve degrees of rank in the Tsung-shih^

    and consequently some of the distant kindred are reduced to

    straitened circumstances. They are shut out from useful careers,

    and generally exhibit the evils ensuent upon the system of education

    and surveillance adopted toward them, in their low,

    vicious pursuits, and cringing imbecility of character. Tlie sum

    of $133 is allowed when they marry, and $150 to defray funeral

    expenses, vvhich induces some of them to maltreat their wives

    to death, in order to receive the allowance and dowry as often

    as possible.

    The titular nobility of the Empire, as a whole, is a body

    whose members are without power, land, wealth, office, or influence,

    in virtue of their honors ; some of them are more or less

    hereditary, but the whole system has been so devised, and the

    designations so conferred, as to tickle the vanity of those who

    receive them, without granting them any real power. The titles

    are not derived from landed estates, but the rank is siinply

    designated in addition to the name, and it has been a question

    of some difficulty how to translate them. For instance, the

    title Kung tsin-vKing literally means the ‘ Reverent Kindred

    Prince,’ and should be translated Prince Kung, not Prince of

    Kung, which conveys the im})ression to a foreign reader that

    Kung is an appanage instead of an epithet The twelve orders of nobility are conferred solely on the members of the imperial house and clan : 1. Tsin icamj, ‘ kindred prince,’ i.e., prince of the blood, conferred usnallj on his

    Majesty’s brothers or sons. 2. K’nm. irang, or ‘ prince of a

    princedom ;

    ‘ the eldest sons of the princes of these two degrees

    take a definite rank during their father’s lifetime, but the collateral

    branches descend in precedence as the generations are

    more and more remote from the direct imperial line, until at

    last the person is simply a member of the imperial clan. These

    two ranks were termed regulus by the Jesuit writers, and each

    son of an Emperor enters one or other as he becomes of

    age. The highest princes receive a stipend of about ^13,300,

    some rations, and a retinue of three hundred and sixty servants,

    altogether making an annual tax on the state of $75,000 to

    $90,000. The second receive half that sum, and inferior grades

    in a decreasing ratio, down to the simple members, who each

    get four dollars a month and rations. 3 and -i. BeUe and

    Beitse, or princes of and in collateral branches. The Sth to

    8th are dukes, called Guard i;m and Sustaining, with two subordinate

    grades not entitled to enter the court on state occasions.

    The 9th to 12th ranks are nobles, or rather generals, in line of

    descent. The number of persons in the lower ranks is very

    great. Few of these men hold offices at the capital, and still

    more rarely are they placed in responsible situations in the

    provinces, but the government of Manchuria is chiefly in their

    hands.

    Besides these are the five ancient orders of nobility, Ining,

    liao,2_^(‘li,Uz’, and nan, usually rendered duke, count, viscount,

    baron, and baronet, which are conferred without distinction on

    Manchus, Mongols, and Chinese, both civil and military, and as

    such are highly prized by their recipients as marks of honor.

    The three first take precedence of the highest untitled civilians,

    but an appointment to most of the high offices in the country

    carries with it an honorary title. The direct descendant of

    Confucius is called Yoi-f^/ilng humj, ‘ the Ever-sacred duke,’

    and of Koxinga Ilai-ching hmg, or ‘ Sea-quelling duke ;’ these

    two arc the only perpetual titles among the Chinese, but among

    the Manchus, the chiefs of eight families which aided in settling the crown in the Gioro line were made hereditary princes,

    LIFE IN THE PALACE. 407

    who are collectively called princes of the iron crown. Besides

    the above-mentioned, there are others, which are deemed even

    more honorable, either from their rarity or peculiar privileges,

    and answer to membership of the various orders of the Garter,

    Golden Fleece, Bath, etc , in Europe.

    The internal arrangements of the court are modelled somewhat

    after those of the Boards, the general supervision being

    under the direction of the Nid-wufa, composed of a president

    and six assessors, under whom are seven subordinate departments.

    It is the duty of these officers to attend upon the Emperor

    and Empress at sacrifices, and conduct the ladies of the

    harem to and from the palace ; they oversee the households of

    the sons of the Emperor, and direct, under his Majestj’, everything

    belonging to the palace and whatever appertains to its

    supplies and the care of the imperial guard. The seven departments

    are arranged so as to bear no little resemblance to a

    miniature state : one supplies food and raiment ; a second is

    for defence, to regulate the body-guard when the Emperor

    travels; the third attends to the etiquette the members of this

    great family must observe toward each other, and brings forward

    the inmates of the harem when the Emperor, seated in

    the inner hall of audience, receives their homage, led by the

    Empress herself ; a fourth department selects ladies to fill the

    harem, and collects the revenue from crown lands ; a fifth

    superintends all repairs necessary in the palace, and sees that

    the streets of the city be cleared whenever the Emperor, Erapress,

    or any of the women or children in the palace wish to go

    out ; a sixth department has in charge the herds and fiocks of

    the Emperor ; and tlie last is a court for punishing the crimes

    of soldiers, eunuchs, and ethers attached to the palace.

    The Emperor ought to have three thousand eunuchs, but the

    actual number is rather less than two thousand, who perform

    the work of the household. His sons and grandsons are alloM^ed

    from thirty down to four, while the iron-crown princes and imperial

    sons-in-law have twenty or thirty ; all these nobles are

    constrained to employ some eunuchs in their establishments, if

    not able to maintain the full quota, for show. Most of this

    class are compelled to submit to mutilation by tlieir parents

    before the age of eight (and not always from povei-ty), as it

    usually insures a livelihood. Some take to this condition from

    motives of laziness and the high duties falling to their share if

    they behave themselves. From very ancient times certain

    criminals have been punished by castration. There is a separate

    control for the due efficiency of these servants of the court,

    who are divided into forty-eight classes ; durhig the present

    dynasty they have never caused trouble. The highest pay any

    of them receive is twelve taels a month.

    The number of females attached to the harem is not accurately

    known ; all of them are under the nominal direction

    of the Empress. Every third year his Majesty reviews the

    daughters of the IVIanchu officers over twelve years of age, and

    chooses such as he pleases for concubines ; there are oidy seven

    legal concubines, but an unlimited mnuber of illegal. The latter

    are restored to li])erty when they reach the age of twentyfive,

    unless they have borne cliildren to his Majest}-. It is generally

    considered an advantage to a family to have a daughter

    in the harem, especially by the Manchus, who endeavor to rise

    by this backstairs influence.’ To the poor Avomen themselves

    it is a monotonous, weary life of intriguing unrest. As soon as

    one enters the palace she bids final adieu to all her male relatives,

    and rarely sees her female friends ; the eunnchs \vlio

    take care of her are her chief channels of communication with

    the outer world. It may be added, however, that the comforts

    and influence of her condition are vastly superior to those of

    Hindu females.

    In the forty-eighth volume of the Hiral Tioi, from whicii

    work most of the details in this chapter are obtained, is an account

    of the snpplies furnished his Majesty and the court.

    There should daily be placed befoi-o the Emperor thirty pounds

    of meat in a basin and seven pounds boiled into soup ; hog’s

    fat and butter, of each one and one-third pound ; two sheep,

    two fowls, and two ducks, the milk of eighty cows, and seventy-

    ‘ Chinese licpositorp, Vol. XIV., !>. 521; N. C. Br. It. As. Soc. Jovriuil,

    x\o. XI.

    positio:n” of the empress and ladies. 409

    five parcels of tea. Her Majesty receives twenty-one pounds

    of meat in platters and thirteen pounds boiled with vegetables

    ;

    one fowl, one duck, twelve pitchers of watei’, the milk of

    twenty-iive cows, and ten parcels of tea. Her maids and the

    3oncubines receive their rations according to a regular fare.

    The Empress-dowager is the most important subject within

    the palace, and his Majesty does homage at frequent intervals,

    !)y making the highest ceremony of nine prostrations before

    her. When the widow of Iviaking reached the age of sixty in

    1S3<), many honors were conferred l)y the Emperor. An extract

    from the ordinance issued on this festival will exhibit the

    regard paid her by the sovereign

    :

    ” Our extensive dominions have enjoyed the utmost prosperity

    under the shelter of a glorious and enduring state of felicity.

    Our exalted race has become most illustrious under the protection

    of that honored relative to whom the whole court looks up.

    To her happiness, already unalloyed, the highest degree of

    felicity has been superadded, causing joy and gladness to every

    inmate of the Six Palaces. The grand ceremonies of the occasion

    shall exceed in splendor the utmost recpiirements of the

    ancients in regard to the human relations, calling ft)rth the gratulation

    of the whole Em})ire. It is indispensable that the observances

    of the occasion sliould be of an exceedingly unusual

    nature, in older that our reverence for our august parent and

    care of her may both be equally and gloriously displayed. . . .

    … In the first month of the present winter occurs the sixtieth

    anniversary of her Majesty’s sacred natal day. At the opening

    of the happy period, the sun and moon shed their united genial

    influences on it. When commencing anew the revolution of

    the sexagenary cycle, the honor thereof adds increase to her

    felicity. Looking upward and Ijeholding her glory, Ave repeat

    our gratulations, and announce the event to Heaven, to Earth, to

    our ancestors, and to the patron gods of the Empire. On the

    nineteenth day of the tenth moon in the fifteenth year of Taukwang,

    we will conduct the princes, the nobles, and all the high

    officers, both rivil and military, into the presence of the great

    Empress, benign and dignified, universally placid, thoi-oughly

    virtuous, tran(piil and self-collected, in favors unbounded ; and

    we will then present our congratulations on the glad occasion,

    the anniversary of her natal day. The occasion yields a happiness

    equal to what is enjoyed by goddesses in heaven ; and

    while announcing it to the gods and to our people, we will

    tender to her blessings unbounded.”

    Besides the usual tokens of favor, such as rations to soldiers, pardons, promotions, advances in official rank, etc., it was ordered in the eleventh article, ” That every perfectly filial son or obedient grandson, every upright husband or chaste wife, upon proofs being brought forward, shall have a monument erected, with an inscription in his or her honor.”” Soldiers who had reached the age of ninety or one hundred received money to erect an honorary portal, and tombs, temples, bridges, and roads were ordered to be repaired ; but how many of these ” exceedingly great and special favors ” were actually carried into effect cannot be stated.’

    For the defence and escort of the Emperor and his palaces

    there are select bodies of troops, which are stationed within the

    Hwang-ching and the capital and at the various cantonments

    near the city. The Bannermen form three separate corps, each

    containing the hereditaiy troops of Manchu, Mongol, and enrolled

    Chinese, organized at the beginning of the dynasty under

    eight standards. Their flags are ti’iangular, a plain yellow,

    white, red, and blue for troops in the left wing, and the same

    bordered with a narrow stripe of another color for troops in the

    rio-ht wino;. All the families of these soldiers remain in the

    corps into which they were born.

    Two special forces are selected, one named the Vanguard

    Division, the other the Flank Division, from the Manchu and

    Mongol Bannermen ; these guard the Forbidden City, form his

    Majesty’s escort when he goes out, and number respectively

    about one thousand five hundred and fifteen thousand men.

    For the preservation of the peace of the capital a force of upward

    of twenty thousand, called the Infantry Division, or Gendarmerie,

    is stationed in and around the walls, in addition to

    the palace forces. Besides these a cadet corps of five hundred

    Chinese Repository, Vol. IV., p. 576.

    EMPEllOR’S GUARD AND DIVISIONS OF THE PEOPLE. 411

    young men nrnied with l)Ows and spears, two battalions with firearms, and four larger battalions of eight hundred and seventy-five men each, di’iiled in rifle-practice, are relied on to aid the Gendarmerie and Vanguard in case of danger. Whenever the One Man goes out of the palace gate to cross the city, the streets through which he passes aie screened with matting, to keep off the crowds as well as diminish the risks of his person.

    The result has been that few of the citizens have ever seen their sovereign’s face during the last two hundred years. The young Emperor Tungchi obtained great favor among them on one occasion of his return from the Temple of Heaven by ordering the screen of mats to be removed so that he and his people could see each other.

    Lender the Emperor is the whole body of the people, a great

    family bound implicitly to obey his will as being that of heaven,

    and possessing no right or property jper se ; in fact, having

    nothing but what has been derived from or may at any time be

    reclaimed by him. The greatness of this family, and the absence

    of an entailed aristocracy to hold its members or their

    lands in serfdom, have been partial safeguards against excess

    of oppression. Liberty is unknown among the people ; there is

    not even a word for it in the language. No acknowledgment

    on the part of the sovereign of certain well-understood rights

    belonging to the people has ever been required, and is not

    likely to be demanded or given by either party until the Gospel

    shall teach them their respective rights and duties. Emigration abroad, and even removal from one part of the Empire to another, are prohibited or restrained by old laws, but at present no real obstacle exists to changing one’s place of residence or occupation. Notwithstanding the fact that Chinese society is so homogeneous when considered as distinct from the sovereign, inequalities of many kinds are constantly met with, some growing out of birth or property, others out of occupation or merit, but most of them derived from official rank. There is no caste as in India, though the attempt to introduce the miserable system was vainly made by Wan-ti about a.d. 590. The ancient distinctions of the Chinese into scholars, agriculturists, artisans, and traders is far superior to that of Zoroaster into priests, warriors, agriculturists, and artisans ; a significant index of the different polities of eastern and western x\siatic nations is contained in this early quaternary division, and the superiority of the Chinese in its democratic element is also noticeable. There are local prejudices against associating with some portions of the community, thougly the people thus shut out are not remnants of old castes.

    \The tan/da, or boat-people, at Canton form a class in some respects beneath the other portions of the community, and have many customs peculiar to themselves.

    At Mngpo there is a degraded set called to viin, amounting to nearly three thousand persons, with whom the people will not associate. The men are not allowed to enter the examinations or follow an honorable calling, but are play-actors, musicians, or sedan-bearers ; the women are match-makers or female barbers and are obliged to wear a peculiar dress, and usually go abroad carrying a bundle wrapped in a checkered handkerchief.

    The tanhia at Canton also wear a similar handkerchief on their head, and do not cramp their fee^ The to iidn are supposed to be descendants of the Kin, who held northern China in a.d.1100, or of native traitors who aided the Japanese, in 1555-1563, in their descent upon Chehkiang. The tanh’ui came from some of the Miaotsz’ tribes so early that their origin is unknown.’

    The modern classifications of the people, recognized, however, more by law than custom, are various and comprehensive. First, natives and aliens ; the latter include the unsubdued mountaineers and aboriginal tribes living in various parts, races of boat-people on the coasts, and all foreigners residing within the Empire, each of whom are subject to particular laws. Second, conquerors and conquered ; having reference almost entirely to a prohibition of intermarriages between Manchus arid Chinese. Third, freemen and slaves; every native is allowed to pm-chase slaves and retain their children in servitude, and free persons sometimes forfeit their freedom on account of their crimes, or mortgage themselves into bondage. Fourth, the

    ‘ Missionary Chronicle, Vol. XIV., p. 324; Hardy, Manual of BttddJdsm, pC9 ; Heereii, Asiatic Nations, Vol. I., p. 240.

    SLAVES AXD PRIVILEGED CLASSES. 413

    iioiioi’able and the mean, m’Iio cannot intermarry without the former forfeiting their privileges; the latter comprise, besides aliens and slaves, criminals, executioners, police-runners, actors, jugglers, beggars, and all other vagrant or vile persons, who are in general required to pursue for three generations some honorable and useful employment before they are eligible to enter the literary examinations. These four divisions extend over the whole body of the people, but really affect only a small minority.

    It is worthy of note how few have been the slaves in China, and how easy has been their condition in comparison with what it was in Greece and Rome. / Owing chiefly to the prevalence of education in the liberal principles of the Four Books, China has been saved from this disintegrating element. The proportion of slaves to freemen cannot be stated, but the former have never attracted notice by their numbers nor excited dread by their restiveness^ Girls are more readily sold than boys ; at Peking a healthy girl under twelve years brings from thirty to fifty taels, rising to two hundred and fifty or three hundred for one of seventeen to eighteen years old. In times of famine orphans or needy children are exposed for sale at the price of a few cash.’

    There are also eight privileged classes, of which the privileges of imperial blood and connections and that of nobility are the only ones really available ; this privilege affects merely’ the punishment of offenders belonging to either of the eight classes. The privilege of imperial blood is extended to all the blood relations of the Emperor, all those of the Empress-mother and grandmother within four degrees, of the Empress within three, and of the consort of the crown prince within two. Privileged noblemen comprise all officers of the first rank, all of the second holding office, and all of the third whose office confers a command.

    These ranks are distinct from titles of nobility, and are much thought of by officers as honorary distinctions. There are nine, each distinguished by a different colored ball placed on the apex of the cap, by a peculiar emblazonry of a bird for civilians and a beast for military officers on the breast, and a different clasp to the girdle.

    ‘ M. Ed. Biot furnished a good account to the Journal Asiatique (3d series, Vol. III.) of the legal condition of slaves in China ; see also Chinese RepoHVtory^ Vol. XVIII., pp. 347-003, and passim; Archdeacon Gray’s China.

    Civilians of the first rank wear a precious ruby or transparent red stone; a Manchurian crane is embroidered on the back and breast of the robe, while the girdle clasp is jade set in rubies; military men have a unicorn, their buttons and clasps being the same as civilians.

    Civilians of the second rank wear a red coral button, a robe

    embroidered with a golden pheasant, and a girdle clasp of gold

    set in rubies ; the lion of India is emblazoned on the military.

    Civilians of the third rank carry a sapphire and one-eyed

    peacock’s feather, a robe with a peacock worked on the breast,

    and a clasp of worked gold ; military officers have a leopard.

    Different Styles of Official Caps.

    Civilians of the fourth rank are distinguished by a blue opaque stone, a wild goose on the breast, and a clasp of worked gold with a silver button ; military officers carry a tiger in place of the embroidered wild goose.

    Civilians of the fifth rank are denoted by a crystal button, a silver pheasant on the breast, and a clasp of plain gold with a silver button ; the bear is the escutcheon of military men.

    Civilians of the sixth rank wear an opaque white shell button, a blue plume, an egret worked on the breast, and a mother of pearl clasp; military men wear a tiger-cat.

    Civilians of the seventh rank have a plain gold button, a mandarin duck on the breast, and a clasp of silver; a mottled bear designates the military, as it also does in the last rank.

    EIGHT HONOUAUY RANKS. 415

    The eighth rank wear a worked gokl button, a quail on the breast, and a clasp of clear horn : military men have a seal. The ninth rank are distinguished by a worked silver button, a long-tailed jay on the breast, and a clasp of buffalo’s horn ; military men are marked by a rhinoceros embroidered on the robe. All under the ninth can embroider the oriole on their breasts, and unofficial Ilanlin take the egret.

    The mass of people show their democratic tendencies in many ways, some of them conservative and others disorganizing. They form themselves into clans, guilds, societies, professions, and communities, all of which assist them in maintaining their rights, and give a power to public opinion it would not otherwise possess. Legally, every subject is allowed access to the magistrates, secured protection from oppression, and can appeal to the higher courts, but these privileges are of little avail if he is poor or unknown. ( He is too deeply imbued with fear and too ignorant of his rights to think of organized resistance ; his mental independence has been destroyed, his search after truth paralyzed, his enterprise checked, and his whole efforts directed into two channels, viz., labor for bread and study for office.

    The people of a village, for instance, will not be quietly robbed of the fruits of their industry ; but every individual in it niay suffer multiplied insults, oppressions, and cruelties, without thinking of combining with his fellows to resist. Property is held by a tolerably secure tenure, but almost every other right and privilege is shamefully trampled oiA

    Although there is nominally no deliberative or advisatory body in the Chinese government, and nothing really analogous to a congress, parliament, or tiersetat, still necessity and law compel the Emperor to consult and advise with the heads of tribunals. There are two imperial councils, which are the organs of communication between the head and the body politic ; these are the Cabinet, or Imperial Chancery, and the Council of State ; both of them partake of a deliberative character, but the first has the least power. Subordinate to these two councils are the administrative parts of the supreme government, consisting of the six Boards, the Colonial Office, Censorate, Courts of Representation and Appeal, and the Imperial Academy; making in all thirteen principal departments, each of which will require a short description. It need hardly be added that there is nothing like an elective body in any part of the system ; such a feature would be almost as incongruous to a Chinese as the election of a father by his family.

    1. The Nui Kon, or Cabinet, sometimes called the Grand Secretariat,

    consists of iowv ta]ik)Ji-sz\ or principal, and two hiehpa/i

    ta Jdoh-sz\ or ‘joint assistant chancellors,’ half of them Manchus

    and half Chinese. Their duties, according to the Imperial

    Statutes, are to ” deliberate on the government of the Empire,

    proclaim abroad the imperial pleasure, regulate the canons

    of state, together with the whole administration of the great

    balance of power, thus aiding the Emperor in directing the

    affairs of state.” Subordinate to these six chancellors are six

    grades of officers, amounting in all to upward of two hundred

    persons, of whom more than half are Manchus. Under the six

    chancellors are ten assistants, called hloh-sz\ ‘ learned scholars ;’

    some of the sixteen are constantly absent in the provinces or

    colonies, when their places are supplied by substitutes. What in other countries is performed by one person as prime minister, is in China performed by the four chancellors, of whom the first in the list is usually considered to be the premier, though perhaps the must influential man and the real leader of government holds another station.

    The most prominent daily business of the Cabinet is to receive imperial edicts and rescripts, present memorials, lay before his Majesty the affairs of the Empire, procure his instructions thereon, and forward them to the appropriate office to be copied and promulgated. In order to expedite business in court, it is the custom, after the ministers have read and formed an opinion upon each document, to fasten a slip of paper at the foot—or more than one if elective answers are to be given—and thus present the document to his Majesty, in the presence chamber, who, with a stroke of his pencil on the answer he chooses, decides its fate. The papers, having been examined and arranged, are submitted to the sovereign at daylight on the following morning ; one of the six Manchu ///o/z-.s*.?’ first reads each document and hands it over to one of the four Chinese ]uoh-sz\ who inscribes the answer dictated by the sovereign, or hands it to him to perform that duty with the vermilion pencil.

    THE NTTI KOII, OR CABIXET. 417

    By this arrangement a large amount of business can be summarily despatched; but it is also evident that much depends upon the manner in which the answer written upon the slip is drawn up, as to the reception or rejection of the paper, though care has been taken in this particular by requiring that codicils be prepared showing the reasons for each answer. The appointment, removal, and degradation of all officers throughout his vast aominions, orders respecting the apportionment or remittal of the revenue and taxes, disposition of the army, regulation of the nomadic tribes—in short, all concerns, from the highest appointments and changes down to petty police cases of crime, are in this way brought to the notice and action of the Emperor.

    Besides these daily duties there are additional functions devolving

    upon the members of the Cabinet, who are likewise all

    attached to other bureaus, such as presiding on all state occasions

    and sacrifices, coronations, reception of embassies, etc. ;

    these duties are fulfilled by the ten assistant hk>h-sz\ who are

    all vice-presidents of the Board of Rites. They are the keepers

    of the twenty-five seals of government, each of which is of a

    different form and used for different and special purposes,

    according to the custom of orientals, who place so much de-

    Tj)endence upon the seal for vouching for* the authenticity of a

    document.’ Attached to the Cabinet are ten subordinate offices,

    one of which is for translating documents into the various

    Vmguages found in the Empire. The higher members of the

    Cabinet are familiarly called h>h lao, i.e., elders of the councilroom,

    from which the word colao, often met with in old books

    upon China, is derived.”

    ‘ Chinese Chrestmnnthy. Chap. XVII., Sec. 4, p. 570.

    ^ A still more common designation for officers of every rank in the employ of the Chinese government has not so good a parentage ; this is the word iiKtiidarin, derived from the Portuguese maiidar, to command, and indiscriminately applied by foreigners to every grade, from a premier to a tide-waiter; it is not needed in English as a general term for officers, and ought to be disiised, moreover, from its tendency to convey the impression that they are in some way unlike similar officials in other lands. Compare Notes and Queries on Chihd (uid Jdjmn, Vol. III., p. 12.

    2. The KiCN-Ki Chu, Council of State or General _Coimci], was organized about 1730, butjias now become the most influential body in the governmentj and^ though quite unlike in its construction, corresponds to the 7mnidry of western nations more than does any other branch of the Chinese system. It can be composed of any grandees, as princes of the blood, chancellors, presidents and vice-presidents of the Six Boards, and chief officers of all the other metropolitan courts. They are ^selected at the Emperor’s pleasure^ and unitedly called J^great ministers directing the machinery of the army “—the army being here taken to signify the nation. Its duties are ” to write imperial edicts and decisions, and determine such things as are of importance to the army and nation, in order to aid the sovereign in regulating the machinery of affairs.” The number of members of the General Council probably varies according to his Majesty’s pleasure, for no list of them is given in the Bed Bool’ • but latterly their munber has been four, two of each nationality, and Prince Kung as the president. This body is one of the mainsprings of the government, and its composition shows the tendency of the national councils and polity.

    The members of the General Council assemble daily in the

    Forbidden Palace, between five and six in the morning ; when

    summoned by his Majesty into the council-chamber they sit

    upon mats or low cushions, no person being permitted to sit on

    chairs in the real or supposed presence of the Emperor. His

    Majesty’s commands being written down by them, are, if public,

    transmitted to the Iimer Council to be promulgated ; but

    on any matter requiring secrecy or expedition, a despatch is

    forthwith made up and sent under cover to the Board of War,

    to be forwarded. In all important consultations or trials this

    Council, either alone or in connectipji^with the appropriate

    court, is called in ; and in time of war it is formed intg^a committee

    of ways and means. Lists of ofiicers entitled to promotion

    are kept by it, and the names of proper persons to supply

    vacancies furnished the Emperor, Many of the residents in

    the colonies ai-e members of the Council, and communicate

    directly with his Majesty through it, and receive allowances

    and gifts with great formality from the throne—a device of

    THE KIUN-Ki, OR GENERAL COUNCIL. 419

    statecraft designed to maintain an awe of the imperial character and name as much as possible among the mixed races under them.

    The General Council fills an important station in the system, and tends greatly to consolidate the various branches of government, facilitating their harmonious action as well as supplying the deficiencies of an imbecile, or restraining the acts of a tyrannical monarch. The statutes speak of various record books, both public and secret, kept by the members for noting down the opinions of his Majesty, and add that there are no fixed times for audiences, one or more sessions being held daily, according to the exigencies of the state. Besides these functions, its members are further charged with certain literary matters, and three subordinate offices are attached to the Council for their preparation. One is for drawing up narratives of important transactions—a few of those relating to the wars and negotiations with foreigners since 1839 would be of much interest now ; a second is for translating documents ; and the third, entitled ” an office for observing that imperial edicts are carried into effect,” must be at times rather an arduous task, though probably its responsibility ends when the despatch goes forward.

    An office with this title shows that the Chinese government, with all its business-like arrangements, is still an Asiatic one.* The duties of these supreme councils are general, comprising matters relating to all departments of the government, and serving to connect the head of the state with the subordinate bodies, not only at the capital, but throughout the provinces, so that he can, and probably does to a very great degree, thereby maintain a general acquaintance with what is clone in all parts, and sooner rectify disorders and malpractices. The rivalry between their members, and the dislike entertained by the Chinese and Manchus composing them, cause, no doubt, some trouble to the Emperor ; but this has some effect in thwarting conspiracies and intrigues. It must not be supposed, however, that every high officer in the Chinese government is wholly unprincipled, venal, and intriguing; most of them desire to serve and maintain their country. The personal character and knowledge of the monarch has much to do with the efficiency of his government, and the guidance of its affairs demands constant oversight.

    ‘ Chinese Repository, Vol. IV., p. 138. Chinese Chrestomathy, p. 573.

    If he allows his ministers to conduct their trusts without restraint, they soon engross and misuse this power for selfish ends. In natural sequence every branch feels the fatal laxity, while its functionaries lose no time in imitating their superiors.

    This was the case during the reign of Ilienfung, but matters have much improved under the regency since 18C1. In ordinary times, the daily hiterconrse between the Emperor of China and his ministers presents very similar features of confidence, courtesy, and esteem between them as those seen in western lands.

    The King Pac, i.e.^

    ‘ Metmpol’diui Itejjoiier^ usually called the PcJdng Gazette, is compiled from the papers presented before the General Council, and constitutes the principal source of information available to the people for ascertaining what is going on in the Empire. Every morning ample extracts from the papers decided upon or examined by the Emperor, including his own orders and rescrij^ts, are placarded upon boards in a court of the palace, and form the materials for the aimals of government and the history of the Empire. Couriers are despatched to all parts of the land, carrying copies of these papers to the high provincial officers; certain persons are also permitted to print these documents, but always without note or change, and circulate them at their own charges to their customers.

    This is the Peking Gazette, and such the mode of its compilation. It is simply a record of official acts, promotions, decrees, and sentences, without any editorial comments or explanations; and as such of great value in understanding the policy of government.

    It is very generally read and discussed by educated people in cities, and tends to keep them more acquainted with the character and proceedings of their rulers than ever the Itomans were of their sovereigns and Senate. In the provinces thousands of persons find employment by copying and abridging the Gazette for readers who cannot afford to purchase the complete edition.’

    ‘ Fraser’s Magazine. February, 1873. China Review, Vol. III., p. 13.

    Note on the Condition and Government of the Chinese Empire in 1849. By T F. Wade. Hongkong, 1850. Translations of several years of the Oazette have appeared since 1S72, reprinted from the columns of the North China Herald.

    THE PEKING GAZETTE AND SIX BOARDS. 421

    The principal executive Ixxlies uiulor these two Councils are the Lali Pa, or ‘ Six Boards/ which were modelled on much the same plan during the ancient dynasties. At the head of each Board are two presidents, called sJi<iti(j->ifi.i(, and foiTr vicepresidentsT called HhUaug^ alternately a Manchu and a Chinese; and over three of them—those of lievenue, War, and Punishment—are placed superintendents, who are frequently members of the Cabinet ; sometimes the president of one Board is superintendent of another. There a.re three subordinate grades of officers in each Board, who may be called directors, undersecretaries, and controllers, with a great number of minor clerks, and their appropriate departments for conducting the details of the general and peculiar business coming under the cognizance of the Board, the whole being arranged and subordinated in the most business-like style. The detail of all the departments in the general and provincial governments is regulated in the same manner. For instance, each Board” has a different style of envelope for its despatches, and the papers in the offices are filed away in them.

    3. The LiBu, or Board of Civil Office, ” has the government and direction of all the various officers in the civil service of the Empire, and thereby it assists the Emperor to rule all people ; ” these duties are further defined as hicluding ” whatever appertains to the plans of selecting rank and gradation, to the rules of determining degradation and promotion, to the ordinances of granting investitures and rewards, and the laws for fixing schedules and furloughs, that the civil service may be supplied.” Civilians arc presented to the Emperor, and all civil and literary officers throughout the Empire distributed by this Board. The great power apparently thus entrusted is shared by the two preceding, whose members are made advisory overseers of the highest appointments, while the provincial authorities put men in vacant posts as fast as they are needed. The danger arising from the arrangement is noticed by Biot’ as having early attracted criticism.

    ‘ Esaai mr P Instruction en Chine, jip. 540-589.

    This Board is subdivided into four bureaus. The first at tends to the distinctions, precedence, promotion, exchanging, etc., of officers. The second investigates their merits and worthiness to be recorded and advanced, or contrariwise ; ascertains the character each officer bears and the manner in which he fulfils his duties, and prescribes his fnrlonghs. The third jegnlates retirement from office on account of mourning or filial duties, and supervises the registration of official names; it is through this bureau that Hwang Xgan-tung, the Governor of Ivwangtung, was degraded in 1846 for not resigning his office on the death of his mother. The fourth regulates the distribution of titles, patents, and posthumous honors. The Chinese is the only government that ennobles ancestors for the merits of their descendants; the custom arose out of the worship paid them, in which the rites arc proportionate to the rank of the deceased, not of the survivor ; and if the deceased parent or grandparent were connnoners, they receive proper titles in consequence of the elevation of their son or grandson. This custom is not a trick of state to get money, for commoners cannot buy these posthumous titles ; they can only buy nominal titles for themselves. The usage, however, offers an unexpected illustration of the remark of Job, ” His sons come to honor, and he knoweth it not.”

    4. The Hu Bu, or Board of Revenue, ” directs the territorial government of the Empire, and keeps the lists of population in order to aid the Emperor in nourishing all people ; whatever appertains to the regulations for levying and collecting duties and taxes, to the plans for distributing salaries and allowances, to the rates for receipts and disbursements at the gi*anaries and treasuries, and to the rights for transporting by land and water are reported to this Board, that sufficient supplies for the country may be provided.” Besides these duties, it obtains the admeasurement of all lands in the Empire, and proportions taxes and conscriptions, according to the divisions, population, etc., regulates the expenditure, and ascertains the latitude and longitude of places. One minor office prepares lists of all the Manchu girls fit to be introduced into the palace for selection as inmates of the harem, a duty wdiich is enjoined on it because the allowances, outfits, and positions of these womou

    BOARDS OF REVENUE AND KITES. 423

    come within its control. The injudicious mode of collecting revenue common under the Persian and Syrian kings, by which the sums obtained from single cities and provinces were apportioned among the royal family and favorites, and carried directly to them, has never been practised by the Chinese, there are fourteen subordinate departments to attend to the receipt of the revenue from each of the provinces, each of which corresponds with the treasury department in its respective province. The revenue being paid in sundry ways and articles, as money, grain, manufactures, etc., the receipt and distribution of the various articles require a large force of assistants.

    This Board is moreover a court of appeal on disputes respecting propertyj^and superintends the mint in each province; one bureau is called the ” great ministers of the Three Treasuries,” viz., of metals, silks and dye-stuffs, and stationery.

    5. The Li Bu, or Board of Rites, ” examines and directs concerning the performance of the five kinds of ritual observances, and makes proclamation thereof to the whole Empire, thus aiding the Emperor in guiding all people. Whatever appertains to the ordinances for regulating precedence and literary distinctions, to the canons for maintaining; religious honor and fidelity, to the orders respecting intercourse and tribute, and to the forms of giving banquets and granting bounties, are reported to this Poard in order to promote national education.”

    The five classes of rites are defined to be those of a propitious and those of a felicitous nature, military and hospitable rites, and tliosj of an infelicitous nature. Among the subordinate departments is that of ceremonial forms, which ” has the regulation of the etiquette to be observed at court on all occasions, on congratulatory attendances, in the performance of official duties, etc. ; also the regulation of dresses, caps, etc. ; as to the figure, size, color, and nature of their fabrics and ornaments, of carriages and riding accoutrements, their form, etc., with the number of followers and insignia of rank. It has also the direction of the entire ceremonial of personal intercourse between the various ranks or peers, minutely defining the number of bows and degree of attention which each is to pay to the other when meeting in official capacities, according as they are on terms of equality or otherwise. It has also to direct the forms of their written official intercourse, including those to be observed in addresses to and from foreign states. The regulation of the literary examinations, the imnjber of the graduates the distinction of their classes, the fornisj)f their jelection, and the privileges of successful candidates, with the establishment of governmental schools and academies, are all under this department.”

    Another office superintends the rites to be observed in worshipping deities and spirits of departed monarchs, sages, and worthies, and in ” saving the sun and moon ” when eclipsed.

    The third, called ” iiost and guest office,” looks after tribute and tribute-bearers, ar^d takes the whole management of foreign embassies, supplying not only provisions, but translators, and ordering the mode of intercourse between China and other states. The fourth oversees the supplial of food for banquets and sacrifices. The details of all the multifarious ritual duties of this Board occupy fourteen volumes of the Statutes. ” Truly nothing is without its ceremonies,” as Confucius taught, and no nation has paid so much attention to them in the ordering of its government as the Chinese. The Book of Rites is the foundation of ceremonies and the infallible standard as to their meaning; the importance attached to them has elevated etiquette and I’itualism into a kind of crystallizing force which has molded Chinese character in many ways.

    Connected with the Board of Rites is a Board of Music, containing an indefinite number of officers whose duties ” are to study the principles of harmony and melody, to compose musical pieces’ and form instruments proper to play them, and then suit both to the various occasions on which they are required.” Kor are the gi*aces of posture-making neglected by these ceremony-mongers ; but it may with tinith be said, that if no other nation ever had a Board of Music, and required so much official music as the Chinese, certaiidy none ever had less real melody.

    THE BING BU, OR BOARD OF WAR. 425

    6. The Bing Bu, or Board of War, “has the duty of aiding the sovereign to protect the people by the direction of all military affairs in the metropolis and the province Sj^ and to regulate the hinge of the state upon the reports received from the various departments regarding deprivation of, or appointment to, office ; succession to, or creation of, hereditary military rank ; postal or courier arrangements ; examination and selection of the deserving, and accuracy of returns.”* The navy is also under the control of this Board. The management of the post is confided to a special department, and the transmission of official despatches is performed with great efficiency and regularity. A minor bureau of the courier office is called ” the office for the announcement of victories,” which, from a recital of its duties, appears to he rather a grande vlfes-se, whose couriers should hasten as if they announced a victory.

    To enable this Board of War to discharge its duties, they are apportioned under four s~\ or bureaus, severally attending to promotion for various reasons : to the regulation of the distribution of rewards and punishments, inspection of troops and issue of general orders, answering to an adjutant-general’s department; to the supply and distribution of horses for the cavalry; and, lastly, to the examination of candidates, preparation of estimates and rosters, with all the details connected with equipments and ammunition. The conception of all government with the Manchus being military and not civil, they have developed this board more than was the case during the last dynasty, the possessions in Central Asia having drawn greatly on their resources and prowess.

    The Household troops and city Gendarmerie have already been noticed ; their control is vested in the JVui-zric F’u, and the oversight of all the Bannermen in the Empire vests in the metropolitan office of the Tu-tun/j, or Captains-general, of whom there are twenty-four, one to every banner of each race. The Board of War has no control directly over this large portion of the Chinese army, and as the direction of the land and sea forces in each province is entrusted in a great degree to the local authorities, its duties are really more circumscribed than one would at first imagine. The singular subordination of military to civil power, which has ever distinguished the Chinese polity, makes the study of the army, as at present constituted, a very interesting feature of the national history ; fur while it has often proved inefficient to repress insurrection and defend the people against brigandage, it has never been used to destroy their institutions. In times of internal commotion the national soldiers have usually been loyal to their flag, though it must be confessed that discipline within the ranks is not so perfect as to prevent the soldiers from occasionally harassing and robbing those whom they are set to protect.’

    7. The Xing Bu, or Board of Punishments, ” has the government

    and direction of punishments throughout the Empire, for

    the purpose of aiding the sovereign in cori-ecting all people.

    Whatever appertains to measures of applying the laws with

    leniency or severity, to the task of hearing evidence and giving

    decisions, to the rights of granting pardons, reprieves, or otherwise,

    and to the rate of fines and interest, are all reported to

    this Board, to aid in giving dignity to national manners.” The

    Hing Pu partakes of the nature of both a criminal and civil

    court ; its officers usually meet with those of the Censorate and

    Tali Sz’, the three forming the San Fall 8z\ or ‘ Three Law

    Chambers,’ which decide on capital cases brought before them.

    In the autumn these three unite with members from six other

    courts, forming collectively a Court of Errors, to revise the decisions

    of the provincial judges before reporting them to his

    Majesty. These precautions are taken to prevent injustice

    when life is involved, and the system shows an endeavor to secure

    a full and impartial consideration for all capital cases,

    which, although it may signally fail of its full effect, does the

    rulers high credit, when the small value set upon life generally

    by Asiatic governments is considered. These bodies are expected

    to conform their decisions to the law, nor are they permitted

    to cite the Emperor’s own decisions as precedents, without

    the law on these decisions has been expressly entered as a

    supplementaiy clause in the code.

    It also belongs to sub-officers in the Board of Punishments to

    record all his Majesty’s decisions upon appeals from the provinces

    at the autumnal assizes, when the entire list is presented

    ‘ Chineae Refiository, Vol. lY., pp. 188, 276-287; Vol. V., pp. 165-178;Vol. XX., pp. 250, 800, and 863.- Memoires concernant Us Chinois^par k» Mmionuiren a Pekin, Tomes VII. and VIII., passim.

    BOARDS OF PUNISHMENTS AND WORKS. 427

    for Lis examination and ultimate decision, and see that these

    sentences are transmitted to the provincial judges. Another

    office snpei’intends the publication of the code, with all the

    changes and additions ; a third oversees jails and jailers ; a

    fourth i-eceives the fines levied by commutation of punishments,

    and a fifth registei’s the receipts and expenditures. If the administi-

    ation of the law in China at all corresponded with the

    equitj’ of most of its enactments, or the caution taken to prevent

    collusion, malversation, and haste on the part of the judges, it would be incomparably the best governed country out of Christendom; but the painful contrast between good laws and wicked rulers is such as to show the utter impossibility of securing the due administration of justice without higher moral principles than heathenism can teach.

    The yamiui of the Hlny Pa in the capital is the most active of all the Boards, but little is known of what goes on within its walls. Its prisoners are mostly brought from the provinces, officers of high rank arrested for malfeasance or failure, and criminals convicted or condemned there who have appealed to the highest tribunals. Few of those who enter its gates ever return through them, and their sufferings seldom end as long as they have any property left. The narrative of the horrible treatment endured by Loch and his comrades in ISCO, while confined within this yaiiiun^ gives a vivid picture of their sufferings, but native prisoners are not usually kept bound and pinioned.

    In the rear wall of the establishment is an iron door, through which dead bodies are thrust to be carried away to burial.

    8. The Gong Bu, or Board of Works, ” has the government and direction of the public works throughout the Empire, together with the current expenses of the same, for the purpose of aiding the Emperor to keep all people in a state of repose. Whatever appertains to plans for buildings of wood or earth, to the forms of useful instruments, to the laws for stopping up or opening channels, and to the ordinances for constructing the mausolea and temples, are reported to this Board in order to perfect national works.” Its duties are of a miscellaneous nature, and are performed in other countries b}^ no one department, though the plan adopted by the Chinese is not without its advantages

    One bureau takes cognizance of the condition of all city walls,

    palaces, temples, altars, and other public structures ; sits as a

    prize-office, and furnishes tents for his Majesty’s journeys ; supplies

    timber for ships, and potterj’ and glassware for the court.

    A second attends to the manufacture of mihtary stores and

    utensils employed in the army ; sorts the pearls from the fisheries

    according to their value ; regulates weights and measures,

    furnishes ” death-warrants ” to governors and generals ; and,

    lastly, takes charge of arsenals, stores, camp-equipage, and other

    things appertaining to the army. A third dcpailnient has

    charge of all water-ways and dikes; it also repairs and digs

    canals, erects bridges, oversees the banks of rivers by means of

    deputies stationed at posts along their course, builds vessels of

    Avar, collects tolls, mends roads, digs the sewers in Peking and

    cleans out its gutters, preserves ice, makes book-cases for public

    records, and, lastly, looks after the silks sent as taxes. Tlie

    fourth of these offices confines its attention chiefly to the condition

    of the imperial mausolea, the erection of the sepulchres

    and tablets of meritorious officers buried at public expense, and

    the adormnent of temples and palaces, as well as superintending

    ah workmen employed by the Board.

    The mint is under the direction of two vice-presidents, and

    the manufacture of gunpowder is specially intrusted to two

    great ministers. One would think, from this recital, that the

    functions of the Boai’d of AYorks Mere so diverse that it would

    be one of the most efficient parts of government ; but if the

    condition of forts, ports, dikes, etc., in other parts of the country

    corresponds to those along the coast, there is, as the Emperor

    once said of tlie army, ” the appearance of going to war,

    but not the reality “—most of the works being on record, and

    suffered to remain there, except when danger threatens, or his

    Majesty specially orders a public work, and, what is more important,

    furnishes the money.

    THE LI FAN YUAN, OR COLONIAL OFFICE. 429

    9. The Li Fan Yuan, or Court for the Government of Foreigners, commonly called the Colonial Office, ” has the government and direction of the external foreigners, orders their emoluments and honors, appoints their visits to court, and regulates their punishments, in order to display the majesty and goodness of the state.” This is an important branch of the government, and has the superintendence of all the wandering and settled tribes in Mongolia, Cobdo, Ili, and Koko-nor. All these are called wai fan, or ‘ external foreigners,’ in distinction from the tributary tribes in Sz’chuen and Formosa, who are termed ivuifan, or ‘ internal foreigners.’ There are also nui i

    and loai i, or ‘ internal and external barbarians,’ the former

    comprising the unsubdued mountaineers of Kweichau, and the

    latter the inhabitants of all foreign countries who do not choose

    to range themselves under the renovating influences of the Celestial

    Empire. The Colonial Othce regulates the government of the nomads and restricts their wanderings, lest they trespass on each other’s pasture-grounds. Its officers are all Manchus and Mongols, having over them one president and two vice-presidents, Manchus, and one Mongolian vice-president appointed for life.

    Besides the usual secretaries for conducting its general business,

    there are six departments, whose combined powers include

    every branch necessary for the management of these

    clans. The first two have jurisdiction over the numerous tribes

    and corps of the Inner Mongols, who are under more complete

    subjection than the others, and part have been placed under

    the control of officers in Chihli and Shansi. The appointment

    of local officers, collecting taxes, allotting land to Chinese settlers,

    opening roads, paying salaries, arranging the marriages,

    retinues, visits to courts, and presents made by the princes and

    the review of the troops, all appertain to these two departments.

    The third and fourth have a similar, but less effectual control

    over the princes, lamas, and tribes of Outer Mongolia. At

    TTrga reside two high ministers, organs of communication with

    Russia, and general overseers of the frontier. The oversight of

    the lama hierarchy in Mongolia is now completely under the

    control of this office ; and in Tibet their power has been considerably

    abridged. The fifth department directs the actions,

    restrains the powers, levies the taxes, and orders the tributary

    visits of the Mohannnedan begs in the Tien shan Xan Lu, who

    are quiet pretty nuich as they are paid by presents and flattered

    by honors. The sixth department regnlatesthe penal discipline

    of the tributary tribes. The salai’ies paid the Mongolian princes

    are distributed according to an economical scale. A tsin wmuj

    annually receives $2,000 and twenty-hve pieces of silk ; a kiun

    wang receives about $1,066 and iifteen pieces of silk ; and so on

    through the ranks of Eeile, JBeitse, Duke, etc., the last of whom

    gets a stipend of only $133 and four pieces of silk. The internal

    organization of these tribes is probably the same now as it

    was at first among the Scythians and Huns, and partakes of the

    features of the feudal and tribal system, modified by the nomadic

    lives they are obliged to lead. The Chinese government

    is endeavoring to reduce the influence and retinues of the khans

    and begs and elevate the people to positions of independent

    owners and cultivators of the soil.

    10. The DuCHA Yuan, or Censorate, i.e., ‘ All-examining Court,’ is entrusted with the ” care of manners and customs, the investigation of all public offices within, and without the capital, the discrimination between the good and bad performance of their business, and between the depravity and uprightness of the officers employed in them ; taking the lead of other censors, and uttering each his sentiments and reproofs, in order to cause officers to be diligent in attention to their daily duties, and to render the government of the Empire stable.” The Censorate, when joined with the Board of Punishments and Court of Appeal, forms a high court for the revision of criminal cases and hearing appeals from the pntvinces; and, in connection with the Six Boards and the Court of Representation and Appeal, makes one of the Iviu King, or ‘ Nine Courts,’ which deliberate on important affairs of government.

    The officers are two censors and four deputy censors, besides whom the governors, lieutenant-governors, and the governors of rivers and inland navigation are ex-offwlo deputy censors.

    A class of censors is placed over each of the Six Boards, whose

    duties are to supervise all their acts, to receive all public documents

    from the C^abinet, and after classifying them transmit

    them to the several courts to which they belong, and to make a

    semi-monthly examination of the papers entered on the archives

    uf each court. All ciiminal cases in the provinces come under

    THE DU-CHA YUAN, OR CENSORATE. 431

    the oversight of the censors at tlie capital, and the department

    which superintends the affairs of the nieti-opolis revises its

    municipal acts, settles the quarrels, and represses the crimes of

    its inhabitants. Tliese are the duties of the Censorate, tlian

    which no part of the Chinese government has attracted more

    attention. The privilege of reproof given by the law to the

    office of censor has sometimes been exercised with remarkable

    candor and plainness, and many cases are recoi-ded in histoiy

    of these officers suffering for tlieir fidelity, but such instances

    must be few indeed in proportion to the failures.

    The celebrated Sung, who was appointed commissioner to accompany

    Loi’d Macartney, once remonstrated with the Emperor

    Kiaking upon his attachment to play-actors and strong drink,

    which degraded him in the eyes of his people and incapacitated

    him from performing his duties. The Emperor, highly ii-ritated,

    called him to his presence, and on his confessing to the authorship

    of the memorial, asked him vidiat punishment he deserved.

    He answered, ” Quartering.” lie was told to select some

    other; “Let me be beheaded ;” and on a third command, he

    chose to be strangled. He was then ordered to retire, and the

    next “day the Emperor appointed him governor in llf, thus

    acknowledging his rectitude, though unable to bear his censure.

    History records the reply of another censor in the reign of an

    Emperor of the Tang dynasty, who, when his Majesty once desired

    to inspect the archives of the historiographer’s office, in

    order to learn what had been recorded concei’ning himself,

    under the excuse that he nuist know his faults before he could

    well correct them, was answered : ” It is true your Majesty has

    committed a number of errors, and it has been the painful duty

    of our employment to take notice of them ; a duty which further

    obliges us to inform posterity of the conversation which

    your Majesty has this day, very improperly, held with us.”

    The censors usually attend on all state occasions by the side

    of his Majesty, and are frequently allowed to express tlieir

    opinions openly, but in a despotic government this is little else

    than a fiction of state, for the fear of offendhig the imperial ear,

    and consequent disgrace, will usually prove stronger than the

    consciousness of right or the desires of a public fame and martyrdom for the sake of principle. The usual mode of advising is to send in a remonstrance against a proposed act, as when one of the body in 1832 remonstrated against the Emperor paying attention to anonymous accusations ; or to suggest a different procedure, as the memorials of Chu Tsun against legalizing opium. The number of these papers inserted in the Peking Gazette for the information of the Empire, in many of which the acts of officers are severely reprehended, shows that the censors are not altogether idle. In 1833 a censor named Slii requested the Emperor to interdict official persons at court from writing private letters concerning public persons and affairs in the provinces. lie stated that when candidates left the capital for their provincial stations, private letters were sent by them from their friends to the provincial authorities, ” sounding

    the voice of influence and interest,” by which means justice

    M-as perverted. The Emperor ordered the Cabinet to examine

    the censor and get his facts in proof of these statements, but on

    inquiry he either would not or could not bring forward any

    cases, and he himself consequently received a reprimand.

    ‘^’ These censors are allowed,” says the Emperor, ” to tell me

    the reports they hear, to inform me concerning courtiers” and

    governors who pervert the laws, and to speak plainly about any

    defect or impropriety which they may oljserve in the monaich

    himself; but they are not permitted to employ their pencils in

    writing memorials which are filled M’i^^h vague surmises and

    mei’e probabilities or suppositions. This would only fill my

    mind with doubts and uncertainty, and T wo;dd not know what

    men to employ; were this spirit indulged, the detrinie?)t of

    government would be most serious. Let 8ii ))0 subjected to a

    court of inquiry.”

    ‘J’lie suspension or disgrace of censors for their freedom of

    speech is a common occurrence, and among the forty or fifty

    persons who have this privilege a few are to be found who do

    not hesitate to lift up their voice against what they deem to be

    wrong; and there is reason for supposing that only a small portion

    of their remonstrances appeai-s in the Gazette. With regard

    to this depai’tment of government, it is to be observed

    that although it may tend only in a partial degree to check

    COURTS OF TUANSMISSION AND JUPTCATURE. 433

    Oppression and reform ahusos, and wliilc a close examination of

    its real operations and intlnenee and the character of its members

    may excite more contempt than respect, still the existence of

    such a body, and the pnblication of its memorials, can hardly

    fail to rectif}’ misconduct to some degree, and check maladministration

    before it results in widespread evil. The (Jensorate is,

    however, only one of a number of checks upon the conduct of

    officers, and perhaps by no means the strongest.’

    11. The TuNG-cniNG Sz’, which may be called a Court of

    Transmission, consists of a small body of six officers, whose

    duty is to receive memorials from the provincial authorities and

    appeals from their judgment by the people and present them to

    the Cabinet. Attached to this Court is an office for attending

    at the palace-gate to await the beating of a drum, which, in conformity

    with an ancient custom, is placed there that applicants

    may by striking it obtain a hearing. It is also the channel

    through which the people can directly appeal to his Majesty,

    and cases occur of individuals, even women and girls, travelling

    to the capital from remote places to present their petitions for

    redress before the throne. The feeling of blood revenge prevails

    among the Chinese, and impels many of these weak and

    unprotected persons to undergo great hardships to obtain legal

    redress, when the lives of their parents have been unjustly

    taken by powerful and rich enemies.

    12. The Ta-li Sz’, or Court of Judicature and Eevision, has

    the duty of adjusting all the criminal courts in the Empire, and

    forms the nearest approach to a Supreme Court in the government,

    though the cases brought before it are mostly criminal.

    “When the crimes involve life, this and the preceding unite

    with the Censorate to form one coui’t, and if the judges are

    ]i()t unanimous in their decisions they must report their reasons

    to the Emperor, who M’ill pass judgment upon them. In a despotic

    government no one can expect that the executive officers

    of courts will exercise their functions with that caution and

    ‘ Compare an article by E. C Taintor, in Notes and Queries on China and Japan. Chinese Repository, Vols. IV., pp. 148, 164, and 177, and XII., pp.62 and 67.

    equity required in Christian countries, but considerable care has

    been taken to obtain as great a degree of justice as possible.

    IJr. The Hanlin Yuen, or Imperial Academy, is entrusted

    ” with the duty of drawing up governmental documents, histories,

    and other works ; its chief officers take tlie lead of the

    various classes, and excite their exertions to advance in learning

    in order to prepare them for employments and fit them for attending

    upon the sovereign.” This body has, it is highly probable,

    some similarity to the collection of learned men to whom

    the King of Babylon entrusted the education of promising

    young men, for although the members of the Ilanlin Yuen do

    not, to any great degree, educate persons, they are constantly

    referred to as the Chaldeans were by Belshazzai-. Sir John

    Davis likens it to the Sorbonne, inasmuch as it expounds the

    sacred books of the Chinese. Its chief officers are two presidents

    or senior members, called chuiang yuen hioh-sz\ m*1io are

    usually appointed for life ; they attend upon the Emperor,

    superintend the studies of graduates, and furnish semi-annual

    lists of persons to be ” speakers” at the ” classical feasts,” where

    the literary essays of his Majesty are translated from and into

    Manchu and read before him.

    Subordinate to the two senior members are four grades of

    officers, five in each grade, together with an imlimited number

    of senior graduates, each forming a sort of college, whose duties

    are to prepare all works published under governmental sanction

    ; these persons are subject from time to time to fresh examination,

    and are liable to lose their degrees or be altogether

    dismissed from office if found faulty or deficient. Subordinate

    to the Hanlin Yuen is an office consisting of twenty-two selected

    members, who in rotation attend on the Emperor and make a

    record of his words and actions. There is also an additional

    office for the preparation of national histories.

    The situation of a member of the Ilanlin is one of considerable

    honor and literary ease, and scholars look forward to a station

    in it as one which confers dignity in a government where

    all officers are appointed according to their literary merit, l)ut

    much more from its being the body from which the Emperor

    selects his most responsible offi-ers. A graduate of this rank is

    THE IIANLIN AND MINOR COURTS. 435

    most likely to be nominated to a vacant office, though the possession

    uf the title does not of itself warrant a place.’

    Before proceeding to consider the provincial governments,

    notices of some of the other de})artments not connected with

    the general machinery of the state are here in place. The

    municipality of Peking has already been mentioned when describing

    the capital ; it is intimately connected with the general

    government and forms an integral part of the machine.

    Among the courts not connected with tlie nnmicipal rule of the

    metropolis, nor forming one of the great departments of state,

    is Tal-chang Sz\ or ‘ Sacrificial Court,’ whose officers ” direct

    the sacrificial observances and distinguish the various instruments

    and the quality of the sacrifices.” Their duties are of importance iti connection with the state religion, and they rank high among the court dignitaries of the Empire, but as members of this, possess no power. The Tal-jyuTi Sz\ or Superintendent of II. I. ]\I.’s Stud, is an office for “rearing horses, taking account of their increase, and regulating their training;” large tracts of land beyond the Great “Wall are appropriated to this purpose, and the clerks of this office, under the direction of the Board of War, oversee the herdsmen and grooms.

    The JCwanrjluh Ss\ or ‘Banqueting House,’ has the charge

    of ” feasting the meritorious and banqueting the deserving ;

    it is somewhat subordinate to the Board of Rites, and provides

    whatever is necessary for banquets given to literary graduates,

    foreign ambassadors, etc. The Jlunz/hc >&’, or ‘ Ceremonial

    Court,’ regulates the forms to be observed at these banquets,

    which consist in little else than marshalling the guests according

    to their proper ranks and directing them when to make the

    Ivtow, called also scui Jewel hlu Jcao, ” three kneelings and nine

    knockings.” The Guozi’ Jian, or ‘ National College,’ is a different institution from the Hanlin Yuen, and intended for teaching graduates of the lower degrees; the departments of study are the Chinese language, the classics and mathematics, each branch having its appropriate teachers, with some higher officers, both Chinese and Manchu.

    ‘ Dr. W. A. P. Martin, Th& Chinese.

    The Qin Tian Jian, or ‘ Imperial Astronomical College,’ as might be expected, is much more astrological than astronomical; its duties are defined to 1)0 ” to direct the ascertainment of times and the movements of the heaveidy bodies, in order to attain conformity with the celestial periods and to regulate the notati(Mi of time among inen ; all things relating to divination and the selection of days are under its charge.” The preparation of the almanac, in which, among other things, lucky and unlucky days are marked for the performance of all the important acts of life, and astrological and chiromantic absurdities inserted for the amusement of fortune-tellers and others, the instruction of a few pupils, and care of the observatory, occupy most of the time of its officers. It is now of no practical use, and as the Tang-icdn Kuxtii develops into a learned and efficient college, including astronomy and medicine and their kindred branches, these native Boards will gradually pass away.

    The other local courts of the capital seem to have been subdivided and multiplied to a great degree for the purpose of affording employment to a larger number of persons, especially Manchus and graduates, so that the Emperor can attach them to himself and be surer of their support in case of any insurrection on the part of the people, and also that he may have them more under his control. The nundjer of clerks and minor offices in all the general departments of state is doubtless more numerous than it would be in a European government. In the nnitual relations of the great departments of the Chinese government the principles of responsibility and surveillance among the officers are plainly exhibited, while regard has been paid to such a division and apportionment of labor as would secure great efficiency and care, if every member of the machine faithfully did his duty. Two presidents are stationed over each Board to assist and watch each other, while the two presidents oversee the four vice-presidents ; the president of one Board is sometimes the vice-president of another ; and by means of the Censorate and the General Council every portion is brought under the cognizance of several independent officers, whose mutual jealousy and regard for individual advancement, or a

    RELATION OF THE KMPEUOIl WITH HIS OFFICIALS. 437

    partial desire for tlie well-being of tlie state, affords the Emperor

    some guarantee of fidelit}-. Tlie seclusion in which he

    lives makes it difficult for any conspirator to approach his person,

    but his own fears regarding the management of such an

    immense Empire compel him to inform himself respecting the’

    actions of ministers, generals, and proconsular governors. The

    conduct and devotion of hundreds of officers, both civil and

    military, during the wars with Great Britain and the suppression

    of rebellions within the last thirty years, afford proof

    enough that he has attached his subordinates to his service by

    some other principle than fear. The total number of civilians

    holding office is estimated at about fourteen thousand persons,

    but those dependent on the government are many times this

    amount.

    The rulers of China have contrived the system of provincial governments in an admirable manner, considering the character of the people and the materials they had to work with; no better proof of their sagacity in this respect can be required than the general degree of good order which has been maintained for nearly two centuries, and the great progress the people have made in wealth, numbers, and power. By a well-arranged plan of checks and changes in the provincial authorities, the chances of their abusing position and power and combining to overthrow the supreme government have been reduced almost to an impossibility; the influence of mutual responsibility among them does something to prevent outrageous oppression of the people, by leading one to accuse another of high crimes in order to exonerate himself or obtain his place. The sons and relatives of the Emperor being excluded from civil office inthe provinces, the high-spirited and talented native Chinese do

    not feel inclined to cabal against the government because every

    avenue to emolument aiid power is filled and closed against them

    by creatures and connections of the sovereign ; nor when in office

    are they disposed to attempt the overthrow of the reigning

    family, lest they lose what has cost them many years of toilsome

    study and the wealth and influence of friends to attain.

    The examination of these pashaliks is furthermore entitled to notice from the degree of power delegated to their highest officers, and the shrewd manner in which its exercise has been circumscribed and rendered amenable to its imperial source.

    The highest officers in the provinces are afsu/iyfuh, lit. ‘general director,’ or governor-general, and the fatal or fuyuen, ‘ soother ‘ or governor. The former is often called a viceroy, but that term seems to be quite inapplicable M-hen used to denote an officer within the limits of the state ; governor-general, or proconsul, is more analogous to his duties. A translation of these and many other Chinese titles does not convey their exact functions, but in some cases an equivalent is more intelligible than a translation.’ The tsungtuh has rule over two provinces, or else fills two high offices in one province, while the fntd’i is placed over one province, either independent of or in subordination to a tsungtuh^ as enumerated in the table on page 61.

    An examination of the Tied Booh for 1852 showed that out

    of a total of 20,327 names in it, 10,-174 were Chinese, 3,29.5

    were Manclius and Mongols, and 558 enrolled Chinese ; in the

    copy for 1844, out of 12,758 names, 10,403 were Chinese, 1,708

    Manchus, and 527 enrolled Cliinese ; these figui-es include only

    civilians and the employees in Peking. The Eighteen Provinces

    ha\e altogether less than two thousand persons in office al)ove

    the raidc of assistant district magistrate, viz. : 8 governor-generals,

    15 governors, 19 treasurers, 18 judges, 17 chancellors, 15

    commanders of the forces, including 2 admirals and 1,740 prefects

    and magistrates. All those filling tlie high grades in this

    series report themselves to the Enq)eror twice every month, by

    sending him a salutatory card upon yellow paper, enclosed in a

    silken envelope ; stating, for instance, that ‘ Lin Tseh-sii, governor-

    general of Liang Ivwang, humbly presents his duty to the

    throne, wishing his Majesty repose.’ The Emperor replies M’ith

    the vei’niilion ])encil, Cli’ni ngan, ij\, ‘ Ourself is well.’

    The duties of the governor-general consist in the collective

    control of all affairs, civil and military, in the regioii under hia

    jurisdiction ; he occupies, in his sphere, under correction, the

    same authority that the Emperor does over the whole Empire.

    ‘ Mayers’ Manual of Chinese Titles furnishes tlio best compend for learning their duties and names.

    IIIGIIP:ii PROVINCIAL ALTIlOliniKS. 439

    The futai has a similar control, but in an inferior degree when there is a tstungtuh, in the more special supervision of the administrative part of the civil government, as distinguished from the revenue, gabel, or literary branches.

    The departments of the civil government are five, viz. : administrative,

    literary, gabel, commissariat, and excise ; the first

    being also divided into the teri-itorial and financial and the

    judicial branches. At the head of the first branch is the j»j>t^-

    ihing sz^ {i.e., ]-egulating-government commissioner), who is

    usually called the treasurer ; the ngan-chah sz\ or ‘ criminal

    judge,’ presides over the second. These two ofiicers often unite

    their deliberations in the direction of any territoi’ial or financial

    business, or the trial of important cases. The literary department

    is placed under the direction of an ofiicer selected from

    among the members of the Hani in Academy, called a hioh-ching,

    director of learning, or literary chancellor ; there are seventeen

    of them altogether. The gabel and connnissariat are usually

    supervised l)y certain intermediate ofiicers called tao, or taotai,

    sometimes termed intendants of circuit, who have other functions

    in addition. The excise, or conmiercial department, is under /ivV;*^?^^, or superintendents, but the details of these three branches vary considerably in different provinces. The officers of the excise, either in the interior or on the coast, are made amenable

    to their supei-iors in the province, but their functions are exercised

    in an irregular manner ; for the collection of the revenue is

    a difficult affair, and mostly entrusted to the local magistrates.

    The military govemment of a province includes both the land

    and sea forces. It is under a tHuh, or commander-in-chief, of

    which rank there are in all sixteen, twelve of them commanding

    one arm alone, and four controlling both land and sea forces.

    In five provinces the futai is commander-in-chief, and in

    Ivansuh there are two. Above the tttuJ}, in point of rank but

    not of power, are placed garrisons of Manchu Bannermen under

    a tsicmg-Jciun, or general, whose ofiice is conferred, and his

    actions directly controlled, by the captains-general in Peking;

    he has jurisdiction, usually, only in the city itself, the principal

    object of the appointment, api)areTitly, being to check any treasonable designs of the civil authorities.

    The duties and relations of these various grades with one another require some further explanation, however, to be understood.

    The three officers, tsunytuh, fatal, and tslaiujMun (if there be one), form a supreme council, and unite in deliberating upon a measure, calling in the subordinate officer to whose department it particularly belongs, and to whom its execution is io be committed, the whole forming a deliberative board, though “the responsibility of the act rests with the two highest officers.

    By this means the various members of the provincial government

    become better acquainted with each other’s character and

    plans, though their intercourse is nuich restricted by precedence

    and rivalry. In the provincial courts civilians always take precedence

    of military officers ; the governor-general and Banner

    commander, governor and major-general, the literary chancellor

    and collector of customs, rank with each other ; then follow the

    treasurer, the judge, and other civilians. The authority of the

    governor-general extends to life and death, to the temporary

    appointment to all vacant offices in the province, to ordering

    the troops to any part of it, issuing such laws and taking such

    measures as are necessary for the security and peace of the

    region committed to his care, or any other steps he sees necessary.

    The futal also has the power of life and death, and

    attends to appeals of criminal cases ; he oversees, moreover, the

    conduct of the lower civilians.

    IS^ext in rank to i\\e j)u-ching sz^ and ngan-chah sz\ who always reside in the provincial capital, are the intendants of circuit, who are located in the circuits consisting of two or three prefectures united for this purpose. They are deputies of the two highest functionaries, and their delegated power often includes military as well as civil authority, the chief object of their appointment being to relieve and assist those high functionaries in the discharge of their extensive duties. Some of the intendants are appointed to supervise the proceedings of the prefects and district magistrates; others are stationed at important posts to protect them, and those connected with foreign trade at the open ports have no territorial jurisdiction.

    SUBORDINATE PROVINCIAL AUTHORITIES. 441

    Subordinate to the governors, through the intendants of circuits, are the prefects or head magistrates of departments, called Zhifu/Zhizhou, and ting tungchi, i.e., ‘knowers’ of them, according as they are placed over fu, zhou, or ting departments.

    It is the duty of these persons to make themselves acquainted with everything that takes place within their jurisdiction, and they are held responsible for the full execution of whatever orders are transmitted to them, all presenting their reports and receiving their orders through the intendants.

    The practical efficiency of the Chinese government in promoting the welfare of the people and preserving the peace depends chiefly upon these officers. The people themselves are prone to quarrel and oppress each other ; beggars, robbers, tramps, and shysters stir up disorders in various ways, and need wise and vigorous hands to repress and punish them ; while all classes avoid and resist the tax-gatherer as much as is safe. The proverb, ” A Zhifu can exterminate a family, a chihien can confiscate a patrimony,” indicates the popular fear of their power.

    The subdivisional pai’ts of departments, called ting, chau, and

    hien, have each their separate officers, who report to the chifu

    and cliicliau above them ; these are called tungcM, clacJiau, and

    ch’tJiien, and may all be denominated district magistrates. The

    parts of districts called sz’ are placed under the control of siuii-

    I’ien, circuit-restrainers, or hundreders, who form the last in the

    regular series of descending; rank—the last of the ” connnissioned

    officers,” as they might not improperly be called. The

    prefects sometimes have deputies directly under them, as the

    governor has his intendants, when their jurisdiction is very

    large or important, who are called hiunininfu and tungchi, i.e.,

    ‘ joint-knowers.’ The deputies of district magistrates are termed

    chautung and chmiptran for the chlchan, and hienching and

    chufu for the cJdhien^ the last also have others called tso-tang

    And yu-tang, i.e., left-tenants and right-tenants.

    Resides these assistants there are others, both in the departments and districts, having the oversight of the police, collection of the taxes and management of the revenue, care of waterways, and many other subdivisions of legislative duties, which it is unnecessary to particularize. They are appointed whenever and wherever the territory is so large and the duties so onerous that one man cannot attend to all, or it is not safe to entrust him with them. They have nearly as much power as their superiors in the department entrusted to them, but none of them have judicial or legislative functions, and the routine of their othces affords them less scope for oppression. ±\oy is it worth while to notice the great number of clerks, registrars, and secretaries found in connection with the various ranks of dignitaries here mentioned, or the multitude of petty subordinates found in the provinces and placed over particular places or duties as necessity may require. Their number is very large, and the responsibility of their proceedings devolves upon the higher officers who receive their reports and direct their actions.

    The common people suffer more from these ” rats under the altar,” as a Chinese proverb calls them, than from their superiors, because, unlike them, they are usually natives of the place and better acquainted with the condition of the inhabitants, and are not so often removed. The fear of getting into their clutches restrains from evil doings perhaps more than all punishments, though the people soon complain of high-handed acts in a way not to be disregarded. (3ne saying, ” Underlings see money as a fly sees blood,” indicates their penchant, as another, ” Cash drops into an underling’s paw as a sheep falls into a tiger’s jaw,” does the popular notion how to please them.

    Each intendant, prefect, and district magistrate has special

    secretaries in his ofhce for riling papers, writing and transmitting-

    despatches, investigating cases, recording evidence, keeping

    accounts, and performing other functions. All above the chihien

    are allowed to keep private secretaries, called sz’ ye, who

    are usually personal friends, and accompany the officers wliereever

    they go for the purpose of advising them and preparing

    their official documents. The ngan-chah s£ have jailers under

    their control, as have also the more important prefects.

    The appointment of officers being theoretically founded on

    literary merit, those to whom is committed the supervision of

    students and conferment of degrees would naturally be of a

    high grade. The Jiioh-ehlti’/, or literary chancellor, of the province,

    therefore ranks next to the governor, more, however, because

    he is specially ai)pointed by his Majesty and oversees thia

    LITEKAKY, (lABEL, AND REVENUE DEPARTMENTS. 443

    hrancli of the goveniinent, than from the power coinniitted to

    liis liaiids. Under him aie head-teachers of different degrees

    of autliority, residing in the cliief towns of departments and

    districts, tlie ^vhole forming a simihir series of functionaries to

    M’hat exists in tlie civil department. These subordinates have

    merely a greater or less degree of supervision over the studies of

    students, and the colleges established for the promotion of learning

    in the chief towns of departments. The business of conferring

    the lower degrees appertains exclusively to the chancellor,

    who makes an annual circnit through the province for that purpose,

    and holds examinations in the chief town of each department,

    to which all students residing within its limits can come.

    The gabel, or salt department, is under the control of a special

    officer, called a ” commissioner for the transport of salt,”

    and forming in the five maritime provinces one of thesau s.z\ or

    three commissioners, of which the j>u-e/ung sz’ and ngan-chah ss’

    are the other two. There are, above these commissioners, eight

    directors of the salt monopoly, stationed at the depots in Chihli

    and Shantung, M’ho, however, also fill other offices, and have

    rather a nominal responsibility over the lower commissioners.

    The number and rank of the ofilcers comiected with the salt

    monopoly show its importance, and is proof of how large a revenue

    is derived fi-om an article which will bear such an expensive establishment. At present its administration costs about as much as its receipts.

    The commissariat and revenne department is nnusually large

    in China compared with other countries, for the plan of collecting

    any part of the revenue in kind necessarily requires nnmerous

    vehicles for transporting and buildings for storing it, which

    still further multiplies the number of clerks and hands employed.

    The transportation of grain along the Yangtsz’ River is under

    the control of a tsungtuh, who. also oversees the disposal and

    directs the collectors of it in eight of the provinces adjacent to

    this river. The office of liang-chu tao, or commissioner to collect

    grain, is found in twelve provinces, the pu-ehing.sz’ attending

    to this duty in six ; the supervision of the subordinate agents of this department in the several districts is in the hands of the prefects and district magistrates.- That feature of the Chinese system which makes officers mutually responsible, seems to lead the superior powers to confer such various duties upon

    one functionary, in order that he may thus have a general

    knowledge of what is going on about and under him, and ref)ort

    what he deems amiss. It is not, indeed, likely that such was the

    original arrangement, for the Chinese government has come to

    its present composition by slow degrees ; but such is, so far as

    can be seen, the effect of it, and it serves in no little degree to

    accomplish the designs of the rulers to bind the main and lesser

    wheels of the huge machine to themselves and to one another.

    The customs and excise are under the management of different

    grades of officers according to the importance of their posts.

    The transit duties levied at the excise stations placed in every

    town are collected by officers acting under the local authorities,

    and have nothing to do with the collection of maritime duties.

    This tax, called li-kin, or ‘a cash a catty,’ has lately been

    greatly increased, and the natural result has been to destroy the

    trade it preyed on, or divert it to other channels. The foreign

    merchants and officers have, too, protested against its imposition,

    seeing that their trade was checked.

    Kecapitulating in tabular form, we may say that outside of

    the Cabinet, Council, Boards, and Courts at the capital, the

    government (in the Eighteen Provinces) is in the hands of: 8 Governors-General (6 governing two provinces each).

    15 Governors. 11) Commissioners of Finance (2 for Kiangsu).

    18 Commissioners of Justice.

    4 Directors of the Salt Gabel.

    9 Collectors (independent of these).

    13 Commissioners of Grain, or Commissaries.

    G4 Intendants of Circuit.

    182 Prefects.

    G8 Prefects of Inferior Departments.

    18 Independent Subprefects.

    180 Dependent Subprefects.

    139 Deputy Subprefects.

    141 District Magistrates of the Fifth

    Class.

    1,232 District Magistrates of the Seventh

    Class.

    The military section of the provincial governments is under

    the control of a tituh, or major-general, who resides at a central

    post, and, in conjunction with the governor-general and

    governor, directs the movements of the forces, while these last

    have also an independent control over a certain body of troops

    belonging to them officially. The various grades of officers in

    the native army, and the portion of troops under each of them,

    MILITARY AND NAVAL DEPARTMENTS. 445

    stationed in the garrisons and forts in different parts of the

    provinces, are all arranged in a methodical manner, which will

    bear examination and comparison with the army of any country

    in the world. The native force in each province is distinct

    from the Manchu troops, and is divided somewhat according to

    the Roman plan of legion, cohort, maniple, and century, over

    each of which are officers, from colonel down to sergeant.

    Nothing is wanting to the Chinese army to make it fully adequate to the defence of the country but discipline and confidence in itself ; for lack of practice and systematic drilling have made it an army of paper warriors against a resolute enemy. Nevertheless, the recent campaigns against the rebels in the extreme western colonies indicate the fact that its regeneration is already of some weight. On the other hand, it has no doubt been for the good of the Chinese people and government—the advance of the first in wealth, numbers, and security, and the consolidation and efficiency of the latter—that they have cultivated letters rather than arms, peace more than war.

    All the general officers in the army have fixed places of residence,

    at which the larger portion of their respective brigades

    remain, while detachments are stationed at various points within

    their command. The governor, major-general, and Banner

    commandant have commands independent of each other, but

    the tituh,OY major-general, exei-cises the principal military sway.

    The navai officers have the same names as those in the army,

    and the two are interchanged and promoted from one service to

    the other. Admirals and vice-admirals usually reside on shore,

    and despatch their subordinates in squadrons or single vessels

    wherever occasion requires. This system must, ere long, give

    place to a better division of the two arms with the building of

    steam vessels and management of arsenals, when junks are

    superseded.

    The system of mutually checking the provincial officers is

    also exhibited in their location. For example, in the city of

    Canton the governor-general is stationed in the Xew city near

    the collector of customs, while the lieutenant-governor and

    Manchu general are so located in the Old city that should circumstances require they can act against the two first. The governor has the general command of all the provincial troops,

    estimated to be one hundred thousand men, but the particukir

    command of only five thousand, and they are stationed fifty

    miles off, at Sliauking fu. The ts’uoiy A-ii/.n has five thousand

    men under him in the Old city, which, in an extreme case,

    would make him master of tlie capital, while his own allegiance

    is secured by the antipathy between the Manchus and Chinese

    preventing liim from combining with the latter. Again, the

    governor-general has the power of condenming certain criminals

    to death, but the vxincj-iiiuKj^ or death-warrant, is lodged

    with tlie fatal, and the order for execution must be countersigned

    by him ; his despatches to court must be also countersigned

    b}’ his coadjutor. The general absence of resistance to

    the imperial sway on the part of these high officers during the

    two centuries of Manchu rule, when compared with the multiplied

    intrigues and rebellions of the pashas in the Turkish

    Empire, proves how well the system is concocted.

    In order to enable the superior officers to exercise greater

    vigilance over their inferiors, they have the privilege of sending

    special messengers, invested with full power, to every part

    of their jurisdiction. The Emperor himself never visits the

    provinces judicially, nor has an Emperor been south of the

    capital during the present century ; he therefore constantly

    sends connnissioners or legates, called llncJuii, to all parts of the

    Empire, ostensibly entrusted M’ith the management of a particular

    business, but required also to take a general surveillance of

    what is going on. The ancient Persians had a similar system

    of commissioners, who M-ere called the eyes and ears of the

    prince, and made the circuit of the empire to oversee all that

    was done. There are numy points of resemblance between the

    structure of these two ancient monarchies, the body of councillors

    who assisted the prince in his deliberations, the presidents

    over the provinces, the satraps, etc. ; but tlie Persians had not

    the elements of perpetuity which the system of connnon schools

    and official examinations <rive to the Chinese iiovernment.”

    ‘ RoUin’s Aricient Ilktory, Chap. IV. Manners of the Assyrians. Heeren’aAsiatic Researches, Vol. I., Chap. II.

    TRAVELLINCJ DEPUTIES AND COMMISSIONKRS. 447

    Governors in like manner send their deputies and agents, called weiyuen, over the province ; and even the prefects and intendants despatch their messengers. All these functionaries, during the time of their mission, take rank with the highest officers according to the quality of their employers; but the imperial connnissioners, who for one object or another are constantly passing and repassing through the Empire in every direction, exercise great influence in the government, and are powerful agents in the hands of the Emperor for keeping his proconsuls at their duty.

    CHAPTER VIII. ADMINISTRATION OF THE LAWS

    The preceding chapter contains a general view of the plan upon which the central and provincial governments of the Empire are constircted ; and if an examination of the conduct of oiRcers in every department shows their extortion, cruelty, and venalitv, it will not, in the opinion of the liberal-minded reader, detract from the general excellence of the theory of the government, and the sagacity exhibited in the system of checks designed to restrain the various parts from interfering with the well-being of the whole. In addition to the division of power and the restrictions upon Chinese officers already mentioned, there are other means adopted in their location and alternation 10 prevent combination and resistance against the head of the state. One of them is the law forbidding a man to hold any civil office in his native province, which, besides stopping all intrigue where it would best succeed, has the further effect of congregating aspirants for office at Peking, where they come in hope of obtaining some post, or of succeeding in the examination for the highest literary degrees. The central government could not contrive a better plan for bringing all the ambitious and talented men in the country under its observation before appointing them to clerkships in the capital, or scattering them in the provinces.

    Moreover, no officer is allowed to marry in the jurisdiction under his control, nor own land in it, nor have a son, brother, or near relative holding office under him ; and he is seldom continued in the same station or province for more than three or four years, QVfanchus and (liinese are mingled together in high stations, and obligations are imposed on certain grandees

    CHECKS PLACED UPON OFFICIMIDLDEKS. 449

    to inform the Emperor of each other’s acts. Members of the imperial clan are required to attend the meetings of the Boards at the capita], and observe and report what they deem amiss or Qf interest to the Emperor and his council; while in all the upper departments of the general and provincial governments, a system of espionage is can-ied out, detrimental to all principles of honorable fidelity, such as we look for in officiajA, but not without some good effects in a weak despotism like China.

    OThere is, besides this constant surveillance, a triennial catalogue made out of the merits and demerits of all officers in the Empire, which is submitted to imperial inspection by the Board of Civil Office. In order to collect the details for this catalogue, it is incumbent upon every provincial officer to report upon the character and cpialiiications of those under him, and the list, when made out, is forwarded by the govei-nor to the capital./

    The points of character are arranged under six different heads, viz.: those wh(i are not diligent, the inefficient, the superficial, the untalented, superannuated, and diseased. ( According to the opinion given in this report, officers are elevated or degraded so many steps in the scale of merit, like school-boys in a class, and whenever they issue an edict are required to state how many steps they have been advanced or degraded, and how many times recorded. Officers are required to accuse themselves, when guilty of crime, either in their own conduct or that of their subordinates, and request punishment^ The results of this peculiar and patriarchal mode of teaching officers their duty will be best exhibited by quoting from a rescript of Taukwang’s, issued in February, 1837, after one of the catalogues had been submitted to his Majesty.

    “The cabinet minister Cliangling lias strenuously exerted himself during a long lapse of years ; he has reached the eightieth year of his age, yet his energies are still in full force. His colleagues Pwan Shi-ngan and Muchangah, as well as the assistant cabinet minister Wang Ting, have invariably displayed diligence and attention, and have not failed in yielding us assistance. Tang Kin-chau, president of the Board of Office, has knowledge and attainments of a respectable and sterling character, and has shown himself public-spirited and intelligent in the performance of special duties assigned to him. Shi Chi-yen, president of the Board of Punishments, retains his usual strength and energies, and in the performance of his judicial duties has displayed perspicacity and circumspection. The assistant cabinet minister and governor of Chihli province, Kislien, transacts the affairs of his government with faithfulness, and the military force under his control is well disciplined. Husunge, the governor of Sliensi and Kausuh provinces, is cautious and prudent, and perrorms his duties with careful exa,ctness. iKpu, governor of Yunnan and Kweichau, is well versed in the affairs of his frontier government, and has fully succeeded in pre erving it free from disturbance. Linking, who is entrusted with the general charge of the rivers in Kiangnan, has not failed in his care of the embankments, and has preserved the surrounding districts from all disquietude. To show our favor unto all these, let the Board of Office determine on appropriate marks of distinction for them.

    “Kweisan, subordinate minister of the Cabinet, is hasty and deficient, both in precision and capacity ; he is incapable of moving and acting for himself; let him take an inferior station, and receive an appointment in the second class of the guards. Yihtsih, vice-president of the Board of Works for Mukden, possesses but ordinary talents, and is incompetent to the duties of his present office; let him also take an inferior station, and be appointed to a place in the first class of guards. Narkinge, the governor-general of Hukwang, though having under him the whole civil and military bodies of two provinces, has yet been unable, these many days, to seize a few beggarly impish vagabonds : a’”ter having in the first instance failed in prevention, he has followed up that failure by idleness and remissness, and has fully proved himself inefficient. Let him take the lower station of governor in Hunan, and within one year let him, by the apprehension of Lan Ching-tsun, show that he is aroused to greater exertion.

    s.

    “Let all our other servants retain their present appointments. Among them Tau Shu, the governor of Kiangnan and Kiangsi, is bold and determined in the transaction of affairs, but has not yet attained enlarged views in regard to the salt department; Chung Tsiang, the governor of Fuhkien and Chehkiang, finds his energies failing; TSng Ting-ching, the governor of Kwangtung and Kwangsi, possesses barely an adequate degree of talent and knowledge ; and Shin Ki-hien, though faithful and earnest in the performance of his duties, has, in common with these others, been not very long in office.

    *’ That all ministers will act with purity and devotedness of purpose, with public spirit and diligence, is our most fervent hope. A special edict.” ‘

    ‘ Chinese licposilor;/, Vol. VI. , p. 48.

    niAKACTER OF CHINESE OFFICIALS. 451

    I The effet’t of such confessions and examination of cliafacter iV to restrain the commission of outra<;eons acts of oppression; it is still further enforced by the privilege, common alike to censors and private subjects, of complaining to the Emperor of misdeeds done to them by persons in authority. Fear for their own security has suggested this multiplicity of checks, but the Emperor and his ministry have no doubt thereby impeded the efficiency of their subordinates, and compelled them to attend so much to their own standing that they care far less than they otherwise would foi* the prosperity of the people.*)

    The position of an officer in the Chinese government can hardly be ascertained from the enumeration of his duties, nor can we easily appreciate, from a general account of the system, his temptations to oppress inferiors and deceive superiors.

    His duties, as indicated in the code, are so minute, and often so contradictory, as to make it impossible to fulfil them strictly; it is found, accordingly, that few or none have ascended the slippery heights of promotion without frequent relapses. ^Degradation, when to a step or two and temporary, carries with it of course no moral taint in a country where the award for bribery is graduated to the amount received, without any reference to moral violation^, where the bamboo is the standard of punishment as well for error in judgment or remissness as for crime —only commuted to a fine in honor of official rank ; whereas a distinction in favor of the imperial race, the bamboo is softened to the whip and banishment mitigated to the pillory.’

    ‘ Chinese Repository, Vol. IV. , p. 59.

    The highest officers have of course the greatest opportunity to oppress, but their extortions are limited by the venality and mendacity of the agents they are compelled to employ. Inferiors also can carry on a system of exactions if they keep on the right side of those above them. (.The whole class forma body of men mutually jealous of each other’s advance, where every incumbent endeavors to supplant his associate ; they all agree in regarding the people as the source of their profits, the sponge which all must squeeze, but differ in the degree to which they should carry on the same plan with each other. Although sprung from the mass of the people, the welfare of the community has little place in their thoughts. Their life is spent in ambitious efforts to rise upon the fall of others, though they do not lose all sense of character or become reckless of the means of advance, for this would destroy their chance of success] The game they play with each other and their imperial master is, however, a harmless one compared with what was done ill old Rome or in Europe four or five centuries ago, or even lately among the pashas and viziers of the sultans and shahs in Western Asia. To the honor of the Chinese, life is seldom sacrificed for political crime or envious emulation; no officer dreads a bowstring or a poisoned cup from his lord paramount, nor is he on the watch against the dagger of an assassin hired by a vindictive competitor. Whatever heights of favor or depths of umbrage he may experience, the servant of the Emperor of Chhia need not, in unproved cases of delinquency, fear for his life; but he not unfrequently takes it himself from conscious guilt and dread of just punishment.

    The names and staiuiing of all officers are published quarterly by permission of government in the Red Book (which by an usual coincidence is bound in red), called the ” Complete Record of the Girdle Wearers” {Tshi jSkin Tslae/h Shif), comprised in four volumes, 12nio, to which are added two others of the Army and Bannermen. This publication was first issued at the command of Wanlih, of the Ming dynasty, about 15S0, and mentions the native province of each person, whether Chinese, Manchu, Mongol, or enrolled Chinese, describes the title of the office, its salary, and gives much general information. The publishers of the book expect that officers will inform them of the changes that take place in their standing, and sometimes omit to mention those who do not thus report themselves.

    CAREER OF DUKE HO. 463

    A memoir of the public life of a high officer in China would present a singular picture of ups and downs, but, on account of their notorious disregard of truth, Chinese documents are unsafe to trust entirely in drawing such a sketch. One of the most conspicuous men in late times was Duke IIo, the premier in the time of Macartney’s embassy, who for many years exercised a greater control over the counsels of a Chinese sovereign than is recorded of any other man during the present dynasty. This man was originally a private person, who attracted the notice of the Emperor by his comeliness, and secured it by his zeal in discharging the offices entrusted to him. With but few interruptions he gradually’ mounted the ladder of promotion, and for some years before Tvienlung’s death, when the hitter’s energies had begun to fail from age, was virtual master of the country. Staunton describes him as possessing eminent abilities ; ” the manners of Ilokwan were not less pleasing than his understanding was penetrating and acute, lie seemed indeed to possess the qualities of a perfect statesman.”‘ The favorite had gradually tilled the highest posts with his friends, and his well-wishers were so numerous in the general and provincial governments that some began to apprehend a rising in his favor when the Emperor died. Kiaking, on coming to the throne, began to take those cautious measures for his removal which showed the great influence he possessed ; one of these proceedings was to appoint him superintendent of the rites of mourning, in order, probably, that his official duties might bring him often to the palace.

    After four years the Emperor drew up sixteen articles of impeachment, most of them frivolous and vexatious, though of more consequence in the eyes of a Chinese prince than they would have been at other courts. One article alleged that he had ridden on horseback up to the palace gate; another, that he had appropriated to his own household the females educated for the imperial harem; a third, that he had detained the reports of officers in time of war from coming to the Emperor’s eye, and had appointed his own retainers to office, when they were notoriously incompetent; a fourth, that he had built many apartments of nan-muh, a kind of laurel-wood exclusively appropriated to j-oyalty, and imitated regal style in his grounds and establishment; a fifth, that ” on the day previous to our

    Itoyal Father’s announcement of our election as his successor,

    Ilokwan waited upon us and presented the insignia of the newly

    conferred rank—thereby betraying an important secret of state,

    in hopes of obtaining our favor.” lie was also accused of having

    pearls and jewels of larger size than those even in the Emperor’s

    regalia. But so far as can be inferred from what was

    published, this Cardinal AVolsey of China was, comparatively

    speaking, not cruel in the exercise of his power, and the real

    cause of his fall was evidenth’ his riches. In the schedule of his

    confiscated property it was mentioned that besides houses, lands,

    and other innnovable property to an amazing extent, not less

    ‘ Embassy to China, Vol. III., p. 26.

    than one hundred and five millions of dollars in bullion and

    geuls were found in his treasury, A special tribunal was instituted

    for his trial, and he was allowed to become his own executioner,

    while his constant associate was beheaded. These were

    the only deaths, the remainder of his relatives and dependents

    being simply removed and degraded. His power was no doubt

    too great for the safety of his master if he had proved faithless

    ;

    but his wealth was too vast for bis own security, even had he

    been innocent. The Emperor, in the edict which contains the

    sentence, cites as a precedent for his own acts similar condemnation

    of premiers by three of bis ancestors in the present dynasty,

    but nothing definite is known of their crimes or trials.’

    Taukwang was more clement, or more fortunate than his father, and upon coming to the throne continued Tohtsin in power; this statesman bad held the premiership from 1815 to 1832, with but few interruptions, when he was allowed to retire at the age of seventy-five. He had served under three emperors, having risen step by step from the situation of clerk in one of the offices. His successor, Changling, experienced a far more checkered course, but remained in favor at last, and retired from the j)remiership in 1836, aged about seventy-nine. He became very popular with his master from his ability in quelling the insurrection of Jeliangir in Turkestan in 1 827. Even a few such instances of the honor in which an upright, energetic, and wise minister is regarded by prince and people have great influence in encouraging young men to act in the same way.

    ‘ Phiriese Repository^ Vol. III., p. 241.

    LIFE AND CIIARACTEU OF MINISTEIl SUNT,, 453

    Few Chinese statesmen have been oftener brought into the notice of western foreigners than Sung, one of the commissioners attached to Lord Macartney’s embassy, and a favorite of all its members. His lordship speaks of him then as a young man of high quality, possessing an elevated mind; and adds that ” during the whole time of our connection with him he has on all occasions conducted himself toward us in the most friendly and gentleman-like manner.” This was in 1703. In 1817 he is mentioned as one of the Cabinet ; but not long after, for some unknown reason, he was degraded by Kiaking to the sixth rank, and appointed adjiitaiit-general aiuoiig tlic Tsakliar Mongols ; from thence he memorialized his master respecting the ill conduct of some lamas, who had been robbing and murdering. Sung and his friends opposed the Emperor’s going to Manchuria, and were involved in some trouble on this account, the reasons of which it is difficult to understand. He was promoted, however, to be captain-general of Manchuria, but again fell under censure, and on his visit to his paternal estate at Mukden the Emperor took him back to the capital and appointed him to some important office. lie soon got into new trouble with the Emperor, who in a proclamation remarks that ” Sung is inadequate to the duties of minister of the imperial presence ; because, although he formerly officiated as such, he is now upward of seventy years of age, and rides badly on horseback ; ” he is therefore sent to Manchuria to fill his old office of captain-general. The next year the ex-minister and his adherents were involved in a long trial about the loss of a seal, and he was deprived of his command and directed to retire to his own Banner ; the real reasons of this disgrace were probably connected with the change of parties ensuent upon the accession of Taukwang.

    Soon afterward Sung was restored to favor and made adjutant at Jell ho, after having been president of the Censorate for a month. He was allowed to remain there longer than usual, and employed his spare time in writing a book upon the newly acquired territory in Turkestan. In 1824 he was reinstated as president of the Censorate, with admonitions not to confuse and puzzle himself with a multiplicity of extraneous matters. In 1826 he was sent on a special commission to Shansi, and when he returned was honored with a dinner at court on new year’s day. He then appears as travelling tutor to the crown-prince, but where his royal highness went for his education does not appear; from this post we find him made president of the Board of Rites, and appointed to inspect the victims for a state sacrifice. He is then ordered to Jeh ho, from whence, in a fit of penitence, or perhaps from fear of a dun, he memorialized the Emperor about a debt of $52,000 he had incurred nearly thirty years before, which he proposed to liquidate by foregoing his salary of $1,000 until the arrears were paid up ; the Emperor was in good humor with the old man, and forgave him the whole amount, being as Bured, he says, of Sung’s pure official character. In this memorial, when recounting his services, the aged officer says that he has been twice commander-in-chief and governor of III, governor- general at Xanking, Canton, etc., but had never saved much.

    NOTICE OF COMMISSIONER LIN, 457

    Shortly after this he is recalled from Jeh ho and made ti-iuh of Peking, then president of the Board of War ; and in a few months he is ordered to proceed across the desert to Cobdo to investigate some affair of importance—a long and toilsome journey of fifteen hundred miles for a man over seventy-five years old. He returned the next year and resumed his post as president of the Board of war, in which capacity he acted as examiner of the students in the Russian College. In 1831 he was made president of the Colonial Office, and later received an appointment as superintendent of the’ Three Treasuries, but was obliged to resign from ill health. A month’s relaxation seems to have wonderfully restored him, for the Emperor, in reply to his petition for employment, expresses surprise that he should so Boon be fit for official duties, and plainly intimates his opinion that the disease was all sham, though he accedes to his request so far as to nominate him commander of one of the eight Banners. In 1832 Sung again became involved in intrigues, and was reduced to the third degree of rank; the resignation of Tohtsin and the struggle for the vacant premiership was probably the real reason of this new reverse, though a frivolous accusation of two years’ standing “was trumped up against him. He was restored again, after a few months’ disgrace, at the petition of a beg of a city in Turkestan, which illustrates, by the way, the influence which those princes exert. Old age now began to come upon the courtier in good earnest, and in 1833 he was ordered to retire with the rank and pay of adjutant, which he lived to enjoy only two years. Much of the success of Suui; was said to be owinu to his havin<r had a daughter in the harem, but his personal character and kindness were evidently the main sources of his enduring influence among all ranks of people and officers; one account says the IManchus almost worshipped him, and beggars clung to his chair in the streets to ask alms. It is wortriy of notice that in all his re-A-erses there is no mention made of any severer punishment than degradation or banishment, and in this particular the political life of Sung is probably a fair criterion of the usual fortune of high Chinese statesmen. The leading events in the life of Changling, the successor of Tohtsin, together with a few notices of the governor of Canton in 1833, Li llung-pin, are given in the Rej)ositorij.^ Commissioners Lin and Kivins; became more famous amontr foreigners than their compeers in the capital, from the parts they acted in the war with England in IS-iO, but only a few notices of their lives are accessible. Lin Tseh-sii was born in 1785, in Fuhchau, and passed through the literary examinations, becoming a graduate of the second rank at the age of nineteen, and of the third when twenty-six. After filling an

    office or two in the Imperial Academy, he was sent as assistant

    literary examiner to Iviangsi in 1816, and during three subsequent

    years acted as examiner and censor in various places. In

    1819 he filled the office of intendant of circuit, in Chehkiano^:

    and after absence on account of health, he was, in 1823, appointed

    to the post of treasurer of Iviangsu, in the absence of the incuml)ent. In 1820 he was made overseer of the Yellow River, but hearing of his mother’s death, resigned his office to mourn for her. After the period of mourning was finished he went to Peking and received the office of judge in Shensi; but before he had been in it a month he was made treasurer of Kiangsu, and before he could enter upon this new office he

    heard of his father’s death, and was obliged to resign once

    more. In 1832 he was nominated treasurer in Ilupeh, and

    five months later transferred to the same office in Honan, and

    six months after that sent to Iviangsu again. Three months after this third transfer he was reinstated overseer of the Yellow River, and within a short time elevated to be governor of Iviangsi, which he retained three years, and acted as governor-general of Liang Iviang two years more. In 1838 he was made governor-general of II u Kwang; and shortly after this ordered to come to Peking to be admitted to an imperial audience, and by special favor permitted to ride on horseback within the palace.

    ‘ Chinese Repository, Vol. IV., pp. 61-66.

    He was at this audience appointed imperial commissioner to put down the opium trade and manage the affairs of the maritime frontier of Ivwantung, receiving at the time such plenipotentiary powers to act for the Emperor as had only once before been committed to a subject since 1644-, viz., when Changling was sent to Turkestan to (piell the insurrection. Lin’s ill success in dealing with the opium trade and its upholders in the British government reflect no discredit on his own ability, for the task was beyond the powers of the Empire ; but his fame even now stands high amono; the Cantonese. One incident showing his kindness to the crew of the Sunda, an English vessel lost on Hainan Island, on their arrival in Canton in October, 1839, while he was ligliting their consular officers,

    gave a good insight into the candor of the man. In December,

    1839, he was appointed governor-general of Liang Kiang ; but

    succeeded to that of Liang Ivwang in February, 1840, In

    October of the same year the seals of office were taken away,

    and he was ordered to return to Peking. He remained, however,

    till May of the next year to advise with Ivishen in his

    difficult negotiations with the English. Lin left Canton in

    May,’ 1841, leading two thousand troops to defend Ningpo, but

    this role M^as not his foi’te. In July, 1842, he was banished to

    111, but the sentence was suspended for a season hy giving him

    a third time the oversight of the Yellow River. However, in

    1844 we find him in lli, holding an inferior appointment and

    trying to bring waste lands near the Mohammedan cities nnder

    cultivation ; his zeal was rewarded the next year by a pardon,

    and the year after that by the Jiigh post of governor-general of

    Shensi and Kansuh, in wliich region he set himself to work to

    reform the civil service and increase the revenue. In 1847 the

    cares of office wore “upon him, so that he asked for a furlough

    and went back to Fulichau, aged sixty-two. His ambition was

    not yet satisfied, for he was made governor-general in Yunnan

    in 1848, but his strength was not equal to its duties, and

    he again retired in 1849. The young Emperor Hienfung,

    CAREER OF COMMISSIONER KIYING. 459

    startled at the rapid rise of the Tai-ping rebels, applied to the aged statesman to help him as he had his father, Lin responded to the call of his sovereign, but death came upon him before he reached Kwangsi, on the 22d of November, 1850, at the aiie of sixty-seven. More endurino; than some of his official acts was the preparation and publication of the History of Maritime Nations, with maps, in fifty books, in which he gave his countrymen all the details he could gather of other nations.’

    Much less is known of the official life of Iviying than of Lin, but the Manchu proved himself superior to the Chinese in trinunino; his course to meet the inevitable and avoid the rocks his predecessor struck. In 1835 his name is mentioned as president of the Board of Revenue and controller of the Tsung-jin fu. lie was detained at the capital as commander-in chief of the forces there until 1842, when his Majesty sent him to Canton to take the place of Yihshan. He was ordered to stop at Ilangchau, however, on his way, and make a report of the condition of affairs; his memorials seem to have had great influence, for he was appointed joint commissioner with llipu in April of that year. At the negotiations of Xanking Iviying acted as chief commissioner, and was mainly instrumental in bringing the war to a conclusion. He proceeded to Canton in May, 18-43, to succeed llipu, and there acted as sole commissioner in negotiating the supplementary treaty and the commercial regulations with the British, returning to the capital in December, 1843. His prudence and vigor had great effect in calming the irritation of the people of Canton. On the arrival of the American plenipotentiary lie was vested with full powers to treat with Mr. Cushing, and soon after with the French and Swedish envoys, with all of whom he signed treaties. During the progress of these negotiations Ki Kung died and Iviying succeeded him.

    ‘ Compare Dr. Bowring in N. C. Br. R. A. Soc. Journal, Part III., Art VII. (Dec, 1852).

    His administration as governor-general continued till January, 1848, when he returned to Peking to receive higher honors from the Emperor. In 1849 he went to Kiangsu to inquire into the salt department, and then to Northern Shansi to settle differences with the Mongols. From this period he held various posts in the cabinet and capital, busy in all court intrigues, and rather losing his good name, till he fell into disgrace.

    In 1856, when the envoys of the four western Powers were at Tientsin, he entered into some underhand dealings against the policy of Kweiliang and Ilwashana, and was sent there as joint commissioner, he had hardly entered upon his functions by the presentation of his commission, when he suddenly returned to Peking against the Emperor’s will, and was ordered to take poison in the presence of the head of the Clan to avoid the ignominy of a public execution,’ Few Chinese statesmen in modern times have borne a higher character for prudence, dignity, and intelligence than Iviying, and the confidence reposed in him is creditable to his imperial master. In his demeanor, says Sir Thomas Wade, ” there was a combination of dignity and courtesy which more than balanced the deficiencies of a by no means attractive exterior.” The portrait of him has been engraved from a native painting made at Canton, and is a good one. It was kindly furnished for this work by J. P. Peters, Jr.

    ‘ Chinese Repository, passim. Oliphant, Lord Elgin’s Mission to China and Jiqmu, Cluii). XVIT. Minister Reed, in U. >S’. Dip. Correspondence, 1857-58.

    AGED STATESMEN RETAINED IN OFFICE. 461

    The facts of this man’s career are not all known, but his connection by birth with the Clan brought him into an entirely different set of influences from Lin, while his training removed him from the contact with the people which made the other so popular and influential. Both of them were good instances of Chinese statesmen, and their checkered lives as here briefly noticed resemble that of their compeers in the highest grades of official dignity. The sifting which the personnel of the Emperor’s employees in all their various grades receive generally brings the cleverest and most trustworthy to the top ; no one can come in contact with thein in state affairs without an increase of respect for their shrewdness, loyalty, and skill. One observable feature of the Chinese political world is the great age of the high officers, and It is not easy to account for their

    being kept in their posts, when almost worn out, bj a monarch

    who wished to have efficient men around liim, until we learn

    how little real power he can arbitrarily exert over the details of

    the branches of his government. It is somewhat explainable

    on the ground that, as long as the old incumbents are alive, the

    Emperor, being more habituated to their company and advice,

    prefers to retain those whose competency has been proven by

    their service. The patriarch, kept near the Emperor, is moreover

    a kind of hostage for the loyalty of his following ; and the

    latter, scattered throughout the provinces, can be managed and

    moved about through him with less opposition : he is, still

    further, a convenient medium thrcjugh which to receive the

    exactions of the younger members of the service, and convey

    such intimations as are thought necessary. Tlie system of

    clientelage which existed among the Gauls and Franks is also

    found in China with some modifications, and has a tendency to

    link officers to one another in parties of different degrees of

    power. The Emperor published an order in 1S33 against this

    system of patronage, and it is evident that he would find it seriously interfering with his power were it not constantly broken up by changing the relations of the parties and sending them away in different directions. Peking is almost the only place where the ” teacher and pupils,’^ as the patron and client call each other, could combine to much purpose ; and the principal safeguard the throne seems to have against intrigues and parties around it lies in the conflicting interests arising among themselves, though a long-established oi- unscrujiulous favorite, as in the cases of Duke IIo and Suhshun in 1S55-C1, can sometimes manage to engross the whole power of the crown.

    Notwithstanding the heavy charges of oppression, cruelty, bribery, and mendacity which are often brought against officers Math more or less justice, it must not be inferred that no good qualities exist among them. Thousands of them desire to rule equitably, to clear the innocent and punish the guilty, and exert all the knowledge and power they possess to discharge their functions to the acceptance of their master and their own good name among the inhabitants. Such officers, too, generally rise, while the cruelties of others are visited with degradation, The pasquinades which the people stick up in the streets indicate their sentiments, and receive much more attention than would such vulgar expressions in other countries, because it is almost the only way in which their opinions can be safely uttered. The popularity which upright officers receive acts as an incentive to others to follow in the same steps, as well as a reward to the person himself. The governor of Ivwangtung in 1833, Chu, was a very popular officer, and when he obtained leave to resign his station on account of age, the people vied with each other in showing their hearty regret at losing him.

    The old custom was observed of retaining his boots and presenting him with a new pair at every city he passed through, and many other testimonials of their regard were adopted.

    On leaving the city of Canton he circulated a few Aerses, ” to console the people and excite them to virtue,” for he heard that some of them w^ept on learning of his departure.

    From ancient days, my fathers trod the path
    Of literary fame, and placed their names
    Among the wise ; two generations past,
    Attendant on their patrons, they have come
    To this provincial city. ‘ Here this day
    ‘Tis mine to be imperial envoy ;
    Thus has the memory of ancestral fame
    Ceased not to stimulate this feeble frame.
    My father held an office at Lungchau.”

    And deep imprinted his memorial there ;
    He was the sure and generous friend
    Of learning unencouraged and obscure.
    When now I turn my head and travel back
    In thought to that domestic hall, it seems
    As yesterday, those early happy scenes—
    How was he pained if forced to be severe 1

    ‘ The Chinese have a great affection for the place of their nativity, and coneider a residence in any other province like being in a foreign settlement.

    They always wish to return thither in life, or have their remains carried and interred there after death.

    VALEDICTORY VERSES OF GOVERNOR CHU. 463

    ‘^ A district in the province of Kwangsi.
    From times remote Kwangtung has been renowned
    For wise and mighty men ; but none can stand
    Among them, or compare with Kiuh Kiang :’
    Three idle and inglorious years are past,
    And I have raised no monument of fame,
    By shedding round the rays of light and truth,
    To give the people knowledge. In this heart
    I feel the shame, and cannot bear the thought.
    But now, in flowered pavilions, in street
    Illuminations, gaudy shows, to praise
    The gods and please themselves, from year to year

    The modern people vie, and boast themselves,
    And spend their hard-earned wealth—and all in vain;
    For what shall be the end? Henceforth let all
    Maintain an active and a useful life,
    The sober husband and the frugal wife.
    The gracious statesman, “politic and wise,
    Is my preceptor and my long-tried friend ,

    Called now to separate, spare our farewell

    The heartrending words affection so well loves.

    That he may still continue to exhort

    The people, and instruct them to be wise,

    To practice virtue and to keep the laws

    Of ancient sages, is my constant hope.

    When I look backward o’er the field of fame

    Where I have travelled a long fifty years,

    The struggle for ambition and the sweat

    For gain seem altogether vanity.

    Who knoweth not that heaven’s toils are close,
    Infinitely close V Few can escape.
    Ah! how few great men reach a full old age f
    How few unshorn of honors end their days I
    Inveterate disease has twined itself
    Around me, and binds me in slavery.
    The kindness of his Majesty is high ‘
    And liberal, admitting no return

    ‘ Kiuh Kiang was an ancient minister of state during the Tang dynasty. Hia imperial master would not listen to his advice and lie therefore retired. Rebellion and calamities arose. The Emperor thought of his faithful servant and sent for him ; but he was already dead.

    • Governor Loo.

    * In permitting Chu to retire from public life.
    Unless a grateful heart ; still, still my eyes
    Will see the miseries of the people—
    Unlimited distresses, mournful, sad,
    To the mere passer-by awaking grief.
    Untalented, unworthy, I withdraw,
    Bidding farewell to this windy, dusty world;
    Upward I look to the supremely good—
    The Emperor—to choose a virtuous man
    To follow me. Henceforth it will oe well—
    The measures and the merits passing mine;
    But I shall silent stand and see his grace
    Diffusing blessings like the genial spring.

    Ilipn, Ki Kiing, the late governor-general of Ivwangtnng, and Shn, the prefect of Ningbo in 1842, are other officers who have been popular in late years. When Lin passed through Macao in 1839, the Chinese had in several places erected honorary portals adorned with festoons of silk and laudatory scrolls ; and when he passed the doors of their houses and shops they set out tables decorated with ^’ases of flowers, ” in order to manifest their profound gratitude for his coming to save them from a deadly vice, and for removing from them a dire cahnnity by the destruction and severe intei’diction of opium.” Alas, that his efforts and intentions should have been so fruitless! The Pehing Gazette frequently contains petitions from old officers describing their ailments, their fear lest they shall not be able to perform their duties, the length of their official service, and requesting leave of absence or permission to retire.

    OFFICIAL PETITIONS AND CONFESSIONS. 465

    It is impossible to regard all the expressions of loyalty in these papers, coming as they do from every class of officers, as heartless and made out according to a prescribed form; but we are too ready to measure them by our own standard and fashion, forgetting that it is not the defects of a system which give the best standard of its value and efficiency. Let us rather, as an honest expression of feeling, quote a few lines from a memorial of Shi, a censor in 1824: “Reflecting within myself that, notwithstanding the decay of my strength, it has still pleased the imperial goodness to employ me in a high office instead of rejecting and discarding me at once, I have been most anxious to eft’ect a cure, in order that, a weak old horse as I am, it might be still in my power, by the exertion of my whole strength, to recompense a ten-thousandth part of the benevolence which restored me to life/”

    Connected with the triennial schedule of official merits and

    demerits is the necessity the high officers of state are under of

    confessing their faults of government ; and the two form a

    peculiar and somewhat stringent check upon their intrigues and

    malversation, making them, as Le Comte observes, “exceeding

    circumspect and careful, and sometimes even virtuous against

    their own inclinations.” The confessions reported in i\\Q Peking

    Gazette are, however, by no means satisfactory as to the real extent

    or nature of these acts ; most of the confessors are censors,

    and perhaps it is in virtue of their office that they thus sit in

    judgment upon themselves. Examples of the crimes mentioned

    are not wanting. The governor-general of Chihli requested severe

    punishment in 1S32 for not having discovered a plotting

    demagogue who had collected several thousand adherents in his

    and the next provinces ; his request was granted. An admiral

    in the same province demands punishment for not having properly

    educated his son, as thereby he went mad and wounded several people. Another calls for judgment upon himself because the Empress-dowager had been kept waiting at the palace gate by the porters when she paid her Majesty a visit. One officer accused himself for not being able to control the Yellow River; and his Majesty’s cook in 1830 requested punishment for being too late in presenting his bill of fare, but M^as graciously forgiven. The rarity of these confessions, compared with the actual sins, shows either that they are, like a partridge’s doublings, made to draw off attention from the real nest of malversation, or that few officers are willing to undergo the mortification.

    The Emperor, in his character of vicegerent of heaven, occasionally imposes the duty of self confession upon himself.

    ‘ Chinese Repositunj , Vol. IV., p. 71.

    Kiaking issued several public confessions during his reign, but the Gazette has not contained many such papers within the last thirty years. These confessions are drawn from him more by natural calamities, such as drought, freshets, epidemics, etc., than by political causes, though insurrections, tii-es, ominoug portents, etc., sometimes induce them. The personal character of the monarch has much to do with their frequency and phraseology. On occasion of a drought in 1817 the Emperor Kiaking said : ” The remissness and sloth of the officers of government constitute an evil which has long been accumulating.

    It is not the evil of a day ; for several years I have given the most pressing admonitions on the subject, and have punished many cases which have been discovered, so that recently there appears a little improvement, and for several seasons the weather has been favorable. The drought this season is not perhaps entirely on their (the officers’) account. I have meditated upon it, and am persuaded that the reason why the aznro Heavens above manifest disapprobation by withholding rain for a few hundred miles only around the capital, is that the fifty and more rebels who escaped are secreted somewhere near Peking.

    Hence it is that fertile vapors are fast bound, and the felicitous harmony of the seasons interrupted.” On the 14th of May, 1818, between five and six o’clock in the evening, a sudden darkness enveloped the capital, attended by a violent “wind from the southeast and much rain. During its action two intervals occurred when the sky became a lurid red and the air offensive, terrible claps of thunder startling the people and frightening the monarch. His astroloo;ers could not relieve his forebodings of evil, and he issued a manifesto to explain the matter to his subjects and discharge his own conscience. One sentence is w^orth quoting : ” Calumnious accusations cause the ruin and death of a multitude of innocent people; they alone are capable of provoking a sign as terrible as this one just seen. The wind coming from the southeast is proof enough that some great crime has been committed in that region, which the officials, by neglecting their duties, have ignored, and thereby excited the ire of Heaven,” ‘

    ^Anncdes de la Foi, No. 6, 1823, pp. 21-24.

    PRAYER FOR RAIN OF TAUKWANG. 467

    One of the most remarkable specimens of these papers is a prayer for rain issued by Taukwang, July 24, 1832, on occasion of a severe drought at the capital. Before publishing this paper he had endeavored to mollify the anger and heat of heaven by ordering all suspected and accused persons in the prisons of the metropolis to be tried, and their guilt or innocence established, in order that the course of justice might not be delayed, and witnesses be released from confinement. But these vicarious corrections did not avail, and the drought continuing, he was obliged, as high-priest of the Empire, to show the people that he was mindful of their sufferings, and would relieve them, if possible, by presenting the following memorial:

    *’ Kneeling, a memorial is hereby presented, to cause affairs to be beard.

    ” Oh, alas ! imperial Heaven, were not the world afflicted by extraordinary changes, I would not dare to present extraordinary services. But this year the drought is most unusual. Summer is past, and no rain has fallen. Not only do agriculture and human beings feel the dire calamity, but also beasts and insects, herbs and trees, almost cease to live. I, the minister of Heaven, am placed over mankind, and am responsible for keeping the world in order and tranquillizing the people. Although it is now impossible for me to sleep or eat with composure, although I am scorched with grief and tremble with anxiety, still, after all, no genial and copious showers have been obtained.

    “Some days ago I fasted, and offered rich sacrifices on the altars of the gods of the land and the grain, and had to be thankful for gathering clouds and slight showers; but not enough to cause gladness. Looking up, I consider that Heaven’s heart is benevolence and love. The sole cause is the daily deeper atrocity of my sins; but little sincerity and little devotion. Hence I have been unable to move Heaven’s heart, and bring down abundant blessings.

    ” Having searched the records, I find that in the twenty-fourth year of Kienlung my exalted Ancestor, the Emperor Pure, reverently performed a ‘great snow service’. I feel impelled, by ten thousand considerations, to look up and imitate the usage, and with trembling anxiety rashly assail Heaven, examine myself, and consider my errors; looking up and hoping that I may obtain pardon. I ask myself whether in sacrificial services I have been disrespectful? Whether or not pride and prodigality have had a place in my heart, springing forth there unobserved? Whether, from length of time, I have become remiss in attending to the affairs of government, and have been unable to attend to them with that serious diligence and strenuous effort which I ought ‘i Whether I have uttered irreverent words, and have deserved reprehension? Whether perfect equity has been attained in conferring rewards or inflicting punishments ? Whether in raising mausolea and laying out gardens I have distressed the people and wasted property ? Whether in the appointment of officers I have failed to obtain fit persons, and thereby the acts of government have been petty and vexatious to the people V Whether punishments have been unjustly inflicted or not V Whether the oppressed have found no meaus of appeal ? Whether in pc^rsecuting lieterodox sects the innocent have not been involved ? Whether or not the magistrates have insulted the people and refused to listen to their affairs ‘i Whctln’r, in the successive military operations on the western frontiers, then’ may imt liavu been the horrors of human slaughter for the sake of imperial rewards V Whether the largesses bestowed on the afflicted southern provinces were properly applied, or the people were left to die in the ditches ‘i Whether the efforts to exterminate or pacify the rebellious mountaineers of Hunan and Kwangtung were properly conducted ; or whether they led to the inhabitants being trampled on as mire and ashes ? To all these topics to which my anxieties have been directed I ought to lay the plumb-line, and strenuously endeavor to correct what is wrong ; still recollecting that there may be faults which have not occurred to me in my meditations.

    ” Prostrate I beg imperial Heaven (Jlmmcj Tieu) to pardon my ignoiance and stupidity, and to grant me self-renovation ; for myriads of innocent people are involved by me, the One man. My sins are so numerous it is difficult to escape from them. Summer is past and autumn arrived ; to wait longer will really be impossible. Knocking head, I pray imperial Heaven to hasten and confer gracious deliverance—a speedy and divinely beneficial rain, to save the people’s lives and in some degree redeem my iniquities. Oh, alas ! imperial Heaven, observe these things. Oh, alas ! imperial Heaven, be gracious to them. I am inexpressibly grieved, alarmed, and frightened. Reverently this memorial is presented.” ‘

    This paper apparently intimates some acknowledgment of a

    ruling power above, and before a despot like the Emperor of

    China would place himself in such an equivocal posture before

    his people, he would assure himself very thoroughly of their

    sentiments ; for its effects as a state paper would be worse than

    null if the least ridicule was likely to be thrown upon it. In this

    case heavy showers followed the same evening, and appropriate

    thanksgivings were ordered and oblations presented before the

    six altars of heaven, earth, land, and grain, and the gods of

    heaven, earth, and the revolving year.

    ‘ Chinese Bepository, Vol. I., p. 236.

    METHODS OF PUHLISITINO EDICTS. 469

    The orders of the court are usually transmitted in manuscript, except when some grand event or state cei’cmony requires a general i)i”oclanuition, in which cases the document is printed on yellow paper and published in both the Chinese and ]\[anchu languages, encin;led with a border of dragons. The governors and their suboi’dinatos, imperial commissioners, and collectoi’s of customs are the principal officers in the provinces who publish their orders to the people, consisting of admonitions, exhortations, regulations, laws, special ordinances, threatenings, and municipal j-e<|uirements. Standing laws and local regulations are often superbly carved on tablets of black marble, and placed in the streets to be ” held in everlasting remembrance,” so that no one can plead ignorance ; a custom which recalls the mode of publishing the Twelve Tables at Rome. Several of these

    monuments, beautifully ornamented, are to be seen at Canton

    and Macao. The usual mode of publishing the commands of

    government is to print the document in large characters, and

    , post copies at the door of the offices and in the streets in public

    places, with the seal of the officer attached to authenticate them.

    The sheets on -which they are printed being connnon bamboo

    paper, and having no protection from the weather, are, however,

    soon destroyed ; the people read them as they are thus

    exposed, and copy them if they wish, but it is not unconnnon,

    too, for the magistrates to print important edicts in pamphlet

    form for circulation. These placards are written in an official

    style, differing from common Meriting as much as that does

    in English, but not involved or obscure. A single specimen of

    an edict issued at Canton will suffice to illustrate the form of

    such papers, and moreover show npon what subjects a Chinese

    ruler sometimes legislates, and the care he is expected to take

    of the people.

    ” Sii and Hwang, by special appointment magistrates of the districts of Nanliai and Pwanyn, raised ten steps and recorded ten times, hereby distinctly publish important rules for the capture of grasshoppers, that it may be known how to guard against them in order to ward off injury and calamity. On the 7th day of the Sth month in the 18th year of Taukwang [September 20, 1838], we received a communication from the prefect of the [department of Kwangchau], transmitting a despatch from their excellencies the governor-general and governor, as follows:
    ” ‘ During the fifth month of the present year flights of grasshoppers appeared in the limits of Kwangsi, in [the departments of] Liu, Tsin, Kwei, and Wu, and their vicinage, which have already, according to report, been clean destroyed and driven off. We have heard that in the department of Kauchau and its neighborhood, conterminous to Kwangsi, grasshoppers have appeared which multiply with extreme rapidity. At this time the second crop is in the blade (which if destroyed will endamage the people), and it is proper, therefore, immediately, wherever they are found, to capture and drive them off, marshalling the troops to advance and wholly exterminate them. But Kwang tung heretofore has never experienced this calamity, and we apprehend the officers and people do not understand the mode of capture; wherefore we now exhibit in order the most important rules for catching grasshoppers. Let the governor’s combined forces be immediately instructed to capture them secundum artem; at the same time let orders be issued for the villagers and farmers at once to assemble and take them, and for the magistrate to establish storehouses for their reception and purchase, thus without fail sweeping them clean away.

    If you do not exert yourselves to catch the grasshoppers, your guilt will be very great ; let it be done carefully, not clandestinely delaying, thus causing this misfortune to come upon yourselves, transgressing the laws, and causing US again, according to the exigencies of the case, to promulgate general orders and make thorough examination, etc., etc. Appended hereto are copies of the rules for catching grasshoppers, which from the lieutenant-governor must he sent to the treasurer, who will enjoin it upon the magistrates of the depart-, meats, and he again upon the district magistrates.’

    “Having received the preceding, besides respectfully transmitting it to the colonel of the department to be straightway forwarded to all the troops under his authority, and also to all the distri(-t justices, that they all with united purpose bend their energies to observe, at the j^roper time, that whenever the grasshoppers become numerous they join their forces and extirpate them, thus removing calamity from the people ; we also enjoin upon whomsoever receives this that the grasshoppers be caught according to these several directions, which are therefore here arranged in order as follows:

    “‘1. When the grasshoppers first issue forth they are to be seen on the borders of large morasses, from whence they quickly multiiily and fill large tracts of land; they produce their young in little hillocks of black earth, using the tail to bore into the ground, not quite an inch in depth, which still remain as open holes, the whole somewhat resembling a bee’s nest. One grasshopper drops ten or more pellets, in form like a pea, each one containing a hundred or more young. For the young grasshoppers fly and eat in swarms, and this laying of their young is done all at once and in the same spot; the place resembles a hive of bees, and therefore it is very easily sought and found.

    ” ‘2. When the grasshoppers are in the fields of wheat and tender rice and

    the thick grass, every day at early dawn they all alight on the leaves of the

    grass, and their bodies being covered with dew are heavy and they cannot fly

    or liop ; at noon they begin to assemble for flight, and at evening they collect

    in one spot. Thiis each day there are three periods when tliey can be caught,

    and the p(!ople and gentry will also have a short respite. The mode of catching

    them is to dig a trench before them, the broader and longer tlio better, on

    each side placing boards, doors, screens, and such like things, oiu> stretched

    on after another, and spreading open each side. The whole multitude must

    then cry aloud, and, holding boards in their hands, drive them all into the

    trench; meanwhile those on the opposite side, provided with brooms and

    rakes, on seeing any leaping or crawling out, must sweep them back; then

    covering them with dry grass, burn them all up. Let the fire be first kindled

    in the trench, and then drive; tlunn into it ; for if they are only buried upi

    then many of them will crawl out of the openings and so escape.

    EDICT FOR THE DESTRUCTION OF GRASSHOPPERS. 471

    ” ‘3. When the swarms of grasshoppers see a row of trees, or a close line of

    flags and streamers, they nsnally hover over and settle ; and the farmers frequently

    suspend red and white clothes and petticoats on long poles, or make

    red and green paper flags, but they do not always settle with great rapidity.

    Moreover, tliey dread the noise of gongs, matchlocks, and guns, hearing which

    they fly away. If they come so as to obscure the heavens, you must let off

    the guns and clang the gongs, or fire the crackers ; it will strike the front

    ranks with dread, and flying away, the rest will follow them and depart.

    ” ‘4. When the wings and legs of the grasshoppers are taken off, and [their

    bodies] dried in the sun, the taste is like dried prawns, and moreover, they

    can be kept a long time without spoiling. Ducks can also be reared upon the

    dried grasshoppers, and soon become large and fat. Moreover, the hill people

    catch them to feed pigs ; tliese pigs, weighing at first only twenty catties

    or so, in ten days’ time grow to weigh more than fifty catties ; and in rearing

    all domestic animals they are of use. Let all farmers e.xert themselves and

    catch them alive, giving rice or money according to the number taken. In

    order to remove this calamity from your grain, what fear is there that you will

    not perform this V Let all these rules for catching the grasshoppers hb diligently

    carried into full effect.’

    “Wherefore these commands are transcribed that all you soldiers and people

    may be fully acquainted with them. Do you all then immediately in

    obedience to them, when you see the proper time has come, sound the gong ;

    and when you see the grasshoppers and their young increasing, straightway

    get ready, on the one hand seizing them, and on the other announcing to the

    oflicers that they collect the troops, that with united strength you may at once

    catch them, without fail making an iitter extermination of them ; thus calamity

    will be removed from tlie people. We will also then confer rewards upon

    those of the farmers and people who first announce to the magistrates their

    approach. Let every one implicitly obey. A special command.

    ” Promulgated Taukwang, 18th year, 8th month, and 15th day.’”

    The concluding part of an edict affords some room for displaying

    tlie character of the promulgator. Among other endings

    are sucli as these : ” Hasten ! hasten ! a special edict.”

    ‘• Tremble liereat intenselj.” ” Lay not up for yourselves future

    repentance by disobedience.” ” I will by no means eat my

    words.” ” Earnestly observe these things.” In their state

    papers Chinese officers are constantly referring to ultimate

    tmiths and axioms, and deducing arguments therefrom in a

    peculiarly national grandiloquent manner, though some of their

    ‘ Easy Lessons in Chinese, pp. 223-227. The effect of these instructions relating to grasshoppers does not appear to have equaled the zeal of the officers composing them ; swarms of locusts, however, are in general neither numerous nor devastating in China.

    conclusions are preposterous iion-sequitvirs. Commissioner Lin addressed a letter to the Queen of England regarding the interdiction of opium, which began with the following preamble:” Whereas, the ways of Heaven are without partiality, and no sanction is allowed to injure others in order to benefit one’s self, and that men’s natural feelings are not very diverse (for where is he who does not abhor death and love life ?)—therefore your honorable nation, though beyond the wide ocean at

    a distance of twenty thousand /?, also acknowledges the same

    ways of Heaven, the same human nature, and has the like perceptions

    of the distinctions between life and death, benefit and

    injury. Our heavenly court has for its family all that is within

    the four seas ; and as to the great Emperor’s heaven-like benevolence—

    there is none whom it does not overshadow ; even

    regions remote, desert, and disconnected have a part in his

    general care of life and well-being.”

    The edicts furnish almost the only exponents of the intentions

    of government. They present several characteristic features

    of the ignorant conceit and ridiculous assumptions of the

    Chinese, while they betray the real weakness of the authorities

    in the mixture of argument and command, coaxing and threatening,

    pervading every paragraph. According to their phraseology,

    there can possibly be no failure in the execution of every

    order ; if they are once made known, the obedience erf the people

    follows almost as a nuitter of course; while at the same

    time both the writer and the people know that most of them are

    not only perfunctory but nearly useless. The resj^onsibility of

    the writer in a measure ceases witli the promulgation of his

    orders, and when they reach the last in the series their efficiency

    has well nigh departed. Expediency is the usual guide

    for obedience ; deceiving superiors and oppressing the people

    the rule of action on the part of many officials ; and their orders

    do not more strikingly exhibit their weakness and igno-

    I’ance than their mendacity and conceit. A large proportion of

    well-meanino; officers are sensible too that all their efforts will

    be neutralized by the half-paid, imscrupnlous retainers and

    clerks in the ymnuns ; and this checks their energy.

    It is not easy, without citing many examples accompanied

    CHAKACTEK AND PHRASEOLOGY OF THE EDICTS. 478

    with particular explanations, to give a just idea of the actual

    execution of the laws, and show how far the people are secured

    in life and pi’opcrty hy their i-ulei”s ; and perhaps nothing has

    been the source of such differing views regarding the Chinese

    as the predominance writers give either to the theory or the

    practice of legislation. Old Magaillans has hit this point pretty

    well when he says : ” It seems as if the legislators had omitted

    nothing, and that they had foreseen all inconveniences that were

    to be feared ; so that I am persuaded no kingdom in the world

    could be better governed or more happy, if the conduct and

    probity of the officers were but answerable to the institution of

    the government. But in regard they have no knowledge of the

    true God, nor of the eternal rewards and punishments of the

    other woi-ld, they are subject to no remorses of conscience, they

    place all their happiness in pleasure, in dignity and riches ; and

    therefore, to obtain these fading advantages, they violate all

    the laws of God and man, trampling under foot religion, reason,

    justice, honesty, and all the rights of consanguinity and

    friendship. rThe inferior officers mind nothing but how to defraud

    their superiors, they the supreme tribunals, and all together

    how to cheat the king ; which the}’ know how to do

    with so much cunning and address, making use in their memorials

    of words and expressions sb soft, so honest, so respectful,

    so humble and full of adulation, and of reasons so plausible,

    that the deluded prince frecpiently takes the greatest falsehoods

    for solemn truths. So that the people, finding themselves continually

    oppressed and overwhelmed without any reason, murmur

    and raise seditions and revolts, which have caused so much

    ruin and so many changes in the Empirp^ Nevertheless, there

    is no reason that the excellency and perfection of the laws of

    China should suffer for the depravity and wickedness of the

    magistrates.”

    Magaillans resided in China nearly forty years, and his opinion

    may be considered on the whole as a fair judgment of the

    real condition of the people and the policy of their rulers.

    * A new nistory of China, containing a description of tJie most considerable

    particulars of that Empire, written by Gabriel Magaillans, of the Society oj

    Jesus, Missionary Apostolick. Done out of French. Loudou, 1G88, p. 249.

    474 THE MIDDLE KINGDOM.

    “When one is living in the country itself, to hear the complaints

    of individuals against the extortion and cruelty of their rulers,

    and to read the reports of judicial murder, torture, and crime

    in the Pekimj Gazette^ are enough to cause one to wonder how

    such atrocities and oppressions are endured from year to year,

    and why the sufferers do not rise and throw aside the tyrannous

    power M’hich thus abuses them. But the people are generally

    conscious that their rulers are no better than themselves,

    and that they would really gain nothing by such a procedure,

    and their desire to maintahi as great a degree of peace as possil)

    le leads them to submit to many evils, which in western

    countries would soon be remedied or cause a revolution. In

    order to restrain the officers in their misrule. Section CCX. of the

    code ordains that ” If any officer of government, whose situation

    gives him power and control over the people, not only does

    not conciliate them by proper indulgence, but exercises his

    authority in a manner so inconsistent with the established laws

    and approved usages of the Empire, that the sentiments of the

    once loyal subjects being changed by his oppressive conduct,

    they assemble tunniltuously and openly rebel, and drive him at

    length from the capital city and seat of his government ; such

    jeer shall suffer death.”

    Ry the laws of China, every officer of the nine lanks must

    be previously qualified for duty by a degree; in the ninth are

    included village magistrates, deputy treasurers, jailers, etc., but

    the police, local interpreters, clerks, and other attendants on the

    courts are not considered as having any rank, and most of them

    are natives of the place where they are employed. The oidy

    degradation they can feel is to turn them out of their stations,

    but this is hardly a palliative of the evils the people suffer from

    thein ; the new leech is more thirsty than the old. The cause

    of many of the extortions the people suffer from their rulers is

    found in the system of purchasing office, at all times practised

    in one shape or other, but occasionally resorted to by the government.

    As the counterpart of this system, that of receiving

    bribes must be expected therefore to prevail, and l)eing in fact

    l)ractised by all grades of dignitaries, and sometimes even uplield

    by them as a ” necessary evil,” it adds still more to the

    EXTORTIONS PRACTISED BY MAGISTRATES. 475

    bad consequences lesulting fi-oni tliis mode of obtaining oflBce.

    Indeed, so far is tlie practice of “covering the eyes” carried in

    China, that the people seldom approach their rulers without a

    gift to mahe way for them.

    One mode taken hy the highest ranks to obtain money is to

    notify inferiors that there are certain days on M’hich presents

    are expected, and custom soon increases these as nnich as the

    case will admit. Subscriptions for objects of public charity or

    disbursements, such as an inundation, a bad harvest, bursting

    of dikes, and other similar things which the government must

    look after, are not uufrequently made a source of revenue to

    the incumbents by requiring nnich more than is needed ; those

    who subscribe are rewarded by an enqDty title, a peacock’s

    feather, or employment in some insignificant formality. The

    sale of titular rank is a source of revenue, but the government

    never attempts to subvert or interfere with the well-known

    channel of attaming office by literary merit, and it seldom confers

    much real power for money when unconnected with some

    degree of fitness. The security of its own position is not to be

    risked for the sake of an easy means of filling its exchequer,

    yet it is impossible to say how far the sale of office and title is

    carried. The censors inveigh against it, and the Emperor

    almost apologizes for resorting to it, but it is nevertheless constantly

    practised. The government stocks of this description

    were opened during the late rebellions and foreign wars, as the

    necessities of the case were a sufficient excuse for the disreputable

    practice. In 1SS5 the sons of two of the leading hongmerchants

    wei’e promoted, in consequence of their donations of

    $25,000 each to repair the ravages of an inundation ; subscribers

    to the amount of §;10,000 and upward were rewarded by an

    honorary title, whose only privilege is that it saves its possessor

    from a bambooing, it being the law that no one holding any

    office can be personally chastised.’/

    Besides the lower officers, the clerks in their employ and the

    police, who are often taken from the garrison soldiery, are the

    agents in the hands of the upper ranks to squeeze the people.

    ‘ Compare tlie Chinese Repository, Vol. XVIII., p. 207.

    476 TIIK .AIIDDLK KINGDOM.

    There are many clerks of vaiious duties and grades about all

    the offices who receive small salaries, and every application and

    petition to their sujDeriors, going through their hands, is attended

    by a bribe to pass them up. The military police and

    servants connected with the offices are not paid any regular

    salary, and their number is great. In the large districts, like

    those of Nanhai and Pwanyu, which compose the city of Canton

    and suburbs, it is said there are about a thousand unpaid

    police ; in the middle-sized ones l)etween tln*ee and four hundred,

    and in the smallest from one to two hundred. This

    number is increased by the domestics attending high officers as

    part of their suite, and by their old acquaintances, who make

    themselves known when there is any likelihood of being employed.

    Among other abuses mentioned by the censors is that

    of magistrates appointing their own creatures to fill vacancies

    until those nominated by his Majesty arrive ; like a poor man

    oppressing the poor, such officers are a sweeping rain. A

    similar abuse arises when country magistrates leave their posts

    to go to the provincial capital to dance attendance npon their

    superiors, and get nominated to a higher place or taken into

    their service as secretaries, because they will work for nothing

    the duties of their vacated offices are meantime nsually left undone,

    and underlings take advantage of their absence to make

    new exactions. The governor fills vacant offices with his own

    friends, and recommends them to his Majesty to be confirmed

    ;

    but this has little effect in consolidating a system of oppression

    from the constant changes going on. In fact, it is hard to say

    which feature of the Chinese polity is the least disastrous to

    good government, these constant changes which neutralize all

    sympathy with the people on the part of rulers, or on the

    other hand make it useless for seditious men to try to foment

    rebellion.

    The retinues of high provincial officers contain many dependents

    and expectant supermnneraries, all subservient to

    them ; among them arc the descendants of poor officers ; the

    sons of bankrupt merchants who once possessed influence

    ;

    dissipated, well bred, uiiscru]iulous men, who lend themselves

    to everything flagitious ; and lastly, fortune-seekei’s without

    AGENTS AND MODES OF OFFICIAL EXACTION. 477

    money, T)ut posscssinp; talents of good order to he used bv any

    one who will hire them. Such persons are not })ecnliar to

    China^ and their employment is guarded against in the code,

    but no law is more of a dead letter. (Officers of government,

    too, conscious of their delinquencies, and afraid their posts will

    soon be taken from them, of course endeavor to make the most

    of their opportunities, and by means of such persons, who are

    iisually well acquainted with the leading inhabitants of the

    district, harass and thi’eaten such as are likely to pay well for

    being left in quiet. It does them little or no good, however,

    for if they are not removed they must fee their superioi-s, and

    if they are punished for their misdeeds they are still more certain

    of losing their wicked exactions. /

    In the misappropriation of pul)lic funds, and peculation of all

    kinds in materials, government stores, rations, wages, and salaries,

    the Chinese officials are skilled experts, and are never surprised

    at any disclosures.

    Another common mode of plundering the people is for officers

    to collude with bands of thieves, and allow them to escape for a

    composition when arrested, or substitute other persons for the

    guilty party in case the real offenders are likely to be condemned.

    Sometimes these banditti are too strong even for an

    upright magistrate, and he is obliged to overlook what he cannot

    I’emedy ; for, however much he may wish to ari-est and

    bring them to justice, his policemen are too much afraid of

    their vengeance to venture nipon attacking them. An instance

    of this occurred near Canton in 1S39, when a boat, containing a

    clerk of the court and three or four police, came into the fleet

    of European opium-ships to hunt for some desperate opium

    smugglers Avho had taken refuge there. The fellows, hearing

    of the arrival of the boat, came in the night, and surrounding

    it took out the crew, bound their pursuers, and burned them

    alive with the boat in sight of the whole fleet, to whom the

    desperadoes looked for protection against their justly incensed

    countrymen.

    A censor in 1819, complaining of flagrant neglect in the administration of justice in Cliihli, says : ” Among the magistrates are many who, without fear or shame, connive at robbery and deceit. Formerly, horse-stealers were wont to conceal themselves in some secret place, but now they openly bring their plunder to market for sale. “When they perceive a person to be weak, they arc in the habit of stealing his property and returning it to him for money, while the officers, on hearing it, treat it as a trivial matter, and blame the sufferer for not being more cautious. Thieves are apprehended with warrants on them, showing that when they were sent out to arrest

    thieves they availed of the opportunity to steal for themselves.

    And at a village near the imperial residence are very many

    plunderers concealed, M’ho go out by night in companies of

    twenty or thirt}- persons, carrying weapons with them ; they

    frequently call up the inhabitants, break open the doors, and

    having satisfied themselves with what food and wine they can

    obtain, they threaten and extort money, Avhich if they cannot

    procure they seize their clothes, ornaments, or cattle, and depart.

    They also frequently go to shops, and having broken

    open the shutters impudently demand money, which if they do

    not get they set fire to the shop with the torches in their

    hands. If the master of the house lay hold on a few of them

    and sends them to the magistrate, he merely imprisons and

    beats them, and ‘ before half a month allows them to run

    away.” ‘

    The impaid retainers about the ycnmins a^e very numerous,

    and are more di-eaded than the police ; one censor says they are

    looked upon by the people as tigers and wolves ; he effected

    the discharge of nearly twenty-four thousand of them in the

    province of Cliihli alone. They are usually continued in their

    places by the head magistrate, who, wheii he arrives, being

    ignorant of the characters of those he must employ, re-engages

    such as are likely to serve. In cases of serious accusation the

    clei-ks frequently subpoena all who are likel}^ to be implicated,

    and demand a fee for liberating them when their innocence is

    shown. These myrmidons still fear the anger of their superiors

    and a recoil of the people so far as to endeavor to save

    appeai-ances by hushing up the matter, and liberating those

    ‘ Chinese licposituryy Vol. IV., p. 218.

    VENALITY OF THE POLICE AND CLERKS. 479

    unjustly cappreliended, with great protestations of conipassion.

    It may be added that, as life is not lightly taken, thieves are

    careful not to murder or maltreat their victims dangerously,

    nor do the magistrates venture to take life outright by torture,

    though their cruelties frequently result in death by neglect or

    starvation. Money and goods are what both policemen and

    officials want, not blood and rcA^enge. Parties at strife with

    each other frequently resort to legal inq^lication to gratify their

    ill-will, and take a pitiful revenge by egging on the police to

    pillage and vex their enemy, though they themselves profit nowise

    thereby.

    The evils resulting from a half-paid and venal magistracy are

    dreadful, and the prospects of their removal very slight. The

    governor of Chihli, in 1829, memorialized the Emperor upon

    the state of the police, and pointed out a remedy for many

    abuses, one of which was to pay them fair salaries out^ of the

    public treasury ; but it is plain that this remedy must begin

    with the monarch, for until an officer is released from sopping

    his superior he will not cease exacting from his inferiors. Experience has shown the authorities liow f^r it can safely be carried; while many officers, seeing how useless it is to irritate the people, so far as ultimately enriching themselves is concerned, endeavor to restrain their policemen. One governor issued an edict, stating that none of his domestics were allowed to browbeat shopmen, and thus get goods or eatables below the market price, and permitted the seller to collar and bring them to him

    for punishment when they did so. When an officer of high

    rank, as a governor, treasurer, etc., takes the seals of his post, he

    ofttimes issues a proclamation, exhorting the subordinate ranks

    to do as he means to do—” to look up and embody the kindness

    of the high Emperor,” and attend to the faithful discharge of

    their duties. The lower officers, in their turn, join in the cry,

    and a series of proclamations, by turns hortative and mandatory,

    are echoed from mastiff, spaniel, and poodle, until the cry ends

    upon the police. Thus the prefect of Canton says : ” There are

    hard-hearted soldiers and gnawing lictors who post themselves

    at ferries or markets, or rove about the streets, to extort money

    under various pretexts ; or, being intoxicated, they disturb and annoy the people in a hundred ways. Since I came into office iicre I have repeatedly commanded the inferior magistrates to act faithfully and seize such persons, but the depraved spirit still continues.”

    A censor, speaking of the police, says : ” They no sooner get a warrant to bring up witnesses than they assail both plaintiff and defendant for money to pay their expenses, from the amount of ten taels to several scoi’es. Then the clei’ks must have double what the runners get; if their demands be not satisfied they contrive every species of annoyance. Then, again, if there are people of property in the neighborhood, they will implicate them. They plot also with pettifogging lawyers to get np accusations against people, and threaten and frighten them out of their money.” ‘

    One natural consequence of such a state of society and such

    a perve/sion of justice is to render the people afraid of all contact

    with the officers of government and exceedingly selfish in

    all their intercourse, though the latter trait needs no particular

    training to develop it in any heathen comitry. It also tends to

    an inhuman disregard of the life of others, and chills every emotion

    of kindness which might otherwise arise ; for by making a

    man responsible for the acts of his neighbors, or by involving a whole village in the crimes of an individual, all sense of justice is violated. The terror of being iinplieatcd in any evil that takes place sometimes prevents the people from cpienching fires until the superior authorities be first informed, and from relieving the distressed until it is often too late. Hence, too, it not unfrequently happens that a man who has had the ill fortune to be stabbed to death in the street, or who falls down from disease and dies, remains on the spot till the putrescence obliges the neighbors, for their own safety, to remove the corpse. A dead body floating down the river and washing ashore is likely to remain

    on the banks until it again drifts away or the authorities

    get it buried, for no unofficial person would voluntarily run the

    risk of being seen interring it. One censor reports that when

    he asked the people why they did not remove the loathsome ob-

    ‘ Compare Doolittle, Socidl Life of the CJit’nene, Vol. I., p. 330.

    EFFECT OF IMUTUAL llESPONSIBILITY. 481

    ject, tliej said: “Wo always let the bodies be either buried in

    the bellies of fishes or devoured by the dogs ; for if we inform

    the magistrates they are sure to make the owner of the ground

    buy a coffin, and the clerks and assistants distress us in a hundred

    ways/’ The usual end of these memorials and remonstrances is that the police are ordered to behave better, the clerks commanded to abstain from implicating innocent people and retarding the course of justice, and their masters, the magistrates, threatened with the Emperor’s displeasure in ease the grievance is not remedied : after which all goes on as before, and will go on as long as both rulers and ruled are what they are.

    (The working out of the principle of responsibility accounts for many things in Chinese society and jurisprudence that otherwise appear completely at variance with even common humanity.

    It makes an officer careless of his duties if he can shift the responsibility of failure upon his inferiors, who, at the same time,

    he knows can never execute his orders; it renders the people

    dead to the impulses of relationship, lest they become involved

    in what they cannot possibly control and hardly know at the

    time of its commission. Mr. Lindsay states that when he was

    at Tsungming in 18r>2 the officers were very urgent that he

    should go out of the river, and in order to show him the effect

    of his non-compliance upon others a degraded subaltern was

    paraded in his sight. ” His cap with its gold button was borne

    before him, and he nuirched about blindfolded in procession between

    two executioners, with a small flag on a bamboo pierced

    through each ear. Uefore him was a placard with the inscription,

    ‘ By orders of the general of Su and Sung : for a breach

    of militaiy discipline, his ears are pierced as a warning to the

    multitude.’ Ilis offence was having allowed our boat to pass

    the fort without reporting it.’^

    During the first war with England, fear of punishment induced many of the subordinates to commit suicide when unable to execute their orders, and the same motive impelled their superiors to avoid the wrath of the Emperor in like fashion.

    The Hong-merchants and linguists at Canton, during the old regime, were constantly liable, from the operation of this principle, to exactions and punishments for the acts of their foreign customers. One of them, Sunsliing, was put in prison and ruined because Lord Napier came to Canton from Whampoa in the boat of a ship which the unhappy merchant had ” secured” several weeks before, and the hnguist and pilot were banished for allowing what they could not possibly have hindered even if they had known it.

    Having examined in this general manner the various grades

    of official rank, we come to the people ; and a close view will

    show that this great mass of human l)eings exhibits many equally

    objectionable traits, while oppression, want, clannish rivalry,

    and brigandage combine to keep it in a constant state of turmoil.

    The subdivisions into tithings and hundreds are better

    observed in rural districts than in cities, and the headmen of

    those communities, in their individual and collective character,

    possess great influence, from the fact that they represent the

    popular feeling. In all parts of the country this popular organization

    is found in some shape or other, though, as if everything

    was somehow perverted, it not unfrequently is an instrument of

    greater oppression than defence. The division of the people

    into clans is far more marked in the southern provinces than in

    those lying north of the Yangtsz’, and has had a depressing

    effect upon their good government. It resembles in general the

    arrangement of the Scottish clans, as do the evils arising from

    their dissensions and feuds those which histoiy records as excited

    among the Highlanders by the i-ivalry between Campbells

    and Macgregors.

    ‘ H«eren, Asiatic Nations, Vol. II., p. 259. Raffles, Java, Vol. II. App.Biot, Vlmtructioii publique, pp. 59, 200.

    VILLAGE ELDERS. 483

    The eldership of villages has no necessary connection with the clans, for the latter are unacknowledged by the government, but the clan having the majority in a village generally selects the elders from among their number. This system is of very ancient date; its elementary details are given in the Chau-l’i, one of the oldest works extant in China ; Ileeren furnishes the same details for India and Kaffles for Java, reaching back in their duration to remote antiquity.’ In the vicinity of Canton the elder

    is elected by a sort of town meeting, and holds his office during

    good behavior, receives such a salary as his fellow villagers give

    him, and may be removed to make way for another whenever

    the principal persons in the village are displeased with his conduct.

    His duties are limited to the supervision of the police

    and general oversight of what is done in the village, and to be a

    sort of agent or spokesman between the villagers and higher authorities; the duties, the power, and the rank of these officers

    vary almost indeiinitel}’. The preponderance of one clan prevents

    much strife in the selection of the elder, but the degree of

    power reposed in his hand is so small that there is probably little

    competition to obtain the dignity. A village police is maintained

    by the inhabitants, under the authority of the elder ; the village

    of Whampoa, for instance, containing about eight thousand inhabitants, pays the elder $300 salary, and employs fourteen

    watchmen. His duties further consist in deciding upon the

    petty questions arising between the villagers and visiting the

    delinquents with chastisement, enforcing such regulations as are

    deemed necessary regarding festivals, markets, tanks, streets,

    collection of taxes, etc. The system of surveillance is, howevei-,

    kept up by the superior officers, who appoint excise officers, grain

    agents, tide-waiters, or some other subordinate, as the case may

    require, to exercise a general oversight of the headmen.

    The district magistrate, with the s’mnkien and their deputies

    over the hundred, are the officers to whom appeals are carried

    from the headmen ; they also receive the reports of the elders

    respecting suspicious characters within their limits, or other

    matters which they deem worthy of reference or remonstrance.

    A similarity of interests leads the headmen of many villages

    to meet together at times in a public hall for secret consultation

    upon important matters, and their united resolutions are

    generally acted upon by themselves or by the magistrates, as

    the case may be. This system of eldership, and the influential

    position the headmen occupy, is an important safeguard the

    people possess against the extremity of oppressive extortion; while, too, it upholds the government in strengthening the loyalty

    of those who feel that the only security they possess against

    theft, and loss of all things from their seditious countrymen, is to uphold the institutions of the land, and that to suffer the evils of a bad magistracy is less dreadful than the horrors of a lawless brigandage.

    The customs and laws of clanship perpetuate a sad state of

    society, and render districts and villages, otherwise peaceful, the

    scenes of unceasing tm-moil and trouble. There are only about

    four hundred clans in the whole of China, but inasmuch as all

    of the same surname do not live in the same place, the separation

    of a clan answers the same purpose as multiplying it. Clannish

    feelings and feuds are very much stronger in Kwangtung

    and Fuhkien than in other provinces. As an instance which

    may be mentioned, the Gazette contains the petition of a man

    from Chauchau fu, in Kwangtung, relating to a quarrel, stating

    that “four years before, his kindred having refused to assist

    two other clans in their feuds, had during that period suffered

    most shocking cruelties. Ten jiersons had been killed, and

    twenty men and women, taken captives, had had their eyes dug

    out, their ears cut off, their feet maimed, and so rendered useless

    for life. Thirty houses Avere laid in ruins and three hundred

    acres of land seized, ten thousand taels plundered, ancestral

    temples thrown down, graves dug up, dikes destroyed, and water

    cut off from the fields. The governor had oifered a reward of

    a thousand taels to any one who would apprehend these persons,

    but for the ten murders no one had been executed, for the

    police dare not seize the offenders, whose nmnbers have largely

    increased, and M’ho set the laws at defiance.” This region is

    notorious for the turbulence of its inhal)itants ; it adjoins the

    province of Fuhkien, and the people, known at Canton as Ilolio,

    emigrate in large immbers to the Indian Archipelago or to other

    provinces. The later Gazettes contain still more dreadful accounts

    of the contests of the clans, and the great loss of life and

    property resulting from their forays, no less than one hundred

    and twenty villages having been attacked, and thousands of

    people killed. These battles are constantly occurring, and the

    authorities, feeling themselves too weak to put them down, are

    ()l)]iged to comiive at them and let the clans fight it out.

    Ill will is kept up between the clans, and private revenges

    gratified, by every personal annoyance that malice can suggest

    SOCIAL EVILS OF CLANSHIP. 485

    or opportniiity tempt. If an unfortunate individual of one clan

    is met alone by his enemy, he is sure to be robbed or beaten, or

    botli ; the boats or the houses of each party are plimdered or

    burned, and legal redress is almost impossible. Graves are defaced

    and tombstones injured, and on the annual visit to the

    family sepulchre perhaps a putrid corpse is met, placed there

    by the hostile clan ; this insult arouses all their ire, and they

    vow deadly revenge. The villagers sally out with such arms as

    they possess, and death and wounds are almost sure to result

    before they separate. In Shunteh (a district between Canton

    and Macao) upward of a thousand men engaged with spears

    and iirearms on one of these occasions, and thirty-six lives were

    lost ; the military were called in to quell the riot. In Tungkwan

    district, southeast of Canton, thirty-six ringleaders w^ere

    apprehended, and in 1S31 it was reported that four hundred

    persons had been killed in these raids ; only twenty-seven of

    their kindred appealed to government for redress.

    When complaint is made to the prefect or governor, and investigation becomes inevitable, the villagers have a provision to meet the exigencies of the case, which puts the burden of the charges as equally as possible upon the whole clan. A band of ”devoted men ” are found —persons who volunteer to assume such crimes and run their chance for life—whose names are kept on a list, and they come forward and surrender themselves to government as the guilty persons. On the trial their friends employ witnesses to prove it a justifiable homicide, and magnify the provocation, and if tliei-e are several brought on the stand

    at once they try to get some of them clear by proving an alibi.

    It not unfrequently happens that the accused are acquitted—

    seldom that they are executed ; transportation or a fine is the

    usual result. The inducement for persons to run this risk of

    their lives is security from the clan of a maintenance for their

    families in case of death, and a reward, sometimes as high as

    $300, in land or money when they return. This sum is raised

    by taxing the clan or village, and the imposition falls heavily

    on the poorer portion of it, who can neither avoid nor easily

    pay it. This sj-stem of substitution pervades all parts of society,

    and for all misdemeanors. A person was strangled in Macau in 183S for having been engaged in the opium trade, who had

    been hired bj the real criminal to answer to liis name. Another

    mode of escape, sometimes tried in sucli cases when the

    person has been condemned, is to bribe the jailers to report him

    dead and carry out his body in a cotiin ; but this device probably

    does not often answer the end, as the turnkeys require a

    larger bribe than can be raised. There can be little doubt of the

    prevalence of the j)ractice, and for crimes of even minor penalty.

    To increase the social CN^ils of clanship and systematized

    thieving, local tyrants occasionally spring up, persons who rob

    and maltreat the villagers by means of their armed, retainers,

    who are in most cases, doubtless, members of the same clan.

    One of these tyrants, named Yc/i, or Leaf, became quite notorious

    in the district of Tungkwan in 1833, setting at defiance

    all the power of the local authorities, and sending out his men

    to plunder and ravage whoever resisted his demands, destroying

    their graves and grain, and particularly molesting those who

    would not deliver np their wives or daughters to gratify him.

    lie was arrested through craft by the district magistrate at

    Canton leaving his office and inducing him, for old acquaintance

    sake, to return with him to the provincial city ; he was there

    tried and executed by the governor, although it was at the time

    reported that the Board of Punishments endeavored to save his

    life because he had been in office at the capital. In order that

    no attempt should be made to rescue him, he was left in ignorance

    of his sentence until he was put into the sedan to be carried

    to execution.

    Clannish banditti often supply themselves with firearms, and prowling the countiy to revenge themselves on their enemies, soon proceed to pillage every one; in disarming them the government is sometimes obliged to resort to contemptible subterfuges, which conspicuously show its weakness and encourage a repetition of the evil. Parties of tramps, called /lakka, or ‘guests,’

    roam over Ivwangtung provinc^e, s(juatting on vacant places

    along the shores, away from the villages, and forming small

    clannish communities ; as soon as they increase, occupying more

    and more of the land, they l)egin to commit petty depredations

    upon the crops of the inhabitants, and demand money for the

    BANDITTI AND TRAMPS, 487

    privilege of burying upon the unoccupied ground around tliem.

    The government is generally unwilling to drive them ofP bv

    force, because there is the alternative of making them robbers

    thereby, and they are invited to settle in other waste lands,

    which they can have free of taxation, and leave those they have

    cultivated if strictly private property. This practice shows the

    populousness of the country in a conspicuous manner. To these

    evils nnist be also added the large bodies of floating l)anditti or

    dakoits, who rove up and down all the watercourses ” like

    sneaking rats ” and pounce upon defenceless boats. Hardly a

    river or estuary in the land is free from these miscreants, and

    lives and property are annually destroyed by them to a very

    great amount, especially on the Yangtsz’, the Pearl Iviver, and

    other great thoroughfares.

    The popular associations in cities and towns are chiefly based

    upon a community of interests, resulting either from a similarity

    of occupation, wdien the leading persons of the same calling

    form themselves into guilds, or from the municipal regulations

    requiring the householders living in the same street to unite to

    maintain a police and keep the peace of their division. Each

    guild has an assembly-hall, where its members meet to hold the

    festival of their patron saint, to collect and appropriate the subscriptions of the members and settle the rent or storage on the

    rooms and goods in the hall, to discuss all public matters as well

    as the good cheer they get on such occasions, and to confer with

    other guilds. The members often go to a great expense in

    emulating each other in their processions, and some rivalry

    exists regarding their rights, over which the government keeps

    a watchful eye, for all popular assemblies are its horror. The

    shopkeepers and householders in the same street are required to

    have a headman to superintend the police, watchmen, and beggars

    within his limits. The rulers are sometimes thwarted in

    their designs by both these forms of popular assemblies, and they

    no doubt tend in many ways to keep up a degree of independence

    and of nmtual acquaintance, which compels the respect of

    the government. The governor of Canton in 1838 endeavored

    to search all the shops in a particular street, to ascertain if there

    Was opium in them ; but the shopmen came in a body at the iiead of the street, and told the policemen that they would on no account permit their shops to be searched. The governor deemed it best to retire. Those who will not join or agree to what the majority orders in these bodies occasionally experience petty tyranny, but in a city this must be comparatively trilling.

    Several of the leading men in the city are known to hold meetings

    for consultation in still more popular assemblies for different

    reasons of a public and pressing nature. There is a building

    at Canton called the Mhuj-lun Tang^ or ” Free Discussion

    Hall,” where political matters are discussed under the knowledge

    of government, which rather tries to mould than put them

    down, for the assistance of such bodies, rightly managed, in

    carrying out their intentions, is considerable, while discontent

    would be roused if they were forcibly suppressed. In October,

    1842, meetings were held in this hall, at one of which a public

    manifesto was issued, here quoted entire as a specimen of the

    public appeals of Chinese politicians and orators: “We have been reverently consulting upon the Empire— a vast and undivided whole ! How can Yfi^ permit it to be severed in order to give it to others ‘? Yet we, the rustic people, can learn to practice a rude loyalty; we too know to destroy the banditti, and thus requite his Majesty. Our Great Pure dynasty has cared for this country for more than two hundred years, during which a succession of distinguished monarchs, sage succeeding sage, has reigned ; and we who eat the herb of the field, and tread the soil, have for ages drank in the dew of imperial goodness, and been imbued with its benevolence. The people in wilds far remote beyond our influence have also felt this goodness, comparable to the heavens for height, and been upheld by this bounty, like the earth for thickness. Wherefore peace being now settled in the country, ships of all lands come, distant though they be from this for many a myriad of miles ; and of all the foreigners on the south and west there is not one but what enjoys the highest peace and contentment, and entertains the profoundest respect and submission.

    ” But there is that English nation, whose ruler is now a woman and then a man, its people at one time like birds and then like beasts, with dispositions more fierce and furious than the tiger or wolf, and hearts more greedy than the snake or hog—this people has ever stealthily devoured all the southern barbarians, and like the demon of the night llicy now suddenly exalt themselves.

    MANIFESTO ISSUI^-O AGAINST THE ENGLISH. 489

    During the reigns of Kienlung and Kiaking these English barbarians humlily besought entrance and permission to make a present ; they also presumptuously reijuested to have Chusan, but those divine personages, clearly perceiving their traitorous designs, gave them a peremptory refusal. From that time* linking themselves in with traitorous traders, they have privilj dwelt at Macao, trading largely in opium and poisoning our brave people.

    They have ruined lives— how many millions none can tell ; and wasted property—how many thousands of millions who can guess! They have dared again and again to murder Chinese, and have secreted the murderers, whom they have refused to deliver up, at which the hearts of all men grieved and their heads ached. Thus it has been that for many years past the English, by their privily watching for opportunities in the country, have gradually brought things to the present crisis.

    “In 1888, our great Emperor having fully learned all the crimes of the

    English and the poisonous effects of opium, (quickly wished to restore the

    good condition of the country and compassionate the people. In consequence

    of the memorial of Hwang Tsioh-sz’, and in accordance to his request, he

    specially deputed the public-minded, upright, and clear-headed minister, Lin

    Tseh-sii, to act as his imperial commissioner with pleniijotentiary powers, and

    go to Canton to examine and regulate. He came and took all the storedup

    opium and stopped the trade, in order to cleanse the stream and cut

    off the fountain ; kindness was mixed with his severity, and virtue was

    evident in his laws, yet still the English repented not of their errors, and

    as the climax of their contumacy called troops to their aid. The censor

    Hwang, by advising peace, threw down the barriers, and bands of audacious

    robbers willingly did all kinds of disreputable and villainous deeds. During

    the past three years these rebels, depending upon their stout ships and effective

    cannon, from Canton went to Fuhkien, thence to Chehkiang and on

    to Kiangsu, seizing our territory, destroying our civil and military authorities,

    ravishing our women, capturing our property, and bringing upon the inhabitants

    of these four provinces intolerable miseries. His Imperial Majesty was

    troubled and afflicted, and this added to his grief and anxiety. If you wish

    to purify their crimes, all the fuel in the Empire will not suffice, nor would

    the vast ocean be enough to wash out our resentment. Gods and men are

    alike filled with indignation, and Heaven and Earth cannot permit them to remain.

    “Recently, those who have had the management of affairs in Kiangnan have been imitating those who were in Canton, and at the gates of the city they have willingly made an agreement, peeling oH the fat of the people to the tune of .hundreds of myriads, and all to save the precious lives of one or two useless officers ; in doing which they have exactly verified what Chancellor Kin Ying-lin had before memorialized. Now these English rebels are barbarians dwelling in a petty island beyond our domains ; yet their coming throws myriads of miles of country into turmoil, while their numbers do not exceed a few myriads. What can be easier than for our celestial dynasty to exert its fulness of power and exterminate these contemptible sea-going imps, just as the blast bends the pliant bamboo? But our highest officers and ministers cherish their precious lives, and civil and military men both dread a dog as they would a tiger ; regardless of the enemies of their country or the griefs of the people, they have actually sundered the Empire and granted its wealth ; acts more flagitious these than those of the traitors in the days of the Southern Sung dynasty, and the reasons for which are wholly beyond out comprehension. These English barbarians are at bottom without ability, and yet we have all along seen in the memorials that officers exalt and dilate upon their prowess and obstinacy ; our people are courageous and enthusiastic, but the officers on the contrary say that they are dispirited and scattered : this is for no other reason than to coerce our prince to make peace, and then they will luckily avoid the penalty due for ‘ deceiving the prince and betraying the country.’ Do you doubt ? Then look at the memorial of Chancellor Kin Ying-lin, which says : ‘ They take the occasion of war to seek for self-aggrandizement ;’ every word of which directly points at such conduct as this.

    “We have recently read in his Majesty’s lucid mandate that ‘There is no other way, and what is requested must be granted ; ‘ and that ‘ We have cou’ferred extraordinary powers upon the ministers, and they have done nothing but deceive us.’ Looking up we perceive his Majesty’s clear discrimination and divine perception, and that he was fully aware of the imbecility of his ministers ; he remembers too the loyal anger of his people. He has accordingly now temporarily settled all the present difficulties, but it is that, having matured his plans, he may hereafter manifest his indignation, and show to the Empire that it had not fathomed the divine awe-inspiring counsels.

    ” The dispositions of these rebellious English are like that of Hlie dog or sheep, whose desires can never be satisfied ; and therefore we need not inquire whether the peace now made be real or pretended. Remember that when they last year made disturbance at Canton they seized the Square fort, and thereupon exhibited their audacity, everywhere plundering and ravishing.

    MANIFESTO ISSUED AGAINST THE ENGLISH. 491

    If it had not been that the patriotic inhabitants dwelling in Hwaitsing and other hamlets, and those in Shingping, had not killed their leader and destroyed their devilish soldiers, they would have scrupled at nothing, taking and pillaging the city, and then firing it in order to gratify their vengeance and greediness : can we imagine that for the paltry sum of six millions of dollars they would, as they did, have raised the siege and retired ‘i How to be regretted ! That when the fish was in the frying-pan, the Kwangchau fu should come and pull away the firewood, let loose the tiger to return to the mountains, and disarm the people’s indignation. Letting the enemy thus escape on one occasion has successively brought misery upon many provinces: whenever we speak of it, it wounds the heart and causes the tears to fiow.

    ” Last year, when the treaty of peace was made, it was agreed that the English should withdraw from lieyond Lankeet, that they should give back the forts near there and dwell temporarily at Hongkong, and that thenceforth all military operations were forever to cease. Who would have supposed that before the time stipulated had passed away they would have turned their backs upon this agreement, taken violent possession of the forts at the Bogue with their ‘ wooden dragons ‘ [i.e. , ships of war]—and when they came upon the gates of the City of Rams with their powerful forces, who was there to oppose them ? During these three years we have not been able to restore things as at first, and their deceptive craftiness, then confined to these regions, has rapidly extended itself to Kiangnan. But our high and mighty Emperor, preeminently intelligent and discerning [lit. grasping the golden mirror and holding the gemmeous balances], consents to demean himself to adopt soothing counsels of peace, and therefore submissively accords with the decrees of Heaven. Having a suspicion that these outlandish people intended to encroach upon us, he has secretly arranged all things. We have respectfully read through all his Majesty’s mandates, and they are as clear-sighted as the sun and moon ; but those who now manage affairs are like one who, supposing the raging fire to be under, puts himself as much at ease as swallows in a court, but who, if the calamity suddenly reappears, would be as defenceless as a grampus in a fish-market. The law adjudges the penalty of death for betraying the country, but how can even death atone for their crimes V Those persons who have been handed down to succeeding ages with honor, and those whose memories have been execrated, are but little apart on the page of righteous history ; let our rulers but remember this, and we think they also must exert themselves to recover their characters. We people have had our day in times of great peace, and this age is one of abundant prosperity ; scholars are devising how to recompense the kindness of the government, nor can husbandmen think of forgetting his Majesty’s exertions for them. Our indignation svas early excited to join battle with the enemy, and we then all urged one another to the firmest loyalty.

    “We have heard the English intend to come into Pearl River and make a

    settlement ; this will not, however, stop at Chinese and foreigners merely

    dwelling together, for men and beasts cannot endure each other ; it will be

    like opening the door and bowing in the thief, or setting the gate ajar and

    letting the wolf in. While they were kept outside there were many traitors

    within ; how much more, when they encroach even to our bedsides, will our

    troubles be augmented ? We cannot help fearing it will eventuate in something

    strange, which words will be insi;flicient to express. If the rulers of

    other states wish to imitate the English, with what can their demands be

    waived V Consequently, the unreasonable demands of the English are going

    to bring great calamity upon the people and deep sorrow to the country. If

    we do not permit them to dwell with us under the same heaven, our spirits

    will feel no shame ; but if we willingly consent to live with them, we may in truth be deemed insensate.

    ” We have reverently read in the imperial mandate, ‘There must indeed be some persons among the people of extraordinary wisdom or bravery, who can stir them up to loyalty and patriotism or unite them in self-defence ; some who can assist the government and army to recover the cities, or else defend passes of importance against the robbers ; some who can attack and burn their vessels, or seize and bring the heads of their doltish leaders ; or else some with divine presence and wisdom, who can disclose all their silly counsels and get to themselves a name of surpassing merit and ability and receive the highest rewards. We can confer,’ etc., etc. We, the people, having received the imperial words, have united ourselves together as troops, and practise the plan of joining hamlets and villages till we have upward of a million of troops, whom we have provisioned according to the scale of estimating the produce of respective farms; and now we are fully ready and quite at ease as to the result. If nothing calls us, then each one will return to his own occupation ; but if the summons come, juiuiug our strength iu force we will incite each other to e.7ort ; our brave sons and brothers are all animated to deeds of arms, and even our wives and daughters, finical and delicate as jewels, have learned to discourse of arms. At first, alas, those who guarded the passes were at ease and careless, and the robbers came unbidden and undesired; but now [if they come], we have only zealously to appoint each other to stations, and suppress the rising of the waves to the stillest calm [i.e., to exterminate them]. When the golden pool is fully restored to peace, and his Majesty’s anxiety for the south relieved; when the leviathan has been driven away, then will our anger, comparable to the broad ocean and high heavens, be pacified.

    ” Ah ! We here bind ourselves to vengeance, and express these our sincere intentions in order to exhibit great principles ; and also to manifest Heaven’s retribution and rejoice men’s hearts, we now issue this patriotic declaration. The high gods clearly behold : do not lose your first resolution.” ‘

    This spirited paper was subsequently answered Ly the party desirous of peace, but the anti-English feeling prevailed, and the committee appointed by the meeting set the English consulate on fire a few days after, to prevent it being occupied.

    There were many reasons at the time for this dislike; its further exhibition, however, ended with this attack, and has now pretty much died out with the rising of a new generation. The many secret as.^ociations existing among the people are mostly of a political character, but have creeds like religious sects, and differ slightly in their tenets and objects of worship.

    ‘ ChineHe Ilejwsitory, Vol. XI., p. 0:50.

    POPULAR SECRET ASSOCIATIONS. 493

    They are traceable to the system of clans, which giving the people at once the habit and spirit for associations, are easily made use of by clever men for their own purposes of opposition to government. Similar grievances, as local oppression, hatred of the Manchus, or hope of advantage, add to their mimbersand strength, and were they founded on a full acquaintance with the grounds of a just resistance to despotism, they would soon overturn the government ; but as out of an adder’s egg only a cockatrice can be hatched, so until the people are enlightened with regard to their just rights, no ]”)cnnanent melioration can be expected. It is against that leading feature in the ]\[anchu policy, isolation^ that these societies sin, which further prompts to systematic efforts to suppress them. The only objection the supreme government seems to have against the religion of the people is that it brings them together ; they may be Buddhists, nationalists, Jews, J\rohammedans, or Christians, apparently, if they will worship in secret and apart. On the other hand, the people naturally connect some religious rites with their opposition and cabals in order to more securely bind their members together.

    The name of the most powerful of these associations is mentioned in Section CLXII. of the code for the purpose of interdicting it ; since then it has apparently changed its designation from the Pih-Uen l-kio, or ‘AVater-lily sect,’ to the Tien-ti hioui or Siui-hoh /itnii, i.e., ^ Triad society,’ though both names still exist, the former in the northern, the latter in the maritime provinces and Indian Archipelago; their ramifications take also other appellations. The object of these combinations is to overturn the reigning dynasty, and in putting this prominently forward they engage many to join them. About the beginning of the century a wide-spread rebellion broke out in the northwestern and middle provinces, which was put down after eight years’ war, attended with desolation and bloodshed ; since that time the AYater-lily sect has not been so often spoken of. The Triad society has extended itself along the coasts, but it is not popular, owing more than anything else to its illegality, and the intimidation and oppression employed toward those who will not join it. The members have secret regulations and signs, and uphold and assist each other both i)i good and bad acts, but, as might be inferred from their character, screening evil doers from just punishment oftener than relieving distressed members. The original designs of the association may have been good, but what was allowable in them soon degenerated into a systematic plan for plunder and aim at power.

    The government of Hongkong enacted in 1845 that any Chinese living in that colony who was ascertained to belong to the Triad society should be declared guilty of felony, be imprisoned for three 3’ears, and after branding expelled the colony. These associations, if they cause the government much trouble by interfering with its operations, in no little degree, through the overbearing conduct of the leaders, uphold it by showing the people what may be expected if they should ever get the upper hand.’

    The evils of lual-adiniiiistratiou are to be learned chiefly

    from the memorials of censors, and although they may color

    their statements a little, very gross inaccuracies would be used

    to their own disadvantage, and contradicted by so many competitors,

    that most of their statements may be regarded as having

    some foundation. An unknown person in Kwangtung memorialized

    the Emperor in 1838 concerning the condition of that

    province, and drew a picture of the extortions of the lower

    agents of government that needs no illustrations to deepen its

    darkness or add force to its complaints. An extract from each

    of the six heads into which the memorial is divided will indicate

    the principal sources of popular insurrection in China,

    besides the exhibition they give of the tyranny of the officers.

    In his preface, after the usual laudation of the beneficence

    and popularity of the monarch, the memorialist proceeds to express

    his regret that the imperial desires for the welfare of his

    subjects should be so grievously thwarted by the villany of his

    officers. After mentioning the calamities which had visited the

    province in the shape of freshets, insurrections, and conflagrations,

    he says that affairs generall}’ had become so bad as to

    compel his Majesty to send connnissioners to Canton repeatedly

    in order to regulate them. ” If such as this be indeed the state

    of things,” he inquires, ” what wonder is it if habits of plunder

    characterize the people, or the clerks and under officers of the

    public courts, as well as village pettifoggers, lay themselves out

    on all occasions to stir up quarrels and instigate false accusations

    against the good?” He reconnnends reform in six departments,

    under each of which he thus specities the evils to beremedied: “‘

    Compare Dr. Milne, in Transnctions R. A. S. of Gr. Brit, and Irel., Vol.I., p. 240 (182.”)). Journal of the R. A. R, Vol. I., p. 9;}, and Vol. VI., p.120. Chinese Repository, Vol. .XVIII., pp. 280-295. A. Wylie, in the Shttncjhiti Almtinacfor ISrA. Notes and Queries on C and ,/., Vol. III., p. M. T. T. Meadows, The Chinese and their Rebellions, London, 1850. Gustave Schlegel, Thian Ti Ilitui, the JIunfj-Jjeague or JTeaven-Earth-League. A Secrel Society with the Chinese in China and India, Hatavia, lS(i().

    MEMORIAL UPON OFFICIAL OPPRESSION. 495

    First.—(In the department of police there is great negligence

    and delay in the decision of judicial cases. Cases of plunder

    are very common, most of which are committed hy banditti

    under the designations of Triad societies, Heaven and Earth

    brotherhoods, etc. These men carry off persons to extort a

    ransom, falsely assume the character of policemen, and in sinuilated

    revenue cutters pass up and down the rivers, plundei’iiig

    the boats of travellers and forcibly carrying off the women.

    Husbandmen are obliged to pay these robbers an ” indemnity,”

    or else as soon as the crops are ripe they come and carry off

    the M’hole harvest. In the precincts of the metropolis, where

    their contiguity to the tribunals prevents their committing depredations

    in open day, they set tire to houses during the night,

    and under the pretence of saving and defending the persons and

    property carry off both of them; hence, of late years, calamitous

    fires have increased in frequency, and the bands of robbers

    multiplied greatly. In cases of altercations among the villagers,

    who can only use their local patois, it rests entirely with the

    clerks to interpret the evidence ; and when the magistrate is lax

    or pressed with business, they have the evidence pre-arranged

    and join with bullies and strife-makers to subvert right and

    wrong, fattening themselves upon bribes extorted under the

    names of ” memoranda of complaints,” ” purchases of replies,”

    etc., and retarding indefinitely the decision of cases. They also

    instigate thieves to bring false accusations against the good, who

    are thereby ruined by legal expenses. While the officers of the

    government and the people are thus separated, how can it be

    otherwise than that appeals to the higher tribunals should be

    increased aiid litigation and strife prevail ?

    Second.—Magistrates overrate the taxes with a view to a deduction for their own benefit, and excise officers connive at non-payment. The revenue of Kwangtung is paid entirely in money, and the magistrates, instead of taking the commutation at a regular price of about five dollars for one hundred and fifty pounds of rice, have compelled the people to pay nine dollars and over, because the inundation and bad harvests had raised the price of grain.j In order to avoid this extortion the police go to the villagers and demand a douceur, when they will get them off from all payment. But the imperial coffers are not filled b;^ this means, and the people are by and hy forced to pay up their arrearages, even to the loss of most of their possessions.

    Third.—There is great mismanagement of the granaries, and instead of being any assistance to the people in time of scarcity, they are only a soiu’ce of peculation for those who are charged with their oversight.

    Fourth —The condition of the army and navy is a disgrace;

    illicit traffic is not prevented, nor can insurrections be put down.

    The only care of the officers is to obtain good appointments,

    and reduce the actual nmnber of soldiers below the register in

    order that they may appropriate the stores. The cruisers aim

    only to get fees to allow the prosecution of the contraband traffic,

    nor will the naval officers bestir themselves to recover the

    pi-operty of plundered boats, but rather become the protectors

    of the lawless and partakers of their booty. Robberies are so

    common on the rivers that the traders from the island of Hainan,

    and Chauchau near Fuhkien, prefer to come by sea, but

    the revenue cutters overhaul them under pretence of searching

    for contraband articles, and practise many extortions/*

    Fifth.—The monopoly of salt needs to be guarded more

    strictly, and the private manufacture of salt stopped, for thereby

    the revenue from this source is materially diminished.

    S’uih.—^\\Q inei-case of smuggling is so great, and the evils

    flowing from it so multiplied, that strong measures nmst be

    taken to repress it. Traitorous Chinese combine with depraved

    foreigners to set the laws at defiance, and dispose of their opium

    and other commodities for the pure silvci-. In this manner the

    country is impoverished and every evil arises, the revenues of

    the customs are diminished by the unnecessary number of persons

    employed and by the fees they receive for connivance, i If

    all these abuses can be remedied, ” it will be seen that when

    there are men to rule well, nothing can be found beyond the

    reach of their government.”

    FREQUENCY OF KOBBEllY AXI) DAKOITY. 497

    The chief efforts of officials are directed to put down banditti, and maintain such a degree of peace as will enable them to collect the revenue and secure the people in the quiet possession of their property ; but the people are too ready to resist them rulers, and this brings into operation a constant struggle of opposing desires. ( )nc side gets into the habit of resisting even the proper re(piisitions of the officers, who, on their part, endeavor in every way to reimburse their outlay in bribes to their superiors ; and the combined action of the two proves an insurmountable impediment to the attainment of even that degree of security a Chinese officer wishes.”i The general commission of robbery and dakoity, and the prevalence of bands of thieves, therefore proves the weakness of the government, not the insurrectionary disposition of the people. In one district of Ilupeh the governor reported in 1828 that “very few of the iuliabitants have any regular occupation, and their dispositions are exceedingly ferocious; they fight and kill each other on every provocation. In their villages they harbor thieves who flee from other districts, and sally forth again to plunder.” In the northern parts of Ivwangtung the people have erected high and strongly built houses to which they flee for safety from the attacks of robbers. These bands sometimes fall upon each other, and the feudal animosities of clanship adding fuel and

    rage to the rivalry of partisan warfare, the destruction of life

    and property is great. Occasionally the people zealously assist

    their rulers to apprehend them, though their exertions depend

    altogether upon the energy of the incumbent ; an officer in

    Fuhkien is recommended for promotion because he had apprehended

    one hundred and seventy-three persons, part of a band

    of robbers which had infested the department for years, and

    tried and convicted one thousand one hundred and sixty criminals,

    most or all of whom were probably executed.

    In 1821 there were four hundred robbers taken on the borders

    of Fuhkien ; in 1827 two hundred were seized in the

    south of the province, and forty-one more brought to Canton

    from the eastward. The governor offered $1,000 reward for

    the capture of one leader, and ,^3,000 for another. The judge

    of the province put forth a proclamation upon the subject in

    the same year, in w’hieh he says there were four hundred and

    thirty undecided cases of robbery by brigands then on the calendar

    ; and in 1816 there were upward of two thousand waiting

    his decision, for each of which there were perhaps five or six persons in prison or under constraint until the ease was settled.

    These bands prowl in the large cities and commit great

    cruelties. In 1830 a party of live hundred openly plundered a

    rich man’s house in the western suburbs of Canton ; and in

    Shunteh, south of the city, $600 were paid for the ransom of

    two persons carried off by them. The ex-governor, in 1831,

    was attacked by them near the Mei ling pass on his departure

    from Canton, and plundered of about ten thousand dollars.

    The magistrates of ITiangshan district, south of Canton, M-ere

    ordered by their superiors the same year to apprehend five

    hundred of the robbers. Priests sometimes harbor gangs in

    their temples and divide the spoils with them, and occasionally

    go out themselves on predatory excursions. Xo mercy is

    shown these miscreaTits when they are taken, but the multiplication

    of executions has no effect in deterring them from crime.

    Cruelty to individual prisoners does not produce so nuich disturbance

    to the general peace of the community as the forcible

    attempts of officers to collect taxes. / The people have the impression

    that their rulers exact more than is legal, and consequently

    consider opposition to the demands of the tax-gatherer

    as somewhat justifiable, which compels, of course, more stringent

    measures on the part of the authorities, whose station depends

    not a little on their punctuality in remitting the taxes. Bad

    harvests, floods, or other public calamities _i-ender the people

    still more disinclined to pay the assessments./ (In 184:5 a serious

    disturbance arose near jS^ingpo on this accoimt, which with unimportant differences could probably be paralleled in every prefecture in the land. The people of Funghwa liien having refused to pay an onerous tax, the prefect of Ningpo seized three literary men of the place, who had been deputed to collect it, and put them in prison ; this procedure so irritated the gentry that the candidates at the literary examination which occurred at Funghwa soon afterward, on being assembled at the public hall before the cJuhicn, rose upon him and beat him severely.

    DIFFICULTY IN COLLECTING TAXES. 499

    They were still further incensed against him from having recently detected him in deceitful conduct regarding a ]>etition they had made at court to have their taxes lightened; he had kept the answer and pocketed the difference, he was consequently superseded by another magistrate, and a deputy of the intendant of circuit was sent with the new incumbent to restore order. But the deputy, full of his importance, carried himself so haughtily that the excited populace treated him in the same manner, and he barely escaped with his life to Xingpo.

    The intendant and prefect, finding matters rising to such a pitch, sent a detachment of twelve hundred troops to keep the peace, but part of these were decoyed within the walls and attacked with such vigor that many of them were made prisoners, a colonel and a dozen privates killed, and two or three hundred wounded or beaten, and all deprived of their arms. In this plight they returned to Ningbo, and, as the distance is not great, apprehensions were entertained lest the insurgents should follow up their advantage by organizing themselves and ii>arching upon the city to seize the prefect. The officers sent immediately to Ilangchau for assistance, from whence the governor sent a strong force of ten thousand men to restore order, and soon after arrived himself. He demanded three persons to be given up who had been active in fomenting the resistance, threatening in case of non-compliance that he would destroy the town ; the prefect and his deputy from the intendant’s office were suspended and removed to another post.^ These measures restored quiet to a considerable extent.’

    The existence of such evils in Chinese society would rapidly

    disorganize it were it not for the conservative influence upon

    society of early education and training in industry. The government

    takes care to avail itself of this better element in public

    opinion, knd grounds thereon a basis of action for the establishment

    of good order. But this, and ten thousand similar

    instances, only exhibit more strongly how great a work there is

    to be done before high and low, people and rulers, will understand

    their respective duties and rights ; before they will, on

    the one hand, pay that regard to the authority of their rulers

    which is necessary for the maintenance of good order, and, on

    the other, resist official tyranny in preserving their own liberties.

    If the character of the officers, therefore, be such as has been

    ^Mmionary Chronicle, Vol. XTV., p. 140. Smith’s China, p. 250.

    briellv shown—open to hi-ibeiy, colluding with criminals, sycO’

    phantic toward suporions, and cruel to the people ; and the constituents of society present so many repulsive features—opposing clans engaged in deadly feuds, bandits sccjuring the country to rob, policemen joining to oppress, truth universally disregarded, selfishness the main principle of action, and almost every disorganizing element but imperfectly restrained from violent outbreaks and convulsions, it will not be expected that the regular proceedings of the courts and the execution of the laws will prove on examination to be any better than the materials of which they arc composed. As civil and criminal cases are all judged by one officer, one court tries nearly all the questions which arise. A single exception is provided for in the code, wherein it is ordered that ” in cases of adultery, r()l)bery, fraud, assaults, breach of laws concerning marriage, landed property or pecuniaiy contracts, or any other like offences committed by or against individuals in the military class—if any of the people are implicated or concerned, the military commanding officer and the civil magistrate shall have a concurrent jurisdiction.” ‘

    ‘ For cases of this sort in Cambodia, R’musat makes mention of a variety of ordeals which curioush’ resemble tiiose resorted to on the continent of Europe lUuing the Middle Ages. Nouveaux Milanyes, Tome I., p. 126.

    CHARACTER OF JUDICIAL PROCEEDINGS. 501

    At the bottom of the judicial scale are the village elders. This incipient element of the democratic principle has also existed in India in much the same form ; but while its power ended in the local eldership there, in China it is only the lowest step of the scale. The elders give character to the village, and are expected to manage its public affairs, settle disputes among its inhabitants, arrange matters with other villages, and answer to the magistrates on its behalf. The code provides that all persons having complaints and informations address themselves in the first instance to the lowest tribunal of justice in the district, from which the cognizance of the affair may be transferred to the superior tribunals. The statement of the case is made in writing, and the officer is required to act upon it immediately; if the parties are dissatisfied with the award, the judgment of the lower courts is carried np to the superior ones. No case can be carried directly to the Emperor ; it must go through the

    Board of Punishments ; old men and womeu, however, sometimes

    present petitions to him on his journeys, but such appeals

    seldom occur, owing to the ditficulty of access. The captains in

    charge of the gates of Peking, in 1831, presented a memorial

    upon the subject, in which they attribute the number of appeals

    to the obstinacy of many persons in pressing their cases and

    the remissness of local officers, so that even women and girls of

    ten years of age take long journeys to Peking to state their

    cases. The memorialists reconnnend that an order be issued requiriug

    the two high provincial officers to adjudicate all cases,

    either themselves or by a court of errors, and not send the complainants

    back to the district magistrates. These official porters

    must have been much troubled with young ladies coming to see

    his Majesty, or perhaps were advised to present such a paper to

    afford a text for the Emperor to preach from ; to confer such

    power upon the governor and his associates would almost make

    them the irresponsible sovereigns of the provinces. A2:)peals

    frequently arise out of delay in obtaining justice, owing to the

    amount of business in the courts ; for the calendar may be

    expected to increase when the magistrate leaves his post to

    curry favor with his superiors. The almost utter impossibility

    of learning the truth of the case brought before tliern, either

    from the principal parties or the witnesses, must be borne in

    mind when deciding upon the oppressive proceedings of the

    magistrates to elicit the truth. Mention is made of one officer

    promoted for deciding three hundred cases in a year ; again of

    a district magistrate who tried upward of a thousand within

    the same period ; while a third revised and decided more than

    six hundred in which the parties had appealed. What becomes

    of the appeals in such cases, or whose decision stands, does not

    appear ; but if such proceedings are common, it accounts for the

    constant practice of sending appeals back to be revised, probably

    after a change in the incumbent.

    Eew or no civil cases are reported in the Gazette as being carried up to higher courts, and probably only a small proportion of them are brought before the authorities, the rest being settled by reference. Appeals to court receive attention, and it may be inferred, too, that many of them are mentioned in the Gazette in order that the carefnhiess of the supreme government in revising the unjust decrees against the people should be known through the country, and this additional check to malversation on the part of the lower courts be of some use. Many cases are reported of widows and daughters, sons and nephews, of murdered persons, to -whom the revenge of kindred rightly belongs, appealing against the unjust decrees of the local magistrates, and then sent back to the place they came from ; this, of course, was tantamount to a nolle 2^i’osequL At other times the wicked judges have been degraded and banished. One case is reported of a man who found his way to the capital from Fuhkien to complain against the magistracy and police, who protected a clan by whom his only son had been shot, in consideration of a ])i-ibe of $2,000. His case could not be understood at Peknig in consequence of his local pronunciation, which indicates that all cases are not reported in writing. One appeal is reported against the governor of a province fur not carrying into execution the sentence of death passed on two convicted murderers ; and ant»tlicr appellant requests that two persons, who were bribed to undergo the sentence of the law instead of the real murderers, might not be substituted—he, perhaps, fearing their subsequent vengeance.

    All officers of government are supposed to be accessible at

    any time, and the door of justice to be open to all who claim a

    hearing ; and in fact, courts are held at all hours of night and

    day, though the regular time is from sunrise to noonday. The

    style of address varies according to the rank ; t((jin, or magnate,

    for the highest, ta laoye, or gi-eat Sii-, and hioi/e, Sir, for the

    lower grade, are the most common. A drum is said to be

    placed at the inferior tribunals, as well as before the Court of

    Representation in Peking, which the plaintiff strikes in order to

    make his presence known, though from the mimberof hangerson

    a!)Out the doors of official residences, the necessity of employing

    this mode of attracting notice is rare. At the gate of the

    governor-general’s palace are placed six tablets, having appropriate

    inscriptions for those who have been wronged by wicked

    officers ; for those who have suffered from thieves ; for persons

    STYLE OF OFFICIAL ESTABLISHMENTS. 508

    falsely accused ; for those who have been swindled ; for such as

    have been grieved by other parties ; and lastly, for those who

    have secret information to impart. The people, however, are

    aware how useless it would be to inscribe their appeals upon

    these tablets ; they write them out and carry them up to his

    excellency, or to the proper official—seldom forgetting the indispensable present.

    Magistrates are not allowed to go abroad in ordinary dress

    and without their official retinue, which varies for the different

    grades of rank. The usual attendants of the district magistrates

    are lictors M’ith whips and chains—significant of the

    punishments they inflict; they are preceded by two gong-

    Mode of Carrying High Officers in Sedan.

    bearers, who every few moments strike a certain number of

    raps to intimate their master’s rank, and by two avant-couriers,

    who howl out an order for all to make room for the great man.

    A servant bearing aloft a lo^ or state uml)]-ella (of which a

    drawing is given on the title-page), also goes before him, further

    to increase his display and indicate his rank.’ A subaltern

    usually runs by the side of his sedan, and his secretary and messengers,

    seated in moi*e ordinary chairs or following on foot,

    make up the cortege. The highest officers are carried by eight

    bearers, others by four, and the lowest by two. Lanterns are

    used at night and red tablets in the daytime, to indicate his

    rank. Officers of higher ranks are attended by a few soldiers

    Hee.’en informs us that a similar insignia was used in Persia in early days.

    in addition, and in the capital are required to liave mounted

    attendants if tliej ride in carts ; those who bear the sedan are

    usually in a uniform of their masters devising. The parade

    and noise seen in the provinces are all hushed in Peking, where

    the presence of majesty subdues the glory of the officers which

    it has created. When in court the officer sits behind a desk upon

    which are placed writing materials ; his secretaries, clerks, and interpreters

    being in waiting, and the lictors with their instruments

    of punishment and torture standing around. Persons who are

    brought before him kneel in front of the tribunal. His official

    seal, and cups containing tallies which are thrown down to indicate

    the number of blows to be given the culprits, stand upon

    the table, and behind his seat a I’l-luu or unicorn, is depicted

    on the wall. There are inscriptions hanging around the room,

    one of which exhorts him to be merciful. There is little pomp

    or show, either in the office or attendants, compared with our

    notions of what is usual in such matters among Asiatics. The

    former is a dirty, unswept, tawdry room, and the latter are beggarly’

    and impertinent.

    No counsel is allowed to plead, but the written accusations,

    pleas, or statements required nmst be prepared by licensed

    notaries, Avho may also read them in court, and who, no doubt,

    take opportunity to explain circumstances in favor of their

    client. These notaries buy their situations, and repay themselves

    by a fee upon the documents ; they are the only persons

    who are analogous to the lawyers in western countries, and

    most of them have the reputation of extorting largely for their

    services. Of course there is no such thing as a jury, or a chief

    justice stating the case to associate judges to learn their

    opinion ; nor is anything like an oath required of the witnesses.

    The presiding officer can call in others to assist him in the

    trial to any extent he pleases. In one Canton court circular it

    is stated that no less than sixteen officers assisted the governorgeneral

    and governor in the trial of one criminal. Tlie report of

    the trial is as summary as the recital of tlic bench of judges is

    minute: “II. E. Gov. Tang arrived to join the futai in examining

    a criminal ; and at 8 a.m., under a salute of guns, the

    doors of the great hall of audience were thrown open, and their

    VKISONEK lON-‘JEMNEn TO TUE CANGUE, IN COURT.

    (Bis son praying to take his place.)

    MODE OF PROCEDURE IN LAW COURTS. 605

    excellencies took their seats, supported by all the other func

    tioiiaries assembled for the occasion. The police officers of the

    judge were then directed to bring forward the prisoner, Yeli

    A-sliun, a native of Tsingyuen hien ; he was forthwith brought

    in, tried, and led out. The futai then requested the imperial

    death-warrant, and sent a deputation of officers to conduct the

    criminal to the market-place and there decapitate him. Soon after the officers returned, restored the death-warrant to its place, and reported that they had executed the criminal.”’ The prisoner, or his friends for him, are allowed to appear in every step of the inquiry prior to laying the case before the Emperor, and punishment is threatened to all the magistrates through whose hands it passes if they neglect the appeal ; but this extract shows the usage of the courts.

    The general policy of officers is to quash cases and repress appeals, and probably they do so to a great degree by bringing extorted confessions of the accused party and the witnesses in proof of the verdict. Governor Li of Canton issued a prohibition in 1834: against the practice of old men and women presenting petitions—complaining of the nuisance of having his chair stopped in order that a petition might be forced into it, and threatening to seize and punish the presumptuous intruders if they persisted in this custom. lie instructs the district magistrates to examine such persons, to ascertain who pushed them forward, and to punish the instigators, observing, ” if the people are impressed with a due dread of punishment, they will return to respectful habits.” It seems to be the constant effort on the part of the officers to evade the importunities of the injured and shove by justice, and were it not owing to the perseverance of the people^ a system of irremediable oppression would soon be induced. But the poor have little chance of being heard against the rich, and if they do appeal they are in most cases remanded to the second judgment of the very officer against Mdiom they complain ; and of course as this is equivalent to a refusal from the high grades to right them at all, commotions gradually grow out of it, which are managed according to the exigencies of the case by those who are likely to be involved in their responsibility. The want of an irresistible police to compel obedience luis a restraining effect on the rulers^ who know that Lyncli law niav perhaps be retaliated upon them if they cxaspei’ate the people too far. A prefect was killed in Chauchan fu some years ago for his cruelty, and the people excused their act by saying that, it was done because the officer had failed to carry out the Emperor’s good rule, and they would not endure it longer. Amid such enormities it is no wonder if the peaceably disposed part of the community prefer to submit in silence to petty extortions and robberies, rather than risk the loss of all by unavailing complaints.

    The code contains many sections regulating the proceedings

    of courts, and provides heavy punishments for such officers as

    are guilty of illegalities or cruelty in their decisions, but the recorded

    cases prove that most of these laws are dead letters.

    Section CCCCXYI. ordains that ” after a prisoner has been tried

    and convicted of any offence punishable with temporary or perpetual

    banishment or death, he shall, in the last place, be

    brought before the magistrate, together with his nearest relations

    and family, and informed of the offence M’hereof he

    stands convicted, and of the sentence intended to be pronounced

    upon him in consequence ; their acknowledgment of its justice

    or protest against its injustice, as the case maybe, shall theii be

    taken down in writing: and in every case of their refusing to

    admit the justice of the sentence, their protest shall be made

    the ground of another and more particular investigation.” All

    capital cases must be reviewed by the highest authorities at the

    metropolis and in the provinces, and a final report of the case

    and decision submitted to the Emperor’s notice. Section

    CCCCXY. requires that the law be quoted M’hen deciding. The

    numerous wise and merciful provisions in tlie code for the due

    administration of justice only place the conduct of its authorized

    executives in a less excusable light, and prove how impossible it

    is to procure an equitable magistracy by mere legal requirements

    and penalties.

    MODES AND EXTF>:T OF TORTUllIXG CULPRITS. 507

    The confusion of the civil and criminal laws in the code, and the union of both functions in the same person, together with the torture and imprisonment employed to elicit a confession, serve as an indication of the state of legislation and jurisprudence. The common sense of a truthful people would revolt against the inliietioii of torture to get out the true deposition of a witness, and their sense of honor would resist the disgraceful exposure of the cangue for not paying debts. As the want of truth among a people indicates a want of honor, the necessity of more stringent modes of procedure suggests the practice of torture ; its application is allowed and restricted by several sections of the code, but in China, as elsewhere, it has always been abused. Torture is practised upon both criminals and witnesses, in court and in prison ; and the universal dread among the people of coming before courts, and having anything to do with their magistrates, is owing in great measure to the illegal sufferings they too often must endure. It has also a powerful deterrent effect in preventing crime and disorder. IN^either imprisonment nor torture are ranked among the five punishments, but they cause more deaths, probably, among arrested persons than all other means.

    Among the modes of torture employed in court, and reported in the Gazette^ are some revolting to humanity, but which of them are legal does not appear. The clauses under Section I. in the code describe the legal instruments of torture ; they consist of three boards with proper grooves for compressing the ankles, and five round sticks for squeezing the fingers, to which may be added the bamboo; besides these no instruments of torture are legally allowed, though other ways of putting the question are so common fis to give the impression that some of them at least are sanctioned. Pulling or twisting the ears with roughened fingers, and keeping them in a bent position while making the prisoner kneel on chains, or making him kneel for

    a long time, are among the illegal modes. Striking the lips

    with sticks until they are nearly jellied, putting the hands in

    stocks before or behind the back, wrapping the fingers in oiled

    cloth to burn them, suspending the body by the thumbs and

    fingers, tying tlie hands to a bar under the knees, so as to bend

    the body double, and chaining by the neck close to a stone, are

    resorted to when the prisoner is contumacious. One magistrate

    is accused of having fastened up two criminals to boards by

    nails driven through their palms ; one of them tore his hands loose and was nailed np again, which caused his death ; using beds of iron, boiling water, red hot spikes, and cutting the tendon Achilles are also charged against him, but the Emperor exonerated him on account of the atrocious character of the criminals. Compelling them to kneel upon pounded glass, sand, and salt mixed together, until the knees become excoriated, or simply kneeling upon chains is a lighter mode of the same infliction.

    Mr. Milne mentions seeing a wretch undergoing this torture, his hands tied behind his back to a stake held in its position by two policemen; if he swerved to relieve the agony of his position, a blow on his head compelled him to resume it. The agonies of the poor creature were evident from his quivering lips, his pallid and senseless countenance, and his tremulous voice imploring relief, which was refused with a cold, mocking command, ” Suffer or confess.” ‘

    Flogging is one of the five authorized punishments, but it is used more than any other means to elicit confession; the bamboo, rattan, cudgel, and whip are all employed. When death ensues the magistrate reports that the criminal died of sickness, or hushes it up by bribing his friends, few of whom are ever allowed access within the walls of the prison to see and comfort the sufferers. From the manner in which such a result is spoken of it may be inferred that immediate death does not often take place from torture. A magistrate in Sz’chuen being abused by a man in court, who also struck the attendants, ordered him to be put into a coffin which happened to be near, when suffocation ensued ; he was in consequence dismissed the service, punished one hundred blows, and transported three years. One check on outrageous torture is the fear that the report of their cruelty will come to the ears of their superiors, who are usually ready to avail of any mal-administration to get an officer removed, in order to fill the post. In this case, as in other parts of Chinese government, the dread of one evil prevents the commission of another.

    ‘ W. C. Milne, Life in China, Loudon, 1857, p. 99.

    THE FIVE LEGAL PUNISHMENTS. 509

    The five kinds of punishment mentioned in the code are from ten to fifty bloM’s with the lesser bamboo, from fifty to one hundred with the greater, transportation, perpetual banishishment, and death, each of them modified in various ways. The small bamboo weighs about two pounds, the larger two and two-thirds pounds. Public exposure in the Ida, or cangue, is considered rather as a kind of censure or reprimand than a punishment, and carries no disgrace with it, nor comparatively much bodily suffering if the person be fed and screened from the sun. The frame weighs between twenty and thirty pounds, and is so made as to rest upon the shoulders without chafing the neck, but so broad as to prevent the person feeding himself.

    The name, residence, and offence of the delinquent are written upon it for the information of every passerby’, and a policeman is stationed over him to prevent escape. Branding is applied to deserters and banished persons.

    Imprisonment and fines are not regarded as legal punishments, but rather correctives ; and flogging, as Le Comte says, ” is never wanting, there being no condemnation in China without this previous disposition, so that it is unnecessary to mention it in their condemnation ; this being always understood to be their first dish.” When a man is arrested he is effectually prevented from breaking loose by putting a chain around his neck and tying his hands.

    Mode of Exposure in the Cangue.

    Most punishments are redeemable by the payment of money if the criminal is under fifteen or over seventy years of age, and a table is given in the code for the guidance of the magistrate in such cases. An act of ofrace enables a criminal condemned even to capital punishment to redeem himself, if the oifenee be not one of wilful malignity ; but better legislation would have shown the good effects of not making the punishments so severe. It is also ordered in Section XA^IIL, that ” any offender under sentence of death for a crime not excluded from the contingent benefit of an act of grace, who shall have infirm parents or grandparents alive over seventy years of age, and no other male child over sixteen to support them, shall be recommended to the mercy of his Majesty ; and if only condemned to banishment, shall receive one hundred blows and

    redeem himself by a fine/’ Many atrocions laws may be forgiven

    for one such exhibition of regard for the care of decrepid

    parents. Few governments exhibit such opposing principles of

    actions as the Chinese : a strange blending of cruelty to prisoners

    with a maudlin consideration of their condition, and a constant

    effort to coax the peoj^le to obedience while exercising

    great severity npon individuals, are everywhere manifest. One

    M’ho has lived in the country long, however, knows well that

    they are not to be held in check by rope-yarn laws or whimpering

    justices, and unless the rulers are a terror to evil-doers, the

    latter w\\\ soon get the upper hand. Dr. Field Avell considers

    this point in his interesting notes describing his visit to a

    yaniwi at Canton.’ The general prosperity of the Empire

    proves in some measure the ecjuity of its administration.

    Banishment and slavery are punishments for minor official

    delinquencies, and few officers who live long in the Emperor’s

    employ do not take an involuntary journey to Mongolia, Turkestan,

    or elsewhere, in the course of their lives. The fates

    and conduct of banished criminals are widely unlike; some

    doggedly serve out their time, others try to ingratiate themselves

    with their nuisters in order to alleviate or shorten the

    time of service, while hundreds contrive to escape and return

    to their homes, though this subjects them to increased punishment.

    ‘ Dr. H. M. Field, From Effypt fo Japan, Chap. XXIV., passim. New York,1877. CMtN’sp Rrpox’/fori/, Vol. TV., pp. 214, 2fiO.

    CORRECTION OF MINOR OFFENCES. 511

    Publicly Whipping a Thief through the Streets.

    Persons banished for treason are severely dealt with if they return without leave, and those convicted of crime in their place of banishment are increasingly punished ; one man was sentenced to be outlawed for an offence at his place of banishment, but seeing that his aged mother had no other support than his labor, the Emperor ordered that a small sum should be paid for her living out of the public treasury. “Whipping a man through the streets as a public example to others is frequenty practised upon persons detected in robbery, assault, or some other minor offences. The man is manacled, and one policeman goes before him carrying a tablet, on which are written his name, crime, and punishment, accompanied by another holding a gong. In some cases little sticks bearing flags

    are thrust through his ears, and the lictor appointed to oversee

    the fulfilment of the sentence follows the executioner, who

    strikes the criminal with his whip or rattan as the rap on the

    gong denotes that the appointed number is not yet complete.

    Decapitation and strangling are the legal modes of executing

    criminals, though Ki Kung having taken several incendiaries at

    Canton, in 1843, who were convicted of fii-ing the city for purposes

    of plunder, starved them to death in the public squares of the city. The least disgraceful mode of execution is strangulation, which is performed by tying a man to a post and tightening the cord which goes round his neck by a winch ; the infliction is very speedy, and apparently less painful than hanging. The least crime for which death is awarded appears to be a third and aggravated theft, and defacing the branding inflicted for former offences. Decollation is considered more disgraceful than strangling, owing to the dislike the Chinese have of dissevering the bodies which their parents gave them entire. There are two modes of decapitation, that of simple decollation being considered, again, as less disgraceful than being ” cut into ten thousand pieces,” as the phrase Uikj cluli has been rendered. The military officer who superintends the execution is attended by a

    guard, to keep the populace from crowding upon the limits and

    prevent resistance on the part of the prisoners. The bodies are

    given up to the friends, except when the head is exposed as a

    warnini>; in a cao-e where the crime was committed. If no one

    is present to claim the corpse it is buried in tlie public pit. The

    criminals are generally so far exhausted that they make no resistance,

    and submit to their fate without a groan—nmch more,

    without a dying speech to the spectators. In ordinary cases

    the executions are postponed until the autumnal assize, when

    the Emperor revises and confirms the sentences of the provincial

    governors; criminals guilty of extraordinary offences, as robbery

    attended with murder, arson, rape, breaking into fortifications,

    liiglivvay robbery, and piracy, may be immediately beheaded

    M’ithout reference to court, and as the expense of maintenance

    and want of prison room are both to be considered, it is the

    fact that criminals condennied for one or other of these crimes

    comprise the greater part of the um-eferred executions in the

    provinces.

    It is impossible to ascertain the number of persons executed

    in China, for the life of a condennied criminal is thought little

    of ; in the court circular it is merely reported that ” the execution

    of the criminals was completed,” without mentioning their

    crimes, residences, or names. At the autunmal revises at Peking

    the number sentenced is given in the Gazette; 935 were

    sentenced in 1S17, of which 133 were from the province of

    MANNER OK PUHLIC EXECUTIONS. 613

    Kwangtnng ; in 1820 tlicro wci’c r)Sl ; in 182S the number

    was 789, and in the next year 579 names were marked off, none of

    whose crimes, it is inferrible, are inchided in tlie list of offences

    mentioned above. The condenniations are sent from the capital

    by express, and tlie executions take place innnediately. Most

    of the persons condemned in a province are executed in its capital,

    and to hear of the death of a score or more of felons on a

    single day is no uncommon thing. The trials are more speedy

    than comports with our notions of justice, and the executions are

    performed in the most summary manner. It is reported on one

    occasion that the governor-general of Canton ascended his judgment-

    seat, examined three prisoners brought before him, and

    having found then\ guilty, condemned them, asked himself for

    the death-warrant (for he temporarily filled the office of governor),

    and, having received it, had the three men carried away

    in about two hours after they were first brought before him. A

    few days after he granted the warrant to execute a hundred

    bandits in prison. During the terrible rebellion in Ivwangtung,

    in 1854-55, the prisoners taken by the Imperialists were usually

    transported to Canton for execution. In a space cf fourteen

    months, up to January, 1856, about eighty-three thousand malefactors

    suffered death in that city alone, besides those who died

    in confinement ; these men were arrested and delivered to execution

    by their countrymen, who had suffered untold miseries

    through their sedition and rapine.

    “When taken to execution the prisoners are clothed in clean

    clothes.* A military officer is present, and the criminals are

    brought on the ground in hod-like baskets hanging from a pole

    borne of two, or in cages, and are obliged to kneel toward the

    Emperor’s residence, or toward the death-warrant, which indicates

    his presence, as if thanking their sovereign for his care.

    The list is read aloud and compared with the tickets on the

    prisoners ; as they kneel, a lictor seizes their pinioned hands

    and jerks them i.pward so that the head is pushed down horizontally,

    and a single down stroke with the heavy hanger severs

    ‘ Persons who commit suicide also dress themselves in their best, the common notion being that in the next world they will wear the same garments in which they died.Vol. I.—33

    it from tlie neck. In the slow and ignominious execution, or

    ling chih, the criminal is tied to a cross and hacked to pieces ; the

    executioner is nevertheless often hired to give the coup-de-grace

    at the first blow. It is not uncommon for him to cut out the

    gall-bladder of notorious robbers and sell it, to be eaten as a

    specific for courage. There is an official executioner besides the

    real one, the latter being sometimes a criminal taken out of the

    prisons.

    Probably the number of persons who suffer by the sword of

    the executioner is not one-half of those who die from the effects

    of torture and privations in prisons. Not much is known of

    the internal arrangement of the hells, as prisons are called ; they

    seem to be managed with a degree of kindness and attention to

    the comfort of the prisoners, so far as the intentions of government

    are concerned, but the cruelties of the turnkeys and older

    prisoners to exact money from the new comers are terrible. In

    Canton there are jails in the city under the control of four different

    officers, the largest covering about an acre, and capable

    of holding upward of five hundred prisoners. Since it is the

    practice of distant magistrates to send their worst prisoners up

    to the capita], these jails are not large enough, and jail distempers

    arise from over-crowding ; two hundred deaths were

    reported in 1826 from this and other causes, and one hundred

    and seventeen cases in 1831. Private jails were hired to accommodate

    the number, and one governor reports having found

    twenty-two such places in Canton where every kind of cruelty

    was practised. The witnesses and accusers concerned in appellate

    causes had, he says, also been brought up to the city and

    imprisoned along with the guilty party, where they were kept

    months Avithout any just reason. In one case, M’here a defendant

    and plaintiff were imprisoned together, the accuser fell upon

    the other and murdered him. Sometimes the officer is unable

    from press of business to attend to a case, and confines all the

    principals and witnesses concerned until he can examine them,

    but the government takes no means to provide for them during

    the interval, and many of the poorer ones die. No security’ or

    bail is obtainable on the word of a witness or his friends, so

    that if unable to fee the jailers he is in nearly as bad a case as the

    ATROCIOUS MAXAGEMENT OF PRISONS. 515

    criminal. Extending bail to an accused criminal is nearly unknown,

    but female prisoners are put in charge of their husbands

    or parents, who are held responsible for their appearance. Tliie

    constant succession of criminals in the provincial head prison

    renders the posts of jailers and turnkeys very lucrative. The

    letters of the Roman Catholic missionaries from China during

    the last century, found in the Lettres Edijiantes and Annales de

    la Foi, contain many sad pictures of the miseries of prison life

    there.

    The prisons are arranged somewhat on the plan of a large

    stable, having an open central court occupying nearly one-fourth

    of the area, and small cribs or stalls covered by a roof extending

    nearly around it, so contrived that each company of prisoners

    shall be separated from its neighbors on either side night and

    day, though more by night than by day. The prisoners cook for

    themselves in the court, and are secured by manacles and gyves,

    and a chain joining the hands to the neck ; one hand is liberated

    in the daytime in order to allow them to take care of themselves.

    Heinous criminals are more heavily ironed, and those in the

    prisons attached to the judge’s office are Avorse treated than the

    others. Each criminal should receive a daily ration of two

    pounds of rice, and about two cents \vith which to buy fuel, but

    the jailer starves them on half this allowance if they are unable

    to fee him ; clothing is also scantily provided, but those who

    have money can pi’ocure almost every convenience. Each crib

    full of criminals is under the control of a turnkey, who with a

    few old offenders spends much time torturing newly arrived

    persons to force money from them, by which many lose their

    lives, and all suffer far more in this manner than they do from

    the officers of government. Well may the people call their

    prisons hells, and say, when a man falls into the clutches of the

    jailers or police, “the flesh is under the cleaver.”

    There are many processes for the recovery of debts and fulfilment of contracts, some legal and others customary, the latter depending upon many circumstances irrelevant to the merits of the case. The law allows that debtors be punished by bambooing according to the amount of the debt. A creditor often resorts to illegal means to recover his claim, which give rise to tnanj excesses ; sometimes he quarters himself upon the debtor’s family or premises, at others seizes him or some of his family and keeps them prisoners, and, in extreme cases, sells them.

    Unscrupulous debtors are equally skilful and violent in eluding, cheating, and resisting their incensed creditors, according as they have the power. They are liable, when three months have expired after the stipulated time of payment, to be bambooed, and their property attached. In most cases, however, disputes of this sort are settled without I’ecourse to government, and if the debtor is really without property, he is not imprisoned till he can procure it. The effects of absconding debtors are seized and divided by those who can get them. Long experience, moreover, of each other’s characters has taught them, in contracting debts, to have some security at the outset, and therefore in settling up there is not so much loss as might be supposed considering the difficulty of collecting debts. Accusations for libel, slander, breach of marriage contract, and other civil or less criminal offences are not all brought before the authorities, but are settled by force or arbitration among the people themselves and their elders.

    The nominal salaries of Chinese officers have already been

    stated (p. 294). It is a common opinion among the people that

    on an average they receive about ten times their salaries ; in

    some cases they pay thirty, forty and more thousand dollars

    beforehand for the situation. One encouragement to the

    harassing vexations of the official secretaries and police is the

    dislike of the people to carry their cases before officers who

    they know are almost compelled to fleece and peel them ; they

    think it cheaper and safer to bear a small exaction from an

    underling than run the risk of a greater from his master.

    If the preventives against popular violence which the supreme

    government has placed around itself could be strengthened

    by an efficient military force, its power would be well

    secured indeed ; but then, as in Kussia, it would probably become,

    by degrees, an intolerable tyranny. The troops are, in

    fact, everywhere present, ostensibly to support the laws, protect

    the innocent, and punish the guilty ; such of them as are employed

    by the authorities as guards and policemen are, on the

    whole, efficient and coni-tcous, though iniseralily paid, while the regiments in garrison are contemptible to both friend and foe.

    LATENT INFLUENCE OF PUI5LIC OPINION. 517

    The efficacy of the system of che<*ks upon the high courts and provincial officers is ijicreased by their intrigues and contlicting ambition, and long expeiuence has shown that the Emperor’s power has little to fear from proconsular rebellion. The inefficiency of the army is a serious evil to the people in one respect, for more power in that arm would repress banditti and pirates; while the sober part of the community would cooperate in a hearty effort to quell them. The greatest difficulty the Emperor finds in upholding his authority lies in the general want of integrity in the officers he employs ; good laws may be made, but he has few upright agents to execute them. This has been abundantly manifested in the laws against opium and gambling ; no one could be found to carry them into execution, though everybody assented to their propriety^

    The chief security on the side of the people against an unmitigated oppression such as now exists in Turkey, besides those already pointed out, lies as much as anywhere in their general intelligence of the true principles on which the government is founded and should be executed. With public opinion on its side the government is a strong one, but none is less able to execute its designs when it runs counter to that opinion, although those designs may be excellent and well intended.

    Elements of discord are found in the social system which would

    soon effect its ruin were they not counteracted by other influences,

    and the body politic goes on like a heavy, shackly, lumbering

    van, which every moment threatens a crashing, crumbling

    fall, yet goes on still tottering, owing to the original goodness

    of its construction. From the enormous population of this

    ancient van, it is evident that any attempt to remodel it mut^t

    seriousl}^ affect one or the other of its parts, and that when

    once upset it may be impossible to reconstruct it in its original

    form. There is encouragement to hope that the general intelligence

    and shrewdness of the government and people of China,

    their language, institutions, industry, and love of peace, will ail

    act as powerful conservative influences in working out the

    changes which cannot now be long delayed ; and that she will luaintaiii her unitv and industry while going through a thorough reform of her political, social, and religious systems.

    It is very difficult to convey to the reader a fair view of the administration of the laws in China. Notwithstanding the cruelty of officers to the criminals before them, they are not all to be considered as tyrants ; because insurrections arise, attended

    with great loss of life, it must not be supposed that

    society is everywhere disorganized ; the Chinese are so prone

    to falsify that it is difficult to ascertain the truth, yet it must

    not be inferred that every sentence is a lie ; selfishness is a

    prime motive for their actions, yet charity, kindness, filial

    affection, and the unbought courtesies of life still exist among

    them. Although there is an appalling amount of evil and crime

    in every shape, it is mixed with some redeeming traits ; and in

    China, as elsewhere, good and bad are intermingled, [^ome of

    the evils in the social system arise from the operation of the

    principles of mutual responsibility, while this very feature produces

    sundry good effects in restraining people who have no

    higher motive than the fear of injuring the innocent;^ TTeliear

    so much of the shocking cruelties of courts and prisons that

    the vast number of cases before the bench are all supposed to

    exhibit the same fatiguing reiteration of suffering, injustice,

    bribery, and cruelty. One must live in the country to see how

    the antagonistic j^rinciples found in Chinese society act and react

    upon each other, and are affected by the wicked passions of the heart. Officers and people are bad almost beyond belief to one conversant only with the courtesy, justice, purity, and sincerity of Christian governments and society; and yet we think they are not as bad as the old Greeks and Romans, and have no more injustice or torture in their courts, nor impurity or mendacity in their lives. As in our own land we are apt to forget that the recitals of crimes and outrages which the daily papers bring before our eyes furnish no index of the general condition of society, so in China, where that condition is immeasurably worse, we must be mindful that this is likewise true.

    CHAPTER IX.EDUCATION AND LITERARY EXAMINATIONS

    Among the points relating to the Chinese people which have attracted the attention of students in the history of intellectual development, their long duration and literary institutions have probably taken precedenceJ To estimate the causes of the first requires much knowledge of the second, and from them one is gradually led onward to an examination of the government, religion, and social life of this people in the succeeding epochs of their existence. The inquiry will reveal much that is instructive, and show us that, if they have not equaled many other nations in the arts and adornments of life, they have attained a high degree of comfort and developed much that is creditable in education, the science of rule, and security of life and property.

    Although the powers of mind exhibited by the greatest

    writers in China are confessedly inferior to those of Greece

    and Rome for genius and original conceptions, the good influence

    exerted by them over their countrymen is far greater, even

    at this day, than was ever obtained by western sages, as Plato,

    Aristotle, or Seneca. The thoroughness of Chinese education,

    the purity and effectiveness of the examinations, or the accuracv

    and excellency of the literature must not be compared with

    those of modern Christian countries, for there is really no common

    measure between the two ; they must be taken with other

    parts of Chinese character, and comparisons drawn, if necessary,

    with nations possessing similar opportunities. (The importance

    of generally instructing the people was acknowledged even before

    the time of Confucius, and practised to a good degree at an age

    when other nations in the world had no such system; and although in his day feudal institutions prevailed, and offices and rank were not attainable in the same manner as at present, on the other hand magistrates and noblemen deemed it necessary to be well acquainted with their ancient writings’. It is said in the Booh of RitcH (b.c. 1200), ” that for the purposes of education among the ancients, villages had their schools, districts their academies, departments their colleges, and principalities their universities.” This, so far as we know, was altogether superior to what obtained among the Jews, Persians, and Svrians of the same period.’

    TTlie great stimulus to literary pursuits is the hope thereby of

    ] obtaining office and honor, and the only course of education

    followed is the classical and historical one prescribed by law.

    Owing to this undue attention to the classics, the minds of the

    scliolars are not symmetrically trained, and they disparage other

    branches of literature which do not directly advance this great

    1 end, /’^very department of letters, except jurisprudence, his-

    * t^ tory, and official statistics, is disesteemed in comparison ; and

    the literary graduate of fourscore will be found deficient in

    most branches of general learning, ignorant of hundreds of

    common things and events in his national history, which the

    merest schoolljoy in the western world would be ashamed not

    to know in Lis. This course of instruction does not form wellbalanced

    minds, but it imbues the future rulers of the land

    with a full understanding of the principles on which they are

    to govern, and the policy of the supreme power in using those

    principles to consolidate its own authoi-ityj

    (C’entralization and conservatism were the leading features of

    the teachings of Confucius which first recommended them to

    the rulers, and have decided the course of public examinations

    in selecting officers who would readily uphold these principles.

    The effect has been that the literary class in China holds the

    functions of both nobles and priests, a perpetual association,

    genu edema in qua nemo nascitiir, holding^ in its liands public

    opinion and legal power to maintain it.- The geographical

    isolation of the people, the nature of the language, and the

    absence of a landed aristocracy, combine to add efficiency to

    this system ; and when the peculiarities of Chinese character,

    and the nature of the class-books which do so much to mould that character, are considered, it is impossible to devise a better plan for insuring the perpetuity of the government, or the contentment of the people under that government./

    STIMULUS TO LITERARY PURSUITS. 621

    Lit was about a.d. 600, that Taitsung, of the Tang dynasty,

    instituted the present plan of preparing and selecting civilians

    by means of study and degrees, founding his system on the

    facts that education had always been esteemed, and that the ‘

    ancient writings were accepted by all as the best instructors o£J

    the manners and tastes of the peopji^. ‘ According to native

    historians, the rulers of ancient times made ample provision for

    the cultivation of literature and promotion of education in all

    its branches. They supply sojne details to enable us to understand

    the mode and the materials of this instruction, and glorify

    it as they do everything ancient, but probably from the want

    of authentic accounts in their own hands, they do not clearly

    describe it. fThe essays of M. I^douard Biot on the History of

    Public Instruction in China,{contains well-nigh all the information

    extant on this interesting subject, digested in a very lucid

    manner. Education is probably as good now as it ever was,

    and its ability to maintain and develop the character of the

    people as great as at any time ; it is remarkable how much it

    really has done to form, elevate, and consolidate their national

    institutions. The Manchu monarchs were not at first favorably

    disposed to the system of examinations, and frowned upon the

    literary hierarchy who claimed all honors as their right ; but

    the next generation saw the advantages and necessity of the

    concours, in preserving its own power.

    ^oys commence their studies at the age of seven with a

    teacher/; for, even if the father be a literary man he seldom instructs

    his sons, and very few mothers are able to teach their

    offspring to read. Maternal training is supposed to consist in

    giving a right direction to the morals, and enforcing the obedience

    of the child ; but as there are few mothers who do more

    than compel obedience by commands, or by the rod, so there are

    none who can teach the infantile mind to look up to its God in

    prayer and praise.

    Among the many treatises for the guidance of teachers, the Siao Hioh, or ‘ Juvenile Instructor,’ is regarded as most author*itative. When establishing the elements of education, this book advises fathers to “choose from among their concubines those who are fit for nurses, seeking such as are mild, indulgent, affectionate, benevolent, cheerful, kind, dignified, respectful, and reserved and careful in their conversation, whom they will make

    governesses over their children. “When able to talk, lads must

    be instructed to answer in a quick, bold tone, and girls in a slow

    and gentle one. ^t the age of seven, they should be taught to

    count and name the cardinal points ; but at this age the sexes

    should not be allowed to sit on the same mat nor eat from the

    same table. At eight, they must be taught to wait for their superiors,

    and prefer others to themselves. At ten, the boys

    must be sent abroad to private tutors, and there remain day and

    night, studying writing and arithmetic, wearing plain apparel,

    learning to demean themselves in a manner becoming their age,

    and acting with sincerity of purpose. At thirteen, they must

    attend to music and poetry ; at fifteen, they must practise archery

    and charioteering. At the age of twenty, they are in due

    form to be admitted to the rank of manhood, and learn additional

    rules of propriety, be fathful in the performance of filial

    and fraternal duties, and though they possess extensive knowledge,

    must not affect to teach others. At thirty, they may

    marry and commence the management of business. At forty,

    they may enter the service of the state ; and if their prince

    maintains the reign of reason, they must serve him, but otherwise

    not. At fifty, they may be promoted to the rank of ministers

    ; and at seventy, they must retire from public life.”

    Another injunction is, t^Let children always be tanght to

    speak the simple truth ; to stand erect and in their proper places,

    and listen with respectful attention.” The way to become a

    student, ” is, with gentleness and self-abasement, to receive implicitly

    every word the master utters. The pupil, when he sees

    virtuous people, nuist follow them, when he hears good maxims,

    conform to them. He must cherish no wicked designs, but always

    act uprightly ; whether at home or abroad, he nmst have

    a fixed residence, and associate with the benevolent, carefully

    regulating his personal deportment, and controlling the feelings

    METHODS AND PURPOSE OF EDUCATION IN CHINA. 623

    of his heart. lie must keep his clothes in order. Every morning

    he must learn something new, and rehearse the same every

    evenuig.” The great end of education, therefore, among the

    ancient Chinese, was not so much to fill the head M’ith knowledge,

    as to discipline the heart and purify the affections^ One

    of their writers says, ” Those who respect the virtuous and put

    away unlawful pleasures, serve their parents and prince to the

    utmost of their ability, and are faithful to their word ; these,

    though they should be considered unlearned, we must pronounce

    to be educated men.” Although such terms as purity, filial

    affection, learning, and truth, have higher meanings in a Christian

    education than are given them by Chinese masters, the inculcation

    of them in any degree and so decided a manner does

    great credit to the people, and will never need to be superseded

    —only raised to a higher grade.’

    In intercourse with their relatives, children are taught to attend

    to the minutest points of good breeding ; and are instructed in

    everything relating to their personal appearance, making their

    toilet, saluting their parents, eating, visiting, and other acts of

    life. Many of these directions are trivial even to puerility, but

    they are none too minute in the ideas of the Chinese, and still

    form the basis of good manners, as much as they did a score of

    centuries ago ; and it can hardly be supposed that Confucius

    would have risked his influence upon the grave publication of

    trifles, if he had not been well acquainted with the character of

    his countrymen. Yet nothing is trifling which conduces to the

    growth of good manners among a people, though it may not

    have done all that was wished.^

    \lules are laid down for students to observe in the prosecution

    of their studies, which reflect credit on those who set so

    high a standard for themselves.’ Dr. Morrison has given a

    synopsis of a treatise of this sort, called the ‘ Complete Collection

    of Family Jewels,’ and containing a minute specification of

    ‘ Compare Du Halde, Description de VEmpire fie la Chine, Tome IT., pp. 365-384 ; A. Wylie, Notes, p. 68 ; Chinese Repository, Vols. V., p. 81, and VI., pp.185, 393, and 563; China Review, Vol. VI., pp. 120, 195, 253, 328, etc. ; New Enghmder, May, 1878.

    ”Chinese Repository, Vol. IV., pp. 83-87, 306-316.

    duties to be performed by all who would be thorough students.

    The author directs the tyro to form a hxed resolution to press

    forward in his studies, setting his mark as high as possible, and

    thoroughly understanding everything as he goes along. “I

    have always seen that a man who covets much and devotes

    liimself to universal knowledge, when he reads he presumes on

    the quickness and celerity of his genius and perceptions, and

    chapters and volumes pass before his eyes, and issue from his

    mouth as fluently as water rolls away ; but when does he ever

    apply his mind to rub and educe the essence of a subject? In

    this manner, although much be read, what is the use of it ?

    Better little and fine, than much and coarse.” lie also advises

    persons to have two or three good volumes lying on their tables,

    which they can take up at odd moments, and to keep commonplace

    books in which they can jot down such things as occur to

    them. They should get rid of distracting thoughts if they

    wish to advance in their studies ; as ” if a man’s stomach has

    been filled by eating greens and other vegetables, although the

    most precious dainties with exquisite tastes should be given

    him, he cannot swallow them, he must first get rid of a few

    portions of the gi-eens ; so in reading, the same is true of the

    mixed thoughts which distract the mind, which are about the

    dusty affairs of a vulgar world.” The rules given by these

    writers correspond to those laid down among ourselves, in such

    books as Todd’s Manual for Students, and reveal the steps

    which have given the Chinese their intellectual position.’

    iFor all grades of scholars, there is but one mode of study ;

    the imitative nature of the Chinese mind is strikingly exhibited

    ; in the few attempts on the part of teachers to improve upon

    the stereotyped practice of their predecessors, although persons

    of as original minds a,aL_tlic country affords are constantly en-

    ^_gage_d in education.^When the lad connnences his studies, an

    impressive ceremony takes place—or did formerl}-, for it seems

    to have fallen into desuetude : the father leads his son to the

    teacher, who kneels down before the name of some one or other

    of the ancient sages, and supplicates their blessing upon his

    ‘ Morrison’s (JlUiU’se Dictionary, Vol. T., Tiirt T., ])p. TlD-ToH.

    ARRANGEMENT AND REGIME OF BOYS’ SCHOOLS. 525

    pupil ; after which, seating himself, he receives tlie homage

    and petition of the lad to guide him in his lessons.’ As is the

    case in Moslem countries, a present is expected to accompany

    this initiation into literary pursuits. In all cases this event is

    further marked by giving the lad his shu oning or ‘ book name,’

    by which he is culled during his future life. The furniture of

    the school merely consists of a desk and a stool for each pupil,

    and an elevated seat for the master, for maps, globes, blackboards,

    diagrams, etc., are yet to come in among its articles of

    furniture. In one corner is placed a tablet or an inscription on

    the wall, dedicated to Confucius and the god of Letters ; the

    sage is styled the ‘ Teacher and Pattern for All Ages,’ and incense

    is constantly burned in honor of them both.

    ^The location of school-rooms is usually such as would be considered

    bad elsewhere, but by comparison with other things in

    China, is not so. A mat shed which barely protects from the

    weather, a low, hot upper attic of a shop, a back room in a

    temple, or rarely a house specially built for the purpose, such

    are the school-houses in China. The chamber is hired by the

    master, who regulates his expenses and furnishes liis apartment

    according to the number and condition of his pupils ; their

    average nundjer is abont twenty, ranging between ten and forty

    in day schools, and in private schools seldom exceeding ten.

    The most th<n-ough course of education is probably pursued in

    the latter, where a well-qualified teacher is hired by four or five

    persons living in the same street, or nnituully related by birth

    or marriage, to teach their children at a stipulated salary. In

    such cases the lads are placed in bright, well-aired apartments,

    superior to the common school-room. ^Tlie majority of teachers

    have been unsuccessful candidates for literary degrees, who

    having spent the prime of their days in fruitless attempts to

    attain office, are unfit for manual lal)or, and unable to enter on

    mercantile life.J In Canton, a teacher of twenty boj’s receives

    from half a dollar to a dollar per month from each pupil ; in

    country villages, three, four or five dollars a year are given,

    with the addition, in most cases, of a small present of eatables

    1

    ‘ This custom obtains also in Bokhara.

    from each scholar three or four times a year. Private tutors

    receive from $150 to $350 or more per annum, according to

    particular engagement. There are no boarding-schools, nor

    anything answering to infant schools ; nor are public or charity

    schools established by government, or by private benevolence

    for the education of the poor. ‘

    The first hours of study are from sunrise till ten a.m., when

    the boys go to breakfast ; they reassemble in an hour or more,

    and continue at their books till about five p.m., when they disperse

    for the day. In summer, they have no lessons after dinner,

    but an evening session is often held in the winter, and evening

    schools are occasionally opened for mechanics and others

    who are occupied during the day. When a boy comes into

    school in the morning, he bows reverentially before the tablet

    of Confucius, salutes his teacher, and then takes his seat. The

    vacations during the year are few ; the longest is before new

    year, at which time the engagement is completed, and the school

    closes, to be reopened after the teacher and parents have made a

    new arrangement. The common festivals, of which there are a

    dozen or more, are regarded as holydays, and form very necessary

    relaxations in a country destitute of the rest of the Sabbath.

    (The requisite qualifications of a teacher are gravity, severity,

    and patience, and acquaintance w^ith the classics ; he has

    only to teach the same series of books in the same fashion in

    which he learned them himself and keep a good watch over his

    charge,)

    When the lads come together at the opening of the school,

    their attainments are ascertained ; the teacher endeavors to

    have his pupils nearly equal in this respect, but inasmuch as

    they are all put to precisely the same tasks, a difference is not

    material. If the boys are beginners, they are brought up in a

    line before the desk, holding the San-tsz’ King, or ‘ Trimetrical

    Classic,’ in their hands, and taught to read off the first lines

    after the teacher until they can repeat them without help. He

    calls off the first four lines as follows:

    Jin chi tsu, smgpun sTien /

    SiTig sirnig hm, slh sian^ yuen /

    ELEMENTARY INSTRUCTION. 527

    when his pupils siniultaiieoiisly cry out:

    , Jin ehi tsii, Hinypan slien ^

    Sing siang kin, sih siang yuen.

    ‘Mispronunciations are corrected until each can read the lesson

    accurately ; they are then sent to their seats to commit the

    sounds to memory. As the sounds are all entire words (not

    letters, nor syllables, of which they have no idea), the boys are

    not perplexed, as ours are, with symbols M’hich have no meaning.

    All the children study aloud, and when one is able to recite

    the task, he is required to hach it—come up to the mastei-‘s

    desk, and stand with his back toward him while rehearsing it.)

    ‘ The San-tsz’ King was compiled by Wang Pih-hao of the

    Sung dynasty (a. d. 1050) for his private school. It contains

    ten hundred and sixty-eight words, and half that number of different

    characters, arranged in one hundred and seventy-eight

    double lines. It has been commented upon by several persons,

    one of whom calls it ” a ford which the youthful inquirer may

    readily pass, and thereby reach the fountain-head of the higher

    courses of learning, or a passport into tlie regions of classical and

    historical literature.”) This hornbook begins with the nature of

    man, and the necessity and modes of education, and it is noticeable

    that the first sentence, the one quoted above, which a Chinese

    learns at school, contains one of the most disputed doctrines in

    the ancient heathen world :

    ** Men at their birth, are by nature radically good ;
    Though alike in this, in practice they widely diverge.
    If not educated, the natural character grows worse ;
    A course of education is made valuable by close attention.
    Of old, Mencius’ mother selected a residence,
    And when her son did not learn, cut out the [half-wove] web.
    To nurture and not educate is a father’s error;
    To educate without rigor shows a teacher’s indolence.
    That boys should not learn is an unjust thing ;
    For if they do not learn in youth, what will they do when old ?
    As gems unwrought serve no useful end, ,
    So men untaught will never know what right conduct is.”

    The importance of filial and fraternal duties are then inculcated by precept and example, to which succeeds a synopsis of the various branches of learning in an ascending series, under several heads of numbers ; the three great powers, the four seasons and four cardinal points, the five elements and live constant virtues, the six kinds of grain and six domestic animals, the seven passions, the eight materials for music, nine degrees of kindred, and ten social duties. A few extracts will exhibit the mode in which these subjects are treated.

    “There are three powers,—heaven, earth, and man.
    There are tliree lights,—the sun, moon, and stars.
    There are three bonds,—between prince and niinister, justice ;
    Between father and son, affection ; between man and wife, concord.
    Humanity, justice, propriety, wisdom, and truth,—
    These five cardinal virtues are not to be confused.
    Rice, millet, pulse, wheat, sorghum, millet grass,
    Are six kinds of grain on which men subsist.
    Mutual affection of father and son, concord of man and wife;
    The older brother’s kindness, the younger one’s respect;
    Order between seniors and juniors, friendship among associates;
    On the prince’s part regard, on the minister’s true loyalty ;—
    These ten moral duties are ever binding among men.”

    To this technical summary succeed rules for a course of

    academical studies, M’ith a list of the books to be learned, and

    the order of their use, followed by a synopsis of the general history

    of China, in an enumeration of the successive dynasties.

    The work concludes with incidents and motives to learnino;

    drawn from the conduct of ancient sages and statesmen, and

    from considerations of interest and gh)iy. The exam})les cited

    are curious instances of pui-suit of knowledge under difficulties,

    and form an inviting part of the treatise.

    ” Formerly Confucius had young Iliang Toh for his teacher;

    Even the sages of antiquity studied with diligence.

    Chau, a minister of state, read tlu^ Confucian Dialogues,

    And he too, though high in office, studied assiduously.

    One copied lessons on rec’ds, another on slii)s of l)amb()o ;

    These, though without books, eagerly sought knowledge.

    [To vanquish sleep] one tied his head [by tlu! hair] to a beam, and auothel pierced his thigh with an awl;
    Though destitute of instructors, these were laborious in study.
    One read by the glowwoi’ui’s light, another by rellection from snow;

    TIIK TRIM ETHICAL CLASSIC. 629

    These, tliougli tlieir families were poor, did not omit to study.

    One carried faggots, and another tied his books to a cow’s horD«

    And while thus engaged in labor, studied with intensity.

    Su Lau-tsiuen, when lie was twenty-seven years old

    Commenced close study, and applied his mind to books;
    This man, when old, grieved that he commenced so late ;
    You who are young must early think of these things.
    Behold Liang Hau, at the ripe age of eighty-two,
    In the imperial hall, amongst many scholars, gains the first rani:’f

    This he accomplished, and all regarded liim a prodigy ;

    You, mj’ young readers, shoukl now resolve to be diligent.

    Yung, when only eiglit years old, could recite the Odes ;

    And Pi, at the age of seven, understood the game of chess;
    These displayed ability, and all deemed them to be rare men ;

    And you, my hopeful scholars, ought to imitate them.

    Tsai Wan-ki could play upon stringed instruments ;

    Sie Tau-wfin, likewise, could sing and chant;
    These two, though girls, were bright and well informed ;

    You, then, my lads, should surely rouse to diligence.

    Liu Ngan of Tang, when only seven years old,

    Proving himself a noble lad, was able to correct writing:

    He, though very young, was thus highly promoted.

    You, young learners, strive to follow his example, .

    For he who does so, will acquire like honors.

    ” Dogs watch by night ; the cock announces the morning J

    If any refuse to learn, how can they be esteemed men ?

    The silkworm spins silk, the bee gathers honey ;

    If men neglect to learn, they are below the brutes.

    He who learns in youth, to act wisely in mature age.

    Extends his influence to the prince, benefits the people.

    Makes his name renowned, renders his parents honorable ;

    Reflects glory on his ancestors, and enriches his posterity.

    Some for their Ouspring, leave coffers filled with gold ;

    While I to teach children, leave this one little book.

    Diligence has merit ; play yields no profit;
    Be ever on your guard ! Rouse all your energies !”

    These quotations illustrate the character of the T7imetri’

    cal Classic, and show its imperfections as a book for voung

    minds. It is a syllahns of studies rather than a book to be

    learned, and ill snited to entice the boy on in his tasks by giving

    him mental food in an attractive form. Yet its influence has

    been perhaps as great as the classics during the last four dynasties,

    from its general use in primary schools, where myriads of

    lads have ” backed ” it who have had no leisure to study much

    more, and when they had crossed this ford could travel no

    farther, (The boy commences his education by learning these

    maxims ; and by the time he has got his degree—and long before,

    too—the higiiest truths and examples known in the land

    are more deeply impressed on his mind than are ever Biblical

    truths and examples on graduates of Yale, Oxford, Heidelberg

    or the Sorbonne.’ Well was it for them that they had learned

    nothing in it which they had better forget, for its deficiencies,

    pointed out by Bridgman in his translation, should not lead us

    to overlook its suggestive synopsis of principles and examples.

    The commentary explains them very fully, and it is often

    learned as thoroughly as the text. Many thousands of tracts

    containing Christian truths written in the same style and with

    the same title, have been taught with good effect in the mission

    schools in China.”

    ( The next hornbook put into the boy’s hands is the P\h Kla,

    S’mg, or ‘ Century of Surnames.’ It is a list of the family or clan

    names commonly in use. Its acquisition also gives him familiarity

    with four hundred and fifty-four common words employed

    as names, a knowledge, too, of great importance lest mistakes

    be made in choosing a wrong character among the scores of

    horaophonous characters in the language) For instance, out of

    eighty-three common words pronounced hi, six only are clan

    names, and it is necessary to have these very familiar in the

    daily intercourse of life. The nature of the work forbids its being

    studied, but the usefulness of its contents probably explains

    its position in this series.’^

    The third in the list is the Tsien Tsz^ Wan, or ‘Millenary

    Classic,’ unique among all books in the Chinese language, and

    whose like could not be produced in any other, in that it consists

    ‘ Compare Dr. Morrison in the Horm Sinic/v, pp. 122-146 ; B. Jenkins, The

    Three-Glmnicter CluxHic, romanized acrording to the Khaufihai di(dect, Shanghai,

    1800. The Classic has also been translated into Latin, French, German, Russian,

    and Portuguese. For the Trimetrical Classic of the Tai-ping regime see

    a version in the North China Herald, No. 147, May 21, 185;}, by Dr. Medhurst •

    also a translation by Rev. S. C. Malan, of Balliol College, Oxford. London,

    1856.

    ” E. C. Bridgman in the Chinese Eepository, Vol. IV., p. 152. Livre de Cent

    famiUes, Perny, Diet., App., No. XIV., pp. 156 fE.

    THE THOUSAND-CHARACTER CLASSIC. 531

    of just a thousand characters, no two of which are alike in form or

    meaning. The author, Chau lling-tsz’, flourished ahout a.d. 550,

    and according to an account given in the history of the Liang

    dynasty, wrote it at tlie Empei-or’s request, who had ordered his

    minister Wang Hi-chi to write out a thousand characters, and

    give them to him, to see if he could make a connected ode with

    them.’ This he did, and presented his performance to liis majesty,

    who rewarded him with rich presents in token of his approval.

    Some accounts (in order that so singular a work might

    not M’ant for corresponding wonders) add that he did the task in

    a single night, under the fear of condign punishment if he

    failed, and the mental exertion was so great as to turn his hair

    white. It consists of two hundred and fifty lines, in which

    rhyme and rhythm are both carefully observed, though there

    is no more poetry in it than in a multiplication table. The

    contents of the book are similar but more discursive than those

    of the Trimetrical Classic. Up to the one hundred and second

    line, the productions of nature and virtues of the early monarchs,

    the power and capacities of man, his social duties and

    mode of conduct, with instructions as to the manner of living,

    are summarily treated.’ Thence to the one hundred and sixtysecond

    line, the splendor of the palace, and its high dignitaries,

    with other illustrious persons and places, are referred to. The

    last part of the w’ork treats of private and literary life, the pursuits

    of agriculture, household government, and education, interspersed

    with some exhortations, and a few illustrations. A few

    disconnected extracts from Dr. Bridgman’s translation’ will show

    the mode in which these subjects are handled. The opening

    lines are,

    *’ The heavens are sombre ; the earth is yellow

    ;

    The whole universe [at the creation] was one wide waste ;

    after which it takes a survey of the world and its products, and

    Chinese history, in a very sententious manner, down to the

    thirty-seventh line, which opens a new subject.

    ‘ Chinese Bepository, Vol. IV., p. 229.

    ” Now this our human body is endowed
    With four great powers and five cardinal virtues:
    Preserve with reverence what your paieuts nourished,—
    How dare you destroy or injure it V
    Let females guard their chastity and purity,
    And let men imitate the talented and virtuous.
    When you know your own errors then reform;
    And when you have made acquisitions do not lose them.

    Forbear to complain of the defects of other people,

    And cease to brag of your own superiority.

    Let your truth be such as may be verified,

    Your capacities, as to be measured with difficulty.

    ” Observe and imitate the conduct of the virtuous,

    And command your thoughts that you may be wise.

    Your virtue once fixed, your reputation will be established

    ;

    Your habits once rectified, your example will be correct.

    Sounds are reverberated in the deep valleys.

    And the vacant hall reechoes all it hears

    ;

    So misery is the penalty of accumulated vice.

    And happiness the reward of illustrious virtue.

    ” A cubit of iade stone is not to be valued,

    But an inch of time you ought to contend for.

    ” Mencius esteemed plainness and simplicity;

    And Yu the historian held firmly to rectitude.

    These nearly approached the golden medium,

    Being laborious, humble, diligent, and moderate.

    Listen to what is said, and investigate the principles explained

    :

    Watch men’s demeanor, that you may distinguish their characters.

    Leave behind you none but purposes of good ;

    And strive to act in such a manner as to command respect.

    When satirized and admonished examine 3’ourself,

    And do this more thoroughly when favors increase.

    ” Years fly away like arrows, one pushing on the other;

    The sun shines brightly through his whole course.

    The planetarium keeps on revolving where it hangs ;

    And the bright moon repeats her revolutions.

    To support fire, add fuel ; so cultivate the root of happiness,

    And you will obtain eternal peace and endless felicity.”

    Tlie conimentaiy 011 the TJiousand Character Classic contains

    many just observations and curious anecdotes to explain

    this hook, whose text is so familiar to the people at large that its

    lines or characters are used as lal)ols instead of figures, as thev

    take up less room. If Western scholars were as familiar with

    the acts and sayings of King Wan, of Su Tsin, or of Kwan

    (hung, as they are with those of Sesostris, Pericles, or Horace,

    THE ODES FOR CIirLDREN. 583

    these incidents and places would naturally enough he deemed

    more interesting than they now are. But where the power of

    genius, or the vivid pictures of a brilliant imagination, are

    wanting to illustrate or beautify a subject, there is comparatively

    little to interest Europeans in the authors and statesmen of such

    a distant country and remote period/

    (The fourth in this series, called V-iu ITioh Shl-tlch^ or ‘ Odes

    for Children,’ is written in rhymed pentameters, and contains

    only thirty-four stanzas of four lines.’ A single extract will

    show its character, which is, in general, a brief description and

    praise of literary life, and allusion to the changes of the season,

    and the beauties of nature.

    It is of the utmost importance to educate children ;

    Do not say that your families are poor,

    For those who can handle well the pencil,

    Go where they will, need never ask for favors.

    One at the age of seven, showed himself a divinely endowed youth,

    ‘Heaven,’ said he, ‘gave me my intelligence :

    Men of talent appear in the courts of the holy monarch,

    Nor need they wait in attendance on lords and nobles.

    ‘ In the morning I was an humble cottager,

    In the evening I entered the court of the Son of Heaven:
    Civil and military offices are not hereditary.
    Men must, therefore, rely on their own efforts.
    ‘ A passage for the sea has been cut through mountains,

    And stones have been melted to repair the heavens ;

    In all the world there is nothing that is impossible ;

    It is the heart of man alone that is wanting resolution.

    • Once I myself was a poor indigent scholar.

    Now I ride mounted in my four-horse chariot.

    And all my fellow-villagers exclaim with surprise.’

    Let those who have children thoroughly educate them.

    The examples of intelligent youth rising to the highest offices

    of state are numerous in all the works designed for beginners,

    * Compare Das Tsidn clsii wen, oder Buch von Tamend MDrtern, aus dem

    Schinesisclien, niit Bei’dckschtit/unf/ der Koraisclien und Jwpaninchen Uebersetzumj,

    ins DeuUche ubertragen, Ph. Fr. de ^iehoXdi, Nippon, Abh. IV., pp. 105-

    191 ; B. Jenkins, The Thou’sand-ChanieUr Cittssic, romanized, etc. Shanghai,

    1860; Ths/en-2’ffeu-Weii, Le Livre des MiUe Mots, etc., par Stanislas Julien

    (with Chinese text), Paris, 18G4 ; China Review, Vol. II., pp. 1S3 ff.

    and stories illustrative of their precocity are sometimes given

    in toy-books and novels. One of the most common instances ia

    here quoted, that of Confucius and Iliang Toh, which is as well

    known to every Chinese as is the story of George Washington

    barking the cherry-tree with his hatchet to American youth..

    ” The name of Confucius was Yu, and his style Chungni ; he established himself as an instructor in the western part of the kingdom of Lu. One day, followed by all his disciples, riding in a carriage, he went out to ramble, and on the road, came across several children at their sports ; among them was one who did not join in them. Confucius, stopping his carriage, asked him, saying, ‘ Why is it that you alone do not play V ‘ The lad replied, ‘ All play is without any profit ; one’s clothes get torn, and they are not easily mended ; above me, I disgrace my father and mother ; below me, even to the lowest, there is fighting and altercation ; so much toil and no reward, how can it be a good business ? It is for these reasons that I do not play.’ Then dropping his head, he began making a city out of pieces of tile.

    “Confucius, reproving him, said, ‘ Why do you not turn out for the carriage V ‘ The boy replied, ‘ From ancient times till now it has always been considered proper for a carriage to turn out for a city, and not for a city to turn out for a carriage. ‘ Confucius then stopped his vehicle in order to discourse of reason. He got out of the carriage, and asked him, ‘ You are still young in years, how is it that you are so quick V ‘ The boy replied, saying, ‘ ^human being, at the age of three years, discriminates between his father and his mother ; a hare, three days after it is born, runs over the ground and furrows of the fields ; fish, three days after their birth, wander in rivers and lakes ; what heaven thus produces naturally, how can it be called brisk ?’

    “Confucius added, ‘In what village and neighborhood do you reside, what is your surname and name, and what your style? ‘ The boy answered, * I live in a mean village and in an insignificant land ; my surname is Hiang, my name is Toh, and I have yet no style.’

    ” Confucius rejoined, ‘ I wish to have you come and ramble with me ; what do you think of it V ‘ The youth replied, ‘ A stern father is at home, whom I am bound to serve ; an affectionate mother is there, whom it is my duty to cherish ; a worthy elder brother is at home, whom it is proper for me to obey, with a tender younger brother whom I must teach ; and an intelligent teacher is there from whom I am required to learn. How have I leisure to go a rambling with you V’

    “Confucius said, ‘I have in my carriage thirty-two chessmen; what do you say to having a game together V ‘ The lad answered, ‘ If the Emperor love gaming, the Empire will not be governed ; if the nobles love play, the government will b<5 impeded ; if scholars love it, learning and investigation will be lost and thrown by ; if the lower classes are fond of gambling, they will utterly lose the support of their families ; if servants and slaves love to game, they will gel a cudgelling ; if farmers love it, they miss the time for ploughing and sowing; for these reasons I shall mit play with you.’

    THE STORY OF CONFUCIUS AND IIIANG TOIL 585

    “Confucius rejoined, ‘I wish to have you go with me, and fully equalize the Empire; what do you think of this? ‘ The Lad replied, ‘ The Empire cannot be equalized; here are high hills, there are lakes and rivers; either there are princes and nobles, or there are slaves and servants. If the high hills be levelled, the birds and beasts will have no resort ; if the rivers and lakes be filled up, the fishes and the turtles will have nowhere to go ; do away with kings and nobles, and the common people will have much dispute about right and wrong ; obliterate slaves and servants, and who will there be to serve the prince ! If the Empire be so vast and unsettled, how can it be equalized ?’

    ” Confucius again asked, ‘ Can you tell, under the whole sky, what fire has no smoke, what water no fish ; what hill has no stones, what tree no branches ; what man has no wife, what woman no husband ; what cow has no calf, what mare no colt ; what cock has no hen, what hen no cock ; what constitutes an excellent man, and what an inferior man ; what is that which has not enough, and what which has an overplus ; what city is without a market, and who is the man without a style ?’

    ” The boy replied, ‘A glowworm’s fire has no smoke, and well-water no fish ; a mound of earth has no stones, and a rotten tree no branches ; genii have no wives, and fairies no husbands ; earthen cows have no calves, nor wooden mares any colts ; lonely cocks have no hens, and widowed hens no cocks ; he who is worthy is an excellent man, and a fool is an inferior man ; a winter’s day is not long enough, and a summer’s day is too long ; the imperial city has no market, and little folks have no style.’

    ” Confucius inquiring said, ‘ Do you know what are the connecting bonds between heaven and earth, and what is the beginning and ending of the dual powers ? What is left, and what is right ; what is out, and what is in ; who is father, and who is mother ; who is husband, and who is wife. [Do you know]where the wind comes from, and from whence the rain V From whence the clouds issue, and the dew arises V And for how many tens of thousands of miles the sky and earth go parallel ?’

    “The youth answering said, ‘Nine multiplied nine times make eighty-one, which is the controlling bond of heaven and earth ; eight multiplied by nine makes seventy-two, the beginning and end of the dual powers. Heaven is father, and earth is mother ; the sun is husband, and the moon is wife ; east is left, and west is right ; without is out, and inside is in ; the winds come from Tsang-wu, and the rains proceed from wastes and wilds ; the clouds issue from the hills, and the dew rises from the ground. Sky and earth go parallel for ten thousand times ten thousand miles, and the four points of the compass have each their station.’

    “Confucius asking, said, ‘ Which do you say is the nearest relation, father and mother, or husband and wife ? ‘ The boy responded, ‘ One’s parents are near ; husband and wife are not [so] near.’

    “Confucius rejoined, ‘While husband and wife are alive, they sleep under the same coverlet ; when they are dead they lie in the same grave ; how then can you say that they are not near V ‘ The boy replied, ‘ A man without a wife is like a carriage without a wheel ; if there be no wheel, another one is made, for he can doubtless get a new one ; so, if one’s wife die, he seeks again, for he also can obtain a new one. The daughter of a worthy family must certainly marry an honorable husband ; a house having ten rooms always has a plate and a ridgepole ; three windows and six lattices do not give the ligh\ of a single door ; the whole host of stars with all their sparkling brilliancy do not equal the splendor of the solitary moon : the affection of a father and mother—alas, if it be once lost !’

    “Confucius sighing, said, ‘How clever! how worthy!’ The boy asking the sage said, ‘ You have just been giving me questions, which I have answered one by one ; I now wish to seek information ; will the teacher in one sentence afford me some plain instruction V I shall be much gratified if my request be not rejected.’ He then said, ‘ Why is it that mallards and ducks are able to swim; how is it that wild geese and cranes sing ; and why are firs and pines green through the winter ‘?

    ‘ Confucius replied, ‘ Mallards and ducks can swim because their feet are broad ; wild geese and cranes can sing because they have long necks ; firs and pines remain green throughout the winter because they have strong hearts.’ The youth rejoined, ‘ Not so ; fishes and turtle’; can swim, is it because they all have broad feet ? Frogs and toads can sing, is it because their necks are long V The green bamboo keeps fresh in winter, is it on account of its strong heart *’

    “Again interrogating, he said, ‘ How many stars are there altogether in the sky V ‘ Confucius replied, ‘ At this time inquire about the earth; how can we converse about the sky with certainty?’ The boy said, ‘Then how many houses in all are there on the earth ? ‘ The sage answered, ‘ Come now, speak about something that’s before our eyes ; why mu.st you converse about heaven and earth ? ‘ The lad resumed, ‘ Well, speak about what’s before our eyes—how many hairs are there in your eyebrows ‘?’

    “Confucius smiled, but did not answer, and turning round to his disciples called them and said, ‘ This boy is to be feared ; for it is easy to see that the subsequent man will not be like the child. ‘ He then got into his carriage and rode off.”‘

    6Xext in course to this rather trifling primer conies the Hlao

    King, or ‘ Canons of Filial Duty,’ a short tractate of only 1,903

    characters, which purports to be the record of a conversation

    held between Confucius and his disciple Tsitng Tsan on the

    principles of filial piet}*! Its authenticity has been disputed by

    critics, but their doubts are not shared by their countrymen,

    who commit it to memory as the words of the sage. The legend

    is that a copy was discovered in the wall of his dwelling, and

    compared with another secreted by Yen Chi at the burning of

    the books ; from the two Liu Iliang chose eighteen of tlie

    chapters contained in it as alone genuine, and in this shape it

    has since remained. The sixth section of the Imperial Catalogue

    is entirely devoted to writers on the Iliao Kmg, one of whom was

    ‘ Chinese Repository, Vol. X., p. 614.

    THE HIAO KING, OR CANONS OF FILIAL DUTY. 537

    Vnentsuiig, an emperor of the Tang dynasty (a.d. T33). Another

    comment was publislied in 32 vohimes in Kanghi’s reign, discussing

    the whole sul)ject in one liundred cliapters. Though it

    does not share in critical eyes the conlidence accorded to the

    nine classics, the brevity and subject matter of this work have

    commended it to teachers as one of the best books in the

    language to be placed in the hands of their scholars ; thus its

    influence has been great and enduring. It has been translated

    by Bridgman, who regards the first six sections as the words of

    Confucius, while the other twelve contain his ideas. Two quotations

    are all that need be here given to show its character.

    Section I.

    On the origin and nature ofjUial duty.—Filial duty is the root

    of virtue, and the stem from which instruction in the moral principle springs.

    Sit down, and I will explain this to you. The first thing which filial duty requires

    of us is, that we carefully preserve from all injviry, and in a perfect

    state, the bodies which we have received from our parents. And when we

    acquire for ourselves a station in the world, we should regulate our conduct

    by correct principles, so as to transmit our names to future generations, and

    reflect glory on our parents. This is the ultimate aim of filial duty. Thus it

    commences in attention to parents, is continued through a course of services

    rendered to the prince, and is completed by the elevation of ourselves. It

    is said in the Book of Odes,

    Ever think of your ancestors

    ;

    Reproducing then- virtue.

    Section V.

    0>i the attention of scholars to flial duty.—With the same love

    that they serve their fathers, they should serve their mothers ; and with the

    same respect that they serve their fathers, they should serve their prince ; unmixed

    love, then, will be the offering they make to their mothers ; unfeigned

    respect the tribute they bring to their prince ; while toward their fathers both

    tliese will be combined. Therefore they serve their prince with filial duty and

    are faithful to him ; they serve their superiors with respect and are obedient to

    them. By constant obedience and faithfulness toward those who are above

    them, they are enabled to preserve their stations and emoluments, and to offer

    the sacrifices which are due to their deceased ancestors and parents. Such is

    the influence of filial piety when performed by scholars. It is said in the

    Book of Odes,

    When the dawn is breaking, and I cannot sleep,

    The thoughts in my breast are of our parents.

    ‘ Compare Pere Cibot in Memoires.concernant les Chinois, Tome IV., pp. 1 ff.

    ;

    Dr. Legge, ±he Sacred Books of China, Part I. The ShU-kinr/, Reliyious Portions of the Shih-kinff, the Hsido-kimj, Oxford, 1879 ; Asiatic Journal, Vol XXIX., pp. 302 if., 1839.

    (The highest place in the list of virtues and obligations is accorded

    to filial duty, not only in this, but in other writings of

    Confucius and those of his school. ” There are,” to quote from

    another section, ” three thousand crimes to which one or the

    other of the five kinds of punishment is attached as a penalty ;

    and of these no one is greater than disobedience to parents.

    When ministers exercise control over the monarch, then there

    is no supremacy ; when the njaxims of the sages are set aside,

    then the law is abrogated ; and so those who disregard filial

    duty are as though they had no parents. These three evils prepai*

    e the way for universal rebellion.’^

    This social virtue has been highly lauded by all Chinese

    wn-Iters, and its observance inculcated upon youth and children

    by precept and example. Stories are written to show the good

    effects of obedience, and the bad results of its contrary sin,

    which are put into their hands, and form also subjects for pictorial

    illustration, stanzas for poetry, and materials for conversation.

    The following examples are taken from a toy-book of

    this sort, called the Twenty-four F’diah^ one of the most popular

    collections on the subject.

    ” During the Chau dynasty there lived a lad named Tsang Tsan (also Tsz’-yu),

    who served his mother very dutifully. Tsang was in the habit of going to the.

    hills to collect fagots ; and once, while he was thus absent, many guests came

    to his house, toward whom his mother was at a loss how to act. She, while

    expecting her son, who delayed his return, began to gnaw her fingers. Tsang

    suddenly felt a pain in his heart, and took up his bundle of fagots in order to

    return home ; and when he saw his mother, he kneeled and begged to know

    what was the cause of her anxiety. She replied, ‘ there have been some guests

    here, who came from a great distance, and I bit my finger in order to arouse you to return to me.’

    ” In the Chau dynasty lived Chung Yu, named also Tsz’-lu, who, because his

    family was poor, usually ate herbs and coarse pulse ; and he also went more

    than a hundred I’l to procure rice for his parents. Afterward, when they were

    dead, he went south to the country of Tsu, where he was made commander of

    a hundred companies of chariots; there he became rich, storing up grain in

    myriads of measures, reclining upon cushions, and eating food served to him

    in numerous dishes; but sighing, ho said, * Although I should now desire to

    eat coarse herbs and bring rice for my parents, it cannot be !

    ” In the Chau dynasty there flourished the venerable Lai, who was very obedient

    and reverential toward his parents, manifesting his dutifulness by exerting

    liimself to provide them with every delicacy. Although upward of

    EXTRACTS FROM THE TWENTY-FOUR FILIALS. 539

    seventy years of age, he declared that he was not yet old ; and usually

    dressed liimself in parti-colored embroidered garments, and like a child

    would playfully stand by the side of his parents. He would also take up

    buckets of water, and try to carry them into the house ; but feigning to slip,

    would fall to the ground, wailing and crying like a child: and all these things

    he did in order to divert his parents.

    ” During the Han dynasty lived Tung Yung, whose family was so very poor

    that when his father died he was obliged to sell himself in order to procure

    money to bury his remains. After this he went to another place to gain the

    means of redeeming liimself ; and on his way he met a lady who desired to become

    his wife, and go with him to his master’s residence. She went with him,

    and wove three hundred pieces of silk, which being completed in two months,

    they returned home ; on the way, having reached the shade of the cassia tree

    where they before met, the lady bowed and ascending, vanished from his sight.

    ” During the Han dynasty lived Ting Lan, whose parents both died when

    he was young, before he could obey and support them ; and he reflected that

    for all the trouble and anxiety he had caused them, no recompense had yet

    been given. He then carved wooden images of his parents, and served them

    as if they had been alive. For a long time his wife would not reverence them ;

    but one day, taking a bodkin, she in derision pricked their fingers. Blood immediately

    flowed from the wound ; and seeing Ting coming, the images wept.

    He examined into the circumstances, and forthwith divorced his wife.

    “In the days of the Han dynasty lived Koh Kii, who was very poor. He

    had one child three years old ; and such was his poverty that his mother usually

    divided her portion of food with this little one. Koh says to his wife,

    ‘ We are so poor that our mother cannot be supported, for the cliild divides

    with her the portion of food that belongs to her. Why not bury this child V

    Another child may be born to us, but a mother once gone will never return.’

    His wife did not venture to object to the proposal ; and Koh immediately dug

    a hole of about three cubits deep, when suddenly he lighted upon a pot of gold,

    and on the metal read the following inscription :

    ‘ Heaven bestows this treasure

    upon Koh Kii, the dutiful son ; the magistrate may not seize it, nor shall

    the neighbors take it from him.’

    “Mang Tsung, who lived in the Tsin dynasty, when young lost his father.

    His mother was very sick ; and one winter’s day she longed to taste a soup

    made of bamboo sprouts, but Mang could not procure any. At last he went

    into the grove of bamboos, clasped the trees with his hands, and wept bitterly.

    His filial affection moved nature, and the ground slowly opened, sending forth

    several shoots, which he gathered and carried home. He made a soup with

    them, of which his mother ate and immediately recovered from her malady

    ” WuMang, a lad eight years of age, who lived under the Tsin dynasty, was

    very dutiful to his parents. They were so poor that they could not afford to

    furnish their bed with mosquito-curtains ; and every summer’s night, myriads

    of mosquitos attacked them unrestrainedly, feasting upon their flesh and

    blood. Although there were so many, yet Wu would not drive them away,

    lest they should go to his parents, and annoy them. Such was his affection.”

    ‘ Chinese Repository, Vol. VI., p. 131.

    The last book learned before entering on the classics has had

    almost as great an influence as any of them, and none of the works

    of later scholars are so well calculated to sliow the ideas of the

    Chinese in all ages upon the principles of education, intercourse

    of life, and rules of conduct as this ; precepts are illustrated by

    examples, and the examples referred back to precepts for their

    moving cause. (This is the Siao Hloh, or ” Juvenile Instructor,”

    and was intended by Chu Hi, its author, as a counterpart of the

    Ta Hlao, on which he had written a connnentary, “^ It has had

    more than fifty commentators, one of whom says, ” We confide

    in the Siao Hioli as we do in the gods, and revere it as we do

    our parents.” It is divided into two books, the ” fountain of

    learning,” and ” the stream flowing from it,” arranged in 20

    chapters and 385 short sections. The first book has four parts

    and treats of the first principles of education ; of the duties we

    owe our kindred, rulers, and fellow-men, of those we owe

    ourselves in regard to study, demeanor, food, and dress ; and

    lastly gives numerous examples from ancient history, beginning

    with very early times down to the end of the Chau dynasty,

    B.C. 249, confirmatory of the maxims inculcated, and the good

    effects resulting from their observance. The second book contains,

    in its first part, a collection of wise sayings of eminent,

    men who flourished after e.g. 200, succeeded by a series of examples

    of distinguished persons calculated to show the effects of

    good principles ; both designed to establish the truth of the

    teachings of the first book. One or two quotations, themselves

    extracted from other works, will sulfice to show something of

    its contents.

    ” Confucius said, ‘ Friends must sharply and frankly admonish each other, and brothers must be gentle toward one another.’ “

    “Tsz’-kung, asking about friendship, Confucius said, ‘ Faithfully to inform and kindly to instruct another is the duty of a friend ; if he is not tractable, desist ; do not disgrace yourself.’ “

    “Whoever enters with his guests, yields precedence to them at every door ;

    when they reach the innermost one, he begs leave to go in and arrange the

    seats, and then returns to receive the guests ; and after they have repeatedly

    declined he bows to them and enters. He passes through the right door, they

    through the left. He ascc^nds the eastern, they the western steps. If a guest

    be of a lower grade, he must api)roach the steps of the host, while; the latter

    THE SIAO IIIOH, OR JUVENILE INSTRUCTOR. 541

    must reppatedly dc^cline this attention ; then the guest m.\v return to the western

    steps, he ascending, both liost and guest must mutually yield precedence:

    then the host must ascend first, and tlie guests follow. From step to step they

    must bring their feet together, gradually ascending—those on the east moving

    the right foot lirst, those on the west the left.”

    The great influence wliicli these six school-books have had is

    owing to their formative power on youthful minds, a large proportion

    of whom never go beyond them (either from want of

    time, means, or desire), but are really here fui-nished with the

    kernel of their best literature.

    (The tedium of memorizing these unmeaning sounds is relieved

    by writing the characters on thin paper placed over copy slips.

    The writing and the reading lessons are the same, and both are

    continued for a year or two until the forms and sounds of a few

    thousand characters are made familiar, but no particular effort

    is taken to teach their meanings. It is after this that the teacher

    goes over the same ground, and with the help of the commentary,

    explains the meaning of the words and phrases one by one, until they are all understoodJ It is not usual for the beginner to attend much to the meaning of what he is learning to read and write, and where the labor of committing arbitrary characters is so great and irksome, experience has probably shown that it is not wise to attempt too many things at once.

    ^The boy has been familiarizing himself with their shapes as

    he sees them all the time around him, and he learns what they

    mean in a measure before he comes to school. The association

    of form with ideas, as he cons his lesson and writes their words,

    gradually strengthens, and results in that singular interdependence

    of the eye and ear so observable among the scholars of the

    far East. They trust to what is read to help in understanding what

    is heard much more than is the case in phonetic languages. (_Xo

    effort is made to facilitate the acquisition of the characters by the

    boys in school by arranging them according to their component

    parts ; they are learned one by one, as boys are taught the names

    and appearance of minerals in a cabine^<_^The effects of a course of

    study like this, in which the powers of the tender mind are not

    developed by proper nourishment of truthful knowledge, can

    hardly be otherwise than to stunt the genius, and drill the faculties of the mind into a slavish adherence to venerated usage and dictation, making the intellects of Chinese students like the trees which their gardeners so toilsomely dwarf into pots and jars—plants, whose unnaturalness is congruous to the insipidity of their fruit.)

    The number of years spent at school depends upon the means

    of the parents. Tradesmen, mechanics, and country gentlemen

    endeavor to give their sons a competent knowledge of the

    usual series of books, so that they can creditably manage the

    common affairs of life. (No other branches of study are pursued

    than the classics and histories, and what will illustrate

    them, ineanwhile giving much care and practice to composi-

    ,_jtioiiivNo arithmetic or any department of mathematics, nothing

    of the geography of their own or other countries, of natural

    philosophy, natural history, or scientific arts, nor the study of

    other languages, are attended to.) Persons in these classes of

    society put their sons into shops or counting-houses to learn the

    routine of business with a knowledge of figures and the style

    of letter-writing ; they are not kept at school more tlian three

    or four years, unless they mean to compete at the examinations.

    Working men, desirous of giving their sons a smattering,

    try to keep them at their books a year or two, but millions

    nnist of course grow up in utter ignorance. It is, however,

    an excellent policy for a state to keep up this universal honor

    paid to education where the labor is so great and the return

    so doubtful, for it is really the homage paid to the principles

    taught.

    r^ Besides the common schools, there are grammar or high

    I schools and colleges, but they are far less effective. In Canton,

    I there are fourteen grammar schools and thirty colleges, sqinej:)f

    / wluch are quite ancient, but most of them are neglected,/ Three

    of the largest contaimeach about two hundred students and two

    or three professors. (The chief object of these institutions is to

    instruct advanced scholars in composition and elegant writing ;

    the tutors do a little to turn attention to general literature, but

    have neither the genius nor the means to make many advances.”)

    In I’ural districts students are encouraged to meet at stated times

    in the town-house, where the lieadman, or deputy of the sz” or

    HABITS OF STUDY—SCHOOLS AND COLLEGES. 543

    township, examines them on themes previously proposed by him.’

    In large towns, the local officers, assisted by the gentry and

    graduates, hold annual examinations of students, at which pre

    miums are given to the best essayists. At such an examination

    in Amoy in March, 1845, there were about a thousand

    candidates, forty of whom received sums varying from sixty to

    sixteen cents

    ^One of the most notable, as well as the most ancient of collegiate

    institutions, is the Jvwoh-Uz’ Kien, or ‘ School for the Sons

    of the State,’ whose extensive buildings in Peking, now empty

    and dilapidated, show how much easier it is to found and plan

    a good thing than to maintain its efficiency^ , This state school

    orighiated as early as the Chau dynasty, andTtlie course of study

    as given in the Tt’itual of Chau was much the same three thousand

    years ago as at present. Its officers consisted of a rector,

    usually a high minister of state, aided by five councillors, two

    directors, two proctors, two secretaries, a librarian, two professors

    in each of the six halls, and latterly five others for each of the

    colleges for Bannermen. These halls are named Hall of the

    Pursuit of “Wisdom, the Sincere of Heart, of True Virtue, of

    Koble Aspiration, of Broad Acquirements, and the Guidance of

    Xature. ^he curriculum was not intended to go beyond the classics

    and the six libei-ai arts of music, charioteering, archery, etiquette,

    writing, and mathematics’; but as if to encourage the

    professors to ” seek out by wisdom concerning all things that are

    done under heaven,” as Solomon advises, they were told to take

    their students to the original sources of strategy, astronomy, engineering,

    music, law, and the like, and points out the defects and

    merits of each author. The Kiooh-tsz’ Kien possesses now only

    the husk of its ancient goodness ; and if its professors were not

    honored, and made eligible to be distinct magistrates after three

    years’ term, the buildings would soon be left altogether empty.

    Instead of reviving and rearranging it, the Chinese Government

    . i^ Chinese Repository, VoL IV., p. 414. See also Vol. VI., pp. 229-241;Vol. IV., pp. 1-10; Vol. XL, pp. 545-557 ; and Vol. XIII. , pp. 626-641, for further notices of the modes and objects of education ; Biot, Essai stir VHistoiie de I’Instruction PiMiqiie en Chine, and liis translation of the C1uw-li, VoL H.,p. 27, Paris, 1851. Chinese Recorder, September, 1871.

    Las wisely supplanted it by a new college with its new professors

    and new course of studies—the Tang-iodn Kwan mentioned on p.

    436. Kative free schools, established by benevolent })ersons in

    city or country, are not uncommon, and serve to maintain the literary

    spirit ; some may not be very long-lived, but others take

    their place. In Peking, each of the Banners has its school, and so

    lias the Imperial Clan ; retired officials contribute to schools

    opened for boys connected with their nativ^e districts living in

    the capital. Such efforts to promote education are expected

    from those who have obtained its high prizes.

    ow great a proportion of the people in China can read, is a

    difficult question to answer, for foreigners have had no means of

    learning the facts in the case, and the natives never go into such

    inquiries. More of the men in cities can read than in the country,

    and inore in some provinces than in othfirSj,’ In the district

    anhai, which forms part of the city of Canton, an imperfect

    examination led to the belief that neaily all the men are

    able to read, except fishermen, agriculturists, coolies, boat-people,

    and fuelers, and that two or three in ten devote their lives

    to literary pursuits. In less thickly settled districts, not more

    than four- or five-tenths, and even less, can read. /Tn Macao,

    perhaps half of the men can read. From an examination of the

    hospital patients at Kingpo, one of the missionaries estimated

    the readers to form not more than five per cent, of the men ;

    while another missionary at the same place, w^ho made inquiry in

    a higher grade of society, reckoned them at twenty per cent.

    The villagers about Amoy are deplorably ignorant ; one lady

    who had lived there over twenty years, writes that she had never

    found a woman who could ycad, but these were doubtless from

    among the poorer classes. It appears that as one goes north, the

    extent and thoroughness of education diminishes. ^Throughout

    the Enipiretho ability to understand books is not commensurate

    with the ability to read the characters, and both ha\e been somewhat

    exaggerated. Owiner to the manner in which education is

    commenced^learning the forms and sounds of characters before

    their meanings are understood—it comes to pass tliat many persons

    can call over the names of the characters while they^do not

    comprehend in the least the sense of what they readJ/ They can

    rROPOllTIOX OF THOSE WHO CAN READ IX CHINA. 545

    pick oat ;i word here and there, it may be a phrase or a sentence,

    but they derive no clearer meaning from the text before them

    than a lad, who has just learned to scan, and has proceeded half

    through the Latin Header, does from reading Virgil ; while in

    both cases an intelligent audience, unacquainted with the facts,

    might justly infer that the reader understood what he was readino-

    as well as his hearers did. Moreover, in the Chinese language,

    different subjects demand different characters ; and although a

    man may be well versed in the classics or in fiction, he may be

    easily posed by being asked to explain a simple treatise in medicine

    or in mathematics, in consequence of the many new or unfamiliar

    words on every page. This is a serious obsta^e in the way

    of obtaining a general acquaintance with boolvS^The mind be-‘

    comes weary with the labor of study where its toil is neither rewarded

    b}^ knowledge nor beguiled by wit ; consequently, few

    Chinese are well read in their natural literature. The study o£

    books being regarded solely as the means wherewith to attain ai

    definite end, it follovs naturally that when a cultivated man haa

    reached his goal he should feel little disposed to turn to these;

    inmlements of his profession for either instruction or pleasure^

    (Wealthy or official parents, who wish their sons to compete

    for literarv honors, o-ive them the advantages of a full course in

    reading and rhetoric under the best masters. Composition is

    the most difficult part of the training of a Chinese student, and

    requires unwearied application and a retentive memory. lie

    who can most readily quote the classics, and approach the nearest

    to their terse, comprehensive, energetic diction and style, is,

    cmierls iKtrihus^ most likely to succeed ; while the man who can

    most quickly throw off well rhythmed verses takes the palm

    from all competitor^. In novels, the ability to compose elegant

    verses as fast as the pencil can fly is usually ascribed to the hero

    of the plot. How many of those who intend to compete for

    degrees attend at the district colleges or high schools is not

    known, but they are resorted to by students about the time of

    the examinations in order to make the acquaintance of those

    who are to conq^ete with them. Xo public examinations take

    place in either daj’ or private schools, nor do parents often visit

    them, but rewards for remarkable proficiency are occasionally conferred. (There is little gradation of studies, nor are any diplomas conferred on students to show that they have gone Q . through a certain course. Punishments are severe, and the rattan or bamboo hangs conspicuously near the master, and its liberal use is considered necessary : ” To educate without rigor, shows the teachers indolence,” is the doctrine, and by scolding,

    starving, castigation, and detention, the master tries to instil

    habits of obedience and compel his scholars to learn their

    task. )

    Notwithstanding the high opinion in which education is held,

    the general diffusion of knowledge, and the respect paid to

    learning in comparison with mere title and wealth, the defects of

    the tuition here brieHy described, in extent, means, purposes, and

    results, are very great. Such, too, must necessarily be the case

    until new principles and new information are infused into it.

    Considered in its best point of view, this system has effected all

    that it can in enlarging the understanding, purifying the heart,

    and strengthening the minds of the people ; but in none of these,

    nor in any of the essential points at which a sound education

    aims (as we understand the matter), has it accomplished half that

    is needed. The stream never rises even as high as its source,

    and the teachings of Confucius and Mencius have done all that

    is possible to make their countrymen thinking, useful, and intelligent

    men.

    Turn we now from this brief sketch of primary education

    among the Chinese, to a description of the mode of examining

    students and conferring the degrees which have been made the

    passport to office, and learn what are the real merits of the systeuL^-‘

    tPersons from almost every class of society may become

    (—’^naidates for degrees under the certificates of securities, but

    none are eligible for the second diploma who have not already

    received the first. It therefore happens that the republican

    license apparently’ allowed to well-nigh every subject, in reality

    reserves the prizes for the few most talented or wealtiiy persons

    in thficonamunity.) |V majority of the clever, learned, ambitious,

    and intelligent spirits in the laTid look forward to these examinations

    as the only field woithy of their efforts, and where they are

    most likely to find their equals and friends. How much better

    MODE OF EXAMINATION AND CONFERRING DEGREES. 547

    for the good of society, too, is this arena than the camp or

    the feudal court, the tournament or the monastery !

    There are four regular literary degrees, with some intermediate

    steps of a titular sort. The first is called slu-tsal, meaning

    ‘ flowering talent,’ because of the promise held out of the future

    success of the scholar ; it has often been rendered ‘ bachelor of

    arts ‘ as its nearest equivalent. The examinations to obtain it

    are held under the supervision of the chihien in a public

    building belonging to the district situated near his yamun ; and

    the chief literary officer, called Moh-ching^ ‘ corrector of learning,’

    or Mao-yu, ‘ teacher of the commands,’ has the immediate

    control. (When assembled at the hall of examination, the district

    magistrate, the deputy chancellor, and prefect, having prepared

    the lists of the undergraduates and selected the themes,

    allow only one day for writing the essays. The number of candidates

    depends upon the population and literary spirit of the district

    } in the districts of Xanhai and Pwanyu, upward of two

    thousand persons competed for the prize in 1832, while in

    Hiangshan not half so many came together. The rule for apportioning

    them was at first according to the annual revenue.

    “When the essays are handed in, they are looked over by the

    board of examiners, and the names of the successful students

    entered on a roll, and pasted upon the walls of the magistrate’s

    hall ; this hoaor is called Men ming, i.e., ‘ having a name in

    the village.’ Out of the four thousand candidates referred to

    above, only thirteen in one district, and fourteen in the other,

    obtained a name in the village ; the entire population of these

    two districts is not much under a million and a half. Many of

    the competitors at this primary tripos are unable to finish their

    essays in the day, others make errors in writing, and others

    show gross ignorance, all of which so greatly diminish their

    numbers, that only those who stand near the head of the list of

    Men mhuj do really or usually enter on the next trial before

    the prefect. ^ But all have had an equal chance, and few complain

    that their performances were disregarded, for they can try as often as they please.

    (Those who pass the first examination are entered as candidates for the second, which takes place in the chief town of the department before the literary chancellor and the prefect, as. sisted bj a literary magistrate called Mao-shao, ‘ giver of instructions; ‘ it is more rigorous than that held before the chihlcn^ though similar to it in nature. The prefect arranges the candidates from each district by themselves according to their standing on their several lists, and it is this vantage ground which makes the first trial in one’s native place so important to the

    ambitious scholar. The themes on which they have tested their

    scholarship are published for the information of friends and the

    other examiners. If the proportion given above of successful

    candidates at the district examinations hold for each district,

    there would not be more than two hundred students assembled

    at the prefect’s hall, but the number is somewhat increased by

    persons who have purchased the privilege ; still the second trial

    is made among a small number in projjortion to the first, and

    yet more trifling when compared with the amount of population.

    The names of the successful students at the second trial are exposed

    on the walls of the office, which is called y^* mlng^ i.e.,

    ‘ having a name in the department,’ and these only are eligible

    as candidates for the third trial} (In addition to their knowledge

    of the classics, the candidates at this trial are often required to

    write off the text of the Siting Yu, or ‘ Sacred Edict,’ from memory,

    as this work consists of maxims for the guidance of officer§li

    The literary chancellor exercises a superintendence over the

    previous examinations, and makes the circuit of the province to

    attend them in each department, twice in three years. There

    are various ranks among these educational officials, corresponding

    to the civilians in the province ; transfers are occasionally

    made from one service to the other, and the oversight of the

    latter is always given at; the examinations wherever they ai’C

    held. Most of the literary officers, however, remain in their

    own line, as it is highly honorable and more permanent. (At the

    third trial in the provincial capital, he confers the first degree of

    siio-tmi upon those who are chosen out of the whole list as the

    best scholars.^

    EXAMINATION FOR THE DEGREE OF SIU TSAI. 649

    There are several classes of bachelors, depending; somewhat on the manner in which they obtained their dciirree ; those who get it in the maimer here described take the precedence. yiAiQ possession of this degree protects the person from corporeal punishment, raises him above the common people, renders him a consj)icuons man in his native place, and eligible to enter the triennial examination for the second degree. (Those who have more money than learning, purchase this degree for sums varying from $200 up to $1000, and even higher; in later years, according to the necessities of the government, diplomas have been sold as low as $25 to $50, but such men seldom risel They are called kien-sd/Kj, and, as might be supposed, are looked upon

    somewhat contemptuously by those who have passed through the

    regular examinations, and ” won the battle with their own

    lance.” A degree called Imng-sdng is purchased by or bestowed

    upon the slu-tsal, but is so generally recognized that it has almost

    become a fifth degree, which does not entitle them to the

    full honors of a ku-jin. What proportion of scholars are rewarded

    by degrees is not known, but it is a small number compared

    with the candidates. A graduate of considerable intelligence

    at Ningbo estimated the number of sia-tsal in that city at four hundred, and in the department at nearly a thousand. ( In

    Canton City, the number of shin-hin, or gentry, who are allowed

    to wear the sash of honor, and have obtained literary degrees, is

    not over three hundred ; but in the wdiole province there are

    about twelve thousand bachelors in a population of nineteen

    millions.) Those who have not become siu-tsal are still regarded

    as under the oversight of the hiao-yu and others of his class,

    who still receive their essays ; but the body of provincial

    siu-tsai are obliged to report themselves and attend the prefectural

    tripos before the chancellor, under penalty of losing all the

    privileges and rank obtained. (This law brings them before

    those who may take cognizance of misdeeds, for these men are

    often very oppressive and troublesome to their countrymen^

    The graduates in each district are placed under the control of a chief, whose power is almost equal to the deputy chancellors; from them are taken the two securities required by each applicant to enter the tripos.

    The candidates for siu-tsai are narrowly examined when they enter the hall, their pockets, shoes, wadded robes, and ink-stones, all being searched, lest precomposed essays or other aids to com position be smuggled in. When they are all seated in the hall in their proper places, the wickets, doors, windows, and other entrances are all guarded, and pasted over with strips of paper.

    The room is filled with anxious competitors arranged in long seats, pencil in hand, and ready to begin. The theme is given out, and every one immediately writes off his essay, carefully

    noting how many characters he erases in composing it, and hands

    it up to the board of examiners ; the whole day is allotted to the

    task, and a signal-gun announces the hour when the doors are

    thrown open, and the students can disperse. (A man is liable to

    lose his acquired honor of sla-tsai if at a subsequent inspection

    he is found to have discarded his studies, and he is therefore impelled

    to pursue them in order to maintain his influence, even if

    he does not reach the next degree. ‘\

    ^ince the first degree is sometimes procured by influence and

    money, it is the examination for the second, called hiljin, or

    ‘ promoted men,’ held triennially in the provincial capitals before

    two imperial commissioners, that separates the candidates

    into students and ofiacers, though all the students who receive a

    diploma by no means become officers./ This examination is held

    at the same time in all the eighteen provincial capitals, viz., on

    the 9th, 12th, and 15tli days of the eighth moon, or about the

    middle of September ; while it is going on, the city appears exceedingly

    animated, in consequence of the great number of relatives

    and friends assembled with the students. The persons

    who preside at the examination, besides the imperial commissioners,

    are ten provincial officers, with the futai at their head,

    who jointly form a board of examiners, and decide upon the

    merits of the essays. (The number of candidates who entered

    the lists at Canton in the years 1828 and 1831 was 4,800 ; in

    1832 there were 6,000, which is nearer the usual number. In

    the largest provinces it reaches as many as 7,000, 8,000, and upward.]

    ^Chinese Repository, Vol. II., p. 349; Vol. XVI., pp. 67-72. Doolittle, Social Life of f/te Chineisc, Vol. I., pp. 376-443. Dr. Martin, The Chinese.

    EXAMINATION Foil THE SECOND DEGREE. 551

    Previous to entering the Kunrj T’aen, each candidate has given in all the necessary proofs and particulars, which entitle him to a cell, and receives the ticket which designates the one he is to occupy. He enters the night before, and is searched to see that no manuscript essay, “skinning paper,” or miniature edition of the classics, is secreted on his person. If anything of the sort is discovered, he is punished with the cangue, degraded from his first degree, and forbidden again to compete at the examination; his father and tutor are likewise punished. ( Some of the pieces written for this purpose are marvels of penmanship, and the most finished compositions ; one set contained an essay on every sentence in the Four Books, each of the sheets covered with hundreds of characters, and the paper so thin that they could be easily read through it. The practice is, however, quite common, notwithstanding the penalties, and one censor requested a law to be passed forbidding small editions to be

    printed, and booksellers’ shops to be searched for tlieni^

    The general arrangement of the examination halls in all the

    provincial capitals is alike. A description of that at Canton,

    given on page 166, is typical of them all.

    The Hall at Peking, situated on the eastern side, not far from

    the observatory, contains ten thousand cells, and these do not

    always suffice for the host which assembles. The Hall at Fuhchau

    is equally large ; each cell is a little higher than a man’s

    head, and is open on but one side—letting in more rain and wind

    during inclement days than is comfortable. Confinement in

    these cramped cells is so irksome as to frequently cause the death

    of aged students, who are unable to sustain the fatigue, but who

    still enter the arena in hopes of at last succeeding. Cases have

    occurred where father, son, and grandson, appeared at the same

    time to compete for the same prize. (Dr. Martin’ found that out

    of a list of ninety-nine successful competitors for the second

    degree, sixteen were over forty years of age, one sixty-two, and

    one eighty-three. The average age of the whole number was over

    thirty—while in comparison with like statistics foi* the third degree,

    a proportionate increase might be looked for.) The unpleasantness

    of the strait cell is nnich increased by the smoke arising

    • The Chinese, p. 50.

    from the cooking, and by the heat of the weather. All servants are provided by government, but each candidate takes in the rice and fuel which he needs, together with cakes, tea, candles, bedding, etc., as he can afford ; no one can g(> in with him. The enclosure presents a bustling scene during the examination, and its interest intensifies until the names of the successful scholars

    are published. Should a student die in his cell, the body is pulled

    through a hole made in the wall of the enclosure, and left there for

    his friends to carry away. Whenever a candidate breaks any of

    the prescribed regulations of the contest, his name and offence are

    reported, and his name is ” pasted out ” by placarding it on the

    outer door of the hall, after which he is not allowed to enter until

    another examination comes around. More than a hundred

    persons are thus ” pasted out ” each season, but no heavy disgrace

    seems to attach to them in consequence.

    (On the first day after the doors have been sealed up, four themes are selected by the examiners from the Four Books, one of which subjects must be discussed in a poetical essay. The minimum length of the compositions is a hundred characters, and they must be written plainly and elegantly, and sent in without any names attached^ In 1828, the acumen of four thousand

    eight hundred candidates was exercised during the first day on

    these themes : ” Tsang-tsz’ said, ‘ To possess ability, and yet ask

    of those who do not ; to know much, and yet inquire of those

    who know little ; to possess, and yet appear not to possess ; to

    be full, and yet appear empty.’ “—” lie took hold of things by

    the two extremes, and in his treatment of the people maintained

    the golden medium.” “A man from his youth studies eight

    principles, and when he arrives at manhood, he wishes to reduce

    them to practice.”—The fourth essay, to be written in

    pentameters, had for its subject, “The sound of the oar, and the

    green of the hills and water.” Among the themes given out

    in 1843, were these: “lie who is sincere will be intelligent,

    and the intelligent man will be faithful.”—”In carrying out

    benevolence, there are no rules.” In 1835, one was, ” lie acts

    as he ought, both to the common people and official men, receives

    his revenue from Heaven, and by it is protected and highly

    esteemed.” Among other more practical texts are the following: ” Fire-arms began with the use of rockets in the Chau dynasty ; in what book do we first meet with the word for cannon? Is the defence of Kaifung fii its first recorded use ?

    METHOD OF CONDUCTING THE EXAMINATION. 553

    Kublai klian, it is said, obtained cannon of a new kind ; from whom did he obtain them ? When the Ming Emperors, in the reign of Yungloh, invaded Cochincliina, they obtained a kind of cannon called the weapons of the gods; can you give an account of their origin ‘( “

    The three or five themes (for the number seems to be optional)

    selected from the Five Classics are similar to these, but as those

    works are regarded as more recondite than the Four Books, so

    nmst the essayists try to take a higher style/ An officer goes

    around to gather in the pa] )ers, which are first handed to a body

    of scholars in waiting, who look them over to see if the prescribed

    rules have all been observed, and reject those which infringe

    them, /The rest are then copied in red ink, to prevent

    recognition of the handwriting, and the original manuscripts

    given to the governor. The cojjies are submitted to another

    class of old scholars for their criticism, each of whom marks the

    essays he deems best with a red circle, and these only are placed

    in the hands of the chancellors sent from Peking for their decision.

    The examining board are aided by twelve scholars of

    repute, to each of whom forty or fifty essays are given to read.

    The students are dismissed during the niglit of the ninth day,

    and reassemble before sunrise of the eleventh ; all M’hose essays

    were rejected on the first review are refused enti-ance to their

    cells. At the second tripos, five themes are given out from the

    Five Classics, and everything pi-oceeds as before in respect

    to the disposal of the manuscripts. The students are liberated

    early on the thirteenth as before by companies, under a salute

    and music as they leave the great door; their number has been

    much reduced by this time. On the next morning the roll is

    called, and those who answer to their names for the last struggle

    are furnished with five themes for essays, one for poetry, taken

    from the classics or histories, upon doubtful matters of government,

    or such problems as might arise in law and finance.

    These questions take even a more extended range, including topics relating to the laws, history, geography, and customs of the Empire in former times, doubtful points touching the classical works, and the interpretation of obscure passages, and biograpli«ical notices of statesnieiil Ut is forbidden, however, to discusa any points relating to the poHcy of the present family, or the character and learning of living statesmen); but the conduct of their rulers is now and then alluded to by the candidates. (Manuals of questions on such subjects as candidates are examined in, are commonly exposed for sale in shops about the time of these examinations.’ By noon of the sixteenth day of the eighth moon, all the candidates throughout the Empire have left their halls, and the examination is over.’

    The manner in which subjects are handled may be readily illustrated

    by introducing an essay upon this theme : ” When persons

    in high stations are sincere in the performance of relative

    and domestic duties, the people generally will be stimulated to

    the practice of virtue.” It is a fair specimen of the jejune style

    of Chinese essayists, and the mode of reasoning in a circle M’hick

    pervades their writings.

    “When the upper classes are really virtuous, the common people will inevitably become so. For, though the sincere performance of relative duties by superiors does not originate in a wish to stimulate the people, yet the people do become virtuous, which is a proof of the effect of sincerity. As benevolence is the radical principle of all good government in the world, so also benevolence is the radical principle of relative duties amongst the people. Traced back to its source, benevolent feeling refers to a first progenitor ; traced forward, it branches out to a hundred generations yet to come. The source of personal existence is one’s parents, the relations which originate from Heaven are most intimate; and that in which natural feeling blends is felt most deeply. That which is given by Heaven and by natural feeling to all, is done without any distinction between noble or ignoble. One feeling pervades all. My thoughts now refer to him who is placed in a station of eminence, and who may be called a good man. The good man who is placed in an eminent station, ought to lead forward the practice of virtue; but the way to do so is to begin with his own relations, and perform his duties to them.

    ” In the middle ages of antiquity, the minds of the people were not yet dissipated—how came it that they were not humble and observant of relative duties, when they were taught the principles of the five social relations V This having been the case, makes it evident that the enlightening of the people must depend entirely on the cordial performance of immediate relative duties. The person in an eminent station who may be called a good man, is he who appears at the head of all others in illustrating by his practice the relative duties.

    ‘ Blot, Essai sur VInstruction en Chine, p. 603.

    EXAMPLE OF AN ESSAY. 555

    To ages nearer to our own, the manners of the people were not far removed from the dutiful; how came it that any were disobedient to parents, and without

    brotherly att’ectioii, and that it was yet necessary to restrain men by intiictiug

    the eight forms of punishment ‘! This having been the case, shows tliat in the

    various modes of obtaining promotion in the state, there is nothing regarded of

    more importance than filial and fraternal duties. The person in an eminent

    station who may be called a good man, is he who stands forth as an example of

    the performance of relative duties.

    ” The difference between a person filling a high station and one of the common

    people, consists in the dej^artment assigned them, not in their relation to

    Heaven ; it consists in a difference of rank, not in a difference of natural feeling; but the common people constantly observe the sincere performance of relative duties in people of high stations. In being at the head of a family and preserving order amongst the persons of which it is composed, there should be sincere attention to politeness and decorum. A good man placed in a high station says, ‘ Who of all these are not related to me, and shall I receive them with mere external forms ‘?

    ‘ The elegant entertainment, the neatly arranged

    tables, and the exhilarating song, some men esteem mere forms, but the good

    man esteems that which dictates them as a divinely instilled feeling, and at

    tends to it with a truly benevolent heart. And who of the common peoj^le

    does not feel a share of the delight arising from fathers, and brothers, and

    kindred ? Is this joy resigned entirely to princes and kings ?

    ” In favors conferred to display the benignity of a sovereign, there should

    be sincerity in the kindness done. The good man says, ‘ Are not all these

    persons whom I love, and shall I merely enrich them by largesses ? ‘ He gives

    a branch as the sceptre of aiithority to a delicate 3’ounger brother, and to another

    he gives a kingdom witli his best instructions. Some men deem this as

    merely extraordinary good fortune, but the good man esteems it the exercise

    of a virtue of the first order, and the effort of inexpressible benevolence.

    But have the common people no regard for the spring whence the water flows,

    nor for the root which gives life to the tree and its branches ? Have they no

    regard for their kindred ? It is necessary both to reprehend and to urge them

    to exercise these feelings. The good man in a high station is sincere in the

    performance of relative duties, because to do so is virtuous, and not on account

    of the common people. I3ut the people, without knowing whence the impulse

    comes, witli joy and delight are influenced to act with zeal in this career of

    virtue ; the moral distillation proceeds with rapidity, and a vast change is effected.

    ” The rank of men is exceedingly different ; some fill the imperial throne, but every one equally wishes to do his utmost to accomplish his duty ; and success depends on every individual himself. The upper classes begin and pour the wine into the rich goblet ; the poor man sows his grain to maintain his parents ; the men in high stations grasp the silver bowl, the poor present a pigeon ; they arouse each other to unwearied cheerful efforts, and the principles implanted by Heaven are moved to action. Some things are difficult to be done, except by those who possess the glory of national rule ; but the kind feeling is what I myself possess, and may increase to an unlimited degree.

    The prince may write verses appropriate to his vine bower ; the poor man can think of his gourd shelter ; the prince may sing his classic odes on fraternal regards ; the poor man can muse on his more simple allusions to the same subject, and asleep or awake indulge his recollections ; for the feeling is instilled into his nature. When the people are aroused to relative virtues, they will be sincere ; for where are there any of the common people that do not desire to perform relative duties ? But without the upper classes performing relative duties, this virtuous desire would have no point from which to originate, and

    therefore it is said, ‘Good men in high stations, as a general at the head of liis

    armies, will lead forward the world to the practice of social virtues.’”

    _\ The discipline of mind and memory wliicli these examinations

    di’aw ont fm-nishes a grade of intellect which only needs the

    friction and experience of public life to make statesmen out of

    scholars, and goes far to account for the influence of Chinese in

    Asia. The books studied in preparation for such trials must be

    remembered with extraordinary accuracy,)though we may wish

    they contained more truth and better science. The following

    are among the questions proposed in 1853, and must be taken

    as an average : ” In the Ilan dynasty, there were three commentators

    on the J7A King^ whose explanations, and divisions

    into chapters and sentences were all different : can you give an

    account of them ?

    “—” Sz’ma Tsien took the classics and ancient

    records in arranging his history according to their facts ; some

    have accused him of undulv exaltino; the Taoists and thinking

    too highly of wealth and power. Pan Ku is clear and compreliensive,

    but on Astronomy and the Five Elements, he has written

    more than enough. Give examples and proof of these two

    statements.”—” Chin Shao had admirable abilities for historical

    writings. In his San Kiooh Chi he has depreciated Chu-koh

    Liang, and made very light of t and I, two other celebrated

    characters. What does he say of them ? ” This kind of

    question involves a wide range of reading within the native literature,

    though it of course contracts tlie mind to look upon that

    literature as containing all that is worth anything in the world/J

    ( Twenty-five days are allowed for the examining board to de

    cide on the essays ; and few tasks can be instanced moi-e irksome

    to a board of honest examiners than the perusal of between flfty

    and seventy-flve thousand papers on a dozen subjects, through

    which the most monotonous uniformity nuist necessarily run,

    ARDUOUS LABORS OF THE EXAMIXERS. 551

    and out of wliich tliey have to choose the seventy or eighty best

    —for the number of successful candidates cannot vary far from

    this, according to the size of the province. The examiners, as

    lias ah’eady been described, are aided by literary men in sifting

    this mass of papers, which relieves them of most of the laboi”,

    and secures a better decision. If the number of students be

    five tliousand, and each writes thirteen essays,- there will be

    sixty-five thousand papers, whicli allots two hundred and sixty

    essays for each of the tenexamineivs. With the help of the assistants

    who are intrusted with their examination, most of the essays obtain a reading, no doubt, by some qualified scholar.

    There is, therefore, no little sifting and selection, so that when at the last the commissioners choose three rolls of essays and poems from each of the sessions belonging to the same scholar, to pass their final judgment, the company of candidates lilcely to succeed has been reduced as. small in proportion as those in Gideon’s host who lapped water. (One of the examining committee, in 183:2, who sought to invigorate his nerves or clear his intellect for the task by a pipe of opium, fell asleep in consequence, and on awaking, found that many of the essays had caught fire and been consumed. It is generally supposed that hundreds of them are unread, but the excitement of the occasion, and the dread on the part of the examining board to irritate the body of students, act as checks against gross omissions. Very trivial errors are enough to condemn an essay, especially if the examiners have not been gained to look upon it kindly. Section LIT. of the code

    regulates the conduct of the examiners, but the punishments are

    slight. One candidate, whose essay had been condenmed without

    being read, printed it, which led to the punishment of the

    examiner, degradation of the graduate, and promulgation of a

    law forbidding this mode of appealing to the public. Another

    essay was rejected because the writer had abbreviated a single characterj

    When the names of the successful wranglers are known, they are published by a crier at midnight, on or before the tenth of the ninth moon ; at Canton, he mounts the highest tower, and, after a salute, announces them to the expectant city ; the next morning, lists of the lucky scholars are hawked about the streets, and rapidly sent to all parts of the province. The proclamat) m which contains their names is pasted upon the governor’s office under a salute of three guns ; his excellency comes out and bows three times towards the names of iha I’i’omoted men^ and retires under another salute. The disappointed multitude must then rejoice in the success of the few, and solace themselves with the hope of better luck next time ; while the successful ones are honored and feasted in a very distinguished manner, and are the objects of flattering attention from the whole city. On an appointed day, the governors, commissioners, and high provincial officers banquet them all at the futai’s palace; inferior officers attend as servants, and two lads, fantastically dressed, and holding fragrant branches of the olive(pleafragrans) in their hands

    grace the scene with this symbol of literary attainments. The

    number of A.M., licentiates, or kil-jtn, who triennially receive

    their degrees in the Empire, is upwards of thirteen hundred :

    the expense of the examinations to the government in various

    ways, including the presents conferred on the graduates, can

    hardly be less than a third of a million of taels. (Besides the

    triennial examinations, special ones are held every ten years,

    and on extraordinary occasions, as a victory, a new reign, or an

    imperial marriage. One was granted in 1835 because the Empress-

    dowager had reached her sixtieth year)

    The third degree of tsln-sz\ ‘entered scholars,’ or doctors, is

    conferred triennially at Peking upon the successful licentiates

    who compete for it, and only those among the h’d-j’m., who have

    not alread}’ taken office, are eligible as candidates. On application

    at the provincial treasury, they are entitled to a part of their

    travelling expenses to court, but it doubtless requires some interest

    to get the mileage granted, for many poor scholars are detained

    from the metropolitan examination, or nnist beg or bor

    row in order to reach it. The procedure on this trial is the

    same as in the provinces, but the examiners are of higher rank ;

    the themes are taken from the same works, and the essays ai’e

    but little else than repetitions of the same ti-ain of thought and

    argument. After the degrees are conferred upon all who are

    deeined worthy, which varies from one hundi-ed and fifty to four

    hundred each time, the doctors are introduced to the Emperor,

    EXAMINATIONS FOR TIIIKD AND FOUKTII DEGREES. 559

    and do him reverence, the three highest receiving rewards from

    him) At this examination, candidates, instead of being promoted,

    are occasionally degraded from their acquired standing

    for incompetency, and forbidden to appear at them again. VThe

    graduates are all inscribed upon the list of candidates for promotion,

    by the Board of Civil Office, to be appointed on the lirst

    vacancy ; most of them do in fact enter on official life in some

    way or other by attaching themselves to high dignitaries, or getting

    employment in some of the departments at the capital-/

    (One instance is recorded of a student taking all the degrees

    within nine months ; and some become Tianlin before entering

    office. Others try again and again, till gi’ay hairs compel them

    to retire.) I’here are many subordinate offices in the Academy,

    the Censorate, or the Boards, which seem almost to have been

    instituted for the employment of graduates, whose success has

    given them a partial claim upon the country. The Emperor

    sometimes selects clever graduates to prepare works for the use

    of government, or nominates them upon special literary commissions’”

    ‘ It can easily be understood that no small address in

    managing and appeasing such a crowd of disciplined active

    minds is required on the part of the bureaucracy, and only the

    long experience of many generations of the graduates could suffice

    to keep the system so vigorous as it is.

    The fourth and highest degree of Jianlln is rather an office

    than a degree, for those who attain it are enrolled as members

    of the Imperial Academy, and receive salaries. The triennial

    exatnination for this distinction is held in the Emperor’s palace,

    and is conducted on much the same plan as all preceding ones,

    though being in the presence of the highest personages in the

    Empire, it exceeds them in honor.’ *^ Manchus and Mongols

    ‘ Chinese Repository, Vol. IX., p. 541 ; Vol. III., p. 118.

    2 See Morrison’s Chinese Dictionary, Vol. I., Part I., pp. 759-779, for the laws

    and usages of the several trials. Also Doolittle’s Sucidl Life, Vol. I. , Chaps.

    XV., XVI., and XVII. ; Biot, Essai snr VHistoirc de VInstruction PubUque en

    Chine ; W. A. P. Martin, T/iC Chiiu’se, pp. 39 ff. ; Journal Asiatique, Tomes

    III., pp. 257 and 331, IV., p. 3, and VII. (3d Series, 1839), pp. 32-81;

    Journal Asiatic Soc. Benr/al, Vol. XXVIII., No. 1, 1859; Journal N. C. Br.

    R. As. Soc, New Series, Vol. VI., pp. 129 ff. ; China Review, Vol. II., p

    309.

    compete at these trials with the Chinese, but many facts show

    tliat the former are generally favored at the expense of the latter’;

    the large proportion of men belonging to these races filling

    high oflSces indicates who are the rulers of the landT] The candidates

    are all examined at Peking ; one instance is recorded

    of a Chinese who passed himself oif for a Mancliu, but afterward

    confessed the dissimulation ; the head of the division was

    tried in consequence of his oversight. It is the professed policy

    of the govermnent to discourage literary pursuits among them,

    in order to maintain tho ancient energy of the race ; but Avhero

    the real power is lodged in the hands of civilian^^, it is impossible

    to prevent so powerful a component of the population

    from competing with the others for its possession.

    The present dynasty introduced examinations and gradations

    among the troops on the same principles as obtain in the civil

    service ; nothing more strikingly proves the power of literary

    pursuits in China, than this vain attempt to harmonize the profession

    of arms in all its branches with them. Their enemies

    were, however, no better disciplined and equipped than they

    themselves were. Candidates for the first degree present

    themselves before the district magistrate, with proper testimonials

    and securities. On certain days they are collected on

    the parade-grounds, and exhibit their skill in archery (on foot

    and in the saddle), in wielding swords and lifting weights,

    graduated to test their muscle. The successful men are assembled

    afterward before the prefect ; and again at a third trial

    before the literary chancellor, who at the last tripos tests them

    on their literary attainments, before giving them their degrees

    of siu-tsai. The number of successful military slu-tsal is tho

    same as the literary. They are triennially called together by

    tho governor at the provincial capital to undergo further examination

    for Mi-jin in four successive trials of the same nature.

    These occasions are usually great gala days, and three or four

    scores of young warriors who carry off pi’izes at these tournaments

    receive honors and degrees in much the same style as

    their literary compeers. The trials for the highest degree are

    lield at Peking ; and the long-continued efforts in this service

    generally obtain for the young men posts in the body-guard of

    COMPETITIVE EXAMINATIONS OF THE MILHARV. 561

    the governors or staff uppointrneiits. The forty- nine successful

    candidates out of several thousands at tlie trieiniial examination

    for l-il-jln. in Canton, November, 1882, all hit the target on

    foot six times successively, and on horseback six times ; once

    with the arrow they hit a ball lying on the ground as they

    passed it at a gallop ; and all were of the first class in wielding

    the iron-handled battle-axe, and lifting the stone-loaded beam,

    tl’he candidates are all persons of property, who find their own

    horses, dresses, arms, etc., and are handsomely dressed, the

    horses, trimmings, and accoutrements in good order—the arrows

    being without barbs, to prevent accidents. One observer

    says, ” the marks at wliich they fired, covered with white

    paper, were about the height of a man and somewhat wider,

    placed at intervals of fifty yards ; the object was to strike the>ie

    marks successively with their three ari’ows, the horses be^.’g

    kept at full speed. Although the bulTs-eye was not always

    hit, the target was never missed : the distance did not exceed

    fifteen or twenty feet.’y

    (Since military honors depend so entirely on personal skill, it

    may partly account f(jr the inferior rank the graduates hold in

    comparison with civilians. I\^o knowledge of tactics, gunnery,

    engineering, fortifications, or even, letters in general, seems to

    be required of them; and this explains the inefficiency of the

    army, and the low estimation its officers are held in. Sir J.

    Davis mentions one military officer of enoi’mous size and

    strength, Avhom. he saw on the Pei ho, who had lately been

    promoted for his personal prowess ; and speaks of another attached

    to the guard on one of the boats, who was such a foolish

    fellow that none of the civilians would associate with him.”

    All the classes eligible to civil promotion can enter the ^.sts for

    military honors ; the Emperor is present at the examination for

    the highest, and awards prizes, such as a cap decorated with a

    peacock’s feather ; but no system of prizes or examinations can

    supply the want of knowledge and courage. Military distinctions

    not being much sought by the people, and conferring but

    •Ellis, Embassy to China, p. 87; Chinese Repository, No\. XVI., p. 63;

    Vol. IV., p. 125.

    ^ Davis, Sketches, Vol. I., pp. 99, 101.

    little emolument or power, do not stand as high in public estimation as the present government wishes. The selection oi officers for the naval service is made from the land force, and a man is considered (piite as fit for that branch after his feats of archery, as if the trials had been in yacht-sailing or manning the yards. I

    Such is the outline of the system of examinations through

    which the civil and military services of the Chinese government

    are supplied) and the only part of their system not to be

    paralleled in one or other of the great monarchies of past or

    present times ; though the counterpart of this may have also

    existed in ancient Egypt. ” It is the only one of their inventions,”

    as has been remarked, “which is perhaps worth preserving,

    and has not been adopted by other countries, and carried

    to greater perfection than they were equal to.” CBut such a

    system w^ould be unnecessary in an enlightened Cliristian

    country, where the people, pursuing study for its own sake, are

    able and willing to become as learned as their rulers desire

    without any such inducement. Nor M’ould they submit to the

    trammels and trickery attendant on competition for office ; the

    ablest politicians are by no means found among the most

    learned scholars. The honor and power of official position

    liave proved to be ample stimnlus and reward for years of

    patient study, (^ot one in a score of graduates ever obtains an

    office, not one in a hundred of competitors ever gets a degree ;

    but they all belong to the literary class, and share in its influence,

    dignity, and privileges. Moreover, these books render

    not only those who get the prizes well acquainted with the true

    principles on which power should be exercised, but the whole

    nation—gentry and commoners—know them also. These unemployed

    literati form a powerful middle class, whose members

    advise the work-people, who have no time to study, and aid

    ri their rulers in the management of local affairs. Their intelligence

    fits them to control most of the property, while few

    acquire such wealth as gives them the power to oppress. They

    make the public opinion of the country, now controlling it,

    then cramping it; alternately adopting or resisting new influences,

    and sometimes successfully thwarting the acts of officials,

    OBSERVATIONS UPON THE SYSTEM. 503

    when the rights of the people are in danger of encroachment

    ;

    or at other times combining with tlie authorities to repress anarchy

    or relieve suffering.’

    (This class has no badge of I’ank, and is open to every man’s

    highest talent and efforts, but its complete neutralization of

    hereditary rights, which would have sooner or later made a

    privileged uligari^iij anil-aJiUJdeifiiLfeiKhLLMi§tQcracy, proves

    its vitalizing, democratic influence.) It has saved the Chinese’

    people from a second disintegration into numerous kingdoms,

    by the sheer force of instruction in the political rights and

    duties taught in the classics and their conmientaries. f While

    this system put all on equality, human nature, as we know, has

    no such equality. .Vt its inception it probably met general

    support from all classes, because of its fitness for the times, and

    soon the resistance of multitudes of hopeful students against

    its abrogation and their consequent disappointment in their lifework

    aided its continuance.^ As it is now, talent, wealth, learning,

    influence, paternal raidc, and intrigue, each and all have

    full scope for their greatest efforts in securing the prizes. If

    these prizes had been held by a tenure as slippery as they

    are at present in the American Republic, or obtainable only

    by canvassing popular votes, the system would surely have

    failed, for ” the game would not have been worth the candle.”

    But in China the throne gives a character of pernumency to

    the government, which opposes all disorganizing tendencies,

    and makes it for the interest of every one in ofiice to strengthen

    the power which gave it to him. This loyalty was remarkably

    shown in the recent rebellion, in which, during the eighteen

    years of that terrible carnage and ruin, not one imperial official

    voluntarily joined the Tai-pings, while hundreds died resisting

    them.

    There is no space here for further extracts from the classics

    which will adequately show their character. They would prove

    that Chinese youth, as well as those in Christian lands, are

    taught a higher standard of conduct than they follow. The

    former are, however^ drilled in the very best moral books the

    language affords ; if the Proverbs of Solomon and the New Testament were studied as thoroughly in our schools as the Four Books are in China, our young- ineu would be better fitted to act their part as good and useful citizens.

    fin this way literary pursuits have taken precedence of warlike,

    and no unscrupulous (“sesar or ]^apoleon has heen able to

    use the army for his own aggrandizement. The army of

    Cliina is contemptible, certainly, if compared with those of

    Western nations, and its use is rather like a police, whose powers

    of protection or oppression are exhibited according to the

    tempers of those Avho employ them. But in China the army

    has not been employed, as it was by those great captains, to

    destroy the institutions oti ^vhich it rests ; though its weakness

    and want of discipline often make it a greater evil than good to

    the people.) But had the military waxed strong and efficient,

    it would certainly have l)ecome a terror in the hands of ambitious

    monarchs, a drain on the resources of the land, pci-haps

    a menace to other nations, or finally a destroyer of its own.

    (The officials were taught, when young, what to honor in their

    rulers ; and, now that they liold those stations, they learn that

    discreet, upright magistrates do receive reward and promotion,

    and experience has shown them that peace and thrift are the

    ends and evidence of good government, and the best tests of

    their own fitness for office.?

    Another observable result of this republican method of getting

    the best-educated men into office is the absence of any

    class of slaves or serfs among the population. Slavery exists in

    a modified form of corporeal mortgage for debt, and thousands

    remain in this serfdom for life through one reason or another.

    But the destruction of a feudal baronage involved the extinction

    of its correlative, a villein class, and the oppression of

    poor debtors, as Avns the case in Rome under the consuls. Only

    freemen are eligil>le to enter the concoKfs^ but the percentage

    of slaves is too snuill to influence the total. To this cause, too,

    may, perhaps, to a large degree, be ascribed the absence of

    anything like caste, which has had such bad effects in India.

    <‘^The system could not be transplanted ; it is fitted for the

    ‘genius of the Chinese, and they have become well satisfied

    with its workings, jits purification would do great good, doubtless,

    if the mass or^the people are to be left in their present

    VARIOUS KKSl’LTS TO THE LAND AND PKOI’LIO. 565

    state of ignoi’ance, but their elevation in knowledge would, ere

    long, revolutionize the whole. There can be no doubt as to

    tlie important and beneficial i-esnlts it has accomplished, with / .

    all its defects, in perpetuating and strengthening the system of

    government, and securing to the people a more equitable and

    vigorous body of magistrates than they could get in any other

    way. It offers an honorable career to the most ambitious, taleiited,

    or turbulent spirits in the country, which demands all

    their powers ; and by the time they enter upon office, those

    aspirations and powers have been drilled and molded into use-

    1

    ful service, and are ever after devoted to the maintenance of \

    the system they might otherwise have wrecke^.f Most of the

    real benefits of Chinese education and this sj’sfem of examinations

    are reached before the conferment of the degree of Ixujin.

    These consist in diffusing a general respect and taste for

    letters among the people ; in calling out the true talent of the

    country to the notice of the rulers in an honorable path of effort

    ; in making all persons so thoroughly acquainted -with the

    best moral books in the language that they cannot fail to exercise

    some salutary i-estraint ; in elevating the genei-al standard

    of education so much that every man is almost compelled to

    give his son a little learning in order that he may get along in

    life ; and finally, through all these influences, powerfully contributing

    to uphold the existing institutions of the Empire.

    From the intimate knowledge thus obtained of the writings

    of their best minds, Chinese youth learn the principles of democratic

    nde as opposed to personal authority ; and from this instruction

    it has resulted that no monarch has evei* been able to

    use a standing army to enslave the people, or seize the proceeds

    of their industry for his own selfish ends^’ Nothing in Chinese

    politics is more worthy of notice than the unbounded reverence

    for the Emperor, while each man resists unjust taxation, and

    joins in killing or driving away oppressive officials. [Educated

    men form the only aristocracy in the land ; and the attainment

    of the first degree, by introducing its owner into the class of

    gentnj, is considered ample compensation for all the expense

    and study spent in getting it. On the whole, it may safely be

    asserted that these examinations have done more to maintain the stability, and explain the continuance, of the Chinese government than any other single canse.)

    Ijhe principal defects and malversations in the system can

    soon be shown. Some are inherent, but others rather prove

    the badness of the material than of the system and its harmonious

    workings. One great difRcnlty in the way of the graduated

    students attaining office according to their merits is the

    favor shown to those who can buy nominal and real honors.

    “”Two_censm:g^,-ill–1822, laid a document before his Majesty, in

    M’hich the evils attendant on selling office are shown ; viz., elevating

    priests, highwaymen, merchants, and other unworthy or

    uneducated men, to responsible stations, and placing insurmountable

    difficulties in the way of hard-working, worthy students

    reaching the reward of their toi^ They state that the

    plan of selling offices connnenced during the II an dynasty, but

    speak of the greater disgrace attendant upon the plan at the

    present time, because the avails all go into the privy purse instead

    of being applied to the public service ; they recommend,

    therefore, a reduction in the disbursements of the imperial estal)

    iishment. LVniong the items mentioned by these oriental

    Joseph Humes, which they consider extravagant, are a lac of

    taels (100,000) for tlowers and rouge in the seraglio, and 120,-

    000 in salaries to waiting-boys ; two lacs were expended on the

    gardens of Yuenming, and almost half a million of taels upon

    the parks at Jeh ho, while the salaries to officers and presents

    to women at Yuenming were over four lacs. ” If these few

    items of expense were abolished,” they add, “there would be a

    saving of moi’e than a million of taels of useless expenditure

    ;

    talent might be brought forward to the service of the country,

    and the people’s wealth be secured.”

    i^n consequence of the extensive sale of offices, they state

    that more than five thousand ^.s/;? -,<?.;’ doctors, and more than

    twenty-seven thousand l-il-j’ui licentiates, arc waiting for employment

    ; and those first on the list obtained their degrees

    thirty years ago, so that the pi-obability is that when at last

    employed, they will be too old for service, and be declared

    superannuated in the first examination of official merits and demerits.

    The rules to be observed at the regular examinations

    ITS rilACTICAL DEFECTS AND CORRUPTION. 067

    are strict, but no questions are asked the buyers of office ; and

    they enter, too, on their duties as soon as the money is paid.

    The censors quote tliree sales, ^vhose united proceeds amounted

    to a quarter of a million of taels, and state that the whole income

    from this source for twenty years was only a few lacs.

    Examples of the flagitious conduct of these purse-proud magistrates

    are quoted in proof of the bad results of the plan.

    ” Thus the priest Siang Yang, prohibited from holding office,

    bought his way to one ; the intcndant at Xingpo, from being a

    mounted highwayman, bought his M’ay to office ; besides others

    of the vilest parentage. But the covetousness and cruelty of

    these men are denominated purity and intelligence ; they inflict

    severe punishments, which make the people terrified, and

    their superiors point them out as possessing decision : these are

    our able officers !

    “/^

    After animadverting on the general practice “of all officers,

    from governor-generals down to village magistrates, combining

    to gain their jMU-poses l)y hiding the truth from the sovereign,”

    and specifying the malversations of Tohtsin, the premier, in

    particular, they close their paper with a protestation of their

    integrity. “If your Majesty deems what we have now stated

    to be right, and will act thereon in the government, you will

    realize the designs of the souls of your sacred ancestors; and

    the army, the nation, and the poor people, M’ill have cause for

    gladness of heart. Should we be subjected to the operation of

    the hatchet, or suffer death in the boiling caldron, we will not

    decline it,”

    These censors place the proceeds of “button scrip “far too

    low, for/in 1826, the sale produced about six millions of taels,

    and was continued at intervals during the three following

    years. In 1831, one of the sons of HoAvqua was created a

    ku-jin by patent for having subscribed nearly fifty thousand

    dollars to repair the dikes near Canton ; and upon another was

    conferred the rank and title of ” director of the salt monopoly”

    for a lac of taels toward the war in Turkestan, Neither of

    these persons ever held any office of power, nor probably did

    they expect it ; and such may be the case with many of those

    who are satisfied with the titles and buttons, feathers and robes, which their money procures./ The sale of office is rather accepted

    as a State necessity which does not necessarily bring

    tyrants npon the bench ; but when, as was the case in 1863.

    Peiching, head of the Examining Board at Peking, fraudulently

    issued two or three diplomas, his execution vindicated

    the law, and deterred similar tampering with the life-springs of

    the system, ^i^uring the present dynasty, military men have

    l)een frequently appointed to magistracies, and the detail of

    their offices intrusted to needy scholars, which has tended, still

    further, to disgii^ and dishearten the latter from resorting to

    the literary arena.)

    The language itself of the Chinese, which has for centuries

    aided in preserving their institutions and strengthening national

    homogeneity amid so many local varieties of speech, is now

    rather in the way of their progress, and may be pointed to as

    another unfortunate feature which infects this system of education

    and examination ; for it is impossible for a native to write

    a treatise on grammar about another language in his own

    tongue, through which another Chinese can, unaided, learn to

    speak that language. This people have, therefore, no ready

    means of learning the best thoughts of foreign minds. Such

    being the case, the ignorance of their first scholars as regards

    other races, ages, and lands has been their misfortune far more

    than their fault, and thej’ have suffered the evils of their isolation.

    One has been an utter ignorance of what would have

    conferred lasting benefit resulting from the study of outside

    conceptions of morals, science, and politics, (inasmuch as

    neither geography, natural history, mathematics, nor the history

    or languages of other lands forms part of the curriculum,

    these men, trained alone in the classics, have naturally grown

    up with distorted views of their own country. The officials

    are imbued with conceit, ignorance, and arrogance as to its

    power, resources, and comparative influence, and are helpless

    when met by greater skill or strength. However, these disadvantages,

    great as they are and have been, have mostly resulted

    naturally fi-om their secluded position, and are rapidly yielding

    to the new influences which are acting upon government and

    people.^ To one contemplating this startling metamorphosis,

    SALE OF DEGREES a:ND FORGED DIPLOMAS. D6j)

    the foremost wish, indeed, must he that these causes do not

    disinte^’-rate their ancient economies too fast for the recuperation

    and preservation of wliatever is good therein.

    |\nother evil is ^h^ bribery practised to attain the degrees.

    By certain signs placed on the essays, the examiner can easily

    pick out those he is to approve; §8,000 was said to be the

    price of a bachelor’s degree in Canton, but this sum is within

    the reach of few out of the six thousand candidates. The poor

    SL’liolars sell their services to tlie rich, and for a certain price

    will enter the hall of examination, and personate their employer,

    running the risk and penalties of a disgraceful exposure if

    detected ; for a less sum they will drill them before examination,

    or write the essays entirely, which the rich booby must commit

    to memory.) ^The purchase of forged diplomas is another mode

    of obtaining a graduate’s honors, which, from some discoveries

    made at Peking, is so extensively practised, that when this and

    other corruptions are considered, it is surprising that any person

    can be so eager in his studies, or confident of his abilities,

    as ever to think he can get into office by them alone. In 1830,

    the Gazette contained some documents showing that an inferior

    officer, aided by some of the clerks in the Board of Hevenue,

    during the successive superintendence of twenty presidents of

    the Board had sold twenty thousand four hundred and nineteen

    foi-ged diplomas ; and in the ])rovince of Xganhwui, the

    writers in the office attached to the Board of Ileveuue had

    carried on the same practice for four years, and forty-six persons

    in that province were convicted of possessing them. All

    the principal criminals convicted at this time were sentenced to

    decapitation, butCjhese cases are enough to show that the real

    talent of the country does not often find its way into the magistrate’s

    seat without the aid of money ; nor is it likely that the

    tales of such delinquencies often appear in the Gazette. Literary

    chancellors also sell bachelors’ degrees to the exclusion of

    deserving poor scholars ; the office of the // ‘lohchhuj of Kiangsi

    was searched in 1828 by a special commission, and four lacs of

    taels found in it ; he hung himself to avoid further punishment,

    as did also the same dignitary in (^anton in 1833, as was supposed,

    for a similar cause. It is in this way, no doubt, that the ill-fjotten o;ains of most officers return to the o-enenil cirdilation.’

    Notwithstanding these startling corruptions, which seem to

    involve the principle on which the harmony and efficiency of

    the whole machinery of state stand, it cannot be denied, judging

    from tlie results, that the highest officei’s of the Chinese

    government do possess a very respectable rank of talent and

    knowledge, and carry on the unwieldy machine with a degree

    (»f integrity, pati’iotism, industry, and good order which shows

    that the leading minds in it are well chosen. The person who

    has originally obtained his rank by a forged diploma, or by

    direct purchase, cannot hope to rise or to maintain even his first

    standing, without some knowledge and parts. One of the tlu’ce

    commissioners whom Kiying associated with himself in his

    negotiations with the American minister in lS4-i, was a supernumerary

    cluhloi of forbidding appearance, who could hardly

    Avrite a common document, but it was easy to see the low estimation

    the ignoranms was hold in. It may therefore be fairly

    inferred that enough large prizes are drawn to incite successive

    generations of scholars to compete for them, and thus to maintain

    the literary spirit of the people. At these examinations

    the superior minds of the country are brought together in large

    bodies, and thus they learn each others views, and are able to

    check official oppressions with something like a public ojunion.

    In Peking the concourse of several thousands, from the remotest

    provinces, to compete at or assist in the triennial examinations,

    exerts a great and healthy influence upon their rulers

    and themselves. jSTothing like it ever has been seen in any

    other metropolis.

    ^The enjoyment of no small degree of power and influence in

    their native village, is also to be considered in estinuiting the

    rewards of studious toil, whether the student get a diploma or

    not ; and this local consideration is the most common i-eward

    attending the life of a scholar. ^ In those villages where no

    governmental officer is specially appointed, such men are almost

    sure to become the headmen and most influential persons in the

    very spot)where a Chinese loves to be distinguished, (rraduates

    are likewise allowed to erect flag-staffs, or put up a red sign

    INFLUENCE AND IlESPECT OBTAINED BY BACHELORS. 57]

    over the door of tlieir lionses si lowing tlie degree tliev have obtained,

    wliich is both a hariuloss and gratifying reward of

    stud}’/; like the additions of Cant((h. or Odvu.^ D.D. or LL.D.,

    to their owner’s names in other lands.

    (The fortune attending the unsuccessful candidates is various/

    Thousands of them get employment as school-teachers, pettifogging notaries, and clerks in the public offices, and others who are rich return to their families. Some are reduced by degrees to beggary, and resort to medicine, fortune-telling, letter-writing, and other such shifts to eke out a living. Many turn their attention to learning the modes of drawing up deeds and forms used in dealings regarding property ; others look to aiding military men in their duties, and a few turn authors, and thus in one way or another contrive to turn their learning to account.

    During the period of the examinations, when the students are assembled in the capital, the officers of government are careful not to irritate them by punishment, or offend their €ii]^>i-it ile corj)s^ but rather, by admonitions and warnings, induce them to set a good example. The personal reputation of the officer himself has much to do with the influence he exerts over the students, and whether they will heed his cdveats. One of the examiners in Zhejiang, irritated by the impei’tinence of a bachelor, who presumed upon his immunity from corporeal chastisement, twisted his ears to teach him better manners; soon after, the student and two others of equal degree were accused before the same magistrate for a libel, and one of them beaten forty strokes upon his palms. At the ensuing examination, ten of the xiucai indignant at this unauthorized treatment, refused to appear, and all the candidates, when they saw who was to preside, dispersed immediately. In his memorial upon the matter, the governor-general recommends both this officer, and another one who talked much al)Out the affair and produced a great effect upon the public mind, to be degraded, and the bachelors to be stripped of their honors. A magistrate of Honan, having punished a student with twenty blows, the assembled body of students rose and threw their caps on the ground, and walked ofp, leaving him alone. The prefect of Canton, in 1842, having become obnoxious to the citizens from the part lie took in ransoming the city M’lien surrounded by the British forces, the students refused to receive him as their examiuer, and when he appeai’ed in tlie liall to take his seat,

    drove him out of the room by throwing their ink-stones at him ;

    he soon after resigned his statio’N. Perhaps the siu-tsai are

    more impatient than the hu-jin from being better acquainted

    with eacli other, and being examined by local officers, while the

    I’il-jin are overaw’ed by the rank of the commissioners, and,

    coming from distant parts of a large province, have little

    }mitual sympathy or acquaintance. The examining boards,

    however, take pains to avoid displeasing any gathering of graduates.

    We have seen, then, in what has been of necessity a somewhat

    cursory resmue, the management and extent of an institution

    which has opened the avenues of rank to all, by

    teaching candidates how to maintain the principles of liberty

    and equality they had learned from their oft-quoted ‘ancients.’

    All that these institutions need, to secure and promote the highest welfare of the people—as they themselves, indeed, aver—is their faithful execution in every department of government; as we find them, no higher evidence of their remarkable wisdom can be adduced, than the general order and peace of the land. When one sees the injustice and oppressions in law courts, the feuds and deadly fights among clans, the prevalence of lying, ignorance, and pollution among commoners, and the unscrupulous struggle for a living going on in every rank of life, he wonders that Tuiiversal anarchy does not destroy the whole machine. But ‘ the powers that be are ordained of God.”

    The Chinese seem to have attained the great ends of human government to as high a degree as it is possible for man to go without the knowledge of divine revelation. That, in its great truths, its rewards, its hopes, and its stimulus to good acts has yet to be received among them. The course and results of the struggle between the new and the old in the land of Sinim will fomi a remarkable chapter in the history of man.

    FKMA^ EDUCATION IX CHINA. 573

    With regard to female education, it is a singular anomaly among Chinese writers, that while they lay great stress upon maternal instruction in f(u-ining the infant mind, and leading i* on to exoelleiK’O, no more of them should have turned their attention to the preparation ©f hooks for girls, and the establishment of female schools. There are some reasons for the absence of the latter to be found in the state of society, notable among which must stand, of course, the low position of woman in every oriental community, and a general contempt for the capacity of the female mind. It is, moreover, impossible to procure many qualified schoolmistresses, and to this we must add the hazard of sending girls out into the streets alone, where they would run some risk of being stolen. (^~~The principal stimulus

    for boys to study—the hope aiid:”~pi”ospect of office—is

    taken away from girls, and Chinese literature offei’s little to re-|

    pay them for the labor of learning it in addition to all the

    domestic duties which devolve upon them// Nevertheless, education

    is not entirely confined to the sti-onger sex ; seminaries

    for young women are not at all unconnnon in South China, and

    it is not unusual to find private tutors giving instruction to

    young ladies at their houses.* Though this must be regarded

    as a comparative statement, and holding much more for the

    southern than for the northern provinces, on the other hand, it

    may be asserted that literary attainments are considered creditable

    to a wonuin, more than is the case in India or Siam ; the

    names of authoresses mentioned in Chinese annals would make

    a long list. Yuen Yuen, tlie governor general of Canton, in

    1S20, while in office, published a volume of his deceased’s

    daughter’s poetical effusions ; and literary men ai-e usually desirous

    of having their daughters accomplished in music and

    poetry, as well as in composition and classical lore. Such an

    education is considered befitting their station, and reflecting

    credit on the family.

    One of the most celebrated female writers in China is Pan

    Ilwui-pan, also known as Pan Chao, a sister of the historian

    Pan Ivu, who wrote the histoiy of the former Ilan dynasty.

    She M’as appointed historiographer after his death, and completed

    his unfinished annals ; she died at the age of seventy,

    and was honored by the Emperor Ho with a public burial, and

    ‘ Arcluleacon Gray, China, Vol. I., p. 167.

    the title of the (ireat Lady Tsao. About a.d. So, slie was made

    pi”eeeptress of tlie Empress, and wrote the Urst woi-k in any

    language on female education ; it was called Nil Kiai or Fe-

    ‘inale Precej’ts^ and has formed the basis of many succeeding

    books on female education. The aim of her writings was to

    elevate female character, and make it virtuous. She says, ” The

    virtue of a female does not consist altogether in extraordinary

    abilities or intelligence, but in being modestly grave and inviolably

    chaste, observing the requirements of virtuous widowhood,

    and in being tidy in her person and evei-ything about

    her ; in whatever she does to be unassmning, and M’henever she

    moves or sits to be decorous. This is female virtue.” Instruction

    in morals and the various branches of domestic economy

    are more insisted upon in the Mi-itings of this and other authoresses,

    than a knowledge of the classics or histories of the country.

    One of the most distinguished Chinese essayists of modern

    times, Luhchau, published a Avork for the benefit of the sex,

    called the Female Instructor j an extract from liis preface will

    show what ideas are generally entertained on female education

    by Chinese moralists.

    ” The basis of the government of the Empire lies in the habits of the people, and the surety that their usages will be correct is in the orderly management of families, which last depends chiefly upon the females. In the good old times of Cliau, the virtuous women set such an excellent example that it influenced the customs of the Empire—an influence that descended even to the times of the Ching and Wei states. If the curtain of the inner apartment gets thin, or is hung awry [i.e., if the sexes are not kept apart], disorder will enter the family, and viltimately pervade the Empire. Females are doubtless the sources of good manners ; from ancient times to the present this has been the case. The inclination to virtue and vice in women differs exceedingly; their dispositions incline contrary ways, and if it is wished to form them alike, there is nothing like education. In ancient times, youth of both sexes were

    in.structed. According to the A’rtwa^ 0/ 67</<m, ‘the imperial wives regulated the law for educating females, in order to instruct the ladies of the palace in morals, conversation, manners, and work ; and each led out her respective

    (dasses, at proper times, and arranged them for examination in the imperial

    presence.’ But these treatises have not reached us, and it cannot be distinctljr

    ascertained what was their plan of arrangement

    “The t^lncation of a woman and that of a man arc* very <lissimilar. Tlius,

    a man can study during his whole life ; whether he is abroad or at home, lit

    THE “female IISrSTRUCTOR” ON WOMEN”. 575

    can always look into the classics and history, and liecome thorouglily ac-nainted

    wilh the wlioUi range of authors, lint a woman does not study mori; than ten

    years, when she takes upon her the management of a family, whave a multiplicity

    of cares distract her attention, and having no leisure lor undisturbed

    study, she cannot easily understand learned authors ; not having obtained a

    thorough acquaintance with letters, she does not fully comprehend their principles

    ; and like water that has flowed from its fountain, she cannot regulate

    lier conduct by their guidance. How can it be said that a standard work on

    female education is not wanted 1 Every profession and trade has its appropriate

    master ; and ought not those also who possess sucli an influence over manners

    [as females] to be tanght their duties and tluir proper limits ? It is a

    matter of regret, that in these books no extracts liave been made from the

    works of Confucius in order to make them introductory to the writings on polite

    literature ; and it is also to be regretted that selections have not been made

    from the commentaries of Clung, Chu, and other scholars, who have explained

    his writings clearly, as also from the whole range of writers, gathering from

    them all that which was appropriate, and omitting the rest. These are circulated

    among mankind, together with such books as the Juvenile InstrucU/i’

    ;

    yet if they are put into the hands of females, they cause them to become like a

    blind man without a guide, wandering hither and thither without knowing

    where he is going. There has been this great deficiency from very remote times until now.

    “Woman’s influence is according to her moral character, there Tore that point

    is largely explained. First, concerning her obedience to her husband and to

    liis parents ; then in regard to her complaisance to his brothers and sisters,

    and kindness to her sisters-in-law. If unmarried, she has duties toward her

    parents, and to the wives of her elder brothers ; if a principal wiie, a woman

    must have no jealous feelings ; if in straitened circumstances, she must be

    contented with her lot ; if rich and honorable, she must avoid extravagance

    and haughtiness. Then teach her, in times of trouble and in days of ease,

    how to maintain her purity, how to give importance to right principles, how

    to observe widowhood, and how to avenge the murder of a relative. Is she

    a mother, let her teach lier children ; is she a step-mother, let her love

    and cherish her husband’s children ; is her rank in life high, let her be

    condescending to her inferiors ; let her wholly discard all sorcerers, superstitious

    nuns, and witches ; in a word let her adhere to propriety and avoid

    vice.

    “In conversation, a female should not be freward and garrulous, but observe

    strictly what is correct, whether in suggesting advice to her husband, in

    remonstrating with him, or teaching her children, in maintaining etiquette,

    humbly imparting her experience, or in averting misfortune. The deportment

    of females should be strictly grave and sober, and yet adapted to the occasion

    ; whether in waiting on her parents, receiving or reverencing her husband,

    rising up or sitting down, when pregnant, in times ol’ mourning, or when

    fleeing in war, she should be perfectly decorous. Rearing the silkworm and

    working cloth are the most important of the employments of a female ; pre’

    paring and serving up the food for the household, and setting lu order th* sacrificee, follow next, each of which must be attended to ; after them, studj

    and learning can fill up the time.” ‘

    The work thus prefaced, is similar to Sprague’s Letters to a

    Daughter, rather than to a text-book, or a inaiiual intended to

    be read and obeyed rather than recited by young ladies. Happy

    would it be for the country, however, if the instructions given

    by this moralist were followed ; it is a credit to a pagan, to write

    such sentiments as the followinor : ” Durino; infancv, a child ardently

    loves its mother, who knows all its traits of goodness: while the father, perhaps, cannot know about it, there is nothing

    which the mother does not see. Wherefore the mother teaches

    more effectually, and only by her unwise fondness does her son

    become more and more proud (as musk by age becomes sourer

    and stronger), and is thereby nearly ruined.”—*’ Heavenly order

    is to bless the good and curse the vile ; he who sins against it

    will certainly receive his punishment sooner or later : from lucid

    instruction springs the happiness of the world. If females are

    unlearned, they will be like one looking at a wall, they will know

    nothing : if they are taught, they will know, and knowing they

    will imitate their examples.”

    It is vain to expect, however, that any change in the standing

    of females, or extent of their education, will take place until influences

    from abroad are brought to bear upon them—until the

    same work that is elswhere elevating them to their proper place

    in society by teaching them the principles on which that elevation

    is founded, and how they can themselves maintain it, is

    begun. The Chinese do not, by any means, make slaves of their

    females, and if a comparison be made between their condition in

    China and other modern unevangelized countries, or even with

    ancient kingdoms or Moslem races, it will in many points acquit

    them of much of the obloquy they have received on this behalf.

    There are some things which tend to show that more of the

    sex read and write sufficiently for the ordinary purposes of life,

    than a slight examination would at first indicate. Among these

    may be mentioned the letter-writers compiled for their use, in

    which instructions are given for every variety of note and epis-

    ‘ Chinese lieposltorij, Vol. IX., p. 543.

    EXTRACT FROM A GIHLs’ PRIMER. 577

    tie, except, perhaps, love letters. The works just inentioiied, intended

    for their improvement, form an additional fact. A

    Mancliu official of rank, named Sin-kwau, who rose to be governor

    of Kiangsi in Kiaking’s reign, wrote a primer in 1838, for

    girls, called the Nu-rh Yu, or ‘ Words/or Women and Girls.”

    It is in lines of four characters, and consists of aphorisms and

    short pi-ecepts on household management, behavior, care of

    children, neatness, etc., so written as to be easily memorized.

    It shows one of the ways in which literary men interest themselves, in educating youth, and further that there is a demand for such books. A few lines from this primer will exhibit its tenor
    Vile looks should never meet your eye,
    Nor filthy words defile your ear ;
    Ne’er look on men of utterance gross,
    Nor tread the ground which they pollute.
    Keep back the heart from thoughts impure,
    Nor let your hands grow fond of sloth ;
    Then no o’ersight or call deferred
    Will, when you’re pressed, demand your time
    In all your care of tender babes,
    Mind lest they’re fed or warmed too much;
    The childish liberty first granted
    Must soon he checked by rule and rein;
    Guard them from water, fire, and fools ;
    Mind lest they’re hurt or maimed by falls.
    All flesh and fruits when ill with colds
    Are noxious drugs to tender bairus—
    Who need a careful oversight,
    Yet want some license in their play.
    Be strict in all you bid them do.
    For this will guard from ill and woe.

    The pride taken by girls in showing their knowledge of letters is evidence that it is not common, while the general respect in which literary ladies ai-e held proves them not to be so very rare ; though for all practical good, it may be said that half of the Chinese people know nothing of books. The fact that female education is so favorably regarded is encouraging to those philanthropic persons and ladies who are endeavoring to establish female schools at the mission stations, since they have not preiudice to contend with in addition to ignorance.

  • WELLS WILLIAMS《The Middle Kingdom》1-5

    The Middle Kingdom: A SURVEY OP THE GEOGRAPHY, GOVERNMENT. LITERATURE, SOCIAL LIFE, ARTS, AND HISTORY of THE CHINESE EMPIRE ITS INHABITANTS
    S. WELLS WILLIAMS, LL.D.
    Professor of the Chinese language and literature at tale college; author or TONIC AND STLLABIO DICTIONARIES OF THE CHINESE LANOUAOE
    1913

    PREFACE
    During the thirty-five years which have elapsed since the first edition of this work was issued, a greater advance has probably been made in the political and intellectual development of China than within any previous century of her history. While neither the social habits nor principles of government have so far altered as to necessitate a complete rewriting of these pages, it will be found, nevertheless, that the present volumes treat of a reformed and in many respects modern nation. Under the new regime the central administration has radically increased its authority among the provincial rulers, and more than ever in former years has managed to maintain control over their pretentions. The Empire has, moreover, established its foreign relations on a well-understood basis by accredited envoys; this will soon affect the mass of the people by the greater facilities of trade, the presence of travelers, diffusion of education, and other agencies which are awaking the people from their lethargy. Already the influences which will gradually transform the face of society are mightily operating.
    The changes which have been made in the book comprise such alterations and additions as were necessary to describe the country under its new aspects. In the constant desire to preserve a convenient size, every doubtful or superfluous sentence has been erased, while the new matter incorporated has increased the bulk of the present edition about one-third. The arrangement of chapters is the same. The first four, treating of the geography, combine as many and accurate details of recent explorers or residents as the proportions of this section will permit. The extra-provincial regions are described from the researches of Russian, English, and Indian travelers of the last twenty years. It is a waste, mountainous territory for the most part and can never support a large population. Great pains have been taken by the cartographer, Jacob Wells, to consult the most authentic charts in the construction of the map of the Empire. By collating and reducing to scale the surveys and route charts of reliable travelers throughout the colonies, he has produced in all respects as accurate a map of Central Asia as is at this date possible. The Eighteen Provinces are in the main the same as in my former map.
    The chapter on the census remains for the most part without alteration, for until there has been a methodical inspection of the Empire, important questions concerning its population must be held in abeyance. It is worth noticing how generally the estimates in this chapter—or much larger figures—have since its first publication been accepted for the population of China. Foreign students of natural history in China have. by their researches in every department, furnished material for more extensive and precise descriptions under this subject than could possibly have been gathered twoscore years ago. The sixth chapter has, therefore, been almost wholly rewritten, and embraces as complete a summary of this wide field as space would allow or the general reader tolerate. The specialist will, however, speedily recognize the fact that this rapid glance serves rather to indicate how immense and imperfectly explored is this subject than to describe whatever is known.

    That portion of the first volume treating of the laws and their administration does not admit of more than a few minor changes. However good their theory of jurisprudence, the people have many things to bear from the injustice of their rulers, but more from their own vices. The Peking Gazette is now regularly translated in the Shanghai papers, and gives a coup devil of the administration of the highest value.

    The chapters on the languages and literature are considerably improved. The translations and text-books which the diligence of foreign scholars has recently furnished could be only partially enumerated, though here, as elsewhere in the work, references in the foot-notes are intended to direct the more interested student to the bibliography of the subject, and present him with the materials for an exhaustive study. The native literature is extensive, and all branches have contributed somewhat to form the resume which is contained in this section, giving a preponderance to the Confucian classics. The four succeeding chapters contain notices of the arts, industries, domestic life, and science of the Chinese—a necessarily rapid survey, since these features of Chinese life are already well understood by foreigners. Nothing, however, that is either original or peculiar has been omitted in the endeavor to portray their social and economic characteristics. The emigration of many thousands of the people of Kwangtung within the last thirty years has made that province a representative among foreign nations of the others; it may be added that its inhabitants are well fitted, by their enterprise, thrift, and maritime habits, to become types of the whole.

    The history and chronology are made fuller by the addition of several facts and tables(An alphabetical arrangement of all the tables scattered throughout the work may be found, under this word in the Index.) ; but the field of research in this direction has as yet scarcely been defined, and few certain dates have been determined prior to the Confucian era. The entire continent of Asia must be thoroughly investigated in its geography, antiquities, and literature in order to throw light on the eastern portion. The history of China offers an interesting topic for a scholar who would devote his life to its elucidation from the mass of native literature.
    The two chapters on the religions, and what has been done within the past half century to promote Christian missions, are somewhat enlarged and brought down to the present time. The study of modern scholars in the examination of Chinese religious beliefs has enabled them to make comparisons with other systems of Asiatics, as well as discuss the native creeds with more certainty.
    The chapter on the commerce of China has an importance commensurate with its growing amount. Within the past ten years the opium trade has been attacked in its moral and commercial bearings between China, India, and England. There are grounds for hope that the British Government will free itself from any connection with it, which will be a triumph of justice and Christianity. The remainder of Volume II. Describes events in the intercourse of China with the outer world, including a brief account of the Tai-ping Rebellion, which proximately grew out of foreign ideas. No connected or satisfactory narrative of the events which have forced one of the greatest nations of the world into her proper position, so far as I am aware, has as yet been prepared. A succinct recital of one of the most extraordinary developments of modern times should nut be without interest to all.
    The work of condensing the vast increase of reliable information upon China into these two volumes has been attended with considerable labor. Future writers will, I am convinced, after the manner of Richthofen, Yule, Legge, and others, confine themselves to single or cognate subjects rather than attempt such a comprehensive synopsis as is here presented. The number of illustrations in this edition is nearly doubled, the added ones being selected with particular reference to the subject-matter. I have availed myself of whatever sources of information I could command, due acknowledgment of which is made in the foot-notes, and ample references in the Index.
    The revision of this book has been the slow though constant occupation of several years. When at last I had completed the revised copy and made arrangements as to its publication, in March, 1882, my health failed, and under a partial paralysis I was rendered incapable of further labor. My son, Frederick Wells Williams, who had already looked over the copy, now assumed entire charge of the publication. I had the more confidence that he would perform the duties of editor, for he had already a general acquaintance with China and the books which are the best authority. The work has been well done, the last three chapters particularly having been improved under his careful revision and especial study of the recent political history of China. The Index is his work, and throughout the book I am indebted to his careful supervision, especially on the chapters treating of geography and literature. By the opening of this year I had so far recovered as to be able to superintend the printing and look over the proofs of the second volume.
    My experiences in the forty-three years of my life in China were coeval with the changes which gradually culminated in the opening of the country. Among the most important of these may be mentioned the cessation of the East India Company in 1834, the war with England in 1841-42, the removal of the monopoly of the hong merchants(特许商行), the opening of five ports to trade, the untoward attack on the city of Canton which grew out of the lorcha Arrow, the operations in the vicinity of Peking, the establishment of foreign legations in that city, and finally, in 1873, the peaceful settlement of the kotow, which rendered possible the approach of foreign ministers to the Emperor’s presence. Those who trace the hand of God in history will gather from such rapid and great changes in this Empire the foreshadowing of the fulfilment of his purposes ; for while these political events were in progress the Bible was circulating, and the preaching and educational labors of missionaries were silently and with little opposition accomplishing their leavening work among the people.

    On my arrival at Canton in 1833 I was officially reported, with two other Americans, to the hong merchant Kingqua as fan-kwai, or ‘foreign devils,’ who had come to live under his tutelage. In 1874, as Secretary of the American Embassy at Peking, I accompanied the Hon. B. P. Avery to the presence of the Emperor Tungchi, when the Minister of the United States presented his letters of credence on a footing of perfect equality with the ‘Son of Heaven.’ With two such experiences in a lifetime, and mindful of the immense intellectual and moral development which is needed to bring an independent government from the position of forcing one of them to that of yielding the other, it is not strange that I am assured of a great future for the sons of Han; but the progress of pure Christianity will be the only adequate means to save the conflicting elements involved in such a growth from destroying each other. Whatever is in store for them, it is certain that the country has passed its period of passivity. There is no more for China the repose of indolence and seclusion—when she looked down on the nations in her overweening pride like the stars with which she could have no concern.

    In this revision the same object has been kept in view that is stated in the Preface to the first edition—to divest the Chinese people and civilization of that peculiar and indefinable impression of ridicule which has been so generally given them by foreign authors. I have endeavored to show the better traits of their national character, and that they have had up to this time no opportunity of learning man}’ things with which they are now rapidly becoming acquainted. The time is speedily passing away when the people of the Flowery Land can fairly be classed among uncivilized nations. The stimulus which in this labor of my earlier and later years has been ever present to my mind is the hope that the cause of missions may be promoted. In the success of this cause lies the salvation of China as a people, both in its moral and political aspects. This success bids fair to keep pace with the needs of the people. They will become fitted for taking up the work themselves and joining in the multiform operations of foreign civilizations. Soon railroads, telegraphs, and manufactures will be introduced, and these must be followed by whatsoever may conduce to enlightening the millions of the people of China in every department of religious, political, and domestic life.
    The descent of the Holy Spirit is promised in the latter times, and the preparatory work for that descent has been accomplishing in a vastly greater ratio than ever before, and with increased facilities toward its final completion. The promise of that Spirit will fulfil the prophecy of Isaiah, delivered before the era of Confucius, and God’s people will come from the land of Sinim and join in the anthem of praise with every tribe under the sun.
    S. w. w. New Haven, July, 1883.

    CONTENTS OF VOLUME I & VOLUME II

    CHAPTER I. General Divisions and Features of the Empire
    Unusual interest involved in the study of China ; The name China probably a corruption of Tsin; Other Asiatic names for the country; Ancient and modern native designations; Dimensions of the Empire; Its three Grand Divisions :The Eighteen Provinces, Manchuria, and Colonies; China Proper, its names and limits; Four large mountain chains; The Tien shan. ibid.: The Kwanlun; The Hing-an and Himalaya systems; Pumpelly’s ” Sinian System” of mountains; The Desert of Gobi and Sha-moh; Its character and various names; Rivers of China : The Yellow River; The Yangtsz’ River; The Chu or Pearl River;Lakes of China; Boundaries of China Proper; Character of its coast; The Great Plain; The Great Wall of China, its course; Its construction and aspect; The Grand Canal,; Its history and present condition; Minor canals; Public roads, De Guignes’ description, ibid.; General aspects of a landscape; Physical characteristics of the Chinese; The women; Aborigines: Miaotsz’, Lolos, Limus, and others; Manchus and Mongols; Attainments and limits of Chinese civilization
    CHAPTER II. Geographical Description of the Eastern Provinces
    Limited knowledge of foreign countries; Topographies of China numerous and minute; Climate of the Eighteen Provinces; Of Peking and the Great Plain; Of the southern coast towns; Contrast in rain-fall between Chinese and American coasts; Tyfoons; Topographical divisions into Fu, Ting, Chan, and Hien; Position and boundary of Chihli Province; Table of the Eighteen Provinces, their subdivisions and government; Situation, size, and history of Peking; Its walls and divisions; The prohibited city (Tsz’ Kin Ching) and imperial residence; The imperial city (Huang Ching) and its public buildings; The so-called “Tartar City”; The Temples of Heaven and of Agriculture; Environs of Peking; Tientsin and the Pei ho; Dolon-nor or Lama-miao; Water-courses and productions of the province; The Province of Shantung; Tai shan, the ‘Great Mount’; Cities, productions, and people of Shantung; Shansi, its natural features and resources; Taiyuen, the capital; Roads and mountain passes of Shansi; Position and aspect of Honan Province, ibid.; Kaifung, its capital; Kiangsu Province, ibid.; Its fertility and abundant water-ways; Nanking, or Kiangning, the capital; Porcelain Tower of Nanking; Suchau, “the Paris of China”; Chinkiang and Golden Island; Shanghai; The Province of Nganhwui; Nganking, Wuhu, and Hwuichau; Kiangsi Province; Nanchang, its capital, and the River Kan; Porcelain vvorks at Kingteh in Jauchau; Chehkiang Province, its rivers; Hangchau, the capital; Ningpo; Chinhai ano the Chusan Archipelago; Chapu, Canfu, and the “Gates of China,”; Fuhkien Province, ibid. : The River Min, Fuhchau; Amoy and its environs; Chinchau (Tsiuenchau), the ancient Zayton; Position, inhabitants, and productions of Formosa; The Pescadore Islands
    CHAPTER III. Geographical Description of the Western Provinces
    The Province of Hupeh; The three towns, Wuchang, Hanyang, and Hankow; Scenery on the Yangtsz’ kiang; Hunan Province, its rivers and capital city; Shensi Province; The city of Si-ngan; Topography and climate of Kansuli Province; Sz’chuen Province and its four streams; Chingtu fu and the Min Valley; The Province of Kwangtung; Position of Canton, or Kwangchau; Its population, walls, general appearance; Its streets and two pagodas; Temple of Longevity and Honam Josshouse; Other shrines and the Examination Hall; The foreign factories, or ‘Thirteen Hongs’; Sights in the suburbs of Canton; Whanipoa and Macao; The colony of Hongkong; Places of interest in Kwangtiing; The Island of Hainan; Kwangsi Province; Kweichau Province; The Miaotsz’; The Province of Yunnan; Its topography and native tribes; Its mineral wealth
    CHAPTER IV. Geographical Description of Manchuria, Mongolia, Ili, and Tibet
    Foreign and Chinese notions of the land of Tartary; Table of the Colonies, their subdivisions and governments; Extent of Manchuria; Its mountain ranges; The Amur and its affluents, the Ingoda, Argun, Usuri, and Songari; Natural resources of Manchuria; The Province of Shingking, ibid.; Its capital, Mukden, and other towns; Climate of Manchuria; The Province of Kirin; The Province of Tsi-tsi-har; Administration of government in Manchuria; Extent of Mongolia; Its climate and divisions; Inner Mongolia; Outer Mongolia; Urga, its capital, ibid. ; Civilization and trade of the Mongols; Kiakhta and Maimai chin; The Province of Cobdo; The Province of Koko-nor, or Tsing hai; Its topography and productions; Towns between Great Wall and Ili; Position and topography of ill; Tien-shan Peh Lu, or Northern Circuit; Kuldja, its capital; Tien-shan Nan Lu, or Southern Circuit; The Tarim Basin, ibid. ; Cities of the Southern Circuit; Kashgar, town and government; Yarkand; The District of Khoten; Administration of government in Ili; History and conquest of the country; Tibet, its boundaries and names; Topography of the province; Its climate and productions; The yak and wild animals, ibid. ; Divisions: Anterior and Ulterior Tibet; Il’lassa, the capital city; Manning’s visit to the Dalai-lama; Shigatsi’, capital of Ulterior Tibet; Om mani padmi hum; Manners and customs in Tibet; Language; History; Government
    CHAPTER V. Population and Statistics
    Interest and difficulties of this subject; Ma Twan-lin’s study of the censuses; Tables of various censuses; These estimates considered in detail; Four of these are reliable; Evidence in their favor; Comparative population-density of Europe and China; Proportion of arable and unproductive land; Sources and kinds of food in China; Tendencies toward increase of population; Obstacles to emigration; Government care of the people; Density of population near Canton, ibid; Mode of taking the census under Kublai khan; Present method; Reasons for admitting the Chinese census; Two objections to its acceptance; Unsatisfactory statistics of revenue in China; Revenue of Kwangtung Province; Estimates of Medhurst, De Guignes, and others; Principal items of expenditure; Pay of military and civil officers; The land tax
    CHAPTER VI. Natural History of China
    Foreign scientists and explorers in China; Interesting geological features; Loess formation of Northern China, ibid. : Its wonderful usefulness and fertility; Baron Richthofen’s theory as to its origin; Minerals of China Proper : Coal; Building stones, salts, jade, etc.; The precious metals and their production; Animals of the Empire; Monkeys; Various carnivorous animals; Cattle, sheep, deer, etc.; Horses, pigs, camels, etc.; Smaller animals and rodents; Cetacea in Chinese waters; Birds of prey; Passerinse, song-birds, pies, etc.; Pigeons and grouse; Varieties of pheasants; Peacocks and ducks; An aviary in Canton; Four fabulous animals : The ki-Un; The fung-huang, or phoenix; The lung, or dragon, and kuei, or tortoise; Alligators and serpents; Ichthyology of China; Gold-fish and methods of rearing them; Shell-fish of the Southern coast; Insects : Silk-worms and beetles; Wax-worm : Native notions of insects; Students of botany in China; Flora of Hongkong, coniferae, grasses; The bamboo; Varieties of palms, lilies, tubers, etc.; Forest and timber growth; Rhubarb, the Chinese ‘ date ‘ and ‘ olive’; Fruit-trees; Flowering and ornamental plants; The Pun tsito, or Chinese herbal; Its medicine and botany; Its zoology; Its observations on the horse; State of the natural sciences in China
    CHAPTER VII. Laws of China, and Plan of its Government
    Theory of the Chinese Government patriarchal; The principles of surveillance and mutual responsibility; The Penal Code of China; Preface by the Emperor Shunchi; Its General, Civil, and Fiscal Divisions; Ritual, Military, and Criminal Laws; The Code compares favorably with other Asiatic Laws; Defects in the Chinese Code; General survey of the Chinese Government; 1, The Emperor, his position and titles, ibid. ; Proclamation of Hungwu, first Manchu Emperor; Peculiarities in the names of Emperors; The Kicoh Imo, or National, and Miiio hao, or Ancestral Names; Style of an Imperial Inaugural Proclamation; Programme of Coronation Ceremonies; Dignity and Sacredness of the Emperor’s Person; Control of the Right of Succession; The Imperial Clan and Titular Nobles; 2, The Court, its internal arrangements; The Imperial Harem; Position of the Empress-dowager; Guard and Escort of the Palace; 3, Classes of society in China; Eight privileged classes; The nine honorary “Buttons,” or Rank; 4, The central administration; The Nui Koh, or Cabinet; The Kinn-ki Chu, or General Council; The King Pao, or Peking Gazette; The Six Boards(a), of Civil Office—Li Pu; (b), of Revenue—Hu PU; (c), of Rites— Li Pu; {d), of War—Ping Pu; {e), of Punishments—Hing Pu; (f), of War—Ping Pu; The Colonial Office; The Censorate; Frankness and honesty of certain censors; Courts of Transmission and Judicature; The Hanlin Yuen, or Imperial Academy; Minor courts and colleges of the capital; 5, Provincial Governments; Governors-general (tsungtuh) and Governors (futai); Subordinate provincial authorities; Literary, Revenue, and Salt Departments; Tabular Resume of Provincial Magistrates; Military and Naval control; Special messengers, or commissioners
    CHAPTER VIII. Administration of the Laws
    6, Execution of laws, checks upon ambitious officers; Triennial Catalogue and its uses; Character and position of Chinese officials; The lied Book, or status of office-holders; Types of Chinese high officers : Duke Ho; Career of Commissioner Sung; Public lives of Commissioners Lin and Kiying; Popularity of upright officers. Governor Chu’s valedictory; Official confessions and petitions for punishment; Imperial responsibility for public disasters; A prayer for rain of the Emperor Taukwang; Imperial edicts, their publication and phraseology; Contrast between the theory and practice of Chinese legislation; Extortions practised by officials of all ranks; Evils of an ill-paid police; Fear and selfishness of the people; Extent of clan systems among them; Village elders and clan rivalries; Dakoits and thieves throughout the country; Popular associations—character of their manifestoes; Secret societies. The Triad, or Water-Lily Sect; A Memorial upon the Evils of Mal-Administration; Efforts of the authorities against brigandage; Difficulties in collecting the taxes; Character of proceedings in the Law Courts; Establishments of high magistrates; Conduct of a criminal trial; Torture employed to elicit confessions; The five kinds of punishments; Modes of executing criminals; Public prisons, their miserable condition; The influence of public opinion in checking oppression
    CHAPTER IX. Education and Literary Examinations
    Stimulus of literary pursuits in China; Foundation of the present system of competition; Precepts controlling early education; Arrangements and curriculum of boys’ schools; Six text-books employed : 1, The ‘Trimetrical Classic’; 2, The ‘Century of Surnames,’ and 3, ‘ Thousand-Character Classic’; 4, The ‘ Odes for Children’; 5, The Hiao King, or ‘ Canons of Filial Duty,’; 6, The Siao Hioh, or ‘Juvenile Instructor,’; High schools and colleges; Proportion of readers throughout China; Private schools and higher education; System of examinations for degrees and public offices; Preliminary trials; Examination for the First Degree, Siu-tsai,; For the Second Degree, Kil-jin,; Example of a competing essay,; Final honors conferred at Peking; A like system applied to the military; Workings and results of the system of examinations,; Its abuses and corruption; Social distinction and influence enjoyed by graduates; Female education in China; Authors and school-books employed
    CHAPTER X Structure of the Chinese Language
    Influence of the Chinese language upon its literature; Native accounts of the origin of their characters; Growth and development of the language; Characters arranged into six classes; Development from hieroglyphics; Phonetic and descriptive properties of a character; Arrangement of the characters in lexicons; Classification according to radicals; Mass of characters in the language; Six styles of written characters; Their elementary strokes; Ink, paper, and printing; Manufacture and price of books; Native and foreign movable types; Phonetic character of the Chinese language; Manner of distinguishing words of like sound; The Shing, or tones of the language; Number of sounds or words in Chinese; The local dialects and patois; Court or Mandarin dialect; Other dialects and variations in pronunciation; Grammar of the language; Its defects and omissions; Hints for its study; Pigeon English
    CHAPTER XI. Classical Literature of the Chinese
    The Imperial Catalogue as an index to Chinese literature; The Five Classics : I. The Yih King, or ‘Book of Changes’; II. The Shu King, or ‘ Book of Records’; III. The Shi King, or ‘ Book of Odes’; IV. The Li Ki, or ‘ Book of Rites,’ and other Rituals; V. The Chun Tsui, or ‘ Spring and Autumn Record’; The Four Books : 1, The ‘Great Learning’ 2, The ‘Just Medium’; 3, The Lun Yu, or ‘ Analects ‘ of Confucius; Life of Confucius; Character of the Confucian System of Ethics; 4, The Works of Mencius; His Life, and personal character of his Teachings; Dictionary of the Emperor Kanghi
    CHAPTER XII. Polite Literature of the Chinese
    Character of Chinese Ornamental Literature; Works on Chinese History; Historical Novels; The ‘ Antiquarian Researches ‘ of Ma Twan-lin; Philosophical Works : Chu Hi on the Primum Mobile; Military, Legal, and Agricultural Writings; The Shing Yu, or ‘Sacred Commands’ of Kanghi; Works on Art, Science, and Encyclopedias; Character and Examples of Chinese Fiction; Poetry: The Story of Li Tai-peh; Modern Songs and Extempore Verses; Dramatic Literature, burlettas; ‘The Mender of Cracked Chinaware ‘—a Farce; Deficiencies and limits of Chinese literature; Collection of Chinese Proverbs
    CHAPTER XIII. Architecture, Dress, and Diet of the Chinese
    Notions entertained by foreigners upon Chinese customs; Architecture of the Chinese; Building materials and private houses; Their public and ornamental structures; Arrangement of country houses and gardens; Chinese cities: shops and streets; Temples, club-houses, and taverns; Street scenes in Canton and Peking; Pagodas, their origin and construction; Modes of travelling; Various kinds of boats; Living on the water in China; Chop-boats and junks; Bridges, ornamental and practical; Honorary Portals, or Pai-lan; Construction of forts and batteries; Permanence of fashion in Chinese dress; Arrangement of hair, the Queue; Imperial and official costumes; Dress of Chinese women; Compressed feet : origin and results of the fashion; Toilet practices of men and women; Food of the Chinese, mostly vegetable; Kinds and preparation of their meats; Method of hatching and rearing ducks’ eggs; Enormous consumption of fish; The art of cooking in China
    CHAPTER XIV. Social Life among the Chinese
    Features and professions in Chinese society; Social relations between the sexes; Customs of betrothment and marriage; Laws regulating marriages; General condition of females in China; Personal names of the Chinese; Familiar and ceremonial intercourse : The Kotow; Forms and etiquette of visiting; A Chinese banquet; Temperance of the Chinese; Festivals ; Absence of a-Sabbath in China; Customs and ceremonies attending New-Year’s Day; The dragon-boat festival and feast of lanterns; Brilliance and popularity of processions in China; Play-houses and theatrical shows; Amusements and sports : Gambling, chess; Contrarieties in Chinese and Western usage Strength and weakness of Chinese character; Their mendacity and deceit
    CHAPTER XV.  INDUSTRIAL ARTS OF THE CHINESE
    Tenure of land in China; Agricultural utensils; Horse-shoeing; Cultivation of rice; Terraces and methods of irrigation; Manner of using manure; Hemp, the mulberry sugar, and the tallow-tree; Efforts in arboriculture; Celebration of the annual ploughing ceremony; Modes of catching and rearing fish; Mechanical arts, metallurgy; Glass and precious stones; Ingredients and manufacture of porcelain; Its decoration; Chinese snuff-bottles discovered in Egyptian tombs; The preparation of lacquered-ware; Silk culture and manufacture in China; Chinese skill in embroidery; Growth and manufacture of cotton; Leather, felt, etc.; Tea culture, 39 ; Method of curing and preparing, 42 ; Green and black teas, 44 ; Historical notice; Constituents and effects of tea; Preparation of cassia (cinnamomum) and camphor; Ingenious methods of Chinese craftsmen; The blacksmith and dish-mender; Carving in wood and ivory, 59 ; Manufacture of cloisonne, matting, etc.• General aspect of Chinese industrial society.
    CHAPTER XVI.  Science Among the Chinese
    Attainments of the Chinese in the exact sciences : Arithmetic; Astronomy, 68 ; Arrangement of the calendar, 69 ; Divisions of the zodiac, 71 ; Chinese observations of comets and eclipses; Their notions concerning the “Action and Reaction of the Elements,”; Astronomical myths: Story of the herdsman and weaver-girl; Divisions of the day : arrangement of the almanac, 79 ; Geographical knowledge, 80 ; Measures of length, money, and weight, 81 ; System of banks and use of paper money, 85 ; Pawnshops, 8G ; Popular associations, or huni; The theory and practice of war, arms in use, 89 ; Introduction and employment of gunpowder, 90 ; Chinese policy in warfare; Their regard for music, 94; Examples of Chinese tunes; Musical instruments, 99 ; Dancing and posture-making; Drawing and painting, 105 ; Samples of Chinese illustrative art, 107 ; Their symbolism. 111 ; Paintings on pith-paper and leaves, 113; Sculpture and architecture, 115; Notions on the internal structure of the human body, 119; Functions of the viscera and their connection with the yin and yang; Surgical operations, 123 ; A Chinese doctor, 125 ; Drugs and medicines employed, 127 ; The common diseases of China, 129 ; Native treatises on medicine.
    CHAPTER XVII.  History and Chronology of China
    General doubts and ignorance concerning the subject, 136 ; The mythological period, 137 ; Chinese notions of cosmogony, 138 ; The god Pwanku; Chu Hi’s cosmogony; The legendary period, Fuh-hi, 143 ; The eight monarchs, 145 ; Hwangti and the sexagenary cycle, 146 ; The deluge of Yao, 147 ; The historical period : The Hia dynasty, 148 ; Yu the Great, his inscription on the rocks of Kau-lan shan; Records of the Hia, 152 ; The Shang dynasty; Chau-sin; Rise of the house of Chau, 157 ; Credibility of these early annals, 159 ; The Tsin dynasties, Tsin Chi Hwangti; The dynasty of Han; From the Han to the Sui, 165 ; The great Tang dynasty; Taitsung and the Empress Wu, 169 ; The Five Dynasties, 172; Tlie Sung dynasty; The Mongol conquest, Kublai Khan, 175; The Mings, 177; The Manchus, or Tsing dynasty, 179; Kanghi, 180; Yungching and Kienlung, 181; Kiaking and Taukwang, 183; Tables of the monarchs and dynasties.
    CHAPTER XVIII. REHGION OF THE CHINESE
    Causes of the perpetuity of Chinese institutions, 188 ; Isolation of the people, 189; The slight influence upon them of foreign thought and customs, 191 ; Their religious belief’s, two negative features; Three sects: the State religion, called Confucianism; Objects and methods of State worship, The Emperor as High Priest, 198 ; The Ju kino, or Sect of Literati, 15)9 ; Religious functions of government officers, 202 ; Purity and coldness of this religious system, 205 ; Rationalism (Tao kia), Lau-tsz’ its founder, 207 ; His classic, the Tao-the King, 208 ; Visit of Confucius to the philosopher Lau-tsz’, 212; Rites and mythology of the Taoists, 214; Their degeneracy into fetich worshippers, 215 ; Their organization, 217 ; The Sect of Fuh, or Buddhism, 218 ; Life of Buddha, 219 ; Influence of the creed among the people, 221 ; Checks to its power; Its tenets and liturgy, 224 ; Opposition to this sect by the literati, 227 ; Perpetuated in monasteries and nunneries; Similarity between the, Buddhist and Roman Catholic rites; Shamanism, its form in Tibet and Mongolia, 233 ; Buddhist temples, 235 ; Ancestral worship, its ancient origin; Its influence upon the family and society, 237 ; Infanticide in China, its prevalence, 239 ; Comparison with Greece and Rome; Customs and ceremonies attending a decease, 243 ; Funerals and burial-places, 245 ; Funtj-slnit, 240 ; Interment and mourning; Family worship of ancestors, 250 ; Character of the rites, 253 ; Popular superstitions, 255 ; Dread of wandering ghosts, 257 ; Methods of divination, 200 ; Worship at graves and shrines, 262 ; Chinese benevolent institutions and the practice of charity, 263 ; General condition of religion among them; Secret societies, 267 ; Mohammedanism in China; Jews in Kaifung, 271 ; Their miserable condition.
    CHAPTER XIX. RISTIAN Missions Among the Chinese
    Arrival of the Nestorians in China; The tablet of Si-ngan; Prester John and traces of Nestorian labors, 286 ; First epoch of Roman Catholic missions in Eastern Asia; John of Montecorvino, ibid.; Other priests of the fourteenth century; Second period : Xavier’s attempt, 289 ; Landing of Ricci; His life and character, 292 ; The Jesuits in Peking; Faber, 295 ; Adam Schaal; Verbiest; Discussion concerning the rites, 299 ; The Pope and the Emperor Kanghi; Quarrels between the missionaries, 302; Third period: The edict of Yungching expels the Catholics; Statistics of their numbers, 307 ; Their methods : the baptism of dying infants; Collisions between converts and magistrates; Pagan and Christian superstitions: casting out devils; Character of Catholic missionary work, 317; Protestantism in China : The arrival of Morrison in Canton, 318 ; His missionary and literary work, 320 ; Comparison with that of Ricci; Protestant missions among the Chinese of the Archipelago Early efforts, tract distribution, 328 ; Gutzlaff’s voyages along the coast; Foundation of the Medical Missionary Society; Success of hospital work among the natives; Society for the Diffusion of Useful Knowledge in China; The Morrison Education Society, 341 ; Protestant mission work at Canton; At Amoy and Fuhchan, 348 ; In Chehkiang province; At Shanghai, 352 ; Toleration of Christianity in China obtained through Kiying; Policy of the government toward missionaries, 359 ; Articles of toleration in the treaties of 1858; Bible translation and the Term Question among missionaries; Female missionaries, 364 ; Statistics of Protestant missions in China, 366 ; Notices of deceased missionaries; Facilities and difficulties attending the work.
    CHAPTER XX. Commerce of the Chinese
    Ancient notices of foreign trade; The principal import, opium; Peculiarities of its cultivation in India, ibid.; Its preparation and sale in Calcutta, 376 ; Early efforts at introduction into China; Rise of the smuggling trade, 378 ; Manipulation of the drug in smoking, 380 ; The pipe and its use, 382 ; Effects of the practice, 383 ; Quantity and value of the import, 3S7 ; Coasting and inland navigation in China, 389 ; Detail of the principal exports from China, 391 ; Of the imports, 396 ; An example of pigeon-English, 402 ; Present management of the maritime customs; Trade tables.
    CHAPTER XXI. Foreign Intercourse with China
    Limited conception of the Chinese as to embassies; Earliest mention of China or Cathay, 408 ; Acquaintance between Rome and Seres, or Sinae; Knowledge of China under the Greek Empire; Narratives of Buddhist pilgrims, 413 ; Notices of Arab travellers, 414 ; Piano Carpini’s mission from the Pope to Kuyuk Klian, 415; Rubruquin sent by Louis XL to Mangu Khan, 418 • Travels of Marco Polo and King Ilayton of Armenia ; Of the Moor, Ibn Batuta; Of Friar Odoric, 422 ; Of Benedict Goes, 424 ; Of Ibn Waliab, 425 ; The Manchus confine foreign trade to Canton, 42G ; Character of early Portuguese traders; Their settlement at Macao and embassies to Peking; Relations of Spain with China, 431 ; The Dutch come to China, 438 ; They occupy Formosa, 434 ; Koxinga expels them from the island, 437 ; Van Hoorn’s embassy to Peking; Van Braam’s mission to Kienlung, 439 ; France and China; Russian embassies to the court at Peking, 441 ; Intercourse of the English with China, 443 ; Attempts of the East India Company to establish trade, 445 ; The Co-hong; Treatment of Mr. Flint; Anomalous position of foreigners in China during the eighteenth century, 450 ; Chinese action in sundry cases of homicide among foreigners, 451 ; Lord Macartney’s embassy to Peking, 454 ; Attitude of the Chinese regarding Macao; Regarding English and American “squabbles,”; Embassy of Lord Amherst, 458 ; Close of the East India Company monopoly; American trade with China; Chinese terms for foreigners.
    CHAPTER XXII.  Origin Of THE First War with England
    Features of the war with England; Lord Napier appointed superintendent of British trade, 404 •, He goes to Canton; His contest with the governor, 468 ; Chinese notions of supremacy; Lord Napier retires from Canton, his sudden death; Petition of the British merchants to the king, 47() ; Trade continued as before, 478 ; Sir B. G. Robinson the superintendent at Lintin; Is succeeded by Captain Elliot; Hu Nai-tsi proposes to legalize the opium trade, 482 ; Counter-memorials to the Emperor, 483 ; Discussion of the matter among foreigners, 487 ; Canton officers enforce the prohibitory laws; Elliot ordered to drive the opium ships from Lintin; Arrival of Admiral Sir F. Maitland; Smuggling increases; A mob before the factories, 495 ; Captain Elliot’s papers and actions regarding the opium traffic, 496 ; Commissioner Lin sent to Canton, 497; He demands a surrender of opium held by foreigners, 499 ; Imprisons them in the factories; The opium given up and destroyed, 502 ; Homicide of Lin Wei-hi at Hongkong, 505 ; Motives and position of Governor Lin; The war an opium war; Debate in Parliament upon the question.
    CHAPTER XXIII. Progress and Results of the First War between England AND China
    Arrival of the British fleet and commencement of hostilities; Fall of Tinghai, 515; Lin recalled to Peking, 510; Kishen sent to Canton, negotiates’ a treaty with Captain Elliot at the Bogue, 517 ; The negotiations fail, 519 ; Capture of the Canton River defences; The city ransomed; Amoy and Tinghai taken; Fall of Chinhai and Ningpo, 527 ; The Emperor determines to resist, 529 ; Attempt to recapture Ningpo; The British reduce the neighboring towns, 533 ; The fleet enters the Yangtsz’, capture of Wusung; Shanghai taken; Proclamations issued by both parties respecting the war; Storming of Chinkiang, 540 ; Terrible carnage among its Manchu inhabitants, 542 ; Singular contrast at Iching; Kiying communicates with Sir H. Pottinger; The envoy and commissioners meet, 547 ; A treaty drawn up, 549 ; Conversation on the opium question, 550 ; The Treaty of Nanking signed; Massacre of shipwrecked crews on Formosa; Losses and rewards on both sides alter the war, 556 ; Settlement of a tariff and commercial relations, 557 ; Deaths of Howqua and John R. Morrison; A supplementary treaty signed; Renewal of opium vexations, 562 ; Treaties arranged with other foreign powers, 565 ; The ambassador and letter from the United States to China, 566 ; Caleb Cushing negotiates a treaty with Kiying, 567 ; Homicide by an American at Canton, and subsequent correspondence, 568 ; A French treaty concluded by M. de Lagreno at Whampoa; Position of England and China after the war.
    CHAPTER XXIV.  THE Tai-ping Rebellion
    Attitude of the ruling classes in China toward foreigners; Governor Sir J. Davis and Commissioner Kiying; Killing of six Englishmen at Canton; Chinese notions of treaties ibid; Causes of the Tai-ping Rebellion; Life of Hung Siutsuen, its leader; This wonderful vision; He interprets it by Christian ideas, 585 ; Early phases of the movement; Commencement of the insurrection, 590 ; Political and religious tenets of the rebels, 592 ; Rapid advance to the Yangtsz’ and occupation of Nanking, 596 ; The expedition against Peking; Its failure; Dissensions among the rebel wangs, or leaders; Rebel sortie from Nanking; Assistance of foreigners sought by imperialists; Achievements of the Chung Wang; Colonel Gordon assumes control of the “Ever-Victorious force,”; His successful campaigns; Environment of Suchan; The city surrenders; Execution of its wangs by Governor Li; Gordon’s responsibility in the matter, GIG ; Further operations against the insurgents, 617 ; The Ever-Victorious force disbanded, 618 ; Fall of Nanking and dispersion of the rebels; Subsequent efforts of the Shi and Kau wangs; Disastrous character of the rebellion.
    CHAPTER XXV. The Second War between Great Britain and China Relations between the Cantonese and foreigners after the first war; Collecting of customs duties at Shanghai entrusted to foreigners; Common measures of defence against the rebels there; The insurrection in Kwangtung; Frightful destruction of life, 632 ; Governor Yeh’s policy of seclusion; Smuggling lorchas at Hongkong and Macao; The lorcha Arrow affair; The initial acts of the war; Collision with Americans at the Barrier forts, 639 ; View of the war in England, 641 ; Arrival of Lord Elgin and Baron Gros in China; Bombardment and capture of Canton, ibid.; Problem of governing the city; The allies repair to the Pei ho; Capture of the Taku forts, 651 ; Negotiations with Kweiliang and Hwashana at Tientsin; Unexpected appearance of Kiying; Difficulties of Lord Elgin’s position at Tientsin; The treaties signed and ratified, 656 ; Revision of the tariff undertaken at Shanghai; Effect of treaty stipulations and foreign trade on the people of China; Lord Egin visits the Tai-ping rebels at Hankow, 659 ; Sentiment of officials and people in China regarding foreigners, 660 ; Coolie trade outrages, 663 ; The foreign ministers repair to Taku, 664 ; Repulse at the Taku forts, 66G ; The American minister conducted to Peking; Discussion concerning the formalities of an audience, 669 ; He retires and ratifies the treaty at Pehtang; Lord Elgin and Baron Gros sent back to China, 671 ; War resumed, the allies at Pehtang; Capture of villages about Taku, 674 ; Fall of the Taku forts, 676 ; Lord Elgin declines to remain at Tientsin; Interpreters Wade and Parkes sent to Tungchau, 678 ; Capture of Parkes and Loch, 680 ; Skirmish of Pa-li-kiau, 682 ; Pillage of Yuen-ming Yuen, G83 ; Its destruction upon the return of the prisoners, 684 ; Entry into Peking and signing of the treaties, 686 ; Permanent settlement of foreign embassies at the capital.
    CHAPTER XXVI. Narrative of Recent Events in China
    Palace conspiracy upon the death of Hienfung; The regency established at Peking, 691 ; The Lay-Osborne flotilla, 693 ; Collapse of the scheme and dismissal of Lay, 695 ; The Burlingame mission to foreign countries, 696 ; Its treaty with the United States, 698 ; Outbreak at Tientsin, 700 ; Investigation into the riot, 703 ; Bitter feeling among foreigners, 705 ; Memorandum from the Tsung-ii Yamun on the missionary question; Conclusion of the Kansuh insurrection; Marriage of the Emperor Tungchi; The foreign ministers demand an audience; Reception of the ambassadors by Tungchi; Stopping of the coolie trade, 715 ; Japanese descent upon Formosa; English expedition to Yunnan, 719 ; Second mission, murder of Margary; The Grosvenor mission of inquiry; The Chifu Convention between Li Hung-chang and Sir T. Wade, 725 ; Death of Tungchi and accession of Kwangsii; The rebellion of Yakub Beg in Turkestan; He overthrows the Dungani Confederation, 730 ; His forces conquered by Tso Tsung-tang, 731 ; Negotiations as to the cession of Kuldja, 732 ; The great famine of 1878, 734 ; Efforts of foreigners for its relief, 736 ; Chinese boys sent to America for education, 739 ; Grounds of hope for the future of China.

    LIST OF ILLUSTEATIONS IN VOLUME I & VOLUME II
    Worship of the Emperor at the Temple of Heaven, Title-page, representing an honorary portal, or PAI-LAU. (The two characters, Shing chi, upon the top, indicate that the structure has been erected by imperial command. In the panel upon the lintel the four characters, Chung Kwoh Tsung-Um, ‘ A General Account of the Middle Kingdom,’ express in Chinese the title of this work. On the right the inscription reads, Jin che ngai jin yu tsin kih so, ‘ He who is benevolent loves those near, and then those who are remote ; ‘ the other side contains an expression attributed to Confucius, ‘ Si fang chi jin yu shing che ye,” ‘The people of the West have their sages.’)—Compare p. 757. A Road-Cut IN the Loess,  An-ting Gate, Wall of Peking,  Plan op Peking, Portal op Confucian Temple, Peking,  Monument, or Tope, op a Lama, Hwang sz’, Peking,  View over the Loess-clefts in Shansi, Temple of the Goddess Ma Tsu-pu, Ningpo,  Lukan Gorge, Yangtsz’ River. (From Blakiston.), View of a Street in Canton,  Miaotsz’ Types,  Domesticated Yak,  FACADE OF Dwellings in Loess Cliffs, Ling-shi hien,  Coal Gorge on the Yangtsz’. (From Blakiston.),  Fl-Fl Ami HAI-TUJI. (From a Chinese cut.),  The Chinese Pig,  Mode of Carrying Pigs,  The Kl-LIJV, or Unicorn,  The FUNG-HWANG, or Phoenix,  Different Styles op Official Caps,  Mode of Carrying High Officers in Sedan,  Prisoner Condemned to the Cangue in Court,  Mode of Exposure in the Cangue,  Publicly Whipping a Thief through the Streets,  Interior of KUNO YUEN, or ‘Examination Hall,’ Peking,  Chinese Hieroglyphics and their Modern Equivalents,  Six Styles op Chinese Characters,  Worship of Confucius and his Disciples,  Diagram of Chinese Roof Construction,  The PIH-TUNO KUNO, or ‘Classic Hall,’ Peking, Wheelbarrow used for Travelling,  Bridge in Wan-shao Shan Gardens, near Peking,  Bridge, showing the Mode of Mortising the Arch,  Barber’s Establishment,  Tricks Played with the Queue,  Procession op Ladies to an Ancestral Temple,  Appearance of the Bones op a Foot when Compressed,  Feet of Chinese Ladies,  Shape of a Lady’s Shoe,  Boys Gambling with Crickets,  Chinese Chess-board
    Signing of the Treaty of Peking, Manner of Shoeing Horses, Pedler’s Barrow, Group and Residence of Fishermen near Canton, The Fishing Cormorant, The Cobbler and his Movable Workshop, Mode op Firing Tea, Travelling Blacksmith and Equipment, Itinerant Dish-mender, Fancy Carved Work, Fable of the Herdsman and Weaver-girl. (From a bowl.), Representation of a Man Dreaming, The Vengeance op Heaven upon the False Grave, A would-be Assassin Followed by Spirits, Symbols of Happiness and Old Age. (From a plaque.), Caricature of an English Foraging Party, Chinese Notions of the Internal Structure of the Human Body, Pwanku Chiselling Out the Universe, Gateway of the Yuen Dynasty, Ku-yung Kwan, Great Wall, Ancestral Hall and Mode of Worshipping the Tablets, Buddhist Priests, Consulting a Fortune-teller, Head of Nestorian Tablet at Si-ngan, Roman Catholic Altar near Shanghai, Manner of Smoking Opium, Wall of Canton City. (From Fisher.), Plan of Canton and Vicinity, Portrait of Commissioner KiYing, Plan of the Pei ho and Forts. (From Fisher.), Portrait of Prince Kung, Portrait of Wanslang

    NOTE RESPECTING THE SYSTEM OF PRONUNCL ATION ADOPTED IN THIS WORK
    In this the values of the vowels are as follows :
    1. a as the italicized letters in father, far (never like a in hat) ;e.g., chang, hang—sounded almost as if written chahng, hahng, not flat as in the English words sang, hang, man, etc.
    2. a like the short u in hut, or as any of the italicized vowels in American, summer, mother ; the German o approaches this sound, while Wade writes it e ; e.g., pan, tang, to be pronounced as pun, tongue.
    3. e as in men, dead, saw! ; as teh, shen, yen.
    4. e, the French e, as in they, neigh, pray ; as che, ye, pronouneed chaij, yay.
    5. i as in pm, f/ntsh ; as dug, lin, Chihl’i.
    6. ‘t as in machine, believe, feel, me ; as I’l, Ktshen, Kanghi.
    7. o as in long. Yawn ; never like no, cro^u ; as to, soh, j)o.
    8. u as in rule, too, fool ; as 7\i7-k, Belur, ku, sung ; pronounced Toork, Beloor, koo, soong. This sound is heard less full in fuh, fsun, and a few other words ; this and the next may be considered as equivalent to the two ii-sounds found in German.
    9. u nearly as in I’une (French), or wnion, rheum ; as hii, tsil.
    10. ai as in aisle, high, or longer than i in pine ; as Shanghai, Hainan. The combination ei is more slender than ai, though the difference is slight ; e.g., Kivei chau.
    11. au and ao as in round, our, hoio ; as Fuhchau, Macao, Taukwang.
    12. eu as in the colloquial phrase say ’em ; e.g., cheung. This diphthong is heard in the Canton dialect.
    13. ia as in yard ; e.g., Ma, Hang ; not to be sounded as if written Jdgh-a, kigh-ang, but like hed, keiing.
    14. iau is made b}” joining Nos. 5 and 11 ; hiau, Liautung.
    15. ie as in sierra (SjDanisli), Ki’enzi; e.g., Men, kien.
    16. iu as in peu;, pure, lengthened to a dij)hthong ; km, siun.
    17. iue is made by adding a short e to the preceding ; kiuen, Muen,
    18. ui as in Louisiana, suicide ; e.g., sui, cMii.

    SYSTEM OF PRONUNCIATION
    The consonants are sounded generally as they are in the English alphabet. Ch as in church ; hw as in when. ; j soft, as s in pleasure; kw as in awkward ; ng, as an initial, as in singing, leaving off the first two letters ; sz’ and tsz’ are to be sounded full with one breathing, but none of the English vowels are heard in it ; the sound stops at the z ; Dr. Morrison wrote these sounds tsze and sze, while Sir Thomas Wade, whose system bids fair to become the most widely employed, turns them into ssu and fzii. The hs of the latter, made by omitting the first vowel of hissing, is written simply as h by the author. Urh, or’rh, is pronounced as the three last letters of purr.
    All these, except No. 12, are heard in the court dialect, which has now become the most common mode of writing the names of places and persons in China. Though foreign authors have employed different letters, they have all intended to write the same sound ; thus chan, shan, and xan, are only different ways of writing閂; and tsse, tsze, tsz’, zh, tzu`, and tzu, of 字. Such is not the case, however, with such names as Macao, Hongkong, Amoy, Whampoa, and others along the coast, which are sounded according to the local patois, and not the court pronunciation-Ma-ngau, Hiangkiang, Hiamun, Hwangpu, etc. Many of the discrepancies seen in the works of travellers and writers are owing to the fact that each is prone to follow his own fancy in transliterating foreign names ; uniformity is almost unattainable in this matter. Even, too, in what is called the court dialect there is a great diversity among educated Chinese, owing to the traditional way all learn the sounds of the characters. In this work, and on the map, the sounds are written uniformly according to the pronunciation given in Morrison’s Dictionary, but not according to his orthography. Almost every writer upon the Chinese language seems disposed to propose a new system, and the result is a great confusion in writing the same name ; for example, eull, olr, id, ulli, Ih, urh, ‘rh, ‘i, e, lur, nge, ngi, je, ji, are different ways of writing the sounds given to a single character. Amid these discrepancies, both among the Chinese themselves and those who endeavor to catch their pronunciation, it is almost impossible to settle upon one mode of writing the names of places. That which seems to offer the easiest pronunciation has been adopted in this work. It may, perhaps, be regarded as an unimportant matter, so long as the place is known, but to one living abroad, and unacquainted with the language, the discrepancy is a source of great confusion. He is unable to decide, for instance, whether Tang-ngan, Tangon hien, Tang-oune, and Tangao, refer to the same place or not.
    In writing Chinese proper names, authors differ greatly as to the style of placing them ; thus, Fuhchaufu, Fiih-chau fu, Fuh Chau Fu, Fuh-Chau fu, etc., are all seen. Analogy affords little guide here, for New York, Philadelphia, and Cambridge are severally unlike in the principle of writing them : the first, being really formed of an adjective and a noun, is not in this case united to the latter, as it is in Newport, Newtown, etc. ; the second is like the generality of Chinese towns, and while it is now written as one word, it would be written as two if the name were translated-as ‘Brotherly Love ;’ but the third, Cambridge, despite its derivation, is never written in two words, and many Chinese names are like this in origin. Thus applying these rules, properly enough, to Chinese places, they have been written here as single words, Suchau, Peking, Hongkong ; a hyphen has been inserted in some places only to avoid mispronunciation, as Hiau-‘i, St-ngan, etc. It is hardly supposed that this system will alter such names as are commonly written otherwise, nor, indeed, that it will be adhered to with absolute consistency in the following pages ; but the principle of the arrangement is perhaps the simplest possible. The additions fu, chau, ting, and hien, being classifying terms, should form a separate word. Li conclusion, it may be stated that this system could only be carried out approximately as regards the proper names in the colonies and outside of the Empire.

    CHAPTER I GENERAL DIVISIONS AND FEATURES OF THE EMPIRE

    The possessions of the ruling dynasty of China,—that portion of the Asiatic continent which is usually called by geographers the Chinese Empire,—form one of the most extensive dominions ever swayed by a single power in any age, or any part of the world. Comprising within its limits every variety of soil and climate, and watered by large rivers, which serve not only to irrigate and drain it, but, by means of their size and the course of their tributaries, affording unusual facilities for intercommunication, it produces within its own borders everything necessary for the comfort, support, and delight of its occupants, who have depended very slightly upon the assistance of other climes and nations for satisfying their own wants. Its civilization has been developed under its own institutions; its government has been modelled without knowledge or reference to that of any other kingdom ; its literature has borrowed nothing from the genius or research of the scholars of other lands ; its language is unique in its symbols, its structure, and its antiquity ; its inhabitants are remarkable for their industry, peacefulness, numbers, and peculiar habits. The examination of such a people, and so extensive a country, can hardly fail of being both instructive and entertaining, and if rightly pursued, lead to a stronger conviction of the need of the precepts and sanctions of the Bible to the highest development of every nation in its personal, social, and political relations in this world, as well as to individual happiness in another. It is to be hoped, too, that at this date in the world’s history, there are many more than formerly, who desire to learn the condition and wants of others, not entirely for their own amusement and congratulation at their superior knowledge and advantages, but also to promote the well-being of their fellow-men, and impart liberally of the gifts they themselves enjoy. Those who desire to do this, will find that few families of mankind are more worthy of their greatest efforts than those comprised within the limits of the Chinese Empire ; while none stand in more need of the purifying, ennobling, and invigorating principles of our holy religion to develop and enforce their own theories of social improvement.

    ORIGIN OF THE NAME CHINA

    The origin of the name China has not yet been fully settled. The people themselves have now no such name for their country, nor is there good evidence that they ever did apply it to the whole land. The occurrence in the Laws of Manu and in the Mahaharata of the name China, applied to a land or people with whom the Hindus had intercourse in the twelfth century B.C., and who were probably the Chinese, throws the origin far back into the remotest times, where probability must take the place of evidence. The most credible account ascribes its origin to the family of Tsin, whose chief first obtained complete sway, about b.c. 250, over all the other feudal principalities in the land, and whose exploits rendered him famous in India, Persia, and other Asiatic states. His sept had, however, long been renowned in Chinese history, and previous to this conquest had made itself widely known, not only in China, but in other countries. The kingdom lay in the northwestern parts of the empire, near the Yellow River, and according to Visdelon, who has examined the subject, the family was illustrious by its nobility and power. ” Its founder was Taye, son of the emperor Chuen-hu. It existed in great splendor for more than a thousand years, and was only inferior to the royal dignity. Feitsz’, a prince of this family, had the superintendence of the stud of the emperor Hiao, b.c. 909, and as a mark of favor his majesty conferred on him the sovereignty of the city of Tsinchau in mesne tenure with the title of sub-tributary king. One hundred and twenty-two years afterwards, b.c. 770, Siangkwan, jh’t’it vol of Tsinchau (having by his bravery revenged the insults offered to the emperor Ping by the Tartars, who slew his father Yu), was created king in full tenure, and without limitation or exception. The same monarch, abandoning Si-ngan (then called Hao-king, the capital of his empire) to transport his seat to Lohyang, Siangkwan was able to make himself master of the large province of Sliensi, which had composed the proper kingdom of the emperor. The king of Tsin thus became very powerful, but though his fortune changed, he did not alter his title, retaining always that of the city of Tsinchau, which had been the foundation of his elevation. The kingdom of Tsin soon became celebrated, and being the place of the first arrival by land of people from western countries, it seems probable that those who saw no more of China than the realm of Tsin, extended this name to all the rest, and called the whole empire Tsin or Chin.”(D’Herbelot, Bibliotheqne Orientale, quarto edition, 1779, Tome IV., p. 8.Yule, Cathay and the Way Thither, Vol. I., pp. xxxiv., Ixviii. Edkiius, Chinese Buddhism, p. 93.)

    This extract refers to periods long before the dethronement of the house of Chan by princes of Tsin ; the position of this latter principality, contiguous to the desert, and holding the passes leading from the valley of the Tarim across the desert eastward to China, renders the supposition of the learned Jesuit highly probable. The possession of the old imperial capital would strengthen this idea in the minds of the traders resorting to China from the West ; and when the same family did obtain paramount sway over the whole empire, and its head render himself celebrated by his conquests, and by building the Great Wall, the name Tsin was still more widely diffused, and regarded as the name of the country. The Malays and Arabians, whose vessels were early found between Aden and Canton, knew it as China, and probably introduced the name into Europe before 1500. The Hindus contracted it into Machin, from Maha-china, i.e., ‘Great China;’ and the first of these was sometiuies confounded with Manj’i^ a term used for the tribes in Yunnan. Tlius it appears that these and other nations of Asia have known the country or its people by no other terms than Jin., Chin, Sin, Since, or Tziniske. The Persian name Cathay, and its Russian form of Kitai, is of modern orio-in ; it is altered from Ki-tah, the race Avhieh ruled northern China in the tenth century, and is quite unknown to the people it designates. The Latin word Seres is derived from the Chinese word sz’ (silk), and doubtless first came into use to denote the people during the Ilan dynasty.

    VARIOUS DESIGNATIONS

    The Chinese have many names to designate themselves and the land they inhabit. One of the most ancient is Tien Ilia, meaning ‘ Beneath the Skj^,’ and denoting the AVorld ; another, almost as ancient, is /&’ Ilai, i.e., ‘ [all within] the Four Seas,’ while a third is (Vtunr/ Kivoh, oy ‘Middle Kingdom.’ This dates from the establishment of the Chan dynasty, about b.c.1150, when the imperial family so called its own special state in Honan because it was surrounded by all the others. The name was retained as the empire grew, and thus has strengthened the popular belief that it is really situated in the centre of the earth; Chn,)i<j Kioohjln, or ‘men of the Middle Kingdom,’ denotes the Chinese. All these names indicate the vanity and ignorance of the people respecting their geographical position and their rank among the nations ; they have not been alone in this foible, for the Egyptians, Greeks and Romans all had terms for their possessions which intimated their own ideas of their superiority ; while, too, the area of none of those monarchies, in their widest extent, ecpialled that of China Proper. The family of Tsin also established the custom, since continued, of calling the country by the luimc of the dynasty then reigning; but, wliilc the brief duration of that house of forty-four years was not long enough to give it much currency among the people, snccueeding dynasties, by their talents and prowess, imparted their own as permanent appellations to the people and country. The terms Ilan-jhi and JLoi-tsz’ {i.e., men of Ilan or sons of llan) are now in use by the people to denote themselves : the last also means a ”brave man.” Tangjin, or ‘Men of Tang,’ is quite as frequently heard iu the southern provinces, where the phrase Tang Shan, or ‘ Hills of Tang,’ denotes the whole country. The Buddhists of India called the land Chin-tan, or the ‘ Dawn,’ and this appellation has been used in Chinese writings of that sect.

    The present dynasty calls the empire Ta Tsing Kivoh, or * Great Pure Kingdom;’ but the people themselves have refused the corresponding term of Tsing-jin, or ‘ Men of Tsing.’ The empire is also sometimes termed Tsing Chau, i.e., ‘ [land of the] Pure Dynasty,’ by metonymy for the family that rules it. The term now frequently heard in western countries—the Celestial Empire^is derived from Tien Chan, i.e., ‘ Heavenly Dynasty,’ meaning the kingdom which the dynasty appointed by heaven rules over ; but the term Celestials, for the people of that kingdom, is entirely of foreign manufacture, and their language could with difficulty be made to express such a patronymic.

    The phrase Li Jlin, or ‘ Black-haired Pace,’ is a common appellation ; the expressions Ilira Yen, the ‘ Flowery Language,’ and Chung lima Kiooh, the ‘ Middle Flowery Kingdom,’ are also frequently used for the written language of the country, because the Chinese consider themselves to be among the most polished and civilized of all nations—which is the sense of hwa in these phrases. The phrase I^ui T”i, or ‘ Inner Land,’ is often employed to distinguish it from countries beyond their borders, regarded as the desolate and barbarous regions of the earth. lima Ilia (the Glorious Hia) is an ancient term for China, the Hia dynasty being the first of the series; Tung Tu, or ” Land of the East,” is a name used in Mohammedan writings alone.

    The present ruling dynasty has extended the limits of the empire far beyond what they were under the Ming princes, and nearly to their extent in the reign of Kublai, a.d. 1290. In 1840, its borders were well defined, reaching fi*om Sagalien I. on the north-east, in lat. 48° 10′ jS”. and long. 144° 50′ E., to Hainan I. in the China Sea, on the south, in lat. 18° 10′ X., and westward to the Belur-tag, in long. T4° E., inclosing a continuous area, estimated, after the most careful valuation by McCullcjch, at 5,300,000 square miles. The longest line which could be drawn in this vast region, from the south-western part of tli, bordering on Kokand, north-easterly to the sea of Okhotsk, is 3350 miles ; its greatest breadth is 2,100 miles, from the Outer Hing-an or Stanovoi Mountains to the peninsula of Luichau in Kwangtung :—the first measuring 71 degrees of longitude, and the last over 34 of latitude.

    Since that year the process of disintegration has been going on, and the cession of Hongkong to the British has been followed by greater partitions to Russia, which have altogether reduced it more than half a million of square miles on the north-east and west. Its limits on the western frontiers are still somewhat undefined. The greatest breadth is from Albazin on the Amur, nearly south to Hainan, 2150 miles ; and the longest line which can be drawn in it runs from Sartokh in Tibet, north-east to the junction of the Usuri River with the Amur.

    GENERAL DIVISIONS

    The form of the empire approaches a rectangle. It is

    bounded on the east and south-east by various arms and portions

    of the Pacific Ocean, beginning at the frontier of Corea,

    and called on European maps the gulfs of Liautung and Pechele,

    the Yellow Sea, channel of Formosa, China Sea, and Gulf

    of Tonquin. Cochinchina and Burmali border on the provinces

    of Kwangtung, Kwangsi, and Yunnan, in the south-west;

    but most of the region near that frontier is inhabited by halfindependent tribes of Laos, Ivakyens, Singphos, and others.

    The southern ranges of the Himalaya separate Assam, Butan,

    Sikkim, Nipal and states in India from Tibet, whose western

    border is bounded by the nominally dependent country of

    Ladak, or if that be excluded, by the Kara-kormn Mountains.

    The kingdoms or states of Cashmere, Badakshan, Kokand, and

    the Kirghls steppe, lie upon the western frontiers of Little

    Tibet, Ladak, and 111′, as far north as the Russian border ; the

    high range of the Belur-tag or Tsung-ling separates the former

    countries from the Cliiiiese territory in this quarter. Russia is

    conterminous with China from the Kirghis steppe along the

    Altai chain and Kenteh range to the junction of the Argun

    and the Amur, from whence the latter river and its tributary,

    the Usuri, form the dividing line to the border of Corea, a

    total stretch of 5,300 miles. The circuit of tiie whole empire

    is 14,000 miles, or considerably over half the circumference of

    the globe. These measurements, it must be remembered, are

    of the roughest character. The coast line froiri the mouth of

    the river Yaluh in Corea to that of the Annam in Cochinchina

    is not far from 4,400 miles. This immense country comprises

    about one-third of the continent, and nearly one-tenth of the

    habitable part of the globe ; and, next to Russia, is the largest

    empire which has existed on the earth.

    It will, perhaps, contribute to a better comprehension of the

    area of the Chinese Empire to compare it with some other countries.

    Russia is nearly 6,500 miles in its greatest length, about 1,500 in its average breadth, and measures 8,369,144(Or 21,759,974 sq. km.—Gotha Almanack.) square miles, or one-seventh of the land on the globe. The United States of America extends about 3,000 miles from Monterey on the Pacific in a north-easterly direction to Maine, and

    about 1700 from Lake of the Woods to Florida. The area of

    this territory is now estimated at 2,936,166 square miles, with

    a coast line of 5,120 miles. The area of the British Empire

    is not far from 7,647,000 square miles, but the boundaries of

    some of the colonies in Hindostan and South Africa are not

    definitely laid down ; the superficies of the two colonies of

    Australia and Kew Zealand is nearly equal to that of all the

    other possessions of the British crown.

    The Chinese themselves divide the empire into three principal

    parts, rather by the different form of government in each,

    than by any geographical arrangement.

    I. The Eighteen Provinces^ including, with trivial additions, the country conquered by the Manchus in 1664.
    II. 3fmichuria, or the native country of the Manchus, lying north of the Gulf of Liautung as far as the Amur and west of the Usuri River.
    III. Colonial Possessions, including Mongolia, 111 (comprising Sungaria and Eastern Turkestan), Koko-uor, and Tibet.

    The first of these divisions alone is that to which other nations have given the name of China, and is the only part which is entirely settled by the Chinese. It lies on the eastern slope of the high table-land of Central Asia, in the south-east ern angle of the continent ; and for beauty of scenery, fertility of- soil, salubrity of climate, magnificent and navigable rivers, and variety and abundance of its productions, M’ill compare with any portion of the globe. The native name for this portion, as distinguished from the rest, is Shih-jxih Sang or the ‘ Eighteen Provinces,’ but the people themselves usually mean this part

    alone by the term Chung Juvoh. The area of the Eighteen

    Provinces is estimated by ‘McCulloch at 1,348,870 square miles,

    but if the full area of the provinces of Kansuh and Chihli be

    included, this figure is not large enough ; the usual computation

    is 1,297,999 square miles ; Mahe Brun reckons it at

    1,482,091 square miles ; but the entire dimensions of the Eighteen

    Provinces, as the Chinese define them, cannot be much

    under 2,000,000 square miles, the excess lying in the extension

    of the two provinces mentioned above. This part, consequently,

    is rather more than two-fifths of the area of tlie whole empire.

    MOUNTAIN CHAINS

    The old limits are, however, more natural, and being better known may still be retained. They give nearly a square form to the provinces, the length from north to south being 1,474

    miles, and the breadth 1,355 miles ; but the diagonal line from

    the north-east corner to Yunnan is 1,009 miles, and tliat from

    Amoy to the north-western part of Kansuh is 1,557 miles.

    China Proper, therefore, measures about seven times the size of

    France, and fifteen times that of the United Kingdom ; it is

    nearly half as large as all Europe, which is 3,050,000 square

    miles. Its area is, however, nearer that of all the States of the

    American Union lying east of the Mississippi Piver, with Texas,

    Arkansas, Missouri and Iowa added ; these all cover 1,355,309

    square miles. The position of the two countries facing the

    western borders of great oceans is another point of likeness,

    which involves considerable similarity in climate ; there is

    moreover a further reseml)lance between tlie size of the provinces

    in China and those of the newer States.

    Before proceeding to define the three great basins into which

    China may be divided, it will give a better idea of the whole

    subject to speak of the mountain ranges which lie within and

    near or along the limits of the country. The latter in them

    selves form almost an entire wall inclosing and defining the old

    empire ; the principal exceptions being the western boundaries

    of Yunnan, the border between Hi and the Kirghis steppe, and

    the trans-Anmr region.

    Commencing at the north-eastern corner of the basin of the

    Amur above its mouth, near lat. 56° N., are the first sunmiits

    of the Altai range, which during its long course of 2,000 miles

    takes several names ; this range forms the northern limit of the

    table-land of Central Asia. At its eastern part, the range is

    called Stanovoi by the Russians, and Wai Jling-an by the Chinese

    ; the first name is applied as far west as the confluence of

    the Songari with the Amur, beyond which, north-west as far

    as lake Baikal, the Russians call it the Daourian Mountains.

    The distance from the lake to the ocean is about 600 miles, and

    all within Russian limits. Beyond lake Baikal, westward, the

    chain is called the Altai, i.e.^ Golden Mountains, and sometimes

    Kinshan, having a similar meaning. Near the head-waters of

    the river Selenga this range separates into two nearly parallel

    systems running east and west. The southern one, which lies

    mostly in Mongolia, is called the Tangnu, and rises to a much

    liigher elevation than the northern spur. The Tangnu Mountains

    continue under that name on the Chinese maps in a southwesterly

    direction, but this chain properly joins the Tien shan,

    or Celestial Mountains, in the province of Cobdo, and continues

    until it again unites with the Altai further west, near the

    junction of the Kirghis steppe with China and Russia. The

    length of the whole chain is not far from 2,500 miles, and

    except near the Tshulyshman River, does not, so far as is

    known, rise to the snow line, save in detached peaks. The

    average elevation is supposed to be in the neighborhood of

    7,000 feet ; most of it lies between latitudes 47° and 52° X.,

    largely covered with forests and susceptible of cultivation.

    The next chain is the Belur-tag, Tartash ling, in Chinese

    Tsungling, Onion Mountains, or better. Blue Mountains, so called from their distant hue. (Klaproth (MemoireH sur VAsie, Tome II., p. 295) observes that the name is derived from the abundance of onions found upon tliese mountains. M. Abel-Remusat prefers to attribute it to the “bluish tint of onions.”) This range lies in the south-west of Songaria, separating that territory from Badakshan ; it commences about lat. 50° N., nearly at right angles with the Tien shan, and extends south, rising to a great height, though little is known of it. It may be considered as the connecting link between the Tien shan and the Kwanlun ; or rather, both this and the latter

    may be considered as proceeding from a mountain knot, detached

    from the llindu-kush, in the south-western part of Turkestan

    called Pushtikhur, the Belur-tag coming from its northern

    side, while the Kwanlun issues from its eastern side, and extends

    across the middle of the table-land to Koko-nor, there diverging

    into two branches. This mountain knot lies between latitudes

    36° and 37° Is., and longitudes 70° and 74° E. The Himalaya

    range proceeds from it south-easterly, along the southern frontier

    of Tibet, till it bi-eaks up near the head-waters of the

    Yangtsz’, Salween, and other rivers between Tibet, Burmali,

    and Yunnan, thus nearlj’ completing the inland fi’ontier of the

    empire. A small spur from the Yun ling, in the west of Yunnan,

    in the country of the Singphos and borders of Assam,

    may also be regarded as forming part of the boundary line.

    The C/ian(/-j)eh shan lies between the head-waters of the Yaluh

    and Toumen rivers, along the Corean frontier, forming a

    spur of the lower range of the Siliota or SUi-hlh-teh Mountains,

    east of the Usuri.

    Within the confines of the empire are four large chains,

    some of the peaks in their course rising to stupendous elevations,

    but the ridges generally falling below the snow line.

    The first is the Tien shan or Celestial Mountains, called Tengkiri

    b}’ the Mong(jls, and sometimes erroneously Alak Mountains.

    This chain begins at the northern extremity of the

    Belur-tag in lat. 40° N., or more properly comes in from the

    west, and extends from west to east between longitudes 76° and

    90° E., and generally along the 22° of north latitude, dividing

    Ili into the Northern and Southern Circuits. Its western portion

    is called Muz-tag ; the Muz-daban, about long. 79° E., between

    Kuldja and Aksu, is where the road from north to south

    runs across, leadino; over a hi”;h glacier above the snow line.

    East of this occurs a mass of peaks anK)ng the highest in Central

    Asia, called Bogdoula; and at the eastern end, near Ur

    THE TIEN SHAN AND KWANLUX RANGES. 11

    Qiiitsi, as it declines to the desert, are traces of volcanic action

    seen in solfataras and spaces covered with ashes, but no active

    volcanoes ai’C now known. The doubtful volcano of Pi shan,

    between the glacier and the Bogdo-ula, is the only one reported

    in continental China. The Tien shan end abruptly at their

    eastern point, w-here the ridge meets the desert, not far from

    the meridian of Barknl in Kansuh, though Humboldt considers

    the hills in l^Iongolia a continuation of the range eastward,

    as far as the Kui Iling-an. The space between the

    Altai and Tien shan is very nuich broken up by mountainous

    spurs, which may be considered as connecting links of them

    both, though no regular chain exists. The western prolongation

    of the Tien shan, under the name of tlie Muz-tag, extends

    from the high pass only as far as the junction of the Belurtag,

    beyond which, and out of the Chinese Empire, it continues

    nearly west, south of the river Sihon toward Kodjend, under

    the names of Ak-tag and Asferah-tag ; this part is covered with

    perpetual snow.

    Nearly parallel with the Tien shan in part of its course is

    the Kan shan, Ivwanlun or Koulkun range of mountains, also

    called Tien Chu or ‘ Celestial Pillar ‘ by Chinese geographers.

    The Ivwanlun starts from the Pushtikhur knot in lat. 3G° X.,

    and runs along easterly in nearly that parallel through the

    whole breadth of the tabledand, dividing Tibet from the desert

    of Gobi in part of its course. About the middle of its extent,

    not far from long. 00° E., it divides into several ranges,

    wliich decline to the south-east through Ivoko-nor and Sz’cliuen,

    under the names of the Bayan-kara, the Burklian-buddha,

    the Shuga and the Tanghi Mountains,—each more or less

    parallel in their general south-east course till they merge

    with the Yun ling {i.e., Cloudy Mountains), about lat. 33° !N.

    Another group bends northerly, beyond the sources of the Yellow

    Piver, and under the names of Altyn-tag, Xan shan, In

    shan, and Ala shan, passes through Ivansuh and Shensi to join

    the Xui IIino;-an, not far fi-om the o-reat bend of the Yellow

    River. Some portion of the country between the extremities

    of these two ranges is less elevated, but no plains occur, though

    the parts north of Kansuh, where the Great Wall runs, are rugged and unfertile. The large tract between the basins of the Tarini River and that of the Yaru-tsano . i, including the Kwanlun range, is mostly occupied by the desert of Gobi, and is now one of the least known parts of the globe. The mineral treasures of the Kwanlun are probably great, judging from the many precious stones ascribed to it ; this desolate region is the favorite arena for the monsters, fairies, genii, and other beings of Chinese legendary lore, and is the Olympus where the Buddhist and Taoist divinities hold their mystic

    sway, strange voices are lieard, and marvels accomplished.*

    From near the head-waters of the Yellow Iliver, the four ridges

    run south-easterly, and converge hard by the confines of Burmth

    and Yunnan, within an area about one hundred miles in breadth.

    The Yun ling range constitutes the western frontier of Sz’chuen,

    and going south-east into Yunnan, thence turns eastward, under

    the names of Kan ling, Mei ling, “Wu-i shan, and other local

    terms, passing through Kweichau, Hunan, and dividing Kwangtunoj

    and Fuhkien from Iviano-si and Chehkiano;, bends northeast

    till it reaches the sea opposite Chusan. One or two spurs

    branch off north from this range through Hunan and Iviangsi,

    as far as the Yangtsz’, but they are all of moderate elevation,

    covered with forests, and susceptible of cultivation. The descent

    from the Siueh ling or Bayan-kara Mountains, and the

    western part of the Yun ling, to the Pacific, is ^’ery gradual.

    The Chinese give a list of fifty peaks lying in the provinces

    w^hich are covered with snow for the whole ur part of the

    year, and describe glaciers on several of them.

    Another less extensive ridge branches off nearly due east

    from the Bayan-kara Mountains in Koko-nor, and forms a moderately

    high range of mountains between the Yellow Iliver and

    Yangtsz’ kiang as far as long. 112° E., on the western borders

    of Kganhwui ; this range is called Ivo-tsing shan, and Peh

    ling {i.e., Xorthern Mountains), on European maps. These two

    chains, viz., the Yun ling—with its continuation of the Mei

    ling—and the Peh ling, with their numerous offsets, render the

    whole of the western })art of C’hina very imeven.

    ‘ Compare Reimisiit, Ilistaire de la VUle de KJiotan, p. (ir), ff.

    HING-AN AND HIMALAYA KANGES. IB

    On the east of Mongolia, and cominencini!; near the hend of

    the Yellow Ilivei”, or i-ather forming a contiiniation of the

    range in Shansi, is the Nui lling-an ling or Sialkoi, called also

    kSoyorti range, which runs north-east on the west side of the

    basin of the Amur, till it reaches the Wai lling-an, in lat.

    56° N. The sides of the ridge toward the desert are nearly

    naked, but the eastern acclivities are AV’ell wooded and fertile.

    On the confines of Corea a spur strikes off westward through

    Shingking, called Kolmin-shanguin alin bj the Manchus, and

    Chang-pell shan {i.e., Long White Mountains) by the Chinese.

    Between the Sialkoi and Siliota are two smaller ridges defining

    the basin of the Nonni River on the east and west. Little is

    known of the elevation of these chains except that they are

    low in comparison with the great \vestern ranges, and under the

    snow line.

    The fourth system of mountains is the Himalaya, which

    bounds Tibet on the south, while the Kwanlun and Burkhan

    Buddha range defines it on the north. A small range runs

    through it from west to east, connected with the Himalaya by

    a high table-land, which surrounds the lakes Manasa-rowa and

    Ravan-hrad, and near or in which are the sources of the Indus,

    Ganges, and Yaru-tsangbu. This range is called Gang-dis-ri

    and Zang, and also Kailasa in Dr. Buchanan’s map, and its

    eastern end is separated from the Y^un ling b}’ the narrow valley

    of the Y’angtsz’, which here flows from north to south. The

    countr}’ north of the Gang-dis-ri is divided into two portions by a

    spur which extends in a north-west direction as far as the Kwanhm,’

    called the Kara-korum Mountains. On the western side

    of this range lies Ladak, di-ained by one of the largest branches

    of the Indus, and although included in the imperial domains

    on Chinese maps, has long been separated from imperial cognizance.

    The Kara-korum Mountains may therefore be taken

    as composing part of the boundary of the empire ; Chinese

    geographers regard them as forming a continuation of the Tsung ling.

    ‘ One among many native names given to tlie Kwanlun, or Koulkun Mountains, is Tien chv. ^ .^^ ‘Heaven’s Pillar,’ wliieli corresponds precise!)’ with the Atlas of China.

    This hasty sketch of the mountain chains in and around China needs to be further illustrated by Punipelly’s outlines of their general course and elevation in what he suitably terms the Sinian System^ applied ” to that extensive northeast-southwest system of upheaval which is traceable through nearly all Eastern Asia, and to which this portion of the continent owes its most salient features.” lie has developed this system in the liesearches in China, Moncfolla and Ja^Kin, issued by the Smithsonian Institution in 186G. The mountains of China correspond in many respects to the Appalachian system in America, and its revolution probably terminated soon after the deposition of

    the Chinese coal measures. Mr. Pumpelly describes the principal

    anticlinal axes of elevation in China Proper, beginning with the Barrier Range, extending through the northern part of Cliihli and Shansi, where it trends AV.S.W., prolonging across the Yellow River at Pao-teh, and hence S.W. through Shansi and Kansuh, coinciding with the watershed between the bend of that river, which traverses it through an immense gorge.

    The next axis east begins at the Tushih Gate, and goes S.W. to the Xankau Pass, both of them in the Great Wall, and thence across Shansi to the elbow of the Yellow River, and onward to Western Sz’chuen, forming the watershed within the bend of the Yangtsz’. In the regions between these two axes are found coal deposits. A central axis succeeds this in Shansi, crossing the Yangtsz’ near Ichang, and passing on S.W. through Kweichau to the Kan ling ; going X.E., it )-uns through IIonaTi and subsides as it gets over the Yellow River, till in Shantung and the Regent’s Sword it rises higher and higher as it stretches on to the Chang-peh shan in Manchuria, and the ridge between the Songai-i and Usuri rivers. Between the last

    two ranges lie the great coal, iron, and salt deposits in the

    provinces, and each side of the central axis huge troughs and

    basins occur, such as the valley of the Yangtsz’ in Yunnan, the

    Great Plain in Nganhwui and Chihli, the Gulf of Pechele, and

    the basins of the Liao and Songari rivers.

    The coast axis of elevation is indicated by ranges of granitic mountains between Kiangsi and Kiangsu on the north, and Chehkiang and Fuhkien on the south, extending S.W. through pumpelly’s sinian system.

    15 Kwangtung into the Yuii ling, and N.E. into the Chusan Arcliipelago, thence across to Corea and the Sihota Mountains east of the Usuri River. An outlying granitic range, reaching from Hongkong north-easterly to Wanchau, and IS.W. to Hainan Island, marks a fifth axis of elevation.

    Crossing these anticlinal axes are three ranges, coming into China Proper from the west in such a manner as to prove highly beneficial to its structure. The northern is apparently a continuation of the Bayan-kara Mountains in a S.E. direction into Kansuh, and south of the river Wei into Honan, inider the name of the Hiung slian or ‘ Bear Mountains.’ The centre is an offset from this, going across the north of Hupeh. The southern appears to be a prolongation of the IHmalaya into Yunnan and Kwangsi, making the watershed between the Yangtsz’ and Pearl river basins.

    Between the Tien slian and the Kwanlun range on the southwest,

    and reaching to the Sialkoi on the north-east, in an oblique

    direction, lies the great desert of Gobi or Sha-moh, both words

    signifying a ivaterless j)laln^ or sandy floats.’ The entire length

    of this waste is more than 1,800 miles, but if its limits are

    extended to the Belnr-tag and the Sialkoi, at its western and

    eastern extremity, it will reach 2,200 miles ; the avei-age breadth

    is between 350 and 400 miles, subject, however, to great variations.

    The area within the mountain ranges which define it is

    over a million square miles, and few of the streams occurring

    in it find their way to the ocean. The whole of this tract is not

    a barren desert, though no part of it can lay claim to more than

    comparative fertility ; and the great altitude of most portions

    seems to be as much the cause of its stei-ility as the nature of

    the soil. Some portions have relapsed into a waste because of

    the destruction of the inhabitants.

    The M^estern portion of Gobi, lying east of the Tsung ling

    and north of the Kwanlun, between long. 76° and 94° E., and

    in lat. 36° and 41° N., is about 1,000 miles in length, and

    between 300 and 400 wide. Along the southern side of the

    ‘ Another interpretation makes Gobi (Kopi) to apply to the stony, while Sha-moh denotes the sandy tracks of this desert, in which case the name would more correctly read, ” Great Desert of Gobi and Sha-moh.”

    Tien shan extends a strip of arable land from 50 to SO miles in width, producing grain, pastni’age, cotton, and other things, and in which lie nearly all the Mohammedan cities and forts of the JVcui Lu. The Tarim and its branches flow eastward into Lob-nor, through the best part of this ti-act, from 76° to 89° E. : and along; the banks of the Khoten River a road runs from Yarkand to that city, and thence to Il’lassa. Here the desert is comparatively narrow. This part is called Ilan ha I, or ‘ Mirao;e Sea,’ by the Chinese, and is sometimes known as the desert of Lob nor. The remainder of this region is an almost unnntigated waste, and north of Koko-nor assumes its most terrific appearance, being covered with dazzling stones, and rendered insufferably hot by the reflection of the sun’s rays from these and numerous movable mountains of sand. Kor in winter is the climate milder or more endurable. ” The icy winds of Siberia, the almost constantly unclouded sky, the bare saline soil, and its great altitude above the sea, combine to make the Gobi, or desert of Mongolia, one of the coldest countries in the whole of Asia.” *

    The sandhills —kmi/^jchi, as the Mongols call them—appear north of the Ala Shan and along the Yellow River, and when the wind sets them in motion they, gradually travel before it, and form a great danger to travelers who try to cross them.

    One Chinese author says, ” There is neither watei-, herb, man,

    nor smoke ;—if there is no smoke, there is absolutely nothing.”

    The limits of the actual desert are not easily defined, for near

    the base of the mountain ranges, streams and vegetation are

    usually found.

    Near the meridian of Hami, long. 9-1° E., the desert is narrowed to about 150 miles. The road from Kiayii kwan to Hami runs across this narrow part, and travellers find water at various places in their route. It divides Gobi into two parts—the desert of Lob-nor and the Great Gobi—the former being about 4,500 feet elevation, and the latter or eastern not higher than 4,000 feet. The borders of Kansuh now extend across this tract to the foot of the Tien shan. ‘Col. Prejevalskj, Travelis in Mongolia, i’U-. Vul. II., p. 22. London, 187(5.

    THE DESERT OF GOBI. 17

    The eastern part, or Great Gobi, stretches from the eastern declivity of the Tien shan, in long. 94° to 120° E., and about lat. 40° iS^., as far as the Inner Iling-aii. Its width between the Altai and the In shan range varies from 500 to 700 miles. Through the middle of this tract extends the depressed valley properly called Sha-moh, from 150 to 200 miles across, and whose lowest depression is from 2,000 to 2,000 feet above the sea. Sand almost covers the surface of this valley, generally level, but sometimes rising into low hills. The road from Urga to Kalgan, crossing this tract, is watered during certain seasons of the year, and clothed with grass. It is 660 miles, and forty-seven posts are placed along the route. The crow, lai-k, and sand-«:;rouse are abundant on this road, the first beins a real pest, from its pilfering habits. Such vegetation as occurs is scanty and stunted, affording indiiferent pasture, and the M-ater in the small streams and lakes is brackish and unpotable. North and south of the Sha-moh the surface is gravelly and sometimes rocky, the vegetation more vigorous, and in many places affords good pasturages for the herds of the Kalkas tribes. In those portions bordering on or included in Chihli province, among the Tsakhars, agricultural labors are repaid, and millet, oats,

    and barley are produced, though not to a great extent. Trees

    are met with on the water-courses, but not to form forests.

    This region is called tsaii-ti, or Grassland, and maintains large

    herds of sheep and cattle. It extends more or less northward

    towards Siberia. The Etsina is the largest inland stream in

    this division of Gobi, but on its north-eastern borders are some

    large tributaries of the Annir. On the south of the Sialkoi

    range the desert-lands reach nearly to the Chang-peh shan,

    about five degrees beyond those mountains. The general features

    of this portion of the earth’s surface are less forbidding

    than Sahara, but more so than the steppes of Siberia or the

    pampas of Buenos Ayres. The whole of Gobi is regarded by

    Pumpelly as having formed a portion of a great ocean, which,

    in comparatively recent geological times, extended south to the

    Caspian and Black Seas, and between the Ural and Inner Hing an

    Mountains, and was drained off by an upheaval whose traces

    and effects can be detected in many parts. ” It appears to me,”

    Vol. I.—2

    he adds, ” that the ancient physical geography of this region,

    and the effects of its elevation, present one of the most important

    fields of exploration.” It will no doubt soon be more fully

    explored. Baron Richthofen describes Central Asia as properly

    a shallow trough, 1,800 miles long and about 400 miles wude,

    whose bottom is about 1,800 feet above the ocean ; its ancient

    shore-line extended between the Kwanlun and Tien slian ranges

    on the west, from 5,000 to 10,000 feet high, and gradually falling

    to 3,600 feet in its eastern shore. This is the Ilan-ha’i •

    eastward is Sha-nioh.^ and outside of both these wildernesses

    are the peripheral regions, where the waters flow to the ocean,

    carrying their silt, the erosions from the mountains. Inside of

    the shore-line nothing reaches the oceans, and these results of

    degradation are washed or blown into the valleys, and the

    country is buried in its own dust.’

    The rivers of China are her glory, and no country can

    compare with her for natural facilities of inland navigation.

    The people themselves consider that portion of geography relating

    to their rivers as the most interesting, and give it the

    greatest attention. The four largest rivers in the empire are the

    Yellow River, the Yangtsz’, the Amur, and the Tarim ; the

    Yaru-tsangbu also runs more than a thousand miles within its

    borders.

    The Hwang ho, or ‘ Yellow River,’ rises in the plain of Odontala,

    called in Chinese Shuj-suh Juil, or ‘ Starry Sea,’ from the

    numerous springs or lakelets found there between the Shuga

    and Bayan-kara Mountains, in lat. 35^°, and about long. 96° E.,

    and Tiot a hundred miles from the Yangtsz’. The Chinese popularly

    believe that the Yellow River runs underground from

    Lob-nor to Sing-suh liai. In this region are two lakes—the

    Dzaring and Oling, which are its fountains ; and its course is

    very crooked after it leaves them. It turns first south 30 miles,

    then east 160, then nearly west about 120, winding through

    gorges of the Kwanlun; the river then flows north-east and

    east to Lanchau in Ivansuh, having gone about 700 miles in its

    devious line. From Lanchau it turns northward along the

    ‘ Von Richthofen, China. Ergebnisse eigener Heisen, Band I. Berlin, ISTt,

    THE YELLOW RIVEE. 19

    Great Wall for 430 miles, till deflected eastward by the fn shan,

    on the edge of the plateau, and incloses the country of the

    Ortous Mongols within this great bend. A spur of the Peh

    ling forces it south, about long. 110° E., between Shansi and

    Shensi, for some 500 miles, till it enters the Great Plain,

    having run 1,130 miles from Lanchau. Through this loess region

    it becomes tinged with the soil which imparts both color

    and name to it. At the northern bend it separates in several

    small lakes and branches, and during this part of its course,

    for more than 500 miles, receives not a single stream of any

    size, while it is still so rapid, in descending from the plateau,

    as to demand much care when crossing it by boats. At the

    south-western corner of Shansi this river meets its largest

    tributary, the Wei, which comes in from the westward after

    a course of 400 miles, and is more available as a navigable

    stream than any other of the aflHuents. The area of the whole

    basin is less than that of the Yangtsz’, and may be estimated

    at about 475,000 square miles ; though the source of this

    stream is only 1,290 miles in a direct line from its mouth,

    its numerous windings prolong its course to nearly double that

    distance.

    The great differences of level in winter and summer have

    always made this river nearly useless, except as a drain ; while

    the effect of the long-continued deposit of silt along its lower

    level course has finally choked the mouth altogether. This

    remarkable result has been hastened, no doubt, by the dikes

    built along the banks to the east of Kaifung, which thus forced

    the floods to fill up the channel, and pushed the waters back

    over 500 miles to Honan-fu. Here the land is low, and the

    refluent waters gradually worked their way through marshes

    and creeks into the river Wei on the north bank, and thus

    found a north-east ‘ channel into the Canal and the Ta-tsing

    River, till they reached the Gulf of Pechele. A small part of

    these floods have perhaps gone south into the head waters of

    the river Hwai, and thence into Hung-tsih Lake ; but that lake

    has shrivelled, like its great feeder, and all its waters flow into

    the Yangtsz’. The history of the Yellow River furnishes a conclusive

    argument against diking a river’s banks to restrain its floods. It lias now reverted to the channel it occupied about fourteen centuries ago.’

    Far more tranquil and useful is its rival, the Yangtsz’ kiang,

    called also simply Kiaivj or Ta kiang, the ‘ River,’ or ‘ Great

    River.’ It is often erroneously named on western maps, Kyang

    Ku, which merely means ‘ mouth of the river.’ The sources

    of the Kiang ai’e in the Tangla Mountains and the Kwanlun

    range, and are placed on native maps in three streams flowing

    from the southern side of the Bayan-kara, This has been

    partly confirmed by Col. Prejevalsky. In January, 1873, he

    reached the Murui-ussu (Tortuous River) in lat. 35°, long. 94°,

    at its junction with the Ts^apchitai, the northern of the three

    branches, and found it 750 feet wide at that season. In spring,

    the river’s bed there is filled up a mile wide. Its course thence

    is south-east, receiving three other streams, all of which may be

    considered as its head-waters. All their channels are over ten

    thousand feet above the sea, but the ranges near them are under

    the snow-line. There is no authentic account of its course from

    this union till it joins the Yalung kiang in Sz’chuen, a distance

    of nearly 1,300 miles ; but Chinese maps indicate a southeasterly

    direction through the gorges of the Yun ling, till it

    bursts out from the mountains in lat. 20° IST., where it turns

    north-east. During nmcli of this distance it bears the name of

    the Po-lai-tsz’. The Yalung River rises very near the Yellow

    River, and runs parallel with the Kiang in a valley further east,

    flowing upwards of 600 miles before they join. Great rafts

    of timber are floated down both these streams, for sale at

    the towns furtlier east, but no large boats are seen on them

    before they leave the mountains. The town of Batang, in

    Sz’chuen, on the road from Il’lassa, is the first large place on

    the river. The main trunk is called Kin sha kiang {I.e., Goldensand

    River), until it receives the Yalung in the southern part

    of Sz’chuen, which the Chinese there regard as the principal

    stream of the two. Beyond the junction, the united river is

    called Ta kiang as far as Wuchang, in Ilupeh, beyond which

    ‘ Report by Dr. W. A. P. Martin in Journal of N. C. Branch of R A.

    Society, Vol. III., pp. 33-38 ; 1860. Same journal, Vol. IV., pp. 80-86 ; 1867,-

    Notes by Ney Elias. Pumpelly’s Researches, 1866, chap, v., pp. 41-51

    THE YANGTSZ’ KIANG. 21

    the people know it also as the Cliang kiang, or ‘Long Tliver.’

    They do not often call it Yangtsz’, which is properly applied

    only to the reach from Xanking ont to sea, which lay within

    the old region of Yangchan. This name has been erroneously

    written in Chinese, and thence translated ‘ Son of the Ocean,’

    The French often call it the Fleuve Bleu, but the Chinese have

    no such name. Its general course from AYuchang is easterly,

    receiving various tributaries on both shores, until it discharges

    its waters at Tsungming Island, by two mouths, in hit, 32° N,,

    more than 1,850 miles from its mouth in a direct line, but flowing

    nearly 3,000 miles in all its windings.’

    One of the largest and most useful of its tributaries in its

    lower course is the Ivan kiang in Kiangsi, which empties

    through the Poyang lake, and continues the transverse communication

    from north to south, connecting with the Grand

    Canal. The Tungting lake receives the Siang and Yuen, which

    drain the northern sides of the Xan ling in Ilunan ; and west

    of them is the Kungtan or Wu, which comes in with its

    surplus waters from Kweichau. These are on the south ; the

    Ilan in Ilupeh, and the Kialing, Min, and Loh in Sz’chuen, are

    the main aifluents on the north, contributing the drainage

    south of the Peli ling. The Grand Canal comes in opposite

    Chinkiang, and from thence the deep channel, able to carry the

    largest men-of-war on its bosom, finds its way to the Pacific.

    No two rivers can be more unlike in their general features than

    these two mighty streams. While the Yellow Piver is unsteady,

    the Yangtsz’ is uniform and deep in its lower course,

    and available for rafts from Batang in the western confines of

    Sz’chuen, and for boats from beyond Tungchuen in Yunnan,

    more than 1,700 miles from its mouth. Its great body and

    depth afford ample I’oom for ocean steam-ships 200 miles, as far

    as Xanking, where in some places no bottom could be found at

    twenty fathoms, while the banks are not so low^ as to be often

    injured by the freshets, even when the flood is over thirty feet.

    ‘ See the account of Pere Laribe’s voyage on this river in 1843, Annates de

    la Propagation de la Foi, Tome XVII., pp. 207, 286, ff. Five Months on the

    Tang-tsze, by Capt. Thos.W. Blakiston ; London, 1862. Pumpelly’s Researches^chap. ii. , pp. 4-10. Capt. Gill, The River of Golden Sand.

    At Pingslian above Siicliau in Sz’chnen, 1,550 miles from its month, Blakiston reckons the river to be 1,500 feet above tidewater, which gives an average fall of 13 inches to a geographical mile ; the inclination is increased to 19 inches in some portions, and it is this force which carries the silt of this stream ont to sea, bnt which is wanting in the Yellow River. The fall of the Yangtsz’ is nearly donble that of the Nile and Amazon, and half that of the Mississippi. The amount of water discharged is estimated at 500,000 cubic feet a second at Ichang, about 700 miles up, and it may reasonably be concluded that at Tsungming it discharges in times of flood a million cubic feet per second. Barrow calculated the discharge of the Yellow River in 1798 to be 11,610 cubic feet per second, when the current ran seven miles an hour. Xo river in the world exceeds the Yangtsz’ for arrangement of subsidiary streams, which render the whole basin accessible as far as the Yalung. “When a ship-canal has been dug around the gorges and rapids between Ichang and Kwei, steam-vessels can ascend nearly two thousand miles. The area of its basin is estimated at 548,000 square miles ; and from its central course, and the number of provinces through which it 2:)asses, it has been termed the Girdle of China ; while for its size, perennial and ample supply of water, and accessibility for navigation, it ranks with the great rivers of the world.’

    Besides these two notable rivers, numerous others empty

    into the ocean along the coast from Hainan to the Amur, three

    of which drain large tracts of country, and afford access to

    many populous cities and districts. The third basin is that

    south of the I^an ling to the ocean ; it is drained chiefly by the

    Chu kiang, and its form is much less regular than those of the

    Yellow River and Yangtsz’. The Chu kiang or Pearl River,

    like most of the rivers in China, has many names during its

    course, and is formed by three principal branches, respectively

    called East, North, and West rivers, according to the quarter

    from whence they come. The last is by far the largest, and all

    ‘ Staunton’s Emhnssy, Vol. III., p. 233. Blakiston’s Yang-tsze, p. 294, etc

    Chinese Repodtoru^ Vol. II., p. 316,

    LAKES OF CHINA. 2^\

    of them are navigal)le most of their length. They disembogue

    togetlier at Canton, and drain a region of not nuich less than

    130,000 S(jiiare miles, being all the conntr}- east of the Ynn ling

    and south of the Nan ling ranges. The rivers in Yunnan, for

    the most part, empty into the Salween, Saigon, Meikon, and

    other streams in Coehinehina. The Min, which flows by Fnhchau,

    the Tsili, upon which Xingpo lies, the Tsientang, leading

    up to Hangchau, and the Pei ho, or White River, emptying into

    the Gulf of Pechele, are the most considerable among these

    lesser outlets in the provinces ; while the Liau ho and Yaliluh

    kiang, discharging into the Gulf of Liautung, are the only two

    that deserve mention in Southern Manchuria. The difference

    between the number of river-mouths cutting the Chinese coast

    and that of the United States is very striking, resulting from

    the diiferent direction of the mountain chains in the interior.

    The lah’s of China are comparatively few and small ; all

    those in the provinces of any size lie within the Plain, and are

    connected with the two.great rivers. The largest is tlie Tungting

    in Ilunan, about 220 miles in circumference, tlirough

    Avliich the waters of the Siang and Yuen rivers flow, and fill

    its channels and beds according to the season ; it is now the silted-

    up bed of a former inland sea in Ilupeh, lying on both sides

    of the Yangtsz’, and through which countless lakes, creeks, and

    canals form a navigable network between that river and the

    Han. The lake receives the silt as the tributaries flow on

    through it, and discharge themselves along the deep outlet

    near Yohchau ; this depression altogether is about 200 miles

    long and 80 broad. About 320 miles eastward lies the Poyang

    Lake in Kiangsi, which also discharges the surplus waters of

    the Kan into the Yangtsz’. It is nearly 90 miles long, and

    about 20 in breadth, inclosing within its bosom many beautiful

    and populous islets. The scenery around this lake is highly

    picturesque, and its trade and flsheries are inore important

    than those of the Tungting. The Yangtsz’ receives the waters

    of several other lakes as it approaches the ocean, the largest

    of which are the Ta liu or ‘ Great Lake ‘ near Suchau, and the Tsau hu, lying on the northern bank, between Nganking and Nanking ; both these lakes join the river by navigable streams and the former is connected with the ocean by more than one channel.

    The only considerahle lake connected with the Yellow River

    is the llungtsih in Iviangsu, situated near the junction of that

    river and the Grand Canal, into which it discharges the drainings

    of the Ilwai River ; it is more remarkable for the fleets of

    boats upon it than for scenery in the vicinity. The larger part

    of the country between the mouths of the two rivers is so

    marshy and full of lakes, as to suggest the idea that the

    whole was once an enormous estuary where their waters joined,

    or else that their deposits have filled up a huge lake which

    once occupied this tract, leaving only a number of lesser sheets.

    Besides these, there are small lakes in Chihli and Shantung; also the Tien, the /Sien, and the Tali, of moderate extent, in Yunnan ; all of them support an aquatic population upon the fish taken from their waters.

    The largest lake in Manchuria is the Hinkai-nor in Kirin,

    near the source of the Usuri ; the two.lakes Hurun and Puyur,

    or Pir, in the basin of the Nonni River, give their name to

    Hurun-pir, the western district of Tsitsihar ; but of the extent

    and productions of these sheets of water little is known.

    Tl”3 regions lying north and south of Gobi contain many

    salt lakes, none of them individually comparing with the Aral

    Sea, but collectively covering a much larger extent, and most

    of them receiving the waters of the streams which drain their

    own isolated basins. The peculiarities of these little known

    parts, especially the depression on each side of the Tien shan,

    are such as to render them among the most interesting fields

    for geographical and geological research in the world. The

    largest one in Turkestan is Lob-nor, stated to be a great marsh

    overgrown with tall reeds and having a length of 75 miles and

    width of 15 miles(Prejevalsky, Froni Kulja Across the Tien shnii to Lob-nor, p. 99.). Bostang-nor, said to connect with this

    lake, is placed on Chinese maps some 30 miles north of it.

    Korth of the Tien shan the lakes are larger and more numerous

    ; the Dzaisang, Kisil-bash and Issik-kul are the most important.

    All these lakes are salt.

    BOUNDARIES OF THE PROVINCES. 25

    The M’liole region of Koko-nor is a country of lakes. The

    Oling and Dzaring are among tlie sources of the Yellow Rivei”; and the Tsing Ixti^ or Azure Sea, better known as Koko-nor,

    gives its name to the province. The Tengkiri-nor in Tibet lies

    to the north of H’lassa, and is the largest sheet of water within

    the frontiers of the empire. In its neighborhood are numerous

    small lakes extending northward into Koko-nor. The

    Palti or Yamorouk is shaped like a ring, an island in its centre

    occupying nearly the whole surface. Ulterior Tibet possesses

    many lakes on both sides of the Gang-dis-ri range ; the Yik

    and Paha, near Gobi, are the largest, being only two of a long

    row of them south of the Kwanlun range.

    The Eighteen Provinces are bounded on the north-east by the

    colony of Shingking, from which they are separated by the

    line of a former palisade marking the boundary from the town

    of Shan-hai kwan to the Hwang ho. Following this stream to

    its sources in the In shan, the boundary then crosses these

    mountains and pursues a west and south-west course, through

    the territories of roving Mongol tribes, until it finds the Yellow

    River at the settlement of Hokiuli in Shensi. West of this

    the Great “Wall divides the provinces of Shensi and Ivansuh

    from the Mongolian deserts as far as the Kiayli Pass, beyond

    which lies the desert of Gobi, called Pch ha I (Xorth Sea) and Hah

    fiai (Black Sea). On the east are the Gulf of Pechele and the

    Yellow Sea or Hwang hai, also called Tang hai (Eastern Sea)

    as far south as the Channel of Formosa. This channel and

    the China Sea lie on the south-east and south, as far as the Gulf

    of Tongking and the confines of Annam. Kwangsi and Yunnan border on Annam and Siam on their south sides, while Burmali marks the western frontier, but nearly the whole southwest and western frontiers beyond Yunnan and Sz’chuen are possessed by small tribes of uncivilized people, over whom neither the Chinese nor Burmese have much real control.

    Koko-nor bounds Sz’chuen and Kansuh on their western and southwestern sides.

    The coast of China, from Hainan to the mouth of the Yangtsz’, is bordered with multitudes of islands and rocky islets; from that point northward to Liautung, the shores are low, and, except in Sliantuiiii’, the coast is rendered dangerous by shoals.

    South of the Pei ho, along to the end of Shantung Promontory, the coast is bolder, increasing in height after passing the Miautau Islands, though neither side of the promontory presents any point of remarkable elevation ; Cape Macartney, at the eastern end, is a conspicuous bluff when approaching it from sea. From this cape to the mouth of the Tsientang River, near Chapu, a distance of about 400 miles, the coast is

    low, especially between the mouths of the Yangtsz’ and Yellow

    rivers, and has but few good harbors. Quicksands in the

    regions near these rivers and the Bay of Ilangchau render the

    navigation dangerous to native junks. From Kitto Point, near

    Ningpo, down to Hongkong, the shores assume a bolder aspect,

    and numerous small bays and coves occur among the islands,

    affording safe refuge for vessels. The aspect along this part is

    uninviting in the extreme, consisting principally of a succession

    of yellowish cliffs and naked headlands, giving little promise

    of the highly cultivated country beyond them. This bleak appearance

    is caused by the rains washing the decomposed soil

    off the surface ; the rock being granite in a state of partial

    and progressive disintegration, the loose soil is easily carried

    down into the intervals. Another reason for its treeless sin–

    face is owing to the practice of annually cutting the coarse

    grass for fuel, and after the crop is gathered setting the stubble

    on fire, in order to manure the ground for the coming year; the fire and thinness of the soil together effectually prevent any large growth of trees or shrubbery upon the hills.

    The estuary of the Pearl Iliver from the Bocca Tigris down to the Grand Ladrones, a distance of TO miles, and from Hongkong westerly to the Island of Tungku, about 100 miles, is interspersed with islands. The strait which separates Hainan from the Peninsula of Luichau has been supposed to be the place called by Arabian travelers in the ninth century the Gates of China, but that channel was probably near the Chusan Archi})elago. That group of fertile islands is regarded as the l)rokeii termination of the continental range of mountains running throui^h Chehkiang.

    CHARACTER OF THE COAST.

    The Island of Formosa, or Taiwan, cmmects tlie islands of Japan and Lewchew with Lu9onia. Between Formosa and the coast lie the Pescadores or Panghu Islands, a group much less in extent and number than the Chusan Islands. The Chinese have itineraries of all the places, headlands, islands, etc., along the entire coast, but they do not afford much information respecting the names of positions.(CJiinese Repository, Vol. V., p. 337; Vol. X., pp. 351, 371. Williams’ Chinese Commerced Guide, fifth edition, second part, 1863.)

    The first objects that invite attention in the general aspect of China Proper are the Great Plain in the north-east, and the three longitudinal basins into which the country is divided by mountain chains running east and west(Remusat (Nouvennx Melanges, Tome I., p. 9) adds a fourth basin, that of the Sagalien. The latter, however, scarcely deserves the name, having so many interrupting cross-chains.). The three great rivers which drain these basins How through them very irregularly, but by means of their main trunks and the tributaries, water communication is easily kept up, not only from west to east along the great courses, but also across the country. These natural facilities for inland navigation have been greatly” improved by the people, but they still, in most cases, await the introduction of steam to assist them in stemming the rapid currents of some of their rivers, and bringing distant places into more frequent communication.

    The whole surface of China may be conveniently divided into the mountainous and hilly country and the Great Plain. The mountainous country comprehends more than luilf of the whole, lying west of the meridian of 112^ or 114° (nearly that of Canton), quite to the borders of Tibet. The hilly portion is that south of the Yangtsz’ kiang and east of this meridian, comprising the provinces of Fuhkien, Kiangsi, Kwangtung, and sections of Hunan and Ilupeh. The Great Plain lies in the northeast, and forms the richest part of the empire.

    This Plain extends in length 700 miles from the Great Wall and Barrier Range north of Peking to the confluence of Poyang Lake with the Yangtsz’ in Kiangsi, lat. 30° X. The latter river is considered as its southern boundary as far down as Nganking in Ngankwui, wlience to the sea it is formed by a line drawn nearly east throng] i llangchau. The western boundary may be marked by a line drawn from Kingchau in Ilupeh(lat. 30° 36′), nearly north to llwaiking, on the Yellow River, and thence due north to the Great Wall, 50 miles north-west of

    Peking. The breadth varies. North of lat. 35°, where it

    partly extends to the Yellow Sea, and partly borders on the

    western side of Shantung, thence across to tlie ]jear Mountains

    and Shansi, its measure is between 150 and 250 miles ; stating

    the average at 200 miles, this portion has an area of 70,000

    square miles. Between 3-i° and 35° the Plain enlarges, and in

    the parallel of the Yellow Piver has a breadth of some 300

    miles from east to west ; while further south, along the course

    of the Yangtsz’, it reaches nearly 400 miles inland. Estimating

    the mean breadth of this portion at 400 miles, there are

    140,000 square miles, which, watli the northern part, make an

    area of about 210,000 square miles—a surface seven times as

    large as that of Lombardy, and about the same area as the

    plain of Bengal drained by the Ganges. The northern portion

    in Chihli up to the edge of the Plateau is mostly a deposit

    of the yellow loess and alluvial on the river bottoms;

    that lying near the coast in Kiangsu is low and swampy, covered

    by lakes and intersected by water-courses. This portion

    is extremely fertile, and furnishes large quantities of silk, tea,

    cotton, grain, and tobacco. The most interesting feature of this

    Plain is tlie enormous population it supports, which is, according

    to the census of 1812, not less than 177 millions of human

    beings, if the whole number of inhabitants contained in the six

    provinces lying wholly or partly in it be included ; making it

    by far the most densely settled of any part of the world of the

    same size, and amounting to nearly two-thirds of the whole

    population of Europe.(Penny Cydojwidia, Vol. VII., p. 74. McCulloch’s Oeographicul Dictionary, Vol. I., p. 596.)

    THE GREAT WALL 29

    The public works of China are probably unequalled in any land or by any people, for the amount of human labor bestowed upon them; the natural aspect of the country has been materially changed by them, and it has been remarked that the Great Wall is the only artificial structure which would arrest attention in a hasty survey of the surface of the globe. But their usefulness, or the science exhibited in their construction, is far inferior to their extent. The Great Wall, called Wan-li Chang Cheng (i.e., Myriad-mile Wall), was built by Qin Shi-huangdi, in order to protect his dominions from

    the incursions of the northern tribes. Some portions of it

    were already in existence, and he formed the plan of joining

    and extending them along the whole northern frontier to

    guard it. It was finished b.c. 204, having been ten years in

    building, seven of which were done after the Emperor’s death.

    This gigantic work was probably a popular one in the main,

    and still remains as its own chief evidence of the energy,

    industry, and perseverance of its builders, as well as their

    unwisdom and waste. Its construction probably cost less than

    the usual sums spent by Eui-opean States for their standing

    armies. It commences at Shanhai wei or Shanhai kwan (lat.

    40°, long. 119° 50′), a coast town of some importance as on

    the boundary between Child i and Shingking, and a place of

    considerable trade. Lord Jocelyu describes the wall, when

    observed from the ships, as ” scaling the precipices and topping

    the craggy hills of the country, which have along this

    coast a most desolate appearance.”

    It runs along the shore for several miles, and terminates on

    the beach near a long reef. Its course from this point is

    west, a little northerly, along the old frontiers of the province

    of Chihli, and then in Shansi, till it strikes the Yellow River,

    in lat. 394° and long. 111^°. This is the best built part, and

    contains the most important gates, where garrisons and trading

    marts are established. Within the province of Chihli there

    are two walls, inclosing a good part of the basin of the Sangkan

    ho west of Peking ; the inner one was built by an emperor of the Ming dynasty. From the point where it strikes the Yellow River, near Pau-teh, it forms the northern boundary of Shensf, till it tonches that stream again in lat. 37°, inclosing the country of the Ortous Mongols. Its direction from this point is north-west along the northern frontier of Kansnh to its termination near Kiavii kwan, through which the road passes leading to llami.

    From Tiear the eastern extremity of tlio AVall in the province of Ciiihh’, extending in a north-easterly direction, there was once a wooden stockade or palisade, forming the boundary between Liautung and Ivirin, which has been often taken from its representation on maps as a continuation of the Great Wall. It was erected by the Manchus, but has long since become decayed and disused.

    The entire length of the Great Wall between its extremities is 22^ degrees of latitude, or 1,255 miles in a straight line; but its turnings and doublings increase it to fully 1,500 miles.

    It would stretch from Philadelphia to Topeka, or from Portugal to Naples, on nearly the same latitude. The construction of this gigantic work is somewhat adapted to the nature of the country it traverses, and the material was taken or made on the spot where it was used. In the western part of its course, it is in some places merely a mud or gravel wall, and in others earth cased with brick.

    The eastern part is generally composed of earth and pebbles faced with large bricks, weighing from 10 to GO lbs, each, supported on a coping of stone. The whole is about 25 feet thick at the base, and 15 feet at the top, and varying from 15 to 30 feet high; the top is protected with bricks, and defended by a slight parapet, the thinness of which has been taken as proof that cannon were unknown at the time it was erected.

    There are brick towers at different intei’vals, some of them more than 40 feet high, but not built upon the Wall. These are independent structures, usually about 40 feet square at the base, diminishing to 30 at the top; at particular spots the towers are of two stories.

    The impression left upon the mind of a foreigner, on seeing this monument of human toil and unremunerative outlay, is respect for a people that could in any manner build it. Standing on the jK-ak at Kn-jxh Knu (Old North (late), one sees the cloud-<-a[)ped towers extending away over the declivities in single tiles both east and west, until dwarfed by miles and miles of sk}’-w:ird jiei-sj)e(‘ti\(> as they dwindle inf(» niiiinte piles, yet stand

    THE GRAND CANAL. 31

    with solemn stillness where they were stationed twenty centuries ago, as though condemned to wait the march of time till their builders returned. The crumbling dike at their feet may be followed, winding, leaping across gorges, defiles, and steeps, now buried in sonie chasm, now scaling the cliffs and slopes, in very exuberance of power and M’antonness, as it vanishes in a thin, shadowy line, at the horizon. Once seen, the Great Wall of China can never be forgotten.

    At present this remarkable structure is simply a geographical boundary, and except at the Gates nothing is done to keep it in repair. Beyond the Yellow River to its western extremity, the Great Wall, according to Gerbillon, is mostly a mound of earth or gravel, about fifteen feet in height, with only occasional towers of brick, or gateways made of stone.

    At Kalgan portions of it are made of porphyry and other stones piled up in a pyramidal form between the brick towers, difficult to cross but easy enough to pull down. The appearance of this rampart at Ivu-peh kau is more imposing; the entire extent of the main and cross walls in sight from one of the towers there is over twenty miles. In one place it runs over a peak 5,225 feet high, where it is so steep as to make one wonder as much at the labor of erecting it on such a cliff as on the folly of supposing it could be of any use there as a defence. The wall is most visited at Xan-kau (South Gate), in the Ku-yung Pass, a remarkable Thermopyla fifteen miles in length, which leads from the Plain at Peking up to the first terrace above it, and at one time was guarded by five additional walls and gates, now all in ruins. From this spot, the wall reaches across Shansi, and was built at a later period.

    The other great public work is the Grand Canal, or Chah ho (i.e., river of Flood-gates), called also Yim ho or ‘ Transit River,’ an enterprise which reflects far more credit upon the monarchs who devised and executed it, than does the Great Wall, and if the time in which it was dug, and the character of the princes who planned it, be considered, few works can be mentioned in the history of any country more admirable and useful. When it was in order, before the inflow of the Yellow River failed, by means of its connection with its feeders, an uninterrupted water communication across the country from Peking to Canton existed, and goods and passengers passed from the capital to nearly every hirge town in the basins of the two great rivers. The canal was designed by Kublai to reach from his own capital as far as HangZhou, the former capital of the Sung dynasty, and cannot be better described than in Marco Polo’s language : ” You must understand that the Emperor has caused a water communication to be made from this city [Kwa-chau] to Cambaluc, in the shape of a wide and deep channel dug between stream and stream, between lake and lake, forming as it were a great river on which large vessels can ply.” ‘ The northern end is a channel fourteen miles long, from Tung-chau up to Peking, which, passing under the city walls, finishes its course of some 600 miles at the palace wall, close by the British Legation ; here it is called Jl^ Ao, or ‘ Imperial River,’ but all boats now unlade at the eastern gate. An abridged account of Davis’s observations ” will afford a good idea of its construction and appearance.

    “Early on the 23d September, we entered the canal through

    two stone piers and between very high banks. The mounds

    of earth in the immediate vicinity were evidently for the purpose

    of effecting repairs, which, to judge from the vestiges of

    inundation on either side, could not be infrequent. The canal

    joins the Yu ho, which we had just quitted, on its eastern

    bank, as that river flows towards the Pei ho. One of the

    most striking features of the canal is the comparative clearness

    of its waters, when contrasted with that of the two rivers

    on which we had hitherto travelled ; a circumstance reasonably

    attributable to the depositions occasioned by the greater stillness

    of its contents. The course of the canal at this point

    was evidently in the bed of a natural river, as might be perceived

    from its winding course, and the irregularity and inartificial

    appearance of its banks. The stone abutments and

    flood-gates are for the purpose of regulating its waters, which

    at present were in excess and flowing out of it. As we proceeded

    on the canal, the stone flood-gates or sluices occurred at the rate of three or four a day, sometimes oftener, according as the inequalities in the surface of the country rendered them necessary

    • Yuk-‘s Marco Polo, Vol. II., p. KJG. ” Sketches of China, Vol. I., p. 245

    THE GRAND CANAL. 33

    ” As we advanced, the canal in some parts became narrower,

    and the banks had rather more of an artificial appearance than

    where we first entered it, being occasionally pretty high ; but

    still the winding course led to the inference, that as yet the

    canal was for the most part only a natural river, modified and

    regulated by sluices and embankments. The distance between

    the stone piers in some of the flood-gates was apparently so

    narrow as only just to admit the passage of our largest boats.

    The contrivance for arresting the course of the water through

    them was extremely simple ; stout boards, with ropes fastened

    to each end, were let down edgewise over each other through

    grooves in the stone piers. A number of soldiers and workmen

    alwaj’s attended at the sluices, and the danger to the boats

    was diminished by coils of rope being hung down at the sides

    to break tha force of l)lows. The slowness of our progress,

    which for the last week averaged only twenty miles a day,

    gave us abundant leisure to observe the country

    ” “We now began to make better progress on the canal than

    we had hitherto done. The stream, though against us, was

    not strong, except near the sluices, where it was confined. In

    the afternoon we stopped at Kai-ho chin (i.e., River-opening mart), so called, perhaps, because the canal was commenced near here. On the 28th we arrived at the influx of the Yun ho, where the stream turned in our favor, and flowed to the southward, being the highest point of the canal, and a place of some note. The Yun ho flows into the canal on its eastern side nearly at right angles, and a part of its waters flow north and part south, while a strong facing of stone on the western bank sustains the force of the influx. At this point is the temple of the Dragon King, or genius of the watery element, who is supposed to have the canal in his special keeping. This enterprise of leading in this river seems to have been the work of Sung Li, who lived under Hungwu, the first emperor of the Ming dynasty, about 1375. In his time, a part of the canal in Shantung became so impassable that the coasting passage by sea began to be most used. Tins was the very thing the canal had been intended to prevent ; Sung accordingly adopted the plan of an old man named Piying, to concentrate the waters of the Yun ho and neighboring streams, and bring them down upon the canal as they are at present. History states that Sung employed 300,000 men to carry the plan into operation, and that the work was completed in seven months.

    On both sides of ns, nearly level with the canal, were extensive swamps with a shallow covering of water, planted with the Keluml)ium ; they were occasionally separated by narrow banks, along which the trackers walked, and the width of the canal sometimes did not exceed twenty-five yards. On reaching the part which skirts the Tu-shan Lake, the left bank was entirely submertred, and the canal confounded with the lake. All within sight was swamp, coldness, and desolation—in fact, a vast iidand sea, as many of the large boats at a distance were hull down. The swamps on the following day were kept out of sight by some decent villages on the high banks, which from perpetual accunnilation assumed in some places the aspect of hills.

    ” A part of our journey on the first of October lay along a portion of the canal where the banks, particularly to the right, were elaborately and thoroughly faced with stone ; a precaution which seemed to imply a greater than ordinary danger from inundations. In fact, the lakes, or rather floods, seemed to extend at present nearly to the feet of the mountains which lay at a distance on our left. We were now approaching that part of China which is exposed to the disastrous overflowings of the Yellow River, a perpetual source of wasteful expenditure to the government, and of peril and calamity to the people ; it well deserves the name of China’s Sorrow. We observed the repairs of the banks diligently proceeding under the superintendence of the proper officer. For this purpose they use the natural soil in combination with the thick stalks of the gigantic millet.”

    THE GRAND CANAL. 35

    The canal reaches the Yellow River about TO miles from its mouth ; but before leaving the lakes in the southern part of Shantung, it used to run nearly parallel with that stream for more than a hundred miles, and between it and the New Salt River during a good part of this distance. It is hard to understand how, by natural causes, so powerful a river, as it is described to be by the historians of both the British enil^assies less than one hundred years ago, should have become so completely choked up. The difference of level near Kaifung is found to be so very little that the siltage there has been enough to turn the current into the river “Wei and elsewhere. When Amherst’s

    embassy passed, the boats struck right across the stream,

    and gained the opposite bank, about three-fourths of a mile

    distant, in less than an hour. They drifted about two miles

    down, and then slowly brought up against the current to the

    spot Avhere the canal entered. This opening was a sluice nearly

    a hundred yards across, and through it the waters rushed into

    the river like a mill-race ; the banks were constructed of earth,

    strengthened with sorghum stalks, and strongly bound with cordage.

    Sir John Davis remarks, with the instinct of a tradesman,

    as he commends the perseverance and industry which had

    overcome these obstacles, that if the science of a Brunei could

    be allowed to operate on the Yellow River and Grand Canal,” a

    benefit mio-ht be conferred on the Chinese that M^ould more

    than compensate for all the evil that M-e have inflicted with our

    opium and our guns.” The boats were dragged through and

    up the sluice close to the bank by ropes communicating with

    large windlasses worked on the bank, wdiich safely, though

    slowly, brought them into still water.

    The distance between the Yellow and Yangtsz’ rivers is about

    ninety miles, and the canal here is carried largely upon a raised

    w^ork of earth, kept together by retaining walls of stone, and

    not less that twenty feet above the surrounding country in

    some parts. This sheet of water is about two hundred feet wide,

    and its current nearly three miles an hour. South of the II%vang

    ho several large towns stand near the levees, below their level,

    whose safety wholly depends upon the care taken of the baidvs

    of the canal. Ilwai-ngan and Pauying lie thus under and near

    them, in such a position as to cause an involuntary shudder at

    the thought of the destruction which would take place if they

    should give way. The level descends from these towns to the Yangtsz’, and at ‘i’angeliau the canal is much below the houses on its sides. It also connects with every stream or lake whose waters can be led into it. There are two or three inlets into the Yangtsz’ where the canal reaches the northern bank, but Chinkiang, on the southern shore, is regarded as the principal defence and post of its crossing. The canal leaves the river east of that city, proceeds south-east to

    Sucliau, and thence southerly on the eastern side of lake Tai,

    with which it communicates, to Ilangchau in Chehkiang. This

    portion is by far the most interesting and picturesque of the

    whole line, owing to its rich and populous cities, the fertility

    and high cultivation of the banks, and the lively aspect imparted

    by the multitude of boats. Though Kublai has had the credit

    of this useful work, it existed in parts of its com-se long before his day. The reach between the two great rivers was opened in the 11 an dynasty, and repaired by the wise founder of the SuiChao dynasty (a.d. (500). The princes of the TangChao dynasty kept it (tpen, and when the Sung emperors lived at Ilangchau they made the extension up to Chinkiang the great highway which it is to this day. The work from Peking to the Yellow River Mas opened by the Mongols about 1289, in which they merely joined the rivers and lakes to each other as they now exist. The Ming and Tsing emperors have done all they could to keep it open throughout, and lately an attempt has been made to reopen the passage from Ilungtsih Lake north into the old bed, so that boats can reach Tientsin from Kwachau. Its entire length is about 650 miles, or not quite twice that of the Erie Canal, but it varies in its breadth and depth more than any important canal either of America or Europe.

    As a work of art, compared with canals now existing in western countries, the Transit river does not rank high ; but even at this day there is no work of the kind in Asia which can compare with it, and there was none in the world equal to it when first put in full operation. It passes through alluvial soil in every part of its course, and the chief labor was expended in constructing embankments, and not in digging a deep channel.

    CANALS. 37

    The junction of the Yun ho, about lat. 3(5° N., was probably taken as the summit level. From this point northward the trench was dug through to Liiitsing to join the Yu ho, and embankments thrown up from the same place southward to the Yellow River, the whole being a line of two hundred miles. In some places the bed is cut down thirty, forty, and even seventy feet, but it encountered no material obstacle. The sluices which keep the necessary level are of rude construction, and thick planks, sliding in grooves hewn in stone buttresses, form the only locks. Still, the objects intended are all fully gained, and the simplicity of the means certainly does not derogate from the merit and execution of the plan.’

    There are some other inferior canals in the empire. Kienlung

    constructed a waste-weir for carrying off the surplus waters

    of the Yellow River of about a hundred miles in length, by

    cutting a canal from Ifimg liien in llonan, to one of the principal

    affluents of lake Hungtsih. It also answered as a drain for

    the marshy land in that part, and has probably recently served

    to convey the Hoods from the main stream into the lake. In

    the vicinity of Canton and Sucliau are many channels cut

    through the plains, which serve both for irrigation and navigation,

    but they are not worthy the name of canals. Similar conveniences

    are more or less frequently met with in all parts of

    the provinces, notably those on the Plain and low coast-lands.

    The public roads, in a country so well provided with navigable

    streams, are of minor consequence, but these media of travel

    are not neglected. ” I have travelled near 600 leagues by land

    in China,” observes De Guignes, ^ and have found many good

    roads, most of them wide and planted with trees. They are

    not usually paved, and consequently in rainy weather are either

    channelled by the water or covered with nnid, and in dry weather

    so dusty that travellers are obliged to wear spectacles to protect

    their eyes. In Kwangtung transportation is perfornied almost

    wholly by water, the only roads being across the lines of navigation.

    ‘ Klaproth, Memoires, Tome III., p. 312 sqq. De Guignes’ Voyages a Peking. Tome II., p. 195. Davis’s Sketchets, Vol. I., passim.H8 almost nortlnv

    The pass across the Mei ling is paved or filled up with stones; at Kihngan, in Kiangsi, are paved roads in good condition, but beyond the Yangtsz’, in xSganhwui, they were impracticable, but became better as we proceeded ard, and in many places had trees on both sides. Beyond-the Hwang ho they were broader, and we saw crowds of travelers, carts, nudes, and horses.

    In Shantung and Chihli they were generally broad and shady, and very dusty. This is, no doubt, disagreeable, but we went smoothly over these places, while in the villages and towns we were miserably jolted on the pavements. I hope, for the sake of those who may come after me, that the Chinese will not pave their roads before they improve their carriages.

    Some of the thoroughfares leading to Peking are paved with thick slabs of stone. One feature of the roads through the northern provinces which attracts attention is the great miiiilxT that lie below the level of the country. It is caused by the wind sweeping along them, and carrying over

    A Rf ., I-Cut in thf Loess. runLic JioADS. 39

    the fields the dust made and raised by the carts. As soon as the pools left by the rains dry enough to let the carts pass, the earth is reduced to powder ; as the winds sweep through the passage and clear it out, the process in a few years cuts a defile through the loani often fifteen feet deep, which impedes travel by its narrow gauge, hindering the carts as they meet. The banks are protected by revetment Myalls or turf, if necessary. Those near I langchau, and the great road leading from Chehkiang into Kiangsi, are all in good condition. Generally speaking, however, as is the case with most things in China, the roads are not well repaired, and large holes are frequently allowed to remain unfilled in the path, to the great danger of those who travel by night.” ‘

    Mountain passes have been cut for facilitating the transit of goods and people over the high ranges in many parts of the empire. The great road leading from Peking south-west through Sliansi and Shensi, and thence to Sz’chuen, is carried across the Peli ling and the valley of the river Ilwai by a mountain road, ” which, for the difficulties it presents and the art and labor with which they have been overcome, does not appear to be inferior to the road over the Simplon.” * At one place on this route, called Li-nai, a passage has been cut through the rock, and steps hewn on both sides of the mountain from its base to the summit. The passage across the peak being only wide enough for one sedan, the guards are perched in little houses placed on poles over the pass. This road was in ancient times the path to the metropolis, and these immense excavations were made from time to time by different monarchs. The pass over the Mei ling, at Kan-ngan, is a work of later date, and so are most of the other roads across this range in Fuhkien and Ivwangtung.

    ^ Voyages a Peking, Vol. II., p. 214. Compare the letter of a Jesuit missionary (Annales de la Foi, Tome VII., p. 377), who describes houses of rest on the wayside. These singular road-gullies of the loess region have been very thoroughly examined by Baron von Richthofen, from whose work the cut above is taken.^ Penny Cyclopaedia, Vol. XXVIL, p. 656.

    The general aspect of the country is perhaps as much modified by labor of man in China as in England, but the appearance of a landscape in the two kingdoms is unlike. Whenever water is a\aihil)le, streams are led upon the rice fields, and this kind of cultivation allows few or no trees to grow in the plats.

    Such fields are divided by i-aised banks, which serve for pathways across the marshy enclosui-e, and assist in confining the water when let in upon the growing crop. The bounds of other fields are denoted by stones or other landmarks, and the entire absence of walls, fences, or hedgerows, makes a cultivated plain appear like a vast garden.

    The iireatest sameness exists in all the cities. A wall encloses all towns above a .s-^’ or township, and the suburbs are not unfrequently larger than their enceinte. The streets in large towns south of the Hwang ho are paved, and the sewers run under the cross slabs. What filth is not in them is generally in the street, as these drains easily become choked. The roadways arc not usually over ten feet wide, but the low houses on each side make them appear less like alleys than would be the case in western cities. Villages have a pleasant appearance at a distance, usually embowered among trees, between which the whitewashed houses look prettily ; but on entering them one is disappointed at their irregularit}’, dirtiness, and generally decayed look. The gardens and best houses are mostly walled in from sight, while the precincts of temples are the resort of idlers, beggars, and children, with a proportion of pigs and dogs.

    Elegance or ornament, orderly arrangement and grandeur of design, cleanliness, or comfort, as these terms are applied in Europe, are almost unknown in Chinese houses, cities, or gardens.

    GENERAL ASPECT AND RACE TYPES. 41

    Commanding or agreeable situations are chosen for temples and monasteries, which are not only the abode of priests but serve for inns, theatres, and other purposes. The terrace cultivation sometimes renders the acclivities of hills beautiful in the highest degree, but it does not often impart a distinguishing feature to the landscape. A lofty solitary pagoda, an extensive temple shaded by trees in the opening of a vale, a commemorative ^x«’-Z«i*, or boats inoving in every direction through narrow creeks or on broad streams, are some of the peculiar lin eanients of Chinese scenery. No imposing mansions with beautiful grounds are found on the skirts of a town, for the people huddle together in luunlets and villages for mutiuil aid and security.

    No tapering spires pointing out the rural chureli, nor towers, pillars, domes, or steeples in the cities, indicating buildings of public utility, rise upon the low level of dun-tiled roofs.

    No meadows or pastures, containing herds and tlocks, are visible from tlie hill-tops in China ; nor are coaches or railroad cars observed hurrying across its landscapes. Steamers have just begun to course through some of its rivers, and disturb, by theii whistles and wheels, the drowsy silence of past ages and the slow progress of unwieldy junks—the other changes have yet to come.

    The condition and characteristics of the various families of man inhabiting this great empire, render its study far more interesting than anything relating to its physical geography or public works. The Chinese forms the leading family, but the Miaotsz’, the Li-mu, the Kakyens, and other aborigines in the southern provinces, the Manchus, the Mongols, and various

    Tartar tribes, the Tibetans, and certain wild races in Kirin and

    Formosa, must not be overlooked. The sons of Ilan are indeed

    a remarkable race, whether regard be had to their antiquity,

    their numbers, their government, or their literature, and on

    these accounts deserve the study and respect of every intelligent

    student of mankind ; while their unwearied industry, their general

    peaceableness and good humor, and their attainments in

    domestic order and mechanical arts, connnend them to the notice

    of every one who sees in these points of character an earnest

    of their future position amid the great family of civilized

    nations when once they shall have attained the same.

    The physical traits of the Chinese may be described as being between the light and agile Hindu, and the muscular, fleshy European. Their form is well built and symmetrical ; their color is a brunette or sickly white, rather approaching to a yellowish than to a florid tint, but this yellow hue has been much exaggerated ; in the south they are swarthy but not black, ne\er becoming as dark even as the Portuguese, whose fifth or sixth ancestors dwelt near the Tagus. The shades of complexion differ much according to the latitude and degree of exposure to the -u-eather, especially in the females. The hair of the head is lank, black, coarse, and glossy; beard always black, thin, and deficient ; scanty or no whiskers ; and very little hair on the body. Eyes invariably black, and apparently oblique, owing to the slight degree in which the inner angles of the eyelids open, the internal canthi being more acute than in western races, and not allowing the whole iris to be seen ; this peculiarity in the eye distinguishes the eastern races of Asia from all other families of man. There is a marked difference between the features of the mixed race living south of the Mei ling, and the inhabitants of the Great Plain and in Shansi or further west ; the latter are the finer appearing. The hair and eyes being always black, a European with blue eyes and light hair appears strange to them; one reason given by the people of Canton for calling foreigners ‘yangguizi’ or ‘foreign devils,’ is, that they have sunken blue eyes, and red hair like demons.

    The cheek-bones are high, and the outline of the face remark ably round. The nose is rather small, much depressed, nearly even with the face at the root, and wide at the extremity ; there is, however, considerable difference in this respect, but no aquiline noses are seen. Lips thicker than among Europeans, but not at all approaching those of the negro. The hands are small, and the lower limbs better proportioned than among any other Asiatics. The height of those living north of the Yangtsz’ is about the same as that of Europeans. A thousand men taken as they come in the streets of Canton, will hardly equal in stature and weight the same number in Rome or New Orleans, while they would, perhaps, exceed these, if gathered in Peking;

    their nuiscular powers, however, would probably be less in

    either Chinese city than in those of Europe or America.

    In size, the women are smaller than European females ; antf

    in the eyes of those accustomed to the European style of beauty,

    the Chinese women possess little ; the broad upper face, low

    nose, and linear eyes, being quite the contrary of handsome.

    Nevertheless, the Chinese face is not destitute of beauty,

    and when animated with good humor and an expressive eye,

    and lighted by the glow of youth and health, the features lose

    much of their repulsiveness. Nor do they fade so soon and

    ABORIGINAL TRIBES. 43

    look as ugly and witliered wlien old as some travellers say, but

    are in respect to bearing children and keeping their vigor, more

    like Europeans than the Hindus or Persians.

    The mountainous regions in Yunnan, Kwangsi, and Ivweichau,

    give lodgement to many elans of the Miaotsz’ or ” children

    of the soil,” as the words may be rendered. It is singular that

    any of these people should have maintained their independence

    so long, when so lai’ge a portion of them have partially submitted

    to Chinese rule. Those who will not are called sang

    Miaots2\ i.e., wild or ‘ unsubdued,’ while the others are termed

    sh}ih or ‘ subdued.’ They present so many physical points of

    difference as to lead one to infer that they are a more ancient

    race than the Chinese around them, and the aborigines of

    Southern China. They are rather smaller in size and stature,

    have shorter necks, and their features are somewhat more

    angular. They are divided into many tribes, and have been

    described by Chinese travellers, who have illustrated their habits

    by paintings and sketches, from which a good idea can be

    obtained of their condition. Dr. Bridgman has translated such

    an account, written by a Chinese native traveller, in which he

    sketches the manners of eighty-two clans, especially those customs

    relating to worship and marriage, showing how little they

    have learned from their i-ulei’s or impi-oved from the savage

    state. An examination of their languages shows that those of

    the Miaotsz’ proper have strong affinities with the Siamese and

    Annamese, and those known as Lolo exhibit a decided likeness

    to the Burmese. The former of these are mentioned in Chinese

    histoi-y during 4,000 years ; the latter about a.d. 250, when a

    Shan nation came under Cliinese influence in Yunnan, and was

    the object of a warlike expedition. The same race still remain

    on the Upper Irrawadi and in Assam as Shans and Ivhamti, ami

    in the basins of the IMeinam and Mei-lung, all of them akin to

    the Tibetans and Burmese. They form together an interesting

    relic of the ancient peoples of the land, and further inquiries

    will doubtless develop something of their history and origin.’

    ‘ Chinese Repository, Vol. XIV., p. 105. Shanghai Journal, No. III., 1859.Journal of Indian Archipelago, 1852. Missionary Recorder, Vol. III., pp. 33,02, 149, etc. T. T. Cooper, Travels of a Pioneer of Commerce, jiassim.

    An aboriginal race—the Li-mu—exists in the center of Hainan, an offset from the Miaotsz’, judging by the little that is known of their language. The natives of Formosa seem to have more affinity with their neighbors in Luzon and southwai-d than with the Chinese.

    The Mongol and Manchu races have been considered as springing from the same stock, but during centuries of separation under different ‘ circumstances they have altered much.

    The Mongols are essentially a nonuadic race, while the Manchus are an agricultural or a hunting people, according to the part of their country they inhabit. The Manchus are of a lighter complexion and somewhat larger than the Chinese, have the same conformation of the eyelids, but leather more beard, while their countenances indicate greater intellectual capacity. They seem to partake of both the Mongol and Chinese character, possessing more determination and largeness of plan than the latter, with much of the rudeness and haughtiness of the former.

    They have fair, if not florid, complexions, straight noses, and, in a few cases, brown hair and heavy beards. They are more allied to the Chinese, and when they ruled the northern provinces as the Kin dynasty, amalgamated with them. They may be regarded as the most improvable race in Central Asia, if not on the continent; and the skill with which they have governed the Chinese empire, and adopted a civilization higher than their own, gives promise of still further advances when they become familiar with the civilization of Christian lands.

    Under the term Mongols or Moguls a great number of tribes occupying the steppes of Central Asia are comprised. They extend from the borders of the Ivhirgis steppe and Kokand eastward to the Sialkoi Mountains, and it is particularly to this race that the name Tartars or Tatars is applicable. ‘ No such word is now known among the people, except as an ignominious epithet, by the Chinese, who usually write it with two characters—tah-tsz’—meaning ‘ trodden-down people.’ Klaproth confines the appellation of Tartars to the Mongols, Kalmucks, Kalkas, Eleuths, and Buriats, while the Kirghis, Usbecks, Cossacks, and Turks are of Kurdish and Ttirhrman origin.

    MANCIIUS AND MONGOLS. 46

    The Mongol tribes generally arc a stout, squat, swarthy, ill favored race of men, having high and broad shoulders, short, broad noses, pointed and prominent chins, long teeth distant from each other, eyes black, elliptical, and imsteady, thick, short necks, extremities bony and nervous, muscular thighs, but short legs, with a stature nearly or quite equal to the European.

    They have a written language, but their literature is limited and mostly religious. The same language is spoken by all the tribes, with slight variations and only a small admixture of foreign words. Most of the accounts of their origin, their wars, and their habits, were written by foreigners living or travelling among them ; but they themselves, as McCulloch remarks, know as little of these things as rats or marmots do of their descent.

    Yet it is not so easy to find the typical Mongol among the medley of nationalities in their towns. A crowd in a town like Yarkand exhibits all the varieties of the human race. The gaunt, almost beardless Manchu, with sunken eyes, high cheekbones, and projecting jowl, contrasts with the smooth face, pinky yellow, oblique eye, flat cheeks, and rounded jowl of the Chinese. The bearded, sallow Toork, the angular, rosy Kirghis, the coarse, hard Dungani, and thick-lipped, square-faced Eleuth, all show poorly with the tall, handsome Cashmerian, the swarthy liadakshi, and robust, intelligent Uzbek. The fate of the vast swarms of this race which have descended from the tal)le-land of Central Asia and overrun, in different ages, the plains of India, China, Syria, Egypt, and Eastern Europe, and the rise and fall of the gigantic empire they themselves erected under Genghis in the eleventh and twelfth centuries, are among the most remarkable episodes in the world’s history. They have always maintained the same character in their native wilds, their conquests have been exterminations rather than subjugations, their history a record of continual quarrels between clans.

    The last of the five races is the Tibetan, who partake of the physical characteristics of the Mongols and Hindus. They are short, squat, and broad-shouldered in body, with angular faces, wide, high cheek-bones, small black eyes, and scant beard. They are^ mild in disposition, have a stronger religious feeling than the Chinese, and have never left their own highlands either for emigration or conquest. Their civilization is fullj’ equal to that of tlie Siamese and Burmese, and life and property are more secure with them than among their turbulent neighbors in Butan, Lahore, or Cabul.

    It will be seen from this short survey that a full account of the geography, government, manners, literature, and civilization of so large a part of the world and its inhabitants requires the combined labors of many observers, all of them well acquainted with the languages and institutions of the people whom they describe. No one will look, therefore, for more than a brief outline of these subjects in the present work, minute enough, however, to enable readers to form a fair opinion of the people.

    It is the industry of the Chinese which has given them their high place among the nations of the earth. Not only has the indigenous vegetation been superseded wherever culture M-ould remunerate toil, but lofty hills have been tilled and terraced almost to their tops, cities have been built upon them, and extensive ranges of wall erected alone; their summits. They practise all the industrial arts whose objects are to feed, clothe, educate or adorn mankind, and maintain the largest population ever united under one system of rule. Ten centuries ago they were the most civilized nation on earth, and the incredulity manifested in Europe, five hundred years ago, at the recitals of Marco Polo regarding their condition, is the counterpart of the sentiments now expressed by the Chinese when they hear of the power and grandeur of western nations.

    Isolated by natural boundaries from other peoples, their civilization, developed under peculiar influences, must be compared to, ratlier than judged of, by European. A people from whom some of the most distinguishing inventions of modern Europe came (such as the compass, porcelain, gunpowder, and printing), and were known and practised many centuries earlier; who probably amount to more tlian three huTidred millions, united in one system of manners, letters, and polity; whose cities and capitals rival in numbers the greatest metropoles of any age; who have not only covered the earth, but the waters, with towns and streets—such a nation must occupy a conspicuous place in the history of mankind, and the study of their character and condition commend itself to every well-v/islier of his race.

    CIVILIZATION PAST AND FUTURK

    It lias been too much the custom of writers to overlook the influence of the Bible upon modern civilization ; but when a comparison is to be drawn between European and Asiatic civilization, this element forces itself upon the attention as the main cause of the superiority of the former. It is not the civilization of luxury or of letters, of arts or of priestcraft ; it is not the spirit of war, the passion for money, nor its exhibitions in trade and the application of machinery, that render a nation permanently great and prosperous. ” Christianity is the summary of all civilization,” says Chenevix ; ” it contains every argument which could be urged in its support, and every precept which explains its nature. Former systems of religion were in conformity with luxury, but this alone seems to have been conceived for the region of civilization. It has flourished in Europe, while it has decayed in Asia, and the most civilized nations are the most purely Christian.” Christianity is essentially the religion of the people, and when it is covered over with forms and contracted into a priesthood, its vitality goes out; this is one reason why it has declined in Asia. The attainments of the Chinese in the arts of life are perhaps as great as they can be without this spring of action, without any other motives to industry, obedience, and morality, than the commands or demands of the present life.

    A survey of the world and its various races in successive ages leads one to infer that God has some plan of national character, and that one nation exhibits the development of one trait, while another race gives prominence to another, and subordinates the first. Thus the Egyptian people were eminently a priestly race, devoted to science and occult lore ; the Greeks developed the imaginative powers, excelling in the fine arts ; the Romans were warlike, and the embodiment of force and law ; the Babylonians and Persians magnificent, like the head of gold in Daniel’s vision ; the Arabs predacious, volatile, and imaginative ; the Turks stolid, bigoted, and impassible ; the Hindus are contemplative, religious, and metaphysical ; the (yhinese industrious, peaceful, literary, atlieistic, and self-contained.’ The same religion, and constant intercommunication among European nations, has assimilated

    them more than these other races ever could have become ; but every one knows the national peculiarities of the Spaniards,

    Italians, French, English, etc., and how they are maintained,

    notwithstanding the motives to imitation and coalescence. The

    compai’ison of national character and civilization, M’ith the

    view of ascertaining such a plan, is a subject worthy the profound

    study of any scholar, and one which would orter new

    views of the human race. The Chinese would be found to

    iiave attained, it is believed, a higher position in general security

    of life and property, and in the arts of domestic life and

    comfort among the mass, and a greater degree of general literary

    intelligence, than any other heathen or Mohammedan nation

    that ever existed—or indeed than some now calling: themselves

    Christian, as Abyssinia. They have, however, probably done all they can do, reached as high a point as they can without the Gospel ; and its introduction, with its attendant intluences, will erelong change their political and social system. The rise and progress of this revolution among so mighty a mass of liuman beings will form one of the most interesting parts of the history of the world during the nineteenth century, and solve the problem whether it be possible to elevate a race without the intermediate steps of disorganization and reconstruction. ‘ For ol)Sprvations on the Chinese as compared witli other nations, see Sclilef^el’s Philoaifphy of llistuiy, p. 1 18, Bohu’s edition.

    CHAPTER II. GEOGRAPHICAL DESCRIPTION OF THE EASTERN PROVINCES

    The provinces of China Proper are poll tloally subdivided in a scientific manner, but in the regions beyond them, these divisions are considerably modified. Manchuria is regarded as belonging to the reigning family, somewhat as Hanover once pertained to the kings of England, and its scanty population is ruled by a simple military organization, the higliev officials being appointed by his majesty himself. The khans ot the Mongols in Mongolia and 111, the Mohammedan begs in Turkestan, and the lamas in Tibet, are assisted in their rule by Chinese residents and generals who direct and uphold the government.

    The geography of foreign countries has not been studied by the Chinese ; and so few educated men have travelled even into the islands of the Indian Archipelago, or the kingdoms of Siam, Corea, or Burmah, that the people have had no opportunity to become acquainted with the countries lying on their borders, much less with those in remoter parts, whose names, even, they hardly know. A few native works exist on foreign geography, among which four may be here noticed. ”

    1. Researches in the East and West^ 6 vols. Svo. It was written about two centuries ago ; the first volume contains some rude charts intendea to show the situation and form of foreign countries.
    2. Notices of the Seas, 1 vol. Its author, Yang Ping-nan, obtained his information from a townsman, who, being wrecked at sea, wss picked up by a foreign ship, and travelled abroad for fourteen years; on his return to China he became blind, and was engaged as an interpreter in Macao.
    3. JVotiees of Things heard and seen in Foreign Countries^ 2 vols. 12mo ; written about a century ago, containing among other things a chart of the wholb Vol. I.—4 Chinese coast,
    4. The Memoranda of Foreign Tribes, 4 vols.Svo, published in the reign of Kienlung.”‘ A more methodical

    work is that of Li Tsing-lai, called ‘Plates Illustrative of tJie

    Ileavens^ being an astronomical and geographical work, mucl^

    of whose contents were obtained from Europeans residing iiv

    the country. But even if the Chinese had better treatises on

    these subjects, the information contained in them would be

    of little use until it was taught in their schools. The high officers

    in the government begin now to see the importance of a

    better acquaintance with general geography. Commissioner

    Lin, in 1841, published a partial translation of Murray’s Cydol)(

    jidia of Geogrcfjjhy, in 20 volumes ; Gov. Seu Ki-yu, in 1850,

    issued a compend of geographical notices with maps, and many

    others, more accurate and extensive, are now extant.

    However scarce their geographical works upon foreign countries

    may be, those delineating the topography of their own are

    hardly equalled in number and minuteness in any language :

    every district and town of importance in the empire, as well as

    every department and province, has a local geography of its

    own. It may be said that the topographical and statistical

    works form, after the ethical, the most valuable portion of

    Chinese literature. It would not be difficult to collect a library

    of 10,000 volumes of such treatises alone ; the topography of the

    city of Suchau, and of the province of Chehkiang, are each in

    40 vols., while the Kwamjtuncj Tung Chi, an ‘ Historical and

    Statistical Account of Kwangtung,’ is in 182 volumes. Xone

    of these works, however, would bear to be translated entii’c,

    such is the amount of legendary and unimportant matter contained

    in them ; but they contain many data not to be overlooked

    by one who undertakes to write a geography of China.

    The Climate of the Eighteen Provinces has been represented

    in meteorological tables sufficiently well to ascertain its general

    salubrity. Pestilences do not frequently visit the land, nor, as

    in Southern India, is it deluged with rain during one monsoon,

    and parched with drought during the other. The average temperature

    of the whole empire is lower than that of any other

    ‘ Bridgman’s Chinese Chrestomathy, p. 420. Macao, 1841.

    CLIMATE OF THE PROVINCES. ol

    country on the same latitude, and the coast is subject to the

    same extremes as that of the Atlantic States in America. The

    isothermal line of 70° F. as the average for the year, which

    passes south of Canton, runs hy Cairo and Xew Orleans, eight

    degrees north of it ; the line of 60° F. average passes from

    Shanghai to Marseilles, Raleigh, St. Louis, and north of San

    Francisco ; and the line of 50° F. average goes near Peking,

    thence on to Vienna, Dublin, Philadelphia, and Puget’s Sound,

    in lat. 52°. These various lines show that while Shanghai and

    Peking liave temperatures similar to Paleigh and Philadelphia,

    nearly on their own parallels, Canton is the coldest place on the

    globe in its latitude, and the only place within the tropics

    where snow falls near the sea-shore. One result of this projection

    of the temperate zone into the tropical is seen in the

    greater vigor and size of the people of the three southern pi-ovinces

    over any races on the same parallel elsewhere ; and the

    productions are not so strictly tropical. The isothermal lines

    for the year, as given above, are not so irregular as those for

    winter. The line of 00° F. runs by the south of Formosa and

    Hongkong, to Cairo and St. Augustine, a range of nine degrees

    ;

    but the winter line of 40° F. passes from Shanghai to Constantinople,

    Milan, Dublin, and Ealeigh, ending at Puget’s

    Sound, a range of twenty degrees. A third line of 32° for

    winter passes through Shantnng to X. Tibet and the Black

    Sea, Norway, Xew York, and Sitka—a range of twenty-five

    degrees.

    Peking (lat. 39° 55′ N.) exhibits a fair average of the climate

    in that part of the Plain. The extremes range from 104° to

    zero F., but the mean annual temperature is 52.3° F., or more

    than 9° lower than Kaples ; the mean winter range is 12° below

    freezing, or about 18° lower than that of Paris (lat. 48° 50′),

    and 15° lower than Copenhagen. The rainfall seldom reaches

    sixteen inches in a year, most of it coming in July and August

    the little snow that descends remains only two or three days on

    the ground, and is blown away rather than melted ; no one associates

    white with winter, but snow is earnestly prayed for as

    a purifier of the air against diphtheria and fevers. The winds

    from the Plateau cause the barouieter and thermometer to fall, r])ut the sky is clear. In the spring, as the heat increases, the winds raise the dust and sand over the country ; some of these sand-storms extend even to Shanghai, carrying millions of tons of soil from its original place. The dryness of the region has apparently increased during the last century, and constant droughts destroy the trees, which by their absence increase the desiccation now going on. Frost closes the rivers for three months, and ice is cheap. After the second crops fully start in August, the autumns become mild, and till the lOtli of December are calm and genial.’

    The climate of the Plain is generally good, but near the rivers and marshy grounds along the Grand Canal, agues and bowel complaints prevail. A resident speaks of the temperature of banking and the region around it : ” This vast Plain being only a marsh half drained, the moisture is excessive, giving rise to many strange diseases, all of them serious, and not unfrequently mortal. The climate affects the natives from

    other provinces, and Europeans. I have not known one of the

    latter who was not sick for six months or a year after his arrival.

    Every one who comes here must prepare himself for a

    tertian or quotidian. For myself, after suffering two months

    fi’om a malignant fever, I had ten attacks of a maladv the Chinese

    here call the sand^ from the skin being covered with little

    blackish pimples, resembling grains of dust. It is prompt and

    \iolent in its progi’ess, and corrupts the blood so rapidly that in

    a few minutes it staijnates and coae-ulates in the veins. The

    best remedy the people have is to cicatrize the least fleshy j^arts

    of the body with a copper cash. The first attack I experienced

    rendered all my limbs insensible in two minutes, and I expected

    to die before I could receive extreme unction. After recovering

    a little, great lassitude succeeded.” ^ The monsoons

    form an important element in the seaside climate as far north

    as latitude 31°. The dry and wet seasons correspond to the

    north-east and south-west monsoons, assuaging the heats of

    summer by their cooling showers, and making the winters

    ^Comijare an article in the China Review for September-October, 1881, byII. Fritsche : The Amount of Baiii and Snow in Pekinf/.Annates de la Foi, Tome XVI., p. 29^3.

    CLIMATE OF THE COAST TOWNS. 53

    bracing- and healthy. Above the Formosa Channel they are

    less regular in the summer than in winter.

    The inhabitants of Shanghai suffer from rapid changes in

    the autumn and spring months, and pulmonaiy and rheumatic

    complaints are connnon. The maximum of heat is 100° F.,

    and the minimum 2-i°, but ice is not common, nor does snow

    remain long on the ground. The average temperature of the

    sunnner is from 80° to 93° by day, and from G0° to 75.° by

    .night , the thermometer in winter ranges from 45° to 60° by

    day, and from 36° to 45° by night.

    Owing in some degree to the hills, the extremes are rather greater at Ningbo than Shanghai. The thermometer ranges from 24° to 107° during the twelvemonth, and changes of 20° in the course of two hours are not unusual, rendering it the most uidiealtliy station along the coast. There is a hot and cold season of three months each at this place. The cold is very piercing when the north-east winds set in, and fires are needed, but natives content themselves with additional clothing.

    The large brick beds {hang) common in Chihli are not often

    seen. Ice forms in pools, and is gathered to preserve fish.

    Snow frequently falls, but does not remain long. Occasionally

    it covers the hills in Chehkiang for several weeks to the depth

    of six inches. Fuhchau and Canton lie at the base of hills,

    Avithin a hundred miles of the sea-coast, and their climates exhibit

    greater extremes than Amoy and Hongkong. Frost and

    ice are common every winter at each of the former, and fires

    are therefore pleasant in the house. The extremes at Fuhchau

    are from 38° to 95°, with an average of 56° during December

    and 82° for August. Along this whole coast the most refreshing

    monsoon makes the summers very agreeable. The climate of

    Amoy is delightful, but its insular position renders a residetice

    somewhat less agreeable than on the main. Here the thermometer

    ranges from 40° to 96° during the year, without the

    rapid changes of Xingpo. The heat continues longer, though

    assuaged by breezes from the sea.

    Meteorology at Canton and its vicinity has been carefully studied ; on the whole, its climate, and especially that of Macao, may be considered more salubrious than in most other places situated between the tropics. The thermometer at Canton in July and August stands on an average at S0° to 88°, and in January and February at 50° to 60°. The highest recorded observation in 1831 was 94°, in July; and the lowest, 29° in January. Ice sometimes forms in shallow vessels a line or two in thickness, but no use is made of it. A fall of snow nearly two inches deep occurred there in February, 1835, which remained on the ground three hours. Having never seen any before, the citizens hardly knew what was its proper name, some calling \t falling cotton, and every one endeavoring to preserve a little for a febrifuge. Another similar fall occurred in the winter of 1861. Fogs are common during February and March, and the heat sometimes renders them very

    disagreeable, it being necessary to keep up a little fire to dry

    the house. Most of the rain falls in May and June, but there

    is nothing like the rainy season at Calcutta and Manilla in July,

    August, and September. The regular monsoon comes from

    the south-west, with frequent showers to allay the heat. In

    the succeeding months, northerly winds connnence, but from

    October to January the temperature is agreeable, the sky clear,

    and the air invigorating. Few large cities are more healthy

    than Canton ; no epidemics nor malaria prevail, notwithstanding

    the fact that much of the town is built upon piles.

    The climate of Macao and Hongkong has not so great a range

    as Canton, from their proximity to the sea. Few cities in Asia

    are more salntiferous than Macao, though it has been remarked

    that few of the natives there attain a great age. Themaxinnnn

    is 90°, with an average summer heat of 84°. The minimum is

    50°, and average winter weather 68°, with almost uninterrupted

    sunshine. Fogs are not often seen here, but on the river they

    prevail, being frequent at Whampoa. Korth-easterly gales

    are conmion in the spring and autumn, and have a noticeable

    periodicity of three days. The vegetation does not change its

    general aspect during the winter, the trees cease to grow, and the

    grass becomes brownish ; but the stimulus of the warm moisture

    in March soon makes a sinisilJe diffei’ence in the appearance of

    the landscape, and bright green leaves ra])idly replace the old.

    The reputed insalubrity of Hongkong, in early days, was owing

    RAIN-FALL ON CHINESE AND AMERICAN COASTS. 55

    to other causes than climate, and when it became a well-built and

    well-drained town, its unwholesomeness disappeared. The rainfall

    is greater than in Macao, owing to the attraction of the high

    peaks. During the rainy weather the walls of houses become

    damp, and if newlj plastered, drip with moisture.

    The Chinese consider the provinces of Kwangtung, Kwangsi,

    and Yunnan to be the most unhealthy of the eighteen, and for

    this reason employ them as places of banishment for criminals

    from the north-eastern districts. The central portions of the

    country are on some accounts the most bracing, not so liable to

    sudden changes as the coast, nor so cold as the western and

    northern districts. Sz’chuen and tweichau are cooler than

    Fuhkien and Chehkiang, owing to the mountains in and upon

    their borders.

    The marked contrast between the Chinese and American coasts in regard to rain is doubtless owing, in a great degree, to the outlying islands from Formosa to Sagalien on the former, whose high mountains arrest the clouds in their progress inland.

    The iLuro-siwo, being outside of them, allows a far greater mass of cold water between it and the shore on the Chinese, than is the case on the Atlantic coast, and renders it the colder of the two by nearly eight degrees of latitude, if isothermal lines alone are regarded. This mass of cold water, having less evaporation, deprives the maritime provinces of rain in diminishing supply as one goes north along the skirts of the Plain, until the Chang-peh shan are reached. The rains which fall in the western provinces and the slopes of the Bayan kara Mountains, coming up from the Indian Ocean during the south-west

    monsoon, fall in decreasing quantities as the clouds are driven

    north-east across the basins of the Yangtsz’ and Yellow rivers.

    In the western part of Kansuh the humidity covers the mountains

    with more vegetation than further east, toward the ocean.

    Snow falls as late as June, and frosts occur in every month of the

    year. The enormous elevation of the western side of China near

    Tibet, the absence of an expanse of water like the great lakes,

    and the bareness of the mountains north of the Mei ling, account

    for much of this difference between the United States and China f

    but more extended data are needed for accurate deductions.

    The fall of rain at Canton is 70 inches annually, which is the mean of sixteen years’ observation. JS^inety inches was registered during one of these years. Kearly one-half of the whole falls during May, June, and September. The average at Shanghai for four years was 36 inches. Ko observations are recorded for the valley of the Yangtsz Near the edge of the Plateau the rainfall averages 10 inches in the province of Chihli, and rather more in Shansi and Shantung, where moisture is attracted by the mountains. More than three fourths of the rain falls during the ten weeks ending August 31st. Snow seldom remains on the level over a fortnight.

    The increased temperature on the southern coast during the months of June and July operates, with other causes, to produce violent storms along the seaboard, called typhoons, a word derived from the Chinese taifeng, or ‘great wind.’ These destructive tornadoes occur from Hainan to Chusan, between July and October, gradually progressing northward as the season advances, and diminishing in fury in the higher latitudes. They annually occasion great losses to the native and foreign shipping in Chinese waters, more than half the sailing ships lost on that coast having suffered in them. Happily, their fury is oftenest spent at sea, but when they occur inland, the loss of life is fearful.

    In August, 18G2, and September 21, 1ST4-, the deaths reported in two such storms near Canton, Hongkong, and their vicinity, were upward of 30,000 each. In the latter instance the American steamer Alaska, of 3,500 tons, M’as lifted from her anchorage and quietly put down in five feet of water near the shore, from whence she was safely floated some months afterward.

    TYFOONS. 57

    Typhoons exhaust their force within a narrow track, which, in such cases as have been registered, lies in no uniform direction, other than from south to north, at a greater or less angle, along the coast. The principal i)heni)iiiena indicating their approach are the direction of the wind, which commences to blow in soft zephyj-s from the north, without, however, assuaging the heat or disturbing the stifling calm, and the falling barometer. The glass usually begins to fall several hours before the storm commences, and the rarefaction of the air is further shown by the heavy swell rolling in upon the beach, though the sea remains unrutfled. The wind increases as it veers to the north-east, and from that point to south-east blows with the greatest force in iitful gusts. The rain falls heaviest toward the close of the gale, when the glass begins to rise. The barometer not unfrequently falls below 28 in. Capt. Krusenstern in 1804 records his surprise at seeing the mercury sink out of sight.

    The Chinese have erected temples in Hainan to the Tjfoon

    Mother, a goddess whom they supplicate for protection against

    these hurricanes. They say “that a few days before a tyfoon

    comes on, a slight noise is heard at intervals, whirling round

    and then stopping, sometimes impetuous and sometimes slow.

    This is a ‘ tyfoon brewing.’ Then fiery clouds collect in thick

    masses ; the thunder sounds deep and heavy. Kainbows appear,

    now forming an unbroken curve and again separating, and the

    ends of the bow dip into the sea. The sea sends back a bellowing

    sound, and boils with angry surges ; the loose rocks dash

    against each other, and detached sea-weed covers the water;

    there is a thick, murky atmosphere ; the water-fowl fly about

    affrighted ; the trees and leaves bend to the south—the tyfoon

    has connnenced. When to it is superadded a violent rain and

    a frightful surf, the force of the tempest is let loose, and away

    fly the houses up to the hills, and the ships and boats are

    removed to the dry land ; horses and cattle are turned heels

    over head, trees are torn up by the roots, and the sea boils up

    twenty or thirty feet, inundating the fields and destroying vegetation.

    This is called tleh la, or an iron tcJurlwindr ‘ Those

    remarkable gusts which annually occur in the Atlantic States,

    called tornadoes, defined as local storms affecting a thread of

    surface a few miles long, are unknown in China. The healthy

    climate of China has had much to do with the civilization of its

    inhabitants. Xo similar area in the world exceeds it for general

    salubrity.

    The Chinese are the only people who have, by means of a

    ‘ Chinese Repository. Vol. VIII ., p. 230 ; Vol. IV., p. 197. See also Fritsche’a

    paper in Journal of N. C. Branch Royal Asiatic Society, No. XII., 1878, pp.

    127-385; also Appendix II. in No. X., containing observations taken at Zi-ka

    wei.

    term added to the name of a place, endeavored to designate ita

    relative rank. Three of the words used for this purpose, viz.,

    fa, chau, and Men, have been translated as ‘ first,’ ‘ second,’ and

    ‘ third ‘ rank ; but this gradation is not quite correct, for the terms

    do not apply to the city or town alone, but to the portions of

    country of which it is the capital. The nature of these and

    other terms, and the divisions intended by them, are thus

    explained

    :

    “The Eighteen Provinces are divided into fu, ting, clinu, and Men. A fu

    is a large portion or department of a province, under the general control of

    one civil officer immediately subordinate to the heads of the provincial government.

    A ting is a division of a province smaller than a fu, and either like it

    governed by an officer immediately subject to the heads of the provincial

    government, or else forming a subordinate part of a/?/. In the former case it

    is called chih-l%, i.e. under the ‘direct rule’ of the provincial government;

    in the latter case it is sim^jly called ting. A chaii is a division similar to a

    ting, and like it either independent of any other division, or forming part of

    a/H. The difference between the two consists in the government of a ting

    resembling that of a fu more nearly than that of a chau does : that of the chau is less expensive. The ting and chau of the class to which the term chih-li is attached, may be denominated in common with the fu, departments or prefectures ; and the term cMh-Vi may be rendered by tlie word independent.

    The subordinate ting and chau may both be called districts. A ?den, which is also a district, is a small division or subordinate part of a department, whether of a,fu, or of an independent chau or ting.

    “Each/w, ting, chau, and hien, possesses at least one walled town, the seat of its government, which bears the same name as the department or district to which it pertains. Thus Hiangshan is the chief town of the district Hiang-.shan hien ; and Shanking, that of the department Shanking fu. By European writers, the chief towns of the/w or departments liave been called cities of the first order ; tho.se of the chau, cities of the second order ; and those of the hien, cities of the third order. The division called ting, being rarely met with, lias been left out of the arrangement—an arrangement not recognized in

    China. It must be observed that the cliief town of a fu is always also the

    cliief town of a hien district ; and sometimes, when of considerable size and

    importanc-e, it and the country around are divided into two Iden districts, both

    of which have the seat of their government within the same walls: but this

    is not the case with the ting and chau departments. A district is not always

    subdivided ; instances may occur of a whole district possessing but one important

    town. But as there are often large and even walled towns not included in the number of chief or of district towns, consequently not the seat of a regular chau or hien magistracy, a subdivision of a district is therefore frequently rendered necessary ; and for the better government of such towns and the towns surrounding them, magistrates are appointed to them, secondary to the magi.strates of the departments or the districts in which they are

    PtJ, TING, CHAU, AND HIEN. 59

    comprised. Thus Fnlishan is a very large commercial town or mart called a

    chin, situated in the district of Nanhai, of the department of Kwangchau,

    about twelve miles distant from Canton. The chief officer of the department

    has therefore an assistant residing there, and the town is partly under his

    government and partly under that of the Nanhai magistrate, within whose

    district it is included, but who resides at Canton. There are several of these

    c?iin in the provinces, as Kingteh in Kiangsi, Siangtan in Hunan, etc. ; they are not inclosed by walls. Macao affords another instance : being a place of some importance, both from its size and as the residence of foreigners, an assistant

    to the Hiangshan hien magistrate is placed over it, and it is also under

    the control of an assistant to the chief magistrate of the fu. Of these assistant

    magistrates, there are two ranks secondary to the chief magistrate of a///,

    two secondary to the magistrate of a chaii, and two also secondary to the magistrate

    of a liien. Tiie places under the rule of these assistant magistrates are

    called by various names, most frequently chin and so, and sometimes also chai

    and wei. These names do not appear to have reference to any particular form

    of municipal government existing in them ; but the chai and the loei are often

    military posts ; and sometimes a place is, with respect to its civil government,

    the chief city of a fu, while with respect to its military position it is called

    icei. There are other towns of still smaller importance ; these are under the

    government of inferior magistrates who are called siun kien : a division of

    country under such a magistrate is called a sz’, which is best represented by

    the term township or commune. The town of Whampoa and country around it form one such division, called Kiautang sz’, belonging to the district of Pwanyu, in the depai’tment of Kwangchau.

    “In the mountainous districts of Kwangsi, Yunnan, Kweichau, and Sz’-

    chuen, and in some other places, there are districts called tu sz’. Among

    these, the same distinctions of fu, chau, and hien exist, together with the

    minor division «2′. The magistrates of these departments and districts are liereditary in their succession, being the only hereditary local officers acknowledged by the supreme government.

    “There is a larger division than any of the above, but as it does not prevail universally, it was not mentioned in the first instance. It is called tau, a cottrse or circuit, and comprises two or more departments of a province, whether fu, or independent ting or cJtnu. These circuits are subject to the government of officers called tau-tai or intendants of circuit, who often combine with political and judicial powers a military authority and various duties relating to the territory or to the revenue.”

    ‘The eighteen provinces received their present boundaries and divisions in the reign of Ivienhmg ; and the little advance which has been made abroad in the geography of China is shown by the fact, that although these divisions were established a hundred years ago, the old deniarkations, existing at’ Chinese Repository, Vol. IV., p. 54.

    the time of the survey in 1710, are still found in many modern European geographies and maps. The following tahle shows their present divisions and government. The three columns under the head of JJepaiiiiieuts contain i\iQ fu, chUdl tiny^ and chihli chau, all of which are properly prefectures ; the three columns under the head of Districts contain the timj, cJiau, and Men.

    The province of CniiiLi is the most important of the whole. Qn foreign maps it is sometimes written Pechele {i.e., Korth vJhihii), a name formerly given it in order to distinguish it from Iviangnau, or Xaii-cUiJd’i, in which the seat of government w^as once located. This name is descriptive, rather than technical, and means ‘ Direct rule,’ denoting that from this province the supreme power which governs the empire proceeds; any province, in which the Emperor and court should be fixed, would therefore be termed Chihli, and its chief city King, ‘ capital,’ or King-ta or King-ss\ ‘ court of the capital.’ The surface of this province lying south of the Great Wall is level, excepting a few ridges of hills in the west and north, while the eastern parts, and those south to the Gulf, are among the flattest portions of the Great Plain.

    It is bounded on the north-east by Liautung, M’here for a short distance the Great AVall is the frontier line ; on the east by the Gulf of Pechele ; on the south-east and south by Shantung; on the south-west by llonan ; on the west by Shansi and north by Inner Mongolia, where the river Liau forms the boundary. The extensive region beyond the Wall, occupied mostly by the Tsakhar Mongols, is now included within the jurisdiction, and placed under the administration o*f officers residing at one of the garrisoned gates of the Great Wall ; the area of this part is about half that of the whole province. The chief department in the province, that of Shuntien, being both large and important, as containing the metropolis, is divided into four III or circuits, each under the rule of a sub-prefect, who issubordinate to the prefect living at Peking.

    Peking’ {i.e., Northern Capital) is situated upon a sandy’ This word shoixld not be written Pekin ; it is pronounced Pei-ching by the citizens, and by most of the people north of the Great River.

    TOPOGRAPHICAL DIVISIONS OF CIIIXA PROPEPv, Gl 13 o) a o S 0′;’= so-e a ^ S to pc; Hfol o> ?s 2 5 _S S1^ S S ^ ^^3 « ^ig cs 2 ^ =3 “So g oO iD 3 Sfl £5tzT^ x’^cgO CIS3 O .a> cs> iio 2SC ” to *2 > ^2 o’ 2 ‘”‘ 6B;o -^ 5 o :5: cs £ 1: cs •-O c! CO BD^ 2u 5 ^OH C 2 SC3 M C4 *3 -3 c3

    plain, about twelve miles south-west of the Pei ho, and more than a hundred miles west-north-west of its month, in lat. 39° 54′ 36′ K., and long. 11(3° 27′ E., or nearly on the parallel of Samarkand, Naples, and Philadelphia. It is a city worthy of note on many accounts. Its ancient history as the capital of the Yen Kwoh (the ‘ Land of Swallows ‘) during the feudal times, and its later position as the metropolis of the empire for many centuries, give it historical importance ; while its imperial buildings, its broad avenues with their imposing gates and towers, its regular arrangement, extent, populousness, and diversity of costume and equipage, combine to render it to a traveler the most interesting and unique city in Asia. It is now ruinous and poor, but the remains of its former grandeur under Kienlung’s prosperous reign indicate the justness of the comparisons made by the Catholic writers with western cities one hundred and eighty years ago. The entire circuit of the walls and suburbs is reckoned by Ilyacinthe at twenty-five

    miles, and its area at twenty-seven square miles, but more accurate

    measurements of the walls alone give forty-one //, or

    14.25 miles (or 23.55 kilometers) for the Manchu city, including

    the cross-wall, and twenty-eight Z/, or ten miles, for the

    Chinese city on its south ; not counting the cross-wall, the circuit

    measures almost twenty-one miles. The suburbs near the

    thirteen outer gates altogether form a small pi-oportion to the

    whole ; the area within them is nearly twenty-six square miles.

    Those residents who have had the best opportunities estimate

    the entire population at a million or somewhat less ; no census

    returns are available to prove this figure, nor can it be stated

    what is the proportion of Manchus, Mongols, and Chinese, except

    that the latter outnumber all others. Du Ilalde reckoned it

    to be about three millions, and Klaproth one million three hundred

    thousand ; and each was probably true at some period,

    for the number has diminished with the poverty of the Government.

    Peking is regarded by the Chinese as one of their ancient

    cities, ])ut it was not made the capital of the whole empire

    until Kublai established his court at this spot in 1264. The

    Ming emperors who succeeded the Mongols held their court

    POSITION AND HISTORY OF PEKING. 63

    at Nanking until Yimgloh transferred the seat of government to Peking in 1411, where it lias since remained. Under the Mongols, the city was called Khan-haligh (*.<?., city of the Khan), changed into Cambalii in the accounts of those times; on Chinese maps it is usually called King-sz\ Peking has, during its history, existed under many different names ; after each disaster her walls have been changed and her houses rebuilt, so that to-day she stands, like the capitals of the ancient Roman and Byzantine empires, upon the debris of centuries of buildings. The most important renovations have been those by the Liao dynasty, in 937 A.D., who entirely rebuilt the city, and by the Kin rulers in 1151.

    It was at first surrounded by a single wall pierced by nine

    gates, whence it is sometimes called the City of Nine Gates.

    The southern suburbs were inclosed by Kiatsing in 1543, and

    the city now consists of two portions, the northern or inner

    city {JSFui ching), containing about fifteen square miles, where

    are the palace, government buildings, and barracks for troops; and the southern or Outer city ( Wai ching), where the Chinese live. The wall of the Manchu city averages fifty feet high, forty wide at top, and about sixty at bottom, most of the slope being on the inner face. That around the Outer city is no more than thirty in height, twenty-five thick at bottom, and about fifteen at top. The terre-plein throughout is pave^ with bricks weighing sixty pounds each ; a crenellated parapet runs around the entire town, intended only for archers or musketeers, as no port-holes for cannon exist. It is undoubtedly the finest wall surrounding any city now extant. Near the gates, of which there are sixteen in all, the walls are faced with stone, but in other places with these large bricks, laid in a concrete of lime and clay, which in process of time becomes almost as durable as stone. The intermediate space between facings is filled up with the earth taken from the ditch which surrounds the city. Square buttresses occur at intervals of sixty yards on the outer face, each projecting fifty feet, and every sixth one being twice the size of the others ; their tops furnish room for the troops posted there to resist side attacks. Each gate is surmounted with a brick tower of many stories, over a hundred feet high, built in galleries with port-holes, and giving a very imposing appearance to the city as one approaches it from the wide plain. The gates of the Mancliu city have a double entrance formed by joining their supporting bastions with a circular wall in which are side entrances, thus making an enceinte of several acres, in which the yellow-tiled temple to the tutelary God of War is conspicuous. The arches of all the gates are built solidly of granite; the massive doors are closed and barred every night soon after dark.

    At the sides of the gates, and also between them, are esplanades for mounting to the top ; this is shut to the common people, and the guards are not allowed to bring their women upon the wall, which would be deemed an affront to Kwanti. The moat around the city is fed from the Tunghwui River, which also supplies all the other canals leading across or through the city. The approach to Peking from Tung chau is by an elevated stone road, but nothing of the buildings inside the walls is seen ; and were it not for the lofty towers over the gates, it would more resemble an encampment inclosed by a massive wall than a large metropolis. No spires or towers of churches, no pillars or monuments, no domes or minarets, nor even many dw-ellings of superior elevation, break the dull uniformity of this or any Chinese city. In Peking, the different colored yellow or green tiles on official buildings,’ mixed with the brown roofs of common houses, impart a variety to the scene, but the chief objects to relieve the monotony are the large clumps of trees, and the flag -staffs in pairs near the temples.

    GENERAL ASPECT OF THE CAPITAL. 65

    The view from the walls impresses one with the grand ideas of the founders of the city ; and the palaces in the Forbidden City, towering above everything else, worthily exhibit their notions of what was befitting the sovereigns of the Middle Kingdom. The Bell and Clock Towers, the Prospect Hill, the dagobas, pagodas, and gate towers, and lastly the Temple of ‘ ” You woxald think them all made of, or at least covered with, piii’e gold enamelled in azure and green, so that the spectacle is at once majestic an^ channing.” Magaillans, Noavelln Dencriptioit dc Id Cliiiu\ p. 353.

    Heaven, are all likewise visible from this point, and render the scene picturesque and peculiar.*

    The plan of the city here given is reduced from a large Chinese

    map, but is not very exact. The northern portion occupies

    for the most part the same area as the Cambaluc of Marco

    Polo, which, however, extended about two miles north, where

    the remains of the old north wall of the Mongols still exist.

    On their expulsion Ilungwu erected the present northern wall,

    and his son Yungloh rebuilt the other three sides in 1419 on a

    rather larger scale ; but the ai’rangement of the streets and

    gates is due to the Great Khan. When taken possession of by

    the Manchus in 1611, they found a magnificent city ready for

    them, uninjured and strong, which they apportioned among

    their officers and bannermen ; but necessity soon obliged these

    men, less frugal and thrifty than the natives, to sell them, and

    content themselves with humbler abodes ; consequently, the

    greater part of tlie noi-thern city is now tenanted by Chmese.

    The innermost inclosure in the l!^ul Ching contains the palace

    and its surrounding buildings; the second is occupied by barracks

    and public offices, and by many private residences ; the

    outer one, for the most part, consists of dwelling-houses, with

    shops in the large avenues. The inner inclosui’e measures 6.3

    li^ or 2.23 miles, in circuit, and is called Ts£ Kin Ching, or

    ‘ Carnation Prohibited City ;

    ‘ the wall is less solid and high than the city wall ; it is covered with bright yellow tiles, guarded by numerous stations of bannermen and gendarmerie, and surrounded by a deep, wide moat. Two gates, the Tunghwa and Si-hiva, on the east and west, afford access to the interior of this habitation of the Emperor, as well as the space and rooms appertaining, which furnish lodgment to the guard

    c’afending the approach to the Dragon’s Throne ; a tower at

    each corner, and one over each gateway, also gi\’e accommodation

    to other troops. The interior of this inclosure is divided

    ‘ See also Ji’ Unwera Pittoresque, Chine Modern f, par MM. Pauthier et Bazin,

    Paris, 185:^, for a good map of Peking, with careful descriptions. Yule’s Murro

    Polo, passim. De Guigues, Voydr/cs, Tome I. Williamson, Journeys in North

    China, Vol. II. Dr. Rennie, Pckiny and tlixi Pekimjeae. Tour du Monde foi 1864, Tome II.

    A.

    B.

    C.

    D.

    E.

    F.

    G.

    H.

    1.

    J.

    K.

    K.

    L.

    M.

    N.

    O.

    P.

    Q.

    R.

    S.

    T.

    U.

    V.

    w.

    X.

    Y.

    Z.

    BEFEBENCES.

    The Meridian Gate.

    Gate of E.\tensive Peace.

    Hall of Perfect Peace.

    Hall of Secure Peace.

    Palace of Heaven—the Emperor’s.

    Palace of Earth’s Repose—the Empress’.

    Gate to Earth’s Repose, leads to a Garden.

    Ching-hwang miao.

    Temple of Great Happiness.

    Northern gate of Forbidden City.

    Nui Koh, or Privy Council Chamber, lies

    within the wall.

    Gate of Heavenly Rest.

    Hall of Intense Mental Exercises.

    Library, or Hall of Literary Abyis.

    Imperial Ancestral Hall.

    Hall of National Portrait-s.

    PrintinK Office.

    Court of Controllers of Imperial Clan.

    Marble Isle ; a marble bridge leads to it.

    Five Dragon Pavilion.

    Great Ancestral Temple.

    Altar to the Gods of Land and Grain.

    Artificial Mountain. The Russian school

    lies just north of the Eastern gate near N.

    A summer-houpc.

    Military Examination Hall.

    Plantain Garden, or Conservatory,

    A Pavilion.

    Medical College.

    Astronomical Board.

    Five of the Six Boards. The Hanlin Yu9n

    lies just above them.

    House of the Russian Mission.

    Colonial Office.

    Temple for Imperial worship.

    Imperial Observatory, partly on the wall-

    Hall of Literary Examination.

    Russian Church of the Assumption.

    Temple of Eternal Peace of the lamas.

    Kwoh Tsz’ Kien, a Manchii College.

    Temple of the God of the North Star.

    High Watch-tower and Police Office.

    Board of Punishments.

    Censorate.

    Mohammedan Mosque.

    I’ortugtiese Church.

    Elephant’s Inclosure.

    Principal Ching-hwang miau.

    Temple of Deceased Emperors of all ages.

    Obelisk covering a »cab of Buddha.

    Altar to Heaven.—Altar to Earth is on the

    north of the city.

    Altar to Ayriculture.

    Black Dragon Pool, and Temple of God ol

    Hain.

    Altar to the Moon.

    Altar to the Sun.

    PALACES OF THE PROHIBITED CITY. 67

    Into three parts by two walls running from south to north, and

    the whole is occupied by a suite of court-yards and halls, which,

    in their prrangenient and architecture, far exceed any other

    speciraer?. of the kind in China. According to the notions of a

    common Chinese, all here is gold and silver ; ” he will tell you

    of gold and silver pillars, gold and silver roofs, and gold and

    silver vases, in which swim gold and silver fishes.”

    The southern gate, called the Wu 3Idn, or ‘ Meridian Gate,’

    is the fourth in going north from the entrance opposite the

    Tsien. Mitii, and this distance of nearly half a mile is occupied

    by troops. The Wtc Ildn leads into the middle division, in

    which are the imperial buildings ; it is especially appropriated

    to the Emperor, and whenever he passes through it, a bell

    placed in the tower above is struck ; when his troops return in

    triumph, a drum is beaten, and the prisoners are here presented

    to him ; here, too, the presents he confers on vassals and ambassadors

    are pompously bestowed. Passing through this gate

    into a large court, over a small creek spanned by five marble

    bridges, ornamented with sculptures, the visitor is led through

    the Tai-ho Mdii into a second court paved with marble, and

    terminated on the sides by gates, porticos, and pillared corridors.

    The next building, at the head of this court, called the TaiheDian or ‘ Hall of Highest Peace,’ is a superb marble structure, one hundred and ten feet high, standing on a terrace that raises it twenty feet above the ground ; five flights of stairs, decorated with balustrades and sculptures, lead up to it, and five doors open through it into the next court-yard. It is a great hall of seventy-two pillars, measuring about two hundred feet by ninety broad, with a throne in the midst. Here

    the Emperor holds his levees on New Year’s Day, his birthdays,

    and other state occasions ; a cortege of about fifty household

    courtiers stand near him, while those of noble and inferior

    dignity and rank stand in the court below in regular grades,

    and, when called upon, fall prostrate as they all make the fixed

    obeisances. It was in this hall that Titsingh and Van Braam

    were banqueted by Kienlung, January 20, 1795, of which interesting

    ceremony the Dutch embassador gives an account, and

    since which event no European has entered the building. The three Tien in this iiiclosiire are the audience halls, and the sido buildings contain stores and treasures under the charge of the Household Board, with minor bureaus.

    Beyond it are two halls; the first, the CJmmjhe Dian, or ‘Hall of Central Peace,’ having a circular roof, that rests on columns arranged nearly four-square. Here the Emperor ‘jomes to examine the written prayers provided to be offered at the state worship. The second is the Baohe Dian, or ‘ Hall of Secure Peace,’ elevated on a high marble terrace, and containing nine rows of pillars. The highest degrees for literary merit are her6 conferred triennially by the Emperor upon one hundred and fifty or more scholars ; here, also, he banquets his foreign guests and other distinguished persons the day before New Year’s Day. After ascending a stairway, and passing the Iti-eii Tsing 2Idn, the visitor reaches the Kieii Tsing Jfiinj, or ‘Palace of Heavenly Purity’, into which no one can eiiter without special license. In it is the council-chamber, where the Emperor usually sits at morning audience up to eight o’clock, to transact business with his ministers, and see those appointed to office. The building is the most important as it is described to be the loftiest and most mao-nificent of all the palaces. In the court before it is a small tower of gilt copper, adorned with a great number of figures, and- on each side are large incense vases, the uses of which are no doubt religious.

    It Avas in this palace that Ivanghi celebrated a singular and

    unique festival, in 1722, for all the men in the enquire over

    sixty years of age, that being the sixtieth year of his reign.

    His grandson Ivienlung, in 1785, in the fiftieth year of his

    reign, repeated the ceremony, on which occasion the number

    of guests was about three thousand.’ Beyond it stands the

    ‘ Palace of Earth’s Bepose,’ where ‘ Heaven’s consort ‘ rules

    • ler niiniature court in the imperial harem ; there are numerous

    buildings of lesser size in this part of the inclosure, and

    adjoining the northern Avail of the Forbidden City is the imperial

    Flower Garden, designed for the use of its inmates. The

    gardens arc adorned with elegant pavilions, tenq)les, and. :

    ‘ Chinese liepobitory, Vol. IX., p. 259.

    IMPERIAL CITY. 69

    groves, and interspersed with canals, fountains, pools, and

    flower-beds. Two groves rising from the bosoms of small

    lakes, and another crowning the summit of an artificial mountain, add to the beauty of the scene, and afford the inmates of the palace an agreeable variety.

    In the eastern division of the Prohibited City are the otiices

    of the Cabinet, where its members hold their sessions, and the

    treasury of the palace. North of it lies the ‘Hall of Intense Thought,’ where sacrifices are presented to Confucius and other sages. Kot far from this hall stands the Wchi-//yen loA, or the Library, the catalogue of whose contents is published from time to time, forming an admirable synopsis of Chinese literature.

    At the northern end of the eastern division are numerous

    palaces and buildings occupied by princes of the blood, and

    those connected Avith them ; and in this quarter is placed the

    Fung Sien tien, a small temple where the Emperor comes to

    ‘ bless his ancestors.’ Here the Emperor and his family perform

    their devotions before the tablets of their departed progenitors;

    whenever he leaves or returns to his palace, the first

    day of a season, and on other occasions, the monarch goes

    through his devotions in this hall.

    The western division contains a great variety of edifices devoted

    to public and private purposes, among which may be

    mentioned the hall of distinguished sovereigns, statesmen, and

    literati, the printing-office, the Court of Controllers for the

    regulation of the receipts and disbursements of the court, and

    the Ching-Jncang Mlao^ or ‘Guardian Temple’ of the city.

    The number of people residing within the Prohibited City

    cannot 1)0 stated, .but probably is not large ; most of them are

    Manchus.

    The second inclosure, which surrounds the imperial palaces,

    is called Hwang Ching^ or ‘ Imperial City,’ and is an oblong rectangle

    about six miles in circuit, encompassed by a wall twenty

    feet high, and having a gate in each face. From the southern

    gate, called the Tlen-an Mdn^ or ‘ Heavenly Rest,’ a broad

    avenue leads up to the Kin Chiw/ ; and before it. outside of

    the M’all, is an extensive space walled in, and having one entrance

    on the south, called the gate of Great Purity, which 110 one is allowed to enter except on foot, unless by special permission. On the right of the avenue within the wall is a gateway leading to the TaiMiao, or ‘ Great Temple’ of the imperial ancestors, a large collection of buildings hiclosed by a wall 3,000 feet in circuit. It is the most honored of religious structures

    next to the Temple of Heaven, and contains tablets to princes

    and meritorious officers. Here offerings are presented before

    the tablets of deceased emperors and empresses, and worship

    performed at the end of the year by the members of the imperial

    family and clan to their departed forefathers. Across

    the avenue from this temple is a gateway leading to the Shie-

    Tsih tan, or altar of the gods of Land and Grain. These were

    originally Kaa-lung, a Minister of Works, b.c. 2500, and Hautsih,

    a remote ancestor of Chan Kung ; here the Emperor sacriiices

    in spring and autumn. This altar consists of two stories,

    each five feet high, the upper one being fifty-eight feet square; no other altar of the kind is found in the empire, and it would

    he tantamount to high treason to erect one and worship upon it.

    The north, east, south, and west altar are respectively black,

    green, red, and white, and the top yellow ; the ceremonies connected

    with the worship held here are among the most ancient practised among the Chinese.

    PUBLIC BUILDINGS AND BARKS. 71

    On the north of the palace, separated by a moat, and surrounded by a wall more than a mile in circuit, is the King Shan, or ‘ Prospect Hill,’ an artificial mound, nearly one hundred and fifty feet high, and having five summits, crowned with as many temples ; many of these show the neglect in which public edifices soon fall. Trees of various kinds border its base, and line the paths leading to the tops. Its height allows the spectator to overlook the whole city, while, too, it is itself a conspicuous object from every direction. The earth and stone in it were taken from the ditches and pools dug in and around the city, and near its base are many tanks of picturesque shape and appearance; so that altogether it forms a great ornament to the city. Another name for it is Mei Shan, or ‘ Coal Hill,’ from a tradition that a quantity of coal Avas placed there, as a supply in case of siege. The western part of this inelosure is chiefly occupied by the Si l”;<;6/<, or ‘Western Park,’ in and around which are found some of the most beautiful objects and spots in the uietropolis. An artificial lake, more than a mile long, and averaging a furlong in breadth, occupies the centre; it is supplied from the Western Hills, and its waters are adorned with the splendid lotus. A marble bridge of nine arches crosses it, and its banks are shaded by groves of trees, under which are well-paved walks. On its south-eastern side is a large summer-house, consisting of several edifices partly in or over the water, and inclosing a number of gardens and walks, in and around which are artificial hills of rock-work beautifully alternating or supporting groves of trees and parterres of flowers.

    On the western side is the hall for examining military candidates,

    where his majesty in person sees them exliibit their

    prowess in equestrian archery. At the north end of the lake is

    a bridge leading to an islet, wdiich presents the aspect of a hill

    of gentle ascent covered with groves, temples, and summerhouses,

    and surmounted with a tower, from which an extensive

    view can be enjoyed. On the north of the bridge is a hill on

    an island called Kiung-hwa tan^ capped by a white dagoba.

    Xear by is an altar forty feet in circuit, and four feet high,

    inclosed by a wall, and a temple dedicated to Yuenfi, the

    reputed discoverer of the silk-worm, where the Empress annually

    offers sacrifices to her ; in the vicinity a plantation of mulberry

    trees and a cocoonery are maintained. Xear the temple

    of ‘ Great Happiness,’ not far distant from the preceding, on

    the northern borders of the lake, is a gilded copper statue of

    Maitreya, or the coming Buddha, sixty feet high, with a hundred

    arms ; the temple is one of the greatest ornaments of the

    Park. Across the lake on its western bank, and entered

    through the first gate on the south side of the street, is the

    Ts^-kwamj Koh^ wdiere foreign ministers are received by the

    Emperor ; the inclosure is kept with great care, and numerous

    halls and temples are seen amidst groves of firs. The object

    kept in view in the arrangement of these gardens and grounds

    has been to make them an epitome of nature, and then furnish

    every part with conmiodious buildings. But however elegant

    the palaces and grounds may have appeared when new, it is to

    be feared that his majesty has no higher ideas of cleanliness and order tliuu lii.s subjects, and tluit the various public and private edifices and gardens in these two inelosures are despoiled of luilf their beauty bj dirt and neglect. The nundjer of the palaces in them both is estimated to be over two hundred, “each of which,” says Attinet, in vague terms, ” is suflSciently large to accommodate the greatest of European noblemen, with all his retijiue.*’

    Along the avenue leading south from the Imperial City to the division Avail, are found the principal government offices. Five of the ISix Boards have their bureaus on the east side, the Board of Punishments with its subordinate departments being situated with its courts on the west side; immediately south of this is the Censorate. The office attached to the Board of Itites, for the preparation of the Calendar, commonly called the Astronomical Board, stands directly east of this; and the Medical College has its hall not far off. The Ilanlhi l\en, or National Academy, and the Ll-fan Yuen., or Colonial Office, are also near the south-eastern corner of the Imperial City. Opposite to the Colonial Office is the Tang T)iz\ where the remote ancestors of the reigning family are worshipped by his majesty together with the princes of his family; when they come in procession to this temple in their state dresses, the Emperor, as high-priest of the family, performs the highest religious ceremony before his deified ancestors, viz., three kneelings and nine knockings. After he has completed his devotions, the attendant grandees go through the same ceremonies. The temple itself is pleasantly situated in the midst of a grove of fir and other trees, and the large inclosure around it is prettily laid out.

    BUDDHIST AND CONFUCIAN TEMPLES. 73

    In the south-eastern part of the city, built partly upon the wall, is the Observatory, which was placed imder the superintendence of the Komish missionaries by Ivanghi, but is now confided to the care of Chinese astronomers. The instruments are arranged on a terrace higher than the city wall, and are beautiful pieces of bronze art, though now antiquated and useless for practical observations. Nearly opposite to the Observatory stands the Ilall for Literary Examinations, Mdiere the candidates of the province assemble to write their essays. In the north-eastern corner of the city is the Bussian Mission and

    Astronomical Office, inclosed in a large compound ; near it live

    the converts. About half a mile west is the Yung-ho Kung, or

    ‘ Lamasar}’ of Eternal Peace,’ wherein alwut 1,500 Mongol and

    Tibetan priests study the dogmas of Buddhism, or spend their

    days in idleness, under the conti’ol of a Gegen or living Buddha.

    Their course of study comprises instruction in metaphysics, ascetic

    duties, astrology, and medicine ; their daily ritual is performed

    in several courts, and the rehearsal of prayers and chants

    by so many men strikes the hearer as very impressive. The I’ear

    building contains a wooden image, 70 feet in height, of Mait-

    •veya, the coming Buddha ; the whole establishment exhibits in its

    buildings, pictures, images, cells, and internal arrangemeuts for

    study, living, and worship, one of the most complete in the empire.

    Several smaller lamasaries occur in other parts of the city.

    Directly west of the Yimg-ho Kung^ and presenting the

    greatest contrast to its life and activity, lies the Confucian

    Temple, where embowered in a grove of ancient cypresses

    stands the imposing Wan Mlao^ or ‘ Literary Temple,’ in which

    the Example aiid Teacher of all Ages and ten of his great disciples

    are worshipped. The hall is 84 feet in front, and the lofty

    roof is supported on wooden pillars over 40 feet high, covering

    the single room in which their tablets are placed in separate

    niches, he in the high seat of honor. All is simple, quiet, and

    cheerless ; the scene liere presents an impressive instance of

    merited honors paid to the moral teachers of the people. Opposite

    and across the court are ten granite stones shaped like

    drums, which are believed to have been made about the eighth

    century b.c, and contain stanzas recording King Siien’s hunting

    expeditions. In another court are many stone tablets containing

    the lists of Tslii-sz’ graduates since the Mongol dynasty, many thousands of names with places of residence. Contiguous to this temple is the Pili-yung Kang^ or ‘Classic Ilall’, where the Emperor meets the graduates and literati. It is a beautiful specimen of Chinese architectural taste. Near it are 800 stone tablets on which the authorized texts of the classics are engraved.’

    ‘ Dr. Martin, The CJdnese (New York, 1881), p. 85.

    North of the Imperial City lies the extensive yamiui of fJie Tl-tuh, who has the police and garrison of the city under his control, and exercises great authority in its civil administration. The Drum and Bell Towers stand north of the Ti-ngan Mwi in the street leading to the city wall, each of them over a hundred feet high, and forming conspicuous objects ; the drum and bell are sounded at night watches, and can be heard throughout the city; a clepsydra is still maintained to mark time—a good instance of Chinese conservatism, for clocks are now in general use, and correct the errors of the clepsydra itself.

    SHRINES OF ALL KELIGIONS. 75

    Outside of the south-western angle of the Imperial City stands the Mohammedan mosque, and a large number of Turks whose ancestors were brought from Turkestan about a century ago live in its vicinity ; this quarter is consequently the chief resort of Moslems who come to the capital. South-%vest of the mosque, near the cross-wall, stands the Xan Tavy, or old For tugiiese church, and just west of the Forbidden City, inside of the Hwang Chlng, is the Peh 2’ang, or Cathedral; Loth are imposing edifices, and near them are large schools and seiiiinaries for the education of children and neophytes. There are religions edifices in the Chinese metropolis appropriated to many forms of religion, viz., the Greek, Latin, and Protestant churches, Islamism, Buddhism in its two principal forms, nationalism, ancestral worship, state worship, and temples dedicated to Confucius and other deified mortals, besides a great number in which the popular idols of the country are adored. One of the most worthy of notice is the Ti- Wang Miao, lying on the avenue leading to the west gate, a large collection of halls wherein all the tablets of former monarchs of China from remote ages are worshipped. The rule for admission into this Walhalla is to accept all save the vicious and oppressive, those who were assassinated and those who lost their kingdoms. This

    memorial temple was opened in 1522; the Manchus have even

    admitted some of the Tartar rulers of the Kin and Liao dynasties,

    raising the total number of tablets to nearly three hundred.

    It is an impressive sight, these simple tablets of men who once

    ruled the Middle Kingdom, standing .here side by side, wovshipped

    by their successors that their spirits may bless the state.

    This selection of the good sovereigns alone recalls to mind the

    custom in ancient Jerusalem of allowing wicked pi-inces no place

    in the sepulchres of the kings. Distinguished statesmen of all

    ages, called by the Chinese liroh cJiu, or ‘pillars of state,’ are

    associated with their masters in this temple, as not unworthy to

    receive equal honors.

    A little west of this remarkable temple is the Peli-ta sz\ or ‘White Pagoda Temple,’ so called from a costly dagoba near it erected about a.d. 1100, renovated by Kublai in the thirteenth century, and rebuilt in 1S19. Its most conspicuous feature is the great copper umbrella on the top. When finished, the dagoba was described as covered with jasper, and the projecting parts of the roof with ornaments of exquisite workmanship tastefully arranged. Around this edifice, which contains twenty beads or relics of Buddha, two thousand clay pagodas and five books of charms, are also one hundred and eight small pillars Oil which lamps are burned. The portion of the city lying south of the cross-wall is inhabited mostly by Chinese, and contains

    hundreds of /avui-kican, or club-liouses, erected by the gentry

    of cities and districts in all parts of the empire to accommodate

    their citizens resorting to the capital. Its streets are narrow

    and the whole aspect of its buildings and markets indicates the

    life and industry of the people. Hundreds of inns accommodate

    trayellers who lind no lodging-places in the Nul C/n’urj, and

    storehouses, theatres, granaries and markets attract or supply their customers from all parts. There is more dissipation and freedom from etiquette here, and the Chinese officials feel freer from their Manchu colleagues.

    Three miles south of the Palace, in the Chinese City, is situated the Tien Tan, or ‘ Altar to Ileayen,’ so placed because it was anciently customary to perform sacrifices to Heaven in the outskirts of the Emperor’s residence city. The compound is inclosed by more than three miles of wall, within which is planted a thick grove of locust {Sajj/iora), pine and fir trees, interspaced with stretches of grass. Within a second wall, which surrounds the sacred buildings, rises a copse of splendid and thickly growing cypress trees, reminding one of the solemn shade in the vicinity of famous temples in Ancient Greece, or of those celebrated shrines described in “Western Asia. The great South Altar, the most important of Chinese religious structures, is a beautiful triple circular terrace of white marble, whose base is 210, middle stage 150, and top 90 feet in width, each terrace encompassed by a richly caryed balustrade. A curious symbolism of the number three and its multiples may be noticed in the measurements of this pile. The uppermost terrace, whose height above the ground is about eighteen feet, is paved with marble slabs, forming nine concentric circles—the inner of nine stones inclosing a central piece, and around this each receding layer consisting of a successive multiple of nine until the square of nine (a favorite number of Chinese philosophy) is reached in the outermost row. It is upon the single nnind stone in the centre of the upper plateau that the Emperor kneels when worshipping Heaven and his ancestors at the winter solstice.

    THE TEMPLE OF HEAVEN”. 77

    Four lliglits of nine steps each lead from this elevation to the next lower stage, where are placed tablets to the spirits of the sun, the moon, the stars, and the Year God. On the ground at the end of the four stairways stand vessels of bronze in which are placed the bundles of cloth and sundry animals constituting part of the sacrilicial offerings. But of ^’astly greater importance than these in the matter of burnt-offering is the great furnace, nine feet high, faced with green porcelain, and ascended on three of its sides by porcelain staircases. In this receptacle, erected some hundred feet to the south-east of the altar, is consumed a burnt-offering of a bullock—entire and without blemish—at the yearly ceremony. The slaughter-house of the sacrificial bullock stands east of the North Altar, at the end of an elaborate winding passage, or cloister of 72 compartments, each 10 feet in length.

    Separated from the Altar to Heaven by a low wall, is a smaller though more conspicuous construction called Kl-l’iih Tan, or ‘ Altar of Prayer for Grain.’ Its proportions and arrangement are somewhat similar to those of the South Altar, but upon its upper terrace rises a magnificent triple-roofed, circular building known to foreigners as the ‘ Temple of Heaven.’

    This elaborate house of worship, whose surmounting gilded ball rests 100 feet above the platform, was originally roofed with blue, yellow and green tiles, but by Kienlung these colors were changed to blue. When, added to these brilliant hues, we consider the I’ichly carved and painted eaves, the windows shaded by Venetians of blue-glass rods strung together, and the I’ai’e symmetry of its proportions, it is no exaggeration to call this temple the most remarkable edifice in the capital—or indeed in the empire. The native name is Qi-Nian Dian, or ‘Temple of Prayer for the Year’. In the interior, the large shrines of carved wood for the tablets coiTespond to the movable blue wooden huts which on days of sacrifice are put up on the Southern Altar. Here, upon some day following the first of spring (Fel). G), the Emperor offers his supplications to Heaven for a blessing upon the year. In times of drought, prayer for rain is also made at this altar, the Emperor being obliged to proceed on foot, as a repentant suppliant, to the ‘ Hall of Peni tent Fasting,’ a distance of three miles. A green furnace for burnt-offerings lies to the south-east of this, as of the Korth Altar ; while in the open park not far from the two and seventy cloisters are seven great stones, said to have fallen from heaven and to secure good luck to the country.

    Across the avenue upon which is situated this great inclosure of the I’ien Tan, is the Sleii ^uny Tan, or ‘ Altar dedicated to Shinnung,’ the supposed inventor of agriculture. These precincts are about two miles in circumference, and contain four separate altars : to the gods of the heavens, of the earth, of the planet Jupiter, and to Shinnung, The worship here is performed at the vernal equinox, at which time the ceremony of ploughing a part of the inclosed park is performed by the Emperor, assisted by various officials and members of the Board of Rites, The district magistrates and prefect also plough their plats ; but no one touches the imperial portion save the monarch himself. The first two altars are rectangular ; that to the gods of heaven, on the east, is 50 feet long and 4^ feet high: four marble tablets on it contain the names of the gods of the clouds, rain, wind, and thunder. That to the gods of earth is 100 feet long by GO wide ; here the five marble tablets contain the names of celebrated mountains, seas, and lakes in China, Sacrifices are offered to these divinities at various times, and, with the prayers presented, are burned in the furnaces, thus to come before them in the unseen world ; the idea which runs through them partakes of the nature of homage, not of atonement, iS’ early one-half of the Chinese City is empty of dwellings, much of the open land being cultivated ; a large pond for rearing gold-fish near the T’ten Tan is an attractive place. West of this city wall is an old and conspicuous dagobain the Ti.enning sz\ nearly 200 feet high, and a landmark for the city gate. This part of Peking was much the best built when the Liao and Kin dynasties occupied it, west of the main city is the Temple of the Moon, and on the east side, directly opposite, stands the Temple to the Sun ; the T’l Tan, or ‘ Altar to Earth.’ is on the north over against the Altar to Heaven, just desciilicd.

    MONUMENT, OK TOPE, OF A LAMA. UWANG SZ’, PEKING.THE BELL TEMPLE AND HWANG SZ*. 79

    At all these the Emperor performs religious rites during the twelve months. The inciosure of the Altar to Earth is suuiller, and everything connected with the sacrifices is on an inferior scale to those conducted in the Altar to Heaven, The main altar has two terraces, each 6 feet high, and respectively lOG feet and 00 feet square ; the tablet to Imperial Earth is placed on the npper with those to the Imperial Ancestors, and all are adored at the summer solstice. The bullock for sacrifice is afterwards buried and not burned. Adjoining the terraced altar on the south is a small tank for Mater.

    About two miles from the Tl Tan, in a northerly direction, passing through one of the ruined gates of the Peking of Marco Polo’s time on the way, is found the Ta-chioig sz\ or ‘Bell Temple’, in which is hung the great bell of Peking. It was cast about 1406, in the reign of Yungloli, and was covered over in 1578 by a small temple. It is 14 feet high, including the nmbones, 34 feet in circumference at the lim, and 9 inches thick ; the weight is 120,000 lbs. av. ; it is struck by a heavy beam swung on the outside. The Emperor cast five bells in all, but this one alone was hung. It is covered with myriads of Chinese characters, both inside and out, consisting of extracts from the Fah-hwa King and TJng-yen King, two Buddhist classics. In some respects this may be called the most remarkable work of art now in China ; it is the largest suspended bell in the world. A square hole in the top prevents its fracture under the heaviest rinoino-.’

    ‘ Compare Kirclier, China Illustratn, where an engraving of it may be seen. A bell near Mandalay, mentioned by Dr. Anderson, is 13 feet high, 10 feet across tli3 lips, and weighs 90 tons—evidently a heavier monster than this in Peking. (Mandalay to Momien, p. 18.)

    A short distance outside the northern gate, Tah-shing Man, is an open ground for military reviews, and near it a Buddhist temple of some note, called Hwang sz\ containing in its enceinte a remarkable monument erected by Ivienlung. In 1779 the Teshu Lama started for Peking with an escort of 1,500 men; he was met by the Emperor near the city of Si-ning in Ivansuh, conducted to Peking with great honor, and lodged in this temple for several months. He died here of small-pox, November 12, 1780, and this cenotaph of white marble was erected to his nieinoi’v ; the body was inclosed in a <^old cuflin and sent to the Dalai Lama at Lliassa in 1781. The plinth of this beautiful work contains scenes in the })relate’s life carved on the panels, one of which represents a lion rubbing- his eyes with his paw as the tears fall for grief at the Lama’s death.

    The Summer Palace at Yiien-ming Yuen lies about seven miles from the north-west corner of Peking, and its entire circuit is reckoned to contain twelve square miles. The country in this direction rises into gentle hills, and advantage has been taken of the original surface in the arrangement of the different parts of the ground, so that ilie whole presents a great variety of hill and dale, woodlands and lawns, interspered with pools, lakes, caverns, and islets joined by bridges and walks, their banks thrown up or diversified like the free hand of nature. Some parts are tilled, groves or tangled thickets occur here and there, and places are purposely left wild to contrast the better with the cultivated precincts of a palace, or to form a rural pathway to a retired temple or arbor. Here were formerly no less than thirty distinct places of residence for various palace officials, around which were houses occupied by eumichs md servants, each constituting a little village.

    But all was swept away l)y the British and French troops in

    I860, and their ruins still i-cmain to irritate the officials and

    people of Peking against all foreigners. Xear the Summer

    Palace is the great cantomnent of llai-tien, where the Manchu

    garrison is stationed to defend the capital, and whose troops

    did their best in the vain effort to stay the attack in I860. As

    a contrast to the proceedings connected with this approach of

    the British, an extract fi-om Sir John Davis’s Chinese (chap, x.)

    will furnish an index of the changed condition of things.

    ” It was at a place called Jlai-tien, in the innnediate vicinity

    of these gardens, that the strange scene occurred which terminated

    in the dismissal of the embassy of 1816, On his arrival

    there, about daylight in the jnornii?g, with the coinmissioners

    and a few other gentlemen, tlie ambassador was drawn

    to one of the Emperor’s temporary residences by an invitation

    from Duke llo, as he was called, the imperial relative charged

    rt’ith the conduct of the negotiations. After passing through

    SUMMEIl PALACE AT YUEN-MING YUEN. 81

    an open court, where were assembled a vast number of grandees

    in their dresses of ceremony, they were shown into a WTetched

    room, and soon encompassed l)y a well-dressed crowd, among

    whom were princes of the blood by dozens, wearing yellow girdles.

    With a childish and unmannei-ly curiosity, consistent

    enough with the idle and disorderly life which many of them

    are said to lead, they examined the persons and dress of the

    gentlemen without ceremony ; while these, tired with their

    sleepless journey, and disgusted at the behavior of the celestials,

    turned their backs upon them, and laid themselves down to rest.

    Duke IIo soon appeared, and surpi’ised the ambassador hy urging

    him to proceed directly to an audience of the Emperor, who

    was waiting for him. His lordsliip iu vain remonstrated that

    to-morrow liad been fixed for the first audience, and that tired

    and dusty as they all were at present, it would be worthy

    neither of the Emperor nor of himself to wait on his majesty in

    a manner so unprepared. He urged, too, that he was unwell,

    and required innnediate rest. Duke llo became more and more

    pressiug, and at length forgot himself so far as to grasp the

    ambassador’s arm violently, and one of the others stepped up at

    the same time. His lordship immediately shook them oft’, and

    the gentlemen crowded about him ; while the highest indignation

    was expressed at such treatment, and a determined resolution

    to proceed to no audience this morning. The ambassador

    at leugth retired, with the appearance of satisfaction on the

    part of Duke Ho, that the audience should take place tomorrow.

    There is every reason, however, to suppose that this

    person had been largely bribed by the heads of the Canton

    local government to frustrate the views of the embassy, and

    prevent an audience of the Emperor. The mission, at least, was

    on its way back in the afternoon of the same day.”

    The principal part of the provisions recpiired for the supply of this iimnense city comes from the southern provinces, and from flocks reared beyond the wall. It has no important manufactures, horn lanterns, wall papers, stone snuff-bottles, and pipe mouth-pieces, being the principal. Trade in silks, foreign fabrics, and food is limited to supplying the local demand, inasmuch as a heavy octroi duty at the gates restrains all enterprise. No foreign merchants are allowed to carry on business here. The government of Peking differs from that of other cities in the empire, the affairs of the department being separated from it, and administered by officers residing in thvi four circuits into which it is divided. ” A minister of one of the Boards is appointed superintendent of the city, and subordinate to him is ^ fuyin, or mayor. Their duties consist in having charge of the metropolitan domain, for the purpose of extending good government to its four divisions. They have under them two district magistrates, each of Mhoni rules half the city; none of these officers are subordinate to the provincial governor, but carry affairs which they cannot determine to the Emperor. They preside or assist at many of the festivals observed in the capital, superintend the military police, and hold the courts which take cognizance of the offences committed there.”‘

    ‘ Chinese Repository, Vol. IV., p. 181.

    STREET SCENES AND FEATURES OF PEKING. 80

    The thoroughfares leading across Peking, from one gate to the other, are broad, unpaved avenues, more than a hundred feet wide, which appear still wider owing to the lowness of the buildings; the centre is about two feet higher than the sides. The cross-streets in the main city are generally at right angles with them, not over forty feet wide, and for the most part occupied with dwellings. The inhabitants of the avenues are required to keep them well sprinkled in summer; but in rainy weather they are almost impassable from the mud and deep jniddles, the level surface of the ground, and obstructed, neglected drains, preventing rapid drainage. The crowds which throng these avenues, some engaged in various callings, along the sides or in the middle of the way, and others busily passing and repassing, together with the gay appearance of the signl)oards, and. an air of business in the shops, render the great streets of the Chinese metropolis very bustling, and to a foreigner a most interesting scene. Shop-fronts can be entirely opened when necessary ; they are constructed of panels or shutters fitting into grooves, and secured to a row of strong posts which set into mortises. At night, when the shop is

    closed, nothing of it is seen from without ; but in the daytime,

    when the goods are exposed, tlie scene becomes more animated.

    The sign-boards are often broad planks, fixed in stone bases

    on each side of the shop-front, and reaching to the eaves, or

    above them ; the characters are large and of different colors,

    and in order to attract more notice, the signs are often hung

    with various colored flags, bearing inscriptions setting forth the

    excellence of the goods. The sliops in the outer city are frequently

    constructed in this manner, others are made more compact

    for warmth in winter, but as a whole they are not brilliant

    in their fittings. Their signs are, when possible, images of

    the articles sold and always have a red pennon attached ; the

    finer shop-fronts are covered with gold-leaf, brilliant when new,

    but shabby enough when faded, as it soon does. The aj^pearance

    of the main streets exhibits therefore a curious mixture ol

    decay and renovation, which is not lessened by the dilapidated

    temples and governmental buildings everywhere seen, all indicating

    the impoverished state of the exchequer. In many parts of

    the city are placed 2>(^i-lau, or honorary gateways, erected to

    mark the approach to the palace, and M^orthy, by their size and

    ornamental entablatures, to adorn the avenues and impress the

    traveller, if they were kept in good condition.

    The police of the city is connected with the Bannermen, and

    is, on the whole, efiicient and successful in preserving the peace.

    During the night the thoroughfares are quiet ; they are lighted

    a little by lanterns hanging before the houses, but generally are

    dark and cheerless. In the metropolis, as in all Chinese cities,

    the air is constantly polluted by the stench arising from private

    vessels and pul)lic reservoirs for urine and every kind of offal,

    which is all carefully collected by scavengers. By this means,

    although the streets are kept clean, they are never sweet ; but

    habit renders the people almost insensible to this as well as

    other nuisances. Carts, mules, donkeys and horses are to be

    hired in all the thoroughfares. The Manchu women ride

    astride ; their number in the streets, both riding and walking,

    imparts a pleasant feature to the crowd, which is not seen in

    cities further south. The extraordinary length and elaborateness

    of marriage and funeral processions daily passing through the avenues, adds a pretty feature to them, which other cities Avitli narrow streets catinot emulate.

    The environs beyond the suburbs are occupied with niausolea, temples, private mansions, hamlets, and cultivated fields, in or near which are trees, so that the city, viewed from a distance, appears as if situated in a thick forest. Many interesting points for the antiquarian and scientist are to be found in and around this old city, which annually attracts more and more tlic attention of other nations. Its population has decreased regularly since the death of Kienlung in 1707, and is now probably rather less than one million, including the immediate suburbs. The clinuite is healthy, but subject to extremes from zero to 104°; the dryness during ten months of the year is, moreover, extremely irritating. The poor, who resort thither from other parts, form a needy and troublesome ingredient of the population, sometimes rising in large mobs and pillaging the granaries to supply themselves with food, but more commonly perishing in great numbers from cold and hunger. Its peace is always an object of considerable solicitude with the imperial government, not only as it may involve the personal safety of the Emperor, but still more from the disquieting effect it may have upon the administration of the empire. The possession of this capital by an invading force is more nearly equivalent to the control of the country than might be the case in most European kingdoms, but not as much as it might be in Siam, Burmah, or Japan.

    The good influences which nuiy be exerted upon the nation from the metropolis are likewise correspondingly great, while the purification of this source of contamiiuition, and the liberalizing of this centre of power, now well begun in various ways, will confer a vast benefit upon the Chinese people.’

    ‘ Compare the Aiinales de la Foi, Tome X., p. 100, for interesting details concerning the Romish missionurios in Peking. Also Pautliier’s CIdne Moderne,pp. 8-;}(i (I’iiris, l.sr)2), containing an oxccllont map. Bretschneider’s Archeokxjical and Jliitt’iricti! Rencarches on Pddiig, etc., published in the Chinese Recorder, Vol. VI. (1875, passim). Memnirea .mncernaiit fllistoire, les Sciences, les Arts, les A/oeiirs, /<?.<( Usages, etc., des Chinois. par les Mit,si(»inaires de Pckiii ; 16 vols., Paris, 1797-1814. N. B. Dtjimys, Notes for T(>iV.rwts in the: North of China ; Hongkong, 18(5G.

    Chihli contains several other large cities, among which Tau-ting, the foniier residence of the governor-general, and Tientsin, are the most important. The former lies about eighty miles south-west of the capital, on the Yungting River and the great road leading to Shansi. The whole department is described as a thoroughly cultivated, populous region ; it is well M’atered, and possesses two or three small lakes.

    Tientsin is the largest port on the coast above Shanghai. Owing, however, to the shallowness of the gulf and the bar at the mouth of the Pei ho, over which at neap tide only three or four feet of water flow, the port is rendered inaccessible to large foreign vessels. 1 tti size and importance were formerly chiefly owing to its being t’le terminus of the Grand Canal, where the produce and taxes for the use of the capital were brought. Mr. Gutzlaff, who visited Tientsin in 1831, described it as a bustling place, comparing the stirring life and crowds on the water and shores outside of the walls of the city with those of Liverpool.

    The enormous fleet of grain junks carrying rice to the capital is supplemented by a still greater number of vessels which take the food up to Tung chau. Formerly the coast trade increased the shipping at Tientsin to thousands of junks, including all which lined the river for about sixty miles. This native trade has diminished since 1861, inasmuch as steamers arc gradually ousting the native vessels, no one caring to risk insurxince on freight in junks. The country is not very fertile between the city and the sea, owing to the soda and nitre in the soil; but scanty crops are brought forth, and these only after much labor ; one is a species of grass(Phragmites) much used in making floor-mats. Sometimes the rains cause the Pei ho and its affluents to break over their banks, at which periods their waters deposit fertilizing matter over large areas.

    The approach to Tientsin from the eastward indicates its importance, and the change from the sparsely populated country lying along the banks of the Pei ho, to the dense crowds on shore and the fleets of boats, adds greatly to the vivacity of its aspect. ” If flue buildings and striking localities are required to give interest to a scene,” remarks Mr. Ellis, ” this has no claims; but, on the other hand, if the gradual crowding of junks till they become innumerable, a vast population, buildings, though not elegant, yet reguhir and peculiar, careful and successful cultivation, can supply these deficiencies, the entrance to Tientsin will not be without attractions to the traveler.’”

    The stacks of salt along the river arrest the attention of the voyager; the innuense quantity of this article collected at this city is only a small portion of the amount consumed in the interior. Tientsin will gradually increase in wealth, and nt)\v perhaps contains half a million of inhabitants. Its position renders it one of the most important cities in the empire, and the key of the capital.

    Near the endjouehure of the river is Ta-ku, with its forts and gari’ison, a small town noticeable as the spot where the first interview between the Chinese and English plenipotentiaries was held, in August, IS^tO ; and for three engagements between the British and Chinese forces in 1858, 1859, and ISGO. The general aspect of the province is flat and cheerless, the soil near the coast unpi’o(lucti\e, but, as a whole, rich and well cultivated, though the harvests are jeopardized by frequent droughts.

    The port of Peking is Tung chau on the Pei ho, twelve miles from the east gate, and joined to it by an elevated stone causeway. All boats here unload their passengers and freight, which are transported in carts, wheelbarrows, or on mules and donkeys.

    The city of Tung chau presents a dilapidated appearance amidst all its business and trade, and its population depends on the transit of goods for their chief support. The streets are paved, the largest of them having raised footpaths on their sides. The houses indicate a prosperous community. A single pagoda towers nearly 200 feet above them, and forms a waymark for miles across the country. Tung chau is only 100 feet above the sea, fi-om which it is distant 120 miles in a direct line; consequently, its liability to floods is a serious drawback to its permanent prosperity.

    ‘ Jourtud of Lord AinhcrsVs Emba.sKy to China^ Cd ed., p. 22. Lundon, 1840

    DOLOX-XUli \:SD TOV.^’.S IX THE NORTH. 87

    Another city of note is Siuenhwa fu, finely situated between the branches of the Great Wall. Tindvowski remarks, “the crenfvted wall which surrounds it is thirty feet high, and puts one in mind of that of the Krendin, and resembles those of several towns in Uussia; it consists of two thin parallel brick walls, the intennediate space being filled with clay and saud. The Avail is flanked with towers. AVe passed through three gates to enter the city : the first is covered with iron nails; at the second is the guard-house ; we thence proceeded along a broad street, bordered with shops of hardware ; we went through several large and small streets, which are broad and clean ; but, considering its extent, the city is thinly peopled.” ‘

    The department of Chahar, or Tsakhar, lies beyond the Great Wall, north and west of the province, a mountainous and thinly settled country, chiefly inhabited by Mongol shepherds who keep the flocks and herds of the Emperor.”

    ‘ Travels of the Russian Mission through Mongolia to China, Vol. I., p. 293.London, 1837.•^ Williamson, Journeys in North China, Vol. II. , p. 90.

    In the north-east of their grounds lies the thriving town of Dolon-nor (I.e., Seven Lakes), or Lama-miao, of about 20,000 Chinese, founded by Kanghi. The Buddhist temples and manufactories of bells, idols, praying machines, and other religious articles found here, give it its name, and attract “the Mongols, whose women array themselves in the jewelry made here. It is in latitude 42° 16′ X., about ten miles from the Shangtu river, a large branch of the river Liao, on a sandy plain, and is approached by a road Minding among several lakes. North-west of Dolon-nor are the ruins of the ancient Mongolian capital of Shangtu, rendered more famous among English reading people by Coleridge’s exquisite poem—

    In Xanadu did Kubla Khan
    A stately pleasure-dome decree :
    Where Alpli, the sacred river, ran
    Through caverns measureless to man
    Down to a sunless sea.
    So twice five miles of fertile ground
    With walls and towers were girdled round

    —than by Marco Polo’s relation, which moved the poet to pen the lines. It was planned as Mukden now is, an outer and inner Avail inclosing separate peoples, and its tumuli will probably furnish many tablets and relics of the Mongol emperors, when carefully dug over. It was too far from Peking for the Manclm monarchs to rebuild, and the Ming emperors had no power there. It was visited in 1 872 by Messrs. Grosvenor and Bushell of the British Legation ; Dr. BusheH’s description corroborates Polo’s account and Gerbillon’s later notices of its size.’

    There are several lakes, the largest of which, the Peh hu, in

    the south-western part, connects with the Pei ho throngh the

    river Hli-to. The various bi-anches of the five rivers, whose

    miited waters disembogue at Ta-ku, afford a precarious water

    communication through the southern half of Chihli. Their headwaters

    rise in Shan si and beyond the Great AVall, bringing down

    much silt, which their lower currents only partially take out into

    the gulf; this sediment soon destroys the usefulness of the

    channels by raising them dangerously ncai’ the level of the banks.

    The utilization of their streams is a difficult problem in civil

    engineering, not only here but throughout the Great Plain.

    Kear the banks of the Lan ho, a large stream flowing south

    from the eastern slopes of the (Jhahar Hills, past Yungping fu

    into the gulf, and about one hundred and seventy-four miles

    north of Ta-ku, lies Chingpeli, or Jeh-ho, the Emperor’s country

    palace. The approach to it is through a pass cut out of the

    rock, and resembles that leading to Damascus. The imperial

    grounds are embraced by a high range of hills forming a grand

    amphitheatre, which at this point is extremely fine. This descent

    to the city presents new and captivating views at every

    turn of the road. The hunting grounds are inclosed by a high

    wall stretching twenty miles over the hills, and stocked with

    deer, elks, and other game. The Buddhist temples form the

    chief attraction to a visitor. The largest one is square and castellated,

    eleven stories high, and about two hundred feet on

    each of its sides ; the stories are painted red, yellow and green

    alternating. There are several similar but smaller structures

    below this one, and on each of the first two or three series is a

    row of small chinaware pagodas of a blue color ; their tiles are

    ‘ Journal of the Boy. Qeog. Foe, 1874. Yule’s Marco Polo, Vol. I., pp. 263-26S. Cathay and the Way Thither, Vol. I., p. 134. Gerbillon, Memoires concernant leu Vhinoin (Anih^y’^ cd.), Vol. IV., pp. 701-71(5. Joiiriuil AHutiqve,Ser. II., Tome XL, p. 345. Hue, Tiirtary, etc., Vol. I., p 34, 2d ed., London

    SHANDONG PROVINCE. 89

    likewise blue. In the bright sunlight the effect of these brilliant hands is very good, and the general neatness adds to the pleasing result of the gay coloring. Nearly a thousand lamas live about these shrines. The town of Re-he (I.e., Hot River) consists mostly of ons street coiling around the hills near the palace; its inhabitants are of a higher grade than usual in Chinese cities, the greater part being connected with the government.

    The road through Ku peh kau in the Great Wall from Peking to Jeh-ho is one of the best in the province, and the journey presents a variety of charming scenery ; its chief interest to foreigners is connected with the visit there of Lord Macartney, in 1793.’ This fertile prefecture is rapidly settling by Chinese, whose numbers are now not far from two millions.

    The principal productions of Chihli are millet and wheat, sorghum, maize, oats, and many kinds of pulse and fruits, among which are pears, dried and fresh dates(likamnus), apples and grapes ; all these are exported. Coal, both bituminous and anthracite, exists in great abundance ; one mode of using hard coal is to mix its dust with powdered clay and work them into balls and cakes for cooking and fuel. The province also furnishes good marble, granite, lime, and iron, some kinds of precious stones, and clay for bricks and pottery.

    ‘ Sir G. L. Staunton, Acconntof an KmhasRy from the King of Great Britain to the Emperor of China. 3 vols. Lond., 179G.

    The province of Shandong (i.e., East of the Hills) has a long coast-line, its maritime border being more than half its whole circuit. It lies south of the Gulf of Pechele, south-east of Chihli, north of Kiangsu, and borders on Honan, where the Yellow River divides the two. Most of its area is level, the hilly part is the peninsula portion, where the highest points rise too high to admit of cultivation. The Grand Canal enters the province on its course from Tientsin at Lintsing chan in the north-west, passing in a south-easterly direction to the old Yellow River, and adds greatly to its importance. The shores of the promontory are generally l)old, and full of indentations, presenting several excellent harbors ; no important river disembogues within the province, and on each side of the peninsula the waters are shallow. Chifu, in the prefecture of Tangchau, has the hest harhor, and its trade will gradually draw toward it a large population. The hills along the shore have a reniarkahlj uniform, conical shape, resembling the bonnets worn by officers. The hilly regions are arranged in a series of chains running across the promontory, the longest and highest of which runs Avith the general trend of the coast in Tai-ngan fu, some peaks reaching over five thousand feet, but most of them being under three thousand feet high. Their intervales are highly cultivated. The soil is generally productive, except near the shores of the gulf, where it is nitrous. Two crops are aimually produced here as elsewhere in Northern China. The willow, aspen, ailantus, locust(Sop^ora), oak, mulberry, and conifera, are common trees; silk-worms fed on oak leaves furnish silk.

    This province is one of the most celebrated in Chinese history, partly from its having been the scene of many remarkable events in the early history of the people up to b.c. 200, but more particularly from its containing the birthplaces of Confucius and Mencius, wdiose fame has gone over the earth. The inhabitants of the province are proud of their nativity on this score, much as the woman of Samaria was because Jacob’s cattle had (huidv water at the well of Sychar.

    TAI SHAN, THE ‘ GREAT MOUNT,’ 91

    The high mountain called Taishan, or ‘great mount’, is situated near Tai-ngan fu in this province. This peak is mentioned in the Shu King as that where Shun sacrificed to Heaven (b.c.2254) ; it is accordingly celebrated for its historical as well as religious associations. It towers high above all other peaks in the range, as if keeping solitary watch over the country roundabout, and is the great rendezvous of devotees ; every sect has there its temples and idols, scattered up and down its sides, in which priests chant their prayers, and practise a thousand superstitions to attract pilgrims to their shrines. During the spring, the roads leading to the Tai shan are obstructed with long caravans of people coming to accomplish their vows, to supplicate the deities for health or riches, or to solicit the joys of heaven in exchange for the woes of earth. A French missionary mentions having met with pilgrims going to it, one party

    of whom consisted of old dames, who had with iulhiite fatigue

    and discomfort come from the south of llonan, about three

    hundred miles, to “‘remind their god of the long abstinence

    from flesh and fish thev had obsei’ved during the course of tlieir

    lives, and solicit, as a recompense, a happj transmigration for

    their souls.” The youngest of this party was 78, and the oldest

    90 years.’ Another traveller says that the pilgrims resort there

    during the spring, when there are fairs to attract tliem ; high

    and low, official and commoner, men and women,’ old and

    young, all sorts gather to worship and traffic. A great temple

    lies outside the town, whose grounds furnish a large and secure

    area for the tents where the devotees amuse themselves, after

    they have finished their devotions. The road to the summit is

    about five miles, well paved and furnished with rest-houses,

    tea-stalls, and stairways for the convenience of the pilgrims,

    and shaded with cypresses. It is beset with beggars, men and

    women with all kinds of sores and diseases, crippled and injured,

    besieging travellers with cries and self-imposed sufferings,

    frequently lying across the path so as to be stepped upon.

    A vast number of them live on alms thus collected, and have

    scooped themselves holes in the side of the way, where they

    live ; their numbers indicate the great crowds whose offerings

    support such a M’retched thi-ong on the hill.

    ‘ Annalcs de la Foi, 1844, Tome XVI., p. 421.

    The capital of the province is Tsinan, a well-built city of about 100,000 inhabitants. It was an important town in ancient times as the capital of Tsi, one of the influential feudal States, from b.c.1100 to its conquest by Chf Huangdi about 230 ; the present town lies not far east of the Ta-tsing ho, or new Yellow River, and is accessible by small steamers from sea. It has hills around it, and is protected by three lines of defence, composed of mud, granite, and brick. Three copious sprhigs near the western gate furnish pure water, which is tepid and so abundant as to fill the city moat and form a lake for the solace of the citizens whether in boats upon its bosom or from temples around its shores. Its manufactures are strong fabrics of wild silk, and ornaments of llit-ll, a vitreous substance like strass, of which pnuff-l)()ttlcp, bangles, cups, etc., are made in great variety, to reseuil)le serpentine, jade, ice, and other things. East of Tsinan is the prefect city of Tsing chau, once the provincial capital, and the centre of a populous and fertile region. Tsining chau is an opulent and flourishing place, judging from the gilded and carved shops, temples, and public offices in the suburbs, which stretch along the eastern banks of the Canal ; just beyond the town, the Canal is only a little raised above the level of the extensive marshes on each side, and further south the swamps increase rapidly : when Amherst’s embassy passed, the whole country, as far as the eye could reach, displayed the effects of a most extensive I’ecent inundation. Davis adds, ” The

    waters were on a level with those of the Canal, and there was

    no need of dams, which wei-e themselves nearly under water,

    and sluices for discharging the superfluous water were occasionally

    observed. Clumps of large trees, cottages, and towers, were

    to be seen on all sides, half under water, and deserted by the

    inhabitants ; the number of the latter led to the inference that

    they were provided as places of refuge in case of inundation,

    which must be here very frequent. Wretched villages t»ccuiTC(l

    frequently on the right-hand bank, along which the tracking

    path was in some places so completely undermined as to give

    way at every step, obliging them to lay down hurdles of reeds

    to afford a passage.” ‘

    Lin-tsing chau, on the Yu ho, at its junction with the Canal, lies in the midst of a beautiful country, full of gardens and cultivated grounds, interspersed with buildings. This place is the depot for produce brought on the Canal, and a rendezvous for large fleets of boats and baiges. ?sear it is a pagoda in good repair, about 150 feet high, the basement of which is built of granite, and the other stories of glazed bricks.

    ‘ SketcJies of CJu/ui, Yul. I., p. 257.

    CITIES AND CIIAnACTERISTICS OF SHANTUNG. 93

    The towns and villages of Shandong have been much ^•isited during the past few years, and tlu’ir inhabitants have become better acquainted with foreigners, with whom increased intercourse has developed its good and bad results. The productions of this fertile province comprise every kind of grain and vegetable finuid in Xoitlieni China, and its trade by sea and along the Canal opens many outlets for enterprising capital. Among its mineral productions are gold, copper, asbestos, galena, antimony, silver, sulphur, fine agates, and saltpetre ; the first occurs in the beds of streams. All these yield in real importance, however, to the coal and iron, which are abundant, and have been worked for ages. Its manufactures supply the common clothing and utensils of its people ; silk fabrics, straw braid woven from a kind of wheat, glass, cheap earthenware, and rugs of every pattern.

    Mr. Stevens, an American missionary who risited Wei-hai wei and Chifu in 1837, gives a description of the people, which is still applicable to most parts of the province : “These poor people know nothing, from youth to old age, but the same monotonous round of toil for a subsistence, ?nd never see, never hear anything of the world around them. Improvements in the useful arts and sciences, and an increase of the conveniences of life, are never known among them. In the place where their fathers lived and died, do they live, and toil, and die, to be succeeded by another generation in the same nuiimer.

    Few of the comforts of life can be found among them; their houses consisted in general of granite and thatched roofs, but neither table, chair, nor floor, nor any article of furniture could be seen in the houses of the poorest. Every man had his pipe, and tea was in most dwellings. They were industriously engaged, some in ploughing, others in reaping, some carrying out manure, and others bringing home produce; numbers were collected on the thrashing-floors, winnowing, sifting and packing wheat, rice, millet, peas, and in drying maize, all with the greatest diligence. Here, too, were their teams for ploughing, yoked together in all possible ludicrous combinations; sometimes a cow and an ass; or a cow, an ox and an ass; or a cow and two asses; or four asses; and all yoked abreast. All the women had small feet, and wore a pale and sallow aspect, and their miserable, squalid appearance excited an indelible feeling of compassion for their helpless lot. They were not always shy, but were generally ill-clad and ugly, apparently laboring in the fields like the men. But on several occasions, young ladies clothed in gay silks and satins, riding astride upon bags on donkeys, were seen. Ko prospect of melioration for either men or women appears but in the liberalizing and happy influences of Christianity.” ‘

    The province of ShanXxi (i.e., West of the Hills) lies between Ciiihli and Shensi, and north of HeNan ; the Yellow River bounds it on the west and partly on the south, and the Great Wall forms most of the northern frontier. It measures 55,2(38 square miles, nearly the same as England and Wales, or the State of Illinois. This province is the original seat of the Chinese people ; and many of the places mentioned and the

    scenes recorded in their ancient annals occurred within its borders.

    Its rugged surface presents a striking contrast to the level

    tracts in Chihli and Shantung. The southern portion of ShansI,

    including the region down to the Yellow River, in all an area

    of 30,000 square miles, presents a geological formation of great

    simplicity from Ilwai king a^ far north as Ping ting. The plain

    around the lirst-named cit)^ is bounded on the north by a steep,

    castellated raiige of hills which varies from 1,000 to 1,500 feet

    in height ; it has few roado ov streams crossing it. On reaching

    the top, an undulating table-land stretches northward, varying

    from 2,500 to 3,000 feet above the Plain, consisting of coal formation,

    above the limestone of the lower steep hills. About

    forty miles from those hills, there is a second rise like the first,

    up which the road takes one to another plateau, nearly 6,000

    feet above the sea. This plateau is built up of later rocks, sandstones,

    shales, and conglomerates of green, red, yellow, lilac,

    and brown colors, and is deeply eroded by branches of the Tsin

    Piver, which finally flow into the Yellow Piver. This plateau

    has its north-west boi-der in the Wu ling pass, beyond which

    besrins the descent to the basin of the Fan Piver. That basin

    is traversed near its eastern side by the Hob shan nearly to Taiyuen; its peaks rise to 8,000 feet in some places ; the rocks are granite and divide the coal measures, anthracite lying on its eastern side and bituminous on the west, as far as the Yellow.
    ‘ Chinese Repository, Vol. IV., pp. 308-335. W. H. Medhurst’s China,chaps, xv.-xix.

    NAT- -HANSI. 95

    River, and nr \, On top of both plateaus is spread the loess deposi iu depth from ten to five hundred fe^ ” ‘ water-courses in every direction, Avhic’ ‘ ^ .nines.

    On the eastern side . Shansi the rocks are made up of ancient for Liatlons v»r deposits of the Sihirian age, presenting a series of peaks, piisses and ranges that render travel very difficult down to u’.j Plain. By these outlying ranges the province is isolated from Chihli, as no useful water communication exists. This coal and iron formation is probably the largest in the “world, and when railroads open it up to easy access it can be leadily -worked along the water-courses. The northern part of the province is drained through the rivers ending at Tientsin. This elevated region cannot be artificially irrigated, and when the rainfall is too small or too late, the people suffer from famine. The northern and southern prefectures exhibit great diversity in their animal, mineral, and vegetable productions. Some of the favorite imperial hunting-grounds are in the north; from the coal, iron, cinnabar, copper, marble, lapis-lazuli, jasper, salt, and other minerals which it affords, the inhabitants gain much of their wealth. The principal grains are wheat and millet, a large variety of vegetables and fruits, such as persimmons, pears, dates and grapes. The rivers are not large, and almost every one of them is a tributary of the Yellow River. The Fan ho, about 300 miles long, is the most important, and empties into it near the south-western corner of the province, after draining the central section. East of this stream, as far as the headwaters of those rivers flowing into Chihli, extends an undulating table-land, having a general altitude of 3,000 feet above the Plain. South of it runs the river Kiang, also an afiiuent of the Yellow River, and near this, in Kiai chau, is a remarkable deposit of salt in a shallow lake (18 miles long and 3 lu-oad), which is surrounded by a high wall. The salt is evaporated in the sun under government direction, the product bringing in a large revenue ; the adjacent town of Lung-tsiien, containing 80,000 inhabitants, is devoted to the business. Salt has been obtained from this region for two thousand years ; the water in some of the springs is only brackish, and used in culiiKiry operations. There are t\\ “> smaller lakes nearei” the Yellow River.

    The iron obtained in the lower puitean, ii: the sonth-east neaj Tsih chan, is from clay iron-ure and spathic ore with heniatite4 \vhich occurs in limestone strata at the bottom of the coal formations.

    It is extracted in a rude manner, but the produce is etpial to any iron in the world, while its price is only about two cents a pound. The working and transportation of coal and iron employ myriads of people, though they are miserably paid. The province barely supplies its own cotton, but woolen garments and sheepskins are produced to make up the demand for clothing.

    Taiyuen fu, the capital, lies on the northern border of a fertile plain, 3,000 feet above the sea level ; this plain extends about 2,000 square miles, and owes its existence to the gradual filling up of a lake there, the waters having cut their way out, and left the river Fan to drain the surplus. Across the IIo shan Range lies another basin of equal fertility and mineral wealth, in Ping-ting chau, where coal, iron, clay and stone exist in unlimited

    quantities. In the northern part of this province the Buddhist

    tenqjles at AVu-tai shan in Tai chau draw vast crowds of votaries

    to their shrines. The hills in which they are built rise

    jtroiuinently above the range, and each celebrated locality is

    memorialized by its own particular divinity, and the buildings

    where he is worshipped. The presence of a living Buddha, or

    G’egen, hei-e attracts thousands of Mongols from the north to

    adore him ; their toilsome journey adding to the worth of the

    \isit. Most of the lamas are from the noi-th and west. The

    region north of this seems to be gradually losing its fertility,

    owing to the sand which is drifted by north winds from the

    Ortous steppes ; and as all the hills are bare of trees, the whole

    of Shansi seems destined to increasing poverty and barrenness.

    Its inhabitants are shrewd, enterprising traders as well as frugal

    agriculturists ; many of the bankers in the Empire are from its

    cities.

    MOUNTAIN PASSES IN SFIANSl. 97

    The great roads from Peking to the south-west and west pass through all the chief towns of this province, and when new pi-()b:ibly (‘(|ualk'(l in eiiglneei’ing and construction anything o^ the kind ever biult by the Konuuis. The stones with which they are paved average 15 inches in thickness. Few regions can exceed in natural difficulties some of the passes over the loess-covered tracts of this province, where the road must wind the Loess-clefts from the Han-sing From Richthofen.

    through miles of narrow cuts in the light and tenacious soil, to emerge before a landscape such as that seen in the illustration.’

    The province of Henan (i.e. South of the River) comprises some of the most fertile parts of the Plain, and, on account of its abundance and central position, early received the name of

    ‘ Richthofen, China. Band I. S. 68. Ilcv. Arthur Smith, Glimpses of Travel in the Middle Kingdom. Shanghai, 1875.

    Chung Hwa T’l, or the ‘ Middle Flowery Land,’ afterwards enlarged into Chung Kicoh, or ‘ Middle Kingdom.’ Its form is an irregular triangle, and its size nearly the same as ISiiantmig ; it has iShansi and Cliihli on the north, ]S’ganliwui on the southeast, Ilupeh on the south and south-west, and Shensi on the west, bordering also on Shantung and Kiangsu. This area is divided into three basins, that of the Yellow River in the north, of the Hai River on the south, and the Han River on the south-west; the last two are separated by a marked range of mountains, the Fuh-niu shan, which is regarded as the eastern terminus of the Kwunlun Mountains ; it is about 300 miles long, and its eastern end is near Jii-ning fu. This range maintains an elevation of 4,000 to 6,000 feet, and is crossed at Xanchau, where a remarkable natural pass about 30 miles long, rising to 1,200 or 1,500 feet, affords the needed facilities for trade and travel between the central and northern provinces. The Peh and Tan rivers drain its southern slopes into the Ilan, and the eastern sides are abundantly watered by the numerous branches of the Hai River as they flow into Ilungtsih Lake. The northern portion of Henan along the Yellow River is level, fertile and populous, forming one of the richest portions of the province.

    For its climate, productions, literary reputation, historical associations, and variety of scenery, this province takes a prominent rank. The earliest records of the Black-haired race refer to this region, and the struggles for dominion among feudal and imperial armies occurred in its plains. Its’ present difficulty of access from the coast will ere long be overcome by railroads, when its capabilities may be further developed, and the cotton, hemp, iron, tutenag, silk and coal be increased for exportation.

    THE PKOVIXCE OF IIOXMST. 99

    The people at present consume their own food and manufactures, and only require a got)d demand to increase the quality and amounts and exchange them for other things. The three prefectures north of the Yellow River are low-lying; through these the waters of that river have recently found their way into the river Wei and thence to the (lulf of Pechele, at Mang-tsin or east of it ; the gradual rise of the l)ed renders their levels nearly the same, while it makes the main stream so broad and shallow that it is of little use for navigation. These plains are traversed by wheelbarrows and carts, whose drivers and trundlers form a vast body of stalwart men constantly going about in their employment from one city to another.

    Kaifung fu, or Pien-liang, the capital, is situated about a

    league from the southern bank of the Yellow Kiver, whose bed

    is here elevated above the adjacent country. It was the metropolis

    from A.D. 960 to 1120, and has often suffered from attacks

    of armies as well as from inundations. The dikes are mostly

    on the northern shore, and exhibit the industry and unavailing

    efforts of the people for scores of leagues. During the period

    of the Manchu conquest Kaifung was defended by a loyal general,

    who, seeing no other resource against the invaders, broke

    down the embankments to drown them, by which mantjeuvre

    upwards of 300,000 of the inhabitants perished. The city was

    rebuilt, but it has not attained to its ancient splendor, if credit

    can be given to the Statistics of Kaifumj^ in which work it

    is described as having been six leagues in circuit in the twelfth

    century, approached by five roads, and containing numerous

    palaces, gardens, and government houses. The valley of the

    Kiver Loll lies between the Yellow River and the Fuh-niu Mountains,

    a fertile, populous region wherein many of the remarkable

    events of Chinese history M’ere enacted. Loh-yang, near Honan,

    was the metropolis at three different intervals, and probably

    further researches here will bring to light many ancient relics; rock-cut temples and old inscriptions, with graceful bas-reliefs, near the natural gate of Lung-man, where the road crosses Sung slian, have already been seen. Owing to the direction of the roads leading through this region from the south and east, and the passes for travel towards the north-west, it will form a very important center of trade in the future of Central Asia and western China.

    The province of Iviangsu is named from the first syllable of the capital, Kiangning, joined to Su, part of the name of the richest city, Suchau. It lies along the sea-coast, in a northwesterly direction, having Shantung on the north, Xganhwnii on the west, and C’hehkiang on the south. The area is about 4:5,000 square miles, equaling Pennsylvania or a little less than England by it-self. It consists, with little interruption, of level tracts interspersed with lakes and marshes, through which How their two noble rivers, which as tliej are the source of the extraordinary fertility of this region, so also render it obnoxious to freshes, or cover the low portions with irreclaimable morasses.

    The region of Kiangnan is where the beauty and riches

    of China are most amply displayed ; ” and M-hether we considai*,”

    remarks Gutzlaff, speaking of this and the adjoining

    province, ” their agricultural resom-ces, their great manufactures,

    their various productions, their excellent situation on the

    banks of these t»vo large streams, their many canals and tributary

    rivers, these two provinces doubtless constitute the best

    territory of China.” The staple productions are grain, cotton,

    tea, silk, and rice, and most kinds of manufactures are here

    carried to the greatest perfection. The people have an exceptional

    reputation for intelligence and wit, and although the

    province has long ceased to possess a court, its cities still ])i’esent

    a ga^’er aspect, and are adorned W’ith better structures than

    any others in the empire. This province was the scene of the

    dreadful ravages of the Tai-ping rebellion, and large districts

    are still desolate, while their cities lie waste.

    Proljably no other country of equal extent is better watered

    than Kiangsu. The Great River, the Grand Canal, many

    smaller streams and canals, and a succession of lakes along the

    line of the canal, afford easy communication through everj’ part.

    The sea-coast has not been surveyed north of the Yangtsz’,

    where it is unapproachable in large vessels ; dykes have been

    constructed in some portions to prevent the in-flo\v of the

    ocean. The largest lake is the Ilungtsih, about two hundred

    miles in circumference. South of it lies Ivauyu Lake, and on

    the eastern side of the canal opposite is Pauying Lake, both of

    them broad sheets of water. Numerous small lakes lie around them. Tai hu, or ‘ Great Lake,’ lies partly in Jiangsu and partly in Zhejiang, and is the largest in the province. Its borders are skirted by romantic scenery, while its bosom is broken by numerous islets, affording convenient resort to the fishermen who get their subsistence from its waters.

    CITY OF NANKING. 10^

    Kiangning fu (better known abroad as Nanking), the capital

    of the province, is situated on the south sliore of tlie Yangtsz’,

    194 miles from Shanghai. It was the metropolis from a.d. 317

    to 582, and again for 35 years during the Ming dynasty (1368-

    1403). This city is the natural location of an imperial court,

    accessible by land and water from all cpiarters, and susceptible

    of sure defence. “When the Tai-pings were expelled in 1865,

    the city was nearly destroyed, and has since that date only

    slowly revived. When Hungwu made it his capital, he

    strengthened the wall around it, inclosing a great area, 35 miles

    in circuit, which was never fully covered with buildings, and at

    present has a most ruinous appearance. Davis remarks the

    striking resemblance between Home and Xanking, the area

    within the walls of both being partially inhabited, and ruins of

    buildings lying here and there among the cultivated fields, the

    melancholy remains of departed glory. Both of them, however,

    have now brighter prospects for the future.

    The part occupied by the Manchus is separated by a cross

    wall from the Chinese town. The great extent of the wall

    renders the defence of the city difficult, besides which it is

    overlooked from the hills on the east, from one of which, tlio

    Chung shan, a wide view of the surrounding country can be

    obtained. On this eastern face are three gates ; the land near

    the tM’o toward the river is marshy, and the gates are ap

    preached on stone causeys. A deep canal runs up from the

    river directly under the walls on the west, serving to strengthen

    the approaches on that side. Xanking is laid out in four

    rather wide and parallel avenues intersected by others of less

    width ; and though not so broad as those of Peking, are on the

    Mdiole clean, vrell-paved, and bordered Avith handsomely furnished

    shops.

    The only remarkable monuments of royalty which remain are

    several guardian statues situated not far from the walls. These

    statues form an avenue leading up to the sepulchre where the

    Emperor Hungwu was buried about 1398. They consist of

    gigantic figures like warriors cased in armor, standing on either

    side of the road, across which at intervals large stone tablets are

    extended, supported by great blocks of stone instead of pillars

    Situated at some distance arc a innnber of ]-ude colossal timires of horses, elephants, and other animals, all intended to repre eent the guardians of the mighty dead.’

    Nothing made Kanking more celebrated abroad than the

    Porcelain Tower, called Pao-nydn tah, or the ‘Recompensing

    Favor Monastery,’ which stood pre-eminent above all other

    similar buildings in China for its completeness and elegance,

    the material of which it was built, and the quantity of gikling

    with wliicli its interior was embellished. It was erected by

    Yungloh to recompense the great favor of her majesty the

    Empress, and occupied 19 years (1411-14:30) in its construction.

    It was maintained in good condition by the government, and

    three stories which had been thrown down by lightning in

    1801 were rebuilt. TheTai-pings blew it up and carried off the

    bricks in 1856, fearing lest its geomantic influences should work

    against the success of their cause. As to its dimensions : Its

    form was octagonal, divided into nine equal stories, the circumference

    of the lower story being 120 feet, decreasing gradually

    to the top. Its base rested upon a solid foundation of brickwork

    ten feet high, up which a flight of twelve steps led into

    the tower, whence a spiral staircase of 190 steps carried the

    visitor to the summit, 261 feet from the ground. The outer

    face was covered with slabs of glazed porcelain of various

    colors, principally green, red, yellow, and white, the body of

    the edifice being brick. At every story was a projecting roof,

    covered with green tiles ; from each corner and from the top of

    these roofs were suspended bells, numbering 150 in all.

    ‘ The curious reader can consult the article by Mayer, in Vol. XII. of the North China Jirnnch Royal Asiatic Societt/’s Journal, 1878, for the meaning of these various objects.

    ^ Five Years in China, Nashville, Tenn., 1860. See also Voyages of the Nemesis, pp. 450-452, for further details of this city in 1842 ; the Chinese Repository, Vols. I., p. 257, and XIII., p. 261, contain more details on the PagoJa

    PORCELAIl^ TOWEll OF NANKING. 103

    This beautiful structure was visited in 1852 by Dr. Charles Taylor, an American missionary, who has left a full account of his observations. It was to have been raised to an altitude of 329 feet and of thirteen stories, but only nine were built ; careful measurement gave 261 feet as its height, 8^ feet its thickness at top, and 12 feet at the base, wdiere it was 96 feet 10 inches in diameter. The facing was of bricks made of fine porcelain clay ; the prevailing color was green, owing to the predominance of the tiles on the nnnierous stories. The woodwork supporting these successive roofs was strong, curiously carved and richly painted. The many-colored tiles and bricks were highly glazed, giving the building a gay and beautiful appearance, that was greatly heightened when seen in the reflected sunlight.

    When new it had 140 lamps, most of them hanging outside; and a native writer says ” that when lighted they illumine the 33 heavens, and detect the good and evil among men, as well as forever ward off human miseries.” The destruction of a building like this, from mere fanciful ideas, goes far to explain the absence of all old or great edifices in China.

    Nanking has extensive manufactories of fiue satin and ci-upc, Nankeen cotton cloth, paper and ink of fine quality, and beautiful artificial flowers of pith paper. In distant parts of the empire, any article which is superior to the common run of workmanship, is said to be from Nanking, though the speaker means only that it was made in that region. It is renowned, too, for its scholars and literary character, and in this particular stands among the first places of learning in the country. It is the residence of the governor-general of three provinces, and consequently the centre of a large concourse of officials, educated men, and students seeking for promotion ; these, with its large libraries and bookstores, all indicating and assisting literary pursuits, combine to give it this distinguished position. In the monastery on Golden Island, near Chinkiang, a library was found by the English officers, but there was no haste in examining its contents, as they intended to have carried off the whole collection, had not peace prevented.

    The city of Suchau now exceeds Nanking in size and riches. It is situated on islands lying in the Ta hu, and from this sheet of water many streams and canals connect the city with most parts of the department. The walls are about ten miles in circumference; outside of them are four suburbs, one of which is said to extend ten miles, besides which there is an immense floating population. The whole space includes many canals and pools connected with the Grand Canal and the lake, and preeented in 1859 a scene of activity, industry, and riches whicieonJd not be surpassed elsewhere in China. The population probably then exceeded a million, including the suburbs. It lies north-west of Shanghai, the way passing through a continual range of villages and cities; the environs are highly cultivated, producing cotton, silk, rice, wheat, fruits, and vegetables. It was captured in 1860 by the rebels, and M’lien retaken in 1865 was nearly reduced to a heap of ruins. It is, however, rapidly reviving, as the loss of life was comparatively small.

    The Chinese regard this as one of their richest and most beautiful cities, and have a saying, ” that to be happy on earth, one must be born in Suchau, live in Canton, and die in Liauchau, for in the first are the handsomest people, in the second the most C(»8tly luxui-ies, and in the third the best coffins.”

    It has a high reputation for its Imildings, the elegance of its tombs, the picturesrpie scenery of its waters and gardens, the politeness and intelligence of its inhabitants, and the beauty of its women. Its manufactures of silk, linen, cotton, and works in iron, ivory, wood, horn, glass, lackered-ware, paper, and other articles, are the chief sources of its wealth and prosperity; the kinds of silk goods produced here surpass in variety and richness those woven in any other place. Vessels can proceed up to the city by several channels from the Yangzi jiang, but junks of large burden anchor at Shanghai, or Songjiang ; the whole country is so intersected by natural and artificial watercourses, that the people have hardly any need for roads and carts, but get about in barrows and sedans. Small steamers find their way to every large village at high tide.*

    THE CITIES OF SUCIIAU AND CIIIXKIANG. 105

    Chinkiang, situated at the junction of the Grand Canal with the Yangzi jiang, was captured by the British in July, 1842, at a great loss of life to its defenders ; the Manchu general Hailing, finding the city taken, seated himself in his office, and set fire to the house, making it his funeral pyre. Its position renders it the key of the country, in respect to the transport of produce, taxes and provisions for Peking, inasmuch as when the river and canal ai-e both blockaded, the supplies for the north and south are to a great extent intercepted. In times of peace the scenes at the junction afford a good e\hil)itinu of the Industry and trade of the people. BaiTow describes, in 1794, ” tlio multitude of ships of war, of burden and of pleasure, some glidin<^ down the stream, <^)thers sailing against it; some moving by oars, and others lying at anchor; the banks on either side covered with towns and houses as far as the eye could reach; as presenting a prospect more varied and cheerful than any that had hitherto occurred. Kor was the canal, on the opposite side, less lively. For two whole days we were contimially passing among fleets of vessels of different construction and dimensions.” ‘

    The country in the vicinity is well cultivated, moderately hilly, and presents a characteristic view of Chinese life and action. ” On the south-east, the hills broke into an undulating country clothed with verdure, and firs bordering upon small lakes. Beyond, stretched the vast river we had just ascended. In the other direction, the land in the foreground continued a low and swampy flat, leaving it difficult at a little distance to determine which of the serpentine channels was the main branch; there were imnnnerable sheets of water, separated by narrow mounds, so that the whole resembled a vast lake, intersected by causeways. Willows grew along their sides, and dwellings were erected on small patches somewhat higher than the common surface.” ” This whole country was the scene of dreadful fighting for many years. Between the Imperialists and Tai-pings the city was totally destroyed, so that in 1801 hardly a house was left. It is now roo-ainino- its natural trade and prosperity.

    Near the month of the Grand Canal is Kin shan, or Golden Island,’ a beautiful spot, covered with temples and monastic establishments. A pagoda crowns the summit, and there are many pavilions and halls, of various sizes and degrees of elegance, on its sides and at the base, many of them showing their imperial ownership by the yellow or green tiling. Since the river has been open to traffic, and the devastations of the Tai-pings have ceased, the priests have retui-ned in small munbers to their abodes, but the whole settlement is a pool mockery of its early splendor. A similar one, rather larger, is found at Siung shan, or Silv^er Island, below Chinkiang ; it is, however, on a less extensive scale, though in a beautiful situation.

    ‘ Travels in China. ‘^ Capt. G. G. Locli, Ecents in CMna, p. 74.^Mentioned by Marco Polo. Yule’s edition, Vol. II., p. 1<37.

    Priests are the only occupants; temples and palaces the principal buildings, surrounded by gardens and bowers. Massive granite terraces, decorated with huge stone monsters, are reached from the water by broad flights of steps; fine temples, placed to be seen, and yet shaded by trees, open pavilions, and secluded summer-houses, give it a delightful air of retreat and conifort, which a nearer inspection sadly disappoints.

    The banks of the Yangtsz’ during the 250 miles of its course through this province, are uniformly low, and no towns of importance occur close to them, as they would be exposed to the floods. The vast body of water, with its freight of millions of tons of silt goes on its way in a quiet equable current into the Yellow Sea. The dense population of the prefectures on the south bank, contrasted with the sparseness of the region between the Canal and seashore on the north side, indicate the comparative barrenness of the latter, and the difficulty of cultivating marshy lands so nearly level with the sea.

    SHANGHAI. 107

    The largest seaport in Jiangsu is Shanghai (i.e., Approaching the Sea), now become one of the leading emporia in Asia. It lies on the north shore of the Wusong River, about fourteen miles from its mouth, in lat. 31° 10′ N., and long. 121° 30′ E., at the junction of the Huangpu with it, and by means of both streams communicates with SuZhou, SongJiang, and other large cities on the Grand Canal ; while by the Yangzi’ it receives produce from Yunnan and Sichuan. In these respects its position resembles that of New Orleans.

    The town of Wusung is at the mouth of that river, here about a mile wide ; and two miles beyond lies the district town of Paushan. The wall of Shanghai is three miles in circuit, through which six gates open into extensive suburbs ; around the ramparts flows a ditch twenty feet wide. The city stands in a wide plain of extraordinary fertility, intersected by numerous streamlets, and aftoi-ding ample means of navigation and communication; its population is estimated to be at present over 500-000, but the data for this figure are rather imperfect. Since it was opened to foreign commerce in 1843, the growth of the town has been rapid in every element of prosperity, though subject to great vicissitudes by reason of the rebellion which devastated the adjoining country. Its capture by the insurgents in 1851, and their expulsion in February, 1853, with the destruction of the eastern and southern suburbs in 1800, have been its chief disasters since that date. The native trade has gradually passed from the unwieldy and unsafe junks which used to throng the Ilwang-pu east of the city, into steamers and foreign craft, and is now confined, so far as the vessels are concerned, to the inland and coast traffic in coarse, cheap articles.

    Shanghai city itself is a dirty place, and poorly built. The houses are mostly made of bluish square brick, imperfectly burned ; and the walls are constructed in a cellular manner by placing bricks on their edges, and covering them with stucco. The streets are about eight feet wide, paved with stone slabs, and in the daytime crowded with people. Silk and embroidery, cotton, and cotton goods, porcelain, ready-made clothes, beautiful skins and furs, bamboo pipes of every size, bamboo ornaments, pictures, bronzes, specimens of old porcelain, and other curiosities, to which the Chinese attach great value, attract the

    stranger’s notice. Articles of food form the most extensive

    trade of all ; and it is sometimes a difficult matter to get

    through the streets, owing to the iiwmense quantities of fish,

    pork, fruit, and vegetaUes, which crowd the stands in front of

    the shops. Dining-rooms, tea-houses, and bakers’ shops, are

    met with at every step, from the poor man who carries around

    his kitchen or bakehouse, altogether hardly worth a dollai-, to

    the most extensive tavern or tea-house, crowded with customers.

    ‘ Fortune’s Wanderings in China, p. 120.

    For a few cash, a Chinese can dine upon rice, fish, vegetables, and tea; nor does it matter much to him, whether his table is set in the streets or on the ground, in a house or on a deck, he makes himself merry with his chopsticks, and eats what is before him.’ The buildings composing the Cheng-huang miao, and the grounds attached to this establishment, present a good instance of Chinese style and taste in architecture. Large warehouses for storing goods, granaries, and temples, are common; but neither these, nor the public buildings, present any distinguishing features peculiar to this city alone.

    The contrast between the narrow, noisome and reeking parts of the native city, and the clean, spacious, well-shaded and well paved streets and large houses of the foreign municipalities, is like that seen in many cities in India. The Chinese are ready enough to enjoy and support the higher style of living, but they are not yet prepared to adopt and maintain similar improvements among themselves. The difficulty of being sure of the co-operation of the rulers in municipal improvements deters intelligent natives from initiating even the commonest sanitary enterprise of their foreign neighbors.

    The remaining cities and districts of Iviangsu present nothing worthy of special remark. The Grand Canal runs from north to south, and affords a safe and ample thoroughfare for multitudes of boats in its entire length. Tsing-kiang-pu and Ilwaingan, near the old Yellow River, receive the traffic from the north and Ilungtsih Lake, while Yangchau near the Yangtsz’ River, takes that going north. In this part of the channel, constant dyking has resulted in raising the banks ; the city of Ilwai-ngan, for example, lies below the canal which brings trade to its doors, and may one day be drowned by its benefactor. Salt is manufactured in the districts south of the Yellow River, where the people cultivate but rare patches of arable land.

    The island of Tsungming, at the mouth of the Yangtsz’, is about sixty miles long, and sixteen wide, containing over nine hundred square miles, and is gradually enlarging by the constant deposits from the river; it is flat, but contains fresh water. It is highly cultivated and populous, though some places on the northern side are so impregnated with salt, and others so marsh}’, as to be useless for raising food. This island produces a variety of kaoliang or sorghum (Holcus), which is sweet enough to furnish syrup, and is groMu for that purpose in the United States.

    POSITIOX AND TOWNS OF NGANIIWUI PllOVINCE, 109

    The pruvince of T^ganuwui was so named by condjining the rtrst words in its two large cities, Xgaiikiiig and llw uicliaii, and forms the south-western half of Kiangnan ; it is both larger and more uneven than Kiangsu, ranges of hills stretching along the southern portions, and between the River llwai and the Yangzi. It lies in the central and southern parts of the Plain, north of Kiangsi, west of Kiangsu and Chehkiang, and between them and IJonan and Ilupeh. Its productions and manufactures, the surface, cultivation of the country, and character of the people, are very similar to those of Kiangsu, but the cities are less celebrated. The terrible destruction of life in this province during the Tai-ping rule has only been partially remedied by immigration from other provinces ; it will require years of peace and industry to restore the prosperous days of Taokwang’s reign.

    The surface of the country is naturally divided into that portion which lies in the hilly regions around Ilwaichau and Ningkwoh connected with the Tsientang River, the central plain of the Yangtsz’ with its short affluents, and the northern portion which the River Ilwai drains. The southern districts are superior for climate, fertility, and value of their products to most parts of the Empire; and the numerous rivulets which irrigate and open their beautiful valleys to traffic with other districts, render them attractive to settlers. No expense has been spared in erecting and preserving the embankments along the streams, whose waters are thereby placed at the service of the farmers.

    The Great River passes through the south from south-west to north-east ; several small tributaries flow into it on both banks, one of which connects with Chao Hu, or Nest Lake, in Lu Zhou Fu, the principal sheet of water in the province. The largest section is drained by the River Huai and its branches, which flow into Hongze Lake ; most of these are navigable quite across to Ilonan. The productions comprise every kind of grain, vegetables, and fruit known in the Plain ; most of the green tea districts lie in the south-eastern parts, particularly in the Sunglo range of hills in ITwuichau prefecture. Silk, cotton, and hemp are also extensively raised ; but excepting iron, few metals are brought to market.

    The provincial capital, Xgaiikiiig or Anking, lies close to the northern shore of the Kiang. Davis describes the streets as very narrow, and the shops as unattractive ; the courts and gateways of many good dwelling-houses presented themselves as he passed along the streets. ” The palace of the governor we first took for a temple, but were soon undeceived by the inscriptions on the huge lanterns at the gateway. These official residences seldom display any magnificence. The pride of a Chinese officer of rank consists in his power and station, and as the display of mere wealth attracts little respect, it is neglected more than in any country of the world. The best shops that

    we saw were for the sale of horn lanterns and porcelaiu. They

    possess the art of softening horn by the application of a very

    high degree of moist heat, and extending it into thin laminse of

    any shape. These lamps are about as transparent as groundglass,

    and, M’hen ornamented with silken hangings, have an elegant

    appearance.” During the fifty years since his visit, this

    large city has been the sport of prosperous and adverse fortunes,

    and is now slowly recovering from its demolition during the

    Tai-ping rebellion. It is situated on rising ground near the base

    of a range of hills far in the north, the watershed of two basins.

    The banks of the river, between Kanking and Xganking, a

    distance of 300 miles, are well cultivated, and contain towns

    and villages at short intervals. The climate, the scenery, the

    bustle on the river near the towns, and the general aspect of

    peaceful thrift along this reach, makes it on ordinary occasions

    one of the bright scenes in China. AYuhu hien, about sixty

    miles above Xanking, lies near tlie mouth of the llwangchi, a

    stream connecting it with the back country, and making it the

    mart for much of that trade. It was next in importance to

    Chinkiang, but its sufferings between the rebels and imperialists

    nearly destroyed it. The revival in population and trade has

    been encouraging, and its former importance is sure to revive.

    Ilwuichau (or in Cantonese, Fychow) is celebrated, among

    other things, for its excellent ink and lackered-ware. Fung’

    yang (i.e., the Rising Phoenix), a town lying north-west of Thanking, on the River Huai, was intended, by Hongwu, the founder of the Ming dynasty, to have been the capital of the Empire instead of NanJing, and was thus named in anticipation of its future splendor.

    KIANGSf PROVINCE. Ill

    The province of IviAN<isi (/.<?., AVest of the River) lies south of Xganhwui and Ilupeh, between Chehkiaiig and Fuhkien on the east, and Ilunan on the west, reaching from the Yaugtsz’ to the Mei ling on the south. Its form is oblong, and its entire area is nuide up of the beautiful basin of the Kan kiang, including all the affluents and their minor valleys. The hilly portions form part of the remarkable series of mountainous ridges, which cover all south-eastern and southern China, an area of about 300,000 square miles, extending from Ningpo south-westerly to Annam. It is made up of ranges of short and moderate hills, cut up by a complicated net of water-courses, many of which present a succession of narrow defiles and gentle valleys with bottom lands from five to twelve miles wide. That part of this region in Kiangsi has an irregular watershed on the east, separating it from the Min basin, and a more definite divide on the west from Ilunan and its higher mountains. The province entire is a little larger than all New England, or twice the size of Portugal, but, in population, vastly exceeds those countries.

    The surface of the land is rugged, and the character of the inhabitants partakes in some respects of the roughness of their native hills. It is well watered and drained by the River Kan and its tributaries, most of which rise within the province; the main trunk empties into Poyang Lake by numerous mouths, whose silt has gradually made the country around it swampy. For many miles on its eastern and southern banks extends an almost uninhabitable marsh, presenting a dreary appearance. The soil, generally, is productive, and large quantities of rice, wheat, silk, cotton, indigo, tea, and sugar, are grown and exported. It shares, in some degree, the manufactures of the neighboring provinces, especially in Xankeen cloth, vast quantities of which are woven here, but excels them all in the quality and amount of its porcelain. The mountains produce camphor, varnish, oak, banian, fir, pine, and other trees ; those on the west are well wooded, but much of the timber has been carried away during the late rebellion, and left the hill-sides bare and profitless.

    Kancliang, the provincial capital, lies near the southern shore

    of the Poyang Lake ; the city walls are six miles in circuit, and

    accessible by water from all sides. The character of its population

    is not favorable among their countrymen, and owing to the

    difficulty of reaching it from the Yangtsz’, it escaped the ruin

    and rapine which befel Kiukiang. Small steamers can come

    up to its jetties, but as the tea and porcelain are shipped on the

    south-east side of the lake, Nanchang is not likely to become

    a large mart ; few of the cities above it can ever be reached l)y

    steamers. Barrow estimated that there were, independent of

    innumerable small craft, 100,000 tons of shipping lying before

    the place. The banks of the Kan kiang, near the lake, are flat,

    and not highly cultivated, but the scenery becomes more varied

    and agreeable the further one ascends the stream ; towns and

    villages constantly come in sight, and the cultivation, though

    not uiiiversal, is more extended. Among other sights on this

    river are the bamboo water-wheels, which are so built on the

    steep banksides, that the buckets lift their freight 20 or 25

    feet, and pour it out in a ceaseless stream over the fields. The

    flumes thrown out into the stieani to turn a stronger current on

    the wheel, often seriously interfere with navigation. Many

    pagodas are seen on eithei* bank of this water-course, some of

    them undoubtedly extremely old. As the voyager ascends the river, several large cities are passed, as Linkiang, Kih-ngan, Ivauchau, and Xan-ngan (all capitals of departments), besides numerous towns and villages; so that if the extent of this river and the area of the valley it drains be considered, it will probably bear comparison with that of any valley in the world for populousness, amount and variety of productions, and diligence of cultivation.

    Beyond Kihngan are the Shihpah tan, or ‘ Eighteen llapids,’ which are torrents formed by ledges of rocks running across the river, but not of such height or roughness as to seriously obstruct the navigation except at low water. The shores in their vicinage are exceedingly beautiful. The transparency of the stream, the bold I’ocks fringed with wood, and the varied forms of the mountains, call to mind those delightful streams that are discharged from the lakes and iioilh counties of England. The

    TOWNS AND PRODUCTIONS OF KIAN(iSI. 113

    hilly banks are in many places covered with the Camellia oleifera, whose white blossoms give them the appearance of snow, when the plant is in flower. Kanchan is the town where large boats are obliged to stop; but Nan-ngan is at the head of navigation, about three hundred miles from the lake, where all goods for the south are debarked to be carried across the Mei ling, or ‘ Plnm Pass.’

    Within the department of Janchan in Fanliang hien, east of Poyang Lake, are the celebrated porcelain manufactories of Ivingteh chin, named after an Emperor of the Sung dynasty, in whose reign, a.d. 1004, they were established. This mart still supplies all the fine porcelain used in the country, but was almost wholly destroyed during the rebellion, the kilns broken up, and the workmen dispersed to join the rebels or die from want. The million of workmen said to have been employed there thirty years ago are now only gradually resuming their operations, and slowly regaining their prosperity. The approach to the spot is announced by the smoke, and at night it appears like a town on fire, or a vast furnace emitting fiames from numerous vents, there. being, it is said, five hundred kilns constantly burning. Ivingteh chin stands on the river Chang in a plain flanked by high mountains, about forty miles north-east from Jauehau, through which its ware is distributed over the empire.

    Genius in China, as elsewhere, renders a place illustrious, and few spots are more celebrated than the vale of the white Deer in the Lii hills, near Kankang, on the west side of Lake Poyang, where Chu Hi, the great conniientator of Confucius, lived and taught, in the twelfth century. It is a secluded valley about seven miles from the city, situated in a nook by the side of a rivulet. The unpretending buildings are comprised in a number of different courts, evidently intended for use rather than show. In one of the halls, the White Deer is represented, and near by a tree is pointed out, said to have been planted by the philosopher’s own hand. This spot is a place of pilgrimage to Chinese literati at the present day, for his writings are prized by them next to their classics. The beauty and sublimity of this region arc lauded by Davis, and its praisea are frequent themes for poetical celebration among native scholars.”

    The maritime province of Ciiehkiang, the smallest of the eighteen, lies eastward of Kiangsi and ^N^ganhwui, and between Kiangsu and Fuhkein north and south, and derives its name from the river Cheh or ‘ Crooked,’ which runs across its southern part. Its area is 39,000 square miles, or nearly the same as Ohio; it lies south-east of the plain at the end of the Kan slian, and for fertility, numerous water-courses, rich and populous cities, variety of productions, and excellence of manufactures, is not at all inferior to the larger provinces. Baron Richthofen’s letter to the Shanghai Chamber of Commerce, July 25, 1871, contains a good account of its topography. The whole province produces cotton, silk, tea, rice, ground nuts, wheat, ‘indigo, vegetable tallow {stilUngia)^ and pulse, in abundance. It possesses within its limits every requisite for the food and clothing of its inhabitants, while the excellence of its manufactures insures it in exchange a supply of the luxuries of other regions.

    The rivers in Chehkiang rise in the province ; and, as might be inferred from the position of the hills, their course is generally short and the currents rapid. Fourteen principal streams are enumerated, of which the Tsientangis the most important.

    The main branch of this river rises in the southern districts in two head-waters, which join at Kiichau fu and run thence into Hangchau Bay. The bore which comes up into this river fifteen miles, as far as Hangchau, is the only one along the coast. As its wall of water approaches the city, the junks and boats prepare by turning their bows to meet it, and usually rise over its crest, G or 10 feet at times, without mishap.

    The basin of the Tsientang River measures nearly half of the province; by means of rafts and boats the people transport themselves and their produce for about 300 miles to its headwaters.

    ‘ Davis’s Sketches^ Vol. II., p. 55.

    NATURAL FEATURES OF CHEIIKIANG. 115

    The valley of Lanki is the largest of the bottom lands, 140 miles long and .5 to 15 wide, and passes north through a gorge 70 miles in length into the lower valley, where it receives the Sin-ngan River from the west in Xganhwui, and thus communicates with Tlwuichau at times of higli water. It is just fitted for the rafting navigation of the region, and by means of its tortuous channels each one of the 29 districts in its entire basin can be readied by water.

    The forest and fruit trees of Chehkiang comprise almost

    every vahiable species known in the eastern provinces. The

    larch, elcococcus, camphor, tallow, fir, mulberry, varnish, and

    others, are common, and prove sources of wealth in their timber

    and products. The climate is most salubrious ; the grains,

    vegetables, animals, and fishes, furnish food ; while its beautiful

    manufactures of silk are unrivalled in the world, and have found

    their way to all lands. Hemp, lackered- and bamboo-wares,

    tea, crockery, paper, ink, and other articles, are also exported.

    The inhabitants emulate those in the neighboring regions for

    wealth, learning, and refinements, with the exception of the

    hilly districts in the south bordering on Kiangsi and Fuhkien.

    The dwellers of these upland valleys are shut out by position

    and inclination, so that they form a singularly clannish race.

    Their dialects are peculiar and very limited in range, and each

    group of villagers suspects and shuns the others. They are sometimes rather turbulent, and in some parts the cultivation of the mountain lands is interdicted, and a line of military posts extends around them in the three provinces, in order to prevent the people from settling in their limits; though the interdiction does not forbid cutting the timber growing there.’

    HangZhou, the capital of the province, lies in the northern part, less than a mile from the Qiantang. The velocity of this stream indicates a rapid descent of the country towards the ocean, but it discharges very little silt ; the tide rises six or seven feet opposite the city, and nearly thirty at the mouth.

    >See Chinese Repository, Vol. FV., p. 488; Journal of N. C. Br. R. A. Society,Vol. VI., pp. 123-128; and Chinese Recorder, Vol. I., 1869, pp. 241-248. These people are relies of tribes of Miaotsz’.

    Only a moiety of the inhabitants reside within the walls of the city, the suburbs and the waters around them supporting a large population. A portion of the space in the north-western part is walled off for the accommodation of the Manchu garri-si)]i, which consists of 7,000 troops. The governor-general of Chehkiang and Fulikien has an official house here, as well, also, as the governor of the province, but since the increased importance of Fuhchan. he seldom resides in this city; these, with their courts and troops, in addition to the great trade passing through, render it one of the richest and most important cities in the empire. The position is the most picturesque of any of the numerous localities selected by the Chinese for their capital. It lies in full view of the ocean, and from the hill-top in the center a wide view of the plains south and east is obtained.

    ‘ Yule’s Marco Poh, Vol. IT., p. 145.

    IIANGCIIAU AND ITS ENVIKOISrS. 117

    The charming lake, Si Ilu, and the numerous houses on its shores, with the varied scenery of the hills, copses, glades, and river banks, all highly cultivated, within a radius of ten miles, fidly bear out the praises of the Chinese as to i’ts singular beauty. Marco Polo lavishes all his admiration upon its size, riches, manufactures, and government, from which it is to be inferred that it suffered little in the Mongolian conquest. He visited the place when governor of Yangchau in 1286, and enthusiastically describes it as ” beyond dispute the finest and the noblest in the world.” ‘ The Chinese have a proverb—-t^Ar^;?^yu. tlen tang : Hia ya Sa Hang—the purport of which is that Ilangchau and Suchau are fully equal to paradise ; but the comparison of the Venetian traveler gives one a poorer idea of the European cities of his day, than it does of the magnificence of the Chinese, to those who have seen them. The streets are well-paved, ornamented with numerous honorary tablets erected to the memoiy of distinguished individuals, and agreeably interrupting the passage through them. The long main street extending along the Grand Canal into and through the city, thence out by the Tsientang, was, before its ruthless demolition by the Tai-pings in 1S63, probably one of the finest streets in t’^? whole Empire. The shops and warehouses, in point of size and stock of goods contained in them, might vie with the best in London. In population, luxury, wealth, and influence this city rivals Suchau, and for excellence of manufactures probably exceeds the latter place. Were Ilangchau easily reached bji sea, and had it ample harbors, it would engross the trade of the eastern coast; but furious tides (running sometimes 11^ knots an hour) ; the bore jeoparding passage-boats and other small crafts ; sand banks and quick sands ;—these present insuperable difficulties to the commerce by the ocean.

    This city was the metropolis of the country during the nine latter princes of the Sung dynasty (1129 to 1280), when the northern parts were under dominion of the tribe of Kin Tartars. One cause of celebrity is found in the beauty of its environs, especially those near the Si llu, or West Lake, an irregular sheet of water about 12 miles in circuit. Barrow observes that ” the natural and artificial beauties of this lake far exceeded anything we had hitherto had an opportunity of seeing in China. The mountains surrounding it were lofty, and broken into a variety of forms that were highly picturesque ; and the valleys were richly clothed with trees of different kinds, among which three species were remarkably striking, not only by their intrinsic beauty, but also by the contrast they formed with themselves and the rest of the trees of the forest. These were the camphor and tallow trees, and the arl)or vitse. The bright, shining green foliage of the first, mhigled with the purple leaves of the second, and over-topped by the stately tree of life, of the deepest green, produced a pleasing effect to the eye ; and the landscape was rendered still more interesting to the mind by the very singular and diversified appearance of several thousand repositories of the dead upon the sloping sides of the inferior hills. Here, as well as elsewhere, the sombre and upright cypress was destined to be the melancholy companion of the tombs.

    ” Higher still, among the woods, avenues had been opened to admit of rows of small blue houses, exposed on white colonnades, which, on examination, were also found to be mansions of the dead. Xaked coffins, of extraordinary thickness, were everywhere Iving on the surface of the OTOund. The maro-ins of the lake w^ere studded with light aerial buildings, among W’hich one of more solidity and greater extent than the rest was said to belong to the emperor. The grounds were inclosed with brick walls, and mostly planted with vegetables and fruit trees; but in some there appeared to be collections of such shrubs and tiowers as are most esteemed in the country.” ‘

    Staunton speaks of the lake as a beautiful sheet of water, perfectly pellucid, full of fish, in most places shallow, and ornamented with a great number of light and fanciful stone bridges, thrown across the arms of the lake as it runs up into the hills.

    A stone tower on the summit of a projecting headland attracted attention, from its presenting a different architecture from that usually seen in Chinese buildings. This tower, called the Lui Fung t<(h, lit. ‘Tower of the Thunder Peak’ (not Thundering Wind, as Staunton renders it), from the hill being at first owned by Mr. Lui, was built about a.d. 050, and is to-day a solid structure, though much ruined. It has now four stories, and is about 120 feet high ; something like a regular order is still discernible in the moldering cornices. The legend of the White Snake is associated with this structure, and people constantly cany away pieces of its bricks as charms.

    An interesting corroboration of this account is given by Polo, who says, ” Inside the city there is a lake which has a compass of some 30 miles ; and all around it are erected beautiful palaces and mansions, of the richest and most exquisite structure that you can imagine, belonging to the nobles of the city. There are also on its shores many abbeys and churches of the idolaters. In the middle of the lake are two islands, on each of which stands a rich, beautiful and spacious edifice, furnished in such a style as to seem fit for the palace of an emperor. And when any one of the citizens desired to hold a marriage feast, or to give any other entertainment, it used to be done at one of these palaces.” ‘^

    • Travels ih China, p. 522. ‘^ Yule’s Murco Poh, Vol. II., p. 146.

    DESCRIPTION OF HANGZHOU. 119

    The splendor and size of the numerous Buddhist temples in and around HangZhou attracted travelers to the city more even than (lid its position; these shrines have, however, all been destroyed, and their thousands of priests driven away; the Taipings left no Iniilding untouched. The Yoh Miao stands near the north-west corner of the Si IIu, and contains the tombs of the patriot general ^’oh Pi of the Sung dynasty (a.d. 1125), and his son, who were unjustly executed as traitors. Two conical

    mounds mark their resting places, and separated bj a wall, but

    inside the inclosnre are four iron statues cast in a kneeling posture

    and loaded with chains,—on his right Qin Hui and his wife, on the left a judge and general, who subserved Qin Hui’s hatred of Yue Fei by their flagitious conduct. All four are here doing homage and penance to this just man whom they killed, and by the obloquy they receive serve as a warning to other traitors. In a temple, called Tmg-tHz’ s.z\ not far from the city, ths party of the Dutch embassy were well lodged, and attended by three hundred priests. The establishment was in good repair, and besides two guardian monsters more than thirty feet high, near the entrance, contained five hundred images of the Buddhist Arhans, with miniature pagodas of bronze, of beautiful workmanship.

    Ilangchau is better known abroad for manufactures of silk than for any other fabrics, but its position at the termination of the Canal may perhaps give its name to ujany articles which are not actually made there, for lluchau is now a greater depot for raw and woven silks. In the northern suburbs lies an irregular basin, forming the southern extremity of the Canal ; but between the river and the basin there is no communication, so that all goods brought hither nnist be landed. The city contains, among other public buildings, a mosque, bearing an iugcription in Arabic, stating that it is a ” temple for Mussnlmen, when travelling, who wish to consult the Koran,” ‘ It is higher than the adjacent buildings, and adorned with a cupola, pierced with holes at short intervals. It was spared in 1803, as not being an idolatrous temple. There are also several others in the city, it being a stronghold of Islamism in China. “Water communication exists between Ilangchau and Yiiyau, south-east through Shauhing, and thence to Ningbo, by means of which goods find their way to and from the capital. A good road also runs between the two former cities; indeed, elsewhere in the province the thoroughfares are very creditable; they are laid with broad slabs of granite and limestone, and lead over plains and hills in numberless directions.

    ‘ De Guigiies, Voyages a Peking, Vol. II., pp. 65-77.

    Ningbo fu (‘Peaceful AVave city*) is the next important city in Zhejiang, in consequence of its foreign relations. It is adniiiably situated for trade and intluence, at the junction of three streams, in hit. 20° 55′ ^”., and long. 121° 22’ E. ; the united river flows on to the ocean, eleven and a half miles distant, under the name of the Tatsieh. Opposite the city itself, there are but two streams, but the southern branch again subdivides a few miles south-west of Ningbo. Its population has been variously estimated from one-fourth to one-third of a million, and even more, including the subin-ban and floating inhabitants.

    This place was called Klng-yuen by the Sung, and received its present name from the Mongols. It was captured in 1862 by the insurgents, who were deterred from destroying it by the presence of foreign men-of-war ; the prosperity of the mart has since increased. When foreigners first resorted to China for trade, Ningbo soon became a centre of silk and other kinds of commodities; the Portuguese settled there, calling it Z/rt>/(^>o, “which is the same name. It is, moreover, an ancient city, and its Annals afford full information upon every point interesting to a Chinese antiquarian, though a foreigner soon tires of the numy insignificant details mixed up with a few valuable statements.’

    ‘ Compare R. M. Martin’s CJiiiui (Vol. II., ]>. 304), who gives considerable miscellaneous information about the open ports, jtrevious to 184(5; also Dennys’ Treaty Porta of (Jhiiut, 18(57, pp. ;52(5-:54!) ; Richthol’en’s Letlerx, No. T), 1871 ; Yule’s Marco Polo, Vol. II., p. 181 ; Mistsioaarij Recorder, 18(59, pp. 15(5,177.NINGPO. 121

    ” The plain in which Xingpo lies is a magnificent amphitheatre, stretching away from twelve to eighteen miles on one side to the base of the distant hills, and on the other to the verge of the ocean. As the eye travels along, it catches many a pleasing object. Turn landward, it will see canals and water-courses, fields and snug farm-houses, smiling cottages, family residences, hamlets and villages, family tombs, monasteries and temples. Turn in the opposite direction, and you perceive a plain country descending toward the ocean; but the river alive with all kinds of boats, and the banks studded with ice-houses, most of all attract the attention. From without the city, and while still

    Upon the ramparts, look within its walls, you. will be no less gratified. Here there is nothing European, little to remind you ut’ what you have seen in the west. The single-storied and the double-storied houses, the heavy prison-like family mansions, the family vaults and graveyards, the glittering roofs of the temples, the dilapidated official residences, the deserted literary and examination halls, and the prominent sombre Tower of Ningpo, are entirely Chinese. The attention is also arrested for a moment or two by ditches, canals, and reservoirs of water, with their wooden bridges and stone arches.” ‘ Two serious drawbacks to a residence here are the stifling heat of summer and the bad equality of the water.

    The circumference of the walls is nearly five miles ; they are

    about twenty-five feet high, fifteen feet wide at the top, and

    twenty-two at the base, built solidly, though somewhat dilapidated,

    and overgrown with grass. A deep moat partly surrounds

    them ; conimencing at the North gate, it runs on the west, south,

    and south-east side as far as Bridge gate, a distance of nearly

    thi’ee miles, and is in some places forty yards wide. Its constant

    use as a thoroughfare for boats insures its repair and proper

    depth ; the other faces of the city are defended by the river.

    There are six gates, and two sally-ports near the south and west

    approaches intended for the passage of the boats that ply on the

    city canals.

    On the east is Bridge gate, within which, and near the walls,

    the English factory was once situated. This opening leads out

    to the floating bridge ; the latter structure is two hundred yards

    long and five broad, made of planks firmly lashed, and laid

    upon sixteen lighters closely linked and chained together, but

    which can be opened. A busy market is held on the bridge,

    and the visitor following the lively crowd finds his way to an

    extensive suburb on the opposite side. Ferry boats ply across

    both streams in vast numbers, adding greatly to the vivacity of

    the scene. The custom-house is situated beyond the bridge,

    and this eastern suburb contains several buildings of a religious

    ‘ Milne, in Chinese Bepositorp, “Vol. XIII. , p. 22, and in liis Life in China, part second. London, 1857.

    :ind public cliaracter, lumber-yards, dock-yards, and rows of icelionses, inviting the notice of the traveler. The environs beyond the north gate are not so thickly settled as those across the rivers ; the well cultivated fields, divided and irrigated by numerous water-courses, with scattered hamlets, beguile the visitor in his rambles, and lead him onward.

    There are numerous temples and monasteries, and a large variety of assembly-halls, governmental offices, and educational establishments, but none of these edifices are remarkable in an architectural point of view. The assembly-halls or club-houses are numerous, and in their internal arrangements form a cm-ious feature of native society. It is the practice among residents or merchants from other provinces, to subscribe and erect on the spot where they are engaged in business, a temple, dedicated to the patron deity of their native province, in which a few priests are supported, and plays acted in its honor. Sometimes the building is put in charge of a layman, called a ” master of ceremonies,” and the cun-ent expenses defrayed by subscription.

    The club-houses are places of resort for travellers from the several provinces or districts, and answer, moreover, to European coffee-houses, in being points where news from abroad is heard and exchanged.

    The streets are well paved, and interrupted here and there

    by honorary portals of considei*able size and solidity, which also

    give variety to an otherwise dull succession of shops and signboards,

    or dead walls. Two small lagoons afford space for

    some aquatic amusements to the citizens. One called Sun Lake

    is only a thousand yards in circuit ; the other, called Moon

    Lake, is near the AVest gate, and has three times its perimeter.

    ]3oth are supplied by sluices passing through the city gates,

    while many canals are filled from them, which aid in irrigating

    the suburbs. Some of the pleasantest residences of the city are

    built on their banks.

    NINGPO, CHI.HIIAI, AND THE ARCHIPELAGO. 12B

    Among interesting edifices is the Tien-fung tah {i.e., Heavenconferred pagoda), a hexagonal seven-storied tower upward of 100 feet high, which, according to the Aanah of Ningbo, was first erected 1100 years ago, though during that period it has been destroyed and rebuilt several times. Upon the authority of this work, the tower was constructed before the city itself, and its })reservation is considered as connected with the good hick of the place. The visitor mounts to the summit by a flight of narrow stone steps, ascending spirally within the walls.

    The most elegant and solid building of the city lies on the water’s edge outside the walls, between the East and Bridge gates ; it is a temple dedicated to the marine goddess Ma Tsupu, and was founded by Fuhkien men in the 12th century, but the present structure was erected in IGSO, and largely endowed.

    Its ornaments are elaborate and rich, and its appearance on festival days, gay and animated in an unusual degree. The lanterns and scrolls hanging from the ceiling attract attention by the curious devices and beautiful characters written and drawn on them in bright colors, while the walls are concealed by innumerable drawings.

    Chinhai, at the mouth of the river, is so situated by nature and fortified by art, that it commands the passage. Its environs were the scene of a severe engagement between the Chinese and English in October, 1841, on which occasion great slaughter was committed npon the imperial troops. The town lies at the foot of a hill on a tongue of laud on the northern bank of the river, and is partly sheltei-ed from the sea on the north by a dyke about three miles long, composed of large blocks of hewn granite, and proving an admirable defence in severe weather. The walls are twenty feet high and three miles in circumference, but the suburbs extend along the water, attracted by, and for the convenience of, the shipping. Merchant ships report here when proceeding up the river, along whose banks the scenery is diversified, wdiile the water, as usual in China, presents a lively scene. Numerous ice-houses are seen constructed of thick stone walls twelve feet high, each having a door on one side and an incline on the other for the removal and introduction of the ice, and protected by straw and a heavily thatched roof.

    The Chusan archipelago forms a single district of which Tinghai is the capital ; it is divided into thirty-four chwang or townships, whose officers are responsible to the district magistrate.

    The southern limit of the group is Quesan or the Iviu shan islands, in lat. 29° 21′ X., and long. 121° 10′ E., consist ing of eleven islets, the nortlierninost of which is False Saddle Island ; their total number is over a hundred. Tinghai city lies on the southern side of Chau shan or Boat Island, which gives its name on foreign maps to the whole group. It is twenty miles long, from six to ten wide, and fifty one and a half in circumference. The archipelago seems to be the highest portion of a vast submarine plain, geologically comiected with the Kan shan range on the Continent and the mountains in Kiusiu and Nippon; it is a pi\’ot for the changes in weather and temperature observed north and south of this point along the coast.

    The general aspect of these islands and the mainland, is the same beautiful alternation of hills and narrow valleys, everywhere fertile and easily irrigated, with peaks, cascades, and woodlands interspersed. In Chusan itself the fertile and well watered valleys usnally reach to the sea, and are furnished with dykes along the beach, which convert them into plains of greater or less extent, through which run canals, used both for irrigation and navigation. Rice and barley, beans, yams, sweet potatoes, etc., are grown ; every spot of arable soil being cultivated, and terraces constructed on most of the slopes. The view from the tops of the ridges, looking athwart them, or adown their valleys, or to seaward, is highly picturesque. The prevailing rocks belong to the ancient volcanic class, comprising many varieties, but principally clay-stone, trachj^te, and compact and porphyritic felspar. The brief occupation of this island by the British forces in 1841 led to no permanent improvement in the condition of the people, and it has neither trade nor minerals sufficient to attract capital thither. Owing in part, perhaps, to this poverty, Tinghai escaped the ravages of the Tai-pings, and has now recovered from the damage sustained by its first capture.

    PUTO ISLAND AND ITS TEMPLES. 125

    Puto and a few smaller islands are independent of civil jurisdiction, being ruled by the abbot of the head monastery. This establishment, and that on Golden Island in the Yangtsz’ are among the ‘ richest and best patronized of all the bhiddhist monasteries in China ; both of them have been largely favored by emperors at diffirent periods.

    Puto is a narrow islet, 3^ miles long, and lies 1^ miles from the eastern point of Cliusan. Its surface is covered with sixty monasteries, pavilions, temples, and other religious buildings, besides grottos and sundry monuments of superstition, in which at least 2,000 idle priests chant the praises of their gods. One visitor describes his landing and ascending ” a broad and well beaten pathway which led to the top of one of the hills, at every: 5rag and turn of which we encountered a temple or a grotto, an inscription or an image, with here and there a garden tastefully laid out, and walks lined with aromatic shrubs, which diffused a grateful fragrance through the air. The prospect from these heights was extremely delightful; numerous islands, far and near, bestudded the main, rocks and precipices above and below, here and there a mountain monastery rearing its head, and in the valley the great temple, with its yellow tiles indicative of imperial distinction, basked like a basilisk in the noonday-sun. All the aid that could be collected from nature and from Chinese art, was here concentrated to render the scene enchanting. But to the eye of the Christian philanthropist it presented a melancholy picture of moral and spiritual death. The only tliuig we heard out of the mouths of the

    priests was Ometo Full ; to every observation that was made,

    re-echoed Ometo Full ; and the reply to every inquiry was

    Ometo Full. Each pi-iest was furnished with a rosary which

    lie was constantly counting, and as he counted repeated the

    same senseless, monotonous exclamation. These characters met

    the eye at every turn of the road, at every corner of the temples,

    and on every scrap of paper; on the bells, on the gateways,

    and on the walls, the same words presented themselves; indeed the whole island seemed to be under the spell of this talismanic phrase, and devoted to recording and re-echoing Ometo Full.” ‘ The pristine glory of these temples has become sadly dimmed, many of the buildings present marks of decay, and some of the priesthood are obliged to resort to honest labor in order to gain a living. Deaths in their number are supplied by purchasing youths, who are taught nothing but re-‘ Mcdhurst’s China, its State and Prospects, p. 393.

    Jigious literature, a tit training to stunt their minds to pursue the dull niunnuery of singing Onieto Full. The two inipeiial temples present good specimens of Chinese architecture ; but they as well as all other things to be seen at Puto are dilapidated and effete.

    Temples were erected on this island as early as a.d. 550, and since it became a resort for priests it seems to have enjoyed the patronage of the government. The goddess of Mercy is said to have visited this spot, and her image is the principal object of worship. No females are allowed to live on the island, nor any persons other than the priests, unless in their employ. The revenues are derived from rent of the lands belong-ino; to the temples, from the collection of those priests who go on begging excursions over the Empire, and from the alms of pilgrims who resort to this agreeable locality. It appears like one of the most beautiful spots on the earth when the ti’aveller lands, just such a place as his imagination had pictured as exclusively belonging to the sunny East, and so far as nature and art can combine, it is really so : but liere the illusion ends. Idleness and ignorance celibacy and idolatr}-, vice, dirt, and dilapidation, in the inmate! or in their habitations, form a poor back-ground for the well dressed connnunity, and gay, variegated prospect seen when stepping ashore.

    A town of considerable importance in this province is Chapu,

    about fifty miles north-west from Chinhai, across Ilangchau

    Pay, and connected with that city through a luxuriant plain by

    a well-paved causeway about thirty miles long. Chapu was the

    port of Ilangchau, and when it possessed the entii-e trade with

    Japan, boasted of being the largest mai’t on the seacoast of Chehkiang.

    The town lies at the bottom of a bay on the westei’n

    face of some hills fc)rming its eastern point ; and at low tide

    the mud extends a long way from the lowland. The suburbs

    are situated near a small headland ; the walled town stands

    about half a mile ])ehin(l. When attacked by the British in

    !^^ay, ]S42, the walls were found in ])()or condition, but the

    Manchu garrison stationed here upheld their ancient reputation

    for bravery. This body of troops occupies a separate division

    of the city, and their cantonment is j)lanned on the model of a

    CHAPU AND CAN FIT. 127

    camp. The outer defences are numerous, but most of tlie old

    fortifications are considerably decayed. The country in tlu;

    vicinity is highly cultivated, and possesses an unusual number

    of finely constructed, substantial houses.

    South-west from Chapu lies the old town of Canfu (called

    Kanpu by the Chinese), which was once the port of Ilangchau,

    but now deserted, since the stream on which it is situated has

    become choked with sand. This place is mentioned in the voyages

    of two Arabian travellers in the ninth century, as the chief

    port of China, where all shipping centred. The narrow entrance

    between Buffalo Island and Ivitto Point is probably the

    Gates of China mentioned by them ; and Marco Polo, in 1290,

    says, ” The Ocean Sea comes within 25 miles of the city at a

    place called Ganfu, where there is a town and an excellent

    haven, with a vast amount of shipping which is engaged in the

    traffic to and from India and other foreign parts. . . . And a

    great river flows from the city of Kinsay to that sea-haven, l)y

    which vessels can come up to the city itself.” ‘ Marsden erroneously

    supposes Kanpu to be Xingpo, If this was in fact the

    only port allowed to be opened for foreign trade, it shows that,

    even in the Tang dynasty, the same system of exclusion was

    maintained that has so recently been broken up ; though at that

    date the Emperors in Shansi had very little authority along the

    southern coasts. The changes in the Bay of Ilangchau have

    been more potent causes for the loss of trade, and Yule reasonably

    concludes that the upper part of it is believed to cover now

    the old site in Polo’s time.

    ‘ Yule’s Marco Polo, Vol. II., p. 149. Cathay and the Way Thither, p.cxciii. Reinaud, Relations den Voyages faits par les Arabea dans VTnde et d la Chine, etc. (Paris, 1845), Tome I., p. 19.

    The province of Fujian (i.e. Happily Established) is bounded on the north by Zhejiang, north-west and west by Iviangsf, south-west by Ivwangtung, and east by the channel of Formosa. Its western borders are determined, for the most part, by the watershed of the basins of the rivers Min and Kan; a rugged and fertile region of the Xan shan. The line of seacoast is bold, and bordered with a great number of islands, whose lofty granitic or trappean peaks extend in precipitous,

    Larreu headlands from Xaiiioli as far as tlie Cliusan archipelago.

    Ill the general features of its surface, the islands on its

    coasts, and its position with reference to the ocean, it resembles

    the region lying east of Xew Hampshire in the United States ;

    including Formosa, it about equals Missouri in size.

    The Itiver Min is formed by the union of three large streams

    at Yenping fu ; it drains all the country lying east of the AVu-i

    (Bohea) hills, or about three-fourths of the province. It is

    more than three hundred miles long, and owing to its regular

    depth, is one of the most useful streams in China ; twenty-seven

    walled towns stand on its banks. The tide rises eighteen or

    twenty feet at the entrance, and this, with the many islands and

    reefs, renders the approach difficult. At Min-ngan hien, about

    fourteen miles from the mouth, the stream is contracted to less

    than half a mile for about three miles, the water being from

    twelve to twenty-five fathoms deep ; the hills on each side rise

    from fifteen hundred to two thousand feet. One traveller speaks

    of the walls of its forts and batteries, in this part, as affording

    a sort of stairs for the more convenient ascent of the hills on

    which they are situated. From the top, ” the view embraces a

    beautiful scene ; nothing can be more picturesque than the little

    plats of wheat and barley intermixing their yellow crops on the

    acclivities with bristling pines and arid rocks, and crowned with

    garden spots, or surrounded with rice fields and orchards of

    oranges. The valley of the Min, viewed from the summit of

    the fortress, is truly a beautiful sight.” ‘ The scenery on this

    river, though of a different character, will bear comparison with

    that of the Hudson for sublimity and beauty ; the hills are,

    however, much higher, and the country less fruitful, on the

    Min.

    * Borget, L(i Chine Ouverte, p. 13G.

    AVATKll-COUllSES OF FUIIKIEN ri:()VIX(n<:. 129

    Beyond Pagoda Anchorage the passage is too shallow for large vessels, and this obstacle tends to prevent Fuhchau from becoming a place of commerce in keeping with its size and geographical advantages. From the city upwards the river is partially obstructed with rocks and banks, rendering the navigation troublesome as far as Mintsing hien, about thirty miles above it, beyond which the strong rapids render the passageto Yenping extremely tedious,—in high water impossible even with trackers. The banks are steep, and the tow-rope is sometimes taken 50 to 70 feet above the water.

    Mr. Stevens says of this river, that ” bold, high, and romantic

    hills giA^e a uniform yet ever varying aspect to the country ;

    l)ut it partakes so much of the mountainous character, that it

    may be truly said that beyond the capital we saw not one plain

    even of small extent. Every hill was covered with verdure

    from the base to the summit. The less rugged were laid out in

    terraces, rising above each other sometimes to the number of

    thirty or forty. On these the yellow barley and wheat were

    waving over our heads. Here and there a laborer, with a bundle

    of grain which he had reaped, was bringing it down on his

    shoulder to thrash out. Orange, lemon, and mulberry, or other

    trees, sometimes shaded a narrow strip along the banks, half

    concealing the cottages of the inhabitants.” ‘

    Next in size is the Lung kiang, which flows by Changchau, and disembogues near Amoy after a course of two hundred miles. A large number of small islands lie on the coast of Fuhkien, the first of which, on the west, is Naraoh or ]^an-au, about thirteen miles long. Amoy and Quemoy are the largest islands of a group lying off the estuary of the Lung kiang.

    Chimmo Bay is north-east of Amoy, and is the entrance of the passage up to Chinchew, or Tsiuenchau fu, the Zayton * of Marco Polo, and still celebrated for the commercial enterprise of its inhabitants. Before the introduction of steamers into the oasting trade, the harbors and creeks along the provinces of Fuhkien and Kwangtung were infested with numerous fleets of pirates, which used to ” sneak about like rats,” and prey upon the peaceful traders.

    ‘ Chinese Repository, Vol. IV., p. 93.’Yule’s Mnrco Poh, Vol. II., pp. 183-185, etc. A Turkish geography,printed at Constantinople, describes this port under the name of Zeitouii.Compare Klaproth, Memoires sur VAsie, Tome II., p. 208. See further,CJdnese Recoider, Vol. III., p. 87; Vol. IV., p. 77; Vol. V., p. 327, and Vol VI., p. 31, sqq.Vol. I.—9

    The grain raised in Fujian is hardly enough to support its population, especially on the sea-board, and large quantities of rice are brought from Siani, Formosa, and elsewhere. Black tea, camphor and other woods, sugar, chinaware, and grass cloth, are the principal exports.

    The city of Fuzhou(i.e., Happy City), or Ilokchiu, as it is called by the inhabitants, lies in lat. 26° 5′ north, and long. 119° 20′ east, on the northern side of the Min, thirty -four miles from its mouth, and nine from Pagoda Island. The city lies in a plain, surrounded by hills, forming a natural and most magnificent amphitheatre of vast dimensions, whose fertility emulates and adds to its beauty. Suburbs extend from the walls three miles to the banks, and stretch along on both sides the stream.

    They are connected with each other, and a small islet in the

    river, by a stone bridge built in the eleventh century. The

    scenery is bold, and such parts of the surrounding hills as are not

    cultivated or used for graves, are covered with pines ; some of

    the hills north of the city are three thousand feet high. Opposite

    Fuhchau the land is lower, and the suburb is built upon an

    island formed by the division of the main channel, seven miles

    above the city ; the branches reunite at Pagoda Island. This

    island, and the plain on each side, forms a large basin, about

    twenty miles long by fifteen wide. The river is crowded with

    floating habitations, ferry-boats, and trading craft, rendering its

    surface an animated and noisy scene. The flowers grown in

    pots on the boats, and those usually worn by the boatwomen in

    their hair, all assist in imparting a pleasing aspect to the lively sight.

    The city walls ai-e about thirty feet high and twelve wide at the top. The gates, seven in number, are overlooked by high towers ; smaller guard-houses stand upon the walls at short intervals, in which a few soldiers lodge, and where two or three cannon indicate their object. The city is divided into wards and neighborhoods, each of which is under its own police and headmen, who are resjxnisible for the peace of their respective districts.

    APPEARANCE OF FUHCIIAU. 131

    From the Wu-shih slum, an eminence on the south of the city, the view is extensive, and presents a great diversity of charming objects. The square battlements of the wall are seen extending in a devious and irregular circuit for more than eight miles, and inclosing most of the buildings, except on the south.

    On the south-east, a hill rises abruptly more than two hundred feet, its sides built up with interspersed dwellings ; and another on the extreme north of the cit}’, surmounted by a “watch-tower,

    closes the prospect in that dii-ection. Two pagodas within, and

    fantastic looking watch-towers upon the walls, large, regularbuilt

    granaries, and a vast number of flag-staffs in pairs indicating

    temples and offices, contribute to relieve the otherwise dull

    monotony, which is still further diversified by many large trees.

    Several lookout houses are placed over the streets, or upon the

    roofs of buildings, for the accommodation of watchmen, one of

    M’hich immediately attracts the attention of the visitor, from

    its height, and its clock-dial with Koman letters. Few vacant

    spaces occur within the walls of the city, which is everywhere

    equally well built.

    Serpentine canals divide the country round about into plats of greater or less extent, of every form and hue ; while they help drain the city and provide channels for boats coming from the river. These parts of the landscape are dotted with hamlets and cottages, or, where the ground is higher, with graves and tombstones. To one seated on this eminence, the confused hum of mingling cries ascending from the town below,—the beating of gongs, crackling of fireworks, reports of guns, vociferous cries of hucksters and coolies, combining with the barking of dogs and other domestic sounds, as well as those from the crows, fish-hawks, and magpies nearer by,—inform him in the liv^eliest manner that the beautiful panorama he is looking down upon is filled with teeming multitudes in all the tide of life. On the western side of the city is a sheet of water, called Xi Hu, or West Lake, with a series of unpretending buildings and temples lying along its margin, a bridge crossing its expanse, and fishing-nets and boats floating upon its bosom. The watch-tower, on the hill in the northern part of the city, is upon the wall, which here runs near a precipice two hundred feet high ; it is a most conspicuous object when approaching the place.

    The Manchus occupy the eastern side of the city, and number altogether about 8,000 persons; the natives gcncrall}- are not allowed to enter their precincts. They live under their own officers, in much the same style as the Chinese, and, .not having any regular occupation, give no little trouble to the provincial authorities. Though vastly larger than Ningpo, the number of temples and substantial private residences in Fuhchau is much less, and as a whole it is not so well built. The streets are full of abominations, for which the people seem to care very little.

    Before foreign trade attained importance, paper money used to be issued by native mercantile iirms in the city, varying in denomination from forty cents to a thousand dollars, and supplying all the advantages with few of the dangers of bank notes.

    The blue, red, and black colors, which are blended on these promissory bills, present a gay appearance of signatures and eudorsings. The name of the issuing house, and a number of characters traced around the page, in briglit blue ink, form the original impression. The date of issue, and some ingeniously Avrought cyphers, for the recej^tion of signatures and prevention of forgeries, are of a deep red ; while the entry of the sum, and names of the partners and receiver, stand forth in large blade characters. On the back are the endorsements of various individuals, through whose hands the bill has passed, in order to facilitate the detection of forgeries, but not rendering the writer at all liable. These bills have now nearly disappeared, and bank bills from Hongkong are gradually coming into use. The streets usually are thronged with craftsmen and hucksters, in the fashion of Chinese towns, where the shopmen, in their desire to attract buyers, seem to inuigine, that the more they get in their customers’ way, the more likely they are to sell them something. The shops are thrown ojien so widely, and display such a variety of articles, or expose the M’orkmeii so plainly, that the whole street seems to be leather the stalls of a nuirket, or the aisle in a manufactory, than the town-thoroughfare.

    BUILDINGS AND TYPES OF INirABITANTS. 133

    The chief civil and military dignitaries of the province reside here, besides the profect and the magistrates of ]\rin and llaukwan districts. The (li’iiKj-lmxing mUio is one of the largest religious edifices in the place, and the temples tif the goddess of Mercy, and god of War, the most frequented. The KiuSien shan, or ‘ Hill of the Nine Genii,’ on the southern side of the town, is a pretty object. The city wall runs over it, and on its sides little houses are built upon rocky steps ; numerous inscriptions are carved in the face of the rocks. Near the eastern gate, called Tang Men., or ‘ Bath gate,’ is a small suburb, where Chinese and Manchus live together, and take care of many hot wells filled from springs near by ; the populace resort hither in large crowds to wash and amuse themselves.

    The citizens of Fuhchau bear the character of a reserved, proud, rather turbulent people, imlike the polite, affable natives further north. They are better educated, however, and plume themselves on never having been conquered by foreigners. Their dialect is harsh, contrasting strongly with the nasal tones of the patois of Amoy, and the melliflnous sounds heard at Ningpo. There are few manufactures of importance in the city, its commerce and resources depending almost wholly on the trade with the interior by the River Min. Many culprits wearing the cangue are to be seen in the streets, and in passing none of the hilarious merriment which is heard elsewhere greets the eai”. There is also a general lack of courtesy between acquaintances meeting in the higlnvay, a circumstance quite unusual in China. Beggars crowd the thoroughfares, showing both the poverty and the callousnesj of the inhabitants. One half the male population is supposed to be addicted to the opium pipe, and annually expend millions of dollars for this noxious gratification.

    The population of the city and suburljs is reckoned at rather over than under a million souls, including the boat people; it is, no doubt, one of tlie chief cities in the Empire \\\size, trade, and iidluence.

    The island in the river is settled by a trading p()])ulati(jii, a great part of whom consist of sailors and boatmen. The country-women, who bring vegetables and poultry to market, are a robust race, and contrast strikingly with the sickly-looking, little-footed ladies of the city, Fishing-boats are numerous in the river, many of which are furnished with cormorants.’

    Chinese liejwsitary, Vol. TSV., pp. 185, 225.

    Amoy is the best known port in the province, and 150 years ao-Q was the seat of a large foreign coniinercc. It lies in tha district of Tung-ngan, within the prefecture of Tsiuenchau, in lat. 2i° 4U’ X., and long. 118° 20′ E., upon the south-western corner of the island of Amoy, at the mouth of the Lung Kiang. The island itself is about forty miles in circumference, and contains scores of large villages besides the city. The scenery within the bay is picturesque, caused partly by the numerous islands which define it, some of them surmounted by pagodas or temples, and partly by the high hills behind the city, and

    crowds of vessels in the liarbor in the foreground.’ There is

    an outer and inner city, as one approaches it seaward—or more

    properly a citadel and a city—divided by a ridge of rocky hills

    having a fortified wall along the top. A paved road connects

    the two, which is concealed from the view of the beholder as

    he comes in from sea, until he has entered the Inner harbor.

    The entire circuit of the city and suburbs is about eight miles,

    containing a population of 185,000, while that of the island is

    estimated at 100,000 more.

    The harbor of Amoy is one of the best on the coast ; the tide

    rises and falls from fourteen to sixteen feet. The western side

    of the harbor is formed by the island of Kulang su, the batteries

    upon it completely commanding the city. It is about a

    mile long and two and three-quarters around, and maintains a

    large rural population, scattered among four or five hamlets.

    The foreign residences scattered over its hills add measurably

    to the charm of its aspect when viewed from the harbor. Eastward

    of Amoy is the island of Quemoy (/.6\, Golden harbor), whose low, rice grounds on the south-west shore produce a very different effect as opposed to the high land on Amoy ; its population is, moreover, much less.

    ‘ The Boston Missionary Herald for 1845 (p. 87) coutaius a notice of tha ” WfeHe Deer Cavern,” in tliu neighborhood.

    AMOY AND ITS ENVIRONS. 135

    The country in this part of Fuhkien is thickly settled and highly cultivated. Mr. Abeel, describing a trip toward TungngaTi, says, ” For a few miles up, the hills wore the same rugged, barren aspect which is so common on the southern coast of China, but fertility and cultivation grew upon us as we advanced ; the mountains on the east became hills, and these were adorned with fields. The villages were numerous at intervals; many of them were indicated in the distance by large groves of trees, but generally the landscape looked naked. Well-sweeps were scattered over the cultivated hills, affording evidence of the need and the means of irrigation.”

    In the other direction, toward Changchau, the traveller, beyond Pagoda Island, enters an oval bay ten or twelve miles long, bounded by numerous plains rising in the distance into steep barren mountains, and upon which numerous villages are found ; twenty-three were counted at once by Mr. Abeel, and the boatmen said that all could not be seen. Several large towns, and ” villages uncounted ” are visible in every direction, as one proceeds up the river toward Changchau, thirty-five miles from Amoy. This city is well built, the streets paved with granite, some of them twelve feet wide, and intolerably offensive. A bridge, about eight hundred feet long, spans the river, consisting of beams stretching from one abutment to another, covered with cross pieces. From the hill- top behind a temple at the north-western corner of the city, the prospect is charming.

    ” Imagine an amphitheatre,” says Mr. Lowrie, ” thirty miles in length and twenty in breadth, hemmed in on all sides by bare pointed hills, a river running through it, an immense city at our feet, with fields of rice and sugar-cane, noble trees and

    numerous villages stretching away in every direction. It was

    grand and beautiful beyond every conception we had ever

    formed of Chinese scenery. Beneath us lay the city, its shape

    nearly square, curving a little on the river’s banks, closely built,

    and having an amazing number of very large trees within and

    around. The guide said that in the last dynasty it had numl)

    ered 700,000 inhabitants, and now he thought it contained a

    million—probably a large allowance. The villages around also

    attracted our attention. I tried to enumerate them, but after counting thirty-nine of large size distinctly visible in less than half the field before us, I gave over the attempt. It is certainly Avithhi the mark to say that within the t-ircuit of thi.- immense plain there are at least one hundred villages, some of them small, but many numbering Inmdreds and even thousands of inliabitants.” ‘

    ‘ Chinese Repository, Vol. XI., p. 506.

    ChangZhou was the last city in the eastern provinces held by the Tai-pings, a small remnant of their forces having come across the country after the loss of NanJing. They were expolled in 1806, after the town had suffered much from the contending forces. Traces of this destruction have not yet entirely disappeared from the vicinity.

    Shilima, or Chiohbe, is a place of some trade, extending a

    mile along the shore, and larger than Ilaitang hien, a district

    town between it and Amoy. Large numbers of people dwell

    in boats on this river, rendering a voyage up its channel somewhat

    like going through a street, for the noise and bustle.

    The city of Chinchew (or Tsiuenchau), north of Amoy, w’as

    once the larger of the two. It is described by Marco Polo, who

    reached it after iive days’ journey from Fuhchau, meeting with

    a constant succession of flourishing cities, towns and villages.

    “At this city is the haven of Zayton, frequented by all the

    ships from India, . . . and by all the merchants of Manzi, for

    hither is imported the most astonishing quantity of goods and

    of precious stones and pearls. . . . For it is one of the two

    greatest havens in the world for connnerce.”^ It was gradually

    forsaken for Amoy, which was more accessible to junks.

    ‘ Chinesie Rejmiton/, Vol. XIT., p. T^•.^0^, Fortune’s Tea Districts, chaps, xiv and XV.=” Yule’s Marco Polo, Vol. II., p. IbG.

    THE ISLAND OF FORMOSA. 137

    From Zayton, Ivublai Khan’s expedition to Java and Japan sailed, and here the men from Egypt and Arabia traded for silks, sugar, and spices long after the Portuguese reached China. The department of Ilinghwa, situate on the coast between Tsiuenchau and Fuhchau, is exceedingly populous, and its dialect differs distinctly from both of the adjoining prefectures. Its people have a bad reputation, and female infanticide prevails here to a greater degree than elsewhere. At Yenping, on the Min River, the people speak the dialect of banking, showing their origin of not many scores of years past ; there are many patois in these hilly parts of Fnhkien, hirI tlio province as a whole exhibits probably greater discrepancies in its dialects than any other. Its produce is exported north and west, as well as coastwise, and this intcirconrse tends to assimilate the speech of the inhabitants with their neighbors. The natural scenery in the ranges near the Bohea Hills in the borders of Kiangsi attracts visitors from afar. Fortune describes the picturesque grouping of steep rocks, lonely temples on jutting ledges and hidden adits, alternating with hamlets, along the banks of the stream which carries the boats and produce away to a market. The rocks and cliffs here have furnished Chinese artists with many subjects for pen and pencil, while the valley in addition to its natural beauty brings forth the best of teas.

    The island of Formosa, lying 90 miles west of Amoy, together with the Pescadore group, forms a department called Taiwan. The former is a fertile, well-watered region, possessing a salubrious climate, and meriting in every respect its name Formosa—a descriptive term first given by the Portuguese to their settlement at Kilung in 1590, and extended afterward to the entire island. Its total length is about 235 miles, while the width at the centre is not far from 80 miles ; the limits of Chinese jurisdiction do not, however, end)race more than the western or level portion, leaving to untamed aborigines the

    thickly wooded districts beyond the ]\f((h htii sJkdk a lofty

    rantj-e of mountains runnino; north and south and formino- the

    backbone of the island. The western coast presents no good

    harbors, and vessels lying a long distance oft” shore are exposed

    to the double inconvenience of a dano-erons anchoraije and an

    inhospitable reception from the natives ; the eastern side is still

    less inviting, owing to its possession by savage tribes. From

    recent reports it appears, moreover, that the whole coast line is

    rising with unusual persistence and regularity, and that the

    streams are being choked up at their mouths.

    The aborigines of this island are, in those districts that lemain uncontaminated by mixture with Chinese settlers, a remarkably well-built, handsome race, strong, large of eye, bold, and devoted to hunting and ardent spirits (when the latter is procurable), after the manner of wild people the world over; no written language exists among them, nor do they employ any fixed method of reckoning time. They and the inhabitants of Lewchew and neighboring islands are probably of the same race with the Philippine Tagalas, though some have supposed them to be of Malay or Polynesian origin. Like the North American Indians they are divided into numerous clans,

    whose mutual feuds are likely to last until one party or another

    is exterminated ; this turbulence restrains them from any

    united action against the Chinese, whose occupation of the

    island has always been irksome to the natives. Their social

    condition is extremely low ; though free from the petty vices

    of thieving and deception, and friendly toward strangers, the

    principle of blood-requital holds among them with full force,

    and family revenge is usually the sole object of life among the

    men. I^o savage is esteemed who has not beheaded a Chinaman,

    while the greater the number of heads brought home from a fray, the higher the position of a brave in the comnumity.

    The women are forced to attend both to house and field, but share the laziness of their masters, insomuch that they never cut from the growing rice or millet more than enough for the day’s provision. ” Although these people have men’s forms,” observes a Chinese writer in the peculiar antithetical style common to their literary productions, ” they have not men’s natures. To govern them is impossible; to exterminate them not to be thought of; and so nothing can be done with them. The only thing left is to establish troops with cannon at all the passes through which they issue on their raids, and so overawe them, b^^ military display, from coming out of their fastnesses. The savage tracks lie only through the dense forests, thick with underbi’ush, where hiding is easy.

    PRODUCTIONS OF FORMOSA. 139

    When they cut off a head, they boil it to separate the flesh, adorn the skull with various ornaments, and hang it up in their huts as evidence of their valor.” In addition to a few native clans who have submitted to the rulers from the mainland and dwell in the border region between the colonists and :i])oi-igines proper, a peculiarly situated race, called Ilahhas^ maintains a neutral position between the hill tribes and the Cliinese. These people were formerly industrious but per«secuted inhabitants of Kwangtung province, who, in order to better their lot, emigrated to Formosa and established close communication with the natives there, making themselves indispensable to them by procuring arms, powder, and manufactured goods, while owing to their industry they were able in time to monopolize the camphor trade. Though retaining the Chinese costume and shaving their heads, they practically ignore Chinese rule, paying tribute and intermarrying with the mountaineers, from whom they have also obtained large tracts of land.

    Maize, potatoes, fruits, tobacco, indigo, sugar, rice, and tea, are all grown on this island, the three latter in rapidly increasing quantities for purposes of export. Of natural products salt, coal, sulphur, petroleum, and camphor are of the first importance.

    The vast coal basins have hardly been opened or even explored, the only mines now worked being those in the northern part, near Kilung. Native methods of mining are, however, the only ones employed thus far, and it is not surprising, considering their extreme simplicity, that they have not been able to extract coal from remote districts, where the natural difficulties encountered are greatest. Hand labor alone is used, and draining a pit unheard of—compelling a speedy abandoning of the mines when pierced to any great depth in the mountain side. The cost of the coal at the mouth of the pit is about 65 cents per ton for the first qualities, which price improved methods might reduce a third. The presence of volcanoes on this island will, nevertheless, present a serious obstacle to the employment of western mining machinery, especially along the coast, where the measures appear to be excessively dislocated and the work of draining is rendered more difficult. Petroleum is abundant in certain tracts of northern Formosa, flowing plentifully from crevices in the hills, and used to some extent for burning and medicinal purposes by the natives, but not exported. The possibilities of a large sulphur trade are much more important. It is brought from solfatarae and geysers at Tah-yu kang, near Kilung, where it is found in a nearly pure state, as well, too, as a great quantity of sulphurous acid which might with profit be used in the sugar refineries on the island. The manufacture of sidphur is, however forbidden by treaty, though its exportation goes on in small quantities, the contractors taking on themselves all risk of seizure. Camphoi”, perhaps the greatest source of wealth to Formosa, is obtained here by saturating small sticks of the wood with steam, not by boiling as in Japan. The crystals of camphor condense in a receiv-er placed above the furnace ; during the process of distillation an es-^ential oil is produced, which when chemically treated with nitric acid becomes solid camphor. The trees from which the wood is cut grow^ in the most inaccessible tracts of the island, and are, according to all descriptions, of innnense extent, though chopped down by the natives without discrimination or idea of encouraging a second growth.

    Among the most interesting natural phenomena of this district are the so-called volcanoes, whoso occasional eruptions have been noticed by many, Mr. Le Gendre, United States Consul at Amoy in 1869, upon a visit to Formosa took occasion to examine more closely into this subject. It appears from his report ‘ that a gas is constantly issuing from the earth, and when a hole to the depth of a few inches is made it can be lighted.

    It is most likely, he continues, that from time to time gas jets break forth at points of the hills where they had not been observed before, rushing through its long grass and forests of linge trees, and the rock oil which as a general thing flows in their vicinity. As they are apt to spontaneously ignite in contact with the atmosphere, they must set fire to these materials and cause a local conflagration, that gives to the many peaks of the chain the appearance of volcanoes.

    FORMOSA AND THE PESCADORES. 141

    Previous to the first half of the fifteenth century the Chinese had little knowledge of Formosa, nor was their sway established over any part of it until 1GS3. It was never really colonized, and became a misooverned and refractorv region from the earliest attempts at subjection. A great emigration is constantly going on from the main, and lands are taken up by capitalists, who not only encourage the people in settling there, but actually purchase large numbers of poor people to occupy these districts. Taiwan fu, the seat of local government, is the ‘ Commercial Relations between the U. S. and Voreign ‘iS(ttiiinx. lS(iO.

    largest place on the island ; other harbors or places of importance are Ku-sia and Takow, some miles south of Taiwan, the latter, with Tamsui, on the north-west coast, being one of the recently opened ports of trade. Kihmg possesses a good harbor and is the entrepot of goods for the northern end of the island. Snice the opening (in 1861) of these three towns to foreign intercourse, and the more careful examination of the neutral territory at the foot of the mountains, the resources, peoples, and condition of this productive isle have become better known.

    It may be of interest to refer, before leaving Formosa, to the extraordinary fabulous history of the island by one George Psalmanazar, the nam de lylmiie of a remarkable impostor of the commencement of the eighteenth century, who pretended to be a Japanese convert to CJhristianity from Formosa, and who created a profound sensation in Europe by the publication in Latin of a iictitious notice of that country.’

    About twenty-five miles west of Formosa, and attached to Taiwan fu, is the district of Pdvghu ting or Pescadore Islands, consisting of a group of twenty-one inhabited islets, the largest of which, called Panghu, is eighty-four miles in circumference; none of them rise three hundred feet above the sea. The two largest, called Prmgliu and Fisher Islands, ai-e situated near the centre of the cluster, and have an excellent harbor between them. The want of trees, and the absence of sheltered valleys, give these islands a barren appearance. Millet, ground-nuts, pine-apples, sweet potatoes, and vegetables are grown, but for most of their supplies they depend upon Formosa. The population of the group is estimated at ‘6()()(^^ of M’hom a large part are fishermen. The Dutch seized these islands in 1G22, and attempted to fortify them by forced Chinese laborers, but removed to Formosa two years after at the instance of the governor of Fuhkien.
    ‘ ” An nistoricrd and GeograpJdcal Description of Formosa, an Island subject to the Emperor of Japan, ^^ etc. YiXii^voili {MemoiressiirVAsie, Tome I., p. 321) translates an accovint of this island from Chinese sources. E. C. Taintor, The Aborigines of Northern /’l^’/w^Avn!—Shanghai, 1874—read before the North China branch of the Royal Asiatic Society. Chinese Repository, Vol. II., p408, and Vol. V., p. 480.”

    CHAPTER III. GEOGRAPHICAL DESCRIPTION OF THE WESTERN PROVINCES

    The central provinces of llnpeli and Hunan formerly constituted a single one under the name of Hukwang {i.e. Broad Lakes), and they are still commonly known by this appellation. HuPEH {i.e. Korth of the Lakes) is the smaller of the two, but contains the most arable land. It is bounded north by Honan, east by Kganhwui and Kiangsi, south by Hunan, and west by Sz’chuen and Shensi. Its area is about T0,000 square miles, or slightly above that of Kew England.

    The Great Tliver flows through the south, where it connects with all the lakes on both its shores, and nearly doubles its volume of water. The Han kiang, or Han shui rises in the southwest of Shensi, between the Fuh-niu shan and Tapa ling, and drains the south of that province and nearly the whole of Hupeh, joining Yangtsz’ at AVuehang. It is very tortuous in its course, flowing about 1300 miles in all, and is navigable only a portion of the year, during the freshes, as far as Siangyang, about 300 miles. Boats of small size come down, however, at all times from Sin-pu-wan, near its source in Shensi.

    THE PROVINCE OP IIUPEH. 143

    The mouth is not over 200 feet broad, but the bed of the river as one ascends soon widens to 400 and 500 feet, and at Shayang, 168 miles from Hankow, it is half a mile wide. The area of its whole basin is about the same as the province. The extraordinary effects of a large body of melted snow poured into a number of streams converging on the slopes of a range of hills, and then centering in a narrow valley, bringing their annual deposit of alluvial and silt are seen along the River Han. The rise of this stream is often fifty feet where it is narrowest, and the shores are high ; at Iching the channel varies from 300 to 1500 feet at different seasons, but the i-iverbed from 2000 to 9000 feet, the water rising 18 feet at the fresh. In these wide places, the river presents the aspect of a broad, winding belt of sand dunes, in which the stream meanders in one or many channels, l^avigation, therefore, is difficult and dangerous, since moving sands shift the deep water from place to place, and boats are delayed or run aground. In high water the banks are covered, but the current is then almost as serious an obstacle as the shallows are in winter.

    The southeastern part of Ilupeh is occupied by an extensive depression filled with a succession of lakes. The length and breadth of this plain are not far from two hundred miles, and it is considered the most fertile part of China, not being subject to overflows like the shores of the Yellow River, while the descent of the land allows its abundance of water to be readily distributed. Every spot is cultivated, and the surplus of productions is easily transported wherever there is a demand.

    The portions nearest the Yangtsz’ are too low for constant cultivation. The Ax Lake, Millet Lake, Red Horse Lake, and Mienyang Lake, are the largest in the province. The remaining parts of both the Lake provinces are hilly and mountainous ; the high range of the Ta-peh shan (‘ Great White Mountains ‘), commencing far into Shensi, extends to the west of Ilupeh, and separates the basins of the Great River from its tributary, the Han Jiang, some of its peaks rising to the snow line. The productions of Ilupeh are bread-stuffs, silk, cotton, tea, fish, and timber; its manufactures are paper, wax, and cloth. The climate is temperate and healthy.

    The favorable situation of “Wuchang, the provincial capital,

    lias drawn to it most of the trade, which has caused in the

    course of years the settlement of Hanyang and Hankow on the

    northern bank of the Yangtsz’ and River Han. The number

    of vessels gathered here in former years from the other cities

    on these two streams was enormous, and gave rise to exaggerated

    ideas of the value of the trade. The introduction of steamers has destroyed much of this native commerce, and the cities themselves suffered dreadfully Ijv the Tai-pings, from Mliicli thev are rapidly recovering, and oti a surer foundation. The cities ‘lie in lat. 30° 33′ X. and long. 114° 20’ E., 582 geographical miles distant from Shanghai.

    Wuchang is the residence of the provincial officers, the

    Manchu garrison, and a literary population of influence, while

    the working part depends mostly on Hankow for employment.

    Its walls are over twelve miles in circuit, inclosing more vacant

    than occupied surface, whose flatness is relieved by a range of

    low hills that extend bevond Ilanvano; on the other side of

    the liver. The narrow streets are noisome from the offal,

    and in summer are sources of malaria, as the drainage is had.

    AYhen Haidvow was opened to foreign trade in 1801, it presented

    AvucHAXd a:vd Hankou. 145

    a most ruinous appearance, but the sense of security inspired by the presence of the men and vessels from far lands rapidly drew the scattered citizens and artisans to rebuild the ruins. The foreigners live near the river side, east of Hankow and west of the River Han, where the anchorage is very favorable, and out of the powerful current of the Yangtsz’. The difference in level of the great stream is about forty feet in the year. In the long years of its early and peaceful trade up to 1850, this region had gathered probably more people on a given area than could be found elsewhere in the world ; and its repute for riches led foreigners to base great hopes on their share, which have been gradually dissipated. The appearance of the city as it was in 1845 is given by Abbt’^ Hue in a few sentences: ” The night had already closed in when we reached the place where the river is entirely covered with vessels, of every size and form, congregated here from all parts. I hardly think there is another port in the world so frequented as this, which passes, too, as among the most commercial in the empire. We entered one of the open ways, a sort of a street having each side defined by floating shops, and after four hours’ toilsome navigation through this difficult labyrinth, arrived at the place of debarkation. For the space of five leagues, one can only see houses along the shore, and an infinitude of beautiful and strange looking vessels in the river, some at anchor and others passing up and down at all hours.” ‘

    The coup d’a’il of these three cities is beautiful, their environs being highly cultivated and interspersed with the mansions of the great ; but he adds, “If you draw near, you will find on the margin of the river only a shapeless bank worn away with freshets, and in the streets stalls surmounted with palisades, and workshops undermined by the waters or tumbling to pieces from age. The open spots between these ruins are filled with abominations which diffuse around a suffocating odor. No regulation.s respecting the location of the dwellings, no sidewalks, no place to avoid the crowd which presses upon one, elbowing and disputing the passage, but all get along pell-mell, in the midst of cattle, hogvS, and other domestic animals, each protecting himself as he best can from the filth in his way, which the Chinese collect with care for agricultural uses, and carry along in little open buckets through the crowd.”

    Above Hankow, the towns on the Yangtsz’ lie n’earer its

    banks^lfsHiey are not so exposed to the freshets. The largest

    trading places in this part of Ilupeli on the river, are Shasi,

    opposite Kinchau fu, and Ichang near the borders of Sz’chuen,

    respectively 293 and 363 miles distance. From the first settlement

    there is a safe passage by canal across to Shayang, forty

    miles away on the iliver Han ; the travel thence goes north

    to Shansi. The other has recently been opened to foreign

    trade. It is the terminus of navigation for the large vessels

    used from Shanghai upward, as the rapids commence a few

    miles beyond, necessitating smaller craft that can be hauled by

    trackers. These two marts are large centres of trade and travel,

    and were not made desolate by the Tai-pings, as were all other

    towns of importance on the lower Yangtsz’.

    ‘ Annnles de la Fci. i845, Tome XVII., pp. 287, 290. See also Hue’s TravreU in the Chinese Empire, Harper’s Ed., 1855, Vol. II., pp. 142-144. Fnmpelly, pp. 224-22G ; Blakiston’s Yanrjtsze, p. 65 ; Treaty Ports of China, 1867,Art. Hankow.

    The portion of the Yangzi in this province, between Yichang and the Sichuan border, exhibits perhaps some of the most Jiiagnificenl- glunpse^,_.M_scenery in the world. Breaking through the limestone foundations that dip on either side of the granite core of the rapids, the river first penetrates the AVu shan, Mitan, and Lukan gorges on the one side, then the lono- defile of Ichang on the other. At various points between and beyond these the stream is broken by more or less formidable rapids. Among these grand ravines the most impressive, though not the longest, is that of Lukan, whose vertical walls rise a thousand feet or more above the narrow river. Nothing can be more striking, observes Blakiston, than suddenly coming upon this huge split in the mountain mass ” by which the river escapes as through a funnel,” The eastern portions of llupch are rougher than the southern, and were overrun during the rebellion by armed bands, so that their best towns were destroyed. Siangyang fu and Fanching, near the northern borders, arc important places in the internal commerce of this region. Its many associations with leading events in Chinese early and feudal history render it an interesting region to native scholars. A large part of the southwestern prefecture of Shingan is hilly, and its mountainous portions are inhabited by a rude, illiterate population, many of whom are partly governed by local rulers.

    The province of Hunan is bounded north by Ilupeh, east by Kiangsi, south by Kwangtung and Kwangsi, w.est by Ivweichau and Sz’chuen. Its area is reckoned at 84,000 square miles—equal to Great Britain or the State of Kansas. It is drained by four rivers, whose basins comprise nearly the whole province, and define its limits by their terminal watersheds. The largest is the Siang, which, rising in the hills on the south and east in numerous navigable streams, affords facilities for trade in small boats to the borders of Kiangsi and Kwangtung,

    the traffic concentring at Siangtan ; this fertile and populous

    basin occupies well-nigh half of the province. Through the

    western part of Hunan runs the Yuen kiang, but the rapids

    and cascades occur so frequently as to render it far less useful

    than the Siang. Boats are towed up to the towns in the southwest

    with great labor, carrying only four or five tons cargo;

    these are exchanged for mere scows at Ilangkia, 200 miles

    above Changteh, in order to reach Yuenchau. The contrast

    ‘UKAN GOKGE, YANGZI RlVER. NATURAL AND POLITICAL FEATURES OF HUNAN. 147

    between the two rivers as serviceable channels of intercourse is

    notable. Between these two main rivers runs the Tsz’ kiang,

    navigable for only small batteaux, which nnist be pulled up so

    many rapids that the river itself has been called Tan ho, or

    ‘ Rapid River ; ‘ its basin is narrow and fertile, and the produce

    is carried to market over the hills both east and west. The

    fourth river, the Li shui, empties, like all the others, into the

    Tungting Lake, and drains the northwestern portion of the

    province ; it is navigable only in its lower course, and is almost

    useless for travel. These rivers all keep their own chaimels

    through the lake, which is rather a cesspool for the overflow of

    the Yangtsz’ during its annual rise than a lake fed by its own

    springs and aflluents. At Siangyin, on the River Siang, the

    banks are 35 feet above low water, and gradually slope down

    to its mouth at Yohchau, or near it. The variation of this

    lake from a large sheet of water at one season to a marsh at

    another, must of course affect the whole internal trade of the

    province, inasnnich as the rivers running through it are in a

    continual condition of flood or low water—either extreme

    cannot but seriously interfere with steam vessels.

    The productions of Ilunan do not represent a very high development

    of its soil or mines. Tea and coal are the main exports; tea-oil, ground-nut and tun/j oils, hemp, tobacco, and rice, with iron, copper, tin, and coarse paper make up the list.

    The coal-fields of southern Hunan contain deposits equal to those in Pennsylvania ; anthracite occurs on the River Lui, and bituminous on the River Xiang, both beds reaching over the border into Kwangtung. The timber trade in pine, fir, laurel, and other woods is also important. The population of Hunan was somewhat reduced during the Tai-ping rebellion ; its inhabitants have in general a bad reputation among their countrymen for violence and rudeness. The hilly nature of the country tends to segregate them into small communities, which are imperfectly acquainted with each other, because travelling is difficult ; nor is the soil fertile enough to support in many districts a considerable increase of population.

    The capital of Hunan, Changsha, lies on the River Xiang, and is one of the most iofluentialj as it is historically one of the most interesting, cities in the central })urt of China ; the festival of the Dragon Boats originated here. Siangtan, at the confluence of the Lien kf, nioie than 200 miles above Yohchan, is one of the greatest tea-marts in China. Its population is reckoned to he a million, and it is a centre of trade and banking for the products of this and other legions ; it extends for three miles along the west bank, and nearly two miles inland, with thousands of boats lining the shores. Its return to prosperity since the rebellion has been marvellously rapid. The city of Changteh on the Yuen River is the next important town, as it is easily reached from Yohchan on the Yangzi; large amounts of rice are grown in the prefecture.

    Hunan has a high position for letters, the people are well dressed, healthy, and usually peaceable. The boating population is, however, exceptionally lawless, and forms a difficult class for the local authorities to control. Aboriginal hill-tribes exist in the sonthwestern districts, mIucIi are still more unmanageable, probably through the imjust taxation and oppression of the imperial officers set over them. In addition to these ungovernable elements a large area is occupied by the Yao-Jin, who have possessed themselves of the elevated territory lying between Ynngchau and Kweiyang, in the southern point of the province, and there barricaded the mountain passes so that no one can ascend against their will.

    MOUNTAINS AND HIVEKS OF SIIENSl. 140

    The province of SnENsi (i.e., Western Defiles) is bounded north by Inner Mongolia, from which it is divided by the Great Wall, cast by Shansi and Ilonan, southeast by Ilupeh, south by Sz’chuen, and west by Ivansuh. Its area is not far from 70,000 square miles, which is geologically and politically most distinctly marked by the Tsingling shan, the watershed between the Wei and Ilan I’ivers. There is only one good road across it to Ilanchung fu near its southern part ; another, farther east, goes from Si-ngan, by a natural pass between it and the Fuh-niu shan, to Shang, on the Tan ho, in the Ilan basin. This part conijM’ises about one-third of Shensf. The other portion includes the basins of the Wei, Loh an<l Wu-ting, and some smaller tributaries of the Yellow River, of which the Wei is the mo.-^t important. This I’iver joins tiie Yehow at the lowest point of its basin, the Tung-kwaii pass, where the larger stream breaks thj-ongh into the lowlands of llonan, and divides eastern and southern Cliina from the northwestern regions.

    The whole of this part presents a loess formation, and the beds of the streams are cut deep into it, the roads across them being few. The Wei basni is the most fertile part of the province; the history of the Chinese race has been more connected with its fortunes than with any other portion of their possessions. Its productiveness is shown in the rapid development and peopling of the districts along the banks and affluents.

    On the north, the Great Wall separates Shensi from the Ordos -Mongols, its western end reaching the Yellow River at Ninghia—the largest and only imjx^rtant city in that region. All the connections with this region are through Shensi and by Kwei-hwa-ching, l)ut the configuration of the ranges of hills prevents direct travel. Isone of the rivers in this region are serviceable to any great degree for navigation, and but few of them for irrigation ; the crops depend on the rainfall. The climate is more equable and mild than in Shansi, and not so wet as in many parts of Kansuh. The harvests of one good year here furnish food for three poor ones. The chief dependence of the people is on wheat, but rice is grown wherever water can be had; sorghum, millet, pulse, maize, barle}^ ground-nut, and fruits of many sorts fill up the list. Cotton, hemp, tobacco, rapeseed, and poppy are largely cultivated, but the surplus of any crop is not enough in average years to leave much for export.

    The ruthless civil war recently quenched in the destruction of the Mohannnedans in the province has left it quite desolate in many parts, and its restoi’ation to former prosperity and population must be slow.

    The travel between Shensi and Sz’chuen is almost wholly confined to the great road reaching from Si-ngan to Chingtu. It passes along the River Wei to Hienyang liien on the left bank, where the road north into Kansuh diverges, the other continuing west along the river through a populous region to Paoki hien, where it recrosses the Wei. During this portion, the Tai-peh Mountain, about eleven thousand feet high, with its white summit, adds a prominent feature to the scenery. At Paoki, the crossing at the Tsingliiig slian commences, and occupies seven days of difficult travel through a devious road of 163

    miles to Fung hien on the confines of Kansnh. It crosses successive

    ridges from C>,OUO to 9,000 feet higli, and is carried along

    the sides of hills and down the gorges in a manner reflecting

    nnich credit on the engineers of the third centuiy a.d. who

    made it. These mountainous regions ai-e thinly settled all the

    M’ay down to Paoching, near Ilanchung ; hut upon gaining the

    Kiver Ilan, one of the most beautiful and fertile valleys in

    China is reached. Its western watershed is the Kiu-tiao shan,’

    running southwesterly into Sz’chuen on the west side of the

    Kialing River.

    The city of Si-ngan is the capital of the northwest of China, and next to Peking in size, population, and importance. It surpasses that city in historical interest and records, and in the long centuries of its existence has upheld its earlier name of Chang-cm^ or ‘ Continuous Peace.’ The approach to it from the east lies across a bluff, whose eastern face is filled with houses cut in the dry earth, and from whose sunnnit the lofty towers and imposing walls are seen across the plain three miles away.

    These defences Avere too solid for the Mohammedan rebels, and protected the citizens while even their suburbs were burned. The population occupies the entire enciente, and presents a heterogeneous sprinkling of Tibetans, Mongols and Tartai’s, of whom many thousand Moslems are still spared because they were loyal. Si-ngan has been taken and retaken, rebuilt and destroyed, since its establishment in the twelfth century b.c. by the Martial King, but its position has always assured for it the control of trade between the central and western provinces and Central Asia. The city itself is picturesquely situated, and contains some few remains of its ancient importance, while the

    ‘ Usually known as the Ta-pa ling ; but Baron von Eiclithofen found that the natives of that region “call those mountains the Kiu-tiao shan, that is the ‘ nine mountain ridges,’ designating therewith the fact that the range is made up of a number of parallel ridges. This name should be retained in preference to the other.” Letter on the Promncc>< of Chihl’i, Shansi, Shenx’t, etc Shanghai, 1872. See also his CMim, Band II. S. SCJJ-STti ; Alex. Wylie, Notes of a Journey from Chin<jtoo to Hankow^ Journ. Roy. Qeoy. Sac. Vol XIV., p. 108.

    St-I^GA?^ ITS CAPITAL. 151

    neighborhood promises better returns to the sagacious antiquarian

    and explorer than any portion of China. The principal

    record of the Xestorian mission work in China, the famous tablet

    of A.D. 781, still remains in the yard of a temple. Some miles to

    the northwest lies the temple Ta-fu-sz’, containing a notable

    colossus of Buddha, the largest in China, said to have been cut

    by one of the Emperors of the Tang in the ninth century.

    This statue is in a cave hewn out of the sandstone rock, being

    cut out of the same material and left in the construction of the

    grotto. Its height is 56 feet ; the proportions of limbs and

    l)ody of the sitting figure are, on the whole, good, the Buddha

    being represented with right hand npraised in blessing, and the

    figure as well as garments richly covered with color and gilt.

    Before the god stand two smaller colossi of the Schang-hoa,

    Buddha’s favorite disciples ; their inferior art and workmanship,

    however, testify to a later origin. The cave is lighted from

    above, after the manner of the Pantheon, by a single round

    opening in the vaulting. Sixty feet over the rock temple rises

    a tile roofing, and upon the hillside without the cavern are a

    nimiber of minor temples and statues.’

    Next to this city in importance is Ilanchnng, near the bordor of Sz’chuen ; it was much injured by the Tai-pings, and is only slowly recovering, like all the towns in that valley which were exposed ; none of these rebels crossed the Tsingling Mountains. Yu-lin (‘Elm Forest’) is an important city on the Great Wall in the north of Shensi, the station of a garrison which overawes the Mongols. Several marts carrying on considerable trade are on or near the Wei and Han Rivers.

    Gold mines occur in Shensi, and gold is collected in some of the streams ; other metals also are worked. The climate is too cold for rice and silk ; wheat, millet, oats, maize, and cotton supply their places ; rhubarb, nuisk, wax, red-lead, coal, and nephrite are exported. The trade of Si-ngan is chiefly that of bartering the produce of the eastern provinces (reaching it by the great pass of Tung-kwan) and that from Tibet, Kansuh, and 111. Wild animals still inhabit the northern parts, and the number of horses, sheep, goats, and cattle raised for food and service is large compared with eastern China.

    ‘ See Kreituer, Tmfernen Osten, p. 504. Wien, 1881.

    The iniineiise province of Kansuh (/.(\, A^oluntary Reverence,

    made by uniting the names of Kanchaufu and ISuh chau) belonged

    at one time to Shensi, and extended no farther westtlian Kiayii

    kwan; but since the division by Ivienlung, its limits have been

    stretched across the desert to the confines of Songaria on the

    northwest, and to the borders of Tibet on the west. It is

    bounded north and northeast by Gobi and the Dsassaktu

    khanate, east by Shensi, south by Sz’chuen, southwest by Kokonor

    and the desert, and northwest by Cobdoand lli. Its entire

    area cannot be much under 400,000 square miles, the greater

    part of which is a barren waste ; it extends across twelve degrees

    of latitude and twenty-one degrees of longitude, and comprises

    all the best part of the ancient kingdom of Tangut, M’hich

    was destroyed by Genghis.

    The topography of this vast region is naturally divided into

    two distinct areas by the Kiayii kwan at the end of the Great

    Wall ; one a fertile, well-watered, populous country, differing

    toto cwlo from the sandy or mountainous wildernesses of the

    other. The eastern portion is further partitioned into two sections

    by the ranges of mountains which cross it nearly from

    south to north in parallel lines, dividing the basins of the AVei

    and Yellow Rivers near the latter. The passage between them

    is over the Fan-shui ling, not far from the Tao ho and by the

    town of Tihtao, leading thence up to Lanchau. This part of

    the province, watered by the Wei, resembles Shansi in fertility

    and productions, and its nearness to the elevated ranges of the

    Bayan-kara induces comparatively abundant rainfall. The

    streams in the extreme south flow into Sz’chuen, but furnish

    few facilities for navigation. The affluents of the Yellow River

    are on the whole less useful for irrigation and navigation, and

    the four or five which join it near Lanchau vary too nmch in

    their supply of water to be depended on.

    JIAiSSUII PROVINCE. 153

    The peculiar feature of Kansuh is the narrow strip projecting like a wedge into the Tibetan plateau, reaching from Lanchau northwesterly between the Ala shan and Kilien shan to the end of the Great Wall. This strip of territory commands the passage between the basin of the Tarini River and Central Asia and China Proper ; its passage nearly controls trade and power throughout the northern provinces. The Ta-tnng River flows on the south of the Kilien Mountains, but the travel goes near the Wall, where food and fuel are abundant, a long distance beyond its end—even to the desert. The roads from Si-ngan to Lanchan pass up the King River to Pingliang and across several ranges, or else go farther up the River Wei to Tsin chau; the distances are between 500 and 600 miles. From Lanchau one road goes along the Yellow River down to Ninghia, a town inhabited chiefly by Mongols. Another leads 90 miles west to Sining, whither the tribes around Koko-nor repair for trade. The most important continues to Suhchau, this being an easier journey, while its trade furnishes employment to denizens of the region, whose crops are taken by travellers on passage ; this road is about 500 miles in length. Its great importance from early days is indicated by the erection of the Great Wall, in order to prevent inroads along its sides, and by the fortress of Kiayii, which shuts the door upon enemies.

    The climate of Kansuh exhibits a remarkable contrast to that

    of the eastern provinces. Prejevalsky says it is damp in three

    of the seasons; clear, cold winds blowing in winter, and alternatiug

    witli calm, warm weather ; out of 92 days up to September

    3(>, he registered 72 rainy days, twelve of them snowy.

    The highest temperature was 8S° F. in July. Snow and hail

    also fall in May. Xorth of the Ala slian, which divides this

    moist region from the desert, everything is dry and sandy; their peaks attract the clouds, which sometimes discharge their

    contents in torrents, and leave the northern slopes dry ; a marsh

    appears over against and only a few miles from a sandy waste.’

    ‘ Prejevalsky’s Travels in Mongolia, Vol. II., pp. 256-266.

    The country east of the Yellow River is fertile, and produces wheat, oats, barley, millet, and other edible plants. Wild animals are frequent, wdiose chase affords both food and peltry; large flocks and herds are also maintained by Tartars living within the province. The mountains contain metals and minerals, among which are copper, almagatholite, jade, gold, and silver. The capital, Lanchau, lies on the south side of the Yellow River, where it turns northeast ; the valley is narrow, and defended on the west Ly a pass, through which the road goes westward. At Sming fii, about a hundred miles east of Qing Hai, the superintendent of Koico-nor resides ; its political importance has largely increased its trade within the last few yeais. Xinghia fu, in the northeast of the province, is the larofest tow’n on the borders of the desert. The destruction of life and all its resources during the recent JNIohannjiedan rebellion, which was crushed out at Suhchau in October, 1873, is not likely to be repeated soon, as the rebels were all destroyed ;’ their Toorkish origin can even now be traced in their features.” Ko relialjle desci’iption of the t(nvns belonging to Kansuh in the districts around Barkul, since the pacificatioTi of the country by the Chinese, has been made.

    The province of Sz’cuuen (‘ Four Streams ‘) was the largest of

    the old eighteen before Kansuh was extended across the desert,

    and is now one of the richest in its pi-oductions. It is bounded

    north by Kansuh and Shonsi, east by Ilupeh and Ilunan, south

    by Kweichau and Yunnan, west and northwest by Tibet and

    Koko-nor; its area is 1G0,S00 square miles, or double most of

    the other provinces, rather exceeding Sweden in supei-ticies, as it

    falls below California, while it is superior to both in navigable

    I’ivers and productions. The emperors at Si-ngan always de-

    ])ended upon it as the main prop of their power, and in the

    third century a.d. the After Hans I’uled at its capital over the

    west of China.

    ‘7)//). Cor., ^S7i, p. 251.

    • That this insurroction was not unprccodented we learn from a notice of a similar Moliammedan revolt here in 1784. NouveUes Lcttrcs h\lijiantes des MissiiiitK de Ik (‘}iini\ Tome II., p. 2;3.

    TOPOGKAPTIY 01″ SZ’CHUEN PROVINCE. lf).1

    Sz’chuen is naturally divided by the four great rivers which run from north to south into the Yangtsz’, and thus form parallel basins ; as a whole these comprise about half of the entire area, and all of the valuable portion. The western part beyond the Min Hiver belongs to the high table lands of Central Asia, and is little else than a series of mountain ranges, sparsely populated and unfit for cultivation, except in small spaces and bottom lands. The eastern portion is a triangular sluiped I’egion surrounded with high niountaiiis composed of Silurian and Devonian formations with intervening deposits, mostly of red clayey sandstone, imparting a peculiar brick color, which has

    led Baron von Richthofen to call it the Red Basin. The ranges

    of hills average about 3,500 feet high, but the rivers have cut

    their channels through the deposits from 1,500 to 2,500 feet

    deep, making the travel up and down their waters neither rapid

    nor easy. The towns which define this triangular red basin are

    Kweichau on the Yangtsz’, from which a line runnhig south

    of the river to Pingshan hien, not far from Siichau at its

    confluence with the Min, gives the southern border ; thence

    taking a circuit as far west as Yachau fu on the Tsing-i River,

    and turning northwesterly to Lung-ngan fu, the western side is

    roughly skirted, while the eastern side returns to Kweichau

    along the watershed of the River Ilan. Within this area, life,

    industry, wealth, prosperity, are all found; outside of it, as a

    rule, the rivers arc unnavigable, the country uncultivable, and

    the people wild and insubordinate, especially on the south and

    west.

    The four chief rivers in the province, flowing into the Yangtsz’,

    are the Kialing, the Loh, the Min, and the Yalung, the

    last and westerly beiiig regarded as the main stream of the

    Great River, which is called the Kin-sha kiang, west of the

    Min. The Kialing rises in Kansuh, and retains that name

    along one trunk stream to its mouth, receiving scores of tributaries

    from the ridges between its basin and the Ilan, until it

    develops into one of the most useful watercourses in China,

    coming perhaps next to the Pearl River in Kwangtung. Chungking,

    at its embouchure, is the largest dej^ot for trade west of

    Icliang, and like St. Louis, on the Mississippi, will grow in importance

    as the country beyond develops. The River Fo Loh

    (called Fa-sang by Blakiston) is the smallest of the four, its

    headwaters being comiected with the Min al)Ove Chingtu ; the

    town of Lu chau stands at its mouth ; through its upper part it

    is called Chuno; kiani>;. The Min River has its fountains near

    those of the Kialing in Koko-nor, and like that stream it gathers

    contributions from the ranges defining and crossing its basin; as it descends into the plain of Cliingtu, its waters divide into a dozen channels below 1 1 wan hien, and after ruiuiing more than a hundred miles reunite above ^Afei hien, forming a deep and picturesque riv n* down to Siichau, a thousand miles and more from the source. At its junction, the Min almost doubles the volume of water in summer, when the snows melt. The Ya-Innc River is the only large affluent between the Min and the main trunk ; it comes from the I>ayan-kara mountains, between the headwaters of the Yellow and Yangzi Rivers, and leceives no important tributaries in its long, solitary, and unfnictuous course. The Abbe Hue speaks of crossing its rapid channel near Makian-Dsung just before reaching Tatsienlu, the frontier town ; it takes three luimes in its course.

    From Chingtu as a centre, many roads radiate to the other

    large towns in the province, by which travel and trade find free

    course, and render the connections with other provinces safe

    and easy. The roads are paved with flagstones wide enough

    to allow passage for two pack-ti’ains abreast ; stairs are made

    on the inclines, up and down which mules and ponies travel

    without risk, though most of the goods and passengers are

    carried by coolies. In order to facilitate travel, footpaths are

    opened and paved, leading to every handet, and wherever the

    traffic will afford it, bridges of cut stone, iron chains or wii-e,

    span the torrent or chasm, according as the exigency’ requires ;

    towns or hamlets near these structures take pride in keeping

    them in repair.

    chIjStgtu a]nd the mix valley. 157

    The products of this fertile region are varied and abundant. nice and wheat alternate each other in summer and winter, but the amount of land producing food is barely sufficient for its dense population ; pulse, barley, maize, ground-mits, sorghum, sweet and connnon potatoes, buckwheat and tobacco, are each raised for home consumption. Sugar, hemp, oils of several kinds, cotton, and fruits complete the list of plants mostly grown for home use. The exports consist of raw and woven silk, of which more is sent abroad than from any province ; salt, opium, musk, croton (tun//) oil, gentian, rhubarb, tea, coal, spelter, copper, iron, and insect wax, are all grown oi* made for other regions. The peace which S//chuen enjoyed while other provinces were ravaged by rebels, has tended to develop all its products, and increase its abundance. The climate of this region favors the cultivation of the hillsides, which are composed of disintegrated sandstones, because the moist and mild winters bring forward the winter crops ; snow remains only a few days, if it fall at all, and Mdieat is cut before May. The summer rains and freshets furnish water for the rice fields by filling the streams on a thousand hills. This climate is a great contrast to the dry regions further north, and it is subject to less extremes of temperature and moisture than Yunnan south of it. When this usual experience is altered by exceptional dry or wet seasons, the people are left without food, and their wants cannot be supplied by the abundance of other provinces, owing to the slowness of transit. Brigandage, rioting, cannibalism, and other violence then add to the misery of the poor, and to the difficulty of government.

    Chingtu, the capital, lies on the River Min, in the largest plain in the province, roughly measuring a hundred miles one way, and fifty the other, conspicuous for its riches and populousness.

    The inhabitants are reckoned to number 3,500,000 souls. This city has been celebrated from the earliest days, but received its present name of the ‘Perfect Capital ‘ when Liu Pi made it his residence. Its population approaches a million, and its walls, shops, yamuns, sti-eets, warehouses, and suburbs, all indicate its wealth and political importance. Marco Polo calls it Sindafu, and the province Acbalec Manzi, describing the fine stone bridge, half a mile long, M’ith a roof resting on marble pillars, under Mhich “trade and industry is carried on,” ‘ which spans the Kian-suy, i.e.^ the Yangtsz’, as the Min is still often termed. The remarkable cave houses of the old iidiabitants still attract the traveler’s notice as he journeys up to Chingtu, along its banks.

    > Yule’s Marco Polo, Vol. II., p. 23.

    M. David, who lived at this city several months, declares it to be one of the most beautiful towns in China, placed in the midst of a fertile plain watered by many canals, which form a network of great solidity and usefulness. The number of honoraiy gateways in and near it attract the voyager’s eye, and their variety, size, inscriptions, and age furnish an interesting field of in(]iiiry. Many statues cut in fine stone are scattered about the city or used to adoi-n the cemeteries.

    The city of Chungking, on the Yangzi, at the mouth of the Jialing River, 725 miles from Hankow, is the next important city in Sichuan, and the center of a great trade on both rivers. The other marts on the Great River are also at the mouths of its affluents, and from Kwaichau to Siichau and Pingslian hien, a distance of 41)0 miles, there is easy and safe communication within the province for all kinds of boats; steam vessels will also liere find admirable opportunities for their employment.

    In the western half of Sz’clmen, the people are scattered over intervales and slopes between the numberless hills and mountains that make this one of the roughest parts of China; they are governed by their own local rulers, under Chinese superintendence. They belong to the Lolos race, and have been inimical and insubordinate to Chinese rule from earliest times, preventing their own progress and destroying all desire on the part of their rulers to benefit them. Yachau fu, Tatsieidu, and Datang are the largest towns Avest of Chingtu, on the road to Tibet. On the other side of the province, at

    Fungtu hien, occur the fire-wells, where great supplies of

    petroleum gas are used to evaporate the salt dug out near by.

    The many topics of interest in all parts of Sz’chuen, can only

    be referred to in a brief sketch, for it is of itself a kingdom.’

    ‘ Chinese Repository, “Vol XIX., pp. 317 and .394 Annnles de la Foi, Tome III., pp. :Ui9-:}81, and Tome IV., pp. 40!)-4ir>. J^ter by Baron Hiclithofen oit the Provinces of ChlM’i, Shdiisl, Sheiis’t, Sz’chueiiy etc. Shanghai, 1872-Krt’itiicr, Tiafcriien Onteit, pp. 780-829.

    THE PROVINCE OF KWAXGTUNG. 150

    The province of Kwangtuno {i.e., Broad East), from its having been for a long time the only one of the eighteen to which foreigners have had access, has almost become synonymous with (vhina, although but little more is really known of it than of the others—except in the vicinage of Canton, and along the course of the Peh kiang, from Xanhiung down to that city. It is bounded north by Kiangsi and llunan, northeast by Fuh-kieu, south by the ocean, and west and northwest hy Kwangsi; with an area about the same as that of the United Kingdom. The natural facilities for internal navigation and an extensive coasting trade, are unusually great ; for while its long line of ‘coast, nearly a thousand miles in length, affords many excellent harbors, the rivers communicate with the regions on the west, north, and east beyond its borders.

    The Xan shau runs along the north, between it and Kiangsi

    and Ilunan, in a northeasterly and southwesterly direction^

    presenting the same succession of short ridges, with bottom

    lands ‘and clear streams between them, which are seen in Fuhkien.

    These ridges take scores of names as they follow one

    another from Kwangsi to Fuhkien, but no part is so well known

    as the road, twenty-four miles in length, which crosses the Mei

    ling [i.e. Plum ridge), between Xan-ngan and Xanhiung. The

    elevation here is about a thousand feet, none of the peaks in

    this part exceeding two thousand, but rising higher to the west.

    Their summits are limestone, with granite underlying; granite

    is also the prevailing rock along the coast. Li-nm ridge in

    Hainan has some peaks reaching nearly to the snow-line. The

    bottoms of the I’ivers are wide, and their fertility amply repays

    the husbandman. Fruits, rice, silk, sugar, tobacco, and vegetables,

    constitute the greater part of the pi-oductions. Lead,

    iron, and coal, are abundant.

    The Zhu Jiang, or Pearl River, which flows past Canton, takes this name only in that short portion of its course ; it is however preferable to employ this as a distinctive name, comprehending the whole stream, rather than to confuse the reader by naming the numerous branches. It is formed by the union of three rivers, the West, Korth, and East, the two first of which unite at Sanshwui, west of the city, while the East River joins them at Whampoa. The Si kiang, or AVest Iliver, by far the largest, rises in the eastern part of Yunnan, and receives tributaries throughout the whole of Kwangsi, along the southern acclivities of the Xan shan, and after a course of 500 miles, passes out to sea through numerous mouths, the best known of which is the Boeca Tigris. The Peh kiang, or North Piver, joins it after a course of 200 miles, and the East Piver is nearly the same length; these two streams discharge the surplus waters of all the northern parts of Kwangtung. The country drained by the three cannot benmch less than 150,000 square miles, and most of their channels are navigable for boats to all the large towns in this and the province of Kwangsi. The Han kiang is the only river of importance in the eastern end of Kwangtung; the large town of Chauchau lies near its mouth. There can hardly be less than three hundred islands scattered along the deeply indented coast line of this province between Namoh Island and Annani, of which nearly one-third belong to the department of Kwangchau.

    Canton,, or Kwangchau fu (i.e. Broad City), the provincial capital, lies on the north bank of the Pearl River, in lat. 23° 7’10” K., and long. 113° 11:’ 30″ E., nearly parallel with Havana, Muskat, and Calcutta ; its climate is, however, colder than any of those cities. The name Canton is a corruption of Kwangtung, derived in English from Kamtoin, the Portuguese mode of writing it ; the citizens themselves usually call it Kicangtung Sling chinij, i.e. the provincial capital of Kwangtung or simply sdny cJilny. Another name is Yang-ching, or the ‘City of Rams,’ and a third the City of Cienii, both derived from ancient legends. It lies at the foot of the White Cloud hills, along the banks of the river, about seventy miles north of Macao in a direct line, and ninety northwest of Hongkong ; these distances are greater by the river.

    SIZE AND SITUATION OF CANTON. 161

    The delta into which the West, JSTorth, and East Rivei’S fall might be called a gulf, if the islands in it did not occupy so much of the area. The whole forms one of the most fertile parts of the province, and one of the most extensive estuaries of any river in the world,—being a rough triangle about a hundred miles long on each side. The bay of Lintin—so called from the islet of that name, where opium and other store ships formerly anchored—is the largest sheet of water, and lies below the principal embouchure of the river, called Fu, 3ft(.n, i.e. Bocca Tigi-is, or Bogue. Few rivers can be more completely protected by nature than this ; their defences of walls and guns at this spot, however, have availed the Chinese but little against the skill and power of their enemies. Ships pass through it up to the auchorage at Whainpoa, about thirty miles, from whence Canton lies twelve miles nearly due west. The approach to it is indicated by two lofty ]3agodas within the walls, and the multitude of boats and junks thronging the river, amidst which the most pleasing object to the ” far- travelled stranger” is the glimpse he gets through their masts of the foreign houses on Sha-meen, and the flagstaifs bearing their national ensigns.

    The part of Canton inclosed by walls is about six miles in circumference ; having a partition wall running east and west, which divides it into two unequal parts. The entire circuit, including the suburbs, is nearly ten miles. The population on land and water, so far as the best data enable one to judge, cannot be less than a million of inhabitants. This estimate has been doubted ; and certainty npon the subject is not to be attained, for the census affords no aid in determining this point, owing to the fact that it is set down hy districts, and Canton lies partly in two districts, Kanhai and Pwanyii, which extend beyond the walls many miles. Davis says, ” the whole circuit of the city has been compassed within two hours by persons on foot, and cannot exceed six or seven miles ;

    ”—-which is true, but he means only that portion contained within the walls ; and there are at least as many houses without the walls as within them, besides the boats. The city is constantly increasing, the western suburbs present many new streets entirely built up within the last ten years. The houses stretch along the river from opposite the Fa ti or Flower grounds to French Folly, a distance of four miles, and the banks are everywhere nearly concealed by the boats and rafts.

    The situation of Canton is one w^hich would naturally soon attract settlers. The earliest notices of the city date back two centuries befoi-e Christ, but traders were doubtless located here prior to that time. It grew in importance as the country became better settled, and in a.d. 700, a regular market was opened, and a collector of customs appointed. AYhenthe Manchus overran the country in 1650, this city resisted their ntmost efforts to reduce it for the space of eleven months, and was finally carried by treachery. Martini states that a hundred thousand men were killed at its sack ; and the whole number who lost their lives at the final assault and during the siege was 700,000—if the native accounts are trustworthy.’ Since then, it has been rebuilt, and has increased in prosperity until it is regarded as the second city in the empire for numbers, and is probably at present the first in wealth.

    The foundations of the city Avails are of sandstone, their upper

    part being brick ; they are about twenty feet thick, and from

    twenty-five to forty feet high, having an esplanade on the inside,

    and pathways leading to the i-aiiipart, on three sides. The

    houses are built near the wall on both sides of it, so that except

    on the north, one hardly sees it when walking around the

    city. There are twelve outer gates, four in the partition wall,

    and two water gates, through which boats pass, into the moat,

    from east to west. A ditch once encompassed the walls, now

    dry on the northern side ; on the other thi’cc, and within the

    city, it and most of the canals arc filled by the tide, which as it

    runs out does nmch to cleanse iUp city from its sewage. The

    gates are all shut at night, and a guard is stationed near them to

    preserve order, but the idle soldiers themselves cause at times

    no little disturbance. Among the names of the gates are Gfeat-

    Peace gate, Eternal-Rest gate, Five-Genii gate, Bainhoo- Wiehet

    gate, etc.

    The appearance of the city when viewed from the hills on the north is insipid and uninviting, compared with western cities, being an expanse of reddish roofs, often concealed by frames for drying or dyeing clothes, or shaded and relieved by a few large trees, and interspersed with high, red ])olcs used for flagstaffs. Two pagodas shoot up within the walls, far above the watch towers on them, and with the five-storied tower on Kwanyiji shan near the northern gate, form the most conspicuous objects in the prospect.

    ‘ The French bishop Palafox gives still another accoimt of the capture of Canton ; his statement contains, however, one or two glaring errors. Vid. Iliitoire de la Conquete de la Chine par lea Tartares^ pp. 150 ff.

    SIGHTS OF CANTON CITY. 163

    To a spectator at this elevation, the river is a prominent feature in the landscape, as it shines out covered with a great diversity of boats of different colors aiul sizes, some stationary others moving, and all resounding with the mingled hum of laborers, sailors, musicians, hucksters, children, and boatwonien, pursuing their several sports and occupations. On a low sandstone ledge, in the channel off the city, once stood the Sea Pearl(Hai Zhu) Fort, called Dutcli Folly by foreigners, the cpiietude reigning witliin which contrasted agreeably with the liveliness of the waters around. Beyond, on its southern shore, lie the suburb and island of Ilonam, and green fields and low hills are

    seen still farther in the distance ; at the western angle of this

    island the Pearl Piver divides, at the Peh-ngo tan or Macao

    Passage, the greatest body of water flowing south, and leaving a

    comparatively narrow channel before the city. The hills on the

    north rise twehe hundred feet, their acclivities for miles being

    covered with graves and tombs, the necropolis of this vast city.

    The streets are too narrow to be seen from such a spot.

    Among their names, amounting in all to more than six hundred,

    are Dragon street, Martial Dragon street, l\’arl street. Golden

    Fknver street, I^ew Green Pea street, Physic street, SjKctaele

    street, Old Clothes street, etc. They are not as dirty as those

    of some other cities in the empire, and on the whole, considering

    the habits of the people and surveillance of the government,

    which prevents almost everything like public spirit, Canton has

    been a well governed, cleanly city. In these respects it is not

    now as w^ell kept, perhaps, as it was before the war, nor was it

    ever comparable to modern cities in the West, nor should it be

    likened to them : without a coi’poration to attend to its condition,

    or having power to levy taxes to defray its unavoidable

    expenses, it cannot be expected that it should be as wholesome.

    It is more surprising, rather, that it is no worse than it is. The houses along the waterside are built upon piles and those portions of the city are subject to inundations. On the edge of the stream, the water percolates the soil, and spoils all the wells.

    The temples and public buildings of Canton are numerous. There are two pagodas near the west gate of the old city, and one hundred and twenty-four temples, pavilions, halls, and other religious edifices within the circuit of the city. The Kwang tah or ‘Plain pagoda,’ was erected by the Mohammedans (who still reside near it), about ten centuries ago, and is rather a minaret than a pagoda, though quite unlike those structures of Turkey in its style of architecture ; it shoots up in an angular, tapering tower, to the height of one hundred and sixty feet. The other is an octagonal ])agoda, of nine stories, one hundred and seventy feet high, first erected more than thirteen hundred years ago. The geoniancei’S say that the whole city is like a junk, these two pagodas are her masts, and the iive-storied tower on the northern wall, her stern sheets.

    Among the best known monuments to foreigners visiting this city was the monastery of ChorKj-shoin ^z\ ‘ Temple of Longevity,’ founded in 1573, and occupying spacious grounds. “In the iirst pavilion are three Buddhas ; in the second a sevenstory, gilt pagoda, in which are TO images of Buddha. In the third pavilion is an image of Buddha reclining,, and in a merry mood. A garden in the rear is an attractive place of resort, and another, on one side of the entrance, has a numher of tanks in which gold fish are reared. In the space in front of the temple a fair is held every morning for the sale of jade ornaments and other articles.” ‘ This temple was destroyed in Novemher, 1881, hy a mob who were incensed at the alleged jnisbehaviour of some of the priests toward the female devotees—an instance of the existence in China of a lively popular sentiment regarding certain matters. Near this compound stands the ‘Temple of the Five Hundred Genii,’ containing 500 statues of various sizes in honor of Buddha and his disciples.

    ‘Dr. Kerr, Cttntoiu (Inidc,

    BUDDHIST TEMPLES IN CANTON. 165

    The TTaJ-cJiwang sz\ a Buddhist temple at Ilonam usually known as the Plonam Joss-house, is one of the largest in Canton. Its grounds cover about seven aci-es, surrounded by a wall, and divided into courts, garden-spots, and a burial-gromid, where are deposited the ashes of priests after cremation. The buildings consist mostly of cloistei’s or apartments surrounding a court, within which is a temple, a pavilion, or a hall ; these courts are overshadowed by bastard-banian trees, the resort of thousands of birds. The outer gateway leads up a gravelled walk to a high portico guarded by two huge demoniac figures, through which the visitor enters a small inclosure, separated from the largest one by another spacious porch, in which are four colossal statues. This conducts him to the main temple, a low building one hundred feet square, and surrounded by pillars; it contains three wooden gilded images, in a sitting posture, called San Pao Fah, or the Past, Present, and Future Puddha, each of them about twenty-five feet high, and surrounded by numerous altars and attendant images. Daily prayers are chanted before them by a large chapter of priests, all of whom, dressed in yellow canonicals, go through the liturgy. Beyond this a smaller building contains a marble carving somewhat resembling a pagoda, under which is preserved a relic of Puddha, said to be one of his toe-nails. This court has other shrines, and many rooms for the accommodation of the priests, among which are the printing-office and library, both of them respectable for size, and containing the blocks of books issue by them, and sold to devotees.

    There are about one hundred and seventy-five priests connected with the establishment, only a portion of whom can read. Among the buildings are several small temples dedicated to national deities whom the Puddhists have adopted into their mythology. One of the houses adjoining holds the hogs (not hiKjs, as was stated in one work) offered by worshippers who feed them as long as they live.

    •Two other shrines belonging to the Buddhists, are both of them, like the Honam temple, well endowed. One called Kivanghiao s.i\ or ‘ Temple of Glorious Filial Duty,’ contains two hundred priests, who are supported from glebe lands, estimated at three thousand five hundred acres. The number of priests and nuns in Canton is not exactly known, but probably exceeds two thousand, nine-tenths of whom are Puddhists. There are only three temples of the Pationalists, their numbers and influence being far less in this city than those of the Puddhists.

    The Cluntj-liioang miao is an important religious institution in every Chinese city, the temple, being a sort of palladium, in which both rulers and people offer their devotions for the mcIfare of the city. The superintendent of that in Canton pays $4,000 for his situation, which sum, with a large profit, is obtained again in a few years, by the sale of candles, incense, etc., to the worshippers. The temples in China are generally cheerJJess and gloomy abodes, well enough fitted, however, for the residence of inanimate idols and the perfurmance of unsatisfying ceremonies. The entrance courts are usually occupied by liucksters, beggars, and idlers, who are occasionally driven off to give room for the mat-sheds in which theatrical performances got up by priests are acted. The principal hall, where the idol sits enshrined, is lighted only in fictnt, and the altar, drums, bells, and other furniture of the temple, are little calculated to enliven it ; the cells and cloisters are inhabited by men almost as senseless as the idols they serve, miserable beings, whose droning, useless life is too often only a cloak for vice, indolence, and crime, which make the class an opprobrium in the eyes of their countrymen.

    Canton is the most intluential city in Southern China, and its

    reputation for riches and luxury is established throughout the

    central and northern provinces, owing to its formerly engrossing

    the entire foreign trade np to 1843, for a period of about one

    hundred years. At that time the residence of the governorgeneral

    Avas at Shao-king fu, west of Canton, and his official

    guard of 5,000 troops is still quartered there, as the Manchii

    garrison is deemed enougli for the defence of Canton. He and

    the lloppo, or collector of customs, once had their yamuns in the

    Xew City, but a llomish C^athedral lias been built on the ^te

    of the former’s office since its capture in 1857. The governor,

    treasurer, Manchu commandant, chancellor, and the lower local

    magistrates (ten in all), live in the Old City, and with their official

    retinues compose a large body of underlings. Some of these

    establishments occupy four or five acres.

    The KanyYuenoY Examination Hall, lies in the southeastern corner of the Old City, similar in size and arrangement to these edifices in other cities. It is 1,330 feet long, 583 wide, and covers over sixteen acres. The wall surrounding it is entered at the east and west corners of the south end, where door-keepers are stationed to prevent a crowd of idlers. The cells are arranged in two sets on each side of the main passage^ which is paved and lined with trees: they are further disposed in rows of 57 and 63 cells each—all reached through one side door.

    The total is 8,653 ; each cell is 5 feet 9 inches deep, by 3 feet 8 inches wide ; grooves are made in the wall to admit a planlc, serving as a table by day and a bed by night. Once within, the students arc contined to their several stalls, and the outer gate is sealed. A single roof covers the cells of one range, the ranges being 3 feet 8 inches apart. The northern portion includes about one-third of the whole, and is built over with the lialls, courts, lodging-rooms, and guard or eating-houses of the highest examiners, their assistants and copyists, with thousands of waiters, printers, underlings, and soldiers. At the biennial examination the total number of students and others in the Hall reaches nearly twelve thousand men.

    THE THIRTEEN HONGS OR FACTORIES. 167

    There are four prisons in the city, all of them large establish- v^

    ments ; all the capital offenders in the province are brought to Canton for trial before the provincial officers, and this regulation makes it necessary to provide spacious accommodations for them. The execution-ground is a small yard near a pottery manufacture between the southern gate and the river side, and unless the ground is newly stained with blood, or cages containing the heads of the criminals are hung around, has nothing about it to attract the attention. Another public building, situated near the governor’s palace, is the Wan-s/iao Jiung, or ‘ Imperial Presence hall,’ where three days before and after his majesty’s birthday, the officers and citizens assemble to pay him adoration.

    The various guilds among the people, and the clubs of scholars

    and merchants from other provinces, have, each of them, public

    halls which are usually called consoo houses by foreigners, from

    a corruption of a native term hung-sz\ i.e., public hall ; but the

    usual designation is houi kwan or ‘ Assembly Hall.’ Their

    total number must be quite one hundred and fifty, and some of

    them are not destitute of elegance.’

    ‘ Chinese Repository, Vol. II., pp. 145, 191, &c.

    The former residences of foreigners in the western suburbs were known as Shisan Hang or ‘ Thirteen Hangs,’ “” and for nearly two centuries furnished ulniust theonlv (!\hll)ition to the Chinese people of the Yangren or ‘ocean-men’. Here the fears and the greed of the rulers, landlords, and traders combined to restrain foreigners of all nations “within an area of about fifteen acres, a large part of this space being the Garden or licyxnidxiii’ta

    – This word is derived from the Chinese hong or hang, meaning a row or series, and is applied to warehouses because these consist of a succession of rooms. The foreign factories were built in this manner, and therefore the Chinese called each block a hong; the old security-merchants were dubbed liong-merchants, because they lived in such establishments.

    “Walk on the baidv of the river. All these houses and out-houses covered a space scarcely as great as the base of the Great Pyramid ; its total population, including native and foreign servants, was upwards of a thousand souls. The shops and nuirkets of the Chinese were separated from them only a few feet, and this greatly increased the danger from fire, as may be inferred from the sketch of the street next on the west side.

    VIEW OF A STKEET IN CANTON.ENVIKOXS OF CANTOX. 169

    In 1S50, the number of hongs was reckoned to be 16, and the local calendar for that A’ear contained 317 names, not including women and children. Besides the 16 Hangs, four native streets, boidered with shops for the sale of fancy and silk goods to their foreign customers, ran between the factories. This latter name was given to them from their being the residences of factors, for no handicraft was carried on here, nor were many goods stored in them. Fires were not unusual, which demolished jwrtions of them ; in 1822 they were completely consumed; another conflagration in 1843 destroyed two hongs and a street of shops ; and in 1842, owing to a sudden riot, connected with paying the English indemnity, the British Consulate was set on fire. Finally, as if to inaugurate a new era, they were all simultaneously burned by the local authorities to drive out the British forces, in December, 1856, and every trace of this interesting spot as it existed for so long a time in the annals of foreign intercourse obliterated. Since the return of trade, a new and better site has been fomned at Shameen, west of the old spot, by building a solid stone wall and filling in a long, marshy low-tide bank, formerly occupied by boats, to a height of 8 or 10 feet, on which there is room for gardens as well as houses. This is surrounded by water, and thereby secure from fire and mobs t() which the old hongs were exposed. Besidences are obtainable anywhere in the city by foreigners, and the common sight in the olden times of their standing outside of the Great Peace Gate to see the crowd pass in and out while

    they themselves could not enter, is no longer seen. A very

    good map of the enciente was made by an American missionary,

    Daniel Vrooman, by taking the angles of all the conspicuoni

    buildings therein, with the highest points in the suburbs ; he

    then taught a native to pace the streets between them, compass

    in liand (noting courses and distances, which he fixed by the principal gates), until a complete plan was filled out. When the city was opened four years afterwards this map was foundto need no important corrections.

    The trades and manufactories at Canton are mainly connected

    with the foreign commerce. Many silk fabrics are woven at

    Fatshan, a large town situated about ten miles west of the city ;

    fire-crackers, paper, mat-sails, cotton clotli, and other articles,

    are also made there for exportation. The number of persons

    engaged in M’eaving cloth in Canton is about 50000, including

    embroiderers ; nearly 7000 barbers and 4200 shoemakers are

    stated as the number licensed to shave the crowns and shoe the

    soles of their fellow-citizens.

    ^lie opposite suburb of Ilonam offers pleasant walks for recreation, and the citizens are in the habit of going over the river to saunter in its fields, or in the cool grounds of the great temple ; a race-course and many enjoyable rides on horseback also tempt foreigners into the country. A couple of miles up the river are the Fa ti or Flower gardens which once supplied the plants carried out of the country, and are resorted to bypleasure parties ; but to one accustomed to the squares, gardens, and esplanades of M’estern cities, these grounds appear mean in

    the extreme.y Foreigners randjle into the country, but rowing

    upon the river is their favorite reci-eation. Like Europeans in

    all parts of the East, they retain their own costume and modes

    of living, and do not espouse native styles ; though if it were

    not for the shaven crown, it is not unlikely that many of them

    would adopt the Chinese dress.

    The Cantonese enumerate eight remarkable localities, called

    l>ah hhuj^ which they consider worth}’ the attention of the

    stranger. The first is the peak of Yuehsiu, just within the

    walls on the north of the city, and commanding a fine view of

    the surrounding country. The Vi-])a Tah^ or Lyre pagoda at AVhampoa, and the ‘Eastern Sea Fish-pearl,’ a rock in the Pearl

    River off the city, on wliich the fort ah-eady referred to as

    the ‘ Dutch Folly ‘ was formerly situated, are two more ; the

    pavilion of the Five Genii, with the five stone rams, and print

    of a man’s foot in the rock, ” always filled with water,” near

    by ; the rocks of Yu-shan ; the lucky wells of Faukiu in the

    western suburbs ; cascade of Si-tsiau, forty miles west of the

    city ; and a famous red building in the city, complete the eight

    ” lions.”

    The foreign shipping all anchored, in the early days, at “Whampoa, but this once important anchorage has been nearly deserted since the river steamers began their trips to the outer waters. There are two islands on the south side of the anchorage, called French and Danes’ islands, on which foreigners are buried, some of the gravestones marking a century past. The prospect from the summit of the hills hereabonts is picturesque and charming, giving the spectator a high idea of the fertility and industry of the land and its people. The town of Whanipoa and its pagoda lie north of the anchorage; between this and Canton is another, called Lob creek pagoda, both of them uninhabited and decaying.

    MACAO AND HONGKONG. 171

    Macao (pronounced Mal’ov) is a Portuguese settlement on a small peninsula projecting from the south-eastern end of the large island of Iliangshan. Its Chinese inhabitants have been governed since 1S49 by the Portuguese authorities somewhat differently from their own people, but the mixed government has succeeded very well. The circuit of this settlement is about eight miles ; its position is beautiful and very agreeable ; nearly surrounded with water, and open to the sea breezes, having a good variety of hill and plain even in its little territory, and a large island on the west called Tul-vtien shan or La})a Island, on which arc pleasant rambles, to be reached by equally pleasant boat excursions, it offers, moreover, one of the healthiest residences in south-eastern Asia. The population is not far from 80,000, of whom more than ‘7,000 are Portuguese and other foreigners, living under the control of the Portuguese authorities. The Portuguese have refused to pay the former annual ground-rent of 000 taels to the Chinese Government, since the assassination of their governor in 1849, and now control all the inhabitants living within the Barrier wall, most of M’lioni have been born therein. The houses occupied by the foreign population aie solidly built of brick or adobie, large, roomy, and open, and from the rising nature of the ground on which they stand, present an imposing appearance to the visitor coming in from the sea.

    There are a few notable buildings in the settlement ; the most imposing edifice, St. Paul’s church, was burned in 1835.

    Three forts on connnanding eminences protect the town, and others outside of the walls defend its waters ; the governor takes the oaths of office in the Monte fort ; but the government offices are mostly in the Senate house, situated in the middle of the town. Macao was, up to 1813, the only residence for the

    families of merchants trading at Canton. Of late the authorities

    are doing much to revive the prospei-ity of the place, by making

    it a free port. The Typa anchorage lies’ between the islands

    Mackerara and Typa, about three miles off the southern end

    of the peninsula ; all small vessels go into the Inner harbor on

    the west side of the town. Ships anchoring in the Roads are

    obliged to lie about three miles off in consequence of shallow

    Mater, and large ones cannot come nearer than six or seven miles.’

    Since the ascendancy of Hongkong, this once celebrated poi-t

    has fallen away in trade and importance, and for many years

    had an infamous reputation for the protection its rulers afforded

    the coolie trade.

    Eastward from Macao, about, forty miles, lies, the English colony of Hongkong, an island in lat. 22° 16^’ K., and long. Ill” 8^’ E., on the eastern side of the estuary of the Pearl River. The island of Hongkong, or Xianggang (i.e., the Fragrant Streams), is nine miles long, eight broad, and twenty-six in circumference, presenting an exceedingly uneven, barren surface, consisting for the most part of ranges of hills, with narrow intervales, and a little level beach land. Victoria Peak is 1825 feet. Probably not one-twentieth of the surface is available for a<^riciiltural purposes. The island and harbor were first ceded to the Crown of England by the treaty made between Captain Elliot and Kishen, in January, 1841, and again by the treaty of Nanjing, in August, 1842 ; lastly, by the Convention of Peking, October 24, ISCO, the opposite peninsula of Ivowlung M’as added, in order to furnish space for quartering troops and storehouse room for naval and military supplies. The town of Victoria lies on the north side, and extends more than three miles along the shore. The secure and convenient harbor has attracted the settlement here, though the nne\en nature of the ground compels the inhabitants to stretch their warehouses and dwellings along the beach.

    ‘ Cldnese Rejwsitory, passim. An Historical Sketch of the Portwjxiese Settlements in China. Bj Hir A. Ljungstedt. Boston, 188(>.

    The architecture of most of the buildings erected in Victoria is eu})erior to anything heretofore seen in (^liina. Its population is now estimated at 130,000, of whom five-sixths are Chinese tradesmen, craftsmen, laborers, and boatmen, few of whom lune their families. • The government of the colony is vested ^’n a governor, chief-justice’, and a legislative council of five, assisted by various subordinate officers and secretaries, the M’liole forming a cumbrous and expensive machinery, compaied “with the needs and resources of the colony The Bishop of Victoria has an advisory control over the missions of the establishment in the southern provinces of China, and supervises the schools in the colony, where many youths are trained in English and Chinese literature.

    The supplies of the island are chiefly brought from the mainland where an increasing population of Chinese, under the control of the magistrate of Kowluiig, find ample demand for all the provisions they can furnish.

    Three newspapers are published in English, and two in Chinese. The Seaman’s and Military hospitals, the chapels and schools of the London and Church Missionary Society, St. John’s Cathedral, Tioman Catholic establishment, the government house, the magistracy, jail, the ordnance and engineer departments.

    TOWNS OF KWAXGTUNG PROVINCE. 173

    Exchange, and the Club house, are among the principal edifices. The amount of money expended in buildings in this colony is enormous, aiid most of them are substantial stone or brick houses. The view of the city as seen from the harbor is only excelled in beauty by the wider panorama spread out before the spectator on Victoria Peak. During the forty-odd years of its occupation, this colony lias slowly advanced in commercial importance, and become an entrepot for foreign goods designed for native markets in Southern China. Every facility has been given to the Chinese who resort to its shops to carry away their purchases, by making the port free of every impost,

    and preventing the imperial revenue cutters from interfering

    with their junks while in sight of the island. The arrangements

    of this contested point so that the Chinese revenue shall

    not suffer have not satisfied either party, and as it is in the similar

    case of Gibraltar, is not likely to soon be settled. Smugglers

    must run their own risks with the imperial officers. The

    most valuable article leaving Hongkong is opium, but the

    greatest portion of its exports pay the duties on entering China

    at the five open ports in the province of Kwangtung. As the

    focus of postal lines of passenger steamers, and the port where

    mercantile vessels come to learn markets, Ilonofkono; exerts a

    greater influence on the southeast of Asia than her trade and

    size indicate. The island of Shangclmen or San9ian, where Xavier

    died, lies southwest of Macao about thirty miles, and is sometimes

    visited by devout persons from that place to reverence his tomb, which they keep in repair.

    The city oi Shauchau in the northern part of the province lies at the fork of the river, which compels a change of boats for passengers and goods ; it is one of the largest cities after Canton, and a pontoon bridge furnishes the needed facilities for stopping and taxing the boats and goods passing through.

    Shanking, west of Canton, is another important town, which held out a long time against the Manchus ;* it was formerly the seat of the provincial authorities, till they removed to Canton in 1630 to keep the foreigners under control. It stretches along six miles of the river bank, a well-built city for China, in a beautiful position. Some of its districts furnish green teas and matting for the Canton market, and this trade has opened the way for a large emigration to foreign countries. Among other towns of note is Xanhiung, situated at the head of navigation on the North River, where goods cross the Mei ling.

    ‘ Palafox, Conquete de la CJdne, p. 172.

    Before the coast was opened to trade, fifty thousand porters obtained a livelihood by transporting packages, passengers, and merchandise to and from this town and Xan-ngan in Kiangsi. It is a thriving place, and the restless habits of these industrious carriers give its population somewhat of a turbulent character. Many of them are women, who usually pair off by themselves and carry as heavy burdens as the men.

    Not far from Yangshan hien is a fine cavern, the JV^iu Yen or ‘ Ox Cave,’ on a hillside near the North River. Its entrance is like a grand hall, with pillars TO feet high and 8 or 10 feet thick. The finest part is exposed to the sun, but many pretty rooms and niches are revealed by torches ; echoes 2-esound through their recesses. The stalactites and stalagmites present a vast variety of shapes—some like immense folds of di-apery, between which are lamps, thrones and windows of all shapes and sizes, while others hang from the roof in fanciful forms.

    ‘ Embassy (of Lord Amherst) to Cldna, Moxon’s ed., 1840, p. 98.

    THE ISLAND OF HAINAN. 175

    The scenery along the river, between Xanhiung and Shauchau, is described as wild, rugged, and barren in the extreme; the summits of the mountains seem to touch each other across the river, and massive fragments fallen from their sides, in and along the river, indicate that the passage is not altogether free from danger. In this mountainous region coal is procured by opening horizontal shafts to the mines. Ellis ‘ says, it was brought some distance to the place where he saw it, to be used in the manufacture of green vitriol. Many pagodas are passed in the stretch of 330 miles between Xanhiung and Canton, calculated to attract notice, and assure the native boatmen which swarm on its waters, of the protection of the two elements he has to deal with—wind and water. One of the most conspicuous objects in this part of the river are five rocks, which rise abruptly from the banks, and are fancifully called Wt(-7na-tao, or ‘Five-horses’ heads.’ The formation of this part of the province consists of compact, dark-colored limestone, overlying sandstone and breccia. Nearly halfway between Shauchau and Canton is a celebrated mountain and cavern temple, dedicated to Kwanjnn, the goddess of Mercy, and most charmingly situated amid waterfalls, groves, and fine scenery, near a hill about 1850 feet high. The cliff has a sheer descent of five hundred feet; the temple is in a fissure a hundred feet above the water, and consists of two stories; the steps leading up to them, the rooms, walls, and cells, are all cut out of the rock. Inscription;; and scrolls hide the naked walls, and a few inane priests inhabit this somewhat gloomy abode. Mr. Barrow draws a proper comparison between these men and the inmates of the Cork Convent in Portugal, or the Franciscan Convent in Madeira, who had likewise ” chained themselves to a rock, to be gnawed by the vultures of superstition and fanaticism,” but these last have less excuse.

    The island of Hainan constitutes a single department, Kiungchau,

    but its prefect has no power over the central and mountainous

    parts. In early European travels it is named Aynao, Kainan

    and Aniam. It is about one hundred and fifty miles long and

    one hundred broad, being in extent nearly twice the size of

    Sicily. It is separated from the main by Luichau Strait, sixteen

    miles wide, whose shoals and reefs render its passage uncertain.

    The interior of the island is mountainous, and well wooded, and the inhabitants give a partial submission to the Chinese ; Ihey are identical in race with the mountaineers in Kweichau. This ridge is called Li-mu ling; a remarkable peak in the centre of the southern half, Wuzhi Shan or ‘ Fivefinger Mountain,’ probably rises 10,000 feet. The Chinese inhabitants are mostly descendants of emigrants from Fuhkien, and are either trading, agricultural, marine, or piratical in their vocation, as they can make most money. The lands along the coast are fertile, producing areca-nuts, cocoa-nuts, and other tropical fruits, which are not found on the main. Kiungchau fu lies at the mouth of the Li-mu River, opposite Luichau. The port is Hoiliau, nineteen miles distant, but the entrance is too shallow for most vessels, and the trade consequently seeks a better market at Pakhoi, a town which has recently risen to importance as a treaty port on the mainland. All the thirteen district towns are situated on the coast, and within their circuit, on Chinese maps, a line is drawn, inclosing the centre of the island, within which the Li viin^ or Li people live, some of whom are acknowledged to he independent. They are therefore known as wild and civilized Li, and are usually in a state of chronic irritation from the harsh treatment of the rulers. It is prohahle that they originally came from the Malayan Peninsula (as their features, dress, and habits indicate their atiinity with those tribes), and have gradually withdrawn themselves into their recesses to avoid oppression. In 1202, the Emperor Kublai gave twenty thousand of them lands free for a time in the eastern parts, but the Ming sovereigns found them all intractable and l)elligerent. The population of the island is about a million. Its productions are rice, sweet potatoes, sugar, tobacco, fruits, timber, and insect wax.’

    The province of Guangxi(l.e. Broad West) extends westward of Guangdong to the borders of Annam, occupying the region on the southwest of the Xan ling, and has been seldom visited by foreigners, mIioso journeys have been up the Kwai Jiang: or ‘Cassia River’ into Hunan. The banks of the rivers sometimes spread out into plains, more in the eastern parts than elsewhere, on which an abundance of rice is grown. There are mines of gold, silver, and other metals, in this province, most of which are worked under the superintendence of government, but no data are accessible from whicli to ascertain the produce.

    Among the commercial productions of Guangxi, are cassia, cassia-oil, ijik-stones, and cabinet-woods; its natural ivsources supply the prin(;i})al articles of trade, for there are no manufactures of importance. IMany partially subdued tribes are found within the limits of this province, who are ruled by their own hereditary governors, under the supervision of the Chinese authorities; there are twenty-four vhau districts occupied by these people, the names of whose head-men are given in the lied

    ‘ E. C. Taintor, OeogrnpMeal Skelcit of the Mnnd of JTnlnnn, with map.

    (Canton. 18«8. Journal N. G. Br. R. A. S., No. VII., Arts. I., 11., and IN.C’/iiTKi li/anew, Vols. I., p. 124, and II., p. 382. N. B. Dennys, Report on thtnetoly-^jpeiied porta of Kiangchow {UoUkiu) in JIi<iu((n, <ind lldiphong in. Tonqidn. Ilouij’koug, 1878.

    THE PROVINCE OF KWANGSI. 177

    Book, and their position marked in the statistical maps of the

    empire, but no information is furnished in either, concerning

    the numbers, hmguage, or occupations, of the inhabitants.

    Guangxi is well watered by the west lliver and its branches, which enable traders to convey timber and surplus produce to Canton, and receive from thence salt and other articles. The mountains on the northwest are occasionally covered with siK)w; many of the western districts furnish little besides wood for buildings and boats. The basin of the West River is subdivided by ranges of hills into three large valleys, through which flow many tributaries of the leading streams, and as they each usually drop the old name on receiving a new affluent, it is a confusing study to follow them all. On the south the river Yiih rises near Yunnan, and deflects south to Kan-ning near

    the borders of Kwangtung, joining the central trunk at Sinchau,

    after a course of five hundred miles. On the north the

    river Lung and the Hiing-shui receive the surplus drainage

    of the northern districts and of Kweichau, a region where the

    Miaotsz’ have long kept watch and ward over their hilly abodes.

    The waters are then poured into the central trench a few miles

    west of Sinchau. This main artery of the province rises in

    Yunnan and would connect it by batteaux with Canton City if the channel were improved ; it is called Sz’ ho, and ranks as the largest tributary of the Pearl River.

    The capital, Guilin (i.e., Cassia Forest), lies on the Cassia River, a branch of the West River, in the northeast part of the province ; it is a poorly built city, surrounded by canals and branches of the river, destitute of any edifices wortliy of notice and having no great amount of trade. During the Tai-ping rebellion, this and the next town were nearly destroyed between the insurgents and imperialists.

    Wuchau fu, on the same river, at its junction with the Long Jiang, or ‘Dragon River’, where they unite and form the West River, is the largest trading town in the province. The independent chau districts are scattered over the southwest near the frontiers of Annam, and if anything can be inferred from their position, it may be concluded that they were settled by Laos tribes, who had been induced, by the comparative security of life and property within the frontiers, to acknowledge the Chinese sway.’

    The province of Kweichau (*.<?., Koblc Region) is on the whole the poorest of the eighteen in the character of its inhabitants, amount of its products, and development of its resources.

    A range of mountains passes from the northeast side in a southwesterly course to Yunnan, forming the watershed between the valleys of the Yangtsz’ and Siang rivers, a rough but fertile region. The western slopes are peopled by Chinese tillers of the soil, a rude and ignorant race, and rather turbulent; the eastern districts are largely in the hands of the Miaotsz’, who are considered by the officials and their troops to be lawful objects

    of oppression and destruction. The climate of the province

    is regarded as malarious, owing to the quantity of stagnant

    water and the impurity of that drawn from wells. Its productions

    consist of rice, wheat, musk, insect wax, tobacco, timber,

    and cassia, with lead, copper, silver, quicksilver, and iron. The

    quicksilver mines are in Kai chau, north of the provincial capital,

    and apparently exceed in extent and richness all other

    known deposits of this metal ; they have been worked for centuries.

    Cinnabar occurs at various places, about lat. 27°, in a

    belt extending quite across the province, and tei’minating near

    the borders of Yunnan. Two kinds of silk obtained from the

    worms which feed on the mulberry and oak, furnish material

    for clothing so cheaply that cotton is imported from other provinces.

    Horses and other domestic animals are reared in larger quantities than in the eastern provinces. •

    The largest river is the AVu, which drains the central and northern parts of the province, and empties into the Yangtsz’, through the river Kien near Chungking. Other tributaries of that river and West River, also have their sources in this province, and by means of batteaux and rafts are all more or less available for traffic. The natural outlet for the products of Ivweichau is the river Yuen in Ilunan, whose various branches flow into it from the eastern prefectures, but their unsettled condition prevents regular or successful intercourse.

    ‘ Chinese Repodtory, Vol. XIV., pp. 171 ff.

    KWEICHAU PROVINCE AND THE MIAOTSZ 179

    The capital, Kweijang, is situated among the mountains ; it is the smallest provincial capital of the eighteen, its walls not being more than two miles in circumference. The other chief towns or departments are of inferior note. There are many military stations in the southern prefectures at the foot of the mountains, intended to restrain the unsubdued tribes of Miaotsz’ who inhabit them.

    Miaotsz’ Types.

    This name Miaotsz’ is used among the Chinese as a general term for all the dwellers upon these mountains, but is not applied to every clan by the people themselves. They consist of eighty-two tribes in all (found scattered over the mountains in Kwangtung, ITunan, and Kwangsi, as well as in Kweichau), speaking several dialects, and diifering among themselves in their customs, government, and dress. The Chinese have often described and pictured these people, but the notices are confined to a list of their divisions, and an account of their most striking peculiarities. Their language dift’ei’s entirely from the Chinese, but too little is known of it to ascertain its analogies to other tonj^ues; its affinities are most likely with the Laos, and those

    tribes between Burmah, Siam, and China. One clan, inhabiting

    Lipo hien in the extreme south, is called Yau-jin, and

    although they occasionally come down to Canton to trade, the

    citizens of that place firmly believe them to be furnished with

    short tails like monkeys. They carry arms, are inclined to live

    at peace with the lowlanders, but resist eveiy attempt to penetrate

    into their fastnesses. The Yau-jin first settled in Kwangsi,

    and thence passed over into Lien chau about the twelfth century, where they have since maintained their footing. Both sexes wear their hair braided in a tuft on the top of the head—but never shaven and tressed as the Chinese—and dress in loose garments of cotton and linen ; earrings are in imiversal use among them. They live at strife among themselves, which becomes a source of safety to the Chinese, who are willing enough to liarass and oppress, but are ill able to resist, these hardy mountaineers. In 1832, they broke out in active hostilities, and destroyed numerous parties of troops sent to subdue them, but were finally induced to return to their retreats by offers^of pardon and largesses granted to those who submitted.

    A Chinese traveler among the Miaotsz’ says that some of them live in huts constructed upon the branches of trees, others in mud hovels ; and one tribe in clift” houses dug out of the hillsides, sometimes six hundred feet up. Their agriculture is rude, and their garments are obtained Ijy barter from the lowlanders in exchange for metals and grain, or wov^en by themselves.

    The religious observances of these tribes are carefully noted, and whatever is connected with nuirriages and funerals.

    THE PROVINCE OF YUNNAN. 181

    In one tribe, it is the custom for the father of a new-born child, as soon as its mother has become strone^ enouoh to leave her couch, to get into bed himself and there receive the congratulations of his acquaintances, as he exhibits his offspring—a custom which has been found among the Tibetan tribes and elsewhere. Another class has the counterpart of the may-pole and its jocund dance, which, like its corresponding game, is availed of by young men to select their mates.’

    The province of Yunnan {i.e., Cloudy South—south of the Yun ling, or ‘Cloudy Mountains”‘) is in the southwest of the empire, bounded by north Sz’chuen, east by Kweichau and Kwangsi, south by Annam, Laos, and Siam, and west by Burmah.

    ‘ Chinese Repository, Vol. I., p. 29; Vol. XIV., pp. 105-117; G. T. Lay,Chinese as They Are, p. 316 ; Journal of N’. C. Branch of Royal Asiatic Society,No. III., 1H59, and No. VI., 1869. Chinese Recorder, Vols. 11., p. 265, and III., pp. 33, 74, 96, 134 and 147. Peking Gazette for 1872. China Rei-ietc,Vol. v., p. 92.- Known as Widiharit in Pali records. Chinese Recorder, Vol. III., pp. 33,74, sqq. ; see also pp. 62, 93, 126, for the record of a visit.

    Its distance from the central authority of the Empire since its partial conquest under the Ilanjhjnasty has always made it a weak point, and the uneducated, mixed character of the inhabitants has given an advantage to enterprising leaders to resist Chinese rule. It was recovered from the aborigines by the Tang Emperors, who called it Jung chau, or the region of the Jung tribes, from which the name Karajang, i.e.. Black Jung, which Marco Polo calls it, is derived; Kublai Khan himself led an army in 1253 thither before he conquered China, and sent the Venetians on a mission there about the year 127S, after his establishment at Peking. A son of the Emperor was his Yiceroy over this outlying province at that time. The recent travels of Margary, Baber, and Anderson, of the British service, with Monhot and Garnier of the French, have done much to render this secluded province better known. The central portion is occupied by an extensive plateau, ramifying in various directions and intersected with valley-plains at altitudes of 5,000 to 6,000 feet, in Mdiich lie several large lakes and the seven principal cities in the province. These plains are overtopped by the ridges separating them, which, seen from the lower levels, appear, as in Sliansi, like horizontal, connected summit-lines. All are built up of red sandstone, like the basin in Sz’chuen, through which rivers, small and large, have furroM’ed their beds hundreds and thousands of feet, rendering communication almost impossible in certain directions as soon as one leaves the plateau. In the east and northwest, the defiles are less troublesome, and in this latter portion of the province are some peaks rising far above the snow line. These are called on Col. Yule’s map the Goolan Sigon range. The climate is cooler than in Sz’chuen, owing to this elevation, and not very healthy ; snow lies for weeks at Yunnan fu, and the summers are charming.

    The Yangtsz’ enters the province on the northwest for a short distance. The greatest river in it is the Lantsan, which rises in Tibet, and runs for a long distance parallel with and between the Yangzi and Xu Kivers till the three break through the mountains not far from each other, and take different courses,—the largest turning to the eastward across China, the Lantsan southeast throngh Ynnnan to the gulf of Siani, under the name of the Meikon or river of Cambodia, and the third, or Salween, westerly through Burmah. The Meikon receives many large tributaries in its course across the province, and its entire length is not less than 1500 miles. The Lungehuen,

    a large affluent of the Irrawadi, runs a little west of the

    Salween. The Meinam rises in Yunnan, and flows south into

    Siam under the name of the Xanting, and after a course of nearly

    eight hundred miles, empties into the sea below Bangkok.

    East of the Lantsan are several important streams, of which

    three that unite in Annam to form the Sangkoi, are the largest.

    The general course of these rivers is southeasterly, and their

    upper waters are separated by mountain lidges, between which

    the valleys are often reduced to very narrow limits. There are

    two lakes in the eastern part of the province, south of the capital,

    called Sien and Tien ; the latter is about seventy miles

    long by twenty wide, and the Sien hu {I.e., ‘ Fairy Lake ‘) about

    two-thirds as large. Another sheet of water in the northwest,

    near Tali fu, coiinnunicating with the Yangtsz’ kiang, is called

    Urh hai or Uhr sea, which is more* than a hundred miles long,

    and about twenty in width.

    INHABITANTS AND PRODUCTIONS OF YUNNAN. 183

    The capital, Yunnan, lies u})ou the north shore of Lake Tien, and is a town of note, having, moreover, considerable political importance from its trade with other parts of the country through the Yangtsz’, and with Burmah. The city was seriously injured in 1834, by an earthquake, which is said to have lasted three entire days, forcing the inhabitants into tents or the open fields, and overthrowing every important building.’

    The traffic between this province and Burinah centres at the fortified post of Tsantah, in the district of Tangjneh, both of them situated on a branch of the Irrawadi. The principal part of the commodities is transported upon animals from these depots to Bhamo, upon the Iri-awadi, the largest market-town in this part of Chin-India. The Chinese participate largely in this trade, which consists of raw and manufactured silk to the amount of §400,000 annualh’, tea, copper, carpets, orpiment, quicksilver, vermilion, drugs, fruits, and other things, carried from their country in exchange for raw cotton to the amount of $1,140,000 annually, ivory, wax, rhinoceros and deer’s horns, precious stones, birds’ nests, peacocks’ feathers, and foreign articles.

    The entire traffic is probably $2,500,000 annually, and for a few years past has been regularly increasing. There is considerable intercourse and trade on the southern frontiers with the Lolos, or Laos and Annamese,” partly by means of the head-waters of the Meinam and Meikon—which are supposed to communicate with each other by a natural canal—and partly by caravans over the mountains. Yunnan fu was the capital of a Chinese prince about the time of the decadence of the Ming dynasty, who had rendered himself independent in this part of their empire by the overthrow of the rebel Li, but having linked his fortunes with an imbecile scion of that house, he displeased his officers, and his territories gradually fell under the sway of the conquering Manchus.

    ‘ A/males de la Foi, Tome VIII. , p. 87.
    ‘ Two thousand Chinese families live in Amerapura.

    The southern and western districts of the province are inhabited by half-subdued tribes who are governed by their own rulers, under the nominal sway of the Chinese, and pass and repass across the frontiers in pursuit of trade or occupation. The extension of British trade from Bangoon toward this part of China, has brought those hill tribes more into notice, and proved in their present low and barbarous condition the accuracy of the ancient description by Marco Polo and the Boman Catholic missionaries. Colonel Yule aptly terms this wide region an “Ethnological Garden of tribes of various race and in every stage of uncivilization.” The unifying influence of the Chinese written language and literary institutions has been neutralized among these races by their tribal dissensions and inaptitude for study of any kind. Anderson gives short vocabularies of the Kakhyen, Shan, Ilotha Shan, Le-san and Poloung languages, all indicating radical differences of origin, the existence of which would keep them from mingling with each other as Avell as from the Chinese.’

    The mineral wealth of Yunnan is greater and more varied than that of any other province, certain of the mines having been worked since the Sung dynasty. Coal occurs in many places on the borders of the central plateau ; some of it is anthracite of remarkable solidity and uniformity. Salt occurs in hills, not in wells as in Sz’chuen ; the brine is sometimes obtained by diving tunnels into the hillsides. Metalliferous ores reach from this province into the three neighboring ones. Copper is the most abundant, and the mines in Kingyuen fu, in the southwestern ‘part of Sz’chuen, have supplied both copper and zinc ores during the troubles in Yunnan. The copper at Ilwuili chau in that prefecture is worked by companies which pay a royalty of two taels a pecul to the government, and furnish the metal to the mine owners for $S per pecul. The pehtaiKj or argentan ores are mixed with copper, tin, or lead, by the manufacturers according to the uses the alloys are put to.

    Silver exists in several places in the north, and the exploitation of the mines was successful until within 30 years past ; now they cannot be safely or profitably worked, in consequence of political disturbances. Gold is obtained in the sand of some rivers but not to a large extent; lead, iron, tin, and zinc occur in such plenty that they can be exported, but no data are accessible as to the entire product or export.
    ”’ Yule’s Marco Polo, Vol. II. Anderson, Mandalay to Momien.” rroced. Roy. Geog. Soc, Vols. XIII., p. 392, XIV.’, p. 335, XV., pp. 1G3 and 343. Col. Yule, Trade Routes to Westeru CJdiia—The Geo(jiuq,hic<d Mitynzine,April, 1875. Riclithofen, Recent Attoiipts to find a direct Trade-Road toSonthtDCstern China—Shoiif/fiai Budget, March 2(i, 1874. Journey of A. R.Margary from Shaiighae to Bhamo. Loudon, 1875. Col. H. Browne in Blue Books, Nos. 1, 2, 3, and 4 (1870-77).

    CHAPTER IV. GEOGRAPHICAL DESCRIPTION OF MANCHURIA, MONGOLIA, ILi, AND TIBET

    The portions of the Chinese Empire beyond the limits of the Eighteen Provinces, though of far greater extent than China Proper, are comparatively of minor importance. Their vast regions are peopled by different races, whose languages are nnitually unintelligible, and whose tribes are held together under the Chinese sway rather by interest and reciprocal hostilities or dislike, than by force. European geographers have vaguely termed all that space lying north of Tibet to Siberia, and east of the Tsung ling to the Pacific, Chinese Tartary ; while the countries west of the Tsung ling or Belur tag, to the Aral Sea, have been collectively called Inde2}endtnt Tartary. Both these

    names have already become nearly obsolete on good maps of

    those regions ; the more accurate knowledge brought home by

    recent travellers having ascertained that their inhabitants are

    neither all Tartars (or Mongols) nor Turks, and further that

    the native names and divisions are preferable to a single comprehensive

    one. Such names as Manchuria, Mongolia, Songaria,

    and Turkestan, derived from the leading tribes dwelling in

    those countries, are more definite, though these are not permanent,

    owing to the migratory, changeable habits of the people.

    From their ignorance of scientific geography, the Chinese have

    no general designations for extensive countries, long chains of

    mountains, or devious rivers, but apply many names where, if

    they were better informed, they would be content with one.

    The following table presents a general view of these countries,

    giving their leading divisions and forms of government.

    EXTENT OF Manchuria. 187

    They cannot be classed, however, in the same manner as the provinces, nor are the divisions and capitals here given to be regarded as definitely settled. Their nnited area is 3,951,130 square miles, or a little more than all Europe ; their separate areas cannot be precisely given. Manchuria contains about 400,000 square miles ; Mongolia between 1,300,000 and 1,500,000 square miles ; III about 1,070,000 square miles ; and Tibei from 500,000 to 700,000 square miles.

    MANcnuRi.v is so termed from the leading race who dwell there, the 3IandJu/’s or Manclius ^ it is a word of foreign origin, the Chinese having no general appellation for the viceroyalty ruled from Mukden. It comprises the eastern portion of the high table land of Central Asia, and lies between latitudes 39° and 52° X., and longitudes 120° to 134° E. These points include the limits in l^otli directions, giving the region a rectangular shape lying in a north-east and sonth-west direction; roughly speaking, its dimensions are 800 by 500 miles. It is

    bounded on the south by the Gulf of Pechele, and the highlands

    of Corea on the north bank of the Yalnli River ; on the east

    by a line running from the Russian town of Possiet northerly

    to the River ITsuri, so as to include Ilinka Lake ; thence from

    its headwaters to its junction Nvith the Anmr. This river forms

    the northern frontier ; its tributary, the River Argun, together

    with the large lakes llurun and Puyur, lie on the west ; from

    the latter lake an artificial line stretching nearly due east for

    six degrees in lat. 47° strikes the town of Tsitsihar on the

    River Xonni. The rest of the western border follows the rivers

    Konni and Songari to the Palisade. This obsolete boundary

    commences at Shan-hai kwan on the Gulf of Liatung and runs

    north-easterly ; it nominally separates the Mongols from the

    Manchus for neai’ly 300 miles, and really exists only at the

    passes where the roads are guarded by military.

    But a portion of this region has yet been traversed by Europeans, and most of it is a wilderness. The entire population is not stated in the census of 1812, and from the nature of the country and wandering habits of the people, many tribes of whom render no allegiance to the Emperor, it would be impossible to take a regular census. Parts of Manchuria, as here defined, have been known under many names at different periods.

    LiaiUung (‘East of the River Lian’) has been applied to the country between that river, Corea, and the Sea of Japan ; Tungking(‘Eastern Capital’) referred to the chief town of that region, under the Ming dynasty ; and Kwantung (‘ East of the Pass ‘), denoting the same country, is still a common designation for the whole territory.

    Manchuria is now chiefly comprised in the valleys between the ITsuri and Nonni Rivers, up to the Amur on the north, while the basin of the Liau on the south embraces the rest. There are three principal mountain chains. Beginning nearly a hundred miles east of Mukden, in lat. 43°, are the Long White Mountains’ (Chang-bai Shan of the Chinese, or Kolmin-shanguin alin of the Manchus), which form the watershed between the Songari and Yaluh Rivers and serve for the northern frontier of Corea as far as Russian territory. There it divides

    and takes the name of Sih-hih-teh, or Sihoti Mountains, for the

    eastern spur which runs near the ocean, east of the River ITsuri; and the name of Hurkar Mountains for the western and lower

    spurs between that river and the Ilurkar. One noted peak,

    called Mount Chakoran, rising over 10,000 feet, lies south-east

    of San-sang on the Amur. On the plain, north of Ivirin,

    numerous buttes occur, sometimes isolated, and often in lines

    fifteen or twenty miles apart ; most of them are wooded.

    In the western part of Tsitsihar lies the third great range of

    mountains in Manchuria, called the Sialkoi Mountains, a continuation

    of the Inner Iling-an range of Mongolia, and separating

    the Argun and Nonni basins. The Sialkoi range extends over

    a great part of Mongolia, commencing near the bend of the Yellow

    River, and reaching in a north-easterly direction, it forms

    in Manchuria three sides of the extensive valley of the Xonni,

    ending between the Amur and Songari Rivers at their junction.

    These regions are more arid than the eastern portions, and

    the mountains are rather lower ; but our information is vague

    and scanty. As a whole, Manchuria should be called hilly

    rather than mountainous, its intervales alone repaying cultivation.

    ‘ Klaproth {Memoires Relatifs d PAsie, Tome I., Paris, 1834) has translated from the Manchu a narrative of a visit made in 1(577 by one of the grandees of Kanghi’s court to a summit in this range. Chlneise lieposilvry, Vol. XX. , p. 29G.

    THE AMUR AND ITS AFFLUENTS. 189

    The country north of the Chang-bai Shan as far as the Stanovoi Mountains is drained by one river, viz., the Sagalien, Amur, Kwantung, or Hehlung kiang (for it is known by all these names), and its affluents ; Scujalieii ula in Manchu and Heilong Jiang in Chinese, each mean ‘Black’ or ‘Black Dragon River’. The Amur drains the north-eastern slope of Central Asia by a circuitous course, aided by many large tributaries. Its source is in lat. 50° N. and long. 111° E., in a spur of the Daou-]”ian Mountains, called Kenteh, where it is called the Onon.

    After an east and north-east course of nearly five hundred miles,

    the Onon is joined in long. 115° E. by the Ingoda, a stream

    coming from the east of Lake Baikal, where it takes its rise by a

    peak called Tshokondo, the highest of the Yablonsi Khrebet

    Mountains. Beyond this junction, under the Bussian name of

    Shilka, it flows about two hundred and sixty miles north-east

    till it meets the Argun. The Argun rises about three degrees

    south of the Onon, on the south side of the Kenteh, and under

    the name of Kerlon runs a solitary north-east course for four

    Imndred and thirty miles to Lake Hurun, Kerlon, or Dalai-nur; the Kalka here comes in from Lake Buyur or Fir, and their waters leave Lake Hurun atUst-Strelotchnoi (the Arrow’s Mouth) under the name of the Argun, flowing north nearly four hundred miles to the union with the Shilka in lat. 53° ; from its exit as the Argun and onward to the entrance of the Usuri, it forms the boundary between China and Russia for 1,593 versts, or 1,062 miles.

    Beyond this town the united stream takes the name of the

    Amur (/.(‘., Great River) or Sagalien of the Manchus, running

    nearly east about 550 miles beyond Albazin, when its course is

    south-east till it joins the Songari. Most of the affluents are on

    the north bank ; the main channel grows wider as its size increases,

    having so many islands and banks as seriously to interfere

    with navigation. The valley thus watered possesses great

    natural advantages in soil, climate, and productions, which are

    now gradually attracting Russian settlers. In lat. 47^° the Songari River {Sung-hwa kiang of the Chinese) unites with the Amur on the right bank, 950 miles from Ust-Strelotchnoi,

    bringing the drainings of the greater portion of ]\ranehuria,

    and doubling the main volume of water. The headwaters of

    this stream issue from the northern slopes of the C”liang-peh

    shan ; quickly combined in a single channel, these waters tlow

    past the town of Ivirin, scarcely a hundred miles from the

    mountains, in a river twelve feet deep and 900 M-ide. Xear Petune

    the Iliver Xonni joins it from Tsitsihar, and their united

    stream takes the Chinese name of Kwantung (‘ Mingled Union ‘);

    it is a mile and a half wide here and only three or four feet

    deep, a sluggish river full of islands. Then going east b}- north,

    growing deeper by its affluents, the Ilurka, Mayen, Tunni,

    llulan, and other smaller ones, it unites with the Amur at

    at Changchu, a hundred miles west from the Usuri. All accounts

    agree in giving the Songari the superiority. At Sansing,

    it is a deep and rapid river, but further down islands and

    banks interfere with the navigation. The Ilurka drains the

    original country of the Manchus.’

    The district south-east of the desert, and north of the Great

    Wall, is drained and fertilized by the Sira-nniren, or Liau

    Iliver, which is nearly valueless for navigation. Its main and

    western branch divides near the In shan Mountains into the

    Hwang ho and Lahar; the former rises near the Pecha peak,

    a noted point in those mountains. The Sirainuren runs

    through a dry region for nearly 400 miles before it turns south,

    and in a zigzag channel reaches the Gulf of Liautung, a powerful stream carrying its quota of deposit into the ocean ; the M’idtli at Yingtsz’ is C50 feet. The depth is IG feet on the bar at high tide. The Yaluh kiang, nearly three hundred miles long, runs in a very crooked channel along the northern frontiers of Corea. iJut little is known about the two lakes, Ilurun and Pir, except that their waters are fresh and full of fish ; the river Urshun unites them, and several smaller streams run into the latter.

    ‘ Voyage Down the Amur, by Perry McD. Collins, in 1857. New York,1860, cliaps. xxxii.-lx., passim. Ravenstein’s Arnur. Chinese Repository,Vol. XIX., p. 289. Rev. A. Williamson, Journeys in North China, Vol. II.,eliap.s. x.-xiii.

    NATURAL RESOURCES OF MANCHURIA. 191

    The larger part of Manchuria is covered by forests, the

    abode of wild animals, whose capture affords employment,

    clothing, and food to their hunters. The rivers and coasts

    abound in fish ; among which carp, sturgeon, salmon, pike, and

    other species, as well as shell-fish, are plenty ; the pearl-fishery

    is sufficiently remunerative to employ many fishermen ; the

    Chinese Government used to take cognizance of their success,

    and collect a revenue in kind. The argali and jiggetai are

    found here as well as in Mongolia ; bears, wolves, tigers, deer,

    and numerous fur-bearing animals are hunted for their skins.

    The troops are required to furnish 2,4:00 stags annually to the

    Emperor, who reserves for his own use only the fieshy part of

    the tail as a delicacy. Larks, pheasants, and crows of various

    species, with pigeons, thrushes, and grouse, abound. The condor

    is the largest bird of prey, and for its size and fierceness rivals

    its congener of the Andes.

    The greater half of Shingking and the south of Ivirin is cultivated; maize, Setaria wheat, barley, pulse, millet, and buckwheat are the principal crops. Ginseng and rhubarb are collected by troops sent out in detachments under’ the charge of their proper officers. These sections support, moreover, large herds of various domestic animals. The timber which covers the mountains will prove a source of wealth as soon as a remunerative market stimulates the skill and enterprise of settlers; even now, logs over three feet in diameter find their way up to Peking, brought from the Liau valley.

    Manchuria is divided into three provinces, Shhujhing, Kirin,

    and Tsltnlhar. The province of Shingking includes the ancient

    Liautung, and is bounded north by Mongolia ; north-east and

    east by Kirin ; south by the Gulf of Liautung and Corea, from

    which latter it is separated by the Yaluh Eiver ; and west by

    Chahar in Chihli. It contains two departments, viz., Fungtien

    and Kinchau, subdivided into fifteen districts; there are also

    twelve gai-risoned posts at the twelve gates in the Palisade,

    whose inmates collect a small tax on travellers and goods. Manchuria

    is under a strictly military government, every male above

    eighteen being liable for military service, and being, in fact,

    enrolled under that one of the eight standards to which by Liith he belongs. The administration of Shingking is partl;yuivil and partly military ; that of Iviriu and Tsitsihar is entirely military.

    The popnlation of the province has been estimated by T. T.

    Meadows ‘ at twelve millions, consisting of Manclms and Chinese.

    The coast districts are now mostly occupied and cultivated

    by emigrants from Shantung, who are pushing the Manchus

    toward the Amur, or compelling them to leave their hunting

    and take to farming if they wish to stay where they ^vere born.

    The conquerors are being civilized and developed by their subjects,

    losing the use of their own meagre language, and becoming

    more comfortable as they learn to be industrious. But few

    aboriginal settlements now remain who still resist these influences.

    The inhabitants collect near the river, or along the great

    roads, where food or a market are easiest found.

    The capital of Shingking is usually known on the spot as

    Shin-yang, an older name than the Manchu Mukden, or the

    Chinese name Fungtien. As the metropolis of Manchuria, it is

    also known as Shingking (the ‘ Affluent Capital ‘), distinguished

    from the name of the province by the addition oi jjuti-chiny, or

    ‘head-garrison.’ It lies in lat. 41° 50^’ X. and long. 123° 30′ E., on the banks of the Shin, a small brancli of the Liau, and is reckoned to be five hundred miles north-east from Peking. The town is surrounded by a low mud wall about ten miles in circuit, at least half a mile distant from the main city wall, whose eight gates have double archways so that the crowd may not interfere in passing ; this wall is about three miles around, and its towers and bastions are in good condition. It is 35 or 40 feet high, and 15 feet wide at the top, of brick throughout ; a crenulated parapet protects the guard. But for its smaller scale, the walls and buildings here are precisely similar to those at Peking.

    ‘ The Chinese and their Rebdliona. Loudon, 1856.

    THE PROVINCE OF SHINGKING. 193

    The streets are wide, clean, and the main business avenues lined with large, well built shops, their counters, windows, and other arrangements indicating a great trade. This capital contains a large proportion of governmental establishments, yai/uins^ and nearly all the officials belong to the ruling race. Main streets run across the city from gate to gate, with narrow roads or ku-tung intersecting them. The palace of the early Manchn sovereigns occupies the center; while the large warehouses are outside of the inner city. Everywhere marks of prosperity and security indicate an enterprising population, and for its tidy look, industrious and courteous population, Mukden takes high rank among Chinese cities. Its population is estimated to be under 200,000, mostly Chinese. The Manchu monarchs made it the seat of their government in 1631, and the Emperors have since done everything in their power to enlarge and beautify it. The Emperor Kienlung rendered himself celebrated among his subjects, and made the city of Mukden better known abroad, by a poetical eulogy upon the city and province, which was printed in sixty-four different forms of Chinese writing. This curious piece of imperial vanity and literary effort was translated into French by Amyot.

    The town of Ilingking,’ sixty miles east of it, is one of the favored places in Shingking, from its being the family residence of the Manchu monarchs, and the burial-ground of their ancestors.

    It is pleasantly situated in an elevated valley, the tombs being three miles north of it upon a mountain called Tsz’yun shan. The circuit of the walls is about three miles. Ilingking lies near the Palisade which separates the province from Ivirin, and its officers have the rule over the surrounding country, and the entrances into that province. It has now dwindled to a small handet, and the guards connected with the tombs comprise most of the inhabitants.

    Ivinchau, fifteen leagues from Mukden, carries on considerable

    trade in cattle, pulse, and drugs. Gutzlaff ‘ describes the

    harbor as shallow, and exposed to southern gales ; the houses

    in the town are built of stone, the environs well cultivated and

    settled by Chinese from Shantung, while natives of Fuhkien

    conduct the trade. The Manchus lead an idle life, but keep

    on good terms with the Chinese. When he was there in 1832,

    ‘Also called Yertden ; Klaprcth, Meinoire.% Tcvme T., p. 446. Remusat

    informs us that this name formerly included all vf Kirin, or that which was placed under it.- Voyages Along the Coast of China. New York, 1833»Vol. I.— 18

    the authorities had ordered all the females to seclude themselves

    in order to put a stop to debauchery among the native

    sailors. Horses and camels are numerous and cheap, but the

    carriages are clumsy. Kaichau, another port lying on the east

    side of the gulf, possesses a better liarboi-, but is not so much

    frequented.

    Since the treaty of 1858 opened the port of Xiuchwang or

    Yingts//, on the Iliver Liau, to foreign trade, the development

    of Shingking has rapidly increased. The trade in pulse and

    bean-cake and oil employs many vessels annually. Opium,

    silk, and paper are prepared for export thi’ough this mart, besides

    foreign goods. Fung-hwang ting, lying near the Yaluh

    liiver, commands all the trade with Corea, which must pass

    through it. There are many restrictions upon this intercourse

    by both governments, and the Chinese forbid their subjects

    passing the frontiers. The trade is conducted at fairs, under

    the supervision of officers and soldiers ; the short time allowed

    for concluding the bargains, and the great numbers resorting to

    them, render these bazaars more like the frays of opposing clans

    than the scenes of peaceable trade. There is a market-town in

    Corea itself, called Ki-iu w^an, about four leagues from the

    frontier, wliei’e the Chinese ” supply the Coreans with dogs,

    cats, pipes, leather, stags’ horns, copper, horses, mules, and

    asses ; and receive in exchange, baskets, kitchen utensils, rice,

    corn, swine, paper, mats, oxen, furs, and small horses.” Merchants

    are allowed not more than four or five hours in which

    to conduct this fair, and the Corean officers under whose charge

    it is placed, drive all strangers back to the frontier as soon as

    the day closes.’

    The borders of the sea consist of alluvial soil, efflorescing

    a nitrous white salt near the beach, .but very fertile inland,

    well cultivated and populous. Beyond, the hill-country is extremely

    picturesque. Ever-changing views, torrents and fountains,

    varied and abounding vegetation, flocks of black cattle

    grazing on the hillsides, goats perched on the overhanging crags,

    liorses, asses, and sheep lower down in the intervales, numerous

    ‘ Annales de la Foi, Tome XVIII., 1840, p. 302.

    TRADE AND CLIMATE OF MANCHURIA. 195

    well-built Iiamlets, eveiywliere enliven the scene. The department

    of Kinchau lies along the Gulf of Liautung, between the

    Palisade and the sea, and contains four small district towns,

    with forts, around whose garrisons of agricultural troops have

    collected a few settlers. On the south, toward Chilili and the

    “Wall, the country is better cultivated.

    The climate of Manchuria, as a whole, is healthy and moderate,

    far removed from the rigor of the plateau on its west, and

    not so moist as the outlying islands on the east. In summer

    the ranges are TO” to 90° F., thence down to 10° or 20° below

    zero. The rivers remain frozen from December nearly to

    April, and the fall of snow is less than in Eastern America.

    The seasons are really six weeks of spring, five months of summer,

    six weeks of autumn and four months of winter ; the last

    is in some respects the enjoyable period, and is used l)y the

    farmers to l)ring produce to market. If the houses were

    tighter, their inmates would suffer little during the cold season.

    Hue speaks of hail storms which killed tlocks of sheep in Mongolia,

    near’Chahar. Darwin (^N^aturalisfs Yoymje, 2d ed., 1845,

    p. 115) corroborates the possibility of his statement by a somewhat

    similar experience near Buenos Ayres. He here saw many

    deer and other wild animals killed by ” hail as large as small

    apples and extremely hard.’” Of the denuded country, near the

    Liau River, Abbe Hue says : ” Although it is uncertain where

    God placed paradise, we may be sure that he chose some other

    country than Liautung ; for of all savage regions, this takes a

    distinguished rank for the aridity of the soil and rigor of the

    climate. On his entrance, the traveller remarks the barren

    aspect of most of the hills, and the nakedness of the plains,

    where not a tree nor a thicket, and hardly a slip of a herb is to

    be seen. The natives are superior to any Europeans I have

    ever seen fof their powers of eating ; beef and pork abound on

    their tables, and I think dogs and horses, too, under some other

    name ; rich people eat i-ice, the poor are content with boiled

    millet, or with another grain called hac-ham,, about thrice the

    size of millet and tasting like wheat, which I never saw elsewhere.

    The vine is cultivated, but must be covered from October to April ; the grapes are so watery that a hundred liters of juice produce by distillation only forty of poor spirit. The leaves of an oak are used to rear wild silkworms, and this is a considerable branch of industry. The people relish the worms as food after the cocoons have been boiled, drawing them out with a pin, and sucking the whole until nothing but the pellicle is left.” ‘ Another says, the ground freezes seven feet in Kirin, and about three in Shingking ; the thermometer in winter is thirty degrees below zero. The snow is raised into the air by the north-east winds, and becomes so fine that it penetrates the clothes, houses, and enters even the lungs. When travelling, the eyebrows become a mass of ice, the beard a large flake, and the eyelashes are frozen together ; the wind cuts and pierces the skin like razors or needles. The earth is frozen during eight months, but vegetation in summer is rapid, and the streams are swollen by the thawing drifts of snow.

    The province of Kikin, or Girin, comprises the country northeast

    of Shingking, as far as the Annir and Usuri, which bound

    it on the north and east, while Corea and Shingking lie on the

    south-east (better separated by the Chang-peh shan than any

    political confine) and Mongolia on the west. All signs of the line

    of palisades have disappeared (save at the Passes) in the entire

    trajct between the Songari and Shan-hai kwan. The region is

    mountainous, except in the link of that river after the Xonni

    joins it till the Usuri comes in, measuring about one-fourth of

    the M’hole. This extensive region is thinly inhabited by Manchus

    settled in garrisons along the bottoms of the rivers, by

    Goldies, Mangoons, Ghiliaks, and tribes having afiinity with

    them, mIio subsist principall}^ by hunting and fishing, and acknowledge

    their fealty by a tribute of peltry, but who have no

    officers of government placed over them. Du llalde calls them

    Kicking Tatse^ Yuj)i Tatse^ and other names, which seem, indeed,

    to have been their ancient designations. The Y^u-jn TdJifs’i,

    or ‘Fish-skin Tartars,’^ are said to inhabit the extensive valley

    of the Usuri, and do not allow the subjects of the Emperor to

    ‘ AnnaleR de la Foi, Tomo XVI. , p. ‘^i’iO.

    – The inhabitants of ancient Gedrosia, now Beloochi.stan, are said to have

    clothed themselves in lish-skins. Heereu, Historical Researches among Asiatic

    Nations^ Vol. I., p. 175.

    TOWNS AND PRODUCTIONS OB’ KIRIN PROVINCE. 197

    live among them. In winter they nestle together in kraals like

    the Bushmen, and subsist upon the products of their summer’s

    tishing, having cut down fuel enough to last them till warm

    weather. Shut out, as they have been during the past, from all

    elevating influences, these people are likely to be ei-e long amalgamated

    and lost, as well among liussian and other settlers coming

    in from the north, as amid the Chinese immigrants who occupy

    their land in the south. The entire population of this province

    cannot be reckoned, from present information, as high as three

    millions, the greater part of which live along the Songari valley.

    Kirin is divided into three ruling tlmj departments or commanderies,

    viz., Kirin ula, or the garrison of Kirin, Petune or

    Pedne, and Changchun ting. Kirin, the largest of the three, is

    subdivided into eight garrison districts. The town, called

    Chaen Chwang, or ‘ Navy Yard,’ in Chinese, is finely situated

    on the Songari, in lat. 43” 45′ N., and long. 127° 25′ E., at the

    foot of encircling hills, where the river is a thousand feet wide.

    The streets are narrow and irregular, the shops low and small,

    and much ground in the city is unoccupied. Two great streets

    cross each other at right angles, one of them running far into

    the river on the west supported by piles. The highways are

    paved with wooden blocks, and adorned with flowers, gold fish,

    and squares ; its population is about 50,000.

    The four other important places in Kirin are Petune, Larin,

    Altchuku, or A-shi-ho, and Sansing, the latter at the confluent of

    the Sono-ari and Ilurka. Altchuku is the largest, and Petune

    next in size, each town having not far from 35,000 inhabitants

    ;

    Larin is perhaps half as lai’ge, and like the others steadily increasing

    in numbers and importance. jS inguta on the river Ilurka

    has wide regions under its sway where ginseng is gathered ; near

    the stockaded town is a subterranean body of water that furnishes

    large fish. A great and influential portion of the Chinese

    population is Moslem, but no Manchus reside in the place.

    The former control trade and travel in every town.

    Petune, in lat. 45° 20′ X., and long. 125° 10′ E., is inhabited

    by troops and many persons banished from C’hina for their

    crimes. Its favorable position renders it a place of considerable

    trade, and during the suunner ujonths it is a busy mart for

    198 TlIK MIDDLE KINCiDOM.

    these tliiiilj peopled regions. It consists of two main streets,

    with the chief market at their crossing. .\. large mosque attracts

    attention. The third commandery of Changchun, west

    of Kirin and south of Petunc, just beyond the Palisade, is a

    mere post for overseeing the Manchus and Mongols passing to

    and fro on the edge of the steppe.

    The resources of this wide domain in timber, minerals, metals,

    cattle and grain Ivaxq not yet been explored or developed. The

    hills are wooded to the top, the bottoms bring forth two crops

    anmially, and the rivers take down timber and grain to the

    llussian settlers. Sorghum, millet, barley, maize, pulse, indigo,

    and tobacco are the chief crops ; and latterly opium, wdiicli has

    rapidly extended, because it pays well. Oil and whiskey are extensi\’

    ely manufactured, packed in wicker baskets lined with

    paper and transported on Avheelbarrows. The wild and domestic

    animals are numerous. ^Vmong the latter the hogs and mules,

    more than any other kind, furnish food and transportation ;

    while tigers, panthers, and leopards, bears, wolves, and foxes

    reward the hunters for their pains in killing them.

    The province of Tsi-tsi-hak, or Ilehlung kiang, comprises the

    northwest of Manchuria, extending four hundred miles from

    east to west, and about five hundred from north to south. It is

    bounded north by the Amur, from Sliilka to its junction with

    the Songari ; east and southeast by Ivirin, from which the

    Songari partly separates it ; southwest by Mongolia, and west

    by the lliver Argun, dividing it from Russia. The greatest part

    of it is occupied by the valley of the Noimi, jSToun or IS^iin ; its

    area of about two hundred thousand square miles is mostly an

    iminhabited, mountainous wilderness. It is divided into six

    commanderies, viz. : Tsitsihar, Ilulan, Putek, Merguen, Sagalien

    ula, and Ilurun-pir, whose officers have control over the

    tribes within their limits; of these, Sagalien or Igoon is the

    chief town in the northeast districts, and is used by the government

    of Peking as a penal settlement. The town stands on a

    plain but a rood or so above the river, Avhich sweeps off to the

    mountains in the distance. Here is posted a large force of officers

    and men, their extensive barracks indicating the importance

    attached to the place. The garrison has gradually attracted a

    THE PROVINCE OF TSI-TSI-IIAR. 199

    population of natives and Chinese from the south, who live by

    fishing and hunting, as well as farming.

    Tsitsihar, the capital of the province, lies on the River

    ]^onni, in lat. 47° 20′ N., and long, 124° E., and is a place of some

    trade, resorted to by the tribes near the river. Merguen, Hurunpir,

    and Ilulan are situated upon rivers, and accessible when

    the waters are free from ice. Tsitsihar was built in 1692 by

    Kanghi to owerawe the neighboring tribes. It is inclosed hy a

    stockade and a ditch. The one-stoi-ied houses are constructed

    of logs, or of brick stuccoed, where timber is dear, and warmed

    by the brick beds ; the tall chimneys outside the main buildings

    give a peculiar appearance to villages. Pulse, maize, tobacco,

    millet, and wheat, and latterly poppy are common crops. The

    valley of the Nonni is cultivated by the Taguri Manchus, among

    whom six thousand six hundred families of Yakutes settled in

    1687, when they emigrated from Siberia. The Korchin Mongols

    occupy the country south and west of this valley. Some

    of its streams produce large pearls. The region lying between

    the Sialkoi Mountains and the River Argun is rough and sterile,

    presenting few inducements to agriculturalists. Fish abound

    in all the rivers, and furs are sought in the hills. Pasturage is

    excellent in the bottoms. Fairs, between the natives and Cossacks,

    are constantly held at convenient places on the Argun

    and other rivers. The racial distinction between the Mongols

    and Manchus is here seen in the agricultural labors of the latter,

    so opposed to the nomadic habits of the former. This

    region has, within the last half century, attracted Chinese settlers

    from Shantung and Chihli. These colonists are fast filling

    up the vacant lands along the rivers, dispossessing the Manchus

    by their thrift and industry, and making the country far more

    valuable. They will in this way secure its possession to the

    Peking Government, and bring it, by degrees, under Chinese

    control, greatly to the benefit of all. In early days the policy

    of the Manchus, like that of the E. I. Company in India towardg

    British immigration, discountenanced the entrance of Chinese

    settlers, and in both cases to the disadvantage of the ruling

    power.

    The administration of Manchuria consists of a supreme civil

    200 THE MIDDLE KINGDOM.

    government at Mukden, and three provincial military one.’-,

    though Shingking is under both civil and military. There are

    live Boards, each under a president, whose duties are analogous

    to those at Peking. The oversight of the city itself is under a

    fiiyia or mayor, superior to the prefect. The three provinces

    are under as many marshals, whose subordinates rule the conimanderies,

    and these last have garrison officers subject to them,

    whose rank and power correspond to the size and importance of

    their districts. These delegate part of their power to ” assistant

    directors,” or residents, who are stationed in every town ; on

    the frontier posts, the officers have a higher grade, and report

    directly to the marshals or their lieutenants. All the officers,

    both civil and military, are Manchus, and a great portion of

    them belong to the imperial clan, or are intimately connected

    with it. By this arrangement, the Manchus are in a measure

    disconnected with the general government of the provinces,

    furnished wnth offices and titles, and induced to recommend

    themselves for promotion in the Empire by their zeal and fidelity

    in their distant posts.’

    Mongolia is the first in order of the colonies, by which are

    meant those parts of the Empire under the control of the Ll-fan

    Yaen, or Foi’eign Office.” According to the statistics of the

    Empire, it comprises the region lying between lats. 35° and 52°

    X., and from long. 82° to 123° E. ; bounded north by the

    Russian governments of Trans-Baikalia, L’kutsk, Yeniseisk,

    Tomsk, and Semipolatinsk ; northeast and east by Manchuria

    ;

    south by the provinces of Chihli and Shansi, and the Yellow

    River ; southwest by Kansuh ; and west by Cobdo and Ili.

    These limits are not very strictly marked at all points, but the

    lengtli from east to west is about seventeen hundred miles,

    and one thousand in its greatest breadth, inclosing an area of

    ‘ Rev. Alex. Williamson, Travels in Northern China. London, 1870.

    Vol. II., Chaps. I. to XIV. ; Chinene Reposltorij, Vols. IV., p. 57 ; XV., p. 454 -,

    Phinene Itecorder, Vol. VII., \HH\, ” The Ris« and Progress of the Maujows,”

    by J. Ross, pp. 155, 2;}5, and ;515.

    ” Compare Niebuhr’s Flistori/ of Rome, Vol. II., Sect. “Of the Colonies,”

    where can be observed the essential differences between Roman settlements

    abroad and those of the Chinese ; and still greater differences will be fonnd in

    contrasting these with the offsets of Grecian States.

    CLIMATE AXU DIVISIOXS OF MONGOLIA. 201

    1,400,000 square miles, supporting an estimated population uf

    two millions. This elevated plain is almost destitute of wood

    or water, inclosed southward by the mountains of Tibet, and

    northward by offsets from the Altai range. The central part

    is occupied by the desert of Gobi, a barren steppe having an

    average height of 4,000 feet above the sea level, and destitute

    of all running water. Owing to its elevation, extremely vari.:-

    l)le climate, and the absence of oases, it may be considered quite

    as terrible as Sahara, although the sand-waste liere is, perhaps,

    hardly as unmitigated.

    The climate of Mongolia is excessively cold for the latitude,

    arising partly from its elevation and dry atmosphere, and, on

    the steppes, to the want of shelter from the winds. But this

    has its compensation in an unclouded sky and the genial rays of

    the sun, which support and cheer the people to exertion when

    the thermometer is far below zero. The air has been drained of

    its moisture by the ridges on every side ; day after day the

    sun’s heat reaches the eartli with smaller loss than obtains in

    moister regions in the same latitudes. Otherwise these wastes

    would support no life at all at such an elevation. In the districts

    bordering on Chihli, the people make their houses partly

    under ground, in order to avoid the inclemency of the season.

    The soil in and upon the confines of this high land is unfit for

    agricultural purposes, neither snow nor rain falling in suflicient

    quantities, except on the acclivities of the mountain ranges ;

    but millet, barley, and wheat might be raised north and south

    of it. The nomads rejoice in their freedom from tillage, however,

    and move about with their herds and possessions Avithin

    the limits marked out by the Chinese for each tribe to occupy.

    The space on the north of Gobi to the confines of Russia,

    about one hundred and fifty miles wide, is warmer than the

    desert, and supports a greater population than the southern

    sides. Cattle arc numerous on the hilly tracts, but none are

    found in the desert, where wild animals and birds hold undisputed

    possession. The thermometer in winter sinks to thirty

    and forty degrees below zero (Fr.), and sudden and great

    changes are frequent. Xo month in the year is free from snow

    or frost ; but on the steppes, the heat in summer is almost

    202 THE MIDDLE KINGDOM.

    intolerable, owing to the radiation from the sandy or stony

    surface. The snow does not fall very deep, and even in cold

    weather the cattle find food under it ; the flocks and herds are

    not, however, large.

    The principal divisions of Mongolia are four, viz. : 1, Inner

    Mongolia, lying between the Wall and south of the desert ; 2,

    Outer Mongolia, between the desert and the Altai Mountains,

    and reaching from the Inner Iling-an to the Tien shan ; 3, the

    country about Koko-nor, between Kansuh, Sz’chuen, and Tibet

    ;

    and, 4, the dependencies of Uliasutai, lying northwestward of

    the Kalkas khanates. The whole of this region has been included

    under the comprehensive name of Tartary, and if the

    limits of Inner and Outer Mongolia had been the bounds of Tartary,

    the appellation would have been somewhat appropriate.

    But when Genghis arose to power, he called his own tribe

    Kitkai Mongol^ ‘ Celestial People,’ and designated all the

    other tribes Tatars^ that is ‘ tributaries.’ ‘ The three tribes of

    Kalkas, Tsakhars, and Sunnites, now constitute the great body

    of Mongols under Chinese rule.

    Inner Mongolia, or Nui MunyJcu, is bounded north by

    Tsitsihar, the Tsetsen khanate, and Gobi, their frontiers being

    ‘ Abulgasi-Bayadui-clian (lIi»toire Genenlogique des Tatars, traduite du

    Manuscript Tartare ; Leyde : 172G), gives another derivation for these two

    names. ” Alanza-chan eut deux lils jumeaiix I’un appelle Tatar and I’autre

    Mogull oil pour bien dire Muiig’l, entre les quels il partagea ses Estates lorsqu’il

    se vit sur la fin de sa vie.” It is the first prince, he adds, from whom

    came the name Tartar—not from a river called Tata, as some liave .stated—

    wliile of the second : ” Le terme Mung’l a ests change par une corruption generale

    en Mogull ; Mung vent dire trMe on un homme triste, et i)aroeque ce

    prince estoit naturellement d’une humeur fort triste, il porta ce nom dans la

    verite”—(pp. 27-29). But Visdelon (D’Herbelot, ed. 1778, Tome IV., p. 327)

    shows more acquaintance with their history in producing proofs that the name

    Tatar was applied in the eightli century by the Chinese to certain tribes living

    north of the in shan, Ala shan, and River Liau. In the dissensions following

    upon the ruin of the Tang dynasty, some of them migrated eastwards beyond

    the Songari, and there in time rallied to subdue the northern provinces,

    under the name of Nu-cldh. These are the ancestors of the Manchus. Another

    fraction went north to the marshy banks of Lakes Hurun and Puyur,

    where they received the name of Moungul Tahtsz\ i.e., Marsh Tatars. This

    tribe and name it was that the warlike Genghis afterwards made conspicuous

    The sound Mogul used in India is a dialectal variation.

    TRIBES OF INNER MONGOLIA. 203

    almost luidefinable ; east by Ivirin and Sliingking ; south hy

    Chihli and Shansi ; and west by Kansuli. Wherever it runs

    the Wall is popularly regarded as the boundary between China

    and Mongolia. The country is divided into six m/’nj or clialkans^

    like our corps, and twenty-four aimahs ‘ (tribes), which are

    again placed under forty-nine standards or Ihochoun^ each of

    which generally includes about two thousand families, commanded

    l)y hereditary princes, or dsassaks. The principal

    tribes are the Kortchin and Ortous. The large tribe of the

    Tsakhars, which occupies the region north of the Wall, is governed

    by a tatanfj, or general, residing at Kalgan, and their

    pasture gi-ounds are now nominally included in the province of

    Chihli. The province of Shansi in like manner includes the

    lands occupied by the Toumets, who are under the control of a

    general stationed at Suiyuen, beyond the Yellow E-iver. In the

    pastures northwest from Kalgan, in the vicinity of Lakes

    Chazau and Ichi, and reaching more than a hundred miles from

    the Great Wall, lie the tracts appropriated to raising horses for

    the ” Yellow Banner Corps.” Excepting such grazing lands or

    the vast hunting grounds near Jeh-lio, reserved in like manner

    by the government, small settlements of Chinese are continually

    squatting over the plains of Inner Mongolia, from whence they

    have already succeeded in driving many of the aboriginal Mongol

    tribes off to the north. Those natives who will not retire

    are fain to save themselves from starvation or absorption by

    cultivating the soil after the fashion of their neighbors, the

    Chinese immigrants. It was, indeed, this influx of settlers

    which led Ivanghi to erect the southern portion of Inner Mongolia

    into prefectures and districts like China Proper. This

    alteration of habits among its population seems destined, ere

    long, to modify the aspect of the country.

    Most of the smaller tribes, except the Ortous, live between

    the western frontiers of Manchuria, and the steppes reaching

    north to the Sialkoi range, and south to Chahar. These tribes

    are peculiarly favored by the Manchus, from their having joined

    them in their conquest of China, and their leading men are

    ‘ Abulgasi (p. 8:’) fviniislies a notice of these aiinaks and their origin.

    204 thp: middle kingdom.

    often promoted to liigh stations in the government of the

    country.

    OcjTEK Mongolia, or Wal Muivjhu^ is the wild tract Iving

    north of the last as far as Russia. It is bounded north bv

    Russia, east by Tsitsihar, southeast and south by Inner Mongolia,

    southwest by Bai’kul in Kansuli, west by Tarbagatai,

    and northwest by Cobdo and Uliasutui. The desert of CJobi

    occupies the southern half of the i-egion. It is divided into

    four lu^ or circuits, each of which is governed by a khan or

    prince, claiming direct descent fi’om Genghis, and superintending

    the internal management of his own khanate. The Tsetseu

    khanate lies west of Ilurun-pir in Tsitsiliar, extending from

    Russia south to Inner Mongolia. West of it, reaching from

    Siberia across the desert to Inner Mongolia, lies the Tuchetu

    (or Tut<letii of Klaproth’) khanate, the most considerable of the

    four ; the road fi’om Iviakhta to Ivalgan lies within its borders.

    “West of the last, and bounded south by Gobi and northeast

    by Uliasutai, lies the region of the Kalkas of Sainnoin ; and on

    its northwest li(3S the Dsassaktu khanate, south of Uliasutai,

    and reaching to Barkul and Cobdo on the south and west. All

    of them are politically under the control of two IManchu residents

    stationed at I’rga, who direct the mutual interests of the

    Mongols, Chinese, and Russians.

    Ilrga, or Ivuren, the capital, is situated in the Tuchetu khanate,

    in lat. 48° 20′ X., and long. 1()T^° E., on the Tola River, a

    branch of the Selenga. It is the largest and most important

    place in Mongolia, and is divided into ^fahiia’i cJi’tn, the Chinese

    quartei’, and Jhxjdo-Iviu’c’ii^ the Mongol settlement, nearly

    three miles from the other. Its total population is estimated at

    30,000, the Chinese inhabitants of M’hich are forbidden by law

    to live with their families ; of the Mongols here, by far the larger

    part is composed of lamas. In the estimation of these people

    Ilrga stands next to Il’lassa in degree of sanctity, being the seat

    of the third person in the Tibetan 2)atriarchate. According to

    the Lama doctrine this dignitary—the Kutuktu—is the terrestrial

    impersonation of the Godhead and never dies, but passes.

    ‘ Meinoires, Tome I., p. 3.

    OUTER MONGOLIA. 205

    after lils apparent decease, into the body of some newly born

    boy, who is songlit for afterwards according to the prophetic

    indications of the Dalai-lania in Tibet. Tliis holy potentate,

    thongh of limited education and entirely nnder the control of

    the attendant lamas, exercises an nnbonnded influence over the

    Kalkas. It is, indeed, by means of him that the Chinese officials

    control the native I’aces of Mongolia. His wealth, owing to

    contributions of enthusiastic devotees, is enoi-mous ; in and

    about Urga he owns 150,000 slaves, an abundance of worldly

    goods, and the most pretentious palace in Mongolia. Outside

    of its religious buildings, Urga is disgustingly dirty ; the filth

    is thrown into the streets, and the habits of the people are

    loathsome. Decrepid beggars and starving dogs infest the

    Avays ; dead bodies, instead of being interred, are flung to birds

    and beasts of prey ; Imts and liovels afford shelter for both rich

    and poor.*

    The four khanates constitute one ahaah or tribe, subdivided

    into eighty-six standards, each of which is restricted to a certain

    territory, within which it wanders about at pleasure. There

    are altogether one hundred and thirty-five standards of the

    Mongols. The Kalkas chiefiy live between the Altai Mountains

    and Gobi, but do not cultivate the soil to much effect.

    They are devoted to Buddhism, and the lamas hold most of the

    power in their hands through the KatfiMu. They render an

    annual tribute to the Emperor of horses, camels, sheep, and

    other animals or their skins, and receive presents in return of

    many times its value, so that they are kept in subjection by

    constant bril)ing ; the least restiveness on their part is visited

    by a reduction of presents and other penalties. An energetic

    government, however, is not wanting in addition. The supreme

    tribunal is at Urga ; it is the yaiiiKii, par excellence, and has

    both civil and military jurisdiction. The decisions are subject

    to the revision of the two Chinese residents, and sentences

    are usually carried into execution after their confirmation.

    The punishments are horribly sev^ere ; but only a decided

    ‘ Prejevalsky, Monrjolia, Vol. I. ; Pumpelly, Across America, pp. 382-385 ;

    Michie, Across Siberia.

    206 THE MIDDLE KINGDOM.

    and cruel hand over these wild tribes can keep them from constant

    strife.

    Letters are encouraged among them by the Manchus, but

    Avith little success. Many Buddhist books have been translated

    into Mongolian by order of the Emperors ; nor can we wonder

    at the indifference to literature when this stuff is the aliment

    ])rovided them. Their tents, or yu/’ts, are made of wooden

    laths fastened together so as to form a coarse lattice-work ; the

    framework consists of several lengths securer! with ropes, leaving

    a door about three feet square. The average size is twelve

    feet across and ten feet high ; its shape is round and the conical

    roof admits light where it emits smoke. The poles or rafters

    are looped to the sides, and fastened to a hoop at the top.

    Upon this framework sheets of heavy felt are secured according

    to the season. A hearth in the centre holds the fire which

    heats the kettle hanging over it, and warms the inmates squatted

    round, who usually place only felt and sheepskins under

    them. The felt protects from cold, rain, snow, and heat in a

    wonderful manner. A first-class yiwt is by no means an uncomfortable

    dwelling, with its furniture, lining, shrine, and hot

    kettle in the centre. A carpet for sleeping and sitting on is sometimes

    seen in yurts of the wealthier classes; in these, too, the

    walls are lined with cotton or silk, and the floors are of wood.

    The lodges of the rich Kalkas have several apartments, and are

    elegantly furnished, but destitute of cleanliness, comfort, or

    airiness. Most of their cloths, utensils, and arms ai’o procured

    from the Chinese. The Sunnites are fewer than the Kalkas,

    and roam the wide wastes of Gobi. Both derive some revenue

    fi’om conducting caravans across their counti-y, but depend for

    their livelihood chiefly upon the produce of their herds and

    hunting. Their princes are obliged to reside in Urga, or keep

    hostages there, in order that the residents nuiy direct and restrain

    their conduct ; but their devotion to the Katitktu^ and

    the easy life they lead, are the strongest inducements to remain.

    The trade with Tlussia formerly all passed through Iviakhta,

    a town near the frontier, and was carried on by special agents

    and officials appointed by each nation. The whole business

    was managed in the interest of the govermnent, and its ramiK-

    IAKHTA AND THE TRADE WITH RUSSIA. 207

    fications furnished employment, position, and support to so

    many persons as to form a bond of union and guaranty of peace

    between them and their subjects. Timkowski’s jonrney with

    the decennial mission to Peking in 1820-21 furnishes one of

    the best accounts of this trade and intercourse now accessible,

    and with Klaproth’s notes, given iti the English translation

    published in 1827, has long been the chief reliable authority

    for the divisions and organization of the Mongol tribes. Since

    the opening of the Suez Canal, through which Russian steamers

    carry goods to and fro between Odessa and China, the largest

    portion of the Chinese produce no longer goes to Kiakhta.

    That which is required for Siberia is sent from Hankow by way

    of Shansi’, or from Kalgan and Tientsin, under the direction of

    Russian merchants at those places. Furs, which once formed

    the richest part of this produce, are gradually diminishing in

    quality and quantity wdth the increase of settlers. In 1843 the

    export of black tea for Russian consumption was only eight

    millions of pounds, besides the brick tea taken by the Mongols.

    Cottrell states the total value of the trade, annually, at that

    period, at a hundred millions of rubles, reckoned then to be equal

    to $20,830,000, on w^hich the Russians paid, in 1836, about

    $2,500,000 as import duty. The data respecting this trade of

    forty years ago are not very accurate, probably ; the monopoly

    was upheld mostly for the benefit (.>f the officials, as private

    traders found it too much burdened.

    Kiakhta is a haudet of no importance apart from the trade.

    The frontier here is marked by a row of granite columns ; a stockade

    separates it from Maimai chin. Pumpelly says : ” One

    can hardly imagine a sharper line than is here drawn. On the

    one side of the stockade wall, the houses, churches, and people

    are European, on the other, Chinese. With one step the traveller

    passes really from Asia and Asiatic customs and language,

    into a refined European society.’” The goods pay duty at the

    Russian douane in a suburb of fifty houses, near Kiakhta. The

    Chinese town is also a small place, numbering between twelve

    and fifteen hundred men (no women being allowed in the settlement)

    who lived in idleness most of the year. This curious

    haudet has two principal streets crossing at right angles, and gates at the four ends, in the wooden muU which surrounds it.

    These streets are badly paved, while their narrowness barely allows the passage of two camels abreast. The one-storied houses are constructed of wood, roofed Avith turf or boards, and consist of two small rooms, one used as a shop and the other as a bedroom. The windows in the rear apartment are made of oiled paper or mica, but the door is the only opening in the shop.

    The dwellings are kept clean, the furniture is of a superior description, and considerable taste and show are seen in displaying the goods. The traders live hixuriously, and attract a great crowd there during the fair in February, when the goods are exchanged. They are under the control of a Manchu, called the dzargneh’i, who is appointed for three years, and superintends the police of the settlement as Mell as the commercial proceedings. There are two Buddhist temples here served by lamas, and containing five colossal images sitting cross-legged, and numerous smaller idols.’

    The western portion of Mongolia, between the meridians of

    84^ and *JG^ E., extending from near the western extremity of

    Kansuh province to the confines of Russia, comprising Uliasutai

    and its dependencies, Cobdo, and the Kalkas and Tom–gouths of the Tangini JNEountains, is less kiunvn than any other part of it. The residence of the superintending officer of this province is at [Tliasutai (i.e., ‘ Poplar drove ‘), a tt»wn lying northwest of the Seleuira, in the khanate of Sainnoin, in a wiill cultivated and pleasant valley.

    Conno, according to the ( 1iin(\se ma])s, lies in the northwest of Mongolia ; it isbounded north and west by the government Yeniseisk, northeast by I’lianghai, and southeast by the Dsassakt.i khanate, south by Kansidi, and west by Tarbagatai. The part occupied by the Ulianghai or Fi-iyangkit tribes of the Tangmi ^lountains lies northeast of ( ‘olxlo, and nctrth of the Sainnoin and Dsassaktu khanates, and separated from Kussia by the Altai.

    These tribes are allied to the Samoj^eds, and the i ule over th(Mn is ^CoiirAV?, Recollections of Sibena, Chap. IX., p. 314; Timkowski’s T/aveU, Vol. I., ])p. 4-91, 1821 ; PumpHlly, Acnm America and Asia, p. ;]S7, 1871 ; Klapi-oth, Memoires, Toiuu I., p. (Jo ; Kittor, J),’e Erdkuiule run Asien, Bd. II., l>l.. 11)8-1220.

    THE PROVINCE OF COBDO. 200

    administered bv twenty-five siiljordinate military officers, subject

    to the resident at Uliasutai. This city is said to contain

    about two tliousand liouses, is regularly built, and carries on

    some trade with Urga ; it lies on the Iro, a tributary of the

    Jabkan. Cobdo comprises eleven tribes of Kalkas divided into

    thirty-one standards, whose princes obey an amban at Cobdo

    City, himself subordinate to the resident at Uliasutai. The

    Chinese rule over these tribes is conducted on the same principles

    as that over the other IVLjngols, and they all render fealty to

    the Emperor through the chief resident at Uliasutai, but liow

    much obedience is really paid his orders is not known. The

    Kalkas submitted to the Emperor in 1688 to avoid extinction in

    their war with the Eleuths, by whom they had been defeated.

    Cobdo contains several lakes, many of which I’eceivc rivers without having any outlet. The largest is Upsa-nor, which receives from the east the Kiver Tes, and the Iki-aral-nor into which the Jabkan runs. The Hiver Irtysh falls into Lake Dzaisang.

    The existence of so many rivers indicates a more fertile country north of the Altai or Ektag Mountains, but no bounties of nature would avail to induce the inhabitants to adopt settled modes of living and cultivate the soil, if such a clannish state of society exists among them as is described by M. Levchine to be the case among their neighbors, the Kirghis.

    The tribes in Cobdo resemble the American Lidians in their habits, disputes, and modes of life, more than the eastern Kalkas, who approximate in their migratory character to the Arabs.

    The province of Qinghai, or Koko-nor (called Tsok-gumbam by the Tanguts), is not included in Mongolia by European geographers, nor in the Chinese statistical works is it comprised within its borders ; the inhabitants are, however, mostly Mongols, both Buddhist and Moslem, and the government is conducted on the same plan as that over the Kalkas tribes further north.

    This region is known in the histories of Central Asia under the names of Tangout, Sifan, Turfan, etc. On Chinese maps it is politically called Qinghai(‘Azure Sea’), but in their books is named Si Tn or Si Yi/t, ‘ western Limits.’ The borders are now limited on the north by Kansuh, southeast by Sz’chuen, south by Anterior Tibet, and west by the desert, comprising about four degrees of latitude and eleven of longitude. It includes within its limits several large lakes, which receive rivers into their bosoms, and many of them having no outlets.

    The Azure Sea is the largest, lying at an altitude of 10,500 feet and overlooked by high mountains, which in winter are covered with snow, and in summer form an emerald frame that deepens the blueness of the Avater. . It is over 200 miles in circuit, and its evaporation is replaced by the inflowing waters of eight large streams ; oue small islet contains a monaster}’, whose inmates are freed from their solitude only when the ice makes a bridge, as no boat is known to have floated on its salt

    water. The wide, moist plains on the east and west furnish

    pasturage for domestic and wild animals, and constant collisions

    occur between the tribes resorting there for food. The travels

    of Abbe Hue and Col. Prejevalsky furnish nearly all that is

    known concerning the productions and inhabitants of Koko-nor.

    The country is nominally divided into thirty-four banners, and

    its Chinese rulers reside at Si’ning, east of the lake ; but they

    have more to do in defending themselves than in protecting

    their subjects. The Avhole country is occupied by the Tanguts

    of Til)etan origin, who are brigands by profession, and roam

    over the mountains around the headwaters of the Yangtsz’ and

    Yellow Kivers ; by the Mohammedan Dunganis, who have latterly

    been nearly destroyed in their recent rebellion ; and by

    tribes of Mongols under the various names of Eleuths, Kolos,

    Kalkas, Surgouths, and Koits. The Chinese maps are filled

    with names of various tribes, but their statistical accounts are as

    meagre of information as the maps are deficient in accurate and

    satisfactory delineations.

    THE PROVINCE AND LAKE OF KOKO-NOR. 211

    The topographical features of this region are still imperfectly known, and its inhospitable climate is rendered more dangerous by man’s barbarity. High mountain masses alternate with narrow valleys and a few large depressions containing lakes ; the country lying south of the Azure Sea, as far as Burmah, is exceedingly mountainous. “West and southwest of the lake extends the plain of Chaidamu, which at a recent geological age has been the bed of a huge lake; it is now covered with morasses, shaking bogs, small rivers, and sheets of water—the most considerable of the latter bemg Lake Kara, in the extreme western portion.

    The saline argillaceous soil of this region is not adapted to vegetation. Large animals are scarce, due in part to the plague of

    insects which compels even the natives to retreat to the mountains

    with their herds during certain seasons. Its inhabitants

    are the same as those of Eastei-n Koko-nor ; thej are divided

    into five banners, and number about 1,000 yurts^ or 5,000 souls.

    The Burkhan-buddha range forms the southern boundary of

    this plain, and the northernmost limit of the lofty plateau of

    Tibet. Its length from east to west is not far from 130 miles,

    its eastern extremity being near the Yegrai-ula (the near sources

    of the Yellow Eiver) and Toso-nor. The range has no lofty

    peaks, and stretches in an unbroken chain at a height of 15,000

    to 16,000 feet ; it is terribly barren, but does not attain the

    line of perpetual snow. The southern range, which separates

    the headwaters of the Yellow and Yangtsz’ Rivers, is called the

    Bayan-kara Mountains ; that northw^est of this is called on

    Chinese maps, Kilien shan and Kan shan, and bounds the desert

    on the south. On the northern declivities of the T^an shan

    range are several towns lying on or near the road leading across

    Central Asia, which leaves the valley of the Yellow Eiver at

    Lanchau, in Kansuh, and runs X.X.W. over a rough country to

    Liangchau, a town of some importance situated in a fertile and

    populous district. From this place it goes northwest to Kanchau,

    noted for its manufactures of felted cloths which are in

    demand among the Mongol tribes of Koko-nor, and where large

    quantities of rhubarb, horses, sheep, and other commodities are

    procured. Going still northwest, the traveller reaches Suhchau,

    the last large place before passing the Great Wall, which renders

    it a mart for provisions and all articles brought from the

    west in exchange for the manufactures of China. This city

    was the last stronghold of the Dungani Moslems, and when

    they were destroyed in 1873 it began to revive out of its ruins.

    About fifty miles from this town is the pass of Kiayii, beyond

    which the road to Hami, Urumtsi, and 111 leads directly across

    the desert, here about three hundred miles wide. This route

    has been for ages the line of internal communication between the west of China and the regions lying around and in the basins of the Tarini river and the (‘asi)ian.’ A better idea of the security of traffic and caravans within the Empire, and consequently of the goodness of the Chinese rule, is obtained by comparing the usually safe travel on this route with the hazards, robberies, and poverty formerly met with on the great roads in ]5okhara, and the regions south and west of the Belur tag.

    The productions of Koko-nor consist of grain and other vegetables raised along the bottoms of the rivers and margins of the lakes ; sheep, cattle, horses, camels, and other aninuds. Alpine liares, wild asses,’ wild yaks, vultures, lammergeiers, pheasants, antelopes, wolves, mountain sheep, and wild camels are among the denizens of the wilds. The Chinese have settled among the tribes, and Mohammedans of Turkish origin are found in the large towns. There are eight corps between Koko-nor and

    Iliasutai, comprising all the tribes and banners, and over which

    are placed as many supreme generals or commanders appointed

    from Peking. The leading tribes in Ivoko-nor are Eleuths,

    Tanguts, and Tourbeths, the former of M’hom are the remnants

    of one of the most powerful tribes in Centi-al Asia. Tangout

    submitted to the Emperor in 1G90, and its population since the

    incorporation has greatly increased. They iidiabit the hilly region

    of Kansuh, Ivoko-nor^ Eastern Tsaidam, and the basin of

    the Upper Yellow Kiver. They resemble gipsies, being above

    the average in height, with thick-set features, broad shoulders,

    liair and whiskers, black, dark eyes, nose straight, lips thick

    and protruding, face long and never flat, skin tawny. Unlike

    the Mongols aiul Chinese they have a strong growth of beard

    and whiskers which, however, they always shave. They wear

    no tail, Ijut shave their heads; their dress consists of furs and

    cloths made into long coats that reach to the knees. Shirts or

    trowsers are not made use of ; their upper logs are generally

    left bare. Women dress like the men. Their habitations are wooden huts or black cloth tents. The Tangut is cunning,

    ‘Compare Richthofen, China, Band I., 2or Thoil. ; Yulo, Cathaij and t/ie Way Thither, passim.

    •The wild ass is called by Prejevalsky the most remarkable animal of these steppes. Compare Yule’s Marco Polo, Vol. I., p. 220 (2d edition).

    THE TANGUTS AND NOMADS OF KOKO-NOR. 218

    stingy, lazy, and sliiftless. His sole occupation that of tending

    cattle (yaks). He is even more zealous a Buddhist than are the

    Mongols, and extremely superstitious.” The trade at Sining is

    large, but not equal to that between Yunnan and Burniah at

    Tall and Bhamo ; dates, rhubarb, chowries, precious stones, felts,

    cloths, etc., are among the commodities seen in the bazaar. It

    lies about a hundred miles from the sea, at an elevation of

    V,800 feet, and near it is the famous laraasary of Ivunibum,

    where MM. Hue and Gabet lived in 1845. The town is well

    situated upon the Sining ho, and though constructed for the

    most part of wood, presents a fine appearance owing to the

    number of official buildings therein. The population numbers

    some 00,00(1 souls.”

    ‘ For a notice of the Ouigours, who formerly ruled Tangout, consult Klaproth, Memmres, Tome II., p. 301, if. See also Remusat, Nouveaux Melanges Asiati’ques, Tome II., p. 61, for a notice of the Ta-ta tung’o, who applied their letters to write Mongolian.

    * Chinese Repository, Vol. IX., p. 113; Vol. I., p. 118. Penny Cyclopaedia, Arts. Bayan Kara, Tangut. Kreitner, Imfemen Osten, p. 703. Hue, Tr^i*-els, passim.

    The towns lying between the treat Wall and ill, though politically belonging to Xansuh, are more connected with the colonies in their form of government than with the Eighteen Provinces. The first town beyond the Kiayii Pass is Yulimim, distant about ninety miles, and is the residence of officers, who attend to the caravans going to and from the pass. It is represented as lying near the junction of two streams, which flow northerly into the Purunki. The other district town of Tunhwang lies across a mountainous country, upwards of two hundred miles distant. The city of Xgansi chau has been built to facilitate the communication across the desert to Hami or Kamil, the first town in Songaria, and the depot of troops, arms, and munitions of Avar. “With the town of Hami,” says an Austrian visitor in these regions, ” the traveller comes upon the southern foot-hills of the Tien shan, and the first traces of Siberian civilization. Magnificent mountain scenery accompanies him on his way toward the west to the Pussian line. In the government of Semipolatinsk are the express mail-wagons wliicli stand ready at his order to carry him at furious speed to the town of the same name, then to the right bank of the River Irtjsh, and so to Omsk.” ‘ This route and that stretching towards the southwest bring an important trade to llanii ; the country around it is cuUivated by poor Mongols.” Barkul, or Chinsi fu, in hit. 43° 40′ ]X., and long. 93° 30’ E., is the most important place in the department ; the district is called Iho hien. A thousand Manchus, and three thousand Chinese, guard the post. The town is situated on the south of Lake Barkul, and its vicinity receives some cultivation, llami and Turfan each form a ihi(j district in the southeast and west of the department. The trade at all these places consists mostly of articles of food and clothing.

    Urumtsi, c)r Tih-hwa chau (the Bivh-halih of the Ouigours in 1100 % in hit. 43° 45′ N., and long. 89° E., is the westernmost department of Kansuh, divided into three districts, and containing many posts and settlements. In the war with the Eleuths in 1770, the inhabitants around this place were exterminated, and the countiy afterwards repeopled by upwards of ten thousand troops, with their families, and by exiles; emigrants from Kansuh were also induced to settle there. The Chinese accounts

    speak of a high monntain near the city, always covered

    with ice and snow, whose base is wooded, and abounding with

    pheasants ; coal is also obtained in this region. The cold is

    great, and snow falls as late as July. Many parts produce

    grain and vegetables. All this department formerly constituted

    a portion of Songaria. The policy of the Chinese government

    is to induce the tribes to settle, by placing large bodies of troops

    with their families at all important points, and sending their

    exiled criminals to till the soil ; the Mongols then find an increasing demand for their cattle and other products, and are induced to become stationary to meet it. So far as is known, this policy had succeeded well in the regions beyond the Wall, and those around Koko-nor ; but the rebellion of the Dunganis, who arose in these outlying regions at the moment when the energies of the Peking government were all directed to suppressing the Tai-ping insurrection, destroyed these improvements, and frustrated, for an indefinite period, the promising development of civilization among the inhabitants.

    ‘ Lieut. Krcitner, Imfernen Osten.

    ” In Remusat’s Ilii^toire de la VUle de Khotun (p. 70) there is an account of a journey made in the lOth century between Kanchan and Klioten.

    ^ Remusat calls it PciUiUope. Nouveaux MelamjeSy Tome I., p. 5.

    DIVISIONS AND BOUNDARIES OF ILI. 215

    That part of the Empire called Ili is a vast region lying on

    each side of the Tien shan, and including a tract nearly as large

    as Mongolia, and not much more susceptible of cultivation. Its

    limits may be stated as extending from lat. 36° to 49° K., and

    from long. 71° to 96° E., and its entire area, although difficult

    to estimate from its irregularity, can hardly be less than 900,000

    square miles, of which Songaria occupies rattier more than onethird.

    It is divided into two Lu^ or ‘ Circuits,’ viz., the Tien

    shan Pell Lu, and Tien shan Nan Lu, or the circuits north and

    south of the Celestial Mountains. The former is commonly

    designated Songaria, or Dzungaria, from the Songares or

    Eleuths, who ruled it till a few scores of years past, and the latter

    used to be known as Little Bokhara, or Eastern Turkestan.

    tli is bounded north by the Altai range, separating it from

    the Kirghls ; northeast by the Irtysh Piver and Outer Mongolia

    ; east and southeast by ITrumtsi and Barkul in Ivansuh ;

    south by the desert and the Ivwanlun range ; and west by the

    Belur-tag, dividing it from Badakshan and Russian territory.’

    ‘ The recent treaty between Russia and China (ratified in 1881), marks the boundaries between Ili and Russian territory in the following sections: Art. VII. A tract of country in the west of Ili is ceded to Russia, where those who go over to Russia and are thereby dispossessed of their land in tli may settle. The boundary line of Chinese tli and Russian territory will stretch from the Pieh-chen-tao [Bedschin-tau] Mountains along the course of the Hocrh-kwo-ssU [Yehorsos] River, to its junction with the Ili River, thence across the 111 River, and south to the east of the village of Kwo-li-cha-ti”‘ [Kaldschatl on the Wu-tsung-tau range, and from this point south along the old boundary line fixed by the agreement of Ta-Cheng [Tashkend] in the year 1864.

    Art. VIII. The boundary line to the east of the Chi-sang lake, fixed iu the year 1864 by the agreement of Ta-Cheng [Tashkend], having proved unsatisfactory, high officers will be specially deputed by both countries jointly to examine and alter it so that a satisfactory result may be attained. That there may be no doubt what part of the Kliassak country belongs to China and what to Russia, the boundary will consist of a straight line drawn from the Kwei Tung Mountains across the Hei-i-erh-te-shih River to the Sa-wu-crh range, and Ill lenoftli, the Northern Circuit extends about nine hundred miles, and the width, on an average, is three hundred miles. The Southern Circuit reaches nearly twelve hundred and fifty miles from west to east, and varies from three hundred to five hundred in breadth, as it extends to the IvM’unhm range on the south. There is probably most arable land in the Northern Circuit.

    Ili, taken north of the Tarim basin, may be regarded as an

    inland isthmus, extending southwest from the south of Siberia,

    off between the Gobi and Caspian deserts, till it reaches the

    Hindu Kush, leading down to the valley of the Indus. The

    former of these deserts incloses it on the east and south, the

    other on the west and northwest, separated from each other by

    the Belur and Muz-tag ranges, which join with the Tien shan,

    that divide the isthmus itself into t\\o parts. These deserts

    united are equal in extent to that of Sahara, l)ut are not as arid

    and tenantless.

    This region has some peculiar features, among which its great

    elevation, its isolation in respect to its water-courses, and the

    character of its vegetation, are the most remarkable. Songaria

    is especially noticeable for the many closed river-basins which

    occur between the Altai and Tien shan, among the various

    liiinor ranges of hills, each of which is entirely isolated, and

    containing a lake, the receptacle of its drainage. The largest

    of these singular basins is that of the Kiver 111, which runs

    about three hundred miles westward, from its rise in the Tien

    shan (lat. 85°) till it falls into Lake Balkash, which also receives

    some other streams ; the superficies of the whole basin is about forty thousand square miles. The other lakes lie northeastward of Balkash ; the largest of them are the Dzaisang, which receives the Irtysh, the Kisilbasli, into which the ITrungu the liigli of Beors deputed to settle the boundiuy will fix the iit>\v boundary .along such straight line which is within the old bounchxry.

    Art. IX. As to the boundary on the west, between the Province of Fei-rrhkan[Ferghana], which is subject to Russia, and Chinese Kashgar, officials will be deputed V)y both countries to examine it, and they will fix the boundary line between the territories at present actually under the jurisdiction of either country, and they will erect boundary stones thereon.

    TOPOGRAPHY OF ILI. 217

    flows, and four or five smaller ones between them, lying north

    of the city of III. Lake Tenmrtu, or Issik-kul, lies now just

    beyond the southwestern part of this Circuit, and was until

    recently contained therein. This sheet of water is deep and

    never freezes ; it is brackish, but full of fish ; the dimensions

    are about one liundred miles long, and thirty-five wide ; its

    superabundant waters flow oif through the Chu ho into the

    Xirghis steppe.

    The Ala-tau range defines the lake on the north shore. Says

    a Hussian traveller in describing this region, ” It M^ould be difl[icnlt

    to imagine anything more splendid than the view of the

    Tien shan from this spot. The dark blue surface of the Issikkul,

    like sapphire, may M’ell bear comparison with the equally

    blue surface of Geneva Lake, but its expanse—five times as

    great—seeming almost unlimited, and the matchless splendor of

    its background, gives it a grandeur which the Swiss lake does

    not possess. The unbroken, snowy chain liere stretches away

    for at least 200 miles of the length of the Issik-kul ; the sharp

    outlines of the spurs and dark valleys in the front range are

    softened by a thin mist, which hangs over the water and

    heightens the clear, sharp outlines of the white heads of the

    Tien shan giants, as they rise and glisten on the azure canopy

    of a central Asian sky. The line of perpetual snow connnences

    at three-fifths of their slope up, but as one looks, their snowless

    base seems to sink the deeper in the far east, till the waves of

    the lake seem to wash the snowy crests of Ivhan-Tengse.” Forty

    small rivers flow into it, but its size is gradually lessening.’

    Little is known concerning the topography, the productions,

    or the civilization of the tribes who inhabit a large part of Songaria,

    but the efforts of the Chinese government have been

    systematically directed to developing its agricultural resources,

    by stationing bodies of troops, who cultivate the soil, there, and

    by banishing criminals thither, who are obliged to work for and

    assist the troops. It gives one a higher idea of the rulers of

    China, themselves wandering nomads originally, when they are

    seen carrying on such a plan for extending the capabilities of

    these remote parts of their Empire, and teaching, partly by force, partly by bribes, and partly by example, the Mongol tribes under them the advantages of a settled life.

    ‘ Compare also Schuyler, Turkistan, Vol. II., pp. 137 ff

    The productions of Songaria are nnmerons. Wheat, barley,

    rice and millet, are the chief corn stuffs ; tobacco, cotton, melons,

    and some fruits, are grown ; herds of horses, camels, cattle, and

    sheep, afford means of locomotion and food to the people, while

    the mountains and lakes supply game and fish. The inhabitants

    are composed mostly of Eleuths, with a tribe of Tourgouths,

    and remnants of the Songares, together with Mongols, Manchus,

    and Chinese troops, settlers and criminals.

    TiEN-SHAN Peh Lu is divided by the Chinese into three commanderies, llh, on the west, Tarhagatai on the north, and Kurkara usu on the east, between Ili and the west end of Kansuh.

    The government of the ISTorth and South Circuits is under the control of Manchu military officers residing at Ili. This city, called by the Chinese Ilwuiyuen ching, and Gouldja (orlvuldja) and Kuren by the natives, lies on the north bank of the Ili River, in lat. 43° 55′ K., and long. 81^° E. ; it contains about fifty thousand inhabitants, and carries on considerable trade with China through the towns in Ivansuh. The city was defended by six strong fortresses in its neighborhood, and tho solidity of the stone walls enabled it to resist a vigorous assault in the Dungani rebellion. Its circuit is nearly four miles, and two wide avenues cross its centre, dividing it into four equal parts, through each of which run many lanes. Its houses indicate the Turkish origin of its builders in their clay or adobe walls and flat roofs, and this impression is increased by the Junnna mosque of the Taranchis, and the Dungan mosque, outside of the walls. The last has a wonderful minaret built of small roofed pavilions one over another; both of them affect the Chinese architecture in their roofs, and their walls are faced with diamond-shaped tiles. The Buddhist temple has hardly been rebuilt since the city has returned to Chinese rule. The supply of meats and vegetables is constant, and the variety and quality exceed that of most other towns in the region. The population is gradually increasing with the return of peace and trade, but is still under twenty thousand, of which not one-fifth are Chinese and Manchus : the Taranchis constitute half of the whole, and Dunganis are the next in number. The province is the richest and best cultivated of all this reijion of fli : its coal, metals, and fruits are sources of prosperity, and with its return to Chinese sway under new relations in respect to Russian trade, its future is promising.

    TIEN-SHAlSr PEU LU AXD THE TOWX OF KULDJA. 219

    The destruction of life was dreadful at the capture of Kuldja and other towns, which were then left a heap of ruins.’

    Schuyler estimates that not more than a hundred thousand people remained in the province, out of a third of a million in 1860. It is stated in Chinese works that when Amursana, the discontented chief of the Songares, applied, in 1775, to Kienlung for assistance against his rival Tawats or Davatsi, and was sent back with a Chinese army, in the engagements which ensued, more than a million of people were destroyed, and the whole country depopulated. At that time, Knldja was built by

    Kienlung, and soon became a place of note. Outside of the

    town are the barracks for the troops, which consist of Eleuths

    and Mohammedans, as well as ]\[anchus and Chinese. Coal is

    found in this region, and most of the inland rivers produce

    abundance of fish, wliile wild animals and birds are numerous.

    The resources of the country are, however, insufficient to meet

    the expenses of the military establishment, and the presents

    made to the begs, and the deficit is supplied from China.”

    ‘ 175,000 perished in Kuklja alone.
    ” The question of the existence of volcanoes in Central Asia, especially on the Knldja frontier, has always been a matter of doubt and discussion among geologists and Russian explorers. The Governor of Semiretchinsk, General Kolpakofsky, was, in 1881, able to report the discovery of the perpetual fires in the Tien shan range of mountains. The mountain Bai shan was found twelve miles northeast of Kuldja, in a basin surrounded by the massive Ailak mountains ; its fires are not volcanic, but proceed from burning coal. On the sides of the mountain there are caves emitting smoke and sulphurous gas. Mr. Schuyler, in his Turkistan, mentions that these perpetual fires in the mountains, referred to by Chinese historians, were considered by Severtzofif, a Russian, who explored the region, as being caused by the ignition of the seams of coal, or the carburetted h^’drogen gas in the seams. The same author further mentions that Captain Tosnofskey, another Russian explorer, was told of a place in the neighborhood from which steam constantly rose, and that near this crevice there had existed, from ancient times, three pits, where per sons afflicted with rheumatism or skin diseases were in the habit of bathing.

    Subordinate to the control of the commandant at Knldja are nine garrisoned places situated in the same valley, at each of which are bodies of Chinese convicts. The two remaining districts of Tarbagatai and Ivur-kara usu are small compared with 111 ; the first lies between Cobdo and the Kirghis steppe, and is inhabited mostly by emigrants from the steppes of the latter, who render merely a nominal subjection to the gari’isons placed over them, but are easily governed through their tribal rulers. The Tourgouths, who emigrated from Kussia in 1772, into China, are located in this district and Cobdo, as well as in the valleys of the Tekes and Kunges rivers. They have become more or less assimilated with other tribes since they were placed here. In the war with the Songares, many of the people fled from the valley of IK to this region, and after that country was

    settled, they submitted to the Emperor, and partly returned to

    111. The chief town, called Tuguchuk by the Kirghis, and

    Suitsing cliing by the Chinese, is situated not far from the

    southern base of the Tarbagatai Mountains, and contains about

    six hundred houses, half of which belong to the garrison. It

    is one of the nine fortified towns under the control of the commandant

    at Kuldja, and a place of some trade with the Kirghis.

    There are two residents stationed here, with high powers to oversee

    the trade across the frontier, but their duties are inferior

    in importance to those of the officials at Ilrga. 2,500 Manchu

    and Chinese troops remain at this post, and since the conquest

    of the country in 1772 by Kienhmg, its agricniltural products

    have gradually increased under the industry of the Chinese.

    The tribes dwelling in this distant province are restricted within

    certain limits, and their obedience secured by presents. The

    climate of Tarbagatai is changeable, and the cold weather

    comprises more than half the year. The basin of Lake

    Aladvul, or Alaktu-kul, occupies the southwest, and part of the

    Trtysh and Lake Dzaisang the northeast, so that it is well

    watered. The trade consists chiefiy of domestic animals and

    cloths.

    POSITION OF TIEN-SHAN NAN LU. 221

    The town of Kur-kara usu lies on the Ttiver Kur, northeast from Kuldja and oti the road between it and TTrumtsi ; it ia called Kingsui ching by the Chinese. The number of troops stationed at all these posts is estimated at sixty thousand, and the total population of Songaria under two millions.

    The TiEN-SHAN Kan Lit, or Southern C^ircuit of Ili,the territory

    of ‘ the eight Mohammedan cities,’ was named Sin

    Kiang (‘ New Frontier ‘) by Kienlung. It is less fertile than

    the T^orthern Circuit, the greatest part of its area consisting of

    ruffo-ed mountains or barren wastes, barelv affordino; subsistence

    for herds of cattle and goats. The principal boundaries are the

    Kwanlun Mountains, and the desert, separating it from Tibet on

    the south ; Cashmere lies on the southwest, and Badukshan and

    Kokand are separated from it on the west and northwest by

    the Belur-tag, all of them defined and partitioned by the mountain

    ranges over which the passes 12,000 to 16,000 feet high

    furnish both defence and travel according to the season.

    The greater part of this Circuit is occupied with the basin of

    the Tarim or Ergu, which flows from the Belur range in four

    principal branches ‘ (called from the towns lying upon their

    banks the Yarkand, Kashgar, Aksu, and Khoten Rivers), and

    running eastward, receives several affluents from the north and

    south, and falls into Lake Lob in long. 89^ E., after a course,

    including windings, of between 1,100 and 1,300 miles. Of the

    river system from which this stream flows Baron Ilichthofen

    says, ” the region which gives birth to this river is on a scale of

    grandeur such as no other river in the world can boast. It is

    girt round by a wide semicircular collar of mountains of the

    loftiest and grandest character, often rising in ridges of 18,000

    to 20,000 feet in height, while the peaks shoot up to 25,000 and

    even 28,000 feet. The basin which fills in the horse-shoe shaped

    space encompassed by these gigantic elevations, though deeply

    depressed below them, stands at a height above the sea varying

    from 6,000 feet at the margin to about 2,000 in the middle,

    and formed the bed of an ancient sea. From its wall-like sides

    on the south, west, and north, the waters rush headlong down,

    and though the winds blowing from all directions deposit most

    of their moisture on the remoter sides of the surrounding

    ‘ Wood, Jmirney to the Source of the River Oxus, p. 356. From the hills that encircle Lake Sir-i-kol rise some of the principal rivers in Asia : the Yarkand, Kashgar, Sirr, Kuner, and Oxus.

    ranges, viz., the southern foot of the Himalayas, the west side

    of the Paniii-, and the northern slope of the Tien shan, the

    streams formed thereby windhig through the cloud-capped lofty

    cradle-land, and breaking tlirough the mountain chains, reach

    the old ocean bed onlj^ partly well watered. The smallest of

    them disappear in the sand, others flow some distance before

    expanding into a level salt basin and are there absorbed. Only

    the largest, whose munber the Chinese estimate at sixty, unite

    with the Tarim, a river 1,150 miles long, and therefore in

    length between the Khine and Danube, but far surpassing both

    in the massiveness of surrounding mountains, just as it exceeds

    the Daimbe in the extent of its basin. Its tributaries foi-m

    along the foot of the mountains a number of fruitful oases, and

    these by means of artificial irrigation have been converted into

    flourishing, cultivated states, and have played an important part

    in the history of these regions.” ‘ Col. Prejevalsky’s explorations

    in this totally unknown country have brought out a multitude

    of facts pregnant with interest both for histoi’ical and geographical

    study. Among the most important results of his discoveries is the location of Lob more than a degree to the south of its position on Chinese maps, and a consequent bend of the Tarim from its due eastern course before it reaches its outlet.

    This lake, consisting of two sheets of water, the Kara-buran

    and Kara-kurc’hin (or Chon-kul), lies on the edge of the deseit,

    in an uniidiabited region, and surrounded by great swamps,

    which extend also northwest along the Tarim to its junction

    with the Kaidu. It is shallow, overgrown with weeds, and is

    for the most part a morass, the water being fresh, despite the sail

    marshes in the vicinity. The people living near it speak a language

    most like that of Ivhoten ; they are Moslems. Lake Lob is elliptical, 90 to 100 versts long and 20 wide, 2,200 feet above the sea. Enormous flocks of birds come from Khoten on the southwest, as they go north, and make Lob-nor their stopping-place. The desert in this region is poor and desolate in the extreme.

    ‘ RicJitJioferi’ s Bemarks in Prejevalsky’s Loh-nor, p. i;?8. London, 1879.

    THE RIVER TARIM AND LOB-NOR. 223

    Its southern side is formed by the Altyn-tag range, a spur of the Kwanlun Mountains that rises about 14,000 feet in a sheer wall. Wild camels are found in its ravines, whose sight, hearing, and smell are marvellously acute. No other river basins of any size are found within the Circuit, except a large tributary called the Kaidu, which, draining a parallel valley north of Lobnor, two hundred miles long, runs into a lake nearly as large, called Bostang-nor, from which an outlet on the south continues it into the Tarim, about eighty miles from its mouth.

    The tributaries of this river are represented as much more serviceable for agricultural purposes than the main trunk is for navigation. The plain through which the Tarim flows is about two hundred miles broad and not far from nine hundred miles long, most of it unfit for cultivation or pasturage. The desert extends considerably west of the two lakes. The climate of this region is exceedingly dry, and its barrenness is owing, apparently, more to the want of moisture than to the nature of the soil. The western parts are colder than those toward Kansuh, the river being passable on ice at Yarkand, in lat. 38°, for three months, while frost is hardly known at Hami, in lat. 43°.

    The productions of the valley of the Tai’im comprise most of the grains and fruits found in Southern Europe ; the sesamum is cultivated for oil instead of the olive. Few trees or shrubs cover the mountain acclivities or plains. All the domestic animals abound, except the hog, which is i-eared in small numbers by the Chinese. The camel and yak are hunted and raised for food and service, their coats affording both skins and hair for garments. The horse, camel, black cattle, ass, and sheep, are found wild on the edge of the desert, where they find a precarious subsistence. The mountains and marshes contain jackals, tigers, bears, wolves, lynxes, and deer, together with some large species of birds of prey. Gold, copper, and iron are brought from this region, but the amount is not large, and as articles of trade they are less important than the sal-ammoniac, saltpetre, sulphur, and asbestos obtained from the volcanic region in the east of the Celestial Mountains. The best specimens of the yuh or nephrite, so highly prized by the Chinese, are obtained in the Southern Circuit.

    The present divisions of this Circuit are regulated by the position of the eight Mohammedan cities. The western departments of Kansnh naturally belong to the same region, and the cities now pertaining to that province are inhabited by entirely

    similar races, and governed in the same feudal manner, with

    some advantages in consideration of their early submission to

    Kienlung. The first town on the road, of note, is Ilami ; Turfan

    and Pidshan are less important as trading posts than as

    garrisons. The eight cities are named in the Statistics of the

    Empire in the following order, beginning at the east : Harashar,

    Kuche, Ushi (including Sairim and Bai), Aksu, Khoten,

    Yarkand, Kashgar, and Yingkeshar or Yangi Hissar. The

    superior officers live at Yarkand, but the Southern Circuit is

    divided into four minor governments at Ilarashar, Ushi, Yarkand,

    and Khoten, each of whose residents reports both to Kuldja

    and Peking. There is constant restiveness on the part of the

    subject races, who are all Moslems, arising from their clannish

    habits and feuds ; they have not the elements of substantial

    progress and national growth, either under their own rulers or

    Chinese. They have lately thrown off the Peking Government,

    but they have generally regretted the rapines and waste caused

    by the strifes and change, and Avould probably receive the

    Kitai (so they term the Chinese) back again. The latter are

    not hard masters, and bring trade and wealth the longer they

    remain. One of the IJsbek chiefs under Yakub khan gave

    the pith of the situation between the two, when he replied to

    Dr. Bellew’s remark that he talked like a Chinese himself,

    ” Ko, I hate them. But they were not bad rulers. “We had

    everything then ; we have nothing now. We never see any

    signs of the Kitai trade, nor of the wealth they brought here.”‘

    Ilarashar (or Karashar) lies on the Kaidu River, not far from

    Lake Bagarash or Bostang, about two hundred and ninety miles

    west of Turfan, in lat. 42° 15′ N., and long. 87° E. It is a

    large district, and has two towns of some note within the jurisdiction

    of its officers—namely, Korla and Bukur. Ilarashar is

    fortified, and from its being a secure position, and the seat of

    the chief resident, attracts considerable trade. The embroidery

    is superior ; but the tribes living in the district are more addicted

    to hunting than disposed to sedentary trades. Korla lies

    TOWNS OF THE SOUTheRISr CIIiCUIT. 225

    southwest of llarasliar on the Kaidii, between lakes Bostany;

    and Lob, and the productions of the town and its vicinity indi

    cate a fertile soil ; the Chinese say the Mohammedans who live

    here are fond of singing, but have no ideas of ceremony or

    Virbanity. Bukur lies two hundred miles Avest of Korla and

    ” might be a rich and delicious country,”” says the Chinese account,

    ” but those idle, vagrant Mohannnedans only use their

    strength in theft and plunder ; the Avomen blush at nothing.”

    The town formerly contained upward of ten thousand inhal)-

    itants, but Kienlung nearly destroyed it ; the district has been

    since resettled by Iloshoits, Tourbeths, and Turks, and the people

    carry on some trade in the produce of their herds, skins, copper,

    and agates.

    Kuche, about eighty miles west from Bukur, hit. 41° 3T’ X.,

    and long. 83° 20′ E., is a larger an<l more important city than that

    t)f Ilarashar, for the road which crosses the Tien shan l)y the

    pass Muz-daban to Ili, here joins tliat coming from Aksu on

    the west and Ilami on the east. It is three miles in circuit, and

    is defended by ten forts and three hundred troops. The

    bazaars contain grain, fruits, and vegetables, raised in the vicinity

    by great labor, for the land requires to be irrigated by hand

    from Avells, pools, and streams. Copper, sulphur, and saltpeti’e

    are carried across to 111, for use of government as well as traffic,

    being partly levied from the inhabitants as taxes ; linen is

    manufactured in the town, and sal ammoniac, cimiabar, and

    quicksilver are procured fi’oni the mountains. Kuche is considered

    the gate of Turkestan, and is the chief town, politically

    speaking, between Ilami and Yarkand. The district and town

    of Shayar lie south of Kuche, in a marshy valley producing

    abundance of rice, melons, and fruit ; the pears are particularly

    good. Two small lakes, Baba-kul and Sary-kamysch, lie to the

    east of this town, and are the only bodies of water between

    Bostang-nor and Issik-kul. The population is about four thousand,

    ruled by hegs subordinate to the general at Kuche.

    The valley of. the Aksu contains two large towms, Aksu and Ushi or Ush-turfan, besides several posts and villages. Between the former and Kuche, lie the small garrisons and districts of Bai and Sairim. The first contains from four to five hundred families, ruled by their own chiefs. Sairim or Ilanlemuli is siiboi-dinate to Ushi in some degree, but its productions, climate, and inhabitants are like those of Kuche. ” Their manners are simple,” remarks a Chinese writer, speaking of the people; ” they are neither cowards nor rogues like the other Mohammedans; they are fond of singing, drinking, and dancing, like those of Kuche.” Aksu is a large commercial and manufacturing

    town, containing twenty thousand inhabitants, situated,

    like Kuche, at the termination of a road leading across the Tien

    slian to til, and attracting to its market traders from Siberia,

    i)okhara, and Kokand, as well as along the great road. Its manufactures

    of cotton, silk, leather, harnesses, crockery, precious

    stones, and metals are good, and sent abroad in great numbers.

    The country produces grain, fruits, vegetables, and cattle in perfection, and the people are more civilized than those on the east and north; “they are generous and nol)lo, and both slug and ] idieulc the oddities and niggardliness of the other jMobammedans.”

    The Chinese garrison consists of three thousand soldiers, and the officers are accountable to those at Ushi. Ushi lies al)Out TO miles due west of Aksu, in lat. 41° 15′ N. and long. 79° 40′ E., and is stated to contain ten thousand inhabitants.

    ^ CiilU’d aho Pourouts. Compare Klaproth {Memoircs, Tome III., p. 332), who has a notice of these tribes.

    THE GOVERNMENT AND TOWN OF KASJIGAR. 227

    The Chinese name is Yung-ning ching(ie. ‘City of Eternal Tranquillity’). The officers stationed here report to the commandant at Ili, but they communicate directly with Peking, and receive the Emperor’s sanction to their choice of begs, and to the envoys forwarded to the capital with tribute. Copper money is cast here in ingots, somewhat like the ingots of sycee in the provinces. There are six forts attached to Uslif, to keep in order the wandering tribes of the Kii’ghis, called I’ruth l\irghi’s,’ which roam over the fi’ontier regions between Ushi and ^’arkand. They pay homage to the officers at Ushi, but give no tribute. Those who do pay tribute are taxed a tenth, but the Kii-ghis on this frontier are usually allowed to roam where they like, provided they keep the peace. This region was nearly depopulated by Kienlung’s generals, and at present supports a sparse population compared with its fertility and resources.

    The government of Kashgar, known, at the time of the Arab conquest, as Klehlh Bul’hara, presents a vast, undulating plain, of which the slope is very gradual toward the east, and of which the general elevation maybe reckoned at from three to four thousand feet above the sea. The aspect of its surface is mostly one of unmitigated waste—a vast spread of bare sand and gloomy salts, traversed in all directions by dunes and banks of gravel, with the scantiest vegetation, and all but absence of animal life. Such is the view that meets the eye ajid joins the horizon everywhere on the plain immediately beyond the river courses and the settlements planted on their banks.’ The population of this whole district is considerably less than a million

    and a half. The natural mineral productions hei’e are of great

    value, and it is a knowledge of this fact which has induced the

    Chinese to persevere in retaining so expensive and turl)ulent a

    frontier province. The gold and jade of Ivhoten, silver and

    lead of Cosharab, and copper of Khalistan, have given abundant

    employment to Chinese settlers ; while coal, iron, sulphur,

    alum, sal ammoniac, and zinc, though worked in unimportant

    quantities before the insurrection of Yakub khan (Atalik

    Gliazi), furnished the inhabitants with supplies for domestic

    use. An important hinderance to building villages in many sections

    of this territory is the prevalence of sand dunes here.

    Solitary houses and even whole settlements lying in the path of

    these moving hills are suddenly overwhelmed and oftentimes

    totalh’ effaced.

    The town of Kashgar is situated at the northwestern angle

    of the Southern Circuit, on the Kashgar River, a branch of the

    Tarim, in lat. 39° 25′ X., and long. 76° 5′ E., at the extreme

    west of the Empire. Several roads meet here. Going in a

    northw^est direction, one leads over the Tien shan to Kokand ; a

    second passes south, through Yarkand and Khoten, to Leh and

    Cashmere ; a third, the great caravan route, from China through

    1 H. W. Bellew, Kashmir and Kashgar. A Narrative of the Journey of the Embassy to Kashgar in 1873-4, p. 2.

    Uslii, iiiav be said to end liere ; and the fourth and most frequented,

    leads off northwest over the Tien shan through the

    llowat Pass, and along the western banks of Lake Issik-kul to

    111. Kashgar was the capital of the Oigours for a long time, and

    its ruler forced his people, as far east as llanii, to accept Islaniisni

    about the year lUCiO. They then came under Genghis’

    sway, and this city increased its iuiportance. but when Abubahr

    JMiza took Yarkand, he razed Kashgar to the ground. Under

    Chinese rule it became one of the richest marts in Central

    Asia, and its future im])ortance is secured by its position. The

    city is enclosed with high and massive walls, supported by buttress

    bastions, and protected by a deep ditcli on three sides, the river flowing under the fourth. There are but two gates ; the area within is about fifty acres. Around it are populous suburbs.

    In the middle of the town is a large s(piare, and four bazaars

    branch from it through to the gates ; the gari-ison is placed

    without the wall^. The nuinufactures of Kashgar excel those

    of any other town in the two Circuits, especially in jade, gold,

    silk, cotton, gold and silver cloths, and carpets. The country

    around produces fruit and grain in abundance; “the manners

    of the people have an appearance of elegance and politeness,”

    says the Chinese geographer ;

    ” the women dance

    and sing in fanuly parties ; they fear and respect the officers,

    and have not the M’ild, uncultivated aspect of those in

    Ushi.” This judgment is in a measure confirmed by Bellew,

    who credits the people with being singularly free from prejudice

    against the foreigners, quite indifferent on any score of his

    nationality or religion, and content so long as lie pays his way

    and does not offend the customs of the natives. Sevei-al towns

    arc subordinate to Kashgar, because of its oversight of their

    I’ulers, and consumption of their products. Southwest lies Tashl)

    alig, and on the road leading to Yarkand is Yangi Tlissar, both

    of them towns of some importance ; the whole distance from

    Kashgar presents a succession of sandy or saline tracts, alternating

    with fertile bottoms wherever water runs. Small villages

    and post houses serve to connect the larger towns, but the soil

    does not reward the cultivators with much produce.

    THE CITY OF YARKAND. 229

    Tarkand, or Yerkiang, is the political capital of the Southern

    Circuit, as the highest militaiy officers and strongest force

    are stationed liere. It is situated on the Yarkand Itiver, in hit.

    36° 30′ X., and long. 77° 15′ E., in the midst of a sand-girt

    oasis of great fertility. The environs are ai)undantlv su])plied

    with water by canals. The stone walls are three miles in circumference,

    but its suburbs are nuicli larger ; the houses are

    built of dried bricks, and the town has a more substantial appearance

    than others in III. There are njanj mosques and colleges,

    which, with the public buildings occupied by the government

    and ti’oops, add to its consideration. Yarkand is one of

    the ancient cities of Tartary, and was, in remote times, a royal

    residence of Turk princes of the Afrasyab dynasty. In modern

    times it owes its rank as a well-built city chiefly to Abubahr

    Miza, whose short-lived sway from Aksu to Wakhan left its

    chief results in the mosques and bazaars erected or enlarged by

    him. By means of quarrying jade in the Karakash valley, and

    W’orking the bangles, ear-rings and other articles in the city,

    thousands of families found employment under Chinese rule.

    With the overthrow of that sway and then of Yakub khan in

    its restoration, all this industry disappeared. In the destruction

    ensuing on these long struggles for supremac}^, one learns the

    explanation of the barbarism which has succeeded the downfall

    of mighty empires all over AYestern ^isia. The city has no important

    manufactures ; it enjoys a local reputation for its

    leather, and boots and shoes made here are esteemed all over

    the province. Among other articles of trade are horses, silk,

    and wool, and fabrics made from them ; but everything found

    at Ivashgar is sold also at this market. In a Chinese notice of

    the city, the customs at Yarkand are stated to have yielded over

    $45,000 annually ; the taxes are 35,400 sacks of grain, 57,569

    pieces of linen, 15,000 lbs. of copper, besides gold, silk, varnish,

    and hemp, part of which are carried to 111. Jade is obtained

    from the river in large pieces, yellow, white, black, and reddish,

    and the articles made from it are cariied to China. The Chinese

    authorities have no olqection to the resorting thither of

    natives of Kokand, Badakshan, and other neighboring states,

    many of whom settle and marry.

    Klioten is situated on the southern side of the desert, and the

    district embraces all the country south of Aksu and \ arkand,

    alono- the northern base of the Kwanlun Mountains, for more

    tlian three hundred miles from east to west. The capital is

    called Ilchi on Chmese maps, and lies in an extensive plain on

    the Khoten Kiver in lat. 37° N., and long. 80^ E. The town

    of Karakash (meaning ‘Black Jade’)’ lies in lat. 37° 10′, long.

    80″ 13′ 30″, a few miles northwest in the same valley, and is

    said by traders to be the capital rather than Ilchi ; it is located

    on the road to Yarkaud, distant twelve days’ journey. On

    this road the town of (iumnu is also placed, whose chief had in

    his possession a stone supposed to have the power of causing

    rain. Kirrea lies five days’ journey east of Ilchi, near the pass

    across the mountains into Tibet and Ladak ; a gold mine is

    M’orked near this place, the produce of which is monopolized by

    the Chinese. The three towns of Karakash, tlchi, and Kirrea,

    are the only places of importance between the valley of the

    Tarim and Tibet, but none of them have been visited for a long

    time by Europeans.* The population of the town or district is

    unknown ; one notice ‘ gives it a very large number, approaching

    three millions and even more, which at any rate indicates

    a more fertile soil and genial climate than the regions north and

    south of it. Dr. Morrison, in his Yieia of China, puts it at

    44,630 inhabitants ; and although the former includes the whole

    district, and is probably too large, the second seems to be nnich

    too small.

    Khoten is known, in Chinese books, by the names of Yu-tu’/i,

    Ilwan-na, KleuAan, and Klu,-sa-tan-na—the last meaning, in

    Sanscrit, ” Breast of tiie Earth.” * Its eastern part is marshy,

    i)ut that the country nnist have a considerable elevation is

    manifest from the fact that the river which drains and connects

    it with the Tarim runs quite across the desert in its

    course. The country is governed by two high officei-s and a

    ‘ But Remusat says that Karakash is a river and no town.

    ‘” Wood {Journey to the Oxuk, p. 279) refers to a frontier town by the name

    of Ecla.

    ‘ Penny Ci/clopcedia, Art. Tuian Shan nan lu.

    * Rdmusat, Ilis’oire de Hhotan, p. 35.

    KHOTEN DISTRICT. 2^1

    detachment of troops ; there are six towns under their jurisdiction,

    the inhabitants of which are ruled in the same manner as

    the other Mohammedan cities. The people, however, are said

    to be mostly of the JJuddhist faith, and the Chinese give a good

    accoimt of their peacefulness and industi-y. The trade with

    Leh and ll’lassa is carried on by a road crossing the Kwunlun

    over the Kirrea Pass, beyond which it divides. The productions

    of Khoten are fine linen and cotton stuffs, jade ornaments,

    amber, copper, grain, fruits, and vegetables ; the former for exportation,

    the latter for use. It was in this region that Col.

    Prejcvalsky discovered (in 1879) a new variety of wild horse, a

    specimen of which has been stuffed and exhibited in St. Petersburg.

    The animal in question, though belonging undoubtedly

    to the genus J^quus, presents, in many respects, an intermediate

    form between the domestic horse and the wdld ass.

    Remusat published, in 1820, an account of this country,

    drawn from Chinese books, in wdiich the principal events in its

    histoiy are stated, commencing with the Han dynasty, before

    the Christian era, down to the Manchu conquest. In the early

    part of its history, Khoten was the resort of many priests from

    India, and the Buddhist faith was early established there. It

    was an independent kingdom most of the time, from its earliest

    mention to the era of Genghis khan, the princes sometimes extending

    their sway from the Iviayii pass and Koko-nor to the

    Tsung ling, and then being obliged to contract to the valley now

    designated as Khoten. After the expulsion of the Mongols

    from China, Khoten asserted its independence, but afterward

    fell under the sway of the Songares and Eleuths, and lost many

    of its inhabitants. The Manchus conquered it in 1770, when

    the rest of the region between the Tien shan and Kwanlun fell

    under their sway, but neither have they settled in it to the same

    extent, nor made thereof a penal settlement, as in other parts

    of 111.-

    The government of Ili differs in some respects from that of

    Mongolia, where religion is partly called in to aid the state. In

    ‘ Concerning the nomenclature of this region compare Remusat, Histoire de

    Khotan, p. 66. See, moreover, ib., p. 47 ff., the legend of a drove of desert

    rats assisting the king of this land against the army of his enemies.

    the Northern Circuit, the authority is strictly military, exercised

    by means of residents and generals, with bodies of troops under

    their control. The supreme connnand of all Hi is intrusted by

    the colonial office to a Manchu UiaH(jl(an,ov military governorgeneral

    at Kuldja, who has under him two coimcillors to take

    cognizance of civil cases, and thirty -four residents scattered

    about in both Circuits. This governor has also the control of

    the troops stationed in the three western departments of Kansuh,

    but has nothing to do M’ith the civil jurisdiction of those

    towns. The entire number of soldiers under his hand is stated

    at 60,000, most of whom have families, and add agricultural,

    mechanical, or other labors to the profession of arms. The

    councillors are not altogether sul)ordhiatc to the general, but report

    to the Colonial Office.

    In the Northern Circuit, there is a deputy appointed for every village and town, invested with military powers over the troops and convicts, and civil supervision over the native jpiko or chieftains, who are the real rulers acknowledged by the clans.

    The character of the inhabitants north of the Tien shan is rendered

    unlike that of those dwelling in the Southern Circuit, not

    more by the diversity in their language and nomadic habits,

    than by the sway religious rites and allegiance have over them.

    Through this latter motive, the government of Mongolia and

    the Xorthern Circuit is rendered far easier and more effectual

    for the distant court of Peking than it otherwise Avould be.

    The appointment of the native chieftains is first announced to

    the general at Kuldja and the Colonial Office, and they succeed

    to their post when confirmed, which, as the station is in a measure

    hereditaiy, usually follows in course.

    The inhabitants of the Southern Circuit are Mohammedans

    and acknowledge a less Milling subjection to the Emperor than

    those in the Xorthern, the differences in race, religion, and language

    being probably the leading reasons. The government

    of the whole rejjrion is divided amoni»; the Manchu residents or

    aiiihatin at the eight cities, who are nominally responsible to the

    general at Ili, and independent of each other, but there is a

    gradation in rank and power, the one at Yarkaiid having the

    priority. The begs are chosen by the tribes themselves, and

    GOVERNMEXT OF IlI 233

    exercise authority in all petty cases arising among the people,

    without the interference of the Chinese. The troops are all

    Manchu or Chinese, none of the Turks being enrolled in separate

    bodies, though individuals are employed with safety.

    There is considerable difference in the rank and inliuence of

    the begs, which is upheld and respected by the amhcDis. The

    allowances and style granted them are regulated in a measure

    by their feudal importance. The revenue is derived from a

    monthly capitation tax on each man of about half a dollar, and

    tithes on the produce ; there are no transit duties as in China,

    but custom-houses are established at the frontier trading towns.

    The language generally used in the Southern Circuit is the

    Jaghatai Turki of the Kalmucks ; the Usbecks constitute the majority

    of the people, but Eleuths and Kalmucks are everywhere

    intermixed. The Tibetans have settled in Khoten, or more

    probably, remnants still exist there of the former ijihabitants.

    The history of the vast region constituting the present government

    of 111 early attracted the attention of oriental scholars,

    and few portions of the world have had a more exciting historj’.

    After the expulsion of the Mongols from China by

    Hungwu, A.D. 1366, they found that they, as a tribe, were inferior

    in power to the westei’u triljes, but it was not till about

    1680 that the Eleuths, noi-th of the Tien slian under the Galdan,’

    began to attack the Kalkas, and drive them eastward.

    The Sunnites, Tsakhars, and Solons, portions of the Eastern

    Mongols, had already joined the Manchus ; and the Kalkas, to

    avoid extermination, submitted to them also, and besought their

    assistance against the Eleuths. Kanghi received their allegiance,

    and tried to settle the difficulties peaceably, but was

    obliged to send his troops against the Galdan, and drivj him

    from the territory of the Kalkas to the westward of Lob-nor

    and Barkul. The Emperor was materially aided in this enterprise

    by the secession from the Eleuths of the Songares,

    whose khan had taken offence, and drawn his hordes off to the

    south. The khans of the Kalkas and their vast territory thus

    ‘ “Galdan, better kuown by his title of Contaisch “—Remusat, Nouveaux

    Melanges, Tome II., p. 29, See also Scliuyler’s TurkiMan, Vol. II., p. 168.

    became subject to the Chinese. The Galdan lost all his forces,

    and expired bj poison, in 1697, his power dying with him, and

    his tribe having already become too weak to resist.

    Upon the ruins of his power arose that of Arabdan, the khan

    of the Songares. lie subjugated the ]S’orthern Circuit, passed

    over into Turkestan, Tangout, and Khoten, and gradually reduced

    to his sway nearly all the elevated region of Central Asia

    M’est of Kansuh. lie expelled the Tourgouths from their possessions

    in Cobdo, and compelled them to retreat to the banks

    of the Volga. Ivanghi expelled the Songares from the districts

    about Koko-nor, but made no impression upon their authority

    in Songaria. After the death of Arabdan, about 1720, his

    throne was disputed, and the power weakened by dissensions

    among his sons, so that it Avas seized by two usurpers, Amursana

    and Tawats, Avho also fell out after their object was gained.

    Annn-sana repaired to Peking for assistance, and with the aid

    of a Chinese army expelled Tawats, and took possession of the

    throne of Arabdan. But he had no intention of becoming a

    vassal to Ivienlung, and was no sooner reinstated than he resisted

    him ; he defeated two Chinese armies sent against him,

    but succumbed on the third attack, and fled to Tobolsk, -where

    he died in 1757.

    The territory of Arabdan then fell to Ivienlung, and he pursued

    his successes with such cruelty that the Northern Circuit

    was nearly depopulated, and the Songares and Eleuths became

    almost extinct as distinct tribes. The banished tribe of Tourgouths

    was then invited by the Emperor to retui-n from Russian

    sway to their ancient possessions, which they accepted in

    1772; the history of the Chinese embassy to them, and their

    disastrous journey back to Cobdo over the Ivirghis steppe and

    through the midst of their enemies, is one of the most remarkable

    instances of nomadic wanderings and unexampled suffering

    in modern times.’ Chinese troops, emigrants, exiles, and

    nomadic tribes and families, M^ere sent and encouraged to come

    ‘ Compare Remusat (Nouvrnvx Melanges, Tome II., p. 102), who lias compiled

    a brief life of their leader Ubusha. De Quincey’s essay, The Flight of a

    Tartar Tribe. Ritter, Asien, Bd. V. pp. 531-58:^ : Welthistorischer Einflusa

    des chinenicheu lieichs auf Central- tinU West-Asien.

    HISTORY AND CONQUEST OF ILI 235

    into the vacant territory, so that erelong it began to resume its

    former importance. In the period which has since elapsed, the

    Manchus have been enabled to prevent any combination among

    the clans, and maintain their own authority by a mixed system

    of coercion and coaxing which they well know how to practise.

    The agricultural and mineral resources of the country have

    been developed, many of the nomads induced to attend to agriculture

    by making their chieftains emulous of each others prosperity,

    and by exciting a spirit of traffic among all.

    There have been some disturbances from time to time, but no

    master spirit has arisen ^v]lo has been able to unite the tribes

    against the Chinese. In 1825, there “svas an attempt made

    from Kokand by Jehangir, grandson of the l:ojeh or prince of

    Kashgar, to regain possession of Turkestan ; the khan of Kokand

    assisted him with a small army, and such was their dislike

    of the Chinese, that as soon as Jehangir appeared, the Mohammedans

    arose and drove the Chinese troops away or put them

    to death, opening the gates to the invader, lie took possession

    of Tarkand and Kashgar, and advanced to Aksu” where the

    winter put a stop to the campaign. In the next year, the khan

    of Kokand, seeing the disposition of the people, thought he

    would embark himself in the same cause, and made an incursion

    as far as Aksu and Khoten, reducing more than half the

    Southern Circuit to himself, but ostensibly in aid of Jehangir.

    The kojeh, beginning to fear his aid, withdrew ; and the khan,

    having suffered some reverses from the Chinese troops, made his

    peace on very favorable terms, and returned to his own country.

    Jehangir went to Khoten fi-om Yarkand, but his conduct there

    displeasing the people, the Chinese troops, about 60,000 in

    number, had no difficulty in dispersing his force, and resuming

    their sway. The adherents of the kojeh fled toward Badakshan,

    while he himself repaired to Isaac, the newly appointed kojeh

    of Kashgar, by whom he was delivered up to the Chinese with

    his family, and all of them most barbarously destroyed.

    The kojeh was rewarded with the office of prince of Kashgar,

    but having been accused of treasonable designs he was ordered

    to come to Peking for trial ; the charges were all disproved,

    and he returned to Kashgar after several years’ residence at the capital of the Empire. The country was gradually reduced

    by Changliiig, the general at Ili, but Kashgar suffered so nuich

    by the war and removal of the chief authority to Yarkand,

    that it has not since regained its Importance. During this war,

    the dislike of the Mohammedans to the Chinese sway M’as exhibited

    in the large forces Jehangir brought into the field ; and

    if he had been a popular spirited leader, there is reason for

    supposing he might have finally wrested these cities from the

    Chinese. The joy of Taukwang at the successful termination

    of the expedition and capture of the rebel, was so extravagant

    as to appear childish ; and when Jehangir was executed at

    Peking, he ordered the sons of two officers who had been reported

    killed, ” to witness his execution, in order to give expansion

    to the indignation which had accumulated in their

    breasts ; and let the rebel’s heart be torn out and given to them

    to sacrifice it at the tombs of their fathers, and thus console

    their faithful spirits.” Honors Avere heaped upon Changling at

    his return to Peking, and rewards and titles showered upon all

    the troops engaged in the war.

    Since this insurrection, the frontiers of Kashgar and Kokand

    have been passed and repassed by the Pruth Kirghis; iiil830,

    they excited so much trouble because their trade was restricted,

    that a large force was called out to restrain them, and many

    lives were lost before the rising was subdued. The causes of

    the dispute wei-e then examined, and the trade allowed to go on

    as befoi’e. The oppressions of the residents sometimes goad

    on the Mohammedans to rise against the Chinese, but the

    policy of the Emperor is conciliatory, and the complaints of the

    people are in general listened to. The visits of the begs and

    princes to Peking with tribute affords them an opportunity to

    state their grievances, while it also prevents them from caballing

    among themselves. In 1871 the Russians took possession of

    nearly the whole of Tien-Shan Peh Lu during an insurrection of

    the Dunganis against Chinese control. The Tarantchis having

    attacked a Russian outpost, and Yakub Beg being on suspiciously

    good terms with the rebels, it was determined to occupy

    Kuldja—which was effected after a campaign of less than a

    month, led by Gen. l\olpakofsky. The Chinese government was

    BOUNDARIES OF TIBET. 2S1

    imniediatelv informed that the place should be restored whenever

    a sutHcient force could be brought there to hold it against

    attacks, and preserve order. After the final conquest of the

    Dungan tribes in 1S79-SO, this territory was returned by the

    Ilussians upon conclusion of their last treaty M’ith China, exactly

    ten years from the date of possession. The old manner

    of government is now resumed and the country slowly recoveriiiiT

    from the fri^-htful devastation of the insurrection. The

    salai’ies of the governor-general and his councillors, and the

    residents, are small, and they are all obliged to resort to illegal

    means to reimburse their outlays. The highest officer receives

    about $5,200 annually, and his councillors about $2,000 ; the residents

    from $2,300 down to $500 and less. These sums do not,

    probably, constitute one-tenth of the receipts of their situations.’

    The third gi-eat division of the colonial part of the Chinese

    empire, that of Tibet, is less known than III, though its area is

    hardly less extensive. It constitutes the most southern of the

    three great table lands of Central Asia, and is surrounded with

    high mountains which separate it from all the contiguous regions.

    The word Tibet or Tubet is unknown among the inhabitants

    as the name of their country ; it is a corruption by the

    Mongols of T(c po,’ the country of the Tu, a race w^hich overran

    it in the sixth century ; Turner gives another name, Pue-hoachim-,

    signifying the ‘ snowy country of the north,’ doubtless a

    local or ancient term. The general appellation by the people is

    Pot or Bod, or Bod yul—”- the land of Bod.” ‘ It is roughly

    bounded northeast by Ivoko-nor ; east by Sz’chuen and Yunnan ;

    south by Assam, Butan, Xipal, and Gurhwal ; west by Cashmere

    ; and north by the unknown i-anges of the Kwanlun Mountains.

    The southern frontier curves considerably in its course,

    1 Chinese Repository, Vol. V., pp. 267, 316, 351, etc. ; Vol. IX., p. 113.

    Penny Uyclo^mUa, Art. Songaria. Boiilger, Russia and England in Central

    Asia, 2 Vols., London, 1879. Schuyler, Turkistan, 2 vols., N. Y., 1877.

    Petermann’s Mlttheilungen, Appendices XLII. and XLIII., 1875.

    – This derivation is explained somewhat differently in R^musat, Nouveaux

    Melanges, Tome I., p. 190.

    3 To these Ritter adds the names of Wei, Dzang, Nga-ri, Kham, Bhodi, Peuu-

    Tsang, Si-Dzang, Tliupho, Tubl.at, TGbGt, Tiibet, Tibet, and Barantola, asall

    applying to this country. Asien, Bd. III., S. 174-183.

    but is not less than 1,500 miles from the western extremity of

    Kipal to the province of Yunnan ; the northern border is about

    1,300 miles ; the western frontiers cannot be accurately defined,

    and depend more upon the possession of the passes through which

    trade is carried on than any political separation. Beltistan,

    Little Tibet, and Ladak, although included in its limits on

    Chinese maps, have too little subjection or connection with the

    court of Peking, to be reckoned among its dependencies.

    Tibet, in its largest limits, is a table land, the highest plains

    of which have a mean elevation of 11,510 feet, or about 1,300

    feet lower than the plateau of Bolivia, near Lake Titicaca.

    The snow-line on the north side of the Himalaya is at an altitude

    of 16,630 feet ; on the southern slope it is at 12,982 feet.

    Several striking analogies may be traced between this country

    and Peru : the tripartite divisions caused by lofty ranges ; their

    common staples of wool, from alpacas and vicunas in one, and

    sheep and goats in the other ; the abundance of precious

    metals, and many specific customs. The entire province of

    Tibet is divided by mountain chains into three distinct parts; its western portion consists of the basin of the Lidus, until it breaks through into Cashmere at Makpon-i-Shagaron. It begins near Mount Ivailasa, and stretches northwest between the Hindu Ivush and Himalaya, comprising the whole of Beltistan and Ladak ; the Kara-korum, Mus-tag, or Tsung ling range defines it on the northeast. The second part consists of an extensive desert land, commencing at Mount Kailasa, and having the Tsung ling on the west, the Kwjlnlun on the north

    (which separates it from Khoten, and the high waterslied of the

    Yangtsz’, Salween, and other rivers), and Lake Tengkiri, on the

    east ; the Himalaya constitutes its southern boundary. This

    high i-egion, called Katshe or Kor-kache, has not been traversed

    by intelligent travellers and is one of the few yet unknown regions

    of the earth, and is nearly uninhabitable, owing to the extreme rigor of its climate.’

    ‘ Se<‘ Ri’musat, Nouvennx Milnnc/es, T. , p. 100, for notices of tribes anciently inliabiting this district and Bokhara. Compare also Heeren {Historical Re’ aenrcJies, Vol. I., j)p. 180-186), who gives in brief the accounts of Herodotus k)id Ctesias.

    \ NATURAL FEATURES OF TIBET. 239

    The eastern part, consisting of the basin of the Yaru-tsangbu,

    contains, in its plains, most of the towns in Tibet, until it

    reaches the Alpine region which lies between the River Yarn

    and the Yangtsz’, a space extending from long. 1)5° to 99° E.

    This district is described as a succession of ridges and gorges,

    over which the road takes the traveller on narrow and steep

    paths, crossing the valleys by ropes and bridges enveloped in

    the clouds. Mount Kailasa, a notable peak lying in the northeastern

    part of Xari, is not far from 26,000 feet high. The

    number of summits covered with perpetual snow exceeds that

    of any other part of the world of the same extent.

    The road from Sz’chuen to H’lassa strikes the Yalung kiang,

    in the district of Ta tsien lu, and then goes southwesterly to

    Batang on the Yangtsz’ kiang ; crossing the river it proceeds

    up the narrow valley a short distance, and then crosses the

    mountains northwest to the Lantsan kiang or River Meikon, by

    a series of pathways leading over the gorges, till it reaches

    Tsiamdo ; from this point the road turns gradually southwest,

    following the valleys when practicable, till it ends at H’lassa.

    The largest river in Tibet is the Erechumbu, or Yaru-tsangbu ;

    tsangha means river, and is often alone used for this whole

    name. It rises in the Tamchuk range, at the Mariam-la pass

    in Nari, 60 miles east of Lake Manasarowa, the source of the

    Sutlej ; it flows a little south of east for about seven hundred

    miles, through the whole of Southern Tibet, between the first

    and second ranges of the Himalayas, as far as long. 90° E.

    Its tributaries on the north are mimerous, and among them the

    Nauk-tsani>;bu and Dzany;tsu are the larij-est. The volume of

    water which flows through the mountains into Assam by this

    river, is equal to that by the Indus into Scinde. The disputed

    question, whether the Yaru-tsangbu joins the Brahmaputra or

    Irrawadi, has been settled by presumptive evidence in favor

    of the former, but a distance of about 400 miles is still unexplored; ‘ the fall in this part is about 11,000 feet, to where the river Dihong has been traced in Assam. This makes the Brah-‘ Introduction by Col. Yule, iu Gill’s River of Golden 8and.luaputra the largest and longest river in Southern Asia ; Its passage into Assam is near 95° E. longitude.

    The eastern part of Tibet, beyond this meridian, is traversed

    by numerous ranges of lofty mountains, having no separate

    names, the direction of which is from west to east, and from

    northwest to southeast. From these ranges, lateral branches

    run out in different directions, containing deep valleys between

    them. In proportion as the principal chains advance towards

    the southeast they converge towards one another, and thus the

    valleys between them gradually become narrower, until at last,

    on the frontiers of Yunnan and Burmah, they are mere mountain

    passes, whose entire breadth does not much exceed a

    hundred miles, having four streams flowing through them.

    In fact, Tibet incloses the fountain heads of all the large rivers

    of Southern and Eastern Asia. The names and courses of those

    in Eastern Tibet are known ordy imperfectly from Chinese

    maps, but others have described them after their entrance into

    the lowlands.

    Tibet, especially the central part, is a country of lakes, in this

    respect resembling Cobdo. The largest, Tengkiri-nor, situated

    in the midst of stupendous mountains, about one hundred and

    ten miles northwest of Il’lassa, is over a hundred miles long and

    about thirty wide. The i-egion north of it contains many isolated

    lakes, most of them salt. Two of the largest, the Bouka

    and Kara, are represented as connected with the Tliver Xu.

    Lake Khamba-la, Yamoruk or Yarbrokyu, sometimes called

    Palti, from a town on its northern sliore, is a large lake south of

    iriassa, remarkable for its ring shape, the centi-e being filled

    by a large island, around which its waters flow in a chamiel

    thirty miles or more in width. On the island is a nunnery,

    called the Palace of the Holy Sow, said to be the finest in the

    country. In Balti or Little Tibet are many sheets of water, the

    largest of which, the Yik and Paha, are connected by a river

    flowing through a marshy country. A long succession of lakes

    fill one of the basins in Katsche, suggesting the former existence

    of another Aral Sea. The sacred lakes of Manasarowa and

    Ilavan-hrad (Ma])am-dalai and Langga-nor, of the Cliinese)

    form the headwaters of the Sutlej.

    CLIMATE, FOOD ANJ) l’K<>DUCTIONS. 241

    The climate of Tibet is cliaracterized by its purity and excessive

    dryness. The valleys are hot, notwithstanding their proximity

    to snow-capped mountains; from May to October the sky

    is clear in the table -lands, and in the valleys the moisture and

    temperature are favorable to vegetation, the harvest being gathered

    before the gales and snows set in, after October. The

    effects of the air resemble or are worse than those of the kamsin

    in Egypt. The trees wither, and their leaves may be ground

    to powder between the fingers ; planks and beams break, and

    the iidial)itants cover the tind)ers and wood-work of their houses

    with coarse cotton, in order to preserve them against the destructive

    saccidity. The timber neither rots nor is worm-eaten.

    Mutton, exposed to the open air, Ijecomes so “dry that it may be

    powdered like bread ; when once dried it is preserved during

    years. This flesh-bread is a common food in Tibet. The carcass

    of the animal, divested of its skin and viscera, is placed

    where the frosty air Mnll have free access to it, until all the

    juices of the body dry np, and the whole becomes one stiffened

    mass. Xo salt is used, nor does it ever become tainted, and is

    eaten without any further dressing or cooking ; the natives eat it

    at all periods after it is frozen, and prefer the fresh to that which

    has been kept some months. The food called janiha is prepared

    by cooking brick tea during several hours, then adding butter

    and salt, and stirring the mixture until it becomes a thick broth.

    AVhen eaten the stuff is served in wooden bowls, and a plentiful,

    supply of roasted barley-meal poured in, the whole being kneaded

    by the hands and devoured in the shape of dough pellets.

    The productions of Tibet consist of domestic animals, cattle,

    horses, pigs ; some wild animals, such as the white-breasted

    argali, orongo-antelope, ata-dzeren, wolf, and steppe-fox ; and few

    plants or forests, presenting a strong contrast with Nipal and

    Butan, where vegetable life flourishes more luxuriantly. Sheep

    and goats are reared in immense flocks, for beasts of burden

    over the passes, and for their flesh, hair, and coats. Chiefest

    among the animals of tliis mountain land is the yak.’ The

    ‘ Called by Wood Kasli-gow {Journey to the Oxus, p. 319). Chauri gau^aarlykt and sarlac, are other names. doiiiesticated variety, or long-haired yak, is the inseparable companion and most trusty servant not only of the Tibetans, but of tribes in Cashmere, Ladak, Tangout, and JVIongolia, even as far north as Urga. It is a cross-breed, or mule from the yak bull and native cow, which alone is hardy enough for these elevated regions.’ These creatures are of the same size as our cattle, strong, sure-footed and possessed of extraordinary endurance; they retain, however, something of their wild nature, even after long domestication, and must be carefully treated,

    Domesticated Yak.

    especially when being loaded and unloaded. They thrive best

    in hilly countries, well watered and covered with grass—the two

    last being indispensable. The hair is black or black and white,

    seldom entirely white. One sort is without horns, and when

    crossed with the cow bears sterile males, or females which are

    fertile for one generation. As to the wild yak of Til)et, a traveller

    says : ” This handsome animal is of extraordinary size and

    beauty, measuring, when grown, eleven feet in length, exclusive

    of its bushy tail, which is three feet long; its height at the

    hump is six feet ; girth around the body eleven feet, and its

    ‘ This cross is mentioned by Maroo Polo, Yule^a ed., Vol. I., p. 241.

    AlSriMALS OP TIBET. 243

    weight ten or eleven liundred weight. The head is aaorned

    with ponderous liorns, two feet nine inches h)ng, and one foot

    four indies in circumference at the root. The body is covered

    with tliick, black hair, which in the old males assumes a chestnut

    color on the back and upper parts of the sides, and a deep

    fringe of black hair hangs down from the flanks. The muzzle

    is partly gray, and the younger males liave marks of the same

    color on the upper part of the body, whilst a narrow, silverygray

    stripe runs down the centre of the back. The hair of

    young yaks is much softer than that of older ones ; they are

    also distinguishable by their smaller size, and by handsomer

    horns, with the points turned up. The females are much

    smaller than the males, and not nearly so striking in appearance

    ; their horns are shorter and lighter, the hump smaller,

    and the tail and flanks not nearly as hairy.” ‘ This animal is

    useful for its milk, flesh, and wool, as well as for agricultural

    purposes and travel.

    There is comparatively little agriculture. The variety of

    wild animals, birds, and fishes, is very great ; among them the

    musk deer, feline animals, eagles, and wild sheep, are objects

    of the chase. The brute creation are generally clothed with an

    abundance of fine hair or wool ; even the horses have a shaggier

    coat than is granted to bears in more genial climes. The

    Tibetan mastiff is one of the largest and fiercest of its race,

    almost nntamable, and unknown out of its native country.

    The nnisk deer is clothed with a thick coverino; of hair two or

    three inches long, standing erect over the whole body ; the

    animal resembles a hog in size and form, having, however,

    slender legs. The Tibetan goat affords the shawl wool, so

    highly prized for the manufacture of garments.^

    ‘ Prejevalsky, Travels in Mongolia, etc., Vol. I., p. 187.

    “^ B. H. Hodgson, Notice of the Mammals of Tibet, Journal As. Soc. of BeU’gal, Vol. XI., pp. 275 ff. ; also ib. Vols. XVI., p. 763, XIX., p. 466, and XXVI., No. 3, 1857. Abbe Armand David-, Notes sur quelques oiseaux de Thibet, Nouv. Arch, du MuMum, Bull, V. 1869, p. 33; ib. Bull, VI., pp. 19 and 33. Bull, VIII., 1872, pp. 3-128, IX., pp. 15-48, X., pp. 3-82. Recherches pour servir a Vhistoire naturelle des mammiferes comprennant des considerations su)’ la classification de ces animaux, etc. , des etudes sur la faiine de la Chineel du Tibet oriental, par MM. Milne-Edwards, etc, 2 vols. Paris, 1868-74.

    Fruits are common ; small peaches, grapes, apples, and nuts, constitute the limited variety. Barley is raised more than any

    other grain the principal part of agricultural labors being performed

    by the Avomen. Pulse and wheat ai’e cultivated, but no

    rice “svest of Illassa. Ithubarl), asaf{jL’tida, ginger, madder, and

    safflower are collected or prepared, but most of the medicines

    come from China and Butan. Turnips, rape, garlic, onions, and

    melons are raised in small quantities. The mineral productions

    are exceedingly rich. Gold occurs in mines and placer diggings,

    and forms a constant article of export ; lead, silver, copper, and

    cinnabar are also dug out of the ground, but iron has not been

    found to much extent. The great difficulty in the way of the

    inhabitants availing themselves of their metallic Avealth, apart

    fi’om their ignorance of the best modes of mining, is the want

    t>f fuel with which to smelt the ore. Tincal, or crude borax,

    is gathered on the borders of a small lake in the neighborhood

    of Tengkiri-nor, where also any quantity of rock salt can be

    obtained. Precious stones are met with, most of which find

    their way to China.

    The 2)resent divisions of Tibet, by the Chinese, are Tsien

    Tsang^ or Anterior Tibet, and JIau Tsang, or Ulterior Tibet.

    Anterior Tibet is also called U (Wei) and U-tsang, and includes

    the central part of Bod-yur where Il’lassa is ; east of

    this lies Ivham (Kang) or Khamyul, and northeast toward

    Ivoko-nor is Ivhamsok, /.(?., Ivham on the River Sok. Kear the

    bend of the Brahmaputra is the district of Ivongbo, where I’ice

    can be raised ; going westward are Takpo, doUs and gTsang on

    the borders of Xari, ending in a line nearly continuous with

    the eastern border of Kipal. The Chinese books mention eight

    cantons in Anterior Tibet, five of them lying east of ITlassa,

    added to which are thirty-nine feudal townships in Khamsok

    called tu-sz\ all of them chiefiy nominal or at present antiquated.

    Csoma de Ivciros speaks of several small principalities

    in Kham, and describes the inhabitants as differing from the

    rest of the Tibetans in appearance and language ; they assimilate

    probably with the tribes on the l]urman and Chinese frontiers.

    Xari ( A-li in Chinese) is divided into Mangyul, Khorsum,

    and Maryul. The first of these districts lies nearly centerh’LASSA

    the (ATITAL. 24^

    iiiinous with Xipal, and its area is probably about the same, but

    its cold, drj, and elevated i-egions, support only a few sliepherds

    ; Khorsuni and Maryul lie north and northwest in a

    still more inhospitable clime ; the latter adjoins Ladak and

    Balti and is the reservoir of hundreds of lakes situated from

    12,000 to 15,000 feet above the sea. A ridge separates the

    valley of the Indus from the Sutlej, crossed at the Bogola Pass,

    19,220 feet high, and then- over the Gugtila Pass, 19,500 feet

    into Gartok. The people throughout this elevated region are

    forced to live in tents, wood being ahuost unknown for buildil’lassa,

    the gyalsa or capital of Tibet, is situated on the Kichu

    River, about twelve leagues from its junction with the

    Yarn, in lat. 29° 39′ ]S\, and long. 91°05’E. ; the name signifies

    God’s ground^ and it is the largest town in this part of Asia.

    It is famous for the convents near it, composing the ecclesiastical

    establishments of the Dalai (or ‘ Ocean ‘)-lama, whose residence

    is in the monastery of Pobrang-marbu {I.e., ‘ Red town ‘) on

    Mount Putala. The principal building of this establishment is

    three hundred and sixty-seven feet high, and it contains, as the

    Chinese expression is, ” a myriad of rooms.” This city is the

    head-quarters of Buddhism, and the hierarchy of lamas, who, by

    means of the Dalai-lama, and his subordinate the Kiituktu, exercise

    priestly control over wellnigh all Mongolia as well as Tibet.

    The city lies in a fertile plain nearly 12,000 feet high, about

    twelve miles wide, and one hundred and twenty-five from north

    to south, producing harvests of barlej^ and millet, with abundant

    pasturage and some fruit trees. Mountains and hills encircle it; of these the westernmost is Putala, the liver running so near its base that a wall has been built to preserve the buildings from the rise of the waters. The Chinese garrison is quartered about two miles north of this mount, and two large temples, called ITlassa tm-‘kang and Bamotsietso-hang, resplendent with gold and precious stones, stand very near it. The four monasteries.

    Sera, Brebung, Samye, and Galdan, constitute as many separate establishuients.’ During the sway of the Songares in’ Klaproth, Description du Ttibet, p. 246.Ill, their prince xVrabdan made a descent npon IPlassa, and the Lama Avas killed. Kanglu placed a new one upon the see, in 1720, appointing six leading officers of the old Lama to assist him in the government. Three of these joined in an insurrection, and in the conflicts which succeeded, IFlassa suffered considerably.

    The population of the town is conjectured to be 24,000 ; that of the province is reckoned by Csoma at about 050,000.

    The town was visited in the year 1811 by j\rr. Manning whose description of its dirty and miserable streets swarming Mitli dogs and beggars, and the meanness of its buildings, corresponds

    with what Hue and Gabet found in 1846. Mr. Manning

    remained there nearly five months, and had several intei:-

    views with the Dalai-lama ; lie was much impeded in his

    observations by a Cantonese viansJd or teachei’, and exposed to

    danger of illness from insufficient shelter and clothing. His

    reception by the chief of the Buddhist faith on the 17th of

    December, was equally remarkable with that by the Teshu-lama

    of Bogle in 1774, and of Turner in 1783. Mr. Manning was

    alone and unprotected and had very few presents, but his offering

    was accepted ; it consisted of a piece of fine broadcloth, two

    brass candlesticks, twenty new dollars, and two vials of lavender

    water. He rode to the foot of the mountain Putala, and

    dismounted on the first platform to ascend by a long stairway

    of four hundred steps, part of them cut in the rock, and the

    rest ladder steps from story to stoiy in the palace, till he

    reached a large platform roof off which was the reception hall.

    Upon entering this he found that the Ti-mu-fu or Gesiib Jiwihoche,

    the highest civil functionary in Tibet, was also present,

    wliich caused him some confusion : “I did not know how

    much ceremony to go through with one before I began with

    the other. I made the due obeisance, touching the ground three times with my head to the (ii’and Lama, and once to the 2\-ina-fu. I presented my gifts, delivering the coins with a handsome silk scarf with my own hands to them both. While I was Jxotovnmj, the awkward servants let one of the bottles of lavender water fall and break. Havin<i: delivered the scarf to the Grand Lama, I took oft” my hat, and humbly gave him my clean shaven head to lay his hands upon. . . . The Lama’s beautiful and interesting face and manner engrossed all my attention.

    SIIIGATSE AND TESIIU-LUMBO. 247

    He was about seven yeai-s old ; had the simple manners

    of a well educated princely child. His face was, I thought,

    poetically and affectingly beautiful. He was of a cheerful disposition,

    his beautiful mouth perpetually unbending into a

    graceful smile, which illuminated his whole countenance. No

    doubt my grim beard and spectacles excited his risibility. “We

    had not been seated long before he put questions which we rose

    to receive and answer. He inquired whether I had met with

    difficulties on the road ; to which I replied that I had had

    troubles, but now that I had the happiness of being in his presence

    they were amply compensated. I could see that this

    answer pleased both him and his people, for they found that I

    was not a mere rustic, but had some tincture of civility in me.” ‘

    The capital of Tsangor Ulterior Tibet is Shigatse, situated 126

    miles west of H’lassa, and under its control. The monastery

    where the Teshu-lama and his court resides is a few miles

    distant, and constitutes a town of about 4,000 priests, named

    Teshu-Lumbo. He is styled Panchen Rimboche, and is the

    incarnation of Amitabha ]>uddha. His palace is built of dark

    l)rick and has a roof of gilded copper ; the houses rise one

    above another and the gilt ornaments on the temples combine

    to give a princely appearance to the town. The fortress of

    Shigatse stands so as to command both places. The plain

    between this town and H’lassa is a fertile tract, and judging

    from the number of towns in the valleys of the basin of the

    Yaru, its productive powers are comparatively great. Ulterior

    Tibet is divided into six other cantons, besides the territory

    under the jurisdiction of the chief town, most of their fortified

    capitals lying westward of Shigatse.

    ‘ Mis-sion of George Bogle to Tibet and Journey of Thomas Manning to Lhaaa^Edited by C. R. Markliam. London, 1876, p. 265.

    The degree of skill the Tibetans have attained in manufactures, mechanical arts, and general civilization, is less than that of the Chinese, but superior to the Mongols. They appear to be a mild and humane people, possessing a religious sense and enjoying an easy life compared with their southern neighbors.

    They are well-bred and affable, fond of gossiping and festivities, which soften the heart and cheer the temper. Women are treated with care and are not often compelled to work out of doors, ^s’o two people or countries widely separated present a stronger contrast than do the stout, tall, muscular, and floi-id Butias, upon their fertile fields and wooded hills, with the squat, puny, sluggish, and swarthy Tibetans in their rugged, barren mountains. They distinguish five sorts of people among

    themselves, the last of whom are the Butias ; the others are

    the inhabitants of Kham, or Anterior Tibet, those in Tsang, the

    nomads of Kor-kache, and the people of Little Tibet. All of

    them speak Tibetan with some variations. The Tibetans are

    clad with woollens and furs to such a degree that they appear

    to emulate the animals they derive’ them from in their weight

    and warmth ; and with this clothing is found no small quantity

    of dirt. The dress of the sexes varies slightly in its shape ;

    yellow and red are the predominant colors. Large bulgar boots

    of hide are worn by all persons ; the remainder of the dress

    consists of woollen robes and furs like those of the Chinese.

    The women wear many jewels, and adorn their hair as do the

    Mongols with pearls, coral, and turquoises. Girls braid their

    hair in three tresses, married women in two. The head is protected

    by high velvet caps ; the men wear broad-brimmed

    coverings of various materials.

    The two religious sects are distinguished by yellow and red

    caps ; the latter are comparatively few, allow marriage to the

    lamas, but do not differ materially in their ritual or tenets.

    There is no country where so large a proportion of the people

    are devoted to religious service as in Tibet, nor .one where the

    secular part of the inhabitants pays such implicit deference to

    the clergy. The food of the Tibetans is taken at all hours,

    nmtton, barley, and tea constituting the staple articles. On

    all visits tea is presented, and the cup replenished as often as it

    is drained. Spirits and beer, both made from barley, are common

    beverages. On every visit of ceremony, and whenever a

    letter is sent from one person to another, it is necessary to connect

    a silk scarf with it, the size and texture being proportioned

    to the rank and condition of the parties. The sentence Omviaiil 2)ttdiiii- hum is woven upon each end.

    OM MANX PADMI HUM. 249

    The following note by Col. Yule, condensed from Koeppen’s

    Lamaisehe Hlcrai’clde iind Kurhe, contains the most satisfactory

    explanation of this puzzling mystic formnla : ” Om mani

    padmi hum!—the primeval six syllables, as the lamas l ly,

    among all prayers on earth form that which is most abundantly

    recited, written, printed, and even spun by machines for the

    good of the faithful. These syllables form the only prayer

    knoM’u to the ordinary Tibetans and Mongols; they are the first

    words that the child learns to stannner, and the last gasping

    utterance of the dying. The wanderer nmrmurs them on his

    M’ay, the herdsman beside his cattle, the matron at her household

    tasks, the monk in all the stages of contemplation (/.^., of

    fa7- niente) y they form at once a cry of battle and a shout of

    victory ! They are to be read wherever the Lama church

    hath spread, upon banners, upon rocks, upon trees, upon walls,

    upon monuments of stone, upon household utensils, upon strips

    of paper, upon human skulls and skeletons ! They foi*m, according

    to the idea of the believers, the utmost conception of all

    religion, of all wisdom, of all revelation, the path of rescue and

    the gate of salvation ! Properly and literally these

    four words, a single utterance of which is sufficient of itself

    to purchase an inestimable salvation, signify nothing more

    than : ” O the Jewel in the Lotus ! Amen !

    ” Li this interpretation,

    most probably, the Jetcel stands for the Bodhisatva

    Avalokite5vara, so often born from the bud of a lotus flower.

    According to this the whole fornmla is simply a salutation to

    the mighty saint who has taken under his especial chai-ge the

    conversion of the Xorth, and with him who first employed it

    the mystic formula meant no more than Ave AvaloJiitecvara !

    But this simple explanation of course does not satisfy the Lama

    schoolmen, who revel in glorifications and multitudinous glossifications

    of this formula. The six syllables are the heart of

    hearts, the root of all knowledge, the ladder to re-birth in

    higher forms of being, the conquerors of the five evils, the

    flame that burns up sin, the hannner that breaks up torment,

    and so on. Om saves the gods, tua the Asuras, ni the men, jH((7 the animals, ?//< the spectre world oi p?’etas, ^lan the in

    habitants of hell! O/a^ is ‘the blessing of self-renunciation,

    ma of mercy, ?u’ of chastity, etc’ * Truly monstrous,’ says

    Koeppen,”is the number oi pcuh/us \\\nch in the great festivals

    Imm and buzz through the air like flies.’ In some places

    each worshipper reports to the highest Lama how many oni

    ‘jiKinis he has nttered, and the total immber emitted by the

    congregation is counted by the billion.”

    Grueber and Dorville describe Manij>e as an idol, befoi’e

    which xtidfa yens insol’dis gcdleulatlonihus sacra sua faclt.,

    hlentldtn verTja haec repetens:

    —’ O JManipe, mi hum, O Manipe,

    mi hum ; id est Manipe, salva nos !

    ‘ ” Ileniusat {Melanges

    I^ostJiuiiies, Paris, 1843, p. 90) translates this phrase by:

    ” Adoration, O thou precious stone who art in the lotus ! ” and

    observes that it illustrates the fundamental dogma of Buddhism,

    viz. : the production of the material universe by an absolute

    being; all things which exist are shut up in the breast of the

    divine substance ; the ‘ precious stone ‘ signifying that tJte

    world is in God. Mr. Jameson says that the sentence Oni

    tnaxi jxtdiiii JuDKj is formed of the initial letters of various

    deities, all of whom are supposed to be implored in the prayer.’

    In reverential salutations, the cap is removed by the inferior,

    and tbe arms hang by the side. The bodies of the dead are

    placed in an open inclosure, in the same nuumer as practised by

    the Parsees, where birds and beasts of prey devour them, or

    they are dismembered in an exposed place. Lanuis are burned,

    and their ashes collected into urns. As soon as the breath has

    departed, the body is seated in the same attitude as Buddha is

    represented, with the legs bent before, aiul the soles of the feet

    turned upwards. The right hand rests upon the thigh, the

    left turns up near the body, the tlnnnb touching the shoulder.

    In this attitude of contemplation, the corpse is burned.

    In Tibet, as in Butan, the custom of polyandry prevails. The

    choice of a Avife lies with the eldest son, who having made

    known his intentions to his parents sends a matchmaker to pro-

    ‘ Comjiare, for further discussion of this suhjoct, Timkowski’s Misffion ts Peking, London. 1827, Vol. II., p. :i4y. Wilson’s Abode of >S/toiC, p. 329.

    TIBETAN TYPES AND CUSTOMS. 251

    pose the matter to the parents of the girl. The consent of the

    parents being obtained, the matchmaker places an ornament of

    a jewel set in gold, called sedskc upon the head of the damsel,

    and gives her presents of jewels, dresses, cattle, etc., according

    to the means of the young man. The guests invited on the

    day of the marriage bring presents of such things as they

    choose, which augments the dowry, A tent is set up before

    the bride’s house, in which are placed three or four square

    cushions, and the ground around sprinkled with wheat ; the

    bride is seated on the highest cushion, her parents and friends

    standing near her according to their rank, and the assembled

    party there partake of a feast. The bride is then conducted to

    the house of her lover by the friends present, her person being

    sprinkled with wheat or barley as she goes along, and there

    placed by his side, and both of them served with tea and spirits.

    Soon after, the groom seats himself apart, and every one present

    gives a scarf, those of superior rank binding them around their

    necks, equals and inferiors laying them by their sides. The

    next day, a procession is formed of the relatives of the newly

    married pair, wdiich visits all the friends, and the marriage is

    conqjleted. The girl thus becomes the wife of all the brothers,

    and manages the domestic concerns of their household. The

    number of her husbands is son)etimes indicated by as many

    points in her cap. This custom is strengthened by the desire,

    on the part of the family, to keep the property intact among

    its members ; but it does not prevent one of the husbands leaving

    the roof and marrying another woman, nor is the usage

    universal, liemusat speaks of a novel in Tibetan, in which the

    author admirably portrays the love of his heroine, Triharticha,

    for her four lovers, and bi’ings their marriage in at the end in

    the happiest manner.

    The dwellings of the poor are built of unhewn stones, rudely piled upon each other without cement, two stories high, and resembling brick-kilns in shape and size ; the windows are small, in order not to weaken the structure ; the roof is flat, defended by a brushwood parapet, and protected from the molestation of evil spirits by flags, strips of paper tied to strings, or branches of trees. Timber is costly and little used ; the floors are of marble or tiles, and the furniture consists of little else than mats and cushions. The temples and convents are more imposing and commodious structures ; some of those at Il’lassa are among the noblest specimens of architecture in Central Asia.

    The mausoleum of the Teshu-lama at Teshu Lumbu resembles

    a plain square watch-tower surmounted by a double Chinese

    canopy roof, the eaves of which are hung with Ijells, on which

    the breeze plays a ceaseless dirge. The body of the lama reposes

    in a coffin of gold, and his effigy, also of gold, is placed

    within the concavity of a large shell upon the top of the pyramidal

    structure which contains it. The sides of the pyramid

    are silver plates, and on the steps are deposited the jewels and

    other costly articles which once appertained to him. An altar

    in front receives the oblations and incense daily presented before

    the tomb, and near by is a second statue of the deceased as

    large as life in the attitude of reading. Scrolls and pennons of

    silk hang from the ceiling, and the walls are adorned with

    paintings of priests engaged in prayer. The whole structure is

    substantially built, and its rich ornaments are placed there n<jt

    less for security than to do honor to the revered person deposited

    beneath. The windows are closed with mohair curtains,

    and a skylight in the upper story serves for lighting the room,

    and for passing out upon the roof. The roof or parapet is

    ornamented with cylinders of copper or other nuiteiials, which

    imparts a brilliant appearance to the ediiices.

    The manufactures of Tibet consist of woollens, cloth, blankets,

    yarn, goat-hair shawls, musk, paper, metals, and jewelry.

    Their lapidaries cut every kind of oriuiment in superior style,

    and gold and silverware forms a considerable article of trade to

    China. These and other crafts nmst necessai’ily languish, liowever,

    from the immense proportion of men who are witiidi’awn

    from labor into monasteries, compelling the residue to devote

    most of their strength to tillage. The most important exports

    to China consist of gold dust, precious stones, bezoars, asafcetida,

    musk, woollens, and skins ; for which the people receive

    silks, teas, chinaware, tobacco, musical instruments, and metals.

    The trade is carried on throuy-h Sinino- fu in Kansuh, and Batang in Sz’chneii. Tincal, rock-salt, and shawl wool, are additional articles sent to Ladak, Biitan, and India.

    COMMERCE AND LANGUAGE OF TIBET. 25;}

    Music is studied by the priesthood for their ceremonies, and

    with much better effect than among the Chinese priests. Their

    amusements consist in archery, dancing, and observance of

    many festivals connected with the worship of the dead or of

    the living. Dram-drinking is common, but the people camiot

    be called a drunken race, nor does the habit of opium eating or

    smoking, so fatally general in Assam, prevail, inasmuch as the

    poppy cannot well be cultivated among the mountains.

    Education is confined to the priesthood, but the women, who conduct much of the traffic, also learn arithmetic and writing. The language is alphabetical, and reads from left to right; there are two forms of the character, the uchen used for books, and the umin employed in writing, which do not differ more than the Iloman and the running-hand in English. The form of the characters shows their Sanscrit origin, but there are many consonants in the language not found in that tongue, and silent letters are not unfrequent in the written words. There are thirty consonants in the alphbet, distributed into eight classes, with four additional voM-el signs ; each of them ends in a short a, as la, oiga, cJia, which can be lengthened by a diacritical mark placed underneath. The syllables are separated

    from each other by a point ; the accented consonant is that

    which follows the vowel, and the others, whether before or

    after it, are pronounced as rapidly as possible, and not unfrequently

    omitted altogether in speaking. The variations in this

    respect constitute the chief features of the patois found in different

    parts where Tibetan is spoken. A dictionary and grammar ‘

    of this language were printed in 1S34 in Calcutta by (‘soma de

    Korcis, a Hungarian who resided among the priests near Ladak.

    The literature is almost wholly theological, as far as it has been

    examined, and such works as are not of this character, have

    probably been introduced from China. Their divisions of time,

    numeration, chronology, and weights, have also been adopted

    ‘ Essay towards a Dictionary, Tibetan and English. A Grammar of the Tibetan Lauguage in English. Calcutta, 1834. from that country with a few alterations. An Englishman, Mr. Brian Hodgson, who lived in Kipal from lb20 to 1843, has added more than any one else to our knowledge of the literature of this country. This gentleman procured complete copies of the original documents of the Buddhist canon preserved in Sanscrit in Nipalese monasteries, as well as (by a present from the Dalai-lama) the whole of the existing literary remains of the once flourishing Christian mission at Il’lassa. His more important essays on these lands have now been brought together in a single volume.’

    The history of Tibet has been made partially known to Europe through the Mongol author, Sanang Setsen,^ but if free access could be had to their annals, it is probable that a methodical history could be extracted, reaching back at least three centuries before Christ. Tibet was ruled by its ow^n princes till the rise of Genghis ; the first monarch, who united the various tribes under his sway b. c. 313, was Seger-Sandilutu-Kagan-Tlil-Esen,^ and from the fact that Buddhism was introduced during his reign, it miglit be inferred that he came from the south. Il’lassa was founded by Srongzan-Ctambo, or Srongbdzan sgambouo,^ about a.d. 630, after which time Tibetan

    history becomes more authentic, inasmuch as this king introduced

    the alphabet. The Tang dynasty carried their arms into

    Tibet from Khoten, but the people threw off their yoke during

    the decline of that family. Mohammedanism also disturbed the

    supremacy of the Buddhist faith, and severe persecutions followed

    about the beginning of the tenth century by an Islam

    prince Darma, but it was rej^elled at liis death, and has neversince

    made the least impression upon the people. Genghis reduced

    Tangout, one of the principalities, northeast of Koko-nor,

    and soon after brought the whole country under his sway ; this

    ‘ Essays on the Language, Literature, and Religion of Nejial and Tibet, etc.Loudon, 1874.-‘ R musat, Observations stir VlJistoire des Mongols orientemix de S:inang Setsen,Paris, I’an 8. Ssanang Ssetsen, Oeschichte der Mongolen, Uebers., von. J.J. Schmidt, Petersb., 1829.^ Remusat relates tlic story of his origin, Melanges Posthmnes, p. 400.• Klaproth, Description du Tubet.

    HISTORY OF TIBET. 255

    Kiiblai still further settled as a dependency of his empire. The people recovered their independence on the expulsion of the Mongols, and under the Ming dynasty formed several small kingdoms, among which were Ladak and Rodok, both of them still existing.

    From a short resume of letters written from Tibet in 162(), by Romish missionaries living there, it appears that the kingdom of Sopo was the most powerful in the north, and Cogur, IT-tsang, and Mai-yul were three southern principalities. The king of Cogue allowed these missionaries to reside in his territories, and took pleasure in hearing them converse and dispute with the lamas. The Dalai-lama at this time was the king’s brother, and possessed subordinate influence in the state, but the priests were numerous and influential. The conquest of Mongolia and Tangout opened the way for Ivanglil to enter Tibet, but the intercourse between the Emperor and Dalai-lama was chiefly connected with religion and carrying tribute. An index of the freedom of communication between Tibet and the west is found in the passports issued to the traders visiting iriassa in lOSS. The lamas held the supreme power imtil towards the end of his reign, when Chinese influence became paramount. The country had already been concpiered by the Songar chieftain, so that on his defeat it could ofPer little resistance.

    Ivanghi appointed six of the highest princes or gidlho over the provinces ; but soon after his death, in 1727, three of them conspired against Yungching, and were not subdued without considerable resistance. The Emperor then appointed the loyal prince or gialbo as governor-general, and he remained in his vice-regal office till his death, about 1750. Kienlung, finding that his son was endeavoring to make himself fully independent, executed him as a rebel, suppressed the office, and appointed two Chinese generals to be associated with the Dalailama and his coadjutoi-, in the administration of the country.

    The troops were increased and forts erected in all parts of the country to awe the people and facilitate trade.

    The present government of Tibet is superintended by two ta chilly ‘or great ministers,’ residing at Il’lassa, who act con-“‘ointly, while they serve as checks upon each other ; they do not hold their office for a long time. They have absolute control over all the troops in the country, and the military are generally confined to the garrisons, and do not cultivate the soil. The collection of revenue, transmission of tribute to Peking, and direction of the persons who carry it, and those mIu) conduct the trade at Batang and Sining fu, are all under their control. The Dalai-lama, and the Teshu-lama are the high religious officers of the country, each of them independent in his own province, but the former holding the highest place in the hierarchy. The Chinese residents confer with each concerning the direction of his own province. All their appointments to office or nobility must be sanctioned by the residents before they are A’alid, but merely religious officers are not under this surveillance. In the villages, the authority is administered by secular deputy lamas called delni^ and by commandants called kaiipon^ who are sent from the capital. Each dcha is assisted by a native vazir of the place, who, Avith the chief lama, foiiii the local government, amenable to the supreme magistracy. The western province of Kari is peopled by nomads, who wander over the regions north of Tlavan-hrad, and are under the authority of larjxni-‘^ sent from IFlassa, without the assistance of lamas. The two higli-pi-iests themselves are likewise assisted by councillors. One of these, called Soopoon(‘hoondx)o, who held the office of sadeeh or adviser when Turner visited Teshu-Lumbo, was a ]V[anchu by birth, but had long lived in Tibet.

    GOVERNMENT OF TIBET. 257

    The nomadic clans of Dam Mongols and other tribes occupying the thirty-nine feudal townships or ta-sz’ in Anterior Tibet, are governed by the residents without the intervention of the lamas. The disturbances in Ulterior Tibet in 1792, resulting from the irruption of the Kipalese and sack of Teshu-Lumbo, were speedily quelled by the energy of Kienlung’s government, and the invaders forced to sue for mercy. The southern frontier was, in consequence of this inroad, strongly fortified by a chain of posts, and the communication with the states between Tibet and India strictly forbidden and w^atched. It gave the Chinese an opportunity to strengthen their rule and extend their inlluence north to Khoten and into Ladak. The natural mildness of character of the Tibetans, and similarity of religion renders thera much easier under the Chinese joke, than the Mohammedans.*
    ‘ Authorities on Tibet besides those already referred to: Journal Asiatique,Tomes IV., p. 281 ; VIII., p. 117; IX., p. 81 ; XIV., pp. 177, ff. 277, 406,etc. Dii Halde, DescHption of (Jhiim., Vol. II., pp. 884-888. Capt. Samuel Turner, Account of an Embassy to the Court of Teslioo Lama in Tibet, London, 1800. Histoire cic ce qui s’est ]Mi>se au lioyaume du Tibet, en Pann’e 1(}26 ; trad de I’ltalien. Paris, 1829. P. Kircher, CJiinn llhistrnta. MM. Peron et Billecocq, liecueil de Voyages du lldbet, Paris, 1796. Journal of the Asiatic Society of Bengal^ passim. Chinese Repository, Vols. VI., pp. 28, 494,IX., p. 20, and XIII., p. 50.5. Hitter, Asien, Bd. II., 4er Abschnitt, and Bd.III., S. 187-424. Richthofen, China, Bd. I., S. 228, 247, 466, 670, 688, etc.C. H. Desgodin, La mission du Tibet de 1855 a 1870, comprennant Pexpose desaffaires rdigieuses, etc. Dhtpres les lettres de M. fabbe Desgodins, missionaireapofitoliquc, Verdun, 1872. Lieut.’ Kreitner, Jm fernen Osten, pp. 829 ff.,and in The r»jndar Science Monthly, for August, 1882. Emil Schlagintweit,Tibetan Buddhism, Illustrated by Literary Documents and Objects of Religious Worship, London, 1868. Abbe Hue, I’ravels through Tartary, Tibet and China, 2 vols.Vol. I.—17

    CHAPTER V. POPULATION AND STATISTICS

    Much of the interest appertaining to the country and people here treated of, in the minds of philanthropic and intelligent men, has arisen from the impression they have received of its vast population. A country twice the size of the Chinese empire would present few attractions to the Christian^ the merchant, or the ethnologist, if it were no better inhabited than Sahara, or Arizona : a people might possess most admirable institutions, and a matchless form of government, yet these excellencies would lose their interest, did we hear that it is the republic of San Marino or the kingdom of Muscat, where they are found. The population of few countries in the world has been accurately ascertained, and probably that of China is less satisfactory than any European or American state of the present day. It is far easier to take a census among a people who understand its object, and will honestly assist in its execution, than in a despotic, half-civilized country, Avherc the mass of the inhabitants are afraid of contact or intercourse with their rulers; in most of such states, as Abyssinia, Turkey, Persia, etc., there is either no regular emnneration at all, or merely a general estimate for the purposes of i-cvemie or conscription.

    CREDIT DUE TO CHINESE CENSUSES. 259

    The subject of the population of Cliiiui has engaged the attention of the monarchs of the present dynasty, and their censuses have been the best sources of information in making up an intelligent opinion upon the matter. Whatever may be our views of the actual population, it is plain that these censuses, with all their discrepancies and inaccuracies, are the only reliable sources of information. The conflicting opinions and

    conclusions of foreign writers neither give any additional weight

    to them, nor detract at all from their credibility. As the question

    stands at present, they can be doubted, but cannot be

    denied ; it is impossible to prove them, while there are many

    grounds for believing them; the enormous total which they

    exhibit can be declared to be improbable, but not shown to be

    impossible.

    No one who has been in China can hesitate to acknowledge that there are some strong grounds for giving credit to them, but the total goes so far beyond his calculations, that entire belief nmst, indeed, be deferred till some new data have been furnished. There are, perhaps, more peculiar encouragements

    to the increase of population there than in any other

    country, mostly arising from a salubrious climate, semi-annual

    crops, unceasing industry, early marriages, and an equable

    taxation, involving reasonable security of life and property.

    Turning to other countries of Asia, we soon observe that in

    Japan and Persia these causes have less influence ; in Siam

    and Burmah they are weak ; in Tibet they are almost powerless.

    At this point every one must rest, as the result of an examination

    into the population of the Chinese Empire ; though,

    from the survey of its principal divisions, made in the preceding

    chapters, its capability of maintaining a dense population needs

    no additional- evidence. The mind, however, is bewildered in

    some degree by the contemplation of millions upon millions of

    human beings thus collected under one government ; and it

    almost wishes there might be grounds for disbelieving the

    enormous total, from the dieadful results that might follow

    the tyrannical caprice or unrestrained fury of their rulers,

    or the still more shocking scenes of rapine and the hideous

    extremities of want which a bad harvest would necessarily

    cause.

    Chinese literature contains many documents describing

    classes of society comprised in censuses in the various dynasties.

    The results of those enumerations have been digested by Ma

    Twan-lin in a judicious and intelligent manner in the chapters

    treating on population, from which M. Ed. Biot has elaborated

    many important data.’ The early records show that the census

    was designed to contain only the number of taxable people, excluding all persons bound to give personal service, who were

    under the control of others. Moreover, all othcials and slaves,

    all persons over 60 or 66 years of age, the weak or sick, those

    needing help, and sometimes such as were newly placed on state

    lands, were likewise omitted. Deducting these classes. Ma

    Twan-lin gives one census taken in the ninth century, b.c, as

    13,704,923 persons, between the ages of 15 and 05, living

    within the frontiers north of the Yangtsz’ Eiver. This figure

    would be worth, according to the tables of modern statistics,

    about 65 per cent, of the entire population, or as representing

    21,753,528 inhabitants.

    The mighty conqueror, Tsin Chi Ilwangtf, changed the personal

    corvc’c to scutage, and introduced a kind of poll tax, by

    accepting the money from many who could not be forced to do

    the work required. This practice was followed in the 11 an

    dynasty, and in b.c. 194, the poll-tax was legalized, to include

    all men between 15 and 66, while a lighter impost was le\ ied

    on those between 7 and 14. During the four centuries of this

    family’s regime, the object and modes of a census were well

    understood. Ma Twan-lin gives the results of ten taken between

    A.D. 2 and 155. His details show that it was done

    simply for revenue, and was omitted in bad years, when drought

    or freshets destroyed the harvests ; they show, too, an increase

    in the number of slaves, that women were now enumerated,

    and that girls between 15 and 30 paid a poll-tax. In b.c. 30,

    the limits of age were placed between 7 and 56. The average

    of these ten censuses is 63,500,600, the first one being as high

    as 83,640,000, while the next and lowest, taken fifty-five years

    afterwards, is only 29,180,000, and the third is 47,396,<»00.

    These great variations are explained by the disturbances arising

    in consequence of the usurpation of Wangmang, a.d. 9-27, and

    subsequent change of the ca})ital, and the impossibility, during

    this troubled period, of canvassing all parts of the Empire.

    ‘ This careful digest is contained in the Journal Asiatique for 1836 (April and May), and will repay perusal.

    MA TWAN-LIN’s study OF THE cp:nsu8es. 261

    The irfcroiice from thesc data, that tlio real population of the Chinese Empire north of the Nan ling at the time of Christ was at least eighty millions, is as well groinided as almost any fact in its history.’

    After the downfall of the Ilan dynasty, a long period of

    civil war ensued, in which the destruction of life and property

    was so enormous that the population was i-educed to one-sixth

    of the amount set down in a.d. 230, when disease, epidemics,

    and earthquakes increased the losses caused by war and the cessation

    of agricultui’e, according to Ma Twan-lin ; and it is not

    till A.D. 280, when the Tsin dynasty had subjected all to its

    sway, that the country began to revive. In that year an enumeration

    was made which stated the free peojjle between 12

    and 66 years in the land at 14,163,863, or 23,180,000 in all.

    From this period till the Sui dynasty came into power, in 589,

    Cliina was torn by dissensions and rival monarchs, and the

    recorded censuses covered only a portion of the land, the figures

    including even fewer of the people, owing to the great number

    of serfs or bondmen who had sought safety under the protection

    of landowners. At this time a new mode of taking the census

    was ordered, in M’hich the people were classified into those from

    1 to 3 years, then 3 to 10, then 10 to IT, and 17 to 60, after

    which age they were not taxed ; the ratio of the land tax was

    also fixed. A .census taken in 606 in this way gives an estimated

    population of 46,019,956 in all China ; the frontiers, at

    this period, hardly reached to the Xan ling Mountains, and the

    author’s explanation of the manner of carrying on some public

    works shows that even this sum did not include persons who were

    liable to l)e called on for personal service, while all officials, slaves,

    and beggars were omitted. Troubles arose again from these

    enforced works, and it was not till the advent to power of the

    Tang dynasty, in 618, that a regular enumeration was possible.

    ‘ The population of the Ronican Empire at the same period is estimated at 85,000,000 bj Merivale (Vol. IV., pp. ‘^,?,Q-M’^i), but the data are less complete than in China; he reckons the European provinces at 45,000,000, and the Asiatic and African colonies at the remainder, giving 27,000,000 to Asia Minor and Syria. The area of China, at this time, was less than Rome by about one fourth.

    This family reigned 287 years, and Ma Twan-lin gives fifteen

    returns of the population up to 841. They show great variations,

    some of them difficult to explain even by omitting ot

    supplying large classes of the inhabitants. The one most carefully

    taken was in a.d. 75-i, and gives an estimated total of

    about seventy millions for the whole Empire, which, though

    nearly the same as that in the Ilan dynasty in a.d. 2, extended

    over a far greater area, even to the whole southern seaboard.

    In addition to former enumerated classes, many thousands of priests were passed by in this census.

    The years of anarchy following the Tang, till a.d. 976, M-hen the Sung dynasty obtained possession, caused their usual effect. Its first census gives only about sixteen millions of taxable population that year, when its authority was not firmly assured ; but

    in 1021 the returns rise to 43,388,380, and thence gradually

    increase to 100,095,250 in 1102, just before the provinces north

    of the Yellow River, by far the most fertile and loyal, were lost.

    The last enumeration, in 1223, while Ma Twan-lin was living,

    places the returns in the southern provinces at 63,304,000 ; this

    was fifty years before Kublai khan conquered the Empire. Our

    author gives some details concerning the classes included in the

    census during his own lifetime, which prove to a reasonable

    mind that the real number of mouths living on the land Avas, if

    anything, higher than the estimates. In 1290, the Mongol

    Emperor published his enumeration, placing the taxable population

    at 58,834,711, “not counting those who had fled to the

    mountains and lakes, or who had joined the rebels.” This was

    not long after his ruthless hand had almost depopulated vast

    regions in the northern provinces, before he could quiet them.

    In the continuation of Ma Twan-lin’s Ti (‘searches, thei-e are

    sixteen censuses given for the Ming dynasty between 1381 and

    1580 ; the lowest figure is 46,800,000, in 1506, and the highest,

    66,590,000, in 1412, the average for the two centuries being

    56,715,360 inhabitants. One of its compilers declares that he

    cannot reconcile their great discrepancies, and throws doubts on

    their totals from his inability to learn the mo(^leof emimeration.

    Three are given for three consecutive years (1402-1404), the

    difference between the extremes of which amounts to sixteen

    millions, but they were all taken when Yungloh was fighting Kienwan, his nephew, at Nanking, and settling himself at Peking as Emperor, during which years large districts could not possibly have been counted.

    COMPARATIVE CENSUS TABLES. 263

    Before entering upon a careful examination of this question,

    it will be well to bring together the various estimates taken of

    the population during the present dynasty. The details given

    in the table on page 264 have been taken from the best sources,

    and are as good as the people themselves possess.

    Besides these detailed accounts, there have been several

    aggregates of the whole country given by other native writers

    than Ma Twan-lin, and some by foreigners, professedly drawn

    from original sources, but who have not stated their authorities.

    The most trustworthy, together with those given in the other

    table, are here placed in chronological order.

    Authorities.

    / Continuation of MaTwan-lin. Ed.I Biot, Jour7ial Asiatique, 1836.

    Oeneral Statistics of the Empire ;Medhurst’s China, p. 53.

    ‘, Till Tung Chi, a statistical work; \ Morrison’s View of China.

    j General Statistica ; Chinese Repository, Vol. I., p. 359.

    I Memoires sur les Chinois, Tome f VI., p. 377 ff.

    ] Les Missionaires, De Guignes,

    I Tomelll, p. 67.

    i General Statistics ; Chinese Repo-

    \ sitory. Vol. I., p. 359.

    J

    Yih Tung Chi, a statistical work ;

    ( Morrison’s Vieto of China.

    I Memoiressur lesChinois^TomeYI.

    f De Guignes, Tome III. , p. 73.

    j Allerstein ; Grosier ; De Guignes,

    ] Tome III., p. 67.

    \ ” Z.” of Berlin, in Chinese Repo-

    \ sitory. Vol. I., p. 361.

    j General Statistics ; Dr. Morrison,

    I Anglo-Chinese Coll. Report,

    \ 1839. Statement made to Lord

    ( Macartney.

    ] General Statistics ; Chinese Repo-

    ( sitory. Vol. I., p. 359.

    \ VassUivitch.

    ] Chinese Ciistoni’s Reports.

    Seven of these censuses, viz., the 7th, 8th, 12th, 13th, 17th,

    20th, 21st and 23d, are given in detail in the following table.

    364 tiij: middle kingdom.

    c O 3) CP o o^o^o —^ ~_ —_ —_ o ^_ :r_ —__ o

    ©j”-^’cct-*” CO* -T ;r”-r – to 7?’ ::’ //cc -T ir: r*’

    Tr-gi,-(0 CO rrir2-Tr;c;-T:ct:r-r. r: xco

    els??,:

    ~ ^? 5 »

    oil a>

    ^_^ —• N^ ^-^ ,*J l*X ^—’ -‘. ‘y T —^ ^’. l*X ^ ‘.r •— •*•’ -f^

    x’jT C-“cTi–rT^jij ;^’ -^ (^ —’ ^ ;^” 4^ai”X iO ifj

    1(5 = 100 o ooin o

    :c JO t- a, -^ lO =- r; o

    o iO X CO ;o 00 ?* T 😮

    I- rt as i: i- «:ca:_^ s-j

    ;C5’rX!W CO ;c”iCt:^ -^

    lO OOO U3″0 O

    CO <— O iC T 2? ?*

    O X O ‘^ lO ^ cc

    JB ‘—O i-H TJ ‘-‘.’5”

    a;i-r^5’*o^»:c-jrm -r o c: ir: ‘t t-_^oo (»

    cS X vr rr .r CO = 7′ – i m /; th x g 3 o (- :^

    <r« !- t- ^r ^ (- c; -r :^ = x o; x i- t-_~ -r o 😮

    irfic c:’i; ITT* r-‘ lo’xTx.’ x’ i- 1- ttScovi tT

    t-i U r-l(N T( ri 1-1

    ‘”id

    •52J «

    000=0000 oO oO oO oO oO O00!=0G> oO oO O00O0-^ 000= O — 00 C= 0^=:__0_0 0^0 0^=^ 0000 cT o”o cTo^oo cTcTo ^o

    o

    O0O0^0J0O Oo o_^o^o__o_o_0o_0o;3o_o=_^0oo0_o0_^

    oo*-*i-^io” 5* cTi-j’io’^’MocrirJtfT-fo’oroo’

    o

    roi-HrtS:ci-*ooot-5einQooif5 05o;e

    :*-Hi-oin~ X — oioiocii-o^Cii-H^^X’

    –r(T-<inOOC-**3’Ol0^rlO 0_’X^T* ?? c*^

    d” -T t–‘ cc^X :c o” i-^ oT ^* i-^ CO irf~ TT co’cd” T—* tjoccTco-

    Tioi-i-inoOicoi-t-ixco’-o

    15 O O 00 ri O S^ l-^CC CO ‘^^’^..^ •^’*^*’^ ^

    <i-iff{ra?;s«T<r-ie«i-ii-i>-i(NT-i

    Gi-l

    O

    t-.’NTH-Ot-i-iT-IQ035O(NWMC0 00C:XlX5»

    r-lt-0-n’CC;CiOOO:COTO-TIN3:-TT-ITJ>in-T

    OT0003C00iCC’NQ0C000?rO’W”T ^^CO X O t-^

    -^aTs^-^ooiffiO ‘?f0^00 cc^r-Tco co”oi”u5 x’ CO r-T

    t-OOt-Ht-IC0OC0»-lCCC010:CC0C0l— rHOS-^

    COt-T-ii-i;C-»OCO£- lO^CO O0_t-H CO cb os_i-_^o ‘»

    ofw itT t-^ cfcTiO*x -^ ‘^’” t”cc 5^ T-T cc’ T-T r-T r-T

    IS

    . OJXt-TH3:05iOt-e«o:»»T)’Xin3:cO’l’

    •(NXOCOC:-TTr(MXOt-lO:-‘£. XCD35 -~ — ~ ‘ “) 05 T-i_o; o^ o :c »-»

    _. -_ _ – _ TrH-^’oO lOrH *rf ‘t’ C:0~’-ilO«i-(CCCDt–^i-l-T-^Ol010 ” ^”^CCWCOfHT-HT* 74

    t-T itT

    uoi:(‘B[ndod uaAV

    lO^’NOOlOO^COCirlCOlOXrHCO*”-!

    t-^lflT^iOOC^t’-l’-XiQirtt-fN-TasXO

    •^Tji’TiTJ’Xt— COCD’WCC(?*»-<THf-ifW

    s

    THE CENSUSES INDIVIDUALLY CONSIDERED. 265

    The first three belong to the Ming dynasty, and are taken from

    a continuation of Ma Twan din’s Researches, whence they were

    quoted in the Mtrror of Hlstonj, without their details. During

    the Ming dynasty, a portion of the country now called the

    Eighteen Provinces, was not under the control of IlungM’u and

    his descendants. The wars with the Japanese, and with tribes

    on the north and west, together with the civil wars and struggles

    between the Chinese themselves, and with the Nu-chi in

    Manchuria, nmst have somewhat decreased the population.

    The first census of 1662 (No. 4), is incidentally mentioned by

    Kierlung in 1791, as having been taken at that time, from his

    making some observations upon the increase of the population

    and comparing the early censuses with the one he had recently

    ordered. This sum of 21,068,600 does not, however, include

    all the inhabitants of China at that date ; for the Manchus

    commenced their sway in 161:’±, and did not exercise full authority

    over all the provinces much before 1700 ; Canton was

    taken in 1650, Formosa in 1683.

    The census of 1668 (Ko. 5), shows a little increase over that

    of 1662, but is likewise confined to the conquered portions ; and

    in those provinces which had been subdued, there were extensive

    tracts which had been almost depopulated at the conquest.

    Any one who reads the recitals of Semedo, Martini, Trigautius,

    and othei’s, concerning the massaci-es and destruction of life

    both by the Manchus and by Chinese l)andits, between 1630

    and 1650, M’ill feel no loss in accounting for the diminution of

    numbers, down to 1710. But the chief explanation of the decrease

    from sixty to twenty-seven millions is to be found in the

    object of taking the census, viz., to levy a poll-tax, and get at

    the number of men fit for the army—two reasons for most men

    to avoid the registration.

    The census of 1711 (No. 8), is the first one on record which bears the appearance of crediljility, when its several parts are compared with each other. The dates of the preceding (Nos. 6 and 7), are rather uncertain ; the last was extracted by Dr. Morrison from a book published in 1790, and he thought it was probably taken as early as 1650, though that is unlikely.

    The other is given by Dr. Medhurst without any explanation, and their great disparity leads us to think that both are dated wrongly. The census of 1711 is much more consistent in itself, though there are some reasons for supposing that neither did it include all the population then in China. The census was still taken for enrolment in the army, and to levy a capitation tax upon all males between the ages of sixteen and sixty. But this tax and registration were evaded and resisted by the indignant Chinese, who had never been chronicled in this fashion by their own princes; the Emperor Kanghi, therefore, abolished the capitation tax. It was not till about this time that the

    Manchus had subdued and pacified the southern provinces, and

    it is not improbable that this census, and the survey taken by

    the Jesuits, were among their acts of sovereignty. Finding

    the people unwilling to be registered, the poll tax was merged

    in the land tax, and no census ordered during the reign of

    Yungching, till Kienlung revived it in order to have some

    guide in apportioning relief during seasons of distress and scarcity,

    establishing granaries, and aiding the police in their duties.

    Many, therefore, who would do all in their power to prevent

    their names being taken, when they were liable to be taxed or

    called on to do military service, could have no objection to

    come forward, when the design of the census was to benefit

    themselves. It matters very little, however, for what object the

    census was taken, if there is reason to believe it to have been

    accurate. It might indeed act as a stimulus to multiply names

    and figures whom there were no people to represent, as the

    principle of paying the marshals a percentage on the numbers

    they reported did in some parts of New York State in 1840.

    The three next numbers (9, 10, and 11), are taken from De

    Guignes, who quotes Amiot, but gives no Chinese authorities.

    The last is given in full by De Guignes, and both this and that

    of Allerstein, dated twenty years after, ai-e introduced into the

    table. There are some disci’epancies between these two and

    the census of 1753, taken from the General Statistics, which

    cannot easily be reconciled. The internal evidence is in favor

    of the latter, over the census of 1743 ; it is taken from a new

    edition of the Ta Tsing IFioul Tien, or ‘ General Statistics of

    the Empire,’ and the increase during the forty-two years which

    COMPAIJISON OF LATER CENSUSES. 267

    had elapsed since the last census is regular in all the provinces,

    with the exception of Shantung and Kiangnan. The extraordinary

    fertility of these provinces would easily induce immigration,

    while in the war of conquest, their popnlousness and wealth attracted the armies of the Manchus, and the destruction of life was disproportionably great. The smaller numbers given to the western and southern provinces correspond

    moreover to the opposition experienced in those regions.

    On the whole, the census taken in 1753 compares very well

    with that of 1711, and both of them bear an aspect of verity,

    which does not belong to the table of 1743 quoted by De Guignes.

    From 1711 to 1753, the population doubled itself in about

    twenty-two years, premising that the whole country was faithfully

    registered at the iii-st census. For instance, the province

    of Kweichau, in 1711, presents on the average a mere fraction

    of a little more than a single person to two square miles ; while

    in 1753 it had increased in the unexampled ratio of three to a square mile, which is doubling its population every seven years ; Kwangtung, Kwangsi, and Kansuh (all of them containing to this day, partially subdued tribes), had also multiplied their numbers in nearly the same proportion, owing in great measure, probably, to the more extended census than to the mere increase of population.

    The amounts for 173G, three of 1743, and those of 1760,

    1761, and 1762 (Xos. 9, 10, 11, 12, 15, 16, and 17), are all extracted

    from De Guignes, who took them from the Memolres

    sur les Chlnois. The last, that of 1762, is given in detail in the

    table. The discrepancy of sixty millions between that given

    by Amiot for 1760, and that by Dr. Morrison for the same

    year, is owing, there can be little doubt, to foreigners, and not

    to an error of the Chinese. The work from which Dr. Morrison

    extracted his estimate for that year was published in 1790,

    but the census was taken between 1760 and 1765. The same

    work contains the census of 1711 (Xo. 8), quoted by him, and

    there is good cause for believing that Amiot’s or Grosier’s

    estimate of 157,343,975 for 1743, is the very same census, he having multiplied the number 28,605,716 by five, supposing them to have been families and not individuals. The three ascribed to the year 1743, are probably all derived from the same native authorities by different individuals.

    The three dated in 1760, 1761, and 1762, are harmonious with each other ; but if they are taken, those of 1753 and 1760, extracted from the Ylh Tung CIu hy I)i-. Morrison, must be rejected, which are far more reasonable, and correspond better with the preceding one of 1711. It may be remarked, that by reckoning five persons to a family in calculating the census of 1753, as Amiot does for 1743, the population would be 189,223,820 instead of 103,050,060, as given in the table. This explains the apparent decrease of fifty millions. All the discrepancies between these various tables and censuses must not be charged upon the Chinese, since it is by no means easy to ascertain their modes of taking the census and their use of terms. In the tables, for example, they employ the phrase y^/lting, for a male over 15 years of age, as the integer ; this has, then, to be multiplied by some factor of increase to get at the total population ; and this last figure must be obtained elsewhere.

    It must not be overlooked that the object in taking a census being to calcidate the probable revenue by enumei’atingthe taxable persons, the margin of error and deficiency depends on the peace of the state at the time, and not chiefly on the estimate of five or more to a household.

    The amount for 1736 corresponds sufficiently closely with that for 1743 ; and reckoning the same number of persons in a family in 1753, that tallies well enough with those for 1760, 1761, and 1762, the whole showing a gradual increase for twenty-five years. But all of them, except that of 1753, ai’6 probably rated too high. That for 1762 (Xo. 17), has been justly considered as one of the most authentic.

    THE FOUR MOST RELIABLE CEISTSUSES. 269

    The amount given by ” Z.” of Berlin (Xo. 18), of 155^ millions for 1790 is quoted in the Clihiem liejms’dot’y, but the writer states no authorities, was probably never in China, and as it appears at present, is undeserving the least notice. That given by Dr. Morrison for 1792 (Xo. 19), the year before Lord Macartney’s embassy’, is quoted from an edition of that date, but probably Avas really taken in 1765 or thereabouts, but he did nut publish it in detail.’ It is probably much nearer the truth than the amount of ao’d millions by the commissioner Chau to the English ambassador. This estimate has had much more respect paid to it as an authentic document than it deserved.

    The Chinese connnissioner would naturally wish to exalt his country in the eyes of its far-travelled visitors, and not having the official returns to refer to, would not be likely to state them less than they were. lie gave the population of the provinces in round numbers, perhaps altogether from his own memory, aided by those of his attendant clerks, with the impression that his hearers would never be able to refer to the original native authorities.

    The next one quoted (Xo. 21) is the most satisfactory of all the censuses in Chinese works, and was considered by both the Morrisons and by Dr. Bridgman, editor of the Chinese Jiejwsitori/, as ” the most accurate that has yet been given of the population.”

    In questions of this nature, one well authenticated table is

    worth a score of doubtful origin. It has been shown how

    apocryphal are many of the statements given in foreign books,

    but with the census of 1812, the source of error which is chiefly

    to be guarded against is the average given to a family. This

    is done by the Chinese themselves on no uniform plan, and it

    may be the case that the estimate of individuals from the number

    of families is made in separate towns, fi-oni an intimate

    acquaintance with the particular district, which would be less

    liable to eri-or than a general average. The number of families

    given in the census of 1753, is 37,785,552, which is more than

    one-third of the population.

    The four censuses which deserve the most credit, so far as

    the sources are considered, are those of 1711, 1753, 1792, and

    1812 {i.e., Nos. 8, 13, 19, and 21) ; these, when compared,

    show the following rate of increase: From 1711 to 1753, the population increased 7”1,222,602,

    which was an annual advance of l,70-±,82-l: inhabitants, or a’ Sir G. Staunton, PJmbassy to China, Vol. II., Appendix, p. 615 : ” Table of the Population and Extent of China proper, within the Great V/all. Taken in round numbers from the Statements of Chow ta-zhin.” little more than six per cent, per annum for forty-two years.

    Tiiis high rate, it must be remembered, does not take into account

    the more thorough subjugation of the south and west at

    the later date, when the Manchus could safely enrol large districts,

    where in 1711 they would have found so much difficulty

    that they would not have attempted it.

    From 1753 to 1792, the increase was 104,636,882, or an annual

    advance of 2,682,997 inhabitants, or about 2^ per cent,

    per annum for thirty-nine years. During this period, the

    country enjoyed almost uninterrupted peace under the vigorous

    sway of Kienlung, and the unsettled regions of the south and

    west rapidly filled up.

    From 1792 to 1812, the increase was 51:,126,679, or an annual

    advance of 2,706,333—not quite one per cent, per annum

    —for twenty years. At the same rate of progress the present

    population would amount to over 150,000,000, and this might

    have been the case had not the Tai-ping rebellion reduced the

    numbers. An enumeration (Xo. 22), was published by the

    Russian Professor of Chinese Yassilivitch in 1868 as a translation

    from official documents. Foreigners have had greater

    opportunities for travel through the country, between the years

    1840 to 1880, and have ascertained the enormous depopulation

    in some places caused by wars, short supplies of food in consequence

    of scarcity of laborers, famines, or brigandage, each

    adding its own power of destruction at different places and

    times. The conclusion will not completely satisfy any inquirer,

    but the population of the Empire cannot now reasonably

    be estimated as high as the census of 1812, by at

    least twenty-five millions. The last in the list of these censuses

    (No. 23), is added as an example of the efforts of intelligent

    persons residing in China to come to a definite and

    independent conclusion on this point from such data as they

    can obtain. The Imperial Customs’ Service has been able to

    command the best native assistance in their researches, and the

    table of population given above fi-om the Gotha Almanac is

    the sunnnary of what has been ascertained. The population

    of extra-})rovincial (^hina is really uulvnown at present. Manclmria

    is put down at twelve millions by one author, and three

    PRESUMPTIVE EVIDENCE IN THEIR FAVOR. 271

    or four millions, by another, without any official autliurity for

    either ; and all those vast regions in Ili and Tibet may easily

    be set down at from twelve to fifteen millions. To sum up,

    one must confess that if the Chinese censuses are worth but

    little, compared with those taken in European states, they are

    better than the guesses of foreigners who have never been in

    the country, or who have travelled only partially in it.

    The Chinese are doubtless one of the most conceited nations

    on the earth, but with all their vanity, they have never bethought

    themselves of rating their population twenty-five or

    thirty per cent, higher than they suppose it to be, for the purpose

    of exalting themselves in the eyes of foreigners or in their

    own. Except in one case none of the estimates were presented

    to. Of intended to be known by foreigners. The distances in U

    between places given in Chinese itineraries correspond very

    well with the real distances ; the number of districts, towns,

    and villages in the departments and provinces, as stated in

    their local and general topographical works, agree with the

    actual examination, so far as it can be made : why should their

    censuses be charged with gross error, when, however much we

    may doubt them, we cannot disprove them, and the weight of

    evidence derived from actual observation rather confirms them

    than otherwise ; and while their account of towns, villages,

    distances, etc., are unhesitatingly adopted until better can be

    obtained ? Some discrepancies in the various tables are ascribable

    to foreigners, and some of the censuses are incomplete,

    or the year cannot be precisely fixed, both of which vitiate the

    deductions made from them as to the rate of increase. Some

    reasons for believing that the highest population ascribed to

    the Chinese Empire is not greater than the country can support,

    will first be stated, and the objections against receiving the

    censuses then considered.’

    ‘ This interesting subject can then be left with the reader, who will find

    further remarks in Medhurst’s China, De Guignes’ Voyages d Peking, The Missionaries,

    in Tomes VI. and VIII. of Memoires, Ed. Biot, in Journal Asiatique

    for 1836. The Numerical Relations of the Population of China during the 4,000

    Years of its Historical Existence ; or the Rise and Fall of the Chinese Pojmlation,

    by T. Sacharoflf. Translated into English by the Rev. W. Lobscheid, Hongkong,

    1862. Notes and Queries on China and Japan, Vol. II., pp. 88, 103, and 117

    The area of the Eighteen Provinces is rather imperfectly given

    at 1,348,870 sqnare miles, and the average population, there

    fore, for the whole, in 1812, was 268 persons on every sqnare

    mile ; that of the nine eastern provinces in and near the Great

    Plain, comprising 502,192 sqnare miles, or two-fifths of the

    whole, is 458 persons, and the nine southern and western provinces,

    constituting the other three-fifths, is 154 to a square mile.

    The surface and fertility of the country in these two portions

    differ so greatly, as to lead one to look for results like these.

    The areas of some European states and their population, are

    added to assist in making a comparison with China, and coming

    to a clearer idea about their relative density.

    states.

    France

    German}’ . ..

    Great Britain

    Italy

    Holland

    Spain

    Japan

    Benural

    204.092

    212,091

    121,608

    114,296

    20,497

    190,625

    160,474

    156,200

    Population.

    dp:nsity of populations in Europe and china. 273

    ture-lands, and only ten millions devoted to grain and vegeta

    bles ; the other two millions consist of fallow-ground, hop-beds,

    etc. One author estimates that in England 42 acres in a hundred,

    and in Ireland G4, are pastures—a little more than half of

    the whole. There are, then, on the average about two acres of

    land for the support of each individual, or rather less than this,

    if the land required for the food of horses be subtracted. It

    has been calculated that eight men can be fed on the same

    amount of land that one horse requires ; and that four acres of

    pasture-land will furnish no more food for man than one of

    ploughed land. The introduction of railroads has superseded

    the use of horses to such an extent that it is estimated there are

    only 200,000 horses now in England, instead of a million in 1830.

    If, therefore, one-half the land appropriated to pasture should

    be devoted to grain, and no more horses and dogs raised than a

    million of acres could support, England and Wales could easily

    maintain a population of more than four hundred to a square

    mile, supposing them to be willing to live on what the land and

    water can furnish.

    The Irish consume a greater proportion of vegetables than

    the English, even since the improvement by emigration after

    1851 ; many of these live a beggaily life upon half an acre, and

    even less, -and seldom taste animal food. The quantity of land

    under cultivation in Belgium is about fifteen-seventeenths of

    the whole, which gives an average of about two acres to each

    person, or the same as in England. In these two countries, the

    people consume more meat than in Ireland, and the amoimt of

    land occupied for pasturage is in nearly equal proportions in

    Belgium and England. In France, the average of cultivated

    land is If acre ; in Holland, If acre to each person.

    If the same proportion between the arable and uncultivated

    land exists in China as in England, namely one-fourth, there are

    about six hundred and fifty millions of acres under cultivation

    in China ; and we are not left altogether to conjecture, for by a

    report made to Ivienlung in 1745, it appears that the area of

    the land under cultivation was 595,598,221 acres ; a subsequent

    calculation places it at 640,579,381 acres, which is almost the

    same proportion as in England. Estimating it at six hundred and fifty millions—for it lias since increased rather than diminished—it gives one acre and four-fifths to every person, Which is by no means a small supply for the Chinese, considering that there are no cultivated pastures or meadows.

    In comparing the population of different countries, the

    manner of living and the articles of food in use, form such important

    elements of the calculation, in ascertaining whether the

    country be overstocked or not, that a mere tabular view of the

    number of persons on a square mile is an imperfect criterion of

    the amount of inhabitants the land would maintain if they consumed

    the same food, and lived in the same manner in all of

    them. Living as the Chinese, Hindus, Japanese, and other

    Asiatics do, chiefly upon vegetables, the country can hardly be

    said to maintain more than one-half or one-third as many people

    on a square mile as it might do, if their energies were developed

    to the same extent with those of the English or Belgians.

    The population of these eastern regions has been repressed by the combined influences of ignorance, insecurity of life and property, religious prejudices, vice, and wars, so that the land has never maintained as many inhabitants as one would have otherwise reasonably expected therefrom.

    Nearly all the cultivated soil in China is employed in raising food for man. AVoollen garments and leather are little used, while cotton and mulberry cultivation take np only a small proportion of the soil. There is not, so far as is known, a single acre of land sown with grass-seed, and therefore almost no human labor is devoted to raising food for animals, which will not also serve to sustain man. Horses are seldom used for pomp or war, for travelling or carrying burdens, but mules, camels, asses, and goats are employed for transportation and other purposes north of the Yangtsz’ River. Horses are fed on cooked rice, bran, sorghum seed, pulse, oats, and grass cut along

    the banks of streams, or on hillsides. In the southern and

    eastern provinces, all animals are rare, the transport of goods

    and passengers being done by boats or by men. The natives

    make no use of butter, cheese, or milk, and the few cattle employed

    in agriculture easily gather a living on the waste ground

    around the villages. In the south, the buffalo is applied more

    AREA AND VALUE OF ARABLE LAND IN CHINA. 275

    than the ox to plough the rice fields, and the habits of this

    animal make it cheaper to keep him in good condition, while he

    can also do more work. The winter stock is grass cut upon the

    hills, straw, bean stalks, and vegetables, ^o wool being wanted

    for making cloth, flocks of sheep and goats are seldom seen—it

    may almost be said are unknown in the east and south.

    No animal is reared cheaper than the hog ; hatching and

    raising ducks affords employment to thousands of people ; hundreds

    of these fowl gather their own food along the river

    shore, being easily attended by a single keeper. Geese and

    poultry are also cheaply reared. In fishing, which is carried on

    to an enormous extent, no pasture-grounds, no manuring, no

    barns, are needed, nor are taxes paid by the cultivator and consumer.

    While the people get their animal food in these ways, its preparation takes away the least possible amount of cultivated soil. The space occupied for roads and pleasure-gromids is insignificant, but there is perhaps an amount appropriated for burial places quite equal to the area used for those purposes in European countries ; it is, however, less valuable land, and much of it would be useless for culture, even if otherwise unoccupied.

    Graves are dug on hills, in ravines and copses, and wherever they will be retired and dry; or if in the ancestral field, they do not hinder the crop growing close around them.

    Moreover, it is very common to preserve the coffin in temples

    and cemeteries until it is decayed, partly in order to save the

    expense of a grave, and partly to worship the remains, or preserve

    them until gathered to their fathers, in their distant

    native places. They are often placed in the corners of the fields,

    or under precipices where they remain till dust returns to dust,

    and bones and wood both moulder away. These and other customs

    limit the consumption of land for graves much more than

    would be supposed, when one sees, as at Macao, almost as much

    space taken up by the dead for a grave as by the living for a

    hut. The necropolis of Canton occupies the hills north of the

    city, of which not one-fiftieth part could ever have been used

    for agriculture, but where cattle are allowed to graze, as much

    as if there were no tombs.

    Under its genial and equable climate, nioi’e than three-fourths

    of the area of China Proper produces two crops annually. In

    Kwangtung, Kwangsi, and Fuhkien, two ci’ops of rice are taken

    year after year from the low lauds ; while in the loess regions

    of the northwest, a three-fold return from the grain fields is

    annually looked for, if the rain-fall is not withheld. In the

    winter season, in the neighborhood of towns, a third crop of

    sweet potatoes, cabbages, turnips, or some other vegetable is

    grown, T)e Guignes estimates the retui-ns of a rice crop at ten

    for one, which, with the vegetables, will give full twenty-five

    fold from an acre in a year ; few parts, however, yield this increase.

    Little or no land lies fallow, for constant manuring and

    turning of the soil prevents the necessity of repose. The diligence

    exhibited in collecting and applying manure is Avell

    known, and if all this industry result in the production of two

    crops instead of one, it really doubles the area under cultivation,

    Avhen its superficies are compared with those of other

    countries. If the amount of land which produces two ci’ops be

    estimated at one-fourth of the whole (and it is perhaps as near

    one-third), the area of arable land in the provinces may be considered

    as representing a total of 812 millions of acres, or 2f

    acres to an individual. The land is not, however, cut up into such

    small farms as to prevent its being managed as w^ell as the people

    know how to stock and cultivate it ; manual labor is the chief

    dependence of the farmer, fewer cattle, carts, ploughs, and machines being employed than in other countries. In rice fields no aninuils are used after the wet land has received the shoots, transplanting, weeding, and reaping being done by men.

    In no other country besides Japan is so much food derived from the water. Not only arc the coasts, estuaries, rivers, and lakes, covered with fishing-boats of various sizes, which are provided with everything fitted for the capture of whatever lives in the waters, but the spawn of fish is collected and reared.

    TENDENCIKS TO INCREASE OF POrULATION”. 277

    Rice fields are often converted into pools in the winter season, and stocked with fish; and the tanks dug for irrigation usually contain fish. By all these means, an immense supply of food is obtained at a cheap rate, which is eaten fresh or preserved with or without salt, and sent over the Empire, at a cost which places it within the reach of all above beggary. Other articles of food, both animal and vegetable, such as dogs, game, worms, spring greens, tripang, leaves, etc., do indeed compose part of their meals, but it is comparatively an inconsiderable fraction, and need not enter into the calculation. Enough has been stated to show that the land is abundantly able to support the population ascribed to it, even with all the drawbacks known to exist; and that, taking the highest estimate to be true, and considering the mode of living, the average population on a square mile in China is less than in several European countries.

    The political and social causes which tend to multiply the inhabitants are numerous and powerful. The failure of male posterity to continue the succession of the family, and worship at the tombs of parents, is considered by all classes as one of the most afflictive misfortunes of life; the laws allow unlimited facilities of adoption, and secure the rights of those taken into the family in this way. The custom of betrothing children, and the obligation society imposes upon the youth when arrived at maturity, to fulfil the contracts entered into by their parents, acts favorably to the establishment of families and the nurture of children, and restricts polygamy. Parents desire children for a support in old age, as there is no legal or benevolent provision

    for aged poverty, and public opinion stigmatizes the man

    who allows his aged or infirm parents to suffer when he can

    help them. The law requires the owners of domestic slaves to

    provide husbands for their females, and prohibits the involuntary

    or forcible separation of husband and wife, or parents and

    children, when the latter are of tender age. All these causes

    and influences tend to increase population, and equalize the

    consumption and use of property more, perhaps, than in any

    other land.

    The custom of families remaining together tends to the

    same result. The local importance of a large family in the

    country is weakened by its male members removing to town, or

    emigrating; consequently, the patriarch of three or four generations

    endeavors to retain his sons and grandsons around him, their houses joining his, and they and their families forming a social, united company. Such cases as those mentioned in the.

    Sacred Commands are of course rare, where nine generations of the family of Chang Kung-i inhabited one lioiise, or of Chin, at whose table seven hundred mouths were daily fed,’ but it is the tendency of society. This remark does not indicate that great landed proprietors exist, whose hereditary estates are secured by entail to the great injur}- of the state, as in Great Britain,

    for the farms are generally small and cultivated by the

    owner or on the metayer system. Families are supported on a

    more economical plan, the claims of kindred are better enforced,

    the land is cultivated with more care, and the local importance

    of the family perpetuated. This is, however, a very different system from that advocated by Fourier in France, or Greeley in America, for these little communities are placed

    under one natural head, whose authority is acknowledged and

    upheld, and his indignation feared. Workmen of the same profession form unions, each person contributing a certain sum on the promise of assistance when sick or disabled, and this custom prevents and alleviates a vast amount of poverty.

    ‘ Sacred Edict, pp. 51, 60.

    RESTRICTIONS UPON EMIGRATION. 279

    The obstacles put in the way of emigrating beyond sea, both in law and prejudice, operate to deter respectable persons from leaving their native land. Necessity has made the law a dead letter, and thousands annually leave their homes. No better evidence of the dense population can be offered to those acquainted with Chinese feelings and character, than the extent of emigration. “What stronger proof,” observes Medhurst,” of the dense population of China could be afforded than the fact, that emigration is going on in spite of restrictions and disabilities, from a country where learning and civilization reign, and where all the dearest interests and prejudices of the emigrants are found, to lands like Burmah, Siam, Cambodia, Tibet, Manchuria, and the Indian Archipelago, where comparative ignorance and barbarity prevail, and where the extremes of a tropical or frozen region are to be exchanged for a mild and temperate climate? Added to this consideration, that not a single female is permitted or ventures to leave the country, when consequently, all the tender attachments that bind heart to heart must be burst asunder, and, perhaps, forever.”‘

    Moreover, if they return with wealth enough to live upon, they are liable to the vexatious extortions of needy relatives, sharpers, and police, who have a handle for their fleecing whip in the law against leaving the country ; although this clause has been neutralized by subsequent acts, and is not in force, the power of public opinion is against going. A case occurred in 1832, at Canton, where the son of a Chinese living in Calcutta, who had been sent home by his parent with his mother, to perform the usual ceremonies in the ancestral hall, was seized by his uncle as he was about to be married, on the pretext that his father had unequally divided the paternal inheritance; he

    was obliged to pay a thousand dollars to free himself. Soon

    after his marriage, a few sharpers laid hold of him and bore

    him away in a sedan, as he was walking near his house, but his

    cries attracted the police, who carried them all to the magistrates,

    where he was liberated—after being obliged to fee his

    deliverers.’ Another case occurred in Macao in 1838. A

    man had been living several years in Singapore as a merchant,

    and when he settled in Macao still kept up an interest in the

    trade with that place. Accounts of his great wealth became

    rumored abroad, and he was seriously annoyed by relatives.

    One night, a number of thieves, dressed like police-runners,

    came to his house to search for opium, and their boisterous

    manner terrified him to such a degree, that in order to escape

    them he jumped from the terrace upon the hard gravelled

    court-yard, and broke his leg, of which he shortly afterward

    died. A third case is mentioned, where the returned emigrants,

    consisting of a man and his wife, who was a Malay, and

    two children, were rescued from extortion, when before the

    magistrate, by the kindness of his wife and mother, who wished

    to see the foreign woman.” Such instances are now unknown,

    owing to the increase of emigration ; they were, indeed, never numerically great, on account of the small number of those who came back.

    ‘ China : Its State ojid Prospects, p. 42.

    ^ Ta Tslag Leu Lee ; being the Fundamental Laws, etc., of the Penal Codt of China, by Sir G. T. Staunton, Bart , London, 1810. Section CCXXV.

    ^ Chinese Repository, Vol. I., p. 382.

    * Ibid., Vol. VII., p. 503; Vol. II., p. 161.

    The anxiety of the government to provide stores of food for times of scarcity, shows rather its fear of the disastrous residts following a short crop—such as the gathering of clamoi’ous crowds of starving poor, the increase of bandits and disorganization of society—than any peculiar care of the rulers, or that these storehouses really supply deficiencies. The evil consequences resulting from an overgrown population are experienced in one or another part of the provinces almost every year ; and drought, inundations, locusts, mildew, or other natural causes, often give rise to insurrections and disturbances. There can be no doubt, however, that, without adding a single acre to the area of arable land, these evils would be materially alleviated, if the intercommunication of traders and their goods, between distant parts of the country, were more frequent, speedy, and safe; but this is not likely to be the case until both rulers and ruled make greater advances in just government, science, obedience, and regard for each other s right.

    It would be a satisfaction if foreigners could verify any part

    of the census. But this is, at present, impossible. They cannot

    examine the records in the ofiice of the Board of Revenue,

    nor can they ascertain the population in a given district from

    the archives in the hands of the local authorities, or the mode

    of taking it. Neither can they go through a village or town to

    count the number of houses and their inhabitants, and calculate

    from actual examination of a few parts what the whole would

    be. “Where\er foreigners have journeyed, there has appeared

    much the same succession of waste land, hilly regions, cultivated

    plains, and M’ooded heights, as in other countries, M’ith an

    abundance of people, but not more than the land could support,

    if properly tilled.

    METHOD OF TAKING THE CENSUS. 281

    The people are grouped into hamlets and villages, under the control of village elders and officers. In the district of Nanhai, Avhich forms the western part of the city of Canton, and the surrounding country for more than a hundred square miles, there are one hundred and eighty /it'((/if/ or villages; the population of each hiang varies from two hundred and upwards to one hundred thousand, but ordinarily ranges between three hundred and thirty-five hundred. If each of the eighty-eight districts in the province of Kwangtung contains the same number of JtlaiKj, there will be, including the district towns, 15,928 villages, towns, and cities in all, with an average population of twelve hundred inhabitants to each. From the top of the hills on Dane’s Island, at Whampoa, thirty-six towns and villages can

    be counted, of which Canton is one; and four of these contain

    from twelve to fifteen hundred houses. The whole district of

    Hiangshan, in which Macao lies, is also well covered with villages,

    though their exact number is not known. The island of

    Anioy contains more than fourscore villages and towns, and

    this island forms only a part of the district of Tung-ngan. The

    banks of the river leading from Amoy up to Changchau fu, are

    likewise well peopled. The environs of Ningpo and Shanghai

    are closely settled, though that is no more than one always expects

    near large cities, where the demand for food in the city

    itself causes the vicinity to be well peopled and tilled. In a

    notice of an irruption of the sea in 1819, along the coast of

    Shantung, it was reported that a hundred and forty villages

    were laid under water.

    Marco Polo describes the mode followed in the days of Kublai

    khan : ” It is the custom for every burgess of the city, and

    in fact for every description of person in it, to write over his

    door his own name, the name of his wife, and those of his children,

    his slaves, and all the inmates of his house, and also the number of animals that he keeps. And if any one dies in the house, then the name of that person is erased, and if a child is born its name is added. So in this way the sovereign is able to know exactly the population of the city. And this is the practice throughout all Manzi and Cathay.” ‘ This custom was observed long before the Mongol conquest, and is followed at present ; so that it is perhaps easier to take a census in China than in most European countries.

    The law upon this subject is contained in Sees. LXXV. and

    ‘ Yule’s Marco Polo, Vul. II., p. 152.

    LXXVI. of the statutes. It enacts various penalties for not

    registering the members of a family, and its provisions all go to

    show that the people are desirous rather of evading the census

    than of exaggerating it. When a family has omitted to make

    any entry, the head of it is liable to be punished with one hundred

    blows if he is a freeholder, and with eighty if he is not.

    If the master of a family has among his household another distinct family whom he omits to register, the punishment is the same as in the last clause, with a modification, according as the unregistered persons and family are relatives or strangers.

    Persons in government employ omitting to register their families, are less severely punished. A master of family failing to register all the males in his household who are lia1)le to public service, shall be punished with from sixty to one hundred blows,

    according to the demerits of the ofPence ; this clause was in

    effect repealed, when the land tax was substituted for the capitation

    tax. Omissions, from neglect or inadvertency to register

    all the individuals and families in a village or town, on the part

    of the headmen or government clerks, are punishable with

    different degrees of severity. All persons whatsoever are to

    be registered according to their accustomed occupations or professions,

    whether civil or military, whether couriers, artisans,

    physicians, asti’ologers, laborers, musicians, or of any other denomination

    whatever ; and subterfuges in representing one’s self

    as belonging to a profession not liable to public service, are

    visited as usual with the bamboo ; persons falsely describing

    themselves as belonging to the army, in order to evade public

    service, are banished as well as beaten. From these clauses it

    is seen that the Manchus have extended the enumeration to

    classes M’hich were exempted in the Ilan, Tang, and other

    dynasties, and thus come nearer to the actual population.

    ‘ Penal Code, p. 79, Staunton’s translation.

    ITS PROBABLE ACCURACY. 283

    ” In the Chinese government,” observes Dr. Morrison, ” there appears great regularity and system. Every district has its appropriate officers, every street its constable, and every ten houses their tything man. Thus they have all the requisite means of ascertaining the population with considerable accuracy. Every family is required to have a board always hanging up in the house, and ready for the inspection of authorized officers,

    on which the names of all persons, men, women, and children,

    in the house are inscribed. This board is called mun-j>ai

    or ‘door-tablet,’ because when there are women and children

    within, the officers are expected to take the account from the

    board at the door. Were all the inmates of a family faithfully

    inserted, the amount of the population would, of course, be

    ascertained with great accuracy. But it is said that names are

    sometimes omitted through neglect or design ; others think

    that the account of persons given in is generally correct.”

    The door-tablets are sometimes pasted on the door, thus serving

    as a kind of door-plate ; in these cases correctness of enumeration

    is readily secured, for the neighbors are likely to know

    if the record is below the truth, and the householder is not

    likely to exaggerate the taxable inmates under his roof. I have

    read these inun-jMil on the doors of a long ro\v of houses ; they

    were pi-inted blanks filled in, and then pasted outside for thejy<;o-

    Mah or tithing man to examine. Both Dr. Morrison and his

    son, than whom no one has had better opportunities to know the

    true state of the ease, or been more desirous (^f dealing fairly

    with the Chinese, regarded the censuses given in the General

    Statistics as more trustworthy than any other documents available.

    In conclusion, it may be asked, are the results of the enumeration

    of the people, as contained in the statistical works published

    by the government, to be rejected or doubted, therefore,

    because the Chinese officers do not wish to ascertain the exact

    population ; or because they are not capable of doing it ; or,

    lastly, because they wish to impose upon foreign powers by an

    arithmetical array of millions they do not possess ? The question

    seems to hang upon this trilemma. It is acknowledged

    that they falsify or garble statements in a manner calculated to

    throw doubt upon everything they write, as in the reports of

    victories and battles sent to the Emperor, in the memorials upon

    the opium trade, in their descriptions of natural objects in

    books of medicine, and in many other things. But the question

    is as applicable to China as to France : is the estimated population of France in 1801 to be called in question, because the Moniteur gsive false accounts of Napoleon’s battles in 18131

    It would be a strange combination of conceit and folly, for a

    ministry composed of men able to carry on all the details of a

    complicated government like that of China, to systematically

    exaggerate the population, and then proceed, for more than a

    century, with taxation, disbursements, and official appointments,

    founded upon these censuses. Somebody at least must know

    them to be worthless, and the proof that they were so, must,

    one would think, ere long Jbe apparent. The provinces and

    departments have been divided and subdivided since the Jesuits

    made their survey, because they were becoming too densely

    settled for the same officers to rule over them.

    Still less will any one assert that the Chinese are not capable

    of taking as accurate a census as they are of measuring distances,

    or laying out districts and townships. Errors may be

    found in the former as well as in the latter, and doubtless are

    so ; for it is not contended that the four censuses of 1711, 1Y53,

    1792, and 1812 are as accurate as those now taken in England,

    France, or the United States, but that they are the best data

    extant, and that if they are rejected we leave tolerable evidence

    and take up with that which is doubtful and suppositive. The

    censuses taken in China since the Christian era are, on the

    whole, more satisfactory than those of all other nations put

    together up to the Reformation, and further careful research

    will no doubt increase our respect for them.

    Ere long we may be able to traverse a census in its details of

    record and deduction, and thus satisfy a reasonable curiosity,

    especially as to the last reported total after the carnage of the

    rebellion. On the other hand, it may be stated that in the last

    census, the entire population of Manchuria, Koko-nor, 111, and

    Mongolia, is estimated at only 2,107,286 persons, and nearly all

    the inhabitants of those vast regions are subject to the Emperor.

    The population of Tibet is not included in any census,

    its people not being taxable. It is doubtful if an enumeration

    of any part of the extra provincial territory has ever been

    taken, inasmuch as the Mongol tril)es, and still less the TTsbeck

    or other Moslem races, are unused to such a thing, and would

    EVIDENCES IN FAVOR OF THE CENSUS, 28,”)

    not be nnnibered. Yet, the Chinese cannot be eliarged with

    exaggeration, when good judges, as Klaproth and others, reckon

    the whole at between six and seven millions ; and Khoten alone,

    one author states, has three and a half millions. No writer of

    importance estimates the inhabitants of these regions as high

    as thirty millions— as does 11. Mont. Martin—which would be

    more than ten to a square mile, excluding Gobi ; while Siberia

    (though not so well peopled) has only 3,611,300 persons on an

    area of 2,649,600 square miles, or 1^ to each square mile.

    The reasons just given why the Chinese desire posterity are

    not all those which have favored national increase. The uninterrupted

    peace’ which the country enjoyed between the years

    1700 and 1850 operated to greatly develop its resources. Every

    encouragement has been given to all classes to multiply and

    fill the land. Polygamy, slavery, and prostitution, three social

    evils which check increase, have been circumscribed in their

    effects. Early betrothment and poverty do much to prevent

    the first ; female slaves can be and are usually married ; while

    public prostitution is reduced by a separation of the sexes and

    early marriages. No fears of overpassing the supply of food

    restrain the people from rearing families, though the Emperor

    Kienlung issued a proclamation in 1793, calling upon all ranks

    of his subjects to economize the gifts of heaven, lest, erelong,

    the people exceed the means of subsistence.

    It is difficult to see what this or that reason or objection has to do with the subject, except where the laws of population are set at defiance, which is not the case in China. Food and work, peace and security, climate and fertile soil, not universities or

    steamboats, are the encouragements needed for the multiplication

    of mankind ; though they do not have that effect in all

    countries (as in Mexico and Brazil), it is no reason why they

    should not in others. There are grounds for believing that not

    more than two-thirds of the whole population of China were

    included in the census of 1711, but that allowance cannot be

    made for Ireland in 1785 ; and consequently, her annual percentage

    of increase, up to 18-41, would then be greater than

    China, during the forty-two years ending with 1753. McCulloch

    quotes De Guignes approvingly, but the Frenchman takes the rough estimate of 333,000,000 given to Macartney, which is less trustworthy than that of 307,407,200, and compares it with Grosier’s of 157,343,975, which is certainly wrong through his misinterpretation. De Guignes proceeds from the data in his possession in 1802 (which were less than those now available), and from his own observations in travelling through the country in 179G, to show the improbability of the estimated population.

    But the observations made in journeys, taken as were those of the English and Dutch embassies, though they passed through some of the best provinces, cannot be regarded as good evidence against official statistics.

    “Would any one suppose, in travelling from Boston to Chatham,

    and then from Albany to Buffalo, along the railroad, that

    Massachusetts contained, in 1870, exactly double the population

    on a square mile of New York ? So, in going from Peking to

    Canton, the judgment which six intelligent travellers might

    form of the population of China could easily be found to differ

    by one-half. De Guignes says, after comparing China with

    Holland and France, ” All these reasons clearly demonstrate

    that the population of China does not exceed that of other

    countries ;” and such is in truth the case, if the kind of food,

    number of crops, and materials of dress be taken into account.

    His remarks on the population and productiveness of the country are, like his whole work, replete with good sense and candor; but some of his deductions would have been different, had he

    been in possession of all the data since obtained.’ The discrepancies

    between the different censuses have been usually considered

    a strong internal evidence against them, and they should receive

    due consideration. The really difficult point is to fix the

    percentage that must be allowed for the classes not included as

    taxable, and the power of the government to enumerate those

    who wished to avoid a census and the subsequent taxation.

    After all these reasons for receiving the total of 1812 as the

    best one, there are, on the other hand, two principal objections

    against taking the Chinese census as altogether tinistworthy.

    ‘ Voyages a Peking, Tome III. , pp. 55-80.

    POSSIBILITIES OF ERROR. 287

    The first is the enormous averages of 850, 705, and 071 inhabitants on a square mile, severally apportioned to Kiangsu, Xganliwui, and Cliehkiang, or, what is perhaps a fairer calculation, of 458 persons to the nine eastern provinces. Whatever amount of circumstantial evidence may be brought forward in confirmation of the census as a whole, and explanation of the mode of taking it, a more positive proof seems to be necessary before giving implicit credence to this result. Such a population on such an extensive area is marvellous, notwithstanding the fertility of the soil, facilities of navigation, and salubrity of the

    climate of these regions, although acknowledged to be almost

    unequalled. While we admit the full force of all that has been

    urged in support of the census, and are willing to take it as the

    best document on the subject extant, it is desirable to have

    proofs derived from personal observation, and to defer the settlement

    of this question until better opportunities are afforded.

    So high an average is, indeed, not without example. Captain

    Wilkes ascertained, in 1840, that one of the islands of the Fiji

    group supported a population of over a thousand on a square

    mile. On Lord North’s Island, in the Pelew group, the crew

    of the American whaler Mentor ascertained there were four

    hundred inhabitants living on half a square mile. These, and

    many other islands in that genial clime, contain a population

    far exceeding that of any large country, and each separate community

    is obliged to depend M’holly on its own labor. They

    cannot, however, be cited as altogether parallel cases, though if

    it be true, as Barrow says, ” that an acre of cotton will clothe

    two or three hundred persons,” not much more land need be

    occupied with cotton or mulberry plants, for clothing in China,

    than in the South Sea Islands.

    The second objection against receiving the result of the census

    is, that we are not well informed as to the mode of enumerating

    the people by families, and the manner of taking the account,

    when the patriarch of two or three generations lives in

    a hamlet, with all his children and domestics around him. Two

    of the provisions in Sec. XXY. of the Code^ seem to be designed

    for some such state of society ; and the liability to underrate

    the males fit for public service, when a capitation tax was

    ordered, and to overrate the inmates of such a house, when the head of it might suppose he would thereby receive increased aid from government when calamity overtook him, are equally apparent.

    The door-tablet is also liable to mistake, and in shops and workhouses, where the clerks and workmen live and sleep on the premises, it is not known what kind of report of families the assessors make. On these important points our present information is imperfect, while the evident liability to serious error in the ultimate results makes one hesitate. The Chinese may have taken a census satisfactory’ for their purposes, showing

    the number of families, and the a^•erage in each ; but the point

    of this objection is, that ^ve do not know how the families aie

    enumerated, and therefore are at fault in reckoning the individuals.

    The average of persons in a household is set down at five

    by the Chinese, and in England, in 1831, *t was 4.7, but it is

    probably less than that in a thickly settled country, if every

    married couple and their children be taken as a family, whether

    living by themselves, or grouped in patriarchal hamlets.

    Ko one doubts that the population is enormous, constituting

    by far the greatest assemblage of human beings using one speech

    ever congreo ated under one monarch. To the merchants and

    manufacturers of the West, the determination of this question

    is of some importance, and through them to their governments.

    The political economist and philologist, the naturalist and geographer,

    have also greater or less degrees of interest in the

    contemplation of such a people, iiduibiting so beautiful and feitile

    a country. But the Christian philanthropist tui-ns to the

    consideration of this subject with the liveliest solicitude ; for if

    the weight of evidence is in favor of the highest estimate, he

    feels his responsibility increase to a painful degree. The danger

    to this people is furthermore greatly enhanced by the 0})ium

    traffic—a trade which, as if the Rivers Phlegethon and Lethe

    were united in it, carries fire and destruction wherever it flows,

    and leaves a deadly forgetfulness wherever it has passed. Let

    these facts appeal to all calling themselves Christians, to send

    the antidote to this baleful drug, and diffuse a knowledge of the

    principles of the Gospel among them, thereby placing life as

    well as death before them.

    REVENUE OF THE EMPIRE. 289

    If the population of the Empire is not easily ascertained, a satisfactory account of the public revenue and expenditures is still more difficult to obtain ; it possesses far less interest, of course, in itself, and in such a country as China is subject to many variations. The market value of the grain, silk, and other products in which a large proportion of the taxes are paid, varies from year to year; and although this does not materially affect the government which receives these articles, it complicates the subject very much when attempting to ascertain the real taxation. Statistics on these subjects are only of recent date in Europe, and should not yet be looked for in China, drawn up with much regard to truth. The central government requires each province to support itself, and furnish a certain surplusage for the maintenance of the Emperor and his court; but it is well known that his Majesty is continually embarrassed for the want of funds, and that the provinces do not all supply enough revenue to meet their own outlays.

    The amounts given by various authors as the revenue of

    China at different times, are so discordant, that a single glance

    shows that they were obtained from partial or incomplete returns,

    or else refer only to the surplusage sent to the capital.

    De Guignes remarks very truly, that the Chinese are so fully persuaded of the riches, power, and resources of their country, that a foreigner is likely to receive different accounts from every

    native he asks ; but there appears to be no good reason why the

    government should falsify or abridge their fiscal accounts. In

    1587, Trigault, one of the French missionaries, stated the revenue

    at only tls. 20,000,000. In 1655, Xieuhoff reckoned it at

    tls. 108,000,000. About twelve years after, Magalhaens gave

    the treasures of the Emperor at $20,423,962 ; and Le Comte,

    about the same time, placed the revenue at $22,000,000, and

    both of them estimated the receipts from rice, silk, etc., at

    $30,000,000, making the whole revenue previous to Kanghi’s

    death, in 1721, between fifty and seventy millions of dollars.

    Barrow reckoned the receipts from all sources in 1796 at

    tls. 198,000,000, derived from a rough estimate given by the

    commissioner who accompanied the embassy. Sir George

    Staunton places the total sum at $330,000,000 ; of which

    $60,000,000 only were transmitted to Peking. Medhurst,

    Vol. T.—19.

    drawing his iiiforuiation from original sources, thus states the

    principal items of the receipts :

    Land taxes in money,)

    ( Tie. 3I,745,9()6 valued at $42,327,954

    Land taxes in grain, }- sent to Peking, ^ Shih 4,2:30,’.)57 ” 12,692,871

    Custom and transit duties, ) ( Tls. 1,480,997 ” 1,974,662

    Land taxes in money, l kent in Drovinces ‘ ”^^«- 28,705,125 ” 38,373,500

    Grain, ( ^^P’^^P’^*”‘^””®^

    1 Shih 31,596,569 ” 105,689,707

    $200,958,694

    The shih of rice is estimated at $3, but this does not include

    the cost of transportation to the capital.’ At $200,000,-

    000, the tax received by government from each person on an

    average is about sixty cents ; Barrow estimates the capitation

    at about ninety cents. The account of the revenue in taels

    from each province given in the table of population on page

    264, is extracted from the Hed Mooh for 18-40 ; ” the account

    of the revenue in rice, as stated in the official documents

    for that year, is 4,114,000 shih, or about five hundred and

    fifty millions of pounds, calling each shUi a pecul. The

    manner in wdiich the various items of the revenue are divided

    is thus stated for Kwangtung, in the Ited Booh for 1842 :

    Taels.

    Land tax in money 1,264,304

    Pawnl)rokers’ taxes 5,990

    Taxes at the frontier and on transportation 719,307

    Retained 339,143

    Miscellaneous sources 59,530

    Salt department (gabel) 47,510

    Revenue from customs <at Canton 43,750

    Other stations iu the province 53,670

    2,533,204

    This is evidently only the sum sent to the capital from this

    province, ostensibly as the revenue, and which the provincial

    treasury must collect. The real receipts from this province or

    any other cannot well be ascertained by foreigners ; it is, however,

    known, that in former years, the collector of customs at

    Canton was obliged to remit annually from eight hundred

    thousand to one million three hundred thousand taels, and

    ‘ The fihih, says Medhurst, is a measure of grain containing 3,460 English

    cubic inches. China : Its State and Prospects, p. 68. London, 1838.

    * Aiinalea de la Foi, Tome XVI., p. 440.

    SOURCES AND AMOUNT OF REVENUE. 291

    the gross receipts of bis office were not far from three millions

    of taels.’ This was then the richest collectorate in the

    Empire ; hut since the foreign trade at the open ports has been

    placed under foreign supervision, the resoui’ces of the Empire

    have been better reported. A recent analysis of the sources of

    revenue in the Eighteen Provinces has been furnished by the

    eustoms service ; it places them under different headings from

    the preceding list, though the total does not materially differ.

    Out of this whole amount the sum derived from the trade in

    foreign shipping goes most directly to the central exchequer.

    Taels.

    Land tax in money 18,000,000

    Li-kin or internal excise on goods 20,000,000

    Import and export duties collected by foreigners 12,000,000

    Import and export duties on native commerce 3,000,000

    Salt gabel 5,000,000

    Sales of offices and degrees 7,000,000

    Sundries „ 1,400,000

    Amount paid in silver 66,400,000

    Land tax paid in produce 13,100,000

    79,500,000

    De Guignes has examined the subject of the revenue with

    his usual caution, and bases his calculations on a proclamation

    of Kienlung in 1777, in which it was stated that the total income

    in bullion at that period was tls. 27,967,000.

    Taels.

    Income in money as above 27,967,000

    Equal revenue in kind from grain 27,967,000

    Tax on the second crop in the southern provinces 21 ,800,000

    Gabel, coal, transit duties, etc 6,479,400

    Customs at Canton. .’. 800,000

    Revenue from silk, porcelain, varnish, and other manufactures.. 7,000,000

    Adding house and shop taxes, licenses, tonnage duties, etc 4,000,000

    Total revenue 89,713,400

    The difference of about eighty millions of dollars between

    this amount and that given by Medhurst, will not surprise one

    who has looked into this perplexing matter. All these calculations

    are based on approximations, which, although easily made

    ‘ Chinese Commercial Guide, 2d edition, 1842, p. 143.

    up, cannot be verified to onr satisfaction ; but all agree in placing

    the total amount of revenue below that of any European

    government in proportion to the population. In 1823, a paper

    M-as published by a graduate uj^on the fiscal condition of the

    country, in which he gave a careful analysis of the receij)ts and

    disbursements. P. P. Thoms translated it in detail, and summarized

    the former under three heads of taxes reckoned at

    tls. 33,327,056, rice sent to Peking 0,34(5,438, and supplies to

    army 7,227,300—in all tls. 46,900,854. Out of the first snni

    tls. 24,507,933 went to civilians and the army, leaving tls. 5,819,-

    123 for the Peking government, and tls. 3,000,000 for the Yellow

    Piver repairs and Yuen-ming Palace. The resources of the

    Empire this writer foots up at tls. 74,461,633, or just one-half

    of what Medhurst gives. The extraordinary sources of revenue

    which are resorted to in time of war or bad harvests, are sale of

    oflSce and honors, temporary increase of duties, and demands

    for contributions from wealthy merchants and landholders. The first is the most fruitful source, and nniy be regarded rather as a permanent than a temporary expediency employed to make

    up deficiencies. The mines of gold and silver, pearl fisheries in

    Manchuria and elsewhere, precious stones brought from 111 and

    Ivhoten, and other localities, furnish several millions.

    The expenditures, almost every year, exceed the revenue, but

    how the deficit is supplied does not clearly appear ; it has been sometimes drawn from the rich by force, at other times made good by paltering with the currency, as in 1852-55, and again by reducing rations and salaries. In 1832, the Emperor said the excess of disbursements was tls. 28,000,000 ;

    ‘ and, in 1836, the defalcation was still greater, and oflfices and titles to the amount of tls. 10,000,000 were put up for sale to supply it.

    This deficiency has become more and more alarming since the drain of specie annually sent abroad in payment for opium has been increased by military exactions for suppressing the lebellion up to 1867. At that date the Empire began to recuperate.

    ‘ Chinese Rejiositorij, Vol. I., p. 159.

    PRINCIPAL ITEMS OF EXPENDITURE. 293

    The principal items of the expenditure are thus stated by De Guignes:

    Taels,

    Salary of civil and military officers, a tithe of the impost on lands. 7,773,500

    Pay of 00(),()U0 infantry, three taels per month, half in money and

    half in rations •21,G00,()()&

    Pay of 242,000 cavalry, at four taels jjer month 11,010,000

    Mounting the cavalry, twenty taels each 4,840,000

    Uniforms for both arms of the service, four taels 3,308,000

    Arms and ammunition 842,000

    Navy, revenue cutters, etc 13,500,000

    Canals and transportation of revenue 4,000,000

    Forts, artillery, and munitions of war 3,800,000

    71,339,500

    This, according to his calculation, shows a surplus of nearly twenty millions of taels every year. But the outlays for quelling insurrections and transporting troops, deficiency from bad harvests, defalcation of officers, payments to the tribes and princes in Mongolia and 111, and other unitsual demands, more than exceed Ihis surplus. In 1833, the Peking Gazette contained an elaborate paper on the revenue, proposing various ways and means for increasing it. The author, named Xa, says

    the income from land tax, the gabel, customs and transit duty,

    does not in all exceed forty millions of taels, while the expenditures

    should not much transcend thirty in years of peace.* This

    places the budget much lower than other authorities, but the

    censor perhaps includes only the imperial resources, though the

    estimate would then be too high. The pay and equipment of

    the troops is the largest item of expenditure, and it is probable

    that here the apparent force and pay are far too great, and that

    reductions are constantly made in this department by compelling

    the soldiers to depend more and more for support upon

    the plats of land belonging to them. It is considered the best

    evidence of good government on the part of an officer to render

    his account of the revenue satisfactorily, but from the injudicious

    system which exists of combining fiscal, legislative, and

    judicial functions and control in the same person, the temptations

    to defraud are strong, and the pecuhitions proportionabl}’ great.

    The salaries of officers, for some reasons, are placed so low as

    ‘ Chinese Repository, Vol. II., p. 481.

    to prove that the legal allowances were really the nominal incomes,

    and the sums set against their names in the lied Book

    as y<-ing tlen, or anti-extortion perquisites (lit., ‘ nourishing

    frugality ‘), are the salaries.. That of a governor-general is

    from 15,000 to 25,000 taels for the latter, and only ISO or 200

    taels for the legal salary ; a governor gets 15,0UO when he is

    alone, and 10,000 or 12,000 when under a governor-general ; a

    treasurer from 4,500 to 10,000 ; a judge from 3,000 to 8,000 ;

    a prefect from 2,0(»0 to 4,5U0 ; district nuigistrates from 700 to 1,000, according to the onerousness of the post ; an intendant from 3,000 to 4,500 ; a literary chancellor from 2,000 to 5,000 ; and military men from 4,0(»0 taels down to 100 or 150 per annum. The perquisites of the highest and lowest officers are disproportionate, for the people prefer to lay their important cases before the highest courts at once, in order to avoid the expense of passing through those of a lower grade. The personal disposition of the functionary modifies the exactions lie makes upon the people so much, that no guess can be made as to the amount.

    The land tax is the principal resource for the revenue in rural districts, and this is well understood by all parties, so that there is less room for exactions. The land tax is from 1^ to 10 cents a inao (or from 10 to QQ cents an acre), according to the quality of the land, and difficulty of tillage ; taking the average at 25 cents an acre, the income from this source would be up- M^ard of 150 millions of dollars. The clerks, constables, lictors, and underlings of the courts ..ud prisons, are the “claws” of their superiors, as the Chinese aptly call them, and perform most of their extortions, and are correspondingly odious to the people. In toM’ns and trading places, it is easier for the officers to exact in various Avays from wealthy people, than in the country, where rich people often hire bodies of retainers to defy the police, and practise extortion and i-obbery themselves. Like other Asiatic governments, China suffers from the consequences of Ijribery, peculation, extortion, and poorly paid officers, but she has no powerful aristocracy to retain the money thus squeezed out of the people, and ere long it finds its way out of the hands of emperors and ministei’S back into the mass of the people, officers’ salaries and the land-tax. 295

    The Chinese believe, however, that the Emperor annually remits such amounts as he is able to collect into Mukden, in time of extremity ; but latterly he has not been able to do so at all, and probably never sent as much to that city as the popular ideas imagine. The sum applied to filling the granaries is much larger, but this popular provision in case of need is really a light draft upon the resources of the country, as it is usually managed. In Canton, there are onh fourteen buildings appropriated to this purpose, few of them more than thirty feet square, and none of them full.

  • 亨利·梅因《古代法》

    目录

    导 言
    第 一 章   古 代 法 典
    第 二 章   法 律 拟 制
    第 三 章   自 然 法 与 衡 平
    第 四 章   自 然 法 的 现 代 史
    第 五 章   原 始 社 会 与 古 代 法
    第 六 章   遗 嘱 继 承 的 早 期 史
    第 七 章   古 今 有 关 遗 嘱 与 继 承 的 各 种 思 想
    第 八 章   财 产 的 早 期 史
    第 九 章   契 约 的 早 期 史
    第 十 章   侵 权 和 犯 罪 的 早 期 史

    本书的 主 要 目 的 , 在 扼 要 地 说 明 反 映 于 “ 古 代 法 ” 中 的人 类 最 早 的 某 些 观 念 , 并 指 出 这 些 观 念 同 现 代 思 想 的 关 系 。 如果 没 有 像 罗 马 法 那 样 的 一 套 法 律 , 本 文 中 企 图 进 行 的 研 究 , 多数 将 不 能 有 丝 毫 希 望 达 到 有 用 的 结 果 。 因 为 在 罗 马 法 的 最 古部 分 中 , 有 着 最 久 远 的 古 代 事 物 的 痕 迹 , 而 在 其 后 期 规 定 中 ,又 提 供 了 甚 至 到 现 在 还 支 配 着 现 代 社 会 的 民 事 制 度 资 料 。 由于 必 须 把 罗 马 法 当 作 一 个 典 型 的 制 度 , 这 使 著 者 不 得 不 从 其中 采 取 了 数 目 似 不 相 称 的 例 证 ; 但 他 的 本 意 并 非 在 写 一 篇 关于 罗 马 法 律 学 的 论 文 , 他 并 且 尽 可 能 竭 力 避 免 足以 使 其 作 品具 有 这 样 的 外 貌 的 一 切 论 述 。 第 三 和 第 四 章以 一 定 篇 幅 用 来说 明 罗 马 法 学 专 家 的 某 些 哲 学 理 论 , 这 样 做 , 有 两 个 理 由 。 第一 , 著 者 认 为 这 些 理 论 对 世 界 的 思 想 和 行 为 , 比 一 般 所 设 想的 有 较 为 广 泛 、 永 久 的 影 响 。 其 次 , 这 些 理 论 被 深 信 为 是 有关 本 书 所 讨 论 的 各 个 问 题 直 到 最 近 还 流 行 着 的 大 多 数 见 解 的根 源 。 对 于 这 些 纯 理 论 的 渊 源 、 意 义 与 价 值 , 著 者 如 不 说 明其 意 见 , 则 其 所 承 担 的 工 作 , 将 不 能 做 得 深 入 透 澈 。 ——亨利·梅因

    导言

    有 关 法 律 的书 籍 , 不 论 是 古 代 法 或 现 代 法 , 并 不 常 常 能吸 引 很 多 的读 者 ; 但 十 八 世 纪 和 十 九 世 纪 分 别 产 生 了 一 本 著名 的 法律 书 籍 ,对 当 代 的 和 以 后 的 思 想 发 展 方 向 , 有 着 深 远的影 响 。 孟德 斯 鸠的 “ 论 法 的 精 神 ”是 法 国 十 八 世 纪 最 杰 出 的作 品 之一 , 它 标 志 着 历 史 法 律 学 上 的 一 个 重 要 阶 段 , 虽然 具 有梅 因 在 “ 古 代 法 ” ( 第 五 章 ) 中 所 评 论 的 某 些 偏 颇之 处 。“ 古 代 法 ” 在 十 九 世 纪 执 行 了 甚 至 更 为 重 大 的 职 能; 真 的, 就 英 国 而 论 , 如 果 说 现代 历 史 法 律 学 是 随 着 这本 书 的出 现 而 出 生 的 , 也 不 能 谓 言 之过 甚。

    虽 然 在 梅 因 的 卓 越 的 文 体 中 所 表 达 的 , 有 一 些 也 不 能 认为 是 普 通 的 东 西 , 但 “ 古 代 法 ” 中 有 相 当 部 分 , 在 过 去 七 十年 中 , 几 乎 是 学 习 法 律 制 度 的 学 生 所 不 可 或 缺 的 。 为 了 要 能体 现 它 在 当 时 是 怎 样 一 个 独 具 见 解 的 作 品 , 我 们 有 必 要 来 回顾 一 下 当 时 流 行 着 的 一 些 智 力 状 态 。

    1758年 时 作 为 第 一 个 佛 尼 林 派( V i n e r i a n)教授的 布 拉 克 斯 顿 ( B l a c k s t o n e ) 进 行 了 未 有 先 例 的 试 验 , 他在 牛 津 大 学 讲 授 英 国 法 律 。 当 时 , 他 不 得 不 用 法 律 研 究 是 一个 有 教 养 绅 士 的 一 种 适 宜 的 职 业 , 来 说 服 他 的 听 众 ; 虽 然 甚至 他 自 己 或 许 也 不 会 相 信 这 是 像 猎 狐 一 样 一 种 非 常 绅 士 般 的职 业 。 七 十 年 以 后 , 约 翰 · 奥 斯 丁 ( J o h n   A u s t i n ) 在 伦 敦 大学 以 法 律 学 的 吸 引 力 与 实 利 向 其 听 众 吹 嘘 ( 结 果 收 效 很 少 ) ,同 时 却 坦 白 地 承 认 有 许 多 心 地 宽 厚 的 人 们 不 愿 研 习 法 律,主要 是 由 于 它 所 来 自 的 渊 源 , 其 性 质 “ 令 人 可 厌 ” 。 有 一 次,他这 样 写 道 , “ 我 胆 敢 断 言 , 在 一 个 文 明 社 会 中 , 没 有 一 套 法 律会 像 我 们 的 那 样 缺 乏 一 致 性 和 均 称 性 ” 。 除 了 海 尔 ( H a l e ) 和布 拉 克 斯 顿 外 , 没 有 人 曾 把 它 作 过 有 系 统 的 阐 明 。 过 去 , 法律 是 根 据 有 试 验 必 有 错 误 的 原 则 学 习 的 , 现 在 还 活 着 的 一 些老 法 学 家 可 以 记 得 那 样 一 个 时 期 , 用 一 个 著 名 的 美 国 老法官— — 荷 姆 斯 法 官 先 生 ( M r . j u s t i c e   h o l m e s ) — — 的 话 来 描写 , 法 律 只 是 一 麻 袋 的 琐 细 东 西 ; 真 的 , 在 某 些 开 业 律 师 中,赞 成 用 这 种 纯 粹 实 验 的 、 听 天 由 命 的 方 法 来 精 通 法 律 的 偏 见,甚 至 到 今 天 忘 没 有 完 全 消 除 。

    至 于 英 国 的 法 律 史 , 不 仅 被 忽 视 了 , 简 直 是 被 蔑 视 了 。 例如 , 边沁竟 然 建 议 — — 除 了 作 为 批 判 之 外 — — 完全 不 顾 所 有 的 先 例 而 把 英 国 法 律 全 部 重 新 写 过 : 对 于 他 , 甚至 其 最 卓 越 的 学 生 约 翰 · 斯 图 亚 特 · 密 尔也 不 得 不 说 , “ 他 宁 愿 完 全 不 顾 过 去 的 全 部 成 就 , 而 重新 从 头 写 起 ” 。 如 果 对 于 英 国 法 律 史 的 态 度 是 这 样 , 那 就 可 以想 象 到 , 对 于 外 国 制 度 或 对 于 今 昔 法 律 现 象 的 比 较 研 究 , 又将 会 有 怎 样 轻 蔑 的 感 情 了 。这 种 褊 狭 的 心 情 , 在 对 待 罗 马 法 上 , 特 别 显 而 易 见 。1816年 尼 布 尔 ( N i e b u b r ) 在 维 罗 纳 ( V e r o n a ) 发 掘 到 该 雅 士( G a i u s ) “ 法 学 教 典 ” ( I n s t i t u t e s ) 的 手 稿 — — 这 当 然 是 学 术史 上 最 著 名 的 发 现 之 一 : 因 为 这 篇 论 文 不 仅 是 我 们 对 于 古 代罗 马 法 律 甚 至 是 我 们 对 于 雅 利 安 ( A r y a n ) 法 律 一 些 最 有 启 发 性 的 方 面 的 唯 一 知 识 来 源 , 并 且 在 它 写 成 四 百 年 后 的 一 部 不朽 杰 作 查 斯 丁 尼 安 ( J u s t i n i a n ) 的 “ 法 学 阶 梯 ” ( I n s t i t u t e s ) 曾根 据 其 中 极 大 部 分 作 为 编 纂 的 范 本 。 英 国 对 这 样 的 重 大 事 件漠 不 关 心 。 在 本 书 第 九 章 中 , 可 以 看 到 梅 因 痛 切 地 — — 最 终是 有 效 地 — — 抗 议 “ 对 罗 马 法 的 无 知 , 这 是 英 国 人 欣 然 承 认 ,且 有 时 不 以 为 耻 地 引 以自夸的 ” 。

    但 是 , 对 于 过 去 法 律 制 度 和 政 治 制 度 中 可 以 确 定 的 事 实,不 愿 加 以 探 究 的 情 况 , 不 独 英 国 如 此 。 全 欧 洲 有 许 多关 于 政治 社 会 、 自 然 法 以 及 “ 自 然 状 态 ” 的 起 源 的 假 说 , 这 些 假 设,从 现 代 观 点 看 来 , 似 乎 是 很 可 笑 , 并 且 一 点 也 不 像 历 史 上 的事 实 , 以 致 在 今 日 , 我 们 竟 难 于 理 解 他 们 怎 样 会 这 样 强有力地 深 入 当 时 人 们 的 想 像 的 。 我 们 必 须 耐 心 地 、 宽 容 地、并 且也 许 谦 逊 地 ( 否 则 将 来 我 们 自 己 的 信 念 也 将 同 样 地 成 为 毫 无根 据 ) 牢 记 着 梅 因 所 说 的 “ 推 理 的 错 误 的 非 常 活 力 ” 。 这 使 我们 记 起 赫 伯 特 · 斯 宾 塞的 意 见 , 即 “ 一种 思 想 体 系 在 自 杀 以 后 , 有 可 能 精 神 焕 发 地 到 处 流 行 ” 。 十 八世 纪 中 流 行 着 的 关 于 政 治 起 源 的 各 种 观 念 , 在 卢 梭的 奇 怪 的 假 定 中 达 到 了 极 点 , 并 且 直 到 十 九 世 纪中 叶 即 使 已 濒 于 死 亡 , 却 仍 活 着 、 呼 吸 着 , 但 如 果 说 这 些 观念 在 过 去 二 千 年 的 长 时 期 中 实 在 一 无 进 步 , 那 是 不 能 说 是 言之 过 甚 的 。 关 于 社 会 人 的 性 质 , 同 这 些 虚 说 讽 喻 同 时 流 行 的 ,另 外 有 一 种 广 泛 传 布 的 信 念 , 认 为 政 治 历 史 是 一 些 退 化 的 而不 是 发 展 的 故 事 , 认 为 人 类 及 其 大 部 分 的 制 度 已 从 一 个 神 秘地 遥 远 的 时 代 的 较 为 幸 福 的 状 况 中 趋 向 衰 颓 。 因 此 , 既 然 恢复 原 始 的 天 真 状 态 已 不 可 能 , 则 我 们 为 民 族 所 能 做 的 最 好 的工 作 就 是 珍 惜 地 保 存 事 物 的 现 存 秩 序 , 至 少 要 阻 止 它 进 一 步堕 落 。

    由 于 对 历 史 的 藐 视 , 幸 而 它 是 同 比 较 体 面 的 动 机 相 结 合着 的 — — 一 种 动 机 是 对 于 这 种 卓 越 的 自 然 法 的 正 当 反 应 , 另一 种 动 机 是 要 对 法 律 概 念 的 实 质 进 行 有 系 统 分 析 的 一 种 非 常及 时 的 愿 望 — — , 就 在 英 国 产 生 了 另 一 种 法 律 理 论 , 这 主 要同 霍 布 斯和 奥 斯 丁 有 关 , 但 和 边 沁 也 不 无 关 系 。 这种 理 论 , 我 们 为 了 便 利 称 它 为 法 律 与 主 权 的 命 令 说 。 它 认 为 法 律最突出的 是 一 个 在 法 律 上 有 无 限 权 力 的 主 权 者 或 “ 政 治领 袖 ” 对 一 个 臣 民 或 “ 政 治 下 属 ” 所 颁 发 的 不 可 抗 拒 的 命令 ,后 者 既 被 假 定 为 具 有 服 从 的 习 惯 , 就 有 绝 对 服 从 的 义 务。对于自 然 法 或 理 想 法 中 模 糊 的 赏 罚 观 念 发 生 着 怀 疑 , 并 且 是 正当 地 怀 疑 , 它 就 集 中 其 全 部 注 意 力 于 现 实 法 的 强 制 性 质 , 至于 它 在 历 史 上 或 伦 理 上 的 各 种 要 素 , 则 坚 决 不 加 考 虑 。这 种理 论 虽 然 在 其 他 地 方 很 少 受 到 注 意 , 但 在 英 国 直 到 现 在仍 旧常 常 被 讨 论 到 ; 不 过 至 少 有 一 种 意 见 是 大 家 一 致 同 意 的, 即它 既 然 从 法 律 学 的 领 域 中 排 斥 了 历 史 考 虑 , 就 使 它 陷入了一 种 根 本 的 谬 误 , 即 把 一 切 法 律 制 度 都 认 为 是 以 西 欧 的 君 主国 家 作 为 典 型 的 。

    对 于 这 些 倾 向 , 不 是 没 有 阻 力 的 , 这 些 阻 力 就 存 在 于 梅因 的 作 品 中 。 德 国 有 一 个冯·萨维尼,他是历 来 最 著 名 的 法 学 家 之 一 , 他 在 十 九 世 纪 初 期 曾 对 十 八 世 纪非 历 史 的 思 想 习 惯 加 以 激 烈 的 攻 击 。 虽 然 他 对 于 国 家 法 律 与习 惯 并 没 有 真 正 找 到 一 种 科 学 的 历 史 的 研 究 方 法 , 但 他 提 供了 向 这 个 方 向 努 力 的 主 要 推 动 力 量 ; 他 从 事 于 法 律 学 研 究 的精 神 , 辉 煌 地 表 达 在 他 自 己 的 研 究 中 , 此 种 精 神 在 以 后 就 从来 没 有 被 人 们 舍 弃 过 , 虽 然 其 中 有 些 夸 张 之 处 , 随 着 时 间 的变 迁 已 有 所 变 更 。 他 在 英 国 很 少 直 接 影 响 , 就 是 曾 在 德 国 求学 的 奥 斯 丁 , 也 常 常 反 对 他 所 提 出 的 结 论 , 并 且 我 认 为 虽 然没 有 很 多 证 据 , 足 以 证 明 梅 因 非 常 熟 悉 丰 · 萨 维 尼 及 其 门 徒的 著 作 , 但 他 是 深 知 他 们 的 观 点 的 一 般 要 旨 的 , 并 且 无 疑 地在 实 质 上 是 同 意 这 种 观 点 的 。 梅 因 可 能 从 洛 多 尔 夫 · 丰 · 伊叶 林  在1858年 出 版 的 巨 著 “ 罗 马 法 精 神 ”受 到 更 加 直 接 的 影 响 。 伊 叶 林 在 几 个 重 要 问 题 方 面 , 与 萨 维 尼 的 观 点 不 同 , 但 他 肯 定 地 主 张 把 历 史 方 法 用 于 法 律 学 中 。 他 也 对 罗 马 法 的 研究 带 来 了 一 种 新 的 和 活 泼 的 精 神 , 与 长 期 在 德 国 压 制 着 罗 马法 的 无 生 气 的 经 院 哲 学 派 不 同 ; 有 许 多 证 据 足 以 表 明 这 对 于梅 因 是 一 种 真 正 的 刺 激 , 正 像 吉 朋对 伊 叶 林 同 样 是 一 种 刺 激 一 样 。
    “ 古 代 法 ” 出 现 的 时 期 , 也 是 人 类 思 想 史 上 有 最 深 远 影 响 的 事 件 之 一 , 即 达 尔 文自 然 选 择 原 则 形 成 的 时 期 。
    “ 物 种 起 源 ”发 表 于 “ 古 代 法 ” 出 版 前 两 年 。 在 梅 因 的 主 要 著 作 中 , 据 我 所 知 , 只 有 一 处 直 接提 到 了 达 尔 文 ; 在 “ 古 代 法 律 与 习 惯 ” 第 七 章 中 , 他 认 为 达 尔 文 从 自 然 科 学 上 提 供 了 有 利于 父 权 制 理 论 的 证 据 。 究 竟 梅 因 是 否 接 受 进 化 论 的 理 论包 括其 全 部 含 意 在 内 , 这 是 本 文 作 者 所 不 了 解 的 , 但 梅 因 在历 史法 律 学 方 面 的 著 作 自 然 地 同 十 九 世 纪 中 叶 广 为 传 布 的 新 的 研究 精 神 平 列 在 一 起 , 则 是 没 有 疑 问 的 。
    关 于 这 种 “ 新 学 问 ” , 就 其 对 法 律 的 影 响 而 论 , 梅 因 的 全部 著 作 可 以 被 认 为 是 一 种 有 生 气 的 表 现 。 他 对 那 些 不 科 学的缺 乏 批 判 的 , 被 野 蛮 地 但 简 略 地 称 为 “ 先 天 主 义 ” 的 那 种很盛 行 的 思 想 习 惯 , 从 不 放 松 加 以 反 对 。 他 在 “ 古 代 法 制 史 ”( 第 十 二 讲 ) 中 写 道 ,“ 为 英 国 法 学 家 一 般 接 受 的 各 种 历 史 理 论 , 不 但 对 于 法 律 的 研究 有 很 大 的 损 害 , 即 使 对 历 史 的 研 究 也 是 如 此 , 因 此 , 当 前英 国 学 术 上 最 迫 切 需 要 增 益 的 , 也 许 是 新 材 料 的 审 查 , 旧材料 的 再 度 审 查 , 并 在 这 基 础 上 把 我 们 法 律 制 度 的 来 源 及 其 发展 , 加 以 阐 明 。 ” 对 英 国 法 律 应 该 这 样 , 对 其 他 一 般 法 律 也 同样 应 该 这 样 。 在 “ 古 代 法 ” 中 , 梅 因 对 当 时 流 行 的 政 治 纯 理论 中 最 为 旁 若 无 人 的 、 根 深 蒂 固 的 某 种 “ 先 天 主 义 ” 给 以第一 次 的 攻 击 ( 这 在 他 以 后 的 著 作 中 , 常 被 重 复 地 进 行 着)。例如 , 在 第 四 章 中 的 “ ‘ 自 然 平 等 ’ 的 教 条 ” , 第 五 章 中 的 “ 幻想 的 ‘ 自 然 状 态 ’ ” , 第 八 章 中 的 “ 认 为 财 产 起 源 于 单 独 的个人 对 物 质 财 富 的 ‘ 占 有 ’ 这 毫 无 根 据 的 观 点 ” , 第 九 章 中 的“ 社 会 契 约 的 梦 呓 ” , 没 有 一 个 人 曾 像 他 那 样 恶 毒 地 辱 骂这 些一 度 声 势 极 盛 的 说 教 的 严 重 错 误 。 他 说 : 这 些 有 关 “ 世界最古 年 代 人 类 情 况 的 描 写 受 到 这 两 种 假 设 的 影 响 , 首 先 是假定人 类 并 不 具 有 今 天 围 绕 者 他 们 的 大 部 分 环 境 , 其 次 ,是假定在 这 样 想 像 的 条 件 下 他 们 会 保 存 现 在 刺 激 他 们 进 行 活 动的同样 的 情 绪 和 偏 见 ” 。 至 少 对 于 英 国 , 梅 因 可 以 说 是 已 经改变了“自然” 的 面 貌 。

    这 种 智 力 状 态 使 梅 因 完 全 不 可 能 接 受 霍 布 斯 与 奥 斯 丁 的主 权 命 令 说 , 把 它 视 为 是 一 切 法 律 的 起 源 和 性 质 的 特 征 。 这 是 在 “ 古 代 法 ” 最 初 的 篇 幅 中 就 加 以 说 明 的 ; 并 且 他 在 十 四 年 后 出 版 的 “ 古 代 法 制 史 ” 最 后 两 讲 中 更 深 入 地 加 以 发 挥 。 奇 怪 的 是 , 梅 因 虽 然 是 奥 斯 丁 最 严 格 的 批 评 者 之 一 , 但 他 把 奥 斯 丁 在 法 律 分 析 上 所 作 努 力 的 真 正 成 绩 推 荐 给 英 国 法 学 家 , 则 有 甚 于 任 何 人 。 奥 斯 丁 在 1 8 2 8 年 所 作 的 演 讲 , 除 了 培 养 人才 补 足 审 判 席 缺 额 以 外 , 似 乎 很 少 成 就 ; 他 的 演 讲 集 在 1 8 32年 出 版 时 , 依 旧 毫 无 影 响 ; 只 是 通 过 了 梅 因 的 各 种 著 作 和 他在 1 8 5 2 年 对 法 学 院 所 作 的 演 讲 才 把 这 一 热 诚 的 、 太 过 热 诚 的真 理 追 求 者 所 作 耐 性 的 但 落 空 的 努 力 , 从 湮 没 中 援 救 出 来 。 但是 , 虽 然 他 对 奥 斯 丁 的 分 析 天 才 比 以 后 许 多 争 论 者 给 予 更 多的 赞 誉 , 但 他 对 于 把 法 律 视 作 为 命 令 , 并 且 只 是 命 令 这 一个论 点 , 却 无 疑 地 论 证 了 它 的 缺 点 。

    我 在 前 面 已 经 提 到 梅 因 对 于 英 国 人 对 罗 马 法 的 “ 极 端 无知 ” , 提 出 了 非 难 。 1847年 , 他 接 受 了 剑 桥 大 学 民 法 学 钦 定 讲座 的 教 授 职 位 , 因 为 这 个 任 命 , 使 他 得 以 专 心 研 究 古 代 法 而获 益 不 少 。 在 关 于 罗 马 遗 嘱 ( 第 六 章 ) 、 法 律 诉 讼 ( 第十 章 )、家 父 权 ( 第 五 章 ) 以 及 罗 马 契 约 分 类 ( 第 八 章 ) 等 这 些 辉 煌的 纲 要 中 , 包 含 着 许 多 新 奇 的 东 西 , 这 些 东 西 现 在 虽 已毫 不新 奇 , 但 在 1 8 6 1 年 它 们 都 是 很 新 奇 的 ; 我 们 必 须 指 出 其 中 也有 许 多 到 现 在 已 成 为 有 疑 问 的 了 , 但 是 , 对 于 并 不 熟 悉专 门的 罗 马 法 的 读 者 , 还 不 能 在 英 文 中 找 到 一 本 书 , 能 对 那伟 大法 制 中 某 些 独 特 的 制 度 , “ 像 古 代 法 ” 这 样 提 供 生 气 勃 勃 的说明 , 并 且 就 罗 马 法 对 于 欧 洲 人 生 活 上 和 思 想 上 几 乎 每 一 个 部门 所 发 生 的 巨 大 影 响 , 现 在 当 然 还 找 不 到 比 第 九 章 中 所 作 的更 好 的 、 更 有 说 服 力 的 描 写 。 还 不 很 熟 悉 这 一 切 的 读 者 , 可以 从 吉 朋 所 著 “ 罗 马 帝 国 衰 亡 史 ” 这 一 无 比 精 辟 的 书 的 第 四十 四 章 中 找 到 很 适 宜 的 补 充 材 料 。

    梅 因 与 进 化 论 学 派 的 密 切 关 系 , 可 以 从 他 对 于 法 律 制 度史 中 某 种 进 步 因 素 所 具 有 的 确 实 而 决 不 空 洞 的 信 念 , 明 白 表现 出 来 , 他 完 全 意 识 到 进 步 一 字 的 含 义 含 糊 : 在 其 无 数警句之 一 中 , 他 告 诉 我 们 : “ 对 于 人 们 , 不 论 是 个 人 或 是 集体,没有 东 西 比 把 他 们 的 道 德 进 步 认 作 一 个 实 体 的 现 实 性 , 更可厌恶 的 了 ” ; 他 认 为 绝 大 部 分 人 类 往 往 对 于 任 何 有 意 识 地努力改进 民 主 制 度 表 示 漠 不 关 心 , 对 于 这 种 现 象 , 他 表 示 大 为惊奇( 见 第 二 章 ) 。 他 从 不 怀 疑 , 社 会 是 明 显 地 向 着 一 种 稳健的坚实 的 方 向 前 进 的 ; 这 样 , 在 契 约 的 发 展 史 中 , 他 发 现 了善意这 个 道 德 观 念 的 逐 步 出 现 , 并 且 虽 然 从 没 有 停 止 和 自 然 法 非历 史 性 的 谬 论 作 斗 争 , 但 他 依 然 在 其 中 看 到 了 一 个 可 以 促 使改 进 的 有 力 因 素 , 以 反 对 法 律 的 保 守 主 义 的 禀 性 ,即认为法律 是 只 能 通 过 相 当 难 以 运 用 的 如 拟 制 、 衡 平 和 立 法 等 权宜手段 来 改 进 本 身 的 。 他 同 样 清 楚 地 认 识 到 社 会 是 天 然 地 分 为“ 进 步 的 ” 和 “ 不 进 步 的 ” 的 — — 这 种 两 分 法 , 相 当 于 西 方 与东 方 的 两 分 法 。 他 不 愿 为 “ 进 步 ” 的 标 准 下 一 个 定 义 ; 但 在“ 古 代 法 制 史 ” 中 , 他 提 出 了 至 少 两 种 可 能 的 区 别 标 准 — — 一种 是 有 意 识 地 采 用 对 最 大 多 数 人 给 以 最 大 幸 福 的 原 则 作 为 立法 政 策 , 另 一 种 是 对 待 妇 女 地 位 的 流 行 态 度 。 有 许 多 其 他 标准 可 以 提 出 来 讨 论 ; 没 有 一 个 可 以 不 变 地 加 以 应 用 ; 但 谁 会怀 疑 , 在 进 步 的 社 会 和 不 进 步 的 社 会 之 间确有 不 同 , 或 是 谁会 认 为 , 梅 因 在 这 样 相 信 了 以 后 已 作 出 了 过 分 满 足 的 假 设 呢 ?

    在 进 一 步 介 绍 “ 古 代 法 ” 中 某 几 个 时 常 引 起 争 论 的 部 分以 前 , 必 须 首 先 注 意 到 本 书 的 一 个 独 特 之 点 。 大 多 数 人 在 对某 一 门 科 学 作 专 门 研 究 时 , 在 发 表 ( 如 果 他 们 的 确 发 表 了 ) 他们 的 一 般 结 论 前 , 必 先 就 其 各 个 细 节 , 加 以 详 细 研 究 , 并可能 要 先 加 以 说 明 。 而 梅 因 的 做 法 , 恰 恰 与 此 相 反 。 在 其 第 一本 书 中 , 他 叙 述 了 最 粗 糙 的 一 般 原 理 , 而 在 他 所 有 的 后 期 作品 中 , 除 了 二 本 比 较 不 重 要 的 之 外 , 只 是 用 了 更 详 细 的 和 更明 确 具 体 的 例 证 , 以 深 入 阐 明 他 在 开 始 其 专 业 时 新 提 出 的 各项 原 理 。 这 种 方 法 是 大 胆 的 , 并 不 是 毫 无 危 险 的 :除 了 对 于事 物 的 要 点 具 有 非 常 的 直 觉 的 理 解 力 的 人 , 采 用 这 种 做 法 , 很难 获 得 成 功 。 学 者 们 为 了 使 其 结 论 能 达 到 精 确 无 误 , 一般 对于 概 括 是 非 常 谨 慎 的 , 有 时 简 直 是 不 健 康 地 谨 慎 ; 但 是 对 于“ 古 代 法 ” , 如 果 真 有 任 何 成 语 与 它 联 用 得 最 最 经 常 , 那 就 是“ 辉 煌 的 概 括 ” 这 一 个 成 语 。 在 “ 古 代 法 ” 中 , 很 少 有 一 页 没有 几 句 著 名 的 警 句 , 突 出 于 字 里 、 行 间 ; 可 怪 的 是 , 梅 因 在经 过 长 期 的 辛 勤 的 进 一 步 研 究 后 , 竟 发 现 很 少 有 必 要 就 其 最早 的 意 见 , 进 行 修 正 。 这 本 书 充 满 了 渊 博 的 知 识 , 却 没 有 表示 博 学 的 一 般 附 属 物 ; 究 竟 是 由 于 政 策 , 或 是 由 于 厌 恶,还是由于 无 能 , 无 论 如 何 , 梅 因 坚 决 拒 绝 采 用 似 乎 常 常 需 要 的旁 注 和 详 细 证 据 , 以 为 其 明 白 直 率 的 主 文 的 累 赘 。 虽 然具结果 有 时 使 经 过 专 门 训 练 的 读 者 感 到 不 便 , 但 免 除 学 术上的累赘 , 无 疑 地 大 大 增 加 了 “ 古 代 法 ” 和 梅 因 的 其 他 一 切 著 作的声 望 。 我 们 享 受 着 文 字 的 乳 汁 , 而 不 被 迫 目 击 挤 乳 的 这种繁重 的 、 有 时 候 很 辛 苦 的 劳 动 , 虽 然 在 “ 东 西 方 村 落 共 产 体 ”( V i l l a g e   C o m m u n i t i e s   i n   t h e   E a s t   a n d   W e s t ,1871) 、 “ 古 代 法 制 史 ” (1875) 及 “ 古 代 法 律 与 习 惯 ” ( 1 8 8 3年)中 都 用 了 比 “ 古 代 法 ” 更 正 确 的 、 更 有 批 评 眼 光 的 考 查以 观 察 古 代 法 律 中 的 各 个 问 题 , 但 梅 因 在 “ 古 代 法 ” 之 后 写的 一 些 作 品 , 都 不 及 这 个 初 生 儿 , 甚 至 一 半 也 及 不 到 。

    因 此 , “ 古 代 法 ” 应 该 被 认 为 好 像 是 梅 因 毕 生 工 作 中 的 一个 宣 言 书 , 这 是 雅 利 安 民 族 各 个 不 同 支 系 , 尤 其 是 罗 马 人 、 英国 人 、 爱 尔 兰 人 、 斯 拉 夫 人 以 及 印 度 人 的 古 代 法 律 制 度 的 一个 比 较 研 究 。 由 于 它 本 身 是 一 个 令 人 满 意 的 统 一 体 , 它 不 能被 视 为 仅 仅 是 一 篇 绪 论 ; 不 过 , 对 于 他 粗 糙 地 谈 到 的 许 多 问题 , 如 果 要 获 得 更 丰 富 的 知 识 , 读 者 还 必 须 借 助 于 梅 因 的 后期 作 品 。 例 如 第 八 章 提 到 的 村 落 共 产 体 是 一 篇 用 同 名 的 完 整的 ( 虽 然 是 简 短 的 ) 论 文 的 主 题 , 由 于 当 时 那 士 ( N a s s e ) 和G.L . 丰 · 毛 勒 ( G . L . v o n   M a u r e r ) 的 新 近 研 究 而 引 起的 ; 关 于 父 权 家 族 的 说 明 , 当 然 应 该 以 “ 古 代 法 律 与 习 惯 ” 为补 充 材 料 , 这 是 梅 因 的 最 后 一 部 重 要 著 作 , 在 其 中 , 他 用 了同 样 的 说 服 力 和 机 智 , 乘 便 对 主 张 母 权 制 理 论 的 几 个 主 要 代表人 予 以 答 复 。 在 这 里 , 由 于 篇 幅 的 限 制 , 难 以 就 “ 古 代法”中 讨 论 的 各 个 题 目 , 一 一 指 出 究 竟 在 他 后 期 作 品 中 哪 些地 方 曾 详 加 说 明 ; 但 就 主 要 的 题 目 中 , 可 以 提 出 的 有 主 权 、 集体 财 产 的 早 期 形 式 ( 其 重 要 的 一 方 面 , 即 联 合 家 族 , 在 “ 古代 法 ” 中 没 有 提 到 , 但 在 “ 村 落 共 产 体 ” 和 “ 古 代 法 制 史 ” 中 ,都 有 详 尽 的 讨 论 ) , 封 建 制 度 化 的 过 程 , 各 种 古 代 法 典 ( 例 如在 “ 古 代 法 律 与 习 惯 ” 的 第 一 章 中 , 详 细 叙 述 了 “ 摩 奴法典 ” ),法 学 家 〔 特 别 是 罗 马法学专家 ( J u r i s p r u d e n t e s ) 和 爱尔 兰 “ 古 代 法 官 ” 〕 在 制 成 法 律 上 所 起 的 影 响 , 原 始 的 亲 属 关系,动 产 所 有 权 〔 关 于 第 八 章 中 所 讨 论 的要式交易物 ( r e s m a n Acipi) 更 详 细 的 说 明 , 可 参 考 “ 古 代 法 律 与 习 惯 ” 第 十 章 〕 , 土地 所 有 权 , 长 子 继 承 权 , 拟 制 ( 例 如 , 关 于 收 养 这 个 拟 制 的补 充 说 明 , 可 见 “ 古 代 法 制 史 ” 第 八 讲 和 “ 古 代 法 律 与 习 惯 ” 第 四 章 ) , 原 始 诉 讼 程 序 〔 著 名 “ 戏 剧 化 ” 的誓金(Sacra m e n At u m ) 可 在 “ 古 代 法 制 史 ” 第 九 讲 中 再 发 现 〕 , 强 制 执 行 的 各种 早 期 形式,祖先 崇 拜 和 家 族圣物,以 及 衡 平 的 发 展 等。
    “ 古 代 法 ” 中 有 许 多 部 分 , 在 后 来 成 为 批 评 或 者 有 时 是 别人 所 不 同 意 的 主 题 , 对 于 这 些 , 只 可 浏 览 一 过 。 在 一 般 人的心目中 , 梅 因 的 名 字 也 许 最 容 易 同 父 权 制 的 理 论 联 系 在 一 起 。
    大 家 都 知 道 , 有 一 个 以 巴 觉 芬 ( B a c h o f e n ) 〔 他 的 “ 母 权 制论 ” ( D a s   M u t t e r r e c h e t ) 由 于 巧 合 , 恰 在 “ 古 代 法 ” 出 版 的同 一 年 中 出 版 〕 、 马 克 林 南 ( M c l e n n a n ) 、 摩 尔 根 ( M o r g a n ) 、约 瑟 夫 · 库 勒 ( J o s e f   k o h l e r ) 和 法 拉 善 ( F r a z e r ) 为 其 主 要代 表 人 物 的 反 对 学 派 , 主 张 人 类 社 会 以 一 个 人 群 开 始 ,其中男 女 两 性 处 于 一 种 没 有 节 制 的 杂 交 状 态 中 互 相 匹 配 , 主张首先 出 现 的 家 族 集 团 是 以 母 氏 为 中 心 的 , 并 且 主 张 以 认 定 的 生父 的 体 力 和 独 占 禁 忌 占 优 势 的 家 族 集 团 , 在 发 展 的 过 程中,应属 于 一 个 较 后 的 阶 段 。 而 在 “ 古 代 法 ” 和 “ 古 代 法 律 与 习惯 ” 的 简 要 研 究 中 , 显 然 梅 因 所 描 写 的 社 会 , 既 不 是 一 个 以“ 自 然 状 态 中 的 人 ” 也 不 是 以 母 系 子 嗣 , 而 是 一 个 以 父 权 的 、宗 亲 的 家 作 为 单 位 的 社 会 。
    但 是 , 梅 因 所 重 新 假 设 的 这 种 共 产 体 , 从 来 没 有 要 被 认为 是 人 类 社 会 渊 源 的 代 表 之 意 。 他 的 研 究 明 白 地 限 于 雅 利 安民 族 , 尤 其 是 其 中 比 较 进 步 的 几 个 支 系 ( 但 有 显 著 的 例 外 , 如印 度 村 落 共 产 体 ) ; 虽 然 在 其 他 方 面 可 能 有 些 争 执 , 但 雅 利 安家 族 制 度 主 要 是 父 权 的 , 这 是 没 有 争 议 的 。 在 “ 古 代 法 律 与习 惯 ” 中 , 梅 因 不 但 不 主 张 人 类 种 族 的 各 个 支 系 应 该 有 一 个单 一 的 、 一 成 不 变 的 发 展 图 式 , 他 并 且 毫 无 隐 瞒 地 对 这 种 想法 表 示 着 怀 疑 。 现 代 学 说 所 主 张 的 , 正 和 这 个 意 见 相 同 : 现在 认 为 , 把 父 权 制 理 论 和 母 权 制 理 论 作 为 相 互 之 间 不 能调和的 对 立 物 是 完 全 人 为 的 。 男 性 和 女 性 在 家 族 中 和 社 会 上 的 相对 重 要 性 决 定 于 许 多 变 化 着 的 情 况 , 譬 如 各 家 族 集 团 是孤立的 还 是 互 相 邻 接 的 , 男 女 两 性 的 相 对 人 数 , 战 争 的 影 响,可用 以 瞻 养 妻 子 的 财 富 , 灭 婴 的 习 俗 , 以 及 许 多 其 他 类 似 的 因素 , 决 不 可 能 在 一 切 时 代 和 一 切 地 点 , 完 全 相 同 。 即 使 在 大量 证 据 中 仅 仅 熟 悉 其 中 一 部 分 的 人 ( 或 仅 仅 熟 悉 其 中 可靠部分 的 人 , 并 且 不 包 括 梅 因 讽 刺 地 称 之 为 “ 道 听 途 说 ” 的 人 ) ,现 在 也 不 再 怀 疑 母 系 的 安 排 曾 流 行 于 世 界 的 许 多 地 方 。 梅 因曾 被 责 难 为 在 承 认 马 克 林 南 和 摩 尔 根 所 提 出 母 权 制 的 证 据 时过 分 勉 强 , 并 且 过 分 严 格 地 坚 持 着 男 性 的 体 力 和 性 的 忌 妒 这些 支 配 的 因 素 。 实 际 上 , 梅 因 完 全 承 认 父 权 制 并 不 能 适用 于一 切 形 式 的 社 会 ; 他 所 主 张 的 , 只 是 父 权 制 是 雅 利 安 人 所 特有 的 , 同 时 母 权 制 的 证 据 并 不 足 以 支 持 有 一 种 原 始 群 杂交的通 说 而 已 。 对 于 这 两 种 说 法 , 现 代 的 意 见 都 支 持 着 他 ; 任 何普 遍 的 原 始 杂 交 的 假 设 , 现 在 为 一 般 人 所 不 信 , 虽 然 作为偶然 的 热 情 奔 放 的 那 种 所 谓 性 的 共 产 主 义 , 证 据 还 是 不 少 ; 在雅 利 安 人 中 间 确 有 母 权 制 的 遗 迹 , 但 他 们 认 为 这 很 可 能 不 是人 类 家 族 中 这 一 支 系 的 一 种 较 古 时 期 的 原 有 情 况 , 而 是 它 同非 雅 利 安 种 族 习 惯 相 接 触 的 结 果 。

    梅 因 的 行 文 流 畅 , 偶 尔 ( 但 只 是 偶 尔 ) 也 有 自 相 矛 盾 之处 , 这 是 不 能 毫 无 保 留 地 加 以 接 受 的 。 这 类 矛 盾 在 “ 古 代法 ” 最 初 的 篇 幅 中 就 可 以 看 到 , 在 第 一 章 中 , 关 于 半 司 法 的 、半 宗 教 的θεμιτε 觉 得 出 了 在 原 始 社 会 中 “ 判 决 先 于 习 惯 ” 的结 论 。 在 “ 村 落 共 产 体 ” 中 , 梅 因 回 到 了 “ 主 权 者 有 权 创造习 惯 ” 。 在 这 个 问 题 上 , 有 两 种 不 同 信 念 的 学 派 ; 一 派 主 张 在最 古 时 期 高 级 官 吏 的 宣 告 只 是 宣 布 业 已 存 在 的 习 惯 , 另一派则 认 为 这 些 宣 告 却 真 正 是 创 设 和 塑 造 通 俗 惯 例 的 决 定 因 素 。真 相 似 乎 是 在 这 两 种 相 反 的 观 点 的 中 间 。 毫 无 疑 问 , 早期的判 决 , 不 论 是 国 王 的 或 是 祭 司 的 , 不 论 是 纯 粹 世 俗 的或是幻想为 神 灵 所 启 示 的 , 在 确 定 习 惯 的 形 式 、 范 围 以 及 方 向 上,确有 很 大 的 影 响 。 同 时 , 一 切 证 据 似 乎 都 说 明 , 最 古 时 期 的 司法 职 能 被 认 为 是 以发现现存的法律 为 其 主 要 目 的 。 在 西 方 世界,到处都有关 于 这 种 “ 发 现 法 律 ” 以 及 以 发 现 法 律 为 专 职的 公 认 专 家 的 各 种 记 录 。 甚 至 在 解 释 过 程 中 采 用 了 ( 这 也 常是 必 然 的 ) 新 的 成 分 , 在 这 种 情 况 下 , 实 际 上 已 从 单 纯 的 宣布 进 入 了 创 设 的 时 期 , 甚 至 在 这 种 时 候 , 这 种 改 革 仍 旧被装扮成 只 是 发 现 : 正 像 英 国 法 官 在 实 质 上 是 把 新 的 成 分 转 入 到法 律 中 去 , 却 仍 旧 尽 可 能 地 把 它 们 说 成 是 根 据 于 现 存 的 先 例一 样 。 梅 因 对 于 这 种 看 法 , 曾 经 详 细 考 虑 而 加 以 同 意 , 因 为在 “ 古 代 法 律 与 习 惯 ” ( 第 六 章 ) 中 , 当 他 写 到θεμιτε时 , 认为 它 “ 无 疑 地 来 自 早 已 存 在 的 习 惯 或 惯 例 ” ; 虽 然 他 也 许 是 为了 表 示 公 正 起 见 , 接 着 说 ; “ 这观念是,它 们 是 由 国 王 自 发 地或 经 过 神 的 提 示 而 想 出 来 的 ” 。

    “ 古 代 法 ” 中 没 有 一 部 分 像万民法的 叙述 那 样 需 要 更 多 的 详 细 说 明 。 “ 古 代 法 ” 的 最 大 缺 点 , 在 于 它跳 过 了 从 罗 马 人 到 格 罗 秋 ( Grotius) 之 间 的 几 个 世 纪 , 忽 略了中古世纪的时期 , 在 这 个 时 期 内 , “ 自 然 法 ” 转 变 成 为 有 无限 活 力 和 影 响 的 一 种 神 学 概 念 。 对 于 像 梅 因 这 样 有 非 常 的 均衡 感 和 透 视 力 的 人 , 这 真 是 一 个 奇 怪 的 遗 漏 , 而 每 一 个 读 者希 望 对 这 一 漫 长 时 期 的 法 律 理 论 有 比 较 正 确 的 印 象 的 ,应该至 少 参 考 一 下 布 赖 斯 爵 士 (B r y c e ) 和 菲 莱 特 烈 克 · 濮洛 克 爵 士 (F r e d e r i c k   P o l l o c k ) 关 于 “ 自 然 法 律 史 ” 的几 篇 论 文 , 以 及喀莱尔博士 (A. J. C a r l y l e ) 的“ 西 方 中 世 纪 政 治 理 论 ” 。

    梅 因 对 于 罗 马 契 约 法 发 展 的 说 明 , 是 他 论 文 中 最 雄 辩 的部 分 之 一 。 但 这 部 分 有 些 浪 漫 的 倾 向 , 则 是 无 法 掩 盖 的 事 实 。 在 有 些 方 面 , 他 似 乎 显 然 是 错 误 的 ; 例 如约定,根据现代意 见 , 不 能 被 真 正 地 认 为 是 来 源 于耐克逊( n e x u m ) : 它也 许 在宗教的 神 圣 性 中 有 完 全 不 同 的 历 史 , 不 同 的 来 源 。在其 他 方 面 , 如 关 于耐克逊 的 确 切 性 质 , 他 所 表 示 的 见 解 , 有些 也 只 能 认 为 是 似 乎 可 信 的 猜 测 ; 但 这 样 说 , 并 不 能 被 认 为是 对 他 责 难 , 因 为 从 梅 因 的 时 代 起 , 对 于 这 一 个 问 题 曾 发 生过 无 休 无 止 的 争 论 , 而 争 论 的 结 果 也 还 只 是 一 些 可 能 和 推 测而 已 , 实 际 上 , 以 证 据 而 论 , 也 只 能 得 到 这 样 的 结 果 。 梅 因对 于 罗 马 契 约 的 历 史 分 类 存 在 着 真 正 的 弱 点 , 这 与 罗 马 法 学家 自 己 对 于 合 意 的 分 类 的 存 在 着 弱 点 , 完 全 相 同 — 弱 点是在于 它 图 表 式 的 但 靠 不 住 的 单 纯 。 梅 因 所 提 出 的 各 个 阶段是:把债 务 同 真 正 的 以 身 体 自 由 为 质 物 ( 耐 克 逊 借 贷 ) 看 做 一 回 事 , 带 有 严 格 的 神 圣 仪 式 ; 其 次 是 以 庄 严 的 口 头 问 答 和 以 诚 意 担保 的 债 务 ; 其 次 是 有 书 面 文 字 的 无 可 辩 驳 的 证 据 ; 其 次 是 真正 契 约 的 “ 巨 大 道 德 进 步 ” , 这 些 契 约 代 表 着 公 正 的 基 本 原 理 ,即 根 据 一 致 同 意 的 条 件 , 受 领 和 享 有 他 人 有 价 物 件 的 人 , 有归 还 它 或 其 价 值 的 义 务 ; 其 次 是 在 任 何 经 济 发 达 的 社 会 中 , 在四 种 最 普 通 和 重 要 的 交 易 中 一 致 的 效 力 ; 以 及 最 后 , 通 过 裁判 官的 自 由 学 说 , 在 任 何 严 肃 的 和 合 法 的 场 合 中 所取 得 纯 粹 一 致 的 拘 束 力 。 我 们 不 能 说 这 种 根 据 于 道 德 进 步 路线 的 历 史 顺 序 , 是 明 显 地 错 误 的 , 但 为 慎 重 起 见 , 我 们 必 须承 认 要 证 实 其 一 切 细 节 , 现 有 的 证 据 显 然 并 不 充 分 。 事 实 正如 我 们 常 常 指 出 来 的 那 样 , 罗 马 人 在 有 关 合 意 的 法 律 方 面 是独 特 地 凭 经 验 的 , 他 们 从 来 没 有 发 展 一 个 令 人 满 意 的 和 不 矛盾 的 真 正作为 契 约 的 契 约 理 论 , 他 们 的市民法要因(causa civilis)学说, 被 假 定 为 是 一 切 有 拘 束 力 的 合 意 所 依 据 的 , 是完 全 没 有 可 靠 的 法 律 基 础 的 。 梅 因 留 给 我 们 的 印 象 是 , 裁 判官 凭 着 体 现 “ 能 达 到 正 当 后 果 的 ‘ 诺 成 契 约 ’ 原 则 ” 的 ‘ 裁判 官 告 令 ” , 把 合 意 的 可 诉 性 扩 大 到 几 乎 毫 无 限 制 。 这 是 一 种严 重 的 夸 大 。 实 际 上 , 裁 判 官 告 令 , 在 数 量 上 是 很 少 的 , 在性 质 上 是 很 专 门 的 , 在 范 围 上 是 很 狭 小 的 。 毫 无 疑 义 , 到 了古 典 时 期 , 契 约 的 领 域 在 理 论 上 和 在 实 际 上 , 都 已 变 得 很 广泛 , 足 以 满 足 一 切 普 通 目 的 了 ; 但 是 它 还 不 能 公 正 地 被 认 为具 有 梅 因 这 样 热 诚 地 归 功 于 它 的 那 种 科 学 的 均 称 性 或 道 德 的一 致 性 。

    在 第 五 章 的 结 尾 , 可 以 看 到 梅 因 对 他 所 想 象 的 “ 各 国 民事 法 律 ” 的 发 展 , 进 行 了 干 练 的 总 结 , 同 时 读 者 在 开 始 阅 读本 书之 前 , 最 好 先 熟 读 这 一 段 文 字 , 即 以 “ 到 现 在 为 止 , 我 们 已 经研 究 过 有 关 古 代 ‘ 人 法 ’ 的 各 个 部 分 ” 开 始 的 几 页 , 并 且 先 要 把 本 书 开 头 的 主 要 的 五 章 所 依 据 的 要 旨 牢 记 在 心 中 。这 几 页 中 最 后 一 句 话 是 全 部 英 国 法 律 文 献 中 最 著 名 的 “ 进 步社 会 的 运 动 , 到 此 处 为 止 , 是 一个从身分到契约 的 运 动 。 ” 这些 文 句 在 它 写 成 的 当 时 , 是 适 当 的 、 可 以 接 受 的 — —那 个 时候 , 十 九 世 纪 个 人 主 义 的 全 部 力 量 正 在 逐 渐 增 加 其 动 力。关于 梅 因 所 应 用 的 “ 身 分 ” 这 个 字 , 是 否 适 当 , 这 里 不 拟作专门 的 详 尽 讨 论 , 但 作 为 一 个 法 律 “ 术 语 ” , 就 他 所 接 受 的 含 义来 讲 , 是 有 讨 论 的 余 地 的 ; 但 他 的 结 论 实 足 以 表 现 一 条为当今 历 史 法 学 家 没 有 任 何 争 执 的 原 则 — — 即 个 人 自 决 的原则,把 个 人 从 家 庭 和 集 团 束 缚 的 罗 网 中 分 离 开 来 ; 或 者 , 用 最 简单 的 话 来 说 , 即 从 集 体 走 向 个 人 的 运 动 。 这 是 梅 因 的 论文的主 要 观 点 , 是 他 对 所 有 那 些先天 的 空 想 进 行 攻 击 的 矛 头,这些 空 想 创 造 了 抽 象 的人 , 作 为 年 轻 世 界 的 天 命 的 君 主 , 这样就 颠 倒 了 全 部 的 历 史 进 程 。 可 以 看 到 , 梅 因 在 说 这 个 运 动到此处为止 是 进 步 社 会 的 特 征 时 , 是 很 慎 重 的 。 现 在 有 许 多 人在 问 , 有 的 带 着 怀 疑 , 有 的 可 以 看 出 是 有 礼 貌 地 , 究 竟 有 没有 从 契 约 到 身 分 的 相 反 运 动 发 生 过 。 我 们 可 以 完 全 肯 定 , 这个 由 十 九 世 纪放任主义 ( l a i s s e z f a i r e ) 安 放 在 “ 契 约 自 由 ” 这神 圣 语 句 的 神 龛 内 的 个 人 绝 对 自 决 , 到 了 今 日 已 经 有 了 很 多的 改 变 ; 现 在 , 个 人 在 社 会 中 的 地 位 , 远 较 著 作 “ 古 代 法 ” 的时 候 更 广 泛 地 受 到 特 别 团 体 、 尤 其 是 职 业 团 体 的 支 配 , 而 他的 进 入 这 些 团 体 并 非 都 出 于 他 自 己 的 自 由 选 择 。 很 可 能 , 过去 一 度 由 家 庭 这 个 发 源 地 担 任 的 任 务 , 在 将 来 要 由 工 团 这 个发 源 地 来 担 任 了 ; 也 可 能 梅 因 的 这 个 著 名 原 则 , 将 会 有 一 天被 简 单 地 认 为 只 是 社 会 史 中 的 一 个 插 曲 。 如 果 竟 然 是 这 样 发生 了 , 这 究 竟 是 标 志 着 社 会 的 进 步 还 是 退 化 , 是 一 个 非 常 适合 于 每 一 个 有 思 想 的 人 仔 细 研 究 的 问 题 , 但 在 这 里 , 是 不 宜于 作 任 何 讨 论 的 。

    本 书 中 有 些 不 重 要 的 疏 漏 之 处 , 对 于 一 般 读 者 , 是 可 以不 必 特 别 提 出 的 。 但 有 一 点 必 须 加 以 指 出 。 在 第 四 章 中 梅 因竟 以 为 布 拉 克 顿 ( B r a c t o n ) 曾 “ 把 全 部 形 式 和 三 分 之 一 内 容直 接 剽 窃 自 ‘ 民 法 大 全 ’ ” 的 一 篇 论 文 , 作 为 纯 粹 英 国 法 的 一个 纲 要 , 向 其 同 胞 推 销 。 这 与 现 在 由 麦 特 兰 ( M a i t l a n d ) 研 究结 果 确 定 的 事 实 严 重 地 不 相 符 合 , 这 些 事 实 , 在1861年 时 是不 可 避 免 地 被 误 解 了 。 布 拉 克 顿 的 亨 利 或 布 拉 顿 ( B r a t o n ) 是除 了 法 学 家 和 历 史 学 家 外 , 一 般 人 很 少 知 道 的 一 个 作 家 , 因此 请 原 谅 我 为 他 作 一 介 绍 , 他 是 亨 利 三 世 皇 朝 后 半 期 中 一 个王 室 法 庭 的 法 官 , 并 且 是 研 究 中 世 纪 时 期 “ 英 国 法 律 和 习惯 ” 方 面 一 个 最 重 要 的 “ 寺 院 派 ” 作 家 。 像 他 当 时 所 有 的 教士 一 样 , 他 用 拉 丁 文 纂 述 文 章 , 他 应 用 罗 马 法 的 传 统 分 类 与排 列 ; 虽 然 决 不 至 于 有 “ 三 分 之 一 内 容 ” , 但 他 的 著 名 论 文 中确 有 相 当 部 分 借 助 于 罗 马 法 — — 但 不 是 “ 民 法 大 全 ” 的 本 身 ,而是 十 二 世 纪 “ 波 罗 诺 学 派 ” ( B o l o g n e s e ) 注 释 者 所 “ 修 正 ”的 罗 马 法 律 学 。 但 他 的 著 作 , 不 论 在 意 图 上 或 是 在 效 果 上 , 绝不 是 欺 人 之 谈 : 他 的 主 题 是 真 实 的 、 本 土 风 光 的 、 英 国 的 封建 法 律 , 虽 然 曾 受 到 当 时 所 公 认 的 研 究 法 律 学 的 方 法 — — 一个 必 然 是 罗 马 式 的 方 法 — — 的 影 响 , 而 它 受 到 这 种 影 响 , 实在 也 是 无 可 避 免 的 。
    最 后 必 须 加 以 说 明 , 在 本 书 中 提 到 的 一 二 椿 有 关 英 国 法的 事 , 最 近 已 经 有 了 变 化 。 一 般 都 知 道 , 在 梅 因 著 作 中 占 有非 常 显 著 地 位 的 并 且 是 他 所 一 贯 不 赞 成 的 长 子 继 承 权, 在 现 在 , 除 了 荣 誉 称 号 以 外 , 在 一 切 主 要 方 面都 已 从 英 国 继 承 法 中 消 失 了 。 第 八 章 中 有 关 英 国 动 产 法 “ 威胁着要 并 吞 和 毁 灭 不 动 产 法 ” 的 预 言 , 现 在 大 部 已 经 实 现 了 。
    至 于 英国已婚妇 女 的 无 能 力 ( 第 五 章 ) ,这种 现 象 在1861年时 是 任 何 文 明 社 会 的 一 种 耻 辱 , 在 二 十 一 年 以 后 已 被 彻 底 消灭 , 这 原 是 众 所 周 知 而 毋 庸 加 以 说 明 的 事。
    ——C a r l e t o n   k e m p   A l l e n,1931

    第一章   古代法典

    世 界 上 最 著 名 的 一 个 法 律 学 制 度 从 一 部 “ 法 典 ” (code)开 始 , 也 随 着 它 而 结 束 。 从 罗 马 法 历 史 的 开 始 到 结 束 , 它 的释 义 者 一 贯 地 在 其 用 语 中 暗 示 着 , 他 们 制 度 的 实 体 是 建 筑 于“ 十 二 铜 表 法 ”、因 此 也 就 是 建 筑 于 成 文 法 的 基 础 上 的 。 在 罗 马 , 对 于 “ 十 二 铜 表 法 ” 以前 的 一 切 制 度 , 除 了 一 特 殊 之 点 外 , 都 不 予 承 认 。 罗 马 法 律学 在 理 论 上 是 来 自 一 部 法 典 , 而 英 国 法 律 在 理 论 上 则 被 认 为是 来 自 古 代 的 不 成 文 惯 例 , 这 是 他 们 制 度 的 发 展 和 我 们 制 度的 发 展 所 以 不 同 的 主 要 原 因 。 这 两 种 理 论 与 事 实 不 完 全 相 符,但 却 都 产 生 了 极 端 重 要 的 后 果 。

    “ 十 二 铜 表 法 ” 的 公 布 并 不 能 作 为 我 们 开 始 研 究 法 律 史 的最 早 起 点 , 这 是 毋 庸 多 说 的 。 古 代 罗 马 法 典 , 是 属 于 这 样 一类 的 法 典 , 几 乎 世 界 上 每 一 个 文 明 国 家 都 可 以 提 出 一 个 范 例 ,并 且 以 罗 马 和 希 腊 而 论 , 它 们 是 在 彼 此 之 间 相 距 并 不 过 分 遥远 的 时 代 中 在 它 们 各 自 的 领 域 中 广 泛 地 传 布 着 。 它 们 是 在 非常 类 似 的 情 况 下 出 现 的 , 并 且 据 我 们 所 知 , 也 是 由 类 似 的 原因 产 生 的 。 毫 无 疑 问 , 在 这 些 法 典 的 后 面 , 存 在 许 多 法 律 现象 , 这 些 法 律 现 象 在 时 间 上 是 发 生 在 法 典 之 前 的 。 现 在 有 很多 文 件 记 录 , 明 白 地 提 供 我 们 关 于 这 种 早 期 法 律 现 象 的 知 识 ;但 在 语 言 学 家 能 对 “ 梵 文 ”文 学 作 出 完 全的 分 析以 前 , 我 们 知 识 的 最 好 来 源 无 疑 地 只 有 希 腊 的 荷 马 诗 篇, 当 然 我 们 不 能 把 它 认 作 一 种 确 实 事 件 的历 史 , 而 只 能 把 它 作 为 作 者 所 知 道 的 不 是 完 全 出 于 想 象 的 一种 社 会 状 态 的 描 写 。 纵 使 诗 人 的 想 象 力 对 于 这 种 英 雄 时代的某 些 特 征 , 如 战 士 的 勇 猛 以 及 神 的 威 武 , 可 能 有 些 夸 张 之 处 ,但 我 们 没 有 理 由 相 信 , 他 的 想 象 力 曾 受 到 道 德 或 形 而 上 学 的概 念 的 影 响 , 因 为 , 这 些 概 念 当 时 当 没 有 作 为 有 意 识 观察的对 象 。 就 这 一 点 而 论 , 荷 马 文 学 实 远 比 后 期 的 文 件 更为真实可 靠 , 因 为 , 这 些 文 件 虽 然 也 是 为 了 要 说 明 同 样 的 较 早时期的 情 况 , 但 是 它 们 的 编 纂 是 在 哲 学 的 或 神 学 的 影 响 之 下 进 行的 。 如 果 我 们 能 通 过 任 何 方 法 , 断 定 法 律 概 念 的 早 期 形 式 , 这将 对 我 们 有 无 限 的 价 值 。 这 些 基 本 观 念 对 于 法 学 家 , 真 象 原始 地 壳 对 于 地 质 学 家 一 样 的 可 贵 。 这 些 观 念 中 , 可 能 含 有 法律 在 后 来 表 现 其 自 己 的 一 切 形 式 。 我 们 的 法 律 科 学 所 以 处 于这 样 不 能 令 人 满 意 的 状 态 , 主 要 由 于 对 于 这 些 观 念 除 了最最肤 浅 的 研 究 之 外 , 采 取 了 一 概 加 以 拒 绝 的 草 率 态 度 或 偏 见 。 在采 用 观 察 的 方 法 以 代 替 假 设 法 之 前 , 法 学 家 进 行 调 查 研究的方 法 真 和 物 理 学 与 生 物 学 中 所 用 的 调 查 研 究 方 法 十 分 近 似 。凡 是 似 乎 可 信 的 和 内 容 丰 富 的 、 但 却 绝 对 未 经 证 实 的 各 种 理论 , 像 “ 自 然 法 ”或 “ 社 会 契 约 ” 之 类 , 往 往 为 一 般 人 所 爱 好 , 很 少 有 踏 实 地 探 究社 会 和 法 律 的 原 始 历 史 的 ; 这 些 理 论 不 但 使 注 意 力 离 开 了 可以 发 现 真 理 的 唯 一 出 处 , 并 且 当 它 们 一 度 被 接 受 和 相 信 了 以后 , 就 有 可 能 使 法 律 学 以 后 各 个 阶 段 都 受 到 其 最 真 实 和 最 大的 影 响 , 因 而 也 就 模 糊 了 真 理 。

    在 荷 马 诗 篇 中 曾 经 提 到 “ 地 美 士 ” ( T h e m i s ) 和 “ 地 美 士第 ” ( T h e m i s t e s ) 的 字 眼 , 这 是 一 些 最 早 期 的 概 念 , 它 们 和 现在 已 经 充 分 发 达 的 法 律 观 念 和 生 活 规 律 有 着 密 切 的 关 系 。 如所 周 知 , “ 地 美 士 ” 在 后 期 希 腊 万 神 庙 中 是 “ 司 法 女 神 ” ( A Goddess   o f J u s t i c e ) , 但 这 是 一 个 现 代 的 并 且 已 经 很 发 达 的 观念 , 同 “ 伊 利 亚 特 ” ( I l i a d ) 中 把 “ 地 美 士 ” 描 写 为 宙 斯的 陪 审 官 的 原 意 , 完 全 不 同 。 所 有 对 于 人 类 原 始 状 态的 忠 实 观 察 者 现 在 都 能 清 楚 地 看 到 , 在 人 类 的 初 生 时 代 , 人 们 对 于 持 续 不 变 的 或 定 期 循 坏 发 生 的 一 些 活 动 只 能 假 用 一 个有 人 格 的 代 理 人 来 加 以 说 明 。 这 样 , 吹 看 的 风 是 一 个 人 , 并且 当 然 是 一 个 神 圣 的 人 ; 上 升 、 上 升 、 到 达 极 顶 然 后 下 落 的太 阳 是 一 个 人 , 并 且 是 一 个 神 圣 的 人 ; 生 长 庄 稼 的 土 地 是 一个 人 , 也 是 神 圣 的 人 。 在 物 理 世 界 中 如 此 , 在 道 德 世 界 中 也是 如 此 。 当 国 王 用 判 决 解 决 纠 纷 时 , 他 的 判 决 假 设 是 直接灵感 的 结 果 。 把 司 法 审 判 权 交 给 国 王 或 上 帝 的 神 圣 代 理 人 , 万王 之 中 最 伟 大 的 国 王 , 就 是地美士 。 这 个 概 念 的 特 点 , 表 现在 这 个 字 的 复 数 用 法 。地美士第,即地美西斯 , 是 “ 地 美士 ” 的 复 数 , 意 指 审 判 的 本 身 , 是 由 神 授 予 法 官 的 。 在 谈 到 国 王 时 , 好 像 他 们 的 手 中 就 有 着 丰 富 的 “ 地 美 士 第 ” , 随 时 可 以 应 用 似 的 。 但 是 我 们 必 须 明 白 了 解 “ 地 美 士 第 ” 并 不 就 是 法 律 而 是 判 决 。 格 罗 脱 ( G r o t e ) 先 生 在 其 “ 希 腊 史 ”中 说, “宙 斯 或 是 地 球 上 的 人 王 , 不 是 一 个 立法 者 而 是 一 个 法 官 ” 。 他 有 充 足 的 “ 地 美 士 第 ” , 但 是 , 虽 然始 终 相 信 “ 地 美 士 第 ” 来 自 天 上 , 我 们 却 并 不 能 就 假 设 在 各个 “ 地 美 士 第 ” 之 间 , 有 着 任 何 一 条 原 则 贯 串 着 ; 它 们 是 各别 的 、 单 独 的 判 决 。

    甚 至 在 荷 马 诗 篇 中 , 我 们 也 还 可 以 看 出 , 这 些 观 念 只 是暂 时 的 。 在 古 代 社 会 的 简 单 机 构 中 , 情 况 类 似 的 情 形 可 能 比现 在 还 要 普 遍 , 而 在 一 系 列 的 类 似 案 件 中 , 就 有 可 能 采用彼此 近 似 的 审 判 。 我 们 由 此 就 有 了 一 种 “ 习 惯 ” 的 胚 种 或者雏形 , 这 是 在 “ 地 美 士 第 ” 或 判 决 的 概 念 之 后 的 一 种 概 念。由于 我 们 的 现 代 联 想 , 我 们 就先天地 倾 向 于 以 为 一 个 “ 习 惯 ” 观念 必 然 是 先 于 一 个 司 法 判 决 的 概 念 , 以 为 一 个 判 决 必 然是肯定 一 个 “ 习 惯 ” , 或 是 对 于 违 犯 “ 习 惯 ” 的 人 加 以 处 罚 , 纵 使我 们 的 思 想 倾 向 是 这 样 , 但 是 , 非 常 明 确 , 各 种 观 念 的 历 史

    顺 序 却 真 正 是 象 我 在 前 面 所 排 列 的 那 样 排 列 的 。 荷 马 对 于 一个 在 胚 胎 中 的 习 惯 , 有 时 用 单 数 的 “ 地 美 士 ” — — 更 多 的 时候 则 用 “ 达 克 ” ( D i k e ) , 它 的 意 义 明 显 地 介 于 一 个 “ 判 决 ” 和一 个 “ 习 惯 ” 或 “ 惯 例 ” 之 间 。 至 于 N Fμ σ � 是 指 一 条 “ 法律 ” , 这 是 后 期 希 腊 社 会 政 治 语 言 中 一 个 非 常 伟 大 而 著 名 的 名辞 , 但 在 荷 马 诗 篇 中 却 没 有 见 到 过。

    所 谓 神 圣 的 代 理 人 这 种 观 念 , 暗 示 着 “ 地 美 士 第 ” , 而 其本 身 又 人 格 化 在 “ 地 美 士 ” 中 。 这 种 观 念 一 个 肤 浅 的 研 究 者可 能 会 把 它 和 其 他 原 始 信 念 混 淆 起 来 , 我 们 必 须 把 它 们 区 分开 来 。 有 一 种 概 念 认 为 整 部 的 法 典 是 由 “ 神 ” ( D e i t y ) 口 授 的 ,例 如 印 度 的 “ 摩 奴 ” 法 典 ( H i n d o o   laws of Manu), 这 种概 念 似 乎 属 于 比 较 后 期 和 比 较 发 达 的 思 想 , “ 地 美 士 ” 和 “ 地美 士 第 ” 是 同 长 久 以 来 顽 固 地 为 人 们 拘 泥 着 的 一 种 信 念 密 切地 联 系 着 的 , 这 种 信 念 认 为 在 生 活 的 每 一 个 关 系 中 , 在 每 一个 社 会 制 度 中 , 都 有 一 种 神 的 影 响 作 为 它 的 基 础 , 并 支 持 着它 。 在 每 一 古 代 法 律 中 , 在 每 一 政 治 思 想 的 雏 形 中 , 到 处 都可 以 遇 到 这 种 信 念 的 征 象 。 那 时 候 所 有 的 根 本 制 度 如 “ 国家 ” 、 “ 种 族 ” 和 “ 家 族 ” 都 是 假 定 为 贡 献 给 一 个 超 自 然 的 主宰 , 并 由 这 个 主 宰 把 它 们 结 合 在 一 起 的 。 在 这 些 制 度 所 包 含的 各 种 不 同 关 系 中 集 合 起 来 的 人 们 , 必 然 地 要 定 期 举 行 公 共的 祭 礼 , 供 奉 公 共 的 祭 品 , 他 们 时 时 为 了 祈 求 赦 免 因 无 意 或疏 忽 的 侮 慢 而 招 惹 的 刑 罚 举 行 着 斋 戒 和 赎 罪 ,在 这 中 间 这 种同 样 的 义 务 甚 至 被 更 有 意 义 地 承 认 着 。 凡 是 熟 悉 普 通 古 典 文学 的 人 , 都 会 记 得家祭 ( s a c r a   g e n t i l i c i a ) 这 个 名 词 , 这 对于 古 代 罗 马 的 收 养 法 和 遗 嘱 法 都 有 着 极 重 要 的 影 响 。 到 现 在为 止 , 还 保 存 着 原 始 社 会 某 些 最 古 怪 特 点 的 印 度 习 惯 法 ( H i n Ad o o   C u s t o m a t y   law),对 于 人 们 所 有 的 一 切 权 利 和 继 承 的一 切 规 定 , 几 乎 都 要 在 死 人 安 葬 时 , 也 就 是 说 在 家 族 延 续 发生 中 断 时 , 按 照 举 行 规 定 仪 式 时 的 严 肃 程 度 而 决 定 。

    在 我 们 离 开 这 一 法 律 学 阶 段 以 前 , 凡 是 英 国 学 生 都 必 须注 意 到 这 样 的 一 点 。 在 边 沁 的 “ 政 府 论 丛 ” 以 及 奥 斯 丁 的 “ 法 律 学 范 围 论 ”中 , 他 们 把 每 一 项 法 律 分 解 为立 法 者 的 一 个命令,因 此 是 一 种 强 加 于 公 民 身 上 的义务,并且 是 在 发 生 反 抗 时 的 一 种制裁 ; 他 们 并 且 进 一 步 断 定 这 个 作为 法 律 第 一 个 要 素 的命 令,必 须 不 仅 是 针 对 一 个 单 一 的 行 为,而 且 是 对 着 一 系 列 的 或 者 许 多 属 于 同 一 类 型 和 性 质 的 行 为 。这 样 把 法 律 的 各 种 要 素 加 以 分 析 的 结 果 , 同 已 经 成 熟 的 法 律学 的 事 实 完 全 相 符 ; 并 且 只 要 在 用 语 上 稍 为 引 伸 一 下 ,它们就 能 在 形 式 上 适 用 于 各 种 各 样 的 、 各 个 时 代 的 一 切 法 律 。 但是 , 这 并 不 就 是 说 , 在 这 个 概 括 中 所 含 有 的 法 律 观 念 , 即 使到 现 在 , 还 完 全 同 这 个 解 剖 相 符 合 ; 可 奇 怪 的 是 , 我 们 对 于古 代 思 想 史 如 果 研 究 得 越 深 入 , 我 们 发 现 我 们 自 己 同 边 沁 所主 张 的 所 谓 法 律 是 几 个 要 素 的 混 合 物 的 这 种 概 念 , 距 离 越 远 。可 以 断 言 , 在 人 类 初 生 时 代 , 不 可 能 想 象 会 有 任 何 种 类 的 立法 机 关 , 甚 至 一 个 明 确 的 立 法 者 。 法 律 还 没 有 达 到 习 惯的程度 , 它 只 是 一 种 惯 行 。 用 一 句 法 国 成 语 , 它 还 只 是 一种“气氛 ” 。 对 于 是 或 非 唯 一 有 权 威 性 的 说 明 是 根 据 事 实 作 出 的 司 法判 决 , 并 不 是 由 于 违 犯 了 预 先 假 定 的 一 条 法 律 , 而 是 在 审 判时 中 一 个 较 高 的 权 力 第 一 次 灌 输 入 法 官 脑 中 的 。 我 们 要想理解 这 些 在 时 间 上 和 在 联 想 上 同 我 们 距 离 这 样 遥 远 的 种 种 见解 , 当 然 是 极 端 困 难 的 , 但 是 , 我 们 如 果 能 比 较 详 细 地 研 究一 下 古 代 社 会 的 构 成 , 了 解 到 在 古 代 社 会 中 , 每 个 人 的生命有 极 大 部 分 都 生 活 在 族 长 的 专 制 之 下 , 他 的 一 切 行 为 实 际 上

    不 是 由 法 律 的 而 是 由 翻 复 无 常 的 一 种 统 治 所 控 制 着 , 这 就 比

    较 可 信 了 。 我 可 以 说 , 一 个 英 国 人 应 该 比 外 国 人 更 能 够 理 解

    这 样 的 一 个 历 史 事 实 , 即 “ 地 美 士 第 ” 的 发 生 先 于 任 何 法 律

    概 念 , 这 是 因 为 , 在 流 行 着 的 有 关 英 国 法 律 学 性 质 的 许 多 相

    互 矛 盾 的 理 论 中 , 其 最 得 人 心 的 , 或 者 无 论 如 何 是 最 能 影 响

    实 践 的 , 当 然 是 假 定 成 案 和 先 例 先 于 规 则 、 原 则 及 差 别 而 存

    在 的 理 论 。 应 该 指 出 , 根 据 边 沁 和 奥 斯 丁 的 见 解 , “ 地 美 士

    第 ” 还 有 把 单 一 的 或 唯 一 的 命 令 从 法 律 中 区 分 开 来 的 特 性 。 真

    正 的 法 律 使 所 有 公 民 毫 无 差 别 地 一 致 遵 守 着 种 类 相 似 的 许 多

    条 例 ; 这 正 是 法 律 的 最 为 一 般 人 所 深 切 感 觉 到 的 特 征 , 使

    “ 法 律 ” 这 个 名 词 只 能 适 用 于 一 致 、 连 续 和 类 似 。 至 于 ·

    命令 只规 定 一 个 单 独 的 行 为 , 因 此 同 “ 地 美 士 第 ” 比 较 近 似 的 是 命令而不是法律 。 命 令 只 是 对 孤 立 的 事 实 状 态 的 宣 告 , 并 不 必然 地 按 照 一 定 的 顺 序 一 个 和 另 一 个 相 速 。

    英 雄 时 代 的 文 学 告 诉 我 们 的 法 律 萌 芽 , 一 种 是 “ 地 美 士第 ” , 还 有 一 种 是 在 稍 为 发 展 的 “ 达 克 ” 的 概 念 中 。 我 们 在 法律 学 史 上 达 到 的 下 一 个 阶 段 是 非 常 著 名 的 , 并 且 也 是 饶 有 兴趣 的 。 格 罗 脱 先 生 在 其 “ 希 腊 史 ” 第 二 篇 第 二 章 中 , 曾 把 已逐 渐 不 同 于 荷 马 所 纂绘的社 会 生 活 方 式 详 细 加 以 描 写 。英雄时 代 的 王 权 , 部 分 地 依 靠着神所赋与的特 权 , 部 分 地 依 靠着拥 有 出 类 拔 萃 的 体 力 、 勇 敢 和 智 慧 。 逐 渐 地 , 君 主 神 圣不可侵 犯 的 印 象 开 始 淡 薄 , 当 一 系 列 的 世 袭 国 王 中 产 生 了 柔 弱 无能 的 人 , 王 家 的 权 力 就 开 始 削 弱 , 并 且 终 于 让 位 于 贵 族 统 治 。如 果 我 们 可 以 正 确 地 应 用 革 命 的 术 语 , 则 我 们 可 以 说 , 王 位是 被 荷 马 一 再 提 到 的 和 加 以 描 写 的 领 袖 议 会 所 篡 夺 了 。 无 论如 何 , 在 欧 洲 各 地 , 这 时 已 经 从 国 王 统 治 时 代 转 变 到 一 个 寡头 政 治 时 代 ; 即 使 在 名 义 上 君 主 职 能 还 没 有 绝 对 消 失 ,然而王 权 已 缩 小 到 只 剩 下 一 个 暗 影 。 他 成 为 只 是 一 个 世 袭 将 军 , 像在 拉 栖 第 梦 ( L a c e d Em o n ) , 只 是 一 个 官 吏 , 像 雅 典 的 执 政 王(King Archon at Athens ) , 或 仅 仅 是 一 个 形 式 上 的 祭司 , 像 罗 马 的献身王 ( R e x   S a c r i f i c u l u s ) 。 在 希 腊 、 意 大 利和 小 亚 细 亚 , 统 治 阶 级 似 乎 一 般 都 包 括 着 由 一 种 假 定 的 血 缘关 系 结 合 在 一 起 的 许 多 家 族 , 他 们 虽 然 在 开 始 时 似 乎 都 主 张有 一 种 近 似 神 圣 的 性 质 , 但 他 们 的 力 量 在 实 际 上 却 并 不 在 于他 们 所 标 榜 的 神 圣 性 。 除 非 他 们 过 早 地 被 平 民 团 体 所 推 翻 , 他们 都 会 走 向 我 们 现 在 所 理 解 的 一 种 贵 族 政 治 。 在 更 远 一 些 的亚洲 国 家 , 社 会 所 遭 遇 的 变 革 , 在 时 间 上 , 当 然 要 比 意 大 利和 希 腊 所 发 生 的 这 些 革 命 早 得 多 ; 但 这 些 革 命 在 文 化 上 的 相对 地 位 , 则 似 乎 是 完 全 一 样 的 , 并 且 在 一 般 性 质 上 , 它 们 也似 乎 是 极 端 相 似 的 。 有 些 证 据 证 明 , 后 来 结 合 在 波 斯 王 朝 统治 下 的 各 个 民 族 以 及 散 居 在 印 度 半 岛 上 的 各 个 民 族 , 都 有 其英 雄 时 代 和 贵 族 政 治 时 代 ; 但 是 在 它 们 那 里 , 分 别 产 生 了 军事 的 寡 头 政 治 和 宗 教 的 寡 头 政 治 , 而 国 王 的 权 威 则 一 般 并没有 被 取 而 代 之 。 同 西 方 事 物 的 发 展 过 程 相 反 , 在 东 方 , 宗 教因 素 有 胜 过 军 事 因 素 和 政 治 因 素 的 倾 向 。 在 国 王 和 僧 侣阶级之间,军事和 民 事 的 贵 族 政 治 消 失 了 , 灭 绝 了 , 或 者 微 不 足道 ; 我 们 所 看 到 的 最 后 结 果 , 是 一 个 君 主 享 有 大 权 , 但是受到了祭 司 阶 级 的 特 权 的 拘 束 。 在 东 方 , 贵 族 政 治 成 为 宗 教 的 ,而 在 西 方 , 贵 族 政 治 成 为 民 事 的 或 政 治 的 , 虽 然 有 着 这些区别 , 但 是 , 在 一 个 英 雄 国 王 历 史 时 代 的 后 面 跟 着 来 了 一 个 贵族 政 治 的 历 史 时 代 , 这 样 一 个 命 题 是 可 以 被 认 为 正 确 的,纵使 并 不 对 于 全 人 类 都 是 如 此 , 但 无 论 如 何 , 对 于 印 度 — 欧 罗巴系 各 国 是 一 概 可 以 适 用 的 。

    有 一 点 对 于 法 学 家 很 重 要 , 就 是 这 些 贵 族 都 是 法 律 的 受托 人 和 执 行 人 。 他 们 似 乎 已 经 继 承 了 国 王 的 特 权 , 唯 一 的 重要 区 别 , 在 于 他 们 并 不 对 每 一 个 判 决 都 装 作 出 于 直 接 的 神 示 。主 张 全 部 法 律 或 是 部 分 法 律 来 自 神 授 的 思 想 联 系 , 仍 旧 到 处表 现 出 来 , 这 使 族 长 所 作 的 判 决 被 诿 诸 于 超 人 类 的 口 授 , 但是 思 想 的 进 步 已 不 复 允 许 把 个 别 争 议 的 解 决 , 用 假 定 一 种 超人 的 仲 裁 来 解 释 。 法 律 寡 头 政 治 现 在 所 主 张 的 是 要 垄 断 法 律知识 , 要 对 决 定 争 论 所 依 据 的 各 项 原 则 有 独 占 的 权 利 。 我 们在事 实 上 已 到 了 “ 习 惯 法 ” 的 时 代 。 “ 习 惯 ” 或 “ 惯 例 ” 现 在已 成 为 一 个 有 实 质 的 集 合 体 而 存 在 , 并 被 假 定 为 贵 族 阶 层 或阶 级 所 精 确 知 道 的 。 我 们 所 依 据 的 权 威 使 我 们 深 信 , 这 种 寄托 于 寡 头 政 治 的 信 任 有 时 不 免 要 被 滥 用 , 但 这 当 然 不 应 该 仅仅 视 为 一 种 僭 取 或 暴 政 的 手 段 。 在 文 字 发 明 以 前 , 以 及 当 这门 技 术 还 处 于 初 创 时 代 , 一 个 赋 与 司 法 特 权 的 贵 族 政 治 成 了唯 一 的 权 宜 手 段 , 依 靠 这 种 手 段 可 以 把 民 族 或 部 族 的 习 惯 相当 正 确 地 保 存 着 。 正 是 由 于 它 们 被 托 付 于 社 会 中 少 数 人 的 记忆 力 , 习 惯 的 真 实 性 才 能 尽 可 能 地 得 到 保 证。

    “习惯法” 以 及 它 为 一 个 特 权 阶 级 所 秘 藏 的 时 代 , 是 一 个很 值 得 注 意 的 时 代 。 这 个 时 代 的 法 律 学 处 于 怎 样 一 个 状 态 , 其残 留 痕 迹 到 现 在 仍 旧 可 以 在 法 律 的 和 民 间 的 用 语 中 发 现 。 这种 专 门 为 有 特 权 的 少 数 人 所 知 道 的 法 律 , 不 论 这 少 数 人是一个 等 级 , 一 个 贵 族 团 体 , 一 个 祭 司 团 体 , 或 者 一 个 僧侣学院,是 一 种 真 正 的 不 成 文 法 。 除 此 以 外 , 世 界 上 就 没 有 所 谓不成文 法 这 样 东 西 了 。 英 国 的 判 例 法 有 时 被 称 为 不 成 文 法,有些英 国 理 论 家 正 告 我 们 说 , 如 果 真 要 编 订 一 部 英 国 法 律 学 的 法

    典 , 我 们 必 须 把 不 成 文 法 变 为 成 文 法 — — 他 们 坚 持 说 , 这 一

    个 转 变 , 如 果 不 是 在 政 策 上 有 可 疑 之 处 , 无 论 如 何 , 是 非 常

    重 大 的 。 实 际 上 , 在 有 一 个 时 期 中 , 英 国 普 通 法 的 确 可 以 合

    理 地 称 为 不 成 文 法 。 前 一 辈 的 英 国 法 官 们 确 实 标 榜 着 具 有 为

    法 院 和 人 民 群 众 所 不 完 全 知 道 的 规 则 、 原 则 及 差 别 的 知 识 。 他

    们 要 垄 断 的 法 律 , 究 竟 是 不 是 完 全 不 成 文 的 , 是 非 常 可 疑 的 ;

    但 是 , 无 论 如 何 , 纵 使 可 以 假 定 过 去 确 实 曾 经 一 度 有 着 许 多

    专 门 为 法 官 们 所 知 道 的 民 事 和 刑 事 规 则 , 但 它 在 不 久 以 后 即已 不 再 成 为 不 成 文 法 了 。 在 “ 威 斯 敏 斯 特 法 院 ”开 始 根 据 档 案 , 不 论 是 根 据 年 鉴 或 是其 他 资 料 作 出 判 决 时 , 他 们 所 执 行 的 法 律 已 是 成 文 法 。 到 这个 时 候 英 国 法 律 中 任 何 一 条 规 则 , 必 须 首 先 从 印 成 的 许 多 判决 先 例 所 记 录 的 事 实 中 清 理 出 来 , 然 后 再 由 特 定 法 官 根 据 其不 同 的 风 格 、 精 确 度 以 及 知 识 而 表 现 于 不 同 的 文 字 形 式 中 , 最后 再 把 它 运 用 于 审 判 的 案 件 。 在 这 过 程 中 , 没 有 一 个 阶 段 显示 出 有 任 何 特 点 , 使 它 和 成 文 法 有 什 么 不 同 之 处 。 英 国 法 律是 成 文 的 判 例 法 , 它 和 法 典 法 的 唯 一 不 同 之 处 , 只 在 于 它 是用 不 同 的 方 法 写 成 的 。

    离 开 “ 习 惯 法 ” 时 代 , 我 们 再 来 谈 谈 法 律 学 史 上 另 一 明确 划 分 的 时 代 , 也 就 是 “ 法 典 ” 时 代 , 在 那 些 古 代 法 典 中 , 罗马 的 “ 十 二 铜 表 法 ” 是 最 著 名 的 范 例 。 在 希 腊 、 在 意 大 利 、 在西 亚 的 希 腊 化 海 岸 上 , 这 些 法 典 几 乎 到 处 都 在 同 一 个 时 期 出现 , 这 所 谓 同 一 个 时 期 , 我 的 意 思 当 然 并 不 是 指 在 时 间 上 的同 一 个 时 期 , 而 是 说 在 每 一 个 社 会 相 对 地 进 步 到 类 似 的 情 况下 出 现 的 。 在 我 所 提 到 的 几 个 国 家 中 , 到 处 都 把 法 律 铭 刻 在石 碑 上 , 向 人 民 公 布 , 以 代 替 一 个 单 恁 有 特 权 的 寡 头 统 治 阶级 的 记 忆 的 惯 例 。 在 我 所 说 的 这 种 变 化 中 , 我 们 决 不 能 设 想当 时 已 有 了 现 代 编 纂 法 典 时 所 必 须 有 的 各 种 精 密 考 虑 。 毫 无疑 问 , 古 代 法 典 的 所 以 全 创 造 成 功 是 由 于 文 字 的 发 现 和 传 布 。诚 然 , 贵 族 们 似 乎 曾 经 滥 用 具 对 于 法 律 知 识 的 独 占 : 并 且 无论 如 何 , 他 们 对 于 法 律 的 独 占 有 力 地 阻 碍 了 当 时 在 西 方 世 界开 始 逐 渐 普 遍 的 那 些 平 民 运 动 获 得 成 功 。 不 过 虽 然 民 主 情 绪可 能 使 这 些 法 典 更 加 深 得 人 心 , 但 是 法 典 的 产 生 当 然 主 要 还是 由 于 文 字 发 明 的 直 接 结 果 。 铭 刻 的 石 碑 被 证 明 真 是 一 种 比较 好 的 法 律 保 存 者 , 并 且 是 一 种 使 其 正 确 保 存 的 更 好 保 证 , 这比 仅 仅 依 靠 着 少 数 人 的 记 忆 要 好 得 多 , 虽 然 这 种 记 忆 由 于 惯常 运 用 的 结 果 也 是 在 不 断 地 加 强 着 的 。

    罗 马 法 典 就 是 属 于 上 面 所 说 的 那 一 类 法 典 , 这 类 法 典 的价 值 不 在 于 其 分 类 比 较 匀 称 或 用 词 比 较 简 洁 明 了 , 而 在 于 它们 为 众 所 周 知 , 以 及 它 们 能 使 每 个 人 知 道 应 该 做 些 什 么 和 不应 该 做 些 什 么 的 知 识 。 罗 马 “ 十 二 铜 表 法 ” 中 确 实 显 示 出有排 列 匀 稀 的 某 种 迹 象 ; 但 根 据 傅 说 , 这 可 能 是 由 于 当 时这个法 律 的 编 纂 者 曾 求 助 于 希 腊 人 , 这 些 希 腊 人 具 有 后 期希腊在编 纂 法 律 工 作 上 的 经 验 。 从 “ 核 伦 的 阿 提 喀 法 典 ” ( A t t i cC o d e   o f   S o l o n ) 所 遗 留 下 来 的 片 断 , 可 以 看 到 它 很 少 有秩序,而 在 “ 德 里 科 ” 的 法 律 ( L a w s   o f   D r a c o ) 中 也 许 更 少 。这 些 东 方 的 和 西 方 的 法 典 的 遗 迹 , 也 都 明 显 地 证 明 不 管它们的 主 要 性 质 是 如 何 的 不 同 , 它 们 中 间 都 混 杂 着 宗 教 的、民事的 以 及 仅 仅 是 道 德 的 各 种 命 令 ; 而 这 是 和 我 们 从 其 他 来源所知 道 的 古 代 思 想 完 全 一 致 的 , 至 于 把 法 律 从 道 德 中 分离出来,把 宗 教 从 法 律 中 分 离 出 来 , 则 非 常 明 显 是 属 于 智 力 发 展 的 较后 阶 段 的 事 。

    但 是 , 不 论 从 现 代 的 眼 光 看 来 这 些 “ 法 典 ” 的 特 点 是 什么 , 它 们 对 于 古 代 社 会 的 重 要 性 , 是 无 法 用 言 词 来 形 容 的 。 问题 — — 而 这 个 问 题 影 响 着 每 一 个 社 会 的 全 部 将 来 — — 并不在于 究 竟 该 不 该 有 一 个 法 典 , 因 为 大 多 数 古 代 社 会 似 乎 迟 早 都会 有 法 典 的 , 并 且 如 果 不 是 由 于 封 建 制 度 造 成 了 法 律 学史上重 要 的 中 断 , 则 所 有 的 现 代 法 律 很 可 能 都 将 明 显 地 追 溯 到 这些 渊 源 中 的 一 个 或 一 个 以 上 上 去 。 但 是 民 族 历 史的转 折 点 , 是要 看 在 哪 一 个 时 期 , 在 社 会 进 步 的 哪 一 个 阶 段 , 他 们应该把法 律 书 写 成 为 文 字 。 在 西 方 世 界 中 每 一 个 国 家 的 平 民 成分都成 功 地 击 溃 了 寡 头 政 治 的 垄 断 , 几 乎 普 遍 地 在 “ 共 和 政治”史的初期 就 获 得 了 一 个 法 典 。 但 是 在 东 方 , 像 我 已 在 前 面 说 过

    的 , 统 治 的 贵 族 们 逐 渐 倾 向 于 变 为 宗 教 的 而 不 是 军 事 的 或 政

    治 的 , 并 因 此 不 但 不 失 去 反 而 获 得 了 权 力 ; 同 时 , 在 有 些 事

    例 中 , 亚 细 亚 国 家 的 地 理 构 造 促 使 各 个 社 会 比 西 方 社 会 的 面

    积 更 大 , 人 口 更 多 ; 根 据 公 认 的 社 会 规 律 , 一 套 特 定 制 度 传

    布 的 空 间 越 广 , 它 的 韧 性 和 活 力 也 越 大 。 不 论 由 于 何 种 原 因 ,

    东 方 各 国 社 会 编 制 法 典 , 相 对 地 讲 , 要 比 西 方 国 家 迟 得 多 , 并

    且 有 很 不 相 同 的 性 质 。 亚 细 亚 的 宗 教 寡 头 , 或 者 是 为 了 他 们

    自 己 参 考 , 或 者 是 为 了 帮 助 记 忆 , 或 者 是 为 了 教 育 生 徒 , 都

    终 于 把 他 们 的 法 律 知 识 具 体 地 编 订 成 为 法 典 ; 但 也 许 促 使 他

    们 这 样 做 的 最 难 于 拒 绝 的诱力,还 在 于 这 是 一 个 可 以 增 加 和

    巩 固 他 们 影 响 的 机 会 。 他 们 完 全 垄 断 法 律 知 识 , 这 一 点 使 它

    们 能 用 汇 编 来 欺 骗 世 人 , 而 汇 编 中 所 包 括 的 确 实 已 被 遵 守 的规 则 , 还 不 及 祭 司 阶 级 认 为 应 当 被 遵 守 的 规 则 多 。 称 为 “ 摩奴 ” 法 律 的 印 度 法 典 , 当 然 是 婆 罗 门所 编 辑 的 ,无 疑 地 包 含 了 印 度 民 族 的 许 多 真 正的惯例,但根据现代最好的 东 方 学 者 的 见 解 , 整 个 讲 起 来 , 它 并 不 代 表 确 实 曾 经 在 印度 斯 坦 执 行 过 的 一 套 规 则 。 在 它 里 面 有 一 大 部 分 只 是 在 婆 罗门 的 眼 光 中应该 作 为 法 律 的 一 幅 理 想 图 画 。 这 是 和 人 类 的 性质 相 适 应 的 , 也 是 和 作 者 的 特 殊 动 机 相 一 致 的 : 即 像 “ 摩 奴法 典 ” 这 样 的 一 些 法 典 , 应 该 假 托 为 最 古 的 , 并 且 应 认 为 完全 从 “ 神 ” 得 来 的 。 按 照 印 度 的 神 话 学 , “ 摩 奴 ” 是 至 尊 “ 上帝 ” 的 一 种 分 出 物 ; 但 是 这 个 冠 以 他 的 名 称 的 汇 编 , 虽 然 其确 切 日 期 已 不 易 查 考 , 从 印 度 法 律 学 的 相 对 进 步 来 看 , 实 在是 一 种 近 代 的 产 品 。

    “ 十 二 铜 表 法 ” 以 及 类 似 的 法 典 赋 予 有 关 社 会 的 好 处 , 主要 是 保 护 这 些 社 会 使 它 们 不 受 有 特 权 的 寡 头 政 治 的 欺 诈 , 使国 家 制 度 不 致 自 发 地 腐 化 和 败 坏 。 “ 罗 马 法 典 ” 只 是 把 罗马人的 现 存 习 惯 表 述 于 文 字 中 。 从 罗 马 人 在 文 化 进 步 中 的 相 对 地位 来 看 , 它 是 一 非 常 早 的 法 典 , 而 它 公 布 的 时 间 , 正 当罗马社 会 还 没 有 从 这 样 一 种 智 力 状 态 中 脱 身 出 来 , 也 就 是 正 当 他们 的 智 力 状 态 还 处 在 政 治 和 宗 教 义 务 不 可 避 免 地 混 淆 在 一 起的 时 候 。 一 个 野 蛮 社 会 实 行 的 一 套 习 惯 , 往 往 对 其 文 化 进 步绝 对 有 害 或 有 某 种 特 殊 的 危 险 。 一 个 特 定 社 会 从 其 初 生 时 代和 在 其 原 始 状 态 就 已 经 采 用 的 一 些 惯 例 , 一 般 是 一 些 在 大体上 最 能 适 合 于 促 进 其 物 质 和 道 德 福 利 的 惯 例 ; 如 果 它 们 能 保持 其 完 整 性 , 以 至 新 的 社 会 需 要 培 养 出 新 的 惯 行 , 则 这个社会 几 乎 可 以 肯 定 是 向 上 发 展 的 。 但 不 幸 的 是 , 发 展 的 规 律始终 威 胁 着 要 影 响 这 些 不 成 文 的 惯 例 。 习 惯 是 为 群 众 所 遵 守 的 ,但 他 们 当 然 未 必 能 理 解 它 们 所 以 存 在 的 真 正 原 因 , 因 此 , 也

    就 不 可 避 免 地 要 创 造 出 迷 信 的 理 由 以 说 明 它 们 的 永 恒 存 在 。

    于 是 就 开 始 着 这 样 一 种 过 程 , 简 单 地 讲 , 就 是 从 合 理 的 惯 例

    产 生 出 不 合 理 的 惯 例 。 类 比 , 这 是 法 律 学 成 熟 时 期 中 最 有 价

    值 的 工 具 , 但 在 法 律 学 的 初 生 时 代 却 是 最 危 险 的 陷 阱 。 禁 令

    和 命 令 在 开 始 时 由 于 正 当 理 由 原 来 只 限 于 某 一 种 性 质 的 行

    为 , 后 来 就 被 适 用 于 属 于 同 一 类 别 的 一 切 行 为 , 因 为 一 个 人做 了一椿要受到 上 帝 谴 责 的 行 为 , 他 在 做 任 何 稍 有 些 类 似 的

    行 为 时 , 就 必 然 地 要 感 到 一 种 自 然 的 恐 惧 。 当 一 种 食 物 由 于

    卫 生 的 理 由 被 禁 止 , 禁 令 就 要 适 用 于 一 切 类 似 的 食 物 , 虽 然

    类 比 在 有 的 时 候 完 全 是 建 筑 在 想 象 的 基 础 上 的 。 同 样 的 , 为

    了 保 证 一 般 清 洁 而 作 出 的 明 智 的 规 定 , 终 于 竟 变 成 了 教 仪 上

    净 身 的 冗 繁 的 手 续 。 又 如 等 级 的 划 分 是 在 社 会 史 上 特 定 紧 急

    关 头 为 保 持 民 族 生 存 所 必 需 的 , 但 逐 渐 退 化 而 成 为 所 有 人 类一 切 制 度 中 最 不 幸 的 和 最 有 损 害 的 制 度 — — “ 族 籍 制 度 ”(C a s t e ) 。 印 度 法 的 命 运 , 在 事 实 上 , 是 衡 量 罗 马 法 典 价 值 的尺 度 。 人 种 学 告 诉 我 们 , 罗 马 人 与 印 度 人 来 自 同 一 个 原始祖先 , 而 在 他 们 的 原 来 习 惯 中 , 也 确 实 有 显 著 的 类 似 之处,即使 在 现 在 , 印 度 法 律 学 还 存 留 着 考 虑 周 到 和 判 断 正 确 的 实 体 ,只 是 不 合 理 的 摹 仿 已 使 它 在 实 体 上 面 附 加 着 残 酷 妄 诞 的 巨 大附 着 物 。 罗 马 人 由 于 得 到 了 法 典 的 保 护 , 没 有 受 到 这 一类腐蚀 。 在 它 编 纂 的 时 期 , 惯 例 还 是 很 健 康 的 , 如 果 推 迟 到 一 百年 以 后 , 或 许 就 太 迟 了 。 印 度 法 的 大 部 分 是 具 体 规 定 于文字中 的 , 但 是 , 在 “ 梵 文 ” 中 到 现 在 仍 旧 保 存 着的撮要 虽 然在一 种 意 义 上 是 很 古 的 , 但 在 它 们 中 间 有 充 分 证 据 , 证 明 它 们的 编 制 是 在 错 误 造 成 之 后 。 当 然 , 我 们 不 能 就 因 此 而 有 权 利说 , 如 果 “ 十 二 铜 表 法 ” 没 有 公 布 , 罗 马 人 的 文 明 将 像 印 度文 明 那 样 地 无 力 和 恶 化 , 但 至 少 这 是 可 以 断 定 的 , 他 们有了 法 典 , 才 避 免 了 那 样 不 幸 的 遭 遇 。

    第二章 法律拟制

    当 原 始 法 律 一 经 制 成 “ 法 典 ” , 所 谓 法 律 自 发 的 发 展 , 便告 中 止 。 自 此 以 后 , 对 它 起 着 影 响 的 , 如 果 确 有 影 响 的 话 , 便都 是 有 意 的 和 来 自 外 界 的 。 。 我 们 不 能 设 想 , 任 何 民 族 或 部 族的 习 惯 , 从 一 个 族 长 把 它 们 宣 告 以 后 一 直 到 把 它 们 用 文 字 公布 为 止 在 这 一 个 长 久 的 — — 在 有 些 情 况 下 , 非 常 悠 久 的 — —期 间 内 , 会 一 无 变 更 。 如 果 认 为 在 这 个 期 间 以 内 的 任 何 变 更都 不 是 有 意 地 进 行 的 , 也 是 不 妥 当 的 。 但 就 我 们 对 于 这 个 时期 内 法 律 进 步 所 掌 握 的 一 些 知 识 来 说 , 我 们 确 有 理 由 假 定 , 在造 成 变 化 中 , 故 意 只 占 着 极 小 的 部 分 。 远 古 惯 例 中 曾 经 发 生过 一 些 改 革 , 但 促 使 这 些 改 革 发 生 的 情 感 作 用 和 思 想 方 式 , 却不 是 我 们 在 现 在 智 慧 状 态 下 所 能 理 解 的 。 但 是 , 有 了 “ 法典 ” 就 开 始 了 一 个 新 纪 元 。 在 这 时 期 以 后 , 当 我 们 追 溯 一 下法 律 变 更 的 经 过 时 , 我 们 就 能 发 现 这 些 变 更 都 是 出 于 一 种 要求 改 进 的 、 有 意 识 的 愿 望 , 或 者 无 论 如 何 , 是 出 于 一 种 具 有一 定 目 的 的 有 意 识 的 愿 望 , 这 同 原 始 时 代 所 企 求 的 完 全 不 同 。

    初 看 起 来 , 我 们 从 法 典 产 生 以 后 的 法 律 制 度 史 中 , 似 乎很 难 引 伸 出 来 足 以 深 信 不 疑 的 各 种 一 般 命 题 。 涉 及 的 领 域是太 广 泛 了 。 我 们 很 难 肯 定 , 在 我 们 的 观 察 中 是 否 已 包 括 了 足够 数 量 的 现 象 , 或 者 我 们 对 于 所 观 察 的 现 象 , 是 否 已 有了正确 的 理 解 。 但 如 果 我 们 注 意 到 , 在 法 典 时 代 开 始 后 , 静 止 的社 会 和 进 步 的 社 会 之 间 的 区 分 已 开 始 暴 露 出 来 的 事 实 , 我 们

    的 工 作 就 比 较 容 易 进 行 。 我 们 所 关 心 的 只 是 进 步 的 社 会 , 而

    这 类 社 会 显 然 是 极 端 少 数 的 。 虽 然 有 着 充 分 的 证 据 , 但 是 对

    于 一 个 西 欧 的 公 民 , 还 是 非 常 难 于 使 他 完 全 领 会 这 样 一 个 真

    理 , 即 环 绕 在 他 周 围 的 文 明 , 在 整 个 世 界 史 中 , 实 在 是 一 个

    罕 有 的 例 外 。 如 果 把 各 个 进 步 民 族 同 人 类 生 活 总 体 的 关 系 鲜

    明 地 放 在 我 们 的 前 面 , 则 我 们 中 间 共 有 的 思 想 感 情 , 我 们 所

    有 的 一 切 希 望 、 恐 惧 和 理 想 必 将 受 到 重 大 的 影 响 。 这 是 无 可

    争 辩 的 , 几 乎 绝 大 部 分 的 人 类 , 在 其 民 事 制 度 因 被 纳 入 某 种

    永 久 纪 录 中 而 第 一 次 使 其 具 有 外 表 上 的 完 善 性 时 , 就 绝 少 有

    表 示 要 再 加 以 改 进 的 愿 望 。 一 套 惯 例 有 时 被 另 外 一 套 惯 例 强

    暴 地 推 翻 和 代 替 了 ; 到 处 , 标 榜 着 来 自 超 自 然 渊 源 的 一 个 原

    始 法 典 , 往 往 由 于 僧 侣 注 释 者 的 牵 强 附 会 而 被 大 大 地 扩 大 了 ,

    并 被 歪 曲 成 为 最 可 惊 人 的 形 式 ; 但 是 , 除 了 世 界 上 极 小 部 分

    外 , 从 没 有 发 生 过 一 个 法 律 制 度 的 逐 渐 改 良 。 世 界 有 物 质 文

    明 , 但 不 是 文 明 发 展 法 律 , 而 是 法 律 限 制 着 文 明 。 研 究 现 在

    处 在 原 始 状 态 下 的 各 民 族 , 使 我 们 得 到 了 某 些 社 会 所 以 停 止

    发 展 的 线 索 。 我 们 可 以 看 到 , 婆 罗 门 教 的 印 度 还 没 有 超 过 所

    有 人 类 各 民 族 历 史 都 发 生 过 的 阶 段 , 就 是 法 律 的 统 治 尚 未 从

    宗 教 的 统 治 中 区 分 出 来 的 那 个 阶 段 。 在 这 类 社 会 中 的 成 员 , 认

    为 违 犯 了 一 条 宗 教 命 令 应 该 用 普 通 刑 罚 来 处 罚 , 而 违 背 了 一

    个 民 事 义 务 则 要 使 过 失 者 受 到 神 的 惩 戒 。 在 中 国 ,这 一 点 是

    过 去 了 , 但 进 步 又 似 乎 就 到 此 为 止 了 , 因 为 在 它 的民事法律中,同 时 又 包 括 了 这 个 民 族 所 可 能 想 象 到 的 一 切 观 念 。 静 止的 和 进 步 的 社 会 之 间 的 差 别 , 是 还 须 继 续 加 以 探 究 的 大 秘 密之 一 。 在 对 于 它 的 局 部 的 解 释 中 , 我 敢 把 上 章 之 末 所 提 出 的意 见 , 提 供 考 虑 。 我 也 许 必 须 进 一 度 说 明 , 如 果 不 明 白 地 理解 到 , 在 人 类 民 族 中 , 静 止 状 态 是 常 规 , 而 进 步 恰 恰 是 例 外 ,这 样 研 究 就 很 少 可 能 有 结 果 。 成 功 的 另 一 个 不 可 或 缺 的 条 件 ,是 对 于 罗 马 法 的 所 有 各 主 要 阶 段 , 都 要 有 精 确 的 知 识 。 罗 马法 律 学 中 , 有 着 任 何 一 套 人 类 制 度 中 最 长 久 著 名 的 历 史 。 它所 经 历 的 一 切 变 化 的 性 质 , 已 经 在 大 体 上 得 到 很 好 的 肯 定 。 从它 的 开 始 到 它 的 结 束 , 它 是 逐 步 地 改 变 得 更 好 , 或 向 着 修 改者 所 认 为 更 好 的 方 向 发 展 , 而 且 改 进 是 在 各 个 时 期 中 不 断 地进 行 着 的 , 在 这 些 时 期 中 , 所 有 其 余 的 人 类 的 思 想 和 行 动 , 在实 质 上 都 已 经 放 慢 了 脚 步 , 并 且 不 止 一 次 地 陷 于 完 全 停 滞 不前 的 状 态 。

    我 将 把 我 的 叙 述 局 限 于 进 步 社 会 中 所 发 生 的 情 况 。 关于这 些 社 会 , 可 以 这 样 说 , 社 会 的 需 要 和 社 会 的 意 见 常 常 是或多或少 走 在 “ 法 律 ” 的 前 面 的 。 我 们 可 能 非 常 接 近 地 达 到 它们 之 间 缺 口 的 接 合 处 , 但 永 远 存 在 的 趋 向 是 要 把 这 缺 口 重 新

    打 开 来 。 因 为 法 律 是 稳 定 的 ; 而 我 们 所 谈 到 的 社 会 是 进 步 的 ,

    人 民 幸 福 的 或 大 或 小 , 完 全 决 定 于 缺 口 缩 小 的 快 慢 程 度 。

    关 于 使 “ 法 律 ” 和 社 会 相 协 调 的 媒 介 , 有 一 个 有 些 价 值

    的 一 般 命 题 可 以 提 出 。 据 我 看 来 , 这 些 手 段 有 三 , 即 “ 法 律

    拟 制 ” 、 “ 衡 平 ” 和 “ 立 法 ” 。 它 们 的 历 史 顺 序 就 像 我 在 上 面 所

    排 列 的 , 有 时 , 其 中 两 个 在 同 时 进 行 , 也 有 些 法 律 制 度 没 有

    受 到 它 们 中 的 这 一 个 或 另 一 个 的 影 响 。 但 我 从 没 有 看 到 过 一

    个 例 子 , 它 们 出 现 的 顺 序 会 是 不 同 的 或 颠 倒 过 来 的 。 “ 衡 平 ”

    的 早 期 历 史 , 一 般 讲 起 来 , 都 是 比 较 模 糊 的 , 因 此 , 有 人 以为 某 些 改 进 民 法 的 单 独 条 例 , 就 早 于 任 何 衡 平 的 审 判 权 。 我

    的 意 见 是 , 不 论 任 何 地 方 , 补 救 的 “ 衡 平 ” 必 早 于 补 救 的 立

    法 ; 但 是 , 倘 使 事 实 上 并 不 严 格 地 是 这 样 , 那 就 只 须 把 关 于

    它 们 先 后 顺 序 的 命 题 局 限 于 那 些 时 期 , 即 , 它 们 在 改 变 原 始法 律 中 发 生 持 续 和 实 质 影 响 的 时 期 内 。

    我 在 应 用 “ 拟 制 ” 这 个 字 时 , 其 含 意 比 英 国 法 学 家 习 用的 意 义 要 广 泛 一 些 , 比 罗 马 的 “ 拟 制 ” ( f i c t i o n e s ) 则 要 广 泛得 多 。 “ 拟 制 ” ( f i c t i o ) 在 旧 罗 马 法 中 , 恰 当 地 讲 , 是 一 个 辩诉 的 名 词 , 表 示 原 告 一 方 的 虚 伪 证 言 是 不 准 被 告 反 驳 的 ; 例如 原 告 实 际 上 是 一 个 外 国 人 而 提 出 他 是 一 个 罗 马 公 民 的 证 言是 。 这 种 “ 拟 制 ” 的 目 的 , 当 然 是 为 了 给 予 审 判 权 , 因 此,他们 与 英 国 后 座 法 院 和 理 财 法 院 命 令 状 中 的 主 张 非 常 类 似 , 这些 法 院 就 是 通 过 这 些 主 张 来 剥 夺 普 通 诉 证 的 审 判 权 的 ; — —主 张 被 告 已 为 国 王 执 行 官 所 拘 留 , 或 是 主 张 原 告 为 国 王 的 债务 人 , 并 以 被 告 的 拖 欠 为 理 由 而 不 能 清 偿 债 务 。 但 我 现 在应用 “ 法 律 拟 制 ” 这 一 个 用 语 , 是 要 用 以 表 示 掩 盖 、 或 目 的 在

    掩 盖 一 条 法 律 规 定 已 经 发 生 变 化 这 事 实 的 任 何 假 定 , 其 时 法

    律 的 文 字 并 没 有 被 改 变 , 但 其 运 用 则 已 经 发 生 了 变 化 。 因 此 ,

    这 个 用 语 包 括 了 上 面 我 从 英 国 法 和 罗 马 法 中 所 引 证 的 拟 制 的

    实 例 , 但 是 它 们 所 包 括 的 范 围 还 要 广 泛 得 多 , 因 为 我 认 为 英

    国 的 “ 判 例 法 ” 和 罗 马 的 “ 法 律 解 答 ” ( R e s p o n s a Pr u d e n t i u m ) 都 是 以 拟 制 为 其 基 础 的 。 这 两 方 面 的 例 子 立 刻就 要 加 以 研 究 。

    事实 是 , 在 这 两 种 情 况 下,法 律 都 已 经 完 全 被 变 更 了 ; 而拟制 是 它 仍 旧 和 改 变 以 前 一 样 。 为 什 么 各 种 不 同 形 式 的 拟 制 特 别 适 合 于 社 会 的 新 生 时 代 , 这 是 不 难 理 解 的 。

    它 们 能 满 足 并 不 十 分 缺 乏 的 改 进 的 愿 望 , 而 同 时 又 可 以 不 触

    犯 当 时 始 终 存 在 的 、 对 于 变 更 的 迷 信 般 的 嫌 恶 。 在 社 会 进 步

    到 了 一 定 阶 段 时 , 它 们 是 克 服 法 律 严 格 性 最 有 价 值 的 权 宜 办

    法 。 真 的 , 如 果 没 有 其 中 之 一 , 即 “ 收 养 的 拟 制 ” , 准 许 人 为

    地 产 生 血 缘 关 系 , 就 很 难 理 解 社 会 怎 样 能 脱 出 其 襁 褓 而 开 始

    其 向 文 明 前 进 的 第 一 步 。 因 此 , 我 们 不 应 该 受 着 边 沁 的 影 响 ,

    他 一 遇 到 法 律 拟 制 就 要 加 以 嘲 笑 谩 骂 。 他 认 为 拟 制 只 是 诈 欺 ,

    这 适 足 以 说 明 对 于 它 们 在 法 律 发 展 史 中 所 担 任 的 特 殊 任 务 ,

    愚 昧 无 知 。 但 同 时 有 些 理 论 家 看 到 了 拟 制 的 用 处 , 即 据 而 认

    为 它 们 应 该 在 我 们 制 度 中 固 定 下 来 , 如 果 我 们 同 意 他 们 的 见

    解 , 也 同 样 的 是 愚 蠢 的 。 它 们 有 它 们 的 时 代 , 但 是 它 们 的 时

    代 早 已 过 去 了 。 我 们 现 在 已 不 值 得 要 去 用 像 法 律 拟 制 这 样 一

    种 粗 糙 的 方 式 以 求 达 到 一 个 公 认 为 有 益 的 目 的 。 我 不 能 承 认

    任 何 变 例 都 是 合 法 的 , 如 果 它 只 有 使 法 律 更 难 解 , 或 者 是 更

    难 按 照 和 谐 的 顺 序 排 列 起 来 , 因 为 , 法 律 拟 制 是 均 称 分 类 的

    最 大 障 碍 。 法 律 制 度 仍 旧 保 持 原 样 , 原 封 不 动 , 但 它 已 只 成

    为 一 个 躯 壳 。 它 已 经 早 被 破 坏 了 , 而 藏 在 其 外 衣 里 面 的 则 是

    新 的 规 定 。 于 是 , 困 难 就 立 刻 发 生 了 , 我 们 将 很 难 断 定 , 实

    际 上 可 以 适 用 的 规 定 究 竟 应 该 归 类 于 其 真 正 的 还 是 归 类 于 其

    表 面 的 地 位 , 同 时 , 禀 性 不 同 的 人 在 不 同 的 部 门 中 进 行 选 择

    时 , 也 将 得 到 不 同 的 结 果 。 如 果 英 国 法 真 要 得 到 有 秩 序 的 分门 别 类 , 那 就 必 须 剪 除 这 些 法 律 拟 制 , 虽 然 最 近 在 立 法上有所 改 进 , 但 在 英 国 法 律 中 , 拟 制 仍 旧 是 很 多的。

    法 律 用 以 适 应 社 会 需 要 的 其 次 一 个 手 段 , 我 称 之 为 “ 衡平 ” ( E q u i t y ) 。 这 个 名 词 的 含 义 , 是 指 同 原 有 民 法 同 时 存 在 的某 一 些 规 定 , 它 们 建 筑 在 各 别 原 则 的 基 础 上 , 并 且 由 于 这 些原 则 所 固 有 的 一 种 无 上 神 圣 性 , 它 们 竟 然 可 以 代 替 民 法 。 不论 是 罗 马 的 “ 裁 判 官 ” 或 是 英 国 的 大 法 官 的 “ 衡 平 ” , 同 出 现比 较 早 的 “ 拟 制 ” 都 有 不 同 , 其 不 同 之 点 在 于 它 能 公 开 地 、 明

    白 地 干 涉 法 律 。 另 一 方 面 , 它 又 和 “ 立 法 ” 不 同 , 这 是 发 生

    在 它 之 后 的 另 外 一 种 法 律 改 进 的 媒 介 , 其 不 同 之 点 在 于 它 的

    权 力 基 础 并 不 建 筑 在 任 何 外 界 的 人 或 团 体 的 特 权 上 面 , 甚 至

    也 不 建 筑 在 宣 布 它 的 官 吏 的 特 权 上 面 , 而 是 建 筑 在 它 原 则 的

    特 殊 性 上 面 , 这 些 原 则 , 据 说 是 一 切 法 律 应 该 加 以 遵 循 的 。 这

    种 认 为 有 一 套 原 则 比 普 通 法 律 具 有 更 高 的 神 圣 性 并 且 可 以 不

    经 任 何 外 界 团 体 的 同 意 而 主 张 单 独 适 用 的 概 念 , 要 比 法 律 拟制 最 初 出 现 时 属 于 进 步 得 多 的 一 个 思 想 阶 段 。

    最 后 一 个 改 进 的 手 段 是 “ 立 法 ” ( L e g i s l a t i o n ) , 就 是 由 一个 立 法 机 关 制 定 的 法 规 。 这 种 立 法 机 关 , 不 论 它 的 形 式 是 一个 专 制 君 主 或 是 一 个 议 会 , 总 之 是 一 个 为 社 会 所 公 认 的 机 关 。

    它 和 “ 法 律 拟 制 ” 不 同 , 正 像 “ 衡 平 ” 和 “ 法 律 拟 制 ” 不 同一 样 。 它 和 “ 衡 平 ” 也 有 不 同 , 因 为 它 的 权 威 来 自 一 个 外 界团 体 或 人 。 它 所 以 有 强 制 力 , 与 其 原 则 无 关 。 不 论 社 会 舆 论对 立 法 机 关 加 以 任 何 现 实 的 约 束 , 在 理 论 上 , 它 有 权 把 它 所认 为 适 宜 的 义 务 加 在 社 会 的 成 员 身 上 。 没 有 谁 能 够 限 制 它 任意 制 定 法 律 。 如 果 衡 平 的 名 词 可 以 用 作 是 或 非 的 标 准 , 而 立法 机 关 所 制 定 的 法 规 恰 巧 是 根 据 了 这 些 标 准 而 调 整 的 , 则 立法 可 以 说 是 根 据 了 衡 平 而 制 定 的 ; 但 即 使 是 这 样 , 这 些 法 规所 以 能 有 拘 束 力 , 仍 旧 是 由 于 立 法 机 关 本 身 的 权 力 , 并 不 是由 于 立 法 机 关 制 定 法 律 所 根 据 的 原 则 的 权 力 。 因 此 , 它 们 在专 门 术 语 的 意 义 上 与 “ 衡 平 法 ” 不 同 , 后 者 标 榜 着 有 一 种 高度 的 神 圣 性 , 这 使 它 们 即 使 没 有 经 过 君 主 或 议 会 同 意 , 也 应该 为 法 院 立 即 承 认 。 这 些 差 别 特 别 重 要 , 因 为 一 个 边 沁 的 学生 很 容 易 把 “ 拟 制 ” 、 “ 衡 平 ” 和 “ 制 定 法 ” 混 淆 起 来 , 把 它们 统 统 归 属 于 立 法 的 一 个 项 目 下 。 他 会 说 , 它 们 都 包 括制定法律 ; 它 们 之 所 以 不 同 , 只 是 在 新 法 律 产 生 的 机 构 。 这 个 说法 是 完 全 正 确 的 , 我 们 永 远 不 应 该 忘 记 ; 但 这 并 不 使 我 们 有理 由 不 去 利 用 这 样 一 个 便 利 的 名 词 , 表 达 出 立 法 的 特 殊 意 义 。“ 立 法 ” 与 “ 衡 平 ” 在 一 般 人 的 心 目 中 和 在 大 多 数 法 律 家 的 心目 中 , 是 分 开 的 ; 我 们 决 不 能 忽 略 它 们 之 间 的 区 分 , 纵 使 是习 惯 上 的 区 分 , 因 为 这 个 区 分 有 着 重 要 的 实 际 后 果 。

    法律拟制的 例 子 , 几 乎 可 以 很 容 易 地 在 任 何 正 常 发 展 的法 律 规 定 中 找 到 , 因 为 它 们 的 真 正 性 质 立 刻 可 以 为 现 代 观 察者 所 发 觉 。 在 我 即 将 进 而 研 究 的 两 个 例 子 中 , 其 所 用 权 宜 的性 质 不 是 很 容 易 立 刻 就 发 现 的 。 这 些 拟 制 的 第 一 批 作 者 , 其目 的 也 许 并 不 在 改 革 , 当 然 更 不 希 望 被 人 怀 疑 是 在 改 革 。 此外 , 有 一 些 人 , 并 且 是 始 终 有 着 这 样 一 些 人 , 拒 绝 看 到在发展 过 程 中 的 任 何 拟 制 , 而 习 惯 言 语 证 实 了 他 们 的 拒 绝 。因此,没 有 其 他 的 例 子 能 够 被 更 好 地 用 来 说 明 法 律 拟 制 的 分 布广泛 , 以 及 它 们 在 完 成 其 双 重 任 务 , 即 一 方 面 改 变 一 个 法律制度 , 而 另 一 方 面 又 掩 盖 这 种 改 变 时 所 有 的 效 率 。

    我 们 在 英 国 惯 常 看 到 有 一 种 机 构 , 在 扩 大 、 变 更 和 改 进法 律 。 但 在 理 论 上 这 种 机 构 原 是 不 能 改 变 现 存 法 律 一 丝 一毫的 。 这 种 用 以 完 成 实 际 立 法 工 作 的 过 程 , 并 非 是 不 可 感知的,只 是 不 被 承 认 而 已 。 关 于 包 括 在 判 例 中 和 记 录 在 法 律 报 告 中的 我 们 大 部 分 的 法 律 制 度 , 我 们 习 惯 于 用 一 种 双 重 言 语 , 并

    往 往 持 有 一 种 双 重 的 互 不 一 致 的 两 套 观 念 。 当 有 一 些 事 实 被

    提 出 于 英 国 法 院 请 求 审 判 时 , 在 法 官 与 辩 护 人 之 间 进 行 讨 论

    的 全 部 进 程 中 , 决 不 会 、 也 决 不 可 能 提 出 要 在 旧 的 原 则 之 外

    应 用 其 他 任 何 原 则 , 或 者 除 早 已 允 许 的 差 别 外 应 用 任 何 差 别

    的 问 题 。 被 绝 对 地 认 为 当 然 的 , 是 在 某 些 地 方 , 必 然 会 有 这

    样 一 条 法 律 能 够 包 括 现 在 诉 诸 法 律 以 求 解 决 的 事 实 , 如 果 不

    能 发 现 这 样 一 条 法 律 , 那 只 是 由 于 缺 乏 必 要 的 耐 性 、 知 识 或

    智 力 把 它 发 现 而 已 。 但 是 一 当 判 决 被 宣 告 并 列 入 纪 录 以 后 , 我

    们 就 不 自 觉 地 、 不 公 开 地 潜 入 到 一 种 新 的 言 语 和 一 串 新 的 思

    想 中 。 到 这 时 , 我 们 不 得 不 承 认 新 的 判 决已经 改 变 了 法 律 。 如

    果 我 们 用 有 时 被 应 用 的 一 个 非 常 不 正 确 的 说 法 , 那 就 是 可 以

    适 用 的 规 定 已 经 成 为 比 较 有 弹 性 的 了 。 事 实 上 , 它 们 已 经 发

    生 变 化 。 在 已 有 的 先 例 中 , 现 在 已 显 然 地 多 了 一 条 , 比 较 各

    个 先 例 而 得 出 的 法 律 准 则 , 必 将 和 仅 仅 从 一 个 例 子 所 能 得 到

    的 法 律 准 则 完 全 不 同 。 旧 的 规 定 已 经 被 废 除 , 而 一 个 新 的 规

    定 已 被 用 来 代 替 它 , 但 这 个 事 实 往 往 不 容 易 觉 察 , 因 为 们 们

    不 习 惯 于 把 我 们 从 先 例 中 引 伸 出 来 的 法 律 公 式 用 正 确 的 文 字

    表 现 出 来 , 因 此 , 它 们 性 质 的 改 变 , 除 非 是 剧 烈 而 明 显 的 以

    外 , 就 不 很 容 易 被 发 觉 了 。 我 现 在 不 打 算 停 下 来 详 细 讨 论 使

    英 国 法 学 家 同 意 这 些 古 怪 变 例 的 原 因 。 情 况 可 能 是 这 样 的 , 即

    原 来 可 能 有 一 条 公 认 的 学 说 , 认 为 在 某 些 地 方 ,在太虚幻境中 (in nu b i b u s ) 或 者在官吏的胸怀中 ( i n   g r e m i o   m a g i s At r a t u u m ) , 有 着 一 套 完 全 的 、 有 条 理 的 、 匀 称 的 英 国 法 律 , 其内 容 广 泛 , 足 以 提 供 各 种 原 则 以 适 用 于 任 何 可 以 想 象 到 的 一组 情 况 。 这 个 理 论 在 当 初 比 在 现 在 更 为 人 们 深 信 不 疑 , 并 且

    这 也 许 真 正 有 很 好 的 根 据 。 十 三 世 纪 的 法 官 们 也 许 的 确 掌 握

    着 一 些 为 律 师 和 一 般 人 民 所 不 知 道 的 法 律 宝 藏 , 因 为 我 们 有

    理 由 怀 疑 他 们 秘 密 地 从 罗 马 法 和 “ 寺 院 法 ” 的 流 行 纲 要 中 任

    意 地 但 不 一 定 是 始 终 聪 明 地 套 用 着 一 些 东 西 。 但 是 当 韦 斯 敏

    斯 德 法 院 所 判 决 的 问 题 逐 渐 增 加 , 足 以 组 成 一 个 独 立 存 在 的

    法 律 制 度 基 础 时 , 这 个 仓 库 就 被 封 闭 ; 而 现 在 , 几 世 纪 以 来 ,

    英 国 法 律 学 者 竟 然 提 出 了 这 样 一 个 自 相 矛 盾 的 命 题 , 认 为 除

    “ 衡 平 法 ” 和 “ 制 定 法 ” 以 外 , 在 英 国 法 的 基 础 上 , 从 它 第 一

    次 形 成 的 时 候 起 , 就 没 有 什 么 东 西 加 上 去 过 。 我 们 不 承 认 我

    们 的 法 庭 从 事 于 立 法 工 作 ; 我 们 暗 示 着 , 它 们 从 来 没 有 做 过

    立 法 工 作 ; 然 而 我 们 又 主 张 , 英 国 普 通 法 的 规 定 , 在 衡 平 法

    院 和 国 会 的 帮 助 下 , 是 可 以 同 现 代 社 会 的 复 杂 利 益 相 适 应 的 。

    在 罗 马 有 一 种 法 律 , 具 有 非 常 类 似 我 们 判 例 法 中 我 所 说的 那 些 特 点 的 , 称 为 “ 法 律 解 答 ” , 即 “ 法 学 家 的 回 答 ” 。 这些 “ 解 答 ” 的 形 式 , 在 罗 马 法 律 学 的 各 个 时 期 中 有 极 大 的不同 , 但 自 始 至 终 它 们 都 是 由 对 权 威 文 件 的 注 解 组 成 的 , 而 在最 初 , 它 们 只 是 解 释 “ 十 二 铜 表 法 ” 的 各 种 意 见 的 专 门 性的汇 编 。 同 我 们 一 样 , 在 这 些 解 答 中 所 有 的 法 律 用 语 都 从 这 样一 个 假 设 出 发 , 即 古 代 “ 法 典 ” 的 原 文 应 被 保 存 不 变 。 这就是 明 白 的 规 定 。 它 废 止 了 一 切 注 解 和 评 注 , 并 且 不 论 解 释 者是 如 何 的 优 秀 , 对 于 法 典 的 任 何 解 释 , 在 参 照 古 老 的 原文时,没 有 人 敢 公 开 承 认 , 他 所 作 的 解 释 不 会 发 生 修 正 。 但 在 事 实上 , 冠 以 重 要 法 学 专 家名 字 的 “ 法 律 解 答 汇编 ”,至 少 具 有 与 我 们 报 告 案 件 同 样的 威 权 , 并 且 不 断 地 变 更 、 扩 大 、 限 制 或 在 实 际 上 废 弃 “ 十二 铜 表 法 ” 的 规 定 。 在 新 法 律 学 逐 步 形 成 的 过 程 中 , 它 的 作者 们 自 认 为 非 常 专 心 地 尊 重 着 “ 法 典 ” 的 原 来 文 字 。 他 们 只是在 解 释 它 , 阐 明 它 , 引 伸 其 全 部 含 义 ; 但 其 结 果 , 通 过 把

    原 文 凑 合 在 一 起 , 通 过 把 法 律 加 以 调 整 使 适 应 于 确 实 发 生 的

    事 实 状 态 以 及 通 过 推 测 其 可 能 适 用 于 或 许 要 发 生 的 其 他 事 实

    状 态 , 通 过 介 绍 他 们 从 其 他 文 件 注 释 中 看 到 的 解 释 原 则 , 他

    们 引 伸 出 来 大 量 的 多 种 多 样 的 法 律 准 则 , 为 “ 十 二 铜 表 法 ” 的

    编 纂 者 所 梦 想 不 到 的 , 并 且 在 实 际 上 是 很 难 或 者 不 能 在 其 中

    找 到 的 。 法 学 专 家 的 全 部 论 文 都 受 到 尊 重 , 因 为 它 们 是 被 假

    定 为 完 全 符 合 “ 法 典 ” 的 , 但 它 们 的 相 当 高 的 权 威 是 植 基 在

    把 它 们 公 诸 于 世 的 各 个 法 学 专 家 的 声 望 上 的 。 凡 是 举 世 公 认

    为 伟 大 的 任 何 名 字 , 必 使 一 本 “ 法 律 解 答 汇 编 ” 具 有 一 种 不

    小 于 立 法 机 关 制 定 法 规 所 有 的 拘 束 力 ; 而 这 样 一 本 汇 编 的 本

    身 又 成 为 更 进 一 步 的 法 律 学 所 根 据 的 新 基 础 。 但 是 , 早 期 法

    学 家 的 “ 解 答 ” 并 不 由 原 著 者 像 现 在 那 样 印 行 的 。 它 们 由 其

    学 生 加 以 记 录 和 编 辑 , 因 此 , 多 半 都 不 是 按 照 任 何 分 类 方 法

    排 列 的 。 学 生 们 在 这 些 出 版 物 中 所 处 的 地 位 , 应 加 特 别 注 意 ,

    因 为 他 们 对 老 师 服 务 , 一 般 都 因 老 师 对 学 生 孜 孜 不 倦 的 教 育

    而 得 到 补 偿 。 被 称 为 “ 法 学 教 典 ” 或 “ 评 释 ”(C o m m e n t a r i e s ) 的 教 育 论 文 为 当 时 承 认 的 义 务 的 一 种 后 来果 实 , 是 罗 马 制 度 中 最 显 著 的 特 色 之 一 。 至 于 法 学 专 家 们 公诸 于 世 的 他 们 的 分 类 法 以 及 他 们 对 于 变 更 和 改 进 专 门 术 语 的建 议 , 显 然 不 是 在 他 们 用 以 训 练 法 学 家 的 解 答 中 , 而 是 在 这些 涉 及 原 理 的 作 品 中 。

    在 把 罗 马 的 “ 法 律 解 答 ” 同 英 国 法 律 中 最 相 近 的 相 应 部分 进 行 比 较 时 , 我 们 必 须 牢 记 着 , 说 明 罗 马 这 一 部 分 法 律 学的 权 威 者 不 是法院 而 是律师 。 罗 马 法 庭 的 判 决 虽 然 在 特 定 案件 中 是 终 局 的 判 决 , 但 除 了 当 时 承 审 官 吏 在 职 位 上 极 有威信者外 , 并 无 使 它 可 以 适 用 于 其 他 案 件 的 权 力 。 更 确 当 地 讲,在共 和 时 期 内 罗 马 并 没 有 和 英 国 法 院 、 日 耳 曼 帝 国 审 判院或法兰 西 君 主 国 高 等 审 判 厅 相 类 似 的 机 构 。 罗 马 有 许 多 高 级官吏在 其 各 该 部 门 中 都 握 有 重 要 的 司 法 职 能 , 但 他 们 的 官 职 任 期只 有 一 年 , 因 此 它 们 不 能 与 一 个 永 久 的 裁 判 所 相 比 , 只 能 作为 在 律 师 领 袖 中 间 迅 速 地 流 转 着 的 一 个 循 环 职 位 。 对 这种奇特 状 态 的 来 源 , 可 能 有 很 多 的 说 明 , 在 我 们 看 来 是 一种可惊的 变 例 , 但 是 事 实 上 , 它 比 我 们 自 己 的 制 度 更 能 适 合 于 古 代社 会 精 神 , 因 为 这 种 社 会 常 常 不 断 地 分 裂 为 许 多 各 别 的 阶 级 ,在 它 们 之 间 虽 然 互 不 往 来 , 但 却 都 不 愿 在 他 们 上 面 有 一 个 职业 的 教 阶 组 织 存 在 。

    值 得 注 意 的 是 , 这 种 制 度 并 没 有 产 生 某 种 很 可 能 会 产 生的 结 果 。 例 如 , 它 并 没 有 使 罗 马 法通俗化— — 它 没 有 像 有 些希 腊 共 和 国 那 样 削 弱 知 识 分 子 精 通 这 门 科 学 所 需 要 的 努力,虽 然 并 没 有 人 为 的 障 碍 阻 碍 其 普 及 和 作 权 威 的 解 释。相反的,如 果 不 是 由 于 其 他 许 多 原 因 在 发 生 作 用 , 那 就 非 常 可 能,这种 罗 马 法 律 学 就 会 成 为 琐 细 、 专 门 和 难 以 解 释 的 东 西,像从那 时 候 起 流 行 着 的 任 何 制 度 一 样 。 其 次 , 另 外 有 一 种 可能更加 自 然 地 预 期 会 发 生 的 后 果 , 却 没 有 在 任 何 时 期 中 表显出来 。直到 罗 马 的 共 和 政 权 被 颠 复 时 , 法 学 专 家 还 只 是 一 个 界 限不十 分 明 显 并 在 数 量 上 有 很 大 消 长 的 阶 级 ; 虽 然 , 他 们 之 中 任何 特 定 的 个 人 , 对 于 在 他 们 面 前 提 出 的 任 何 案 件 能 发 表 终 局的 意 见 , 则 似 乎 从 来 就 没 有 发 生 过 疑 问 。 在 拉 丁 文 学 中,有大 量 的 关 于 著 名 法 学 专 家 日 常 活 动 的 生 动 描 写 — — 从全 国 各地 蜂 拥 而 来 的 当 事 人 在 清 晨 到 达 他 的 接 待 室 , 他 的 学 生环 立在 周 围 , 手 里 都 拿 着 笔 记 簿 , 记 录 着 这 伟 大 法 学 家 的 回 答——,但 这 样 描 写 的 著 名 人 物 在 任 何 既 定 时 期 内 , 很 少 或 从来 没 有 超 过 一 个 或 二 个 人 的 。 同 时 正 由 于 当 事 人 和 辩 护人的

    直 接 接 触 , 罗 马 人 民 也 就 似 乎 经 常 注 意 着 职 业 威 信 的 升 降 。 现

    在 有 充 分 的 证 据 , 特 别 是 在 西 塞 罗的 著 名 演 讲 “ 为黑 罗 那 辩 ” ( Pro M u r En a ) 中 , 证 明 群 众 对 于 胜 诉 的 重 视 往往不 是 不 够 而 是 过 度 的 。

    我 们 毫 不 怀 疑 , 我 们 在 罗 马 法 最 早 依 靠 了 它 而 得 以 发 展的 这 种 手 段 中 所 发 现 的 各 种 特 点 , 就 是 使 罗 马 法 独 特 卓 越的渊 源 , 也 是 使 它 很 早 就 能 有 丰 富 原 则 的 渊 源 。 原 则 的 成长和茂 盛 , 部 分 地 是 法 律 注 释 者 之 间 的 竞 争 所 造 成 的 , 而这种竞争 , 在 有 法 院 的 地 方 , 即 有 国 王 或 政 府 授 以 司 法 特 权 的 受 托人 的 地 方 , 是 不 被 人 们 所 完 全 知 道 的 。 但 是 主 要 的 媒 介 ,无疑 地 还 在 于 提 请 法 律 判 决 的 各 种 案 件 的 无 限 制 地 大 量 增加。有 些 事 实 状 态 虽 会 使 一 个 乡 村 当 事 人 真 诚 地 感 到 不 知 所 措,但 这 些 事 实 状 态 对 于 形 成 法 学 专 家 “ 解 答 ” 或 法 律 判 决基础的 价 值 , 还 不 如 一 个 有 才 智 的 学 生 所 提 出 的 各 种 假 设情况。成千 成 百 的 事 实 , 不 论 是 真 的 或 是 出 于 想 象 的 , 都 被 一 律 看 待 。

    对 于 一 个 法 学 专 家 , 如 果 他 的 意 见 为 审 判 其 当 事 人 案 件 的 官

    吏 暂 时 废 弃 , 他 会 毫 不 介 意 , 除 非 这 个 官 吏 的 法 律 知 识 或 在

    专 业 上 受 到 的 尊 敬 都 恰 恰 高 过 于 他 。 当 然 , 我 的 意 思 并 不 是说 他 会 完 全 不 考 虑 其 当 事 人 的 利 益 , 因 为 , 这 些 当 事 人 在 较早 时 期 就 是 大 律 师 的 选 举 人 , 到 后 来 才 成 为 他 的 付 款 人 的 , 但

    是 , 一 个 法 学 专 家 走 向 成 功 之 路 要 依 靠 他 的 公 会 的 好 评 ; 显

    然 , 在 我 所 描 写 的 这 样 一 个 制 度 下 , 要 达 到 这 样 一 个 结 果 , 就

    必 须 把 每 一 个 案 件 作 为 一 条 重 大 原 则 的 一 个 例 证 或 是 一 条 广

    泛 规 定 的 一 个 示 范 来 考 虑 , 而 不 能 斤 斤 于 个 别 案 件 的 得 失 。 另

    外 一 种 更 有 力 的 影 响 , 发 生 在 对 各 种 可 能 的 问 题 任 意 提 出 或

    创 造 , 不 加 任 何 明 确 的 限 制 。 资 料 既 然 可 以 任 意 增 加 , 则 发

    展 成 为 一 条 总 则 的 方 便 便 也 无 限 地 增 多 。 法 律 是 在 我 们 自 己

    中 间 执 行 的 , 法 官 不 能 逾 越 展 示 于 他 或 他 的 先 辈 之 前 的 各 种

    事 实 的 范 围 。 因 此 , 受 到 审 判 的 每 一 种 情 况 , 借 用 一 个 法 国

    成 语 , 就 被 奉 之 为 神 圣 。 它 具 有 与 每 一 个 其 他 真 正 的 或 假 设

    的 案 件 不 同 的 某 种 特 点 。 但 是 在 罗 马 , 像 我 已 经 在 前 面 企 图

    说 明 的 , 没 有 像 “ 法 院 ” 或 “ 审 判 院 ” 这 一 类 的 机 构 ; 因 此 ,

    也 没 有 一 组 事 实 会 比 其 他 事 实 具 有 更 多 的 特 殊 价 值 。 当 有 一

    种 困 难 提 交 法 学 专 家 征 求 意 见 时 , 决 没 有 东 西 会 阻 止 一 个 赋

    有 很 好 类 比 力 的 人 立 即 进 而 援 引 和 考 虑 同 它 有 些 联 系 的 全 部

    假 设 问 题 。 不 论 给 予 当 事 人 的 实 际 劝 告 是 怎 样 , 其 由 倾 听着的 学 生 在 笔 记 簿 上 慎 重 保 存 起 来 的 解 答 , 无 疑 地 会 考 虑 到 由一 重 大 原 则 所 能 适 用 的 、 或 为 一 条 包 罗 无 遗 的 规 定 所 能 包 括的 一 切 情 况 , 在 我 们 中 间 , 这 种 情 况 是 不 可 能 的 , 并 且 应 该承 认 , 在 对 英 国 法 提 出 的 许 多 批 评 中 , 它 提 出 时 所 用 的 方 式似 乎 已 经 不 存 在 了 。 我 们 的 法 院 所 以 不 愿 直 截 了 当 地 宣 布 原则 , 很 可 能 不 是 由 于 我 们 法 官 的 禀 性 , 而 是 由 于 我 们 的 先 例比 较 少 , 虽 然 我 们 的 先 例 , 在 不 知 其 他 制 度 的 人 看 来 已 是 卷帙 浩 繁 的 了 。 就 法 律 原 则 的 财 富 而 论 , 我 们 显 然 比有些现代欧 洲 国 家 贫 乏 得 多 。 但 必 须 记 着 , 它 们 是 以 罗 马 法 律 学 为 其民 事 制 度 的 基 础 的 。 它 们 把 罗 马 法 的碎石残屑 建 筑 在 它 们墙垣 之 中 ; 但 就 其 材 料 和 工 作 技 巧 来 看 , 则 并 没 有 使 它 好 过 英国 司 法 机 关 所 造 的 建 筑 物 。

    罗 马 共 和 时 期 是 使 罗 马 法 律 学 具 有 特 别 性 质 的 一 个 时期 ; 在 其 最 初 的 一 部 分 时 间 中 , 法 律 的 发 展 主 要 依 靠 着法学专 家 的 “ 解 答 ” 。 但 当 它 临 到 共 和 国 衰 败 的 时 候 , 在 “ 解 答 ”的 形 式 上 显 示 出 它 们 已 不 可 能 再 作 进 一 步 扩 展 的 预 兆 。它们已 经 开 始 系 统 化 , 并 且 被 提 炼 成 为 纲 要 。 据 说 曾 有 一 个 名 为缪 子 · 沙 沃 拉 ( Q . M u c i u s   S c Ev o l a ) 的 “ 教 长 ”( P o n t i f e x ) 公 布 过 一 本 包 括 全 部 “ 市 民 法 ” 的 手 册 , 在 西 塞罗 的 著 作 中 , 也 显 示 出 对 于 旧 方 法 日 益 不 满 的 迹 象 , 所 谓 旧方 法 是 指 与 法 律 改 革 这 个 更 活 泼 的 手 段 比 较 而 言 的 。 到 了 这个时候 , 其 他 各 种 媒 介 也 在 事 实 上 对 法 律 开 始 发 生 影 响 。 所谓 “ 告 令 ” ( E d i c t ) 或 “ 裁 判 官 ” 的 年 度 布 告 已 被 日 益 重 视,并 用 作 法 律 改 革 的 主 要 手 段 , 而 哥 尼 流 · 西 拉 ( L . C o r n e l i u s S y l l a ) 把 称 为 “ 哥 尼 流 律 ” ( L e g e s   C o r n e l i E) 的 大 量 条 例经 过 立 法 而 制 定 为 法 律 , 就 显 示 出 用 直 接 立 法 的 方 法 能 达 到如 何 迅 速 的 改 进 。 至 于 对 “ 解 答 ” 的 致 命 打 击 则 来 自 奥古斯都,他 限 制 少 数 主 要 的 法 学 专 家 对 案 件 发 表 有 拘束 力 的 意 见 的 权 利 , 这 个 变 化 虽 使 我 们 能 更 接 近 于 现 代 世 界的 观 念 , 但 显 然 根 本 地 改 变 了 法 律 职 业 的 特 点 以 及 它 对 罗 马法 影 响 的 性 质 。 在 一 个 较 后 的 时 期 中 , 另 外 一 个 学 派 的 法 学专 家 又 产 生 了 , 这 些 都 是 各 时 代 中 法 律 学 的 巨 大 人 物 。 但 是阿 尔 比 安 ( U l p i a n ) 和 保 罗 斯 ( P a u l u s ) 、 该 雅 士 和 巴 平 尼 安( p a p i n i a n ) 都 不 是 “ 解 答 ” 的 作 者 。 他 们 的 作 品 都 是 论 述 法律 特 定 部 门 尤 其 是 “ 裁 判 官 告 令 ” 的 正 式 论 文 。

    罗 马 人 的 “ 衡 平 法 ” 以 及 使 衡 平 法 成 为 其 制 度 一 部 分 的“ 裁 判 官 告 令 ” , 将 在 下 面 的 一 章 中 加 以 研 究 。 至 于 对 “ 制 元法 ” , 须 要 说 明 的 只 是 它 在 共 和 时 期 是 很 少 的 , 但 到 了 帝 国 时期 则 有 大 量 增 加 。 在 一 个 国 家 还 是 青 年 和 幼 年 的 时 代 , 绝 少要 求 借 助 于 立 法 机 关 的 活 动 以 求 对 私 法 作 一 般 的 改 进 的 。 人民 所 要 求 的 不 是 变 更 法 律 , 这 些 法 律 通 常 被 估 计 得 高 过 它 们的 真 正 价 值 , 人 民 的 要 求 只 在 能 很 纯 洁 地 、 完 善 地 和 容 易 地执 行 法 律 ; 一 般 是 在 要 除 去 某 种 大 积 弊 , 或 是 要 处 理 阶 级 与阶 级 之 间 和 朝 代 与 朝 代 之 间 某 种 无 可 调 和 的 争 执 时 , 才 求 助于 立 法 机 关 。 依 罗 马 人 看 来 , 在 社 会 发 生 了 一 次 重 大 民 变 后,必 须 制 定 一 大 批 的 条 例 , 才 得 以 安 定 社 会 秩 序 。 西 拉 用 “ 哥尼 流 律 ” 来 宣 布 他 的 改 造 共 和 国 ; 朱 理 亚 · 凯 撒在 “ 制 定 法 ” 中 作 了 大 量 增 加 ; 奥 古 斯 多 促 使 通 过 了最 重 要 的 “ 朱 理 亚 律 ”; 在 以 后 的 一 些 皇 帝 中 ,最 积 极 于 颁 布 宪 令 的 是 像 君 士 坦 丁那 些 要 想统 治 世 界 事 务 的 君 主 。 真 正 的 罗 马 制 定 法 时 期 要 直 到 帝 国 建立 以 后 方 才 开 始 。 皇 帝 们 的 各 种 立 法 起 初 还 伪 装 经 过 群 众 同意 , 但 在 后 来 就 毫 不 掩 饰 地 利 用 皇 权 , 从 奥 古 斯 多 政 权 巩 固后 到 “ 查 斯 丁 尼 安 法 典 ” 公 布 , 这 种法 规 有 大 量 的 增 加 。 可 以 看 到 , 甚 至 在 第 二 个 皇 帝 的 统 治 时期 内 , 法 律 的 条 件 和 其 执 行 的 方 式 就 已 逐 渐 地 接 近 于 我 们 都熟 悉 的 了 。 一 个 制 定 法 和 一 个 有 限 制 的 释 义 局 已 产 生 了 ; 一个 永 久 的 上 诉 法 院 和 一 个 特 许 的 评 释 集 将 在 不 久 之 后 产 生了 ; 这 样 , 我 们 就 被 带 到 更 接 近 于 我 们 今 日 的 观 念 了 。

    第 三 章   自 然法 与 衡 平

    有 些 法 律 原 则 由 于 固 有 的 优 越 性 而 有 代 替 旧 有 法 律 的 权利 , 这 种 理 论 很 早 就 在 罗 马 国 家 和 英 国 广 泛 流 行 。 这 一 类 原则 存 在 于 任 何 制 度 中 , 在 以 前 各 章 中 曾 被 称 为 “ 衡 平 ” , 像 我们 立 刻 就 要 谈 到 的 , 这 个 名 词 是 罗 马 法 学 专 家 用 以 称 呼 法 律变 化 中 这 种 媒 介 的 名 称 之 一 ( 虽 然 是 唯 一 的 一 个 ) 。 在 英 国 ,冠 以 “ 衡 平 ” 名 称 的 衡 平 法 院 , 其 有 关 的 法 律 学 只 能 在 另 一论 文 中 充 分 讨 论 。 它 的 组 成 是 极 端 复 杂 的 , 它 的 资 料 来 自 几个 不 同 的 渊 源 。 早 期 的 教 会 大 法 官 曾 从 “ 寺 院 法 ” 中 采 取 了许 多 原 则 , 这 些 原 则 已 深 深 地 根 植 在 其 结 构 中 。 罗 马 法 中 可以 适 用 于 世 俗 纠 纷 的 规 定 远 多 于 “ 寺 院 法 ” , 因 此 罗 马 法 便 常为 下 一 代 的 衡 平 法 官 所 借 重 , 在 他 们 的 审 判 意 见 录 中 , 我 们常 常 发 现 列 入 了 从 “ 民 法 大 会 ” ( C o r p u s   J u r i s   C i v i l i s ) 中采 摘 的 整 段 原 文 , 其 中 的 名 词 不 加 更 动 , 虽 然 它 们 的 来 源 是从 来 没 有 注 明 的 。 在 近 代 , 尤 其 是 在 十 八 世 纪 中 叶 和 其 后 半期 中 , 尼 德 兰 ( L o w   C o u n t r i e s ) 的 公 法 学 家 所 创 造 的 法 律与 道 德 的 混 合 制 度 似 乎 曾 经 为 英 国 法 学 家 详 细 研 究 过 , 从 泰

    尔 波 爵 士 ( L o r d   T a l b o t ) 大 法 官 到 厄 尔 顿 爵 士 ( L o r d   E l A

    d o n ) 就 任 大 法 官 职 位 时 为 止 , 这 些 作 品 对 衡 平 法 院 的 裁 定 实

    有 相 当 的 影 响 。 构 成 这 个 制 度 的 各 种 要 素 虽 然 来 自 许 多 不 同

    方 面 , 但 由 于 它 必 须 与 普 通 法 近 似 , 它 的 发 展 受 到 了 很 大 的抑 制 , 不 过 它 始 终 能 符 合 一 个 比 较 新 的 法 律 原 则 的 要 求 , 能

    因 其 固 有 的 伦 理 优 越 性 而 有 权 废 弃 国 内 旧 有 的 法 律 。

    罗 马 的 “ 衡 平 法 ” 在 结 构 上 比 较 简 单 , 它 从 开 始 出 现 时

    起 的 全 部 发 展 过 程 是 很 容 易 查 考 的 。 它 的 性 质 和 它 的 历 史 都

    有 详 加 研 究 的 必 要 。 它 是 对 人 类 思 想 有 着 深 远 影 响 的 、 通 过

    人 类 思 想 严 重 地 影 响 了 人 类 命 运 的 那 几 种 概 念 的 根 源 。

    罗 马 人 认 为 他 们 的 法 律 制 度 是 由 两 个 要 素 组 成 的 。 经 查

    斯 丁 尼 安 皇 帝 钦 定 出 版 的 “ 法 学 阶 梯 ” ( I n s t i t u t i o n a l   T r e a At i s e s ) 中 说 , “ 受 法 律 和 习 惯 统 治 的 一 切 国 家 , 部 分 是 受 其 固有 的 特 定 法 律 支 配 , 部 分 是 受 全 人 类 共 有 的 法 律 支 配 。一 个民 族 所 制 定 的 法 律 , 称 为 该 民 族 的 ‘ 民 事 法 律 ’ , 但 是 , 由 自

    然 理 性 指 定 给 全 人 类 的 法 律 , 则 称 为 ‘ 国 际 法 ’ , 因 为 所 有 的

    国 家 都 采 用 它 。 ” 所 谓 “ 由 自 然 理 性 指 定 给 全 人 类 的 ” 这 一 部

    分 法 律 , 就 是 被 假 定 为 由 “ 裁 判 官 告 令 ” 带 入 罗 马 法 律 学 中

    的 原 素 。 在 有 些 地 方 , 它 被 简 单 地 称 为 “ 自 然 法 ” ( J u s   N a t u Ar a l e ) ; 它 的 规 定 据 说 是 受 命 于自然 衡平 ( n a t u r a l i s  Eq u i t a s ) 和 自 然 理 性 。 我 将 设 法 发 掘 这 些 著 名 成 语 如 “ 国 际法 ” 、 “ 自 然 法 ” 、 “ 衡 平 法 ” 的 渊 源 , 并 进 而 决 定 它 们 所 表 示的 概 念 在 相 互 之 间 存 在 着 什 么 关 系 。

    有 一 些 学 者 对 于 罗 马 历 史 只 有 极 肤 浅 的 知 识 , 当 他 看 到

    许 多 外 国 人 用 各 种 名 义 在 共 和 国 境 内 出 现 , 以 及 共 和 国 的 命

    运 竟 会 受 到 非 常 程 度 的 影 响 , 一 定 有 很 深 刻 的 印 象 。 在 较 后

    时 期 , 这 种 侨 民 入 境 的 原 因 是 很 容 易 被 理 解 的 , 因 为 我 们 很

    容 易 体 会 为 什 么 各 族 人 民 都 要 成 群 结 队 地 到 这 世 界 霸 主 的 国

    家 来 ; 在 罗 马 国 家 最 早 的 纪 录 中 , 我 们 就 发 现 有 这 种 大 量 外国 人 和 归 化 者 移 入 的 现 象 。 毫 无 疑 义 , 古 代 意 大 利 大 半 是 由

    强 盗 部 落 所 组 成 的 , 社 会 的 不 安 定 使 得 人 们 集 居 在 有 力 量 来

    保 护 自 己 并 可 以 不 受 外 界 攻 击 的 任 何 社 会 领 土 内 , 纵 使 这 种

    保 护 要 以 付 重 税 、 以 政 治 上 权 利 的 被 剥 夺 、 以 忍 受 社 会 耻 辱

    作 为 代 价 , 也 在 所 不 惜 。 这 个 解 释 也 许 是 不 完 全 的 , 要 作 一

    比 较 完 全 的 解 释 , 还 必 须 考 虑 到 当 时 活 跃 的 商 业 关 系 , 这 种

    关 系 虽 然 很 少 在 共 和 国 的 军 事 传 统 中 反 映 出 来 , 但 罗 马 在 史

    前 时 期 是 必 然 地 和 迦 太 基 ( C a r t h a g e ) 以 及 和 意 大 利 内 地 存 在

    着 这 种 关 系 。 不 论 情 况 究 竟 是 怎 样 , 共 和 国 中 的 外 国 人 实 决

    定 着 其 历 史 的 全 部 过 程 , 在 这 个 历 史 的 各 个 阶 段 中 , 几 乎 完

    全 是 在 说 明 一 个 顽 强 的 民 族 与 一 个 外 来 的 人 民 之 间 的 冲 突 。

    在 现 代 世 界 中 从 来 没 有 发 生 过 这 种 情 况 , 一 方 面 , 因 为 现 代

    欧 洲 社 会 很 少 或 从 来 没 有 受 到 过 足 以 使 土 著 公 民 感 觉 得 到 的

    大 量 的 外 国 移 民 侵 入 , 另 一 方 面 , 因 为 现 代 国 家 的 团 结 一 起

    是 依 靠 着 对 于 一 个 国 王 或 政 治 上 强 有 力 者 的 忠 诚 , 因 此 这 些

    国 家 可 以 用 古 代 世 界 所 没 有 见 到 过 的 速 度 吸 收 着 相 当 数 量 的

    入 境 移 民 , 但 在 古 代 世 界 中 , 一 个 社 会 的 本 地 公 民 常 常 自 以

    为 是 由 于 血 统 而 结 合 在 一 起 的 ; 他 们 反 对 外 来 人 民 主 张 平 等

    权 利 , 认 为 这 是 对 于 他 们 生 来 固 有 权 利 的 一 种 篡 夺 。 早 期 罗

    马 共 和 国 在 “ 宪 令 ” 中 规 定 有 绝 对 排 斥 外 国 人 的 原 则 , 在

    “ 市 民 法 ” 中 也 有 同 样 规 定 。 外 国 人 或 归 化 者 在 “ 国 家 ” 利 益

    休 戚 相 关 的 任 何 机 构 中 , 是 不 能 参 与 的 。 他 不 能 享 受 “ 公 民

    法 ” ( Q u i r i t a   r i a n   l a w ) 的 利 益 。 他 不 能 成 为耐克逊的当事人 , 这 种 契 约 在 有 一 个 时 期 是 原 始 罗 马 人 的 让 与 证 据 同 时 也是 契 约 。 他 不 能 用 “ 提 供 誓 金 之 诉 ” ( S a c r a m e n t a l   A c t i o n )起 诉 , 这 种 涉 讼 的 方 式 其 渊 源 可 以 追 溯 到 文 明 的 萌 芽 时 代 。 但是 , 不 论 是 为 了 罗 马 的 利 益 或 是 为 了 罗 马 的 安 全 , 都 不允许把 外 国 人 完 全 剥 夺 法 律 的 保 护 。 所 有 古 代 社 会 往 往 为 了 轻 微的 骚 动 就 有 被 颠 复 的 危 险 , 所 以 单 单 出 于 自 卫 的 本 能 ,就足以 迫 使 罗 马 人 要 想 出 某 种 方 法 来 安 排 外 国 人 的 权 利 和 义 务 ,

    否 则 他 们 也 许 会 — — 而 这 是 古 代 世 界 中 一 种 真 正 重 要 的 危 险

    — — 用 武 力 斗 争 来 解 决 争 执 。 况 且 , 在 罗 马 史 中 从 来 没 有 一

    个 时 期 完 全 忽 略 对 外 贸 易 。 因 此 , 对 于 当 事 人 双 方 都 是 外 国

    人 或 者 一 方 是 本 国 人 一 方 是 外 国 人 的 争 议 , 在 最 初 所 以 有 审

    判 权 , 也 许 一 半 是 作 为 一 种 警 察 手 段 , 一 半 是 为 了 要 促 进 商

    业 。 由 于 这 类 审 判 权 的 存 在 , 就 有 必 要 立 即 发 见 某 种 原 则 , 以

    便 据 以 解 决 提 交 审 判 的 问 题 , 而 罗 马 法 律 家 为 了 达 到 这 目 的

    而 采 用 的 原 则 是 卓 越 地 反 映 着 当 时 的 特 点 的 。 像 我 在 前 面 已

    经 说 过 的 , 他 们 拒 绝 用 纯 粹 的 罗 马 “ 市 民 法 ” 来 判 决 新 的 案

    件 。 他 们 拒 绝 采 用 外 国 诉 讼 人 “ 本 国 ” 的 特 定 法 律 , 显 然 这

    是 因 为 , 如 果 这 样 做 了 , 也 许 要 造 成 法 律 的 退 化 。 他 们 最 后

    采 用 的 方 法 , 是 选 择 罗 马 同 外 来 移 民 所 出 生 的 意 大 利 各 个 不

    同 社 会 中 共 有 的 法 律 规 定 。 换 言 之 , 他 们 开 始 形 成 一 种 符 合于 “ 万 民 法 ” ( J u s   G e n t i u m ) 的 原 始 的 和 字 面 的 意 义 的 制 度 。所 谓 “ 万 民 法 ” , 即 “ 所 有 国 家 共 有 的 法 律 ” 。 事 实 上 , “ 万 民法 ” 是 古 意 大 利 各 部 落 各 种 习 惯 共 同 要 素 的 总 和 , 因 为 这 些部 落 是 罗 马 人 有 办 法 可 以 观 察 到 的 、 并 且 是 不 断 把 移 民 一 群群 送 到 罗 马 土 地 上 来 的所有国家 。 当 有 一 种 特 别 惯 例 被 看 到为 大 量 的 各 别 民 族 共 同 应 用 时 , 它 即 被 纪 录 下 来 作 为 “ 所有国 家 共 有 的 法 律 ” 或 是 “ 万 民 法 ” 的 一 部 分 。 像 这 样 , 在 罗马 四 周 各 个 不 同 的 国 家 中 , 对 于 财 产 的 让 与 虽 然 都 必 然 地 伴随 着 很 不 同 的 形 式 , 但 是 准 备 要 让 与 的 物 品 的 实 际 移 转 、 交

    付 或 是 送 达 乃 是 它 们 之 中 共 有 仪 式 的 一 部 分 。 例 如 , 这 就 是

    “ 曼 企 帕 地 荷 ” ( M a n c i p a t i o n ) 或 是 罗 马 所 特 有 的 让 与 方 式 中

    的 一 部 分 , 虽 然 是 一 个 次 要 的 部 分 。 因 此 , 交 付 既 然 很 可 能

    是 被 法 学 专 家 有 机 会 观 察 到 的 各 种 让 与 方 式 中 的 唯 一 共 同 要

    素 , 它 就 被 订 作 “ 万 民 法 ” 中 的 一 种 制 度 , 或 是 “ 所 有 国 家

    共 有 法 律 ” 的 一 项 规 定 。 大 量 的 其 他 惯 例 在 经 过 仔 细 研 究 后 ,

    也 得 到 同 样 的 结 果 。 它 们 都 有 一 个 共 同 目 的 , 具 有 某 些 共 同

    特 点 , 这 些 特 点 就 被 归 类 在 “ 万 民 法 ” 中 。 因 此 , “ 万 民 法 ”

    是 规 则 和 原 则 的 一 个 集 合 物 , 这 些 规 则 和 原 则 经 过 观 察 后 被

    决 定 是 各 个 意 大 利 部 落 间 当 时 通 行 的 各 种 制 度 所 共 有 的 。

    上 面 所 说 的 “ 万 民 法 ” 的 起 源 情 况 , 也 许 足 以 消 除 这 样

    一 种 误 解 , 即 认 为 罗 马 法 学 家 似 乎 对 “ 万 民 法 ” 特 别 重 视 。

    “ 万 民 法 ” 的 产 生 , 一 部 分 是 由 于 他 们 轻 视 所 有 的 外 国 法 律 ,

    一 部 分 是 由 于 他 们 不 愿 以 其 本 土 的 “ 市 民 法 ” ( J u s   C i v i l e ) 的

    利 益 给 予 外 国 人 。 诚 然 , 现 在 如 果 我 们 执 行 着 罗 马 法 学 专 家

    当 时 所 进 行 的 工 作 , 我 们 对 于 “ 万 民 法 ” 可 能 会 采 取 一 种 完

    全 不 同 的 看 法 。 我 们 对 于 这 样 辨 别 出 来 的 作 为 大 量 不 同 惯 例

    的 基 础 而 普 遍 存 在 的 要 素 , 必 然 会 附 着 某 种 模 糊 的 优 越 或 占

    先 之 感 。 我 们 对 于 这 样 普 遍 地 适 用 的 规 则 和 原 则 , 必 然 会 有

    几 分 尊 重 。 也 许 我 们 会 认 为 , 这 种 共 同 的 要 素 是 进 行 交 易 所

    必 需 的 本 质 , 而 剩 下 来 的 在 各 个 社 会 中 不 相 同 的 仪 式 , 则 只

    能 被 认 为 是 偶 然 的 和 非 必 要 的 。 我 们 也 可 能 会 作 出 这 样 的 推

    论 , 认 为 我 们 正 在 进 行 比 较 的 各 个 民 族 , 在 过 去 可 能 曾 经 一度 遵 守 过 一 种 共 同 的 伟 大 制 度 , 而 “ 万 民 法 ” 就 是 这 个 制 度

    的 一 个 复 制 品 , 认 为 各 个 国 家 中 错 综 复 杂 的 惯 例 , 只 是 过 去

    曾 经 一 度 管 理 过 他 们 的 原 始 状 态 的 比 较 简 单 的 法 规 的 讹 误 和

    残 余 。 但 现 代 思 想 引 导 观 察 者 达 到 的 这 些 结 论 , 与 原 始 罗 马

    人 本 能 地 感 到 的 结 论 几 乎 恰 恰 相 反 。 我 们 所 尊 重 或 赞 美 的 , 正

    是 他 所 不 喜 欢 的 或 疑 惧 的 。 他 所 爱 好 的 那 部 分 法 律 学 , 正 是

    现 代 理 论 家 认 为 不 必 加 以 考 虑 的 和 暂 时 的 ; 例 如 “ 曼 企 帕 地

    荷 ” 中 的 庄 严 手 势 ; 口 头 契 约 中 巧 妙 地 安 排 的 问 和 答 ; 辩 护

    与 诉 讼 中 不 胜 枚 举 的 手 续 程 序 。 “ 万 民 法 ” 只 是 由 于 政 治 需 要

    而 强 使 他 注 意 的 一 种 制 度 。 他 不 爱 “ 万 民 法 ” 正 像 他 不 爱 外

    国 人 一 样 , 因 为 “ 万 民 法 ” 是 从 这 些 外 国 人 的 制 度 中 来 的 , 并

    且 是 为 了 外 国 人 的 利 益 而 制 定 的 。 在 “ 万 民 法 ” 能 得 到 他 的

    重 视 以 前 , 必 须 在 他 思 想 中 有 一 次 彻 底 的 革 命 , 但 当 这 个 革

    命 确 实 发 生 时 , 它 真 进 行 得 非 常 的 彻 底 , 我 们 现 在 对 于 “ 万

    民 法 ” 的 估 计 所 以 与 刚 才 所 说 的 完 全 不 同 , 其 真 正 理 由 就 在

    于 现 代 法 律 学 和 现 代 哲 学 所 持 的 观 点 都 是 继 承 着 后 期 法 学 专

    家 就 这 问 题 所 持 的 成 熟 见 解 的 。 过 去 确 实 有 过 这 样 一 个 时 期 ,

    把 这 仅 仅 是 “ 市 民 法 ” 的 一 个 卑 贱 附 属 物 的 “ 万 民 法 ” 认 作

    为 一 切 法 律 所 应 该 尽 可 能 依 从 的 一 个 伟 大 的 、 虽 然 还 没 有 完

    全 发 展 的 模 范 。 这 个 剧 变 的 发 生 是 正 当 希 腊 的 “ 自 然 法 ” 理论 被 适 用 于 罗 马 的 “ 所 有 国 家 共 有 法 律 ” 的 实 践 中 的 时 期。所 谓 “ 自 然 法 ” ( j u s   N a t u r a l e ) 只 是 从 一 个 特 别 理 论 的角 度 来 看 的 “ 万 民 法 ” 或 “ 国 际 法 ” 。 法 学 专 家 阿 尔 比 安 曾 经

    以 一 个 法 学 家 所 特 有 的 辨 别 的 癖 好 , 企 图 把 它 们 加 以 区 别 , 但

    结 果 没 有 成 功 。 根 据 有 更 高 权 威 的 该 雅 士 的 言 论 , 以 及 前 面从 “ 法 学 教 典 ” 中 所 摘 引 的 部 分 , 使 我 们 毫 不 怀 疑 , 这 些 用

    语 在 实 际 上 是 可 以 通 用 的 。 它 们 之 间 的 差 别 完 全 是 历 史 的 , 在

    本 质 上 , 它 们 之 间 不 可 能 有 什 么 区 别 。 “ 万 民 法 ” 或 “ 所 有 国

    家 共 有 法 律 ” 与 “ 国 际 法 ” 之 间 的 混 淆 不 清 , 完 全 是 现 代 的 ,

    这 几 乎 是 不 必 加 以 说 明 的 。 国 际 法 的 古 典 用 语 是 “ 使 节 法 ”( J u s   F e c i a l e ) 或 谈 判 与 外 交 的 法 律 。 但 是 毫 无 疑 问 , “ 万 民法 ” 的 含 义 不 明 对 于 独 立 国 家 之 间 的 关 系 应 由 自 然 法 来 管 理这 一 个 现 代 理 论 的 产 生 曾 经 起 过 很 大 的 作 用 。

    我 们 有 必 要 研 究 一 下 希 腊 的 自 然 和 自 然 法 律 的 两 个 概念 。 � Gσ ι � 这 个 字 在 拉 丁 文 中 是 n a t u r a , 在 英 文 中 是nature,它的 含 义 毫 无 疑 问 原 来 是 指 物 质 宇 宙 , 但 这 个 物 质 宇 宙 是 从 完全 另 外 一 个 角 度 来 领 会 的 , 由 于 我 们 的 智 力 与 当 时 的 智 力 有着 距 离 , 这 一 个 角 度 , 在 现 代 语 言 中 , 就 不 很 容 易 加 以说 明。自 然 指 的 是 物 质 世 界 , 是 某 种 原 始 元 素 或 规 律 的 结 果 。 最 古的 希 腊 哲 学 家 习 惯 把 宇 宙 结 构 解 释 为 某 种 单 一 原 则 的 表现,这 种 原 则 , 他 们 有 不 同 的 看 法 , 认 为 是 运 动 、 是 强 力 、 是 火、是 湿 气 、 是 生 殖 。 “ 自 然 ” 的 最 简 单 和 最 古 远 的 意 义 , 正 就 是从 作 为 一 条 原 则 表 现 的 角 度 来 看 的 物 质 宇 宙 。 此 后 , 后 期 希腊 各 学 派 回 到 了 希 腊 最 伟 大 知 识 分 子 当 时 迷 失 的 道 路 上 , 他们 在 “ 自 然 ” 的 概 念 中 , 在物质 世 界 上 加 上 了 一 个道德 世 界 。他 们 把 这 个 名 词 的 范 围 加 以 扩 展 , 使 它 不 仅 包 括 了 有 形的 宇宙 , 并 且 包 括 了 人 类 的 思 想 、 惯 例 和 希 望 。 这 里 , 像 以前一样 , 他 们 所 理 解 的自然 不 仅 仅 是 人 类 的 社 会 的 道 德 现 象 , 而且 是 那 些 被 认 为 可 以 分 解 为 某 种 一 般 的 和 简 单 的 规 律 的现象。

    犹 如 最 古 的 希 腊 理 论 家 所 假 定 的 机 会 的 嘲 弄 使 物 质 宇 宙

    从 其 简 单 的 原 始 形 式 变 成 为 现 今 的 庞 杂 状 态 , 他 们 的 聪 明 的

    后 裔 幻 想 着 , 倘 若 不 是 凑 巧 的 意 外 人 类 很 可 能 会 使 其 自 己 生

    活 于 较 简 单 的 行 动 规 律 和 一 种 比 较 平 静 的 生 活 中 。 按 照 ·

    自 ·

    而 生 活 , 曾 被 认 为 是 人 类 生 存 的 目 的 , 并 且 是 最 优 秀 的 人 必

    须 要 达 到 的 目 的 。 按 照 自 然 而 生 活 , 是 解 脱 粗 俗 人 民 的 混 乱

    习 惯 和 粗 野 放 纵 而 达 到 较 高 级 的 行 为 规 律 , 这 些 规 律 只 有 有

    志 者 通 过 克 己 和 自 制 才 能 加 以 遵 守 。 尽 人 皆 知 , 这 个 命 题 — —按 照 自 然 而 生 活 — — 是 著 名 的 斯 多 葛 派 哲 学 哲 理 的总 和 。 在 希 腊 被 征 服 后 , 这 种 哲 学 在 罗 马 社 会 中 立 刻 有 了 长足 的 发 展 。 它 对 于 有 权 势 的 阶 级 有 着 自 然 的 魔 力 , 这 个 阶 级

    的 人 们 至 少 在 理 论 上 还 墨 守 着 古 代 意 大 利 民 族 的 简 单 习 惯 ,

    不 愿 意 使 自 己 屈 从 于 新 的 外 来 的 风 俗 习 惯 。 他 们 于 是 立 即 开

    始 爱 好 斯 多 葛 派 关 于 按 照 自 然 而 生 活 的 训 戒 。 当 时 由 于 对 世

    界 的 掠 夺 , 由 于 各 地 最 奢 侈 民 族 的 榜 样 , 罗 马 城 中 充 满 了 荡

    佚 荒 淫 , 这 种 爱 好 , 相 比 之 下 , 益 加 可 喜 , 我 并 且 要 说 , 益

    加 可 以 尊 贵 。 纵 使 我 们 不 能 从 历 史 上 来 加 以 证 实 , 但 我 们 仍

    可 以 断 定 , 出 现 于 这 新 希 腊 学 派 门 徒 的 前 列 的 , 一 定 是 罗 马

    法 学 家 。 我 们 有 大 量 证 据 , 证 明 在 罗 马 共 和 国 中 , 实 质 上 只

    有 两 种 职 业 , 军 人 一 般 地 就 是 行 动 的 一 派 , 而 法 学 家 则 普 遍地 站 在 反 抗 派 的 前 列 。

    法 学 家 同 斯 多 葛 派 哲 学 家 的 联 盟 , 延 续 到 数 世 纪 之 久 。 在一 系 列 的 著 名 法 学 专 家 中 , 其 最 早 的 几 个 名 人 都 同 斯 多 葛 学派 有 联 系 , 最 后 , 一 般 公 认 罗 马 法 律 学 的 黄 金 时 代 是 在 安 托宁 · 凯 撒 ( A n t o n i n e   C Es a r s ) 的 时 代 , 而 他 们 就 是 从 这 派哲 学 中 取 得 一 种 生 活 规 则 的 最 著 名 的 门 徒 。 这 些 学 理 在 一 些从 事 特 殊 职 业 的 人 中 间 长 期 广 泛 传 播 , 必 然 要 影 响 他 们所执行 的 和 掌 握 的 艺 术 。 在 罗 马 法 学 专 家 的 遗 著 中 , 有 些论 点 简直 不 能 理 解 , 除 非 我 们 掌 握 了 斯 多 葛 派 的 哲 理 把 它 用 作 一 把

    钥 匙 ; 但 同 时 , 如 果 我 们 只 计 算 那 些 肯 定 归 属 于 斯 多 葛 派 教

    条 的 法 律 条 文 的 数 目 来 衡 量 斯 多 葛 学 派 对 于 罗 马 法 所 发 生 的

    影 响 , 这 将 是 一 个 严 重 的 、 虽 然 是 很 普 通 的 错 误 。 一 般 人 以

    为 , 斯 多 葛 学 派 的 力 量 并 不 在 其 规 定 的 行 为 准 则 中 , 因 为 这

    些 准 则 常 是 可 厌 和 可 笑 的 , 而 是 在 于 伟 大 的 ( 虽 然 是 模 糊

    的 ) 教 人 抑 制 情 欲 的 一 些 原 则 中 。 同 样 地 , 最 明 显 地 表 现 于

    斯 多 葛 哲 学 上 的 希 腊 理 论 对 法 律 学 上 的 影 响 , 并 不 在 于 它 们

    提 供 给 罗 马 法 的 特 殊 论 点 的 数 量 , 而 在 于 它 们 结 予 它 的 单 一

    的 基 本 假 设 。 自 从 自 然 一 语 已 成 为 罗 马 人 口 头 上 一 个 家 喻 户

    晓 的 名 词 以 后 , 这 样 一 种 信 念 便 逐 渐 在 罗 马 法 学 家 中 间 流 行

    着 , 即 旧 的 “ 万 民 法 ” 实 际 是 已 经 失 去 的 “ 自 然 ” 法 典 , 至

    于 “ 裁 判 官 ” 根 据 “ 万 民 法 ” 原 则 而 创 制 的 “ 告 令 ” 法 律 学 ,

    则 正 在 逐 渐 恢 复 法 律 因 为 背 离 了 它 而 退 化 的 一 种 范 式 。 从 这

    信 念 出 发 , 我 们 立 即 得 到 了 这 样 一 个 推 断 , 即 “ 裁 判 官 ” 有

    责 任 尽 量 以 “ 告 令 ” 来 代 替 “ 市 民 法 ” , 尽 可 能 把 “ 自 然 ” 用

    以 管 理 处 于 原 始 状 态 中 的 人 们 的 各 种 制 度 恢 复 过 来 。 当 然 , 用

    这 个 媒 介 来 改 良 法 律 , 还 存 在 着 许 多 障 碍 。 甚 至 在 法 律 界 本

    身 , 可 能 还 要 克 服 各 种 偏 见 , 而 罗 马 人 的 习 惯 也 是 非 常 固 执 ,

    不 肯 很 快 屈 服 于 单 纯 的 哲 学 理 论 。 “ 告 令 ” 用 以 反 抗 某 种 专 门的 变 例 的 间 接 方 法 , 显 示 出 作 者 的 不 得 不 非 常 谨 慎 注 意,而且 直 到 查 斯 丁 尼 安 时 代 , 还 有 部 分 的 旧 法 固 执 地 拒 绝 它 的 影响 。 但 是 , 从 整 体 来 讲 , 罗 马 人 在 法 律 改 进 方 面 , 当 受 到“ 自 然 法 ” 的 理 论 的 刺 激 时 , 就 发 生 了 惊 人 迅 速 的 进 步 。 单 纯化 和 概 括 化 的 观 念 , 是 常 常 和 “ 自 然 ” 这 个 概 念 联 系 着 的 ; 因此 单 纯 匀 称 和 通 晓 易 懂 就 被 认 为 是 一 个 好 的 法 律 制 度 的 特点 , 过 去 对 于 复 杂 言 语 、 繁 褥 仪 式 和 不 必 要 困 难 的 好 尚,便完 全 消 除 。 罗 马 法 所 以 能 具 有 现 存 形 式 , 是 依 靠 着 查 斯 丁 尼安 的 坚 强 意 志 以 及 不 寻 常 的 机 会 , 但 是 制 度 的 基 本 图 形 , 则在 皇 帝 的 改 革 实 行 以 前 很 早 就 计 划 定 当 了 。

    旧 “ 万 民 法 ” 与 “ 自 然 法 ” 之 间 , 真 确 切 的 接 触 之 点 是什 么 ? 我 以 为 它 们 是 通 过 原 来 意 义 的 “ 衡 平 ” ( Hq u i t a s ) 而接 触 和 混 合 的 ; 这 里 , 我 们 似 乎 在 法 律 学 上 第 一 次 遇 到“衡平 ” 这 个 著 名 的 名 词 。 在 研 究 一 个 来 源 如 此 古 远 、 历 史 如此悠 久 的 用 语 上 , 如 果 可 能 , 最 妥 当 的 办 法 是 深 追 最 初 隐 藏 这

    概 念 的 简 单 隐 喻 或 比 喻 。 一 般 认 为 Hq u i t a s 就 是 希 腊 文

    Iσ IDη � , 即 平 均 或 按 比 例 分 配 的 原 则 。 数 或 量 的 平 均 分 配 无 疑

    地 是 和 我 们 对 公 正 的 理 解 密 切 地 交 织 在 一 起 的 ; 很 少 联 想 能

    象 这 样 顽 固 地 坚 持 在 人 们 的 心 中 , 即 使 是 最 深 刻 的 思 想 家 也

    很 难 把 它 从 脑 海 中 加 以 清 除 。 但 在 探 求 这 种 联 想 的 来 历 时 , 我

    们 当 然 还 不 能 证 明 它 是 一 种 早 期 的 思 想 , 它 只 是 比 较 后 来 的

    一 种 哲 学 的 产 物 , 同 时 也 必 须 注 意 , 希 腊 民 主 政 治 用 以 夸 耀

    的 法 律 “ 平 等 ” — — 这 种 平 等 , 在 卡 利 斯 屈 拉 得 斯 ( G a l l i s t r a A

    t u s ) 的 美 丽 的 酒 歌 中 , 据 说 是 哈 马 笛 斯 ( H a r m o d i u s ) 和 阿 利

    斯 托 杰 顿 ( A r i s t o g i r o n ) 给 予 雅 典 人 的 — — 与 罗 马 人 的 “ 衡平 ” 很 少 共 同 之 处 。 前 者 表 示 在 公 民 中 间 平 等 施 行 民 事 法 律 ,

    纵 使 公 民 这 一 个 阶 级 的 人 数 是 非 常 有 限 的 ; 后 者 的 含 义 是 把民 事 法 律 以 外 的 一 种 法 律 适 用 于 不 一 定 要 由 公 民 组 成 的 一 个

    阶 级 。 前 者 不 包 括 暴 君 ; 后 者 包 括 着 外 国 人 , 在 某 种 情 况 下 ,并 且 包 括 奴 隶 。 总 的 讲 来 , 我 倾 向 于 从 另 外 一 个 角 度 来 探 求罗 马 “ 衡 平 ” 的 胚 种 。 拉 丁 文 “ Eq u u s ” 比 希 腊 文 “ Iσ F� ” 更明 确地 带 有平准 的 意 思 。 平 准 的 倾 向 正 是 “ 万 民 法 ” 的 特 点 ,这 种 倾 向 是 一 个 原 始 罗 马 人 最 注 意 的 。 纯 粹 的 “ 公 民 法 ” 承认 在 各 阶 级 人 类 和 各 种 类 财 产 之 间 有 大 量 的 武 断 的 区 分 ; 至于 把 许 多 不 同 习 惯 加 以 比 较 概 括 起 来 的 “ 万 民 法 ” 则 不 承 认“ 公 民 法 ” 的 这 些 区 分 。 例 如 , 古 罗 马 法 规 定 在 “ 宗 亲 ”( A g n a t i c ) 与 “ 血 亲 ” ( C o g n a t i c ) 关 系 之 间 具 有 一 种 根 本 的区 别 , 前 者 是 指 基 于 共 同 服 从 于 同 一 家 父 权 的 “ 家 族 ” , 后 者是 指 ( 按 照 现 代 的 观 点 ) 单 单 由 于 源 自 共 同 祖 先 的 事 实而结合 起 来 的 “ 家 族 ” 。 这 个 区 分 在 “ 各 国 共 有 法 律 ” 中 不 复 存 在,在 财 产 的 古 代 形 式 之 间 、 即 所 谓 “ 要 式 交 易 ” 物 ( T h i n g s  “ M a n c i p i ” ) 与 “ 非 要 式 交 易 ” 物 ( T h i n g s   “ n e c  M a n c i p i ” ) 之 间 的 区 别 , 也 是 如 此 。 因 此 , 据 我 看 来 , 这 种 界限 不 清 , 就 是 以 “ 衡 平 ” 表 示 的 “ 万 民 法 ” 的 特 色 。 当 裁 判官 制 度 适 用 于 涉 及 外 国 诉 讼 人 的 案 件 时 , 常 常 发 生 有 要 求平准 或 排 除 不 规 则 的 必 要 , 我 猜 想 这 个 字 在 最 初 就 是 用 来 描 述

    这 种 情 况 的 。 起 始 , 在 这 个 用 语 中 可 能 没 有 任 何 伦 理 的 色 彩 ;

    也 没 有 任 何 理 由 可 以 相 信 它 所 指 的 诉 讼 程 序 就 不 是 原 始 罗 马

    人 心 目 中 所 极 端 嫌 恶 的 诉 讼 程 序 , 而 是 另 一 种 诉 讼 程 序 。

    在 另 一 方 面 , 罗 马 人 通 过 “ 衡 平 ” 这 个 名 词 所 理 解 的

    “ 万 民 法 ” 的 特 点 , 正 就 是 对 假 想 中 的 自 然 状 态 的 第 一 次 和 最

    鲜 明 地 感 觉 到 的 特 点 。 “ 自 然 ” 含 有 匀 称 秩 序 的 意 思 , 先 是 在物 质 世 界 中 , 而 后 是 在 道 德 世 界 中 , 而 对 秩 序 的 最 早 的 看 法 ,

    无 疑 地 含 有 直 线 、 平 面 和 长 短 之 意 。 人 们 不 论 是 在 想 象 假 定

    中 的 自 然 状 态 的 轮 廓 , 也 不 论 是 在 想 象 “ 各 国 共 有 法 律 ” 的

    确 实 行 使 情 况 时 , 都 会 不 自 觉 地 想 到 这 种 同 样 种 类 的 图 画 或

    数 字 , 并 且 我 们 所 知 道 的 关 于 原 始 思 想 的 知 识 , 会 使 我 们 达

    到 这 样 一 个 结 论 , 即 这 种 想 象 上 的 相 似 性 很 可 能 会 促 使 我 们

    相 信 这 两 种 概 念 在 实 际 上 是 一 同 事 。 可 是 , 虽 然 “ 万 民 法 ” 在

    罗 马 在 事 前 很 少 有 或 者 没 有 什 么 声 望 , 但 是 当 “ 自 然 法 ” 的

    理 论 被 介 绍 到 罗 马 时 , 带 来 了 高 度 的 哲 学 权 威 的 威 望 , 并 且

    被 认 为 是 同 罗 马 民 族 较 早 和 更 幸 福 的 情 况 有 联 系 的 。 不 难 理

    解 , 观 点 的 不 同 会 如 何 地 影 响 到 这 名 词 的 含 义 , 它 既 描 述 了

    旧 原 则 的 运 用 , 又 描 述 了 新 理 论 的 结 果 。 即 在 现 代 的 人 看 来 ,

    把 一 个 过 程 描 述 为 “ 平 准 ” 的 过 程 , 而 同 时 把 这 个 过 程 称 为

    “ 变 例 的 纠 正 ” , 也 不 能 认 为 完 全 是 一 回 事 , 虽 然 两 者 的 含 义

    确 切 地 讲 来 是 一 样 的 。 我 也 并 不 怀 疑 , 当 “ 衡 平 ” 一 经 被 理

    解 为 具 有 希 腊 理 论 的 含 义 时 , 从 希 腊平均 ( Iσ IDη � ) 观 念 所 发生 的 各 种 联 想 , 便 开 始 环 绕 在 衡 平 的 周 围 。 西 塞 罗 的 言 论 把

    它 夸 大 了 , 而 这 就 是 衡 平 这 个 概 念 发 生 变 质 的 第 一 个 阶 段 , 并

    为 自 从 那 个 时 候 起 的 几 乎 每 一 个 伦 理 制 度 或 多 或 少 推 动 着 进行 的 。

    这 里 必 须 说 明 一 下 , 起 初 同 “ 各 国 共 有 法 律 ” 发 生 联 系 、后 来 又 同 “ 自 然 法 ” 联 系 的 各 种 原 则 和 差 别 , 是 通 过 了 什 么正 式 手 段 而 逐 渐 结 合 到 罗 马 法 律 中 去 的 。 因 塔 垦 士( T a r q u i n s ) 的 被 放 逐 而 在 古 罗 马 史 上 引 起 的 危 机 中 , 发 生 了在 许 多 古 代 国 家 早 期 史 乘 中 相 类 似 的 一 种 变 化 , 但 这 种 变 化同 我 们 今 天 所 称 为 革 命 的 那 些 政 治 事 件 , 很 少 共 同 之 处 。 最妥 当 的 说 法 , 可 以 说 是 君 主 政 体 被 转 变 为 委 员 政 治 。 以 往 被集 中 在 一 个 人 手 中 的 权 力 , 现 在 被 分 配 给 了 许 多 选 任 官吏,王位 这 个 名 称 仍 旧 被 保 持 着 , 放 在 后 来 被 称 为 “ 献 身 王 ” (Re x  S a r o r u m   或   R e x   S a c r i f i c u l u s ) 的 一 个 人 物 身 上 。 变 化的 一 部 分 是 把 最 高 司 法 机 关 的 固 定 职 务 移 转 给 了 “ 裁 判 官 ” ,他 同 时 是 共 和 国 的 首 席 官 吏 , 跟 着 这 些 职 务 一 并 移 转 的 有法律 的 和 立 法 的 无 限 制 的 最 高 统 治 权 , 这 是 始 终 为 古 代 主权者所 掌 握 , 并 且 是 显 然 地 同 他 们 一 度 所 享 有 的 宗 法 的 和 英 雄 的

    权 力 有 关 系 的 。 罗 马 当 时 的 情 况 , 使 这 些 被 移 转 的 职 能 中 这

    个 比 较 不 确 定 的 部 分 特 别 显 得 重 要 , 因 为 , 随 着 共 和 国 的 建

    立 , 迫 使 国 家 不 得 不 进 行 一 系 列 反 复 的 试 验 , 以 求 解 决 这 样

    一 个 困 难 , 使 能 很 好 处 理 这 一 部 分 人 , 他 们 在 技 术 上 不 符 合

    于 土 著 罗 马 人 的 标 准 , 但 却 长 期 隶 属 于 罗 马 审 判 权 之 内 。 在

    这 类 人 之 间 或 在 这 类 人 和 土 著 公 民 之 间 所 发 生 的 争 执 , 如 果

    “ 裁 判 官 ” 不 进 行 处 理 , 则 将 永 远 处 于 罗 马 法 所 能 提 供 的 救 济

    的 范 围 之 外 。 随 着 商 业 的 扩 展 , 在 罗 马 人 民 和 真 正 的 外 国 人

    之 间 发 生 了 更 为 严 重 的 纠 纷 , 不 久 也 迫 使 他 不 得 不 加 以 处 理 。

    约 在 第 一 次 布 匿 战 争 ( P u n i c   W a r ) 时 期 , 罗 马 法 院 中 这 类

    案 件 的 数 量 , 大 量 增 加 , 当 时 就 任 命 了 一 个 专 任 “ 裁 判 官 ” 即

    后 来 被 称 为 “ 外 事 裁 判 官 ” 的 ( P r Et o r   P e r e g r i n n s ) 来 专 门

    处 理 这 些 案 件 。 同 时 , 罗 马 人 为 了 预 防 暴 政 的 复 辟 , 使 职 责

    范 围 有 逐 渐 扩 张 趋 势 的 每 一 个 高 级 官 史 在 他 就 职 之 时 , 公 布

    一 个 “ 告 令 ” 或 布 告 , 在 这 个 “ 告 令 ” 或 布 告 中 , 他 把 他 负

    责 部 门 的 管 理 方 式 公 布 出 来 。 “ 裁 判 官 ” 采 用 了 与 其 他 高 级 官吏 同 样 的 规 定 ; 但 每 年 规 定 一 套 原 则 制 度 , 必 然 是 不 可 能 的 ,

    他 只 是 照 例 把 他 前 任 的 “ 告 令 ” 重 新 公 布 一 次 , 并 针 对 当 前

    的 迫 切 需 要 或 根 据 他 自 己 对 于 法 律 的 见 解 , 作 一 些 增 加 或 者

    变 更 。 这 样 每 年 由 于 新 增 部 分 的 不 断 加 长 , “ 裁 判 官 ” 告 令 就

    获 得 了 “ 常 续 告 令 ” ( E d i c t u m   P e r p e u u m ) 的 名 称 , 意 即连续的和不断的 告 令 。 它 的 无 限 长 度 , 再 加 上 了 它 结 构 必 然 地杂 乱 无 章 , 引 起 了 嫌 恶 , 使 一 次 次 往 上 增 加 的 习 惯 , 到 了 萨尔 维 士 · 犹 令 安 ( S a l v i u s   J n l i a n u s ) 的 年 代 就 被 终 止 了 , 犹令 安 是 汉 德 林 皇 帝 ( E m p e r o r   H a d r i a n ) 朝 代 的 一 个 高 级 官吏 。 这 一 个 “ 裁 判 官 ” 的 告 令 便 包 括 了 全 部 的 衡 平 法 律 学 , 可能 被 用 了 新 的 和 均 称 的 顺 序 加 以 排 列 , 于 是 , 在 罗 马 法 中 , 常续 告 令 便 常 被 称 为 “ 犹 令 安 告 令 ” ( E d i c t   o f   J u l i a n u s ) 。

    一 个 研 究 “ 告 令 ” 这 特 殊 机 构 的 英 国 人 , 可 能 会 发 生 的第 一 个 问 题 , 是 “ 裁 判 官 ” 的 这 些 广 泛 权 力 , 究 竟 有 没 有 限制 的 范 围 ? 这 样 很 少 有 明 确 界 限 的 权 威 , 如 何 与 社 会 的 和 法律 的 稳 定 条 件 相 适 应 ? 要 求 得 一 个 答 案 , 只 有 通 过 详 细 研 究我 们 自 己 施 行 英 国 法 律 的 各 种 条 件 。 必 须 记 着 “ 裁 判 官 ” 本身 是 一 个 法 学 专 家 , 或 者 是 一 个 完 全 掌 握 在 都 是 些 法 学专家的 顾 问 手 中 的 人 , 那 就 很 可 能 , 每 一 个 罗 马 法 学 家 都 焦 急 地在 等 待 着 有 一 天 时 间 到 来 , 他 能 充 任 或 掌 握 这 伟 大 的 司 法 高级 官 职 。 在 这 期 间 内 , 他 的 嗜 好 、 情 感 、 偏 见 和 教 养 程度不可 避 免 地 是 属 于 他 自 己 阶 级 的 , 而 他 最 后 带 到 他 职 位 上 的 资格 也 必 然 是 他 在 职 业 的 实 践 和 研 究 中 所 获 得 的 。 每 一 个英国大 法 官 所 受 到 的 正 是 完 全 同 样 的 训 练 , 他 所 带 到 大 法 官 席 上的 正 是 同 样 的 资 格 。 在 他 就 任 时 就 可 以 决 定 , 到 他 离 职 前 必将 在 某 种 程 度 上 变 更 法 律 , 但 是 直 到 他 离 去 职 位 和 直 到 他 所

    作 的 一 系 列 判 决 完 全 被 记 载 于 “ 法 律 记 录 ” 以 前 , 我 们 不 能

    发 现 他 对 于 前 辈 所 遗 留 下 来 的 原 则 , 究 竟 有 了 多 少 的 简 明 或

    增 加 。 “ 裁 判 官 ” 对 罗 马 法 的 影 响 , 和 我 们 所 不 同 的 , 只 在 其

    结 果 被 确 定 的 期 间 。 像 前 面 已 说 过 的 , 他 的 任 期 只 有 一 年 , 而

    他 在 任 期 以 内 所 作 的 判 决 , 虽 然 对 于 诉 讼 人 当 然 是 不 可 推 翻

    的 , 但 此 外 就 没 有 别 的 价 值 。 因 此 , 他 宣 布 想 实 行 变 革 的 最

    顺 利 的 时 期 即 是 在 他 就 “ 裁 判 官 ” 职 位 的 时 候 ; 所 以 , 他 在

    就 职 时 公 开 地 做 的 , 正 是 其 英 国 代 表 在 最 后 不 声 不 响 和 有 时

    不 自 觉 地 做 的 。 对 于 这 种 显 然 的 自 由 所 加 的 节 制 , 也 正 和 加

    于 一 个 英 国 法 官 的 完 全 一 样 。 理 论 上 , 对 于 他 们 二 者 的 权 力 ,

    似 乎 都 并 没 有 任 何 限 制 , 但 是 在 事 实 上 , 罗 马 “ 裁 判 官 ” 和

    英 国 大 法 官 一 样 , 被 其 早 期 训 练 浸 润 的 先 入 之 见 以 及 职 业 论

    点 的 有 力 抑 制 束 缚 在 极 其 狭 小 的 活 动 范 围 之 内 , 这 些 抑 制 的

    严 格 程 度 非 身 受 者 是 不 能 体 会 的 。 应 该 附 加 说 明 的 , 那 许 可

    行 动 的 范 围 以 及 其 不 准 逾 越 的 范 围 , 都 是 非 常 清 楚 地 被 标 明

    的 。 在 英 国 , 法 官 遵 循 着 记 录 判 决 中 各 类 事 实 而 进 行 类 比 。 在

    罗 马 , 由 于 “ 裁 判 官 ” 的 干 预 在 最 初 仅 仅 是 为 了 关 心 社 会 的

    安 全 , 那 就 很 可 能 , 在 最 早 的 时 候 , 干 预 的 多 少 决 定 于 它 所

    必 须 解 决 的 困 难 的 程 度 。 后 来 , 当 “ 解 答 ” 引 起 了 大 家 对 于

    原 则 的 兴 味 时 , 他 就 无 疑 地 利 用 “ 告 令 ” 作 为 一 种 手 段 , 来

    广 泛 推 行 他 和 同 时 代 的 其 他 法 学 专 家 认 之 为 法 律 基 础 的 那 些

    原 则 。 最 后 , 他 竟 完 全 处 在 希 腊 哲 学 理 论 的 影 响 之 下 , 这 些

    理 论 立 即 推 动 他 前 进 , 并 把 他 局 限 于 一 个 特 殊 的 发 展 过 程 中 。

    对 于 萨 尔 维 士 · 犹 令 安 所 采 取 的 措 施 的 性 质 , 有 很 多 的争 论 , 无 论 如 何 , 这 些 措 施 对 于 “ 告 令 ” 的 影 响 是 非 常 明 显的 。 “ 告 令 ” 不 再 因 每 年 有 所 增 加 而 延 长 。 在 这 以 后 , 罗 马 衡平 法 律 学 由 于 汉 德 林 朝 代 到 亚 力 山 大 · 赛 弗 拉 斯 ( A l e x a n d e r  S e v e r u s ) 朝 代 一 系 列 伟 大 法 律 学 专 家 的 辛 勤 著 作 而 得 到 发展 。 他 们 所 建 立 起 来 的 奇 伟 制 度 , 在 查 斯 丁 尼 安 “ 法 学 汇纂 ” ( P a n d e c t s   o f   J u s t i n i a n ) 中 还 保 存 着 一 些 片 断 , 证 明 他们 的 著 作 采 用 了 论 文 的 形 式 讨 论 了 “ 罗 马 法 ” 的 全 部 , 但 主要 的 是 对 “ 告 令 ” 加 以 解 释 。 真 的 , 在 这 个 时 代 中 , 一 个 法学 专 家 不 论 其 处 理 的 是 什 么 , 他 总 可 以 称 为 是 “ 衡 平 法 ”的一 个 释 义 者 。 在 “ 告 令 ” 被 停 止 应 用 的 时 代 以 前 , “ 告 令 ” 的

    原 则 已 经 渗 入 了 罗 马 法 律 学 的 每 一 个 部 门 。 必 须 了 解 , 罗 马

    的 “ 衡 平 法 ” 纵 使 在 和 “ 市 民 法 ” 完 全 不 同 的 时 候 , 也 始 终

    是 在 同 一 个 法 院 内 执 行 的 。 “ 裁 判 官 ” 是 普 通 法 的 大 官 吏 , 也

    是 衡 平 法 的 首 席 法 官 , 并 且 一 到 “ 告 令 ” 发 展 成 为 一 种 衡 平

    规 定 时 , “ 裁 判 官 ” 法 院 立 即 开 始 适 用 它 , 以 代 替 “ 市 民 法 ”

    的 旧 规 定 , 或 者 与 其 同 时 适 用 , 这 样 旧 规 定 就 不 经 过 立 法 机关 的 立 法 行 为 而 直 接 或 间 接 地 被 废 弃 了 , 其 结 果 , 当 然只是法 律 与 衡 平 完 全 不 相 融 合 而 已 , 这 种 融 合 要 直 到 查 斯丁尼安改 革 时 方 才 实 现 。 法 律 学 上 这 两 个 要 素 在 技 术 上 的 分 割 , 必然 地 造 成 了 某 种 混 乱 和 不 便 , 而 “ 市 民 法 ” 中 有 些 比 较 顽固的 学 理 , 则 又 是 “ 告 令 ” 著 者 或 释 义 者 都 不 敢 加 以 干 涉 的。不过 在 同 时 , 在 法 律 学 的 领 域 内 , 几 乎 没 有 一 个 角 落 没 有 受 到“ 衡 平 法 ” 或 多 或 少 的 影 响 。 它 供 给 了 法 学 家 他 所 用 的 一 切 概括 材 料 、 所 用 的 解 释 方 法 、 他 对 原 理 的 释 明 , 以 及 大 量 的 限制 规 定 , 这 些 规 定 很 少 受 到 立 法 者 的 干 预 , 但 却 严 密 地 控 制着 每 一 个 立 法 法 案 的 应 用。

    法 学 家 的 时 期 同 亚 力 山 大 · 赛 弗 拉 斯 同 时 告 终 。 从 汉 德林 到 这 个 皇 帝 时 为 止 , 法 律 在 继 续 不 断 地 改 进 着 , 正 如 现 在在 大 多 数 大 陆 国 家 中 一 样 , 一 部 分 通 过 审 定 的 解 释 , 一 部 分

    通 过 直 接 立 法 。 但 在 亚 力 山 大 · 赛 弗 拉 斯 在 位 的 时 期 , “ 罗 马

    衡 平 法 ” 的 发 展 力 量 似 乎 已 到 了 枯 竭 的 时 候 , 法 学 专 家 的 延

    续 也 停 止 了 下 来 。 余 下 来 的 一 部 分 罗 马 法 律 史 是 君 主 立 法 史 ,

    最 后 , 则 是 试 图 把 到 这 时 为 止 已 成 为 罗 马 法 律 学 的 这 个 庞 大

    躯 体 编 成 法 典 的 历 史 时 期 。 这 样 一 种 最 后 的 和 最 著 名 的 试 验就 是 查 斯 丁 尼 安 的 “ 民 法 大 全 ” 。

    要 把 英 国 的 和 罗 马 的 衡 平 法 详 细 地 加 以 比 较 或 对 照 , 是一 件 冗 长 可 厌 的 事 , 但 有 必 要 提 出 它 们 所 共 有 的 两 个 特 点 。 第一 个 特 点 是 这 样 的 。 它 们 都 倾 向 于 、 并 且 所 有 这 类 制 度 都 是这 样 地 倾 向 于 和 旧 普 通 法 第 一 次 为 衡 平 法 所 干 涉 时 的 那 种 状态 完 全 一 样 的 状 态 。 这 样 一 个 时 期 是 必 然 会 到 来 的 , 就 是 原来 采 用 的 道 德 原 则 已 经 发 挥 出 了 所 有 的 合 法 的 结 果 , 于 是 , 建筑 在 这 些 道 德 原 则 上 面 的 制 度 , 就 会 像 最 严 峻 的 法 律 法 典 那样 地 生 硬 、 那 样 地 没 有 伸 缩 、 那 样 地 不 得 不 落 后 于 道 德 的 进步 。 在 罗 马 , 这 样 一 个 时 期 正 是 亚 力 山 大 · 赛 弗 拉 斯 在 位 的时 期 ; 在 这 以 后 , 虽 然 整 个 罗 马 世 界 正 在 经 历 着 一 次 道德革命 , 但 “ 罗 马 衡 平 法 ” 已 停 止 扩 展 。 英 国 法 律 史 达 到 这同一阶 段 时 , 正 是 大 法 官 厄 尔 顿 爵 士 在 职 的 时 候 , 在 我 们的衡平法 官 中 , 他 是 第 一 个 人 不 但 不 用 间 接 立 法 的 方 法 来 扩 大 其法院 的 法 律 学 , 并 且 终 其 身 致 力 于 解 释 它 和 协 调 它 。 如 果 法 律史 的 哲 学 会 在 英 国 被 更 好 地 理 解 , 则 厄 尔 顿 爵 士 的 贡 献 , 将不 会 像 同 时 代 法 学 家 对 待 它 那 样 , 一 方 面 加 以 夸 张 而 另 一 方面 则 不 予 重 视 。 还 有 其 他 各 种 误 解 , 曾 发 生 某 种 实 际 效 果 的 ,也 许 可 能 会 得 到 避 免 。 英 国 法 学 家 很 容 易 看 出 , “ 英 国 衡 平法 ” 是 建 筑 在 道 德 规 则 上 的 一 种 制 度 ; 但 是 却 忘 记 了 这 些 规则 是 过 去 几 世 纪 的 — — 而 不 是 现 在 的 — — 道 德 , 忘 记 了 这 些

    规 则 已 经 几 乎 尽 它 们 所 能 的 受 到 了 多 方 面 的 应 用 , 并 且 忘 记

    了 它 们 虽 然 同 我 们 今 天 的 伦 理 信 条 当 然 并 没 有 很 大 的 区 别 ,

    但 它 们 并 不 一 定 同 我 们 今 天 的 伦 理 信 条 处 在 同 一 个 水 平 上 。

    一 般 人 对 于 这 个 主 题 所 采 用 的 各 种 理 论 并 不 完 全 , 这 造 成 了

    两 种 相 反 的 误 解 。 许 多 研 究 “ 衡 平 法 ” 的 著 者 , 看 到 了 这 个

    制 度 在 今 日 的 完 整 状 态 , 竟 然 会 明 显 地 或 暗 示 地 自 陷 于 这 样

    一 种 矛 盾 的 说 法 , 即 认 为 衡 平 法 律 学 的 始 创 人 在 奠 定 第 一 块

    墙 基 时 , 就 已 经 筹 划 着 它 今 日 的 固 定 形 式 。 而 另 外 一 些 人 则

    抱 怨 着 — — 这 是 一 种 时 常 在 法 庭 辩 论 中 提 到 的 不 平 — — 以 为

    衡 平 法 院 所 执 行 的 道 德 规 定 已 不 完 全 合 乎 今 日 的 伦 理 标 准 。

    他 们 希 望 每 一 个 大 法 官 对 法 律 学 所 做 的 , 能 完 全 和 英 国 衡 平

    法 的 先 辈 们 对 旧 普 通 法 所 做 的 一 样 。 但 这 是 和 促 使 法 律 改 进的 媒 介 顺 序 , 恰 恰 相 反 的 。 衡 平 法 自 有 它 的 地 位 和 它 的 时 期 ;但 我 在 前 面 已 经 指 出 了 , 当 衡 平 法 的 活 力 消 耗 完 了 时 , 另 一个 手 段 已 经 准 备 好 来 继 承 它 了 。

    英 国 和 罗 马 衡 平 法 还 有 另 一 个 显 著 的 共 同 特 点 , 即 原 来用 以 辩 护 衡 平 主 张 比 法 律 规 定 优 越 的 这 个 假 定 , 是 虚 伪 的 。 对于 人 们 , 不 论 是 个 人 或 是 集 体 , 没 有 东 西 比 把 他 们 的 道德进步 认 作 一 个 实 体 的 现 实 性 , 更 可 厌 恶 的 了 。 这 种 厌 恶 情 绪 , 就个 人 而 言 , 表 现 在 过 分 的 尊 敬 , 这 种 过 分 的 尊 敬 通 常 是 只 用以 对 一 致 性 的 这 个 可 疑 的 美 德 的 。 全 社 会 集 体 意 见 的 动 向 是非 常 明 显 , 不 应 加 以 忽 视 的 , 并 且 一 般 是 非 常 明 显 地 为 了 求得 进 步 不 应 加 以 诋 毁 的 ; 但 是 社 会 上 有 一 种 巨 大 的 阻 力,不愿 接 受 它 , 把 它 作 为 一 种 原 始 现 象 来 对 待 , 而 一 般 都 只 把 它解 释 为 恢 复 一 个 失 去 的 至 善 ( L o s t   p e r f e c t i o n ) — — 逐 渐 回返 到 民 族 未 堕 落 以 前 的 状 态 。 这 种 向 后 而 不 是 向 前 去 寻 求 道德 进 步 目 标 的 倾 向 , 像 我 们 已 看 到 的 , 在 古 代 就 对 罗 马 法 律学 产 生 了 最 深 远 的 影 响 。 罗 马 法 学 专 家 为 了 要 说 明 “ 裁 判官 ” 对 法 律 学 所 作 的 改 进 , 从 希 腊 借 用 了 一 个 人 类 “ 自 然 ” 状态 — — 一 个 “ 自 然 ” 社 会 — — 的 学 理 , 这 种 自 然 社 会 是 出 现于 由 现 实 法 统 治 的 社 会 组 织 之 前 的 社 会 。 另 一 方 面 在 英 国 , 则用 一 些 特 别 适 合 于 当 时 英 国 人 口 味 的 观 念 , 来 解 释 “ 衡 平法 ” 主 张 的 优 于 普 通 法 , 这 些 观 念 假 定 国 王 作 为 其 宗 主 权 的自 然 结 果 , 是 应 该 被 推 定 为 具 有 监 督 公 正 执 行 的 一 般 权 利 的 ,过 去 有 这 样 一 种 旧 的 学 理 , 认 为 “ 衡 平 法 ” 来 自 国 王 的 良 心— — 这 种 改 进 在 实 际 上 已 经 发 生 在 被 指 为 主 权 者 在 道 德 意 义上 的 一 个 固 有 的 提 高 的 社 会 道 德 标 准 中 了 , 这 种 见 解 是 和 前述 的 见 解 相 同 的 , 不 过 表 现 于 一 种 不 同 的 和 一 种 更 为 离奇古怪 的 方 式 中 而 已 。 英 国 宪 法 的 发 展 , 使 这 种 一 条 理 论 在 过 了一 个 时 期 以 后 , 就 不 合 口 味 ; 但 是 , 衡 平 法 院 的 审 判 权在当时 既 然 已 经 是 坚 定 地 确 定 了 , 那 就 没 有 另 设 任 何 正 式代 替 物的 必 要 。 在 现 代 教 科 书 中 , 关 于 “ 衡 平 法 ” 的 理 论 是 多 种多样 的 , 但 都 是 同 样 的 不 足 取 。 其 中 绝 大 部 分 都 只 是 把 罗马的自 然 法 学 理 加 以 改 头 换 面 , 尤 其 是 那 些 著 者 , 他 们 在 开 始 讨论 衡 平 法 院 的 审 判 权 时 就 在 自 然 公 正 和 民 事 公 正 之 间 加 以 明白 的 区 分 , 那 真 是 把 罗 马 自 然 法 学 理 的 要 旨 全 部 采 纳 了 。

    第 四 章   自 然 法 的 现 代 史

    从 前 面 所 说 的 , 可 以 推 断 , 改 变 罗 马 法 律 学 的 理 论 决 不能 被 认 为 有 哲 学 上 的 正 确 性 。 这 种 理 论 事 实 上 包 括 了 “ 思 想的 混 合 方 式 ” 之 一 , 这 种 所 谓 思 想 的 混 合 方 式 现 在 被 认为是人 类 思 想 初 期 的 最 高 思 想 的 特 点 , 同 时 也 是 我 们 今 天 的 智 慧的 努 力 所 不 难 发 现 的 。 “ 自 然 法 ” 把 “ 过 去 ” 与 “ 现 在 ” 混 淆起 来 了 。 逻 辑 上 , 它 意 味 着 曾 经 一 度 由 自 然 法 支 配 的 一 种 “ 自 然 ” 状 态 ; 但 法 学 专 家 并 不 明 白 地 或 确 信 地 说 到 过 有 这 样一 个 状 态 存 在 , 这 种 状 态 除 了 偶 然 在 幻 想 黄 金 时 代 的 诗 歌 中能 发 现 外 , 的 确 也 绝 少 为 古 人 们 所 注 意 到 。 自 然 法 从 实 际 效果 讲 , 是 属 于 现 代 的 产 物 , 和 现 存 制 度 交 织 在 一 起 的 东 西 , 是一 个 有 资 格 的 观 察 家 可 以 从 现 存 制 度 中 区 分 出 来 的 东 西 。 把“ 自 然 ” 的 法 规 从 同 这 些 法 规 混 淆 在 一 起 的 各 种 粗 陋 成 分 中 分离 开 来 的 鉴 别 方 法 , 是 一 种 单 纯 和 调 和 的 感 觉 。 但 是 这 些 经过 提 炼 出 来 的 原 素 所 以 能 受 到 重 视 , 却 并 不 是 由 于 它 们 的 单纯 和 调 和 , 而 是 由 于 它 们 来 自 太 古 的 “ 自 然 ” 统 治 。 这 种 混淆 并 没 有 为 法 学 专 家 的 现 代 学 生 们 成 功 地 解 释 清 楚 , 而 对

    “ 自 然 法 ” 提 出 的 一 些 近 代 纯 理 论 中 暴 露 出 来 的 认 识 模 糊 、 用

    语 含 混 不 清 之 处 , 实 际 上 远 比 我 们 公 正 地 责 咎 于 罗 马 法 学 家

    的 还 要 来 得 厉 害 。 有 些 研 究 这 个 主 题 的 著 者 , 认 为 “ 自 然 ” 法

    典 存 在 于 将 来 , 是 所 有 民 事 法 律 正 在 走 向 的 目 的 , 他 们 企 图用 这 种 方 法 来 避 免 基 本 的 困 难 , 但 是 这 非 但 同 旧 理 论 所 根 据的 假 设 完 全 相 反 , 而 且 也 许 混 杂 了 两 种 自 相 矛 盾 的 理 论 。 这种 不 问 过 去 只 向 将 来 寻 求 完 善 典 型 的 倾 向 , 是 由 基 督 教 带 到这 世 界 上 来 的 , 古 代 文 学 很 少 或 者 没 有 暗 示 过 这 样 一 种 信 念 ,即 认 为 社 会 进 步 必 然 地 是 从 坏 到 好 的 。

    但 是 , 这 个 理 论 在 哲 学 上 虽 然 有 其 缺 陷 , 我 们 却 不 能 因此 而 忽 视 其 对 于 人 类 的 重 要 性 。 真 的 , 如 果 自 然 法 没 有 成 为古 代 世 界 中 一 种 普 遍 的 信 念 , 这 就 很 难 说 思 想 的 历 史 、 因 此也 就 是 人 类 的 历 史 , 究 竟 会 朝 哪 一 个 方 向 发 展 了 。

    法 律 以 及 由 法 律 结 合 在 一 起 的 社 会 , 在 其 幼 稚 时 代 , 似乎 很 容 易 遭 受 两 种 特 殊 危 险 。 其 中 之 一 是 , 法 律 可 能 发 展 得太 快 。 在 比 较 进 步 的 希 腊 社 会 中 , 它 们 的 法 典 就 发 生 过这 种情 形 , 这 些 法 典 用 惊 人 的 速 度 从 繁 杂 的 程 序 形 式 和 不 必 需 的术 语 中 解 脱 出 来 , 并 且 不 久 以 后 就 使 各 种 严 峻 的 规 定 和 规 则上 不 再 依 附 着 任 何 迷 信 色 彩 。 它 们 这 样 做 , 其 本 意 并 不 是 为了 人 类 的 最 终 利 益 , 虽 然 因 此 而 使 其 公 民 获 得 的 直 接 好 处 可能 是 相 当 大 的 。 国 民 性 中 最 罕 见 的 特 性 之 一 , 是 这 样 的 来 应用 和 制 定 法 律 的 能 力 , 即 一 方 面 在 达 到 抽 象 公 正 中 忍 受 着 不断 地 发 生 的 错 误 , 而 在 同 时 却 不 丧 失 法 律 可 能 符 合 于 一 个 较高 理 想 的 希 望 或 愿 望 。 希 腊 的 思 想 家 本 其 高 贵 的 和 顺 应的特性 , 没 有 把 自 己 局 限 在 窄 狭 的 法 律 公 式 中 ; 我 们 对 于 雅 典 平民 法 院 的 工 作 情 况 掌 握 着 正 确 的 知 识 , 如 果 我 们 用 雅 典 平 民法 院 来 推 测 希 腊 的 法 院 , 则 我 们 可 以 知 道 , 在 希 腊 法 院 中 有着 非 常 强 有 力 的 倾 向 把 法 律 与 事 实 混 淆 在 一 起 。 当 时 “ 演 说家 ”的 遗 著 , 以 及 亚 里 士 多 德在 “ 修辞 学 论 ”中 所 保 存 的 法 庭 语 录 , 显示 出 当 时 对 纯 粹 的 法 律 问 题 往 往 是 用 可 能 影 响 法 官 心 理 的 各 种 理 由 来 进 行 辩 论 的 。 通 过 这 种 方 法 , 不 可 能 产 生 持 久 的 法律 学 制 度 。 一 个 社 会 对 于 某 些 特 殊 案 件 , 为 了 要 得 到 一 个 理想 的 完 美 的 判 决 , 就 毫 不 迟 疑 的 把 阻 碍 着 完 美 判 决 的 成 文 法律 规 定 变 通 一 下 , 如 果 这 个 社 会 确 有 任 何 司 法 原 则 可 以传诸后 世 , 那 它 所 能 传 下 来 的 司 法 原 则 只 可 能 仅 仅 是 包 括 着 当 时正 在 流 行 的 是 非 观 念 。 这 种 法 律 学 就 不 能 具 有 为 后 世 比 较 进步 的 概 念 所 能 适 合 的 骨 架 。 充 其 量 , 它 只 是 在 带 有 缺 点 的 文明 之 下 成 长 起 来 的 一 种 哲 学 而 已 。

    很 少 民 族 社 会 的 法 律 学 曾 受 到 这 种 或 则 过 早 成 熟 或 则 时机 未 熟 就 已 经 瓦 解 的 特 殊 危 险 的 威 胁 。 究 竟 罗 马 人 有 没 有 受到 过 它 的 严 重 威 胁 , 当 然 还 不 能 确 定 , 但 是 无 论 如 何 ,罗马人 在 其 “ 自 然 法 ” 的 理 论 中 是 有 着 适 当 的 保 护 的 。 因 为法学专 家 显 明 地 把 “ 自 然 法 ” 想 象 为 一 种 应 该 逐 渐 吸 收 各 种民事法 律 的 制 度 , 但 是 在 民 事 法 律 还 没 有 被 废 弃 以 前 , 自 然 法 却不 能 把 它 们 取 而 代 之 。 在 国 外 自 然 法 是 没 有 这 种 神 圣 不可侵犯 的 印 象 的 , 就 是 只 要 向 它 提 出 申 诉 就 有 可 能 使 处 理 特 定 诉讼 案 件 的 法 官 的 心 理 为 之 折 服 。 这 个 概 念 的 所 以 有 其 价 值 和作 用 , 是 因 为 它 能 使 人 在 想 象 中 出 现 一 个 完 美 法 律 的 典 型 , 它并 且 能 够 鼓 舞 起 一 种 要 无 限 地 接 近 于 它 的 希 望 , 而 在 同 时 , 对于 还 没 有 适 应 于 这 个 理 论 的 那 些 现 存 法 律 义 务 , 它 又 从 不 使法 律 实 务 者 或 市 民 加 以 否 认 。 同 样 重 要 的 , 应 该 看 到 , 这 个模 范 制 度 同 许 多 在 以 后 时 期 曾 嘲 弄 过 人 们 的 希 望 的 制 度 不同 , 并 不 完 全 是 幻 想 的 产 物 。 从 来 没 有 人 把 它 看 作 是 建 筑 在完 全 没 有 经 过 考 验 的 原 则 之 上 的 。 一 般 的 看 法 , 它 是 现 存 法律 的 基 础 , 并 且 一 定 要 通 过 现 存 法 律 才 能 找 到 它 。 它 的 职 能 ,简 单 地 讲 , 是 补 救 性 的 , 而 不 是 革 命 性 的 或 无 政 府 状 态 的 。 这一 点 , 不 幸 地 , 恰 恰 就 是 现 代 对 于 “ 自 然 法 ” 的 见 解 常 常 不再 和 古 代 见 解 相 同 的 地 方 。

    社 会 在 幼 年 时 代 要 招 惹 到 的 另 外 一 种 危 险 , 曾 阻 碍 了 或停 住 了 更 大 一 部 分 人 类 的 进 步 。 原 始 法 律 的 僵 硬 性 , 主 要 是由 于 它 同 宗 教 的 早 期 联 系 和 同 一 性 而 造 成 的 , 这 种 僵 硬 性 曾

    把 大 多 数 人 在 生 活 和 行 为 上 的 见 解 束 缚 住 , 使 它 们 和 人 们 的惯 例 第 一 次 被 固 定 为 有 系 统 形 式 时 的 见 解 一 样 。 世 界 上 只 有

    一 二 个 民 族 由 于 奇 异 的 命 运 才 能 使 它 们 免 除 了 这 种 不 幸 , 而

    从 这 些 民 族 所 出 的 支 系 曾 丰 富 了 少 数 现 代 社 会 , 但 是 情 况 仍

    旧 是 这 样 : 在 大 部 分 世 界 中 , 只 有 墨 守 着 由 原 始 立 法 者 所 设

    计 的 最 初 计 划 , 法 律 才 能 达 到 其 完 美 性 。 如 果 在 这 类 情 形 中 ,

    智 慧 确 曾 对 法 律 发 生 过 影 响 , 那 它 能 一 致 地 以 之 自 夸 的 , 就

    是 它 能 在 古 原 文 的 基 础 上 , 求 得 种 种 机 巧 的 牵 强 附 会 的 结 论 ,

    而 在 其 文 字 性 质 上 却 毫 无 显 著 的 背 离 。 我 找 不 出 任 何 理 由 , 为

    什 么 罗 马 法 律 会 优 于 印 度 法 律 , 假 使 不 是 “ 自 然 法 ” 的 理 论

    给 了 它 一 种 与 众 不 同 的 优 秀 典 型 。 在 这 个 稀 有 的 事 例 中 , 这

    个 由 于 其 他 原 因 而 注 定 了 对 人 类 发 生 巨 大 影 响 的 社 会 , 把 单

    纯 和 匀 称 作 为 其 心 目 中 一 个 理 想 的 和 绝 对 的 完 美 法 律 的 特

    证 。 一 个 国 家 或 者 一 个 职 业 在 其 力 求 改 进 时 , 如 果 能 有 一 个

    明 显 的 要 达 到 的 目 标 , 其 重 要 性 是 不 能 忽 视 的 。 在 过 去 三 十

    年 间 , 边 沁 之 所 以 能 在 英 国 发 生 巨 大 影 响 , 其 秘 密 就 是 在 于他 能 成 功 地 把 这 样 一 个 目 的 , 向 国 人 提 出 。 他 给 我 们 一 个 明白 的 改 良 规 则 。 前 一 世 纪 中 的 英 国 法 学 家 是 敏 锐 的 , 当 然 不致 于 会 被 这 样 一 个 似 是 而 非 的 言 论 所 蒙 蔽 , 以 为 英 国 法 律 是人 类 完 美 的 理 想 , 但 是 由 于 缺 乏 任 何 其 他 原 则 可 资 依 据 , 他们 在 行 动 上 似 乎 就 相 信 着 这 样 一 个 说 法 。 边 沁 提 出 社 会 幸 福 ,

    把 它 作 为 优 先 于 其 他 一 切 的 首 要 目 的 , 这 样 , 就 使 一 个 长 期以 来 正 在 寻 找 出 路 的 洪 流 , 得 到 了 发洩 。

    如 果 我 们 把 前 面 所 描 述 的 假 定 作 为 边 沁 主 义 的 古 代 对 称物 , 这 不 能 说 是 完 全 出 于 妄 想 的 一 种 比 较 。 罗 马 理 论 引 导 人们 努 力 的 方 向 , 正 和 这 个 英 国 人 计 划 的 理 论 所 导 致 的 方 向 , 完全 相 同 ; 罗 马 理 论 的 实 际 结 果 , 同 主 张 坚 决 地 追 求 社 会 一 般幸 福 的 改 良 法 学 派 所 可 能 达 到 的 结 果 , 不 致 于 有 很 大 的 区 别 。但 如 果 认 为 这 个 理 论 是 边 沁 原 则 的 有 意 识 的 豫 期 , 则 是一种错 误 。 毫 无 疑 义 , 在 罗 马 的 普 通 文 献 和 法 律 文 献 中 ,确有时以 人 类 幸 福 作 为 补 救 立 法 的 正 当 目 的 , 但 如 果 拿 有 关 这 个 原则 的 证 据 , 同 不 断 地 给 予 “ 自 然 法 ” 笼 盖 一 切 的 主 张 的 颂扬相 比 , 则 前 者 是 显 著 地 少 而 无 力 的 。 罗 马 法 学 专 家 所 甘 心 悦

    服 的 , 不 是 近 似 博 爱 的 东 西 , 而 是 它 们 的 单 纯 和 调 和 之 感 — —

    就 是 他 们 意 味 深 长 地 称 为 “ 文 雅 ” 的 东 西 。 他 们 辛 勤 劳 力 的

    结 果 , 恰 和 一 个 更 精 确 的 哲 学 所 企 求 的 相 一 致 , 这 正 是 人 类

    好 运 的 一 部 分 。

    回 过 头 来 看 自 然 法 的 现 代 史 , 我 们 断 然 相 信 它 的 影 响 是

    广 泛 深 入 的 , 但 这 种 影 响 的 是 好 是 坏 , 则 就 比 较 难 以 坚 定 地

    加 以 肯 定 。 同 它 有 关 的 各 种 学 说 和 制 度 , 是 在 我 们 时 代 中 争

    论 最 剧 烈 的 一 些 资 料 。 譬 如 说 , “ 自 然 法 ” 理 论 是 一 切 特 殊 观

    念 如 法 律 、 政 治 与 社 会 的 渊 源 , 在 过 去 一 百 年 间 通 过 法 国 而传 遍 西 方 世 界 。 法 学 家 在 法 国 史 上 所 占 有 的 地 位 以 及 法 律 概

    念 在 法 国 思 想 中 所 占 的 领 域 , 始 终 是 非 常 巨 大 的 。 但 现 代 欧

    洲 的 法 律 科 学 , 其 起 源 实 在 不 是 在 法 国 , 而 是 在 意 大 利 , 在

    意 大 利 各 大 学 的 使 者 在 大 陆 各 地 创 设 的 和 企 图 ( 虽 然 结 果 是

    徒 劳 的 ) 在 我 岛 国 创 立 的 学 校 中 , 建 立 在 法 国 的 学 校 对 这 个

    国 家 的 命 运 产 生 了 最 大 的 影 响 。 当 时 的 法 国 法 学 家 立 即 同 加佩 皇 族 ( h o u s e   o f   C a p e t ) 的 国 王 们 结 成 了 密 切 的 联 盟 , 而法 兰 西 君 主 国 之 所 以 能 从 省 邦 和 藩 属 的 割 据 状 态 中 成 长 起来 , 一 方 面 固 然 是 由 于 武 力 , 同 时 也 借 助 他 们 对 帝 王 特 权 的主 张 以 及 他 们 对 封 建 承 继 规 则 的 解 释 。 法 国 国 王 们 同 法 律 家之 间 的 谅 解 , 使 国 王 们 在 对 大 封 建 主 、 贵 族 和 教 会 的 斗 争 中

    取 得 巨 大 的 利 益 , 我 们 只 要 研 究 一 下 直 到 中 世 纪 还 在 欧 洲 流

    行 着 的 各 种 观 念 就 能 够 体 会 到 这 一 点 。 首 先 是 对 于 概 括 的 非

    常 醉 心 以 及 对 于 一 般 命 题 的 出 奇 的 崇 拜 , 因 此 , 在 法 律 的 分

    野 内 , 对 于 看 上 去 似 乎 能 包 含 和 总 括 在 各 地 区 作 为 惯 例 实 行

    的 许 多 各 别 规 则 的 每 一 条 一 般 公 式 就 都 油 然 而 产 生 一 种 虔 敬

    之 心 。 像 这 样 一 类 的 一 般 公 式 , 对 于 熟 习 “ 民 法 大 全 ” 或

    “ 注 释 集 ” 的 法 律 实 务 者 说 来 , 当 然 是 不 难 尽 量 提 供 的 。 但 是

    此 外 还 有 其 他 原 因 使 法 学 家 的 权 力 有 更 大 的 增 加 。 在 我 们 所

    谈 到 的 时 期 中 , 对 于 成 文 法 律 究 竟 有 怎 样 程 度 和 怎 样 性 质 的

    权 力 , 在 观 念 上 是 普 遍 地 模 糊 的 。 一 般 讲 来 , 独 断 的 序 言 ,兹规定 ( I t a   s c r i p t u m   e s t ) , 似 乎 即 足 以 止 息 所 有 的 异 议 。 按

    照 我 们 今 日 的 心 意 , 我 们 对 于 所 引 证 的 公 式 , 必 将 审 慎 地 加

    以 研 究 , 查 询 其 来 源 , 必 要 时 并 会 否 认 它 所 属 的 法 律 有 代 替

    当 地 习 惯 之 权 , 但 前 辈 法 学 家 可 能 就 不 敢 这 样 做 , 他 们 只 是考 究 一 下 法 律 的 规 定 是 否 可 以 适 用 , 充 其 量 , 也 只 是 从 “ 法

    学 汇 纂 ” 或 “ 寺 院 法 ” 中 引 一 些 相 反 的 命 题 而 已 。 对 于 各 种

    法 律 争 论 中 这 个 最 重 要 的 方 面 人 们 看 法 的 变 化 无 定 , 必 须 牢

    记 在 心 中 , 因 为 这 不 但 可 以 帮 助 说 明 法 学 家 对 于 帝 王 出 过 一

    臂 之 力 , 同 时 也 可 以 使 几 个 古 怪 的 历 史 问 题 得 以 阐 明 。 “ 伪 教皇 教 令 集 ” ( F o r g e d   D e c r e t a l s ) 著 者 的 动 机 以 及 他 的 非 常 成功 , 也 能 因 此 而更 加 容 易 领 会 。 再 就 一 个 关 系 较 小 的 现 象 而论 , 它 能 够 帮 助 我 们 、 虽 然 只 是 部 分 地 , 了 解 布 拉 克 顿 的 抄袭 主 义 。 这 个 生 活 在 亨 利 三 世 ( H e n r y   Ⅲ ) 时 代 的 英 国 著 者 ,竟 会 把 他 的 一 篇 全 部 形 式 和 三 分 之 一 内 容 直 接 剽 窃 自 “ 民 法大 全 ” 的 论 文 , 作 为 纯 粹 国 英 法 的 纲 要 , 而 向 其 同 胞 宣 扬 。 他竟 敢 在 正 式 禁 止 系 统 地 研 究 罗 马 法 的 一 个 国 家 内 作 这 样 的 试验 , 这 在 法 学 史 上 将 始 终 成 为 一 个 最 不 可 解 之 谜 。 但 当 我 们了 解 到 当 时 对 于 成 文 法 律 有 拘 束 力 的 一 般 意 见 , 不 论 其 来 源 如 何 , 则 我 们 的 惊 异 是 仍 旧 可 以 略 为 减 少 的 。

    当 法 国 的 国 王 们 在 长 期 争 取 最 高 统 治 权 的 斗 争 中 得 到 胜

    利 的 结 束 时 , 约 相 当 于 瓦 罗 亚 · 安 古 伦 ( V a l o i s A n g o u l e Jm e ) 王 族 继 承 皇 位 的 时 候 , 法 国 法 学 家 的 地 位 是 特 殊 的 , 并 且 延续 到 革 命 暴 发 为 止 。 一 方 面 , 他 们 形 成 了 国 内 最 有 教 养 的 并且 是 最 有 势 力 的 阶 级 。 他 们 尽 量 利 用 他 们 在 封 建 贵 族 以 外 的

    一 个 特 殊 阶 级 的 地 位 , 他 们 并 且 通 过 了 一 个 组 织 把 他 们 的 职

    业 分 布 到 全 法 国 来 确 保 他 们 的 影 响 , 这 个 组 织 包 括 许 多 巨 大

    的 特 许 公 司 , 具 有 广 泛 而 明 确 的 权 力 , 以 及 更 为 广 泛 无 限 制

    的 发 言 权 。 不 论 他 们 所 担 任 的 是 辩 护 人 , 是 法 官 , 或 是 立 法

    者 , 在 其 性 质 上 他 们 都 远 超 过 全 欧 洲 的 同 辈 。 他 们 的 法 律 技巧 , 他 们 的 能 言 善 辩 , 他 们 的 善 于 类 比 和 调 和 , 以 及 ( 如 果以 他 们 中 最 著 名 的 人 物 来 评 定 ) 他 们 对 公 正 概 念 的 热 诚 , 正和 他 们 所 赋 有 的 各 式 各 样 的 独 特 天 才 , 同 样 是 十 分 引 人 注 意的 。 在 这 多 样 的 天 才 中 包 括 着 由 古 乍 斯 ( C u j a s ) 到 孟 德 斯 鸠 ,由 达 该 素 ( D ’ A g u e s s e a u ) 到 都 漠 兰 ( D u m o u l i n ) 的 两 个 相反 的 极 端 之 间 的 全 部 人 物 。 但 是 在 另 一 方 面 , 他 们 必 须 执 行

    的 法 律 制 度 , 则 与 他 们 所 养 成 的 习 性 完 全 不 同 。 这 个 主 要 经

    由 他 们 的 努 力 而 组 成 的 法 国 , 当 时 从 一 种 畸 形 的 和 不 协 调 的

    法 律 学 受 到 的 苦 恼 , 远 超 过 了 其 他 的 任 何 欧 洲 国 家 。 一 次 巨

    大 的 分 裂 终 于 在 这 个 国 家 发 生 , 把 它 分 为成文法区域和习惯 ·

    法 ·

    区域,前 者 承 认 成 文 的 罗 马 法 为 其 法 律 学 的 基 础 , 后 者 只

    在 它 能 提 供 一 般 表 现 形 式 或 是 它 能 提 供 同 当 地 惯 例 相 一 致 的

    法 律 推 理 方 法 时 , 才 加 以 采 用 。 这 样 划 分 的 区 域 , 又 被 划 分为 不 同 的 小 区 域 。 在习惯法区域中 , 就 其 习 惯 的 性 质 来 说 、 省与 省 之 间 不 同 , 县 与 县 之 间 、 市 与 市 之 间 又 有 不 同 。 在成文法区域 中 , 掩 盖 在 罗 马 法 上 面 的 封 建 规 则 , 具 层 次 组 成 亦 非常 复 杂 。 英 国 从 来 没 有 发 生 过 这 样 的 混 乱 情 况 。 在 德 国,这种 情 况 曾 经 存 在 , 但 因 为 和 该 国 政 治 宗 教 间 的 深 刻 划 分 , 在很 大 程 度 上 是 非 常 协 调 的 , 所 以 很 少 影 响 , 甚 至 难 以 感觉到法 国 的 独 特 之 点 在 于 当 君 主 的 中 央 政 权 正 在 不 断 加 强 , 完 全

    的 行 政 统 一 工 作 正 在 迅 速 完 成 , 以 及 在 人 民 中 间 一 种 热 烈 的

    国 家 精 神 正 在 发 展 起 来 的 时 候 , 这 种 法 律 上 非 常 参 差 的 情 况

    还 是 继 续 着 , 丝 毫 不 感 到 有 什 么 改 变 。 这 种 矛 盾 现 象 产 生 了

    许 多 严 重 的 后 果 , 其 中 , 尤 以 它 在 法 国 法 学 家 心 神 上 所 产 生的 效 果 , 最 为 重 要 。 他 们 在 推 理 上 的 意 见 和 他 们 在 智 力 上 的

    偏 见 , 恰 恰 和 他 们 的 利 益 和 职 业 习 惯 完 全 相 反 。 他 们 既 深 深

    地 感 觉 到 并 完 全 认 识 到 法 律 学 上 的 完 美 是 在 于 单 纯 性 和 一 致

    性 , 因 此 便 以 为 或 似 乎 以 为 那 些 确 实 感 染 着 法 国 法 律 的 缺 点

    是 难 以 革 除 的 , 因 此 , 在 实 际 上 , 他 们 常 拒 绝 纠 正 这 些 缺 点 ,

    其 顽 固 程 度 即 在 比 较 不 开 明 的 同 胞 中 也 是 不 常 有 的 。 但 当 时

    有 一 种 方 法 可 以 用 来 调 和 这 些 矛 盾 。 他 们 变 成 了 “ 自 然 法 ” 的

    热 烈 拥 护 者 。 “ 自 然 法 ” 跳 过 了 所 有 的 省 市 界 限 ; 它 不 管 一 切

    区 分 , 不 论 是 贵 族 和 市 民 之 间 的 , 市 民 和 农 民 之 间 的 ; 它 给

    明 白 、 单 纯 和 系 统 以 极 端 崇 高 的 地 位 ; 但 是 它 并 没 有 促 使 其

    拥 护 者 进 行 任 何 特 殊 的 改 进 , 亦 没 有 直 接 威 胁 到 任 何 可 尊 敬

    的 或 有 利 的 专 门 性 质 。 “ 自 然 法 ” 可 以 说 已 成 为 法 国 的 普 通 法 ,

    或 者 , 无 论 如 何 , 承 认 它 的 尊 严 和 要 求 已 成 为 所 有 法 国 法 律

    实 务 者 一 致 同 意 的 一 个 哲 理 。 革 命 前 法 学 家 的 言 论 中 , 对

    “ 自 然 法 ” 毫 无 保 留 地 一 致 颂 扬 , 而 值 得 注 意 的 是 , 那 些 专 事诽 谤 纯 粹 罗 马 法 的 “ 习 惯 ” 论 者 , 在 谈 到 “ 自 然 ” 及 其 规 定时 , 往 往 甚 至 比 自 认 为 只 尊 重 “ 法 学 汇 纂 ” ( D i g e s t ) 及 “ 法典 ” 的 民 法 学 家 , 更 为 热 烈 。 都 漠 兰 是 古 “ 法 兰 西 习 惯 法 ” 所

    有 权 威 学 者 中 的 最 高 权 威 , 却 有 几 篇 非 常 透 彻 详 尽 的 有 关

    “ 自 然 法 ” 的 论 文 , 他 的 颂 词 并 且 有 一 种 特 殊 的 风 格 , 显 然 同罗 马 法 学 专 家 的 小 心 慎 重 有 着 距 离 。 一 个 “ 自 然 法 ” 的 假 说已 成 为 不 复 是 指 导 实 际 的 一 种 理 论 , 而 是 纯 理 论 信 仰 的 一 种信 条 ; 因 此 , 我 们 将 发 现 在 它 比 较 近 来 所 经 受 的 变 化 中 , 由于 其 拥 护 者 的 推 崇 , 它 的 最 弱 部 分 也 上 升 到 了 其 最 强 部 分 的水 平 。

    在 “ 自 然 法 ” 史 达 到 最 紧 要 的 关 头 时 , 十 八 世 纪 已 经 过去 了 一 半 。 如 果 对 于 自 然 法 理 论 及 其 后 果 的 讨 论 继 续 专 属 于法 律 界 , 则 它 所 受 到 的 重 视 可 能 要 有 一 些 减 少 ; 因 为 到 这 个

    时 候 , “ 论 法 的 精 神 ” 出 版 了 。 孟 德 斯 鸠 在 这 本 书 中 , 一 方 面

    相 当 夸 张 地 显 示 出 作 者 强 烈 地 不 愿 接 受 以 前 通 常 是 不 加 详 细

    审 查 而 予 以 容 忍 的 各 种 假 设 , 另 一 方 面 又 相 当 模 糊 地 表 现 出

    作 者 要 与 现 存 偏 见 相 调 和 的 愿 望 , 但 是 , 这 本 书 虽 有 其 缺 点 ,

    却 仍 按 照 着 “ 历 史 方 法 ” 进 行 研 究 , 在 这 种 方 法 之 前 , “ 自 然

    法 ” 是 从 来 没 有 能 瞬 息 维 持 其 立 足 点 的 。 它 不 但 受 到 了 大 众

    的 欢 迎 , 并 且 在 思 想 上 也 发 生 了 巨 大 的 影 响 ; 但 是 , 在 事 实

    上 它 并 没 有 得 到 进 一 步 深 入 的 机 会 , 因 为 似 乎 注 定 要 被 它 所

    毁 灭 的 反 假 说 突 然 从 法 庭 传 到 了 民 间 , 并 且 成 为 远 较 法 院 或

    学 校 中 曾 经 激 辩 过 的 主 题 更 能 引 起 激 烈 争 执 的 主 题 。 这 个 把

    它 放 在 新 地 位 的 人 , 是 一 个 非 常 的 人 , 他 没 有 学 识 , 很 少 美

    德 , 并 且 也 没 有 十 分 坚 强 的 个 性 , 但 由 于 一 种 鲜 明 的 想 象 力 ,

    以 及 他 对 于 人 类 的 真 诚 的 热 爱 ( 为 了 这 , 我 们 对 他 有 许 多 地

    方 应 该 原 谅 的 ) , 却 使 他 成 为 历 史 上 不 可 磨 灭 的 人 物 。 在 我 们

    自 己 的 一 代 中 , 我 们 从 来 没 有 看 到 过 — — 的 确 , 即 在 全 世 界

    整 个 历 史 过 程 中 , 也 不 会 看 到 一 次 或 二 次 以 上 的 — — 这 样 一

    个 文 件 , 曾 对 人 类 的 心 灵 、 对 知 识 分 子 的 躯 体 和 灵 魂 产 生 过

    像 卢 梭 在 1 7 4 9 年 和 1 7 6 2 年 之 间 所 产 生 的 那 样 巨 大 的 影 响的 。 在 由 贝 尔 ( B a y l e ) 和 部 分 地 由 我 国 的 洛 克开 始 ,最 后 却 由 伏 尔 泰完 成 的 纯 然 是 偶 象 破 坏 的 努 力 以后 , 这 是 要 重 新 建 立 人 类 信 念 的 第 一 次 尝 试 ; 并 且 除 了 每 一个 有 建 设 性 的 努 力 常 常 必 然 优 于 单 纯 的 破 坏 性 的 努 力 以 外,它 还 有 着 一 个 卓 越 之 处 , 就 是 在 一 个 几 乎 普 遍 的 怀 疑 论 的 氛围 中 间 , 提 出 了 所 有 过 去 推 理 方 面 知 识 的 健 全 性 问 题 。 在 卢梭 的 一 切 理 论 中 , 其 中 心 人 物 , 不 论 是 穿 着 英 国 服 装 在 一 个

    社 会 契 约 上 签 名 的 或 者 是 率 直 地 把 所 有 历 史 特 性 完 全 剥 光

    的 , 都 一 律 是 在 一 种 假 设 的 自 然 状 态 中 的 “ 人 ” 。 每 一 种 法 律

    和 制 度 , 凡 是 不 能 适 合 于 这 些 理 想 情 况 下 的 这 种 想 象 的 人 , 都

    被 加 以 非 难 , 认 为 是 从 一 种 原 始 完 美 状 态 的 堕 落 ; 对 于 每 一

    种 能 使 社 会 更 接 近 于 “ 自 然 ” 生 物 统 治 着 的 世 界 的 社 会 变 革 ,

    都 认 为 是 可 以 赞 美 的 , 并 值 得 用 任 何 明 显 的 代 价 使 其 实 现 。 这

    个 确 论 仍 旧 是 罗 马 法 学 家 的 理 论 , 因 为 在 这 个 人 类 居 住 的“ 自 然 条 件 ” ( N a t u r a l   C o n d i t i o n ) 的 暗 影 中 , 除 了 对 于 法 学

    专 家 具 有 非 常 魔 力 的 单 纯 和 调 和 之 外 , 竟 没 有 一 个 特 色 和 特

    点 为 人 们 所 注 意 到 ; 但 是 这 个 理 论 好 像 是 本 末 倒 置 过 来 了 。 现

    在 所 研 究 的 主 要 问 题 , 已 不 是 “ 自 然 法 律 ” , 而 是 “ 自 然 状态 ” ( S t a t e   o f   n a t u r e ) 。 罗 马 人 曾 认 为 , 如 果 对 于 现 存 的 各种 制 度 加 以 仔 细 观 察 , 则 在 这 些 制 度 中 必 然 可 以 挑 选 出 有 几

    个 部 分 或 者 立 即 可 以 显 示 出 来 , 或 者 必 须 经 过 法 律 上 的 纯 净

    作 用 才 可 以 显 示 出 那 种 自 然 统 治 的 痕 迹 , 这 种 自 然 统 治 在 罗

    马 人 看 起 来 , 有 可 能 是 真 实 的 。 至 于 卢 梭 的 信 念 是 : 一 个 完

    美 的 社 会 秩 序 可 以 求 之 于 单 纯 的 对 自 然 状 态 的 考 虑 , 这 一 种

    社 会 秩 序 完 全 同 世 界 的 实 际 情 况 没 有 关 系 , 并 且 完 全 同 世 界

    的 实 际 情 况 不 同 。 这 两 种 见 解 的 分 歧 是 巨 大 的 , 一 种 是 痛 责

    现 在 , 因 为 它 不 像 理 想 中 的 过 去 : 而 另 外 的 一 种 , 假 定 现 在

    同 过 去 一 样 的 必 要 的 , 因 此 也 就 不 轻 视 现 在 或 谴 责 现 在 。 我

    们 没 有 必 要 枉 费 时 间 , 以 详 细 分 析 这 建 筑 于 一 个 自 然 状 态 基础 上 的 政 治 、 艺 术 、 教 育 、 伦 理 学 和 社 会 关 系 的 哲 学 。 这 种

    哲 学 对 于 每 一 个 国 家 中 比 较 不 精 确 的 思 想 家 还 具 有 特 别 的 吸

    引 力 , 并 且 无 疑 地 是 妨 碍 着 应 用 “ 历 史 研 究 方 法 ” 的 几 乎 一

    切 先 入 之 见 的 、 多 少 是 不 直 接 的 根 源 , 但 它 已 为 我 们 今 日 有

    识 者 所 不 信 任 到 了 这 样 的 程 度 , 竟 使 那 些 熟 知 纯 理 论 的 错 误

    具 有 非 常 活 力 的 人 们 , 为 之 惶 惑 不 止 。 在 今 天 最 常 提 到 的 问

    题 , 也 许 并 不 是 这 些 意 见 究 竟 有 什 么 价 值 , 而 是 : 在 一 百 年

    以 前 使 它 们 有 这 样 的 盖 过 一 切 的 优 势 , 其 原 因 究 竟 是 什 么 。 我

    认 为 回 答 是 很 简 单 的 。 在 上 一 世 纪 中 , 有 一 种 研 究 最 可 能 用

    来 纠 正 凡 是 专 门 注 意 于 古 法 律 的 人 很 容 易 陷 入 的 误 解 , 这 种

    研 究 便 是 宗 教 的 研 究 。 但 希 腊 宗 教 如 当 时 所 理 解 的 那 样 , 都

    已 被 分 散 于 许 多 想 象 的 神 话 中 。 东 方 的 各 种 宗 教 纵 使 确 曾 受

    到 过 注 意 , 但 这 些 宗 教 似 乎 都 迷 失 于 空 虚 的 宇 宙 开 辟 论 中 。 只

    有 一 种 原 始 记 录 , 值 得 加 以 研 究 — — 就 是 早 期 的 犹 太 史 。 但

    当 时 的 种 种 偏 见 阻 止 着 我 们 利 用 它 。 卢 梭 学 派 同 伏 尔 泰 学 派

    所 共 有 的 少 数 特 征 之 一 ; 是 完 全 轻 视 一 切 宗 教 上 的 古 代 事 物 ,

    特 别 是 属 于 希 伯 来 民 族 的 。 众 所 周 知 , 当 时 的 理 论 家 都 不 仅

    认 为 以 摩 西为 名 的 制 度 并 非 真 的 出 自 神 授 , 认 为 它

    们 也 不 是 象 传 说 那 样 在 一 个 较 后 的 时 期 被 制 定 为 法 典 的 , 他

    们 认 为 这 些 制 度 以 及 全 部 的 “ 摩 西 五 经 ”都 只是 一 种 毫 无 根 据 的 伪 造 , 是 在 从 “ 幽 囚 ” ( C a p t i v i t y ) 中 回 来以 后 完 成 的 。 这 些 思 想 家 所 以 作 出 这 样 的 假 定 , 因 为 这 与 他们 的 荣 誉 有 关 。 因 此 法 国 的 哲 学 家 们 , 既 被 阻 止 取 得 这 个 反

    对 纯 理 论 谬 见 的 主 要 保 证 , 就 在 他 们 热 切 于 从 他 们 认 为 是 僧

    侣 的 迷 信 中 逃 避 出 来 的 时 候 , 又 轻 率 地 把 他 们 自 己 投 入 了 法学 家 的 迷 信 中 去 。

    但 是 这 个 以 自 然 状 态 的 假 设 为 基 础 的 哲 学 , 虽 然 因 为 它

    只 被 看 到 了 其 粗 糙 的 和 比 较 容 易 看 到 的 一 面 , 一 般 的 评 价 不

    高 , 但 这 并 不 是 说 , 当 它 在 比 较 精 巧 的 伪 装 中 , 就 失 掉 了 它

    可 以 赞 美 的 地 方 、 通 俗 的 地 方 和 它 的 力 量 。 我 相 信 , 象 我 前

    面 已 说 过 的 , 它 仍 旧 是 “ 历 史 方 法 ” 的 劲 敌 ; 并 且 ( 除 了 宗

    教 上 的 反 对 以 外 ) 凡 是 拒 绝 或 责 难 这 种 研 究 方 式 的 人 , 一 般

    都 是 由 于 有 意 或 无 意 地 受 到 了 信 赖 社 会 或 个 人 的 非 历 史 的 即

    自 然 的 状 态 的 一 种 偏 见 或 武 断 的 影 响 的 结 果 。 不 过 “ 自 然 ” 学

    说 及 其 法 律 观 点 之 所 以 能 保 持 其 能 力 , 主 要 是 由 于 它 们 能 和

    各 种 政 治 及 社 会 倾 向 联 结 在 一 起 , 在 这 些 倾 向 中 , 有 一 些 是

    由 它 们 促 成 的 , 有 一 些 的 确 是 它 们 所 创 造 的 , 而 绝 大 部 分 则

    是 由 它 们 提 供 了 说 明 和 形 式 。 它 们 明 显 地 大 量 渗 入 到 不 断 由

    法 国 传 播 到 文 明 世 界 各 地 的 各 种 观 念 中 , 这 样 就 成 为 改 变 世

    界 文 明 的 一 般 思 想 体 系 的 一 部 分 。 这 些 学 理 对 民 族 命 运 所 加

    的 影 响 , 其 价 值 如 何 , 当 然 是 我 们 时 代 中 最 热 烈 争 辩 的 论 点

    之 一 , 对 于 这 个 方 面 , 我 们 不 准 备 在 本 文 中 加 以 讨 论 。 但 是

    如 果 回 顾 一 下 自 然 状 态 理 论 在 政 治 上 达 到 非 常 高 度 的 重 要 性

    的 时 期 , 则 绝 少 人 会 否 认 : 在 第 一 次 “ 法 国 革 命 ” 时 期 , 曾

    经 多 次 发 生 的 重 大 失 望 都 是 由 它 有 力 地 促 成 的 。 它 产 生 了 或

    强 烈 地 刺 激 了 当 时 几 乎 普 遍 存 在 的 智 力 上 的 恶 习 , 如 对 现 实

    法 的 蔑 视 , 对 经 验 的 不 耐 烦 , 以 及 ·

    先 ·

    天 ·

    的 优 先 于 一 切 其 他 理

    性 等 。 这 种 哲 学 紧 紧 地 掌 握 住 了 那 些 比 较 思 想 得 少 、 同 时 又

    不 善 于 观 察 的 人 , 它 的 发 展 趋 势 也 就 比 例 地 成 为 明 显 的 无 政

    府 状 态 。 可 惊 异 的 是 , 杜 蒙 ( D u m o n t ) 为 边 沁 出 版 的 “ 无 政府 的 诡 辩 ” 一 书 中 具 体 地 表 现 了边 沁 所 暴 露 的 显 然 是 来 自 法 国 的 谬 见 , 有 很 多 是 来 自 经 过 法国 变 化 的 罗 马 假 设 , 并 且 除 非 是 参 照 了 罗 马 假 设 , 这 些 诡 辩是 不 容 易 理 解 的 。 在 这 一 点 上 可 以 参 考 在 革 命 的 各 个 主 要 年代 中 间 的 ·

    劝 ·

    戒 ·

    者 ( M o n t e u r ) 。 时 代 越 黑 暗 , 则 诉 诸 “ 自 然 法

    律 和 状 态 ” 便 越 加 频 繁 。 在 “ 国 民 议 会 ” 中 这 种 情 况 比 较 少

    见 ; 在 “ 立 法 议 会 ” 时 期 则 比 较 经 常 ; 在 “ 宪 法 会 议 ” 中 , 在

    辩 论 着 阴 谋 和 战 争 的 纷 争 声 中 , 这 种 情 况 便 永 久 存 在 着 。

    有 一 个 例 子 非 常 明 显 地 说 明 了 自 然 法 理 论 对 现 代 社 会 的

    影 响 , 并 且 表 明 这 些 影 响 是 如 何 的 深 而 且 远 。 我 以 为 人 类 根

    本 平 等 的 学 理 , 毫 无 疑 问 是 来 自 “ 自 然 法 ” 的 一 种 推 定 。 “ 人

    类 一 律 平 等 ” 是 大 量 法 律 命 题 之 一 , 它 随 着 时 代 的 进 步 已 成

    为 一 个 政 治 上 的 命 题 。 罗 马 安 托 宁 时 代 的 法 学 专 家 们 提 出 :

    “ 每 一 个 人 自 然 是 平 等 的 ”, 但 在 他 们 心 目 中 , 这 是 一 个 严 格 的 法 律 公 理 。 他 们 企 图 主 张 , 在 假 设 的 “ 自 然 法 ” 之 下 , 以 及 在 现 实法 接 近 “ 自 然 法 ” 的 程 度 内 , 罗 马 “ 市 民 法 ” 所 支 持 的 各 阶

    级 人 们 之 间 的 武 断 区 分 不 应 该 在 法 律 上 存 在 。 这 个 规 定 对 罗

    马 法 律 实 务 者 , 是 有 相 当 的 重 要 性 的 , 因 为 这 使 他 们 必 须 记

    着 , 凡 在 罗 马 法 律 学 被 推 定 为 完 全 符 合 于 “ 自 然 ” 法 典 的 规

    定 时 , 则 罗 马 法 院 在 考 虑 公 民 与 外 国 人 之 间 、 人 民 与 奴 隶 之

    间 、 “ 宗 亲 ” 与 “ 血 亲 ” 之 间 ” 的 一 切 问 题 时 , 却 不 应 该 有 所

    区 别 。 凡 是 作 这 样 主 张 的 法 学 专 家 , 当 然 决 不 会 指 摘 使 市 民

    法 不 能 达 到 其 理 论 形 式 的 社 会 安 排 , 他 们 显 然 也 不 会 相 信 世

    界 真 会 看 到 人 类 社 会 会 同 自 然 组 织 完 全 同 化 的 。 但 当 人 类 平等 学 说 披 上 了 现 代 服 装 而 出 现 时 , 它 显 然 已 包 藏 着 一 种 新 的

    意 义 。 罗 马 法 学 专 家 用 “ 是 平 等 ” ( Eq u a l e s   s u n t ) 的 这 些 字眼 , 其 所 含 意 义 真 和 他 所 说 的 完 全 一 样 , 而 现 代 民 法 学 家 在

    写 “ 人 类 一 律 平 等 ” 时 , 他 的 意 思 是 “ 人 类 应 该 平 等 ” 。 罗 马

    人 以 为 自 然 法 是 和 市 民 法 同 时 存 在 的 , 并 且 是 在 逐 渐 吞 并 着

    市 民 法 的 , 这 种 特 殊 看 法 显 然 已 经 被 遗 忘 了 , 或 已 经 成 为 不

    可 理 解 的 了 。 这 些 字 眼 在 过 去 充 其 量 只 是 表 达 了 有 关 人 类 各

    种 制 度 渊 源 、 组 织 和 其 发 展 的 一 种 理 论 , 后 来 开 始 被 用 来 表

    示 人 类 长 期 遭 受 的 大 不 公 正 之 意 。 早 在 十 四 世 纪 初 期 , 关 于

    人 类 出 生 状 态 的 流 行 说 法 虽 然 明 显 地 想 要 和 阿 尔 比 安 及 其 同

    时 代 人 的 说 法 相 一 致 , 但 其 形 式 和 意 义 却 已 全 然 不 同 。 路 易

    · 胡 廷 国 王 ( K i n g   L o u i s   H u t i n ) 解 放 王 家 领 地 内 农 奴 的 著名 命 令 中 的 前 言 , 在 罗 马 人 听 来 , 将 是 非 常 陌 生 的 , “ 既 然 按

    照 自 然 法 , 每 个 人 应 该 生 而 自 由 ; 由 于 自 上 古 以 来 就 已 采 用

    并 一 直 到 现 在 还 在 我 国 土 上 被 保 持 着 的 某 种 惯 例 和 习 惯 , 并

    且 可 能 由 于 人 们 前 辈 的 罪 行 , 在 我 们 普 通 人 民 中 就 有 许 多 人

    陷 入 了 被 奴 役 的 地 位 , 因 此 , 我 们 等 等 ” , 这 不 是 一 条 法 律 规

    定 而 是 一 个 政 治 教 条 的 宣 言 ; 从 这 个 时 候 起 , 法 国 法 学 家 们

    在 谈 到 人 类 平 等 时 , 正 好 象 这 是 偶 然 被 保 留 在 他 们 的 科 学 中

    的 一 个 政 治 真 理 似 的 。 象 来 自 “ 自 然 法 ” 假 设 中 的 一 切 其 他

    演 释 一 样 , 同 时 也 象 “ 自 然 法 ” 这 个 信 念 的 本 身 一 样 , 它 在

    直 到 被 从 法 学 家 之 手 转 入 到 十 八 世 纪 文 人 们 之 手 以 及 信 服 他

    们 的 公 众 之 手 以 前 , 只 是 毫 无 生 气 地 被 同 意 着 , 而 且 它 对 意

    见 和 实 践 , 也 都 很 少 有 影 响 。 在 这 些 文 人 之 手 中 , 它 成 为 他

    们 信 条 中 最 清 楚 的 教 理 , 并 被 认 为 是 一 切 其 他 教 理 的 一 个 总结 。 但 是 , 它 最 后 在 1 7 8 9 年 事 件 中 所 以 得 势 , 可 能 不 完 全 是

    由 于 它 在 法 国 的 声 望 。 因 为 在 这 世 纪 的 中 叶 , 它 已 被 传 播 到

    了 美 国 。 当 时 的 美 国 法 学 家 , 尤 其 是 弗 吉 尼 亚的 法 学 家 , 似 乎 已 具 有 和 英 国 同 时 代 人 不 同 的 大 量 知 识 , 其 主要 不 同 之 点 , 是 在 他 们 的 知 识 中 包 括 了 许 多 只 可 能 来 自 欧 洲大 陆 法 律 文 献 的 知 识 。 只 要 参 考 一 下 杰斐逊的 著 作 , 就 可 以 看 到 他 是 如 何 深 受 到 法 国 当 时 时 尚 的 半 法 律 、 半通 俗 的 见 解 的 影 响 ; 我 们 也 毫 不 怀 疑 , 正 是 由 于 他 们 对 法 国法 学 家 这 些 特 殊 观 念 深 表 同 情 , 在 “ 独 立 宣 言 ” 开 头 的 几 行 中 , 这 位 指 导 着 当 时 美 国 事务 的杰斐逊和 在 这 殖 民 地 中 的 其 他 法 学 家 , 就 把 这 独 特 的 法国 假 设 即 “ 人 类 生 而 平 等 ” 和 英 国 人 最 熟 悉 的 假 设 “ 人 类 生而 自 由 ” 相 结 合 在 一 起 。 这 是 放 在 我 们 当 前 的 这 个 学 理 的 历史 中 有 极 大 重 要 性 的 一 节 文 句 。 美 国 法 学 家 这 样 突 出 地 和 这样 着 重 地 主 张 人 类 的 根 本 平 等 , 这 在 他 们 自 己 国 家 中 , 并 且在 较 小 的 程 度 上 , 也 在 大 不 列 颠 , 推 动 了 一 个 政 治 运 动 , 到

    现 在 还 远 没 有 衰 竭 下 来 ; 但 除 此 以 外 , 他 们 正 把 他 们 所 一 度

    采 用 的 教 条 还 给 了 法 国 本 土 , 赋 予 了 更 巨 大 的 能 力 , 并 且 使

    它 受 到 了 一 般 人 更 大 的 欢 迎 和 尊 敬 。 甚 至 在 第 一 次 “ 国 民 议

    会 ” 中 比 较 小 心 谨 慎 的 政 治 家 , 也 重 复 着 阿 尔 比 安 的 命 题 , 好

    象 这 个 命 题 立 即 自 荐 于 人 类 的 本 能 和 直 觉 似 的 ; 并 且 在 所 有

    “ 1 7 8 9 年 的 各 种 原 则 ” 中 , 这 是 唯 一 的 曾 受 到 最 少 的 热 烈 的 攻击 , 曾 最澈底地 影 响 现 代 意 见 并 将 最 深 刻 地 改 变 社 会 构 成 和

    国 家 政 治 的 原 则 。

    “ 自 然 法 ” 所 尽 的 最 伟 大 的 职 能 是 产 生 了 现 代 “ 国 际 法 ”和 现 代 “ 战 争 法 ”, 虽 然 它 的 这 一 个 部 分 效果 是 非 常 重 要 的 , 但 在 这 里 , 由 于 它 和 本 文 关 系 不 大 , 因 此将 略 而 不 论 。

    在 形 成 “ 国 际 法 ” 基 础 的 各 种 假 定 中 间 , 或 在 形 成 “ 国

    际 法 ” 中 到 现 在 仍 旧 能 保 持 其 从 原 来 建 筑 师 那 里 所 接 受 的 形

    态 的 部 分 基 本 假 定 中 间 , 有 二 三 种 特 别 显 得 重 要 的 假 定 。 其

    中 第 一 个 表 现 在 这 样 的 一 个 立 论 中 , 即 认 为 有 一 种 可 以 确 定

    的 “ 自 然 法 ” 。 格 罗 修 斯 及 其 后 继 者 直 接 从 罗 马 人 那 里 得 到 这

    一 个 假 设 , 但 他 们 同 罗 马 法 学 专 家 之 间 以 及 在 他 们 相 互 之 间 ,

    对 于 确 定 的 方 式 , 在 看 法 上 有 着 巨 大 的 分 歧 。 在 文 艺 复 兴 以

    后 盛 极 一 时 的 公 法 学 家 中 , 几 乎 每 一 个 人 都 野 心 勃 勃 , 提 出

    了 新 的 和 更 容 易 处 理 的 有 关 “ 自 然 ” 及 其 法 律 的 定 义 , 并 且

    无 可 争 辩 , 当 这 个 概 念 经 过 一 系 列 的 “ 公 法 ” 学 著 者 之 手 , 在

    其 周 围 就 积 聚 了 一 大 堆 的 附 加 物 , 其 中 包 括 了 都 是 从 支 配 着

    各 学 派 的 每 一 种 伦 理 学 理 论 中 得 来 的 各 种 观 念 片 断 。 虽 然 是

    这 样 , 但 仍 有 明 显 的 证 据 证 明 这 个 概 念 主 要 是 有 历 史 性 质 的 ,

    因 为 从 自 然 状 态 的 各 种 必 要 特 点 中 探 求 自 然 法 典 ; 虽 然 经 过

    了 种 种 努 力 , 但 所 获 得 的 结 果 , 正 和 人 们 把 罗 马 法 学 家 的 意

    见 不 加 探 究 或 修 正 而 立 即 采 用 时 所 可 能 得 到 的 结 果 , 完 全 相

    同 。 如 果 把 国 际 法 中 的 协 约 和 条 约 部 分 撇 开 不 论 , 可 以 看 到 ,

    在 这 制 度 中 有 相 当 惊 人 的 一 部 分 是 由 纯 粹 罗 马 法 律 所 组 成

    的 。 法 学 专 家 的 每 一 种 学 理 , 只 要 经 过 他 们 确 认 为 同 “ 万 民

    法 ” 相 协 调 时 , 公 法 学 家 就 以 种 种 理 由 来 借 用 它 , 不 论 这 个

    学 理 是 如 何 明 显 地 标 志 着 其 罗 马 渊 源 。 我 们 也 可 以 看 到 , 这

    些 派 生 的 理 论 是 带 有 其 原 来 观 念 的 弱 点 的 。 大 多 数 公 法 学 家的 思 想 方 法 仍 旧 是 “ 混 合 的 ” 。 在 研 究 这 些 著 者 时 , 最 大 的 困

    难 始 终 是 在 弄 清 楚 他 们 所 讨 论 的 究 竟 是 法 律 还 是 道 德 — — 他

    们 所 描 写 的 国 际 关 系 状 态 究 竟 是 现 实 的 还 是 理 想 的 — — 他 们

    所 说 的 究 竟 是 事 实 , 还 是 他 们 的 意 见 认 为 应 该 是 这 样 的 。

    作 为 “ 国 际 法 ” 基 础 的 其 次 一 个 假 设 是 , “ 自 然 法 ” 与 国家相 ·

    互之间有约束力。一系 列 主 张 或 认 可 这 原 则的 言 论 , 得 追 溯 到 现 代 法 律 科 学 的 极 幼 稚 时 代 , 并 且 初 看 起

    来 , 它 好 像 是 直 接 来 自 罗 马 人 学 说 的 一 个 推 理 。 人 为 的 社 会

    状 态 和 自 然 状 态 不 同 , 在 前 者 之 中 有 一 个 明 显 的 制 法 者 , 在

    后 者 却 没 有 , 因 此 , 如 果 某 一 个单位 不 承 认 它 们 服 从 一 个 共

    同 主 权 或 政 治 领 袖 的 时 候 , 它 们 就 好 像 恢 复 到 了 受 命 于 “ 自

    然 法 ” 了 。 国 家 就 是 这 类 的 单 位 ; 它 们 各 自 独 立 的 这 个 假 设 ,

    排 斥 了 一 个 共 同 立 法 者 的 观 念 , 并 从 这 观 念 出 发 , 按 照 某 种

    思 想 方 法 进 而 得 到 了 从 属 于 自 然 原 始 秩 序 的 观 念 。 另 一 种 想

    法 认 为 各 独 立 的 社 会 相 互 之 间 没 有 任 何 法 律 把 它 们 联 系 着 ,

    但 这 种 无 法 律 状 态 正 就 是 法 学 专 家 们 的 “ 自 然 ” 所 厌 恶 的 真

    空 。 如 果 一 个 罗 马 法 学 家 遇 到 有 市 民 法 被 排 斥 不 能 适 用 的 情

    况 , 他 就 立 即 会 以 “ 自 然 ” 法 令 来 填 补 这 个 空 隙 , 这 样 一 种

    想 法 , 显 然 是 有 理 由 的 。 但 我 们 不 能 就 因 此 以 为 , 在 历 史 的

    任 何 时 期 中 , 都 确 实 可 以 得 出 这 样 的 结 论 , 虽 然 这 在 我 们 的

    眼 光 中 是 非 常 明 确 和 直 接 的 。 根 据 我 的 判 断 , 罗 马 法 的 遗 作

    中 没 有 任 何 一 节 可 以 用 来 证 明 法 学 专 家 确 曾 相 信 自 然 法 在 独

    立 国 家 之 间 有 任 何 拘 束 力 ; 并 且 我 们 不 得 不 看 到 , 对 于 把 君

    主 领 土 看 作 和 文 明 同 境 界 的 罗 马 帝 国 公 民 们 , 如 果 确 有 各 国

    平 等 隶 属 “ 自 然 法 ” 这 样 的 想 法 , 也 至 多 只 是 古 怪 理 论 的 一个 极 端 结 果 。 真 相 似 乎 是 : 现 代 的 “ 国 际 法 ” 虽 然 无 疑 是 罗

    马 法 的 后 裔 , 但 只 是 由 一 种 不 规 则 的 血 统 相 联 系 着 的 。 现 代

    早 期 的 罗 马 法 解 释 者 , 误 解 了 “ 万 民 法 ” 的 意 义 , 毫 不 犹 豫

    地 认 为 罗 马 人 传 给 了 他 们 一 套 调 整 国 际 事 务 的 法 律 制 度 。 在

    起 初 这 个 “ 国 际 法 ” 成 为 有 许 多 可 怕 的 竞 争 者 与 之 相 对 抗 的

    一 种 权 威 , 而 欧 洲 是 长 期 处 在 这 种 情 况 下 , 阻 碍 着 它 被 普 遍

    接 受 。 但 是 , 逐 渐 地 , 西 方 世 界 安 排 了 它 自 己 , 使 其 形 式 比

    较 适 合 于 民 法 学 家 的 理 论 ; 情 况 的 变 更 摧 毁 了 所 有 敌 对 学 理

    的 势 力 ; 最 后 , 在 一 个 罕 有 地 幸 运 的 机 会 , 阿 雅 拉 ( A y a l a ) 和

    格 罗 修 斯 终 于 为 它 取 得 了 欧 洲 的 热 诚 同 意 ; 这 种 同 意 曾 经 在

    每 一 个 不 同 的 庄 严 条 约 中 被 一 再 重 复 申 述 着 。 它 的 胜 利 主 要

    应 归 功 于 这 些 伟 大 人 物 , 他 们 并 且 企 图 把 它 放 在 一 个 完 全 新

    的 基 础 上 , 这 是 毋 庸 赘 述 的 ; 而 且 毫 无 疑 问 , 在 这 转 移 位 置

    的 过 程 中 , 他 们 改 变 了 很 多 它 的 结 构 , 虽 然 远 没 有 一 般 所 想

    象 的 那 么 多 。 格 罗 修 斯 既 然 从 安 托 宁 法 学 专 家 那 里 采 用 了 这

    个 论 点 , 认 为 “ 万 民 法 ” 和 “ 自 然 法 ” 是 同 一 的 , 他 和 他 的

    直 接 前 辈 及 直 接 后 继 者 便 使 “ 自 然 法 ” 具 有 一 种 权 威 , 这 种

    权 威 要 不 是 在 那 个 时 候 “ 国 际 法 ” 的 含 义 模 糊 不 清 , 是 也 许

    永 远 不 会 为 “ 自 然 法 ” 要 求 的 。 他 们 毫 无 保 留 地 主 张 “ 自 然

    法 ” 是 各 国 的 法 典 , 于 是 就 开 始 了 这 样 一 种 过 程 , 就 是 把 假

    定 是 从 单 纯 考 虑 “ 自 然 ” 概 念 而 求 得 的 各 种 规 定 灌 输 到 国 际

    制 度 中 去 , 这 个 过 程 几 乎 一 直 延 续 到 我 们 的 时 代 。 还 有 一 种

    对 于 人 类 有 着 巨 大 实 际 重 要 性 的 后 果 , 虽 然 在 欧 洲 早 期 现 代

    史 中 并 非 完 全 不 知 , 但 在 直 到 格 罗 修 斯 学 派 的 学 理 获 得 盛 行

    之 前 , 却 从 来 没 有 被 明 显 地 或 普 遍 地 承 认 过 。 如 果 各 个 国 家的 集 体 都 受 着 “ 自 然 法 ” 的 统 治 , 则 组 成 这 个 集 体 的 各 个 原

    子 必 须 绝 对 平 等 。 人 类 在 “ 自 然 ” 的 王 笏 之 下 , 是 一 律 平 等

    的 , 从 而 , 如 果 国 际 间 的 状 态 是 一 种 自 然 的 状 态 , 则 各 国 也

    一 定 是 平 等 的 。 独 立 的 国 家 不 论 , 大 小 强 弱 不 同 , 但 在 国 际

    法 的 眼 光 中 是 一 律 平 等 的 ; 这 个 命 题 对 人 类 的 幸 福 有 巨 大 的

    贡 献 , 虽 然 它 在 各 个 时 代 中 继 续 不 断 地 为 各 种 政 治 倾 向 所 威

    胁 着 。 如 果 “ 国 际 法 ” 不 是 由 文 艺 复 兴 后 的 公 法 学 家 们 完 全

    从 “ 自 然 ” 的 庄 严 主 张 中 求 得 , 那 末 这 个 学 理 可 能 永 远 不 能

    获 得 一 个 稳 固 的 立 足 点 。

    可 是 , 总 的 讲 起 来 , 象 我 在 前 面 已 经 说 过 的 , 自 从 格 罗

    修 斯 时 代 以 来 , 在 加 于 “ 国 际 法 ” 上 的 各 种 附 加 物 中 , 只 有

    很 小 一 部 分 是 从 罗 马 “ 万 民 法 ” 最 古 资 料 直 接 采 取 来 的 。 土

    地 的 取 得 始 终 是 引 起 国 家 野 心 的 巨 大 的 刺 激 物 ; 而 适 用 于 这

    种 取 得 的 法 律 规 定 , 以 及 消 除 因 土 地 取 得 而 造 成 的 战 争 的 法

    律 规 定 , 都 仅 仅 是 从 罗 马 法 中 有 关 取 得 “ 万 民 法 ” 财 产 的 各

    种 方 式 的 部 分 中 抄 袭 得 来 的 。 这 许 多 取 得 的 方 式 , 象 我 在 前

    面 已 经 企 图 说 明 的 , 都 是 由 前 辈 法 学 专 家 从 其 所 观 察 到 的 各

    种 惯 例 中 抽 象 出 来 的 一 些 共 同 要 素 , 这 些 惯 例 曾 经 流 行 于 罗

    马 周 围 各 部 落 间 ; 根 据 它 们 的 来 源 , 这 些 规 定 被 归 类 在 “ 各

    国 共 有 的 法 律 ” 中 , 再 由 于 他 们 的 单 纯 性 , 后 来 的 法 学 家 便

    认 为 它 们 恰 合 于 一 个 “ 自 然 法 ” 的 较 近 代 的 概 念 。 它 们 就 这

    样 编 进 了 现 代 的 “ 国 际 法 ” , 其 结 果 是 , 国 际 制 度 中 有 关 ·

    领土( d o m i n i o n ) 、 领 土 性 质 、 领 土 范 围 、 取 得 和 保 卫 领 土 方 式 的 那些 部 分 , 便 都 是 纯 粹 的 罗 马 “ 财 产 法 ” — — 这 就 是 说 , 罗 马

    “ 财 产 法 ” 中 的 那 些 部 分 , 曾 为 安 托 宁 法 学 专 家 想 象 为 和 自 然状 态 有 某 种 一 致 性 的 。 为 了 使 “ 国 际 法 ” 中 这 些 章 节 能 付 诸

    实 施 , 有 必 要 使 存 在 于 主 权 者 之 间 的 相 互 关 系 , 如 同 罗 马 所

    有 者 各 个 成 员 之 间 存 在 的 关 系 一 样 。 这 是 建 立 “ 国 际 法 典 ” 所

    依 据 的 各 种 假 定 中 的 另 一 个 假 定 , 而 这 也 是 在 现 代 欧 洲 史 开

    头 几 个 世 纪 中 不 可 能 被 同 意 的 一 个 假 定 。 这 个 假 定 可 以 被 分

    解 为 这 样 一 个 双 重 命 题 , 一 方 面 “ 主 权 是 领 土 的 ” , 即 它 是 始

    终 和 地 球 表 面 上 一 定 部 分 的 所 有 权 联 系 着 , 另 一 方 面 “ 主 权

    者 ·

    相 ·

    互 ·

    之 ·

    间 , 应 该 被 认 为 不 是 国 家 领 土 的最高 所 有 人 , 而 是

    ·

    绝 ·

    对 所 有 人 ” 。

    许 多 现 代 的 “ 国 际 法 ” 著 者 都 默 认 : 他 们 以 各 种 衡 平 和

    常 识 原 则 为 基 础 建 立 起 的 整 套 学 理 , 都 可 以 在 现 代 文 明 的 各

    个 阶 段 中 推 论 出 来 。 但 这 个 默 认 一 方 面 掩 盖 着 国 际 理 论 上 所

    存 在 的 某 些 真 正 缺 点 , 另 一 方 面 , 就 大 部 分 的 现 代 史 而 论 , 实

    在 是 完 全 不 足 取 的 。 在 匡 际 事 务 中 “ 万 民 法 ” 的 权 威 并 不 是

    始 终 不 受 到 反 抗 的 ; 相 反 的 , 它 不 得 不 长 时 期 地 和 几 种 相 竞

    争 的 制 度 不 断 斗 争 着 。 同 时 , 主 权 的 领 土 性 质 也 并 不 是 始 终

    被 承 认 着 的 , 因 为 在 罗 马 统 治 解 体 以 后 , 人 们 的 心 理 是 长 时

    期 地 处 在 和 这 类 概 念 不 相 协 调 的 观 念 的 支 配 之 下 。 在 “ 国 际

    法 ” 上 这 两 个 主 要 假 定 被 普 遍 承 认 之 前 , 一 个 旧 的 制 度 以 及

    建 筑 在 它 上 面 的 思 想 观 念 必 然 地 要 腐 败 , 一 个 新 的 欧 洲 , 以

    及 与 之 相 适 应 的 新 的 观 念 必 然 地 要 生 长 起 来 。

    有 一 桩 事 值 得 注 意 , 在 我 们 通 常 称 为 现 代 史 的 大 部 分 时期 中 , 没 有 接 受 过 所 谓领土主权 这 类 概 念 。 在 过 去 , 主 权 并不 是 和 对 地 球 上 一 部 分 或 再 小 部 分 的 土 地 的 控 制 联 系 在 一 起的 。 世 界 曾 有 这 样 许 多 世 纪 长 期 处 于 罗 马 帝 国 的 庇 护 之 下 , 以致 忘 记 了 包 括 在 帝 国 中 的 广 大 空 间 在 过 去 曾 一 度 被 划 分 成 许多 独 立 国 家 , 它 们 都 主 张 有 权 不 受 外 来 的 干 预 , 并 且 标 榜 着

    国 家 权 利 应 该 一 律 平 等 。 在 蛮 族 入 侵 平 靖 后 , 关 于 主 权 当 时

    流 行 着 的 观 念 , 似 乎 具 有 双 重 意 义 。 一 方 面 它 有 着 所 谓 “部落 主 权 ” 的 形 式 。 法 兰 克 人, 勃艮第人, 汪 达 尔 人,伦巴达人以 及 西 哥 特 人, 当 然 都 是 他 们 所 占领 着 的 土 地 的 主 人 , 其 中 有 几 种 人 并 以 他 们 自 己 的 名 字 作 为

    土 地 的 地 理 名 称 ; 但 是 他 们 并 不 根 据 土 地 占 有 的 事 实 而 主 张

    任 何 权 利 , 并 且 在 实 际 上 甚 至 对 于 占 有 的 事 实 也 并 不 认 为 有

    任 何 特 别 重 要 性 。 他 们 似 乎 还 保 留 着 他 们 由 森 林 中 和 草 原 上

    所 带 来 的 传 统 , 按 照 他 们 自 己 的 看 法 , 仍 旧 是 一 个 宗 法 社 会 ,

    一 个 游 牧 部 落 , 只 是 暂 时 驻 扎 在 能 供 给 他 们 粮 食 的 土 地 上 而

    已 。 阿 尔 卑 斯 北 高 卢 的 一 部 分 加 上 了 日 耳 曼 的 一 部 分 , 现 在

    已 成 为 法 兰 克 人 在事实上 占 领 的 国 家 — — 就 是 法 兰 西 ; 但 克洛维的 后 裔 即 墨 洛 温王 朝 的 首 领们 并 不 是 法 兰 西 的 国 王 而 是 法 兰 克 人 的 国 王 。 另 外 一 种 有 关主 权 的 特 殊 观 念 , 似 乎 是 — — 这 是 重 要 的 一 点 — — 普 遍 领 土

    的 观 念 。 当 一 个 君 主 失 去 了 领 袖 与 其 部 族 之 间 的 特 殊 关 系 , 并

    为 了 个 人 的 目 的 急 切 要 取 得 一 个 新 的 主 权 形 式 时 , 他 所 能 采

    用 的 唯 一 先 例 是 罗 马 皇 帝 们 的 霸 术 。 胡 乱 摹 仿 一 句 谚 语 , 他成 了 “不为凯撒,即为庸人”的人 。 或 则 他 享 有 拜 占 廷 皇 帝的 全 部 特

    权 , 或 则 他 完 全 没 有 任 何 政 治 地 位 。 在 我 们 这 个 时 代 , 当 一

    个 新 的 王 朝 希 望 废 去 被 黜 免 皇 朝 的 名 号 时 , 它 往 往 喜 欢 说 它的 称 号 来 自人民 而 不 是领土 。 这 样 , 我 们 便 有 了 一 些 法 兰 西

    皇 帝 和 国 王 , 还 有 一 个 比 利 时 人 的 国 王 。 在 我 们 所 谈 到 的 时

    期 中 , 在 类 似 的 情 况 下 , 还 出 现 了 另 外 一 种 不 同 的 观 念 。 一

    个 “ 首 领 ” 如 果 不 想 再 自 称 为 部 落 国 王 , 必 定 会 要 求 成 为 世

    界 的 皇 帝 。 这 样 , 当 世 袭 的 权 臣 们 和 实 际 上 久 已 废 立 的 君 主

    们 相 决 裂 时 , 他 们 立 即 不 愿 自 称 为 法 兰 克 人 的 国 王 , 这 个 称

    号 是 属 于 被 废 黜 的 墨 洛 温 的 ; 但 他 们 又 不 能 自 称 为 法 兰 西 的

    国 王 , 因 为 , 虽 然 这 类 称 号 显 然 并 不 是 不 见 经 传 的 , 却 也 不

    是 一 个 尊 严 的 称 号 。 因 此 , 他 们 就 进 而 矢 志 为 世 界 帝 国 的 统

    治 者 。 他 们 的 动 机 曾 被 大 大 地 误 解 。 近 代 法 国 作 家 们 曾 认 为 ,

    查 理 曼是 远 远 超 过 他 的 同 时 代 人 的 , 不 但 在

    其 意 图 的 性 质 上 如 此 , 即 在 他 执 行 这 些 意 图 所 用 的 能 力 上 也

    是 如 此 。 不 论 是 否 有 人 在 任 何 时 期 都 是 超 过 他 的 同 时 代 人 的 ,

    但 有 一 点 必 然 是 真 的 , 即 查 理 曼 在 企 求 一 个 无 限 制 的 领 土 时 ,

    确 是 有 力 地 采 取 了 他 当 时 的 时 代 思 想 所 准 许 他 遵 循 的 唯 一 的

    道 路 。 关 于 他 在 智 力 上 的 卓 越 , 当 然 是 毫 无 疑 问 的 , 但 这 种

    卓 越 不 是 由 他 的 理 论 而 是 由 他 的 行 为 证 明 的 。

    在 见 解 上 的 这 些 特 性 , 并 不 因 为 查 理 曼 的 遗 产 为 其 三 个

    孙 子 所 分 割 而 有 所 变 更 。 秃 头 查 理、 路易和 罗 退 耳仍 旧 在 理 论 上 — — 如 果 用 这个 词 是 适 当 的 — — 是 罗 马 的 皇 帝 。 正 犹 如 东 罗 马 帝 国 与 西 罗马 帝 国 的 “ 凯 撒 ” ·

    在 ·

    法 ·

    律 ·

    上 都 是 全 世 界 的 皇 帝 , 而 ·

    在 ·

    事 ·

    实 ·

    则 只 各 自 统 治 着 其 中 的 一 半 , 这 三 个 加 洛 温 朝 的 皇 帝 似 乎 都

    认 为 他 们 的 权 力 是 有 限 的 , 但 是 他 们 的 称 号 是 无 限 的 。 这 同

    一 的 纯 理 论 的 主 权 普 遍 性 在 肥 硕 查 理死 亡 , 发 生 第 二 次 分 裂 时 仍 继 续 和 王 位 联 系 着 , 并 且 , 真 的 ,

    在 日 耳 曼 帝 国 存 续 期 间 内 , 从 来 没 有 完 全 和 它 分 离 过 。 领 土

    主 权 — — 这 种 把 主 权 与 地 球 表 面 上 一 块 土 地 的 占 有 联 系 起 来

    的 见 解 — — 明 显 地 是 ·

    封 ·

    建 ·

    制 ·

    度 的 一 个 支 流 , 虽 然 是 一 个 迟 缓

    的 支 流 。 这 可 能 是 ·

    先 ·

    天 ·

    的 预 期 的 , 因 为 第 一 次 把 个 人 义 务 , 结

    果 也 就 是 把 个 人 权 利 和 土 地 所 有 权 联 系 起 来 的 是 封 建 制 度 。

    对 于 封 建 制 度 的 渊 源 和 其 法 律 性 质 , 不 论 正 当 见 解 应 当 是 怎

    样 , 要 鲜 明 地 想 象 封 建 组 织 的 最 好 方 式 , 应 从 它 的 基 础 开 始 ,

    先 考 虑 佃 农 同 设 定 和 限 制 其 劳 务 的 小 块 土 地 之 间 的 关 系 — —

    而 后 通 过 上 层 封 建 建 筑 的 狭 小 范 围 而 一 直 上 升 以 至 接 近 于 这

    制 度 的 顶 点 。 在 黑 暗 时 代 的 后 期 , 这 个 顶 点 究 竟 在 什 么 地 方 ,

    是 不 容 易 决 定 的 。 可 能 , 在 部 落 主 权 的 概 念 确 实 消 失 的 地 方 ,

    这 个 最 高 之 点 始 终 被 指 向 着 西 罗 马 帝 国 凯 撒 的 假 定 承 继 人 。

    但 是 过 了 不 久 , 当 帝 国 权 威 的 实 际 影 响 大 大 萎 缩 时 , 皇 帝 把

    他 仅 有 的 残 余 权 力 集 中 于 日 耳 曼 和 北 意 大 利 , 所 有 在 前 加 洛

    温 帝 国 四 周 的 最 高 封 建 主 发 觉 了 在 他 们 上 面 实 际 上 已 经 没 有

    一 个 最 高 首 领 。 逐 渐 地 他 们 就 习 惯 于 这 种 新 的 形 势 , 而 已 免

    除 外 来 干 涉 的 这 个 事 实 , 终 于 把 依 附 的 理 论 隐 灭 掉 ; 当 然 有

    许 多 征 象 表 明 , 这 个 变 化 的 完 成 并 不 是 十 分 容 易 的 ; 而 且 我

    们 得 毫 无 疑 问 地 认 为 , 由 于 这 样 一 种 印 象 , 就 是 说 , 根 据 事

    物 的 自 然 性 质 , 必 然 地 要 在 某 些 地 方 有 一 个 最 高 的 统 治 权 , 就

    产 生 了 不 断 地 把 世 俗 上 的 无 上 权 力 归 属 于 罗 马 教 皇 的 倾 向 。

    法 兰 西 加 佩 王 朝 的 接 位 , 标 志 着 思 想 革 命 中 第 一 阶 段 的 完 成 。

    这 个 环 绕 着 巴 黎 四 周 有 限 领 土 的 封 建 诸 侯 , 由 于 大 量 的 宗 主

    权 结 合 于 本 身 这 一 个 偶 然 事 件 而 开 始 自 称 为 ·

    法 ·

    兰 ·

    西 ·

    国 ·

    王 , 他成 为 了 一 种 全 然 新 的 意 义 的 国 王 , 一 个 主 权 者 , 他 对 法 兰 西

    土 地 的 关 系 和 男 爵 对 于 封 邑 、 佃 农 对 于 自 由 产 的 关 系 完 全 相

    同 。 这 个 先 例 不 但 是 新 奇 的 , 同 时 也 是 有 影 响 的 。 在 法 兰 西

    的 这 种 君 治 的 形 式 , 有 力 地 促 使 其 他 地 方 向 同 一 个 方 向 变 化 。

    我 盎 格 鲁 - 撒 克 逊王 室 的 王 位 这 时 处 于 一个 部 落 首 领 和 领 土 最 高 统 治 权 的 中 途 。 但 是 诺 曼王朝 诸 王 最 高 权 模 仿 着 法 兰 西 国 王 , 明 显 地 是 一 种 领 土 主 权 。 在

    以 后 建 立 的 或 巩 固 的 每 一 个 统 治 权 , 都 根 据 了 后 一 种 模 型 而

    组 成 。 西 班 牙 、 那 不 勒 斯以 及 在 意 大 利 自 由 市 废 墟

    上 建 立 起 来 的 各 个 诸 侯 国 家 , 都 由 领 土 主 权 的 统 治 者 统 治 着 。

    从 一 个 见 解 逐 渐 转 变 到 另 一 个 见 解 的 事 例 中 , 我 认 为 最 最 离

    奇 的 莫 如 ·

    威 ·

    尼 ·

    斯 ·

    人。 在 其 对 外 征 伐 开 始 时 , 这 个共 和 国 自 视 为 和 罗 马 共 和 政 治 同 一 类 型 的 国 家 , 统 治 着 许 多

    的 属 省 。 经 过 了 一 个 世 纪 以 后 , 你 就 可 以 发 现 它 却 希 望 成 为一 个 集 合 的 主 权 国 家 , 对 它 在 意 大 利 和 爱 琴 海所 有的 占 有 地 拥 有 一 个 封 建 宗 主 国 的 权 利 。

    关 于 主 权 这 个 主 题 的 各 种 通 俗 观 念 在 经 历 着 显 著 变 化 的时 期 内 , 作 为 我 们 今 日 称 为 “ 国 际 法 ” 的 制 度 , 在 形 式 上 是杂 乱 无 章 的 , 在 原 则 上 也 是 不 符 合 它 所 祈 求 的 目 的 的 。 在 罗马-日耳 曼 帝 国 内 的 一 部 分 欧 洲 土 地 上 , 联 邦 国 家 之 间 的 关系 是 由 复 杂 的 但 还 不 完 全 的 帝 国 宪 法 机 构 所 约 束 着 ; 并且这在 我 们 看 来 也 许 是 可 惊 异 的 , 日 耳 曼 法 学 家 所 爱 好 的 观 念 仍旧 是 : 联 邦 国 之 间 的 关 系 , 不 论 在 帝 国 之 内 或 在 帝 国 之 外 应该 根 据 以 凯 撒 为 中 心 的 纯 粹 罗 马 法 律 学 的 规 定 而 不 应 该 根 据“万 民 法 ” 的 规 定 。 这 个 学 理 在 边 远 的 各 国 中 没 有 像 我 们 早 先所 假 定 那 样 地 被 大 胆 抛 弃 ; 但 是 在 实 质 上 , 在 欧 洲 的 其 余 的地 方 , 封 建 的 部 属 已 成 为 公 法 的 一 种 代 替 品 ; 当 那 些 封建从属 犹 疑 不 定 暧 昧 不 明 时 , 至 少 在 理 论 上 , 从 “ 教 会 ” 领袖的权 威 上 面 找 到 一 种 最 高 的 支 配 力 。 虽 然 是 这 样 , 但 可 以 断 定,封 建 和 教 会 的 势 力 在 十 五 世 纪 甚 至 在 十 四 世 纪 年 代 中 就 已 开

    始 迅 速 衰 败 了 ; 如 果 我 们 密 切 审 视 一 下 当 时 各 次 战 事 的 借 口

    以 及 公 开 的 联 盟 动 机 , 就 可 以 看 到 , 以 后 为 阿 雅 拉 和 格 罗 修

    斯 所 调 和 和 巩 固 的 各 种 见 解 , 正 随 着 旧 原 则 一 步 步 地 被 代 替

    而 有 着 重 要 的 进 展 , 虽 然 这 种 进 展 是 默 默 无 声 的 , 并 且 是 很

    缓 慢 的 。 来 自 各 个 渊 源 的 权 威 有 没 有 经 熔 合 而 最 后 成 为 一 个

    国 际 关 系 的 制 度 , 以 及 这 个 制 度 究 竟 在 实 质 上 是 不 是 和 格 罗

    修 斯 的 结 构 有 什 么 不 同 , 现 在 已 无 法 加 以 断 定 , 因 为 在 事 实

    上 “ 宗 教 改 革 ” 已 经 把 它 所 有 的 有 力 要 素 , 除 了 一 点 之 外 , 全

    部 消 灭 。 “ 宗 教 改 革 ” 从 日 耳 曼 开 始 , 它 在 帝 国 的 各 个 诸 侯 之

    间 用 深 而 且 广 的 鸿 沟 分 裂 开 来 , 纵 使 帝 国 元 首 保 持 中 立 , 也

    已 无 法 用 帝 国 最 高 统 治 来 加 以 沟 通 。 帝 国 元 首 于 是 不 得 不 袒

    护 教 会 以 反 对 改 革 者 ; 教 皇 自 然 也 是 处 在 同 样 的 苦 境 中 ; 这

    样 , 这 原 来 在 敌 对 双 方 之 间 负 有 调 停 职 责 的 两 个 当 局 者 本 身

    就 成 为 了 各 国 分 裂 中 的 一 个 大 党 的 首 领 。 在 这 时 声 势 已 被 削

    弱 , 并 且 已 不 能 被 认 为 是 公 共 关 系 中 的 一 个 原 则 而 加 以 信 任

    的 封 建 主 义 , 已 不 复 是 足 够 稳 定 并 可 以 和 宗 教 联 盟 相 匹 敌 的

    一 种 约 束 力 。 因 此 , 在 公 法 处 于 几 乎 混 乱 状 态 的 情 况 下 , 那

    些 被 认 为 是 罗 马 法 学 专 家 唯 一 加 以 认 可 的 一 个 国 家 制 度 的 各种 观 念 , 仍 旧 继 续 存 在 。 这 些 观 念 从 格 罗 修 斯 手 中 获 得 的 形式 、 均 称 和 卓 越 性 , 为 每 一 个 学 者 所 熟 知 。 但 “ 战 事 与 和 平法 规 论 ” 这 部 巨著 的 惊 人 之 处 则 在 其 迅 速 、 完 全 和 普 遍 的 成 功 上 。 “ 三 十 年 战争 ” 的 惨 状 , 军 人 毫 无 拘 束 的 放 纵 行 为 所 激 起 的 无 边 恐 怖 和

    憾 事 , 无 疑 地 , 在 某 种 程 度 上 , 可 以 被 用 来 说 明 这 种 成 功 的

    原 因 , 但 是 这 还 不 能 作 为 全 部 的 说 明 。 因 为 只 要 对 当 时 的 各

    种 观 念 略 为 浏 览 一 下 , 就 可 以 使 我 们 深 信 在 格 罗 修 斯 的 伟 大

    著 作 中 描 绘 出 来 的 国 际 大 厦 的 基 本 图 样 , 如 果 不 是 在 理 论 上很 完善 的 话 , 那 它 就 很 可 能 会 被 法 学 家 所 抛 弃 , 被 政 治 家 及士 兵 们 所 藐 视 。

    显 然 , 格 罗 修 斯 制 度 在 纯 理 论 上 的 完 善 性 是 和 我 们 所 讨论 的 那 个 领 土 主 权 概 念 密 切 地 联 系 着 的 。 “ 国 际 法 ” 理 论 所 作出 的 假 定 是 : 各 个 共 和 政 治 在 其 相 互 关 系 上 处 在 一 种 自然 状态 中 ; 但 是 一 个 自 然 社 会 的 各 个 组 成 原 子 根 据 这 个 基 本 假 设必 须 是 互 相 分 离 和 各 自 独 立 的 。 如 果 有 一 个 较 高 的 权 力 由 于对 共同 最 高 统 治 权 的 要 求 而 把 它 们 联 结 起 来 , 纵 使 这 种 联 结是 很 薄 弱 的 并 且 也 是 偶 然 的 , 但 正 是 这 一 个 共 同 领 导 者 的 概念 引 进 了 现 实 法 的 观 念 , 排 斥 了 一 个 自 然 法 的 观 念 。 因此,如果 一 个 帝 国 元 首 的 普 遍 宗 主 权 , 即 使 仅 仅 是 在 理 论 上 被得到承 认 , 格 罗 修 斯 的 努 力 就 可 能 会 变 成 徒 劳 。 这 也 不 是现代公法 和 我 企 图 描 述 其 发 展 的 有 关 主 权 的 各 种 见 解 之 间 的 唯一结合之 点 。 我 曾 经 说 过 , 国 际 法 律 学 中 有 些 部 门 完 全 是 由 罗马“财 产 法 ” 组 成 的 。 那 末 我 们 可 以 得 到 什 么 推 论 呢 ? 推 论 是:在 对 主 权 所 作 的 评 价 中 如 果 没 有 象 我 所 描 述 的 那 种 变化——如 果 主 权 并 没 有 和 地 球 上 一 块 土 地 的 所 有 权 联 系 起 来 , 换言之 , 并 没 有 成 为 对 领 土 的 主 权 — — , 则 格 罗 修 斯 的 理 论 , 就将 有 四 分 之 三 无 法 加 以 适 用 。

    第 五 章   原 始 社 会 与 古 代 法

    在 近 代 , 法 律 学 这 个 主 题 作 为 科 学 研 究 的 必 要 性 , 是 一向 被 重 视 的 , 由 于 感 到 这 种 必 要 而 提 出 的 论 文 来 自 各 个 不 同方 面 , 但 是 , 如 果 说 , 到 现 在 为 止 , 被 认 为 是 科 学 的 东 西 实际 上 绝 大 部 分 仅 只 是 一 些 推 测 , 只 是 一 些 在 前 面 二 章 中 所 研究 的 罗 马 法 学 家 的 推 测 , 我 以 为 并 不 能 认 为 太 武 断 。 明 白 承认 和 采 用 一 个 自 然 状 态 ; 以 及 与 其 性 质 相 类 似 的 原 则 制 度 的各 种 推 测 理 论 , 其 有 关 的 一 系 列 论 文 , 从 这 些 理 论 发 明 者 的时 代 起 一 直 到 我 们 今 天 为 止 , 始 终 被 继 续 着 , 很 少 中 断 。它们 出 现 于 奠 定 现 代 法 律 学 基 础 的 注 释 学 派 的 注 解 中 , 出 现 于继 承 他 们 的 经 院 法 学 家 的 作 品 中 。 它 们 可 以 在 寺 院 法 学者的教 条 中 看 到 。 它 们 被 那 些 在 文 艺 复 兴 时 代 极 为 活 跃 的 博 学 多能 的 民 法 学 家 放 置 在 杰 出 的 地 位 。 格 罗 修 斯 及 其 继 承 人 不 但

    使 它 们 具 有 实 际 的 重 要 性 , 并 且 使 它 们 变 得 更 加 辉 煌 更 加 可

    以 赞 誉 。 在 我 国 布 拉 克 斯 顿 的 开 头 几 章 中 也 可 以 看 到 它 们 , 他

    把 它 们 原 封 不 动 地 从 柏 拉 玛 克 ( B u r l a m a q u i ) 中 照 抄 下 来 , 而凡 是 今 天 所 刊 印 的 用 以 为 学 者 或 实 务 者 作 指 导 的 各 种 教 科

    书 , 在 它 们 开 头 讨 论 法 律 的 基 本 原 理 时 往 往 就 会 被 发 觉 , 这

    些 基 本 原 理 就 是 罗 马 假 设 的 一 次 重 复 申 述 。 但 是 , 正 由 于 这

    些 推 测 有 时 用 以 掩 盖 其 自 己 的 伪 装 , 如 同 其 原 来 的 形 式 一 样 ,

    使 我 们 对 于 它 们 混 杂 于 人 类 思 想 中 的 技 巧 , 能 获 得 一 个 充 分的 观 念 。 洛 克 所 主 张 的 “ 法 律 ” 起 源 于 一 个 “ 社 会 契 约 ” 的理 论 , 很 难 隐 瞒 其 来 自 罗 马 的 特 点 , 事 实 上 , 这 个 理 论 只 是

    使 古 代 见 解 对 现 代 人 中 特 殊 的 一 代 具 有 更 大 吸 引 力 的 外 衣 而

    已 ; 可 是 , 在 另 一 方 面 , 霍 布 斯 就 同 一 主 题 所 提 出 的 理 论 , 却

    故 意 否 认 罗 马 人 及 其 门 徒 所 设 想 的 一 个 自 然 法 的 现 实 性 。 然

    而 在 这 个 把 英 国 有 代 表 性 的 政 治 家 长 期 分 成 为 两 个 敌 对 阵 营

    的 两 种 理 论 中 , 有 一 点 却 是 彼 此 之 间 极 为 相 似 的 , 就 是 它 们

    都 以 人 类 的 、 非 历 史 的 、 无 法 证 实 的 状 态 作 为 他 们 的 基 本 假

    设 , 这 两 个 理 论 的 作 者 , 对 于 社 会 产 生 前 状 态 的 各 种 特 征 , 以

    及 对 于 人 类 凭 以 脱 离 这 种 社 会 产 生 前 状 态 进 入 我 们 所 熟 悉 的

    仅 有 的 那 种 社 会 组 织 的 异 常 活 动 的 性 质 , 有 着 分 歧 的 看 法 。 但

    是 他 们 却 一 致 同 意 , 认 为 在 原 始 状 态 中 的 人 和 在 社 会 产 生 后

    的 人 两 者 之 间 , 存 在 着 一 个 巨 大 的 鸿 沟 把 他 们 分 离 开 来 , 我

    们 毫 不 怀 疑 , 这 个 观 点 正 是 他 们 有 意 识 地 或 者 无 意 识 地 从 罗

    马 人 那 里 借 用 来 的 。 如 果 法 律 现 象 的 确 象 这 些 理 论 家 所 认 为

    的 那 样 — — 即 认 为 是 一 个 庞 大 、 复 杂 的 整 体 — — , 那 么 , 也

    就 难 怪 人 心 往 往 要 规 避 它 所 担 任 的 工 作 , 否 则 它 有 时 候 就 会

    失 望 地 放 弃 系 统 化 的 工 作 ; 而 人 心 所 采 取 的 规 避 的 办 法 , 是

    退 而 求 助 于 某 种 似 乎 可 以 调 和 一 切 事 物 的 智 巧 的 推 测 。

    在 和 罗 马 学 理 有 着 同 样 的 思 想 基 础 的 各 种 法 律 学 理 论

    中 , 有 两 种 非 常 著 名 的 理 论 , 必 须 除 外 。 其 中 的 第 一 种 是 和

    孟 德 斯 鸠 的 大 名 有 联 系 的 。 虽 然 在 “ 论 法 的 精 神 ” 的 开 始 部

    分 中 , 有 一 些 模 糊 辞 句 似 乎 表 明 作 者 不 愿 与 当 时 流 行 着 的 各

    种 见 解 公 然 决 裂 , 但 从 全 书 的 大 意 来 看 , 它 对 其 主 题 所 表 示

    的 概 念 当 然 是 和 前 人 所 发 表 的 见 解 完 全 不 同 的 。 在 它 从 各 种假 定 的 法 律 学 制 度 中 通 过 广 泛 深 入 观 察 而 搜 集 起 来 的 大 量 种

    类 繁 杂 的 例 子 中 间 , 常 常 可 以 看 到 有 一 种 明 显 的 渴 望 , 想 把

    因 其 粗 鲁 、 奇 异 或 猥 亵 而 使 文 明 的 读 者 为 之 震 惊 的 那 些 风 尚

    和 制 度 ; 置 于 特 别 杰 出 的 地 位 。 书 中 不 断 地 提 出 的 推 测 是 : 法

    律 是 气 候 、 当 地 情 况 、 偶 然 事 件 或 诈 欺 的 产 物 — — 是 除 了 相

    当 经 常 发 生 作 用 的 原 因 以 外 任 何 原 因 的 产 物 。 在 事 实 上 , 孟

    德 斯 鸠 似 乎 把 人 类 的 本 性 看 做 是 完 全 可 塑 性 的 , 它 只 是 在 被

    动 地 重 复 着 它 从 外 界 所 接 受 的 印 象 , 在 绝 对 地 听 命 着 它 从 外

    界 所 接 受 的 刺 激 。 而 他 的 制 度 所 以 不 能 成 为 一 个 制 度 , 无 疑

    地 , 错 误 就 是 在 这 里 。 他 过 低 地 估 计 了 人 类 本 性 的 稳 定 性 。 他

    很 少 或 完 全 不 重 视 种 族 的 遗 传 性 质 , 即 每 一 代 从 前 辈 接 受 下

    来 再 一 代 代 传 下 去 很 少 加 以 改 变 的 性 质 。 的 确 , 除 非 对 “ 论

    法 的 精 神 ” 中 所 注 意 到 的 那 些 变 更 原 因 给 予 应 有 的 承 认 , 要

    对 社 会 现 象 、 因 而 也 对 于 法 律 提 供 一 个 完 全 的 说 明 是 不 可 能

    的 ; 但 这 些 原 因 的 数 量 和 其 力 量 , 似 乎 为 孟 德 斯 鸠 过 高 地 估

    计 了 。 在 他 所 罗 列 的 变 例 中 , 有 许 多 已 被 证 明 是 建 筑 在 虚 伪

    的 报 告 或 错 误 的 解 释 上 , 而 在 剩 余 下 来 的 一 些 变 例 中 , 有 不

    少 不 是 证 明 人 类 本 性 的 变 化 无 常 , 相 反 地 却 证 明 了 其 恒 久 不

    变 , 因 为 它 们 都 是 人 类 在 较 古 远 的 时 期 顽 固 地 抗 拒 了 在 别 种

    场 合 可 能 会 发 生 效 果 的 各 种 影 响 而 遗 留 下 来 的 遗 物 。 真 相 是 ,

    在 我 们 智 力 的 、 道 德 的 和 体 力 的 组 成 中 , 绝 大 部 分 都 是 属 于

    稳 定 部 分 , 它 对 于 变 化 具 有 巨 大 的 抵 抗 力 , 因 此 虽 然 世 界 上

    一 个 部 分 的 人 类 社 会 是 明 显 地 变 化 多 端 的 , 但 这 些 变 化 并 非

    如 此 迅 速 , 也 不 是 如 此 广 泛 , 以 致 其 数 量 、 性 质 及 一 般 趋 向

    会 达 到 不 可 能 确 定 的 地 步 。 以 我 们 今 日 有 限 知 识 所 可 能 达 到的 , 也 许 只 是 比 较 地 接 近 的 真 理 , 但 我 们 没 有 理 由 以 为 这 是非 常 遥 远 的 , 或 以 为 ( 实 在 是 同 样 的 东 西 ) 它 须 要 在 将 来作很 大 的 修正,因 此 是 完 全 无 用 的 和 不 足 为 训 的 。

    前 面 所 谈 的 另 外 一 种 理 论 是 边 沁 的 历 史 理 论 。 这 个 理 论

    在 边 沁 的 著 作 的 有 几 个 部 分 中 模 糊 地 ( 并 且 可 以 说 是 胆 小

    地 ) 提 出 来 , 和 他 在 “ 政 府 论 丛 ” 中 开 其 端 , 后 来 由 约 翰 ·

    奥 斯 丁 先 生 加 以 完 成 的 有 关 法 律 概 念 的 分 析 完 全 不 同 。 把 一

    条 法 律 还 原 为 在 特 殊 情 况 下 适 用 的 一 种 特 殊 性 的 命 令 , 目 的

    只 是 为 了 使 我 们 可 以 摆 脱 言 语 上 的 困 难 — — 这 当 然 是 一 种 最

    可 怕 的 困 难 。 至 于 社 会 所 以 把 这 些 命 令 加 诸 自 己 身 上 , 其 动

    机 何 在 , 这 些 命 令 相 互 之 间 的 联 系 如 何 , 以 及 它 们 对 在 它 们

    以 前 的 命 令 及 对 它 们 所 代 替 的 命 令 的 依 附 性 质 又 如 何 这 一 些

    问 题 , 仍 旧 是 悬 而 未 决 。 边 沁 所 提 出 的 答 案 是 , 社 会 因 其 对

    一 般 权 宜 措 施 的 见 解 有 所 变 更 而 变 更 着 、 并 且 是 不 断 地 变 更

    着 法 律 。 很 难 说 这 个 命 题 是 错 误 的 , 但 它 肯 定 是 没 有 效 果 的 。

    因 为 , 所 谓 对 一 个 社 会 或 毋 宁 说 是 对 社 会 的 统 治 阶 级 是 权 宜

    的 东 西 , 实 际 上 必 然 地 就 是 社 会 在 作 出 变 更 时 心 目 中 所 想 要

    达 到 的 目 的 , 不 论 这 个 目 的 是 什 么 。 所 谓 权 宜 和 最 大 幸 福 , 实

    在 就 是 推 动 变 更 的 冲 动 , 不 过 名 称 不 同 而 已 ; 当 我 们 把 权 宜

    作 为 是 变 更 法 律 或 意 见 的 准 则 时 , 我 们 从 这 个 命 题 中 所 能 得

    到 的 , 只 是 用 一 个 特 别 名 词 来 代 替 当 我 们 说 一 次 变 更 发 生 了时 必 然 地 要 想 到 的 另 一 个 名 词 而 已 。

    对 于 现 有 的 各 种 法 律 学 理 论 , 存 在 着 非 常 广 泛 的 不 满 , 并且 一 般 都 认 为 这 些 理 论 不 能 真 正 解 决 它 们 标 榜 着 要 解 决 的 问题 , 因 此 就 正 当 地 产 生 了 这 样 的 一 种 怀 疑 , 就 是 说 为 了 要 求得 一 个 完 美 的 结 果 所 必 须 的 某 些 方 面 的 研 究 ; 或 者 为 其 著 者进 行 得 不 够 彻 底 , 或 者 是 甚 至 完 全 被 忽 略 了 。 真 的 , 也 许 除了 孟 德 斯 鸠 外 , 在 所 有 这 些 纯 理 论 中 , 的 确 都 有 一 个 可 以 指责 的 显 著 遗 漏 。 在 这 些 纯 理 论 中 , 都 忽 视 了 在 它 们 出 现的特定 时 间 以 前 很 遥 远 的 时 代 中 , 法 律 在 实 际 上 究 竟 是 怎 样 的 。 这

    些 纯 理 论 的 创 造 者 详 细 地 观 察 了 他 们 自 己 时 代 的 各 种 制 度 和

    文 明 以 及 在 某 种 程 度 上 能 迎 合 他 们 心 理 的 其 他 时 代 的 各 种 制

    度 和 文 明 , 但 是 当 他 们 把 其 注 意 力 转 向 和 他 们 自 己 的 在 表 面

    上 有 极 大 差 别 的 古 代 社 会 状 态 时 , 他 们 便 一 致 地 停 止 观 察 而

    开 始 猜 想 了 。 因 此 , 他 们 所 犯 的 错 误 , 正 和 一 个 考 察 物 质 宇

    宙 规 律 的 人 , 把 他 的 考 虑 从 作 为 一 个 统 一 体 的 现 存 物 理 世 界

    开 始 而 不 从 作 为 其 最 简 单 构 成 要 素 的 各 个 分 子 着 手 时 所 犯 的

    错 误 , 很 相 类 似 。 这 种 在 科 学 上 违 背 常 理 的 方 法 , 在 任 何 其

    他 思 想 领 域 中 不 可 采 用 , 那 在 法 律 学 中 当 然 也 是 同 样 不 足 取

    的 。 似 乎 在 先 就 可 以 看 到 , 我 们 应 该 从 最 简 单 的 社 会 形 式 开

    始 , 并 且 越 接 近 其 原 始 条 件 的 一 个 状 态 越 好 。 换 言 之 , 如 果

    我 们 要 采 用 这 类 研 究 中 所 通 常 遵 循 的 道 路 , 我 们 就 应 该 尽 可

    能 地 深 入 到 原 始 社 会 的 历 史 中 。 早 期 社 会 所 提 供 给 我 们 的 各

    种 现 象 并 不 是 一 看 就 容 易 理 解 的 , 但 要 掌 握 住 这 些 现 象 时 所

    遇 到 的 困 难 , 和 在 考 究 现 代 社 会 组 织 错 综 复 杂 情 况 时 使 我 们

    遭 受 的 困 惑 , 是 不 能 相 比 的 。 这 种 困 难 的 产 生 ; 是 由 于 它 们

    的 奇 怪 和 异 样 , 而 不 是 由 于 它 们 的 数 量 和 复 杂 性 。 当 人 们 用

    一 种 现 代 的 观 点 来 观 察 这 些 现 象 时 必 然 会 引 起 不 易 很 快 克 服

    的 惊 奇 ; 但 当 惊 奇 被 克 服 时 , 它 们 就 将 很 少 也 很 简 单 的 了 。 不过 纵 使 它 们 造 成 了 很 大 的 困 难 , 我 们 不 辞 劳 苦 以 确 定 这 些 胚种 也 不 会 是 浪 费 精 力 的 。 因 为 现 在 控 制 着 我 们 行 动 以 及 塑 造着 我 们 行 为 的 道 德 规 范 的 每 一 种 形 式 , 必 然 可 以 从 这 些 胚 种当 中 展 示 出 来 。

    我 们 所 能 知 道 的 社 会 状 态 的 雏 形 , 来 自 三 种 记 录 — — 即

    观 察 者 对 于 同 时 代 比 较 落 后 的 各 种 文 明 的 记 事 , 某 一 个 特 殊

    民 族 所 保 存 下 来 的 关 于 他 们 的 原 始 历 史 的 记 录 , 以 及 古 代 的

    法 律 。 第 一 种 证 据 是 我 们 可 以 预 期 的 最 好 的 一 种 。 各 个 社 会

    既 不 是 同 时 并 进 而 是 按 着 不 同 速 度 前 进 的 , 因 此 确 有 这 样 一

    些 时 期 , 凡 是 受 到 有 系 统 的 观 察 习 惯 训 练 的 人 们 , 能 真 正 有

    机 会 可 以 看 到 人 类 的 幼 年 , 并 加 以 描 述 。 塔西佗曾尽 量 利 用 了 这 种 机 会 ; 但 是 他 所 著 的 “ 日 耳 曼 ” 一书 , 不 像 大 多 数 著 名 的 经 典 著 作 一 样 , 没 有 能 引 起 别 人 去 仿 效 他 的 优 秀 榜 样 ; 因 此 我 们 现 在 所 保 有 的 这 一 类 的 记 录 , 数

    量 非 常 之 少 。 文 明 人 对 于 其 野 蛮 的 邻 人 往 往 有 一 种 傲 慢 之 感 ;

    这 就 使 他 们 往 往 明 显 地 不 屑 于 观 察 他 们 , 而 这 种 不 关 心 有 时

    更 因 为 恐 惧 、 因 为 宗 教 偏 见 、 甚 至 就 因 为 这 些 名 词 — — 即 文

    明 和 野 蛮 — — 的 应 用 而 更 加 严 重 , 这 种 文 明 和 野 蛮 的 分 野 常

    对 大 多 数 人 造 成 了 不 但 在 程 度 上 而 且 在 种 类 上 都 有 所 差 别 的

    印 象 。 甚 至 对 于 “ 日 耳 曼 ” 也 有 些 批 评 家 曾 怀 疑 它 为 了 要 求

    对 比 尖 锐 , 叙 述 生 动 而 牺 牲 了 信 实 。 有 一 些 史 料 , 叙 述 着 民

    族 的 幼 年 , 保 存 在 档 案 中 流 传 给 我 们 的 , 也 被 认 为 由 于 种 族

    骄 傲 或 由 于 新 时 代 的 宗 教 情 绪 而 被 歪 曲 了 。 然 而 对 于 大 部 分

    的 古 代 法 律 却 并 未 发 生 过 这 些 毫 无 根 据 的 或 合 理 的 疑 虑 , 这

    是 非 常 值 得 重 视 的 事 实 。 所 有 流 传 下 来 的 许 多 古 代 法 律 所 以

    能 被 保 存 下 来 , 只 是 因 为 它 们 是 古 代 的 , 那 些 在 当 初 执 行 它和 服 从 它 的 人 们 , 并 不 标 榜 能 理 解 它 ; 在 有 些 情 况 下 , 他 们

    甚 至 嘲 笑 它 和 藐 视 它 。 除 了 它 是 由 他 们 祖 先 传 下 来 的 以 外 , 他

    们 对 它 并 不 特 别 重 视 。 因 此 , 如 果 我 们 能 集 中 注 意 力 于 那 些

    古 代 制 度 的 断 片 , 这 些 断 片 还 不 能 合 理 地 被 假 定 为 曾 经 受 到

    过 改 动 , 我 们 就 有 可 能 对 于 原 来 所 属 社 会 的 某 种 主 要 特 征 获

    得 一 个 明 确 的 概 念 。 在 这 个 基 础 上 再 向 前 跨 进 一 步 , 我 们 可

    以 把 我 们 已 有 的 知 识 适 用 于 象 “ 摩 奴 法 典 ” 那 种 大 体 上 其 真

    实 性 还 可 疑 的 一 些 法 律 制 度 ; 凭 了 这 个 已 经 获 得 的 关 键 , 我

    们 就 可 以 把 那 些 真 正 是 古 代 传 下 来 的 部 分 从 那 些 曾 经 受 到 过

    编 纂 者 的 偏 见 、 兴 趣 或 无 知 的 影 响 的 部 分 , 区 分 开 来 。 至 少

    应 该 承 认 , 如 果 有 足 够 的 材 料 来 从 事 于 这 样 的 研 究 过 程 , 如

    果 反 复 的 比 较 是 被 正 确 地 执 行 着 , 则 我 们 所 遵 循 的 方 法 , 必

    将 象 征 比 较 语 言 学 中 使 能 达 到 惊 人 结 果 的 那 些 方 法 一 样 很 少

    有 可 以 反 对 的 余 地 。

    从 比 较 法 律 学 中 所 获 得 的 证 据 , 使 我 们 对 人 类 原 始 状 态

    确 立 了 一 种 看 法 , 即 所 谓 “ 宗 法 理 论 ” 。 当 然 这 个 理 论 无 疑 地

    原 来 是 以 下 亚 细 亚(L o w e r   A s i a ) 希 伯 来族 长制 的 圣 经 史 为 根 据 的 ; 但 是 , 像 前 面 已 经 解 释 过 的 , 正 因 为 它 和 “ 圣 经 ” ( S c r i p t u r e ) 有 联 系 , 它 就 被 反 对 , 不 被 认 为 是一 个 可 以 接 受 的 完 全 的 理 论 , 因 为 直 到 最 近 还 热 诚 从 事 于 总

    括 各 种 社 会 现 象 的 多 数 研 究 者 , 不 是 一 些 对 希 伯 来 古 代 事 物

    具 有 最 顽 强 偏 见 的 人 , 就 是 一 些 想 不 借 助 于 宗 教 记 录 而 最 坚

    强 地 希 望 自 己 建 立 一 个 体 系 的 人 。 即 使 一 直 到 现 在 ; 也 许 还

    有 着 这 样 一 种 倾 向 , 低 估 这 些 记 事 的 价 值 , 或 者 应 该 说 是 不

    愿 把 它 们 作 为 闪 族 ( S e m i t i c   p e o p l e ) 传 统 的 组 成 部 分 , 而 从其 中 得 出 结 论 。 但 是 , 值 得 注 意 的 是 , 这 一 种 法 律 记 录 , 几乎 完 全 来 自 属 于 印 度 - 欧 罗 巴 种 族 的 社 会 制 度 , 其 中 较 大 部

    分 是 罗 马 人 、 印 度 人 和 斯 拉 夫 人 所 供 给 的 ; 而 当 前 研 究 阶 段

    所 面 临 的 困 难 是 : 要 知 道 究 竟 到 什 么 地 方 为 止 , 究 竟 有 哪 一

    些 人 种 , 是不 许 可 被 肯 定 为 他 们 的 社 会 原 来 是 按 照 父 权 的 模

    型 而 组 成 的 。 从 “ 创 世 纪 ” 开 头 的 几 章 中 所 能 收 集 到 的 这 一

    类 社 会 的 主 要 轮 廓 , 在 这 里 毋 庸 详 为 描 述 , 因 为 我 们 大 多 数

    人 已 经 从 小 都 非 常 熟 悉 , 同 时 也 因 为 由 于 洛 克 和 菲 尔 美

    ( F i l m e r ) 之 间 辩 论 的 结 果 , 在 英 国 文 献 中 已 有 专 书 论 述 了 这个 问 题 , 虽 然 这 本 书 并 不 是 很 有 益 的 。 从 历 史 表 面 上 所 能 看

    到 的 各 点 是 : — — 最 年 长 的 父 辈 — — 最 年 长 的 尊 属 亲 — — 是

    家 庭 的 绝 对 统 治 者 。 他 握 有 生 杀 之 权 , 他 对 待 他 的 子 女 、 他

    的 家 庭 象 对 待 奴 隶 一 样 , 不 受 任 何 限 制 ; 真 的 , 亲 子 具 有 这

    样 较 高 的 资 格 , 就 是 终 有 一 天 他 本 身 也 要 成 为 一 个 族 长 , 除

    此 以 外 , 父 子 关 系 和 主 奴 关 系 似 乎 很 少 差 别 。 子 女 的 羊 和 牛

    就 是 父 的 羊 和 牛 , 父 所 占 有 的 物 件 是 由 他 以 代 表 的 身 分 而 非

    所 有 人 的 身 分 占 有 的 , 这 些 占 有 物 , 在 他 死 亡 时 , 即 在 其 一

    等 卑 亲 属 中 平 均 分 配 , 长 子 有 时 以 生 得 权 的 名 义 接 受 双 倍 的

    份 额 , 但 更 普 通 的 是 除 了 一 种 荣 誉 的 优 先 权 以 外 , 不 再 赋 予

    任 何 继 承 利 益 。 在 圣 经 的 记 事 中 有 一 个 不 十 分 明 显 的 例 子 , 似

    乎 父 系 的 帝 国 第 一 次 发 生 了 破 坏 的 痕 迹 。 雅 各和以扫两 个 家 族 分 离 而 组 成 为 两 个 国 家 ; 但 是 雅 各 子 女的 各 个 家 族 却 仍 旧 结 合 在 一 起 , 而 成 为 一 个 民 族 。 这 就 好 象是 一 个 国 家 或 共 和 政 治 的 不 成 熟 的 胚 种 , 同 时 也 好 象 是 一 种权 利 顺 序 较 胜 于 家 族 关 系 所 提 出 的 要 求 。

    为 了 法 学 家 的 特 殊 目 的 , 简 要 地 说 明 人 类 在 其 历 史 黎 明时 期 所 做 状 态 的 各 个 特 征 , 我 以 为 只 要 摘 引 荷 马 “奥特赛 ”中 如 下 几 行 诗 句 就 够 了 :

    “ 他 们 既 没 有 评 议 会 , 又 没 有地美士第 , 但 每 一 个 人 对 妻 子 和儿 女 都 有 审 判 权 , 在 他 们 相 互 之 间 , 则 是 各 不 相 关 的 。 ” 这 些诗 句 是 适 用 于 “ 独 眼 巨 人 ”的 , 我 以 为 如 果 说 “ 独眼 巨 人 ” 就 是 荷 马 心 目 中 一 种 外 国 的 和 不 进 步 的 文 明 的 典 型 ,

    也 许 不 完 全 是 一 种 幻 想 ; 因 为 一 个 原 始 共 产 体 对 于 在 风 尚 上

    和 它 自 己 有 非 常 不 同 的 人 , 往 往 会 感 到 几 乎 是 自 然 的 憎 恶 , 这

    种 憎 恶 通 常 表 现 为 把 他 们 描 写 成 怪 物 , 例 如 巨 人 甚 至 是 魔 鬼

    ( 在 东 方 神 话 学 中 , 几 乎 在 所 有 情 况 中 都 是 如 此 ) 。 不 论 是 不

    是 这 样 , 在 这 几 行 诗 句 中 , 正 集 中 了 古 代 法 律 事 物 所 能 给 予

    我 们 的 各 种 暗 示 的 总 和 。 人 类 最 初 是 分 散 在 完 全 孤 立 的 集 团

    中 的 , 这 种 集 团 由 于 对 父 辈 的 服 从 而 结 合 在 一 起 。 法 律 是 父

    辈 的 语 言 , 但 它 们 没 有 达 到 我 们 在 本 文 第 一 章 中 所 分 析 的 地

    美 士 第 的 程 度 。 当 我 们 向 前 进 行 而 达 到 这 些 早 期 法 律 概 念 成

    形 的 社 会 状 态 时 , 我 们 发 现 , 这 些 法 律 概 念 仍 旧 多 少 带 有 足

    以 表 示 一 个 专 制 的 父 的 命 令 的 这 个 特 点 的 神 秘 性 和 自 发 性 ,

    但 在 同 一 时 候 , 由 于 他 们 来 自 一 个 主 权 者 , 这 些 法 律 概 念 就

    预 先 假 定 了 一 个 组 织 比 较 广 泛 、 由 许 多 家 族 集 团 组 成 的 联 合体 。 第 二 个 问 题 是 , 这 种 联 合 体 的 性 质 是 什 么 以 及 它 包 括 的

    亲 密 程 度 究 竟 是 怎 样 的 。 正 是 在 这 一 点 , 古 代 法 律 提 供 给 我

    们 最 大 的 贡 献 之 一 , 并 且 填 补 了 否 则 只 可 能 以 猜 度 来 渡 过 的

    一 个 鸿 沟 。 它 不 论 在 任 何 方 面 都 明 显 地 表 示 着 , 原 始 时 代 的

    社 会 并 不 象 现 在 所 设 想 的 , 是 一 个个人 的 集 合 , 在 事 实 上 ; 并

    且 根 据 组 成 它 的 人 们 的 看 法 , 它 是一个 ·

    许 ·

    多 ·

    家 ·

    族 ·

    的 ·

    集 ·

    合 ·

    体 。 如

    果 说 一 个 古 代 社 会 的 ·

    单 ·

    位 是 “ 家 族 ” , 而 一 个 现 代 社 会 的 单 位

    是 “ 个 人 ” , 则 这 个 对 比 , 也 许 可 以 更 强 有 力 地 表 示 出 来 。 在

    古 代 法 律 中 , 这 个 差 别 有 着 重 大 的 后 果 。 法 律 的 这 样 组 成 是

    为 了 要 适 应 一 个 小 的 独 立 团 体 的 制 度 。 因 此 , 它 的 数 量 不 多 ,

    因 为 它 可 以 由 家 长 的 专 断 命 令 来 增 补 的 。 它 的 仪 式 繁 多 , 因

    为 它 所 着 重 处 理 的 事 务 , 类 似 国 际 间 的 事 务 的 地 方 , 多 于 个

    人 间 交 往 的 迅 速 处 理 。 尤 其 重 要 的 , 它 具 有 一 种 特 性 , 其 重

    要 性 在 目 前 还 不 能 全 部 表 现 出 来 。 它 所 持 有 的 ·

    人 ·

    生 观 和 发 达

    的 法 律 学 中 所 体 现 的 完 全 不 同 。 团 体 ·

    永 ·

    生 ·

    不 ·

    灭 , 因 此 , 原 始法 律 把 它 所 关 连 的 实 体 即 宗 法 或 家 族 集 团 , 视 为 永 久 的 和 不能 消 灭 的 。 这 种 见 解 同 远 古 时 代 道 德 属 性 所 表 现 的 特 别 看 法 ,

    有 着 密 切 联 系 。 个 人 道 德 的 升 降 往 往 和 个 人 所 隶 属 集 团 的 优

    缺 点 混 淆 在 一 起 , 或 处 于 比 较 次 要 的 地 位 。 如 果 共 产 体 有 了

    罪 过 , 它 的 罪 恶 大 于 其 成 员 所 犯 罪 的 总 和 ; 这 个 罪 是 一 个 团

    体 行 为 , 其 后 果 所 及 , 要 比 实 际 参 与 犯 罪 行 为 的 人 多 的 多 。 如

    果 , 反 过 来 , 个 人 是 显 然 有 罪 的 , 那 他 的 子 女 、 他 的 亲 属 、 他

    的 族 人 或 他 的 同 胞 就 都 要 和 他 一 起 受 罚 , 有 时 甚 至 代 替 他 受

    罚 。 因 此 关 于 道 德 责 任 和 道 德 报 应 的 观 念 , 在 很 古 时 代 , 似

    乎 常 比 各 个 较 进 步 时 代 体 会 得 更 加 明 白 , 因 为 既 然 家 族 集 团是 永 生 不 灭 的 , 其 担 当 刑 罚 的 责 任 是 无 限 制 的 , 则 原 始 人 的

    头 脑 自 不 会 象 后 来 当 个 人 被 视 为 完 全 和 集 团 分 离 的 时 期 的 后

    代 人 的 头 脑 那 样 被 种 种 困 难 问 题 所 窘 困 了 。 早 期 希 腊 关 于 一

    个 遗 传 的 诅 咒 的 观 念 , 标 志 着 由 古 代 的 和 简 单 的 对 于 事 物 的

    看 法 走 向 后 来 神 学 或 形 而 上 学 解 释 的 过 渡 的 一 步 。 他 的 后 裔

    从 原 来 罪 犯 所 受 到 的 遗 物 , 不 是 一 种 受 刑 罚 的 义 务 , 而 是 一

    种 犯 新 罪 使 发 生 一 种 该 受 报 复 的 义 务 ; 这 样 , 家 族 的 责 任 就

    和 这 种 新 的 思 想 状 态 , 即 把 犯 罪 后 果 限 制 于 实 际 犯 罪 者 的 新

    思 想 状 态 , 取 得 了 一 致 。

    如 果 我 们 能 根 据 前 面 谈 到 的 圣 经 上 的 例 子 提 供 给 我 们 的

    暗 示 而 作 出 一 个 一 般 结 论 , 并 假 定 : 凡 族 长 死 亡 时 , 一 个 家

    族 仍 能 结 合 在 一 起 而 不 分 散 , 这 时 候 共 产 体 就 开 始 存 在 了 , 如

    果 是 这 样 , 则 社 会 起 源 的 解 释 将 是 很 简 单 的 。 在 大 多 数 的 希

    腊 国 家 中 , 以 及 在 罗 马 , 长 期 存 在 着 一 系 列 上 升 集 团 的 遗 迹 ,

    而 “ 国 家 ” 最 初 就 是 从 这 些 集 团 中 产 生 的 。 罗 马 人 的 “ 家

    族 ” 、 “ 大 氏 族 ” 和 “ 部 落 ” 都 是 它 们 的 类 型 , 根 据 它 们 被 描

    述 的 情 况 , 使 我 们 不 得 不 把 它 们 想 象 为 从 同 一 起 点 逐 渐 扩 大

    而 形 成 的 一 整 套 同 心 圆 , 其 基 本 的 集 团 是 因 共 同 从 属 于 最 高

    的 男 性 尊 属 亲 而 结 合 在 一 起 的 “ 家 族 ” 。 许 多 “ 家 族 ” 的 集 合

    形 成 “ 氏 族 ” 或 “ 大 氏 族 ” 。 许 多 “ 氏 族 ” 的 集 合 形 成 “ 部

    落 ” 。 而 许 多 “ 部 落 ” 的 集 合 则 构 成 了 “ 共 和 政 治 ” 。 根 据 这

    些 痕 迹 , 我 们 是 不 是 可 以 进 而 认 为 : 共 和 政 治 是 因 为 来 自 一

    个 原 始 家 族 祖 先 的 共 同 血 统 而 结 合 在 一 起 的 许 多 人 的 一 个 集

    合 体 。 关 于 这 一 点 , 我 们 至 少 可 以 断 定 , 一 切 古 代 社 会 都 自

    认 为 是 来 自 一 个 原 祖 , 并 且 除 此 以 外 , 他 们 虽 经 努 力 , 但 仍无 法 想 出 他 们 所 以 会 结 合 在 一 个 政 治 团 体 中 的 任 何 其 他 理

    由 。 事 实 上 , 政 治 思 想 的 历 史 是 从 这 样 一 个 假 设 开 始 的 ; 即

    血 缘 是 共 产 体 政 治 作 用 的 唯 一 可 能 的 根 据 ; 也 没 有 任 何 一 种

    我 们 强 调 地 称 之 为 革 命 的 感 情 破 灭 , 其 惊 人 和 完 全 的 程 度 及

    得 上 其 他 原 则 — — 例 如 所 谓 “ 地 方 毗 邻 ” — — 第 一 次 成 为 共

    同 政 治 行 动 的 基 础 时 所 完 成 的 变 化 的 。 因 此 , 我 们 可 以 肯 定

    认 为 在 早 期 共 和 政 治 中 , 所 有 公 民 都 认 为 , 凡 是 他 们 作 为 其

    成 员 之 一 的 集 团 , 都 是 建 筑 于 共 同 血 统 上 的 。 凡 对 于 “ 家

    族 ” 是 显 然 正 确 的 , 当 时 便 认 为 首 先 对 于 “ 氏 族 ” , 而 后 对 于

    “ 部 落 ” , 最 后 对 于 “ 国 家 ” 也 都 是 正 确 的 。 可 是 , 我 们 发 现 ,

    虽 然 有 着 这 样 一 个 信 念 , 或 者 假 如 我 们 可 以 这 样 称 呼 它 的 话 ,

    这 个 理 论 , 但 每 一 个 共 产 体 所 保 存 着 的 记 录 或 传 统 , 却 都 明

    显 地 表 示 这 个 基 本 假 设 是 虚 伪 的 。 不 论 我 们 观 察 希 腊 各 邦 , 或

    罗 马 , 或 提 供 尼 布 尔 以 许 多 有 价 值 例 证 的 在 笛 脱 麻 希 的 条 顿

    贵 族 政 治 , 或 凯 尔 特 部 族 组 织 , 或 斯 拉 夫 俄 罗 斯 人 和 波 兰 人

    的 那 些 只 在 后 来 才 引 人 注 意 的 奇 怪 的 社 会 组 织 , 在 每 个 地 方 ,

    我 们 都 能 在 他 们 的 历 史 中 发 现 有 把 外 国 出 生 的 人 接 纳 或 同 化

    于 原 来 的 同 族 人 中 的 事 。 如 果 单 独 以 罗 马 而 论 , 我 们 也 可 看

    到 , 这 个 原 始 集 团 即 “ 家 族 ” 是 不 断 地 由 于 收 养 的 习 俗 而 搀

    杂 进 来 其 他 血 统 的 人 的 , 而 有 关 把 原 来 的 “ 部 落 ” 之 一 驱 逐

    出 境 , 以 及 一 个 古 代 国 王 大 量 增 加 各 氏 族 成 员 的 种 种 故 事 , 似

    乎 是 始 终 不 断 地 流 传 着 的 。 国 家 的 组 成 被 普 遍 假 定 为 自 然 的 ,

    但 在 实 际 上 却 绝 大 部 分 是 人 为 的 。 这 种 存 在 于 信 念 或 理 论 同

    显 著 的 事 实 之 间 的 互 相 抵 触 , 初 看 起 来 是 非 常 令 人 困 惑 的 ; 但

    它 真 正 说 明 的 , 正 是 “ 法 律 拟 制 ” 在 社 会 幼 年 时 代 所 发 挥 的效 能 。 最 早 最 广 泛 应 用 的 法 律 拟 制 , 是 允 许 以 人 为 的 方 法 来

    发 生 家 庭 关 系 , 我 以 为 , 人 类 所 深 受 其 惠 的 , 实 没 有 比 这 个

    更 多 的 了 。 如 果 过 去 从 来 没 有 过 这 种 拟 制 , 任 何 一 个 原 始 集

    团 不 论 其 性 质 如 何 , 决 不 可 能 吸 收 另 一 个 集 团 , 除 了 一 方 面

    是 绝 对 的 优 势 , 另 方 面 是 绝 对 的 从 属 之 外 , 也 决 不 可 能 有 任

    何 二 个 集 团 在 任 何 条 件 下 能 结 合 起 来 。 毫 无 疑 问 , 如 果 我 们

    用 现 代 的 见 解 来 设 想 几 个 独 立 共 产 体 的 结 合 , 我 们 可 以 提 出

    成 百 种 达 到 这 个 目 的 的 方 式 来 , 其 中 最 简 单 的 方 式 就 是 由 包

    括 在 要 合 并 的 各 集 团 中 的 个 人 , 按 照 地 区 在 一 起 选 举 或 一 起

    活 动 ; 但 是 , 许 多 人 如 果 仅 仅 因 为 他 们 恰 巧 居 住 于 同 一 地 域

    以 内 就 应 该 行 使 共 同 政 治 权 利 , 这 个 观 念 对 于 原 始 的 古 代 社

    会 来 讲 , 是 完 全 陌 生 和 奇 怪 的 。 在 那 时 代 , 受 到 欢 迎 的 办 法

    是 , 外 国 人 应 该 ·

    把 ·

    他 ·

    们 ·

    自 ·

    己 ·

    冒 ·

    充 为 来 自 他 们 所 要 加 入 的 人 民

    的 同 一 祖 先 ; 我 们 今 天 所 不 易 理 解 的 , 正 就 是 这 个 拟 制 的 善

    意 , 以 及 它 能 被 做 得 接 近 真 实 。 但 是 , 有 一 个 情 况 是 必 须 加

    以 重 视 的 , 即 形 成 不 同 政 治 集 团 的 人 们 当 然 有 定 期 会 集 在 一

    起 的 习 惯 , 目 的 在 用 共 同 的 祭 祀 以 确 认 和 神 圣 其 联 系 。 被 同

    化 于 同 胞 中 的 异 乡 人 无 疑 地 也 会 被 允 许 参 加 这 些 祭 祀 ; 我 们

    可 以 相 信 当 这 些 异 乡 人 一 度 这 样 做 了 以 后 , 似 乎 就 很 容 易 或

    没 有 什 么 困 难 被 视 为 参 加 了 共 同 血 统 。 因 此 , 从 证 据 得 出 的

    结 论 , 所 有 早 期 社 会 并 不 都 是 由 同 一 祖 先 的 后 裔 组 成 , 但 所

    有 永 久 和 团 结 巩 固 的 早 期 社 会 或 者 来 自 同 一 祖 先 , 或 者 则 自

    己 假 定 为 来 自 同 一 祖 先 。 有 无 数 的 原 因 可 能 会 把 原 始 集 团 加

    以 粉 碎 , 但 无 论 如 何 , 当 它 们 的 成 分 重 新 结 合 时 , 都 是 以 一

    种 亲 族 联 合 的 型 式 或 原 则 为 根 据 的 。 不 论 在 事 实 上 是 怎 样 , 所有 的 思 想 、 言 语 和 法 律 都 被 调 整 , 以 适 合 于 这 个 假 定 。 但 是 ,

    虽 然 在 我 看 来 , 就 那 些 记 录 为 我 们 所 熟 悉 的 各 个 共 产 体 而 论 ,

    所 有 这 一 切 似 乎 都 是 可 以 成 立 的 , 但 它 们 历 史 的 其 余 部 分 论

    证 了 前 面 所 提 出 的 论 点 , 即 这 个 最 有 力 的 “ 法 律 拟 制 ” 主 要

    地 起 着 暂 时 的 和 有 限 的 影 响 。 到 了 某 一 个 时 间 — — 也 许 是

    — — 当 它 们 自 己 感 觉 到 自 己 力 量 足 以 抵 抗 外 来 压 力 时 — — ,

    所 有 这 些 国 家 就 立 即 终 止 用 人 为 扩 大 血 缘 的 方 法 来 滋 补 新 成

    员 。 因 此 , 凡 当 有 新 的 人 口 由 于 任 何 原 因 而 结 集 在 他 们 四 周 ,

    但 不 能 提 出 和 他 们 起 原 于 共 同 祖 先 的 主 张 时 , 在 这 种 情 况 下 ,

    他 们 就 必 然 地 成 为 “ 贵 族 ” 。 他 们 严 格 维 持 着 一 个 制 度 的 主 要

    原 则 , 根 据 这 个 原 则 人 们 除 了 真 正 的 或 人 为 的 血 统 关 系 以 外 ,

    没 有 任 何 条 件 可 以 使 他 们 获 得 政 治 权 利 , 因 此 教 导 了 弱 者 另

    一 个 原 则 , 这 个 原 则 已 证 明 是 具 有 高 度 的 生 命 力 的 。 这 就 是

    ·

    地 ·

    方 ·

    毗 ·

    邻 原 则 , 现 在 已 被 到 处 承 认 为 共 产 体 在 政 治 职 能 上 的

    一 种 条 件 。 于 是 一 套 新 的 政 治 观 念 立 刻 产 生 了 , 这 些 既 然 是

    我 们 自 己 的 观 念 , 是 我 们 同 时 代 人 的 观 念 ; 并 且 在 很 大 程 度

    上 也 是 我 们 祖 先 的 观 念 , 因 此 也 就 模 糊 了 我 们 对 于 那 些 被 它

    们 所 驳 倒 和 废 弃 的 旧 理 论 的 理 解 。

    一 个 古 代 社 会 、 据 我 们 所 能 设 想 到 的 , 虽 然 是 多 种 多 样

    的 , 但 “ 家 族 ” 是 它 的 典 型 ; 不 过 这 里 所 谓 的 家 族 , 同 现 代

    人 所 理 解 的 宗 族 并 不 完 全 相 同 。 为 了 要 得 到 古 代 的 概 念 , 我

    们 必 须 就 我 们 现 代 观 念 作 一 些 重 要 的 增 加 和 一 些 重 要 的 限

    制 。 我 们 必 须 把 家 族 看 作 是 因 吸 收 外 来 人 而 不 断 扩 大 的 团 体 ,

    我 们 并 且 必 须 把 收 养 的 拟 制 认 为 是 和 真 正 的 血 缘 关 系 非 常 密

    切 地 近 似 的 , 因 此 不 论 在 法 律 上 或 在 人 们 的 意 见 中 , 对 于 真正 的 血 缘 关 系 和 收 养 关 系 之 间 , 都 没 有 丝 毫 差 别 。 在 另 一 方

    面 , 由 于 共 同 血 统 而 在 理 论 上 混 合 于 一 个 家 族 中 的 人 们 , 他

    们 在 实 际 上 结 合 在 一 起 , 乃 是 由 于 他 们 共 同 服 从 其 最 高 在 世

    的 尊 亲 属 如 父 亲 、 祖 父 或 曾 祖 父 。 一 个 首 领 具 有 宗 法 权 , 是

    家 族 集 团 观 念 中 的 一 个 必 要 的 要 素 , 正 和 家 族 集 团 是 由 他 所

    产 生 的 事 实 ( 或 假 定 事 实 ) 同 样 的 必 要 ; 因 此 , 我 们 必 须 了

    解 , 不 论 任 何 人 , 虽 然 由 于 血 缘 关 系 真 正 包 括 在 同 族 之 内 ; 但

    如 果 他 们 ·

    在 ·

    事 ·

    实 ·

    上 退 出 了 其 统 治 者 的 支 配 , 则 早 在 法 律 创 始

    时 期 , 他 们 就 要 被 认 为 是 不 属 于 这 个 家 族 了 。 我 们 在 原 始 法

    律 学 的 发 轫 时 候 所 遇 到 的 , 正 是 这 种 宗 法 的 集 合 体 , — — 近

    代 家 族 就 是 这 样 在 一 方 面 加 以 缩 小 在 另 一 方 面 加 以 扩 大 而 组

    成 的 。 家 族 也 许 比 “ 国 家 ” 、 比 “ 部 落 ” 、 比 “ 氏 族 ” 更 加 古

    老 一 些 , 但 它 在 “ 氏 族 ” 和 “ 部 落 ” 被 长 久 遗 忘 , 在 血 缘 同

    国 家 的 组 成 已 长 久 失 掉 了 联 系 以 后 , 还 在 私 法 上 留 有 残 迹 。 它

    在 法 律 学 的 各 大 部 门 中 都 有 烙 印 可 以 发 现 ; 并 且 我 以 为 , 它

    可 以 被 认 为 是 这 些 部 门 中 许 多 最 重 要 和 最 持 久 特 征 的 真 正 渊

    源 。 最 古 法 律 的 各 种 特 性 从 开 始 时 就 使 我 们 得 到 这 样 一 个 结

    论 , 即 在 权 利 和 义 务 制 度 上 , 它 对 于 家 族 集 团 所 持 的 见 解 正

    和 我 们 今 日 流 行 在 全 欧 洲 的 对 于 个 人 所 持 的 见 解 完 全 相 同 。

    即 使 在 现 在 , 我 们 还 可 以 观 察 到 这 样 的 社 会 , 它 们 的 法 律 和

    惯 例 除 非 被 假 定 为 还 没 有 脱 离 这 种 原 始 状 态 就 很 难 加 以 说

    明 ; 但 是 在 环 境 比 较 幸 运 的 共 产 体 中 , 法 律 学 的 结 构 已 开 始

    逐 渐 瓦 解 了 , 如 果 我 们 仔 细 地 观 察 这 种 瓦 解 现 象 , 我 们 就 能

    看 到 这 种 瓦 解 主 要 是 发 生 在 受 到 家 族 的 原 始 概 念 影 响 最 深 的

    那 些 部 分 的 制 度 中 。 一 个 最 重 要 的 例 证 中 , 就 是 在 罗 马 法 中 , 变 化 发 生 得 非 常 迟 缓 , 从 一 个 时 代 到 另 一 个 时 代 , 我 们 可 以

    观 察 到 变 化 所 遵 循 的 路 线 和 方 向 , 并 且 甚 至 可 以 对 变 化 所 趋

    向 的 最 后 结 果 , 略 加 叙 述 。 并 且 在 进 行 这 个 最 后 的 研 究 时 , 我

    们 不 会 受 到 那 个 把 现 代 和 古 代 世 界 分 隔 开 来 的 想 象 障 碍 的 阻

    挠 。 因 为 经 过 提 炼 的 罗 马 法 同 原 始 野 蛮 的 惯 例 混 合 后 , 形 成

    了 以 封 建 制 度 这 个 虚 伪 的 名 字 为 我 们 所 知 的 混 合 物 , 其 结 果

    之 一 是 复 活 了 在 罗 马 世 界 早 已 废 弃 不 用 的 古 代 法 律 学 的 许 多

    特 色 , 因 此 那 似 乎 已 经 终 止 了 的 分 解 过 程 又 再 度 开 始 , 并 且

    在 某 种 程 度 上 直 到 现 在 仍 旧 在 继 续 进 行 中 。

    最 古 社 会 的 家 族 组 织 曾 在 少 数 法 律 制 度 学 上 留 有 明 白 而

    广 大 的 标 志 , 显 示 出 “ 父 ” 或 其 他 祖 先 对 于 卑 亲 属 的 人 身 和

    财 产 有 终 身 的 权 力 , 这 种 权 力 , 我 们 为 了 方 便 起 见 , 用 它 后

    来 在 罗 马 的 名 称 , 称 它 做 “ 家 父 权 ” 。 在人 类 原 始 联 合 的 所 有 特 色 中 , 没 有 比 这 种 权 力 更 多 地 被 大 量的 证 据 所 证 明 ; 但 也 没 比 这 种 权 力 更 为 普 遍 地 、 更 为 迅 速 地从 进 步 共 产 体 的 惯 例 中 消 失 掉 。 在 安 托 宁 时 代 写 作 的 该 雅 士 ,认 为 这 个 制 度 是 罗 马 人 特 有 的 制 度 , 诚 然 , 如 果 他 看 一 看 莱因 河 或 多 瑙 河 对 岸 那 些 曾 引 起 他 同 时 代 人 好 奇 心 的 野 蛮 部落 , 他 可 能 会 看 到 许 多 最 粗 陋 形 式 的 宗 法 权 的 例 子 。 在 远 东

    有 一 个 和 罗 马 人 来 自 同 一 人 种 的 支 系 也 正 在 按 照 其 最 专 门 的

    细 节 重 复 施 行 “ 家 父 权 ” 。 但 在 公 认 为 包 括 于 罗 马 帝 国 内 的 各

    民 族 中 , 除 了 只 在 亚 细 亚 加 拉 塔 ( A s i a t i c   G a l a t E) 之 外 , 该雅 士 不 可 能 找 到 有 类 似 罗 马 “ 家 父 权 ” 的 一 种 制 度 。 据 我 看来 , 祖 先 的 直 接 权 威 在 大 多 数 进 步 社 会 中 所 以 会 很 快 就 少 于

    其 在 最 早 状 态 中 所 有 的 程 度 , 是 有 多 种 理 由 的 。 未 开 化 人 们对 其 父 绝 对 遵 从 , 无 疑 地 是 一 个 主 要 事 实 , 这 个 事 实 不 是 轻

    易 地 能 解 释 清 楚 的 , 如 果 只 说 因 为 这 样 对 他 们 有 利 ; 但 是 , 在

    同 时 , 如 果 子 服 从 父 是 出 于 自 然 的 , 那 末 子 希 望 父 具 有 卓 越

    的 体 力 或 卓 越 的 智 慧 也 是 同 样 出 于 自 然 的 。 因 此 , 当 社 会 处

    在 体 力 和 智 力 都 具 有 特 殊 价 值 的 时 候 , 就 会 发 生 一 种 影 响 , 倾

    向 于 使 “ 家 父 权 ” 限 于 确 实 具 有 才 干 的 和 强 有 力 的 人 。 当 我

    们 初 看 到 有 组 织 的 希 腊 社 会 时 , 好 像 出 类 拔 萃 的 智 慧 会 使 体

    力 虽 已 衰 微 的 人 仍 能 保 持 其 家 父 权 ; 但 在 “ 奥 特 赛 ” 中 优 烈

    锡 士 ( U l y s s e s ) 和 莱 安 底 斯 ( L a e r t e s ) 的 关 系 似 乎 表 示 当 其子 兼 有 非 常 的 勇 武 和 智 慧 时 , 其 年 已 衰 老 的 父 是 可 以 从 家 族

    首 领 的 地 位 上 被 废 免 的 。 在 成 熟 的 希 腊 法 律 学 中 , 其 规 定 比

    荷 马 文 学 中 所 暗 示 的 实 践 , 更 前 进 了 几 步 ; 虽 然 仍 有 许 多 严

    格 的 家 族 义 务 被 保 留 着 , 但 父 亲 的 直 接 权 威 象 在 欧 洲 的 法 典

    中 一 样 被 限 制 于 未 成 年 的 子 女 , 或 是 , 换 言 之 , 被 限 制 于 这

    些 子 女 假 定 他 们 的 智 力 和 体 力 还 不 充 足 的 一 定 时 期 内 。 但 是 ,

    这 个 具 有 改 革 古 旧 惯 例 以 适 应 共 和 政 治 急 需 这 种 显 著 倾 向 的

    罗 马 法 , 它 一 方 面 保 持 了 原 始 制 度 , 另 一 方 面 却 保 持 了 我 认

    为 它 曾 从 属 的 自 然 限 制 。 在 每 一 种 生 命 有 关 的 场 合 , 如 当 集

    体 的 共 产 体 为 了 议 和 或 为 了 战 争 而 必 须 利 用 其 智 力 和 体 力

    时 , 家 子或 “ 在 父 权 下 之 子 ” 就 可 以 获 得 和 父 同 样 的 自 由 。 罗 马 法 学 中 有 这 样 一 个 格 言 , “ 家 父 权 ” 并 不 触 及 “ 公 法 ”。 父 和子 在 城 中 一 同 选 举 , 在 战 场 上 并 肩 作 战 ; 真 的 , 当 子 成 为 将

    军 时 , 可 能 会 指 挥 其 父 , 成 为 高 级 官 吏 时 ; 要 审 判 其 父 的 契

    约 案 件 和 惩 罚 其 父 的 失 职 行 为 。 但 在 “ 私 法 ” 所 创 造 的 一 切关 系 中 , 子 就 必 须 生 活 在 一 个 家 庭 专 制 之 下 , 这 种 家 庭 专 制

    直 到 最 后 还 保 持 着 严 酷 性 , 它 并 且 延 续 了 许 多 世 纪 , 为 就 成

    为 法 律 史 中 最 奇 怪 的 问 题 之 一 。

    罗 马 的 “ 家 父 权 ” 必 然 地 是 我 们 原 始 父 权 的 典 型 , 但 作

    为 一 个 文 明 生 活 的 制 度 , 不 论 我 们 从 其 对 人 的 影 响 或 对 物 的

    效 果 而 论 , 都 是 同 样 难 以 理 解 的 。 遗 憾 的 是 , 在 它 的 历 史 上

    存 在 着 的 一 个 鸿 沟 , 现 在 已 无 法 更 完 全 地 填 满 了 。 就 人 而 言 ,

    根 据 我 们 所 获 得 的 材 料 , 父 对 其 子 有生死之权,更 ·

    毋 ·

    待 ·

    论 的 , 具 有 无 限 制 的 肉 体 惩 罚 权 ; 他 可 以任 意 变 更 他 们 的 个 人 身 分 ; 他 可 以 为 子 娶 妻 , 他 可 以 将 女 许 嫁 ; 他 可 以 令 子 女 离 婚 ; 他 可 以 用 收 养 的 方 法 把 子 女 移 转 到

    其 他 家 族 中 去 ; 他 并 且 可 以 出 卖 他 们 。 后 来 在 帝 政 时 期 , 我

    们 还 可 以 发 现 所 有 这 些 权 利 的 遗 迹 , 但 已 经 缩 小 在 极 狭 小 的

    范 围 内 。 家 内 惩 罚 的 无 限 制 的 权 利 已 变 成 为 把 家 庭 犯 罪 移 归

    民 事 高 级 官 吏 审 判 的 权 利 ; 主 宰 婚 姻 的 特 权 已 下 降 为 一 种 有

    条 件 的 否 定 权 ; 出 卖 的 自 由 已 在 实 际 上 被 废 止 , 至 于 收 养 在

    查 斯 丁 尼 安 的 改 良 制 度 中 几 乎 全 部 失 去 了 它 在 古 代 的 重 要

    性 , 如 果 没 有 子 女 的 同 意 , 移 转 给 养 父 母 就 不 能 生 效 。 总 之 ,

    我 们 已 十 分 接 近 最 后 流 行 于 现 代 世 界 的 各 种 观 念 的 边 缘 , 但

    是 在 这 些 相 隔 很 远 的 时 代 之 间 , 存 在 着 一 个 暗 昧 的 期 间 , 据

    我 们 猜 想 , “ 家 父 权 ” 所 以 能 这 样 长 时 期 地 持 续 者 , 其 原 因 就

    在 它 比 表 面 上 较 为 可 以 容 忍 一 些 。 儿 子 积 极 完 成 其 对 国 家 所

    负 各 种 义 务 中 最 重 要 的 义 务 , 纵 使 不 取 消 他 父 亲 的 权 威 , 一

    定 也 会 削 弱 这 种 权 威 。 我 们 不 难 想 象 , 如 果 对 于 一 个 占 有 高

    级 民 事 官 吏 职 位 的 成 年 人 行 使 父 权 专 制 , 则 必 然 地 会 引 起 极大 的 诽 谤 。 不 过 在 较 早 期 的 历 史 中 , 这 种 在 实 际 上 解 放 的 事

    例 , 如 和 罗 马 共 和 时 代 因 不 断 发 生 战 事 而 造 成 的 事 例 相 比 , 是

    要 少 得 多 。 早 期 战 争 中 一 年 有 四 分 之 三 时 间 辗 转 于 战 场 上 的

    军 事 护 民 官 和 士 兵 , 以 及 在 后 一 时 期 统 治 一 省 的 地 方 总 督 和

    占 领 它 的 军 团 兵 , 他 们 实 在 不 应 该 有 任 何 实 际 理 由 使 他 们 自

    认 为 是 一 个 专 制 主 人 的 奴 隶 ; 而 在 当 时 , 所 有 这 些 逃 避 “ 家

    父 权 ” 的 道 路 有 不 断 增 加 的 倾 向 。 胜 利 引 导 到 征 服 , 征 服 引

    导 到 占 领 ; 用 殖 民 来 占 领 的 方 式 改 变 了 用 常 备 军 来 占 领 各 省

    的 制 度 。 每 次 向 前 进 展 一 步 , 就 要 召 唤 更 多 的 罗 马 公 民 出 国 ,

    就 要 对 正 在 不 断 减 少 的 拉 丁 民 族 的 血 液 进 行 一 次 新 的 汲 引 。

    我 以 为 , 我 们 得 推 定 , 到 帝 国 建 立 , 世 界 平 靖 开 始 的 时 候 , 主

    张 松 弛 “ 家 父 权 ” 的 强 有 力 的 情 绪 , 已 成 为 确 切 不 移 的 了 。 最

    早 加 于 这 古 代 制 度 的 大 打 击 来 自 较 早 期 的 几 个 凯 撒 , 而 图 拉

    真 ( T r a j a n ) 和 汉 德 林 所 作 的 几 次 单 独 干 涉 , 似 乎 又 为 后 来 一

    系 列 明 确 的 立 法 准 备 了 条 件 , 我 们 虽 无 法 断 定 这 些 立 法 的 时

    间 , 但 我 们 知 道 , 这 些 立 法 在 一 方 面 限 制 了 家 父 权 , 另 一 方

    面 增 加 了 其 自 动 放 弃 的 种 种 便 利 。 在 比 较 早 的 时 期 , 如 果 子

    经 过 三 次 出 卖 , 就 可 以 消 灭 “ 家 父 权 ” , 我 认 为 , 这 个 方 式 证

    明 在 很 早 时 候 就 感 觉 到 没 有 延 长 这 种 权 力 的 必 要 。 这 一 条 规

    定 宣 布 子 在 被 父 出 卖 三 次 以 后 应 该 获 得 自 由 , 其 原 意 似 乎 是

    为 了 要 惩 罚 这 种 甚 至 为 道 德 观 念 还 处 于 启 蒙 时 期 的 原 始 罗 马

    人 所 反 对 的 实 践 。 但 是 甚 至 在 “ 十 二 铜 表 法 ” 公 布 以 前 , 由

    于 法 学 专 家 的 智 机 , 如 果 家 父 愿 意 中 止 家 父 权 的 时 候 , 就 可

    以 利 用 这 个 方 式 来 把 它 取 消 。

    无 疑 地 , 我 们 是 不 能 从 历 史 的 表 面 来 发 现 这 许 多 促 使 减轻 父 对 子 人 身 权 力 的 严 酷 性 的 原 因 的 。 我 们 无 法 断 定 究 竟 公

    共 舆 论 对 于 一 种 法 律 所 赋 予 的 权 威 能 使 它 瘫 痪 到 如 何 程 度 ,

    或 者 父 子 之 情 究 竟 能 使 它 被 忍 耐 到 如 何 程 度 。 但 是 , 虽 然 对

    于 人 身 的 权 力 在 后 来 可 能 变 成 了 有 名 无 实 , 不 过 到 现 在 还 残

    存 的 罗 马 法 律 学 的 全 部 要 旨 暗 示 着 ; 父 对 子财产 所 有 的 权 利 ,

    则 是 始 终 毫 无 犹 豫 地 被 行 使 到 法 律 所 准 许 的 限 度 的 。 这 些 对

    财 产 的 权 利 在 最 初 出 现 时 , 其 活 动 范 围 较 广 是 无 足 惊 异 的 。 古

    代 罗 马 法 禁 止 “ 在 父 权 下 之 子 ”和父 分 开 而 持 有 财 产 , 或 者 ( 我 们 宁 可 说 ) 绝 对 不 考 虑 子 有 主张 一 种 各 别 所 有 权 的 可 能 。 父 有 权 取 得 其 子 的 全 部 取 得 物 , 并享 有 其 契 约 的 利 益 而 不 牵 涉 到 任 何 赔 偿 责 任 。 我 们 从 最 古 罗

    马 社 会 的 构 成 中 所 能 得 到 的 就 是 这 些 , 因 为 除 非 我 们 假 定 原

    始 家 族 集 团 的 成 员 应 该 把 他 们 各 式 各 样 的 劳 动 所 得 都 放 在 其

    共 有 的 财 产 中 , 而 在 同 时 他 们 又 不 能 把 在 事 前 没 有 经 过 考 虑

    的 个 人 债 务 来 拘 束 它 , 则 我 们 就 很 难 就 原 始 家 族 集 团 作 出 一

    个 概 念 。 “ 家 父 权 ” 的 真 正 难 解 之 处 实 在 并 不 在 这 一 方 面 , 而

    是 在 于 父 的 这 些 财 产 特 权 被 剥 夺 得 如 此 之 慢 , 以 及 在 于 在 这

    些 特 权 被 大 大 地 缩 小 之 前 全 部 文 明 世 界 都 被 引 入 这 些 特 权 范

    围 之 内 的 情 况 。 对 于 这 种 情 况 , 没 有 试 作 过 任 何 改 革 , 直 到

    帝 国 的 初 期 , 现 役 军 人 的 取 得 物 可 以 不 受 “ 家 父 权 ” 的 影 响 ,

    这 无 疑 地 是 被 用 作 为 对 推 翻 自 由 共 和 政 治 的 军 队 的 酬 劳 的 一

    部 分 。 经 过 三 个 世 纪 以 后 , 这 同 样 的 免 除 扩 大 而 适 用 于 国 家

    文 官 的 劳 动 所 得 。 这 二 种 变 化 在 应 用 时 是 显 然 有 限 制 的 , 并

    且 它 们 在 技 术 上 是 采 用 这 样 的 形 式 , 以 求 尽 量 避 免 干 预 “ 家

    父 权 ” 的 原 则 。 罗 马 法 在 过 去 是 一 向 承 认 某 种 有 限 的 和 依 附的 所 有 权 的 , 奴 隶 及 “ 在 父 权 下 之 子 ” 的 赏 金 和 积 蓄 并 不 被强 迫 包 括 在 家 庭 账 目 之 内 , 这 种 特 许 财 产 的 特 别 名 称 为 “ 特有 产 ” ( P e c u l i u m ) , 适 用 于 新 从 “ 家 父 权 ” 中 解 放 出 来 的 取 得物 , 属 于 军 人 方 面 的 则 称 为 “ 军 役 特 有 产 ”, 属 于 文 官 方 面 的 则 称 为 “ 准 军 役 特 有 产 ”。 以 后 对 家 父 权 还 有 其 他 的 变 更 , 在 外 表

    上 对 于 古 代 原 则 已 不 复 像 过 去 那 样 的 尊 重 了 。 在 采 用 “ 准 军

    役 特 有 产 ” 以 后 不 久 , 君 士 坦 丁 大 帝 取 消 了 父 对 子 从 其 母 承

    继 财 产 上 所 有 的 绝 对 权 , 把 它 缩 小 为 一 种用益权或 终 身 收 益 。 在 西 罗 马 帝 国 还 有 少 数 比 较 不 很 重 要 的 变 化 , 但最 大 的 变 化 发 生 在 东 罗 马 帝 国 , 是 当 查 斯 丁 尼 安 的 时 代 , 他

    所 制 定 的 法 律 , 规 定 除 非 子 的 取 得 物 是 来 自 其 父 自 己 财 产 , 父

    对 这 些 取 得 物 的 权 力 不 得 超 出 在 他 生 存 期 内 享 有 出 产 物 的 范

    围 。 罗 马 的 “ 家 父 权 ” 虽 已 作 了 这 样 极 度 的 宽 放 , 但 是 罗 马

    的 制 度 仍 旧 远 比 现 代 世 界 中 任 何 类 似 制 度 为 广 泛 和 严 格 。 法

    律 学 最 早 的 现 代 作 者 认 为 , 只 有 比 较 残 暴 和 比 较 鄙 野 的 罗 马

    帝 国 征 服 者 , 特 别 是 斯 拉 夫 族 的 各 国 , 才 有 类 似 “ 法 学 彙

    纂 ” 和 “ 法 典 ” 中 所 叙 述 的 一 种 “ 家 父 权 ” 。 所 有 的 日 耳 曼 移民 似 乎 都 承 认 一 个 家 族 团 体 属 于门特 ( m u n d ) 或 族 长 权 之 下 ;

    但 族 长 的 权 力 显 然 只 是 一 种 腐 败 的 “ 家 父 权 ” 的 遗 骸 , 同 罗

    马 人 的 父 所 享 有 的 权 力 远 不 能 相 比 拟 。 法 兰 克 人 特 别 被 提 到

    没 有 受 到 这 种 罗 马 制 度 的 影 响 , 因 此 老 一 辈 的 法 国 法 学 家 甚

    至 在 非 常 忙 于 用 罗 马 法 规 定 来 填 补 野 蛮 习 惯 的 孔 隙 时 , 还 不

    得 不 用 这 明 白 的 格 言 ·

    在 ·

    法 ·

    兰 ·

    西 ·

    父 ·

    权 ·

    不 ·

    能 ·

    代 ·

    来 保 获 自 己 , 使 不 受 到“ 家 父 权 ” 的 侵 入 。 罗 马 人 固 执 地 保 持 着 他 们 这 个 最 古 状 态 的

    遗 迹 , 其 本 身 是 值 得 注 意 的 , 但 更 值 得 注 意 的 是 “ 家 父 权 ” 在

    它 一 度 绝 迹 以 后 又 复 在 全 部 文 明 世 界 广 泛 流 行 这 一 事 实 。 当

    “ 军 役 特 有 产 ” 还 只 是 父 对 子 财 产 权 力 的 唯 一 例 外 时 , 以 及 当

    父 对 于 子 人 身 所 有 的 权 力 还 是 极 为 广 泛 的 时 候 , 罗 马 公 民 权

    以 及 随 着 公 民 权 而 产 生 的 “ 家 父 权 ” 正 被 广 布 到 帝 国 的 每 一

    个 角 落 。 每 一 个 非 洲 人 或 西 班 牙 人 、 每 一 个 高 卢 人 、 不 列 颠

    人 或 犹 太 人 因 赠 与 、 买 受 或 继 承 而 获 得 这 种 公 民 权 的 光 荣 时 ,

    把 它 自 己 放 在 罗 马 “ 人 法 ” 之 下 , 又 虽 然 我 们 的 权 威 学 者 暗

    示 , 在 取 得 公 民 权 前 所 生 的 子 女 不 能 违 背 他 们 的 意 志 而 把 他

    们 放 在 “ 父 权 ” 之 下 , 但 在 这 以 后 所 生 的 子 女 以 及 所 有 在 他

    们 以 后 的 卑 亲 属 都 应 该 处 于 一 个 罗 马家子 的 通 常 地 位 上 。 对

    于 后 期 罗 马 社 会 的 构 成 , 本 不 在 本 文 研 究 范 围 之 内 , 但 我 不

    妨 在 这 里 说 明 , 有 人 认 为 安 托 宁 那 · 卡 刺 卡 拉 ( A n t o n i n u s C a r a c a l l a ) 规 定 把 罗 马 公 民 权 赋 予 其 全 部 臣 民 的 措 施 并 不 重要 , 这 种 意 见 是 缺 乏 根 据 的 。 不 论 我 们 对 这 件 事 作 如 何 解 释 ,

    但 它 必 然 无 疑 地 大 大 扩 大 了 “ 家 父 权 ” 的 范 围 , 并 且 据 我 看

    来 , 它 使 家 族 关 系 更 加 紧 密 , 而 这 正 是 我 们 必 须 比 以 前 更 加

    注 意 的 , 可 以 用 来 说 明 正 在 改 变 着 世 界 的 伟 大 道 德 革 命 的 一

    种 媒 介 。

    在 离 开 我 们 主 题 的 这 一 个 部 分 以 前 , 应 该 注 意 到 “ 家

    父 ” 对 于 “ 在 父 权 下 之 子 ” 的 不 法 行 为 ( 或侵 ·

    权 ·

    行 ·

    为 ) 应 负

    责 任 。 他 对 其 奴 隶 的 不 法 行 为 也 同 样 的 应 该 负 责 ; 但 在 这 两

    种 情 形 下 , 他 原 有 这 样 一 种 特 别 的 权 利 , 就 是 把 犯 罪 者 的 本

    人 交 出 以 赔 偿 损 害 。 “ 家 父 ” 这 样 因 为 子 的 缘 故 而 负 担 责 任 ,再 加 上 父 和 “ 在 父 权 下 之 子 ” 相 互 之 间 不 能 提 起 控 诉 , 有 些

    法 学 家 认 为 这 种 情 况 最 好 用 “ 家 父 ” 与 “ 家 子 ” 间 存 在 着 一

    种 “ 人 格 统 一 ” 的 假 设 来 加 以 说 明 。 在 “ 继 承 ” 的 一 章 中 , 我

    将 说 明 在 什 么 意 义 上 和 在 什 么 限 度 内 , 这 种 “ 统 一 ” 可 以 被

    认 为 是 一 种 现 实 。 在 目 前 我 只 须 说 明 : “ 家 父 ” 的 这 些 责 任 以

    及 此 后 要 讨 论 到 的 其 他 一 些 法 律 现 象 , 据 我 看 来 , 都 是 作 为

    原 始 族 长 所 有 ·

    权 ·

    利 的 一 种 对 称 的 某 种 ·

    义 ·

    务 。 我 的 看 法 是 , 如

    果 他 有 绝 对 的 处 分 其 同 部 族 之 人 的 人 身 和 财 产 的 权 利 , 则 和

    这 种 代 表 性 的 所 有 权 相 适 应 , 他 也 有 从 共 同 基 金 中 供 养 同 族

    内 所 有 成 员 的 责 任 。 困 难 是 在 于 , 当 我 们 在 想 象 “ 家 父 ” 的

    这 种 责 任 的 性 质 时 , 我 们 必 须 从 我 们 习 惯 的 联 想 中 充 分 地 解

    脱 出 来 。 它 不 是 一 种 法 律 义 务 , 因 为 法 律 还 没 有 渗 透 到 “ 家

    族 ” 的 境 界 之 内 。 要 称 它 为 ·

    道 ·

    德 ·

    的 也 许 还 言 之 过 早 , 因 为 道

    德 观 念 属 于 较 后 阶 段 的 智 力 发 展 ; 在 目 前 , 我 们 不 妨 称 之 为

    “ 道 德 义 务 ” , 但 是 这 所 谓 “ 道 德 义 务 ” , 应 该 被 理 解 为 一 种 自

    觉 地 服 从 的 , 并 且 是 依 靠 本 能 和 习 惯 而 不 是 依 靠 文 明 规 定 裁

    制 所 强 行 的 义 务 。

    “ 家 父 权 ” 就 其 正 常 状 态 而 论 , 并 不 是 , 并 且 据 我 看 来 ,

    也 不 可 能 是 一 种 在 大 体 上 永 久 的 制 度 。 因 此 , 如 果 我 们 单 从

    它 本 身 来 考 虑 , 它 以 前 具 有 普 遍 性 的 证 据 , 是 不 完 全 的 ; 但

    是 如 果 研 究 一 下 古 代 法 律 中 在 根 本 上 依 附 着 它 、 但 却 不 是 从

    它 所 有 方 面 或 为 每 一 个 人 所 能 看 到 的 一 条 线 索 所 联 系 着 的 其

    他 部 门 , 则 可 以 获 得 的 证 据 将 更 多 。 我 们 试 以 亲 属 关 系 为 例 ,

    或 者 换 言 之 , 以 古 代 法 律 学 中 亲 属 相 互 间 据 而 衡 量 远 近 亲 疏

    的 等 级 为 例 。 这 里 , 最 方 便 的 方 法 又 是 应 用 罗 马 的 用 语 , 即“ 宗 亲 ” 和 “ 血 亲 ” 关 系 。 血亲 关 系 就 是 现 代 观 念 所 熟 悉 的 亲属 关 系 概 念 ; 这 是 因 一 对 已 婚 的 人 所 出 生 的 共 同 后 裔 而 产 生 的 亲 属 关 系 , 不 论 其 后 裔 来 自 男 性 或 女 性 方 面 。宗亲 亲 属 关系 和 这 完 全 不 同 ; 它 不 包 括 有 许 多 我 们 在 今 天 认 为 当 然 是 我

    们 亲 属 的 人 , 而 同 时 却 包 括 了 更 多 我 们 决 不 会 计 算 在 我 们 亲

    属 中 的 人 。 其 实 , 这 是 根 据 了 最 古 时 代 的 看 法 而 存 在 于 家 族

    成 员 间 的 一 种 关 系 。 这 个 关 系 的 范 围 , 和 现 代 亲 属 关 系 的 范

    围 是 远 不 相 一 致 的 。

    因 此 , “ 血 亲 ” 指 的 是 一 切 人 , 从 血 统 上 能 追 溯 到 一 个 单

    一 的 男 性 和 女 性 祖 先 的 ; 或 者 , 如 果 我 们 用 罗 马 法 中 这 个 字

    的 严 格 的 专 门 意 义 , 他 们 是 一 切 从 血 统 上 能 追 溯 到 一 对 合 法

    结 婚 夫 妇 的 人 。 “ 血 亲 属 ” 因 此 是 一 个 相 对 的 名 称 , 它 所 表 示

    血 缘 关 系 的 程 度 要 以 被 选 定 作 为 计 算 的 起 点 的 特 殊 婚 姻 而 决

    定 。 如 果 我 们 从 父 和 母 的 婚 姻 开 始 , “ 血 亲 属 ” 只 表 示 兄 弟 和

    姊 妹 的 亲 属 关 系 ; 如 果 我 们 从 祖 父 和 祖 母 的 婚 姻 开 始 , 则 伯

    叔 姑 母 以 及 其 后 裔 也 都 要 包 括 在 “ 血 亲 属 ” 的 观 念 内 , 根 据

    这 同 一 步 骤 只 要 我 们 在 宗 谱 上 选 定 更 高 更 高 的 起 点 , 那 就 可

    继 续 得 到 更 大 量 的 “ 血 亲 ” 。 这 一 些 都 是 为 一 个 现 代 人 所 容 易

    理 解 的 , 但 谁 是 “ 宗 亲 ” 呢 ? 首 先 , 凡 专 从 男 性 追 溯 其 亲 属

    关 系 的 都 是 “ 血 亲 ” 。 为 了 要 组 成 一 张 “ 血 亲 ” 世 系 表 , 当 然

    只 须 要 依 次 取 每 一 个 直 系 祖 先 , 并 把 其 所 有 男 女 两 性 的 卑 属

    亲 都 包 括 在 一 张 表 式 内 ; 如 果 , 在 追 溯 这 样 一 张 家 系 表 或 家

    系 树 的 各 个 支 派 时 , 我 们 每 到 达 一 个 女 性 的 名 字 时 立 即 停 止 ,

    不 再 在 该 特 殊 的 支 派 或 枝 节 上 继 续 向 前 进 行 , 把 女 性 的 卑 属

    亲 完 全 除 外 后 所 有 遗 留 下 来 的 人 就 都 是 “ 宗 亲 ” , 而 他 们 相 互的 关 系 便 是 “ 宗 亲 ” 关 系 。 我 之 所 以 要 在 那 实 际 上 把 他 们 从

    “ 血 亲 ” 分 开 来 的 过 程 上 稍 谈 几 句 , 因 为 这 说 明 了 一 个 著 名 的

    法 律 格 言 “ 一 个 妇 女 是 家 族 的 终 点 ”。 在 一 个 女 性 名 字 出 现 的 地 方 封 闭 了 家 系 中 有 关 支 派 或 枝 条 。 女 性 的 后 裔 是 不 包 括 在 家 族 关 系 的 原 始 观 念 中 的 。

    如 果 我 们 所 研 究 的 古 法 律 制 度 是 一 个 允 许 收 养 的 制 度 ,

    则 在 “ 宗 亲 ” 之 中 还 必 须 加 进 由 于 人 为 的 扩 大 范 围 而 增 加 到

    “ 家 族 ” 中 来 的 人 口 , 包 括 男 性 或 女 性 。 但 是 这 类 人 的 卑 亲 属

    如 果 能 满 足 上 面 所 谈 的 各 种 条 件 ; 则 他 们 将 只 是 “ 宗 亲 ” 。

    然 则 , 究 竟 凭 着 什 么 理 由 , 决 定 这 种 专 断 的 包 括 和 除 外 ?

    为 什 么 一 个 “ 亲 属 关 系 ” 的 概 念 一 方 面 是 这 样 地 有 弹 性 , 可

    以 包 括 因 收 养 而 带 入 家 族 中 来 的 陌 生 人 , 但 另 一 方 面 又 是 这

    样 地 狭 隘 , 把 一 个 女 性 成 员 的 后 裔 排 除 在 家 族 之 外 ? 要 解 决

    这 个 问 题 , 我 们 又 必 须 回 到 “ 家 父 权 ” 。 “ 宗 亲 属 ” 的 基 础 并

    不 是 “ 父 ” “ 母 ” 的 婚 姻 , 而 是 “ 父 ” 的 权 威 。 在 同 一 “ 父

    权 ” 之 下 的 一 切 人 , 或 是 曾 经 在 它 下 面 的 一 切 人 , 或 是 可 能

    会 在 它 们 下 面 的 一 切 人 , 如 果 他 们 的 直 系 祖 先 寿 命 很 长 足 以

    造 成 他 个 人 的 王 国 , 所 有 这 一 切 人 就 都 是 因 “ 宗 亲 属 ” 而 结

    合 在 一 起 的 。 实 际 上 , 在 原 始 的 见 解 中 , 所 谓 “ 亲 属 关 系 ” 正

    是 以 “ 家 父 权 ” 为 其 范 围 的 。 “ 家 父 权 ” 开 始 时 , “ 亲 属 关

    系 ” 也 开 始 ; 因 此 , 收 养 关 系 也 包 括 在 亲 属 关 系 之 中 。 “ 家 父

    权 ” 终 了 时 , “ 亲 属 关 系 ” 也 终 了 ; 因 此 , 一 个 被 父 所 解 放 了

    的 子 就 丧 失 了 “ 宗 亲 属 ” 的 一 切 权 利 。 这 就 是 为 什 么 女 性 后

    裔 不 在 古 亲 属 关 系 范 围 之 内 的 理 由 。 如 果 一 个 妇 女 未 婚 而 死

    亡 , 她 不 能 有 合 法 的 卑 亲 属 。 在 她 结 婚 后 , 她 所 生 的 子 女 属于 她 夫 而 不 属 于 她 父 的 “ 家 父 权 ” 范 围 , 这 样 , 她 的 子 女 就不 属 于 她 自 己 的 家 族 。 很 显 然 , 如 果 有 人 自 称 是 母 亲 的 亲 属 ,

    则 原 始 的 社 会 组 织 可 能 要 为 之 惊 惶 失 措 。 因 为 这 样 一 个 人 就

    可 能 要 属 于 两 个 不 同 的 “ 家 父 权 ” ; 但 是 各 别 的 “ 家 父 权 ” 含

    有 各 别 的 管 辖 权 之 意 , 则 这 个 同 时 属 于 两 个 管 辖 权 的 人 就 必

    将 生 活 于 两 种 不 同 法 律 管 理 之 下 。 既 然 “ 家 族 ” 是 帝 国 内 的

    一 个 帝 国 ; 是 共 和 政 治 内 的 一 个 共 产 体 , 受 到 它 自 己 的 以 父

    为 其 泉 源 的 制 度 的 统 治 , 则 把 亲 属 关 系 限 于 “ 宗 亲 ” , 正 是 避

    免 在 家 庭 中 的 法 庭 上 发 生 法 律 冲 突 的 一 种 必 要 保 证 。

    “ 父 权 ” 本 身 因 父 的 死 而 消 灭 , 但 “ 宗 亲 属 ” 则 好 像 是 一

    个 模 型 , 在 “ 父 权 ” 消 灭 后 还 留 着 痕 迹 。 这 就 是 研 究 法 律 学

    史 的 人 对 “ 宗 亲 属 ” 感 到 有 兴 趣 的 所 在 。 只 有 在 比 较 少 数 的

    古 代 法 律 的 纪 念 碑 中 可 以 看 到 “ 父 权 ” , 但 是 意 味 着 父 权 存 在

    的 “ 宗 亲 ” 关 系 , 则 几 乎 到 处 都 可 以 发 现 。 属 于 印 度 - 欧 罗

    巴 祖 先 的 各 个 共 产 体 的 土 著 法 律 , 在 其 最 古 结 构 中 ; 绝 少 不

    显 示 出 明 明 可 以 归 因 于 “ 宗 亲 属 ” 的 特 性 的 。 例 如 : 在 含 有

    浓 厚 宗 族 依 附 这 个 原 始 观 念 的 印 度 法 中 , 亲 属 关 系 是 完 全

    “ 宗 亲 ” 的 , 据 我 所 知 , 在 印 度 的 家 谱 中 , 所 有 妇 女 的 名 字 一

    般 是 完 全 略 而 不 载 的 。 对 于 亲 属 关 系 的 这 种 同 样 见 解 , 在 许

    多 蹂 躏 罗 马 帝 国 的 各 民 族 的 法 律 中 都 普 遍 存 在 , 真 好 象 是 它

    们 原 始 惯 例 的 一 部 分 ; 我 们 并 且 不 妨 猜 想 ; 如 果 不 是 后 期 罗

    马 法 对 现 代 思 想 所 加 的 巨 大 影 响 , 它 在 现 代 欧 洲 法 律 学 中 可

    能 要 比 现 在 更 永 久 地 被 保 存 着 。 “ 裁 判 官 ” 很 早 就 把 “ 血 亲属 ” 作 为天然 形 式 的 亲 属 关 系 , 并 不 辞 艰 苦 地 想 把 旧 的 概 念

    从 他 们 的 制 度 中 清 除 出 去 。 他 们 的 观 念 传 给 了 我 们 , 但 “ 宗亲 属 ” 的 痕 迹 在 许 多 现 代 的 继 承 法 规 定 中 仍 旧 可 以 看 到 。 把

    女 性 及 其 子 女 排 斥 在 政 府 职 务 之 外 , 一 般 以 为 系 由 于 撒 利 族法 兰 克 人 ( S a l i a n   F r a n k s ) 的 惯 例 , 但 这 当 然 是 来 自 “ 宗亲 ” 关 系 , 起 源 于 古 日 耳 曼 对 于 自 主 财 产 的 继 承 规 定 。 在 英

    国 法 律 中 , 只 有 到 最 近 才 被 废 弃 的 那 种 特 别 规 定 , 即 禁 止 半

    血 统 兄 弟 相 互 继 承 土 地 的 规 定 , 也 可 以 在 “ 宗 亲 ” 中 找 到 解

    释 。 在 诺 曼 底的 习 惯 中 。 这 个 规 定 只 适 用 于同母 ·

    异 ·

    父 ( u t e r i n e ) 兄 弟 , 也 即 是 同 母 而 不 是 同 父 的 兄 弟 ; 这

    种 限 制 , 是 严 格 地 从 “ 宗 亲 属 ” 制 度 中 演 绎 出 来 的 , 因 为 在

    这 个 制 度 下 , 同 母 异 父 兄 弟 在 相 互 之 间 根 本 不 是 亲 属 。 当 它

    被 带 到 英 格 兰 时 , 英 国 法 官 不 了 解 原 则 的 来 源 , 把 它 解 释 为

    只 是 一 般 地 禁 止 半 血 统 的 继 承 , 并 把 它 推 用 到同血 ·

    统兄 弟 , 即 同 父 异 母 的 各 个 儿 子 。 在 一 切 虚 伪 法律 哲 学 的 文 籍 中 , 当 以 企 图 对 半 血 统 的 被 排 斥 进 行 解 释 并 证

    明 它 是 正 当 的 布 拉 克 斯 顿 的 诡 辩 文 章 , 最 为 突 出 。

    我 以 为 , 由 此 可 以 看 出 这 个 由 “ 家 父 权 ” 结 合 起 来 的

    “ 家 族 ” 是 全 部 “ 人 法 ” 从 其 中 孕 育 而 产 生 出 来 的 卵 巢 。 在

    “ 人 法 ” 的 各 章 中 , 最 重 要 的 是 有 关 妇 女 身 分 的 一 章 。 刚 才 说

    过 , “ 原 始 法 律 学 ” 虽 不 允 许 一 个 妇 女 把 任 何 “ 宗 亲 属 ” 的 权

    利 传 给 其 后 裔 , 但 却 把 它 本 人 包 括 在 “ 宗 亲 ” 范 围 之 内 。 其

    实 , 一 个 女 性 同 她 所 出 生 的 家 族 之 间 的 关 系 , 应 该 比 把 她 和

    男 性 亲 属 结 合 在 一 起 的 关 系 更 来 得 严 格 、 密 切 和 永 久 。 我 们

    曾 几 次 说 过 , 早 期 法 律 只 着 眼 于 “ 家 族 ” ; 这 也 就 是 说 , 它 只

    着 眼 于 行 使 “ 家 父 权 ” 的 人 : 因 此 , 它 在 父 死 之 时 解 放 其 子

    或 孙 所 依 据 的 唯 一 原 则 , 是 在 考 虑 这 个 子 或 孙 有 没 有 使 其 本身 成 为 一 个 新 家 族 的 首 领 和 一 套 新 “ 父 权 ” 的 根 子 的 能 力 。 一

    个 妇 女 当 然 不 具 有 这 种 能 力 , 因 此 也 就 不 能 有 获 得 法 律 所 赋

    与 的 自 由 的 权 利 。 所 以 古 法 律 学 用 一 种 特 殊 的 诡 计 把 她 终 生

    留 在 “ 家 族 ” 的 范 围 中 。 这 就 是 最 古 罗 马 法 中 所 谓 “ 妇 女 终身 监 护 ” ( P e r p e t u a l   T u t e l a g e   o f   W o m e n ) 的 制 度 , 在 这个 制 度 下 面 , 一 个 “ 女 性 ” 虽 因 其 父 的 死 亡 而 从 父 权 中 解 脱

    出 来 , 但 仍 应 继 续 终 身 从 属 于 最 近 的 男 性 亲 属 ; 并 以 他 作 为

    其 “ 监 护 人 ” 。 “ 终 身 监 护 制 ” ( P e r p e t u a l   G u a r d i a n s h i p ) 显

    然 是 不 折 不 扣 的 “ 家 父 权 ” 的 一 种 人 为 的 延 长 , 虽 然 当 时 在

    其 他 方 面 , “ 家 父 权 ” 已 经 被 完 全 取 消 了 。 在 印 度 , 这 个 制 度

    完 整 无 缺 地 保 存 下 来 , 并 执 行 得 非 常 严 格 , 以 致 一 个 印 度 的

    母 亲 常 常 受 着 自 己 儿 子 的 监 护 。 甚 至 在 欧 洲 所 有 斯 干 的 那 雄

    亚 各 国 有 关 妇 女 的 法 律 一 直 到 最 近 还 保 留 着 这 种 制 度 。 西 罗

    马 帝 国 的 侵 入 者 在 土 著 惯 例 中 都 普 遍 具 有 这 种 制 度 。 他 们 在

    “ 监 护 制 ” 这 个 主 题 上 所 有 的 各 式 各 样 观 念 , 实 在 是 他 们 介 绍

    到 西 方 世 界 的 各 种 观 念 中 最 退 化 的 一 种 。 但 在 成 熟 的 罗 马 法

    律 学 中 , 这 种 制 度 已 完 全 消 失 。 如 果 我 们 所 能 参 考 的 只 是 查

    斯 丁 尼 安 所 编 纂 的 法 律 , 则 我 们 将 几 乎 完 全 不 知 道 有 这 样 一

    个 制 度 ; 但 是 该 雅 士 手 稿 的 发 现 让 我 们 看 到 了 这 个 制 度 , 正

    当 它 陷 于 完 全 丧 失 信 用 和 濒 于 消 灭 的 这 样 一 个 最 有 趣 的 时

    代 。 这 个 伟 大 的 法 学 专 家 斥 责 了 一 般 用 来 替 这 个 制 度 辩 解 的

    所 谓 女 性 智 力 低 劣 的 说 法 , 在 他 的 著 作 中 , 并 且 有 相 当 大 的

    一 部 分 用 来 说 明 罗 马 法 学 家 所 提 出 以 便 “ 妇 女 们 ” 能 凭 以 打

    垮 这 古 代 规 定 的 许 多 方 法 , 其 中 有 些 是 非 常 聪 明 的 。 这 些 法

    学 专 家 在 “ 自 然 法 ” 理 论 的 指 导 下 , 在 这 个 时 期 明 显 地 以 两性 平 等 作 为 其 衡 平 法 典 的 一 个 原 则 。 我 们 可 以 看 到 他 所 攻 击

    的 各 种 限 制 是 对 于 财 产 处 分 上 的 限 制 , 因 为 在 那 个 时 候 , 妇

    女 处 分 财 产 仍 必 须 正 式 取 得 其 监 护 人 的 同 意 。 至 于 对 她 人 身

    的 支 配 权 则 显 然 早 已 废 弃 了 。

    “ 古 代 法 ” 把 妇 女 从 属 于 她 血 统 至 亲 , 而 现 代 法 律 学 中 的

    一 个 主 要 现 象 则 是 把 她 从 属 于 丈 夫 。 这 种 变 化 的 历 史 是 值 得

    注 意 的 。 这 种 历 史 的 开 始 , 远 在 罗 马 的 纪 年 史 中 。 在 古 代 , 按

    照 罗 马 的 惯 例 而 缔 结 婚 姻 的 方 式 有 三 种 , 一 种 是 男 宗 教 仪 式 ,

    另 外 两 种 是 按 照 世 俗 仪 式 进 行 。 宗 教 婚 姻 叫共食婚 ( C o n f a r A r e a t i o n ) ; 高 级 形 式 的 民 事 婚 姻 称 为买卖婚 ( C o e m p t i o n ) ; 低 级 形 式 称 为时效婚 ( U s u s ) , 通 过 这 些 婚 姻 , 夫 对 于 妻 的 人 身和 财 产 取 得 了 多 种 权 利 , 总 的 说 来 , 是 超 过 现 代 法 律 学 任 何制 度 所 赋 与 他 的 。 然 则 , 他 究 竟 是 凭 什 么 能 力 取 得 这 些 权 利的 呢 ? 他 不 是 以夫 而 是 以父 的 能 力 。 通 过 “ 共 食 婚 ” 、 “ 买 卖婚 ” 和 “ 时 效 婚 ” ,妇女处在夫 的 监 护 下也 就 是 说 , 在 法 律 上 , 她 成 了 她 丈 夫 的女儿 。 她 被 包 括 在 夫的 “ 家 父 权 ” 中 。 她 承 担 着 在 “ 家 父 权 ” 存 在 时 所 产 生 的 以及 在 “ 家 父 权 ” 消 灭 后 所 遗 下 的 一 切 义 务 。 她 所 有 的 全 部 财

    产 绝 对 地 属 于 夫 所 有 , 在 他 死 亡 后 , 她 便 受 监 护 人 的 保 护 , 监

    护 人 是 由 其 夫 用 遗 嘱 指 定 的 。 但 是 , 这 三 种 古 代 的 婚 姻 形 式

    逐 渐 废 弃 不 用 , 在 罗 马 最 光 辉 灿 烂 的 时 期 , 它 们 几 乎 完 全 为

    另 外 的 一 种 婚 礼 所 代 替 — — 显 然 是 旧 式 的 , 但 到 这 时 为 止 一

    向 是 被 认 为 不 体 面 的 — — , 这 是 低 级 形 式 民 间 婚 姻 的 一 种 变

    形 。 我 毋 庸 详 细 说 明 这 在 现 在 成 为 普 遍 流 行 的 制 度 的 专 门 结

    构 , 只 须 说 明 : 在 法 律 上 妇 女 只 是 作 为 家 族 的 一 种 暂 时 寄 托物 而 已 。 家 族 所 有 的 各 种 权 利 仍 旧 毫 无 损 失 , 妇 女 继 续 在 她

    父 所 指 定 的 监 护 人 的 保 护 之 下 , 而 监 护 人 的 支 配 权 在 许 多 实

    质 问 题 上 甚 且 超 过 其 夫 的 低 级 权 力 。 其 结 果 , 罗 马 女 性 不 论

    是 已 婚 的 或 未 婚 的 , 在 人 身 上 和 财 产 上 都 有 巨 大 的 独 立 地 位 ,

    因 为 象 我 已 经 暗 示 过 的 ; 后 期 法 律 的 趋 势 把 监 护 人 的 权 力 逐

    渐 缩 减 到 零 , 而 流 行 的 婚 姻 形 式 也 并 没 有 把 补 充 的 优 越 权 给

    予 其 夫 。 但 基 督 教 似 乎 从 开 始 时 就 有 要 缩 小 这 种 显 著 自 由 的

    倾 向 。 具 有 这 个 新 信 仰 的 专 家 们 最 初 由 于 对 腐 败 的 邪 教 世 界

    种 种 放 荡 行 为 的 正 当 嫌 恶 的 引 导 , 但 后 来 则 为 禁 欲 主 义 的 一

    种 热 情 所 催 促 , 对 于 这 事 实 上 为 西 方 世 界 所 仅 见 的 最 松 弛 的

    一 种 婚 姻 关 系 , 不 表 欢 迎 。 最 后 期 的 罗 马 法 律 由 于 它 曾 受 到

    基 督 皇 帝 宪 令 的 接 触 , 带 有 反 对 这 些 伟 大 安 托 宁 法 学 专 家 们

    自 由 学 理 的 某 种 痕 迹 。 当 时 流 行 的 宗 教 情 绪 可 以 说 明 , 经 过

    蛮 族 征 服 的 熔 炉 锻 炼 过 并 由 罗 马 法 律 学 同 宗 法 惯 例 混 合 而 形

    成 的 近 代 法 律 学 , 为 什 么 会 在 其 雏 形 中 过 分 地 吸 收 一 些 不 完

    全 的 文 明 社 会 中 有 关 妇 女 地 位 的 规 定 。 在 近 代 史 开 始 的 混 乱

    时 代 , 日 耳 曼 和 斯 拉 夫 移 民 的 法 律 对 于 地 方 臣 民 象 是 一 个 隔

    层 那 样 重 叠 在 罗 马 法 学 之 上 , 这 些 优 胜 民 族 的 妇 女 到 处 都 是

    处 在 各 式 各 样 的 古 代 监 护 制 之 下 , 丈 夫 要 从 他 本 族 以 外 任 何

    家 族 娶 妻 , 为 了 从 他 们 那 里 取 得 保 佐 权 , 就 必 须 以 一 种 聘 金

    付 给 她 的 亲 属 作 为 代 价 。 当 我 们 继 续 向 前 进 展 看 到 中 世 纪 时 ,

    法 典 已 通 过 两 种 制 度 的 合 并 而 形 成 , 其 有 关 妇 女 的 法 律 也 就

    带 有 双 重 渊 源 的 烙 印 。 对 于 未 婚 女 性 , 罗 马 法 律 学 的 原 则 占

    了 优 势 , 一 般 ( 虽 然 对 这 规 定 在 有 些 地 方 是 有 例 外 的 ) 都 已

    不 受 家 族 的 束 缚 ; 但 已 婚 妇 女 的 地 位 则 是 根 据 蛮 族 的 古 代 原则 规 定 的 , 夫 能 以 夫 的 身 分 把 过 去 一 度 属 于 妻 的 男 性 亲 属 所

    有 的 各 种 权 力 取 为 己 有 , 所 不 同 的 是 他 已 不 再 是 购 买 他 的 特

    权 了 。 因 此 , 到 这 时 候 , 西 欧 和 南 欧 的 近 代 法 律 开 始 因 这 样

    一 个 主 要 特 征 而 著 名 , 就 是 一 方 面 未 婚 妇 女 和 寡 妇 比 较 有 了

    自 由 , 另 一 方 面 它 又 使 妻 子 感 到 沉 重 无 力 。 由 于 婚 姻 而 使 女

    性 处 于 从 属 地 位 , 要 经 过 很 长 时 期 才 明 显 地 消 灭 , 欧 洲 这 种

    野 蛮 主 义 的 复 活 , 其 主 要 和 有 力 的 溶 剂 始 终 是 来 自 查 斯 丁 尼

    安 法 典 化 的 法 律 学 ; 因 为 凡 是 研 究 它 的 地 方 都 必 然 地 会 唤 起

    那 热 情 , 查 斯 丁 尼 安 法 典 化 的 法 律 学 隐 秘 地 、 但 是 最 有 效 地

    损 坏 着 它 在 表 面 上 仅 仅 是 要 加 以 解 释 的 各 种 习 惯 、 但 是 有 关

    已 婚 妇 女 的 一 章 法 律 , 绝 大 部 分 不 是 根 据 了 “ 罗 马 法 ” 而 是

    根 据 了 “ 寺 院 法 ” 的 见 解 来 解 释 的 , “ 寺 院 法 ” 对 于 因 婚 姻 而

    创 设 关 系 所 持 的 见 解 同 世 俗 法 律 学 的 精 神 两 者 之 间 有 着 宽 阔

    的 距 离 , 其 程 度 较 其 他 任 何 方 面 都 来 得 明 显 。 这 多 少 是 难 以

    避 免 的 , 因 为 凡 是 保 留 着 一 些 基 督 教 制 度 这 种 彩 色 的 社 会 , 很

    少 可 能 会 使 已 婚 妇 女 恢 复 中 期 罗 马 法 所 赋 与 她 们 的 个 人 自

    由 , 但 是 已 婚 女 性 在 财 产 上 没 有 权 力 和 其 在 人 格 上 的 没 有 地

    位 是 建 筑 在 完 全 不 同 的 基 础 上 的 , 而 寺 院 法 的 释 义 者 所 以 深

    深 阻 碍 了 文 明 , 就 是 因 为 他 们 把 前 者 保 存 下 来 , 并 加 以 巩 固 。

    有 许 多 迹 象 说 明 在 世 俗 原 则 和 教 会 原 则 之 间 , 是 曾 经 发 生 过

    斗 争 的 , 但 寺 院 法 几 乎 处 处 都 得 到 胜 利 。 在 有 些 法 国 省 分 中 ,

    等 级 低 于 贵 族 的 已 婚 妇 女 取 得 了 罗 马 法 律 学 所 准 许 的 处 分 财

    产 的 全 部 权 力 , 这 种 地 方 法 律 后 来 有 大 部 分 就 为 “ 拿 破 仑 法

    典 ” 所 采 纳 ; 但 是 苏 格 兰 法 律 的 情 况 表 明 , 切 实 顺 从 罗 马 法

    学 专 家 的 学 理 并 不 一 定 能 使 妻 的 地 位 有 所 提 高 。 不 过 对 于 已 婚 妇 女 最 严 厉 的 制 度 , 或 则 是 那 些 严 格 尊 重 “ 寺 院 法 ” 的 制

    度 , 或 则 是 由 于 同 欧 洲 文 明 接 触 较 迟 从 未 把 他 们 的 古 制 加 以

    去 除 的 制 度 。 斯 干 的 那 维 亚 法 律 直 到 后 来 对 于 所 有 女 性 还 是

    比 较 苛 刻 的 , 仍 旧 因 为 对 妻 的 严 峻 而 著 名 。 英 国 普 通 法 所 规

    定 的 财 产 上 的 无 能 力 , 其 严 厉 程 度 也 并 不 稍 逊 , 而 英 国 普 通

    法 中 绝 大 部 分 的 基 本 原 则 , 都 是 来 自 “ 寺 院 法 学 者 ” 的 法 律

    学 的 。 普 通 法 中 规 定 已 婚 妇 女 法 律 地 位 的 那 一 部 分 , 真 可 以

    使 一 英 国 人 对 作 为 本 章 主 题 的 伟 大 制 度 有 一 个 明 白 的 概 念 。

    我 们 只 要 回 想 一 下 纯 粹 英 国 普 通 法 所 赋 与 丈 夫 的 各 种 特 权 ,

    并 回 想 一 下 , 在 普 通 法 还 没 有 经 衡 平 法 或 制 定 法 修 正 的 部 分

    中 , 在 权 利 、 义 务 和 救 济 等 各 方 面 严 格 地 坚 持 妻 在 法 律 上 必

    须 完 全 从 属 的 见 解 , 我 们 将 对 古 代 “ 家 父 权 ” 的 运 用 和 性 质 ,

    获 得 一 个 鲜 明 的 印 象 。 最 早 的 罗 马 法 和 最 晚 的 罗 马 法 之 间 , 就

    在 “ 父 权 下 之 子 ” 这 个 主 题 上 所 存 在 着 的 距 离 , 同 普 通 法 和

    衡 平 法 院 法 律 学 就 其 分 别 对 妻 所 作 规 定 上 存 在 的 距 离 , 可 以

    视 为 完 全 相 等 。

    如 果 我 们 看 不 到 监 护 在 两 种 形 式 上 的 真 正 来 源 , 而 就 这

    些 论 题 采 用 了 普 通 用 语 , 则 我 们 必 然 会 以 为 , “ 妇 女 的 保 佐 ”

    果 然 是 古 代 法 律 制 度 把 停 止 权 利 的 拟 制 推 进 到 一 个 过 分 极 端

    的 例 子 , 而 古 代 法 律 制 度 为 “ 男 性 孤 儿 监 护 ”所 设 的 规 定 则 是 恰 恰 方 向 相 反 的 一 种 错 误 的 例 证 。 所 有 这 类 制 度 都 规 定 在 绝 早 的 时 期 就 终 止 男

    性 的 保 佐 。 根 据 可 以 作 为 其 典 型 的 古 代 罗 马 法 的 规 定 , 因

    “ 父 ” 或 “ 祖 父 ” 死 亡 而 免 除 “ 家 父 权 ” 的 家 子 , 应 仍 处 在 监

    护 之 下 , 一 般 讲 到 他 十 五 岁 的 时 候 为 止 ; 但 一 到 这 个 时 候 , 他 就 能 立 刻 完 全 享 有 人 格 和 财 产 独 立 之 权 。 因 此 , 未 成 年 的 期

    间 , 是 不 合 理 地 短 促 , 正 像 妇 女 无 权 力 的 持 续 期 间 是 荒 谬 地

    长 久 一 样 。 但 是 , 事 实 上 , 在 造 成 这 两 种 监 护 原 来 形 式 的 情

    况 中 , 既 没 有 过 分 , 也 没 有 不 足 的 成 分 。 在 这 两 者 之 中 , 不

    论 是 哪 一 种 都 丝 毫 没 有 考 虑 对 公 或 对 私 的 便 利 。 男 性 孤 儿 的

    监 护 原 只 是 为 了 庇 护 他 们 到 解 事 的 年 龄 , 正 像 妇 女 的 保 佐 , 目

    的 是 在 保 护 女 性 使 不 受 其 本 身 柔 弱 所 造 成 的 害 处 。 父 的 死 亡

    所 以 能 使 子 免 除 家 族 束 缚 , 其 理 由 是 为 了 子 已 有 能 力 成 为 一

    个 新 的 宗 族 首 领 和 一 个 新 “ 家 父 权 ” 的 始 创 者 ; 这 类 能 力 是

    妇 女 所 没 有 的 , 所 以 她 就 ·

    永 ·

    远 ·

    不 ·

    能 被 解 放 。 因 此 “ 男 性 孤 儿

    监 护 ” 是 一 种 手 段 , 用 以 保 持 从 属 于 “ 父 ” 家 族 的 假 象 , 到

    假 定 儿 童 能 自 成 为 父 的 时 候 为 止 。 这 就 是 把 “ 家 父 权 ” 延 长

    到 体 力 刚 刚 达 到 壮 年 时 为 止 。 因 为 严 格 的 理 论 要 求 它 应 该 作

    出 这 样 的 规 定 , 直 到 青 春 期 终 了 为 止 。 但 是 , 它 既 然 并 不 要

    求 把 受 监 护 的 孤 儿 一 直 监 护 到 智 力 成 熟 或 适 宜 于 处 理 事 务 的

    年 龄 , 那 就 不 能 达 到 一 般 便 利 的 目 的 ; 而 这 一 层 似 乎 是 罗 马

    人 在 其 社 会 进 步 的 很 早 阶 段 就 已 经 发 觉 的 了 。 罗 马 立 法 中 最

    早 的 纪 念 碑 之 一 是 ·

    雷 ·

    多 ·

    利 ·

    亚 或 ·

    柏 ·

    雷 ·

    多 ·

    利 ·

    亚 ·

    法 ( L e x   l Et o r i a

      o r   P l Et o r i a ) , 它 就 把 所 有 成 年 的 和 有 完 全 权 利 的 自 由 男性 放 在 一 种 新 型 监 护 人 称 为保佐人 ( C u r a t o r e s ) 的 暂 时 管 束之 下 , 取 得 保 佐 人 的 认 可 是 一 切 行 为 或 契 约 有 效 的 必 要 条 件 。

    青 年 人 年 龄 达 到 二 十 六 岁 , 是 这 个 制 定 法 所 规 定 的 监 督 的 限

    期 ; 罗 马 法 中 所 用 的 “ 成 年 ” 或 “ 未 成 年 ” 这 些 名 词 , 是 专

    对 二 十 五 岁 的 年 龄 而 言 的 。 在 现 代 法 律 学 中 , ·

    未 ·

    成 ·

    年 或 ·

    受 ·

    ·

    护 已 经 几 乎 一 致 地 被 用 为 专 门 保 护 在 体 力 上 和 智 力 上 未 成 熟的 少 年 人 。 在 达 到 解 事 年 龄 时 ,未成 · 年 或受 · 监护 便 自 然 终 止

    了 。 但 罗 马 人 对 于 体 力 幼 弱 的 保 护 和 对 于 智 力 幼 稚 的 保 护 , 分

    成 在 理 论 上 和 在 形 式 上 完 全 不 同 的 两 种 制 度 。 有 关 这 两 种 制

    度 的 观 念 , 在 近 代 的 对 监 护 的 观 念 中 已 合 而 为 一 。

    “ 人 法 ” 中 还 有 另 外 一 章 , 现 在 有 加 以 引 述 的 必 要 。 在 成

    熟 的 法 律 学 的 各 种 制 度 中 用 以 规 定 ·

    奴 ·

    隶 ·

    主 ·

    和 ·

    奴 ·

    隶 关 系 的 法 律

    规 定 , 并 没 有 很 明 显 的 迹 象 可 以 表 明 这 种 原 始 状 态 是 古 代 社

    会 所 共 有 的 。 但 是 这 种 例 外 是 有 理 由 的 。 在 “ 奴 隶 制 度 ” 中

    似 乎 始 终 有 一 些 使 人 类 为 之 震 惊 或 困 惑 的 东 西 , 不 论 人 类 是

    如 何 的 不 习 惯 于 回 忆 , 不 论 人 类 道 德 天 性 的 教 养 是 进 步 得 如

    何 微 少 。 古 代 共 产 体 几 乎 是 下 意 识 地 都 要 体 验 到 良 心 谴 责 , 其

    结 果 往 往 会 采 用 一 些 想 象 的 原 则 为 奴 隶 制 度 作 辩 护 , 或 至 少

    是 作 理 性 上 的 辩 护 的 可 能 根 据 。 在 他 们 历 史 的 初 期 , 希 腊 人

    解 释 这 个 制 度 的 根 据 是 因 为 某 种 民 族 智 力 低 劣 , 从 而 天 然 地

    适 合 于 这 种 奴 役 状 态 。 罗 马 人 用 了 同 样 独 特 的 精 神 , 认 为 它

    是 战 胜 者 和 战 败 者 之 间 一 种 假 定 的 合 意 , 前 者 要 求 敌 人 永 久

    为 其 服 役 ; 而 后 者 以 获 得 他 在 法 律 上 已 经 丧 失 的 生 命 来 作 为

    交 换 。 这 些 理 论 不 但 不 充 分 , 并 且 也 显 然 同 它 所 想 说 明 的 实

    际 情 况 不 符 。 但 这 些 理 论 在 某 些 方 面 还 有 着 巨 大 的 影 响 。 它

    们 使 “ 奴 隶 主 ” 心 安 理 得 。 它 们 永 久 保 存 了 并 且 也 许 加 深 了

    “ 奴 隶 ” 的 低 下 地 位 。 它 们 自 然 有 助 于 隐 蔽 奴 隶 同 家 族 制 度 其

    他 方 面 原 来 所 有 的 关 系 。 这 种 关 系 虽 不 明 显 , 但 在 原 始 法 律

    的 许 多 部 分 中 , 特 别 是 在 典 型 的 制 度 — — 即 古 罗 马 的 制 度 中 ,

    还 是 不 经 意 地 被 表 现 出 来 的 。

    在 美 国 , 曾 花 了 很 多 力 量 从 事 于 研 究 早 期 社 会 中 “ 奴隶 ” 是 否 被 认 为 “ 家 族 ” 中 一 个 成 员 的 问 题 。 有 这 样 一 种 看法 , 认 为 答 案 必 然 是 正 面 的 。 从 古 代 法 和 许 多 原 始 历 史 所 提供 的 证 据 中 , 很 明 显 , “ 奴 隶 ” 在 某 种 条 件 下 , 是 可 以 成 为“ 奴 隶 主 ” 的 “ 继 承 人 ” 或 “ 概 括 继 承 人 ” ( U n i v e r s a l S u c c e s s o r ) 的 , 这 样 重 要 的 权 力 , 像 我 将 在 “ 继 承 ” 这 一 章中 加 以 说 明 的 , 意 味 着 “ 家 族 ” 的 管 理 和 代 理 在 某 种 特 殊 情

    况 下 是 可 能 遗 传 给 奴 仆 的 。 但 在 美 国 的 论 点 中 似 乎 有 着 这 样

    的 一 个 假 定 , 即 如 果 我 们 承 认 “ 奴 隶 制 ” 曾 经 是 一 个 原 始 的

    “ 家 族 ” 制 度 , 这 个 确 认 实 在 就 是 意 味 着 承 认 现 在 “ 黑 奴 制

    度 ” 在 道 德 上 是 有 可 以 辩 护 的 根 据 的 。 然 则 所 谓 “ 奴 隶 ” 原

    来 就 包 括 在 “ 家 族 ” 之 内 , 究 竟 是 什 么 意 思 呢 ? 这 并 不 是 说

    奴 隶 的 地 位 不 可 能 是 激 动 人 们 行 动 的 最 卑 鄙 动 机 的 产 物 。 “ 奴

    隶 制 ” 的 基 础 无 疑 是 出 于 这 种 简 单 的 愿 望 , 就 是 利 用 他 人 的

    体 力 以 为 图 谋 自 己 舒 适 或 安 乐 的 一 种 手 段 , 而 这 是 象 人 类 天

    性 一 样 地 古 老 的 。 当 我 们 说 “ 奴 隶 ” 在 古 时 候 就 包 括 在 “ 家

    族 ” 之 内 , 我 们 并 不 是 企 图 说 明 那 些 把 他 带 到 “ 家 族 ” 里 并

    把 他 留 在 那 里 的 人 们 的 动 机 ; 我 们 仅 仅 是 在 暗 示 , 把 他 同 奴

    隶 主 连 结 起 来 的 约 束 , 和 把 集 团 中 每 一 个 成 员 同 族 长 结 合 在

    一 起 的 约 束 , 是 属 于 同 样 的 一 般 性 质 的 。 我 们 在 前 面 已 提 到

    过 , 在 人 类 原 始 观 念 中 , 除 了 家 族 关 系 之 外 , 不 可 能 理 解 在

    各 个 个 人 相 互 之 间 可 以 有 任 何 关 系 , 事 实 上 , 上 述 的 后 果 就

    是 来 自 这 个 一 般 的 确 言 。 “ 家 族 ” 首 先 包 括 因 血 缘 关 系 而 属 于

    它 的 人 们 , 其 次 包 括 因 收 养 而 接 纳 的 人 们 ; 但 是 当 有 一 种 第

    三 类 的 人 , 他 们 只 是 因 为 共 同 从 属 于 族 长 而 参 加 “ 家 族 ” 的 ,

    这 些 人 就 是 “ 奴 隶 ” 。 族 长 所 出 生 的 和 收 养 的 臣 民 被 放 在 “ 奴隶 ” 之 上 ; 因 为 按 照 事 物 正 常 的 发 展 , 他 们 迟 早 一 定 会 从 约

    束 中 被 解 放 出 来 , 行 使 他 自 己 的 权 力 ; 至 于 “ 奴 隶 ” , 他 并 不

    因 为 地 位 低 微 而 被 放 在 家 族 范 围 之 外 , 也 不 因 为 他 地 位 低 微

    而 使 他 降 低 到 无 生 命 的 财 产 那 样 的 地 位 , 我 以 为 , 这 是 可 以

    从 遗 留 下 来 的 许 多 迹 象 中 明 显 地 证 明 的 , 象 在 没 有 其 他 办 法

    时 古 代 奴 隶 可 以 有 继 承 的 能 力 , 就 是 证 明 之 一 。 但 如 果 妄 自

    推 测 , 以 为 在 社 会 的 启 蒙 时 期 , 因 为 在 “ 父 ” 的 王 国 中 曾 经

    为 他 保 留 过 一 定 的 地 位 , 所 以 “ 奴 隶 ” 的 命 运 就 可 以 大 大 改

    善 , 这 当 然 是 极 端 不 妥 当 的 。 比 较 可 能 的 情 况 是 , 家 子 在 实

    际 上 已 经 被 同 化 为 “ 奴 隶 ” , 而 不 是 “ 奴 隶 ” 分 享 着 较 晚 的 时

    代 父 对 其 子 所 表 示 的 那 种 温 情 。 但 是 对 于 那 些 比 较 进 步 的 和

    成 熟 的 法 典 , 我 们 可 以 有 信 心 地 说 , 凡 是 准 许 有 奴 隶 制 度 的

    场 合 , 在 那 些 保 留 着 奴 隶 早 期 状 态 某 种 残 余 的 制 度 下 面 的

    “ 奴 隶 ” , 一 般 要 比 采 用 使 他 社 会 地 位 降 低 的 其 他 理 论 的 制 度

    下 面 的 “ 奴 隶 ” 好 一 些 。 法 律 学 对 于 奴 隶 所 持 的 观 念 , 对 于

    奴 隶 始 终 有 着 巨 大 的 关 系 。 罗 马 法 由 于 受 到 了 “ 自 然 法 ” 理

    论 的 影 响 , 把 他 日 益 看 作 为 一 件 财 产 的 趋 势 得 以 停 止 发 展 , 从

    而 凡 是 深 受 罗 马 法 律 学 影 响 并 准 许 有 奴 隶 的 地 方 , 其 奴 隶 的

    状 态 从 来 不 是 悲 惨 得 难 堪 的 。 我 们 有 大 量 的 证 据 , 证 明 在 美

    国 凡 是 以 高 度 罗 马 化 的 路 易 斯 安 那 州 法 典为 其 法 律 基 础 的 那 些 州 中 , 黑 种 人 的 命 运 及 其 前途 , 在 许 多 重 大 方 面 都 比 以 英 国 普 通 法 为 其 基 础 的 制 度 之 下

    的 要 好 得 多 , 因 为 根 据 最 近 的 解 释 , 在 英 国 普 通 法 上 “ 奴

    隶 ” 是 没 有 真 正 的 地 位 的 , 因 此 也 就 只 能 被 认 为 是 一 种 物 件 。

    到 现 在 为 止 , 我 们 已 经 研 究 过 属 于 本 文 范 围 之 内 的 有 关古 代 “ 人 法 ” 的 各 个 部 分 , 而 研 究 的 结 果 , 我 相 信 , 能 使 我

    们 对 于 法 律 学 初 生 时 期 所 有 的 看 法 , 有 进 一 步 的 明 确 。 各 国

    的 民 法 , 在 其 最 初 出 现 时 , 是 一 个 宗 法 主 权 的 “ 地 美 士 第 ” ,

    我 们 现 在 并 且 可 以 看 到 这 些 “ 地 美 士 第 ” 也 许 只 是 更 早 期 人

    类 状 态 中 每 一 个 独 立 族 长 可 能 向 他 妻 、 子 以 及 奴 隶 任 意 提 出

    的 不 负 责 任 的 命 令 的 一 种 发 展 形 式 。 但 是 甚 至 在 国 家 组 织 形

    成 之 后 , 法 律 的 使 用 仍 旧 是 极 其 有 限 的 。 这 些 法 律 不 论 是 保

    持 着 像 “ 地 美 士 第 ” 的 这 种 原 始 形 态 , 也 不 论 是 已 经 进 步 到

    “ 习 惯 或 法 典 化 条 文 ” 的 状 态 , 它 的 拘 束 力 只 及 到 各 “ 家 族 ”

    而 不 是 个 人 。 用 一 个 不 完 全 贴 切 的 对 比 , 古 代 法 律 学 可 以 譬

    作 “ 国 际 法 ” , 目 的 只 是 在 填 补 作 为 社 会 原 子 的 各 个 大 集 团 之

    间 的 罅 隙 而 已 。 在 处 于 这 种 情 况 下 的 一 个 共 产 体 中 , 议 会 的

    立 法 和 法 院 的 审 判 只 能 及 到 家 族 首 长 , 至 于 家 族 中 的 每 一 个

    个 人 , 其 行 为 的 准 则 是 他 的 家 庭 的 法 律 , 以 “ 家 父 ” 为 立 法

    者 。 但 民 法 的 范 围 在 开 始 时 虽 然 很 小 , 不 久 即 不 断 地 逐 渐 扩

    大 。 改 变 法 律 的 媒 介 即 拟 制 、 衡 平 和 立 法 , 依 次 在 原 始 制 度

    中 发 生 作 用 , 而 在 每 一 个 发 展 过 程 中 必 有 大 量 的 个 人 权 利 和

    大 量 的 财 产 从 家 庭 审 判 庭 中 移 转 到 公 共 法 庭 的 管 辖 权 之 内 。

    政 府 法 规 逐 渐 在 私 人 事 件 中 取 得 了 同 在 国 家 事 务 中 所 有 的 同

    样 的 效 力 , 已 不 再 被 每 一 个 家 庭 中 奉 为 神 圣 的 暴 君 的 严 命 所

    废 弃 了 。 通 过 罗 马 法 的 纪 年 史 , 我 们 可 以 看 到 有 关 一 个 古 代

    制 度 逐 渐 被 摧 毁 以 及 把 各 种 材 料 再 度 结 合 起 来 而 形 成 各 种 新

    制 度 的 几 乎 全 部 的 历 史 , 这 些 新 的 制 度 , 有 的 被 保 持 原 状 一

    直 传 到 了 现 代 世 界 , 也 有 的 由 于 在 黑 暗 时 期 和 蛮 族 相 接 触 而

    被 消 灭 或 腐 蚀 , 最 后 才 又 为 人 类 所 恢 复 。 当 这 个 法 律 学 在 查斯 丁 尼 安 时 代 经 过 了 最 后 一 次 改 编 后 , 除 了 为 活 着 的 “ 家

    父 ” 仍 旧 保 有 广 泛 权 力 的 唯 一 条 款 以 外 , 其 中 已 很 难 找 到 古

    代 制 度 的 迹 象 。 到 处 都 以 便 利 的 、 匀 称 的 或 单 纯 的 原 则 — —

    总 之 , 是 新 的 原 则 — — 来 代 替 能 满 足 古 代 良 心 的 空 洞 考 虑 的

    权 威 。 到 处 都 以 一 种 新 的 道 德 来 代 替 同 古 代 惯 例 相 一 致 的 行

    为 准 则 和 顺 从 理 由 , 因 为 在 事 实 上 , 这 些 准 则 和 理 由 都 是 从古 代 惯 例 中 产 生 的 。

    所 有 进 步 社 会 的 运 动 在 有 一 点 上 是 一 致 的 。 在 运 动 发 展的 过 程 中 , 其 特 点 是 家 族 依 附 的 逐 步 消 灭 以 及 代 之 而 起 的 个人 义 务 的 增 长 。 “ 个 人 ” 不 断 地 代 替 了 “ 家 族 ” , 成 为 民 事法律 所 考 虑 的 单 位 。 前 进 是 以 不 同 的 速 度 完 成 的 , 有 些 社会在表 面 上 是 停 止 不 前 , 但 实 际 上 并 不 是 绝 对 停 止 不 前 , 只要经过 缜 密 研 究 这 些 社 会 所 提 供 的 各 种 现 象 , 就 可 以 看 到 其 中 的古 代 组 织 是 在 崩 溃 。 但 是 不 论 前 进 的 速 度 如 何 , 变 化 是绝少受 到 反 击 或 者 倒 退 的 , 只 有 在 吸 收 了 完 全 从 外 国 来 的 古 代 观

    念 和 习 惯 时 , 才 偶 尔 发 生 显 然 停 滞 不 前 的 现 象 。 我 们 也 不 难

    看 到 : 用 以 逐 步 代 替 源 自 “ 家 族 ” 各 种 权 利 义 务 上 那 种 相 互

    关 系 形 式 的 , 究 竟 是 个 人 与 个 人 之 间 的 什 么 关 系 。 用 以 代 替

    的 关 系 就 是 “ 契 约 ” 。 在 以 前 , “ 人 ” 的 一 切 关 系 都 是 被 概 括

    在 “ 家 族 ” 关 系 中 的 , 把 这 种 社 会 状 态 作 为 历 史 上 的 一 个 起

    点 , 从 这 一 个 起 点 开 始 , 我 们 似 乎 是 在 不 断 地 向 着 一 种 新 的

    社 会 秩 序 状 态 移 动 , 在 这 种 新 的 社 会 秩 序 中 , 所 有 这 些 关 系

    都 是 因 “ 个 人 ” 的 自 由 合 意 而 产 生 的 。 在 西 欧 , 向 这 种 方 向

    发 展 而 获 得 的 进 步 是 显 著 的 。 奴 隶 的 身 分 被 消 灭 了 — — 它 已

    为 主 仆 的 契 约 关 系 所 代 替 了 。 在 “ 保 佐 下 妇 女 ” 的 身 分 , 如果 她 的 保 佐 人 不 是 夫 而 是 其 他 的 人 , 也 不 再 存 在 了 ; 从 她 成

    年 以 至 结 婚 , 凡 是 她 所 能 形 成 的 一 切 关 系 都 是 契 约 关 系 。 “ 父

    权 下 之 子 ” 的 身 分 也 是 如 此 , 在 所 有 现 代 欧 洲 社 会 的 法 律 中

    它 已 经 没 有 真 正 的 地 位 。 如 果 有 任 何 民 事 责 任 加 于 “ 家 父 ” 和

    成 年 之 子 , 使 他 们 共 同 受 到 它 的 约 束 , 则 这 样 的 责 任 只 可 能

    通 过 契 约 而 后 才 能 具 有 法 律 效 力 。 有 一 些 显 然 的 例 外 , 而 这

    种 例 外 的 性 质 适 足 以 证 明 这 个 规 定 。 在 解 事 年 龄 以 前 的 子 裔 ,在 监 护 下 的 孤 儿 , 经 宣 告 的 疯 癫 病 人 , 都 在 “ 人 法 ” 上 规 定了 他 们 在 某 些 方 面 是 有 能 力 的 , 在 某 些 方 面 是 无 能 力 的 。 究竟 为 什 么 要 有 这 些 规 定 呢 ? 在 各 种 不 同 制 度 的 传 统 用 语 中 , 所提 出 的 理 由 虽 然 是 各 不 相 同 的 , 但 是 在 实 质 上 , 各 种 说 法 所具 有 的 效 果 却 是 完 全 一 致 的 。 绝 大 部 分 法 学 家 都 一 致 承 认 这样 一 个 原 则 , 他 们 都 认 为 上 述 各 类 人 所 以 应 受 外 来 的 支 配 , 其唯 一 理 由 是 在 于 他 们 本 身 不 具 有 为 其 自 己 利 益 而 作 出 决 定 的能 力 ; 换 言 之 , 他 们 缺 乏 用 “ 契 约 ” 而 达 到 定 约 的 必 要 条 件 。

    “ 身 分 ” 这 个 字 可 以 有 效 地 用 来 制 造 一 个 公 式 以 表 示 进 步的 规 律 , 不 论 其 价 值 如 何 , 但 是 据 我 看 来 , 这 个 规 律 是 可 以足 够 地 确 定 的 。 在 “ 人 法 ” 中 所 提 到 的 一 切 形 式 的 “ 身 分 ” 都起 源 于 古 代 属 于 “ 家 族 ” 所 有 的 权 力 和 特 权 , 并 且 在 某 种 程度 上 , 到 现 在 仍 旧 带 有 这 种 色 彩 。 因 此 , 如 果 我 们 依 照 最 优秀 著 者 的 用 法 , 把 “ 身 分 ” 这 个 名 词 用 来 仅 仅 表 示 这 一 些 人格 状 态 , 并 避 免 把 这 个 名 词 适 用 于 作 为 合 意 的 直 接 或 间 接 结果 的 那 种 状 态 , 则 我 们 可 以 说 , 所 有 进 步 社 会 的 运 动 , 到 此 处 为 止 , 是 一 个 “ 从 身 分 到 契 约 ” 的 运 动 。

    第 六 章   遗 嘱 继 承 的 早 期 史

    我 们 在 英 国 研 究 “ 法 律 学 ” , 如 果 想 要 表 示 出 历 史 的 研 究

    方 法 的 优 越 性 , 超 过 其 他 流 行 在 我 们 中 间 的 任 何 方 法 , 则

    “ 遗 命 ” ( T e s t a m e n t s ) 或 “ 遗 嘱 ” ( W i l l s ) 在 “ 法 律 ” 的 一 切部 门 中 , 是 一 个 最 好 的 例 子 。 它 所 以 具 有 这 种 性 能 是 由 于 它 的 内 容 多 、 时 间 长 。 它 的 历 史 , 在 社 会 状 态 很 幼 稚 的 时 期 就开 始 了 , 当 时 所 有 的 各 种 概 念 , 由 于 其 形 式 古 老 , 须 要 费 些 心 力 才 能 加 以 理 解 ; 而 在 其 发 展 过 程 的 另 一 个 极 端 , 即 现 在 ,

    我 们 又 有 这 样 许 多 法 律 观 念 , 这 些 法 律 观 念 成 为 现 代 语 法 和

    思 想 习 惯 所 隐 蔽 的 一 些 同 样 的 概 念 , 因 此 也 就 遇 到 另 外 一 种

    困 难 , 就 是 难 以 相 信 那 些 作 为 我 们 日 常 知 识 的 各 种 观 念 , 究

    竟 是 否 真 的 需 要 加 以 分 析 研 究 。 “ 遗 嘱 法 ” 的 发 展 正 在 这 两 个

    极 端 之 间 , 是 可 以 追 溯 得 很 清 楚 的 。 和 多 数 其 他 部 门 的 法 律

    史 不 同 , 它 在 封 建 制 度 产 生 的 时 代 很 少 受 到 阻 碍 。 真 的 , 就

    法 律 的 所 有 部 门 而 论 , 所 谓 它 们 曾 由 于 古 代 史 和 近 代 史 间 的

    划 分 而 引 起 了 中 断 , 或 者 换 言 之 , 曾 由 于 罗 马 帝 国 的 解 体 而

    引 起 了 中 断 , 这 个 说 法 实 际 上 是 大 大 地 夸 张 了 的 。 许 多 著 者 ,

    只 是 由 于 懒 惰 , 不 愿 费 一 些 力 量 在 六 百 多 年 的 混 乱 中 从 迷 惑

    和 模 糊 的 里 面 寻 求 联 系 的 线 索 , 至 于 其 余 的 研 究 者 , 虽 然 不

    是 天 然 地 缺 乏 耐 性 和 勤 奋 , 但 由 于 他 们 对 自 己 国 内 法 律 制 度

    怀 有 无 谓 的 自 尊 心 , 不 愿 承 认 它 曾 受 惠 于 罗 马 法 律 学 , 他 们就 被 引 入 了 歧 途 。 但 这 些 不 利 的 势 力 , 对 “ 遗 嘱 法 ” 领 域 中

    发 生 的 影 响 比 较 少 。 蛮 族 对 于 所 谓 “ 遗 嘱 ” 的 概 念 , 显 然 是

    生 疏 的 。 权 威 学 者 一 致 同 意 , 他 们 在 本 土 和 以 后 在 罗 马 帝 国

    边 境 居 留 地 上 所 实 行 的 各 种 包 括 他 们 习 惯 的 成 文 法 典 的 有 关

    部 分 中 , 完 全 没 有 “ 遗 嘱 ” 的 痕 迹 。 只 有 在 他 们 和 罗 马 各 省

    人 民 混 合 在 一 起 以 后 , 他 们 才 从 帝 国 法 律 学 中 吸 取 了 “ 遗

    嘱 ” 的 概 念 , 在 开 始 时 只 是 一 部 分 , 到 后 来 才 被 全 部 采 纳 。 教

    会 的 影 响 对 于 这 次 迅 速 同 化 有 很 大 关 系 。 教 会 势 力 很 早 就 继

    承 了 有 些 邪 教 神 庙 所 享 有 的 那 些 保 管 和 登 记 “ 遗 命 ” 的 特 权 ;

    甚 至 在 这 样 早 的 时 候 , 宗 教 基 金 中 的 现 世 所 有 物 几 乎 完 全 来

    自 私 人 遗 赠 。 因 此 , 最 早 的 “ 省 议 会 ”的 命 令 对 于 否 认 “ 遗 嘱 ” 神 圣 性 的 人 都 有 革 出 教 门

    的 规 定 。 在 我 们 这 里 , 在 英 国 , 一 般 都 认 为 阻 止 “ 遗 嘱 法 ” 史

    中 断 的 主 要 原 因 之 一 当 然 是 由 于 教 会 的 影 响 , 这 种 中 断 有 时

    被 确 信 曾 在 其 他 部 门 的 “ 法 律 学 ” 史 中 发 生 过 。 有 一 类 “ 遗

    嘱 ” 的 管 辖 权 过 去 曾 被 委 托 给 “ 宗 教 法 院 ” , 这 些 法 院 虽 然 并

    不 始 终 是 明 白 地 、 但 却 的 确 适 用 着 罗 马 法 律 学 的 原 则 ; 并 且 ,

    虽 然 “ 普 通 法 院 ” 或 “ 衡 平 法 院 ” 都 并 没 有 必 须 遵 照 “ 宗 教

    法 院 ” 的 任 何 义 务 , 但 它 们 对 这 在 它 们 旁 边 适 用 的 一 套 明 确

    规 定 的 制 度 , 终 不 能 规 避 其 有 力 影 响 。 英 国 的 人 格 遗 嘱 继 承

    法 就 成 了 过 去 罗 马 公 民 遗 产 处 分 所 遵 循 的 宗 规 的 一 种 变 形 。

    用 历 史 方 法 来 研 究 这 个 问 题 时 我 们 所 能 得 到 的 结 论 , 和

    不 依 靠 历 史 而 单 凭表 ·

    面印 象 进 行 分 析 时 所 得 到

    的 结 论 , 两 者 之 间 的 极 端 不 同 是 不 难 指 出 的 。 我 认 为 , 不 论

    从 一 个 “ 遗 嘱 ” 的 通 俗 概 念 出 发 , 或 是 从 它 的 法 律 概 念 出 发 ,没 有 人 会 不 想 象 到 : 凡 是 “ 遗 嘱 ” 必 附 有 某 种 特 性 。 例 如 , 他

    可 能 会 说 , 一 个 “ 遗 嘱 ” 必 须 ·

    只 ·

    有 ·

    在 ·

    死 ·

    亡 ·

    时 才 能 发 生 效 力 — —

    它 是 ·

    秘 ·

    密 ·

    的 , 它 里 面 所 规 定 的 有 利 害 关 系 的 人 们 是 必 然 地 不

    应 该 知 道 的 — — 它 是 ·

    可 ·

    以 ·

    取 ·

    消 ·

    的 , 即 始 终 可 以 为 一 个 新 的 遗

    嘱 行 为 所 代 替 的 。 但 是 , 我 可 以 证 明 , 在 某 一 个 时 期 , 一 个

    “ 遗 嘱 ” 完 全 没 有 这 些 特 征 。 我 们 的 “ 遗 嘱 ” 直 接 来 自 “ 遗

    命 ” , 而 “ 遗 命 ” 在 最 初 是 一 经 执 行 立 即 有 效 的 : 是 不 秘 密 的 ;

    是 不 可 取 消 的 。 事 实 上 , 在 所 有 法 律 媒 介 中 , 没 有 一 种 历 史

    媒 介 的 产 物 要 比 人 们 用 书 面 意 志 来 控 制 其 死 后 的 财 产 处 分 更

    为 复 杂 的 了 。 “ 遗 命 ” 很 迟 缓 地 但 是 逐 渐 地 把 我 在 前 面 所 说 的

    各 种 特 性 聚 集 在 其 周 围 ; 造 成 这 种 情 况 的 原 因 是 完 全 偶 然 的 ,

    并 且 也 是 在 偶 然 的 事 物 压 力 之 下 完 成 的 , 这 些 原 因 和 事 物 压

    力 除 了 曾 影 响 过 法 律 的 历 史 以 外 , 对 于 我 们 目 前 已 经 是 没 有

    什 么 利 害 关 系 的 了 。

    在 法 律 理 论 远 比 现 在 为 多 的 一 个 时 期 中 — — 诚 然 , 这 些

    理 论 的 绝 大 部 分 是 毫 无 价 值 的 和 十 分 不 成 熟 的 , 但 是 这 些 理

    论 却 仍 旧 把 法 律 学 从 我 们 并 非 是 不 知 道 的 、 比 较 恶 劣 的 和 比

    较 拙 劣 的 情 况 下 挽 救 了 出 来 , 在 当 时 的 情 况 中 , 我 们 不 能 希

    望 有 象 概 括 这 一 类 的 东 西 , 而 法 律 也 被 仅 仅 认 为 是 一 种 经 验

    的 产 物 — — 对 于 我 们 在 直 觉 上 能 立 即 和 显 然 地 感 到 的 一 个

    “ 遗 嘱 ” 所 具 有 的 某 些 特 性 , 当 时 在 进 行 解 释 时 所 采 取 的 流 行

    说 法 是 : 这 些 特 性 是 它 天 然 就 有 的 , 或 者 , 说 得 具 体 一 些 , 是

    由 “ 自 然 法 ” 附 着 于 它 上 面 的 。 我 以 为 , 在 一 度 认 定 所 有 这

    些 特 征 的 渊 源 都 在 历 史 的 记 忆 中 , 可 能 就 不 会 有 人 主 张 这 样

    一 个 学 理 了 ; 同 时 , 这 个 学 理 所 自 来 的 理 论 , 其 遗 迹 尚 残 存于 我 们 所 习 用 并 且 也 许 还 不 知 如 何 加 以 舍 弃 的 表 现 形 式 中 。

    我 可 以 用 十 七 世 纪 法 律 文 籍 中 一 个 共 有 的 论 点 来 说 明 这 种 情

    况 。 当 时 的 法 学 家 很 普 遍 地 认 为 “ 立 遗 嘱 ” 权 力 的 本 身 是 来

    自 “ 自 然 法 ” 的 权 力 , 是 由 “ 自 然 法 ” 所 赋 与 的 一 种 权 利 。 他

    们 的 学 说 虽 然 并 不 是 所 有 的 人 都 能 立 即 看 到 其 联 系 的 , 但 实

    质 上 , 这 些 学 说 确 在 后 来 为 这 些 人 所 取 法 , 他 们 主 张 : 指 定

    或 控 制 死 亡 后 财 产 处 分 的 权 利 是 财 产 所 有 权 本 身 的 一 种 必 然

    的 或 自 然 的 结 果 。 每 一 个 法 律 学 者 也 一 定 还 遇 到 过 表 现 在 一

    个 相 当 不 同 的 学 派 的 语 句 中 的 这 个 同 一 的 见 解 , 这 个 见 解 在

    说 明 这 一 部 门 法 律 的 原 理 时 , 认 为遗命 继 承是 死 亡 者 财 产 应 该 首 先 遵 照 的 移 转 方 式 , 然 后再 进 而 说 明 法 定 继 承是 立 法 者

    的 偶 然 规 定 , 以 履 行 由 于 死 亡 的 财 产 所 有 者 因 疏 忽 或 不 幸 而

    未 执 行 的 一 种 职 能 。 这 些 意 见 , 实 际 上 就 是 所 谓 遗 嘱 处 分 是

    “ 自 然 法 ” 的 一 个 制 度 这 种 比 较 扼 要 的 学 理 , 表 现 于 详 尽 的 方

    式 中 而 已 。 当 近 代 思 想 非 难 “ 自 然 ” 和 “ 自 然 法 ” 时 , 究 竟

    它 所 联 想 的 范 围 如 何 , 如 果 要 武 断 地 加 以 认 定 , 当 然 是 决 不

    妥 当 的 ; 但 我 以 为 , 大 多 数 主 张 “ 遗 嘱 权 ” 是 来 自 “ 自 然

    法 ” 的 人 们 , 他 们 的 意 思 , 可 能 或 者 是 认 为 这 种 权 力 在 事 实

    上 普 遍 存 在 的 , 或 者 认 为 这 种 权 力 由 于 一 种 原 始 的 本 能 和 冲

    动 的 推 动 而 为 各 国 所 一 致 承 认 。 对 于 上 述 论 点 中 的 第 一 点 , 我

    认 为 , 当 它 经 过 这 样 明 显 的 说 明 后 , 是 决 不 能 认 为 满 意 的 , 特

    别 是 在 这 样 一 个 时 期 中 , 当 我 们 可 以 看 到拿破仑法典对 于 “ 遗 嘱 权 ” 有 着 许 多 严 格 的 限 制 , 同 时 也可 以 看 到 以 这 个 法 兰 西 法 典 为 范 本 的 各 种 制 度 正 在 一 天 天 地增 加 。 对 于 第 二 种 说 法 , 我 们 也 必 须 加 以 反 对 , 因 为 这 是 违 背 了 早 期 法 律 史 中 最 最 可 靠 的 事 实 的 , 并 且 我 敢 于 一 般 地 断 定 , 在 所 有 自 然 生 长 的 社 会 中 , 在 早 期 的 法 律 学 中 是不 准 许

    或 是 根 本 没 有 考 虑 到 过 “ 遗 嘱 权 ” 的 , 只 有 在 法 律 发 展 的 后

    来 阶 段 , 才 准 许 在 多 少 限 制 之 下 使 财 产 所 有 者 的 意 志 能 胜 过

    他 血 亲 的 请 求 。

    所 谓 “ 遗 嘱 ” 或 “ 遗 命 ” 这 个 概 念 是 不 能 单 从 它 本 身 来

    考 虑 的 。 它 是 一 系 列 概 念 中 的 一 个 概 念 , 并 且 还 不 是 第 一 个

    概 念 。 就 其 本 身 而 论 , 一 个 “ 遗 嘱 ” 仅 仅 是 遗 嘱 人 用 以 宣 告

    其 意 思 的 工 具 。 我 以 为 , 在 讨 论 这 一 个 工 具 前 , 有 几 个 问 题

    必 须 首 先 加 以 研 究 — — 例 如 , 从 一 个 死 亡 者 在 死 亡 时 所 转 移

    的 究 竟 是 什 么 , 究 竟 是 哪 一 类 的 权 利 或 利 益 ? 转 移 给 谁 , 用

    什 么 形 式 ? 以 及 为 什 么 死 亡 者 被 允 许 在 死 后 来 支 配 其 财 产 的

    处 分 ? 如 果 用 术 语 来 表 示 , 则 和 一 个 “ 遗 嘱 ” 观 念 有 关 联 的

    各 种 概 念 , 它 们 的 依 附 关 系 是 应 该 这 样 表 示 的 。 一 个 “ 遗

    嘱 ” 或 “ 遗 命 ” 是 一 种 工 具 , 继 承 权 的 移 转 即 通 过 这 个 工 具

    而 加 以 规 定 。 继 承 权 是 概 括 继 承 的 一 种 形 式 。 概 括 继 承 是 继

    承 一 种 ·

    概 ·

    括 ·

    的 ·

    权 ·

    利 ( u n i v e r s i t a s   j u r i s ) , 或 权 利 和 义 务 的 全

    体 。 把 这 个 次 序 颠 倒 过 来 , 我 们 就 必 须 研 究 什 么 是 ·

    概 ·

    括 ·

    的 ·

    ·

    利 ; 什 么 是 概 括 继 承 ; 被 称 为 一 个 继 承 权 的 概 括 继 承 , 它 的

    形 式 究 竟 是 怎 样 的 。 此 外 还 有 两 个 问 题 , 虽 然 在 某 种 程 度 上

    和 我 所 要 讨 论 的 各 点 是 并 不 相 关 的 , 但 为 了 澈 底 了 解 “ 遗

    嘱 ” 这 个 主 题 , 却 是 必 须 加 以 解 决 的 。 这 两 个 问 题 就 是 , 为

    什 么 一 个 继 承 权 在 任 何 情 况 下 都 要 由 遗 嘱 人 的 意 志 来 支 配 ,

    以 及 用 以 控 制 继 承 权 的 工 具 , 它 的 性 质 究 竟 是 什 么 ?

    第 一 个 问 题 和概 ·

    括 ·

    的 ·

    权 ·

    利 有 关 ; 即 和 一 个 全 体 的 ( 或 一

    群 的 ) 权 利 和 义 务 有 关 。 所 谓 ·

    概 ·

    括 ·

    的 ·

    权 ·

    利 是 各 种 权 利 和 义 务

    的 集 合 , 由 于 在 同 一 时 候 属 于 同 一 个 人 这 种 唯 一 情 况 而 结 合

    起 来 的 。 它 好 比 是 某 一 个 特 定 的 个 人 的 法 律 外 衣 。 它 并 不 是

    把 “ 任 何 ” 权 利 和 “ 任 何 ” 义 务 凑 合 在 一 起 而 形 成 的 。 它 只

    能 是 属 于 一 个 特 定 人 的 一 切 权 利 和 一 切 义 务 所 组 成 的 。 把 这

    样 许 多 财 产 权 、 通 行 权 、 遗 赠 权 、 特 种 清 偿 义 务 、 债 务 、 损

    害 赔 偿 责 任 — — 把 这 样 一 些 法 律 权 利 和 义 务 结 合 在 一 起 而 成

    为 一 个 ·

    概 ·

    括 ·

    的 ·

    权 ·

    利 的 纽 带 , 是 由 于 它 们 附 着 于 某 一 个 能 够 行

    使 这 些 权 利 和 义 务 的 个 人 的 这 一 种 ·

    事 ·

    实 。 没 有 这 一 个 ·

    事 ·

    实 , 就

    没 有 权 利 和 义 务 的 全 体 。 ·

    概 ·

    括 ·

    的 ·

    权 ·

    利 这 个 用 语 不 是 古 典 的 , 但

    法 律 学 有 这 个 观 念 , 应 该 完 全 归 功 于 罗 马 法 ; 同 时 这 个 用 语

    也 不 是 完 全 难 于 捉 摸 的 。 我 们 应 该 设 法 把 我 们 每 一 个 人 对 世

    界 上 其 余 人 的 全 部 法 律 关 系 , 聚 集 在 一 个 概 念 之 下 。 不 论 这

    些 法 律 关 系 的 性 质 和 构 成 是 怎 样 , 这 些 法 律 关 系 在 集 合 起 来

    后 , 就 成 为 了 一 个 ·

    概 ·

    括 ·

    的 ·

    权 ·

    利 ; 只 要 我 们 仔 细 记 着 , 在 这 个

    用 语 中 不 但 应 该 包 括 权 利 并 且 也 应 该 包 括 义 务 , 则 我 们 对 于

    这 个 观 念 就 很 少 有 误 解 的 危 险 。 我 们 的 义 务 可 能 超 过 我 们 的

    权 利 。 一 个 人 可 能 欠 得 多 而 值 得 少 , 因 此 , 如 果 他 的 总 的 法

    律 关 系 用 金 钱 价 值 来 衡 量 , 他 可 能 是 一 个 所 谓 破 产 者 。 但 就

    以 他 为 中 心 所 包 含 的 全 部 权 利 和 义 务 而 论 , 这 依 然 是 一 个

    “ 概 括 的 权 利 ” 。

    其 次 我 们 要 研 究 “ 概 括 继 承 ” 。 概 括 继 承 就 是 继 承 一 种 ·

    ·

    括 ·

    的 ·

    权 ·

    利 。 当 一 个 人 接 受 了 另 外 一 个 人 的 法 律 外 衣 , 在 同 一

    个 时 候 一 方 面 承 担 其 全 部 义 务 , 另 一 方 面 享 有 其 全 部 权 利 时 ,就 发 生 概 括 继 承 。 为 了 使 这 个 概 括 继 承 真 实 和 完 全 , 转 移 必

    须 象 法 学 家 所 说 的 那 样一次。 当 然 , 可 以想 象 , 一 个 人 可 以 在 不 同 时 期 取 得 另 外 一 个 人 的 全 部 权 利 和

    义 务 , 例 如 通 过 连 继 购 买 ; 他 也 可 以 用 不 同 身 份 来 取 得 这 些

    权 利 和 义 务 , 部 分 由 于 是 继 承 人 , 部 分 由 于 是 买 受 人 , 部 分

    由 于 是 受 遗 赠 人 。 但 是 , 虽 然 这 样 组 合 起 来 的 一 群 权 利 和 义

    务 在 事 实 上 确 等 于 一 个 特 定 人 的 全 部 法 律 人 格 , 但 这 种 取 得

    不 能 作 为 一 个 概 括 继 承 。 要 有 一 个 真 正 的 概 括 继 承 , 转 让 必

    须 是 对 全 部 权 利 和 义 务 在同一 时 候 一 次 进 行 , 同 时 受 领 人 也

    必 须 以同一 法 律 身 分 来 接 受 。 一 个 概 括 继 承 的 观 念 正 如 一 个

    概 括 的 权 利 的 观 念 , 在 法 律 学 中 是 永 久 的 , 虽 然 在 英 国 法 律

    制 度 中 , 由 于 取 得 权 利 的 身 分 是 多 种 多 样 的 , 尤 其 是 由 于 英

    国 财 产 上 “ 不 动 产 ” 和 “ 动 产 ” 两 大 部 分 之 间 的 区 分 , 这 个

    观 念 给 模 糊 了 。 在 破 产 的 情 况 下 , 一 个 受 让 人 继 承 破 产 者 全

    部 财 产 , 是 一 种 概 括 继 承 , 虽 然 受 让 人 只 就 遗 产 的 限 度 清 偿

    债 务 , 但 这 只 是 对 原 来 观 念 的 一 个 修 正 形 式 。 如 果 在 我 们 中

    间 有 人 承 受 一 个 人 的 ·

    全 ·

    部 财 产 以 偿 付 其 ·

    全 ·

    部 债 务 作 为 条 件 ,

    则 这 类 移 转 就 和 最 古 罗 马 法 中 所 谓 概 括 继 承 完 全 类 似 。 当 一

    个 罗 马 公 民收养 一 个 养 子 , 就 是 说 把 原 来 不 在 “ 家 父 权 ” 下

    的 人 收 纳 为 其 养 子 , 他 就概括地 继 承 其 养 子 的 财 产 , 也 就 是

    说 他 取 得 了 养 子 全 部 财 产 和 承 担 了 其 养 子 全 部 义 务 。 在 原 始

    “ 罗 马 法 ” 中 还 发 现 有 几 种 其 他 形 式 的 概 括 继 承 , 但 其 中 最 重

    要 和 最 持 久 的 一 种 , 是 我 们 所 最 直 接 关 心 的 “ 汉 来 狄 塔 斯 ”

    ( H Er e d i t a s ) 或 “ 继 承 权 ” 。 “ 继 承 权 ” 是 在 死 亡 时 发 生 的 一 种概 括 继 承 。 概 括 继 承 人 是 “ 汉 来 斯 ” ( H Er e s ) 或 “ 继 承 人 ” 。 他 立 即 取 得 死 亡 者 的 全 部 权 利 和 全 部 义 务 。 他 立 刻 取 得 了 他

    的 全 部 法 律 人 格 , 并 且 不 论 他 由 于 “ 遗 嘱 ” 提 名 , 或 是 根 据

    “ 无 遗 嘱 ” ( I n t e s t a c y ) 而 继 承 , “ 汉 来 斯 ” 的 特 殊 性 质 保 持 不

    变 , 这 是 无 须 赘 述 的 。 “ 汉 来 斯 ” 这 个 名 词 可 以 用 于 “ 无 遗 嘱

    继 承 人 ” , 也 可 以 用 于 “ 遗 嘱 继 承 人 ” , 因 为 一 个 人 成 为 “ 汉

    来 斯 ” 的 方 式 和 他 所 具 有 的 法 律 性 质 本 来 是 毫 无 关 系 的 。 死

    亡 者 的 概 括 继 承 人 , 不 论 是 由 于 “ 遗 嘱 ” 或 由 于 “ 无 遗 嘱 ” ,统 是 他 的 “ 继 承 人 ” 。 但 是 “ 继 承 人 ” 不 一 定 是 一 个 人 。 在 法律 上 被 视 为 一 个 单 位 的 许 多 人 , 也 可 以 作 为 “ 继 承 权 的共同继承人 ” ( C o h e i r s ) 。

    我 现 在 引 述 罗 马 人 通 常 对 于 一 个 “ 继 承 权 ” 所 下 的 定 义 ,读 者 就 能 够 理 解 这 些 各 别 名 词 的 全 部 含 意 。 “ 继承权是对于一个死亡者全部法律地位的一种继承”。意思 就 是 说 , 死 亡 者 的 肉 体 人 格 虽 已 死 亡 , 但 他 的 法 律 人 格 仍

    旧 存 在 , 毫 无 减 损 地 传 给 其 “ 继 承 人 ” 或 “ 共 同 继 承 人 ” ,

    ( 以 法 律 而 论 ) 他 的 同 一 性 在 其 “ 继 承 人 ” 或 “ 共 同 继 承 人 ”

    身 上 是 延 续 下 去 的 。 在 我 国 法 律 中 , 把 “ 遗 嘱 执 行 人 ” 作 为

    死 亡 者 个 人 遗 产 范 围 内 的 代 表 一 条 可 以 用 来 例 证 它 所 自 来 的

    理 论 , 不 过 它 虽 然 能 例 证 , 但 却 仍 不 能 对 这 个 理 论 加 以 说 明 。

    甚 至 后 期 罗 马 法 , 尚 认 为 在 死 亡 者 和 其 继 承 人 之 间 , 必 须 有

    密 切 相 当 的 地 位 , 但 英 国 的 一 个 代 表 人 就 不 具 有 这 一 种 特 点 ;

    同 时 在 原 始 法 律 学 中 , 一 切 东 西 都 依 赖 着 继 承 的 延 续 。 除 非

    在 遗 嘱 中 规 定 着 遗 嘱 人 的 权 利 和 义 务 应 该 立 即 移 转 给 “ 继 承

    人 ” 或 “ 共 同 继 承 人 ” , 遗 命 就 丧 失 其 效 力 。

    在 近 代 遗 嘱 法 律 学 中 , 象 在 后 期 罗 马 法 中 一 样 , 最 重 要

    的 目 的 是 在 执 行 遗 嘱 人 的 意 志 。 象 古 罗 马 法 律 中 , 相 应 关 心

    的 主 题 是 “ 概 括 继 承 ” 的 授 与 。 在 这 些 规 定 中 , 有 一 些 在 我

    们 看 来 是 一 种 来 自 常 识 的 原 则 , 但 另 外 一 些 则 看 上 去 很 象 是

    一 个 无 谓 的 幻 想 。 不 过 如 果 没 有 其 中 第 二 类 的 规 定 , 则 第 一类 的 规 定 便 将 无 从 产 生 , 这 是 任 何 这 一 类 的 命 题 所 必 然如此的 。

    为 了 要 解 决 这 显 然 的 矛 盾 , 并 使 我 想 说 明 的 一 系 列 观 念

    更 为 清 楚 起 见 , 我 必 须 借 用 前 一 章 开 始 部 分 中 所 作 研 究 的 结

    果 。 我 们 在 社 会 的 幼 年 时 代 中 , 发 现 有 这 样 一 个 永 远 显 著 的

    特 点 。 人 们 不 是 被 视 为 一 个 个 人 而 是 始 终 被 视 为 一 个 特 定 团

    体 的 成 员 。 每 一 个 人 首 先 是 一 个 公 民 , 然 后 , 既 是 一 个 公 民 ,

    他 必 是 阶 级 中 的 一 个 成 员 — — 属 于 一 个 贵 族 阶 级 的 成 员 或 是

    属 于 一 个 平 民 阶 级 的 成 员 ; 或 是 , 在 有 一 些 社 会 中 , 由 于 时

    运 不 佳 而 在 其 发 展 的 过 程 中 遭 受 到 了 特 殊 的 逆 转 , 他 就 成 了

    一 个 族 籍 的 成 员 。 其 次 , 他 是 一 个 氏 族 、 大 氏 族 或 部 族 的 成员 ; 最 后 , 他 是 一 个家族 的 成 员 。 这 最 后 的 一 类 是 他 所 处 身的 最 狭 小 的 最 个 人 的 关 系 ; 这 看 上 去 好 象 是 矛 盾 的 , 但 他 绝不把他自己 看 成 为 一 个 各 别 的 个 人 。 他 的 个 性 为 其 家 族 所 吞没 了 。 我 重 复 一 遍 前 面 已 经 说 过 的 对 于 一 个 原 始 社 会 的 定 义 。作 为 社 会 的 单 位 的 , 不 是 个 人 , 而 是 由 真 实 的 或 拟 制 的 血 族关 系 结 合 起 来 的 许 多 人 的 集 团 。

    我 们 第 一 次 发 现 有 关 概 括 继 承 的 迹 象 , 正 是 一 个 未 开 化

    社 会 的 特 点 之 一 。 原 始 时 代 的 共 和 国 和 一 个 近 代 国 家 的 组 织

    不 同 , 在 原 始 时 代 的 共 和 国 中 , 包 括 了 许 多 小 的 专 制 政 府 , 每一 个 政 府 相 互 之 间 各 不 相 关 , 每 一 个 政 府 都 处 于 一 个 唯 一 的

    君 主 特 权 的 绝 对 统 治 之 下 。 但 是 , 虽 然 “ 族 长 ” 〔 我 们 在 这 时

    候 还 不 应 称 他 为 “ 家 父 ” ( P a t e r f a m i l i a s ) 〕 有 这 样 广 泛 的 权 利 ,

    但 我 们 决 不 能 就 认 为 他 负 担 着 同 样 广 大 的 义 务 。 如 果 他 管 理

    一 家 , 这 是 为 了 家 族 的 利 益 。 如 果 他 是 所 有 物 的 主 人 , 他 是

    作 为 儿 女 和 亲 族 的 受 讬 人 而 持 有 的 。 除 去 由 于 他 统 治 着 小 国

    家 的 关 系 而 赋 与 他 的 权 力 和 地 位 以 外 , 他 没 有 任 何 其 他 特 权

    或 特 殊 地 位 。 一 个 “ 家 族 ” 在 事 实 上 是 一 个 “ 法 人 ” , 而 他 就

    是 它 的 代 表 , 或 者 我 们 甚 至 几 乎 可 以 称 他 为 是 它 的 “ 公 务

    员 ” 。 他 享 有 权 利 , 负 担 义 务 , 但 这 些 权 利 和 义 务 在 同 胞 的 期

    待 中 和 在 法 律 的 眼 光 中 , 既 作 为 他 自 己 的 权 利 和 义 务 , 也 作

    为 集 体 组 织 的 权 利 和 义 务 。 我 们 不 妨 在 这 里 研 究 一 下 , 当 这

    样 一 个 代 表 在 死 亡 时 所 可 能 产 生 的 结 果 。 在 法 律 的 眼 光 中 , 根

    据 民 事 高 级 官 吏 的 看 法 , 族 长 的 死 亡 是 一 个 全 然 无 关 紧 要 的

    事 件 。 因 为 结 果 只 是 代 表 家 族 集 体 组 织 和 对 于 市 政 审 判 权 负

    有 主 要 责 任 的 人 , 换 一 个 名 字 而 已 。 所 有 原 来 依 附 于 死 亡 的

    族 长 的 种 种 权 利 和 义 务 , 将 毫 无 间 断 地 依 附 于 其 继 承 人 ; 因

    为 , 在 事 实 上 , 这 些 权 利 和 义 务 是 家 族 的 权 利 和 义 务 , 而 家

    族 则 分 明 具 有 一 个 法 人 的 特 性 — — 它 是 永 生 不 灭 的 。 债 权 人

    对 新 的 族 长 象 对 旧 的 族 长 一 样 , 可 以 要 求 同 样 的 补 偿 , 因 为

    这 种 责 任 既 然 是 仍 旧 存 在 的 家 族 的 责 任 , 自 将 绝 对 不 变 。 在

    族 长 死 亡 后 , 家 族 所 有 的 一 切 权 利 将 和 他 死 亡 前 所 有 的 完 全

    相 同 , 除 了 这 法 人 — — 如 果 对 这 样 早 的 时 代 真 能 够 恰 当 地 运

    用 这 样 精 确 而 专 门 的 用 语 — — 必 须 用 一 个 略 微 有 变 动 的 名 字

    来 ·

    依 ·

    法 ·

    要 ·

    求 以 外 。

    如 果 我 们 要 了 解 社 会 是 怎 样 逐 渐 地 和 缓 慢 地 分 解 而 成 为

    它 现 在 所 由 构 成 的 合 成 原 子 的 — — 是 经 过 了 怎 样 的 不 知 不 觉

    的 程 序 才 以 人 和 人 的 关 系 来 代 替 个 人 和 家 族 以 及 家 族 和 家 族

    相 互 之 间 的 关 系 的 , 那 我 们 就 得 探 究 法 律 学 历 史 的 全 部 过 程 。

    现 在 所 应 注 意 之 点 是 , 纵 使 革 命 已 经 显 然 完 成 , 纵 使 高 级 官

    吏 已 经 在 很 大 程 度 上 代 替 了 “ 家 父 ” 的 地 位 , 民 事 法 庭 已 代

    替 了 家 族 法 庭 , 但 是 , 司 法 当 局 所 管 理 的 全 部 权 利 和 义 务 仍

    旧 受 到 已 经 废 弃 的 特 权 的 影 响 , 并 在 每 一 个 部 分 中 都 带 有 这

    些 特 权 的 色 彩 。 因 此 , 毫 无 疑 问 , 被 罗 马 法 律 用 全 力 坚 持 作

    为 遗 嘱 或 无 遗 嘱 继 承 首 要 条 件 的 “ 概 括 的 权 利 ” 的 移 转 , 是

    一 个 比 较 古 老 的 社 会 的 一 个 特 点 , 这 特 点 是 人 们 的 思 想 无 法

    把 它 和 新 社 会 分 离 开 来 的 , 虽 然 它 和 较 新 的 局 面 之 间 是 并 没

    有 真 正 的 或 适 当 的 联 系 的 。 一 个 人 在 法 律 上 的 生 存 得 在 其 继

    承 人 或 许 多 共 同 继 承 人 身 上 延 长 , 这 在 实 质 上 似 乎 就 等 于 把

    ·

    家 ·

    族 的 一 个 特 征 通 过 拟 制 而 移 转 给 ·

    个 ·

    人 。 法 人 中 的 继 承 必 然

    是 概 括 的 , 而 家 族 是 一 个 法 人 。 法 人 永 生 不 灭 。 个 别 成 员 的

    死 亡 对 于 集 体 的 总 的 生 存 毫 无 关 系 , 并 且 也 决 不 会 影 响 到 集

    体 的 法 律 附 带 、 其 能 力 或 其 责 任 。 这 样 , 在 罗 马 人 所 谓 概 括

    继 承 的 这 个 观 念 中 一 个 法 人 所 有 的 这 一 切 性 质 , 似 乎 都 被 移

    转 给 个 人 公 民 了 。 他 肉 体 的 死 亡 可 以 丝 毫 不 影 响 他 所 占 有 的

    法 律 地 位 , 其 所 根 据 的 原 则 显 然 是 : 他 的 地 位 应 该 尽 可 能 和

    一 个 家 族 的 地 位 相 类 似 , 而 一 个 家 族 既 有 着 法 人 的 性 质 , 是

    不 会 发 生 肉 体 死 亡 的 。

    我 注 意 到 在 大 陆 法 学 家 中 , 对 于 混 杂 于 概 括 继 承 中 的 各

    种 概 念 之 间 的 联 系 , 在 理 解 其 性 质 时 , 绝 少 不 感 到 很 大 的 困难 的 , 同 时 在 法 律 学 中 , 一 般 讲 起 来 恐 怕 也 没 有 一 个 主 题 像

    他 们 就 这 个 主 题 上 所 作 的 纯 理 论 那 样 缺 少 价 值 。 但 英 国 法 学

    者 就 我 们 现 在 正 在 研 究 的 观 念 所 作 的 分 析 , 应 该 不 会 有 错 误

    的 危 险 。 在 我 们 自 己 的 制 度 中 有 一 种 为 所 有 法 律 家 都 熟 悉 的

    拟 制 , 能 用 来 很 好 地 说 明 它 。 英 国 法 学 家 把 法 人 分 为 “ 集 合

    法 人 ” ( C o r p o r a t i o n   a g g r e g a t e ) 和 “ 单 一 法 人 ” ( C o r p o r a t i o n s o l e ) 。 一 个 “ 集 合 法 人 ” 是 一 个 真 正 的 法 人 , 但 一 个 “ 单 一 法 人 ” 则 是 一 个 个 人 , 是 一 系 列 的 个 人 中 的 一 个 成 员 , 通 过 拟 制 而 赋 与 一 个 “ 法 人 ” 的 性 质 的 。 例 如 , 国 王 或 一 个 教 区 中 的 教 区 长 就 是 “ 单 一 法 人 ” 的 例 子 。 在 这 里 , 当 考 虑 到

    他 的 权 能 或 职 位 时 , 是 和 随 时 可 以 据 有 这 种 权 能 或 这 个 职 位

    的 各 别 的 人 不 相 牵 涉 的 , 同 时 , 由 于 这 种 权 能 是 永 久 的 , 因

    此 据 有 这 种 权 能 的 一 系 列 的 个 人 便 也 带 着 “ 法 人 ” 所 有 的 主

    要 属 性 — — 即 “ 永 久 性 ” 。 在 罗 马 法 的 较 古 理 论 中 , 个 人 之 与

    家 族 , 正 和 英 国 法 律 学 的 原 理 中 一 个 “ 单 一 法 人 ” 之 与 “ 集

    合 法 人 ” 的 关 系 , 完 全 相 同 。 这 两 种 观 念 的 由 来 和 联 系 是 完

    全 相 同 的 。 事 实 上 , 如 果 我 们 认 为 就 罗 马 遗 嘱 法 律 学 而 论 , 每

    一 个 个 人 公 民 就 是 一 个 “ 单 一 法 人 ” , 则 我 们 将 不 但 能 充 分 理

    解 一 个 继 承 权 的 全 部 概 念 , 并 且 将 能 完 全 掌 握 这 概 念 所 自 来

    的 假 定 的 线 索 。 我 们 有 这 样 一 个 格 言 , 国 王 是 一 个 “ 单 一 法

    人 ” , 他 永 生 不 灭 。 他 的 权 能 应 立 即 为 其 继 承 人 所 填 补 , 而 统

    治 权 的 延 续 也 就 视 为 未 经 中 断 。 对 于 罗 马 人 , 把 死 亡 的 事 实

    从 权 利 和 义 务 的 移 转 中 排 除 掉 , 似 乎 也 是 同 样 简 单 和 自 然 的

    过 程 。 遗 嘱 人 在 其 继 承 人 或 在 许 多 共 同 继 承 人 中 继 续 生 存 下

    去 。 在 法 律 上 , 他 和 他 们 是 同 一 个 人 , 如 果 有 任 何 人 在 其 遗

    嘱 处 分 中 违 背 了 把 他 的 实 际 生 存 和 他 的 死 后 生 存 结 合 起 来 的

    原 则 , 纵 使 这 种 违 背 仅 仅 是 出 于 推 定 的 , 法 律 也 就 将 认 为 这

    个 遗 嘱 有 瑕 疵 而 予 以 排 斥 , 并 把 继 承 权 给 与 其 血 亲 族 , 至 血

    亲 族 所 以 能 具 有 符 合 继 承 人 条 件 的 权 能 , 是 由 法 律 本 身 的 规

    定 , 而 不 是 由 可 能 会 有 错 误 的 任 何 证 件 所 赋 与 的 。

    当 一 个 罗 马 人 在 死 亡 时 没 有 遗 嘱 或 没 有 有 效 的 “ 遗 嘱 ” ,

    他 的 卑 亲 属 或 亲 族 就 将 根 据 下 述 亲 等 而 成 为 其 继 承 人 。 继 承

    的 人 或 许 多 人 不 仅 仅代表 ·

    着 死 亡 者 , 根 据 刚 才 所 谈 到 的 理 论 ,

    他 们 并 且 ·

    继 ·

    续 着 他 的 民 事 生 活 、 他 的 法 律 生 存 。 当 继 承 的 顺

    序 是 由 “ 遗 嘱 ” 决 定 时 , 也 可 以 得 到 同 样 的 结 果 , 但 是 死 亡

    者 和 其 继 承 人 之 间 有 同 一 性 的 原 理 , 当 然 比 任 何 形 式 的 “ 遗

    命 ” 或 任 何 种 遗 嘱 法 律 学 要 古 老 得 多 。 这 里 , 应 该 恰 当 地 提

    出 一 个 问 题 , 这 个 问 题 将 因 我 们 对 这 主 题 探 究 得 愈 深 入 而 对

    我 们 发 生 愈 大 压 迫 力 — — 如 果 不 是 由 于 和 概 括 继 承 有 关 联 的

    这 些 显 著 观 念 , 那 末遗 ·

    嘱 是 否 就 根 本 不 会 出 现 了 呢 ? 遗 嘱 法

    所 适 用 的 原 则 是 可 以 用 多 种 多 样 的 似 是 而 非 的 哲 学 假 设 来 说

    明 的 ; 这 个 原 则 和 现 代 社 会 的 每 一 个 部 分 交 织 着 , 并 且 可 以

    用 广 泛 的 一 般 便 宜 来 作 为 辩 护 它 的 根 据 的 。 但 是 在 这 里 , 必

    须 再 一 次 地 重 复 我 们 的 警 告 , 即 如 果 以 为 , 目 前 我 们 为 维 护

    一 个 现 存 制 度 而 持 有 的 那 些 理 由 , 必 然 地 和 这 个 制 度 产 生 时

    所 有 的 情 绪 有 其 共 同 之 处 , 这 是 不 对 的 , 这 种 印 象 是 法 律 学

    上 各 种 问 题 发 生 错 误 的 最 大 根 源 。 可 以 断 言 , 在 古 罗 马 “ 继

    承 法 ” 中 , 遗 嘱 或 遗 命 这 个 观 念 是 和 一 个 人 死 后 生 存 于 其 继

    承 人 人 格 中 的 理 论 , 不 能 分 解 地 纠 缠 在 一 起 的 , 我 甚 至 可 以

    说 , 是 混 和 在 一 起 的 。

    概 括 继 承 这 个 概 念 虽 然 在 法 律 学 中 已 经 根 深 蒂 固 , 却 并

    不 是 为 每 一 种 法 律 的 编 制 者 自 发 地 想 到 的 。 在 可 以 发 现 有 这

    种 概 念 的 地 方 , 都 显 示 出 它 是 来 自 罗 马 法 ; 跟 着 它 一 直 传 下

    来 的 有 许 多 以 “ 遗 命 ” 和 “ 遗 赠 ” 为 主 题 的 法 律 规 定 , 这 些

    规 定 为 现 代 实 务 者 所 应 用 , 竟 完 全 没 有 觉 察 到 它 们 和 其 原 来

    理 论 的 关 系 。 但 是 , 在 纯 粹 罗 马 法 律 学 中 , 一 个 人 在 其 继 承

    人 身 上 继 续 生 存 的 原 则 — — 如 果 我 们 可 以 这 样 说 , 根 本 消 灭

    死 亡 的 事 实 — — 是 遗 嘱 继 承 和 无 遗 嘱 继 承 全 部 法 律 所 环 绕 的

    中 心 , 这 是 非 常 明 显 而 不 致 发 生 误 解 的 。 罗 马 法 强 迫 服 从 这

    个 有 势 力 的 理 论 , 其 坚 决 严 厉 的 程 度 就 足 以 说 明 , 这 个 理 论

    是 由 罗 马 原 始 社 会 组 织 中 生 长 出 来 的 ; 在 这 个 推 定 之 外 , 我

    们 并 且 还 有 更 好 的 证 据 。 在 罗 马 最 古 的 “ 遗 嘱 ” 制 度 中 恰 巧

    有 某 些 术 语 偶 然 地 被 保 存 到 现 在 。 在 该 雅 士 的 著 作 中 , 我 们

    看 到 概 括 继 承 所 借 以 创 设 的 授 受 公 式 。 我 们 看 到 古 代 的 名 称 ,

    通 过 了 这 个 名 称 , 一 个 后 来 被 称 为 “ 继 承 人 ” 的 人 被 预 先 给

    指 定 了 。 在 “ 十 二 铜 表 法 ” 中 我 们 并 且 还 有 明 白 承 认 “ 遗

    命 ” 权 的 著 名 条 款 , 而 规 定 “ 无 遗 嘱 继 承 ” 的 条 款 也 被 保 存

    着 。 所 有 这 一 切 古 代 的 名 言 中 , 都 有 一 个 显 著 的 特 点 。 它 们

    一 致 表 示 , 从 “ 遗 嘱 人 ” 转 移 给 “ 继 承 人 ” 的 是 ·

    家族 , 也 就

    是 包 括 在 “ 家 父 权 ” 中 和 由 “ 家 父 权 ” 而 产 生 的 各 种 权 利 和

    义 务 的 集 合 体 。 在 所 有 的 三 个 例 子 中 都 完 全 没 有 提 到 物 质 财

    产 ; 在 其 余 两 个 例 子 中 , 物 质 财 产 被 明 白 地 称 为 “ 家 族 ” 的

    附 属 物 或 附 属 品 。 因 此 , 原 始 的 “ 遗 嘱 ” 或 “ 遗 命 ” 是 一 个

    手 段 , 或 者 ( 因 为 在 开 始 时 可 能 不 是 成 文 的 ) 是 一 种 程 序 , 而

    ·

    家 ·

    族 的 移 转 就 是 根 据 了 这 个 规 定 而 进 行 的 。 这 是 宣 告 谁 有 权来 继 承 “ 遗 嘱 人 ” 为 族 长 的 一 种 方 式 。 当 我 们 对 于 “ 遗 嘱 ” 的 原 来 目 的 作 出 这 样 的 理 解 , 我 们 也 就 立 即 可 以 看 到 为 什 么

    “ 遗 嘱 ” 会 同 古 代 宗 教 和 法 律 最 古 怪 遗 物 之 一 的家祭 ( s a c r a)联 系 在 一 起 。 这 些 ·

    家 ·

    祭 是 一 种 罗 马 形 式 的 制 度 , 凡 是 没 有 完

    全 解 脱 原 始 形 态 的 社 会 都 有 这 种 制 度 。 ·

    家 ·

    祭 是 用 以 纪 念 家 族

    同 胞 之 谊 的 祭 祀 和 礼 仪 , 是 家 族 永 存 的 誓 约 和 见 证 。 不 论 ·

    家祭 的 性 质 如 何 — — 所 谓 在 一 切 情 形 中 ·

    家 ·

    祭 都 是 对 某 些 荒 诞 无

    稽 的 祖 先 的 崇 拜 , 不 论 这 话 是 否 真 实 — — 它 们 在 各 处 都 被 用

    来 誓 证 家 族 关 系 的 神 圣 性 ; 因 此 每 当 家 族 族 长 本 人 发 生 变 化

    危 及 “ 家 族 ” 的 延 续 生 存 时 , ·

    家 ·

    祭 就 显 得 特 别 重 要 。 因 此 , 在

    这 族 统 治 者 死 亡 时 , 人 们 更 常 提 到 ·

    家 ·

    祭 。 在 印 度 人 中 , 继 承一 个 死 亡 者 财 产 的 权 利 , 是 和 履 行 其 葬 仪 的 责 任 相 辅 而 行 的 。

    如 果 葬 仪 没 有 被 按 礼 履 行 或 者 不 是 由 适 当 的 人 来 履 行 , 则 在

    死 亡 者 和 在 生 存 者 之 间 不 能 认 为 已 经 建 立 了 任 何 关 系 ; “ 继 承

    法 ” 就 不 能 适 用 , 没 有 人 能 继 承 遗 产 。 在 一 个 印 度 人 的 一 生

    中 , 似 乎 每 一 椿 大 事 都 和 这 些 祭 仪 有 关 。 如 果 印 度 人 结 婚 了 ,

    是 为 了 要 有 子 女 , 在 他 死 亡 后 祭 祀 他 ; 如 果 他 没 有 子 女 , 他

    就 有 最 大 的 责 任 从 其 他 家 族 中 收 养 一 个 子 女 , “ 其 目 的 是 在 ” ,

    根 据 印 度 博 士 的 说 法 , “ 获 得 葬 饼 、 水 和 庄 严 的 祭 礼 ” 。 西 塞

    罗 时 代 罗 马 ·

    家 ·

    祭 所 保 存 的 范 围 , 也 并 不 小 于 印 度 。 它 包 括 了

    “ 继 承 权 ” 和 “ 收 养 ” 。 如 果 对 养 子 原 来 的 家 族 不 举 行 适 当 的

    ·

    家 ·

    祭 , 则 不 能 进 行 “ 收 养 ” : 如 果 祭 仪 的 费 用 不 在 各 个 共 同 继

    承 人 中 严 格 地 平 均 分 摊 , 则 不 准 根 据 “ 遗 命 ” 来 分 配 一 个

    “ 继 承 权 ” 。 我 们 最 后 一 次 看 到 这 ·

    家 ·

    祭 的 时 代 的 罗 马 法 , 和 现

    存 印 度 制 度 之 间 所 存 在 的 差 别 , 是 非 常 有 益 的 。 在 印 度 人 中间 , 法 律 中 的 宗 教 成 分 获 得 了 完 全 的 优 势 。 “ 家 族 ” 祭 祀 成 了

    一 切 “ 人 法 ” 和 大 部 分 “ 物 法 ” 的 基 石 。 祭 祀 甚 至 经 过 异 常

    的 扩 大 , 因 为 , 在 一 种 常 常 伴 随 着 祭 祀 的 观 念 的 印 象 影 响 之

    下 , 认 为 人 类 血 液 是 一 切 祭 品 中 最 可 珍 贵 的 祭 品 , 印 度 人 就

    在 原 始 的 家 祭 上 作 了 一 些 补 充 , 认 为 寡 妇 在 丈 夫 的 葬 仪 中 应

    该 以 身 殉 葬 , 这 个 实 践 为 印 度 人 继 续 实 行 到 有 史 时 期 , 并 且

    在 几 个 印 度 - 欧 罗 巴 人 种 中 亦 都 见 诸 于 传 说 。 在 罗 马 人 方 面

    则 恰 恰 与 此 相 反 , 法 律 责 任 和 宗 教 义 务 已 不 再 挽 杂 在 一 起 。 举

    行 庄 严 ·

    家 ·

    祭 的 必 要 性 已 不 再 成 为 民 事 法 律 理 论 的 一 部 分 , 它

    们 改 属 “ 教 长 会 ” ( C o l l e g e   o f   P o n t i f f s ) 的 各 别 管 辖 之 下 。

    在 西 塞 罗 给 阿 提 格 斯 ( A t t i c u s ) 的 许 多 信 中 充 满 了 有 关 ·

    家 ·

    的 提 示 , 使 我 们 深 信 不 疑 ·

    家 ·

    祭 已 在 “ 继 承 权 ” 上 构 成 了 一 种

    难 以 容 忍 的 重 担 ; 但 到 这 个 时 候 , 在 发 展 上 已 经 超 过 了 法 律

    从 宗 教 分 离 出 来 的 时 期 , 而 我 们 所 期 待 着 的 是 ·

    家 ·

    祭 从 后 期 法

    律 学 中 全 部 消 失 不 见 。

    在 印 度 法 律 中 , 没 有 一 个 所 谓 真 正 的 “ 遗 嘱 ” 的 东 西 。

    “ 遗 嘱 ” 所 处 的 地 位 为 “ 收 养 ” 所 占 据 着 。 在 这 里 我 们 可 以 看

    到 “ 遗 嘱 权 力 ” 和 “ 收 养 能 力 ” 的 关 系 , 以 及 为 什 么 这 两 者

    之 一 的 行 使 都 可 能 引 起 要 履 行 ·

    家 ·

    祭 的 一 种 特 殊 渴 望 。 “ 遗 嘱 ”

    和 “ 收 养 ” 都 威 胁 着 要 歪 曲 “ 家 族 ” 承 袭 的 正 常 进 程 , 但 当

    亲 族 之 中 没 有 人 能 继 承 的 时 候 , 它 们 显 然 都 是 避 免 承 袭 的 完

    全 中 断 的 手 段 。 在 这 两 者 之 中 , 用 人 为 的 方 法 来 创 设 血 亲 关

    系 的 “ 收 养 ” 是 在 大 部 分 古 代 社 会 中 自 发 地 产 生 的 一 种 手 段 。

    印 度 人 无 疑 地 在 古 代 的 实 践 上 前 进 了 一 步 , 即 准 许 寡 妇 收 纳

    养 子 , 如 果 丈 夫 忽 略 了 这 样 做 ; 只 在 孟 加 拉 的 地 方 习 惯 中 , 隐约 有 一 些 “ 遗 嘱 权 力 ” 的 痕 迹 。 但 是 首 创 这 个 对 人 类 社 会 的

    转 化 具 有 巨 大 影 响 ( 仅 次 于 “ 契 约 ” ) 的 “ 遗 嘱 ” 制 度 这 一 项

    功 劳 , 主 要 应 该 归 属 于 罗 马 人 。 我 们 必 须 注 意 , 切 不 可 以 把

    在 晚 近 时 代 它 所 具 有 的 职 能 , 认 为 在 其 最 早 形 态 中 就 已 经 具

    备 的 了 。 在 开 始 时 , 它 并 不 是 分 配 死 亡 者 财 产 的 一 种 方 式 , 而

    是 把 家 族 代 表 权 移 转 给 一 个 新 族 长 的 许 多 方 法 中 的 一 种 。 无

    疑 地 财 产 已 传 给 其 “ 继 承 人 ” , 但 这 些 是 因 为 公 有 财 产 处 分 权

    是 随 着 家 族 统 治 权 的 移 转 而 移 转 的 。 我 们 还 没 有 到 达 “ 遗

    嘱 ” 史 上 的 这 一 个 阶 段 , 即 “ 遗 嘱 ” 已 成 为 变 更 社 会 的 有 力

    工 具 , 即 一 方 面 它 们 刺 激 着 财 产 的 流 转 , 另 一 方 面 它 们 在 财

    产 所 有 权 中 产 生 了 可 塑 性 。 甚 至 最 后 期 的 罗 马 法 学 家 , 似 乎

    也 没 有 在 实 际 上 把 这 些 后 果 和 “ 遗 嘱 权 力 ” 联 系 起 来 。 在 罗

    马 社 会 中 , 从 没 有 把 “ 遗 嘱 ” 视 为 分 离 “ 财 产 ” 和 “ 家 族 ” 的

    一 种 手 段 , 或 作 为 创 设 许 多 各 式 各 样 利 益 的 一 种 手 段 , 而 是

    作 为 使 一 个 家 族 的 成 员 都 能 得 到 比 在 “ 无 遗 嘱 ” 继 承 规 定 下

    所 能 获 得 的 更 好 的 供 应 的 一 种 方 法 。 我 们 可 能 要 发 生 这 样 一

    个 疑 问 , 即 当 时 一 个 罗 马 人 对 于 立 遗 嘱 的 实 践 所 有 的 想 法 和

    我 们 今 天 所 熟 悉 的 想 法 究 竟 是 不 是 极 端 地 不 同 的 。 把 “ 收

    养 ” 和 “ 立 遗 嘱 ” 作 为 延 续 “ 家 族 ” 的 方 式 的 习 惯 , 是 必 然

    地 和 罗 马 人 对 于 主 权 继 承 的 看 法 特 别 含 糊 有 关 联 。 我 们 不 能

    不 看 到 , 早 期 罗 马 各 个 皇 帝 的 依 次 继 承 在 当 时 是 被 认 为 合 理

    地 正 常 的 , 并 且 尽 管 当 时 发 生 了 这 一 切 事 情 , 但 象 狄 奥 多 西

    ( T h e o d o s i u s ) 或 查 斯 丁 尼 安 这 类 诸 侯 的 自 封 为 凯 撒 和 奥 古 斯多 , 也 并 没 有 被 认 为 是 妄 诞 无 稽 的 。

    当 原 始 社 会 的 各 种 现 象 揭 露 以 后 , 十 七 世 纪 法 学 家 认 为可 疑 的 一 个 命 题 , 即 “ 无 遗 嘱 继 承 ” 比 “ 遗 嘱 继 承 ” 是 更 为

    古 老 的 一 个 制 度 , 已 成 为 无 可 争 辩 的 了 。 在 这 个 问 题 解 决 以

    后 , 又 发 生 了 另 外 一 个 更 有 趣 的 问 题 , 即 一 个 遗 嘱 的 指 示 究

    竟 是 怎 样 和 在 什 么 条 件 下 最 初 被 准 许 用 来 规 定 家 族 权 的 移

    转 , 以 及 后 来 又 规 定 财 产 的 死 后 分 配 。 这 个 问 题 的 所 以 难 于

    决 定 , 是 因 为 在 古 代 共 产 体 中 “ 遗 嘱 权 力 ” 是 罕 见 的 。 除 了

    罗 马 人 之 外 , 其 他 原 始 社 会 究 竟 是 否 知 道 有 真 正 立 遗 嘱 权 力

    的 , 还 是 有 疑 问 的 。 它 的 萌 芽 形 式 虽 然 到 处 可 见 , 但 其 中 绝

    大 部 分 都 不 能 逃 避 渊 源 来 自 罗 马 的 嫌 疑 。 雅 典 的 遗 嘱 无 疑 是

    土 著 的 , 但 我 们 不 久 就 可 以 看 到 , 它 只 是 未 成 熟 的 遗 命 。 至

    于 那 些 征 服 罗 马 帝 国 的 各 个 蛮 族 所 传 给 我 们 的 一 些 法 典 中 用

    法 律 规 定 的 “ 遗 嘱 ” , 这 些 “ 遗 嘱 ” 几 乎 都 肯 定 是 罗 马 的 。 近

    来 最 有 鉴 别 力 的 德 国 批 评 都 注 意 到 这 些 ·

    蛮 ·

    族 ·

    法 ·

    律上 来 , 调 查 的 主 要 目 的 , 是 要 在 这 些 制 度 中 把

    原 来 本 族 习 惯 所 组 成 的 部 分 从 借 用 罗 马 法 律 的 外 来 要 素 中 分

    离 出 来 。 在 进 行 这 项 工 作 的 过 程 中 , 经 常 发 现 一 个 结 果 , 即

    在 古 代 法 典 的 核 心 中 并 没 有 “ 遗 嘱 ” 的 痕 迹 。 凡 含 有 “ 遗

    嘱 ” 的 法 律 , 都 是 来 自 罗 马 法 律 学 的 。 同 样 地 , ( 据 我 被 告

    知 ) 希 伯 来 语 的 犹 太 法 所 规 定 的 萌 芽 “ 遗 命 ” , 也 应 该 归 因 于

    和 罗 马 人 接 触 。 唯 一 不 属 于 罗 马 或 希 腊 社 会 的 遗 命 形 式 可 以

    被 合 理 地 假 定 为 土 著 的 , 是 为 孟 加 拉 省 的 惯 例 所 承 认 的 一 种 ;

    而 孟 加 拉 的 遗 命 只 是 一 种 萌 芽 的 “ 遗 嘱 ” 。

    从 上 述 证 据 似 乎 应 该 得 出 这 样 一 个 结 论 , 即 “ 遗 命 ” 在

    最 初 只 是 在 没 有 人 能 根 据 真 正 的 或 人 为 的 血 族 权 利 而 享 有 继

    承 时 方 才 有 效 。 因 此 , 当 梭 伦 法 第 一 次 以 “ 遗 命 ” 权 赋 与 雅典 公 民 时 , 他 们 曾 禁 止 剥 夺 直 系 男 性 卑 亲 属 的 继 承 权 。 同 样地 , 孟 加 拉 的 “ 遗 嘱 ” 只 有 在 和 家 族 某 种 优 先 权 相 一 致 时 才 被 准 许 适 用 于 某 种 继 承 。 又 , 犹 太 人 的 原 来 制 度 虽 没 有 规 定

    “ 立 遗 嘱 ” 的 特 权 , 但 后 来 自 称 为 以遗漏之 ·

    件 ( c a s u s  o m i s s i ) 补 充 “ 摩 西 法 ” ( M o s a i c   L a w ) 的 希 伯 来 语 法 律 学 ,

    准 许 在 根 据 摩 西 制 度 规 定 有 继 承 权 的 亲 族 全 部 不 能 继 承 或 全

    部 不 能 发 现 时 , 才 能 行 使 “ 立 遗 嘱 ” 权 。 古 日 耳 曼 法 典 借 以

    保 卫 与 之 相 结 合 的 遗 嘱 法 律 学 的 一 些 限 制 也 是 很 有 意 义 的 ,

    并 且 也 指 向 了 同 一 的 方 向 。 根 据 我 们 所 知 道 的 这 些 日 耳 曼 法

    律 , 其 绝 大 部 分 都 有 这 样 一 个 特 点 , 即 在 每 家 所 有 的 ·

    自 ·

    主 ·

    地(a l l o d ) 或 领 地 外 , 法 律 还 承 认 几 种 附 属 的 财 产 , 每 一 种 附 属

    财 产 就 都 表 示 着 罗 马 的 原 则 曾 各 别 地 被 注 入 到 原 始 条 顿 惯 例

    中 。 原 始 的 日 耳 曼 的 自 主 的 财 产 是 被 严 格 地 保 留 给 其 亲 族 的 。

    它 不 但 不 能 用 遗 命 来 处 分 , 并 且 也 不 能 ·

    在 ·

    生 ·

    前 ( i n t e r  

    v i v o s ) 用 让 与 的 方 式 来 移 转 。 古 日 耳 曼 法 和 印 度 法 律 学 相 同 ,

    规 定 男 性 的 子 嗣 与 其 父 亲 是 财 产 共 有 人 , 家 族 赠 与 非 得 全 部

    成 员 同 意 , 不 能 执 行 。 但 其 他 各 种 财 产 , 比 自 主 物 发 生 得 较

    迟 并 且 也 比 较 不 甚 贵 重 的 , 就 比 较 容 易 移 转 , 并 且 移 转 时 也

    按 照 远 为 宽 弛 的 规 定 办 理 。 妇 女 和 女 性 的 后 嗣 也 可 以 继 承 这

    种 财 产 , 显 然 是 根 据 这 样 一 个 原 则 , 即 它 们 是 不 包 括 在 宗 亲

    的 神 圣 界 限 之 内 的 。 从 罗 马 借 用 的 “ 遗 命 ” , 最 初 被 准 许 适 用

    于 、 实 在 也 仅 适 用 于 这 些 最 后 提 到 的 财 产 。

    以 上 的 说 明 , 可 用 以 使 我 们 对 古 代 罗 马 “ 遗 嘱 史 ” 中 一

    种 确 定 的 事 实 所 作 的 最 可 能 的 解 释 更 为 可 信 。 我 们 根 据 丰 富

    的 证 据 , 认 为 在 罗 马 国 家 的 原 始 时 代 , “ 遗 命 ” 是 在 “ 特 别 民会 ” ( C o m i t i a   C a l a t a ) 也 即 是 在 “ 贵 族 民 会 ” ( C o m i t i a   C u r i a At a ) 或 “ 罗 马 贵 族 市 民 议 会 ” ( P a r l i a m e n t   o f   t h e   P a t r i c i a n B u r g h e r s   o f   R o m e ) 为 “ 私 事 ” 而 集 会 时 加 以 执 行 的 。 这

    种 执 行 的 方 式 , 成 为 民 法 学 家 世 代 相 传 的 一 种 说 法 的 来 源 , 他

    们 认 为 在 罗 马 史 的 有 一 个 时 代 中 每 一 个 “ 遗 嘱 ” 都 是 一 个 庄

    严 的 立 法 行 为 。 但 我 们 实 在 没 有 必 要 去 仰 仗 一 个 曾 对 古 代 议

    会 的 程 序 作 了 非 常 不 精 确 的 说 明 的 解 释 。 有 关 在 “ 特 别 民会 ” 中 执 行 “ 遗 嘱 ” 的 故 事 , 其 适 当 的 解 答 无 疑 地 应 求 诸最古 的 罗 马无遗嘱 继 承 法 。 原 始 罗 马 法 律 学 中 规 定 亲 属 相 互 之间 继 承 权 的 准 则 , 在 它 们 还 没 有 受 到 “ 裁 判 官 ” 的 “ 告 令 法律 ” 所 变 更 前 , 是 这 样 的 : — — 第 一 , 由正统 ( s u i ) 或 没 有被 解 放 的 直 系 卑 亲 属 继 承 。 在 没 有正统 时 , 由 “ 最 近 的亲 ” 来 代 替 他 , 即 由 过 去 在 或 曾 经 在 死 亡 者 同 一 “ 家 父 权 ”下的 最 亲 近 的 人 或 最 亲 近 的 亲 等 来 代 替 。 再 次 是 三 等 和 最 后 等亲 , 其 中 继 承 权 传 给同族人 , 即 死 亡 者氏族或大氏族中的集体 成 员 。 我 在 前 面 已 经 解 释 过 , “ 大 氏 族 ” 是 家 族 的 一 种 拟 制

    的 扩 大 , 凡 是 具 有 同 一 姓 氏 以 及 因 为 有 同 一 姓 氏 而 被 假 定 为

    来 自 共 同 始 祖 的 一 切 罗 马 “ 贵 族 ” 公 民 都 包 括 在 内 。 称 为

    “ 贵 族 民 会 ” 的 “ 贵 族 议 会 ” 是 完 全 由 “ 氏 族 ” 或 “ 大 氏 族 ”

    的 代 表 组 成 的 一 个 “ 立 法 机 关 ” 。 这 是 罗 马 人 民 的 一 个 代 表 会

    议 , 根 据 了 国 家 的 组 成 单 位 是 “ 氏 族 ” 的 假 定 而 组 织 的 。 正

    由 于 这 样 不 可 避 免 的 推 理 , “ 民 会 ” 的 受 理 “ 遗 嘱 ” 是 与 “ 同

    族 人 ” 的 权 利 有 关 的 , 并 且 其 目 的 是 在 保 证 “ 同 族 人 ” 能 行

    使 他 们 的 最 后 继 承 权 。 如 果 我 们 假 定 , 只 有 在 遗 嘱 人 没 有 可以 发 现 的同族人 或在同族人 放 弃 权 利 时 才 可 以 立 “ 遗 命 ” , 并假 定 每 一 个 “ 遗 命 ” 应 提 交 给 “ 罗 马 氏 族 大 会 ” ( G e n e r a l   A s As e m b l y   o f   t h e   R o m a n   G e n t e s ) 以 便 使 那 些 因 遗 嘱 处 分 而 受 到 损 害 的 人 得 在 必 要 时 可 以 提 出 否 决 , 在 大 会 中 通 过 后即 可 推 定 他 们 已 放 弃 其 继 承 权 , 如 果 我 们 这 样 假 定 , 则 全 部

    显 然 的 变 例 就 可 以 为 之 扫 除 了 。 在 “ 十 二 铜 表 法 ” 公 布 的 前

    夕 , 这 种 否 决 权 可 能 已 经 大 大 地 缩 小 了 , 或 是 仅 仅 偶 然 地 和

    不 经 常 地 行 使 着 。 虽 然 , 要 说 明 把 这 管 辖 权 托 付 给 “ 特 别 民

    会 ” 的 意 义 和 渊 源 是 容 易 的 , 但 要 追 溯 其 逐 渐 发 展 或 逐 渐 衰

    亡 的 过 程 却 没 有 这 样 容 易 。

    但 是 , 所 有 现 代 “ 遗 命 ” 所 自 来 的 “ 遗 命 ” , 并 不 是 在

    “ 特 别 民 会 ” 中 执 行 的 “ 遗 命 ” , 而 是 另 外 一 种 与 之 相 竞 争 并

    且 终 于 用 来 代 替 它 的 “ 遗 命 ” 。 这 种 早 期 罗 马 “ 遗 命 ” 在 历 史

    上 有 其 重 要 性 , 并 且 通 过 了 它 可 以 解 释 清 楚 许 多 古 代 的 思 想 ,因 此 我 认 为 必 须 比 较 详 细 地 加 以 阐 明 。

    当 “ 遗 嘱 权 ” 在 法 律 史 上 第 一 次 出 现 时 , 像 几 乎 所 有 伟大 的 各 种 罗 马 制 度 一 样 , 有 迹 象 证 明 它 成 了 “ 贵 族 ” 和 “ 平民 ” 间 争 论 的 题 目 。 当 时 有 一 条 政 治 格 言 , 即 “一个平民不能成为一个大氏族的成员 ” ( P l e b s   G e m t e m   n o n   h a b et),其 结 果 是 把 “ 平 民 ” 完 全 排 斥 在 “ 贵 族 民 会 ” 之 外 。 因 此 ,有些 评 论 家 就 认 为 一 个 “ 平 民 ” 的 “ 遗 嘱 ” 是 不 可 能 在 “ 贵 族议 会 ” 中 宣 读 的 , 因 此 一 个 “ 平 民 ” 就 也 完 全 没 有 “ 遗 嘱 ” 之

    权 。 其 他 评 论 家 仅 仅 指 出 , 在 “ 遗 嘱 人 ” 没 有 代 表 的 一 个 不

    友 好 的 议 会 中 , 要 把 一 个 拟 议 的 “ 遗 嘱 ” 提 交 它 受 理 是 有 困

    难 的 。 不 论 真 正 的 看 法 应 该 如 何 , 一 种 “ 遗 命 ” 被 应 用 了 , 它

    具 有 意 图 避 免 某 种 可 厌 恶 义 务 的 一 切 特 点 。 这 种 “ 遗 嘱 ” 是一 种在生 ·

    前 的 让 与 , 把 “ 遗 嘱 人 ” 的 家 族 和 财 产 完 全 地 和 不

    可 挽 回 地 移 转 给 他 心 意 中 的 继 承 人 。 这 种 移 转 一 定 是 始 终 为

    严 格 的 罗 马 法 规 定 所 准 许 的 , 但 是 , 当 这 种 行 为 的 目 的 是 要

    在 死 后 发 生 效 力 时 , 就 可 能 发 生 纠 纷 , 因 为 在 没 有 取 得 “ 贵族 议 会 ” 的 正 式 认 可 前 , 它 是 否 能 成 为 有 效 的 “ 遗 嘱 ” , 是 一

    个 问 题 。 当 时 在 罗 马 人 民 的 两 个 阶 级 之 间 如 果 在 这 一 点 上 存

    在 着 分 歧 意 见 , 那 末 后 来 通 过 伟 大 的 大 宪 官 和 解 时 代 它 就 连同 许 多 其 他 不 平 的 泉 源 给 一 并 消 灭 了 。 “ 十 二 铜 表 法 ” 原 文 还保 存 着 , 它 说法律规定,家父得使用他资产的监护权 ( P a t e r  f a m i l i a s   u t i   d e   p e c u n i a J  t u t e l a Jv e   r e i   s u E l e g a Js s i t , i t a   j u s   e s t o ) — — 这 一 条 法 律 除 了 使 “ 平 民 遗嘱 ” 合 法 化 外 , 不 可 能 有 任 何 其 他 的 目 的 。

    学 者 们 都 知 道 , 在 “ 贵 族 议 会 ” 停 止 作 为 罗 马 国 家 的 立法 机 关 又 经 过 了 几 世 纪 后 , 它 仍 旧 为 了 私 事 而 继 续 召 开 正 式集 会 。 因 此 , 在 “ 十 二 铜 表 法 ” 公 布 后 的 一 个 长 时 期 内 ,我们 有 理 由 相 信 “ 特 别 民 会 ” 仍 旧 为 了 使 “ 遗 命 ” 生 效 而 集 会。把 它 称 为 一 个 “ 登 记 法 院 ” ( C o u r t   o f   R e g i s t r a t i o n ) , 可 以最 恰 当 地 表 示 出 它 可 能 的 职 能 , 但 是 提 出 的 “ 遗 嘱 ” 应 被 理解 为 并 不 真 正 地登入簿据 , 只 是 向 其 成 员 宣 读 , 他 们 应 能 注意 其 要 旨 并 牢 记 于 心 中 。 很 可 能 这 一 种 “ 遗 命 ” 从 来 没 有写成 书 面 , 但 无 论 如 何 , 纵 使 “ 遗 嘱 ” 原 来 是 书 面 的 , “ 民 会 ”

    的 职 责 也 只 限 于 听 取 高 声 朗 诵 , 在 这 以 后 文 件 由 “ 遗 嘱 人 ” 加以 保 管 , 或 寄 存 于 某 些 宗 教 团 体 妥 为 保 管 。 这 种 公 告 也 许 是在 “ 特 别 民 会 ” 中 执 行 的 “ 遗 命 ” 的 附 带 条 件 之 一 , 这 就 使它 不 为 一 般 人 所 欢 迎 。 在 帝 国 的 初 期 , “ 民 会 ” 仍 旧 召 集 会 议 ,但 这 些 会 议 似 已 徒 具 形 式 , 很 少 或 甚 至 没 有 “ 遗 嘱 ” 会 在 定期 会 议 中 被 提 出 来 。

    对 现 代 世 界 文 明 有 深 远 影 响 的 , 是 古 代 的 “ 平 民 遗嘱 ” — — 这 是 上 述 “ 遗 命 ” 的 代 替 物 。 它 在 罗 马 获 得 了 由于要 把 “ 遗 命 ” 提 交 “ 特 别 民 会 ” 而 丧 失 的 一 切 声 望 。 它 所 以有 其 一 切 优 点 , 关 键 在 于 它 是 来 自曼企帕因 ( m a n c i p i u m ) 或 即 古 罗 马 的 让 与 , 我 们 毫 不 踌 躇 地 认 为 这 种 手 续 程 序 是 现 代社 会 如 果 没 有 了 它 们 就 很 难 团 结 在 一 起 的 两 个 伟 大 制 度即“ 契 约 ” 和 “ 遗 嘱 ” 的 母 体 。 曼 企 帕 因 或 后 来 在 拉 丁 文 中 所谓“ 曼 企 帕 地 荷 ” , 把 我 们 带 回 到 民 事 社 会 的 萌 芽 时 代 去 。由于它 的 产 生 远 在 书 写 艺 术 发 明 之 前 、 至 少 是 在 书 写 艺 术 广 为 流

    行 之 前 , 所 以 手 势 、 象 征 的 行 为 和 庄 严 的 成 语 便 被 用 来 代 替

    了 文 件 的 形 式 , 冗 长 的 和 繁 复 的 仪 式 是 为 了 要 使 有 关 各 造 都

    能 注 意 到 交 易 的 重 要 性 , 并 使 证 人 们 可 以 因 此 而 获 得 深 刻 的印 象 。 口 头 证 言 不 及 书 面 证 言 完 备 , 因 此 必 须 增 加 的 证 人 和助 手 的 人 数 , 远 超 过 后 来 被 认 为 合 理 或 可 以 理 解 的 范 围 。

    罗 马 的 “ 曼 企 帕 地 荷 ” 首 先 要 求 当 事 人 、 也 就 是 出 卖 人和 买 受 人 到 场 , 如 果 我 们 用 现 代 法 律 术 语 , 应 该 是 让 与 人 和受 让 人 到 场 。 此 外 , 还 应 该 至 少 有五个 证 人 ; 以 及 一 个 例 外人 物 , 即 “ 司 秤 ” ( L i b r i p e n s ) , 他 带 着 一 对 天 平 秤 用 以 权 衡古 罗 马 未 铸 成 钱 币 的 铜 钱 。 我 们 现 在 所 研 究 的 “ 遗 命 ” — —即铜衡式 ( p e r Ee t   l i b r a m ) “ 遗 嘱 ” , 这 是 在 术 语 上 这 样 被 长

    期 继 续 称 呼 的 — — 就 是 一 个 普 通 “ 曼 企 帕 地 荷 ” , 在 形 式 上 甚至 在 用 语 上 都 是 毫 未 变 动 过 的 。 “ 遗 嘱 人 ” 是 让 与 人 ; 五 个 证人 和 司 秤 都 到 场 了 ; 受 让 人 的 地 位 由 一 个 在 术 语 上 被 称 为家产买主 ( f a m i l i E  e m p t o r ) 的 所 占 有 。 于 是 就 按 照 一 个 普 通“ 曼 企 帕 地 荷 ” 的 仪 式 进 行 。 经 过 某 种 正 式 的 手 势 和 言 语 的 宣述 。

    家产买主 用 一 块 钱 敲 击 天 平 以 表 示 价 金 的 支 付 , 最 后 ,“ 遗 嘱 人 ” 即 用 所 谓 “ 交 易 宣 告 ” ( N u n c u p a t i o ) 的 一 套 话 语 来批 准 刚 才 所 做 的 , 这 一 套 成 语 在 遗 嘱 法 律 学 中 已 有 了 长 久 的历 史 , 已 为 法 学 家 所 熟 知 。 对 于 称 为 家 产 买 主 的 人 的 性 质 , 必须 特 别 加 以 注 意 。 毫 无 疑 问 , 在 起 初 他 是 “ 继 承 人 ” 本 身 。“ 遗 嘱 人 ” 当 场 把 他 全 部 “ 家 产 ” ( f a m i l i a ) , 也 就 是 他 在 家 族

    上 以 及 通 过 家 族 所 享 有 的 一 切 权 利 移 转 给 他 , 包 括 他 的 财 产 、

    他 的 奴 隶 以 及 他 的 一 切 祖 传 特 权 , 连 同 他 的 一 切 义 务 和 责 任 。

    根 据 上 面 所 说 的 资 料 , 我 们 可 以 发 现 原 始 形 式 的 所 谓

    “ 曼 企 帕 地 荷 ” 式 “ 遗 命 ” 和 现 代 的 遗 嘱 之 间 是 有 几 个 显 著 的不 同 之 点 的 。 因 为 “ 曼 企 帕 地 荷 ” 式 “ 遗 命 ” 既 然 相 当 于“ 遗 嘱 人 ” 财 产 的完全的 让 与 , 它 是 不 能撤销的 。 因 为 一 个 权力 在 既 已 消 灭 之 后 , 是 不 能 重 新 行 使 的 了 。

    再 则 , 它 不 是 秘 密 的 。 既 然 “ 家 产 买 主 ” 本 身 就 是 “ 继承 人 ” , 他 就 完 全 知 道 他 的 权 利 是 什 么 , 并 且 也 知 道 他 是 不 可

    改 变 地 享 有 继 承 权 的 , 即 使 在 秩 序 最 好 的 古 代 社 会 中 也 常 难

    免 会 发 生 暴 乱 , 因 此 这 样 的 知 识 便 成 为 极 端 危 险 的 了 。 但 这

    种 “ 遗 命 ” 和 “ 让 与 ” 关 系 所 发 生 的 最 可 惊 的 后 果 , 也 许 是

    在 把 继 承 权 立 刻 归 属 于 “ 继 承 人 ” 。 多 数 民 法 学 家 都 不 相 信 这

    一 点 , 他 们 认 为 “ 遗 嘱 人 ” 财 产 的 归 属 是 以 “ 遗 嘱 人 ” 死 亡

    为 条 件 的 , 或 要 在 一 个 不 可 确 定 的 时 候 , 即 让 与 人 死 亡 的 时

    候 才 能 让 与 给 他 。 但 是 一 直 到 罗 马 法 律 学 的 最 后 时 期 , 有 一

    类 的 交 易 是 绝 对 不 允 许 用 一 个 条 件 来 直 接 变 更 它 , 或 用 一 定时 限 来 限 制 它 , 或 用 一 定 时 限 来 起 算 的 。 用 术 语 来 讲 , 就 是不 准 许 附 有条件 ( c o n d i t i o ) 或日期 ( d i e s ) 的 。 “ 曼 企 帕 地荷 ” 是 其 中 的 一 种 , 因 此 , 虽 然 看 起 来 很 奇 怪 , 但 我 们 还 是

    不 得 不 得 出 这 样 一 个 结 论 , 即 原 始 罗 马 “ 遗 嘱 ” 是 立 即 生 效

    的 , 即 使 “ 遗 嘱 人 ” 在 其 “ 立 遗 嘱 ” 行 为 后 仍 旧 生 存 , 也 是

    如 此 。 很 可 能 , 罗 马 公 民 原 来 只 在 临 死 的 时 候 订 立 “ 遗 嘱 ” ,

    而 一 个 少 壮 的 人 为 了 “ 家 族 ” 延 续 而 预 作 准 备 时 就 往 往 宁 可

    采 取 “ 收 养 ” 而 不 采 取 “ 遗 嘱 ” 的 形 式 。 我 们 仍 旧 应 该 相 信 ,

    如 果 “ 遗 嘱 人 ” 竟 然 恢 复 健 康 , 他 只 能 在 其 “ 继 承 人 ” 的 容

    许 之 下 继 续 管 理 其 家 族 。

    这 些 不 方 便 处 如 何 补 救 , 以 及 为 什 么 “ 遗 命 ” 会 具 有 现

    在 普 遍 地 认 为 和 它 有 关 联 的 各 种 特 点 , 我 在 进 行 解 释 之 前 , 首

    先 应 该 说 明 二 三 个 问 题 。 “ 遗 命 ” 并 非 必 须 是 书 面 的 : 在 起 初 ,

    “ 遗 命 ” 似 乎 一 成 不 变 地 是 口 头 的 , 并 且 , 即 使 在 较 后 时 期 ,

    宣 布 遗 赠 的 证 书 也 只 是 偶 然 地 和 “ 遗 嘱 ” 联 系 在 一 起 而 并 不

    是 它 的 主 要 组 成 部 分 。 它 对 “ 遗 嘱 ” 的 关 系 , 事 实 上 正 和 旧

    英 国 法 律 中 允 许 使 用 的 证 书 对 罚 金 和 回 复 的 关 系 , 或 “ 封 土

    授 与 状 ” 对 封 土 授 与 的 关 系 相 同 。 在 “ 十 二 铜 表 法 ” 之 前 , 书

    面 绝 少 用 处 , 因 为 “ 遗 嘱 人 ” 无 权 以 其 遗 产 遗 赠 给 任 何 人 , 能

    从 一 个 遗 嘱 中 获 得 利 益 的 唯 一 的 人 们 是 “ 继 承 人 ” 或 “ 共 同

    继 承 人 ” 。 但 “ 十 二 铜 表 法 ” 中 条 文 的 极 端 一 般 性 不 久 产 生 了

    这 样 一 条 教 义 , 即 不 论 “ 遗 嘱 人 ” 对 他 加 上 任 何 指 示 , “ 继 承

    人 ” 必 须 接 受 继 承 权 , 换 言 之 , 必 须 接 受 作 出 遗 赠 限 制 的 继

    承 权 。 书 面 的 遗 嘱 证 件 于 是 取 得 了 一 种 新 的 价 值 , 即 可 以 用

    来 作 为 防 止 继 承 人 诈 欺 地 拒 绝 满 足 受 遗 赠 人 的 一 种 保 证 ; 但到 最 后 , “ 遗 嘱 人 ” 还 是 可 以 任 意 决 定 专 靠 证 人 的 证 言 , 并 用口 头 宣 告家产买主 必 须 支 付 的 各 个 遗 赠 。

    所 谓家产买主 这 个 名 词 , 须 要 注 意 。 “ 买 主 ” 表 示 “ 遗嘱 ” 可 以 说 是 一 种 买 卖 , 而 “ 家 产 ” 这 个 词 , 和 “ 十 二 铜 表法 ” 遗 嘱 条 款 中 的 用 语 相 比 较 时 , 可 以 使 我 们 获 得 有 启 发 性的 结 论 。 “ 家 产 ” 在 古 典 拉 丁 文 中 , 意 思 始 终 是 指 一 个 人 的 奴隶 。 但 在 这 里 , 以 及 一 般 地 在 古 罗 马 法 的 用 语 中 , 它 包 括 了在 他 “ 家 父 权 ” 之 下 的 一 切 人 , 至 于 “ 遗 嘱 人 ” 的 物 质 财 产或 资 产 , 则 视 为 家 族 的 附 属 物 而 移 转 。 试 再 回 顾 一 下 “ 十 二铜 表 法 ” , 可 以 看 到 它 谈 到 了 “他资产的监护权 ” ( t u t e l a   r e isu E) , 这 一 种 说 法 正 和 刚 才 所 研 究 的 成 语 意 义 相 反 。 因 此我 们 就 无 法 避 免 这 样 一 个 结 论 , 即 甚 至 在 比 较 近 的 大 宪 官 和解 时 代 , 表 示 “ 家 庭 ” 和 “ 财 产 ” 的 两 个 名 词 在 日 常 用 语 中是 混 淆 不 清 的 。 如 果 把 一 个 人 的 “ 家 庭 ” 认 为 是 他 的 财 产 , 我们 就 不 妨 把 这 个 用 语 解 释 为 指 “ 家 父 权 ” 的 范 围 , 但 是 , 由于 这 两 个 名 词 是 可 以 相 互 交 换 的 , 我 们 必 须 承 认 , 这 样 的 说法 把 我 们 带 回 到 了 原 始 时 代 , 当 时 财 产 是 由 家 族 所 有 , 而 家族 则 为 公 民 所 管 理 , 因 此 社 会 的 成 员 并 不 有 其 财 产和 其 家 族 ,而是通过 其 家 族 而 有 其 财 产 的 。

    在 一 个 不 容 易 明 确 决 定 的 时 期 , 罗 马 “ 裁 判 官 ” 在 处 理“ 遗 命 ” 时 , 习 惯 于 按 照 法 律 的 精 神 而 不 是 法 律 的 文 字 来 举 行仪 式 。 不 定 期 处 分 在 不 知 不 觉 中 成 为 成 规 定 例 , 直 到 最 后 , 一

    种 完 全 新 形 式 的 “ 遗 嘱 ” 成 熟 了 , 并 且 和 “ 告 令 法 律 学 ” 正

    规 地 啣 接 在 一 起 。 新 的 或 是裁判官 的 “ 遗 命 ” 从 ·

    大 ·

    官 ·

    法 ( J u s  H o n o r a r i u m ) 或 罗 马 的 衡 平 法 取 得 其 全 部 的 稳 固 性 。 某 年的 “ 裁 判 官 ” 一 定 曾 在 其 就 任 的 “ 布 告 ” 中 列 入 了 一 个 条 款 ,

    说 明 他 决 意 支 持 通 过 某 种 仪 式 而 执 行 的 一 切 “ 遗 命 ” ; 这 种 改

    革 在 被 发 现 为 有 利 的 以 后 , 其 有 关 条 款 便 被 “ 裁 判 官 ” 的 继

    承 者 重 新 引 用 , 并 再 为 其 后 任 重 复 采 用 , 直 到 最 后 由 于 这 样

    地 被 继 续 编 入 而 被 称 为 “ 常 续 ” 或 “ 永 续 告 令 ” ( C o n t i n u o u s E d i c t ) 这 一 部 分 法 律 学 的 一 个 公 认 部 分 。 研 究 一 下 一 个有效 “ 裁 判 官 遗 嘱 ” 的 条 件 , 显 然 可 以 看 到 这 些 条 件 决 定 于“ 曼 企 帕 地 荷 遗 命 ” 的 要 求 , 革 新 的 “ 裁 判 官 ” 显 然 只 在 旧 有的 手 续 能 保 证 真 实 或 防 止 诈 欺 时 才 加 以 保 留 。 当 “ 曼 企 帕地荷 遗 命 ” 执 行 时 , 在 “ 遗 嘱 人 ” 的 旁 边 有 七 个 人 到 场 。 因 此“ 裁 判 官 遗 嘱 ” 必 须 有 七 个 证 人 : 其 中 两 个 相 当 于司秤和家产买主 , 他 们 不 是 作 为 象 征 的 性 质 , 他 们 到 场 的 唯 一 目 的 是为了 提 供 证 言 。 这 时 不 再 举 行 象 征 的 仪 式 ; 只 是 把 “ 遗 嘱 ”诵读 一 遍 ; 但 是 为 了 要 永 保 “ 遗 嘱 人 ” 处 分 的 证 据 起 见 , 很 可能 ( 虽 然 不 能 绝 对 地 肯 定 ) 必 须 有 一 书 面 的 证 件 。 无 论 如 何 ,每 当 一 个 书 面 提 出 诵 读 或 被 提 供 为 一 个 人 的 最 后 “ 遗 嘱 ” 时,我 们 确 切 地 知 道 , 除 非 七 个 证 人 中 的 每 一 个 人 分 别 在 外 面 加盖 其 印 章 , “ 裁 判 官 法 院 ” 是 不 会 用 特 别 干 涉 来 支 持 它 的。这是 在 法 律 学 史 上 第 一 次 看 到盖印 , 作 为 立 证 的 方 式 。 必 须 注意 , 罗 马 “ 遗 嘱 ” 以 及 其 他 重 要 文 件 上 的 印 章 并 非 仅 仅 作 为签 证 者 到 场 或 同 意 的 标 志 , 而 是 的 的 确 确 的 一 种 封 签 , 在 可以 阅 读 文 件 前 必 须 加 以 启 开 的 。

    因 此 “ 告 令 法 律 ” 所 强 行 的 一 个 “ 遗 嘱 人 ” 的 处 分 , 只要 经 过 七 个 证 人 的 封 签 证 明 , 不 一 定 要 经 过 “ 曼 企 帕 地 荷 ” 的形 式 。 但 我 们 可 以 作 出 这 样 一 个 一 般 性 的 命 题 , 即 罗 马 财 产的 主 要 性 质 , 除 非 通 过 假 定 为 和 “ 市 民 法 ” 同 源 的 各 种 程 序以 外 , 是 不 能 传 授 的 。 因 此 , “ 裁 判 官 ” 不 能 把 一 个继承权授与 任 何 人 。 他 不 能 把 “ 继 承 人 ” 或 “ 共 同 继 承 人 ” 放 在 “ 遗嘱 人 ” 本 身 和 他 自 己 的 权 利 义 务 所 有 的 同 样 关 系 中 。 他 所 能做 到 的 , 是 使 被 称 为 “ 继 承 人 ” 的 人 对 遗 赠 财 产 有 实 际 的 享有 权 , 并 对 “ 遗 嘱 人 ” 的 债 务 有 清 偿 的 力 量 。 当 “ 裁 判 官 ” 为这 些 目 的 而 行 使 其 权 力 时 , 在 术 语 上 他 被 称 为 传 授遗产占有( B o n o r u m   P o s s e s s i o ) 。 这 种 情 况 下 的 “ 继 承 人 ” 或遗产占有者 , 能 享 有 “ 市 民 法 ” 上 “ 继 承 人 ” 所 能 享 有 的 一 切 财 产 所有 权 。 他 取 得 财 产 利 益 并 能 以 之 移 转 , 然 而 , 在 申 请 损 害 赔偿 时 , 他 不 应 如 我 们 所 说 的 , 求 诸 “ 普 通 法 ” 而 应 求 诸 “ 裁判 官 法 院 ” 的 “ 衡 平 法 ” 。 如 果 我 们 说 他 拥 有 在 继 承 权 中 的 一种衡平 的 财 产 , 可 能 不 致 发 生 大 错 ; 但 是 , 为 了 使 我 们 不 致为 这 样 的 类 比 所 迷 惑 , 我 们 必 须 始 终 记 着 , 在 有 一 年 中,遗产占有 是 根 据 所 谓 “ 时 效 取 得 ” ( U s u c a p i o n ) 的 一 条 罗 马 法 原则 而 产 生 效 果 的 , “ 占 有 者 ” 就 成 为 包 括 在 继 承 权 中 的 一切 财产 的 一 个 “ 公 民 ” 所 有 人 。我 们 对 古 代 的 “ 民 事 诉 讼 ” ( C i v i l   P r o c e s s ) 法 所 知 道 的太 少 了 , 不 能 对 “ 裁 判 官 法 院 ” 所 提 供 的 各 式 救 济 方 法 之间的 利 弊 一 一 加 以 比 较 。 但 可 以 断 言 , 虽 然 “ 曼 企 帕 地 荷遗命 ” 有 许 多 缺 点 , 但 通 过 它 而 立 即 全 部 把概括的权利 加 以 移转 的 “ 曼 企 帕 地 荷 遗 命 ” , 却 从 没 有 完 全 为 这 新 的 “ 遗 嘱 ” 所

    代 替 ; 在 一 个 不 拘 泥 于 古 代 形 式 或 者 这 些 古 代 形 式 并 不 十 分

    被 重 视 的 时 期 , 法 学 专 家 的 所 有 机 智 便 都 被 耗 费 于 改 进 这 种

    比 较 神 圣 庄 严 的 工 具 。 在 该 雅 士 时 代 , 也 就 是 安 托 宁 · 凯 撒时 代 ; “ 曼 企 帕 地 荷 遗 命 ” 的 大 缺 点 都 已 消 除 。 原 来 , 正 如 我

    们 已 经 看 到 过 的 那 样 , 对 手 续 程 序 的 主 要 性 质 的 要 求 , 是

    “ 继 承 人 ” 本 身 必 须 是 “ 家 产 买 主 ” , 其 结 果 是 : 他 不 但 立 即

    在 “ 遗 嘱 人 的 财 产 ” 中 取 得 一 种 既 得 利 益 , 并 且 被 正 式 告 知他 的 权 利 。 但 是 到 了 该 雅 士 时 期 , 就 准 许 可 由 一 些 不 相 关 的人 来 担 任 “ 家 产 买 主 ” 。 因 此 继 承 人 就 不 一 定 会 被 告 知 他 的 预定 继 承 ; 从 此 以 后 , “ 遗 嘱 ” 就 取 得 了秘密 的 特 性 。 用 一 个 陌生 人 作 为 “ 家 产 买 主 ” 以 代 替 真 正 的 “ 继 承 人 ” , 还 有 其 他 的种 种 后 果 。 在 它 一 经 合 法 化 后 , 一 个 罗 马 “ 遗 命 ” 就 包 括 了两 个 部 分 或 阶 段 — — 一 个 是 让 与 , 这 是 一 种 纯 粹 的 形 式 , 还有 一 个 是 “ 宣 告 ” 。 在 这 程 序 的 后 半 过 程 中 , “ 遗 嘱 人 ” 或 者口 头 向 其 助 手 宣 布 在 他 死 亡 后 应 该 执 行 的 愿 望 , 或 者 提 出 一个 书 面 文 件 , 其 中 包 含 有 他 的 愿 望 。 可 能 要 直 到 注 意 力 已 不再 集 中 于 这 想 象 的 ” 让 与 ” 而 集 中 于 “ 宣 告 ” , 并 把 它 作 为 交易 的 重 要 部 分 时 , “ 遗 嘱 ” 才 被 准 许 成 为可以撤销的 。

    这 样 , 我 已 从 法 律 史 上 把 “ 遗 嘱 ” 的 系 统 作 了 一 番 考 察 。它 的 根 源 , 就 是 建 筑 在 “ 曼 企 帕 地 荷 ” 或 “ 让 与 ” 上 的 古“ 铜 衡 式 ” 遗 命 。 但 这 个 古 “ 遗 嘱 ” 有 多 种 缺 点 , 这 些 缺 点 已经 , 虽 然 只 是 间 接 的 , 为 裁 判 官 法 所 补 救 了 。 同 时 , 法 学 专家 们 的 机 智 , 在 “ 普 通 法 遗 嘱 ” 或 “ 曼 企 帕 地 荷 遗 命 ” 中 , 实现 了 那 些 裁 判 官 可 能 会 同 时 在 “ 衡 平 法 ” 中 达 到 的 各 种 改 进 。但 这 些 最 后 的 改 良 , 完 全 依 靠 了 法 律 上 的 机 巧 , 因 此 我 们 看到 该 雅 士 或 是 阿 尔 比 安 时 代 的 “ 遗 嘱 法 ” 只 是 过 渡 性 质 的 。 以后 接 着 发 生 些 什 么 变 化 , 我 们 不 知 道 ; 但 最 后 , 刚 在 查 斯 丁尼 安 法 律 学 复 兴 之 前 , 我 们 发 现 东 罗 马 帝 国 的 人 民 应 用 着 一种 “ 遗 嘱 ” , 它 一 方 面 可 以 追 溯 到 “ 裁 判 官 遗 嘱 ” , 而 另 一 方面 可 以 追 溯 到 “ 铜 衡 式 ” 遗 命 。 像 “ 裁 判 官 遗 命 ” 一 样 , 它不 需 要 “ 曼 企 帕 地 荷 ” , 并 且 除 非 有 七 个 证 人 的 封 签 不 生 效 力 。

    但 又 象 “ 曼 企 帕 地 荷 遗 嘱 ” 一 样 , 它 所 移 转 的 是 继 承 权 , 不仅 仅 是 一 个遗产占有 。 但 它 最 重 要 特 点 中 有 几 点 是 由 现 实 法规 所 规 定 的 , 并 且 正 是 由 于 它 有 三 重 来 源 , 即 “ 裁 判 官 告令 ” 、 “ 市 民 法 ” 以 及 “ 帝 国 宪 令 ” , 因 此 查 斯 丁 尼 安 就 称 他 自己 时 代 的 “ 遗 嘱 法 ” 为三重法 。 这 种 新 的“遗命 ” 就 是 一 般 人 所 说 的 “ 罗 马 遗 嘱 ” 。 但 这 只 是 东 罗 马 帝国 的 “ 遗 嘱 ” ; 根 据 萨 维 尼 的 研 究 , 显 示 出 在 西 罗 马 帝 国,直到 中 世 纪 , 旧 的 “ 曼 企 帕 地 荷 遗 命 ” 连 同 让 与 、 铜 和 天平 等工 具 , 仍 旧 被 继 续 使 用 着 。

    第七章 古今有关遗嘱与继 承的各种思想

    虽 然 现 代 欧 洲 “ 遗 嘱 法 ” 中 有 许 多 地 方 和 过 去 人 类 所 实 行 的

    最 古 的 遗 嘱 处 分 有 着 密 切 的 联 系 , 但 在 “ 遗 嘱 ” 和 “ 继 承 ” 这

    个 主 题 上 , 古 代 和 现 代 思 想 观 念 确 实 存 在 着 重 要 的 分 歧 。 这

    一 些 分 歧 点 , 我 将 在 本 章 中 详 细 加 以 说 明 。

    在 距 离 “ 十 二 铜 表 法 ” 时 代 几 世 纪 以 后 的 一 个 时 期 中 , 我

    们 发 现 在 “ 罗 马 市 民 法 ” 上 增 加 了 许 多 规 定 , 其 目 的 是 在 限

    制 剥 夺 子 女 的 继 承 权 ; 我 们 看 到 “ 裁 判 官 ” 的 审 判 权 亦 积 极

    地 执 行 这 一 项 利 益 ; 我 们 在 那 时 候 发 现 有 一 种 新 的 救 济 方 法 ,

    在 性 质 上 是 非 常 例 外 的 , 而 其 来 源 也 是 不 确 定 的 , 这 种 救 济

    方 法 称 为 “ 遗 嘱 违 反 伦 道 之 诉 ” ( Q u e r e l a   I n o f f i c i o s i   T e s t a Am e n t i ) , 目 的 是 使 亲 子 恢 复 为 其 父 的 “ 遗 命 ” 所 不 公 正 地 拒 绝

    的 继 承 利 益 。 有 的 著 者 在 把 这 个 法 律 规 定 和 承 认 订 立 “ 遗

    嘱 ” 的 绝 对 自 由 的 “ 十 二 铜 表 法 ” 原 文 相 比 较 时 , 他 们 想 把

    大 量 戏 剧 性 的 偶 然 事 件 混 入 他 们 的 “ 遗 嘱 法 律 ” 史 中 。 他 们

    谈 到 族 长 立 刻 毫 无 限 制 地 任 意 剥 夺 子 女 的 继 承 权 , 谈 到 这 种

    新 的 实 践 对 公 共 道 德 所 造 成 的 侮 辱 和 损 害 , 更 谈 到 一 切 善 良

    人 们 对 “ 裁 判 官 ” 阻 止 父 权 堕 落 进 一 步 发 展 而 作 的 勇 敢 行 为

    加 以 赞 美 。 这 些 故 事 就 其 所 叙 述 的 主 要 事 实 而 论 , 并 不 是 完

    全 毫 无 根 据 的 , 但 反 映 出 对 于 法 律 史 上 的 各 项 原 则 是 有 严 重的 误 解 的 。 “ 十 二 铜 表 法 ” 的 法 律 应 该 根 据 它 制 定 时 代 的 特 性

    来 加 以 解 释 。 它 不 可 能 有 一 种 在 较 后 时 代 认 为 它 必 须 加 以 反

    对 的 倾 向 , 它 只 根 据 这 样 一 个 假 定 继 续 前 进 , 即 不 认 为 这 种

    倾 向 是 存 在 的 , 或 者 我 们 可 以 说 , 根 本 不 考 虑 到 有 这 种 倾 向

    存 在 的 可 能 。 罗 马 公 民 很 少 可 能 会 立 刻 开 始 自 由 地 运 用 这 剥

    夺 继 承 权 的 权 力 。 我 们 知 道 , 在 当 时 , 家 族 奴 役 的 羁 绊 是 在

    最 残 酷 地 压 迫 着 , 但 人 们 仍 旧 忍 受 着 , 在 这 种 情 况 下 , 如 果

    以 为 在 我 们 自 己 时 代 不 受 欢 迎 的 某 些 负 担 , 在 那 时 竟 然 能 够

    解 脱 , 这 是 违 背 了 一 切 理 性 和 违 背 了 对 于 历 史 的 合 理 理 解 的 。

    “ 十 二 铜 表 法 ” 准 许 执 行 “ 遗 命 ” , 只 限 于 它 认 为 遗 嘱 可 能 被

    执 行 的 情 况 下 , 也 就 是 说 , 只 限 于 没 有 子 嗣 和 近 亲 的 时 候 。 它

    并 不 禁 止 剥 夺 直 系 卑 亲 属 的 继 承 权 , 因 为 这 种 偶 然 事 件 是 当

    时 罗 马 立 法 者 所 不 可 能 预 见 到 的 , 因 此 也 就 无 从 在 立 法 中 用

    明 文 加 以 规 定 。 毫 无 疑 义 , 当 家 族 情 谊 逐 渐 丧 失 了 它 原 来 所

    具 有 的 个 人 义 务 的 面 貌 时 , 就 偶 然 发 生 了 剥 夺 子 女 继 承 权 的

    事 件 , 但 “ 裁 判 官 ” 的 干 预 却 并 不 是 由 于 这 种 恶 习 的 普 遍 发

    生 , 而 在 最 初 时 无 疑 地 是 由 于 下 述 原 因 的 推 动 , 即 因 为 这 类

    不 自 然 的 任 意 行 动 事 例 在 当 时 是 很 少 而 且 是 例 外 的 , 并 且 也

    是 和 当 时 的 道 德 观 念 相 抵 触 的 。

    由 这 一 部 分 罗 马 “ 遗 嘱 法 ” 所 提 供 的 迹 象 在 性 质 上 是 完

    全 不 同 的 。 可 注 意 的 是 , 罗 马 人 从 没 有 把 一 个 “ 遗 嘱 ” 用 作

    ·

    剥 ·

    夺 一 个 “ 家 族 ” 的 继 承 权 的 一 种 手 段 , 或 用 作 造 成 一 项 遗

    产 的 不 公 平 分 配 的 一 种 手 段 。 阻 止 它 转 向 这 一 方 面 的 法 律 规

    定 , 随 着 这 部 分 法 律 学 的 逐 渐 发 展 而 不 断 增 加 其 数 量 和 严 密

    程 度 ; 这 些 规 定 无 疑 地 是 和 罗 马 社 会 一 贯 的 情 绪 相 符 合 的 , 并不 完 全 是 由 于 个 人 感 情 的 偶 然 变 动 。 遗 嘱 权 的 主 要 价 值 似 乎

    是 在 它 的 能 够 帮 助 一 个 “ 家 族 ” ·

    作 ·

    好 ·

    豫 ·

    备 , 并 在 分 配 继 承 财

    产 中 能 比 较 按 照 “ 无 遗 嘱 继 承 法 ” 分 配 得 更 加 公 平 不 偏 。 如

    果 一 般 的 情 绪 确 是 这 样 , 它 在 某 种 程 度 上 说 明 了 始 终 成 为 罗

    马 人 的 特 点 : 即 对 于 “ 无 遗 嘱 ” 而 死 亡 感 到 特 殊 的 恐 怖 。 丧

    失 遗 嘱 特 权 似 乎 被 认 为 是 比 任 何 灾 害 更 沉 重 的 一 种 天 罚 ; 咒

    诅 一 个 敌 人 , 说 他 要 死 而 无 “ 遗 嘱 ” 要 比 任 何 咒 诅 都 更 苛 酷 。

    在 我 们 今 日 所 存 在 的 各 种 意 见 中 , 没 有 这 种 类 似 的 感 情 , 或

    是 很 不 容 易 发 现 有 这 种 感 情 。 所 有 各 个 时 代 的 一 切 人 无 疑 地

    都 宁 愿 能 筹 划 其 所 有 物 的 归 宿 , 并 由 法 律 来 为 他 们 执 行 这 个

    任 务 ; 但 是 罗 马 人 对 于 “ 有 遗 嘱 而 死 亡 ” 的 感 情 , 从 其 强 度

    来 讲 , 并 不 仅 仅 是 出 于 放 任 随 便 的 愿 望 ; 当 然 , 它 和 家 族 骄

    傲 更 无 共 同 之 处 , 因 为 家 族 骄 傲 全 然 是 封 建 制 度 的 产 物 , 它

    把 一 种 财 产 积 累 在 一 个 独 一 的 代 表 人 手 中 。 也 许 是 ·

    先 ·

    天 ·

    的 由

    于 “ 无 遗 嘱 继 承 ” 中 的 某 些 规 定 , 造 成 这 种 强 烈 地 宁 愿 用

    “ 遗 嘱 ” 分 配 财 产 而 不 愿 根 据 法 律 规 定 而 分 配 。 但 是 , 困 难 是

    在 于 , 当 我 们 看 到 罗 马 的 “ 无 遗 嘱 继 承 ” 法 律 , 还 是 处 在 查

    斯 丁 尼 安 把 它 制 成 为 现 代 立 法 者 几 乎 普 遍 采 用 的 继 承 顺 序 以

    前 几 个 世 纪 中 一 直 具 有 的 那 种 形 式 中 时 , 它 完 全 没 有 给 人 以

    显 著 不 合 理 或 不 平 衡 的 印 象 。 相 反 的 , 它 所 规 定 的 分 配 方 法

    非 常 公 平 合 理 , 并 且 和 现 代 社 会 一 般 认 为 满 意 的 分 配 方 法 很

    少 不 同 之 处 , 因 此 , 我 们 实 没 有 理 由 说 明 为 什 么 会 这 样 地 非

    常 不 受 欢 迎 , 特 别 是 在 这 样 一 种 法 律 学 中 , 它 把 有 子 女 要 扶

    养 的 人 的 遗 嘱 权 削 减 到 一 个 狭 小 的 范 围 内 。 我 们 可 以 预 期 的 ,

    象 在 现 在 的 法 兰 西 那 样 , 族 长 都 一 般 地 不 愿 意 自 找 麻 烦 执 行一 个 “ 遗 嘱 ” , 他 宁 愿 让 其 财 产 听 任 “ 法 律 ” 处 理 。 但 是 , 我

    以 为 如 果 我 们 比 较 仔 细 地 研 究 一 下 查 斯 丁 尼 安 以 前 的 “ 无 遗

    嘱 继 承 ” 标 准 , 我 们 就 能 发 现 打 开 秘 密 的 关 键 。 这 个 法 律 的

    结 构 包 括 两 个 不 同 的 部 分 。 一 部 分 的 规 定 来 自 “ 市 民 法 ” , 这

    是 罗 马 的 “ 普 通 法 ” ; 另 一 部 分 则 来 自 “ 裁 判 官 告 令 ” 。 我 在

    其 他 场 合 已 经 提 到 过 了 , “ 市 民 法 ” 规 定 有 权 继 承 的 继 承 人 按

    顺 序 有 这 样 三 种 ; 未 解 放 之 子 , 宗 亲 中 的 最 近 亲 等 , 以 及

    “ 同 族 人 ” 。 在 这 三 种 顺 序 中 间 , “ 裁 判 官 ” 添 加 了 各 类 的 亲 族 ,

    这 些 亲 族 是 “ 市 民 法 ” 所 完 全 不 管 的 。 直 到 最 后 “ 告 令 ” 和

    “ 市 民 法 ” 结 合 而 组 成 了 一 张 继 承 顺 序 表 , 它 在 实 质 上 和 传 到

    现 代 的 多 数 法 典 中 的 并 没 有 很 大 区 别 。

    有 一 点 必 须 注 意 , 在 古 代 一 定 有 这 样 一 个 时 期 , 当 时

    “ 无 遗 嘱 继 承 ” 的 顺 序 完 全 由 “ 市 民 法 ” 决 定 “ 告 令 ” 的 安 排

    是 完 全 不 存 在 的 , 或 是 不 一 贯 地 执 行 的 。 我 们 毫 不 疑 惑 , “ 裁

    判 官 ” 的 法 律 学 在 其 早 年 时 代 , 不 得 不 和 可 怕 的 阻 力 相 竞 争 ,

    并 且 更 可 能 的 是 , 在 一 般 情 绪 和 法 律 意 见 默 认 了 它 很 久 以 后 ,

    它 定 期 地 介 绍 进 来 的 各 种 变 更 并 不 根 据 于 某 种 确 定 的 原 则 ,

    而 是 根 据 了 连 续 任 命 的 各 个 高 级 官 吏 的 不 同 偏 见 而 随 时 变 动

    的 。 我 认 为 , 罗 马 人 在 这 个 时 期 中 所 实 行 的 “ 无 遗 嘱 继 承 ” 规

    定 , 足 以 说 明 罗 马 社 会 长 时 期 以 来 对 于 一 个 “ 无 遗 嘱 死 亡 ” 所

    以 始 终 存 在 着 强 烈 嫌 恶 的 理 由 。 当 时 继 承 的 顺 序 是 这 样 的 : 在

    一 个 公 民 死 亡 时 , 如 果 没 有 遗 嘱 或 是 没 有 有 效 的 遗 嘱 , 他 的

    “ 未 解 放 ” 之 子 成 为 其 继 承 人 。 他 的 ·

    解 ·

    放 之 子 不 能 分 享 继 承 权 。

    如 果 在 他 死 亡 时 , 没 有 直 系 卑 亲 属 , 就 由 宗 亲 中 最 近 的 亲 等

    继 承 , 但 是 通 过 女 性 后 裔 而 和 死 者 结 合 起 来 的 亲 族 ( 不 论 如何 接 近 ) , 都 不 能 享 有 继 承 权 。 家 族 中 所 有 其 他 支 系 都 被 排 斥

    在 继 承 权 之 外 , 而 继 承 权 就 应 归 属 于 ·

    同 ·

    族 ·

    人 也 就 是 和 死 者 具

    有 同 一 姓 氏 的 全 体 罗 马 公 民 。 因 此 , 如 果 没 有 一 个 有 效 的

    “ 遗 命 ” , 在 我 们 所 考 察 的 这 一 个 时 期 中 的 一 个 罗 马 人 就 将 使

    其 解 放 之 子 绝 对 得 不 到 什 么 权 利 , 另 一 方 面 , 既 然 假 定 他 在

    死 亡 时 没 有 子 嗣 , 则 他 的 宗 族 就 有 完 全 失 去 其 财 产 而 使 财 产

    传 诸 于 另 外 一 些 人 的 迫 切 危 险 , 这 些 人 和 他 的 关 系 仅 仅 是 由

    于 祭 司 的 拟 制 , 假 定 凡 是 同 族 的 全 部 成 员 都 是 来 自 一 个 共 同

    祖 先 。 这 样 一 种 状 态 的 本 身 就 几 乎 足 以 说 明 上 述 一 般 情 绪 的

    所 以 发 生 ; 但 在 事 实 上 , 如 果 我 们 忘 记 了 , 我 所 描 述 的 情 况

    很 可 能 是 发 生 在 正 当 罗 马 社 会 处 于 从 其 分 散 家 族 的 原 始 组 织

    转 变 的 第 一 个 阶 段 时 , 则 我 们 所 理 解 的 仅 及 一 半 而 已 。 把

    “ 解 放 ” 承 认 为 一 个 合 法 的 惯 例 , 真 是 针 对 父 权 王 国 的 最 早 的

    一 个 打 击 , 但 是 法 律 虽 然 仍 旧 认 为 “ 家 父 权 ” 是 家 族 关 系 的

    根 本 , 却 坚 持 把 解 放 之 子 视 作 “ 亲 属 ” 权 外 的 陌 生 人 和 血 缘

    外 的 外 人 。 然 而 , 我 们 不 能 就 因 而 认 为 法 律 上 的 炫 学 所 加 于

    家 族 上 的 种 种 限 制 会 在 其 父 的 自 然 情 感 上 有 同 样 效 果 。 家 族

    忠 诚 一 定 仍 旧 保 留 着 “ 宗 法 ” 制 度 下 的 那 种 近 乎 不 可 思 议 的

    神 圣 性 和 强 烈 性 ; 并 且 家 族 忠 诚 很 少 可 能 会 因 为 解 放 行 为 而

    消 灭 , 它 的 可 能 性 恰 恰 完 全 相 反 。 可 以 毫 不 踌 躇 地 认 为 当 然

    的 , 从 父 权 下 得 到 解 放 不 但 不 是 情 感 的 割 断 , 相 反 的 正 是 情

    感 的 表 现 — — 这 是 对 最 最 溺 爱 和 最 最 尊 重 的 子 嗣 给 予 一 种 仁

    德 和 宠 爱 的 标 志 。 如 果 在 所 有 子 嗣 中 受 到 这 样 特 别 宠 遇 之 子

    会 因 为 “ 无 遗 嘱 死 亡 ” 而 绝 对 地 被 剥 夺 了 继 承 权 , 则 他 的 不

    愿 蒙 受 这 种 情 况 是 母 庸 多 加 解 释 而 自 明 的 。 我 们 也 许 可 以 ·

    先天地 假 定 , 人 们 的 喜 爱 “ 立 遗 嘱 ” 是 由 于 “ 无 遗 嘱 ” 继 承 规

    定 所 造 成 的 某 种 道 德 上 的 不 公 正 而 产 生 的 ; 在 这 里 , 我 们 发

    现 这 些 “ 无 遗 嘱 ” 继 承 规 定 是 和 古 代 社 会 借 以 结 合 在 一 起 的

    那 种 天 性 不 相 一 致 的 。 我 们 可 以 把 上 面 所 主 张 的 一 切 , 表 现

    于 一 简 明 的 形 式 中 。 原 始 罗 马 人 的 每 一 种 占 优 势 的 情 绪 , 都

    是 和 家 族 的 各 种 关 系 交 织 在 一 起 的 。 但 什 么 是 “ 家 族 ” ? 法 律

    上 有 它 的 定 义 — — 自 然 情 感 上 有 它 另 外 的 一 个 定 义 。 在 这 两

    者 之 间 的 冲 突 中 产 生 了 我 们 所 要 加 以 分 析 的 感 情 , 它 热 烈 欢

    迎 这 样 一 种 制 度 , 根 据 这 种 制 度 人 们 可 以 根 据 情 感 的 指 示 而

    决 定 其 对 象 的 命 运 。

    因 此 , 我 认 为 罗 马 人 对 于 “ 无 遗 嘱 死 亡 ” 的 恐 惧 , 说 明

    了 在 古 代 有 关 “ 家 族 ” 这 个 主 题 的 法 律 与 古 代 人 对 于 家 族 的

    情 感 慢 慢 地 发 生 改 变 这 两 者 之 间 很 早 就 发 生 了 冲 突 。 在 罗 马

    “ 制 定 法 ” 中 有 一 些 规 定 ; 特 别 是 有 关 限 制 妇 女 继 承 能 力 的 那

    一 个 条 例 , 是 使 这 种 感 情 长 期 存 在 的 主 要 原 因 ; 一 般 人 都 相

    信 , 创 设 “ 信 托 遗 赠 ” ( F i d e i - C o m - m i s s a ) 制 度 , 其 目 的 就

    是 想 用 以 避 免 这 些 条 例 所 规 定 的 无 能 力 。 但 是 这 种 感 情 本 身

    的 惊 人 的 强 烈 程 度 , 似 乎 说 明 了 在 法 律 和 舆 论 之 间 早 就 存 在

    着 某 种 很 深 的 对 抗 ; 而 “ 裁 判 官 ” 对 于 法 律 学 的 改 进 无 法 把

    这 种 感 情 加 以 消 灭 , 也 是 完 全 不 足 为 奇 的 。 凡 是 熟 悉 舆 论 哲

    学 的 人 都 知 道 : 一 种 情 绪 决 不 会 因 为 产 生 它 的 情 况 消 逝 了 而

    必 然 地 随 着 消 灭 。 它 可 能 会 比 情 况 留 存 得 更 长 久 ; 不 , 它 也

    可 能 会 在 后 来 达 到 一 个 强 烈 的 顶 点 和 高 潮 , 而 这 种 顶 点 和 高

    潮 是 在 情 况 继 续 存 在 期 间 从 来 没 有 达 到 过 的 。

    把 一 个 “ 遗 嘱 ” 看 作 是 授 予 一 种 权 力 , 把 财 产 从 家 族 中转 出 来 , 或 是 把 财 产 根 据 “ 遗 嘱 人 ” 的 想 象 或 见 解 而 分 成 许

    多 不 公 平 的 部 分 , 这 种 看 法 发 生 在 封 建 制 度 已 完 全 巩 固 了 的

    中 世 纪 的 后 半 期 。 当 现 代 法 律 学 初 步 以 粗 糙 的 形 式 出 现 时 , 用

    遗 嘱 来 绝 对 自 由 处 分 一 个 死 者 的 财 产 , 还 是 很 少 见 的 。 在 这

    个 时 期 内 , 当 财 产 的 遗 传 由 “ 遗 嘱 ” 规 定 时 — — 在 大 部 分 的

    欧 洲 , 动 产 是 遗 嘱 处 分 的 主 体 — — 遗 嘱 权 的 行 使 不 能 干 预 寡

    妇 从 遗 产 中 取 得 一 定 分 额 的 权 利 , 同 样 不 能 干 预 子 嗣 取 得 固

    定 比 例 的 权 利 。 子 所 取 得 的 分 额 由 罗 马 法 的 规 定 用 数 量 表 示

    出 来 。 关 于 寡 妇 的 规 定 , 应 该 归 功 于 教 会 的 努 力 , 它 始 终 不

    懈 地 关 怀 着 丈 夫 死 后 妻 子 的 利 益 , — — 经 过 二 三 世 纪 的 坚 决

    要 求 之 后 , 才 获 得 了 所 有 的 胜 利 中 也 许 是 最 难 得 的 一 个 胜 利 ,

    就 是 丈 夫 在 结 婚 时 就 明 白 保 证 赡 养 其 妻 , 最 后 并 把 “ 扶 养 寡

    妇 财 产 ” ( D o w e r ) 的 原 则 列 入 了 全 西 欧 的 “ 习 惯 法 ” 中 。 可

    怪 的 是 , 以 土 地 作 为 扶 养 寡 妇 的 财 产 的 制 度 经 证 明 要 比 类 似

    的 和 更 古 的 为 寡 妇 和 子 嗣 保 留 的 一 定 分 额 动 产 的 制 度 , 更 加

    巩 固 。 在 法 兰 西 有 些 地 方 习 惯 中 , 把 这 种 权 利 一 直 保 持 到

    “ 革 命 ” 时 代 , 在 英 国 , 也 有 类 似 的 惯 例 的 痕 迹 ; 但 在 大 体 上 ,

    流 行 着 的 学 理 是 动 产 可 以 由 “ 遗 嘱 ” 自 由 处 分 , 并 且 , 虽 然

    寡 妇 的 要 求 得 到 继 续 尊 重 , 但 子 的 特 权 则 被 从 法 律 学 上 加 以

    取 消 。 当 然 这 种 变 化 完 全 是 由 于 “ 长 子 继 承 权 ” 的 影 响 。 “ 封

    建 的 ” 土 地 法 为 了 一 个 子 嗣 而 剥 夺 所 有 其 余 诸 子 的 继 承 权 , 甚

    至 对 那 些 可 以 平 均 分 配 的 财 产 也 不 复 视 为 有 加 以 平 均 分 配 的

    义 务 。 “ 遗 命 ” 是 用 以 产 生 不 平 等 的 主 要 工 具 , 而 在 这 种 情 况

    下 产 生 了 古 代 人 和 现 代 人 对 于 一 个 “ 遗 嘱 ” 的 不 同 的 概 念 。 但

    是 , 虽 然 通 过 “ 遗 命 ” 而 享 有 处 理 遗 产 的 自 由 是 封 建 主 义 的一 个 偶 然 产 物 , 但 是 在 自 由 “ 遗 嘱 ” 处 分 制 度 和 另 外 一 个 制

    度 , 像 封 建 土 地 法 制 度 之 间 , 是 存 在 着 极 端 巨 大 的 区 别 的 , 因

    为 在 封 建 土 地 法 制 度 之 下 , 财 产 的 移 转 是 强 迫 按 照 规 定 的 遗

    传 系 统 而 进 行 的 。 这 个 真 理 似 乎 是 “ 法 兰 西 法 典 ” 的 著 者 所

    没 有 注 意 到 的 。 在 他 们 决 定 要 加 以 摧 毁 的 社 会 组 织 中 , 他 们

    看 到 “ 长 子 继 承 权 ” 主 要 建 筑 在 “ 家 族 ” 授 产 的 基 础 上 , 但

    他 们 同 时 也 注 意 到 “ 遗 命 ” 在 严 格 限 嗣 继 承 下 常 常 被 用 来 以

    为 他 保 留 的 完 全 相 同 的 优 先 权 给 予 长 子 。 因 此 , 为 了 使 他 们

    的 工 作 非 常 可 靠 , 他 们 不 但 使 长 子 不 得 在 婚 姻 协 议 中 优 先 于

    其 余 诸 子 , 他 们 并 把 “ 遗 嘱 继 承 ” 排 斥 于 法 律 之 外 , 否 则 就

    要 使 他 们 的 基 本 原 则 , 即 在 父 死 亡 时 其 财 产 应 在 诸 子 中 平 均

    分 配 的 原 则 不 能 成 立 。 其 结 果 是 他 们 建 立 了 一 种 小 范 围 的 永

    续 限 嗣 继 承 制 度 ( a   s y s t e m   o f   s m a l   p e r p e t u a l e n t a i l s ) , 这 种 制 度 非 常 接 近 欧 洲 的 封 建 制 度 , 而 不 是 完 全 的遗 产 自 由 。 英 国 的 土 地 法 , “ 封 建 制 度 的 赫 鸠 妻 尼 恩 城 ” ( t h e   H e r c u l a n e u m   o f   F e u d a l i s m ) , 当 然 是 更 和 中 世 纪 的 土 地

    法 相 似 而 不 同 于 任 何 大 陆 国 家 的 土 地 法 , 我 们 的 “ 遗 嘱 ” 也

    就 常 常 被 用 来 助 长 或 效 法 长 子 和 其 亲 系 的 优 先 权 , 这 成 为 不

    动 产 婚 姻 授 产 中 几 乎 普 遍 的 特 色 。 但 是 , 这 个 国 家 中 的 感 情

    和 舆 论 都 曾 受 到 自 由 遗 嘱 处 分 实 践 的 重 大 影 响 ; 据 我 看 来 , 在

    大 部 分 法 兰 西 社 会 中 就 家 族 中 保 存 财 产 这 个 问 题 所 具 有 的 情

    绪 , 比 诸 英 国 人 更 接 近 于 二 三 世 纪 以 前 流 行 于 全 欧 洲 的 情 绪

    状 态 。

    “ 长 子 继 承 权 ” 问 题 引 起 了 历 史 法 律 学 中 一 个 最 困 难 的 问

    题 。 虽 然 我 还 没 有 说 明 我 的 见 解 , 但 我 常 常 谈 到 在 罗 马 继 承法 上 , 许 多 “ 共 同 继 承 人 ” 总 是 和 一 个 单 一 “ 继 承 人 ” 有 同

    一 的 立 足 点 的 。 事 实 上 , 我 们 从 没 有 看 到 罗 马 法 律 学 上 有 这

    样 一 个 时 期 , 一 个 “ 继 承 人 ” 或 “ 概 括 继 承 人 ” 的 地 位 不 可

    以 为 一 个 集 体 的 共 同 继 承 人 所 取 得 。 这 个 集 体 作 为 一 个 单 一

    的 单 位 而 继 承 , 继 承 的 财 产 通 过 以 后 另 外 的 法 律 程 序 在 他 们

    中 间 进 行 分 配 。 当 “ 继 承 ” 是 ·

    法 ·

    定 ·

    继 ·

    承 , 这 个 集 体 中 所 包 括

    的 都 是 死 者 的 子 嗣 时 , 他 们 每 一 个 人 都 从 财 产 中 取 得 一 个 相

    等 的 份 额 ; 虽 然 在 有 一 个 时 期 男 性 比 女 性 占 一 些 便 宜 , 但 在

    这 里 完 全 没 有 一 些 “ 长 子 继 承 权 ” 的 痕 迹 。 分 配 的 方 式 在 全

    部 古 代 法 律 学 中 是 完 全 一 样 的 。 当 然 , 当 民 事 社 会 开 始 , 各

    家 族 在 经 过 许 多 世 代 以 后 已 不 再 结 合 在 一 起 时 , 自 发 地 就 产

    生 了 这 种 观 念 , 要 把 领 地 在 每 一 世 代 的 所 有 成 员 中 平 均 分 配 ,

    并 且 不 专 为 长 子 或 其 支 系 保 留 任 何 特 权 。 关 于 这 种 现 象 和 原

    始 思 想 的 密 切 关 系 , 可 以 从 比 罗 马 制 度 更 古 的 一 些 制 度 中 , 看

    到 一 些 特 别 有 意 义 的 暗 示 。 在 印 度 人 中 , 当 子 刚 出 生 时 , 他

    对 其 父 的 财 产 立 刻 取 得 一 种 既 得 权 , 这 种 财 产 未 得 共 有 人 的

    承 认 是 不 能 出 卖 的 。 在 子 达 到 成 年 时 , 他 有 时 甚 至 可 以 不 愿

    其 父 是 否 同 意 而 强 迫 分 割 财 产 , 并 且 , 如 果 得 到 父 的 同 意 , 则

    纵 使 不 为 所 有 其 余 诸 子 所 愿 意 , 一 子 也 能 取 得 分 割 。 在 这 类

    分 割 发 生 时 , 父 除 了 取 得 的 份 额 不 是 一 份 而 是 两 份 以 外 , 并

    不 能 较 其 子 更 为 优 待 。 日 耳 曼 部 落 的 古 代 法 是 非 常 类 似 的 。

    “ 自 由 地 ” 或 家 族 领 地 是 父 和 子 的 共 有 财 产 。 不 过 , 习 惯 上 这

    种 共 有 财 产 在 父 死 亡 时 也 是 不 分 割 的 , 而 一 个 印 度 人 的 所 有

    物 虽 然 在 理 论 上 是 可 以 分 割 的 , 但 在 事 实 上 却 同 样 地 很 少 分

    割 , 因 此 往 往 许 多 世 代 转 辗 相 传 从 不 分 割 , 这 样 , 印 度 的 家族 就 有 不 断 扩 大 为 “ 村 落 共 产 体 ” 的 倾 向 , 其 情 况 我 将 在 以

    后 加 以 阐 述 。 所 有 这 一 切 , 明 显 地 指 出 , 在 死 亡 时 把 财 产 在

    男 性 子 嗣 中 绝 对 平 均 分 配 , 是 家 族 依 附 发 生 瓦 解 的 第 一 个 阶

    段 中 社 会 上 最 为 普 遍 的 实 践 。 这 时 候 , “ 长 子 继 承 权 ” 就 成 为

    历 史 上 的 难 题 了 。 当 封 建 制 度 在 形 成 的 过 程 中 , 这 些 制 度 除

    了 一 方 面 从 罗 马 各 省 的 法 律 以 及 另 一 方 面 从 蛮 族 的 古 代 习 惯

    中 得 到 其 原 素 外 , 在 世 界 上 已 没 有 其 他 渊 源 , 但 我 们 知 道 罗

    马 人 或 蛮 族 在 财 产 继 承 中 都 不 习 惯 于 把 任 何 优 先 权 给 予 长 子

    或 其 亲 系 , 因 此 , 初 看 起 来 , 我 们 感 到 迷 惑 不 解 。

    在 蛮 族 最 初 定 居 于 罗 马 帝 国 境 内 时 所 实 行 的 各 种 “ 习

    惯 ” 中 , 并 没 有 “ 长 子 继 承 制 ” 。 我 们 知 道 它 的 渊 源 是 来 自 入

    侵 酋 长 的采地 ( b e n e f i c e ) 或 贻 赠 。 这 些 初 时 只 是 由 移 居 来 的

    国 王 偶 然 封 赐 、 但 后 来 为 查 理 曼 大 量 分 配 的 “ 采 地 ” , 乃 是 授

    与 有 军 功 的 受 益 人 管 业 的 罗 马 各 省 土 地 。 ·

    自 ·

    主 ·

    地 所 有 人 似 乎

    并 不 跟 随 其 统 治 者 从 事 远 征 或 艰 难 的 冒 险 事 业 , 所 有 法 兰 克

    酋 长 和 查 理 曼 所 进 行 的 历 次 远 征 , 其 随 军 出 征 的 或 是 人 身 依

    附 王 家 的 士 兵 , 或 是 由 于 土 地 的 租 佃 而 被 迫 服 役 的 士 兵 。 但

    是 采 地 在 开 始 时 完 全 没 有 世 袭 的 意 味 , “ 采 地 ” 的 持 有 要 听 从

    赐 与 人 的 好 恶 , 至 多 以 受 赐 人 的 终 身 为 限 ; 但 从 最 初 的 时 候

    起 , 受 益 人 似 乎 并 未 致 力 于 扩 大 出 租 地 , 并 在 其 死 后 把 土 地

    继 续 保 留 给 家 族 中 人 。 由 于 查 理 曼 继 承 人 柔 弱 无 能 , 这 些 企

    图 普 遍 获 得 成 功 , “ 采 地 ” 就 逐 渐 转 变 为 世 袭 的 “ 封 地 ”

    ( F i e f ) 了 。 但 是 封 地 虽 然 是 世 袭 的 , 却 并 不 一 定 遗 传 给 长 子 。

    它 们 所 遵 从 的 继 承 规 则 , 完 全 由 赐 与 人 和 受 益 人 之 间 同 意 的

    条 件 决 定 , 或 者 由 其 中 之 一 方 强 加 于 另 一 方 的 条 件 决 定 。 因此 , 原 来 的 租 地 条 件 是 非 常 多 种 多 样 的 ; 因 为 到 现 在 为 止 所

    提 到 的 各 种 租 地 条 件 都 是 为 罗 马 人 和 蛮 族 所 熟 悉 的 继 承 方 式

    的 某 种 联 合 , 所 以 并 不 象 有 时 所 说 的 那 样 任 意 地 变 化 的 , 但

    它 们 无 疑 是 非 常 琐 细 的 。 在 有 些 租 地 条 件 中 , 毫 无 疑 问 地 准

    许 长 子 和 其 支 系 先 于 其 他 子 嗣 而 继 承 封 地 , 但 这 类 继 承 非 特

    并 不 普 通 , 甚 至 也 没 有 为 一 般 所 采 用 。 在 欧 洲 社 会 较 近 的 一

    次 变 化 中 , 当 领 地 的 ( 或 罗 马 的 ) 和 自 主 地 的 ( 或 日 耳 曼

    的 ) 财 产 形 式 完 全 为 封 建 的 财 产 形 式 所 代 替 时 , 这 种 完 全 同

    样 的 现 象 又 重 复 发 生 了 。 自 主 地 完 全 为 封 地 所 吸 收 。 较 大 的

    自 主 地 所 有 者 把 部 分 的 土 地 有 条 件 地 移 转 给 其 属 下 而 自 成 为

    封 建 主 ; 较 小 的 自 主 地 所 有 者 为 了 逃 避 那 个 恐 怖 时 代 的 压 迫 ,

    就 把 他 们 的 财 产 奉 献 给 某 些 强 大 的 酋 长 , 并 以 战 争 时 为 他 服

    役 为 条 件 再 从 他 的 手 中 领 回 其 土 地 。 当 这 个 时 期 , 西 欧 的 广

    大 人 民 都 处 于 奴 隶 或 半 奴 隶 的 状 态 — — 罗 马 和 日 耳 曼 的 个 人

    奴 隶 , 即 罗 马 的 土 著 农 奴 ( c o l o n i ) 和 日 耳 曼 的 农 奴 ( l i d i ) — — 他 们 同 时 为 封 建 组 织 所 并 吞 , 他 们 中 的 一 小 部 分 对 封 建 主 处

    于 奴 仆 关 系 , 但 大 部 分 则 以 当 时 视 为 降 格 的 条 件 接 受 土 地 。 在

    这 普 遍 分 封 土 地 的 时 代 中 创 设 的 各 种 租 地 条 件 、 因 佃 农 和 新

    地 主 拟 定 的 条 件 或 因 佃 农 被 迫 接 受 地 主 条 件 的 不 同 而 各 异 。

    在 采 地 的 情 况 下 , 有 些 财 产 的 继 承 按 照 “ 长 子 继 承 权 ” 的 规

    定 , 但 并 不 是 全 部 如 此 。 但 是 , 一 当 封 建 制 度 普 遍 推 行 于 西

    欧 ; 就 明 显 地 感 到 “ 长 子 继 承 权 ” 比 其 他 任 何 种 继 承 方 式 有

    更 大 的 长 处 。 “ 长 子 继 承 权 ” 于 是 就 以 惊 人 迅 速 的 程 度 遍 传 到

    全 欧 各 地 , 它 传 播 的 主 要 工 具 是 “ 家 族 授 产 ” ( F a m i l y   S e t t l e Am e n t , 在 法 兰 西 称 为 P a c t e s   d e   F a m i l l e , 在 日 耳 曼 称 为 H a u s G e s e t z e ) , 它 普 遍 规 定 凡 是 由 于 武 功 而 占 有 的 土 地 一 概

    应 传 给 长 子 。 最 后 , 法 律 竟 让 位 给 这 多 年 应 用 的 实 践 , 在 逐

    渐 建 立 起 来 的 一 切 “ 习 惯 法 ” 中 , 对 于 自 由 租 地 和 军 役 租 地

    的 财 产 , 长 子 和 其 亲 系 有 优 先 继 承 之 权 。 至 于 因 佃 役 租 地 而

    持 有 的 土 地 ( 原 来 , 所 有 租 地 都 是 佃 役 的 , 佃 农 必 须 偿 付 金

    钱 或 提 供 劳 役 ) , 习 惯 所 规 定 的 继 承 制 度 在 各 国 和 各 省 中 差 别

    很 大 。 比 较 一 般 的 通 例 是 , 这 些 土 地 在 所 有 人 死 亡 时 应 由 所

    有 子 嗣 平 均 分 配 , 但 在 有 些 事 例 中 , 长 子 仍 有 优 先 权 , 在 有

    些 事 例 中 则 由 幼 子 取 得 优 先 权 。 但 象 英 国 的 “ 定 役 租 地 ”

    ( S o c a g e ) 一 样 , 它 发 生 的 时 期 较 其 余 各 类 的 租 地 为 迟 , 并 且

    既 不 是 完 全 自 由 的 , 也 不 是 完 全 佃 役 的 , 这 些 通 过 租 地 而 持

    有 的 财 产 、 这 些 在 某 些 方 面 看 来 是 属 于 最 重 要 的 一 类 财 产 的

    继 承 , 通 常 就 适 用 “ 长 子 继 承 权 ” 。

    “ 长 子 继 承 权 ” 所 以 能 被 广 为 传 播 , 一 般 都 认 为 是 由 于 所

    谓 封 建 的 理 由 。 据 说 , 如 果 在 封 地 最 后 持 有 人 死 亡 时 把 它 传

    给 一 个 单 一 的 人 而 不 在 多 数 人 中 间 进 行 分 配 , 封 建 主 就 可 以

    对 他 所 需 要 的 军 役 有 更 好 的 保 证 。 我 不 否 认 这 种 意 见 可 以 部

    分 地 说 明 “ 长 子 继 承 权 ” 所 以 逐 渐 为 人 们 所 爱 好 , 但 我 们 须

    指 出 , “ 长 子 继 承 权 ” 所 以 能 成 为 欧 洲 的 一 种 习 惯 , 倒 并 不 是

    由 于 它 对 封 建 主 有 利 , 而 是 由 于 它 为 佃 农 所 欢 迎 。 再 则 , 上

    述 理 由 完 全 不 能 说 明 它 的 来 源 。 法 律 中 决 不 可 能 有 任 何 规 定

    完 全 是 为 了 要 求 得 便 利 。 在 便 利 的 意 识 发 生 作 用 之 前 , 必 先

    有 某 些 观 念 存 在 着 , 它 所 能 做 的 也 只 是 把 这 些 观 念 组 成 新 的

    结 合 而 已 ; 在 当 前 的 情 形 中 , 问 题 正 就 是 在 找 寻 这 些 观 念 。

    从 一 个 富 有 这 类 征 兆 的 地 方 , 我 们 获 得 了 一 个 很 有 价 值的 暗 示 。 在 印 度 , 虽 然 父 的 所 有 物 可 在 其 死 亡 时 加 以 分 割 , 并

    且 甚 至 在 生 前 就 可 以 在 所 有 男 性 子 嗣 中 平 均 分 割 , 虽 然 这 个

    平 均 分 配 财 产 的 原 则 推 广 到 印 度 制 度 的 每 一 个 部 分 , 但 当 最

    后 一 个 在 职 者 死 亡 时 , 他 所 传 下 的 ·

    官 ·

    职 ·

    或 ·

    政 ·

    治 ·

    权 ·

    利 , 几 乎 普

    遍 地 根 据 “ 长 子 继 承 权 ” 的 规 定 而 进 行 继 承 。 因 此 , 主 权 是

    传 给 长 子 的 , 作 为 印 度 社 会 集 合 单 位 的 “ 村 落 共 产 体 ” 的 事

    务 原 归 一 人 管 理 时 , 则 父 死 之 后 一 般 就 由 长 子 继 续 管 理 。 在

    印 度 , 所 有 职 位 都 有 世 袭 的 趋 向 , 并 且 在 性 质 许 可 时 , 这 些

    职 位 即 归 属 于 最 老 支 系 的 最 长 成 员 。 把 这 些 印 度 继 承 和 在 欧

    洲 几 乎 一 直 到 现 在 还 存 在 的 较 未 开 化 社 会 组 织 的 有 些 继 承 ,

    加 以 比 较 , 我 们 可 以 得 到 这 样 的 结 论 , 即 宗 法 权 不 仅 是 ·

    家 ·

    ·

    的 并 且 是 ·

    政 ·

    治 ·

    的 , 它 在 父 死 亡 时 不 在 所 有 子 嗣 中 分 配 , 它 是

    长 子 的 天 生 权 利 。 例 如 , 苏 格 兰 高 原 部 落 的 酋 长 职 位 是 按 照

    “ 长 子 继 承 权 ” 的 顺 序 继 承 的 。 的 确 , 这 里 似 乎 有 一 种 家 族 依

    附 , 比 我 们 从 有 组 织 民 事 社 会 原 始 记 录 中 所 知 道 的 任 何 一 种

    家 族 依 附 还 要 来 得 古 老 。 古 罗 马 法 中 亲 属 的 宗 法 联 合 体 以 及

    大 量 类 似 的 征 兆 , 说 明 在 有 一 个 时 期 中 家 族 所 有 的 各 支 系 都

    团 结 在 一 个 有 机 的 整 体 中 ; 当 亲 属 这 样 形 成 的 集 团 本 身 就 成

    为 一 个 独 立 社 会 时 , 这 个 集 团 是 由 最 老 亲 系 的 最 长 男 性 管 理

    的 ; 这 自 非 狂 妄 的 臆 测 。 的 确 , 我 们 并 不 具 有 这 类 社 会 的 真

    实 知 识 。 即 在 最 原 始 的 共 产 体 中 , 就 我 们 所 知 , 家 族 组 织 至

    多 只 是 “ 政 府 中 的 政 府 ” ( i m p e r i a   i n   i m p e r i o ) 。 但 是 有 一

    些 部 族 、 特 别 是 凯 尔 特 部 族 的 地 位 从 有 史 以 来 都 近 似 独 立 , 这

    使 我 们 不 得 不 深 信 它 们 过 去 曾 一 度 是 各 别 的 政 府 , 它 的 酋 长

    职 位 是 根 据 “ 长 子 继 承 权 ” 而 继 承 的 。 但 是 , 我 们 必 须 注 意 ,不 要 把 它 和 法 律 上 的 名 词 作 现 代 的 联 想 。 我 们 现 在 所 谈 到 的

    一 种 家 族 关 系 比 我 们 所 熟 知 的 印 度 社 会 或 古 罗 马 法 中 任 何 家

    族 关 系 更 为 紧 密 。 如 果 罗 马 的 “ 家 父 ” 明 显 地 是 家 族 所 有 物

    的 管 家 , 如 果 印 度 人 之 父 只 是 其 诸 子 的 共 同 分 配 者 , 则 真 正

    的 宗 法 族 长 将 更 显 著 地 仅 仅 是 一 个 公 共 基 金 的 管 理 人 。

    因 此 , 在 “ 采 地 ” 中 所 发 现 的 “ 长 子 继 承 权 ” 的 继 承 事

    例 可 能 是 从 入 侵 种 族 的 一 种 宗 族 政 府 制 度 模 仿 来 的 , 这 种 家

    族 政 府 制 度 曾 为 入 侵 种 族 所 知 道 , 但 并 不 是 普 遍 适 用 的 。 有

    些 未 开 化 的 部 落 也 许 还 在 实 行 着 这 种 制 度 , 或 者 更 加 可 能 , 社

    会 还 刚 刚 离 开 较 古 的 状 态 , 因 此 人 们 在 为 一 种 新 形 式 的 财 产

    决 定 继 承 规 则 时 , 就 自 发 地 联 想 到 了 这 种 “ 长 子 继 承 权 ” 。 但

    这 里 还 有 一 个 问 题 , 为 什 么 “ 长 子 继 承 权 ” 会 逐 渐 代 替 了 其

    他 一 切 继 承 原 则 ? 我 以 为 答 案 应 该 是 在 加 洛 林 帝 国 瓦 解 期 间 ,

    欧 洲 社 会 肯 定 是 在 退 化 着 。 它 比 早 期 蛮 族 王 朝 时 期 的 悲 惨 低

    微 状 况 甚 至 还 要 落 后 一 些 。 这 个 时 期 的 最 大 特 点 是 国 王 权 力

    的 软 弱 甚 至 中 断 , 因 此 也 就 是 内 政 的 软 弱 中 断 ; 因 此 社 会 内

    部 是 不 团 结 的 , 人 们 也 普 遍 地 倒 退 到 比 共 产 体 开 始 时 更 古 的

    一 种 社 会 组 织 中 去 。 在 第 九 第 十 世 纪 时 期 , 封 建 主 连 同 其 属

    臣 大 概 都 属 于 一 个 宗 法 家 庭 , 这 种 家 庭 不 是 象 原 始 时 代 那 样

    用 “ 收 养 ” 而 是 用 “ 分 封 土 地 ” ( I n f e u d a t i o n ) 的 方 法 补 充 成

    员 的 ; 对 这 样 一 种 结 合 , “ 长 子 继 承 权 ” 继 承 方 式 是 强 力 和 持

    久 的 一 种 渊 源 。 只 要 全 部 组 织 建 筑 在 它 上 面 的 土 地 能 保 留 在

    一 起 , 它 就 能 有 力 地 进 行 攻 击 和 防 卫 ; 分 割 土 地 也 就 是 分 割

    这 小 小 的 社 会 , 也 就 是 在 普 遍 暴 乱 的 世 纪 中 给 侵 略 造 成 机 会 。

    我 们 可 以 完 全 断 定 , “ 长 子 继 承 权 ” 制 的 被 优 先 采 用 , 并 不 是为 了 一 个 子 而 剥 夺 其 余 诸 子 的 继 承 权 。 分 裂 封 地 要 使 每 一 个

    人 受 到 损 害 。 封 地 的 巩 固 会 使 每 一 个 人 获 得 好 处 。 “ 家 族 ” 可

    以 因 权 力 集 中 于 一 个 人 手 中 而 更 强 大 有 力 量 ; 赋 与 继 承 权 的

    封 建 主 并 不 能 较 其 同 胞 和 亲 属 在 占 有 、 利 益 或 享 受 上 有 任 何

    优 越 之 处 , 如 果 我 们 以 英 国 长 子 在 一 个 严 格 的 授 产 下 所 处 的

    地 位 , 来 估 计 一 个 封 地 的 继 承 人 所 继 承 的 特 权 , 这 将 是 一 个

    独 特 的 时 代 错 误 。

    我 曾 说 过 , 早 期 的 封 建 结 合 来 自 一 种 古 代 的 “ 家 族 ” 形

    式 , 并 且 和 它 极 端 类 似 。 但 是 在 古 代 世 界 中 , 在 还 没 有 通 过

    封 建 制 度 坩 埚 的 一 些 社 会 中 , 当 时 似 乎 曾 经 流 行 的 “ 长 子 继

    承 权 ” 还 没 有 变 成 后 期 封 建 欧 洲 的 “ 长 子 继 承 权 ” 。 当 亲 属 集

    团 经 过 许 多 世 代 不 再 为 一 个 世 袭 的 酋 是 统 治 时 , 过 去 曾 为 大

    家 而 管 理 的 领 地 也 就 被 大 家 平 均 分 配 了 。 为 什 么 这 种 情 况 不

    在 封 建 世 界 中 发 生 呢 ? 如 果 在 最 初 的 封 建 时 代 的 混 乱 期 间 , 长

    子 为 了 全 家 的 利 益 而 持 有 土 地 , 那 末 为 什 么 当 封 建 欧 洲 已 经

    巩 固 , 正 规 的 社 会 生 活 又 再 度 确 立 了 时 , 全 个 家 族 会 不 重 新

    恢 复 过 去 一 度 属 于 罗 马 人 和 日 耳 曼 人 的 平 等 继 承 权 的 能 力 ?

    那 些 专 心 致 力 于 探 讨 封 建 制 度 的 家 系 的 著 者 , 很 少 能 掌 握 开

    启 这 个 困 难 的 关 键 。 他 们 看 到 了 封 建 制 度 的 原 料 , 但 是 他 们

    没 有 注 意 到 成 品 。 助 威 这 个 制 度 形 成 的 观 念 和 社 会 形 式 无 疑

    地 是 蛮 族 的 和 古 代 的 , 但 是 , 当 法 院 和 法 律 家 被 要 求 来 解 释

    它 时 , 他 们 用 来 解 释 它 的 原 则 却 是 最 后 期 罗 马 法 律 学 的 , 因

    此 也 就 是 非 常 精 炼 和 非 常 成 熟 的 原 则 。 在 一 个 宗 法 统 治 的 社

    会 中 , 长 子 继 承 了 宗 亲 集 团 的 政 府 , 并 有 绝 对 权 力 处 分 其 财

    产 。 但 他 并 不 因 此 而 成 为 一 个 真 正 的 所 有 人 。 他 还 有 不 包 含在 所 有 权 这 概 念 中 的 相 关 连 的 各 种 义 务 , 这 些 义 务 是 十 分 不

    明 确 的 并 且 也 不 可 能 下 定 义 的 。 但 后 期 的 罗 马 法 律 学 象 我 们

    自 己 的 法 律 一 样 , 把 对 于 财 产 上 所 有 的 无 限 制 权 力 看 做 财 产

    所 有 权 , 并 没 有 、 并 且 在 事 实 上 也 不 可 能 注 意 到 这 一 类 的 义

    务 , 而 关 于 这 类 义 务 的 概 念 是 在 正 规 法 律 产 生 之 前 就 已 经 有

    的 。 这 种 精 练 的 观 念 和 野 蛮 的 观 念 相 接 触 后 , 不 可 避 免 地 召

    致 了 这 样 一 个 后 果 , 就 是 把 长 子 改 变 成 继 承 财 产 的 法 定 所 有

    人 。 教 会 的 和 世 俗 的 法 律 学 家 从 一 开 始 就 这 样 确 定 了 长 子 的

    地 位 ; 而 原 来 本 可 与 其 亲 属 在 平 等 的 地 位 上 共 祸 福 的 年 轻 兄

    弟 , 则 在 不 知 不 觉 间 下 降 为 僧 侣 、 军 事 冒 险 家 或 是 官 邸 的 食

    客 。 这 种 法 律 上 的 革 命 , 正 和 苏 格 兰 高 原 大 部 分 地 方 在 最 近

    小 规 模 地 发 生 的 革 命 , 完 全 相 同 。 当 苏 格 兰 法 律 学 必 须 决 定

    酋 长 在 扶 养 部 族 的 领 地 上 所 具 有 的 法 律 权 力 时 , 它 已 远 超 过

    了 同 部 族 人 对 完 全 所 有 权 可 以 加 一 些 模 糊 限 制 的 时 期 , 因 此 ,

    它 也 就 不 可 避 免 地 把 许 多 人 的 遗 产 转 变 成 一 个 人 的 财 产 了 。

    为 了 简 明 起 见 , 我 把 一 个 单 独 子 嗣 对 一 个 家 或 一 个 社 会

    所 有 权 力 的 继 承 , 称 为 “ 长 子 继 承 权 ” 的 继 承 方 式 。 但 是 , 可

    注 意 的 是 , 在 遗 留 给 我 们 的 这 类 继 承 的 少 数 很 古 的 事 例 中 , 取

    得 代 理 地 位 的 不 一 定 是 我 们 所 熟 知 的 意 义 中 的 长 子 。 曾 在 西

    欧 流 行 的 “ 长 子 继 承 权 ” 形 式 也 曾 在 印 度 人 中 继 续 保 存 过 , 我

    们 并 有 一 切 理 由 相 信 它 是 正 常 的 形 式 。 在 这 种 制 度 下 , 不 但

    是 长 子 , 并 且 是 长 子 的 亲 系 也 常 常 获 得 优 先 权 。 如 果 长 子 不

    能 继 承 , 则 他 的 长 子 不 但 对 其 兄 弟 并 且 对 其 叔 父 辈 有 优 先 权 。

    如 果 他 也 不 能 继 承 , 这 同 一 规 定 可 以 适 用 于 再 下 一 代 。 但 如

    果 继 承 不 仅 仅 是 ·

    民 ·

    事 ·

    的 、 而 且 是 ·

    政 ·

    治 ·

    的 权 力 时 , 就 可 能 要 发生 一 种 困 难 , 这 种 困 难 的 大 小 随 社 会 团 结 力 的 强 弱 而 增 减 。 一

    个 行 使 权 力 的 酋 长 可 能 寿 命 长 过 其 长 子 , 而 原 来 有 继 承 资 格

    的 孙 子 又 可 能 年 龄 太 小 未 及 成 年 , 不 能 担 负 实 际 指 导 社 会 以

    及 管 理 事 务 的 责 任 。 在 这 种 情 况 下 , 比 较 固 定 的 社 会 往 往 采

    取 这 种 便 宜 方 法 ; 就 是 把 这 幼 小 的 继 承 人 放 在 监 护 之 下 , 一

    直 到 他 适 宜 于 执 政 的 年 龄 。 监 护 权 一 般 属 于 男 性 宗 亲 ; 但 有

    可 注 意 的 是 , 在 极 少 的 偶 然 事 例 中 , 古 代 社 会 也 有 同 意 由 妇

    女 行 使 这 种 权 力 者 , 这 无 疑 是 出 于 尊 重 母 亲 的 庇 护 的 要 求 。 在

    印 度 , 一 个 印 度 主 权 者 的 寡 妇 曾 用 她 稚 子 的 名 义 而 统 治 着 国

    家 , 并 且 我 们 也 不 禁 要 想 到 法 兰 西 皇 位 继 承 规 定 的 习 惯 — —这种 习 惯 , 不 论 其 渊 源 为 何 , 无 疑 是 非 常 古 远 的 — — 规 定母后 对 “ 摄 政 职 位 ” ( R e g e n c y ) 较 所 有 其 他 申 请 人 有 优 先 之 权 ,但 同 时 它 却 又 严 格 地 排 斥 一 切 女 性 据 有 皇 位 。 把 主 权 遗 传 给

    一 个 幼 小 的 继 承 人 所 发 生 的 不 方 便 , 还 有 另 外 一 种 方 法 加 以

    消 除 , 这 种 方 法 无 疑 会 自 发 地 发 生 在 组 织 简 略 的 共 产 体 中 。 就

    是 把 幼 小 的 继 承 人 完 全 放 在 一 边 , 而 把 酋 长 的 职 位 授 与 第 一

    代 中 年 事 最 高 的 现 存 男 性 。 凯 尔 特 部 族 组 织 在 他 们 已 保 留 了

    一 个 世 纪 且 其 中 民 事 的 和 政 治 的 社 会 还 没 有 初 步 划 分 的 许 多

    现 象 中 间 , 就 有 着 这 样 一 个 继 承 的 规 定 , 并 把 它 一 直 带 到 了

    有 史 时 期 。 在 这 些 部 族 组 织 中 , 似 乎 还 有 这 样 一 种 现 实 准 则 ,

    认 为 在 长 子 不 能 继 承 时 , 他 的 长 弟 可 以 优 先 于 所 有 的 孙 辈 而

    获 得 继 承 , 不 问 在 主 权 遗 传 的 当 时 孙 辈 的 年 龄 是 怎 样 。 有 些

    著 者 用 这 样 的 假 说 来 解 释 这 个 原 则 , 认 为 凯 尔 特 的 习 惯 是 把

    最 后 的 酋 长 看 做 好 象 是 一 个 树 根 或 是 主 干 , 而 后 把 继 承 权 给

    与 和 他 距 离 最 近 的 卑 亲 属 ; 叔 父 既 较 接 近 于 共 同 的 根 干 , 便应 优 先 于 孙 辈 。 如 果 这 个 解 释 只 是 用 以 说 明 继 承 制 度 , 那 是

    无 可 非 议 的 ; 但 如 果 以 为 第 一 个 采 用 这 样 的 规 定 的 人 , 是 在

    应 用 显 然 从 封 建 继 承 制 度 开 始 在 法 律 家 中 进 行 论 辩 的 时 候 起

    就 有 的 推 理 过 程 , 则 将 是 一 个 严 重 的 错 误 。 叔 父 所 以 能 优 先

    于 孙 辈 , 其 真 正 的 来 源 无 疑 地 是 出 于 一 个 原 始 社 会 中 原 始 人

    们 的 一 种 简 单 打 算 , 即 认 为 由 一 个 成 年 的 酋 长 来 统 治 总 比 由

    一 个 孩 子 统 治 来 得 好 , 一 个 年 纪 较 轻 的 儿 子 将 比 长 子 的 任 何

    子 嗣 更 早 达 到 成 年 。 同 时 , 我 们 有 证 据 证 明 我 们 所 最 熟 悉 的

    那 种 形 式 的 “ 长 子 继 承 权 ” 是 一 种 原 始 的 形 式 , 其 传 统 是 当

    越 过 一 个 幼 小 的 继 承 人 而 作 出 有 利 于 其 叔 父 的 决 定 时 , 须 先取 得 部 族 的 同 意 。 在 麦 克 唐 纳 氏 ( M a c d o n a l d s ) 纪 年 史 中 有着 有 关 这 种 仪 式 的 相 当 真 实 的 例 子。

    根 据 可 能 保 存 着 一 种 古 代 阿 剌 伯 习 惯 的 穆 罕 默 德 法 律( M o h a m e t a n   I a w ) , 财 产 继 承 权 是 在 诸 子 中 平 均 分 配 的 , 女儿 则 可 取 得 半 份 , 但 是 如 果 有 任 何 一 人 在 继 承 权 分 割 前 死 亡而 遗 下 子 女 时 , 这 些 孙 儿 女 会 全 部 为 其 叔 姑 所 排 斥 。 与这原则 相 一 致 , 当 遗 下 的 是 政 治 权 时 , 继 承 就 按 照 凯 尔 特社会中的 “ 长 子 继 承 权 ” 形 式 进 行 。 在 西 方 两 个 穆 罕 默 德 的 大 家 族中 , 所 根 据 的 规 定 是 : 在 继 承 王 位 时 叔 父 优 先 于 诸 姪 , 虽 此姪 为 长 兄 之 子 , 亦 在 所 不 论 ; 这 一 规 定 虽 然 直 到 最 近 还 在 埃及 适 用 , 但 依 我 所 知 , 是 否 适 用 于 土 耳 其 君 主 的 移 转 , 是 还有 疑 问 的 。 苏 丹 们 的 政 策 事 实 上 一 直 是 在 防 止 适 用 这 个规定的 情 况 的 发 生 , 很 可 能 , 他 们 整 批 屠 杀 其 幼 年 兄 弟 一 方 面 固然 是 为 了 其 子 孙 的 利 益 , 另一 方 面 也 是 为 了 消 除 对 王 位 的 危险 竞 争 者 。 不 过 很 明 显 , 在 一 夫 多 妻 的 社 会 中 , “ 长 子 继 承权 ” 的 形 式 是 经 常 在 变 化 的 。 有 许 多 理 由 都 可 以 构 成 对 继 承的 要 求 , 例 如 , 母 亲 的 位 次 或 她 受 父 亲 宠 爱 的 程 度 。 因 此 , 有些 信 奉 伊 斯 兰 教 的 印 度 君 主 不 敢 主 张 有 任 何 明 显 的 遗 嘱 权 ,但 主 张 有 权 指 定 继 承 之 子 。 圣 经 上 以 撒 与 其 子 的 历 史 中 所 提到 的祝福 , 有 时 被 指 为 一 种 遗 嘱 , 但 这 似 乎 应 该 被 认 为 是 一种 指 定 一 个 长 子 的 方 式 。

    第 八 章   财 产 的 早 期 史

    罗 马 “ 法 学 阶 梯 ” 在 对 各 种 各 样 的 所 有 权 下 了 定 义 之 后 ,

    进 而 讨 论 “ 取 得 财 产 的 自 然 方 式 ” 。 凡 是 不 熟 悉 法 律 学 史 的 人 ,

    对 于 这 些 取 得 的 “ 自 然 方 式 ” , 似 乎 不 致 在 一 看 之 下 就 有 理 论

    上 的 或 者 是 实 践 上 的 兴 趣 的 。 猎 人 捕 获 或 杀 死 的 野 兽 , 由 于

    河 流 在 不 知 不 觉 中 的 淤 积 而 在 我 们 田 野 上 增 加 的 土 地 , 和 生

    根 于 我 们 土 地 上 的 树 木 , 这 些 都 是 罗 马 法 律 家 称 之 为 我 们 可

    以自然地 取 得 的 东 西 。 较 老 的 法 学 专 家 一 定 曾 注 意 到 , 这 类

    取 得 是 普 遍 地 为 他 们 所 处 的 小 社 会 的 惯 例 所 认 可 的 , 后 一 时

    期 的 法 律 家 既 然 发 现 这 些 取 得 被 归 类 于 古 “ 万 民 法 ” 中 , 并

    把 它 们 看 作 为 最 简 单 的 一 种 取 得 , 就 在 “ 自 然 ” 律 令 中 给 它

    们 分 配 了 一 个 地 位 。 这 些 财 产 所 受 到 的 尊 严 性 在 现 代 时 期 正

    在 继 续 不 断 增 长 , 直 至 完 全 超 过 了 它 原 来 的 重 要 性 。 理 论 已

    把 它 们 作 为 它 的 美 好 食 料 , 并 使 它 们 在 实 践 上 起 着 最 最 严 重

    的 影 响 。

    在 这 些 “ 自 然 取 得 方 式 ” 中 , 我 们 有 必 要 只 研 究 其 中 的一 种 , 即 “ 先 占 ” ( O c c u p a t i o ) 。 “ 先 占 ” 是 蓄 意 占 有 在 当 时 为

    无 主 的 财 产 , 目 的 ( 这 是 在 专 门 定 义 中 加 上 去 的 ) 在 取 得 财

    产 作 为 己 有 。 罗 马 法 律 学 称 为无主物 ( r e s   n u l l i u s ) 的 物 件— — 即 现 在 没 有 或 过 去 从 来 没 有 过 一 个 所 有 人 的 物 件 — — 只能 用 列 举 的 方 法 来 加 以 确 定 。 在从来没有过 一 个 所 有 人 的 物件 中 , 如 野 兽 、 鱼 、 野 雞 、 第 一 次 被 发 掘 出 来 的 宝 石 , 以 及新 发 现 或 以 前 从 未 经 过 耕 种 的 土 地 。 在现在没有 一 个 所 有 人的 物 件 中 , 包 括 抛 弃 的 动 产 、 荒 废 的 土 地 以 及 ( 一 个 变 例 的但 最 为 惊 人 的 项 目 ) 一 个 敌 人 的 财 产 。 在 所 有 这 些 物 件 中 , 完全 的 所 有 权 为 第 一 个 占 有 它 们 、 意 图 保 留 它 们 作 为 已 有 的占有人 所 取 得 — — 这 种 意 图 在 某 种 情 况 下 是 必 须 以 特 殊 行 为 来表 示 的 。 我 以 为 我 们 不 难 理 解 “ 先 占 ” 有 其 普 遍 性 , 它 促 使有 一 代 的 罗 马 法 律 家 把 “ 先 占 ” 的 实 践 列 入 “ 所 有 国 家 共 有 的 法 律 ” 中 , 它 有 其 单 纯 性 , 这 使 另 外 一 些 法 律 家 认 为 它 应 归 因 于 “ 自 然 法 ” 。 但 对 于 它 在 现 代 法 律 史 中 的 命 运 , 我 们 是没有先天的 考 虑 的 。 罗 马 人 的 “ 先 占 ” 原 则 , 以 及 法 学 专 家把 这 原 则 发 展 而 成 的 规 则 , 是 所 有 现 代 “ 国 际 法 ” 有 关 “ 战利 品 ” 和 在 新 发 现 国 家 中 取 得 主 权 等 主 题 的 来 源 。 它 们 又 提供 了 “ 财 产 起 源 ” 的 理 论 , 这 种 理 论 立 刻 受 到 欢 迎 , 并 通 过这 一 种 或 另 一 种 形 式 而 成 为 绝 大 部 分 纯 理 论 法 律 家 所 默 认 的理 论 。

    我 曾 说 过 , 罗 马 的 “ 先 占 ” 原 则 曾 决 定 “ 国 际 法 ” 中 有

    关 “ 战 利 品 ” 这 一 章 的 要 旨 。 “ 战 争 虏 获 法 ” 中 的 种 种 规 定 ,

    来 自 这 样 一 种 假 定 , 就 是 敌 对 行 动 的 开 始 使 社 会 回 复 到 了 一

    种 自 然 状 态 , 并 且 , 在 这 样 造 成 的 人 为 的 自 然 状 态 中 , 就 两

    个 交 战 国 而 论 , 私 有 财 产 制 度 就 处 于 停 止 的 状 态 。 后 期 论 述

    “ 自 然 法 ” 的 著 者 竭 力 主 张 私 有 财 产 在 某 种 意 义 上 是 他 们 所 解

    释 的 制 度 所 认 可 的 , 因 此 , 所 谓 一 个 敌 人 的 财 产 是 ·

    无 ·

    主 ·

    物 的

    假 说 , 在 他 们 看 起 来 , 是 不 法 和 惊 人 的 , 他 们 谨 慎 地 把 它 污

    蔑 为 仅 仅 是 法 律 学 上 的 一 种 拟 制 。 但 是 , 当 我 们 把 “ 自 然法 ” 的 渊 源 追 溯 到 “ 万 民 法 ” , 我 们 立 刻 看 到 为 什 么 一 个 敌 人的 财 物 会 被 看 作 无 主 财 产 , 并 因 此 而 能 力 第 一 个 占 有 人 所 取

    得 。 在 古 代 , 当 胜 利 使 征 服 者 的 军 队 的 组 织 解 体 , 并 任 令 士

    兵 进 行 不 分 皂 白 的 抢 掠 时 , 从 事 战 争 的 人 们 会 自 然 地 产 生 这

    种 观 念 。 可 是 , 在 最 初 , 允 许 为 虏 获 者 所 取 得 的 , 只 是 一 些

    动 产 。 我 们 根 据 一 个 可 靠 的 证 据 , 知 道 在 古 意 大 利 , 对 于 在

    一 个 被 征 服 国 家 的 土 地 上 取 得 所 有 权 , 流 行 着 一 种 很 不 同 的

    规 则 , 因 此 , 我 们 可 以 猜 想 把 先 占 原 则 适 用 于 土 地 ( 这 始 终

    是 一 椿 困 难 事 ) 开 始 于 “ 万 民 法 ” 成 为 “ 自 然 法 典 ” 的 时 期 ,

    并 且 这 是 黄 金 时 代 法 学 专 家 所 作 的 一 种 概 括 的 结 果 。 他 们 有

    关 这 一 点 的 教 条 被 保 存 在 查 斯 丁 尼 安 的 “ 法 学 汇 纂 ” 中 , 这

    些 教 条 无 条 件 地 主 张 , 敌 人 的 各 种 财 产 就 交 战 的 对 方 而 论 是

    ·

    无 ·

    主 ·

    物 , 而 虏 获 者 使 敌 产 成 为 自 己 所 有 的 “ 先 占 ” 则 是 “ 自

    然 法 ” 的 一 种 制 度 。 国 际 法 律 学 从 这 些 立 论 中 得 出 的 规 则 , 有

    时 被 人 诋 毁 为 一 种 不 必 要 的 对 于 战 斗 者 的 残 酷 和 贪 婪 的 宽

    纵 , 但 我 认 为 提 出 这 种 责 难 的 人 , 只 是 那 些 不 熟 悉 战 争 历 史

    的 人 , 因 此 也 就 是 那 些 不 了 解 要 强 使 人 们 服 从 任 何 一 种 法 则

    是 怎 样 一 种 伟 大 功 绩 的 人 。 当 罗 马 的 “ 先 占 ” 原 则 被 现 代 的

    “ 战 利 品 ” 法 所 采 用 时 , 带 来 了 一 些 附 属 的 法 规 , 使 其 执 行 得

    更 加 精 确 。 如 果 把 在 格 罗 修 斯 论 文 成 为 权 威 著 作 后 发 生 的 战

    事 来 和 较 早 时 期 的 战 争 相 比 较 , 可 以 看 到 , 一 待 罗 马 的 格 言

    被 接 受 后 , “ 战 争 ” 立 刻 具 有 一 种 比 较 可 以 容 忍 的 性 质 。 如 果

    把 罗 马 “ 先 占 ” 法 律 非 难 为 对 现 代 “ 国 际 法 ” 的 任 何 部 分 发

    生 着 有 害 的 影 响 , 则 我 们 可 以 有 相 当 理 由 认 为 曾 受 到 有 害 影

    响 的 是 国 际 法 的 另 外 一 章 。 “ 公 法 学 家 ” 把 罗 马 人 曾 引 用 于 宝石 的 发 现 的 原 则 同 样 地 引 用 于 新 国 家 的 发 现 , 这 样 就 生 搬 硬

    套 地 采 用 了 与 期 待 它 担 当 的 任 务 完 全 不 相 称 的 一 条 学 理 。 由

    于 十 五 世 纪 和 十 六 世 纪 伟 大 航 海 家 的 发 现 , 这 学 理 被 提 高 到

    了 极 端 重 要 的 地 位 , 但 它 所 引 起 的 争 端 比 它 所 解 决 的 争 端 更

    来 得 多 。 不 久 , 在 最 需 要 明 确 的 两 个 问 题 上 , 发 生 了 最 大 的

    不 明 确 , 即 关 于 发 现 人 为 其 主 权 者 取 得 的 领 土 的 范 围 , 以 及

    完 成 ·

    主 ·

    权 ·

    者 ·

    占 ·

    有 ·

    假 ·

    定 ( a d p r e h e n s i o ) 所 必 需 的 行 为 的 性 质 。 更

    有 进 者 , 这 个 原 则 对 于 一 件 幸 运 的 结 果 竟 赋 与 了 这 样 巨 大 的

    利 益 , 它 就 本 能 地 为 欧 洲 有 些 最 冒 险 的 民 族 如 荷 兰 人 、 英 吉

    利 人 以 及 葡 萄 牙 人 所 反 对 。 我 们 英 国 人 虽 不 明 白 否 认 “ 国 际

    法 ” 的 规 定 , 但 在 实 践 上 从 不 承 认 西 班 牙 人 独 占 墨 西 哥 湾 以

    南 全 部 美 洲 的 要 求 , 也 没 有 承 认 法 兰 西 国 王 独 霸俄亥俄和密西西比河流 域 的 要 求 。 从 伊 利 萨 伯( E l i z a b e t h ) 接 位 到 查 理 二 世 接 位 时 为 止 , 在 美 洲 领 海 内 可 以说 从 来 没 有 过 完 全 的 和 平 , 而 新 英 格 兰 殖 民 者 侵 犯 法 兰 西 国

    王 的 领 土 一 直 延 续 了 一 世 纪 之 久 。 边 沁 看 到 这 条 法 律 在 运 用

    中 所 遇 到 的 混 乱 情 况 , 受 到 很 深 刻 的 印 象 , 竟 然 失 其 常 态 而

    去 赞 美 那 著 名 的 教 皇 亚 历 山 大 六 世 ( P o p e   A l e x a n d e r   t h e S i x t h ) 的 “ 训 谕 ” , 在 亚 速 尔 群 岛 ( A z o r e s ) 之 西 一 百 海 哩

    处 划 一 分 界 线 把 世 界 上 未 发 现 的 国 家 分 给 西 班 牙 人 和 葡 萄 牙

    人 ; 边 沁 的 赞 扬 , 初 看 起 来 , 好 像 很 是 奇 怪 的 , 但 教 皇 亚 历

    山 大 的 安 排 , 究 竟 是 否 在 原 则 上 真 比 “ 公 法 ” 的 规 定 更 为 妄

    谬 , 还 是 可 疑 的 。 因 为 “ 公 法 ” 把 半 个 大 陆 给 与 一 个 国 王 , 主

    要 由 于 他 的 臣 仆 们 所 做 的 , 恰 恰 符 合 罗 马 法 律 学 的 规 定 , 符

    合 取 得 一 件 可 以 用 手 复 盖 的 贵 重 物 件 时 所 需 要 的 各 种 条 件 。

    从 事 研 究 本 书 主 题 的 人 们 , 所 以 认 为 “ 先 占 ” 饶 有 兴 味

    者 , 主 要 由 于 它 对 纯 理 论 法 律 学 所 作 出 的 贡 献 , 即 它 提 供 了

    一 个 关 于 私 有 财 产 起 源 的 假 说 。 过 去 曾 一 度 普 遍 地 认 为 “ 先

    占 ” 中 包 含 的 手 续 程 序 和 在 最 初 时 属 于 共 有 的 土 地 及 其 果 实

    转 变 成 为 个 人 财 产 的 手 续 程 序 , 是 同 样 的 。 导 致 这 个 假 定 的

    思 想 过 程 是 不 难 理 解 的 , 如 果 我 们 掌 握 了 “ 自 然 法 ” 概 念 上

    古 代 的 和 现 代 的 区 别 。 罗 马 法 律 家 认 为 , “ 先 占 ” 是 取 得 财 产

    的 “ 自 然 方 式 ” 之 一 , 他 们 毫 不 怀 疑 地 深 信 , 如 果 人 类 真 能

    生 活 在 “ 自 然 ” 的 制 度 下 , “ 先 占 ” 必 将 为 他 们 的 实 践 之 一 。

    至 于 他 们 是 否 真 正 自 信 这 样 的 民 族 状 态 确 实 存 在 , 则 象 我 在

    前 面 已 经 说 过 的 , 是 他 们 论 文 中 留 而 未 决 的 一 点 ; 但 他 们 有

    一 个 推 测 则 确 是 所 有 时 代 的 人 一 致 认 为 可 信 的 , 即 财 产 制 度

    并 不 是 自 有 人 类 以 来 就 有 的 制 度 。 现 代 法 律 学 一 无 保 留 地 接

    受 他 们 的 全 部 教 条 , 而 对 于 这 种 假 定 的 “ 自 然 ” 状 态 所 怀 抱

    的 热 诚 好 奇 , 甚 且 超 过 了 他 们 。 此 后 , 由 于 现 代 法 律 学 接 受

    了 这 个 论 点 , 认 为 土 地 及 其 果 实 在 过 去 一 度 是 ·

    无 ·

    主 ·

    物 , 同 时

    也 由 于 它 对 于 “ 自 然 ” 的 特 殊 见 解 使 得 它 毫 无 犹 豫 地 假 定 人

    类 在 组 织 民 事 社 会 前 很 久 就 确 实 实 行 过 ·

    无 ·

    主 ·

    物 的 “ 先 占 ” , 我

    们 可 以 立 刻 得 到 这 样 一 个 推 理 : 即 “ 先 占 ” 是 一 个 手 续 程 序 ,

    通 过 了 这 个 手 续 程 序 , 原 始 世 界 的 “ 无 人 物 件 ” 在 世 界 历 史

    中 即 成 为 个 人 的 私 有 财 产 。 要 列 举 那 些 赞 成 这 个 理 论 的 某 一

    形 式 的 法 学 家 , 将 是 无 聊 的 , 并 且 也 没 有 这 样 做 的 必 要 , 因

    为 始 终 作 为 其 时 代 一 般 意 见 的 忠 实 索 引 的 布 拉 克 斯 顿 , 曾 在

    他 的 第 二 部 书 的 第 一 章 中 有 如 下 一 段 概 括 。

    他 写 道 : “ 土 地 及 土 地 里 的 一 切 物 件 是 人 类 直 接 得 自 ‘ 造物 主 ’ 的 赐 赠 的 一 般 财 产 。 财 物 共 有 即 使 在 最 早 时 代 , 似 乎也 从 来 没 有 适 用 于 物 件 实 体 以 外 的 部 分 ; 也 不 能 扩 大 及 于 物

    件 的 使 用 。 因 为 , 根 据 自 然 法 律 和 理 性 , 凡 是 第 一 个 开 始 使

    用 它 的 人 即 在 其 中 取 得 一 种 暂 时 所 有 权 , 只 要 他 使 用 着 它 , 这

    种 所 有 权 就 继 续 存 在 , 但 是 不 能 比 使 用 期 更 长 ; 或 者 , 更 确

    切 一 些 讲 , 占 有 的 权 利 只 是 与 占 有 行 为 同 时 继 续 存 在 。 这 样 ,

    土 地 是 共 有 的 , 没 有 一 部 分 可 以 成 为 任 何 特 定 个 人 的 永 久 财

    产 ; 但 如 有 人 占 有 了 它 的 任 何 一 定 的 地 点 作 为 休 息 、 居 住 以

    及 类 似 目 的 之 用 , 即 暂 时 取 得 一 种 所 有 权 , 如 果 有 人 用 武 力

    把 他 赶 走 , 这 是 不 公 正 的 并 且 是 违 反 自 然 法 的 , 但 是 一 当 他

    离 开 而 不 复 占 有 它 时 , 别 的 人 就 可 以 夺 取 它 而 并 无 不 公 正 之

    处 。 ” 他 于 是 再 进 而 辩 称 : “ 当 人 类 日 益 增 加 , 就 有 必 要 接 受

    较 永 久 的 所 有 权 的 概 念 , 不 是 仅 仅 把 眼 前 的 使 用 权 而 是 要 把

    将 被 使 用 的 物 件 的 实 体 拨 归 个 人 所 有 。 ”

    这 一 节 中 有 一 些 模 糊 的 说 法 , 令 人 怀 疑 布 拉 克 斯 顿 对 于

    他 在 他 的 权 威 著 作 中 所 找 到 的 命 题 即 所 谓 地 面 的 所 有 权 在

    “ 自 然 ” 法 下 是 由 ·

    占 ·

    有 ·

    人 第 一 个 取 得 的 意 义 , 似 乎 并 不 完 全 了

    解 ; 但 他 有 意 地 或 是 由 于 误 解 而 加 于 这 个 理 论 上 的 限 制 , 使

    它 变 成 了 它 所 不 时 采 取 的 形 式 。 许 多 比 布 拉 克 斯 顿 更 著 名 的

    作 者 在 用 语 上 是 确 切 的 , 认 为 在 事 物 开 始 时 , “ 先 占 ” 最 初 给

    与 一 种 针 对 世 人 来 说 是 排 外 性 的 但 又 只 是 暂 时 享 有 的 权 利 ,

    到 后 来 , 这 种 权 利 一 方 面 保 持 其 排 外 性 , 同 时 又 成 为 永 久 的 。

    他 们 这 样 来 说 明 其 理 论 , 目 的 是 为 了 使 “ 自 然 ” 状 态 中 的 ·

    ·

    主 ·

    物 通 过 “ 先 占 ” 而 成 为 财 产 的 学 理 , 和 他 们 从 圣 经 史 中 所

    获 得 的 推 理 取 得 一 致 , 即 族 长 们 在 最 初 对 牧 养 其 牛 羊 的 土 地并 不 是 永 久 占 有 的 。

    直 接 适 用 于 布 拉 克 斯 顿 理 论 的 唯 一 批 评 , 是 在 研 究 那 个

    造 成 他 的 原 始 社 会 图 景 的 情 况 , 是 否 要 比 其 他 能 同 样 容 易 地

    想 象 出 来 的 情 况 更 接 近 可 能 一 些 。 用 这 种 方 法 来 研 究 , 我 们

    可 以 恰 当 地 询 问 , 是 不 是 ·

    占 ·

    有 ( 布 拉 克 斯 顿 显 然 是 按 照 其 普

    通 英 语 意 义 而 使 用 这 个 名 词 的 ) 土 地 上 一 定 地 点 作 为 休 息 或

    居 住 的 人 就 应 该 准 许 保 留 它 而 不 受 干 扰 。 在 这 样 情 况 下 , 他

    的 占 有 权 必 须 有 同 样 广 大 的 力 量 , 才 能 保 留 它 , 并 且 他 也 很

    可 能 时 常 受 到 新 来 者 的 干 扰 , 如 果 这 个 新 来 者 看 中 了 这 块 土

    地 并 自 以 为 有 强 力 足 以 把 占 有 人 驱 逐 掉 。 但 事 实 是 : 所 有 对

    这 些 论 点 的 一 切 强 辩 由 于 这 些 论 点 本 身 的 毫 无 根 据 而 完 全 没

    有 价 值 。 人 类 在 原 始 状 态 中 所 做 的 也 许 并 不 是 一 个 毫 无 办 法

    加 以 研 究 的 主 题 , 但 对 于 他 们 为 什 么 要 这 样 做 的 动 机 , 则 可

    能 就 无 法 知 道 了 。 这 些 有 关 世 界 最 古 年 代 人 类 情 况 的 描 写 , 受

    到 这 两 种 假 定 的 影 响 , 首 先 是 假 定 人 类 并 不 具 有 他 们 现 在 被

    围 绕 着 的 大 部 分 的 情 况 , 其 次 是 假 定 在 这 样 想 象 的 条 件 下 他

    们 会 保 存 着 刺 激 他 们 现 在 活 动 的 同 样 情 绪 和 偏 见 , — — 虽 然

    在 事 实 上 , 这 些 情 绪 很 可 能 正 是 由 这 个 假 定 认 为 他 们 应 该 被

    剥 夺 的 情 况 所 创 设 和 产 生 的 。

    萨 维 尼 有 一 个 格 言 , 有 时 被 认 为 是 在 赞 助 着 和 布 拉 克 斯

    顿 所 概 括 的 一 些 理 论 颇 相 近 似 的 一 种 有 关 财 产 起 源 的 见 解 。

    这 个 伟 大 的 日 耳 曼 法 律 家 宣 称 : 一 切 “ 所 有 权 ” 都 是 因 “ 时

    效 ” ( P r e s c r i p t i o n ) 而 成 熟 的 “ 他 主 占 有 ” ( A d v e r s e   P o s s e s As i o n ) 。 萨 维 尼 作 出 这 样 说 明 , 只 是 就 罗 马 法 而 言 , 在 全 部 理

    解 其 含 义 以 前 , 必 须 对 用 语 的 解 释 和 定 义 耗 费 很 多 劳 力 。 可

    是 , 他 的 意 思 可 以 充 分 正 确 地 表 现 出 来 , 如 果 我 们 认 为 他 所

    断 言 的 是 : 不 论 我 们 对 罗 马 人 所 接 受 的 有 关 所 有 权 的 观 念 钻

    研 得 如 何 深 入 , 不 论 我 们 在 追 溯 这 些 观 念 时 如 何 密 切 接 近 法

    律 的 初 生 时 代 , 我 们 所 能 得 到 的 有 关 所 有 权 的 概 念 不 外 乎 包

    括 这 三 个 要 素 — — “ 占 有 ” , “ 他 主 占 有 ” , 即 不 是 一 种 任 意 的

    或 从 属 的 而 是 一 种 针 对 世 人 来 说 的 绝 对 占 有 , 以 及 “ 时 效 ” ,

    也 就 是 “ 他 主 占 有 ” 不 间 断 地 延 续 着 的 一 定 期 间 。 非 常 可 能 ,

    这 个 格 言 可 以 用 其 著 者 所 允 许 的 更 大 的 概 括 性 来 表 达 , 但 如

    果 我 们 所 考 察 的 任 何 法 律 制 度 的 发 生 远 在 这 些 联 合 观 念 构 成

    所 有 权 观 念 的 时 期 以 前 , 则 就 很 难 预 期 一 个 合 理 可 靠 的 结 论 。

    同 时 萨 维 尼 的 准 则 不 但 确 立 了 关 于 财 产 起 源 的 通 俗 理 论 , 它

    的 特 殊 价 值 还 在 于 使 我 们 注 意 到 它 的 弱 点 。 在 布 拉 克 斯 顿 和

    他 的 追 随 者 的 见 解 中 , 神 秘 地 影 响 我 们 人 类 祖 先 的 心 理 的 是

    取 得 专 门 享 有 的 方 式 。 但 神 秘 之 处 , 并 不 在 此 。 所 有 权 以 他

    主 占 有 开 始 , 并 不 足 以 奇 怪 。 第 一 个 所 有 人 应 该 是 武 装 的 强

    有 力 的 人 , 才 能 保 证 其 物 件 的 安 全 , 这 也 并 非 出 于 意 外 。 但

    是 为 什 么 一 定 要 经 过 一 定 的 时 间 , 才 能 产 生 一 种 尊 重 他 占 有

    的 情 绪 — — 这 正 就 是 为 什 么 人 类 对 于 一 切 在 ·

    事 ·

    实 ·

    上 长 时 期 存

    在 的 东 西 普 遍 加 以 尊 敬 的 根 源 — — , 这 才 真 正 有 深 入 研 究 的

    必 要 但 却 远 不 属 于 本 文 范 围 之 内 的 问 题 。

    在 指 出 我 们 可 能 多 少 搜 集 一 些 有 关 所 有 权 早 期 历 史 知 识

    的 处 所 之 前 , 我 敢 提 出 我 的 意 见 。 我 认 为 一 般 对 于 “ 先 占 ” 在

    文 明 第 一 阶 段 中 起 的 作 用 所 产 生 的 印 象 , 恰 正 和 真 相 直 接 相

    反 。 “ 先 占 ” 是 实 物 占 有 的 有 意 承 担 ; 至 于 这 样 一 种 行 为 赋 予

    人 们 对 “ 无 主 物 ” 享 有 权 利 的 看 法 , 不 但 不 是 很 早 期 社 会 的特 征 , 而 且 很 可 能 , 这 是 一 种 进 步 法 律 学 和 一 种 在 安 定 的 情

    况 下 法 律 产 生 的 结 果 。 只 有 在 财 产 权 利 的 不 可 侵 犯 性 在 实 际

    上 长 期 得 到 了 认 可 时 , 以 及 绝 大 多 数 的 享 有 物 件 已 属 于 私 人

    所 有 时 , 单 纯 的 占 有 可 以 准 许 第 一 个 占 有 人 就 以 前 没 有 被 主

    张 所 有 权 的 物 品 取 得 完 全 所 有 权 。 产 生 这 个 学 理 的 情 绪 , 和

    作 为 文 明 开 始 时 期 的 特 征 的 所 有 权 的 少 见 和 不 固 定 , 是 绝 对

    不 能 调 和 的 。 它 的 真 正 的 基 础 , 并 不 在 于 对 这 “ 财 产 权 ” 制

    度 出 于 天 性 的 偏 爱 , 而 是 在 于 这 个 制 度 长 期 继 续 存 在 而 发 生

    的 一 种 推 定 , 即 ·

    每 ·

    一 ·

    种 ·

    物 ·

    件 ·

    都 ·

    应 ·

    该 ·

    有 ·

    一 ·

    个 ·

    所 ·

    有 ·

    人 。 当 一 个

    “ 无 主 物 ” 、 也 就 是 当 一 个 还 没 有 或 者 ·

    从 ·

    来 没 有 成 为 完 全 所 有

    权 的 物 件 被 占 有 时 , 占 有 人 所 以 被 允 许 成 为 所 有 人 , 是 出 于

    这 样 一 种 感 觉 , 即 所 有 的 贵 重 物 件 天 然 地 是 一 种 绝 对 占 有 的

    主 体 , 而 在 上 述 的 情 况 中 , 除 了 “ 占 有 人 ” 以 外 还 没 有 一 个

    人 被 授 与 过 财 产 权 。 简 言 之 , “ 占 有 人 ” 成 为 所 有 人 , 因 为 所

    有 的 物 件 都 被 假 定 为 应 该 是 属 于 某 个 人 的 财 产 , 同 时 也 因 为

    没 有 一 个 人 比 他 对 这 特 定 物 件 有 更 好 的 所 有 权 。

    即 使 对 于 我 们 所 讨 论 的 、 在 其 自 然 状 态 中 的 人 类 的 描 写

    没 有 其 他 反 对 意 见 , 但 在 有 一 点 上 , 这 种 描 述 是 和 我 们 所 掌

    握 的 真 凭 实 据 严 重 地 不 一 致 的 。 可 以 看 到 , 这 些 理 论 所 假 定

    的 各 种 行 为 和 动 机 是 “ 个 人 ” 的 行 为 和 动 机 。 为 自 己 签 署

    “ 社 会 契 约 ” 的 , 是 每 一 个 “ 个 人 ” 。 这 好 象 是 一 个 移 动 的 沙

    洲 , 而 作 为 沙 洲 中 的 沙 粒 的 是 “ 个 人 ” , 按 照 霍 布 斯 的 理 论 ,

    这 些 沙 粒 由 于 强 力 的 锻 炼 凝 固 为 社 会 岩 石 。 在 布 拉 克 斯 顿 所

    描 绘 的 图 画 中 , “ 占 有 了 它 的 任 何 一 定 的 地 点 作 为 休 息 、 居 住

    以 及 类 似 目 的 之 用 ” 的 , 也 是 一 个 “ 个 人 ” 。 它 的 缺 点 是 : 它必 然 要 动 摇 从 罗 马 “ 自 然 法 ” 所 传 下 来 的 一 切 理 论 。 罗 马

    “ 自 然 法 ” 和 “ 市 民 法 ” 主 要 不 同 之 处 , 是 在 于 它 对 “ 个 人 ”

    的 重 视 , 它 对 人 类 文 明 所 作 最 大 的 贡 献 , 就 在 于 它 把 个 人 从

    古 代 社 会 的 权 威 中 解 放 出 来 。 但 是 有 必 要 再 一 次 加 以 重 复 的

    就 是 “ 古 代 法 律 ” 几 乎 全 然 不 知 “ 个 人 ” 。 它 所 关 心 的 不 是

    “ 个 人 ” 而 是 “ 家 族 ” , 不 是 单 独 的 人 而 是 集 团 。 即 使 到 了

    “ 国 家 ” 的 法 律 成 功 地 透 过 了 它 原 来 无 法 穿 过 的 亲 族 的 小 圈 子

    时 , 它 对 于 “ 个 人 ” 的 看 法 还 是 和 法 律 学 成 熟 阶 段 的 看 法 显

    著 地 不 同 的 。 每 一 个 公 民 的 生 命 并 不 认 为 以 出 生 到 死 亡 为 限 ;

    个 人 生 命 只 是 其 祖 先 生 存 的 一 种 延 续 , 并 在 其 后 裔 的 生 存 中

    又 延 续 下 去 。

    罗 马 人 就 “ 人 法 ” 和 “ 物 法 ” 之 间 的 区 分 , 虽 然 是 极 端

    方 便 的 , 但 却 是 完 全 人 为 的 , 这 个 区 分 显 然 促 使 我 们 在 研 究

    当 前 的 主 题 时 , 离 开 了 真 正 的 方 向 。 当 讨 论 到 “ 物 法 ” ( J u s  

    R e r u m ) 时 , 就 把 讨 论 “ 人 法 ” ( J u s   P e r s o n a r u m ) 中 所 得 的

    教 训 忘 记 了 , 当 考 虑 到 “ 财 产 ” 、 “ 契 约 ” 以 及 “ 侵 权 行 为 ”

    ( D e l i c t ) 等 等 时 , 好 像 从 关 于 “ 人 ” 的 原 始 状 态 所 确 定 的 事

    实 中 , 不 能 获 得 有 关 它 们 原 始 性 质 的 暗 示 。 如 果 一 个 纯 粹 古

    法 律 制 度 可 以 放 在 我 们 的 面 前 , 并 适 用 罗 马 的 分 类 来 作 为 试

    验 , 这 种 方 法 的 无 用 是 显 而 易 见 的 。 不 久 就 可 以 看 到 , 把

    “ 人 法 ” 从 “ 物 法 ” 中 分 离 出 来 , 在 法 律 的 初 生 时 代 是 毫 无 意

    义 的 , 因 为 属 于 这 两 个 部 门 的 规 定 是 难 解 地 错 杂 在 一 起 的 , 而

    后 期 法 律 家 的 区 分 只 可 能 适 用 于 后 期 法 律 学 。 本 文 开 始 时 已

    经 说 过 , 可 以 推 断 , 如 果 把 我 们 的 注 意 力 限 于 个 人 的 所 有 权 ,

    则 就 先 天 地 极 少 可 能 对 早 期 的 财 产 史 获 得 任 何 线 索 。 真 正 古代 的 制 度 很 可 能 是 共 同 所 有 权 而 不 是 各 别 的 所 有 权 , 我 们 能

    得 到 指 示 的 财 产 形 式 , 则 是 些 和 家 族 权 利 及 亲 族 团 体 权 利 有

    联 系 的 形 式 。 在 这 里 , 罗 马 法 律 学 不 能 对 我 们 有 所 启 发 , 因

    为 正 是 被 自 然 法 理 论 所 改 变 后 的 罗 马 法 律 学 把 下 述 的 印 象 遗

    留 给 我 们 现 代 人 , 即 个 人 所 有 权 是 正 常 状 态 的 所 有 权 , 而 人

    的 集 团 所 共 有 的 所 有 权 只 是 通 则 的 一 个 例 外 。 可 是 , 凡 是 要

    探 究 原 始 社 会 任 何 已 经 消 灭 的 制 度 的 人 , 有 一 个 共 产 体 始 终

    应 该 仔 细 地 加 以 研 究 。 对 长 期 居 留 在 印 度 的 一 支 印 度 - 欧 罗

    巴 系 , 这 类 原 始 制 度 即 使 曾 经 发 生 过 重 大 变 化 , 但 我 们 发 现

    它 绝 少 完 全 抛 弃 它 原 来 在 其 中 长 大 的 外 面 轮 廓 。 在 印 度 人 中

    间 , 我 们 确 实 发 现 有 一 种 所 有 权 形 式 应 立 刻 引 起 我 们 的 注 意 ,

    因 为 它 完 全 符 合 我 们 研 究 “ 人 法 ” 中 有 关 财 产 原 始 状 态 时 要

    使 我 们 接 受 的 各 种 观 念 。 印 度 “ 村 落 共 产 体 ” 一 方 面 是 一 个

    有 组 织 的 宗 法 社 会 , 另 一 方 面 又 是 共 同 所 有 人 的 一 个 集 合 。 组

    成 它 的 人 们 相 互 之 间 的 个 人 关 系 是 和 他 们 的 财 产 所 有 权 不 能

    辨 别 地 混 淆 在 一 起 的 , 英 国 官 吏 曾 企 图 要 把 两 者 加 以 分 开 , 这

    种 企 图 被 认 为 是 英 印 统 治 中 最 惊 人 的 失 策 。 印 度 的 “ 村 落 共

    产 体 ” 是 被 公 认 为 非 常 古 老 的 。 不 论 从 哪 一 个 方 面 来 深 入 研

    究 印 度 历 史 , 印 度 的 一 般 历 史 或 者 地 方 史 , 在 其 历 史 发 展 的

    最 早 时 期 常 常 可 以 发 现 有 这 种 “ 共 产 体 ” 的 存 在 。 许 多 有 才

    智 的 和 善 于 观 察 的 著 者 , 其 中 大 部 分 的 人 对 于 这 种 “ 共 产

    体 ” 的 性 质 和 来 源 , 都 没 有 任 何 理 论 的 支 持 , 但 他 们 却 一 致

    同 意 认 为 它 是 一 种 最 不 容 易 摧 毁 的 社 会 制 度 , 它 从 来 不 愿 意

    把 任 何 一 个 惯 例 加 以 革 新 。 征 服 和 革 命 不 断 地 横 扫 而 过 , 但

    是 并 没 有 扰 乱 它 或 除 掉 它 , 在 印 度 , 凡 是 最 好 的 政 府 制 度 似乎 始 终 是 把 它 承 认 为 行 政 基 础 的 那 些 政 府 制 度 。

    成 熟 的 罗 马 法 律 以 及 紧 接 着 它 的 足 迹 的 现 代 法 律 学 把 共

    有 制 度 看 作 财 产 权 中 一 种 例 外 的 、 暂 时 的 状 态 。 在 西 欧 普 遍

    流 行 着 的 格 言 : ·

    没 ·

    有 ·

    人 ·

    能 ·

    违 ·

    背 ·

    其 ·

    意 ·

    志 ·

    而 ·

    被 ·

    保 ·

    留 ·

    在 ·

    共 ·

    同 ·

    所 ·

    有 ·

    ·

    中 ( N e m o   i n   c o m m u n i o n e   p o t e s t   i n v i t u s   d e t i n e r i ) , 就

    明 显 地 表 示 出 这 种 见 解 。 但 是 在 印 度 , 他 们 的 想 法 恰 恰 相 反 ,

    个 别 的 所 有 制 始 终 是 朝 着 共 同 所 有 制 的 方 向 在 发 展 。 其 过 程

    已 经 在 前 面 谈 到 了 。 儿 子 一 出 世 就 已 在 父 的 财 产 中 立 即 取 得

    一 种 既 得 利 益 ; 当 到 达 成 年 时 , 在 某 种 偶 然 情 况 下 , 法 律 的

    条 文 甚 至 许 可 他 要 求 分 割 家 族 财 产 。 可 是 , 在 事 实 上 , 甚 至

    在 父 死 亡 时 , 也 绝 少 发 生 分 家 的 , 财 产 继 续 被 保 留 不 分 割 有

    几 代 之 久 , 虽 然 每 一 代 的 每 一 个 成 员 对 于 财 产 中 没 有 经 过 分

    割 的 一 个 份 额 都 各 有 一 种 合 法 权 利 。 这 样 共 有 的 领 地 有 时 由

    一 个 选 任 的 管 理 人 加 以 管 理 , 但 在 一 般 情 况 下 , 在 某 些 省 份

    中 , 始 终 是 由 年 事 较 高 的 宗 亲 、 也 就 是 由 血 族 中 最 长 一 支 系

    的 最 年 长 的 代 表 来 管 理 。 这 样 一 种 共 同 财 产 所 有 人 的 集 合 , 一

    个 持 有 一 个 共 有 领 地 的 亲 族 的 集 团 , 是 最 简 单 形 式 的 印 度

    “ 村 落 共 产 体 ” 。 但 是 这 个 “ 共 产 体 ” 不 仅 仅 是 一 个 因 亲 族 的

    同 胞 之 谊 而 结 合 起 来 的 , 也 不 仅 仅 是 一 种 合 伙 的 联 合 。 它 是

    一 个 有 组 织 的 社 会 , 它 不 但 管 理 着 共 有 基 金 , 并 且 通 过 一 整

    套 的 官 吏 来 管 理 着 内 政 、 警 务 、 司 法 以 及 赋 和 公 共 义 务 的 分

    配 。

    我 在 上 面 叙 述 的 一 个 “ 村 落 共 产 体 ” 的 形 成 过 程 , 可 以

    视 为 典 型 的 。 但 我 们 不 能 就 因 此 而 假 定 , 在 印 度 每 一 个 “ 村

    落 共 产 体 ” 都 是 在 这 样 一 种 简 单 方 式 里 面 结 合 起 来 的 。 虽 然据 我 所 知 , 在 印 度 北 部 , 在 保 存 下 来 的 记 录 中 , 几 乎 一 成 不

    变 地 表 明 “ 共 产 体 ” 是 由 一 种 简 单 的 血 亲 集 合 而 成 的 , 但 记

    录 中 也 提 供 我 们 这 种 情 况 , 即 血 亲 外 的 人 也 始 终 随 时 可 以 参

    加 进 来 , 并 且 在 某 种 条 件 下 , 只 要 是 一 个 份 额 财 产 的 买 受 人 ,

    一 般 地 就 可 以 被 准 许 加 入 族 内 。 在 印 度 半 岛 的 南 部 , 常 常 有

    一 些 “ 共 产 体 ” 似 乎 不 是 由 一 个 而 是 由 二 个 或 更 多 的 家 族 发

    展 而 成 的 ; 也 有 些 “ 共 产 体 ” 的 构 成 部 分 经 公 认 是 完 全 出 于

    人 为 的 ; 真 的 , 有 时 在 同 一 社 会 中 聚 合 着 属 于 不 同 族 籍 的 人

    们 , 这 种 情 况 对 于 一 个 共 同 祖 先 的 假 设 是 一 个 致 命 的 打 击 。 但

    是 在 所 有 这 些 同 族 中 , 或 者 保 留 着 一 个 共 同 祖 先 的 传 统 , 或

    者 有 着 这 样 一 个 共 同 祖 先 的 假 定 。 蒙 特 斯 图 亚 特 · 爱 芬 斯 吞

    ( M o u n t s t u a r t   E l p h i n - s t o n e ) 曾 经 特 别 详 细 描 述 过 “ 南 方村 落 共 产 体 ” ( 在 其 “ 印 度 史 ” 第 7 1 页 中 ) 。 他 这 样 说 : “ 一

    般 人 的 看 法 是 : 村 落 的 土 地 所 有 人 都 是 开 拓 这 个 村 落 的 一 个

    或 几 个 个 人 的 后 裔 ; 向 原 有 族 员 购 买 或 通 过 其 他 方 法 从 原 有

    家 族 成 员 取 得 权 利 的 人 , 则 是 仅 有 的 例 外 。 这 一 个 推 定 由 下

    述 事 实 加 以 证 实 , 即 直 到 现 在 , 在 小 村 落 中 , 往 往 只 有 一 个

    唯 一 的 家 族 的 土 地 所 有 人 , 大 村 落 中 的 土 地 所 有 人 往 往 也 只

    有 少 数 几 个 家 族 ; 但 每 一 个 家 族 都 有 许 多 成 员 , 以 致 全 部 农

    业 劳 动 普 通 都 是 由 土 地 所 有 人 自 己 担 任 的 , 不 需 要 佃 农 或 工

    人 的 帮 助 。 土 地 所 有 人 的 权 利 是 他 们 集 体 所 有 的 , 虽 然 他 们

    几 乎 始 终 可 以 取 得 其 中 或 多 或 少 一 个 完 整 的 部 分 , 但 他 们 从

    来 没 有 发 生 过 一 次 全 部 的 分 割 。 例 如 , 一 个 土 地 所 有 人 可 以

    出 卖 或 抵 押 其 权 利 ; 但 他 必 须 首 先 取 得 ‘ 村 落 ’ 的 同 意 , 而

    买 受 人 就 恰 恰 抵 充 他 的 位 置 并 负 担 他 的 所 有 义 务 。 如 果 一 家没 有 后 裔 , 它 的 份 额 便 应 归 入 共 有 财 产 中 。 ”

    本 书 第 五 章 中 提 到 的 一 些 意 见 , 我 相 信 可 以 帮 助 读 者 理

    解 爱 芬 斯 吞 所 谈 的 重 要 性 。 没 有 一 种 原 始 社 会 的 制 度 可 能 会

    保 存 到 今 天 , 除 非 是 通 过 某 种 生 动 的 法 律 拟 制 使 它 取 得 了 原

    来 性 质 所 没 有 的 一 种 弹 性 。 因 此 , “ 村 落 共 产 体 ” 不 一 定 是 一

    种 血 亲 的 集 合 , 它 或 者 是 这 类 的 一 种 集 合 , 或 者 是 根 据 一 个

    亲 属 联 合 的 模 型 而 组 成 的 一 个 共 同 财 产 所 有 人 的 集 体 。 和 它

    可 以 相 比 拟 的 类 型 显 然 不 是 罗 马 的 “ 家 族 ” , 而 是 罗 马 的 “ 氏

    族 ” 或 “ 大 氏 族 ” 。 “ 氏 族 ” 也 是 根 据 家 族 的 模 型 而 组 成 的 一

    个 集 团 ; 这 是 通 过 多 种 多 样 的 拟 制 而 扩 大 的 家 族 , 这 些 拟 制

    的 确 切 性 质 已 经 湮 没 不 可 考 了 。 在 历 史 时 期 内 , 其 主 要 的 特

    点 正 就 是 爱 芬 斯 吞 在 “ 村 落 共 产 体 ” 中 所 谈 到 的 两 点 。 过 去

    始 终 有 一 个 共 同 祖 先 的 假 定 , 这 个 假 定 有 时 和 事 实 显 然 是 有

    出 入 的 ; 我 们 再 重 复 一 次 历 史 学 家 的 话 , “ 如 果 一 家 没 有 后 裔 ,

    它 的 份 额 便 应 归 入 共 有 财 产 中 ” 。 在 旧 罗 马 法 中 , 无 人 主 张 的

    继 承 权 归 属 于 “ 同 族 人 ” 。 凡 是 研 究 它 们 历 史 的 人 们 都 这 样 怀

    疑 , 认 为 “ 共 产 体 ” 和 “ 氏 族 ” 一 样 , 一 般 都 由 于 准 许 族 外

    人 的 加 入 而 混 杂 , 但 “ 共 产 体 ” 吸 收 族 外 人 的 确 实 方 式 , 现

    在 已 无 法 确 定 。 在 现 在 , 据 爱 芬 斯 吞 告 诉 我 们 , “ 共 产 体 ” 在

    取 得 族 人 同 意 后 用 接 纳 买 受 人 的 方 法 而 补 充 成 员 。 然 而 , 这

    个 被 收 养 成 员 的 取 得 是 属 于 一 种 概 括 继 承 的 性 质 ; 随 着 他 所

    买 受 的 份 额 , 他 同 时 继 承 了 卖 主 对 集 合 体 所 负 的 全 部 责 任 。 他

    是 一 个 “ 家 产 买 主 ” , 他 开 始 抵 充 某 人 的 地 位 , 也 就 继 承 了 他

    的 法 律 身 分 。 要 接 纳 他 必 须 取 得 全 族 人 的 同 意 , 这 使 我 们 回

    忆 到 “ 贵 族 民 会 ” 那 些 自 命 为 亲 属 的 较 多 族 人 所 组 成 的 “ 议会 ” , 也 就 是 古 代 罗 马 共 和 政 体 所 竭 力 坚 持 的 同 意 , 他 们 坚 执

    地 认 为 这 种 同 意 是 使 一 个 “ 收 养 ” 合 法 化 和 使 一 个 “ 遗 嘱 ” 获

    特 确 认 所 必 要 的 条 件 。

    在 印 度 “ 村 落 共 产 体 ” 的 每 一 个 方 面 几 乎 都 可 以 发 现 一

    种 极 端 古 老 的 象 征 。 我 们 有 极 多 的 充 足 的 理 由 来 猜 疑 : 法 律

    初 生 时 代 的 特 点 是 , 由 于 人 格 权 和 财 产 权 的 混 杂 不 清 以 及 公

    法 义 务 和 私 法 义 务 的 混 淆 在 一 起 而 流 行 着 共 同 所 有 制 , 因 此 ,

    即 使 在 世 界 的 任 何 其 他 部 分 都 不 能 发 现 类 似 地 混 合 的 社 会 ,

    我 们 应 有 正 当 理 由 从 我 们 对 于 这 些 财 产 所 有 同 族 团 体 的 考 察

    中 推 论 出 许 多 重 要 的 结 论 来 。 在 欧 洲 有 一 些 部 分 其 财 产 权 很

    少 受 到 封 建 变 化 的 影 响 , 在 许 多 其 他 重 要 方 面 它 和 东 方 世 界

    的 关 系 也 象 和 西 方 世 界 一 样 密 切 , 在 这 些 部 分 中 , 恰 巧 有 一

    套 类 似 的 现 象 在 最 近 引 起 了 许 多 热 切 的 兴 趣 。 哈 克 索 孙 ( M .

    d e   H a x t h a u s e n ) 、 顿 戈 波 斯 基 ( M . T e n g o b o r s k i ) 以 及 其 他人 的 科 学 研 究 告 诉 我 们 , 俄 罗 斯 的 村 落 并 不 是 人 们 的 偶 然 集合 , 也 不 是 根 据 契 约 而 组 成 的 联 合 体 ; 它 们 是 和 印 度 那 些 村

    落 一 样 天 然 组 织 起 来 的 共 产 体 。 诚 然 , 这 些 村 落 在 理 论 上 始

    终 是 某 些 贵 族 所 有 人 的 世 袭 财 产 , 农 民 从 历 史 时 期 起 就 已 变

    成 领 主 的 附 属 于 土 地 的 农 奴 , 在 很 多 情 况 下 , 并 成 为 领 主 个

    人 的 农 奴 。 但 这 高 贵 的 所 有 制 的 压 力 从 来 没 有 把 古 代 的 村 落

    组 织 加 以 破 坏 , 而 且 很 可 能 , 这 个 假 定 为 把 农 奴 制 介 绍 来 的

    俄 罗 斯 沙 皇 , 他 在 制 定 法 律 时 的 真 正 意 图 是 在 防 止 农 民 舍 弃

    那 种 合 作 , 因 为 没 有 这 种 合 作 , 旧 的 社 会 秩 序 是 不 可 能 长 期

    维 持 的 。 在 俄 罗 斯 “ 村 落 ” 中 , 村 民 之 间 是 假 定 有 一 种 宗 亲

    的 关 系 的 , 人 格 权 和 所 有 权 是 混 杂 在 一 起 的 , 在 内 政 方 面 亦有 多 种 多 样 的 自 发 规 定 , 这 一 切 就 使 它 几 乎 完 全 和 印 度 “ 共

    产 体 ” 重 复 ; 但 是 有 一 个 重 要 的 不 同 之 点 , 是 我 们 极 感 兴 趣

    的 。 一 个 印 度 村 落 的 共 同 所 有 人 , 虽 然 其 财 产 是 混 在 一 起 的 ,

    但 他 们 有 其 各 别 的 权 利 , 而 且 这 种 权 利 的 分 割 是 完 全 和 无 限

    制 地 继 续 着 的 。 在 一 个 俄 罗 斯 村 落 中 , 权 利 的 分 割 在 理 论 上

    也 是 完 全 的 , 但 只 是 暂 时 的 。 在 一 定 的 、 但 并 不 是 在 所 有 情

    况 中 都 是 同 样 的 时 期 终 了 后 , 各 别 的 所 有 权 即 告 消 灭 , 村 落

    的 土 地 就 集 中 在 一 起 , 然 后 在 组 成 共 产 体 的 家 族 中 按 照 人 数

    重 行 分 配 。 这 种 再 分 配 实 行 后 , 家 族 的 和 个 人 的 权 利 又 被 分

    成 为 各 个 支 系 , 作 为 再 一 次 分 配 时 期 到 来 之 前 继 续 遵 循 的 根

    据 。 还 有 一 种 所 有 权 更 奇 特 的 变 形 发 生 在 某 些 国 家 中 , 这 些

    国 家 长 期 成 为 土 耳 其 帝 国 和 奥 地 利 皇 室 领 土 之 间 的 一 块 争 执

    的 土 地 。 在 塞 尔 维 亚 ( S e r v i a ) 、 在 克 罗 西 亚 ( C r o a t i a ) 以 及

    在 奥 地 利 的 斯 拉 窝 尼 亚 , 各 种 村 落 也 都 是 由 既 是 共 同 所 有 人

    又 是 亲 属 的 人 们 集 合 而 成 的 ; 但 在 那 里 , 共 产 体 的 内 部 安 排

    和 以 上 两 个 例 子 中 所 提 到 的 有 所 不 同 。 在 这 一 例 子 中 , 共 有

    财 产 的 内 容 不 但 在 事 实 上 不 分 割 , 并 且 在 理 论 上 也 认 为 是 不

    能 分 割 的 , 全 部 土 地 由 所 有 村 民 的 联 合 劳 动 耕 种 着 , 农 产 物

    每 年 在 各 家 村 民 中 分 配 一 次 , 有 时 按 照 各 家 假 定 的 需 要 , 有

    时 按 照 规 定 而 以 一 定 份 额 的 用 益 权 给 与 各 别 的 人 。 东 欧 的 法

    学 家 都 认 为 所 有 这 些 实 践 都 可 追 溯 到 一 个 据 说 在 最 古 的 斯 拉

    夫 法 律 中 可 以 找 到 的 原 则 , 就 是 家 族 财 产 不 能 永 久 分 割 的 原

    则 。

    在 以 上 研 究 中 发 现 的 这 些 现 象 所 以 会 引 起 人 们 的 极 大 兴

    趣 , 主 要 是 它 使 我 们 得 以 了 解 原 来 持 有 财 产 的 团 体 ·

    内 ·

    部 的 各别 所 有 权 的 发 展 情 况 。 我 们 有 强 有 力 的 理 由 , 认 定 在 某 一 个

    时 期 中 , 财 产 不 属 于 个 人 、 甚 至 也 不 属 于 各 别 的 家 族 , 而 是

    属 于 按 照 宗 法 模 型 组 成 的 较 大 的 社 会 所 有 ; 从 古 代 所 有 权 转

    变 到 现 代 所 有 权 的 方 式 , 虽 然 还 是 十 分 模 糊 的 , 但 是 如 果 有

    几 种 显 著 的 “ 村 落 共 产 体 ” 形 式 没 有 被 发 现 并 加 以 研 究 的 话 ,

    则 可 能 还 要 更 加 模 糊 。 在 印 度 - 欧 罗 巴 血 统 的 民 族 中 间 , 过

    去 可 以 看 到 , 或 者 至 今 还 可 以 看 到 一 些 宗 法 团 体 , 其 中 各 式

    各 样 的 内 部 安 排 是 有 加 以 注 意 的 价 值 的 。 据 说 , 未 开 化 的 苏

    格 兰 高 原 部 族 领 袖 经 常 每 隔 一 个 短 时 期 、 有 时 甚 至 是 逐 日 把

    食 物 分 配 给 其 管 辖 下 各 家 庭 的 家 长 。 奥 地 利 和 土 耳 其 省 的 斯

    拉 夫 村 人 也 由 他 们 团 体 的 长 辈 作 定 期 分 配 , 但 在 这 里 , 是 把

    全 年 全 部 农 产 物 一 次 分 配 的 。 可 是 在 俄 罗 斯 村 落 中 , 财 产 的

    实 体 已 不 再 被 视 为 不 可 分 割 的 , 各 别 的 对 于 财 产 的 要 求 准 许

    自 由 提 出 , 但 在 这 里 , 分 割 的 进 程 在 继 续 一 定 的 时 期 以 后 即

    断 然 停 止 。 在 印 度 , 不 但 没 有 共 有 财 产 的 不 可 分 性 , 并 且 共

    有 财 产 的 各 个 部 分 所 具 有 的 各 别 的 财 产 所 有 权 得 无 限 制 地 延

    长 , 并 分 为 任 何 数 量 的 派 生 所 有 权 , 但 是 公 有 财 产 的 “ 事 实

    上 ” 的 分 割 则 为 根 深 蒂 固 的 习 惯 所 阻 止 , 也 为 反 对 在 未 经 族

    人 同 意 时 接 纳 族 外 人 的 规 定 所 阻 止 。 当 然 , 我 们 并 不 想 坚 持

    这 些 不 同 形 式 的 “ 村 落 共 产 体 ” 可 以 代 表 到 处 都 以 同 样 方 式

    完 成 的 一 种 变 化 过 程 中 的 各 个 阶 段 。 虽 然 证 据 并 不 允 许 我 们

    前 进 过 远 , 但 是 我 们 如 果 认 为 , 就 我 们 所 看 到 的 那 种 形 式 的

    私 有 财 产 权 , 主 要 是 由 一 个 共 产 体 的 混 合 权 利 中 逐 步 分 离 出

    来 的 各 别 的 个 人 权 利 所 组 成 的 , 这 种 猜 度 , 并 不 能 说 是 完 全

    毫 无 根 据 的 臆 测 。 我 们 在 研 究 “ 人 法 ” 时 , 似 乎 可 以 看 到“ 家 族 ” 扩 张 而 成 为 亲 属 的 “ 宗 亲 ” 集 团 , 然 后 , “ 宗 亲 ” 团

    体 分 解 而 成 为 各 个 的 家 ; 最 后 , 家 又 为 个 人 所 代 替 ; 现 在 可

    以 提 出 这 样 的 意 见 , 即 在 这 个 变 化 中 每 一 个 步 骤 相 当 于 “ 所

    有 权 ” 性 质 中 一 次 类 似 的 改 变 。 如 果 在 这 个 意 见 中 有 任 何 真

    理 的 话 , 可 以 看 到 , 它 在 实 质 上 影 响 了 有 关 “ 财 产 ” 起 源 的

    理 论 家 一 般 都 向 他 们 自 己 提 出 的 问 题 。 他 们 最 急 切 需 要 解 决

    的 问 题 — — 也 许 是 一 个 无 法 解 决 的 问 题 — — 是 : 最 初 引 起 人

    们 相 互 尊 重 他 人 的 所 有 物 , 其 动 机 究 竟 是 什 么 ? 这 个 问 题 也

    可 以 用 这 种 形 式 来 表 现 , 虽 然 也 很 少 希 望 能 为 它 找 到 一 个 答

    案 , 即 研 究 一 下 使 得 一 个 混 合 团 体 和 其 他 混 合 团 体 的 领 地 离

    开 的 原 因 。 但 是 , 私 有 “ 财 产 ” 史 中 最 最 重 要 的 一 章 如 果 真

    是 它 的 逐 渐 从 亲 属 共 同 所 有 权 中 解 除 出 来 , 那 末 , 需 要 研 究

    的 主 要 之 点 , 就 和 在 所 有 历 史 法 律 学 门 口 所 要 遇 到 的 问 题 完

    全 相 同 — — 即 原 来 促 使 人 们 团 结 在 家 族 联 合 体 中 的 动 机 究 竟

    是 什 么 ? 对 于 这 样 一 个 问 题 , 如 果 没 有 其 他 科 学 的 帮 助 , 单

    靠 法 律 学 是 不 能 提 出 一 个 答 案 的 。 这 个 事 实 不 得 不 加 以 注 意 。

    古 代 社 会 的 财 产 是 不 分 割 的 , 但 这 种 状 态 是 和 当 任 何 单

    独 的 一 部 分 完 全 从 集 团 遗 产 中 分 离 出 来 时 就 立 刻 表 现 的 一 种

    特 殊 鲜 明 的 分 割 , 是 不 相 矛 盾 的 。 这 种 现 象 的 产 生 , 无 疑 地

    是 由 于 财 产 经 分 割 后 , 就 成 为 一 个 新 的 团 体 的 所 有 物 , 因 此 ,

    在 已 经 分 离 的 状 态 下 , 如 果 要 和 它 发 生 往 来 , 就 成 为 两 个 高

    度 复 杂 团 体 之 间 的 一 种 交 易 了 。 我 已 经 就 各 集 合 体 的 大 小 和

    复 杂 程 度 等 方 面 , 把 古 代 法 和 现 代 国 际 法 加 以 比 较 , 这 些 集

    合 体 的 权 利 和 义 务 古 代 法 里 都 有 规 定 。 古 代 法 中 的 契 约 和 让

    与 既 然 不 是 以 单 独 的 个 人 而 是 以 有 组 织 的 人 的 团 体 为 当 事人 , 这 此 契 约 和 让 与 就 有 高 等 的 仪 式 ; 它 们 需 要 多 种 多 样 象

    征 性 的 行 为 或 言 辞 , 其 目 的 是 使 整 个 交 易 能 深 深 地 印 在 参 与

    仪 式 的 每 一 个 人 的 记 忆 中 ; 它 们 并 且 要 求 一 个 很 大 数 目 的 证

    人 到 场 。 从 这 些 特 点 以 及 类 似 的 其 他 特 点 产 生 了 古 代 财 产 形

    式 上 普 遍 存 在 着 的 顽 强 性 。 有 时 , 家 族 的 遗 产 是 绝 对 不 可 让

    与 的 , 像 斯 拉 夫 人 的 情 形 , 更 通 常 的 是 , 虽 然 让 与 不 一 定 完

    全 非 法 , 但 象 在 大 部 分 的 日 耳 曼 部 落 中 那 样 , 让 与 在 实 际 上

    几 乎 是 不 能 实 行 的 , 因 为 要 移 转 就 必 须 取 得 多 数 人 的 同 意 。 在

    这 些 障 碍 并 不 存 在 或 是 能 够 克 服 的 地 方 , 让 与 行 为 的 本 身 一

    般 都 为 一 大 套 不 能 有 丝 毫 疏 忽 的 仪 式 所 重 累 着 。 古 代 法 一 致

    拒 绝 废 除 一 个 单 独 动 作 , 不 论 它 是 如 何 地 荒 诞 ; 一 个 单 独 的

    音 节 , 不 论 其 意 义 可 能 是 早 已 被 忘 却 了 ; 一 个 单 独 的 证 人 , 不

    论 他 的 证 词 是 如 何 地 多 余 。 全 部 的 仪 式 应 该 由 法 律 上 所 规 定

    的 必 须 参 加 的 人 们 毫 不 苟 且 地 加 以 完 成 , 否 则 让 与 便 归 无 效 ,

    而 出 卖 人 亦 恢 复 其 权 利 , 因 为 他 移 转 的 企 图 并 未 生 效 。

    对 使 用 物 件 和 享 有 物 件 的 自 由 流 通 所 加 的 种 种 障 碍 , 只

    要 社 会 获 得 极 为 细 微 的 活 动 时 , 就 会 立 刻 被 感 觉 到 , 前 进 中

    的 社 会 就 竭 力 用 种 种 权 宜 手 段 来 克 服 这 些 障 碍 , 这 就 形 成 了

    “ 财 产 ” 史 中 的 材 料 。 在 这 些 手 段 中 , 有 一 个 更 重 要 , 因 为 它

    更 古 老 和 普 遍 。 把 财 产 分 为 许 多 类 别 的 想 法 , 似 乎 是 大 多 数

    早 期 社 会 中 自 发 地 产 生 的 。 有 一 种 或 一 类 的 财 产 放 在 比 较 不

    贵 重 的 地 位 上 , 但 在 同 时 却 免 除 了 古 代 加 在 它 们 上 面 的 种 种

    拘 束 。 后 来 , 适 用 于 低 级 财 产 移 转 与 继 承 的 规 定 , 其 高 度 的

    便 利 逐 渐 被 一 般 人 所 承 认 , 在 经 过 了 一 个 渐 进 的 改 革 过 程 后 ,

    比 较 不 贵 重 一 类 的 有 价 物 的 可 塑 性 就 传 染 给 传 统 上 地 位 较 高一 级 的 各 类 物 件 。 罗 马 “ 财 产 法 ” 的 历 史 就 是 “ 要 式 交 易物 ” 和 “ 非 要 式 交 易 物 ” 同 化 的 历 史 。 在 欧 洲 大 陆 上 的 “ 财产 ” 史 是 罗 马 化 的 动 产 法 消 灭 封 建 化 的 土 地 法 的 历 史 , 虽 然在 英 国 所 有 权 的 历 史 还 没 有 接 近 完 成 , 但 已 可 以 看 出 , 动 产

    法 是 在 威 胁 着 要 并 吞 和 毁 灭 不 动 产 法 。

    享 有 物 件 的 唯 一自然 分 类 , 即 能 符 合 物 体 中 实 质 区 别 的唯 一 分 类 , 是 把 它 们 分 成 为 “ 动 产 ” 和 “ 不 动 产 ” 。 这 种 分 类

    虽 是 法 律 学 中 所 熟 悉 的 , 但 它 是 罗 马 法 慢 慢 地 发 展 而 得 来 的 ,

    并 且 直 到 罗 马 法 的 最 后 阶 段 才 被 采 用 。 我 们 现 在 的 分 类 就 是

    从 罗 马 法 得 来 的 。 “ 古 代 法 ” 的 分 类 有 时 在 表 面 上 和 这 个 分 类

    很 相 类 似 。 古 代 法 分 类 偶 然 地 把 财 产 分 为 各 个 范 畴 , 并 把 不

    动 产 作 为 其 中 的 一 项 ; 但 是 后 来 发 现 它 们 或 者 把 许 多 和 不 动

    产 毫 无 关 系 的 物 件 归 在 不 动 产 之 内 , 或 者 把 它 们 从 和 它 们 有

    极 密 切 关 系 的 各 种 权 利 中 强 行 分 出 来 。 这 样 , 在 罗 马 法 中 ,

    “ 要 式 交 易 物 ” 不 但 包 括 土 地 , 并 且 也 包 括 奴 隶 和 牛 马 。 苏 格

    兰 法 律 把 某 种 抵 押 物 和 土 地 列 在 一 起 , 印 度 法 则 把 土 地 和 奴

    隶 联 系 起 来 。 在 另 一 方 面 , 英 国 法 律 把 多 年 的 土 地 租 赁 和 土

    地 上 的 其 他 利 益 分 列 , 并 把 前 者 用 动 产 物 ( c h a t t e l s   r e a l ) 的名 义 并 入 动 产 之 内 。 更 有 进 者 , “ 古 代 法 ” 的 分 类 是 含 有 贵 重和 低 贱 之 意 的 分 类 ; 动 产 和 不 动 产 之 间 的 区 分 , 至 少 以 罗 马法 律 学 而 论 , 实 在 并 不 具 有 尊 鄙 的 意 思 。 “ 要 式 交 易 物 ”最初的 确 要 比 “ 非 要 式 交 易 物 ” 优 越 些 , 正 象 苏 格 兰 的 可 继 承财产 和 英 格 兰 的 不 动 产 优 越 于 和 它 们 相 对 的 动 产 一 样 。 研究一切 制 度 的 法 律 家 都 不 辞 劳 苦 , 力 求 以 某 种 易 解 的 原 则 来 说 明这 些 分 类 ; 但 在 法 律 哲 学 中 去 寻 求 划 分 的 理 由 , 结 果 必 然 是徒 劳 无 功 ; 它 们 不 属 于 法 律 哲 学 而 属 法 律 历 史 。 可 以 用 来 概括 绝 大 多 数 事 例 的 解 释 是 , 比 其 余 享 用 物 贵 重 的 享 用 物, 一般 都 是 每 一 个 特 定 社 会 最 初 和 最 早 知 道 的 , 因 此 也 就 着 重 地用 “ 财 产 ” 的 名 称 来 尊 重 它 们 的 那 些 形 式 的 财 产 。 在 另 一 方面 , 所 有 不 列 入 爱 好 的 物 件 中 的 物 品 都 被 列 在 较 次 的 地 位 , 因为 关 于 它 们 价 值 的 知 识 是 肯 定 在 贵 重 财 产 目 录 已 经 确 定 之

    后 。 它 们 在 最 初 是 不 为 人 们 所 知 道 的 , 稀 少 , 用 途 有 限 , 再

    不 然 就 被 认 为 是 特 权 物 件 的 附 属 物 。 这 样 , 罗 马 “ 要 式 交 易

    物 ” 虽 然 包 括 了 许 多 极 有 价 值 的 动 产 , 但 价 值 最 高 的 宝 石 仍

    旧 是 从 来 没 有 被 列 入 “ 要 式 交 易 物 ” 项 内 , 因 为 它 们 是 古 罗

    马 人 所 不 知 道 的 。 同 样 地 , 在 英 国 , 动 产 物 据 说 已 下 降 到 动

    产 的 地 位 , 因 为 在 封 建 土 地 法 下 , 这 类 地 产 是 不 常 见 的 , 并

    且 是 毫 无 价 值 的 。 但 最 饶 有 兴 趣 的 是 , 这 些 商 品 继 续 降 格 , 正

    当 其 重 要 性 已 有 增 加 、 其 数 量 已 有 增 多 时 。 为 什 么 它 们 没 有

    继 续 被 包 括 在 爱 好 的 享 有 物 件 中 呢 ? 理 由 之 一 , 是 由 于 “ 古

    代 法 ” 固 执 地 墨 守 着 它 的 分 类 。 凡 是 没 有 受 过 教 育 的 人 和 早

    期 社 会 都 有 这 样 一 个 特 点 , 他 们 除 了 在 实 际 上 所 熟 悉 的 特 定

    应 用 之 外 , 一 般 都 不 能 想 出 一 条 通 用 的 规 则 。 他 们 不 能 从 日

    常 经 验 中 遇 到 的 特 殊 事 件 中 分 析 出 一 个 通 用 的 名 词 或 通 用 的

    格 言 ; 这 样 , 包 括 为 我 们 所 熟 知 的 各 种 形 式 财 产 的 名 称 , 就

    被 拒 绝 适 用 于 和 它 们 完 全 类 似 的 其 他 享 有 物 件 和 权 利 主 体

    上 。 对 象 法 律 那 样 稳 定 的 一 个 主 题 发 生 了 特 别 的 力 量 , 后 来

    又 添 加 了 其 他 更 适 合 于 文 明 进 步 以 及 一 般 适 宜 概 念 的 影 响 。

    法 院 和 法 律 家 终 于 对 爱 好 商 品 的 移 转 、 回 复 或 遗 传 中 所 需 要

    的 各 种 令 人 困 惑 的 手 续 程 序 , 感 到 不 便 , 于 是 便 也 不 愿 把 作为 法 律 幼 年 时 代 特 点 的 专 门 束 缚 加 于 新 的 各 类 财 产 之 上 。 因

    此 就 产 生 了 一 种 倾 向 , 把 这 些 最 后 发 现 的 物 件 在 法 律 学 安 排

    中 列 在 最 低 的 地 位 , 只 通 过 较 简 单 的 程 序 就 可 以 移 转 , 比 较

    古 代 的 让 与 简 便 了 许 多 , 不 再 用 来 作 为 善 意 的 绊 脚 石 和 诈 欺

    的 进 身 阶 了 。 我 们 也 许 有 低 估 古 代 移 转 方 式 的 不 便 的 危 险 。 我

    们 的 让 与 证 书 是 书 面 的 , 其 中 的 文 字 既 经 职 业 起 草 者 审 慎 推

    敲 过 , 在 正 确 性 上 就 绝 少 存 在 着 缺 点 。 但 是 一 个 古 代 让 与 不

    是 用 书 面 的 , 而 是 用 行 动 的 。 动 作 和 口 语 代 替 了 书 面 专 门 语

    法 , 任 何 公 式 被 误 读 了 或 是 象 征 的 行 为 被 遗 漏 了 , 就 可 能 使

    程 序 归 于 无 效 , 正 如 二 百 年 前 在 叙 述 使 用 权 或 发 表 残 余 财 产

    权 中 发 生 一 个 重 大 错 误 时 , 就 使 一 个 英 国 契 据 归 于 无 效 一 样 。

    真 的 , 古 代 仪 式 的 害 处 , 上 面 所 说 的 仅 及 其 半 。 假 使 只 在土地 的 移 转 中 需 要 有 书 面 的 或 行 为 的 精 密 让 与 , 由 于 这 类 财 产绝 少 在 极 忽 忙 之 中 予 以 处 分 , 在 移 转 时 发 生 错 误 的 机 会 是 不

    会 多 的 。 但 是 古 代 世 界 中 所 谓 高 级 财 产 不 但 包 括 土 地 , 并 且

    也 包 括 几 种 最 最 普 通 和 几 种 最 最 有 价 值 的 动 产 。 当 社 会 一 经

    开 始 很 快 地 运 动 时 , 如 果 对 于 一 匹 马 或 一 头 牛 , 或 对 于 古 代

    世 界 最 有 价 值 的 可 移 动 之 物 — — “ 奴 隶 ” — — 都 需 要 高 度 地错 综 复 杂 形 式 的 移 转 , 必 将 感 到 很 大 的 不 便 。 这 类 商 品 一 定常 常 是 、 并 且 甚 至 于 原 来 是 用 不 完 全 的 形 式 来 让 与 的 , 因 此也 就 在 不 完 全 的 名 义 下 持 有 它 们 。

    古 罗 马 法 中 的 “ 要 式 交 易 物 ” 是 土 地 — — 在 有 史 时 期 , 指意 大 利 疆 土 内 的 土 地 , — — 奴 隶 以 及 负 重 的 牲 畜 , 如 牛 和 马 。毫 无 疑 问 , 构 成 这 一 类 别 的 物 件 都 是 农 业 劳 动 的 工 具 , 对 于一 个 原 始 民 族 很 重 要 的 商 品 。 我 猜 想 , 这 类 商 品 最 初 称 为“ 物 件 ” 或 “ 财 产 ” , 而 它 们 移 转 的 让 与 方 式 称 作 “ 曼 企帕因 ” 或 “ 曼 企 帕 地 荷 ” ; 但 可 能 要 直 到 很 后 的 时 期 , 它 们才接受 了 “ 要 式 交 易 物 ” 的 特 别 名 称 , 所 谓 “ 要 式 交 易 物 ” , 就 是“ 需 要 一 次 ‘ 曼 企 帕 地 荷 ’ 的 物 件 ” 。 可 能 除 此 以 外 , 存 在 着或 产 生 了 有 一 类 的 物 件 , 这 些 物 件 是 不 值 得 坚 持 采 用 全 部 的

    “ 曼 企 帕 地 荷 ” 仪 式 的 。 当 这 些 物 件 由 所 有 人 移 转 给 所 有 人 时 ,

    只 须 进 行 通 常 手 续 程 序 的 一 部 分 , 这 一 部 分 就 是 实 际 送 达 、 实

    物 移 转 或 交 付 , 这 是 一 种 财 产 所 有 权 变 更 的 最 明 显 的 标 志 。 这

    类 商 品 是 古 代 法 律 学 中 的 “ 非 要 式 交 易 物 ” , 即 “ 不 需 要 一 次

    ‘ 曼 企 帕 地 荷 ’ 的 物 件 ” , 这 些 物 件 在 起 初 可 能 很 少 被 重 视 , 并

    且 也 不 常 从 一 个 团 体 的 所 有 人 移 转 给 另 一 团 体 的 所 有 人 的 。

    可 是 , “ 要 式 交 易 物 ” 的 目 录 虽 是 不 可 改 变 地 定 下 来 了 , 但

    “ 非 要 式 交 易 物 ” 的 目 录 却 在 无 限 制 地 扩 大 ; 从 此 , 人 类 对 物

    质 自 然 每 一 次 新 的 征 服 就 在 “ 非 要 式 交 易 物 ” 上 添 加 了 一 个

    新 的 项 目 , 或 在 那 些 已 经 公 认 的 项 目 中 实 行 一 次 修 改 。 因 此 ,

    它 们 就 不 知 不 觉 地 提 高 到 和 “ 要 式 交 易 物 ” 处 于 平 等 的 地 位 ,

    一 种 固 有 的 低 级 的 印 象 就 这 样 逐 渐 消 失 , 人 们 也 就 看 到 了 在

    他 们 移 转 时 , 如 果 用 简 单 的 手 续 , 比 较 采 用 复 杂 和 严 肃 的 仪

    式 有 更 多 的 利 益 。 法 律 改 良 中 的 两 个 媒 介 即 “ 拟 制 ” 和 “ 衡

    平 ” 就 被 罗 马 法 律 学 专 心 一 致 地 运 用 着 , 使 得 “ 交 付 ” 能 具

    有 “ 曼 企 帕 地 荷 ” 的 实 际 效 果 。 同 时 , 虽 然 罗 马 立 法 者 是 期

    不 敢 制 订 法 律 , 规 定 “ 要 式 交 易 物 ” 中 的 财 产 权 可 通 过 简 单

    的 物 件 送 达 而 立 即 移 转 , 但 甚 至 这 样 一 个 步 骤 , 最 后 也 为 查

    斯 丁 尼 安 大 胆 地 做 了 , 在 他 的 法 律 学 中 , “ 要 式 交 易 物 ” 和

    “ 非 要 式 交 易 物 ” 之 间 的 区 别 已 完 全 消 失 , “ 交 付 ” 或 “ 送达 ” 成 为 法 律 所 承 认 的 最 大 让 与 。 罗 马 法 律 家 很 早 就 对 “ 交

    付 ” 有 显 著 的 偏 爱 , 这 种 偏 爱 使 他 们 在 理 论 中 分 配 给 “ 交

    付 ” 一 个 特 殊 地 位 , 使 现 代 学 生 们 无 法 看 到 其 真 正 的 历 史 。

    “ 交 付 ” 被 归 类 在 “ 自 然 的 ” 取 得 方 式 中 , 一 方 面 因 为 它 在 意

    大 利 各 部 落 中 普 遍 地 应 用 着 , 另 一 方 面 因 为 它 是 能 通 过 最 简

    单 机 构 来 达 到 其 目 的 的 一 种 过 程 。 如 果 把 法 学 专 家 的 言 语 简

    要 地 加 以 重 述 , 无 疑 地 包 含 着 : 属 于 “ 自 然 法 ” 的 “ 交 付 ” 比

    “ 是 企 帕 地 荷 ” 还 要 古 老 , 因 为 “ 曼 企 帕 地 荷 ” 是 一 个 “ 市 民

    社 会 ” 的 制 度 ; 我 认 为 不 消 说 得 , 这 一 点 是 恰 恰 和 事 实 相 反

    的 。

    “ 要 式 交 易 物 ” 和 “ 非 要 式 交 易 物 ” 之 间 的 区 分 是 一 种 有

    功 于 人 类 文 明 的 区 分 , 这 种 区 分 涉 及 全 部 商 品 , 它 把 商 品 中

    的 一 小 部 分 归 入 一 类 , 而 把 其 余 的 列 入 较 低 级 的 一 类 。 各 种

    低 级 的 财 产 , 由 于 蔑 视 和 忽 视 , 首 先 从 原 始 法 律 所 喜 爱 的 复

    杂 仪 式 中 释 放 出 来 , 此 后 , 在 另 一 种 智 力 进 步 的 状 态 下 , 简

    单 的 移 转 和 恢 复 方 法 便 被 采 用 , 作 为 一 个 模 型 , 以 它 的 便 利

    和 简 单 来 非 难 从 古 代 传 下 来 的 繁 重 仪 式 。 但 是 , 在 有 些 社 会

    中 , 财 产 所 受 到 的 束 缚 是 过 分 地 复 杂 和 严 密 , 不 能 轻 易 地 得

    到 放 松 。 当 印 度 人 生 出 男 性 的 子 嗣 时 , 象 我 已 经 说 过 的 印 度

    的 法 律 便 使 他 们 都 在 父 的 财 产 中 取 得 一 种 利 益 , 并 使 他 们 的

    同 意 成 为 财 产 让 与 的 一 个 必 要 条 件 。 古 日 耳 曼 民 族 的 一 种 通

    例 具 有 同 样 的 精 神 — — 值 得 注 意 的 是 , 盎 格 鲁 - 撒 克 逊 的 习

    惯 似 乎 是 一 个 例 外 — — , 它 规 定 在 未 经 取 得 男 性 子 嗣 同 意 前

    禁 止 让 与 财 产 ; 斯 拉 夫 人 的 原 始 法 律 甚 至 完 全 禁 止 让 与 。 很

    明 显 , 这 一 类 的 障 碍 是 不 能 用 在 各 种 财 产 之 间 加 以 区 分 的 方法 来 克 服 的 , 因 为 困 难 涉 及 所 有 各 类 商 品 ; 因 此 , 当 “ 古 代

    法 ” 一 度 开 始 向 改 进 的 道 路 发 展 时 , 就 用 另 外 一 种 性 质 的 区

    分 来 克 服 这 种 障 碍 , 这 种 区 分 不 是 按 照 财 产 的 性 质 而 是 按 照

    其 渊 源 来 分 类 。 在 印 度 , 就 有 两 种 分 类 制 度 的 遗 迹 , 我 们 现

    在 考 虑 的 一 种 可 以 用 印 度 法 在 “ 继 承 财 产 ” 和 “ 取 得 物 ” 之

    间 建 立 的 区 分 来 例 证 。 父 的 继 承 财 产 在 其 子 出 生 时 即 为 他 们

    所 分 有 ; 但 按 照 大 多 数 省 分 的 习 惯 , 他 本 人 在 世 时 取 得 的 则

    完 全 为 他 个 人 所 有 , 并 可 以 由 他 任 意 移 转 。 罗 马 法 中 有 一 种

    类 似 的 区 分 , 这 是 对 “ 父 权 ” 最 早 的 一 种 改 革 , 它 允 许 子 把

    他 在 军 役 中 所 获 得 的 物 件 归 他 自 己 所 有 。 但 这 种 分 类 方 法 , 在

    日 耳 曼 人 中 得 到 最 广 泛 的 应 用 。 我 曾 反 复 地 说 过 ,自主 ·

    地 虽然 并 非 不 可 让 与 , 但 一 般 必 须 经 过 很 大 的 困 难 才 可 以 移 转 ; 而且 ,自主地 只 可 以 遗 传 给 宗 亲 属 。 于 是 , 非 常 多 种 多 样 的 区分 便 被 承 认 了 , 都 企 图 消 灭 和 自 主 土 地 分 不 开 的 各 种 不 便 。 例如,杀害亲属和解费 ( w e h r g e l d ) 在 日 耳 曼 法 律 学 中 占 有 很 大的 地 位 , 却 并 不 成 为 家 族 领 地 的 一 部 分 , 并 且 根 据 完 全不同的 继 承 规 则 而 遗 传 。 同 样 的 ,寡妇再醮时所课的罚金( r e i p u s ) 也 不 并 入 它 所 给 付 的 人 的自主地 之 内 , 在 移 转 时 , 并且 也 可 以 不 理 会 宗 亲 的 特 权 。 日 耳 曼 的 法 律 也 象 印 度 人 的 法

    律 一 样 , 把 家 长 的 “ 取 得 物 ” 和 “ 继 承 ” 财 产 区 分 开 来 , 准

    许 他 在 十 分 自 由 的 条 件 下 处 理 其 “ 取 得 物 ” 。 其 他 种 类 的 分 类

    也 是 被 承 认 的 , 常 见 的 是 土 地 与 动 产 的 区 分 ; 但 是 在 动 产 项

    下 还 被 分 成 几 个 附 属 的 类 别 , 每 一 类 都 适 用 一 种 不 同 的 规 则 。

    象 征 服 罗 马 帝 国 的 日 耳 曼 人 那 样 未 开 化 的 民 族 竟 会 有 这 样 丰

    富 的 分 类 , 我 们 在 初 看 起 来 似 乎 是 很 奇 怪 的 , 但 这 无 疑 地 是由 于 他 们 的 制 度 中 有 相 当 数 量 的 罗 马 法 成 分 , 这 些 都 是 他 们长 期 寄 居 于 罗 马 领 土 边 境 的 时 期 内 吸 收 的 。 对 于 自 主 地 以 外各 种 商 品 的 移 转 和 遗 传 的 规 定 , 我 们 可 以 毫 无 困 难 地 发 现 其

    中 许 多 来 自 罗 马 法 律 学 , 这 些 都 可 能 是 他 们 在 非 常 是 的 时 间

    内 零 零 星 星 地 从 罗 马 法 律 学 中 借 用 来 的 。 究 竟 阻 碍 财 产 自 由

    流 通 的 障 碍 通 过 了 这 类 手 段 能 克 服 到 何 种 程 度 , 我 们 无 法 加

    以 猜 度 , 因 为 这 些 区 分 已 在 现 代 历 史 上 消 失 了 。 我 在 前 面 已

    解 释 过 , 自 主 地 形 式 的 财 产 在 封 建 时 期 已 完 全 消 灭 了 , 并 且

    当 封 建 制 度 一 经 巩 固 后 , 西 方 世 界 所 有 各 种 区 分 在 实 际 上 只

    有 一 种 还 留 存 着 — — 就 是 土 地 和 物 件 、 不 动 产 和 动 产 之 间 的

    区 分 。 在 外 表 上 , 这 个 区 分 和 罗 马 法 在 最 后 采 用 的 那 种 区 分

    相 同 , 但 中 世 纪 的 法 律 和 罗 马 法 律 在 有 一 点 上 是 显 然 不 同 的 ,

    这 就 是 中 世 纪 的 法 律 认 为 不 动 产 比 动 产 更 加 高 贵 。 这 一 个 例

    子 , 就 足 以 证 明 它 所 属 的 一 类 方 法 的 重 要 性 。 在 以 法 兰 西 法

    典 为 其 制 度 的 基 础 的 一 切 国 家 中 , 也 就 是 在 欧 洲 大 陆 的 绝 大

    部 分 国 家 中 , 始 终 是 来 自 罗 马 法 律 的 动 产 法 代 替 了 和 废 弃 了

    封 建 的 土 地 法 。 英 国 是 唯 一 的 重 要 国 家 , 在 那 里 这 种 变 化 虽

    然 已 有 进 展 , 但 并 没 有 接 近 完 成 。 应 该 进 一 步 说 明 , 我 国 也

    是 唯 一 重 要 的 欧 洲 国 家 , 在 其 中 , 动 产 和 不 动 产 的 分 开 受 到

    了 在 过 去 曾 促 使 古 代 分 类 乖 离 了 唯 一 合 乎 自 然 分 类 的 同 一 种

    影 响 的 扰 乱 。 英 国 的 分 类 在 大 体 上 是 分 为 土 地 和 物 件 ; 但 某

    种 物 件 被 作 为 继 承 动 产 ( h e i r l o o m ) 和 土 地 列 在 一 起 , 某 种 土地 上 的 利 益 则 由 于 历 史 上 的 原 因 又 和 动 产 平 列 。 英 国 法 律 学站 在 法 律 变 化 的 主 流 之 外 , 重 复 着 古 代 法 律 的 现 象 , 这 里 所说 的 并 不 是 唯 一 的 事 例 。

    因为 本 文 的 范 围 只 许 可 提 到 那 些 极 古 的 方 法 , 我 要 再 谈

    一二 个 方 法 , 通 过 了 这 些 方 法 , 古 代 人 对 于 财 产 所 有 权 所 加

    的 种 种 束 缚 多 少 放 松 了 一 些 。 特 别 是 其 中 的 一 种 必 须 加 以 详

    细 讨 论 , 因 为 凡 是 不 熟 悉 早 期 法 律 史 的 人 都 不 会 很 容 易 地 相

    信 : 现 代 法 律 学 非 常 迟 缓 并 且 经 过 了 绝 大 困 难 才 获 得 承 认 的

    一 条 原 则 , 却 在 法 律 科 学 很 幼 年 时 代 就 非 常 熟 悉 了 。 在 一 切

    法 律 中 , 现 代 人 最 不 愿 采 用 并 不 愿 使 它 产 生 合 法 后 果 的 原 则 ,

    就 是 罗 马 人 所 知 的 “ 时 效 取 得 ” 和 在 “ 时 效 ” 的 名 义 下 一 直

    传 到 现 代 法 律 学 的 原 则 , 虽 然 这 个 原 则 是 有 它 有 利 的 性 质 的 。

    最 古 罗 马 法 上 有 一 条 明 定 的 规 则 , 比 “ 十 二 铜 表 法 ” 更 古 老 ,

    它 规 定 : 凡 是 曾 被 不 间 断 地 持 有 一 定 时 期 的 商 品 即 成 为 占 有

    人 的 财 产 。 占 有 的 期 间 是 极 短 促 的 — — 一 年 或 二 年 , 根 据 商

    品 的 性 质 而 定 — — , 在 有 史 时 期 内 , “ 时 效 取 得 ” 只 在 用 一 种

    特 殊 方 式 开 始 占 有 时 才 能 准 许 有 效 ; 但 我 以 为 在 一 个 较 不 进

    步 的 时 代 , 比 我 们 在 权 威 著 作 中 所 读 到 的 更 不 严 格 的 条 件 下 ,

    占 有 也 很 可 能 变 成 所 有 权 。 我 在 前 面 已 经 说 过 , 我 决 不 主 张

    人 类 对 于事实上 占 有 的 尊 重 是 法 律 学 本 身 所 能 说 明 的 一 种 现

    象 , 但 有 必 要 说 明 的 是 , 原 始 社 会 在 采 用 “ 时 效 取 得 ” 原 则

    时 , 并 没 有 被 曾 经 阻 碍 现 代 人 接 受 这 原 则 的 那 些 纯 理 论 的 疑

    虑 和 踌 躇 所 困 惑 。 现 代 法 律 家 对 于 “ 时 效 ” 的 看 法 , 起 先 是

    嫌 恶 , 后 来 则 是 勉 强 赞 成 。 在 有 几 个 国 家 中 , 包 括 我 们 自 己

    的 国 家 在 内 , 立 法 是 期 不 愿 越 过 这 样 一 个 旧 的 方 法 而 前 进 一

    步 , 根 据 这 个 旧 的 方 法 , 凡 是 在 过 去 一 个 指 定 的 时 期 以 前 、 一

    般 是 前 一 个 朝 代 的 第 一 年 以 前 遭 受 损 害 而 提 出 的 诉 讼 , 一 概

    不 予 受 理 ; 直 到 中 世 纪 最 后 结 束 、 詹 姆 士 一 世继 承 英 格 兰 王 位 , 我 们 才 获 得 了 一 种 很 不 完 全 的 真 正

    的 时 限 条 例 。 现 代 世 界 对 罗 马 法 中 这 最 著 名 的 一 章 、 而 且 无

    疑 是 欧 洲 大 多 数 法 律 家 经 常 谈 到 的 一 章 竟 会 这 样 慢 才 加 以 采

    用 , 主 要 是 由 于 受 到 “ 寺 院 法 ” 的 影 响 。 “ 寺 院 法 ” 是 从 宗 教

    习 惯 产 生 出 来 的 , 这 些 宗 教 习 惯 既 然 关 心 着 神 圣 或 准 神 圣 的

    利 益 , 就 很 自 然 地 认 为 它 们 所 赋 与 的 特 权 不 能 因 长 期 不 用 而

    丧 失 ; 按 照 这 个 见 解 , 宗 教 法 律 学 在 后 来 巩 固 时 , 就 以 明 显

    地 反 对 “ 时 效 ” 著 称 。 “ 寺 院 法 ” 被 教 会 法 律 家 用 作 世 俗 立 法

    的 范 本 , 对 基 本 原 理 就 发 生 了 特 殊 影 响 。 “ 寺 院 法 ” 给 予 全 欧

    洲 形 成 的 各 式 各 样 习 惯 的 明 确 规 定 , 其 数 量 远 不 及 罗 马 法 所

    给 予 的 多 , 但 它 在 许 多 基 本 问 题 上 似 乎 已 经 给 了 职 业 意 见 以

    一 种 偏 向 , 而 这 样 产 生 的 倾 向 又 随 着 每 个 制 度 的 发 展 而 不 断

    地 增 加 力 量 。 它 所 产 生 的 倾 向 之 一 就 是 对 于 “ 时 效 ” 的 嫌 恶 ;

    但 是 , 如 果 不 是 和 实 在 派 经 院 法 学 家 的 学 理 相 同 , 我 以 为 这

    种 偏 见 是 决 不 会 象 它 现 在 那 样 有 力 的 。 这 些 经 院 法 学 家 认 为 :

    不 论 实 际 立 法 如 何 变 动 , 凡 是 一 种 ·

    权 ·

    利 , 纵 使 经 过 长 期 的 忽

    视 , 在 实 际 上 是 不 可 毁 灭 的 。 这 种 想 法 的 残 余 , 到 现 在 依 旧

    存 在 。 凡 是 热 诚 讨 论 法 律 哲 学 的 任 何 地 方 , 对 于 “ 时 效 ” 的

    理 论 基 础 问 题 , 总 是 热 烈 地 进 行 争 辩 的 。 在 法 国 和 德 国 , 如

    果 一 个 人 已 经 有 许 多 年 丧 失 了 占 有 , 究 竟 应 作 为 其 怠 忽 的 处

    罚 而 剥 夺 其 所 有 权 呢 , 还 是 由 于 法 律 希 望结束诉讼 ( f i n i s  l i t i u m ) 而 通 过 简 单 仲 裁 使 其 丧 失 所 有 权 , 仍 旧 是 一 个 极 有 兴

    趣 的 问 题 。 但 是 在 古 代 罗 马 社 会 中 , 人 们 就 没 有 受 到 这 种 犹

    豫 不 决 的 困 扰 。 罗 马 的 古 代 惯 例 对 于 在 某 种 情 况 下 丧 失 占 有

    达 一 二 年 的 任 何 人 , 就 直 接 剥 夺 其 所 有 权 。 “ 时 效 取 得 ” 的 这个 规 定 , 在 它 最 古 代 形 式 下 , 其 确 切 性 质 究 竟 是 怎 样 的 , 很

    不 容 易 说 明 ; 但 是 , 就 我 们 从 书 本 中 所 看 到 和 它 附 着 在 一 起

    的 种 种 限 制 , 可 知 “ 时 效 取 得 ” 实 在 是 一 种 最 有 用 的 保 障 , 用

    以 防 止 过 于 繁 杂 的 一 种 让 与 制 度 所 有 的 各 种 害 处 。 为 了 得 到

    “ 时 效 取 得 ” 的 好 处 , 他 主 占 有 在 开 始 时 必 须 是 善 意 的 , 换 言

    之 , 即 占 有 人 必 须 认 为 他 是 合 法 地 取 得 财 产 ; 其 次 , 商 品 移

    转 给 他 时 所 采 用 的 形 式 虽 然 在 这 特 定 情 况 中 不 一 定 要 等 于 是

    一 个 完 全 的 权 利 的 赋 与 , 但 至 少 是 应 该 为 法 律 所 承 认 的 。 因

    此 , 在 一 个 “ 曼 企 帕 地 荷 ” 的 情 形 中 , 不 问 履 行 是 如 何 的 草

    率 , 但 只 要 在 履 行 中 已 经 包 括 了 一 种 “ 交 付 ” 或 “ 送 达 ” , 则

    权 利 上 的 缺 点 就 可 以 因 至 多 两 年 的 “ 时 效 取 得 ” 而 矫 正 。 在

    罗 马 人 的 实 践 中 , 我 认 为 他 们 对 于 “ 时 效 取 得 ” 的 利 用 , 最

    有 力 地 证 明 他 们 的 法 律 天 才 。 他 们 所 感 到 苦 恼 的 困 难 , 几 乎

    正 是 英 国 法 律 家 过 去 曾 经 和 现 在 仍 旧 感 到 窘 迫 的 困 难 。 由 于

    他 们 的 制 度 的 复 杂 性 , 这 是 他 们 一 直 没 有 勇 气 也 没 有 力 量 加

    以 改 造 的 , 实 际 上 的 权 利 常 常 和 理 论 上 的 权 利 相 脱 离 , 衡 平

    上 的 所 有 权 则 和 法 律 上 的 所 有 权 相 脱 离 。 但 是 法 学 专 家 制 订

    的 这 个 “ 时 效 取 得 ” 提 供 了 一 个 自 动 的 机 械 , 通 过 了 这 个 自

    动 机 械 , 权 利 的 缺 陷 就 不 断 得 到 矫 正 , 而 暂 时 脱 离 的 所 有 权

    又 可 以 在 可 能 极 短 的 阻 碍 之 后 重 新 迅 速 地 结 合 起 来 。 直 到 查

    斯 丁 尼 安 改 革 之 前 , “ 时 效 取 得 ” 一 直 没 有 失 掉 其 好 处 。 但 法

    律 和 衡 平 一 经 完 全 混 合 、 罗 马 人 不 再 用 “ 曼 企 帕 地 荷 ” 作 为

    让 与 时 , 这 古 代 的 方 法 已 失 去 必 要 , 而 “ 时 效 取 得 ” 在 相 当

    地 延 长 的 时 期 后 , 就 成 为 “ 时 效 ” , 它 最 后 几 乎 为 所 有 现 代 法

    律 制 度 所 普 遍 采 用 。

    我 将 简 单 地 提 一 提 另 外 一 种 方 法 , 它 和 上 面 所 提 到 的 一

    种 方 法 具 有 同 一 的 目 的 , 它 虽 然 没 有 立 即 在 英 国 法 律 史 中 出

    现 , 但 在 罗 马 法 中 却 是 历 史 非 常 悠 久 的 。 有 些 日 耳 曼 民 法 学

    家 对 英 国 法 律 中 类 比 这 个 问 题 所 提 供 的 线 索 没 有 足 够 地 注

    意 , 竟 认 为 它 甚 至 早 于 “ 曼 企 帕 地 荷 ” , 这 足 证 它 的 明 显 年 代 。

    我 要 谈 到 的 是 “ 拟 诉 弃 权 ” ( C e s s i o   i n   J u r e ) , 即 在 一 个 法院 中 , 对 于 要 求 让 与 财 产 的 一 种 串 通 回 复 。 原 告 用 一 种 普 通

    形 式 的 诉 讼 请 求 诉 讼 标 的 ; 被 告 缺 席 ; 商 品 就 当 然 地 被 判 给

    原 告 。 我 母 庸 提 醒 英 国 法 律 家 , 这 个 方 法 也 曾 为 我 们 的 祖 先

    所 想 到 , 并 产 生 了 著 名 的 “ 罚 金 ” 和 “ 回 复 ” , 大 大 地 解 除 了

    封 建 土 地 法 最 严 酷 的 束 缚 。 这 种 罗 马 人 的 和 英 国 人 的 方 法 有

    很 多 相 同 之 点 , 并 且 最 有 启 发 地 相 互 例 证 。 但 在 这 两 者 之 间

    还 是 有 区 别 的 , 英 国 法 律 家 的 目 的 是 解 除 存 在 权 利 中 的 各 种

    纠 葛 , 而 罗 马 法 学 专 家 则 是 在 用 一 种 必 然 地 无 可 非 议 的 移 转

    方 式 来 代 替 常 常 失 误 的 移 转 方 式 , 用 它 来 防 止 纠 葛 。 实 际 上 ,

    这 种 办 法 是 “ 法 院 ” 正 常 地 进 行 工 作 时 自 行 发 现 的 办 法 , 但

    无 论 如 何 仍 旧 逃 不 出 原 始 观 念 的 支 配 。 当 法 律 观 点 在 前 进 状

    态 中 时 , 法 院 认 为 串 通 的 诉 讼 是 诉 讼 程 序 的 一 种 滥 用 ; 但 始

    终 存 在 这 样 一 个 时 期 , 当 法 院 的 形 式 被 谨 慎 地 遵 守 着 时 , 法

    院 就 决 不 会 梦 想 再 有 所 求 了 。

    法 院 及 其 诉 讼 手 续 对 “ 财 产 ” 的 影 响 是 很 广 泛 的 , 但 这

    个 问 题 已 超 过 了 本 文 的 范 围 , 并 将 使 我 们 深 入 到 后 期 的 法 律

    史 , 这 也 和 本 文 的 计 划 是 不 相 一 致 的 。 但 有 必 要 提 一 下 , “ 财

    产 ” 和 “ 占 有 ” 间 区 分 之 所 以 重 要 , 就 是 由 于 这 种 影 响 — —

    并 不 是 区 分 的 本 身 , 这 ( 用 一 个 著 名 英 国 民 法 学 家 的 话 ) 和对 物 所 有 的 法 律 权 利 和 对 物 所 有 的 实 际 权 力 间 的 区 分 ) 是 完

    全 相 同 的 — — 而 是 它 在 法 律 哲 学 中 所 获 得 的 非 常 重 要 性 。 凡

    是 受 过 教 育 的 人 决 不 全 没 有 从 法 律 著 作 中 听 到 过 罗 马 法 学 专

    家 在 “ 占 有 ” 这 个 问 题 上 长 时 期 来 发 生 的 一 些 极 端 混 乱 的 意

    见 , 而 萨 维 尼 天 才 的 得 到 证 明 , 主 要 就 在 于 他 发 现 了 这 个 谜

    语 的 解 答 。 事 实 上 , 罗 马 法 律 家 所 用 的 “ 占 有 ” 似 乎 含 有 一

    种 不 容 易 说 明 的 意 义 。 这 个 名 词 从 其 字 源 上 看 , 原 来 一 定 含

    有 实 体 接 触 或 可 以 任 意 恢 复 的 实 体 接 触 之 意 ; 但 在 实 际 应 用

    上 如 不 加 任 何 形 容 词 , 它 的 含 义 不 仅 仅 包 括 实 体 强 留 , 而 是

    实 体 强 留 加 上 了 要 把 物 件 保 留 为 自 己 所 有 的 意 向 。 萨 维 尼 跟

    随 着 尼 布 尔 , 认 为 这 个 变 例 只 可 能 有 一 个 历 史 渊 源 。 他 指 出 ,

    罗 马 的 “ 贵 族 ” 市 民 在 付 出 名 义 租 金 而 成 为 绝 大 部 分 公 共 领

    地 的 佃 农 时 , 在 古 罗 马 法 的 见 解 中 , 他 们 只 是 占 有 人 , 但 他

    们 当 时 是 一 些 意 图 保 持 他 们 的 土 地 而 抗 拒 一 切 外 来 者 的 占 有

    人 。 其 实 , 他 们 所 提 出 的 请 求 , 几 乎 和 最 近 在 英 国 由 “ 教

    会 ” 土 地 的 承 租 人 所 提 出 的 请 求 , 完 全 相 同 。 他 们 承 认 在 理

    论 上 他 们 是 国 家 的 任 意 佃 农 ( t e n a n t s - a t - w i l l ) , 但 又 认 为

    时 间 和 安 全 的 享 有 使 他 们 的 持 有 成 熟 而 成 为 一 种 所 有 权 , 如

    果 为 了 要 重 行 分 配 领 地 而 排 斥 他 们 , 那 是 不 公 正 的 。 这 种 请

    求 和 “ 贵 族 ” 租 地 的 联 想 永 远 影 响 着 “ 占 有 ” 的 意 义 。 同 时 ,

    佃 农 如 果 被 排 斥 了 或 受 到 了 扰 乱 的 威 胁 时 , 他 们 所 能 利 用 的

    唯 一 法 律 救 济 , 是 “ 占 有 禁 令 ” ( P o s s e s s o r y   I n t e r d i c t s ) , 这是 罗 马 法 中 的 简 易 诉 讼 程 序 , 是 “ 裁 判 官 ” 为 了 要 保 护 他 们而 明 白 制 定 的 , 或 者 , 根 据 另 外 一 种 理 论 , 是 在 较 早 时 代 用以 临 时 保 持 占 有 以 待 法 律 权 利 问 题 的 最 后 解 决 。 因 此 , 不 难了 解 , 凡 是 · 作 ·

    为 · 自 ·

    己 · 所 ·

    有 而 占 有 财 产 的 人 , 就 有 权 要 求 “ 禁

    令 ” , 并 且 通 过 一 种 高 度 人 为 的 辩 诉 制 度 , 使 “ 禁 令 ” 程 序 能

    用 以 处 理 一 个 争 执 占 有 的 冲 突 请 求 。 接 着 就 开 始 了 一 种 运 动 ,

    而 这 种 运 动 正 象 约 翰 · 奥 斯 丁 先 生 所 指 出 的 , 在 英 国 法 律 中

    恰 恰 重 复 地 发 生 。 ·

    财产所有人 ( d o m i n i ) 宁 愿 采 用 形 式 比 较 简

    单 方 法 比 较 迅 速 的 “ 禁 令 ” , 以 代 替 手 续 程 序 迟 滞 而 复 杂 的

    “ 物 权 诉 讼 ” ( R e a l   A c t i o n ) , 并 且 为 了 能 利 用 这 种 占 有 救 济 ,

    财 产 所 有 人 竟 借 助 于 假 定 是 包 括 在 其 所 有 权 之 中 的 占 有 。 容

    许 不 是 真 正 的 “ 占 有 人 ” 而 是 “ 所 有 人 ” 的 人 们 能 自 由 利 用

    占 有 救 济 以 证 实 其 权 利 , 在 起 初 虽 可 能 是 一 种 恩 赐 , 但 最 后

    使 英 国 和 罗 马 法 律 学 发 生 了 严 重 退 化 的 效 果 。 罗 马 法 , 在

    “ 占 有 ” 问 题 上 发 生 了 各 种 复 杂 难 解 之 处 , 使 它 为 人 们 所 不 信

    任 , 而 英 国 法 , 在 适 用 于 回 复 不 动 产 的 诉 讼 陷 入 了 最 无 希 望

    的 混 乱 状 态 后 , 终 于 不 得 不 用 一 种 果 断 的 救 济 办 法 来 把 全 部

    混 乱 一 扫 而 光 。 近 三 十 年 来 英 国 在 实 质 上 已 把 物 权 诉 讼 加 以

    发 除 , 没 有 人 怀 疑 , 这 是 一 件 公 认 的 好 事 , 但 是 对 于 法 律 学

    的 调 和 有 敏 感 的 人 们 仍 将 慨 歎 地 认 为 , 这 样 我 们 不 但 没 有 澄

    清 、 改 进 和 简 化 真 正 的 所 有 权 诉 讼 , 反 而 牺 牲 了 这 些 所 有 权

    诉 讼 而 让 位 于 占 有 的 勒 迁 之 诉 ( p o s s e s s o r y   a c t i o n   o f   e Aj e c t m e n t ) , 这 样 使 我 们 的 全 部 土 地 回 复 制 度 完 全 建 筑 在 一 个

    法 律 拟 制 上 。

    法 院 也 用 区 分 “ 法 律 ” 和 “ 衡 平 ” 的 方 法 来 有 力 地 帮 助

    形 成 和 改 变 有 关 财 产 所 有 权 的 各 种 概 念 , 法 律 和 衡 平 间 的 区

    分 在 最 初 出 现 时 通 常 表 现 为 管 辖 权 上 的 区 分 。 在 英 国 , 可 以

    衡 平 的 财 产 只 是 受 “ 衡 平 法 院 ” 管 辖 的 财 产 。 在 罗 马 , “ 裁 判官 告 令 ” 采 用 新 的 原 则 时 在 外 表 上 往 往 是 用 允 许 在 某 种 情 况

    下 可 以 提 出 一 种 特 殊 诉 讼 或 一 种 特 殊 抗 辩 的 形 式 ; 因 此 , 罗

    马 法 上 的 ·

    可 ·

    衡 ·

    平 财 产 ( p r o p e r t y   i n   b o n i s ) 是 以 “ 告 令 ” 为

    根 据 的 完 全 由 救 济 方 法 保 护 的 财 产 。 保 全 衡 平 权 利 、 使 不 因

    法 律 所 有 人 的 请 求 而 发 止 的 机 构 , 在 两 种 制 度 中 似 乎 略 有 不

    同 。 在 我 们 的 制 度 中 , 它 们 的 独 立 性 靠 “ 衡 平 法 院 ” 的 “ 禁

    状 ” 而 保 全 。 在 罗 马 制 度 中 , 既 然 “ 法 律 ” 和 “ 衡 平 ” 还 没

    有 巩 固 , 并 且 由 同 一 法 院 执 行 , 就 不 需 要 “ 禁 状 ” , 只 须 “ 高

    级 官 吏 ” 简 单 地 拒 绝 把 “ 市 民 法 所 有 人 ” 能 凭 而 获 得 在 衡 平

    法 上 属 于 别 人 的 财 产 的 那 些 诉 讼 和 抗 辩 给 与 他 们 即 可 。 但 两

    个 制 度 在 实 际 的 执 行 上 , 是 几 乎 相 同 的 。 它 们 都 用 了 不 同 的

    手 续 程 序 , 以 一 种 暂 时 成 立 来 保 存 新 的 财 产 形 式 , 直 到 这 种

    新 的 财 产 形 式 为 全 部 法 律 所 承 认 。 用 了 这 种 方 法 , 罗 马 “ 裁

    判 官 ” 以 一 种 即 时 的 财 产 权 给 与 因 仅 仅 送 达 而 取 得 “ 要 式 交

    易 物 ” 的 人 , 不 必 等 待 “ 取 得 时 效 ” 的 成 熟 。 同 样 , 他 及 时

    承 认 最 初 仅 作 为 一 个 “ 受 托 人 ” 或 受 寄 人 的 抵 押 权 人 , 以 及

    “ 永 佃 人 ” ( E m p h y t e u t a ) 或 偿 付 一 定 永 久 佃 租 的 佃 农 , 有 所

    有 权 。 和 这 个 发 展 过 程 相 平 行 ; 英 国 衡 平 法 院 为 “ 抵 押 人 ” 、

    为 “ 信 托 受 益 人 ” ( C e s t u i   q u e   T r u s t ) 为 享 有 特 种 授 产 的

    已 婚 妇 女 , 以 及 为 还 没 有 获 得 一 种 完 全 法 律 所 有 权 的 “ 买 受

    人 ” , 创 设 一 种 特 殊 的 所 有 权 。 在 这 一 切 事 例 中 , 显 然 是 新 的

    所 有 权 形 式 被 承 认 了 并 保 存 了 。 但 是 , 在 英 国 和 罗 马 , “ 财

    产 ” 间 接 地 受 到 衡 平 影 响 的 , 真 不 下 千 百 种 之 多 。 衡 平 的 著

    者 利 用 他 们 手 中 掌 握 的 有 力 工 具 , 向 法 律 学 的 各 个 角 落 里 推

    进 , 他 们 必 然 地 要 遇 到 、 触 及 并 且 多 少 在 实 质 上 改 变 财 产 法律 。 在 前 面 我 谈 到 某 些 古 代 法 律 特 点 和 方 法 曾 有 力 地 影 响 着

    所 有 权 的 历 史 时 , 我 的 意 见 应 被 理 解 为 , 它 们 的 最 大 影 响 是

    在 把 改 进 的 暗 示 和 提 示 注 入 到 衡 平 制 度 制 造 者 所 呼 吸 的 精 神

    空 气 中 。

    但 是 要 描 述 “ 衡 平 法 ” 对 “ 所 有 权 ” 发 生 的 全 部 影 响 , 就

    必 须 把 它 的 历 史 一 直 写 到 我 们 现 在 为 止 。 我 所 以 提 到 它 , 主

    要 因 为 有 几 位 可 尊 敬 的 当 代 著 者 曾 以 为 : 从 罗 马 人 把 “ 衡

    平 ” 财 产 从 “ 法 律 ” 财 产 中 分 离 开 来 这 件 事 情 中 , 我 们 获 得

    了 使 中 世 纪 法 律 对 于 “ 所 有 权 ” 持 有 的 概 念 显 然 有 别 于 罗 马

    帝 国 法 律 所 持 有 概 念 的 线 索 。 封 建 时 代 概 念 的 主 要 特 点 , 是

    它 承 认 一 个 双 重 所 有 权 , 即 封 建 地 主 所 有 的 高 级 所 有 权 以 及

    同 时 存 在 的 佃 农 的 低 级 财 产 权 或 地 权 。 有 人 认 为 这 种 双 重 所

    有 权 非 常 象 罗 马 人 把 财 产 权 概 括 地 区 分 ·

    为 ·

    公 ·

    民 的 或 法 律 的 ,

    以 及 ( 用 一 个 后 来 的 名 词 ) ·

    有 ·

    使 ·

    用 ·

    权 ·

    的 ( B o n i t a r i a n ) 或 可 衡

    平 的 。 该 雅 士 也 把 ·

    完 ·

    全 ·

    所 ·

    有 ·

    权 分 裂 为 两 个 部 分 作 为 罗 马 法 律

    的 一 个 特 点 , 与 其 他 民 族 所 熟 悉 的 完 全 或 自 主 财 产 所 有 权 成

    为 明 白 的 对 比 。 诚 然 , 查 斯 丁 尼 安 把 完 全 所 有 权 重 新 合 而 为

    一 , 但 蛮 族 在 这 样 许 多 世 纪 中 所 接 触 到 的 是 西 罗 马 帝 国 经 过

    部 分 改 革 的 制 度 而 不 是 查 斯 丁 尼 安 的 法 律 学 。 当 蛮 族 居 留 在

    帝 国 的 边 缘 上 时 , 很 可 能 他 们 学 到 了 这 种 分 划 , 后 来 便 产 生

    了 显 著 的 后 果 。 我 们 虽 然 同 意 这 种 理 论 , 但 无 论 如 何 必 须 承

    认 , 在 各 种 蛮 族 习 惯 中 所 含 有 的 罗 马 法 因 素 到 现 在 为 止 , 还

    研 究 得 很 不 完 全 。 所 有 解 释 封 建 制 度 的 各 种 错 误 的 或 不 充 分

    的 理 论 , 在 它 们 相 互 之 间 有 一 点 类 似 的 倾 向 , 就 是 忽 略 了 包

    含 在 封 建 制 度 结 构 中 的 这 种 特 殊 要 素 。 在 这 个 国 家 中 为 一 般人 所 追 随 的 前 辈 研 究 者 , 都 特 别 着 重 封 建 制 度 逐 渐 从 长 成 到

    成 熟 这 个 混 乱 期 间 内 的 各 种 情 况 ; 后 来 , 在 已 经 存 在 的 那 些

    错 误 中 又 加 添 了 一 个 新 的 错 误 的 来 源 , 这 就 是 民 族 骄 傲 , 它

    使 日 耳 曼 的 著 者 过 分 夸 大 其 祖 先 早 在 他 们 来 到 罗 马 世 界 之 前

    就 已 建 立 起 了 的 社 会 组 织 的 完 整 性 。 有 一 二 位 英 国 研 究 者 虽

    能 从 正 确 的 方 向 来 寻 求 封 建 制 度 的 基 础 , 但 他 们 的 考 察 仍 旧

    没 有 得 到 任 何 可 以 令 人 满 意 的 结 果 , 这 或 者 是 由 于 他 们 过 于

    专 心 地 从 查 斯 丁 尼 安 的 编 纂 中 寻 求 类 比 , 或 者 由 于 他 们 把 注

    意 力 局 限 于 现 在 被 发 现 附 在 现 存 的 蛮 族 法 典 上 的 罗 马 法 纲 要

    上 。 但 是 , 如 果 罗 马 法 律 学 的 确 对 蛮 族 社 会 有 任 何 影 响 , 则

    绝 大 部 分 影 响 的 产 生 应 该 在 查 斯 丁 尼 安 立 法 以 前 , 也 就 是 这

    些 纲 要 着 手 编 辑 之 前 。 我 认 为 , 在 蛮 族 惯 例 这 个 瘦 削 的 骨 骼

    上 被 以 肌 肉 的 , 不 是 经 过 改 革 的 和 经 过 提 炼 的 查 斯 丁 尼 安 法

    律 学 , 而 是 流 行 在 西 罗 马 帝 国 的 以 及 东 罗 马 帝 国 ·

    民 ·

    法 ·

    大 ·

    全 所

    没 有 能 代 替 的 未 经 整 理 的 体 系 。 变 更 的 发 生 , 应 该 假 限 定 在

    日 耳 曼 部 落 作 为 征 服 者 而 占 有 罗 马 领 土 的 任 何 部 分 之 前 , 因

    此 , 也 就 是 远 在 日 耳 曼 君 主 为 供 罗 马 臣 民 之 用 下 令 起 卓 罗 马

    法 辑 要 之 前 。 凡 是 能 体 会 到 古 代 法 律 和 发 达 的 法 律 之 间 的 差

    别 的 每 一 个 人 都 会 感 觉 到 有 这 类 假 定 的 必 要 。 遗 存 的 ·

    蛮 ·

    族 ·

    ·

    律 虽 然 是 粗 糙 的 , 但 从 它 们 纯 粹 源 自 蛮 族 的 理 论 来 看 , 还 不

    是 太 粗 糙 的 ; 我 们 也 没 有 理 由 认 为 我 们 在 文 字 记 录 中 所 看 到

    的 已 超 过 了 当 时 在 胜 利 部 落 的 成 员 自 己 中 间 所 实 行 的 各 种 规

    定 。 如 果 我 们 能 有 办 法 使 我 们 相 信 在 蛮 族 制 度 中 已 经 存 在 着

    已 贬 低 了 价 值 的 罗 马 法 的 大 量 成 分 , 则 我 们 就 有 可 能 解 除 一

    个 严 重 的 困 难 。 征 服 者 的 日 耳 曼 法 律 和 其 臣 民 的 罗 马 法 律 恐不 可 能 合 并 起 来 , 如 果 在 这 两 种 法 律 相 互 之 间 不 具 有 比 精 炼法 律 学 和 蛮 族 习 惯 中 间 通 常 有 的 更 多 的 亲 和 力 的 话 。 很 可 能 ,蛮 族 的 法 典 在 表 面 上 虽 然 很 古 , 却 只 是 真 正 原 始 的 惯 例 和 半

    省 略 的 罗 马 规 定 的 一 种 混 合 物 , 正 是 这 种 外 国 原 素 使 它 们 和

    罗 马 法 律 学 能 合 并 起 来 , 而 当 时 的 罗 马 法 律 学 其 精 致 程 度 也已 稍 逊 于 西 罗 马 帝 国 诸 皇 帝 治 下 所 获 得 的 了 。

    虽 然 这 一 切 都 应 该 承 认 , 但 是 却 有 几 种 理 由 使 封 建 形 式的 所 有 权 不 象 是 罗 马 的 双 重 所 有 权 所 直 接 提 示 的 。 法 律 上 的财 产 权 和 衡 平 的 财 产 权 之 间 的 区 别 , 看 起 来 很 微 妙 , 极少 可能 为 蛮 族 所 理 解 ; 更 有 进 者 , 除 非 “ 法 院 ” 已 经 正 常 进 行 工作 , 这 是 很 难 被 人 懂 得 的 。 但 反 对 这 理 论 的 最 强 有 力 的 理 由是 , 在 罗 马 法 中 存 在 一 种 形 式 的 财 产 权 — — 这 的 确 是 “ 衡平 ” 的 一 种 产 物 — — 可 以 用 来 非 常 简 单 地 说 明 从 一 套 思 想 转变 到 另 一 套 思 想 的 过 渡 。 这 种 财 产 权 就 是 “ 永 佃 权 ” ( E m p h y At e u s i s ) , 虽 然 关 于 它 把 封 建 所 有 权 介 绍 到 世 界 上 来 时 所 作 出的 确 切 助 力 , 我 们 知 道 得 很 少 , 但 中 世 纪 的 “ 封 地 ” 就 常 常是 建 筑 在 这 上 面 的 。 “ 永 佃 权 ” 虽 在 当 时 也 许 还 没 有 以 它 的 这个 希 腊 名 称 为 人 所 知 道 , 仅 却 的 确 标 志 着 最 后 引 导 到 封 建 主义 的 一 种 思 潮 中 的 一 个 阶 段 。 在 罗 马 史 中 , 第 一 次 提 到 大 地产 , 是 在 我 们 研 究 到 罗 马 的 贵 族 财 产 时 , 其 规 模 之 大 绝 非 一个 “ 家 父 ” 连 同 其 子 嗣 和 奴 隶 全 家 所 能 耕 种 的 。 这 些 大 财 产所 有 人 似 乎 完 全 不 知 道 有 自 由 佃 农 耕 种 的 制 度 。 他 们 的大地产 ( l a t i f u n d i a ) 一 般 都 是 由 奴 隶 队 在 监 工 之 下 进 行 工 作 , 监工 本 身 可 能 是 奴 隶 或 自 由 人 ; 当 时 试 行 的 唯 一 组 织 , 就 是 把低 级 奴 隶 分 成 为 许 多 小 团 体 , 使 他 们 成 为 较 好 的 和 较 可 信 任的 那 些 奴 隶 的特有产 , 因 而 也 就 使 那 些 较 好 的 和 较 可 信 任 的奴 隶 关 心 他 们 的 工 作 效 率 。 可 是 , 这 类 制 度 对 于 有 一 种 土 地所 有 人 即 “ 市 政 当 局 ” 特 别 不 利 。 意 大 利 的 官 吏 从 事 于 罗 马行 政 的 往 往 调 动 迅 速 频 繁 ; 因 此 由 一 个 意 大 利 法 人 来 管理 广大 土 地 必 定 是 非 常 不 够 好 的 。 因 此 , 市 政 当 局 开 始 把纳税地( a g r i v e c t i g u l e s ) 出 租 , 换 言 之 , 即 把 土 地 以 一 定 的 租 金 、 在某 种 条 件 下 、 永 久 租 与 一 个 自 由 佃 农 。 这 个 办 法 后 来 为个人所 有 者 广 泛 模 仿 , 而 佃 农 和 所 有 人 的 关 系 原 来 是 由 契约决定的 , 后 来 为 “ 裁 判 官 ” 所 承 认 , 认 为 佃 农 也 具 有 一 种 有 限 的所 有 权 , 这 在 后 来 就 成 为 “ 永 佃 权 ” 。 从 这 时 起 , 租 地的历史分 为 两 大 支 流 。 在 我 们 对 于 罗 马 帝 国 记 录 最 不 完 全 的一段长时 期 内 , 那 时 罗 马 大 家 族 的 奴 隶 队 逐 渐 转 化 成 为土著农夫 , 他们 的 来 源 和 地 位 构 成 了 全 部 历 史 中 最 暧 昧 问 题 之 一 。 我 们 不妨 这 样 来 猜 测 , 即 他 们 中 一 部 分 来 自 奴 隶 的 上 升 , 一 部 分 来自 自 由 农 民 的 降 格 ; 同 时 他 们 也 证 明 了 罗 马 帝 国 的 富 人阶级逐 渐 注 意 到 耕 种 者 对 于 土 地 的 出 产 物 有 一 种 利 益 时 就 可 以 使土 地 财 产 的 价 值 增 多 。 我 们 知 道 , 他 们 的 服 役 是 属 于 土 地 的 ;这 种 服 役 性 质 并 不 完 全 具 有 绝 对 奴 隶 状 态 的 许 多 特 征 ; 并 且他 们 只 要 在 每 年 收 获 量 中 以 一 定 的 部 分 付 给 地 主 就 可 以 免 除服 役 。 我 们 也 知 道 , 他 们 经 历 了 古 代 世 界 和 现 代 世 界 中 一 切社 会 的 变 化 而 被 保 存 下 来 , 他 们 虽 然 包 括 在 封 建 结 构 的 较 低级 的 地 位 , 但 他 们 在 许 多 国 家 中 继 续 以 他 们 曾 付 给 罗 马土地所有人 ( d o m i n u s ) 的 完 全 同 样 数 量 的 贡 税 交 与 地 主 , 而 从 土著 农 夫 之 中 的 一 个 特 殊 阶 层 、 即 为 其 所 有 人 保 留 一 半 农 产物的分益土著农夫 ( c o l o n i   m e d i e t a r i ) , 传 下 来 了分益 佃 农( m e t a y e r   t e n a n t r y ) , 几 乎 所 有 欧 洲 南 部 的 土 地 到 现 在 为 止仍 旧 由 这 些 人 耕 种 着 。 在 另 一 方 面 , 如 果 我 们 可 以 这 样 来 理解 “ 民 法 大 全 中 ” 关 于 它 的 暗 示 的 话 , 那 末 “ 永 佃 权 ” 可 以成 为 财 产 权 的 一 种 人 人 欢 迎 和 有 益 的 变 更 ; 并 且 可 以 设 想 , 凡有 自 由 农 民 存 在 的 地 方 , 支 配 着 他 们 在 土 地 上 的 利 益 的 , 就是 这 种 租 地 制 。 前 面 已 经 说 过 , “ 裁 判 官 ” 把 永 佃 人 认 为 一 个真 正 的 所 有 人 。 在 被 驱 逐 时 , 他 可 以 用 “ 物 权 诉 讼 ” 来 争取恢 复 , 这 是 所 有 权 的 明 显 的 标 志 , 并 且 只 要 他 准 期 清 偿 租 金( c a n o n ) 就 可 以 受 到 保 护 , 不 受 租 借 人 的 干 扰 。 但 在 同 时 , 我 们 不 能 以 为 租 借 人 的 所 有 权 已 经 消 灭 或 是 停 止 了 。 他 的 所 有权 仍 旧 存 在 , 因 为 他 在 不 付 租 金 时 就 有 权 收 回 租 地 , 在 出 卖时 有 先 买 权 , 并 且 对 于 耕 种 的 方 式 有 一 定 的 控 制 权 。 因 此 , 我们 可 以 把 “ 永 佃 权 ” 作 为 一 个 显 著 的 双 重 所 有 权 的 例 子 ,这种 双 重 所 有 权 是 封 建 财 产 权 的 特 点 , 同 时 , 这 种 例 子 也比法律 的 和 衡 平 的 权 利 并 列 要 简 单 得 多 , 并 且 容 易 摹 仿 得 多 。 可是 。 罗 马 租 地 史 并 不 到 此 为 止 。 我 们 有 明 显 的 证 据 , 证明在沿 莱 因 河 和 多 瑙 河 一 带 是 期 保 卫 着 帝 国 边 疆 以 反 抗 蛮族的各大 堡 垒 之 间 , 有 连 绵 不 断 的 狭 长 的 田 地 , 称 为边界地 ( a g r i l i m i t r o p h i ) 的 , 向 由 罗 马 军 队 中 的 久 戍 的 兵 士 根 据 “ 永 佃权 ” 的 条 件 占 有 着 。 这 里 也 有 一 种 双 重 所 有 权 。 罗 马 国 家 是土 地 的 地 主 , 士 兵 们 只 要 随 时 准 备 着 在 边 境 危 急 时 应 征 入 伍服 役 , 即 能 耕 种 土 地 而 不 受 侵 扰 。 事 实 上 , 一 种 非 常 类 似 奥地 利 - 土 耳 其 边 境 军 队 屯 垦 制 度 的 卫 戍 职 守 代 替 了 普 通“永佃 权 ” 人 应 尽 的 清 偿 租 金 的 义 务 。 我 们 不 可 能 怀 疑 : 这 就 是建 立 封 建 主 义 的 蛮 族 君 主 所 抄 袭 的 先 例 。 他 们 目 睹 这 种 制 度有 百 余 年 , 并 且 我 们 必 须 记 着 , 有 许 多 守 卫 着 边 境 的 老 兵 本身 就 是 蛮 族 的 后 裔 , 他 们 说 的 也 许 是 日 耳 曼 语 言 。 他 们 接 近着 这 样 容 易 模 仿 的 一 个 模 型 , 这 不 但 使 佛 兰 克 和 论 巴 德 的 君主 们 从 此 获 得 了 把 公 有 领 地 划 出 一 部 分 赐 与 其 从 者 以 换 取 军役 的 想 法 ; 同 时 或 许 也 说 明 了 这 种 趋 势 , 即 这 种 “ 采 地 ” 很快 就 成 为 世 袭 的 , 因 为 一 个 “ 永 佃 权 ” 虽 然 可 能 是 根 据 原 来契 约 的 条 件 创 造 出 来 的 , 但 按 诸 常 理 它 却 是 传 给 受 让 人 的 继承 人 的 。 诚 然 , 采 地 的 持 有 人 , 以 及 较 近 时 期 由 采 地 变 成 的那 种 封 地 的 封 建 主 , 似 乎 都 负 有 某 种 为 屯 军 所 不 致 有 的 和“ 永 佃 权 人 ” 所 必 然 不 会 有 的 劳 役 。 例 如 对 于 高 一 级 的 封 建 主有 尊 敬 和 感 恩 的 义 务 , 有 帮 助 他 置 备 女 儿 嫁 奁 和 为 他 儿 子 准备 武 装 的 责 任 , 在 未 成 年 时 受 他 监 护 的 义 务 , 以 及 许 多 其 他类 似 的 租 地 条 件 , 一 定 都 是 从 罗 马 法 中 “ 庇 护 人 ” 和 “ 自 由民 ” 亦 即 是 “ 前 主 人 ” ( q u o n d a m m a s t e r ) 和 “ 前 奴 隶 ” ( q u o n d a m- s l a v e ) 的 相 互 关 系 依 照 字 面 直 接 借 用 来 的 。 然 而 , 我 们 知道 , 最 早 的 采 地 受 益 人 都 是 君 主 的 个 人 随 从 , 这 个 地 位 在 表面 上 是 很 光 荣 的 , 但 在 初 时 一 定 夹 杂 着 某 种 身 分 低 贱 的 意 味 ,这 是 无 可 争 辩 的 。 在 宫 庭 中 侍 奉 君 主 的 人 放 弃 了 某 种 属 于 绝对 个 人 自 由 的 东 西 , 即 自 主 财 产 所 有 人 最 足 以 骄 傲 的 特 权 。

    第 九 章   契 约 的 早 期 史

    关 于 我 们 所 处 的 时 代 , 能 一 见 而 立 即 同 意 接 受 的 一 般 命

    题 是 这 样 一 个 说 法 , 即 我 们 今 日 的 社 会 和 以 前 历 代 社 会 之 间

    所 存 在 的 主 要 不 同 之 点 ; 乃 在 于 契 约 在 社 会 中 所 占 范 围 的 大

    小 。 这 个 说 法 所 根 据 的 现 象 , 有 些 都 是 常 常 被 提 出 来 受 到 注

    意 、 批 评 和 颂 扬 的 。 我 们 决 不 会 毫 不 经 心 地 不 理 会 到 : 在 无

    数 的 事 例 中 , 旧 的 法 律 是 在 人 出 生 时 就 不 可 改 变 地 确 定 了 一

    个 人 的 社 会 地 位 , 现 代 法 律 则 允 许 他 用 协 议 的 方 法 来 为 其 自

    己 创 设 社 会 地 位 ; 真 的 , 对 于 这 个 规 定 有 几 个 例 外 , 不 断 地

    在 热 烈 愤 慨 下 遭 到 废 弃 。 例 如 , 黑 奴 问 题 , 到 现 在 仍 被 剧 烈

    争 论 着 , 其 真 正 争 执 之 点 是 : 奴 隶 的 身 分 究 竟 是 不 是 属 于 过

    去 的 制 度 , 又 如 雇 主 和 工 人 之 间 能 合 乎 现 代 道 德 的 唯 一 关 系 ,

    究 竟 是 不 是 完 全 由 契 约 决 定 的 一 种 关 系 。 承 认 过 去 和 现 在 之

    间 存 在 这 种 差 别 , 是 最 著 名 的 现 代 思 想 的 实 质 。 可 以 断 言 ,

    “ 政 治 经 济 学 ” 是 今 日 有 相 当 进 步 的 唯 一 伦 理 研 究 部 门 , 它 将

    会 和 生 活 的 事 实 不 相 符 合 , 如 果 “ 强 行 法 ” 对 它 一 度 占 据 的

    领 域 的 绝 大 部 分 不 肯 加 以 放 弃 , 并 且 人 们 不 能 具 有 直 到 最 近

    才 允 许 他 们 有 的 决 定 其 自 己 行 为 规 律 的 一 种 自 由 。 受 到 政 治

    经 济 学 训 练 的 大 多 数 人 都 有 这 样 一 种 偏 见 , 认 为 他 们 的 科 学

    所 根 据 的 一 般 真 理 是 有 可 能 变 为 普 遍 性 的 真 理 的 , 并 且 , 当

    他 们 把 它 作 为 一 种 艺 术 而 运 用 时 , 他 们 一 般 都 着 重 于 扩 大“ 契 约 ” 的 领 域 , 缩 小 “ 强 行 法 ” 的 领 域 , 只 有 在 必 须 依 靠 法

    律 以 强 制 “ 契 约 ” 的 履 行 时 , 才 是 例 外 。 一 些 思 想 家 在 这 种

    思 潮 影 响 下 作 出 的 鼓 动 , 开 始 在 西 方 世 界 中 很 强 烈 地 感 觉 到 。

    立 法 几 乎 已 经 自 己 承 认 它 和 人 类 在 发 现 、 发 明 以 及 大 量 积 累

    财 富 各 方 面 的 活 动 无 法 并 驾 齐 驱 ; 即 使 在 最 不 进 步 的 社 会 中 ,

    法 律 亦 逐 渐 倾 向 于 成 为 一 种 仅 仅 的 表 层 , 在 它 下 面 , 有 一 种

    不 断 在 变 更 着 的 契 约 规 定 的 集 合 , 除 非 为 了 要 强 迫 遵 从 少 数

    基 本 原 理 或 者 为 了 处 罚 违 背 信 用 必 须 诉 求 法 律 外 , 法 律 绝 少

    干 预 这 些 契 约 的 规 定 。

    社 会 研 究 , 因 为 它 们 必 须 依 靠 对 法 律 现 象 的 考 究 , 是 在

    一 种 非 常 落 后 的 状 态 中 , 因 此 , 我 们 发 现 这 些 真 理 不 为 今 天

    流 行 着 的 有 关 社 会 进 步 的 日 常 用 语 所 承 认 , 是 不 足 为 奇 的 。 这

    些 日 常 用 语 比 较 符 合 我 们 的 偏 见 , 而 不 符 合 我 们 的 信 念 。 当

    “ 契 约 ” 所 根 据 的 道 德 成 为 问 题 的 时 候 , 绝 大 多 数 的 人 都 更 强

    有 力 地 不 顾 把 道 德 认 为 是 进 步 的 , 我 们 中 有 许 多 人 几 乎 本 能

    地 不 愿 承 认 我 们 同 胞 所 有 的 善 意 和 信 任 , 会 比 古 时 代 更 为 广

    泛 传 布 , 也 不 愿 承 认 我 们 当 代 的 礼 仪 中 有 能 和 古 代 世 界 中 的

    忠 诚 相 比 拟 的 东 西 。 有 的 时 候 , 这 些 先 人 之 见 的 声 势 为 诈 欺

    行 为 所 大 大 加 强 , 这 种 诈 欺 行 为 是 在 它 们 被 目 睹 之 前 所 未 曾

    听 到 过 的 , 并 且 以 其 犯 罪 行 为 而 使 人 震 骇 , 更 以 其 复 杂 而 令

    人 惊 异 。 但 这 些 欺 诈 行 为 的 性 质 明 白 地 显 示 出 : 在 它 们 成 为

    可 能 之 前 , 它 们 所 破 坏 的 道 德 义 务 必 定 已 超 过 了 一 定 比 例 的

    发 展 。 由 于 多 数 人 笃 守 信 义 , 就 给 了 少 数 人 不 顾 信 义 的 方 便 ,

    因 此 , 当 巨 大 的 不 诚 实 的 事 件 发 生 时 , 必 然 的 结 论 是 , 在 一

    般 的 交 易 中 都 显 现 出 审 慎 的 正 直 , 只 在 特 殊 情 形 中 才 予 犯 法者 以 可 乘 之 机 。 如 果 我 们 坚 持 要 从 法 律 学 上 的 反 映 来 看 道 德

    史 , 并 且 把 我 们 的 眼 光 向 着 “ 犯 罪 ” 法 而 不 是 向 着 “ 契 约 ” 法 ,

    则 我 们 必 须 细 心 谨 慎 , 才 不 致 错 误 。 最 古 罗 马 法 所 处 理 的 唯

    一 形 式 的 不 诚 实 , 是 “ 窃 盗 罪 ” 。 在 我 写 本 书 的 时 候 , 英 国 刑

    法 中 最 新 的 一 章 , 是 企 图 为 “ 受 托 人 ” 的 欺 诈 行 为 作 出 处 罚

    的 规 定 。 从 这 对 比 中 所 可 能 得 到 的 正 当 推 论 , 并 不 是 原 始 罗

    马 人 比 我 们 有 更 高 的 道 德 观 念 。 我 们 应 该 说 , 在 他 们 和 我 们

    相 隔 开 的 时 代 中 间 , 道 德 已 经 从 一 个 很 粗 浅 的 概 念 进 步 到 一

    种 高 度 精 炼 的 概 念 — — 从 把 财 产 权 视 为 绝 对 神 圣 , 发 展 到 把

    仅 仅 由 于 片 面 信 用 而 产 生 的 权 利 视 为 有 权 受 到 刑 事 法 律 的 保

    护 。

    法 学 家 的 各 种 明 确 理 论 , 在 这 一 点 上 , 并 不 比 普 通 人 的

    意 见 更 接 近 真 理 。 试 从 罗 马 法 律 家 的 见 解 开 始 , 我 们 发 现 他

    们 的 见 解 和 道 德 及 法 律 进 步 的 真 正 历 史 并 不 符 合 。 在 有 一 类

    的 契 约 中 , 以 缔 约 两 造 的 善 意 担 保 为 唯 一 要 件 , 这 种 契 约 他

    们 特 别 称 之 为 “ 万 民 法 契 约 ” ( C o n t r a c t s   j u r i s   g e n t i u m ) 。

    并 且 , 虽 然 这 些 契 约 无 疑 地 是 罗 马 制 度 中 最 迟 产 生 的 , 但 其

    所 用 的 用 语 , 如 果 我 们 可 以 从 中 吸 取 其 含 义 的 话 , 实 包 含 着 :

    这 些 契 约 比 在 罗 马 法 中 处 理 的 某 种 其 他 形 式 的 约 定 还 要 古

    远 , 在 罗 马 法 中 忽 视 一 个 专 门 手 续 程 序 , 就 要 像 误 会 或 欺 骗

    一 样 损 害 到 责 任 。 然 而 所 谓 它 们 是 古 远 的 说 法 , 是 模 糊 的 、 暧

    昧 的 , 是 只 能 通 过 “ 现 在 ” 方 能 理 解 的 ; 所 谓 “ 国 际 法 契

    约 ” 被 明 白 地 看 作 人 类 在 “ 自 然 状 态 ” 下 所 知 道 的 一 种 “ 契

    约 ” , 也 要 到 罗 马 法 律 家 的 用 语 变 成 了 对 罗 马 法 律 家 的 思 想 方

    式 已 不 再 能 理 解 的 一 个 时 代 的 用 语 之 后 才 能 理 解 。 卢 梭 兼 有了 法 律 上 的 和 通 俗 的 错 误 。 在 “ 论 艺 术 和 科 学 对 道 德 的 影响 ”— — 这 是 他 作 品 中 引 人 注 意 的 第 一 部 ,并 且 是 他 最 无 保 留 地 申 述 他 的 意 见 使 他 成 为 一 个 学 派 首 创 人的 一 篇 作 品 — — 中 , 他 一 再 指 出 古 波 斯 人 的 诚 实 和 善 意 , 认为 这 些 是 原 始 人 天 真 的 特 征 , 已 经 逐 渐 为 文 明 所 消 灭 了 的 ; 到

    一 个 较 后 的 时 期 , 他 把 他 所 有 理 论 完 全 放 在 一 个 原 始 “ 社 会

    契 约 ” 学 理 的 基 础 上 。 所 谓 “ 社 会 契 约 ” , 是 我 们 正 在 讨 论 的

    错 误 所 形 成 的 最 有 系 统 的 一 种 形 式 。 这 个 理 论 虽 然 为 政 治 热

    情 所 抚 育 而 趋 于 重 要 , 但 所 有 它 的 营 养 则 完 全 来 自 法 律 学 的

    纯 理 论 。 首 先 受 它 吸 引 的 著 名 英 国 人 士 所 以 重 视 它 , 主 要 是

    由 于 可 以 在 政 治 上 利 用 它 , 但 是 , 正 象 我 现 在 解 释 的 , 如 果

    政 治 家 不 是 长 期 地 用 法 律 用 语 来 进 行 争 辩 , 则 他 们 将 决 不 可

    能 达 到 它 。 同 时 这 个 理 论 的 英 国 著 者 也 不 是 对 于 这 理 论 的 深

    远 影 响 茫 然 不 见 的 , 因 为 法 国 人 就 是 经 过 这 种 推 荐 而 承 继 到

    它 的 。 法 国 人 的 著 作 显 示 出 : 他 们 认 为 这 个 理 论 可 以 用 来 说

    明 一 切 政 治 现 象 , 同 时 也 可 以 说 明 一 切 社 会 现 象 。 他 们 看 到

    在 他 们 时 代 中 已 经 非 常 触 目 的 事 实 , 即 人 类 所 遵 守 的 现 实 法

    规 中 , 比 较 大 的 部 分 都 是 由 “ 契 约 ” 设 定 的 , 只 有 少 数 是 由

    “ 强 行 法 ” 设 定 的 。 但 是 , 他 们 对 于 法 律 学 中 这 两 个 要 素 的 历

    史 关 系 , 或 者 是 一 无 所 知 , 或 者 是 漠 不 关 心 。 因 此 , 他 们 提

    出 一 切 “ 法 律 ” 源 自 “ 契 约 ” 的 理 论 , 其 目 的 是 在 满 足 他 们

    的 尝 试 , 要 把 所 有 法 律 学 归 因 于 一 个 一 致 渊 源 的 纯 理 论 , 同

    时 也 在 规 避 主 张 “ 强 行 法 ” 来 自 神 授 的 各 种 学 理 。 在 另 一 个

    思 想 阶 段 中 , 他 们 可 能 满 足 于 把 他 们 的 理 论 停 留 在 一 个 巧 妙假 设 或 一 个 便 利 的 口 头 公 式 的 情 况 中 。 但 这 个 时 代 , 是 在 法

    律 迷 信 的 统 治 之 下 。 “ 自 然 状 态 ” 已 不 再 是 似 是 而 非 的 东 西 了 ,

    因 此 , 在 坚 持 “ 社 会 契 约 ” 是 一 种 历 史 事 实 时 , 就 很 容 易 使

    “ 法 律 ” 起 源 于 契 约 的 理 论 获 得 一 种 虚 伪 的 真 实 性 和 明 确 性 。

    我 们 自 己 的 一 代 已 经 摈 弃 了 这 些 错 误 的 法 律 理 论 , 部 分

    由 于 我 们 已 经 超 过 了 他 们 所 处 的 智 力 状 态 , 部 分 由 于 我 们 已

    经 几 乎 完 全 停 止 再 在 这 类 主 题 上 进 行 推 理 。 喜 爱 研 究 的 人 们

    在 目 前 所 乐 于 从 事 的 工 作 , 以 及 答 复 我 们 祖 先 对 社 会 状 态 起

    源 所 持 纯 理 论 的 工 作 , 是 对 现 在 存 在 和 在 我 们 眼 前 活 动 的 社

    会 进 行 分 析 ; 但 是 , 由 于 缺 少 历 史 的 帮 助 , 这 种 分 析 就 时 常

    退 化 而 成 为 一 种 徒 然 是 好 奇 心 的 活 动 , 并 且 特 别 容 易 使 研 究

    者 不 能 理 解 和 他 所 习 见 的 有 很 大 不 同 的 社 会 状 态 。 用 我 们 自

    己 时 代 的 道 德 观 念 来 评 价 其 他 时 代 的 人 们 , 其 错 误 正 如 假 定

    现 代 社 会 机 器 中 的 每 一 个 轮 子 、 每 一 只 螺 钉 在 较 原 始 的 社 会

    中 都 有 其 相 对 物 的 那 样 错 误 。 在 用 现 代 风 格 写 成 的 历 史 著 作

    中 , 这 类 印 象 繁 衍 很 广 , 并 且 都 很 巧 妙 地 掩 盖 着 它 们 自 己 ; 但

    是 我 在 法 律 学 的 领 域 中 也 发 现 了 它 们 的 痕 迹 , 如 一 般 对 孟 德

    斯 鸠 穿 插 在 其 “ 波 斯 人 信 札 ”中 有 关

    “ 穴 居 人 ” ( T r o g l o d y t e s ) 的 小 寓 言 所 作 的 颂 扬 中 。 据 说 “ 穴居 人 ” 是 一 种 人 , 由 于 他 们 系 统 地 破 坏 其 “ 契 约 ” , 因 而 全 部

    遭 受 灭 亡 。 如 果 这 个 故 事 表 示 着 著 者 意 中 的 道 德 观 念 , 并 且

    是 用 以 暴 露 这 一 世 纪 和 上 一 个 世 纪 曾 受 到 其 威 胁 的 一 种 反 社

    会 异 端 , 这 诚 然 是 无 可 指 摘 的 ; 但 如 果 由 它 而 得 到 的 推 论 是 :

    一 个 社 会 在 允 约 和 合 意 上 如 果 没 有 给 予 一 种 神 圣 性 , 而 这 种

    神 圣 性 与 一 个 成 熟 文 明 所 给 予 的 尊 敬 相 类 似 , 这 个 社 会 就 不可 能 结 合 在 一 起 , 则 它 所 含 有 的 错 误 将 是 非 常 严 重 的 , 它 将使 我 们 对 于 法 律 史 不 能 作 出 正 确 的 理 解 。 事 实 是 , “ 穴 居 人 ”

    完 全 没 有 注 意 到 “ 契 约 ” 责 任 , 却 曾 兴 旺 起 来 , 建 立 过 强 有

    力 的 国 家 。 在 原 始 社 会 组 织 中 , 必 须 首 先 了 解 的 一 点 是 , 个

    人 并 不 为 其 自 己 设 定 任 何 权 利 , 也 不 为 其 自 己 设 定 任 何 义 务 。

    他 所 应 遵 守 的 规 则 , 首 先 来 自 他 所 出 生 的 场 所 , 其 次 来 自 他

    作 为 其 中 成 员 的 户 主 所 给 他 的 强 行 命 令 。 在 这 样 制 度 下 , 就

    很 少 有 “ 契 约 ” 活 动 的 余 地 。 同 一 家 族 的 成 员 之 间 ( 我 们 得

    这 样 来 解 释 证 据 ) 是 完 全 不 能 相 互 缔 结 契 约 的 , 对 于 其 从 属

    成 员 中 任 何 一 人 企 图 拘 束 家 族 而 作 出 的 合 意 , 家 族 有 权 置 之

    不 理 。 诚 然 , 家 族 得 与 其 他 家 族 缔 结 契 约 , 族 长 得 与 族 长 缔

    结 契 约 , 但 这 种 交 易 在 性 质 上 和 财 产 的 让 与 相 同 , 并 同 样 地

    有 许 多 繁 文 缛 节 , 只 要 在 履 行 时 忽 略 其 中 一 个 细 节 就 足 以 使

    义 务 归 于 无 效 。 由 于 一 个 人 对 另 外 一 个 人 的 话 加 以 信 赖 而 产

    生 积 极 义 务 , 是 进 步 文 明 最 迟 缓 的 胜 利 品 之 一 。

    无 论 是 “ 古 代 法 ” 或 是 任 何 其 他 证 据 , 都 没 有 告 诉 我 们

    有 一 种 毫 无 “ 契 约 ” 概 念 的 社 会 。 这 种 概 念 在 最 初 出 现 时 , 显

    然 是 极 原 始 的 。 在 可 靠 的 原 始 记 录 中 , 我 们 都 可 以 注 意 到 , 使

    我 们 实 践 一 个 允 约 的 习 性 还 没 有 完 全 发 展 , 种 种 罪 恶 昭 彰 不

    信 不 义 的 行 为 常 被 提 到 , 竟 毫 无 非 难 , 有 时 反 加 以 赞 许 。 例

    如 , 在 荷 马 文 学 中 , 优 烈 锡 士 的 欺 诈 狡 猾 , 好 象 是 和 纳 斯 佗

    ( N e s t o r ) 的 智 虑 明 达 、 海 克 佗 ( H e - c t o r ) 的 坚 毅 不 拔 以 及亚 济 里 斯 ( A c h i l l e s ) 的 英 雄 豪 侠 处 于 同 等 的 一 种 美 德 。 古 代

    法 特 别 使 我 看 到 粗 糙 形 式 的 和 成 熟 时 期 的 “ 契 约 ” 间 存 在 着

    一 个 很 远 的 距 离 。 在 开 始 时 , 法 律 对 于 强 迫 履 行 一 个 允 约 , 并不 加 以 干 预 。 使 法 律 执 有 制 裁 武 器 的 , 不 是 一 个 允 约 , 而 是

    附 着 一 种 庄 严 仪 式 的 允 约 。 仪 式 不 但 和 允 约 本 身 有 同 样 的 重

    要 性 , 仪 式 并 且 还 比 允 约 更 为 重 要 ; 因 为 成 熟 的 法 律 学 着 重

    于 仔 细 分 析 据 供 一 个 特 定 的 口 头 同 意 的 心 理 条 件 , 而 在 古 代

    法 中 则 着 重 于 附 着 在 仪 式 上 的 言 语 和 动 作 。 如 果 有 一 个 形 式

    被 遗 漏 了 或 用 错 了 , 则 誓 约 就 不 能 强 行 , 但 是 , 在 另 一 方 面 ,

    如 果 所 有 形 式 经 表 明 已 完 全 正 确 进 行 , 则 纵 使 以 允 约 是 在 威

    胁 或 欺 骗 之 下 作 出 为 辩 解 , 也 属 徒 然 。 从 这 样 一 种 古 代 的 看

    法 , 转 变 而 成 为 一 个 “ 契 约 ” 的 熟 习 观 念 , 其 转 化 过 程 在 法

    律 学 史 中 是 显 然 可 见 的 。 在 起 初 , 仪 式 中 有 一 个 或 二 个 步 骤

    省 略 了 ; 后 来 其 他 的 也 简 化 了 或 者 在 某 种 条 件 下 忽 略 了 ; 最

    后 , 少 数 特 殊 的 契 约 从 其 他 契 约 中 分 离 出 来 , 准 许 不 经 任 何

    仪 式 而 缔 结 定 约 , 这 种 选 定 的 契 约 都 是 些 社 会 交 往 活 动 和 力

    量 所 依 靠 的 。 心 头 的 约 定 从 繁 文 缛 节 中 迟 缓 地 但 是 非 常 显 著

    地 分 离 出 来 , 并 且 逐 渐 地 成 为 法 学 专 家 兴 趣 集 中 的 唯 一 要 素 。

    这 种 心 头 约 定 通 过 外 界 行 为 而 表 示 , 罗 马 人 称 之 为 一 个 “ 合

    约 ” ( P a c t ) 或 “ 协 议 ” ( C o n v e n t i o n ) ; 当 “ 协 议 ” 一 度 视 为

    一 个 “ 契 约 ” 的 核 心 时 , 在 前 进 中 的 法 律 学 不 久 就 产 生 了 一

    种 倾 向 , 使 契 约 逐 渐 和 其 形 式 和 仪 式 的 外 壳 脱 离 。 在 这 以 后 ,

    形 式 只 在 为 了 要 保 证 真 实 性 和 为 了 要 保 证 谨 慎 和 细 心 时 才 加

    保 留 。 一 个 “ 契 约 ” 的 观 念 是 完 全 地 发 展 了 , 或 者 , 用 罗 马

    人 的 用 语 来 说 , “ 契 约 ” 是 吸 收 在 “ 合 约 ” 中 了 。

    罗 马 法 律 中 这 个 变 更 过 程 的 历 史 , 是 非 常 有 启 发 性 的 。 在

    法 律 学 的 最 初 曙 光 期 , 用 以 表 示 一 个 “ 契 约 ” 的 名 词 是 历 史

    “ 拉 丁 语 法 ” 学 者 很 熟 悉 的 一 个 名 词 。 这 就 是 “ 耐 克 逊 ” , 契约 的 两 造 称 为 “ 耐 克 先 ” ( n e x i , ) , 这 两 个 用 语 必 须 特 别 注 意 ,

    由 于 它 们 所 依 据 的 隐 喻 特 别 持 久 。 在 一 个 契 约 合 意 下 的 人 们

    由 一 个 强 有 力 的 ·

    约 ·

    束 或 ·

    连 ·

    锁 联 结 在 一 起 , 这 个 观 念 一 直 继 续

    着 , 直 到 最 后 影 响 着 罗 马 的 “ 契 约 ” 法 律 学 ; 并 且 由 这 里 顺

    流 而 下 , 它 和 各 种 现 代 观 念 混 合 起 来 。 然 则 在 这 耐 克 逊 或 约

    束 中 , 究 竟 包 括 些 什 么 ? 从 一 个 拉 丁 考 古 学 家 传 下 来 的 一 个

    定 义 , 认 为 ·

    耐 ·

    克 ·

    逊 是 ·

    每 ·

    一 ·

    种 ·

    用 ·

    铜 ·

    片 ·

    和 ·

    衡 ·

    具 ·

    的 ·

    交 ·

    易   ( o m n e q u o d   g e r i t u r   p e r   Es   e t   l i b r a m ) , 这 些 文 字 曾 引 起 了许 多 疑 惑 。 铜 片 和 衡 具 是 “ 曼 企 帕 地 荷 ” 的 著 名 附 属 物 , 即在 前 章 中 描 述 过 的 古 代 仪 式 , 通 过 这 种 仪 式 “ 罗 马 财 产 ” 最高 形 式 中 的 所 有 权 就 由 一 个 人 移 转 到 另 外 一 个 人 。 “ 曼 企 帕 地荷 ” 是 一 种让与 , 因 此 就 发 生 了 一 个 困 难 , 因 为 这 样 的 定 义似 乎 把 “ 契 约 ” 和 “ 让 与 ” 混 淆 起 来 了 , 而 在 法 律 哲 学 上 , 它们 不 仅 仅 是 各 别 的 , 而 且 在 实 际 上 是 相 互 对 立 的 。物权 ( j u s   i n   r e ) 、对世权 ( r i g h t   i n   r e m ) , 即 “ 对 全 世 界 有 效的 ” 权 利 或 “ 财 产 所 有 权 ” , 在 成 熟 法 律 学 的 分 析 中 是 和 人 权  ( j u s   a d   r e m ) 、 对 人 权 ( r i g h t   i n   p e r s o n a m ) , 即 “ 对一 单 独 个 人 或 团 体 有 效 的 ” 权 利 或 债 权 , 有 明 显 的 区 别 的 。

    “ 让 与 ” 转 移 “ 财 产 所 有 权 ” , “ 契 约 ” 创 设 “ 债 权 ” — — 然 则,这 两 者 怎 样 会 包 括 在 同 一 的 名 称 或 同 一 的 一 般 概 念 之 下 ? 这

    和 许 多 相 似 的 困 难 一 样 , 是 由 于 把 显 然 属 于 智 力 发 展 进 步 阶

    段 的 一 种 能 力 , 把 在 实 践 上 混 合 在 一 起 的 各 种 纯 理 论 观 点 加

    以 区 别 的 能 力 , 错 误 地 认 为 属 于 一 个 未 成 形 社 会 的 心 理 状 态

    而 产 生 的 。 我 们 有 不 可 误 解 的 有 关 社 会 事 务 状 态 的 各 种 迹 象 ,

    证 明 “ 让 与 ” 和 “ 契 约 ” 在 实 际 上 是 混 淆 不 分 的 ; 同 时 , 直到 人 们 在 缔 约 和 让 与 中 采 用 一 种 各 别 的 实 践 前 , 这 两 个 概 念的 差 异 从 来 没 有 为 人 们 所 领 会 到 。

    这 里 可 以 看 到 , 我 们 对 古 罗 马 法 已 具 有 足 够 的 知 识 , 使我 们 可 以 提 供 一 些 在 法 律 学 萌 芽 时 代 各 种 法 律 概 念 和 法 律 用语 所 遵 循 的 转 化 方 式 的 大 概 。 它 们 所 经 历 的 变 更 似 乎 是 从 一

    般 到 特 殊 的 一 种 变 更 ; 或 者 , 换 言 之 , 古 代 的 概 念 和 古 代 的

    名 词 是 处 于 逐 渐 专 门 化 的 过 程 中 。 一 个 古 代 的 法 律 概 念 相 当

    于 不 仅 一 个 而 是 几 个 现 代 概 念 。 一 个 古 代 的 专 门 术 语 可 以 用

    来 表 示 许 多 东 西 , 这 些 东 西 在 现 代 法 律 中 分 别 具 有 各 种 不 同

    的 名 称 。 如 果 我 们 研 究 下 一 阶 段 的 法 律 学 史 , 我 们 就 可 以 看

    到 次 要 的 概 念 逐 渐 地 被 解 脱 出 来 , 旧 的 一 般 的 名 称 正 为 特 别

    的 名 称 所 代 替 。 旧 的 一 般 概 念 并 没 有 被 遗 忘 , 但 它 已 不 再 包

    括 它 起 初 包 括 的 一 种 或 几 种 观 点 。 因 此 同 样 的 , 古 代 的 专 门

    术 语 依 旧 存 在 , 但 它 只 执 行 着 它 以 前 一 度 具 有 的 许 多 职 能 中

    的 一 种 。 我 们 可 以 从 许 多 方 面 来 证 明 这 种 现 象 。 例 如 , 各 式

    各 样 的 “ 父 权 ” 在 过 去 曾 一 度 被 认 为 是 属 于 同 一 性 质 的 , 它

    也 无 疑 地 被 归 属 于 一 个 名 称 之 下 。 祖 先 所 行 使 的 权 力 , 不 论

    它 是 对 家 族 或 是 对 物 质 财 产 — — 对 牛 、 羊 、 奴 隶 、 子 女 或 妻— — 行 使 的 统 是 一 样 的 。 我 们 不 能 绝 对 地 确 定 权 力 的 旧 的 罗马 名 称 , 但 我 们 有 强 有 力 的 理 由 相 信 :曼奴斯 ( m a n u s ) 能 表示 各 种 不 同 程 度 的权力 , 就 可 知 道 古 代 对 于权力 的 一 般 名 词

    是曼奴斯 。 但 是 , 当 罗 马 法 稍 稍 进 步 了 后 , 名 称 和 观 念 都 专

    门 化 了 。 “ 权 力 ” 按 照 着 它 所 行 使 的 对 象 而 在 文 字 上 或 在 概 念上 明 确 地 区 分 了 。 对 物 质 商 品 或 奴 隶 行 使 的 权 力 , 成 为完全所有权 — — 对 儿 女 , 称 为家父权 — — , 对 那 些 已 被 他 们 的 祖先 把 他 们 的 劳 役 卖 给 了 别 人 的 自 由 人 , 称 为曼企帕因 — — , 对妻 子 , 则 仍 然 是 曼 奴 斯 。 可 以 看 到 , 旧 的 文 字 并 没 有 完 全 废止 , 只 是 限 制 于 它 以 前 表 示 的 权 限 的 一 种 特 定 的 行 使 上 而 已 。

    这 个 例 子 可 以 使 我 们 理 解 “ 契 约 ” 和 “ 让 与 ” 在 历 史 上 所 发生 的 关 联 的 性 质 。 一 切 要 式 行 为 在 开 始 时 可 能 只 有 一 种 庄 严的 仪 式 , 在 罗 马 , 它 的 名 称 在 过 去 似 乎 就 是耐克逊 。 过 去 在让 与 财 产 时 所 用 的 同 样 形 式 , 后 来 似 乎 就 恰 恰 被 用 于 缔 结 一个 契 约 。 但 经 过 不 多 时 候 , 我 们 到 达 了 这 样 一 个 时 期 , 当 时一 个 “ 契 约 ” 的 观 念 又 被 从 一 个 “ 让 与 ” 的 观 念 中 分 离 了 出来 。 这 样 , 就 发 生 了 一 个 双 重 的 变 化 。 “ 用 铜 片 和 衡 具 ” 的 交易 , 当 它 的 目 的 是 在 移 转 财 产 时 , 采 用 了 一 个 新 的 、 特 殊 的名 称 , “ 曼 企 帕 地 荷 ” 。 而 古 代 的 “ 耐 克 逊 ” 则 仍 旧 用 以 表 示原 来 的 仪 式 , 但 这 样 仪 式 只 被 用 于 使 契 约 庄 严 化 的 特 殊 目 的 。

    当 我 们 说 : 在 古 代 二 种 或 三 种 法 律 概 念 往 往 混 合 为 一 , 我们 的 意 思 并 不 是 在 暗 示 : 在 这 些 包 括 在 一 起 的 几 个 观 念 之 中

    不 可 能 有 一 种 观 念 会 比 其 他 各 种 观 念 古 老 一 些 , 或 者 , 在 几

    个 观 念 形 成 时 , 也 不 可 能 有 一 种 观 念 会 较 其 他 观 念 显 著 地 占

    优 势 , 并 居 于 它 们 之 上 。 为 什 么 一 个 法 律 概 念 会 继 续 长 期 包

    括 几 个 概 念 , 一 个 术 语 会 代 替 几 个 术 语 , 其 理 由 无 疑 地 是 因

    为 在 原 始 社 会 中 , 往 往 在 人 们 有 机 会 注 意 或 给 与 适 当 名 称 之

    前 , 法 律 在 实 践 上 很 早 已 发 生 了 变 化 。 虽 然 我 们 已 说 过 , “ 父

    权 ” 在 最 初 时 并 不 是 因 它 所 行 使 的 对 象 的 不 同 而 有 所 区 分 , 然

    我 确 切 地 感 到 , “ 对 子 女 的 权 力 ” ( P o w e r   o v e r   C h i l d - r e n ) 实 即 是 古 代 “ 权 力 ” 概 念 的 基 础 ; 我 也 深 信 在 最 早 应 用“ 耐 克 逊 ” 时 , 也 即 是 在 原 来 应 用 它 的 人 们 的 心 目 中 , “ 耐 克逊 ” 的 作 用 是 在 使 财 产 的 移 转 有 适 当 的 庄 严 仪 式 。 大 概 “ 耐克 逊 ” 的 略 微 歪 曲 其 原 来 的 职 能 , 最 初 是 为 了 使 它 适 用 于

    “ 契 约 ” , 而 由 于 它 改 变 的 程 度 十 分 轻 微 , 所 以 人 们 长 期 没 有

    觉 察 或 注 意 到 。 旧 的 名 称 仍 旧 保 留 着 , 因 为 人 们 没 有 感 觉 到

    他 们 需 要 一 个 新 的 名 称 。 旧 的 观 念 盘 踞 在 人 们 脑 中 , 因 为 没

    有 人 发 现 有 理 由 要 费 心 来 研 究 它 。 这 种 情 况 , 在 “ 遗 嘱 ” 史

    中 已 有 了 明 白 的 例 证 。 一 个 “ 遗 嘱 ” 在 最 初 只 是 简 单 的 财 产

    移 转 。 只 在 这 种 特 殊 让 与 和 一 切 其 他 让 与 之 间 逐 渐 发 生 了 巨

    大 的 实 践 上 的 差 别 , 才 使 这 种 让 与 被 分 别 对 待 , 即 使 是 这 样 ,

    也 还 需 要 经 过 几 个 世 纪 以 后 , 法 律 改 良 者 才 把 这 名 义 上 的 曼

    企 帕 地 荷 , 作 为 无 用 的 累 赘 而 加 以 清 除 , 并 同 意 在 “ 遗 嘱 ” 中

    除 了 “ 遗 嘱 人 ” 的 明 白 意 思 外 , 其 他 一 切 都 非 必 要 。 不 幸 的

    是 , 我 们 无 法 以 对 “ 遗 嘱 ” 的 早 期 史 的 绝 对 信 心 来 追 溯 “ 契约 ” 的 早 期 史 , 但 我 们 并 非 完 全 没 有 暗 示 , 说 明 契 约 在 最 初出 现 时 是 把耐克逊 放 在 一 种 新 的 应 用 中 , 后 来 通 过 实 际 试 验获 得 了 重 要 效 果 , 被 承 认 为 一 种 各 别 的 交 易 。 下 述 过 程 的 描写 虽 然 是 出 于 臆 测 , 但 并 非 全 无 根 据 。 我 们 试 以 一 次 现 款 买

    卖 作 为 “ 耐 克 逊 ” 的 通 常 形 式 。 出 卖 人 携 带 他 意 欲 处 分 的 财

    产 — — 例 如 一 个 奴 隶 — — 买 受 人 带 来 了 他 用 作 金 钱 的 粗 铜 块— — 还 有 一 个 不 可 缺 少 的 助 手 , 即司秤 , 他 带 来 了 一 个 天 平秤 。 通 过 规 定 手 续 , 奴 隶 被 移 交 给 买 受 人 — — 铜 块 经司秤秤过 , 然 后 移 交 给 出 卖 人 。 在 这 交 易 继 续 进 行 的 过 程 中 , 我 们称 之 为耐克逊 , 买 卖 的 双 方 是 耐 克 先 ; 但 一 当 交 易 完 成 后 ,耐克逊 就 告 中 止 , 出 卖 人 和 买 受 人 即 不 再 具 有 他 们 因 这 暂 时 关

    系 而 产 生 的 名 称 。 在 这 里 , 我 们 试 再 根 据 商 业 史 的 发 展 向 前跨 进 一 步 。 假 定 奴 隶 是 移 转 了 , 但 没 有 付 钱 。 在这 ·

    种 情 况 下 ,

    就 出 卖 人 说 , ·

    耐 ·

    克 ·

    逊 是 完 成 了 , 并 且 当 他 已 移 交 其 财 产 后 , 他

    已 不 再 是 ·

    耐 ·

    克 ·

    苏 ·

    斯 ( n e x u s ) ; 但 就 买 受 人 说 , 耐 克 逊 仍 在 继

    续 着 。 就 他 的 部 分 而 论 , 交 易 还 未 完 成 , 他 仍 被 认 为 是 耐 克

    苏 斯 。 因 此 , 可 以 看 到 , 这 同 一 名 词 在 一 方 面 是 指 财 产 凭 以

    移 转 的 “ 让 与 ” , 在 另 一 方 面 又 是 指 债 务 人 对 于 还 没 有 偿 付 的

    买 价 的 个 人 债 务 。 我 们 还 可 以 更 进 一 步 , 假 设 一 种 程 序 是 完

    全 属 于 形 式 , 在 这 程 序 中 并 ·

    没 ·

    有 ·

    东 ·

    西 移 转 , 也 ·

    没 ·

    有 ·

    东 ·

    西 偿 付 ;

    这 就 表 明 了 一 种 更 高 级 商 业 活 动 的 交 易 , 一 种 ·

    将 ·

    来 ·

    生 ·

    效 ·

    的 ·

    ·

    卖 ·

    契 ·

    约 ( e x e c u t o r y   C o n t r a c t   o f   S a l e ) 。

    如 果 在 一 般 见 解 和 职 业 见 解 中 , 真 的 都 把 一 个 契 约 长 期

    地 认 为 是 一 种 不 ·

    完 ·

    全 ·

    的 ·

    让 ·

    与 , 这 个 真 理 的 重 要 性 是 有 多 种 理

    由 的 。 在 上 一 世 纪 中 , 有 关 人 类 在 自 然 状 态 中 的 各 种 纯 理 论

    被 概 括 为 这 样 一 个 学 理 , 即 “ 在 原 始 社 会 中 财 产 是 不 当 什 么

    的 , 被 重 视 的 只 有 债 务 ” , 这 并 非 是 完 全 不 适 当 的 ; 但 现 在 可

    以 看 到 , 如 果 把 这 个 命 题 颠 倒 过 来 , 可 能 会 更 接 近 于 实 际 。 另

    一 方 面 , 从 历 史 上 考 虑 , “ 让 与 ” 和 “ 契 约 ” 在 原 始 时 代 的 联

    系 , 说 明 了 某 些 常 被 学 者 和 法 学 家 认 为 特 别 难 以 解 释 的 东 西 ,

    我 的 意 思 是 指 : 极 古 法 律 制 度 中 一 般 都 对 于 ·

    债 ·

    务 ·

    人 非 常 苛 酷 ,

    并 给 与 ·

    债 ·

    权 ·

    人 以 过 分 的 权 力 。 当 我 们 一 度 懂 得 了 ·

    耐 ·

    克 ·

    逊 是 被

    人 为 地 延 长 了 以 使 债 务 人 有 一 定 的 时 间 , 我 们 就 可 以 更 好 地

    理 解 他 在 公 众 和 法 律 之 前 的 地 位 。 他 的 负 债 无 疑 地 被 认 为 是

    一 种 变 例 , 而 中 止 付 款 一 般 被 认 为 是 一 种 诡 计 和 对 于 严 格 的

    规 定 的 一 种 歪 曲 。 相 反 的 , 凡 是 在 交 易 中 正 当 地 完 成 其 任 务

    的 人 , 必 为 人 所 尊 重 ; 那 就 很 自 然 的 要 使 他 掌 握 紧 急 的 武 器以 便 强 使 程 序 完 成 , 这 个 程 序 严 格 地 讲 , 是 决 不 应 该 准 许 展

    期 或 迟 延 的 。

    因 此 , “ 耐 克 逊 ” 的 原 意 是 一 种 财 产 让 与 , 在 不 知 不 觉 中

    也 用 来 表 示 一 个 “ 契 约 ” , 并 且 , 在 最 后 , 这 个 字 和 一 个 “ 契

    约 ” 观 念 经 常 发 生 联 系 , 不 得 不 用 一 个 特 定 名 词 即 “ 曼 企 帕

    因 ” 或 “ 曼 企 帕 地 荷 ” 来 表 明 真 正 的 “ 耐 克 逊 ” 或 交 易 , 这

    样 财 产 是 真 正 的 移 转 了 。 现 在 , “ 契 约 ” 便 从 “ 让 与 ” 中 分 离

    出 来 , 它 们 的 历 史 的 第 一 阶 段 于 是 完 成 了 。 但 它 们 发 展 到 这

    样 一 个 时 期 , 即 缔 约 者 的 允 约 要 比 附 带 进 行 的 手 续 程 序 有 更

    高 神 圣 性 的 时 期 , 则 还 有 很 大 一 段 距 离 。 为 了 说 明 这 一 时 期

    中 所 发 生 的 变 化 的 性 质 , 必 须 略 为 越 出 本 文 范 围 之 外 , 研 究

    一 下 罗 马 法 学 专 家 关 于 “ 合 意 ” 的 分 析 。 这 种 分 析 , 是 他 们

    智 慧 最 美 丽 的 纪 念 碑 , 在 这 分 析 中 , 我 只 须 约 略 提 一 下 , 它

    把 “ 债 ” 和 “ 协 议 ” 或 “ 合 约 ” 在 理 论 上 加 以 分 开 。 边 沁 和

    奥 斯 丁 先 生 宣 称 , “ 一 个 契 约 有 两 个 要 素 : 首 先 , 要 约 者 一 造

    表 示 ·

    意 ·

    向 , 要 做 他 约 定 要 做 的 行 为 或 遵 守 他 约 定 要 遵 守 的 不

    行 为 。 其 次 , 是 受 约 者 表 示 他 ·

    预 ·

    期 要 约 者 一 造 履 行 其 提 出 的

    允 约 ” 。 这 在 实 际 上 是 和 罗 马 法 律 家 的 学 理 完 全 相 同 的 , 但 在

    他 们 的 见 解 中 , 这 些 “ 表 示 ” 的 结 果 不 是 一 个 “ 契 约 ” 而 是

    一 个 “ 协 议 ” 或 “ 合 约 ” 。 一 个 “ 合 约 ” 是 个 人 相 互 间 同 意 的

    极 端 产 物 , 它 显 然 还 不 够 成 为 一 个 “ 契 约 ” 。 它 最 后 是 否 会 成

    为 一 个 “ 契 约 ” , 要 看 法 律 是 否 把 一 个 “ 债 ” 附 加 上 去 。 一 个

    “ 契 约 ” 是 一 个 “ 合 约 ” ( 或 “ 协 议 ” ) ·

    加 ·

    上 一 个 “ 债 ” 。 在 这

    个 “ 合 约 ” 还 没 有 附 带 着 “ 债 ” 的 时 候 , 它 称 为 ·

    空 ·

    虚 ( n u d e 或 n a k e d ) 合 约。

    什 么 是 一 个 “ 债 ” ? 罗 马 法 律 家 的 定 义 是 : “ 应 负 担 履 行

    义 务 的 法 锁 ” ( J u r i s   v i n c u l u m , q u o   m e c e s s i t a t e   a d As t r i n g i m u r   a l i c u j u s   s o l v e n d E  r e i ) 。 这 个 定 义 通 过 它 们 所

    根 据 的 共 同 隐 喻 而 把 “ 债 ” 和 “ 耐 克 逊 ” 联 系 起 来 , 并 明 白

    告 诉 我 们 一 个 特 殊 概 念 的 体 系 。 “ 债 ” 是 法 律 用 以 把 人 或 集 体

    的 人 结 合 在 一 起 的 “ 束 缚 ” 或 “ 锁 链 ” , 作 为 某 种 自 愿 行 为 的

    后 果 。 凡 引 起 “ 债 ” 的 效 果 的 行 为 , 主 要 是 那 些 归 类 在 “ 契

    约 ” 和 “ 侵 权 ” 、 “ 合 意 ” 和 ” 损 害 ” 等 题 目 之 下 的 行 为 ; 但

    是 有 许 多 其 他 行 为 能 造 成 类 似 后 果 的 , 却 不 能 包 括 在 一 种 确

    切 分 类 中 。 应 予 注 意 的 是 , 行 为 并 不 是 由 于 任 何 道 德 上 的 必

    要 而 使 它 自 己 负 上 “ 债 ” 的 ; 这 是 由 法 律 根 据 其 充 沛 的 权 力

    而 附 加 上 去 的 , 这 是 非 常 有 必 要 加 以 注 意 的 一 点 , 因 为 “ 市

    民 法 ” 的 现 代 解 释 者 有 时 提 出 了 一 个 不 同 的 学 理 , 并 以 他 们

    自 己 道 德 的 或 形 而 上 学 的 理 论 来 作 为 支 持 。 ·

    法 ·

    锁 的 意 象 沾 染

    了 和 渗 透 了 罗 马 “ 契 约 ” 和 “ 侵 权 ” 法 律 的 每 一 个 部 分 。 法

    律 把 各 当 事 人 拘 束 在 一 起 , ·

    锁 ·

    链 只 有 通 过 称 为 ·

    清 ·

    偿 ( s o l u t i o )

    的 程 序 才 能 解 除 , 清 偿 也 是 一 个 借 喻 的 用 语 , 英 语 中 的 “ 支

    付 ” 只 偶 尔 地 和 它 的 意 义 相 同 。 这 借 喻 的 意 象 借 以 表 现 其 自

    己 的 一 致 性 , 说 明 了 罗 马 法 律 用 语 上 另 一 个 在 其 他 情 况 下 很

    难 解 释 的 特 性 , 即 “ 债 ” 既 表 示 权 利 , 也 表 示 义 务 , 例 如 使

    债 务 清 偿 之 权 以 及 清 偿 债 务 的 义 务 。 事 实 上 罗 马 人 把 “ 法 律

    上 的 锁 链 ” 的 全 貌 放 在 他 们 的 眼 前 , 对 其 一 端 的 重 视 不 多 也

    不 少 于 其 他 一 端 。

    在 进 步 的 罗 马 法 中 , “ 协 议 ” 在 完 成 以 后 , 几 乎 在 所 有 情

    况 下 , 都 立 即 把 “ 债 ” 加 上 去 , 于 是 就 成 为 一 个 “ 契 约 ” ; 这是 契 约 法 必 然 要 趋 向 的 结 果 。 但 为 了 进 一 步 研 究 , 我 们 必 须

    特 别 注 意 其 中 间 阶 段 — — 即 除 了 一 个 完 全 的 合 意 之 外 , 还 需

    要 某 种 东 西 来 吸 引 “ 债 ” 的 阶 段 。 这 个 时 期 正 是 把 契 约 分 成

    四 类 — — 即 “ 口 头 契 约 ” 、 “ 文 书 契 约 ” 、 “ 要 物 契 约 ” 和 “ 诺

    成 契 约 ” ( t h e   V e r b a l , t h e   L i t e r a l , t h e   R e a l , a n d   t h e

      C o n s e n s u a l ) — — 的 著 名 的 罗 马 分 类 法 开 始 应 用 的 时 期 , 在

    这 个 时 期 内 , 这 四 类 “ 契 约 ” 也 是 法 律 所 要 强 制 执 行 的 仅 有

    的 四 类 契 约 。 这 个 分 类 的 意 义 , 在 我 们 理 解 了 把 “ 债 ” 从

    “ 协 议 ” 中 分 离 出 来 的 理 论 后 , 立 即 可 以 理 会 。 每 一 类 的 契 约

    实 际 上 都 是 根 据 某 种 手 续 而 命 名 的 , 这 些 手 续 是 除 了 缔 约 两

    造 仅 仅 的 合 意 以 外 所 必 需 的 。 在 “ 口 头 契 约 ” 中 , 一 待 “ 协

    议 ” 完 成 以 后 , 必 须 要 经 过 一 种 言 辞 的 形 式 才 能 使 法 锁 附 着

    在 它 上 面 。 在 “ 文 书 契 约 ” 中 , 登 入 总 帐 簿 或 记 事 簿 能 使

    “ 协 议 ” 具 有 “ 债 ” 的 效 力 , 在 “ 要 物 契 约 ” 的 情 况 下 , 送 达

    作 为 预 约 主 体 的 “ 物 ” 时 , 才 产 生 同 样 的 结 果 。 总 之 , 在 每

    一 种 情 况 下 , 缔 约 的 两 造 必 须 达 到 一 种 谅 解 ; 但 是 , 如 果 他

    们 不 再 前 进 , 他 们 在 相 互 之 间 即 不 ·

    负 ·

    义 ·

    务 , 不 能 强 迫 履 行 或

    在 违 背 信 约 时 要 求 救 济 。 但 如 果 他 们 遵 守 了 某 种 规 定 的 手 续 ,

    “ 契 约 ” 就 立 即 完 成 , 并 以 所 采 取 的 特 殊 方 式 作 为 它 的 名 称 。

    至 于 这 种 实 践 的 例 外 , 将 在 下 文 中 加 以 详 述 。

    在 前 面 , 我 是 根 据 历 史 顺 序 而 列 举 四 类 “ 契 约 ” 的 , 但

    罗 马 教 科 书 的 著 者 并 不 都 是 一 成 不 变 地 按 照 这 个 顺 序 的 。 “ 口

    头 契 约 ” 是 四 类 契 约 中 最 古 的 一 类 , 并 且 是 原 始 “ 耐 克 逊 ” 最

    早 的 已 知 的 后 裔 , 这 是 毫 无 可 疑 的 。 古 代 采 用 的 “ 口 头 契

    约 ” 有 好 几 种 , 但 其 中 最 重 要 的 、 并 为 我 们 的 权 威 学 者 讨 论到 的 唯 一 的 一 种 是 用约 ·

    定 的 方 法 来 达 成 的 , 所 谓 约 定 , 就 是

    一 “ 问 ” 一 “ 答 ” ; 即 由 要 求 允 约 的 人 提 出 问 题 , 并 由 作 出 允

    约 的 人 给 予 回 答 。 这 个 问 题 和 回 答 , 像 我 刚 才 解 释 过 的 , 构

    成 了 原 始 观 念 中 除 了 有 关 系 的 人 们 的 单 纯 的 合 意 之 外 所 必 需

    的 额 外 要 素 。 它 们 成 为 “ 债 ” 借 以 附 加 上 去 的 媒 介 。 古 代 的

    “ 耐 克 逊 ” 现 在 已 经 传 给 较 成 熟 的 法 律 学 的 , 第 一 件 就 是 锁 链

    的 概 念 , 它 把 缔 约 两 造 结 合 起 来 , 而 这 就 成 为 “ 债 ” 。 其 次 传

    下 来 的 是 仪 式 的 观 念 , 它 伴 随 着 同 时 尊 崇 着 定 约 , 这 个 仪 式

    已 变 化 而 成 为 “ 约 定 ” 。 原 来 “ 耐 克 逊 ” 的 主 要 特 点 是 庄 严 让

    与 , 这 种 庄 严 让 与 转 变 为 单 纯 的 问 题 和 回 答 , 如 果 我 们 没 有

    罗 马 “ 遗 嘱 ” 史 来 启 发 我 们 , 将 始 终 是 一 个 秘 密 。 读 了 那 些

    历 史 , 我 们 可 以 懂 得 正 式 的 “ 让 与 ” 怎 样 先 从 和 手 中 交 易 有

    直 接 关 系 的 手 续 程 序 中 分 离 开 来 , 后 来 又 完 全 都 省 略 了 。 在

    当 时 , “ 约 定 ” 的 问 和 答 既 然 无 疑 地 是 一 种 最 简 单 形 式 的 “ 耐

    克 逊 ” , 我 们 可 以 认 为 这 种 问 和 答 实 早 已 带 有 一 种 专 门 形 式 的

    性 质 。 如 果 认 为 它 们 所 以 为 早 期 的 罗 马 法 律 家 所 欢 迎 , 完 全

    是 由 于 它 们 能 使 协 议 合 意 的 人 们 有 机 会 来 考 虑 和 回 想 , 这 是

    错 误 的 。 无 可 否 认 , 它 们 有 这 样 一 种 的 价 值 , 这 是 逐 渐 被 承

    认 的 ; 但 根 据 我 们 权 威 著 作 的 陈 述 , 有 证 据 证 明 它 们 有 关

    “ 契 约 ” 的 职 能 在 起 先 是 形 式 的 和 仪 式 的 , 并 不 是 每 一 个 问 题

    和 回 答 都 是 自 古 以 来 就 足 以 构 成 一 个 “ 约 定 ” 的 , 只 有 用 特

    别 适 宜 于 特 定 情 况 的 专 门 术 语 表 白 的 一 个 问 题 和 回 答 , 才 能

    构 成 一 个 “ 约 定 ” 。

    为 了 正 确 理 解 契 约 法 史 , 虽 然 必 须 把 “ 约 定 ” 理 解 为 : 在

    它 被 承 认 为 一 种 有 用 的 担 保 之 前 , 它 只 是 一 种 庄 严 的 形 式 , 但是 , 在 另 一 方 面 , 如 果 对 它 的 真 正 用 度 视 若 无 睹 , 也 将 是 错

    误 的 。 “ 口 头 契 约 ” 虽 然 已 不 象 古 代 那 样 重 要 , 但 它 一 直 被 保

    存 到 罗 马 法 律 学 的 最 后 时 期 ; 我 们 可 以 视 作 当 然 的 , 在 罗 马

    法 上 没 有 一 种 制 度 如 此 长 期 的 保 存 着 , 除 非 它 在 实 践 上 确 有

    些 用 处 。 我 在 一 个 英 国 著 者 的 文 章 中 看 到 他 对 罗 马 人 甚 至 在

    最 早 时 期 也 满 足 于 这 种 对 忽 忙 和 缺 乏 深 思 熟 虑 之 处 , 如 此 疏

    于 防 范 的 情 况 , 表 示 十 分 惊 奇 。 但 是 如 果 把 约 定 详 细 研 究 一

    下 , 并 且 记 着 在 我 们 所 涉 及 的 社 会 状 态 里 面 , 书 面 证 据 是 很

    不 容 易 得 到 的 , 那 末 我 以 为 , 我 们 必 须 承 认 这 种 专 门 用 以 满

    足 它 所 要 求 达 到 的 目 的 的 这 种 问 题 和 回 答 , 可 以 公 允 地 认 为

    是 一 种 高 度 巧 妙 的 办 法 。 ·

    允 ·

    约 ·

    人 以 约 定 人 的 资 格 把 契 约 中 所

    有 的 条 款 用 一 个 问 题 的 形 式 提 出 , ·

    要 ·

    约 ·

    人 给 予 回 答 。 “ 你 是 否同 意 在 某 某 地 点 某 某 日 期 送 达 给 我 某 某 一 个 奴 隶 ? ” “ 我 同意 。 ” 现 在 , 我 们 试 想 一 想 , 我 们 可 以 看 到 , 这 个 “ 债 ” 把 允约 用 问 句 的 形 式 提 出 来 , 就 把 两 造 的 自 然 地 位 给 颠 倒 过 来 了 ,并 且 由 于 有 效 地 破 坏 了 会 话 的 行 程 , 使 人 注 意 不 到 滑 过 一 个危 险 的 质 权 。 对 于 我 们 , 一 般 说 来 , 一 个 口 头 允 约 是 完 全 从要 约 人 的 话 中 得 来 的 。 在 古 罗 马 法 中 , 另 一 个 步 骤 是 绝 对 需

    要 的 , 即 允 约 人 在 达 到 合 意 后 必 须 把 所 有 条 件 综 合 在 一 个 庄

    严 的 问 句 中 ; 并 且 , 在 审 判 时 , 必 须 提 出 的 证 据 , 就 是 这 个

    问 句 以 及 对 这 问 句 的 同 意 — — 而 ·

    不 ·

    是 允 约 , 允 约 本 身 是 没 有

    拘 束 力 的 。 这 个 看 上 去 无 足 轻 重 的 特 点 , 在 契 约 法 的 用 语 中

    竟 有 这 样 大 的 关 系 , 这 是 罗 马 法 律 学 的 初 学 者 迅 速 感 觉 到 的 ,

    他 们 最 初 碰 到 的 绊 脚 石 之 一 几 乎 普 遍 地 是 由 它 产 生 的 。 当 我

    们 在 英 文 中 提 到 一 个 契 约 时 , 为 便 利 起 见 , 偶 然 把 它 和 契 约两 造 的 一 方 联 系 起 来 时 — — 例 如 , 如 果 我 们 想 一 般 地 提 到 一

    个 缔 约 人 — — , 我 们 的 话 所 指 的 总 是 要 约 人 。 但 罗 马 人 的 一

    般 用 语 则 转 向 不 同 的 一 面 ; 它 总 是 从 允 约 人 的 地 位 来 看 契 约

    的 , 如 果 我 们 可 以 这 样 说 的 话 。 在 谈 到 一 个 契 约 的 一 造 时 , 主

    要 谈 到 的 总 是 “ 约 定 人 ” , 即 提 出 问 题 的 人 。 至 于 约 定 的 用 处 ,

    其 最 生 动 的 实 例 可 参 见 拉 丁 喜 剧 家 的 集 子 。 如 果 有 这 些 段 落

    的 全 部 场 面 经 通 读 一 过 〔 例 如 , 普 罗 塔 斯 ( P l a u t u s ) 的 “ 说谎 者 ” ( P s e u d o l u s ) 幕 一 景 一 ; 幕 四 景 六 ; “ 三 个 铜 钱 ” ( T r i n u m Am u s ) 幕 五 景 二 〕 , 就 可 以 看 到 思 考 允 约 的 人 的 注 意 力 是 如 何

    有 效 地 为 问 题 所 吸 引 , 以 及 从 一 个 没 有 预 先 考 虑 好 的 应 承 中

    撤 退 的 机 会 是 如 何 的 充 足 。

    在 “ 文 书 ” 或 “ 书 面 契 约 ” 中 , 一 个 “ 债 ” 通 过 了 它 而

    加 于 “ 协 议 ” 上 的 正 式 行 为 是 把 可 以 明 白 确 定 的 欠 款 数 目 登

    入 一 本 总 帐 的 借 方 。 为 了 要 说 明 这 种 “ 契 约 ” , 必 须 了 解 罗 马

    的 家 庭 状 态 , 古 代 簿 记 的 有 条 不 紊 性 质 和 非 常 的 有 规 律 性 。 古

    罗 马 法 中 有 几 个 小 困 难 , 例 如 , 象 “ 奴 隶 特 有 产 ” 的 性 质 , 只

    有 在 我 们 回 想 起 : 在 一 个 罗 马 家 庭 中 , 所 有 成 员 都 严 格 地 对

    其 户 主 负 责 , 以 及 家 庭 中 每 笔 收 支 在 登 入 草 帐 后 , 在 一 定 期

    间 内 必 须 转 入 家 庭 总 帐 , 只 有 明 了 了 这 些 , 才 能 解 释 清 楚 。 可

    是 , 就 我 们 所 看 到 的 “ 文 书 契 约 ” 的 描 写 中 , 是 有 些 不 易 明

    了 之 处 的 , 原 因 是 登 帐 的 习 惯 在 后 来 已 不 普 遍 了 , 而 “ 文 书

    契 约 ” 的 用 语 成 了 表 示 和 原 来 所 理 解 的 完 全 不 同 的 一 种 定 约

    的 形 式 。 因 此 , 我 们 无 法 说 明 , 关 于 原 始 “ 文 书 契 约 ” ,

    “ 债 ” 的 设 定 究 竟 是 由 债 权 人 一 方 简 单 的 登 入 簿 据 , 还 是 必 须

    获 得 债 务 人 的 同 意 或 在 其 自 己 的 簿 据 中 同 样 登 记 , 才 能 发 生法 律 效 力 。 但 是 有 一 个 主 要 之 点 是 可 以 确 定 的 , 即 在 这 种“ 契 约 ” 中 , 只 要 条 件 遵 守 了 , 所 有 的 手 续 都 可 以 省 却 。 这 是

    契 约 法 历 史 中 向 前 推 进 的 另 一 步 。

    根 据 历 史 顺 序 , 其 次 一 种 “ 契 约 ” 是 “ 要 物 契 约 ” , 表 示

    在 伦 理 概 念 上 向 前 跨 进 一 大 步 。 凡 是 在 任 何 合 意 中 , 以 送 达

    一 种 特 殊 物 件 为 其 目 的 的 — — 绝 大 部 分 的 简 单 合 意 都 属 此 类

    — — , 一 待 送 达 确 实 发 生 后 , “ 债 ” 即 产 生 。 其 结 果 必 定 是 对

    最 古 的 有 关 “ 契 约 ” 观 念 的 一 个 重 大 革 新 ; 因 为 在 原 始 时 代 ,

    毫 无 疑 义 , 当 缔 约 的 一 造 由 于 疏 忽 而 没 有 把 他 的 合 意 通 过 约

    定 的 手 续 , 则 按 照 合 意 而 做 的 一 切 , 将 不 为 法 律 所 承 认 。 借

    钱 的 人 除 非 经 过 正 式 的 ·

    约 ·

    定 , 是 不 能 诉 请 偿 还 的 。 但 在 “ 要

    物 契 约 ” 中 , 一 方 的 履 行 就 允 许 使 他 方 负 担 法 律 责 任 — — 则

    显 然 是 基 于 伦 理 的 根 据 。 第 一 次 把 道 德 上 的 考 虑 认 为 “ 契

    约 ” 法 中 的 一 个 要 素 , 这 就 是 “ 要 物 契 约 ” 和 前 两 种 不 同 之

    处 , 并 不 是 由 于 专 门 形 式 或 由 于 遵 从 罗 马 家 庭 习 惯 而 有 所 不

    同 。

    我 们 现 在 要 讨 论 第 四 类 或 “ 诺 成 契 约 ” , 这 是 各 种 契 约 中

    最 有 趣 和 最 重 要 的 一 种 。 在 这 名 称 下 有 四 种 特 殊 “ 契 约 ” : 委

    任 ( M a n d a t u m )   即 “ 受 托 ” ( C o m m i s s i o n ) 或 “ 代 理 ”

    ( A g e n c y ) ; “ 合 伙 ( S o c i e t a s ) ; “ 买 卖 ” ( E m t i o   V e n d i t i o ) ; 以

    及 “ 租 赁 ” ( L o c a t i o   C o n d u c t i o ) 。 在 前 面 几 页 说 明 了 一 个“ 契 约 ” 是 附 加 着 一 个 “ 债 ” 的 一 个 “ 合 约 ” 或 “ 协 议 ” 后 ,

    我 曾 提 起 通 过 一 些 行 为 或 手 续 法 律 允 许 “ 债 ” 吸 收 入 “ 合

    约 ” 内 。 我 这 样 说 , 只 是 为 了 作 一 般 的 说 明 , 但 除 非 我 们 把

    这 理 解 为 不 但 包 括 正 面 的 , 而 且 也 包 括 反 面 的 , 则 这 个 说 明不 是 严 格 地 正 确 的 。 因 为 , 实 质 上 , 这 些 “ 诺 成 契 约 ” 的 特

    点 是 : 从 “ 合 约 ” 中 产 生 这 些 契 约 , 是 ·

    无 ·

    需 任 何 手 续 的 。 关

    于 “ 诺 成 契 约 ” , 很 多 是 难 以 辨 解 的 , 更 多 是 含 糊 不 清 的 , 甚

    至 曾 有 这 样 的 说 法 , 即 在 这 些 契 约 中 , 缔 约 两 造 的 ·

    同 ·

    意 比 在

    其 他 任 何 种 类 的 合 意 中 更 为 着 重 。 但 “ 诺 成 ” 的 这 个 名 词 不

    过 表 示 : 在 这 里 , “ 债 ” 是 立 即 附 着 于 ·

    诺 ·

    成 ( C o n s e n s u s ) 的 。

    “ 诺 成 ” 或 两 造 的 相 互 同 意 是 “ 协 议 ” 中 最 后 的 和 最 主 要 的 要

    素 , 而 属 于 “ 买 卖 ” 、 “ 合 伙 ” 、 “ 委 任 ” 和 “ 租 赁 ” 四 类 之 一

    的 合 意 , 它 的 特 点 是 : 一 经 两 造 同 意 提 供 了 这 个 要 素 时 , 一

    个 “ 契 约 ” 立 即 成 立 。 “ 诺 成 ” 带 来 了 “ 债 ” , 在 特 种 交 易 中 ,

    执 行 着 在 其 他 契 约 中 由 ·

    要 ·

    物 ( R e s ) 或口头 约 定 ( V e r b a   s t i p Au l a t i o n s ) 以 及 由文书 ( L i t e r E) 或 书 面 登 入 总 帐 而 履 行 的 同

    样 职 能 。 “ 诺 成 ” 因 此 是 一 个 名 词 , 并 无 细 微 的 变 例 , 而 正 是

    和 “ 要 物 ” 、 “ 口 头 ” 及 “ 文 书 ” 完 全 相 类 似 的 。

    在 生 活 的 接 触 中 , 最 普 通 和 最 重 要 的 一 种 契 约 无 疑 是 那

    称 为 “ 诺 成 ” 的 第 四 种 。 每 一 个 社 会 的 集 体 生 存 , 其 较 大 部

    分 是 消 耗 在 买 卖 、 租 赁 、 为 了 商 业 目 的 而 进 行 的 人 与 人 之 间

    的 联 合 、 一 个 人 对 另 一 个 人 的 商 业 委 托 等 等 交 易 中 ; 这 无 疑

    是 使 罗 马 人 象 大 多 数 社 会 一 样 , 考 虑 到 把 这 些 交 易 从 专 门 手

    续 的 累 赘 中 解 脱 出 来 , 并 尽 可 能 使 社 会 运 动 最 有 效 的 泉 源 不

    至 阻 塞 。 这 类 动 机 当 然 不 以 罗 马 人 为 限 , 而 罗 马 人 和 其 邻 国

    人 通 商 贸 易 , 必 然 使 他 们 有 丰 富 的 机 会 看 到 在 我 们 面 前 的 各

    种 契 约 到 处 都 有 变 成 ·

    诺 ·

    成 ·

    的 倾 向 , 即 一 经 表 示 相 互 同 意 立 即

    具 有 拘 束 力 。 于 是 , 依 靠 他 们 通 常 的 实 践 , 他 们 就 把 这 些 契

    约 称 为 ·

    万 ·

    民 ·

    法 契 约 。 但 我 们 并 不 以 为 它 们 在 很 早 时 期 就 有 这个 名 称 。 一 个 “ 万 民 法 ” 的 最 早 观 念 也 许 在 委 任 一 个 “ 外 事

    裁 判 官 ” 之 前 早 就 存 在 罗 马 法 律 家 的 心 中 , 但 只 有 通 过 广 泛

    的 和 正 常 的 贸 易 , 罗 马 法 律 家 才 能 熟 悉 其 他 意 大 利 社 会 的 契

    约 制 度 , 而 这 类 贸 易 在 意 大 利 获 得 彻 底 平 靖 和 罗 马 的 最 高 权

    力 断 然 确 立 之 前 , 是 很 难 达 到 相 当 的 规 模 的 。 虽 然 , 极 端 可

    能 , “ 诺 成 契 约 ” 是 罗 马 制 度 中 最 后 出 生 的 , 并 且 虽 然 很 可 能

    ·

    万 ·

    民 ·

    法 这 个 称 呼 证 明 它 渊 源 并 不 太 古 , 但 把 这 些 契 约 归 属 于

    “ 国 际 法 ” 的 这 个 用 语 , 却 在 现 代 产 生 了 它 们 来 自 非 常 古 远 的

    年 代 的 看 法 。 因 为 , 当 “ 国 际 法 ” 变 为 “ 自 然 法 ” 时 , 似 乎

    就 含 有 了 这 样 的 意 思 , 即 “ 诺 成 契 约 ” 是 最 适 合 于 自 然 状 态

    的 一 种 合 意 ; 于 是 , 产 生 了 这 独 特 的 信 念 , 即 文 明 愈 年 轻 , 它

    的 契 约 形 式 一 定 愈 简 单 。

    “ 诺 成 契 约 ” 在 数 量 上 是 极 端 有 限 的 。 但 是 , 毫 无 疑 义 它

    在 “ 契 约 ” 法 史 上 开 创 一 个 新 的 阶 段 , 所 有 现 代 契 约 概 念 都

    是 从 这 个 阶 段 发 轫 的 。 意 志 的 运 动 构 成 合 意 , 它 现 在 完 全 孤

    立 了 , 成 为 另 外 一 种 考 虑 的 主 题 ; 在 契 约 的 观 点 上 , 形 式 全

    部 被 消 除 了 , 外 部 行 为 只 是 看 做 内 部 意 志 行 为 的 象 征 。 “ 诺 成

    契 约 ” 被 归 类 在 “ 万 民 法 ” 中 , 并 且 这 种 分 类 在 不 久 以 后 即

    得 出 了 这 样 一 个 推 理 , 认 为 它 们 是 代 表 定 约 的 一 种 合 意 , 为

    “ 自 然 ” 所 认 可 并 包 括 在 自 然 法 典 中 的 。 当 到 达 这 一 点 时 , 我

    们 就 可 以 看 到 在 罗 马 法 律 家 中 有 几 个 著 名 的 学 理 和 区 分 。 其

    中 之 一 是 “ 自 然 债 ” 和 “ 民 事 债 ” ( N a t u r a l   a n d   C i v i l   O b l i A

    g a t i o n s ) 之 间 的 区 分 。 当 一 个 智 力 完 全 成 熟 的 人 有 意 使 其 自

    己 受 到 一 个 合 意 的 约 束 , 即 使 他 并 没 有 履 行 某 种 必 要 的 手 续

    以 及 由 于 某 种 技 术 上 的 障 碍 , 他 缺 少 了 制 订 一 个 有 效 契 约 的正 式 能 力 , 他 仍 被 称 为 在 一 个 ·

    自 ·

    然 ·

    债 ·

    之 ·

    下 。 法 律 ( 而 这 就 是

    区 分 所 暗 示 的 ) 不 强 制 执 行 债 , 但 它 也 不 绝 对 拒 绝 承 认 它 ; ·

    ·

    然 ·

    债 在 许 多 方 面 和 纯 粹 是 无 效 的 债 又 有 不 同 , 尤 其 是 在 这 样

    的 情 况 下 , 即 如 果 缔 结 契 约 的 能 力 在 后 来 取 得 时 , 自 然 债 就

    可 以 在 民 事 上 得 到 批 准 。 法 学 专 家 另 外 一 种 很 奇 怪 的 学 理 , 其

    渊 源 不 可 能 早 于 “ 协 议 ” 从 “ 契 约 ” 的 专 门 要 素 中 分 离 出 来

    的 时 期 。 根 据 这 些 法 学 专 家 的 意 见 , 虽 然 只 有 “ 契 约 ” 能 作

    为 一 个 ·

    诉 ·

    讼 的 基 础 , 但 一 个 单 纯 的 “ 合 约 ” 或 “ 协 议 ” 可 以

    作 为 一 个 ·

    抗 ·

    辩 的 根 据 。 由 此 推 论 , 虽 然 一 个 人 由 于 在 事 前 没

    有 注 意 遵 照 正 当 形 式 使 一 个 合 意 成 熟 为 一 个 “ 契 约 ” 的 话 , 不

    能 就 根 据 这 个 合 意 而 提 起 诉 讼 , 但 根 据 一 个 有 效 契 约 而 提 出

    的 请 求 , 只 要 经 证 明 有 一 个 还 没 有 超 过 一 个 简 单 协 议 状 态 的

    反 合 意 , 就 可 以 癖 驳 了 。 例 如 回 复 债 务 之 诉 可 以 提 供 一 个 仅

    仅 放 弃 或 延 期 付 款 的 非 正 式 合 意 作 为 抗 辩 。

    上 面 所 说 的 学 理 , 表 示 出 “ 裁 判 官 ” 在 向 其 最 伟 大 的 革

    新 前 进 时 所 发 生 的 迟 疑 。 他 们 关 于 “ 自 然 法 ” 的 理 论 必 定 曾

    经 引 导 他 们 特 别 偏 爱 “ 诺 成 契 约 ” 以 及 “ 诺 成 契 约 ” 仅 仅 是

    其 中 的 特 殊 例 子 之 一 的 那 些 “ 合 约 ” 或 “ 协 议 ” ; 但 是 他 们 不

    敢 立 即 把 “ 诺 成 契 约 ” 的 自 由 推 及 一 切 “ 协 议 ” 。 他 们 利 用 了

    从 罗 马 法 开 始 时 就 托 付 给 他 们 的 对 于 诉 讼 程 序 的 那 时 特 殊 监

    督 权 , 并 且 , 虽 然 他 们 不 准 提 出 不 是 根 据 正 式 契 约 的 一 个 诉

    讼 , 但 在 导 演 诉 讼 程 序 的 秘 密 舞 台 中 , 他 们 使 其 新 的 合 意 理

    论 有 充 分 活 动 的 余 地 。 但 当 他 们 进 展 到 这 样 的 程 度 后 , 不 可

    避 免 地 他 们 一 定 要 向 前 再 进 一 步 。 当 有 一 年 的 “ 裁 判 官 ” 在

    “ 告 令 ” 中 宣 称 : 他 将 对 还 没 有 成 熟 为 “ 契 约 ” 的 “ 合 约 ” 赋与 可 衡 平 的 诉 讼 , 只 要 争 执 中 的 “ 合 约 ” 是 根 据 一 个 要 因

    ( C a u s a ) 的 话 , 在 这 时 候 , 古 代 “ 契 约 ” 法 的 革 命 就 完 成 了 。

    这 类 的 “ 合 约 ” 在 进 步 的 罗 马 法 律 学 中 始 终 是 被 强 行 的 。 其

    原 则 是 把 “ 诺 成 契 约 ” 达 到 其 适 当 后 果 的 原 则 ; 事 实 上 , 如

    果 罗 马 人 的 专 门 用 语 具 有 象 他 们 的 法 律 理 论 所 具 有 的 那 样 的

    可 塑 性 , 这 些 由 “ 裁 判 官 ” 强 行 的 “ 合 约 ” 就 可 能 称 为 新 的

    “ 契 约 ” , 新 的 “ 诺 成 契 约 ” 。 但 , 法 律 语 法 是 最 后 变 更 的 法 律

    的 一 部 分 , 而 可 衡 平 地 强 行 的 ” 合 约 ” 继 续 被 简 单 地 称 为

    “ 裁 判 官 合 约 ” 。 必 须 注 意 , 除 非 在 “ 合 约 ” 中 有 要 因 , 这

    “ 合 约 ” 就 新 的 法 律 学 而 论 , 将 继 续 是 ·

    空 ·

    虑 的 ; 要 使 它 能 具 有

    效 力 , 就 必 须 用 一 个 约 定 来 使 它 变 为 一 个 “ 口 头 契 约 ” 。

    我 所 以 这 样 详 细 的 讨 论 它 , 主 要 由 于 我 认 为 这 “ 契 约 ” 史

    有 非 常 的 重 要 性 , 它 可 以 用 来 防 止 无 可 数 计 的 误 会 。 在 这 讨

    论 中 , 详 细 说 明 了 从 一 个 伟 大 的 法 律 学 里 程 碑 到 另 一 个 里 程

    碑 中 各 种 观 念 的 进 程 。 我 们 由 “ 耐 克 逊 ” 开 始 , 其 中 “ 契

    约 ” 和 “ 让 与 ” 是 混 杂 在 一 起 的 , 其 中 伴 随 着 合 意 的 手 续 形

    式 甚 至 比 合 意 本 身 还 要 重 要 。 从 “ 耐 克 逊 ” , 我 们 转 到 “ 约

    定 ” , 这 是 较 古 仪 式 的 一 个 简 单 形 式 。 其 次 发 现 的 是 “ 文 书 契

    约 ” , 在 这 里 , 一 切 的 手 续 都 被 放 弃 了 , 如 果 合 意 的 证 据 能 从

    一 个 罗 马 家 庭 的 严 格 遵 守 的 习 惯 中 提 出 来 。 在 “ 要 物 契 约 ” 中 ,

    第 一 次 承 认 了 一 个 道 德 责 任 , 凡 是 参 加 或 同 意 一 个 定 约 的 部

    分 履 行 的 人 们 , 就 不 许 由 于 形 式 上 的 缺 陷 而 否 认 它 。 最 后 , 出

    现 了 “ 诺 成 契 约 ” , 其 中 唯 一 被 重 视 的 是 缔 约 人 的 心 理 状 态 ,

    至 于 外 界 情 况 除 非 作 为 内 在 企 图 的 证 据 外 是 不 予 注 意 的 。 罗

    马 人 的 思 想 从 一 个 粗 糙 的 观 念 到 一 个 精 练 的 观 念 的 这 种 进步 , 究 竟 是 否 能 例 证 人 类 思 想 在 “ 契 约 ” 这 主 题 上 有 了 必 要的 进 步 , 这 当 然 是 无 法 断 定 的 。 除 了 罗 马 人 之 外 , 所 有 其 他古 代 社 会 的 “ 契 约 ” 法 或 者 太 少 了 , 没 有 充 足 的 资 料 , 或 者是 已 经 完 全 失 传 了 ; 至 于 现 代 法 律 学 则 是 如 此 透 澈 地 为 罗 马观 点 所 影 响 , 以 致 我 们 无 法 获 得 对 比 和 类 似 , 并 从 中 吸 取 教训 。 但 是 , 从 我 所 描 写 的 演 变 中 既 缺 乏 任 何 剧 烈 的 、 惊 奇 的以 及 不 易 理 解 的 东 西 , 我 们 就 可 以 合 理 地 相 信 , 在 某 种 程 度

    上 , 古 罗 马 “ 契 约 ” 史 是 其 他 古 代 社 会 中 这 类 法 律 概 念 的 历

    史 的 典 型 。 但 也 只 是 在 某 种 程 度 上 , 罗 马 法 的 进 步 可 以 被 用

    来 代 表 其 他 法 律 学 制 度 的 进 步 。 “ 自 然 ” 法 的 理 论 是 专 属 于 罗

    马 人 的 。 ·

    法 ·

    锁 的 观 念 , 就 我 所 知 , 也 是 专 属 于 罗 马 人 的 。 成

    熟 的 罗 马 的 “ 契 约 和 侵 权 ” 法 中 有 许 多 特 点 , 都 来 自 上 述 的

    两 种 观 念 , 或 则 来 自 其 一 , 或 则 两 者 兼 而 有 之 , 因 此 , 这 许

    多 特 点 也 是 属 于 一 特 定 社 会 的 专 门 产 物 。 这 些 后 期 法 律 概 念

    是 重 要 的 , 不 是 因 为 这 些 概 念 代 表 了 在 一 切 条 件 下 思 想 发 展

    的 必 然 结 果 , 而 是 因 为 它 们 对 现 代 世 界 的 智 力 素 质 起 了 十 分

    巨 大 的 影 响 。

    罗 马 法 尤 其 是 罗 马 “ 契 约 法 ” 以 各 种 思 想 方 式 、 推 理 方

    法 和 一 种 专 门 用 语 贡 献 给 各 种 各 样 的 科 学 , 这 确 是 最 令 人 惊

    奇 的 事 。 在 曾 经 促 进 现 代 人 的 智 力 欲 的 各 种 主 题 中 , 除 了

    “ 物 理 学 ” 外 , 没 有 一 门 科 学 没 有 经 过 罗 马 法 律 学 滤 过 的 。 纯

    粹 的 “ 形 而 上 学 ” 诚 然 是 来 自 希 腊 而 不 是 来 自 罗 马 的 , 但 是

    “ 政 治 学 ” 、 “ 道 德 哲 学 ” 甚 至 “ 神 学 ” 不 但 在 罗 马 法 中 找 到 了

    表 意 的 工 具 , 并 且 以 罗 马 法 为 其 最 深 奥 的 研 究 养 育 成 是 的 一

    个 卵 巢 。 为 了 要 说 明 这 种 现 象 , 并 没 有 绝 对 必 要 讨 论 文 字 和观 念 之 间 的 神 秘 关 系 , 或 是 说 明 人 类 的 心 神 如 何 从 来 没 有 能

    抓 住 任 何 思 想 主 题 , 除 非 它 在 事 前 就 具 有 适 当 丰 富 的 用 语 或

    能 掌 握 一 种 适 当 的 逻 辑 方 法 的 工 具 。 只 须 说 明 , 当 东 方 和 西

    方 世 界 的 哲 学 兴 趣 分 离 时 , 西 方 思 想 的 始 创 者 都 属 于 讲 拉 丁

    语 和 用 拉 丁 语 著 作 的 一 个 社 会 。 但 是 在 西 方 各 省 中 , 能 够 很

    精 确 地 用 来 研 究 哲 学 的 唯 一 语 言 是 罗 马 法 的 语 言 , 它 由 于 独

    特 的 机 会 , 几 乎 保 留 了 奥 古 斯 多 时 代 所 有 的 纯 洁 性 , 而 地 方

    拉 丁 则 正 在 退 化 为 怪 异 的 不 纯 正 的 一 种 方 言 。 如 果 罗 马 法 律

    学 提 供 了 语 言 上 唯 一 的 正 确 的 媒 介 , 更 重 要 的 , 是 它 同 时 提

    供 了 思 想 上 唯 一 的 正 确 、 精 密 深 邃 的 媒 介 。 因 为 哲 学 和 科 学

    在 西 方 不 能 立 足 , 至 少 有 三 个 世 纪 之 久 ; 并 且 虽 然 大 多 数 罗

    马 人 的 精 力 都 集 中 在 形 而 上 学 和 形 而 上 学 的 神 学 上 面 , 但 这

    些 热 情 的 研 究 中 所 用 的 语 法 完 全 是 希 腊 的 , 而 它 们 的 活 动 场

    所 是 帝 国 的 东 半 部 。 有 时 , 东 方 争 论 者 所 获 得 的 结 论 非 常 重

    要 , 以 致 不 论 是 同 意 或 是 不 同 意 这 些 结 论 的 人 都 必 须 把 它 们

    记 录 下 来 , 后 来 东 方 争 论 的 结 果 就 被 介 绍 到 西 方 来 , 对 于 这

    些 结 果 , 西 方 一 般 都 予 以 默 认 , 不 赞 许 亦 不 拒 绝 。 在 这 时 候 ,

    有 一 个 研 究 部 门 , 虽 是 最 勤 劳 的 人 也 感 到 困 难 , 最 精 细 的 人

    也 感 到 深 奥 , 最 精 巧 的 人 也 感 到 细 致 的 , 但 对 于 西 方 各 省 受

    过 教 育 的 阶 级 却 从 来 没 有 失 掉 过 它 的 吸 引 力 。 对 阿 非 利 加 、 西

    班 牙 、 高 卢 和 北 意 大 利 的 有 教 养 的 公 民 , 正 是 法 律 学 , 并 且

    也 只 有 法 律 学 , 代 替 了 诗 歌 和 历 史 、 哲 学 和 科 学 。 西 方 思 想

    在 其 最 早 的 对 于 明 显 的 法 律 面 貌 的 努 力 中 不 但 毫 无 一 些 神 秘

    之 处 , 并 且 , 如 果 我 们 以 为 它 会 有 其 他 任 何 色 彩 , 也 将 是 令

    人 惊 奇 的 。 我 所 认 为 可 怪 的 是 , 由 于 一 种 新 要 素 的 出 现 而 在西 方 和 东 方 观 念 之 间 、 西 方 和 东 方 神 学 之 间 引 起 的 区 别 , 竟

    然 很 少 人 注 意 。 正 是 由 于 法 律 学 的 影 响 开 始 变 得 非 常 有 力 , 才

    使 君 士 坦 丁 堡 的 建 立 和 后 来 的 西 罗 马 帝 国 从 东 罗 马 帝 国 分

    离 , 成 为 哲 学 史 中 的 两 个 新 纪 元 。 但 是 , 由 于 来 自 “ 罗 马 法

    律 ” 的 各 种 观 念 已 和 日 常 的 观 念 非 常 密 切 地 混 杂 在 一 起 , 大

    陆 思 想 家 无 疑 地 不 容 易 体 会 到 这 个 重 要 关 头 的 重 要 姓 。 另 一

    方 面 , 英 国 人 对 这 一 点 也 是 视 若 无 睹 的 , 这 是 由 于 他 们 对 于

    他 们 自 己 承 认 的 现 代 知 识 潮 流 的 最 丰 富 渊 源 和 罗 马 文 明 的 一

    个 智 慧 的 成 果 , 极 端 无 知 。 在 同 时 , 一 个 费 尽 心 力 熟 悉 古 典

    罗 马 法 的 英 国 人 , 由 于 其 本 国 人 对 这 主 题 向 来 极 少 兴 趣 , 对

    于 我 胆 敢 提 出 的 主 张 , 他 比 起 法 国 人 或 德 国 人 来 也 许 是 一 个

    更 好 的 鉴 定 家 。 任 何 一 个 知 道 罗 马 法 律 学 是 怎 样 一 回 事 的 人 ,

    知 道 确 实 由 罗 马 人 实 践 的 罗 马 法 律 学 的 人 , 并 且 要 观 察 最 古

    的 西 方 神 学 及 哲 学 在 那 些 特 点 上 不 同 于 它 们 之 前 的 思 想 状 态

    的 人 , 对 于 这 已 经 开 始 透 入 和 支 配 着 纯 理 论 的 新 要 素 究 竟 是

    什 么 , 都 可 以 有 资 格 加 以 说 明 。

    罗 马 法 中 对 其 他 研 究 主 题 有 最 广 泛 影 响 的 部 分 是 “ 债 ”

    法 , 或 是 接 近 于 “ 债 ” 法 的 部 分 , 即 “ 契 约 和 侵 权 ” 法 。 罗

    马 制 度 中 这 一 部 分 丰 富 的 术 语 , 它 所 能 用 以 履 行 的 职 能 , 罗

    马 人 本 身 并 不 是 不 知 道 的 , 这 从 他 们 把 这 个 特 别 形 容 词 准 字

    用 在 “ 准 契 约 ” 和 “ 准 侵 权 ” 等 名 词 中 , 就 可 以 得 到 证 明 。

    “ 准 ” 在 这 样 的 用 法 中 , 完 全 是 一 个 分 类 的 名 词 。 英 国 评 论 家

    常 认 为 “ 准 契 约 ” 就 是 默 约 , 但 这 是 错 误 的 , 因 为 默 约 是 真

    的 契 约 而 准 契 约 则 不 是 契 约 。 在 默 约 中 , 行 为 和 情 况 是 用 作

    为 某 些 要 素 的 象 征 , 这 些 要 素 在 明 约 中 是 用 文 字 来 象 征 的 ; 就合 意 的 理 论 而 论 , 一 个 人 所 用 的 究 竟 是 这 一 套 象 征 还 是 另 一

    套 象 征 , 是 毫 无 关 系 的 。 但 是 一 个 “ 准 契 约 ” 完 全 不 是 一 个

    契 约 。 这 类 准 契 约 中 最 普 通 的 例 子 , 象 一 个 人 误 以 金 钱 给 付

    另 一 个 人 因 而 在 这 两 人 之 间 存 在 的 关 系 。 法 律 为 了 顾 全 道 德

    上 的 利 益 , 使 受 领 人 负 有 偿 还 的 责 任 , 但 根 据 这 交 易 的 性 质 ,

    表 示 出 这 并 不 是 一 个 契 约 , 因 为 , 在 这 中 间 , 缺 乏 作 为 “ 契

    约 ” 最 重 要 要 素 的 “ 协 议 。 ” “ 准 ” 这 个 字 放 在 罗 马 法 的 一 个

    名 词 之 前 , 含 有 这 样 一 种 意 思 , 即 用 它 作 为 标 志 的 概 念 和 其

    原 来 的 概 念 之 间 , 在 比 较 上 有 着 一 种 强 有 力 的 表 面 类 比 或 相

    似 。 它 的 意 思 并 不 是 说 , 这 两 种 概 念 是 同 样 的 , 或 是 属 于 同

    一 种 类 的 。 相 反 地 , 它 否 定 了 在 它 们 之 间 存 在 着 同 一 性 的 观

    念 ; 但 是 它 指 出 它 们 有 充 分 的 相 似 之 处 , 可 以 把 其 中 之 一 归

    类 为 另 一 个 的 连 续 , 以 及 从 法 律 的 一 个 部 门 中 取 来 的 用 语 可

    以 移 用 到 法 律 的 另 外 一 个 部 门 , 并 加 以 应 用 , 而 不 致 对 规 定

    的 说 明 有 强 烈 的 歪 曲 , 而 这 些 规 定 在 另 一 种 情 况 下 是 很 难 完

    善 地 加 以 说 明 的 。

    有 人 这 样 乖 巧 地 提 出 , “ 默 约 ” 是 真 正 的 契 约 , “ 准 契

    约 ” 完 全 不 是 契 约 , 在 这 两 者 之 间 所 存 在 的 混 淆 不 清 , 和 把

    政 治 上 的 权 利 和 义 务 归 因 于 被 统 治 者 和 统 治 者 之 间 的 一 个

    “ 原 始 契 约 ” ( O r i g i n a l   C o m p a c t )   的 这 个 著 名 错 误 , 有 很

    多 共 同 之 点 。 早 在 这 理 论 获 得 定 形 之 前 , 罗 马 契 约 法 的 用 语

    大 部 分 用 来 描 写 人 类 所 常 常 设 想 的 存 在 于 君 主 和 臣 民 之 间 的

    权 利 和 义 务 上 的 相 互 关 系 。 当 世 界 上 充 满 了 各 式 各 样 的 格 言 ,

    极 端 断 然 地 提 出 国 王 的 主 张 应 该 绝 对 服 从 , — — 这 些 格 言 佯

    称 来 自 “ 新 约 全 书 ” , 而 实 际 上 却 是 来 自 凯 撒 暴 政 的 难 忘 回 忆— — 如 果 罗 马 “ 债 ” 法 没 有 提 供 一 种 言 语 , 能 隐 约 表 示 当 时

    还 没 有 完 全 发 展 的 一 种 观 念 , 则 被 统 治 者 应 该 享 有 相 关 权 利

    的 思 想 , 将 完 全 没 有 表 达 的 可 能 。 我 认 为 国 王 的 特 权 和 国 王

    对 其 臣 民 的 义 务 两 者 之 间 的 互 不 相 容 , 自 从 西 方 历 史 开 始 以

    来 是 从 来 没 有 忘 却 过 的 , 但 在 封 建 制 度 继 续 盛 行 之 际 , 除 了

    纯 理 论 著 作 家 外 , 这 是 绝 少 为 人 所 注 意 的 , 因 为 封 建 制 度 通

    过 明 白 的 习 惯 有 效 地 控 制 着 欧 洲 多 数 君 主 , 使 不 能 有 过 分 的

    理 论 上 的 权 利 。 但 是 当 封 建 制 度 衰 亡 、 中 世 纪 的 组 织 脱 出 工

    作 常 规 、 以 及 宗 教 改 革 使 教 皇 的 权 威 不 复 为 人 所 信 任 时 , 国

    王 有 神 权 的 学 理 就 显 著 地 立 即 提 高 到 它 以 前 从 来 没 有 达 到 过

    的 重 要 地 位 。 它 所 获 得 的 声 价 必 须 常 常 求 助 于 罗 马 法 的 用 语 ,

    而 原 来 带 有 神 学 面 貌 的 一 科 争 论 逐 渐 一 天 天 地 取 得 了 一 种 法

    律 争 辩 的 色 彩 。 于 是 出 现 了 一 种 曾 在 意 见 史 中 不 断 重 复 出 现

    的 现 象 。 正 当 君 主 权 主 张 逐 渐 发 展 而 成 为 菲 尔 美 的 学 理 时 , 从

    “ 契 约 法 ” 中 借 用 来 的 原 来 作 为 保 护 臣 民 权 利 的 用 语 竟 成 为 国

    王 和 人 民 间 一 个 现 实 的 原 始 契 约 的 学 说 , 这 一 个 学 说 首 先 在

    英 国 人 手 中 , 后 来 、 特 别 是 在 法 国 人 手 中 发 展 成 为 社 会 和 法

    律 一 切 现 象 的 一 种 广 博 的 解 释 。 但 是 政 治 学 和 法 律 学 之 间 仅

    有 的 真 正 的 联 系 , 是 在 后 者 把 其 独 特 地 有 可 塑 性 的 术 语 的 好

    处 给 与 了 前 者 。 罗 马 “ 契 约 ” 法 律 学 对 君 主 和 臣 民 关 系 上 所

    作 出 的 贡 献 , 正 和 在 一 个 比 较 狭 小 范 围 内 、 它 对 于 为 一 个

    “ 准 契 约 ” 责 任 拘 束 在 一 起 的 人 们 的 关 系 上 所 作 出 的 贡 献 完 全

    相 同 。 罗 马 “ 契 约 ” 法 律 学 提 供 了 一 套 文 字 和 成 语 , 充 分 正

    确 地 接 近 当 时 对 于 政 治 责 任 问 题 所 具 有 的 各 种 观 念 。 一 个

    “ 原 始 契 约 ” 学 理 所 处 的 地 位 , 从 未 能 高 过 怀 威 尔 博 士 (W h e w e l l ) 所 提 出 的 , 他 的 意 见 是 : 这 个 学 理 虽 然 是 不 够 健 全

    的 , 但 “ 它 可 能 是 表 示 道 德 真 理 的 一 种 ·

    方 ·

    便 ·

    的 形 式 ” 。

    在 “ 原 始 契 约 ” 发 明 之 前 把 法 律 用 语 广 泛 应 用 于 政 治 主

    题 上 以 及 “ 原 始 契 约 ” 这 个 假 定 在 后 来 所 发 生 的 有 力 影 响 , 充

    分 说 明 了 在 政 治 学 中 有 着 大 量 的 为 罗 马 法 律 学 所 独 特 创 造 的

    文 字 和 概 念 。 它 们 也 大 量 地 存 在 “ 道 德 哲 学 ” 中 , 这 可 能 有

    不 同 的 解 释 , 这 是 由 于 罗 马 法 比 政 治 理 论 受 到 伦 理 著 作 更 直

    接 的 贡 献 , 而 这 些 伦 理 著 作 的 著 者 也 更 加 自 觉 到 他 们 责 任 的

    范 围 。 在 谈 到 道 德 哲 学 特 别 应 该 归 功 于 罗 马 法 律 家 时 , 我 所

    指 的 应 该 是 未 经 康 德 ( K a n t ) 中 断 其 历 史 以 前 的 道 德 哲 学 , 即

    研 究 人 类 行 为 规 则 的 一 种 科 学 , 适 当 地 解 释 这 些 规 则 的 科 学 ,

    以 及 这 些 规 则 应 受 的 限 制 的 科 学 。 在 “ 批 判 哲 学 ” ( C r i t i c a l  P h i l o s o p h y ) 兴 起 后 , 道 德 学 的 旧 有 意 义 几 乎 完 全 丧 失 , 除 了由 罗 马 天 主 教 神 学 者 仍 旧 研 究 的 诡 辩 学 中 用 一 种 降 格 的 形 式

    保 留 着 之 外 , 道 德 学 似 乎 已 普 遍 被 认 为 只 是 本 体 论 研 究 ( o n At o l o g i c a l   i n q u i r y ) 的 一 个 部 门 了 。 除 怀 威 尔 博 士 一 人 外 , 我

    在 当 时 的 英 国 著 者 中 找 不 到 一 个 人 , 他 把 道 德 哲 学 理 解 为 在

    它 被 形 而 上 学 所 吸 收 之 前 以 及 在 它 的 规 定 的 基 础 变 成 为 比 其

    规 定 本 身 更 为 重 要 的 问 题 之 前 , 为 人 们 所 理 解 的 那 样 。 可 是 ,

    只 要 伦 理 科 学 涉 及 行 为 的 实 际 统 治 时 , 它 就 多 少 受 到 罗 马 法

    的 浸 润 。 象 现 代 思 想 中 一 切 巨 大 主 题 一 样 , 它 是 原 来 合 并 在

    神 学 中 的 。 最 初 曾 经 被 称 为 、 以 及 现 在 仍 为 罗 马 天 主 教 神 学

    者 称 为 “ 道 德 神 学 ” 的 科 学 , 无 疑 地 是 在 著 者 明 知 之 下 采 用

    了 教 会 制 度 中 的 行 为 原 则 而 构 成 的 , 并 且 是 用 了 法 律 学 中 的

    用 语 和 方 法 为 其 表 现 和 扩 张 的 。 在 这 个 过 程 继 续 进 行 的 中 间 ,法 律 学 虽 然 只 是 准 备 成 为 发 表 思 想 的 工 具 , 但 它 不 可 避 免 地

    会 把 它 的 特 色 传 给 思 想 本 身 。 由 于 和 法 律 概 念 相 接 触 而 感 染

    到 的 特 点 , 在 现 代 世 界 最 早 的 伦 理 文 献 中 完 全 可 以 看 到 , 我

    以 为 这 是 很 明 显 的 , 以 权 利 和 义 务 完 全 的 相 互 关 系 和 不 可 分

    解 的 关 系 为 基 础 的 “ 契 约 法 ” 曾 被 用 为 矫 正 著 者 们 某 种 倾 向

    的 东 西 , 因 为 这 些 著 者 如 果 听 其 自 然 , 就 有 可 能 把 一 个 道 德

    责 任 完 全 看 做 “ 神 国 ” ( C i v i t a s   D e i ) 中 一 个 公 民 的 公 共 义 务 。

    但 是 当 伟 大 的 西 班 牙 道 德 学 家 们 研 究 道 德 神 学 时 , 罗 马 法 在

    道 德 神 学 中 的 分 量 已 显 著 减 少 。 用 博 士 评 论 博 士 的 法 学 方 法

    发 展 起 来 的 道 德 神 学 有 它 自 己 的 一 套 用 语 , 而 亚 里 士 多 德 的

    推 理 和 表 现 的 特 征 , 由 于 大 部 分 无 疑 地 是 吸 收 自 学 院 派 的

    “ 道 德 论 ” ( D i s p u t a t i o n s   o n   M o r a l s ) 的 , 便 代 替 了 凡 是 精通 罗 马 法 的 人 决 不 会 误 会 的 那 种 特 殊 的 思 想 方 式 和 言 语 形

    式 。 如 果 道 德 神 学 家 的 西 班 牙 学 派 的 势 力 继 续 着 , 则 伦 理 学

    中 的 法 律 要 素 就 有 可 能 成 为 完 全 不 重 要 , 但 是 下 一 代 研 究 这些 主 题 的 罗 马 天 主 教 著 者 在 应 用 他 们 的 结 论 时 , 几 乎 把 他 们的 影 响 完 全 加 以 毁 灭 。 道 德 神 学 降 格 成 为 诡 辩 学 , 不 再 为 欧洲 纯 理 论 的 领 袖 们 感 到 兴 趣 ; 完 全 操 在 基 督 新 教 徒 手 中的新的 道 德 哲 学 , 大 大 超 出 了 过 去 道 德 神 学 家 的 成 就 。 其 结 果 是使 罗 马 法 对 伦 理 研 究 的 影 响 为 之 大 大 增 加 。

    在 “ 宗 教 改 革 ” 之 后 不 久 , 我 们 发 现 有 两 大 思 想 学 派 在这 一 个 主 题 上 划 分 开 来 。 这 两 大 学 派 中 最 有 势 力 的 一 派 最 初我 们 称 之 为 诡 辩 学 派 , 他 们 都 是 些 和 罗 马 天 主 教 会 有 神 交 的人 , 并 且 他 们 几 乎 都 是 分 属 于 这 一 个 或 另 一 个 宗 教 教 团 的 。 在另 一 方 面 , 则 有 另 外 一 批 著 者 , 他 们 是 以 在 学 识 上 共 同 来 自“ 战 争 与 和 平 法 规 论 ” 的 伟 大 著 者 嚣 俄 · 格 罗 修 斯 而 相 互 结 合在 一 起 的 。 几 乎 所 有 的 后 一 派 人 都 是 “ 宗 教 改 革 ” 的 信 徒 , 虽然 不 能 说 他 们 是 正 式 地 、 公 开 地 和 诡 辩 学 派 发 生 冲 突 , 但 他们 体 系 的 起 源 和 目 的 显 然 是 和 诡 辩 学 派 有 着 本 质 上 的 不 同的 。 这 个 区 别 有 必 要 加 以 重 视 , 因 为 它 涉 及 到 罗 马 法 和 对 这两 个 体 系 都 有 关 系 的 那 个 思 想 部 门 的 影 响 问 题 。 格 罗 修 斯 的著 作 虽 然 在 每 一 页 中 都 接 触 到 纯 粹 “ 伦 理 学 ” 的 各 个 问 题 , 并且 虽 然 它 是 无 数 有 关 形 式 道 德 学 的 书 籍 的 近 的 或 远 的 根 源 ,但 众 所 周 知 , 它 不 是 “ 道 德 哲 学 ” 的 一 本 专 著 : 它 是 决 定

    “ 自 然 法 ” 的 一 个 尝 试 。 现 在 , 无 须 研 究 这 个 问 题 , 即 一 个

    “ 自 然 法 ” 的 概 念 是 否 罗 马 法 学 专 家 的 一 种 独 有 创 造 , 我 们 可

    以 断 言 , 甚 至 格 罗 修 斯 本 人 也 承 认 罗 马 法 律 学 的 格 言 说 , 有

    些 已 知 的 现 实 法 应 该 认 为 是 “ 自 然 法 ” 的 一 部 分 , 这 个 格 言

    纵 使 不 是 毫 无 错 误 , 仍 应 该 受 到 极 端 的 尊 敬 而 加 以 接 受 的 。 因

    此 , 格 罗 修 斯 体 系 在 其 基 础 上 就 是 和 罗 马 法 牵 涉 在 一 起 的 , 而

    这 种 关 系 就 不 可 避 免 地 使 他 — — 这 是 著 者 所 受 法 律 训 练 的 必

    然 结 果 — — 在 每 一 章 节 中 自 由 地 应 用 着 罗 马 法 中 专 门 术 语 ,

    以 及 各 种 推 理 、 定 义 和 例 证 的 方 式 , 而 这 些 辩 论 的 意 义 , 特

    别 是 辩 论 的 说 服 力 , 有 时 是 被 隐 藏 着 的 , 是 不 熟 悉 于 它 们 来

    源 的 读 者 所 不 知 道 的 。 在 另 一 方 面 , 诡 辩 学 很 少 借 用 罗 马 法 ,

    而 其 所 主 张 的 道 德 观 念 和 格 罗 修 斯 所 断 言 的 全 不 相 同 。 在 诡

    辩 学 的 名 称 下 成 为 著 名 的 或 是 不 名 誉 的 有 关 是 和 非 的 哲 学 ,

    它 的 渊 源 来 自 “ 不 可 赦 之 罪 ” 和 “ 可 赦 之 罪 ” ( M o r t a l   a n d V e n i a l sin) 间 的 区 分 。 迫 使 诡 辩 哲 学 的 著 者 发 明 一 套 精 密的 规 范 体 系 , 以 便 在 尽 量 把 不 道 德 行 为 从 不 可 赦 犯 罪 的 范 畴中 移 出 来 , 并 把 它 们 定 为 可 赦 之 罪 , 其 动 机 之 一 是 出 于 一 种自 然 的 渴 望 , 想 要 避 免 把 一 种 特 定 行 为 定 为 不 可 赦 罪 的 可 怕后 果 , 另 一 种 动 机 是 出 于 一 种 同 样 地 可 以 体 会 的 愿 望 , 就 是

    为 天 主 教 会 解 除 一 种 不 便 的 理 论 , 来 帮 助 罗 马 天 主 教 会 在 和

    基 督 新 教 进 行 的 冲 突 中 取 得 胜 利 。 这 种 试 验 的 命 运 , 应 属 于

    普 通 史 的 范 围 。 我 们 知 道 , 诡 辩 学 派 使 僧 侣 辈 有 权 对 各 色 人

    等 的 性 格 加 以 精 神 上 的 约 束 , 这 样 也 就 使 它 对 诸 侯 、 政 治 家

    和 将 军 们 有 着 “ 宗 教 改 革 ” 时 代 以 前 所 从 未 听 到 过 的 一 种 影

    响 , 并 且 也 真 的 对 基 督 新 教 初 步 成 就 发 生 遏 制 和 缩 小 作 用 的

    那 个 巨 大 反 动 作 出 了 重 大 贡 献 。 但 在 其 开 始 的 企 图 中 , 它 不

    是 在 建 立 而 是 在 规 避 , — — 不 是 在 发 现 一 条 原 则 而 是 在 逃 避

    一 个 假 定 — — 不 是 在 确 定 是 和 非 的 性 质 而 是 在 行 为 的 决 定 在

    一 个 特 殊 性 质 中 哪 些 是 不 错 的 , — — 诡 辩 学 就 是 这 样 用 了 它

    的 巧 妙 的 高 论 继 续 发 展 下 去 , 直 到 它 最 后 过 分 地 削 弱 行 为 的

    道 德 特 征 , 过 分 地 诽 谤 了 我 们 人 类 的 道 德 本 能 , 以 致 最 后 人

    类 的 良 心 突 然 起 来 反 抗 它 , 并 把 这 体 系 和 其 博 士 们 埋 葬 在 一

    个 共 同 的 废 墟 中 。 在 长 期 不 断 的 打 击 中 , 最 后 的 一 击 来 自 巴斯 噶 ( P a s c a l ) 的 “ 书 翰 集 ” ( P r o v i n c i a l   L e t t e r s ) , 在 这 些可 纪 念 的 “ 文 件 ” 出 现 后 , 就 没 有 一 个 即 使 影 响 最 小 、 声 望最 微 的 道 德 学 家 敢 于 公 开 踏 着 诡 辩 学 家 的 足 迹 前 进 。 这 样 一来 , 全 部 伦 理 学 的 领 域 便 完 全 留 归 追 随 格 罗 修 斯 的 著 者 们 控

    制 了 ; 它 在 很 大 程 度 上 仍 表 现 出 和 罗 马 法 纠 缠 在 一 起 的 迹 象 ,这 有 时 被 认 为 是 对 格 罗 修 斯 理 论 的 一 种 过 失 , 但 有 时 则 被 认

    为 是 对 它 的 最 高 贡 献 。 自 从 格 罗 修 斯 时 代 以 来 , 许 多 研 究 者

    已 变 更 了 他 的 原 则 , 并 且 在 “ 批 判 哲 学 ” 兴 起 以 后 , 当 然 有许 多 人 已 完 全 抛 弃 了 他 的 原 则 ; 但 即 使 是 那 些 远 离 其 基 本 假

    设 的 人 们 , 也 继 承 了 很 多 他 的 陈 述 方 法 、 他 的 思 思 路 线 以 及

    他 的 例 证 方 式 ; 而 对 于 不 懂 罗 马 法 律 学 的 人 , 这 些 是 绝 少 意

    义 并 且 也 是 绝 无 妙 处 的 。(以上部分是 作 者 在 1 8 5 6 年 投 寄 “ 剑 桥 论丛 ” 的 一 篇 论 文 , 转 录 时 曾 略 加 修 改 )

    我 已 经 说 过 , 在 自 然 科 学 之 外 , 没 有 一 门 知 识 会 象 形 而

    上 学 那 样 受 罗 马 法 的 影 响 如 此 之 少 的 。 因 为 , 有 关 形 而 上 学

    主 题 的 讨 论 始 终 是 用 希 腊 文 进 行 的 , 最 初 是 用 纯 粹 希 腊 文 , 后

    来 是 用 特 意 用 来 表 现 希 腊 概 念 的 拉 丁 方 言 。 现 代 语 言 只 有 在

    采 用 拉 丁 方 言 或 在 模 仿 了 原 来 在 其 结 构 上 所 用 的 程 序 之 后 ,

    才 能 适 合 于 形 而 上 学 的 研 究 。 现 代 形 而 上 学 论 文 中 所 常 用 的

    用 语 , 其 来 源 是 亚 里 士 多 德 的 拉 丁 译 文 , 其 中 , 不 论 是 否 来

    自 阿 拉 伯 译 文 , 翻 译 者 的 计 划 并 不 是 要 从 任 何 部 分 的 拉 丁 文

    献 中 找 寻 类 似 的 言 语 , 而 是 要 从 拉 丁 字 根 上 重 新 创 造 一 套 相

    当 于 希 腊 哲 学 观 念 辞 句 的 成 语 。 在 这 样 一 个 过 程 中 , 罗 马 法

    的 用 语 可 能 仅 仅 发 生 绝 少 的 影 响 ; 至 多 , 也 只 有 少 数 变 形 的

    拉 丁 法 律 名 词 进 入 形 而 上 学 的 言 语 中 。 同 时 , 必 须 注 意 , 当

    有 些 形 而 上 学 的 问 题 成 为 西 欧 最 激 烈 的 问 题 时 , 在 其 思 想 中 ,

    如 果 不 是 在 言 语 中 , 一 定 泄 露 出 来 一 种 法 律 的 本 源 。 在 纯 理

    论 史 中 , 很 少 事 物 有 比 下 列 事 实 给 人 以 更 深 的 印 象 , 即 凡 是

    用 希 腊 语 言 的 人 民 从 来 没 有 严 重 地 感 觉 到 为 “ 自 由 意 志 ” 和

    “ 必 然 性 ” 的 大 问 题 所 困 扰 过 。 我 不 想 对 这 一 点 作 出 任 何 概 括

    的 解 释 , 但 这 样 说 明 似 乎 并 不 是 离 题 太 远 的 , 即 不 论 是 希 腊

    人 或 是 用 希 腊 语 讲 话 和 思 想 的 任 何 一 个 社 会 , 都 没 有 显 示 出

    来 有 产 生 一 种 法 律 哲 学 的 最 小 的 能 力 。 法 律 科 学 是 罗 马 人 的

    一 种 创 造 , “ 自 由 意 志 ” 的 问 题 是 当 我 们 在 一 个 法 律 观 点 下 研

    究 一 个 形 而 上 学 的 概 念 时 发 生 的 。 为 什 么 会 发 生 这 样 的 问 题 :

    不 变 的 顺 序 是 否 和 必 要 的 联 系 相 一 致 ? 我 只 能 说 , 罗 马 法 的

    随 着 它 的 发 展 而 日 益 增 强 的 趋 势 , 是 认 为 法 律 后 果 是 通 过 一

    种 坚 决 的 必 然 性 而 和 法 律 原 因 相 结 合 着 的 , 这 一 种 趋 势 在 我

    反 复 引 用 过 的 如 下 的 “ 债 ” 的 定 义 中 得 到 最 明 显 的 证 明 : “ 应

    负 担 履 行 的 义 务 的 法 锁 ” 。

    但 是 “ 自 由 意 志 ” 问 题 在 它 成 为 哲 学 问 题 之 前 , 是 一 个

    神 学 上 的 问 题 , 如 果 它 的 名 词 曾 受 到 法 律 学 的 影 响 , 这 是 由

    于 法 律 学 早 已 渗 入 了 神 学 的 缘 故 。 这 里 所 要 提 出 并 加 以 研 究

    的 大 问 题 过 去 从 来 没 有 被 满 意 地 阐 述 过 。 我 们 必 须 决 定 的 是 :

    法 律 学 究 竟 有 没 有 被 用 来 作 为 通 过 它 而 观 察 神 学 上 各 项 原 则

    的 媒 介 ; 它 究 竟 有 没 有 提 供 一 种 特 殊 的 言 语 , 一 种 特 殊 的 推

    理 方 式 , 以 及 解 决 许 多 生 活 问 题 的 特 殊 方 法 从 而 开 辟 新 的 通

    道 , 使 神 学 上 的 纯 理 论 通 过 它 顺 流 而 下 并 得 到 扩 展 。 为 了 要

    得 到 一 个 答 案 , 有 必 要 回 忆 一 下 关 于 神 学 最 初 吸 收 的 理 智 粮

    食 最 著 名 的 著 者 们 已 经 一 致 同 意 的 究 竟 是 什 么 。 各 方 面 都 一

    致 同 意 , 基 督 教 会 最 古 的 语 言 是 希 腊 语 , 而 它 最 初 所 从 事 的

    各 种 问 题 是 那 些 希 腊 哲 学 在 其 后 期 形 式 中 为 它 们 开 辟 了 道 路

    的 问 题 。 人 类 从 中 获 得 从 事 于 深 奥 争 论 , 如 有 关 “ 神 人 ” 、

    “ 神 质 ” 和 “ 神 性 ” ( t h e   D i v i n e   P e r s o n s , t h e   D i v i n e   S u b As t a n c e , a n d   t h e   D i v i n e   N a t u r e s ) 等 等 问 题 的 手 段 的 唯 一的 文 字 和 观 念 的 宝 库 , 是 希 腊 形 而 上 学 文 献 。 拉 丁 语 以 及 贫乏 的 拉 丁 哲 学 是 不 足 以 胜 任 的 , 因 此 , 帝 国 中 西 方 或 操 拉 丁

    语 的 各 省 对 于 东 方 的 结 论 , 就 毫 无 争 议 或 不 加 审 查 而 采 用 了 。

    弥 尔 曼 教 长 ( D e a n   M i l m a n ) 说 : “ 拉 丁 基 督 教 接 受 了 拉 丁 的

    狭 隘 肤 浅 的 语 彙 所 无 法 用 适 当 名 词 加 以 表 示 的 信 条 。 但 是 , 自

    始 至 终 , 罗 马 和 西 方 之 间 的 紧 密 粘 固 , 是 对 于 东 方 神 学 者 较

    深 奥 的 神 学 所 精 制 出 来 的 教 条 制 度 的 一 种 被 动 的 默 从 , 并 不

    是 它 自 己 对 那 些 神 秘 事 物 加 以 有 力 的 和 有 创 造 性 的 研 究 的 结

    果 。 拉 丁 教 会 是 阿 塔 纳 细 阿 ( A t h a n a s i u s ) 的 弟 子 , 同 时 也 是

    他 的 忠 实 信 徒 ” 。 但 是 , 当 东 方 和 西 方 的 分 离 一 天 天 地 扩 大 ,

    操 拉 丁 语 的 西 罗 马 帝 国 开 始 生 活 在 其 自 己 的 精 神 生 活 中 时 ,

    它 对 东 方 的 谦 逊 突 然 为 东 方 理 论 所 完 全 不 熟 悉 的 许 多 问 题 的

    议 论 所 代 替 。 “ 当 希 腊 神 学 〔 弥 尔 曼 : ‘ 拉 丁 基 督 教 ’ ( L a t i n C h r i s t i a n i t y ) 序 , 第 5 页 ] 用 更 精 致 的 技 巧 来 为 ‘ 神 格 ’ ( G o d Ah e a d ) 和 基 督 的 性 质 下 定 义 时 ” — — “ 当 无 休 止 的 争 辩 仍 旧 不

    断 地 延 续 , 并 从 这 陷 于 衰 弱 的 社 会 中 一 个 宗 派 跟 着 一 个 宗 派

    传 布 出 来 时 ” — — 西 方 教 会 以 非 常 的 热 诚 投 身 于 一 类 新 的 辩

    论 中 , 这 种 辩 论 , 从 那 时 候 起 一 直 到 现 在 , 是 包 括 在 拉 丁 教

    会 中 的 任 何 时 候 的 任 何 人 类 所 从 来 没 有 失 去 过 兴 趣 的 。 “ 罪

    过 ” ( S i n ) 的 性 质 和 它 的 可 以 由 继 承 而 转 让 — — 人 所 欠 的 债 务以 及 其 代 替 的 偿 还 — — “ 赎 罪 ” ( A t o n e m e n t ) 的 必 要 和 能 力— — 最 重 要 的 是 “ 自 由 意 志 ” 和 “ 神 意 ” ( D i v i n e P r o v i d e n c e ) 之 间 的 显 然 互 不 相 容 — — , 这 些 是 西 方 开 始 进 行

    辩 论 的 问 题 , 并 且 辩 论 时 象 东 方 在 讨 论 其 比 较 特 殊 的 信 条 的

    条 款 时 同 样 的 热 烈 。 然 则 , 在 这 个 把 希 腊 语 各 省 从 拉 丁 语 各

    省 分 离 开 来 的 分 界 线 的 两 边 , 为 什 么 竟 会 存 在 这 样 显 著 不 同的 两 类 神 学 上 问 题 ? 教 会 历 史 家 说 过 , 新 的 问 题 比 曾 把 东 方

    基 督 教 扯 得 粉 碎 的 那 些 问 题 更 多 “ 实 际 ” , 更 少 绝 对 理 论 , 他

    们 的 这 种 解 释 , 虽 已 接 近 答 案 , 但 就 我 所 注 意 到 的 , 他 们 中

    实 在 没 有 一 个 人 完 全 达 到 了 全 部 答 案 。 我 敢 毫 不 踌 躇 地 断 言 ,

    这 两 个 神 学 体 系 间 的 不 同 , 主 要 是 由 于 这 样 一 个 事 实 , 就 是

    神 学 理 论 由 东 方 传 到 西 方 时 , 它 是 由 希 腊 的 形 而 上 学 的 气 氛

    移 转 到 罗 马 法 的 气 氛 中 。 在 这 些 争 辩 成 为 有 压 倒 重 要 性 以 前

    的 几 个 世 纪 中 , 西 方 罗 马 人 的 一 切 智 力 活 动 都 完 全 花 费 在 法

    律 学 上 。 他 们 都 忙 于 把 一 套 特 殊 的 原 则 适 用 于 生 活 情 况 可 被

    安 排 的 一 切 结 合 中 。 没 有 任 何 外 来 的 工 作 或 风 尚 曾 把 他 们 的

    注 意 力 从 这 全 神 贯 注 的 事 情 上 转 移 开 来 , 并 且 为 了 继 续 这 样

    做 , 他 们 有 一 个 丰 富 而 精 确 的 词 汇 , 一 个 严 格 的 推 理 方 法 , 一

    批 多 少 已 为 经 验 所 证 实 的 有 关 行 动 的 通 则 , 和 一 个 严 正 的 道

    德 哲 学 。 因 此 他 们 也 就 不 可 能 不 从 基 督 教 记 录 的 各 项 问 题 中

    选 择 那 些 接 近 于 他 们 习 惯 的 纯 理 论 制 度 的 问 题 , 他 们 处 理 这

    些 问 题 的 态 度 也 就 不 可 能 不 来 自 他 们 的 法 庭 的 习 惯 。 几 乎 每

    一 个 对 罗 马 法 有 足 够 知 识 的 人 , 能 够 理 解 罗 马 刑 法 制 度 , 罗

    马 人 由 “ 契 约 或 侵 权 ” 创 设 的 债 的 理 论 , 罗 马 人 对 于 “ 债

    务 ” 以 及 对 于 “ 债 务 ” 产 生 、 消 灭 和 移 转 的 方 式 的 见 解 , 罗

    马 人 对 于 通 过 “ 概 括 继 承 ” 而 个 人 继 续 生 存 的 观 念 的 人 , 都

    可 以 说 明 : 西 方 科 学 问 题 经 证 明 对 它 非 常 意 气 相 投 的 心 境 是

    来 自 什 么 地 方 的 , 用 以 说 明 这 些 问 题 的 用 语 是 来 自 什 么 地 方

    的 , 以 及 应 用 于 其 解 决 中 的 推 理 方 法 又 是 来 自 什 么 地 方 的 。 必

    须 回 忆 一 下 , 这 逐 渐 渗 入 西 方 思 想 中 的 罗 马 法 既 不 是 古 城 市

    的 古 制 度 , 也 不 是 “ 拜 占 廷 皇 帝 ” 的 经 过 删 改 的 法 律 学 ; 当然 , 更 不 是 几 乎 埋 没 于 以 “ 现 代 民 法 ” 名 义 通 行 于 世 的 现 代

    纯 理 论 学 理 的 象 寄 生 物 那 样 的 过 度 发 展 中 的 大 量 规 则 。 我 所

    谈 的 , 只 是 指 由 安 托 宁 时 代 伟 大 法 律 思 想 家 所 研 究 出 来 的 、 部

    分 地 由 查 斯 丁 尼 安 的 “ 法 学 汇 纂 ” 加 以 转 载 的 法 律 哲 学 , 这

    个 体 系 很 少 缺 点 , 除 了 它 所 要 达 到 的 高 度 的 优 雅 、 明 确 和 精

    审 , 已 超 过 了 人 类 事 务 所 许 可 以 及 人 类 法 律 所 能 限 制 的 范 围 。

    许 多 英 国 著 名 的 和 有 信 誉 的 著 者 , 由 于 对 罗 马 法 的 无 知

    ( 这 是 英 国 人 不 得 不 立 即 承 认 , 但 有 时 不 以 为 耻 , 反 以 自 夸

    的 ) , 对 罗 马 帝 国 时 期 内 人 类 智 力 状 态 提 出 了 最 不 足 取 的 奇

    论 。 他 们 常 常 这 样 主 张 , 并 且 是 毫 不 踌 躇 地 、 好 象 在 提 出 这

    命 题 时 毫 不 卤 莽 似 的 , 认 为 从 奥 古 斯 多 时 代 终 了 的 时 候 起 一

    直 到 一 般 对 于 基 督 信 仰 开 始 发 生 兴 味 时 , 文 明 世 界 的 心 力 遭

    受 到 瘫 痪 症 的 猛 烈 侵 染 。 这 时 有 两 个 思 想 主 题 , — — 也 许 是

    除 了 自 然 科 学 之 外 仅 有 的 两 个 — — 可 以 供 人 们 所 具 有 的 一 切

    能 力 作 专 心 致 志 的 研 究 。 其 中 之 一 是 形 而 上 学 的 研 究 , 这 只

    要 人 愿 意 继 续 钻 研 是 没 有 限 制 的 ; 另 一 个 是 法 律 , 这 是 和 人

    类 的 事 务 同 样 地 广 大 的 。 恰 巧 在 上 述 的 时 期 中 , 操 希 腊 语 的

    名 省 专 心 从 事 于 其 一 , 而 操 拉 丁 语 的 各 省 又 专 心 于 另 一 种 问

    题 。 我 不 想 谈 亚 历 山 大 城 和 东 方 在 纯 理 论 研 究 方 面 的 成 果 ) 但

    我 大 胆 地 断 言 , 在 罗 马 和 西 方 的 手 中 有 一 件 工 作 , 足 以 补 偿

    在 其 他 智 力 上 的 欠 缺 , 并 且 我 要 附 带 说 明 一 句 , 他 们 所 获 得

    的 结 果 , 就 我 们 所 知 而 论 , 对 于 他 们 所 花 费 的 坚 毅 的 专 门 的

    劳 力 , 并 不 是 不 值 得 的 。 除 了 一 个 职 业 法 律 家 外 , 也 许 没 有

    人 能 完 全 了 解 “ 法 律 ” 能 吸 收 个 人 的 多 少 精 力 , 但 是 一 个 普

    通 人 也 不 难 理 解 为 什 么 罗 马 集 体 智 力 的 一 个 不 平 常 部 分 会 被法 律 学 所 独 占 。 “ 一 个 特 定 社 会 的 精 通 法 律 学 , 它 所 依 靠 的 条

    件 , 和 它 在 任 何 其 他 种 类 研 究 中 所 依 靠 的 条 件 终 久 是 完 全 相

    同 的 ; 而 条 件 中 最 主 要 的 是 全 国 智 力 花 费 的 比 例 , 以 及 时 间

    的 长 短 。 当 促 使 一 种 科 学 前 进 和 完 善 的 一 切 直 接 的 和 间 接 的

    原 因 结 合 在 一 起 时 , 这 种 结 合 在 从 ‘ 十 二 铜 表 法 ’ 到 两 个 帝

    国 分 裂 时 候 为 止 的 这 个 长 时 期 内 继 续 对 罗 马 的 法 律 学 发 生 作

    角 , — — 并 不 是 不 规 则 的 和 间 断 的 , 而 是 力 量 继 续 不 断 地 增

    长 , 数 量 继 续 不 断 地 增 加 的 。 我 们 可 以 看 到 , 一 个 年 轻 国 家

    最 早 的 智 力 活 动 是 研 究 它 的 法 律 。 一 当 人 们 的 智 力 第 一 次 有

    意 识 地 努 力 要 作 出 概 括 时 , 首 先 包 括 在 一 般 通 则 和 包 含 丰 富

    的 公 式 中 的 是 日 常 生 活 中 的 事 务 。 年 轻 共 和 国 集 中 一 切 精 力

    专 心 从 事 法 学 研 究 的 声 势 , 在 开 始 时 是 毫 无 限 制 的 ; 但 不 久

    就 终 止 了 。 智 力 不 再 为 法 律 所 垄 断 。 早 晨 集 合 在 伟 大 罗 马 法

    学 专 家 那 里 的 听 众 减 少 了 。 英 国 ‘ 法 学 院 ’ 的 学 生 数 从 几 千

    人 减 少 到 了 几 百 人 。 艺 术 、 文 学 、 科 学 和 政 治 在 全 国 的 知 识

    界 取 得 了 它 们 的 分 额 ; 而 法 律 学 的 实 践 则 限 制 于 一 个 职 业 界

    的 范 围 之 内 , 虽 然 并 不 是 有 限 的 或 是 无 关 重 要 的 , 但 它 所 以

    能 有 吸 引 力 , 一 方 面 是 由 于 这 一 门 科 学 的 固 有 的 引 人 之 处 , 另

    一 方 面 亦 是 由 于 因 此 而 可 能 获 得 的 酬 报 。 这 一 系 列 的 变 化 在

    罗 马 甚 至 比 在 英 国 表 现 得 更 为 显 著 。 到 共 和 国 时 代 的 末 期 , 法

    律 是 除 了 有 将 军 的 特 殊 天 才 的 人 以 外 一 切 有 才 干 的 人 的 唯 一

    天 地 。 但 是 到 了 奥 古 斯 多 时 代 , 一 个 新 的 智 力 发 展 的 阶 段 开

    始 了 , 正 象 我 们 的 伊 利 萨 伯 时 代 开 始 一 样 。 我 们 都 知 道 它 在

    诗 歌 和 散 文 上 的 成 就 ; 但 必 须 说 明 , 有 些 迹 象 表 明 在 其 装 饰

    文 学 的 光 辉 灿 烂 以 外 , 它 已 到 了 在 自 然 科 学 中 作 出 新 征 服 的前 夕 。 但 是 到 这 个 时 候 , 罗 马 国 家 中 智 力 的 历 史 已 不 再 和 智

    力 进 步 到 这 时 为 止 所 追 求 的 道 路 平 行 前 进 。 罗 马 文 学 严 格 讲

    起 来 只 能 说 是 昙 花 一 现 , 它 在 各 式 各 样 的 影 响 下 突 然 终 止 , 这

    些 影 响 虽 然 有 一 部 分 是 可 以 探 索 的 , 但 在 这 里 加 以 分 析 是 不

    适 当 的 。 古 代 的 知 识 界 有 力 地 被 推 囘 到 其 老 路 上 去 , 而 法 律

    又 成 为 专 属 于 天 才 的 正 常 范 围 , 正 和 罗 马 人 把 哲 学 和 诗 歌 蔑

    视 为 一 种 幼 稚 民 族 的 玩 具 的 时 代 一 样 。 在 帝 政 时 代 , 使 一 个

    有 天 才 的 人 从 事 于 法 学 专 家 的 事 业 的 外 因 , 其 性 质 究 竟 是 怎

    样 的 , 要 理 解 这 一 点 , 最 好 的 方 法 是 考 虑 他 在 选 择 职 业 时 所

    面 对 的 抉 择 。 他 可 能 成 为 一 个 修 辞 学 教 师 , 一 个 边 境 哨 地 的

    司 令 官 , 或 是 一 个 颂 词 的 职 业 著 者 。 此 外 , 能 容 纳 他 的 仅 有

    的 现 实 生 活 中 的 其 他 职 业 是 法 律 职 业 。 通 过 了 这 , 可 以 到 达

    财 富 、 名 誉 、 官 职 、 君 主 的 会 议 室 — — 甚 至 可 以 达 到 王 位 的

    本 身 。 ” (“ 剑 桥 论丛 ” , 1 8 5 6 年)

    学 习 法 律 学 的 报 酬 是 巨 大 的 , 所 以 在 帝 国 境 内 到 处 都 有

    法 律 学 校 , 甚 至 在 形 而 上 学 的 领 域 内 也 是 如 此 。 虽 然 帝 国 首

    都 迁 到 拜 占 廷 显 而 易 见 地 推 动 了 它 在 东 方 的 研 究 工 作 , 但 法

    律 学 从 没 有 能 推 翻 和 它 相 竞 争 的 各 种 学 问 。 它 所 用 的 语 言 是

    拉 丁 , 这 是 帝 国 东 半 部 的 一 种 外 来 方 言 。 只 是 对 西 方 我 们 可

    以 说 , 法 律 不 但 是 有 野 心 的 和 有 抱 负 的 人 的 精 神 食 粮 , 并 且

    是 一 切 智 力 活 动 的 唯 一 滋 养 。 对 于 罗 马 的 知 识 界 , 希 腊 哲 学

    仅 不 过 是 一 个 短 促 的 风 尚 , 并 且 当 新 的 东 方 首 都 建 立 , 帝 国

    分 裂 为 二 , 西 方 各 省 就 比 以 前 更 明 白 地 和 希 腊 纯 理 论 相 分 离 , 更 明 白 地 专 心 于 法 律 学 。 当 他 们 这 样 不 再 听 命 于 希 腊 人 , 并

    开 始 自 行 建 立 其 神 学 时 , 这 个 神 学 经 证 明 渗 透 了 法 律 的 观 念

    并 在 其 措 辞 中 用 了 法 律 的 用 语 。 当 然 , 在 西 方 神 学 中 , 这 个

    法 律 的 基 体 是 十 分 深 厚 的 。 一 套 新 的 希 腊 理 论 , 即 亚 里 士 多

    德 哲 学 , 后 来 流 入 西 方 , 并 且 几 乎 完 全 掩 没 了 土 著 的 学 理 。 但

    到 “ 宗 教 改 革 ” 、 它 部 分 地 摆 脱 了 它 们 的 影 响 时 , 它 立 即 用“ 法 律 ” 来 补 足 它 们 的 地 位 。 在 喀 尔 文 ( C a l v i n ) 和 阿 明 尼 阿斯 ( A r m i n i u s ) 两 种 宗 教 体 系 中 究 竟 哪 一 个 有 更 显 著 的 法 律性 质 , 这 是 很 难 说 的 。

    罗 马 人 的 特 殊 的 “ 契 约 ” 法 律 学 对 现 代 “ 法 律 ” 中 相 当部 门 所 发 生 的 巨 大 影 响 , 似 不 属 于 本 文 范 围 , 应 属 于 成 熟 的法 律 学 史 。 这 种 影 响 要 直 到 波 罗 诺 学 派 创 立 了 现 代 欧 洲 法 律学 后 才 感 觉 到 。 但 罗 马 人 在 帝 国 衰 亡 前 曾 把 “ 契 约 ” 概 念 发展 得 非 常 完 全 的 事 实 , 在 比 上 述 时 期 更 早 的 一 个 时 期 就 具 有重 要 性 。 我 曾 不 止 一 次 地 说 过 , “ 封 建 制 度 ” 是 古 代 蛮 族 习 惯和 罗 马 法 的 一 种 混 合 物 ; 其 他 任 何 解 释 都 是 不 足 信 的 , 甚 至是 不 可 领 会 的 。 封 建 时 代 最 早 的 社 会 形 式 和 原 始 人 类 到 处 结合 在 其 中 的 一 般 社 团 很 少 区 别 。 一 个 “ 封 地 ” 是 一 些 财 产 权利 和 人 身 权 利 不 可 分 解 地 混 合 在 一 起 的 一 种 有 机 的 、 完 全 的结 合 。 它 和 一 个 印 度 “ 村 落 共 产 体 ” 以 及 一 个 苏 格 兰 高原部族 社 团 有 许 多 共 同 之 处 。 但 封 建 社 会 仍 具 有 某 种 现 象 ,是我们 从 文 明 初 创 者 自 发 形 成 的 社 团 中 找 不 到 的 。 真 正 的古代共产 体 不 是 由 明 白 的 规 定 而 是 依 靠 情 绪 , 或 者 , 我 们 应 该 说 , 依靠 本 能 , 结 合 在 一 起 的 ; 凡 是 新 来 者 都 虚 假 地 装 做 有 血 统 关系 而 就 在 这 个 本 能 的 范 围 之 内 被 纳 入 社 团 的 。 但 是 最 早 的 封建 社 会 既 不 是 仅 仅 由 情 绪 结 合 起 来 的 , 也 不 是 靠 一 种 拟 制 来补 充 其 成 员 的 。 把 他 们 结 合 在 一 起 的 纽 带 是 “ 契 约 ” , 他 们 用和 新 伙 伴 缔 结 一 个 契 约 的 方 法 来 获 得 新 伙 伴 。 封 建 主 和 属 臣的 关 系 原 来 是 用 明 白 的 定 约 来 确 定 的 , 一 个 愿 意 把 自 己 用推荐或分封土地 的 方 法 接 纳 在 同 族 之 内 的 人 , 对 于 他 被 接 纳 的各 项 条 件 是 明 白 了 解 的 。 因 此 , 把 封 建 制 度 和 原 始 民 族 纯 粹惯 例 加 以 区 分 的 主 要 东 西 是 “ 契 约 ” 在 它 们 中 间 所 占 的 范 围 。封 建 主 具 有 一 个 宗 法 家 长 的 许 多 特 点 , 但 他 的 特 权 为 多 种 多样 确 立 的 习 惯 所 限 制 , 这 种 习 惯 来 自 分 封 土 地 时 经 过 同 意 的

    明 确 的 条 件 。 使 我 们 不 能 把 封 建 社 会 和 真 正 的 古 代 社 会 归 属

    一 类 , 其 主 要 的 不 同 之 点 就 是 由 此 而 来 的 。 封 建 社 会 比 较 持

    久 , 比 较 多 种 多 样 ; 它 们 所 以 持 久 , 是 因 为 明 确 的 规 定 比 本

    能 的 习 惯 不 容 易 毁 灭 , 其 所 以 多 种 多 样 , 是 因 为 它 们 所 根 据

    的 契 约 是 依 照 交 出 或 授 与 土 地 的 人 的 具 体 情 况 和 具 体 要 求 而

    调 节 的 。 这 最 后 的 理 由 可 以 用 来 说 明 那 在 我 们 中 间 流 行 的 关

    于 现 代 社 会 渊 源 的 通 俗 意 见 是 如 何 大 大 地 需 要 修 正 。 人 们 常

    说 , 现 代 文 明 的 外 貌 所 以 如 此 地 不 规 则 和 多 样 化 , 主 要 是 由

    于 日 耳 曼 民 族 的 丰 富 而 易 变 的 天 才 , 这 和 罗 马 帝 国 那 种 迟 钝的 常 规 是 完 全 不 同 的 。 真 相 是 , 罗 马 帝 国 把 法 律 概 念 遗传给了 现 代 社 会 , 而 这 种 不 规 则 正 是 来 自 那 些 法 律 概 念 ; 如 果 说蛮 族 的 习 惯 和 制 度 有 一 个 特 点 比 另 一 个 特 点 更 为 显 著 , 那 末这 个 特 点 就 是 它 们 的 极 端 一 致 。

    第 十 章   侵 权 和 犯 罪 的 早 期 史

    “ 条 顿 法 典 ” ( T e u t o n i c   C o d e s ) 包 括 我 们 盎 格 鲁 - 撒 克逊 的 法 典 在 内 , 是 流 传 到 我 们 手 里 的 唯 一 的 古 代 世 俗 法 律 , 关于 它 原 来 的 规 模 我 们 可 以 形 成 一 个 明 确 的 概 念 。 虽 然 罗 马 和希 腊 法 典 的 现 存 片 断 足 以 证 明 它 们 的 一 般 性 质 , 但 残 存 的 数

    量 不 多 , 还 不 够 使 我 们 十 分 确 切 地 知 道 它 们 到 底 有 多 大 的 篇

    幅 以 及 各 个 部 分 相 互 的 比 重 。 但 大 体 而 论 , 所 有 已 知 的 古 代

    法 的 蒐 集 都 有 一 个 共 同 的 特 点 使 它 们 和 成 熟 的 法 律 学 制 度 显

    然 不 同 。 最 显 著 的 差 别 在 于 刑 法 和 民 法 所 占 的 比 重 。 在 日 耳

    曼 法 典 中 , 民 事 部 分 的 法 律 比 刑 事 部 分 范 围 要 狭 小 得 多 。 德

    累 科 法 典 科 处 血 刑 的 传 统 , 似 乎 表 明 它 也 有 同 样 的 特 点 。 只

    有 在 “ 十 二 铜 表 法 ” ( 这 是 一 个 具 有 伟 大 法 律 天 才 和 一 个 温 良

    风 俗 的 社 会 的 产 物 ) 中 , 它 的 民 事 法 律 才 有 些 象 其 现 代 的 先

    例 ; 但 是 损 害 救 济 方 式 所 占 的 地 位 , 虽 然 不 是 异 常 巨 大 , 但

    却 是 相 当 大 的 。 我 以 为 可 以 这 样 说 , 法 典 愈 古 老 , 它 的 刑 事

    立 法 就 愈 详 细 、 愈 完 备 。 这 种 现 象 常 常 可 以 看 到 , 并 且 这 样

    解 释 无 疑 地 在 很 大 程 度 上 是 正 确 的 : 由 于 法 律 初 次 用 文 字 写

    成 时 , 社 会 中 经 常 发 生 强 暴 行 为 。 据 说 , 立 法 者 按 照 野 蛮 生

    活 中 某 一 类 事 件 发 生 次 数 的 多 少 以 分 配 其 工 作 的 比 重 。 但 我

    认 为 这 个 说 法 并 不 十 分 完 全 。 应 该 囘 想 一 下 , 在 古 代 的 蒐 集

    中 民 事 法 律 比 较 缺 少 是 和 本 文 中 所 讨 论 的 古 代 法 律 学 的 其 他特 征 相 一 致 的 。 文 明 社 会 所 施 行 的 法 律 的 民 事 部 分 , 有 十 分

    之 九 是 由 “ 人 法 ” 、 “ 财 产 和 继 承 法 ” 以 及 “ 契 约 法 ” 组 成 的 。

    但 是 很 显 然 , 当 我 们 越 接 近 社 会 的 萌 芽 时 代 , 这 一 切 法 律 学

    领 域 就 愈 缩 小 到 更 狭 小 的 范 围 之 内 。 既 然 一 切 身 分 形 式 都 共

    同 从 属 于 “ 父 权 ” 之 下 , 既 然 “ 妻 ” 对 其 “ 夫 ” 没 有 任 何 权

    利 , 子 对 其 父 也 没 有 任 何 权 利 , 以 及 婴 儿 “ 受 监 护 人 ” 对 作

    为 其 “ 监 护 人 ” 的 “ 宗 亲 ” , 也 没 有 任 何 权 利 , 这 个 等 于 是

    “ 身 分 法 ” 的 “ 人 法 ” 即 被 限 制 在 最 狭 小 的 限 度 内 。 同 样 地 ,

    有 关 “ 财 产 ” 和 “ 继 承 ” 的 规 定 决 不 会 很 多 的 , 既 然 土 地 和

    财 物 是 在 家 族 内 授 受 , 并 且 , 如 果 真 要 分 配 的 话 , 也 是 在 家

    族 的 范 围 内 进 行 的 。 但 是 , 古 代 民 法 中 最 大 的 缺 口 始 终 是 由

    于 缺 少 “ 契 约 ” 而 造 成 的 , 在 有 些 古 代 法 典 中 完 全 不 提 到

    “ 契 约 ” , 而 在 另 一 些 古 代 法 典 中 则 用 一 种 精 细 的 “ 宣 誓 ” 法

    律 来 代 替 “ 契 约 ” , 这 足 以 证 明 “ 契 约 ” 所 依 据 的 道 德 观 念 还

    没 有 成 熟 。 至 于 刑 法 , 则 并 没 有 同 样 的 使 它 贫 乏 的 理 由 , 因

    此 , 纵 使 我 们 不 应 冒 昧 地 宣 称 在 国 家 的 幼 年 时 代 总 是 一 个 无

    法 抑 制 的 强 暴 时 期 , 我 们 仍 旧 应 该 懂 得 为 什 么 刑 法 和 民 法 的

    现 代 关 系 竟 在 古 代 法 典 中 颠 倒 过 来 。

    我 曾 认 为 : 原 始 法 律 学 曾 以 近 代 所 不 知 道 的 优 先 给 与 ·

    ·

    罪 法 。 这 种 说 法 完 全 是 为 了 方 便 起 见 , 但 事 实 上 , 对 古 代 法

    典 的 仔 细 考 察 使 我 们 知 道 , 它 们 以 非 常 的 数 量 揭 示 的 法 律 并

    非 真 正 的 犯 罪 法 。 所 有 文 明 制 度 都 一 致 同 意 在 对 国 家 、 对 社

    会 所 犯 的 罪 行 和 对 个 人 所 犯 的 罪 行 之 间 , 应 该 有 所 区 别 , 这

    样 区 别 的 两 类 损 害 , 我 称 之 为 ·

    犯 ·

    罪 ( c l i m i n a ) 和 ·

    不 ·

    法 ·

    行 ·

    为( d e l i c t a ) , 虽 然 我 并 不 认 为 这 两 个 名 词 在 法 律 学 上 是 始 终 这样 一 致 应 用 的 。 古 代 社 会 的 刑 法 不 是 “ 犯 罪 ” 法 ; 这 是 “ 不

    法 行 为 ” 法 , 或 用 英 国 的 术 语 , 就 是 “ 侵 权 行 为 ” 法 。 被 害

    人 用 一 个 普 通 民 事 诉 讼 对 不 法 行 为 人 提 起 诉 讼 , 如 果 他 胜 诉 ,

    就 可 以 取 得 金 钱 形 式 的 损 害 补 偿 。 我 们 试 参 考 该 雅 士 在 “ 评

    释 ” 中 根 据 “ 十 二 铜 表 法 ” 对 刑 事 法 律 学 所 作 的 讨 论 , 可 以

    看 到 , 在 罗 马 法 所 承 认 的 民 事 不 法 行 为 的 开 头 有 ·

    窃 ·

    盗 ·

    罪 ( F u r At u m ) 。 我 们 在 习 惯 上 认 为 专 属 于犯 ·

    罪 的 罪 行 被 完 全 认 为 是不

    · 法 ·

    行为 , 并 且 不 仅 是 窃 盗 , 甚 至 凌 辱 和 强 盗 , 也 被 法 学 专 家

    把 它 们 和 扰 害 、 文 字 诽 谤 及 口 头 诽 谤 联 系 在 一 起 。 所 有 这 一

    切 都 产 生 了 “ 债 ” 或 是 ·

    法 ·

    锁 , 并 都 可 以 用 金 钱 支 付 以 为 补 偿 。

    但 这 个 特 点 , 最 有 力 地 表 现 在 日 耳 曼 部 落 的 统 一 法 律 ( t h e  

    c o n s o l i d a t e d   L a w s   o f   G e r m a n i c   t r i b e s ) 中 。 它 们 对 杀 人罪 也 不 例 外 有 一 个 庞 大 的 用 金 钱 赔 偿 的 制 度 , 至 于 轻 微 损 害 ,

    除 少 数 例 外 , 亦 有 一 个 同 样 庞 大 的 金 钱 赔 偿 制 度 。 垦 布 尔 先

    生 ( M r . K e m b l e s ) 〔 在 “ 盎 格 鲁 - 撒 克 逊 ” ( A n g l o -

    S a x o n s ) 卷 一 , 第 1 7 7 页 中 〕 写 道 : “ 根 据 盎 格 鲁 - 撒 克 逊 法

    律 , 对 于 每 一 个 自 由 人 的 生 命 , 都 可 以 按 照 他 的 身 分 而 以 一

    定 金 钱 为 赔 偿 , 对 于 其 身 受 的 每 一 个 创 伤 , 对 于 他 的 民 权 、 荣

    誉 或 安 宁 所 造 成 的 几 乎 每 一 种 损 害 , 都 可 以 用 相 当 的 金 钱 为

    赔 偿 ; 金 额 按 照 偶 然 情 势 而 增 加 ” 。 这 些 和 解 费 明 显 地 被 认 为

    是 收 入 的 一 种 有 价 值 的 来 源 ; 一 套 高 度 复 杂 的 规 则 规 定 着 申

    请 它 们 的 权 利 和 负 担 它 们 的 责 任 ; 并 且 象 我 在 前 面 已 经 说 过

    的 那 样 , 如 果 它 们 在 所 属 的 人 死 亡 时 还 没 有 清 偿 , 它 们 常 根

    据 一 些 特 殊 的 规 定 而 遗 传 下 去 。 因 此 , 如 果 一 种 ·

    侵 ·

    权 ·

    行 ·

    为 或

    ·

    不 ·

    法 ·

    行 ·

    为 的 标 准 是 : 被 认 为 受 到 损 害 的 是 被 损 害 的 个 人 而 不是 “ 国 家 ” , 则 可 断 言 , 在 法 律 学 幼 年 时 代 , 公 民 赖 以 保 护 使

    不 受 强 暴 或 诈 欺 的 , 不 是 “ 犯 罪 法 ” 而 是 “ 侵 权 行 为 法 ” 。

    于 是 , 在 原 始 法 律 学 中 “ 侵 权 行 为 ” 被 大 量 地 扩 大 了 。 必

    须 说 明 , 原 始 法 律 学 也 涉 及 “ 罪 过 ” 。 对 于 条 顿 法 典 , 我 们 几

    乎 是 毋 庸 作 这 样 的 说 明 的 , 因 为 我 们 所 接 受 到 的 这 些 法 典 的

    形 式 , 是 经 基 督 教 立 法 者 编 纂 或 改 写 过 的 。 但 是 , 在 非 基 督

    教 的 古 代 法 律 中 , 对 于 某 类 行 为 和 不 行 为 也 往 往 因 为 违 背 了

    神 的 指 示 和 命 令 而 加 以 刑 罚 。 雅 典 “ 阿 勒 乌 柏 果 斯 元 老 院 ”

    ( S e n a t e   o f   A r e o p a g u s ) 所 适 用 的 法 律 也 许 是 一 个 特 殊 的宗 教 法 典 , 而 在 罗 马 , 显 然 从 很 早 的 时 期 起 , 教 长 法 律 学 就

    对 通 奸 罪 、 渎 神 罪 以 及 谋 杀 罪 加 以 刑 罚 。 因 此 , 在 雅 典 和 在

    罗 马 各 省 中 , 法 律 处 罚 ·

    罪 ·

    过 。 他 们 也 有 处 罚 ·

    侵 ·

    权 ·

    行 ·

    为 的 法 律 。

    触 犯 “ 上 帝 ” 的 罪 行 的 概 念 产 生 了 第 一 类 的 律 令 ; 触 犯 邻 居

    的 概 念 产 生 了 第 二 类 的 律 令 ; 但 触 犯 国 家 或 集 成 社 会 的 观 念 ,

    并 没 有 一 开 始 就 产 生 一 个 真 正 的 犯 罪 法 律 学 。

    但 是 我 们 不 能 就 因 而 假 定 , 对 国 家 做 出 不 法 行 为 这 样 一

    种 简 单 而 基 本 的 概 念 , 是 在 任 何 原 始 社 会 中 都 缺 乏 的 。 很 可

    能 在 最 初 阻 止 犯 罪 法 律 发 展 的 真 正 原 因 , 正 是 由 于 这 个 概 念

    被 理 解 得 很 清 楚 明 白 。 无 论 如 何 , 当 罗 马 社 会 认 为 它 本 身 受

    到 了 损 害 时 , 它 即 绝 对 按 照 字 面 地 类 推 适 用 当 一 个 个 人 受 到

    不 法 行 为 时 所 发 生 的 后 果 , 国 家 对 不 法 行 为 的 个 人 就 用 一 个

    单 一 行 为 来 报 复 。 其 结 果 是 , 在 共 和 国 的 幼 年 时 代 , 对 于 严

    重 妨 害 国 家 安 全 或 国 家 利 益 的 每 一 种 罪 行 , 都 由 立 法 机 关 制

    定 一 个 单 独 法 令 来 加 以 处 罚 。 这 就 是 对 于 一 个 ·

    犯 ·

    罪 ( c r i m e n )的 最 古 概 念 — —犯 ·

    罪 是 一 种 涉 及 重 要 结 果 的 行 为 , 对 于 这 种行 为 , 国 家 不 交 给 民 事 法 院 或 宗 教 法 院 审 判 , 而 专 对 犯 罪 者

    制 定 一 个特 ·

    别法 ·

    律 ( p r i v i l e g i u m ) 加 以 处 理 。 因 此 , 每 一 个 起

    诉 都 用 一 种 痛 苦 和 刑 罚 状 ( a   b i l l   o f   p a i n s   a n d   p e n a l At i e s ) 的 形 式 , 而 审 判 一 个 犯 人 ( c r i m i n a l ) 所 用 的 一 种 诉 讼 程序 是 完 全 非 常 的 、 完 全 非 正 规 的 、 完 全 离 既 定 的 规 则 和 固 定

    条 件 而 独 立 的 。 一 方 面 由 于 执 行 正 义 的 法 院 就 是 主 权 国 家 本

    身 , 另 一 方 面 由 于 不 可 能 把 规 定 的 或 禁 止 的 行 为 加 以 分 类 , 因

    此 , 在 这 个 时 代 中 , 就 没 有 任 何 的 犯 罪 ·

    法 ·

    律 、 任 何 的 犯 罪 法

    律 学 。 所 用 的 程 序 和 通 过 一 条 普 通 法 令 的 形 式 完 全 相 同 ; 它

    是 由 同 样 的 人 物 提 议 , 并 且 用 完 全 同 样 的 仪 式 来 进 行 的 。 可

    以 注 意 的 是 , 当 一 种 犯 罪 法 律 连 同 执 行 它 的 一 套 “ 法 院 ” 和

    官 员 们 在 后 来 出 现 时 , 旧 的 程 序 可 能 是 由 于 它 符 合 于 理 论 , 仍

    旧 严 格 地 适 用 着 ; 由 于 这 一 种 方 法 不 复 为 人 所 信 任 , 罗 马 人

    民 常 对 触 犯 国 家 尊 严 的 人 保 留 着 用 一 种 特 别 法 律 加 以 处 罚 的

    权 力 。 凡 是 古 典 派 的 学 者 都 能 知 道 , 雅 典 的 ·

    痛 ·

    苦 ·

    和 ·

    刑 ·

    罚 ·

    ( Cι σ α γ γ CKι α ) 正 是 完 全 同 样 地 , 在 正 式 法 院 成 立 后 还 继 续 存

    在 。 我 们 也 知 道 , 当 条 顿 民 族 的 自 由 人 集 会 立 法 时 , 他 们 也

    主 张 有 权 刑 罚 特 别 凶 残 的 罪 行 , 或 刑 罚 占 有 崇 高 地 位 的 犯 人

    所 犯 的 罪 行 。 具 有 这 种 性 质 的 , 是 “ 盎 格 鲁 - 撒 克 逊 国 会 ”

    ( A n g l o - S a x o n   W i t e n a g e m o t ) 的 刑 事 管 辖 权 。

    也 许 有 人 以 为 , 我 所 说 的 古 代 和 现 代 关 于 刑 法 观 念 上 所

    存 在 的 不 同 , 只 是 在 口 头 上 存 在 。 可 以 这 样 说 , 社 会 除 了 用

    立 法 的 方 法 来 处 罚 犯 罪 外 , 从 最 早 的 时 代 起 , 它 就 用 它 的 法

    院 来 进 行 干 预 , 强 迫 不 法 行 为 人 补 偿 其 不 法 行 为 。 如 果 它 是

    这 样 做 了 , 那 就 始 终 可 以 假 定 社 会 在 某 些 方 面 由 于 他 造 成 的罪 行 而 受 到 了 损 害 。 但 是 , 不 论 这 个 推 论 在 今 天 的 我 们 看 来是 如 何 严 格 , 它 是 否 真 正 由 原 始 古 代 的 人 们 所 作 出 , 依 旧 是

    一 个 疑 问 。 国 家 在 最 早 时 代 ·

    通 ·

    过 ·

    其 ·

    法 ·

    院 而 进 行 干 涉 , 很 少 是

    由 于 国 家 受 到 了 损 害 这 个 观 念 , 这 从 下 述 的 情 况 中 可 以 看 出 ,

    即 在 原 来 的 司 法 行 政 中 , 它 所 采 用 的 程 序 , 主 要 是 摹 仿 私 人

    生 活 中 可 能 要 做 的 一 系 列 的 行 为 , 即 人 们 在 生 活 中 发 生 了 争

    执 , 但 在 后 来 不 得 不 把 他 们 的 争 执 提 交 和 解 。 高 级 官 吏 谨 慎

    地 仿 效 着 临 时 被 召 唤 来 的 一 个 私 人 公 断 者 的 态 度 。

    为 了 要 表 明 这 个 说 法 不 仅 仅 是 一 种 幻 想 , 我 将 提 出 它 所

    依 据 的 证 据 。 我 们 所 知 道 的 最 古 的 司 法 程 序 是 罗 马 人 的 “ 誓

    金 法 律 诉 讼 ” ( L e g i s   A c t i o   S a c r a m e n t i ) , 所 有 后 期 的 罗 马“ 诉 讼 法 ” ( L a w   o f   A c t i o n s ) 都 是 从 它 发 展 来 的 。 该 雅 士曾 详 尽 地 描 述 它 的 仪 式 。 初 看 起 来 , 这 好 象 是 毫 无 意 义 甚 至荒 谬 的 , 但 稍 加 注 意 , 就 可 使 我 们 了 解 它 的 意 义 。

    涉 讼 的 标 的 一 般 认 为 是 应 该 存 缴 到 法 院 中 的 。 如 果 是 动

    产 , 就 用 原 物 。 如 果 是 不 动 产 , 就 以 碎 片 或 样 品 为 代 替 ; 例

    如 土 地 用 一 块 泥 , 房 屋 用 一 块 砖 作 代 表 。 在 该 雅 士 所 选 的 例

    子 中 , 诉 讼 是 为 了 一 个 奴 隶 。 当 诉 讼 开 始 时 , 原 告 手 持 一 竿

    前 进 , 这 一 根 竿 子 据 该 雅 士 的 说 明 是 象 征 着 一 支 枪 。 他 抓 住

    了 奴 隶 , 并 用 下 述 语 句 主 张 他 的 权 利 , “我根据公民法的规定主张这个人是我所有的 ” ( H u n c   e g o   h o m i n e m   e x   J u r e   Q u i r i t i u m   m e u m   e s s e   d i c o   s e c u n d u m   s u a m   c a u s a m   s i c u t   d i x i ) ; 接 着 他 用 竿 触 他 , 说 , “现在把枪放在他身上 ” ( E c c e   t i b i   V i n d i c t a m   i m p o s u i ) 。 被 告 进 行 着 同样 的 一 系 列 的 行 为 和 动 作 。 这 时 裁 判 官 进 而 干 涉 , 他 吩 咐 诉讼 两 造 放 手 , “ 放开枪 ” ( M i t t i t e   a m b o   h o m i n e m ) 。 他 们 服从 了 , 原 告 就 要 求 被 告 提 出 其 干 涉 的 理 由 , “ 我请求这物件,你有什么理由主张权利 ” ( P o s t u l o   a n n e   d i c a s   g u a J  e x c a u s a J  v i n d i c a v e r i s ) , 对 这 个 问 题 所 给 与 的 回 答 是 一 个 新 的权 利 的 主 张 , “我已主张这物件是我所有,所以把枪放在他身上 ” ( J u s   p e r e g i   s i c u t   v i n d i c t a m   i m p o s u i ) 。 到 这 时 , 第一 个 请 求 人 提 出 一 笔 称 为 “ 誓 金 ” 的 金 钱 , 作 为 他 提 出 案 件正 当 的 赌 注 , 并 说 , “你的权利主张没有根据,我愿以誓金决胜负 ” ( Q u a n d o   t u   i n j u r i a J  p r o v o c a s t i , D Er i s   S a c r a m e n A

    t o   t e   p r o v o c o ) , 被 告 于 是 说 “ 我也给 ” ( S i m i l i t e r   e g o t e ) , 接 受 赌 注 。 这 以 后 的 程 序 已 不 再 是 一 种 正 式 需 要 的 了 , 但 须 注 意 , 裁 判 官 从 誓 金 中 提 取 保 证 金 , 这 些 保 证 金 常 被 解 入国 库 。

    这 是 每 一 个 古 罗 马 诉 讼 的 必 要 的 开 端 。 有 人 认 为 这 就 是

    一 个 戏 剧 化 的 “ 公 道 的 起 源 ” , 我 以 为 , 这 个 意 见 是 很 难 不 予

    同 意 的 。 两 个 带 武 器 的 人 为 了 某 种 引 起 纠 纷 的 财 产 而 争 吵 着 。

    裁 判 官 ,一个因恭敬谨慎和功绩而受尊敬的人 ( v i r   p i e t a t e

      g r a v i s ) , 恰 巧 经 过 , 居 间 要 求 停 止 争 执 。 争 吵 的 人 就 把 情况 告 诉 他 , 同 意 由 他 公 断 , 他 们 一 致 同 意 失 败 的 一 方 除 了 放 弃 争 执 的 标 的 物 外 , 并 应 以 一 定 数 量 的 金 钱 给 付 公 断 八 , 作 为 麻 烦 和 时 间 上 损 失 的 酬 报 。 如 果 不 是 由 于 一 个 意 外 的 巧 合,该 雅 士 所 描 写 的 一 个 “ 法 律 诉 讼 ” 中 必 要 的 诉 讼 程 序 , 实 质

    上 是 和 荷 马 所 描 写 的 给 “ 火 及 金 属 工 作 之 神 ” ( G o d H e p h Es t u s ) 铸 造 为 亚 济 里 斯 盾 牌 的 第 一 格 ( F i r s t C o m Ap a r t m e n t   o f   t h e   S h i l e d   o f   A c h i l l e s ) 的 两 个 主 题 之 一完 全 相 同 , 则 这 个 解 释 将 不 象 它 表 面 上 那 样 地 可 信 。 在 荷 马所 描 写 的 审 判 剧 内 , 似 乎 为 了 特 意 要 表 明 原 始 社 会 的 特 证 , 争

    议 不 是 为 了 财 产 , 而 是 为 了 一 个 杀 人 罪 的 和 解 费 。 一 个 人 说

    他 已 经 付 了 , 另 一 个 人 说 他 从 来 没 有 收 到 过 。 但 是 使 这 幅 图

    画 成 为 古 罗 马 实 践 的 复 本 的 细 节 就 是 指 定 要 交 给 法 官 的 酬

    金 。 两 个 塔 仑 ( t a l e n t ) 的 黄 金 放 在 中 间 , 这 些 黄 金 要 付 给 那个 能 把 判 决 的 理 由 解 释 得 使 听 众 感 到 极 为 满 意 的 人 。 这 个 数

    额 , 和 “ 誓 金 ” 的 细 小 相 比 , 显 得 十 分 巨 大 , 这 在 我 看 来 , 表

    示 着 变 动 中 的 惯 例 和 已 经 巩 固 为 法 律 的 惯 例 之 间 的 差 别 。 这

    被 诗 人 认 作 是 英 雄 时 代 城 市 生 活 中 一 个 显 著 的 、 特 有 的 、 但

    仍 旧 只 是 偶 然 的 特 点 而 加 以 介 绍 的 一 幕 , 在 民 事 诉 讼 的 历 史

    开 始 时 , 就 被 固 定 而 成 为 一 种 正 式 的 、 通 常 的 诉 讼 手 续 。 因

    此 , 很 自 然 , 在 一 个 “ 法 律 诉 讼 ” 中 , “ 法 官 ” 的 酬 劳 会 减 低

    到 一 个 合 理 的 数 额 , 并 且 不 再 用 公 决 的 方 法 把 它 公 断 给 许 多

    公 断 人 中 的 一 个 人 , 而 视 为 当 然 地 把 它 付 给 裁 判 官 所 代 表 的

    国 家 。 但 我 毫 不 怀 疑 , 荷 马 如 此 生 动 地 加 以 描 写 并 由 该 雅 士

    用 了 比 平 常 粗 劣 的 术 语 精 美 得 多 的 术 语 来 描 写 的 这 些 事 件 ,

    在 实 质 上 它 们 的 意 义 是 完 全 一 致 的 ; 为 了 肯 定 这 个 见 解 , 应

    该 附 加 说 明 , 许 多 观 察 现 代 欧 洲 最 早 司 法 惯 例 的 观 察 者 都 认

    为 “ 法 院 ” 加 于 罪 人 的 罚 金 原 来 就 是 誓 金 , “ 国 家 ” 并 不 因 为

    被 告 对 它 做 了 任 何 不 法 行 为 而 取 得 和 解 费 , 但 从 给 与 原 告 的

    赔 偿 中 取 得 一 分 作 为 时 间 和 麻 烦 的 公 平 代 价 。 垦 布 尔 先 生 明

    白 地 认 为 盎 格 鲁 - 撒 克 逊 的 b a n n u m 或 f r e d u m 具 有 这 种 性质 。

    古 代 法 律 还 提 供 了 其 他 证 据 , 证 明 最 古 的 司 法 官 吏 模 仿着 私 人 争 执 中 人 们 的 可 能 行 为 。 在 决 定 陪 偿 损 害 时 , 他 们 以

    在 该 案 件 的 情 况 下 一 个 被 害 人 可 能 要 采 取 报 复 的 程 度 作 为 他

    们 的 指 南 。 这 就 说 明 了 为 什 么 古 代 法 律 对 于 现 行 犯 或 犯 罪 后

    不 久 被 捕 的 犯 人 以 及 经 过 相 当 时 间 后 被 捕 的 犯 人 处 以 很 不 同

    的 刑 罚 的 原 故 。 在 古 罗 马 的 “ 盗 窃 法 ” 中 有 几 个 有 关 这 个 特

    点 的 奇 怪 例 证 。 “ 十 二 铜 表 法 ” 似 将 “ 盗 窃 罪 ” 分 为 “ 显 然

    的 ” 和 “ 非 显 然 的 ” 两 种 , 并 根 据 罪 行 归 类 的 不 同 而 处 以 显

    著 不 同 的 刑 罚 。 “ 显 然 的 窃 盗 ” 是 指 在 行 窃 的 屋 子 里 被 捕 的 人

    或 是 携 带 赃 物 向 安 全 处 所 逃 避 中 被 捕 的 人 ; 如 果 他 原 来 是 一

    个 奴 隶 , “ 十 二 铜 表 法 ” 判 处 他 死 刑 , 如 果 他 是 一 个 自 由 人 ,

    “ 十 二 铜 表 法 ” 判 处 他 为 财 产 所 有 人 的 奴 隶 。 “ 非 显 然 的 窃

    盗 ” 是 指 在 上 述 以 外 其 他 任 何 情 况 下 被 发 现 的 人 ; 对 这 一 类

    的 罪 人 , 旧 法 典 只 是 简 单 地 要 求 他 双 倍 偿 囘 他 所 偷 窃 的 价 值 。

    在 该 雅 士 时 代 , “ 十 二 铜 表 法 ” 对 “ 显 然 的 窃 盗 ” 的 过 度 严 酷 ,

    大 大 减 轻 了 , 但 是 法 律 仍 维 持 旧 的 原 则 , 处 以 四 倍 于 偷 窃 价

    值 的 罚 金 。 至 于 “ 非 显 然 的 窃 盗 ” 则 仍 旧 继 续 给 付 双 倍 。 古

    代 立 法 者 无 疑 地 认 为 , 如 果 让 被 害 的 财 产 所 有 人 自 己 处 理 , 则

    在 他 盛 怒 之 下 所 拟 加 的 刑 罚 必 将 和 窃 盗 在 一 个 相 当 时 期 后 发

    觉 时 , 他 所 能 满 意 的 刑 罚 , 完 全 不 同 ; 法 律 刑 罚 的 等 级 就 是

    根 据 这 个 考 虑 而 调 整 的 。 这 里 边 的 原 则 和 盎 格 鲁 - 撒 克 逊 及

    其 他 日 耳 曼 法 典 所 遵 循 的 原 则 完 全 相 同 , 这 些 法 典 规 定 人 赃

    并 获 的 窃 盗 应 当 场 绞 杀 或 斩 首 , 但 对 于 追 捕 已 经 中 断 而 仍 把

    他 杀 死 的 人 , 则 规 定 要 处 以 杀 人 罪 的 刑 罚 。 古 代 法 律 中 的 这

    些 区 别 有 力 地 证 明 一 个 改 进 的 和 一 个 粗 糙 的 法 律 学 之 间 的 距

    离 。 现 代 司 法 行 政 者 公 认 为 最 感 困 难 的 , 是 对 属 于 同 一 专 门类 型 的 各 种 罪 行 , 把 它 们 的 犯 罪 程 度 加 以 区 别 。 我 们 很 容 易

    说 一 个 人 犯 了 过 失 杀 人 罪 、 窃 盗 罪 或 重 婚 罪 , 但 如 果 要 确 定

    他 所 犯 道 德 罪 过 的 程 度 , 从 而 确 定 他 所 应 受 刑 罚 的 轻 重 , 则

    常 常 是 最 感 困 难 的 。 如 果 我 们 企 图 正 确 地 解 决 这 个 问 题 , 我

    们 在 决 疑 上 , 或 在 动 机 的 分 析 上 , 必 将 遇 到 困 难 ; 因 此 , 我

    们 今 日 的 法 律 就 开 始 了 一 种 日 益 增 长 的 倾 向 , 尽 可 能 对 这 问

    题 不 在 现 实 法 上 加 以 规 定 。 在 法 兰 西 , 当 陪 审 团 认 为 有 罪 时 ,

    究 竟 这 个 罪 是 否 有 可 以 减 轻 的 情 况 , 听 由 陪 审 团 加 以 决 定 ; 在

    英 格 兰 , 准 许 法 官 对 于 刑 罚 的 选 择 有 几 乎 无 限 的 伸 缩 范 围 ; 所

    有 的 国 家 都 对 误 用 法 律 保 留 着 叫 做 “ 赦 免 特 权 ” 的 一 种 最 后

    补 救 办 法 , 这 种 权 力 一 般 都 归 “ 元 首 ” ( C h i e f   M a g i s t r a t e ) 掌握 。 很 奇 怪 , 原 始 时 代 的 人 们 很 少 受 到 这 些 踌 躇 的 若 恼 , 他

    们 完 全 确 信 被 害 人 的 冲 动 是 他 有 权 要 求 报 复 的 正 当 标 准 , 并

    且 他 们 正 确 地 摹 仿 他 情 感 的 升 降 以 确 定 他 们 的 量 刑 标 准 。 我

    希 望 能 够 这 样 说 , 他 们 的 立 法 方 法 是 已 过 时 效 的 。 但 有 些 现

    代 法 律 制 度 , 在 遇 到 严 重 不 法 行 为 时 , 承 认 不 法 行 为 者 在 当

    场 被 捕 时 其 所 受 被 害 人 过 度 的 惩 罚 是 有 正 当 理 由 的 — — 这 一

    种 宽 纵 , 虽 然 在 表 面 上 看 来 似 乎 是 可 以 理 解 的 , 但 据 我 看 来 ,

    在 实 际 上 是 根 据 于 一 种 很 低 微 的 道 德 观 念 。

    我 曾 说 过 , 最 后 引 导 古 代 社 会 形 成 一 个 真 正 犯 罪 法 律 学

    的 理 由 , 是 非 常 简 单 的 。 国 家 自 以 为 是 受 到 损 害 了 , “ 人 民 议

    会 ” 就 用 伴 随 着 立 法 行 为 的 同 一 行 动 直 接 打 击 犯 人 。 最 古 犯

    罪 法 院 只 是 立 法 机 关 的 一 部 分 或 委 员 会 — — 虽 然 在 现 代 并 不

    完 全 是 如 此 , 我 将 有 机 会 指 出 — — 在 古 代 世 界 , 确 实 是 如 此

    的 。 无 论 如 何 , 这 是 最 大 的 两 个 古 国 的 法 律 史 所 指 出 的 结 论 ,在 一 个 情 况 中 是 相 当 清 楚 的 , 而 在 另 一 个 情 况 中 是 绝 对 明 白

    的 。 雅 典 的 原 始 刑 法 把 犯 罪 的 惩 罚 一 部 分 委 托 给 “ 执 政 官 ”

    ( A r c h o n s ) 作 为侵权行为 而 加 以 处 罚 , 一 部 分 委 托 给 “ 阿 勒乌 柏 果 斯 元 老 院 ” , 作 为 罪 过 而 加 以 处 罚 。 这 两 个 管 辖 权 在 最

    后 都 移 转 给 “ 希 黎 亚 ” ( H e l i Ea ) 即 平 民 高 等 法 院 ( t h e   H i g h   C o u r t   o f   P o p u l a r   J u s t i c e ) , 而 “ 执 政 官 ” 和 “ 阿 勒 乌柏 果 斯 ” 的 职 能 便 成 为 只 是 行 政 的 或 竟 完 全 无 意 义 的 了 。 但

    “ 希 黎 亚 ” 只 是 “ 议 会 ” 的 一 个 古 字 ; 古 典 时 代 的 “ 希 黎 亚 ”

    只 是 为 了 司 法 目 的 而 召 集 的 “ 人 民 议 会 ” , 著 名 的 雅 典 “ 迪 卡

    斯 德 黎 ” ( D i k a s t e r i e s ) 只 是 它 的 一 部 分 或 是 陪 审 官 。 在 罗 马 ,也 发 生 过 相 应 的 变 更 , 这 更 容 易 加 以 解 释 , 因 为 罗 马 人 把 他

    们 的 试 验 限 于 刑 法 , 他 们 和 雅 典 人 不 同 , 并 不 使 普 通 法 院 既

    有 民 事 的 又 有 刑 事 的 管 辖 权 。 罗 马 犯 罪 法 律 学 的 历 史 开 始 于

    古 “ 平 民 法 院 ” ( J u d i c i a   P o p u l i ) , 据 说 是 由 国 王 主 持 的 。 这

    些 全 然 是 在 立 法 形 式 下 对 大 罪 人 的 庄 严 审 判 。 但 似 乎 从 一 个

    很 早 的 时 期 起 , “ 民 会 ” 有 时 把 它 的 犯 罪 管 辖 权 委 托 一 个 “ 审

    问 处 ” ( Q u Es t i o ) 或 “ 委 员 会 ” , 它 和 “ 议 会 ” 的 关 系 , 正 和

    “ 众 议 院 ” 的 一 个 “ 委 员 会 ” 与 “ 议 院 ” 本 身 的 关 系 一 样 , 只

    是 罗 马 的 “ 委 员 ” 或 “ 审 问 官 ” ( Q u Es t o r e s ) 不 仅 对 “ 民

    全 ” 提 送 ·

    报 ·

    告 , 并 且 也 行 使 该 团 体 本 身 习 惯 上 行 使 的 一 切 权

    力 , 甚 至 包 括 对 “ 被 告 人 ” 判 刑 。 这 样 的 一 个 “ 审 问 处 ” 只

    被 指 定 审 判 一 种 特 殊 犯 人 , 但 并 没 有 规 定 不 许 可 二 个 或 三 个

    “ 审 问 处 ” 在 同 时 进 行 审 判 ; 很 可 能 , 当 有 几 件 对 社 会 的 严 重

    不 法 案 件 同 时 发 生 时 , 有 几 个 “ 审 问 处 ” 在 同 时 受 到 委 派 。 也

    有 迹 象 表 明 , 有 时 这 些 “ 审 问 处 ” 非 常 近 似 我 们 “ ·

    常 ·

    设 委 员会 ” ( S t a n d i n g   C o m m i t t e e s ) 的 性 质 , 因 为 它 们 是 定 期 委 任

    的 , 不 必 等 待 某 种 严 重 犯 罪 行 为 的 发 生 。 在 很 古 的 时 代 的 议

    事 录 中 被 提 到 过 的 , 旧 的 “ 弑 亲 审 问 官 ” ( Q u Es t o r e s   P a r r i Ac i d i ) 有 权 审 判 ( 或 如 有 的 人 认 为 的 那 样 , 有 权 搜 索 和 审 判 )一 切 弑 亲 和 谋 杀 案 件 , 他 们 似 乎 是 正 规 地 每 年 选 派 的 ; 而 审判 对 共 和 国 有 严 重 危 害 的 二 人 委 员 会 或 “ 叛 逆 二 人 委 员 会 ” ( D u u m v i r i   P e r d u e l l i o n i s ) , 大 多 数 著 者 也 相 信 是 定 期 指 派

    的 。 把 这 些 权 力 委 派 给 这 些 官 吏 , 使 我 们 又 前 进 了 一 步 。 不

    再 是 在 对 国 家 犯 罪 发 生 时 , 才 被 委 派 , 而 是 在 有 ·

    可 ·

    能 发 生 时 ,

    就 已 具 有 一 般 的 、 虽 然 是 暂 时 的 审 判 权 。 这 时 已 很 接 近 一 种

    正 规 的 犯 罪 法 律 学 , 这 也 可 以 从 “ 弑 亲 ” 和 “ 判 逆 ” 这 些 一

    般 用 语 上 显 示 出 来 , 这 些 用 语 标 志 着 已 临 近 彷 彿 是 犯 罪 分 类

    的 那 种 东 西 。

    但 真 正 的 犯 罪 法 要 到 纪 元 前 1 4 9 年 才 开 始 产 生 , 当 时 古

    尔 潘 尼 斯 · 披 梭 ( L . C a l p u r n i u s   P i s o ) 实 行 了 所 谓 “ 古 尔潘 尼 亚 贪 污 律 ” ( L e x   C a l p u r n i a   d e   R e p e t u n d i s ) 的 制 定

    法 。 这 个 法 律 适 用 于 有 关 盗 用 金 钱 ( R e p e t u n d a r u m   P e c u A

    n i a r u m ) 的 案 件 , 这 就 是 , 各 “ 省 民 ” ( P r o v i n c i a l s ) 对 总 督

    ( G o v e r n o r - G e n e r a l ) 不 正 当 征 收 的 金 钱 有 偿 还 的 请 求 权 , 但

    这 个 制 定 法 的 最 大 和 永 久 重 要 性 在 于 它 建 立 了 第 一 个 “ 永 久

    审 问 处 ” ( Q u Es t i o   P e r p e t u a ) 。 一 个 “ 永 久 审 问 处 ” 是 一 个

    ·

    永 ·

    久 的 委 员 会 , 和 那 些 临 时 的 以 及 那 些 暂 时 的 是 有 区 别 的 。 它

    是 一 个 正 规 的 刑 事 法 院 , 它 的 存 在 从 创 设 它 的 制 定 法 通 过 时

    候 起 , 一 直 继 续 到 废 弃 它 的 另 一 个 制 定 法 通 过 时 候 为 止 。 它

    的 成 员 不 是 象 较 早 的 “ 审 问 处 ” 的 成 员 那 样 特 别 任 命 的 , 而是 在 组 成 它 的 法 律 中 规 定 由 特 种 法 官 中 选 任 并 按 照 明 确 的 规

    定 进 行 更 换 。 它 有 权 审 理 的 罪 行 也 是 在 条 例 中 明 白 规 定 和 明

    白 下 定 义 的 , 新 的 “ 审 问 处 ” 有 权 在 将 来 审 判 一 切 人 , 如 果

    他 的 行 为 符 合 于 法 律 所 规 定 的 犯 罪 的 定 义 。 因 此 , 它 是 一 个

    正 规 的 犯 罪 司 法 机 关 , 行 使 一 种 真 正 的 刑 事 法 律 学 。

    因 此 , 原 始 犯 罪 法 史 可 分 为 四 个 阶 段 。 我 们 可 以 了 解 犯罪 的 概 念 和不法行为或侵权行为以及罪过 的 概 念 是 有 区 别的 , 在 犯 罪 的 概 念 中 包 括 着 对 国 家 或 社 会 集 体 所 加 损 害 的 概 念 , 我 们 首 先 发 现 的 是 , 共 和 国 按 照 这 概 念 的 字 面 意 义 由 它 自 己 直 接 干 预 或 由 它 用 单 独 行 为 对 那 些 损 害 国 家 的 人 给 予 报

    复 。 这 是 我 们 的 出 发 点 ; 每 一 个 公 诉 状 就 是 一 个 痛 苦 和 刑 罚

    状 , 这 是 一 个 特 别 法 律 , 指 明 犯 人 的 姓 名 , 并 规 定 他 的 刑 罚 。

    当 犯 罪 种 类 增 加 , 使 立 法 机 关 不 得 不 把 权 力 委 托 给 特 别 “ 审

    问 处 ” 或 “ 委 员 会 ” , 它 们 都 有 权 对 一 个 特 定 的 控 告 进 行 调 查 ,

    并 在 控 告 经 证 明 属 实 后 有 权 对 特 定 犯 人 加 以 处 罚 。 这 时 , ·

    ·

    二 ·

    步 方 告 完 成 。 当 立 法 机 关 不 再 等 待 一 个 犯 罪 发 生 以 后 方 才

    委 托 “ 审 问 处 ” , 而 在 某 种 犯 罪 有 发 生 的 可 能 以 及 预 防 这 些 犯

    罪 将 要 发 生 时 , 定 期 的 任 命 象 “ 弑 亲 审 问 处 ” 和 “ 叛 逆 二 人

    委 员 会 ” 那 样 的 “ 委 员 ” 时 , 它 又 作 了 ·

    另 ·

    一 ·

    次 运 动 。 至 ·

    最 ·

    阶 段 , “ 审 问 处 ” 从 定 期 的 或 临 时 的 变 为 永 久 的 法 院 — — 法 官

    们 不 再 由 指 派 委 员 会 的 特 定 法 律 加 以 指 定 , 而 是 规 定 在 将 来

    用 一 种 特 定 方 法 和 从 一 个 特 定 阶 级 中 选 任 — — , 并 把 某 种 行

    为 用 普 通 文 字 加 以 说 明 和 宣 布 为 有 罪 , 如 果 触 犯 了 , 就 将 处

    以 适 合 于 每 一 种 犯 罪 的 刑 罚 。

    如 果 “ 永 久 审 问 处 ” 有 一 个 较 长 的 历 史 , 它 们 将 无疑 的会 被 认 为 是 一 个 各 别 的 制 度 , 它 们 和 “ 民 会 ” 的 关 系 将 不 会比 我 们 自 己 的 法 院 和 君 主 之 间 的 关 系 更 为 密 切 , 君 主 在 理 论上 是 公 道 的 泉 源 。 但 帝 国 暴 政 在 它 们 的 渊 源 被 完 全 忘 却 前 就把 它 们 全 部 摧 毁 , 并 且 , 在 它 们 存 续 的 时 期 内 , 这 些 “ 永 久

    委 员 会 ” 被 罗 马 人 视 为 仅 仅 是 一 种 委 托 权 的 受 托 人 。 犯 罪 的

    审 判 权 被 认 为 是 立 法 机 关 的 一 种 自 然 属 性 , 而 公 民 的 心 理 总

    是 要 从 “ 审 问 处 ” 回 复 到 “ 民 会 ” , 是 民 会 把 它 不 可 分 割 的 职

    能 的 一 部 分 委 托 给 “ 审 问 处 ” 执 行 的 。 甚 至 在 “ 审 问 处 ” 成

    为 永 久 机 关 时 也 认 为 它 只 是 “ 平 民 议 会 ” 的 “ 委 员 会 ” — —

    只 是 为 一 个 较 高 的 权 威 服 役 的 机 关 — — , 这 个 看 法 有 重 要 的

    法 律 后 果 , 其 痕 迹 留 在 犯 罪 法 中 一 直 到 最 近 的 时 期 。 它 的 直

    接 结 果 之 一 是 在 “ 审 问 处 ” 成 立 了 很 久 之 后 , “ 民 会 ” 仍 继 续

    通 过 痛 苦 和 刑 罚 状 而 行 使 刑 事 管 辖 权 。 虽 然 立 法 机 关 为 了 便

    利 起 见 , 同 意 把 其 权 力 委 托 于 其 自 身 以 外 的 机 关 , 我 们 并 不

    能 就 认 为 它 已 经 完 全 放 弃 了 这 些 权 力 。 “ 民 会 ” 和 “ 审 问 处 ”

    继 续 平 行 地 审 判 犯 人 ; 在 平 民 发 生 任 何 不 平 常 的 大 公 愤 时 , 直

    到 共 和 国 消 灭 时 为 止 , 必 然 地 要 在 “ 部 落 民 会 ” ( A s s e m b l y  of t h e   T r i b e ) 前 对 其 对 象 提 起 控 诉 。

    共 和 国 各 种 制 度 中 最 显 著 的 特 征 之 一 也 来 自 始 “ 审 问

    处 ” 的 依 附 于 “ 民 会 ” 。 罗 马 共 和 国 刑 法 制 度 中 “ 死 ” 刑 的 消

    灭 一 向 是 上 一 世 纪 中 著 者 们 最 喜 爱 的 题 目 , 他 们 经 常 利 用 它

    指 出 罗 马 人 的 性 格 和 现 代 社 会 组 织 的 学 说 。 这 种 断 然 地 提 出

    的 理 由 , 认 为 它 纯 粹 是 出 于 偶 然 的 。 在 罗 马 立 法 机 关 陆 续 采

    取 的 三 种 形 式 中 , 为 众 所 习 知 的 一 种 , 即 “ 兵 员 民 会 ” ( C o m i t i a C e n t u r i a t a ) , 是 专 门 在 行 军 中 代 表 国 家 的 。 因 此 “ 兵 员 民众 ” 就 具 有 一 个 军 队 指 挥 官 所 应 有 的 一 切 权 力 , 它 有 权 使 所

    有 的 犯 过 失 的 人 , 遭 受 一 个 士 兵 在 违 犯 纪 律 时 所 应 得 的 同 样

    惩 戒 。 因 此 , “ 兵 员 民 会 ” 可 以 科 处 死 刑 。 但 “ 贵 族 民 会 ” 或

    “ 部 落 民 会 ” ( C o m i t i a   T r i b u t a ) 则 不 然 。 罗 马 城 中 的 罗 马 公

    民 是 由 宗 教 和 法 律 赋 与 神 圣 性 的 , 由 于 这 一 点 , 这 两 种 民 会

    就 都 受 到 了 束 缚 , 并 且 , 就 这 后 一 种 “ 部 落 民 会 ” 而 论 , 我

    们 确 知 : 根 据 确 定 的 原 则 , “ 部 落 民 会 ” 最 多 只 能 科 处 罚 金 ,

    既 然 刑 事 审 判 权 专 属 于 立 法 机 关 , 而 “ 兵 员 民 会 ” 和 “ 部 落

    民 众 ” 却 继 续 行 使 着 平 列 的 权 力 , 于 是 很 容 易 就 会 把 比 较 严

    重 的 犯 罪 向 科 处 较 重 刑 罚 的 立 法 机 关 起 诉 ; 但 在 这 时 , 比 较

    民 主 的 民 会 即 “ 部 落 民 会 ” 几 乎 已 完 全 代 替 了 别 的 民 会 , 成

    为 后 期 共 和 国 的 普 通 立 法 机 关 。 共 和 国 的 衰 落 , 正 当 “ 永 久

    审 问 处 ” 设 立 的 时 候 , 因 此 设 立 它 们 的 制 定 法 都 是 由 一 个 立

    法 机 关 通 过 , 而 过 个 立 法 机 关 本 身 在 通 常 开 会 时 也 不 能 对 一

    个 犯 人 判 处 死 刑 。 所 以 , 具 有 受 委 托 权 威 的 “ 永 久 司 法 委 员

    全 ” ( P e r m a n e n t   J u d i c i a l   C o m m i s s i o n s ) , 在 其 权 力 和 能 力

    上 , 受 到 委 派 权 力 给 它 的 团 体 所 具 有 的 权 力 限 度 的 限 制 。 它

    们 不 能 做 “ 部 落 民 会 ” 所 不 能 做 的 事 ; 既 然 “ 民 会 ” 不 能 判

    处 死 刑 , “ 审 问 处 ” 也 就 同 样 的 无 权 判 处 死 刑 。 这 样 达 到 的 变

    例 在 古 代 并 不 象 现 代 一 样 用 赞 成 的 眼 光 来 看 它 , 并 且 , 真 的 ,

    罗 马 人 的 性 格 是 否 会 因 此 而 变 好 , 是 个 疑 问 , 但 可 以 肯 定 的

    是 , “ 罗 马 宪 法 ” 竟 变 得 更 坏 。 正 如 每 一 个 跟 随 着 人 类 历 史 一

    直 流 传 到 今 日 的 制 度 一 样 , 死 刑 在 文 明 过 程 的 某 一 些 阶 段 中

    对 社 会 是 必 需 的 。 有 一 个 时 期 , 废 弃 死 刑 的 企 图 挫 败 了 作 为

    一 切 刑 法 根 源 的 两 大 本 能 。 如 果 没 有 了 死 刑 , 社 会 将 感 觉 到它 对 罪 人 没 有 获 得 充 分 的 报 复 , 同 时 也 将 以 为 刑 罚 的 赦 免 将

    不 足 以 阻 止 别 人 的 仿 效 。 罗 马 法 院 不 能 判 处 死 刑 , 显 然 地 、 直

    接 地 引 入 一 个 恐 怖 的 革 命 时 期 , 即 称 为 “ 公 敌 宣 言 ” ( P r o s c r i p At i o n s ) 的 , 在 这 期 间 内 , 一 切 法 律 都 正 式 停 止 执 行 , 只 因 为

    党 派 暴 行 不 能 为 它 所 渴 望 的 报 复 找 到 其 他 的 出 路 。 这 种 法 律

    的 间 歇 的 中 止 , 是 使 罗 马 人 民 政 治 能 力 衰 败 的 最 有 力 的 原 因 ;

    并 且 , 一 旦 到 达 这 样 境 地 , 我 们 可 以 毫 不 迟 疑 地 说 , 罗 马 自

    由 的 毁 灭 仅 仅 是 一 个 时 间 问 题 , 如 果 “ 法 院 ” 的 工 作 能 使 人

    民 的 热 情 有 一 个 适 当 的 出 口 , 司 法 诉 讼 的 形 式 将 无 疑 地 被 罪

    恶 昭 彰 地 滥 用 , 象 在 我 国 后 期 斯 图 亚 特 ( S t u a r t s ) 的 各 个 朝代 一 样 , 但 国 民 性 格 将 不 致 于 象 它 在 实 际 上 那 样 深 受 其 害 , 罗马 制 度 的 稳 定 也 不 致 于 象 它 在 实 际 上 那 样 严 重 受 到 削 弱 。

    我 还 要 提 一 提 罗 马 刑 事 制 度 中 由 这 同 一 的 司 法 权 的 理 论

    产 生 的 另 外 两 个 特 点 。 这 两 个 特 点 是 : 罗 马 刑 事 法 院 的 非 常

    众 多 以 及 犯 罪 分 类 的 变 化 繁 多 和 极 不 规 则 , 这 是 罗 马 刑 事 法

    律 学 全 部 历 史 中 一 贯 的 特 色 。 据 说 , 每 一 个审问处 , 不 论 是否 永 久 的 , 都 以 一 个 各 别 的 制 定 法 为 其 创 始 的 来 源 。 它 从 创

    设 它 的 法 律 得 到 权 力 ; 它 严 格 遵 守 其 特 许 状 所 规 定 的 范 围 , 对

    于 特 许 状 所 没 有 明 白 规 定 的 各 种 犯 罪 是 不 能 过 问 的 。 由 于 组

    成 各 种 “ 审 问 处 ” 的 制 定 法 都 是 为 了 适 应 特 种 紧 急 需 要 , 事

    实 上 每 一 种 制 定 法 都 是 为 了 惩 罚 当 时 的 情 况 特 别 令 人 憎 恶 和

    特 别 危 险 的 一 类 行 为 , 这 些 立 法 在 相 互 之 间 丝 毫 没 有 关 系 , 并

    且 也 没 有 共 同 原 则 把 它 们 联 系 起 来 。 同 时 存 在 的 不 同 犯 罪 法

    共 有 二 三 十 种 , 由 数 目 完 全 相 等 的 “ 审 问 处 ” 来 执 行 它 们 ; 在

    共 和 国 时 期 内 , 并 没 有 作 过 任 何 企 图 要 把 这 些 各 别 的 司 法 机关 合 而 为 一 , 或 是 要 把 委 任 它 们 和 规 定 它 们 责 任 的 各 种 制 定

    法 中 的 规 定 加 以 匀 称 。 这 个 时 期 罗 马 犯 罪 管 辖 权 的 情 况 在 某

    些 方 面 有 些 象 英 国 的 民 事 救 济 行 政 , 当 时 英 国 普 通 法 院 还 没

    有 把 那 种 拟 制 的 证 言 引 用 到 它 们 的 令 状 , 使 它 们 得 相 互 侵 入

    彼 此 的 特 殊 的 领 域 中 。 正 和 “ 审 问 处 ” 一 样 , 后 座 法 院 ( C o u r t of Q u e e n ’ s   B e n c h ) 、 民 事 高 等 法 院 ( C o m m o n  P l e a s ) 和 理 财 法 院 ( E x c h e q u e r ) 在 理 论 上 都 是 从 一 个 较 高 的权 威 分 出 来 的 机 关 , 并 且 每 一 个 机 关 都 分 别 主 管 一 类 特 种 案件 , 这 类 案 件 被 假 定 是 由 其 管 辖 权 的 泉 源 委 托 给 它 的 ; 不 过当 时 罗 马 “ 审 问 处 ” 在 数 量 上 远 不 止 三 个 , 如 要 把 分 属 于 每

    一 个 “ 审 问 处 ” 审 判 权 的 各 种 行 为 加 以 区 别 , 远 不 及 把 韦 斯

    敏 斯 德 三 种 法 院 的 范 围 加 以 划 分 那 样 便 当 。 在 各 个 不 同 的

    “ 审 问 处 ” 的 范 围 之 间 划 一 条 正 确 分 界 线 是 有 困 难 的 , 因 此 这

    样 多 的 罗 马 法 院 有 时 造 成 了 许 多 不 便 ; 我 们 很 惊 异 地 读 到 , 当

    一 个 人 所 犯 的 罪 行 不 能 立 即 明 了 究 竟 应 属 哪 一 个 类 别 时 , 他

    可 同 时 或 连 续 地 在 几 个 不 同 的 “ 委 员 会 ” 中 被 提 出 控 诉 , 以

    至 有 一 个 “ 委 员 会 ” 宣 布 它 有 权 来 认 定 他 有 罪 ; 并 且 , 虽 然

    某 一 个 “ 审 问 处 ” 的 定 罪 可 以 排 斥 其 他 “ 审 问 处 ” 的 审 判 权 ,

    但 某 一 个 “ 审 问 处 ” 所 作 的 无 罪 开 释 不 能 作 为 另 一 个 “ 审 问

    处 ” 提 出 控 告 时 的 辩 护 。 这 和 罗 马 民 事 法 律 的 规 定 直 接 相 反 ;

    我 们 并 且 可 以 确 定 , 象 罗 马 人 那 样 对 法 律 学 中 的 变 例 ( 或 者用 他 们 的 意 义 深 长 的 成 语粗野 ) 十 分 敏 感 的 人 民 , 是 不 会 长期 容 忍 这 种 情 况 的 , 如 果 不 是 “ 审 问 处 ” 的 忧 郁 的 历 史 使 它们 被 认 为 是 党 派 手 中 的 暂 时 武 器 , 而 不 是 惩 治 犯 罪 的 常 设 机构 。 皇 帝 不 久 就 消 除 了 这 种 审 判 权 的 重 复 和 冲 突 的 现 象 ; 但可 以 注 意 的 是 他 们 并 没 有 消 除 犯 罪 法 中 的 另 一 个 特 点 , 这 是和 “ 法 院 ” 的 数 量 有 密 切 关 系 的 。 甚 至 包 括 在 查 斯 丁 尼 安“ 民 法 大 全 ” 中 的 犯 罪 分 类 也 是 非 常 反 复 多 变 的 。 事 实 上 每 一

    个 “ 审 问 处 ” 都 把 自 己 局 限 于 由 其 特 许 状 委 托 给 它 审 判 的 各

    种 罪 行 。 但 这 些 罪 行 在 原 来 制 定 法 中 所 以 归 类 在 一 起 , 只 是

    因 为 在 这 一 项 制 定 法 通 过 时 这 些 罪 行 恰 巧 同 时 需 要 法 律 加 以

    惩 罚 。 因 此 , 在 这 些 罪 之 间 未 必 一 定 有 任 何 共 同 之 点 ; 但 是

    它 们 在 一 个 特 定 “ 审 问 处 ” 中 构 成 一 特 定 的 审 判 题 目 , 这 一

    个 事 实 很 自 然 地 会 给 群 众 以 深 刻 的 印 象 , 同 时 在 同 一 制 定 法

    中 所 提 到 的 各 种 罪 行 之 间 的 联 系 又 是 如 此 的 根 深 蒂 固 , 甚 至

    在 西 拉 和 奥 古 斯 多 皇 帝 正 式 企 图 整 理 罗 马 犯 罪 法 时 , 立 法 者

    还 是 保 留 着 旧 的 分 类 方 法 。 西 拉 和 奥 古 斯 多 的 制 定 法 是 帝 国

    刑 事 法 律 学 的 基 础 , 这 些 制 定 法 所 传 给 法 律 学 的 有 些 分 类 是

    非 常 特 别 的 。 我 试 举 一 个 简 单 的 例 子 ,伪证 是 始 终 和割伤 以及毒杀 归 类 在 一 起 , 这 无 疑 是 由 于 一 条 西 拉 法 律 即 “ 哥 尼 流暗 杀 和 毒 杀 律 ” ( L e x   C o r n e l i a   d e   S i c a r i s   e t   V e n e f i Ac i s ) 曾 把 这 三 种 形 式 的 罪 行 的 审 判 权 给 与 同 一 个 “ 永 久 委 员会 ” 。 同 时 可 以 看 到 , 这 种 罪 行 的 任 意 归 类 也 影 响 到 罗 马 人 的方 言 。 人 民 自 然 地 养 成 这 样 一 种 习 惯 , 即 把 列 举 在 一 条 法 律中 的 各 种 罪 行 用 单 子 上 的 第 一 个 名 称 来 称 呼 它 , 而 这 个 名 称也 就 用 来 称 呼 授 权 审 判 这 些 罪 行 的 法 院 。 凡 是 由 “ 通 奸 审 问处 ” ( Q u Es t i o   D e   A d u l t e r i s ) 审 判 的 罪 行 便 都 称 为 “ 通 奸罪 ” ( A d u l t e r y )。

    我 对 罗 马 “ 审 问 处 ” 的 历 史 和 特 征 所 以 不 厌 其 详 地 加 以说 明 , 是 因 为 一 个 刑 事 法 律 学 的 形 成 从 没 有 在 任 何 其 他 地 方这 样 有 启 发 地 例 证 过 。 最 后 的 一 批 “ 审 问 处 ” 是 由 奥 古 斯 多皇 帝 加 设 的 , 从 这 时 候 起 , 罗 马 人 可 以 说 已 具 有 一 个 相 当 完

    全 的 犯 罪 法 了 。 和 它 发 展 的 同 时 , 类 推 的 过 程 继 续 进 行 着 , 我

    把 这 个 过 程 称 为 把 “ 不 法 行 为 ” 改 变 为 “ 犯 罪 ” , 因 为 , 虽 然

    罗 马 法 立 机 关 对 于 比 较 凶 暴 的 罪 行 并 没 有 废 止 民 事 救 济 , 它

    给 被 害 人 提 供 了 他 一 定 愿 意 选 择 的 一 种 赔 偿 。 但 是 , 即 在 奥

    古 斯 多 完 成 其 立 法 以 后 , 有 几 种 罪 行 仍 继 续 被 视 为 “ 不 法 行

    为 ” , 而 这 些 罪 行 在 现 代 社 会 看 起 来 , 是 应 该 作 为 犯 罪 的 ; 直

    到 后 来 , 在 一 个 不 能 确 定 的 时 期 , 当 法 律 开 始 注 意 到 一 种 在

    “ 法 学 汇 纂 ” 中 称 为非常犯罪 ( c r i m i n a   e x t r a o r d i n a r i a ) 的 新的 罪 行 时 , 它 们 才 成 为 刑 事 上 可 以 处 罚 的 罪 行 。 无 疑 的 , 有 一 类 行 为 , 罗 马 法 律 学 理 论 是 单 纯 地 把 它 们 看 做 不 法 行 为 的 ;但 是 社 会 的 尊 严 心 日 益 提 高 , 反 对 对 这 些 行 为 的 犯 罪 者 在 给 付 金 钱 赔 偿 损 失 以 外 不 加 其 他 较 重 的 处 罚 , 因 此 , 如 果 被 害 人 愿 意 时 , 准 许 把 它 们 作 为 非 常 ( e x t r a   o r d i n e m ) 犯 罪 而 起诉 , 即 通 过 一 种 在 某 些 方 面 和 普 通 程 序 不 同 的 救 济 方 式 而 起诉 。 从 这 些非常犯罪 第 一 次 被 承 认 的 时 期 起 , 罗 马 国 家 的 犯 罪 表 一 定 和 现 代 世 界 任 何 社 会 中 所 有 的 同 样 地 长 。

    我 们 没 有 必 要 详 细 描 写 罗 马 帝 国 执 行 犯 罪 司 法 的 方 式 ,但 须 注 意 , 它 的 理 论 和 实 践 都 对 现 代 社 会 发 生 有 力 的 影 响 。 皇帝 们 并 不 直 接 废 弃 “ 审 问 处 ” , 在 开 始 时 , 他 们 把 一 种 广 泛 的 刑 事 审 判 权 交 给 “ 元 老 院 ” ( S e n a t e ) , 虽 然 事 实 上 它 其 中 可 能显 得 很 卑 贱 , 但 在 这 个 “ 元 老 院 ” 中 皇 帝 在 名 义 上 也 和 其 余的 人 一 样 只 是 一 个 “ 议 员 ” ( S e n a t o r ) 。 皇 帝 在 开 始 时 就 主 张 要 有 某 几 种 并 行 的 犯 罪 审 判 权 ; 这 种 审 判 权 跟 着 对 自 由 共 和国 的 记 忆 日 益 衰 退 而 坚 定 地 扩 大 着 , 它 占 取 了 古 法 院 的 权 力 。 逐 渐 地 , 对 犯 罪 的 惩 罚 权 移 转 给 直 接 由 皇 帝 委 派 的 高 级 官 吏 , “ 元 老 院 ” 的 特 权 移 转 到 “ 帝 国 枢 密 院 ” ( l m p e r i a l   P r i v y C o u n c i l ) , “ 帝 国 枢 密 院 ” 也 就 成 了 一 个 最 后 刑 事 上 诉 法 院 。 在 这 些 影 响 下 , 现 代 人 所 熟 悉 的 学 理 在 不 知 不 觉 中 形 成 了 , 即 君 主 是 一 切 “ 公 道 ” 的 泉 源 , 是 一 切 “ 美 德 ” 的 受 托 人 。 帝国 在 这 时 候 已 达 到 完 善 的 地 步 , 这 不 是 不 断 增 长 阿 谀 和 卑 贱的 结 果 , 而 是 帝 国 集 权 的 结 果 。 事 实 上 , 刑 事 公 道 的 理 论 已几 乎 回 到 了 它 开 始 的 出 发 点 。 它 开 始 时 相 信 应 该 由 集 合 体 用其 自 己 的 手 来 报 复 其 自 己 的 不 法 行 为 ; 它 最 后 所 采 的 学 理 则以 为 犯 罪 的 惩 罚 在 一 种 特 殊 方 式 中 属 于 君 主 , 他 是 人 民 的 代表 和 受 托 人 。 这 种 新 的 见 解 和 旧 的 见 解 不 同 , 主 要 在 于 公 道 监 护 所 给 予 君 主 个 人 的 敬 畏 和 庄 严 气 概 。

    罗 马 人 对 于 君 主 和 公 道 关 系 的 一 个 较 近 的 见 解 , 当 然 有助 于 使 现 代 社 会 可 以 无 须 经 过 这 一 系 列 的 变 化 , 象 我 在 “ 审问 处 ” 的 历 史 中 已 经 例 证 过 了 的 。 在 居 住 于 西 欧 的 几 乎所有民 族 的 原 始 法 律 中 , 都 有 这 样 一 个 古 代 概 念 的 迹 象 ,即犯罪的 处 罚 属 于 自 由 人 的 议 会 , 在 有 些 国 家 中 — — 据 说 苏 格兰是其 中 之 — — 现 存 司 法 机 关 的 渊 源 可 以 追 溯 到 立 法 机 关的一个“ 委 员 会 ” 。 但 犯 罪 法 普 遍 由 于 两 种 原 因 而 得 到 更 快 的 发 展 , 这两 种 原 因 , 即 罗 马 帝 国 的 回 忆 和 教 会 的 影 响 。 一 方 面 , 凯 撒的 威 严 传 统 由 于 查 理 曼 王 朝 的 暂 时 得 势 而 被 保 全 , 使 君 主 具有 一 个 蛮 族 酋 长 所 决 不 能 获 得 的 一 种 威 望 , 并 使 最 小 的 封 建主 也 有 了 社 会 保 护 人 和 国 家 代 表 人 的 资 格 。 另 一 方 面 , 教 会急 于 控 制 凶 暴 残 忍 行 为 , 对 比 较 严 重 的 恶 行 树 立 惩 罚 的 权 威 ,在 “ 圣 经 ” 的 有 些 章 节 中 , 有 些 语 句 同 意 以 刑 罚 之 权 授 与 民事 高 级 官 吏 。 “ 新 约 全 书 ” 认 为 世 俗 统 治 者 的 存 在 是 为 了 使 作恶 之 人 有 所 恐 惧 ; “ 旧 约 全 书 “ 认 为 “ 流 人 血 者 , 人 亦 流 其血 ” 。 我 以 为 , 毫 无 疑 问 , 对 于 犯 罪 问 题 的 各 种 现 代 观 念 都 根据 “ 黑 暗 时 代 ” 教 会 所 主 张 的 两 种 假 定 — — 第 一 , 每 一 个 封建 统 治 者 在 他 的 地 位 上 得 比 拟 于 圣 · 保 罗所谈 到 的 罗 马 高 级 官 吏 ; 其 次 , 他 所 要 惩 罚 的 罪 行 是 “ 摩 西 十诫 ” ( M o s a i c   C o m m a n d m e n t s ) 中 规 定 要 禁 止 的 , 或 是 教 会并 不 保 留 在 其 自 己 审 判 权 之 内 的 。 “ 异 端 ” ( H e r e s y ) ( 被 假 定为 包 括 在 “ 第 一 诫 ” 和 “ 第 二 诫 ” 中 的 ) 、 “ 通 奸 ” 和 “ 伪证 ” 是 宗 教 罪 行 , 教 会 只 允 许 世 俗 权 力 在 发 生 非 常 严 重 案 件时 才 予 以 合 作 以 便 课 以 较 重 的 刑 罚 。 同 时 , 它 教 导 我 们 , 各式 各 样 的 谋 杀 和 强 盗 案 件 之 所 以 都 属 于 民 事 统 治 者 的 管 辖 ,这 不 是 由 于 他 们 地 位 的 偶 然 结 果 , 而 是 由 于 上 帝 的 明 白 命 令 。在 关 于 阿 尔 弗 烈 德 国 王 ( K i n g   A l f r e d ) ( 垦 布 尔 , 卷 二 ,第 2 0 9 页 ) 的 著 作 中 , 有 这 样 一 段 , 特 别 明 显 地 说 明 在 他 的时 代 关 于 刑 事 审 判 权 的 起 源 流 行 着 的 各 种 观 念 的 争 论。可 以看 到 , 阿 尔 弗 烈 德 认 为 它 半 属 于 教 会 权 威 , 半 属 于 “ 国 会 议员 ” ( W i t a n ) , 他 明 白 主 张 反 叛 地 主 罪 可 以 不 受 普 通 规 定 的 管辖 , 正 和 罗 马 “ 大 法 ” ( L a w   o f   M a j e s t a s ) 规 定 反 叛 凯 撒罪 应 不 受 普 通 规 定 管 辖 相 同 。 “ 在 这 以 后 ” , 他 说 , “ 有 许 多 国家 接 受 了 对 基 督 的 信 仰 ( 有 许 多 宗 教 会 议 遍 及 地 球 各 处 , 在英 国 人 中 当 他 们 接 受 了 基 督 信 仰 , 不 论 对 神 圣 主 教 的 , 或 是对 崇 高 的 ‘ 国 会 议 员 ’ 的 ) 之 后 , 也 是 如 此 。 他 们 于 是 规 定 ,由 于 基 督 的 慈 悲 之 心 , 世 俗 的 君 主 们 在 取 得 他 们 的 许 可 后 , 得不 犯 罪 过 而 对 每 一 恶 行 取 得 他 们 所 规 定 的 以 金 钱 表 现 的 · 博脱( b o t ) ; 除 了 反 叛 君 主 外 , 对 于 这 种 情 形 , 他 们 是 不 敢 给 与 任何 慈 悲 的 , 因 为 ‘ 全 能 的 上 帝 ’ 对 于 藐 视 ‘ 他 ’ 的 , 不 为 定罪 , 基 督 对 于 把 ‘ 他 ’ 出 卖 致 死 的 , 也 不 为 定 罪 , ‘ 他 ’ 命 令一 个 君 主 应 该 受 人 爱 戴 , 象 ‘ 他 自 己 ’ 受 人 爱 戴 一 样 。 ”

  • 密码保护:张广友《抹不掉的记忆》

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  • 陈熙:延续香火的理想与普遍绝嗣的现实—基于家谱的人口数据

    摘要:延续香火、传宗接代(本文所讨论的传嗣、绝嗣、传宗接代等皆以男性后代为判断标准,这符合中国历史的传统。在历史上尽管也有女性作为继承人的现象存在, 但是在传统观念和实际中,绝大多数都是以是否有男性后代作为是否绝嗣的判断标准)是传统社会人们的普遍愿望和理想,然而,由于传统时代人口的高死亡率和极短的预期寿命, 延续香火的理想对于大多数人来说难以实现, 绝嗣现象普遍存在。 本文依据家谱的人口信息, 通过构建虚拟的家族支脉,考察了清代两百余年间家族支脉的繁衍状况。 结果显示,仅有13.61%的人在经历了两百余年的生存竞争后, 能够拥有自己的后代, 而其他大多数都已绝嗣,传嗣的理想和现实之间存在巨大的落差。

    一、引言

    “不孝有三 , 无后为大 。” 孟子的这句话典型反映了传统社会对家族延续的强烈愿望与伦理要求, 传宗接代成为人生中最重要的使命。 费孝通曾指出, 延续 “香火” 的观念深入民间, 是中国社会最重要的信念 (费孝通,1982)。 然而这一理想在现实中究竟多大程度上能够被实现, 却鲜有实证性的证据。 明清以后民间编修了大量的家谱, 清晰地记载了家族人口的繁衍过程, 包括个人的生卒年月和亲属关系等, 这就为研究人口繁衍和香火延续问题提供了最有效的资料。

    尽管清代人口出现了爆炸性的增长, 从康熙十八年 (1679) 的 1.6 亿增加到宣统二年 (1910)的 4.36 亿 (曹树基, 2001), 但人口的死亡率仍然居高不下, 预期寿命也非常低, 人口再生产依然是处于传统的高出生、 高死亡的状态, 出生预期寿命可能低于 30 岁 (Zhao, 2000)。 根据家谱资料的研究结果显示, 18 世纪十五岁男子的人均预期寿命仅有 35-38 岁 (Yuan I-Chin, 1931; 刘翠溶, 1992; 侯杨方, 2000)。 李中清等根据辽宁户籍登记资料发现, 清朝 1-5 岁年龄组男性人口的预期寿命是 35.9 岁, 女性是 29 岁 (James Lee & Cameron Campbell, 1997)。 到了 1920 年代,中国农村人口的出生预期寿命也仅仅为 24.2 岁 (Barclay, G.W., A.J. Coale, M.A. Stoto and T.J.Trussell , 1976)。 根据寇尔-德曼的模型生命表 , 在出生预期寿命为 30 岁的情况下 , 40%的人会在 10 岁前死亡, 50%的人在 20 岁前死亡 (Coale and Demeny, 1983), 这意味着近半数的人在进入婚姻状态之前就死去, 无法完成传宗接代的使命。

    清代的婴幼儿死亡率估计较为困难, 但总体上期间婴幼儿死亡率处于很高的水平。 由于清代皇室族谱对女儿和早殇儿童的登记较为完备, 李中清等对皇室族谱的研究显示, 清代婴幼儿的死亡率为 100-400‰ (James Lee, Wang Feng, Cameron Campbell, 1994)。 而在 1774-1873 年间辽宁农村孩子中 (1-5 岁), 女孩死亡率为 316‰, 男孩为 266‰ (李中清、 王丰, 2000)。 民国以后区域性的人口调查增多, 20 世纪三十年代许士廉估计婴幼儿的死亡率在 250‰左右 (许士廉,1930)。 四十年代初, 呈贡男性婴儿死亡率为 212.1‰, 女性为 211.1‰ (陈达, 1981)。

    早婚被认为是中国历史人口的一个重要特征, 但是最近的一些研究表明, 仅仅是女性早婚,而男性有不少人是在 30、 40 岁才结婚, 超过 5%的男性甚至终生未婚 (李中清、 王丰, 2000),受高死亡率影响, 丧偶发生的可能性很高, 这都会对生育后代产生消极影响。

    已有的历史人口学研究表明, 尽管具体的数值有所差异, 但在清代以至民国, 中国人口的死亡率处在一个很高的水平, 婴幼儿死亡率尤其高, 人口的预期寿命短暂。 在高死亡率面前,传嗣的难度大大增加, 延续香火的理想与人口高死亡率之间发生了明显的冲突。

    清代人口总量快速增长和极低的预期寿命这两个宏观层面的特征, 似乎同时作用于微观家族人口的繁衍上。 通过观察家谱的世系图很容易发现, 家族中有些支脉拥有数量庞大的后代, 人口数量快速增加, 而有些支脉则人丁稀少, 逐渐绝嗣。 人口繁衍的机会在各个支脉之间并非均等分布。 在人口总量的快速增长的同时, 绝嗣现象却普遍地发生, 这两个看似相互矛盾的现象, 让我们推出这样的假设: 即清末规模庞大的人口, 可能就只是清朝初期一小部分人的后代, 而清初的1.6 亿人中的绝大多数, 在后来的两百余年间, 都陆续绝嗣了。 这就意味着传嗣的理想对于大多数人可能都是难以实现的, 只有少数人能够拥有自己的后代。

    本文利用家谱资料进行历史人口学的研究, 试图通过家谱数据来检验和测定延续香火的理想与现实之间的差距, 并在此基础上对人口再生产规律进行思考。

    二、文献回顾

    对于中国的历史人口研究, 家谱是进行定量分析的重要资料之一(另外一个重要的数据来源是户口册, 目前已经发现并建立完善数据库的是由李中清 (James Lee) 团队开发的 “中国多世代人口数据库——辽宁部分 (CMGPD-LN)”)。 家谱作为一种长时段的人口记录, 通常有几百年甚至上千年的记载, 适合用于长时段的人口分析。 与正史和方志中记载的数据不同, 由于家谱属于民间私修, 修家谱的主要目的是为了显示本族的兴旺发达, 源远流长(葛剑雄, 1999), 不像官方的人口资料, 家谱没有刻意隐瞒家族人口的必要 (Telford, 1992)。 此外, 不同于官方记载中的宏观人口统计, 家谱是基于个人层面的记载, 包括个人的出生、 死亡等信息, 将这些信息整理为数据库, 便可以获得适用于人口分析的统计指标。 这些优势条件使得家谱自上世纪七八十年代以来, 逐渐成为研究中国历史微观人口行为的核心资料。

    然而, 和其他历史人口学资料一样,家谱也存在着自身的缺陷, 其中最主要的问题是对女儿和早殇儿童漏记的问题 (Meskill,1970;Telford,1986,1990; Harrell, 1987; 刘翠溶, 1992),以及由于漏记导致的对死亡率的低估和代表性问题, 即家谱可能更多反映的是繁衍成功的家族人口状况, 不一定能够代表全部人口 (Zhao, 1994, 2001)。 因为存在这些漏记的问题, 所以在利用家谱数据做出结论时, 需要特别地谨慎 (Harrell, 1995)。 尽管不完美, 家谱仍然是研究中国历史人口的重要资料, 利用 CAMSIM 方法进行微观人口模拟与家谱数据进行比对证明, 家谱提供的诸多人口统计指标是可靠的 (Zhao, 1994), 谨慎对待这些漏记问题, 仍可以从家谱数据中得到合理和准确的人口信息 (Liu, 1978, 1985)。

    上世纪八十年代以来, 利用家谱进行历史人口学研究形成了许多重要的成果, 对明清以来的中国人口, 尤其是近两百年人口的死亡率、 结婚率、 生育率等有了深入的研究; 家庭结构也是重要的议题, 不过由于家谱无法直接提供家庭规模的数据, 因而研究家谱的学者只能从人口条件对家庭结构的制约角度对家庭问题进行探讨 (刘翠溶, 1992)。 人口条件对家庭的制约, 主要表现在较短的人均寿命限制了大家庭的实现。 由于人均寿命较短, 多代同堂难以实现, 使得核心家庭是主流的家庭模式 (Zhao, 1994, 2000)。 这些研究对历史人口的诸多方面进行了深入探讨,然而,从家族本身的延续方面进行考察的研究则相对较少。 早期 Freedman 等对中国传统宗族的研究显示, 家族内部成员之间的社会经济地位是呈现分化状态, 既包含富有的商人, 也包含落魄的贫民;既有拥有功名、 地位显赫的士绅, 也有处于社会底层的农民 (Freedman, 1958)。 这意味着财富和社会声望在家族内部的分配是不均匀的, 集中在特定的优势支脉中, 这种优势在繁衍后代过程中不断累积和放大。 通过对浙江萧山三个家族的研究, Harrell 证明了那些拥有更多功名的富有的支脉, 他们的子孙数量不成比例地占据了人口的大部分 (Harrell, 1985)。 John C. H. Fei (1982)等对十个家族人口的发展历程进行考察, 发现家族人口的增长存在一个 CMV (critical maximum value), 即当家族人口增长到最高点时 , 家族就不可避免地走向瓦解 , 这可能归因于在特定区域内土地资源的短缺带来的竞争导致。 因此, 最初占有优势的家族, 随着家族人口规模的增加, 家族优势在不同支脉之间不均衡分配, 使得族内的优势支脉与劣势支脉的分化, 家族内部开始新一轮的贫富分化, 演绎着类似家族之间的生存竞争。

    三、家谱数据与方法

    本文利用 《松源魏氏宗谱》 进行分析。 松源镇地处福建西北山区, 地形相对封闭, 属于河谷盆地, 受外界影响较小。 魏氏宗谱最早编修于明代正德八年 (1513 年), 其后历次增修, 民国六年(1917) 进行了第五次增修。 不间断地修谱可以减少因时间久远、 对祖先信息记忆模糊造成的谬误, 提高记载准确性。 家谱中与人口统计相关的记载是世系表, 包括男子的世系、父子关系、排行、 职位、功名、出生日期、死亡日期、 妻子的出生日期、 死亡日期、儿子和女儿的名字和数量以及早殇和出继子女的情况等。 此外家谱的世系图则详细地绘制了家族内部的代际传承关系,这对于考察家族人口的代际繁衍过程提供了方便。 不可避免的是, 魏氏家谱也存在着漏记的问题,比如对女儿的信息记载不全, 往往只记载女儿的数量而没有记载女儿的生卒年; 对于早殇儿童的记载存在遗漏, 往往只记载早殇儿子的个数, 对女儿早殇的记载几乎没有。不过,本文重点并不在于估计人口的死亡率, 因此女儿和早殇儿童的漏记造成的影响会相对较小。 另外,魏氏宗族的另一个优点在于,由于地理位置相对封闭,历史上受到战乱影响很小, 历史上诸如太平天国战争等造成重大人口损失的事件,对该地区的影响很小。

    与以往的研究不同, 本文的研究单位是支脉, 而不是个人或者家庭。 本文重点考察的是整个家族的传承, 即家族的延续和消亡情况。 研究存在一个实际的困难是, 历史上有些家族成功繁衍,家族规模不断壮大,而有些家族则繁衍失败, 走向绝嗣, 那些能够编修家谱的家族, 都属于繁衍成功者,而在历史上绝嗣的家族曾经在历史上出现过, 却没有家谱传世, 因而无法分析他们的人口状况。 幸运的是, 即使在一个成功家族的内部, 各个支脉的繁衍状况也是不一样的,在一些支脉繁衍壮大的同时, 家族中的另一些支脉却逐渐消亡。 家族之间生存竞争在家族内部不同支脉之间也同样存在。 然而, 成功家族内部的失败者的信息被相对完整地保存在家谱里,这使得我们有可能重新复原历史上不同支脉之间在繁衍过程中的竞争场景。

    基于这样的设想,本文将魏氏宗谱中的第 20 世设置为繁衍竞争开始的第 1 世。 第 20 世共有169个男性,以他们的嫡系子孙为各自的后代, 假设他们各自成为一个独立的家族 , 这样便可以得到 169 个虚拟的支脉, 作为本文的基本研究单位。 第 20 世中最早出生的时间是清顺治七年(1650), 作为观测开始时间 ; 1917 年是第五次修谱时间 , 作为结束时间 。 由此可以观测这 169 个支脉, 共计 1360 个男性, 在这 267 年间的繁衍和消亡历程。

    四、支脉繁衍竞争状况

    从 1650-1917 年, 魏氏家族整个家族是逐步扩张的。 在 1650-1770 年间, 该家族的每二十年新生男子数从初期的 16 人逐渐增加到 100 人左右, 1770 年之后每二十年新生男子数稳定在80-100 人。

    不过,尽管新生男子数在稳定增加, 但是新增人口在各个支脉之间的分布是极不均匀的。 在本文设定的竞争起点 1650 年, 这169 个支脉都只有一名男子 , 起点上是公平的; 但竞争开始之后,有些支脉繁衍昌盛,人口逐渐增多,而有些 支 脉 逐 渐 绝 嗣 。 每 经 历一代,都有一定数 量 的 支脉被淘汰(见图 1)。

    松源魏氏在经历第一代繁衍后,淘汰了43.8%的支脉, 即有超过四成的支脉绝嗣; 至第二代则淘汰了 62.13%的支脉, 第三代淘汰了71.60%,可见,三代之内,松源魏氏的大多数支脉的香火已断,支脉被淘汰的速度非常快。 之后由于存留的支脉总数较少, 因而绝嗣的速度逐渐放缓。 能繁衍 5 代的支脉, 大多数已经成为魏氏家族中的人丁兴旺的大支。 延续香火对于这些大支而言,变得相对容易。 直到最后观测时间 1917 年, 初期的 169 支脉中的 86.39%已经先后绝嗣。 这就意味着, 在经历 267 年的繁衍竞争之后,最后只有 13.61%的人能够有自己的嫡系后代。

    以上的分析结果与赵中维运用 CAMSIM 方法进行的微观人口模拟实验的结果相近。在赵中维的实验中, 3000 人经过 9 代的繁衍后, 只有 398 人有自己的后代,传嗣的比例也仅有13.27%(Zhao,2001)。 由于每个家族人口具有一定的特殊性,以上数据并不能直接推广到其他人口 ,但是可以反映人口繁衍的大致趋势, 即传嗣的难度很大, 绝嗣现象普遍存在, 传宗接代的使命对于大多数人都是难以完成的。

    在整个繁衍历程中,魏氏家族共生育了1360个男性,而这1360 个男性并非在各个支脉中平均分布。

    从表 1 的累计百分比一栏可以看到, 占 74.56%即将近 3 / 4 的支脉只有 5 个人及以下, 这些人丁稀少的支脉面临绝嗣的可能性很大; 而人数能达到 26 人以上的支脉只有 7.69%, 这些人口众多的支脉属于繁衍过程中的胜利者。 少数优势支脉占据了大量的人口, 而大多数的劣势支脉占据比重很小的人口比重。 人口在各个支脉之间的分布严重失衡。

    这 1360 个男性分配在 169 条支脉中分布的基尼系数是 0.719, 可见人口的分布是非常不均衡的。 这就为我们描绘了人口繁衍竞争中的一个侧面, 即少数优势支脉逐渐繁荣, 呈现不对称地壮大起来,占据了大量的人口,排挤了其他支脉的发展, 而其他大量的劣势支脉则逐步走向绝嗣。

    优势支脉的繁荣和劣势支脉的淘汰是一个循环过程, 当原先的优势支脉后代人数不断增多, 其内部也开始出现分化,有些能继承前人的优势, 而有些则衰弱下去,于是开始了新一轮的优势淘汰劣势的过程又重新上演。

    五、传嗣的影响因素

    理论上,影响支脉是否能传嗣因子有很多, 然而家谱所能够提供的解释性因素主要包括以下几个方面: 生育子女数、 妻子数、 社会经济地位指标 (是否担任族长和是否有功名)、早殇儿童数和过继。 由于因变量的取值在传嗣和绝嗣之间的二元变量 , 故 采 用 Logistic 回 归 分析,结果如表 2 所示。

    (一) 生育子女数

    生育子女数是影响传嗣与否最直接的因素。 在相同的医疗卫生条件和营养水平下, 生育子女数越多,传嗣的机会越大。在回归模型1中,只考虑儿子数和女儿数两个变量的影响, 结果显示两者对于提高传嗣几率都有显著的正向作用, 而且在模型 2、 3中分别加入职位、 功名、早殇儿童数等其他变量之后, 儿子数和女儿数这两个变量的作用因素并没有减弱,可见其影响大小是稳定的。

    需要注意的是,女儿数的系数明显大于儿子数, 这是由于家谱对女儿记载不完备导致的, 并不意味着生育女儿更容易传嗣。在全 部 记 录 中 , 每 个 男 性 平 均 生 育 儿 子 1.1个, 生育女儿 0.3 个, 这说明女儿存在严重的漏记。 更重要的是, 随着时间的推移, 对女儿的记载逐渐增多。 表 3 显示的是有出生年记载的父亲 (占总数的 70.15%) 生育的儿子和女儿数, 其中年份是指父亲出生的年份。 1750 年以后,女儿的记载逐渐增多, 而大量绝嗣的支脉已经在 1650-1750 年退出了历史舞台, 这就导致女儿大多数出现在传嗣的支脉中, 绝嗣支脉中女儿记载很少, 进而造成回归方程中女儿数的影响系数大于儿子数的反常现象。

    (二) 妻子数

    一般认为, 妻子 (包含妾和续弦) 数越多, 生育的儿子和女儿也会越多, 进而提高传嗣的概率, 然而这一假设并不能得到回归方程的支持, 如回归模型 2。 考虑到女儿的记载偏差以及女儿数理论上和儿子数量对传嗣贡献一样, 因而在模型 2 中, 去掉了女儿数这个变量, 只考虑儿子数和妻子数的影响。 妻子数这个变量对于传嗣的影响呈现微弱的负向作用,但是未能通过显著性检验, 在模型 3 加入社会经济变量后, 妻子数仍未能通过检验。

    进一步通过比较绝嗣支脉和传嗣支脉中的已婚男子娶妻状况发现, 两者也没有明显的差别。 如表 4 所示, 已婚的绝嗣男子和传嗣男子都以娶 1 个妻子为主, 均占 80%以上; 两个妻子的比例都还较高, 达到 10%以上, 多妻的比例都很低。 表 4 说明, 在妻子数量和结构上,绝嗣男子和传嗣男子并没有区别。

    需要注意的是, 绝嗣男子的未婚比例要高于传嗣男子, 这也是造成绝嗣的重要原因。 比较已婚的绝嗣和传嗣男子的婚姻状态的意义在于说明, 男子一旦进入婚姻状态后, 娶妻的多少并不影响传嗣。 未婚而亡或者不婚当然意味着绝嗣, 但是多妻也并不能明显提高传嗣的机会。 在已婚的男性中, 妻子数量和生育儿子数量之间的相关系数仅为 0.075, 相关性微弱, 这进一步说明妻子数与儿子数无关, 多妻并未能带来多子。 由于妻子的数量很少存在漏记情况, 儿子的记载也较为完备, 这个结论具有较好的可信度。 已有的研究显示, 在传统社会, 人们生育的目的是为了传嗣,如果有足够多的儿子, 那么人们就可能提早结束生育行为 (侯杨方, 1998; Zhao, 2006)。 妻子数量对传嗣没有明显影响, 这也可以说明, 在由男性主导生育行为的传统社会, 女性的生育潜力被大量闲置。

    (三) 社会经济地位

    在婚姻和繁衍后代中占据优势者, 主要归功于他们较高的社会经济地位 (Telford, 1992)。家族中那些拥有功名的人, 能够较早地结婚和生育, 这使得他们更容易获得子嗣, 可以说是 “富人拥有后代” (Harrell 1985)。 对英国工业革命以前的人口研究发现, 财富状况和子嗣数量之间有着明显的相关性, 最富有的人留下的后代数量是最贫穷的人的两倍 (Gregory Clark and Gillian Hamilton, 2006)。 贫穷推迟了男性结婚年龄 (Freedman, 1958), 并成为导致 35 岁以上男性未婚的主要原因 (陈意新、 曹树基, 2002)。 在 18 和 19 世纪, 上层贵族的儿子中到 30-40岁时只有6%的人未婚, 而下层贵族中单身的比例却达到 12% (李中清、王丰,2000), 而在安徽桐城,绅士 阶 层 的 儿 子 中 20 岁 以 上 尚 未 结 婚 的 只 有5% , 而 非 绅 士 阶 层 的 儿 子 则 有 15% 是 单 身(Telford,1994)。 穷人在婚姻市场上处于劣势地位 , 未婚比例的增加 , 自然提高了绝嗣的概率 ,而晚婚也压缩了夫妻双方的生育期, 在人均预期寿命很低的时代, 生育期的缩短对于子女数量的影响是明显的。此外, 贫穷带来的营养不良问题也降低了生育能力 (劳伦斯·斯通,2011),这些使得在前现代社会富人往往拥有更多的孩子。

    除了影响结婚率外, 社会经济因素还会影响到人们的生育决策和行为。 已有的研究显示, 传统中国的人口生育行为存在人为控制, 并非处于纯粹的 “自然的状态”,人们会根据家庭经济状况和对未来的预期进行生育控制, 当人们拥有足够保证传嗣的儿子数时, 就可能停止生育,以减轻经济负担 (James Lee & Cameron Campbell, 1997; 侯杨方,1998;Zhao,2006)。 婚后推迟生育、 提早结束生育年龄、 延长生育间隔是形成低生育的三种人口机制 (李中清、 王丰,2000)。因此, 贫困可能会影响人们生育决策和预期, 减少子女数, 同时溺婴的可能性也在增加。 另外,富裕的家庭可以为成员提供较好的生活条件和医疗条件, 并在灾荒年间降低死亡率。

    在家谱资料中, 直接对个人的收入状况的记载很少, 因而需要寻找其他的代用指标。 本文分别选取 “族长” 代表经济状况、 用 “功名” 代表社会地位。 族长是整个家族的权威代表,族长所在的支脉往往拥有更多的资源, 进而提高结婚的机会, 例如在辽宁农村, 族长的结婚概率比普通人高三倍 (李中清、 王丰, 2000); 功名则是社会地位的重要指标, 拥有国家赐予的功名,不仅可以享受到国家的物质补助, 同时也在地方上享有一定的社会地位和声望。 一方面,考取功名需要一定的经济基础, 尽管不乏穷人获取功名的例子, 但通常只有经济条件较好的家庭,才有能力供养后代读书考取功名; 另一方面, 许多的功名是花钱捐来的, 捐得的功名越多, 也反映出家族的财力。 在表 2 的模型 3 中, 族长这个变量的影响作用很大, 并通过了显著性检验;功名变量虽然没有通过检验, 但该变量对传嗣的作用也是正向的。 进一步通过卡方分析表明, 在有功名的人当中,传嗣的比例远远高于绝嗣; 而在没有功名的人当中, 这一差距要小得多 (见表 5)。功名和传嗣之间的卡方系数为 32.836 (p=0.000), 可见, 是否拥有功名对于是否拥有后代的影响是显著的。

    对族长和功名所代表的社会经济地位变量所进行的研究,再次验证了前人的研究结论,即经济上占优势的人群更容易得到后代。这种优势在近亲之间得到传播和继承(James Lee &Cameron Campbell,1997),使得优势得到进一步的扩大,进而使得所在的支脉逐渐繁荣壮大起来。

    (四) 过继

    过继是传统社会为了维持家族香火延续而常用的一种方式。 过继包括出继和入继两个方面。 这里并没有将过继的因素放在回归方程中,主要是因为,不论是出继还是入继,都同时包含对延续香火积极和消极的意义。就入继而言,一方面入继可以弥补自己没有男性后代的缺憾,有助于延续香火,但另一方面, 需要入继这一事件本身也表明该支人丁衰微,几近断了香火。因此,过继因素在延续后代方面,同时具有一正一负两相矛盾的作用,不便于直接进入方程。 表6统计了家族中出入继的情况。

    若以 “无过继” 群体为平均水平的话, 则 “入继 1 子” 群体的绝嗣比例略低于平均水平, 表明入继在一定程度上起到了延续香火的作用; 出继 1 子的人, 其绝嗣比例则明显高于平均水平,说明出继不利于传嗣。 实际上, 大多数时候是辈分较低者的儿子过继给辈分较高者, 比如弟弟的儿子过继给兄长。 这意味着在某种程度上, 家庭地位也会影响到绝嗣的发生。

    除了上述因素外, 早殇儿童数量理论上也是影响因素之一。 尽管由于家谱中对早殇儿童的记载存在严重的遗漏, 使得估计儿童的死亡率水平存在困难, 我们还是找到了 77 条早殇儿童的记载。 在回归方程中,早殇儿童的因素勉强能够通过检验, 并显示对传嗣产生负面影响, 即随着早殇儿童的增多,传嗣的概率可能下降。早殇儿童数量越多, 可能意味着营养和医疗卫生条件越差。不过由于早殇儿童漏记的问题, 此仅作参考。

    六、结论

    尽管延续香火、 传宗接代是人们的普遍理想, 人们为此也做出种种努力, 但是现实当中, 人们所向往的那种儿孙满堂的理想情景并不多见,恰恰相反, 绝嗣才是更为普遍的现实。 经历了这267年间后,只有 13.61%的人留下了自己的后代 , 尽管期间人口总量在不断增长,但是绝嗣现象仍普遍发生,人们延续香火的理想受到普遍绝嗣现实的狙击。

    在影响传嗣的诸多因子中,生子数的影响最为直接,在同等死亡率下,生子数越多, 传嗣的机会也就越大。生子数的多少最终受制于社会经济因素的影响,在家谱数据中表现为占据更多资源和声望的族长容易有后代,拥有功名的人也容易使得本支脉得到延续。 在人口繁衍的过程中,这些占据更多资源的人群在生存竞争中取得优势, 这种优势被逐步累计和放大,使得他们的后代逐渐占据了人口的主体部分。占人口大多数的弱势人群则逐步被排挤和淘汰,最终绝嗣。人数最多的 10%支脉, 占据了总人口的 62.72%; 而人数最少的 10%的支脉,只拥有总人口的1.25%,繁衍的机会在不同支脉之间是极不均等的。

    当代欧美发达国家人口不愿意多生育、 而拉美、非洲、 东南亚等发展中国家和地区维持相对较高的生育率, 进而出现了落后地区人口比重上升, 而发达国家地区的人口比重下降的局面。这种人口的逆向淘汰的出现,前提条件是生育和死亡大体已经在人类的掌控范围之内,尤其是在人们可以较为有效地控制流行病和饥荒。 然而在传统时期的中国, 人们显然还无法自主选择生育、控制死亡, 相反, 死亡水平决定并塑造了人口的再生产方式。 那么, 在这种情况下,人口的繁衍可能遵循着 “优胜劣汰” 的自然法则,那些占据较好的社会经济地位的家族,能够提供较为充足的营养、 相对清洁的居住条件,尤其是在爆发大规模流行病和饥荒时, 具有较强的应对能力,使得死亡率低于那些社会经济水平落后的人群。 这使得优势家族在繁衍过程中逐渐壮大,而劣势家族的生存空间则逐渐被挤压, 最终被淘汰。需要注意的是, 随着优势家族后代人口规模的不断扩大, 内部成员之间也逐渐出现优势和劣势的分化,只有少数后代能够继承优势, 而多数人则渐渐退化, 于是新一轮的优胜劣汰的生存竞争也随之展开。

    本文见刊于《南方人口》2012年第6期。

  • 王明珂:谁的历史:自传、传记与口述历史的社会记忆本质

       一、前言  

       长久以来,重要人物的日记、回忆录、自传与传记常被历史学者视为“重建过去史实”的重要材料。近数十年来,“口述历史”的记录与分析,在历史学界成为一新兴学术传统。部分从事口述历史的学者,也将之视为补充近现代历史事实的利器。在本文中,我将从另一种角度,探讨自传、当代人物传记与口述历史中所记载的“过去”的本质。由此角度,我认为自传、传记与口述历史,都可视为一种“社会记忆”。
       作为一种社会记忆,自传、传记与口述历史所呈现的“过去”并非是“全部的过去”,而是选择性的过去;不是所有人的过去,而是部分人的过去。为了支持这个看法,在本文中,我将分析近五十年在台湾出版的自传、当代人物传记与口述历史的作者、传主与受访者的社会背景,借此表现这些文献材料的社会记忆本质。
       在一个社会中,个人与群体都在争着表达自己的存在(或说是,自己的社会重要性)。有意义地选择、组织“过去”,并将它在社会上“推广”,是诠释或合理化个人与群体存在地位的工具。在此“百家争鸣”中,在此对于“过去”的战争中,“过去”被选择、强调、争辩,一个社会的本质因此形成或变迁。因此,将自传、传记与口述历史当作“社会记忆”,我们可借以探讨个人的社会本质,以及社会的个人基础。 

       二、自传、传记与口述历史中的社会记忆结构 

       学者在分析记忆时,都注意到个人记忆中相当一部分是从社会生活中获得,在与他人的社会活动中被共同忆起,并且在特定社会背景中重建,以符合个人的社会身份认同。n个人从社会中得到与建立部分记忆的同时,他与其他社会群体成员也在各种社会活动中,共同保存、回忆、创造“社会记忆”。这些社会记忆以各种形式,如集体活动(祭典、工运游行)、图像(博物馆的陈列品、纪念碑)、文字(书籍、档案)、口述等方式(或混合的方式),存在与流通。
       自传、人物传记与口述历史,都记载一个人的过去。在出版流传后,它们都成为社会记忆的一部分。这种社会记忆,以两种方式保存与流传。首先,它以书的形式保留在图书馆、档案室与个人藏书中,形成一种静态的、绝对的社会记忆。其次,它们被有不同社会文化背景的读者阅读;读者对于书中所记载的“过去”,有不同的选择与诠释。然后,这些“过去”又在不同的社会情景下,以各种方式被传述,如此形成一种动态的、相对的社会记忆。因此,自传、当代人物传记与口述历史,可说是个人记忆与社会记忆间的桥梁。
       自传、传记与口述历史都陈述一个人的过去,而自传作者、传记的传主、口述历史的受访者,经常都被认为是对一个时代社会有相当影响的人,因此他们的“过去”被视为史家重建历史的重要材料。其中,自传与口述历史的内容,主要根据个人记忆,所载常不见于其他文献,如此更因其资料的“原始性”而受到重视。然而,许多研究都指出,个人对于过去的记忆并非是一连串“事实”的组合;个人或群体都选择、重组或遗忘一些过去,以符合某种社会群体的认同,或作为适存于现实社会的策略。以此观点,我们可以探讨自传、传记与口述历史的社会记忆本质。 

       1. 自传  
       我们所谓的“自传”,是指一个人将自己生命史中的一些“过去”,写成文字,编辑成书,并由自己或他人出版流通的文献。自传作为一种文学形式,在中国或西方都有很长远的发展历史。有关传记的研究,在西方学术界更吸引许多不同学科学者们的注意。
       对于许多历史学者而言,自传中包含许多当事人亲身经历的过去,可作为相当可靠的历史材料。然而在许多其他学科中,自传的“历史性”常被怀疑。在心理学上,学者对于自传式记忆(autobiographical memories)的构造,其中的失忆与虚构记忆,以及其社会及病理学背景,都有相当长远而深入的研究。在文学研究中,部分受心理分析学的影响,学者常讨论自传中的“自我呈现”问题,或自传的虚构性,或文中因修辞而产生的意义。无论如何,自传并不是一连串历史事实的集结,则是许多学者们的共见。近年来,许多社会人类学家,也对于研究自传有相当兴趣。因为认知人类学与历史人类学的发展,自传在此领域中被当作一种田野报告人的陈述。人类学家希望借此分析经验、记忆与社会认同间的关系;基本上也是强调自传所传递的“过去”的当代背景(the pastinpresent)。
       当然,自传中的确有许多“史实”,或“被修饰的史实”。即使承认这一点,我们同时也得承认,这些“史实”都是选择性的“过去”。首先,并不是所有的人都有动机写自传。一般而言,为自己写传记的人是自认为,也被社会认为,对社会有重要影响的人。在写传记的时刻,他(她)们对社会的影响已告一段落,或他(她)们在当时已享有相当的声誉与地位,或他(她)们的过去在当时社会中有争议。
       其次,并不是个人所有对过去的记忆,都会被正确地写入自传。一个人从小到大有许多的经历,有些被记得,有些被忘记。在自传书写中,作者选择部分的记忆,甚至可能扭曲部分记忆,将之记录下来。同时,有意或无意地忽略其他。前面我们曾提到,写自传的人是自认为,也被社会认为,对社会有重要影响的人。因此,自传中所提到的“过去”,是作者认知本身在社会中的自我形象(self-image)下,刻意选择、组合的“过去”,以陈述他对社会的影响,或合理化他当前所享有的声誉与地位,或辩述他目前有争论的社会评价。因此,自传写作经常是读者取向,现实取向的;它不是为作者保留“过去”,而更像是为“读者”解释“现实”。
       因此,虽然“自传”出于作者自己的回忆,但是自传中所陈述的过去,是作者与社会间互动的结果。他写作的动机,来自于社会给予他的评价(或社会对于他的忽略)。写作的内容,也就是他的回忆活动,在社会所提供的价值框架中进行。写作的目的,也在对现实社会(读者)合理化他的社会角色与地位。最后,自传写成后,这种“记忆”再一次地被出版商与读者选择。出版商认同作者的社会价值(更准确地说,其社会价值的经济效益),自传才被出版。读者认同作者的社会价值,自传才被阅读、流传,而成为一种社会记忆。而出版商与读者的选择,可说又一次强化了一本自传的社会记忆本质。

       2. 口述历史
       口述历史作为史学的一支,它的重要性越来越被重视,同时其性质与功能也在发展中趋于多样化。它曾被用来记录当代重要历史事件中人物的回忆,以作为那个时代与事件的“证据”。许多口述历史学者因此强调它的“原始性”与“可靠性”。在近年的发展中,它更与女性主义、地方史研究、马克思主义史学结合,被用来建立地方史、妇女史与社会少数族群的历史。这种发展的要旨在于:传统历史只是某一人群主观上所建立的过去,这群人通常是社会上层,是主要族群,是年长男人。他们掌握文字、意识形态与主要传播媒体。因此,口述历史学者努力呈现“过去”的多重声音,尤其是那些长期被“历史”忽略的声音。由于接近“中下层群众”,口述历史在资料呈现上,也与传统学院派历史著作大有不同;前者较平民化,而倾向于以多重媒体(如声音、影像等)来表现。
       无论口述历史的访谈对象是一位退休将领,一位年长的外交官,或是一位市井平民,对于“过去发生的事”而言,他(她)们所陈述的“过去”也是相当有选择性、重建性与现实取向的。采访者“选择”受访对象,“选择”所问的问题;受访者“选择”适当的“过去”,来回应问题。再者,对于一位一生经历有“历史价值”的受访者而言,他(她)们经常能体认自己的社会角色(知道自己为何受访,或采访者已说明对他或她的期望)。或者,他(她)们揣测访问者的社会角色与态度,因此相对的在访谈中表现自己应有的社会角色与态度。如此,“过去”常被选择性重建(混合本身记忆,以及与他人共同建立的记忆),来使某种现实状况合理化,或解释过去与现在的因果关系,并同时满足访问者的需要。
       影响这些对“过去”的选择与重建的,是访问者与受访者各自在过去的记忆与经验中所凝塑的“心理构图”(schemata)。以及现实社会中个人与群体的利益抉择,以此产生的文化与社会认同倾向。也就是说,访问者的过去经验与记忆,以及现实社会的利害关系,构成他当前的社会认同与价值体系。这个社会认同与社会价值体系,经常影响他的口述历史研究(访问什么样的人?问什么样的问题?)。对受访者而言,他的回忆与描述,除了受上述因素影响外,更经常在表现自我认同与不触犯采访者的认同中试探、徘徊。如此,我们所得到的口述历史资料,可说是过去与现在之间,采访者与受访者之间,个人(受访者与采访者)的生活经验与其社会认同之间,“互动”的结果。这样的资料,就像自传一样,它可能包括许多构成“史料”的“个人经验的过去事实”,但更重要的,它是一种“社会记忆”。
       最后,许多口述历史研究与出版,都涉及长期的、大规模的采访调查工作与发行计划。这样的工作与计划,通常由一些从事历史研究的学术机构或团体主持,并在经费以及其他方面得到“社会”的支持。因此经常,或在一定程度上,社会或特定社会群体的价值与意识形态,能透过各种方式影响口述历史的采访与研究。经由这种大规模的调查采访,以及随后的出版发行,特定的“社会记忆”可能被强调、创造及推度。这些“社会记忆”,因得到对“发掘与诠释过去”有权威的历史学者或历史学术团体的支持,更增强了它们在人们心中的真实性及说服力,而成为强势的社会记忆。 

       3.人物传记
       传记作为一种文学形式,它也是以一个人的生命史或生命史中的一部分为主要内容。它与自传不同之处在于,作者不是传记中的主体(传主)。作者对传主的描述,不是自我描述。但是,传主的自述(日记、回忆录等),常成为传记写作的主要材料之一。事实上,有些当代人物传记的作者,在写作过程中经常得以采访传主,以及与传主有关的当代人物,或由传主及他人提供私人书信资料。因此,在资料结构上,当代人物传记经常综合了“自传”与“口述历史”等材料。除此之外,传记写作主要依赖大量已出版与未出版的文献资料。这些文献资料,可说是一种被社会或个人以文字形式保存的记忆。它们被社会认为是重要的,而被保存与流传。传记的写作,是将这所有的资料集结起来,以组织与修辞赋予它们新的意义,如此将原本静态的社会记忆(档案、文献),活化成动态的社会记忆(被阅读、谈论的书籍)。
      对传记作者来说,自传、口述历史与其他文献,形成多重的、可互相验证、互相补足的资料。因为作者不是完全采用自传与口述历史资料,而是在比较其他文献后,在这些资料中筛选“事实”。因此,传记作者常宣称他的著作是客观的、可靠的。但是,从另一个角度来看,传记作者在这些多重资料中,可有更多的选择,使他更容易选择、忽略或组织各种资料,来支持其心中的定见。由此而言,传记作者不比自传作者更客观。
       传记作者对传主的定见,是他选择、组织与解释资料的基础。无论是采用何种资料,作者是资料的主动搜集者与组织者。在资料的搜集与阅读中,作者对传主有进一步的认识,也可能这认识彻底改变他对传主的看法。但是,通常在搜集与组织材料时,作者对传主已有既定评价。这种对传主的评价,又深受其所处社会的影响。这种社会价值定见,影响他选择、判断哪些是“事实”,以及对“事实”的解释。因此,“事实”虽然是构成传记的重要成分,但如学者所指出的,它不是结论,也不是写作的目的,而是经常被利用、被改变、被误用,以支持一种解释、一种性格描述的工具。而且,一个成功的传记作家不只是陈述事实而已,经由选择、安排这些“过去的事实”,加上修辞、隐喻,传记作家常常重新创造一个非凡的人,或赋予一个人物新的时代意义。由这一点来说,传记作家几乎类似小说作者;他们都是书中人物的创造者。透过传主个人的生命史及一些相关的事件,传记作者所描述的,事实上是一个时代与一个社会。这样的时代与社会(无论是过去的或是当代的),能符合并诠释作者自己的社会历史记忆与社会现实经验。
       一旦传记写成出版,与自传一样,它也成为一种社会记忆。甚至于,传记成为比自传更强有力的社会记忆。因为它的观点被宣称是“客观的”,它的资料被认为是全面的,它对人物价值的诠释,无论是正面或是负面,经常符合特定的当代社会意识。因此,作为一种社会记忆,它选择性的、虚构性的一面,经常被忽略。
       如前所述,我们可将自传、当代人物传记与口述历史的写作与出版,作为一种社会回忆活动(social remembering)。如同个人依赖记忆与回忆建立个人的特质;一个社会也透过这种,以及其他的社会回忆活动,不断地塑造或重塑其本质。基于这个观点,我们曾将1945—1994年间在台出版的自传、当代人物传记与口述历史做一编目工作(此一资料以下皆称《编目》),作为“台湾群众集体记忆资料搜集与分析计划”下的一个项目。由“社会记忆”的观点,在此《编目》中的书,没有哪一本特别好或特别坏;它们都反映一个时代中的个人与社会所认为“重要的过去”,反映着个人与社会的认同与认同危机。因此,《编目》中的每一本书都值得我们深入研究与分析。当然,这样的工作不是一个人可以完成,更不是本文所能做到的。但是,在本文以下各节中,我将根据这个编目,或编目中部分的书,来分析谁在回忆或谁被回忆,以及哪些主题被回忆。借此,我们可以略窥个人、社会与记忆之间的关系,以及台湾社会的部分特质及其变迁。 

       三、谁在回忆、谁被回忆  

       对于“谁在回忆、谁被回忆”,前者,我们指的是自传作者、口述历史被访问人,后者指的是传记中的传主。他们是被社会回忆,或社会赋予他们“解释过去的权力”的人。在本节中,我们可以将《编目》中所有的这些“谁”,根据他们的社会背景作一量化分析。由分析谁在回忆(自传作者、口述历史受访人)、谁被回忆(传记传主),我们可以了解这些材料的社会记忆性质。  

       1.谁在回忆
       在《编目》中收录的自传、回忆录与口述历史著作共有490种。它们的作者有许多不同的社会身份;他(她)们可能是男人或女人,军人或文人,他们也可能属于某一族群,或来自某一地域。无论如何,以下的统计显示,这些“在回忆的人”的社会身份有些共同的特质。
       首先,毫无疑问,这些回忆者是以男性为主;女性只占总人数的9. 6%。而且,许多女性“回忆者”的主要回忆内容与某一男性有关。也就是说,她们的社会重要性建立在她们生命史与某一男性的密切关联上;她们因而“知道”自己生命记忆中那些“过去”是重要的。
       其次,由这些“回忆者”的省籍背景来看,显然在近五十年来,台籍作者的“记忆”相对的被社会忽略。这个现象只在1975年之后,有较明显的变化。
       以事业经历来说,1945—1974年对台湾社会回忆过去的人,大体上以被社会认为在政治、军事、学术上有成就的人物为主。1965年以后,出身文学艺术背景者的“回忆”在出版界急速增加。大约也从此时开始,财经、新闻、医学、宗教界人士,开始向社会呈现他(她)们的“过去”,而且在70年代之后愈来愈受社会重视。相反的,前30年中最常对社会强调自己过去的政治、学术界人物,在1975—1984年这一时段间,相对地沉默了许多。
       1985—1994年,有关个人回忆的出版物,比起前一阶段几乎增长了一倍。一方面,这是因为《编目》中收录的“口述历史”著作,绝大部分都在此一时期出现;另一方面,这一时期个人出版自传、回忆录的风气,也较从前盛行。比较这一时期与前一时期“回忆者”的事业经历,值得注意的是,政界人士的“回忆”又有长足的发展;相对地,学术界人士的“回忆”仍然不振。  

       2.谁被回忆
       传记的传主,因他(她)们对社会有特殊意义而被回忆。《编目》中收录1945—1994年间出版的传记有345种。由传主性别来说,这些“被回忆的人”还是以男人为主。从省籍上来看,他们中台籍人士只占相当少的比例。被社会回忆的台籍人士,只在近二十年,尤其是近十年来才有明显的增加。
      在传主的事业经历方面,政界人士显然最常被回忆,其次是军事、学术与文学艺术界人物。1975—1994年间,有大量的政治人物传记出版。此期间之前十年,与辛亥革命有关的政治人物传记出现较多;后十年,则以当代台湾政治人物的传记为多。学术与文艺界人士的传记,两者由1945年以来大体皆均势发展,但1985—1994年这一期间,显然文艺界人士的传记出现较多。有些宗教界人士的一生,在1975年以后也被写入传记。
       另外,两种在90年代以来颇受重视的“记忆”,在本表中无法显现出来,那就是:(1)“二·二八”事件亲历者与受害者的记忆;(2)妇女对过去的记忆。这两者,在近五年来都有相当丰富的记录与出版,但因为大多不是以“单人专刊”的方式出版,或许多工作仍在进行中,因此在本表中无法显现。
       以上统计数字,有些呈现的是一般性的人类社会现象。譬如,无论在哪一时期,政治人物都是社会上主要的“回忆者”与“被回忆者”。无论在哪一时期,男性与知识分子都是“过去”的主要组织者与诠释者。这些都是许多当代社会在社会记忆结构上的共同特质。
       这些数字,部分也直接反映台湾近五十年来的政治与社会生态。譬如,非台籍人士一向掌握台湾主要社会记忆。这些在台湾社会记忆中大量的“非台籍人士”,许多是从未到过台湾的“辛亥革命参与者”。因此,这反映的是国家认同的问题,而与“某一族群”掌控历史记忆并无关联。无论如何,台籍人士的“过去”,在近十年来愈来愈受社会的重视。这也反映近十年来台湾在政治、文化各方面本土化的成果。
       1975年之后,越来越多财经界领导人物的“过去”被回忆。显然,台湾社会借着这些人的过去,来诠释台湾的经济奇迹。台湾社会经济经过战后一段时间的稳定发展后,一些在“心灵与精神”方面工作的人,也受到社会普遍的重视。近十年来文学、艺术、宗教界人士的“过去”,成为相当受重视的社会记忆,即反映此一现象。
       80年代末以来,台湾执政党内的主流与非主流之争,以及社会间广泛的中国认同与台湾认同之争,使得“过去”成为臧否人物,或为台湾政统定位的工具。因此,各种当代政治人物的传记、自传,如雨后春笋般出版;这也反映在表三与表六的统计数字上。这些当代政治人物的自传,以及或褒或贬的传记,如许多七口八舌的声音,争辩着“哪些是重要而真实的过去”。因此,在一个社会中,事实上并不是所有的成员都有同样的“社会记忆”。所谓“共同社会记忆”,是在各种社会利益群体的对立与竞争中,强化自身或本群体的记忆,或扭曲、抹煞敌对利益群体的记忆,如此在争辩与妥协中产生的反映社会现实的“记忆”。
       进一步解读这些数字资料,必然需要深入分析每一本传记、自传与口述历史著作,深入体会在社会与个人的互动中,“过去”所隐含的期盼、骄傲与焦虑。更重要的是,自传、当代人物传记与口述历史,各代表不同类型的社会记忆,代表不同的主观意识。因此,在同样的社会背景中,自传、当代人物传记与口述历史书写者的“动机”也有差距。这个差距,由深入分析个案(譬如,同一人物的传记、自传与口述历史)内涵中,我们或可以更深入理解自传、传记与口述历史的社会记忆本质。   

       3.哪些主题被回忆
       虽然在本文中,我们无法分析《编目》中每一本传记、自传与口述历史的内容。但是,这些著作中有一些重复出现的主题。
       虽然在本文中,我们无法分析《编目》中每一本传记、自传与口述历史的内容。但是,这些著作中有一些重复出现的主题。在政治人物的传记与自传中,最常出现的主题便是有关“辛亥革命”的记忆。不仅是辛亥革命参与者的这一段“过去”,经常被他们自己或他人回忆,在其他回忆者或被回忆者的过去中,辛亥革命也是相当重要的社会记忆。我在一篇文章中,曾以“文化亲亲性”(cultural nepotism)来解释“起源”对于凝聚一个社会人群的重要性。对于“中华民国”这一群体来说,辛亥革命就是这样的“起源记忆”。辛亥革命的领导者孙中山先生被尊称为国“父”;中华民国经常被认为由此“诞生”;而在此政治群体下的所有人群常被称为“同胞”。这些在台湾的生活中经常接触的政治语汇,皆显示辛亥革命被一群人根基化(primordealized)为“共同起源”,用来强化彼此的假血缘联系,也就是“文化亲亲性”,以增进群体的凝聚。  

       有关近五十年来台湾整体社会建设的个人功绩,也是经常出现在政治人物传记、自传或口述历史的重要主题。譬如,个别财经界人士在台湾经济发展上的贡献,或政界人士在台湾政坛的表现等等。这些主题,呈现自传、传记作者,或口述历史的受访者与访问者,对社会现实的看法及诠释。譬如,如果作者认为台湾近五十年来在经济、政治方面有重要的成就,这样的成就必然有一些解释,因此某些个人的事迹被强调来合理化此社会成就。相反地,如果作者认为现实政治、社会日益劣化,则“谁应为此负责,或谁不应为此负责”,成为自传与传记的主题。台湾近年来,尤其是在重要选举之前,各种自传、传记大批出现,都显示“社会记忆”是社会现实的理解与诠释的主要战场之一。卷入这场战争的个人,不只是为自己的社会角色与贡献作防卫,更重要的是强调、维护本身所属社会次群体(如党派、族群、地域群体、职业群体)的社会地位;而“过去”,则是这场战争中的主要攻防器械。  

       对于具军事背景的传记传主、自传作者或口述历史的受访者而言,他们的抗战、剿共经历,固然是被自己或他人回忆的主题。其他非军事背景的人,在回忆或被回忆时,“抗战与逃难时的生活与经历”,也是常被自己或他人提及的过去。这些关于抗战、剿共与逃难的记忆,透过许多的传记、自传、口述历史、教科书与其他媒体,成为台湾非常重要的“社会记忆”,或者,它也是一种“集体受难记忆”。即使绝大多数的人并没有亲身经历这些过去,但也(曾)感同身受。这些“集体受难记忆”造成台湾人民,尤其是战后出生的一代,普遍对日本以及中国大陆政权的嫌恶。直到近年来,在台湾本土意识普遍抬头的社会风气下,这些关于“抗战、剿共与逃难的记忆”究竟是谁的记忆,才被质疑,也因此相对地逐渐被遗忘。近年来,许多对日抗战纪念日的活动被省略或忽略,即为反映这种社会遗忘的现象之一。  

       与这种社会遗忘相反,另一种从前被忽略的“过去”——日本据台时期的经历与“二·二八”事件,80年代末以来被台湾社会热烈的集体回忆,成为台湾社会记忆的重要主题。日本据台时期的社会经历与“二·二八”事件,可以说是另一种“集体受难记忆”。在这种“集体受难记忆”下,凝聚的是某种狭义的“台湾人”,包含闽南人、客家人与原住民。绝大多数的外省人虽然对台湾日据时期没有亲身经历,但也如同身受;这有如抗战剿共记忆一样,可以成为所有台湾人的共同记忆。但在台湾流行的对“二·二八”事件的记忆与诠释中,外省族群经常被视为“迫害者”。因此,对于这种“集体受难记忆”,外省族群很难因自己也是“台湾人”而接受这种记忆。于是,在近年来,有些口述历史与回忆录中,另一种对“二·二八”事件的记忆——当时许多“大陆人”被殴打、杀害的记忆——也被集体发掘、恢复、扩大之中。
       个人在特定事业中的社会成就,是许多学术、文艺、新闻、宗教、医学界人物,自我回忆或是回忆他人的过去,每一职业群体,作为一个现实的“社会”,仍是引导作者选择、组织、诠释过去的主要构图。在这种回忆中,一方面个别职业群体(如新闻界、学术界、文学界、艺术界、医学界、宗教界等等)的认同,及其社会重要性被强化。另一方面,该群体目前的结构特质(如各种不同的学门、流派、师承等),及对此种结构的主观评价(如,主流与非主流、主体与分支、正统与异端),也经常由特定人物的“过去”中得到某种诠释。 

       在这种主观评价上,我们也能发现“起源”的魔力,许多特定职业群体的传记传主、口述历史受访者,被冠上“台湾第一位……”,或“中国第一位……”,或被称为“某某之父”。凡此种种,皆以起源创造一个传统,以凝聚一个群体;或以“起源”宣称该群体的特质。我们也应注意,当一个“起源”被创造、宣称时,许多旧传统与人物也同时被切断及遗忘。谁是主流、正统,谁是边缘与异端,皆可借此“起源”得到诠释。因此,不仅这些传记、自传、口述历史的“社会记忆内容”值得分析,在一定程度上,所有作者、出版者,以及有关的学术或其他公私机构,皆可视为“社会记忆”的创造者与推广者。因此,在分析一本传记、自传或口述历史时,背后的创造者与推广者(无论是个人或团体)的社会背景也值得我们留意。
       最后,在许多自传、传记中,新闻工作者经常成为“回忆者”或“被回忆者”;他们在“社会记忆”中有特殊的地位。与其他回忆者或被回忆者相同,借着特定的“记忆”他们的社会重要性被自己或被他人强调。但他们的社会重要性在于:他们自认为或被认为是重要“历史”事件的目击者,或同时是能详其内幕的人。因此,一个新闻记者的“回忆”,几乎就是该社会“当代重要事件”的回顾;一种被认为是更客观或更深入的回顾。  
       一个社会常定义、重新定义哪些是“过去发生的重大事件”。不同的个人及群体都争辩、诠释这些“重大事件”的经过及意义。这些重要的过去,也就是“社会记忆”,在社会间以各种版本存在、流通。在一个充满多元记忆的社会中,由社会记忆塑造的个人认同体系常是多元的、不确定的,或易变的。外在环境充满变化,个人认同经常在不确定中游移,各种版本对“过去”的描述与诠释到处充斥,这些都造成社会大众对“真实过去”的渴求。这种渴求,提供自传、传记的广大出版市场;造成以发掘“史实”为取向的口述历史成为众所瞩目的学术活动;也同时使得“新闻从业者”的回忆,成为一种重要的社会记忆。   

       4.个人记忆、社会记忆与社会本质
       如前所述,自传、传记、口述历史皆可视为一种社会记忆。对于自传、传记、口述历史的撰写内容与出版,我们或许可以探讨一些关键的问题。譬如:在一个社会中,许多个人(传记作者、自传传主、口述历史的受访者及读者)的经验与记忆,如何形成社会记忆?以及,如果社会记忆塑造一个社会,那么更基本的问题便是:如此被塑造的“社会”的本质如何?  

       本文所讨论的“社会记忆”,只是由当代人物传记、自传与口述历史所保存的当代记忆。事实上,社会记忆的范围远超过“当代”,它还包括所有的“过去”,如历史、神话、传说等等。社会记忆的传递媒介,也不只是出版物,还包括由口述(日常对话与述说)、行为仪式(各种庆典、纪念仪式与讨论会)与形象化媒体(如名人画像、塑像,以及与某些记忆相关联的地形、地貌等等)所传递的各种记忆。因此,凝聚一个社会(及各次级社会群体)的“记忆”是一种相当多元的、易变的综合体。个人由自身经验,以及家庭、社区、学校、族群,以及其他社会群体中,得到各种关于过去的记忆。这些记忆,有些是相当集体性的,有些是个人性的(autobiographical);有些是亲身经历的事件留下的记忆,有些是非亲身经历的;有些在日常生活中经常被重复,有些则为过去个别事件的记忆。在一个人的社会生活中,这些对过去的记忆形成个人心理上的一种构图(schemata)。当个人作为某群体的一分子,与外在世界的个人或群体互动时,透过这心理构图的回忆(rememberring),个人得以建立其社会认同体系。这样的回忆常是集体性的;许多人由此选择、强化特定的“共同过去”,以建立彼此的认同。  

       在社会生活中,社会记忆与集体回忆不断相互滋长,彼此影响,也因此强化个人或群体的认同,或造成认同变迁。这个过程大约是:在心理构图与社会认同体系中,个人经验到当前的重要事件或人物,学习到过去的重要事件与人物,也在此社会认同体系中,个人的社会行为受未来目的的导引。所有这些个人由经验、学习与行为中得到的记忆,都可能成为强化或修正其社会认同体系的心理构图的一部分。更重要的是,这些“经验、学习与行为”常经过集体的修正;我们常与他人共同忆起彼此的经验、共同学习彼此经验与非经验的过去,并且在某种认同下共同行动。因此这些“记忆”是个人的,也是社会的。尤其是个人有社会目的、对社会现实有巨大影响的行为,常成为社会记忆的一部分。生活在多变的现实社会中,为了个人或群体利益,个人经常需强调或调整自身的认同体系;这个过程,与个人社会记忆的累积与调整互为因果。我们由自传、传记与口述历史的书写与流传中,可看出这个过程。
       我们以自传或传记的作者为例。在个人的一生里,由家庭、社区、学校与各种社会团体中,个人获得许多记忆,也因此构成他们基本的心理蓝图,并造成他们的认同体系。他们一生的作为,常是为了在此社会认同体系中彰显自己的重要性。因此,他努力成为一位中国的科学家,或客籍的文学家,或台湾的政治家。事实上,社会上每一个人,都经常在这言行上宣称自己的社会存在;以“过去”来宣称自己的社会重要性。只是这些传主与自传作者,经常比其他人更能透过各种媒体,宣称自己的社会重要性。一个传记的传主,已由许多管道宣称自己的社会角色;这些,都成为社会记忆。传记的作者,在其个人的认同体系中,经验或学习到这些有关传主的社会记忆,而成为其心理构图的一部分。在其现实的社会生活中,传记作者可能组织部分传主的过去,赋予有意义的诠释(一种回忆活动),以强化或修正某种社会认同。在此过程中,作者可能与他人共同讨论、辩驳(集体回忆活动)。借此,传记作者肯定或强化自身或其所属社会群体的社会价值。同时,经由出版流传,传记也成为一种社会记忆。  

       对于一位自传作者来说,他的社会重要性可能已被社会熟知,或不为社会熟知,或在不同社会群体间有不同的认知。无论如何,他是在自身的心理构图与现实人际关系交汇而成的个人认同体系中,选择部分的记忆以建立、强化、维护或辩解自己的社会价值。然后出版后的自传,成为一种社会记忆。因此,自传、传记,皆可被视为个人经历、记忆与社会间的一种对话。某些以“发掘史实”为目的的口述历史研究(或历史研究),也有类似的功能。各种社会记忆散布在书籍或人们的记忆中,学者经由本身的认同体系,选择哪些是可信的“文字史料”,哪些是可靠的“报告人”。经由各种集体回忆活动(采访、讨论、著述、发行),“过去”(无论是实在的、重组的或是虚构的)被有意义地安排,并赋予诠释。最后成为社会记忆的一部分。 

       最后,我们必须面对的一个问题是:从社会记忆的观点,我们所谓的“社会”究竟有哪些特质?或者说,从社会记忆研究中,我们是否能更了解人类社会的本质?  

       在许多学科中,学者都把“社会”作为许多集体表征的集结。无论是历史学者所谓个别社会的时代精神,或结构主义人类学家所说的一个社会的结构(structure)、文化模式(cultural pattern)或考古学者所称的典范(norms),都宣示着一种整体观、典范观点的对“社会”的理解。这种观点,近年来常被批评为偏重上层阶级的(在历史学方面),非历史的(在人类学方面),或忽略“过程”的(在考古学方面)。我们由个人记忆与社会记忆的角度来看,社会由无数关系错杂的、相互补足、合作、竞争或敌对的群体构成,它们皆以集体记忆来强化本群体的凝聚,或强调本群体的社会重要性。作为一种社会记忆,自传、传记、口述历史的书写与出版流传显示,社会中每一个人都不愿自己被忽略,或不愿自己所属的群体被忽略。 

       在现实社会中,由社会记忆所凝聚的“社会”,不断地在定义及重新定义哪些是该社会重要的过去事件与人物,以及不断诠释它(他)们为何重要,以界定、改变一个社会的本质。这些社会价值的形成,不完全是自然的凝聚,而更是一种社会内部不同团体间对“过去”的争夺。自传、当代人物传记与口述历史,以“个人过去”的形式,来表现哪些是社会的重要过去。因此,它们一方面反映一个时代所定义的重要人物、事件,以及对此的诠释;另一方面,它们之间的歧异,也表现不同社会人群对过去的选择与对诠释权的竞争。于是,推广、强化自身的记忆,或抹杀他人的记忆,成为一种战争。像是夏夜里,一个大池塘边住有许多不同品种的青蛙。每一种青蛙都以特殊的叫声宣称本身或本群的存在,并压制他种蛙群的声音。因此,一个社会群体中各成员之间,并没有完全一致的“社会记忆”,也没有一个大家都能同意的“认同”。一个社会永远在内部各群体间,以及与外界人群间,进行对现实生存资源以及对“过去”的竞争;在此竞争中,社会的本质得以不断地被修正。  

       5.结论:谁的历史? 
       本文由个人记忆与社会记忆的角度,探讨自传、传记与口述历史中所记载的“过去”的本质。并以台湾近五十年来出版的自传、当代人物传记与口述历史为对象,分析在这段时间中,谁在回忆、谁被回忆,以及哪些主题被回忆,以呈现这些材料的社会记忆本质;从某一角度而言,这也是“历史”的本质。
       这个观点,说得更明白些,就是“历史”不只有一种声音;许多不同时代、不同的社会人群,都在争着述说自己的过去,争着将自己的过去一般化、普遍化,以成为当代的社会记忆,以抹煞他人的记忆。在自传、传记与口述历史中,我们可以看见,有些人可以向社会宣扬自己的过去,有些人的过去被社会刻意发掘、重建。这是对过去的诠释权之争,也是认同之争,权力之争。因此,对于一个被广泛接受的“标准历史”,我们都可以问:那是谁的历史?以中国正史而言,可以说,那是汉人的历史,男人的历史,统治阶层的历史,士人的历史。因为,只有这些人能经常透过传记、自传与其他文献,以及纪念性建筑与造像,各种纪念活动,以及“溯源”取向的历史与考古学研究,将自己或该社会人群认为重要的过去发掘、创造与保存下来。
       因此,我们至少可以在三种层面上来看待人物传记、自传与口述历史。首先,在“过去事实”层面上,这三种资料都告诉我们一些过去的事实,等待我们去探索。其次,在社会记忆的层面,人物传记、自传与口述历史都可以被作为一种社会记忆;透过这些材料,学者可以分析个人的时代社会本质,以及一个时代社会的文化价值,以及与资源分配有关的认同结构。第三,在社会道德与社会公平正义的层面,人物传记与口述历史的作者,能透过这两种写作方式为社会创造新的“记忆”,为受迫害、被忽略的社会人群争取他们应得的注意、尊重与社会福利。而这三种不同层面的研究与写作之间,有相辅相成也有相互纠葛的关系。如果我们知道“过去事实”,将有助于我们分辨与分析选择性的、扭曲的、虚构的“社会记忆”。从“社会记忆”的分析中,我们可以对一个时代社会的本质,特别是对其内部人群间的资源竞争的分配结构有深入的认识。我们更可以借“过去的意义”来了解人类及其社会的本质。在认识到人类社会以“社会记忆”来定义其本质,以支持特定的权力结构与资源分配关系,以及此种社会的演进过程时,学者可以思考什么是一个“理想的社会”,什么样的历史(或传记)写作有助于达成这样的社会。从另一方面来说,如果我们不深入了解人类社会记忆的本质,那么,我们永远难以剥开层层伪装以发掘“过去事实”;我们也难以理解一个社会的本质及其演进。而我们的历史研究,更容易受一些虚幻的、无意义的、有偏见的政治或学术意识形态潮流的导引;这样的研究,甚至可能导致更严重的社会资源竞争或支持另一种社会剥削关系。
       人物传记与自传,都是一种文学形式。对于历史学者、人类学者或心理学者来说,它们都是可供分析的材料,学者无法也无须建议一个传记或自传作者应如何写他们的作品。但是,口述历史本身是历史学的一部分,是历史学者有意识的学术活动。无论在台湾或在国外,大量的田野采访与出版,使其成为一个新的史学传统。因此,我们必须对口述历史有更多的期许。
       问题也就是:在传统史学之外,口述历史能为史学做些什么?毫无疑问,如前所言,口述历史能提供传统文献之外难得的“史料”。尤其在现实政治中,有些档案文献被刻意遮掩或抹煞的情况下,口述历史材料更有价值。因此对于当代重要人物,或重要事件亲历的人口述采访便是相当重要。但是,从社会记忆的观点,一位历史学者应有如是自觉:我们是否在某种社会意识的掌控下,定义何者是“当代或过去重要的人物或事件”?或者,定义“谁是知道过去真相的人”,而授予他(她)们诠释过去的权力?借着这样的口述历史采访所得资料,是否只是传统史料的另一种形式而已?它是否仍然为男性、主要族群、知识阶层、政治权力掌控者所认知的“过去”,以合理化某种社会现实?
       在另一方面,有些人的“过去”常被社会忽略,他们是少数族群、妇女、劳工、乡间平民、低教育程度者或文盲。以中国历史为例,自二十五史的写作以来,在中国历史传统中,这些人的声音,他们记忆、失忆,以及组合过去的方式,从来没有被认真地记录过。如果我们认为,一个“社会”并不只是由一些精英人物、上层思想与意识形态以及典型的文化特征构成。那么,许多被传统史学遗忘的“过去”,值得我们记录与分析。从社会伦理的层面来说,社会弱势者的过去被忽略,是一种政治经济策略的运用,以将他们推到社会边缘。因此相反地,记录他们的声音以及他们的过去,也是一种策略,让他们不被忽略。
       最后,将口述历史只当作是“恢复过去史实”的工具,显然过于低估了口述历史的研究价值。口述历史学者是否只将自己限制于找寻“真实的过去”?或者愿意去探触一个更广大范畴中被扭曲、遗忘、重要的“过去”?口述历史提供我们的是一种“社会记忆”或“活的历史”,它不一定是过去发生的事实,但它却反映个人的认同、行为、记忆与社会结构间的关系。因此,研究当代的人如何在社会中选择、扭曲、遗忘“过去”,可能给历史学者一些启发:所有的“史料”都可当做一种“社会记忆遗存”。以“社会记忆”的观点研究历史,并不是说历史学者从此不探求“过去的事实”,而是有更积极的学术意义。让我们去思考,在何种社会结构背景下,当时人需留下这些“记忆”,以及为何遗忘、扭曲一些记忆。如此,口述历史研究对于历史学者而言,可以如一面窗子。透过这窗子,能眺望千百年前的人如建构他们心目中的过去;以及他们的认同、期望与焦虑。学者得以从中探索该时代各社会人群间、个人与社会间一些动态的结构关系,以及其所反映的“史实”。   

       原载于定宜庄、汪润主编:《口述史读本》,北京大学出版社,2011年,第61-83页。

  • 古华《芙蓉镇》

    第一章 山镇风俗画(一九六三年)

    一  一览风物

    芙蓉镇坐落在湘、粤、桂三省交界的峡谷平坝里,古来为商旅歇宿、豪杰聚义、兵家必争的关隘要地。有一溪一河两条水路绕着镇子流过,流出镇口里把路远就汇合了,因而三面环水,是个狭长半岛似的地形。从镇里出发,往南过渡口,可下广东;往西去,过石拱桥,是一条通向广西的大路。不晓得是哪朝哪代,镇守这里的山官大人施行仁政,或者说是附庸风雅图个县志州史留名,命人傍着绿豆色的一溪一河,栽下了几长溜花枝招展、绿荫拂岸的木芙蓉,成为一镇的风水;又派民夫把后山脚下的大片沼泽开掘成方方湖塘,遍种水芙蓉,养鱼,采莲,产藕,作为山官衙门的“官产”。每当湖塘水芙蓉竞开,或是河岸上木芙蓉斗艳的季节,这五岭山脉腹地的平坝,便颇是个花柳繁华之地、温柔富贵之乡了。木芙蓉根、茎、花、皮,均可入药。水芙蓉则上结莲子,下产莲藕,就连它翠绿色的铜锣一样圆圆盖满湖面的肥大叶片,也可让蜻蜓立足,青蛙翘首,露珠儿滴溜;采摘下来,还可给远行的脚夫包中伙饭菜,做荷叶麦子粑子,盖小商贩的生意担子,遮赶圩女人的竹篮筐,被放牛娃儿当草帽挡日头……一物百用,各各不同。小河、小溪、小镇,因此得名“芙蓉河”、“玉叶溪”、“芙蓉镇”。

    芙蓉镇街面不大。十几家铺子、几十户住家紧紧夹着一条青石板街。铺子和铺子是那样的挤密,以至一家煮狗肉,满街闻香气;以至谁家娃儿跌跤碰脱牙、打了碗,街坊邻里心中都有数;以至妹娃家的私房话,年轻夫妇的打情骂俏,都常常被隔壁邻居听了去,传为一镇的秘闻趣事、笑料谈资。偶尔某户人家弟兄内讧,夫妻斗殴,整条街道便会骚动起来,人们往来奔走,相告相劝,如同一河受惊的鸭群,半天不得平息。不是逢圩的日子,街两边的住户还会从各自的阁楼上朝街对面的阁楼搭长竹竿,晾晒一应布物:衣衫裤子,裙子被子。山风吹过,但见通街上空“万国旗”纷纷扬扬,红红绿绿,五花八门。再加上悬挂在各家瓦檐下的串串红辣椒,束束金黄色的苞谷种,个个白里泛青的葫芦瓜,形成两条颜色富丽的夹街彩带……人在下边过,鸡在下边啼,猫狗在下边梭窜,别有一种风情,另成一番景象。

    一年四时八节,镇上居民讲人缘,有互赠吃食的习惯。农历三月三做清明花粑子,四月八蒸莳田米粉肉,五月端午包糯米粽子、喝雄黄艾叶酒,六月六谁家院里的梨瓜、菜瓜熟得早,七月七早禾尝新,八月中秋家做土月饼,九月重阳柿果下树,金秋十月娶亲嫁女,腊月初八制“腊八豆”,十二月二十三日送灶王爷上天……构成家家户户吃食果品的原料虽然大同小异,但一经巧媳妇们配上各种作料做将出来,样式家家不同,味道各各有别,最乐意街坊邻居品尝之后夸赞几句,就像在暗中做着民间副食品展览、色香味品比一般。便是平常日子,谁家吃个有眼珠子、脚爪子的荤腥,也一定不忘夹给隔壁娃儿三块两块,由着娃儿高高兴兴地回家去向父母亲炫耀自己碗里的收获。饭后,做娘的必得牵了娃儿过来坐坐,嘴里尽管拉扯说笑些旁的事,那神色却是完完全全的道谢。

    芙蓉镇街面虽小,居民不多,可是一到逢圩日子就是个万人集市。集市的主要场所不在青石板街,而在街后临河那块二、三十亩见方的土坪,旧社会留下了两溜石柱撑梁、青瓦盖顶、四向皆空的长亭。长亭对面,立着个油彩斑驳的古老戏台。解放初时圩期循旧例,逢三、六、九,一句三圩,一月九集。三省十八县,汉家客商,瑶家猎户、药匠,壮家小贩,都在这里云集贸易。猪行牛市,蔬菜果品,香菇木耳,懒蛇活猴,海参洋布,日用百货,饮食小摊……满圩满街人成河,嗡嗡嘤嘤,万头攒动。若是站在后山坡上看下去,晴天是一片头巾、花帕、草帽,雨天是一片斗篷、纸伞、布伞。人们不像是在地上行走,倒像汇流浮游在一座湖泊上。从卖凉水到做牙行掮客,不少人靠了这圩场营生。据说镇上有户穷汉,竟靠专捡猪行牛市上的粪肥发了家呢……到了一九五八年大跃进,因天底下的人都要去炼钢煮铁,去发射各种名扬世界的高产卫星,加上区、县政府行文限制农村集市贸易,批判城乡资本主义势力,芙蓉镇由三天一圩变成了星期圩,变成了十天圩,最后成了半月圩。逐渐过渡,达到市场消灭,就是社会主义完成,进入共产主义仙境。可是据说由于老天爷不作美,田、土、山场不景气,加上帝修反捣蛋,共产主义天堂的门坎太高,没跃进去不打紧,还一跤子从半天云里跌下来,结结实实落到了贫瘠穷困的人间土地上,过上了公共食堂大锅青菜汤的苦日子,半月圩上卖的净是糠粑、苦珠、蕨粉、葛根、土茯苓。马瘦毛长,人瘦面黄。国家和百姓都得了水肿病。客商绝迹,圩场不成圩场,而明赌暗娼,神拳点打,摸扒拐骗却风行一时……直到前年——公元一九六一年的下半年,县政府才又行下公文,改半月圩为五天圩,首先从圩期上放宽了尺度,便利物资交流。因元气大伤,芙蓉镇再没有恢复成为三省十八县客商云集的万人集市。

    近年来芙蓉镇上称得上生意兴隆的,不是原先远近闻名的猪行牛市,而是本镇胡玉音所开设的米豆腐摊子。胡玉音是个二十五、六岁的青年女子。来她摊子前站着坐着蹲着吃碗米豆腐打点心的客人,习惯于喊她“芙蓉姐子”。也有那等好调笑的角色称她为“芙蓉仙子”。说她是仙子,当然有点子过誉。但胡玉音黑眉大眼面如满月,胸脯丰满,体态动情,却是过往客商有目共睹的。镇粮站主任谷燕山打了个比方:“芙蓉姐的肉色洁白细嫩得和她所卖的米豆腐一个样。”她待客热情,性情柔顺,手头利落,不分生熟客人,不论穿着优劣,都是笑脸迎送:“再来一碗?添勺汤打口干?”“好走好走,下一圩会面!”加上她的食具干净,米豆腐量头足,作料香辣,油水也比旁的摊子来得厚,一角钱一碗,随意添汤,所以她的摊子面前总是客来客往不断线。

    “买卖买卖,和气生财。”“买主买主,衣食父母。”这是胡玉音从父母那里得来的“家训”。据传她的母亲早年间曾在一个大口岸上当过花容月貌的青楼女子,后来和一个小伙计私奔到这省边地界的山镇上来,隐姓埋名,开了一家颇受过往客商欢迎的夫妻客栈。夫妇俩年过四十,烧香拜佛,才生下胡玉音一个独女。“玉音,玉音”,就是大慈大悲的观音老母所赐的意思。一九五六年公私合营,也是胡玉音招郎收亲后不久,两老就双双去世了。那时还没有实行顶职补员制度,胡玉音和新郎公就参加镇上的初级社,成了农业户。逢圩赶场卖米豆腐,还是近两年的事呢。讲起来都有点不好意思启齿,胡玉音做生意是从提着竹篮筐卖糠菜粑粑起手,逐步过渡到卖蕨粉粑粑、薯粉粑耙,发展成摆米豆腐摊子的。她不是承袭了什么祖业,是饥肠辘辘的苦日子教会了她营生的本领。
    “芙蓉姐子!来两碗多放剁辣椒的!”
    “好咧——,只怕会辣得你兄弟肚脐眼痛!”
    “我肚脐眼痛,姐子你给治?”
    “放屁。”
    “女老表!一碗米豆腐加二两白烧!”
    “来,天气热,给你同志这碗宽汤的。白酒请到对面铺子里去买。”
    “芙蓉姐,来碗白水米豆腐,我就喜欢你手巴子一样白嫩的,吃了好走路。”
    “下锅就熟。长嘴刮舌,你媳妇大约又有两天没有喊你跪床脚、扯你的大耳朵了!”
    “我倒想姐子你扯扯我的大耳朵哩!”
    “缺德少教的,吃了白水豆腐舌尖起泡,舌根生疮,保佑你下一世当哑巴!”
    “莫咒莫咒,米豆腐摊子要少一个老主顾,你舍得?”
    就是骂人、咒人,胡玉音眼睛里也是含着温柔的微笑,嗓音也和唱歌一样的好听。对这些常到她摊上来的主顾们,她有讲有笑,亲切随和得就像待自己的本家兄弟样的。
    的确,她的米豆腐摊子有几个老主顾,是每圩必到的。
    首先是镇粮站主任谷燕山。老谷四十来岁,北方人,是个鳏夫,为人忠厚朴实。不晓得怎么搞的,谷燕山前年秋天忽然通知胡玉音,可以每圩从粮站打米厂卖给她碎米谷头子六十斤,成全她的小本生意!胡玉音两口子感激得只差没有给谷主任磕头,喊恩人。从此,谷燕山每圩都要来米豆腐摊子坐上一坐,默默地打量着脚勤手快、接应四方的胡玉音,仿佛在细细品味着她的青春芳容。因他为人正派,所以就连他对“芙蓉姐子”那个颇为轻浮俗气的比喻,都没有引起什么非议。再一个是本镇大队的党支书满庚哥。满庚哥三十来岁,是个转业军人,跟胡玉音的男人是本家兄弟,玉音认了他做干哥。干哥每圩来摊子上坐一坐,赏光吃两碗不数票子的米豆腐去,是很有象征意义的,无形中印证了米豆腐摊子的合法性,告诉逢圩赶场的人们,米豆腐摊子是得到党支部准许、党支书支持的。

    吃米豆腐不数票子的人物还有一个,就是本镇上有名的“运动根子”王秋赦。王秋赦三十几岁年纪,生得圆头圆耳,平常日子像尊笑面佛。可是每逢政府派人下来抓中心,开展什么运动,他就必定跑红一阵,吹哨子传人开会啦,会场上领头呼口号造气氛啦,值夜班看守坏人啦,十分得力。等到中心一过,运动告一段落,他也就像个泄了气的皮球。嘴巴又好油腻,爱沾荤腥,人家一个钱当三个花,他三个钱当一个钱吃。来米豆腐摊前一坐,总是一声:“弟嫂,来两碗,记账!”一副当之无愧的神气。有时还当着胡玉音的面,拍着她男人的肩膀开玩笑:“兄弟!怎么搞的?你和弟嫂成亲七、八年了,弟嫂还像个黄花女,没有装起窑?要不要请个师傅,做个娃娃包靠!”讲得两口子脸块绯红,气也不是,恼也不是,骂也不是。对于这个白吃食的人,胡玉音虽是心里不悦,但本镇上的街坊,来了运动又十分跑红的,自然招惹不起,自给吃还要赔个笑脸呢。

    每圩必来的主顾中,有个怪人值得特别一提。这人外号“秦癫子”,大名秦书田,是个五类分子。秦书田原先是个吃快活饭的人,当过州立中学的音体教员,本县歌舞团的编导,一九五七年因编演反动歌舞剧,利用民歌反党,划成右派,被开除回乡生产。他态度顽固,从没有承认过自己反党反社会主义的罪行,只承认自己犯过两回男女关系的错误,请求大队支书黎满庚将他的“右派分子”帽子换成“坏分子”帽子。自有一套自欺欺人的理论。他来胡玉音的摊子上吃米豆腐,总是等客人少的时刻,笑笑眯眯的,嘴里则总是哼着一句“米米梭,梭米来米多来辣多梭梭”的曲子。

    “秦癫子!你见天哼的什么鬼腔怪调?”有人问。
    “广东音乐《步步高》,跳舞的。”他回答。
    “你还步步高?明明当了五类分子,步步低啦!”
    “是呀,对呀,江河日下,努力改造……”
    在胡玉音面前,秦书田十分知趣,眼睛不乱看,半句话不多讲。“瘦狗莫踢,病马莫欺”,倒是胡玉音觉得他落魄,有些造孽。有时舀给他的米豆腐,香油和作料还特意下得重一点。

    逢圩赶集,跑生意做买卖,鱼龙混杂,清浊合流,面善的,心毒的,面善心也善的,面善心不善的,见风使舵、望水弯船的,巧嘴利舌、活货说死、死货说活的,倒买倒卖、手辣脚狠的,什么样人没有呢?“芙蓉姐子”米豆腐摊子前的几个主顾常客就暂且介绍到这里。这些年来,人们的生活也像一个市场。在下面的整个故事里,这几个主顾无所谓主角配角,生旦净丑,花头黑头,都会相继出场,轮番和读者见面的。

    二 女经理

    芙蓉镇街面虽小,国营商店却有三家:百货店、南杂店、饮食店。三家店子分别耸立在青石板街的街头、街中、街尾。光从地理位置上讲,就占着绝对优势,居于控制全镇商业活动的地位。饮食店的女经理李国香,新近才从县商业局调来,对镇上的自由市场有着一种特殊的敏感。每逢圩日,她特别关注各种饮食小摊经售的形形色色零星小吃的兴衰状况,看看究竟有多少私营摊贩在和自己的国营饮食店争夺顾客,威胁国营食品市场。她像个旧时的镇长太太似的,挺起那已经不十分发达了的胸脯,在圩场上看过来,查过去,最后看中了“芙蓉姐子”的米豆腐摊子。她暗暗吃惊的是,原来“米豆腐西施”的脸模长相,就是一张招揽顾客的广告画!更不用讲她服务周到、笑笑微微的经营手腕了。“这些该死的男人!一个个就和馋猫一样,总是围着米豆腐摊子转……”她作为国营饮食店的经理,不觉地就降低了自己的身分,认定“芙蓉姐子”的米豆腐摊子,是镇上惟一能和她争一高下的潜在威胁。

    一天逢圩,女经理和“芙蓉姐子”吵了一架。起因很小,原也和国营饮食店经理的职务大不相干。胡玉音的男人黎桂桂是本镇屠户,这一圩竞捎来两副猪杂,切成细丝,炒得香喷喷辣乎乎的,用来给每碗米豆腐盖码子。价钱不变。结果米豆腐摊子前边排起了队伍,有的人吃油了嘴巴,吃了两碗吃三碗。无形中把对面国营饮食店的顾客拉走了一大半。“这还了得?小摊贩竟来和国营店子抢生意?”于是女经理三脚两步走到米豆腐摊子前,立眉横眼地把戴了块“牛眼睛”(山里人对手表的戏称)的手伸了过去:“老乡,把你的营业许可证交出来看看!”胡玉音不知她的来由,连忙停住碗勺赔笑说:“经理大姐,我做这点小本生意,圩圩都在税务所上了税的。镇上大人娃儿都晓得……”“营业证!我要验验你的营业证!”女经理的手没有缩回,“若是没有营业证,就叫我们的职工来收你的摊子!’’温顺本分的胡玉音傻了眼:“经理大姐,你行行好,抬抬手,我卖点米豆腐,摆明摆白的,又不是黑市!”这可把那些等着吃米豆腐的人惹恼了,纷纷站出来帮腔:“她摆她的摊子,你开你的店子,井水不犯河水,她又没踩着哪家的坟地!”“今天日子好,牛槽里伸进马脑壳来啦!”“女经理,还是去整整你自己的店子吧,三鲜面莫再吃出老鼠屎来就好啦!哈哈哈……”后来还是粮站主任谷燕山出面,给双方打了圆场:“算啦算啦,在一个镇上住着,低头不见抬头见,有话到市管会和税务所去讲!”把李国香气的哟,真想大骂一通资本主义尾巴们!芙蓉镇庙小妖风大,池浅王八多,窝藏坏人坏事,对她这个外来干部欺生。

    李国香本是县商业局的人事干部,县委财贸书记杨民高的外甥女,全县商业战线以批资本主义出名的女将。据说早在一九五八年,她就献计献策,由县工商行政管理局放出了一颗“工商卫星”:对全县小摊小贩进行了一次突击性大清理。她的事迹还登过省报,一跃而成为县里的红人,很快入了党,提了干。人人都有一本难念的经。今年春上,正当要被提拔为县商业局副局长时,她和有家有室的县委财办主任的秘事不幸泄露。因她去医院打胎时不得不交代出肚里孽种畜生的来历。为了爱护典型,秘事当然被严格控制在极小的范围内。就连负责给她堕胎的女医生,都很快因工作需要被安排到千里之外的洞庭湖区搞“血防”去了。李国香也暂时受点委屈,下到芙蓉镇饮食店来当经理。可怜巴巴的连个股级干部都没够上呢。

    女经理今年三十二岁。年过三十二对于一个尚未成家的女人来说,是一个复杂的年纪,叫做上上不得,下下不得。唉唉,都怨得了谁呢?恋爱史就是她的青春史。李国香二十二岁那年参加革命工作,在挑选对象这个问题上,真叫尝遍了酸甜苦辣咸。她初恋谈的是县兵役局一位肩章上一颗“豆”的少尉排长,可是那年月时髦姑娘们流行的歌诀是:一颗“豆”太小,两颗“豆”嫌少,三颗“豆”正好,四颗“豆”太老。她很快就和“一颗豆”吹了。不久找了位“三颗豆”,老倒是不老,就是上尉连长刚和乡下的女人离了婚,身边还有个活蹦乱跳的男娃,头次见面不喊“阿姨”,而喊“后妈”!碰他娘的鬼哟,挂筒拉倒。接着发生了第三次爱情纠葛,闪电式的,很有点讲究,这里暂且不表。一九五六年党号召向科学进军,她找了位知识分子——县水利局的一位眼镜先生。两人已经有了“百日之恩”。可是眼镜先生第二年被划成右派分子。“妈呀!”她像走夜路碰见了五步蛇,赶忙把跨出去的脚缩了回来,好险!这一来她发誓要成为一名人事干部,对象则要个科局级,哪怕是当“后妈”。她的愿望只达到了一半。因为世上的好事总难全。不知不觉十年青春年华过去了,她政治上越来越跑红,而在私生活方面却圈子越搞越窄,品位级别也越来越低了。有时心里就和猫爪抓挠着一样干着急。她天天早晨起来的第一件事:照镜子。当窗理云鬓,对镜好心酸。原先黑白分明的大眼睛,已经布满了红丝丝,色泽浊黄。原先好看的双眼皮,已经隐现一晕黑圈,四周爬满了鱼尾细纹。原先白里透红的脸蛋上有两个逗人的浅酒窝,现在皮肉松弛,枯涩发黄……天哪,难道一个得不到正常的感情雨露滋润的女人,青春就是这样的短促,季节一过就凋谢萎缩?人一变丑,心就变冷。积习成癖,她在心里暗暗嫉妒着那些有家有室的女人。

    李国香急于成家。有了法定的男人,她在县上闹下的秘闻就会为人们淡忘。谁成家前没有一两件荒唐事哟。今年年初来到芙蓉镇后,她留心察看了一下,在“共产党员、国家干部”这个起码标准下,入选目标可怜巴巴,只有粮站主任谷燕山那个“北方佬”。“北方佬”一脸胡子拉碴,衣着不整,爱喝二两,染有一般老单身汉诸如此类的癖好积习。可是据山镇银行权威人士透出风声,谷主任私人存折是个“干字号”。谷燕山政治、经济条件都不差,就是年龄上头差一截……唉唉,事到如今,只能顾一头了。俗话说:“老郎疼婆娘,少郎讲名堂。”当然话讲回来,李国香有时也单相思地想到:一旦真的搂着那个一嘴胡子拉碴的黑雷公睡觉,没的恶心,不定一身都会起鸡皮疙瘩……一个果子样熟过了的女人,不能总靠单相思过日子。她开始注意跟粮站主任去接近,亲亲热热喊声“老谷呀,要不要我叫店里大师傅替你炒盘下酒菜?”或是扯个眉眼送上点风情什么的:“谷大主任,我们店里新到了一箱‘杏花村’,我特意吩咐给你留了两瓶!”“哎呀,你的 衣服领子都黑得放亮啦,做个假领子就省事啦……”如此这般。本来成年男女间这一类的表露、试探,如同易燃物,一碰就着。谷燕山这老单身汉却像截湿木头,不着火,不冒烟。没的恶心!李国香只好进一步做出牺牲,老着脸子采取些积极行动。

    有天晚上,全镇供销、财粮系统联合召开党员会,传达中央文件。镇上那时还没有发电,会场上吊着一盏时明时灭像得了哮喘病似的煤气灯。女经理等候在黑洞洞的楼梯口。粮站主任进来时,她自自然然地挨过身子去:“老谷呀,慢点走,这楼口黑得像棺材,你做点好事牵着我的手!”粮站主任没介意,伸过手臂去让女经理拉住,也就是类似大口岸地方那种男女“吊膀子”的款式。谁知女经理得寸进尺,“吊膀子”还嫌不足,竟然整个身子都贴了上来。粮站主任口里喷出酒气,女经理身上喷出香气。反正黑古隆冬的木板楼梯上,谁也看不清谁。“你呀,又喝了?嘻嘻嘻,酒臭!”女经理又疼又怨像个老交情。“你怎么像根藤一样地缠着我呀?来人了,还不赶快松开?”粮站主任真像棵树,全无知觉。气得女经理恨恨地在他的膀子上掐了一把:“老东西!不懂味,不知趣!送到口边的菜都不吃?”粮站主任竞反唇相讥:“女经理可不要听错了行情估错了价,我懂酒味,不知你趣!”天啊,这算什么话?没的恶心!好在已经来到了会场门口,两人都住了口。彼此冷面冷心,各人有各人的尊严。进了会场各找各的地方坐下,好像什么事都没有发生过。

    在一个四十出头的单身汉面前碰壁!李国香牙巴骨都打战战,格格响。饮食店的职工们当然不知女经理的这番挫折,只见她第二天早晨起来眼睛肿得和水蜜桃一样,看什么人都不顺眼,看见馒头、花卷、包子、面条都有气。还平白无故就把一位女服务员批了一顿:
    “妖妖调调的,穿着短裙子上班,要现出你的腿巴子白白嫩嫩?没的恶心!你想学那摆米豆腐摊的女贩子?还是要当国营饮食店的营业员?你不要脸,我们国营饮食店还要讲个政治影响!先向你们团支部写份检讨,挖一挖打扮得这么花俏风骚的思想根源!”

    几天后,女经理自己倒是找到了在老单身公谷燕山面前碰壁的根源:就是那个“米豆腐西施”,或如一般顾客喊的“芙蓉姐子”。原来老单身公是在向有夫之妇胡玉音献殷勤,利用职权慷国家之慨,每圩供给六十斤碎米谷头子!什么碎米谷头子?还不是为了障人耳目!里边还不晓得窝着、藏着些什么不好见人的勾当呢。“胡玉音!你是个什么人?李国香又是个什么人?在小小芙蓉镇,你倒事事占上风!”有好些日子,她恼恨得气都出不均匀,甚至对胡玉音婚后不育,她都有点幸灾乐祸。“空有副好皮囊!抱不出崽的寡蛋!”相形之下,她不免有点自负,自己毕竟还有过两回西医、草药打胎的记录……谷燕山,胡玉音!天还早着呢,路还远着呢。只要李国香在芙蓉镇上住下去,扎下根,总有一天叫你们这一对不清不白的男女丢人现眼败相。

    她是这样的人:常在个人生活的小溪小河里搁浅,却在汹涌着政治波涛的大江大河里鼓浪扬帆。“神仙下凡问土地”,她决定利用空余时间先去找本镇大队党支部调查调查,掌握些基本情况,再来从长计议。

    三 满庚哥和芙蓉女

    芙蓉河岸上,如今木芙蓉树不多了。人说芙蓉树老了会成芙蓉精,化作女子晚上出来拉过路的男人。有人曾在一个月白风清的后半夜,见一群天姿国色的女子在河里洗澡,忽而朵朵莲花浮玉液,忽而个个仙姑戏清波……每个仙姑至少要拉一个青皮后生去配偶。难怪芙蓉河里年年热天都要淹死个把洗冷水澡的年轻人。搞得镇上那些二百五后生子们又惊又怕又喜,个别水性好、胆子大的甚至想:只要不丢了性命,倒也不妨去会会芙蓉仙姑。站在领导者的立场上,从长远利益着眼,这可对镇上人口、民兵建设都是个威胁。因而河岸上的芙蓉老树从一镇风水变成了一镇迷信根源。后来乡政府布置种蓖麻籽,说是可以提炼保卫国家的飞机润滑油,镇上的小学生们就刨了芙蓉树根点种蓖麻,既巩固了国防,又破除了迷信。正跟镇背后的方方湖塘,原先种着水芙蓉,公社化后以粮为纲,改成了水稻田一样。不过河岸码头边,还幸存着十来株合抱大的凉粉树,树上爬满了薜荔藤。对于这十来株薜荔古树何以能够逃脱全民炼钢煮铁运动,镇上的人说法不一。有的说是因它的木质差,烧成木炭不厉火。有的说是乡政府的一个后来被划成右倾机会主义分子的乡长同志,执意要留给过渡群众歇气、纳凉。有的说就是到了尽吃尽喝的共产主义社会,大热天大约也还要用冰凉的井水磨几碗凉粉解解油腻,留下凉粉树,是看到了长远利益……你看看,才过了四、五年,对这么件小事就各执一词,众说纷纭,可见中国历史的复杂性。难怪历朝历代都有那么多大学问家做“考证”。凉粉树啊,薜荔藤,在码头石级两旁,形成了烈日射不透的夹道浓荫,荫庇着上下过往行人。树上吊满了凉粉公、凉粉婆,就像吊满一只只小小的青铜钟。它们连同浓荫投映在绿豆色的河水里,静静的河水都似乎在叮咚、叮咚……

    大队支书满庚哥,一九五六年从部队上复员下来,分配在区政府当民政干事,就是在这渡口码头边,见到了镇上客栈胡老板的独生女的。那女子洗完了一篮筐衣服,正俯着脸盘看水下岩缝缝里游着的尾尾花灯鱼玩。满庚哥从岸上下来等渡船,首先看到的是那张倒映在河水里的秀丽的鹅蛋脸……他心里迷惑了一下:乖!莫非自己大白天撞上了芙蓉树精啦?镇上哪家子出落个这么姣好的美人儿?民政干事出了神。他不怕芙蓉树精,不觉地走拢过去,继续打量着镜子一般明净的河水里倒映出的这张迷人的脸盘。

    这一来,河水里就倒映出了两张年轻人的脸。那女子吓了一大跳,绯红了脸,恨恨地一伸手先把河水里的影子搅乱了,捣碎了;接着站起身子,懊恼地朝后生子身上斜了一眼。可是,两个人都立时惊讶、羞怯得和触了电一样,张开嘴巴呆住了:
    “玉音!你长这么大了?……”
    “满庚哥,你回来了……”
    原来他们从小就认识。满庚哥是摆渡老倌的娃儿。玉音跟着他进山去扯过笋子、捡过香菇、打过柴禾。他们还山对山、崖对崖地唱过耍歌子,相骂着好玩。小玉音唱:“那边徕崽站一排,你敢砍柴就过来,镰刀把把打死你,镰刀嘴嘴挖眼埋!”小满庚回:“那山妹子生得乖,你敢扯笋就过来,红绸帕子把你盖,花花轿子把你抬!”一支一支的山歌相唱相骂了下去,满庚没有输,玉音也没有赢。她心里恨恨地骂:“短命鬼!哪个希罕你的红绸帕子花花轿?呸,呸!”有时她心里又想:“缺德少教的,看你日后花花轿子来不来抬……”后来,人,一年年长大了,玉音也一年年懂事了。满庚哥参了军。胡玉音一想到“花花轿子把你抬”这句山歌,就要脸热,心跳,甜丝丝地好害臊。

    一对青梅竹马,面对面地站在一块岩板上。可两人又都低着头,眼睛看着自己的鞋尖尖。玉音穿的是自己做的布鞋,满庚穿的是部队上发的解放鞋。好在是红火厉日的正中午,树上的知了吱——呀、吱——呀只管噪,对河的艄公就是满庚的爹,不知是在阴凉的岩板上睡着了,还是在装睡觉。

    “玉音,你的一双手好白净,好像没有搞过劳动……”还是民政干事先开了口。开过口又埋下眼皮好后悔,没话找话,很不得体。

    “哪个讲的?天天都做事哩。不戴草帽不打伞,不晓得哪样的,就是晒不黑……不信?你看,我巴掌上都起了茧……”客栈老板的独生女声音很轻,轻得几乎只能自己听见。但民政干事也听得见。

    胡玉音有点委屈地嘟起腮帮,想向满庚哥伸出巴掌去。巴掌却不听话,要伸不伸的,麻起胆子才伸出去一半。

    满庚哥歉意地笑了笑,伸出手去想把那巴掌上的茧子摸一摸,但手臂却不争气,伸到半路又缩了回来。

    “玉音,你……”满庚哥终于鼓起了勇气,眼睛睁得好大,一眨不眨地盯着秀丽女子,眼神里充满了讯问。

    玉音吃了灵芝草,满庚哥的心事,她懂:
    “我?清清白白一个人……”她还特意添加了一句,“就是一个人……”
    “玉音!”满庚哥声音颤抖了,紧张得身上的军装快要胀裂了,张开双臂像要扑上来。
    “你……敢!”胡玉音后退了一步,眼睛里立即涌出了两泡泪水,像个受了欺侮的小妹娃一样。
    “好,好,我现在不……”满庚哥见状,心里立即生出一种兄长爱护妹妹般的感情和责任,声音和神色都缓和了下来。“好,好,你回家去吧,老叔、婶娘在铺里等久了,会不放心的。你先替我问两个大人好!”
    胡玉音提起洗衣篮筐,点了点头:“爹娘都年纪大了,病病歪歪的……”
    “玉音,改天我还要来看你!”对岸,渡船已经划过来了。
    胡玉音又点了点头,点得下巴都挨着了衣领口。她提着篮筐一步步沿着石阶朝上走,三步一回头。
    民政干事回到区政府,从头到脚都是笑眯眯的。

    区委书记杨民高是本地人,很注意培养本地干部。在区委会、区政府二十几号青年干部里,他最看重的就是民政干事黎满庚。小黎根正苗正,一表人材,思想单纯作风正,部队上的鉴定签得好,服役五年立过四次三等功。当时,县委正在布置撤区并乡,杨民高要被提拔到县委去管财贸。他向县委推荐,提拔小黎到山区大乡——芙蓉乡当乡长兼党总支书记。县委组织部已经找黎满庚谈了话,只等着正式委任。这时,杨民高书记那在县商业局工作的宝贝外甥女,来区政府所在地调查供销工作。当然啰,三顿饭都要来书记舅舅宿舍里吃。杨书记不知出于无心还是有意,每顿饭都派民政干事到厨房里打了来一起吃。民政干事隐约听人讲过,区委书记的外甥女在县里搞恋爱像猴子扳苞谷,扳一个丢一个,生活不大严肃。饭桌上,不免就多打量了几眼:是啊,穿着是够洋派的,每到吃饭时,就要脱下米黄色丝光卡罩衣,只穿一件浅花无领无袖衫,裸露出一对圆圆滚滚、雪白粉嫩的胳膊,细嫩的脖子下边也现出来那么一片半遮不掩的皮肉,容易使人产生奇妙的联想呢。高耸的胸脯上,布衫里一左一右顶着两粒对称的小钮扣似的。就连杨民高书记这种长年四季板着脸孔过日子的领导人,吃饭时也不免要打望一下外甥女的一对白胖的手巴子,盯两眼她脖子下细嫩的一片,嘴角也要透出几丝丝不易被人察觉的笑意。杨书记的外甥女究竟是位见过世面的人,落落大方,一双会说话、能唱歌似的眼睛在民政干事的身上瞄来扫去,真像要把人的魂魄都摄去似的。黎满庚从来没有被女同志波光闪闪的眼睛这样“扫描”过,常常脸红耳赤,笨手笨脚,低下脑壳去数凳子脚、桌子脚。

    总共就这么在一张饭桌上吃了四顿饭,彼此只晓得个“小黎”、“小李”。第三天,杨书记送走外甥女后,就笑眯眯地问:“怎么样?嗯?怎么样?”黎满庚头脑不灵活,反应不过来,不知所问:“杨书记,什么事?什么‘怎么样’?”真是对牛弹琴!一个二十好几的复员军人,这么蠢,这么混账。明明刚送走了一位花儿朵儿的人儿,他却张大嘴巴来反问舅老爷“什么‘怎么样”’?

    当晚,区委书记找民政干事进行了一次严肃的谈话。这在杨民高来讲,已经是够屈尊赏光的了。要是换了别的青年干部,早就把“五粮液”、“泸州老窖”孝敬上来了,洗脸水、洗脚水都打不赢了。杨民高书记以舅老兼月老的身分,还以顶头上司的权威身分,不由分说地把两个年轻人的政治前程、小家庭生活安排,详细地布置了一番。也许是出于一种领导者的习惯,他就像在布置、分派下属干部去完成某项任务一样。“怎么样?嗯,怎么样?”区委书记又是上午的那口腔调。没想到民政干事嘴里结结巴巴,眼睛躲躲闪闪,半天才挤出一个阴屁来:“多谢首长关心,宽我几天日子,等我好好想想……”把区委书记气的哟,眼睛都乌了,真要当即拉下脸来,训斥一顿:狂妄自大,目无领导,你个芝麻大的民政干事,倒像个状元爷,等着做东床驸马?

    民政干事利用工作之便,回了一转芙蓉镇。摆渡艄公的后代和客栈老板的独生女,是不是又在码头下的青岩板上会的面,打了些什么商量,不得而知。当时,不晓得根据哪一号文件的规定,凡共产党员,甚至党外积极分子谈恋爱,都必须预先向党组织如实汇报情况,并经组织同意后,方可继续发展感情,以保障党员阶级成分、社会关系的纯洁性、可靠性。几天后,民政干事老老实实、恭恭敬敬向区委书记做了汇报。

    “恭喜恭喜,看上芙蓉镇上的小西施了。”杨民高书记不动声色,半躺半仰在睡椅里,二郎腿架起和脑壳一样高,正好成个虾公形。他手里拿一根火柴棍,剔除酒后牙缝缝里的肉丝菜屑,以及诸如此类的剩余物质。

    “我们小时候扯笋、捡香菇就认得……”民政干事的脸也红得和熟虾公一个色。
    “她家什么阶级成分?”
    “大概是小业主,相当于富裕中农什么的……”
    “大概?相当于?这是你一个民政干事讲的话?共产党员是干什么的?”杨民高书记精神一振,从睡椅上翻坐起来,眼睛瞪得和两只二十五瓦的电灯泡似的。
    “我、我……”民政干事羞惭得无地自容,就像小时候钻进人家的果园里偷摘果子被园主当场捉拿到了似的。
    “我以组织的名义告诉你吧,黎满庚同志。芙蓉镇的客栈老板,解放前参加过青红帮,老板娘则更复杂,在一个大口岸上当过妓女。你该明白了吧,妓女的妹儿,才会那样娇滴妖艳……”杨民高书记又半躺半仰到睡椅里去了,在本地工作了多年,四乡百姓,大凡出身历史不大干净、社会关系有个一鳞半爪的,他心里都有个谱,有一本阶级成分的账。
    民政干事耷拉着脑壳,只差没有落下泪来了。
    “小黎,根据婚姻法,搞对象你有你的自由。但是党组织也有党组织的规矩。你可以选择:要么保住党籍,要么去讨客栈老板的小姐做老婆!”
    杨民高书记例行的是公事,讲的是原则。当然,他一个字也没再提到自己那熟透了的水蜜桃似的亲外甥女。

    从部队到地方,从简单到复杂。民政干事像棵遭了霜打的落叶树,几天功夫瘦掉了一身肉。事情还不止是这样。区委书记在正式宣布县委的撤区并乡、各大乡领导人员名单时,民政干事没有挂上号。倒是通知他到一个乡政府去当炊事员。因为他从部队转地方时,本来就不可以做干部使用,只能做公务员。

    黎满庚没有到那乡政府去报到。他回到芙蓉镇的渡头土屋,帮着年事已高的爷老倌摆渡。本来就登得不高,也就算不得跌重。艄公的后代还当艄公,天经地义。行船走水是本分。

    一个月白风清的晚上,黎满庚和胡玉音又会了一次面。还是老地方:河边码头的青岩板上。如今方便得多了,黎满庚自己撑船摆渡,时常都可以见面。

    “都怪我!都怪我!满庚哥……”胡玉音眼泪婆娑。月色下,波光水影里,她明净妩媚的脸庞,也和天上的圆月一个样。

    “玉音,你莫哭。我心里好痛……”黎满庚高高大大一条汉子,不能哭。部队里锻炼出来的人,刀子扎着都不能哭。

    “满庚哥!我晓得了……党,我,你只能要一个……我不好,我命独。十三岁上瞎子先生给我算了个‘灵八字’,我只告诉你一人,我命里不主子,还克夫……”胡玉音呜呜咽咽,心里好恨。长这么大,她没有恨过人,人家也没有恨过她。她只晓得恨自己。

    什么话哟,解放都六、七年了,思想还这么封建迷信!但满庚哥不忍心批评她。她太可怜,又太娇嫩。好比倒映在水里的木芙蓉影子,你手指轻轻一搅,就乱了,碎了。

    “满庚哥,我认了你做哥哥,好吗?你就认了我做妹妹。既是我们没有缘分……”

    妹儿的痴心、痴情,是块铁都会化、会熔。黎满庚再也站不住了,他都要发疯了!他扑了上来,一把抱住了心上的人,嘴对着嘴地亲了又亲!

    “满庚哥,好哥哥,亲哥哥……”过了一会儿,玉音伏在满庚肩上哭。

    “好哥哥”,“亲哥哥”……这是信任,也是责任。黎满庚松开了手,一种男子汉的凛然正气,充溢他心头,涨满他胸膛。就在这神圣的一刹那间,他和她,已改变了关系。山里人纯朴的伦理观占了上风,打了胜仗。感情的土地上也滋长出英雄主义。

    “玉音妹妹,今后你就是我的亲妹妹……我们虽是隔了一条河,可还是在一个镇子上住着。今生今世,我都要护着你……”

    这是生活的承诺,庄严的盟誓。

    镇国营饮食店女经理李国香要找本镇大队党支书,了解米豆腐摊贩胡玉音的阶级成分、出身历史、现行表现,她是找错了人。她已经走到了河边,下了码头,才明白了过来:大队支书黎满庚,就是当年区政府的民政干事!妈呀,碰鬼哟!都要上渡船了,她缩回了脚。

    “李经理!你当领导的要下哪里去?”她迎面碰到了刚从渡船上下来的“运动根子”王秋赦。

    王秋赦三十五、六岁年纪,身子富态结实,穿着干净整洁。李国香礼节性地朝他笑了笑,忽然心里一亮:对了!王秋赦是本镇上有名的“运动根子”,历次运动都是积极分子,找他打听一下胡玉音的情况,岂不省事又省力。

    于是他们边走边谈,一谈就十分相契,竞像两个多年不见的亲朋密友似的。

    四 吊脚楼主

    说起李国香在渡口码头碰到的这位王秋赦,的确算得上本镇一个人物。论出身成分,他比贫下中农还优一等:雇农。贫下中农只算农村里的半无产者。黄金无假,麒麟无真,他王秋赦是个十足成色的无产阶级。查五服三代,他连父母亲都没有出处,不知是何年月从何州县流落到芙蓉镇这省边地角来的乞丐孤儿。更不用提他的爷爷、爷爷的爹了。自然也没有兄嫂、叔伯、姑舅、岳丈、外公等等复杂的亲戚朋友关系。真算得是出身历史清白,社会关系纯洁。清白清白,清就是白,白就是没得。没得当然最干净,最纯洁,最适合上天、出国。可惜驾飞机他身体太差,也缺少文化。出国又认不得洋字,听不懂洋话。都怪他生不逢时在旧社会,从小蹲破庙、住祠堂长大。土地改革那年,才二十二岁,却已经在本镇祠堂打过五年铜锣了。他嘴勤脚健,头脑不笨,又认得几个字,在祠堂跑腿办事,看着财老倌们的脸色、眼色应酬供奉,十分尽心费力。当然少不了也要挨些莫名其妙的冷巴掌,遭些突如其来的暗拳脚。用他自己在诉苦大会上的话来讲,是嚼的眼泪饭,喝的苦胆汤,脑壳给人家当木鱼敲,颈脖给人家做板凳坐,穷得十七、八岁还露出屁股蛋,上吊都找不到一根苎麻索。

    他被定为“土改根子”。依他的口才、肚才,本来可以出息成一个制服口袋上插金笔的“工作同志”的。但刚从“人下人”翻做“人上人”时没有经受住考验,在阶级立场这块光洁瓦亮、照得见人影的大理石台面上跌了一跤:工作队派他到本镇一户逃亡地主家去看守浮财,他却失足落水,一头栽进象牙床,和逃亡地主遗弃的小姨太太如鱼得水,仿佛这才真正尝到了“翻身”的滋味,先前对姨太太这流人儿正眼都不敢看一看,如今却被自己占有、取乐儿。他的这种“翻身观”当然是人民政府的政策不允许、工作队的纪律所不容忍的。那小姨太太因向贫雇农施“美人计”受到了,应得的惩罚,他“土改根子”也送掉了升格为“工作同志”的前程。要不,王秋赦今天就可能是位坐吉普车、管百十万人口的县团级了呢。他在工作队面前痛哭流涕、自己掌嘴,打得嘴角都出了血。工作队念及他苦大仇深、悔过恳切,才保住了他的雇农成分和“土改根子”身分,胜利果实还是分的头一等。他分得了四时衣裤、全套铺盖、两亩水田、一亩好土不说,最难得的是分得了一栋位于本镇青石板街的吊脚楼。

    吊脚楼本是一个山霸早先逢圩赶集时宿娼纳妓的一栋全木结构别墅,里头描龙画凤金漆家具一应俱全。王秋赦惟独忘记了要求也应当分给他农具、耕牛。得到了这份果实,他高兴得几天几夜合不上嘴、闭不了眼,以为是在做梦,光怪陆离的富贵梦。接着又眼花缭乱晕了头,竟生出一种最不景气、最无出息的想法:他姓王的如今得着了这份浮财,就是睡着吃现成的,餐餐沾上荤腥,顿顿喝上二两,这楼屋里的家什也够变卖个十年八年的了。如今共产党领导有方,人民政府神通广大,新社会前程无量,按工作同志大力宣传的文件、材料来判断推算,过上十年八年,就建成社会主义,进入共产社会了呢。那时吃公家的,穿公家的,住公家的,耍公家的,何乐而不为?连自己这百十斤身坯,都是公家的了呢,你们谁要?哈哈哈,嘻嘻嘻,谁要?老子都给,都给!他每每想到新社会有如此这般的美妙处,就高兴得在红漆高柱床上打手打脚,翻跟斗,乐不可支。

    可是土改翻身后的日子,却并不像他睡在吊脚楼的红漆高柱床上所设想的那样美妙。从小住祠堂他只习惯了“吃活饭”:跑腿,打锣,扫地;而没有学会“做死事”:犁田,整土,种五谷。好田好土不会自己长出谷子、麦子来,还得主家下苦力,流黑汗。人不哄地皮,地不哄肚皮。可是栽秧莳田面朝泥水背朝天,腰骨都勾断,挖土整地红火厉日头晒脱背脊皮,而且和泥土、土块打交道,一天到晚嘴巴都闭臭,身上的汗水干了又湿,湿了又干,真是一粒谷子千滴汗啊。他乏味,受不了这份苦、脏、累。他生成就不是个正经八板的作田佬,而生成是个跑公差吃活水饭的人。两三年下来,他田里草比禾深,土里藏得下鼠兔。后来他索性算它个毬,门角落的锄头、镰刀都生了锈。他开始偷偷地、暗暗地变卖土改时分得的胜利果实,箱箱柜柜的,都是人民币。人民币虽说是纸印的,哗哗响,却比解放前那叮叮当当的“袁大头”还顶事呢。他上馆子,下酒铺,从不敢大吃大喝,大手大脚,颇为紧吃慢用,细水长流,却也吃喝得满脸泛红,油光嘴亮,胖胖乎乎的发了体。有时本镇上的居民,半月一月都不见他的吊脚楼上空冒一次炊烟,还以为他学了什么道法,得了什么仙术,现成的鸡鸭酒席由着他招手即来,摆手则去,连杯盘碗筷都不消动手洗呢。

    常言道:“攒钱好比金挑土,花钱好比浪淘沙”,“坐吃山空”。几年日子混下来,王秋赦媳妇都没讨上一个,吊脚楼里的家什已经十停去了八停。就连衣服、裤子也筋吊吊的,现出土改翻身前的破落相来了。本镇上的居民们给他取下了几个外号:一是“王秋赊”,一年四季赊账借钱度日;一是“王秋蛇”,秋天的蛇在进洞冬眠前最是忌动,懒蛇;一是“王秋奢”,讲他手指缝缝流金走银,几年功夫就把一份产业吃花尽了。他则讲这些给他取外号的人没有一丝一毫的阶级感情。而另一些跟他一起当“土改根子”的翻身户,几年里却大出息了,买的买水牛,添的添谷仓,起的起新屋,全家老小穿的戴的都是一色新。他看了好眼红。他盼着有朝一日又来一次新的土地改革,又可分得一次新的胜利果实。“娘卖乖!要是老子掌了权,当了政,一年划一回成分,一年搞一回土改,一年分一回浮财!”他躺在吊脚楼的破席片上,双手枕着头,美滋滋地想着谁该划地主,谁该划富农,谁该划中农、贫农。他自己呢?“农会主席!除了老子,娘卖乖,谁还够这个资格!”当然他自己也晓得,这是穷开心。分浮财这等美差,几代人都难得碰上一回呢。一九五四年,镇上成立了几个互助组。他提出以田土入组。人家看他人不会入组,不会下田做活路,岂不是秋后吃地租?因此谁都不肯收容他。直到成立农业社,走合作化道路,他才成为一名农业社社员。农业社有社委会,社委会有主任、副主任若干人,下属若干生产队、专业组,不免经常开会呀,下通知呀,派差传话呀等等,就需要启用本质好、政治可靠、嘴勤腿快的人才。王秋赦这才生逢其时,适得其位,有了用武之地。

    王秋赦为人处世还有另外一面,就是肯在街坊中走动帮忙。镇上人家,除了五类分子之外,无论谁家讨亲嫁女、老人归天之类的红白喜事,他总是不请自到,协助主家经办下庚帖、买酒肉、备礼品、铺排酒席桌椅一应事宜。他尽心尽力,忘日忘夜,而且也没有什么非分之想,只是随喜随喜,跟着吃几回酒席,外加几餐宵夜。就是平常日子,谁家杀猪、打狗,他也最肯帮人当个下手,架锅烧水啦,刮毛洗肠子呀,跑腿买酒买烟啦,等等。因而他无形中有了一个特殊身分:镇上群众的“公差人”。他自己则把这称之为“跑大祠堂”。

    他除了在镇上有些“人缘”外,还颇得“上心”。他一个单身汉,住着整整一栋空落落的吊脚楼,房舍宽敞,因而大凡县里、区里下来的“吃派饭”的工作同志,一般都愿到他这楼上来歇宿。吊脚楼地板干爽,前后都有扶手游廊,空气新鲜,工作同志自然乐意住。这一来王秋赦就结识下了一些县里、区里的干部。这些干部们下乡都讲究阶级感情,看到吊脚楼主王秋赦土改翻身后婆娘都讨不起,仍是烂锅、烂碗、烂灶,床上仍是破被、破帐、破席,仍是个贫雇农啊,农村出现了两极分化啊。于是每年冬下的救济款,每年春夏之交青黄不接时的救济粮,芙蓉镇的救济对象,头一名常是王秋赦。而且每隔两三年他还领得到一套救济棉衣、棉裤。好像干革命、搞斗争就是为着王秋赦们啊,“一大二公”还能饿着、冻着王秋赦们?前些年因大跃进和过苦日子,民穷国困,救济棉衣连着四、五年都没有发给王秋赦。王秋赦身上布吊吊,肩背、前襟露出了板膏油(破棉衣露出花絮),胸前扣子都没有一颗,他艰苦朴素地搓了根稻草索子捆着,实在不成样子啊。王秋赦则认为政府不救济他,便是“出的新社会的丑”啊。冬天他冻得嘴皮发乌,流着清鼻涕,跑到公社去,找着公社书记说:“上级首长啊,一九五九年公社搞阶级斗争展览会,要去的我那件烂棉衣,比我如今身上穿的这件还好点,能不能开了展览馆的锁,给我斟换一下啊?”
    什么话?从阶级斗争展览馆换烂棉衣回去穿?今不如昔?什么政治影响?王秋赦身上露的是新社会的相啊!公社书记觉得责任重大,关系到阶级立场和阶级感情问题,上级民政部门又一时两时地不会发下救济物资来,只好忍痛从自己身上脱下了还有五成新的棉袄,给“土改根子”穿上,以御一冬之寒。

    “人民政府,衣食父母。”这话王秋赦经常念在嘴里,记在心上。他也晓得感恩,每逢上级工作同志下来抓中心,搞运动,他打铜锣,吹哨子,喊土广播,敲钟,跑腿送材料,守夜站哨,会场上领呼口号,总是积极肯干,打头阵,当骨干。工作同志指向哪,他就奔向哪。他依靠工作同志,工作同志依靠他。本也是政治运动需要他,他需要政治运动。

    胡玉音的男人黎桂桂,是个老实巴交的屠户,平日不吭不声,三锤砸不出一个响屁。可是不叫的狗咬人。他为王秋赦总结过顺口溜,当时流传甚广,影响颇坏,叫做:“死懒活跳,政府依靠;努力生产,政府不管;有余有赚,政府批判。”

    这里,捎带着介绍两句:胡玉音摆米豆腐摊子,王秋赦圩圩来白吃食,叫做“记账”。原来他又有个不景气的打算:土改时他分得的胜利果实中还有一块屋基,就在老胡记客栈隔壁。吊脚楼尽够他一个单身汉住的了,还要这屋基做什么?他已经向胡玉音夫妇透露过,只要肯出个一、两百块现钞,这块地皮可以转让。同时,也算两年来没有在米豆腐摊子上白吃食。更何况王秋赦堂堂一条汉子,岂能以他一时的贫酸貌相?赵匡胤还当过几年泼皮,薛仁贵还住过三年茅房呢!

    五 “精神会餐”和《喜歌堂》

    同志哥啊,你可曾晓得什么是“精神会餐”吗?那是一九六0、六一年乡下吃公共食堂时的土特产。那年月五岭山区的社员们几个月不见油腥,一年难打一次牙祭,食物中植物纤维过剩,脂肪蛋白奇缺,瓜菜叶子越吃心里越慌。肚子瘪得贴到了背脊骨,喉咙都要伸出手。当然账要算到帝修反身上、老天爷身上。老天爷是五类分子,专门和人民公社公共食堂捣蛋。后来又说账要算到彭德怀、刘少奇、邓小平的路线上,他们反对三面红旗吃大锅饭。吃大锅饭有什么不好?青菜萝卜煮在一起,连油都不消放,天天回忆对比,忆苦思甜。“苦不苦,想想红军两万五!”当年那些为着中国人民的翻身解放、幸福安乐而牺牲在雪山草地上的先烈们,如若九泉有灵,得知他们吃过的树皮草根竟然在为公共食堂的“瓜菜代”打马虎眼,真不知要做何感叹了。

    山区的社员们怎么搞得清、懂得了这些藏匿在楼阁嵯峨的广厦深宫里的玄论呢?玄理妙论有时就像八卦图、迷魂阵。民以食为天,社员们只晓得肚子饿得痛,嘴里冒清口水。蕨根糠粑吃下去,粪便凝结在肛门口,和铁一样硬,出生血。要用指头抠,细棍挑,活作孽。他们白天还好过,到了晚上睡不着。于是,人们的智慧就来填补物质的空白。人们就来互相回忆、讲述自己哪年哪月,何处何家所吃过的一顿最为丰盛的酒席,整鸡整鱼、肥冬冬的团子肉、皮皱皱的肘子、夹得筷子都要弯下去的四两一块的扣肉、粉蒸肉、回锅肉等等。当然山里人最喜欢的还是落雪天吃肥狗肉。正是一家炖狗肉,四邻闻香气。吃得满嘴油光,肚皮鼓胀,浑身燥热,打出个饱嗝来都是油腻腻的。狗肉好吃名气丑,上不得大席面,但滋阴壮阳,男人家在外边跑生意,少吃为佳,多吃生事……于是,讲着的,听着的,都仿佛眼睛看到了佳肴,鼻子闻到了肉香,满嘴都是唾液。日子还长着呢,机会还多的是……将口腹享受,寄望于日后。解放十余年了的山镇,总不乏几个知书识字、粗通文墨的人,就拟定下一个文绉绉的词儿:精神会餐。这词儿使用的期限不长,有的村寨半载,有的乡镇一年。上下五千年,纵横千万里啊,神州大地发生过的大饥荒还少了吗?那时饿殍载道,枯骨遍野。在茫茫的历史长河中,“精神会餐”之类的支流未节,算得了什么?一要分清延安和西安,二要分清九个指头和一个指头。何况新中国才成立十一、二年。白手起家,一切都在探索。进入现代社会,国家和百姓都要付学费。俱往矣,功与过,留给后人评说。

    一九六三年的春夜,在老胡记客栈里,芙蓉姐子胡玉音和男人黎桂桂,在进行另一种“精神会餐”。他们成亲六、七年了,夫妻恩爱,却没有子嗣信息。黎桂桂比胡玉音年长四岁,虽说做的是白刀子进去、红刀子出来的屠户营生,却是出名的胆小怕事。有时在街上、路上碰到一头红眼睛弯角水牛,或是一条松毛狗,他都要身子打哆嗦,躲到一边去。有人笑话他:“桂崔,你怎么不怕猪?”“猪?猪蠢,既不咬人,又没长角,只晓得哼哼!”人家笑他胆子小,他不在意。就是那些好心、歪心的人笑话他不中用,崽都做不出,那样标致能干的婆娘是只空花瓶,他就最伤心。他已经背着人(包括自己女人),偷偷吃下过几副狗肾、猪豪筋了。桂桂身体强壮,有时晚上睡不着,又怕叹得气,惹玉音不高兴。

    “玉音,我们要生个崽娃就好了,哪怕生个妹娃也好。”
    “是哪,我都二十六了,心里急。”
    “要是你生了个毛毛,家务事归我做,尿布、屎片归我洗,晚上归我哄着睡。”“奶子呢?也归你喂?”玉音格格笑。
    “还是你做娘嘛!我胸面前又没鼓起两坨肉。”你听,桂桂有时也俏皮,也有点痞。
    “你坏,你好坏……”
    “我呀,每晚上把毛毛放到我胁肋窝下,‘啊,啊,啊,宝宝快睡觉,啊,啊,啊,宝宝睡着了。’白日里,我就抱着毛毛,就在小脸上亲个不停,亲个不停。给毛毛取个奶名,就叫‘亲不过’……”
    “你还讲!你还讲!”
    “怎么?我讲错了?”
    “想毛毛都想癫了!呜呜呜,没良心的,存心来气我,呜呜呜……”玉音哭起来了。

    桂桂是男人家,他哪里晓得,生不下毛毛,女人家总以为是自己的过失。就像鸡婆光啄米不下蛋一样没有尽到职分。“算了,算了,玉音。啊,啊,啊,好玉音,我又没怪你……还哭?哭多了,眼睛会起雾。看看枕头帕子都湿了。”桂桂心里好反悔,把自己的女人惹哭了,有罪。他像哄毛毛一样地哄着、安慰着自己的女人:
    “你就是一世不生育,我都不怪你。我们两双手做,两张口吃,在队上出工,还搞点副业,日子过得比镇上哪户人家都差不到哪里去。就是老了,也是我服侍你,你服侍我。你不信,我就给你赌咒起誓……”

    一听忠厚的男人要起誓,玉音怕不吉利,连忙止住哭泣,坐起身子来捂住了桂桂的嘴巴,轻声骂:“要死了!看我不打你!

    多少吉利的话讲不得?不生毛毛,是我对不起你……就是你不怪罪我,在圩上摆米豆腐摊子,也有人指背脊……”胡玉音自从那年热天经过了和黎满庚的一番波折,当年冬下和黎桂桂成亲后,就一副痴情、痴心,全交给了男人。她觉得自己命大、命独,生怕克了丈夫,因之把桂桂看得比自己还重。

    每逢赶圩的前一晚,因要磨米浆,下芙蓉河挑水烧海锅,熬成米豆腐倒在大瓦缸里,准备第二天一早上市,两口子总是睡得很迟,推石磨就要推四、五个小时。一人站一边,一人出只手,握住磨把转呀,转呀。胡玉音还要均匀准确地一下一下地朝旋转着的磨眼喂石灰水泡发的米粒……两口子脸块对着脸块,眼睛对着眼睛,也常常不约而同地把心里的麻纱事,扯出来消磨时光。这时刻,玉音是不会哭的,而且有点顽皮:
    “哼,依我看,巴不起肚,不生毛毛,也不能全怪女的……”
    “天晓得,我们两个都体子巴壮的,又没得病。”桂桂多少有点男子汉的自尊心,不肯承认自己有责任。
    “听学校的女老师讲,如今医院兴检查,男的女的都可以去化验。”玉音红起脸,看着男人说。
    “怎么检查?不穿一根纱?要去你去!我出不起那个丑!”桂桂的脸比女人的红得更厉害,像圩上卖的秋柿子一样。
    “我不过顺口提一句,又没有讲硬要去,你也莫发脾气。”玉音也收了口。他们都觉得,人是爹娘所生,养儿育女是本能,就是一世不生育,也不能去丢一次人。有时玉音心里也有点野,有点浪,眼睛直盯着自己的男人,有句话,她讲不出:
    “你是要子嗣?还是要我的名声、贞节?或许吊脚楼主王秋赦开的玩笑也是一个法子,请个人试一试……妈呀!坏蹄子,不要脸,都胡乱想了些什么呀?”桂桂这时仿佛也看出了她心里在野什么,就拿冷冷的眼神盯住她:“你敢!你敢?看看我打不打断你的脚杆!”当然这话,他们都是在心里想的,互相在眼神里猜的。山镇上的平头百姓啊,他们的财产不多,把一个人的名声贞节——这点略带封建色彩的精神财富,却看得比自己的性命还要紧。

    日子久了,胡玉音——这个只在解放初进过扫盲识字班的青年妇女,对于自己的不育,悟出了两个深刻的根由:一是自己和男人的命相不符。她十三岁那年,一个身背月琴、手拄黄杨木拐杖的瞎子先生给她算了个“灵八字”,讲她命大,不主子,克夫。必得找着一个属龙或是属虎、以杀生为业的后生配亲,才能家事和睦,延续后人。父母亲为了这个“灵八字”,从十五岁起就替她招郎相亲,整整找了四年。“杀生为业,属龙属虎”总也凑不到一起。另外既是“招郎”,男人的地位在街坊邻里眼中就低了一等,因此也还要人家愿意。后来父母亲总算放宽了尺寸,破除了一半迷信,找到了黎桂桂。杀生为业倒是对上了,是个老屠户的独生子。人长得清秀,力气也有。就是生庚不合,属鼠,最是胆子小,见了女人就脸红。人倒是忠厚实在,划个圈圈都把他圈得住。箩里选瓜,挑来挑去,只有桂桂算是中意的……还有一个根由,就是玉音认定自己成亲时,热闹是热闹,但彩头不好。唉,讲起来这芙蓉镇上百十户人家,哪家娶亲嫁女,都没有她的那份风光、排场。时至今日,青石板街上的姑娘媳妇们,还常常以羡慕的口气,讲起当年的盛况……

    那是一九五六年,州县歌舞团来了一队天仙般的人儿,到这五岭山脉腹地采风,下生活。领队的就是剧团编导秦书田——如今日叫做“秦癫子”的。一个个都是从画里走出来的仙子啊。又习歌,又习舞,把芙蓉镇人都喜饱了,醉倒了。盘古以来没有开过的眼福。原来芙蓉镇一带山区,解放前妇女们中盛行一种风俗歌舞——,一支《解放区的天是明朗的天》。内容上虽然有点牵强附会,但总算是正气压了邪气,光明战胜了黑暗。

    不久,秦书田带着演员们回到城里,把这次进五岭山区采风的收获,编创成一个大型风俗歌舞剧《女歌堂》,在州府调演,到省城演出,获得了成功。秦书田还在省报上发表了推陈出新反封建的文章,二十几岁就出了名,得了奖,可谓少年得志了。可是好景不常,第二年的反右派斗争中,《女歌堂》被打成一支射向新社会的大毒箭,怨封建礼教是假,恨社会主义是真。借社会主义舞台图谋不轨,用心险恶,猖狂已极,反动透顶。紧接着,秦书田就被戴上右派分子帽子,开除公职,解送回原籍交当地群众监督劳动。从此,秦书田就圩圩都在圩场上露个面,有人讲他打草鞋卖,有人讲他捡地下的烟屁股吃。人人都喊他“秦癫子”。

    唉唉,事情虽然没有祸及胡玉音和她男人黎桂桂,但两口子总觉得和自己有些不光彩的联系。新社会了,还有什么封建?还反什么封建?新社会都是反得的?解放都六、七年了,还把新社会和“封建”去胡编乱扯到一起。你看看,就为了反封建,秦书田犯了法,当了五类分子;胡玉音呢,有所牵连,也就跟着背霉,成亲七、八年了都巴不了肚,没有生育。

    六 “秦癫子”

    芙蓉镇国营饮食店后头,公共厕所的木板上出现了一条反动标语。县公安局派来了两个公安员办案,住在王秋赦的吊脚楼里。因王秋赦出身贫苦,政治可靠,又善于跑腿,公安员自然就把他当作办案的依靠对象。至于“反标”写的什么?只有店经理李国香和两个公安员才心里有数,因为不能扩大影响,变成“反宣传”。吊脚楼主王秋赦虽然也晓得个一鳞半爪,但关系到上级领导的重大机密,自是人前人后要遵守公安纪律,守口如瓶的。至于镇上的平头百姓们,就只有惶惑不安、既怀疑人家也被人家怀疑的份。

    李国香和王秋赦向公安员反映,莫看芙蓉镇地方小,人口不多,但圩场集市,水路旱路,过往人等鱼目混珠,龙蛇混杂。就是本镇大队戴了帽、标了号的地、富、反、坏、右分子,也有二十几个;出身成分不纯、社会关系复杂、不戴帽的内专对象及其亲属于女,就更不止这个数。圩镇上的人,哪个不是旧社会吃喝嫖赌、做生意跑码头过来的?有几个老实干净的人?还有就是镇上的国家干部和职工,党团员,也成年累月和这些居民厮混在一起,藤藤蔓蔓,瓜葛亲朋,拜姊妹结老表,认干爹干娘,阶级阵线也早就模糊不清了。

    两个公安员倒是颇为冷静地估计了一下镇上的阶级阵线、敌我状况,没有撤大网。他们依历来办案的惯例,和女经理、王秋赦一起,首先召集了一个“五类分子训话会”。

    镇上的五类分子,历来归本镇大队治保主任监督改造。一九六二年夏天,台湾海峡局势紧张,上级规定大队治保主任由大队党支部书记兼任。黎满庚支书定期召开五类分子训话会。他还在五类分子中指定了一个头目,负责喊人、排队、报数,以毒攻毒。这个五类分子头目就是“秦癫子”。

    秦癫子三十几岁,火烧冬茅心不死,是个坏人里头的乐天派。他出身成分不算差,仗着和黎满庚支书有点转弯拐角的姑舅亲,一从剧团开除回来就要求大队党支部把他头上的右派分子帽子改作坏分子帽子。他坦白交代说,他没有反过党和人民,倒是跟两个女演员谈恋爱,搞过两性关系,反右派斗争中他这条真正的罪行却没有被揭发,所以给他戴个坏分子帽子最合适。黎满庚支书被他请求过几回,心里厌烦:坏分子,右派分子,半斤八两,反正是一箩蛇,还不都一样。就在一个群众会上宣布秦癫子为坏分子。过了不久,黎支书见秦癫子文化高,几个字写得好,颇有组织活动能力,就指定他当了五类分子的小头目。

    秦癫子当上五类分子小头目后,的确给黎满庚支书的“监、管、改”工作带来了许多便利。每逢大队要召集五类分子汇报、训话,只要叫一声:“秦癫子!”秦癫子就会立即响亮答应一声:“有!”并像个学堂里的体育老师那样双臂半屈在腰间摆动着小跑步前来,直跑到党支书面前才脚后跟一并,来一个“立正”姿势,右手巴掌平举齐眉敬一个礼:“报告上级!坏分子秦书田到!”接着低下脑壳,表示老实认罪。黎满庚和大队干部们起初见了他的这套表演颇觉好笑,后来也就习惯了。“秦癫子,竖起你的耳朵听着!晚饭后,全体五类分子到大队部门口集合!”

    “是!上级命令,一定完成!”他立即来一个向后转,又像个体育老师那样小跑步走了。晚上,他准时把五类分子们集合到大队部门口的禾坪上,排好队,点好名,报了数,一律低下脑壳,如同一排弯钩似的,才请大队领导查点、过目。

    在五类分子中间,秦书田还有一套自己的“施政纲领”。他分别在同类们中间说:“虽讲大家都入了另册,当了黄种黑人,但也‘黑’得有深有浅。比方你是老地主,解放前喝血汗,吃剥削,伤天害理,是头等的可恶;比方你是富农,从前自己也劳动,也放高利贷搞剥削,想往地主那一阶梯上爬,买田买土当暴发户,是二等的可恶;再比方你反革命分子又不同,你不光是因财产、因剥削戴的帽子,而是因你的反动思想、反动行为,与人民为敌。所以五类分子中,你是最危险的一类。你再要轻举妄动,先摸摸你颈脖上长了几个脑壳。”

    “你呢?你自己又算个什么货?”有的地、富、反分子不服,回驳他。“我?我当然是坏分子。坏分子么,就比较复杂,有各式各样的。有的是偷摸扒抢,有的是强奸妇女,有的是贪污腐化,有的是流氓拐骗,有的是聚众赌博。但一般来讲,坏分子出身成分还是不坏。在五类分子中,是罪行较轻的一类。嘿嘿,日后,我们这些人进地狱,还分上、中、下十八层呢!”

    他讲得振振有词,好像要强调一下他“坏分子”在同行们中间的优越性似的。但他只字不提“右派分子”,也从没分析过“右派分子反党反社会主义的罪行”,百年之后进地狱又该安置在哪一层。

    秦癫子当过州立中学的音体教员,又任过县歌舞团的编导,因而吹、打、弹、唱四条板凳都坐得下,琴、棋、书、画也拿得起。舞龙耍狮更是把好角。平常日子嘴里总是哼哼唱唱的,还常“宽大大宽扯宽”地念几句锣鼓经。前几年过苦日子,乡下阶级斗争的弦绷得不那样紧,芙蓉镇大队一带的山里人家招郎嫁女,还请他参加鼓乐班子,在酒席上和贫下中农、社员群众平起平坐,吃吃喝喝,吹吹打打地唱花灯戏呢。这叫艺不碍身,使得他和别的五类分子在人们心目中的身价有所不同。还有,就是本镇大队根据上级布置搞各项中心,需要在墙上、路边、岩壁上刷大幅标语,如“大办钢铁,大办粮食”、“反右倾、反保守”、“共产主义是天堂,人民公社是桥梁”、“三面红旗万万岁”等,也大都出自他将功赎罪的手笔。

    去年春上,不晓得他是想要表现自己脱胎换骨的改造决心还是怎么的,他竟发挥他音乐方面的歪才,自己编词、谱曲,自己演唱出一支《五类分子之歌》来:“五类分子不死心,反党反国反人民,公社民兵紧握枪,谁敢捣乱把谁崩!坦白吧,交代吧!老实服法才光明,老实服法才光明!”他对这支既有点进行曲味道、又颇具民歌风的《五类分子之歌》,颇为自负、得意,还竟然要求在大队召集的训话会上教唱。但五类分子们态度顽固,死也不肯开口,加上大队支书黎满庚也笑着制止,才作罢。后来倒是让村镇上的一些小娃娃们学去了,到处传唱开来,算是有了一点社会影响。

    对于秦癫子,本镇大队的干部、社员们有各种各样的看法。有的人把他当本镇的“学问家”,读的书多,见的世面大,古今中外,过去未来,天文地理,诸如鸡生蛋还是蛋生鸡,美国的共产党为什么不上山打游击、工人为什么不起义,地球有不有寿命,月亮上有不有桂花树、广寒宫等等,他都讲得出一些道道来,而且还要捎带上几句马列主义、唯物史观。使得山镇上一些没有文化的人如听天书一般,尊他为“天上的事情晓得一半,地上的事情晓得全”;有的人讲他伪装老实,假积极,其实是红薯坏心不坏皮;有的人讲他鬼不像鬼,人不像人,穷快活,浪开心,活作孽;也有的人讲,莫看他白天笑呵呵,锣鼓点子不离口,山歌小调不断腔,晚上却躲在草屋里哭,三十几岁一条光棍加一顶坏分子帽,哭得好伤心。还有民兵晚上在芙蓉河边站哨,多次见他在崖岸上走过来,走过去,是想投河自尽?又不像是要自尽,大概是在思虑着他的过去和将来的一些事情……

    反正本镇上的人们,包括卖米豆腐的“芙蓉姐子”在内,包括镇粮站主任谷燕山在内,不管对秦癫子有哪样的看法,却都不讨嫌他。逢圩赶集碰了面,他跟人笑笑,打个招呼,人家也跟他笑笑,打个招呼。田边地头,大家也肯和他坐在一起纳凉、歇气,卷“喇叭筒”抽:“癫子老表!唱个曲子听听!…‘癫子,讲个古,刘备孙权、岳飞梁红玉什么的!”“上回那段樊梨花还没有讲完!’,就是一班年轻媳妇、妹子也不怕他,还敢使唤他:”癫子!把那把长梯子背过来,给我爬到瓦背去,晒起这点红薯皮!…‘癫子!快!我娘发蚂蝗痧,刚放了血,你打飞脚到卫生院请个郎中来!’‘至于那班小辈分的娃娃,阶级观念不强,竟有喊他“癫子叔叔”、“癫子伯伯”的。

    秦癫子领着全大队的二十二名五类分子,一个个勾头俯脑地来到镇国营饮食店楼下的一间发着酸咸菜气味的屋子里,捡了砖头、烂瓦片坐下,女经理李国香和“运动根子‘’王秋赦才陪着两个公安员进来。公安员手里拿着一本花名册,喊一个名字,让那被喊的分子站起来亮个相。公安员目光如剑,严威逼人,寒光闪闪,坏人坏事,往往一眼洞穿。当喊到一个历史反革命分子的名字时,一声稚嫩的”有“,来自屋角落。站起来的是个十一、二岁的小娃子。公安员有些奇怪,十一、二岁的小娃子解放以后才出生的,怎么会是历史反革命?秦癫子连忙代为汇报:他爷老倌犯了咳血病,睡在床上哼哼哼,才叫崽娃来代替;上级有什么指示,由他崽娃回去传达。王秋赦朝那小历史反革命啐了一口:”滚到一边去!娘卖乖,五类分子有了接脚的啦!看来阶级斗争还要搞几代!“

    接着,女经理李国香拿着一叠白纸,每个五类分子发一张,叫每人在纸上写一条标语:“大跃进、总路线、人民公社三面红旗万岁!”而且写两次,一次用右手写,一次用左手写。五类分子们大约也有了一点经验,预感到又是镇上什么地方出了“反标”了,叫他们来对笔迹。胆子大的,对公安人员这套老套子,不大在乎,因为不管你做不做坏事,一破什么案子总要从你这类人入手、开刀。胆子小的却吓得战战兢兢,丢魂失魄,就和死了老子老娘一样。

    使公安员和女经理颇为扫兴、失望的是,二十二名五类分子中,竞有十人声称没有文化,不会写字,而且互相作保、证明。王秋赦在旁做了点解释:“镇上凡是有点名望的地主老财解放前夕都逃到香港、台湾去了,剩下的大都是些土狗、泥猪!”只有坏分子秦书田,还多从女经理手里讨了一张纸,右手左手,写出来的字都是又粗又大,端端正正,和印板印出来的一样,把两张纸都写满了。其实公安员完全可以到街墙、石壁上去对他写的那些标语的笔迹。凡是会写字的五类分子都留下了笔迹之后,公安员和女经理分别训了几句要老实守法的话,才把这些入另册的家伙们遣散了。

    秦癫子最可疑。可是公安员找大队干部一了解,又得到的是否定的答复,说“秦癫子几年来老老实实,劳动积极,没有做过什么坏事”。而且笔迹也不对。女经理李国香和吊脚楼主王秋赦又提出“卖米豆腐的胡玉音”出身历史复杂,父亲入过青红帮,母亲当过妓女,本人妖妖调调,拉拢腐蚀干部,行踪可疑。公安员依他们所言,在逢圩那天,特意到米豆腐摊子上去吃了两碗,坐了半天,左看右看,米豆腐姐子无论从哪个侧面看都是一表人才,笑笑微微的,待人热情和气,一口一声:“大哥”、“兄弟”,服务态度比我们多数国营饮食店的服务员不知要好到哪里去了呢。胡玉音又没有什么文化,哪里像个写“眨标”的?人家做点小本生意和气生财,为什么要骂你这个三面红旗?三面红旗底下还允许她摆米豆腐摊子嘛,哪来的刻骨仇恨?

    后来实在没有别的线索,女经理又给公安员出了主意:通过各级党团组织,出政治题目,发动群众写文章谈对三面红旗的认识,让全镇凡是有点文墨的人,都写出一纸手迹来查对。真是用心良苦,兴师动众。结果还是没有查到什么蛛丝马迹。

    镇国营饮食店厕所的一块千刀万剐的杉木板,搅得全镇疑神疑鬼,草木皆兵,人心惶惶。每个人都觉得自己被揭发、被怀疑、被审查。后来公安员把这块臭木板当作罪证实物拿走了,但这一反革命政治悬案却没有了结。这就是说,疑云黑影仍然笼罩在芙蓉镇上空,鬼蜮幽魂仍在青石板街巷深处徘徊。

    案虽然没有破,王秋赦却当上了青石板街的治安协理员,每月由县公安局发给十二元钱的协理费。国营饮食店女经理在本镇居民中的威信,也无形中一下子树立了,并且提高了。这是本镇新出现的一个领袖人物,在和老的领袖人物——粮站主任谷燕山抗衡。从此,女经理喜欢挺起她那已经不太发达的胸脯,仰起她那发黄的隐现着胭脂雀斑的脸盘,在青石板街上走来走去,在每家铺面门口站个一两分钟:“来客了?找王治安员登记一下,写清客人的来镇时间,离镇时间,阶级成分,和你家是什么关系,有没有公社、大队的证明……”
    “你门口这幅对联是哪年哪月贴上去的?‘人民公社’这四个字风吹雨打得不成样子,而且你还在毛主席像下钉了竹钉挂牛蓑衣?”
    “老人家,你看那米豆腐姐子一圩的生意,大约进多少款子,几成利?听讲她男人买砖置瓦寻地皮,准备起新楼屋?”
    “你隔壁的土屋里住着右派分子秦书田吧?你们要经常注意他的活动,有些什么人往来出进……镇里王治安员会专门来向你布置。”
    如此等等。女经理讲这些话时,态度和好,带着一种关照、提醒的善意。但事与愿违,她的这些关照、提醒,给人留下的是一种沉闷的气氛,一种精神上的惶恐。渐渐地,只要她一在街头出现,人们就面面相觑,屏声住息。真是一鸟进山,百鸟无声,连猫狗都朝屋里躲。仿佛她的口袋里操着一本镇上生灵的生死簿。芙蓉镇上一向安分守己、颇讲人情人缘的居民们,开始朦朦胧胧地觉察、体味到:自从国营饮食店来了个女经理,原先本镇群众公认的领袖人物谷燕山已经黯然失色,从此天下就要多事了似的。

    七 “北方大兵”

    粮站主任谷燕山自从披着老羊皮袄,穿着大头鞋,随南下大军来到芙蓉镇,并扎下来做地方工作,已经整整十三年了。就是他的一口北方腔,如今也入乡随俗,改成镇上人人听得懂的本地“官话”了。跟人打招呼,也不喊“老乡”而喊“老表”了。还习惯了吃整碗的五爪辣、羊角辣、朝天辣,吃蛇肉、猫肉、狗肉。他生得武高武大,一脸连鬓胡子,眼睛有点鼓,两颊有横肉,长相有点凶。刚来时,只要他双手一叉,在街当中一站,就吓得娃娃们四下里逃散。甚至嫂子们晚上吓唬娃娃,也是:“莫哭!胡子大兵来捉人了!”其实他为人并不凶,脾气也不恶。镇上的居民们习惯了他后,倒是觉得他“长了副凶神相,有一颗菩萨心”。

    解放初,他结过一次婚。白胖富态、脑后梳着黑油油独根辫子的媳妇也是北方下来的。但没出半个月,媳妇就嘴嘟嘟、泪含含地走了,再也不肯回来。也没听他两口子吵过架,真是蚊子都没有嗡过一声。这使老谷多丢脸,多难堪啊。他不责怪那媳妇,原因在自己。他觉得自己像犯有哄骗妇女罪似的,在芙蓉镇上有好几个月不敢抬头见人。当时镇上的人不知底细,以为他是丢失了某种至关紧要、非找回来不可的证件呢。还是在北方打游击、钻地道时,他大腿上挂过一次花,染下一种可厌的病。娘儿们得了这类性质相同的病,有人医,有药治。可是男子汉得了这类病,提都很少有人敢提,一提起来也会引起哄堂大笑,给人逗趣取乐儿呢。何况那时枪子儿常在耳边呼啸,手榴弹常在身边爆炸,埋你一身土,呛你满嘴泥,半夜醒来还要摸摸是否四肢俱在。正是提着脑袋打江山、夺天下,拖几年再说吧。谁还不是带着某种伤疤和隐痛在干革命?有的战斗英雄身上留着枪子儿、弹片头都没顾上取出来呢。原想着,只要能活下来迎接胜利,过上太平日子,病就不难治,问题就不难解决。连指导员是个个头粗、心眼细的人,(唉唉,战争年代的指导员啊,是战士的兄长,甚至像战士的母亲啊!)终于在行军路上发现了这个年近二十的老排长的痛苦。当南下路过芙蓉镇时,就把他留在这山青水秀的地方,转了地方工作。但他还是羞于去寻医看病,却是偷偷地吃了十来服草药,也不见效用。这位参加推翻了封建主义大山的战士,脑壳里却潜伏着封建意识。科学要在大白天里把人的身子剥得一丝不挂,由着那些穿着白大褂、戴着大口罩的男男女女来左观右看,捏捏摸摸,比比划划,就像围观着一匹公马。他是怎么也接受不了这种“奇耻大辱”。后来他听人讲,男子汉娶了媳妇,某些病就自自然然会好起来的。他权衡了很久,才打定主意,不娶本地女人,讨个老家娘儿们,一旦不合适,好留个退步,起码不在本地方造成不良影响……后来事情的发展,证明他是办了一件稳妥事,又是一件负心事。因为他拒科学于门外,科学也就没有对他表示出应有的友善。他一直给那女人寄生活费,赎回良心上的罪责。

    对于这件事,本镇街坊们纳闷了多半年,才悟出了一点原由:大约老谷主任身上有那种再贤淑的女人都不能容忍、又不便声张的病。后来有些心肠虽好但不通窍的傻娘们,还给他当过几回介绍,都被他一口一个地回绝了。渐渐地一镇上的成年人都达成了默契,不再给他做媒提亲。因而上两月国营饮食店的女经理向他频送秋波、初试风骚也碰了壁。当然没有人把底细去向女经理学舌。

    话又讲回来,老谷这人虽然不行“子路”(没有后代),却有人缘。如今芙蓉镇上那些半大的男伢妹娃,多半都认了他做“亲爷”。他也特喜欢这些娃儿。因之他屋里常有妹娃嬉戏,床上常有男伢打滚。什么小人书、棒棒糖、汽车、飞机、坦克、大炮,摆了一桌,摊了一地。他还代有的娃娃交书籍课本费,买铅笔、米突尺什么的。据镇上的几位民间经济学家心算口算,他大约每月都把薪水的百分之十几花在这些“义崽义女”身上了镇上的青年人娶亲或是出嫁,也总要请他坐席,讲几句有分量又得体的话。他也乐于送一份不厚不薄的贺礼。镇上有的人家甚至家里来了上年纪、有身分的客人,办了有鳞有爪的酒菜,也习惯于请他作陪,并介绍:“这是镇上谷主任,南下的老革命……”好像以此可以光耀门庭。随着岁月的增长,老谷的存在对本镇人的生活,起着一种安定、和谐的作用。有时镇上的街坊邻里,不免要为些鸡鸭猫狗的事闹矛盾,挂在人们口边的一句话也是:“走走!去找老谷,喊他评评理,我怕他不骂你个狗血喷头才怪呢!”“老谷是你一家人的老谷?是全镇人的老谷!只要他断了我不是,我服!”而鼓眼睛、连鬓胡、样子颇凶的老谷,则总是乐于给街坊们评理、断案,当骂的骂,当劝的劝。他的原则是大事化小,小事化了,不使矛盾激化,事态闹大。若涉及到经济钱财的事,还根据情况私下贴腰包。所以往往吵架的双方都同时来赔礼道乏,感激他。他若是偶尔到县里去办事或开会,几天不回,天黑时,青石板街的街头巷尾,端着饭碗的人们就会互相打听:“看见老谷了么?”“几天了,还不回?”“莫非池要高升了,调走了?”“那我们全镇的人给县政府上名帖。给他个官,在我们镇上就做不得?”
    至于老谷为什么要主动向“芙蓉姐子”提出每圩批给米豆腐摊子六十斤碎米谷头子,至今是个谜。这事后来给他造成了很大的不幸,而他从没认错、翻悔。“芙蓉姐子”后来成了富农寡婆,他对她的看法也没有改变,十几二十年如一日。这是后话。

    县商业局给芙蓉镇圩场管理委员会下达了一个盖有鲜红大印的打字公文:
    查你镇近几年来,小摊小贩乘国家经济困难时机,大搞投机贩卖,从中牟利。更有不少社员弃农经商,以国家一、二类统购统销物资做原料,擅自出售各种生熟食品,扰乱市场,破坏人民公社集体经济。希你镇圩场管理委员会,即日起对小摊贩进行一次认真清理。非法经商者,一律予以取缔。并将清理结果,呈报县局。
    一九六三年×月×日

    公文的下半截,还附有县委财贸办的批示:“同意。”还有县委财贸书记杨民高的批示:“芙蓉镇的问题值得注意。”可见这公文是有来头的了。

    公文首先被送到粮站主任谷燕山手里。因当时芙蓉镇还没有专职的圩场管理委员会,所以委员们大都为兼职,在集市上起个平衡、调节作用,处理有关纠纷,也兼管发放摊贩的《临时营业许可证》。谷燕山是主任委员。他主持召集了一次委员会议,参加的有镇税务所所长,供销社主任,信用社主任,本镇大队党支书黎满庚。税务所所长提出:国营饮食店女经理近来对圩场管理、街道治安事务都很热心,是不是请她参加一下。谷主任委员说:人多打烂船,饮食店归供销社管辖,供销社主任来了,就没有必要劳驾她了。

    谷燕山首先把公文念了一遍。镇上的头头们就议论、猜测开了:
    “不消讲,是本镇有人告了状了!”
    “国以民为本,民以食为天,总要给小摊贩一碗饭吃嘛!”
    “有的人自己拿了国家薪水,吃了国家粮,还管百姓有不有油盐柴米、肚饱肚饥哩!”
    “上回出了条‘反标’,搞得鸡犬不宁。这回又下来一道公文,麻纱越扯越不清了!”
    只有大队支书黎满庚没有做声,觉得事情都和那位饮食店的女经理有关。上回女经理和胡玉音斗嘴,是他亲眼所见。前些时他又了解到,原来这女经理就是当年区委书记杨民高那风流爱俏的外甥女。但这女工作同志老多了,脸色发黄,皮子打皱,眼睛有些发泡,比原先差远了,难怪见了几面都没有认出。听讲还没有成家,还当老姑娘,大约把全部精力、心思都投到革命事业上了。前些天,女经理、王秋赦还陪着两个公安员召集本镇大队的五类分子训话,对笔迹。可见人家不单单是个饮食店的萝卜头。事后公安员安排吊脚楼主王秋赦当青石板街的治安员,都没有征求过大队党支部的意见。这回县商业局又下来公文……事情有些蹊跷啊!至于女经理通过这纸公文,还要做出些旁的什么学问来,他没有去细想。都是就事论事地看问题,委员们也没有去做过多的分析。

    委员们商议的结果,根据中央、省、地有关开放农村集市贸易的政策精神,觉得小摊小贩不宜一律禁止、取缔,应该允许其合法存在。于是决议:由税务所具体负责,对全镇大队小摊贩进行一次重新登记,并发放临时营业许可证。然后将公文的执行情况,政策依据,写成一份报告,上报县商业局,并转呈县委财贸办、县委财贸书记杨民高。

    税务所长笑问黎满庚:“卖米豆腐的‘芙蓉姐子’是你干妹子,你们大队同不同意她继续摆摊营业?”

    黎满庚递给税务所长一支“喇叭筒”:“公事公办,不论什么‘干’湿’。玉音每圩都到税务所上了税吧?她也向生产队交了误工投资。她两口子平日在生产队出集体工也蛮积极。我们大队认为她经营的是一种家庭副业,符合党的政策,可以发给她营业证。”

    老谷主任朝黎满庚点了点头,仿佛在赞赏着大队支书通达散会时,老谷主任和满庚支书面对面地站了一会儿。两人都有点心事似的。

    “老表,你闻出点什么腥气来了么?”老谷性情宽和,思想却还敏锐。
    “谷主任,胡蜂撞进了蜜蜂窝,日子不得安生了!”满庚哥打了个比方说。
    “唉,只要不生出别的事来就好……”老谷叹了口气,“常常是一粒老鼠屎,打坏一锅汤。”
    “你是一镇的人望,搭帮你,镇上的事务才撑得起。要不然,吃亏的是我干妹子玉音他们……”
    “是啊,你干妹子是个弱门弱户。有我们这些人在,就要护着他们过安生日子……我明后天进城去,找几位老战友,想想法子,把母胡蜂请走……”
    彼此落了心,两人分了手。

    这年秋末,芙蓉镇国营饮食店的女经理调走了,回县商业局当科长去了。镇上的居民都松了一口气,好像拨开了悬在他们头顶上的一块铅灰色的阴云。
    但山镇上的人们哪能晓得,就在一个他们安然熟睡、满街鼾声的秋夜里,一份由县公安局转呈上来的手写体报告,摆在县委书记杨民高的办公桌上。办公室里没有开灯,只亮着办公桌上的一盏台灯。台灯在玻璃板上投下一个圆圆的光圈。杨民高书记靠坐在台灯光圈外的藤围椅里,脸孔有些模糊不清。他对着报告沉思良久,不觉地转动着手里的铅笔,在一张暗线公函纸上画出了一幅“小集团”草图。当他的力举干钧的笔落到“北方大兵”谷燕山这个名字上时,他写上去,又打一个“?”然后又涂掉。他在犹豫、斟酌。“小集团”草图是这样的:
    米豆腐西施

    (父为青红帮,母为妓女,新生资产阶级)?奸黎满庚
    (大队支书,严重丧失阶级立场) 谷燕山
    (粮站主任,腐化堕落???)秦书田
    (反动右派) 税务所长
    (阶级异己分子)

    画毕,杨民高书记双手拿起欣赏了一会儿,就把这草图揉成一团,扔进办公桌旁的字纸篓里。想了想,又不放心似的,将纸团从字纸篓里捡出、展开,擦了根火柴,烧了。(文中“小集团草图”乃用线条标注的一个“图”)

    台灯光圈下,他像日理万机、心疲力竭的人们那样,眼皮有些浮肿,一脸的倦容。他大约批示过县公安局的这份材料,就可以到阳台上去活动活动一下身骨,转动几下发酸发硬的颈脖,擦把脸,烫个脚,去短暂地睡三、五个钟头了。他终于拉过一本公函纸,握起笔。这笔很沉,关系到不少人的身家性命啊。他字斟句酌地批示道:
    芙蓉镇三省交界,地处偏远,情况复杂,历来为我县政治工作死角。“小集团”一说,不宜草率肯定,亦不应轻易否定、掉以轻心。有关部门应予密切注意,发现新情况,立即报告县委不误。

    第二章 山镇人啊(一九六四年)

    一 第四建筑

    转眼就是一九六四年的春天。这年的春天,多风多雨,寒潮频袭,是个霉种烂秧的季节。芙蓉河岸上,仅存的一棵老芙蓉树这时开了花,而街口那棵连年繁花满枝的皂角树却赶上了公年,一朵花都不出。镇上一时议论纷纷,不晓得是主凶主吉。据老辈人讲,芙蓉树春日开花这等异事,他们经见过三次:头次是宣统二年发瘟疫,镇上人丁死亡过半,主凶;二次是民国二十二年发大水,镇上水汪汪,变成养鱼塘,整整半个月才退水,主灾;三次是一九四九年解放大军南下,清匪反霸,穷人翻身,主吉。至于皂角树不开花,不结扁长豆英,老辈人也有讲法,说是主污浊,世事流年不利。至于今年芙蓉树春日开花和皂角树逢公年两件异事碰在一起,火相克,或许大吉大利,或许镇上人家会有不测祸福等等。一时镇上人心惶惶,猫狗不安。可是毕竟解放都十三、四年了,圩场上连个测字先生也不易找见,因之有些人便去找“天上的事情晓得一半,地上的事情晓得全”的五类分子秦书田求教。秦书田这家伙却假装积极,好像比一般社员群众觉悟还高、思想还进步似的,竞唱开了高调,说以上言论都是不读书,不懂生物学、生态学为何物造成的,硬把世事变迁、自然灾害和草木花卉的变异现象扯在一起,做出了种种迷信解释,等等。

    最后还引用了革命导师关于“在一个文盲充塞的国度里是不可能建设共产主义”的教导,来说服大家,来上政治课,妄图以此来抬高身价,显示他有文化知识的优越性,贬低社员群众的思想觉悟呢。

    然而自然界的某些变异现象,却往往不迟不早地和社会生活里的某些重大事件巧合在一起。二月下旬,县委社教工作组进驻了芙蓉镇。组长就是原先国营饮食店的女经理。李国香这回来,衣着朴素,面色沉静,好些日子都不大露面,住在镇上的一户“现贫农”家——王秋赦的吊脚楼上,学当年土改工作队搞“扎根串连”。山镇上的居民对上级派来的工作同志向来十分敬重。对于政治,对于形势,却表现出一种耳目闭塞的顽愚。死水一般平静的生活,旧有的风俗人情,就像一剂效用长久的蒙汗药,使他们麻木、迟钝。就连谷燕山、黎满庚这些见过世面的头面人物,也以为生活的牛车轮子还会吱吱嘎嘎、不紧不慢地照常转动。对于李国香的重新出现,他们虽然心里也掠过了几丝阴云,但没有十分介意。她在客位,自己在主位。神仙下来问土地公。他们就是这镇上的土地公。不管哪个仙姑奶奶、官家脑壳来,外礼外法的事,大约是难以办起来的。加上这段时间,谷燕山为着粮站发放一批早稻优良品种,黎满庚为着大队的春耕生产,忙还忙不赢呢。

    工作组住进王秋赦的吊脚楼这件大事,暂时还没有成为本镇的重要新闻。本镇居民的注意力都被另一件事情吸引去了:摆米豆腐摊的胡玉音夫妇即将落成新楼屋了。新楼屋涣散了人心,干扰了运动。胡玉音两口子却为了这新楼屋请人描图、备料,请木匠泥匠,忙了一冬一春,都瘦掉了一身肉。逢圩赶场的人却讲,“芙蓉姐子”人瘦点,倒越发显得水灵鲜嫩了。她的老胡记客栈已经十分破旧,打算盖起新屋后拆除。新楼屋就盖在老胡记客栈的隔壁,屋基就是买得吊脚楼主王秋赦的。据说王秋赦花掉两百块钱地皮款后又有些翻悔:卖贱了,黎桂桂夫妇起码占了他一百块钱的便宜。就算他赊吃了两年多的米豆腐,但一百块钱就是一千碗呀!天啊,一千碗!他王秋赦就是牛肠马肚也装不下这许多呀。可见生意人是放长线钓大鱼,打的是铁算盘……可如今,管你翻悔不翻悔,人家新楼屋已经盖起了,一色的青砖青瓦,雪白的灰浆粉壁。临街正墙砌成个洋式牌楼,水泥涂抹,划成一格格长方形块块,给人一种庄重的整体感。楼上开着两扇门窗两用玻璃窗,两门窗之间是一道长廊阳台,砌着菱花图案。楼下是青石阶沿,红漆大门。一把会旋转的“牛眼睛”铜锁嵌进门板里。这座建筑物,真可谓土洋并举、中西合璧了。在芙蓉镇青石板街上,它和街头、街中、街尾的百货商店、南货店、饮食店互相媲美,巍然耸立于它古老、破旧的邻居们之上,可以称为本镇的第四大建筑,而且是属于私人所有!脚手架还没有完全拆除,本镇居民们就天天在围观、评价、感叹了。社教工作组组长李国香同志也杂在人群中来观看过几回,并在小本本里记下了几条“群众反映”:
    “攒钱好比针挑土,想不到卖米豆腐得厚利,盖起大屋来!”
    “比解放前的茂源商号还气派,比海通盐行还排场!”
    “人无横财不富,马无夜草不肥……没个三千两千的,这楼屋怕拿不下。”
    “黎桂桂这屠户杀生出身,入赘在胡氏家,不晓得哪世人积下的德!”
    “胡玉音真是本镇女子的头块牌,不声不气,票子没有存进银行,不晓得是夹在哪块老砖缝缝里……”

    新屋落成,破旧的老客栈还没拆除,就碰上芙蓉河岸老芙蓉树春日里开花的异事,胡玉音决定办十来桌酒席冲一冲。也是对街坊父老、泥木师傅的一种酬谢。她先去请教了义兄满庚哥。大队支书既没有点头,也没有摇头。胡玉音懂得这在头头们来说叫做“默认”。接着,她挨家挨户,从老谷主任、税务所长到供销社主任、信用社会计,百货、南货、饮食各单位头头,一些相好的街坊邻里,都请到了。大都满口应承,也有少数托词回避的。她还特意去请了请那位跟她面目不善的社教工作组组长李国香以及两位组员。李国香倒是客客气气的,开口就是“好的,好的”,说工作组新来,运动还没有展开,吃喜酒不好去,怕违犯社教工作队员的纪律,倒是日后一定到新楼屋去看看,坐坐,扯扯家闲。李国香这回确是身分不同,待人接物,讲话办事的水平也不同。胡玉音见她和和气气,心里自是宽慰感激。

    三月初一,天一放亮,新楼屋门口就响起了噼噼啪啪的鞭炮声,有五百响的,有一千响、两千响的,把芙蓉镇吵醒了。红漆大门洞开,贴着一副惹眼醒目的红纸金字对联。上联:勤劳夫妻发社会主义红财。下联:山镇人家添人民公社风光。横联:安居乐业。不用说,这副对联是出自秦书田的手笔。

    整整一上午,亲戚朋友,街坊邻里,同行小贩,来“恭喜贺喜”的,送镜框匾额、送“红包”、打鞭炮的络绎不绝。新楼屋门口的青石板上,红红绿绿的鞭炮纸屑天女散花似地撒了一层。通街都飘着一股喜庆的硝烟味、酒肉香。中午一时,人客到齐,新楼旧铺,摆下了十多桌酒席,济济两堂,热闹非凡。老谷主任、满庚支书、税务所长、供销社主任等镇上的头面人物,坐了首席。

    开席前,满面红光却又是一脸倦容的胡玉音拉着满庚哥说:“我是滴酒不沾的,桂桂又是个见不得场合、出不得众的人,你有海量,就给妹子做个主,劝谷主任他们多吃几杯。一生一世,也难得这么热闹两回……”“放心,放心,这回,我头一个就替你把‘北方大兵’灌醉!”“秦癫子也来帮过忙,他成分高,我打算另外谢他一下。”胡玉音周到地说。“对,对,秦癫子要入另册。”“另外,满庚哥,住进新楼屋后,拆了老屋,我和桂桂想收养一个崽娃,到时候请大队上做个主……”“哎呀,妹子,你今日是喜饱了?你还有没有个完?席上正等着我哪……

    是的,胡玉音没吃没喝,听着乡邻们的恭贺声,看着张张笑脸,就喜饱了,醉倒了。

    “北方大兵”谷燕山今日兴致特别高,第一轮酒喝下肚,在大队党支部书记黎满庚的催促下,他端着酒杯站起,来了段即兴祝辞。他讲的是一口纯正的北方话,没有杂一点本地土腔。在一切正规、严肃的场合,他都坚持讲一口北方话,好像用以显示其内容的重要性。

    “同志们!今天,咱都和主人一样高兴,来庆祝这幢新楼房的落成!一对普通的劳动夫妻,靠了自己的双手,积蓄下款子,能盖这么一幢新楼房,说明了什么问题呢?劳动可以致富,可以改善生活。咱不要苦日子,咱要过幸福生活。这就是社会主义制度的优越性,咱共产党领导的英明!这是今天大家端着酒杯,吃着鸡鸭鱼肉,应当想到的第一点。第二一点,大家都是在一个镇子上住着,对这幢新楼房和它的主人,咱应当抱什么态度呢?是羡慕,还是嫉妒?是想向他们看齐,还是站在一旁风言风语?我觉得应当向他们看齐,应当向这对勤劳夫妇学习。当然不是叫咱人人都去摆摊子卖米豆腐。发展集体生产和家庭副业,门路多得很!第三一点,咱不是经常讲要建成社会主义、进入共产主义吗?我想共产主义社会嘛,坐着是等不来的,伸着手也没有人给。前几年吃公共食堂大锅饭,也没有吃得成……我想共产主义嘛,在咱芙蓉镇,是不是可以先来一点具体的标准,每户人家除了吃好穿好外,都盖这么一幢新楼房,而且比这幢楼房还要盖得好,盖得高,盖得有气派!把咱镇上的草顶土砖房,杉皮木板房,歪歪斜斜的吊脚楼,门板都发黑、发霉了的老铺子,逐步换成楼上楼下,电灯电话!那一来,咱芙蓉镇的青石板街的两旁,就新楼房一幢挤着一幢,就和大城市里的一条整齐漂亮的街道一样……”

    因为不是在会场上,大家对于“北方大兵”的这席祝酒词,不是报以热烈的掌声,而是报以笑声、叫好声,杯盏相碰的叮当声。当然,也有少数人在心里嘀咕,这个老谷,两杯酒落肚,就讲开了酒话?家家住新屋,过好日子,就是共产主义?可如今上头来的风声很紧,好像阶级和阶级斗争,才是革命的根本,才是通向共产主义的路径。

    接着下来,镇税务所长也举起酒杯讲了几句话。当他提议祝新楼屋的主人早生贵子、人丁兴旺时,获得了满堂的喝彩、叫好。

    酒,是家做的杂粮烧酒,好进口,有后劲。菜是鸡、鸭、鱼、肉十大碗。老谷和黎满庚两人来了豪兴,开怀畅饮。

    也有细心的人冷眼旁观看出来,吊脚楼主王秋赦,破天荒头一回没有加入这场合,来跑堂帮忙,一享口福。真有点使人觉得反常。是王秋赦心疼自己“贱价”卖掉的地皮,不愿看到人家在那块本来是属于他的胜利果实上盖起了新楼屋?还是社教工作组住进了他的吊脚楼,如今他又成了红人,当了“根子”,协助工作组忙运动,抓中心,实在抽不开身?还有一种令人担忧的猜测,就是或许他已经听到了什么消息,摸着了什么风头,提高了觉悟,有了警惕性。

    二 吊脚楼啊

    吊脚楼原是富裕殷实的山里人家的住所,全木结构,在建筑上颇有讲究。或依山,或傍水,或绿树掩映,或临崖崛起,多筑在风景秀丽处。它四柱落地,横梁对穿,圆筒杉木竖墙,杉木条子铺楼板,杉皮盖顶。一般为上下两层,也有沿坡而筑,高达四层的:第一层养猪圈牛。第二层为库房,存放米谷、杂物、农具。第三层为火塘,全家饮食起居、接待客人、对歌讲古的场所。第四层方为通铺睡房。在火塘一层,有长廊突出,底下没有廊柱,用以日看风云,夜观星象,称为“吊脚”。初到山区的人,见吊脚楼衬以芭蕉果木,清溪山石,那尖尖的杉木皮顶,那四柱拔起的黄褐色形影,有的屋顶和木墙上还爬着青藤,点缀着朵朵喇叭花,倒会觉得是个神秘新奇的去处呢。

    王秋赦土地改革时分得的这栋胜利果实——临街吊脚楼,原是一个山霸逢圩赶场的临时住所。楼前原先有两行矮冬青,如今成了两丛一人多高的刺蓬;楼后原先栽着几棵肥大的芭蕉,还有两株广桔。如今芭蕉半枯半死,广桔树则生了粉虫。楼分上下二层。下一层原先为火塘、佣人住房。上一层方为山霸的吃喝玩乐处。整层楼面又分两半,临街一半为客厅,背街一半则分隔成三间卧室。如今王秋赦只在底下一层吃住,故楼上一层经常空着,留把上级下来的男女工作同志借宿。早先楼上的金红镂花高柱床没有变卖时,王秋赦也曾在楼上住过两三年,睡在镂花高柱床上做过许多春梦。唉唉,那时他就像中了魔、入了邪似的,在脑子里想像出原先山霸身子歪在竹凉床上,如何搂着卖唱的女人喝酒、听曲、笑闹的光景。有时就是闭着眼睛躺在被褥上,脑子里浮现的也是些不三不四的思念:娘卖乖,就是这张床,这套铺盖,山霸玩过多少女人?年少的,中年的,胖的,瘦的……山霸后来得了梅毒,死得很苦、很惨。活该!娘卖乖!可是,他总是觉得床上存有脂粉气,枕边留有口角香。

    牡丹花不死,做鬼也风流!他慢慢地生出一些下作的行径来。在那些天气晴和、月色如水的春夜、夏夜、秋夜,竟不能自禁,从床上蹦跳到客厅楼板上,模仿起老山霸当日玩乐的情景,他也歪在竹凉床上,抱着个枕头当姘头:“乖乖,唱支曲儿给爷听!听哪支?还消问?你是爷的心肝儿,爷是你的摇钱树……”他搂着枕头有问有答。从前有身分的乡绅总以哼几句京戏为时髦,他不会唱京戏,只好唱出几句老花灯来:“哎呀依子哥喂,哎呀依子妹,哥呀舔住了妹的舌,妹呀咬住了哥的嘴……”有时他还会打了赤脚,满客厅、卧室里追逐。追逐什么?只有他自己心里有数。他追的是一个幻影。时而绕过屋柱,时而跳过条凳,时而钻过桌底,嘴里骂着:“小蹄子!小妖精!看你哪里跑,看你哪里躲!嘻嘻嘻,哈哈哈,你这个小妖精,你这个坏蹄子……”他一直追逐到精疲力竭,最后气喘吁吁地扑倒在镂花高柱床上,一动不动地像条死蛇。但他毕竟是扑了一场空,觉得伤心、委屈,流出了眼泪:“从前山霸有吃有喝有女人……如今轮着爷们……却只做得梦……”

    有段时间,街坊邻居听见吊脚楼上乒乒乓乓,还夹杂着嬉笑声、叫骂声,就以为楼上出了狐狸精了,王秋赦这不学好、不走正路的人是中了邪,被精怪迷住了。原先有几位替王秋赦提亲做媒、巴望他成家立业、过正经日子的老婶子们,都不敢再当这媒人了。而一班小媳妇、大妹娃们,则大白天经过吊脚楼前,也要低下脑壳加快脚步,免得沾上了“妖气”。后来就连王秋赦本人,也自欺欺人,讲他确实在楼上遇到了几次狐狸精,那份标致,那份妖媚,除了镇上卖米豆腐的胡玉音,再没一个娘们能相比。从此,王秋赦也不上楼去睡了。他倒不是怕什么狐狸精,而是怕弄假成真得“色癫”,发神经病。不久,镇上倒是传出了一些风言风语,说是吊脚楼主没有遇上什么精怪,倒是迷上了卖米豆腐的“芙蓉姐子”,连着几次去钻老胡记客栈的门洞,都挨胡玉音的耳刮子,后来还是黎桂桂亮出了杀猪刀,他才死了心。但胡玉音夫妇都是镇上的正派人,苦吃勤做,老实本分。因之这些街言巷语,都不足凭信。

    屋靠保养楼靠修。李国香带着三个工作队员住进来时,吊脚楼已经很不成样子了。整座木楼都倾斜了,靠了三根粗大的斜桩支撑着。每根斜桩的顶端撑着木墙的地方,都用铁丝吊着块百十斤重的大青石。要是在月黑星暗的晚上,猛然间抬头看去,就像吊着三具死尸,叫人毛骨悚然。吊脚楼的屋脚,露出泥土的木头早就沤得发黑了,长了凤尾草,生了虫蚁。凤尾草倒是不错,团团围围就像给木楼镶了一圈绿色花边一样。还有楼后的杂草藤蔓,长得蓬蓬勃勃,早就探着楼上的窗口了。

    歪斜的楼屋,荒芜的院子,使李国香组长深有感触,感到自己的责任重大啊,解放都十四、五年了,王秋赦这样的“土改根子”还在过着穷苦日子,并没有彻底翻身。这是什么问题?三年苦日子,城乡资本主义势力乘机抬了头啊。不搞运动,不抓阶级斗争,农村必然两极分化,还是富的富,穷的穷,国变色,党变修,革命成果断送,资本主义复辟,地主资产阶级上台,又要重新进山打游击,搞农村包围城市……当李国香在楼下火塘里看到王秋赦的烂锅烂灶缺口碗,都红了眼眶掉了泪!多么深厚的阶级情感。女组长和两个工作组员做好人好事,每人捐了两块钱人民币,买回一口亮堂堂的钢精锅、一把塑料筷子、十个饭钵。工作组还身体力行出义务工,组长组员齐动手,把吊脚楼后藏蛇窝鼠的藤蔓刺蓬来了次大铲除,拯救了半死不活的芭蕉丛、柚子树,改善了环境卫生。李国香手掌上打起了血泡,手臂上划了些红道道。临街吊脚楼却是面貌一新,楼口贴了副红纸对联:千万不忘阶级斗争,永远批判资本主义。

    为了在镇上把“根子”扎正扎稳,工作组没有急于开大会,刷标语,搞动员,追求表面的轰轰烈烈。而是注重搞串连,摸情况,先分左、中、右,对全镇干部、居民“政治排队”,确定运动依靠谁,团结谁,教育争取谁,孤立打击谁。一天,李国香派两个工作组员分头深入镇上的几户“现贫农”家“串连”去了,她则留在吊脚楼里,对王秋赦进行重点培养,亲自念文件给“根子”听。她自去年和王秋赦有过几次交往后,对吊脚楼主印象不坏,觉得可塑性很大:首先是苦大仇深,立场坚定,对上级指示从无二话;再就是此人长相也不差,不高不矮,身子壮实,笑笑眯眯,和蔼可亲;更重要的是王秋赦思想灵活,反应快,嘴勤脚健,能说会道,有一定的组织活动能力。所谓“人不可貌相”,眼下王秋赦不过穿着破一点,饮食粗一点,要是给他换上一身干部制服,衬个白领子,穿双黄解放鞋,论起气度块头来,就不会比县里的哪个科局级干部差了去。她初步打算把王秋赦树成一个社教运动提高觉悟的“典型”,先进标兵,从而使自己抓的这个镇子的运动,也可以成为全县的一面红旗……

    李国香嘴里念着文件,心里想着这些,不时以居高临下的眼光看王秋赦一眼。王秋赦当然体察不到工作组女组长的这份苦心。当女组长念到“清阶级、清成分、清经济”的条款时,他心里一动,眼睛放亮,喉咙痒痒的,忍不住问:“李组长,这次的运动,是不是像土地改革时那样……或者叫做第二次土改?”
    “第二次土地改革?对对,这次运动,就是要像土改时那样扎根串连,依靠贫雇农,打击地富反坏右,打击新生的资产阶级分子!”
    李国香耐心地给“根子”解答,流畅地背着政策条文。
    “李组长,这回的运动要不要重新划分阶级成分?”
    “情况复杂,土地改革搞得不彻底的地方,就要重新建立阶级队伍,组织阶级阵线。老王,你听了文件,倒动了点脑筋,不错,不错。”
    “我还有个事不懂,清经济这一条,是不是要清各家各户的财产?”
    王秋赦睁大了眼睛,一眨不眨地瞪着女组长。他差点就要问出“还分不分浮财”这话来。女组长被这个三十几岁的单身汉盯得脸上有点发臊,就移开了自己的视线,继续讲解着政策界限:“要清理生产队近几年来的工分、账目、物资分配,要清理基层干部的贪污挪用,多吃多占,还要清查弃农经商、投机倒把分子的浮财,举办阶级斗争展览,政治账、经济账一起算。”
    “好好!这个运动我拥护!哪怕提起脑壳走夜路,我都去!”

    王秋赦呼的一下站了起来,兴奋得心都在怦怦跳。娘卖乖!哈哈,早些年曾经想过、盼过,后来自己都不相信会再来的事,如今说来就来!乖乖,第二次土改,第二次划成分,第二次分浮财……看看吧!王秋赦有先见之明吧?你们这些蠢东西,土改时分得了好田好土,耕牛农具,就只想着苦吃勤做,只想着起楼屋,置家产,发家致富……哈哈,王秋赦却是比你们看得远,仍是烂锅烂灶烂碗,当着“现贫农”,来“革”你们的“命”,“斗”你们的“争”!他一时浑身热乎乎、劲鼓鼓的,情不自禁一把抓住了女组长的双手臂:“李组长!我这百多斤身坯,交给工作组了!工作组就是我亲爷娘,我听工作组调遣、指挥!”

    李国香抽回了自己的双手,竞也有点儿心猿意马。没的恶心!她严肃地对“根子”说:“坐下来!不像话,这么没上没下、没大没小的,动手动脚,可要注意影响,啊?”

    王秋赦红了红脸,顺从地坐了下来。他搓着刚才曾经捏过女组长手臂的一双巴掌,觉得有些儿滑腻腻的:“我该死!只顾着拥护上级文件,拥护上级政策,就、就忘记了李组长是个女的……”

    “少废话,还是讲正事吧。”李国香倒是有海量,没大介意地笑了笑,掠了掠额上的一缕乱发,没再责备他。“你本乡本土的,讲讲看,镇上这些人家,哪些是近些年来生活特殊的暴发户?”

    “先讲干部?还是讲一般住户?镇上的干部嘛……有一个人像那河边的大树,荫庇着不少资本主义的浮头鱼,他每圩卖给胡玉音六十斤米头子做米豆腐卖,赚大钱起新楼屋。只是人家资格老,根底厚,威望高。就是工作组想动他一动,怕也是不容易。”
    “他?哼哼,如果真有问题嘛,我们工作组这回可要摸摸老虎屁股喽!还有呢?”
    “还有就是税务所长。听讲他是官僚地主出身,对贫下中农有仇恨,他多次讲我是‘二流子’‘流氓无产者’……”
    “嗯嗯,诬蔑贫农,就是诬蔑革命。还有呢?”

    “还有就是大队支书黎满庚。他立场不稳,重用坏分子秦书田写这刷那,当五类分子小头目。还认了卖米豆腐的胡玉音做干妹子,又和粮站主任、供销社主任勾通一气……芙蓉镇就是他们几个人的天下……”

    王秋赦讲的倒是真话。镇上这几个头头平日老是讲他游手好闲啊,好吃懒做啊,怕下苦力啊。黎满庚最可恶,克扣过他的救济粮和救济衣服,全无一点阶级感情!哼哼,这种人在本镇大队掌印当政,他王秋赦怎么彻底翻得了身?这回政府算开了恩,体察下情,派下了工作组,替现时最穷最苦的人讲话,革那些现时有钱有势人的命!

    李国香边问边记,把镇上十几个干部的情况都大致上摸了个底。王秋赦真是本活谱子呀,这家伙晓得的事多,记性又好,谁跟谁有什么亲戚,什么瓜葛,什么口角不和,什么明仇暗恨,甚至谁爬过谁的阁楼,谁摸过谁家的鸡笼,谁被谁的女人掌过嘴,谁的妹儿吃过哑巴亏,出嫁时是个空心萝卜,谁的崽娃长相不像爷老倌,而像谁谁谁。他都讲得头头是道,有根有叶。而且还有地点、人证、年月日。听着记着,女组长不禁对这“根子”产生了几分好感和兴趣,觉得王秋赦好比一块沉在水里的大青石,把什么水草啦,游丝啦,鱼虾、螺蛳、螃蟹啦,都吸附在自己身上。

    “这几年,趁着国家经济暂时困难,政策放得比较宽,圩场集市比较混乱,而做生意赚了钱、发了家的,镇上要算哪一户?”女组长又问。

    “还消问?你上级比我还清楚呀!”王秋赦故作惊讶地反问,“你上级听到的反映还少吗?就是东头起新楼屋的胡玉音!这姐子靠了她的长相摆米豆腐摊子,招徕顾客,得了暴利……而且她的本事大着呢。镇上的男女老少,没有几个不跟她相好。就是干部们对她,对她……”

    “对她怎么啦?”女组长有些不耐烦,又怀有强烈的好奇心。

    “喜欢她那张脸子、那双眼睛呀!大队黎支书认了她做干妹子,支书嫂子成了醋罐子。粮站主任供她碎米谷头子,税务所长每圩收她一块钱的税,像她大舅子。连秦癫子这坏分子跟她都有缘,从她口里收集过老山歌,骂社会主义是封建,可恶不可恶?”

    这席谈话,使得李国香大有收获,掌握了许多宝贵的第一手材料。吊脚楼主确是镇上一个人才,看看通过这场运动的斗争考验,能不能把他培养起来。

    半个月后,工作组把全镇大队各家各户的情况基本上摸清楚了。但群众还没有发动起来,于是决定从忆苦思甜、回忆对比入手,激发社员群众的阶级感情。具体措施有三项:一是吃忆苦餐,二是唱忆苦歌,三是举办大队阶级斗争展览。阶级斗争展览分解放前、解放后两部分。解放前的一部分需要找到几样实物:一床烂棉絮,一件破棉袄,一只破篮筐,一根打狗棍,一只半边碗。

    但解放都十四、五年了,穷人都翻了身,生活也有所提高,如今还到哪里去找这些烂东烂西!唉唉,土地改革那阵,只顾着欢天喜地庆翻身,土地还老家,只想着好好种种分得的好田好土,只顾着奔新社会的光明前程,那些破破烂烂,当初只怕扔都扔不赢呢,谁还肯留下来叫人见了伤心落泪,又哪里料想得到十几年以后还要搞展览,进行回忆对比呢。可见,凡事都应当有远见,烂东烂西自有烂东烂西的用处。越穷越苦的地方,就越要搞回忆对比。叫做物质的东西少一点,精神的东西就要多一些。比方,有的生产队集体生产暂时没有搞上去,分下的口粮不够吃,少数社员就骂娘,不满;再比方,有的地方工分值低,年终分配兑不了现,就有社员撕扯记工本,骂队长会计吃了冤枉;又比方,公社、县里的领导,统一推行某种耕作制,规定种植某个外地优良品种,因水土不服,造成了大面积减产,社员们就叫苦连天等等。不搞回忆对比行吗?不忆苦、不思甜行吗?解放才十四、五年,就把旧社会受过的苦、遭过的罪,忘得精光?三面红旗、集体经济,纵使有个芝麻绿豆、鸡毛蒜皮的毛病、缺点,你们也不应发牢骚、泄怨气。不要这山望着那山高,端着粗碗想细碗,吃了糠粑想细粮,人心不足蛇吞象。所以忆苦思甜是件法宝,能派很多用场。

    当然李国香组长要办忆苦思甜阶级教育展览会,是为了发动群众,开展运动。她为着寻找几件解放前的展品走访了好些人家,都一无所获。她忽然心里一亮:对了!眼前放着个百事通、活谱子不去问!或许吊脚楼主能想出点子来。一天吃中饭时,她把这事对王秋赦讲了讲。王秋赦面有难色,犹豫了一会儿,才说:“东西倒有几样,不晓得用得用不得……”
    “什么用得用不得,快去拿来看看!”

    李国香心里一块石头落了地,笑眯眯地看着她的“依靠对象”到门弯楼角里捣腾去了。

    不一会儿,王秋赦就一头一身灰蒙蒙的,提着一筐东西出来了,给女组长过目。原来是一床千疮百孔的破棉絮,一件筋吊吊、黑油油的烂棉袄,一只破篮筐,缺口碗。只少一根打狗棍,那倒随处可找了。

    “呵呵,得来全不费功夫!还是你老王有办法。”女组长十分高兴、赞赏。
    “只是要报告上级,这破棉絮,烂棉袄,都是解放后政府发给我的救济品……”王秋赦苦着眉眼,有实道实。
    “你开什么玩笑?这是严肃的政治任务!还有什么心三心四的?”女组长声色俱厉地批评教育说,“我到衡州、广州看过一些大博物馆,大玻璃柜里摆着的,好多都是模型、仿制品呢!”

    三 女人的账

    镇上传出了风声:县委工作组要收缴“芙蓉姐子”的米豆腐摊子和她男人的杀猪屠刀。这风声最初是从哪里来的,谁都不晓得,也无须去过问。而人们对于传播新鲜听闻的爱好,就像蜂蝶在春天里要传花授粉一样,是出于一种天性和本能。还往往在这新鲜听闻上添油加醋,增枝长叶,使其疑云闷雨,愈传愈奇,直到产生了另一件新鲜传闻,目标转移为止。

    街坊们的挤眉弄眼,窃窃私语,无形中给胡玉音夫妇造成一种压力,一种惶恐气氛。这可把胡玉音急坏了,也把她男人黎桂桂吓懵了。桂桂脸色呆滞,吃早饭时连碗都不想端了。难怪政治家们把舆论当武器,要办一件事总是先造舆论,放风声。

    “祖宗爷!人家的男人像屋柱子,天塌下来撑得起!我们家里一有点事,你就连个女人都不如,碗筷都拿不起?”胡玉音对自己不中用的男人又恼又气又恨。

    “玉音,我、我们恐怕原先就没想到,新社会,不兴私人起楼屋。土改前几年,不是也有些新发户紧穿省用,捆紧裤带买田买土买山场,后来划成了地主、富农……”桂桂眼睛里充满了惊恐,疑惧地说。
    “依你看,我们该哪样办?”胡玉音咬了咬牙关,问。
    “趁着工作组还没有找上门来,我们赶快想法子把这新楼屋脱手……哪怕贱卖个三、两百块钱……我们只有住这烂木板屋的命……”桂桂目光躲躲闪闪地说。
    “放屁!没得出息的东西!”胡玉音听完男人的主意,火冒三丈,手里的筷子头直戳了过去,在男人的额头上戳出了两点红印。“地主富农是收租放债、雇长工搞剥削!你当屠户剥削了哪个?我卖米豆腐剥削了哪个?卖新屋!只有住烂木板屋的命!亏你个男人家讲得出口!抓死抓活,推米浆磨把子都捏小了,做米豆腐锅底都抓穿了,手指头都抓短了,你张口就是卖新屋!天呀,人家的男人天下都打得来,我家男人连栋新屋都守不住……”

    黎桂桂伸手摸了摸额头,额头上的两个筷子头印子沁出了细细的血珠子。胡玉音含着眼泪,这才发觉,自己气头子上没轻没重……鬼打起,听到点风声,遇上点事,自己也发了癫哕,人都不抵钱了!她和桂桂结婚八年了,还没起过高腔红过脸。由于没有生育,她把女人的一腔母爱都倾注在男人身上,连男人的软弱怕事,都滋长了她对他袒护、怜爱的情感。桂桂既是她丈夫,又是她兄弟,有时还荒唐地觉得是自己的崽娃……可如今,把男人的额头都戳出了血!她赶忙放下碗筷,站起身子绕过去,双手捧住了桂桂的头:“你呀,蠢东西,就连痛都不晓得喊一声。”

    桂桂非但没有发气,反而把脑壳靠在她的胸脯上:“又不大痛。玉音,卖新楼屋,我不过随便讲讲,还是你拿定见……反正我听你的,你哪样办我就哪样办。你就是我的家,我的屋……只要你在,我就什么都不怕……真的,当叫花子讨吃,都不怕……”

    胡玉音紧紧搂着男人,就像要护着男人免受一股看不见的恶势力的欺凌,她不觉地就落下泪来。是的,一个摆小摊子为业的乡下女人的世界就这么一点大,她是男人的命,男人也是她的命。他们就是为了这个活着,也是为了这个才紧吃苦做,劳碌奔波。

    “玉音,你不要以为我总是老鼠胆子……其实,我胆子不小。如果为了我们的新楼屋,你喊我去杀了哪个,我就操起杀猪刀……我的手操惯了刀,力气蛮足……”桂桂闭着眼睛像在做梦似地咕咕哝哝,竟然说出这种无法无天的话来。

    胡玉音赶紧捂住了桂桂的嘴巴:“要死了!看看你都讲了些什么疯话!这号事,连想想都有罪过,亏你还讲得出……”说着,背过身子去擦眼泪。

    “玉音,玉音,我是讲把你听的,讲把你听的……又没有真的就要去杀哪个……”
    “可你,要就是卖掉新楼屋,要就是去拼性命……如今镇上只传出点风声,就把你吓成这样子……若还日后真的有点什么事,你如何经得起?”
    “左不过是个死。另外,还能把我们怎么的?”
    黎桂桂随口讲出的这个“死”字,使得胡玉音眼冒火星子。她真想扬手抽男人一个嘴巴子,但手举到半路又落不下去了。就像有座大山突然横到了她眼前,要压到她身上来,她感到了事情的严重和紧迫。她是个外柔内刚的人,当即在心里拿定了一个主意:
    “我就去找找李国香,问问她工作组组长,收缴米豆腐摊子和杀猪刀的话,是真是假……我想,大凡上级派来的工作同志,像老谷主任他们,总是来替我们平头百姓主事、讲话的……”

    黎桂桂以敬佩的目光看着自己的女人。每逢遇事,女人总是比他有主见,也比他有手腕,会周旋。在这个两口之家里,男人和女人的位置本来就是颠了倒顺的。

    胡玉音梳整了一下,想了想该和女组长说些什么话,才不致引起人家的反感,或是不给人家留下话把。她正打算出门,门外却有个女子和悦的声气在问:
    “胡玉音!胡玉音在屋吗?今天不是逢圩的日子嘛!”

    胡玉音连忙迎出门去,一看,竟是一脸笑容的李国香组长。真是心到神知啊!她连忙把客人迎进屋来。李国香比上一年当饮食店经理时略显富态些,脸上的皱纹也少了点。工作上的同志,劳心不劳力,日子过得爽畅,三十三岁上当黄花女,还不现老相。黎桂桂见李组长没有带手下的人,又和和气气的,一颗悬着的心,也就落下来一半。他赶忙筛茶,端花生、瓜子。这时,他抛给他女人一个眼色,羞愧地笑了笑。摆好茶盘杯子,他说了声“李组长好坐”,就从门背后拿出把锄头,上小菜园子去了。

    “你的爱人见了生客,就和个野老公一样,走都走不赢?”李国香组长呷了一口茶,似笑非笑地问。
    “他呀,是个没出息的。”胡玉音却脸一红,一边劝李组长剥花生,嗑瓜子,一边在心里想:你个没出嫁的老闺女,大约男人的东西都不分倒顺,却是“野老公”、“野老公”的也讲得出口。

    “今天,我是代表工作组,特意来参观这新楼屋的。顺便把两件事,和你个别谈谈。你放心,我们是熟人熟事,公事公办……”李国香说着就抓了一把瓜子站起身来。

    胡玉音脸色有些发白,脑壳里有些发紧。女组长今天大约是来者不善,善者不来啊。她来看新楼屋,总不会是个人的兴趣啊。但胡玉音还是强打起精神,赔着笑脸,领着女组长出了老客栈铺子,开开新楼屋的红漆大门。进得门来,李国香就闻到了一股新木香和油漆味。女组长把过厅,厢房,厨房,杂屋,后院的猪栏、鸡埘、厕所,一一地看了看,口里不停地夸赞着“不错,不错”。接着又踏着板梯,上楼看了宽大敞亮的卧室,里头摆着大衣柜、高柱床、五屉柜、书桌、圆桌、靠背椅,整套全新的家具,油漆泛出枣红色的亮光,把四壁雪白的粉墙都映出了一种喜气洋洋的色调。李国香嘴里没再夸赞什么“不错,不错”了,而是抿住嘴巴点着头,露出一脸惊叹、感慨之色。胡玉音一直在留神观看着她脸上的表情变化,但估不透女组长心里想着、窝着的是些什么。最后,她们打开落地窗,站在阳台上看了看山镇风光。李国香倚靠着栏杆,就像一位首长站在检阅台上。她站在阳台这个高度,才看清楚了四周围的古老发黑的土砖屋、歪歪斜斜的吊脚楼、靠斜桩支撑着的杉皮木板屋,和这幢鹤立鸡群似的新楼屋之间的可怕的差异,贫富悬殊的鸿沟啊。

    回到卧室,李国香径自在书桌前坐了下来。书桌当窗放着,土漆油的桌面像镜子,照得清人影。胡玉音在一旁陪站着。她见女组长已经在书桌上摊开了笔记本,手里的钢笔旋开了笔帽。

    “坐呀,你先坐下来呀。就我们两个人,谈一谈……”这时,李国香倒成了屋主似的,招呼着胡玉音落座了。

    胡玉音拉过一张四方凳坐下来。在摆着笔记本、捏着钢笔的女组长面前,她不由地就产生了一种自卑感。所以女组长坐靠背椅,她就还是坐四方凳为宜。

    “胡玉音,我们县委工作组是到镇上来搞‘四清’运动的,这你大约早听讲了。”李国香例行公事地说,“为了开展运动,我们要对各家各户的政治、经济情况摸一个底。你既不是头一家,也不是最末一户。对工作组讲老实话,就是对党讲老实话。我的意思,你懂了吧?”

    胡玉音点了点头。其实她心里蒙着雾,什么都不懂。

    “我这里替你初步算了一笔账,找你亲自落实一下。有出入,你可以提出来。”李国香说着,以她黑白分明的眼睛注视了胡玉音一下。

    胡玉音又点了点头。她糊糊涂涂地觉得,这倒省事,免得自己来算。若还女组长叫自己算,说不定还会慌里慌张的。而且女组长态度也算好,没有像对那些五类分子训话样的,眼光像刀子,锋寒刃利。

    “从一九六一年下半年起,芙蓉镇开始改半月圩为五天圩。这就是讲,一月六圩,对不对?”李国香又注视了胡玉音一眼。

    胡玉音仍旧点点头,没做声。她不晓得女组长为什么要扯得这么远,像要翻什么老案。

    “到今年二月底止,一共是两年零九个月,”李国香组长继续说,不过她眼睛停留在记事本上了,“也就是说,一共是三十三个月份,正好,逢了一百九十八圩,对不对?”

    胡玉音呆住了。她没有再点头。她开始预感到,自己像在受审。

    “你每圩都做了大约五十斤大米的米豆腐卖。有人讲这是家庭副业,我们暂且不管这个。一斤米的米豆腐你大约可以卖十碗。你的定价不高,量也较足。这叫薄利多销。你的作料香辣,食具干净,油水也比较厚。所以受到一些顾客的欢迎。你一圩卖掉的是五百碗,也就是五十块钱,有多无少。一月六圩,你的月收入为三百元。三百元中,我们替你留有余地,除掉一百元的成本花销,不算少了吧?你每月还纯收入两百元!顺便提一句,你的收入达到了一位省级首长的水平。一年十二个月,你每年纯收入二千四百元!两年零九个月,累计纯收入六千六百元!”

    胡玉音怎么也没有料到,女组长会替她算出这么一笔明细账来!她的收入达到了一位省长级干部的水平,累计六千六百元!天啊,天啊,自己倒是从没这样算过哪……真是五雷轰顶!她顿时就像被闪电击中了一样。

    “小本生意,我从没这么算过账……糊里糊涂过日子,钱是赚了一点,都起这新屋花费了……李组长,我卖米豆腐有小贩营业证,得到政府许可,没有犯法……”

    “我们并没有认定你就犯了法、搞了剥削呀!”李国香还是一副似笑非笑的脸色,“你门口不是贴着副红纸对联,‘发社会主义红财’吗?听说这对联还是出自五类分子秦书田的大手笔。你不要紧张,我只不过是来摸个底,落实一下情况。”

    胡玉音的神情一下子由惊恐变成了麻木冷漠,眼睛盯着楼板,抿紧了嘴唇。李国香倒是没有计较她的这态度,也不在乎她吱声不吱声。

    “还有个情况。粮站主任谷燕山,每一圩都从打米厂批给你六十斤大米做米豆腐原料,是不是?”李国香的脸色越来越严肃,一时间,真有点像是在讯问一个行为不正当的女人一样。

    “不不!那不能算大米,是打米厂的下脚,碎米谷头子。我每圩都要从里头选出砂子,筛出谷壳、稗子、土。而且,碎米谷头子老谷主任也不只批给我一个,镇上好多单位和私人,都买来喂猪……我开初也买来喂猪,后来才做了点小本生意……”一听关连到了粮站的老谷主任,胡玉音就像从冷漠麻木中清醒了过来,大声申辩。老谷是个好人,自己就算犯了法,也不能把人家连累了。

    “所以我先前每圩只算了你五十斤米的米豆腐。除去十斤的谷壳、砂子、稗子、土,总够了吧。我是给你留了宽余哪。再说,人家买碎米谷头子是喂了肥猪卖给国家,你买碎米谷头子是变成了商品,喂了顾客!”

    李国香组长的话产生了威力,一下子把胡玉音镇住了。接着,女组长又稳住了自己的声调,继续念着本本里的账目说:

    “一月六圩,每圩六十斤,两年零九个月,一百九十八圩。就是说,粮站主任谷燕山总共批给你大米一万一千八百八十斤!这是一个什么数字?当然,这是另外一个问题,虽和你有关系,但主要不在你这里……”

    算过账,李国香组长在笔记本上写了一行:“经和米豆腐摊贩胡玉音本人核对,无误。”就走了。胡玉音相送到大门口。她心里像煎着一锅油,连请“李组长打了点心再走”这样的客气话都没有讲一句。

    晚上,胡玉音把女组长李国香跟她算的一本账,一万多斤大米和六千六百元纯收入的事,告诉了黎桂桂。两口子胆战心惊,果然就像财老倌面临着第二次土改一样。但旧社会的财老倌已经成了五类分子,他们反倒臭狗粪臭到底,不怕了。胡玉音两夫妇是在新社会里攒了点钱,难道也要重新划成分,定为新的地主、富农?

    至此。胡玉音和黎桂桂夜夜难合眼。他们认定了自己只是个住烂木板屋的命。住烂木板屋虽然怕小偷,却有种政治上的安全感似的。他们再不去想什么受不受孕、巴不巴肚,而是暗暗庆幸自己没有后代子嗣。不然娃儿都跟着大人当了小五类分子,那才是活作孽啊。

    四 鸡和猴

    这天晚上,县委工作组进镇以来第一次召开群众大会。大会在圩场戏台前的土坪里举行。那盏得了哮喘病似的煤汽灯修好了,挂在戏台中间,把台上台下照得雪白通亮,也照得人们的脸块都有些苍白。跟往时不同的是,本镇原先的几个头面人物都没有坐上戏台,粮站主任谷燕山、大队支书黎满庚、税务所所长等等,都是自己拿了矮凳子或是找了块砖头垫张报纸坐在戏台下边。胡玉音、黎桂桂两口子则紧挨着坐在他们身后,像在寻求依靠、庇护。在台上坐着的只有工作组组长李国香和她手下的两个组员。本镇群众对这一变化十分敏感,既新奇又疑惧,都想朝前边挤挤看看。有的人甚至特意绕个大圈子钻到戏台下,看看“北方大兵”和满庚支书他们究竟坐在什么地方。

    大会跟往时不同的是,主持大会的李国香组长没有来一个开场白,像原先那些头头那样,从国际国内大好形势讲到本省本县大好形势,讲到本镇本地的大好形势,最后才讲到开会的旨意,几个具体问题;而是先由一位工作组组员,宣读了省、地、县的三份通报。省里的通报是:某地一个坏分子,出于仇恨党和人民的反动阶级本性,疯狂对抗“四清”运动,唆使、煽动部分落后群众围攻、殴打工作队队员,罪行严重,依法判处有期徒刑十五年。地区的通报是:某县一名公社党委委员、大队党支部书记,几年来利用职权包庇地、富、反、坏、右,作恶多端,“四清”工作组进驻后,大吵大闹,拍桌打椅,拒不交代问题,态度十分恶劣,经研究决定撤销其党内外职务,开除党籍,交群众管制劳动。县委的通报是:某公社一个解放前当过妓女的小摊贩,长期搞投机倒把牟取暴利,利用酒色拉拢腐蚀当地干部,妄图在运动中蒙混过关。经批准,将这个女摊贩在全公社范围内进行游斗,以教育广大干部、党团员……

    三份通报念将下来,马上产生了神效,一时会场上鸦雀无声,仿佛突然来了一场冰雪,把所有参加大会的人都冻僵了。谷燕山、黎满庚等几个平日在镇上管事的头头都瞠目结舌,像哑了口似的。

    “把资产阶级右派分子秦书田揪上台来!”突然,一个工作组组员以一种冰雪崩裂似的声音喊道。

    立时,王秋赦和一个基干民兵,就一左一右地像提着只布袋似地,把秦癫子扔到台上来。整个会场都骚动了一下,随即又肃穆了下来。秦癫子垂着双手,低着脑壳站在台前,雪亮的煤汽灯光射得他睁不开眼睛。灯光把他瘦长的影子投射到天棚板上,黑糊糊的一片,像尊魔影。

    一直坐在戏台上惟一的一张八仙桌旁的女组长李国香,这才走到台前来,习惯地拢了拢额前的几丝乱发后,指着秦癫子,以一口和悦清晰的本地官话说:“这就是芙蓉镇上大名鼎鼎的秦书田,秦癫子。本镇大队的贫下中农、革命群众,对于老地主、富农,是晓得仇恨的。可是对于这个阶级敌人,你们恨不恨呢?特别要问一句国家干部、共产党员、共青团员们,你们认为秦书田是香还是臭?这样一个阶级故人,在三年困难时期,竟然成了芙蓉镇一带的红人,仗着他会舞文弄墨,吹拉弹唱,活跃得很。年年冬下社员家里讨亲嫁女,做红白喜事,请的鼓乐班子里头有他。每年春节、元宵节,本镇大队舞龙灯、耍狮子贺新春有他。平日在路上、街上会了面,你们有多少人和他打招呼,给他纸烟抽?在田边、地头,你们多少人听他讲过那些腐朽没落、借古讽今的故事?你们家里的娃娃,那些没有受过剥削压迫的小学生,有多少叫过他做‘秦叔叔’、‘秦伯伯’的?”

    李国香声调不高,平平和和,有理有节地讲着、问着。整个会场的空气都仿佛凝结住了,寂静得会场上的人全都屏声住息了似的。坐在台下的谷燕山、黎满庚和胡玉音两口子,则开始感觉到某种强度的地震。

    “怪事多着呢,同志们,贫下中农们,社员们!”李国香继续不紧不慢地说,那语气就仿佛是在和人聊家闲似的。显然,她的斗争艺术是成功的。对于自己这驾驭群众、控制气氛的能力,她颇为得意。“前不久,我们镇上一个小摊贩盖起了一栋新楼屋。有人指出这楼屋比解放前本镇最大的两家铺子‘茂源商号’、‘海通盐行’还气派。顺便提一句,这个卖米豆腐的摊贩几年来究竟赚了多少钱?她是赚了谁的钱?她五天一圩做米豆腐的大米又是哪里来的?这些,我们都暂且不去说它。新楼房红漆大门上有一副对子,是谁写的?秦书田,你念一遍给大家听听。”

    秦癫子微微抬了抬头,斜看了女组长一眼,回答道:“是我写的,我写的……上联是‘勤劳夫妻发社会主义红财’,下联是‘山镇人家添人民公社风光’,横联是……”

    “这是一副反动对联,同志们!”李国香朝秦癫子挥了挥手,示意他住口,并稍稍抬高了一点声调说,“‘勤劳夫妻发社会主义红财’,大家嗅出这反动气味来没有?搞社会主义怎么是个人发财?过去讲‘人无横财不富,马无夜草不肥’,他却提出了‘发红财’这种蛊惑人心的反动口号,是对人民公社集体经济的反动!现在我们芙蓉镇,富的起楼屋,穷的卖地皮,说明了什么问题?大家好好想一想,同志们!还有下联‘山镇人家添人民公社风光’就更加露骨!‘山镇人家’是什么样的人家?是正经八板的贫下中农,还是别的出身历史复杂、社会关系七七八八的人家?据反映,这户人家早在五十年代就诬蔑过我们的农村政策、我们的阶级路线,是什么‘死懒活跳,政府依靠;努力生产,政府不管;有余有赚,政府批判’!这难道是一般的落后话、怪话?让这种人家来添人民公社的风光?人民公社是天堂,是乐园,本身就是无限风光,怎么要让私有制来添社会主义的风光?这是想变天!同志们,这是反社会主义,反党。这么一副反动对联,公然用大红纸写了贴在我们镇上!新楼屋的主人来了没有?这副对联不要撕了,要留着当个反面材料,让大家一天看上三遍。同志们,可不要小看了写写画画呀,这常常是阶级敌人向党、向社会主义进攻的一种武器,一种手段!”

    秦癫子听到这里,不服气地抬起头来看了李国香一眼。站在一旁看押着他的王秋赦,立即在他颈脖上重重拍了一掌,把他的脑壳往下一按。台下马上有几个运动骨干吼了起来:“秦癫子不老实!喊他跪下!”“秦癫子跪下!”“秦癫子不跪下,我们答应不答应?”

    整个会场稍稍迟疑了一下,才做出了反应:“不答应!”

    秦癫子浑身抖索,求救似地看了一眼台下的本大队支书黎满庚。黎满庚低着头,哪会顾得上答理他。满庚支书身后,“芙蓉姐子”胡玉音两口人更是丢魂失魄,张惶四顾。他双膝发软,识时务地扑通一声跪了下去。

    “秦书田,你可以站起来。”李国香却出乎大家意外地向秦癫子摆了摆手。这也没有什么奇怪,上级派来的干部总是比较讲政策。

    秦癫子依言站了起来。他恢复了原有姿态,面对群众双手下垂,低头认罪。只是他双膝上,添了两个鲜明的尘土印。

    “秦书田,现在继续批斗你,在群众雪亮的眼睛下,把你的画皮剥开来。”李国香说,“镇上老一辈的人,不是都晓得梁山泊好汉的故事吗,有个好汉叫圣手书生萧让。是不是?这个秦书田,也是一条好汉,被我们某些基层干部当成了本镇大队的‘圣手书生’!我们来看看吧,这圩场上,街上墙上,我们全大队的山坡、石壁上,到处写着‘全党动手,大办农业”三面红旗万岁’,‘农业以粮为纲,工业以钢为纲’,‘一定要解放台湾’等等。这些大幅标语都是出自谁的手笔?出自这个五类分子的手笔!我们一个芙蓉镇百十户人家,难道都是清一色的文盲吗?连个刷标语口号的人都找不出了吗?这是长了谁的威风,灭了谁的志气?秦书田,你讲讲,这些光荣任务,都是谁派给你的?“

    秦癫子缩着颈脖,看了台下的黎满庚支书一眼:“是是大队、大队……”

    “结结巴巴,心里有鬼,算了!”李国香挥了挥手,适可而止地制止住了秦书田。她驾轻就熟地掌握、调节着会场的火候。接着提出了一个更为叫人胆战心惊的问题:“秦书田!现在你当着广大贫下中农、革命群众的面,报一报你自己的阶级成分!”

    “坏分子,我是坏分子。”秦癫子说。

    “好一个坏分子!同志们,今天工作组要来戳穿一个阴谋。”李国香这时像一部开足了音量的扩音器,声音嘹亮地宣布:“根据我们内查外调掌握的材料,秦书田根本不是什么坏分子,而是一个罪行严重、编写反动歌舞剧向党向社会主义进攻的极右分子。他从一个遭到双开、清洗的右派分子,变成了一个搞男女关系的坏分子,这都是谁干的好事啊?五类分子的名单,是由县公安局掌握的。这是一起严重的违法乱纪行为!”

    讲到这里,李国香停了一停。她像一切有经验的报告人那样,总要留出个简短的间隙,来让听众思考、消化某个极其重要的问题,或是来记取某一段精辟的座右铭式的词句。

    会场上出现了一派嗡嗡的议论声和啧啧的惊叹声。

    “贫下中农同志们,社员同志们!”李国香的音调又降了下来,恢复了原先那一口聊家闲似的本地官话,“芙蓉镇上的怪事还多的是呢。还是这个秦书田,他还有个特殊身分,是全大队五类分子的头目。也就是说,他负责监管全大队的五类分子。请看看,我们的某些干部,对这个右派分子是多么地信任和器重。监督、改造五类分子,本来是我们贫下中农的职责和权利。可是,我们少数个别的干部,把这职责和权利拱手送给了阶级敌人。同志们,这是什么问题?这是严重的敌我不分,丧失了阶级立场。以上这些怪事,都出在我们镇上。今天,我们工作组把秦书田揪出来,当一个活靶子、反面教员,也当一面镜子,把我们有些干部、党员的脸块照一照,看看他们的屁股是坐在哪一边!”

    接着,李国香下了一道命令:呼口号,把右派分子秦书田押下去!所有的五类分子及其家属子女退出会场。

    在一片“打倒秦书田”、“秦书田不低头认罪,死路一条”、“坦白从宽,抗拒从严”的震耳欲聋的口号声中,秦癫子被王秋赦和另一个民兵押出了会场,五类分子的家属、子女也纷纷退出会场。之后,工作组组长李国香讲了一通,作为大会的结束语:“现在,阶级敌人离开会场了,我还要补充几句。”她姿势优美地掠了掠头发,声音也柔和多了,“贫下中农同志们,社员同志们,轰轰烈烈、尖锐复杂、你死我活的阶级斗争,就要在我们芙蓉镇展开了。我们搞的虽然是面上的‘四清’,但工作组准备和大家一起,全力以赴地投入这场斗争。我们有些党员,有些干部,有些社员,前些年过苦日子,由于各项政策比较放得松,或多或少犯有这样那样的错误,那不要紧。我们的方针是:有错认错,有罪认罪,贪污退赔,洗手洗澡,回头是岸。有的人不回头怎么办?那就要根据情节轻重,用党纪国法来制裁。要不然,地富反坏右一起跑了出来,党内党外互相勾结,而我们贫下中农、干部群众又麻木不仁,不闻不问,那么不要多久,党就变修,江山变色,地主资产阶级就重新上台!”

    散会后,胡玉音和黎桂桂回到老胡记客栈里,真是魂不着体,五内俱焚。他们感觉到了,一颗灾星已经悬在他们新楼屋的上空。这栋新楼屋,他们连一晚上都还没有搬进去住过,却成了祸害。就是继续心甘情愿的住烂木板屋,也缺乏安全感了。使夫妻俩尤为伤心的是,看来在这场运动中,老谷主任、满庚支书他们都会逃不脱女组长的巴掌心,他们是泥菩萨过河自身难保,也就不可能对旁人提供什么保护。

    黎桂桂吓得浑身打哆嗦,只晓得睁着神色迷乱的眼睛,望着自己的女人。

    到底胡玉音心里还有些主见,她坐在竹椅子上出神。唉,要是一家两口人都是虱婆子胆,老鼠见了猫一样,岂不只能各人备下一根索,去寻短路?

    “这样吧,事情拖不得了,讲不定哪晚上就会来抄家。我把我们剩下的那笔款子,交给满庚哥去保管。放在屋里迟早是个祸胎……”胡玉音眼睛盯着门口,压低了声音。

    “满庚?你没听出来,他好像犯在秦癫子的事上了……女组长的报告里,有一多半是对着他来的,杀鸡给猴子看……”黎桂桂提醒自己的女人说。

    “不怕。他在党。顶多吃几顿批评,认个错,写份悔过书。你怕还能把他一个复员军人哪样的?”

    “唉,就怕连累别人……”

    “他是我干哥。我们独门独户的,就只这么一个靠得住的亲戚。”

    “好吧。米豆腐摊子也莫等人家来收缴,自己先莫摆了。你哪,也干脆出去避避风头。我在广西秀州有门子远亲戚,十几年没往来过,镇上的人都不晓得……”

    五 满庚支书

    大队支书黎满庚家里,这些天来哭哭闹闹,吵得不成样子了。黎满庚的女人五大三粗,外号“五爪辣”,在队上出工是个强劳力,在家里养猪打狗、操持家务更是个泼悍妇。从去年起,黎满庚在社员大会上开始宣传晚婚、节育,口水都讲干了,可他女人“五爪辣”却和月月兔似的,早已生过了六胎,活了四个,全是妹儿。妹儿们站在一起,是四级阶梯。有的社员笑话他女人:“支书嫂子,节制生育你带了好头啊!”他女人双手在粗壮的腰身上一叉:“我没带好头?嗯,要依我的性子,早生下一个女民兵班了!人家养崽是过鬼门关,我养崽却是过门坎一样!”

    黎满庚刚成亲那年把,有点嫌自己的女人样子鲁,粗手粗脚的,衣袖一卷,裤腿一扎,有一身男子汉似的蛮力气。相形之下,他颇为留恋胡玉音的姣媚。但老辈人讲,自古红颜多薄命,样子生得太好的女人往往没有好命。胡玉音会不会有好命?当初他一个复员军人,大队党支书又不是算命先生,哪能晓得日后要出些什么事情?自他女人给他生下两个“干金妹儿”以后,他渐渐感觉到了自己女人的优越性,出工,收工,奶妹儿,做家务,简直就不晓得累似的,还成天哼哼“社员都是向阳花”呢。每天天不亮起床,每晚上和男人一样地打鼾,像头壮实的母牛。后来又连着生了四胎,也都连公社医院的大门都没有进过。“唉唉,陪着这种女人过日子,倒是实实在在的,当丈夫的要少操好多心……”黎满庚后来想。要说他女人有什么缺点,就是生娃娃的瘾太重了一点。

    “五爪辣”很少撒泼。她对男人在外干工作一直不大放心。特别是结婚前他所认的那个“干妹”,那样灵眉俊眼的女人,连天上的星子都会眼馋,哪有不把男人带坏的?不过她冷眼看了两年,并没有察觉出“干哥”“干妹”有什么不正当的行迹。但女人的这类警惕性是不容易松懈的。她平日嘴里不说,样子却做得明白:规矩点噢,你走到哪个角落里,都有双眼睛在瞄着你噢。有时两口子讲笑,她也来点旁敲侧击:“又在你干妹子那里灌了马尿?人家的婆娘过不得夜,要自爱点。”“你呀,你呀,讨打了还是怎么啦?”“我不过喊应你一句。自己的屋才是生根的屋。她男人虽是不中用,手里的杀猪刀可是吓人!…‘牙黄屎臭的,你胡讲些什么?”“狗婆的牙齿才白哪,你爱不爱?”直到黎满庚把拳头亮出来,他女人才笑格格住口。

    那天晚上,从圩场坪开完大会回来,“五爪辣”嘴里哔哔啵啵,煮开了潲水粥:
    “党支书喂!今晚上县里工作组女组长的话,有一多半是冲着你来的呀!不晓得你聪明人听没听出?”

    黎满庚阴沉着脸,斧头斧脑地坐在长条凳上卷“喇叭筒”。

    “你和你那卖米豆腐的干妹子到底有些哪样名堂?你对秦癫子怎么丢了立场?人家女组长只差没有道你的姓,点你的名!那女人也是,不老不少,闺女不像闺女,妇人不像妇人!”“五爪辣”在长条凳的另一头坐下来问。

    “你少放声屁好不好?今晚上的臭气闻得够饱的了!’’黎满庚横了自己的女人一眼。

    “你不要在婆娘面前充好汉,臭虫才隔着席子叮人。男子汉嘛,要在外边去耍威风,斗输赢!”“五爪辣”不肯相让。

    “你到底肯不肯闭嘴?”黎满庚转过身子来,露出一脸的凶相,“你头皮发痒了,是不是?”

    女人有女人的聪明处。每当男人快要认真动肝火时,“五爪辣”总是适时退让。所以七、八年来,家里虽然常有点小吵小闹,但黎满庚晓得“五爪辣”一旦撕开了脸皮是个惹不起的货色,“五爪辣”则提防着男人的一身牛力气,发作起来自己是要吃亏的,所以很少几回酝酿成家庭火并。“五爪辣”这时身子忽然恶作剧地一闪,跳离了长条凳,长条凳失重,翻翘了起来,使坐在另一头的黎满庚一屁股跌坐到地下。

    “活该!活该!”“五爪辣”闪进睡房里,露出张脸块来幸灾乐祸。

    黎满庚又恼又恨,爬起来追到睡房门口:“骚娘们,看看老子敲不敲你两丁更(屈起食指、中指敲人脑瓜)!”
    “五爪辣”把房门关得只剩下一条缝:“你敢!你敢!你自己屁股坐到哪边去了?跌了跤子又来赖我哟!”
    伸手不打笑脸人。每当女人和他撒娇卖乖时,他的巴掌即便举起来,也是落不下去的,心里还会感到一种轻松。

    但这晚上黎满庚却轻松不了。刚才女人无意中重复了县委工作组女组长的一句话:屁股坐到哪边去了!哪边去了?难道自己的屁股真的坐到地、富、反、坏、右、资产阶级一边去了?自已支持干妹子胡玉音卖了几年米豆腐,就是包庇、纵容了资本主义?玉音她赚钱盖起了一栋新楼屋,全镇第一号,就算搞了剥削,成了暴发户?摆米豆腐摊子摆成了新富农?还有秦书田的成分,从右派分子改成坏分子,自己的确在群众大会上宣布过。自己办事欠严肃。但并没办过什么正式的手续。依女组长的讲法,坏分子难道比右派分子真要好一点,罪减一等?在自己看来,都是一箩蛇。花蛇黑蛇都是蛇。还有,派秦书田的义务工,叫他到山坡、岩壁、圩场上刷过几条大标语,就算是对阶级敌人的重用?难道自己真的犯了这许多条律?

    第二天天黑时分,“五爪辣”正好提着潲桶到猪栏里喂猪去了,黎满庚正从公社开完批斗会回来,在屋门口洗脚,就见胡玉音慌慌张张地走了来,把一包用旧油纸布包着的东西交给他,说是一千五百块钱,请干哥代为保管一下,手头紧时,可以从里头抽几张花花。胡玉音失魂落魄的,头发都有些散乱,穿了一身青布大褂,模样儿也不似平常那么娇媚,连坐都没有坐,就慌慌忙忙地走了,好像生怕被人发现行踪似的。黎满庚晓得这款子进不得银行,就依乡下古老的习惯,立即把这油布包藏进了楼上的一块老青砖缝缝里,连数都没有数一下。在品德、钱财问题上,一向是干妹信得过干哥,干哥也信得过干妹。至于这种藏钱的法子,在镇上也不是什么秘密,一般人家都是这样。即便小偷进了屋,不把四面砖墙拆除,是难得找到金银财宝的。倒是要提防虫蛀鼠咬。

    这事,本来可以不让“五爪辣”晓得。黎满庚从楼上沾了一身灰尘下来时,却被“五爪辣”发觉了。“五爪辣”追问了他好久,他都没开口。“五爪辣”越问越疑心,哭了,抽抽咽咽数落着自己进这楼门七、八年了,生下了四个妹儿,男人家还在防贼一样地提防着她……哭得黎满庚都心软了,觉得女人抱怨得也是,既是在一个屋里住着,就没有讲不得的事。连自己的婆娘都信不得了,还去信哪个?

    可是他错了。都已经上床睡下了,当他打“枕头官司”似地把“绝密”透露给“五爪辣”听时,“五爪辣”竞像身上装了弹簧似的,一下子蹦下了床:
    “好哇!这屋里要发灾倒灶啦!白虎星找上门来啦!没心肝的,打炮子的,我这样待你,你的魂还是叫那妖精摄去了哇!啊,啊,啊——。”

    “五爪辣”竟然嚎啕大哭起来,天晓得为什么一下子中了魔似的,撒开了泼。

    “好好生生的,你嚎什么丧?你有屁放不得,不自重的贱娘们!”

    黎满庚也光火了,爬起来大声喝斥。

    “好好生生!还好好生生!我都戴了绿帽子、当乌龟婆啦!看我明天不去找着那个骚婊子拼了这条性命!”“五爪辣”披头散发,身上只穿了点筋吊吊的里衣里裤,拍着大腿又哭又骂。

    “你到底闭嘴不闭嘴?混账东西!和你打个商量,这天就塌下来啦,死人倒灶啦!”黎满庚鼓眼暴睛,气都出不赢。但他强压下心头的怒火,怕吵闹开去,叫隔壁邻居听了去,不好收场。

    “你和我讲清楚,你和胡玉音那骚货究竟是什么关系?她是你老婆,还是我是你老婆?你们眉里眼里,翘唇翘嘴狗公狗婆样的,我都瞎了这些年的眼睛,早看不下去啦!”
    “老子打扁你这臭嘴巴!混账东西!我清清白白一个人,由着你来满口粪渣渣地胡天乱骂!”

    “你打!你打!我给你生了四个女娃,你早就想休了我啦!我不如人家新鲜白嫩啦!家花没得野花香啦!你打!我送把你打!你把我打死算啦!你好去找新鲜货,吃新鲜食啦!”

    “五爪辣”边骂,边一头撞在黎满庚的胸口上,使他身子贴到了墙上。“五爪辣”的蛮力气又足,黎满庚推了几下都推不开,气得浑身发颤,眼睛出火。

    “天杀的!给野老婆藏起赃款来啦!这个家还要不要啦?昨天晚上开大会,工作组女组长在戏台上是怎么讲的,你要把我们一屋娘娘崽崽都拖下水,跟着你背时鬼、打炮子的去坐黑屋?你今天不把一千五百块钱赃款交出来,我这条不抵钱的性命就送在你手上算啦!……天杀的,打炮子的,你的野老婆把你的心都挖走啦!她的骑马布你都可以用来围脖子啦!我要去工作组告发,我要去工作组告发,叫他们派民兵来搜查!”

    啪的一巴掌下来,“五爪辣”被击倒在地。黎满庚失去了理智,巴掌下得多重啊,“五爪辣”就和倒下一节湿木头似的,倒在了墙角落。黎满庚怕她再爬起来撒野,寻死寻活,又用一只膝盖跪在她身上:

    “你还耍不耍泼?深更半夜的还骂不骂大街?是你厉害还是老子厉害?老子真的一拳就收了你这条性命,反正我也不想活啦!”

    说着,黎满庚愤不欲生地挥拳就朝自己的头上一击。

    “五爪辣”躺在地上,嘴角流血,鼻头青肿。但她到底被吓坏了,被镇住了。

    这时,四个妹儿全都号哭着,从隔壁屋里“妈妈呀——爸爸呀——”地跑过来了。

    娃儿们的哭叫,仿佛是医治他们疯狂症的仙丹妙药。黎满庚立即放开了自己的女人。“五爪辣”也立即爬了起来,慌里慌忙乱抓了件衣服把身子捂住。人是有羞耻心的,在自己的女儿面前赤身裸体,成何体统。

    街巷上猫嚎狗叫,四邻都惊动了,都来劝架了。他们站在屋

    外头敲的敲窗子,打的打门,喊的喊“支书”,叫的叫“嫂子”。

    邻居们好说歹说,婆婆妈妈地劝慰了一番后,暴风雨总算停歇了,过去了。关好门,重新上床睡觉。“五爪辣”不理男人,面朝着墙壁。“五爪辣”不号哭了,黎满庚却低声抽泣了起来:

    “老天爷……这日子怎么过得下去呀!人人都红眼睛啦!牙齿咬出血啦……不铁硬了心肠,昧了天良,就做不得人啦……苦命的女人……我从前没有对你做过亏心事,我是凭了一个人的良心……人就是人,不是牛马畜生……日后,日后连我自己,都不晓得保不保得住哇……在这世上,不你踩我,我踩你,就混不下去啦……”

    男子的哭声,草木皆惊。黎满庚活了三十几岁,第一次这么伤心落泪。他把“五爪辣”都吓着了。但“五爪辣”心里还憋着气。她听了一会儿,男人却越哭越伤心。她忍不住翻身坐起,正话反讲,半怨半劝了起来。男人再丑,还是自己的男人:
    “怎么啦,你把我打到了地下,像你们常对五类分子讲的,再踏上一只脚,还不解恨?没良心的!我再丑,再贱,也是你的女人,给你当牛当马,生了六胎,眼面前四个妹儿……你就真的下得手,一巴掌把我打下地,打得我眼发黑……还膝盖跪在我胸口上……呜呜呜……我好命苦!娘呀,我好命苦!……”

    “五爪辣”本来想劝慰一下男人,没想到越劝越委屈,越觉得自己可怜,就呜呜呜地也低声抽泣了起来。她还狠狠地在男人的肩膀上掐了一把,又掐一把:

    “你良心叫狗吃了……我也是气头子上,乱骂了几句……呜呜呜,你就一点都不疼我……呜呜呜,你不疼我,我还疼你这个没良心的……呜呜呜,女人的嘴巴是抹桌布,你又不是不晓得,骂是骂,疼是疼……呜呜呜……你就是不看重我这丑婆娘,也该看在四个乖乖妹儿的份上……呜呜呜!”

    黎满庚的心软了,化了。他泪流满面,一把搂住了自己的女人。是的,这女人,四个妹儿,这个家,才是他的,他的!他八年来辛辛苦苦,跟自己的女人喜鹊做窝样的,柴柴棍棍,一根根,一枝枝,都是用嘴衔来的……

    他搂住了“五爪辣”。“五爪辣”的心也软了,化了。她忽然翻身起来,双膝跪在男人面前,把男人的双手,按在自己的胸口上:

    “满庚,满庚,你听我一句话……你是当支书的,你懂政策,也懂这场运动,叫什么你死我活……我们不能死,我们要活……纸包不住火……那笔款子,你收留不得……你记得土改的时候,有的人替地主财老倌藏了金银,被打得死去活来,还戴上了狗腿子帽子……你把它交出去,交给工作组……反正你不交,到时候人家也会揭发……反正,反正,不是我们害了她……我们没有害过她。她要怪只有怪自己。新社会,要富大家富,要穷大家穷,不兴私人发家,她偏偏自己寻好路,要发家……”

    黎满庚又一把紧紧抱住了自己的女人。他心里仍在哭泣。他仿佛在跟原先的那个黎满庚告别。原先的那个黎满庚,是过不了“你死我活”这一关的。

    六 老谷主任

    县委组织部和县粮食局下来一件公文:鉴于芙蓉镇粮站主任谷燕山丧失阶级立场,盗卖国库粮食,情节严重,性质恶劣,令其即日起停职反省,交代问题。公文是县委工作组来粮站召开全体职工大会宣布的。谷燕山本人没有出席。真是晴天霹雳,迅雷不及掩耳啊。谷燕山被勒令“上楼”,在自己的宿舍里划地为牢,失去了行动自由。工作组派了两个运动骨干在他门口日夜看守,说是防止他畏罪自杀。他起初简直不相信自己的耳朵,不相信自己的眼睛,不相信这听到、看到的一切,以为自己在做一场荒唐的、不可思议的梦。假的,假的!这一切都是在演戏、演电影……编戏、编电影的人没有上过火线,没有下过乡,一看就是假的。有一回他看一部战斗故事片,指导员站在敌人的阵地前面,振臂高呼:“同志们,为了祖国和人民,为了全世界千千万万受苦受难的阶级弟兄,冲啊——!”天啊,战场上,哪有时间来这样一番演说?这不是给敌人当活靶子?一看就是假的,好笑又好气。可是,谷燕山这回碰到的“停职反省、交代问题”的指令,却是实实在在,半点不假的。自己不聋不瞎,也没有做梦。于是,这个以好脾气、老好人而在芙蓉镇上享有声誉的“北方大兵”,从混混沌沌中清醒了过来,他暴怒了,他拍桌、打椅、捶墙壁。他大声叫喊,怒吼:
    “工作组!你们算什么东西!算什么东西!你们假报材料,欺骗了县委!李国香,你好个娘养的,真下得手,真撕得开脸皮!你当了我的面,一口一声老革命、老同志,你背地里却搞突然袭击……突然袭击是战场上的战术,我们打小日本、打老蒋的时候用过,你们,你们却用来对付自己的同志……我们钻地道、挨枪子儿的时候,你们还毛黄屎臭,毛黄屎臭!血流成河,尸骨成山,打出了这个天下,你们却胡批乱斗,不让人过安生日子,不让人活命……”

    谷燕山拉门,踢门,门从外边上了锁,大约是因为他态度恶劣。两个运动骨干不理他,一人抱一枝“三八枪”在抽烟,扯谈。这“三八枪”说不定还是老谷和战友们从日本鬼子手里缴获的呢,如今却被人用来看守老谷自己。

    “把门狗!把门狗!开门!开开门!我来教你们放枪,教你们瞄准……你们凭什么把我锁在这屋里?这算什么牢房?要坐牢就到县里坐去,我不坐你们这号私牢!”

    没有人理会他,没有给他戴上铐子就算客气的。斗争是无情的,来不得半点“人情味”、“人性论”这些资产阶级的玩艺儿。不知过了多久,他疲乏了,他声音嘶哑,喉咙干得出烟。他喝了一杯冰凉的水,眼皮像灌了铅,就顺着门背跌坐在地板上,不知不觉睡了一觉。到了半夜,他被冻了醒来,昏天黑地的,伸手不见五指。他摸到床边去,扯了床棉毯披在身上。他在楼板上踱过来,踱过去,像一位被困或是被俘的将领……这时他仿佛头脑清醒了些,开始冷静下来思考白天发生的事情。他立即就有些后悔,感到羞愧:一个共产党员,一个战士出身的人,受了一点委屈,背了一点冤枉,就擂墙捶门,对着整条青石板街大喊大叫,像个老娘们耍泼似的,成何体统!谷燕山呀,谷燕山,你参加革命二十几年了,入党也二十几年了,还经不起这点子考验?你以为和平时期就总是风和日暖、晴空万里,没有乌云翻滚、暴雨倾盆?你复员到地方工作时才是个排长,芝麻大的官……他脑子里冒出些平日隐蔽得很深的念头来,是些平日想想都怕犯罪的念头啊。你还是华北野战军出来的哪,可人家彭德怀元帅,彭副总司令,用老戏里的话讲算一品当朝,开国元勋,五九年在庐山开会,都为了替老百姓讲话,反对大炼钢铁,吃公共食堂,被罢了官,上缴了元帅服,当了右倾机会主义分子……天底下的人哪个不晓得他受了委屈,背了冤枉,批他斗他是昧了良心,违了民意。后来我们国家过了三年苦日子,不再搞全民炼钢煮铁,不再发射牛皮卫星,不再吃公共食堂,还不是采纳了他的建议……可是如今的运动算什么?苦日子刚过完,百姓刚喘过一口气,生产、生活刚恢复了一点元气,就又来算三年困难时期的账,算困难时期政策放宽的账,算“右倾翻案”的账!真是过河拆桥,翻脸不认人……彭元帅啊,彭老总,比起你来,谷燕山算什么?小小一个镇粮站的站长,一个普通“北方大兵”,而且不过被宣布停职反省,交代问题。又没有真的抓你去坐牢,脚镣手铐地去坐牢……哈哈哈,共产党员去坐共产党的牢,天底下真会有这等怪事!胡说八道,胡思乱想……当然,谷燕山也明白,自己的思想出轨了,走火了,很危险,很危险。搭帮这思想是装在脑壳里,捣腾在心里。要是这“思想”真的是根辫子,或是长出个尾巴来,被人揪住了,那就倒霉了,真的要去坐牢了。

    谷燕山情绪时好时坏,思想反反复复。对这场落到他身上来的斗争,他想来想去还是不通。彭老总是为民请命,仗义执言,面折廷争。他谷燕山什么时候想过朝政、议过朝政?他够得上吗?十万八千里哪。他忠诚老实,从来都是党叫干啥就干啥。他不过是个五岭山脉腹地的芙蓉镇上的老好人,和事佬,普通得不能再普通,小得不能再小……唉唉,怎么回事嘛,难道今天这革命斗争,已经需要在内部爆发,开始自己斗自己,自己打自己,自己动手来把自己的战士消灭?动不动就“你死我活”,多么地可怕,不近人情。那么,是自己真的做了什么对不起革命、对不起党的事吗?啊,“盗卖国库粮食”,“盗卖国库粮食”,或许就是指他两年多来,每圩从打米厂批卖了六十斤碎米谷头给“芙蓉姐子”做米豆腐生意……你看,你看,自己也真混,这样一件全镇人人都晓得的事,摆明摆白的,他却花了三天时间去苦思苦想。

    对上了这个码单,他心里有些轻松,觉得问题并不像工作组宣布的、县里下的公文里讲的那么严重。这些年来,镇上的一些单位和个人,谁不在粮站打米厂买过碎米谷头子啊,喂猪喂鸭,养鸡养兔。当然哕,批碎米谷头子给胡玉音做米豆腐卖,或许真的是他办事欠妥……碰鬼,这个念头是怎么来的?讲良心话,自己虽然对妇女没有什么邪念,一镇的人也都晓得自己是个正派的人,可是,自己是有些喜欢那个胡玉音,喜欢看看她的笑脸,特别是那双黑白分明的大眼睛,喜欢听听她讲话的声音。一坐上她那米豆腐摊子,自己就觉得舒服、亲切。漂亮温柔的女人总是讨人喜欢啊,男人喜欢,女人也喜欢啊。难道这也算是罪过?自己这辈子不能享受女人的温存,难道就连在心里留下一片温存的小天地都不许可吗?既不存在什么道德问题,也不影响胡玉音的婚姻家庭,他才决定帮这“芙蓉姐子”一把。难道碎米谷头子变成了米豆腐卖,就是从量变到质变,铸成了大错?

    渐渐地,他心平气静了些。他晓得自己一月两月脱不了“反省”,“下”不了“楼”,撒尿拉屎都会被人监视着。这日子却是难熬、难过啊。原先,他每天早晨起来,都要挥动竹枝扫把,打扫粮站门口这一段青石板街,跟赶早出工的社员们笑一笑,把某个背书包去上学的娃娃搂一搂,抱一抱。每天傍黑,他习惯沿着青石板街走一走,散散心,在某个铺子门口站一站,聊一聊。或是硬被某个老表拖进铺里去喝杯红薯烧酒,嚼着油炸花生米,摆上一回说古论今的龙门阵……可如今,这些生活的癖好、乐趣都没有了。他和本镇街坊们是近在咫尺,远在天涯!

    谷燕山被宣布“停职反省”后的第五天,李国香组长“上楼”来找他做了一次“政策攻心”的谈话。

    “老谷呀,这几天精神有点紧张吧?唉,你一个老同志,本来我们只有尊敬、请教的份,想不到问题的性质这么严重,县委可能要当作这次运动的一个典型来抓啦!”李国香仍是那么一口清晰悦耳的腔调。每当听她讲话,谷燕山就想,这副金嗓子多可惜,没有用到正经地方啊,为什么不到县广播站去当广播员?

    谷燕山只是冷漠地朝李国香点了点头。他对这个女组长有着一种复杂的看法,既有点鄙视她,又有点佩服她,还有点可怜她。可是偏偏这么一个女人,如今代表县委,一下子就掌握了全镇人的命运,其中也包括了自己的命运……人家能耐大啊,上级看得起啊,大会小会聊家闲、数家珍似的,一口一个马列主义,一口一个阶级斗争,“四清”“四不清”。讲三两个钟头,水都不消喝一口,嗽都不会咳一声,就像是从一所专门背诵革命词句的高等学府里训练出来的。

    “怎么样?这些天来都有些什么想法?我看,再是重大的问题,只要向组织上交代清楚了,总是不难解决的。同时,从我个人来讲,是愿意你早点洗个温水澡,早点‘下楼’,和全镇革命群众一起投入当前这场重新教育党员、干部,重新组织阶级队伍的伟大运动。”李国香为了表示自己的诚意,打动这个“北方大兵”,又特别加了一句:“你看,我只想和你个别谈谈,都没有叫别的工作组员参加。起码,我对你,算是没有什么个人成见的吧!”

    谷燕山还是没有为她的诚心所动,只是抬起眼睛来瞟了她一眼,那眼神仿佛在说:你爱怎么讲你就怎么讲,反正我是什么都不会跟你讲。

    李国香仿佛摸准了他的对抗情绪,决定抛点材料刺他一下,看他会不会跳起来。于是从口袋里拿出那本记得密密麻麻的小本本,不紧不慢地一页页翻着,然后在某一页上停住,换成一种生硬的、公事公办的口气说:
    “谷燕山,这里有一笔账,一个数字,你可以听听!经工作组内查外调核实,自一九六一年下半年以来,在两年零九个月的时间里,也就是说,芙蓉镇五天一圩,一月六圩,总共一百九十八圩,你每圩卖给本镇女摊贩、新生资产阶级分子胡玉音六十斤大米,做成米豆腐当商品,一共是一万一千八百八十斤大米。这是不是事实?”

    “一万多斤!”果然,谷燕山一听这个数字,就陡地站了起来。这个数字,对他真是个晴天霹雳,他可从没有这么想过、这么算过啊!

    “数目不小吧?嗯!”李国香眼里透出了冷笑。又仿佛是在欣赏着:看看,才轻轻刺了这么一下,不就跳起来了,有什么难对付的。

    “可那是碎米谷头子,不是什么国库里的大米。”谷燕山再也沉不住气,受不了冤枉似地大声申辩着。

    “碎米谷头也好,大米也好,粮站主任,你私人拿得出一万斤?你什么时候种过水稻?不是国库里的又是哪里的?你向县粮食局汇过报?谁给了你这么大的权利?”李国香仍旧坐着一动没动,嘴里却在放出连珠炮。

    “碎米谷头就是碎米谷头,大米就是大米。我按公家的价格批卖给她,也批卖给街上的单位和个人,都有账可查,没有得过一分钱的私利。”

    “这么干净?没有得过一分钱,这我们或许相信。可是你一个单身男人有单身男人的收益……”李国香不动声色,启发地说。她盯着谷燕山,心里感到一阵快意,就像一个猎户见着一只莽撞的山羊落进了自己设置的吊网里。“难道这种事,还用得着工作组来提醒你?”

    “什么单身男人的收入?”

    “米豆腐姐子是芙蓉镇上的西施,有一身白白嫩嫩的好皮肉!”

    “亏你还是个女同志,这话讲得出口!”

    “你不要装腔拿势了。天下哪只猫不吃咸鱼?你现在交代还不晚。你们两个的关系,是从哪一年开始的?做这号生意,她是有种的,她母亲不是当过妓女?”

    “我和她有关系?”谷燕山急得眼睛都鼓了出来,摊开双手朝后退了两步。

    “嗯?”李国香侧起脸庞,现出一点儿风骚女人特有的媚态,故作惊讶地反问了一声。

    “李组长!我和她能有什么关系?我能么?我能么?”谷燕山额头上爬着几条蚯蚓似的青筋,他已经被逼得没有退路了,身后就是墙角。“李国香!你这个娘儿们!把你的工作组员叫了来,我脱、脱了裤子给你们看看……哎呀,该死,我怎么乱说这些……”

    “谷燕山!你耍什么流氓!”李国香桌子一拍站了起来,她仿佛再也没有耐心,不能忍受了,睁大两只丹凤三角眼,竖起一双柳叶吊梢眉,满脸盛怒。“你在我面前耍什么流氓!好个老单身公!要脱裤子,我召开全镇大会,叫你当着群众的面脱!在工作组面前耍流氓,你太自不量力!”

    “我、我、我是一时急的,叫你逼、逼得没法……这话,我算没说……”谷燕山毕竟是个老实厚道人,斗争经验不丰富,一旦被人抓住了把柄,态度很快就软了下来。他双手捂着脸块:“我别的错误犯过,就是这个错误犯不起,我、我有男人的病……”

    “讲实话,这还差不多。”李国香听这个男人在自己面前讲出了隐私,不胜惊讶,又觉得新鲜。她感到一种略带羞涩的喜悦,觉得自己是个强者,终于从精神上压倒了这个男性公民,“老谷,坐下来,我们都坐下来。不要沉不住气嘛。我一直没有对你发过什么脾气嘛。你犯了错误,怎么还能耍态度呢?我们工作组按党的政策办事,对干部要惩前毖后,治病救人;除非对那种对抗运动的死硬分子,我们才给予无情打击……”

    说着,李国香示范似地仍旧回到书桌边坐下来。谷燕山也回到原来的椅子上坐下。他感到四肢无力,一股凄楚、悲痛的寒意,袭上了他的心头。

    这时门口的两个运动骨干在探头探脑,李国香朝门口挥了挥手,示意他们缩回去。

    “老谷,我们还是话讲回来,在工作组面前,你什么事情都可以讲清楚,我可以直接在县委面前替你负责。”李国香又恢复了那一日聊家闲似的清晰悦耳的腔调,继续施行攻心战术,决定扩大缺口,趁热打铁,把这个芙蓉镇群众心目中的领袖人物彻底击败。“你的问题还远不止这些哪,可能比我们想像的要严重得多哪!就算你和胡玉音不是奸夫奸妇的关系,但这经济上、思想上的联系,总是存在的吧。你用国家的一万斤碎米,就算是你讲的碎米,支持她弃农经商,大搞资本主义,成了芙蓉镇地方的头号暴发户。这个女人不简单哪。胡玉音和黎满庚是什么关系?干哥干妹哪,黎满庚总没有你的那种所谓男子病了吧?要晓得,胡玉音是金玉其外,是个没有生育的女人。黎满庚作为她的政治靠山,长期庇护她在芙蓉镇上牟取暴利。再讲,黎满庚和秦书田什么关系?秦书田和胡玉音什么关系?胡玉音和官僚地主出身的镇税务所长是什么关系?我们查了一下,税务所每圩只收胡玉音一块钱的营业税,而胡玉音每月的营业额都在三百元以上。这是什么问题?所以你们这一小帮子人,实际上长期以来党内党外,气味相投,互相利用,互相勾结,抱成一团,左右了芙蓉镇的政治经济,实际上是一个小集团……”

    讲到这里,李国香有意停了一停。

    谷燕山额上汗珠如豆:“镇上有什么小集团!有什么小集团!这是血口喷人,这是要致人于死地……”

    “怎么?害怕了!你们是一个社会存在。”李国香抬高了音调,变得声色俱厉,“当然哕,只要你们一个一个认识得好,交代得清楚,也可以考虑不划作小集团。冰冻三尺,非一日之寒啦。

    去年,镇上就有革命群众向县公安局告了你们的状……不做小集团处理,工作组可以尽力向县委反映……但主要看你们这些人的态度老不老实。胡玉音就不老实,她畏罪潜逃了。可我们抓住了她丈夫黎桂桂问罪。……老谷,你不是镇上有名的大好人、和事佬吗,一镇的人望哪,就带个头吧。还是敬酒好吃哪,把这么多人牵扯了进去,身家性命,可不是好玩的……”

    真是苦口婆心,仁至义尽。

    “天呀!我以脑袋作保!镇上没有什么小集团……”

    谷燕山仿佛一下子老了十岁,浑身都叫冷汗浸透了。

    七 年纪轻轻的寡妇

    胡玉音在秀州一个远房叔伯家里住了两个月,想躲过了风头再回芙蓉镇。“风头子上避一避”,这原也是平头百姓们对付某些灾难经常采用的一种消极办法。岂知“跑了和尚跑不了庙”,人世间的有些灾难躲避得了吗?何况,如今天下一统,五湖四海一个政策,不管千里万里,天边地角,一个电话或一封电报就可以把你押送回来。

    两个月来,胡玉音日思夜想着的是芙蓉镇上的那座“庙”。她只收到过男人黎桂桂的一封信,信上讲了些宽慰她的话,说眼下镇上的运动轰轰烈烈,全大队的五类分子都集中在镇上训话,游行示威时把他们押在队伍的前面。原来镇上主事的头头都不见露面了,由工作组掌管一切。官僚地主出身的税务所长被揪了出来批斗。民兵还抄了好些户人的家,他的杀猪刀也被收缴上去了。收上去也好,那是件凶器……听讲这次运动,还要重新划分阶级成分。信的末尾是叫她一定在外多住些日子,也千万不要回信。

    看看这个不中用的男人,自己家里的事,除了那把杀猪屠刀,一句实在的话都没有,一切都靠胡玉音自己来猜测。比方讲镇上的管事头头都不露面了,是不是指老谷主任、满庚哥他们?抄了好些户人的家……都是哪几户人家?是不是也抄了自己的新楼屋?要重新划阶级成分,会不会给自己划个什么成分?男人呀,男人,总是太粗心了,太粗心,连封信都写不清。男人后来再没有给她来信。桂桂是被抓起来了?胡玉音越想越猜,越心惊肉跳。她像一只因屋里来了客人而被关进笼子里的母鸡,预感到了有大祸临头。但这“大祸”将是什么样的,她没有听人讲过,也没有亲眼见过。是不是和五类分子那些人渣、垃圾一样,一身穿得邋里邋遢,脸块黑得像鬼,小学生一碰见他们就打石子、扔泥团,圩镇上一有什么运动、斗争,就先拿他们示众,任凭革命群众骂、啐、打……

    天啊,假若“大祸”要使自己也沦落成这一流的人,那怎么活得下去啊!不会的,不会的。自己又没有做过坏事,讲过反话,骂过干部。自己倒是觉得老谷主任、满庚哥他们是自己一屋人,父老兄弟。圩镇上一个卖米豆腐的女人,能对新社会有什么仇、记什么恨呢,新社会对她胡玉音有哪样不好!解放后没有了强盗拐子,男人家也不赌钱打牌,宿娼讨小,晚上睡得了落心觉,新社会才好哪。要不是新社会,像自己这样一个人家,自己这么一副长相,早就给拐骗到大口岸上哪座窑子里去了哪!……不,不,五类分子才坏哪,他们是黑心黑肺黑骨头,是些人渣、垃圾,自己怎么也跟他们牵扯不到一起去。

    这时,她寄居的秀州县城,也在纷纷传说,工作队就要下来了,像搞土改那样的运动就要铺开了。的确已经有人来远房叔伯家里问过:“这位嫂子是哪里人啦?家里是什么阶级?住了多少日子啦?有没有公社、大队的证明?”她知趣、识相,她还要自爱自重,不能再死皮赖脸地在叔伯家里挨日子,连累人。“躲脱不是祸,是祸躲不脱。”她决定违背男人的劝告,回到芙蓉镇上去。也真是,原先怎么就没想到,越是这种时刻,越应该和男人在一起呀!就是头顶上落刀子,也要和男人一起去挨刀子呀!就是进坟地,也要和男人共一个洞眼。玉音哪,玉音!你太坏了!整整两个月,把男人丢在一边不管,你太狠心了……赶快,赶快,赶快……

    从大清早,走到天擦黑。一路上,她嘴里都在叨念着“赶快赶快”,就像心里有面小鼓在敲着节拍。她随身只背了个工作干部背的那种黄挎包,里头装了几件换洗衣服,一只手电筒。她在路上只打了两次点心,一次吃的是蛋炒饭,一次吃的还是两碗米豆腐。米豆腐的碱水放得重了点,颜色太黄。还不如自己卖的米豆腐纯白、嫩软,油水作料也没有自己给顾客配的齐全。围着白围裙的服务员就像在把吃食施舍给过路的人一样……哼,哪个上自己的米豆腐摊子上去,不是有讲有笑,亲亲热热的,吃罢喝足,放碗起身,也会喊一声:“姐子,走了,下一圩会。”“好走,莫在路上耍野了,叫你堂客站在屋门口眼巴巴地望……”

    天黑时分,胡玉音走到了芙蓉镇镇口。“哪个?”突然,从黑墙角里闯出一个背枪的人问。这人胡玉音认得,是打米厂的小后生。原先胡玉音去米厂买碎米谷头子,这后生崽总是一身白糠灰,没完没了地缠着她:“姐子,做个介绍吧,单身公的日子好难熬呀!”“做个哪样的?”“就和姐子样白净好看、大眉大眼的。”

    “呸!坏东西,我给你做个瓜子脸,梅花脚(指狗)!”“我就喜欢姐子的水蛇腰,胸前鼓得高!”“滚开点!谁和你牛马手脚……我要喊你们老谷主任了!”“姐子,你真狠心!”“滚滚滚,爷娘死早了,少了教头的!”……对了,如今搞运动,大约镇上的风头子还没有过去,所以晚上都站了哨。连这种流里流气的后生崽,都出息了,背上枪了。
    “啊,是你呀,自己回来了?”打米厂的后生家也认出她来,但声音又冷又硬,就像鞭子在夜空里抽打了一声那样。接着,后生子没再理会她,背着枪走到一边去了。要在平常,早又说开了不三不四的话、牛马畜生样地动手动脚了呢。

    她心里不由地一紧:“自己回来了?”什么话?难道自己不回来,就要派人去捉回来吗?她几乎是奔跑着走进青石板街的。街两边一家家铺面的木板上,到处刷着、贴着一些大标语。写的是些什么,她看不大清楚。她在自己的老铺子门口被青石阶沿绊了一下,差点跌了一跤。门上还是挂着那把旧铜锁,男人不在家。但铜锁是熟悉的,还是爹妈开客栈时留下来的东西。她略微喘了一口气。但隔壁的新楼屋呢?新楼屋门口怎么贴满了白纸条?还有两条是交叉贴着的。这么讲来,这新楼屋不但被查抄过,还被封过门。天呀,这算哪样回事呀?她慌里慌张地从挎包里摸出手电筒,照在红漆大门上。大门上横钉着一块白底黑字木牌:“芙蓉镇阶级斗争现场展览会”。怎么?自己的新楼屋被公家征用了,办了展览会?桂桂的信里连一个字都没有提……佳桂,桂桂!你这个不中用的男人,黑天黑地野到哪里去了?你还有心事野,你女人回来了,你都不来接,而是门上四两铁。

    但她马上明白了过来,找桂桂不中用,这个死男人屁话都讲句不出。当机立断,她要先去找谷燕山主任。老谷是南下干部,为人忠厚,秉事公正,又肯帮助人。在镇上就只他是个老革命,威信高,讲话作得了数……她觉得自己走在青石板街上,一点声音都没有,脚下轻飘飘,身子好像随时要离开地面飞起来一样。她走到镇粮站大门口,大门已关,一扇小门还开着。那守门的老倌子见了她,竞后退了一步,就跟见了鬼一样……又是怎么了?过去街上的人,特别是那些男人们,见了自己总是眼睃睃、笑眯眯的,恨不得把双眼睛都贴到自己身上来……“伯伯,请问老谷主任在不在?”她不管守门老倌子把自己当鬼还是当人,反正要找的是老谷主任。“胡家女子,你还来找老谷?”老倌子回转头去看了看围墙里头,又探出脑壳看了看街上,左近没人,才压低了沙哑的嗓门说:“你不要找老谷了,他被连累进大案子里头去了,你也有份。讲是他盗卖了一万斤国库大米,发展资本主义……他早就白日黑夜地被人看守起来了,想寻短路都找不到一根裤带绳……这个可怜人……”

    胡玉音的心都抽紧了……啊啊,老谷,老谷都被人看守起来了……这是她怎么也料想不到的。在她的心目中,在镇上,老谷就代表新社会,代表政府,代表共产党……可如今,他都被人看起来了。这个老好人还会做什么坏事?这个天下就是他们这些人流血流汗打出来的,难道他还会反这个天下?

    胡玉音退回到青石板街上。她抬眼看见了老谷住的那二层楼上尽西头那间屋子,还亮着灯光。她眼睛一眨不眨地看着。老谷是坐在灯下写检讨,还是在想法子如何骗过看守他的人,要寻自尽?不能,不能!老谷啊,你要想宽些,准定是有人搞错了,搞反了。人家冤枉不了你,芙蓉镇上的人都会为你给县里、省里出保票,上名帖。你的为人,镇上大人小孩哪个不清楚,你只做过好事,没有做过坏事……有一刻,胡玉音都忘记了自己的恐怖、灾祸,倒是在为老谷的遭遇愤愤不平。

    啊啊……想起来了,三个多月前,工作组女组长李国香来她的新楼屋,坐在楼上那间摆满了新木器的房子里,给她算过一笔账,讲她两年零九个月,卖米豆腐赚了六千多块钱,也提到有人为她提供了一万斤大米做原料……看看,老谷如今被看守,肯定就是因了这个……啊啊,一人犯法一人当,米豆腐是自己卖的,钱是自己赚的,怎么要怪罪到老谷头上?卖米豆腐的款子,还有一笔存放在满庚哥的手里呢。

    去找满庚哥。满庚哥大约是个如今还在镇上管事的人。满庚哥早就认了自己做干妹子。胡玉音还有靠山哪,在镇上还找得着人哪。满庚哥比自己的嫡亲哥哥还亲哪……胡玉音转身就走,就走?她哪里是在走,是在奔,在跑。她思绪有些混乱,却又还有点清晰。她脚下轻飘飘的,走路没有一点声响,整个身子都像要离开地面飘飞起来一样……啊啊,满庚哥,满庚哥,当初你娶不了我……你是党里的人,娶不了我这样的女人……可你在芙蓉河边的码头岩板上,抱过我,亲过我。你抱得好紧呀,身上骨头都痛。你起过誓,今生今世,你都要护着我,护着我……满庚哥,满庚哥,河边的码头没改地方,那块青岩板也还在……你还会护着我,护着我……满庚哥,满庚哥,你要救救妹妹,救救我……

    她不晓得怎样过的渡,不晓得怎样爬的坡……她敲响了黎满庚支书家的门。这条门她进得少,但她熟悉、亲切。有的地方只要去过一次,就总是记得,一生一世都会记得。

    开门的是满庚哥那又高又大的女人“五爪辣”。“五爪辣”见了她,吓得倒退了一步,就像见了鬼一样。过去镇上的妹子、嫂子,碰到自己总要多看两眼,有羡慕,有嫉妒。女人就是爱嫉妒、吃醋。可如今怎么啦,怎么镇上的男人女人,老的少的,见了自己就和见了鬼、见了不吉利的东西一样。

    “满庚哥在屋吗?”胡玉音问。她不管满庚的女人是一副什么脸相,她要找的是那个曾经爱过她、对她起过誓的人。

    “请你不要再来找他了!你差点害了他,他差点害了一屋人……一屋娘崽差点跟着他背黑锅……如今上级送他到县里反省、学习去了,背着铺盖去的……告诉你了吧,你交把他的那一千五百块钱赃款,被人揭发了,他上缴给县里工作组去了……”

    “啊啊……男人,男人……我的天啊,男人,没有良心的男人……”

    就像一声炸雷,把胡玉音的耳朵震聋了,脑壳震晕了。她身子在晃荡着,她站不稳了。

    “男人?你的男人贼大胆,放出口风要暗杀工作组女组长,如今到坟岗背去了!”

    说着,“五爪辣”像赶叫花子似的,空咚一声关紧了大门。她家的大门好厚好重。

    胡玉音就要倒下去了,倒下去了……不能倒下,要倒也不能倒在人家的大门口,真的像个下贱的叫花子那样倒在人家的大门口……她没有倒下去,居然没有倒下去!她自己都有些吃惊,哪来的这股力气……她脚下轻飘飘的,又走起来了,脚下没有一点声响,整个身子又像要飘飞起来一样……

    桂桂,你在哪里?刚才“五爪辣”讲你想暗杀工作组女组长,你不会,不会……你胆子那样小,在路上碰到条松毛狗、弯角牛,你都会吓得躲到一边去的……不会,不会。桂桂,天底下,你是最后的一个亲人了……可你不在铺子里等着我,而是在门上挂了把老铜锁。你跑到坟岗背去做什么?做什么……傻子,自古以来,那是镇上埋人的地方,大白天人都不敢去,你黑天黑地地跑去做什么?你胆子又小,坟岗背那地方岂是随便去得的!

    她迷迷糊糊……但还是有一线闪电似的亮光射进她黑浪翻涌的脑子里……啊啊,桂桂,好桂桂,难道、难道你……桂桂,桂桂,你不会的,不会的!你还没有等着我回来见一面哪……

    她大喊大叫了起来,在坑坑洼洼的泥路上跑,如飞地奔跑,居然也没有跌倒……看看,真傻,还哭,还喊,还空着急呢,桂桂不是来了?来了,来了……是桂桂!桂桂啊,桂桂哥……

    桂桂才二十二岁,胡玉音才满十八岁。是镇上一个老屠户做的媒。桂桂头次和自己见面,瘦高瘦长的,清清秀秀,脸块红得和猴子屁股一样,恨不得躲到门背后去呢……爸妈说,这回好,小屠户,杀生为业……开始时也是傻,总是在心里拿他和满庚哥去相比,而且总是桂桂比不赢。玉音一想就有气,觉得心酸、委屈,就不理睬桂桂。见了面就低脑壳,噘嘴巴,心里骂人家“不要脸”。可是桂桂是个实在人,不声不气,每天来铺里挑水啊,劈柴啊,扫地啊,上屋顶翻瓦检漏啊,下芙蓉河去洗客栈里的蚊帐、被子啊。每天都来做一阵,又快又好,做完就走。爸妈过意不去留他吃饭,他总是不肯,嘴巴都不肯打湿……便是邻居们.都讲,老胡记客栈前世修得好啊,白白地捡了一个厚道的崽娃罗。又讲玉音妹子有福分啊,招这么个新郎公上门,只怕今后家务事都不消她沾手,比娘边做女还贵气哟……怪哩,玉音越不喜欢这个佳桂,爸妈和街坊们却越夸他、疼他。他呢,也好像憋了一股子劲,要做出个样子给玉音看似的。后来,这个勤快得一刻都闲不住手脚的人,就连玉音的衣服、鞋袜都偷偷地拿了去洗。你洗,你洗!勤快就洗一世,玉音反正装做没看见,不理你……

    她和黎桂桂不战不和,怕有整整半年那么久。鬼打起,慢慢‘地,不知不觉,玉音觉得桂桂长相好看,人秀气,性子平和,懂礼。看着顺眼,顺心了。日久见人心嘛。这一来,只要偶尔哪天桂桂没到胡记客栈来,玉音就坐立不安,十次八次地要站到铺子门口去打望……惹得爸妈好欢喜,街坊邻居都挤眉挤眼地笑。笑什么?在玉音心里,桂桂已经把满庚哥比下去了……而且满庚哥已经成家了,讨了个和他一样武高武大、打得死老虎的悍妇。桂桂为什么比他不赢?桂桂才是自己的,自己的老公,自己的男人……桂桂有哪样不好?脚勤手快,文文静静,连哼都很少哼一声。她和桂桂成亲时多排场、多风光啊,县里歌舞团的一群天仙般的妹儿们都来唱戏,当伴娘,唱了整整一晚的《喜歌堂》。后来镇上的一些上了岁数的姑嫂们都讲,芙蓉镇方圆百里,再大的财主家收亲嫁女,都没有像玉音和桂桂的亲事办得风光、排场……

    风呼呼,草向两边分,树朝两边倒,胡玉音在没命地奔跑……

    黎桂桂就在她身边,陪伴着她,和她讲着话……“桂桂,还记得吗?成亲的那晚上,歌舞团那些天仙般的人儿把我们两个推进洞房里,就都走了。我们两个都累了。唱了一晚的歌,好累啊。你这个蠢子,还在脸红,还在低着脑壳,连看都不敢看我一眼。你上床,连衣服都不敢脱。我好气又好笑。你那样怕丑,倒像个新娘子哩……你当我就不怕丑?你这个傻子却像比我还怕丑。我忽然觉得,你不像我男人,倒像我弟弟。(唉唉,那时一提起‘男人’两个字就脸臊心跳。)我想,你这样脾气的人,今后大约不会骂我,不会凶我打我,会在我面前服服帖帖……一夜晚,我们都和衣睡着,谁都没挨谁。想起来都好笑呢。第二天早晨,你天不亮就起去了,挑水,做饭,把吵闹了一夜的堂屋、铺门口打扫得连一片瓜子皮、花生壳都见不到。我都不晓得。我还在睡懒觉。桂桂啊,我还在做女呢,我还有点撒娇呢。过去是在爷娘边撒娇,今后是在你身边撒娇呢……

    “是的,桂桂,我就想在你身边撒娇呢……可是你这个傻子,当了新郎公,比我还怕丑哩。还记得吗?成亲的第二天的晚上,镇上来了幻灯队。那时我们镇上还没有电影,却一个月要看次把幻灯,对不对?解放前我们镇上只演过影子戏、花灯。我还记得,幻灯片放的是《小二黑结婚》。片子上那一对青年男女长得真好看。他们为了自由对象,晚上在树林子里会面,还被村公所的坏人捆起来送到区政府去呢。看着,看着,我的身子就紧紧挨着你。你看,那才叫封建呢,父母要包办,媒婆要说亲,村干部随便捆人。啊啊,还是我们生在新社会里好,没有封建,男的女的坐在一起,没有人来捆。那天场子上真黑,天上星子都没有一颗。我记得你看着看着,就把手搂在我的腰上了。但你马上又怕烫似地要缩回手去,可叫我把你捉住了,还轻轻拍了你一下。搂着就搂着,我是你的女人,你是我的男人,又不是哪里来的野老公……你也就再没有松开我……

    “桂桂,桂桂!我们在一起,事事都合得来。因为你总是依着我,顺着我,听我的。你还讲我是你的司令官、女皇上哩。你都打了些什么蠢比方?看了几出老戏、新戏,就乱打比方。我也对你好,没有使过性子。那些年,我们脸都没有红过……可是我们也有烦心事,成亲六、七年了,还没有生崽娃……桂桂!我们多么想要一个崽娃啊!没有崽娃,我们两个再好再亲,也总是心里不满足,不落实,觉得不长久啊。崽娃才是我们树上结出的果子,身上掉下的肉啊。崽娃才能使我们永生永世在一起,不分离……为了这事,我常常背着你哭,你常常背着我唉声叹气。彼此的心情,其实都晓得,却又都装做没看见……也就是为了这事,我们后来才轻轻吵过几句,可隔壁邻居都没有听见。其实你也没有怪我。是我自己怪自己……后来我都有点迷信了。我想,大约是我们两个傻子厮亲厮敬,相好得过了头,把‘子路’都好断了……也该像别的人家那样,吵吵架,骂一骂……唉唉,桂桂呀,桂桂!你怎么不讲话?你总是皱着副眉头,有什么不高兴的?你是怪我不该卖米豆腐,不该起了那栋发灾的新楼屋?为这事,我们争了嘴,我还用筷子头戳了你一下,因为你竞想贱价卖掉它……”

    胡玉音在黑夜里奔跑着。她神志狂乱,思绪迷离。世界是昏昏糊糊的,她也是昏昏糊糊的。她都记不起回来的路上她坐没坐渡船,谁给她摆的渡。她跑啊,跑啊。她仿佛在追赶着前面的什么人。前面的那个人跑得真快,黎桂桂跑得真快,她怎么也追不到他的跟前去了。“桂桂!没良心的,你等等我!等等我!”她大喊大叫了起来,“我还有话和你讲,我的话还只讲了一小半,顶顶要紧的事都还没有和你打商量……”

    她身后,仿佛有人在追赶她,脚步响咚咚的,不晓得是鬼,还是人。她顾不上回过头去看,她追上自己的男人要紧。听人讲鬼走路是没有脚步声的,那就大约是人。他们还来追赶什么?胡玉音什么都没有了,什么都没有了!只剩下四两命。难道四两命都不放过,还要拿去批,拿去斗,拿去捆?我要和桂桂在一起,和桂桂在一起……你们就是捉到了我,捆住了我的手脚,我也会用牙齿咬断麻索、棕绳……

    她终于爬上了坟岗背。人家讲这里是一个鬼的世界,她一点都不怕。从古至今,镇上的子孙们在这里堆了上千座坟。好鬼,冤鬼,长寿的,短命的,恶的,善的,男的,女的,上天堂、下地狱的,都看中了这块风水宝地,都在这里找到了三尺黄土安息。

    “桂桂!你在哪里?你在哪——里——?”

    月黑风高,伸手不见五指。上千个土包包啊,分不清哪是旧坟,哪是新坟。

    “桂——桂!你在哪里?你答应我呀——,你的女人找你来了呀——!”

    胡玉音凄楚地叫喊着,声音拖得长长的,又尖又细。这声音使世界上的一切呼叫都黯然失色,就像黑暗里的绿色磷火,一闪一闪地在荒坟野地里飘忽……胡玉音一脚高,一脚低,在坟地里乱窜。她一路上都没有跌倒过,在这里却是跌了一跤又一跤跌得她都在坟坑里爬不起来了。仿佛永生永世就要睡在这坟坑里,……

    “芙蓉姐子!你不要喊了,不要找了,桂桂兄弟他不会答应你了!”

    不晓得过了多久,有人在坟坑里拉起了她。

    “你是哪个?你是哪个?”

    “我是哪个?你……都听不出来?”

    “你是人还是鬼?”

    “怎么讲呢?有时是鬼,有时是人!”

    “你、你……”

    “我是秦书田,秦癫子呀!”

    “你这个五类分子!快滚开!莫挨我,快滚开!”

    “我是为了你好,不怀半点歹意……芙蓉姐子,你千万千万,要想开些,要爱惜你自己,日子还长着呢……”

    “我不要你跑到这地方来怜惜我……昏天黑地的,你是坏分子,右派……”

    “姐子……黎桂桂被划成了新富农,你就是……”

    “你造谣!哪个是新富农?”

    “我不哄你……”

    “哈哈哈!我就是富农婆!卖米豆腐的富农婆!你这个坏人,你是想吓我,吓我?”

    “不是吓你,我讲的是真话,铁板上钉钉子,一点都不假。”

    “不假?”

    “乌龟不笑鳖,都在泥里歇。都是一样落难,一样造孽。”

    “天杀的……富农婆……姓秦的,都是你,都是你!我招亲的那晚上,你和那一大班妖精来反封建,坐喜歌堂……败了我的彩头,喜歌堂,发灾堂,害人堂……呜呜呜,呜呜呜,你何苦收集那些歌?何苦反封建?你害了自己一世还不够,还害了桂桂,还害了我……”

    蜡烛点火绿又青,烛火下面烛泪淋,
    蜡烛灭时干了泪,妹妹哭时哑了声。
    蜡烛点火绿又青,陪伴妹妹唱几声,
    唱起苦情心打颤,眼里插针泪水深……

    秦癫子真是个癫子,竟坐在坟堆上唱起他当年改编的大毒草《女歌堂》里的曲子来了。

    第三章 街巷深处(一九六九年)

    一 新风恶俗

    “四清”运动结束后,芙蓉镇从一个“资本主义的黑窝子”变成为一座“社会主义的战斗堡垒”。深刻的变化首先从窄窄的青石板街的“街容”上体现出来。街两边的铺面原先是一色的发黑的木板,现在离地两米以下,一律用石灰水刷成白色,加上朱红边框。每隔两个铺面就是一条仿宋体标语:“兴无灭资”、“农业学大寨”、“保卫‘四清’成果”、“革命加拚命,拚命干革命”。街头街尾则是几个“万岁”,遥相呼应。每家门口,都贴着同一种规格、同一号字体的对联:“走大寨道路”,“举大寨红旗”。所以整条青石板街,成了白底红字的标语街、对联街,做到了家家户户整齐划一。原先每逢天气晴和,街铺上空就互搭长竹竿,晾晒衣

    衫裙被,红红绿绿,纷纷扬扬如万国旗,亦算本镇一点风光,如今整肃街容,予以取缔。逢年过节,或是上级领导来视察,兄弟社队来取经,均由各家自备彩旗一面,斜插在各自临街的阁楼上,无风时低垂,有风时飘扬,造成一种运动胜利、成果丰硕的气氛。还有个规定,镇上人家一律不得养狗、养猫、养鸡、养兔、养蜂,叫做“五不养”,以保持街容整洁、安全,但每户可以养三只母鸡。对于养这三只母鸡的用途则没有明确规定,大约既可以当作“鸡屁股银行”换几个盐油钱,又好使上级干部下乡在镇上人家吃派饭时有两个荷包蛋。街上严禁设摊贩卖,摊贩改商从农,杜绝小本经营。

    以上是街容的革命化。更深刻的是人和人的关系的政治化。镇上制定了“治安保卫制度”,来客登记,外出请假,晚上基干民兵查夜。并在街头、街中、街尾三处,设有三个“检举揭发箱”,任何人都可以朝里边投入检举揭发材料,街坊邻居互相揭发可以不署名,并保护揭发人。知情不报者,与坏人同罪。检举有功者,记入“居民档案”,并给予一定的精神和物质奖励。“检举揭发箱”由专人定期开锁上锁。确立了检举揭发制度后,效果是十分显著的,每天天一落黑,家家铺面都及早关上大门,上床睡觉,节省灯油,全镇肃静。就是大白天,街坊邻居们也不再互相串门,免得祸从口出,被人检举,惹出是非倒霉。原先街坊们喜欢互赠吃食,讲究人缘、人情,如今批判了资产阶级人性论、人情味,只好互相竖起了觉悟的耳朵,睁大了雪亮的眼睛,警惕着左邻右舍的风吹草动。原先是“我为人人,人人为我”。如今是“人人防我,我防人人”。

    再者,如今镇上阶级阵线分明。经过无数次背靠背、面对面的大会、中会、小会和各种形式的政治排队,大家都懂得了:雇农的地位优于贫农,贫农的地位优于下中农,下中农的地位优于中农,中农的地位优于富裕中农,依此类推,三等九级。街坊邻居吵嘴,都要先估量一下对方的阶级高下,自己的成分优劣。只有十多岁的娃娃们不知利害,不肯就范。但经过几回鼻青额肿的教训后,才不再做超越父母社会级别的轻举妄为。小小年纪就晓得叹气:“唉,背霉!生在一个富裕中农家里,一开口人家就讲我爷老倌搞资本主义,想向地主富农看齐!”“你还不知足?你看看那些地富子女,从小就是狗崽子,缩得像乌龟脑壳!”“祖宗作恶,子孙报应,活该!”“唉,我爷老倌是个贫下中农就好了,这回参军就准有我哥的份!…‘你晓得?贫下中农里头也还有蛮多差别呢,政治历史清不清白,社会关系掺没掺杂,五服三代经不经得起查……”

    至于“干部历史真相大白”,就更是兴味无穷了。运动中工作组曾有个规定,就是每个干部都要向党组织和本单位革命群众交心,“过社会主义关”。比方原来大家对镇税务所所长都比较尊敬,是位打过游击的老同志。但他在交心时,讲出了自己出身在官僚地主家庭,参加游击队前和家里的一个使女通奸过,参加革命后再没有犯过类似的错误……天啊,税务所长原来是个这样的坏家伙,老实巴交的样子,玩女人是个老里手!下回他要催个什么税,老子先骂他个狗血喷头!比如镇供销社主任就在诉苦大会上啼啼哭哭,自己虽然出身贫苦,祖祖辈辈做长工,当牛马,但翻身忘本,解放初讨了个资本家的小姐做老婆,没保住穷苦人的本色,家庭和社会关系都复杂化,又已经矮子上楼梯样的生了五个娃娃,想离婚都离不脱……啊呀,供销社主任也不是个好东西,资本家的女婿,还管我们镇上的商店哩!下回若还吵架,就指着鼻子骂他资本家的代理人、狗腿子!再比如镇信用社会计,在一次交心会上讲到自己虽然是个城市贫民出身,但解放前被抓过壮丁,当过三年伪兵。于是镇上的人们就给他起了个野名:伪兵会计……如此等等。镇上有人编了个歌谣唱:“干部交心剥画皮,没有几个好东西,活农民管死地主,活地主管我和你!”

    芙蓉镇的圩期也有变化,从五天圩改成了星期圩,逢礼拜天,便利本镇及附近厂矿职工安排生活。至于这礼拜天是怎么来的,合不合乎革命化的要求,因镇上过去只信佛经而不知有《圣经》,因而无人深究。倒是有人认为,礼拜天全世界都通用,采用这一圩期,有利于今后世界大同。镇上专门成立了一个圩场治安委员会,由“四清”入党、并担任了本镇大队党支书的王秋赦兼主任。圩场治安委员会以卖米豆腐发家的新富农分子胡玉音为黑典型,进行宣传教育,严密注视着资本主义的风吹草动。圩场治安委员会下拥有十位佩黄袖章的治安员,负责打击投机倒把,查缴私人高价出售的农副产品、山货水产,没收国家规定不准上市的一、二、三类统购统销物资。这一来,圩场治安委员会的办公室里,每一圩都要堆放着些查缴、没收来的物品,如鲜菇、活鱼、石蛙、兽肉之类。这类东西又不能上交国库,去增加国民经济总收入。开初时确也烂掉、臭掉一些,颇为浪费。后来渐渐地悟出了一个办法:凡查缴、没收上来的违禁物资,一律做劣质次品削价处理。这一来一举三得:避免了浪费;圩场治安委员会有了一点经济收入做活动经费;每位佩黄袖章的成员在一圩奔走争吵之后,分点时鲜山货、水产改善生活。过去当乡丁还有点草鞋钱呢。当然王秋赦主任也没有忘记,每圩都从收缴上来的物资中送些到公社食堂去,给李国香书记改善生活。后来圩场管理委员会更名为“民兵小分队”,威信就更加高,权力就更加大。资本主义的浮头鱼们,贩卖山货、水产的小生产者们,见了民兵小分队就和老鼠见了猫一样,恨不得化作土行孙钻入地缝缝里去躲过“对资产阶级的全面专政”。但民兵小分队的队员们有时黄袖章并不佩在手臂上,而是装在口袋里搞微服私访,一当拿着了赃物,才把黄袖章拿出来在你眼前一晃:哈哈,狐狸再狡猾逃不过猎人的眼睛,资本主义再隐蔽逃不出小分队的手掌心!“违禁物品”被查缴、没收后,物主一般不敢吭声,一顽抗就扣人,打电话通知你所在的生产队派民兵来接回……久而久之,有些觉悟不高、思想落后的山里人,就背地里喊出了一个外号:“公养土匪”,真是脑后长了反骨呢。

    芙蓉镇上还有一项小小的革命化措施值得一提,就是罚铁帽右派秦书田和新富农寡婆胡玉音每天清早,在革命群众起床之前,打扫一次青石板街。

    然而历史是严峻的。历史并不是个任人打扮的小姑娘。当代的中国历史常有神来之笔出奇制胜,有时甚至开点当代风云人物的玩笑呢。

    芙蓉镇被列为全县乡镇革命化的典型,李国香则成为“活学活用政治标兵”。不久,因革命需要年轻有为的女闯将,她被提拔担任了县委常委兼公社书记。为了巩固“四清”成果,她大部分时间仍住在芙蓉镇供销社的高围墙里。

    可是没出半年,她在县常委、公社书记的靠背椅上屁股还没有坐热,一场更为迅猛的大运动,洪水一般铺天泼地而来。李国香惊惶不安了几天,但立即就站到了这场新的大运动的前列,领导运动主动积极。首先在芙蓉镇抓出了税务所长等几个“小邓拓”,把“小邓拓”和五类分子们串在一起,绕着全镇大队进行了好几次“牛鬼蛇神大游斗”。但她还是没有把本公社、本镇运动的舵把稳,还是有人跳出来捣乱、造反,糊她的大字报。她查出了供销社主任、信用社会计是“黑后台”,就又立即组织王秋赦这些革命干部、群众反击了过去,抓出了好几个“假左派,真右派”。你死我活、如火如荼的阶级大搏斗啊,谁稍事犹豫,谁心慈手软,谁就活该被打翻在地,被踏上一万只脚。可是,在全国上上下下大串联、煽风点火的红卫兵小将,就像天兵天将似地突然出现在芙蓉镇上。真是无法无天啊,仗着中央首长支持他们,踢开党委闹革命,把小小的芙蓉镇也闹了个天翻地覆。口号是“右派不臭,左派不香”。他们竟然对李国香进行了一次突击搜查。不搜则已,一搜叫小将们傻了眼,红了脸。没有结过婚的女书记的床上竟有几件男子汉用的不可言传的东西。小将们接着怒气填膺,把一双破鞋挂在李国香颈脖上,游街示众!

    那天随同李国香一起挂了黑牌游街的,有全镇的黑五类。当镇上的五类分子们发现李国香也加入了他们牛鬼蛇神的队伍时,那一颗颗低垂着的花岗岩脑壳,那一双双盯着脚下青石板的贼溜溜的眼睛,鬼晓得是在想些什么,呈现出一些什么样的表情。只有铁帽右派秦书田回过头来望了李国香一眼。四目相视,立即碰出了火星子来。秦书田射过来的目光里含有嘲弄、讥讽的针刺;李国香回击过去的目光是寒光闪闪的利剑。只有两秒钟,秦书田就把目光缩回去了,转过身子继续朝前走了。真正的阶级敌人、右派分子退却了,因为红卫兵的铜头牛皮带已经呼啸了过来。李国香好伤心啊,颈脖上除了黑牌子还吊了一双破鞋……

    “红卫兵小将、战友、同志!肯定是闹误会了。”她一次又一次地找红卫兵们申辩、解释,“我怎么会和他们五类分子、牛鬼蛇神搞到一起?我从来就没有当过右派。一九五七年,我在县商业局搞专案抓右派。五九年,我参加县委反右倾。六四、六五两年,我是工作组组长,揪五类分子,抓新富农,斗老右派……我从参加革命工作起,就是个左派,真正的左派!所以小将、战友、同志们,你们抓我,肯定是闹误会了,是新左派抓了老左派……”

    “哈哈!她妈的,破鞋!不要脸!你还有口讲什么左派?我们批斗反革命修正主义分子,是新左派抓了你老左派?恶毒诬蔑,疯狂反扑!”

    红卫兵莽莽撞撞,头脑膨胀,一口北方腔,用牛皮带抽得李国香这个自封的“真正的左派”有口难言,一时无从申辩。

    那是什么样的年月?一切真善美和假恶丑、是与非、红与黑全都颠颠倒倒光怪陆离的年月,牛肝猪肺、狼心狗肚一锅煎炒、蒸熬的年月。正义含垢忍辱、苟且偷生,派性应运而生、风火狂阔。

    这时芙蓉河上正在架设着一座石拱大桥,芙蓉镇快要通汽车了。五类分子、牛鬼蛇神都被押到拱桥工地上去出义务工,抬片石,筛沙子。工地上供一顿中饭。李国香死也不肯和新富农婆胡玉音共一个铁筛筛沙子,更不肯和老右派秦书田共一根扁担抬片石。她宁可咬着牙齿搞单干,背片石上脚手架。她时时刻刻注意着自己的身分,即便在坏人堆里,黑鬼群中,自己也是个上等人。总有一天会澄清自己的政治分野、左右派别。

    中饭按规定每人三两,这是牛鬼蛇神的定量。太阳大,劳动强度大,汗水流得多,三两米加一勺子辣椒茄子或是煮南瓜怎么够?下午干活又不能偷懒,黑鬼们纷纷要求加饭。只有胡玉音历来食量小,三两米尽够了。李国香则因过去很少参加体力劳动,如今是饭量跟着劳动量猛增,吃下三两米还觉得肚子饿得慌。监督他们劳动的红卫兵小将,想出了一个惩治这些社会渣滓的办法:加饭是可以,但必须从食堂工棚门口到食堂窗口,大约十五米的距离,跳一段“黑鬼舞”,并把“黑鬼舞”的基本动作、姿态要领讲解了一遍。

    “秦书田!划右派前你当过州立中学的音体教员,又做过歌舞团的编导。现在,由你来给你的同类们做一次示范。”

    秦书田这铁帽右派得到小将们的命令,立即站到了工棚门口。对于这一类的表演,他从来不迟疑,还显出一种既叫人嬉笑又令人讨厌的积极主动。他把“黑鬼舞”的基本动作、要领重新问了一遍,又在心里默想了一回,便看也不看大家一眼,跳了起来。但见他:一手举着饭钵,一手举着筷子,双手交叉来回晃动,张开双膝半蹲下身子,两脚一左一右地向前跳跃,嘴里则合着手足动作的节拍,喊着:“牛鬼蛇神加钵饭,牛鬼蛇神加钵饭,牛鬼蛇神加钵饭……”

    这可把红卫兵小将们乐坏了,拍着巴掌大声叫好。围观的社员们也忍不住哈哈大笑。“秦癫子,再来一次!’,“秦癫子,你每天跳三次,就算改造好了,给你摘帽!”

    五类分子们却叫秦癫子的“舞蹈”吓傻了。有的脸色发青,像刚从坟地里爬出来的;有的则低下头转过身子,生怕被小将们或是革命群众点了名,像秦癫子那样地去跳“黑鬼舞”。但谁都没有张惶失措,更没有哭。这些家伙是茅坑里的石头,又硬又臭,早已经适应惯了各式各样的侮辱了。他们哪里还晓得人间尚有“羞耻”二字!

    食堂大师傅没有笑,而是看呆了。啊啊,“文化大革命”,有红宝书、语录歌、“老三篇”天天读、破“四旧”、打菩萨、倒庙宇、抄家搜查,还有这种“黑鬼舞”……这就是新文化?这就是新思想,新风俗,新习惯?大师傅大约是心肠还没有铁硬,思想还没有“非常无产阶级化”,他在往秦书田的钵子里头扒饭时,双手在发抖,眼里有泪花。

    这天,李国香的肚子实在太饿了。她等红卫兵小将和革命群众笑闹的高潮过去后,就端了空饭钵径直朝窗口走去。“她就像要以此举动来表示自己和真正的右派、黑五类们相区别似的。可是红卫兵小将们偏偏不放过她,偏偏要把她归入牛鬼蛇神的行列:“站住!你哪里去?”
    “你这破鞋!向后——转,目标门口,正步走!’,一个女红卫兵手里呼呼地挥转着一根宽皮带,在后边逼住了她。她怕挨打,赶快退到了门边,脸上挤出了几丝丝笑容:“小将、战友、同志!我、我饱了,不加饭了!”
    “鬼跟你是‘同志’,‘战友’!饱了?你饱了?你刚才为什么那样威风?你向谁示威?向谁挑战?你以为你比旁的牛鬼蛇神高贵?现在,不管你加不加饭,我们都要勒令你,从这门口,向那窗口,学秦右派的样,跳一段‘黑鬼舞’给大家看看!”
    “对!就要她这‘战友’跳!就要她这‘战友’跳!”

    “你看她瓜子脸,水蛇腰,手长脚长,身段苗条,是个跳舞的料子!”

    “她不跳就叫她爬,爬一段也可以!”

    红卫兵小将们叫闹了起来。不知为什么,这些外地来的小闯将,这些好玩恶作剧的“飞天蜈蚣”,特别看不起这个女人,也特别憎恨这个女人。

    “小将、战友、同志们,我实在不会跳,我从来没有跳过舞……你们不要发火,不要用皮带抽,我爬,我爬,爬到那窗口下……”

    李国香含着辛酸的泪水,爬了下去,手脚并用,像一条狗。

    连续地向左转,事物走向了自己的反面。以整人为乐事者,后来自己也被整。佛家叫“因果报应”,“循环转替”。

    一九六八年底县革命委员会成立时,李国香的政治派属问题终于搞清楚了,恢复了她一贯就是革命左派的身分,被结合为县革委常委、公社革委会主任。她原是不应当有什么怨言、牢骚的。她自己不就在历次政治运动的动员会上指出过:在运动初期,广大群众刚刚发动起来的时候,是难免有点过火行动的,问题在于如何控制、引导。不能去吹冷风,泼冷水。何况这是场“史无前例”的“无产阶级文化大革命”,更是难免出现“左派打左派、好人打好人”之类的小小偏差呢。

    二“传经佳话”

    奇特的年代才有的奇特的事。但这些事的确在神州大地、天南海北发生过,而且是那样的庄严、神圣、肃穆。新的时代里降生的读者们一定会觉得不可思议,视为异端邪说。然而这正是我们国家的一页伤心史里的支流末节。

    芙蓉镇大队党支部书记王秋赦参加地、县农业参观团,迢迢千里从北方取经回来,这在偏僻的五岭山脉腹地里真是算得一件石破天惊的大事。听说参观团从县里出发到地区所在地集中时,坐的是扎了红绸、插了彩旗的专车,一路上都是鞭炮锣鼓相送。从地区所在地的火车站出发时更是举行了隆重的欢送仪式。来去都是坐的专列。什么叫专车、专列?山镇居民们没有出过远门,只好又去询问铁帽右派秦书田。铁帽右派喝劳动人民血汗读了那么多书,见了那么多世面,好像什么都懂。他有责任、有义务回答大家的问题。他说,专车一般是指专供首长单独乘坐的小卧车,也泛指重要会议包乘的大轿车。过去讲看老爷看轿子,轿子有爵位品级,从龙凤御驾到一品当朝,到七品县官,都有讲究。如今看首长看车子,也分三等九级。县一级领导坐的是黄布篷篷的吉普车。“听听这家伙,茅坑里的石头又臭又硬!问他个事,他就以讲授知识为名,总是不忘攻击社会主义!”有人大声斥责,及时指出。“不懂的,你们又爱问。我一讲,又是诬蔑加攻击。唉唉,今后还是你们不懂的莫问,我懂的莫讲,免得祸从口出……”秦书田苦着眉眼,做出一副可怜巴巴的相。“那专列呢?哪样的车叫专列?”还是有人问。秦书田只好又回答,专列是火车,一列客车十一节车厢本来可以坐一千多旅客。为了保证像林副统帅这些伟人的行动方便和安全,这种编成专列的火车只坐首长和工作人员、医务人员、警卫人员。可以在火车上办公、开会、食宿。车站道口、交通枢纽、桥梁隧洞,都为它开绿灯。来往车辆都要让路、回避……后来把某些重要参观团、会议代表包乘的列车,也称为专列。所以这一回,本镇大队支书王秋赦去北方取农业真经,坐上了专车、专列,就不是一般的规格,享受到了省革委头头一级的待遇呢。

    芙蓉镇上的居民们还听说,王秋赦支书在地区一下火车,就面对着前来欢迎参观团取经归来的革命群众,面对着鼓乐鞭炮彩旗,手拿袖珍红宝书,举平头顶不停地晃动着;他这动作,大家一看就晓得是从电影里向副统帅学下来的。他嘴里还琅琅有声、合着节拍地喊着:“红太阳,万岁!红太阳,万岁!红太阳,万万岁!……”据说县革委派了专车到火车站去迎接。他坐上吉普车后,在一百多里的归途中,嘴里也一直呼喊着“万岁,万万岁”。吉普车开进县革委会,主任、副主任来接见,握手,他口里轻轻呼喊的也是“万岁,万万岁”。在县革委吃过中饭,吉普车一直把他送到芙蓉镇,口里也没离“万岁,万万岁”。只是他的声音已经沙哑了,伤了风。

    冬天的日头短。天黑时分,吊脚楼里灯火通明。本镇大队的干部、社员们,有来请安道乏的,有来汇报情况、请示工作的,也有纯粹是来凑凑热闹、看个究竟的。人们走了一批又来一批。还有户人家因女儿等着大队推荐招工,把一大缸新烤的红薯烧酒和几样下酒菜都贡献了出来,摆在吊脚楼火塘边上的八仙桌上,给王支书接风洗尘。王支书也兴致极高,忘掉了旅途劳顿,凡本镇干部、贫下中农来看望他的,他一定让陪他喝上一小杯红薯酒。至于中农、富裕中农,他就只笑着点点头,算打个招呼。于是,够得上喝红薯烧酒资格的人们,就纷纷举起酒杯,借花献佛,热烈庆贺王支书北方取经胜利归来:“王支书!听讲你老人家坐了专车又坐专列,还吃了专灶,上下几千里,来去一个月,只差没坐飞机了!”

    “是啊,是啊,这回只差没有坐飞机。不过,听讲坐飞机不安全,怕三个轮子放不下。如今领导人都兴坐专车、专列……”

    “你老人家这回出远门,见了大世面,取经得宝,可要给我们传达传达!”

    “人家是农业的红旗,全国都要学习,经验一套又一套。我学习回来,当然要给大家传经送宝,把我们芙蓉镇也办成一个典型!”

    “一朝一法。从前唐僧骑匹白马,到西天取经,只带了孙悟空、猪悟能、沙悟净三个徒弟,经了九九八十一难……如今我们王支书去北方取经,是机械化开路,而且成千上万的人都去,五湖四海的人都去……”

    “什么?什么?你老伯喝了红薯烧酒讲酒话,怎么拿唐僧上西天取经来打比,那是封建迷信,我们这是农业革命!你这话要叫上级听去了,嘿嘿……”

    “王支书,天下那么大,我们芙蓉镇地方只怕算片小指甲……”

    “天下大,我们芙蓉镇也不小,而且很重要。这回全县去取经的人里,就只三个大队一级的领导……”

    对于这些热情的问候、赞誉,王秋赦笑眯眯地品着红薯酒,嚼着香喷喷的油炸花生米,沙哑着喉咙一一予以回答。

    “王支书,听讲从全国各地,每天都有上万人到那地方去参观学习?”这时,有个青皮后生插进来问。

    “对啊,天南海北,云南、新疆、西藏的少数民族,都去学习。学校、礼堂、招待所都住得满满登登的。光那招待所,就恐怕有我们芙蓉镇青石板街这样长。”王秋赦回答。

    “那,他们还用不用化肥?”青皮后生又问。

    “全国的典型,头面红旗,国家当然会保证供应。”王秋赦不晓得这青皮后生问话的用意,“话讲回来,人家主要依靠自力更生……”

    “我算了一下,每天一万人参观、取经、学习,就算每人只住一晚,每人屙一次屎、撒两泡尿,一万人每天要留下多少人粪尿?那大队才八、九百亩土地,只怕肥过了头,会清风倒伏,不结谷子只长苗,哪里还要什么化学肥料!”

    青皮后生的话,引得吊脚楼里的人都哈哈大笑。

    王支书正要正颜厉色,把这出身虽好但思想不正的青皮后生狠狠教训一顿,却见大队秘书黎满庚进楼来了。依黎满庚的错误,“四清”运动中工作组本要开除他的党籍,后因他主动交出了替新富农婆胡玉音窝藏的一千五百元赃款,认错、认罪态度较好,才受到了宽大处理,保留了党籍,降为大队秘书。

    “黎秘书!怎么这时刻才来?被你婆娘拖得脱不开身?你再不来,我就要打发人去请啦!”王秋赦满面红光,并不起身,拿腔拿调地说。他指了指旁边的一张凳子,倒了一杯红薯酒:“我到北方去了个把月,镇里没有出过什么事吧?”

    黎满庚如今成了王秋赦的下级。可他从前是十分看不起王秋赦这吊脚楼主的。所以这位置一上一下的变动,他总感到不舒服、不适应。但他又不能不当干部。他已经不是十多年前的那个头脑单纯的复员军人了,而是个有家有室的人。他向王支书简单汇报了一下本镇大队近一月来的工作,比如各生产队举行“天天读”的情况啦,有多少社员能背诵“老三篇”了啦,村头路口,又刷写下了多少条“最高指示”啦,画下了多少幅光辉形象啦,等等。

    “可是,我看镇里群众的思想有些乱啊。”王秋赦严肃地看了黎满庚一眼,“突出政治不够!刚才就有人在这里把我到北方取经,比作唐僧去西天取经,气人不气人?还有人讲全国的农业红旗不需要买化学肥料,每天一万多人参观学习,拉下的屎尿就会把苞谷、麦子肥倒,好笑不好笑?这话虽然都是从贫下中农的嘴巴里讲出来的,但有没有五类分子、阶级敌人在背后煽阴风?这是阶级斗争的新动向!我们不斗阶级敌人,阶级敌人可在斗我们。”

    王秋赦讲一句,黎满庚点一下头。陪坐在他们身边的人则有的跟着点头,有的则挤眉眨眼暗自发笑。

    “支书老王,你这回取了什么宝贵经验回来?”黎满庚毕竟听不惯王秋赦的这本阶级斗争歌诀,便岔开话题问。

    “什么经?丰富得很,够我们这些人几辈子受用。其中有一项,是大家从没听过、见过的!我要不是这回去开了眼界,硬是做梦都想不出呢!”王秋赦又呷了一口红薯酒说。

    “呵呵,王支书,快讲把大家听听!”黎满庚陪着端了端酒杯,嚼了两粒花生米。

    “叫‘三忠于’、‘四无限’,整整一套仪式!”说着,王秋赦站起身来,双目炯炯,兴致勃勃,右手从口袋里拿出了一本红宝书,紧贴着放到胸口上,仿佛立时进入到了一个神圣的境界,连他头上都仿佛显出了一圈圣灵的光环。“人家的经验干条万条,突出政治是第一条,一早一晚都要举行仪式,叫做‘早请示’、‘晚汇报’。火车上、汽车站、机关、学校都在搞……”

    王秋赦的话,立且时巴满屋的人都吸引住了。这真是山里人见所未见,闻所未闻。

    “你这本真经,安排什么时候给干部群众贯彻、传达?”黎满庚也兴致颇高地问。

    “革命不等人,传达不过夜!我看这回也不搞‘先党内后党外’、‘先干部后群众’那老一套了。”王秋赦沙着喉咙,当机立断地对黎满庚布置开了工作,“老黎,你去大队部放广播,立即在圩场坪里开大会,社员群众都要带红宝书,五类分子和他们的家属不准参加!”

    “你路上辛苦了,又刚喝了酒,是不是改天……”黎满庚迟疑着没有动身。

    “黎秘书!政治大于一切,先于一切!传达不过夜。通知每个人都带红宝书!”王秋赦眼睛直瞪着黎满庚,威严地重复着自己的命令。

    一个多钟头后,圩场坪古老的戏台上,悬挂着雪白通亮的煤气灯。戏台下是一片黑压压的人头,一片星星点点的火光。那是社员群众在吸着烟斗、纸烟,或是“喇叭筒”。近些年来,山里人也习惯了闻风而动,不分白日黑夜,召之即来,参加各种紧急、重要的群众大会,举行各种热烈欢呼、衷心拥护某篇“两报一刊”社论发表、某项“最新指示”下达的庆祝游行……王秋赦支书在几位大队干部的随同下,登上戏台,在两排长条凳上一一就座。这是大队一级规格的主席台。黎满庚秘书则站在煤气灯下,一个一个生产队地喊着队长们的名字,清点参加大会的队别人数。直到路途最远的一个生产队的人马都进了场,黎秘书才宣布大会开始,由地、县农业参观团成员、大队党支部王秋赦书记给贫下中农、革命群众传经授宝。

    在一派热烈的掌声中,王秋赦气度庄重地站到了台前,矜持地朝大家招了招手,点了点头。直等巴掌声停歇下来后,他才以沙哑的声音,开口说话:“贫下中农同志们,革命的同志们!听了广播通知,大家来开大会,你们都带了红宝书来没有?”

    出语不凡,台下立即响起了一片摸索口袋的窸窣声。接着有很多人响亮地回答:“带了!带了!”“我们还是大语录本!”“强烈要求大队给每个社员发本袖珍本!”

    “好!现在,带了红宝书的,都请举起来!”王秋赦目光扫视着整个会场。社员们纷纷把红宝书举过了头顶。“好!这就是红海洋!今后,我们要养成习惯,无论出工收工,大会小会,红宝书都要随身带!这叫做身不离红宝书,心不离红太阳!唱歌要唱语录歌,读书要读红宝书!”

    王支书的几句开场白,一下子使得整个会场鸦雀无声,呈现出一种庄严肃穆的气氛。

    “这次,我光荣地参加了地、县农业参观团,到北方取经,上下几千里,来回个多月。人家是全国的红旗,农业的样板。五湖四海、国内国外都去学习。人家的宝贵经验一套又一套,千条又万条。比方记政治工分,办政治夜校。比方贫下中农管学校、管供销、管卫生、管文化、管体育,取消自留地,取消集市贸易等等。千条万条,突出政治第一条!阶级斗争是根本,‘老三篇’天天读是关键,忠于领袖是标准。这些经验里头,最最重要的一项,是六个字:”三忠于‘,’四无限‘。什么叫做’三忠于‘、’四无限‘?我们芙蓉镇是个大山里的深沟沟,大家都没有听过,更没有见过。我这回取了经回来,可以讲给大家听,做给大家看,大家都要学。学会了都要照着做,要搞’早请示‘、’晚汇报‘。“

    社员们越听越新鲜,也越听越觉得神奇。王秋赦讲到这里,停了一停。他回过头去看了一眼戏台的正墙上空无一物,便十分气愤地责问黎满庚:“怎么搞的?台上为什么不挂光辉形象?快去取一幅光辉形象来!小学校里就有,越快越好!当秘书的人,这种大事都不预先准备好!”

    黎满庚晓得事关重大,立即纵身跳下戏台,奔往小学校去了。王秋赦则继续沙哑着嗓音,详详细细地给大家讲解着“三忠于”、“四无限”的内容,讲解着“早请示”、“晚汇报”的仪式程序。不一会儿,黎满庚就一头汗、一身灰、气喘吁吁地双手举着一幅光辉形象回来了。因为现场等着急用,又临时找不到浆糊、图钉,王秋赦就命黎满庚双手举着光辉形象,规规矩矩、恭恭敬敬地在戏台中央站定。

    “现在,请同志们都手捧红宝书,面向红太阳,统统站起来!”王秋赦大声宣布。整个会场的人立即依他所言,站了起来。

    王秋赦接着做开了示范的姿态、动作,但见他立正站好,挺胸抬头,双目平视,看着远方,左手下垂,右手则手臂半屈,握着红宝书紧贴在胸口上,然后侧身四十五度,斜对着光辉形象,嘴里朗诵道:“首先,敬祝我们最最敬爱的伟大领袖、伟大导师、伟大统帅、伟大舵手,我们心中最红最红的红太阳,万寿无疆!万寿无疆!万寿无疆!敬祝林副统帅身体健康!永远健康!永远健康!”

    当王秋赦朗诵到“万寿无疆、万寿无疆”、“永远健康、永远健康”时,他手里的红宝书便举平头顶,打着节拍似地来回晃动,来回晃动。……王秋赦在向群众传授了这套崇拜仪式之后,真是豪情澎湃,激动万分,喉咙嘶哑,热泪盈眶。他觉得自己无比高大,无比自豪,无比有力量。他就像个千年修炼、一朝得道的圣徒,沉湎在自己的无与伦比的幸福、喜悦里。这时刻,你就是叫他过刀山,下火海,抛头颅,洒热血,他都会在所不辞……接着他还发表了热情的讲演,号召贫下中农、革命群众、干部立即行动起来,家家户户做忠字牌,设宝书台。每个生产队都要搞“早请示”“晚汇报”,为把芙蓉镇大队办成红彤彤、亮堂堂的革命化大学校而努力……这回可是苦了黎满庚,他举着光辉形象,手痛了,腿酸了,可一动都不敢动:忠不忠,看行动。

    芙蓉镇大队支书王秋赦从北方取回的这本真经,不几天就由公社革筹小组汇报给了县革筹领导小组。县革筹负责人政治嗅觉十分灵敏,懂得这是“无产阶级文化大革命”中涌现出来的最新事物,谁要置之不理谁该倒大霉、受大罪。于是立即由县革筹做出决定,把王秋赦提拔为全县活学活用标兵,首先请到县革筹机关来讲用、传授“早请示”“晚汇报”仪式。接着又派出吉普专车一辆,配上三用机,到全县各条战线和各区、社去讲用,去传经授宝。王秋赦一跃而成为全县妇孺皆知、有口皆碑的人物……但这时,他头脑膨胀,忘乎所以,加上文化水平、政治阅历有限,估错了形势,他竟在各地讲用时,鹦鹉学舌地声讨走资派,连汤带水地批判开了业已靠边站了的原县委书记杨民高和原公社书记李国香……这一着棋,在吊脚楼主后来的政治生涯中造成了恶果。此是后话。

    写到这里,笔者要申明一句:中国大地上出现的这场现代迷信的洪水,是历史的产物,几千年封建愚昧的变态、变种。不能简单地归责于某一位革命领袖。不要超越特定的历史环境去大兴魏晋之风,高谈阔论。需要的是深入细致的、冷静客观的研究,找出病根,以图根治。至于现代迷信的各种形式究竟始于何年何月,何州何府,倒不一定去做烦琐考证。芙蓉镇大队吊脚楼主王秋赦表演出来的一鳞半爪,权且留作质疑。

    三 醉眼看世情

    “北方大兵”谷燕山,如今成了芙蓉镇有名的“醉汉”。皆因那一年,为了查实他盗卖一万斤国库粮食的犯罪动机,也是为了证实他和新富农分子胡玉音是否长期私通鬼混,工作组经请示有关部门同意,在县人民医院对他进行了一次体格检查。这无异于受了一次刑罚。多少年来,老谷渴想成家立室,品尝天伦乐趣,都没有付出这个代价。这回是身不由己,劫数难逃。在一间雪白的屋子里,一间好像满世界的阳光都聚集在一起的、亮得眼睛都睁不开的屋子里,命令他赤身裸体,“暴露在光天化日之下”。由着一大群穿着白大褂、戴着大口罩的人们(后来他听说还有卫校实习的男女学生),挨着个儿来低着头看看,摸摸,捏捏,然后交换着眼色(各种各样的眼色啊)……他就像一匹被阉掉了的公马似地一动不动地躺在那里,浑身起着鸡皮疙瘩,冒着冷汗,打着冷颤。他像失去了知觉似地闭上眼睛,脑子里是一片冷寂的空白……平津战役时在天津附近,他被傅作义的部下射中了,大腿上流着血,棉裤都浸透了,他以为自己要死了,要与这行将胜利、解放的土地告别了,他脑壳里也是一片冷寂的空白……和这次一样。那一次他被战友救活了,没有死。在一个老大娘家养了四十几天伤,就又重返了部队。这一次当然也不会死……这次又是被谁的子弹射中的?谁的子弹?又是一个什么样的战场?反修防修,灭资兴无,党不变修,国不变色,千百万人头不落地。所以人人都要过关,人人都要从灵魂到肉体,进行一次由上而下、由表及里的检查。这样的战场,比过去拿枪打敌人要深广、复杂,也玄妙得多啦……不知过了多久,一个男护士朝他走来,叫他到外间去穿上衣服。门敞开着。他听见那些白大褂们在做着科学结论:“此人已丧失男性功能”。有个稚嫩的声音在轻声问(大约是个奶气未尽的卫校实习生):“他是不是阴阳人?有时变成女的,有时变成男的?”白大褂们就像听到了一句妙不可言的喜剧台词似地哈哈大笑了起来。笑声震得玻璃门窗都在沙沙作响。谷燕山真恨不得老天爷立即发生一次强级地震,把这些笑声连同自己都一起毁灭。

    工作组呈报县委,鉴于谷燕山严重丧失阶级立场,长期助长乡镇资本主义势力,情节恶劣,影响极坏,建议开除他的党籍、于籍,清洗回老家劳动。但县委的一些老同志念及他是个南下干部,在这之前没有犯过别的错误,这次虽然认错态度不好,检讨不深刻,但还是要给出路,才决定给予党内严重警告、降薪一级处分,以观后效。

    不久后,上级给芙蓉镇粮站派来了一个新的“一把手”。谷燕山虽然未被宣布免职,但实际上还是没有“下楼”。好在他本来就在楼上住着,早习惯了,也没有自杀。

    无官一身轻。第二年就来了雨急风狂、浊浪滔天的“文化大革命”。谷燕山百事不探,借酒浇愁,逍遥于运动之外。他经常喝得半醉半醒,给镇上的小娃娃们讲故事,也尽是些“酒话”。什么青梅煮酒论英雄,关公杯酒斩华雄啦;花和尚醉打山门,拿吃剩的狗肉往小和尚嘴巴上涂啦;武松醉卧景阳岗,碰上了白额大虫啦;吴用智取生辰纲是在酒里放了蒙汗药啦;宋江喝醉了酒在浔阳楼题反诗啦,等等。古代的英雄传奇,大都离不开一个酒字,所以他讲也讲不完,娃娃们听也听不厌,也没有揭发他“贩卖封、资、修的黑货”。

    这年冬天,谷燕山听说大队秘书黎满庚的女人“五爪辣”烤出了一坛子点得燃火的苞谷烧酒,又养了一条十几斤重的黑狗,就在一个大雪纷飞的晚上,来到黎满庚家,一手交出六十块钱,要买下这坛子酒和这条黑狗,当夜就在黎家来个开怀痛饮,尽醉方休。而且由他作东,请黎满庚作陪。黎满庚近些年来也是倒霉,在吊脚楼主王秋赦手下当一名秘书,跑脚办事,听话受气。于是两人立即动手,用一个旧麻袋把黑狗装了,抬到芙蓉河边的浅水滩里,按入水中,将黑狗活活淹死。然后提回屋来,将生石灰撒在黑狗身上揉搓退毛,不一会儿,黑狗就变成一条白白胖胖的肉狗了。立即架锅生火,把狗肉剁成三指大一块,先用茶油煎炒,再配上五香八角炖烂……

    雪天打狗,历来为五岭山区人家一件美事,大人小孩无不雀跃鼓舞。正好这晚上黎满庚女人“五爪辣”又带着四个妹儿回娘家去了,任凭两条汉子胡喝一气,无人劝阻。谷燕山和黎满庚面对面地紧吃慢喝,来了豪兴。一个说,大兵哥,今晚上一定把你老酒桶灌醉;一个说,小老表,今晚上非敲烂你的酒坛子不可。开始他们用酒碗,嫌不过瘾,就换茶杯,又不过瘾,干脆换成饭碗。

    “干!娘的干!老子这大半辈子还从来没有真醉过。自己也不晓得自己的酒量究竟有多大!”老谷举着酒碗,和黎满庚碰了碰碗,就一仰脖子咕嘟咕嘟喝干了底。

    “喝起,对,喝起!我黎满庚这十多年,一步棋走错,就步步走错……都是为了一个女人,最毒妇人心……喝起!这坛子烧酒算老子请客!”黎满庚喝干了酒,把空碗重重地朝桌上一礅。

    “女人?女人也分几姓几等。应该讲,天底下最心好的是女人,最歹毒的也是女人……你不要狗腿三斤,牛腿三斤,鸡把子也是三斤!来,筛酒,筛酒!,谷燕山把空碗伸了过去。

    其时,两人都还只半醉半醒。黎满庚觉得自己差点就乱说三干了,连忙收了口。谷燕山则望着他,心里暗自好笑,这小子空口讲大话,搞浮夸。他明明已经收过了六十块钱,却夸口“这坛子烧酒算老子请客”!龟儿子,如今是谷大爷请你的客,谷大爷才是你老子!

    他们一人一碗,相劝相敬,又互不相让地喝了下去。渐渐地,两人都觉得身子轻飘了起来,却又浑身都是力气,兴致极高,信心极大,仿佛整个世界都被他们踩到了脚下,被他们占有了似的。他们开始举起筷子,夹起肥狗肉朝对方的嘴巴里塞:“老谷!我的大兵哥,这一块,你他妈的就是人肉,都、都要给我他妈的吃、吃下去!”

    “满庚!我的小老表!如今有的人,心肠比铁硬,手脚比老虎爪子还狠!他们是吃得下人肉啊!……可、可是上级,上级就看得起这号人,器重这号人……人无良心,卵无骨头……这就叫革命?叫斗争?”

    “革命革命,六亲不认!斗争斗争,横下一条心……”

    “哈哈哈,妙妙妙!干杯,干杯!”

    两人越喝越对路,越喝越来劲。

    “满庚!你讲讲,李国香那婆娘,算不算个好货?一个饮食店小经理,摇身一变,变成了工作组长,把我们一个好端端的芙蓉镇,搞得猫弹狗跳,人畜不宁!又摇、摇身一变,当上了县常委、公社书记……真不懂她身上的哪块肉,那样子吃香……搭帮红卫兵无法无天,在她颈脖上挂了破鞋,游街示众……”

    谷燕山酒力攻心,怒气冲天,站起身子晃了几晃,一边叫骂,一边拳头重重地擂着桌子。桌子上的杯盘碗筷都震得跳起碎步舞来。

    黎满庚把嘴里的狗骨头呸的一声朝地下一吐,哈哈哈大笑起来:“那女人…不会跳‘黑鬼舞’,却会学狗爬……哈哈哈,她样子倒不难看,就是手头辣,想得到,讲得出,也做得出……当初,我当区政府的民政干事,他舅佬当区委书记硬要保媒,要把这骚货做把我……我那时真傻……要不,她今、今天,不就、不就困在我底下!我今、今天,最低限度也混、混到个公社一级……”

    “你、你堂堂一个汉子不要泄气,骚娘们爬到男人头上拉屎撒尿,历朝历代都不多,你们大队秦癫子就和我讲、讲过,汉朝有个吕雉,唐朝有个武则天,清朝有个西太后……老弟,讲、讲句真心话,秦癫子这右派分子,不像别的五类分子那样可厌、可恶……”

    “老谷,你一个老革命,南下干部,还和我讲这号话?你大兵哥真是大会小会,左批右批,都没有怕过场合……为了秦癫子,我可没少检讨啊!悔过书,指头大一个的字,写了一回又一回,不深刻。工作组就差点没喊我跪瓦碴、砖头……我他妈的今后管他妈的,也只好心狠点,手辣点,管他妈的五类分子变猪变狗,是死是活……要紧的是我自己,我的‘五爪辣’、女娃们不要死,要活……”

    “满庚,人还是要讲点良心。芙蓉镇上,如、如今只有一个年轻寡婆最造孽,你都会看不出来么?你的眼睛都叫你‘五爪辣’的裤裆,给兜起来了么?”

    酒醉心清。酒醉心迷。谷燕山眼睛红红的,不知是叫苞谷烧酒灌的,还是叫泪水辣的。

    听老谷提到胡玉音,黎满庚眼睛发呆,表情冷漠,好一会儿没有吭声……“干妹子!不不,如今她是富农婆,我早和她划清了界线……苦命的女人……我傻!我好傻!哈哈哈……”黎满庚忽然大笑了起来,笑了几声,忽又双手巴掌把脸孔一抹,脸上的笑容就抹掉了,变成了一副呆傻、麻木的表情。“我傻,我傻……那时我年轻,太年轻,把世上的事情看得过于认真……没有和她成亲,党里头不准,其实……只要……”

    “其实什么?你讲话口里不要含根狗骨头!”谷燕山睁圆眼睛盯着他,有点咄咄逼人。

    “其实,其实,我和你大兵哥讲句真心话,我一想起她,心里就疼……”

    “你还心疼她?我看你老弟也是昧了天良,落井下石……你、你为了保自己过关,心也够狠、手也够辣的啦!人家把你当作亲兄弟,一千五百块钱交你保管,你却上缴工作组,成了她转移投机倒把的赃款,窝藏资本主义的罪证……兄妹好比同林鸟,大难来时各自飞!”

    “老谷!老谷!我求求你……你住口!”黎满庚忽然捶着胸口,眼泪双流,哭了起来,“你老哥的话,句句像刀子……我也是没办法,没有办法哇!在敌人面前,我姓黎的可以咬着牙齿,不怕死,不背叛……可是在党组织面前,在县委工作组面前,你叫我怎么办?怎么办?我怕被开除党籍呀!妈呀,我要跟着党,做党员……”

    “哈哈哈!黎满庚!我今天晚上,花六十块钱,买了这坛酒、这条狗,还有就是你的这句话!”谷燕山听前任大队支书越哭越伤心,反倒乐了,笑了,大喊大叫:“看来,你的心还没有全黑、全硬!芙蓉镇上的人,也不是个个都心肠铁硬!‘’”……你老哥还是原先的那个‘北方大兵’,一镇的人望,生了个蛮横相,有一颗菩萨心……“

    “你老弟总算还通人性!哈哈哈,还通人性……”

    两人哭的哭,笑的笑,一直胡闹到五更鸡叫。

    他们都同时拿碗到坛子里去舀酒时,酒坛子已经干了底。两人酒碗一丢,这才东倒西歪地齐声哈哈大笑了起来:“你他妈的酒坛子我留把明天再来打!”

    “你他妈的醉得和关公爷一样了!带上这腿生狗肉,明天晚上到你楼上再喝!”

    “满庚!生狗肉留着,留着……我、我还要赶回镇上去,赶回粮站楼上去。我还没有‘下楼’……老子就在楼上住着,管它‘下楼’不‘下楼’!”

    雪,落着,静静地落着。仿佛大地太污浊不堪了,腌臜垃圾四处都堆着撒着,大雪才赶来把这一切都遮上、盖上,藏污纳垢……一道昏黄的电筒光,照着一行歪歪斜斜的脚印,朝青石板街走去。好在公路大桥已通,五更天气不消喊人摆渡。

    谷燕山回到镇上,叫老北风一吹,酒力朝头上涌。他已经醉得晕天倒地了。他站在街心,忽然叫骂开来:“你听着!婊子养的!泼妇!骚货!你、你把镇子搞成什么样子了,搞成什么样子了?街上连鸡、鸭、狗都不见了!大人、娃儿都哑了口,不敢吱声了!婊子养的!泼妇!骚货!你有胆子就和老子站到街上来,老子和你拼了!……”

    青石板街两边的居民们都被他闹醒了,都晓得“北方大兵”在骂哪个。天寒地冻的,没有人起来观看,也没有人起来劝阻。只有镇供销社的职工、家属感到遗憾,李国香回县革委开会去了,不曾听得这一顿好骂。

    在这个风雪交加的黎明,谷燕山竞不能自制,时而在街头,时而在街尾,时而回到街心,叫骂不已。后来,他大约是骂疲了,烂醉如泥地倒在供销社门口的街沿上。他在雪地里呕了一地的狗肉和酒。不知从哪里跑来两条狗,在他身边的雪地里舔吃着他呕吐出来的食物,呱哒,呱哒……他打着鼾,在睡梦里晃着手:“……王支书,李主任,不要吵!呱哒,呱哒,你们只顾自己吃,自己喝,老、老子可是醉了,要睡了……呱哒,呱哒,你们只管自己吃,自己喝,……”

    谷燕山没有冻死,甚至奇迹似地也没有冻病。天还没有大亮,青石板街两边的铺门还没有打开,他就被人送回粮站楼上的宿舍里去了。谁送的?不晓得。

    四 凤和鸡

    王秋赦在全县各地巡回讲用,传授“早请示”、“晚汇报”的款式程序,大受欢迎。所到之处,无不是鞭炮锣鼓接送。精神变物质,物质变精神,日日都有酒宴,他生平没有见过如此众多的鸡鸭鱼肉。油光水滑,食精腻肥,他算真正品尝到了活学活用、活鸡活鱼的甜头。俗话讲,“鸡吃叫,鱼吃跳”呢。传经授宝时,他也紧跟大批判运动,声讨、控诉全县最大的当权派杨民高及其本公社书记李国香的反革命修正主义罪行。当时李国香正在“靠边站”,接受革命群众的教育、批判。吊脚楼主的翻脸不认人,使女书记恨得直咬牙巴骨,恨自己瞎了眼,懵了心,栽培了一个坏坯。“活该!搬起石头砸自己的脚!”李国香自怨自艾,“是你把他当根子,介绍他入党,提拔他当大队支书,还打算进一步把他培养成国家干部,甚至对这个比自己年纪大不了几岁的单身男人,有过亲密的意念……可是,一番苦心喂了狗!他不独忘恩负义,还恩将仇报,过河拆桥,乘人之危到处去控诉舅舅和自己……王秋赦,真是一条蛇,一条刚要进洞的秋蛇……”

    当时,在一些靠边站、受审查的干部们中间,流传着这样一支歌谣:“背时的凤凰走运的鸡,凤凰脱毛不如鸡。有朝一日毛复起,凤还是凤来鸡还是鸡。”这支歌谣,李国香经常念在口头,默在心头,给了她信念和勇气。大约只过了不到一年,李国香果然就应验了这首歌谣。县革委会成立时,杨民高被结合为县革委第一副主任,她则当上了女常委,并仍兼任公社革委主任。凤凰身上的美丽羽毛又丰满了,恢复了山中百鸟之王的身分。

    王秋赦呢,对不起,脚杆上的泥巴还没有洗干净,没有能升格成为吃国家粮、拿国家钱、坐国家车子的专职讲用人员。跑红了一两年,一花引来百花香,全县社社队队、角角落落都普及了“早请示”、“晚汇报”的“三忠于”活动,而且涌现了一批新的活学活用标兵,人家念诵“誓词”时普通话不杂本地腔,挥动红宝书的姿态比他优美,还会做语录操,跳忠字舞。相比之下,他这在全县最早传授崇拜仪式的标兵,就自惭形秽,完成了历史使命。因而在一般革命群众、干部眼里,他也不似先时那样稀有、宝贵了。不久,上级号召“三结合”领导班子里的群众代表要实行“三不脱离”,回原单位抓革命、促生产。他也就回到了芙蓉镇,担任本镇大队革委主任一职。这一来他就又成了李国香同志的下级。凤还是凤来鸡还是鸡。

    人是怕吃后悔药的。这是生活的苦果。一年前李国香曾经为栽培了吊脚楼主而悔恨,一年后吊脚楼主因在一些公开场合揭批过李国香而痛悔。这都怨得了谁啊,大运动风风雨雨,反反复复,使得臣民百姓紧跟形势翻政治烧饼……有时王秋赦真恨不得要咬掉自己的舌头!多少次自己掌自己的嘴:“蠢东西!混蛋!小人得志!狗肉上不得大台盘!是谁把你当根子,是谁把你送进了党,是谁放你到北方去取经参观?人家养条狗还会摇尾巴,你却咬主人,咬恩人……”王秋赦苦思苦想,渐渐地明白了过来,今后若想在政治上进步,生活上提高,还是要接近李国香,依靠杨民高。就像是宝塔,一级压一级,一级管一级。他不是木脑壳,虽是吃后悔药可悲,但总比那些花岗岩脑壳至死不悔改的好得多。

    且说李国香主任在芙蓉镇供销社门市部楼上,有一个安静的住处。一进两间,外间办公、会客,一张办公桌,一张藤靠椅,几张骨排凳。墙上挂着领袖像,贴着红底金字语录,“老三篇”全文。还有宝书柜,忠字台,一架电话机。整个房间以红色为主,显示出主人的身分和气度。至于里间卧室,不便描述。我们不是天真好奇的红卫兵,连一个三十几岁单身女人的隐私也去搜查,于心何忍。这房间一到下午六点后,楼下的门市部一关门,供销社职工回了后院家属宿舍,就僻静得鬼都打死人。

    王秋赦开始一次又一次地到这“主任住所”来汇报、请示工作,而且总要先在门口停一下,抹抹头发,清清喉嗓,战战兢兢。李国香却一直不愿私下接待他,所以他一直没有能进得门。他也没有气馁,相信只要自己心诚,总有一天会感动女主任。是座碉堡也会攻破么。

    “李主任,李书记……”这天,他又轻轻敲了敲门板。“谁呀?”李国香不知在里头和谁笑嘻嘻的。“我、我……王秋赦……”他喉咙有些发干,声音有些打结。“什么事呀?”李国香和悦的声音一下子就变得又冷又硬。“我有点子事……”“有事以后再讲。我这里正研究材料,不得空!”

    王秋赦霉气地回到吊脚楼,真是茶饭无心。好在他大小仍是个大队的“一把手”,来找他请示汇报工作的队干部,来向他反映各种情况的社员,还是一天到晚都有;上传下达的“最新指示”、“重要文件”也多,所以他的日子颇不寂寞。过了几天的一个下午,他着意地修整打扮一番,他先去镇理发店理了发,刮了胡子修了面。在白衬衣外头罩了件“涤卡”,裤子也是刚洗过头水的,鞋子则是那双四季不换的工农牌猪皮鞋。一直挨到镇上人家都吃晚饭了,窗口上闪出了灯光,他才朝供销社楼上走去。这回他下了决心,不跟李主任碰上头,把当讲的话都讲讲,他就不回吊脚楼了。

    鬼晓得为什么,当他从供销社高围墙的侧门进去时,心口怦怦跳,就像要做什么见不得人的事情似的,蹑手蹑脚。幸好,他没有碰上任何人。他在“主任住所”门口站了站,才抬手敲了敲门:“李主任,李书记……”

    “谁呀?请进来!”屋里的声音十分和悦。

    王秋赦推门进屋。李国香正坐在圆桌旁享用着一只清焖鸡。

    “你?什么事?你最近来过好几次吧,是不是?有话就讲吧。今下午客人多,像从旱灾区来的,把三壶开水都喝干了。”

    李国香只看了他一眼,就又把注意力集中到清焖鸡上去了。可是这一眼,给王秋赦的印象很深,觉得女主任是居高临下望了望他,眼神里充满了冷笑、讥讽,而又不失她作为一位领导者对待下级那种满不在乎的落落气度。

    “李主任,我、我想向领导上做个思想汇报,检讨……”关键时刻,王秋赦的舌头有点不争气,打结巴。

    “思想汇报?检讨?你一个全县有名的标兵,到处讲用,表现很好嘛!”李国香略显惊讶地又看了王秋赦一眼,积怨立即像一股胡辣水袭上了心头,忍不住挖苦说,“王支书,你也不要太客气,太抬举我了。俗话讲,强龙斗不过地头蛇。只怕我这当公社干部的,想巴结你们还巴结不上哪!我头上这顶小小的乌纱帽,还拿在你这些人手里,随时喊摘就摘哪!”

    “李主任,李书记……你就是不笑我,骂我,我都没脸见人……特别是没脸来见你……我是个混蛋,得意了几天,就忘记了恩人……”王秋赦的脑壳垂下来,像一穗熟透了的谷子。他自己躬着身子找了张骨排凳坐下,双膝并拢,双手放在膝盖上,坐得规规正正。

    “那你怎么还来见我?这样不自爱、自重?”李国香这时仿佛产生了一点好奇心,边斜着脸子咬鸡腿,边饶有兴味地问。作为领导人,她习惯于人家在她面前低三下四。

    “我、我……文化低,水平浅,看不清大好形势……只晓得跟着喊口号,是只丑八哥,学舌都学不像……”王秋赦不知深浅地试试探探,留神观看着女主任脸上的表情。

    “你有话就讲吧。我一贯主张言者无罪,半吞半吐倒霉。”李国香又看了他一眼。女主任忽然发觉王秋赦今晚上的长相、衣着都颇不刺目,不那么叫人讨嫌。

    “我向你当主任的认罪,我是个坏坯!忘恩负义的坏坯!我对不起你主任,对不起县里杨书记……是你和杨书记拉扯着我,才入党,当支书,像个人……可我,可我,也跟人学舌,在讲用会上牙黄口臭批过杨书记和你,我是跟形势……如今我天天都吃后悔药……我真恨不得自己捆了自己,来听凭你领导处置……”王秋赦就像一眼缺了口子的池塘,清水浊水哗哗流。提起旧事,辛酸的热泪扑扑掉,落在楼板上滴答响。“……我亏了你主任的苦心栽培……我对不起上级。我这一跤子跌得太重……我如今只想着向你和杨书记悔过,请罪……我真该在你面前掌自己一千回嘴……”

    李国香听着听着,先是蹙了一会儿眉头,接着闷下脸来。王秋赦的哭泣痛悔,仿佛触动了她心灵深处的某根孤独、寂寞的神经,唤醒了几丝丝温热的柔情……她的脸色有些沮丧,用帕子抹了抹双手上的油腻,身子跌坐在藤围椅里,一副软塌无力的样子。她神思有些恍惚……但只恍惚了几秒种,就又坐直了身子,扬了扬眉头,仍以冷漠、鄙夷的目光盯住了王秋赦:“都过去了!过去就过去了。是你记性好,有些什么事,我都记不得了……我才不在乎呢。人家骂几声,批几句,对我是教育、帮助。你倒是这么一提再提,又是认错啦,又是检讨啦,我可没要你这样做……你吃不吃什么后悔药,我也不感兴趣……”

    “李主任,我是诚心诚意的……我晓得,你最是心软,肯饶人……”王秋赦留神到女主任仍然打着官腔,拒他于千里之外,心里扑通扑通,捏了两手冷汗,感到一种痛苦的失望。但他不能到此为止,知难而退。一定要讲出点有吸引力的东西来,使女主任意识到自己也还有点使用的价值……这时刻他倒是头脑十分冷静。他想起前些时听人讲过,大队秘书黎满庚和“四清”下台干部谷燕山深更半夜打狗肉平伙,两人喝得烂醉,讲了不少反动话,“北方大兵”还在雪地里骂了大街……对了,就先呈上这个“情况”。反正这年月,你不告人家,人家还告你呢。
    “李主任,我想趁便向你反映点本镇的新动向……”
    “新动向?什么新动向?”
    果然,李国香一听,就侧过身子转过脸,眼睛都闪闪发亮。
    “秦书田这些五类分子,最近大不老实啊。”话宜曲不宜直,王秋赦有意绕了个弯子汇报说,“大队勒令他们每天早请罪,晚悔过,他们竟比贫下中农还到得迟!如今全大队百分之八十的人都参加做忠字操、跳忠字舞了。就是一些老倌子、老太婆顽固,不肯做操、跳舞。他们宁肯对着光辉形象打拱作揖……”
    “你不要东拉西扯。五类分子是些死老虎、死蛇。问题在一些活老虎、活蛇。”李国香眯缝起眼睛,凝视着王秋赦。这冰冷的目光使得王秋赦心里打着哆嗦,直发冷。李国香忽然来了兴趣,决定放出一点诱饵,逗引一下这条“秋蛇”:“作为一个革命干部,眼睛不能光盯着定了性、戴了帽的,更重要的是要盯住那些没有定性、戴帽,混在群众里头的……镇上原先的几个人物,谷燕山他们都有些什么新活动,嗯?”

    王秋赦不由地心里一紧,要是女主任已经掌握了谷燕山、黎满庚打狗肉平伙的材料,自己再汇报,岂不是一个屁钱都不值?他咬了咬牙,还是硬着头皮把自己了解的“北方大兵”和前任支书那晚上的有关言论,添油加醋地披露了出来。还提出黎满庚继续担任大队秘书不合适。

    “王支书!你和我坐到这圆桌边上来,陪我也喝杯酒!”出乎王秋赦的意外,李国香对他呈告的情报大感兴趣,立时就对他客气了许多,并转身从柜子里拿出一瓶酒,两只玻璃杯,一碟油炸花生米。“莫以为只你们男人才有海量,来来,我们比一比,看看谁的脸块先变色!”

    对于这个“突变”,王秋赦真有点眼花缭乱,受宠若惊。他立即从李国香手里接过了酒瓶,哔啵哔啵地筛满两只玻璃杯,才侧着身子在圆桌边坐下,恭敬地、眼睛一眨不眨地看着女主任。

    “来!我们干了这一杯!”李国香十分懂行地把杯子端得高过眉头,从杯底看了王秋赦一眼。吊脚楼主也举起杯,从杯底回了女主任一眼。接着两只玻璃杯一碰,各自痛快地干了。

    “给你这只鸡腿。你牙齿好,把它咬干净!”为了表示信赖和亲热,李国香把一只自己咬了一半的鸡腿夹给王秋赦。王秋赦欠欠身子,双手接了过来。

    “队上、镇上还有些什么动静、苗头?”女主任边满意地欣赏王秋赦有滋有味地咬着那鸡骨头的馋相,边问。
    “镇上是庙小妖风大啊。特别是近几年来搞大民主,就鲤鱼、鳙鱼、跳虾都浮了头……你主任没听讲,抓‘小邓拓’那年被开除回家的税务所长,如今正在省里、地区告状,要求给他平反。”王秋赦放低了声音,眼睛不由地瞟了瞟房门。
    “这是一。官僚地主出身、‘四清’下台的原税务所长闹翻案。”李国香脸色沉静,扳开了手指头。
    “青石板街又成立了一个造反兵团,立山头……听说供销社主任暗里承的头……他们还想请谷燕山出马当顾问,但谷燕山醉醉糊糊的,不感兴趣。”
    “这是二。新情况,造反兵团,主谋是供销社主任,谷燕山醉生梦死,倒是不感兴趣。”
    李国香已经拿出那个贴身的笔记本,记起来了。
    “粮站打米厂的小伙计……”
    “怎么?”
    “偷了信用社会计的老婆!”
    “呸呸!放你娘的屁!谁要你汇报这个!”
    李国香身子朝后一躲,竟也绯红了脸,头发也有些散乱。
    “不不,是信用社会计的老婆无意中对米厂的小伙计讲,她老公准备到县里去告你主任的黑状……”
    “啊啊,这是三。新情况,新情况。”李国香不动声色,“你看看,一个领导干部,不走群众路线,不多几根眼线、耳线,就难以应付局面……你还掌握了一些什么动向,都讲出来,领导上好统筹解决。”
    “暂时就是这些。”王秋赦这时舌头不打结了,喝酒夹菜的举止,也不再那样战战兢兢、奴颜婢膝了。仿佛已经在女主任面前占了一席之地。
    “王秋赦!”女主任忽然面含春威,眉横冷黛,厉声喝道。
    “李主任……”王秋赦浑身一震,腿肚子发抖,站了起来,“我、我……”一时,他在女主任面前又显得畏首畏尾。
    “坐下,坐下。你不错,你不错……”李国香离开藤椅,在王秋赦身边踱来踱去,仿佛在考虑着重要决策,“我要一个一个来收拾……你们大队的基干民兵多少枪?”
    “一个武装排。”王秋赦摸不着头脑,又感到事关重大。
    “这个排是不是你控制着?”李国香又问。
    “还消讲?我是大队支书!”王秋赦胸口一拍。
    “好!不能让坏人夺了去。今后没有我的命令,谁也不准动!”
    “我拿我的脑壳作保,我只对你主任负责,听你主任指挥!”
    “坐下,坐下。我们还没有必要这样紧张嘛。”李国香的双手按在王秋赦肩膀上。王秋赦顺从地坐下。他一时有点心辕意马,感觉到了女主任的双手十分的温软细滑。“权在我们手里,我们就要用文斗。只有手里无权的人,才想着要武斗。我这意思,你懂吗?动刀动枪,是万不得已的下策……还有个黎满庚,我们要把他拉住,稳住他,还是要他在你手下当大队秘书。今天革命的一个核心任务,就是要防止谷燕山他们复辟,重新在镇上掌权,搞阶级调和,推行唯生产力论、人性论、人情味那一套……我这意思,你懂吗?”
    王秋赦对女主任的见地、胆识,真要佩服得五体投地了。他脑壳点动得像啄木鸟。

    李国香回到圆桌对面的藤围椅上坐下。她双手扶着藤围椅边,眼睛一眨不眨地望着吊脚楼主,仿佛有了几分醉意:“我们实话实说,王支书,对你的悔改、交心,我很满意。我们既往不咎吧。俗话讲,一个篱笆三棵桩,一个好汉三个帮。我不是好汉。但我手下需要几个得力的人。我还要考验考验你……我不是跟你许愿,只要你经得起考验,我可以在适当时候,对县革委杨主任他们提出,看看能不能让你当个脱产的公社革委会副主任……”
    真是一声春雷!王秋赦心都颤抖了起来。妈呀,再不能错过这个机遇,错过这个决定他后半生命运的天赐良缘了。为了表示自己的决心,他不由地站起身子,扑通一声就跪倒在女主任的身前:“李主任,李主任!我、我今后就是你死心塌地的……哪怕人家讲我是一条……我就是你忠实的……”
    李国香起初吃了一惊,接着是一脸既感动又得意的笑容,声音里难免带着点陶醉的娇滴:“起来,起来!没的恶心。你一个干部,骨头哪能这么不硬,叫人家看了……”
    王秋赦没有起来,只是仰起了脸块。他的脸块叫泪水染得像只花猫一样。女主任心里一热,忍不住俯下身子,抚了抚他的头发:“起来,啊,起来。一个大男人……新理了发?一股香胰子气。你的脸块好热……我要休息了。今晚上有点醉了。日子还长着呢,你请回……”
    王秋赦站起身子,睁着痴迷的眼睛,依依不舍地看着女主任,像在盼着某种暗示或某项指令。

    五 扫街人秘闻

    秦书田和胡玉音两个五类分子,每天清早罚扫青石板街,已经有两三个年头了。两人都起得很早。他们一般都是从街心朝两头扫,一人扫一半。也有时从两头朝街心扫,到街心会面。好在青石板街街面不宽,又总共才三百来米长。一年三百六十五天,闰年三百六十六天,当镇上的人们还在做着梦、睡着宝贵的“天光觉”时,他们已经挥动竹枝扫把,在默默地扫着、默默地扫着了。好像春天、夏天、秋天、冬天,都是在他们的竹枝扫帚下,一个接一个地被扫走了,又被扫来了。

    秦书田扫街还讲究一点姿态步伐,大约跟他当年当过歌舞剧团的编导有关系。他将扫帚整得和人一般高,腰杆挺得笔直的,右手在上,左手在下,握着扫帚就和舞蹈演员在台上握着片船桨一样,一摆一摆地挥洒自如;两脚则是脚尖落地,一前一后地移动着,也像在舞台上合着音乐节拍滑行一般。由于动作轻捷协调,他总是扫得又快又好,汗都少出。而且每天都要帮着胡玉音扫上一长截。胡玉音则每天早晨都是累出一身汗,看着秦癫子挥动扫帚的姿态感到羡慕。这本是一件女人要强过男人的活路。

    说起秦癫子这些年来的表演,也是够充分的了,令人可鄙又可笑。在“四清”运动时,他是本镇大队五类分子里被斗得最狠的一个。之后,改组后的大队党支部征得工作组的同意,继续由他担任五类分子的小头目。这叫以毒攻毒。只是在他的“右派”一词前边还加上“铁帽”二字,意思是形容这顶帽子是不朽的,注定要戴进棺材里去。千万年以后发掘出来做文物,让历史学家去考证,研究撰写二十世纪中下叶中国乡村阶级斗争的学术论文。好在秦癫子没有成过家,没有后人。要不,他的这笔政治遗产还要世代相传呢。就是秦癫子自己也懂得:运动就要有对象,斗争就要有敌人。每村每镇,不保留几只死老虎、活靶子,今后一次次的群众运动,阶级斗争,怎么来发动,拿谁来开刀?每次上级发号召抓阶级斗争,基层干部们就开上几次大会,把五类分子往台上一揪,又揭又批又斗,然后向上级汇报,运动中批斗了多少个(次)阶级敌人,配合吃忆苦餐,忆苦思甜,教育了群众,提高了觉悟等等。有些五类分子死光了的生产队,就让他们的子女接位,继续他们的反动老子没有完成的职责。要不,你叫基层干部、贫下中农怎么来理解整个社会主义历史时期,始终存在着阶级、阶级矛盾和阶级斗争?不理解,又怎么来抓这一头等重大的历史使命?在广大的乡村,基层干部们都拿工分不拿薪金,谈不到什么“走资派”、“资产阶级代理人”。基层干部、社员群众只能从五类分子及其子女身上,来看待、认识阶级和阶级斗争的历史延续性,来年年唱、月月讲、天天念。要不然,这关系到“党和国家前途命运”的百年大计、万年大计,又怎么讲?谁又讲清楚过?老天爷!诚然,土地改革后在广大乡镇进行的历次运动中,也曾经重新划分过阶级成分。可是生产资料公有了,不存在私有制人剥削人的问题了,就以伸缩性极大的政治态度为依据。但仍然存在着遗产的继承问题,即各个阶级的子孙世袭上辈祖先的阶级成分问题……唉唉,子孙的问题就留给子孙去考究吧。如果祖先把下辈的问题都解决了,子孙们岂不会成为头脑简单、无所作为的白痴?危言耸听,不可思议。我们还是言归正传,来看看铁帽右派秦癫子这些年来的各色表演吧。

    一九六七年,正是红色竞赛、“左派”争斗的鼎盛时期,不知从哪里刮来一股风,五类分子的家门口,都必须用泥巴塑一尊狗像,以示跟一般革命群众之家相区别,便于群众专政。就跟当时某些大城市的红五类子女佩红袖章当红卫兵,父母有一般历史问题的子女佩黄袖章当“红外围”,黑八类子女佩白符号当“狗崽子”一样。本镇大队共有二十二个五类分子,必须塑二十二尊狗像。这是一项义务工,没有工分补贴,自然就又派到了能写会画的铁帽右派秦癫子头上。秦癫子领下任务后,就从泥田里挖上了一担担粘泥巴,一户五类分子家门口堆一担。这简直是一项艺术性劳动。每天都有许多人围观、评议、指点。他兢兢业业,加班加点:不出一月,二十二户五类分子家门口,就塑起了二十二尊泥像。有男有女,有高有矮,有胖有瘦。每尊泥像下边还标出每个黑鬼的名号职称,并多少具备一点那分子的外貌特征。这一时成了本镇大队的一大奇闻。大人小孩自动组织起鉴赏、评比。一致认为,以秦癫子自己屋门口的狗像塑得最为生动,最像他本人形状。
    “癫子老表!你家伙自私自利,把功夫都花到捏你自己的狗像上!”
    “嘿嘿,不是自私自利……最高指示讲,生活是文学艺术的惟一源泉……当然是我自己最熟悉我自己哕,也就捏得最像啰。”

    但秦癫子的“艺术性劳动”有个重要的遗漏,竟忘了在老胡记客栈门口替年轻的富农寡妇胡玉音塑一尊泥像。这一“阴谋”过了好长一段时间才被人发觉,立即对他组织了一次批斗,审问他为什么要包庇胡玉音,和胡玉音到底有些什么勾结。他后颈窝一拍,连忙低头认罪,原来他只是记下了本镇大队五类分子的老人数,而忘记了“四清”中新划的富农。他嘴巴答应以实际行动悔过,却又拖了好些时日。不久上级就传下精神来,对敌斗争要讲质量和政策,对五类分子要从思想上批深批透,批倒批臭,而不要流于形式。因此,老胡记客栈门口才一直没有出现泥像。胡玉音对秦书田自是十分感激。据说秦书田挨批斗那晚上,她躲在屋里哭肿了眼睛。秦大哥是在代她受过啊,救了她一命啊。要不,她见到自己门口的泥像被小娃娃们扯起裤子尿尿,真会寻短见的。

    虽说上级文件上要求不搞形式主义,但每次五类分子游街示众,黑牌子还是要挂,高帽子也是要戴。芙蓉镇地方小,又是省边地界,遥远偏僻。听讲人家北京地方开斗争大会,还给批斗对象挂黑牌,插高标,五花大绑呢。有些批斗对象还是大干部、老革命呢。北京是什么地方,芙蓉镇又是什么地方,算老几?半边屋壁那么大的地图上,都找不到火柴头大的一粒黑点呢。不用说,本镇大队二十三个五类分子的黑牌子,又是出自秦癫子的高手。为了表现一下他大公无私的德行,他自己的黑牌子特意做得大一点。他在每块黑牌上都写明每个五类分子的“职称”,“职称”下边才是姓名,并一律用朱笔打上个“×”,表示罪该万死,应当每游街示众一次就枪毙一回。他这回又耍了花招,“新富农分子胡玉音”的黑牌没打红又叉。好在人多眼杂眼也花,他的这一“阴谋”竞也一直没有被革命群众雪亮的眼睛所发现,蒙混过了关。摆小摊卖米豆腐出身的新富农分子胡玉音,每回游街示众时都眼含泪花,对他的这番苦心感恩不尽。同是运动落难人啊。在这个冷漠的世界上,她还是感受到了一点儿春天般的温暖。

    镇上的人们说,秦癫子十多年来被斗油了,斗滑了,是个老运动员。每逢民兵来喊他去开批斗会,他就和去出工一样,脸不发白心不发颤,处之泰然。牵他去挂牌游街,他也是熟门熟路,而且总是走在全大队五类分子的最前头,俨然就是个持有委任状的黑头目。“秦书田!…‘有!”“铁帽右派!”“在!”“秦癫子!”“到!”总是呼者声色俱厉,答者响亮简洁。“一批两打、清理阶级队伍”运动开始时,全公社召开万人大会进行动员。各大队的五类分子也被带到大会会场示众,一串一串的就像圩场上卖的青蛙一般。示众之后,他们被勒令停靠在会场四周的墙角上接受政策教育。可是后来大会散了,人都走光了,芙蓉镇大队的二十三名五类分子却被丢弃在墙角,被押解他们来的民兵忘记了。严肃的阶级斗争场合出现了一点儿不严肃。可是当初宣布大会纪律时有一条:没有各大队党支书的命令,各地的五类分子一律不准乱说乱动,否则以破坏大会论处。这可怎么好?难道真要在这墙角呆到牛年马月?后来还是秦癫子想出了一个办法,他叫同类们站成一行,喊开了口令:“立正!向左看齐!向前看!报数,稍息!”紧接着,他煞有介事地来了个向后转,走出两步,双脚跟一碰,立正站定,向着空空如也的会场,右手巴掌齐眉行了个礼,声音响亮地请示说:“报告李书记!王支书!芙蓉镇大队二十三名五类分子,今天前来万人大会接受批判教育完毕,请准许他们各自回到生产队去管制劳动,悔过自新!”他请示完毕,稍候一刻,仿佛聆听到了谁的什么指示、答复似的,才又说:“是!奉上级指示,老实服法,队伍解散!”这样,他算手续完备,把大家放回来了。

    大清早,雾气漾漾。芙蓉镇青石板街上,狗不叫,鸡不啼,人和六畜都还在睡呢,秦书田就拖着竹枝扫帚去喊胡玉音。彼此都是每天早起见到的第一个人。他们总要站在老胡记客栈门口,互相望一眼,笑一笑。

    “大哥,你起得真早。回回都是你来喊门……”
    “玉音,你比我小着十把岁,哪有不贪睡的。”
    “看样子你是晚上睡不大好哕?”
    “我?唉,从前搞脑力劳动,就犯有失眠的毛病。”
    “晚上睡不着,你怎么过?”
    “我就哼唱《喜歌堂》里的歌……”
    提起《喜歌堂》,他们就都住了口。《喜歌堂》,这给他们带来苦难、不幸的发灾歌……渐渐地,他们每天早晨的相聚,成了可怜的生活里的不可缺少的一课。偶尔某天早晨,谁要是没有来扫街,心里就会慌得厉害,像缺了什么一大块……就会默默地一人把整条街扫完,然后再去打听,探望。直到第二天早晨又碰到一起,互相看一眼,笑一笑,才心安理得。

    这天早晨,有雾。他们从街心扫起,背靠背地各自朝街口扫去。真是万籁俱寂,街道上只响着他们的竹枝扫把刮在青石板上的沙沙沙,沙沙沙……秦书田扫到供销社门市部拐角的地方,身子靠在墙上歇了一歇,忽然听得供销社小巷围墙那边的侧门吱呀一声开了,他忍不住侧出半边脸块去看了看,但见一个身坯粗大的黑影,从侧门闪了出来,还反手把门带严。“小偷!”秦书田吓了一跳。但是不对,那人两手空空,身上也不鼓鼓囊囊,哪有这样的小偷?他心里好生奇怪,眼睁睁地看着那黑影顺着墙根走远了。他晓得供销社的职工们都是住在后院宿舍里,楼上只有女主任李国香住着。这溜走的人背影有些眼熟。这是什么好事呢?他没有吱声,也不敢吱声。这天中午,他还特意到供销社门口去转了转,也没有听见供销社里的人讲丢失了什么东西。

    过了几天。早晨没有雾。秦书田和胡玉音又从街心分手,各自朝街口扫去。他扫到供销社围墙的拐角处,又身子靠在墙上歇了歇。这回,他不等围墙的侧门吱呀响,就从墙角侧出半边脸块去盯着。不一会儿,侧门吱呀一声响,一个身坯粗大的黑影又从门里闪了出来,反手关了门,匆匆地顺着小巷墙根走了。秦书田这可看清楚了,暗暗吃了一惊,是他!天呀,天天钻进这围墙里去做什么?事关重大,秦书田不敢声张。但他毕竟是“人还在,心不死”,就拖着扫帚跑到另一头去,把胡玉音叫到一个僻静的角落,对着年轻寡妇的耳朵,透出了这个“绝密”。讲后又有些怕,一再叮嘱:“千万千万不能告诉第三个人。这号事,街坊邻居都管不了,我们只能当光眼瞎。何况,我们又是这种身分……”“是他?”“是他。”“那一个呢?”“是她。”“他,她,他,鬼晓得你指的是哪个他,她。”胡玉音却很开心似的,脸盘有点微微泛红:“鬼!你对着人家耳朵讲话,满口的胡子也不刮刮,戳得人家的脸巴子生痛!”“啊,啊啊,我的胡子……一定刮干净,天天都刮!”他们脸块对着脸块,眼睛对着眼睛,第一次挨得这么近。

    又是一天清早,秦书田想出了一个鬼主意。他和胡玉音在街心会齐了,把这鬼主意说了。胡玉音只笑了笑,说了声“由便你”。他们头一回犯例违禁,没有先扫街,而是用铲子从生产队的牛栏门口刮来了一堆稀家伙,放在供销社小巷围墙侧门的门口,开门第一脚就会踩着的地方。然后,两人躲到门市部拐弯的墙角,露出半边脸子去盯守着。真讨嫌,这早晨又有雾。他们的身子不觉地偎依在一起,都没有留意。等了好一会儿,他们听到了门市部楼上有脚步声,下楼来了。秦书田个头高,半蹲下身子。胡玉音把腮巴靠在他的肩膀上,朝同一个方向看着。他们都很兴奋,也很紧张,仿佛都感觉到了彼此心房跳动的声音。胡玉音的半边身子都探出了墙角,秦书田站起身子伸出手臂把她搂了回来,再也没有松开,还越搂越紧,真坏!胡玉音狠狠地拍了两下,才拍开。小巷侧门吱呀一声开了,那黑影闪将出来,肯定是头一脚就踩在那稀家伙上边了,砰咚一声响,就像倒木头似的,跌翻在青石板上。那人肯定是脑壳被重重地撞了一下,倒在石板上哼着哎哟,好一刻都没见爬起来。“活该!活该!天杀的活该!”胡玉音竞像个小女孩似地拍着双手,格格地轻轻笑了起来。秦书田连忙捂住她的嘴巴,捉住她的手,瞪了她一眼。秦书田的手热乎乎的,不觉的有一股暖流传到了胡玉音的身上,心上。

    两个扫街人继续躲在墙角观看,见那人哼哼哟哟,爬了几下都没有爬起来,看来是跌着什么地方了。秦书田起初吓了一跳,跟着心里一动,觉得这倒是个“立功赎罪”的机会,便又附在胡玉音的耳朵上“如此这般”地说了说。不过他的腮巴已经刮得光光溜溜了,再没有用胡子戳得人家的脸巴子生痛。胡玉音听了他的话,就推开他的双手,转身到街口扫街去了。

    秦书田轻手轻脚地走回街心,然后一步一步地扫来。忽然,他发现了什么似的,拖着个竹枝扫把,大步朝供销社围墙跑来,一迭连声地问:“那是哪个?那是哪个?”

    他来到巷子围墙下,故作吃惊地轻声叫道:“王支书呀!怎么走路不小心跌倒在这里呀?快起来!快起来!”

    “你们两个五类分子扫的好街!门口的牛粪滑倒人……”王秋赦坐了一屁股的稀家伙,浑身臭不可闻。他恨恨地骂着,又不敢高声。

    “我请罪,我请罪。来来,王支书,我、我扶你老人家起来。”秦书田用手去托了托王秋赦那卡在阴沟里的一只脚。

    “哎哟喂!痛死我了!这只脚扭歪筋了!”王秋赦痛得满头冷汗。

    秦书田连忙放开脚,不怕脏和臭,双手托住王秋赦的屁股,把他扶坐在门坎上。

    “怎么搞?王支书,回家去?还是送你老人家去卫生院?”秦书田关切地问。

    “家里去!家里去!这回你秦癫子表现好点,把我背回去。哎哟,日后有你的好处。哎哟……”王秋赦疼痛难忍,又不敢大声呼喊,怕惊动了街坊。

    秦书田躬下身子,把王秋赦背起就走。他觉得吊脚楼主身体强壮得像头公牛,都是这几年活学活用油水厚了啊,难怪要夜夜打栏出来寻野食,吃露水草。

    “王支书!你老人家今天起得太早,运气不好,怕是碰到了倒路鬼啊!”

    “少讲屁话!你走快点,叫人家看见了,五类分子背党支书,影响不大好……回头,回头你还要给我上山去寻两服跌打损伤的草药!”

    伤筋动骨一百天。吊脚楼主在床上整整躺了两个多月。幸亏有大队合作医疗的赤脚医生送医上门,并照顾他的起居生活。李国香因工作忙,暂时抽不出时间来看望。她离开了镇供销社楼上的“蹲点办”,回到县革委坐班去了。

    秦书田和胡玉音照旧每天天不亮起床,把青石板街打扫得干干净净。开初,他们两人都很高兴。每天早晨拖着竹枝扫帚在老胡记客栈门口一碰面,就你看着我,我看着你,脸发热,心发跳。通过定计捉弄王秋赦,他们一天比一天地亲近了。简直有点谁也不愿意离开谁似的了。他们心里都压抑着一种难以言状的痛苦,一种磨人的情感啊……有一天天落黑时,秦书田竞给她送来了一件浅底隐花的确凉衬衫,玻璃纸袋装着,一根红丝带扎着……天啊,她都吓慌了。从没见过这种料子的衣服。自己成了这号人还配穿吗?穿得出吗?秦书田走后,她把衬衫从玻璃纸袋里取出来,料子细滑得就和绸子一样。她没舍得穿。她把衣服紧紧地搂在胸口,捂在被窝里哭了整整一夜。她像捧着一颗热烈的心,她有了一种犯罪的感觉。她决定第二天乘人不备时去上一次坟,去桂桂的坟头上烧点纸,把心事和桂桂讲讲,打打商量。桂桂生前总是依着她,顺着她,娇她,疼她。桂桂的魂,也会保佑她,谅解宽恕她,她盼着桂桂晚上给她托个梦……第二天大清早,秦书田来敲门,约她去扫街时,她三下两下就把花的确凉衬衫穿上了,当里衣,贴心又贴肉。可是她连衣领子都塞了进去,叫人看不出。

    他们默默地扫着青石板街……本来都好好的,秦书田却突然手里的扫把一丢,张开双臂,胆大包天,紧紧搂住了她!“你疯了?天呀,秦大哥,你疯了?书田哥……”胡玉音颤着声音,眼里噙满了泪花……她抽泣着,让秦书田搂抱爱抚了好一会儿,才把他推开了,推开了。她好狠心,但不能不推开呀。天,这算哪样一回事呀?都当了反革命,沦为人下人,难道还能谈恋爱,还可以有人的正常感情?不行,不行,不行……她好恨,她好恨呀,恨自己心里还有一把火没有熄灭!为什么还不熄灭?为什么不变成一个木头人,一个石头人?你这磨难人的鬼火!生活把什么都夺走了,剥去了,生活已经把她像个麻疯病患者似地从正常人的圈子里开除出来了,入了另册,却单单剩下了这把鬼火。整整一早晨,她都一边扫街一边哭。

    出了这件事后,连着好几天早晨,他们都只顾各自默默地扫着街,谁都不理睬谁。他们心里都很痛苦。他们却渴望着过上一个“人”的生活。秦书田倒是跟往常一样,每天清早照例到老胡记客栈门口来默默地守候着,直到胡玉音起了床,开了门,他才默默地转身离去……时间,像一位生活的医生,它能使心灵的伤口愈合,使绝望的痛楚消减,使某些不可抵御的感情沉寂、默然。尽管这种沉寂、默然是暂时的,表面的。大约过了半个来月,秦书田仿佛冷静了下来。胡玉音就对他笑了,又叫开了“秦大哥”。而且那笑容里,那声音里,比原先多出了一种浓情蜜意。从此,他们仿佛达成了一种默契,不再提那要把人引入火坑的罪恶。反倒彼此都觉得坦然、亲近。生活又回到了旧的轨迹。他们就像这青石板街上的两台扫街机,不晓得自己为什么活着,为什么还能活着。但这种局面没有维持多久。不久,胡玉音害了伤风,发着高烧,睡在床上说胡话。难为秦书田每天早起一人服两人的劳役,挥着竹枝扫把从街头扫到街尾。而后又发挥自己的一点可怜的医药知识,上山采来药草,料理“同犯”吃喝。山镇上的人们早就不大关心这两个人物了,因此谁都没有注意。胡玉音病得每天只能歪在床上就着秦书田的双手吃喝汤药。每天,胡玉音都要含着眼泪、颤着声音喊几声“书田哥……”

    贵人有贵命,贱人有贱命。过了十来天,胡玉音的病好了,又天天早起扫街了。一天早晨五点钟左右,秦书田又去叫醒了胡玉音,两人又来到了街心。可是这时电闪雷鸣,狂风大作。马上就有倾盆大雨了。今年春上的雨水真多。他们仍在机械地打扫着街道。不同的是,如今他们是肩并着肩地扫了,一边一个。暴雨说来就来,黑糊糊的天空就像一只满是砂眼的锅底,把箭杆一般的雨柱雨丝筛落了下来。

    胡玉音忽然拉了秦书田就走,就跑!跑回老胡记客栈,两个人都成了落汤鸡。屋里还是一片漆黑。他们身上已经没有一根干纱。他们都脱着各自的湿衣服。脱下来的衣服都拧得出水。胡玉音在黑地里冷得浑身打哆嗦,牙齿也打战战:

    “书田哥……书田哥,你来扶我一下,我、我冻得就像结了冰凌……”

    “哎呀,病刚刚好,又来冻着。我扶你到床上去睡,在被窝里暖和暖和……”

    秦书田摸索着,真是黑得伸手不见五指。他双手接触到胡玉音时,两人都吓了一跳,他们都忘记了身上的衣服已经脱光了……

    风雨如磐,浩大狂阔。雷公电母啊,不要震怒,不要咆哮……雨雾雨帘,把满世界都遮拦起来吧。人世间的这一对罪人,这一对政治黑鬼啊,他们生命的源流还没有枯竭,他们性灵的火花还没有熄灭,他们还会撞击出感情的闪电,他们还会散发出生命的光热。爱情的枯树遇上风雨还会萌生出新枝嫩叶,还会绽放瘦弱的花朵,结出酸涩的苦果……

    六“你是聪明的姐”

    胡玉音对于自己能够活下来,能够熬下去,还居然会和秦书田相爱,常常感到惊奇。每次挨斗挨打、游街示众后,她被押回老胡记客栈,就觉得自己活够了,只剩下一丝丝气没断了。有时连颈脖上的黑牌子都不爱取下来,就昏昏糊糊地和衣睡去。可是第二天一早醒来,简直不敢相信似地睁开眼睛:奇怪,还活着?为什么还不死啊!她伸手摸摸自己的胸口,胸口里边还在扑通、扑通地跳着。这就是说,她还应当起来,还应当去扫街……

    她自艾自怜,曾经打算选下一个好点的日子死去,初一,或是十五。是的,死是自己的最后一件紧要事,一定要选个好点的日子。而且要死个好样子。不能用索子上吊,不能在胸口上戳剪刀,不能去买老鼠药吃。那样会死得凶,会破相。最好是投水。人家会打捞上来,会放得规规整整,干干净净。就像睡着了一样摆在块门板上,头发都不大乱。就只脸盘白得像张纸,而且有点发青,有点肿。胡玉音曾经是个观音菩萨跟前的玉女一般的人儿,死了,也应当是个玉女。变了鬼,都不会难看、吓人。

    因之,她曾经好几次走到玉叶溪的白石桥上,望着溪水发呆。白石桥有三、四丈高,溪水绿得像匹缎子。溪水两岸是湿漉漉的岩壁,岩壁上爬满了虎耳草、凤尾巴、藤萝花。若从岩岸边上看下去,水上水下,一倒一顺,有两座白石桥,四堵岩壁。人站在桥上,水里的倒影清楚得连脸上的酒窝都看得见。桥高,岸陡,水深。所以历朝历代,都有苦命女子到这桥上来寻自尽。久而久之,镇上居民就给这白石桥另取了个名字:孤女桥。每一次,胡玉音来到孤女桥上,低头一见自己落进水里的影子,就伤心,就哭:玉音啊,玉音,这就是你吗?你是个坏女人?你害过人?在镇上,你有什么生死对头?没有啊,没有!玉音在镇上蚂蚁子都怕踩得,脸都很少和人红,讲话都没有起过高腔,小娃儿都没有欺负过一个。你为人并不势利、刻薄,吝啬钱财,当初还周济过不少人……那又是为哪样啊?你不害人,不恨人,不势利,没有生死对头,人家还要整你、恨你、斗你?把你当作世界上最下作、最卑贱的女人?使你走路都抬不起头,人前人后扬不起脸,连笑都要先看看四周围……你是作了什么孽啊,要落得这样苦命,得到这样的报应!这个世道对自己太不公道,太无良心!每每想到这里,她就哭啊,哭啊,感到委屈,感到不平,就有了气!“我偏不死!我偏不死!我为什么要死?我犯了哪样法,哪样罪?我为什么活不得?”她站在孤女桥上,几次都没有跳下去。她就是不该一眼就看清了水里的那个自己……

    她还曾经用别的法子作践过自己。有一回她三天三晚水米不沾牙。可是每天早晨起来都梳头、洗脸,每晚上都洗澡、换衣。第四天早上,她去扫街,晕倒在青石板街上。是秦书田把她背回老胡记客栈来,像劝亲人一样地劝她,像哄妹儿一样地哄她,打了一碗蛋花汤喂她。秦书田一边喂她一边哭。她还从没见过秦书田哭。这个铁帽右派无论是跪砖头挨批斗,挂黑牌游街,都是笑眯眯的,就和去走亲家、坐酒席一样。他乐天,不知愁苦。可如今,秦书田为了她,反倒哭了,使胡玉音冷却了的心,感到了一点点人世的温存。她从小就心软。她对人家心软,对自己也心软。原先桂桂在世、日子好过的时候,她最怕看得、最怕听得人家屋里的伤心事。秦书田,秦癫子……早就在护着她了。有段时间,她恨秦癫子。仿佛自己的不幸,就是秦癫子带来的。就是那年她成亲,秦癫子却带着歌舞团的妖精们来唱《喜歌堂》,反封建,开坏了她新婚的彩头……如今,秦书田大约就是要来悔补自己的过失。但过失是这样重大,即便是死三回,生三回,也找补不回来。其实,秦书田也是物伤其类啊,惺惺惜惺惺,造孽人怜惜造孽人。在胡玉音的病床边,秦书田还轻轻地哼《喜歌堂》里的《铜钱歌》给她听:“正月好唱《铜钱歌》,铜钱有几多?一个铜钱四个角,两个铜钱几个角?快快算,快快说,你是聪明的姐,她唱哩《铜钱歌》……”秦书田三个铜钱、四个铜钱地唱下去,一直唱到十个铜钱打止。“你是聪明的姐、聪明的姐啊”,每唱到这一句,秦癫子就眼里含着泪花,忧伤地看着胡玉音。什么意思?“你是聪明的姐”啊,为什么要作践自己?为什么不活下去?世界不只是一个芙蓉镇。世界很大,天长日久啊。而且世界的存在也不能只靠搞运动,专门搞斗争。天底下还有许许多多别的事情。聪明的姐啊,聪明的姐,你是聪明的姐啊!……

    古老的民歌,一声声呼唤着,叮咛着。生命的歌。也许正是这古老的从小就会唱、爱唱的歌,唤醒了胡玉音对生的渴望。她开始留心秦书田这个人。当了五类分子,做了人下人,还总是那么快活、积极。好像他的黑鬼世界里就不存在着凄苦、凌辱、惨痛一样。游街示众他总是俨然走在前头。接受批斗总是不等人吆喝、挥动拳脚,扑通一声先跪下,低垂下脑壳。人家打他的左边耳光,他就等着右边还有一下。本镇大队的革命群众和干部讲他不算死顽固,只是个老运动油子。开初胡玉音有些看不起他,以为他下作。但后来慢慢地亲身体会到秦书田的办法对头,可以少挨打,少吃苦。就是自己学不起。人家揪她的头发,刚一松手,她就忍不住伸开手指去理理梳梳。人家按下她的颈脖,弯腰九十度,她一直起腰,就要扯扯衣襟,扣好衣扣。人家罚她下跪,一允许她站起来,她立即就把双膝盖上的尘土拍拍干净。为了这习惯,她多挨了不少打,就是改不了。有人讲“这个新富农婆真顽固”。这时她就想着要早点死,叫人家骂不成,批不成,斗不成。

    她所以还活着,还因为另一件事给了她强烈的刺激。就是那一回,外地来的那班无法无天似的男女红卫兵,讲着北方话或是操着长沙口音,把公社书记李国香也揪了出来,颈脖上挂着双破鞋游街!这算哪样回事啊,世界真是大,没听过、没见过的新奇事情真多。原来是你斗我,我斗你,斗人家,也斗自己……这天游街回来,不晓得为什么,她心里竟然感到快活。坏心眼,幸灾乐祸。她洗了脸,就去照镜子。镜子是妈妈留下来的。“四清”时只没收了新楼屋,改做了本镇的小招待所,而把老铺子留给她。她总怕有两三年没有照过镜子了。她发觉自己老多了,额角、眼角、嘴角都爬上了鱼尾细纹……但整个脸盘的大样子没变。头发还青黝,又厚又软。眼睛还又大又亮,两颊也还丰润。她自己都感到惊奇。她甚至有时神思狂乱地想:嗯,要是李国香去掉她的官帽子,自己去掉头上的富农帽子,来比比看!叫一百个男人闭着眼睛来摸、来挑,不怕不把那骚货、娼妇比下去……

    有时候,她晚上睡得早,睡不着。天气燥热,她光着身子平躺在被盖上。她双手巴掌习惯地蒙住眼睛,像害羞似的,然后慢慢地往下抹,一直抹到胸脯上才停下来。胸脯还肉鼓鼓、高耸耸的,像两座小山峰。她真恨死自己了,简直还跟一个刚出嫁的大闺女一样……好可厌,她恨不能把它抹平。可是抹不平。哪里像个五类分子?五类分子一个个佝腰拱背,手脚像干柴棍,胸脯荒凉得像冬天的草地。就她和秦书田还像个人。这以后,她又恢复了照镜子的习惯。有时对着镜子自怨自艾,多半时候是对着镜子哭。哭什么?她哭心里还有一把火,没有熄。她惟愿这把火早些熄灭。

    大雷雨的那个早上,那个漆黑的伸手不见五指的早上,她和秦书田身上都湿得不剩一根干纱,老天爷成全了他们的罪孽……人世间的事物,“第一”总是最可宝贵的。有了第一_,就不愁第二。做得初一,就做得十五。镇上的人们的警惕性侧重于政治方面。阶级斗争真是无所不在,无孔不入。谁会想到罚两个“新五类分子”打扫青石板街,还会发生这类男女欢媾?他们被瞒过了,骗住了。也许是大环套小环一般的运动,走马灯一般的上台和下台,反复无定、朝是夕非的口号,使他们眼花缭乱,神经疲乏了。他们只觉得青石板街打扫得一天比一天干净,净洁得青石板发出暗光,娃娃们掉粒饭在上头都不会脏。还有秦书田和胡玉音两个五类分子出工非常积极,还抢队上的重活、脏活做。胡玉音脸蛋上的皱纹熨平了,泛出了一层芙蓉花瓣似的红润。她就像已经得到了准信,某月某日就会给她摘掉“新富农分子”的黑帽子一样。

    铁帽右派和新富农寡妇,背着镇上的革命群众非法同居了。他们就像一对未经父老长者认可就偷情的年轻人,既时时感到胆战心惊,又觉得每分每秒都宝贵、甜蜜。只要在一起,他们就搂着,抱着,发疯似地亲着,吻着。长期压抑的感情一旦爆发,就表现为不可思议的狂热,表现为一种时间上的紧迫。好像随时都可能有一只巨手把他们分开,永生永世不得见面。他们是在抢时间。只有畸形的生活才有畸形的爱。他们明白这种胆大妄为是对他们的政治身分、社会等级的一次公然的挑战和反叛。晚上,他们从来不点灯。他们习惯,甚至喜欢在黑暗里生活。胡玉音总是枕着秦书田的手臂睡。有时睡梦里还叫着“桂桂,桂桂”。秦书田不会生气,还答应,仿佛他真的就是桂桂。桂桂还没有死,还在娇他、疼他的女人。桂桂的魂附在书田哥身上。书田哥常常哼《喜歌堂》给玉音听。一百零八支曲子,两百多首词,曲曲反封建。他曲曲都记得住,唱得出。胡玉音佩服他的好记性,好嗓音。

    “玉音,你的嗓音才好哪。那一年,我带着演员们来搜集整理《喜歌堂》,你体态婀娜,声清如玉,我们真想把你招到歌舞团去当演员哪。可你,却是十八岁就招郎,就成亲……”

    “都是命。怪就怪你们借人家的亲事,来演习节目、坏了彩头……我和桂桂命苦……”

    “你又哭了?又哭。唉,都是我不好,总是爱提些老话,引得你来哭。”

    “书田哥,不怪你。是我自己不好,我命大,命独。我不哭了,你再唱支《喜歌堂》来听……”

    秦书田又唱了起来:
    我姐生得像朵云,映着日头亮晶晶。
    明日花轿过门去,天上狮子配麒麟。
    红漆凳子配交椅,衡州花鼓配洋琴。
    洞房端起交杯酒,酒里新人泪盈盈。
    我姐生得像朵云,随风飘荡无定根……

    胡玉音不觉地跟着唱,跟着和。他们都唱得很轻,铺外边不易听得见。他们有时唱的词不同,曲不同。胡玉音唱的是原曲原词,秦书田唱的是他自己改编过的词曲,大同小异。唱到不同处,他们只是互相推一推,看一眼,却又谁都不去更正谁。谁说他们只有苦难,没有幸福?他们也像世界上所有真诚相爱的人那样,在畅饮着人生最甜蜜的乳汁、最珍贵的琼浆。他们爱唱他们的歌:
    天下有路一百条呦,能走的有九十九。
    剩下一条绝命路呦,莫要选给我姐走。
    生米煮成熟米饭,杉木板子已成舟!
    嫁鸡随鸡,嫁狗随狗,嫁块门板背起走。
    生成的“八字”铸成的命,清水浊水混着流。
    陪姐流干眼窝泪,难解我姐忧和愁……

    有罪的人过的日子,就像一根黑色长带,无休无止地向前延伸着。大约是春天过完了,夏天开始的时候,胡玉音开始觉得身子不舒服,心里经常作反,想吐,怕油腻,好吃酸东西。把去年冬下浸的酸萝卜、酸白菜帮子吃了又吃。开初她还没有觉得是怎么回事。后来无意中想到这是“巴了肚”、“坐了喜”的症候时,她都差点晕了过去。真是又惊又喜,想笑又想哭。原先盼了多少年都没有盼来的,都已经时过景迁、不存任何痴心妄想了,“喜”却悄然无声地姗姗来迟了,而且是在这种苟且偷生、好死不如赖活的年月里来了。为什么不早点来?要是在摆米豆腐摊子那年月就巴了肚,生了三个、四个娃娃,新楼屋就不会盖了。多了三、四张小嘴巴要喂要填,她就是困难户了,能向政府要救济,要补助呢。有了后代,桂桂也就不会走了那条路。做父亲的,哪能不为了后代活着?…“八字”先生讲她“命里不主子”,“子”究竟来了,虽然来得迟,来得不是时候。是祸,是福?她诚惶诚恐。但她心甘情愿承担由此而产生的任何痛苦,甚至付出性命。为了不育,人们朝她身上泼过多少污水啊。就是自己,也总是把生育看作为一个女人头号紧要的事。自古以来就是“不孝有三,无后为大”啊。

    胡玉音没有立即把自己“坐了喜”的信息告诉秦书田。这件事太重大了,必须是有了十足的把握、拿定了准信以后才告诉他。她对秦书田越来越温存,有事没事就要依偎着他。常常做点好的给他吃,哄他吃,而自己不舍得吃,就像招待一位立了功的英雄。女人就是这样痴心。同时,胡玉音还像在迎候着一个神圣的宗教节日的来临,清心净欲,不再和秦书田同居,使秦书田如堕五里雾中。她喜欢一个人单独住在老胡记客栈,安安静静地平躺在床上,什么东西也不盖,双手轻轻地、轻轻地在自己的腹部抚摩着,试探着,终于触摸着了小生命寄生的那个角落……她好高兴啊。她眼睛里溢满了幸福、欣慰的泪水。自从桂桂死后,她还从来没有这样兴奋过,觉得活着是多么地好,多么地有意思。真傻,从前却总是想到死,死。“你是聪明的姐”,你算什么“聪明的姐”啊?

    整整过了一个月,胡玉音对自己的身孕有了确信无疑的把握之后,也是她把这个甜蜜的秘密独自享用了一个月之后,才在一个清早,把自己“坐了喜”的事告诉了秦书田。秦书田如梦初醒,这才明白了玉音这段时间既对他亲密又和他疏远的原因。他扫把一扔,竟在当街就“天啊,天啊”地叫着,紧紧地抱住胡玉音,又是笑,又是哭。玉音连忙制止住了他的狂喜,哭笑也不看看是什么地方,什么场合。

    “玉音,我们向大队、公社请罪,申请登记结婚吧!”秦书田把脸埋在玉音的胸前,像梦呓地说,“这本来是我想都不敢想的事情……”

    “人家会不会准?或许,我们这是罪上加罪。”胡玉音平静地回答。她已经把什么都反复想过了,也就不怕了,心安理得了。

    “我们也还是人。哪号文件上,哪条哪款,规定了五类分子不准结婚?”秦书田双手扶着她,颇有把握地说。

    “准我们登记就好。就怕这年月,人都像红眼牛,发了疯似的,只是记仇记恨……管他呢。书田哥,不要为这事烦恼。不管人家怎么着,准不准,反正娃娃是我们的。我要,我就是要!”

    胡玉音说着,一下子扑倒在秦书田怀里,浑身都在颤战,哭泣了起来。仿佛立即就会有人伸过了一双可怕的大手,从她怀里把那尚未出生的胎儿抢走似的。

    自然,这早上的青石板街没有能好好清扫。也就是从这早上起,秦书田承担起了一个男子汉的义务,没再让胡玉音早起扫街。玉音又有点子“娇”了,也要睡睡“天光觉”,像一般“坐了喜”、身子“出了脾气”的女人那样,将息一下子了。秦书田却是在有意无意地做给镇上的街坊们看看:胡玉音已经是秦某人的人了,她的那一份街道归秦某人打扫了。

    七 人和鬼

    王秋赦支书在镇供销社的高围墙下崴了脚,整整两个月出不得门。李国香主任来芙蓉镇检查工作时顺便进吊脚楼来看了看他,讲了几句好好休息、慢慢养伤、不要性急之类的公事公办的话。对他的肿得像小水桶一样粗的脚,只看了两眼,连摸都没有摸一下,毫无关切怜悯之情。“老子这脚是怎么崴的?是我大清早赶路不小心?”若是换了另一个女人,王秋赦说不定会破口大骂,斥责她寡情薄义,冷了血。俗话说“一夜夫妻百日恩”,何况岂止一夜。什么丑话、丑事没讲没做?但对女上级,他倒觉得自己是受了一种“恩赐”,上级看得起自己,无形中抬高了自己的身价呢。女上级来看他一次,就够意思的了,难道还要求堂堂正正一个县革委常委、公社主任,也和街坊婆娘们那样动不动就来酸鼻子、红眼睛?女上级不动声色,正好说明了她的气度和胆识。自己倒是应当跟着她操习操习,学点上下周旋、左右交游的本领呢。

    那天,王秋赦正拄了一根拐棍,在吊脚楼前一跛一颠地走动,活活筋骨血脉,铁帽右派秦书田就走了来,双手捧着一纸“告罪书”,朝他一鞠躬。他倚着拐杖站住了,接过“告罪书”一看,惊奇得圆圆的脸块像个老南瓜,嘴巴半天合不拢,眼睛直眨巴:
    “什么?什么?你和富农寡婆胡玉音申请登记结婚?”
    秦书田勾头俯脑,规规矩矩地回答:“是,王书记,是。”为了缓和气氛,又恭恭敬敬地问,“王书记的脚大好了?还要不要我进山去挖几棵牛膝、吊马墩?”

    王秋赦的胖脸上眉头打了结,眼睛停止了眨巴,眯成两个小三角形。他对这个“铁帽右派”的看法颇为复杂。在那个倒霉的大清早,自己一屁股滑倒在稀牛屎上,是秦书田把他从小巷子里背回家,还算替他保了密,并编了一套话:大队支书早起到田里看禾苗,踩虚了脚,拐在涵洞里,因公负伤。大队因此给他记了工伤,报销医疗费用……但是对于胡玉音呢?对于这个至今还显得年轻的、不乏风韵的寡妇,王秋赦也曾经私下里有过一些非分之想。可是他和女主任的特殊关系在时时制约着他。世事的变化真大,生活就像万花筒。这么个妙可的女人,从一个不中用的屠户手里,竟然又落到了秦书田的黑爪爪里。

    “你们,你们已经有了深浅了?”吊脚楼主以一种行家的眼光逼住秦书田,仿佛看穿了对方的阴私、隐情。

    “这种事,自然是瞒不过王书记的眼睛的……”秦书田竟然厚颜无耻地笑了笑,讨好似地说。

    “放屁!你们什么时候开始的,嗯?”

    “也记不清楚了,我向上级坦白,我们每天早晨打扫青石板街,扫来扫去,她是个寡妇,我一直打单身,就互相都有了这个要求。”

    “烂箩筐配坼扁担。都上手几次了?”

    “不……不敢,不敢。上级没有批准,不敢。”

    “死不老实!这号事你骗得过谁?何况那女人又没有生育,一身细皮嫩肉,还不喂了你这只老猫公?”

    秦书田听到这里,微微红了红脸:“上级莫要取笑我们了。鸡配鸡,凤配凤……大队能不能给我们出张证明,放我们到公社去登记?”

    王秋赦拄着拐棍,一跛一颠地走到一块青条石上坐下来,圆圆胖胖的脸块上眉头又打了结,眼睛又眯成两个小三角形。他看了看秦书田呈上的“告罪书”,仿佛碰到了政策上的难题:“两个五类分子申请结婚……婚姻法里有没有这个规定?好像只讲到年满十八岁以上的有政治权利的公民……可是你们哪能算什么公民?你们是专政对象,社会渣滓!”

    秦书田咬了咬嘴皮,脸上再没有讨好的笑意,十分难听地说:“王支书,我们、我们总还算是人呀!再坏再黑也是个人……就算不是人,算鸡公、鸡婆,雄鹅、雌鹅,也不能禁我们婚配呀!”

    王秋赦听了哈哈大笑,眼泪水都笑了出来:“娘卖乖!秦癫子,我可没有把你们这些人当畜生,全中国都是一个政策……你不要讲得这样难听。这样吧,这回我老王算对你宽大宽大,把你的报告先在大队革委里头研究研究,再交公社去审批。不过先跟你打个招呼,中央下了文件,马上就要开展‘一批两打’、清理阶级队伍运动了,批不批得下来,还难讲哪!”

    秦书田诚惶诚恐,恳求着王秋赦:“王书记,我们的事,全仗你领导到公社开个口,讲句话……我们已经有了,有了……”

    王秋赦瞪圆了眼睛,拐杖在地上顿了顿:“有了?你们有了什么了?”

    秦书田低下了头。他决定把事情捅出来,迟捅不如早捅,让王秋赦们心里有个底:“我们有了那回事了……”

    果然,王秋赦一听,就气愤地朝地上啐了一口:“两个死不老实的家伙!江山易改,本性难移。当了阶级敌人还偷鸡摸狗……滚回去吧!明天我叫人送副白纸对联给你,你自己去贴在老胡记客栈的门口!”

    站在矮檐下,哪有不低头?生活是颠倒的,淫邪男女主宰着他们爱情的命运。第二天,大队部就派民兵送来了一副白纸对联,交给了秦书田。秦书田需要的正是这副对联。他喜上眉梢,获得了一线生机似地到老胡记客栈来找胡玉音。胡玉音正在灶门口烧火,一看白纸对联就伤心地哭泣了起来。

    原来镇上贴白纸对联,是横扫“四旧”那年兴起的一种新风俗,是为了惩罚、警告街坊上那些越墙钻洞、偷鸡摸狗的男女,把他们的丑事公诸于众,使其在革命群众中臭不可闻而采取的一项革命化措施。

    “玉音,你先莫哭,看看这对联上写的什么?对我们有利没有害呢!”秦书田边开导边把对联展开来,“大队干部的文墨浅,无形中就当众承认了我们的关系。你看上联是‘两个狗男女’,下联是‘一对黑夫妻’,横批是‘鬼窝’。‘一对黑夫妻’,管它红、白、黑,人窝、鬼窝,反正大队等于当众宣布了我们两个是‘夫妻’,是不是?”

    秦书田真是有他的鬼聪明。胡玉音停止了哭泣。是哪,书田哥是个有心计的人。

    征得了胡玉音的同意,秦书田才舀了半勺米汤,把白纸对联端端正正地糊在铺门上。

    老胡记客栈门口贴了一副白纸对联,这消息立即轰动了整个芙蓉镇。大人、小娃都来看热闹,论稀奇:“‘两个狗男女,一对黑夫妻’,这对子切题,合乎实际。”“也是哟,一个三十出头的寡婆子,一个四十来岁的老单身,白天搭伙煮锅饭,晚上搭伙暖双脚!”“他们成亲办不办酒席?”“他们办了酒席,哪个又敢来吃?”

    “唉,做人做到这一步,只怕是前世的报应!”

    镇上的人们把这件事当作头条新闻,出工收工,茶余饭后,谈论了整整半个来月。只有仍然挂着个粮站副主任衔的谷燕山,屁股上吊着个酒葫芦,来铺门口看了两回对联,什么话也没有讲。

    街坊邻居们的议论,倒是提醒了秦书田和胡玉音。在一个镇上人家都早早地关上了铺门的晚上,他们备下了两瓶葡萄酒,一桌十来样荤腥素菜,在各自的酒杯底下垫了一块红纸,像是也要履行一下手续仪式似的,喝个交杯酒。虽然公社还没有批下他们的“告罪书”,但估计人家对他们这一等人的结合不会感什么兴趣。真要感兴趣,才是抬举了他们呢。反正生米煮成熟米饭,清水浊水混着流,大队干部和镇上街坊们都已经认可了。物以类聚,人以群分。黑鬼对黑鬼,又不碍着谁。因之胡玉音、秦书田两人的脸上也泛起了一点红光喜气……他们正依古老的习俗,厮亲厮敬地喝了交杯酒,铺门外边就有人嗒嗒、嗒嗒地敲门。

    夫妻两个立时吓得魂不附体。胡玉音浑身打着哆嗦,秦书田赶忙把她搂着,好像能护着她似的……嗒嗒、嗒嗒的敲门声仍在响着,却又听不见有人叫喊,秦书田才定了定神。他咬着胡玉音的耳朵说:“听听,这声音不同。若是民兵小分队来押我们,总是凶声恶气地大喊大叫,脚踢,枪托子顿,门板砰砰砰……”胡玉音这才定了定神,点了点头。男人就是男人,遇事有主见,不慌乱。
    “我去开门?”
    “嗯。”
    秦书田壮着胆子去开了门,还是吃了一惊:原来是“北方大兵”谷燕山!他手上提着个纸盒盒,屁股上吊着酒葫芦。这真是太出乎意料了。秦书田赶忙迎了进来,闩好门。胡玉音脸色发白,颤着声音地请老谷入席。老谷也不客气,不分上首下首就坐下了:
    “上午和下午,我都看见你们偷偷摸摸的,一会儿买鱼,一会儿称高价肉……我就想,这喜酒,我还是要来讨一杯喝。如今镇上的人,都以为我是酒鬼,好酒贪杯……我想,我想,你们大约也不会把我坦白、交代出去……你们呢,依我看,也不是那种真牌号的五类分子……成亲喜事,人生一世,顶多也只一两回……”

    黑夫妻两个听这一说,顿时热泪涟涟,双双在谷燕山面前跪了下去,磕着头。在这个动辄“你死我活”的世界上,还是有好人。人的同情心,慈善心,还是没有绝迹……

    谷燕山没有谦让,带着几分酒意地笑着:“起来,起来,你们这是老礼数、老规矩。是不是要我保媒啊?这几年,我是醉眼看世人,越看越清醒。你们的媒人,其实是手里的竹扫把,街上的青石板……也好,今晚上嘛,我就来充个数,认了这个份儿!”

    黑夫妻两个又要双双跪了下去,谷燕山连忙把他们拉住了,

    倒真像个主婚人似地安排他们都坐好了。

    “我还带了份薄礼来。”谷燕山打开纸盒,从中取出四块布料来,还有一辆小汽车,一架小飞机,一个洋娃娃。“不要嫌弃。这些年来,镇上人家收亲嫁女,我都是送的这么一份礼……你们也不例外。我是恭贺你们早生贵子……既是成了夫妻,不管是红是黑,孽根孽种,总是要有后的。”

    胡玉音心里一阵热浪翻涌,几乎要昏厥过去……但她还是镇住了自己。她又走到谷燕山面前,双膝跪了下去,抽泣着说:
    “谷主任!你要单独受我一拜……你为了我,为了碎米谷头子,背了冤枉啊……是我连累了你,害苦了你……你一个南下老干部……若是干部们都像你,共产党都是你这一色的人,日子就太平……呜呜呜,谷主任,日后,你不嫌我黑,不嫌我贱,今生今世,做牛做马,都要报答你……”

    谷燕山这时也落下泪来,却又强作欢颜:“起来,起来,欢欢喜喜的,又来讲那些事做什么?自己是好是歹,总是自己最明白……来来,喝酒,喝酒!如今粮站里反正不要我管什么事,我今晚上就要好好喝几杯,尽个兴。”

    秦书田立即重整杯盘。夫妻俩双双敬了满满一杯红葡萄酒。谷燕山一仰脖子喝下后,就从屁股后取下了自己的酒葫芦(秦书田、胡玉音这时好恨白天没有准备下一瓶白烧酒啊):
    “你们这是红糖水。你们两口子喝了和睦甜亲。我可是要喝我的二锅头,过瘾,得劲!”

    你劝我敬,一人一杯轮着转,三人都很激动。谷燕山喝得眼眨眉毛动,忽然提议道:“老秦!早听说你是因了个什么《喜歌堂》打成右派的,玉音也有好嗓子,你们两个今晚既是成亲,就唱上几曲来,庆贺庆贺,快乐快乐!”

    恩人的要求,还有什么不答应的?夫妻两个不知是被酒灌醉了,还是被幸福灌醉了,红光满面地轻轻唱起一支节奏明快、曲调诙谐的《轿伕歌》来:
    新娘子,哭什么?我们抬轿你坐着,
    眼睛给你当灯笼,肩膀给你当凳坐。
    四人八条腿,走路像穿梭。
    拐个弯,上个坡,肩膀皮,层层脱。
    你笑一笑,你乐一乐,
    洞房要喝你一杯酒,路上先喊我一声哥……

    生命的种子,无比顽强。五岭山区的花岗岩石脊上,常常不知要从哪儿飞来一粒几颗油茶籽那么大的树籽。这些树籽撒落进岩缝石隙里,几乎连指甲片那么一小块泥土都没有啊,只靠了岩石渗出的那一点儿潮气,就发胀了,冒芽了,长根了。那是什么样的根系?犹如龙须虎爪,穿山破石,深深插入岩缝,钻透石隙,含辛茹苦,艰难万分地去获取生命的养分。抽茎了,长叶了,铁骨青枝,傲然屹立。木质细密,坚硬如铁。看到这种树木的人,无不惊异这生命的奇迹。伐木人碰上它,常常使得油锯断齿,刀斧卷刃呢。

    一个月后,秦书田、胡玉音被传到了公社。开初,他们以为是通知他们去办理婚姻登记手续。只是秦书田有些经验,多了个心眼,用一个粗布口袋装了两套换洗衣服。

    “秦书田!你这个铁帽石派狗胆包天,干下了好事!”

    秦书田和胡玉音刚进办公室,公社主任李国香就桌子一拍,厉声喝斥。大队支书王秋赦满脸盛怒地和女主任并排坐着。旁边还有个公社干部陪着,面前放着纸笔。

    秦书田、胡玉音低下了头,垂手而立。秦书田不知头尾,只好连声说:“上级领导,我请罪,我认罪……”

    “在管制劳动期间,目无国法,目无群众,公然与富农分子胡玉音非法同居,对无产阶级专政猖狂反扑……”女主任宣判似地继续说。原来昨天晚上,王秋赦来个别汇报、请示工作时,女主任才详细问起了他的脚扭伤的经过。王秋赦便把那一大早从供销社侧门出来,滑倒在一堆稀牛粪上,被早起扫街的铁帽右派发现并背回吊脚楼去的经过讲了一遍。还说秦书田近一段表现不错等等。“我早晓得你上当了!”女主任冷笑了一声骂道,“愚蠢的东西!供销社高围墙侧门的那条小巷子才多宽一点?平日从没有人牵牛从那巷子里过,牛拉屎远不拉、近不拉,偏偏拉在那门口?你那时经常到门市部楼上过夜……肯定被铁帽右派盯住了,才设下了这个圈套!你呀,力气如牛,头脑简单,少了一根阶级斗争的弦!”王秋赦当场被女主任数落得无地自容,恨不得把圆脑壳缩进衣领去。同时也暗暗叹服,这女上级就是比他高强。“阶级报复!明天我就派民兵捉住秦癫子吊半边猪!”王秋赦想到被右派分子算计,吃了两个多月的苦头,就睁大了三角眼,暴跳如雷。“要文斗,不能光想着去触及敌人的皮肉。”女主任倒是胸有成竹,平静地说,“他不是申请和胡玉音结婚,而且已经公然住在一起了?我们就先判他个服法犯法,非法同居!他去劳改个十年八年,还不是我们跟县里有关部门讲一句话?到了劳改队,看他五类分子还去守人家的高围墙、矮围墙!”于是,秦书田和胡玉音就被传到公社来了。

    “秦书田!胡玉音!你们非法同居,是不是事实?”女主任继续厉声问。
    秦书田抬起了头,辩解说:“上级领导,我有罪……我们向大队干部呈过请罪书,大队送了我们白纸对联,认可了我们是‘黑夫妻’……我们原以为,她是寡妇,我是四十出头的老单身,同是五类分子,我们没有爬墙钻洞……公社领导会批准我们……”
    “放屁!”王秋赦听秦书田话里有话,就拳头在桌上一擂,站了起来,“无耻下流的东西!你这个右派加流氓,反革命加恶棍的双料货!给老子跪下!给老子跪下!我今天才算看清了你的狼心狗肺!呸!跪下!你敢不跪下?”

    胡玉音拉了拉秦书田。秦书田当右派十多年来,第一次直起腰骨,不肯跪下,甚至不肯低头。过去命令他下跪的是政治,今天喝叫他下跪的是淫欲。胡玉音仿佛也懂得了他的这层意思,胆子也就大了。王秋赦怒不可遏,晃着两只铁锤似的拳头,奔了过来。

    “王秋赦!要打要杀,我也要讲一句话!”胡玉音这时挡了上去,眼睛直盯住吊脚楼主,面色坚定沉静。王秋赦面对着这双眼睛,一时呆住了。“我们认识有多少年了?我们面对面地这么站着,不是头一回了吧?可我从没有张扬过你的丑事……今后也不会张扬!我今天倒是想问问,男女关系,是在镇上摆白摆明、街坊父老都看见了、认可了、又早就向政府请求登记的犯了法,还是那些白天做报告、晚上开侧门的犯了法?”

    “反了!翻天了!”一时,就连一向遇事不乱、老成持重的女主任,这时也实在没有耐性了,竞降下身分像个泼妇撒野似地骂道,“反动富农婆!摆地摊卖席子的娼妇!妖精!骚货!看我撕不撕你的嘴巴!看我撕不撕你的嘴巴!”

    真不成体统。更谈不上什么斗争艺术,领导风度,政策水平。玷污了公社办公室的几尺土地。但李国香毕竟咬着牙镇住了自己,浑身战栗着,手指缝缝挤出了血,才没有亲自动手。她是个聪明人,林副统帅教导过她:政权就是镇压之权。她决定行使镇压之权:
    “来几个民兵!拿铁丝来!把富农婆的衣服剥光,把她的两个奶子用铁丝穿起来!”

    胡玉音发育正常的乳房,母性赖以哺育后代的器官,究竟被人用铁丝穿起来没有?读者不忍看,笔者不忍写。反正比这更为原始酷烈的刑罚,都确实曾经在二十世纪六十年代中下叶的中国大地上发生过。

    遵照上级的战略部署,公社的“一批两打、清理阶级队伍”运动开始时,秦书田、胡玉音这对黑夫妻立时成了开展运动的活靶子,反革命犯罪典型。在芙蓉镇圩坪戏台上开了宣判大会。反动右派、现反分子秦书田被判处有期徒刑十年。反动富农婆胡玉音判处有期徒刑三年,因有身孕,监外执行。芙蓉镇上许多熟知他们案情的人,都偷偷躲在黑角落流泪,包括黎满庚和他女人“五爪辣”都流了泪。他们是立场不稳,爱憎不明,敌我不分。他们不懂得在和平时期,对秦书田这些手无寸铁的敌人的仁慈,就是对人民的残忍。他们不懂得若还秦书田、胡玉音们翻了天,复了辟,干百万革命的人头就会落地,就会血流成河,尸横遍野。秦书田就会重新登台指挥表演《喜歌堂》,把社会主义当作封建主义来反,红彤彤的江山就改变了颜色,变成紫色、蓝色、黄色、绿色。胡玉音就会重新五天一圩,在芙蓉镇上架起米豆腐摊子,一角钱一碗,剥削鱼肉人民的血汗,再去起新楼屋,当新地主、新富农。

    秦书田、胡玉音被押在宣判台上,态度顽固,气焰嚣张,都没有哭。几年来,他们已经被斗油了,斗臭斗滑了,什么场合都经见过,成了死不改悔的顽固派,反革命修正主义路线的社会基础。秦书田不服罪,不肯低头。胡玉音则挺起腰身,已经耀武扬威地对着整个会场现出她的肚子来了。劣根孽种!审判员在宣读着判决书。公检法是一家,高度一元化,履行一个手续。民兵暂时没有能按下他们的狗头。

    胡玉音、秦书田两人对面站着,眼睛对着眼睛,脸孔对着脸孔。他们没有讲话,也不可能让他们讲话。但他们反动的心相通,彼此的意思都明白:
    “活下去,像牲口一样地活下去。”
    “放心。芙蓉镇上多的还是好人。总会熬得下去的,为了我们的后人。”

    第四章 今春民情(一九七九年)

    一 芙蓉河啊玉叶溪

    时间也是一条河,一条流在人们记忆里的河,一条生命的河。似乎是涓涓细流,悄然无声,花花亮眼。然而你晓得它是怎么穿透岩缝渗出地面来的吗?多少座石壁阻它、压它、挤它?千回百转,不回头,不停息。悬崖最是无情,把它摔下深渊,粉身碎骨,化成迷蒙的雾。在幽深的谷底,它却重新结集,重整旗鼓,发出了反叛的吼叫,陡涨了汹涌的气势。浪涛的吼声明确地宣告,它是不可阻挡的。猕猴可以来饮水,麋鹿可以来洗澡,白鹤可以来梳妆,毒蛇可以来游弋,猛兽可以来斗殴。人们可以来走排放筏,可以筑起高山巨壁似的坝闸截堵它,可以把它化成水蒸气。这一切,都不能改变它汇流巨川大海的志向。

    生活也是一条河,一条流着欢乐也流着痛苦的河,一条充满凶险而又兴味无穷的河。人人都在这条河上表演,文唱武打,红脸白脸,花头黑头。人人都显露出了自己的芳颜尊容,叫做“亮相”。夫人揭发首长。儿子检举老子。青梅竹马、至友亲朋成了生死对头。灵魂当了妓女。道德成了淫棍。人性论、人情味属于资产阶级。群众运动,运动群众。运动群众的人自己也被运动。地球在公转和自转,岂能不动?念念不忘你死我活。权力的天地只有拳头那么大,岂能人人都活?右派不臭,左派能香?史无前例、规模空前的“左”的竞走啊,“左”的赛跑。“右”就像无所不在的幽魂鬼怪,必须撒下天罗地网来擒拿。从穿衣吃饭,香水,发型,直到红唇皓齿,文件报告,无休无止的大会小会,如火如荼的政治洪流,都是为着灭资兴无。直到公社社员房前屋后的南瓜、辣椒是资本主义。应该种向日葵,向日葵有象征性。但谁嗑瓜子有罪。谁说没有资本家?从发展的观点看小摊贩就是资本家。自留地、自由市场就是温床。应当主动出击。寸土必争,寸权必夺。把资本主义消灭在萌芽状态、摇篮里。难道要等着它蓬蓬勃勃、泛滥成灾?户户种辣椒、南瓜卖(南瓜还可以酿酒),集体田地不是会荒芜?辣椒、南瓜就成为灾害。粮和钱、穷和富有个辩证关系。如果人人都有钱、都富,生活水平都赶上、超过了解放前的地主、富农,饱食终日,谁还革命?谁还斗争?还有什么阶级阵线?干部下乡,蹲点搞运动,依靠谁?团结谁?争取谁?孤立打击谁?还怎么搞人员的政治排队?怎么能没有了这法宝、仙杖啊。贫下中农就是贫下中农,他们应当永远是大多数。他们上升成了中农、富裕中农,天下大乱,革命断送。中国的问题成堆,是一个资产阶级和小资产阶级的汪洋大海。解决问题必须找到一把万能钥匙:斗。自上而下,五、六年一次,急风暴雨,斗斗斗。其乐无穷,上了瘾。你看看:斗,像不像一把古老的铜挂锁的钥匙?中国方块字几经简化,却还保存着一点象形文字的特征。山海关城门,故宫禁苑,孔子文庙,乡村祠堂,财老倌的谷仓、钱柜,乡公所土牢、水牢的铁门,都是一个形状的铜挂锁,一把大同小异的铜钥匙:斗。真是国粹国宝,传世杰作。叫做斗则进,不斗则退、则修。斗斗斗,一直斗到猴年马月,天下一统,世界大同。但马克思主义日月经天,山河行地,光辉永在,决不会被一个膨胀了的“斗”字所简化、缩小、代替。历史有其自身的规律,决定着人类社会万事万物的扬弃、取舍。多么的严峻无情啊!到了公元一九七六年十月,历史就在神州大地上打了一个大惊叹号和句号。接着又出现了一长串的大问号。党的“三中全会”扭转乾坤,力排万难,打破坚冰。生活的河流活跃了,欢腾了。

    应当说,即便是人们在盲目、狂热地进行着全国规模的极左大竞赛的年月,时间的河流,生活的河流还是在前进,没有停息,更不是什么倒流。偏远的五岭山脉腹地的芙蓉镇,也前进了。芙蓉河上的车马大桥建成了,公路通了进来。起初走的是板车、鸡公车、牛车、马车,接着是拖拉机、卡车、客车,偶尔还可以看到一辆吉普车。吉普车一来,镇上的小娃娃就跟着跑,睁大了眼睛围观。一定是县委副书记李国香回“根据地”,来检查指导工作。跟随大小汽车而来的,是镇上建起了好几座工厂。一座是造纸厂,利用山区取之不尽的竹木资源。一座是酒厂,用木薯、葛根、杂粮酿酒。据说芙蓉河水含有某种矿物成分,出酒率高,酒味香醇。一座铁工厂,一座小水电站。这一来,镇上的人口就像蚂蚁搬家似的,陆续增加了许多倍。于是车站、医院、旅店、冷饮店、理发馆、缝纫社、新华书店、邮电所、钟表修理店等等,都相继出现,并以原先的逢圩土坪为中心,形成了十字交叉的两条街,称为新街。原先的青石板街称为老街。

    芙蓉镇成立了镇革命委员会,成为一级地方政府,却又尚未和公社分家,机构体制还有点乱。镇革委会主任就是王秋赦。居民们习惯称他为王镇长。镇革委会下设派出所、广播站,还有几科几办。叫做麻雀虽小五脏俱全。派出所管理全镇户籍人丁,打击投机倒把,兼训练全镇武装民兵,侦破“反标”案件多起。广播站则在新街、老街各处都安了些高音喇叭,后又在各家各户墙上都装了四方木匣,早、中、晚三次,播放革命样板戏、革命歌曲,以及镇革委的各种会议通知、重要决议,还有本镇新闻。本镇新闻内容丰富,政治色彩浓烈,前些年是联系实际批林批孔,批儒评法,对资产阶级实行全面专政,宣传本镇“文化大革命”的丰硕成果,接着是宣传“批邓、反击右倾翻案风’’和“既定方针”。如今呢,还是同一个女广播员,操着同一口夹了本地腔的普通话,按本镇革委会定下的口径,在深揭狠批林彪、“四人帮”的滔天罪行,批极左路线,讲十年浩劫;在宣传抓纲治国、新时期总任务,在号召新长征、“四化”建设。高音喇叭的功率很大,在声音的世界里占压倒优势,居统治地位,便是街道上的汽车、拖拉机、铁工厂的汽锤、造纸厂的粉碎机所发出的声音,都在它的面前黯然失色,退避三舍。新街、老街,街坊邻居们站在当街面对面地讲话都不易听见,减少了交头接耳、窃窃私议,有利于治安管理。

    前进中自然会出现一系列的新问题。没有公路就没有汽车,没有汽车就扬不起滚滚浊尘。如今汽车、拖拉机从泥沙路面上一开过,满街黄蒙蒙的飞灰就半天不得消失,叫做“扬灰路”,系“洋灰路”的谐音。老街还好点。新街的屋脊、瓦背、阳台、窗台,无不落了厚厚一层灰。等到大雷雨天气才来一次自然清洗。新十字街没有下水道,住户、店铺,家家都朝泥沙街面泼污水。晴天倒还好,泥沙街面渗水力极强。一到落雨天,街面就真正的成了“水泥路”,汤汤水水四方流淌。那些喜欢雨天飞车的司机们,更是把泥块、泥水飞溅到街道两旁的建筑物上,墙壁、玻璃门窗无不溅满了星星点点。也好,省钱又省事,免得居民们费布挂窗帘。据说镇长王秋赦和同僚们正在制订市镇建设规划,设想在新十字街两旁各挖一条浅浅的阳沟,好使污水畅通。有人提出要挖下水道。王镇长说:“下水道?阳沟不就是下水道?我们不是广州、上海,不要追求洋派!”而且做出了决议,一俟阳沟的设计图纸画了出来.经镇革委常委会议审议批准,即责成镇派出所集中全镇的地、富、反、坏、“四人帮”帮派爪牙出义务工,限月限日完成。

    工厂和工厂之间也经常闹矛盾,起纠纷,还两厂对垒打过群架。工厂一般都是沿芙蓉河而建,抽水、排水方便,还有水路运输。还便于倾倒各种废料垃圾。但是造纸厂盖在离酒厂四里远的玉叶溪上游开初竟然谁也不曾想到有什么问题。相隔都有四里远啊,又是两条水路,两个厂的青年工人谈恋爱在河边溜溜达达,都要半天,谁还碍得了谁?可是纸厂一开工,排出的碱水白泡泡满河流了下来,汇流到芙蓉河里,哪里管什么四里二十里?酒厂酿出的粮白酒、二锅头带苦涩味,喊老爷。酒厂要求纸厂赔偿损失,纸厂要求酒厂迁移厂址。你们酒厂嫌芙蓉河水不好,我们纸厂可把玉叶溪水当宝。官司打到县委,县委责成镇委解决;官司打到地委,地委责成县委解决,县委又责成镇委解决。镇革委主任王秋赦也没有长三头六臂,他能解决?算老几?酒厂搬迁动辄上百万,一个小小芙蓉镇革委会有权印钞票?还是王秋赦害怕两厂打群架,出人命,才跑到县革委去哭丧,请来杨民高书记、李国香副书记,组织两厂头头办学习班,提高思想。结果却又是按批臭了的孔夫子的“中庸之道”行事,由纸厂出财力,酒厂出人力,用水泥涵管从三里外的峡谷里接来清悠悠的山泉水解决问题。当然两厂头头还背着县里两位书记私下达成了一项谅解:今后纸厂干部到酒厂购买内销酒,次品酒,处理酒,享受酒厂干部的同等待遇。

    至于绿豆色的芙蓉河,玉叶溪,古老温顺、绿荫夹岸、风光绮丽的芙蓉河、玉叶溪,如今成了什么样子?人们已经在议论纷纷。却还暂时排不上镇革委繁忙的议事日程。由于各工厂都朝河里倾注废渣废水,河岸上已是寸草不生,而且在崩塌。沿岸还一排排倾倒了各种垃圾,据说河床水面不要那么宽,可以适当扩大一些陆地面积。人家还搞围湖造田、围海造田呢。各种纸张、纸盒,纸厂的烧碱白泡泡,据说偶尔还有不足月份的私生子,漂浮在平静的河面上。原先河里盛产“芙蓉红鲤”,如今却连跳虾、螃蟹都少见了。

    有人解释说:污染和噪音,是现代化社会进程中的附属品。先进的工业国家,第一世界、第二世界无不如此。据前些年报纸上宣传,日本、美国的天空连麻雀都找不到一只了。英国则要进口氧气。属于第三世界的中国内地、边远山区的芙蓉镇,何以能另辟蹊径?而且也还没有到那种天空里找不见一只麻雀的田地,氧气大约也不缺。麻雀在芙蓉镇地方还是一种害鸟,每年夏初麦熟季节,社员们还要在麦田边扎起一个个的草人来吓唬呢。如果说科学、民主是一对孪生姐妹,封建、愚昧则是圣殿佛前的两位金童玉女。批斗了二十几年的资本主义,才明白资本主义比起封建主义来还是个进步;实际上是根深蒂固的封建主义批斗了年纪轻轻的社会主义呢。

    二 李国香转移

    前些年,北京有所名牌大学,准备开设一个“阶级斗争系”,作为教育革命史上的一大壮举。其实这是见木不见林,小巫不见大巫。阶级斗争早就是一门全国性的普及专业,称之为“主课”,而且办学形式不拘一格,学习方法多种多样,学生年龄有老有少。平心而论,我们的千百万干部又有几位不是从这所专门学校培养、造就出来的,或者说是在这专门学校里严酷磨炼、痛苦反省、刻意自修过来的呢?

    前些年,北京有位女首长,险些儿步吕雉、武则天、慈禧后尘登基当了皇帝。女首长在“批林批孔”前前后后,十分强调培养有棱有角的女接班人。她说:“你们男人有什么了不起?不就多了一条精虫?”真是彻底的唯物主义。女首长恩泽施于四海,在各级三结合领导班子中体现出来。于是原公社书记李国香就升任为县委女书记。一个县委书记才多大一点?九百六十万平方公里的国土上设有数千个县市,各业各界这一级别的干部不下百十万。好些她这种年纪、学历的女同行,都当过地革委、省革委的大头头,名字常上电台广播,照片常登报纸呢。甚至有一位官拜副总理,在日本医学界朋友面前出过“李时珍同志从五七干校回来没有”的笑话呢。还不都是同一所专业学校培养、造就出来的?修的不都是同一门“主课”?革命的需要,能怪某一个人?李国香是因为没有进过紫禁城,所以谁也不能断定她就不是块副总理的材料。

    不过话讲回来,李国香这些年来能够矮子上楼梯,也是颇为不容易的。几次大风大浪的历史转折关头,她都适应下来了,转变过来了。她已经正式结了婚,爱人是省里的一位“文化大革命”初期丧妻的中年有为的负责干部。他们暂时还分居着。李国香还想在基层锻炼两年,进步快些。“四人帮”倒台后,她在全县三级扩干大会上,对极左路线、帮派势力罪行的控诉、批判,使许多人落了泪。一个三十出头的女干部啊,公社女书记啊,竟然被揪了出来,黑牌加破鞋,投在五类分子、牛鬼蛇神的队伍里游街示众;在芙蓉河拱桥工地上搞重体力劳动,为了请求加三两糙米饭,在铜头皮带的威逼下不会跳“黑鬼舞”,就被勒令四脚走路,做狗爬……谁听了不怒火烧胸膛?丧尽天良的帮派体系黑爪牙们就是这样作践党的好干部、好女儿……当然,李国香的“左派整左派的误会”——帮派体系的“左”是打了引号的法西斯的极左,她的左是正统的革命的左,有着本质的不同。还有,李国香下令要用铁丝把新富农婆胡玉音的两只发育正常的乳房穿起来——这是对待当时的阶级敌人嘛,出于革命的义愤嘛,不能心慈手软嘛,对敌人的仁慈就是对人民的残忍嘛。当然,这些她都不便在三级扩干会上控诉揭发。不值一提。跟“四人帮”帮派体系无关。而且在那种年头,谁又能没有一点过头的言论、过火的行为呢?连革命导师都是人,不是神,何况她李国香呢。她也是富有七情六欲的人。

    党的十一届三中全会的前后,县委常委分下工来,由她负责落实全县的冤假错案的平反昭雪,右派分子改正,地富摘帽,改变成分。女同志总是细心些,适宜于做这项工作。冤假错案平反昭雪,理所当然。为无辜死去的同志申张正义、恢复名誉,为存活下来的亲属子女安排生活、工作,义不容辞。一九五七年错划右派改正,这也不难理解,本来都是国家干部,讲了几句错话、写了点错文章也不是阶级敌人嘛,今后吸取教训、加强思想改造嘛,注意摆正和党组织的关系就行了嘛。搞“四化”,提倡科学文化,这些知识分子尚是可以利用之才,为何不用?

    就是对于给农村的地、富摘帽,地富子女改变成分这一项,李国香怎么也想不通,接受不了。今后革命还有什么对象?拿谁来当活靶子、反面教员?离开了阶级斗争这个纲,今后农村工作怎么搞?怎么在大会小会上做报告?讲些什么?阶级斗争是威力无穷的法宝啊,丢掉了这个法宝,就有如一个双目失明的人丢失了手里的拐杖。难道真的到了四十几岁,在政治运动的大课堂里学到的一套套经验、办法,浑身的解数,过时了?报废了?还得像小学生那样去从头学起,去面壁苦吟,绞尽脑汁,苦思苦熬地啃书本,钻研农业技术,学习经济管理?对于这个问题,她连想都不愿意想,毫无兴趣,并有一种本能的反感。一个隐隐约约的可怕的念头钻进了她的脑子里:变了,修了,复辟了。她白天若无其事,不动声色,晚上却犯了睡觉磨牙齿的毛病,格格响。

    李国香是从自身的经历、地位、利益来看待问题的。地委副书记兼县委第一书记杨民高,明察秋毫,及时发现了外甥女的不健康的思想动向,危险苗头。在一个深夜,做了一次高屋建瓴式的谈话:
    “怎么?对党的路线、政策怀疑了?动摇了?这次就转不过弯来了?不行啊!根据我们党的路线斗争历来的教训,适应不了每次伟大的战略性转变的干部,必然为党、为时代所淘汰。这种例子,这种人,你还见少了?县委分工你主管落实政策,你不能个人意气,不能以个人感情代替党的政策,任何时候都要服从党的决议。我们是下级,是细胞,不是心脏、大脑。就是万一将来又说错了,也是错在心脏、大脑。我们离心脏、大脑远着哪。我们只是执行问题,责任不在我们。关于地富摘帽及其子女改变成分的问题,叫摘就摘,叫改就改嘛。万一将来又叫戴,就再给戴嘛。过去叫抓,是革命的需要。今天叫放,也是革命的需要嘛。我们生是党组织的人,死是党组织的鬼嘛……”

    舅舅就是舅舅,水平就是水平。对斗争规律烂熟于心。只有学会了在政治湖泊里游泳的人,才有这种自由。要不然,舅舅怎能当上地委副书记兼县委第一书记?李国香就还没有达到这个水平,还没有赢得这种自由,还是个“三成生、七成熟”的干部。所以她还只是个县委副书记。但她终归会完全成熟的,会学得一手在政治湖泊里自由游泳的好本领。

    杨民高书记对李国香同志这次没能敏捷、及时地跟上形势、服从路线的转变,感到懊恼、担心。不识时务,不辨风向的死脑筋!作为上级,加上骨肉情分,他想得比较远,考虑也颇周全:县委机关里,对外甥女和王秋赦的暧昧关系,近来又有些风言风语。小李子和省里的丈夫继续分居下去,也不是长策。应当跟省里那位“外甥女婿”把利弊摆摆,上下一齐活动,通过组织部门先把小李子再提一下,调到省里去算个正处级。今后再到地、县来检查指导工作,见官大三级,何乐而不为?杨民高书记把自己这意思委婉地(因有个组织原则问题)和外甥女透了透,外甥女心有灵犀一点通,顿然领悟。

    第二天一早上班,李国香从县公安局呈报上来的大叠等待批复的冤假错案里,首先抽出《关于一九五七年错划右派、在押犯人秦书田的改正材料》和《关于一九六四年错划新富农胡玉音的平反报告》两份呈文来。她觉得这两份材料沉甸甸的,像两块铅板,拿着十分吃力。她拿起又放下,放下又拿起,迟疑不决。她转动着手里的铅笔,铅笔也很沉,像一根金属棒。力鼎于钧、断人生死的笔啊,为什么有时大气磅礴、字走龙蛇,有时却枯竭虚弱、万分艰涩?

    摆弄了半天,李国香也没有批出一个字来。她决定先给芙蓉镇革委会王秋赦挂个电话,通个气。

    “什么?给他们平反、改正?”谁想王秋赦这宝贝一听电话,就冲着话筒气汹汹地直叫喊:“我想不通!想不通!你们上头变一变,我们下边乱一片!”

    三 王镇长

    “娘卖乖!搞得我姓王的人不像人,鬼不像鬼!本乡本土的,今后在芙蓉镇还有什么威信、脸面?”

    王秋赦习惯于镇上的人称呼他为“王镇长”,却不知居民们私下里喊他“王秋蛇”。众人嘴难封,耳不听为干净。尽管李国香书记事先跟他挂了电话打了招呼,他接到县委关于给秦书田、胡玉音落实政策的两个材料后,还是心急火燎,暴跳如雷。关上办公室的房门,独自一人擂了一顿办公桌,把一只玻璃杯都震落下水泥地板上打得粉碎。

    其实,王秋赦也是错怪了李国香。党中央三令五申平反历次政治运动积存下来的冤假错案,如春雷动地,春风浩阔,岂是小小的李国香们所能阻挡得住的?

    李国香倒是深知王秋赦的为人心性的。彼此都还有点藕断丝连,“恋旧”。这些年来,王秋赦本来是可以找个女人成家的,可是为了对李国香的感情专一,死心踏地,他做出了牺牲。单单这一点,李国香就心领神会,十分感动。因此隔了几天,李国香又从县委给他挂来一个电话,声音清晰和悦。电话里讲了些什么,因是“专线”,电讯局总机的接线生尚且不敢偷听,其余人就更是不得而知了。但见王秋赦接过电话,跌坐在藤围椅里,额头上冷汗直冒。这回王秋赦没有关起办公室房门来擂桌子,震落玻璃杯,而是在心里咒骂:
    “娘卖乖!有意思,给他们平了反,摘了帽,仍是个内专对象,脑门上还有道白印子,有道黑箍箍……话是这么讲,可你们拉下一摊稀屎巴巴,叫我来舔屁股!你倒好,快要调到省里工作去了,把我丢在这芙蓉镇,来办这些改正、平反、昭雪的冤案假案错案……李国香,你真是朵国香,总是香啊!三十六策,你走为上策。你走,你走,公鹅和金鸡,公牛和母大虫,反正也成不了长久的夫妻……”

    平心而论,王秋赦这些年来和李国香明来暗往,是互为需要,有得有失。有什么可抱怨的呢?而且得重于失。失掉的是什么?自己的泥脚杆子身分,得到的却是芙蓉镇镇长一职。这全亏李国香在杨民高书记面前好说歹说,一力推荐。要依了杨民高同志原来的性子,王秋赦这种扶不上墙的稀牛屎,易反易复的小人,是再也不得起用的。黎满庚就是一例,还不是一九五六年撤区并乡时不听老杨一句话,就一辈子都脱不了脚上的草鞋、背上的蓑衣?王秋赦又怎么啦?若单是论品德、才干,他还赶不上黎满庚一指头呢。但是“批林批孔”那年的春节前的一件事,彻底改变了杨民高书记对王秋赦的看法。

    原来杨民高书记全家,又特别是杨书记本人,每年冬春两季,有个酷爱吃冬笋的嗜好。片儿丝儿,嫩嫩的,脆脆的,炒瘦肉片,焖红烧鸭块、鸡块,炖香菇木耳片儿汤,都是绝不可少的。吃在嘴里格崩格脆,美不可言。冬笋又不是燕窝银耳,海参熊掌,山里土家伙,什么稀罕东西?本来作为一县首长,一冬一春吃个一两百斤冬笋何足挂齿?可巧那年竹子开花结米,自然更新换代,一山一山的都枯死了。冬笋竞和鱼翅一样成了稀罕之物。李国香在一个晚上,口角噙香地向王秋赦提供了表忠进身的机缘。第二天正逢芙蓉镇圩日,王秋赦在女主任的默许下,为了打击投机倒把,维护社会治安,堵塞资本主义,派出民兵小分队,把守圩场的各个进出口,宣布了一次紧急戒严。其时正是年关节下,山里社员们挑了点山货土产,来圩上换几个钱花。谁知圩场路口只准进,不准出。而且每个进圩场的人都要接受佩黄袖章的民兵的检查,凡窝藏在筐筐箩箩里的冬笋一律予以没收,其余一概不问。为什么单单没收冬笋,纯属上级机密,不得过问。一时,满圩场上人人失色,面面相觑。一个小道消息透露出来,一传十,十传百,人们交头接耳,添枝加叶,神色鬼祟慌乱,说是新近山里侦破了一个反动组织,叫笋壳党。反革命分子们把秘密文件匿藏在冬笋壳里进行反革命联络。所以这一圩上撒下了天罗地网,还不知要捕获多少反动组织的头头脑脑、脚脚爪爪呢!那些丢失了冬笋的人,哪里还顾得上那点子经济损失?只恨不得生出一双翅膀来,飞离圩场这是非之地,回到自己的家里去。在家千日好,出门动步难呢。

    “笋壳党”的高级绝密,是谁制造出来的?是民兵小分队的个别不忠分子有意给王镇长出难题?还是纯属赶圩群众的臆造,以讹传讹,弄假成真?倒搞得王秋赦和李国香也面面相觑,十分尴尬,怕事情闹大捅穿了。后来不停地在大会、小会上辟谣、追谣、肃谣,声明这次的芙蓉镇戒严纯系为了打击投机倒把,才算把事情平息了下去。

    再说芙蓉镇收缴冬笋后的当夜,由王秋赦亲自出马,把所获一百多斤珍贵的冬笋分装两只麻袋,用一辆自行车绑了,赶五、六十里夜路送进县城,交在杨民高书记的小厨房里。真是人不知,鬼不觉。杨民高书记第二天早晨起来看见了,皱着眉头把王秋赦批评了一顿:尊敬领导,爱护上级,不要来这一套嘛。奉送农副产品,是不正之风嘛,庸俗嘛。反对法权,负责干部尤其不要搞特殊化嘛。杨民高书记还把两麻袋冬笋提到路线觉悟、反修防修的高度来认识,并当即亲自和王秋赦抬扁担过了秤,按供销部门的收购价格算了账,只是没有立即付款。王秋赦心都凉了半截,只怨李国香的内线情报提供得不确切。杨民高书记的批评,他一直听到“既往不咎、下不为例、今后注意注意”,才觉察到事情有了转机。接着下来,杨书记亲自陪他吃了早饭。早饭当然只是富强粉馒头、豆浆、皮蛋、臭豆腐乳、一小碟白糖,简简单单。席间杨民高书记还关切地问了问王秋赦的工作、生活上有没有什么困难等等。当然,有关“笋壳党’’的传闻,王秋赦是被谣言所中伤,杨民高同志则是受了蒙蔽,只字不知。他只晓得冬笋长在竹山里,山里社员用锄头一棵一棵从土里刨出来的,而且对春竹的生长还很有些影响呢。

    不久,李国香就被杨民高书记召回县里,详细汇报了公社干部队伍的基本情况,当然包括了芙蓉镇大队支书王秋赦近些年来悔改前非、力求上进、对上级领导忠心耿耿等等有关情况。杨书记自然是根据“不能把活人看死”、也“不能把死人看活’,的原则,对王秋赦在“文化大革命”初期搞“三忠于”讲用时的“鹦鹉学舌”,予以谅解。重在现实表现。过了些日子,芙蓉镇上就传出了风声,说是为了培养和重用立场坚定、爱憎分明的基层干部,县委准备提拔本镇大队支书王秋赦为公社革委会副主任。可是世上没有不透风的墙,也是好事多磨。王秋赦为了收缴冬笋,擅自在芙蓉镇实行紧急戒严的事,还是被人告到了省里和地区。十里之郡,必有良才。何况芙蓉镇还是个三省十八县的贸易集镇。究竟是谁个告的?当日赶圩的人鱼龙混杂,什么阶级成分、社会关系的没有?难以一一查实。根据当时政府办事的一般手续,人民群众告到省里的状子,必定批转地区,地区再又批转县里,县里批转公社,都落到了李国香的手里。这些批语,大都也是一样的口气:“请查实情况,予以处理。”“根据党的有关政策查实处理。”“责成党委有关部门处理。”“转所在公社酌处。”……年月日当然不同,是批文当日填写上去的,就是鲜红、权威的印鉴,虽然都是标准的圆形,但也还有个大小之分,印泥颜色也有浓有淡。

    状子还是起到了一定的作用。县委有关部门呈报到地区有关部门的关于提拔、任命王秋赦同志为公社革委副主任的呈文,一直没有批下。连杨民高书记都只好摇头叹气,压制新生力量的顽固势力是何等地根深蒂固啊。后来随着形势的发展,县委决定把芙蓉镇设置为小于公社一级乡镇,就把王秋赦安排为拿工分、吃补贴的新型干部——镇革委会主任。县委职权范围的事,也就无须什么上级批准了。当时学生兴“社来社去”,新干部兴“不拿工资拿工分”,是“文化大革命”后期为着向资产阶级法权挑战而树立起来的新生事物。王秋赦既是新型干部,多在基层锻炼锻。日后前程无量……

    “娘卖乖,斗来斗去二十几年,倒是斗错了?秦癫子不但判刑判错了,就连一九五七年的右派帽子也戴错了!不但要出牢房,还要恢复工作!工资还不会低,比我这一镇头头的收入还高得多……而且,看来杨民高书记对我还留了一手,当了几年镇长,连个国家干部也没给转。还是吃的农村粮,拿工分,每月只三十六块钱的补助……”

    王秋赦在镇革委办公室里,面对着县委的两份“摘帽改正”材料,拿不起,放不下。办?还是不办?拖着,等等看?可是全国都在平反冤假错案,报纸上天天登,广播里天天喊,你王秋赦不过是个眼屎大的“工分镇长”,颈骨上长了几个脑壳?

    “娘卖乖,这么讲,秦书田右派改正,胡玉音改变成分,供销社主任复职,税务所所长平反……还有‘北方大兵’谷燕山哪!带出来这么一大串。十几、二十几年来山镇上谁没有错?就只那个‘北方大兵’谷燕山好像没大错。但若不是十几年来这么斗来斗去,自己能斗到今天这个职务?还不是个鸡狗不如的‘吊脚楼主’?要一分为二哪,要一分为二。”

    王秋赦最为烦恼的还不是这个。他还有个经济利害上的当务之急:要退赔错划富农胡玉音的楼屋,镇革委早就将“阶级斗争展览室”改做了小小招待所。小招待所每月有个一两百元的收入,又无须上税,上级领导来镇上检查、指导工作,跟兄弟单位搞协作,大宴小宴,烟酒开支,都指望这一笔收入。“向胡玉音讲清楚道理,要求她顾全大局,楼屋产权归还她,暂时仍做小招待所使用,今后付给她一点房租,五块八块的,估计问题不大……”

    王秋赦迫在眉梢的经济问题还有一个,就是要退赔社教运动中没收的胡玉音的一千五百元款子。十几年来,这笔款子已经去向不明。前些年自己没有职务补贴,后些年每月也只三十六元,吃吃喝喝,零碎花用,奉送各种名目的礼物……哪里够?你当王秋蛇还买了一部印票机么!

    “娘卖乖!这笔款子从哪里出?从哪里出?先欠着?对了,先欠着,拖拖再说。十几年来搞政治运动,经济上是有些模糊……一千五百元当初交在了谁手里?谁打了收据?哈哈,一笔无头账,糊涂账……胡玉音,党和政府给你平了反,昭了雪,恢复小业主成分,归还楼屋产权,还准许你和秦书田合法同居,你还有什么不满足?”

    话虽这样讲,王秋赦的日子越来越难混了。近些日子新街、老街出现的各种小道消息、马路新闻也于他十分不利,纷纷传说上级即将委任“北方大兵”谷燕山为镇委书记兼镇革委主任。上级并没有下什么公文,但居民们已经在眉开眼笑了。这人心的背向,王秋赦不痴不傻,是感觉得出来的。真是如芒在背,如剑悬颈。如今他也不敢轻易在大会小会上追谣、辟谣、肃谣了。打了几次电话到县委去问,县委办公室的人也含糊其词,没有给个明确的回答。他神思恍惚,心躁不安,真是到了食不甘味、卧不安枕的地步了。他经常坐在办公室里呆痴痴地,脸色有些浮肿,眼睛发直,嘴里念念有词,谁也不晓得他念些什么。他神思都有些迷离、错乱……有一天,他终于大声喊了出来:
    “老子不,老子不!老子在台上一天,你们就莫想改正,莫想平反!”

    四 义父谷燕山

    就是在大劫大难的年月,人们互相检举、背叛、摧残的年月,或是龟缩在各自的蜗居里自身难保的年月,生活的道德和良心,正义和忠诚并没有泯灭,也没有沉沦,只是表现为各种不同的方式。“北方大兵”谷燕山是“醉眼看世情”。那一年,铁帽右派秦书田被判刑劳改去了,胡玉音被管制劳动。老谷好些日子胆战心惊,因为他给这对黑夫妻主过媒。但后来事实证明黑夫妻两个还通人性、守信用,并没有把他老谷揭发交代出来,使他免受了一次审查。要不,他谷燕山可就真会丢掉了党籍、干籍。就是这一年年底的一天晚上吧,刮着老北风,落着鹅毛雪。老谷不晓得又是在哪里多喝了二两回来,从老胡记客栈门口路过,忽然听见里头“娘啊,娘啊,救救我……我快要死了啊”的痛苦呻吟,声音很惨,听起来叫人毛骨悚然。“胡玉音这新富农婆要生产了?”这念头闪进了他脑瓜里。他立即走上台阶,抖了抖脚上、身上的雪花,推了推铺门。门没有上闩。他走进黑古隆冬的长铺里,才在木板隔成的卧室里,见昏黄的油灯下,胡玉音挺着个大肚子睡在床上,双手死命地扳住床梯,满头手指大一粒的汗珠,痛得快要晕过去了。这可把谷燕山的酒都吓醒了。他一个男子汉从来没有经见过这场合:
    “玉音,你、你、你这是快、快了?”

    “谷主任,恩人……来扶我起来一下,倒口水给我、给我喝……”

    谷燕山有些胆战,身上有些发冷,真懊恼不该走进这屋里来。他摸索着兑了碗温开水给胡玉音喝。胡玉音喝了水,又叫扯毛巾给她擦了汗。胡玉音就像个落在水里快要淹死了的人忽然见到了一块礁石一样,双手死死地抓住了谷燕山:
    “谷主任,大恩人……我今年上三十三了……这头胎难养……”

    “我、我去喊个接生婆来!”谷燕山这时也急出一身汗来了。

    “不,不!恩人……你不要走!不要走……镇上的女人们,早就朝我吐口水了……我怕她们……你陪陪我,我反正快死了,大的小的都活不成……娘啊,娘啊,你为什么留我在世上造孽啊!……”

    “玉音!莫哭,莫哭。莫讲泄气话。痛,你就喊‘哎哟’……”谷燕山这个北方大兵,顿时心都软了,碎了。他身上陡涨了一股凛然正气,决定把拯救这母子性命的担子挑起来,义不容辞。什么新富农婆,去他个毬!老话讲:急人一难,胜造七级浮屠。顶多,为这事吃批判,受处分。人一横了心,就无所疑惧了:“玉音,玉音,你莫急。你若是同意,我就来给你……”

    “恩人……大恩人……政府派来的工作同志,就该都是你这一色的人啊,可他们……恩人,你好,你是我的青天大人……有你在,我今晚上讲不定还熬得过去……你去烧一锅水,给我打碗蛋花汤来……我一天到黑水米不沾牙……昕人家讲,养崽的时候就是要吃,要吃,吃饱了才有力气……”

    谷燕山就像过去在游击队里听到了出击的命令一般,手脚利索地去烧开水、打蛋花汤,同时提心吊胆地听着睡房里产妇的呻吟。不知为什么,他神情十分振奋,头脑也十分清醒。他充满着一种对一个新的生命出世的渴望和信心。柴灶里的火光,把他胡子拉碴的脸块照得通红。他觉得自己是在执行一项十分重要的使命,而且带点神秘性。他自己都有些奇怪,竞一下子这么劲冲冲、喜冲冲的。

    胡玉音在谷燕山手里喝下一大碗蛋花汤后,阵痛仿佛停息了。她脸上现出了一种奇怪的笑容,好像有点羞涩似的。然而产妇在临盆前,母性的自慰自豪感能叫死神望而却步。孕育着新生命的母体是无所畏惧的。胡玉音半卧半仰,张开双腿,指着挺得和个大圆球似的肚子说:“这个小东西,在里头踢腿伸拳的,淘气得很,八成是个胖崽娃!全不管他娘老子的性命……”

    “恭喜你,玉音,恭喜你,老天爷保佑你母子平安……”谷燕山这个在战争年代出生入死过来的人,竟讲出一句带迷信色彩的话来。

    “有你在……我就不怕了。不是你,今晚上,我就是痛死在这铺里,邦硬了,都没有人晓得……”胡玉音说着,眼睛蒙蒙咙咙的,竟然睡去了。或许是挣扎、苦熬了一整天,婴儿在母体里也疲乏了。或许是更大的疼痛前的一次短暂的憩息。

    谷燕山这可焦急起来了。他一直在留心倾听公路上有无汽车开过的声音。胡玉音睡下后,他索性转出铺门,顶风冒雪来到公路上守候。哪怕是横睡在路上,他都要把随便哪一辆夜行的车子截住。过了一会儿,雪停了,风息了。满世界的白雪,把夜色映照得明晃晃的。谷燕山双手笼进旧军大衣里,焦急地在雪地里来回走动……这时刻他就像一个哨兵。是啊,当年在平津战场上,他也是穿着这件军大衣,也是站在雪地里,等候发起总攻的信号,盼望着胜利的黎明……日子过得真快,世事变化真大啊!一个人的生活,有时对他本人来说都是一个谜,一个百思不解的谜。二十多年前,他站在华北平原的雪地里,是在以浴血奋战来迎接一个新国家、新社会的诞生;二十年后的今天,他却是站在南方山区小镇的铺着白雪的公路上,等候着一辆过路的汽车,用以迎接一个新的小生命。然而这是一个什么样的新的生命?黑五类的后代,非法同居的婴儿,他的出世本身就是一种罪孽……世事真是太复杂、太丰富了,解释不清。他不时地回过头去望望老胡记客栈。他急切地盼着听到汽车的隆隆声,见到车灯在雪地里扫射出的强烈光柱。前些时他还为了汽车带来的尘土、泥浆而诅咒过。可如今他把汽车当作了解救胡玉音母子性命、也是解救他脱离困境的神灵之物。可见无论是物质的文明还是精神的文明,都是诅咒不得的。

    过了好一会儿,他终于拦下了一辆卡车,而且还是解放军部队上的。一年前附近山洞里修了座很大的军用地下仓库。解放军驾驶员听着这位操着一口纯正北方话的地方干部模样的人解释了情况,就立即让他上了车,并把车子倒退到老街口。

    果然,谷燕山刚把胡玉音连扶带架,塞进了驾驶室,胡玉音的阵痛就又发作了,在他怀里痉挛着,呻吟着。多亏了解放军战士把车子开得既快又稳,径直开进了深山峡谷的部队医院里。

    胡玉音立即被抬进了二楼诊断室。安静的长长的走廊里,灯光净洁明亮。穿白大褂的男女医生、护士,在一扇玻璃门里出出进进,看来产妇的情况严重。谷燕山守候在玻璃门边,一步也不敢离开。诊断室就像仙阁琼楼,医生、护士就像仙姑仙子,他这个俗人不得进入。不一会儿,一位白大褂领口上露出红领章的医生,拿着个病历卡出来找他,直到军医解下大口罩,他才发觉是个女的,很年轻。

    “你是产妇的爱人吗?叫什么名字?什么单位?”

    谷燕山脸块火烧火辣,一时不知所措,胡乱点了点头。事已至此,不点头怎么办?救人要紧。他结口结舌地报上了自己的姓名和单位。女医生一一地写在病历卡上,接着告诉他:“你爱人由于年纪较大,孕娠期间营养不良,婴儿胎位不正,必须剖腹。请签字。”

    “剖腹?”谷燕山倒抽了一口冷气,眼睛瞪得很大。他顾不上脸红耳赤了。他心口怦怦跳着,望着军医领口上的红领章好一刻,才定了定神。自己也是这支队伍里出来的。这支队伍历来都是人民子弟兵,对人民负责,爱人民。十几二十年来虽然有了种种变化,他相信这根本的一点没有变。于是他又点了点头,并从女军医手里接过笔,歪歪斜斜地签上了“谷燕山”三个字。在这种场合,管他误会不误会,他都要临时负起作为丈夫和父亲的责任。

    胡玉音平躺在一辆手推车上,从诊断室里被推了出来。在走廊里,胡玉音紧紧捏着谷燕山的手臂。谷燕山跟着手推车,送到手术室门口。医生、护士全进去了,手术室的门立即关上了。

    他又守在门口,来来回回地走动,心如火焚。他多么盼着能隔着一道道门,听到婴儿被取出来时的哇哇啼叫声啊,胡玉音一定会流很多血,很多很多血……老天爷,这晚上,生活在他的感情深处,开拓出了一个崭新的领域……他感觉到了生命的伟大,做一个母亲真了不起。她们孕育着新的生命,生产新的人。有了人,这世界才充满了欢乐,也充满了痛苦。这世界为什么要有痛苦?而且还有仇恨?特别是在我们共产党、工人农民自己打出的天下、自己坐着的江山里,还要斗个没完,整个没完,年复一年。有的人眼睛都熏红了,心都成了铁,以斗人整人为职业、为己任。这都是为了什么?为了什么?他不懂。他文化不高,不知“人性论”为何物,水平有限,思想不通窍。“一脑壳的高粱花子”,竟也中“阶级斗争熄灭论”、“人性论”的毒害这样深……

    他苦思苦熬地度过了漫长的四个钟头。天快亮时,胡玉音被手推车推了出来。一个用医院洁白的棉裙包裹着的小生命,就躺在她身边。可是胡玉音脸色自得像张纸,双目紧闭,就和死了一样。“死了?”谷燕山的心都一下子蹦到了喉咙口,他眼里充满了泪水。推车的小护士心细,注意到了他脸上的绝望神情,立即告诉他:“大小平安。产妇是全麻,麻药还没有醒………‘活着!活着!”他没有大喊大叫,连生了个男娃女娃都忘了问。“活着!活着!”医院的长廊里静悄悄的,却仿佛回荡着他心灵深处的这种大喊大叫。

    按医院的规定,产妇和婴儿是分别护理的。婴儿的纱布棉裙上连着一块写有编号的小纸牌。谷燕山被允许进病房照料产妇。床头支架上吊着玻璃瓶,在给胡玉音打“吊针”。直到中午,胡玉音才从昏睡中醒了转来。她第一眼就看到了谷燕山。她伸出了那只没有输液的软塌塌的手,放在谷燕山的巴掌上。谷燕山像个温存而幸福的丈夫那样,在胡玉音的手背上轻轻地抚摩着。这时,小护士进来告诉这对“夫妇”,昨晚上生的是个胖小子,爱哭。编号是“7011”。这可好了,胡玉音哭了,谷燕山也眼眶红了,落下泪来。小护士颇有经验:这没有什么奇怪的,所有中年得子的夫妻都会像他们这样哭,高兴得哭。小护士给胡玉音注射了催眠针,并问:“给你们的胖小子取个什么名字?”胡玉音看了谷燕山一眼,也没商量一下,就对小护士说:“谷军。他的姓,解放军的军。”说着,很快就入睡了。

    由于伤口需要愈合调养,加上大雪封山,更主要是由于谷燕山的有意拖延,胡玉音在部队医院里住了五十几天。这段时间里,谷燕山每天早出晚归,往来于芙蓉镇和部队医院。好在这时他是粮站顾问,实际上一直靠边站,没有具体的工作负担。镇上的街坊们都晓得新富农婆胡玉音生了个胖崽娃,是劳改分子秦书田的种。其余,他们都不大感兴趣。就是有几位心地慈善的老娭毑,也只在胡玉音从部队医院回到老胡记客栈后,才偷偷地来看了看投生在苦难里的崽娃,留下点熟鸡子什么的。

    谷燕山却被传到县粮食局和公安局去问过一次情况。但粮食局长和公安局长都是和他一起南下的,属于自由主义第一种:同乡,同事,战友。他们都深知谷燕山是个老实而没大出息的人,虽然糊涂也断乎做不出什么大坏事,又兼“缺乏男性功能”,送个女人给他都白搭,就拿他开了一顿玩笑,没再追究。后来芙蓉镇和公社革委会还继续往县里送过材料,也没有引起重视。就连杨民高书记都嗤之以鼻:窝囊废,不值一提。但组织部门还是给了他个“停止组织生活”的处分。

    这一来,倒是无形中造成了谷燕山从生活上适当照料胡玉音母子的合法性。后来逐渐成为习惯,为镇上居民们所默认。一直到了“四人帮”倒台,一直到娃儿长到七、八岁,谷燕山和胡玉音虽然非亲非故,却是互相体贴,厮亲厮敬。谷燕山说:秦书田也快刑满回家了,再在崽娃的名字前边加个姓:秦。反正娃娃一直是个“黑人”,公社、大队不承认他,不给登记户口。谷燕山却是这“小黑鬼”的“义父”。这情况,被人们列为芙蓉镇地方“文化大革命”中后期的一件怪事。

    “亲爷,”有天,胡玉音拉着娃儿,依着娃儿的口气对谷燕山说,“满街上的人都在传悄悄话,讲是镇上百姓上了名帖,上级批下文来,要升你当镇上的书记、主任。王秋蛇要溜回他那烂吊脚楼去了!其实,新社会,人民政府,本就该由你这一色的老干部掌权、管印啊!”

    “莫信,莫信,玉音!”谷燕山苦笑着摇了摇头,“我连组织生活都没有恢复,还挂着哪。除非李国香、杨民高他们撤职或是调走……”

    “亲爷,都是我和娃儿连累了你……为了我们,你才背了这么多年的黑锅……”说着,胡玉音红了眼眶,抽抽咽咽哭了起来。

    “呵呵,这么多年了,你的眼泪像眼井水,流不干啊……”谷燕山劝慰着。他双手抚着娃儿,也是在劝慰着自己:“如今世道好了。上级下了文,要给你和书田平反了。我么,假若真派我当了镇上的头头,担子也太重啊。这镇上的工作是个烂摊子,都要从头做起。头件事,就是要治理芙蓉河……这些天,我晚上都睡不着……”

    还没上任,“北方大兵”就睡不着了。胡玉音含着眼泪笑了。娃儿也笑了。娃娃忽然嚷嚷说:
    “娘!亲爷!听讲黎叔叔也要当回他的大队支书了!黎叔叔昨晚上还答应给我上户口,我就不是黑人了!”

    五 吊脚楼塌了

    生活往往对不贞的人报以刻薄的嘲讽。

    这些年来,羞耻和懊恼,就像一根无形而又无情的鞭子,不时地抽打在黎满庚身上和心上。他的心蒙上了一层污垢。他出卖过青春年代宝贵的感情,背叛了自己立下的盟誓。在胡玉音划成新富农、黎桂桂自杀这一冤案上,他是火上浇油,落井下石,做了帮凶。他有时甚至神经质地将双手巴掌凑在鼻下闻闻,仿佛还闻到一丁点儿血腥味似的。

    但是,忠诚和背叛,在黎满庚的生活里总是纠缠在一起。他背叛了对胡玉音的兄妹情谊(而且是由纯洁的爱情转化来的),背叛了站在芙蓉河岸边立下的盟誓,也就背叛了自己的良心。可是,向县委工作组交出了胡玉音托他保管的一千五百元现款,却是向党组织呈上了自己的忠诚。多么巨大而复杂的矛盾!早在一九五六年他当区民政干事时,就是为了对组织忠诚,而牺牲了刻骨铭心的爱情。在组织和个人、革命和爱情面前,他总是理性战胜感性,革命排斥了爱情。他不加考虑地把组织观念看得重于一切,盲从到了愚昧的地步,从来没有去怀疑、去探究过这个所谓的“组织”执行的是什么路线。他没有这个水平。习惯于服从。诚然,他也曾经想过,许多领导同志也出身不好,社会关系复杂,他们却在战火纷飞的年代,把革命和爱情、理性和感性,结合得那样好,那样和谐,甚至举行刑场上的婚礼。他们是在为着同一项事业、同一个目标而爱,而恨。可那是打天下呀,需要流血牺牲呀!打天下当然要扩大队伍,什么人都可以参加,不能把门关得太严,而是要敞开大门……如今是坐天下,守江山。队伍就当然要纯而又纯,革命就需要不断地对内部进行斗争、整肃、清理。查清三代五服,才能保证纯洁性。因而就需要牺牲革命者个人的爱情,以至良心。良心看不见,摸不着,算几斤几两?而且小资产阶级才讲天地良心……就这样,黎满庚出卖了胡玉音,而且把她推进了无情打击的火坑。

    可是今天,历史做出结论,生活做出更正:胡玉音是错划富农,黎桂桂是被迫害致死。黎满庚呀黎满庚,你这个卑鄙的出卖者,你这个自私自利的小人,你这个双手沽着血腥气的帮凶!你算个什么共产党员?你还配做一个真正的共产党员?是党章上的哪条哪款、党的哪一号文件要求你这样做了?你怨谁?能怨谁啊?中国有三干八百万党员,没有几个人像你一样去背叛自己的兄弟姐妹、道德良心啊,没有几个人像你一样去助桀为虐啊。你能怨谁?混蛋,你能怨谁?

    黎满庚经常这样自责自问,诅咒自己。可是,就能全都怨自己吗?他是个天生的歹徒、坏坯、恶棍?对胡玉音,对芙蓉镇上的父老乡亲,自己就没有做过一件好事,就不曾有过赤子之心,没有过真诚、纯洁的感情?显然不是。胡玉音啊,这个当年胡记客栈老板的娇娇女,对他始终是一个生活的苦果,始终在他心底里凝聚着爱、怨、恨。就是她成了富农寡妇,她挂黑牌游街,戴高帽子示众,上台挨斗,自己都没有去凶过她,恶过她,作践过她……为了这,大队党支部、镇革委会,对他黎满庚进行了多次批判教育,批他的右倾,批他的“人性论”和“熄灭论”,直至撤销他的大队秘书职务,只差没有开除党籍。“人性论”啊“人性论”,“人性论”是个什么东西?什么形状、颜色?圆的、方的、扁的?黄的、白的、黑的?他黎满庚只有高小文化,头脑简单,四肢发达,想像力十分贫乏。只觉得“人性论”像团糠菜粑粑似地堵在他喉咙管,嚼不烂,吐不出,吞不下,怕要恶变成咽喉癌哟。他好狼狈啊,有苦难言,有口难辩。左右都不是人。岩层夹缝里的黄泥,被夹得成了干燥的薄片片,不求滋润,只求生存。这世事,这运动,这斗争,真是估不准、摸不着啊,你想紧跟它,忠实于它,它却捉弄你,把你当猴儿耍……

    “可怜虫!黎满庚,你这条可怜虫!”好几年,他都郁郁寡欢,自怨自愧,像病魔缠身。一个五大三粗、挑得百斤、走得百里的汉子,背脊佝偻了下来,宽阔的肩头仿佛负不起一个无形而又无比沉重的包裹。后来就连他的女人“五爪辣”,都被他的神色吓住了,担心他真的得下了什么病。“五爪辣”这女人也颇具复杂性。胡玉音“走运”卖米豆腐那年月,她怕男人恋旧,经常舌头底下挂马蹄,嘴巴“踢打踢打”,醋劲十足。对那一千五百元现款,她大吵大闹,又哭又嚎,逼着男人去告发,去上缴。她甚至幸灾乐祸地有了一种安全感。这一来,男人就对“芙蓉精”死了心。可是接着下来,她一年又一年地看着胡玉音戴着黑鬼帽子扫大街,又觉得作孽。纵是坏女人,也不应当一生一世受这份报应……男人一年四季阴沉着脸,从不跟她议论这些。但她晓得男人害的是什么心病。她有时觉得自己也是亏了心。胡玉音生娃娃那年,她还像做贼一样溜进老胡记客栈去看望过一回,那崽娃好胖哟,红头花色,手脚巴子和莲藕一样,巴壮巴紧。该叫什么?私生子,野崽?不,人家叫军军,有主,判刑劳改去了的右派分子秦书田是父亲。后来小军军一年年长大了,会跑会跳了,“五爪辣”还把他叫进自己屋里来,给他片糖吃。真是贱人有贱命。娃儿眼睛溜圆,样子像他娘又像他爷老倌,很俊。“五爪辣”对这娃儿有点子喜欢。因她后来又养过两胎,仍是“过路货”。如今一共“六千金(斤)”。有时人家问男人有几个崽女,男人总是闷声闷气地举起指头,报田土产量一样:“三吨”。“五爪辣”慢慢地看出来,男人也喜欢小军军。每回小军军一进屋,他就眼角、嘴角都挂上了笑。头回笑,二回抱,三回四回就不分老和少了。看着男人开心,“五爪辣”也高兴。男人再要郁郁闷闷、唉声叹气呆下去,真的惹下一身病来,她“五爪辣”拖着六个妹娃去讨吃,都不会有人给啊!

    “军军,来,给你果子吃!”黎满庚有时给家里的干金们零食吃,也给小军军留一份。“不,娘会骂的,娘不准我讨人家的东西吃,免得人家看不起。”小军军口齿伶俐,没有伸出巴掌来,但眼睛却盯住果子,分明十分想吃。小小年纪,就开始陷入感性和理性的矛盾。“五爪辣”在旁看着,也觉得这娃儿可怜可疼:“军军,你娘儿俩只一个人的口粮,你在家里吃得饱吗?”“娘总是等我先吃。我吃剩了娘才吃。有时我不肯吃,娘就打我,打了又抱起我哭……”讲到这里,娃儿眼眶红了。黎满庚和“五爪辣”听着,也都红了眼眶。他们体会得出,一个寡妇带着这么个正吃长饭的娃儿,两人吃一人的口粮,每天还要受管制、扫大街,是在苦煎苦熬着过日子啊。“五爪辣”自己呢,自男人不当干部后,日子好过得多。黎满庚是个好劳力,除了出集体工工分挣得多,自留地更是种得流金走银,四时瓜菜一家八口吃不赢,圩圩都有卖。“五爪辣”和妹儿们经管猪栏、鸡埘出息也大,像办了个小储蓄所。夫妇两个算是共得患难,同得甘苦。再者娃娃多了,年纪大了,年轻时候那醋劲妒意也消减了,所以家事和睦了。

    千金难买回头看。“四人帮”倒台后,人,都在重新认识自己啊。经过这些年来的文唱武打,运动斗争,人人都有一本账。有过的补过,有罪的悔罪。问心无愧的,高枕无忧。作恶多端的,逃不脱历史的惩罚。

    黎满庚和“五爪辣”,如今常留小军军在家里吃饭,和妹儿们玩耍。“军军,你娘晓得你是在哪里吃饭吗?”“晓得。”“骂没骂?”“没骂,就讲我像小叫花……”看来胡玉音是默许了。有一回,黎家请来裁缝,给六个妹儿做过年衣服,也顺带着给小军军做了一件。比着尺寸做好了,却没有给小军军穿上,而是用张纸包了,叫小军军拿回家去给娘看。不一会儿,军军就穿着那新崭崭的衣服回来了,回来给黎满庚夫妇看。“你娘给你穿上的?”“嗯。娘叫我回来谢谢叔叔和婶娘……”

    开春了,冰化雪消的解冻季节到了。今年春天的春雷响得早,春雨下得急。这天下午,公社党委通知黎满庚和王秋赦去参加公社党委扩大会。会议是公社党委和镇委联合召开的。新来的公社党委书记严厉批评了吊脚楼主给胡玉音和秦书田落实政策时搞拖延战术,留尾巴,至今不归还新楼屋和那一千五百元现款;并代表县委宣布,撤销王秋赦的芙蓉镇大队党支书、芙蓉镇革委会主任两个职务。芙蓉镇大队今后划归镇革委管辖,大队党支部暂时由老支书黎满庚负责,日内进行一次选举。镇党委、革委的负责人,县委另行委任。县委的决定还没宣布完,王秋赦就丢魂失魄地跑了,雨具都没有顾上拿,就光着脑壳跑到风雨里去了。人们拼命鼓掌,大声叫好。一时间,会场上的叫好声、巴掌声,盖过了会场外那风声雨声和动地的雷声。

    党委扩大会开到天黑才散。来去十里路,黎满庚虽戴了个笋壳斗笠,一身还是淋得透湿。可是他身上暖,心里热。自己恢复支书职务,虽然有些抱愧,但撤掉了王秋赦,除掉了镇上一害,这是镇上一大喜事啊。说不定还会有人给他打鞭炮,送邪神。

    “听讲你又当官了?那顶烂乌纱帽,人家扔到岭上,你又捡来戴到脑门顶上?”回到家,“五爪辣”一边看着他换衣服,一边问。

    “哪来的消息,这样子快?”

    “你和王秋蛇去开会,满镇子上的人就讲开了,还来问我哪。我又哪里晓得?反正我不管,自留地归你种,柴禾归你打。要不,我们娘女七个不准你进屋。你也莫想像过去似的,在家里也是‘脱产’干部!”

    “好的,好的,都依你。你放心,这几年我种自留地都种出了瘾……何况今后当这个芝麻绿豆官,也要参加生产了。上级已经批准我们山区搞包产到组,个别的还到户,哪个还会偷懒?”

    “王秋蛇这条懒蛇,从雨里跑回来,满街大喊大叫,你不晓得?”

    “喊什么?”

    “他重三倒四叫什么‘放跑了大的,抓着了小的’,‘放跑了大的,抓着了小的’!还喊‘千万不要忘记啊——’,‘文化革命五、六年再来一次啊——’,‘阶级斗争,你死我活啊——’!这回老天报应了,这个挨千刀的疯了!”

    “他不疯怎么办?春上就包产到组,哪个组肯收他,敢要他?给他几亩田,也只会长草……他吃活饭、当根子的年月过去了!”

    两夫妇正说着,忽然听得窗外的狂阔风雨中,发出了一阵轰隆隆楼屋倒塌似的巨响!

    “谁家的屋倒了?”黎满庚浑身一抖。“五爪辣”脸块吓得寡白。在古老的青石板街上,大都是些年久失修的木板铺面啊,谁家又遭灾了!

    黎满庚卷了裤脚,披了蓑衣,戴了斗笠正准备出门,只听街上有人尖着嗓音,报喜似地叫嚷:
    “吊脚楼倒了!吊脚楼塌了——!”

    六 “郎心挂在妹心头”

    胡玉音独自一人清早起来打扫青石板街,有多少个年头了?她默默地扫着,扫着,不抬头,不歇手。她有思维活动么?她在想着念着些什么?在想着往日里秦书田挥动竹枝扫帚时那舞台上摇桨一般的身影?在回忆他们那一年捉弄那一对掌权男女的开心的一幕?还是在寻找秦书田在青石板街上留下的足迹?这种足迹满街都是啊,密密麻麻,重重叠叠。正是这些足迹把一块块青石块踩得光光溜溜啊。还分得出来吗?哪是书田哥的?哪是自己的?这些足迹是怎么也扫不去的哪,它们都镶在青石板上了,镶在胡玉音的心田上了,越扫越鲜明……对于亲人的思念,成了滋润她心灵的养分。奇怪的是,在这样漫长的岁月里。她尝尽了一个“阶级敌人”应分的精神和肉体的“粮食”,含垢忍耻,像石缝里的一棵草一样生活着,竞再也没有起过“死”的念头。她也学得了书田哥应付这些场面时的那一手,喊她去接受批斗,她也像去队上出工那样平常。不等人家揪头发,她预先把脑壳垂下。不等人家从身后来踢腿肚子,她就会扑通一声先跪下。人家打她的右耳光,她也等着左边还有一下……她也被斗油了,斗滑了,是个老运动员了,该授予她“运动健将”的金牌。——连续十年十几年的极左大竞赛为什么不颁布竞赛成绩,不设置各种金牌、银牌、铜牌?这一来她却少吃了一些苦头。而且每次在批斗会上,她一动不动地朝乡亲们跪着,脸色寡白,表情麻木,不哭,像一尊石膏像。她的两只黑白分明的大眼睛有时抬起头来望望大家,眼神里充满了凄楚、哀怨,表示她还活着。她这双眼睛是妄图赢得乡亲们的怜惜,瓦解人们的斗志?还是在做着无声的抗议:“街坊父老姐妹们,你们看,我就是那个摆小摊卖米豆腐的芙蓉姐子……我就这样向你们跪着,跪着,直到你们有海量,宽怀大度,饶恕了我,放开了我……”的确,每逢镇上开批斗大会有她在台上跪着,会场气氛往往不激烈,群众斗志不高昂,火药味不浓。有的人还会红了眼眶,低下头去不忍心看。

    还有的人会找了各种借口,中途离开会场,尽管门口有民兵把守。

    树上的鸟雀、沟里的花草都有命。胡玉音也有一条命。万事万物都是命。命是注定的。要不,芙蓉镇上比她坏、比她懒、比她刁、比她心肠歹毒的女人都没有倒霉,偏偏她胡玉音起早贪黑、抓死抓活卖了点米豆腐就倒了霉?那些年年在队里超支、年年向国家讨救济的人就是好货?政府看得起、当宝贝的就是这号货?当亲崽亲女的就是这号角色!过去的衙门嫌贫爱富,如今有人把它倒了过来,一味地斗富爱贫,也不看看为什么富,为什么贫,而把王秋赦一号人当根本,当命根。好咧,胡玉音这一世人就当了傻子上了当,下世投胎,也好吃懒做,直扫帚不支,横扫帚不竖,也伸手向政府要吃,向政府要穿,向王秋赦学,吊脚楼歪斜了,竖根木桩撑着,也总是当现贫农,好让上级的人看了顺眼顺心,当亲崽亲女,当根子好搞运动……

    好死不如赖活,赖着脸皮也要活,人家把你当作鬼、当作黑色的女鬼也要活。胡玉音如今有了“心伴”,那个还在坐牢的书田哥,书田哥还给她留下了命根——小军军。她才不死哪,再苦再贱,她都活得有意思,值得。小军军是在她的搂抱、抚摩下长大的,在她没完没了的亲吻里笑啊,闹啊,吃啊,睡啊,呀呀学语,蹒跚起步,长到了八岁啊。勾起指头算,政府判了小军爸爸十年刑,坐过九年了,他快回来了。书田哥在洞庭湖劳改农场,月月都有信,封封信尾上都写着“亲亲小军军”。难道仅仅是“亲亲小军军”?玉音有一颗温柔的妻子的心,男人的意思她懂……玉音月月都给书田哥回信,封封都写上:“书田,军军亲亲你。你要保重身子,好好改造,政府早点放你回来。我和军军天天都在等你,望你。心都快等老了,眼睛都快望穿了。但是你放心,军军在一年年长大,我却还没有一年年变老。我的心还年轻,这年轻是留把你的,等着你的。你放心,放心,放心……”对了,玉音还记得唱《喜歌堂》,一百零八曲,曲曲都没忘,还会唱。也是留着唱给书田哥听的,留着等书田哥出了牢,回到家里一起唱。这个心思,这份情意,玉音啊,你的封封信里,有没有写上?你不要怕,《喜歌堂》不是什么暗语代号,只反一点封建,看守人员会把信交给书田哥看……

    胡玉音每天清早起来,默默地打扫着青石板街。她不光光是在扫街,她是在寻找、辨认着青石板上的脚印,她男人的脚印……“四人帮”倒台后的第二年,大队部、镇革委、派出所都有人吩咐过她:“胡玉音,你可以不扫街了。”但她还是天天清早起来扫。她一来怕今后变,人家讲她翻案;二来也仿佛习惯了,仿佛执拗地在向街坊们表示:要扫,要扫,要扫到我男人回来,我书田哥回来!一个性情温顺、默默无声的女人,那内心世界,是一座蕴藏量极大的感情的宝库。

    今年春上——一九七九年的春上,镇革委派人来找她去,由过去整过她、把她划作富农成分的人通知她:你的成分搞错了,扩大化,给你改正,恢复你的小业主成分,楼屋产权也归还,暂时镇革委还借用。她都吓懵了,双手捂住眼睛,不相信,不相信,不可能,不可能!这是在白日做梦……泪水从她手指缝缝里流下来,流下来,但没有哭出声。她不敢松开捂着眼睛的双手,害怕睁开眼睛一看,真是个梦!不可能,不可能……她作古正经当了十四、五年的富农婆,挨了那么多斗打,罚了那么多跪,受了那么多苦罪,怎么是搞错了?红口白牙一句话,搞错了!而且他们也爱捉弄人,当初划富农的是这些人,如今宣布划错了的也是这些人。这些人嘴皮活,什么话都讲得出,什么事都做得出。他们总是没有错。是哪个错了?错在哪里?所以胡玉音不相信这神话。这是梦。

    直到镇革委的人拿出县政府的公文来给她看,亮出公安局的鲜红大印给她认,她才相信了,这是真的。天啊,天啊,她差点昏厥了过去。她身子晃了几晃,没有倒下。搭帮这些年她被斗滑了,斗硬了。她忽然脸盘涨得通红,明眸大眼,伸出双手去,声音响亮(响亮得她自己都有点惊奇)地说:
    “先不忙退楼屋,不忙退款子,你们先退我的男人!还我的男人,我要人,要人!”

    镇革委的几个干部吓了一跳,以为这个多少年来蚊子都不哼一声似的女人,是在向他们讨还一九六四年自杀了的黎桂桂,是要索回黎桂桂的性命!他们一个个脸色发白,有些狼狈:看看,这个女人,刚给她摘帽,刚给她落实政策,她不感恩,不磕头,而是在这里无理取闹!

    胡玉音伸出的双手没有缩回,声音却低了下来:“还我的男人……我的男人是你们抓去坐牢的,十年徒刑,还有一年就坐满了,他没有罪,没有罪……”

    镇革委的人这才叹了一口气,连忙笑着告诉她:“秦书田也平反,也摘帽。他的右派也是错划了,还要给他恢复工作。省电台前天晚上已经播放了《喜歌堂》。”

    “哈哈哈!都错了!书田哥也划错了!哈哈哈!天呀,天呀,新社会回来啦!共产党回来啦!哈哈哈!新社会又没有跑到哪里去,我是讲他的政策回来啦……”

    四十出头了,胡玉音还从没在青石板街上这么放肆地笑过,闹过,张狂过。披头散发,手舞足蹈。街坊们都以为她疯了,这个可怜可悲的女人。直到她娃儿小军军来拉她,扯她,她才把娃儿抱起,当街打了几个转转,又在娃娃的脸上亲着,才打着响啵回老胡记客栈去了。

    胡玉音回到屋里,就倒在床上哭,放声大哭。哭什么?伤心绝望的时候哭,喜从天降的时候也哭!人真是怪物。哭,是哪个神仙创造的?应该发给生理学大奖,感情金杯,人文学勋章。要不,大悲大喜无从发泄,真会把人憋得五脏淤血。

    第二天清早,胡玉音仍旧拖着竹枝扫把去打扫青石板街。往时她是默默无声地扫着街,如今她是高高兴兴地扫着街。她就有种傻劲,平了反还来扫街,不扫街就骨头痒?才不是呐。做一个女人,她有她的想头,她是要感谢街坊邻居们,这些年来多亏你们发善心,讲天良,才没有把玉音往死里踩。玉音不是吃了你们的亏,你们多多少少还护了护玉音,给留了一条命。玉音不是吃了哪个人的亏,是吃了上级政策的亏……这些年来,胡玉音就是每天清早起来扫街,街坊们才晓得有这个黑女人在,新富农婆还在。既是玉音背时倒霉的时候扫过街,如今行运顺心了也可以扫街。扫街有什么丑?有什么不好?那些在新社会讨饭、讨救济、讨补助的人才丑。听讲北京、上海那些大口岸管扫街的人叫清洁工,还当人民代表,相片还上报,得表扬。

    其实,胡玉音仍旧清早起来扫青石板街,还有个心里的秘密。她晓得,书田哥在千里之外的洞庭湖滨劳改,接到平反改正的通知后,他会连天连夜地赶回来,生起翅膀飞回来。亲生的骨肉还没见过面,一别九年的女人老没老?玉音晓得,书田哥早就心都焦了,碎了。他还有不连天连夜赶回来的?玉音整夜整夜地睡不着。小军军却睡得像个小蠢子,任玉音抱他、亲他都不醒。玉音既是整晚整晚都没听见脚步声、敲门声,没等着书田哥回来,就有了一种预感:书田哥会早晨回来!听人家讲,州里开往县城的客班车是下午到。县城到芙蓉镇还有六十里,书田哥会顾不得在城里落伙铺,他会连夜顺着公路赶回来!是的,连夜赶回来……扫完一条街,天都大亮了,玉音也失望了。她就在心里抱怨:男人家呀男人家,总是粗心大意。你手续没办妥,一下子脱不开身,也该先来封信呀,先拍封电报呀。免得人家整晚整晚、一早一早地望呀,颈骨都望长啦,没良心的!或许书田哥回到县里,就先去办了恢复工作的手续?唉呀,男人家的心,比天高,比天大。玉音不喜欢你去做那个鬼工作,免得又惹祸。你就守在玉音身边,带着小军军,种自留地,养猪养鸡养鸭,出集体工,把我们的楼屋都绣上花边,配上曲子,把日子打发得流水快活……

    这些年来的折磨,也使得胡玉音心虚胆怯,多疑。自给她改正、去帽那天起,她就怕变,怕人家忽然又喊“打倒新富农婆!”陷民兵又突然来给她挂黑牌,揪她去开批斗会,去罚跪……她时时胆战心惊,神经质。她急切地盼着书田哥回来,回来一起过过这好日子!哪怕过上两天三天,十天半月,挺直腰板,像人家那些夫妻一样,并排走在街上,有讲有笑,进出百货商店。书田哥呀,你快些回来,你还不回来!万一有朝一日,我又重新戴上了新富农婆的帽子,你又当了右派才见面,生成的“八字”铸成的命,那就哭都哭不赢……

    这天清早,有雾,打了露水霜,有点冷人。胡玉音又去打扫青石板街。她晚上没有睡好,拖着疲惫的双腿,没精打采。盼男人盼得都厌倦了。一早一晚的失望。她晚上总是哭,天天都换枕头帕。男人不回来,她算什么改正、平反呀!这一切有什么意思、有什么用处呀!她真想跑到镇革委去吵,去闹:我的书田哥怎么还不回来?你们的政策是怎么落实的呀?你们还不去把他放回来?……竹枝扫把刮着青石板,沙、沙、沙,一下,一下,她扫到了供销社围墙拐角的地方,身子靠在墙上歇了歇。她不由地探出身子去看了看小巷子里的那条侧门,当年王秋赦拐断脚的地方。如今侧门已经用砖头砌严实了,只留下了一框门印。管它呢,那些老事,还去想它去做什么……回转身子,拿起扫帚,忽然前边一个人影,提着旅行袋什么的,匆匆地朝自己走来。大约是个赶早车的旅客。哟,这客人,也不问问清楚,走错啦,汽车站在那一头,应该掉过身子去才对呀。但那人仍在匆匆地朝自己走来。唉,懒得喊,等他走到了自己的身边,才告诉他该向后转……竹枝扫把刮着青石板,沙沙沙,沙沙沙……

    “玉音?玉音,玉音!”

    哪个在喊?这样早就喊自己的名字?胡玉音眼睛有些发花,有些模糊,一个瘦高的男子汉站在自己面前,一口连鬓胡子,穿着一身新衣新裤,把一只提包放在脚边。这男子汉呆里呆气,站在那里像截木头……胡玉音不由地后退了一步。

    “玉音,玉音!玉音——!”

    那人的声音越来越大,张开两手,像要朝自己扑过来。胡玉音眼睛糊住了,她好恨!怎么面对面都看不清,认不准人啦。她心都木啦,该死,心木啦!这个男人是不是书田哥?自己又在做梦?书田哥,书田哥,日盼夜盼的书田哥?不是的,不是的,哪会这么突然,这么轻易?她浑身颤战着,嘴皮打着哆嗦,心都跳到了喉咙管,胸口上憋着气,快憋死人了。她终于发出了一声石破天惊的呼喊:
    “书——田——哥——!”

    秦书田粗壮结实的双臂,把自己的女人抱住了,紧紧抱住了,抱得玉音的两脚都离了地。玉音一身都软塌塌,像根藤。她闭着眼睛,脸盘白净得像白玉石雕塑成。她任男人把她抱得铁紧,任男人的连鬓胡子在自己的脸上触得生痛。她只有一个感觉,男人回来了,不是梦,实实在在地回来了。就是梦,也要梦得久一点,不要一下子就被惊醒……

    竹枝扫把横倒在青石板街上,秦书田把胡玉音抱在近边的供销社门口的石阶上坐下来,就像怀里搂着一个妹儿。胡玉音这才哇的一声哭了起来:
    “书田哥!书田哥!你、你……”
    “玉音!玉音!莫哭,莫哭,莫哭……”
    “你回来也不把个信!我早也等,晚也等……我晓得你会连天连夜赶回来!”
    “我哪里顾得上写信?哪里顾得上写信?坐了轮船坐火车,下了火车赶汽车,下了汽车走夜路,只恨自己没有生翅膀……但比生翅膀还快,一千多里路只赶了三天!玉音,你不高兴,你还不高兴?”
    “书田哥!我就是为了你才活着!”
    “我也是!我也是!要不,早一头栽进了洞庭湖!”
    胡玉音忽然停止了哭泣,一下子双臂搂住了秦书田的颈脖,一口一口在他满脸块上亲着,吻着。

    “哎呀,玉音,我的胡子太长了,没顾上刮。”

    “你一个男人家,哪晓得一个女人的心!”

    “你的心,我晓得。”

    “我每天早晨扫街,都喊你的名字,都和你讲话,你晓得?”

    “晓得。我每天早起去割湖草,去挑湖泥,总是在和你答话,我们有问有答。我晓得你在扫街,每早晨从哪块扫起,扫到哪里歇了歇。我听得见竹枝扫把刮得青石板沙沙沙……”

    “你抱我呀!抱我呀,抱紧点!我冷。”

    胡玉音依偎在秦书田怀里,生怕秦书田突然撒开了双手,会像影子一样突然消失似的。

    “玉音,玉音……我的好玉音,苦命的女人……”

    这时,秦书田倒哭起来了,双泪横流:

    “你为了我,吃了多少苦,受了多少罪……今生今世,我都还你不起,还你不起……多少年来,我只想着,盼着,能回到你身边,看上你一眼,我就心甘情愿……万万想不到,老天开了眼,我们还有做人的一天……”

    胡玉音这时没有哭,一种母性的慈爱感情,在她身上油然而生。她抚着秦书田乱蓬蓬的头发,劝慰了起来:
    “书田哥,我都不哭了,你还哭?‘郎心挂在妹心头’。记得我娘早就跟我讲过,一个被人爱着、想着的人,不管受好大的难,都会平平安安……这么多年,我心里就是这么想着、爱着的,我们才平平安安相会了!我们快点起来吧。这个样子坐在供销社阶沿上,叫起早床的街坊们看见了,会当作笑话来讲!”

    秦书田又哭了。他们双双站起来,像一对热恋着的年轻人,依偎着朝老胡记客栈走去。

    “军军满八岁了,对吧?他肯不肯喊爸爸?”

    “我早就都告诉他了。他天天都问爸爸几时回来,都等急了……话讲到头里,你若是见了崽娃就是命,把我晾到一边,我就不依……”

    “傻子,你尽讲傻话,尽讲傻话!”

    七 一个时代的尾音

    芙蓉镇今春逢圩,跟往时不大相同。往时逢圩,山里人像赶“黑市”,出卖个山珍野味,毛皮药材,都要脑后长双眼睛,留心风吹草动。粮食、茶油、花生、黄豆、棉花、苎麻、木材、生猪、牛羊等等,称为国家统购统销的“三类物资”,严禁上市。至于猪肉牛肉,则连社员们自己一年到头都难得沾几次荤腥,养的猪还在吃奶时就订了派购任务,除非瘟死,才会到圩场上去卖那种发红的“灾猪肉”。城镇人口每人每月半斤肉票,有时还要托人从后门才买到手。说来有趣,对于这种物资的匮乏、贫困,报纸、《参考消息》则来宣传现代医学道理:动物脂肪胆固醇含量高,容易造成动脉硬化、高血压、心脏病,如今一些以肉食为主的国家都主张饮食粗淡,多吃杂粮菜蔬,植物纤维对人体有利。红光满面不定哪天突然死去,黄皮寡瘦才活得时月长久,延年益寿……

    时间真像在变魔术!“四人帮”倒台才短短两年多一点,山镇上的人们却是恍若隔世,进到了一个崭新的世代里了啊。如今芙蓉镇逢圩,一月三旬,每旬一六,那些穿戴得银饰闪闪、花花绿绿的瑶家阿妹、壮家大姐,那些衣着笔笔挺挺的汉家后生子,那些丰收之后面带笑容、腰里装着满鼓鼓钱荷包的当家嫂子、主事汉子们,或三五成群,或两人成对,或担着嫩葱水灵的时鲜白菜,或提着满筐满篮的青皮鸭蛋、麻壳鸡子,或推着辆鸡公车,车上载着社队企业活蹦乱跳的鱼鲜产品,或一阵风踩着辆单车,后座上搭一位嘻哈女客……人们从四乡的大路、小路上赶来,在芙蓉镇的新街、老街上占三尺地面,设摊摆担,云集贸易。那人流、人河,那嗡嗡的闹市声哟,响彻偌大一个山镇……圩场上最为惹人注目的,是新出现了米行、肉行。白米,红米,糙米,机米,筐筐担担,排成队,任人们挑选议价。新政策允许社员们在完成国家的征购派购任务后,到市场上出售富余的粮油农副产品。肉行更是蔚为壮观,木案板排成两长行,就像在开着社员家庭养猪的展销会、评比会,看谁案板上的膘厚油肥,皮薄肉嫩。“老表!这头猪总怕有三百上下吧?”“三、五百!再养下去不合算了。”“呵呵,尽是肥冬瓜,精肉太少了,女人家嫌油腻……”“你同志真是人心难足喽,不想想两年前,一月半斤肉票,你家炒红锅子菜哩,如今却嫌肥,怨精肉少了!”真是上哪座岭唱哪山歌。就是不逢圩的日子,新街老铺的猪肉也是从天光卖到天黑。产供销出现了新矛盾:社员要交猪,食品站不收。理由是小镇地方小,没有冷库,私人的猪肉都卖不脱,公家杀猪哪来的销路?和前些年相比,供销关系颠倒了过来……山镇上的人们啊,不晓得“四个现代化”具体为何物,但已经从切身的利益上,开始品尝到了甜头。

    没有近忧,却有远虑。旧的阴影还没有从人们的心目中消除,还有余悸预悸。人们还担心着,谈论着,极左的魔爪,会不会突然在哪个晚上冒出来掐灭这未艾方兴的蓬勃生机。口号和标语,斗争和运动,会不会重新发作膨胀,来充塞人们的生活,来代替油盐柴米这些赖以生存的必需品……阴影确是存在着。吊脚楼主王秋赦发疯后,每天都在新街、老街游来荡去,褴褛的衣衫前襟上挂满了金光闪闪的像章,声音凄凉地叫喊着:

    “千万不要忘记啊——!”

    “‘文化大革命’,五、六年又来一次啊——!”

    “阶级斗争,你死我活啊——!”

    王疯子的声音,是幽灵,是鬼魂,徘徊在芙蓉镇。镇上的大人小孩,白天一见了王疯子,就朝屋里跑,就赶紧关铺门;晚上一听见他凄厉的叫喊,心里就发麻,浑身就哆嗦。已经当了青石板街街办米豆腐店服务员的胡玉音,听见王疯子的叫声,还失手打落过汤碗。新近落实政策回到镇上来的税务所长一家,供销社主任一家,更是一听这叫声就大人落泪娃儿哭,晚上难入睡……吊脚楼主仍旧是芙蓉镇上的一大祸害。

    山镇上的街坊们在疑惧,在诅咒。

    “芙蓉姐子”抚着小军军稚气的头,在担扰:“王疯子冻不死,饿不死,还有好长的寿啊?”

    黎满庚的女人“五爪辣’也在问:“难道他剁脑壳、打炮子的王疯子还想当镇长、支书,赶着我们去做语录操,去跳忠字舞?”

    本镇大队党支部书记黎满庚说:“疯得活该!我们是新社会,有党领导,王秋赦这色人物终究成不了气候。教训深刻啊!”

    镇委书记、“北方大兵”谷燕山正在忙着治理芙蓉河、玉叶溪,他没有发表这方面的言论,只打算立即派人把王秋赦送到州立精神病院去治病,叫做送瘟神。
    县文化馆副馆长秦书田新近回到芙蓉镇来搜集民歌,倒说了一句颇为见多识广的话:“如今哪座大城小镇,没有几个疯子在游荡、叫喊?他们是一个可悲可叹的时代的尾音。”

    一九八〇年七月十八日—八月四日初稿于莽山;九月初整理于全国作协文学讲习所;十月修改于北京朝内大街一六六号。

    芙蓉镇后记

    习作《芙蓉镇》在今年《当代》第一期发表后,承蒙广大读者和首都文艺界师友们的热情关心,给了我许多鼓励和鞭策。我在感激的同时,也觉得十分愧疚。盼着多出现一些反映当代农村生活的作品,大约是促成许多省市的读者给我来信的原因——殊不知我只是个文学战线的散兵游勇而已。还有的读者来信祝作者幸福,仿佛在替我担忧着某种隐患似的。真是些热心肠的同志哥、同志姐哟。

    农村的情况如何,八亿人口的生养栖息、衣食温饱,对我们国家来讲是举足轻重的。特别是当前农村正经历着经济管理体制的深刻变革,九百六十万平方公里的广袤土地,寒带、温带、亚热带、热带,平原、高原、山地、丘陵,水稻、旱粮、瓜果、森林植被,不再按一个模式搞生产运动了,不再搞既违农时、又背地利的“规范化作业”了,实在是我们社会的一个了不得的进步。在新的形势之前,回顾一下过去的教训,展望一下业已来到的良辰,不也是有益处的么?
    记得前些年,我自己就有一个颇为“规范化”的头脑,处世待人,著文叙事,无不瞻前顾后,谨小慎微,惟恐稍有疏漏触犯了多如牛毛的戒律,招来灾祸。是党的三中全会的思想路线解放了我,给了我一些认识生活的能力,剖析社会和人生的“胆识”。然而我的这点在“四个坚持”原则指导下的“胆识”,比起同辈作家和广大读者来仍然是有限得很。我是个南方的乡下人,身处江湖之远,既有乡下人纯朴、勤奋的一面——恕我在这里自诩;也有乡下人笨拙、迟钝的一面——恕我在这里妄言。去年,我有幸参加中国作家协会文学讲习所第五期学习,跟一群来自全国各地的中青年作家朝夕相处。学友才高,京华纸贵,我看到了自己和这些优秀同窗之间的差距。我虽然于五十年代末期即开始学习写作,一九六二年开始发表短篇习作,但起点很低,染有粉饰生活的文学苍白症。“四人帮”倒台后,我们的党和国家进入了一个崭新的历史时期,我们的社会主义文学艺术翻开了崭新的篇页。发展之快,变革之烈,已是恍若隔世。大批中青年作家继承老一辈作家开创的现实主义传统,直面复杂的社会和人生,写出了许多光华耀目、感奋人心的好作品。新的时代提出了新的文学要求。就我来说,面对着这种新的文学要求,既有重新认识生活、剖析生活的问题,也有艺术素养、表现手段的问题。于是我探索着,尝试着把自己二十几年来所熟悉的南方乡村里的人和事,囊括、浓缩进一部作品里,寓政治风云于风俗民情图画,借人物命运演乡镇生活变迁,力求写出南国乡村的生活色彩和生活情调来。这样,便产生了《芙蓉镇》。
    有的朋友出于对我的爱护,指出我的习作写得过于真实。文学的真实当然不是给生活拍摄原始图片,它是经作者思想感情、艺术构思筛选、提炼出来的结晶体。当然,有时文学对于社会生活的真实描写,是会让人害羞和痛心的。我觉得,在今天我们这个特定的历史年代里,害羞是一种颇为可贵的感情,是富有自尊心的表现。它可以成为一种跟过去的过失诀别的心灵的感召力,从而记取那些令人心悸的教训,卸却身上因袭的重负,为振兴中华、实现“四化”奋斗不息。还有,就是对于我们的下一代,也可起到一种引以为鉴的效益。
    《芙蓉镇》是我在创作道路上的一次新的尝试。既是尝试,则难免幼稚,会伴随些谬误。好在鲁迅先师有言:惟其幼稚,正好寄希望于这一面。这是我的自慰,亦是我的自勉。
    借着这次出版单行本的机会,我对曾经支持、关怀过这部书稿写作、修订的前辈作家和编辑同志,对所有给我以鞭策鼓励的读者,以及我家乡民歌的搜集整理者,表示诚挚的谢意。但愿在春的盛会里,这部习作能如一支柔弱的石楠竹,探身于群芳竞彩的文学花园的竹篱边,绽放出有些羞涩然而却是深情的微笑。

    一九八一年五月七日于北京

    话说《芙蓉镇》

    长篇小说《芙蓉镇》在今年《当代》第一期刊载后,受到全国各地读者的注意,数月内《当代》编辑部和我收到了来信数百封。文艺界的师友们也极为热情,先后有新华社及《光明日报》、《中国青年报》、《当代》、《文汇报》、《作品与争鸣》、《湖南日报》等报刊发了有关的消息、专访或评论。这真使我这个土头土脑、默默无闻的乡下人愕然惶然了,同时也体味到一种友善的情谊和春天般的温暖。来信的读者朋友们大都向我提出这样一些问题:你走过什么样的创作道路?是怎样写出《芙蓉镇》来的?《芙蓉镇》“寓政治风云于风俗民情图画,借人物命运演乡镇生活变迁”,你的生活经历和小说里所描绘的乡镇风物有些什么具体的联系?你的这部小说结构有些奇怪,不大容易找到相似的来类比,可以说是不中不西、不土不洋吧,这种结构是怎么得来的?你在文学语言上有些什么师承关系?喜欢读哪些文学名著?小说中“玩世不恭的右派秦书田是不是作者本人的化身’’?接近文艺界的同志讲,你写这部小说只花了二十几天时间,是一气呵成的急就章,是这样吗?
    这些问题,使我犹如面对着读者朋友们一双双沉静的、热烈的、含泪的、严峻的眼睛,引我思索,令我激动。文学就是作者对自己所体验的社会生活的思考和探索,也是对所认识的人生的一种“自我问答”形式。当然这种认识,思考和探索是在不断地前进、发展着的。
    面对后两类问题,我不禁很有些感叹、戚然。因为自己这样一个写作速度缓慢、工作方法笨拙的人,居然被戴上了“才思敏捷”、“日产万言”的桂冠。“平生无大望,日月有小酌。”以我一个乡下人的愚见,一年能有个三两篇、十来万字的收获,即算是风调雨顺、五谷丰登的好年景了,小康人家式的满足也就油然而生并陶然自得了。其实,一部作品的写作时间是不能仅仅从下笔到写毕来计算的。《芙蓉镇》里所写的社会风俗、世态民情、人物故事,是我从小就熟悉,成年之后就开始构思设想的。正如清人金圣叹在第五才子书的卷首所论及的:“然而经营于心,久而成习,不必伸纸执笔,然后发挥。盖薄暮篱落之下,五更卧被之中,垂首捻带、睇目观物之际,皆有所遇矣。”我觉得,不论后人怎样评价金圣叹在《水浒》问题上的功过,他所悟出的这个有关小说创作的道理,却是十分精辟独到,值得后世借鉴的。
    我是怎样学起做小说,又怎样写出《芙蓉镇》来的?这要从我的阅读兴趣谈起。我读过一点书,可说是胃口颇杂,不成章法。起初,是小时候在家乡农村半生不熟、囫囵吞枣地读过一些剑侠小说,志怪传奇,倒也庆幸没有被“武侠”引入歧途,去峨嵋山寻访异人领授异术。接着下来读《三国》、《水浒》、《西游》、《红楼》,读“五四”以来的名作,才稍许领味到一点文学的价值所在,力量所在。至于走马观花地涉猎十八、十九世纪的西方文学,沉迷流连于屠格涅夫、列夫·托尔斯泰、梅里美、巴尔扎克、乔治·桑等等巨匠所创造的艺术世界、人物面廊,则是中学毕业以后的事了。后来年事稍长,生出些新的癖好,鸡零狗碎地读过一点历史的、哲学的著作,中外人物传记,战争回忆录,世界大事纪等等。又因生性好奇好游,却无缘亲眼见到美利坚的月亮、“日不落帝国”的太阳、法兰西的水仙、古罗马的竞技场,只好在书的原野上心驰神往。还追踪着报刊上披露的一则则有关航天、巡海、核弹、飞碟、外星人、玛雅文化、金字塔和百慕大魔三角奥秘的各种消息,来做一个乡下小知识分子“精神自我会餐”的梦……叫做“好读书,不求甚解”,以读书自乐自慰。日积月累,春秋流转,不知不觉中,我就跟文学结下了一种前世未了之缘似的关系。
    就这样,我麻着胆子,蹒跚起步,学着做起小说来了。甚至还坐井观天地自信自己经历的这点生活、认识的这点社会和人生,是前人——即便是古代的哲人们所未见、所未闻的,不写出来未免可惜。我的年纪不算大,经历中也没有什么性命攸关的大起大落,却也是从生活的春雨秋霜、运动的峡谷沟壑里走将出来的。我生长在湘南农村,参加工作后又在五岭山区的一个小镇子旁一住就是一十四年,劳动、求知、求食,并身不由己地被卷进各种各样的运动洪流里,经历着时代的风云变幻,大地的寒暑沧桑。我幼稚、恭顺、顽愚,偶尔也在内心深处掀起过狂热的风暴,还曾经在“红色恐怖”的獠牙利爪面前做过轻生的打算。山区小镇古老的青石板街,新造的红砖青瓦房,枝叶四张的老樟树,歪歪斜斜的吊脚楼,都对我有着一种古朴的吸引力,一种历史的亲切感。居民们的升迁沉浮、悲欢遭际、红白喜庆、鸡鸣犬吠,也都历历在目、烂熟于心。我发现,山镇上的物质生产进展十分缓慢,而人和人的关系则在发生着各种急骤的变幻,人为的变幻。
    “文化大革命”前和“文化大革命”中,我都曾深深陷入在一种苦闷的泥淖中,也可以说是交织着感性和理性的矛盾。一是自己所能表现的生活是经过粉饰的,苍白无力的,跟自己平日耳濡目染的真实的社会生活相去甚远,有时甚至是完全相反——这原因今天已经是不言自明的了。二是由于自己的文学根底不足,身居偏远山区,远离通都大邑,正是求师无望,求教无门。因之二十年来,我每写一篇习作,哪怕是三两千字的散文或是四五千字的小说,总是在写作之前如临大考,处于一种诚惶诚恐的紧张状态。写作过程中,也不乏“文衢通达”、“行云流水”的时刻,却总是写完上一节,就焦虑着下一章能否写得出(且不论写得好不好)。初稿既出,也会得意一时,但过上三五天就唉声叹气,没有了信心,产生出一种灰色的“失败感”。爱人摸准了这个心性,每当我按捺不住写作过程中的自我陶醉,眉飞色舞地向她讲述自己所写的某个人物、某个情节或是某段文字时,她就会笑骂一声“看你鬼神气!不出三天,又来唉声叹气!”果然几天后初稿一完,我也就从妄自得意走到了反面——心灰意冷。直到很多日子过去,才又不甘失败地将稿子拿出来,请朋友看看有无修改价值。我的不少小说,都是受了朋友的鼓励,才二稿三稿地另起炉灶,从头写起。我甚至不能在原稿的天头地角上做大的修改,而习惯于另展纸笔,边抄边改,并把相当一部分精力花在了字句的推敲上。我由衷地羡慕那些写作速度快的同行,敬佩他们具有“一次成”的本领和天分。假若不是社会主义制度的优越性保障了我的基本生活,而到别的什么制度下去参予什么生存竞争,非潦倒饿饭不可。
    一九七八年秋天,我到一个山区大县去采访。时值举国上下进行“真理标准”的大讨论,全国城乡开始平反十几、二十年来由于左的政策失误而造成的冤假错案。该县文化馆的一位音乐干部跟我讲了他们县里一个寡妇的冤案。故事本身很悲惨,前后死了两个丈夫,这女社员却一脑子的宿命思想,怪自己命大,命独,克夫。当时听了,也动了动脑筋,但觉得就料下锅,意思不大。不久后到省城开创作座谈会,我也曾把这个故事讲给一些同志听。大家也给我出了些主意,写成什么“寡妇哭坟”啦,“双上坟”啦,“一个女人的昭雪”啦,等等。我晓得大家没真正动什么脑筋,只是讲讲笑笑而已。
    党的具有历史意义的三中全会的召开,制定了“实事求是、解放思想”的正确路线,使我们国家的政治生活发生了历史性转折。人民在思考,党和国家在回顾,在总结建国三十年来的经验教训。而粉碎“四人帮”以来的文学呢,则早已经以其敏感的灵须,在触及、探究生活的也是艺术的重大课题了。我也在回顾、在小结自己所走过的写作道路。三中全会的路线、方针,使我茅塞顿开,给了我一个认识论的高度,给了我重新认识、剖析自己所熟悉的湘南乡镇生活的勇气和胆魄。我就像上升到了一处山坡上,朝下俯视清楚了湘南乡镇上二三十年来的风云聚会,山川流走,民情变异……
    一九八〇年七—八月间,正值酷暑,我躲进五岭山脉腹地的一个凉爽幽静的林场里,开始写作《芙蓉镇》草稿。当时确有点“情思奔涌、下笔有神”似的,每日含泪而作,嬉笑怒骂,激动不已。短短十五、六万字,囊括、浓缩进了二、三十年来我对社会和人生的体察认识,爱憎情怀,泪水欢欣。从这个意义上讲,说我是花了二十几年的心血才写出了《芙蓉镇》,也不为过分。
    不少读者对《芙蓉镇》的结构感兴趣,问这种“不中不西、不土不洋”的写法是怎么得来的。我觉得结构应服务于生活内容。内容是足,形式是履。足履不适是不便行走的。既不能削足适履,也不宜光了脚板走路。人类已经进入了现代化社会。科学文明的突飞猛进,加快了人类生活的速度与节奏。人们越来越讲求效率与色彩。假若我们的文学作品还停留或效仿十七、八世纪西方文学的那种缓慢的节奏、细致入微的刻画,今天的读者(特别是中青年读者)是会不耐烦的了。而且,我国古典文学作品中,故事发展的节奏和速度都是较快的,读者也读着痛快习惯。

    前面已经说过,《芙蓉镇》最初发端于一个寡妇平反昭雪的故事。那些年我一直没有写它,是考虑到如果单纯写成一个妇女的命运遭际,这种作品古往今来已是屡见不鲜了,早就落套了。直到去年夏天,我才终于产生了这样一种设想:即以某小山镇的青石板街为中心场地,把这个寡妇的故事穿插进一组人物当中去,并由这些人物组成一个小社会,写他们在四个不同年代里的各自表演,悲欢离合,透过小社会来写大社会,来写整个走动着的大的时代。有了这个总体构思,我暗自高兴了许久,觉得这部习作日后写出来,起码在大的结构上不会落套。于是,我进一步具体设计,决定写四个年代(一九六三年、一九六四年、一九六九年、一九七九年),每一年代成一章,每一章写七节,每一节都集中写一个人物的表演。四章共二十八节。每一节、每个人物之间必须紧密而自然地互相连结,犬齿交错,经纬编织。

    当然,这种结构也许是一次艺术上的铤而走险。它首先要求我必须调动自己二、三十年来的全部的乡镇生活积蓄,必须灌注进自己的生活激情,压缩进大量的生活内容。同时,对我驾驭语言文字的能力,也是一次新的考验。时间跨度大,叙述必然多。我觉得叙述是小说写作——特别是中长篇小说写作的主要手段,叙述最能体现一个作家的语言风格和文字功力。我读小说就特别喜欢巴尔扎克作品中的浮雕式的叙述,自己写小说时也常常津津乐道于叙述。
    《芙蓉镇》在今年年初发表后,有段时间我颇担心读者能否习惯这种“土洋结合”的情节结构,以及整块整块的叙述文字。但是不久后,读者的热情来信消除了我的这种担心,大都说“一口气读了下去”。当然也有些不同的看法,比方一位关心我的老作家基本肯定之余,指出我把素材浪费了,本来可以写成好几部作品的生活,都压缩进十几万字的篇幅里去了。还有,前些时一位文学评论家转告我,《人才》杂志有位同志全家人都看了《芙蓉镇》,十分喜欢,却又说“这位作家在这部作品里,大约是把他的生活都写尽了”。
    还有些读者来信说,《芙蓉镇》就像是他们家乡的小镇,里边的几个主要人物,如胡玉音、秦书田、谷燕山、黎满庚、王秋赦、李国香等,他们都很熟悉,都像是做过邻居、当过街坊似的……今年四月里的一天,我正在人民文学出版社的客房里修订书稿,忽然闯进来一个中年汉子,自报姓名,说是内蒙古草原上的一位中学教员。他说,“老古同志,我就是你写的那个秦书田……我因一本历史小说稿,‘文革’中被揪斗个没完没了,坐过班房,还被罚扫了整整六年街道……”说着,他泪水盈眶,泣不成声。我也眼睛发辣,深深地被这位内蒙草原上的“秦书田”的真挚感情所打动。
    《芙蓉镇》里所写的几个主要人物,都有生活原型,有的还分别有好几个生活原型。社会科学院文学研究所一位从事当代文学研究的同志曾经向我转达过这样一个问题,谷燕山是《芙蓉镇》里老干部的正面形象,是个令人同情、受人敬重的老好人,是否过分强调了他作为“普通人”的一面?我觉得这确是一个值得评论家们进行探讨的问题。毫无疑义,在我们当代的文学作品中已经塑造出了许多感人的老干部形象。这些形象大都是从战争年代的叱咤风云的指挥员们身上脱颖出来的,具有气壮山河的英雄气概和高屋建瓴的雄才大略。而我要写的却是和平时期,工作、生活在南方小山镇上的一位南下老干部。没有枪林弹雨,也不是干军万马大会战的建设工地。谷燕山首先是个普通人,是山镇上百姓们中间的一员,跟山镇上的百姓们共命运,也有着个人的喜好悲欢。然而他主要的是一个关心人、体贴人、乐于助人的正直忠诚的共产党员。他的存在,无形中产生了一种使小山镇的生活保持平衡、稳定的力量。在山民们的心目中,他成了新社会、共产党的化身,是群众公认的“领袖人物”。当然,这样写党的基层领导者形象,特别是毫无隐讳地写了他个人生活的种种情状,喜怒哀乐。或许容易产生一种疑问:在“英雄人物”、“正面人物”、“中间人物”、“转变人物”等有限的几个文艺人物品种里头,他到底应该归到哪一类、入到哪一册去呢?要是归不到哪一类、入不了哪一册又怎么办?由此,使我联想到我们的文学究竟应当写生活里的活人还是写某些臆想中的概念?是写真实可信的新人还是写某种类别化了的模式人、“套中人”?所以我觉得,谷燕山这个人物尽管有种种不足,但作为我们党的基层干部的形象,并无不妥。
    简单地给人物分类,是左的思潮在文艺领域派生出来的一种形而上学观点,一种习惯势力,是人物形象概念化、雷同化、公式化的一个重要原因,在某种程度上对社会主义文学创作的繁荣起着阻碍作用。近些年来我力图在自己的习作中少一些它的束缚,但进展甚微,今后还需要花大力气,做长时间的探索。
    许多湖南籍的老作家,总是要求、劝导我们年轻一辈,要植根于生活的土壤,开阔艺术视野,写出生活色彩来,写出生活情调来。他们言传身教,以自己的作品为我们提供了范例。“写出色彩来,写出情调来”,这是前辈的肺腑之言,艺术的金石之音。要达到这一要求,包含着诸种因素,有语言功力问题,生活阅历、生活地域问题,思想素养问题等等。这决不是说习作《芙蓉镇》就已经写出了什么色彩和情调。恰恰相反,我的习作离老一辈作家们的教诲甚远,期待甚远,正需要我竭尽终生心力来执著地追求。好些读者和评论工作者曾经热情地指出了《芙蓉镇》的种种不足,我都在消化中,并做认真的修改、订正。
    “看世界因作者而不同,读作品因读者而不同”。应当说,广大读者最有发言权,是最公正的评论者。以上所述,只不过是一篇有关《芙蓉镇》的饭后的“闲话”而已。

    一九八一年十一月初于北京

  • 历史文典

    汉谟拉比法典

    约公元前1776年,由古巴比伦国王汉谟拉比(约公元前1792一公元前1750年在位)颁布。共3500行,包括序言、条文(282条)和结语三部分,序言和结语约占全部篇幅的五分之一,条文涉及刑事、民事、贸易、婚姻、继承、审判等方面。

    HAMMURABI’S CODE OF LAWS(circa 1780 B.C.)

    序言

    When Anu the Sublime, King of the Anunaki, and Bel, the lord of Heaven and earth, who decreed the fate of the land, assigned to Marduk, the over-ruling son of Ea, God of righteousness, dominion over earthly man, and made him great among the Igigi, they called Babylon by his illustrious name, made it great on earth, and founded an everlasting kingdom in it, whose foundations are laid so solidly as those of heaven and earth; then Anu and Bel called by name me, Hammurabi, the exalted prince, who feared God, to bring about the rule of righteousness in the land, to destroy the wicked and the evil-doers; so that the strong should not harm the weak; so that I should rule over the black-headed people like Shamash, and enlighten the land, to further the well-being of mankind.

    Hammurabi, the prince, called of Bel am I, making riches and increase, enriching Nippur and Dur-ilu beyond compare, sublime patron of E-kur; who reestablished Eridu and purified the worship of E-apsu; who conquered the four quarters of the world, made great the name of Babylon, rejoiced the heart of Marduk, his lord who daily pays his devotions in Saggil; the royal scion whom Sin made; who enriched Ur; the humble, the reverent, who brings wealth to Gish-shir-gal; the white king, heard of Shamash, the mighty, who again laid the foundations of Sippara; who clothed the gravestones of Malkat with green; who made E-babbar great, which is like the heavens, the warrior who guarded Larsa and renewed E-babbar, with Shamash as his helper; the lord who granted new life to Uruk, who brought plenteous water to its inhabitants, raised the head of E-anna, and perfected the beauty of Anu and Nana; shield of the land, who reunited the scattered inhabitants of Isin; who richly endowed E-gal-mach; the protecting king of the city, brother of the god Zamama; who firmly founded the farms of Kish, crowned E-me-te-ursag with glory, redoubled the great holy treasures of Nana, managed the temple of Harsag-kalama; the grave of the enemy, whose help brought about the victory; who increased the power of Cuthah; made all glorious in E-shidlam, the black steer, who gored the enemy; beloved of the god Nebo, who rejoiced the inhabitants of Borsippa, the Sublime; who is indefatigable for E-zida; the divine king of the city; the White, Wise; who broadened the fields of Dilbat, who heaped up the harvests for Urash; the Mighty, the lord to whom come scepter and crown, with which he clothes himself; the Elect of Ma-ma; who fixed the temple bounds of Kesh, who made rich the holy feasts of Nin-tu; the provident, solicitous, who provided food and drink for Lagash and Girsu, who provided large sacrificial offerings for the temple of Ningirsu; who captured the enemy, the Elect of the oracle who fulfilled the prediction of Hallab, who rejoiced the heart of Anunit; the pure prince, whose prayer is accepted by Adad; who satisfied the heart of Adad, the warrior, in Karkar, who restored the vessels for worship in E-ud-gal-gal; the king who granted life to the city of Adab; the guide of E-mach; the princely king of the city, the irresistible warrior, who granted life to the inhabitants of Mashkanshabri, and brought abundance to the temple of Shidlam; the White, Potent, who penetrated the secret cave of the bandits, saved the inhabitants of Malka from misfortune, and fixed their home fast in wealth; who established pure sacrificial gifts for Ea and Dam-gal-nun-na, who made his kingdom everlastingly great; the princely king of the city, who subjected the districts on the Ud-kib-nun-na Canal to the sway of Dagon, his Creator; who spared the inhabitants of Mera and Tutul; the sublime prince, who makes the face of Ninni shine; who presents holy meals to the divinity of Nin-a-zu, who cared for its inhabitants in their need, provided a portion for them in Babylon in peace; the shepherd of the oppressed and of the slaves; whose deeds find favor before Anunit, who provided for Anunit in the temple of Dumash in the suburb of Agade; who recognizes the right, who rules by law; who gave back to the city of Ashur its protecting god; who let the name of Ishtar of Nineveh remain in E-mish-mish; the Sublime, who humbles himself before the great gods; successor of Sumula-il; the mighty son of Sin-muballit; the royal scion of Eternity; the mighty monarch, the sun of Babylon, whose rays shed light over the land of Sumer and Akkad; the king, obeyed by the four quarters of the world; Beloved of Ninni, am I.

    When Marduk sent me to rule over men, to give the protection of right to the land, I did right and righteousness in . . . , and brought about the well-being of the oppressed.

    安努与恩利尔为人类福祉计,命令我,荣耀而畏神的君主,汉谟拉比,发扬正义于世,灭除不法邪恶之人,使强者不凌弱,使我有如沙玛什,照临黔首,光耀大地。

    CODE OF LAWS(条文)

    关于诉讼审判的规定

    1.If anyone ensnare another, putting a ban upon him, but he cannot prove it, then he that ensnared him shall be put to death.
    1.若有人诱捕另一个人,将禁令加在他身上,他却不能证明,那诱捕他的将被处死。
    2. If anyone bring an accusation against a man, and the accused go to the river and leap into the river, if he sink in the river his accuser shall take possession of his house. But if the river prove that the accused is not guilty, and he escape unhurt, then he who had brought the accusation shall be put to death, while he who leaped into the river shall take possession of the house that had belonged to his accuser.
    2.如果有人控告一个人,被告到河边跳进河里,如果他在河里下沉,他的控告者将占有他的房子。但是如果 河流证明被告是无罪的,他毫发无伤,那么带来指控的人将被处死,而跳进河里的人将占有属于原告的房子。
    3. If anyone bring an accusation of any crime before the elders, and does not prove what he has charged, he shall, if it be a capital offense charged, be put to death.
    3.如果有人在长老面前提出任何罪名,但不证明他所指控的罪名,他将被处以死刑。
    4. If he satisfy the elders to impose a fine of grain or money, he shall receive the fine that the action produces.
    4.若其说服年长者罚之以谷物或金钱,其将获得此因诉讼而生之罚金。
    5. If a judge try a case, reach a decision, and present his judgment in writing; if later error shall appear in his decision, and it be through his own fault, then he shall pay twelve times the fine set by him in the case, and he shall be publicly removed from the judge’s bench, and never again shall he sit there to render judgement.
    5.如果法官试例,作出决定,并提出书面判决书;如果以后误差应出现在他的决定,它是通过他自己的过错,他将付出他所判决的十二倍的罚款,他应被公开去除法官席位,禁止他作出判决。

    关于保护私有财产的规定

    6. If anyone steal the property of a temple or of the court, he shall be put to death, and also the one who receives the stolen goods from him shall be put to death.
    6.任何窃取寺庙或者皇宫的财产的人将被处以死刑,而从他那里收受赃物的人也一并处以死刑。
    7. If anyone buy from the son or the slave of another man, without witnesses or a contract, silver or gold, a male or female slave, an ox or a sheep, an ass or anything, or if he take it in charge, he is considered a thief and shall be put to death.
    7.任何在没有证人或者合同文书的情况下,向他人的子女或奴隶购买白银、黄金、男女奴隶、斧头或者是羊、驴以及其他任何东西的人,或者为此负责的人,都将被视为盗贼且判处死刑。
    8. If anyone steal cattle or sheep, or an ass, or a pig, or a goat, if it belong to a god or to the court, the thief shall pay thirty-fold therefore; if they belonged to a freed man of the king, he shall pay ten-fold; if the thief has nothing with which to pay, he shall be put to death.
    8.如果被盗窃的牛、羊、驴或者是猪属于寺庙或者皇室,盗窃者将偿付三十倍的赔偿;如果它们属于国王的公民,盗窃者将作出十倍赔偿;如果窃贼无力赔偿,将以死抵罪。
    9. If any one lose an article, and find it in the possession of another: if the person in whose possession the thing is found say “A merchant sold it to me, I paid for it before witnesses,” and if the owner of the thing say, “I will bring witnesses who know my property,” then shall the purchaser bring the merchant who sold it to him, and the witnesses before whom he bought it, and the owner shall bring witnesses who can identify his property. The judge shall examine their testimony–both of the witnesses before whom the price was paid, and of the witnesses who identify the lost article on oath. The merchant is then proved to be a thief and shall be put to death. The owner of the lost article receives his property, and he who bought it receives the money he paid from the estate of the merchant.
    10. If the purchaser does not bring the merchant and the witnesses before whom he bought the article, but its owner bring witnesses who identify it, then the buyer is the thief and shall be put to death, and the owner receives the lost article.
    11. If the owner do not bring witnesses to identify the lost article, he is an evil-doer, he has traduced, and shall be put to death.
    12. If the witnesses be not at hand, then shall the judge set a limit, at the expiration of six months. If his witnesses have not appeared within the six months, he is an evil-doer, and shall bear the fine of the pending case.
    [there is no 13th law in the code, 13 being considered and unlucky and evil number]
    14. If anyone steal the minor son of another, he shall be put to death.
    14.拐带他人幼子之人,将被判处死刑。
    15. If anyone take a male or female slave of the court, or a male or female slave of a freed man, outside the city gates, he shall be put to death.
    15.任何将皇宫以及公民的男女奴隶带出城邑的人将被判处死刑。
    16. If any one receive into his house a runaway male or female slave of the court, or of a freedman, and does not bring it out at the public proclamation of the major domus, the master of the house shall be put to death.
    17. If any one find runaway male or female slaves in the open country and bring them to their masters, the master of the slaves shall pay him two shekels of silver.
    18. If the slave will not give the name of the master, the finder shall bring him to the palace; a further investigation must follow, and the slave shall be returned to his master.
    18.如果这个奴隶拒不说出主人的名字,发现者必须把他带到宫殿, 并做进一步的调查,而且这个奴隶将被遣返给他的主人。
    19. If he hold the slaves in his house, and they are caught there, he shall be put to death.
    19.窝藏他人奴隶并且被抓获者将被处以死刑。
    20. If the slave that he caught run away from him, then shall he swear to the owners of the slave, and he is free of all blame.
    20.若被抓获的奴隶逃跑,而抓获者向奴隶所有者起誓承诺(不是有意放走),则将免于处罚。
    21. If anyone break a hole into a house (break-in to steal), he shall be put to death before that hole and be buried.
    21.如果打破房子的墙壁,强行进入住宅偷窃,偷窃者必须在那个洞前处以死刑和埋葬。
    22. If anyone is committing a robbery and is caught, then he shall be put to death.
    22.正在实施抢劫的抢劫犯一旦被抓获将被处以死刑。
    23. If the robber is not caught, then shall he who was robbed claim under oath the amount of his loss; then shall the community, and . . . on whose ground and territory and in whose domain it was compensate him for the goods stolen.
    24. If persons are stolen, then shall the community and . . . pay one mina of silver to their relatives.
    25. If fire break out in a house, and some one who comes to put it out cast his eye upon the property of the owner of the house, and take the property of the master of the house, he shall be thrown into that self-same fire.
    26. If a chieftain or a man (common soldier), who has been ordered to go upon the king’s highway for war does not go, but hires a mercenary, if he withholds the compensation, then shall this officer or man be put to death, and he who represented him shall take possession of his house.
    27. If a chieftain or man be caught in the misfortune of the king (captured in battle), and if his fields and garden be given to another and he take possession, if he return and reaches his place, his field and garden shall be returned to him, he shall take it over again.
    28. If a chieftain or a man be caught in the misfortune of a king, if his son is able to enter into possession, then the field and garden shall be given to him, he shall take over the fee of his father.
    29. If his son is still young, and cannot take possession, a third of the field and garden shall be given to his mother, and she shall bring him up.
    29.若因其子年幼无承担能力,其母将获得三分之一的田地以及庭院,并且抚养幼子成人。
    30. If a chieftain or a man leave his house, garden, and field and hires it out, and some one else takes possession of his house, garden, and field and uses it for three years: if the first owner return and claims his house, garden, and field, it shall not be given to him, but he who has taken possession of it and used it shall continue to use it.
    31. If he hire it out for one year and then return, the house, garden, and field shall be given back to him, and he shall take it over again.
    32. If a chieftain or a man is captured on the “Way of the King” (in war), and a merchant buy him free, and bring him back to his place; if he have the means in his house to buy his freedom, he shall buy himself free: if he have nothing in his house with which to buy himself free, he shall be bought free by the temple of his community; if there be nothing in the temple with which to buy him free, the court shall buy his freedom. His field, garden, and house shall not be given for the purchase of his freedom.
    33. If a . . . or a . . . enter himself as withdrawn from the “Way of the King,” and send a mercenary as substitute, but withdraw him, then the . . . or . . . shall be put to death.
    34. If a . . . or a . . . harm the property of a captain, injure the captain, or take away from the captain a gift presented to him by the king, then the . . . or . . . shall be put to death.
    35. If any one buy the cattle or sheep which the king has given to chieftains from him, he loses his money.
    36. The field, garden, and house of a chieftain, of a man, or of one subject to quit-rent, can not be sold.
    37. If any one buy the field, garden, and house of a chieftain, man, or one subject to quit-rent, his contract tablet of sale shall be broken (declared invalid) and he loses his money. The field, garden, and house return to their owners.
    38. A chieftain, man, or one subject to quit-rent can not assign his tenure of field, house, and garden to his wife or daughter, nor can he assign it for a debt.
    39. He may, however, assign a field, garden, or house which he has bought, and holds as property, to his wife or daughter or give it for debt.
    40. He may sell field, garden, and house to a merchant (royal agents) or to any other public official, the buyer holding field, house, and garden for its usufruct.
    41. If any one fence in the field, garden, and house of a chieftain, man, or one subject to quit-rent, furnishing the palings therefor; if the chieftain, man, or one subject to quit-rent return to field, garden, and house, the palings which were given to him become his property.
    42. If any one take over a field to till it, and obtain no harvest therefrom, it must be proved that he did no work on the field, and he must deliver grain, just as his neighbor raised, to the owner of the field.
    43. If he do not till the field, but let it lie fallow, he shall give grain like his neighbor’s to the owner of the field, and the field which he let lie fallow he must plow and sow and return to its owner.
    44. If any one take over a waste-lying field to make it arable, but is lazy, and does not make it arable, he shall plow the fallow field in the fourth year, harrow it and till it, and give it back to its owner, and for each ten gan (a measure of area) ten gur of grain shall be paid.
    45. If a man rent his field for tillage for a fixed rental, and receive the rent of his field, but bad weather come and destroy the harvest, the injury falls upon the tiller of the soil.
    46. If he do not receive a fixed rental for his field, but lets it on half or third shares of the harvest, the grain on the field shall be divided proportionately between the tiller and the owner.
    47. If the tiller, because he did not succeed in the first year, has had the soil tilled by others, the owner may raise no objection; the field has been cultivated and he receives the harvest according to agreement.
    48. If any one owe a debt for a loan, and a storm prostrates the grain, or the harvest fail, or the grain does not grow for lack of water; in that year he need not give his creditor any grain, he washes his debt-tablet in water and pays no rent for this year.
    49. If any one take money from a merchant, and give the merchant a field tillable for corn or sesame and order him to plant corn or sesame in the field, and to harvest the crop; if the cultivator plant corn or sesame in the field, at the harvest the corn or sesame that is in the field shall belong to the owner of the field and he shall pay corn as rent, for the money he received from the merchant, and the livelihood of the cultivator shall he give to the merchant.
    50. If he give a cultivated corn-field or a cultivated sesame-field, the corn or sesame in the field shall belong to the owner of the field, and he shall return the money to the merchant as rent.
    51. If he have no money to repay, then he shall pay in corn or sesame in place of the money as rent for what he received from the merchant, according to the royal tariff.
    51.根据皇家税法,如果欠债者无力偿还债务,则必须利用小麦或者芝麻来代替从商人那里得到的租金。
    54. If he be not able to replace the corn, then he and his possessions shall be divided among the farmers whose corn he has flooded.
    54.如果他不能偿还这些小麦,就将他和他的财产都分发给遭受水灾之苦的其他农民。
    55. If anyone open his ditches to water his crop, but is careless, and the water flood the field of his neighbor, then he shall pay his neighbor corn for his loss.
    55.如果任何人开挖沟渠以浇灌田地,但是不小心淹没了邻居的田,则他将赔偿邻居小麦作为损失。
    56. If a man let in the water, and the water overflow the plantation of his neighbor, he shall pay ten gur of corn for every ten gan of land.
    57. If a shepherd, without the permission of the owner of the field, and without the knowledge of the owner of the sheep, lets the sheep into a field to graze, then the owner of the field shall harvest his crop, and the shepherd, who had pastured his flock there without permission of the owner of the field, shall pay to the owner twenty gur of corn for every ten gan.
    58. If after the flocks have left the pasture and been shut up in the common fold at the city gate, any shepherd let them into a field and they graze there, this shepherd shall take possession of the field which he has allowed to be grazed on, and at the harvest he must pay sixty gur of corn for every ten gan.
    59. If any man, without the knowledge of the owner of a garden, fell a tree in a garden he shall pay half a mina in money.
    60. If any one give over a field to a gardener, for him to plant it as a garden, if he work at it, and care for it for four years, in the fifth year the owner and the gardener shall divide it, the owner taking his part in charge.
    61. If the gardener has not completed the planting of the field, leaving one part unused, this shall be assigned to him as his.
    61.如果一个园丁没能完成这个田地的播种栽种,则其将负全责。
    62. If he do not plant the field that was given over to him as a garden, if it be arable land (for corn or sesame) the gardener shall pay the owner the produce of the field for the years that he let it lie fallow, according to the product of neighboring fields, put the field in arable condition and return it to its owner.
    63. If he transform waste land into arable fields and return it to its owner, the latter shall pay him for one year ten gur for ten gan.
    64. If any one hand over his garden to a gardener to work, the gardener shall pay to its owner two-thirds of the produce of the garden, for so long as he has it in possession, and the other third shall he keep.
    65. If the gardener do not work in the garden and the product fall off, the gardener shall pay in proportion to other neighboring gardens.
    [Here a portion of the text is missing, apparently comprising thirty-four paragraphs.]
    100. . . . interest for the money, as much as he has received, he shall give a note therefor, and on the day, when they settle, pay to the merchant.
    101. If there are no mercantile arrangements in the place whither he went, he shall leave the entire amount of money which he received with the broker to give to the merchant.
    102. If a merchant entrust money to an agent (broker) for some investment, and the broker suffer a loss in the place to which he goes, he shall make good the capital to the merchant.
    103. If, while on the journey, an enemy take away from him anything that he had, the broker shall swear by God and be free of obligation.
    104. If a merchant give an agent corn, wool, oil, or any other goods to transport, the agent shall give a receipt for the amount, and compensate the merchant therefor. Then he shall obtain a receipt form the merchant for the money that he gives the merchant.
    105. If the agent is careless, and does not take a receipt for the money which he gave the merchant, he can not consider the unreceipted money as his own.
    106. If the agent accept money from the merchant, but have a quarrel with the merchant (denying the receipt), then shall the merchant swear before God and witnesses that he has given this money to the agent, and the agent shall pay him three times the sum.
    107. If the merchant cheat the agent, in that as the latter has returned to him all that had been given him, but the merchant denies the receipt of what had been returned to him, then shall this agent convict the merchant before God and the judges, and if he still deny receiving what the agent had given him shall pay six times the sum to the agent.
    108. If a tavern-keeper (feminine) does not accept corn according to gross weight in payment of drink, but takes money, and the price of the drink is less than that of the corn, she shall be convicted and thrown into the water.
    109. If conspirators meet in the house of a tavern-keeper, and these conspirators are not captured and delivered to the court, the tavern-keeper shall be put to death.
    109.如果在旅店主发现阴谋者,但却没有将其抓获并移送法办,则店主将被处死。
    110. If a “sister of a god” open a tavern, or enter a tavern to drink, then shall this woman be burned to death.
    110.如果修女开设酒店,或者进入酒店喝酒,则这个女人将被烧死。
    111. If an inn-keeper furnish sixty ka of usakani-drink to . . . she shall receive fifty ka of corn at the harvest.
    112. If any one be on a journey and entrust silver, gold, precious stones, or any movable property to another, and wish to recover it from him; if the latter do not bring all of the property to the appointed place, but appropriate it to his own use, then shall this man, who did not bring the property to hand it over, be convicted, and he shall pay fivefold for all that had been entrusted to him.
    113. If any one have consignment of corn or money, and he take from the granary or box without the knowledge of the owner, then shall he who took corn without the knowledge of the owner out of the granary or money out of the box be legally convicted, and repay the corn he has taken. And he shall lose whatever commission was paid to him, or due him.
    114. If a man have no claim on another for corn and money, and try to demand it by force, he shall pay one-third of a mina of silver in every case.
    115. If any one have a claim for corn or money upon another and imprison him; if the prisoner die in prison a natural death, the case shall go no further.
    116. If the prisoner die in prison from blows or maltreatment, the master of the prisoner shall convict the merchant before the judge. If he was a free-born man, the son of the merchant shall be put to death; if it was a slave, he shall pay one-third of a mina of gold, and all that the master of the prisoner gave he shall forfeit.
    117. If any one fail to meet a claim for debt, and sell himself, his wife, his son, and daughter for money or give them away to forced labor: they shall work for three years in the house of the man who bought them, or the proprietor, and in the fourth year they shall be set free.
    118. If he give a male or female slave away for forced labor, and the merchant sublease them, or sell them for money, no objection can be raised.
    119. If any one fail to meet a claim for debt, and he sell the maid servant who has borne him children, for money, the money which the merchant has paid shall be repaid to him by the owner of the slave and she shall be freed.
    120. If any one store corn for safe keeping in another person’s house, and any harm happen to the corn in storage, or if the owner of the house open the granary and take some of the corn, or if especially he deny that the corn was stored in his house: then the owner of the corn shall claim his corn before God (on oath), and the owner of the house shall pay its owner for all of the corn that he took.
    121. If any one store corn in another man’s house he shall pay him storage at the rate of one gur for every five ka of corn per year.
    122. If any one give another silver, gold, or anything else to keep, he shall show everything to some witness, draw up a contract, and then hand it over for safe keeping.
    123. If he turn it over for safe keeping without witness or contract, and if he to whom it was given deny it, then he has no legitimate claim.
    124. If any one deliver silver, gold, or anything else to another for safe keeping, before a witness, but he deny it, he shall be brought before a judge, and all that he has denied he shall pay in full.
    125. If any one place his property with another for safe keeping, and there, either through thieves or robbers, his property and the property of the other man be lost, the owner of the house, through whose neglect the loss took place, shall compensate the owner for all that was given to him in charge. But the owner of the house shall try to follow up and recover his property, and take it away from the thief.
    126. If any one who has not lost his goods state that they have been lost, and make false claims: if he claim his goods and amount of injury before God, even though he has not lost them, he shall be fully compensated for all his loss claimed. (I.e., the oath is all that is needed.)

    关于婚姻、家庭与财产继承

    127. If any one “point the finger” (slander) at a sister of a god or the wife of any one, and can not prove it, this man shall be taken before the judges and his brow shall be marked. (by cutting the skin, or perhaps hair.)
    128. If a man take a woman to wife, but have no intercourse with her, this woman is no wife to him.
    129. If a man’s wife be surprised (in flagrante delicto) with another man, both shall be tied and thrown into the water, but the husband may pardon his wife and the king his slaves.
    130. If a man violate the wife (betrothed or child-wife) of another man, who has never known a man, and still lives in her father’s house, and sleep with her and be surprised, this man shall be put to death, but the wife is blameless.
    130.如果一个男人强迫另一个男人的未婚妻(这个女子仍是处女且居住在她父亲的家中)和他发生性关系,被逮捕后,这个男人将被处以死刑。但是,女性可以免责。
    131. If a man bring a charge against one’s wife, but she is not surprised with another man, she must take an oath and then may return to her house.
    132. If the “finger is pointed” at a man’s wife about another man, but she is not caught sleeping with the other man, she shall jump into the river for her husband.
    133. If a man is taken prisoner in war, and there is a sustenance in his house, but his wife leave house and court, and go to another house: because this wife did not keep her court, and went to another house, she shall be judicially condemned and thrown into the water.
    134. If any one be captured in war and there is not sustenance in his house, if then his wife go to another house this woman shall be held blameless.
    135. If a man be taken prisoner in war and there be no sustenance in his house and his wife go to another house and bear children; and if later her husband return and come to his home, then this wife shall return to her husband, but the children follow their father.
    135.如果男人在战争中被俘而他的房子中没有食物,而他的妻子改嫁并生下小孩,之后她的原夫回到家中,这个妻子将回到她原来的丈夫身边,但是,孩子们跟随他们(各自)的亲生父亲。
    136. If any one leave his house, run away, and then his wife go to another house, if then he return, and wishes to take his wife back: because he fled from his home and ran away, the wife of this runaway shall not return to her husband.
    137. If a man wish to separate from a woman who has borne him children, or from his wife who has borne him children: then he shall give that wife her dowry, and a part of the usufruct of field, garden, and property, so that she can rear her children. When she has brought up her children, a portion of all that is given to the children, equal as that of one son, shall be given to her. She may then marry the man of her heart.
    138. If a man wishes to separate from his wife who has borne him no children, he shall give her the amount of her purchase money and the dowry which she brought from her father’s house, and let her go.
    139. If there was no purchase price he shall give her one mina of gold as a gift of release.
    140. If he be a freed man he shall give her one-third of a mina of gold.
    141. If a man’s wife, who lives in his house, wishes to leave it, plunges into debt, tries to ruin her house, neglects her husband, and is judicially convicted: if her husband offer her release, she may go on her way, and he gives her nothing as a gift of release. If her husband does not wish to release her, and if he take another wife, she shall remain as servant in her husband’s house.
    142. If a woman quarrel with her husband, and say: “You are not congenial to me.” Therefore reasons for her prejudice must be presented. If she is guiltless, and there is no fault on her part, but he leaves and neglects her, then no guilt attaches to this woman, she shall take her dowry and go back to her father’s house.
    142.如果一个女人与她的丈夫争吵,并且说:“我们性格不合。”必须提供相应的证据、理由。如果她没有犯过罪,而且并无过错,但是男性离开和忽视她,则女性免罪,她将拿回她的嫁妆并回到她父亲的家。
    143. If she is not innocent, but leaves her husband, and ruins her house, neglecting her husband, this woman shall be cast in to the water.
    143.若女子犯罪,毁家弃夫,则投之水中。
    144. If a man take a wife and this woman give her husband a maid-servant, and she bear him children, but this man wishes to take another wife, this shall not be permitted to him; he shall not take a second wife.
    144.如果男人娶妻,妻子为丈夫带来陪嫁女仆,并为他生养孩子,那么这个男人将不被允许纳娶第二名妻子。
    145. If a man take a wife, and she bear him no children, and he intend to take another wife: if he take this second wife, and bring her into the house, this second wife shall not be allowed equality with his wife.
    145.如果男人娶妻,妻子却无法为丈夫诞下子嗣,他会想娶第二个妻子;如果他另娶妻子,并带她回家,第二个妻子将不被承认与第一个妻子有同等地位。
    146. If a man take a wife and she give this man a maid-servant as wife and she bear him children, and then this maid assume equality with the wife: because she has borne him children her master shall not sell her for money, but he may keep her as a slave, reckoning her among the maid-servants.
    147. If she have not borne him children, then her mistress may sell her for money.
    147.如果陪嫁女仆不能给男主人生孩子,那么女主人可以卖掉她。
    148. If a man take a wife, and she be seized by disease, if he then desire to take a second wife he shall not put away his wife, who has been attacked by disease, but he shall keep her in the house which he has built and support her so long as she lives.
    149. If this woman does not wish to remain in her husband’s house, then he shall compensate her for the dowry that she brought with her from her father’s house, and she may go.
    149.如果女人希望离开她丈夫的家庭,那么丈夫对其嫁妆进行赔偿后,她就可以离开。
    150. If a man give his wife a field, garden, and house and a deed there for, if then after the death of her husband the sons raise no claim, then the mother may bequeath all to one of her sons whom she prefers, and need leave nothing to his brothers.
    150.在丈夫去世后,如果他的儿子没有异议,那么他生前赠与妻子的田地、庭院以及屋子可以被妻子全部赠与她最喜欢的儿子,而不需要留给其他兄弟。
    151. If a woman who lived in a man’s house made an agreement with her husband, that no creditor can arrest her, and has given a document therefor: if that man, before he married that woman, had a debt, the creditor can not hold the woman for it. But if the woman, before she entered the man’s house, had contracted a debt, her creditor can not arrest her husband therefor.
    152. If after the woman had entered the man’s house, both contracted a debt, both must pay the merchant.
    153. If the wife of one man on account of another man has their mates (her husband and the other man’s wife) murdered, both of them shall be impaled.
    153.如果一个有夫之妇和一个有妇之夫共谋杀害他们的伴侣(她的丈夫和他的妻子),二人将被刺死。
    154. If a man be guilty of incest with his daughter, he shall be driven from the place (exiled).
    154.如果一个男人与他的女儿乱伦,他将被驱逐出当地。
    155. If a man betroth a girl to his son, and his son have intercourse with her, but he (the father) afterward defile her, and be surprised, then he shall be bound and cast into the water (drowned).
    155.如果一个男人为他的儿子订了一门亲事,且他的儿子与女方已有肌肤之亲,后来他(这个父亲)却染指儿媳,他会被捕且被五花大绑扔进水中淹死。
    156. If a man betroth a girl to his son, but his son has not known her, and if then he defile her, he shall pay her half a gold mina, and compensate her for all that she brought out of her father’s house. She may marry the man of her heart.
    157. If anyone be guilty of incest with his mother after his father, both shall be burned.
    157.如果任何人在父亲死后与母亲乱伦,二人将被烧死。
    158. If any one be surprised after his father with his chief wife, who has borne children, he shall be driven out of his father’s house.
    159. If any one, who has brought chattels into his father-in-law’s house, and has paid the purchase-money, looks for another wife, and says to his father-in-law: “I do not want your daughter,” the girl’s father may keep all that he had brought.
    160. If a man bring chattels into the house of his father-in-law, and pay the “purchase price” (for his wife): if then the father of the girl say: “I will not give you my daughter,” he shall give him back all that he brought with him.
    161. If a man bring chattels into his father-in-law’s house and pay the “purchase price,” if then his friend slander him, and his father-in-law say to the young husband: “You shall not marry my daughter,” the he shall give back to him undiminished all that he had brought with him; but his wife shall not be married to the friend.
    162. If a man marry a woman, and she bear sons to him; if then this woman die, then shall her father have no claim on her dowry; this belongs to her sons.
    163. If a man marry a woman and she bear him no sons; if then this woman die, if the “purchase price” which he had paid into the house of his father-in-law is repaid to him, her husband shall have no claim upon the dowry of this woman; it belongs to her father’s house.
    164. If his father-in-law do not pay back to him the amount of the “purchase price” he may subtract the amount of the “Purchase price” from the dowry, and then pay the remainder to her father’s house.
    165. If a man give to one of his sons whom he prefers a field, garden, and house, and a deed therefor: if later the father die, and the brothers divide the estate, then they shall first give him the present of his father, and he shall accept it; and the rest of the paternal property shall they divide.
    166. If a man take wives for his son, but take no wife for his minor son, and if then he die: if the sons divide the estate, they shall set aside besides his portion the money for the “purchase price” for the minor brother who had taken no wife as yet, and secure a wife for him.
    167. If a man marry a wife and she bear him children: if this wife die and he then take another wife and she bear him children: if then the father die, the sons must not partition the estate according to the mothers, they shall divide the dowries of their mothers only in this way; the paternal estate they shall divide equally with one another.
    168. If a man wish to put his son out of his house, and declare before the judge: “I want to put my son out,” then the judge shall examine into his reasons. If the son be guilty of no great fault, for which he can be rightfully put out, the father shall not put him out.
    169. If he be guilty of a grave fault, which should rightfully deprive him of the filial relationship, the father shall forgive him the first time; but if he be guilty of a grave fault a second time the father may deprive his son of all filial relation.
    170. If his wife bear sons to a man, or his maid-servant have borne sons, and the father while still living says to the children whom his maid-servant has borne: “My sons,” and he count them with the sons of his wife; if then the father die, then the sons of the wife and of the maid-servant shall divide the paternal property in common. The son of the wife is to partition and choose.
    171. If, however, the father while still living did not say to the sons of the maid-servant: “My sons,” and then the father dies, then the sons of the maid-servant shall not share with the sons of the wife, but the freedom of the maid and her sons shall be granted. The sons of the wife shall have no right to enslave the sons of the maid; the wife shall take her dowry (from her father), and the gift that her husband gave her and deeded to her (separate from dowry, or the purchase-money paid her father), and live in the home of her husband: so long as she lives she shall use it, it shall not be sold for money. Whatever she leaves shall belong to her children.
    172. If her husband made her no gift, she shall be compensated for her gift, and she shall receive a portion from the estate of her husband, equal to that of one child. If her sons oppress her, to force her out of the house, the judge shall examine into the matter, and if the sons are at fault the woman shall not leave her husband’s house. If the woman desire to leave the house, she must leave to her sons the gift which her husband gave her, but she may take the dowry of her father’s house. Then she may marry the man of her heart.
    173. If this woman bear sons to her second husband, in the place to which she went, and then die, her earlier and later sons shall divide the dowry between them.
    174. If she bear no sons to her second husband, the sons of her first husband shall have the dowry.
    175. If a State slave or the slave of a freed man marry the daughter of a free man, and children are born, the master of the slave shall have no right to enslave the children of the free.
    176. If, however, a State slave or the slave of a freed man marry a man’s daughter, and after he marries her she bring a dowry from a father’s house, if then they both enjoy it and found a household, and accumulate means, if then the slave die, then she who was free born may take her dowry, and all that her husband and she had earned; she shall divide them into two parts, one-half the master for the slave shall take, and the other half shall the free-born woman take for her children. If the free-born woman had no gift she shall take all that her husband and she had earned and divide it into two parts; and the master of the slave shall take one-half and she shall take the other for her children.
    177. If a widow, whose children are not grown, wishes to enter another house (remarry), she shall not enter it without the knowledge of the judge. If she enter another house the judge shall examine the state of the house of her first husband. Then the house of her first husband shall be entrusted to the second husband and the woman herself as managers. And a record must be made thereof. She shall keep the house in order, bring up the children, and not sell the house-hold utensils. He who buys the utensils of the children of a widow shall lose his money, and the goods shall return to their owners.
    178. If a “devoted woman” or a prostitute to whom her father has given a dowry and a deed therefor, but if in this deed it is not stated that she may bequeath it as she pleases, and has not explicitly stated that she has the right of disposal; if then her father die, then her brothers shall hold her field and garden, and give her corn, oil, and milk according to her portion, and satisfy her. If her brothers do not give her corn, oil, and milk according to her share, then her field and garden shall support her. She shall have the usufruct of field and garden and all that her father gave her so long as she lives, but she can not sell or assign it to others. Her position of inheritance belongs to her brothers.
    179. If a “sister of a god,” or a prostitute, receive a gift from her father, and a deed in which it has been explicitly stated that she may dispose of it as she pleases, and give her complete disposition thereof: if then her father die, then she may leave her property to whomsoever she pleases. Her brothers can raise no claim thereto.
    180. If a father give a present to his daughter–either marriageable or a prostitute (unmarriageable)–and then die, then she is to receive a portion as a child from the paternal estate, and enjoy its usufruct so long as she lives. Her estate belongs to her brothers.
    181. If a father devote a temple-maid or temple-virgin to God and give her no present: if then the father die, she shall receive the third of a child’s portion from the inheritance of her father’s house, and enjoy its usufruct so long as she lives. Her estate belongs to her brothers.
    182. If a father devote his daughter as a wife of Mardi of Babylon (as in 181), and give her no present, nor a deed; if then her father die, then shall she receive one-third of her portion as a child of her father’s house from her brothers, but Marduk may leave her estate to whomsoever she wishes.
    183. If a man give his daughter by a concubine a dowry, and a husband, and a deed; if then her father die, she shall receive no portion from the paternal estate.
    184. If a man do not give a dowry to his daughter by a concubine, and no husband; if then her father die, her brother shall give her a dowry according to her father’s wealth and secure a husband for her.
    185. If a man adopt a child and to his name as son, and rear him, this grown son can not be demanded back again.
    186. If a man adopt a son, and if after he has taken him, he injure his foster father and mother, then this adopted son shall return to his father’s house.
    186.如果一个人领养了一个儿子,养子却对其养父母造成伤害,则这个养子将回到他的原来的家庭。
    187. The son of a paramour in the palace service, or of a prostitute, can not be demanded back.
    188. If an artizan has undertaken to rear a child and teaches him his craft, he can not be demanded back.
    189. If he has not taught him his craft, this adopted son may return to his father’s house.
    190. If a man does not maintain a child that he has adopted as a son and reared with his other children, then his adopted son may return to his father’s house.
    191. If a man, who had adopted a son and reared him, founded a household, and had children, wish to put this adopted son out, then this son shall not simply go his way. His adoptive father shall give him of his wealth one-third of a child’s portion, and then he may go. He shall not give him of the field, garden, and house.
    192. If a son of a paramour or a prostitute say to his adoptive father or mother: “You are not my father, or my mother.” His tongue shall be cut off.
    192.如果情妇或者妓女所生子对他养父或者养母说:“你(们)不是我的父亲,或者我的母亲。”将被割掉舌头。
    193. If the son of a paramour or a prostitute desire his father’s house, and desert his adoptive father and adoptive mother, and goes to his father’s house, then shall his eye be put out.
    193.如果情妇或者妓女所生子希望回到生父的家庭并抛弃了养父母,将被挖出眼睛。
    194. If a man give his child to a nurse and the child die in her hands, but the nurse unbeknown to the father and mother nurse another child, then they shall convict her of having nursed another child without the knowledge of the father and mother and her breasts shall be cut off.
    195. If a son strike his father, his hands shall be hewn off.
    195.打自己父亲的人要被砍断双手。

    关于人身保护和“同态复仇法”

    196. If a man put out the eye of another man, his eye shall be put out.
    196.挖去别人眼睛的人也要被挖出眼睛。
    197. If he break another man’s bone, his bone shall be broken.
    197.打断别人骨头的人也要被打断骨头。
    198. If he put out the eye of a freed man, or break the bone of a freed man, he shall pay one gold mina.
    199. If he put out the eye of a man’s slave, or break the bone of a man’s slave, he shall pay one-half of its value.
    199.挖出奴隶眼睛或是打断奴隶骨头的人要赔偿奴隶价格的一半。
    200. If a man knock out the teeth of his equal, his teeth shall be knocked out.
    200.打掉同等地位者牙齿的人将会被敲掉牙齿。
    201. If he knock out the teeth of a freed man, he shall pay one-third of a gold mina.
    202. If any one strike the body of a man higher in rank than he, he shall receive sixty blows with an ox-whip in public.
    203. If a free-born man strike the body of another free-born man or equal rank, he shall pay one gold mina.
    204. If a freed man strike the body of another freed man, he shall pay ten shekels in money.
    205. If the slave of a freed man strike the body of a freed man, his ear shall be cut off.
    206. If during a quarrel one man strike another and wound him, then he shall swear, “I did not injure him wittingly,” and pay the physicians.
    207. If the man die of his wound, he shall swear similarly, and if he (the deceased) was a free-born man, he shall pay half a mina in money.
    208. If he was a freed man, he shall pay one-third of a mina.
    209. If a man strike a free-born woman so that she lose her unborn child, he shall pay ten shekels for her loss.
    210. If the woman die, his daughter shall be put to death.
    211. If a woman of the free class lose her child by a blow, he shall pay five shekels in money.
    212. If this woman die, he shall pay half a mina.
    213. If he strike the maid-servant of a man, and she lose her child, he shall pay two shekels in money.
    214. If this maid-servant die, he shall pay one-third of a mina.

    关于劳动、报酬、工具和责任事故的追究

    215. If a physician make a large incision with an operating knife and cure it, or if he open a tumor (over the eye) with an operating knife, and saves the eye, he shall receive ten shekels in money.
    216. If the patient be a freed man, he receives five shekels.
    217. If he be the slave of some one, his owner shall give the physician two shekels.
    218. If a physician makes a large incision with the operating knife, and kill him, or open a tumor with the operating knife, and cut out the eye, his hands shall be cut off.
    218.如果在给人做手术的过程中致其死亡,或是用手术刀挖去人的眼睛,医生将被剁手。
    219. If a physician makes a large incision in the slave of a freed man, and kill him, he shall replace the slave with another slave.
    219.如果医生在自由人的奴隶的身体里做大型手术,致奴隶死亡,他将必须将另一个奴隶作为补偿。
    220. If he had opened a tumor with the operating knife, and put out his eye, he shall pay half his value.
    220.如果用手术刀医治肿瘤的医生将奴隶的眼睛挖出,必须赔偿奴隶价格的一半。
    221. If a physician heal the broken bone or diseased soft part of a man, the patient shall pay the physician five shekels in money.
    222. If he were a freed man he shall pay three shekels.
    223. If he were a slave his owner shall pay the physician two shekels.
    224. If a veterinary surgeon perform a serious operation on an ass or an ox, and cure it, the owner shall pay the surgeon one-sixth of a shekel as a fee.
    225. If he perform a serious operation on an ass or ox, and kill it, he shall pay the owner one-fourth of its value.
    226. If a barber, without the knowledge of his master, cut the sign of a slave on a slave not to be sold, the hands of this barber shall be cut off.
    227. If any one deceive a barber, and have him mark a slave not for sale with the sign of a slave, he shall be put to death, and buried in his house. The barber shall swear: “I did not mark him wittingly,” and shall be guiltless.
    228. If a builder build a house for some one and complete it, he shall give him a fee of two shekels in money for each sar of surface.
    229 If a builder build a house for some one, and does not construct it properly, and the house which he built fall in and kill its owner, then that builder shall be put to death.
    230. If it kill the son of the owner the son of that builder shall be put to death.
    231. If it kill a slave of the owner, then he shall pay slave for slave to the owner of the house.
    232. If it ruin goods, he shall make compensation for all that has been ruined, and inasmuch as he did not construct properly this house which he built and it fell, he shall re-erect the house from his own means.
    233. If a builder build a house for some one, even though he has not yet completed it; if then the walls seem toppling, the builder must make the walls solid from his own means.
    234. If a shipbuilder build a boat of sixty gur for a man, he shall pay him a fee of two shekels in money.
    235. If a shipbuilder build a boat for some one, and do not make it tight, if during that same year that boat is sent away and suffers injury, the shipbuilder shall take the boat apart and put it together tight at his own expense. The tight boat he shall give to the boat owner.
    236. If a man rent his boat to a sailor, and the sailor is careless, and the boat is wrecked or goes aground, the sailor shall give the owner of the boat another boat as compensation.
    237. If a man hire a sailor and his boat, and provide it with corn, clothing, oil and dates, and other things of the kind needed for fitting it: if the sailor is careless, the boat is wrecked, and its contents ruined, then the sailor shall compensate for the boat which was wrecked and all in it that he ruined.
    238. If a sailor wreck any one’s ship, but saves it, he shall pay the half of its value in money.
    239. If a man hire a sailor, he shall pay him six gur of corn per year.
    240. If a merchantman run against a ferryboat, and wreck it, the master of the ship that was wrecked shall seek justice before God; the master of the merchantman, which wrecked the ferryboat, must compensate the owner for the boat and all that he ruined.
    241. If any one impresses an ox for forced labor, he shall pay one-third of a mina in money.

    租赁以及佣工和报酬

    242. If any one hire oxen for a year, he shall pay four gur of corn for plow-oxen.
    243. As rent of herd cattle he shall pay three gur of corn to the owner.
    244. If anyone hire an ox or an ass, and a lion kill it in the field, the loss is upon its owner.
    244.如果一个人租借公牛或者驴子,然而狮子却在田野中杀死它们,它们的所有者自担损失。
    245. If anyone hire oxen, and kill them by bad treatment or blows, he shall compensate the owner, oxen for oxen.
    245.租用他人的牛却将牛虐待或殴打致死者必须赔偿一头牛。
    246. If a man hire an ox, and he break its leg or cut the ligament of its neck, he shall compensate the owner with ox for ox.
    246.若租借公牛却弄断牛腿或者脖子韧带的人,要赔偿一只牛。
    247. If anyone hire an ox, and put out its eyes, he shall pay the owner one-half of its value.
    247.租借公牛却挖出其眼睛者将赔付牛价的一半。
    248. If any one hire an ox, and break off a horn, or cut off its tail, or hurt its muzzle, he shall pay one-fourth of its value in money.
    249. If anyone hire an ox, and God strike it that it die, the man who hired it shall swear by God and be considered guiltless.
    249.若有人租用公牛,该牛却因非人为原因死亡,租借者向神灵起誓自己没有过错以后可以被免罪。
    250. If while an ox is passing on the street (market) some one push it, and kill it, the owner can set up no claim in the suit (against the hirer).
    251. If an ox be a goring ox, and it shown that he is a gorer, and he do not bind his horns, or fasten the ox up, and the ox gore a free-born man and kill him, the owner shall pay one-half a mina in money.
    252. If he kill a man’s slave, he shall pay one-third of a mina.
    253. If any one agree with another to tend his field, give him seed, entrust a yoke of oxen to him, and bind him to cultivate the field, if he steal the corn or plants, and take them for himself, his hands shall be hewn off.
    254. If he take the seed-corn for himself, and do not use the yoke of oxen, he shall compensate him for the amount of the seed-corn.
    255. If he sublet the man’s yoke of oxen or steal the seed-corn, planting nothing in the field, he shall be convicted, and for each one hundred gan he shall pay sixty gur of corn.
    256. If his community will not pay for him, then he shall be placed in that field with the cattle (at work).
    257. If any one hire a field laborer, he shall pay him eight gur of corn per year.
    258. If any one hire an ox-driver, he shall pay him six gur of corn per year.
    259. If any one steal a water-wheel from the field, he shall pay five shekels in money to its owner.
    260. If any one steal a shadduf (used to draw water from the river or canal) or a plow, he shall pay three shekels in money.
    261. If any one hire a herdsman for cattle or sheep, he shall pay him eight gur of corn per annum.
    262. If any one, a cow or a sheep . . .
    263. If he kill the cattle or sheep that were given to him, he shall compensate the owner with cattle for cattle and sheep for sheep.
    264. If a herdsman, to whom cattle or sheep have been entrusted for watching over, and who has received his wages as agreed upon, and is satisfied, diminish the number of the cattle or sheep, or make the increase by birth less, he shall make good the increase or profit which was lost in the terms of settlement.
    265. If a herdsman, to whose care cattle or sheep have been entrusted, be guilty of fraud and make false returns of the natural increase, or sell them for money, then shall he be convicted and pay the owner ten times the loss.
    266. If the animal be killed in the stable by God ( an accident), or if a lion kill it, the herdsman shall declare his innocence before God, and the owner bears the accident in the stable.
    267. If the herdsman overlook something, and an accident happen in the stable, then the herdsman is at fault for the accident which he has caused in the stable, and he must compensate the owner for the cattle or sheep.
    268. If any one hire an ox for threshing, the amount of the hire is twenty ka of corn.
    269. If he hire an ass for threshing, the hire is twenty ka of corn.
    270. If he hire a young animal for threshing, the hire is ten ka of corn.
    271. If any one hire oxen, cart and driver, he shall pay one hundred and eighty ka of corn per day.
    272. If any one hire a cart alone, he shall pay forty ka of corn per day.
    273. If any one hire a day laborer, he shall pay him from the New Year until the fifth month (April to August, when days are long and the work hard) six gerahs in money per day; from the sixth month to the end of the year he shall give him five gerahs per day.
    274. If any one hire a skilled artizan, he shall pay as wages of the . . . five gerahs, as wages of the potter five gerahs, of a tailor five gerahs, of . . . gerahs, . . . of a ropemaker four gerahs, of . . .. gerahs, of a mason . . . gerahs per day.
    275. If any one hire a ferryboat, he shall pay three gerahs in money per day.
    276. If he hire a freight-boat, he shall pay two and one-half gerahs per day.
    277. If any one hire a ship of sixty gur, he shall pay one-sixth of a shekel in money as its hire per day.

    关于奴隶的规定

    278. If any one buy a male or female slave, and before a month has elapsed the benu-disease be developed, he shall return the slave to the seller, and receive the money which he had paid.
    279. If any one by a male or female slave, and a third party claim it, the seller is liable for the claim.
    280. If while in a foreign country a man buy a male or female slave belonging to another of his own country; if when he return home the owner of the male or female slave recognize it: if the male or female slave be a native of the country, he shall give them back without any money.
    281. If they are from another country, the buyer shall declare the amount of money paid therefor to the merchant, and keep the male or female slave.
    282. If a slave say to his master: “You are not my master.” If they convict him his master shall cut off his ear.
    282.若奴隶忤逆主人,一经定罪,主人可以割下他的耳朵。

    THE EPILOGUE(结尾):

    LAWS of justice which Hammurabi, the wise king, established. A righteous law, and pious statute did he teach the land. Hammurabi, the protecting king am I. I have not withdrawn myself from the men, whom Bel gave to me, the rule over whom Marduk gave to me, I was not negligent, but I made them a peaceful abiding-place. I expounded all great difficulties, I made the light shine upon them. With the mighty weapons which Zamama and Ishtar entrusted to me, with the keen vision with which Ea endowed me, with the wisdom that Marduk gave me, I have uprooted the enemy above and below (in north and south), subdued the earth, brought prosperity to the land, guaranteed security to the inhabitants in their homes; a disturber was not permitted. The great gods have called me, I am the salvation-bearing shepherd, whose staff is straight, the good shadow that is spread over my city; on my breast I cherish the inhabitants of the land of Sumer and Akkad; in my shelter I have let them repose in peace; in my deep wisdom have I enclosed them. That the strong might not injure the weak, in order to protect the widows and orphans, I have in Babylon the city where Anu and Bel raise high their head, in E-Sagil, the Temple, whose foundations stand firm as heaven and earth, in order to bespeak justice in the land, to settle all disputes, and heal all injuries, set up these my precious words, written upon my memorial stone, before the image of me, as king of righteousness.
    The king who ruleth among the kings of the cities am I. My words are well considered; there is no wisdom like unto mine. By the command of Shamash, the great judge of heaven and earth, let righteousness go forth in the land: by the order of Marduk, my lord, let no destruction befall my monument. In E-Sagil, which I love, let my name be ever repeated; let the oppressed, who has a case at law, come and stand before this my image as king of righteousness; let him read the inscription, and understand my precious words: the inscription will explain his case to him; he will find out what is just, and his heart will be glad, so that he will say:
    “Hammurabi is a ruler, who is as a father to his subjects, who holds the words of Marduk in reverence, who has achieved conquest for Marduk over the north and south, who rejoices the heart of Marduk, his lord, who has bestowed benefits for ever and ever on his subjects, and has established order in the land.”

    When he reads the record, let him pray with full heart to Marduk, my lord, and Zarpanit, my lady; and then shall the protecting deities and the gods, who frequent E-Sagil, graciously grant the desires daily presented before Marduk, my lord, and Zarpanit, my lady. In future time, through all coming generations, let the king, who may be in the land, observe the words of righteousness which I have written on my monument; let him not alter the law of the land which I have given, the edicts which I have enacted; my monument let him not mar. If such a ruler have wisdom, and be able to keep his land in order, he shall observe the words which I have written in this inscription; the rule, statute, and law of the land which I have given; the decisions which I have made will this inscription show him; let him rule his subjects accordingly, speak justice to them, give right decisions, root out the miscreants and criminals from this land, and grant prosperity to his subjects.

    Hammurabi, the king of righteousness, on whom Shamash has conferred right (or law) am I. My words are well considered; my deeds are not equaled; to bring low those that were high; to humble the proud, to expel insolence. If a succeeding ruler considers my words, which I have written in this my inscription, if he do not annul my law, nor corrupt my words, nor change my monument, then may Shamash lengthen that king’s reign, as he has that of me, the king of righteousness, that he may reign in righteousness over his subjects. If this ruler do not esteem my words, which I have written in my inscription, if he despise my curses, and fear not the curse of God, if he destroy the law which I have given, corrupt my words, change my monument, efface my name, write his name there, or on account of the curses commission another so to do, that man, whether king or ruler, patesi, or commoner, no matter what he be, may the great God (Anu), the Father of the gods, who has ordered my rule, withdraw from him the glory of royalty, break his scepter, curse his destiny. May Bel, the lord, who fixeth destiny, whose command can not be altered, who has made my kingdom great, order a rebellion which his hand can not control; may he let the wind of the overthrow of his habitation blow, may he ordain the years of his rule in groaning, years of scarcity, years of famine, darkness without light, death with seeing eyes be fated to him; may he (Bel) order with his potent mouth the destruction of his city, the dispersion of his subjects, the cutting off of his rule, the removal of his name and memory from the land. May Belit, the great Mother, whose command is potent in E-Kur (the Babylonian Olympus), the Mistress, who harkens graciously to my petitions, in the seat of judgment and decision (where Bel fixes destiny), turn his affairs evil before Bel, and put the devastation of his land, the destruction of his subjects, the pouring out of his life like water into the mouth of King Bel. May Ea, the great ruler, whose fated decrees come to pass, the thinker of the gods, the omniscient, who maketh long the days of my life, withdraw understanding and wisdom from him, lead him to forgetfulness, shut up his rivers at their sources, and not allow corn or sustenance for man to grow in his land. May Shamash, the great Judge of heaven and earth, who supporteth all means of livelihood, Lord of life-courage, shatter his dominion, annul his law, destroy his way, make vain the march of his troops, send him in his visions forecasts of the uprooting of the foundations of his throne and of the destruction of his land. May the condemnation of Shamash overtake him forthwith; may he be deprived of water above among the living, and his spirit below in the earth. May Sin (the Moon-god), the Lord of Heaven, the divine father, whose crescent gives light among the gods, take away the crown and regal throne from him; may he put upon him heavy guilt, great decay, that nothing may be lower than he. May he destine him as fated, days, months and years of dominion filled with sighing and tears, increase of the burden of dominion, a life that is like unto death. May Adad, the lord of fruitfulness, ruler of heaven and earth, my helper, withhold from him rain from heaven, and the flood of water from the springs, destroying his land by famine and want; may he rage mightily over his city, and make his land into flood-hills (heaps of ruined cities). May Zamama, the great warrior, the first-born son of E-Kur, who goeth at my right hand, shatter his weapons on the field of battle, turn day into night for him, and let his foe triumph over him. May Ishtar, the goddess of fighting and war, who unfetters my weapons, my gracious protecting spirit, who loveth my dominion, curse his kingdom in her angry heart; in her great wrath, change his grace into evil, and shatter his weapons on the place of fighting and war. May she create disorder and sedition for him, strike down his warriors, that the earth may drink their blood, and throw down the piles of corpses of his warriors on the field; may she not grant him a life of mercy, deliver him into the hands of his enemies, and imprison him in the land of his enemies. May Nergal, the might among the gods, whose contest is irresistible, who grants me victory, in his great might burn up his subjects like a slender reedstalk, cut off his limbs with his mighty weapons, and shatter him like an earthen image. May Nin-tu, the sublime mistress of the lands, the fruitful mother, deny him a son, vouchsafe him no name, give him no successor among men. May Nin-karak, the daughter of Anu, who adjudges grace to me, cause to come upon his members in E-kur high fever, severe wounds, that can not be healed, whose nature the physician does not understand, which he can not treat with dressing, which, like the bite of death, can not be removed, until they have sapped away his life.

    May he lament the loss of his life-power, and may the great gods of heaven and earth, the Anunaki, altogether inflict a curse and evil upon the confines of the temple, the walls of this E-barra (the Sun temple of Sippara), upon his dominion, his land, his warriors, his subjects, and his troops. May Bel curse him with the potent curses of his mouth that can not be altered, and may they come upon him forthwith.

    THE END OF THE CODE OF HAMMURABI

    Great Charter(《大宪章》)

    1215年6月15日(一说1213)由英王约翰签署的宪法性文件,成为英国君主立宪制的法律基石。《大宪章》(拉丁:Magna Carter)是英国宪法的基础,创造了“法治”理念。时至今日,《大宪章》中的3个条款目前仍然有效:保证英国教会的自由,确认伦敦金融城及其他城镇的特权,以及所有人都必须有合法的审判才能被监禁。

    (Clauses marked (+) are still valid under the charter of 1225, but with a few minor amendments. Clauses marked (*) were omitted in all later reissues of the charter. In the charter itself the clauses are not numbered, and the text reads continuously. The translation sets out to convey the sense rather than the precise wording of the original Latin.)

    JOHN, by the grace of God King of England, Lord of Ireland, Duke of Normandy and Aquitaine, and Count of Anjou, to his archbishops, bishops, abbots, earls, barons, justices, foresters, sheriffs, stewards, servants, and to all his officials and loyal subjects, Greeting.

    KNOW THAT BEFORE GOD, for the health of our soul and those of our ancestors and heirs, to the honor of God, the exaltation of the holy Church, and the better ordering of our kingdom, at the advice of our reverend fathers Stephen, archbishop of Canterbury, primate of all England, and cardinal of the holy Roman Church, Henry archbishop of Dublin, William bishop of London, Peter bishop of Winchester, Jocelin bishop of Bath and Glastonbury, Hugh bishop of Lincoln, Walter Bishop of Worcester, William bishop of Coventry, Benedict bishop of Rochester, Master Pandulf subdeacon and member of the papal household, Brother Aymeric master of the knighthood of the Temple in England, William Marshal earl of Pembroke, William earl of Salisbury, William earl of Warren, William earl of Arundel, Alan de Galloway constable of Scotland, Warin Fitz Gerald, Peter Fitz Herbert, Hubert de Burgh seneschal of Poitou, Hugh de Neville, Matthew Fitz Herbert, Thomas Basset, Alan Basset, Philip Daubeny, Robert de Roppeley, John Marshal, John Fitz Hugh, and other loyal subjects:

    + (1) FIRST, THAT WE HAVE GRANTED TO GOD, and by this present charter have confirmed for us and our heirs in perpetuity, that the English Church shall be free, and shall have its rights undiminished, and its liberties unimpaired. That we wish this so to be observed, appears from the fact that of our own free will, before the outbreak of the present dispute between us and our barons, we granted and confirmed by charter the freedom of the Church’s elections – a right reckoned to be of the greatest necessity and importance to it – and caused this to be confirmed by Pope Innocent III. This freedom we shall observe ourselves, and desire to be observed in good faith by our heirs in perpetuity.
    TO ALL FREE MEN OF OUR KINGDOM we have also granted, for us and our heirs forever, all the liberties written out below, to have and to keep for them and their heirs, of us and our heirs:

    (2) If any earl, baron, or other person that holds lands directly of the Crown, for military service, shall die, and at his death his heir shall be of full age and owe a `relief’, the heir shall have his inheritance on payment of the ancient scale of `relief’. That is to say, the heir or heirs of an earl shall pay £100 for the entire earl’s barony, the heir or heirs of a knight l00s. at most for the entire knight’s `fee’, and any man that owes less shall pay less, in accordance with the ancient usage of `fees’

    (3) But if the heir of such a person is under age and a ward, when he comes of age he shall have his inheritance without `relief’ or fine.

    (4) The guardian of the land of an heir who is under age shall take from it only reasonable revenues, customary dues, and feudal services. He shall do this without destruction or damage to men or property. If we have given the guardianship of the land to a sheriff, or to any person answerable to us for the revenues, and he commits destruction or damage, we will exact compensation from him, and the land shall be entrusted to two worthy and prudent men of the same `fee’, who shall be answerable to us for the revenues, or to the person to whom we have assigned them. If we have given or sold to anyone the guardianship of such land, and he causes destruction or damage, he shall lose the guardianship of it, and it shall be handed over to two worthy and prudent men of the same `fee’, who shall be similarly answerable to us.

    (5) For so long as a guardian has guardianship of such land, he shall maintain the houses, parks, fish preserves, ponds, mills, and everything else pertaining to it, from the revenues of the land itself. When the heir comes of age, he shall restore the whole land to him, stocked with plough teams and such implements of husbandry as the season demands and the revenues from the land can reasonably bear.

    (6) Heirs may be given in marriage, but not to someone of lower social standing. Before a marriage takes place, it shall be’ made known to the heir’s next-of-kin.

    (7) At her husband’s death, a widow may have her marriage portion and inheritance at once and without trouble. She shall pay nothing for her dower, marriage portion, or any inheritance that she and her husband held jointly on the day of his death. She may remain in her husband’s house for forty days after his death, and within this period her dower shall be assigned to her.

    (8) No widow shall be compelled to marry, so long as she wishes to remain without a husband. But she must give security that she will not marry without royal consent, if she holds her lands of the Crown, or without the consent of whatever other lord she may hold them of.

    (9) Neither we nor our officials will seize any land or rent in payment of a debt, so long as the debtor has movable goods sufficient to discharge the debt. A debtor’s sureties shall not be distrained upon so long as the debtor himself can discharge his debt. If, for lack of means, the debtor is unable to discharge his debt, his sureties shall be answerable for it. If they so desire, they may have the debtor’s lands and rents until they have received satisfaction for the debt that they paid for him, unless the debtor can show that he has settled his obligations to them.

    * (10) If anyone who has borrowed a sum of money from Jews dies before the debt has been repaid, his heir shall pay no interest on the debt for so long as he remains under age, irrespective of whom he holds his lands. If such a debt falls into the hands of the Crown, it will take nothing except the principal sum specified in the bond.

    * (11) If a man dies owing money to Jews, his wife may have her dower and pay nothing towards the debt from it. If he leaves children that are under age, their needs may also be provided for on a scale appropriate to the size of his holding of lands. The debt is to be paid out of the residue, reserving the service due to his feudal lords. Debts owed to persons other than Jews are to be dealt with similarly.

    * (12) No `scutage’ or `aid’ may be levied in our kingdom without its general consent, unless it is for the ransom of our person, to make our eldest son a knight, and (once) to marry our eldest daughter. For these purposes only a reasonable `aid’ may be levied. `Aids’ from the city of London are to be treated similarly.

    + (13) The city of London shall enjoy all its ancient liberties and free customs, both by land and by water. We also will and grant that all other cities, boroughs, towns, and ports shall enjoy all their liberties and free customs.

    * (14) To obtain the general consent of the realm for the assessment of an `aid’ – except in the three cases specified above – or a `scutage’, we will cause the archbishops, bishops, abbots, earls, and greater barons to be summoned individually by letter. To those who hold lands directly of us we will cause a general summons to be issued, through the sheriffs and other officials, to come together on a fixed day (of which at least forty days notice shall be given) and at a fixed place. In all letters of summons, the cause of the summons will be stated. When a summons has been issued, the business appointed for the day shall go forward in accordance with the resolution of those present, even if not all those who were summoned have appeared.

    * (15) In future we will allow no one to levy an `aid’ from his free men, except to ransom his person, to make his eldest son a knight, and (once) to marry his eldest daughter. For these purposes only a reasonable `aid’ may be levied.

    (16) No man shall be forced to perform more service for a knight’s `fee’, or other free holding of land, than is due from it.

    (17) Ordinary lawsuits shall not follow the royal court around, but shall be held in a fixed place.

    (18) Inquests of novel disseisin, mort d’ancestor, and darrein presentment shall be taken only in their proper county court. We ourselves, or in our absence abroad our chief justice, will send two justices to each county four times a year, and these justices, with four knights of the county elected by the county itself, shall hold the assizes in the county court, on the day and in the place where the court meets.

    (19) If any assizes cannot be taken on the day of the county court, as many knights and freeholders shall afterwards remain behind, of those who have attended the court, as will suffice for the administration of justice, having regard to the volume of business to be done.

    (20) For a trivial offence, a free man shall be fined only in proportion to the degree of his offence, and for a serious offence correspondingly, but not so heavily as to deprive him of his livelihood. In the same way, a merchant shall be spared his merchandise, and a husbandman the implements of his husbandry, if they fall upon the mercy of a royal court. None of these fines shall be imposed except by the assessment on oath of reputable men of the neighborhood.

    (21) Earls and barons shall be fined only by their equals, and in proportion to the gravity of their offence.

    (22) A fine imposed upon the lay property of a clerk in holy orders shall be assessed upon the same principles, without reference to the value of his ecclesiastical benefice.

    (23) No town or person shall be forced to build bridges over rivers except those with an ancient obligation to do so.

    (24) No sheriff, constable, coroners, or other royal officials are to hold lawsuits that should be held by the royal justices.

    * (25) Every county, hundred, wapentake, and tithing shall remain at its ancient rent, without increase, except the royal demesne manors.

    (26) If at the death of a man who holds a lay `fee’ of the Crown, a sheriff or royal official produces royal letters patent of summons for a debt due to the Crown, it shall be lawful for them to seize and list movable goods found in the lay `fee’ of the dead man to the value of the debt, as assessed by worthy men. Nothing shall be removed until the whole debt is paid, when the residue shall be given over to the executors to carry out the dead man s will. If no debt is due to the Crown, all the movable goods shall be regarded as the property of the dead man, except the reasonable shares of his wife and children.

    * (27) If a free man dies intestate, his movable goods are to be distributed by his next-of-kin and friends, under the supervision of the Church. The rights of his debtors are to be preserved.

    (28) No constable or other royal official shall take corn or other movable goods from any man without immediate payment, unless the seller voluntarily offers postponement of this.

    (29) No constable may compel a knight to pay money for castle-guard if the knight is willing to undertake the guard in person, or with reasonable excuse to supply some other fit man to do it. A knight taken or sent on military service shall be excused from castle-guard for the period of this service.

    (30) No sheriff, royal official, or other person shall take horses or carts for transport from any free man, without his consent.

    (31) Neither we nor any royal official will take wood for our castle, or for any other purpose, without the consent of the owner.

    (32) We will not keep the lands of people convicted of felony in our hand for longer than a year and a day, after which they shall be returned to the lords of the `fees’ concerned.

    (33) All fish-weirs shall be removed from the Thames, the Medway, and throughout the whole of England, except on the sea coast.

    (34) The writ called precipe shall not in future be issued to anyone in respect of any holding of land, if a free man could thereby be deprived of the right of trial in his own lord’s court.

    (35) There shall be standard measures of wine, ale, and corn (the London quarter), throughout the kingdom. There shall also be a standard width of dyed cloth, russett, and haberject, namely two ells within the selvedges. Weights are to be standardised similarly.

    (36) In future nothing shall be paid or accepted for the issue of a writ of inquisition of life or limbs. It shall be given gratis, and not refused.

    (37) If a man holds land of the Crown by `fee-farm’, `socage’, or `burgage’, and also holds land of someone else for knight’s service, we will not have guardianship of his heir, nor of the land that belongs to the other person’s `fee’, by virtue of the `fee- farm’, `socage’, or `burgage’, unless the `fee-farm’ owes knight’s service. We will not have the guardianship of a man’s heir, or of land that he holds of someone else, by reason of any small property that he may hold of the Crown for a service of knives, arrows, or the like.

    (38) In future no official shall place a man on trial upon his own unsupported statement, without producing credible witnesses to the truth of it.

    + (39) No free man shall be seized or imprisoned, or stripped of his rights or possessions, or outlawed or exiled, or deprived of his standing in any other way, nor will we proceed with force against him, or send others to do so, except by the lawful judgement of his equals or by the law of the land.

    + (40) To no one will we sell, to no one deny or delay right or justice.

    (41) All merchants may enter or leave England unharmed and without fear, and may stay or travel within it, by land or water, for purposes of trade, free from all illegal exactions, in accordance with ancient and lawful customs. This, however, does not apply in time of war to merchants from a country that is at war with us. Any such merchants found in our country at the outbreak of war shall be detained without injury to their persons or property, until we or our chief justice have discovered how our own merchants are being treated in the country at war with us. If our own merchants are safe they shall be safe too.

    * (42) In future it shall be lawful for any man to leave and return to our kingdom unharmed and without fear, by land or water, preserving his allegiance to us, except in time of war, for some short period, for the common benefit of the realm. People that have been imprisoned or outlawed in accordance with the law of the land, people from a country that is at war with us, and merchants – who shall be dealt with as stated above – are excepted from this provision.

    (43) If a man holds lands of any `escheat’ such as the `honor’ of Wallingford, Nottingham, Boulogne, Lancaster, or of other `escheats’ in our hand that are baronies, at his death his heir shall give us only the `relief’ and service that he would have made to the baron, had the barony been in the baron’s hand. We will hold the `escheat’ in the same manner as the baron held it.

    (44) People who live outside the forest need not in future appear before the royal justices of the forest in answer to general summonses, unless they are actually involved in proceedings or are sureties for someone who has been seized for a forest offence.

    * (45) We will appoint as justices, constables, sheriffs, or other officials, only men that know the law of the realm and are minded to keep it well.

    (46) All barons who have founded abbeys, and have charters of English kings or ancient tenure as evidence of this, may have guardianship of them when there is no abbot, as is their due.

    (47) All forests that have been created in our reign shall at once be disafforested. River-banks that have been enclosed in our reign shall be treated similarly.

    * (48) All evil customs relating to forests and warrens, foresters, warreners, sheriffs and their servants, or river-banks and their wardens, are at once to be investigated in every county by twelve sworn knights of the county, and within forty days of their enquiry the evil customs are to be abolished completely and irrevocably. But we, or our chief justice if we are not in England, are first to be informed.

    * (49) We will at once return all hostages and charters delivered up to us by Englishmen as security for peace or for loyal service.

    * (50) We will remove completely from their offices the kinsmen of Gerard de Athée, and in future they shall hold no offices in England. The people in question are Engelard de Cigogné’, Peter, Guy, and Andrew de Chanceaux, Guy de Cigogné, Geoffrey de Martigny and his brothers, Philip Marc and his brothers, with Geoffrey his nephew, and all their followers.

    * (51) As soon as peace is restored, we will remove from the kingdom all the foreign knights, bowmen, their attendants, and the mercenaries that have come to it, to its harm, with horses and arms.

    * (52) To any man whom we have deprived or dispossessed of lands, castles, liberties, or rights, without the lawful judgement of his equals, we will at once restore these. In cases of dispute the matter shall be resolved by the judgement of the twenty-five barons referred to below in the clause for securing the peace (§61). In cases, however, where a man was deprived or dispossessed of something without the lawful judgement of his equals by our father King Henry or our brother King Richard, and it remains in our hands or is held by others under our warranty, we shall have respite for the period commonly allowed to Crusaders, unless a lawsuit had been begun, or an enquiry had been made at our order, before we took the Cross as a Crusader. On our return from the Crusade, or if we abandon it, we will at once render justice in full.

    * (53) We shall have similar respite in rendering justice in connexion with forests that are to be disafforested, or to remain forests, when these were first a-orested by our father Henry or our brother Richard; with the guardianship of lands in another person’s `fee’, when we have hitherto had this by virtue of a `fee’ held of us for knight’s service by a third party; and with abbeys founded in another person’s `fee’, in which the lord of the `fee’ claims to own a right. On our return from the Crusade, or if we abandon it, we will at once do full justice to complaints about these matters.

    (54) No one shall be arrested or imprisoned on the appeal of a woman for the death of any person except her husband.

    * (55) All fines that have been given to us unjustiy and against the law of the land, and all fines that we have exacted unjustly, shall be entirely remitted or the matter decided by a majority judgement of the twenty-five barons referred to below in the clause for securing the peace (§61 )together with Stephen, archbishop of Canterbury, if he can be present, and such others as he wishes to bring with him. If the archbishop cannot be present, proceedings shall continue without him, provided that if any of the twenty-five barons has been involved in a similar suit himself, his judgement shall be set aside, and someone else chosen and sworn in his place, as a substitute for the single occasion, by the rest of the twenty-five.

    (56) If we have deprived or dispossessed any Welshmen of lands, liberties, or anything else in England or in Wales, without the lawful judgement of their equals, these are at once to be returned to them. A dispute on this point shall be determined in the Marches by the judgement of equals. English law shall apply to holdings of land in England, Welsh law to those in Wales, and the law of the Marches to those in the Marches. The Welsh shall treat us and ours in the same way.

    * (57) In cases where a Welshman was deprived or dispossessed of anything, without the lawful judgement of his equals, by our father King Henry or our brother King Richard, and it remains in our hands or is held by others under our warranty, we shall have respite for the period commonly allowed to Crusaders, unless a lawsuit had been begun, or an enquiry had been made at our order, before we took the Cross as a Crusader. But on our return from the Crusade, or if we abandon it, we will at once do full justice according to the laws of Wales and the said regions.

    * (58) We will at once return the son of Llywelyn, all Welsh hostages, and the charters delivered to us as security for the peace.

    * (59) With regard to the return of the sisters and hostages of Alexander, king of Scotland, his liberties and his rights, we will treat him in the same way as our other barons of England, unless it appears from the charters that we hold from his father William, formerly king of Scotland, that he should be treated otherwise. This matter shall be resolved by the judgement of his equals in our court.

    (60) All these customs and liberties that we have granted shall be observed in our kingdom in so far as concerns our own relations with our subjects. Let all men of our kingdom, whether clergy or laymen, observe them similarly in their relations with their own men.

    61. Since, moveover, for God and the amendment of our kingdom and for the better allaying of the quarrel that has arisen between us and our barons, we have granted all these concessions, desirous that they should enjoy them in complete and firm endurance forever, we give and grant to them the underwritten security, namely, that the barons choose five and twenty barons of the kingdom, whomsoever they will, who shall be bound with all their might, to observe and hold, and cause to be observed, the peace and liberties we have granted and confirmed to them by this our present Charter, so that if we, or our justiciar, or our bailiffs or any one of our officers, shall in anything be at fault towards anyone, or shall have broken any one of the articles of this peace or of this security, and the offense be notified to four barons of the foresaid five and twenty, the said four barons shall repair to us (or our justiciar, if we are out of the realm) and, laying the transgression before us, petition to have that transgression redressed without delay. And if we shall not have corrected the transgression (or, in the event of our being out of the realm, if our justiciar shall not have corrected it) within forty days, reckoning from the time it has been intimated to us (or to our justiciar, if we should be out of the realm), the four barons aforesaid shall refer that matter to the rest of the five and twenty barons, and those five and twenty barons shall, together with the community of the whole realm, distrain and distress us in all possible ways, namely, by seizing our castles, lands, possessions, and in any other way they can, until redress has been obtained as they deem fit, saving harmless our own person, and the persons of our queen and children; and when redress has been obtained, they shall resume their old relations towards us. And let whoever in the country desires it, swear to obey the orders of the said five and twenty barons for the execution of all the aforesaid matters, and along with them, to molest us to the utmost of his power; and we publicly and freely grant leave to everyone who wishes to swear, and we shall never forbid anyone to swear. All those, moveover, in the land who of themselves and of their own accord are unwilling to swear to the twenty five to help them in constraining and molesting us, we shall by our command compel the same to swear to the effect foresaid. And if any one of the five and twenty barons shall have died or departed from the land, or be incapacitated in any other manner which would prevent the foresaid provisions being carried out, those of the said twenty five barons who are left shall choose another in his place according to their own judgment, and he shall be sworn in the same way as the others. Further, in all matters, the execution of which is entrusted,to these twenty five barons, if perchance these twenty five are present and disagree about anything, or if some of them, after being summoned, are unwilling or unable to be present, that which the majority of those present ordain or command shall be held as fixed and established, exactly as if the whole twenty five had concurred in this; and the said twenty five shall swear that they will faithfully observe all that is aforesaid, and cause it to be observed with all their might. And we shall procure nothing from anyone, directly or indirectly, whereby any part of these concessions and liberties might be revoked or diminished; and if any such things has been procured, let it be void and null, and we shall never use it personally or by another.

    62. And all the will, hatreds, and bitterness that have arisen between us and our men, clergy and lay, from the date of the quarrel, we have completely remitted and pardoned to everyone. Moreover, all trespasses occasioned by the said quarrel, from Easter in the sixteenth year of our reign till the restoration of peace, we have fully remitted to all, both clergy and laymen, and completely forgiven, as far as pertains to us. And on this head, we have caused to be made for them letters testimonial patent of the lord Stephen, archbishop of Canterbury, of the lord Henry, archbishop of Dublin, of the bishops aforesaid, and of Master Pandulf as touching this security and the concessions aforesaid.

    63. Wherefore we will and firmly order that the English Church be free, and that the men in our kingdom have and hold all the aforesaid liberties, rights, and concessions, well and peaceably, freely and quietly, fully and wholly, for themselves and their heirs, of us and our heirs, in all respects and in all places forever, as is aforesaid. An oath, moreover, has been taken, as well on our part as on the art of the barons, that all these conditions aforesaid shall be kept in good faith and without evil intent.

    Given under our hand – the above named and many others being witnesses – in the meadow which is called Runnymede, between Windsor and Staines, on the fifteenth day of June, in the seventeenth year of our reign.

    受命于天的英格兰国王兼领爱尔兰宗主,诺曼底与阿奎丹公爵、安茹伯爵约翰,谨向大主教,主教,住持,伯爵,男爵,法官,森林官,执行吏,典狱官,差人,及其管家吏与忠顺的人民致候。

      由于可敬的神父们,坎特伯里大主教,英格兰大教长兼圣罗马教会红衣主教斯提芬;杜伯林大主教亨利……暨培姆布卢克大司仪伯爵威廉;索斯伯利伯爵威廉……等贵族,及其他忠顺臣民谏议,使余等知道,为了余等自身以及余等之先人与后代灵魂的安全,同时也为了圣教会的昌盛和王国的兴隆,上帝的意旨使余等承认下列诸端,并昭告全国:

      (1)首先,余等及余等之后嗣坚决应许上帝,根据本宪章,英国教会当享有自由,其权利将不受干扰,其自由将不受侵犯。关于英格兰教会所视为最重要与最必需之自由选举,在余等与诸男爵发生不睦之前曾自动地或按照己意用特许状所颁赐者,——同时经余等请得教王英诺森三世所同意者——余等及余等之世代子孙当永以善意遵守。此外,余等及余等之子孙后代,同时亦以下面附列之各项自由给予余等王国内一切自由人民,并允许严行遵守,永矢勿渝。

      (2)任何伯爵或男爵,或因军役而自余等直接领有采地之人身故时,如有已达成年之继承者,于按照旧时数额缴纳承继税后,即可享有其遗产。计伯爵继承人于缴纳一百镑后,即可享受伯爵全部遗产;男爵继承人于缴纳一百镑后,即可享受男爵全部遗产;武士继承人于最多缴纳一百先令后,即可享受全部武士封地。其他均应按照采地旧有习惯,应少交者须少交。

      (3)上述诸人之继承人如未达成年,须受监护者,应于成年后以其遗产交付之,不得收取任何继承税或产业转移税。

      (4)凡经管前款所述未达成年之继承人之土地者,除自该项土地上收取适当数量之产品,及按照习惯应行征取之赋税与力役外,不得多有需索以免耗费人力与物力。如余等以该项土地之监护权委托执行吏或其他人等,俾对其收益向余等负责,而其人使所保管之财产遭受浪费与损毁时,余等将处此人以罚金,并将该项土地转交该采地中合法与端正之人士二人,俾对该项收益能向余等或余等所指定之人负责。如余等将该项土地之监护权赐予或售予任何人,而其人使土地遭受浪费与损毁时,即须丧失监护权,并将此项土地交由该采地中之合法与端正人士二人,按照前述条件向余等负责。

      (5)此外,监护人在经管土地期间,应自该项土地之收益中拨出专款为房屋、园地、鱼塘、池沼、磨坊及其他附属物修缮费用,俾能井井有条。继承人达成年时,即应按照耕耘时之需要,就该项土地收益所许可之范围内置备犁、锄、与其他农具,附于其全部土地内归还之。

      (6)继承人得在不贬抑其身分之条件下结婚,但在订婚前应向其宅人之卑属亲族通告。

      (7)寡妇于其夫身故后,应不受任何留难而立即获得其嫁资与遗产。寡妇之嫁奁,嫁资,及其应得之遗产与其夫逝世前为二人共同保有之物品,俱不付任何代价。[自愿改醮]之寡妇得于其夫身故后,居留夫宅四十日,在此期间其嫁奁应交还之。

      (8)寡妇之自愿孀居者,不得强迫其改醮,但寡妇本人,如执有余等之土地时,应提供保证,未得余等同意前不改醮。执有其他领主之土地者,亦应获得其他领主同意。

      (9)凡债务人之动产足以抵偿其债务时,无论余等或余等之执行吏,均不得强取收入以抵偿债务。如负债人之财产足以抵偿其债务,即不得使该项债务之担保人受扣押动产之处分。但如债务人不能偿还债务,或无力偿还债务时,担保人应即负责清偿。担保人如愿意时,可扣押债务人之土地与收入,甚至后者偿还其前所代偿之债务时为止。惟该债务人能证明其所清偿已超过保人担保之额著,不在此限。

      (10)任何向犹太人借债者,不论其数额多少,如在未清偿前身故,此项债款在负责清偿之继承人未达成年之前不得负有利息,如此项债务落入余等之手,则余等除契据上载明之动产以外,不得收取任何其他物品。

      (11)欠付犹太人债务者亡故时,其妻仍应获得其嫁资,不负偿债之责。亡故者如有未成年之子女时,应按亡者遗产之性质,留备彼等之教养费,剩余数额,除扣还领主应得之报效外,始可作为清偿债务之用。关于犹太人以外之债务,同样依此规定处理。

      (12)除下列三项税金外,设无全国公意许可,将不征收任何免役税与贡金。即(一)赎回余等身体时之赎金[指被俘时].(二)策封余等之长子为武士时之费用。(三)余等之长女出嫁时之费用——但以一次为限。且为此三项目的征收之贡金亦务求适当。关于伦敦城之贡金,按同样规定办理。

      (13)伦敦城,无论水上或陆上,俱应享有其旧有之自由与自由习惯。其他城市、州、市镇,港口,余等亦承认或赐予彼等以保有自由与自由习惯之权。

      (14)凡在上述征收范围之外,余等如欲征收贡金与免役税,应用加盖印信之诏书致送各大主教,主教,住持,伯爵与男爵指明时间与地点召集会议,以期获得全国公意。此项诏书之送达,至少应在开会以前四十日,此外,余等仍应通过执行吏与管家吏普遍召集凡直接领有余等之土地者。召集之缘由应于诏书内载明。召集之后,前项事件应在指定日期依出席者之公意进行,不以缺席人数阻延之。

      (15)自此以往,除为赎还其本人之身体,策封其长子为武士,与一度出嫁其长女以外。余等不得准许任何人向其自由人征取贡金。而为上述目的所征收之贡金数额亦务求合乎情理。

      (16)不得强迫执有武士采地,或其他自由保有地之人,服额外之役。

      (17)一般诉讼应在一定地方审问,无需追随国王法庭请求处理。

      (18)凡关于强占土地,收回遗产及最后控诉等案件,应不在该案件所发生之州以外地区审理。其方法如下:由余等自己,或余等不在国内时,由余等之大法官,指定法官二人,每年四次分赴各州郡,会同该州郡所推选之武士四人,在指定之日期,于该州郡法庭所在地审理之。

      (19)州郡法庭开庭之日,如上述案件未能审理,则应就当日出庭之武士与自由佃农中酌留适当人数,俾能按照事件性质之轻重作出合宜裁决。

      (20)自由人犯轻罪者,应按犯罪之程度科以罚金;犯重罪者应按其犯罪之大小没收其土地,与居室以外之财产;对于商人适用同样规定,但不得没收其货物。凡余等所辖之农奴犯罪时,亦应同样科以罚金,但不得没收其农具。上述罚金,须凭邻居正直之人宣誓证明,始得科罚。

      (21)伯爵与男爵,非经其同级贵族陪审,并按照罪行程度外不得科以罚金。

      (22)教士犯罪时,仅能按照处罚上述诸人之方法,就其在俗之财产科以罚金;不得按照其教士采地之收益为标准科处罚金。

      (23)不得强迫任何市镇与个人修造渡河桥梁,惟向未负有修桥之责者不在此限。

      (24)余等之执行吏,巡察吏,检验吏与管家等,均不得受理向余等提出之诉讼。

      (25)一切州郡,百人村,小镇市,小区——余等自己之汤沐邑在外——均应按照旧章征收赋税,不得有任何增加。

      (26)凡领受余等之采地者亡故时,执有余等向该亡故者索欠之特许证状之执行吏或管家应即依公正人士数人之意见,按照债务数额,将该亡故者之动产加以登记与扣押,使在偿清余等债务之前不得移动。偿清后之剩余,应即交由死者之遗嘱执行人处理。如死者不欠余等之债,则除为其妻子酌留相当部分外,其余一切动产概依亡者所指定之用途处理。

      (27)任何未立遗嘱之自由人亡故时,其所遗动产应依教会之意见,经由其戚友之手分配之,但偿还死者债务之部分应予留出。

      (28)余等之巡察吏或管家吏,除立即支付价款外,不得自任何人之处擅取谷物或其他动产,但依出售者之意志允予延期付款者不在此限。

      (29)武士如愿亲自执行守卫勤务,或因正当理由不能亲自执行,而委托合适之人代为执行时,巡察吏即不得向之强索财物。武士被率领或被派遣出征时,应在军役期内免除其守卫勤务。

      (30)任何执行吏或管家吏,不得擅取自由人之车与马作为运输之用,但依照该自由人之意志为之者,不在此限。

      (31)无论余等或余等之管家吏俱不得强取他人木材,以供建筑城堡或其他私用,但依木材所所有人之意志为之者不在此限。

      (32)余等留用重罪既决犯之土地不得超过一年零一日,逾期后即应交还该项土地之原主。

      (33)自此以后,除海岸线以外,其他在泰晤斯河,美得威河及全英格兰各地一切河流上之堰坝与鱼梁概须拆除。

      (34)自此以后,不得再行颁布强制转移土地争执案件至国王法庭审讯之敕令,以免自由人丧失其司法权。

      (35)全国应有统一之度量衡。酒类、烈性麦酒与谷物之量器,以伦敦夸尔为标准;染色布、土布,锁子甲布之宽度应以织边下之两码为标准;其他衡器亦如量器之规定。

      (36)自此以后发给检验状(验尸或验伤)时不得索取或给予任何陋规,请求发给时,亦不得拒绝。

      (37)任何人以货币租地法,劳役租地法,或特许享有法保有余等之土地,但同时亦保有其他领主之兵役采地者,余等即不得借口上述诸关系强迫取得其继承人(未成年人)及其所保有他人土地之监护权。除该项货币租地,劳役租地与特许享有租地负有军役义务外,余等皆不得主张其监护权。任何人以献纳刀、剑、弓、箭等而得为余等之小军曹者,余等亦不得对其继承人及其所保有之他人土地主张监护权。

      (38)自此以后,凡不能提供忠实可靠之证人与证物时,管家吏不得单凭己意使任何人经受神判法(水火法)。

      (39)任何自由人,如未经其同级贵族之依法裁判,或经国法判决,皆不得被逮捕,监禁,没收财产,剥夺法律保护权,流放,或加以任何其他损害。

      (40)余等不得向任何人出售,拒绝,或延搁其应享之权利与公正裁判。

      (41)除战时与余等敌对之国家之人民外,一切商人,倘能遵照旧时之公正习惯,皆可免除苛捐杂税,安全经由水道与旱道,出入英格兰,或在英格兰全境逗留或耽搁以经营商业。战时,敌国商人在我国者,在余等或余等之大法官获知我国商人在敌国所受之待遇前,应先行扣留,但不得损害彼等之身体与货物。如我国商人之在敌国者安全无恙,敌国商人在我国者亦将安全无恙。

      (42)自此以后,任何对余等效忠之人民,除在战时为国家与公共幸福得暂加限制外,皆可由水道或旱道安全出国或入国。但监犯与被褫夺法律保护权之人为例外,关于敌国人民与商人,依前述方法处理。

      (43)领有归属土地——诸如自窝林福德,诺定昂,波罗因,兰开斯忒诸勋爵领有者,或其他归属于余等之男爵领地——之附庸亡故时,其继承人不另缴承继税。余等亦不得令其提供较男爵生前更多之役务,一切应依该采地在男爵手中时为标准。

      (44)自此以后,不得以普通传票召唤森林区以外之居民赴森林区法庭审讯。但为森林区案件之被告人,或为森林区案件被告之保人者,不在此限。

      (45)除熟习本国法律而又志愿遵守者外,余等将不任命任何人为法官,巡察吏,执行吏或管家吏。

      (46)一切自英国历朝国王获得特许状创立寺院或握有寺产保管权之男爵(贵族),应悉仍旧例,在该项寺院无人主持时,负保管之责。

      (47)凡在余等即位后所划出之森林区,及建为防御工事之河岸,皆应立即撤除。

      (48)有关每一州郡之森林,园圃,森林官,园圃守护人,管家吏及其仆役,河岸及其守护人等之一切陋规恶习,应由各该州郡推选武士十二人,于宣誓后立即驰赴各地详加调查,并于调查后四十日内予以全部彻底革除,务使永不再起。调查情形应先奏知余等,若余等不在国内时则先禀知大法官。

      (49)凡英国臣民为表示和好和忠忱所交予余等之人质或其他担保品,概须立即退还。

      (50)余等应解除热拉尔之戚及下列诸人(名略)及随从彼等来英任执行吏者之职务,并使彼等自此以后,不再在英国担任此项职务。

      (51)君臣复归于好后,余等应将携带马匹与武器来英格兰并危害英国之外国士兵,弩手,仆役及佣兵等立即遣送出境。

      (52)任何人凡未经其同级贵族之合法裁决而被余等夺去其土地,城堡,自由或合法权利者,余等应立即归还之。倘有关于此项事件之任何争执发生,应依后列负责保障和平之男爵二十五人之意见裁决之。其有在余等之父亨利王或余等之兄理查王时代,未经其同级贵族之合法判决而被夺去之上述各项,现为余等所有,或为他人所有而应由余等负责者,当较照参加十字军者获得展缓债务权利之一般规定办理。但当余等参谒圣地归来后,或因故中止余等之东征时,余等应即公平处理之。惟在余等誓师东征前正在进行诉讼,或由余等之敕令正在审理中者,不在此限。

      (53)关于下列事件亦应依照前条规定处理或展缓处理之;

      (甲)余等之父亨利王,兄理查王时代所划出之森林,何者应撤除,何者应保留。

      (乙)余等在他人采地中之监护权(此项监护权系因某人曾自余等领受军役采地,因而使余等享有者)。

      (丙)余等在他人采地中所建立之寺院(该采地之领主声称有管辖权者)。

      当余等参谒圣地归来后,或因故中止余等之东征时,余等应立即对上述诸项予以公正处理。

      (54)凡妇女指控之杀人案件,如死者并非其夫,即不得逮捕或监禁任何人。

      (55)凡余等所科之一切不正当与不合法之罚金与处罚,须一概免除或纠正之,或依照后列保障和平之男爵二十五人之意见,或大多数男爵连同前述之坎特伯里大主教斯提芬,及其所愿与共同商讨此事件者之意见处理之。遇大教主不能出席时,事件应照常进行。但如上述二十五男爵中有一人或数人与同一事件有关(“大宪章重订译本”作“为同一事件之原告”),则应于处理此一事件时回避,而代之以其余男爵中所遴选之人。

      (56)如余等曾在英格兰或威尔斯,未依其同级贵族之合法裁判,而夺去任何威尔斯贵族之土地,自由或其他物品,应立即归还之。遇有关于此类事件之争执发生时,应交由“边区”贵族处理,凡属英格兰人之产业,按照英格兰法律办理,威尔斯人产业,按照威尔斯法律办理,边区产业则依边区法律办理。威尔斯人对余等及余等之人民应同样行之。

      (57)至关于威尔斯人在余等之父亨利,或余等之兄理查时代未经其同级贵族之合法判

      决而被夺去之物,现在余等手中,或虽不在余等手中而应由余等负责者,余等将按照参加十字军者可展缓债务之一般规定处理。但当余等参谒圣地归来后,或因故中止余等之东征时,余等应即予以公平处理。惟在余等誓师东征前正在进行诉讼,或由余等之敕令正在审理中者,不在此限。

      (58)余等应立即归还刘埃霖之子及威尔斯人一切人质以及作为和平担保之一切信物与契据。

      (59)关于苏格兰王亚历山大,余等将归还其姊妹,质物,自由与合法权利,一如余等对英格兰诸男爵之所为,但属于其父威廉王敕令中所载,而为余等所保有者,不在此限。此一切当依照在英国宫廷中之苏格兰贵族之意见处理。

      (60)余等在上述敕令中所公布之一切习惯与自由,就属于余等之范围而言,应为全国臣民,无论僧俗,一律遵守,就属于诸男爵(一切贵族)之范围而言,应为彼等之附庸共同遵守。

      (61)余等之所以作前述诸让步,在欲归荣于上帝,致国家于富强,但尤在泯除余等与诸男爵间之意见,使彼等永享太平之福,因此,余等愿再以下列保证赐予之。

      诸男爵得任意从国中推选男爵二十五人,此二十五人应尽力遵守,维护,同时亦使其余人等共同遵守余等所颁赐彼等,并以本宪章所赐予之和平与特权。其方法如下:如余等或余等之法官,管家吏或任何其他臣仆,在任何方面干犯任何人之权利,或破坏任何和平条款而为上述二十五男爵中之四人发觉时,此四人可即至余等之前——如余等不在国内时,则至余等之三官前,——指出余等之错误,要求余等立即设法改正。自错误指出之四十日内,如余等,或余等不在国内时,余等之法官不顾改正此项错误,则该四人应将此事取决于其余男爵,而此二十三男爵即可联合全国人民,共同使用其权力,以一切方法向余等施以抑制与压力,诸如夺取余等之城堡、土地与财产等等,务使此项错误终能依照彼等之意见改正而后已。但对余等及余等二王后与子女之人身不得加以侵犯。错误一经改正,彼等即应与余等复为君臣如初。国内任何人如欲按上述方法实行,应宣誓服从前述男爵二十五人之命令,并尽其全力与彼等共同向余等施以压力。余等兹特公开允许任何人皆可作上述宣誓,并允许永不阻止任何人宣誓。国内所有人民,纵其依自己之意志,不愿对该二十五男爵宣誓以共同向余等施用压力者,余等亦应以命令令之宣誓。如上述二十五男爵中有任何人死亡,离国或因故不能执行上述职务时,其余男爵应依己意自其他男爵中推选另外之人代之,其宣誓方法与上述诸人同。此外,上述二十五男爵于受托执行任务时,倘在出席讨论中关于某些事件发生争端,或有某些男爵被召请后,不愿或不能出席时,则出席男爵过半数之决定,或宣布之方案,应被视为合法且具有约束力,一如二十五人全体出席所议决者同。上述二十五男爵应宣誓对前列各项竭诚遵守,并尽力使其余人遵守之,而余等亦不得由自己或通过他人自任何人取得任何物品致使上列诸权利与自由废止或削减。如有此项取得之物,应视同无效与非法,余等自己不得加以利用,亦不得通过别人加以利用。

      (62)自斗争开始以来,余等之僧俗臣民与余等之间所发生之一切敌意,愤怒与仇恨,余等已予宽恕并赦宥之,此外,自本朝第十六年复活节起,至和平重建之日止,一切僧俗人民所犯之一切罪过,余等亦已加以宽恕并赦宥之。关于上述各项让步与诺言,余等兹任命坎特伯里大主教斯提芬勋爵,杜伯林大主教亨利勋爵及前述诸主教与班达尔夫君共同草拟敕令以昭信守。

      (63)余等即以此敕令欣然而坚决昭告全国:英国教会应享自由,英国臣民及其子孙后代,将如前述,自余等及余等之后嗣在任何事件与任何时期中,永远适当而和平,自由而安静,充分而全然享受上述各项自由,权剂与让与,余等与诺男爵惧已宣誓,将以忠信与善意遵守上述各条款。上列诸人及其他多人当可为证。

    人权宣言

    即《人权和公民权宣言》,1789年8月26日法国制宪国民会议颁布颁布,是在法国大革命时期颁布的纲领性文件。宣告了人权、法治、自由、分权、平等和保护私有财产等基本原则。

    序言

    组成国民会议的法兰西人民的代表们,相信对于人权的无知、忽视与轻蔑乃是公共灾祸与政府腐化的唯一原因,乃决定在一个庄严的宣言里,呈现人类自然的、不可让渡的与神圣的权利,以便这个永远呈现于社会所有成员之前的宣言,能不断地向他们提醒他们的权利与义务;以便立法权与行政权的行动,因能随时与所有政治制度的目标两相比较,从而更受尊重;以便公民们今后根据简单而无可争辩的原则所提出的各种要求,总能导向宪法的维护和导向全体的幸福。
    因此,国民会议在上帝面前及其庇护之下,承认并且宣布如下的人权和公民权。

    正文

    第一条 人生来就是而且始终是自由的,在权利方面一律平等。社会差别只能建立在公益基础之上。
    第二条 一切政治结合均旨在维护人类自然的和不受时效约束的权利。这些权利是自由、财产、安全与反抗压迫。
    第三条 整个主权的本原根本上乃存在于国民(La Nation)。任何团体或任何个人皆不得行使国民所未明白授予的权力。
    第四条 自由是指能从事一切无害于他人的行为;因此,每一个人行使其自然权利,只以保证社会上其他成员能享有相同的权利为限制。此等限制只能以法律决定之。
    第五条 法律仅有权禁止有害于社会的行为。凡未经法律禁止的行为即不得受到妨碍,而且任何人都不得被强制去从事法律所未要求的行为。
    第六条 法律是公意(la volonté générale)的表达。每一个公民皆有权亲自或由其代表去参与法律的制订。法律对于所有的人,无论是施行保护或是惩罚都是一样的。在法律的眼里一律平等的所有公民皆能按照他们的能力平等地担任一切公共官职、职位与职务,除他们的德行和才能以外不受任何其他差别。
    第七条 除非在法律所确定情况下并按照法律所规定的程序,任何人均不受控告、逮捕与拘留。凡请求发布、传送、执行或使人执行任何专断的命令者,皆应受到惩罚;但任何根据法律而被传唤或逮捕的公民则应当立即服从,抗拒即属犯罪。
    第八条 法律只应设立确实必要和明显必要的刑罚,而且除非根据在犯法前已经通过并且公布的法律而合法地受到惩处,否则任何人均不应遭受刑罚。
    第九条 所有人直到被宣告有罪之前,均应被推定为无罪,而即使判定逮捕系属必要者,一切为羁押人犯身体而不必要的严酷手段,都应当受到法律的严厉制裁。
    第十条 任何人不应为其意见甚至其宗教观点而遭到干涉,只要它们的表达没有扰乱法律所建立的公共秩序。
    第十一条 自由交流思想与意见乃是人类最为宝贵的权利之一。因此,每一个公民都可以自由地言论、著作与出版,但应在法律规定的情况下对此项自由的滥用承担责任。
    第十二条 人权和公民权的保障需要公共的武装力量。这一力量因此是为了全体的福祉而不是为了此种力量的受任人的个人利益而设立的。
    第十三条 为了公共武装力量的维持和行政的开支,公共赋税是不可或缺的。赋税应在全体公民之间按其能力平等地分摊。
    第十四条 所有公民都有权亲身或由其代表决定公共赋税的必要性,自由地加以批准,知悉其用途,并决定税率、税基、征收方式和期限。
    第十五条 社会有权要求一切公务人员报告其行政工作。
    第十六条 一切社会,凡权利无保障或分权未确立,均无丝毫宪法之可言。
    第十七条 财产是不可侵犯与神圣的权利,除非合法认定的公共需要对它明白地提出要求,同时基于公正和预先补偿的条件,任何人的财产皆不可受到剥夺。

    Declaration of the Rights of Man and of Citizens by The National Assembly of France

    英文版(潘恩(Thomas Paine)《人权论》)

    The representatives of the people of FRANCE, formed into a NATIONAL ASSEMBLY, considering that ignorance, neglect, or contempt of human rights, are the sole causes of public misfortunes and corruptions of Government, have resolved to set forth in a solemn declaration, these natural, imprescriptible, and inalienable rights: that this declaration being constantly present to the minds of the members of the body social, they may be forever kept attentive to their rights and their duties; that the acts of the legislative and executive powers of Government, being capable of being every moment compared with the end of political institutions, may be more respected; and also, that the future claims of the citizens, being directed by simple and incontestable principles, may always tend to the maintenance of the Constitution, and the general happiness.
    For these reasons the NATIONAL ASSEMBLY doth recognize and declare, in the presence of the Supreme Being, and with the hope of his blessing and favor, the following sacred rights of men and of citizens:

    One: Men are born, and always continue, free and equal in respect of their rights. Civil distinctions, therefore, can be founded only on public utility.
    Two: The aim of all political associations is the preservation of the natural and imprescriptible rights of man; and these rights are liberty, property, security, and resistance of oppression.

    Three: The nation is essentially the source of all sovereignty; nor can any individual, or any body of men, be entitled to any authority which is not expressly derived from it.
    Four: Political liberty consists in the power of doing whatever does not injure another. The exercise of the natural rights of every man, has no other limits than those which are necessary to secure to every other man the free exercise of the same rights; and these limits are determinable only by the law.
    Five: The law ought to prohibit only actions hurtful to society. What is not prohibited by the law should not be hindered; nor should anyone be compelled to that which the law does not require.

    Six: The law is an expression of the will of the community. All citizens have a right to concur, either personally or by their representatives, in its formation. It should be the same to all, whether it protects or punishes; and all being equal in its sight, are equally eligible to all honors, places, and employments, according to their different abilities, without any other distinction than that created by their virtues and talents.

    Seven: No man should be accused, arrested, or held in confinement, except in cases determined by the law, and according to the forms which it has prescribed. All who promote, solicit, execute, or cause to be executed, arbitrary orders, ought to be punished, and every citizen called upon, or apprehended by virtue of the law, ought immediately to obey, and renders himself culpable by resistance.
    Eight: The law ought to impose no other penalties but such as are absolutely and evidently necessary; and no one ought to be punished, but in virtue of a law promulgated before the offence, and legally applied.
    Nine: Every man being presumed innocent till he has been convicted, whenever his detention becomes indispensable, all rigor to him, more than is necessary to secure his person, ought to be provided against by the law.

    Ten: No man ought to be molested on account of his opinions, not even on account of his religious opinions, provided his avowal of them does not disturb the public order established by the law.

    Eleven: The unrestrained communication of thoughts and opinions being one of the most precious rights of man, every citizen may speak, write, and publish freely, provided he is responsible for the abuse of this liberty, in cases determined by the law.

    Twelve: A public force being necessary to give security to the rights of men and of citizens, that force is instituted for the benefit of the community and not for the particular benefit of the persons to whom it is intrusted.
    Thirteen: A common contribution being necessary for the support of the public force, and for defraying the other expenses of government, it ought to be divided equally among the members of the community, according to their abilities.

    Fourteen: Every citizen has a right, either by himself or his representative, to a free voice in determining the necessity of public contributions, the appropriation of them, and their amount, mode of assessment, and duration.
    Fifteen: Every community has a right to demand of all its agents an account of their conduct.
    Sixteen: Every community in which a separation of powers and a security of rights is not provided for, wants a constitution.
    Seventeen: The right to property being inviolable and sacred, no one ought to be deprived of it, except in cases of evident public necessity, legally ascertained, and on condition of a previous just indemnity.

    THE DECLARATION OF INDEPENDENCE
    独立宣言

    In Congress, July 4, 1776,大陆会议(一七七六年七月四日)

    THE UNANIMOUS DECLARATION OF THE THIRTEEN UNITED STATES OF AMERICA
    美利坚合众国十三个州一致通过的宣言

    When in the Course of human events, it becomes necessary for one people to dissolve the political bonds which have connected them with another, and to assume among the Powers of the earth, the separate and equal station to which the Laws of Nature and of Nature’s God entitle them, a decent respect to the opinions of mankind requires that they should declare the causes which impel them to the separation.
    在有关人类事务的发展过程中,当一个民族必须解除其和另一个与之有关的民族之间的政治联系,并在世界各国之间,接受自然法则和自然界的造物主的旨意赋予的独立和平等的地位时,出于对人类舆论的尊重,必须把他们不得不独立的原因予以宣布。
    We hold these truths to be self-evident, that all men are created equal, that they are endowed by their Creator with certain unalienable Rights, that among these are Life, Liberty, and the pursuit of Happiness.
    我们认为这些真理是不言而喻的:人人生而平等,造物者赋予他们若干不可剥夺的权利,其中包括生命权、自由权和追求幸福的权利。
    That to secure these rights, Governments are instituted among Men, deriving their just powers from the consent of the governed.
    为了保障这些权利,人类才在他们之间建立政府,而政府之正当权力,是经被治理者的同意而产生的。
    That whenever any form of Government becomes destructive of these ends, it is the Right of the People to alter or to abolish it, and to institute new Government, laying its foundation on such principles and organizing its powers in such form, as to them shall seem most likely to effect their Safety and Happiness. Prudence, indeed, will dictate that Governments long established should not be changed for light and transient causes; and accordingly all experience has shown, that mankind are more disposed to suffer, while evils are sufferable, than to right themselves by abolishing the forms to which they are accustomed. But when a long train of abuses and usurpations, pursuing invariably the same Object, evinces a design to reduce them under absolute Despotism, it is their right, it is their duty, to throw off such Government, and to provide new Guards for their future security.

    当任何形式的政府对这些目标具破坏作用时,人民便有权力改变或废除它,以建立一个新的政府;其赖以奠基的原则,其组织权力的方式,务使人民认为唯有这样才最可能获得他们的安全和幸福。为了慎重起见,成立多年的政府,是不应当由于轻微和短暂的原因而予以变更的。过去的一切经验也都说明,任何苦难,只要是尚能忍受,人类都宁愿容忍,而无意为了本身的权益便废除他们久已习惯了的政府。但是,当追逐同一目标的一连串滥用职权和强取豪夺发生,证明政府企图把人民置于专制统治之下时,那么人民就有权利,也有义务推翻这个政府,并为他们未来的安全建立新的保障。

    Such has been the patient sufferance of these Colonies; and such is now the necessity which constrains them to alter their former Systems of Government. The history of the present King of Great Britain is a history of repeated injuries and usurpations, all having in direct object the establishment of an absolute Tyranny over these States. To prove this, let Facts be submitted to a candid world.

    这就是这些殖民地过去逆来顺受的情况,也是它们不得不改变政府制度的原因。大不列颠国在位国王的历史,是接连不断的伤天害理和强取豪夺的历史,这些暴行的唯一目标,就是想在这些州建立专制的暴政。为了证明所言属实,现把下列事实向公正的世界宣布。

    He has refused his Assent to Laws, the most wholesome and necessary for the public good.

    他拒绝批准对公众利益最有益、最必要的法律。

    He has forbidden his Governors to pass Laws of immediate and pressing importance, unless suspended in their operation till his Assent should be obtained; and when so suspended, he has utterly neglected to attend to them.

    他禁止他的总督们批准迫切而极为必要的法律,要不就把这些法律搁置起来暂不生效,等待他的同意;而一旦这些法律被搁置起来,他对它们就完全置之不理。

    He has refused to pass other Laws for the accommodation of large districts of people, unless those people would relinquish the right of Representation in the Legislature, a right inestimable to them and formidable to tyrants only.

    他拒绝批准便利广大地区人民的其它法律,除非那些人民情愿放弃自己在立法机关中的代表权;但这种权利对他们有无法估量的价值,而且只有暴君才畏惧这种权利。

    He has called together legislative bodies at places unusual, uncomfortable, and distant from the depository of their public Records, for the sole purpose of fatiguing them into compliance with his measures.

    他把各州立法团体召集到异乎寻常的、极为不便的、远离他们档案库的地方去开会,唯一的目的是使他们疲于奔命,不得不顺从他的意旨。

    He has dissolved Representative Houses repeatedly, for opposing with manly firmness his invasions on the rights of the people.

    他一再解散各州的议会,因为它们以无畏的坚毅态度反对他侵犯人民的权利。

    He has refused for a long time, after such dissolutions, to cause others to be elected; whereby the Legislative powers, incapable of Annihilation, have returned to the People at large for their exercise; the State remaining in the mean time exposed to all the dangers of invasion from without, and convulsions within.

    他在解散各州议会之后,又长期拒绝另选新议会;但立法权是无法取消的,因此这项权力仍由一般人民来行使。其实各州仍然处于危险的境地,既有外来侵略之患,又有发生内乱之忧。

    He has endeavoured to prevent the population of these States; for that purpose obstructing the Laws of Naturalization of Foreigners; refusing to pass others to encourage their migrations hither, and raising the conditions of new Appropriations of Lands .

    他竭力抑制我们各州增加人口;为此目的,他阻挠外国人入籍法的通过,拒绝批准其它鼓励外国人移居各州的法律,并提高分配新土地的条件。

    He has obstructed the Administration of Justice, by refusing his Assent to Laws for establishing Judiciary powers.
    他拒绝批准建立司法权力的法律,藉以阻挠司法工作的推行。

    He has made Judges dependent on his Will alone, for the tenure of their offices, and the amount and payment of their salaries.
    他把法官的任期、薪金数额和支付,完全置于他个人意志的支配之下。

    He has erected a multitude of New Offices, and sent hither swarms of Officers to harass our People, and eat out their substance.
    他建立新官署,派遣大批官员,骚扰我们人民,并耗尽人民必要的生活物质。

    He has kept among us, in times of peace, Standing Armies without the Consent of our legislatures.

    他在和平时期,未经我们的立法机关同意,就在我们中间维持常备军。

    He has affected to render the Military independent of and superior to the Civil power.
    他力图使军队独立于民政之外,并凌驾于民政之上。
    He has combined with others to subject us to a jurisdiction foreign to our constitution, and unacknowledged by our laws; giving his Assent to their Acts of pretended Legislation:
    他同某些人勾结起来把我们置于一种不适合我们的体制且不为我们的法律所承认的管辖之下;他还批准那些人炮制的各种伪法案来达到以下目的:
    For quartering large bodies of armed troops among us:
    在我们中间驻扎大批武装部队;
    For protecting them, by a mock Trial, from Punishment for any Murders which they should commit on the Inhabitants of these States:
    用假审讯来包庇他们,使他们杀害我们各州居民而仍然逍遥法外;
    For cutting off our Trade with all parts of the world:
    切断我们同世界各地的贸易;
    For imposing Taxes on us without our Consent:
    未经我们同意便向我们强行征税;
    For depriving us in many cases, of the benefits of Trial by Jury:
    在许多案件中剥夺我们享有陪审制的权益;
    For transporting us beyond Seas to be tried for pretended offences:
    罗织罪名押送我们到海外去受审;
    For abolishing the free System of English Laws in a neighboring Province, establishing therein an Arbitrary government, and enlarging its Boundaries so as to render it at once an example and fit instrument for introducing the same absolute rule into these Colonies:
    在一个邻省废除英国的自由法制,在那里建立专制政府,并扩大该省的疆界,企图把该省变成既是一个样板又是一个得心应手的工具,以便进而向这里的各殖民地推行同样的极权统治;
    For taking away our Charters, abolishing our most valuable Laws, and altering fundamentally the forms of our Governments:
    取消我们的宪章,废除我们最宝贵的法律,并且根本上改变我们各州政府的形式;
    For suspending our own Legislatures, and declaring themselves invested with power to legislate for us in all cases whatsoever.

    中止我们自己的立法机关行使权力,宣称他们自己有权就一切事宜为我们制定法律。
    He has abdicated Government here, by declaring us out of his Protection and waging War against us.

    他宣布我们已不属他保护之列,并对我们作战,从而放弃了在这里的政务。

    He has plundered our seas, ravaged our Coasts, burnt our towns, and destroyed the Lives of our people.

    他在我们的海域大肆掠夺,蹂躏我们沿海地区,焚烧我们的城镇,残害我们人民的生命。

    He is at this time transporting large armies of foreign mercenaries to compleat the works of death, desolation and tyranny, already begun with circumstances of Cruelty & perfidy scarcely paralleled in the most barbarous ages, and totally unworthy the Head of a civilized nation.

    他此时正在运送大批外国佣兵来完成屠杀、破坏和肆虐的老勾当,这种勾当早就开始,其残酷卑劣甚至在最野蛮的时代都难以找到先例。他完全不配作为一个文明国家的元首。
    He has constrained our fellow Citizens taken Captive on the high Seas to bear Arms against their Country, to become the executioners of their friends and Brethren, or to fall themselves by their Hands.
    他在公海上俘虏我们的同胞,强迫他们拿起武器来反对自己的国家,成为残杀自己亲人和朋友的刽子手,或是死于自己的亲人和朋友的手下。
    He has excited domestic insurrections amongst us, and has endeavored to bring on the inhabitants of our frontiers, the merciless Indian Savages, whose known rule of warfare, is an undistinguished destruction of all ages, sexes and conditions.
    他在我们中间煽动内乱,并且竭力挑唆那些残酷无情、没有开化的印第安人来杀掠我们边疆的居民;而众所周知,印第安人的作战律令是不分男女老幼,一律格杀勿论的。
    In every stage of these Oppressions We have Petitioned for Redress in the most humble terms: Our repeated Petitions have been answered only by repeated injury. A Prince, whose character is thus marked by every act which may define a Tyrant, is unfit to be the ruler of a free people.
    在这些压迫的每一阶段中,我们都是用最谦卑的言辞请愿改善;但屡次请求所得到的答复是屡次遭受损害。一个君主,当他的品格已打上了暴君行为的烙印时,是不配做自由人民的统治者的。
    Nor have We been wanting in attention to our British brethren. We have warned them from time to time of attempts by their legislature to extend an unwarrantable jurisdiction over us. We have reminded them of the circumstances of our emigration and settlement here. We have appealed to their native justice and magnanimity, and we have conjured them by the ties of our common kindred to disavow these usurpation, which would inevitably interrupt our connections and correspondence. They too have been deaf to the voice of justice and of consanguinity. We must, therefore, acquiesce in the necessity, which denounces our Separation, and hold them, as we hold the rest of mankind, Enemies in War, in Peace Friends.
    我们不是没有注意我们英国的弟兄。我们时常提醒他们,他们的立法机关企图把无理的管辖权横加到我们的头上。我们也曾把我们移民出这里和在这里定居的情形告诉他们。我们曾经向他们天生的正义感和雅量呼吁,我们恳求他们念在同种同宗的份上,弃绝这些掠夺行为,以免影响彼此的关系和往来。但是他们却对于这种正义和血缘的呼声一直充耳不闻。因此,我们实在不得不宣布和他们脱离,并且以对待世界上其它民族一样的态度对待他们:战即为敌;和则为友。
    We, therefore, the Representatives of the United States of America, in General Congress, Assembled, appealing to the Supreme Judge of the world for the rectitude of our intentions, do, in the Name, and by Authority of the good People of these Colonies, solemnly publish and declare, That these United Colonies are, and of Right ought to be Free and Independent States; that they are Absolved from all Allegiance to the British Crown, and that all political connection between them and the State of Great Britain, is and ought to be totally dissolved; and that as Free and Independent States, they have full Power to levy War, conclude Peace, contract Alliances, establish Commerce, and to do all other Acts and Things which Independent States may of right do. And for the support of this Declaration, with a firm reliance on the Protection of Divine Providence, we mutually pledge to each other our Lives, our Fortunes and our sacred Honor.
    因此,我们,在大陆会议上集会的美利坚合众国代表,以各殖民地善良人民的名义并经他们授权,向全世界最崇高的正义呼吁,说明我们的严正意向,同时郑重宣布;这些联合的殖民地是而且有权成为自由和独立的国家,它们取消一切对英国王室效忠的义务,它们和大不列颠国家之间的一切政治关系从此全部断绝,而且必须断绝;作为自由独立的国家,它们完全有权宣战、缔和、结盟、通商和独立国家有权去做的一切行动。为了支持这篇宣言,我们坚决信赖上帝的庇佑,以我们的生命、我们的财产和我们神圣的名誉,彼此宣誓。

    世界人权宣言(1948——2018 )

    序 言

    鉴于对人类家庭所有成员的固有尊严及其平等的和不移的权利的承认,乃是世界自由、正义与和平的基础,鉴于对人权的无视和侮蔑已发展为野蛮暴行,这些暴行玷污了人类的良心,而一个人人享有言论和信仰自由并免予恐惧和匮乏的世界的来临,已被宣布为普通人民的最高愿望,

    鉴于为使人类不致迫不得已铤而走险对暴政和压迫进行反叛,有必要使人权受法治的保护,鉴于有必要促进各国间友好关系的发展,鉴于各联合国国家的人民已在联合国宪章中重申他们对基本人权、人格尊严和价值以及男女平等权利的信念,并决心促成较大自由中的社会进步和生活水平的改善,鉴于各会员国业已誓愿同联合国合作以促进对人权和基本自由的普遍尊重和遵行,鉴于对这些权利和自由的普遍了解对于这个誓愿的充分实现具有很大的重要性,因此,大会发布这一世界人权宣言,作为所有人民和所有国家努力实现的共同标准,以期每一个人和社会机构经常铭念本宣言,努力通过教诲和教育促进对权利和自由的尊重,并通过国家的和国际的渐进措施,使这些权利和自由在各会员国本身人民及在其管辖下领土的人民中得到普遍和有效的承认和遵行。

    主要条款

    第一条 人人生而自由,在尊严和权利上一律平等。他们赋有理性和良心,并应以兄弟关系的精神相对待。
    第二条 人人有资格享有本宣言所载的一切权利和自由,不分种族、肤色、性别、语言、宗教、政治或其他见解、国籍或社会出身、财产、出生或其他身分等任何区别。
    并且不得因一人所属的国家或领土的政治的、行政的或者国际的地位之不同而有所区别,无论该领土是独立领土、托管领土、非自治领土或者处于其他任何主权受限制的情况之下。
    第三条 人人有权享有生命、自由和人身安全。
    第四条 任何人不得使为奴隶或奴役;一切形式的奴隶制度和奴隶买卖,均应予以禁止。
    第五条 任何人不得加以酷刑,或施以残忍的、不人道的或侮辱性的待遇或刑罚。
    第六条 人人在任何地方有权被承认在法律前的人格。
    第七条 法律之前人人平等,并有权享受法律的平等保护,不受任何歧视。人人有权享受平等保护,以免受违反本宣言的任何歧视行为以及煽动这种歧视的任何行为之害。

    第八条 任何人当宪法或法律所赋予他的基本权利遭受侵害时,有权由合格的国家法庭对这种侵害行为作有效的补救。

    第九条 任何人不得加以任意逮捕、拘禁或放逐。

    第十条 人人完全平等地有权由一个独立而无偏倚的法庭进行公正的和公开的审讯,以确定他的权利和义务并判定对他提出的任何刑事指控。
    第十一条 一 、凡受刑事控告者,在未经获得辩护上所需的一切保证的公开审判而依法证实有罪以前,有权被视为无罪。二 、任何人的任何行为或不行为,在其发生时依国家法或国际法均不构成刑事罪者,不得被判为犯有刑事罪。刑罚不得重于犯罪时适用的法律规定。

    第十二条 任何人的私生活、家庭、住宅和通信不得任意干涉,他的荣誉和名誉不得加以攻击。人人有权享受法律保护,以免受这种干涉或攻击。

    第十三条 一、 人人在各国境内有权自由迁徙和居住。二、 人人有权离开任何国家,包括其本国在内,并有权返回他的国家。

    第十四条 一 、人人有权在其他国家寻求和享受庇护以避免迫害。二、在真正由于非政治性的罪行或违背联合国的宗旨和原则的行为而被起诉的情况下,不得援用此种权利。

    第十五条 一、人人有权享有国籍。二、 任何人的国籍不得任意剥夺,亦不得否认其改变国籍的权利。
    第十六条 一、 成年男女,不受种族、国籍或宗教的任何限制有权婚嫁和成立家庭。他们在婚姻方面,在结婚期间和在解除婚约时,应有平等的权利。二、 只有经男女双方的自由和完全的同意,才能缔婚。三、 家庭是天然的和基本的社会单元,并应受社会和国家的保护。

    第十七条 一 、人人得有单独的财产所有权以及同他人合有的所有权。二 、任何人的财产不得任意剥夺。

    第十八条 人人有思想、良心和宗教自由的权利;此项权利包括改变他的宗教或信仰的自由,以及单独或集体、公开或秘密地以教义、实践、礼拜和戒律表示他的宗教或信仰的自由。

    第十九条 人人有权享有主张和发表意见的自由;此项权利包括持有主张而不受干涉的自由,和通过任何媒介和不论国界寻求、接受和传递消息和思想的自由。

    第二十条 一 、人人有权享有和平集会和结社的自由。二、 任何人不得迫使隶属于某一团体。

    第二十一条 一、 人人有直接或通过自由选择的代表参与治理本国的权利。二、 人人有平等机会参加本国公务的权利。三 、人民的意志是政府权力的基础;这一意志应以定期的和真正的选举予以表现,而选举应依据普遍和平等的投票权,并以不记名投票或相当的自由投票程序进行。
    第二十二条 每个人,作为社会的一员,有权享受社会保障,并有权享受他的个人尊严和人格的自由发展所必需的经济、社会和文化方面各种权利的实现,这种实现是通过国家努力和国际合作并依照各国的组织和资源情况。
    第二十三条 一、 人人有权工作、自由选择职业、享受公正和合适的工作条件并享受免于失业的保障。二、 人人有同工同酬的权利,不受任何歧视。三、 每一个工作的人,有权享受公正和合适的报酬,保证使他本人和家属有一个符合人的生活条件,必要时并辅以其他方式的社会保障。四、 人人有为维护其利益而组织和参加工会的权利。
    第二十四条 人人有享有休息和闲暇的权利,包括工作时间有合理限制和定期给薪休假的权利。
    第二十五条 一、 人人有权享受为维持他本人和家属的健康和福利所需的生活水准,包括食物、衣着、住房、医疗和必要的社会服务;在遭到失业、疾病、残废、守寡、衰老或在其他不能控制的情况下丧失谋生能力时,有权享受保障。二、 母亲和儿童有权享受特别照顾和协助。一切儿童,无论婚生或非婚生,都应享受同样的社会保护。
    第二十六条 一、 人人都有受教育的权利,教育应当免费,至少在初级和基本阶段应如此。初级教育应属义务性质。技术和职业教育应普遍设立。高等教育应根据成绩而对一切人平等开放。二 、教育的目的在于充分发展人的个性并加强对人权和基本自由的尊重。教育应促进各国、各种族或各宗教集团间的了解、容忍和友谊,并应促进联合国维护和平的各项活动。三、 父母对其子女所应受的教育的种类,有优先选择的权利。
    第二十七条 一 、人人有权自由参加社会的文化生活,享受艺术,并分享科学进步及其产生的福利。二 、人人对由于他所创作的任何科学、文学或美术作品而产生的精神的和物质的利益,有享受保护的权利。
    第二十八条 人人有权要求一种社会的和国际的秩序,在这种秩序中,本宣言所载的权利和自由能获得充分实现。
    第二十九条 一 、人人对社会负有义务,因为只有在社会中他的个性才可能得到自由和充分的发展。二 、人人在行使他的权利和自由时,只受法律所确定的限制,确定此种限制的唯一目的在于保证对旁人的权利和自由给予应有的承认和尊重,并在一个民主的社会中适应道德、公共秩序和普遍福利的正当需要。三 这些权利和自由的行使,无论在任何情形下均不得违背联合国的宗旨和原则。
    第三十条 本宣言的任何条文,不得解释为默许任何国家、集团或个人有权进行任何旨在破坏本宣言所载的任何权利和自由的活动或行为。

    The Universal Declaration of Human Rights Preamble

    Whereas recognition of the inherent dignity and of the equal and inalienable rights of all members of the human family is the foundation of freedom, justice and peace in the world,

    Whereas disregard and contempt for human rights have resulted in barbarous acts which have outraged the conscience of mankind, and the advent of a world in which human beings shall enjoy freedom of speech and belief and freedom from fear and want has been proclaimed as the highest aspiration of the common people,

    Whereas it is essential, if man is not to be compelled to have recourse, as a last resort, to rebellion against tyranny and oppression, that human rights should be protected by the rule of law,

    Whereas it is essential to promote the development of friendly relations between nations,

    Whereas the peoples of the United Nations have in the Charter reaffirmed their faith in fundamental human rights, in the dignity and worth of the human person and in the equal rights of men and women and have determined to promote social progress and better standards of life in larger freedom,

    Whereas Member States have pledged themselves to achieve, in co-operation with the United Nations, the promotion of universal respect for and observance of human rights and fundamental freedoms,

    Whereas a common understanding of these rights and freedoms is of the greatest importance for the full realization of this pledge,

    Now, Therefore THE GENERAL ASSEMBLY proclaims THIS UNIVERSAL DECLARATION OF HUMAN RIGHTS as a common standard of achievement for all peoples and all nations, to the end that every individual and every organ of society, keeping this Declaration constantly in mind, shall strive by teaching and education to promote respect for these rights and freedoms and by progressive measures, national and international, to secure their universal and effective recognition and observance, both among the peoples of Member States themselves and among the peoples of territories under their jurisdiction.

    Article 1.All human beings are born free and equal in dignity and rights. They are endowed with reason and conscience and should act towards one another in a spirit of brotherhood.
    Article 2.Everyone is entitled to all the rights and freedoms set forth in this Declaration, without distinction of any kind, such as race, colour, sex, language, religion, political or other opinion, national or social origin, property, birth or other status. Furthermore, no distinction shall be made on the basis of the political, jurisdictional or international status of the country or territory to which a person belongs, whether it be independent, trust, non-self-governing or under any other limitation of sovereignty.
    Article 3.Everyone has the right to life, liberty and security of person.
    Article 4.No one shall be held in slavery or servitude; slavery and the slave trade shall be prohibited in all their forms.
    Article 5. No one shall be subjected to torture or to cruel, inhuman or degrading treatment or punishment.
    Article 6. Everyone has the right to recognition everywhere as a person before the law.
    Article 7. All are equal before the law and are entitled without any discrimination to equal protection of the law. All are entitled to equal protection against any discrimination in violation of this Declaration and against any incitement to such discrimination.
    Article 8. Everyone has the right to an effective remedy by the competent national tribunals for acts violating the fundamental rights granted him by the constitution or by law.
    Article 9. No one shall be subjected to arbitrary arrest, detention or exile.
    Article 10. Everyone is entitled in full equality to a fair and public hearing by an independent and impartial tribunal, in the determination of his rights and obligations and of any criminal charge against him.
    Article 11. (1) Everyone charged with a penal offence has the right to be presumed innocent until proved guilty according to law in a public trial at which he has had all the guarantees necessary for his defence. (2) No one shall be held guilty of any penal offence on account of any act or omission which did not constitute a penal offence, under national or international law, at the time when it was committed. Nor shall a heavier penalty be imposed than the one that was applicable at the time the penal offence was committed.
    Article 12.No one shall be subjected to arbitrary interference with his privacy, family, home or correspondence, nor to attacks upon his honour and reputation. Everyone has the right to the protection of the law against such interference or attacks.
    rticle 13. (1) Everyone has the right to freedom of movement and residence within the borders of each state. (2) Everyone has the right to leave any country, including his own, and to return to his country.
    Article 14.(1) Everyone has the right to seek and to enjoy in other countries asylum from persecution. (2) This right may not be invoked in the case of prosecutions genuinely arising from non-political crimes or from acts contrary to the purposes and principles of the United Nations.
    Article 15.(1) Everyone has the right to a nationality. (2) No one shall be arbitrarily deprived of his nationality nor denied the right to change his nationality.
    Article 16.(1) Men and women of full age, without any limitation due to race, nationality or religion, have the right to marry and to found a family. They are entitled to equal rights as to marriage, during marriage and at its dissolution. (2) Marriage shall be entered into only with the free and full consent of the intending spouses.(3) The family is the natural and fundamental group unit of society and is entitled to protection by society and the State.
    Article 17.(1) Everyone has the right to own property alone as well as in association with others.(2) No one shall be arbitrarily deprived of his property.
    Article 18.Everyone has the right to freedom of thought, conscience and religion; this right includes freedom to change his religion or belief, and freedom, either alone or in community with others and in public or private, to manifest his religion or belief in teaching, practice, worship and observance.
    Article 19.Everyone has the right to freedom of opinion and expression; this right includes freedom to hold opinions without interference and to seek, receive and impart information and ideas through any media and regardless of frontiers.
    Article 20.(1) Everyone has the right to freedom of peaceful assembly and association. (2) No one may be compelled to belong to an association.
    Article 21.(1) Everyone has the right to take part in the government of his country, directly or through freely chosen representatives.(2) Everyone has the right of equal access to public service in his country.(3) The will of the people shall be the basis of the authority of government; this will shall be expressed in periodic and genuine elections which shall be by universal and equal suffrage and shall be held by secret vote or by equivalent free voting procedures.
    Article 22.Everyone, as a member of society, has the right to social security and is entitled to realization, through national effort and international co-operation and in accordance with the organization and resources of each State, of the economic, social and cultural rights indispensable for his dignity and the free development of his personality.
    Article 23. (1) Everyone has the right to work, to free choice of employment, to just and favorable conditions of work and to protection against unemployment.(2) Everyone, without any discrimination, has the right to equal pay for equal work.(3) Everyone who works has the right to just and favorable remuneration ensuring for himself and his family an existence worthy of human dignity, and supplemented, if necessary, by other means of social protection.(4) Everyone has the right to form and to join trade unions for the protection of his interests.
    Article 24.Everyone has the right to rest and leisure, including reasonable limitation of working hours and periodic holidays with pay.
    Article 25.(1) Everyone has the right to a standard of living adequate for the health and well-being of himself and of his family, including food, clothing, housing and medical care and necessary social services, and the right to security in the event of unemployment, sickness, disability, widowhood, old age or other lack of livelihood in circumstances beyond his control. (2) Motherhood and childhood are entitled to special care and assistance. All children, whether born in or out of wedlock, shall enjoy the same social protection.
    Article 26.(1) Everyone has the right to education. Education shall be free, at least in the elementary and fundamental stages. Elementary education shall be compulsory. Technical and professional education shall be made generally available and higher education shall be equally accessible to all on the basis of merit.(2) Education shall be directed to the full development of the human personality and to the strengthening of respect for human rights and fundamental freedoms. It shall promote understanding, tolerance and friendship among all nations, racial or religious groups, and shall further the activities of the United Nations for the maintenance of peace.(3) Parents have a prior right to choose the kind of education that shall be given to their children.
    Article 27.(1) Everyone has the right freely to participate in the cultural life of the community, to enjoy the arts and to share in scientific advancement and its benefits.(2) Everyone has the right to the protection of the moral and material interests resulting from any scientific, literary or artistic production of which he is the author.
    Article 28.Everyone is entitled to a social and international order in which the rights and freedoms set forth in this Declaration can be fully realized.
    Article 29.(1) Everyone has duties to the community in which alone the free and full development of his personality is possible.(2) In the exercise of his rights and freedoms, everyone shall be subject only to such limitations as are determined by law solely for the purpose of securing due recognition and respect for the rights and freedoms of others and of meeting the just requirements of morality, public order and the general welfare in a democratic society.(3) These rights and freedoms may in no case be exercised contrary to the purposes and principles of the United Nations.
    Article 30.Nothing in this Declaration may be interpreted as implying for any State, group or person any right to engage in any activity or to perform any act aimed at the destruction of any of the rights and freedoms set forth herein.

  • 沈志华:斯大林与中国内战的起源(1945-1946)

    本文刊载于《社会科学战线》2008年第10期,第115-131页

      战后苏联对外政策与中国内战的关系,是冷战国际史研究的一个重要课题。中国学者起步较早,1992年出版的牛军和杨奎松的两部重要专著,都较多涉及到这个问题,其史料特点是使用了大量当时难得一见的中共中央文电。接着,挪威学者文安立出版了英文专著,更集中地讨论了美苏冷战与中国内战起源的关系。此后,各国学者又有一些新的研究成果问世。本文参与对这个问题的讨论,主要是基于以下两点考虑:

      其一,出现了新的档案文献。2000年俄国科学院远东研究所编辑出版了《二十世纪俄中关系:文献与资料》的第4卷第2册,收集的是1945年的档案;2005年又出版了第5卷的两册,收集的是1946年至1950年初的档案。这三本档案集公布的1945-1950年中苏关系档案资料共815件,此外还有作为附录的几十个文件。就中国档案而言,最有价值的是中央文献出版社2003年出版的《彭真年谱》,其中使用了大量以前未曾披露的中共中央与东北局、重庆代表团之间的往来文电。这些有关中国内战时期的档案文献十分重要,对于这段中国历史,特别是苏联与中国内战之间的关系的研究,应该说是不可或缺的。无论最后的结论如何,研究者都有必要依据这些新的档案文献,对过去讨论的问题进行重新审视。

      其二,需要观察问题的新视角。以往的研究多是把中国历史作为主线,重点在于论述中共对革命和内战的考虑及其战略、策略的变化,这方面的研究已经比较成熟。但问题还有另一个方面,即作为国际背景的苏联对外政策及冷战格局的变化。中国的革命和内战不是孤立的。战后初期,中共的战略和策略受制于苏联的外交方针和美苏关系的现状;内战后期,中国革命的发展和国内局势的变化则反过来引起了苏联对华政策的转变,进而影响到整个冷战格局的改变。这些现象说明,苏联的战后对外政策及冷战战略和策略与中国的革命和内战之间存在着紧密的联系。研究者需要考虑:在冷战缘起的过程中,苏联对外战略的构想发生了什么变化,这些变化如何影响了其对中国内战的方针;把中国内战的起源和结果作为一个案例,如何解读苏联对冷战的战略构想及其变化。

      本文主要考察战后初期苏联对外政策与中国内战起源之间的复杂关系。-

      

      一、斯大林在中国推行“联合政府”政策

      

      中国是一个与苏联接壤却无法纳入其势力范围的大国。在战争期间(特别是1941年以后),盟国对中国的支持和援助主要来自美国,也是罗斯福在开罗给蒋介石戴上了一顶“四强首脑”之一的桂冠, 因此,战后中美关系的发展前景是可以想见的。但是,中国又是苏联最大的邻国,两国边境线长达数千公里,因而构成对苏联东部安全的潜在威胁。为了建立东方安全带,斯大林以参加对日战争为诱饵,说服美国与其共同迫使中国签署了一个中苏友好同盟条约,从而达到了把外蒙古从中国分离出去以及在中国东北地区享有独占权益的战略目标。为实现这个战略构想,战后初期苏联对华方针的重要内容,同其他共产党活跃的欧洲国家一样,也是推行“联合政府”政策。

      1945年6月,第11-12期《布尔什维克》杂志发表的一篇评论员文章称:战后中国必须有一个“由战时所有民主党派、团体和组织所加强的国家民主阵线;只有这样,……中国才能成为一支强大的、独立的和民主的力量”。这个公开发表的言论实际上反映了斯大林多次与美国人谈话时表达的立场,也就是他在战后提倡的“联合政府”政策。在4-5月间两次与美国驻华大使赫尔利的谈话中,斯大林称蒋介石是“无私的”,是“爱国者”,但应在政治上对中共让步,以求得军令的统一。斯大林还表示,不能认为中国共产党人是真正的共产党人,苏联从来没有,今后也不会帮助中国共产党人。同美国一样,莫斯科也希望看到一个在蒋介石统治下的民主和统一的中国。

      显然,斯大林认为在中国出现的应该是以资产阶级政党为核心的联合政府。但中国共产党的主张与此不同。毛泽东在《论联合政府》中提出的中共的一般纲领是建立“新民主主义的国家制度”,即共产党领导的联合政府,推翻国民党的一党专制。对此,莫斯科是十分了解的。然而,中共当时似乎并不清楚斯大林的主张。毛泽东在中共七大的最后报告中指出,“国际无产阶级长期不援助我们”,因为“没有国际援助”,就要“学会自力更生”。不过,从意识形态的角度,中共相信“国际无产阶级的援助一定要来的”。所以,尽管早在6月就听说了有关中苏条约的内容,但中共不相信莫斯科会“承认蒋介石是中国唯一的领袖”。

      对于延安来说,苏联出兵东北是一个突如其来的消息,更使毛泽东惊喜的是日本突然宣布无条件投降,这似乎为中共提供了一个与蒋家王朝争夺天下的天赐良机。毛泽东一度认为,通过武力的较量立即实现中共的主张可能是最佳选择。8月9日苏联兵分三路进入东北,中共中央立刻意识到这有可能导致日本投降,第二天便指示各中央局和中央分局:“在此历史突变之时,应立即布置动员一切力量,向敌、伪进行广泛的进攻,迅速扩大解放区,壮大我军,并须准备于日本投降时,我们能迅速占领所有被我包围和力所能及的大小城市、交通要道,以正规部队占领大城及要道,以游击队民兵占小城。”同时要求华中局即日派部队夺取南京、上海、武汉、徐州、芜湖、信阳等大城市和要点,沿津浦、沪宁、沪杭线各中小城镇则由地方部队动员民兵占领,同时宣布江苏、安徽、浙江、湖北省主席和上海、南京市长人选名单。

      中央还指出:“不怕爆发内战,而要以胜利的内战来制止内战和消灭内战”。11日,延安总部命令八路军华北、西北部队向热河、察哈尔、辽宁、吉林等地进发。12日,中共又调整了华中部署:在江南不再占领各大城市,只夺取广大乡村及县城,“准备内战战场”,若内战胜利,就原地继续扩展,若内战失利,则转入闽浙赣,创造新局面,但决不退回江北;江北力量则全力“占领津浦路及长江以北、津浦以东、淮河以北一切城市”,并“配合八路军占领陇海路”。 显然,中共的战略是利用苏联出兵和日本投降造成的权力真空,控制广大的原日伪占领区,准备夺取中国的半壁河山。

      此时,远在大后方的蒋介石面对突变的形势,看在眼里,急在心上。作为缓兵之计,就在中苏条约签字的当天,即8月14日,他电邀毛泽东赴重庆,共商”“国际国内各种重要问题”。但周恩来一眼便看出,蒋介石“请毛往渝全系欺骗”。20日蒋再次来电催促,中共仍不为所动,继续抓紧进行部署。毛泽东一方面命令晋绥和晋察冀部队配合苏军“夺取张家口、平津、保定、石家庄、沧州、唐山、山海关、锦州、朝阳、承德、沽源、大同”,一方面针对华中局打算在上海发动武装起义的报告答复说:你们的“方针是完全正确的,望坚决彻底执行此方针,并派我军有力部队入城援助。其他城市如有起义条件,照此办理。”

      就在中共积极部署,准备夺取华东、华北、西北、东北大部分地方政权的关键时刻,10月20或21日,莫斯科给中共中央发来电报,指出:中国不能打内战,否则中华民族就有被毁灭的危险,毛泽东应赴重庆进行和谈。在斯大林看来,中共拒不和谈而坚持武装夺权的方针,必将导致远东局势的紧张。斯大林既不相信中共的军事实力,也不了解中共的最终目标,但他知道一点:无论中国内战结局如何,都会破坏业已签订且为莫斯科得意的中苏同盟条约及苏美共同构建的雅尔塔体系,从而给苏联在远东的安全和利益带来不堪设想的后果。因此,中共必须像西欧各国共产党一样,在蒋介石领导的“联合政府”的框架内寻求和平与稳定。

      对于来自莫斯科的“国际援助”,中共固然没有抱多大希望,但无论如何也没有想到斯大林会下一道“不许革命”的禁令,这不啻向毛泽东头上泼了一盆冷水,中共不得不改弦更张。21日,中共中央致电华中局,取消上海起义计划。22日,中共中央和中央军委联合发出指示:“苏联为中、苏条约所限制及为维持远东和平,不可能援助我们。蒋介石利用其合法地位接受敌军投降,敌伪只能将大城市及交通要道交给蒋介石。在此种形势下,我军应改变方针,除个别地点仍可占领外,一般应以相当兵力威胁大城市及要道,使敌伪向大城要道集中,而以必要兵力着重于夺取小城及广大乡村,扩大并巩固解放区,发动群众斗争,并注意组训军队,准备应付新局面,作持久打算。”同时,总体战略也只能由选择“革命”方式转向选择和谈方式:“我党在和平、民主、团结三大口号下准备和国民党谈判,争取有利于我党及人民的条件”。

      至于苏军管制下的东北,中共还是寄予很大希望,仍坚持“迅速争取东北”,只因不明苏联的立场,所以决定先派干部去那里发动群众,建立地方政权和地方武装,是否派军队占领,还要视情况而定。同日,毛泽东给蒋回电:“兹为团结大计,特先派周恩来同志前来晋谒”。23日蒋介石第三封电报再邀,毛泽东次日答复,周恩来先去,他本人“准备随即赴渝”。

      战略方针出现如此急转弯,是需要给全党和全军一个交代的,原因当然主要是苏联表明了态度。23日下午,中共中央政治局在延安枣园召开扩大会议,毛泽东详细解释了这个问题。毛在分析了战后进入和平阶段的两种情况(可以占领或无法占领大城市)后指出,由于得不到苏联的帮助,“没有外援不能克敌”,“我们只能在得不到大城市的情况下进入和平阶段”。至于苏联为什么不能帮助中共,毛泽东从国际政治的角度解释说,美苏需要实现国际和平,“苏如助我,美必助蒋,大战即爆发,和平不能取得”。毛还对比了希腊和中国的情况:苏联没有援助希腊,是因希腊为英国所必争,而中国则为美国所必争。如果中共占领南京、上海等大城市,美国必然进行干涉。

      显然,毛泽东已经看出,中国不在苏联的势力范围内,并断定苏联进军中国的区域大概会限定在东北三省。所以,中共在关内的一切军事行动都不会得到苏联的援助。于是,出路只有一条:“在全国范围内大体要走法国的路,即资产阶级领导而有无产阶级参加的政府”。而在中国,联合政府的形式“现在是独裁加若干民主,并将占相当长的时期”。目前“我们还是钻进去给蒋介石洗脸,而不要砍头”,将来再“实现新民主主义的中国”。看来,中共是不得不走这条“弯路”了。第二天毛泽东发出的一个指示当是对上述讲话的注释:“时局变化,抗日阶段结束,和平建设阶段开始”;“我党口号是和平、民主、团结”;“大城市进行和平、民主、团结的工作,争取我党的地位,不取军事占领政策”;“力争占领小城市及乡村”;“一切作持久打算,依靠人民”。

      8月25日,中共又接到美军中国战区司令官魏德迈的邀请电,遂开会商定,毛泽东、周恩来、王若飞同去重庆谈判。在第二天政治局会议上,毛泽东讲述了中共参加重庆谈判的原则和方针。既然谈判,就需做出让步,中共的原则是“在不伤害双方根本利益的条件下”达到妥协。让步的限度:“第一批地区是广东至河南的根据地,第二批是江南的根据地,第三批是江北的根据地”。但是,在陇海路以北直到外蒙的地区,“一定要我们占优势”,“东北我们也要占优势”。毛说,如果不答应这些条件,就不签字,并“准备坐班房”。“随便缴枪”是绝对不行的,延安也不会“轻易搬家”。

      由此可以看出,毛泽东虽然讲的是走法国式的道路——这是对斯大林路线的准确理解,恐怕也是说给斯大林听的,但实际准备实行的谈判方针及其所确定的目标与斯大林的设想有重大区别:第一,斯大林主张的是共产党进入由资产阶级政党掌权的政府,而毛泽东设想的“联合政府”却是要与国民党平分天下,至少来个武装割据。第二,斯大林要求共产党放弃武装斗争,走和平的道路,而毛泽东却坚持无论如何不能放下枪杆子的原则。第三,斯大林设想的“联合政府”是长久之计,而毛泽东却把和平谈判作为一种权宜之计。总之,迫于形势,毛泽东不得不委曲求全,亲赴重庆与夙敌蒋介石谈判,而内心却十分明白,莫斯科的“联合政府”实属一厢情愿,最后解决问题还要靠武装斗争。

      在重庆谈判过程中,莫斯科对国共和谈的结果以及中共的实际立场已经逐步有所了解,但除了坚持建立统一政府的原则外,并没有再发表具体意见。8月30日,在重庆的苏联大使彼得罗夫报告说,周恩来在与他会谈时表示,“根据全部情况判断,蒋介石已经下定决心打算解决共产党的问题”,但“我们不可能指望蒋介石会做出过多的让步”,其主张的实际结果“将不可避免地导致中国共产党及其武装力量被消灭的结局”。周恩来强调,中共历来一直进行着反对国民党反动派的武装斗争,如何“从武装斗争急剧地转向和平建设”,干部和群众都没有准备好。因此,需要莫斯科提供情报和意见。彼得罗夫的回答是:“周恩来同志在党政工作方面经验相当丰富”,“将能够正确地评价中国目前的局势并采取正确措施。”

      9月6日,美国大使赫尔利告诉彼得罗夫,在谈判中,“毛泽东要求将包括首都北平在内的5个省转交给共产党人,以便使他们能够在那里建立自己的政府和供养自己的军队”。赫尔利声称,英国人支持在中国“分而治之”,而斯大林则告诉哈里曼,“允许在中国建立两个政府”是“愚蠢”的。以此为出发点,赫尔利一再建议苏联和美国共同发表一个支持国民政府得声明。彼得罗夫对此没有响应。同一天,毛泽东也拜访了苏联大使。毛泽东介绍说,谈判表明,蒋介石极力要“继续实行一党专政”,并用武力封锁共产党的地区和军队。

      所以,“联合政府”已经谈不上了,他们只同意让共产党和其他党派代表加入国民党领导的政府。对于共产党来说,毛泽东指出,“如果国民党同意将除特区以外的5个省——山东、河北、山西、察哈尔和热河的行政管理权移交给我们的话,那么,我们将会同意放弃华南和华中的解放区”。最后,毛泽东表示中共的让步是有限度的。为此,毛和周恩来、王若飞一再追问,苏联对此持有什么立场,“如果美国将帮助国民党军队消灭共产党军队,苏联将会采取何种步骤”。彼得罗夫只是一味强调:“苏联非常希望看到中国在政治上统一,两党的谈判应该继续下去,并通过相互的让步达成一致意见。”第二天,彼得罗夫又向东北特派员蒋经国表示了同样的看法。

      10月10日,就在谈判协定签字的当天,毛泽东再次拜会苏联大使。毛说,将要发表的联合公报表明中共取得了胜利,是将来“进行宣传的某种依据”。但又强调,“蒋介石不会履行达成的协议”,“他会继续进行反共的军事准备”。因此,“中共的军队也正在三个主要方面加紧作应战的准备”。毛接着说,“消灭国民党的几个师”没有问题,中共唯一担心的是美国会公开干涉中国内政,并问苏联人,如果美国出兵怎么办。中共没有明说的愿望当然是希望得到苏联的支持和援助,几天前周恩来就提出了同样问题,当时彼得罗夫未置可否,现在面对毛泽东的提问,彼得罗夫的答复也只是:“必须通过和平的途径妥善调解局面,尽量避免与美国人发生武装冲突”。

      目前尚未发现有关重庆谈判更多的俄国档案,不过,苏联使馆的态度应该说是反映了莫斯科的立场。显然,斯大林此时坚持的原则仍然是建立以国民党为主的统一的联合政府,为此,在中国必须避免内战。不过,彼得罗夫作为外交官的谨慎表态也说明,斯大林并不想强迫中共接受某种具体做法,他为自己的实际行动留下了充分的回旋余地。毕竟,提出“联合政府”政策只是一种手段,就目的而言,有一点莫斯科与延安的想法是一致的,那就是必须保证对中国东北的控制。

      

      二、斯大林左右逢源与中共独占东北的决心

      

      苏联红军出兵东北当然不仅仅是为了消灭日本关东军,其主要目的是为了使东北地区成为苏联的势力范围和东方安全屏障。作为签署中苏条约的对应条件,斯大林已经向美国人和蒋介石许诺,东北的行政权将交给国民政府,而苏军则在3个月内撤离中国,希望以此换取中国政府的对苏友好立场。但是,无论是从意识形态出发,还是着眼于地缘政治,斯大林对蒋介石及其支持者美国,既不放心,也不信任。所以,苏联不能把对东北的控制完全寄托在已经公开表明的既定政策上,而要把主动权牢牢掌握自己手中。为此,莫斯科至少利用了以下三种途径:

      首先,通过大量的宣传鼓动工作在东北地区营造对苏友好的氛围。在军事推进过程中,苏军军事委员会和政治部不断向中国居民发放各种宣传品,开展各种宣传活动。仅远东第一方面军政治部就用中文印制了86种、总数超过470万份的传单。在东北作战的前4天当中,苏联散发和张贴的中朝文标语、传单和宣传画就有9000万份。此外,苏军还在当地出版报纸和定期刊物,吸收和培养大批通晓汉语、朝语、日语的宣传骨干。仅第一方面军总部在8月份就举办了大约200场报告会、座谈会,组织音乐会或戏剧、电影演出160场。

      其次,充分利用隶属远东方面军侦察处的原东北抗日联军的中国和朝鲜干部。40年代初,抗日联军在东北的大规模军事活动失败后,周保中、李兆麟、金日成等一批干部率残部陆续退往苏联,组建国际旅,继续坚持战斗。1942年7月,经共产国际批准,这支部队在苏军统制下组成第88独立步兵旅,并在远东哈巴洛夫斯克营地接受训练。对日作战准备阶段,该旅的任务是提供情报和向导。苏联出兵的第二天,旅长周保中便部署该旅准备反攻,与八路军会师,解放东北。8月11日却接到斯大林的电报:“待命”。

      日本宣布投降后,周保中又致信苏联远东军总司令华西列夫斯基元帅,建议由第88旅接管长春,并为建立东北民主政府和人民军作准备。如果接受这个设想,周要求苏军将该旅骨干力量交给中共中央或八路军安排。这个建议也遭到拒绝,华西列夫斯基下达了另一个指示:为了扩大苏联的影响,安排这些干部分散随苏军行动,协助占领当局开展政治和行政工作。9月6-9日,第88旅的中国干部受命分四批到东北各大城市苏军指挥部报到。10月,该部队建制被取消。显然,斯大林一方面担心周保中的计划破坏他对蒋介石的承诺,一方面需要把这支由中朝战士组成的部队留给自己用。

      最后,也是最重要的,就是借助中共的力量来控制国民党行政当局对东北的接管进程和实际结果。应该说,前两个措施不过都是为了使苏军能在东北站住脚,并扩大苏联在那里的影响,而斯大林明白,苏联的军事力量迟早是要退出东北的。那么,到底把东北的直接控制权交到国共两党谁的手上,才能保证莫斯科的实际控制和势力范围,斯大林是有深远考虑的。就苏联对中国以及东北采取的政策而言,国民政府的东北行营主任熊式辉可算是一语中的:“苏联只要看见中国有联合政府,一切便好谈。”最初,斯大林在国共之间所采取的左右逢源的立场,与中共逐步确立的独占东北的战略确实有些不合拍,以至一度引起毛泽东的失望和不满。不过,国际局势的变化最终还是让他们走到了一起。

      由于得知东北的行政权将交给国民党,直到8月26日,中共中央还在犹豫是否派大部队去抢占东北。不过如前所述,控制东北已是既定方针,需要考虑的只是方式。中共中央很快就想出了对策,8月29日中共中央在给北方各分局的指示中说:尽管受中苏条约限制,苏联“必不肯和我们作正式接洽或给我们以帮助”,但条约中也明白规定“所有中国籍人员,不论军民均归中国管辖”,苏联不干涉中国内政。因此,“我党我军在东三省之各种活动,只要不直接影响苏联在外交条约上之义务,苏联将会采取放任的态度并寄予伟大之同情”。同时,“国民党在东三省与热、察又无基础”,且“派军队去尚有困难”,而“红军将于三个月内全部撤退,这样我党还有很好的机会争取东三省和热、察”。

      于是,中共中央要求“晋察冀和山东准备派到东三省的干部和部队,应迅速出发,部队可用东北军及义勇军等名义,只要红军不坚决反对,我们即可非正式的进入东三省。不要声张,不要在报上发表消息,进入东三省后开始亦不必坐火车进占大城市,可走小路,控制广大乡村和红军未曾驻扎之中小城市,建立我之地方政权及地方部队”。“热河、察哈尔两省不在中苏条约范围内,我必须完全控制,必须迅速派干部和部队到一切重要地区去工作,建立政权与地方武装”。对苏军只通报情况,既不要正式接洽,也不要请求帮助,总之不要使之为难。高岗在9月3日一封电报中也称:“对东北我党必须力争,中央已有充分准备及具体对策。”

      中共军队突然大量出现在东北,一时搞得苏军不知所措。中共军队最初进入东北各地后的不同遭遇,说明了这种情况。冀热辽军区曾克林部进攻山海关时,不仅与苏军联合发出最后通牒,还得到苏军炮火支援,到达沈阳时却受到苏联驻军百般阻拦,被围困在火车上整整一天;进驻沈阳的中共先头军队从苏军转交的日本军火库中获取了大量武器装备,而徒手赶来的后续部队却吃了闭门羹,什么也没有得到;还有些进入东北的部队,不仅得不到急需的通讯器材和印刷设备,甚至还被苏军缴械,并禁止他们在苏军占领区活动。如此等等。造成这种局面的具体原因很复杂,有的显然是出于无产阶级国际主义而表现出对中国同志的支持,有的恐怕是由于对中共所属部队缺乏了解而产生的误会,有的大概是基层指挥员不了解外交方针而擅自采取的行动,还有的肯定是占领当局受制于国际舆论而有意采取的回避态度。总的讲,问题的症结在于,对于莫斯科有意采取的模糊政策,苏联军人和中共领导人最初都没有搞清楚,而他们之间又缺乏沟通和联系。

      于是,9月14日华西列夫斯基派代表飞到延安,传达莫斯科的要求,并与中共领导人进行协商。苏联代表在会谈中明确表示:苏军撤离中国前,国共军队均不得进入东北,请朱德命令已进入沈阳、长春、大连等地的中共部队退出苏军占领地区;苏军不久即行撤退,苏联不干涉中国内政,中国内部的问题由中国自行解决。而私下应允,已经进入东北的中共军队,如果不用八路军名义,不公开与苏军接洽,苏军可以“睁一只眼,闭一只眼”,还提出希望中共派负责人前往东北,以便随时联系,协调行动。锦州、热河两省则可以完全交给中共接管。16日,苏蒙联军代表又转告中共中央,“坚决要求八路军主力火速北开”,接收其所占领之内蒙古及东北各地,“确保北面及内蒙地区,以便同外蒙苏联经常保持联系”,苏军可接济部分武器。万不得已时,中共部队可进入外蒙,“但不可向南移”,“不要再让敌人隔断双方联系”。在重庆的苏联大使也向毛泽东、周恩来提出:中共当前的战略重心,应当是集中兵力,“确保张家口、古北口、山海关之线,防蒋进攻”。

      只派遣一名校级军官向中共领导人传话,表明莫斯科处事谨慎,仍要留有退路。彭真到沈阳后报告,苏军对银行、工厂、仓库一律派兵监守,不准搬用,对火车、汽车、汽油、广播电台也“绝对全部控制”,还要求中共军队移至城外,均反映了这种情况。尽管如此,苏联的意图却很明显:表面上国共军队都不得进入东北,但允许中共军队卡住进入东北的咽喉要道,一旦苏军撤退,中共便可抢先占领东北。这样,苏联既没有破坏中苏条约,又能保证内蒙、东北地区在自己掌控之中。机不可失,莫斯科的表态促使中共更加坚定了进军东北的决心。

      经过14日下午和晚上的讨论,刘少奇主持的中共中央政治局会议决心把全国的战略重点放在东北,把原来准备南下的部队和干部转向挺进东北,并决定建立以彭真为书记的中共中央东北局,随前来延安的苏联军用飞机飞往沈阳,加强对东北工作的领导。17日刘少奇向毛泽东报告:“东北为我势所必争,热、察两省必须完全控制。红军在东北现已开始撤退,据说在12月初将撤完,内蒙红军即将撤退,已三次要求我接防德王府、百灵庙一线。”为此,刘少奇提出“全国战略必须确定向北推进,向南防御的方针”。18日又建议紧急调重兵部署在热、察、冀东及东北沿海地区,阻止蒋军北进,控制东北。19日毛泽东回电:完全同意。到10月初,毛泽东的胃口更大了,中共中央设想的目标是:在华北、东北、苏北、皖北及边区全部实行人民自治,中央军不得开入,仅平、津、青三地可暂时驻一小部中央军,将来亦须退出;华北、东北各设政治委员会统一管理各省,中央政府不得违背自治原则派遣官吏,已派者须取消。

      在控制东北的问题上,斯大林最大的担忧在于美国势力渗透到苏联的势力范围,随着国民党军队在美国的援助下不断接近和开进东北,莫斯科的担心越来越加重,态度也越来越明朗。蒋介石非常担心因国军不能及时到达东北,而共军乘苏军撤退之机夺取优势,故早在9月11日就让行政院长宋子文向美国政府请求借船运兵。美国的态度也很积极,代理国务卿艾奇逊第二天便以备忘录形式将此事报告总统。9月18日杜鲁门总统答复:“驻西太平洋陆军和海军司令已下达命令,将按照魏德迈将军所明确指出的日期和港口运送前往满洲的中国军队提供船只”,“参谋长联席会议深信,在中国军队准备好登船前往满洲之日,将有足够的船只为其所用”。9月24-27日,就有消息转开,美军将在天津、大连、烟台、威海、秦皇岛登陆,蒋军将由空运和海运至平津。

      10月初,一方面是美国一再要求苏联公开保证遵守门户开放的原则,一方面是国民政府连连发出照会和通知:中国计划在满洲吸引外资,而美国有意投资;要求苏联开始考虑撤军问题;中国政府的第一批军队将在数日内乘坐美国军舰抵达大连。这如何不让斯大林心急?在与立法院长孙科的谈话中,彼得罗夫默认:“美国人在北平、天津、青岛和秦皇岛登陆”,“是导致局势更加严重化的因素”。而斯大林则向蒋经国坦言:“苏联政府不愿让美军进入满洲。这是苏联的地盘”,“无论美军、英军或其他外国军队,都不应当允许他们进入满洲”。既然认定国民党是美国人的傀儡,那么,要遏制第三国势力进入东北,只能依靠共产党。

      尽管在重庆,苏联大使对周恩来寻求帮助的提问依然闪烁其词,但在东北的苏联军人却对共产党显得格外坦率和热情。10月3日,一位未透露姓名的苏共中央军委委员在接待中共东北局负责人时,不仅热情称赞中国共产党人,而且高度赞赏中共关于“向南防御,向北发展”,争取控制东北的战略方针。他还认为,“满洲北部不成问题”,建议中共把主力部队部署在山海关方面(15万人)和沈阳周围(10万人),全力阻止国民党军进入东北。为了增强中共方面的信心,第二天苏方就通知中共东北局说,苏军准备把缴获的所有保存在沈阳、本溪、四平街、吉林、长春、安东、哈尔滨和齐齐哈尔日本关东军的武器弹药和军事装备,如数转交给中共,并说明这些武器弹药可以装备几十万人。

      10月上中旬,苏联一再拒绝国民政府关于国军在大连登陆的请求,即使蒋介石亲自出面也无济于事。同时,对设立在长春负责接收工作的东北行营,也是百般刁难,设置重重障碍。蒋经国向苏联使馆通报长春之行的感受时抱怨说,苏军不允许他们建立警卫队,拒绝到除沈阳外其他地区进行视察,还下令停止出版东北行营发行的《光复报》。与此同时,苏联却与中共紧密配合,加快了对东北的控制步伐。苏军指挥部下决心“打开前门”,拟把南满和锦州地区的行政权全部交付给中共,并应允在中共来不及接收的情况下,代为保存1个月。甚至在苏军完全控制的大连地区,占领当局也希望中共在那里建立起党政领导机关。10月6日,中共得知蒋军在大连登陆已被拒绝后,估计可能转向营口、锦州和安东,于是请求苏军“一律拒绝,至少拖延一个月至一个半月”。

      10天后彭真便报告,蒋军“到营口、锦州两处海岸企图登陆,已被拒绝”,苏方催促中共立即派兵在陆地阻击。因中共军队一时无法到达,苏方还答应再设法拖延几天。而在蒋军准备登陆的安东,不但出现了“民主政府”,还举行集会,呼吁满洲独立,撤消东北行营,甚至断水断电。10月19日,毛泽东从重庆回到延安后,决定按照苏方的要求,改变过去分散占领全东北的方针,而“集中主力于锦州、营口、沈阳之线,次要力量于庄河、安东之线,坚决拒止蒋军登陆及歼灭其一切可能的进攻,首先保卫辽宁、安东,然后掌握全东北”。21日又提出:“竭尽全力,霸占全东北,万一不成,亦造成对抗力量,以利将来谈判。”

      10月25日,苏联接到中方正式通知,政府军将使用美国舰队在营口和葫芦岛登陆。于是,苏军再次催促中共军队迅速接防中心城市和工业,逐步接收政权,并建议中共把领导中心移至沈阳,还声称:“如果说过去需要谨慎些,现在应该以主人自居,放开些干。”如蒋军在11月15日前进攻,苏军可协同中共军队给以打击。接到东北局的报告后,毛泽东“甚为欣慰”,即刻指示:“我党决心动员全力,控制东北,保卫华北、华中,六个月内粉碎其进攻,然后同蒋开谈判,迫他承认华北、东北的自治地位”;按照苏方意见“速在安东、营口、葫芦岛三处设防,加强军队配备,即速派兵控制一切重要飞机场,接收各主要城市的政权、工厂、兵工厂及武器弹药”;最重要的是请求苏方“拒止蒋方在两个月内登陆、着陆”。28日,东北局便拟定了东北九省的主席或特派专员名单,准备“以最快速度接收全部政权”。

      因受制于外交,苏联无法满足毛泽东的要求,经反复交涉,只得应允蒋军“10月30日在葫芦岛、营口登陆,11月12日进至锦州、海城线,11月20日进至沈阳,苏军则于11月25日撤完”,还同意先头部队在苏军撤离前三天空运至长春和沈阳。不过,苏方也公开声明,苏军数量不多,无法保证登陆部队的安全,而且并不打算限制共产党部队,因为苏联“不会干涉中国内政”。同时,苏方则通知中共,“同意我们在营口、葫芦岛作战,他们不加任何限制”,还同意中共前往沈阳和长春接收工厂、武器装备,并更换除市长外的长春各级政府。为此,11月上旬毛泽东不断发出指示。

      针对国民党军队在山海关发动的大规模进攻,毛泽东要求“必务要将这一地区一切可能的力量集中起来,以便在这场具有战略性决定意义的战役中取得胜利”。同时,要求部队“争取时间布置内线作战,决心保卫沈阳不让蒋军进占。一俟苏军撤退,我方即宣布东北人民自治。”在长春,据东北行营的通报,中共调动了大批军队集中在机场附近,约2000人已进出长春市,并示威性地包围了行营驻地。11月12日毛泽东在政治局扩大会议发表讲话:“派十九万军队去东北,这是有共产党以来第一次大规模的军事调动”。“总的来说,蒋一定攻,我坚决打”。“只要有现在的条件,苏联不帮助我们,我们也不怕。”只有此战得胜,“我们才能提出东北自治的问题”。

      然而,就在毛泽东准备利用苏联帮助的有利条件放手与蒋介石在东北一战的紧要关头,莫斯科的立场突然发生了变化。11月10日,斯大林从他的休养地索契给莫洛托夫、贝利亚、马林科夫和米高扬发出一封密码电报,指令他们“尽可能快地从延安和毛泽东部队活动区域撤离我们所有的联络官员和其他人员”,而且“越快撤出越好”。原因是“中国的国内战争正处在一个重要的转折点上,我担心我们的敌人将来会指责我们留在这些地区的人是中国国内战争的组织者,虽然我们的人并没有控制任何东西”。这一指令立即得到贯彻执行。

      第二天东北局报告:昨日友方突然通知陈云,已允许在苏军撤退前五天内让国民党空运部队到各大城市,并且不准我们在此期间与国民党军队发生冲突。友方一再声明,这是“莫斯科的决定”,东北苏军任何人员无权变动。如果五天中出现冲突,苏方“只能缴我们的械”。友方还一再提出,“莫斯科的利益应该是全世界共产主义者最高的利益”。17日马利诺夫斯基命令中共军队撤出长春、沈阳和哈尔滨,并不得阻碍国民党军队在长春和沈阳着陆。20日又“郑重通知”东北局:“长春路沿线及城市全部交蒋”,中共军队一律退至铁路线50公里以外;只要有苏军的地方,既不准与蒋军交战,也不许中共军队存在,“必要时不惜用武力”驱散;全东北境内,包括锦州至山海关段,均不准作战。同日,苏军驻哈尔滨卫戍司令部要求中共北满分局和军队三天之内撤出哈尔滨,中共部队撤出后,苏军即通知国民党政府,来哈接收。

      在重庆,苏联使馆也告诫中共代表王若飞,“为了避免遭到美国和中国舆论的反对”,中共最好不要试图占领长春路,并注意减少与苏联使馆和驻华机构的联系。24日,苏联心安理得地照会中国政府,现在可以毫无阻碍地向沈阳和长春空运部队了,苏军对东北中共军队“未曾予以任何帮助”,并表示苏军可延期一两个月撤离,以利中方接收。驻长春苏军指挥官还向东北行营副参谋长董彦平保证:“决心消除所有的暴民活动,严格保护各政府组织及其工作人员的住宅,并禁止一切对中国政府不利的宣传”。后经双方协商确定,为确保中国政府顺利接收,将苏联撤军完成日期改为1946年2月1日。

      苏联的态度为何突然改变?从斯大林密电和苏联参赞谈话的口气看,莫斯科的担心主要在于美国对东北事态发展的不满及其制造的舆论压力。蒋介石对这一点看的很清楚,早在10月19日他就有意向苏联大使建议:采纳美国的提议,召开第二次五国外长会议解决中国问题。11月8日蒋介石又在内部讨论时提出“将东北行营撤至山海关,同时声明不放弃东北,以使苏联违约之真相大白于天下”。一个星期后,国民政府正式向苏联发出照会:由于接收工作无法进行,决定于17日起将东北行营“迁移至山海关”。同时,中国又照会各国使领馆,告苏联阻碍接受工作。随后,蒋介石迅速将这一决定告诉华盛顿,并抱怨苏联人未能执行1945年中苏条约,希望与美国积极协调行动,防止局势继续恶化。

      莫斯科面临的压力还不只此,从10月下旬到11月初,在远东,苏联急于插手促成对日和约,反复就盟国对日管制机制问题与美国进行磋商。在近东,伊朗危机趋向国际化,对苏联感到绝望和恐惧的德黑兰政府开始求助于美国和联合国。针对苏联关于修改蒙特勒公约的诉求,美国也开始关注土耳其海峡问题,并提出了国际监督的建议。于是,苏联在一系列国际问题上都需要继续与美国保持一致,并争取美国支持自己的主张,这里当然也包括中国问题。所以,当11月下旬美国倡议召开三国外长会议解决这些国际问题时,苏联不仅积极响应,而且立即开始与美国进行紧密接触和协商。在这样的背景下,12月莫斯科外长会议做出美苏同时从中国撤军的决议,以及国务卿贝尔纳斯对斯大林履行中苏条约抱有乐观态度,就毫不奇怪了。

      于是,斯大林再次抛出了“联合政府”政策。在12月30日与蒋经国会谈时斯大林说:“苏联政府已经从延安召回了所有的代表,因为他们不同意中国共产党人的举动”,苏联政府仍然“承认蒋介石政府是中国的合法政府”,并认为中国“不能有两个政府,两支军队”,尽管“中国共产党人不同意这一点”。斯大林还一再辩白,苏联政府对中共的情况不了解,也未向中共提过任何建议,莫斯科对中共的行为不满意,更不能为他们的行为负责。而对中共,斯大林则希望他们放弃已经制定的目标。

      1946年1月,苏联使馆告诫中共在重庆的谈判代表,目前提出东北问题还“为时过早”,因为中央政府和来华调停的美国总统特使马歇尔都没有提到这个问题;“中共应该寻找和平解决所有军事和政治问题的道路”。苏联大使还警告周恩来:“在满洲发生战争,尤其是伤及美人,必致引起严重后果,有全军覆没及惹起美军入满的绝大危险。”以至周恩来不得不向苏联人检讨说,“对中共来说,与美国人的关系是一个新问题”,中共领导人认为苏军应该把东北交给中共,是因为“不懂得整个国际形势的复杂性”。而在给中共中央的报告中,周恩来指出:看到中共能以军事力量抵抗国民党进攻以利谈判时,他们就欢呼,看到中共要独霸东北、华北时,他们就惊呼。

      毛泽东确实需要再次改变战略方针了。得知苏联态度改变后,中共中央最初决定,一方面“照顾友方信用”,“服从总的利益”,一方面“仍须控制大城市”,重新部署力量,“准备一切条件于苏军撤走后歼灭顽军”。11月19-20日,中共的方针仍然是“在顾及苏联国际信用的条件下力争大城市”,希望苏军能把“锦州、葫芦岛及北宁路之一段”留给我们,并“尽可能推延蒋军进入满洲及各大城市的时间”。但是,11月22日,迫于形势的变化,刘少奇便提出了一个新的方针:“让开大路,占领两厢”。28日和29日,刘进一步明确:“独占东北已无此可能,但须力争在东北的一定地位”,今后工作重心为控制长春铁路以外的中小城市、次要铁路及广大乡村,“建立根据地,作长期打算”。

      武力解决不行,只好再次转入和谈。12月7-8日,中共提出准备恢复与国民党的谈判,和平解决东北问题,并希望苏联“居间折冲”。30日,中共公开呼吁:“立即全面无条件的停止内战”。1946年1月国共停战协议公布后,中共中央要求东北局“将部队高度分散”,迅速控制既无苏军驻扎又无国军开进的地区,特别是靠近苏联和蒙古的地区。到2月,随着和平谈判的进展,中共中央政治局决定毛泽东等人参加国府委员会,周恩来等人参加行政院,并力争周恩来任副院长,还批准了中共出席宪草审议委员会的名单。

      尽管很不情愿,但是在力量对比明显不利以及美苏两国的共同压力下,中共不得不暂时放弃进行大规模武装斗争的计划,准备与国民党和解,进入“联合”政府。然而,就在“和平”的曙光似乎将要出现的时候,情况又发生了急剧变化。

      

      三、苏联从东北撤军与中国内战的开启

      

      斯大林对华政策的根本目标是确保苏联在东北(还有蒙古)的独占地位,这就是说,是否援助中共,如何援助中共,完全取决于形势是否对苏联实现其在远东的战略目标有利。因此,苏军在1945年底准备撤离东北,把政权交给国民党的时候,仍然与中共保持着联系并秘密给以帮助。12月2日,随苏军行动的周保中等人报告:苏联远东军指挥部“愿意知道我全满实力及对东北方针,苏军表示在撤退前,在可能限度内一定给我物资帮助,但是讲究方法,并尽量制造困难给顽”。看来,即使在压制中共时,苏联人还是留了一手。

      果然,当东北局势的发展使莫斯科感到威胁时,苏联的态度又来了一个一百八十度的大转弯。关于苏联对华政策的目标,副外长洛索夫斯基在蒋经国访苏前给斯大林的报告中作了全面论述:第一,中国政府必须承认蒙古人民共和国独立;第二,中国必须保证长春铁路沿线的安全,在目前的混乱局面下,应提议苏联“铁路护卫队保留二至三年”;第三,“不准外国人及外国资本进入满洲”,“我们不能允许满洲成为另一个大国施加经济和政治影响力的场所”;第四,必须在苏联“积极参与满洲经济活动的情况下”实现与中国在东北的经济合作,为此就要控制一批合资公司,特别是船舶公司、航空公司和中长铁路。但恰恰在这些问题上,1946年初呈现出一种对苏联的危险局面。

      在中苏经济合作谈判中,为了及早撤军,减缓国际舆论压力,苏联代表一再表示愿意让步,只要中国同意对所有重工业公司实现双方合资经营,苏方就会进一步采取行动,帮助国民政府尽快解决东北的接管问题。而蒋介石在美国的支持下,态度却愈益强硬。1月26日他告诉中方谈判代表张嘉璈,对经济合作谈判采取“紧缩”态度。于是,尽管苏方代表斯特拉科夫斯基一再声称,莫斯科急于签署合作协议,并非要在东北“霸占利益”,而只是“不愿见有第三国再卷入”,但张嘉璈始终坚持强硬立场:战利品问题中方不予考虑,航空公司和轮船公司的问题也不讨论,一切非金属矿业不在合作之列,即使在合作企业,中方亦要求占51%的股份。

      在接下来的一个月里,苏方坚持尽快签订经济合作协定,方能最后撤军,中方则强调没有顺利交接行政权,故无法谈经济合作,以至经济谈判陷入僵局。此时,美国也不断向苏联施加压力。2月11日美国同时照会苏联和中国,对中苏经济谈判感到“不安”,认为这“与门户开放原则会有矛盾”,对美国的商业利益和威信“是一种明显的损害”,并表示美国有意参与谈判,在经济合作方面采取“共同行动”。这无疑更加刺激了斯大林敏感的神经。

      不仅与政府的谈判步履维艰,中国民间的反苏情绪也突然高涨起来。在雅尔塔会议召开一周年之际,2月11日,美英苏三国同时公布了有关远东问题的秘密协议。苏联同意公布协议,大概是着眼于对南萨哈林和千岛群岛占领的合法性,而美英这样做显然是针对东北问题的。为了进一步逼迫苏联撤军,美英在报纸上公开指责莫斯科违背雅尔塔协议。这在中国引起强烈反响,一时间舆论哗然,广大市民、学生纷纷涌上街头,张贴标语,示威游行,发表演说,抗议苏联在中国东北、新疆和内蒙的行为,要求苏军立即退东北。3月5日,国民党六届二中全会通过了《对苏联提出抗议,严重交涉限期撤退其东北驻军》的提案。

      3月6日,中国照会苏联,撤军期限已过,苏军尚未完全撤退,要求苏联政府饬令“即行撤退”。4月1日,蒋介石在第四届第二次国民参政会上发表演说,公开推翻东北停战协定,宣称“东北九省在主权的接收没有完成以前,没有什么内政可言。”东北的局面更加复杂,据苏联驻东北当局报告,国民党与土匪勾结,煽动反苏情绪,捣毁中苏友好协会甚至苏方的机构,苏联军人和侨民不断遭到骚扰、袭击和杀害等等。马利诺夫斯基还认定,张莘夫被害一案,就是土匪“精心策划的,目的在于破坏苏中关系”。面对如此局势,莫斯科只得再次打出中共这张牌。

      2月1日彭真报告:“辽阳、鞍山、本溪三处苏军已正式将政权交与我当地民主政府,并由双方签字。该区以南(包括安东)苏军不再交给国民党,对外暂不公布。”除旅顺、金州完全归苏军长期驻兵外,大连的副市长、区长及公安局长也都由中共干部担任。原因在于,该地区的煤铁业及若干大工业,已由苏方接收并开始经营,大连的工业也完全在苏方掌握之中。不仅如此,在2月22日与外蒙领导人乔巴山谈话中,斯大林甚至同意外蒙“可以悄悄地进行”宣传鼓动工作,以准备在兴安岭和内蒙古建立独立的国家。显然,斯大林现在还是希望把政权(无论在东北还是内蒙)交给共产党控制,以此来保证苏联的远东利益。

      有史料证明,此时中共中央已经了解到情况的变化,并考虑了新的方针。3月3日周恩来作为军调处的中共代表,与马歇尔、张治中(国民党代表)来到太原视察。当晚,周召集当地高级将领开会,传达了“党中央对当前情况的估计和战略意图”。周“压低了声音,把手攥成拳头向下挥着:中央决定现在谈不了了,要锤!”不过,这离采取实际行动还有一段时间。莫斯科显然有点迫不及待,看到中共没有进一步的举动,便提出了更加直接的建议。3月12日,东北局电告中央,苏军通知将于13日撤离沈阳,希望中共军队“迅速攻入沈阳”,而且“凡红军撤退处都可打”。

      然而,考虑到停战协定已经签字的背景以及军事力量的对比,中共中央决定,不仅不去进攻沈阳,沈阳至哈尔滨铁路沿线苏军撤退时亦不去占领,甚至准备让出已经到手的抚顺、本溪、鞍山、辽阳等地,以交换蒋军从热河撤军,并承认中共在东北的地位。看起来,此时毛泽东还没有改变“让开大路、占领两厢”,倚靠苏联、外蒙建立根据地,通过和谈解决东北问题的基本方针。这种稳重的态度与此前莫斯科的立场变来变去大概不无关系。

      苏联对于中共的犹豫不决、行动迟缓颇有不满,因而采取了更加强硬的态度。3月中旬东北局报告:苏军批评中共对美国人太客气了,更不应该同意让国民党的5个军开到东北来。又表示,凡苏军撤离之地,包括沈阳和四平,“我可以放手大打,并希望我放手大打”。为此,东北局要求在征得苏联同意后夺取四平街、哈尔滨,并进占其他大城市及长春路支线小城市,逼迫蒋介石谈判,甚至可以考虑夺取长春。与此同时,马歇尔给东北停战小组的指令规定,“小组只能随政府军前进,政府军有权进驻东北之主要地区,长春路两侧各30公里以内,政府军单独管理,苏军撤出地区中共军队不得开入占领等”,而对中共在东北的地位既没有提及,也不愿讨论。毛泽东对此极为不满,当即建议周恩来在谈判中提出:“承认政府军进驻沈阳至长春”,长春以北应为中共军队的驻扎地区。对此必须坚持,即使谈判“全面破裂”,“亦绝对不屈服”。

      在这种情况下,中共的方针开始发生重大转变。3月17日中共中央致电彭真和林彪:“国民党还不停战,沈阳以北长春路沿线的苏军撤退区,同意你们派兵进驻,以为将来谈判的条件,时间愈快愈好。”同日,毛泽东在批转周恩来关于商谈东北问题的报告上加了以下两段批示:“请东北局速与友方接洽,将整个中东路(包括哈市)让我驻兵,永远占住,不让国民党进驻一兵一卒。”“东北协定即将签字,请彭、林速即布置一切,造成优势,以利谈判。”又在批转周恩来商谈东北问题三点意见的说明时指示:“请彭、林按照针锋相对、寸土必争与有理、有利、有节之方针,准备与执行小组进行谈判。”当天,东北民主联军一部即收复四平。

      3月18日东北局再报:苏方“曾一再谈北满甚为重要,决不能允许国民党接收整个长春路与矿区”,故提议进占哈尔滨和齐齐哈尔。中共中央当天回复表示同意。第二天,彭真又请周保中去长春直接与苏军交涉,“要求他们于最近期间缩小驻区,尽量将次要地点让我军驻防,特别如延吉、敦化、吉林、牡丹江、佳木斯等地”。3月20日,苏蒋关于东北问题的谈判已陷于僵局,中共中央则又进了一步,通知东北局,“如果友人谅解,即可进占长春”。 23日更要求林彪“立即动手大破北宁路及沈阳附近之长春路,愈迅速愈广泛愈好”,“同时立刻动员全军在运动中及其立足未稳之时,坚决彻底歼灭国民党进攻军队,愈多愈好,不惜重大伤亡(例如一万至两万人),求得大胜,以利谈判与将来”。

      一切准备就绪,苏军开始了撤退行动。此前,苏方曾以发生瘟疫、冬季交通不便等种种借口延缓撤军,且迟迟不告知撤离时间,从而造成国民党军队沿长春路北进和接收的困难。3月22日,苏联使馆突然通知国民政府,苏军将于4月底撤军完毕。莫斯科的目的,当然是尽可能将东北政权交给中共,为此,双方的配合日益紧密。3月24日中共中央致电东北局,说明现在的方针是“用全力控制长、哈两市及中东全线,不惜任何牺牲”,因此要求速与苏军交涉,在撤退时允许中共军队进占哈尔滨、齐齐哈尔及长春。苏方则通过周保中转告,一旦条件具备,立即通知中共接管长春,同时告诉东北行营接收人员,因要“防疫,不允许办理长春交接手续”。25日中共中央连续致电东北局,因停战小组将于近日到达东北,需即刻与苏方联系,请他们“速从哈、长、齐等市撤退”,中共军队必须在苏军撤退后一二日内控制长春、哈尔滨、齐齐哈尔等地,并以长春为首都。

      3月底,苏联因重开经济谈判且似有进展而再次出现反复,以至中共在接管长春、哈尔滨、齐齐哈尔三市的问题出现了一些周折。但事情很快就过去了,莫斯科在撤军的最后时刻采取了两面手法。4月3日,这边是苏联政府答复国民政府,可先行通知各地撤兵日期,并协助中国接防部队;那边是苏军代表接连通知东北局,苏军将于15日和25日分别撤离长春和哈尔滨、齐齐哈尔,请中共军队立即前进至三市近郊待机,并入市侦察,以便届时就近占领。苏方代表还解释说,美国利用国民党接管东北来反苏,蒋介石利用美国来反苏反共,苏联目前因谈判不成受外交限制不能直接插足东北,但希望中共全力坚持东北,使东北问题悬而不决,造成美蒋被动。

      为了让中共顺利接收长春,苏联对国民党继续采取麻痹战术。4月13日苏联使馆还信誓旦旦地向中国外交部重申,将通知具体撤离时间,并尽量协助中国政府完成接收任务。第二天,苏军就突然撤出长春,同时用事先约定的密码通知了周保中。早已做好准备的中共军队随即发动总攻,当天便占领了机场两处、市区一部,并于18日控制了全市。4月19日,中共中央指示:东北局应迁长春,并考虑于短期内召集东北人民代表会议成立东北自治政府问题。同时,一方面向四平增兵,再打几个胜仗,一方面“用全力夺取哈、齐二市”。

      苏军原计划4月25日撤出哈尔滨,但毛泽东考虑到马歇尔可能在此之前到达沈阳,故于16日电告东北局,速与苏方交涉,让其尽早撤离。18日再次要求陈云和高岗,“速催友方从哈市立即撤去,以利我军马上占领。此事万急勿延。”20日与苏军代表会面,高岗被告知,哈市苏军已定于25日撤离,无法再提前,但中共所需武器已经留下,进城后即可得到。此后,按照计划,东北民主联军25日攻占齐齐哈尔,28日进驻哈尔滨。一则占有了相当的地盘,二则得到苏军提供的武器援助,中共此时的决心是:“一切决定于战场胜负,不要将希望放在谈判上”。4月26日与苏联大使会谈时,周恩来告知,“以前共产党曾同意在满洲问题上对国民党作出一系列让步,但是国民党不愿意停止反对中共军队的军事行动。现在形势发生了根本变化,共产党不会再作出让步。”

      然而,此时国共在东北的实力对比正在悄悄发生变化。由于得到美国的大力支持,2月上旬和3月,全部美式装备的国民党精锐主力新一军和新六军,以及第七十一军、第六十六军和第九十四军一部,都相继投入东北战场。东北国民党军正规军的兵力,已由1月份的13.4万人增加到28.5万人。3月13日,国民党军队进占沈阳,随后兵分两路,向南进攻本溪,向北增援四平。此时,林彪的主力部队“已苦战三月,急需休整补充训练,并适当调剂武器”。四平中共守军虽作战英勇,但能够指望的增援部队只有一至两个团。所以,尽管毛泽东这时提出了“化四平街为马德里”的雄壮口号,但私下里却与林彪商议,争取尽快停战和谈。

      正在春风得意的蒋介石当然不愿再给中共提供喘息的机会。就在5月3日苏军宣布全部撤离中国的这一天,蒋介石偕夫人宋美龄飞抵南京。两天后,国民政府宣布还都南京。显然是对中共的前途没有把握,看到形势逆转的斯大林此时又回过头来向南京展开微笑。5月8日,斯大林命驻华使馆武官转告蒋经国,说去年蒋介石曾表示愿赴苏访问,现在斯大林欢迎蒋介石前往莫斯科或边境某地进行会晤。蒋介石现在想的是立即消灭共军,对此当然予以拒绝。5月14日,新六军攻占本溪后,大举北上增援四平。18日林彪下令四平守军撤出战斗,国民党军队进占四平后继续北进,23日不战而进入长春。虽然此后国民党军队因战线过长,力所不及,而止步于松花江,从而形成国共两军隔江对峙的局面,但是在关内,蒋介石却命令河北、山东、山西和苏北的国民党军队向中共军队大举进攻,中国的内战于1946年6月全面开启。

      

      简短的结论

      

      中国内战的全面爆发无疑标志着莫斯科的“联合政府”政策在亚洲的破产,这大概是斯大林始料不及的。斯大林的本意是支持国民党,利用共产党,通过促成统一的联合政府,保障苏联在远东的安全和利益。但是,他既不了解也不能控制共产党,更没有想到国共之间水火不容,在蒋介石和毛泽东那里,所谓联合政府和停战谈判,都不过是为积蓄力量以利再战而采取的权宜之计。国民党对美国援助的依赖,也加深了斯大林的疑虑,他不得不把重心向共产党一方倾斜。笔者同意这样一种分析:“正是反对美国和国民党政府控制东北的共同利益,使中共与苏联形成了一种战略关系。”不过,苏联关注的中心毕竟在欧洲,而就全局而言,1946年仍然是斯大林推行或极力维护与美国合作的一年。所以,莫斯科对于中国的内战采取了作壁上观的态度,只要与苏联接壤的地区能够保留在共产党的控制下,其他问题斯大林恐怕一时是顾不上,也不关心的。

      从上述历史过程还可以看出,战后苏联对华政策确实是多变的,不确定的。有学者用“举棋不定”来形容斯大林的对华政策,认为:“1945年秋天,斯大林的对华政策同他的欧洲政策一样,既没有明确的目标,又缺乏内在的一致性。”笔者不能同意这个判断。表面看起来,苏联对东北的政策似乎有些反复无常,但实际上这恰恰反映了斯大林的一贯作风:目标始终确定而手段经常变换。对于苏联在东北的政策,当时在北满工作的陈云有很深刻的认识:“苏联对满洲的政策基本上包括两方面:一方面,把沈阳、长春、哈尔滨三大城市及长春铁路干线交给国民党;另一方面,援助我党在满洲力量的发展。保持远东和平和世界和平,是苏联这一政策的基本目标。某一时期由于国际国内条件的变动及斗争策略上的需要,苏联对于执行中苏协定的程度,及对我援助的程度会有所变化。但苏联这些政策的本质,是一贯的,不变的。”

      至于中国内战与美苏冷战之间的关系,通过国共美苏四方在东北问题上错综复杂的相互关系可以看出,美苏之间本质上的不信任状态,影响了他们对国共两方的立场,而国共之间的生死对立又反过来制约着美苏关系的发展。一方面应该说,如果战后美苏之间存在真诚的合作,那么他们是有能力制止中国内战爆发的。另一方面,中共内战的爆发及其延续,无疑成为美苏之间进行全面冷战的奠基石,也是冷战在亚洲的预演。不过,如同文安立所说,“就冷战观念的形成而言,中国的国共两党始终落在大国的后面。毛泽东和蒋介石直到1946年还相信,同两个大国中的一个结盟并不意味一定要同另一个对抗。”从这个意义上讲,蒋介石和毛泽东都没有意识到,他们之间的争斗在亚洲打开了通向全球冷战的大门。  

  • 沈志华:朝鲜战争爆发的历史真相

    本文刊载于《二十一世纪》2000年2月号。

       在对冷战和朝鲜战争的研究中,关于朝鲜战争爆发的历史真相,一直是历史学家争论不休、众说纷纭的课题。在90年代以前,国际学界存在着新旧传统学派和修正学派之分。随着朝鲜战争的俄国解密档案陆续公布以后,这些派别之间的界限模糊了,大多数学者认为金日成发动了这场战争,斯大林为北朝鲜开放了绿灯,而毛泽东对此则表示同意和支持。总体来说,这种分析是接近于历史真实的,但是如果只是笼统地坚持这种说法,似乎证实了以往「共谋派」的理论。所以,笔者以为仍然有必要对某些细节进行更为深入的探讨,特别是关于北京在发动这场战争中所处的地位及其所持的立场。  

       本文拟在整理和分析大量俄国解密档案的基础上,进一步分析苏联、朝鲜和中国在朝鲜战争爆发过程中各自的作用、立场,以及三者之间的微妙关系。  

       一 金日成积极策划战争  

       1945年10月10日,金日成率66名在苏联哈巴罗夫斯克受训的朝鲜军官乘坐苏联「普加乔夫」号货轮在元山港上岸,不久后被苏联军政府选中,作为北朝鲜领导人。苏联人之所以要用金日成替换此前扶植的民族主义领袖曹晚植,其实与莫斯科对朝鲜半岛政策的变化有关。  

       战后初期,苏联与美国在远东地区既有矛盾,又需合作,既要划分势力范围,又要避免直接冲突,朝鲜半岛上三八线的确定就反映这一状况。战后苏联在朝鲜的目标最初是试图通过托管或其它方式,与美国合作在朝鲜建立一个与苏联保持友好关系的统一的朝鲜政府。与美国矛盾日渐加剧后,苏联的目标则转为加强朝鲜北方的政治、经济力量,并在此基础上促进朝鲜民族的统一,从而保证通过全朝鲜普选建立的统一政府实行对苏友好的政策。在朝鲜南北双方先后实行选举,并建立各自的政府后,苏联又提出美苏同时从朝鲜半岛撤军,而且首先实行了单方面撤军,其目的无非是为了表示苏联在远东地区的和平愿望,敦促美国撤军。莫斯科一方面满足于通过共产党对北朝鲜的控制,一方面相信金日成有能力对抗南方,因此可以实现其在朝鲜半岛遏制美国而不发生直接冲突的设想。  

       然而,自从三八线划定以后,南北朝鲜就一直处于紧张的对立状态。金日成始终认为只有通过革命战争的手段才能解放全朝鲜并实现统一,而李承晚也主张加强军备,积极北进。特别是朝鲜南北双方分别成立了各自的政权机构和苏联占领军撤出朝鲜半岛以后,朝鲜半岛的形势更趋恶化,三八线附近的摩擦和交火事件不断发生。从1949年年初,苏联驻朝鲜使馆不断向莫斯科发出有关南朝鲜可能发动进攻的告急电报。金日成完全明白,要实现自己的目标,必须得到莫斯科的首肯和帮助,于是提出了与苏联建立秘密同盟的要求。在遭到莫斯科婉言拒绝之后,金日成便提出直接面见斯大林,以摸清苏联的意图和态度。但此时斯大林的战略重点还在欧洲,他一方面通过组建共产党情报局和整治南斯拉夫共产党,构造了以莫斯科为中心的社会主义阵营,意在稳定与西方抗衡的阵脚。另一方面,面对美国和西方国家的强硬立场,斯大林在解决柏林危机的过程中采取了忍让和退缩的立场,对双方整体实力的认识迫使苏联放弃与美国公开冲突的做法。在这种情况下,斯大林自然不会同意在朝鲜半岛引发一场可能导致美国干预的战争。在3 月初与金日成的会谈中,斯大林只是轻松地询问了南北双方军事力量的对比情况,以及三八线附近发生小规模军事冲突的结果,并对金日成充满信心的答复表示满意。至于金日成所要求的军事援助,莫斯科只是同意帮助装备在三八线驻防的两个朝鲜警备旅,并决定让苏联海军分队继续留驻清津港协助朝鲜进行防御。到1949年夏季,南北双方的紧张局势进一步加剧,特别是在美国撤军前后,南朝鲜李承晚政权不断发出战争叫嚣,并一再对北方进行军事挑衅和边界侵犯。据苏联大使什特科夫和金日成的通报,「进攻北方的作战计划已经制订」,并将在 7 月发动进攻。但斯大林除了应金日成的不断要求,同意向平壤增加武器装备的援助,以保证北朝鲜不受侵犯外,并没有采取进一步的行动。莫斯科甚至批准了什特科夫提出的在美国撤军后,撤除苏联在清津港的海军基地及在平壤等地的军用机场的建议,以免这些设施被朝鲜人民军利用,从而使苏联在国际局势中处于被动地位。苏联此时的主张是在北朝鲜建立祖国统一民主阵线,通过在全朝鲜进行普选实现和平统一。  

       金日成不甘心自己的宏伟计划受阻于莫斯科,于是转过来试探毛泽东的态度。1949年5 月,金日成派人民军政治部主任金一秘密访问北平,与中共领导人商谈将中国人民解放军编成中朝鲜师转属人民军的问题,并表露了准备采取军事行动的意向。毛泽东一向主张「枪杆子里面出政权」,自然会支持金日成的想法。不过,在中国的革命战争尚未结束,国家尚未统一的情况下,中共很难赞成北朝鲜的计划。毛泽东答应在需要的时候,可以把中共军队中的两个朝鲜师转给北朝鲜,如果朝鲜半岛发生战争,中共「将提供力所能及的一切援助,特别是上述师的给养和武器」。但是,毛泽东「劝告朝鲜同志」,即使在美国撤军而日本人也没有回来的情况下,也「不要向南朝鲜发动进攻,而是等待更有利的形势」。  

       尽管如此,金日成还不死心。面对来自南方的威胁,金日成主张变被动为主动,他踌躇满志地认为这是通过军事手段实现朝鲜统一的有利时机。为此,在积极调动军队进行防御部署的同时,金日成于7 月初下令三八线地区的各部队进入战斗准备状态,并「决定将中国人民解放军的朝鲜师调回朝鲜:沈阳师配置在新义州,长春师配置在罗南」。做好准备之后,9 月3 日金日成的私人秘书文日向苏联使馆通报,南朝鲜最近企图夺取瓮津半岛三八线以北的部分地区,并炮击海州市的水泥厂。因此,金日成请求准许对南方采取军事行动,夺取瓮津半岛及其以东到开城附近的部分南朝鲜地区,以缩短防线。如果国际局势允许,还准备继续向南方挺进。金日成相信,他们能够在两周,至多两个月内,占领南朝鲜。苏联驻朝鲜使馆代办顿金应维辛斯基的要求对情况进行了核实后,于9 月14日向莫斯科报告了南北朝鲜军事力量的详细情况、金日成的考虑以及他本人对这一问题的看法。报告说,「金日成认为南朝鲜军队的战斗力不强」,北方军队「在技术装备(坦克、火炮、飞机)、纪律、官兵训练素质,以及士气等方面,均优越于南方军队」。如果进攻顺利,「可以继续向南方挺进」。金日成和外务相朴宪永还认为,当朝鲜发生内战时,美国不会直接出兵干预。但顿金本人认为,金日成计划的局部性战争必然导致朝鲜爆发内战,而北方军队还未强大到足以在速决战中取胜,同时,「不论在军事上还是政治上,持久内战对北方都是不利的」。不过,什特科夫大使却赞同金日成的计划。他认为,「南朝鲜政府的政治地位是不牢固的」,朝鲜半岛的形势对北方有利。尽管不排除「美国人将干预这场冲突并给南朝鲜提供积极帮助」的可能性,而人民军的数量及其拥有的物质力量现在还不能保证完全粉碎南方军队和占领南朝鲜,但他仍然认为,「发展朝鲜南部的游击运动并给予各种各样的支持和领导是可能的和适宜的」,在有利的形势下,可以借口「南朝鲜人在三八线上的挑衅」,「占领瓮津半岛和开城地区」。经过慎重的研究和讨论,莫斯科还是否决了金日成的计划。9 月24日,联共(布)中央政治局做出决议,责成什特科夫严格按照决议的文本向金日成和朴宪永声明:「由于目前北朝鲜的武装力量与南朝鲜相比没有占必不可少的优势,因此不能不承认,现在进攻南方是完全没有准备好的,所以从军事角度看是不允许的。」由于南方的游击运动和群众斗争没有积极开展起来,建立解放区和组织人民起义的工作进行得很少,「从政治方面看,你们建议的对南方的进攻也是没有做好准备的」。此外,进攻瓮津半岛和占领开城地区的局部战役就意味着「朝鲜南北战争的开始」,而战争的持久性「可能给美国人对朝鲜事务进行各种干涉提供借口」。所以,「目前争取朝鲜统一的任务要求集中最大力量:第一,开展游击运动,建立解放区,在朝鲜准备全民起义,以便推翻反动政权和成功地解决整个朝鲜统一的任务;第二,进一步全力加强人民军」。显然,斯大林认为在朝鲜发动战争的条件尚未成熟。斯大林的决定令金日成感到沮丧,但他虽然勉强接受了莫斯科的意见,却还是继续积极备战。10月14日,三八线附近又发生了激烈战斗。北朝鲜第三警备旅攻击侵入三八线以北1.5 公里法音山高地的南朝鲜军队,并占领了这两个高地。由于苏联大使和军事顾问事前参与讨论并默许了这一军事行动,而事后又未向斯大林报告,莫斯科对此极为恼怒,葛罗米柯严厉地指责什特科夫没有「严格地、坚定地」执行「禁止未经中央允许而向北朝鲜政府建议对南朝鲜采取积极行动」的指示以及「中央关于防止三八线形势复杂化的指示」,并对他提出警告。  

       看来,金日成想要采取军事行动,必须等待莫斯科开放绿灯。  

       二 斯大林参与策划战争  

       然而,仅仅两个月以后,斯大林便给金日成发放了走向战争的通行证。  

       1950年1 月19日莫斯科收到什特科夫发来的报告,在一次小范围的宴会后,金日成借着酒意激动地对苏联使馆人员说,在中国完成其解放事业后,现在的问题就是如何解放祖国南方的人民。「朝鲜南方的人民信任我,并指望我们的武装力量。游击队不能解决问题。南方人民知道我们有一支优秀的部队。最近我夜不能寐,考虑着如何解决统一全国的问题。如果解放朝鲜南方人民和统一祖国的事情拖延下来,那么我就会失去朝鲜人民的信任。」金日成希望「同斯大林会面,讨论南方的形势和向李承晚军队发动进攻的问题」。如果不能同斯大林会面,那么他想去见毛泽东。金日成还指责苏联不允许他进攻瓮津半岛,否则人民军在三天之内就能成功,「如果发动一场全面进攻,几天之内就可以进入汉城」。与苏联使馆人员采取的回避态度不同,这一次斯大林却出人意料地改变了主意。经过一番考虑,1 月30日斯大林亲自回电说:  

       我理解金日成同志的不满,但他应当明白,他想对南朝鲜采取如此重大的举措,是需要有充分准备的。这件事必须组织得不冒太大风险。如果他想同我谈此事,那么,我随时准备接见他并同他会谈。请把此事转告金日成并且告诉他,在这件事上我准备帮助他。在迄今看到的档案文献中,这是斯大林第一次同意在战争问题上帮助金日成。对此,金日成十分满意,并立即表示随时准备着斯大林的接见。那么,究竟发生了甚么事情,使得斯大林在如此短暂的时间里改变了对朝鲜问题的看法?  

       研究者注意到,此间发生了一件苏联外交史上的重大事件,即毛泽东访苏和中苏同盟新条约的签订,而这次中苏最高领导人之间谈判的结果是迫使斯大林同意重新签订中苏条约,从而使苏联被迫放弃其在远东以中国东北为基础的政治和经济权益,即中国立即收回大连港,并在2-3 年内收回中长铁路和旅顺港。把蒙古从中国的版图中独立出去,在俄罗斯南部形成广阔的安全地带;恢复沙皇俄国在中国东北的势力范围,保证苏联拥有通向太平洋的出海口和不冻港,这是斯大林确定的苏联战后在远东的两个战略目标,而控制中国长春铁路和旅顺、大连港,正是苏联实现其远东战略的基本途径。除了既成事实的蒙古问题,莫斯科最担心的事情终于发生了:1945年中苏条约所保证的苏联在满洲的权益眼看就要被毛泽东提出的新条约断送掉,斯大林必须采取补救措施。而处于朝鲜半岛中部和南部的元山、仁川、釜山和济州岛的几个港口,早在1945年就是苏联外交部注意的目标了。于是,为了保证苏联在远东地区的战略利益,把整个朝鲜半岛纳入莫斯科的势力范围就势在必然了。恰在此时,美国总统杜鲁门(Harry Truman)和国务卿艾奇逊(Dean Acheson)发表的关于南朝鲜不在美国防御范围的演说,又为斯大林实现对朝鲜政策的改变创造了条件。  

       毛泽东还没有离开莫斯科,斯大林便集中精力去解决朝鲜问题了。为了加强北朝鲜的军事力量以及人民军的组织和指挥能力,莫斯科同意金日成再组建三个步兵师,并把苏联政府将于1951年提供的贷款用于1950年,以便为新组建的部队购买苏联装备。斯大林还任命瓦西里耶夫中将为朝鲜人民军军事总顾问,替代自苏联从朝鲜撤军后兼任这一职务的苏联大使什特科夫。此后,苏联便开始大规模向朝鲜提供武器装备。3 月9 日,朝鲜照会苏联,「为了给人民军补充装备、弹药和技术器材并加强人民军,请苏联政府于1950年按照以前提交苏联政府的申请单向朝鲜提供1.2-1.3 亿卢布的军事技术装备」,朝鲜则相应地保证向苏联提供价值1.33亿卢布的黄金、白银和钼精矿。随后,金日成提供了所需武器装备的详细清单。莫斯科立即答复,同意朝鲜提前使用1951年的贷款购置武器装备。斯大林还亲自致电告诉金日成,对于「朝鲜人民军所需装备、弹药和技术器材」,苏联政府决定「完全满足您的这一请求」。在进行物质准备的同时,3 月20日,金日成要求于4 月初秘密访问莫斯科,并提出将与斯大林讨论「国家南北统一的途径和方法」及「经济发展远景」等问题。在一份「金日成提请斯大林同志帮助解决的问题」的清单中,明确写道:「关于统一国家(南方和北方)的途径和方法,拟采用武装方式统一。」此外,还提到与毛泽东会晤和同中国签订条约的问题。得到同意后,金日成和朴宪永于3 月30日起程前往莫斯科。  

       关于斯大林与金日成秘密会谈的具体内容,目前在俄国档案中尚未发现任何文字纪录,研究者引用的都是当事人的回忆。据说,金日成在会谈中报告,朝鲜北方和南方都正在为统一做准备,但形势对北方更有利。朴宪永则以热烈的言语描述了反李承晚政权的抵抗运动形势,他说:「人数达20万的南朝鲜共产党支部已经准备好在北方发出第一个信号时起义,南方人民一直在等待着土地改革和其它在北方已经实行的民主改革。」朝鲜领导人所不放心的只是不知道在统一问题上采取战争形式,朝鲜人民会怎样反应。对此,斯大林讲了拉伯雷(Fran?ois Rabelais)《巨人传》(Gargantua et Pantagruel )中羊群的故事。他说,人民和羊群一样,他们跟着头羊,而不论头羊走到哪里。莫斯科担心的问题是一旦爆发战争,美国会否出兵干涉。据金日成的译员文日回忆,金日成立即向斯大林保证,美国不会参与这场战争,理由是,这是一次果断的突袭,因为将会有20万南朝鲜共产党员进行起义,加上南方游击队对朝鲜人民军的支持,进攻将在三天之内取得胜利。这样,即使美国有心干预,也没有时间进行军事准备和部署。此外,1966年苏联外交部曾向勃列日涅夫等领导人提交了一份《关于朝鲜战争的背景报告》,其中提到金日成在这次会谈时向斯大林提出了发动战争的战略部署,即朝鲜政府准备分三步实现他们的目标:(1 )在三八线附近集结部队;(2 )向南朝鲜发出和平统一的呼吁;(3 )在南朝鲜拒绝和平统一的建议后开始军事行动。该报告确认,斯大林「对朝鲜人所拟方案的最终认可,是在1950年3 月至4 月金日成访问莫斯科期间」。  

       总之,完全可以断定,斯大林是在1950年1 月至4 月间决定支持并帮助金日成发动统一朝鲜半岛的战争的。显然,与美国在朝鲜半岛采取防御和退守政策的同时,苏联直接参与了战争的策划和准备。  

       三 毛泽东接受既成事实  

       不过,在斯大林和金日成发动战争的日程表上还有一个问题需要处理,即在朝鲜半岛采取军事行动必须征得毛泽东的同意。因为就在几个月前刘少奇秘密访苏期间,斯大林建议,在国际革命运动中,中苏两家都应多承担些义务,而且应该有某种分工,希望中国今后多担负些对殖民地、半殖民地附属国家的民族民主革命运动方面的帮助。斯大林还说,马克思和恩格斯逝世以后,革命中心由西方转移到了东方,而现在又转移到了中国和东亚。因此,中共「应当履行对东亚各国革命所承担的责任」。斯大林不能出尔反尔。  

       然而,在新中国建立之初,全国工作重心已经转向经济建设,部队正准备大规模复员,至于军事战略目标,只剩发动解放台湾的战役了。当时,中共在东南沿海集中了16个军的兵力,而在比邻朝鲜的整个东北地区,只有几个担任地方警备任务的公安师和一个集体转业、开荒种地的第42军。因此,毛泽东此时无论如何不愿意看到在中国北方邻国发生一场可能导致美国干涉亚洲事务的战争。  

       对此,斯大林心里是十分清楚的。早在1949年6-8 月中共中央代表团访苏期间,毛泽东就特意让刘少奇将中共解放台湾的计划转告斯大林,并要求苏联提供援助。得知斯大林拒绝了中共的请求后,1949年12月16日毛泽东在莫斯科第一次与斯大林会谈时,再次婉转地提出了同样问题。而且就在毛泽东访苏前夕,斯大林还与毛泽东交换了对朝鲜政策的意见,他们从不同的角度出发,都认为北朝鲜此时不宜采取进攻性的军事行动。毛泽东在去电中说,朝鲜同志想通过武力解决南朝鲜问题,中国领导人曾劝阻他们不要这样做。斯大林回电说,完全同意中国同志的意见,不应在朝鲜开始一场战争,不能用军事手段统一朝鲜。正因为如此,尽管斯大林已经考虑了要在朝鲜半岛发动战争的问题,但他对正在莫斯科作客的毛泽东却只字未提。出于同样的理由,斯大林在与金日成讨论并决定了将采取军事行动以后,明知此事必须征得毛泽东的同意,却不便亲自出面,所以只能劝金日成去见毛泽东。  

       其实,朝鲜所处的政治地位使金日成比斯大林更懂得在东亚地区采取如此重大的举措,一定要得到毛泽东的支持。于是,在斯大林对自己的意向已经表示赞同的情况下,金日成指示朝鲜驻华大使李周渊拜访毛泽东,提出访华的要求。3 月底,毛泽东在会见李周渊时,表示同意金日成访华。估计到金日成可能要谈进攻南朝鲜的问题,毛泽东在谈话时指出,「如果已经有了统一朝鲜的具体计划,那么会晤必须秘密进行」。毛泽东还谈到,「如果爆发第三次世界大战,朝鲜不可避免也要参战」,因此必须做好军事准备。当李周渊把会谈的情况报告到平壤时,金日成已经起程赴莫斯科了,于是,朝鲜内阁副首相金策委托苏联使馆将这一消息转告金日成。值得注意的是,在李周渊的报告中,并没有提及会谈时毛泽东曾表示同意在朝鲜发动进攻的计划。但金日成在5 月12日会见什特科夫时却通知他,毛泽东会见李周渊时说:「用和平方式是不能统一朝鲜的,统一朝鲜必须要用武力才行。」金日成的说法不可信,他这样做显然是为了打消斯大林的顾虑,以取得莫斯科在发动战争问题上的绝对支持。实际上,金日成对莫斯科谎称中共支持他采取军事行动,已经不是第一次了。例如前面提到的关于1949年5 月金一与中共领导人会谈的情况,联共(布)驻北平代表柯瓦廖夫报告说,中共支持对南朝鲜的进攻实行反击,但劝告朝鲜不要主动进攻。而金日成向莫斯科的通报中却有意含糊其辞,说中共表示将在未来的战争中援助朝鲜。不管金日成有何考虑,毛泽东毕竟到此时还不知道平壤和莫斯科已经就发动战争这样的大事达成了默契。所以,尽管金日成认为他不需要中国的帮助,「因为他的一切要求在莫斯科已经得到满足」,但还是要遵照斯大林的指示去见毛泽东,「通报以武力统一国家的意图和在莫斯科会谈此问题的结果」。  

       5 月13日晚,金日成一行秘密到达北京,并当即与中共领导人进行了会谈。目前尚未发现有关这次会谈具体内容的档案文献,但根据罗申向莫斯科的报告看,第一次会谈并不顺利,会谈在开始进行的当天晚上便中断了。罗申在电报中说:13日晚23时30分,周恩来到苏联大使馆,要求立即向菲利波夫(斯大林)报告「毛泽东委托转告」的事项。「朝鲜同志通知了菲利波夫同志的如下指示:现在的形势与过去不同了,北朝鲜可以开始行动了;但这个问题必须与中国同志和毛泽东本人讨论。」「毛泽东同志想要得到菲利波夫同志本人对这一问题的说明。」电报最后说:「中国同志请求速速回电。」显然,鉴于金日成所说情况事关重大,且斯大林不久前还明确表示反对在朝鲜采取军事行动,中国领导人心有疑惑,故必须要求莫斯科给以证实。直到这时,斯大林才第一次向中国领导人表明,苏联在这一问题上的态度已经发生了变化。5 月14日维辛斯基转来斯大林给毛泽东的电报:  

       在与朝鲜同志的会谈中,菲利波夫同志和他的朋友们提出,鉴于国际形势已经改变,他们同意朝鲜人关于实现统一的建议。同时补充一点,这个问题最终必须由中国和朝鲜同志共同解决,如果中国同志不同意,则应重新讨论如何解决这个问题。会谈详情可由朝鲜同志向您讲述。  

       看似平和的话语,却透着莫斯科的强硬态度。作为东亚地区革命事业的「负责人」,毛泽东自然应支持朝鲜的革命行动。面对斯大林的压力,毛泽东表示同意在解放台湾之前先解决朝鲜的统一问题。  

       这里还有一个问题需要说明。毛泽东在访苏期间曾批准中国军队中的朝鲜师带装备回国,此事难道不是说明中苏领导人共同策划了战争的准备吗?关于战前中国军队赴朝问题,过去因缺乏资料,不甚明白。现在情况清楚了:就毛泽东的动机而言,朝鲜师回国与朝鲜战争没有关系。在日本占领朝鲜期间,有很多朝鲜人进入中国东北境内,参加了中共的抗日军队。内战时期,中共东北部队中又增加了许多满洲朝鲜族战士。抗日战争结束后,便陆续有朝鲜战士回国,较为集中的是由武亭率领的包括一千名朝鲜籍士兵的一个团。1949年5 月金一到北平时,向毛泽东转交了一封朝鲜劳动党中央的信,请求必要时把中国人民解放军编成中的朝鲜师转属朝鲜政府。毛泽东指出,在解放军的三个朝鲜师中,有两个驻扎在沈阳和长春,另一个正在南下作战。中共随时准备把驻扎在东北的两个师连同全部装备,移交给朝鲜政府。另一个师只有等战争结束后才能从南方回来。金一走后,毛泽东便指示在东北的高岗,准备安排驻扎在沈阳和长春的两个朝鲜师于1949年7 、8 月回国。这两个师,即李德山任师长的164 师(实员10, 821 人)和方虎山任师长的166 师(实员10,320 人),当时均属东北军区建制,于1949年7 月进入朝鲜。毛泽东所说的另一个朝鲜师回国的问题是六个月后提出的。1950年1 月初,林彪给正在莫斯科访问的毛泽东打电报称,这 16,000 余名朝鲜人组成的部队在进军华南后,情绪出现波动,有些人要求回国。因战争即将结束,故希望把他们合并为一个师或4-5 个团送回国。中国方面随即与朝鲜联系,通知金日成,「由于作战行动结束,中国人民军队中现有的朝鲜族部队正在逐渐闲下来,如朝鲜政府愿意,可以转交」。金日成提出把中国军队中现有的朝鲜人按朝鲜师的编制,在中国组成一个步兵师,下设两个团,其余官兵用于补充摩托车团和机械化旅,并派人民军作战部长金光侠到中国洽谈此事。1 月11日主持中央工作的刘少奇同时致电林彪和朝鲜方面,同意朝鲜师回国,部队由朝鲜来人就地改编,4 月间更换夏装回国。1 月28日林彪得到通知,金日成已派人来武汉接收朝鲜部队。  

       从时间上看,在中国处理朝鲜师回国的问题时,毛泽东是反对金日成向南方发动进攻的,斯大林也没有同意金日成的军事计划。因此,中国军队中的朝鲜士兵回国,决不能说明中国领导人当时就参与了战争的策划。1949年同意朝鲜师回国,是因为毛泽东担心北朝鲜受到南方的攻击,从而出于国际主义立场对朝鲜革命政权表示同情和支持。 1950年批准朝鲜师回国,一方面是因为朝鲜战士有回国的意愿,一方面也是因为中国领导人已经在考虑军队复员和减少军费开支的问题了。因此,怀廷(Allen S. Whiting)很早以前就得出的结论是有说服力的:这些帮助中国革命的朝鲜士兵回国是很自然的事。不过,当最后一支朝鲜师于4 月18日到达元山时,金日成和斯大林在莫斯科已经下决心要进行一场战争了。因此,从客观上讲,三个经过战争锻炼的朝鲜师回国,对于金日成成功地发动突袭,的确起了相当重要的作用。  

       四 朝、苏联合发动进攻  

       至此,通向朝鲜战争的道路对于金日成来说已经畅通无阻,需要的只是确认和实施具体的作战计划了。  

       根据人民军总参谋部作战部长俞成哲的回忆,5 月上旬苏联大量调换了在朝鲜人民军中的苏联军事顾问,用作战参谋替换了那些以个人名义在朝鲜负责军事训练的军人,并为朝鲜军队制订了「先发制人的进攻作战计划」。到 5 月底,朝鲜人民军总参谋部和苏联军事顾问团联合向莫斯科报告,朝鲜人民军向三八线集结的行动已经准备就绪。在金日成的坚持下,军事行动开始的时间确定在1950年6 月25日。接着莫斯科又接到报告说,按照进攻计划,朝鲜人民军每天可推进15-20 公里,预计主要的军事行动在22-27 天之内完成。  

       6 月25日,北朝鲜军队依照计划大举越过三八线,向南朝鲜发动了进攻。现在披露的6 月26日什特科夫给斯大林私人军事代表扎哈罗夫大将的报告,详细说明了战争开始前后的真实情况:  

       人民军在三八线地区的集中开始于6 月12日,结束于6 月23日,完全按照总参谋部的计划进行。各部队的调动组织严密,未发生意外。敌军的侦察大约已发现各部队的调动,但各部队的计划及行动开始时间均得到严格保密。  

       各师作战计划制订及地形侦察过程均有苏联顾问参加。  

       战役全部准备措施已于6 月24日完成。6 月24日已向各师师长发出(战争开始日代号)和(发起进攻日代号)的命令。各部队均宣读了民族保卫省的政治命令,其中指出南朝鲜军队侵犯三八线,挑起军事进攻;朝鲜民主主义人民共和国政府发布了关于朝鲜人民军转入反攻的命令。  

       朝鲜人民军官兵以高涨的热情听取了关于反攻的命令。各部队于6 月24日24时进入出发位置。军事行动于当地时间(25日)4 时40分开始。进攻前的炮火准备进行了20-40 分钟,其中包括定位瞄准和10分钟炮轰。随后,步兵开始行动,迅速展开进攻。在开始的3 小时后,个别部队与军团已向前推进了3-5 公里。人民军部队的攻击完全出乎敌军的意料。敌军仅在瓮津、开城与汉城诸方向进行了顽强抵抗。而较有组织的抵抗则在第一天12个小时以后才开始。战斗第一天攻克的城市有:瓮津(瓮津方向)、开城、松隅里。

    (地图1 :1000000 ,1943年总参谋部印制)

    在春川方向,人民军部队推进了12公里。在东部海岸推进了8 公里。就在第一天,朝鲜民主主义人民共和国海军即有两支登陆部队在日本海沿岸登陆:第一支登陆部队在江陵地区,包括两个营的海军登陆部队和约1 ,000 名游击队员;第二支登陆部队在蔚珍地区,包括600 名游击队员。登陆部队于6 月25日5 时登陆,整个过程进展顺利。游击队登陆部队攻占了蔚珍市及其周围的若干乡镇。在登陆部队登陆过程中,人民军军舰与南朝鲜军队的舰艇曾发生战斗。战斗结果有一南方扫雷舰被击沉,另有一扫雷舰被击毁。朝鲜民主主义人民共和国海军没有伤亡。6 月26日,人民军部队继续进攻,在战斗中不断向南朝鲜领土纵深推进。在6 月26日一天的时间内(从右至左)彻底扫荡了瓮津半岛、开城地区;第6 师的部队强渡海湾并攻占了金浦机场方向的居民点。在汉城方向,第1 、4 师攻占了汶山、东豆川等城市,第2 师攻占了道府春川市。在日本海沿岸一带,部队的推进仍在继续。注文津港已被攻克。与在洪川方向移动的第12步兵师、越过松隅里在议政府方向进攻的第3 步兵师及机械化旅整整一天没有联系。  

       以上情况充分表明,苏联参与了进攻南朝鲜军事行动的所有策划、准备和实施过程,只是为了避免引起美国的干预和遭到世界舆论的指责,斯大林采取了较为隐蔽的措施。战争爆发前五天,什特科夫报告说,金日成要求苏联提供进攻和登陆需用舰只以及作为驾驶舰只的十名苏联顾问。斯大林立即答复,拒绝这些要求,以免为美国进行干涉提供借口。在进攻开始时,斯大林还下令召回在朝鲜人民军前线部队中的所有苏联顾问。当时赫鲁晓夫询问其中的原委,斯大林回答说:「我们不想留下证据被人家指控我们参与了这件事。」  

       然而,毛泽东对战争的准备过程和具体计划却毫不知情。或许是考虑到中国正在加紧准备进攻台湾,或许是估计到美国不会干涉从而不需要也不希望中国介入,总之,斯大林和金日成对中国封锁了消息和情报。据一位前北朝鲜高级军需官回忆,在战争爆发前,所有苏联援助的武器都是从海路,而不是通过中国铁路运抵朝鲜的,这样做的目的是不让中国获知朝鲜的准备工作。以至朝鲜战争爆发的最初消息,毛泽东竟是从外国报纸上得知的。战争爆发后第三天,金日成才派一名校官到北京通报情况。毛泽东对此十分不满,事后对师哲说:「他们是我们的近邻,战争爆发也不和我们商量,现在才来打招呼。」  

       金日成在信心十足、踌躇满志的时候,显然不希望中国插手朝鲜事务,而斯大林在考虑改变对朝鲜半岛的政策时,对于这位新的盟友有两点顾忌:既担心毛泽东在事前反对莫斯科的决定,又担心局势发生困难时毛泽东会置身事外,不听从莫斯科的指挥。所以,斯大林一方面要中国同意发动战争,一方面又对中国封锁消息。经过这样周密的安排,不但可以保证苏联的战略决策被顺利接受,又可以保证苏联的战略目标得以实现。显然,如果战争进展顺利,即使失去东北,其结果还是可以保证苏联在远东的战略利益;如果出现危机和困难,则有中国这个盟友来承担责任,其结果同样可以实现苏联的既定目标。  

       五 结论  

       结论一:金日成在1949年就提出通过军事手段推进革命,完成统一大业。然而,此时斯大林在朝鲜半岛的目标是维持三八线现状,避免与美国发生直接的冲突,因此莫斯科严厉禁止金日成发动战争。毛泽东在中国革命尚未取得最后胜利的时候,也表示无法援助北朝鲜的军事行动。  

       结论二:1950年初毛泽东访苏,迫使斯大林签订了新的中苏条约,其结果是苏联将要失去通往太平洋的出海口和不冻港。为了保持苏联在远东的战略目标,斯大林必须实现对整个朝鲜半岛的控制,以替代在中国东北丧失的战略地位。于是,莫斯科决定积极支持北朝鲜发动突击战,迅速统一朝鲜半岛。  

       结论三:由于新中国刚刚成立,并且正在准备解放台湾的战役,毛泽东仍然不希望朝鲜在此时发生一场可能给中国安全造成威胁的战争。但是,作为亚洲革命的负责人,毛泽东又无法拒绝金日成的要求,特别是在斯大林已经表态之后,中国只能接受既成事实。  

       结论四:在毛泽东表示原则上同意金日成采取军事手段之后,朝鲜和苏联对战争的秘密准备已经接近尾声,但却没有向北京透露其军事计划和行动的任何细节。1950年6 月25日凌晨,在苏联大规模的军事援助下,金日成发动了后世所称的朝鲜战争。  

       这就是近年来俄国解密档案给人们勾勒的关于朝鲜战争爆发的历史画面。

    附:沈志华:中朝关系历史真相

      在目前复杂多变的现实国际政治中,朝鲜的行为和变局是中国要应对的最重要的周边问题之一,中国要处理好现实问题,首先应理清历史。从俄罗斯、东欧、美国已解密的档案材料来看,我对1946年~1969年的中朝关系做了总结。

      第一阶段,1945—1949年。在各自夺取和建立革命政权的道路上,中国共产党与朝鲜劳动党互相帮助,携手合作,双双加入了以苏联为首的社会主义阵营。在莫斯科的支持和帮助下,金日成稳固了其对朝鲜北方的统治,毛泽东则一举夺得中国大陆的政权。中朝之间形成“唇齿相依”的关系,在历史上传统的地缘因素中,注入了革命和“兄弟”的元素。

      第二阶段,1950—1956年。在朝鲜战争时期,中朝领导层之间冲突迭起,关系紧张,中朝关系绝非表面显现出来的亲密友好。实际上,在如何解决朝鲜统一、何时需要中国援助、志愿军由谁来指挥、中朝联军越过三八线后是否继续南进以及朝鲜铁路管理权的归属和停战时机的掌握等一系列战略决策或重大问题上,中朝之间都存在严重分歧和矛盾。尽管此前朝鲜一直依赖苏联的支持和帮助,但是在战争期间中国因其所处地位往往起到主导作用,所以,面对中朝之间的重大分歧和矛盾,斯大林都支持了毛泽东。由此,在金日成的心理上留下了阴影。中国人在朝鲜流了很多血,但并未在中朝领导人和两国之间凝成深厚友谊。毛泽东为了战后继续保持中国在朝鲜问题上的发言权,决定给予朝鲜大规模的经济援助。朝鲜的战后重建工作,主要是在中国、苏联、东欧等社会主义阵营国家的援助下完成的。中国虽然经济实力远不如苏联,且自身亦在战争中遭受严重损失,但援助朝鲜的力度大大超过苏联。金日成对此有感于怀,但在公开场合强调的是“自力更生”,很少谈及中国和苏联的援助。

      早在战争后期,金日成便开始树立其统治权威,朝鲜劳动党第三次代表大会全面改组领导结构,引起各派反对。苏共二十大以后,金日成不愿接受莫斯科的新方针。延安派和苏联派联合起来,试图利用苏共对金的不满展开对金日成的批判,1956年8月在中央全会上矛盾爆发,金日成控制局面后,将反对派打成反党集团,延安派部分干部逃亡中国。毛泽东与苏共代表团商量后派米高扬和彭德怀率团赴平壤,强迫金日成收回成命。金日成在北京和莫斯科的高压下被迫承认错误,中朝关系由此陷入严重危机。

      第三阶段,1957—1965年。期间,韩国政府面临极大的内部压力,政权频繁更迭,无力向北方发起武装挑衅,美国则专注于推动韩国经济复兴。这一切在客观上为朝鲜经济、社会发展提供了理想的安全环境。从社会主义阵营内部关系看,波匈事件后,中、苏注意力转向欧洲,且两国关系渐趋恶化,朝鲜在中苏之间左右逢源。金日成个人权威得以树立的另一个重要因素是中国立场的改变。苏共二十大以后,中共和毛泽东在社会主义阵营的地位和威望日益崛起,逐渐成为在国际共运中与苏共平起平坐的领导者。为了争取更多的支持者,建立中国的地缘优势,1957年底毛泽东改变对金日成的态度,主动承认错误,并表示同意其国内政策,甚至答应全部撤回在朝志愿军。于是,中朝关系得以恢复。

      随着中苏分歧不断加深,双方都有意拉拢朝鲜。中国在极其困难的情况下,向朝鲜提供了大量粮食。赫鲁晓夫则向金日成出示了毛泽东1956年严厉批评金日成的谈话记录。金日成在北京与莫斯科之间搞外交平衡,最有代表性的是朝鲜在1961年同时与苏联和中国分别签订了同盟条约。由于赫鲁晓夫坚持的和平共处对外方针有违朝鲜的外交取向,加上苏联对外援助大大减少,朝鲜在中苏争斗的过程中,倒向毛泽东,积极加入对修正主义的批判。为了拉住平壤,在无力继续提供大量经济援助的情况下,中国从政治利益出发,在处理朝鲜侨民和东北朝鲜族边民跨境流动的问题时,往往依从朝鲜的主张,甚至在中朝边界纠纷问题上做出重大让步,把历史上一直处于中国境内的长白山天池大部划给了朝鲜。此外,毛泽东一再表示,中国东北就是朝鲜的后方,一旦发生战争便交给朝鲜管理。中朝关系由此渐入佳境,并达到最高峰。

      第四阶段,1966—1969年。勃列日涅夫执政以后,调整了赫鲁晓夫的对内、对外政策,加大对朝经济和军事援助力度,金日成对苏联的态度随之缓和。接着中国爆发“文化大革命”,极“左”的外交路线把朝鲜劳动党也作为修正主义加以指责和批判,红卫兵又在中朝边界制造了一系列麻烦,引起金日成极大不满,曾向苏联表示决不会屈从“中国路线”。朝鲜迅速倒向苏联,加入反华大合唱。中朝关系由此一落千丈,很快便从高峰跌入谷底。

      长期以来,中国对朝鲜的态度都受限于历史造成的“预设性”前提,实际上,我们应该把朝鲜当做一个普通的国家看待。不要谈战略屏障,实际上,二战以后到60年代,远程导弹的发明和普遍的部署运用使传统的地理上的战略屏障已经不具有军事意义。

      我并不认为朝鲜对于中国具备什么特殊的意义,相反,正是长期以来中朝关系的两个“神话”造成了中国在对朝关系和国际事务上不必要的束缚。一个是认为朝鲜是一个“正统的”社会主义国家,在制度上符合马克思主义;另一个是认为朝鲜是中国的兄弟国家,与中国有着用鲜血凝成的传统友谊。在这种认识的基础上,中国对朝鲜无条件支持和友好的外交便成为似乎不可动摇的国策,而在外部世界看来,朝鲜的问题就是中国的问题,似乎中国理应承担朝鲜问题的责任。这是中国外交政策的一个困境,应该把朝鲜当成一个普通的国家来对待,建立友好的周边关系是对的,但不该把这个问题看得太过重要,好像不援助、不支持就不行,如果完全被对方牵着走,那么你一个大国的责任何在?一个大国的威信又何在?

      作为一个正常国家,它的外交都应有底线。

      朝鲜的问题也是因为它一直以来都在社会主义阵营的卵翼之下,受到保护,所以世界不能直接介入。现在冷战结束了,对立集团没有了,理应走向一个大家都独立平等的阶段。现在我觉得是过渡期,时间不会太长。  

      2013.3.4

  • 奥兰多·费吉思《耳语者》

    《耳语者:斯大林时代苏联的私人生活》
    献给  我的母亲伊娃·费吉斯,以及我们消逝的家族记忆

    引言
    第一章 1917年的孩子(1917—1928)
    第二章 大转变(1928—1932)
    第三章 对幸福的追求(1932—1936)
    第四章 大恐怖(1937—1938)
    第五章 大恐怖的余波(1938—1941)
    第六章 “等着我吧”(1941—1945)
    第七章 普通的斯大林主义者(1945—1953)
    第八章 归来(1953—1956)
    第九章 记忆(1956—2006)
    后记及致谢

    引言

    安东尼娜·戈洛温娜8岁时,与母亲和两个弟弟一起,流放到遥远的西伯利亚阿尔泰地区。父亲在俄罗斯北部的农庄集体化运动中,作为“富农”被捕,被送去劳改营3年,家里的财产、农具、牲畜都归了集体农庄。母亲仅得一小时时间来准备长途旅行的行装,戈洛温一家世代居住的房舍被拆,剩下的家人作鸟兽散。安东尼娜的哥哥姐姐、祖父母、叔叔姨妈以及表亲们,四下逃窜,试图躲过此劫。但到最后,多数仍然被抓,或被流放到西伯利亚,或被遣送去古拉格劳改营,其中多人从此销声匿迹。
    安东尼娜先在“特殊定居地”待了3年。那是一个伐木营地,沿河设置了5座木结构营房,安置了1000名“富农”和他们的家人。第一个冬天,大雪压垮其中的两座营房,流亡者不得不在冻土上挖穴而居。大雪切断交通,没有粮食补给,人们只得依靠随身从家乡带来的干粮。多人死于饥饿、严寒、伤寒,尸体多得无法全部掩埋,只好冻成一垛,等到春天冰化,再投入河中。
    1934年12月,安东尼娜和家人自流放地返回,与父亲重聚,迁入佩斯托沃镇的一个单间房,该镇聚居了大批前“富农”和他们的家人。她承受的创伤在心灵中留下深深的痕迹,其中最深的即是她的“富农”出身。在一个处处讲阶级成分的社会里,安东尼娜属于“阶级敌人”,不配获得高等教育及其他就业机会,在斯大林时代不时席卷全国的恐怖浪潮中,很容易遭到迫害和逮捕。这种自卑感积累形成了她所谓的“恐惧感”——“我们是富农,政府可以生杀予夺,没有任何权利,只能在默默无言中忍受”。她在学校里受到其他孩子的欺负,都不敢自卫。有一次,教师找安东尼娜的碴,在全班同学面前说她“那种人”就是“人民公敌,穷酸的富农!遭到驱逐也是罪有应得。我希望你们都在那里死绝”!安东尼娜深深感到不公和愤慨,真想呼喊出来,以示抗议,但更深沉的恐惧却逼迫她缄默不语。
    这种恐惧渗透于安东尼娜的一生,克服它的唯一方法是全身心地融入苏维埃社会。安东尼娜是一名聪明的女子,性格坚强。她下定决心克服自己出身的包袱,努力学习,冀望有一天能在社会中获得平等认可。尽管遭遇歧视,但她学习成绩优秀,信心益增,甚至加入了共青团。共青团领导看重她的主动积极和能力,对她的“富农”出身视而不见。到18岁时,安东尼娜作出一个关乎自己命运的大胆举措:她决定向组织隐瞒自己的出身——这带有极大的风险——甚至伪造有关文件,以便就读医学院。她在列宁格勒的生理研究所工作了40年,从没与朋友或同事谈及自己的家史。她现在声称,之所以成为共产党员(直到该党在1991年遭到取缔),不是因为相信它的意识形态,而是想转移他人的猜疑,以保护自己的家庭。她也许认为,入党将有助于自己的职业生涯。
    安东尼娜对她的先后两任丈夫都隐瞒了自己的过去,而她与他们同居的时间都超过了20年。她与第一位丈夫格奥尔基·兹纳缅斯基是终生朋友,却很少谈及各自的家史。1987年,格奥尔基的姨妈来访时说漏了嘴,安东尼娜方才获悉,他的父亲原是遭布尔什维克处决的沙皇海军军官。这么多年来,安东尼娜竟茫然不知,这位与自己结婚的男人竟和自己一样,青少年时期也是在劳改营和“特殊定居地”度过的。
    安东尼娜的第二任丈夫是爱沙尼亚人,名叫鲍里斯·约翰逊,也来自“人民公敌”家庭,其父亲和祖父1937年被捕,她也一无所知。她自己从不向他透露自身的经历,直到20世纪90年代初。其时,由于戈尔巴乔夫的开放政策,以及媒体对斯大林镇压的公开批评,他们受到鼓励,方才启齿。另外,安东尼娜和格奥尔基也借机袒露了互相隐瞒40多年的秘密,但仍担心共产党的反击,便商定不让当教师的女儿奥莉加知道。他们认为,如果斯大林主义者卷土重来,蒙在鼓里反而能给奥莉加提供某种保护。直到1990年代中期,安东尼娜才逐渐冲破恐惧,鼓起勇气,将自己的“富农”出身告诉女儿。
    《耳语者》揭示了很多被刻意隐瞒的家史,像戈洛温娜家一样,第一次将斯大林暴政下普通苏维埃公民的内心世界公之于众。很多书籍描述了恐怖的外表——逮捕、审判、古拉格的奴役和屠杀——但《耳语者》首次详尽探讨了它对个人和家庭刻骨铭心的影响。在斯大林的统治下,苏维埃人民如何过私人生活?他们真实的思想和感受是什么?绝大多数城市人口寄居在共用公寓,一家乃至多家合用狭小的住所,隔墙都能听到相互的交谈,究竟能有怎样的私人生活?当国家通过立法、监督、思想控制来横加干涉,几乎无远弗届,私人生活到底还有何意义?
    像安东尼娜一样,数以百万计的人因亲属受到镇压而生活在不间断的恐惧之中。他们如何应付这种不安全?一方面,自然感受到苏维埃制度的不公和异化;另一方面,又要设法从中找到安身立命的定位。他们如何获得平衡?为了补救他们的“历史污点”,为了变成社会中的平等成员,他们又作出了何种调整?安东尼娜在反思自己经历时说,她从没真正相信党和它的意识形态,但作为苏维埃专业人士,仍为自己的身份感到骄傲。这意味着,作为一名医生,她接受了该制度的基本目标和原则。也许,她在过着双重生活:公共生活中,她遵循苏维埃的规范;私人生活中,她又受制于基督徒农民的价值观。体验这种双重生活的,有许多苏维埃人士。当然,另外还有不少“富农”孩子,更不用说还有贵族或资产阶级出身的孩子,与自己的过去彻底决裂,在思想和感情上全心全意投入苏维埃制度。
    《耳语者》的主要舞台是家庭道德领域,探讨各式家庭如何应对苏维埃政权的压力。如果学校、共青团等机构向年轻一代灌输的苏维埃新道德和共同目标,与自己的价值观发生冲突,家长如何保存自己的传统和信念?又如何传给下一代?恐怖制度下的生活,对私人之间的亲密造成何种影响?当丈夫、妻子、父母突然变成“人民公敌”而被捕时,家人会作出何种反应?作为忠诚的苏维埃公民,他们如何处理胸中的郁结,是信任自己所爱的人呢,还是相信自己所害怕的政府?在斯大林统治下的道德真空中,情感还有多大能耐?生存的策略是什么?沉默,谎言,友谊,背叛,抑或塑造数百万人生的道义上的妥协和迁就?
    没受斯大林恐怖影响的家庭甚少,按保守的估计,从斯大林接掌党权的1928年到这名独裁者去世的1953年,约有2500万人受到苏维埃政权的迫害。1953年终告结束的,如果不是他在过去四分之一世纪中所开发的制度,至少也是其本身的恐怖统治。这2500万人——遭行刑队处决的人、古拉格政治犯、流放至“特殊定居地”的“富农”、遭到强制奴役和驱逐的少数民族——约占了总人口的八分之一。1941年,苏维埃总人口估计是2亿,换言之,平均每1.5户家庭即有1人。这个数字并不包括死于饥荒或战争的。除了死去或遭受奴役的数百万人,还有数千万斯大林统治下的受害者亲属,他们的人生遭受了惊心动魄的摧残,至今仍在吞食这苦涩的社会恶果。古拉格所造成的多年分离,使家庭难以重聚,使亲情和友情一去不复返,人们再也无法返回“正常的生活”。
    斯大林统治的持续恶果之一,就是造就了一个沉默而顺从的民族,像安东尼娜一样,学会了缄口不谈自己的过去——同样的,有人甚至欺瞒自己最私密的亲友。孩子受到教诲,千万小心,以免祸从口出,不要将家里事讲与外人,在外看到什么,也不要提供自己的判断或批评。“我们孩子必须学会听和讲的规矩。”一名成长于20世纪30年代的布尔什维克中层官员的女儿如此回忆:
    如果偷听到大人的耳语,或是背着我们的悄悄话,我们都很清楚,绝不能转述给任何外人。甚至让大人知道我们已听到他们的悄悄话,都会有麻烦。有时,大人脱口说了什么,然后告诉我们“隔墙有耳”,或“小心你的舌头”,或其他表述,我们马上就懂,他们刚刚说的,本是我们不应听到的。
    另一名女子——其父亲被捕于1936年,记得:
    我们从小就学会了闭嘴。“舌头会给你带来麻烦”——这是大人一直叮嘱我们孩子的,我们在生活中也一直害怕发表意见。妈妈常说,两人之中必有一名举报人。我们害怕邻居,特别是警察……即使在今天,我看到警察仍会怕得发抖。

    在一个被认为口太松就会被捕的社会中,家庭抱成一团以图生存。他们学会过双重生活,掩饰自己有悖于苏维埃规范的信息、意见、宗教信仰、家庭价值、传统和私人生活模式。他们设法避开危险的邻居耳目,有时甚至是自己的孩子,于是就学会了耳语。
    俄罗斯语言中有两个词代表“耳语者”——第一是指怕人偷听而窃窃低语的人(shepchushchii),第二是指暗地里向当局汇报的举报人(sheptun)。个中的区别起源于斯大林年代,其时,整个苏维埃社会全由耳语者们组成,或是第一种,或是第二种。
    《耳语者》并不讲述斯大林,但与他的政治直接相关,在每一页当中,可感受到他的存在。它讲的是,斯大林主义如何融入人们的思想和情感,如何影响他们的价值观和人际关系。本书并不试图解说恐怖的起源,或描述古拉格的兴衰;只想解释警察国家如何在苏维埃社会扎根,让数百万普通老百姓卷入这恐怖制度,或是沉默旁观者,或是合作参与者。如俄罗斯历史学家米哈伊尔·格夫特所叙述的,斯大林制度的真正力量和持久遗产,既不在于国家结构,也不在于领袖崇拜,而在于“潜入我们内心的斯大林主义”。
    历史学家在透析斯大林主义的内心世界这一课题上姗姗来迟,直到最近,大多数研究仍与公共领域有关,譬如政治、意识形态、“苏维埃群众”的集体经验。个人——如真有出现——主要是向当局提出申述的人士(已变成公众人士,不再是私下或家里的个人)。普通老百姓的私人领域,基本上是秘而不宣的,其主要原因是来源匮乏。在前苏维埃和党的档案中,大多数的个人收藏属于政治、科学、文化界的知名人士。收藏中的文件是主人精心挑选后捐赠给国家的,大多涉及这些人的公众生活。在为本书做调查的初期,我们曾浏览数千份个人收藏,但其中披露家庭或私人生活的,实在是寥若晨星。(科学、文学、艺术档案馆内的个人收藏(如SPbF ARAN、RGALI、IRL RAN)有时更加真实坦诚,但包含私人文件最多的部门往往不对外开放。1991年后,有些前苏维埃档案馆收集了普通家庭捐赠的个人收藏——如TsMAMLS,含有莫斯科居民的各式私人文件。) 
    出版于苏联的回忆录,或在1991年前业已公开的苏维埃档案,一般并不披露作者的私人感受,但也有例外,特别是1985年之后在开放政策时期出版的文字。发表在西方的回忆录,不管是来自苏联流亡知识分子,还是斯大林镇压的幸存者,都存有同样的缺陷。它们被广泛认作“沉默者”的“真实声音”,让我们了解普通公民是如何应对斯大林恐怖的。在冷战高峰期的1980年代初,斯大林政权在西方的形象,主要以这些知识分子的幸存叙述为主,特别是叶夫根尼娅·金兹伯格和娜杰日达·曼德尔施塔姆。她们提供了第一手资料,以证明个人精神是反抗苏维埃暴政的内在力量。 这种道德视野——在1991年的“民主”胜利中获得了兑现和象征——对苏维埃政权倒塌后的回忆录具有广泛的影响力。 (9) 它也深深打动了历史学家,使他们在1991年之后,比以前更倾向于强调人民对斯大林独裁的反抗。对许多幸存者来说,尤其是矢志于自由和个人主义的知识分子,这些回忆录确实揭示了真相。但是,它们无法为千百万普通老百姓代言。不少斯大林政权的受害者,并不同样心怀这种内心的自由或异议。恰恰相反,他们默默接受和内化了该制度的基本价值,尽可能顺从它的公共规则,甚至在犯罪过程中沦作为虎作伥的帮手。
    出现在档案中的日记呈各种形式(作家日记、工作日记、文学年鉴、剪贴簿、每日纪事,等等),初看似乎很有价值。但相对来说,出自斯大林时代的日记,如果不愿作牵强附会的解释,其中袒露出作家真心感受和意见的,仅有极少一部分。在20世纪30年代和40年代,很少人甘冒书写私人日记的风险。一旦被捕——几乎可在任何时间,发生在任何人身上——最先没收的就是日记,如果含有可解释为“反苏维埃”的想法或情绪,便可成为罪证(作家米哈伊尔·普里谢维恩以细小潦草的字迹来记日记,即使用放大镜也难以辨认,为的就是预防被捕后自己思想的暴露)。就整体而言,在苏维埃时期出版的日记,其作者都小心翼翼,字斟句酌。1991年之后,涌现出越来越多的日记——包括苏维埃社会中下层人士的——或来自前苏维埃档案,或归功于人们的自发募集,例如莫斯科人民档案(TsDNA)。 但总的来说,斯大林时代的日记,其数量仍然太少(尚未公开的前克格勃档案中可能还有),无法就普通公民的内心世界得出结论。研究私人生活的历史学家还需要面对“苏维埃语”(Soviet-speak)的问题,很多日记千篇一律,所表达的思想都循规蹈矩。如果不知道写日记的动机(恐惧、信仰、风气),便很难解读这些日记。

    近几年来,部分历史学家将注意力投向“苏维埃主观性”(Soviet subjectivity),研读文学和私人的文本(主要是日记),强调正统意识形态对公民内心世界的主宰程度。 他们认为,要偏离苏维埃政治的公共话语,仅作自身的思考和感受,实际上是不可能的。如果产生了非分的想法或情绪,很可能被当做“自身危机”,而接受自觉自愿的剔除。苏维埃的价值和理念已渗透人的内心,这的确是《耳语者》中众多研究对象的特征。其中仅有极少数人,以自我改进的方式来认同斯大林制度,成为这些历史学家所谓的“苏维埃主观性”的代表。在大多数的情况下,人们意识中的旧价值和旧信仰,或被中止,或受压抑,被本书反映出的苏维埃心态所取代。人们接受这种心态,并不是出于“成为苏维埃人”的渴望,而是出于羞耻和恐惧。就是在这种意义上,安东尼娜决心努力攻读,成为社会中的平等人——以此来克服自己作为“富农”子女的自卑感(即她所经历的“恐惧感”)。对大多数人来说,包括许多斯大林政权的受害者,融入苏维埃制度是生存的出路,也是掩埋疑虑和恐惧的必要途径。如果大声说出,生活便会变得难以为继;相信和参与苏维埃的活动,使他们的痛苦获得意义;如果没有崇高的目标,他们可能会走投无路,陷入绝望。在此借用另一位“富农”孩子的话——“相信斯大林的正义……使我们更容易接受处罚,并带走我们的恐惧”。他本人作为“人民公敌”被流放多年,然而,终其一生却是一名心悦诚服的斯大林主义者。
    与口述历史相比,这种心态在斯大林时代的日记和信件中较少出现——其内容一般得遵循苏维埃的规则和礼貌,承认恐惧是绝不容许的。研究斯大林政权的历史学家,愈益转向口述历史的研究手法。与任何受制于记忆误差的其他学科一样,口述历史也有其方法上的缺陷。在学会了耳语的俄罗斯,对苏维埃历史的追忆又充斥着编造的神话和意识形态,这些缺陷因此变得格外麻烦。数百万人曾因出言不慎而遭告发,锒铛下狱。许多有此经历的老年人,看到手持麦克风(与克格勃挂钩的设备)的研究人员,马上变得格外谨慎。这些幸存者出于恐惧、羞耻、禁欲主义,压抑和遏制自己的痛苦回忆。很多人无法反思过去的生活,因为他们已习惯于逃避令人尴尬的问题,包括做出怎样的道德选择,来界定自己在苏维埃制度中的成功。其他人则不愿承认自己的所作所为,往往以事后诸葛的动机和信仰,作出各种各样的辩解。尽管有这些挑战,在很多方面又恰恰因为如此,处理得当的口述历史,可为专门研究私人生活的历史学家提供巨大的好处。这意味着要对照家庭和公共档案的书面记录,尽可能严格地核查受访者的证据。
    《耳语者》引述的数百份家庭档案(信件、日记、私人文件、回忆录、照片、实物),迄今都被斯大林恐怖时期的幸存者藏匿在俄罗斯各地的秘密抽屉中或床垫下。我们在每户人家仔细采访年龄最长的成员,只有他们方能解说这些私人文件,并将之与基本上讳莫如深的家史挂上钩。与本书相关的口述历史项目,侧重于家庭和个人的内心世界,明显不同于以往的口述历史,后者主要是社会学的,比较关注恐怖时期的外部细节和古拉格的经历。这些资料组成了一份特殊档案,是斯大林时代私人生活的最大文件汇集之一。( 大多数档案由作者和纪念学会一起取得。该协会成立于20世纪80年代末,专门代表和纪念遭受苏维埃迫害的受害者。这些档案分存于圣彼得堡(MSP)、莫斯科(MM)、彼尔姆(MP)的纪念学会,其中大多数可在网上查到(http://www.orlandofiges.com)。如想了解该研究项目的更多详情,请参阅书末的后记及致谢。) 
    《耳语者》所讲述的这些家庭,代表了苏维埃社会相当广泛的横截面。他们具有各式社会背景,来自俄罗斯各地的城市、集镇、村庄,既有遭受迫害的,也有参与镇压的。他们或在内务人民委员会任职,或是古拉格管理人员。另外还有未受影响的家庭,但从统计学的角度看,其数量极少。

    《耳语者》凭借这些材料,图解了整整一代人的故事。他们生于革命初期,主要在1917年到1925年之间,其经历随苏维埃制度的轨迹波动而变迁。到了后面的章节,本书又为他们的后裔提供发言机会。为了理解该制度的遗毒,多代跟踪的方式很重要。在四分之三个世纪中,苏维埃制度对家庭的道德领域产生了深远影响。尚无其他的极权制度对其臣民的私人生活造成如此深远的冲击——包括共产主义东方(经常与斯大林政权相比的纳粹独裁统治仅持续12年)。本书的与众不同之处,还在于以长远眼光来看待斯大林现象。有关这一题材的现有历史叙述,主要集中于20世纪30年代——仿佛只要弄清1937至1938年的大恐怖,就可把握斯大林政权的本质。但大恐怖只是斯大林统治时期中最为凶残的一段(它占了1917至1955年政治处决案件中的85%),只是一系列浪潮般涌来的迫害之一(1918—1921、1928—1931、1934—1935、1937—1938、1943—1946、1948—1953),每一次都吞噬许多人的性命。古拉格劳改营和“特殊定居地”人口数量的顶峰并不在1938年,而在1953年。斯大林死后几十年,数百万人仍身受其漫长暴政的遗毒。
    在《耳语者》的公开叙述中,交叉编织起来的家史可能太多,读者很难逐一追踪个别的叙述,但可运用索引将它们串连起来。它们可被当做一个共同历史的变种——即给每一家生活打下烙印的斯大林主义。另有几户人家,包括戈洛温娜家,其故事贯穿整个叙述,所以列出了家族树。《耳语者》的中心题材,围绕着联姻的拉斯金家和西蒙诺夫家。他们各自的命运,在斯大林恐怖时期有天渊之别,悲剧般交织在一起。
    康斯坦丁·西蒙诺夫(1915—1979)是中心人物,也许是《耳语者》中的悲剧英雄(取决于你的见解)。他出生于遭苏维埃政权镇压的贵族家庭,却在20世纪30年代蜕变为“无产阶级作家”。今天几乎被人遗忘的他,曾是苏维埃文学阵营中的重要干将——获得六项斯大林奖、一项列宁奖,又是社会主义劳动英雄。他是一名很有才华的抒情诗人,他的战争小说颇受欢迎,他的戏剧可能稍有欠缺,流于宣传,但在战争时期,他又是俄罗斯最优秀的记者之一。后来,他成为一名优秀的回忆录作家,诚实地审视自己在斯大林政权中的罪行与道德妥协。1939年,西蒙诺夫与叶夫根尼娅·拉斯金娜结婚。她的犹太家庭从“栅栏区”(Pale of Settlement)搬来莫斯科,她是家中三姐妹中的老幺。但西蒙诺夫很快抛弃了她以及尚在襁褓中的儿子,转去追求漂亮的女演员瓦伦蒂娜·谢罗娃——这段浪漫史激励他写下他最著名的诗篇《等着我吧》(Wait For Me,1941年)。几乎每一名士兵都能熟记于心,冀望打完胜仗,重返自己的女友或妻子身边。从1945到1953年,西蒙诺夫成为苏联作家协会中的重要人物。其时,斯大林的理论家要求苏维埃的文学领袖,参与迫害那些被视为过于自由化的同行,并在艺术和科学领域的反犹运动中摇旗呐喊。这一官方反犹运动的受害者之一就是拉斯金,但西蒙诺夫已涉入斯大林政权太深,无法提供任何援助。也许,他根本就是无能为力的。
    西蒙诺夫是很复杂的,他从自己父母身上继承了贵族的公众服务价值、军人职责和服从精神。在他脑海中,这等同于热心公益、为国牺牲的苏维埃美德,使他在斯大林等级制度中心安理得。西蒙诺夫具有许多令人钦佩的素质,如果说有“优秀的斯大林主义者”,他完全可以当之无愧。他诚实、纯真、有条有理、严守纪律,具有相当的热情和魅力。不管是所受的教育,还是自己的性格,他生来就是积极分子,幼时即迷失于苏维埃制度,面对其在道德方面的压力和要求时又无法脱身。在这个意义上,西蒙诺夫体现了一代人在道德上的冲突和困境——生活在斯大林政权的阴影中——要了解他的思想和行动,也许先要了解他的时代。

    第一章 1917年的孩子(1917—1928)

    1917年10月,叶丽萨维塔·德拉布金娜在布尔什维克总部的斯莫尔尼学院见到自己父亲时竟然都认不出他。上次见面时,她只有5岁,过后不久,父亲便潜入地下活动。12年后的今天,她已把他的模样忘得一干二净,只记得他的党内化名。叶丽萨维塔在斯莫尔尼学院任秘书,非常熟悉数十份法令上的签名——“谢尔盖·古谢夫”,他是负责首都秩序的彼得格勒苏维埃革命军事委员会主席。她沿斯莫尔尼学院无尽的拱形长廊匆匆走过,听到正在休息的士兵和赤卫队员发出嗤笑和口哨。这座贵妇学校营房一般的教室,已改为苏维埃新政府的临时办事处,她的工作就是分发法令。当她告诉其他秘书,这些签名属于她失散多年的父亲,她们都没将之当做一回事。从未有人建议,她应该与他重建联系。在这些圈子中,每一名布尔什维克的个人利益必须服从共同事业。党在为人类解放开展决定性的斗争,你如果仍在记挂私人生活,就会被视为“市侩”。
    最后驱使叶丽萨维塔走向父亲的是饥饿。她在烟雾缭绕的地下室食堂刚刚吃完午餐,走进来一名身材矮小但肌肉健硕的英俊男子,身着军装,戴夹鼻眼镜,尾随一长列党的干部和赤卫队员,在中央长桌旁坐下。两名士兵向饿坏了的无产者们分发菜汤和粥。叶丽萨维塔仍然很饿,坐在角落的小桌旁,观察那名英俊男子一手以汤匙喝汤,另一手执铅笔在尾随者递上的文件上签字。
    突然有人叫他“古谢夫同志”。
    我意识到,这一定是我父亲了,想也没想就站起身来,朝拥挤的餐桌挤过去。

    “古谢夫同志,我需要你。”他转过身来,显得很疲惫,因睡眠不足而双眼通红。
    “我在听,同志!”
    “古谢夫同志,我是你女儿,给我3卢布,我要吃一份午餐。”
    也许,他已筋疲力尽,听到的只是我对3个卢布的索求。
    “当然,同志。”古谢夫说,探手入口袋,掏出一张绿色的3卢布钞票。我接过钱,向他表示感谢,用它买了另一份午餐。

    列宁很喜欢这一则故事,在1924年去世之前,经常叫其时已变得稔熟的叶丽萨维塔·德拉布金娜讲述此事。它在党内变成了一个传奇,生动表现了布尔什维克的个人牺牲,以及对革命事业的无私奉献。斯大林曾说:“一个真正的布尔什维克不应也不能拥有家庭,因为他必须将自己的一切献给党。”
    德拉布金的故事是该项革命原则的典例。1895年,叶丽萨维塔的父亲(本名是雅可夫·德拉布金)尚是学生时就加入了列宁的社会民主党。她母亲费奥多西娅也是党地下工作中的重要成员(娜塔莎),经常带着作为掩护的女儿奔赴赫尔辛福斯(赫尔辛基),为圣彼得堡的革命者购买弹药(叶丽萨维塔的玩具包裹里藏有炸药和子弹盒)。1905年的革命流产后,叶丽萨维塔的父母为躲避沙皇警察而转入地下。5岁的叶丽萨维塔赴罗斯托夫与祖父同住,一直待到1917年的二月革命。其时,新上台的临时政府释放了所有的革命者。 [1] 叶丽萨维塔与母亲在彼得格勒(圣彼得堡当时的名字)重聚,随即加入布尔什维克,成为赤卫队中的机枪手。她在布尔什维克10月25日的夺权中参与强攻冬宫,复又担任其首席组织者雅可夫·斯维尔德洛夫的秘书。这份工作让她走进了斯莫尔尼学院,而她的父亲就在那里工作。
    执政的布尔什维克敦促普通党员以沙俄时的革命家为榜样,牺牲个人幸福,放弃自己家庭,为工人阶级服务。 [2] 他们提倡对“大公无私的革命家”的崇拜,构建全新的道德观,以一切献给党的单一原则取代所有的旧诫。在他们的乌托邦憧憬中,革命家是新人的原型——只为公众利益而活的“集体人格”——未来共产主义社会将由这种新人组成。很多社会主义者把培育新人当做革命的根本目标。马克西姆·高尔基在1917年春天写道:“政治生活的新结构向我们要求全新的灵魂结构。”

    对布尔什维克来说,从根本上实现“集体人格”,需要“砸碎私人生活的甲壳”。列宁的妻子娜杰日达·克鲁普斯卡娅认为,允许“私人生活和公共生活之间存有差别,迟早会导致对共产主义的背叛”。根据布尔什维克的说法,与政治领域截然分开的“私人生活”的理念是荒谬的,因为政治影响一切;所谓的“私人生活”,无不与政治有关。所以,私人领域仍应受到社会公众的监督和控制。布尔什维克将不受国家控制的私人空间视作孕育反革命分子的危险温床,认为必须予以揭露和铲除。

    这次遭遇之后,叶丽萨维塔很少看到父亲,他们各自忙于自己的革命活动。1917年之后,叶丽萨维塔继续在斯维尔德洛夫办公室工作。在内战期间(1918—1920),她参加了红军,先是做医疗助理,后来成为机枪手,参与在西伯利亚、波罗的海、俄罗斯南部向西方列强支持的白军或反革命军队发起的进攻。她在抗击海军上将高尔察克白军的东线战役中,甚至在父亲指挥下投入战斗。其时,父亲在革命军事委员会担任高级职务,充当苏维埃军队的指挥中枢,该委员会以托洛茨基为首。叶丽萨维塔经常听父亲向战士发表演讲,但从没走近他。她后来说,自己认为布尔什维克不应“关注私人事务”。整个内战时期,他们只相遇两次。第一次是在1919年3月斯维尔德洛夫的葬礼上,第二次是同年稍晚在克里姆林宫的正式会议上。到了20年代,父亲和女儿都在莫斯科从事党的工作,见面更加频繁,甚至有一段时间住在一起,但仍然无法亲近。他们分开得太久,无法培养亲情。叶丽萨维塔回忆:“父亲从没对我说过他自己。我现在才意识到,等他去世后[1933年],别人讲起他,我才开始对他有所了解。”

    内战不仅是对白军的军事斗争,还是对旧社会私人利益的革命斗争。为了应付白军,布尔什维克开发了第一套计划经济(战时共产主义),后来成为斯大林五年计划的原型。他们试图杜绝私人的贸易和财产(甚至计划以配给来取代金钱);向农民征集粮食来养活城市和军队;征召数百万劳动大军奔赴“经济战线”,包括伐木为薪、建筑道路、维修铁路;强制推行实验性的集体劳动,让人们住进工厂附属的宿舍和营房;向宗教开战,迫害神职人员和教徒,关闭数百座教堂;钳制所有反对无产阶级专政的异见者。在内战的“内部战线”上,布尔什维克发起反对“布尔乔亚”——前沙皇官员、地主、商人、富农、商贩和旧知识分子——的恐怖运动(红色恐怖),因为这些人的个人主义价值观,很容易使自己成为白军和其他“反革命”的潜在朋友。布尔什维克相信,如此凶猛地清洗社会,是通向共产主义乌托邦的捷径。

    到1921年的春天,战时共产主义的政策摧毁了苏维埃经济,把众多农民带到饥荒的边缘,苏俄农民中有四分之一在挨饿。全国各地的农民发动一系列叛乱,反抗布尔什维克政权及其粮食征用制度。列宁自己说,这“比全部白军加在一起还要危险”。在许多农村地区,苏维埃政权实际上已不复存在。农民夺取村庄权力,切断对城市的粮食供应,饥饿的工人举行罢工。彼得格勒附近的喀琅施塔得海军基地,其水手曾在1917年10月帮助布尔什维克夺得权力,现在反过来发动兵变。他们打着无政府主义的起义旗号,呼吁苏维埃的选举自由、“全体劳工的言论自由、新闻自由、集会自由、农民自主耕地的自由”。显然,布尔什维克自己正面对着新兴的革命。列宁在3月初承认,“我们快撑不住了”。托洛茨基曾称赞喀琅施塔得的水兵是“革命的骄傲和喜悦”,此时却亲自指挥向该海军基地发起军事突击。军事力量和无情的恐怖,也被用来对付农民起义。据估计,在镇压起义期间,被监禁或驱逐出境的有10万人,遭枪决的有1.5万人。但列宁意识到,要扭转起义浪潮、促使农民恢复向城市供粮,布尔什维克必须放弃战时共产主义政策并恢复自由贸易。击败白军之后,布尔什维克便向农民作出让步。
    1921年3月,列宁在第十次党代会上引进新经济政策(NEP),以相对宽松的税收来取代粮食征用制,使小规模的私人贸易和制造合法化。它偏重于农业和消费品的生产,置重工业发展于次要地位。列宁这样认为,新经济政策是对小农——执著于私人家庭生产的原则——暂时但必需的让步,以挽救革命,为国家重整旗鼓。他谈到,这一政策将持续“不少于10年,可能更长”。1921年的苏维埃居民,身着缀满补丁的衣服,以破损的器皿烹调,用开裂的杯子饮水,什么都要换新的。市场的恢复给苏维埃经济带来新生命,私人贸易对革命和内战所造成的长期短缺作出迅速的反应。贸易商人设立摊位,跳蚤市场蓬勃发展,农民将食品运来城镇。因有新法律的许可,私人的咖啡馆、商店、餐馆、夜总会、妓院、医院、诊所、信用社甚至小型工厂,如雨后春笋般涌现出来。内战时宛如墓地的莫斯科和彼得格勒,突然生机盎然,嘈杂的贸易商人、忙碌的出租车司机、灯火通明的商店和街道,好像重又回到 1917年之前。

    对许多布尔什维克来说,市场的恢复似乎是对革命的背叛。引进的新经济政策招致广大党员的怀疑(甚至列宁“偏爱”的尼古拉·布哈林,接受过程也非常缓慢,从1921年一直拖至1923年。后来,他反倒成了新经济政策的主要捍卫者),列宁不得不使用他全部的说服力和权威,使之获得党代会的通过。尤其是在城镇工人中,人们普遍认为,新经济政策牺牲了工人阶级的利益,而农民因食品价格上涨而变得越来越富。在城镇工人看来,私人贸易的繁荣将不可避免地导致贫富悬殊和资本主义复辟。他们把新经济政策称作“对无产阶级的新型剥削”,他们的愤怒主要针对“新经济人”,即在20世纪20年代兴旺发达起来的私商。在苏维埃宣传漫画所塑造的大众想象中,“新经济人”以钻石和皮草装扮妻子和情妇,驾驶硕大的进口汽车,在歌剧演出时打鼾,在餐馆里高歌,在昂贵酒吧中大声吹嘘其挥霍于赛马场和赌场的美元财富。新兴暴发户的这种大肆挥霍,衬以20世纪20年代的城市贫困和大量失业,给人们带来苦涩的怨恨。他们认为,革命本来应该终止不平等。
    在“内部战线”上,新经济政策让“资产阶级文化”的残余得以苟延残喘。共产主义曾承诺要予以消灭,但暂时还不能没有。它中止了反对中产阶级和专业知识分子的斗争,因为苏维埃经济需要他们的专长。从1924到1928年,对宗教的斗争也告暂停:不再以先前(或后续的)的频度关闭教堂或压迫神职人员,让老百姓继续保留自己的信仰,不过,反教会的宣传仍在继续。最后,新经济政策为私人生活的旧习惯和家庭传统保留了空间,引起众多布尔什维克的担忧:俄罗斯“小布尔乔亚”的心态和习俗——数以百万计的小商人和小生产者,其数量因新经济政策而日益增多——将会阻挠甚至破坏革命运动。斯大林在1924年宣布:“我们从旧社会继承下来的态度和习惯,束缚着千百万劳动者的心灵,成了社会主义最危险的敌人。”
    布尔什维克设想,建设共产主义乌托邦,就是要与旧的习俗和习惯展开不断的斗争。随着内战的结束,他们准备在“内部战线”上发起新的持久战:通过消灭个人主义(“资产阶级”)的行为和旧社会留下的陋习(卖淫、酗酒、流氓、宗教),来赢得共产主义个性解放的革命战争。布尔什维克中几乎没有分歧,他们认为改造人性的战役将需要几十年的时间,有 争议的只是何时打响第一枪。马克思教导说,意识的改变依赖于物质基础的改变。列宁在介绍新经济政策时承认,在共产主义社会的物质条件实现之前——其过程需要横跨整个历史时代——试图在私人生活中创建共产主义道德制度是不切实际的。但为了推行新经济政策,必须撤离私人领域,这又是多数布尔什维克不愿接受的。恰恰相反,他们越来越倾向于认为,在日常生活的每一战场每一时刻,积极参与都是不可或缺的——在家人、居所、内心中保留旧心态,只会对党的根本思想目标造成重大威胁。他们看到,“小资产阶级”个人主义本性在新经济政策下日益增强,因此要求加倍努力,予以反击。阿纳托利·卢那察尔斯基在1927年写道:“不能让所谓的私人生活领域逃离我们。恰恰需要在那里实现革命的最终目标。”

    布尔什维克投入战斗的第一个舞台是家庭。20世纪20年代,他们坚信“资产阶级家庭”对社会是有害的:它是内向和保守的,是宗教、迷信、无知、偏见的堡垒,提倡自我中心和物质占有欲,压迫妇女和儿童。布尔什维克预计,等到苏俄建成完全的社会主义制度,家庭将会消亡。其时,国家承担家庭的所有基本职能,在公共中心和公寓区里提供托儿、洗衣、食堂等服务。从家务劳动中解放出来的妇女,可自由加入与男子平等的劳动大军;激进派相信,以男性为主的婚姻和相应的性道德都会消亡,将被“爱情的自由结合”所取代。

    以布尔什维克的眼光看,家庭是儿童社会化的最大障碍。苏维埃教育思想家西耶塔·莉莉娜写道:“家庭喜爱孩子,使他变得任性,鼓励他视自己为宇宙的中心。”布尔什维克理论家同意要以“社会主义大家庭”的“理性之爱”,来取代这种“自我中心的爱”。《共产主义ABC》(The ABC of Communism,1919年)所设想的未来社会中,父母讲到自己孩子时,将不再使用“我的”字眼,将会关心社区内所有的孩子。这种变化需要多久方能实现,布尔什维克内部有不同见解。激进派认为,党应采取直接行动,马上着手破坏家庭。但多数人接受布哈林和新经济政策理论家的论点:在苏俄这样的农业国家,在相当长的一段时间内,家庭仍是生产和消费的主要单位,慢慢随着国家向都市社会主义社会的过渡,再逐渐变弱。
    同时,布尔什维克又采纳各式策略——如家庭空间的改造——以加速家庭的解体。为了解决拥挤城市的住房短缺,布尔什维克迫使富裕家庭与城市贫民分享自己居住的公寓——称为“掺沙子”政策(uplotnenie)。在20世纪20年代,最常见的共用公寓由原业主占据主房,让其他家庭搬进偏房。当时,只要符合“卫生标准”(即人均生活空间,它从1926年的13.5平方米降至1931年的9平方米),原业主仍可自由选择合住的房客。很多家庭招入佣人或熟人,以防陌生人抢占。该项政策在意识形态上具有强大吸引力,不仅是新政权宣传的反特权斗争(“反宫殿的斗争!”),更是一次创建集体生活方式的运动。布尔什维克认为,迫使人们住入共用公寓,可让他们在基本思想和行为上更趋向于共产主义。私人空间和财产将会消失,个人家庭(“资产阶级”)将被共产主义的友爱和组织所取代,个人生活将融入社区。自20世纪20年代中期开始,新型住房设计就以这种改造作为出发点。最激进的苏维埃建筑师,例如当代建筑师联盟中的建构派(Constructivists),建议修造废除一切私人领域的“公社房屋”。其中,包括内衣的所有财产由居民共同使用,烹饪和育儿的家务由各团队轮流负责,大家按性别分睡在不同的大型宿舍,另有专为性生活而设的包房。但这类房子实际上造得很少,仅在乌托邦想象和未来小说中广为流传,如尤金·扎米亚金的《我们》(We,1920年)。大多数确实落成的建筑,如建构派莫伊谢·金兹伯格在莫斯科设计的财政部公寓大楼(1930年),并没采用完全的社区形式。它们既有私人的生活空间,又有社区化的洗衣房、澡堂、餐厅、厨房、幼儿园、学校。然而,新建筑的目标仍是敦促大家,从私人家庭(“资产阶级”)转向集体生活。

    布尔什维克也直接干涉家庭生活。1918年的婚姻和家庭新法定下明确的框架,以促进传统家庭的崩溃。结婚和离婚只需向国家提出简单的注册,从而取消了教会的影响力。它向事实上的婚姻(男女同居)和合法婚姻,赋予同等的法律权利。离婚原是富人的奢侈品,现在变得经济方便,大家都可一试。其结果是大幅增长的随意婚姻,以及世界上最高的离婚率——在1926年是法国或德国的3倍、英国的26倍。由于基督教宗法秩序的崩溃和革命年代的混乱,家庭和社区的关系、性道德等,都变得松弛。
    苏维埃政权的初期,革命积极分子的家庭破裂非常普遍,几乎构成了一种职业病。内战时期,布尔什维克圈子中随意的性关系已成事实上的规范,因为任何人都有可能接获通知,立刻奔赴遥远的前线。在整个20世纪20年代,这种轻松随意的态度相当普遍。党的积极分子和共青团的年轻仿效者经常接受教诲,要把自己对无产阶级事业的承诺,放在爱情或家庭之上。与普通的苏维埃青年相比,性乱交在年轻党员中更为普遍。许多布尔什维克将性自由,视作“苏维埃现代化”的标志,不再接受资产阶级道德的约束。有人甚至主张,配偶关系只会促使恋人们脱离集体,减弱对党的忠诚,而性乱交反而可以成为一种抗衡。

    由于党的需求,布尔什维克人不能照料家事,当不好尽职的丈夫和父亲,这是众所周知的。莫斯科的一名布尔什维克人说:“我们共产党人甚至不了解自己家人。你早出晚归,很少看到妻子,几乎从不遇见自己的孩子。”整个20世纪的20年代,党代表大会经常讨论此类问题。普遍认为,与非党员丈夫相比,布尔什维克人更容易放弃妻子和家庭,因为他们对党的忠诚高于对爱情的忠贞。事实上,妻子和母亲的缺失所带来的麻烦,不仅存在于党内,也存在于广泛的苏维埃知识界。其时,大多数知识女子都投入公共生活。

    托洛茨基认为,与其他人相比,布尔什维克人更容易承受家庭破裂的影响,因为他们“在新条件面前暴露得最为彻底”。托洛茨基在1923年写道,作为现代生活方式的先驱,“共产党先锋队只是以更为激烈的方式,较早地经历了”人民大众无法避免的进程。许多党员家庭肯定深切感受到开拓新型家庭的职责——父母双方都从家务中解放出来,投身公益活动——尽管要付出与子女疏远的代价。

    安娜·卡尔皮茨卡娅和丈夫彼得·涅泽夫茨夫都是列宁格勒(列宁逝世后,彼得格勒的新名)共产党的高级干部。他们与3个孩子住在斯莫尔尼学院附近的私人公寓,其中之一是马克斯娜 [3] 。她是安娜第一次婚姻所生的女儿,出生于1923年。马克斯娜很少看到父母,她早晨醒来之前,父母已经离开,要工作到深夜方能回家。马克斯娜回忆:“我觉得缺乏母亲的关爱,总是嫉妒那些母亲无须上班的小孩。”因为父母不在,孩子们由两名女佣照料,都是新近来自乡下的农妇,充任管家和厨师。根据她的回忆,作为最年长的孩子,马克斯娜自4岁起便承担家里的“全部权责”。厨师会问她晚餐吃什么,并向她要钱,去高级干部专用店购买食物。如果女佣打破家规,或“做了我认为是不正确的事”,马克斯娜就会向母亲汇报。但更多的时候,她回忆:“如果做了我不喜欢的,我会直截了当告诉她们。”马克斯娜感到自己肩负责任——她很清楚,母亲喜欢她负起责任——并欣然接受:“母亲说得很清楚,家里发生的事与她无关。对此,我从不怀疑。”

    马克斯娜从小接受新社会价值的熏陶,属于1917年的一代,被父母视作“小同志”。她没有玩具,也没有小孩自由玩耍的空间。马克斯娜回忆:“父母视我为平等人,交谈起来把我当作成年人,教我从小学会独立,一切事情都要自力更生。”她7岁上小学的第一天早上,母亲带她去学校,让她记住路程——将近3公里的复杂旅途——这样,下午放学后,她就可以自己步行回家。马克斯娜回忆:“从那天起,我一直步行去学校。我的脑海里从没闪过应该有人陪我的念头。”马克斯娜步行一小时去市中心的商店,购买了所有的书籍和文具。从8岁起,她自个儿赴剧场,因为有父母的高级干部出入证,可坐在包厢内。马克斯娜回忆:“从来没人告诉我该怎么办,是我把自己带大的。”

    父母在她生活中只是很遥远的身影。到了节日,他们自己旅行去克里米亚的高级度假村,却把孩子们留在列宁格勒。但在思想上,父母实施僵硬的管束,在马克斯娜的回忆中,往往成为烦恼的来源。母亲责怪她钟情于普希金和托尔斯泰的作品,却不读共产党青睐的儿童教育书籍,如弗拉基米尔·奥布罗切夫的科学探险故事《萨尼科夫的大地》(Land of Sannikov,1926年),或格列高利·别雷赫和阿列克谢·潘捷列耶夫的《什基德共和国》(The Republic of Shkid,1927年)。后者讲述的是无家可归的孤儿,如何被送进列宁格勒的学校。母亲将这两本书带回家,马克斯娜尽职地读完,之后放入柜子,全然遗忘。母亲还禁止马克斯娜邀请学校的朋友到家里来,她的理由是:最好不要让他们看到党领导过的舒适生活——尽管仍属适度的,且带有斯巴达风格——特别是与他人的生活相比之下。父母很少称赞或表扬她,几乎从没亲吻或拥抱过她,马克斯娜感情上的唯一慰藉是她生病时前来照料她的祖母。马克斯娜回忆:“我喜欢去她家,能享受大量的关爱。她教我如何缝纫,如何穿珠成项链,为我准备玩具,甚至还给我买了一套木制玩具小厨房,放在她房间的一角,我喜欢待在那里尽情玩耍。”

    1917年后出生于党员家庭的许多儿童,都谈到父母亲情的缺乏。在这一方面,苏维埃精英养育子女的习惯与19世纪俄罗斯贵族相比,没有很大的不同。后者也对育婴室兴致索然,很早就把婴儿托交给保姆、女佣和其他家仆。
    安吉丽娜·叶夫谢耶娃1922年出生于布尔什维克家庭。内战时期,父母都在红军服役,得以相遇相识。1920年返回彼得格勒后,父亲成为参与镇压喀琅施塔得兵变的师指挥官。到1925年,他就读于军事医学院,晚上仍要刻苦学习。母亲任职于贸易委员会,等安吉丽娜出生后,开始在外贸学院学习,同样要在晚上苦读。在安吉丽娜的回忆中,童年主要是在管家的照料中度过的:
    母亲很爱我,既耐心又细心,就是不够亲热。她从不溺爱,从没与我一起玩耍,希望我像成年人一样行事,把我当做成年人……父亲全心投入工作,我觉得自己只会给他们挡道,肯定是父母的累赘。我非常调皮,不喜欢待在家中,竟是在院子和大街上长大的。我8岁那年,父亲出差去莫斯科,带回一个鱼缸。他不让我出去玩,结果我绊倒了鱼缸,所有的鱼儿洒落一地。他用皮管抽我,我便大声叫嚷:“你不是一个父亲,你是一个继母,继母!”

    1923年,玛丽亚·布德克维奇出生于莫斯科党政干部的家庭,父母在苏维埃军队主要出版机构“军事百科全书”供职。父亲与家人分开,单独住一套公寓,这不是因为与母亲的离异,而是因为独居有助于自己的工作。玛丽亚的母亲自己也是苏共内战历史方面的研究员。玛丽亚很少看到父亲,五六岁时甚至怀疑他的存在。她回忆:“我不懂‘父亲’是什么,只知道其他女孩有叫做‘爸爸’的家人,但我几乎从没见过自己的父亲。他会在出国旅行后突然出现,非常热闹,给每人带来礼物,然后再一次消失。”

    艾莱娜·邦纳的父母是列宁格勒的党干部,从清晨持续工作至深夜,很少看到留给祖母照看的女儿。艾莱娜渴望母爱,“假装爱哭”,还经常装病,迫使母亲留在家里。她羡慕那些母亲无须上班的孩子,相比之下,他们“总是显得非常欢快”;而自己的父母,即使在家时,也忙于党的工作,很少关心孩子。艾莱娜回忆,她9岁或10岁时,“父母每晚都在编写小册子,说是关于‘党的建设问题’。很长一段时间,我都以为党的工作就是造房子”。

    邦纳一家住在党务工作者的特殊宿舍,那里曾是列宁格勒的阿斯多里亚酒店。房间装饰简陋,一切摆设都是为了工作方便。大多数党员都生活在类似的简朴环境中,即使高级官员,其生活也很朴素。要等到20世纪30年代,斯大林才以豪华公寓和消费物品奖励他的忠诚部下。从1923到1930年,尼古拉·谢马什科担任卫生人民委员,他家在莫斯科财政部公寓大楼只占一套简陋的小公寓。其邻居回忆道:“他们对资产阶级的舒适或装饰从来不感兴趣。”

    20世纪20年代的布尔什维克理想主义者,将这种斯巴达式生活方式奉若神谕戒律。他们继承了地下工作的禁欲主义,在苏维埃政权的早期,更将之转换成自己的价值观和做人的原则。俄罗斯社会主义知识阶层,其文化和思想的内核,就是对物质占有的排斥。他们努力扫除“小布尔乔亚”的生活遗迹——壁炉架上供赏玩的瓷器、鸣唱的金丝雀、全部盆栽植物、柔软的家具、家庭肖像和其他小摆设——以追求更高层次的精神生活。建立共产主义生活方式的革命激情,向“庸俗的资产阶级舒适”发起攻击,这两者紧密结合。诗人马雅可夫斯基在1921年写道:
    墙上的马克思在注视
    突然
    张开嘴,
    开始呵诘:
    庸俗理不清的纱线缠上了革命
    庸俗生活比弗兰格尔 [4] 更为恶劣
    最好
    拧下金丝雀的首级——
    由此,共产主义
    将不会败于金丝雀。

    根据布尔什维克的美学,热衷于装饰自己居家的是庸俗人士。理想的“生活空间”(苏维埃官员对家的称呼)只需最少的装饰和布置,纯粹以实用功能为出发点,家具最好能节省空间,如两用沙发床。在布尔什维克的想象中,人们在资产阶级社会中因崇拜财产而受奴役,简朴生活反而是一种解脱。在费奥多尔·革拉特珂夫的著名小说《水泥》(Cement,1925年)中,同是党员的一对夫妇牺牲自我,抛离家园和女儿,去帮助重建一座在内战中被摧毁的水泥厂。当丈夫格列勃开始想念老家的舒适时,妻子迅即以更崇高的目标提醒他:“你想要美丽的鲜花在窗台上绽放,床上铺满软枕?不,格列勃。我冬天住在没有暖气的房间,在共用厨房就餐。你看,我是一个自由的苏维埃公民。”
    布尔什维克对个人外表持有同样严苛的态度——时髦的衣服、精致的发型、首饰、香水、化妆品,在在都是庸俗的资产阶级舒适。共产党先锋队的“新人”衣着朴实——类似无产阶级或半军事化的制服——没有任何装饰。在实施新经济政策的阶段,布尔什维克领导人担忧,“布尔乔亚”文化的舒适和诱惑突然袭来,可能腐蚀广大党员,所以要将这种斯巴达态度推崇为思想纯洁的象征。1922年,党在共产主义道德方面的主要发言人阿隆·索尔茨警告说,新经济政策可能会误导党员,让他们相信“自由追求自身品味的个人生活确实存在,甚至还可模仿资产阶级社会认定的优雅”。索尔茨呼吁布尔什维克改变自己的审美观,自行清洗内心的资产阶级本能。在他看来,“想要戒指、手镯、金牙齿的人都是丑陋的,一定会激起党员们的审美愤怒”。
    瓦伦蒂娜·季哈诺娃1922年出生于莫斯科,在布尔什维克领导人弗拉基米尔·安东诺夫―奥夫谢延科的家中长大。1917年10月率队攻坚冬宫的,就是奥夫谢延科。瓦伦蒂娜的母亲在布拉格遇见这位著名的布尔什维克,其时,奥夫谢延科担任苏维埃驻捷克大使。她离开身为出版社编辑的瓦伦蒂娜的生父,1927年与奥夫谢延科结婚。瓦伦蒂娜回忆,20世纪20年代,她家居住的莫斯科小公寓“只有最普通的家具和铁床”,唯一有价值的只是一只孔雀石盒,为母亲所拥有。公寓里没有任何饰物或装饰,父母对此也毫无兴趣。母亲后来成为大使夫人,也不屑于佩戴首饰。禁欲主义在奥夫谢延科的家中占统治地位,这个家是由4个小房间组成的公寓,位于人民委员会第二居住区。那是莫斯科的一个公寓街区,住的全是党的高级干部。瓦伦蒂娜的房间宛如牢房,仅有的家具是折叠床、写字台和小书柜。她回忆,这种简朴的环境都是自觉自愿的,体现了她家的知识分子原则和苏维埃意识形态。她反思道:“我们是苏维埃人,为我们社会的未来幸福而活,不是为满足自身的欲望而活。我们的生活方式具有道德上的纯洁性。”
    柳德米拉·埃利亚舍娃在拉脱维亚的布尔什维克家庭长大。父亲列昂尼德在1917年还是一个少年时,就从里加逃走,在彼得格勒加入布尔什维克。他为自己富裕的犹太父母而感到羞耻和不满,他的父母非常严格和凶狠,而工人运动之所以吸引他,部分原因就在于它的斯巴达生活方式。他在1920年写给妻子的信中承认,他拥护工人运动,就是为了“唾弃我的资产阶级出身”。根据女儿柳德米拉的讲述,列昂尼德对《国际歌》的歌词有亲身体会,我们要把“旧世界打个落花流水”。她说,他需要放弃的不只是他的阶级,“还包括他的家人、他习惯的生活方式、舒适的公寓、郊外别墅(dacha)、精致美食、时髦服饰、网球等”。他教育女儿柳德米拉(生于1921年)和马克斯娜(生于1923年):如果享用高于工人阶级的财富和舒适,就应感到羞愧。他会教诲她们,即便吃一顿丰盛的早餐也要感到内疚,因为其他孩子更穷,都吃不饱。他会在进餐时说:“人家只能吃面包和鸡蛋,而我们吃鱼或香肠,这实在可耻,我们凭什么要比人家过得更好?”他笃信“党的最高限额”——20世纪20年代限制党员薪酬的制度——并尽量培养小孩量入为出的习惯。女孩们不得购买新鞋,除非旧鞋已经破烂不堪,只在重要的苏维埃节日,才可领到糖果的犒赏。“我们过得很省,”柳德米拉回忆:
    我们的家具很便宜——都购自政府。我们粗茶淡饭地过日子,除了军装、背心、靴子,从没看到父亲穿戴其他的。母亲为上剧场准备了“特殊装备”,另有一两套礼服,仅此而已……上剧院是我们唯一的奢侈——还有大量书籍。

    像1917年的许多其他孩子一样,柳德米拉和姐姐从小就懂得克勤克俭代表道德纯洁,是为大家的美好未来而作出的艰苦奋斗。1936年,她在日记封面上写道:“受苦受难,摧毁了渺小者,锻炼了顽强者。”
    对某些家庭来说,共产党斗士的禁欲主义又成了过于沉重的负担。维金斯基一家是个很好的例子。约瑟夫·维金斯基1884年出生于圣彼得堡,他家虽是犹太家庭,但已俄罗斯化,属于自由派。父亲是一名数学教授,哥哥尼古拉是一名工程师,他与另一位哥哥弗拉基米尔都毕业于圣彼得堡大学法律系。全家因十月革命而被打散得七零八落。父母逃往芬兰;曾是孟什维克的弗拉基米尔,在1917年的临时政府中担任重要职务,移居到柏林后,又成为布尔什维克的顽强对手;家庭成员中留在彼得格勒的,只有约瑟夫和妹妹娜杰日达。像弗拉基米尔一样,约瑟夫曾经也是孟什维克,但他希望重新做人,参加了布尔什维克,并积极投入内战。为了证明他的忠诚,他甚至写信给远在柏林的哥哥——毫无疑问,他知道上司会读到此信——恳求他“重新审视他的政治原则,返回苏俄,投身于共同事业”。哥哥的反革命活动把他吓坏了,约瑟夫更竭尽全力投入党的事业。他写信给尼古拉说:“由于我的历史罪孽,他们只让我当预备党员,但我要承担很多党员的职责。如同一名优秀的共产党员,我随时准备上刀山、下火海。”

    事实上,他被派去叶卡捷琳诺斯拉夫,供职于当地工会组织的法律部门。约瑟夫与妻子亚历山德拉住在潮湿的地下室,置办了少得可怜的家具。亚历山德拉1922年写信给娜杰日达说:“我们找不到更好的居所,每一处都非常昂贵,只有新经济人才负担得起。我们的家庭生活缺乏最基本的用品——亚麻布、服装、针线。总之,什么都缺。”约瑟夫太忙,不关心此类“琐碎的家事”。据他的妻子说,他“除了工作以外,既不切实际,又杂乱无章”。夫妇俩没有钱,因为“党的最高限额”只允许少量的现金薪水,其中大部分又要寄给逃亡在芬兰的母亲。亚历山德拉尽量找散工以贴补家用,她对此耿耿于怀,认为党毁了她的“家庭梦”。她在1922年做了流产,在给娜杰日达的信中,她说她原希望有孩子,最终还是中断了怀孕,她实在是被自己的“虚弱身体拖垮了”,也不想给“疲于奔命为党工作”的约瑟夫添加负担。小两口的婚姻变得痛苦不堪,不时为钱发生争吵。约瑟夫又与另一名女子发生婚外情,在1924年生下一个儿子,经济上要给予支持。他与亚历山德拉的关系更趋紧张。约瑟夫常常出差,或去莫斯科传授劳动法,或去库班参与当地的工会工作。亚历山德拉在1925年写给娜杰日达的信中说:“我很少见到我的约瑟夫。沦落到如此地步,我很是伤心。但这是我们面对的现实,没有一丁点的私人生活,我们必须埋葬浪漫,它只是历史遗迹。”

    布尔什维克把教育当做创建新社会的关键。他们通过学校,以及儿童和青年的共产党组织(少先队和共青团),向下一代灌输新型的集体生活方式。苏维埃教育理论家之一在1918年宣称:

    我们必须将年轻人塑成新一代的共产党人。孩子像柔软的蜡一样,可塑性很大。他们应被塑成优秀的共产党人……我们必须拯救孩子,使之不受其家庭的有害影响……我们必须使孩子国有化,从小就接受共产主义学校的良好影响……责成母亲将孩子交给苏维埃国家——这是我们的任务。 (49)

    苏维埃学校的主要任务,一是要让孩子脱离“小布尔乔亚”家庭,因为它私人生活的旧心态只会破坏社会本能的培植;二是要向孩子灌输共产主义社会的公共价值。教育人民委员阿纳托利·卢那察尔斯基在1918年写道:“年轻人应学会以‘我们’来作思考,抛弃所有的私心杂念。” (50)

    苏维埃课程的指导方针是传播共产主义价值观。从这个意义上说,马克思主义在苏维埃学校中的作用,类似于沙皇学校中宗教的作用。对此,苏维埃教育思想家并不回避。有些实验性学校强调学习要通过实践,而不是理论。即使是在新兴的联合劳工学校——旨在向全体苏维埃学童提供从小学到大学的框架,其教学安排也围绕一系列生产车间(而不是教室上课)。孩子们通过学习技术和工艺的技能,作为攻读主流学科的第一步,尤其是科学和经济。 (51)

    政治灌输主要与积极分子的培养挂钩。宣传中的理想孩子,其形象是一名早熟的政治演说家,善于宣传鼓动。教育思想家认为,光是书本传授不了共产主义,还必须依靠学校的整体生活,再通过课外活动与校外广阔的政治世界结合起来,如庆祝苏维埃节日、参与公众游行、读报、安排学校的辩论和审判。其宗旨是让孩子接触到苏维埃制度的行为、崇拜、仪式,让他们长大后成为忠贞活跃的共产主义者。

    孩子们从小被灌输对“列宁叔叔”的个人崇拜。在幼儿园,他们一旦能手指列宁的图像,便被称作“十月儿童”。列宁逝世后,有人担心新的一代将不清楚他是谁。于是,学校得到指示,纷纷建立“列宁角”。那是一块政治圣地,宣传这位苏维埃国家的创始人,把他当做像上帝一样的伟人。有关列宁和其他革命英雄的传奇故事,成为思想政治教育的重要手段。大多数孩子不懂苏维埃国家的意识形态——只把革命看成“好人”与“坏人”的斗争——却能认同革命者的英雄事迹。

    进步学校办得恰似微型的苏维埃国家:在墙上以表格和饼状图形,列出工作计划和取得的成就;将班级组织成军队;让理事会和委员会的机构来监管学校的日常运行;把苏维埃政治的成人世界介绍给孩子。有的学校鼓励学生组织自己的警察,鼓励他们批评违规的同学,甚至举办课堂上的审判。为了提倡集体服从的风气,有些学校推出政治性的操练,包括游行、歌曲、向苏维埃领导人宣誓效忠。依达·斯拉温娜回忆在列宁格勒的学生时光:“我们在公共假日,整个班级一起游行,为代表学校而感到自豪。经过窗后有人窥视的建筑物时,会故意减慢步伐,齐声高喊:家庭保姆和窗后窥视者——
    恬不知耻!”

    阿列克谢·拉达琴科1910年出生于著名的革命者家庭。他的伯伯斯捷潘是列宁之前马克思主义地下运动的老将;父亲伊万是布尔什维克党的创始成员,1917年之后主管苏维埃泥炭工业(被视为重要的能源)。他家住在莫斯科东面的沙图拉小镇,其宽敞、舒适的住宅就在电厂的附近。电厂功能是将泥炭转化成电力,向苏维埃的首都供电。阿列克谢的母亲阿利西娅来自塔林的小布尔乔亚家庭,祖上有德国和瑞典的血统。她希望获得尊敬,很在乎家庭幸福和个人品味,显现了她中产阶级出身的遗痕。但在意识形态上,她心悦诚服于共产主义理想,即横扫布尔乔亚旧文化以创造新人。她是苏维埃教学理论的前驱,也是克鲁普斯卡娅在教育工作中的亲密伙伴。她将自己儿子的求学当做共产主义教育的实验,其理论主要来自俄罗斯体育创始人彼得·列斯盖夫特和马克西姆·高尔基的著作。她曾于1903年和1904年在圣彼得堡聆听过前者的演讲,又给儿子起了后者的名字(高尔基的真名是阿列克谢·帕申科夫)。她教阿列克谢各种语言;让他学习钢琴和小提琴;鼓励他从事家务和花园里的琐事,以激励他对体力劳动的尊重;安排他参观穷人居所,以培养他的社会良心。自1917年10月起,阿利西娅担任沙图拉的联合劳工学校校长。她将之办成一个公社,既有学术课程,又有农场的劳作,让孩子从一开始就明白何为共产主义生活。
    阿列克谢自小就崇拜父亲和其他革命者,但他体弱多病,又因脊椎病而不良于行,从而躲进了一个书生气十足的幻想世界。他崇拜列宁,把父亲鼓励他向列宁学习的话牢记在心。他在1923年12月听到列宁的病危消息,便在日记中袒露:“如果这有助于挽救他的生命,我愿冲出家门,把我所有的鲜血献给列宁。”列宁去世后,阿列克谢在自己屋内设了列宁角,在墙壁上贴满列宁的照片和熟记的列宁语录。阿利西娅记录下阿列克谢的政治进步,其中有他的日记、学校工作和绘图的样品、自己对儿子教育的评论。正如她自己描述的,她的记录是一份“科学日志”,可作为在家庭和学校实施共产主义教育的指南。阿利西娅鼓励儿子与沙图拉的其他孩子交往——主要来自电厂的民工家庭——在自家大房子里安排各式游戏和活动,让自己感觉已是这些弱势朋友的领袖。阿利西娅在儿子日记本的边缘写道:“遵循你父亲的榜样。他是工人阶级的领袖,你也要学会充当小伙伴的领袖。”阿列克谢在母亲的鼓励下,与学校同伴成立了一个“秘密”组织:世界儿童协会俄罗斯分会的中央局。他们有自己的徽章、自己的革命歌曲(阿利西娅为儿童编写的《开始》)、自制的红色横幅。公共假日时,他们就在沙图拉镇四下游行。 (54)

    1917年的孩子们受到鼓励,自觉地扮演革命家。苏维埃教育思想家受欧洲教育家的影响,例如弗里德里希·福禄贝尔和玛丽亚·蒙特梭利,也相信“寓教于戏”。他们把组织起来演戏当做受教育的过程,让孩子从中汲取苏维埃的集体价值观、社会参与和责任感。苏维埃学校的整个目的,不管是通过墙报和列宁角,还是通过理事会和委员会,都旨在灌输孩子是潜在革命者的观念:一旦有党的呼吁,随时准备奋起挑战——如有必要,甚至针对自己的父母。20世纪20年代,赖莎·贝格在列宁格勒知识分子家庭长大。她如此回忆学校朋友之间的同志友谊和战斗气氛:

    伟大的友谊、信任、团队精神,使我们全班同学紧密团结起来。我们也喜欢老师,无一例外。但在同学和老师之间仍有不间断的斗争,那是一场真正的阶级斗争。我们不需要任何战略或阴谋,但有一条不成文的规矩,即我们同志之间的忠诚是最重要的。我们不可向父母作出任何透露,他们可能会向老师告发。 (55)

    20世纪20年代最流行的大院游戏之一是红军与白军的战斗,很像美国牛仔与印第安人的战斗。俄国内战的战事由孩子们重演,经常使用专为此类游戏而生产的气枪。扮演红军和白军的孩子常常陷入真正的打斗,因为所有男孩都想扮演列宁的角色。其中一人回忆:

    我们都想扮演领袖。每个人都想当红军和布尔什维克,没人愿当白军、孟什维克。只有大人才能中止这一类的争吵——建议游戏开始时先不定下称呼,谁赢了,谁就是布尔什维克。

    另一个游戏是搜索与征用,其中一组(通常是男孩)扮演红军征用队,另一组(女孩)扮“资产阶级投机分子”,或藏匿粮食的“富农”。 (56)

    红军与白军、搜索与征用这类游戏,鼓励孩子接受苏维埃的世界两分法,一个是“好”,一个是“坏”。20世纪20年代,在苏维埃学校中进行的研究显示,孩子们总体上对近代历史的基本事实一无所知(很多学生不知道沙皇是谁);但苏维埃宣传品、书籍、电影中的旧政权支持者的邪恶形象,却给他们留下深刻影响。这些形象使众多孩子相信,“暗藏的敌人”继续存在。这种信念很容易挑起反对旧政权标志的非理性恐惧、歇斯底里、侵略性。一位年轻女学生问老师:“资产阶级吃小孩吗?”另有一人看到同学穿的衬衫的袖口上有皇冠图案,禁不住在班级上喊出:“瞧,他是沙皇支持者。” (57)

    许多1917年的孩子在少年先锋队里第一次见识政治。少年先锋队建立于1922年,以童子军运动为蓝本。童子军是共产主义俄罗斯保留的最后的独立公共机构之一,它在1920年被苏维埃政府取缔。童子军的精神旨在敦促年轻成员,通过实践活动来培养自己的公共责任感。在20世纪20年代,这种精神继续存在于许多少先队组织(也存在于部分苏维埃精英学校)。到1925年,在10岁至14岁的苏维埃儿童中,约有五分之一加入了少先队。随后几年中,该比例逐渐上升。像童子军一样,少先队有自己的道德准则和礼仪,还有每一名队员都熟记于心的誓言(四分之三个世纪之后,很多人仍能回忆起来)。“我,一名苏联少先队员,当着我的同志们的面庄严宣誓:遵守列宁的戒律,坚决拥护我们的共产党和共产主义事业。”少先队员参与甚多的行军、唱歌、体操和体育活动。他们还有一个呼应口号(呼:少先队员,做好准备!应:时刻准备着!),源于红军。他们编成大队,拥有自己的条幅、旗帜、歌曲和制服(白色衬衫和红领巾)。这是队员感到无比自豪的源泉,似乎成了少先队主要的诱惑。一名少先队员回忆:“我不懂该运动的职责和义务,像其他人一样,只企盼红领巾。”1928年在彼尔姆加入少先队的维拉·米诺苏娃回忆:“我喜欢制服,特别是红领巾。我每天都熨,戴着去学校。这是我唯一漂亮整齐的服饰,每当穿戴起它们,我就自豪,感到自己长大了。”20世纪20年代在莫斯科上学的瓦莱里·福雷德,如此自豪于自己的红领巾,以至在加入少先队后好几天,每晚睡觉都要戴着它上床。 (58)

    苏维埃儿童通过少先队强烈感受到社会的包容和排斥,每个孩子都希望成为少先队员。加入少先队是光荣和令人兴奋的,红领巾是为社会所接受、享有平等地位的重要标记。不能加入少先队的孩子——其中许多人是因为自己的社会出身——感受到深深的羞愧和自卑。玛丽亚·德罗兹多娃被少先队开除了,因为她来自“富农”家庭。她想恢复队籍的愿望如此炽烈,以至在衬衫底下悄悄佩戴红领巾多年。波兰贵族的女儿索菲亚·奥热姆伯罗斯卡娅,上教堂被人发现,因而遭到少先队开除。她讲述了被开除时的情景,依然情难自抑:

    突然,他们在学校走廊的墙报上发布一条公告——快讯:“立刻集合!”孩子们跑出各自的教室,在操场上排成队列,我被要求站在整个大队面前,忍受羞辱。孩子们大声喊道:“看,她去教堂,给我们全大队带来耻辱!她不配佩戴红领巾!她没有资格佩戴红领巾!”他们朝我扔土块,然后试图扯下我的红领巾。我开始哭,并大声叫:“我不给!我不给!”我跪了下来,恳求他们不要拿走我的红领巾,但到最后,还是被拿走了。从那天起,我就不再是一名少先队员了。

    少先队的目标是向苏维埃儿童灌输共产党的价值和纪律,让他们接受党和共青团惯用的“工作计划和讨论制度”。心理学家和教育理论家扎尔金特,是党在人格的社会调整方面的主要发言人。他认为少先队运动的目标,是训练“革命的共产主义战士,彻底避免资产阶级意识形态的毒害”。克鲁普斯卡娅认为,少先队将取代家庭,成为影响苏维埃儿童的主要力量;它将教育少先队员学会勤劳和听话,以达到思想和行动上的纯洁。米诺苏娃回忆:“通过少先队,我变得聪明整洁,按时完成任务,做任何事都非常自律。之后,这一切成为我一生奉行的准则。”

    少先队员又是积极分子,参与各式俱乐部活动——组织示威游行、编辑墙报、从事义务劳动 [5] 、参加戏剧和音乐会——以培养自己的社会积极性和领导才能。瓦西里·罗马什金1914年出生于莫斯科省的农家,他回顾自己在20世纪20年代的学习和少先队活动,还记得当时对公共活动的重视:

    什么是“苏维埃人”呢?它意味着,遵循我们在学校和少先队中所学的,热爱苏维埃祖国,努力工作,树立好榜样。我把这些牢记在心。第三学年[ 1924年]时,我已是学校委员会的主席,后来又成为学校法庭的主席、学校审判中的公诉人、学校工会的副主席。我是一名积极的少先队员,通过少先队懂得了自己对学校和国家的爱,应超过对自己家人的爱。我喜欢我们村校的班主任,把她当做自己的母亲。 (61)

    并非所有的少先队员都像罗马什金一样投入。对许多儿童来说,少先队活动其实只是一种游戏。依达·斯拉温娜是一位著名苏维埃法学家的女儿,她回忆幼时在列宁格勒公寓街区组织自己的俱乐部:

    我喜欢看儿童杂志《莫济尔卡》(Murzilka),其封面上的口号是:“妈妈!爸爸!我们将推翻你们的权威!”这杂志呼吁儿童建立新的生活方式,汇集大家的玩具,把大家组织成像少先队一样的俱乐部。我是我们这一层楼孩子里的头儿,我会大声朗读杂志上的文章,向俱乐部成员解说其中的道理。大楼管理部门让我们借用地下室来聚会,我们在地下室的墙上贴满革命英雄的照片,并在那里寄存所有的玩具。 (62)

    其他少先队员对政治活动更感兴趣。他们受到长辈的鼓励,模仿成年共产党人的行止,扮演官僚和警察的角色。这些早熟的积极分子,携带公文包前来出席“行政会议”,以党的口号发言,做正规的记录,并谴责涉嫌怀有反动思想的老师,甚至还有人在街上充当举报人,协助警方追捕“间谍”和“敌人”。

    到15岁,苏维埃儿童从少先队升至共青团,但不是所有孩子都够格。1925年,共青团有100万成员——约占共青团员合格年龄的4%(从15岁到23岁)——仅是少先队成员相应比率的五分之一。 (64) 加入共青团是加入共产党的前奏,很多工作职位和大学课程只对共青团员开放,或优先择取共青团员。尼娜·维什尼亚克娃记得,加入共青团是一件“头等大事”:

    迄今[她写于1990年],我还记得共青团员手册中的每一句话——它激起我的万千思绪。我记得,我突然变成肩负重任的成年人……与加入之前相比,我似乎一下子变得能干许多。加入苏维埃的精英行列和取得巨大的成就,一直是我的梦想。现在这个梦想即将成真。 (65)

    诗人叶夫·多尔马托夫斯基1915年出生于莫斯科的律师家庭,1930年从少先队升入共青团。他参加申请入团的会议时迟到了,受到团书记的责备,指责他“显然不够成熟,尚不符合加入共青团的要求,申请加入只是想追求政治前途”。多尔马托夫斯基告诉父亲此事,他的满不在意受到了严厉的批评。父亲警告说:“他们都在看你,你必须证明,随时准备奉献自己。”下一次会议中,一名女孩追问多尔马托夫斯基,他是否“愿为苏维埃政权牺牲自己的生命”。 (66)

    加入共青团,就必须接受共产党的命令、规则、伦理。共青团员对革命的忠诚,应该高于对自己的家庭。他们不再是孩子,而是年轻的共产党人,要像党员一样全身心投入公共生活。共青团是党的后备军,都是年轻的积极分子,志愿为党工作,在反对腐败和滥权的斗争中,随时准备充当间谍和举报人。在20世纪20年代和30年代,这样的任务具有极其广泛的吸引力。革命和内战的理想,深深打动了苏维埃青年,所推崇的就是这样的行动和活力。许多年轻人加入共青团,不是因为信奉共产主义,而是因为身为积极分子,亟想有所作为,却没有施展抱负的其他渠道。共青团员被要求在家长和教师中揭发“阶级敌人”,作为锻炼,还在学校和大学里参与对“反革命分子”的模拟审判。

    他们出生太晚(在1905年至1915年之间),没受到旧社会价值观的熏染;又太年轻,没参与血腥的内战。这些青年积极分子,对革命的“英雄时期”抱有极为浪漫的憧憬。罗马什金回忆:“我们渴望与父兄辈的革命家挂上钩,认同他们的斗争。我们穿得像他们一样,一身军服,模仿农村男孩从红军那里学来的军人口语。”积极分子热烈欢迎布尔什维克的斯巴达文化,他们从小生活在第一次世界大战、大革命、内战的贫瘠中,对刻苦节俭并不陌生。他们更以禁欲主义的激进,杜绝所有个人(“资产阶级”)的财富和快乐,以免革命斗争受损。有的自组公社,聚集大家的钱和财产,以“消灭个人主义”。他们在道德品质上也是绝对主义者,奋力挣脱古老的习俗。 (68)

    20世纪20年代的理想主义共青团员是一个特殊群体——他们将在斯大林政权中发挥重大作用。敖德萨地区的共青团积极分子米哈伊尔·巴伊塔尔斯基,与朋友们组成俱乐部,他在回忆录中谈及当时的主导精神:“人人都是纯真的,如有需要,时刻准备以生命捍卫共产主义。如有炫耀或抱怨,会被冠以‘臭知识分子’的帽子,这是最具侮辱性的标签之一,比它更糟的仅有‘自私自利者’。”在这圈子里,大家都愿把自己献给党的事业。譬如有报道称,某契卡(政治警察)为了革命需要而没收父亲的五金店,没有一人会为此感到震惊。大家都认为,追求个人幸福的思想是可耻的,应予以消灭。正如巴伊塔尔斯基所说的,革命需要我们为明天的美好生活牺牲今天的欢乐:

    我们的希望都寄托于未来。能够亲自参与即将来临的世界革命,甘愿承担其中的全部责任,我们感到无比激动,做任何事,即便是很普通的,也会坚强无比。这好比在等待一列火车,把我们带去别处,投入辉煌的事业。我们愉快地竖起耳朵,寻觅远方火车的汽笛声…… (69)

    青年男女之间的亲密关系被视作一种分心,只会削弱对革命的集体热情,婚姻被斥为“资产阶级”的习俗。列宁格勒红色普蒂洛夫厂一名共青团积极分子在1926年宣布:“维持个人关系的想法是无法接受的,这种想法属于早已消失的年代——十月革命之前。” (70) 巴伊塔尔斯基苦苦追求名叫叶娃的犹太女孩——她是当地的共青团书记,全身心投入工作,很少有浪漫的邂逅。他所盼望的,只是在共青团会议后陪她回家,牵她的手,偷一个吻。他们最终结了婚,生了一个儿子,起名叫弗伊(Vi),以纪念列宁(列宁名字弗拉基米尔·伊里奇的头两个字母)。托洛茨基在1927年被驱逐出党,巴伊塔尔斯基作为“托派反革命分子”也遭到开除。叶娃把对党的忠诚放在首位,她采信了丈夫犯了反革命罪行的认定,宣布与他断绝关系,将他驱出家门。巴伊塔尔斯基在1929年被捕。

    巴伊塔尔斯基以20世纪70年代的眼光回顾过去,认为叶娃仍是好人,对党尽责使她在良心上委曲求全,党员的信仰预设了她对世界上“好坏”的反应。她让自己的个性和理性,屈从于党的“不容置疑”的集体权威。在布尔什维克中间有“成千上万”个叶娃,即使革命渐渐让位于斯大林专政,仍在无条件地接受党的裁判:

    这些人没有变质,相反,他们几乎没有改变。他们的内心一如从前,对外部世界的变化视而不见。他们的不幸在于保守主义(我称之为“革命的保守主义”),体现在他们对革命初期的标准和定义……保持一成不变的奉献。这些人甚至接受劝服,为了革命心甘情愿自认是间谍。许多人相信,这样做是革命的需要,从而可以视死如归。

    斯大林在1924年说:“我们共产党人是具有特殊性格的人,我们是由特殊材料制成的……属于这支队伍非常光荣,再也没有比这更高的荣誉。”布尔什维克把自己看作美德和责任的载体,在社会上与众不同。阿隆·索尔茨在影响甚广的《政党伦理》(Party Ethics,1925年)中,把布尔什维克与沙皇时代的贵族作了比较。他写道:“今天,我们成了统治阶级……我们国家的习俗,将以我们如何居住、穿着、行事、重视何种关系为准。”布尔什维克是执政的无产阶级,与不同的社会阶层进行亲密的交往也是不可取的。索尔茨认为,布尔什维克娶无产阶级之外的女子为妻,就是“坏品味,就像上世纪伯爵娶女佣一样,必须受到相同的谴责”。 (72)

    沙俄的公共生活以贵族的风貌为主。与此相应,党的风貌很快也在苏俄公共生活的方方面面,占据了主导地位。列宁本人曾把布尔什维克比作贵族。事实上,1917年后入党就像社会阶层的攀升,它能带来精英地位、特权、优先获得的官位,以及成为党国的一部分。内战结束时,布尔什维克已占据政府所有的主要职位。随着苏俄生活的各方面陷入国家的控制,官僚机构急剧膨胀。到1921年,苏维埃官僚人数是沙皇时的10倍,共有240万国家官员,超过俄罗斯产业工人的两倍,成了新政权的主要社会基础。

    精英的态度很快在布尔什维克家庭扎根,并传染给他们的孩子。根据1925年在各校进行的控制游戏的研究,大多数苏维埃学生认为,党员的地位理所当然应高于社会其他成员。两个男孩发生纠纷,如果留给孩子们自己决定,他们通常支持父母是布尔什维克的男孩。该研究显示,苏维埃学校已在孩子身上造成价值观的重大变化,以新的等级制度,取代了曾在劳工阶层中奉行的公正和平等。党员的孩子滋长了明显的特权意识。在一次控制游戏中,孩子们在玩火车,男孩想要开车,不愿等待一个小女孩上车。那女孩却说:“火车会等我的,我丈夫在GPU[政治警察]工作,我也在那里上班。”她登上火车后,还要求获得免费车票。 (73)

    这个自封的精英阶层,其资格是“共产主义道德”。布尔什维克把自己定为政治和道德的先锋队,其救世主式的领导意识,要求其成员证明自己拥有这个资格。作为精英,每一名成员必须证明,自己的私人行为符合党的利益和信念。他还要显示,自己是共产主义的忠实信徒,拥有比群众更高的道德和政治的觉悟,诚实守纪,工作勤奋,无私奉献。这并不是传统意义上的道德体系。布尔什维克拒绝抽象的或基督教的道德理念,斥之为一种“资产阶级压迫”。相反,它要求一切相关的道德问题,必须服从于革命需求。一名党的理论家在1924年写道:“在阶级斗争中有助于无产阶级的就是道德,有害于无产阶级的就是不道德。” (74)

    信仰是每一名“自觉的”布尔什维克的道德关键,使之有别于为私利而加入共产党的“野心家”,信仰又是问心无愧的代名词。党的清洗和做秀公审(show trails),被用来探索被告的灵魂深处,以揭露他或她的信仰真相(坦白被视为内心的真实暴露,所以非常重要)。此外,信仰是一个公共问题,并不属于私人。也许,这与东正教传统的公开忏悔有关,却与西方基督教的私下忏悔大相径庭。在西方概念中,良心是与自己内心的对话,但共产主义道德对此是不予承认的。1917年之后,这种意义上的俄语中的“良心”(sovest)一词,几乎从官方使用中全部消失,被soznatel’nost’所取代,表示有觉悟或能力,达到对世界的较高级别的道德判断和理解。它在布尔什维克的话语中还表明已经获得道德革命的较高逻辑,即马克思列宁主义思想。 (75)

    当然,并不能指望所有的布尔什维克都能详细了解党的思想。对普通党员来说,只要参与日常的实践仪式便已足够——誓言、歌曲、仪式、崇拜、行为准则——犹如组织起来的宗教的信徒,只需上教堂表述自己的信念。党的学说是所有追随者的信条,集体作出的判断就是终极的正义。如果领袖指出某党员有罪,后者只得悔改,向党下跪,欢迎党的判决。如果为自己辩护,无疑是对党的意志抱有异议,是罪上加罪。这解释了为何这么多布尔什维克,即使是无辜的,也在清洗中认命。布尔什维克领袖尤里·皮亚特科夫,1927年作为托派而遭开除。过后不久,他的朋友透露一次对话,对这类人的心态有所披露。皮亚特科夫为了能够重返党内,决定放弃许多他秉持已久的政治信仰。他的朋友指责他已变成一个懦夫。但皮亚特科夫辩解,这仅仅表明:

    真正的布尔什维克,随时准备放弃自己多年信奉的思想。真正的布尔什维克,早已把自己的个性彻底融入“党”的集体之中,愿意作出必要的努力,抛弃自己的意见和信念……如果党有需要,他愿相信,黑是白的,白是黑的。 (76)

    皮亚特科夫改弦易辙得如此彻底,然而像其他“叛徒”一样,再也没赢得斯大林的完全信任。1936年,斯大林下令再次将他逮捕。

    清洗的开始,远早于斯大林权力的崛起,其起源是在内战时期。其时,党的队伍迅速增长,领导人害怕中间充斥着野心家和“自私自利者”。早期清洗的对象是整个社会群体:“新生的资产阶级分子”、“富农”,等等。工人阶级出身的布尔什维克一般免查,除非有人在清洗会议中提出具体的指控。到20世纪20年代,清洗方式逐渐出现了转变,变得越来越重视个别布尔什维克的行为和信念。

    伴随这一转变出现的是一个愈益复杂的制度,即专门检查和控制党员的私生活。申请入党的人,必须证明自己坚信党的意识形态,重点放在何时投身于党的事业。只有那些在内战中与红军并肩作战的人,才被视为已经证明了自己的献身精神。党员在一生中,要定期上交简短的自述,或填写履历表,详细解说自己的社会背景、教育、职业,以及政治觉悟的演变。在本质上,这些文件是某种形式的公开招供,党员们以此来重申他们无愧于这个精英的称号。其关键是要显示,他们政治觉悟的提高全亏了革命和党的监护。 (77)

    列宁格勒矿业学院的悲惨事件,更力挺了党对党员私人生活的监督。1926年,有名女学生在学院宿舍里自杀,迫使她走上绝路的是她事实婚姻的丈夫的残忍。康斯坦丁·科连科夫并没被送上法庭,然而因为“对同志的自杀,负有道义上的责任”,他受到了共青团组织的排斥。但地区党组织的监察委员会——很像党的地区法院——推翻了这一决定,认为过于苛刻,代之以“严厉批评和警告”。数星期后,科连科夫和他弟弟抢劫了矿业学院的收银办公室,刺死收银员,刺伤其妻子。专管党的伦理和法律的是中央监察委员会,其资深委员索菲亚·斯米多维奇逮住这一案件,称之为一种“病”,主要症状在于对同志的道德和行为的漠不关心:

    同志的私人生活用不着我的关心。科连科夫将他生病流血的妻子锁起来,学生们只是袖手旁观——好,这只是他的私人生活。他对她使用咒骂和侮辱的语言——也无人干涉。更重要的是,科连科夫的房间响起枪声,楼下房间的学生甚至觉得没有检查一下的必要,认为这也是私事。

    斯米多维奇认为,集体的任务就是以监督和干预的方式,在成员私生活中强制执行道德标准。她主张,只有这样才能促进真正的集体主义和“共产党良心”。

    斯米多维奇设想的监督和举报的制度,不全是1917年革命的新发明。几个世纪以来,举报一直是俄罗斯统治的一部分。向沙皇请愿来对抗滥权官员,在沙皇制度中发挥了重要作用。这益加渲染了“沙皇即是公正”这个流行神话,只有沙皇(在没有法院或其他公共机构的情况下)在保护人民反对“邪恶的仆从”。在俄语词典中,举报(donos)被定义为一种公民美德(揭露非法行为),而不是自私或恶意的行为。该定义在整个20世纪20年代和30年代都得以保留沿用,只不过在苏维埃制度下,举报的文化更披上了新生的含义和强度。苏维埃公民受到极大的鼓励,以举报邻居、同事、朋友甚至亲戚,警惕是每一名布尔什维克的首要职责。已晋升为中央监察委员会高级委员的谢尔盖·古谢夫主张:“列宁教导我们,每一名共产党员都应成为契卡。也就是说,他应该留心察看,积极汇报。”如果认为自己的同志的思想或行为在威胁党的团结,党员也应予以举报。在工厂和兵营,党员候选人的名单张贴在党支部办公室门外,邀请大家写下对候选人的检举,指出他们各自的缺点(如酗酒或粗鲁),然后再到党员会议上讨论。尽管有些党领导人对此举的道德属性表示保留意见,汇报私人谈话愈益成为举报实践中的共同特点。苏共十四大在1925年作出决定,一般不鼓励有关私人谈话的汇报,除非有“威胁党内团结”的嫌疑。 (81)

    在发展于20世纪20年代的清洗文化中,应邀出席举报会议是一个关键。党和苏维埃的组织定期召开清洗会议,党员和干部要答复群众书面和口头的批评。正如年轻的艾莱娜·邦纳在共产国际的宿舍中所看到的,这些会议很容易演变成人身攻击:

    他们打探人家的妻子,有时也会问到他们的小孩。原来有人殴打妻子,狂饮伏特加。巴塔尼娅[邦纳的祖母]会说,体面人不会问这样的问题。遭到整肃的人有时会说,他再也不会打妻子或酗酒了。还有很多人对于自己的所作所为表示“再也不会这么做了”,“什么都明白了”。接下来,很像你被叫进老师办公室时的情景:老师坐着数落你,你得站着,旁边的其他老师露出鄙视的微笑。你赶紧说:“我明白了,以后再也不会重犯。当然,这都是我的错。”但你只是在敷衍了事,只想快点离开,好去参加其他孩子的课间游戏。而这些人更为紧张,其中一些人几乎失声痛哭。看到他们这幅情景,叫人好不舒服。每次整肃都要持续很长时间,有时每晚对付三个人,有时只对付一个人。

    在布尔什维克的私人生活中,不受党领导关注和检举的日益减少。每一个成员都要向集体袒露内在的自我,此种公共文化是布尔什维克所独有的——纳粹或法西斯的运动没有如此的要求,纳粹党或法西斯运动中的个体,只要坚持党的规则和意识形态,仍可享有自己的私人生活——直到中国的“文化大革命”。布尔什维克明确拒绝私人生活和公共生活之间的差别。一名布尔什维克在1924年写道:“有同志说,我现在所做的只与私人生活有关,与社会毫不相干。但我们认为,那不正确。”党员私人生活中的一切都是社会和政治的,他所做的直接影响到党的利益,这就是“党内团结”的含义——个人与党的公共生活的彻底融合。

    索尔茨在《政党伦理》一书中,把党设想成一个自我警戒的集体,每一名布尔什维克都在审议和批评其战友的私人动机和行为。他想象,这样身体力行的布尔什维克,方能借助党的眼睛来认识自我。然而在现实中,这种相互监督的效果适得其反。它鼓励人们展示自己处处符合苏维埃理想,却把真实的自我藏匿在私人领域的暗处。苏维埃制度要求忠诚,惩罚异议,于是这种虚伪变得日益普遍。20世纪30年代的恐怖时期,对几乎每一个苏联人来说,保密和欺骗已成了不可或缺的生存策略,全新的人格和社会因此浮现。就苏联人口的大部分而言,这种双重生活在20世纪20年代已是现实,特别是生活在公众视野中的党员家庭,还有因社会背景或信仰而易受迫害的家庭。人们学会了戴上面具,扮演苏维埃忠诚公民的角色,回到家中再偷偷遵循自己的生活准则。

    在这个社会中,谈话是危机四伏的,家中的闲聊如在家庭之外重复,可能招致逮捕和监禁。孩子们是危险的主要来源,他们天性爱说话,太年轻,又不懂偷听来的谈话中的政治含意,操场便成了举报人的温床。萨拉托夫一名中层布尔什维克官员的女儿回忆:“我们弄懂了祸从口出的道理,家里的事不会告诉任何外人。”

    听和说都有一定的规矩,我们小孩子必须学会。如果偷听到大人的耳语,或是背着我们的悄悄话,我们都很清楚,绝不能转述给任何外人。甚至让大人知道我们已听到他们的悄悄话,都会有麻烦。有时,大人脱口说了什么,然后告诉我们“隔壁有耳”,或“小心你的舌头”,或其他的表述……在大多数情况下,我们凭本能学会了这些规矩。没人向我们解释这些话在政治上是很危险的。不知何故,我们总能猜着。

    尼娜·雅科夫列娃在默默反抗苏维埃政权的氛围中长大。母亲来自科斯特罗马城的贵族家庭,在内战中躲避了布尔什维克;父亲是社会革命党人 [6] ,1921年参与了在坦波夫州爆发的反布尔什维克的农民大起义,之后遭到监禁(他成功越狱,逃至列宁格勒,1926年再次被捕,被判处5年监禁,囚在苏兹达尔的特殊隔离监狱)。尼娜成长于20世纪20年代,她凭本能懂得,不能在学校谈及自己的父亲。她回忆:“母亲在政治方面有意缄默,宣称对政治不感兴趣。”从这种沉默中,尼娜学会了闭嘴。“虽然没人定下说话规矩,但有一种感受,即家里的气氛明确提醒我们,要避而不谈父亲。”尼娜也学会了对直系亲属之外的人不予信任,她1926年写信给父亲说:“我不爱其他任何人,只爱妈妈、爸爸和柳芭姨妈。在我心里,只有家人,没有任何其他人。”

    加林娜·阿达西斯卡娅1921年出生于活跃反对派的家庭。父亲是社会革命党人,母亲和外婆是孟什维克(三人都在1929年被捕)。20世纪20年代,前社会革命党人和孟什维克仍有可能在苏维埃政府工作,加林娜的父母过着双重生活。父亲在新经济政策推动的合作社管理部门工作,母亲在贸易部供职。但在私下里,他们仍保留旧的政治观念。加林娜受到刻意的保护,不碰这个秘密的政治领域,被培养成为“苏维埃孩子”(她加入了少先队和共青团)。“政治是父母上班从事的,或用来写作的。但在家里,他们从不谈政治……把政治视作肮脏的行径。” (86)

    尼娜和加林娜所处的家庭可能有点极端,但她们凭本能学到的沉默规则,却是众多家庭所遵循的。出生于波兰贵族家庭、因上教堂而被少先队开除的索菲亚·奥热姆伯罗斯卡娅,与家人生活在明斯克附近的一个村庄,住在一栋木房子的前半部。她回忆:“在家里,我们从不谈论政治或类似的话题。父亲总说‘隔墙有耳’。有一次,他甚至为我们演示,透过墙上的玻璃隔板,可以听到邻居的谈话。我们懂了,自那以后也开始害怕邻居。” (87)

    柳博芙(柳芭)·捷丘耶娃1923年出生于乌拉尔地区的切尔登小镇。父亲亚历山大是东正教神父,被捕于1922年,关在监狱里将近一年。出狱后,国家政治保卫总局(OGPU,政治警察)向他施压,要他成为举报人,汇报自己教民的活动,但遭到他的拒绝。为此,切尔登苏维埃政府剥夺了他们的公民权利,并在1929年实行配给制度后拒发配给卡给他们。 [7] 亚历山大的教堂又被宗教改革者夺走,后者寻求东正教礼仪的简化,获得苏维埃政权的支持。不久,亚历山大二度被捕,因为宗教改革者举报他在信徒中散播不和言论(指责他拒绝加入宗教改革者的行列)。柳博芙的母亲原在切尔登博物馆从事图书目录的工作,也被辞退;两个兄弟中年龄大的那个,也被学校和共青团开除。他们家的经济来源全靠柳博芙当教师的姐姐。柳博芙回忆她在20世纪20年代的童年:

    父母如果要谈论重要事项,总是去屋外窃窃私语。有时,他们会与祖母在院子里交谈,但从不在孩子们面前——从来没有……他们从不争论或批评苏维埃政权——尽管他们满腹牢骚——但我们从没听到过,哪怕是一次。母亲老是跟我们说:“你们不要参与闲聊,不要多嘴,听到的越少越好。”我们长大的地方,满屋子都是耳语者。 (88)

    许多家庭在20世纪20年代经历了日益加剧的代沟:旧社会的风俗习惯在私人家庭中仍保持优势,论资排辈仍然行得通;但年轻人通过学校、少先队、共青团,越来越接受苏维埃宣传的影响。对老一辈来说,这种情况构成了道德困境。他们一方面希望将家庭的传统和信仰传给子孙,另一方面又想把他们培养成苏维埃公民。

    在大多数家庭中,祖父母是传统价值的主要传承者。尤其是祖母,如果父母是双职工,祖母就在养育子女和管理家务上承担主要责任;如果母亲只是兼职,祖母就承担辅助责任。用诗人弗拉基米尔·科尔尼洛夫的话,就是“在我们的年代,似乎没有母亲,只有祖母”。 (89) 祖母的影响是多方面的,她们通过管理家务,直接影响了孩子的礼貌和习惯。她们向孩子讲述一些陈年往事(1917年之前的),以后既可作为苏维埃历史的参考或抗衡,又促使孩子对学校灌输的宣传生疑。她们为孩子朗读在苏维埃学校很少学到的革命前的俄罗斯文学,或带孩子去剧院、画廊、音乐厅,从而传承了19世纪的文化价值。 (90)

    艾莱娜·邦纳是外祖母带大的。她后来写道:“我生活的中心是巴塔尼娅,而非妈妈。”她父母是党的积极分子,常常不在家。艾莱娜在与外祖母的相处中,找到了她渴望但从父母那里又得不到的爱和亲情。巴塔尼娅提供了道义上的平衡力,以抵消来自父母的苏维埃影响。即使是个孩子,艾莱娜仍能意识到,祖母——一位丰满且“美得惊人,既冷静,又不卑不亢”的女性——所处的世界,不同于父母所处的苏维埃世界。

    巴塔尼娅的朋友和熟人很少来访,我们楼中的居民只有她和小孩子们不是党员,但我经常陪她去拜访别人。我看到她们不同的生活——吃不同的菜,使用不同的家具。(在我家,只有巴塔尼娅一人使用正常家具和一些精致摆设……)她们的谈论也迥然不同,我觉得(这个印象肯定来自父母)她们应属于不同种类,我说不出到底是更糟,还是更好。

    巴塔尼娅保守的道德观,植根于俄罗斯犹太资产阶级的世界。她勤劳、严格、富有爱心,全身心投入家庭。20世纪20年代,巴塔尼娅曾是列宁格勒海关办事处的“特殊人才”——“资产阶级”专家和技术员虽受到很多嘲笑,却很有必要——她在那里担任会计,赚的比艾莱娜父母的“党的最高限额”多。巴塔尼娅保存了节俭持家的老习惯,与艾莱娜父母带入家中的“苏维埃方式”老是发生摩擦。她读很多书,却“顽固地拒读当代文学”,并在原则上不看电影,显示了她对现代世界的不屑。她对新秩序看不上眼,以鄙视的口吻谈论党的领导人,为布尔什维克专政的过分而责怪她的女儿。她真生气时,会用这句话开头:“让我提醒你,在你们那个革命之前……”苏维埃政府禁止东正教中最丰富多彩的忏悔节之后,惋惜旧习俗的巴塔尼娅对外孙女说:“嘿,这都是拜你们的妈妈、爸爸所赐。”毫不奇怪,艾莱娜困惑于家中价值观的冲突。她在接受采访时回忆:“我们孩子的教育问题引起了极大的争执。”

    外祖母从金色儿童图书馆为我借来书籍,包括各种蠢事笑话。妈妈很不以为然,鼓起了嘴,但不敢对外祖母说什么。妈妈也带书籍回来,但决然不同,如写保尔·柯察金的, [8] 还是手稿,我也照读,自己都不知道究竟喜欢哪一种。

    艾莱娜热爱的外祖母,是这个世界上她最尊敬的人。但不奇怪,她仍认可父母和他们的世界:“我总认为爸妈的朋友是我的同类,而巴塔尼娅的却是陌路人。从本质上讲,我已经属于党。” (91)

    20世纪20年代和30年代,阿纳托利·戈洛夫尼亚在弗谢沃洛德·普多夫金的大多数电影中担任摄影师。在他莫斯科的家中,母亲利季娅·伊万诺夫娜是举足轻重的人物。她出生于敖德萨的希腊商人家庭,在斯莫尔尼学院接受教育,学到了俄罗斯贵族优雅的风度和习惯。她将这些习性带进戈洛夫尼亚家庭,以“俄罗斯维多利亚式”的严酷纪律,掌管一切家事。阿纳托利的妻子柳芭是一名异常漂亮的电影演员,来自车里雅宾斯克的贫农家庭。利季娅瞧不起柳芭的“粗俗”举止,还认为她对昂贵衣服和家具的酷爱,恰恰体现了“苏维埃新资产阶级”(那些加官晋爵的工农)的物质占有欲。柳芭在一次疯狂购物后回家,与利季娅发生了激烈的争吵。利季娅告诉她,她代表了“革命的丑陋面”。利季娅自己仅有简朴的生活习惯,总穿同样的黑色长礼服,深口袋里只有粉盒和带柄眼镜。她在内战末期席卷俄国东南部和乌克兰的大饥荒中幸存下来,尽管阿纳托利的收入应付家用绰绰有余,她仍生活在饥饿的阴影之中。这家人还包括柳芭的妹妹和柳芭的女儿奥克萨娜。利季娅用小笔记本,规划出每一餐需要的食物的确切数量。她有自己中意的商店,如精致的菲利波夫斯基面包店和特韦尔斯卡娅大街上的叶利谢耶夫店,“她会在那里稍稍享受一下奢侈:喝一杯冰镇番茄汁”。回顾童年,奥克萨娜在1985年写道:

    祖母非常谦虚,严守纪律,俨然是个道德家,更可说是个教育家。她总想去做“正确的事”。我记得,她喜欢这样告诉她坚定的布尔什维克儿子:“如果你照我说的做,可能早已建成共产主义了。”她说起话来无所畏惧,从不隐瞒她的所思所为。她坚信,思想应大声说出来、讲清楚,不需要幌子、欺骗、恐惧。她常对我说:“不要交头接耳,这是一种无礼!” [9] 现在我才知道,她这样做,是为了给她孙女树立一个道德榜样——为我示范正确的举止。谢谢你,祖母!

    祖母又是宗教信仰主要的实践者和监护人。苏维埃儿童的洗礼几乎都是她们组织的,有时父母既不知情,也没同意。她们带孩子上教堂,把宗教习俗和信仰传承下去。苏维埃儿童的父母,纵然自己保有宗教信仰,也不太可能将之传给孩子,部分原因是恐惧,万一曝光,譬如说在学校,就有可能给家庭带来灾难。来自工人家庭的弗拉基米尔·福明,出生于列宁格勒附近的科尔皮诺。他回忆:“尽管有父母的强烈反对,祖母仍带我去洗礼,在一个乡村教堂里秘密举行。父母担心如果人家发现我受洗,他们将失去工厂的工作。”

    祖母的宗教信仰,会使孩子与苏维埃学校的意识形态发生冲突。叶夫根尼娅·叶万古洛娃,1918年出生于第比利斯富裕的工程师家庭,大部分童年都与祖父母在雷宾斯克度过。父亲帕维尔是苏维埃矿业理事会的总工程师,经常出差去西伯利亚;而母亲尼娜仍在莫斯科上学,无法承担幼儿的照料工作。祖母是商人的妻子,守旧且虔诚,对叶夫根尼娅的成长影响甚巨。她上学的第一天,祖母给了她一个小十字架,藏在上衣里面,结果被一伙男生发现,并遭到取笑。他们用手指着她大喊——“她信上帝!”给叶夫根尼娅带来极大的创伤。她变得内向,即使受邀加入少先队,她也拒绝了。在她那个年龄,这实在是罕见的抗议行动。后来,她也拒绝加入共青团。鲍里斯·加夫里洛夫出生于1921年,父亲是资深党员,担任列宁格勒郊区一家工厂的经理,母亲是一名教师。鲍里斯由外祖母——象牙富商的遗孀——带大,她的宗教信仰给他留下了深远的影响:

    外祖母有自己的房间——我们共有5间——墙上布满了宗教人物和带有许愿灯的圣像,这是家里父亲允许圣像存在的唯一房间。外祖母去教堂,没告诉父亲就把我带上了。我喜欢复活节仪式,只是嫌时间太长……这座教堂是她唯一的快乐所在——她不去剧院或电影院。她只读宗教书籍,也是我最早学着读的书。母亲也信教,但不去教堂。她没有时间,再说父亲也不会答应。学校教我成为无神论者,但我喜欢教堂的美丽。外祖母去世时,父母已离婚[1934年],母亲鼓励我继续上教堂。我有时甚至领受圣餐,参与忏悔,一直佩戴十字架,但并不认为自己特别虔诚。当然,在学校里,以及参军[1941年]后,我从不谈及自己的宗教。那样的事必须藏掖起来。

    家庭与学校之间的意见分歧制造了很多冲突。父母说的和老师教的常有矛盾,孩子们因此而感到困惑。一名小男生在1926年写道:“回家听到一种讲法,在学校里又是另外一种,我不知道谁是对的。”宗教问题特别令人迷茫。一位女生感到“两股力量的争夺”:学校教她“上帝是不存在的,但祖母在家里又说确有上帝”。宗教问题分裂了年轻人和老年人,尤其是在农村,那里的老师鼓励儿童挑战老一辈的信仰和权威。一名农村男生在1926年写道:“喝茶时,我与母亲争论上帝的存在。她说,苏维埃政权打击宗教和神父是错的。但我向她保证:‘不,妈妈,你是错的,苏维埃政权是对的,神父是个骗子。’”孩子一旦加入少先队,便信心倍增,自觉成为移风易俗运动的一员。一名少先队员写道:“四旬斋期间的一天,我从学校回家,祖母只给我土豆和茶水。我抱怨,但祖母说:‘别生气,四旬斋还没完。’我回答:‘对你来说,可能有道理,因为你是老人。而我们是少先队员,没有义务遵循这些仪式。’”到了共青团,这种自信更加显著,激进的无神论是“先进”政治觉悟的标志,几乎是入团的先决条件。

    父母必须认真考虑如何给孩子讲述上帝,即使自己有宗教倾向,也往往不想让孩子接受宗教教育。他们知道,孩子长大后如果想取得成功,必须适应苏维埃文化。这种妥协在专业人士的家庭特别常见,家长们明白,实现孩子的理想,还需依赖国家的认可。一名工程师(他父亲是个建筑师)回忆:父母在革命前长大,信上帝,遵循祖父母教导的原则,但他自己从小就必须遵循不同的原则,如他所说的,“既要体面,又要满足所有的社会需求”。类似情形也发生于住在莫斯科的斯卡奇科娃家,父亲彼得和母亲玛丽亚都是图书馆管理员,信教,经常去教堂,但从不引导三个女儿信教,其中一个女儿回忆:

    父母这样认为:一旦宗教被禁后,就不会与子女讲上帝,因为我们生活的社会,将不同于他们所经历的。他们无意让我们过双重生活,特别在我们加入少先队或共青团之后。 (97)

    很多家庭都过着双重生活。他们庆祝苏维埃公共节日,例如5月1日和11月7日(革命纪念日),顺应政府的无神论思想,但在私下场合仍信奉自己的宗教。叶卡捷琳娜·奥列茨卡娅是社会革命党人,20世纪20年代曾被流放到梁赞。她与一对母女同住——母亲是前铁路工人的遗孀,女儿是共青团员,在一家纸厂工作。老妇人是虔诚的教徒,但在女儿的坚持下,只在房子后屋的秘密橱柜中存放圣像,另加帷幕遮掩。如果共青团发现家中有圣像,女儿害怕会被解雇。奥列茨卡娅写道:“在星期日和重要节日,她们会在晚上卷起帷幕,点燃许愿灯,通常先把门锁上。”安东尼娜·科斯蒂科娃在同样神秘的家庭长大,父亲从1922到1928年是萨拉托夫省的一个村苏维埃主席,但在私下仍保留东正教信仰。安东尼娜回忆:“父母都笃信上帝,记得所有的祈祷文。父亲格外虔诚,但很少谈及宗教,除非是晚上在家里的时候。他从不让我们[他的三个孩子]看到他祈祷。他告诉我们,必须学习学校对上帝的解释。”安东尼娜的母亲是一名简单的农妇,在桌子抽屉里藏了一幅圣像。安东尼娜发现它时,已是20世纪70年代母亲去世之后。 (98)

    秘密奉行宗教仪式甚至还发生于党员家庭,且相当普遍。中央监察委员会的报告发现,1925年被党开除的成员中,几乎一半是因为从事宗教活动。在众多党员家庭中,共产主义理想与基督并存;列宁肖像与家庭圣像并排陈列在客厅的“红色”角落或“神圣”角落。 (99)

    在苏维埃家庭中,俄罗斯传统价值的另一载体是保姆,她们是祖母们的天然盟友。保姆受聘于许多城市家庭,特别是双职工的家庭。农村保姆的供应几乎是无限的,特别是在1928年以后。其时,数百万农民为躲避集体化而逃入城市,随身带来了农民的习俗和信仰。

    几乎所有的布尔什维克都雇用保姆来照顾小孩。在国家提供普遍的托儿服务之前,对大多数女党员来说,这是客观上的必需,因为需要外出工作。在很多党员家庭中,保姆们成为苏维埃态度的道德制衡。具有讽刺意味的是,最高级的布尔什维克倾向于雇用最昂贵的保姆;一般来说,她们恰恰最有可能怀揣反动的思想。例如,邦纳家雇过许多保姆,其中有的曾在圣彼得堡谢列梅捷夫伯爵家做事;有的是来自波罗的海的德裔(巴塔尼娅地主朋友的熟人),会教孩子“得体的举止”;有的甚至曾为沙皇家庭做过事。

    保姆能对家庭生活施加深刻的影响。例如,党员安娜·卡尔皮茨卡娅和彼得·涅泽夫茨夫,他们在列宁格勒家中的保姆玛莎来自农村,是一名虔诚的老信徒。 [10] 她在雇主家中遵循自己的宗教仪式,只用自己的盘子和餐具,与他人分开进餐,每天早晚都在自己房间做祈祷,也让孩子们参与繁缛的信仰仪式。玛莎还扮演民间郎中的角色,如她在俄罗斯北部她的家乡所做的,调制草药来治疗孩子的各种疾病。她善良慈爱,赢得了尊重,并在苏维埃当局追查宗教积极分子时,获得了雇主的保护。她的存在导致了那一家的宽松氛围,这非常罕见。安娜的女儿马克斯娜回忆:“家里有个老信徒,我们并不觉得奇怪。其他党员家庭所流行的激进无神论,在我家却不见踪迹。虽然我们自己是无神论者,但从小学会了包容所有的宗教和信仰。”

    伊娜·盖斯特是布尔什维克的孩子,却深受保姆不同价值观的影响。伊娜的父亲阿隆·盖斯特是国家计划委员会的高级经济学家,母亲拉希尔·卡普兰也是经济学家,任职于重工业人民委员会。伊娜的父母均出身于劳动人民家庭,来自法定犹太区。那是沙皇时代犹太人被迫居住的地方,位于俄罗斯帝国的西南角。夫妇俩在白俄罗斯的戈梅利镇相遇,他们内战时期入党,1920年搬入莫斯科共用公寓。阿隆在红色教授研究院学习,拉希尔在纺织工会工作。像许多苏维埃犹太人一样,盖斯特夫妇把希望寄托在工业化上,认为它将结束苏联所有的落后、不平等和剥削。他们第一个孩子伊娜出生于1925年,两个月后雇了保姆娜塔莎,让她搬入他们的新家同住。娜塔莎·奥韦奇尼科娃来自莫斯科以南梁赞省的农民家庭。内战中,布尔什维克的粮食征用毁了她家的小农庄。1921年大饥荒时,娜塔莎逃入首都,但在盖斯特家很少谈及家人。即使只有八九岁,伊娜已经知道,保姆生长的世界与父母的世界大不相同。伊娜注意到娜塔莎在教堂祈祷,听到她躲在自己房间哭泣,看到她梁赞亲戚的贫困——也逃来首都,因是非法入境者,只能待在拥挤的营房——伊娜曾陪她去探视。伊娜喜欢与娜塔莎的侄女一起玩,后者没鞋穿,伊娜便把自己的鞋带去相赠,等到父母询问失踪的鞋时,再谎称自己不小心丢了。伊娜还太年轻,不会在政治上起疑,但已与娜塔莎一家建立了默契的联盟。 (102)

    保姆老家的农民世界基本上还保存着家长制传统。1926年,农民占了苏维埃人口的80%—1.2亿人(总人口1.47亿),分布在苏联61.3万个村庄和偏远的定居点。 (103) 他们仍然依恋个体家庭在家庭农庄上劳作的生活。这成了苏俄个人主义的最后堡垒,在布尔什维克的眼中,又成了通向共产主义乌托邦的主要障碍。

    有些地区,特别是俄罗斯的中部,城市方式已渗入农村,有文化的农民子弟取代父亲,成为家庭农庄的带头人,或脱离庞大的大家族,自组小家庭。但在其他地区,家长制的农民传统仍占主导地位。

    安东尼娜·戈洛温娜1923年出生于农家,在六个孩子中排行老幺,她的村庄奥布霍沃位于莫斯科东北800公里处。这一古老的定居点坐落在森林中间,全由木屋组成。村庄中间有池塘,还有建于18世纪的大教堂。戈洛温一族在奥布霍沃村繁衍良久(1929年,村里59户居民中有20户是姓戈洛温的)。 (104) 1882年,安东尼娜的父亲尼古拉出生于该村,除了当兵3年,参与第一次世界大战,他的一生都在村里度过。像许多其他村庄一样,奥布霍沃村是紧密相连的社会,家人和亲属的关系发挥了至关重要的作用。农民认为自己属于单一的大“家庭”,教育自己子女以亲属名义称呼其他成年人(姨妈、叔叔等)。布尔什维克试图把他们划分成对立的社会阶层——富农(农村资产阶级)和贫农(所谓的农村无产阶级)——却以失败告终。内战期间,他们在苏俄大部分地区都有相似的遭遇。

    尼古拉来自村里的最大家族,勤劳、冷静、成功,在奥布霍沃村备受尊敬。一位村民回忆:“他很安静——不喜饶舌混日子——工作踏实、办事得力,农民都看重这一点。”他从第一次世界大战复员回来,成为奥布霍沃村农民公社的领导人。农民公社是一个古老机构,由农民中的领头者组成,建于农奴制时期,掌管农村生活的方方面面。1861年的“农奴解放宣言”发布后,其自治权力大大加强,从地主手里接管了大部分行政、警察、司法的职能,成为农村行政的基本单位。在俄罗斯的大部分地区,农民公社控制的农地由社区共同拥有,由农民分户耕种。由于是长条耕种的开放制度(长条耕地之间没有分界),农民公社必须规定种植和放牧的分配,并定期按家庭人口重新划分耕地——这一平等原则有助于确保耕者有其地,帮助农民公社缴纳国税。到1917年,农民公社成为农民革命的核心。农村旧秩序崩溃之后,大多数原头面人物(士绅和神职人员)纷纷逃离,俄罗斯农民接管了所有土地——并不等待中央政府或城镇革命党的指示——再通过农民公社和1917年成立的自治村委会(苏维埃),自行分配到户。 (105)

    革命前,尼古拉向村里的神父租地。像俄罗斯大多数农民一样,他也靠租来的耕地养活家人。在俄罗斯,人口过剩和低效农业导致了耕地的短缺。1917年,农民公社没收教属土地,再加上共用土地,一并分给农民。尼古拉根据家里有多少“吃饭的人”(即家庭大小),分得4公顷的耕地和牧场。他现在的土地几乎是他1917年以前耕种的两倍,而且还不是租来的。但在奥布霍沃村,或俄罗斯北部的任何地区,4公顷还是不够生活。这里的土壤贫瘠,又因森林而分散,为了确保每一个村民得到平等份额,又被分割成狭长的一条条,宽不到几英尺,根本不适合现代耕犁。戈洛温的耕地由80条狭长地组成,分布在18个不同的地点——这在沃洛格达地区并非罕见。为了补充收入,农民又涉足贸易和手工业——它们在北部农村经济中一直发挥至关重要的作用,几乎与农业不分轩轾,在新经济政策下,又获得了蓬勃的发展。政府鼓励乡村贸易,更通过合作社予以资助。尼古拉在他农庄的后院办起了皮革工场。安东尼娜回忆:

    我家可以吃饱,但那是我们勤奋和节俭的结果。6个孩子都在土地上卖力,即使是最小的也不例外。父亲的工作时间很长,在工场里制作皮鞋和其他皮革制品。他去市场买牛,一丁点儿都不浪费。他自己宰牛,卖牛肉,鞣制皮革(本地农民都懂这门手艺),制作皮靴,然后再去市场出售。

    她回忆,热爱劳动是“我们子女所接受的教育的重心”。在最勤劳的农民家庭中,这是非常典型的,孩子们从小就在农庄上劳动。安东尼娜记得,这些农民都为自己的劳作而感到自豪:

    父亲喜欢说,我们要做就要尽量做好——像是行家做的,这就是他所谓的“戈洛温方式”——这是他最高褒奖的用词……到我们上学时,他告诉我们一定要努力学习,学会一门好职业。在他眼里,好职业是医生、教师、农艺师和工程师。他不希望孩子学习制鞋,认为这太辛苦了。他的手艺活真可媲美艺术家,我们这些孩子和访客,都为他的手艺的美妙而深感惊讶。 (107)

    尼古拉还为自己建造了住宅,一座单层刷白的长型建筑,位于奥布霍沃村中间的磨坊附近。它是整个村庄里唯一的砖房,包括一间饭厅和一间卧室,内置从沃洛格达买来的简陋工厂家具和两张铁床。一张供尼古拉和妻子叶夫多基娅睡,另一张供两个女儿睡(男孩子们则睡在饭厅地板上)。厨房是家里唯一的入口,外面有供牲畜遮风避雨的院子,内有牛棚、猪圈、马厩和两个谷仓,另外还有洗澡房、厕所、工具库、工场。院子外,有一园的苹果树。

    尼古拉是个严厉的父亲。女儿安东尼娜回忆:“所有孩子都怕他,但害怕的根源是尊重。母亲喜欢说,‘天上有上帝,家里有父亲’。无论父亲说什么,我们都视为律法,即便是四个男孩也都如此。”在这种家长制家庭里,大人与小孩之间仅有很少的温柔和亲密。安东尼娜说:“我们从来没有亲吻或拥抱过父母,不会以这种方式来表达爱。我们从小学会尊重和敬仰他们,始终依顺他们。”但这并不意味着互相之间没有爱。尼古拉宠爱小女儿,后者还能忆起4岁时的一段温情。父亲穿上他最漂亮的节日棉纱衬衫,以强壮的手臂抱着她去村教堂。

    突然,他拉着我的手,紧紧贴上他的嘴唇。他闭上眼,真情地吻我的手,我迄今还记得。现在我明白了自己在他心里的位置,他多想表达自己的爱。他身穿绣有棕色花朵的新衬衫,那么洁净,那么清香。 (108)

    对旧社会精英来说,如何将家中的传统和价值观传给下一代,变得尤其复杂。想在新社会取得成功,便不能坚持自己的老习惯,而要适应苏维埃的新形势。为了维持新旧之间的平衡,各式家庭采取了不同的策略。例如,可以过双重生活,撤回到私人世界(“内部移民”),悄悄保留旧信念,可能还要欺瞒在苏维埃模式中长大的孩子。

    普列奥布拉任斯基一家就是前精英家庭的典型例子,虽在暗中保留旧生活的一部分,但在很大程度上因应了苏维埃的新形势。1917年之前,彼得·普列奥布拉任斯基,在圣彼得堡普里阿兹卡精神病医院担任神父。拉斯普京抵达之前,皇后亚历山德拉为治疗皇储的血友病,曾向他和其他“招魂者”求助。彼得的妻子毕业于斯莫尔尼学院,曾是皇太后玛丽亚·费多罗夫娜的闺蜜。1917年后,彼得和长子在医院担任搬运工;曾任亚历山大·涅夫斯基合唱团指挥的小儿子参加红军,在内战中战死;长女成为彼得格勒苏维埃的秘书;小女儿玛丽亚放弃音乐会钢琴家的生涯,担任卢加地区集体农庄的稽查员,玛丽亚的丈夫原是歌手,现在普里阿兹卡医院当清洁工。整个20世纪20年代,全家都住在医院后面的办公室,从不抱怨自己的极度贫困,只是静静度日,认真执行新政权布置的各项任务——只有一样例外:每天晚上,他们从秘密藏匿之处取出圣像,点亮许愿灯,以便祈祷;他们上教堂,庆祝复活节,始终保留圣诞树,甚至在1929年之后依然如故。那一年,圣诞树被宣布为“资产阶级生活方式的遗存”而遭禁止。玛丽亚和丈夫要女儿塔蒂亚娜在项链上系上金十字架,但不得让别人看到。塔蒂亚娜回忆:“我从小学会相信上帝,同时又要适应苏维埃的学校和生活。”普列奥布拉任斯基一家生活在两个世界的边缘地带。彼得仍向宁愿以基督教仪式埋葬亲属的人——苏维埃居民中沉默的大多数——秘密提供非正式的神父服务。 [11] 塔蒂亚娜解释说:“我们的生活一直都捉襟见肘,所以外祖父老是去列宁格勒坟场,帮助操持圣礼,赚一点小费。” (109)

    过去的专业精英们则采纳另一种方式,既维持家中的传统生活,又适应苏维埃社会。医生、律师、教师、科学家、工程师、经济学家,可向新政权提供自己的专业技能,以此守护自己的某些特许存在,甚至可以活得相当不错,至少在20世纪20年代如此。其时,新政权仍迫切需要这些“资产阶级专家”的专长。

    帕维尔·维滕贝格是苏维埃地质界的领军人,在开发科雷马和瓦伊加奇岛的古拉格——强制劳改营时,发挥了重要作用。他出生于1884年,在家里九个孩子中排行老八。他们是波罗的海地区的德裔,住在西伯利亚的符拉迪沃斯托克(海参崴)。帕维尔的父亲原籍在里加,因参与1862至1864年反沙皇统治的波兰起义,而被流放到西伯利亚。释放后,他任职于符拉迪沃斯托克电报局。帕维尔曾在符拉迪沃斯托克、敖德萨、里加和德国的蒂宾根求学,1908年来到圣彼得堡前已是一名年轻、严肃的理工博士。他与正在圣彼得堡学医的吉娜·拉祖米哈娜结婚,岳丈是铁路工程师,也是自己的远亲。这对夫妻在圣彼得堡附近芬兰湾的奥尔戈诺高级度假区,买了一套宽大而舒适的木房子。三个女儿相继出生:维罗尼卡生于1912年,瓦伦蒂娜生于1915年,叶夫根尼娅生于1922年,家人之间非常亲近。叶夫根尼娅回忆,帕维尔作为一名父亲,既“细心”,又富有“耐心和爱心”。大家在奥尔戈诺度假区享受“音乐、绘画、阅读的夜晚”,非常幸福,还有夏日闲逸的散步,以及从小照看吉娜的保姆安努沙卡精心准备的简餐。维滕贝格家经常有艺术家和作家之类的访客,例如著名的童书作家科尔涅伊·丘科夫斯基,在他们家度过好几个夏天。整个20世纪20年代,这种契诃夫式的生活始终存在。

    维滕贝格一家深受公共服务精神的影响,这几乎是19世纪知识分子的标志性特征。1917年后,吉娜以学得的医术在邻近的拉赫塔小镇设立医院,向患者提供免费治疗。帕维尔在1917年当选为拉赫塔镇理事会的主席,他组建学校,向穷苦劳动者的子女传授技术。叶夫根尼娅回忆:“他一直在工作,如果没在写作,就在筹划极地委员会的探索,或为地质博物馆组稿。他总是在忙,很少放松。”帕维尔全力以赴投入极地考察和地质事业,虽处起步阶段,但在世界上仍处于领先地位。极地勘探者在苏维埃的书籍和电影中是英雄。20世纪20年代,苏维埃政府投入大量科学预算,对北极区的潜在矿产做了地质调查。帕维尔对政治不感兴趣,但欢迎苏维埃政权的关注,让他在有组织有纪律的环境中追求科学成果。1927年帕维尔写道:“过去10年是极地勘探的英雄时期,未来会有更大的成就。” (110) 过后不久,他就离开奥尔戈诺度假区,前往科雷马勘探金矿。

    以同样方式适应苏维埃政权的另一对精英是作家康斯坦丁·西蒙诺夫的父母。西蒙诺夫本人是《耳语者》的中心人物,他也属于1917年的孩子。母亲亚历山德拉是奥博连斯基家族的后裔,那个负有盛名且古老的家族中涌现出不少卓越的官僚和地主,在沙俄帝国中占据显赫的地位。亚历山德拉的父亲列昂尼德像许多贵族一样,早在19世纪70年代就已经商。亚历山德拉出生于1890年,从斯莫尔尼学院毕业,也是“旧秩序”女子,其贵族态度经常与苏维埃方式相悖。她身材高挑,颇有气派,在家里叫“阿林卡”,保留了“正确行为”的旧观念,还将之传给儿子——而他一生的绅士风度众所周知(即使在斯大林政权中取得高级职位后也是如此)。阿林卡期望人们彬彬有礼——尤其是在女性面前,忠于朋友,坚持原则。她的孙子回忆,她简直就是“教育家,在教诲他人如何立身处世时,永远不厌其烦”。 (111)

    1914年,亚历山德拉嫁给年龄几乎两倍于自己的米哈伊尔·西蒙诺夫——时任总参谋部的上校。一年后,康斯坦丁诞生。 [12] 米哈伊尔是军事防御工事的专家,第一次世界大战期间在波兰参战,升为第五军的少将和第四军团的参谋长,却在1917年突然消失。在之后的4年中,亚历山德拉再也没有他的消息。他似乎留在波兰从事一些秘密使命,无法与苏俄的家人接触;或许加入了波兰军队,或许加入了俄国内战中波兰盟友的白军。不管如何,他不愿返回俄罗斯,即使不算反革命,至少也是沙皇的将军,肯定会遭到布尔什维克的逮捕。目前尚不清楚亚历山德拉对自己丈夫的活动知道多少。不管如何,她一直向儿子隐瞒,无疑是为了提供保护。1921年,米哈伊尔从波兰写信给亚历山德拉,恳求她把儿子带去华沙同住,他已成为波兰公民。亚历山德拉一直犹豫不决,她仍看重自己的婚姻誓言,而米哈伊尔已经病重。但到最后,她爱国之心太甚,以致离不开俄罗斯。西蒙诺夫后来回忆:“虽然逃往国外的也有她的朋友和亲属,但母亲对俄国革命后的移民抱有悲哀的不解。她根本无法理解,怎么能背井离乡作别俄罗斯。” (112)

    亚历山德拉加入出身于贵族和资产阶级的年轻女性的队伍,在新苏维埃政府中从事打字员、会计、翻译的工作。1918年秋天,她被赶出彼得格勒的公寓。其时正是红色恐怖的高潮,布尔什维克发起了推翻旧精英的运动。像奥博连斯基那样的“遗民”,即败落的贵族和“资产阶级”,都被赶出自己的家园,财产悉数充公。他们被编入劳动大军,或遭契卡的逮捕和监禁,在反白军的内战中成为“人质”。在好几个月不成功的申述之后,亚历山德拉和小男孩康斯坦丁只得离开彼得格勒,前往梁赞——位于苏维埃首都的东南面,相隔200公里。他们与亚历山德拉的姐姐柳德米拉同住,其丈夫曾是炮兵队长,阵亡于第一次世界大战,他的炮兵团一直以梁赞军区为基地。与其他数以百万计的城市居民一样,他们在内战中逃离饥饿的城市,走向粮食供应地。 (113)

    梁赞在20世纪20年代初只是一座小镇,约有4万居民。其主要机构之一是布尔什维克建立的军校,为内战中的红军培养军官。教职员工中的亚历山大·伊万尼谢夫曾是沙皇军队的上校,在第一次世界大战中两次受伤(三次受到毒气攻击),后被托洛茨基招募入红军,成为一名指挥官。1921年,亚历山德拉与伊万尼谢夫结婚。对奥博连斯基家族的女儿来说,这无疑是下嫁,亚历山大只是一名卑下的铁路工的儿子。亚历山德拉自己时运不济,在丈夫的军人作风中,她觅得了自己贵族原则的影子,尤其是公共服务的理想精神。在这多事之秋,她似乎由此获得了一些慰藉。 (114)

    性情温和善良的亚历山大却是一名完美的“军人”——准时、认真、有序、严于律己。康斯坦丁回忆,他治家就像治军一样:

    我家就在军官兵营,四周都是军人,军事方式规范了我们生活的每一步骤。我家门前的广场上,早晚都有列队行进的军人。母亲和其他军官的妻子,一起参与军队的各式委员会。如有客人来访,谈话内容总与军队有关。晚上,继父制订军事演习计划,我有时陪在旁边相助。家中的纪律很严,纯粹军事化。一切都按照计划,下的命令刻不容缓。你不能迟到,也不可拒绝,必须学会闭嘴。即使最小的谎言,也会受到严厉地斥责。母亲和父亲遵循自己的服务伦理,在家里实施严格的劳动分工。我从六七岁起,就要承担越来越多的责任。我除尘、擦地板、刷碗、削洗土豆、照看煤油炉、外出领取牛奶面包。

    这样的童年生活对西蒙诺夫产生了重大影响。他从小接受的军人价值(如他自己所定义的“服从、自觉、时刻准备克服一切障碍、必须说‘是’或‘不是’、爱憎分明”),使他全力拥护20世纪30年代和40年代的苏维埃准军事制度。

    十三岁时我就懂得:
    说到就是要做到。
    是即是,不是即不是,
    争辩只是徒劳。
    我知道责任的含意。
    我知道何谓牺牲。
    我知道勇气的潜能,
    对怯懦就要不依不饶!
    ——《父亲》,1956年

    西蒙诺夫崇敬继父(“我从没看到他不穿军装的时候”),从小把他看作自己真正的父亲。他从亚历山大的身上继承了责任和服从的军队准则,从母亲和她的贵族背景中获得了公共服务的理念,两者在他身上相得益彰。他童年所读的书籍中充满了苏维埃的军事崇拜,从而进一步加强了这些原则。他深深着迷于俄国内战的传奇故事,例如德米特里·富尔曼诺夫的《夏伯阳》(Chapaev,1925年)。这是每一个小学生必读的“苏维埃经典”。少年时代他心中的英雄都是军人,他的笔记本上涂满了他自己想长成的士兵形象。 (117) 西蒙诺夫很早便意识到,自己需要融入一个等级制度之中,认为自己长大后不只是军人,而要当上为他人负责的军官。同时,他强烈的公共责任和服从意识,又要求他服从上司。如他自己写的,他心目中的“好”等同于“诚实”和“尽责”——这一概念后来成为他拥护斯大林政权的根源。他成长时期的人际关系大都涉及权威人士,作为家中唯一的孩子,他大部分时间都与成人相处,并善于赢得成人的认可。在学校里,他没有密友,也从没弄清友谊中的道德准则,以及对同伴的忠诚。这可能有悖于他身上愈益明显的另一倾向,即努力赢取上级的欢心。而在20世纪30年代和40年代,他诗作中的主题却仍是同志间的友爱(这是他渴求的领域)。西蒙诺夫既聪明又早熟,阅读广泛,学习努力,他加入各式俱乐部,参与戏剧演出,是一名少先队员。除了涂鸦,他的笔记本还显示出他是一个严肃的男孩:花费很长时间来绘制地图和图表,像官员一样列出步骤来筹划自己的任务。 (118)

    西蒙诺夫在世最后一年写成的回忆录认为,他的父母已接受苏维埃政权。他不记得父母有任何议论,或不赞成政府,或后悔没在1917年后移居国外。在他眼中,他的父母认为,作为知识分子中的一员,留下为苏俄工作是责无旁贷的,即使自己的价值观还没有“苏维埃化”,但有责任把康斯坦丁培养成“苏维埃”孩子。但这只是真相的一半。亚历山德拉以政治忠诚的外表,掩饰了她对苏维埃政权的不满。毕竟,新政权给她家人带来了灾难。亚历山德拉的哥哥尼古拉,被迫在1917年后逃去巴黎(因他曾是哈尔科夫省的省长,留下则会被布尔什维克逮捕),兄妹再也没有见上面。其余家人——亚历山德拉、母亲、三个姐妹,都生活在恐惧和贫穷之中,先是在彼得格勒,后搬去梁赞。内战结束后,亚历山德拉的妹妹索尼娅和达丽娅,返回彼得格勒。在1923年母亲死去之后,柳德米拉也跟着回到彼得格勒。亚历山德拉一人留在梁赞,尽力适应苏维埃环境。(她在1944年写信给儿子说:“我出生于另一个世界。在生命的头25年,我生活在奢侈之中……然后,我的生活遭到突如其来的摧毁……我洗刷、烹饪、奔波采购、整天工作。”)她除了传承贵族的价值观,也努力保存宗教习俗。她带儿子上教堂,直到儿子长到12岁(他在后来写给姨妈的信件中,继续在东正教节日以宗教用语向她们问好)。她还告诉他,他的贵族出身太危险,如果想取得进步,必须加以掩饰。 (119) 新经济政策有相对宽松的气氛,但大革命所释放的阶级斗争只是暂告停顿。在和平的表象下面,清洗旧精英的压力持续增加,威胁着像西蒙诺夫那样的人家。

    1927年,母亲将西蒙诺夫带去克列缅丘格城附近的农村,与继父的亲属同住。“热尼娅姑姑”与其丈夫叶夫根尼·列别捷夫住在一起——他是一名老将军,很久以前因腿伤而从沙皇军队退伍,几近瘫痪,全得依赖年轻的妻子。老将军是自由派,心地善良,开朗乐观,对苏维埃政府并没有抱怨。康斯坦丁喜欢与他做伴,因为他有趣,善讲故事。有一天,康斯坦丁去树林散步,回到姑姑家时,房门已被陌生人打开。原来是国家政治保卫总局人员,来抄家寻找反革命活动的罪证,试图对老将军实施拘捕。西蒙诺夫在回忆录中回忆此事:

    我进去时,国家政治保卫总局人员正在掀起床垫四下搜寻,而老人还正在床上休息……那人手指一张凳子对我说:“坐下,小男孩,等在一边。”他的态度说不上是粗鲁,更近于专横。我明白,必须坐下,听从他的命令……两名制服男子在执行搜索,但没有出示搜查令。老人非常生气,咒骂他们,威胁要去控告他们的非法行径。在我看来,热尼娅姑姑还比较镇静,只是担心丈夫的心脏病发作,一直在劝慰他冷静下来,但并不成功。制服男子继续搜索,依次翻阅每本书,察看堆在架子上的刺绣和油布。老人上身靠墙,下身瘫在床上,咒骂不停……最终搜索完了,离开时没有带走任何东西。他们显得克制,没有诅咒或训斥,因为面对的是一名瘫痪老人……在我的意识中,此事并不显得可怕、悲惨、令人不安,或多或少反而有点正常。

    该情节的有趣之处在于西蒙诺夫的感受。他目睹了国家镇压的非法行为,受害者是自己的家人,但如他后来声称的,他并不害怕。他甚至将之视作一种循例(正常)程序。西蒙诺夫在20世纪30年代,以类似心态面对其他亲属的遭捕,包括他的继父和三位姨妈。他视之为“必要”的行为,更加以合理化——应该是弄错了,因为亲戚们肯定是无辜的;但国家必须铲除潜在的反革命分子,在这一点上又无可厚非。 (120)

    1928年,西蒙诺夫随父母迁居到伏尔加河边的工业大城市萨拉托夫,因为亚历山大在当地军校担任教官。全家仍住军营,占用相邻的两间屋,与几户邻居共用一个厨房。西蒙诺夫开始上中学,到1929年14岁时决定放弃中学。他不愿完成父母为他规划的学院教育计划,改上了一个普通教育与技术培训相结合的工厂技校(FZU)。

    像许多旧知识分子的孩子一样,西蒙诺夫急于为自己创造“无产阶级”身份,好摆脱自己的社会出身,以免在苏维埃社会中拖自己的后腿。20世纪20年代后期的工厂技校和更高层次的技术学院,挤满了来自知识分子家庭的孩子。他们拒绝上大学(此时优先招募工人阶级出身的申请人),转向工厂或技校,以取得“无产者”资格,为将来的工作和教育奠定基础。西蒙诺夫将母亲的成分登记为“职员”,其他旧精英的许多孩子也隐瞒社会出身,或选择性使用自己的履历,以获得技校和学院的录取。其中的大多数,在第一个五年计划(1928—1932年)的工业革命中,成为工程师或技术员,生成一种全新的专业身份,让自己从社会阶级的困境中解脱出来——最重要的是他们对苏维埃工业化的贡献。西蒙诺夫拒绝父母为自己选择的学院教育,这一点很重要。这标志着他已抛弃了自己降生时进入的旧文明,转身采纳“苏维埃”新身份。

    西蒙诺夫白天在技校中学车床,晚上去萨拉托夫军火厂当学徒。他后来承认,自己并“没有工业上的真正才能”,只是为了“虚荣”而坚持到底。他写信给住在列宁格勒的姨妈索尼娅,虽然年仅十几岁,却展示了他频繁的社会活动,以及对苏维埃事业的满腔热情:

    [1929年]亲爱的索尼娅姨妈!
    我这么长时间才回复你的问候,望见谅。我从来没有如此忙过。我参加了4个俱乐部:担任其中两个的管理委员和另一个(青年自然学家)的主席。此外,我是[社会主义者]竞赛小组、阅读小组、学校的编辑委员会、化学队[以应付毒气攻击]的成员。我又是互助运动的教练、校管理委员会的成员[向技校行政部门汇报学生的政治活动和不同意见]和“工人援助国际学会”的义工。此刻,我正在帮助校管理委员会下属小组组织反宗教的宣传,还在负责班级的管理委员会。前不久,我被要求在学校内组织一个象棋俱乐部。我想,这些就是我的全部情况。

    很难讲清这些狂热活动的背后到底是什么动机——从小浸润于公共服务精神的少年,现在迸发出充沛的精力;或者,他在打小算盘,冀望通过积极表现来掩饰社会出身,以保障自己在苏维埃社会的地位;或者,完全出于对共产主义理想的热烈信念。不管如何,这就是西蒙诺夫参与斯大林政权的开端。

    商人阶层也找到了自己的方式来适应新政权,特别是在新经济政策出笼之后。1922年,塞缪尔·拉斯金与妻子、三个女儿离开奥尔沙镇来到莫斯科,全家搬进苏哈勒夫卡市场附近的地下室。在新经济政策下,该市场是蓬勃发展的私人贸易的代名词。塞缪尔·拉斯金是一名小商人,经营鲱鱼和其他咸鱼。像许多犹太人一样,他来莫斯科是为了充分利用私人商业的新机遇。他在女儿身上寄托了各式梦想,希望她们通过苏维埃学校和大学,最终变成专业人士。而身为犹太人的自己,1917年以前是不敢作此妄想的。

    1879年,塞缪尔出生于奥尔沙的商人大家族。那是法定犹太区内的一个市场集镇,全是单层木屋,没有自来水,也无下水道。父亲莫伊谢是咸鱼批发商,住在一栋破败的木房子里——房子处在通往什克洛夫镇的交通要道上,夹在两座教堂中间,一座属东正教,另一座属天主教。奥尔沙是多元文化的,俄罗斯人、波兰人、白俄罗斯人、拉脱维亚人、立陶宛人、犹太人都聚居一起(1905年曾有一次小型的反犹屠杀)。拉斯金一家讲意第绪语和俄语,遵循犹太教仪式,上犹太教堂,送小孩去犹太学校,又非常重视孩子的教育,以及子女在俄罗斯社会中的进步。莫伊谢有六个孩子,三个大的(西马、索尔、塞缪尔)在家自学,年幼的三个(法尼娅、雅可夫、热尼娅)设法避开沙皇的限制——禁止犹太人上大学和成为专业人士 [13] ——考上了大学,成为合格的医生。这的确是非凡的成就,尤其对两名女孩法尼娅和热尼娅来说更是如此。 (122)

    塞缪尔跟随莫伊谢经商,1907年与邻镇什克洛夫犹太商人的女儿贝尔塔结婚。夫妇俩生了三个女儿,法尼娅(生于1909年)、索尼娅(1911年)和叶夫根尼娅(1914年),一起住在什克洛夫镇,直到1917年大革命。塞缪尔善良温和,聪明务实。他对文学和国际政治抱有浓厚的兴趣,全心全意拥护革命,视之为犹太人的解放良机。他一直梦想让自己心爱的女儿获得良好的教育,现在有了新经济政策,使他有可能在莫斯科立业安居,梦想成真。

    新经济政策使莫斯科变成一个大市场。1921年后的5年中,城市人口翻了一番。内战时期,私人贸易全被取缔。经历了如此的艰辛之后,大家对市场所能提供的任何东西都积累了巨大的需求。大批人群络绎不绝地来到像苏哈勒夫卡市场那样的街头市场,商人手里什么都有,从废铁、衣服、锅碗瓢盆到艺术品。塞缪尔在博洛特纳亚广场上摆鲱鱼摊,该广场位于莫斯科河南,离克里姆林宫不远,已变成菜市场,向繁忙的餐馆和咖啡馆供货。在鲱鱼生意上,没人比塞缪尔知道得更多。他可以打开一个咸鲱鱼罐头,马上就能确定它的产地——伏尔加河、咸海、阿斯特拉罕或下诺夫哥罗德。

    开始的生活很苦,拉斯金家住在马什昌斯卡娅第一街的地下室,里面徒有四壁,睡的床垫直接铺在地板上,天花板上挂起帘子,将孩子睡觉区与大人的分开,又要与楼上居民共用厕所和厨房。到1923年,塞缪尔的鲱鱼生意日益兴旺,便租下斯列坚斯卡娅街上一栋曾经辉煌的大房子的二楼。该公寓非常舒适,有三个宽敞的房间,一个大浴室。其时的莫斯科,有独用的卫生间和厨房是罕见的奢侈。塞缪尔相当成功,甚至能每月寄钱给住在奥尔沙的父母,帮助侄子马克一家搬来莫斯科。拉斯金一家还定期去莫斯科大剧院,塞缪尔总是租个包厢。 (123)

    到了1923年和1924年,商品的短缺和价格的上涨引发了无产阶级对新经济人及其财富的强烈不满。为了抚慰大众的骚动,市苏维埃政府关闭了30万家私人生意。 (124) 拉斯金一家成为该反弹政策的受害者。塞缪尔的生意得以幸存,但必须向莫斯科苏维埃缴纳一项特别税。像其他小商贩一样,他被定为被剥夺者(lishentsy),不得享受选举权和其他公民权利。塞缪尔默默忍受这些惩罚,几年来,一直在支付他那个铁架商摊的高额“商业租金”——莫斯科苏维埃向私商征收的特别税之一,目的是为了安抚工人阶级对新经济政策的不满。1925年,塞缪尔拒绝了将生意转至伊朗的邀请,那里的鱼工业亟需俄罗斯的专长。他希望三个女儿在苏联长大,充分利用他认为将会出现的众多机遇——结果却是错觉。法尼娅是老大,也最实际,1926年以优异成绩通过学校考试,因父亲属于被剥夺者,读医的申请遭到拒绝,只好去工厂上班,改在夜校学经济。索尼娅认真严肃,口齿伶俐,聪明美丽,但因不幸罹患小儿麻痹症而落下了残疾。像姐姐一样,她也无缘于高等教育,只好在莫斯科索科尔尼基工业学校的夜校学习统计,到1928年又进了钢铁学院。像其他犹太人一样,包括成为工程师的表弟马克,索尼娅全心全意地拥护第一个五年计划的工业项目。该计划承诺,将使落后的农业俄罗斯变得现代化。拉斯金一家当初逃离的,就是那个反犹大屠杀时有发生的落后的农业俄罗斯。叶夫根尼娅(热尼娅)排行老幺,更有艺术气质,攻读家人都心仪的文学。法尼娅回忆,拉斯金一家仿佛“总是在文学辩论中”。因是被剥夺者的子女,索尼娅在1927年申请加入共青团未果。三姐妹、马克和邻近的父母的朋友的孩子,自组了一个阅读小组。他们讨论政治,举办对“文学人物”的模拟审判。有一次,他们举行对《旧约圣经》的审判,为此找到一本《圣经》,共同研究了整整一个月。 (125) 在20世纪20年代和30年代,对文学作品、意识形态、宗教习俗发起公开审判是非常流行的宣传活动。

    在第一代苏维埃犹太人中,拉斯金一家非常典型,都认同俄国革命中的国际主义。因为它承诺将消除民族之间的偏见和不平等,它所憧憬的现代化城市,将为犹太人打开通向一般学校、大学、科学、艺术、职业、贸易的大门。仅经过1917年的一代,俄罗斯犹太人都已变成城市居民,前法定犹太区的犹太人口不是移民,就是老死(第二次世界大战初期,苏维埃犹太人中86%住在城市,其中一半聚居在苏联11个最大的城市)。莫斯科的犹太人口,从1914年的1.5万人,剧增至1937年的25万人(该市第二大的族群)。 (126) 犹太人在苏维埃兴旺发达,在党、官僚、军队、警察的精英中占得很大比例。虽然也有不少犹太人像塞缪尔·拉斯金一样,因自己的社会阶层和私营经济而被剥夺公民权利,但根据此时的回忆录,反犹太主义或反犹歧视相对较少。20世纪20年代和30年代,确有无数的犹太教堂被关闭,那是由于布尔什维克发起了反宗教运动。家庭继续作为犹太宗教生活的真正中心。在大多数家庭中,老一辈执掌传统的祈祷和礼仪,家人同时又遵守苏维埃的公共节日,接受苏维埃的新信念,特别是年轻人。世俗的意第绪语文化,因苏维埃政府的积极推动而获得了蓬勃发展。当时有意第绪语的学校、电影院、剧院,包括莫斯科意第绪语国家剧院。该剧院指挥所罗门·米霍埃尔斯,还成为众多布尔什维克和左翼犹太知识分子的关注对象。在大多数都市犹太家庭中,既有对犹太传统文化的依恋,也有对苏俄文学和艺术的承诺,两者并驾齐驱,进入更为广阔的国际性世界文化。 (127)

    这类复杂的多重身份(犹太人―俄罗斯人―苏维埃人),塞缪尔和贝尔塔都予以保留。他们并不信教,从来不去犹太教堂或遵守犹太教的仪式和节日。贝尔塔只是在苏维埃假日专门烹饪犹太食物。他们会讲意第绪语,但家里说的都是俄语。女儿们听得懂父母讲的意第绪语,但自己讲不好,也没尽心去学,视之为旧时代“奇异的遗物”。对女儿们来说,身份问题比较简单。法尼娅回忆:“我们不想把自己当做犹太人。虽然住在俄罗斯,沉浸在它的文化中,但也不想把自己当做俄罗斯人。我们自认是苏维埃公民。”拉斯金一家认为,教育、勤奋、文化才是获得个人解放和平等的正道。塞缪尔积极关注苏维埃政治,为杰出的犹太布尔什维克的成就而感到无比骄傲,例如托洛茨基。他虽没受过高深的教育,却在家里摆满书籍和报纸,还喜欢讨论政治事件,尤其是国外的,他在这方面的消息还特别灵通。朋友和亲戚星期天前来参加著名的“拉斯金晚餐”,就会与他开起“厨房议会”。据说,贝尔塔所做的犹太美食,在莫斯科是独一无二的。 (128)

    有些犹太家庭,其成为“苏维埃人”的愿望,反映在尽量抑制自己与犹太文化或宗教的藕断丝连上。例如在盖斯特家中,犹太人的习俗微乎其微,只有犹太菜肴、意第绪语的短句、有关沙皇时代反犹大屠杀的家庭传说,以致少年时的伊娜竟意识不到自己原来是犹太人。伊娜的父母是在戈梅利地区相遇的。瑞贝卡·高根1923年在戈梅利的一个犹太家庭出生。她记得自己在列宁格勒的童年已“全然苏维埃化”,父母遵守主要的犹太人习俗,偶尔讲意第绪语,主要是不想让自己听懂。她说,除此之外,全用“现代方式,没有宗教,没有仍保持犹太习俗的祖父母的影响”。 (129)

    依达·斯拉温娜有类似的童年。1921年,她出生于莫斯科杰出的苏维埃法学家的家庭,父亲伊利亚·斯拉温曾在解放白俄罗斯的犹太人一事中扮演重要角色。伊利亚1883年出生于莫吉廖夫城附近的小镇,是贫穷的犹太劳工大家庭的长子,从12岁起就开始在当地药店工作和研究。由于取得了药剂师的资格,他在法律上有权搬离法定犹太区。 [14] 1905年,他登记为哈尔科夫大学法律系的走读生,尽管12岁后就没有受过正规的教育,却在第一年考试中获得第一名,从而正式注册,挤入政府批准的3%犹太学生的配额。大学毕业后,伊利亚得到留校任教的聘用,但有个附带条件,即必须皈依基督教。他谢绝了,自愿回到法定犹太区,在莫吉廖夫城担任律师助理。第一次世界大战期间,德军占领了苏俄西部。伊利亚迁至彼得格勒,在城镇联盟的总部工作,帮助法定犹太区的犹太人迁去俄罗斯各地。1917年后,伊利亚当选为法官,任职于莫吉廖夫、戈梅利、维捷布斯克等地的人民法庭。1921年,他搬至莫斯科,在苏维埃法律机构中继续晋升。伊利亚英俊聪明、善良温和,怀抱高尚理想,并将之投入苏维埃的实践,甚至拒绝自己的犹太身份。

    从1903年起,伊利亚一直是活跃的犹太复国主义者,也是旨在巴勒斯坦建立社会主义的无产者锡安党的著名成员。伊利亚的犹太复国主义,来自他在法定犹太区的生活经历,那里也是无产者锡安党的主要基地。但一旦来到彼得格勒,接触到欧化与社会同化的犹太人,伊利亚开始摆脱犹太复国主义,转向社会民主主义。他赞成革命是国际性的事业,从而认可犹太民族的利益必须服从于阶级斗争。在维捷布斯克镇担任法庭主席时,他甚至维护1919年反犹大屠杀的劳工凶手,所持理由是:这是在向犹太工厂经理表达他们的阶级仇恨。 (130) 1920年,伊利亚离开犹太复国主义运动,短期加入犹太马克思主义者,到1921年再转向布尔什维克。在加入布尔什维克的简历表中,伊利亚承认自己的“政治错误”(犹太复国主义和犹太民族主义)。自那以后,犹太文化从他家中销声匿迹。他教妻子埃斯菲莉学会读写俄语,不许她讲意第绪语,并培养自己的孩子伊萨克(生于1912年)和依达成为不带犹太传统的苏维埃人。依达回忆:

    父亲尽量做得正确,要求自己成为一名理想的布尔什维克。我们没有犹太习俗,从来不讲意第绪语——我们孩子甚至蒙在鼓里。一旦成为布尔什维克,父亲便在家中尽力剔除使他忆起贫民窟和法定犹太区的一切。作为一名国际主义者,他相信苏联各加盟国一律平等,家里只有苏维埃的东西。他所珍爱的宝贝只是列宁陵墓的大理石模型,立在他的办公桌上。 (131)

    随着新经济政策受到进一步的攻击,新都市犹太人的前景变得暗淡。1928年,莫斯科苏维埃再次向小商贩征收特殊营业税。对塞缪尔·拉斯金来说,这真是一个尴尬时刻。新经济政策重新确定了私宅和合作公寓的所有权,所以在那年的早些时候,他向祖博夫广场的建设项目投入资金。建筑商正在这个莫斯科时髦公寓区的庭院建造一栋两层楼房,塞缪尔的投资可让他拥有楼上一套三室公寓。他一直有自置私产的梦想——想让三个女儿在攻读时享有经济保障——所以拒缴这特殊营业税的全部,遂被捕,先是短期监禁于莫斯科,后被流放到下诺夫哥罗德。 (132) 逮捕只是政府从1927年开始在全国范围向私人贸易发起进攻的一部分,最终导致新经济政策的废除。反对新经济政策的运动,与斯大林的崛起和托洛茨基、布哈林的失败紧密相关。后两位是斯大林在党内的主要竞争对手,他们继续支持列宁在1921年引进的混合经济政策。

    在新经济政策上,布尔什维克一直在左右摇摆,但它的无产阶级支持者则表示坚决反对。他们对新经济政策的不信任,更因市场的大幅波动而愈益加强。一旦农村发生商品短缺,农民不愿向城镇输送食品,市场价格就会攀高。第一次市场波动发生于1923至1924年,苏维埃为了安抚不满物价上涨的工人阶级,首次向新经济人发动攻击。到20世纪20年代中期,市场回归稳定,但1927至1928年,收成不好,再加上消费品欠缺,又发生了第二次市场波动。随着工业制品的价格上涨,农民减少了出售给国家仓库和合作社的粮食,因为采购价格太低,农民换来的钱还不够用来购买日常用品。所以,农民不愿卖给国家,宁可自己多吃,喂养牲畜,存储在谷仓,或运去私营市场自售。如何找到应付这场危机的正确方法?新经济政策的支持者意见纷纭。为了维护市场机制以及与农民的联盟(列宁称之为新经济政策的基础),布哈林赞成提高采购定价,但也承认国家因此会增加开支并减少对工业的投资。托洛茨基、加米涅夫、季诺维也夫(联合反对派),在向农民作出更多让步一事上小心翼翼。他们担心这会推迟苏维埃社会主义工业化的实现。在他们看来,国家应采取临时征用,确保粮食存有量和消费品的原料,之后再恢复农业市场机制。斯大林支持布哈林——直到1927年12月他在苏共十五大击败托洛茨基和季诺维也夫,之后他转而反对布哈林和新经济政策。斯大林将粮食危机斥为“富农罢工”,呼吁回到内战时的征购,以支持苏联工业化的五年计划。他在发言中措辞激烈,要求铲除资本主义经济的最后残余(小商贩和自耕农),不允许它们阻扰社会主义工业化的进步。

    斯大林的激烈措辞——呼吁返回革命和内战时的阶级斗争——迎合了党内广大的无产阶级。他们渐渐形成这样的观念:资产阶级正在回潮,打着新经济人、“资产阶级专家”、“富农”的旗号。许多人认为,布尔什维克理想是社会正义,而新经济政策却是一种倒退。他们担心,它将导致资本主义经济的复辟。一名布尔什维克回忆:“我们年轻共产党人从小就养成这样的信念:金钱将被永远废除。如果金钱重现,富人也会重现吗?我们在滑回资本主义吗?我们以焦虑的心情自我追问。”

    斯大林呼吁重返内战时的方法,对年轻共产党人特别有吸引力——他们出生于20世纪的前20年,太年轻,没能参与1917至1921年的革命战争,但一直接受源于内战的“斗争崇拜”的熏陶。另一名布尔什维克(生于1909年)在回忆录中认定,他同代人的好战世界观,使他们易于接受斯大林的观点:必须重新发起反对“资产阶级专家”、“新经济人”、“富农”以及其他“资产阶级走狗”的阶级战争。一名斯大林主义者解释,年轻共产党人曾经心灰意冷:

    我这一代的共青团员——十月革命时仅10岁或更年轻——为自己的命运感到恼火。不管是在共青团,还是在工厂,我们感叹没有重大事业留给我们来完成:革命已经结束,艰苦但浪漫的内战岁月,不会再一次光临;老一辈给我们留下的只有乏味平淡的生活,既没有斗争,也没有激奋。

    阿列克谢·拉达琴科在1927年的日记中写道:

    今日的进步青年没有投身运动的真正兴趣或焦点——现在不是内战时代,只是新经济政策时期——它是革命过程中的必要阶段,但很无聊。大家所关心的只是个人私事和家庭琐事。我们需要新鲜东西来震撼自己,打破这沉闷的氛围(有人甚至在期盼战争)。

    斯大林充分利用这类浪漫概念:内战是“英雄时期”,苏联国家正与国内外的资本主义敌人展开恒久的斗争。他捏造了1927年的“战争恫吓”,让苏联报刊充斥英国“间谍”和“反苏入侵计划”的假新闻,用这种恐惧来呼吁搜捕大批的潜在“敌人”(保皇分子和“遗民”),呼吁人们全力支持五年计划和扩军。他认为,把新经济政策当做工业军备措施则实在太慢了,当做战争中购粮措施又不可靠。与敌人开展不懈的斗争是斯大林五年计划概念的出发点。1928至1929年,为取得党的控制权,他与布哈林展开政治斗争。他指责布哈林竟然相信阶级斗争将随时间的消逝而愈益减少,“资本主义元素”与社会主义制度将获得调和(其实,布哈林认为经济领域的斗争将会持续)。斯大林认为,这种观念将削弱党对资本主义敌人的防御,将让敌人渗入苏联制度,从内部发起颠覆。斯大林坚持认为,随着苏联迈向社会主义,资产阶级的反抗一定会愈益强化,所以要以新的活力,不断“肃清和镇压剥削者的反抗”。 (134) 这像是一个前兆,他在后来的大恐怖时期,也作过类似的呼求,使日益高涨的镇压浪潮变得合理化。这个呼求激励了斯大林一派的力量,保证了对布哈林的胜利。恐怖是五年计划的灵感,并不是它的产物。

    向私商发起的进攻是再一次革命战争的首役,数千名新经济人遭囚禁,或被赶出家门。到1928年底,1926年注册的40万民营企业中,已有一半以上因不堪重税或警方行动而被关闭;到1929年底,存留的仅占十分之一。对被剥夺者的新限制,使新经济政策人的家庭生活更为艰难,没有资格获得配给卡(1928年推出),只好在仅剩的私营商店购买价格急剧上涨的食品。他们的家庭被逐出国家住房,他们的孩子不得上苏维埃的学校和大学,此类事件比以前更为常见。 (135)

    恰好在这场阶级斗争的高潮,塞缪尔·拉斯金从下诺夫哥罗德的流放地返回莫斯科。1929年春,他们一家人搬入祖博夫广场的新家。塞缪尔和贝尔塔住一间,索尼娅住另一间,法尼娅和热尼娅挤在客厅。过不多久,塞缪尔拥有自己住房的梦想彻底破灭。新经济政策取消后不久,就是私有制的废除。莫斯科苏维埃将拉斯金的住房国有化,使之成为共用公寓。一对老夫妇(知名的警方举报人)搬了进来,占了两间大屋,而拉斯金一家不得不挤入一个小间,还要付租金。1929年11月,国家又征用了塞缪尔的鲱鱼生意。塞缪尔第二次被捕,先押在布提尔基监狱几个星期,后被流放到沃罗涅日。他在1930年返回,开始了苏维埃水产业雇员的新生活。 (136)

    塞缪尔失去了一切,像忍受先前的厄运一样,默默承受自己沦落的处境,从没抱怨苏维埃政权。娜杰日达·曼德尔施塔姆是热尼娅在20世纪50年代的朋友,她在有关斯大林年代的回忆录中这样描述塞缪尔:

    热尼娅的父亲是名小商人。事实上,他是你想象中最小的商贩,养育三个女儿,专做咸鲱鱼生意。俄国革命曾使他欢欣鼓舞,因为它宣布犹太人享有平等权利,使他有机会实现三个聪明女儿接受良好教育的梦想。新经济政策推出时,他当了真,全心全意投入咸鲱鱼生意,以求培养女儿——最后却因付不起税而遭到没收。毫无疑问,他一定打过算盘,如何保住自己的家。他被送去纳雷姆地区或类似的地方,但没有为此或之前的入狱而悲痛欲绝——他入狱时,当局引进了比原始殴打更为精致的折磨“新法”,以对付“没收贵重物品”的案件。第一次流放时,他给妻子和三个女儿写了如此悲痛而柔肠百结的家书,以致她们决定不让任何外人读到。他的一生在反反复复的流放中度过。后来,同样的命运落到他的那些女儿和女婿的头上,各自走上流放和劳改营的风雨路。如果没有身处中心、坚韧不拔的父亲,这家人的命运真可成为典型苏维埃生活的缩影。他是犹太圣徒的典范,像上帝的仆人约伯一样,拥有神秘的灵性和善良。 (137)

    [1] 临时政府由自由派与温和的社会主义者组成,旨在维持俄国直到第一次世界大战结束和宪政大会的民主选举。但工人、农民、士兵组成了自己的地方革命委员会,尤其是苏维埃,以推行激进的社会革命。临时政府的政治权威,很快因此土崩瓦解。列宁的布尔什维克在1917年10月夺取权力,就是以苏维埃的名义。起义前夕的布尔什维克,约有35万名成员,代表了社会民主党(马克思主义)的革命派,该党的温和派孟什维克则支持临时政府。1918年3月,布尔什维克改名为俄罗斯共产党。
    [2] 有大量例证可供选择,如亚历山大·法捷耶夫(未来著名作家的父亲),在1905年为了投身于“人民事业”,弃妻子和三个孩子于不顾。还有抛离丈夫和两名年幼女儿的柳芭·拉达琴科,她在日记中指出,“真正革命家的责任,就是要做到不受家小的拖累”。(RGAE,f.9455,op.3,d.14,l. 56)
    [3] 仿效马克思和恩格斯的名字—1917年以后,革命年鉴创造了众多的苏维埃新名字。其他常见的有:弗拉基列(弗拉基米尔·列宁)、恩格列娜、宁格、马列(马克思和列宁)、马恩列十(马克思、恩格斯、列宁、十月革命)。
    [4] 内战期间俄罗斯南部的白军领袖。
    [5] 义务劳动就是始于内战的周六劳动,征召学生、工人和其他公民“志愿”参加体力劳动,譬如清除街头垃圾。它很快变成苏维埃生活方式的永久标志,呼吁人们投入义务劳动,不止是几天,甚至是几个星期。
    [6] 社会革命党人是1917年俄罗斯最大的党派,凭借农民的支持,在制宪大会中拥有多数席位,1918年1月遭到布尔什维克的取缔。
    [7] 他们属于被剥夺者——主要是旧知识分子、小资产阶级、神职人员,没有公民权和选举权。在20世纪20年代,布尔什维克对他们的歧视日益加重,许多家庭不能住国家配给的住房,领不到配给卡,孩子不能去苏维埃学校上学。
    [8] 《钢铁是怎样炼成的》(1932—1934)是尼古拉·奥斯特洛夫斯基的小说,叙述了苏维埃政权的创建和共青团斗士保尔·柯察金的英勇事迹。它在20世纪30年代和40年代,激励了众多的苏维埃儿童。
    [9] 艾莱娜·沃尔孔斯卡娅1924年出生于罗马,并在那里长大。她使用同样的语句,回忆自己的母亲。艾莱娜的母亲出生于1893年,是俄罗斯1906—1911年的总理彼得·斯托雷平的女儿,她也毕业于斯莫尔尼学院。(根据对艾莱娜·沃尔孔斯卡娅的采访,2006年7月于意大利的切托纳)
    [10] 17世纪50年代的教会改革,使俄罗斯东正教的仪式向希腊正教靠拢,但老信徒仍坚持遵循改革之前的旧规矩。
    [11] 政府提供免费的火葬,以鼓励人们采纳世俗的苏维埃仪式。但根据20世纪20年代早期任职于太平间的一名员工所说,“俄罗斯人或是信教,或是过于迷信,都不愿偏离东正教的丧葬传统”。(GARF, f. 4390, op. 12, d. 40, l. 24)
    [12] 他的教名是基里尔,人们也始终如此称呼他。20世纪30年代,他开始文学生涯,感到基里尔的发音比较尴尬,遂改名为康斯坦丁。为清晰起见,我们在本书中只用康斯坦丁一个名字。
    [13] 法尼娅和雅可夫上了爱沙尼亚的塔尔图大学(当时名叫Iurev),那是1917年前接受犹太学生的少数沙俄大学之一。
    [14] 允许搬离法定犹太区的犹太人包括:一级商会的商人、技艺出众的工匠、大学生和合格的药剂师。

    第二章 大转变(1928—1932)

    1930年8月2日,奥布霍沃村民举办盛宴来庆祝古老的宗教节日伊林(Ilin),一是标志夏季的结束,二是祈祷美好的收成。从教堂回来后,村民聚集在该村最大的家族戈洛温家,分享自制的馅饼和啤酒,孩子在室外撒欢。傍晚时分,村民舞蹈开始,带头的是三角琴手和手风琴手,后面的是排成两行的少男少女,身穿节日棉纱服,离开戈洛温家,沿着村里的街道载歌载舞。 (138)

    这一次过节已经笼罩在激烈争执的阴影之下。苏维埃政府下令成立集体农庄,但村民的意见严重分裂。大多数农民不愿放弃世代耕耘的家庭农庄,不愿与他人共用自己的财产、牛马、农具。在集体农庄里,所有的土地、牲畜、工具归集体所有,合并的大片土地可以使用拖拉机,农民变成赚取工资的劳工,只允许保留小菜园来饲养家禽和种植蔬菜。奥布霍沃村的村民本来就栈恋个体劳动和私人财产的原则,复又听到其他北部村庄的可怕故事,更被吓坏了。譬如,士兵逼迫农民加入集体农庄,实施大规模的逮捕和驱逐,杀人放火,农民逃离自己的村庄或屠宰牲畜以躲避集体化。尼古拉·戈洛温在7月的公社会议上曾告诫大家,“在自己的农庄,我们辛苦是为自己;在集体农庄,我们将再次成为农奴”。 (139) 奥布霍沃村的许多老农,出生于1861年废除农奴制之前。

    尼古拉在1917年领导了农民的土地革命,组织没收了教会土地(那里没有绅士阶层),再通过公社和苏维埃完成了土地的重新划分,使耕地面积与家庭规模相匹配。自耕家庭农庄的数量因土地革命而有所增加,村民尊重尼古拉,经常向他讨教农业上的见解,看重他的智慧、诚实、勤奋、节制、谦虚。他较能吃透苏维埃政府的政策,并作出浅白易懂的解释,从而赢得了村民的信任。他房子外面的老石磨是个非正式的聚会场所,夏日傍晚,村民都聚集于此,聆听尼古拉对本地事件的意见。 (140)

    戈洛温家族是农民传统的捍卫者,其家庭农庄的管理遵照父系家长制,所有孩子都在父亲的指挥下参与农活,从小学会了服从他的至高无上权威(“天上有上帝,家里有父亲”)。像其他农民一样,戈洛温一家相信私家耕作的权利,这本来就是1917至1918年土地革命的指导原则。内战中,尼古拉帮助组织北方的红军。他认为,苏维埃政权将捍卫农民此类权利,所以给予积极的支持(整个20世纪20年代,他家主屋的圣像旁,挂的就是苏维埃军事委员会主席克里门特·伏罗希洛夫的肖像)。但这些权利遭到布尔什维克越来越频繁的攻击,在奥布霍沃村领导集体化运动的,是激进的共青团积极分子。他们在村校召开会议,向奥布霍沃村最富裕的农民发出激烈的指控——主要针对戈洛温家。村民从没听到过如此的宣传,共青团干部的滔滔不绝给很多村民留下深刻印象。在这些会议上,村民被告知他们属于三个相互敌对的阶层:作为无产阶级盟友的贫农、中立的中农,以及作为敌人的富农。 [1] 全由共青团员开列的三个阶层的名单,贴在村校外的告示牌上。村民以前都没有社会阶层的概念,一直以为自己属于一个大家庭。对戈洛温那样的最成功的农民,最贫穷的农民通常是尊重的,甚至于毕恭毕敬,但在村校的会议上,特别在酒精的影响下,也加入了对“富农戈洛温”的控诉。 (141)

    驻在奥布霍沃村的共青团工作队有12名青少年,携带枪支,身着军便服,在村庄里四下活动,令村民望而生畏。他们的负责人是科利亚·库兹明,18岁。他父亲很穷,又好酗酒,他家肮脏破烂的房子就坐落在贫民集聚的村庄尽头。还是小男孩时,科利亚就被家人派去村中其他农户乞求帮助。尼古拉的女儿安东尼娜回忆,他经常来自己家乞讨“火柴、盐、煤油、面粉。这类生活必需品,在库兹明家老是青黄不接,等不及来年”。尼古拉可怜他,让他来自己的皮革工场工作。他工作多年,直到1927年加入共青团,就对戈洛温家反戈一击。 (142)

    在许多村庄,特别是像奥布霍沃村那样的偏远村庄,布尔什维克尚未设立党支部,宣传鼓动工作必须依靠共青团。20世纪20年代中期,农村共青团员的人数是农村党员的4倍。离奥布霍沃村最近的党支部,设在7公里外的乌斯秋扎纳镇。由于奥布霍沃村的苏维埃掌控在戈洛温家族的手中,村里坐立不安的共青团年轻人,便成了开展集体农庄运动的领头人。从1928年秋天起,党领导呼吁大规模的集体化。库兹明和他的伙伴四下串联,鼓动最贫穷的农民加入战斗,以抵制“富农”和教会的反革命影响,还向镇党支部投送匿名控告信。到1929年春,尼古拉遭到奥布霍沃村苏维埃开除,又作为“皮革生意的资产阶级老板”而被剥夺公民权。11月,村共青团和镇官员前来尼古拉家里搜查,向他的“富农”农庄征收800卢布的重税。这项征税只是全国性政策的一部分,为了“榨干富农”和没收其财产,光在沃洛格达一地,就毁了近4000个农户。 (143)

    为了缴税,尼古拉被迫出售两头奶牛、制鞋机械、铁床和一箱衣服。那年冬季,他甚至与他四兄弟中的两位,前往列宁格勒的建筑工地,以赚取额外的现金。这三人意识到农业集体化的不可避免,甚至想离开奥布霍沃村,试探城市生活的可行性。他们睡宿舍的长椅,吃食堂,省下几百卢布寄回家中,但数月后仍决定返回。尼古拉在给家人的信中解释说:“如果什么都要从商店购买,面包、土豆、白菜,这样的日子没法过。” (144)

    尼古拉在1930年春天返回,与共青团的关系也濒临破裂。一天晚上,他与来自邻村的兄弟伊万·戈洛温一起吃饭,坐在厨房窗口的桌旁。聚在屋外黑暗中的库兹明及其追随者,能清晰看到兄弟俩被煤油灯映出的身影。这帮年轻人显然喝醉了,高喊“富农”“走出来”,然后朝窗开枪。伊万被击中头部,当场死于血泊之中。

    数星期后,库兹明又来尼古拉家,还带来两名镇上的党干部。那晚,尼古拉家正好有个聚会,主屋里挤满了朋友和亲属。库兹明指责他们举行非法集会,一边猛烈拍门,一边喊道,“一帮富农,开门,中止你们反苏维埃政权的阴谋!”,并朝天开枪。尼古拉来到门廊上挡着,不让他们进去。库兹明威胁要枪杀尼古拉(有人听到他说:“我要把你打死,像干掉你兄弟一样,没人会来惩罚我”),随即动起手来,却被尼古拉推倒在地,才和伙伴们悻悻而去。几天后,他写信给乌斯秋扎纳镇政治警察(OGPU)的主管,控诉尼古拉是个富农剥削者:

    与十几名富农分子一起,在我们村里散布反苏维埃的宣传。他们声称苏维埃政府在抢劫人民,其目的就是要煽动人们反抗,破坏集体化。

    库兹明很清楚,这足以让他的前雇主被捕,特别是他的控告还获得了两名布尔什维克的支持。他们添油加醋,称尼古拉咒骂苏维埃时“始终是醉醺醺的”。 (145)

    果然在8月2日,即宗教节日结束时,客人们正准备离开戈洛温家,两名官员前来逮捕尼古拉,他被关押在乌斯秋扎纳镇。三人组成的政治警察法庭,裁定他有“恐怖分子的意图”(将库兹明打翻在地),判刑三年,押往白海一座岛屿的索洛韦茨基监狱。安东尼娜最后一次看到父亲,是透过乌斯秋扎纳镇监狱的铁栏。她和母亲、兄弟姐妹步行到镇上,为了能在尼古拉奔赴索洛韦茨基劳改营之前,看上他最后一眼。之后的三年中,父亲身陷囹圄的形象不断出现于安东尼娜的梦魇中。 (146)

    尼古拉被捕几星期之后,奥布霍沃村的农民被迫出席村庄会议,通过决议,废除自己的家庭农庄,移交所有土地、工具、牲畜,以建立集体农庄。

    集体化是苏维埃历史上巨大的转折点。它摧毁了数世纪以来形成的生活方式:家庭农庄、古老的农民公社、独立的村庄、教堂、农村市场。在布尔什维克看来,这一切都是社会主义工业化的障碍。数以百万计的人背井离乡,散布苏联各地,包括逃离集体农庄的、因集体农庄粮产的过度征用而造成的饥荒逃难者、孤儿、富农及其家人。这批流动人口成为斯大林工业革命的主要劳动力,充斥于城市、工业建设基地、劳改营、古拉格(劳改营的主要管理机构)的“特殊定居地”。创立苦役模式的第一个五年计划,推出了一种全新的社会革命(自上而下),巩固了斯大林政权。它打破旧式的关系和忠诚,铲除旧道德,推行(苏维埃)新价值和新身份,使全体民众从属、依赖于国家——住房、教育、就业、口粮——全受计划经济的控制。

    消灭家庭农庄是自上而下的革命的开端。布尔什维克对农民抱有根本的不信任,因在农村缺乏影响力,不得不忍受1917年农民的土地革命,以利用来破坏旧政权。但他们一直公开表示,其长远目标是扫除小农制度,代之以大规模的机械化集体农庄,将农民改造为“农村无产阶级”。马克思主义的意识形态教导布尔什维克,农民是旧社会遗留下的“小资产阶级”残余,说到底,与共产主义社会的发展互不相容。农民与俄罗斯父系家长制的习俗和传统牵连太紧,在自由贸易和私有财产的原则和习惯上受了太深的影响,太倾向于家庭的“自我中心”,以致无法变得完全社会化。

    布尔什维克认为,农民只要控制食物供应,就会对革命构成潜在的威胁。如内战时所显示的,农民如果不把粮食运去市场,就可以把苏维埃政权带到崩溃的边缘。1927至1928年的粮食危机,使斯大林小圈子再度担心“富农罢工”。斯大林为此重新启动粮食征用,为了替这一对策辩护,更营造了“富农在威胁内战”的气氛。斯大林1928年1月前往重要产粮区西伯利亚,敦促当地积极分子对涉嫌囤粮的富农毫不手软。他的战斗口号更配以一系列紧急措施,指示当地政府以刑法来逮捕拒绝上缴粮食的农民,没收其财产(这是刑法的滥用,在政府内遇到相当的抵制)。数十万“恶意的富农”(像尼古拉·戈洛温那样的普通农民)被捕,被送去劳改营,他们的财产遭到毁坏或充公。政府寻求打破“富农罢工”,更将监狱的人满为患转化成一个劳改营网络(很快被称作古拉格)。 (147)

    随着粮食争夺战的愈益激烈,斯大林和他的支持者转向大规模集体化的政策,既加强国家对粮食生产的控制,又一劳永逸地消除“富农威胁”。斯大林在1928年说过:“我们必须制订一套程序,一旦威胁撤回国家的补贴和信贷,集体农庄就会向国家和合作机关交出所有的商品粮。” (148) 斯大林对大规模机械化的集体农庄的潜力,抱有日益增加的乐观。有统计显示,已有的此类农庄所生产的商品粮盈余,远远超过绝大多数家庭农庄所能生产的。

    对集体农庄的热情是这时才兴起的,之前,党对集体化并不十分重视。根据新经济政策,国家只是通过财政和农艺上的援助,鼓励集体农庄的成立。党内普遍认为,集体化只是一个渐进自愿的过程。在新经济政策时期,农民并没有接受集体化的原则,集体农庄的增长实属微不足道。1927年之后,国家通过税收政策,施加更大的压力——向集体农庄提供信贷,向“富农”农庄征收重税——集体农庄因此得到了较为迅速的增长。但它不是土地和财产都汇集在一起的大型公社,而是土地共耕、牲畜农具仍属私人的小型合作社。它们属于非正式的,遂引起了大多数农民的兴趣。第一个五年计划并没有改变政策的迹象,只字不提自愿原则的变动,只预测集体农庄的耕地量将有适度的增长。

    该政策的突变是斯大林在1929年强行通过的,对布哈林是致命的打击。布哈林还想在五年计划中,拼命保留新经济政策的市场机制。该计划的原始版本(1929年春天通过,不过生效日期追溯至1928年)所设定的社会主义工业化目标,虽稍嫌乐观,却尚算合理。但斯大林要求更高的工业增长率,1929年秋天订下的五年计划,其目标大大调高,要在1932年结束时,投资额增加到3倍;煤炭产量翻一番;生铁产量翻两番(原始版本要求增加250%)。广大党员普遍怀有疯狂的乐观,苏维埃报刊提出了“五年计划四年完成”的口号。 (149) 这些乌托邦式的增长率,迫使党接受斯大林的大规模集体化的政策,似乎只有如此,方能获得廉价和保证的粮食供应,以养活迅速扩充的工业大军(还必须保证换取外汇的农产品出口)。

    该政策的核心是党向农民的宣战,农业集体化的矛头直指在俄罗斯根深蒂固的旧观念,譬如农民对村庄和教会的依恋、家庭农庄、私人贸易、私人财产。1929年11月7日,斯大林在《真理报》发表文章《大转变的一年》,称五年计划是在苏联反“资本主义元素”的最后一场伟大革命斗争,让社会主义工业为共产主义社会打下基础。斯大林向高尔基解释,他的“大转变”是指“彻底摧毁旧社会,热火朝天地建设新社会”。 (150)

    从1919年夏季起,数千名党的积极分子被派去农村,鼓动宣传集体农庄的优越性。像奥布霍沃村的村民一样,大多数农民都不愿放弃沿续数百年的生活方式,盲目投入一个未知世界。另一方面,用以说服农民的集体农庄好榜样,却寥寥无几。1929年在西伯利亚工作的一名德国农业专家,将集体农庄描述成“死亡申请者”。它们中很少拥有拖拉机或其他现代设施,经营不善,其管理人员的农业知识匮乏,犯下“浅陋的错误,给集体化的全过程抹黑”。根据政治警察所说,农民担心加入集体农庄将“血本无归”——他们的土地、奶牛、马匹、工具、家园和家人。一位老农说:“讲师来了一个接一个,告诉我们应忘记私人财产,应与他人共享。然而,对私产的热望为何仍在我们的血管中燃烧不已?” (151)

    积极分子无法说服农民,便开始采取强制措施。1929年12月,斯大林呼吁“消灭富农阶级”。从那以后,促使农民加入集体农庄的运动变成了一场大战。党员和共青团员动员起来,全副武装,再加上当地民兵、军队及政治警察的特种单位、城镇工人、志愿学生,他们奔赴农村,肩负的严肃使命是如果办不成集体农庄,就休想回去。上级告诉他们:“最好超越目标,不可功亏一篑。记住,我们不会怪罪你们的过分,但如果你们不够努力——当心!”一名积极分子记得,布尔什维克领导人孟德尔·哈塔埃维奇向伏尔加河地区80名党员发表了如下讲话:

    你们必须以共产党员强烈的责任感挑起重担,没有呜呼哀哉,没有腐朽的自由主义。把你们的资产阶级人道主义扔出窗外吧,成为无愧于斯大林同志的布尔什维克。无论富农代理人在哪里抬头,就在那里把他打倒。这就是战争——你死我活。腐朽资本主义农业的最后残余,必须消灭,不惜一切代价。 (152)

    1930年的头两个月,苏维埃农民的一半(约6000万人,超过10万个村庄)被迫加入集体农庄。在投票参加集体农庄的村民会议上,积极分子耍弄各种恐吓手段。例如,西伯利亚某村的农民,对集体农庄的议案甚不情愿;但到投票表决时,积极分子却带来全副武装的士兵,要求反对议案的人发言,大家噤若寒蝉,于是宣布议案获得了“一致通过”。在另一村庄,农民投票反对集体农庄之后,积极分子要求知道谁投了反对票,并解释说,加入集体农庄是苏维埃政府的命令;没人愿意承认自己反对政府,积极分子便将投票结果改为“一致通过”。在其他村庄,只有少数村民(由积极分子挑选的)获准参加会议,表决结果却对全体村民都具约束力。例如,科米地区的切勒姆霍沃村共有437户农民,出席村民大会的仅52人,18人赞成,16人反对;然而在此基础上,整村加入了集体农庄。 (153)

    发言表示反对集体化的农民,遭到了殴打、折磨、威胁、骚扰,直到最终同意。还有很多人被当做富农逐出家和村庄。将农民赶入集体农庄,与猛烈攻击教会相伴相随,教堂是农村旧生活方式的焦点,在布尔什维克的眼中,又是反对集体化的潜在源头。数千神父被捕,教堂遭到洗劫和破坏,数百万信徒被迫躲在自己家里偷偷保留信仰。反对强行集体化的农村党员和官员,被开除党籍,锒铛入狱。

    在斯大林看来,向“富农”开战与集体化运动是不可分割的。有些布尔什维克提出,可以让“富农”中立化,或使之成为集体农庄的劳动力。但斯大林认为,这样做是没有任何好处的。他辩称:“脑袋已被砍下,你就不要再为头发哭泣了。” (154) 在他的心目中,迫害富农可以一箭双雕:一是消灭反对集体化的潜在力量,二是杀鸡儆猴,敦促其他村民加入集体农庄,以逃避与“富农”一样的厄运。

    有关“富农”的讨论众说纷纭,却没有一个客观定义。该名称用得如此广泛随意,几乎每一个农民都可被冠以“富农”的帽子,从而遭到剥夺。向“富农”开战就是为了制造恐怖,这种含糊性更添加了恐怖的效果。根据列宁主义思想,“富农”是雇用劳工的资产阶级农民,但1929年后,实际上作为“富农”遭受迫害的农民中,符合上述定义的寥寥无几。新经济政策允许农民通过自己的劳动致富,像戈洛温那样的农民,依靠自己的勤劳,在家庭农庄中创造了相当的财富。 [2] 但新经济政策对雇用劳工一直有严格控制,不管怎么说,1927年后的农民纳税大增,多数像戈洛温那样的富有农民,已失去私人财富的大部分。资产阶级农民的“富农阶级”,其实只是一种幻想。所谓的“富农”中,绝大多数是像戈洛温那样的勤劳农民——村中最为清醒、节俭、进步的农民——他们相对较多的财富往往是大家庭的结果,“富农”的勤劳在农民当中又是公认的。一名集体农庄员工在1931年说,反对“富农”的运动意味着,所有“最好、最勤劳的农人”都被赶出了集体农庄。 (155)

    对苏联来说,消灭“富农”是巨大的经济灾难,使集体农庄失去俄国最勤劳农民的专业知识和工作伦理,最终导致苏维埃农业部门的持久衰退。斯大林发动对“富农”的战争,没作经济上的考量——只想剔除集体化农庄的潜在反对力量,因为“富农”是农村的个人主义者,又是农村旧生活方式最强大的领导者和支持者,必须让他们消失。

    “消灭富农”在全国遵循相同的模式。1930年1月,中央政治局委员会定出配额:6万名“恶劣富农”送去劳改营,1.5万名其他“富农”家庭流放去北方、西伯利亚、乌拉尔和哈萨克斯坦。这只是整体计划的一部分,最终将要求剥夺100万“富农”家庭(约600万人)的财产,把他们送去劳改营或“特殊定居地”。国家政治保卫总局负责配额的实施(又将“富农”配额提高到所有农户的3%至5%),其具体执行再分配给地方上的政治警察和党组织(许多地区故意超额,相信这样做能显示自己的高度警惕性,以迎合上级)。 (156) 每村都有地区当局锁定的配额,共青团和党的积极分子开列每村逮捕和流放的“富农”名单,等他们被驱走后,再盘点清算他们家中被充公的财产。

    令人惊讶的是,迫害“富农”的运动仅遇上零星的农民反抗——尤其应考虑到的是,俄罗斯的村庄团结具有浓厚的历史传统(反“富农”运动在内战时期无法分裂农民)。当然也有抵制配额的村民,坚持认为他们之中没有“富农”,或所有的农民都很穷。也有村民拒绝交出“富农”,甚至在积极分子前来拘捕时予以保护。但大多数农民,对于乡亲的突然失踪,只是战战兢兢地接受。在有些村庄,农民举行村民大会来选择“富农”(孤立无助的农民、寡妇、老人特别容易受到伤害)。也有的地方,“富农”是通过抽签选出的。 (157)

    德米特里·斯特雷勒兹基1917年出生于西伯利亚库尔干地区的农民大家庭。他讲述了自己父母如何被选定为“富农”并逐出家园:

    他们没有调查或慎重考虑,只是赶来通知:“你们要走”。驱逐我们的村苏维埃主席谢尔科夫解释:“我收到命令[来自区党委],找出要驱逐出去的17户富农。我召集贫农委员会,连夜开会,讨论人选。但村里没人富得够格,也没有很多老人,只好拼凑出17家,你们正好被选上了。”他还说:“这不是有意要针对你们家。我也是没办法啊!” (158)

    作为“富农”受到迫害的统计人数很难确定。在“反富农运动”的高峰时期(1929年冬至1930年冬、1931年初的几个月以及1932年秋季),全国的道路上满是被驱逐之人形成的长队,每人携带自己仅剩的财产——可怜的几捆衣服和被褥,或自己拉车拖着这些家当。乌克兰苏梅地区一名目击者看到一长列人群,“朝两个方向延伸,一眼都看不到头,沿途还有人不断加入”,向铁路旁的聚集点行进。那里有载牛的车厢,把他们运去“特殊定居地”。由于铁路无法应付这么多人,许多“富农”必须在简陋的拘留营中等待数月。在如此恶劣的环境中,老人和儿童像苍蝇一般死去。到1932年,已有140万“富农”抵达“特殊定居地”,主要集中在乌拉尔和西伯利亚;另有更多的人走进了附属于古拉格工厂和建筑工地的劳改营;还有人仍在迁徙的旅途中。总而言之,从1929到1932年,被逐出家园的至少有1000万“富农”。 (159)

    这些统计数字的背后是无数的人间悲剧。1930年1月,德米特里·斯特雷勒兹基一家被逐出库尔干地区的巴拉巴,他们已在那里住了整整50年。祖父的房子遭到摧毁——农具、推车、马匹、奶牛转到集体农庄的名下;小件的家用品——如衣服、床单、锅碗瓢盆——则分给村民,家中的圣像全部被砸烂烧毁。德米特里的祖父母,其四个儿子中的三位和他们的家人(总共14人),被禁止与其他村民交往,暂居牛棚,等待镇上的驱逐命令。6个星期后,他们被流放至乌拉尔的木材营地(祖父母在一年之内死去)。德米特里的父亲尼古拉与家人仍留在巴拉巴的老家。尼古拉是内战时期的红军老兵,曾组织村里第一个集体农庄(TOZ),他的农业知识是集体农庄迫切需要的。尼古拉得以保住自己的房子,与他一起的还有妻子安娜和六个孩子。但到1931年早春,他们被告知也“中选”当上了“富农”,加入巴拉巴的第二波驱逐。被押送出村之前,他们只有一小时的时间来收拾简单的行装,然后就走上大草原,并被告知永远不得归来。 “我们失去了一切”,德米特里回忆:

    一小时之内能收拾什么呢?父亲要带走手杖(其中一根饰有银顶),但警卫不准。他们还拿走母亲的金链和金戒指,简直就是大白天抢劫。一切都被留下了——我们的家、谷仓、牲口、床单、衣服、瓷器,只能带上几件随身衣服——父母的、小孩的、兄弟姐妹的——成了我们合家的全部家当。

    瓦伦蒂娜·克鲁波特娜1930年出生于白俄罗斯的贫农家庭,到了1932年,却作为“富农”遭到迫害。瓦伦蒂娜最早的记忆是与父母从燃烧的家中逃出,此次纵火是村里共产党人下的命令,特意选在家人都已睡着的半夜。瓦伦蒂娜的父母差一点没有时间拯救两个女儿,他们带着严重的烧伤,从被火焰吞噬的家中逃出。当晚,父亲被捕,监禁之后流放到西伯利亚的阿穆尔地区,在各式劳改营中度过之后的6年。他们的住房和谷仓被烧;奶牛和猪充公给了集体农庄;庭院里的果树被砍;地里的农作物遭到摧毁;唯一剩下的只有一袋豌豆。瓦伦蒂娜的母亲名叫叶菲米娅,不识字,不准加入集体农庄。她带着两个幼女度日,以前的家现在已是一片废墟。叶菲米娅只能从废墟中觅寻残片,在村边搭起一个小窝棚,帮人做清洁工,勉强维生。瓦伦蒂娜和姐姐都没上学——“富农女儿”好几年都不准上学。她们是在大街上长大的,跟随母亲到处做清洁工。瓦伦蒂娜回忆:“所有的童年记忆都是悲伤的,我记忆最深刻的就是饥饿,从没离开过我。” (161)

    克拉夫蒂娅·罗别尔尤娃1913年出生于伊尔贝伊地区——位于西伯利亚的克拉斯诺亚尔斯克,家里务农,在11个孩子中排行老三。她的母亲1924年死于难产,父亲伊利亚一人带大所有的孩子。父亲积极进取,抓住新经济政策的机遇,由务农转行做园艺。他种植自己年幼的孩子容易照看的罂粟种子和黄瓜,因此被冠为“富农”,遭到逮捕和监禁,后被送去劳改营,把孩子们留给17岁的克拉夫蒂娅照看。父亲的财产全被剥夺:他自己建造的房子现属于村苏维埃;马、奶牛、羊、农具都被集体农庄拿走。好几个星期,孩子们住在澡堂里,直到官员把他们带去孤儿院。克拉夫蒂娅带上最小的孩子,前去克拉斯诺亚尔斯克附近的坎斯克,投靠已成年的姐姐赖莎。走之前,她们向其他村民出售最后的财产。克拉夫蒂娅回忆:“我们只是孩子,没有多少东西。一条毛皮衬里的毯子、一张老羊皮、一个羽绒床垫、一面镜子,都是从自己家里救出的,便是我们拥有的一切财产。” (162)

    向农民开展残酷斗争的男男女女,其动机到底是什么?大多数推行集体化的人是应征的士兵和工人——他们急于执行上级的命令(在某种情况下还从中渔利)。“富农寄生虫”和“吸血鬼”是危险的“人民公敌”这样的反复宣传,再加上上级的灌输,培养了他们对“富农”的仇恨。库班地区一名年轻的共青团领袖回忆:“我们接受培训,不把富农当人,而是当做害虫和虱子,必须予以消灭。”另一名集体化推行者在1980年代写道:“如果没有集体农庄,富农可能早已掐住我们的喉咙,活剥了我们的皮!” (163)

    其他人则因共产主义的狂热而失去理智。五年计划的宣传激发了浪漫的革命热情,他们因此相信,有了布尔什维克,人类的绝对意志可以创造任何奇迹。当年的一名学生回忆道:“我们坚信,我们是在建设共产主义社会,它将通过若干个五年计划得以实现,我们愿意付出任何牺牲。” (164) 这种激起的救世愿望和狂热,其力量在今天很容易被人低估。要知道,年轻的一代从小就接受熏陶,“崇拜斗争”,向往内战的浪漫。这些年轻人愿意相信,继续斗争是他们的天职,借用《国际歌》的话就是要创造“新的更好的人生”。约有2.5万都市积极分子大军奔赴农村、开展集体化运动,其中的一员回忆:“不断的斗争、斗争,更多的斗争!这就是我们受的教育——没有斗争,就没有成果,这是社会生活的规则。” (165)

    根据这好战的世界观,创造一个新社会不但是要与旧社会力量进行一场苦战,而且是不可避免的(对五年计划的宣传加强了这一逻辑,它喋喋不休地谈论,要在社会、经济、国际、国内等“战线”上,发起“运动”、“战斗”、“攻势”)。理想的共产党人以这种方式将“反富农”的恐怖与乌托邦的信念调和起来。有人震惊于野蛮的暴力,有人憎恨自己扮演的角色,但很清楚自己是在做什么(他们无法辩解自己的一无所知,或只是在“奉命行事”)。他们都相信,如果目的正当,可以不择手段。

    列夫·科佩列夫参与了对乌克兰农民的最惨无人道的暴行之一,当年他是个年轻的共产党员,他解释了当年行为的出发点。1932年,科佩列夫自愿参加向“富农”征用粮食的共青团分队,夺走一切食物,不留下一个面包。他在20世纪70年代反思时,尚能记得孩子们的尖叫和农民们的表情——“宛如惊弓之鸟,哀求,充满仇恨,迟钝的冷漠,绝望,激怒,几近疯狂的凶悍”:

    看到和听到这一切,会令人痛苦。更糟糕的是,还必须参与其中……我尽力说服自己,尽力自我解释:绝不能向怜悯让步。我们在实施历史的必然之途,在履行革命义务。我们征粮是为社会主义祖国,是为五年计划。 (166)

    大多数村庄默许对“富农”的迫害,对集体化却有广泛的抵制。从1929到1930年,警方登记了44779起“严重骚乱”。有数百共产党人和农村积极分子被杀害,受到袭击的有数千。这些骚乱包括农民的示威和暴动,对苏维埃机构的袭击,对集体农庄财产的纵火和破坏,对关闭教堂的抗议,简直是回到了内战尾期。其时,烽火四起的农民起义迫使布尔什维克放弃征粮,并引进新经济政策。但这一次,苏维埃政权已经强大,足以粉碎农民的抵抗(事实上,在1929至1930年的农民起义中,有不少是警方故意挑起的,为了引蛇出洞,以镇压“造反的富农”)。农民认识到自己的无能为力,转向传统的“弱者武器”,宰杀自己的牲畜,以防集体农庄征用。从1929到1930年,苏联的牛数量下降30%;从1928到1933年,下降了一半。 (167)

    斯大林眼看苏维埃农村行将变为废墟,便要求暂停集体化运动。他在1930年3月2日《真理报》登出的文章《得意忘形》(Dizzy with Success)中,指责当地官员头脑发热,对农民使用武力,以法令强行成立集体农庄。数百万农民视之为退出集体农庄的许可,纷纷以自己的双脚投了票。从1930年的3月至6月,加入集体农庄的苏维埃农户从58%下降至24%(在中部的黑土地区,从83%降至18%)。但到最后,退出集体农庄谈何容易,要回自己的私有财产、农具、牲畜几乎不可能。不安的休战持续了6个月,到1930年9月,斯大林发起了集体化的第二波浪潮,定出的目标是至少80%的农户加入集体农庄——第一次只是50%——还要在1931年底消灭所有的“富农”。中央政治局指示国家政治保卫总局,在北部、西伯利亚、乌拉尔、哈萨克斯坦的偏远地区,准备1000个“特殊定居地”,每个接收多达300户“富农”家庭。从1930到1931年,流放到这些地方的共有200万人。 (168)

    1930年9月,即在第二次浪潮中,奥布霍沃村成立了集体农庄,取名为“新生活”(Novyi byt),之后就变成了该村的新名字,以取代自1522年起就使用的“奥布霍沃”。村口挂上红旗,表示它已集体化。村庄中心古老的木结构教堂被推倒,木材挪作他用,教堂的钟也被取下拿去熔化,围观的一群农妇边看边哭。

    原先农民的自家土地,现在合并成集体农庄的大田。集体农庄带走耕地的马匹,将村里所有奶牛圈养在集体的奶牛棚,但原来讲好的吸奶器没有兑现,不得不将奶牛退回,由主人自己挤奶,只是每户都需要缴纳牛奶税。共青团干部科利亚·库兹明成了集体农庄主席,他从邻村娶来新娘,搬进了村里最大的房子。那房子是没收来的,原先属于瓦西里·戈洛温——因是“富农”而遭到流放。库兹明也许是全村中经验最少的农民,却负责集体农庄的日常管理。他经常醉酒,喜欢动粗。他们第一个冬天就遭遇了灾难。集体农庄向国家交付了很高指标的粮食和牛奶,但一半马匹死去,每名集体农庄工人每天仅能分得50克的面包。

    有些村民继续抵抗。库兹明率领武装人员前来搬走财产,常常出现愤怒的场景,很多农民宁可逃跑,也不愿加入集体农庄。戈洛温家族作鸟兽散,1929年的奥布霍沃村仍有120名戈洛温家族的人,到1931年仅剩71人(20人逃去他乡,13人成了被流放的“富农”,16人不准加入集体农庄,径自搬去孤立的荒园)。

    尼古拉的直系亲属全被打散,两个兄弟流放,母亲逃到最近的城镇。他的长子被捕,被送去白海运河充当古拉格的劳工;另外两个孩子玛丽亚和伊万,离家出走以避逮捕。妻子叶夫多基娅和三个最年幼的孩子想加入集体农庄,因是“富农分子”而得不到批准,更为乡亲们避而远之,只有与老朋友普日宁家还有来往。安东尼娜记得:“气氛非常可怕,妈妈经常哭泣,我们不再去外面玩,邻居不再来串门。一夜之间,我们都长大了。”叶夫多基娅和孩子获准留在自己家里,保留一头奶牛和一小块土地,再加上亲戚的暗中帮助,得以维持数月。但库兹明抢走了奶牛(牛奶是她们的主要食物来源),生活变得难以为继。1931年1月,库兹明宣布“榨干富农戈洛温家”的政策,村苏维埃向叶夫多基娅征收重税(1000公斤粮食)。安东尼娜回忆:“库兹明和他的团伙不会甘休,不断回来索取,贪得无厌。拿走所有粮食之后,就来没收家里的杂物、农具、大车、家具、锅碗瓢盆,留给我们的只有一张铁床、旧床单和几件衣服。”

    然后是驱逐的命令。5月4日是一个春寒料峭的日子,叶夫多基娅和孩子们被赶出自己的家园,流放去西伯利亚。她们仅有一小时的时间来准备长途旅行的行装。普日宁搬走铁床以便保存。这张床是戈洛温家仅剩的财产,是他们家所有孩子出生的地方,也是他们家族在奥布霍沃村扎根几百年的最后遗存。安东尼娜这样回忆她们离家时的情景:

    妈妈仍保持平静,让我们穿上最暖和的衣服。我们一家四口:妈妈、当时15岁的阿列克谢、10岁的托利亚和8岁的我……妈妈给我裹上羊毛围巾,但前来监督我们的库兹明命令解下围巾,说那也是被没收的物品。妈妈苦苦哀求,因为等待我们的是寒冷的天气和漫长的旅途,但他置若罔闻。托利亚给我一顶带耳瓣的男帽,他曾嫌它破旧,早想扔掉。我虽戴上,但感到羞愧:这是男帽,不是围巾[农村女孩传统的头饰]。妈妈在家庭圣像前鞠躬,划十字,带我们走出家门……我记得像灰墙一般的沉默人群,看着我们走向大车,伫立不动,一声不吭……没人拥抱我们,没人说再见。他们害怕伴随在我们旁边的士兵,对富农表示同情是不允许的,所以只好站在那里,默默地注视……妈妈向人群道别,“妇女们,如果我曾冒犯你们,请原谅”。她一边鞠躬,一边划十字。之后,她转过身来,再一次鞠躬、划十字。如此一共做了4次,跟大家道别。最后,我们坐在车中出发。我记得站列两旁的人群的面孔,都是我们的朋友和邻居——与我一起长大的人,但没人走近,没人告别。他们只是静静地站在那里,宛如排成一条线的士兵。他们心存恐惧。 (169)

    作家莫里斯·兴德斯1931年6月回到自己在白俄罗斯的家乡,近四分之一个世纪之前,他移民去了美国。他看到,作为集体化的结果,人们身上透出“从未有过的懒散。房屋、庭院、围栏一片颓圮,亟须修葺”。圣三一村庄马上就要到了:

    但没有一扇窗户或百叶帘有新油漆的痕迹,没有一个屋顶有新敷茅草的迹象。这种疏忽只是意外吗?我简直不敢相信。集体农庄甚至已传至国外的传闻,给大家带来了迟疑和观望,毫无疑问,更打消了改善家居的任何念头。 (170)

    兴德斯几乎可在所有的集体化村庄得到相同的观察结果。农民曾把家庭农庄视作自尊和立身的根本,现在没有自己的土地和牲畜,也就不再有依恋感;一旦变为集体农庄工人,也就不再有方法或动力来作任何的维护和改善。

    农民在集体农庄工作,所得报酬采用口粮的形式(预计他们还会在自留地上种植蔬菜,饲养猪鸡,贴补家用),一年领取现金一至两次(平均下来,够买一双鞋)。集体农庄的大部分产品,通过强制性的“合同”制度,以低价出售给国家。集体农庄的管理者不得不进一步压榨农民,以挤出日常运行的经费。农民抱怨集体化是“第二次农奴制”。他们的祖先沦为农奴,受地主的剥削,现在自己也被绑在土地上,受国家的剥削。

    在经济上,集体农庄是令人沮丧的失败,只有很少量的拖拉机来取代遭农民屠宰的马匹(最初几年,大量土地的耕耘全靠人力拉犁)。集体农庄经营不善,像库兹明那样的管理者,其当选靠的是对党的忠诚,而不是农业技能。没有任何东西能够取代所谓“富农”的主动性和精力,他们是集体化之前工作最勤奋的农民。集体农庄的新工人对工作没有兴趣,只把注意力集中于自己的自留地,或偷占集体农庄的便宜。集体农庄的众多农民,难以忍受自己私人财产的损失。他们认识自家的马和牛,尽量选用它们来耕地或挤奶。 (171)

    奥莉加·扎普里加耶娃1918年出生于克里沃舍伊诺村——地处西伯利亚的托木斯克地区,家里务农,在六个孩子中她排行老四。1931年,克里沃舍伊诺村集体化。集体农庄拿走她家的大宗财产(3头奶牛、3匹马、农具、大车和两个装满干草的谷仓),只留下鸡和山羊。13岁就辍学下地的奥莉加回忆:“我们没有得到集体农庄的任何补偿,必须依靠自留地、鸡、山羊来维持生活。”该集体农庄没有拖拉机,耕地仍要使用马匹。集体农庄办事处旁边设有特殊的马棚,保管所有的马匹。但奥莉加的母亲,像很多村民一样,担心自家的马在那里受委屈,经常将它们牵回家,以确保它们得到梳洗和喂养。为了铲断农民与牲口之间的关联,该区集体农庄主席采用了调动工作的对策。奥莉加的父亲允许留在克里沃舍伊诺村集体农庄,但奥莉加的母亲和孩子们要去不同的集体农庄——8公里之外,靠近索科罗夫卡村,只能租房而居。奥莉加回忆:“我们在那里工作两年,只看到父亲一两次,因为大家只有一天的休息时间,常常与父亲的休息日错开。”1935年,全家终于在托木斯克获得团圆,父亲在建筑工地的马厩工作,母亲得到一份肉类工厂的工作。他们与其他十几个家庭一起住在宿舍,都是背井离乡的前农民。 (172)

    1930年是个丰收年,1931和1932年的收成非常糟糕。然而,国家在1932至1933年的采购量,反而是1929和1930两个丰收年的两倍多。党的采购计划以1930年的好收成为基础,再加上地方官员为求政绩,虚报了1931和1932年的产量。1932年的实际收成,与官方数字相比,至少低了三分之一(实际上,它是自1921年那个荒年以来最差的一年)。无可避免的后果是普遍的饥荒,始于1932年春天,在第二年达到高峰。生活在饥荒地区的高达7000万人(将近苏维埃的一半人口),死亡人数无法计算,因为其中很多人的死亡并未登记在册。但据最可靠的统计估测,从1930到1933年,死于饥饿或疾病的高达850万人,最少也有460万人。受灾最严重的地区是乌克兰和哈萨克斯坦,那里的农民抵制集体化特别顽强,粮食征收量也特别高。这种巧合使某些历史学家生疑,罗伯特·康奎斯特即认为,饥荒是“故意酿造的”,是以共产主义意识形态为动机,“对男人、妇女、儿童的大屠杀”。这并不完全准确,苏维埃政府无疑要为饥荒负责,但其政策并不等同于“饥荒恐怖”,不能视作康奎斯特等所暗示的种族灭绝。 (173) 看到饥荒的规模,政府也大吃一惊,但没有可向饥民提供的储备粮。它仍向受灾最重的地区征粮,只是到了1932年秋季才减少征购数量,这实在是太微不足道、太晚了。饥荒开始肆虐,政府却尽量隐瞒,阻止人们从受灾地区逃至北方城市。 (174)

    然而,还是有数百万人逃离了土地。加入集体农庄的农民当中,每30人中就有10人永久离开,大多变成了赚取工资的产业工人。到1932年初,数百万人朝外流窜,挤在火车站,拼命逃离饥荒地区。 (175) 城市无法应付这一人群的洪流,疾病到处传染,住房、食品、燃料承受愈益增长的压力。为了寻找更好的环境,灾民从一个城镇移至另一个。中央政治局担心,工业重镇将充满叛逆的饥民,遂实施国内护照制度,限制农民迁入城镇。新法律规定,成人必须拥有在警方备案的护照,方能获得在城镇就业所必需的居留证。1932年11月,该制度在7个大城市推出,第二年又扩展至其他城镇。警察以此来控制人口流动,还把潜在的反政府“社会危险分子”(富农、商人、心怀不满的农民),从城镇中清洗出去。结果,数百万无家可归的农民,在各城镇之间流窜,在工厂和建筑工地非法打工,直到国内护照制度最终把他们逮住。 (176)

    随着年轻农民离开家园、奔赴城市,家庭逐渐解体。那些年间,数百万儿童遭到遗弃。许多农民逃离集体农庄,放弃留在家乡的孩子。“富农”宁肯将子女送给他人,也不愿把他们带上漫长的旅途,前往“特殊定居地”或其他流放场所,因为听说那里的条件恶劣,小孩活不长。一名西伯利亚“富农”解释,“让他们流放我好了,但不会带上孩子,不想贻害他们”。在饥荒受害者中,遗弃儿童的人太多了。母亲将孩子留在人家门口,或送去苏维埃办事处,或遗弃在邻近城镇。孤儿们在建筑工地和街上游荡,在垃圾堆里翻寻人家丢弃的食物。他们以乞讨、小偷小摸、卖淫为生,不少人加入在车站、饮酒场所、繁忙大街等聚乞活动的儿童帮派。有些遭到警方的围捕,被送去“接收中心”,再转运至儿童之家和劳教营。根据警方的数字,从1934到1935年,送到接收中心的共有842144名无家可归的儿童。到1934年底,在俄罗斯、乌克兰、白俄罗斯孤儿院注册的就有329663人,还有更多儿童住在警方控制的特殊家庭和劳教营(劳动和教育相结合的营地)。1935年4月又颁布新法律,将刑事责任的最低年龄降至12岁。自那以后,古拉格系统中的儿童人数开始稳步上升。超过10万名12岁至16岁的儿童,在后来的5年中,被各式法院判了刑事罪行。 (177)

    叶夫多基娅·戈洛温和3个小孩离开奥布霍沃村后,先去了最近的佩斯托沃火车站——约56公里的路程,再在那里的拘留营等待。3天后,她们被装上载牛的车厢,前往西伯利亚的克麦罗沃,整个旅途历时6个星期。车厢里坐满各式家庭,男女老少,年龄各异。每节车厢配备一只木桶,权作厕所,一天清空一次。车厢门打开时,外面的警卫分发面包,一人一条。抵达克麦罗沃后,戈洛温一家被带到暂时看管了数百家庭的疏散中心。那是一片旷野,周围是高高的带刺铁丝网,他们只能睡在自己的行李上。一个月之后,他们被转送至专为“富农”设置的“特殊定居地”沙尔铁地区,地处遥远的西伯利亚阿尔泰地区。

    “特殊定居地”是原始且孤立的营地,大多数仅有简陋的营房,是流放者来了之后自己建造的,可容纳数百人,大家睡在木板上。另有不少“特殊定居地”,“富农”们挖穴而居,或住入废弃的教堂、牛棚、谷仓等。居住条件十分恶劣,摩肩接踵,拥挤不堪。沃洛格达附近的普里卢茨基修道院,住有7000名流放者,没有正常的厕所或盥洗设施,也仅有一个厨房。在沃洛格达当地,2000人挤入一座教堂。一名见证人如此描述2.5万名流放者在科特拉斯劳改营的生活:

    容纳250人的营房里,几乎是一片黑暗。分散的小窗,让光线只能照见低层的铺位。居民使用室外的篝火煮食,公共厕所——只是栅栏圈起的一块地方,水——下面有一条小河,尽管仍在结冰。当地居民锁上水井(“你们会感染我们,你们的孩子已奄奄一息”),并按瓶销售。

    “特殊定居地”严格说来不算监禁(大规模驱逐只是行政命令,不是法庭的执法),从1931年春天起,划归负责劳役的国家政治保卫总局管控。“特殊定居地”的流放者每月必须向警方汇报一次。古拉格系统的主管马特维·伯曼说,定居地的条件比劳改营的还要恶劣。男人在伐木营和采矿区从事繁重的体力工作,妇女和儿童的工作稍轻,只有很少食物(一月领取几条面包),如果生病倒下,就只好听天由命了。1931至1932年的冬季,这样死去的有几十万人。 (178)

    沙尔铁定居地有5座沿河的两层木造营房,其居民(约1000个农民)来自苏联各地,其中最大的群体是俄罗斯人、乌克兰人、伏尔加德裔和西伯利亚人。男子赴邻近的伐木营砍树,每个周日回来。叶夫多基娅的儿子阿列克谢·戈洛温,虽然仅15岁,也名列其中。9月1日,她的小儿子托利亚和女儿安东尼娜开始上学——定居地所有的儿童组成一个班级,教室设在营房之中。女孩被迫剪掉辫子(农家姑娘结婚之前的传统发型)——似乎在抛弃她们从小濡染的农民文化。为了庆祝新学年的开始,定居地指挥官作了讲话,要孩子感谢苏维埃政权——“那么好,那么善良,甚至允许我们富农的孩子上学,长大成为苏维埃的好公民”。早期的古拉格系统,即使像沙尔铁那样的偏远、孤立的定居地,其意识形态的重点仍放在促使不符合“苏维埃人格”的人,通过改造而“重新做人”(perekovka)。

    抵达沙尔铁定居地的第一个冬天异常寒冷,鹅毛大雪压坍了两个营房,迫使许多男孩,包括其时10岁的托利亚,挖地穴而栖。由于没有强壮的男子——他们都在伐木营过冬——只好动员学生清晨起来清理积雪。整个定居地困在深雪中长达数星期,没有粮食补给,全靠从家乡带来的干粮度日。数百人患上斑疹伤寒而倒下,被隔离在单独的营房,因为没有药品,死活全凭天命。叶夫多基娅也患上斑疹伤寒,安东尼娜在回忆录中写道:

    我们每天去看妈妈,站在窗前,可以看到她躺在木板上。她的头发被剃光了,眼睛睁得很大,目光游移。她已失去记忆,根本不认识我们。托利亚一边敲窗,一边流泪,哭着叫:“妈妈,妈妈,不要生病,快起来吧。”

    叶夫多基娅活了下来,但有很多斑疹伤寒患者死去。指挥官决定,因为没时间埋葬所有的死者,只能让尸体冻成一垛,等到春天解冻时,再扔进大河。

    第二年冬天甚至比前一年还要恶劣。流放者得不到食物,这似乎是蓄意为之的政策,要把定居地居民削减四分之三。流放者只好捣碎树皮和马铃薯的烂根,再做成菜饼,结果肠胃急剧膨胀,因此而死去许多人。到了春天,每一个人都患上痢疾。戈洛温一家全靠运气才活了下来。指挥官视察营房时,发现叶夫多基娅正在读福音书。他需要识字人,专管前往岑特拉尔尼―鲁德尼克送信和收信——那是古拉格的采矿定居地,单程就有12公里。她被选上了,每次去送信,就会带上孩子在邻近树林收集的浆果,到岑特拉尔尼―鲁德尼克的市场出售,再买回食物和衣服。安东尼娜回忆:“指挥官当然知道,但装作没看见,因为没有其他人选。”有一次,在邮件中收到一包土豆种子,叶夫多基娅带领一组人去播种。安东尼娜回忆当时的喜悦:

    真像是一个节日!我们很高兴参与种植土豆!不管是成人,还是孩子——我们都很努力。我们是真正的农民,我们的祖先耕耘土地都有几百年了,现在获准重操旧业。妈妈是大队负责人,西伯利亚人斯内吉列夫是我们农庄的主席。我们因为是富农,不能自组集体农庄。妈妈担心,不施肥,土豆恐怕长不好——在种植土豆方面,我们也没有任何经验。到秋天,我们却挖出一个大丰收。那个冬天,再也没人饿死,土豆是我们的救命菩萨。 (179)

    德米特里·斯特雷勒兹基和家人,要在雪地里跋涉几天才抵达第一个流放地。那是一个被人遗弃的大地窖,位于库尔干。几百户“富农”家庭,其中有不少是他的远亲,领不到任何食物或饮用水,只得自生自灭。如果没有库尔干的亲属和别人的食物援助,他们肯定会饿死。整整一周,他们被关在地窖里,睡在自己的行李或光溜溜的地面上。后来他们被装入载牛的车厢,前往彼尔姆北部的乌索勒镇。到了那里,他们在武装卫兵的监护下,行军150公里,到达波日瓦工厂城镇。他们被安置在一个工场里,大家睡在水泥地上。德米特里回忆:“父亲很痛苦,一夜之间老了很多,说他的一生完蛋了……每个人都有同样的感受,即使别无选择,听从吆喝,仍想维持自己的尊严,不愿成为当局的奴隶。”为了在乔尔莫兹镇附近建立“特殊定居地”,德米特里的父亲被派去伐木,其家人与另外3户人家挤住在木工车间楼上的小房间。半年后,他们搬入“特殊定居地”,才与德米特里的父亲重聚。那里有10座营房,每一座可容纳500人睡在木板床上,四周耸立着高高的带刺铁丝网。定居地坐落在松林的中间,男子出外伐木,每周只能回来一次。每日的面包定量仅200克,所以死亡率非常高。但斯特雷勒兹基一家,凭借农民的勤俭得以存活下来:孩子们采集蘑菇,到乔尔莫兹镇出售;母亲晚上悄悄去集体农庄的地里偷土豆;父亲与附近屠宰场的工人达成交易,帮他们建造木屋以换取牛血(不比肉和骨头,当局比较不在乎)。到1933年的大饥荒,每天口粮减至50克面包,“特殊定居地”的居民一半死于饥饿和疾病,但斯特雷勒兹基一家全靠牛血活了下来。 (180)

    斯特雷勒兹基一家很幸运,他们始终能聚在一起。对许多人来说,流放就是家破人亡的代名词。克拉夫蒂娅·罗别尔尤娃的父亲被捕于1930年,她的7位兄弟姐妹被送去各式各样的儿童之家,从此失去联系,音信杳无。克拉夫蒂娅和妹妹纳塔利娅,搬去西伯利亚的克拉斯诺亚尔斯克附近的坎斯克,投靠已成年的姐姐赖莎。克拉夫蒂娅去医生家当保姆,后来因为国内护照制度的推行,作为“富农”的女儿,她不得不逃。她留下纳塔利娅由赖莎照顾,自己赶去伊尔库茨附近的切勒姆霍沃镇,投奔时任高级森林督察的叔叔,并在当地的苏维埃注册于叔叔的名下。1933年11月,叔叔收到克拉夫蒂娅的父亲伊利亚的来信。原来他已经出狱,现住在2000公里之外的塔什特普“特殊定居地”,离中国边境不远。克拉夫蒂娅先乘火车,再搭便车,赶到塔什特普时已是1934年1月,到处是厚厚的积雪。她在那里很长一段时间找不到工作,她的注册文件上没有父亲的名字,没人愿意聘她。但她又不敢透露真相,重回“富农”女儿的身份。最终,塔什特普的苏维埃主席雇她做保姆,并安排她去一家服装厂打散工。有一天,在与主席的嫂子闲聊时,她拿出了两张照片,一张是她的两个兄弟列昂尼德和亚历山大,另一张是她自己与两个姐妹。

    她[主席的嫂子]立刻说:“伦卡[列昂尼德],我认识他!”我非常惊奇,她竟然认识我的哥哥。我尽量控制自己的情绪,忙问:“他在哪里?他在哪里?”……当时,我很怕自己说漏嘴,很怕让人发觉自己父亲原来是一名流放者。

    克拉夫蒂娅在塔什特普找到哥哥,通过他才发现,父亲就在附属于基洛夫矿区的“特殊定居地”,位于哈卡斯自治州。克拉夫蒂娅回忆道,父亲再婚,与第二任妻子开始了新生活:

    我去探望,抵达时已是傍晚,他们正好从矿区下班回来,还牵回一头奶牛,看到我,既不害怕,也不惊讶。父亲和我打招呼,仿佛前一天刚刚见过我。我与他们一起坐在营房外几分钟,然后我就离开了。

    这是克拉夫蒂娅最后一次看到父亲,他后来再次被捕,枪决于1938年8月。

    许多“富农”家庭逃离“特殊定居地”,冒险在外漂泊。根据国家政治保卫总局的资料,到1930年夏天,从“特殊定居地”逃走已成普遍现象,数以万计的“富农”在外漂泊,逃跑人数在饥荒期间达到高峰。国家政治保卫总局统计,从1932至1933年,逃离“特殊定居地”的竟有422866名“富农”,之后抓获的只有92189人。 (182)

    奥热姆伯罗斯基一家是波兰裔的小贵族,1917年之后,失去了在白俄罗斯的土地,但仍住在自己的村庄奥勒什科韦齐——地处明斯克的普霍韦齐地区。他们继续务农,只是家境降至当地小农的水平。亚历山大和妻子谢拉菲玛有4个孩子,两男两女,最大的生于1917年,最小的生于1928年——那一年,奥勒什科韦齐集体农庄成立。亚历山大向集体农庄交出所有的牲畜和农具,只留一头奶牛自家享用,但他拒绝加入集体农庄,希望像当地其他波兰人一样,移民去美国或法国。然而,谢拉菲玛争辩道:“谁会碰我们呢?我们做了什么错事?我们已交出所有的财产!”亚历山大在1930年春天被捕。几天以后,政治警察又找上门对谢拉菲玛说:“准备行李,你和孩子都将被流放。”谢拉菲玛用毯子裹起几件衣服,设法藏入几件金首饰,再与孩子们挤上大车,赶去另外数百个“富农”家人集聚的教堂。几天之后,她们的男人被带回来相聚,再一起坐上大货车,赶去3000公里之外北方的科米地区定居地。索菲亚回忆,到了那里,他们被告知在空谷仓里安家,“但什么都没有——没有床板,没有刀子、勺子。我们只好在树林里收集树枝,自制床垫”。

    流放者渐渐在定居地为每一个流放家庭造起木屋,就像家乡的村庄一样。奥热姆伯罗斯基家以随身带来的金首饰买回一头牛,重新开始新的家庭生活。但不久,大饥荒来临,生活变得难以为继。他们想出一个逃生计划,因为小儿子在生病,所以决定女人先逃,让亚历山大照顾小男孩,承担再度被捕的风险。谢拉菲玛带上9岁的索菲亚和5岁的艾莱娜,晚上赶路,白天躲在森林中睡觉,主要以浆果为食。谢拉菲玛镶有几颗金牙,有时会拔出来一颗以备急需,用它搭乘农民的大车或贿赂官员。最终,她和女孩们回到白俄罗斯,藏在普霍韦齐地区的娘家,长达一个星期。但她的父母怕得不得了,建议女儿向警方自首。谢拉菲玛只好去见普霍韦齐地区的警察,听了她的逃生经历,他们反而生出同情之心,让她在24小时内再次逃走。谢拉菲玛把艾莱娜留给父母,自己去附近的奥西波韦齐镇,向一对老夫妇租房,让索菲亚入学,自己再赶回科米地区,试图找到丈夫和儿子。索菲亚回忆道:“妈妈走了,没留下一句话——没有说再见,也没提供我何以为生的建议。”

    整整一年,索菲亚与老夫妇同住,没想到这对老人竟是恶人。“他们咒骂我,称我为人民公敌的女儿,并威胁如果不听吩咐,就要把我赶走。我整天哭泣,没有钱,无处可去。”索菲亚实在忍受不了,逃去外婆家,发现他们自己也已被赶出家门,暂住一间旧澡房里。不过,他们还是将她收下,与艾莱娜做伴。

    与此同时,谢拉菲玛抵达科米的定居地,发现亚历山大已经不在。原来,自己逃走的第二天,他又一次被捕,判刑3年,去附近的科特拉斯劳改营服刑。长子安东被警察招募为举报人(他接受训练,窃听定居者的交谈,每一次汇报可换取面包);幼子萨沙仍然非常虚弱,由学校老师照看。回来后没几天,谢拉菲玛就被捕了,也被送去科特拉斯劳改营,但她再次逃脱,在出工回来的路上从流放者队列中逃走,潜入树林的深处。她长途跋涉3000公里,重又回到普霍韦齐地区,与两个女儿团聚。她们住在亲属为她们购买的小房子里,位于奥西波韦齐镇,生活全靠自己在小菜园的种植,还喂养了一只山羊和几头猪。1937年,萨沙和安东(继续为白俄罗斯警方工作)回来团聚。真正的阖家大团圆在两年之后到来,亚历山大获释于科特拉斯劳改营,返回家园。索菲亚回忆那一刻:

    妈妈跑出去迎接,投入他的怀抱。爸爸说:“妈妈,孩子们在哪里?”妈妈回答:“别担心——孩子们都好,全部四个。”爸爸瘫倒在地,跪着吻她的手和脚,感谢她救了我们大家。

    奥科洛科夫一家的故事更为离奇。1931年5月,阿列克谢·奥科洛科夫作为“富农”,被逐出库兹涅茨克地区的伊琳卡村庄。那是在西伯利亚的西南部,而流放地则是在西伯利亚的北部。他从车队中逃脱,走了一个月,回到900公里之外自己的村庄,才发现妻子叶夫多基娅、7岁的女儿玛丽亚、9岁的女儿塔玛拉以及自己的父母,都被放逐到800公里之外的“特殊定居地”,离纳雷姆地区很近。阿列克谢怀揣伪造的文件,日夜兼程赶到那里。几天之后,他又组织一大队“富农”出逃,包括自己一家,有老有少。他们只在晚上赶路——母亲背着玛丽亚,父亲背着塔玛拉——17:38 2015-11-4以避开在针叶林搜查“富农”逃犯的巡逻队。他们走了10个晚上,有时竟在兜圈子,因为当地的地形实在太复杂,直到水尽粮绝,老人们因体力耗尽而纷纷倒下。到第11个晚上,巡逻队将他们重重包围,还开枪打伤了阿列克谢的肚子。士兵用大车把他们带去附近的村庄,关在一个澡堂。逃犯都要被送回纳雷姆地区,只让老人留下,包括阿列克谢的父母。之后,他们便再也没有重逢之日。

    奥科洛科夫一家再次设法逃脱。前往纳雷姆地区的车队行将出发,叶夫多基娅贿赂一名村民给巡逻队灌酒,她和阿列克谢、两个女儿顺利溜走。他们逃向托木斯克,白天躲起来(可以看到道路远处的警卫和狗),晚上急行军(主要的危险是熊和狼),好几个晚上没有面包或其他食物,正好遇上一个克尔扎基部落。由于天花肆虐,该部落?所有孩子都已死光,部落头人建议,以面包、蜂蜜、小船来交换已能在部落工作的塔玛拉。他威胁说,如果不同意,就要报警。阿列克谢勉强答应,而叶夫多基娅变得歇斯底里,但说服不了丈夫。玛丽亚回忆:“我们在克尔扎基部落整整待了一个星期,以养精蓄锐。”

    妈妈仍然哭泣不止,姐姐开始意识到情况不妙。我们离开那天,爸爸把姐姐带入一个单独的房间,把她锁在里面;然后再将悲痛欲绝的妈妈、我和食物放入船中,我们划船离开。

    走了几公里之后,阿列克谢把船停下,让妻女躲在灌木丛,自己潜回克尔扎基部落搭救塔玛拉。他在4天后返回,身上背着塔玛拉。

    但他们的麻烦远远没有结束,在向北的旅途中他们又碰上了巡逻队,被带到另一所劳改营,营房周围有高高的铁丝网,此处距离托木斯克仅8公里。他们在那里度过了6个月,阿列克谢驾马车向托木斯克城运送蔬菜,叶夫多基娅和孩子像其他囚犯一样,在集体农庄工作。在托木斯克,阿列克谢渐渐认识一名镇官员,对阿列克谢的厄运颇表怜悯,出于良心,他愿意助一臂之力。有一天,阿列克谢将女儿藏在马铃薯麻袋下,驾车去托木斯克,躲在镇官员的家中。不久,叶夫多基娅跳上经过她农地的火车,也赶到镇官员的家。他们穿上那位官员帮助买好的新衣服,坐火车返回库兹涅茨克(此时已改名为斯大林斯克)。阿列克谢在煤矿上班,叶夫多基娅在食堂工作,全家开始了新的生活。“父亲立即着手建造自己的木房子,带一扇窗和一个炉灶。我们住在自己的小小角落,既不伤害他人,也不依靠他人。”

    几个月后,国内护照制度推行到斯大林斯克,阿列克谢决定返回家乡伊琳卡,希望能够获得注册,但刚一到就遭逮捕,被关在劳改营。在斯大林斯克等候音信的叶夫多基娅,终于收到阿列克谢的来信,她担心来信可能已经泄漏自己的下落,便与女儿马上逃至国内护照制度尚未实行的邻镇塔什塔戈尔。不久,阿列克谢设法逃出劳改营,与她们重聚。他建起一个窝棚以避风雨,叶夫多基娅四处打散工。当她意识到自己已怀孕时,只得自行流产——用拳头猛击腹部,再将胎儿拖出。她险些丧命,在床上足足躺了几个月。镇上的医生都不敢施以援手,因为政府早已宣布堕胎是非法的,叶夫多基娅全靠吃草药来治愈自己。

    1934年,国内护照制度抵达塔什塔戈尔镇。阿列克谢再次被捕,被送去斯大林斯克金属制品工厂,充当刑事劳役犯。叶夫多基娅和女孩们也被捕,纯粹是巧合,竟被送去同一家工厂。他们一家住在沿河岸挖出的地穴——共有几百户人家,紧靠工厂的围墙。“屋顶”是与泥浆搅拌在一起的树枝和松针,“墙壁”在下雨天会渗水。阿列克谢自制了基本的家具,还用木头雕出杯子和勺子。他们再次拼凑出家庭生活。他们奇迹般活下来,仍维持一个家,但过去3年的创伤,留下了不可磨灭的烙印,尤其是在女孩们身上。玛丽亚和塔玛拉噩梦连连,充满恐惧,变得内向。玛丽亚追忆道:“经过3年的逃亡生活,我和姐姐已习惯于沉默不言,不会说话,只会耳语。”

    五年计划的许诺是建成一个现代化工业社会。斯大林在1929年说:“我们万马奔腾,迈向工业化和社会主义,扔掉我们俄罗斯古老的落后帽子。我们正在变成一个金属、发动机、拖拉机的国家,要让苏维埃人开上汽车,让农民坐上拖拉机,再让吹嘘自己文明的西方资本家试图赶上我们。” (185)

    其象征就是第一个五年计划的大型建设项目:像马格尼托哥尔斯克那样的工业城,那是在乌拉尔荒坡上平地建起的大型钢铁厂;像莫斯科―伏尔加运河、白海运河那样的运河和铁路,帮助开发新疆域,向蓬勃发展的城市提供基本的生活用品;像第内伯罗斯特罗伊那样的巨型水坝,当时是世界上最大的水电站,1932年它的涡轮机开始启动。对斯大林政权来说,这些“成功”具有重大的宣传价值,因为在当时,对强制集体化和五年计划过高的工业目标,仍有相当顽强的反对意见——不管是党内,还是党外。这些“成功”使得政府更容易激发“社会主义进步”和苏维埃乌托邦将临的信念,这些信念又变成意识形态上的理直气壮,要求人民为完成五年计划而作出一切牺牲。阿纳托利·梅苏诺夫是农民的儿子,后来成为政治警察,在白海运河担任狱警。他在20世纪80年代的回忆录中,解释了这种宣传对数百万“普通斯大林主义者”的影响,包括他本人:

    我对五年计划存有疑惑。我不明白,为何要迫使这么多罪犯,千生万死地去赶建运河,为何赶得这么急?有时,我感到困扰,但有理由相信,我们正在建设伟大的事业,不只是一条运河,而是一个全新的社会,光用自愿的方式是不够的。谁愿主动请缨来参加运河工作?我现在懂得,如此建设社会主义未免太严苛了,几近残酷,但我仍然认为这在当时是有道理的。 (186)

    斯大林的工业革命不同于西方社会的工业化。正如梅苏诺夫的看法,斯大林在五年计划中要求的增长率,如果不用强迫劳役,根本就无法达到,尤其是在寒冷偏远的远北(Far North)和西伯利亚——那里藏有苏联大部分的矿产和燃料。奴役劳工的供应,开始于1929年对“富农”的大规模逮捕和流放,后来成为古拉格系统的经济上需求的理由。该系统开始只是关押政权敌人的监狱,很快变成了经济殖民化的工具——作为廉价且迅速的捷径,以开垦荒野和发展苏联偏远地区的工业资源,那是没人想去的地方——这条理由是古拉格官员之间公开承认的。 (187) 历史学家对古拉格的起源持有不同的见解——有人把它当做斯大林巩固政治权力的副产品,有人强调它只是一个手段,为了孤立和惩治幻想中的“阶级”(比如“资产阶级”、“富农”)和所谓的危险族群。 (188) 这些因素各自发挥作用,但经济动机才是关键,随着政府追求监狱的自力更生而变得愈益重要。

    20世纪20年代,劳改营基本上就是监狱,囚犯参加工作来养活自己。其中最重要的是索洛韦茨基特殊劳改营,1923年由国家政治保卫总局建于同名的白海岛屿上,其前身是修道院,在利用劳役方面成了古拉格的原型。该修道院在沙皇时代监禁持不同政见者,在布尔什维克的手中,又变成了关押所有敌人的普通监狱——包括被取缔的反对党成员、知识分子、前白军,甚至还有“投机倒把者”和普通刑事犯。其中一个囚犯是来自巴勒斯坦的犹太商人纳夫塔利·法兰克尔,因为涉及走私而在1923年被捕。他有感于监狱的效率低下,写了一封有关如何运行劳改营的建议信,投入“意见箱”。不知何故,该信竟然到了快速晋升的国家政治保卫总局主管格里科·雅戈达的手上。法兰克尔很快被带到莫斯科,向热衷于利用囚犯完成经济任务的斯大林,解释如何利用监狱劳力的计划。法兰克尔在1927年获释,并被委以重任:将索洛韦茨基特殊劳改营转化成一个盈利企业。该监狱的人数迅速增长,从1927年的1万人上升到1931年的7.1万人。它赢得合同,在芬兰边界的卡累利阿地区砍伐木材,修建道路,接管工厂。新来的囚犯大多是“富农”,尼古拉·戈洛温就在1930年12月进入索洛韦茨基劳改营。囚犯们根据自己的体能组织起来,口粮分配依照他们的产量,强者生存,弱者瘐亡。 (189)

    1928年,大规模逮捕的对象包括“富农”、教士、商人、“资产阶级专家”、工程师、“颠覆分子”、“破坏者”,以及斯大林强行工业化的其他“敌人”。人数之多,使苏维埃监狱制度陷入瘫痪。中央政治局为此成立专门委员会,研究如何利用日益增长的监狱人口。为首的是司法人民委员N. M. 扬松,成员包括内政人民委员V. N. 托尔马乔夫和国家政治保卫总局主管雅戈达。到底由谁来控制监狱人力,这三人争执不下。雅戈达建议通过新设的劳改营网络,在远北和西伯利亚开发荒野和工业资源,显然获得了斯大林的青睐。那些偏远地区有几乎取之不尽的木材,像帕维尔·维滕贝格那样的地质学家,还在绘制金、锡、镍、煤、天然气、石油的丰富矿产分布图表,借助犯人的劳动,就可发起廉价的开采。1929年4月,该委员会建议实施“实验营地”的新制度,每个营地容纳5万犯人,由国家政治保卫总局监控。委员会强调,集中管理大量的犯人,劳役的成本就可从每人每年的250卢布降至100卢布。两个月后,中央政治局通过决议(关于使用监狱劳力),要求国家政治保卫总局建立一个“劳改营”网络,“以囚犯的劳力来开垦荒野[偏远地区]、开采天然资源”。从那以后,国家政治保卫总局便成为苏维埃工业化的主要推手之一。它控制一个迅速扩展的劳改营帝国,其人数从1928年的2万人,增长到1934年的100万。其时,国家政治保卫总局与内务人民委员会合并,新机构接管政治警察,再通过古拉格系统管辖全部的劳改营。 (190)

    在早期的苦役劳改营中,最大的是贝尔巴伊特拉戈,到1932年已有10万多囚犯,他们被用于挖掘白海运河长达227公里的航道,以连接白海和波罗的海。首次提出这条运河的想法是在18世纪,结果发现,其要求远远超出了当时政府的技术能力。此时重提,变成了宣传五年计划的重要部分,以显示苏维埃制度的优越性。这是一个极其雄心勃勃的计划,因为规划者不打算使用机器,甚至都没有开展妥善的地形勘察。该项目的批评者(他设想雇用的是自由劳工)认为,巨大的建设成本实在划不来,因为白海航运并不频繁。但斯大林坚持认为只要国家政治保卫总局可以提供足够的苦役劳工,运河不但可以便宜建成,而且能实现创纪录的速度——象征党的意志和力量。法兰克尔再次被委以重任,担任建筑工程的主管,将他的“索洛韦茨基特殊劳改营”方法,转用于运河工程。修建运河的许多囚犯,也来自索洛韦茨基劳改营。为了节省时间和金钱,运河深度很快从22英尺降至12英尺,使之仅适用于浅水驳船和客船(1932至1933年工程扫尾时,南部几段是匆匆完工的,仅有6英尺深)。囚犯们只有原始的手动工具——粗制滥造的斧头、锯子、锤子,没有炸药和机器,一切都靠人力——挖土、拖曳巨石、用手推车运土、建造木质的起重机和脚手架,还要沿河建起囚犯的自住营地。他们在严寒中工作得筋疲力尽,仅在1931至1932年的第一个冬季,就有将近2.5万人死去。虽然没有确切数字,但根据幸存者的传言,实际的死亡人数更高。德米特里·维特科夫斯基曾是索洛韦茨基劳改营的囚犯,在白海运河的工地上担任领班,他回忆起当时的情景:

    工作日结束时,工地上留下冻尸。他们的面孔上洒满雪花,其中一人弓着腰背,卧在独轮车下,他的手还拢在袖子里,就以这样的姿势冻死;有人冻死时,头低垂,夹在自己的膝盖之间;还有两人背靠背,互相支撑着,一起冻死。可以想象,他们都是农村小伙子和最好的工人,一来就是近万人。当局试图打散家庭,故意安排儿子和父亲分住不同的营地;一开始就给他们定下挖掘鹅卵石和大石块的高定额的石方任务,即使在夏季你也无法完成。没人能够教他们,或警告他们。他们以乡下人的敦厚实在,全力以赴,很快就筋疲力尽,然后相互抱着冻死。到了晚上,雪橇出去收集他们的尸体。驾雪橇的人把尸体扔上雪橇,发出沉闷的声响。没有及时清除的尸体,到了夏天只剩下骨头,与鹅卵石一起进入混凝土的搅拌机。他们以这种方式,钻进了混凝土,浇铸了白海城最后一座升降台,由此而获得不朽。

    除了对人命的摧残,白海运河还给许多家庭带来巨大的痛苦。

    伊格纳蒂·马克西莫夫和玛丽亚从小青梅竹马,住在诺夫哥罗德省瓦尔达伊地区的杜伯洛沃村。1924年玛丽亚16岁的时候,他们结了婚,一起在伊格纳蒂的家庭农庄工作,直到1927年他们搬至列宁格勒,伊格纳蒂找到一份木匠工作。1929年10月,即女儿娜杰日达出生后5个月,伊格纳蒂被捕(他曾参与1919年反布尔什维克的农民起义),先被送去索洛韦茨基劳改营,后转至白海运河的北部工地。同时,玛丽亚也被赶出列宁格勒,只好带娜杰日达回到杜伯洛沃村,方才发现自己父母的房子已经遭毁,家人都已被流放,村里竟没留下一位亲人。一个老邻居劝告玛丽亚快快逃离,以免自己陷入囹圄。她背起婴儿,越境来到比邻的特维尔省(希望诺夫哥罗德的警察鞭长莫及),遇上第一个村庄第一栋房子就急急敲门,开门的是一对老夫妇。玛丽亚跪倒在地,恳求他们照看女儿,让她逃生,因为没人愿意雇用带婴儿的女子。这对老夫妇心地善良,抚养娜杰日达整整两年。玛丽亚在列宁格勒到摩尔曼斯克的铁路上找到一份厨师工作。这条铁路沿白海运河的北部运行,恰恰就是伊格纳蒂服苦役的地方,但在当时,玛丽亚对此一无所知。到1932年,她才从熟人处获悉,丈夫就在白海城地区的劳改营,即运河与白海的交汇之处。玛丽亚想找到他,便在小纸片上写下寻人启事,每当火车驶过白海城工厂建筑场地时,就从餐车车窗向外投掷。最终,奇迹真的发生了。她收到了伊格纳蒂的来信,他实际上是在凯姆镇附近的劳改营,还要朝摩尔曼斯克的方向继续北上55公里。伊格纳蒂在1932年底获释,流放到阿尔汉格尔斯克,终于在那里与妻女重聚。 (192)

    古拉格不仅向白海运河那样的建设项目提供劳工,本身也是工业化的一部分。古拉格系统第一座工业园区是维舍拉纸浆造纸综合工厂,由众多劳改营组成,位于乌拉尔的维舍拉河畔。该综合工厂始于1926年,当初只是索洛韦茨基特殊劳改营所管辖的伐木营大网络。到1929年夏天,拉脱维亚的布尔什维克爱德华·别尔津负责建造工厂,才在这伐木营大网络中发展了工业。维舍拉河的水质纯度很高,中央政治局因此选择该地生产20世纪30年代初出现的高品质纸张。像《苏维埃大百科全书》(Large Soviet Encyclopedia)那样的著名出版物,都使用维舍拉造纸厂的纸张。到1930年,维舍拉劳改营共有2万囚犯(包括作家瓦尔拉姆·沙拉莫夫),其中1.2万人受雇于伐木营,2000人受雇于小工厂(制造砖块和纤维),其余的参与建造纸浆造纸厂和两处营房定居地,分别处于克拉斯诺维舍尔斯克城和“光之城”(Gorod Sveta),后来都发展成了平民城镇。 (193) 别尔津设想,这些古拉格定居地是“工业发展的实验形式”,其文化机构将提供再教育,使囚犯变成“苏维埃工人”。“光之城”还吹嘘拥有电影和无线电的俱乐部、图书馆、食堂、卫生中心、喷泉花园、野生动物区、露天剧场、辩论场所和柱廊大厅内的“营地总俱乐部”。沙拉莫夫看到这座柱廊大厅,就会联想起帕特农神庙,“只是更为可怕”。 (194)

    在早期的古拉格系统中,维舍拉是非常典型的。以苦役来“重塑”苏维埃新人的想法,并不仅只是宣传,更是许多布尔什维克的信念。即使如此,以造纸出名的维舍拉劳改营,基本上还是一个经济企业。别尔津的经营原则仍基于投资的预期回报,包括以精神和物质上的鼓励来刺激囚犯完成生产计划。1931年11月,别尔津成为远北建设托拉斯(Dalstroi)的首任主管。那是一个劳改营大网络(包括臭名昭著的科雷马劳改营),地处西伯利亚的东北角——占地面积相当于大西洋和北冰洋之间的西欧——世界上最大的黄金储备就躺在它的冻土之下。别尔津以管理维舍拉的经济原则,来经营远北建设托拉斯的众多劳改营:驱使囚犯挖出尽可能多的黄金(到20世纪30年代中期,他手下生产出的黄金已超过苏维埃1928年的黄金生产总量)。 (195) 在别尔津的治理时期(1931—1937),远北建设托拉斯的劳改营的条件远远优于后续时期,许多囚犯甚至会怀念别尔津当政时的情形。沙拉莫夫在他的《科雷马故事》(Kolyma Tales)中写道:

    别尔津尝试——不能说没有成功——解决这个难题:既要开发这一偏远苦寒之地,又要设法改造这些囚犯的灵魂。判处10年徒刑的人,如果积累足够的工作成绩,便可在两至三年之内获释。在别尔津的治理下,食物充足良好,冬天工作4到6小时,夏日工作10小时。虽是囚犯,仍能领取相当优渥的薪金,得以资助家人,一旦刑满释放返回内地,绝无囊中羞涩的窘态……当时的坟场很少,那些科雷马的早期居民,在后来人的眼中,似乎是长生不老的。

    维舍拉本身在1934年被废除,因为克拉斯诺维舍尔斯克的纸浆造纸厂已是工业中心,成为乌拉尔北部的经济重镇,吸引了大量农民进入工厂。

    工业的兴起需要工程师和其他技术专家。伊万·乌戈列茨基赫1920年出生于费奥多尔措沃村的农民家庭——位于乌拉尔的切尔登镇。他父亲因是“富农”,不准加入集体农庄,只好逃到切尔登镇,在河上的驳船工作,专门向克拉斯诺维舍尔斯克纸浆造纸厂运送木材。父亲的哥哥和叔叔也在那里的劳改营服刑。伊万从小就有强烈的上进心,父亲总是叫他学会一门专长。伊万回忆:“我们的居住地很落后,没有任何工业。我的梦想是去彼尔姆,但太远,买不起票……最主要的是学会一门手艺,要不然就真没有前途了。”他14岁之后仍能学习的唯一地方,就是附属于纸浆造纸厂的工厂技校。伊万回忆,那里所有的老师都是维舍拉的前囚犯:

    他们是工程师和其他方面的专家,来自劳改营,教我们学造纸和电工。我学的是电工,后来又在造纸厂工作。我能在任何城市、任何工厂找到工作,因为在那个年代,像我这样的技术工人极受欢迎。我甚至去了彼尔姆,在内河航船的码头工作……我为取得的成就而自豪,父母也为我感到骄傲。 (197)

    数百万的农民子弟来到城镇,为自己努力谋求全新的身份。从1928到1932年,城市人口以每周增加5万人的速度突飞猛进。城市人口增长过快,对消费品的需求与日俱增,国家穷于应付。但在五年计划中,这并不属于苏维埃的优先考虑。所以,1928年之后食品、燃料、各式生活用品均实施配给制。由于私营贸易受到压制,大街上一片灰暗,餐馆和咖啡馆逐一消失,商店橱窗空空如也,人们衣着寒酸。亚历山大·巴尔米讷时任苏维埃外交官,在国外待了4年后,于1930年返回莫斯科,他震惊于首都的经济困境:

    1922至1928年,莫斯科经历了经济好转,如今却显现令人震惊的变化。每一张脸、每一家门面,都充满着无可置疑的痛苦、疲惫、冷漠。几乎找不到还在营业的商店,罕见的陈列橱窗里弥漫着萧条的气氛,除了纸箱和食品罐头,橱窗内什么也没有。店员在张贴“无货”的标签,所带的神情与其说是轻率,毋宁说是绝望。每个人的衣服都是破破烂烂的,其质量真是难以形容,我身上的巴黎西装让我不知所措、无地自容。什么都短缺,尤其是肥皂、靴子、蔬菜、肉类、黄油、脂肪类食品。

    住房情况更是糟糕透顶。1928年,苏维埃城市居民平均只有5.8平方米的生活空间,但多数最贫穷的工人,其居住面积仅有1至2平方米。有一位美国人如此描述莫斯科工人的生活条件:

    库兹涅佐夫与约550名男女,一起住在800英尺长、15英尺宽的木屋中。它容纳500张窄床,填塞床垫的是稻草或干叶,没有枕头或毯子……有些人没有床,只能睡在地板或木箱上。有时,一张床供多人轮班使用,没有提供隐私的帷幕或墙壁……也没有壁橱或衣柜,因为每个人拥有的衣服早已穿在身上。

    很多出身农民的工人,本来就对私人空间抱有极小的期望。在自己村庄时,一家人传统上使用同一口大碗,在炉子旁的长炕上一起挤睡。尽管如此,搬进城镇后必须与其他家庭共享生存空间,对很多人来说,仍然是一大冲击。

    娜杰日达·普霍娃1912年出生于普斯科夫省的农民大家庭,1929年逃离集体农庄,来到列宁格勒工业郊区的科尔皮诺,在伊若拉机器制造厂找到工作。她在工厂附近租了一栋木屋的底层房间的一角,那个房间既大,又不挡风,全靠普里默斯式煤油炉取暖,但配有厨房、厕所和直通院子的入口。娜杰日达就是在此遇上了未来的丈夫亚历山大。他来自雅罗斯拉夫尔省的雷宾斯克地区,也是农民,排行老大,新近才来到科尔皮诺,充当汽车修理工的学徒。房东是他的远房亲戚,让他租用楼上房间的一角。结婚后,亚历山大搬至楼下与娜杰日达同住,给床铺围上帘子,以求点滴的隐私。共有16人住在这一个大房间,其中有一名妓女,晚上常常带回客人;还有一名消防员,清晨4点就要去上班。娜杰日达回忆:“我们都睡不好。消防员睡在隔壁的床位,会在深夜起床,点燃火柴,察看时间。奥莉加[妓女]总是把男人带进带出,还威胁说,如果有人报警,她就会杀了我们,大家都变得神经兮兮的。”冬季,亚历山大在雅罗斯拉夫尔城的亲戚会来借宿,或是找工作,或是出售自制的毡靴,以补充他们集体农庄的收入。“他们都会来——姨妈、叔叔、姐妹、携带妻子的兄弟。”娜杰日达回忆:

    我十分震惊于他们的生活方式——如此的肮脏、原始,一点也不像我在普斯科夫城的生活,我父母的房子总是十分干净。亚历山大的亲戚睡在地板上——为了保暖,女人盖毯子,男人只盖自己的长袍,令我们的房间闻起来像马厩。

    戈洛温一家也走上迁徙到城镇的路。1933年2月,尼古拉终于从索洛韦茨基劳改营获释,但受到警告,不得前往沙尔铁定居地与妻子儿女团聚,否则就会再一次被捕。他只得搬去沃洛格达附近的小镇佩斯托沃,设法在建筑工地找到一份木匠工作。像20世纪30年代早期的其他省城一样,佩斯托沃充斥着逃亡的“富农”,其中有叶夫多基娅的弟弟伊万·索伯列夫——他曾是神父,但布尔什维克关闭了他的教堂。他改名换姓后,开始在伐木业中充任会计。尼古拉升为工地上的工作队长后,就搬进了护林员放弃的小木屋,家庭大团圆渐渐成形。儿子小尼古拉从白海运河来到佩斯托沃,加入父亲的工作队——运河在1933年8月完成,作为对他们辛勤劳动的奖励,1.2万名囚犯获释。当初遭难时,另一个儿子伊万逃离奥布霍沃村,在西伯利亚游荡数年,现在也来到佩斯托沃,同样加入父亲的工作队。下一个是女儿玛丽亚,她在1934年寻来,当初也是潜逃者,作为“富农”的女儿流浪了3年。她担惊受怕够了,遂改名换姓,嫁与一名布尔什维克工人;当他发现她的真实身份后,不但拳脚相加,还将她抛弃。最后在1934年12月,经过数月向乌斯秋兹地区政治警察的书面请求,妻子、安东尼娜、托利亚、阿列克谢得以安全离开“特殊定居地”,与尼古拉重聚。尼古拉安家的护林员小木屋实在太小,但曾在营房度过三载的安东尼娜,却把它当成了天堂:

    这只是一个小房间,放着一张铁床——即我们被逐时,邻居普日宁为我们保存下来的——那是父母睡的床,也是他们的子女出生的床。这就是我们自己的床,确切无误。它的床架上有同样的镀镍小球和床垫,这是我们旧日生活唯一的纪念。

    1932年9月3日,两名男孩被发现死于格拉西莫夫克村附近的森林——位于西伯利亚的西部。据报道,他们是被亲戚刺死的,因为其中年长的15岁男孩帕夫利克是少先队积极分子,向苏维埃举报了自己的“富农”父亲特罗菲姆·莫罗佐夫,所以亲戚施以报复。事实、谎言、政治阴谋相互交叉、纠缠,很难弄清真相。从调查的一开始,苏维埃报刊和警察就把谋杀当做一种政治犯罪:帕夫利克是少先队模范,杀人者是“富农反革命分子”。

    格拉西莫夫克村是一个偏远的森林村庄,靠近塔夫达镇——在乌拉尔的斯维尔德洛夫斯克州的东北方向,相距350公里。这个村的周围都是劳改营和“特殊定居地”,晚上,村民们能听到警卫犬的吠叫。格拉西莫夫克村又是一个悲惨的所在,最穷的农民拥有一头牛,最富的拥有两头,拥有茶炊的只有9户人家。简陋的学校建于1931年的年底,只有一位老师和13本书。如同西伯利亚西部的其他农民一样,格拉西莫夫克村的村民非常独立。为了赢得土地和自由,他们在19世纪从俄罗斯中部东迁至此,故不愿加入集体农庄。1931年8月,没有一家签署协议加入集体农庄,难怪苏维埃报刊斥之为“富农的巢穴”。 (202)

    特罗菲姆·莫罗佐夫头脑清醒、勤劳,家境一般,曾在内战中参加红军,两次受伤。他颇得老乡尊敬,到 1931年秋季,已是第3次当选为村苏维埃主席。有人向政治警察举报他出售假证件给“特殊定居地”的“富农”流放者,他儿子可能就是报案人。与苏维埃报刊的宣传相反,帕夫利克其实不是少先队员(格拉西莫夫克村根本没有少先队组织),但显然有如此的憧憬。他在开学后参与了宣传鼓动工作,便与警方愈益接近。在格拉西莫夫克村,帕夫利克素有举报犯错邻居的名声(村民数年后回忆,一直把他视为“烂小子”)。因为父亲抛弃自己的家庭,喜欢上了另一名女子,他一直怀恨在心。帕夫利克作为长子,必须照顾母亲塔蒂亚娜——她是一个目不识丁的农妇,似乎因特罗菲姆的出走而有些精神失衡,又因妒火中烧,可能曾煽动帕夫利克打小报告。1931年11月,对特罗菲姆的审判在学校举行。据报道,帕夫利克当众谴责父亲的罪行,特罗菲姆随之大喊“我是你的父亲”,男孩告诉法官:“是的,他曾经是我的父亲,但我已不再认他为父亲。我这样做,不是作为谁的儿子,而是作为一名少先队员。”特罗菲姆被送去远北的劳改营,后来遭枪决。 (203)

    帕夫利克基于自己在审判中的表现不凡而变得愈加大胆,开始举报隐藏谷物或反对集体农庄的村民。他的行为得到了9岁的弟弟费奥多尔的帮助。村民对兄弟俩的所作所为异常愤怒。帕夫利克的祖父谢尔盖·莫罗佐夫禁止兄弟俩上门,其他亲戚则试图阻止他们举报。但目前还没证据表明,亲戚参与了谋杀,很可能仅是青少年之间斗殴的结果,包括帕夫利克的堂弟达尼拉,双方曾为马具和枪支发生争执。 (204)

    谋杀事件一旦上了当地媒体,接踵而至的调查立即趋于政治化。达尼拉受到压力,要指控自己的祖父谢尔盖为凶手,支持此一指控的还有另外两名家庭成员:为儿子夭亡愿意指控任何人的塔蒂亚娜,以及帕夫利克的表弟伊万·波图帕契克。后者是一名狂热的斯大林主义者和警察帮手,在此案中表现积极,被吸收入党。最终,莫罗佐夫“富农家族”的5名成员在1932年11月接受审判:帕夫利克的伯父和教父,被控策划谋杀;祖父和堂弟达尼拉,被控是谋杀执行人;祖母,被控将两名男孩骗去树林。从公审的一开始,他们的罪名就仿佛已经获得证实(检察官援引斯大林有关农村阶级斗争日益加剧的讲话,来证明凶手的政治动机),审判不过是一次做秀。5人中的4个被判处“最重的处罚”——由行刑队枪决。不知何故,帕夫利克的伯父命大,逃过此劫。 (205)

    事到如今,全国新闻界已得出自己的结论。格拉西莫夫克村是俄罗斯落后农民的象征,莫罗佐夫家族是家长制“富农”家庭的典型,集体化就是要将之横扫一空。帕夫利克很快成为英雄,一场个人崇拜的宣传活动在1933年秋天推出。高尔基呼吁为这位年轻的烈士建造纪念碑,认为他“懂得血缘的亲属可能是精神上的敌人。对这样的人,决不能姑息养奸”。 (206) 这场个人崇拜无远弗届,故事、电影、诗歌、戏剧、传记、歌曲,都把帕夫利克描绘成一名完美的少先队员,他身在家中,却是党的忠实岗哨。他牺牲自己父亲的无私勇气,应该成为苏维埃全体小学生的榜样。对他的崇拜在道德准则和情感上,深刻影响了整整一代的孩子。他们从帕夫利克的身上学到,与亲人之爱及其他个人关系相比,对国家的忠诚则是更为高尚的美德。举报朋友和亲戚不是可耻的,反而是爱国热忱的表现——这种想法借助于这场个人崇拜,植入千百万人的脑子,成了对每个苏维埃公民的切实期待。 (207)

    莫罗佐夫故事的教训,到底在谁的身上产生了最深的影响?根据采访资料,在父母明确界定道德原则的稳定家庭中,仅有极少数孩子受到影响。不过在今天,我们是以大恐怖时代的背景来理解此类尴尬话题,记忆是靠不住的。现在看来,对在不稳定或受压迫家庭长大的孩子来说,帕夫利克的确是积极向上的榜样。在那些环境中,成年人的影响太弱,无法抗衡苏维埃政权的思想。这场个人崇拜的鼓吹者就是这方面的典型。帕维尔·索洛缅是斯维尔德洛夫斯克地区的记者,他的报道首次引起苏维埃公众对帕夫利克的关注。他自己还是孩子时,就曾逃离残暴的继父,在一系列孤儿院长大成人。高尔基被逐出祖父的家——那是个残酷且落后的所在,男人借酒浇愁,女人向上帝寻求安慰——9岁起就在伏尔加河的工业城镇自生自灭。对具有如此不幸背景的人来说,帕夫利克就是一名英雄,因为他摆脱了自己家庭的“黑暗”生活,提高了自己的政治觉悟,积极投入公共事业,找到更高层次的少先队“家庭”,加入党和苏维埃人民的行列,迈向“光辉灿烂的未来”。帕夫利克的故事尤其对孤儿具有强烈的吸引力,他们从未受到家庭生活的影响,弄不清男孩举报父亲究竟错在哪里。他们由国家带大,一直接受思想灌输,要忠于和感谢把自己从贫困中救出来的国家。他们还被告知,出生于世界上最伟大的国家苏联真是三生有幸,否则就会生活在水深火热之中。

    1932年,米哈伊尔·尼古拉耶夫3岁,因父母被捕而被送进孤儿院,并换了新名字。他从没弄清自己的真名,也不知道父母姓甚名谁、何等人士、为何被捕以及被捕后的去向。儿童之家的政策就是擦去原来的身份,把米哈伊尔之类的孩子,重塑成“苏维埃公民”。米哈伊尔还是小男孩时就深受莫罗佐夫故事的影响,孤儿们很小就开始反复接受此类教育。他认为帕夫利克是一名“真正的英雄”,梦想自己向他看齐,也能“抓到一名间谍”。回顾童年,他认为假如自己与家人一起长大,他少年时代心目中的英雄会有很大的不同:

    与正常儿童相比,我们这些孤儿对生活只有非常贫乏的了解。我们失去家庭活动、厨房饭桌上的对话,以及一切非官方信息。在我看来,那种信息才是最重要的,它塑造了儿童对人生的看法,以及自己与外界的关系。我们的“世界之窗”只是课堂、少先队、墙角的红色电台、《少先队真理报》。它们所有的信息都千篇一律,解读的方法也只有一种。 (208)

    帕夫利克的故事广受欢迎,尤其在年轻人中更是如此,这更加深了家长制农村的旧世界与苏维埃政权的城镇新世界之间的文化代沟,并在许多家庭内造成分裂。农村人口越来越年轻化,越来越有文化。根据1926年的人口普查,农村人口的39%低于15岁(低于20岁的超过一半),20岁出头的农家小伙识字率是父辈的两倍多(同年龄的农家女子识字率高达母辈的5倍)。他们在苏维埃学校接受教育,不再接受父母起人生态度和信仰。许多人通过少先队和共青团,信心倍增,不愿再受父母的控制。他们不愿上教堂、佩戴十字架,拒绝遵循宗教的仪式,往往捧出苏维埃政权作为此类问题的新权威,有时导致与父母起争执。他们越来越向往城市,向往城市里的信息和价值观。在20世纪20年代和30年代,随着城镇的流行文化蔓延至偏远的乡村,越来越多的农村青年不愿留在农村,希望进城。这愈加促使农村孩子认为,与农村相比,城镇的生活方式更好,更有文化。20世纪20年代中期,共青团在沃罗涅日省农业最发达地区的调查发现,85%的共青团员来自农民家庭,但只有3%的共青团员愿意继续务农。大多数的农村孩子想离开农村:或去城市的商店或办公室上班,或上大学、进入工业领域,或参军。 (209)

    梅德韦杰夫一家因老一辈与青年之间的分歧而变得七零八碎。安德烈·梅德韦杰夫1880年出生于奥布洛夫卡村——在莫斯科的东南方,相距570公里——旁边有连结坦波夫和巴拉绍夫的铁路线。他是一名铁匠,冬天帮富裕农家修理金属屋顶,夏天和5位兄弟在父亲费奥多尔的家庭农庄上干活,全家共有17人。费奥多尔是农民大家长,又是虔诚的东正教徒,白发垂肩,全以旧法治家。他的孙女回忆:“我们遵守古老的习俗,大家吃饭使用同一只大碗。祖父以勺敲碗,就是大家开始吃饭的信号。他不开口,没人敢作声。”

    1923年,安德烈与年龄仅有他一半的阿廖娜结婚。她和家人1917年逃离饥饿的彼得格勒,来到坦波夫的乡下。阿廖娜来自贫困的劳工家庭。她的父亲是铁路搬运工,妻子去世后,一人抚养7个孩子,在坦波夫帮做农活,勉强维生。安德烈将年轻的妻子娶进门,1924年女儿尼娜出生。阿廖娜从一开始就发现很难适应夫家的家长制习俗。尽管只上了3年学,她还是当上了村苏维埃的秘书。她开办学校,教村里的孩子——还有许多成人——读书写字。安德烈对书本没有兴趣——梅德韦杰夫家的其他人也一样。阿廖娜从当地集镇把书籍和杂志带回家,培养孩子的阅读能力。1928年,阿廖娜的学校变成共青团扫盲运动中的扫盲点,这是反宗教、反家长制文化的苏维埃运动之一。她又成为共产党妇女部的积极分子,常常要去镇上开会。费奥多尔对她的独立性深感震惊,威胁说要把她赶出家门,也因此经常与安德烈发生争执。安德烈自己是村苏维埃的干部,即使善妒,不赞成妻子单独去镇上,但还是予以支持。

    1929年9月,奥布洛夫卡村成立集体农庄。虽然村里67户家庭中只有29户同意加入,但被认为已经足够。安德烈当选为集体农庄的主席,但费奥多尔拒绝加入,他的奶牛刚生牛犊,不愿放弃。父子之间发生了激烈争吵。尼娜回忆:“如果母亲不拦着,他俩早已把对方杀死了。他们开口大骂,并发誓分道扬镳。”家庭农庄分给了各位成员,安德烈带上自己的一份加入了集体农庄,而81岁的费奥多尔仍然单干。4个月后,老人作为“富农”被捕——缘于村苏维埃的报告,奥布洛夫卡全村共逮捕了12名“富农”。费奥多尔的房子被砸,自己被流放去西伯利亚,但家庭戏剧仍没落幕。安德烈身为集体农庄主席,把前途寄托在农村,但阿廖娜向往城镇,主要是想找到治愈女儿尼娜的好办法。尼娜因病失明,需要特殊的照顾。1930年4月,阿廖娜离开安德烈,与尼娜一起回到列宁格勒,向亲戚的朋友租借了房间的一角。尼娜回忆:“我们只有4平方米,刚好能放一张窄床、床头柜和两把小椅子。我睡椅子,妈妈睡床。”家人分离两年后,安德烈也在1932年10月来到列宁格勒,亲情战胜了他对集体农庄的承诺。梅德韦杰夫一家搬去市中心一个较大的房间,阿廖娜在尼娜的学校教书,安德烈在国家政治保卫总局的工程部门从事屋顶修建工作。 (210)

    像梅德韦杰夫家一样,许多家庭屈服于集体化和城市化的双重压力。集体化只是俄罗斯农民所经历的一系列社会剧变的最后一幕——第一次世界大战、大革命、内战、饿死数百万人的饥荒——但在某种程度上又是最惨痛的。因为它在是否接受苏维埃生活方式方面,迫使父子反目,拆散了许多家庭。究竟有多少儿子真的举报了自己的父亲?这很难说,肯定有,只是没有像苏维埃报刊所报道的那么多。20世纪30年代,报刊给人的印象是,农村中充满了真实生活中的帕夫利克·莫罗佐夫。据报道,一个名叫索罗金的少先队员看到父亲偷集体农庄的粮食,报警把父亲给抓了起来;小学生谢廖扎·法捷耶夫告诉校长,父亲悄悄囤积了大量土豆;13岁男孩普罗尼亚·科利宾举报母亲偷窃集体农庄的粮食(他获得奖励,前往克里米亚的著名少先队度假营阿尔捷克,母亲则被送去劳改营)。 (211)

    少先队鼓励孩子向帕夫利克·莫罗佐夫学习,举报自己的父母。少先队经常参与看管集体农庄的田园,举报窃取粮食的农民。《少先队真理报》登载年轻举报人的姓名,列出他们的功绩。20世纪30年代,在对帕夫利克·莫罗佐夫个人崇拜的高潮中,真正的少先队员为了证明自己的价值,几乎都要揭发自己的亲人。一份省级杂志警告,没有举报自己家人的少先队员,应受到怀疑,如果发现是由于缺乏警惕性,少先队员自己也应受到举报。在这种氛围中,家长们害怕在自己的孩子面前说话也就不足为怪了。一位医生回忆:

    我从不在孩子面前说斯大林的不好。帕夫利克·莫罗佐夫的故事出来之后,你害怕说漏嘴,甚至在自己儿子面前也一样。因为他可能会在学校里无心提及,有关部门就会记下,问男孩“是从哪里听到的”。他会说:“爸爸说的,爸爸不会错的。”你自己还浑然不知,却已陷入了莫大的困境。 (212)

    亚历山大·马里安的父亲就是这样遇上麻烦的。亚历山大的家乡马拉什蒂村在乌克兰的西南部,靠近蒂拉斯波尔城。他是共青团干部,1932年他17岁时曾写信给警方,举报父亲季莫费。亚历山大是集体化的狂热支持者,积极拥护反对“富农”的战争。他在1931年6月8日日记中,称“富农”是“苏联最后且最大的剥削阶级”。季莫费不同意,对集体化牢骚满腹,在儿子面前也不忌讳,马上被儿子举报。季莫费被捕后被送进劳改营。亚历山大在1933年10月的日记中,记下了与共青团同志的交谈。后者声称,既然亚历山大的父亲有“反革命”思想,他就不适宜担任干部一职。亚历山大写道:

    我不得不向他解释,我父亲的被捕是应我的要求。他之所以持有反苏立场,归罪于他在奥地利当战俘的经验[第一次世界大战时]……他带回了对奥地利秩序的钟爱,坚信他在奥地利看到的资产阶级小农庄,才是创造农业财富的关键……他只是简单地把集体化初期的错误当做了动乱,而不是暂时的并发症。他如果知道辩证法,有高度的政治觉悟,就会承认自己的错误并公开认错。 (213)

    这种基于狂热意识的检举可能相当罕见。更为常见的是年轻人被动应付,宁可断绝关系也不检举家人,而且也要等到亲人已经暴露成“敌人”之后才会如此。他们接受学校和少先队的灌输,意识到如不与被捕的亲人划清界限,反而会危及自己的前途。左右这种行为的,往往有复杂的压力和考虑。除非抛弃被捕的亲人,以此证明自己时刻警惕着并且一切忠于苏维埃,否则他们自己可能遭到少先队和共青团的驱逐,不能就读大学或就业。因此有成千上万印在苏维埃报刊上的公式化通告:

    我,尼古拉·伊万诺夫,与我曾是神父的父亲断绝关系。他多年来欺骗他人,宣称上帝的存在。我要切断与他的一切关系,这就是理由。 (214)

    这些背弃可能得到了父母的鼓励。父母很清楚,孩子如果想在苏维埃社会谋求上进,必须与自己脱离关系。例如,1932年,一名来自克列缅丘格城附近传统犹太家庭的16岁男孩,给当地意第绪语的报纸写信,声明脱离自己家庭的落后生活:

    我拒绝成为这个家庭的一部分。我觉得,真正的父亲是共青团,能教我学会生活中的大事;真正的母亲是我们的祖国;苏联社会主义共和国和苏联人民才是我的家人。

    根据后来对他妹妹的采访,男孩是在父亲的坚持下才写下这篇声明的。那个女孩回忆道:

    我14岁那年,父亲把我和哥哥叫进房间,解释说他的生活方式不合时宜,不想我们重复他的错误,譬如遵循犹太人的宗教传统。他说,我们必须去找学校墙报的编辑,宣布我们开始了新生活,不愿与父亲的宗教过去有任何瓜葛。父亲硬要我们这样做,还说,这样做不会给他带来困扰,只会为我们开辟美好的前景。 (215)

    迫使年轻人背弃自己亲人的不仅仅是野心,还有其他因素。此类断绝关系的公开信,大多写于离家上大学或进城工作的前夕。这是新身份的宣言,也是对苏维埃梦想和目标的承诺。20世纪30年代初充满了巨大的机遇和社会流动性:工人的子女有望成为专业人士;农民的孩子梦想进城。苏维埃的宣传对症下药,刻意鼓动这类抱负,把对个人成功的崇拜放到了五年计划的中心位置。电影、书籍、歌曲,都突出无产阶级“普通英雄”的功勋——工程师、科学家、劳动模范、飞行员、勘探人员、芭蕾舞演员、男女运动员——给苏联带来荣耀。年轻人受到鼓励,相信自己只要努力工作也可取得同样的成就,以此证明自己无愧于苏维埃公民的称号。

    最重视这种抱负的往往是“富农”和其他苏维埃“敌人”的子女——这个悖论恰好又是“富农”父亲和他们的儿子之间冲突的症结。子女从小就背上出身不好的烙印,一直希望成为社会上的平等成员,唯一途径就是诀别自己的过去。有些背弃自己的“富农”亲人,有些在自述中避而不谈,还有些声称他们已“死去或消失”。这种否认往往是生存所必需的,但相关的记忆仍可唤起悔恨和羞耻。不是因为这些年轻人曾经举报他人,而是因为他们的生活相对“正常”,追求各自的事业,而父母却消失于古拉格。他们接受苏维埃制度,从中找到了自己的位置,尽管心里很清楚,该制度已将自己的家庭摧毁。

    对这些悔恨情感的表达,没人比诗人亚历山大·特瓦尔多夫斯基更为有力。他1910年出生于斯摩棱斯克省的扎戈列村;父亲特里凡是铁匠,夫妇俩养育了7个孩子,生活中等,尚算舒适。亚历山大年纪轻轻就是共产主义者,1924年加入共青团,成为村里的积极分子。他经常因政治问题与父亲发生争论,曾两次离家出走,因为无法接受家人的农民生活方式。1927年,他加入俄罗斯无产阶级作家协会(RAPP),搬到斯摩棱斯克,在共青团报纸《青年同志》(Young Comrade)上发表了第一首诗《写给父亲和富人》:

    你家没有缺乏,
    你富裕——我观察,
    所有有墙有顶的农舍中,
    最好的是你家。

    1930年的春天,当局向特里凡课以重税。他担心被捕,逃去顿巴斯寻找工作;到秋天,儿子伊万(当时17岁)和康斯坦丁(22岁)相继跟来。他们认为,跑去寻找父亲会减轻母亲的负担。伊万在当年冬天回家,却发现自己已成“富农”的儿子,无法上学。1931年3月,除了亚历山大,特瓦尔多夫斯基一家都被逐出扎戈列村,康斯坦丁(已被关押在斯摩棱斯克)和特里凡(一从顿巴斯归来即被逮捕)也加入了家人的流放行列,前往乌拉尔。在随后两年中,他们在劳改营和“特殊定居地”进进出出,四处潜逃,如果能找到国内护照制度中的漏洞,就在工厂和矿区打打零工。家人时聚时散,直到1932年秋季。其时,特里凡在乌拉尔的下塔吉尔镇工厂找到了一份铁匠工作。

    与此同时,亚历山大在斯摩棱斯克的教育学院学习,努力成为年轻诗人。他的第一首长诗《走向社会主义的大道》(1931年),描绘了集体农庄生活的灿烂图景。他在学院的学生会议上发言,赞成反对“富农”的运动,但他显然对家人的遭遇感到不安。1931年春天,他去拜访地区党委书记鲁缅采夫,希望他能从中斡旋,以减轻他们的磨难。特瓦尔多夫斯基在1954年回忆,鲁缅采夫却说“生活当中,有时必须在家庭和革命之间作出选择”。那次会谈之后,特瓦尔多夫斯基被选为“动摇分子”,苏维埃当局要考察他的忠诚。他在文学会议中,被攻击为“富农”的儿子。他得以躲避厄运,全仗当地作家阿德里安·马克多诺夫为他作了勇敢且积极的辩解(后来自己却入了狱)。

    由于担心自己的职业生涯,特瓦尔多夫斯基刻意疏远家人。1931年春天,父母从乌拉尔的利亚利亚“特殊定居地”给他写信。他们并不指望经济上的帮助——因为他们知道儿子自己也很拮据。伊万在1988年回忆:“他们只希望,他也许想与自己的父母和兄弟姐妹保持联系。”伊万继续讲述了后面的故事:

    亚历山大回过两次信。他在第一封信中答应帮忙,但很快寄来第二封信,内含我难以忘怀的字句:“我的亲人们!我既不是野蛮人,也不是动物。我要你们坚强起来,要有耐心,努力工作。消灭富农阶级,并不意味着消灭富农本身,更不会是消灭孩子……”再后来,就是这么一句话:“……我不能给你们写信……也不要写信给我。”

    当这封信读给伊万的母亲听时,她——低下头,坐在板凳上,陷入深思,然后大声讲出话来。她不是讲给我们听,而是讲给自己听,用来说服自己仍拥有儿子的爱和忠诚。她说:“我知道,我觉得,我相信……他并不容易。我儿子当然是别无选择,人生就像旋转木马,你又能如何呢?”

    两个月后,即1931年8月,特里凡带上小儿子帕夫利克逃离利亚利亚定居地,其余的人都留在原地。一个月后,他们到达斯摩棱斯克,前往苏维埃大楼寻找亚历山大,知道他在那里的编辑部工作。特里凡叫门卫打电话给儿子,他回忆了当时的情景:

    我知道他来信的内容,但我想:他是我儿子!至少可以帮帮帕夫拉希卡[帕夫利克]。一个小男孩,他的亲兄弟,能给他带来什么危害呢?亚历山大出来了。上帝保佑,与儿子见面,怎么会如此担惊受怕的!我在恐慌中看着他,他已长大,修长又帅气!他父亲的儿子!他站在那里,默默地看着我们,然后开口,不是说“你好,爸爸”,而是一句:“你怎么来的?”
    “修罗[亚历山大]!我的儿子!我们正在饥饿、疾病、任意处罚中慢慢死去!” 我回答。
    “那么,你是逃出来的?”他突然问,这似乎不是他自己的声音,他的目光也变得异样,似乎要把我钉在地上。
    我保持沉默——我能说什么呢?只能如此了——我只是为帕夫拉希卡感到遗憾,他只是一个小男孩,希望得到哥哥的爱,没有想到如此的结局!
    “我只能把你们送回原地,免费。”——这是亚历山大的原话。
    我知道,进一步的请求或乞求都已无济于事。我只让他等一等,因为我还要去斯托尔波沃镇向朋友讨债,等我回来后,听凭他安排。他显然有些吃惊。
    “那好,你走吧。”他说。

    特里凡在斯托尔波沃镇找到朋友一起喝酒,帕夫利克在一边睡着了。午夜时分,警察赶来逮捕特里凡,因为亚历山大已把他出卖。
    亚历山大再次看见或听闻家人的消息已是4年之后。在这段时间,伊万认为,亚历山大只能将自己的内疚注入他从未发表的诗里:

    你是谁,兄弟?
    你好吗,兄弟?
    你在何处,兄弟?
    在哪一条白海运河?
    ——《兄弟》,1933年

    1935年,伊万前往斯摩棱斯克找亚历山大。他逃离“特殊定居地”,在莫斯科和其他工业城镇漂泊3年,以打零工为生,但渴望回到自己的故乡,也想让哥哥知道家人的近况。兄弟俩仅有两次简短的会面,亚历山大告诫弟弟赶快离开斯摩棱斯克:“这里没有你要的东西,只会发现不愉快而已。相比之下,生活在这里对我很重要,这里的人都认识我!”
    伊万当时对哥哥存有太多的抱怨,到了晚年,才渐渐理解亚历山大承受的压力:他必须留在人们认识和尊重自己的地方,所取得的成功又能提供某种保护。对哥哥的选择,伊万不无同情:

    我敢说,我的到访激起了他的内疚和自责。他忘不了写给流放中的我们的信,也忘不了他与父亲在苏维埃大楼的见面,我为他感到遗憾。不管我喜欢与否,我不得不承认,他的确是一名真诚的共青团员,自20世纪20年代起,矢志不渝。我现在认为,亚历山大亲眼目睹了伤害自己父母和兄弟姐妹的革命暴力,虽然是不公且错误的,却变成了一种考验,看他是不是真正的共青团员。也许他并不想向别人证明——只想证明给自己。毫无疑问,他以这种方式来自我说服:“每一名富农都是某某人的父亲,他的孩子是某某人的兄弟姐妹。我的家人凭什么与众不同呢?要勇敢,要坚强,决不向抽象的人道主义和阶级利益之外的情感低头。”他的逻辑是:你如果支持集体化,就意味着你也支持消灭富农阶级;在道德上,你没有权利要求自己父亲获得例外的待遇。亚历山大可能在心里为家人哀痛,不过,我们家也仅是众多富农家庭之一而已。 (221)

    1928至1932年的“大转变”,摧毁了维系家庭和社区的旧关系和旧忠诚,创造了以人与国家的关系来定位的新社会。在这个制度中,社会阶级是至关重要的:国家推崇“无产阶级”,镇压“资产阶级”。但阶级又不是固定或僵化的,数百万人离开家园,变换工作,在全国各地搬来迁去,很容易改变或重塑自己的阶级身份。只要有助于上进,大家都学会了编造自己的阶级身份。他们变得越来越聪明,或隐瞒和掩饰自己的不纯出身,或文饰自己的履历,使之显得更像“无产阶级”。

    “自我改造”的概念,在布尔什维克的圈子里是非常流行的。布尔什维克思想的中心,就是要清除旧社会的“小资产阶级”和个人主义的冲动,创造更高层次的人格(苏维埃新人)。一位党领袖在1929年写道:“我们都是过来人,身上仍存有以往的弊病。我们在自己的身上,就有很多工作要做,必须自我改造。” (222) 同时,人们能改变和操控自己的阶级身份,又给党领导带来极大的焦虑。 (223) 他们普遍担心,涌入城镇的大量破产农民和其他“小资产阶级”(“富农”、商人、教士等),将稀释“无产阶级”的纯度——“无产阶级”是他们想象中支持专政的社会基础——党内会充斥隐瞒自己出身的“自私自利者”和冒险家。

    苏维埃报刊上有不少此类骗子故事,最有名的是弗拉基米尔·格罗莫夫。他冒名顶替,自称是熟练的工程师和获奖的建筑师,在1935年被判处10年劳改,去白海运河工地服刑。格罗莫夫使用伪造的文件,获得高薪工作和莫斯科的高级公寓,甚至说服后勤人民委员阿纳斯塔斯·米高扬,向他预支了100万卢布。 (224) 对冒名顶替者的担忧,折射出党领导的深刻焦虑,直接影响了之后的大清洗文化。大清洗中激烈的指控,就是为了要彻底揭露暗藏“敌人”的真实身份。整个20世纪30年代,党领导鼓励人们相信,同事、邻居、朋友、亲戚都有可能躲在假面具之后——这种观念,既毒害了人际关系,又为1937至1938年的大恐怖推波助澜。艾莱娜·邦纳的弟弟在父亲被捕后曾说:“看,人民公敌到底是什么嘴脸,有的甚至伪装成父亲。” (225)

    除了集体化,伴随五年计划的还有一场对“阶级敌人”和“异己分子”的大清洗,以铲除潜在的反对和异议。随着国内护照制度的引入,警方奉命加强措施,把“社会不纯分子”——“富农”、教士、商人、罪犯、“寄生虫”、妓女、吉普赛人及其他族裔(芬兰人、朝鲜人、伏尔加德裔等)——赶出城镇。 (226) 害怕自己受到社会的排斥,驱使数百万人隐瞒自己的出身。在理论上,自我改造是可行的,但过程可能很长,很不确定。隐瞒似乎更加可靠,更是为社会接受的捷径。20世纪30年代初的混乱时期,改变自己的身份相对比较容易,或搬去另一城市,或领取新的档案。假档案很容易获得,或通过行贿,或向每个集镇都有的伪造者购买。如果要漂亮的履历,甚至无需花费钱财。很多人干脆扔掉旧的,换一个苏维埃政府申请新的履历表,填上不同的履历,甚至还可篡改自己的名字和出生地。 (227) 各省的苏维埃官员和警察,其低效和腐败是众所周知的。

    对于女性而言,婚姻是掩饰自己社会出身的又一途径。安娜·杜博娃1916年出生于斯摩棱斯克省的农民大家庭。父亲1929年作为“富农”被捕,被送去波多利斯克的建筑工地——就在莫斯科的南边,妻子和孩子也跟了过去。母亲得到兔场的一份工作,安娜就读于附属于面包厂的工厂技校,原以为可以回归为“正常”人,却没想到安娜姐姐的共青团员朋友,站出来揭发她们在隐瞒“富农”出身。杜博夫一家全遭驱逐,丢失了所有的财产和居住权。父母带着年幼的孩子去了莫斯科以东200公里的勒热夫地区,住在父亲亲戚的草棚内;安娜逃到莫斯科。姐姐嫁给了当地人,她让安娜睡在自己小房间里的地板上。安娜没有居住证,纯属非法居留,却仍在努力追求自己的理想。她从工厂技校毕业,成了布尔什维克蛋糕工厂的糕点厨师,专门从事蛋糕的装饰工作。她的前途开始变得光明,但危险始终存在:“富农”出身和非法居留一旦暴露,她将失去一切。她在20世纪90年代的采访中说:

    那段时间里,每当看到警察,我就很怕。因为在我眼中,他会告诉大家,我有嫌疑。所以我结了婚,只是为了能掩饰我的背景……我丈夫是个贫农,又是共青团员,在莫斯科附近的村苏维埃担任秘书。作为一名共青团员,他的工作就是识别和剥夺富农……我的婚姻只是一种伪装。我没有地方住,结婚之后,才有自己的一小间。上床睡觉时,我会自言自语,亲爱的主呀,我竟睡在自己的床上。

    安娜的丈夫很善良,就是喝酒太多。“我一直在做梦——‘主啊,要是能嫁给一位体面人,那该多好啊。’我和他朝夕相处,即便已经生下女儿,却还在梦想有一位体面的丈夫。” (228)

    被迫过这种双重生活的人,需要不时承受曝光的威胁。有一名前秘密警察上校,还是共产党的模范,一直隐瞒自己的贵族出身。他回忆道:“我一直处在恐惧之中,无时无刻不在担忧,‘假如我的真相突然暴露’,我所努力的、我为自己和家人所建立的、我的生活、我的职业生涯,都会轰然倒塌。”除了恐惧,还有其他相互矛盾的冲动和情感——被动、内向、羞愧、自卑——能在同一人身上,既激起他对苏维埃政权的秘密憎恨,又激起他献身于苏维埃事业的决心,以此克服自己的出身不纯。人陷入如此的双重人格,变得得不知所措,其公众形象完全吞噬了他的内心世界。有人这么回忆:“我开始觉得,我就是我正在扮演的人物。” (229)

    年轻的西蒙诺夫有过类似的经历。他隐瞒贵族出身,在萨拉托夫的工厂技校学做车床工,填在登记表上的身份是“无产阶级”。西蒙诺夫擅自决定进工厂技校,而继父希望他去高等学院或大学攻读——在他父母的旧世界服务阶层看来,那是理所当然的教育轨迹。但十几岁的西蒙诺夫,为新工业社会的前景而感到无比兴奋。他看到,无产阶级是新兴的统治阶级,亟想加入其中。西蒙诺夫回忆:“这是五年计划的开始,其浪漫精神彻底征服了我。我加入俱乐部,讨论该计划和它的不同版本。它对我的吸引力,远远超过我的中学课程。我的继父非常恼火,我在工厂技校的第一年,他几乎都不理我。” (230)

    工厂技校笼罩在激进的、无产阶级的氛围之中。一半学生来自工人家庭,另一半来自儿童之家。作为贵族的儿子,西蒙诺夫在此出格得危机四伏,但他尽量调整,舍弃他少年时的短裤和凉鞋,换上工人的套衫和鸭舌帽,努力与同学们打成一片。西蒙诺夫受无产阶级的吸引,其重要原因在于工人的独立性:“我认为,成人的生活始于他开始上班,赚钱养家。我也要尽快独立,养活自己。” (231) 西蒙诺夫加入产业工人的大军,自然也就独立于家庭之外,不再让其贵族背景拖自己的后腿。

    为了供自己在萨拉托夫工厂技校学习,西蒙诺夫去生产弹药的通用工厂当学徒,上夜班,组装突击步枪的子弹盒。到1931年春天,他的月收入是15卢布,虽然微薄,对家庭预算来说却是一大贡献。特别是在4月之后,继父亚历山大被捕,15岁的西蒙诺夫成了家里唯一的经济支柱。

    那次逮捕进行得有条不紊。敲门声在晚上10点钟响起。由于亚历山德拉感到不适,家人早已上床睡觉,亚历山大要到穿戴齐整,方才让警察进入自己的营房公寓。康斯坦丁醒来,发现继父正在用放大镜核对搜查证:

    搜查持续了很久。他们做得中规中矩,在两个房间里逐一检查全部的物件,甚至查看我有关金属技术的技校笔记、七年级笔记和母亲的一大堆信件——她喜欢写信,也喜欢所有的亲戚和朋友给她写信……等到他们完成搜查,理好文件和信件,好像还开出了一张被没收物件的清单——也可能我弄错了。我想,终于结束了。其中一人从口袋里掏出一张纸,把它递给父亲,这是对他的逮捕令。我当时没想到,事后才意识到,不管搜查结果如何,逮捕从一开始就在计划之中。真不忍心看到母亲的反应,尽管她有坚强的性格。她显然病了,一整夜坐着,持续发烧,浑身颤抖。父亲很平静,认真读完那张纸——再一次从背心口袋拿出放大镜——确定它真是一纸逮捕令,然后他简速吻了母亲一下,并告诉她,一旦弄清误会,他就会回来。他紧紧握着我的手,一言不发,与逮捕他的人一起离开了。 (232)

    像亚历山大一样,西蒙诺夫也认为这只是一场误会。他应该知道,许多专家在萨拉托夫被捕,包括继父任教的军事学院的好几名军官。像众多失去亲人的其他人一样,西蒙诺夫也倾向于把继父的被捕,当做一桩乌龙事件。“我认为,其他人肯定有罪,他们是我的敌人,但我无法将他们与我继父联系在一起。” (233) 这种区别帮助他维持对苏维埃司法制度的信心。政治警察官员有条不紊的行为——不仅体现在亚历山大被捕之时,西蒙诺夫4年前目睹继父的亲戚叶夫根尼·列别捷夫被捕的过程也是如此——更加强了这一信心。

    西蒙诺夫遵照亚历山德拉的命令,向技校老师汇报了逮捕一事。她说,不汇报反而是懦弱的表现。西蒙诺夫没被学校开除,但被告知,最好等到继父获释后再递上他的入团申请表。亚历山德拉和儿子被逐出营房的小公寓,所有家当被扔到街上——包括配有几张板凳的桌子、两个书架、一个衣柜、一张床、第一次世界大战时的军用木箱和西蒙诺夫曾睡过的吊床。那天正好大雨滂沱,邻居收容了正在发烧的亚历山德拉,她的儿子则赶去萨拉托夫郊区寻找新的住所。他租好房间后,又找来一个货车司机帮助搬家。终其一生,他永远记住那一天——他第一次挑起家庭的重担,一刹那间,他长大成人。

    我没齿不忘,没有怨恨,甚至有点自我得意,因为我证明了我能应付一切。我有一种受伤的感觉,主要是为我的母亲……她不能原谅那些将我们赶走的人。毫无疑问,我仍能记住那些人的名字,因为我对母亲的受辱感同身受,即使我还只是一个男孩…… (234)

    西蒙诺夫在继父被捕一事上的反应,不是责备和质疑苏维埃政权,而是更加努力工作,以补贴家用。也许,继父的被捕更加强了他的信念:为了保护自己,他必须夯实自己的无产阶级身份。整个夏天,西蒙诺夫白天读书,晚上打工。他获得晋升,成为二级学徒工,工资翻了一番。这足以供奉母亲,还能每周送两个包裹给狱中的继父。亚历山德拉在一所中学教法文和德文,赚取额外的现金。到秋天,亚历山大出狱了。西蒙诺夫回忆:“他拥抱、亲吻母亲,甚至也吻了我,这很不寻常。他好像起了变化,起初我没注意,后来才明白,他的脸色变得阴冷苍白,不再是以前被太阳晒得黝黑的模样。” (235)

    亚历山大并没透露在监狱遭受的折磨,只称所有的指控都被撤销,因为他在“严峻压力”之下也拒绝认罪。西蒙诺夫回忆,在他看来,这件事的教训在于坚定不移:

    时至今日[1978年],我自问:那个夏天发生于萨拉托夫的事件,是否影响了我对生活的态度?是否在我十五六岁的心灵中留下了烙印?答案是肯定的,也是否定的。就继父而言,其结果并不出乎意料。他还是原来的他——绝对是思路清晰和认真负责的典范——认识他的人全都相信他的无辜。在那可怕的岁月中,与我们交往的几乎每个人都很友好——那也是我们所期待的。对继父的审讯,由于他的强大和坚毅,其结局也是理所当然的。尽管如此,它却给我带来不安。我想,如果是一位较为软弱的人,如果承受不了同样的折磨,就会有截然不同的结果。这令人担忧的想法,久久停留在我的脑中……更重要的是,我觉得自己已经长大,这可能是潜意识的。我也已证明,自己可以应付一场危机。 (236)

    “富农”子女试图掩盖自己的社会出身,其承受的压力,一点也不亚于资产阶级子女和贵族子女。他们中的大多数,不得就读苏维埃学校和大学,不得加入少先队和共青团,不得参军,不得从事较好的职业。他们往往渴望与家人划清界限,以证明自己是“苏维埃公民”,其实质就是害怕自己受排斥。1942年,20岁的沃尔夫冈·莱昂哈德被流放去哈萨克斯坦的卡拉干达地区,他父亲是1935年抵达莫斯科的德国共产党人。沃尔夫冈在师范学院学习,同学中的大多数是“富农”子女,早在20世纪30年代初,就被流放到这个半沙漠地区。他们幼时吃了很多苦,后来才获准上学,很快就要变成教师。莱昂哈德注意到,这使他们的政治身份发生了大幅度的转变:

    我的大多数同学周末回家,回到卡拉干达周围的[特殊]定居地。他们返校后,谈及自己的父母时,经常义愤填膺。我经常听到他们说:“他们还是不懂!我多次向他们解释集体化的道理,但旧派人永远都不会觉悟!”

    这些富农的子女,刚流放至此时还是幼儿,随着时间的流逝,事实上已成了斯大林主义者。 (237)

    很多“富农”子女最终变为狂热的斯大林主义者(甚至加入国家的镇压机关,开创出一片事业)。对有些人来说,转变的过程涉及一个长期且自觉的“自我改造”,不无心理成本,斯捷潘·波德鲁布尼便是一例。他1914年出生于乌克兰西部文尼察地区的农民家庭,他父亲作为“富农”流放至阿尔汉格尔斯克,他与母亲1929年逃到莫斯科。斯捷潘在《真理报》印刷厂的技校找到一份学徒工,加入共青团,率领工人突击队,编辑墙报(一种宣传鼓动),成为工厂理事会成员,似乎还被警方招募成了举报人。那段时间里,他一直小心翼翼地隐瞒着自己的“富农”出身。他的日记记录了自己的战斗历程:如何清除身上农民老祖宗的病态心理,如何脱胎换骨当上一个苏维埃公民。他尽量阅读正确的书籍,采纳正确的态度,以穿着整齐和学习舞蹈来提高个人修养,在自己身上培养关心公益和保持警惕的苏维埃美德。每年年底,他制订进度表,以便衡量自己“在文化上的进步”(犹如国家机构为五年计划规划每一年的经济进步)。他的“富农”出身,一直是自我厌恶和自我怀疑的根源,一再被视作自己缺点的缘由。他还在思忖,到底能否真正成为社会的平等一员:

    1932年9月13日:我已经几次思索自己的生产工作,为何无法从容应付?为什么对我来说总是这么难?有一个念头,我似乎摆脱不掉,像吮吸桦树液一样在吮吸我的血液——那就是我的心理问题。我难道真的是与众不同吗?这个问题使我毛骨悚然,全身发抖。我现在正处在中游,不上也不下,但很容易滑向两端。

    波德鲁布尼不时担心自己的出身会暴露出来,会在工作单位(充满“敌人”的巢穴)受到批斗,会被解雇,甚至会被捕。最终,政治警察确实查出了他的“富农”出身,但告诉他,只要他“继续积极配合”,就不会有事。很有可能,波德鲁布尼从此开始举报他的同事。他在日记中承认,自己像是一头困兽——厌恶自己扮演的角色,渴望成为“真正的自己”。

    1932年12月8日:我每天的遮掩,我内心的秘密——他们不允许我成为一个具有独立人格的人。我不能有任何的自由思想,不能公开、明确地站出来。相反,我不得不鹦鹉学舌,必须走在不平的路面,朝阻力最小的方向。这真是非常糟糕。不知不觉中,我染上了阿谀奉承者和老狐狸的品性:软弱、卑怯,总是屈服。

    有一位同学,其“富农”儿子的身份暴露之后,却没有遭到处罚,波德鲁布尼称之为“历史性时刻”。这似乎显示,他可以不必再为自己的出身而痛感耻辱。他满心喜悦,怀着对苏维埃政府的感激来拥抱这种个人的解放。

    1935年3月2日:我也能成为苏联大家庭的公民,我热爱使之成为可能的人。我再也不是敌人圈子里的人。我一直害怕敌人,无论何时,无论何处。我再也不用担心我的周遭。像大家一样,我可以对各种事物发生兴趣,做一个爱护自己土地的主人,而不是一个向主人叩头的仆人。

    6个月后,波德鲁布尼被接收为莫斯科第二医学院的学生。他一直梦想在高等学院学习,但心知肚明,他的“富农”出身将是一大绊脚石。《真理报》印刷厂的共青团支持他的求学申请,对他来说,无疑是首肯了他的苏维埃新身份。 (238)

    对于许多“富农”子女而言,渴望被认作苏维埃人,亟想成为社会中有价值之人,与其说与政治或个人身份有关,毋宁说应该归功于自己的努力和勤奋。

    安东尼娜·戈洛温娜非常聪明,精力充沛,积极主动,又继承了父亲尼古拉的强烈个性。她在沙尔铁定居地时,曾是学校里的大队干部,辅导其他学生的阅读。她1934年回到佩斯托沃与父亲重聚,年仅11岁的女孩便下定决心要“努力学习,证明自己的价值”。 (239) 但在新学校,年龄较大的男孩把她当做“富农”的女儿加以嘲弄和虐待(佩斯托沃学校有很多“富农”子女),甚至老师们也会挑剔找碴。有一天,孩子们因行为不端而受训斥。一名资深女教师更是把安东尼娜叫到全班面前,予以特别的惩戒,大声叫嚷:她那种人就是“人民公敌,卑鄙的富农!遭到驱逐也是罪有应得。我希望你们都在那里死绝”!安东尼娜在回忆录(2001年)中,把此事当做她人生中的决定性时刻。她深深感到不公和愤慨,真想呼喊出来以示抗议,但更深沉的恐惧迫使她缄默不语。

    突然,我心里泛起一种感觉:我们[富农]与众不同,我们是罪犯,很多事情都没有我们的份。我现在明白,我当时即有一种自卑感,深深陷入恐惧之手。这个政府可以生杀予夺,因为我们是富农,没有任何权利,只能在沉默无言中忍受一切。

    同学玛丽亚的父亲也作为“富农”被捕,女教师训斥事件发生之后,玛丽亚低声对安东尼娜说:“听着,老巫婆吐出这样的骂人话,我们来写一封投诉信!”安东尼娜很怕,所以由玛丽亚一人执笔写了那封信,但是以两人的名义。她写道,她们的父母是富农,但不能怪罪于子女,衷心希望能有机会,以勤奋学习来证明自己。她们还在信上画了新年树 [3] 作装饰。安东尼娜将信藏在洗衣袋中(母亲承担学校的清洗工作),送去校长办公室。校长颇表同情,把她们叫去他的办公室,告诉她们“私下里,他同意我们的观点,但我们不得外传”。显然,他后来找了那位刻薄的女教师,因为她的态度有所软化,甚至允许这两个女孩参与学校的话剧表演。那部戏讲述农民保姆(安东尼娜饰)在“富农”(玛丽亚饰)家受尽苦难,安东尼娜在回忆录中写道:

    在最后的独白中,我必须说这样的话:“你已吸干了我的生命,我现在懂得,再也不愿同你在一起。我要离开你,去上学!”——讲完这几句,我就离开舞台,随即响起了雷鸣般的掌声。我深深融入这个角色,我的愤慨显得既自然,又逼真。 (240)

    安东尼娜全身心投入学业,她喜欢学校,成绩优秀,好几次出现在学校礼堂的优秀学生榜上。这意味着她有资格参加苏维埃节日的学校游行。安东尼娜喜欢这些游行——不是因为在政治上要求上进(她认为扛旗反而有失身份),而是因为代表自己的学校而感到自豪。她渴望加入少先队,但由于“富农”出身,不能遂愿,她为此而伤心欲绝。她戴上自制的红领巾,赶去少先队聚集的俱乐部,渴望自己能够参与他们的游戏。 (241) 渐渐地,她找到了自己的位置,尽管有“富农”的背景,还是在1939年加入了共青团(共青团委员会看重她的主动精神和能力,对她的出身睁一只眼闭一只眼)。安东尼娜因此变得大胆,鼓足勇气在1939年夏天,隐姓埋名,重访自己的家乡——已改名为“新生活”集体农庄。她发现,她的老家已变成集体农庄的办公室。 (242)

    安东尼娜的信心和雄心在与日俱增,决定不再努力让人接受真实的她,而是为自己编造全新的身份。每当填写新表,她就开始撒谎。她回忆:“我知道自己在做什么,决定重编自己的履历。”从青年起,安东尼娜就过上了秘密生活,不向朋友谈论自己的私事。1940年,她遇上第一个认真交往的男朋友,但闭口不谈自己的家世,因为她害怕对方获悉她的过去可能就会离开。之后的整整50年,她都不让家人知道自己的真实身份,因为她害怕,这既是为自己,也是为家人。回首往事,她记得:

    我必须时刻保持警惕,不能漏嘴,不能暴露。我一开口,就要动脑筋:我忘掉了什么?我说的话会使人生疑吗?无时无刻不是这样……我很怕,就会保持沉默。这种恐惧伴我一生,须臾不离……妈妈总说:“当你与狼一起生活时,就必须学会狼的习性!” (243)

    [1] 从“拳头”一词派生出来的“富农”(kulak),最初被农民用于泛指剥削性质的行业(放高利贷的、出租土地的、投机倒把的,等等)。在他们看来,即使雇用他人的自耕农,也不可算作“富农”。相比之下,布尔什维克以马克思主义的定义误用此词,将富裕农民全部划作富农。他们有一个错误的假设,将农村中的雇人(这在俄罗斯的大部分地区本来就极为罕见)视作一种“资本主义”(而不是农村劳动力短缺的弥补)。所以,富农就等同于资本家了。内战时期,布尔什维克想在农村挑动阶级斗争和征用粮食,便将无地农民(主要是流入城市的)组成贫农协会,以对抗被控囤积粮食的富农。到集体化时,反对加入集体农庄的任何农民——不管是富是穷——都被控为富农。
    [2] 戈洛温家有两个谷仓、几部小机械、3匹马、7头牛、几十只猪羊、两辆大车,还有一些家具,包括苏维埃农村中象征着富裕的铁床和茶炊。
    [3] 1929年圣诞树在苏联遭禁,到1935年才获得恢复,但改称为新年树。苏联的新年节日承继了传统圣诞节的很多活动,譬如家庭团聚、交换礼物以及类似圣诞老人的弗罗斯特叔叔(Uncle Frost)。

    第三章 对幸福的追求(1932—1936)

    1932年,法尼娅·拉斯金娜和米哈伊尔·沃希切斯基结婚。米哈伊尔既是党的干部,又在韦斯宁兄弟建筑师公司担任建筑工程的行政主管,那是莫斯科最重要的建筑公司之一。法尼娅离开位于祖博夫广场的娘家,暂时租房数月,再与丈夫一起搬入时尚的阿尔巴特区。那是一个三居室公寓,不大,总面积只有58平方米,但与绝大多数莫斯科人相比,却显得摩登豪华,拥有自己的厨房、浴室、抽水马桶,甚至还装了私人电话。 (244)

    20世纪30年代初,莫斯科迅速扩展。从1928到1933年,首都人口从200万增至340万,主要是由于大批农民涌入工厂,这使城市的住房承受了巨大压力。1933年以后,莫斯科通过国内护照制度以及大规模驱逐“异己分子”,得以控制城市人口。 (245) 数以百万计的人,梦想就是搬入莫斯科。在苏联,莫斯科是权力、财富、进步的中心。在宣传中,它被描述成社会主义制度下未来美好生活的见证。

    斯大林对首都的“社会主义建设”具有浓厚的兴趣,在1935年签署了一项雄心勃勃的重建莫斯科的总体规划。制订该计划的建筑师有韦斯宁兄弟、列昂尼德、维克托、亚历山大等,接受莫斯科苏维埃的统一指导。该计划将莫斯科规划成一个可容纳500万居民的城市,并在郊区广泛建造新型的住宅区,由公路、环道、绿地、污水处理系统、通信网络和工业世界中最先进的地铁连接起来。计划中一切都是大规模的。满布中世纪窄街和教堂的市中心,被大规模拆除,为建造开阔的大街和广场腾出空间。一条广阔、全新的游行路线,将横穿首都的市中心。特韦尔斯卡娅大街(已改名为高尔基大街)要拓宽至40米,挡道的旧楼只能推倒(许多建筑遗迹,包括建于18世纪的莫斯科苏维埃大楼,只好退出主道,易地重组)。在红场上驱除全部的市场摊位,以便聚集的游行队伍在5月1日和革命纪念日畅通无阻地走过革命的神圣祭坛——列宁陵墓。甚至还有炸毁圣瓦西里大教堂的计划,以便让陵墓前的游行队伍可以排成没有中断的一长列。斯大林的莫斯科被重建成一座帝国大首都——即苏维埃的圣彼得堡,比苏联任何其他城市更为雄伟,更为先进,成为未来社会主义社会的象征(布哈林称总体规划“几近奇迹”,将使莫斯科变成“新的麦加,为人类幸福而奋斗的战士会从世界各地赶来朝圣”)。 (246)

    韦斯宁兄弟在首都的重建上发挥了主导作用,其建筑理论因此而发生了戏剧性变化。20世纪20年代,韦斯宁兄弟一直走在建构主义运动的前列,尝试将柯布西耶的现代主义理想融入苏联建筑。但在重建斯大林的莫斯科时,他们改用了新古典主义和纪念碑式的风格。这代表着艺术和精神上的妥协,他们是建筑师,必须仰仗客户,而国家是其唯一的客户。两兄弟一直参与苏维埃宫殿的筹建,地点就在1932年即已拆毁的救世主大教堂。该宫殿如果建成,将是世界上最高的建筑物(定为416米高,比1931年在纽约落成的帝国大厦还要高出8米),顶上耸立一座巨大的列宁塑像(3倍于自由女神的尺寸)。 (247) 但苏维埃宫殿从未建成, [1] 多年以来,该工地无形中变成了一座纪念碑,让人记得莫斯科的允诺。

    韦斯宁兄弟帮助监督莫斯科地铁的建设——共产主义进步的另一个象征。隧道的挖凿始于1932年,到1934年春天,共雇用7.5万名工人和工程师,其中许多人是农工和古拉格囚犯。挖凿是极其危险的工作,火灾频繁,更因土壤的松软而塌方连连。100多人死于第一条地铁线的建设,它全长12公里,连接索科尔尼基和高尔基公园。20世纪30年代,莫斯科所有的主要建设项目都雇用古拉格劳工(首都附近就有不少劳改营)。25万名囚犯参与了莫斯科至伏尔加河的运河开掘,为的是向首都不断增加的居民人口供水。其中许多人死于体力耗尽,尸体就埋在运河的地基中。斯大林的莫斯科,在许多方面向彼得大帝的首都寻求灵感,像圣彼得堡一样,也是以奴隶尸骨为地基的乌托邦文明。

    第一条地铁线在1935年启用,莫斯科共产党的主管拉扎尔·卡冈诺维奇誉之为无产阶级的宫殿:“我们工人乘坐地铁时,应该是欢快喜悦的,应该想象自己身处一座因社会主义的胜利而光芒四射的宫殿。” (248) 该地铁站像宫殿一般,饰有吊灯、彩绘玻璃、黄铜和镀铬的饰件,墙壁由大理石(20个不同种类)、斑岩、缟玛瑙、孔雀石装饰而成。马雅可夫斯基地铁站(1938年)可与教堂媲美,它的中央大厅以椭圆形的穹顶、马赛克的大理石地板、不锈钢的拱门,造就了明亮崇高的气氛。20世纪30年代后期,韦斯宁兄弟设计了斯大林工厂地铁站,希望获得身处大教堂之内的气氛。落成的地铁站(1943年),以哥特式的大理石高柱、空间和光线的巧妙利用、描绘五年计划“成就”的汉白玉浮雕(包括马格尼托哥尔斯克钢铁中心、斯大林工厂、苏维埃宫殿和莫斯科至伏尔加的运河),完美地实现了这一初衷。 (249) 这些无产阶级宫殿的辉煌,与大多数人生活空间的拥挤和肮脏,形成了鲜明的对比。另一方面,它们又发挥了异常重要的宣教功能(与历史上教会扮演的角色没有两样)。地铁站的华美激励了民众的自豪和崇敬,加强了他们对公共目标和苏维埃价值的信念。

    韦斯宁兄弟也参与兴建私人住宅,被要求设计两居室和三居室的公寓,就像米哈伊尔·沃希切斯基和法尼娅·拉斯金娜婚后居住的。法尼娅回忆:“我们非常高兴,这是我们第一次住上了带有私用厨浴的公寓。米夏[米哈伊尔]有了自己的书房。如有来客,也还有空余的客房。” (250)

    这种对私人公寓的重新重视,象征了苏维埃住房政策的根本转变。20世纪20年代,建造新型集体住房的乌托邦梦想主宰一切,布尔什维克优先考虑“公社房屋”——庞大的共用社区,容纳数千工人及其家人的一长排房间,厨房、盥洗、洗衣设施都属共用,让妇女从家务琐事中解放出来,让居民学会集体生活。当代建筑师联盟中的建构派,一直站在这苏维埃运动的前列,他们要废除一切私人领域,让人们过集体生活。但莫斯科的住房政策在1931年出现大的扭转:尽管苏维埃首都的住房长期紧缺,超过百万的新居民又使之加剧,新政策仍规定,莫斯科的主要建筑类型将是单个家庭单元的豪华住宅。

    这一政策变化显然跟政治和工业新精英的崛起有关,需要提供物质奖励以保证他们对斯大林政权的忠诚。五年计划需要大量的技术人员、行政官员、经理人,遍布所有的经济部门。据国家计划委员会(Gosplan)的主席称,工业部门仅在1930年就需要43.5万名工程师和专家。斯大林的领导机构不信任旧工业精英(属于资产阶级,1928年的苏维埃工程师中只有2%是党员),其中很多专家一直反对工业五年计划极端乐观的目标。在1928至1932年的工业恐怖中,那些专家遭到了大规模地清洗(作为“破坏者”和“颠覆分子”)。其时,五年计划引起的混乱和燃料、原料的不时中断,使工厂不得不关闭。工人们拿不到工资,遂愤起声讨他们的主管。工业管理阶层、经济委员会、规划机构、大专院校、教学机构,清除了身居高位的“资产阶级专家”,为“无产阶级知识分子”的晋升创造了机遇。第一个五年计划是工厂技校的全盛时期,为不断增加的工业职业和行政职位,培养了适当的人选,其中许多人前不久刚刚从农村前来。从1928到1932年,工厂技校的学生人数从180万跃升至330万(将近一半是农民);14万工人从车间工作晋升为管理人员(其中很多人一边上班,一边培训);150万工人离开工厂,或担任行政职务,或赴高级院校进修。同时,还有100万工人入党。党领导尝试扩充无产阶级的社会基础以支持和实施党的政策,因而降低了入党要求(在许多工厂,全体员工集体入党)。 (251)

    斯大林需要可靠的支持。“大转变”酿造了社会的混乱和广泛的不满,从而动摇了他的领导权威。党和苏维埃的档案中充斥着来自愤怒的工人和农民的投诉信和请愿单,哭诉“五年计划”造成的苦难。他们写信给苏维埃政府、最高苏维埃主席团主席米哈伊尔·加里宁,甚至直接写给斯大林本人,抱怨集体化和过度征粮的不公、在工厂遇到的麻烦、苏维埃官员和经理的腐败、住房和食品的短缺。 (252) 他们并不是任由命运摆布的顺民,全国各地都有起义和罢工。 (253) 在许多城市的大街上,反苏维埃的涂鸦,几乎与苏维埃的宣传一样醒目。 (254) 在农村,反苏维埃的牢骚体现于一些押韵歌谣之中:

    五年计划,五年计划
    五年计划,十年见效。
    我不去集体农庄:
    那里没有面包! (255)

    就斯大林的路线而言,党内虽然没有正式的反对意见,却有大量潜藏的异议和不满,主要是针对1928至1932年的巨大人力消耗。到1932年,他们逐渐汇聚为两个非正式的集团。一个由托洛茨基的前追随者组成,来自20世纪20年代的左翼反对派(斯米尔诺夫、托尔马乔夫、艾斯蒙德等),他们召开各种会议,谈及如何把斯大林赶下台。另一个由较温和的右翼反对派残余力量组成,带头的是新经济政策支持者,如李可夫和布哈林,其中特别活跃的是莫斯科的一个前任区委书记留汀。他在1931年3月筹办老同志秘密聚会,其结果是一份长达194页的打印文件,题为“斯大林和无产阶级专政的危机”。该文件详细批判了斯大林的政策、统治方法和个人品性,在党员队伍中私下传阅,直到被国家政治保卫总局截获。所谓留汀政纲的全部重要成员被捕,并于1932年的秋天被开除出党和判刑,其中大多数人在1937年的大清洗中被枪决。其时,更多的老布尔什维克,即1917年的老革命,被控与这个集团相互勾结。 (256)

    留汀集团的暴露增加了斯大林对党内反对派的偏执猜疑。1932年11月,又发生了妻子娜杰日达·阿利卢耶娃的自杀事件,这一切让斯大林精神错乱,使他怀疑每一名随行人员。1933年1月,中央政治局宣布对党的队伍实施彻底的清洗。相关的指令并不提及涉嫌加入反对派的成员,只呼吁把“欺骗党、隐匿真实企图,表面上发誓忠于党、实质上削弱党政策的两面派”驱逐出党,从而挑明党的紧急任务是向党领导靠拢,以铲除持不同政见者。 (257)

    20世纪30年代,党的性质通过吐故纳新发生了渐进的演变。老布尔什维克节节败退,新兴的党员官僚阶层崛起于工业基层,主要是晋升为行政官员的工人。他们是农民和无产阶级的儿子(极少是女儿),在第一个五年计划时期受训于工厂技校和其他技术机构。这一代行政官员成了斯大林政权的支柱,到斯大林统治落幕时,占了党高级领导的很大比例(在1952年的苏维埃政府中,他们在115位部长中占了57位,包括列昂尼德·勃列日涅夫、安德烈·葛罗米柯、阿列克谢·柯西金等)。 (258) 20世纪30年代早期涌现出的精英,一般来讲,比较循规蹈矩,比较听从当初提拔他们的领导干部。他们平均只接受过7年教育,很少能作独立的政治思考,只会借用报刊上党领导的发言,鹦鹉学舌,重复其宣传口号和政治术语。 [2] 他们对马克思列宁主义的实际认识非常浅薄,全以《联共(布)党史简明教程》(1938年)为准。那是斯大林组织编写的党史,他们却背得滚瓜烂熟,完全认同斯大林政权,双方的价值和利益都是一致的。他们急于实施上级的命令,以此推动自己的职业生涯。

    这些新精英的特征在阿尔卡季·曼科夫的日记中得到尖刻的描绘。阿尔卡季是列宁格勒红三角工厂的会计,父亲是律师,自己在工厂上班是为了取得“无产阶级”身份,并能进入图书管理员学院求学。他在1933年日记中描述他的上司——一个25岁的年轻人,像数万青年人一样开始他的职业生涯:

    他不知来自何方,现身于列宁格勒的街头,通过劳工交流所找到一份工厂工作。数月之后,他便加入共青团,成为一名积极分子——也就是说,完成上级吩咐的一切任务——开会积极发言,炫耀他所知道的斯大林和莫洛托夫的文章。于是,他突然晋升为劳工经济学家,转到行政部门工作……他取得的成就,既有一个重要的称号,又有很丰厚的薪水(每月300卢布)。他给人一个成功人士的印象,很满意自己的成绩和地位,脸上挂着甜蜜的笑容,身穿一尘不染的英式白衬衫、领带和黑色新夹克,面带自信甚至傲慢的神态。他虽身居高位,却没有具体工作,净管些琐碎小事:留心员工的行止,检查账目,设置工作的规范。他认为自己什么都要管——为了表达工厂的意见——有时坚持,有时大声嚷嚷,有时施加威胁。他收集信息,填写从来没人查看的无谓的表格和卡片。他热衷于调查车间内的技术革新是否合法,老是在翻阅工人的规则手册。 (259)

    这种行政官员为了物质和政治的奖励,会很容易攻击其在苏维埃等级制度中的对手。1932年,庞大的工业集团特兰斯玛西科技公司的经理,写信给苏维埃主席团主席米哈伊尔·加里宁说:

    苏维埃政权的问题在于,最卑鄙的人反而得心应手,官运亨通——他们刻板地执行最高权威的宏观设计……这种官员从不讲实话,因为不想让领导受窘。看到对手管辖的地区或病房正在遭受饥荒和瘟疫,他却幸灾乐祸。他绝不会动一根手指头来帮助近邻……我在周围看到的,都是可恶的政治权术、肮脏的伎俩和因口舌而被毁的人。举报不止,看不到尽头。你随口吐一口吐沫,都很难不招惹声讨者或骗子们的攻击。我们都变成什么了?都快透不过气了。越是无才的混蛋,他的诽谤就越是寡廉鲜耻。当然,清洗共产党与我无关。我只是认为,尚存的体面人士将会被赶尽杀绝,这就是它的最终结局。 (260)

    托洛茨基的《被背叛了的革命》(The Revolution Betrayed, 1936年)概述了他的“苏维埃热月”理论。他指出,斯大林的权力依赖于庞大的“行政金字塔”,人数约在500万至600万。 (261) 这新兴的执政阶层并未继承老布尔什维克的民主本能,或对斯巴达的崇拜。老布尔什维克因此担忧,新经济政策的资产阶级影响将会腐蚀广大的党员。该执政阶层又希望成为苏维埃的新资产阶级,其兴趣集中于舒适的家居生活、对物质财富的占有以及“文雅”的爱好和举止。他们的社会意识是反动的,紧紧抱住家长制家庭的习俗不放;即便在政治上相信共产主义,在文化品位上仍是守旧的。他们的主要目的是捍卫苏维埃制度,他们物质上的福祉和社会中的地位全靠这个制度。

    反过来,这个制度又确保了他们的满意。之前,消费行业为了赶建新厂新镇而资金短缺,但在第二个五年计划(1933—1937年)中,获得了政府的追加投资。到20世纪30年代中期,食品、衣服、家庭日用品的供应明显改善(当时的数百万孩子都能记得,他们穿上第一双新鞋的时间都是在1930年代中期)。从1935年秋天起,配给制逐步取消。根据苏维埃的宣传,随着商店橱窗的充实,消费者的乐观情绪高涨。照相机、留声机、收音机大批量生产,以满足新兴城市中产阶级的需求。甚至奢侈品的生产(香水、巧克力、白兰地、香槟)也有稳步的上升,其主要顾客是新精英,其价格在苏维埃节日有所下调。以前只有富人享用得起的奢侈品,现在的劳工大众,只要努力工作也能买得起。这样的印象,对维持“美好生活”的苏维埃神话非常重要。新的消费杂志向苏维埃顾客提供日益多样化的时装和家具设计,百货公司和豪华商店的开张获得媒体的大肆渲染。叶利谢耶夫食品店改名为第一食品商店,1934年10月在莫斯科的高尔基大街重新营业。《莫斯科晚报》(Evening Moscow)宣布:“新店将出售1200多种食品。”

    食品部有38种香肠,包括之前从未在任何地方出售的20个新品种。该部门还将出售3种奶酪——卡门培尔奶酪、布利乳酪、林堡芝士——都是商店特地订制的。糖果部有200种糖果和糕点……面包部有50种面包……

    第二天来店里参观的共有7.5万人(有人猜测,大部分只是来看看)。

    对照于革命后前10年布尔什维克的革命禁欲主义,这种对苏维埃消费文化的提倡,可算是意识形态上的急遽撤退。甚至第一个五年计划,仍在呼吁共产党人为党的事业牺牲自己的幸福。到如今,苏维埃领导却发出决然相反的信息:消费主义和共产主义可以兼容。斯大林在1934年争辩,社会主义“所意味的不是贫穷和贫困,而是贫穷和贫困的消亡,并为社会所有成员提供丰富多彩的生活”。斯大林这个想法,起源于1935年的集体农庄劳工会议。当时,他批评尝试取消家庭财产的集体农庄,要求让集体农庄工人保留家禽和奶牛,分得更多的自留地,以刺激他们对集体农庄的兴趣。斯大林还告诉与会代表,“人就是人,想拥有自己的东西”,这不算“犯罪”——想要私人财产是人的本能,“改变人的心理和教人过集体生活还需要很长一段时间”。 (263)

    从革命禁欲主义撤退回来的另一迹象,是党开始重视个人的外观和礼仪。早期布尔什维克认为,关心如此小事是反社会主义的。但从20世纪30年代起,党宣布年轻共产党员必须具有文雅的举止和良好的仪表。《真理报》在1934年宣称:“我们赞成美丽、别致的服装,漂亮的发型,整洁的指甲。女孩应讨人喜欢,香水和化妆是优秀女共青团员的‘必须’,男共青团员剃须更是强制性的。”香水和化妆品的销售,无论是数量还是品种,在20世纪30年代都有显著增长。大家还开会来讨论服装时尚和个人卫生。 (264)

    追求乐趣也成为新的重点。斯大林在1935年宣布:“同志们,生活变得更好了。生活也带来了更多欢乐,而当生活充满欢乐,工作就会顺利。”早期布尔什维克斥为轻浮追求的跳舞,获得斯大林政权的正式鼓励,很快风靡一时,到处涌现新开的舞蹈学校。莫斯科的公园出现了嘉年华会,大街上有了庆祝苏维埃节日的庞大的游行队伍。苏维埃电影界拍摄了一些欢乐的音乐剧和浪漫喜剧。人们还没有很多面包,却有大把的马戏团。

    斯大林政权的巩固与社会等级制度的建立紧密相连,该制度又以物质奖励为基础。对金字塔顶端的人来说,勤奋和忠诚能带来即时的奖励;对底部的人来说,只有奖励的许诺,兑现则还须等待共产主义的实现。所以,该政权又与理想中的社会的建立相连。该社会的核心是新兴的中产阶级,其成员包括党和工业的精英、技术精英、专业人士、军警人员以及艰苦奋斗赢得声誉的劳动模范(the Stakhanovites)。 [3] 该社会等级制度的原则就是对国家的服务。在每一个机构内,第二个五年计划的口号(“干部决定一切!”)旨在扶植国家忠实的仆人,他们的忠心耿耿可获得优渥的回报,例如较高的薪酬、特殊的消费品、苏维埃的头衔和荣誉。

    从20世纪30年代中期起,苏维埃政权鼓励传统的(“资产阶级”)家庭价值观,进一步推动了中产阶级的涌现。这也是一个戏剧性的逆转,因为从1917年以来,党一直在追求反家庭的政策。这一转变部分原因是为了因应“大转变”对人口造成的影响:出生率出现灾难性的下降,严重威胁到国家的劳工供应和军事实力;离婚率增高,遗弃儿童已成普遍现象;家庭变得支离破碎,留给政府来应付残局。回归到传统的家庭价值观,也反映出工业和政治精英的新保守主义,他们中的大多数人不久前还属于农民和工人的阶层。如托洛茨基在1936年所写的,政策变化只是苏维埃政权坦率的认输,它“强攻旧家庭”的乌托邦尝试——铲除私人生活的习俗,培植集体生活的本能——已经一败涂地。

    同样,从20世纪30年代中期起,党对家庭和私人住宅采取了更为宽松的措施。私人生活的概念(chastnaia zhizn’)——即不受国家查控的封闭且独立的领域——仍在意识形态上遭到否定,但个人生活的概念(lichnaia zhizn’)——即接受公众监督的个人或家庭的领域——却得到国家的积极推广。在这种公私分别的配置中,私人和个人的东西只表现在个性上,公共领域仍占统治地位,仍要求了解个人生活的方方面面。实际上的效果是解放出一个四面墙包裹的空间,容许家庭私事的自由表达(消费口味、生活方式、家庭习惯等),但又保留了对私人行为的政治控制,特别是对于共产党人。妇女党报《女工》(Rabotnitsa)在1936年宣称:“党不干预共产党人的日常琐事,也不为之设立标准。它并不要求每一位党员在生活中遵守一定的行为规则,只要求他们在私人生活中的所作所为,以党和工人阶级的利益为重。”

    建设私人住宅作为新的重点,是政策改变的标志。所有主要的部委在莫斯科都有自己的公寓街区,分配给自己的领导。曾在20世纪20年代朴素度日的布尔什维克家庭,现在享受了相对奢侈的生活。他们得到各式奖励,例如新住宅、特供的食品商店、带司机的公家车、郊外别墅,以及在特别的政府度假胜地和疗养院度假。对很多此类家庭来说,20世纪30年代是他们第一次获得自己的生活空间和自主权。向苏维埃精英授予郊外别墅——自20世纪30年代起才有大规模的实施——在鼓励私人家庭生活方面尤为重要。住在郊外别墅,远离警惕之眼和窃听之耳,亲戚们可以畅谈,要是在公共场所,那是不可思议的。此外,简单乡村生活的日常活动——游泳、爬山、采蘑菇、读书、院子里的闲逛——让家人得以暂脱苏维埃社会的约束。

    在家庭内部,斯大林政权提倡回到传统的家庭关系。婚姻变得光荣,婚姻登记处布置得漂亮光鲜,婚姻证书都印在优质纸张上(来自维舍拉),不再是以前的包装纸。戒指作为基督教遗存在1928年遭禁,1936年之后又重现于苏维埃商店。一系列旨在加强苏维埃家庭的办法出笼:收紧有关离婚的法规,大幅提高离婚费,导致离婚率的急速下降;提高孩子的抚养费,取缔同性恋和堕胎。在苏维埃的精英当中,性态度开始回归传统,甚至变得相当拘谨。优秀的斯大林主义者应遵循一夫一妻制,并奉献于自己的家庭。根据对他个人崇拜的宣传,斯大林便是如此的榜样。 [4] 布尔什维克在亲密关系中的行为也受到密切关注。如被认作坏父亲或坏丈夫,因而被开除党籍之事,也时有发生;同时又希望党员妻子,重回在家抚养孩子的传统角色。

    推动家庭成为国家的基本单位,迎来了家庭在思想上的恢复名誉。1935年,一名教育家写道:“家庭是我们社会的主要细胞,其抚养子女的职责来自其培养良好公民的义务。”从20世纪30年代中期起,斯大林政权愈益通过家庭的比喻和象征,来塑造自己的形象——其时,千百万人发现自己虽然身处全新的陌生环境,而家庭的价值体系却是他们所熟悉的。对斯大林的个人崇拜,在那几年蓬勃兴起,把他比作“苏维埃人民之父”,就好比尼古拉二世在1917年以前曾被比作俄罗斯人民的“沙皇父亲”(tsar-batiushka)。各式社会机构,如红军、党、共青团甚至“无产阶级”,都被重新想象为大家庭,通过同志关系来提供更高形式的归属感。在这个家长制的党国,父母的角色此时上升为权威人物,在家里坚持苏维埃的道德准则。《共青团真理报》在1935年宣称:“年轻人应该尊重长辈,尤其是自己的父母。一个人必须尊重和热爱父母,即使他们老派,并不喜欢共青团。”相对于当年对帕夫利克·莫罗佐夫的个人崇拜,鼓励苏维埃儿童举报反对政府政策的父母,这真是戏剧性的变化。到1935年,政府重新诠释对莫罗佐夫的个人崇拜,低调处理帕夫利克的举报,改而强调新的理念,如帕夫利克的努力工作和遵守纪律。 (267)

    这些年中长大的苏维埃精英的孩子,对此非常怀念,尤其是对“正常的家庭生活”。玛琳娜·伊万诺娃1928年出生于高级党员家庭,父亲在列宁格勒东南50公里外的姆加镇担任党委书记。她家在那里有一栋宽敞的乡间房子(dacha),但多数时间住在曾是贵族的祖父在列宁格勒的公寓。玛琳娜回忆:

    那套公寓太豪华了,有10个大房间,我这个孩子可以任意跑来跑去。房间里的天花板很高,窗户很大,可以望见花园……列宾和列维坦的油画[复制品]挂在墙上。三角钢琴和台球桌分别立在两个会客室里……这公寓是我童年回忆中最幸福的所在。我记得熙熙攘攘的聚会,亲戚、朋友,加上他们的孩子,都来我家庆祝新年。孩子们穿上化装舞会的服饰,爸爸装扮成弗罗斯特叔叔,给每个人带来巧克力和礼品,放在新年树的周围。 (268)

    伊娜·盖斯特的父亲阿隆,1932年就任国家计划委员会的农业部门主管,全家就搬进了专为苏维埃高级官员保留的莫斯科著名公寓(河堤大楼公寓),面对克里姆林宫。他们的公寓很大,装饰有政府提供的最新式苏维埃家具,还有一个藏书数千册的家庭图书馆。全家享受有教养的俄罗斯生活,既有共产主义理想,又有苏维埃精英的特权。他们有莫斯科大剧院高级包厢的通行证,还有频繁的假期,可以前往克里米亚和莫斯科郊区的特别度假村。但伊娜最美好的回忆,还是他们在尼科利纳·戈拉的乡间房子里度过的夏日:

    乡间的房子坐落在小山峦的美丽松林中,就在莫斯科河拐弯处的上方。这个地方真是太漂亮了,是莫斯科最美的地段之一……我们的房子就在高高的河堤上,可俯视莫斯科河。那是两层的大房子:舅舅韦尼阿明掩饰不住他的羡慕,称之为“别墅”(villa)。楼上楼下各有三个大房间,还有一个大阳台。房间里经常挤满了人,总是有父母的亲戚来访——主要是我的表亲。周末,父母的朋友从莫斯科过来……我有邻近乡间房子的自己的朋友,我们大部分时间都花在河上。爸爸建了从房子走下河边的楼梯,让祖母更容易走到水边。那是一条蜿蜒陡仄的楼梯,至少有100个台阶。我们离开后,人们仍把它称作盖斯特的楼梯。它的下端有一个小小的木码头,可供游泳,但周围的水奇深,只有与父亲一起,我才被允许在那里游泳。朋友和我都喜欢克尔任采夫乡间房子的码头,那里的水浅,很适合游水。 (269)

    但这种美好的回忆并不是每个人都有的福分。对许多家庭来说,20世纪30年代是紧张气氛愈演愈烈的时期。传统关系的恢复,经常在丈夫和妻子之间制造摩擦。对苏维埃家庭素有研究的托洛茨基认为,斯大林政权背叛了当初布尔什维克革命家的允诺,即把妇女从家务羁绊中解放出来。有关工人家庭中家务分配的统计数字,证明了他的判断。从1923到1934年,职业女性花在家务上的时间是丈夫的3倍,到1936年更升至5倍。对于女性而言,20世纪30年代没有带来任何变化——她们在工厂上班,回到家里再做第二班,做饭、打扫、照顾孩子,平均每晚5小时——男子因工人住宅的现代化,即自来水和煤电的供应,得以解脱于传统的家务(劈柴、挑水、准备火炉),从而有更多时间追求文化和政治。 (270)

    托洛茨基也考虑到家庭中的性别政治:

    有关苏维埃的伟大史籍,其戏剧性章节之一就是苏维埃家庭的解体和破裂:丈夫作为党员、工会会员、军官、经理而蒸蒸日上,在生活中增添新口味;妻子因肩负家务琐事的重压而原地踏步。在两代苏维埃官僚的人生轨迹中,妻子最终遭到遗弃的悲剧比比皆是。同样的现象又在新的一代中出现,最可怕的粗鲁和残酷,恐怕就在官僚机构的顶端——那里相当大的比例是暴发户,很少文化修养,以为自己可以为所欲为。档案和回忆录总有一天将暴露对妻子乃至其他女性的赤裸裸的犯罪,而作恶者凭借自己的高位却无惧起诉,往往还在鼓吹家庭道德和强制性的“母亲的快乐”。 (271)

    弗拉基米尔·马赫纳茨1903年出生于乌兹达村的贫农家庭,位于白俄罗斯的明斯克以南60公里。母亲在生他时去世,父亲在1906年移居美国,把弗拉基米尔交与姑妈抚养。他14岁时逃离家乡,加入赤卫队,参与了1917年10月在明斯克的夺权战斗。之后的4年中,他作为红军,又与内战中入侵苏俄的波兰军队交战。弗拉基米尔在1921年加入布尔什维克,开始在莫吉廖夫农业学院学习,在此遇到并爱上了玛丽亚·乔索娃。玛丽亚1904年出生于克里切耶夫小镇的农民商人家庭,位于莫吉廖夫城以东100公里。她是六姐妹中的老幺,又是家中第一个读大学的孩子。玛丽亚1925年从农业学院毕业,在农学和经济学方面尤其卓越。弗拉基米尔与玛丽亚作为事实上的丈夫和妻子(恰似20世纪20年代的许多苏维埃青年,他们拒绝登记结婚,视之为反抗资产阶级习俗的标志),在莫吉廖夫城同居。弗拉基米尔自农业学院毕业后投入研究工作,1928年搬去莫斯科加入泥炭研究所(泥炭被布尔什维克视作重要的能源),在伊万·拉达琴科的辅导下撰写论文。拉达琴科是布尔什维克的老将,又是列宁的朋友,其时担任该研究所的主管。弗拉基米尔无可挑剔的履历、无产阶级出身、对斯大林工业计划的热情,很快引起莫斯科党组织的关注,1932年便要他与拉达琴科合作,为莫斯科发展新的能源供应。弗拉基米尔成为莫斯科煤气托拉斯——新成立的工业园区——的首任主管,向迅速扩展的首都提供天然气。

    玛丽亚跟着弗拉基米尔来到莫斯科,在农业委员会担任经济学家,直到1933年儿子列昂尼德出生。弗拉基米尔进入莫斯科煤气托拉斯之后,全家即从原先的共用公寓小房间搬到麻雀山(1935年改名为列宁山)宽敞的独用公寓。他们享有斯大林时代新精英的所有特权:带司机的政府高级轿车,银松林专区的私人乡间别墅(dacha),专为党干部保留的秘密商店——难买的消费品在那里一应俱全。列昂尼德描述他早年的记忆:

    虽然记忆零零碎碎,但仍有丰裕的感受,还有神奇童话般的氛围:我骑在父亲结实的肩膀上,看到海洋一般的灯光闪烁,以及大理石的斑斓璀璨(肯定是在莫斯科新落成的地铁站)……  5月1日,我们还去了红场的列宁陵墓。 (273)

    玛丽亚雇了一名保姆,住在马赫纳茨公寓的储物室里。玛丽亚的意图是想返回农业委员会工作,但弗拉基米尔强烈反对(他告诉玛丽亚“党的高级领导的妻子应该待在家里”),当妻子试图说服时,他大发脾气。像许多男性党干部一样,弗拉基米尔认为,家庭生活应服从于他对党的责任。因为对党来说,他的工作比妻子的更为重要,她的职责就是组织“秩序井然的共产党家庭”,以免除他的后顾之忧。1935年11月,他出差去列宁格勒,在旅途中写信给玛丽亚:

    我亲爱的!我要离开几个星期。我会写信告诉你我的近况和要麻烦你的事项。暂时,我只要这几本书[下附书单]……装饰一下我们的大厅是个好主意,它有点偏暗。就讲这些了。确保我们的小家伙安全健康,照顾好自己,出去时穿得暖和些……忘掉你想回去工作的幻想吧,现在你的岗位就在家里。 (274)

    重回“资产阶级”的物质价值观,有时变成家庭关系紧张的又一来源。阿纳托利·戈洛夫尼亚是苏维埃电影界的重要人物,他是弗谢沃洛德·普多夫金的摄影师,两人合作密切。普多夫金导演了几部经典电影,例如《母亲》(1926年)、《亚洲风暴》(1930年)、《逃兵》(1933年),五次荣获斯大林奖。戈洛夫尼亚1900年出生于克里米亚的城镇辛菲罗波尔,他两岁时,身为小贵族的父亲就已去世,全靠母亲凭借小额养老金把他和弟弟彼得带大。全家搬到了赫尔松城,两兄弟获得贵族议会的赠款,就读于第一预备学校——相当于普通中学。10月革命后,阿纳托利加入契卡,彼得却加入白军。1920年,阿纳托利率领一小队契卡,向驻扎在附近的白军发起伏击。该白军的首领恰恰是他最要好的同学,其父亲是贵族议会的主席。阿纳托利不忍下手,他让部下畅饮伏特加,自己悄悄越境告诫白军逃走。这段经历——记载于他的日记,从未出现在他的履历中。之后3年,阿纳托利在外漂泊,躲避红军。一开始,他在塔什干定居,有志于成为一名农学家,却遭到农学院的开除,只好逃去莫斯科。1923年9月,他在国家电影技术学院学习摄影,那是苏维埃首都新建的电影学校。他在此遇到并爱上了柳芭·伊万诺娃——一名非常漂亮的年轻演员,来自乌拉尔的车里雅宾斯克城,刚刚抵达莫斯科。她1905年出生于农民家庭,在14个兄弟姐妹中排行老幺。他俩很快结婚,但聚少离多,各忙自己的电影工作。女儿奥克萨娜经常坐火车去赫尔松城与祖母同住,或去车里雅宾斯克城与姨妈做伴。

    1933年,阿纳托利和柳芭分配到第一套公寓——共用公寓中的两个小房间,那是一座附属建筑,坐落在莫斯科市中心住宅区的大院里。其时他们的女儿奥克萨娜7岁,她在回忆录(1981年)中这样描述他们的公寓:

    地板漆成了红色[因为没有地毯]……今天追求物质享受的年轻人,会以为自己走进了一个出售遗弃家具的旧货商店,甚至是一个垃圾场。我们公寓中最珍贵的是斯拉夫式的五斗柜,所有厨房用品都放在一个漆成白色的自制橱柜里,还有两张弹簧床垫、爸爸的写字台、三个带玻璃面板的芬兰式书柜——那是我最喜欢的家具,里面有很多书……我睡一张折叠行军床,位于客厅的一角,躲在瓷器立柜的背后。那张行军床是唯一“属于”我的东西,我会在晚上跟它交谈,我曾以为,我的梦都是它讲的故事。 (275)

    这就是苏维埃电影界两位重要人物的简易居所。其时,柳芭是国际工人救灾电影厂的当家花旦,已演过几部默片。阿纳托利漠视个人财产,经常称自己强烈反对奢侈和优裕是基于“原则”。奥克萨娜回忆:“他拥有相当数量的只有白衬衫和领带。”阿纳托利的朴素植根于自己阶层的价值观(很多重要的作家、艺术家、思想家、革命家来自俄罗斯的破产贵族),以及母亲的节俭习惯。他母亲只有微薄的寡妇养老金,全凭自我牺牲才支撑了孩子的求学。布尔什维克在1917年之所以吸引阿纳托利,正是这种努力工作和纪律严明的精神。他的孙女说,“他的性格中总有契卡的影子。作为祖父,他很严肃,也很严厉,从来没有宠爱过年幼的我”。 (276)

    柳芭则不同,开朗热情,情感丰富。她在家里是最年轻最漂亮的,一直受宠,并渴望享受莫斯科的上流生活。她穿的是昂贵的服装,拥有很多珠宝。1934年,柳芭爱上了国际工人救灾电影厂英俊且富有魅力的主管鲍里斯·巴别茨基,随即抛弃阿纳托利,搬去莫斯科郊外克拉托沃的乡间别墅,与巴别茨基以及他的儿子(沃利克)同住。到秋天,柳芭和鲍里斯回到莫斯科,搬进共产国际酒店(即勒克斯酒店)的宽敞公寓(楼上就是国际工人救灾电影厂办公室)。该公寓非常豪华,沿着走廊有4个铺着木地板的大房间,另有一个大厨房——管家和保姆就睡在那里。奥克萨娜回忆:“这是一座宫殿,一家博物馆,一个童话。”她在1935年也搬去那里。室内装饰由共产国际一名法国工人设计建成,家具——珍贵的古董、青铜花瓶、皮椅、波斯地毯——都是从列宁格勒内务人民委员会的仓库廉价购入的。列宁格勒党的负责人谢尔盖·基洛夫在1934年12月遭到刺杀,依照斯大林的命令,不少贵族和资产阶级被捕,并被逐出自己的住宅,那些家具就是这样被没收来的。奥克萨娜回忆:“妈妈非常自豪于自己的收购,喜欢将买下每一件东西的故事告诉我们。” (277)

    阿纳托利的母亲,即强势的利季娅·伊万诺夫娜,始终坚持自己旧贵族的价值观,认为柳芭沾上了“资产阶级的矫揉造作”,还嘲笑她的衣服和家具“低级趣味”。在利季娅的眼中,它们只是反映出了“苏维埃新精英的物质占有欲”。她认为儿子娶了门不当户不对的女子,一度在激烈争持中称他们俩婚姻的结晶奥克萨娜是“革命中的最大错误”。她相信,柳芭投入巴别茨基的怀抱,是因为他更能满足她的娇贵口味。阿纳托利因柳芭的离去而变得心烦意乱,利季娅解劝他,如果有更大的公寓,或许能诱使她回心转意,但阿纳托利不愿在原则问题上作出妥协。奥克萨娜在回忆录中回顾这些事件,归纳出引起家人争吵的三种相互矛盾的财产观:贵族的旧姿态,布尔什维克革命家的斯巴达式,以及苏维埃新精英的物质享受。奥克萨娜同情母亲,认为她之所以喜欢乡间别墅,与其说是为了占有,毋宁说是在找回童年生活:

    妈妈常说,我们去“我们的乡间别墅”——好像它是属于我们的。我记得这些,是因为爸爸常说他反对私人拥有财产的想法。在那个年代,我没有财产的概念,不能理解母亲拥有自己的东西的心愿。今天,我理解得更深,才知道这不光是财产的问题。妈妈不只是在建造一栋乡间别墅——而是想建立一个家庭。她为家人做出了实在的安排,就像她的农民祖先历来所做的。她爱鲍里斯,她爱我,她爱沃利克,这种爱是她的家庭重心。 (278)

    很少人能享有柳芭·戈洛夫尼亚那样的生活方式。对大多数苏维埃人来说,20世纪30年代是物资短缺的时期。新的官僚阶层,即使可以光顾特殊商店,也得不到丰富的商品供应。据估计,在20世纪30年代的前期,有资格领取特殊供应的家庭共约55500家(苏维埃新权贵阶层的可靠估计),其中住在莫斯科的约有45000家。所获得的特殊供应,仅允许他们比绝大多数人生活得大为舒适,但按西方的标准,他们的生活水准仍然很是平常。下面是莫斯科的市中心政府工作人员家庭每月的配给清单,时间是1932年:

    4千克肉/ 4千克香肠/ 1.5千克黄油/ 2升油/ 6千克鲜鱼/ 2千克咸鲱鱼/ 3千克白糖/ 3千克面粉/ 3千克谷物/ 8罐食品/ 20枚鸡蛋/ 2千克奶酪/ 1千克黑鱼子酱/ 50克茶叶/ 1200支香烟/ 2块肥皂

    这些家庭还可凭政府发给的优惠券,从特殊商店购买衣服和鞋子。如果商店进了高级食品或是生活消费品,他们又享有优先权。但享有如此特权地位的毕竟是少数。大多数斯大林的行政官员,只能过温饱的生活,可能有几套额外的衣服,以及稍大于普通公民的居住空间。曼科夫在日记中不无讽刺地指出:“任何人能梦想的最多是:两三套不同的服装,其中一套是进口的;进口的自行车(或摩托车);无限制地购买每千克11卢布的葡萄(正好有货时)。” (279)

    货物的分配与社会政治等级制度中的权力或地位有直接的关联。苏维埃精英之下的人,只有很少的财产——大多数人只有一两套衣服,大家能吃饱就已不错了。即便分配这些少量的商品,也有一个严格的排序制度。各式雇员之间存在数不清的等级,以工作场所的地位、技术水平、经验多寡、地理位置为衡量标准。譬如,莫斯科和其他大城市的工资,就要高于省级城镇和农村的。尽管有人人平等的形象和理想,但在事实上,这仍是一个等级森严的社会,即使都是穷人,也存在硬性的等级。

    私人贸易部分地补偿了计划经济的不时短缺。人们在跳蚤市场出售或交换他们的日用品,如果负担得起,还可在政府容忍的少数几家菜市场,购买集体农庄工人在自留地种植的农产品。人们允许在国营商店出售自己的家具和其他贵重物品,或在外汇商店(Torgsin)以首饰和外币交换高级食品和消费品。外汇商店出现于20世纪30年代初,为的是吸收居民的储蓄,向五年计划提供资本。在计划经济的边缘,黑市蓬勃发展。国营商店缺货的商品却在柜台底下以高价出售,或被调给私商(向经理支付贿金的朋友),拿去黑市出售。随即涌现出一种“互惠的经济”,通过后台和顾客的非正式网络(blat),来应付供应的短缺。如果没有这些私人关系,苏维埃经济在许多方面都不能正常运作。办任何事(租房、家用品、铁路客票、护照、官方文件),都需要私人关系——家人、亲戚、同事、朋友,或是朋友的朋友。这种黑市原则也应用于苏维埃的工厂和机构,那里许多商品和服务的提供和交换,也以私人关系和人情为基础。苏维埃的宣传视之为一种腐败(铲除这种非正式小网络的口号在大清洗中发挥了重要作用),很多工人赞同这一观点。但大多数人感到非常矛盾:他们承认这样做在道义上不对,肯定属于不合法,但像每个人一样,都要凭此来满足自己的需求,以应付一个他们知道是不公平的制度。没有非正式小网络,就不可能在苏联过得舒服。正如谚语所说的:“一个人必须要有的,不是一百个卢布,而是一百个朋友。” (280)

    拥挤的城镇中,住房紧缺到如此地步,以致人们几乎愿意做任何事来增加自己的生活空间。由于大量农民涌入工厂,城市住房承受了巨大压力。莫斯科居民在1930年平均每人仅得5.5平方米的生活空间;到1940年,该数字又降至稍稍超过4平方米。新兴工业城镇的情况更糟,因为那里的住房建设远远跟不上人口的增长。 (281) 例如在马格尼托哥尔斯克城,工人阶级的家庭在1935年平均每人仅有3.2平方米的生活空间。大部分工人住在工厂营房,家人被拆散;或住在宿舍,木床周围挂上的帷幕便是所能拥有的唯一的隐私。马格尼托哥尔斯克的一名女工,为自己的宿舍生活描绘出一幅生动的画面:

    宿舍分割成4部分,但没有单独的房间。厨房很小,转身都难,灶台上摆满了锅碗瓢盆。身穿满是油污的工作服的人(钢铁厂没有淋浴设施)、走廊上的小孩,都在排队取水,还有些可怜的“家具”——金属床、床头柜、自制的桌子和架子。

    很多营房有意没建厨房或厕所,迫使居民前去使用公共食堂、公共浴室、洗衣房。但马格尼托哥尔斯克城的大部分工人,显然不赞同私人生活的集体化,反而喜欢住在地棚(zemlianki)里,尽管条件原始,但好歹还有些许的隐私。1935年,马格尼托哥尔斯克城的居民中,约有四分之一居住在地棚里。靠近工厂和矿区的荒地上,布满了大批的地棚区。苏维埃尝试消灭私有财产的最后领域,但工人表现出顽强的抵制。 (282)

    在斯大林的俄罗斯,围绕人际关系的是对居住空间的争夺。根据娜杰日达·曼德尔施塔姆所说:

    后代人永远都弄不明白,我们的“生活空间”到底是指什么。为了它,无数罪行已经发生。人们与它绑得那么紧,放弃它是永远无法想象的。谁会放弃这珍贵的12.5平方米的生活空间?没人会这么蠢。它像家族的城堡、别墅、不动产一样,传给主人的子孙。讨厌看到对方的丈夫和妻子、丈母娘和女婿、成年的儿子和女儿、成功占了厨房旁边储物室的前佣人们——都要与他们的生存空间结成连理、永不分离。无论是结婚,还是离婚,头等大事就是生活空间的问题。我听闻,抛弃妻子但留下生存空间的男人,被称作完美的绅士。 (283)

    有人假结婚,以此获得一个住所;离婚夫妇仍住同一间房,为的是不放弃各自的生活空间;邻居互相举报,希望能够赢得对方的空间……这样的故事无穷无尽。 (284)

    特维尔省农家遗孀的19岁女儿娜杰日达·斯卡奇科娃,1932年就读于列宁格勒的铁道学院。她住在学生宿舍,与其他几个女孩共用一个小房间。像许多来自农村的新移民一样,娜杰日达未能在列宁格勒登记户籍。由于国内护照制度的推行,她面临被驱逐的危险。她通过一个熟人,找到一名年轻的乌克兰士兵。他在一栋共用公寓中拥有一间房(8平方米),自己即将前去顿巴斯归队。娜杰日达付给了他500卢布与他结婚,便可搬进他的房间。为筹得这笔钱,她母亲卖掉家里最后一头奶牛和其他家什;母女俩一起搬了进去。娜杰日达只见过丈夫一次:

    在他归队前一天的傍晚,我们去与他见面,付完款,就去结婚登记处,再到房管所注册我俩[娜杰日达和母亲]的居住许可。一切顺利,房管所的工作人员朝我们微笑,当然心知肚明——我们钻了空子。他们确认,所有的细节都符合要求。我丈夫第二天一早就走,妈妈和我终于有了自己名下的8平方米……当然,我从没想与他一起过,他是很单纯的乡村小伙子,大字没识几个,过后给我们寄来一两封信——“你好吗?”之类的问候。他把顿巴斯(Donbass)写成了“达巴斯”(Dobas),天哪!这样简单的单词,他都不会拼。 (285)

    苏维埃城市最常见的生活空间是共用公寓,好几户人家共用一套公寓,如果幸运,会有合用的厨房、厕所、浴室(许多城市居民不得不依靠公共浴室和洗衣店)。20世纪30年代中期,莫斯科和列宁格勒的人口中,四分之三住在共用公寓。这种方式的生活,在整个斯大林时期,都是大多数城市居民的常态。 (287) 随着其他的转变,共用公寓的功能也在20世纪30年代发生了实质性变化。20世纪20年代,它的目的是解决住房危机、打击私人生活。现在,它变成了一项重要措施,可让国家的监控进入家庭的私人空间。1928年之后,苏维埃愈益加强其“掺沙子”政策,故意让党的积极分子和忠诚的工人,搬进前资产阶级的家庭,以便监视。

    哈内耶夫斯基一家经历了共用公寓生活的每一阶段。阿列克谢·哈内耶夫斯基来自沃罗涅日城的富裕商人家庭。他在1901年来莫斯科学医,成为一名军医,在第一次世界大战中因表现优异而晋升为中校,并获得贵族头衔。1915年,阿列克谢在莫斯科市中心的普列切斯坦卡大街附近租了一套舒适、宽敞的公寓,与妻子娜杰日达和两个小女儿伊琳娜(1917年生)、艾莱娜(1921年生)及保姆一起生活,一直到1926年莫斯科苏维埃对他实施强行的“掺沙子”政策。最先搬进来的是工人玛法·菲利娜,接着是裁缝瓦西里·卡里亚金一家,最后是老红军尼古拉·沙查诺夫——出身于无产阶级,现已晋升为共产主义学院的教授。当沙查诺夫的第二任妻子与她母亲在1936年搬来时,20世纪20年代仅住三个大人和两个小孩的公寓,已经总共挤进了14个人。他们一起共用走廊、厨房(供两名保姆睡)、厕所和没水的浴室(用作储藏室),唯一可以洗涤的地方是厨房的冷水龙头。哈内耶夫斯基家为避开新邻居,竖起一道门,将自己住的公寓后部隔开。邻居喜欢这道门,因为他们自己的隐私也有所增加。到1931年,地区苏维埃下令要安装浴室——当时正在开展加强个人卫生的苏维埃运动——于是把这道门拆下。但没门的生活证明是麻烦多多,哈内耶夫斯基家和沙查诺夫家老是发生争吵。为此,阿列克谢向地区苏维埃行贿,让他们拆走洗浴装置,使之变回储藏室,再重新装上这道门。不过,沙查诺夫家与哈内耶夫斯基家的关系依然很僵。尼古拉的岳母精神状态不正常,经常在走廊叫骂,指责别人偷她藏在床底下的食物。在这些冲突中,部分原因在于阶级差别。娜杰日达担心沙查诺夫家会偷她的银器,不愿看到他们半裸着出现在走廊,还说他们的气味难闻,要他们勤快清洗。

    许多公寓旧主人认为,搬进的新邻居把他们当做“资产阶级”成员,故意挑刺。1917年以前曾是伯爵夫人的维拉·奥尔洛娃,住在原先只是自家住宅一部分的共用公寓。她和丈夫、女儿搬进一个单间,女儿如此讲述该公寓在20世纪30年代的恶劣气氛:

    共居生活是非常可怕的。住户丈量走廊的每一平方厘米,以及每一小块的公共空间。母亲因为在那里留下一些尚有价值的家具而受到抗议。他们声称,那些东西占了太多空间,应该搬进自己的房间,因为走廊不是母亲的。这些“邻居”计算我们待在浴室里的时间。还有些共用公寓,给厕所[电灯]装上了定时器,以保证大家耗用相同时间的电力。

    与莫斯科和列宁格勒的大多数共用公寓相比,哈内耶夫斯基居住的公寓还不算人满为患。叶夫根尼·马姆林长大的共用公寓,共有16户家庭(54人),每户住在自己的房间,共用一个厨房,还有两个厕所和两个冷水龙头,但没有浴室。 (291) 米诺拉·诺维科娃在莫斯科的共用公寓长大,共有36个房间——每个房间至少住一户人家——全由围绕整栋楼三面的一条走廊相连。她家的房间只有12.5平方米,却住上了10个人。“我们怎么睡觉,真是很难讲清”,米诺拉回忆:

    房间里有一张桌子,那是祖母睡的。6岁的弟弟睡在桌子底下的小帆布床。父母睡在门口的床上,外婆睡在矮沙发上。姑姑和她的表妹用羽毛床垫打地铺。姐姐(当时16岁)、表妹(10岁)和我(11岁)设法挤在她们的中间——我都记不得具体方式了。我们孩子喜欢睡在地板上,可以滑到父母的床底,自找乐趣。我无法想象成年人对此也会生出乐趣。 (292)

    尼娜·帕拉莫诺娃住在列宁格勒一个类似的“走廊系统”,该共用公寓占据整整一层。那栋楼房曾属于一位德国男爵,1925年被贸易学院征用了。1931年,尼娜在列宁格勒铁路管理部门担任会计,与身为船舶设计师的丈夫一起搬入该公寓。它有17个房间,每间至少住一户人家,共有60多人,共用一个厨房、一个厕所、一个淋浴间(只有冷水)。

    在社会阶层的另一端,一座名叫苏维埃第三号楼的政府工作人员共用公寓,位于莫斯科市中心,也有一个“走廊系统”。斯大林的内弟费奥多尔·阿利鲁耶夫,就与其母亲住在那栋楼二层的一个房间。住在楼下9个房间之一的是尼涅利·赖夫施赖德尔,她父亲是老布尔什维克兼政治作家,通常睡在大都会酒店(Metropol Hotel),剩下她、母亲、祖父母和兄妹共6人,合用38平方米的居住空间。使用同一走廊的这9个房间,其居民总数是37人,共用一个大厨房。厨房内的一边是淋浴龙头和浴缸,藏在屏风背后;另一边是一个厕所。在走廊的另一端,还有两个厕所。走出院子,可见一个共用的木棚,储有用于炉灶烧火的柴薪。该公寓当初就被当做集体生活的实验地,但有苏维埃精英想要的服务。它专设了儿童游乐场,在地下室还建了俱乐部和电影院。每一条走廊,都配有清洁工、管家、保姆各一名,费用由住户集体分担。

    共用公寓是共产主义社会的一个缩影。布尔什维克相信,迫使人们分享他们的生活空间,可促使他们在基本思想和行为上更加共产主义化。私人空间和财产会逐渐消失,家庭生活将为共产党人的友爱和组织所取代,私人生活将受到社区的相互监督和控制。每一所共用公寓都有责任的分担,由居民们自己组织安排。公共服务的账单,如煤气、电力、电话,按照使用量(打了多少电话,每个房间内装了多少灯泡)或房间、家庭人口的多少,而作平均分配。维修费用也由集体支付,但经常会有争议,其解决通常需要召开居民大会。公共空间(大厅、入口、厕所、浴室、厨房)的清洁工作,由大家轮流承担(通常张贴在大厅里)。每个人都有洗衣的规定日期,早上排队上厕所也要依照既定的顺序。在这个小型国度内,平等和公平是治理的原则。马姆林回忆:“我们的分配尽可能公平,父亲是我们共用公寓的寓长,算起账来一分也不差,大家都知道自己应付多少。” (295)

    寓长(otvetstvennyi kvartoupolnomochennyi)的职称始于1929年。其时,共用公寓在法律上被确认为一种社会机构,需要遵守具体的规则,向国家承担责任,譬如执行卫生的法规、征收税款、维持治安、向警方汇报居民的私人行止等。 (296) 寓长按规定应由居民选出,但事实上他们大多是自荐,再通过自己的魅力或社会地位,获得居民的同意。尼娜·帕拉莫诺娃记得,他们的寓长“非常严格,管起来活像一个独裁者。我们尊重她,同时也怕她,只有她才能迫使值日的居民规规矩矩做清洁工作”。 (297) 根据1933年的新法律,寓长变成共用公寓的一家之长。他们与警方的联系得以加强,全权领导公寓的清洁工。那些清洁工是臭名昭著的举报人,平时打扫楼梯和院子、巡逻公寓的领地,晚上负责给大院锁门、留意人们的进出。公寓管理制度通过寓长和清洁工,变成了警方监视和控制的基本单位。

    到20世纪30年代的中期,内务人民委员会建起了一个秘密举报人的庞大网络,警方举报人遍及每一个工厂、办公室、学校。 (298) 相互监督的想法是苏维埃制度的基础。这个国家幅员太广,治理不易,布尔什维克政权(与沙皇政权没有不同)还得依靠民众的自我监管。从历史上看,俄罗斯一直拥有强大的集体规范和集体机构,从而为这种政策提供了方便。20世纪的极权政权试图发动民众参与警方工作,通过集体安全来控制统治下的全体人口,其中有那么一两个得以渗透到社会的几乎每一层次,例如东德的国家安全部史塔西(Stasi),但都比不上苏维埃政权60年来的成功。

    在这集体掌控的制度中,共用公寓起了至关重要的作用,居民对邻居的一举一动了如指掌,包括平日的作息表、个人习惯、访客和朋友、买了什么、吃了什么、电话(通常位于走廊上)里说了什么、躲在房间里讲了什么——隔墙非常薄(许多房间中间的隔墙还没跟屋顶连接上)。在20世纪30年代的共用公寓当中,窃听、刺探、举报非常猖獗,大家都受到鼓励,随时提高警觉。邻居会开门查看走廊上的访客,或窃听他人的电话交谈。如果夫妇之间发生争吵,他们会进来当“证人”;如有太多噪音、酒后胡为、暴力,他们就会干预。一般认为,在共用公寓里,“私事”是不存在的,所以人们常说“一人闯祸,大家遭殃”。米哈伊尔·巴伊塔尔斯基记得,他在阿斯特拉罕的亲戚,其共用公寓的隔壁邻居特别警惕:“她一听到开门声,就把自己的尖鼻子伸到走廊,活像一架照相机,记牢你的外貌。那位亲戚还向我们保证,他的访客在她那里都留有记录。” (299)

    在共用公寓的局促环境中,个人财产的争执时有发生——放在共用厨房的食品不见了,自己房间的物件被偷了,晚上有闹哄哄的噪音或音乐。一位居民回忆:“氛围很差,每个人都怀疑别人在偷,但拿不出任何证据,只好在背后窃窃私语。” (300) 每个人都处在紧张状态中,相互的争执不需要很多理由,便会转化成向内务人民委员会的举报。此类争执大多起源于小小的猜忌。由于物品短缺,苏维埃的忌妒文化应运而生,共用公寓又成了这种文化的日常中心。在基于均贫原则的社会制度中,如果某人拥有更多,超过大家,一般会认为他是占了大家的便宜。物质上优越的任何标志——新服装、更好的厨具、特殊食品——都有可能引发他人的仇恨。他们会怀疑这些物品是通过非正常关系获得的。邻居结成联盟,为这些他们眼中的不平等,持续纠缠争斗。一名女子从20世纪30年代至今,一直住在莫斯科一座共用公寓。 [5] 她讲述了自己母亲与一个清洁工的妻子之间的宿仇。母亲在面包店工作,那个清洁工的妻子是众所周知的举报人。每当厨房里出现了蛋糕或面包,清洁工的妻子就以盗窃或破坏的罪名指控她母亲,还威胁说要向有关当局举报。 (301) 米特罗凡·莫伊谢延科是个工人,他帮助列宁格勒共用公寓的邻居修理家具和窗户,或做些零工赚点外快。1935年的春天,他与邻居发生争吵。对方指责他的维修费太高,为此向警方报案,谎称他在地下室工场里窝藏托洛茨基分子。随即,米特罗凡被捕,判刑3年,被送进马加丹附近的劳改营。 (302)

    厨房是许多争吵发生之地。傍晚时分,厨房里人头攒动,很容易头脑发热。厨房虽是共用空间,但在大多数的共用公寓,每家又都有自家的烹饪炉灶、用来吃饭的自家厨桌以及贮存自家食物的地方。贮存处或在橱柜里,或在货架上,或在内窗和外窗的中间——冬天那里的气温与冰箱无异。自家和共用地带的混淆不清,是摩擦不断的源泉,使用别人的炉灶、餐具、佐料足以激发一桩丑闻。米诺拉·诺维科娃回忆:“都不是恶毒的争吵,我们都是穷人,没有值得偷的东西。但空间永远不够,每个人在厨房里都紧张兮兮的,小争小吵是不可避免的。想象一下30名妇女同时做饭的场景!” (303)

    缺乏隐私是紧张的最大来源。即使在自家房间内,也没有某个人的私人空间。一个房间发挥多种功能——卧室、餐厅、客厅、孩子做功课的书房,有时甚至充当厨房。尼涅利·赖夫施赖德尔回忆:

    在我们房间里,没有私人的物件或家具,没有属于某人的架子、椅子、桌子。我的祖父母也没有真正属于自己的东西,只是将他们的床用帷幕围起来,遮挡一点隐私。祖母在自己床底下的木箱中存放一些特殊物品,但她床边的桌子供大家使用。

    许多家庭年幼的孩子睡在屏风、书柜、衣柜的后面,以避开大人和晚上的来客,稍得一点宁静(还可避免他们看到成人脱衣上床)。父母必须等到半夜才悄无声息地做爱。 (304)

    挤在方寸之间,邻居的生活几乎一切尽在目前,无需想象。大家已习惯于在走廊上看到半裸的邻居,还会目睹邻居的最坏行状——醉酒时,或毫无戒备时——没有通常为了自保在公共场合中戴上的面具。他们从门铃的声响获悉邻居来了访客(前门电铃给每个房间配上各自的号码或次序)。发生最私密行为的房间(浴室、厨房、厕所)都是共用的,很容易从留下的证据作出推断。厨房里的晾衣架、浴室里的个人物品、夜间的如厕——可以向邻居披露一切。在这种“公开的隐私”之下,私人生活不断接受集体的审视。 (305)

    邻居之间缺乏隐私,体现于各种形式。有些人憎恨各式的闯入——邻居擅自进入他的房间、在浴室里老听到敲门声、来客总是受到监视。其他人则不满于经常的噪音、不讲卫生、老头对女孩的好色窥视。厕所和浴室永远是摩擦和焦虑的源头。20世纪30年代,艾莱娜·巴伊格罗娃的列宁格勒共用公寓共住了48个人,却只有一个厕所。大家自带肥皂和卫生纸,平时则留在自己的房间。1936年,有一位邻居嫁给了一个黑人。艾莱娜回忆:“他第一次出现时就引起一场非议。人们不愿与他共用一个厕所或浴室,认为他太脏,因为他生得那么黑。” (306)

    私人交谈是一件头痛事。在相邻的房间,能清楚听到邻居的交谈,大家因此学会了窃窃私语。人们非常小心,不与邻居谈论政治(有的共用公寓内,男人们都默不作声)。 (307) 具有资产阶级或贵族背景的家庭,更要小心隐瞒自己的出身。沙皇军官的外孙女阿利娜·多布列卡娃,在莫斯科的共用公寓长大,所有的邻居都是工人及他们的家人,即她所谓的“不友好人群”。家里禁止阿利娜向任何人提及藏在家里的外祖父的照片。她母亲已经入党,找到了一份政府里的工作,以此来隐瞒自己的过去。阿利娜回忆:“如果邻居知道外祖父是何许人,肯定会有更多的不愉快……因此,我们保持缄默,像住在坟墓里一样。” (308) 在共用公寓中交谈可能是非常危险的。在哈内耶夫斯基家,娜杰日达几近失聪,她心存反苏维埃的想法,却直言不讳。她会向女儿解说,沙皇统治下的生活其实更好,越讲声音越大。丈夫阿列克谢害怕隔壁房间的萨佐诺夫家,赶紧提醒她:“嘘,请用耳语。不然我们都要去坐牢了。” (309)

    人们为争取点滴的隐私而战斗。他们把自己的毛巾、洗漱用品、厨房锅罐、盘碟餐具、盐和胡椒,藏入自己的房间;尽量在自己的房间洗涤、烹饪、进餐、晾衣。共用空间也渐渐私有化:各家都会把货架的某层、走廊中的某处、厨桌的某角、门廊里的某个挂钩或鞋位占为己有。这些安排邻里之间都清清楚楚,但如果是走进共用公寓的陌生人,就会手足无措。人们梦寐渴求自己的私人空间,无须面对自己的邻居。叶夫根尼·马姆林的女儿回忆,父亲“渴望自己房间有个相连的小厨房,好让他单独做饭、吃饭,无须踏进共用厨房。但这仅是一个梦想”。对有条件担负租金的人来说,夏季去乡间别墅短住,无疑是一种解脱,可以暂时释放共用公寓的压力。 (310)

    从最好的角度看,共用公寓向居民提供了同志友爱和打成一片的感觉。很多人以怀旧之心,回顾自己在共用公寓度过的日日夜夜,还记得那是邻里分享一切的年代。“战争之前,我们相处和谐”,一位居民回忆:

    大家互相帮衬,没有争吵,在金钱上也从不吝啬——拿到工资,很快花光。那时的日子充满乐趣,一点也不像战争之后——那时,人们开始把钱留给自己,并关上自家的门。

    从某种角度看,这种怀旧与幸福的童年有关。当时,尽管物资短缺,院子里干净安全,很适宜孩子游戏,共用公寓还具有扩展了的“家庭”的气氛。在共用公寓中,孩子之间的交往远远超过父母的。他们一起玩耍,总是在串门,所以更有这种打成一片的感受。20世纪30年代在列宁格勒共用公寓长大的加林娜·马尔克洛娃回忆:

    我们生活得宛如一个大家庭。那些时日,每家都敞开着大门,孩子能在整栋房子里东跑西窜。我们在走廊玩耍,从一个房间跑到另一个房间。同时,大人们聚在一起玩纸牌,或多米诺骨牌。他们不是赌钱,只是为了好玩,总有很多笑声。有很多大人,所以大家轮流玩,没轮上的就站在旁边观战。我们像大家庭一样,一起庆祝苏维埃节日,好吃好喝的都是大家奉献的。过生日很快活,有很多游戏和歌曲。 (311)

    但过分亲近可能使人窒息。20世纪30年代在共用公寓长大的电影导演罗兰·贝科夫记得,当时的生活非常压抑,泯灭了任何个性。贝科夫回忆,共用公寓中盛行“集体法则”,抗议根本没用——只会招致“大家团结起来”,群起而攻之。叶丽萨维塔·切奇克对从小居住的共用公寓抱有同感:

    在一定程度上,我们是走廊上所有成人一起带大的。我有些玩伴,其父母是非常严厉的布尔什维克。我怕他们,在他们面前会感到浑身不自在。现在回顾,我意识到我在成长过程中一直有不自由的感觉,不敢暴露自己的本性,生怕有人看到,生怕有人有所非议。只有等我回到自己的房间,没有他人在身旁,才能卸下这份恐惧。 (312)

    共用公寓会在长期居民的身上,留下深刻的心理创伤。在采访中,许多长期居民承认,非常担忧自己的无依无靠和自生自灭。 [6] 共用公寓几乎造就了新型的苏维埃人格。孩子特别容易接受集体价值和习惯的影响。在共用公寓里,家庭失去了对所抚育的子女的掌控:自己的文化传统和习俗往往不堪一击,被共用公寓的共同原则所取代。米诺拉·诺维科娃反思自己的童年,相信共用公寓的生活已使自己的思维偏向“我们”,而不是“我”。

    一切都是公共的,没有任何私密。我们都是平等的,也都是一个样。我已经习惯于此,以后遇上不同的方式,反而感到迷惑不解。我记得参加第一次野外考察[作为地质学家],我买了糖果,与大家共享。小组长对我说:“你应该写下花了多少钱,以便以后报销。”那对我来说,是一个非常让人震惊的念头。从童年起,我一直是与大家分享的。

    其他一些在共用公寓长大的人认为,共同生活让他们学得苏维埃政权的公共价值——热爱工作、谦逊、服从、配合。但谨慎和自我意识从未远离,一位居民回忆道:“要不断努力控制自己,使自己融入其中。”

    这种感觉不同于我所经历的镇压、逮捕、监禁、流放,但在某一方面,却更为糟糕。流放中的人仍能保留自我的意识,我在共用公寓里所感受到的,却是内心自由和个性的全然窒息。我每次走进厨房,受到聚在那里的一小群人的审视,就会感到这种窒息,就要启动自我控制。成为真正的自己,那是绝不可能的。 (313)

    苏维埃公民很快开始奋起抗议物品的短缺和不公平。数以千计的人写信给政府,抱怨腐败和低效,并将之归罪于新官僚的特权。然而,同时又有许多公民在忍辱负重,期望自己能亲眼看到共产主义乌托邦。这一想法在20世纪30年代,帮助维持了苏维埃政权。数百万人被说服,为了建设共产主义社会,眼前的日常艰辛是必要的牺牲。今天的勤劳将得到明天的回报,到那时,大家都可享受苏维埃的“美好生活”。

    德国社会学家卡尔·曼海姆在《意识形态与乌托邦》(1929年)中提到,马克思主义革命家倾向于认为,在通向真实而有形的天堂的道路上,要经历“一系列战略阶段”。这个未来既是当前的考虑因素,又规定了历史进程,从而将特殊意义赋予日常生活。苏联有关阶段的思想,源于1917年革命的乌托邦预测;对布尔什维克来说,1917年10月在人类历史上开创了新纪元(犹如1789年标志了雅各宾派创建的新世界)。苏维埃的宣传立足于当下,投射到未来,描绘出革命运动不断向前,最终抵达共产主义乌托邦(历史的进军)。它欢呼五年计划取得的成就便是实证:这个乌托邦已隐现于地平线之上。 (314)

    五年计划在这个乌托邦规划中,发挥了至关重要的作用。该计划的构想是,加快整个经济的步伐,争取社会主义的早日到来(因此有“五年计划四年完成”的口号)。事实上,该计划是在征服时间本身,使之服从于无产阶级的意志。西方的资本主义经济,按严格且合理的时间分配来安排各项工作。但在苏联,工作安排必须遵照五年计划的目标,完成目标总是迫在眉睫。因此,投入“突击”生产、作出短暂而疯狂的努力,实现目标后再作休整,这种做法便不无道理。斯大林主义的经济,以这种“突击”生产为基础来完成五年计划。眼前的艰辛将在共产主义乌托邦中获得回报,又成了整个制度的思想基础。尼古拉·帕托利切夫是第一个五年计划的行政官员,后来升至党的高位。他回忆道:“我们苏维埃人自觉地禁绝享受。”

    我们对自己说:“今天,没有急需的物品,但那算得了什么?我们明天就会有。”我们坚信党的事业,这就是力量!我这一代的年轻人,为这种信念而感到幸福。 (315)

    回首20世纪30年代,很多人还记得,他们当初活着是为了未来,而不是眼前。在1917年之后成长起来的一代人当中——像帕托利切夫一样的年轻人,全身心沉浸于苏维埃政权的价值和理想——这种感觉特别强烈。对于这一代而言,共产主义乌托邦不再是遥远的梦想,而是实实在在、指日可待的现实。在20世纪20年代、30年代苏维埃学生的想象中,共产主义即是当前现实的转化(高产奶牛和忙碌的工厂),绝不是遥远的科幻想象。 (316) 他们如此看待苏维埃的未来,缘于从小接受的苏维埃宣传,以及社会主义现实主义的文学艺术。根据1934年作家协会第一次代表大会,社会主义现实主义的官方定义是“在现实的革命发展中,真实地、历史地、具体地去描写现实”。而艺术家的功能是描绘出一个新世界,不是它目前的形态,而是它在共产主义未来(正在变成的)的样子。

    根据柳德米拉·埃利亚舍娃(1921年生)和妹妹马克斯娜(1923年生)所说,这个共产主义乌托邦的概念,在她们列宁格勒学校的朋友中获得了广泛的认同:

    我们接受教育,期待一个幸福的未来。我记得,妹妹摔破了我们最心爱的瓷娃娃。我们没有钱,但仍去了百货商店,橱窗里有瓷娃娃在陈列。马克斯娜说:“共产主义来临时,我们就能得到这个瓷娃娃了。”在我们的想象中,我们可以看到共产主义。届时,什么都是免费的,大家都会过上最幸福的生活。我们很高兴,都在等待这个美好未来的降临。 (317)

    20世纪30年代,赖莎·奥尔洛娃在莫斯科长大。她回忆起当年“飞速奔向未来”的感受,反而视当时的实际情形为幻象:

    我有一个不可动摇的信念,我在这几堵旧墙中的生存[她长大的地方,即莫斯科特韦尔斯卡娅大街的公寓],只是在为即将到临的真实生活做准备。新生活将在一栋闪闪发光的白色新房里开始,我会在清晨起来做早操,理想的秩序将统治一切,我所有的英雄业绩也将开始。我同代人中的大多数——不管当时住在哪里,帐篷、地棚、共用公寓或是被视为豪华的私人公寓——都持有这种临时、马虎的生活态度。快点,再快点,朝着宏伟的目标,迈向新的生活。一切都能够且应该改变:街道、房屋、城市、社会秩序、人类灵魂。这似乎并不困难。首先,积极分子在纸上勾勒出蓝图;再推倒旧的(不打破鸡蛋是无法煎蛋的),清除瓦砾;然后在清理出的空地上建起社会主义的美梦。俄罗斯就是如此重建的。我们认为,也可以照样重塑新人。 (318)

    莫斯科是这个乌托邦的建设工地。在共产党人的想象中,“即将”和“现在”都已分不清了。莫斯科是正在建设中的社会主义乌托邦,作为一个象征,享有很重要的地位和意义。这个城市充满了动人心弦的美梦和幻想,挖好的地基成了未来的住宅区,教堂的拆除标志了文化宫的耸立。德国共产党人沃尔夫冈·莱昂哈德在1935年与父母一起抵达莫斯科,他描述了他们使用地图时遇上的困惑:他们手上1924年的地图已经过时,但新地图标出的总体规划的新建筑,实际上要到1945年方能竣工。莱昂哈德写道:“我们出去散步,只好带上两张地图,一张是10年前的莫斯科,另一张是10年后的莫斯科。” (319)

    20世纪30年代的早期,苏联的变化速度令人陶醉。正在创建一个新世界的错觉,导致许多人——包括大量的西方社会主义知识分子——对斯大林政权产生幻想。年轻的法律系学生尼娜·卡明斯卡娅,在父亲被苏维埃银行开除、黑暗现实的证据不断涌现时,依旧相信这个新世界。她在回忆录中记下一首欢乐的歌曲——有关将临的幸福生活,她和朋友们至今依然会唱。这首歌曲象征了她们那一代的乐观,以及对父母辈正在经历的悲剧的漠视:

    信任在我们国家是多么容易,
    呼吸在我们国家是多么自在:
    我们光荣、心爱的苏维埃大地……
    我们苏维埃生活是如此精彩
    未来的孩子
    夜晚可能会在床上哭泣
    因为没能出生在我们这一代。

    许多苏联知识分子也受到这种乐观气氛的席卷,对斯大林政权以进步的名义所犯下的恐怖行径,充耳不闻,视而不见。鲍里斯·帕斯捷尔纳克在1935年4月写信给奥莉加·福雷登贝格说道:

    不管如何,我看得越多,就对正在开展的活动信得越深,这便是事实。虽然很多行为给人野蛮的印象,[但]人们从未如此高瞻远瞩,如此富有自尊,怀揣如此良好的动机,为了如此重要和清醒的理由。

    娜杰日达·曼德尔施塔姆回忆,她和丈夫诗人奥西普·曼德尔施塔姆有时也怀抱同样的想法。他们曾一度担心,如果“未能关注眼前发生的大事”,革命会把他们抛弃。奥西普1934年向朋友朗读有关斯大林的鼓动性诗篇(《谋杀犯和农民杀手》),随即被捕。娜杰日达·曼德尔施塔姆观察,相信在共产主义乌托邦名义下的所作所为,要比丈夫的坚持面对现实容易得多:“你不可能以将来的砖瓦,建造今日的大厦。但明白这一道理的人,事先一定抱了注定一死的心态,随时准备面对行刑队。” (321)

    接受这种对未来的憧憬,需要采取一定的姿态,使自己能够顺利滑向与政权的合作。这意味着接受“党是真理源泉”的说法。对许多人来说,这样的信念涉及不间断的思想斗争:一边是观察现实得来的真理,另一边是党的更高层次的革命真理。他们被迫生活在这两种真理中间的夹缝地带——既承认苏维埃体制的失败,又相信未来的美好生活——他们只有通过政治信仰的自觉行为,才能做到这一点。年轻党员列夫·科佩列夫,曾在1932至1933年参与向“富农”施暴,他回想起当年如何努力让自己的道德判断(他称之为“主观真理”)从属于党的崇高道德目标(“客观真理”)。科佩列夫和同伴被他们自己的所作所为吓坏了,但仍在遵循党的路线。如果要作撤退,理由又是他们从小学会鄙视的“良心、荣誉、人道主义”,即所谓的“资产阶级”理想,这会使他们陷入恐惧。科佩列夫回忆道:“我们最害怕的,是丧失自信、放弃我们神圣的信念、陷入疑惑或异端邪说。” (322)

    沃尔夫冈·莱昂哈德也感受到了双重的现实。他加入共青团时,“已意识到现实中的苏联,完全不同于《真理报》所描绘的”。母亲在1937年被捕,朋友和老师也被带走,他自己一直生活在孤儿院。如他所说,西方读者读到他加入共青团时的喜悦,可能会觉得诧异。

    不知怎的,我把这些事件乃至自己的印象和经验,与我的基本政治信念决然分开,仿佛分属两个不同的层次——第一层关于日常的事件和经历,我持批评态度;第二层关于党的伟大路线,即使有犹豫,我当时出于那套大道理,仍认为是正确的。 (323)

    甚至在1937至1938年的大清洗高潮时期,仍有许多坚持信仰的人。他们以抽象的准则(“砍伐森林时,木屑肯定会四处飞溅”;或者,“不打破鸡蛋是无法煎蛋的”),为大规模逮捕作出辩护。

    相信“向共产主义的进军”,需要接受相关的生命成本。党告诉追随者,他们正在国内外与“资本主义元素”进行殊死的斗争,直到共产主义乌托邦的最终胜利。希特勒在1933年的崛起,成了这场斗争的关键转折点。据称,它还进一步证实了斯大林理论的正确。斯大林认为,苏联越接近共产主义,敌人的反抗就会越强烈。党改持更为强硬的立场,迫使怀疑者抛开疑虑,加入反法西斯的斗争(不然就会被谴责为法西斯的走狗)。从1933年起,党内清洗愈演愈烈,仔细审查个人行为,以清除消极的党员和“隐藏的敌人”。有的社会阶层被整体定为“敌人”和“异己分子”,列宁格勒的贵族和资产阶级的残余首当其冲,其中数千人在1934年12月党的领导人谢尔盖·基洛夫遇刺后遭到逮捕和流放。任何“资本主义旧社会的余孽”(前“富农”、小商贩、吉普赛人、妓女、罪犯、流浪汉、乞丐,等等),都因有可能成为共产主义建设的障碍而遭到清洗。从1932到1936年,数万名此类“社会有害分子”遭到警察的围捕和驱逐出境, (324) 其中大多数被送去古拉格。

    1933年8月,国家政治保卫总局的劳改营指挥官谢苗·菲林,安排120名苏联主要作家“组队”前去考察白海运河。运河之旅的想法起源于1932年10月的一次会议,会址是高尔基在莫斯科的住宅。几位著名作家与几位政治局委员一起开会讨论文学任务,斯大林也在场。这是社会主义现实主义理论学说的最早阐述之一,高尔基呼吁以英雄的文学来匹配五年计划的“伟大成就”。将苏联作家比作“人类灵魂工程师”的斯大林,提议以这一运河之旅激发作家的创作灵感,一切均由国家政治保卫总局安排。作家亚历山大·阿夫杰延科不无讽刺地说:“一旦成为契卡的客人,马上进入共产主义。我们有求必应,吃喝全包,一切免费。熏香肠、奶酪、鱼子酱、水果、巧克力、葡萄酒、白兰地——供应充沛。要知道,这还是饥荒的年代。” (325)

    作家们先住进列宁格勒的阿斯多里亚豪华酒店,再坐火车去白海运河,考察大坝和升降台,参观文化中心,观赏囚犯的文艺演出。他们坐在船舶上,能看到正在劳作的囚犯,但不得交谈。对许多作家来说,他们看到的只是营房生活的净化版。塔玛拉·伊万诺娃在1989年回忆:“在我看来,这很明显,只让我们观看‘波将金村’ [7] 。”但是就算作家们半信半疑,也只有很少人敢于表达出来。旅途当中,作家们有机会询问充当向导的菲林。据阿夫杰延科称,唯一询问强制劳役的作家是德米特里·米尔斯基——他曾是王子,内战时期参加白军,后来移民去英国,在那里加入共产党,1932年重返苏联,因为他相信,斯大林的俄罗斯“将在世界历史中发挥巨大作用”,亟想置身其中。米尔斯基的追问使其他作家感到尴尬。他显然对运河建设的保密满腹狐疑,并告诉阿夫杰延科:“这里的每一步、每一座大坝、每一个升降台,都有遮起的秘密。”他似乎是在指埋在那些场所的地下的尸体。米尔斯基即使生疑,仍参与了国家政治保卫总局负责的一个图书出版任务,以庆祝运河的竣工。36名苏联主要作家(包括米哈伊尔·左琴科、维克托·什克洛夫斯基、阿列克谢·托尔斯泰、瓦伦丁·卡塔耶夫)和艺术家亚历山大·罗德琴科(他拍了照片),突击创作、汇编成了《白海运河》(The White Sea Canal)一书,而菲林和高尔基则担任了此书的主编。这本书成了“苏维埃作家准备为布尔什维克事业服务的象征”,在1934年1月分发给苏共十七大代表。它虽是建设运河的历史,但其主题和宣传意义在于:体力劳动具有救赎和解放的功能。据称,罪犯和“富农”通过参与这一伟大的集体工程,“开始认识到自己在社会中的价值”。经过劳役,他们脱胎换骨,变成了社会主义者。 (326)

    参与这种使古拉格合法化的举措,作家们自有不同的原因。毫无疑问,有些人相信斯大林“重新做人”的理想,即通过劳役来改造人们的灵魂。左琴科为《白海运河》写了一个小偷的故事,主人公名叫罗登贝格,在生活中步入歧途,通过运河工地上的劳役而改邪归正。他在给《列宁格勒文学》(Literary Leningrad)写的文章中解释,他相信故事中的真实依据:

    以懒惰、欺骗、偷窃、谋杀为生的人群,我一直饶有兴趣。我也一直关注他们的再教育。说老实话,一开始,我很表怀疑。猜想这个著名的“重新做人”,只是囚犯冀望获得自由或奖金的伪装。但我必须说,我错了。我这次[白海运河之旅]看到了真正的“重新做人”,看到了建筑工人身上的真正自豪,看到了许多同志(他们现在的称号)心理上的确凿变化。 (327)

    高尔基也是一名信徒。他从未到过白海运河,但并不妨碍他对国家政治保卫总局负责的那本书赞不绝口(茫然不知也阻挡不了外国社会主义者的赞扬,例如西德尼和比阿特丽斯·韦伯夫妇。他们在1935年称之为“一项伟大的工程壮举……一次人类再生的胜利”)。高尔基的20世纪20年代是在西方度过的,1928年夏天他第一次回到苏联,之后又有数次在夏季回国,直到1931年开始永久定居。这位“伟大的苏联作家”获得交口称赞,莫斯科著名的里亚布申斯基豪宅配给他作住所,另外还有两座宽敞的乡间别墅、仆人(其实是国家政治保卫总局的间谍)和警察部门的特殊食品。向斯大林提供特殊食品的,也是这同一警察部门。因此,也许这并不奇怪,高尔基看不到五年计划“伟大成就”背后的巨大牺牲。1929年夏天,高尔基在他的国家政治保卫总局向导的引领下,参观了索洛韦茨基劳改营,所看到的给他留下了深刻印象。他写了一篇文章,声称许多囚犯通过劳动得到了改造,非常热爱自己的工作,以至于刑期满了之后仍想留在岛上。高尔基写道:“对我来说,结论是显而易见的,我们需要更多像索洛韦茨基那样的劳改营。” (328)

    另有一些作家出于好奇而参加了这个运河之旅,如米尔斯基。还有人担心,如果拒绝参与这一项目,可能会遭到报复,如作家米哈伊尔·布尔加科夫。文学理论家兼小说家维克托·什克洛夫斯基(他哥哥也被关在劳改营),虽没有参加集体运河之旅,但是自己单独去了。他在国家政治保卫总局组织撰写的那本书以及他的其他几部作品中,拔高了“重新做人”的理念。他甚至还写了关于白海运河的宣传影片的剧本。什克洛夫斯基的写作,似乎不大可能出于真心。(他去白海运河时,国家政治保卫总局的一位官员问他的感觉如何,他反讽道:“就像一只鲜活的银狐,走进了皮草店。”)在他女儿看来,这只是他“为救哥哥而付出的代价”。他哥哥1933年获释,但1937年再次被捕,且永远消失于古拉格。 (329)

    追求职业发展的动机也在发挥作用,阿夫杰延科就肯定与此有关。他出身于无产阶级,参加运河之旅时仍是一个无名小卒。两年后的1935年,他的第一部小说在苏联媒体中获得赞誉。阿夫杰延科后来承认:“此行帮助我攀上顶端,我的生活从此腾飞。我曾是一名工人突击手,投身于文学!一下子,我在苏维埃神庙中跻身享有盛誉的作家行列。”阿夫杰延科经常向《重新做人》投稿——那是国家政治保卫总局内部的白海运河劳改营杂志——称赞劳役是重新做人的好途径。 (330)

    康斯坦丁·西蒙诺夫是另一位借助白海运河而一举成名的“无产阶级作家”。1933年,他在国际工人救灾电影厂充任技师——是鲍里斯·巴别茨基手下数百名技师之一。午休时间,西蒙诺夫和其他技师去看普多夫金和戈洛夫尼亚一起拍摄的电影《逃兵》(他声称这一经验激活了他对艺术的兴趣)。西蒙诺夫回忆:“那些年里,我没接受过正规的教育,但读了很多书,尤其是历史书籍。我还尝试写作,这是我人生的第一次。”白海运河的宣传启发了西蒙诺夫,他在笔记本里写下不少关于劳役者重新做人的“歪诗”,不知何故竟引起了国家出版社(Goslitizdat)和国家政治保卫总局的注意。这些诗篇中的精粹《白海运河》,被收入1933年苏联青年作家的诗歌集。1934年4月,西蒙诺夫借这一次成功的东风,向国家出版社申请许可,让他访问运河,收集劳役者重新做人的原材料,以创作赞颂劳改营的诗歌集。国家出版社予以批准,并支付他一个月的花费,在白海运河的梅德韦热戈尔斯克劳改营,担任《重新做人》杂志的记者。囚犯们与他同住一个营房,并不把这位年仅19岁的诗人当做一回事(“当我告诉他们,我在写关于白海运河的诗,他们只是笑笑”)。出于这个原因,在西蒙诺夫看来,囚犯们“与我的关系还算自然”。 (331)

    到1934年的初夏,白海运河的建设已大体完成。西蒙诺夫所观察的劳役者只是在修建道路和相关设施——与1931至1933年挖掘主渠、数万人累死的体力劳动相比,仅属相对轻松的任务。随着工程的结束,劳改营行政部门向劳役者颁发奖金、荣誉、奖牌,并向部分轻罪囚犯宣布提前释放的命令。这些奖励的主要目的是为了兑现“重新做人”的神话,让囚犯努力工作以改造自己(至少给人以改造成功的印象),争取获释或物质上的好处。西蒙诺夫年少天真,易于轻信。他在回忆录中回忆,从白海运河回来,“就准备畅写通过劳动重新做人的新诗”:

    虽然待的时间不长,但我相信,亲眼看到了重新做人的实际发生——如我所相信的——在我们这样的社会,除了劳动,还有什么可以救赎个人罪孽呢?

    西蒙诺夫听到有关一名工程师的故事,留下了特别深刻的印象。该工程师与临时政府有密切的联系(实际上是冬宫最后一位指挥官)——

    根据第58条规定,他就算没被判上10年,至少也判个8年。他在白海运河担任工程师,工作非常努力,因此服刑3年就获释。然后,他自愿担任莫斯科―伏尔加运河某建筑工地的首席工程师。我在旅途当中获得的印象,也佐证了这样的故事。 [8]

    事实上,确有某些专家获释后愿意继续在古拉格系统中工作,但很少是改造的结果。但西蒙诺夫认为,他在白海运河所看到的,符合他所听说的以及在苏联媒体中读到的。西蒙诺夫在回忆录中表示:“在我看来,白海运河工程不只是在建造一条运河,而是一座人道主义学校,使坏人变成好人,使普通罪犯变成五年计划的建设者。” (332)

    就西蒙诺夫而言——他原是一名贵族,自觉参与重建自己的身份,希望变成“无产阶级作家”——重新做人的想法颇能激起他特别的共鸣。西蒙诺夫在回忆录中讲述了自己的感受,“富农和资产阶级破坏者”的重新做人,“对整个社会来说大有希望”,他自己也大受激励,因为它显示了“埋葬过去、走上新路的可行”。1934年,在苏共十七大(胜利者的代表大会)上,前反对派获得重新做人的机会。在他眼中,这也是一大鼓舞。作为一名青年作家,他正在党严密监控的艺术领域努力开创自己的事业。在这次大会上,一直反对斯大林极端政策的党领导人(布哈林、加米涅夫、季诺维也夫、李可夫、托姆斯基、皮亚特科夫等)被允许发言,他们收回了自己的旧有立场,以党内团结的名义,对斯大林歌功颂德。从他们被接受的方式来看,党领导已让他们改过自新。西蒙诺夫看到如此的榜样,心里感到非常舒坦。在他看来,接受悔改的反对派就是一个证明,像他那样的人,即使有不光彩的过去,也会得到党的宽恕。西蒙诺夫明白,自己的重新做人将取决于自己政治人格的重建。他像前反对派一样,必须背弃过去,表明自己是个当之无愧的共产主义者。他有关白海运河的著作,就是为达到这一目标的手段。从运河回来之后,西蒙诺夫第二次申请加入共青团。上一次,由于继父在1931年被捕,他被要求自行撤回申请。这一次,他是应邀申请的,在他眼中,接受他入团真是“一大宽慰”。他在回忆录中记录,1934年是他对未来充满希望的一年:

    我不能代表同龄的其他人,但对我来说,1934年是我青年时期最充满希望的一年。一般认为,国家已经度过困难时期,虽然仍有问题,但无论是精神上还是物质上,生活都将变得更加容易。我很高兴能参与建设这一个新生活……在我眼中,斯大林的正确似乎是不容置疑的——他正在领导我国的工业化,并取得巨大的成功。在我看来,他与对手争辩,指出他们的错误,这都是正确的态度。 (333)

    1934年夏天,西蒙诺夫从白海运河回来不久就写了《地平线》一诗,描述刑事犯在劳改营的重新做人。这首诗受到大刀阔斧的编改——编改者来自国家政治保卫总局所属的文化教育厅,他们认为这首诗非常糟糕(自命不凡、笨拙、喧闹、机械、伤感),但仍有宣传价值,值得发表。 (334) 西蒙诺夫将之收回重写,到1938年易名为《帕维尔·丘尔尼》(Pavel Chyorhy)予以发表。后来,西蒙诺夫看到这首诗会有“恐怖的感受”,坚持将之排斥在他的“作品全集”之外。 (335) 但这首诗对他的职业生涯大有裨益,显示他有能力创作有助于斯大林政权的诗歌。西蒙诺夫受到鼓励,申请就读高尔基文学院。他在国家出版社和政治保卫总局文化教育厅的政治担保人,还愿意为他推荐。 (336)

    高尔基文学院成立于1933年,坐落在特维尔大街上的前赫尔岑宫殿,旨在培养工人阶级自己的作家(直到1936年,仍被称为“工人夜间文学大学”)。上课是在晚上,这就允许西蒙诺夫在国际工人救灾电影厂继续上班挣钱,作为他200卢布助学金的补充。文学院的大多数学生并不是真正的工人阶级出身,他们像西蒙诺夫一样,出生于贵族或资产阶级家庭,先读工厂技校,或在工厂上班,以此取得入学资格。学生中一半是共青团员和共产党员,来自27个不同民族,可算是一个世界大杂烩。 (337) 在众多的犹太学生中,有两名年轻女子先后嫁给了西蒙诺夫:纳塔利娅·季波特是剧院名人之女,1935年与西蒙诺夫结婚;遭殃的新经济政策人塞缪尔·拉斯金的小女儿热尼娅·拉斯金娜1936年入学,1939年与西蒙诺夫结婚。

    西蒙诺夫承认,自己并不特别钟爱文学,只是由于他的出身欠佳,才变成了他的职业。他告诉纳塔利娅:“如果不是因为贵族出身,我才不会对文学发生兴趣,我真正喜欢的是政治和历史。” (338) 他在文学院中不是最有才华的(1936年,他在优秀学生名单上排名第七,排在榜首的是诗人玛格丽塔·奥列格),但以自觉出名,并且组织有方(他精心安排花在工作、阅读乃至社交上的时间),准时完成任务。同学给他的绰号是“铁屁股”,因为他学习非常努力,持之以恒。诗人叶夫根尼·多尔马托夫斯基(优秀学生名单上排名第二)回忆道:“他就坐在那里,写个不停。”奥列格记得,西蒙诺夫一开始就像个干部,通常穿皮夹克,像内战中的布尔什维克;或穿夹克和衬衫,还系上领带。对文学院其他学生的波希米亚文化,西蒙诺夫保持一定的距离,他的业余时间都花在共青团活动上,或撰写书评,而不是用来玩台球。理所当然,文学院的行政部门对他非常重视,把他当做党的忠实信徒,给他布置了许多任务(1937年,他在揭发文学院“反苏维埃分子”的运动中发挥了重要作用)。西蒙诺夫既严肃,又挑剔,与其说像一位年轻诗人,毋宁说像一名文化官僚。他在1945年回忆:

    我没有写出自己的作品,却写了不少对其他人作品的评论。我非常苛刻、急躁。这显示,写出最粗暴、最负面的评论的人,往往是尚没写出或无法写出这样一本书的人。 (339)

    西蒙诺夫是文学院的诗人,正在摸索如何写作才能取悦于自己的政治上级。重新做人的主题,在20世纪30年代已成社会主义现实主义传统的常客,重复出现于他有关白海运河的早期诗歌。但五年计划的希望,以及体现于西班牙内战的英勇斗争,渐渐在他的诗歌中占据显著的地位。同时,西蒙诺夫深受诗歌老师弗拉基米尔·卢戈夫斯科伊(1901—1957)的影响。在文学院年轻诗人的眼中,卢戈夫斯科伊颇有魅力。他的房间里摆满了刀枪,还有来自内战和1931年征伐巴斯玛奇穆斯林起义的纪念品。在《将军》那样的诗篇中,西蒙诺夫尝试探索阳刚、英勇的主题。匈牙利共产主义者马特·扎尔卡(又叫鲁卡契将军),在西班牙内战中遇难,赋予了《将军》一诗灵感。西蒙诺夫的基本价值观来自继父的军人精神,在他看来,像扎尔卡那样的勇敢和自我牺牲,在社会主义与法西斯主义进行殊死斗争的世界中,不但是“人类的美妙素质”,而且是“必需的第一美德”。西蒙诺夫1960年向外国记者解释:“任何人,如果想象我们未来的胜利轻而易举,无须流血,从而流露出沾沾自满,都会受到我们20世纪30年代年轻共产主义者的强烈憎恨。”那是沉浸在斗争观念中的一代——随时准备投入战争的一代。1973年,西蒙诺夫回顾自己的学生时代,为整个时代发言:

    开设文学院的同一年,纳粹上了台。我们的学习年代一直笼罩在阴影之中,那就是即将发生的反法西斯战争。那些年头,在考虑文学和自己的前途时,一定会自然想到,我们迟早会被迫参加这一场隐隐逼近的反法西斯大战——尚未确定的只是手中握的是笔还是枪。

    1936年1月1日,西蒙诺夫的第一首诗《新年祝酒》发表于《消息报》(Izvestiia)。这是青年诗人——当时只有20岁——将获党领导青睐的先兆。在诗中,西蒙诺夫想象一场光明与黑暗的最终搏斗:

    朋友,我们今天提高警惕!
    豺狼正在将共和国围困!
    我们就此举起酒杯,
    在默默祈愿中痛饮
    为站在机枪旁边的人,
    为只与步枪为友的人,
    为懂得“战斗”这一动词的人,
    一个悲哀的动词,必须承认。
    为能够离开缄默房间
    走进未知的大火的人……

    西蒙诺夫为职业生涯拼搏之时,他的三位奥博连斯基姨妈正在奥伦堡的流放地凋零。那是一个地处伏尔加草原东部的城市,在莫斯科的东南方,相距1500公里。她们在基洛夫遇刺之后的大规模镇压中,被逐出列宁格勒。西蒙诺夫喜欢三位姨妈,从小就定期给她们写信。他母亲的大姐柳德米拉,嫁给来自俄化家庭的德裔炮兵队长马克西米·泰德曼——他在第一次世界大战中阵亡,留下柳德米拉和三个孩子,困守于炮兵团驻地梁赞。柳德米拉1922年回到彼得格勒,曾在残疾儿童学校担任教师。她1935年被捕时,三个孩子已经长大,两个跟她去了奥伦堡,长子留在列宁格勒——他在红三角厂担任经理,受到上级的高度重视,得以让自己免受逮捕的噩运。中间的姨妈是达丽娅,又叫“桃莉”,严重残疾,身体左侧畸形,部分瘫痪,使她走路颇不方便。个人的不幸,使她养成了古怪脾气,终身未嫁。她在宗教上很虔诚,几近教条,并不隐瞒自己对苏维埃政权的仇恨,坚持贵族的传统。1927年,桃莉到梁赞拜访亚历山德拉,两人在宗教事项上不断发生争执,西蒙诺夫因此而变成了无神论者(不过,他后来给姨妈写信,仍表达宗教上的情感)。西蒙诺夫在列宁格勒时,曾多次拜访桃莉,但他认为自己只是在尽职。他更喜欢小姨妈索尼娅,经常与她同住。索尼娅长得丰满,西蒙诺夫记得她“圆脸,笑得慈祥”,充分体现了“她的善良和开朗”。与桃莉不同,索尼娅尽量适应苏维埃制度,尽管她的举止、价值观、信仰,仍保有19世纪贵族文化的痕迹。她当初读的是师范学校,却当上图书馆员,在共用公寓里独住一间大房。她对自己的命运既不诉苦,也不抱怨。恰恰相反,西蒙诺夫记得,她是三位姨妈中最具活力、最有意思的。由于没有自己的孩子,她喜欢外甥和外甥女来与自己同住。她对康斯坦丁最为疼爱,因为他是她最年轻的外甥,他的读书热情也是她帮助培养的。她写信给西蒙诺夫:“我亲爱的宝贝基柳雄切克,我希望你长大后,成为我们的依靠和安慰,我们都非常爱你。我希望你永远有足够的食物,就像我们从前的岁月。” (341)

    西蒙诺夫最后一次看到索尼娅是在1933年秋天。他寄宿于她在列宁格勒的住所,在她房间里写下了他一生最初的几首诗。1935年2月,索尼娅、柳德米拉、桃莉被流放到奥伦堡。西蒙诺夫的母亲在莫斯科获悉“三姐妹和从小在圣彼得堡就认识的许多人,都被送去流放地”,西蒙诺夫回忆她当时的反应:

    她坐在那里,手捧信件[她刚收到,来自奥伦堡的],眼泪哗哗流下。她突然说:“如果我当时与柳利娅[柳德米拉]一起从梁赞回到彼得格勒,现在我自然与她们一同受苦了。”我记得,她说话的方式使我震惊。她讲到,自己没与姐妹同住一个城市,所以逃脱了姐妹正在承受的厄运,语气中满含内疚。然后,她问继父:“也许,我们会被从这里送去流放地?”她说的“我们”,不是指我们一家,而是指她自己、她的出身,以及整个奥博连斯基家族。 (342)

    西蒙诺夫并没解释他为何感到震惊。也许,他惊讶于母亲的内疚,但还有其他原因。西蒙诺夫从小就把自己看作“苏维埃人”,继父的被捕丝毫没有动摇他的信念。恰恰相反,反而增强了他为自己塑立无产阶级身份的决心。他努力改造自己,先成为一名工程师,再充当一名“无产阶级作家”,更加强了他对苏维埃制度的认同。但母亲对姨妈被捕的反应——似乎是有史以来第一次,他听到她以苏维埃的语言把自己称作“异己分子”——迫使他面对现实。

    西蒙诺夫的母亲和继父,每月向奥伦堡邮寄食品和衣服,他也拿出自己收入的一部分来作资助。1936年,亚历山德拉前去看望她的三个姐妹。西蒙诺夫回忆,她很害怕,担心去了再也回不来(许多人担心,如果看望流放的亲属,自己也会被捕)。总是很现实的继父认为最好还是别去,如果去了被捕,就更难向她们施以援手了。但亚历山德拉坚持要去,并宣称“如果不去,就不算是真正的自己了”。亚历山德拉从奥伦堡回来,西蒙诺夫记得:“漫长的旅途和当地可怕的情景,使她筋疲力尽、悲凉凄楚、身心交瘁。但她并没有放弃希望……因为她认为,不会有更坏的遭遇了。” (343)

    然而,更坏的事还是发生了。1937年,索尼娅和桃莉在奥伦堡遭到囚禁,索尼娅被枪决,桃莉后来死在劳改营,存活的只剩柳德米拉一人。西蒙诺夫在人生的最后一年回顾这些事件,还忆起自己对最喜爱的姨妈之死的反应:

    我发现,她已被关押,之后就杳无音信。然后,他们告诉我们,她已死去——但不讲明死于何处和如何死去。我记得,当时之所以感到这种强烈且痛苦的不公,全与她[索尼娅]有关,或主要与她有关。这一感觉永远伴随我的灵魂——我不怕这样说出——这是国家和苏维埃政权对我本人的严重不公,它将永远留存于我的记忆之中。这一感觉让人特别痛苦,因为我知道,如果索尼娅还活着,一旦我能有所作为,第一个想帮的就是她。

    西蒙诺夫的遗憾是基于他以后获得的认知——他一直在与摧残自己姨妈的迫害制度携手合作。他在回忆录中承认,当初获悉她们被捕时的反应是不同的。他为姨妈感到惋惜,但设法找出理由,使她们的遭遇变得合理,甚至合法:

    我已不记得当时[1937年]的想法,不记得如何判断和自我说服的……但我知道,我不可能无动于衷,因为我非常热爱其中的一位[索尼娅]……也许我心想:“不磕破鸡蛋是无法煎蛋的。”与当初的感觉相比,这一托词在今天听来,更具讽刺意味。其时,大革命和打破旧社会,仍萦绕在人们的心头;大家交谈时,不用这一熟语的人犹如凤毛麟角。

    与白海运河的际遇,让西蒙诺夫更靠近政权;但在其他一些人身上,却产生了决然相反的效果。曾是犹太复国主义者的伊利亚·斯拉温是一名重要的法学家,任职于莫斯科的苏维埃法学院。1929年,他被调到列宁格勒,以援建那里的共产主义学院法律系。在同年的清洗中,列宁格勒大学法律系被关闭,它的“资产阶级”学者被开除,取而代之的是共产主义学院法律系。它亟需值得信赖的如斯拉温那样的布尔什维克,以对抗苏维埃法律界的“资产阶级右翼分子”,后者在列宁格勒仍颇有影响。 (345) 斯拉温已成为苏维埃法律领域的领军人物,除了担任司法委员会的顾问,还参与编纂了1926年的《苏维埃刑法》,那是1917年刑法后的第一次重大修改。在列宁格勒,斯拉温家与另外一家分享一套大公寓,他家占了两间房(在莫斯科,他们的共用公寓有15户人家)。后来,他们又搬进一套三室公寓,位于列宁格勒的苏维埃大楼,那里住有很多政府行政官员、科学家、艺术家。伊利亚的女儿依达回忆:

    相对来说,我们享有特权。兄嫂有自己的房间,父母也有自己的房间。同时,父亲又在自己房间内工作。我睡在餐厅,如有客人,就先去父母房间睡觉,等父母要上床了,再把我搬回餐厅的沙发床……但是,没有一丝一毫的奢华——绝对是斯巴达和几近清教徒的生活方式,完全遵循父亲的社会主义理想……我们与穷苦的朋友和亲戚分享额外的配给食品——父亲对此感到羞愧……书籍是我们唯一的奢侈品。

    斯拉温受共产主义学院的委托,写书攻击苏维埃主要法学家的“资产阶级倾向”,从而为政治上司提供自己的贡献。1931年,苏维埃政权对法律学术界发起清洗运动。斯拉温所写的《对苏维埃刑法战线的破坏》(Sabotage on the Front of Soviet Criminal Law),只是其中一部分,篇幅虽短,却很恶毒。他选出几名重要的学者律师,将他们在20世纪20年代的文章与其在1917年之前的相互比较、逐一对照,以揭露他声称的确凿的“资产阶级”观点。斯拉温在政治上坚信旧法律思维必须被铲除,所以谴责这些法学家正企图颠覆苏维埃法制的基本原则。他挑出列宁格勒大学法律系,批评它一直在训练“昨日的神父和白军卫士”,却假扮成“今日的马克思主义者和明日的共产主义者”。受到斯拉温攻击的几名法学家,随即离开他们在列宁格勒和莫斯科的大学教职,被迫奔赴外省,寻找工作。 (347)

    斯拉温家庭档案中有一张伊利亚·斯拉温的照片,时间在1931年,他的周围都是共产主义学院的同事和学生,照片背面写着:“斯拉温同志!深切怀念你——布尔什维克卫队的坚定共产党人、我们的老师、思想战线上的坚强斗士、横扫学术界寄生虫的铁扫帚。”在依达的记忆中,父亲却是一名柔和温情的男子。这两个形象,确实很难调和在一起。也许,斯拉温太软弱,无法抗拒党的要求,被吸进了这个迫害制度。也许,他觉得曾卷入犹太复国主义运动,易受攻击,需要写书来证明自己仍属“布尔什维克卫队”。也许,如依达所认为的,他“陷入迷途”,受了自己的信仰的误导。

    斯拉温相信“重新做人”,1917年之前就已在从事改造人的实验,为莫吉廖夫城地方监狱的囚犯设立工场和文化中心。其时,他只是一名法律助理,但与监狱长关系良好。改造人的想法,重现于他20世纪20年代和30年代的法律著述,特别是他关于同志法庭(tovarishcheskie sudy)的文章。他当时坚决主张,工作场所的法庭可迫使囚犯参与社区服务以改造自己。 (348)

    1933年,共产主义学院领导分配给了斯拉温新任务——写一本书,暂名为“劳役者的重新做人——以白海运河为例”。 (349) 事实上,他被要求为古拉格劳改营赋予法律和哲学上的正当性。也许,斯拉温先前关于“重新做人”的著作起了作用,为他赢得了这一份可怕的差事。但他被选中的主要原因,还是由于他撰写的《对苏维埃刑法战线的破坏》显示,他已做好准备,愿意寻找和构建法律上的论证,来支持现政权的压迫制度。

    相信“重新做人”是一回事,目睹它的实际操作却是另一回事。从1932到1933年,斯拉温去了几趟白海运河和其他劳改营,包括莫斯科至伏尔加的运河、西伯利亚东北部的科雷马劳改营。他所看到的,反而摧毁了他对苏维埃“重新做人”的信念。依达还记得父亲出差回来时的“疲惫和沮丧——好几天哑口无言,好像处于休克状态”。斯拉温访问儿童劳教营时,尤其感到震惊,他看到那里的狱警使用残忍的纪律来“重新锻造儿童,以培养苏维埃精神”。斯拉温实在写不出关于白海运河的书,一推再推,延后数年。好几章的草稿被他撕得粉碎(其中有一章题为“重新做人政策中的法西斯畸变”),因为他渐渐明白,“重新做人”在劳改营中并不存在。

    斯拉温知道自己已陷入困境。基洛夫被刺杀之后,共产主义学院一半的工作人员遭到清洗,斯拉温一直担心下一个入狱的就是自己。依达记得,父母锁上房门:“彻夜不眠,坐着窃窃私语。”党的档案证实,斯拉温的名字在1934年12月被列入政治嫌疑犯名单(“未来的逮捕对象”)。榜上有名的人都曾属于其他党派,只是到后来才加入了布尔什维克。 (350)

    共产主义学院领导施加的压力越来越大,斯拉温无奈,只得呈上有关白海运河的几章草稿。他在这几章中,对古拉格系统的日常运作提出若干批评,却只字不提“重新做人”的政策,因为实在找不到证据。他曾命名为“重新做人政策中的法西斯畸变”的一章,此时改称“重新做人政策中的畸变”。这是很勇敢的举动,斯拉温因此在1935年5月受到共产主义学院编辑委员会的严厉批评,这是一个道德转折点。他深感自己的布尔什维克信念难以为继,与犹太复国主义者中的熟人恢复了联系——这是一个绝望的尝试,借用依达的话,他“想让时光倒流,并弥补他的政治错误”。但斯拉温一定知道,为时已晚。他身陷绝境,完成此书才有可能自救,但他在道义上无法做到,只好不断推诿,他心里很清楚,推迟得越久,入狱也就越近。1937年3月,斯拉温在共产主义学院的党员会议上说:“我完蛋了,我在政治上已经破产。” (351)

    20世纪30年代中期,古拉格人口急剧膨胀。集体化和饥荒的受害者,都被送入劳改营,成为苏维埃工业经济的一部分。从1932到1936年,劳改营、劳教营、“特殊定居地”的人口已达240万人(另有50万监狱人口)。 (352) 这批奴隶劳工在北极区的伐木、建筑、采矿中,发挥了尤其重要的作用,那里根本招收不到自由劳工。即使在古拉格系统内,也有职业生涯的上升通道:既有狱警和管理人员,又有一定数量的囚犯——前者凭借自己的尽职,在内务人民委员会的内部获得晋升;后者只要他们身怀古拉格所需要的技能,并承诺追随或愿意适应党的路线。

    在苏维埃北极矿区的勘探中扮演重要角色的帕维尔·维滕贝格,被捕于1930年4月。他是科学院清洗出的数百位科学家之一,监禁于列宁格勒,因为忍受不了审讯和威胁而渐渐屈服,最终承认属于一个曾帮助组织1927年雅库茨克叛乱的保皇组织(维滕贝格曾赴西伯利亚东北部,勘探科雷马金矿)。审讯人当着他的面站起来打电话,下令逮捕帕维尔的妻子吉娜(季娜伊达),从而迫使他只得屈服。在帕维尔监禁时期,吉娜一直在担心自己会被捕,她与女儿被迫搬入奥尔戈诺度假区乡间别墅中的一个房间,其他房间则由一名政治警察举报人占用,负责张罗没收他们的财产。帕维尔的女儿叶夫根尼娅回忆,她每周陪同母亲前往列宁格勒戈罗霍娃街的政治保卫总局办事处,询问有关帕维尔的近况:

    她会把我,一个年仅8岁的女孩,留在海军部花园的喷泉处(当时没在喷水),让我在原地等候。如果她一去不回,就意味着她也被捕了。我就应从口袋里拿出一张小纸条,按上面的地址自行去找,塔吉娜·勒沃夫娜住在那里,会收留我的。

    1931年2月,帕维尔被判处枪决,临到最后一刻又获缓刑,改判劳改10年。他在奥尔戈诺度假区的房子充公(变成政治保卫总局官员的乡间别墅)。他自己先被送去马伊―古帕伐木营,为白海运河提供木料;后来被送去白海运河北部入海处的劳改营——靠近凯姆镇,充当污水处理的工程师。同时,吉娜带上女儿叶夫根尼娅和瓦伦蒂娜,搬进列宁格勒一座共用公寓的单间(长女维罗尼卡已搬去达吉斯坦)。该共用公寓共住16人,其中有原主人——住在正房的一对老夫妇,还有他们充满“阶级仇恨”的前女仆,住在走廊的帷幕背后。到夏天,吉娜把两个女儿送去基辅亲戚家寄宿,自己前去凯姆镇的劳改营充当志愿医生,旨在靠近丈夫。 (353)

    1931年8月,吉娜刚刚回到列宁格勒,帕维尔就作为地质学家参加政治保卫总局的一支特别考察队,前往瓦伊加奇岛,评估在当地开采贵重矿产的可能。帕维尔很幸运,凭借自己的地质学专长而获得拯救。他虽是囚犯,仍可在自己的专业领域发挥专长,为古拉格服务。率领瓦伊加奇岛考察队的是整个古拉格系统的主管费奥多尔·艾希曼斯,他1930年6月离开莫斯科,亲赴位于喀拉海的这个偏远北极岛,筹办第一个劳改营。1500名犯人中,近一半是地质学家、地形测绘员、工程师,虽然探测到了岛上丰富的锌和铅矿藏,却找不到艾希曼斯真正冀望的黄金和铂金。住在岛上的涅涅茨人(Nenets)为考察队提供运输服务,其古老传说中的“金女”应是一个纯金的图腾娃娃。劳改营条件很差,尤其是在营房建成之前的几个月,大家住在帐篷里,人工开采锌和铅,纪律非常严苛——稍有违规,便遭枪决——许多人死于严寒,该岛冬季的温度通常跌至摄氏零下40度。 (354)

    维滕贝格抵达时,寻获黄金的前景已变得渺茫,这或许可以解释为何叫他也来帮忙。帕维尔很快被委任为总地质师,完成了对瓦伊加奇岛的勘测,到1934年更开启了古拉格的采矿设施,成为北极圈内的第一个采矿区。他在政治保卫总局的内部期刊上发表了几篇有关考察队的文章,甚至为海岛的自然历史作了剪贴记录。尽管是一名囚犯,帕维尔享有特权,他领取特殊口粮,住在专家住宅,甚至有自己的办公室。1932年3月,他的家人获准来访,陪他在夏天勘探瓦伊加奇岛。1933年夏天,吉娜将瓦伦蒂娜托付给列宁格勒的朋友,带上叶夫根尼娅来与帕维尔同住。其时,已在1932年10月取代艾希曼斯的劳改营新指挥官阿列克谢·季茨克兰,允许专家的家人前来团聚。吉娜的家书描述了当时的情形:

    1933年8月26日
    我亲爱的小女儿,维罗尼切卡[维罗尼卡]和柳森卡[瓦伦蒂娜]:
    24日夜深时,我们终于抵达爸爸的住地。路上一共花了6天,其中3天都遇上了彻骨的5级大风。古连卡[叶夫根尼娅]非常勇敢,要知道我们的四周大部分乘客都晕了船……爸爸上了我们的船,将行李搬上他的摩托艇。晚上11点,我们就到了家。爸爸看起来很棒,体重有所增加,脸色极好,没有一道皱纹。他的心情甚佳,充满活力,喜爱自己的工作,一如既往……我们的专家住宅很好,如果你停下来想一想这里已是北纬70度,那么确实算是相当不错。我们有两个赏心悦目的房间,每一间有3扇窗,虽然面向东北和西北,仍然光线充足。房内有一个巨大的炉灶,带烤箱的。所以,我必须改进我几乎全忘了的持家能耐。下一次航船,我会寄上爸爸的照片,你们将亲眼看到这里的条件多好、爸爸长得多壮……我们昨天晚上聚会,欢送返回大陆的[囚犯],欢迎新来定居的。会上的发言我们都很喜欢;劳动英雄普受好评。看来,瓦伊加奇岛考察队在全苏联社会主义竞赛中获得了第一名。这里有美好的“重新做人”:所有返回大陆的囚犯,都已成为有文化有觉悟的合格工人。真希望我们能有更多这样的“重新做人”……晚会的最后节目是“活墙报”[ 一种宣传鼓动] 和精彩的音乐会。这就是我在此地一天半的见闻……

    在劳改营的樊篱之中,维滕贝格一家的生活渐渐回归正常家庭的作息。吉娜在劳改营的诊所当医生,叶夫根尼娅就读于专家和管理人员的子弟学校。叶夫根尼娅回忆:“我们的生活围绕着妈妈和爸爸的工作。”

    每天早晨,不管气温如何,爸爸总是打上一盆冷水,在我们房间内洗身,吃完早饭后,就去地质部门上班。他下班回来之后,我们共进晚餐。然后,他又要埋首案前。妈妈下班回来总是很累,即使是傍晚的阅读,她都感到吃力。我放学后承担所有的家务,因为我的时间最多。我去食堂领晚餐(两份是志愿劳工的,一份是囚犯的),厨师都是中国人,非常称职,教我如何烘焙。一般来讲,与我们在列宁格勒时相比,这里的食物似乎太丰盛了。 (356)

    这种对古拉格的乐观,到底是真还是假?根据叶夫根尼娅所说,吉娜的乐观乃至对“重新做人”的信念,都是由衷的,不只是写给信件检查员看看的。 (357) 毫无疑问,家庭得以重新团聚,由此而生的幸福感发挥了效用。同样重要的是专家的相对特权,庇护了他们免受劳改营生活的最坏待遇。另一个可能是,他们沉浸于自己的工作,心甘情愿接受让他们维持现状、不致失眠的任何解说。

    1934年,瓦伊加奇岛上发生叛乱,在岛另一端工作的一帮囚犯杀死狱警,发动起义。但他们无处可逃,最终不是被击毙,就是被抓回营地。吉娜是劳改营的医生,必须检查那些俘虏的伤口,以决定他们是否适合继续工作。她看到可怕的殴打的证据,但对“重新做人”的信念丝毫不曾动摇。同样丝毫未变的是她的积极配合,正如她在雇佣合约中所允诺的,她愿意减少囚犯的病假时间,去贯彻劳改营的劳动纪律。吉娜在叛乱善后工作中表现优异,因此获得“突击手”(udarnitsa)的光荣称号,还登上了劳改营的“红书”光荣榜。她帮助囚犯学习文化和一门手艺,认为这将有助于他们改造人格、成为新人、重返社会。她甚至参加党校学习,还写信告诉女儿,非常喜欢所学到的东西。

    据叶夫根尼娅说,帕维尔也愿接受有关古拉格的官方观点。在她看来,他为科学而活,“对政治则兴趣索然。他感谢苏维埃政权让他有机会继续自己的专业,并让家人来瓦伊加奇岛与他团聚”。如果他相信“重新做人”,在女儿看来,那是因为“他天性非常真诚,也许有点天真,具浪漫性格”。在很大程度上,这兴许是真的;只不过这个见解来自深切怀念父亲的女儿。从不同角度看,帕维尔的行为可被视作一种道德上的委曲求全。他的事业显然在劳改营的环境中蒸蒸日上,他所需要的,在那里应有尽有。帕维尔在日记中写道:“在瓦伊加奇岛担任指挥官,该有多痛快。纪律是半军事化的,工人完全听从指挥。”1935年7月,帕维尔因自己的杰出贡献而获得提前释放,整整早了6年。但他希望完成对瓦伊加奇岛的地质研究,所以与行政当局签署了一份合约,以自愿性质继续这项工作。现在看来,这是很关键的转折点。他不再是一个被迫为古拉格工作的囚犯,已经变成了古拉格系统的合作者,以此推进自己的研究。

    他完成瓦伊加奇岛的地质研究后,又去德米特罗夫劳改营,成为莫斯科至伏尔加的运河的地质学家。同时,吉娜和叶夫根尼娅返回列宁格勒,发现“生活变得较为舒适”。她们搬回曾住过的共用公寓——瓦伦蒂娜和维罗尼卡也来团聚,很快分到额外的一间房。在基洛夫遇刺之后的列宁格勒恐怖中,该共用公寓的原主人已经被捕。但她们无法取回自己的旧家具,因为内务人民委员会仍在使用她们在奥尔戈诺度假区的乡间别墅,但她们因此受邀前去内务人民委员会的仓库,自行挑选列宁格勒恐怖时没收来的家具。瓦伦蒂娜和维罗尼卡选了一对古董扶手椅、一张沙发床、一面镜子、一个书柜和一架三角钢琴。 (359)

    帕维尔1936年回到列宁格勒,在随后的两年当中,继续为古拉格的北冰洋行政部门工作,数次率队远征北地群岛地区。1936年,帕维尔写信给叶夫根尼娅说:“如何获得更多的生存空间,让我们作为一个紧密相连的家庭舒服地住在一起,似乎是我无法解决的难题。”他通过在古拉格的工作设法争到了特权地位,但在政治上仍感到不安全,担忧自己的家人。

    你们曾经陪伴我一起受苦受难,理应得到一份舒适的生活。但我却无能为力,叫我情何以堪!我所能做的,就是自建一所小房子,但妈妈听也不愿听。可以帮我的强人,却将我拒之门外。何时我才能恢复1930年之前的影响力,哪怕是其中的十分之一?

    帕维尔努力让自己苏维埃化,上课学习党史,衷心接受个中的“真理”。到1936年的年底,他已经照单全收有关“托派”和苏维埃政权其他“敌人”的教义。帕维尔在日记中写道:“这真是一个耻辱,我从不知道这种事情。要是我早一点知道,阅读历史可以拓宽视野,使自己正确理解党的总路线,也许我的生命便不至于卷入流放和监禁的舛途。我的生活遭到摧残,到底是为了什么?成千上万的人沦为迷途的羔羊,全怪那个混蛋托洛茨基!” (360)

    帕维尔的故事提醒我们,古拉格远远超越监狱营地本身。它是苏维埃工业的主要驱动力之一,雇用了大批专家和技术员——工程师、地质学家、建筑师、研究员甚至飞机设计师——向他们提供独特的机会,让他们发展各自的事业。

    帕维尔·德罗兹多夫1906年出生于切尔尼戈夫地区的农民家庭,父亲在1917年之前便积极参与马克思主义运动。父母都在内战中丧生后,帕维尔来到莫斯科,就读于莫斯科大学经济系,之后又接受电工培训(最后在负责首都电气化的发电站上班)。1925年,帕维尔因参加莫斯科大学的学生组织而被捕,判处3年徒刑,流放到克拉斯诺维舍尔斯克地区。他在那里的伐木营工作,附属于其时仍处设立初期的维舍拉。刑满前一年,即1927年,帕维尔即已获释,自愿选择留在原地,继续他的会计工作。他娶了劳改营邻近农村的女孩亚历山德拉,育有两个孩子,一起住在劳改营的管理员宿舍。1929年,“开明”的古拉格主管爱德华·别尔津抵达维舍拉,帕维尔的命运由此而发生巨变。别尔津大力提倡囚犯“重新做人”,他相信他在德罗兹多夫的身上找到了理想的实例。别尔津赏识帕维尔的才干,特别是他的过目不忘(别尔津喜欢说,帕维尔的脑袋里安有一台计算器)。他在劳改营管理系统中迅速提拔帕维尔,与维舍拉高级官员交谈时,经常提及这位前囚犯,视之为“重新做人”的典型。1929年,帕维尔变成伐木营的首席会计;1930年,又晋升为整个维舍拉的首席会计。之后,他作为亲信,跟随别尔津离开维舍拉,前往西伯利亚的东北部,帮助筹办远北建设托拉斯的劳改营网络。他在新的古拉格中心马加丹,成为远北建设托拉斯规划部门的首席会计,还须督察属下的各个劳改营。他晋升为内务人民委员会的中将,分得一套四室的公寓,大得足以容纳自己一家再加上妹妹一家。他还在莫斯科获得一套公寓,亚历山德拉和孩子可去那里过冬。这家人享有特权,能使用专为斯大林精英保留的特殊商店和疗养院,遇上苏维埃节日时,还可以领到远北建设托拉斯制造的礼物。要知道几年前,他还是古拉格一名普通囚犯,现在已是天壤之别。

    米哈伊尔·斯特罗伊科夫1901年出生于伊万诺沃城附近的老信徒家庭,地处莫斯科的东北,相距300公里。1925年,他就读于莫斯科建筑学院,并与年轻艺术家艾莱娜结婚。他的妻子在工人补习学校(专门培养工人阶级出身的学生,为高等学院做准备)上课,女儿朱莉娅出生于1927年。在女儿呱呱坠地之前,米哈伊尔就已被捕,流放到西伯利亚,因为他属于一个反对布尔什维克农民政策的学生组织。艾莱娜也被工人补习学校开除,只得去纺织厂上班。1930年,米哈伊尔重返莫斯科的建筑学院,两年后再一次被捕,囚在布提尔基监狱两年。米哈伊尔被认为是才华横溢的学生,被逮捕之前尚未完成他的学位论文,由于教授的干预,他获准在布提尔基监狱继续攻读,甚至回到建筑学院作了论文答辩。要是没有政治警察的帮忙,米哈伊尔这样的特殊待遇,肯定是不可想象的。他有两个叔叔在政治保卫总局供职,他的老朋友菲利浦·巴扎诺夫,即艾莱娜的第一任丈夫,也在国家政治保卫总局担任高职。在米哈伊尔服刑期间,巴扎诺夫尽力帮助艾莱娜(意图说服她重回他的怀抱)。1934年,米哈伊尔流放到了阿尔汉格尔斯克。尽管有亲戚在当地,其中一人还曾担任摩尔曼斯克的副省长,但米哈伊尔没去探望,因为不想连累他们。

    米哈伊尔全靠自己的建筑知识获得拯救。在内务人民委员会几个重大建设项目中——工厂和桥梁,他受雇为规划建筑师,附近的劳改营则提供古拉格劳工。他很快成为阿尔汉格尔斯克的总建筑师之一。即便是一名流放中的囚犯,米哈伊尔的生活条件,仍然好过身在莫斯科的艾莱娜和朱莉娅。米哈伊尔赚取高薪,在内务人民委员会的工程师和技术员食堂里每天吃肉。而生活在莫斯科的朱莉娅和艾莱娜,全靠粥和面包度日,她们要靠米哈伊尔汇钱才能买肉。朱莉娅体弱多病,迫切需要营养。1930年的年底,艾莱娜干脆把她送到父亲住的阿尔汉格尔斯克,希望她受益于米哈伊尔相对舒适的生活。朱莉娅上次见到父亲(她唯一的记忆)是在两年前的布提尔基监狱,那次探监造成如此大的困扰,以致6岁的她竟然想到了自杀。米哈伊尔向老妇人艾莱娜·彼得罗夫娜租借了房间的一角,并承包他们的一日三餐。朱莉娅以眷眷之心回忆那这些菜肴——肉片通心粉、裹肉馅的薄煎饼、鸡腿和冰淇淋。

    晚上,爸爸下班回来就会问我:“我们让艾莱娜·彼得罗夫娜做什么菜呀?你想吃什么呀?”我非常喜欢她的美味食物,总是会说[她煮给我们吃的第一道菜]:“通心粉和肉片!通心粉和肉片!”有一天,爸爸实在吃腻了,央求我:“柳森卡,想想别的,我不想再吃了。”但我对其他的菜连想都不想。

    在朱莉娅看来,从1934到1937年,她在阿尔汉格尔斯克度过的岁月,是她一生中最幸福的时期。她在学校里得心应手,茁壮成长。她喜爱芭蕾舞,父亲带她去剧院观摩,并买回留声机,让她在自家小空间随音乐翩翩起舞。艾莱娜将这小空间取名为“爸爸的角落”,仅有7平方米,是米哈伊尔以胶合板自建的,有墙有门,与艾莱娜·彼得罗夫娜的住处分隔开来,给人以单独房间的错觉,米哈伊尔为此感到非常自豪。“爸爸的角落”只能容纳一张单人床和一桌一椅,还有墙上的书架。不管如何,它仍算是一个家。朱莉娅与父亲在此生活,非常愉快。

    1937年1月,艾莱娜也赶来阿尔汉格尔斯克。米哈伊尔的刑期即将结束,她想阖家一起返回莫斯科,但当局不让她在阿尔汉格尔斯克等待,只好带着朱莉娅先回莫斯科。几星期后,即同年3月,米哈伊尔重又被捕,被以“反革命煽动”的罪名判处劳改5年(1938年遭枪决)。艾莱娜对此次逮捕一无所知,只是一直收不到丈夫的音信。到第二年的夏天,她返回阿尔汉格尔斯克,找到艾莱娜·彼得罗夫娜,方才获悉真相。

    维滕贝格家、德罗兹多夫家和斯特罗伊科夫家的遭遇均属特例。古拉格人口的绝大多数,不是充作奴隶劳工,就是羁留在劳改营和偏远定居地枯萎凋零,很少有机会获得正常生活,或缓刑减刑,所付出的代价非常巨大。内务人民委员会的统计数据显示,从1932到1936年,超过15万人死于苏维埃的劳改营。 (363) 而20世纪30年代的中期,通常还被视作1937至1938年大风暴之前的平静(诗人安娜·阿赫玛托娃甚至称之为“素食年代”),这个死亡统计折射出了迥然不同的色彩。对饱受大恐怖摧残的人来说,有关“平静”的想法可能是真的。但如有家人早早陷入古拉格系统,对这样的数百万人来说,30年代中期已是最痛苦的年代。

    阅读这些囚犯寄给家人的信件(写信人无时无刻不在提防审查人员),会惊讶地发现,古拉格大大改变了很多囚犯的价值观和选择顺序——尤其是为自己的理想牺牲甚多的“政治犯”。之前,他们可能在职业中或共产主义的乌托邦中,寻求自己的满足和幸福;现在,劳改营或流放中的多年求生迫使他们重新考量,转而愈加重视家庭的价值。

    塔蒂亚娜·波洛兹(娘家姓米亚赫科娃),1898年出生于坦波夫省鲍里索格列布斯克地区的律师家庭。她母亲费奥克蒂斯塔是神父的女儿,又是社会民主党成员;1903年,布尔什维克与孟什维克产生分裂时,该党与前者站在一起。母亲鼓励塔蒂亚娜投入政治。1919年,塔蒂亚娜加入布尔什维克,在内战的南部战线即邓尼金白军的腹地开展宣传工作,并在那里遇上未来的丈夫米哈伊尔·波洛兹。他是乌克兰社会革命党的领导成员,又在独立的乌克兰政府军事委员会供职。该党是乌克兰境内唯一获得大量农民支持的政党,内战结束后并入布尔什维克。乌克兰接受苏维埃的统治,波洛兹变成乌克兰驻莫斯科的政治代表。塔蒂亚娜在高级党校学习,听取托洛茨基的演讲。1923年,米哈伊尔在苏维埃乌克兰政府中被任命为财政人民委员。他和塔蒂亚娜定居于哈尔科夫城(1934年前的苏维埃乌克兰首府),1924年,他们的女儿拉达在那里出生。

    3年后,塔蒂亚娜先被流放至阿斯特拉罕,1929年再流放至哈萨克斯坦的切尔卡地区。她被控是积极的反对派,与斯米尔诺夫集团有染。在1927年其领导群被开除出党之前,那个集团一直是以托洛茨基为首的左翼反对派中一个重要派别。1929年秋天,米哈伊尔前去看望身在哈萨克斯坦的塔蒂亚娜,恳求她为了其时寄养于外祖母处的女儿,放弃她的反对派活动。据一名也流放于切尔卡地区的反对派同伴说,米哈伊尔曾在她耳边低语,“像是某种秘密信息,令她陷入彻底的沮丧,现出一败涂地的模样”。也许米哈伊尔告诉她,斯米尔诺夫一伙正在与斯大林当局谈判投降条件,以便恢复名誉,重回党内。1929年11月3日,斯米尔诺夫的文章出现于《真理报》,他宣称自己已抛弃托洛茨基立场,全力支持五年计划和“党的总路线”,并呼吁追随者“克服犹豫不决,返回党内”。斯米尔诺夫集团的400名成员随即签署一项声明,转而支持党的总路线,其中就有塔蒂亚娜。她因此获释,从流放地返回自己的家。 (364)

    1930年,全家从哈尔科夫搬到莫斯科。波洛兹成为苏联预算委员会副主席,塔蒂亚娜在汽车工业界担任经济学家。他们带上塔蒂亚娜的母亲费奥克蒂斯塔和一个管家,一起住进专供政府人员使用的著名的河堤大楼,就在克里姆林宫的对面。由于浪漫的革命家一直为理想而活,他们一家并不很看重自己的特权生活。尽管丈夫坚信反对斯大林是徒劳的,母亲又全心拥护斯大林,塔蒂亚娜仍坚守自己的托洛茨基立场。1933年,塔蒂亚娜连同斯米尔诺夫集团的其他成员再次被捕,获刑3年,被送去乌拉尔地区的上乌拉尔斯克特殊隔离营。数月后的1934年,米哈伊尔也被捕,罪名是试图建立资产阶级的乌克兰政府,判处10年,被送去索洛韦茨基劳改营。拉达和外祖母被赶出河堤大楼,搬到莫斯科郊外一个配有家具的公寓。不久,拉达的姨妈奥莉加和她儿子沃洛蒂亚也搬来同住,她的丈夫也在3年前被捕。拉达回忆,费奥克蒂斯塔“尝试教育我尊重和热爱自己的父母”。

    但同时,她又希望我热爱和尊敬苏维埃政权。这不是一件易事,但不知何故,她竟然做到了。外祖母坚信,斯大林自己不清楚逮捕的规模……她认为,既然有这么多反苏维埃政权的敌人,要查出到底谁有罪,确实很难。在我们的房子里,经常能听到“不打破鸡蛋就无法煎蛋”的感叹。 (365)

    从1933到1936年的6月,塔蒂亚娜共写了136封信给费奥克蒂斯塔和拉达,平均每周一封,这是古拉格尚存私人信件中最大收集之一。 (366) 早期信件反映了塔蒂亚娜在政治上的执著,要求给她寄去马克思著作,还会具体评论最新的政治事件。例如在1934年6月,塔蒂亚娜的信件对“切柳斯金号”的船员赞不绝口,因为他们刚刚完成跨越北冰洋的首航——从列宁格勒到白令海峡。不幸的是,这一航程以灾难告终。1934年2月,该船被坚冰撞破,沉没于楚科奇海。好在船员们安营扎寨于冰山之上,最后获得苏维埃飞机的拯救,返回了莫斯科。那里的宣传机构,将之誉为英雄生存的壮举。塔蒂亚娜在6月24日写道,“切柳斯金号”船员向全世界展示了“布尔什维克是何等人物”;4天后她的信又回到了同一主题:

    作为苏维埃公民的骄傲,可能从没像今天这样全面而强烈。这一骄傲来自苏维埃人民的“优良品质”、苏维埃的先进飞机、苏维埃的杰出科学家和船员以及其他一切,来自布尔什维克主义。布尔什维克在冰山上显示出了其思想和组织的至高无上。对儿童教育来说,那该有多大的说服力!

    拉达的政治教育是这些信件中不断呈现的关注点。拉达回忆,“妈妈老是在写如何建设共产主义”。

    她希望我成为一名工程师和作家……她的信件对我影响很大。我虽是外祖母带大的,但我觉得,我也是妈妈通过这些信件抚养长大的。 (367)

    塔蒂亚娜希望拉达成长为一名共产主义者。她费尽笔墨,点评拉达在家里的行为(谎称是在报纸上读到的,以免透露真正的消息来源,即外祖母费奥克蒂斯塔)。

    1935年6月12日
    我的小猴子,我们的家务活做得怎样了?他们在报纸上写,你做家务并不心甘情愿,经常丢三落四的,但也写上了其他讯息。我在《消息报》上读到这样一份电讯:“莫斯科(塔斯社)——11岁的突击工人兼模范学生拉达,今天被要求清洗碗盘、收拾厨房。这个任务完成得很好,碗盘非常干净,一切都收拾得整齐。拉达检查自己的劳动成果,表示满意。她还告诉我们的记者,从现在起,她将以同样的高标准,履行所有的家务职责。”记者当然对你表示赞许,我也有同感。小猴子,按照吩咐去做你的烹饪、清洗、打扫,最重要的是听从吩咐。

    塔蒂亚娜羁留在狱中愈久,她的信件就愈加牵挂家人。米哈伊尔不得与莫斯科通信,却能写信给塔蒂亚娜。由此,夫妇之间的信件成了父女相互了解的唯一途径。拉达在反思母亲的信件时认为,它们让塔蒂亚娜保持家庭联系,而她的生存又有赖于这一联系。拉达在回忆录中写道,那些信“充满乐观,总是提醒我们岁月如梭,也一直在期盼家人重聚的快乐时光”。塔蒂亚娜的许多监狱来信都夹有小礼物——碎布缝的娃娃、玩具动物甚至小衣服——都是她在劳改营中为拉达做的。

    1936年,塔蒂亚娜于上乌拉尔斯克特殊隔离营获释,又流放至乌拉尔斯克城,之后再转至阿拉木图。1936年3月,费奥克蒂斯塔赴乌拉尔斯克城,与女儿共度了两个星期。对塔蒂亚娜来说,这两周的时光实在太珍贵了。她后来描述两人坐在一起的亲密:“我的头靠在你肩膀上,一起回顾逝去的光阴。”费奥克蒂斯塔返回莫斯科后不久,塔蒂亚娜写道:“妈妈!我回到家里,但这已不能算是家了。你不在,就没有‘家’[用英文写的]——再也没有温暖。”4月,塔蒂亚娜搬去阿拉木图,开始寄望于拉达能前来跟她一起生活,因此投入所有的精力为实现女儿的迁移奔走。她这段时间的信中充满了希望和兴奋。拉达写道:“她的倔强和执著聚焦于找到一份工作,以及与女儿同住的小房间。”但到最后,此行还是落空。1936年6月,拉达正要离开莫斯科前往阿拉木图与母亲团聚,塔蒂亚娜却再次被捕,被送去另一个劳改营。拉达回忆:

    我们买了赴阿拉木图的火车票,找好路上可照看我的旅伴,打好包裹,发送电报,告知我的抵达信息。回电却说:“收件人已不住在这里。”只好退掉车票。我留在莫斯科,再也没有见到母亲一面。

    塔蒂亚娜被送去科雷马——那是斯大林古拉格系统中最糟糕的营地之一,并于1937年11月遭枪决。同月,米哈伊尔也被枪决于卡累利阿。他与妻子(托洛茨基分子)的通信,都被记录在内务人民委员会的文件中,足以让他被判处死刑。 (370)

    拉达对父母的去世茫然不知。她尽量不去想,因为不知道他们是否还活着。但有一次,她在梦中看到母亲:

    一开始,我在大洋中一条船的甲板上,手中是两本包有褐色胶纸的教科书。我打开其中一本,看到母亲的笔迹。第一句很奇怪:“当你读到这几行字时,我已在海底……”我继续往下读,记不得读了多少行。突然,恐惧袭入我的心,海水从巨大的管道喷薄而出。我的恐惧骤涨,将我紧紧攫住,直到我惊醒过来。 (371)

    拉达坚信这个梦所传递的“信息”——母亲已经淹死——开始对她朝思暮想。后来,她从科雷马劳改营的幸存者那里听到有关囚犯船沉没的故事,更加确信母亲的厄运。多年来,她一直相信自己的梦;尽管后来收到当局的死亡证明,说母亲是被枪决的,但她仍然认定母亲是淹死的。

    监禁之后转向家庭的狂热社会主义者,不单单是塔蒂亚娜·波洛兹。尼古拉·康德拉季耶夫1892年出生于科斯特罗马省的农民家庭,该省地处莫斯科的东北方向,相距400公里。他在圣彼得堡大学攻读经济学,加入了社会革命党,并在1917年的土地改革中发挥了重要作用。20世纪20年代,康德拉季耶夫是一名杰出的经济学家,向苏维埃政府提供咨询。他全力支持新经济政策,提倡农业和消费品的生产应该优先于重工业,同时还推出了资本主义经济的长周期理论(“康德拉季耶夫长波理论”),并因此闻名于世。随着新经济政策的逆转,康德拉季耶夫被解除一切职务。1930年7月,他被捕,罪名是他属于一个非法的 “农工党”(很可能是子虚乌有的)。斯大林写信给莫洛托夫说:“一定要枪毙康德拉季耶夫和其他几个歹徒。” (372) 但到最后,康德拉季耶夫被判处8年徒刑,始于1932年2月,囚禁在苏兹达尔镇的一个特殊隔离营——14世纪时曾是斯帕索―叶菲梅耶夫修道院。

    康德拉季耶夫的健康状况迅速恶化,频繁进出监狱医院,症状有剧烈头痛、头晕、间歇性耳聋、腿部的慢性风湿、腹泻、呕吐、失眠和抑郁。1936年,他几近失明。然而,康德拉季耶夫仍致力于研究工作,并筹划撰写5本新著。他给妻子叶夫根尼娅写的信超过100封, (373) 几乎每一封都附有小字条,专给出生于1925年的女儿艾莱娜(“阿廖娜”)。康德拉季耶夫内心的离别痛苦,在这些信件中表露无遗,最牵挂的就是自己的女儿。他是一名如此慈爱的父亲,此情此景因而变得愈加凄美。他渴望在女儿的成长过程中发挥积极影响,做不到这一点又成了他内心最痛苦的煎熬。他在1932年3月写给叶夫根尼娅的信中说:“真可怕,她将在我缺席的情况下长大。这带给我的折磨远超过任何其他的。” (374) 尼古拉将所有的父爱,注入写给艾莱娜的信中。她没写回信时,尼古拉就会责备她不够孝顺。尼古拉会不断向她提醒,自己被捕前父女共同生活中的小小轶事。他在信上绘画,给她讲修道院周遭野生动物的故事——小鸟飞来探望,还有他看到的小狐狸。在许多信件中,尼古拉还附上从修道院四周采来的花草。他最主要的注意力集中于女儿的智力发展,给她寄去谜语和字谜,为她开列推荐的书单,要她写读后感。他还鼓励她记日记,纠正她来信中的错误,不厌其烦地提醒她:“书写要工整,凡事都要尽力而为。” (375) 他许多来信的尾部都有小孩写的“爸爸”二字。这就是艾莱娜所拥有的有关父亲的一切。她长大后,成为一名植物学家,是莫斯科大学的教授。也许,父亲的信件最终还是激起了她对植物学的兴趣。

    1935年,为了纪念她的命名日, (376) 尼古拉给艾莱娜寄去一则他自编自画的童话《沙米不寻常的冒险记》(The Unusual Adventures of Shammi),讲述一只小猫寻找理想家园,其间的“人们、动物、植物,都生活在幸福与和谐之中”。沙米与朋友公猫瓦夏一起出发,后者很懦弱,也很勉强。在旅途中,它俩遇上各种动物,都试图劝阻它们,并允诺,如果它俩放弃寻找,就会后福无量。但沙米依然一往无前,反倒吸引了不少追随者——山羊、驴、马、母鸡——它们都在“努力工作并渴望更好的生活”。但很快,它们一伙迷了路,开始互相争论,有的被鳄鱼吞食,有的被森林中的猎人捕杀。

    1938年8月31日,康德拉季耶夫写信给女儿:

    我甜蜜的宝贝阿廖努什卡(艾莱娜):

    兴许,假期已经结束,你已重返学校。你的夏季过得如何?我很想知道,你是否更加强壮、体重增加、皮肤晒成了褐色?我非常想看看你,亲吻你许多许多次。我自己还是不舒服,仍在生病。我甜蜜的阿廖努什卡,我希望你在这个冬天不会生病,一如既往地努力学习。要阅读好的书籍,做一个聪明乖巧的小女孩,听母亲的话,永远不要让她失望。如果你没把我——你的爸爸——彻底忘了,我也会很高兴。好吧,身体健康!心情愉快!我愿吻你个不停。

    你的爸爸 (377)

    这是最后一封信。不久,9月17日,尼古拉就遭行刑队枪决。

    [1] 它的地基渗水,即使以莫斯科墓地的墓碑来堵塞,仍然无效。儿童们爬过围栏,在地基的积水潭中游泳,或钓鲤鱼。该宫殿的建造因1941年战争的爆发而停工,之后再也没有复工。但它的效果图继续印在火柴盒上,附近的地铁站名(今天的科洛波德站)仍叫苏维埃宫殿,只是工地本身后来变成了游泳池。
    [2] 帕维尔·加利斯基(生于1911年)还记得自己在1932年清洗期间,曾受列宁格勒红色军火厂党主管的质询。加利斯基是神父的儿子,担任工厂墙报的主编,新近入党,家庭背景使他易受攻击。工厂清洗委员会的负责人,既是地区党委主席,又是工厂董事,当场要求加利斯基介绍“列宁的著作《反杜林论》”的摘要(事实上,该著作不是列宁的,而是恩格斯的,它详细阐述了有关马克思主义哲学、自然科学、政治经济学的概念)。加利斯基对此书根本一无所知,但他回忆:“我想,反的意思就是反对。所以我就回答,列宁写这本书就是要批驳这个杜林。他们说:‘正确!干得不错,聪明的小伙子!’”(MSP, f. 3, op. 53, d. 2, l. 6)
    [3] 1935年8月,顿巴斯的矿工阿列克谢·斯达汉诺夫(Aleksei Stakhanov)挖出的煤炭创了纪录,赢得了全国媒体广泛的表扬。他的成就引发了一项群众运动,专门奖励熟练且尽职的工人,因为效率是第二个五年计划规定的目标。斯达汉诺夫运动很快发展成一种“突击劳动”,超出生产配额的人可获得奖金、消费品、较好的住房,甚至可晋升为行政干部(尤其是警察)。就斯大林政权而言,该运动是提高生产标准、降低基本工资的措施。它使工人更依赖计件的报酬,又对经理和官员施加了强大压力。燃料或原材料发生短缺时,或模范工人无法完成指标时,经理和官员就要承担全部的罪责(常被指控为破坏者和颠覆分子)。
    [4] 1935年10月,斯大林探望他在第比利斯的母亲,受到广泛的宣传,由此启动了一场宣传运动,以显示他是家庭观念浓厚的人。斯大林在克里姆林宫花园与他的孩子们在一起的场景也被拍了照,这在以前是绝不允许的(大多数苏维埃人甚至不知道斯大林育有子女)。
    [5] 出于这个原因,她希望匿名。
    [6] 精神科医生发现,共用公寓的长期居民中,有很高比例的人患有精神分裂症和妄想症。
    [7] 俄国将领波将金(1739—1791)为使女皇叶卡捷琳娜二世对他的领地留下好印象,在女皇必经之路旁建起一批繁荣村庄。其后,“波将金村”作为弄虚作假的代称闻名于世。——编注

    第四章 大恐怖(1937—1938)

    1937年7月7日晚,丈夫被捕时,朱莉娅·皮亚特尼茨卡娅都不知作何感想。奥西普·皮亚特尼茨基是老布尔什维克,创立初期就是其成员,又是列宁最信赖的同志之一。1932年1月,列宁的遗孀克鲁普斯卡娅,在祝福皮亚特尼茨基50岁生日的《真理报》文章中,把他描述成一位“典型的革命家,一切奉献给党,全为党的利益而活”。朱莉娅实在想不明白,奥西普何以变成了“人民公敌”。她是一名坚定的布尔什维克,现在却变得手足无措,不知道究竟应该信谁:已将皮亚特尼茨基定为“叛徒和间谍”的苏维埃媒体,抑或自己近20年的爱人?奥西普是她两个孩子的父亲,他被捕后,她都不敢确定是否真正了解自己的丈夫。朱莉娅在日记中写道:“谁是皮亚特尼茨基?一个真正的革命家,抑或一个歹徒?……两者可能都是真的。我实在弄不清楚,这才是最痛苦的。”

    1920年朱莉娅遇上奥西普时,自己还只有21岁,他39岁。朱莉娅出生于弗拉基米尔城的俄罗斯波兰家庭。她母亲是一名波兰贵族,不顾自己阶层的习俗和宗教,没有得到其父母的同意,竟嫁给了一名俄罗斯东正教神父。母亲在朱莉娅6岁时去世,却把自己浪漫和反叛的气质,遗留给了女儿。第一次世界大战期间,热情而美丽的朱莉娅仅16岁就离开父亲的家,成为俄罗斯军队的一名护士。与她结婚的一名年轻将军,消失在1917年的一次战斗中。内战时期,朱莉娅加入布尔什维克,充任红军间谍,潜入时任东线白军领袖的高尔察克海军上将的总部。她最终泄露真实身份,侥幸逃离,来到莫斯科,因精神崩溃而病倒。她在医院中治疗时,遇上了前来探望朋友的奥西普。朱莉娅高度紧张、情绪不稳,又满怀激情,有些诗人气质。由于从小接受严格的宗教教育,她具有强烈的正义感,大大影响了自身的政治观点。据奥西普一位朋友的女儿说,朱莉娅心地善良,待人热诚,很招人喜欢:“在她面前,我们这些孩子总是很安静。她一来,我们就把忧愁抛到九霄云外,她总是充满活力。” (379)

    相比之下,奥西普严肃认真,沉默寡言。他身体结实,五官清秀柔和,是职业革命家的模范。他很谦逊,几近大公无私,很少谈及自己的私生活(很多党内老同志都不知道他已成家)。1917年之前,奥西普就是地下马克思主义者中最重要的积极分子之一,负责在俄罗斯和欧洲之间偷运非法印刷品。他住在国外的时间颇长,尤其是德国,在那里化名为“弗赖塔格”(Freitag,即星期五),翻回俄文便是皮亚特尼察,这也是他名字皮亚特尼茨基的来源(他真正的犹太姓氏是塔尔希斯)。与朱莉娅结婚时,奥西普是莫斯科的党委书记,但很快调到共产国际,负责至关重要的组织部,实际上成了整个共产国际的掌门人。皮亚特尼茨基督导共产国际迅速扩张,试图将革命传播到世界上每一个角落。他的《一个布尔什维克的回忆录》(Memoirs of a Bolshevik,1926年)其实是一本党的工作手册,介绍组织和道德的原则,被翻译成20多种语言。皮亚特尼茨基工作非常勤奋,常常筋疲力尽。他回忆:“我在共产国际工作,从早到晚。” (380) 20世纪20年代中期——仅40岁出头,他的头发已全部变白,然后日益稀疏。

    奥西普的繁忙工作给家庭生活添加了重负,其在河堤大楼的公寓永远是外国宾客满座。他错过了两个儿子的童年——伊戈尔(生于1921年)和弗拉基米尔(生于1925年),还与朱莉娅频起争执,起因就在于自己时常不能在家。20世纪30年代,朱莉娅因党的资产阶级化和斯大林的独裁而愈益感到失望。伊戈尔回忆父母之间的一场争论——肯定是在1934年——她以愤怒的语调,大声朗诵19世纪初诗人德米特里·韦涅维季诺夫的煽动性诗句:

    污物、恶臭、蟑螂、跳蚤
    到处都有其留下的手笔和杰作
    还有这些唠唠叨叨的俄罗斯人——
    而我们必须把这一切称作我们神圣的祖国。

    奥西普吓坏了,担心邻居偷听,赶紧请求妻子:“朱莉娅,小声点!”

    到1935年,由于在共产国际中的地位,世界各地的共产主义者都知道皮亚特尼茨基的大名(英国共产主义者哈利·波利特曾说,皮亚特尼茨基就是共产国际)。这一时期,斯大林的外交政策改成了与西方民主国家加强联系,以遏制纳粹德国(即“集体安全”);1934年,苏联甚至加入了两年前曾攻击为“帝国主义阴谋”的“国际联盟”,而共产国际必须服从于这一外交政策。保加利亚共产主义者格奥尔基·季米特洛夫接任总书记一职,他率领的共产国际,任务就是与欧洲社会党人建立联盟,鼓励他们与中间派组成联合政府(“人民战线”),以抵制法西斯的威胁。该政策在法国和西班牙取得一定成功,当地的人民阵线政府在1936年当选。但在共产国际当中,仍有人批评这一策略,其中就有皮亚特尼茨基。许多共产党人,包括20世纪20年代以托洛茨基为首的左翼反对派前成员,认为这样做是对国际革命事业的背叛。在他们看来,只有共产主义者和社会主义者组成的“人民阵线”,才能推进国际革命事业,而资产阶级的中间派不在其内。此外,以李可夫和布哈林为首的较为温和的右翼反对派,其前成员对斯大林的滥用权力也越来越反感。这两个团体找到了共同的目标:都把斯大林当做“反革命”。到1936年,共产国际充斥着不满斯大林外交政策的窃窃私语。左派们把斯大林对西方列强的和解,与苏维埃精英的资产阶级化挂起钩来。他们仍然对世界革命的理想充满信心,担心斯大林领导下的苏联,不再是对西方无产者的鼓舞,反而变成既存秩序和安全的守护者。在西班牙内战中,斯大林并没向捍卫共和国的各式左派提供足够的援助,他们因此而大失所望。1936年秋,佛朗哥将军的国民军——在法西斯意大利和纳粹德国的大规模援助之下——挺进马德里郊区。即使是斯大林的忠诚支持者,有时也发现很难认同自己目睹的对革命国际主义的背叛。一名老布尔什维克在1935年向美国驻苏大使威廉·布利特解释:“你必须明白,世界革命是我们的宗教。归根结底,要是我们觉得斯大林在放弃世界革命事业,我们中的每一个人,都会反对斯大林本人。” (382)

    斯大林对共产国际越来越不放心,担心失控。他在1935年8月的第七次代表大会上,对其领导班子作了大规模整顿。皮亚特尼茨基不再从事共产国际的行政工作,而被调去中央委员会一个新设部门,专管党的监督工作。1936年8月,前反对派加米涅夫和季诺维也夫,分别登上做秀公审的被告席。这无疑是斯大林向批评者发出的明确警告:所有政策的决定权只得留给党的最高层。它的矛头直指共产国际,其反对意见被斯大林视作“外国间谍”的挑拨离间。斯大林在1937年2月写信给季米特洛夫:“你们共产国际的所有人都上了敌人的当。”数千名共产国际的官员和外国共产主义者,在1937至1938年被捕。德国、波兰、南斯拉夫、波罗的海的共产党,几乎清洗殆尽。在共产国际的总部,以及许多共产国际官员寄居的莫斯科勒克斯酒店,风声鹤唳,一片肃杀。一名官员说:“很多人已经半疯,因为时时处在恐惧之中,什么事都做不了。” (383)

    皮亚特尼茨基被斯大林斥为托洛茨基分子,后来又被指控卷入了一个“共产国际的法西斯间谍组织,由托洛茨基分子和右派分子所组成”。但他儿子相信,他在1937年6月的中央委员会全体会议上作的勇敢发言,才是他被捕的真正原因。 [1] 很显然,皮亚特尼茨基在中央委员会的新工作中发现了什么,感到无比震惊。对斯大林巨大的个人权力,以及他肆意借用内务人民委员会来消灭政敌,他更是忧心忡忡。据信,皮亚特尼茨基在6月的全体会议上,指责内务人民委员会捏造“人民公敌”的罪证,并呼吁建立特殊委员会,以监督内务人民委员会的所作所为。这无疑是自杀性的发言,皮亚特尼茨基自己也有所察觉。他说完后,大厅里一片死寂,紧张气氛,一目了然。数名党领导人,包括卡冈诺维奇、莫洛托夫、伏罗希洛夫,承从斯大林的指示,试图说服皮亚特尼茨基撤回发言,从而保住自己的头颅。莫洛托夫还恳求他,要为自己的妻儿着想。但皮亚特尼茨基不愿退缩,宣称自己很清楚将会遇上怎样的噩运,但“共产党人的良心”不允许他收回自己的话。据卡冈诺维奇说,皮亚特尼茨基告诉他,他的抗议活动是有意为之的,是有计划的。“他还说,为了党的团结和道德纯洁,随时准备牺牲自己的生命,如有必要,甚至愿意踏过自己妻儿的尸体。”斯大林一听到如此汇报,领导班子马上决定休会。第二天早上,内务人民委员会主管尼古拉·叶若夫率先发言,指控皮亚特尼茨基是沙皇间谍,受资本主义列强的派遣前来渗透共产国际,随即要求就弹劾的动议实施表决。弹劾获得通过,仅3票弃权,其中一票就是克鲁普斯卡娅的。她拒绝相信内务人民委员会对皮亚特尼茨基的指控,直至他被捕(“他是最诚实的人,列宁非常爱护和尊重他”)。 (384) 朱莉娅在日记里记载,从全会回来,皮亚特尼茨基显得“精疲力竭,颓唐神伤”。她问他是怎么回事,皮亚特尼茨基只谈及:“所有的孩子和无辜者,被迫生活在永久的心理重压之下。” (385)

    在随后的两个星期中,皮亚特尼茨基待在家里,把自己锁在办公室。他吃得很少,整天打电话,试图与叶若夫取得联系。朱莉娅无法承受这样的紧张,去了乡间别墅几天——后来甚是后悔。她在1938年3月的日记中写道:“我不清楚他当时所承受的,其实应该留在他的身边。我不够聪明,也不够强大。作为他这样的人的妻子,那就意味着要为他服务,永远坚守岗位。” (386) 在这两个星期中,奥西普为被捕而做准备。他将存款和贵重物品转给朱莉娅,销毁了自己的私人笔记和信件。他是一个经验丰富的革命家,曾多次被捕,知道做出何种准备。7月5日,他被开除出党。从乡间别墅回来的朱莉娅注意到,他如此沮丧,以致考虑过自杀,因为他无法想象没有党的生活。第二天,他们一起去拜访老朋友。奥西普告诉他们,他已改变主意,为了党的团结,愿意接受惩罚:“如果一定要为党作出牺牲,不管这牺牲有多艰巨,我都愿愉快地承担。”奥西普先行提醒儿子们,自己即将被捕。他解释说,他因与党的领导发生了争执而受到指控;但他否认罪名,将尽一切可能证明自己的无辜;如果被捕,那他们都不应期望能够再一次看到自己的父亲。伊戈尔还记得:“他警告我不要与斯大林斗,这是他要告诉我的重点。” (387)

    7月7日晚上刚过11点,内务人民委员会来找奥西普,叶若夫亲自出马。他们闯入公寓,朝朱莉娅扔来一件晨衣,叫她穿上。她开始叫喊,并咒骂他们。叶若夫告诉她:“苏维埃公民与当局代表讲话,不可使用这样的方式。”奥西普为妻子的失态表示歉意,便跟他们离去,随身只带了装有晨衣和牙刷的小手提箱。他们离开时,朱莉娅昏了过去,等她苏醒过来,他们已经不见踪影。她在日记中记下:“我只有一个念头——压倒一切,那就是我再也见不到他了——更感到自己的孤立无助,太可怕了。”第二天,朱莉娅还在上班,内务人民委员会又一次闯入公寓。他们搜寻奥西普的文件,并带走家里的贵重物品。现金、存折、收音机、自行车、大衣、床单、亚麻桌布,甚至像茶杯那样的小东西,统统不见了。通向奥西普办公室的大门被用蜡封住,没人敢于打破,如果真做了,倒会发现大量的书籍,皮亚特尼茨基的家人还能将之出售,来帮助她们应付未来数月的困苦。像所有“人民公敌”家庭一样,他们突然发现,自己陷入了贫困的泥沼。 (388)

    奥西普的命运,很可能在他6月全会的抗议之前就已被裁定。在1937至1938年的大恐怖中——至少130万人因危害国家罪而被捕——共产国际是斯大林的主要目标之一。其中的原因值得研究,因为它是解答大恐怖起源之谜的关键。

    即使以斯大林政权的标准看,大恐怖仍属异乎寻常。它不是惯例的大规模逮捕,比如斯大林统治期间不时席卷全国的那种,而是大批杀戮的既定政策。斯大林不再满足于关押他真实或想象的“政治敌人”,而是下令警方把他们从监狱和劳改营提出,统统枪毙。据不完全统计,仅在1937和1938这两年,至少有681692人,可能更多,因“危害国家罪”而被枪决(姑且借用内务人民委员会的统计数字,在1921到1940年之间判处死刑的政治犯中,这占了91%)。这两年中,古拉格劳改营的人数从1196369人增至1881570人(该数字不包括至少14万死于劳改营的人和数字不详的死于流放途中的人)。苏维埃历史上的其他阶段也见证了对“敌人”的大规模逮捕,但从未有这么多的处决。大恐怖中被捕的人中,超过半数后来被枪决。相比之下,1930年被捕的人中,枪决的不到10%——处决的死刑犯是20201人,那也是斯大林时期的第二处决高峰。在1929至1932年的“反富农行动”中,被捕人数很高(586904人),但只有6%(35689人)遭枪决。 (389)

    大恐怖的起源不易解释,更不易弄清为何如此集中于这两年。为了开始这个理解过程,我们绝不能把大恐怖看成不受控制的意外事件,即随时可爆发的斯大林政权的混乱产物——这是有人提出的解释——而要看成斯大林精心操纵的行为,为了应付他体察的1937年的具体情况。

    有些历史学家把大恐怖的起源,追溯到列宁格勒党主管谢尔盖·基洛夫在1934年12月的遇害——据说,此举导致政权对暗藏的敌人实施杀气腾腾的追捕。但该理论捎出一个疑问,为何大规模的逮捕和杀戮,没在1934至1935年开始?为何在1937至1938年大风暴之前,又出现了两年的平静?在基洛夫遇刺之后,列宁格勒的确有大批的逮捕行动。除此之外,苏联其他地区的政治人物,在1935和1936年并没看到明显的恐怖。事实上,经过了1928至1934年的混乱,政权已在苏联检察长亚历山大·维辛斯基的领导下,有意识地返回了更稳定更传统的法律秩序。又有历史学家把大恐怖,与斯大林担忧国内特别是农村的威胁挂起钩来。他们认为,如果苏维埃选举照原计划进行,如1936年的“斯大林宪法”所允诺的,农村的普遍不满将会转化为政治诉求。但内务人民委员会有关国内不满的报告是不可靠的(“反苏情绪和动乱威胁”往往是内务人民委员会炮制的,以便获得预算和人员的增加);斯大林或其他领导人是否当真,又是不明确的。不管如何,这些报告并没倾向于认为1937年的国内威胁要大于先前年代。从1928到1932年,也有很多不满和反对的报告,但那些年份的国家处决远远比不上1937至1938年的强度。

    还有其他历史学家建议,最好把大恐怖理解为“几个相关但分离的现象”,每一个都能自作解释,而不是单一事件的组成部分。 (393) 事实上,大恐怖真是不同元素组成的复合物:针对老布尔什维克的“做秀大公审”、政治精英的清洗、城市中的大规模逮捕、“富农行动”,以及针对少数族裔的“国家行动”。分析大恐怖的各个组成部分可能有好处,但不争的事实是,它们都在同时开始,同时终结。这显示,它们只是统一运动中的部件,需要解释的就是这个统一运动。

    要了解整体的大恐怖,关键也许在于斯大林对将临战争的恐惧,以及他所感受的国际上对苏联的威胁。 (394) 希特勒的德国在1936年占领莱茵兰,以及日本人占领满洲里,让斯大林确信苏联正在两条战线上面对轴心国的虎视眈眈。1936年11月,柏林和东京联合起来,签订了反共产国际的协定(法西斯的意大利随后加入),这更加深了斯大林的恐惧。他虽然继续支持“集体安全”,但对苏联与西方联合起来遏制轴心国,并没寄托太大的希望。譬如,西方国家没在西班牙干预,似乎指望以绥靖政策应付纳粹德国;据说在斯大林看来,西方不可告人的目的就是想把希特勒的部队引向东方,引向苏德战争,而不是在西方针锋相对。到1937年,斯大林确信,苏联已与欧洲的法西斯联盟和东方的日本处于战争的边缘。苏联报刊通常描绘苏维埃国家受到四面八方的威胁,又因法西斯在社会每一角落的渗透——“间谍和暗藏的敌人”——而变得衰弱。

    斯大林在1935年告诉作家罗曼·罗兰:“我们来自资本主义各界的敌人正孜孜不倦,其渗透无孔不入。”斯大林的政治观念——如同许多布尔什维克的——深受第一次世界大战的影响,当初击败沙皇政权的反而是大后方的社会革命。他担心,如果发生与纳粹德国的战争,苏维埃政权将面临类似的内乱。出于同样的考虑,西班牙内战更加剧了他的恐惧。斯大林密切关注西班牙的冲突,视之为共产主义和法西斯主义之间“未来欧洲战争的有效的剧情概要”(他的大多数顾问都持同一见解)。 (395) 斯大林将1936年西班牙共和国的军事失败,归罪于西班牙共产主义者、托洛茨基分子、无政府主义者以及其他左翼团体之间的内讧,因而得出结论:在反法西斯战争爆发之前,亟需在苏联进行一次政治镇压,要粉碎的不只是“第五纵队、法西斯间谍和敌人”,而是所有的潜在反对力量。

    现在看来,对“敌人”的偏执性恐惧本来就是斯大林的性格,而这种恐惧又因妻子娜杰日达1932年的自杀、斯大林声称视如兄弟的基洛夫的遇刺,而愈加强化。他女儿斯维特兰娜写道:“也许,斯大林从来就不太信任别人。自他们二人死后,再也不相信其他任何人了。” [2] 斯大林将基洛夫的遇刺,归罪于季诺维也夫派(列宁格勒的反对派),尽管没有证据,他仍下令逮捕列宁格勒前主管季诺维也夫的支持者。其中很多人最终被裁定犯了“道德上的共谋罪”,所依据的理由是,他们造就了反对派气氛,从而鼓励了对苏维埃领导人的暗杀。谋杀后的两个半月中,斯大林在列宁格勒亲自督办调查工作,逮捕了近1000名季诺维也夫派,其中大多数被流放到遥远的定居地。20世纪20年代,季诺维也夫和加米涅夫曾参与联合反对派,与托洛茨基结盟来反对斯大林,此时双双被捕,季诺维也夫被判处10年监禁,加米涅夫被判处5年。一旦内务人民委员会的官员显得手软,不愿逮捕这么多党的忠诚追随者,斯大林便把内务人民委员会主管雅戈达召来,告诫他要提高警惕,否则就“会把你也拉下马”。雅戈达的地位在1935年受到进一步的削弱。其时,负责党内清洗的叶若夫声称,破获了一个“外国间谍和恐怖分子”网络,是托洛茨基和季诺维也夫组织的,已钻进克里姆林宫的心脏,而内务人民委员会对此却茫然不知。斯大林终于对雅戈达失去耐心,让叶若夫取而代之。叶若夫是一个残酷的刽子手,毫无道德良知,愿意在任何场合捏造“反革命阴谋和间谍圈子”的证据,以满足斯大林的偏执狂。好几年来,叶若夫一直在推销这一理论:加米涅夫和季诺维也夫,执行托洛茨基从国外发来的命令,策划了对基洛夫、斯大林以及党领导其他成员的谋杀。以此为基础,斯大林重启了对刺杀基洛夫一案的调查。1936年8月,以叛国罪公审季诺维也夫、加米涅夫及14名其他党干部。结果,他们与涉案的另外160人全都被判处死刑。 (396)

    这是莫斯科首批“做秀公审”,其目的是为了揭露和铲除由前反对派组织的“间谍和恐怖分子”网络。1937年1月的第二批做秀公审,见证了重工业副人民委员格奥尔基·皮亚特科夫、卡尔·拉狄克和15名托洛茨基的前支持者,被裁定犯了工业破坏和间谍罪。1937年4月到5月,8名高级军事指挥官,包括图哈切夫斯基元帅(副国防人民委员)、乌博列维奇将军(白俄罗斯军区司令员)和亚基尔将军(基辅军区司令),被逮捕并遭受酷刑,被控以叛国和间谍罪,在镜头前接受公审。据称,他们获得德国和日本的资助,结果均在同一天被枪决。最后也是最大的做秀公审发生于1938年3月,布哈林、雅戈达、李可夫和13名其他高级干部被判处枪决,罪名是参与了季诺维也夫派和托洛茨基派的阴谋,暗杀苏联领导人、破坏经济并充当法西斯势力的间谍。据推测,因为有雅戈达的卷入,所以需要历时这么长久才予以揭发归案。

    领导人一旦被捕,他的社会圈子里的每一个人都变成嫌疑人物。典型的外省城镇掌控在一帮资深官员的手中——地区党主管、警察局局长、厂长、集体农庄主席、监狱长和地方苏维埃主席——他们在城镇机构中,又各有自己的后台和依附者的网络。只要他们的权力圈子完好无损,这些人便官官相护。只要有人被捕,内务人民委员会查出他们之间的牵连,其圈子里的所有成员,乃至他们的下属,都逃不脱身陷囹圄的厄运。例如,1937年内务人民委员会在乌克兰东部拘捕了尼科波尔城的党委书记:

    随即也逮捕了他的助理、朋友和他在尼科波尔城各地所委任的男男女女。尼科波尔军区司令也落入猎人的口袋,然后是地方检察官和他手下所有的法律助理,最后才是尼科波尔城的苏维埃主席……当地的银行、报纸、商业机构都被“清洗”……甚至祸及共用公寓委员会的经理、消防队长、储蓄机构负责人…… (397)

    领导阶层的恐怖,因此波及每一级党组织、苏维埃机构和社会各界。据估计,从1937到1938年,遭到处决或监禁的党员有116885人。党内的地位越高,就越有可能被捕,因为属下随时准备揭发上司,以取而代之。同期,1934年苏共十七大选出的139名中央委员中,102人遭枪决,5人自杀;此外,还有56%的十七大代表入狱。对红军的摧残更为彻底:在767名高级军官中(旅长以及更高军衔的),412人被处决,29人死于监狱,3人自杀,59人羁留在监狱。 (398)

    斯大林一定知道,受害者中的绝大多数是完全无辜的。但在战争时期,发动一场革命只需要一小撮“暗藏的敌人”。在斯大林看来,为了铲除这些“暗藏的敌人”,逮捕数百万人也是值得的。斯大林在1937年6月说过,如果被捕者中有5%是真正的敌人,“那也是一个好结果”。证据只是次要的考虑。据其时担任莫斯科党领导的赫鲁晓夫称,斯大林曾说:“如果报告[举报]中有10%的事实,我们就应将整个报告当做是真实的。”内务人民委员会的每个人都知道,为了抓住一名间谍,斯大林愿意逮捕数千人。他们很清楚,如果完不成逮捕配额,就会因警惕性不高而自找麻烦。叶若夫警告他在内务人民委员会的手下:“太多好过不够,如果[在一次行动中]多杀了一千人,算不上什么大事。” (399)

    对斯大林和他的支持者来说,大恐怖是在为未来战争做准备。莫洛托夫和卡冈诺维奇至死都在捍卫这一推理。莫洛托夫在1986年解释,“斯大林只是想万无一失(perestrakhoval),大清洗只是一份保单”——领导阶层的必要手段,用以揪出可能会在战争中制造麻烦的“动摇分子、野心家和暗藏的敌人”。莫洛托夫承认确有失误,很多人的被捕是不公正的,但“如果领导畏缩不前,允许内讧,我们将在战争中遭受更大损失——也许会被打败”。

    我们有义务确保战争爆发后没有第五纵队的存在。要说这些人都是间谍,令人怀疑。但……更重要的是,在决定性的时刻,不需要依赖他们……如果图哈切夫斯基、亚基尔、李可夫、季诺维也夫在战争时期加入反对派,就会有残酷的斗争和巨大的损失……每个人都会遭到摧毁!

    在20世纪80年代,卡冈诺维奇以同样的理由来为大恐怖辩护:领导阶层已意识到,战争即将来临,国家需要“抽干沼泽(boloto)”——即“摧毁不可靠者和动摇者”。这并不是卡冈诺维奇的马后炮。1938年6月,他就告诉顿巴斯党组织,战争威胁使大镇压成为必须,如果“内部敌人和间谍”没在“大清洗”中遭到摧毁,“国家可能早已陷入战争的泥沼”。 (400)

    “大恐怖”由克里姆林宫统筹,由内务人民委员会具体执行,以一系列群众运动的形式席卷整个社会,旨在清洗“反社会分子”和战争时可能的“反苏维埃分子”。这些群众运动中最大的一次是臭名昭著的第00447号命令,即“富农行动”。从1937到1938年,它占了一半的逮捕人数(669929人)和过半的处决人数(376202人)。几乎所有的受害者都是前“富农”及其家人,他们刚刚服完标准的8年徒刑,从“特殊定居地”和古拉格劳改营归来。那些徒刑是1929至1930年的集体化运动中判处的,罪名是“反革命煽动”。斯大林担心,不满和怨恨的“富农”会在各地泛滥成灾,一旦发生战争,可能构成威胁。他特别关注内务人民委员会的报告,声称保皇党组织俄罗斯军事总盟(ROVS)正在策划“富农起义”,以配合日本对西伯利亚的入侵。数万被指控的俄罗斯军事总盟成员在“富农行动”中遭到枪决,往往并不算在官方统计之中(例如,阿尔泰内务人民委员会曾针对他们在1937年枪决22108名军事总盟成员,呈送过一份单独报告)。“富农行动”又与地方苏维埃的大批清洗直接相连,这在边境地区特别残酷,如西部各省、顿巴斯、西伯利亚的西部,因为政权最不放心那里的居民。 (401)

    另有大规模的“全国行动”,驱逐和处决苏维埃的少数民族——被视作战争爆发时的潜在“间谍”:德裔、波兰裔、芬兰裔、拉脱维亚人、亚美尼亚人、希腊人、朝鲜人、中国人,甚至从哈尔滨返国的俄罗斯人。俄罗斯人的返国是在1935年之后,其时,日本1932年扶植建立的伪满洲国,从苏联手中买下了中东铁路。斯大林对苏维埃西部地区的波兰裔尤为猜疑,这始于俄国内战时期波兰入侵乌克兰,红军随即对华沙发起反攻,却一败涂地——这一军事失败给斯大林带来羞辱,因为他就是前线指挥,犯了战术上的错误。斯大林把苏维埃波兰裔(包括他认为是波兰裔的很多白俄罗斯人和乌克兰人),当做约瑟夫·毕苏斯基元帅“半法西斯”波兰的第五纵队。苏联领导人担心,波兰会与纳粹德国联合起来,向苏联再一次发起进攻。1937年8月推出的第00485号命令,就是针对波兰裔的“国家行动”。结果,截至1938年11月,近14万人或遭枪决,或被送去劳改营。 (402)

    从1937到1938年,许多人消失,特别是在都市的党和知识分子的圈子里时有发生。逮捕似乎是随意的,黑色警车游荡在深夜的街道,任何人好像都有可能被抓。监狱里的囚犯是全国人口的横截面;大多数囚犯不知道自己为何入狱。到1938年秋季,几乎每一户人家,或自己失去亲人,或认识亲人被押的朋友。人们总是在忧惧深夜的敲门声,睡也睡不好,一听到车子停下就会惊醒。他们躺在床上,静听脚步声渐行渐远,或走上楼梯,或移至走廊上的别家,知道不速之客不是来找自己的,才敢重新睡去。创办列宁格勒木偶剧院的柳博芙·沙波利娜,在1937年11月22日的日记中写道:

    日常生活的快乐。我早晨醒来时情不自禁地想到:感谢上帝,昨晚没事。他们不会在白天抓人,但今夜如何,却没人知晓。这就像拉封丹寓言中的羔羊——每一个人都有足够理由被捕,流放去天晓得的鬼地方。我很幸运,心里一片平静,根本不在乎。但大多数人,却生活在彻头彻尾的恐怖之中。 (403)

    奥西普的儿子弗拉基米尔·皮亚特尼茨基,如此回忆父亲被捕之前河堤大楼的气氛:

    这座阴郁的大楼内,有500多套党的精英干部的公寓,逮捕的事经常发生。我老在院子里和走廊上玩,亲眼目睹过好几次。晚上,天黑了,大楼变得冷清、沉寂。居民们像是在守候灾难,都躲了起来。突然,几辆车子冲进院子,身穿制服或便衣的男子跳出来,走向楼梯口——他们中每个人都知道要去“哪里”。然后,就看到几套公寓的灯亮了。我知道大家住的地方,即可算出谁是逮捕对象。如果公寓里所有的灯都亮了,这意味着正在抄家。那些时日,许多人担心被捕,但不知道何时轮到自己。 (404)

    大家都在等待自己的噩运。许多人拾掇了一个小包,放在床边,等待内务人民委员会的人敲门,随时就可上路。这种消极心态是大恐怖中最引人注目的特征之一,其实有很多逃避的机会——逃离城市,再在黑市上购买假身份,那是最简单也是最有效的,因为内务人民委员会不善于追捕流窜的人口。 (405) 俄罗斯人本有逃离国家迫害的悠久传统——从老信徒到逃亡的农奴——这也是数百万农民逃离集体农庄和“特殊定居地”的战术。但城市居民大多留在原地,没作任何抵抗,只是束手待毙。

    被捕于1943年的电影编剧瓦莱里·福雷德(1922—1998),回首往事,认为大多数人因恐惧而陷入瘫痪。他们相信内务人民委员会的法力无处不在,像是处于催眠状态,实在想不到抵抗或逃跑。

    我在人类历史上想不出类似的情况,只好去动物界寻找例子:震慑于蟒蛇的兔子……我们都好比是兔子,承认蟒蛇吞下我们的权利。不管是谁,一旦处于这样的注视下,便会噤若寒蝉,嘴里塞着对命运的无奈。 (406)

    维亚切斯拉夫·科洛布科夫讲述了他父亲深夜听到汽车在住宅外面停下时的恐慌——他父亲只是列宁格勒的一名工人。

    每天晚上,他都很警觉——等候汽车发动机的声响。如果确有,他就会在床上坐起不动,一副吓坏了的模样。我在黑暗中看不到什么,却能嗅到他的恐惧、手心捏着汗,能感觉得到他浑身颤抖。他听到车声,总是说“他们来找我了”。他确信,自己将因出言不慎而被捕——他曾在家里咒骂布尔什维克。他听到发动机熄火和车门关闭声,就会从床上爬起来,在恐慌中摸索自以为最需要的东西。这些物件始终放在床边,以备“他们”的到来。我记得放在床边的有面包干,他最担心饿肚子。很多个夜晚,父亲几乎彻夜不眠——等候一辆始终没有出现的汽车。 (407)

    面临逮捕的布尔什维克精英显得特别消极被动,他们中的大多数接受党在思想上的灌输。向党证明自己清白的深层次渴望,很容易抵消任何试图抵制的想法。叶夫根尼娅·金兹伯格是喀山一名资深党干部的妻子,自己也是党的积极分子。丈夫被捕后,她也失去工作,无时不在担心自己被捕。金兹伯格回忆,她婆婆是一个“简单的文盲农妇,出生于农奴制时代,却很有深刻的哲理,谈到生活问题时往往一针见血,切中要害”。这个老农妇劝她逃走:

    “常言道,‘眼不见,心不烦’。你跑得越远越好,为什么不去我们的老家波克洛夫斯科耶村庄呢?”……

    “老祖母呀,我做得到吗?我怎么能放弃一切,孩子们、工作?”[金兹伯格回答]

    “但他们已把你开除了。至于孩子嘛,跟我们在一起,是不会吃苦的。”

    “但我必须向党证明我的清白。我是一名共产党人,怎么能逃避党呢?”

    相信自己的清白,让许多布尔什维克变得束手无策。他们设法说服自己,真正有罪的才会被捕,而自己的清白最终会提供保护的。艾莱娜·邦纳回忆,她曾无意中听到都是忠贞党员的父母因亲密朋友的被捕而在深夜交谈。艾莱娜半夜醒来,非常焦虑,因为这一逮捕使她意识到:“快轮到我们的头上了,劫数难逃,而且会来得很快。”

    饭厅里漆黑一团,但父母房内仍有声息。我走近他们的门口,能听到母亲在抽泣。然后,她开始讲话,复又哭起来,我以前从没见过她哭。她不断重复“我的一生”,抽抽噎噎的……爸爸轻声作答,但我听不清。突然,她大声喊出:“我从小就认识斯捷潘,你知道这意味着什么吗?我认识他的时间是认识你的三倍。明白吗?你明白吗?”接下来只有呜咽,还有嘎吱一声,以及拖鞋走在地板上的声响——爸爸已经起床。我从门口跳开,怕他出来。但他开始在房间内踱步——朝窗口五步,再朝床五步,好像一个钟摆。他擦燃一根火柴,妈妈又开始讲话:“告诉我,你信不信?你相信这个噩梦吗?”她停止哭泣。“你相信,阿克斯他……你相信帕维尔他……修卡他……你相信他们都……”她只讲半句,但意思已经很明显。然后,她冷静地轻声说:“我知道,你其实也不信。”爸爸发出一种陌生且哀求的声音:“但是,鲁法―占恩[他对艾莱娜的母亲露丝的昵称],我怎么敢不信呢?”他停顿一会,又说:“毕竟,他们还没来逮捕你我。” (409)

    还有其他布尔什维克,包括皮亚特尼茨基,如此献身于共产主义信仰,以至于明明知道自己是无辜的,如果党有要求,他们也愿意承认对他们的指控。 [3] 根据共产主义道德,被控危害党的布尔什维克,应该悔改,跪下接受党的判决。这也就是皮亚特尼茨基在被捕前夕所说的:如果党需要有人作出牺牲,他愿意“愉快地承担”。

    许多布尔什维克让家人为自己的可能被捕做好准备,尽力保护家人。卡马河上的运输官员彼得·波塔波夫,在1937年8月被捕的前几天,让家人去下诺夫哥罗德探亲。他女儿回忆:“我们已有5年多没有休过假,他感到前景有点不妙,为我们担心,希望内务人民委员会来抓人时,我们正好不在。”摩尔曼斯克铁路上的资深官员列夫·伊林,预先从列宁格勒的宽敞公寓搬至一座合作小公寓,以避免自己一旦被捕,家人必须与人分享生活空间的难题。他还让从未外出工作的妻子先去纺织厂上班,保证以后能够养活女儿。他恳求妻子与自己离婚,希望能因此脱嫌,逃脱一起被捕的噩运。但她拒绝了,视之为“可耻的背叛”。夫妻之间时常为此发生激烈的争持,直到列夫被捕。 (410)

    双双在1937年被捕的斯坦尼斯拉夫和瓦尔瓦拉·布德克维奇夫妇,试图让14岁的女儿玛丽亚自力更生。他们训练她自己外出购物,教她遇上父母被捕时一言不发,还强迫她阅读报纸上的做秀公审,让她懂得父母双双被捕的威胁意味着什么。玛丽亚回忆:“我什么都懂。父亲与图哈切夫斯基走得很近,在总参谋部一起工作。我们大楼里都是军人,一个个地被捕,所以我明白正在发生的事情。”玛丽亚的父亲7月8日被捕,母亲的被捕是在7月14日。

    那一夜,妈妈觉得他们会来抓人。我们坐在一起,很长一段时间,就我们俩,没有安德烈[玛丽亚的弟弟]。尽管妈妈知道我第二天早晨还有考试,依然到了午夜时分才对我说:“夜深了,你还是去睡吧。”

    第二天一早,玛丽亚醒来发现母亲已经不见了——她就在那个深夜被捕——内务人民委员会的人员也搜过玛丽亚的房间。在她的床头,母亲留下了告别的字条和一些零钱。 (411)

    法学家伊利亚·斯拉温在1937年11月5日晚上被捕,他没写内务人民委员会要的为古拉格劳工在白海运河“重新做人”正名的书。被捕当天,伊利亚还被叫到列宁格勒的党部,接受法学院院长的任命——前院长刚刚被捕。斯拉温得到一种解脱,他原先在期待最坏的结果,现在看来似乎获救了。他心情愉快,回到家里。当天晚上,斯拉温一家庆祝了依达的16岁生日。依达回忆:

    妈妈在餐桌上摆满美食。哥哥为我家墙报“哈利路亚”[斯拉温家的宣传布告栏]编出了特别的“生日版”,还兼任当晚的钢琴师。我穿上讲究的新衣,欢迎学校里的朋友……爸爸处在最佳状态:活像一个小男孩,与我们一起玩耍,跟所有的女孩跳舞,喝了不少,甚至还唱起他最喜爱的歌曲《夜莺》。

    客人走后,伊利亚开始谈论他来年暑假的计划。“他希望我们全家好好聚聚,还谈及一起去高加索和黑海度假。”

    凌晨1点,内务人民委员会光临。依达记得:

    突然,明亮的灯光和陌生人的声响把我惊醒,叫我迅速穿衣服。站在门口的是一名内务人民委员会的军官,只稍稍移开目光,避开匆匆穿衣的我,然后把我带去爸爸的办公室。爸爸坐在房间中央的凳子上,骤然变得苍老。妈妈、哥哥及他怀孕的妻子和我都坐在沙发上。清洁工站在门口,内务人民委员会的军官十分随意,像是在自己家里……

    我只记得那天晚上的一些点滴:

    内务人民委员会的军官(我会永远记住他的名字:贝伊戈尔),环顾父亲的办公室,不时发出感叹:“你有这么多的书。我是一名学生,没有这么多。”他翻看那些书,每当发现题词,就会停下来以拳击桌,大声喝问:“这个作者是谁?”

    然后出现一个几乎哭笑不得的场景。贝伊戈尔叫我拿出我的德文课本,戏剧性地翻到课本尾部,那是一篇卡尔·拉狄克的文章(他显然曾在许多家庭中,向我这样年龄的孩子表演过此幕)。卡尔·拉狄克当时已被捕,但尚未判刑或在报刊上被列为“人民公敌”。贝伊戈尔故作姿态,将那几页撕下,用火柴点燃,装成一名高尚的英雄,说:“谢天谢地,这个证据已被销毁,带走你爸爸时,我就不必把你也带上。”我太害怕了,不敢作声。随即,父亲打破沉默说:“谢谢你。”

    除了这个多管闲事的贝伊戈尔,记忆中铭刻最深的是父亲兀立的身影。我从未见过如此颓丧的他——彻底的垂头丧气、无精打采,对自己承受的屈辱,好像漠不关心。他都不像自己本人了……我朝他看,他脸上全无表情。我的注视,他既没看到,也无感受,只是坐在房间中央——纹丝不动,默不作声。这是他——却又不是他。

    搜查持续了整整一夜,他们从办公室走到饭厅,再到哥哥房间。从碗柜和玻璃书柜取出书籍和手稿,撕下的书页狼藉满地;还从箱子里翻出精心保存的家庭相册,照片也散落一地。这些东西,他们大多拿走了,外加一台照相机、一副双筒望远镜(充当“间谍”的证据)和一台打字机——父亲写所有文章时用的老式安德伍德牌打字机……

    在这漫长的夜晚,他们在翻阅父亲人生经历的章节,父亲在想什么?这足以摧毁他的信仰吗?贝伊戈尔(一条微不足道的蠕虫!)记录他的党员生涯细节,来充作犯罪证据,他会有怎样的恐惧感?

    搜查结束时已是早晨,一切都登记在册,将被没收。父亲被带到走廊,我们跟在后面,父母房间的门已经被封。他们叫爸爸穿好衣服,妈妈已为他准备了一只小箱[内含一副眼镜、盥洗用品、手帕和100卢布的现金]。

    然后,父亲打破沉默说:“再见。”妈妈抱着他恸哭,父亲抚摸她的头,口中不断重复:“别担心,会弄清楚的。”

    那个夜晚打碎了我的心,也打破了我对这个世界的和谐与意义的信念。在我们家里,父亲曾是大家崇拜的对象。在我们眼中,他高高在上,仿若神明。现在他倒下了,让人感到整个世界似乎也已结束。我都不敢看他的眼睛,生怕让他看出我的恐惧。内务人民委员会的军官把爸爸带向大门,我紧跟在后。突然,他回头再看我一眼,一定察觉到我内心的百感交集。我哽咽着朝他扑去。他在我耳边低声说:“小鬼,我心爱的女儿,历史上总会有错误的,但请记住——我们开创了一个伟大的事业。你要做一名优秀的共青团员。”

    贝伊戈尔呵斥道:“安静!”这时就有人走上前来,把我拉开了。

    “告别了,我的亲人,请相信正义……”——他本来还想说什么,但已被他们带走,下了楼梯。 (412)

    依达也可能被捕,这绝对不是内务人民委员会军官的空洞威吓。16岁的她,已经可以像成年人一样遭到逮捕和监禁,甚至枪决。1935年,苏维埃政府把必须承担刑事责任的年龄降至12岁——部分原因是为了威胁囚犯,如果拒绝承认自己的罪行,自己的孩子也会被捕(当年的第二个法令,允许逮捕和监禁犯了危害国家罪的囚犯的亲属)。事实上,这无疑宣告了人质制度的建立。许多布尔什维克,在做秀公审之前的审讯中,都受到逮捕亲人的威胁。例如,加米涅夫就受到威胁要处决他的儿子,于是同意在供词上签字,以换取斯大林不碰他家人的个人保证。季诺维也夫做了相同的交易。伊万·斯米尔诺夫在审讯期间,看到女儿受到警卫的粗暴对待而表示屈服。斯坦尼斯拉夫·科西奥尔顶住了残酷的刑讯,等到16岁女儿被带进房间,当着他的面遭人强奸时,才弃守投降。 (413)

    不管斯大林在做秀公审之前作了何种承诺,一旦这些老布尔什维克遭到处决,他就下令逮捕他们的许多亲戚。加米涅夫的儿子1939年遭枪决(一个小儿子被送去孤儿院,改名为格列博夫)。加米涅夫的妻子1935年被判处刑事流放,1938年重审,1941年遭枪决。季诺维也夫之子1937年被枪决;他妹妹被送去沃尔库塔劳改营,后来也被枪决。他另外三个姐妹、两个外甥、一个外甥女、一个表弟、一个妹夫被送去劳改营,三个兄弟和一个侄子遭枪决。斯米尔诺夫的女儿遭到囚禁,他的妻子1938年于科特拉斯劳改营被枪决。在1936到1938年之间,几乎所有托洛茨基的家人,都遭到内务人民委员会的格杀。他们是托洛茨基的弟弟亚历山大、妹妹奥莉加、第一任妻子亚历山德拉·索科洛夫斯卡娅、儿子列夫和谢尔盖,以及女儿季娜伊达(于1933年自杀)的两位丈夫。 (414)

    斯大林执著于惩罚敌人的亲属,也许是从格鲁吉亚学来的。家族之间的仇杀,向来就是高加索地区政治的一部分。在布尔什维克精英中,家庭氏族与政治忠诚相互交织。婚姻造就联盟,如果与反对派或敌人有血缘关系,也会葬送前途。斯大林认为,家庭应该为其个别成员的行为承担集体的责任。如果某人作为“人民公敌”被捕,他的妻子自动有罪,除非她奋起揭发。因为大家假定她与丈夫持有相同的观点,还会予以保护,至少她缺乏警惕性。斯大林认为,镇压亲属是一项必要措施,可从社会中铲除不满人士。莫洛托夫在1986年被问及为何要迫害斯大林“敌人”的家属,他解释说:“他们必须被隔离开来,不然,就会四下传布各式的牢骚和投诉,整个社会将因此变得士气低落。” (415)

    朱莉娅·皮亚特尼茨卡娅活在对自己被捕的等待之中。奥西普7月7日被捕前不久,她开始写日记,以倾吐自己的焦虑。现在除了恐惧,她还须应付一连串的日常麻烦。她的小儿子弗拉基米尔自6月起一直住在克里米亚的少先队阿尔捷克营,现在需要领回。朱莉娅担心,如果自己被捕前没有安排好亲友收养他,内务人民委员就会把他送进孤儿院。她的大儿子伊戈尔刚满16岁,在父亲被捕前,一直渴望在共青团内有所作为,现在一切都变了,更有被捕的危险。朱莉娅一方面试图应付伊戈尔的复杂情绪——对父亲的愤怒和对自己不幸际遇的悲痛、失望、羞耻——另一方面又要遏制自己类似的困惑。朱莉娅在7月11日的日记中注意到“伊戈尔整天都在床上看书”。

    关于爸爸,以及爸爸以前的“同志”的行为,他不发一言。有时,我会表述怨恨和恶毒的想法,但他作为一名共青团员,不允许我有此类批评,有时还会说:“妈妈,你这样做,叫我实在忍受不了,我可能会把你杀死。” (416)

    朱莉娅的燃眉之急是入不敷出。像在大恐怖中失去丈夫的许多妻子一样,她如此操心于每天的生计,如此受伤于地位的落差,以致没时间思忖自身的安危。 (417) 朱莉娅在搜查中失去存折以及本可出售的贵重物品,现在全靠自己的微薄工资,实在养不活住在公寓里的5位家人(两个儿子,年迈的父亲、继母和他们无业的女儿柳德米拉),再加上一只拳师犬,全家只好每天喝菜汤和麦片粥。她曾是资深布尔什维克的妻子,习惯于特权生活,发现极难适应贫困。她一肚子苦水,顾影自怜,甚至去党部抱怨,却被告知应该锻炼自己适应无产阶级的生活方式。业余时间,她在市内寻找薪资较高的工作,但都无果而终。钢铁建设托拉斯不需要“专家”(那里的官员告诉朱莉娅:“我们不是法西斯德国。”),甚至布提尔基监狱也不需要“她那一种”员工(即“敌人”的妻子)。朱莉娅在日记中写道:“工厂官员看都不看我的资料,也不想问我什么,只瞟一瞟,就说‘没有’。”同事也拒绝帮助,朱莉娅写道:“每个人都躲着我,而那时的我,又多么需要支持啊,哪怕是一丝一毫的关心或忠告。”同时,家里情况不断恶化,紧张气氛日益升温。朱莉娅同父异母的妹妹和继母,经常抱怨食物的短缺,将之归罪于奥西普,甚至想把朱莉娅赶出公寓。几星期后,柳德米拉找到一份工作,与父母搬去另一套公寓,不愿受皮亚特尼茨基一家的“拖累”。柳德米拉说:“如果不能解救每一个人,就让那些能够自救的另谋出路吧。”朱莉娅不清楚柳德米拉和父母是否为自己的行为感到羞耻,但她对此表示怀疑:

    这真是可耻,整整7年,他们受皮亚特尼茨基的供养,一起住在舒适的公寓,柳芭[柳德米拉]上的还是一所好学校。一旦我们遇上了麻烦,他们就想尽快地逃离我和我的孩子们——逃离我们的不幸。 (418)

    他们搬出去没多久,朱莉娅和儿子们就被逐出,搬到楼下较小的公寓,与一户亚美尼亚布尔什维克家庭合住,那家男主人早在春天时就被捕了。朱莉娅感到绝望,自己的人生正在坍塌崩溃,甚至想到自杀。在绝望之中,她去拜访河堤大楼中唯一不怕与她说话的邻居,倾诉自己的苦楚。老太太告诉她,不必为自己感到难过,好多官员现在住着更小的房间。此外,老太太还说,没有皮亚特尼茨基,朱莉娅可以过得更好,因为“你俩本来就相处得不融洽”。现在,她可以只为自己和儿子考虑,不再为丈夫担惊受怕。朱莉娅事后反思这段话,当夜在日记中写道:“这倒是真的,他没花多少时间与我们在一起,总是在工作。那些来占我们便宜的人——几乎每一个人——都看得出,我们之间相处得并不好。” (419) 在随后一年中,朱莉娅对丈夫还产生了其他疑惑。

    作家米哈伊尔·普里谢维恩1937年11月29日的日记写道:

    我们俄罗斯人,就像大雪压顶的树木,不堪生存的重负,亟想与人谈谈心事,实在憋不住了。但一旦开口,遇上第三者偷听——他马上就灰飞烟灭了!大家都明白,一席谈话可以给人带来极大的麻烦,所以与朋友达成共识,刻意保持沉默。我亲爱的朋友……很高兴在拥挤的[火车]车厢里发现我,等到座位空出,就来与我同坐。想说点什么,但在那么多人的面前,又觉得很不方便。他变得紧张兮兮,每次准备发言,就先看看我们这一排的人,再看看对面一排的人,到头来却只是说:“是的……”我的回答也是如此。就这样,整整两个小时,我们从莫斯科一起乘到扎戈尔斯克城:

    “是的,米哈伊尔·米哈伊洛维奇。”

    “是的,格奥尔基·爱德华多维奇。” (420)

    即使在苏维埃时期的最好年月,交谈也是危险的。到了大恐怖时期,几句话不小心,就可能使人永远消失,举报人比比皆是。作家伊萨克·巴贝尔曾经说过:“如今,一个人只能与妻子讲心里话——晚上,把毯子拉过来蒙上头。”普里谢维恩在日记中写道:在朋友当中,他无须担心恶意谣诼或举报、可以畅所欲言的,总共仅有“两三个老头”。 (421)

    大恐怖让苏维埃人民闭上了嘴,非常有效。列泽达·泰西娜的父亲于1936年被捕,她回忆道:“我们从小就学会了闭嘴。”

    “舌头会给你带来麻烦”——这是大人一直叮嘱我们孩子的,我们在生活中也一直害怕发表意见。妈妈常说,两人之中必有一名举报人。我们害怕邻居,特别是警察。迄今,我仍然不敢讲话,也不敢为自己辩护,或是在公共场合发言。我总是让步,没有一句抱怨。这已渗入我的性格,都与我从小受的教育有关。即使在今天,我看到警察仍会怕得发抖。 (422)

    玛丽亚·德罗兹多娃在特维尔省严守宗教戒律的农民家庭中长大。1930年,德罗兹多夫一家逃离自己村庄的集体化,使用假证件,搬至列宁格勒附近的红村。玛丽亚的父亲在家具厂上班,母亲安娜在医院工作。安娜是一名不识字的农妇,深信布尔什维克就是反对基督者,他们的特工能听到、看到她所做的一切,所以不敢出门,也不敢在自己房间之外讲话。当她父亲——一个教堂看门人——于1937年被捕时,安娜更被吓得陷于瘫痪。她不愿出门,害怕讲话,担心邻居偷听。晚上,她不敢开灯,唯恐引起警方的注意。她甚至不敢上厕所,担心自己用作手纸的报纸上印有斯大林的名字。 (423)

    熟人之间达成一个默契,大家均不谈政治。每个人都有可能被捕,然后就会受警方的胁迫来汇报这样的谈话,当做熟人“反革命”活动的证据。在这种气氛之下,主动与最亲密的朋友之外的人讨论政治,只会引起怀疑,反被视作举报人,或寻衅滋事者。

    维拉·图尔金娜记得,她的朋友和邻居均以沉默来回应她父亲的被捕。其时,她的父亲担任彼尔姆省法院主席。

    对面房子住着三个女孩,她们的父亲也已被捕……我们大家尽量避免这一话题,我们所说的只是“他不在,已走了,去了某某地方”……我父亲就是因为“嘴快”而受害——这是我们家人的理解——他过于坦率,直言不讳,说得太多,超越他应该说的。我们相信嘴快是他被捕的原因,这让我们自己更为沉默。 (424)

    沉默的坚忍是失去朋友和亲戚之后的常见反应。艾玛·格施泰因在1937年写到诗人曼德尔施塔姆:“他只字不提被逐和业已死去的朋友。那个时代,没人提……只有眼泪簌簌!那些年的特征就是如此。” (425)

    许多家庭的主调是静默。人们避而不谈被捕的亲属,或销毁那些亲属的来信,或不让孩子看到,希望以此来获得保护。即使在家里,谈论这一类亲戚也是危险的,即所谓的“隔墙有耳”。丈夫谢尔盖·克鲁格洛夫1937年被捕之后,阿纳斯塔西娅和两个孩子搬去一个共用公寓,其邻居供职于内务人民委员会,将两家隔开的只有一道薄墙。塔蒂亚娜·克鲁格洛夫回忆:“能听到一切声响。他们能听到我们打喷嚏,甚至能听到我们最低声的耳语。妈妈总叫我们保持沉默。”整整30年,她们不敢讲话,因为她们相信内务人民委员会的邻居一直在汇报她们的一言一行(事实上,他是在故意制造恐惧,为了想要安静、听话的邻居)。

    父亲被捕后,纳塔利娅·丹尼洛娃跟母亲回娘家住,即奥索尔金家。在新的住处,涉及父亲的谈话都是被禁的。奥索尔金家是个贵族家庭,好几名成员已经入狱,包括纳塔利娅的姨妈马尼娅的丈夫。马尼娅个性坚强,掌管全家的一切。纳塔利娅回忆:“她敌视我的父亲,也许因为他是农民和社会主义者。她似乎觉得,他是罪有应得,被捕也是活该,而且以自己的行为给家庭带来麻烦。她将这一观点强加于我们大家,只有她一人才有权利谈论此事。其他人如想要表示异议,只得窃窃私语。” (427)

    家庭逐渐生成了谈话的特殊规则。他们学会运用迂回的语言,以暗示的方式来表述自己的想法和意见,外人、邻居、佣工即使听到,也会不得要领。艾玛·格施泰因回忆起堂哥的妻子玛格丽塔·格施泰因,她是老资格的反对派,曾来莫斯科与她的家人同住一段时间。有一天,玛格丽塔在谈论反对斯大林的毫无意义,正讲到句子的一半(“当然,我们可以把斯大林抹掉,但……”):

    门开了,我们的女佣波利亚走进餐厅。我打了一个寒战,吓坏了。但玛格丽塔丝毫不改她的慵懒姿态,以完全相同的语调和语音,接下去说:“所以叶莫奇卡,赶快去买丝绸,不要犹豫。你做得那么辛苦,应该给自己做一件新衣裳。”女佣离开后,玛格丽塔解释说,永远不能给人以措手不及的印象。“不用缩头缩脑,也无须一脸不安、环顾左右。” (428)

    天性健谈的孩子特别危险。许多父母认为,子女知道得越少,大家就越安全。安东尼娜·莫伊谢耶娃1927年出生于萨拉托夫省的农民家庭;1929年,她家被划为“富农”,流放至乌拉尔的“特殊定居地”。他们在1936年返回彼尔姆附近的丘索沃镇,安东尼娜的母亲郑重告诫孩子们:

    她总是说:“你们不能发表意见,否则就会被抓起来。”我们排队领面包,站了整整一晚上。她对我们说:“你们不准发表意见,政府没有面包,不关你们的事。”妈妈还告诫我们,发表意见是一种罪过。每当我们出门,她总会说:“管住你的嘴!” (429)

    维尔格尔姆在莫斯科的匈牙利家庭中长大,他9岁时,即1938年,父亲在一次“国家行动”中被捕。据他回忆,母亲和祖父母并没提供具体的警告或指示教他如何应对,但他能感受到恐惧的氛围:

    我下意识地明白,必须保持缄默,不可讲出心中的想法。譬如,我们乘坐拥挤的电车,心知肚明,必须保持沉默,甚至不能说我在窗外看到的东西……我也觉得,每个人都在这样做。所以,像电车那样的公共场所,总是很安静。如果开口,也只讲一些琐碎小事,例如去了何处购物。从来不谈自己的工作,或其他的严肃话题。 (430)

    奥克萨娜·戈洛夫尼亚记得一次与父亲阿纳托利——电影摄影师——同乘一辆拥挤的莫斯科巴士,她提及“洛德亚叔叔”(电影导演普多夫金):

    爸爸在我耳边低语:“你在公共场合,千万不要说出人名。”他看到我迷惑而害怕的神情,转而大声说:“看那些小饺子,可不就像是些小耳朵!”我明白他的意思——有人坐在旁边偷听!爸爸的教训对我的人生大有裨益。 (431)

    普里谢维恩在1937年的日记中写道,人们变得如此善于隐藏自己发言中的含义,可能会丧失讲真话的能力。

    7月10日:

    莫斯科的处世之道:不能说任何东西,也不能与任何人交谈。行为的奥秘在于:什么也不说,却要悟出某某信息是什么意思,传递该意思的又是谁。你必须铲除“讲心里话”的任何残痕。 (432)

    阿尔卡季·曼科夫在日记中提到类似的现象:

    谈论公众情绪是毫无意义的。只有鸦雀无声,仿佛什么都没有发生。人们在窃窃私语,或在幕后,或在私下。凡在公共场合表达意见的,都是醉鬼。 (433)

    人们越来越趋于内向,社会领域不可避免地愈益缩小。普里谢维恩在10月9日的日记中写道:“人们完全停止了相互的倾诉衷肠。”社会正在变成一个耳语者的社会:

    社会低层的广大民众,只是忙于工作,悄悄耳语。有些人甚至没有任何想法,无需耳语;对他们来说,“一切本该如此”。另有些人躲在孤独中自言自语,默默遁入自己的工作。还有不少人,学会了保持绝对的沉默……就像躺在坟墓里一样。 (434)

    随着真实沟通的结束,互不信任蔓延至整个社会。人们戴上公共场合的面具,隐瞒真实的自我。表面上,他们符合苏维埃正确行为的公共规范,内心里,却躲进私人思想的领域,不为公众视觉所穿透。在这种氛围中,恐惧和恐怖愈益增长。没人知道面具背后藏的是什么,只能假设,外表是正常苏联公民的人,实质上可能是间谍或敌人。以这个假设为基础,揭发举报“暗藏的敌人”于是变得可信,不仅对普通公众来说是这样,在同事、邻居、朋友眼中也是如此。

    人们只好在真实的私人世界中寻求避难所,还有些人在大恐怖时期开始写日记。尽管有各种各样的风险,写日记能开拓出一个不受解剖的私人领域,也能在祸从口出的时期倾诉自己的疑虑和恐惧。 (435) 作家普里谢维恩在日记中透露出自己最大的恐惧。1936年,他在新年晚会上作了尖锐的评论,受到作家协会官员的攻击,他担心会失去人身自由。他写道:“我非常害怕,这些话会被归档,归档人又是监视作家普里谢维恩品行的举报人。”普里谢维恩由此而撤出公众领域,退入自己的日记世界。他写日记用细小的草体,即便用放大镜也难以辨认,为的就是预防被捕后自己思想的暴露。对普里谢维恩来说,他的日记是“对个性的肯定”——成为一个伸展内心自由、畅诉衷肠的场所。普里谢维恩若有所思地写道:“一种是为自己写日记,挖掘自己的内心,与自己交谈;另一种是以写日记参与社会,秘密表述自己对社会的看法。” (436) 就普里谢维恩而言,这两种功能都在发挥作用。他的日记充满了异议的思考,所针对的有斯大林、苏维埃大众文化的恶劣影响,以及个人精神的不屈不挠。

    1926年,剧作家亚历山大·阿夫尔诺戈诺夫开始写日记,其中有不少自我批评,以及如何提高自己共产主义觉悟的想法。到20世纪30年代中期,他与当?局发生了冲突。他的无产阶级戏剧的心理视角,不再能获得文学当局的青睐,此时占据主导地位的变成了社会主义现实主义的原则。他的戏剧《谎言》(1933年)受到斯大林的攻击,认为剧中缺乏致力于工人事业的共产主义正面英雄。他所属的文学组——以俄罗斯无产阶级作家协会的前主席利奥波德·阿韦尔巴赫为首——被说成是“托洛茨基派文学代理人”,正在蓄谋推翻苏维埃政权。1937年春天,阿夫尔诺戈诺夫被开除出党,又被内务人民委员会逐出自己的莫斯科公寓。他搬到他在佩列杰尔基诺地区的乡间别墅,与妻子女儿过着几乎完全隐居的生活,不与任何人说话。老朋友纷纷与他划清界限。有一天,他在火车上无意中听到两名军官的对话,津津乐道于“日本间谍阿韦尔巴赫”终于被捕,而他的“心腹阿夫尔诺戈诺夫”正在监狱候审。阿夫尔诺戈诺夫日益收缩进自己的内心世界,他的日记也变了样。他依旧批评自己,接受他人的指控,试图成为更纯洁的共产主义者,但有了更多的反省,更多的心理直觉,更频繁地使用“我”字,而不是他以前暗指自己的“他”字。日记本成了他私人感想和感受的秘密避难所:

    1937年11月2日

    我回家后,坐下打开日记本,思索不受政治污染的私密角落,信笔写下。我已被排除在生活主流之外,突然觉得很有必要与人谈论正在发生的一切……只不过,我对沟通的向往只能在日记本中实现,因为没人愿意与我交谈。 (437)

    1937年12月,叶夫根尼娅(热尼娅)·叶万古洛娃开始写日记。那一年她父母双双被捕,日记本成为她倾诉衷肠的场所,帮助维持了她所谓的“内心交谈”,对象就是消失于古拉格的双亲。她在扉页上写道:“有一天,我的亲人会读到这本日记。这一炽烈的愿望不会离我而去,所以我必须尽量使之成为现实。”叶万古洛娃是列宁格勒技术学院的学生,她担心自我将泯没于学院的集体生活,所以日益看重与自我相连的日记。她在1938年3月8日写道:“也许我的表述不够正确。我内心的自我并没消失——人格的内涵永远不会消失——只是深藏不露,我甚至感受不到它的存在。”她认为,自我个性的表达,需要通过与他人的真挚沟通——但现实生活中又没有。同学们把她当做“人民公敌”的女儿,不予信任;她所拥有的,只是自己的日记本。她在1939年12月写道:“有时,除了这本沉默的日记,我真渴望能找到一位真正的朋友,能理解我,能让我倾诉所有的痛苦。” (438)

    像叶万古洛娃一样,阿尔卡季·曼科夫也渴望与他人的沟通。他决定将自己的日记,展示给他在列宁格勒公共图书馆上课的同学。曼科夫的日记充满了反苏维埃思想,却披露给一个自己不很熟悉的人,这真是出于巨大信任的行为,几近愚蠢。他在日记中承认,此举源于“孤独,在这无穷尽的孤独中,我每天鬼混度日”。 (439)

    普里谢维恩也屈服于与人沟通的诱惑。1938年12月,他托朋友帮他找一名秘书,协助他编辑日记。他意识到,“让陌生人走进我的实验室,了解我的全部”,该有多危险啊。那天晚上,他做了一个噩梦:他在穿越一个大广场,突然丢了帽子,觉得自己暴露在光天化日之下,他向警察询问帽子时才突然想起,“曾让一个陌生人介入自己生活中最私密的细节,失掉帽子的掩饰无疑让自己曝了光”,这些分析都一一记在日记中。几天后,前来面谈的女子抵达普里谢维恩的住所,听闻要整理她不认识的人的日记,也感到忐忑不安,于是她建议,开始工作之前,两人应先了解彼此。他们在一起谈了整整8个小时,中间都没有休息,之后很快坠入爱河,一年之内结为夫妇。 (440)

    举报人无处不在——工厂、学校、办公室、公共场所和共用公寓。据估计,在大恐怖的高潮时期,数百万人在举报他们的同事、朋友和邻居。但很难得到精确的数字,因为只有零星的数据和传闻的证据。据一位资深警官说,苏维埃上班族的五分之一,是内务人民委员会的举报人。另一人声称,经常性的举报人占主要城市成年人口的5%(普遍的看法是比这个比率更高)。监视的程度,因城市不同而悬殊较大。据内务人民委员会的前官员称,在管辖严格的莫斯科,每六七户家庭中至少有一名举报人。相比之下,84万人的哈尔科夫,仅有50名举报人(每16800人有一名举报人)。在这两个极端之间,古比雪夫市也许更能代表整个苏联:1938年,40万居民当中,警方声称有1000个举报人。 (441) 这个数字只代表警方经常使用和奖励(包括金钱、就业、住房、特殊配给和免受拘捕)的注册举报人,并不包括数百万在社会每一角落充当警方耳目的“可靠分子”(工厂和办公室的工人、学生积极分子、看守员、门卫等)。 (442) 警方也不计算每天收到的汇报和举报——那都不是内务人民委员会主动要求的——使警察国家如此强大的,正是那些自发行为。每个人都知道,“忠诚的苏维埃公民”应该报告所听到的可疑交谈,“缺乏警惕”所招致的处罚迫使很多人参与此举。

    举报人分成两大类:一类是自愿的,通常出于物质奖励、政治信仰或是对受害者的憎恨;一类是非自愿的,出于警方的威胁或因帮助被拘亲人的承诺而身陷困境。要谴责第二类举报人很难,很多人发现自己陷入进退维谷的困境。遇上如此的窘迫,任何人都有可能屈服于内务人民委员会的压力。

    1943年,作家西蒙诺夫的文学院前同学“X”前来拜访。他在自己父亲被捕后就受到将被文学院开除的威胁,除非他同意汇报所听到的同学的交谈。从1937年起,“X”就成为内务人民委员会的举报人。但他心怀内疚和悔恨,所以来找西蒙诺夫,透露自己曾经汇报他们之间的交谈。西蒙诺夫说,“X”真是“悔恨交加”。他兴许还有点惧怕,因为到1943年,西蒙诺夫已成为著名作家,与克里姆林宫关系良好,可能已经获悉前同学的汇报。“X”告诉西蒙诺夫,如果有人因他的举报而承受苦难,他宁可自杀。他还解释,曾经尽可能让他的汇报避重就轻,但仍觉得这种行为 “使他的生活不堪忍受”。 (443)

    沃尔夫冈·莱昂哈德回想起1939年与一位同学的一次碰面。他一直认为,可与这位女孩进行开诚布公的交谈。他们会一起去莫斯科的公园散步,讨论其时重要的政治话题。她有一天承认,自己屈服于内务人民委员会的压力,正在汇报同学的言论。但她感到悲哀,备受良心的责备,所以想预作警告,虽然还没被要求汇报莱昂哈德的言论,但最好以后两人不再见面。 (444)

    瓦莱里·福雷德回忆了自己如何在1941年被招募为举报人。他是共青团员,在苏联国家电影学院(VGIK)学习。其时,该学院从莫斯科疏散到哈萨克斯坦的阿拉木图。当地的粮食供给形势非常紧张,福雷德涉入一个伪造配给卡的小骗局。一天,他被叫去内务人民委员会的办公室。审讯员对他的配给卡把戏了如指掌,随即警告他,除非他同意举报同学,证明自己是“苏维埃人”,否则将被逐出共青团和电影学院。他在整夜的审讯中受到暴力和公审的威胁,最终低头,签署了愿意配合的协议。审讯员马上笑逐颜开,握起他的手以示友好,还宣称他的配给卡把戏不会再有麻烦——事实上可以依然如故——并给了他一个求援的特殊电话号码,以应付可能的警方行动。他返回宿舍,泣不成声,整整三天无法入睡或进食。最后,他只汇报了三位学生,只是普通情况,并无具体的犯罪事实。收到这些汇报的内务人民委员会军官身材矮小、满嘴金牙,颇不满意。1943年,苏联国家电影学院迁回莫斯科,福雷德才得以逃脱内务人民委员会的惩罚。 (445)

    索菲亚·奥热姆伯罗斯卡娅成为举报人时只有17岁。她出生于奥西波韦齐镇的波兰贵族家庭,离白俄罗斯的明斯克不远。父母在1917年革命后成为农民,又在农业集体化运动中,作为“富农”被流放去了北方的科米地区。1937年,全家返回奥西波韦齐镇,又在针对波裔的“国家行动”中再次被捕,流放到彼尔姆附近的“特殊定居地”。索菲亚决定逃走,她解释说:“我必须逃离,给自己一个机会。”索菲亚进了一所工厂技校就读——获得无产阶级出身的最快途径——然后进入库季姆卡城的医学院,位于乌拉尔,离彼尔姆不远。没人问她有关“富农”的问题,甚至都没查看她的护照。其实,她根本就没有护照。6个月后,她被叫去内务人民委员会办公室。索菲亚回忆:“我以为他们要把我关进监狱,因为我是一名逃犯。”结果她被告知,如果不想因隐瞒社会出身而被医学院开除,必须为内务人民委员会工作。她的任务是与同学们谈论政治事件,然后汇报他们所说的一切,索菲亚因此而领到了自己的护照。由于内务人民委员会的保护,她从医学院毕业,在彼尔姆的救护服务中心享有成功的职业生涯。她回顾往事,并没为自己的行为自责,即使她很清楚自己的汇报导致了许多学生被捕。她认为,自己的行为只是“富农”女儿在斯大林时代谋求生存的必需代价。索菲亚嫁给了内务人民委员会一名资深军官的儿子。在孩子们成长之时,她闭口不谈自己的举报活动;到20世纪90年代,“有了自由气氛,不再心存恐惧”,她才决定和盘托出。

    我决定将这一切告诉我的儿孙们。他们都非常高兴。我的孙子说:“哦,奶奶,你很聪明,能记住这一切。我们将永远铭记——你所受到的迫害,以及我们的父母受到的迫害。” (446)

    奥莉加·阿达莫娃―斯柳兹贝格在回忆录中讲到一个年轻举报人的故事。他的布尔什维克父亲在大恐怖中被处决,他的任务是与其他父母被捕的孩子混熟,然后汇报他们吐露出的不满字眼,以及所提及的疑惑和问题。这些报告的结果是他的许多朋友被捕。奥莉加自己在1949年被捕,在布提尔基监狱里遇见那些朋友中的一部分。她询问他们对那个男孩作何感想。很奇怪,他们都表示理解。普遍的看法是,他是个“好孩子,有点天真,相信听到的每一个口号,也相信在报纸上读到的每一个字”。那个男孩的母亲是一个极好又诚实的女子,向奥莉加坚称,她的儿子这样做,所基于的不是恶意,而是最高尚的信念。“她多次谈及他异常善良、聪明、诚实。”也许,那个男孩觉得,为苏维埃事业举报自己的朋友是爱国行为——就像举报父亲的小英雄帕夫利克·莫罗佐夫。 (447)

    毫无疑问,很多人真诚地相信,在大恐怖中写下举报信是在尽苏维埃公民的爱国义务。他们接受关于“间谍”和“敌人”的宣传,主动揭发敌人,即使是自己的朋友。但更重要的是,如果熟人被捕,他们没有参与举报,就要担忧自己会受牵连。要知道,隐瞒自己与敌人的接触,本身就是犯罪;而“缺乏警惕”又是数千起逮捕案件的理由。在普遍恐惧的气氛中,大家都想赶在被他人举报之前,先行下手。这种争先恐后的举报,也许并不能解释大恐怖时期的大量逮捕——内务人民委员会的大多数受害者被捕于“国家行动”和“富农行动”的大批网罗,所依据的是预设的名单,并不依靠举报——但确实解释了为何这么多人成为警察制度的举报人。歇斯底里的公民现身于内务人民委员会和党的办公室,罗列可能是“人民公敌”的亲戚和朋友,写下有关同事和熟人的详细信息,列出自己与他们的每一次见面,因为他们可能与“敌人”有牵连。一位老太太写信给自己工厂的党组织,举报自己的姐姐在担任克里姆林宫临时清洁工时,曾打扫后来被捕的某人的办公室。 (448)

    恐惧促使人们尽量洗清自己——让自己更加清白——抹去与潜在“敌人”的任何接触。在最狂热的举报人当中,很多人自己有“历史污点”(富农、阶级敌人或前反对派的子女)。与大多数人相比,他们更加害怕自己被捕,举报朋友成了自己已是“苏维埃公民”的证明。内务人民委员会就有蓄意谋划的政策,专门向弱势群体招募举报人,经常挑选已在担心自己命运的被捕者亲属。亚历山大·卡尔帕特宁是内务人民委员会前官员,自己在1938年被捕,他讲述了在招募举报人方面所获得的训练:

    你要寻找有可疑背景的人,比方说丈夫已被捕的女子,可使用这样的对话:
    “你是真正的苏维埃公民吗?”
    “我是。”
    “大家都说自己是好公民,你愿意证明吗?”
    “是,我当然愿意。”
    “那么,就向我们提供帮助,要求不会太多。如发现任何反苏维埃的行为或言论,就让我们知道。我们每星期见面一次,你应事先写下你所留意的:说了什么,谁说的,说话时还有谁在场,这就够了。然后,我们就会知道你是不是优秀的苏维埃公民。如果你在工作中遇上问题,我们会帮你。如果你被解雇或降职,我们也会帮你。”
    这就是全部。之后,该女子就会表示同意。

    奥莉加·阿达莫娃―斯柳兹贝格在卢比扬卡监狱遇到一名年轻的女数学教师,名叫吉娜,来自高尔基城。吉娜的罪名是没有举报自己的老师,他是辩证唯物主义讲师,每星期一次从莫斯科到高尔基城,与吉娜交谈时曾公开批评斯大林政权。他住在高尔基城的宿舍,所以借用吉娜的公寓来招待朋友,并寄存了一箱书。内务人民委员会搜查时发现,原来都是托洛茨基派的书籍。吉娜认罪,决定向内务人民委员会举报其他“敌人”,以赎罪和“洗刷[她的]良心上的污点”。她告诉审讯员,她的学院另有一名讲座教授,正在做实验时遇上停电,一时又找不到蜡烛,于是:

    她[吉娜]劈开一把木尺,像农夫一样,将之点燃,以供照明。教授以此完成了他的实验,临别时说[对斯大林名言的嘲讽]:“生活变得更好,生活也带来更多欢乐。感谢上帝,我们进入了火把时代!”

    该教授因此被捕。吉娜并没有觉得自己的举报有何不对——只是有点尴尬,因为她必须在对他的审讯中当面作证。奥莉加问,这样一件小事却“摧毁了那位教授的一生”,有何感想?吉娜回答:“政治上没有小事。我和你一样,起初尚不理解他那句话的罪恶,后来才开始懂得。” (450)

    许多举报出于恶意。删除对手的最快方式,就是举报他是“敌人”。社会低层对布尔什维克精英不满,更为大恐怖火上浇油。如果领导办事过于严厉,工人会举报主管,农民会举报集体农庄主席。仆佣经常受聘于内务人民委员会,举报他们的雇主。一位美国记者的俄罗斯妻子马尔库莎·菲舍尔,雇用了一名坚信“敌人”之说的保姆。马尔库莎写道:她“真正代表了普罗大众的心态,把官方的每一句话都当做真理,没有一丁点的政治疑虑”。有些家庭,无时不在担忧自己的仆人。

    1935年,内务人民委员会在许多列宁格勒党干部的家中安置新的仆人,作为基洛夫遇刺后加强监视的措施。列宁格勒高级干部安娜·卡尔皮茨卡娅和彼得·涅泽夫茨夫,被迫解雇了老管家玛莎,即会调制草药的虔诚老信徒。其时仅12岁的安娜的女儿马克斯娜回忆,新管家格鲁谢是一个“令人不愉快的严肃女人,她是警方派来的,以便监视我们”。马克斯娜和她同母异父的弟弟本能地意识到,不可在格鲁谢的面前交谈。马克斯娜回忆:“我们几乎没有与她说过一句话。”格鲁谢睡在厨房,与家庭住房分开;与家人相处多年的保姆米利娅,仍可待在家庭住房。格鲁谢只被视为仆人,不像米利娅或老管家玛莎,她们已被当做家庭的一员。安娜和彼得对斯大林怀有敌意,马克斯娜还记得他们的窃窃私语,怀疑斯大林应为基洛夫的死亡负责。如果玛莎仍在,他们可能会无所顾忌——她的老信徒背景可确保她的沉默——有了格鲁谢,表露这种情绪就会非常危险。1937年7月,马克斯娜的父母被捕(枪决于同年秋季),弟弟被送去孤儿院,马克斯娜和保姆米利娅搬去一个公共公寓,格鲁谢就此销声匿迹。 (452)

    在这种不信任、仇恨和恶意的气氛当中,小小的争执和嫉妒很容易演变成举报。1937年,内务人民委员会的一名军官,找上了来自高尔基城的乡村医生鲍里斯·莫洛特科夫,因为是老朋友,他要鲍里斯帮忙为他的情妇堕胎,但鲍里斯表示拒绝(当时堕胎是非法的)。这名军官便安排一系列举报人,举报他为“反革命”。鲍里斯因此被捕,关押在地区监狱,他的妻子也以莫须有的罪名入狱,被指控涉及当地医院一桩工人谋杀案。 (453)

    性和爱往往在这些致命的争执中发挥作用。大恐怖时期,大量被抛弃的恋人、妻子、丈夫,成了举报人的受害者。尼古拉·萨哈罗夫是一名工程师,父亲是神父,在1937年遭到处决。尼古拉因自己的工业专长而受到重视,自忖这会保护自己不受逮捕。没想到后来有人看中了他的妻子,便举报他是“人民公敌”。另有一位莉帕·卡普兰,因拒绝工厂主管的性要求而惹上麻烦。该主管安排举报人,举报她3年前的言论,其时刚刚发生了基洛夫遇刺案。当时,她得以虎口逃生(举报内容被认为太荒谬),但到了1937年,却被送去科雷马劳改营10年。 (454)

    职业私心和物质奖励,几乎是所有举报人的动力。这些动力往往又以复杂的形式,与政治信仰和恐惧混在一起。成千上万的低级官员举报他们的上级,以此在苏维埃的等级制度上攀爬(政府鼓励他们这样做)。伊万·米安契恩为了促进自己的前途,从1937年2月到11月,在阿塞拜疆举报了不少于14名党和苏维埃的领导人。米安契恩后来辩解说:“我们认为,这是我们不得不做的……每个人都在写。”也许,米安契恩认为是在显示自己的警惕性;也许,他因破坏上司的前途而获得恶意的快感;也许,他因帮助警方而感到自豪。还有一种勤奋忙碌的举报人,给自己的报告仔细编号,签上“我们中的一员”或“游击队员”,以示他们的忠心耿耿。但个人的晋升、更高的薪俸、更多的配给、更大生存空间的允诺,都在发挥各自的作用。公寓住户被捕后,空出来的房间经常被内务人民委员会接管,或由斯大林政权的其他仆从瓜分,如办公室工人和司机。毫无疑问,其中有些人凭借举报以前的住户而获得酬报。 (455)

    伊万·马利金在列宁格勒北边的谢斯得罗列茨克城担任工程师,他技艺高超,素受尊敬。他厂里的工人们称他为“沙皇工程师”,甚至在内务人民委员会将他逮捕之后,仍愿意帮助他的家人。马利金是当地名人,编写过教科书和小册子,并为苏维埃报刊写文章。他们夫妇和两个孩子,一起住在郊区自建的大木房子里。不出意外,他的财富和名气招致了旁人的嫉妒。举报的工厂同事其实是在妒忌他的成功,声称马利金使用自己的房子与芬兰人保持秘密联系,马利金因此而被捕。原来,这项举报还是内务人民委员会的一帮人精心策划的,目的是想迫使马利金以7000卢布的价格向他们出售自己的大木房子(当时刚做的估价几近50万卢布)。那帮人还威胁,如果拒绝出售,还要逮捕他的妻子。到头来,马利金遭到枪决,妻子和孩子都被赶走,大木房子分给了内务人民委员会的军官及其家属, (456) 其后代至今仍住在里面。

    在大恐怖时期,事业中的进展必然涉及道德上的妥协,如果不是赤裸裸的举报,就是与斯大林政权默默勾结。西蒙诺夫的职业生涯正是在这个年代腾飞的,他以非凡的坦率和自责,写出苏维埃沉默的大多数在大恐怖中的携手合作。他在1979年临危时口述的回忆录中自责道:

    让我们直面那个时代吧,你不能原谅的,不但有斯大林,还有你自己。这并不是说,你做了坏事——也许你什么错事也没做,至少在表面上如此——但你已习惯于邪恶。1937至1938年发生的事件,现在显得离奇且狠毒,但对当时二十三四岁的你来说,反而成了一种规范,几乎是习以为常。你身处这些事件当中,对一切都装聋作哑。当你周围的人被枪决、打死或突然销声匿迹时,你却什么也没看到,什么也没听到。

    西蒙诺夫为了试图解释这种冷漠,回忆了自己对米哈伊尔·科利佐夫1939年被捕的反应。科利佐夫是一位很有影响力的作家,他的西班牙内战报道对西蒙诺夫投身的青年文坛产生了很大启发。西蒙诺夫在内心深处从不相信科利佐夫是一名间谍(1949年曾向作家法捷耶夫袒露过这种怀疑),但不知何故,当时却成功地吞咽了自己的疑虑。无论是出于恐惧和怯懦,或是相信国家的愿望,还是躲避异议的本能,他在内心做了调和,以符合斯大林政权的需求。他重新校正了自己的道德罗盘,穿越大恐怖的道德泥沼,得以维护自己的事业和信念。 (457)

    西蒙诺夫不是举报人,但确实曾承受此种压力,苏维埃当局可能希望他作出这方面的努力。1937年春季,西蒙诺夫收到作家协会总书记弗拉基米尔·斯塔夫斯基的邀请,与文学院其他三名青年散文作家一起,前去参加高加索地区的工作度假。他们准备撰写谢尔戈·奥尔忠尼启则的生活经历——他是著名的格鲁吉亚人,在内战中与斯大林并肩战斗,曾担任重工业人民委员,前不久刚刚自杀。他们快要动身时,斯塔夫斯基把西蒙诺夫叫到办公室,要西蒙诺夫坦白“他在文学院[一直在散布的]所有反苏维埃言论”。他希望西蒙诺夫认罪并悔改,从而使自己难以拒绝当局的进一步要求,但西蒙诺夫否认有过那样的谈话。斯塔夫斯基随之声称已掌握“相关资料”,告诫西蒙诺夫“最好还是说实话”。西蒙诺夫回忆,斯塔夫斯基“因我的不够真诚和实事求是,显然变得十分恼火”。斯塔夫斯基的指控和西蒙诺夫的否认持续了好几轮,由于西蒙诺夫的拒不合作,双方呈胶着状态。最后,斯塔夫斯基指责他散布“反革命诗歌”,并禁止他参与这次工作度假。西蒙诺夫逐渐弄清了斯塔夫斯基的“材料”来源。原来,文学院的学生中掀起一股读吉卜林诗歌的热潮,西蒙诺夫因此卷入与一名青年教师的对话。该教师随即询问他对尼古拉·古米廖夫(作为“反革命”枪决于1921年)的诗歌有何看法。西蒙诺夫回答,虽然他更喜欢吉卜林的诗,但也喜欢古米廖夫的部分诗作。在该教师的鼓舞下,他还背诵了几段古米廖夫的诗句。西蒙诺夫回忆起当时的情景,生平第一次感到恐惧。他知道已有被捕的危险,这不仅缘于他对古米廖夫的看法,也因为自己的贵族出身。看来,该教师向斯塔夫斯基汇报,将西蒙诺夫对古米廖夫的喜爱与他的出身联系起来。在那个学期剩下的时日,西蒙诺夫故意躲避那位教师。同一年晚些时候,该教师自己入了狱(为了拯救自己,他最后的努力就是充当举报人,试图坑害西蒙诺夫)。 (458)

    到1937年春天,文学院已进入高度焦虑的状态。像其他苏维埃机构一样,文学院在突然发动的大恐怖面前措手不及,其中更有一种恐慌感,认为惊讶恰恰证明了自己“缺乏警惕性”。在一系列整肃会议上,学生和教师歇斯底里地呼吁,要有更多“布尔什维克的警觉和真正的自我批评”,要从文学院铲除所有的“形式主义者”和“阿韦尔巴赫分子[托洛茨基分子]”。好几名学生被捕,有些是因为自己的诗歌里含有自由或宗教的主题,有些是为了帮鲍里斯·帕斯捷尔纳克(因个人主义风格,已受苏维埃报刊的批判)讲话。大约有十几名学生,交由共青团做工作(即召开学生会议,给予严厉批评,再让他们自己发言,背弃旧作)。其中之一被文学院开除,移交给了内务人民委员会,因为她拒绝背弃自己的父亲——一个过气的诗人。她还勇敢地告诉聚集的指控者,“我父亲是苏联最光明正大的人”,为此她被流放去科雷马10年。

    西蒙诺夫在文学院的好朋友中有两位在大恐怖中遭受迫害:诗人瓦伦丁·波图帕契克,被捕于1937年2月,因为有同学向警方汇报了他的言论;同年4月,作家协会主席团谴责了富有魅力的教师弗拉基米尔·卢戈夫斯科伊,指责他竟然重新发表(1935年)“政治上有害”的20世纪20年代的旧作(关于俄罗斯大自然的浪漫诗)。卢戈夫斯科伊被迫撤回自己的诗,写了10页自卑自责的检讨《我的错误》,承诺清洗“所有的陈旧思想”,“紧跟历史进程”。卢戈夫斯科伊被吓坏了,在之后几年中再也不发表诗作,除了1939年《关于斯大林之歌》的配词。平时的卢戈夫斯科伊轻声细语,态度温和,却作了一系列激烈的政治发言,要让敌人血债血偿。他在10月告诉一群莫斯科作家:“现在正是时候,要把这些坏蛋敌人和托洛茨基分子,从我们国家清洗出去,要用铁扫帚扫除所有的叛国贼,要在我们队伍中肃清这些异己分子。”

    西蒙诺夫的反应也是出于恐惧。斯塔夫斯基办公室事件发生之前,他一直被视作模范学生和苏维埃的衷心拥戴者。到如今,这种声誉却变得疑窦重重。西蒙诺夫回顾斯塔夫斯基事件,感到“惊愕和震惊,与其说是突如其来的危险感……毋宁说是一种感悟:他们不再相信或信任我了”。他接着在文学院一系列整肃会议上,奋起攻击“形式主义者”和其他“敌人”,以此证明自己的价值。 (463) 最不寻常的是他在5月16日文学院公开会议上对朋友叶夫根尼·多尔马托夫斯基的尖刻声讨:

    [文学院里]经常听到,有些人只是乐此不疲地谈论自己。具体讲,我记得多尔马托夫斯基同志在4班会议上的一次恶心的讲话。他没说“文学院和我们”,而说“我和我的文学院”。他的立场是:“像我这样的个人,文学院并没给予足够的重视。成立文学院,就是为了教育两三个天才,就是像我多尔马托夫斯基这样的。做到这一点,就能使它的存在变得合理,富有价值。对于像我这样的人才——多尔马托夫斯基——文学院应该提供最好的,甚至不惜牺牲其他的学生。” (464)

    也许,西蒙诺夫只是在发扬自我批评的精神(包括批评自己最亲密的朋友)——那一直是共青团的风尚,学生应证明自己是忠诚和警惕的。也许,他没有伤害朋友的意思。但很显然,他在嫉妒多尔马托夫斯基因才华而获得的重视,文学院主任经常如此表示(他把西蒙诺夫放在较低等级,只能胜任“教学、新闻、编辑”的工作)。 (465) 西蒙诺夫在这一事件中的指责,对多尔马托夫斯基的损害相对较小。后者1938年从文学院毕业,作为一名记者被派去远东——这一职位远不相称于他的文学才华,被他描绘成一生中最艰难的工作。但他或许已很幸运,因为生活本来可能变得更糟。两人继续保持友好关系,经常在写作中赞美对方,但在西蒙诺夫的朋友当中,总有人怀疑多尔马托夫斯基对他怀恨在心。 (466)

    大恐怖的年代,对许多朋友来说是灾难性的,但对西蒙诺夫来说,却是一鸣惊人的好时机,他成为了受斯大林政权青睐的诗人。1937年,他写了几首诗,奉献给对斯大林的崇拜,包括一首《游行》(Parade),配以管弦乐团及合唱团:

    这是一首有关他的歌,
    有关他的真心朋友,
    他真正的朋友和同志。
    全体人民都是他的朋友:
    你数也数不清,
    就像大海中的浪花水滴。

    西蒙诺夫在《冰之战》(Ice Battle,1938)一诗中,将13世纪俄罗斯王子亚历山大·涅夫斯基率军击败条顿骑士团的民族英雄故事,与苏维埃反对国内外敌人的斗争(也是同年史诗电影《亚历山大·涅夫斯基》的主题,导演是谢尔盖·爱森斯坦)呼应对照起来。该诗是宣传工作的一部分,让苏联为可能的抗德战争做好准备,也是西蒙诺夫第一次真正的文学成就,为他带来了“名誉和声望”——这是卢戈夫斯科伊1938年9月推荐他加入作家协会时引用的赞词。 (468) 西蒙诺夫当初拒绝充当举报人,可能对自己前途造成损害,但凭借之后创作的爱国诗篇,似乎赢得了彻底补救。他得到斯塔夫斯基的全力支持,成为作家协会的最年轻成员。

    在大恐怖的疯狂气氛中,西蒙诺夫对多尔马托夫斯基的背叛,并不是异乎寻常的。一位举报人回忆,内务人民委员会找他举报自己的朋友(他父亲被捕后,那些朋友也嫌弃他),他的良心处于挣扎之中。他自问:“谁是我的朋友?我没有朋友。忠诚吧,我不欠任何人,除非他能从我身上榨取——我只欠我自己。” (469) 恐惧扯断了友谊、爱和信任的纽带,也撕裂了凝聚一个社会的道德关系。人们在混乱中争求各自的生存,相互竞斗,反目成仇。

    叶夫根尼娅·金兹伯格于1937年被捕,遭到许多朋友的出卖。他们被迫在喀山监狱的审讯中当面指控她(内务人民委员会经常安排这样的“对质”),其中就有作家沃洛蒂亚·季阿科诺夫,在她供职的报馆里担任编辑。金兹伯格回忆:

    我们还是老朋友,我们的父亲是同学。我帮他找到这份工作,并且很乐意、很热情地辅导他干好这一行。他比我小5岁,经常说喜欢我,愿把我当做姐姐。

    在对质中,审讯员(俄语都说不好)朗读了季阿科诺夫的声明,举报金兹伯格是报馆“反革命恐怖组织”的成员。季阿科诺夫试图改口,声称他只是说她在编辑部门担任重要职务。但审讯员坚决要求他签署一份声明,证明这一组织的存在。

    “沃洛佳,”我温和地说,“你知道这是个花招,你从没说过这样的东西。如果你签了,就会造成数百位同志的死亡,他们一直待你不错。”

    [审讯员的]眼珠子几乎要蹦跳出来了。

    “你竟敢对证人施加压力!我要直接送你去最底层的惩罚牢房。你,季阿科诺夫,昨天独自一人时,你都签了这些文件。现在,你竟敢反悔!我马上以提供伪证的罪名将你拘留。”

    他做了一个按铃姿势——沃洛佳,像蟒蛇面前的兔子,慢慢写上自己的名字,他的手抖个不停,好像中了风,完全不同于他签署新时代道德准则文件时的大胆利落。然后,他以几乎听不见的声音说:

    “请原谅我,热尼娅。我们刚生了一个女儿,我必须活下去。” (470)

    在大恐怖时代,人们如何因应同事、朋友、邻居的突然失踪?如苏维埃报刊所声称的,他们真以为那些人是“间谍”和“敌人”吗?那些人,他们已认识多年,会相信吗?

    就真正的共产党人而言,党领导告知他们的是毋庸置疑的。这无关乎他们是否相信图哈切夫斯基或布哈林是间谍,而在于他们是否接受自己信奉的党的判决。可信的朋友和战友突然变成“敌人”,随之出现的问题,可以各种方式予以应付。基辅的红军军官阿纳托利·戈尔巴塔夫回忆,图哈切夫斯基和其他高级军官被指控为间谍时,他与军队中的多名同仁不得不作出调整。

    在击溃外国干涉军队和国内反动派时发挥如此重要作用的人物,怎么会……突然变成人民公敌呢?……最后,在反复考虑一系列的可能解释之后,我接受了其时最为普遍的答案……当时很多人都这么认为,“显然,他们出国时,坠入了外国情报机构的罗网”。

    亚基尔将军的被捕,真是一个“可怕的打击”。

    我很熟悉亚基尔,很尊重他。我衷心希望这只是一个误会——“会弄清楚的,他将获得自由”——但诸如此类的说法,也只有最亲密的朋友在小圈子里冒着风险暗自嘀咕。 (471)

    显然,亚基尔愿意接受党的判决,他面对行刑队时的最后一句话是:“共产党万岁!斯大林万岁!” (472)

    斯大林的监狱充满了相信党是正义源泉的布尔什维克。有些对指控供认不讳,为的是保住这样的信仰。为了取得布尔什维克囚犯的供词,酷刑也是经常使用的。据一名前囚犯(不是共产党人)所说,他们投降的关键因素不是刑罚,而是因为:

    大多数坚定的共产党人,愿意不惜一切代价,维持自己对苏联的信念。要背弃这个信念,已非他们力所能及。在某种情况下,长期的根深蒂固的信念,即使已经不靠谱,如要予以放弃,仍需要巨大的道德力量。 (473)

    娜杰日达·格兰金娜1938年在喀山监狱遇到的许多党员,仍然信奉党的路线。她告之以1932年的饥荒,他们却说,“这只是谎言,我只是在夸大其词,以诋毁我们的苏维埃生活方式”。她还告诉他们,她被无端赶出家园,国内护照制度在摧残家庭,他们会说:“没错,但这是对付像你这样的人的最佳方式。”

    他们认为我是罪有应得,因为我反对过激的行为。然而,当同样的事发生在他们身上,却被认为这只是一个错误,会被纠正的——因为他们对上级颁布的任何指示,从不心存疑问,总是欢呼雀跃,贯彻到底……他们被开除党籍时,没有站出来互表支持,要么保持沉默,要么举双手表示拥护。这真成了普遍的精神病状。 (474)

    对广大人民来说,现实有两种:一种是党的真理,另一种是基于经验的真理。但在大恐怖的年代,苏维埃报刊中充斥了做秀公审以及“间谍”和“敌人”的邪恶言行,真能看透宣传的人寥寥无几。要给新闻报道打折扣,要质疑大恐怖的基本假设,这都需要非凡的意志力,通常会牵涉不同的价值体系。就一些人而言,使之采纳批判性观点的是宗教或国籍;就另一些人而言,是不同的党的信条或思想;就其他一些人而言,是他们的年龄(他们在俄罗斯看得太多了,根本不相信清白可以保护任何人免受逮捕)。但30岁以下的人,从小长大只知道苏维埃世界,又没从家里承继到其他价值观,要想逃离宣传并怀疑它的政治原则,几乎是不可能的。

    年轻人特别容易轻信——他们在苏维埃学校里一直接受如此的宣传。里亚伯·比德尔回忆:

    在学校里他们说:“看,他们如此不愿我们生活在共产主义社会——看,他们如何炸毁工厂、造成火车出轨、杀害民众——都是人民公敌的所作所为。”我们的大脑受到不断地灌输,以致没有自己的思考。我们到处看到“敌人”,并被告知,如在街上看到可疑人物,就要予以监视并报警——他很可能是一名间谍。当局、党组织、我们的老师——每个人都说同样的话,我们还能有其他想法吗?

    比德尔1937年离开学校,在工厂找到工作,经常听到工人对“人民公敌”的诅咒。

    工厂遇上故障,他们就会说:“同志们,这里有破坏和背叛!”他们会寻找有历史污点的人,称他为敌人,将他投入监狱,上刑,直至他招供。在公审大会中,他们会说:“看,这就是潜伏在我们中间的混蛋!” (475)

    很多工人相信“人民公敌”的存在,要求予以逮捕,并将之与“主管们”(党干部、经理和专家)联系在一起——他们已将自己的经济困苦,归罪于那些“主管”。事实上,这种对精英的不信任有助于解释清洗为何在部分民众中具有广泛的吸引力。他们将大恐怖视作“主人之间的争吵”,与己无关。这一看法,在大恐怖年代广泛流传的笑话中,获得完美的诠释:半夜里,内务人民委员会猛敲一户公寓的大门,屋里的男主人问:“是谁呀?”“是内务人民委员会,快开门!”男主人一下子心宽了,回答说:“不,你们弄错了——共产党人住在楼上!” (476)

    近亲的被捕不足以动摇大多数人对“敌人”的信念,在许多情况下,反而予以加强。依达·斯拉温娜的父亲于1937年被捕,但她仍坚守自己的共青团信念,直到1953年:

    我不相信父亲是人民公敌,当然认为他是无辜的。同时我又相信,人民公敌确实存在。我确信,正是人民公敌的破坏,才使像父亲那样的好人蒙冤入狱。在我看来,这些敌人的存在是显而易见的……我在报刊上读到有关的报道,跟所有人一样,也对他们恨之入骨。我与共青团员一起去游行示威,抗议人民公敌,高呼:“处死人民公敌!”报纸提供这些口号,让我们的头脑装满了做秀公审。我们读到布哈林和其他党干部可怕的供词,被吓坏了。如果这样的人也是间谍,那敌人真是无孔不入啊。 (477)

    罗扎·诺沃塞尔茨娃的父母于1937年被捕,她从不认为他们是真正的“敌人”,却愿意怀疑布哈林这样的高级干部,如她当时所说,总要“有人为我家的悲惨遭遇承担责任”。在苏维埃外交官家庭长大的弗拉基米尔·伊耶宁,相信对“人民公敌”的所有指控——认为叶若夫是个“伟人”——尽管自己的父亲、姐姐和6位叔叔姨妈都于大恐怖年代被捕。要到1944年母亲入狱,他才开始产生怀疑,他写信给斯大林,声称母亲是完全无辜的;并发出警告,她的被捕证明内务人民委员会已被“人民公敌”接管。 (478)

    甚至斯大林的受害者,也相信“人民公敌”的存在,或承认自己的被捕是罪有应得(犯了“反革命破坏罪”),或推定自己被误定为“人民公敌”。德米特里·斯特雷勒兹基是“富农”的儿子,家人作为“人民公敌”遭到流放,但他自己相信斯大林政权的宣传,在1953年之前一直是狂热的斯大林主义者。他回忆:“与其放弃对斯大林的希望,倒不如继续相信他,认为他只是受了人民公敌的欺骗。这样做,使我们[受迫害者]更容易在惩罚中存活下去。”

    我们从没想到,我们的痛苦得归罪于斯大林,只是感到奇怪,他怎么会不知道自己受了欺骗……父亲说:“斯大林被蒙在鼓里,这意味着我们迟早会[从流放中]获释”……也许,这只是一种自欺欺人。但在心理上,相信斯大林的公正,使人更容易忍受苦日子,并消除我们心里的恐惧! (479)

    在劳改营度过多年的地质学家帕维尔·维滕贝格,支持对“人民公敌”的大恐怖。1937年2月,他远征北地群岛地区时给妻子写信:

    你问我,是否听到电台上有关皮亚特科夫的公审。我全听到了——现在才明白,自己的身败名裂就因为那些流氓托洛茨基分子——他们试图摧毁我们的[苏维埃]联盟,其见不得人的手段,导致了这么多无辜的党外人士被送去流放。 (480)

    有些人对这么多“人民公敌”的存在存疑。就他们而言,引起怀疑的不是做秀公审(很少人质疑检方的诚实),而是同事、朋友、邻居的突然失踪,似乎很难相信他们有罪。

    不去想它,便是应付这种疑惑的共同对策——避开所有政治,彻底退到私人生活。许多人对政治事件视而不见,设法度过大恐怖年代。甚至还有政治精英,紧闭双眼来应对自己圈子中的失踪事件。米哈伊尔·伊萨耶夫是杰出的苏维埃法学家,又是苏维埃最高法庭的成员,带着妻子和4个孩子住在莫斯科,养尊处优。据妻子玛丽亚的回忆,在整个大恐怖时期,虽然大规模逮捕波及许多朋友,但家里从来不谈论国事。伊萨耶夫似乎对世上发生的事浑然不觉,即使是与自己切身相关的也是如此。他1937年12月写信给女儿,抱怨年老未婚的女管家突然失踪,好几天没来上班,家里乱糟糟的,其“突然消失和毫无预警”显然让伊萨耶夫非常恼火。他弄不懂管家为何消失,还在犹豫是否要将她解雇,丝毫都没想到管家可能已经被捕——确实如此——根本没人替她给她的东家捎信。 (481)

    这些精英家庭的许多孩子受到庇护,对政治事件茫然不知。尼娜·卡明斯卡娅是律师和宪政民主党人的女儿,对政治不闻不问——家里从来不谈政治。甚至在父亲被苏维埃银行解雇之后,尼娜仍然在法学院过着“无忧无虑的学生生活”,她是1937年入学的。多年之后,她与朋友讨论此事。他们都同意,在大恐怖年代仍有愉快的经历,无忧无虑,甚至意识不到当时发生的大事:“我们根本察觉不到攫噬我们父母一代的恐怖和绝望。”尼娜的朋友讲述过1937年的一件事,她参加朋友聚会,很晚才回家,又找不到钥匙:

    别无他法,她只好按门铃叫醒父母。很长一段时间都没有回应,于是她按了第二次。不久,听到脚步声,门打开了,站在面前的是她的父亲。他不像刚刚起床,反倒像刚刚回家,或正要出门,身穿深色的西装、干净的衬衫,配以整齐的领带。看到自己的女儿,他在沉默中注视着她,然后一言未发,打了她一记耳光。

    尼娜认识这位朋友的父亲,他受过良好教育,没有粗暴的倾向。他对深夜敲门的反应,显然基于他对“他们”前来逮捕的恐惧。起初,她的朋友感到震惊:

    她自觉委屈,一下子泪水涟涟,怪罪于父亲。过了一会儿,便将之忘得一干二净。多年之后,她才忆起父亲苍白的脸色、沉默和那记耳光——毫无疑问,这是他有生以来第一次打人。她带着极大的痛苦告诉我这个故事,为她自己及整整一代人的不谙世事深感歉疚。 (482)

    人们以各种方式来应付疑惑,或予以压制,或加以合理化,来维护他们共产主义的基本信念。他们当时并非刻意为之,只是数年之后方才意识到这一点。玛娅·罗德克的父亲1937年被举报为“人民公敌”,因为他无意中说出的一个短语,恰好是托洛茨基在写给苏维埃当局的信件中用过的。父亲被捕后,玛娅曾尝试将大恐怖引起的疑惑,与自己的共产主义信仰调和起来——这是她现在的理解。

    这么多疑惑使我坐立不安,我的反应是迫使自己循规蹈矩。这是当时发生的,不过我要等到今日,才使用“循规蹈矩”一词——这不是一种游戏,而是一种生存策略。例如,朋友阿拉和我都不喜欢斯大林的个人崇拜,但要省悟它可能有错,即使在我们的内心也是根本不可能的。我只知道,自己需要不断改进,以剔除内心的任何疑虑。 (483)

    西蒙诺夫在回忆录中讲述了自己对一个亲戚(舅婆的弟弟)被捕的反应。他是一名资深军官,涉及1937年对图哈切夫斯基和其他高级将领的公审。西蒙诺夫回忆,自己还是小男孩时就崇拜图哈切夫斯基(经常在伯父的莫斯科公寓中遇见),所以对被告的有罪存有疑惑。西蒙诺夫的母亲非常愤慨,坚信那位亲戚的清白。西蒙诺夫因此对相关的证据认真地加以甄别,最终仍决定接受苏维埃报刊的解释。像当时大多数人一样,西蒙诺夫猜想,如果没有确凿的叛国证据,没人胆敢处决如此高级的将领:

    要怀疑那个可怕阴谋的存在是不可能的。任何质疑都是不可想象的——别无选择。我在讲那些时代的精神:除非他们有罪,不然就无法理解。

    西蒙诺夫以同样的逻辑接受了亲戚有罪的认定。该亲戚之前曾被捕一次(1931年),因证据不足而获释;在西蒙诺夫眼中,他的再次被捕必然意味着已经找到了他有罪的新证据(他的继父曾于1931年被捕,却没有遇上麻烦,可作佐证)。 (484) 换言之,西蒙诺夫的解读倾向于加强自己对共产主义的信念,而放弃信念是“不可思议的”。

    还有另一种方式将朋友和亲戚的突然失踪,与苏维埃正义的信念调和起来。那就是告诉自己,好人被捕只是一个“错误”。根据这个道理,要找出真正的“人民公敌”,出错是不可避免的,因为有太多的“敌人”,隐蔽得又太好。基于这种思维,真正的敌人总归是他人——监狱门口排队送包裹的女人的儿子和丈夫——永远不会是自己的朋友和亲戚。

    奥莉加·阿达莫娃―斯柳兹贝格回顾丈夫1936年的被捕,如此总结自己的反应:

    不,这不可能。它不可能发生在我和他的身上!当然有传闻[仅是传闻——当时还是1936年初],要出事了,已有逮捕事件发生。但这一切肯定只与别人有关,当然不会发生在自己身上。 (485)

    奥莉加的丈夫在遭到内务人民委员会拘捕时认为,这只是一个“误会”。像数百万其他人一样,他在告别妻子时说,很快就会弄清楚(“肯定是一个错误”),很快就会回来。他只带了在外过夜的小包裹。斯拉温和皮亚特尼茨基也是如此。

    许多人相信弄错了,便写信给斯大林,吁求释放自己的亲人。安娜·谢苗诺娃从小就是共产主义者,在父亲1937年6月被捕之后,就曾写信给斯大林。她现在回忆道:“我想,几天后,斯大林就会收到我的信,读完后会说:‘这是怎么回事?为何要逮捕一个诚实的人?立即释放他,并向他道歉。’”3个月之后,安娜的母亲也被带走,她又一次告诉自己,“肯定又弄错了”。 (486)

    这一想法,因内务人民委员会主管叶若夫的倒台而获得加强。1938年秋天,身为大恐怖干将的叶若夫因私生活的各式丑闻(并不完全是虚假的)而落马,其中有同性恋暧昧、双性恋狂欢、大肆酗酒、妻子已成英国间谍的虚构故事。但叶若夫落马的真正原因,还在于斯大林愈益察觉到,大规模逮捕不再是可行策略。如果继续下去,不用很久,全体苏维埃人都要入狱了。斯大林明确表示,内务人民委员会不能单单依据举报,不予查证就径自抓人。他还指出,要警惕专靠举报来促进自己地位的野心家。叶若夫的解职是在1938年12月,新主管拉夫连季·贝利亚马上宣布,全面审查叶若夫治下的逮捕案件。到1940年,150万宗案子审查完毕,取消了对45万人的判罪,封存了12.8万宗案卷,3万人获释出狱,32.7万人走出古拉格劳改营。这恢复了许多人对苏维埃司法的信心,让疑惑者把“叶若夫恐怖”看作一时的畸变,而不是制度的滥用。据声称,大规模逮捕都是叶若夫的所作所为,斯大林纠正了他的错误,并揭露了叶若夫的“人民公敌”真面目:一直在逮捕官员,散布不满,以破坏苏维埃政府。1940年2月,最高军事法庭公审叶若夫,他的罪名是策划恐怖分子阴谋,为波兰、德国、英国、日本从事间谍活动,被枪决于他自己专为枪决“敌人”建造的特殊建筑内,离卢比扬卡不远。 (487)

    贝利亚的任命让人松了一口气。马克·拉斯金记得:“我们欣喜若狂,在我们眼中,贝利亚似乎是纯正的理想人物。”像很多其他人一样,他希望“所有的无辜者将获得释放,监狱里只留下真正的间谍和敌人”。 (488) 西蒙诺夫回忆,贝利亚的审查恢复了他对苏维埃正义的信念,消除了他因亲属被捕而可能生出的疑惑。事实上,西蒙诺夫因此而加强了自己的信念:没有获释的,或之后被捕的,一定是有罪的。他如此回顾自己对1939年两个文人被捕的反应——分别是作家伊萨克·巴贝尔和戏剧导演弗谢沃洛德·梅耶荷德:

    尽管这两人在文学界和戏剧界已占据重要地位,尽管他们的突然失踪引起了巨大的震荡——那时已是如此——然而,这两起逮捕来得那么突然,涉及如此不寻常的圈子,又在纠正叶若夫错误的贝利亚当政之下——这一切让我觉得,他们也许确实有罪。在叶若夫当政时期被捕的人中,很多也许是无辜的。但这两人没有受到叶若夫的迫害,现在又是拨乱反正之时,却被突然逮捕。因此,逮捕他们似乎应有很充分的理由。 (489)

    对梅耶荷德和巴贝尔的指控引起许多人的怀疑,其中之一是作家协会前总书记弗拉基米尔·斯塔夫斯基——他曾试图招募西蒙诺夫做举报人。他出生于奔萨省城的工人家庭,如果没有学会在道德原则上的妥协,也不可能晋升至苏维埃文学界的顶层。他身为斯大林的“苏维埃文学界刽子手”,批准逮捕了许多作家,并亲笔写下导致曼德尔施塔姆1938年春天被捕的检举信。 (490) 但在这段时间内,斯塔夫斯基深受怀疑和恐惧的折磨。他在日记中承认自己的绝望,他的日记像普里谢维恩的一样,也用微小潦草的笔迹,别人很难辨认。他为听到的一则故事深感不安,说一个党干部将自己带司机的汽车,改装成一个卖淫场所。该司机说:“我实在弄不懂到底是怎么一回事。”“他只是一个普通男孩,我们中的一员,然后跨过一条分界线,就变成了一头猪,满面污秽。一个普通工人,一辈子都不会这么肮脏。” (491) 也许是由于丧失信心,斯塔夫斯基开始狂饮,发胖,生病,因酩酊大醉而好几天不去上班。他躲避批斗作家的会议,或只作最温和的发言。为此,他终于在1937年11月受到作家协会党委的痛斥:

    斯塔夫斯基同志,身为作家协会的领导,大声嚷嚷要在文学界提高警惕,要开展揭露敌人的运动。但在现实中,他却在帮助隐瞒托洛茨基分子,不发起真正的进攻,不缴除人民公敌和党内异己分子的武器。对自己与敌人保持联系的错误,他仍然默不作声。 (492)

    斯塔夫斯基承受着来自政治主子越来越大的压力,最终在1938年春天被免去作家协会的领导职务。

    像斯塔夫斯基一样,很多人对大规模逮捕存有疑问,但公开反对者极少。无论如何,如皮亚特尼茨基在全体会议上的抗议所显示的,有效反对的可能性极低。不管是团体还是个人,虽然在向党领导写信表达他们对大规模逮捕的愤慨,但几乎都是匿名的。一个无名团体在1938年6月写信给莫洛托夫说:“数十万无辜人士在监狱中凋萎,没人知道为什么……一切都以谎言为基础(我们没有签名,请原谅,因为抱怨是遭禁的)。” (493) 地方上确有一些党员的抗议,特别是老布尔什维克,其政治道德在斯大林崛起之前就已经定形。

    奥莉加·阿达莫娃―斯柳兹贝格讲述了一个老布尔什维克的故事,名叫阿尔图宁,是她1939年在科雷马劳改营遇上的。他来自沃罗涅日省,入党前是一名皮革工人,已到中年,但仍英俊,留一把红胡子。他曾经强壮,但因矿区工作而变得孱弱。与奥莉加见面时,他被调到马加丹的妇女工程队,帮助制造工具。他告诉奥莉加:

    这一切开始于1937年,先说这位同志是敌人,再说那位同志是敌人,把他们都开除出党。我们举手表示同意,然后把他们打死,那都是我们自己的同志啊。

    起初,我假装生病,逃避参加会议或举手拥护。到后来,我觉到需要采取行动,再也不能这样继续下去。我们在摧毁党,杀害善良诚实的人。我不相信他们都是叛徒,我认识这些人。

    一天晚上,我坐下写了一封信,誊了几份,一份给当地党组织,一份给斯大林,一份给[党的]中央监察委员会。我写道,我们这是在杀害革命……我把自己的肺腑之言全都倾注入这封信中。我让妻子看,她说:“你这是在自杀,你寄出的第二天,他们就会将你投入监狱。”但我回答:“让他们把我关进监狱吧。我宁可身陷囹圄,也不愿举手杀害自己的同志。”

    嗯,她说得对。我寄信3天后就入狱。他们将我痛打一顿——我被流放来科雷马劳改营,为期10年。

    当被问及是否后悔,阿尔图宁回答确实有一次,当时他的劳动小组因严霜冰封而未能清除森林的树根,自己因此被关了禁闭:

    我突然顾影自怜。其他人没做什么,也判了刑,但我是自投罗网啊。我写的信到底有何作用?什么都不会改变。也许索尔茨[中央监察委员会的负责人]会感到有一丁点惭愧,但老胡子[斯大林]——才不在乎呢!无法打动他。而现在,我原本可以留在家里,与老婆孩子围坐在暖和房间的茶炊旁。一念及此,我就以头撞墙,制止这个想法进入我的脑海。那一整夜,我在牢房内边跑边咒骂自己怎么能有这样的后悔。

    真正有影响的反对是在迫害制度之内。当地法庭的法官,往往能实施有效的减刑,甚至以证据不足的理由不愿受理案件。但在1937年夏季之后,大规模逮捕的几乎所有受害者,改而面对三驾马车的简易程序,即三人特别法庭(通常来自内务人民委员会、检察院和党组织),以便绕开正规法庭。 (495) 即使在内务人民委员会中,也有勇敢人士讲出自己对大规模逮捕的反对,特别是对“富农行动”,因为它让内务人民委员会许多地方官员联想起1928至1933年的血腥混乱。斯大林和叶若夫在1937年7月召开“富农行动”会议,鄂木斯克省内务人民委员会主管爱德华·萨利在会上说他所在的区域:

    只有少量的人民公敌和托派,不值得发起一场镇压行动。总的来说,我认为,事先决定多少人被捕和枪决完全是错误的。

    会议结束后不久,萨利被捕,审判之后遭枪决。

    米哈伊尔·施赖德尔是反对大规模逮捕的另一名内务人民委员会官员。他在20世纪70年代所写的回忆录中,描述自己是一名“纯粹的契卡人”。契卡成立于1917年,其创始人是费利克斯·捷尔任斯基,他的列宁主义理想一直是对施赖德尔的激励。施赖德尔写回忆录是为了辩解自己在契卡的工作,称自己为大恐怖的受害者。根据他的说法,在20世纪30年代,他已观察到内务人民委员会同事的腐败,转而对斯大林政权感到失望。曾是体面、诚实的同志,如今为了自己加官晋爵,不惜使用任何酷刑来折磨“人民公敌”。施赖德尔也因逮捕的规模而感到不安,实在不信有这么多的“人民公敌”。但他不敢透露心里的疑惑,怕被举报,而且很快发现许多同事都有这一恐惧,但没人敢于打破这合谋的沉默。一名广受信任的同事消失了,其战友最多会说他可能是个“老实人”,而没人敢说他可能是无辜的。因为这样做,会承担遭人举报的风险,会被控对清洗运动存有怀疑。施赖德尔回忆:“没人弄得清楚,为何有这么多的逮捕。但没人敢于开口,因为这会引起怀疑是在帮助人民公敌,或是在相互勾结。” (497)

    好几个月,施赖德尔默默看着老朋友和老同事的被捕和枪决,但无法表示反对,他慢慢蜕变成了某种形式的良心抵制者,拒不出席在卢比扬卡院子对内务人民委员会同事的枪决。到1938年春季,施赖德尔被调至阿拉木图,成为哈萨克斯坦内务人民委员会主管斯坦尼斯拉夫·雷登斯(斯大林的连襟)的副手。施赖德尔和雷登斯成为好朋友,两家住在紧邻隔壁,相互串门频繁。施赖德尔注意到,雷登斯对手下的酷刑手段愈益厌恶,他认为雷登斯是一个性情中人。另一方面,雷登斯也感受到,施赖德尔对大恐怖中的操作方式与自己一样抱有怀疑。一天深夜,他俩乘车出城,停车后开始步行。到达司机听不到的地方时,雷登斯对施赖德尔说:“如果费利克斯·埃德蒙多维奇[捷尔任斯基]还活着,我们当中有很多人会因现在的工作方式而被他枪毙。”施赖德尔装作听不明白,如果轻易对此类思想表示赞同,足以保证自己即刻被捕,而他不能肯定他的上司说的话不是一种试探。雷登斯仍在继续,施赖德尔终于弄清他说的都是肺腑之言。随之,施赖德尔也敞开自己不安的灵魂。一旦这种信任获得建立,这两个男人得以倾诉心声。雷登斯感到遗憾的是,所有体面的共产党人都被消灭了,而叶若夫之流却逍遥法外,毫发未损。但仍有更危险的话题,他也不敢涉及。施赖德尔回思这些低声交谈,认为雷登斯对大恐怖的了解,远远超过他所谈及的。“他的地位和当时情境,迫使他和我们一样,即使在知心朋友面前也不点明真相;有些事情,也只好避而不谈。” (498)

    与雷登斯的谈话给施赖德尔壮了胆,他因此而感到懊悔和愤怒。他写信给叶若夫,为内务人民委员会一名老同事以及他妻子的一个表弟(仍是在莫斯科的一个学生)被捕之事抗议,愿意担保两人的清白。几天后,即1938年6月,雷登斯收到叶若夫的电报,命令他逮捕施赖德尔。他在雷登斯的办公室中获悉此一消息,便恳求雷登斯向斯大林求情:“斯坦尼斯拉夫·弗兰采维奇,你很了解我,你毕竟是他的连襟,这里肯定有错。”雷登斯回答:“米哈伊尔·帕夫洛维奇,我会为你缓颊,但我担心恐怕无戏可唱。今天是你,明天无疑就会轮到我。”施赖德尔被关入莫斯科的布提尔基监狱,到1940年7月,被判处10年劳改,外加3年流放。雷登斯被捕于1938年11月,1940年1月遭枪决。

    1937年5月,艾莱娜·邦纳的父亲被捕的那个晚上,母亲叫她去与姨妈安雅和舅舅列瓦暂住,以避开内务人民委员会抄家。14岁的艾莱娜穿越列宁格勒的大街,去敲亲戚家的门。艾莱娜回忆:“门马上开了,他们好像在等我。”随之她向姨妈和舅舅作了解释。舅舅变得惊恐万分,又气又恼,开始询问有关她父亲的工作:

    我不明白他要知道什么,我只想走进他们的公寓。安雅说了什么,列瓦几乎朝她大叫:“安雅,该死的,你总是这样……”他伸出右臂,挡住门道,不让我进去,然后以大声且快速的耳语说:“我们不能让你进来,我们做不到。为什么?你难道不明白吗?”他如此重复好几次,唾沫四溅。安雅又说了什么,我能看到她的嘴在嚅动,但听不到声音,只有列瓦的耳语,却声如呐喊,盖住了一切。我退出来,直到我的背脊顶上了走廊的栏杆。门砰的关上了,我站在那里,无法理解眼前发生的事。然后,我用手抹了一把脸,开始下楼,还没走下楼梯又听到开门声。我转过身来,列瓦就站在门口,我疑惑他是要叫我回去。但他什么也没说,又开始慢慢关门。我朝他喊“坏蛋”,看见他的脸瞬间变得苍白。 (500)

    家人被捕后,受到朋友、邻居甚至近亲的遗弃,这样的故事不计其数。人们害怕与“人民公敌”的家属接触,宁可穿过马路避开他们,在走廊上遇见也不打招呼,禁止自己的孩子与他们的孩子在院子里玩耍。人们收起已经消失的亲属和朋友的照片,有时甚至在全家福的照片上,挖去或涂抹掉他们的面孔。正如索尔仁尼琴所说:

    最温和同时又是最普遍的背叛,是不直接做坏事,只是漠视旁边的倒霉人,不给予帮助,畏缩不前,转身离开。他们已经逮捕你的邻居、你的同事甚至你的密友,你却保持沉默,装作一无所知。 (501)

    奥莉加·阿达莫娃―斯柳兹贝格回忆丈夫的被捕:

    人们以特殊的语调跟我讲话,变得怕我。见我走过来,有些人特意穿到马路对面。但也有人对我特别注意,这是他们的勇敢,大家都意识到了这一点。 (502)

    父母1937年6月被捕后,伊娜·盖斯特和妹妹被逐出在尼科利纳·戈拉的乡间别墅。遵从伊娜父母的指示,保姆把她们带去诗人亚历山大·别兹梅斯基的家。他是伊娜父亲的老朋友,伊娜父母原指望他会收留这两个女孩。但诗人开车把她们送到最近的火车站,让她们坐上开往莫斯科的第一列火车。伊娜回忆说:“他太害怕了,不愿牵涉其中。以前,他经常住在我祖母的房子里。现在,他和妻子刚有一个婴儿,恐惧压倒了他的义气。” (503)

    斯坦尼斯拉夫和瓦尔瓦拉·布德克维奇夫妇于1937年7月被捕,女儿玛丽亚和她的弟弟马上被赶出列宁格勒共用公寓的两个房间,转而分配给他们的邻居——一对带3个小孩的夫妇。这两户邻家曾友好相处,直到1937年邻居的妻子向内务人民委员会举报布德克维奇夫妇是反革命分子和间谍(斯坦尼斯拉夫有波兰血统)。她甚至声称,身为历史研究学者的瓦尔瓦拉其实是一名妓女,会把客人带回公寓。弟弟被送去孤儿院,刚刚14岁的玛丽亚只得自生自灭。最初几天,玛丽亚住在学校朋友的家里,后来总算找到一个居所。一名布尔什维克官员的妻子是她家老朋友,建议玛丽亚去询问前邻居有无父母的消息。玛丽亚回到原先所住的共用公寓,却受到敌视:

    我的上帝,他们竟然怕我,甚至不让我走进公寓。你能想象吗?占用我们房间的女人,看到我显得非常恼怒。到底是她丈夫已被逮捕,还是在担心他们会来逮捕她丈夫,我已记不得了。也许,她的家庭也遇上了麻烦。不管如何,他们不愿帮忙。那个女人只是说:“我什么都不知道,没有任何消息,明白了吗?请不要再来这里!” (504)

    邻居一夜之间竟成陌路人。将近30年,图尔金一家与尼基京一家隔邻而居。他们共用一栋三层木楼的底层,位于彼尔姆的苏维埃街和斯维尔德洛夫街相交的角落——图尔金家7口人(亚历山大、维拉和他们的两个女儿,维拉的母亲、弟弟和妹妹)占用右侧的3个房间,四口之家的尼基京享有左侧的3个房间。亚历山大·图尔金是一名老布尔什维克,在彼尔姆的地下活动时期,曾是斯维尔德洛夫的战友。像全家人一样,亚历山大也在莫托韦利哈钢铁厂工作,还是当地报纸的记者,又在地区法庭担任法官。1936年,他作为托洛茨基分子入狱。他的妻子也是该厂工人,对政治不感兴趣,将他的罪行认作“已获证明的事实”。维拉的母亲非常强势,掌管图尔金家的一切,也认为亚历山大有罪。她从客厅的全家福照片上挖掉他的脸,并说:“如果我们当中有一个敌人,就必须将他清除出去。”维拉在事故中受伤(作为“人民公敌”的妻子,无权享受病假),遂被莫托韦利哈钢铁厂解雇,她能找到的唯一工作是在街头报亭卖报。维拉的弟弟妹妹也遭到工厂辞退。其时,妹妹瓦利娅已经怀孕,其丈夫立即抛弃了她,并以政治理由获得离婚批准。家里入不敷出,挣扎于贫穷困苦的深渊,从来都填不饱肚子。据维拉的女儿说,最难承受的还是朋友和邻居的排斥:

    大家都怕我们,害怕与我们交谈,甚至不愿靠近,好像我们身上有瘟疫,会传染给他们……我们的邻居避开我们,禁止他们的孩子与我们一起玩……在1936年[亚历山大被捕时],还没有人谈及“人民公敌”——只是保持缄默。到1937年,每个人都把我们叫做“人民公敌”。

    尼基京一家也嫌弃自己的邻居。阿纳托利·尼基京在莫托韦利哈钢铁厂担任资深会计,也许是害怕被解雇,便与图尔金家庭断绝一切交往。两家曾在共用厨房一起进餐,两家孩子曾在院子里一起玩耍。现在,他们则各管各家,声气不通。尼基京甚至写信给苏维埃,背弃老邻居,因此而获得奖励,分得原属图尔金家的一个房间。为了腾出这个房间,瓦利娅和婴儿只好搬进弟弟和母亲共用的隔壁房间。阿纳托利的妹妹搬入瓦利娅的房间,重开了一道门,与自己家这边的公寓相通。

    奥西普于1937年7月被捕,皮亚特尼茨基一家承受了同样的排斥。他们被逐出自己的公寓,几乎都没有糊口的钱。朱莉娅转而求助于党内的老朋友,首先找上了奥西普近30年的朋友阿隆·索尔茨。朱莉娅去敲他家的门,被他的管家告知:“他很害怕,如果看到你在这里,他就会把我撵走。他要我告诉你,他不认识你。”朱莉娅然后去找1917年以来的熟人采采利娅·博布罗夫斯卡娅,她也是一名老布尔什维克。起初,她也拒绝,后来同意让朱莉娅进去“谈几分钟”,因为她马上就要去上班。她不愿听朱莉娅的故事,只含泪告诉她:“直接去找有关当局,找叶若夫。不要再去找你的同志,没人会帮你,也没人能帮你。”几天后,朱莉娅在地铁站遇见布尔什维克领导人维克托·诺根的遗孀:“她看看我,一言不发……然后拉佩夫——与皮亚特尼茨基很熟稔的铁路员工——走进车厢,看到我,马上转过身子,脸朝反方向,一路上都是如此。”朱莉娅的儿子伊戈尔和弗拉基米尔,同样遭受了朋友们的遗弃。弗拉基米尔最要好的朋友叶夫根尼·洛吉诺夫也不再去他家——他父亲是斯大林的秘书。事实上,没人再上门。弗拉基米尔在学校里变成受众人欺凌的对象。他回忆:“他们嘲笑我,把我叫做人民公敌,还偷我的东西,诸如书籍和衣服,因为他们知道我不能保护自己。”朱莉娅处在隔离之中,遭到所有朋友的背弃,她开始反思人类关系的脆弱,在7月20日的日记中写道:

    这些日子,人际关系多么可怕啊!我相信,如果有人表示友好,或显示一下友好或“同志”的姿态,都不是出于人情或好心,而是出于物质利益或其他私念。大家都知道,我们失去了一切,没有住的,没有吃的,但没人愿意伸出一个相助的手指。我们正在慢慢死去,但无人问津。 (506)

    如艾莱娜·邦纳所发现的,即使是亲戚,也会嫌弃“人民公敌”的家庭。阿列克谢·叶夫谢耶夫和妻子纳塔利娅是活跃的共产党人。阿列克谢是一名医生,在性病方面担任红军的高级顾问,纳塔利娅是远东木材托拉斯的经济学家。他们和女儿安吉丽娜一起住在远东地区的哈巴罗夫斯克。1937年,阿列克谢和纳塔利娅被开除出党(阿列克谢与瓦西里·布柳赫尔元帅有牵连,后者的远东军是清洗的主要对象,其在中国的化名为加伦将军)。当时15岁的安吉丽娜记得父亲被开除出党后回家的情景:

    他魂飞魄散,回到家,战战兢兢地说:“他们会来抓我。”我只是一个15岁的蠢姑娘,顺口回答:“如果你被捕,这意味着它是必需的。”因为父亲以前总对我说:“如果他们被捕,这意味着它是必需的。”我的这句话一生都回荡在我的耳畔:“它是必需的。”但我实在弄不明白,这到底是什么意思。

    阿列克谢于6月1日被捕,被裁定参与了“反对苏维埃政府的法西斯阴谋”(1938年3月在哈巴罗夫斯克遭枪决)。他被捕后,纳塔利娅和安吉丽娜被逐出自己的公寓。纳塔利娅害怕自己被捕,赶紧带着安吉丽娜逃至莫斯科,希望把女儿留给娘家的亲属。15岁的安吉丽娜面临一个危险:一旦母亲被捕,她就有可能被送去孤儿院。但纳塔利娅的亲戚中没人愿意帮忙,他们都是狂热的共产主义者。纳塔利娅的妹妹是共青团积极分子,被问及能否收留安吉丽娜时说:“让苏维埃政权把她养大吧,我们不需要她。”纳塔利娅的妈妈更为敌视,当面告诉她的外孙女:“我恨你的父亲,他是人民公敌。我也恨你。”好几天,纳塔利娅和女儿只能睡在公园长凳上。到最后,阿列克谢在莫斯科大学学医时的老朋友安德烈·格里加洛夫和妻子收留了她俩。格里加洛夫一家冒着极大的风险将安吉丽娜藏在自己的共用公寓——离克里姆林宫仅一箭之遥。安吉丽娜没有在苏维埃首都的居住护照,但共用公寓的邻居(其中有莫洛托夫的嫂子)都视而不见:因为最好还是与医生为邻。纳塔利娅把女儿留在莫斯科,自己返回哈巴罗夫斯克,几星期后被捕。 (507)

    沙姆苏瓦利和古尔契拉·塔吉罗夫夫妇在巴尔达的鞑靼地区担任教师——该地位于彼尔姆的西南部,相隔140公里。沙姆苏瓦利是革命的积极分子,曾在建立阿克巴什村的集体农庄中发挥主导作用。他作为穆斯林民族主义者被捕于1936年(枪决于1938年),同时遭殃的还有34位巴尔达地区的鞑靼教师和宗教领袖。古尔契拉只得独自抚养6个孩子,老大11岁,老幺才出世几个星期。她是村里少数有文化的人之一(懂得鞑靼文和俄文),所以颇受村民的尊重,获得足够的粮食来养活家人。前来执行逮捕的警察,为逮捕像塔吉罗夫那样的好人而满怀悔恨,主动帮助古尔契拉一家。他送来牛奶,或让孩子们去他家吃饭。他每星期为古尔契拉和囚禁在巴尔达的沙姆苏瓦利传递一次邮件,自己也给沙姆苏瓦利写信:“请原谅我,我别无选择。他们强迫我执行逮捕,我知道你是无辜的。我现在要赎回我的罪,帮助你的家人。”古尔契拉继续在阿克巴什村小学担任教师,只是她教的课经常有内务人民委员会人员的监视,审查她说的话中有无穆斯林民族主义的色彩。

    1937年,由于村苏维埃主席的举报,古尔契拉和6个孩子被赶出自己的家园。全部家当放在一辆马车上,他们走了20公里,来到沙姆苏瓦利的母亲及其长子住的叶克舍尔村。他们有一栋两层楼的大房子,尚有空置的房间。沙姆苏瓦利的母亲受过教育,笃信宗教,房内摆满书籍,但拒绝收容他们。她在儿子被捕一事上责怪古尔契拉,她已听到儿媳妇与那位警察的谣言,也许在怀疑古尔契拉参与了沙姆苏瓦利被捕之事。古尔契拉的女儿列泽达认为,父亲的亲属担心古尔契拉是“人民公敌”,对丈夫的被捕负有责任,还有可能危及亲属。沙姆苏瓦利的母亲告诉古尔契拉,她的房子已经住满,不能让她搬进去,甚至不愿向长途跋涉之后的孩子们提供食物。当天晚上,沙姆苏瓦利的弟弟全家搬进二楼的房间(他是一个商人,正在搬家,刚好卖掉自己在阿克巴什的房子)。受到婆家的拒绝后,古尔契拉和孩子们只好向一名集体农庄工人租得一个村边房间。沙姆苏瓦利的母亲曾来看望过一次,抱怨孩子太吵并从此再没出现。古尔契拉和孩子们在叶克舍尔村一共住了15年,很少看到拒绝往来的塔吉罗夫一家。古尔契拉回忆:“最痛苦的是看到他们走过我们的街道——肯定没人在监听——仍然不跟我们说话,甚至连一声招呼都不打。”古尔契拉的孩子们与他们的堂兄弟,在同一村庄一起长大,但很少相处。列泽达回忆:“我们和他们一起上学,但从没在一起玩,也从没去过他们的家。他们对我们总是很冷淡,我们也以牙还牙。” (508)

    恐惧诱发出人身上最糟糕的东西。但也有同事、朋友、邻居甚至陌生人,甘冒极大的风险,以非凡的善良帮助“人民公敌”的家人。他们收留孩子,提供食物和金钱,安顿被赶出家门的人。还有布尔什维克和内务人民委员会的官员,怜悯受害者的家人,尽力协助他们:或警告将临的危险,或帮助查寻被捕的亲人的下落。 (509)

    1937年3月,建筑师米哈伊尔·斯特罗伊科夫,在流放地阿尔汉格尔斯克再次被捕。他的妻子艾莱娜和10岁的女儿朱莉娅,获得了家庭老朋友康斯坦丁·阿尔采乌洛夫的收留。康斯坦丁自己也属流放者,带着妻子塔蒂亚娜和10岁的儿子奥列格,住在莫斯科西南方向的莫扎伊斯克镇,与莫斯科相隔100公里。他从小学的是艺术,被捕之前曾在苏维埃空军担任飞行员,此时在莫扎伊斯克无法找到工作。所以,全靠在莫扎伊斯克任教的塔蒂亚娜支撑两个家庭。朱莉娅回忆:“为了不让我们忍饥挨饿,他们卖掉一切财物。收留我们是要冒生命危险的。”母亲外出寻找工作,朱莉娅就由阿尔采乌洛夫照看。1937年11月,康斯坦丁受邻居的举报,说他窝藏“人民公敌”的女儿,再次被捕,监禁一段时间后被枪决。他的妻子塔蒂亚娜继续庇护朱莉娅,但小心翼翼,不让恶毒的邻居知道。最终在1938年,塔蒂亚娜把朱莉娅悄悄带去莫斯科,康斯坦丁在那里的朋友同意暂时代为照料,直到她母亲找到工作。艾莱娜那年夏天去接她,把她带到莫斯科以北的小镇普什季诺。康斯坦丁的关系帮她在莫斯科艺术家委员会找到了工作,负责制作苏维埃领导人的画像。艾莱娜最终成为苏维埃领导人的重要肖像画家之一。对这位“人民公敌”的妻子来说,这真是一个具有讽刺意味的结局。 (510)

    奥列格·柳波琴科的父亲是一名乌克兰记者,被捕于1934年,枪决于1937年。住在基辅的奥列格和母亲维拉遭到流放,最后来到莫斯科西南部的小镇马洛亚罗斯拉维茨。他们虽然没有莫斯科的居住护照,却经常去阿尔巴特地区的共用公寓。维拉的家庭曾是梁赞知名的地主,自20世纪20年代起就住在那个共用公寓,况且,维拉的妹妹一直都没离开。从1936到1941年,奥列格和母亲非法住在那里。共用公寓的其他居民都很配合,尽管这也可算作窝藏非法流民,具有被逐或被捕的风险。寓长是一名老契卡,名叫克拉夫蒂娅·科伊丘娜,她对此尤表支持。内战结束时,最开始邀请维拉家人住入该公寓的就是她。其时,她从梁赞来到莫斯科,在街上遇到维拉家人。她在梁赞时就认识奥列格的父亲,知道他被枪决是一桩冤案。她曾是契卡,熟悉他们的做法,她常说:“我们有法律,但没有合法性。”居民委员会主席是一名积极的共产主义者,但也有恻隐之心。她很清楚,共用公寓里住有非法居民。奥列格回忆,他或母亲偶尔走进庭院,或是该主席偶然看见他们从侧门进来,她都会“以严肃的表情,将目光移开,似乎在尽量回避我们”。 (511) 阿尔巴特的住宅区是首都的显赫地区,深受大恐怖的冲击,却有不少非法居民。

    伊利亚·斯拉温于1937年11月被捕,妻子埃斯菲莉和女儿依达被逐出他们在列宁格勒苏维埃大楼的三室公寓,搬进一个共用公寓的小房间,仅8平方米,没有水电,位于列宁格勒的偏远郊区。5个月后,埃斯菲莉也被关入克列斯蒂监狱,判处8年,前往专为祖国叛徒的妻子而设的阿克莫林斯克劳改营(ALZhIR),位于哈萨克斯坦。16岁的依达曾是教授的女儿,过着锦衣玉食的生活,现在突然要自生自灭。她回忆道:“我对日常生活的琐事全然措手不及,不知道面包价格或如何洗衣。”依达在列宁格勒没有亲属,无法养活自己,甚至支付不起房租。最后救了她的是同学和他们的父母,他们轮流收容她,每次仅持续几天(如果时间偏长,邻居就会起疑,就会举报他们窝藏“人民公敌”的女儿)。对他们中的许多人来说,额外的住宿和食物确是实实在在的负担。对依达来说,这种援助的重要性是不可估量的:“他们不仅给了我食物和住宿,更提供了我生存下去所必需的精神支持。”

    依达学习努力,力争通过考试进入十年级。那是中学的最高年级,读完就可申请高等学院。她在朋友的帮助下,找到一份清洁工作来支付小房间的租金。每天,上学的通勤时间是3小时,做清洁工作的通勤时间是1小时。每周两个晚上,她还在监狱前排队,试图找出父母关在何处、是否还活着。

    帮助依达的还有她学校的校长克拉夫蒂娅·阿列克谢耶娃。她是颇受尊敬的老党员,一直在学校里抵制党的清洗,尽一切可能悄悄保护那些父母已被定为“人民公敌”的孩子。譬如,她组织了寄宿制度,所挽救的不止是依达,还有许多其他孤儿。有一次,阿列克谢耶娃勇敢地驳回共青团要开除一名15岁女孩团籍的决定,因为她“没有揭发”自己作为“人民公敌”被捕的母亲。依达回忆,克拉夫蒂娅选择了一个相对简洁的战术。斯大林有一条著名的“指示”:“儿子无须为父亲负责。” [4] 她在遵循该指示时,故意显得“天真”而“迂腐”。

    我们学校里有许多孩子,其父母遭到了逮捕。多亏了克拉夫蒂娅,没人被开除。没有发生在其他学校的那些可怕的会议——孩子在会上不得不背弃自己的父母……母亲被捕后,我去上学。克拉夫蒂娅把我叫到她的办公室,告诉我,我在学校的伙食费用将由家长委员会支付,直到学年的结束。她还建议我写信,以健康理由申请免于考试[从而使依达自动升入十年级]。我回答:“但是克拉夫蒂娅·亚历山德罗夫娜,我的身体很好。”她耸耸肩,微笑着向我眨眨眼。

    依达获得考试的豁免,但生活仍然非常艰辛,多次濒临退学:

    我考虑退学去找工作。克拉夫蒂娅把我叫到她的办公室,告诉我:“你父母将会回来——你必须相信这一点。如果你未能完成学业,让自己成为有用之人,他们将不会原谅你。”这激发了我继续求学的决心。

    依达最终成为一名教师。

    依达·斯拉温娜不是唯一获得校长支持的孩子,她的同学艾莱娜·邦纳也获益匪浅。她的父母在1937年夏天被捕,艾莱娜晚上从事清洁工作,仍不足以支付学费(1938年在中学推出的新规定)。她决定离开学校,找一份全职工,再上不用付费的夜校。艾莱娜将申请表格交给阿列克谢耶娃,请求她的批准。

    克拉夫蒂娅·亚历山德罗夫娜拿过表格,读完后站起身,关上她办公室的门,然后轻声说:“你觉得我会收你的学费吗?去吧!”

    为了获得免费资格,艾莱娜必须向党干部,即共青团组织者,提出申请。他的职责是“留心学生和教师的政治道德态度,把学校里的每个人都吓得要死——俨然是内务人民委员会的代表”。邦纳吓得不敢提出申请,她的学费结果是某个人匿名付的——她相信是克拉夫蒂娅自己。艾莱娜回忆,她班上共有24名学生,父母遭到逮捕的倒有11名。

    我们知道自己是谁,但都不说,不希望引起注意,像正常孩子一样处世行事……我几乎可以肯定,另外10名学生都与我一起读完了十年级——都是我们校长救下的。 (513)

    对于像依达·斯拉温娜那样的孩子来说,在所有的职业当中,教师这一角色最为频繁地担当了他们的保护人,甚至是大救星。许多教师,特别是在斯拉温娜就读的精英学校,都曾接受旧知识分子人道主义的熏陶。依达回忆:“我们的老师中的大多数,都受过良好的教育,富有仁爱之心和自由的思想。”

    我们的体育老师曾是沙皇军官,在内战中投入红色骑兵军的战斗。他能流利使用3种欧洲语言……我们有剧团和诗歌俱乐部,都是我们教师鼓励筹办的。我现在才意识到,这些活动让我们接触到“苏维埃教室”所没有提供的19世纪文学。我们的历史教师马努斯·诺德尔曼,既是精彩的说书人,又是历史的普及者。他不喜循规蹈矩,无论是想法,还是穿着,都有点古怪,趋向于波希米亚风格。他在上课时小心翼翼地避开当时历史课所必需的斯大林个人崇拜。他在1939年被捕。

    父母在1937年被捕时,斯韦特兰娜·切尔卡索娃只有8岁,与叔叔同住,在列宁格勒上学。她的老师维拉·叶利谢耶娃教导其他同学要善待斯韦特兰娜,因为她是“不幸人”(19世纪慈善机构的用词)。斯韦特兰娜回忆:

    我们班上没有人民公敌——这是我的老师讲的。她还有心帮助那些父母消失的孩子,真是不少。例如,有个生活在大街上的男孩,总是脏兮兮的,没鞋没衣服,得不到任何照料。于是,她用自己的钱给他买了一件外套,把他带回家,帮他清洗。 (515)

    维拉·叶利谢耶娃被捕于1938年。

    德米特里·斯特雷勒兹基也曾受到学校教师的善待,从1933年起,他的家人流放至乔尔莫兹镇。他的物理教师拿出自己的钱让他买午餐,因为他家里负担不起。德米特里想要表示感谢,但她把钱塞入他手里时将手指放在嘴上,以示不要出声。她不想让人知道自己一直在帮助“人民公敌”的儿子,以免自找麻烦。德米特里回忆:

    一句话都没有,我从没机会向她道谢。她会在餐厅的外面等我,塞给我3个卢布。我走过时,她也许会低声说上一言二语——鼓励我的话——仅此而已。我从没跟她讲过话,她也没跟我真正交谈过,但我心中充满了极大的感激,她能心领神会。 

    伊娜·盖斯特的学校(第19学校)坐落在莫斯科市中心,靠近苏维埃领导人居住的河堤大楼,学校里有很多在大恐怖中失去父母的学生。如果他们在附近的莫斯科实验学校(MOPSh,很受布尔什维克精英的青睐)上学,就会在父母被捕之后,或遭到直截了当地开除,或被迫发表背弃的声明。但在盖斯特的学校,气氛决然不同,教师对自己的学生采取自由和保护的态度。父母1937年6月双双被捕后,伊娜回校开始新的学期,很长一段时间都不敢告诉教师。伊娜解释,“我们从小长大,都在向帕夫利克·莫罗佐夫学习”,担心也要像这位少年英雄一样,揭发自己的父母。但是,当她最后鼓起勇气坦陈一切时,老师只是说:“好吧,那又怎么样?现在让我们去上课。”伊娜的父亲是备受瞩目的布哈林公审中的被告之一,但她的老师也不在乎。学费制推行之后,她的老师掏出自己的薪水帮她代付(同校的奥西普的幼子弗拉基米尔,获得了另一位教师的资助)。由于有这一批勇敢的教师,第19学校成了“人民公敌”子女的安全港。其他孩子也受到鼓励,保护自己的同学。伊娜忆起一件事,涉及她班上最恶劣的男孩(他是父母从孤儿院领养的,伴有严重的行为缺陷)。那个男孩编制一份名单,列出班级中的25名“托派分子”(即“人民公敌”的孩子),贴在教室墙壁上,结果反而受到班上所有其他孩子的攻击。伊娜还记得一起与图哈切夫斯基公审有关的事件。其时,苏维埃学校奉命从教科书上清除这名“人民公敌”的相片。盖斯特的学校则有不同的对策:

    有些男孩已在丑化课本里图哈切夫斯基的相片,或添上八字须,或加上一对牛角。我们的老师拉希尔·格里加洛夫娜说:“我已告诉女生,现在再告诉你们男生。我给你们每人一张纸,贴到书上,整整齐齐的,盖住图哈切夫斯基的脸,但一定要小心。今天,他可能是坏人,是人民公敌。但到了明天,他和其他人可能又会回来,被我们重新当做好人。到那时,你只要掀起这张纸,一点也不会损坏他的脸。”

    1937年10月14日,索菲亚·安东诺夫―奥夫谢延科在黑海度假胜地苏呼米镇被捕。当时,她还不知道丈夫弗拉基米尔已于3天前在莫斯科被捕。弗拉基米尔是索菲亚的第二任丈夫,而索菲亚也是他的第二任妻子,夫妇俩1927年在布拉格相遇。其时,弗拉基米尔是苏维埃驻捷克斯洛伐克大使(后来改任驻波兰大使和驻西班牙巴塞罗那的总领事)。他是一名老布尔什维克,曾在1917年10月领导向冬宫发起的强攻。1937年,弗拉基米尔被召回莫斯科,改任司法人民委员。其时,夫妇俩依然非常相爱,现在索菲亚的被捕似乎改写了一切。她被带回莫斯科,在牢房中给弗拉基米尔写信,乞求他相信自己是无辜的。但索菲亚有所不知,读到此信的弗拉基米尔,已身陷莫斯科的另一间牢房。

    亲爱的,不知你能否收到此信。不知何故,我觉得,这是我最后一次给你写信。我们总是说,如果有人在我们国家被捕,一定是有充分理由和确凿罪证的——总归是有理由的,你还记得吗?毫无疑问,我的案件中也会有理由,但我被蒙在鼓里。我知道的一切,你都知道,因为我们的生活密不可分,琴瑟和谐。无论发生什么,我将永远感谢我们见面的那天。我生活在你的光环之下,并为之而感到骄傲。在过去3天中,我一直在回顾自己的一生,为死亡做好准备。我想不出任何东西(除了将人与“天使”区分的普遍缺陷)可被视作犯罪,无论是与他人的关系,还是与我们国家和政府的关系……我的想法和你的完全一致——对我们的党和国家,还有人比你更敬业吗?你深知我的心,知道我的行为、思想、文字的真谛。我入狱这一现实,无疑表明我已经有了错——但我不知道……我不能忍受你不再信任我的念头……它蚕食我已整整3天,在我脑子里灼烧不已。我知道,你不能容忍一切不诚实。即使是你,也有可能弄错。似乎,列宁也有失误。所以,当我说没做错事时,请相信我。我的爱人,相信我……还有一件事,现在是瓦莉奇卡[索菲亚第一次婚姻的女儿]申请加入共青团的时候,这无疑会造成障碍。她会把母亲当做一个坏蛋,每念及此,我的心就充满悲伤。我处境中最恐惧的,是人们不再相信我,我无法如此生存下去……我向我爱的每一个人请求宽恕,因为我带来了这些不幸……原谅我,我的爱人。我真想知道你仍愿意相信和原谅我!你的索菲亚。

    大恐怖破坏了凝聚家庭的信任。妻子怀疑丈夫,丈夫怀疑妻子。在各种家庭关系中,率先断裂的通常是父母和孩子之间的纽带。20世纪30年代的孩子,从小学习帕夫利克·莫罗佐夫的英雄榜样,接受谆谆教诲,笃信斯大林、苏维埃政府及苏维埃报刊上读到的每一个字,即使这些文章将自己的父母称作“人民公敌”。孩子一直在承受来自学校、少先队、共青团的压力,一定要背弃被捕的亲人,否则就会在教育和事业中自食其果。

    列夫·采尔莫拉夫斯基18岁那年,即1938年,他父亲——曾是突击工人和军事工程师——在列宁格勒被捕。他自己是共青团员和见习飞行员,一直梦想加入红军。父亲被捕后,列夫没有经受审判就作为“社会异己分子”,被流放到哈萨克斯坦的奇姆肯特城。他在当地的工厂上班,母亲和两个姐姐住在500公里之外的卡扎林斯克地区。1938年9月,列夫写信给最高苏维埃主席团主席加里宁,背弃自己的父亲,同时呼吁废除儿子因父亲的罪行而受惩罚的原则:

    关于我父亲的几句话。母亲告诉我,他作为反抗者,被流放去了北方劳改营。我本人从不相信,因为我亲耳听到他曾告诉他的姐妹他与白军在北方的浴血奋战。他还告诉我们自己以前的战功。基洛夫遭到暗杀时,他哭了……这也许是很聪明的伪装。好几次,他倒是告诉过我,曾去过华沙……我想,父亲应有机会为自己作出解释,但我不愿承受他所铸成的耻辱。我想在红军服务,成为一名享有平等权利的苏维埃公民。我觉得,自己一直在苏维埃学校接受苏维埃精神的教育,配得上这一称号。因此,我的思想显然完全不同于他的。但我必须携带异己分子的证件,这太令人心碎了。 (519)

    父亲和叔叔——都是哈尔科夫的工人——在1937年被捕时,安娜·克里夫科才18岁。她遭到哈尔科夫大学开除,又作为异己分子被共青团踢出。她到处寻找工作,以供养母亲、外祖母和尚是婴儿的妹妹。她在养猪场工作了一段时间,不久遭到解雇,因为他们发现了她父亲的被捕。之后,她就一直找不到其他就业机会。1938年1月,安娜写信给苏维埃副主席兼中央政治局委员弗拉斯·丘巴尔,与自己的父亲断绝关系,恳求丘巴尔帮助她的家人。安娜扬言,如果不能在苏联过上正常生活,就要杀死妹妹和自己。安娜的背弃信颇为极端,因为她极想证明她是忠诚的斯大林主义者,值得救赎。也有可能,她确实憎恨自己的父亲给家人带来这么多灾难:

    我不知道我父亲和他兄弟被控何罪,或判刑多久。我只是感到羞愧,也不想弄清。我绝对相信,无产阶级法庭是公正的。如果他们被判了刑,那就意味着他们是罪有应得。对父亲,我没有作为女儿的感情。对祖国、教育我的共青团,以及共产党,我有苏维埃公民更高层次的义务。我全心全意支持法庭的决定,那是1.7亿无产者的声音,我为它的判决感到欢欣鼓舞。我父亲自己承认,曾被征入邓尼金的军队,在1919年担任白军卫兵3个月,为此在1929年被判刑两年半[在劳改营]。这是我所知道的全部……如果察觉到他反苏维埃的任何举措——尽管他是我的父亲——我也会向内务人民委员会揭发,没有片刻的犹豫。丘巴尔同志!请相信我。称他为父亲,我都感到非常羞愧。人民公敌不配做我的父亲,只有教我无情憎恨全体恶棍和敌人的人民,才能承当这种称号。我满怀希望,无产阶级、列宁的共青团、列宁和斯大林的党,将取代我的父亲,把我当做他们真正的女儿,在人生道路上为我指引方向。 (520)

    有些家长在被捕后,鼓励孩子背弃自己,以免危及他们在社会或事业上的前途。奥莉加·阿达莫娃―斯柳兹贝格1937年在喀山监狱遇见一位名叫丽莎的女子——她在革命之前的圣彼得堡长大,童年基本上都是在大街上度过的,因为母亲行乞为生。1917年之后,丽莎在工厂上班,入党,嫁给工厂管理委员会一名布尔什维克官员。他们的生活舒适,培养两个女儿成为模范少先队员,大的叫卓娅,小的叫列娅列娅。丽莎告诉奥莉加:“有时,我们在工厂安排儿童之晨的活动。”

    我们的小妞妞卓娅身穿丝绸连衣裙,颈系少先队红领巾,站起来引吭高歌。我丈夫对我说:“在这个世界上,没有比我们卓娅更棒的女孩了。她长大后将成为一名人民艺术家。”我随即会想起自己童年时挨家挨户的乞讨日子……我热爱我们的苏维埃政府,愿为它献出我的生命。

    丽莎的丈夫作为季诺维也夫的支持者被捕。(丽莎说:“如果我早知道他背叛了列宁,我会用自己的双手掐死他。”)不久,她自己也被捕。有一天,丽莎收到卓娅的来信。其时,丽莎正好在给卓娅写信,那天恰好是囚犯获准写信的周六。

    亲爱的妈妈,我现在15岁了,计划加入共青团,我想知道你是否有罪。我一直在想,你怎么可以背叛我们的苏维埃政权?毕竟,我们过得很好,你和爸爸都是工人。我记得,我们生活得不错,你为我们做丝绸连衣裙,买糖果。你真的拿了“他们”[人民公敌]的钱?假如你当初只让我们穿棉布裙,岂不更好。但也许,你根本就是无辜的?在这种情况下,我就不会加入共青团,并将因为你的遭遇而永远不会原谅他们。如果你确实有罪,我不会再写信给你,因为我爱我们的苏维埃政府,恨它的敌人。如果你是其中一员,我也会恨你。妈妈,告诉我真相。我宁可你是无辜的,我就不想加入共青团了。你不开心的女儿,卓娅。

    为了给卓娅写信,丽莎已用掉配给的4页信纸中的3页。她思忖片刻,然后以大写字母在最后一页上写下:

    卓娅,你是正确的。我有罪。加入共青团。这是我最后一次给你写信。祝你和列娅列娅快乐。母亲。

    丽莎让奥莉加看那些信件,然后头撞桌子,哽咽着说:“让她恨我好了,没有共青团,那她怎么活呀——异己分子?她会恨苏维埃政权的。还是让她恨我吧。”奥莉加回忆,自那以后,丽莎“再也不谈自己的女儿,也不再收到来信”。 (521)

    就许多孩子而言,亲人的被捕引起种种疑问。他们作为“苏维埃儿童”所笃信的原则,突然与他们对自己亲人的了解发生了激烈的冲突。

    父亲作为“托洛茨基分子”被捕时,维拉·图尔金娜都不知道相信什么好。父亲在彼尔姆是著名的布尔什维克,母亲和外祖母都相信了他有罪,苏维埃报刊也在登载他的犯罪活动。无论走到哪里,维拉都会听到人们在嘀咕她这个“人民公敌”的女儿。维拉回忆:“父亲成了奇耻大辱的根源。”

    人们对我说,如果他被捕,一定是做了坏事。大家都说:“无风不起浪。”母亲前往内务人民委员会办事处询问父亲的案情,他们回答:“等着瞧吧,他会坦白一切的。”我也设想他有罪,不然,我还能信什么呢? (522)

    埃尔加·托尔钦斯卡娅是苏维埃的模范学生,热爱斯大林,崇拜帕夫利克·莫罗佐夫,坚信有关“间谍”与“敌人”的一切宣传。虽然父亲于1937年10月被捕,她仍信念不改。父亲是一名老布尔什维克,日益不满斯大林的政策,但从不与女儿谈及自己的政治观点。在列宁格勒托尔钦斯基的家中,像许多其他家庭一样,在孩子面前从来不谈政治。因此,埃尔加对大规模逮捕的理解,全部来自她在学校里学到的——没有其他途径来了解父亲被捕的原因,也无法来质疑它的发生。1938年,埃尔加的两个叔叔也被拘捕。其中一位1939年从劳改营返回,向埃尔加透露自己在内务人民委员会手中所承受的酷刑。但这仍不能动摇她的信念:如果有人被捕,一定是“由于他的所作所为”。1939年,到了16岁,她在共青团的申请表格中老实填写父亲是“人民公敌”,但谎称他已与母亲离婚,这是某种程度的背弃。埃尔加现在承认,她当时非常困惑,不敢存有任何怀疑,对父亲的背弃只是出于无知。“我们都成了僵尸——这是我的想法。我的上帝,我们只是小女孩,一直接受共青团的教育,笃信我们被告知的一切。” (523)

    哑巴吃黄连,加上新闻或信息的缺乏,都加剧了家人的焦灼不安。亲人没有被捕之人的消息,没有证明清白的证据,也就寻觅不到救命稻草来抗衡公众的有罪推定。

    尼娜·科斯特利娜是老布尔什维克的女儿,有一个模范的苏维埃童年,1936年底加入共青团。其时,大恐怖的第一波震撼已开始触及她的政治意识。等到伯伯被捕,尼娜便想弄明白个中的缘由。她在1937年3月25日的日记中写道:

    发生了可怕且难以理解的事件。他们说,米沙伯伯牵涉于某种反革命组织。这是怎么回事呀?米沙伯伯——自革命第一天起,他就是党员——突然变成了人民公敌!

    她家的房东被捕后,尼娜思忖,如果逮捕发生在家里,自己会作何种反应:

    发生了怪事。我思索再三,得出这样的结论:如果父亲也是托洛茨基分子,成为国家的敌人,我不会为他感到遗憾!我虽这样写,但(我承认)仍心存疑惑。

    1937年12月,尼娜的父亲也被开除党籍并解除官职,他估计自己的逮捕即将到来,便写信提醒尼娜:“你必须确信,你父亲从来就不是一个坏蛋……从未以肮脏或卑鄙的行止来玷污自己的名誉”,此信发挥了至关重要的作用。父亲最终被捕于1938年9月,尼娜虽陷入迷茫和绝望,但仍坚守父亲是清白的这个信念。她在日记中写道:

    9月7日

    笼罩我生命的是如此不祥的黑暗。父亲的被捕又是如此沉重的打击……在此之前,我一直理直气壮,意气风发,但现在……现在艾哈梅特夫[一个同学]可以对我说:“我们成了不幸命运中的同志!”想想吧,我是如何鄙弃他以及他那托洛茨基分子的父亲。这个噩梦日夜折磨着我:父亲也是敌人吗?不,这不可能,我不相信!这是个可怕的错误!

    尼娜的父亲在狱中度过两年,等待三人特别法庭的“审判”,最终作为“社会危险分子”被判处5年劳改。1940年11月,他写了第一封家书。尼娜读了美好的来信而深受感动,尽管有劳改营的艰辛,她仍能感受到父亲的精神、力量和热情。但母亲很恼火,只是问:“他是有罪还是无罪?如果是无辜的,为何不去上诉?”下一封来信有效地回答了母亲的疑问,尼娜的父亲写道:“关于我的案情,也毋庸多讲,根本都不能成立,只是一个肥皂泡,却吹得像一头大象。现在不是、过去不是、从来就不是的东西,叫我如何去反驳。” (524)

    在一个家里,父亲和丈夫的角色的突然消失,给家人带来了巨大压力。妻子背弃被捕的丈夫,不是因为她们认为自己的配偶可能是“人民公敌”(这种想法可能存在),而是因为这样做,使生存下去比较容易,得以保护家人(许多丈夫为此而建议妻子背弃自己)。“人民公敌”的妻子承受国家的压力,要公开背弃自己的丈夫,不愿照办的,会面对严重后果。有些妇女作为“人民公敌”的妻子被送进劳改营,或带上孩子,或与孩子分离。其他的被赶出家园,遭到解雇,丧失口粮和公民权利。经济压力也在发挥作用:工资停发、储蓄冻结、房租提高。离婚费用通常是500卢布,为了鼓励妇女背弃丈夫,与囚犯离婚的费用降至只需3个卢布(相当于食堂的一顿饭钱)。 (525)

    顶住这些压力,站在丈夫一边,光凭一点勇气是不够的,还需要非凡的韧性。瓦西里·杜达列夫被捕于1937年,其时,他与伊琳娜的婚姻已持续约15年。20世纪20年代早期,他们相遇于斯摩棱斯克,一起接受教师的训练。瓦西里是内战时期的布尔什维克,后成为奥廖尔城的资深党干部。1933年,他被调去罗斯托夫附近的亚速镇——靠近顿河入海处,担任当地的党主管。伊琳娜在针织厂工作,不热衷政治,但出于对瓦西里的爱而入党,变成了“党的妻子”。瓦西里被捕后,伊琳娜到处找他——不单是在监狱里找,还会去30公里之外的罗斯托夫和巴塔伊斯克的铁路站。每个星期日的晚上,都有满载囚犯的火车驶向劳改营:

    我会走在火车旁的轨道上,希望找到丈夫,让他带点生活用品上路。我看到很多列火车,结满冰霜的货车都已钉牢,甚至顶部的窗口也全以金属条封死,只留下小小的缝隙。从货车厢的内部,我能听到低沉的嗡嗡声。我一边沿着火车走,一边喊叫:“有杜达列夫吗?”嗡嗡声消失了,有时会有答复:“没有”……后来有一天,有个声音回答:“杜达列夫吗?有的。”这是一名火车警卫……我拿出准备好的干净衣服,装入一个小包,交给警卫。他让我写一张纸条,说是“公事公办”。我很高兴,瓦西里现在知道了,我在找他、想他。我一直很害怕,如果没有消息,他会以为我已将他背弃……我在纸条上列出交给警卫的东西,并签署:“我很好,吻你。”几分钟后,警卫把包和纸条还我,纸条的背面已写上瓦西里的笔迹:“都已收到,谢谢。”

    伊琳娜从不怀疑丈夫的清白。内务人民委员会多次传唤她,向她提供犯罪活动的“证据”,要她检举揭发,否则就要予以拘捕,但她每次都表示拒绝。伊琳娜还记得一次工厂的党员会议,她被要求揭露丈夫的反国家罪行。在类似的情况下,大多数妻子只会声称自己从不知悉丈夫的罪行,但伊琳娜却勇敢地否认丈夫犯了罪:

    我独自坐在会议桌的一端,其他人坐在另一端,挤在党干部的周围,没人跟我说话。一位书记通报说,杜达列夫作为人民公敌已经被捕,现在要决定我的命运。党员逐一发言,除了口号,他们没什么好说的。在我的问题上,也没说什么,只指责我欺骗党。他们要我坦白丈夫的罪行,并解释为何要隐瞒,但没人朝我看。我试图保持冷静,字斟句酌,只作简洁的回答。我说,与丈夫住在一起,已超过15年,只知道他是一名优秀的共产党员;我入党就是由于他的影响;我从不相信他参与了任何坏事。这引起很多人的轻声低语,有人喊道:“但他已经被捕!”仿佛这就是有罪的证据。他们一个接着一个,试图说服我站出来揭发杜达列夫的罪行,以履行一名党员的职责,但没人敢于说出对他的指控……只是一再要我揭发杜达列夫为人民公敌。但每一次,我都予以拒绝。

    伊琳娜被开除党籍,失去工厂管理委员会的职位,转到会计部门,从事收入微薄的工作。几天后,镇苏维埃向她的公寓征收大笔税款,所给的解释是,她和丈夫几年来使用了“额外的生存空间”,这是欠下的差额。1938年7月,伊琳娜因“未能检举丈夫的敌对活动”而被捕。同年12月她被释放,得以返回斯摩棱斯克。杜达列夫于1937年被枪决。 [5]

    丈夫被捕后,朱莉娅·皮亚特尼茨卡娅也不知道相信什么好。她愿意想到他的好,但奥西普留下的烂摊子让她耿耿于怀——儿子们也有同感——他给家人带来了不幸。16岁的伊戈尔觉得父亲对不起他,父亲的被捕使他承受了共青团朋友的排斥。12岁的弗拉基米尔指责父亲摧毁了他加入红军的梦想。朱莉娅在日记中写道:“沃尔卡[弗拉基米尔]对父亲深恶痛绝,也为伊戈尔感到惋惜。”弗拉基米尔以前的朋友,现在反而要欺负他。他在学校经常遇上麻烦,更震惊于少先队的一次冲突:少先队队长询问他父亲的情形,因弗拉基米尔拒答而当众宣布:“你父亲是人民公敌,怎么确定你与他的关系,就是你的责任。”

    朱莉娅和弗拉基米尔之间不断发生争吵。有一次,母亲拒绝写信给叶若夫,以索回内务人民委员会抄家时带走的玩具枪和军事书籍,弗拉基米尔因此而大发脾气。他气愤地说:“这真是一个耻辱,至今还没枪毙爸爸,他已是一个人民公敌。”另一次,他从学校回家,得了一个很差的分数,朱莉娅发了脾气,当场咒骂他。她在日记上写,她告诉他:“他的不良行为显示,他就是人民公敌的儿子。”弗拉基米尔一边大哭,一边回答:“我生而为敌人的儿子,那是我的错吗?我不要你做我的母亲了,我要去孤儿院。”朱莉娅威胁他,只让他吃块面包就去睡觉。弗拉基米尔回答,他会“割断她的喉管”。结果,朱莉娅打了他两记耳光。 (527)

    朱莉娅已是黔驴技穷。她被逐出自己的公寓,找不到合适的工作,愈加怀疑自己的丈夫。朱莉娅问自己:“我脑海中只有一个念头——皮亚特尼茨基到底是谁?”

    1937年7月20日

    ……昨天傍晚,我想起了皮亚特尼茨基,心中充满了苦涩:他怎么会让我们陷入如此糟糕的境地?他与那些人一起工作,知道他们的方法,却没有预见到他们会逼迫我们忍受一生的折磨和饥饿……对皮亚特尼茨基怀恨在心,也是入情入理的。他让孩子受到摧残,失去本来就不多的全部钱财。但是,偷走我们所有东西的人,到底又是谁呢?现在的当局等同于随心所欲的恐怖——人人害怕。我都快要疯了,我在想什么?我在想什么? (528)

    整整6个月,朱莉娅在日记中进行自我审讯,试图弄明白自己的丈夫究竟是什么人。1938年2月7日被告知丈夫已受指控犯有间谍和反革命的罪行,朱莉娅便在日记中写道:

    他到底是谁?如果他是一名职业革命家,如他自称的,也是我17年来所认为的,那么,他就是很不幸的人:他的周围都是特务和敌人,破坏他和很多其他人的工作,他却没看出来……但很显然,皮亚特尼茨基从来就不是一名职业革命家,而是一个职业歹徒和间谍。这解释了他为何如此封闭,如此严厉。很显然,他不是我们想象的人……我们大家——他的妻子和孩子们——对他来说,都毫无意义。 (529)

    伊戈尔1938年2月9日被捕。两名士兵来抓人时,他还在学校的教室里,后来监禁在布提尔基监狱。朱莉娅因担心自己的儿子而陷入彻底的绝望。据弗拉基米尔说,她精神崩溃了——整天躺在床上,经常想到自杀。 (530) 唯一支撑她的是必须为儿子们而活的想法,她在日记中一再重复提及,已成了她的口头禅。她在3月9日写道:“最好还是去死,但我的沃尔卡和伊戈尔,将在这个世界上没有一个亲人。我是他们的一切,这意味着我必须活下去。”然而,朱莉娅有时感到如此沮丧,她能想象的唯一救赎就是断绝一切关系,甚至是与儿子的联系:

    1938年2月17日

    昨晚,我想,已找到了解决方法,但不是自杀。由于我薄弱的意志和深刻的绝望,这原本是最简单最具吸引力的方法……现在改成这一种新的思路:孩子不是必要的,把沃尔卡交给国家,自己只为工作而活——持续不断地工作,停下来只是为了阅读,活得更贴近自然……冷漠以对任何人。这似乎是一个很好的方法——只投身于工作,再也没有会被带走的亲人。我为何要留住沃尔卡,于他何益?我已被埋在大山之下,无法享受正常人的生活,无法帮助沃尔卡。他想要活下去,想要朋友、阳光、温馨的家、有意义的生存,而我——只是反革命的妻子。

    朱莉娅一直在揣摩奥西普和伊戈尔被捕的原因。她不同于弗拉基米尔,无法把奥西普当做“人民公敌”,也恨不起来。她在日记中指出:“沃尔卡在折磨我,因为我无法憎恨皮亚特尼茨基。起初我还以为我终究会恨他的。但到头来,我还是有太多疑惑。”她尝试与弗拉基米尔讲道理,认为父亲“可能是无辜的,他们弄错了,父亲上了敌人的当”。 (532) 但朱莉娅相信“人民公敌”的存在,经常在日记中指出“可疑”人士,更对苏维埃法庭的公正深信不疑。她在布哈林公审时期坚信,枪毙“恶人”是很正确的。她在政治上很天真,要花费很长时间才能弄懂吞噬自己的现实。让布哈林充当摧毁她家的替罪羊,她欣然接受。布哈林和他的共同被告于1938年3月被处决,朱莉娅的评论是:“与党所承受的苦难相比,这些恶人所流的血实在是小小的代价。”

    今天,他们会从地球上消失,但还不足以减轻我的仇恨。我愿给他们一个更为可怕的死法:在反革命分子博物馆里,为他们建立一个特殊的笼子,让大家来参观,怔怔地盯着他们……公民把他们当做动物一样围观,叫他们难以忍受。我们对他们的仇恨将永不休止。让他们看看,我们如何建设更美好的生活,如何联合起来,如何热爱我们的领袖,是那些不是叛徒的领袖。让他们看看,我们如何与法西斯主义作斗争,而他们什么也不做,只是养肥自己,像动物一样,根本不配“人”的称号。

    朱莉娅想象未来的“美好生活,只有诚实人才可生活和工作下去”,由此看到些许的曙光:

    也许,伊戈尔会回家。皮亚特尼茨基嘛,也有可能——如果他是诚实的,当然是说,他没有牵涉这么多敌人犯下的罪行,没有疏于职责,没有上这些爬行动物的当。如果他的意图是诚实的,当然会回家。我多么想知道!皮亚特尼茨基——你会有罪吗?你不赞同党的总路线吗?你是否反对过领导人,哪怕其中的一位?假如我知道真相,我的生活将变得多么容易。至于伊戈尔,我想起了他父亲的话——“真金不怕火炼,经不起考验的,我们也不需要”。 (533)

    朱莉娅决定寄希望于真金不怕火炼,如果奥西普是无辜的,他也能幸存于大恐怖。

    皮亚特尼茨基被囚禁在布提尔基监狱,也是他儿子身陷其中的监狱。1938年4月初,列夫·拉兹贡在一个拥挤的牢房与他相遇(建造时定为可供关押25人,其时关押67人)。拉兹贡看到一名“消瘦、佝偻的老头[皮亚特尼茨基当时56岁],满脸创伤”。

    他[皮亚特尼茨基]看到我在注视他的脸,便解释说,这些伤疤是审讯人的金属皮带扣所留下的。1937年的头几个月,我曾看到皮亚特尼茨基……现在站在我面前的他,与我以前见过的相比,判若两人,完全无法辨认。只有眼睛,仍保持同样的明亮和活力,只是变得更加悲哀,暴露了他在精神上所承受的巨大煎熬。

    皮亚特尼茨基询问了拉兹贡的案情,以及如何受到牵连的。接下来,拉兹贡反问了他的情况:

    他先是沉默,然后称,对自己的命运不抱幻想。他的案件即将结束,他已做好准备。他还告诉我,他们在审讯中如何无尽无休,如何严刑折磨,如何以死相逼,如何屈打成招。但还没说完,他们又来找他了。 (534)

    4月10日,皮亚特尼茨基被转移到列福尔托沃监狱,从4月12日到7月底的公审,每天晚上都接受系统地拷问。主要审讯人否认使用刑罚,声称皮亚特尼茨基表现得“冷静而克制,但有一次,因某种原因而变得烦躁,要求喝水,拿起水壶后,却用它猛击自己的头部”。 (535) 7月17日,奥西普与137名其他囚犯一起,接受最高苏维埃军事法庭的公审。他被指控为法西斯间谍团伙的首犯之一,由托洛茨基分子和右派组成,潜伏在共产国际。叶若夫送交斯大林一份定罪人的名单,被克里姆林宫总统档案馆保存下来,名单顶端写有一行简短的手令:“枪毙所有的138人。约·斯[大林]。V. 莫洛托夫。” (536)

    朱莉娅对此一无所知。她在布提尔基监狱外排队给儿子送包裹,甚至不知道皮亚特尼茨基也关押在此。越是听不到奥西普的消息,她就越难坚持他是无辜的。每个人都叫她忘记奥西普,只为自己和两个儿子着想。4月12日,即奥西普在列福尔托沃监狱开始重新受刑的那一夜,朱莉娅做了一个噩梦,梦见自己受到一只猫的折磨。她认为这个梦很重要,怀疑儿子伊戈尔是否在布提尔基监狱遭受刑罚(在监狱外排队时曾听到其他妇女讲起类似的传闻)。有关伊戈尔受苦的想法改变了朱莉娅对奥西普的情感,她在日记中记录:

    我的生活已变成无止境地陷落的漩涡。我以耳语与自己对话,对皮亚特尼察[皮亚特尼茨基]和伊戈尔的命运感到彻底的绝望,尤其是我那可怜的孩子。他的第17个春天是在悲惨、黑暗、肮脏的牢房中,与陌生人一起度过的。他是无辜的,这最重要。皮亚特尼茨基已经有过自己的生活——他没有辨认出周围的敌人,或自甘堕落了,这并不让人震惊,因为是他自己要投入政治的。但伊戈尔…… (537)

    已经帮不了奥西普的想法使朱莉娅下定决心,要尽一切可能来帮助尚有很长生命旅程的伊戈尔。她接受了丈夫有罪的可能,但不愿接受16岁的儿子也参与了犯罪。朱莉娅决定背弃丈夫,希望以此挽救儿子。

    她拜访莫斯科的检察官办公室,被告知皮亚特尼茨基已犯了反对国家的重罪,便回答:“如果真是这样,他对我来说已毫无意义。”检察官建议朱莉娅开始新的生活。她回答,她很愿意为内务人民委员会工作。他鼓励她提出正式申请,并允诺会提供支持。朱莉娅把检察官看作自己的同情者:

    我热情地握着他的手,也许流露了太多情感,这是我一直未能控制的——我感到,这个人还是可亲近的。他的任务很艰巨,但又是必需的。作为一个同志,我想表达对他的尊重。对那些从党内铲除蠢猪的同志,我更想给予精神上的支持。我再次强调:尽管自己要忍受痛苦,尽管无辜者可能被牺牲(希望我的伊戈尔不是其中之一),我一定要坚持原则,一定要维护纪律、保持耐心,一定要——绝对必须——找到做出积极贡献的途径。否则,人民中间便没有我的位置。

    朱莉娅一旦决定抛弃丈夫,便开始想到他的坏,她在4月16日的日记中写道:

    哦,我实在无法理解!如果真是这样,我就鄙视他,我恨他卑劣、懦弱的灵魂,我实在是无法理解!……哦,他扮演得多好!现在我才明白,他为何让自己陶醉于这些间谍、挑衅者、官僚的“温暖友情”之中。他肯定没有真正的朋友,基本上是个悲观者,从没向我敞开心扉……也许,他从不爱党,从未把党的利益放在心上?但我们呢,我和孩子,他到底在想什么啊? (538)

    3个星期之后,伊戈尔被拽上三人特别法庭,被控以组织反革命学生组织——如此荒谬,以致特别法庭都不予受理,但还是以反苏维埃煽动的含糊不清的罪名,判处伊戈尔5年劳改。 [6] 朱莉娅在5月27日被告知儿子的判决结果,顿时变得歇斯底里,要求检察院逮捕自己:“如果他有罪,那么我也有罪。”当晚,朱莉娅反思一连串事件,探索对大恐怖的理解:

    皮亚特尼茨基也许真是坏人,我们将因此变成他的陪葬品。但是,我既不知道皮亚特尼茨基到底是什么人,也不明白伊戈尔究竟犯了什么罪,真是死不瞑目啊。伊戈尔没做什么错事,为什么会被抓走?也许,他只是一名潜在的罪犯,因为他是人民公敌的儿子……也许,这只是对部分居民的强制征调,他们是国家不予信任的,却又能充作劳动力?我不懂,但听起来合乎逻辑。如果确是这样,伊戈尔和其同类再也不会回来。他们将为国家发挥有价值的作用,但不会回归正常生活。不管如何,遭到遗弃是非常可怕的——只得等待,不知所以。

    朱莉娅本人被捕于1938年10月27日,时年39岁。警方实施逮捕时,没收了她的日记,把它当做她和丈夫同谋反对政府的定罪证据。她被送去偏远的坎达拉克夏劳改营,位于摩尔曼斯克的远北地区。弗拉基米尔随她同行,事实上,他病得厉害,刚刚动过手术,是从病床上给带走的。在坎达拉克夏劳改营,朱莉娅出工,帮助建造附近的尼瓦-GES水电站;弗拉基米尔留在营房,由内务人民委员会一名狱警照看,每天喂食两次。过后不久,弗拉基米尔设法逃脱,溜回莫斯科。他借宿于学校朋友的住所,包括叶夫根尼·洛吉诺夫——其父亲在斯大林私人秘书处任职。早先,洛吉诺夫一家鄙弃皮亚特尼茨基一家,但现在有所改变,兴许是良心发现。弗拉基米尔在洛吉诺夫家待了3个月,有一天晚上,他偷听到洛吉诺夫家人的交谈,才知道叶夫根尼的父亲因收留自己而惹上了麻烦。弗拉基米尔不愿让他们为难,主动去莫斯科苏维埃投案,碰上的官员恰好是皮亚特尼茨基1917年10月的老战友,他先叫了三明治招待弗拉基米尔,之后才去报警。弗拉基米尔被带到内务人民委员会的拘留中心,位于古老的达尼洛夫修道院,“人民公敌”的孩子都是从那里被发配去苏联各地的孤儿院。 (540)

    1939年3月,朱莉娅受到3名尼瓦-GES的同事的举报。他们声称她曾说:丈夫的被捕是错误的,丈夫是无辜的,只是认为斯大林不宜担任无产阶级领袖。朱莉娅被裁定犯了反苏维埃煽动罪,判刑5年,被送去哈萨克斯坦的卡拉干达劳改营。伊戈尔正巧也在同一劳改营,隶属于另一个工业部门。不知用了什么方法,朱莉娅得以与他见面。伊戈尔回忆:“我们一起度过了十分美好却又异常悲伤的一天。”最后,她只得悻悻而回[妇女营地]。朱莉娅体力不支,精神失常,根本承受不了劳改营的艰辛。她依然美丽,引起营地指挥官的垂涎(这也许可以解释她何以被允许探访伊戈尔),但她予以拒绝。指挥官恼羞成怒,把她送去大坝建设工地,充当体力劳动者,以示惩罚。她必须站在齐腰深的冷水中,每天挖泥16小时。她因此病倒,死于1940年冬天一个无法确定的时辰。

    伊戈尔从劳改营获释后,在1958年接待了家庭老熟人吉娜。她也是卡拉干达劳改营的囚犯,在那里见过他的母亲。吉娜告诉伊戈尔,朱莉娅已死于劳改营医院,葬身于一个万人坑。1986年,已是80岁的吉娜再次来访,告诉伊戈尔,她上一次的消息并不全部属实,因为去世前的朱莉娅要她承诺,不得透露她临死的可怕细节(吉娜现在承认,当时自己也不敢袒露真相)。但最近,吉娜梦见了朱莉娅——在梦中问询伊戈尔的消息——视之为一个启示:她应将朱莉娅的最后遭遇告诉伊戈尔,她并没死于医院。1940年12月,吉娜去卡拉干达劳改营看望朱莉娅,但没人愿意透露她在哪里。最终,有个妇人手指草原上的羊圈,叫她去那里找。吉娜走进羊圈,羊群当中,躺在冰冻地面上的就是朱莉娅:

    她快死了,浑身烧得发烫,颤抖不已。羊群站在她身边,像是在作警卫,但仍挡不住寒风和飞雪。我在她身边蹲下,她试图抬起身子,但没有力气。我拉起她的手,试图以我的呼吸给她些许的温暖。

    她问:“你是谁?”我把自己的名字告诉她,只说是你叫我来的,你让我帮忙找到她……

    她一下振作起来:“伊戈尔——我的儿子。”她挪动冻僵的嘴唇,低声说道:“我的小男孩,帮他一把。我求求你,帮他活下去。”我让她冷静下来,满口答应我会照顾你,仿佛你的生死全掌握在我的手中。朱莉娅低声说:“请答应我……不要告诉他,他母亲是怎么死的,答应我……”

    她已经神志不清,我蹲在她身旁,也一口答应。

    然后,身后传来狱警的喝问:“你从哪里来的?怎么跑到这里?”那个狱警一把抓住我,将我双手反绑在身后,押出羊圈:“你是谁?”

    我解释,我是工具车间的小组长,只是路过,意外发现这名女子。但我仍被扣留,他们告诉我,不许透露我所看到的:“闭上你的嘴,不准说一个字!”

    朱莉娅死于羊圈。她病倒后被扔在那里,不许任何人探望,后来就葬在她去世的地方。 (541)

    [1] 没有皮亚特尼茨基讲话记录,6月全体会议的速记没能保存下来。但有证据显示,皮亚特尼茨基所说的,已被从记录中抹去(中央委员会档案馆的惯例),以免鼓励其他的持不同政见者。最后一次会议在6月29日闭幕,斯大林最后宣布:“就皮亚特尼茨基而言,调查仍在进行,将在未来几天内完成。”该页底部有斯大林秘书的笔迹:“这一段落是斯大林同志划掉的,因为它不应存入速记机。”(RGASPI, f. 17, op. 2, d. 622, l. 220)在封存的档案(如克里姆林宫的总统档案馆)中,可能还有该事件的其他记录。在相关证据披露之前,皮亚特尼茨基反对老布尔什维克大批被捕的立场的唯一记录,来自他的儿子弗拉基米尔。他声称,根据他父亲在俄罗斯联邦安全局(FSB)的个人文件、其他档案馆的零碎证据以及卡冈诺维奇所称的回忆录,他已重新确立了6月全体会议的具体事件。该回忆录的内容是卡冈诺维奇的秘书处主管塞缪尔·古贝尔曼转述给他的。[《反对斯大林的阴谋》(Zagovor),59—70页;对弗拉基米尔·皮亚特尼茨基的采访,圣彼得堡,2005年9月。支持皮亚特尼茨基说法的还有B. Starkov的《老党卫军的自卫》(Ar’ergardnye boi staroi partiinoi gvardii),载于Oni ne molchali,莫斯科,1991年,215—225页]
    [2] 斯大林很可能涉及谋杀基洛夫。这位列宁格勒党领导很受欢迎,要比斯大林温和得多。斯大林有充分的理由担心,基洛夫有可能成为自己强劲的竞争对手。至于斯大林是否在谋杀中扮演角色,还没发现确凿的证据。但斯大林肯定利用了这一谋杀,坚持对内部威胁的强迫妄想,迫害自己的“敌人”。
    [3] 阿瑟·库斯勒的小说《正午的黑暗》(Darkness at Noon,1940年)里的老革命鲁巴肖夫可视为这类人的缩影。由于仍想为国家服务,他在审讯中愿意承认受控的叛国罪——而他明明知道自己是无辜的。
    [4] 1935年12月,在党员和联合收割机手的会议上,一位年轻的联合收割机手表示,尽管自己是“富农”的儿子,但也要为社会主义的胜利而奋斗。斯大林回答:“儿子无须为父亲负责。”记者抓住了这一条虚伪口号,慢慢又演变成了斯大林的“指示”。
    [5] 伊琳娜从未得知他的死讯,她继续寻找,向苏维埃当局写了上百封信,直到自己1974年去世。1956年之后,伊琳娜受邀重新入党,但她拒绝了。
    [6] 1941年,伊戈尔再一次遭指控与其他“人民公敌”的孩子策划了“反革命阴谋”,他的刑期因此延长5年。他在1948年回到列宁格勒,很快又被捕,罪名为“反革命煽动”,判处5年,被送进诺里尔斯克劳教营,实际上服刑8年。

    第五章 大恐怖的余波(1938—1941)

    1937年,安吉丽娜·布舒耶娃和奈莉·布舒耶娃

    1938年7月28日,那是一个温暖的夏日傍晚,奈莉的外祖母去园子里采摘覆盆子,让她照看妹妹安吉丽娜,母亲季娜伊达·布舒耶娃在给弟弟斯拉瓦喂奶,并准备晚餐。父亲被捕于9个月之前,自那以后,仅有4岁的奈莉已习惯于帮做家务。季娜伊达正在哺乳,前门突然打开,出现两名内务人民委员会的士兵。他们告诉她,穿好衣服,带上孩子,前往内务人民委员会在彼尔姆市中心的总部。几分钟后,奈莉的外祖母摘得覆盆子回来,已是人去楼空。

    在内务人民委员会大楼,审讯人将两个女孩安排去儿童之家。他向奈莉解释:“你妈要去远方,参加长期工作,你再也不会见到她。”季娜伊达即刻变得歇斯底里。两名警卫来带走女孩时,她开始尖叫,甚至噬咬拦阻她的其他警卫。奈莉被带走时,回头一瞥,正好看到母亲被抽耳光。两姐妹被送到不同的地方——奈莉去了一个犹太孤儿院(因为她的肤色较深),安吉丽娜去了邻近的儿童之家。内务人民委员会的政策规定,“人民公敌”的家庭要被拆散,孩子要领取新的身份。

    季娜伊达被允许保留斯拉瓦——他得了肺炎,需要母亲的哺乳。整整3个星期,母亲和儿子被关在一间拥挤的牢房。季娜伊达被控不愿检举丈夫,判刑8年,被送去专为祖国叛徒的妻子而设的阿克莫林斯克劳改营——是哈萨克斯坦的卡拉干达劳改网的一部分。1938年9月,她随一大队女囚犯,从彼尔姆赶去阿克莫林斯克。离开那天,她们被迫跪在城市广场数小时,等待马车把她们一批批送去火车站。彼尔姆的居民站在旁边围观,没人试图帮助囚犯。季娜伊达的母亲看到她和斯拉瓦在广场中间,想让警卫给递一件套衫。该警卫说“滚开,老太婆”,用他的枪口把她赶走了。在火车站,大家被塞进载牛的车厢,走了10天,才抵达阿克莫林斯克,一共1500公里的旅程。季娜伊达与普通罪犯关在同一车厢,起初,受到她们的骚扰。她们试图抢走她的婴儿,认为以此可得到提前释放。几天后,她们看到斯拉瓦的病情加重,反而对母亲生出怜悯,嚷着要求警卫为婴儿寻求牛奶。她们抵达劳改营后,季娜伊达被迫将斯拉瓦留在多林卡镇的孤儿院,之后的5年她都没见过自己的儿子。该镇当时是卡拉干达劳改营的行政中心。季娜伊达是一名合格的会计,被安排在营地办事处工作,很受囚犯的羡慕,但她恳求从事最艰苦的农活。季娜伊达向营地指挥官解释:“如果有时间思考,我就会发疯的。我已失去3个孩子,让我在繁重的体力劳动中忘却自己吧。”

    季娜伊达的母亲看到女儿和外孙跪在广场之后,便去寻找安吉丽娜和奈莉,在两个儿子的帮助下,她几星期后就找到了奈莉,但却要等到1940年春天才找回安吉丽娜。其时,安吉丽娜已有4岁,还能记得那一次际遇:

    我的表哥基拉,即维佳舅舅的儿子,就住在孤儿院的附近。有一天,我们孤儿院的孩子在河边走,两两一排,排成长队,我排在最后。基拉和他父母也在河边,他一下就认出我,大声喊:“看,我们的安卡(安吉丽娜)在这里!”每个人都停下,大家都很好奇。孤儿院的带队妇女不让我的亲戚靠近,维佳舅舅与其中之一作了交谈。她说,我的名字叫阿列,也可能叫安吉丽娜,但她们不能确定。

    外祖母开始向孤儿院书写申诉,然后有一天,她来接我……我还记得那一天,她带来一双红鞋,上面有闪闪发光的鞋环,让我穿上。我伸出脚,看看鞋底——它是如此光滑、干净、鲜红。我掸去沾上的灰尘,真想脱下,去舔这鞋底,因为它有这么漂亮的颜色。但外祖母说:“够了,穿好鞋,让我们去找你的姐姐奈莉。”我仍然记得当时的困惑——什么是姐姐?奈莉是谁?我一点都不懂。我们离开孤儿院时,看到门口有一个女孩在等。老太太说:“这就是奈莉,你的姐姐。”我说:“真的吗?”我当时只弄懂她叫奈莉,但弄不懂“姐姐”是什么意思。那女孩走了过来,黑色短发,穿着一件灰色雨衣,嘴巴在嚼着衣领。我问:“她为何咬衣领呀?”外祖母随即骂她:“你怎么又在咬衣领了!” (542)

    安吉丽娜的童年记忆主要是饥饿。孤儿院的日常饮食一直很差(枯干的黑面包和灰色的稀粥),安吉丽娜看到鲜亮的红鞋,第一反应就是把它当做番茄,试图去吃。回家后,与奈莉和外祖母住一起,情况并没有明显的改善。外祖母既老又有病,不能工作。季娜伊达于1938年被捕,过后不久,外祖母也被逐出自己的家,只好搬入共用公寓一个小房间,生活在极度贫困之中。到1941年,彼尔姆(自1940年起,改名为莫洛托夫城)濒临饥荒。许多中央街道改成蔬菜自留地,分配给选定的居民,但安吉丽娜的外祖母与之无缘。安吉丽娜回忆:“我们学会吃各种东西:春天的椴树叶、青草、苔藓,还有晚上从较富人家垃圾箱收集来的土豆皮。”安吉丽娜意识到,受饥挨饿给她带来了耻辱和落魄。在她心里,更多的是饥饿让她沦为低等人,而不是父母作为“人民公敌”被捕——那时她还太年轻,无法弄懂这些概念的内涵。安吉丽娜经常受到街对面工人住宅区一帮男孩的欺负,他们知道,安吉丽娜老是来翻检自家的垃圾箱,在大街上遇见她,总是予以嘲笑。安吉丽娜学会按捺自己,从不回嘴。但有一天,这帮人中领头的,即来自工厂干部家庭、个头最高的那位,故意拿出一块黄油面包给街上的乞丐。安吉丽娜回忆:“他故意做给我看,就是想要羞辱我。我实在忍不住,那黄油面包的样子实在太诱人了,我真想自己要,不忍看到它落入乞丐之手,便朝男孩们大喊:‘你们在干什么啊?那面包上有黄油!’引得他们一场大笑。” (543)

    像许多在大恐怖中失去父母的孩子一样,安吉丽娜并不清楚自己的损失。她都记不起父母了——他们被捕时她只有两岁——不同于仍能记住父母的奈莉。父母消失时,她也没有痛苦的感受。等到学会了阅读,安吉丽娜才想入非非,自编父母去世的幻想,均来自她读过的书籍,尤其是她最喜爱的拿破仑和莫斯科大火的故事。她回忆起战后的一次谈话,其时她约10岁:

    外祖母的朋友来访,谈起我的父母。外祖母在我们房间的墙上挂有她所有孩子的照片。那位女士依次指着每一张照片,问我分别是谁。

    “那是谁?”

    “尼娜舅妈。”我回答。

    “这个?”

    “三亚舅舅”

    “那个?”

    我说:“那是奈莉的母亲。”

    “你是什么意思呀,奈莉的母亲?她也是你的母亲。”

    但我回答:“不,那不是我的母亲,只是奈莉的母亲。”

    “那么,你母亲在哪儿呢?”

    “我母亲死于莫斯科大火。” (544)

    安吉丽娜的生活中真正的母亲形象,便是她的外祖母。她把安吉丽娜和奈莉救出儿童之家,最终让她们与她们的母亲团聚。当时,祖母和外祖母救下孩子的故事司空见惯。从大恐怖的一开始,将受迫害家庭的幸免者维系在一起的责任,往往落到她们的肩上。她们不为人知的英雄行为,实属苏维埃历史上最了不起的事迹之一。

    纳塔利娅·康斯坦丁诺娃和姐姐艾莱娜在大恐怖中失去父母。父亲被捕于1936年10月,枪决于1937年5月;母亲柳德米拉被捕于1938年9月,判处8年劳改,被当做“人民公敌”的妻子送进马加丹附近的劳改营。其时,纳塔利娅10岁,姐姐12岁,都被送进孤儿院,到最后,都获得外祖母的拯救。外祖母慈祥温和,却有钢铁般的意志,与内务人民委员会达成协议。艾莱娜·列别杰娃1879年出生于莫斯科一个商业望族,幼时上学4年,17岁那年结婚,生下7个孩子,其中柳德米拉出生于1903年,排行老四。艾莱娜向内务人民委员会总部提出申诉,要求释放她的外孙女们,但被告知:如果要领出女孩,必须带她们同去流放地;如果让女孩们待在孤儿院,她自己仍可留在列宁格勒。艾莱娜毫不犹豫,领出两个女孩,变卖财产,买了3张火车票,直奔奥伦堡和哈萨克斯坦之间偏僻的草原小镇阿克―布拉克(到达后才获悉,所有流放者的出境火车票本来应由内务人民委员会支付)。

    阿克―布拉克是连接俄罗斯与中亚主要铁路干线上的小站,尘土飞扬,当地7000名居民中的许多人都在铁路上供职,主要是俄罗斯人和哈萨克人,另外还有不少失业的政治流放者。58岁的外祖母肯定找不到工作,列宁格勒的亲属定期给艾莱娜寄来少量的现金和小商品,让她在市场上出售,或进行物物交换,对象是她一直在努力培养友谊的当地妇女。艾莱娜无法租到房间,只好与外孙女住在她买下的小窝棚,后来又隔开与另一户流放家庭合用。那是该镇最古老的房子之一,可追溯到19世纪,其墙砖是骆驼粪做成的,屋顶是黏土的。冬天,她们在土灶中烧烤牛粪取暖。第一年,即1938至1939年,当地发生饥荒,这真是一场生死考验。两个女孩没鞋穿,只能打赤脚去流放者子女的铁皮棚学校上课。铁路职工的孩子另有分隔开来的砖房学校。但姑娘们学习努力,第二年就获准转学到其他学校,甚至还加入了少先队。流放者和铁路职工之间的关系很好,纳塔利娅回忆:“没人把我们叫做流放者。”到了1941年,两名女孩申请加入共青团,才有人指出她们的父亲是“人民公敌”。发言人不是当地居民的孩子,而是来自莫斯科的疏散者,视之为不得入团的理由。 (545)

    纳塔利娅回首自己在阿克―布拉克度过的岁月——即从1938年到1945年,她倾向于认为,尽管经历了这么多艰辛,她和姐姐仍有一个快乐的童年。“我们很幸运,在外祖母的小世界中长大。我们从来没有吃过饱饭,几乎没有一样自己的财产,但我们很愉快,因为我们有外祖母的爱,谁也无法偷走。”学校的朋友经常会问纳塔利娅父母在哪里,她都试图回避。她从来不谈自己的父母,担心人家会猜疑“他们已经被捕,一定做了什么错事”。对纳塔利娅来说,他们的被捕是耻辱和困惑的来源。她不明白他们到底做了什么、为何消失,但从来没有怀疑父母的清白。纳塔利娅认为,在维持这一信念上面,外祖母起了至关重要的作用。如果没有她,她会投降于来自少先队和共青团的压力,会背弃自己的父母,视他们为“人民公敌”。纳塔利娅回忆:“外祖母已看透一切,知道苏维埃政权的实质,不会轻易相信。革命爆发时,她已近40岁。”

    艾莱娜的价值观形成于不同的时代和环境,但她明白,外孙女需要在苏维埃世界中生存下去,所以没将自己的反苏维埃思想强加于她们。她告诉她们,父母都是好人,被捕只是一个错误,总有一天都要回来。她给她们讲述她们的母亲年轻时的故事:当年,她那么美丽,那么热爱网球,吸引那么多英俊的年轻崇拜者,又如何遇上她们的父亲,如何组成幸福家庭。她还告诉女孩们,她们的母亲就像她们现在一样。两个女孩通过这些故事得以了解自己的母亲,甚至能在日常生活中感受到她的存在。艾莱娜说,“外祖母是我们生命中最重要的人,比母亲更为重要……她承担了母亲的职责,甚至在我们回到列宁格勒[1946年]和重逢真正的母亲[1951年]之后仍是如此。” (546)

    对祖辈来说,照顾孙辈可能是沉重的负担。子女被捕和变成“人民公敌”之后,父母经常被剥夺住房、就业、储蓄、退休金和口粮。也不是所有的孙辈都能获得拯救。维罗尼卡·涅夫斯卡娅的母亲于1933年去世,父亲被捕于1936年8月,被送去沃尔库塔劳改营。6岁的维罗尼卡和弟弟瓦伦丁,都被送进孤儿院。父亲的姨妈玛丽亚决定收养维罗尼卡,她已经收到内务人民委员会的警告,如要收养,必须要去基洛夫地区过流放生活,那地方位于玛丽亚现居地列宁格勒的东面,相距1200公里。玛丽亚是一名虔诚的教徒,已经70岁出头,把照看家人的孩子视作自己基督徒的责任。丈夫已经去世多年,她独自一人生活,没有自己的孩子,却发现外甥的子女羁留在孤儿院之中。玛丽亚一直特别喜爱维罗尼卡,为她买礼物,喜欢朗读经典作品给她听,但她已太老太弱,无力照看麻烦、任性的瓦伦丁(他先天膀胱缺陷,小便失禁,需要特殊照顾)。玛丽亚从孤儿院领出维罗尼卡,留下弟弟,之后就再也没有他的消息。到1941年,她们收到一封电报,通知她们瓦伦丁已死于孤儿院的医院——当时只有7岁。维罗尼卡回首往事,认为祖母(她如此称呼父亲的姨妈)实在应付不了瓦伦丁,但又认为祖母心里还是充满悔恨。收到电报几天后,玛丽亚就去世了。维罗尼卡由远房亲戚收留,很快又被转给其他亲属,再被转给他人,没人对一张额外的嘴感兴趣。因此,在随后的5年中,她变成远亲家里不受欢迎的住客,直到1946年赴沃尔库塔与父亲团聚。

    父母的被捕使许多孩子一夜之间长大。尤其是最年长的孩子,突然要履行大人的职责,帮做家务,照料弟妹。1937年夏天父母被捕时,伊娜·盖斯特才12岁,与妹妹纳塔利娅(7岁)、瓦莱里娅(1岁)、表弟伊戈尔(9岁)和外祖母一起住在莫斯科河堤大楼的自家公寓。伊娜一下子要承担许多新职责,如果不算是一名主要家长,至少也变成了一名家长的助手。伊娜写信给内务人民委员会,要求领回自家公寓中已遭查封的财物。她组织安排送给父母的包裹,通宵在布提尔基监狱的门外排队,发现母亲被送去阿克莫林斯克劳改营之后,她又找到一份晚上的工作,给孩子做课后辅导来积攒些钱,以便每月向阿克莫林斯克寄一次包裹——自(1939)年夏天起获得这一准许。父母被捕后不久,盖斯特家的孩子们被赶出自家公寓。4个孩子与外祖母搬进一间出租房,还要与其他8名亲戚合住——都是在大恐怖中失去父母的孩子。仅20平方米的房间住上了13人(12个孩子,加上外祖母)。作为最年长的孩子,伊娜不得不做洗涤工作,还要帮着做清洁和烹饪。从她的新家到学校,伊娜乘坐电车至少需要一个小时,晚上回家后还要洗晾衣衫,因为第二天还要再用,她为此而心力交瘁(照片中的她,黑眼圈十分明显)。伊娜回顾这一段时间,认为这有助于她学得必要的生存技能:

    这是一种训练自我奋斗的生活。我总是在力争生存下去——不只是为我自己,还为瓦留西卡[瓦莱里娅]和纳塔利卡[纳塔利娅]。父母被捕时,我只有12岁。但一夜之间,我仿佛已经长大。我明白,我的童年已经走到尽头。先是我们的保姆辞职——她无法与外祖母相处,照顾婴儿瓦莱里娅变成了我的工作。我记得保姆临走之前说的最后一句话:“你必须每天晚上给她洗澡!她的尿布会变得很脏。”我被吓坏了……发现自己进入了全新的环境,必须承担这大家庭的洗涤工作。我如果不想断送自己一生,还需努力学习,还得抚养伊戈尔和纳塔利卡。纳塔利卡会问,为什么人家都有父母,而我们没有。我告诉她,我们有非常热爱我们的外祖母。在很多方面,我成了纳塔利卡和瓦留西卡的母亲;在其他方面,我自己又还是一个孩子。

    像艾莱娜·列别杰娃一样,伊娜的外祖母也经常向孩子们提及他们的父母,希望他们知道父母并没有抛弃他们,仍然爱他们,将会回到他们的身边。但也有其他祖母们持不同的看法。

    伊拉伊达·法伊韦索维奇的父母是乌拉尔奥萨镇(位于彼尔姆的南面)的理发师。他们于1939年的春天被捕,据说策划了反苏维埃政府的政治阴谋,因为美容院的顾客举报:听到法伊韦索维奇夫妇在抱怨物资的短缺。4岁的伊拉伊达先由邻居收留,然后再转给各式亲戚,没人是心甘情愿的,直到最后才获得外祖母玛法·布留霍娃的拯救。她是个简单的农妇,又是虔诚的东正教徒,一共带大16个孩子,其中5个还不是她自己的。她将被捕一事归罪于女婿,指责他说话太多,因此要求伊拉伊达学会闭嘴。所以,伊拉伊达在“强迫沉默的氛围”中长大,不得讨论或询问父母的事。她的自卑感植根于自己在学校里的孤儿身份,又因这强加的沉默而愈益加深。这一切迫使她深深埋藏内心的恐惧以及对父母的渴望,甚至会在梦中听到父母的声音。伊拉伊达的母亲关押在阿尔汉格尔斯克附近的劳改营,每周给住在奥萨的女儿写信。但玛法收到后,拆都不拆就予以烧毁。玛法把伊拉伊达父母的照片藏起来,让外孙女忘记他们。她对外孙女说:“我们会活下去,就我们两人,不再分离。”

    祖母、外祖母们成了家庭和劳改营之间的重要通讯者,她们既是写信人,又是读信人,维系了父母和子女之间的重要连结。数百万家庭,就凭这种连结,得以幸存于古拉格的分隔。

    奥列格·沃罗比约夫的父母分别于1936年和1937年被捕,他和妹妹娜塔莎获得了外祖母的拯救。外祖母娜杰日达·米哈伊洛夫娜既勇敢又聪明,1905年革命之前,已是第比利斯取得行医资格的首批女医生之一。她听说内务人民委员会将把孩子送进孤儿院,急忙把他们带到图拉的乡村,与孩子的教父母一起将他们藏匿好几个月。后来回到莫斯科,她与丈夫带着两个孩子,在工薪阶层集中的郊区租房而居,搬了好几次家。她认为,与他们以前居住的首都中心相比,这里更为安全。一般情况下,工人对邻居的政治背景不太感兴趣(他们的敌视更可能来自阶级或种族的理由)。为了保护外孙和外孙女,娜杰日达收养他们,替他们改名换姓。每个星期,她写长信给他们的父亲(在索洛韦茨基劳改营)和母亲(在捷姆尼科夫斯基劳改营),介绍孩子们的日常起居:

    1939年1月25日

    ……奥列格热爱上学。外公让他在早上7点半起床——只需说时间到了,他就自己起来。我们打开电水壶,准备新鲜的三明治、蛋、鱼和香肠。他吃时,再配上热巧克力、咖啡、茶、牛奶,然后去上学。他对食物非常挑剔,吃得不多。半截面包卷和一杯牛奶,他就已经饱了。他带去学校的也只有半截面包卷。 (552)

    1940年,奥列格和娜塔莎。照片是为了寄给身在诺里尔斯克劳改营的父亲米哈伊尔而拍摄的

    很多细节不是真的(奥列格记得,没有鸡蛋、鱼、香肠,只有面包,偶尔才有黄油),但这些信件给他的父母提供了安慰,即使他们不在,正常的家庭生活仍在继续,等待他们的归来。

    奥列格的父亲米哈伊尔是一名高级工程师,被捕之前,曾在莫斯科的国防部工作。1940年,他从索洛韦茨基调至北极圈的诺里尔斯克劳改营。国家急切需要像他那样的专业人才,以创建庞大的综合工业,那里不久将成为镍和铂金的主要产地。米哈伊尔作为一名专家,允许收到包裹,每星期可写一次家书。他凭借与娜杰日达的通信,了解到奥列格的心态,从而对他的学习、阅读、兴趣爱好、朋友,提供了作为父亲的忠告。奥列格回忆:“他的信件对我产生了深刻的影响。”

    假设在我成长过程中,他就在我的身边,我对他的遵从可能还比不上我对这些信件的遵从。因为我渴望一个父亲,尽量以想象中他会赞同的标准来要求自己,至少我从信件中知道了他的想法。

    奥列格是幸运的,能与父亲建立联系。信件是父母之爱的书面证明,孩子眼见为实,还能读出父母的无辜。有时,信中夹有绘画、诗歌、枯萎的花朵,甚至小片的刺绣,以传达出受过审查的词句所不能表达的情感。正是这些零碎的东西建筑起父子之情。 (553)

    米哈伊尔在信件中,一直敦促奥列格快快长成一位“小大人”。

    1940年8月25日

    我亲爱的儿子,为什么这么久没给我写信?我知道你在度假……但我促请你,至少每5天要写一封信……在信中附上你的图画,让娜塔莎也写上几句……永远不要忘记,你是她的保护者。她还小,有时任性,你要跟她讲道理。我已经写过多次,你是一个男人,理应保护娜塔莎、外公和外婆,确保他们的安全,直到我回来。你是我的副手,我们小家庭的家长,我所有的希望就寄托在你的身上。

    尽管只有10岁,奥列格觉得收到这封信后,自己已长成大人了。他认为,自己应对娜塔莎负责。这使他不再以孩子的眼光看待这个世界,借用他自己的话即是:“我在一夜之中长大了。”

    布舒耶夫家、盖斯特家、沃罗比约夫家的孩子都是幸运儿——他们获得了亲人的拯救。父母的被捕,让数百万的其他孩子自生自灭。许多人走进孤儿院——适用于未满16岁的孩子——其他的则在大街上游荡,或乞讨,或加入少年帮派。那些帮派在大城市的车站、市场和其他繁华地段,掌控大部分的轻罪和卖淫。1935年通过的新法律,将刑事责任的年龄降至12岁,主要是为了打击儿童犯罪。1935至1940年,苏维埃法庭给10.2万名12到16岁的儿童定罪,其中许多最终被送进由内务人民委员会管理的劳教营。

    有些孩子溜到制度外,自食其力。1936年父母被捕时,米哈伊尔·米罗诺夫只有10岁。他父母本是来自乌克兰的工人,在内战中参加红色游击队;被捕前在党内获得逐步的晋升,先在莫斯科,后在列宁格勒。米哈伊尔的姐姐莉利亚早已离开列宁格勒的家,前往莫斯科学医。因此,米哈伊尔只得独自一人生活。他曾在各式亲戚家寄居一段时间,成为他们的额外负担。他们都是工人,有自己的大家庭,都在为生存而挣扎。1937年9月,米哈伊尔进了列宁格勒少先队之家设立的绘画学校。之前几个月照顾他的姑姑贝拉将此视为摆脱他的良机,就叫他搬去少先队之家的学生宿舍。米哈伊尔失去父亲的所有音信(枪决于1938年),也得不到姐姐的消息,因为她担心如果写信给亲戚,会泄露自己的污点履历,会遭到医学院开除。他唯一保持联系的亲人是身在沃尔库塔劳改营的母亲,经常写信给她。他非常孤独,没有朋友和家人,急切需要母亲的爱(他的信往往以此结尾:“我吻你1000000000次”)。1941年的春天,米哈伊尔被绘画学校开除——理由是缺乏天赋——转而入读工厂技校。他被赶出少先队之家的学生宿舍,只好借住在营房的一个小房间。15岁的他在7月份写给母亲的信中说:“我在此感到非常无聊,没有其他人,每个人都走了,全靠自己。”9月,德国军队包围列宁格勒,米哈伊尔逃到莫斯科。他到达那里时,姐姐已跟随医学院疏散到中亚,其他的莫斯科亲属也不愿收留他,所以只好流落街头。1941年10月,他在莫斯科保卫战中遇难。

    父亲在1937年6月被捕时,玛娅·诺尔金娜才13岁。一年后,内务人民委员会又抓了母亲,玛娅也被列宁格勒学校开除。她在列宁格勒有姨妈和舅舅,但没人愿意收留她。玛娅说:“他们都怕丢掉饭碗,其中有些是党员——他们显得最为害怕,断然拒绝。”大家都以为玛娅将被送进孤儿院,却没有人来找她。于是,她继续住在自家的3间房里,位于市中心的共用公寓。她的亲戚为了抢夺这宝贵的居住空间,让一个舅舅登记为该处居民。但他从没在那里住过,事实上,仍与妻儿住在城市的另一端。玛娅回忆:“我自食其力,完全独立。”这一位14岁的女孩子,会向学校里的老朋友借书,走一小时去姨妈家吃饭,用亲戚给的零用钱购买食品,有时享用共用公寓邻居的残羹剩饭。每天,她会在列宁格勒内务人民委员会总部前排队,希望送包裹给父亲。该处官员收了一段时间的包裹,然后告诉她,父亲已被“判刑10年,不得通信”(这意味着他已被枪决——不过她好几年都不知道)。给身在波特马劳改营的母亲送包裹更加艰辛,需要排队整整两天两夜。玛娅这样的生活,持续到1941年8月。其时,她年满18岁,加入了保卫列宁格勒的人民志愿军。她没有接受正规学校的教育,实在是别无选择。

    卓娅·阿尔谢季耶娃1923年出生于符拉迪沃斯托克。父亲是一名船长,1937年11月25日驾船前去勘察加半岛的彼得罗巴甫洛夫斯克,却在途中被捕。同一天,母亲被捕于符拉迪沃斯托克的家中。卓娅只有14岁,但看起来比较成熟,所以没去孤儿院。她继续待在从1926年起就一直居住的共用公寓,自力更生,没有其他亲戚。母亲的妹妹住在哈巴罗夫斯克,只有夏天才能来符拉迪沃斯托克,因为她在此地有一套乡间别墅;父亲的家人都在列宁格勒。卓娅从小享受养尊处优的生活,母亲不上班,全身心照顾这唯一的孩子。现在,卓娅什么都要自理。她自己去学校,在共用公寓的走廊上用普里默斯煤油炉煮食。她在邻居的帮助下卖掉一部分家庭财产(金表,母亲的银戒指,父亲的老望远镜、照相机,书籍,雕塑),来购买食品和附近工厂食堂的饭菜。如此筹得的钱,大部分用于为父亲上诉(被控参与“跨太平洋的反革命组织”)。他从彼得罗巴甫洛夫斯克―堪察加监狱,每周给她写含有复杂指令的信,为她解释法律的晦涩含义和取出银行存款的方式。每周一次,她写回信,报告案件的进展;同样每周一次,她在符拉迪沃斯托克监狱外连夜排队,送包裹给母亲。她的迅速成长,以及对家庭危机的妥善应对,给父亲留下了深刻印象。1940年5月,他写信给在西伯利亚的亚亚附近劳改营的妻子说:

    我已从济济卡[卓娅]那里收到两封信。我觉得对不起她,但也为她的成功而感到由衷的高兴。她生气勃勃,身体健康——不久就有17岁了,完全独立自主。她是一个聪明的女孩,她的勇敢值得大加称赞——她在14岁的年纪,就能完全自力更生,全不害怕。她甚至还能自得其乐。我把她想象成家里的小小女主人,完全掌控着家庭和学校的事务。 (558)

    但从卓娅的角度看,自力更生并不是愉快的经历。她在若干年后说:“有一天,妈妈被捕。第二天,我就开始了我的成年生活。”她不愿在信中让自己面临的麻烦惊扰父母。有人冒充是她父母的朋友,试图来占便宜,帮她卖掉贵重物品,却扣下一半的所得。1939年的春天,在市苏维埃担任秘书的母亲的熟人,把自己的物品搬到卓娅的房间,声称这样做卓娅就无须与他人分享生活空间。事实上,几个星期之后,该女子就报警把卓娅抓起来送到孤儿院,从而鸠占鹊巢。卓娅在孤儿院里绝食抗议,最终通过一名孤儿院工人与哈巴罗夫斯克的姨妈取得联系。她恰好来避暑,刚刚抵达自己的乡间别墅。卓娅不得不在孤儿院住了3个月,等待姨妈设法收回她的房间。16岁生日那天,卓娅终于获准返回。她半工半读,傍晚上课,完成中学的最后一年,然后上了哈巴罗夫斯克铁道学院。1940年冬天,她父亲获刑5年,被送去西伯利亚的劳改营,1942年死在那里;母亲则于1944年获释。

    1937年7月5日身为列宁格勒资深党干部的父母被捕时,马克斯娜·卡尔皮茨卡娅才13岁。马克斯娜的两个弟弟被送去不同的孤儿院——老二阿列克谢(10岁)去了基洛夫附近的儿童之家,老幺弗拉基米尔(5岁)则去了鞑靼共和国的一个儿童之家。像卓娅一样,马克斯娜看上去比较成熟,所以没进孤儿院。相反,她与保姆米利娅搬进了一座共用公寓的小房间。米利娅是一个简单的农妇,以同等程度在帮助和利用她的主人。像20世纪20年代成长于共产党人家庭的其他孩子一样,马克斯娜很小就学会承担责任。父母待她如一名“小同志”,叫她管教弟弟。现在,这种训练正好派上用场:

    米利娅与我在一起,但我掌管一切,包括金钱。我付工资给米利娅,到后来,她开始偷钱。所以,我告诉她不再需要她的服务,不过仍让她睡在我的房间,因为她无处可去。 (560)

    就一名13岁女孩而言,马克斯娜具有惊人的机智。她设法取回父母被捕时遭封存的个人财物,让米利娅拿去寄售店卖出,以维持家用。寄售店是硕果仅存的私人市场,苏维埃公民借此来买卖自己的日常用品。这一自救行动的关键在于党干部兼家庭老朋友鲍里斯·波泽恩(鲍里亚叔叔)的援助,他时任列宁格勒州的检察官,在马克斯娜还是个小女孩时就认识她。波泽恩会派出一名士兵,打开查封的公寓,让马克斯娜拿出钱和财物:父亲的西装和鞋子,母亲的礼服和皮草外套,毛巾、床单。“鲍里亚叔叔”为帮助孤女,承担了很大危险,自己在1939年被捕并遭枪决。

    马克斯娜将这些财物储存在自己房间内,一件接着一件,如果没有卖掉,就会被邻居们逐渐偷走。后来,米利娅又要男友搬来同住。马克斯娜终于鼓起勇气,要两人统统搬走,又在门上加了锁。此后3年中,马克斯娜孑然一身,单独住在自己的共用公寓,通过一位姑妈卖掉最后的财物。父母被捕后,那位姑妈曾不敢与她讲话,但现在却跳出来抓住机会帮助马克斯娜出售财物。马克斯娜住的共用公寓位于列宁格勒一个纯无产阶级地区,她所有邻居都是工厂工人。他们知道,她一人独居——对未成年人来说,这是非法的——但没有去报警(显然,他们愿意她住在附近,以方便他们行窃)。马克斯娜在学校里受到一名教师的欺负,被斥为“人民公敌”的女儿,便转学去了另一所学校,那里的班主任较有怜悯之心,帮助她隐瞒不好的出身。1941年,17岁的马克斯娜中学毕业,所有科目都获高分,进入列宁格勒大学的语言系就读。1942年2月,该大学疏散撤走,她仍留在列宁格勒,在公共图书馆上班。直到城市被德国军队切断之前,她不停地写信给羁留在孤儿院的大弟阿列克谢。阿列克谢在1946年返回列宁格勒,但已深受孤儿院生活的影响。她的小弟弗拉基米尔则消失得无影无踪。

    大恐怖使孤儿人数急速膨胀。从1935年到1941年,生活在俄罗斯、白俄罗斯、乌克兰的儿童之家的人数,从32.9万人增至大约61万人(还不包括孤儿院调给苏维埃农庄和工厂的人员)。 (562) 大多数儿童之家比拘留中心好不了多少,里面都是流离失所的少年、流浪者、“小流氓”、小罪犯、父母于1937至1938年被捕的“奇怪孤儿”(作家伊利亚·爱伦堡如此称呼他们)。这些场所的条件如此恶劣,以致数十名官员向当局写信,对拥挤、污浊、饥寒交迫以及儿童不时承受的虐待和忽视,表达了他们个人的愤慨。“人民公敌”的孩子们更承受特别的苛刻待遇。像马克斯娜的弟弟们一样,兄弟姐妹往往被送去不同的儿童之家,因为政策规定,必须拆散“人民公敌”的家庭。他们被告知,要忘记自己的父母。如果年龄够小,就会获得全新的姓名,以建立新身份。他们经常遭受欺凌和排斥,有时是来自教师和管理员,因为那些人担心:如果显示慈悲,可能会被指控对“敌人”存有恻隐之心。 (563)

    父母被捕后,伊纳萨·布拉特和姐姐梅拉被送去不同的儿童之家,3岁的伊纳萨去了列宁格勒的,11岁的梅拉则去了斯摩棱斯克附近的。两个女孩都不断得到提醒,她们是“人民公敌”的女儿——她们父母的被捕,牵涉于皮亚特科夫和其他“托洛茨基分子”在1937年1月的公审。 [1] 伊纳萨对孤儿院之前的童年全无印象,但记得的两年孤儿院生活,给她的心灵留下了深刻的伤痕:

    那里的条件实在太可怕——我都没法走进厕所:地上满是稀屎,深至脚踝……那栋房子正对一道红砖高墙,好像被困在地狱里……儿童之家的主管总是对我说:“要记住你父母是什么人,不要惹出麻烦,只是静静坐着,不要伸出窥探的鼻子”……我变得内向,把自己封闭起来。后来,我发现很难再回到正常生活。我在孤儿院待得时间太长,学会了对什么都漠不关心。

    梅拉所在的孤儿院有“数十名”政治犯子女。她回忆:

    我们这些父母被捕的孩子,没人敢于谈及自己的家人。他们把我们称作“托洛茨基分子”,总把我们归在一起。我们也形成小团体,之间并无特殊的友谊,只是想团结起来……其他孩子会向我们扔石头,咒骂我们。我们就聚在一起来保护自己。

    1940年,第聂伯罗彼得罗夫斯克第一孤儿院的女孩们,瓦伦蒂娜位于倒数第二排的中间

    梅拉会写信给列宁格勒的外祖母。父母被捕时,外祖母曾拒绝照看她和伊纳萨。她前不久与酗酒施暴的丈夫离婚,住在简陋的地下室里,在列宁格勒烟厂担任质量检查员。她担心,如果照看“人民公敌”的孩子,可能会失去自己的工作。她还认为外孙女在儿童之家可能会过得更好。但梅拉的信使她震惊,她从没想到外孙女会陷于如此恶劣的环境。1939年,她从儿童之家救出两个女孩,带回列宁格勒的地下室,与自己同住。 (564)

    弗拉基米尔·安东诺夫―奥夫谢延科和妻子索菲亚被捕于1937年10月,女儿瓦伦蒂娜其时15岁。1938年2月8日,索菲亚和弗拉基米尔同一天被枪决。弗拉基米尔是瓦伦蒂娜的继父。瓦伦蒂娜的生父是亚历山大·季哈诺夫,印刷工人,来自莫斯科的工人大家庭,后来成为莫斯科青年近卫军出版社的主编,接着去布拉格的国际书店任职。索菲亚就是在布拉格遇见了身为苏维埃大使的弗拉基米尔。瓦伦蒂娜在1934年之前见过自己的生父,但后来失去联系。瓦伦蒂娜说:“我们返回莫斯科时,他没来探望。我没向母亲询问原因,她也没作解释。显然,我父亲不想闯入我们的生活。”索菲亚和弗拉基米尔被捕时,瓦伦蒂娜被带到内务人民委员会的拘留中心——位于古老的达尼洛夫修道院,“人民公敌”的孩子再从那里被发配去苏联各地的孤儿院。瓦伦蒂娜刚到那里就病倒了,父亲亚历山大知道她的处境,但没有伸出援手。他刚刚再婚,也许是害怕这样做会危及他与新娘的关系,到1938年,新娘自己也被捕了。瓦伦蒂娜被从达尼洛夫修道院转至第聂伯罗彼得罗夫斯克一个儿童之家,一直待到1941年才回到莫斯科。瓦伦蒂娜回顾了这一段辛酸生活:

    孤儿院造成的创伤,我从未能克服,这是我第一次与人谈及此事。那是我的成长岁月,需要母亲,也需要父亲。我开始明白,他们都已死去,我的黯然神伤无时不在。在孤儿院,他们给我们新年糖果,有时教师还会大做文章,但我所感受的,只是这种黯然神伤。我形单影只,没有亲人。我是唯一一个没有母亲可以联系,也没有来信的女孩。在我们团体中,只有我一个人的母亲被枪杀[长长的沉默]。我为此一直痛苦不已。 (565)

    她与其他孤女凝结的友谊——救她于绝望之中——又成了孤儿院的可取之处。

    在孤儿院长大,虽有无数恐怖故事,但也有找到爱和“家庭”的实例。加林娜·科舍连娃被送去孤儿院时才9岁。其父亲是波德博洛热地区(位于列宁格勒的东北)的农民,于1937年的“富农行动”中被捕并遭枪决。之后,家庭四分五裂。加林娜和弟弟先被送到基洛夫城,后来又各奔东西。弟弟去了邻近的祖耶夫卡镇孤儿院,她自己去了北部的奥帕里诺镇孤儿院,位于基洛夫城和科特拉斯城之间。加林娜刚刚抵达就患上肺炎。“我从列宁格勒来,身穿夏日的连衣裙,外加白色披肩,没有其他衣服,脚上只是一双凉鞋。我们离开时是夏天,到基洛夫时已是11月。”整个冬天,加林娜病得很重,全靠孤儿院主任的调养。她名叫叶丽萨维塔·伊万诺娃,是西伯利亚当地的年轻女子,她让加林娜穿自己的冬衣,为她自掏腰包向邻近集体农庄购买牛奶,两人关系犹如母女。叶丽萨维塔自己没有孩子,对9岁的加林娜宠爱有加,晚上为她朗读,遇上缺课还帮她补功课。她想收养加林娜,但因生活空间不够而无法获得资格。然后,加林娜的母亲在1945年突然出现。1937年,她逃脱内务人民委员会的监管,带着新出生的婴儿四下隐匿生活。她曾在摩尔曼斯克铁路上担任清除冰雪的工人,直到变成德国军队的俘虏,被送去彼得罗扎沃茨克的芬兰集中营。1944年,她获得苏维埃军队的解救,便到处寻找自己的孩子。加林娜离开叶丽萨维塔和孤儿院时,显得非常伤心。她跟母亲、弟弟搬回波德博洛热地区,1952年又搬至列宁格勒。那些年,她不断写信给孤儿院的叶丽萨维塔。她回忆:“我非常爱她,使我的母亲生羡。我对母亲的爱,都不及对她的一半,我们母女之间的关系本来就平淡如水。” (566)

    尼古拉·科瓦奇1936年出生于索洛韦茨基劳改营。父母1933年获刑10年,被送去白海岛屿监狱。母亲当时已怀上了姐姐艾莱娜,所以获准在监狱里作为家庭一起生活。到1937年1月,内务人民委员会禁止劳改营中所有的同居。尼古拉的母亲流放去了卡累利阿的劳改营(枪决于1937年11月),父亲流放去了马加丹的劳改营(枪决于1938年)。艾莱娜其时正患结核病,被送到列宁格勒南部的托尔马乔夫孤儿院接受治疗。尼古拉被送到北部的奥尔戈诺度假区,那是1917年之前圣彼得堡精英青睐的芬兰湾度假地;内务人民委员会在王子奥尔登堡白色宫殿的一翼为“人民公敌”的孩子建立了孤儿院。

    像尼古拉一样,该孤儿院的许多孩子都没有自己的家庭记忆,却与厨房工人建立特殊的关系,由此而得到爱和亲情,甚至家的感觉。尼古拉回忆道:“有一条通向厨房的后楼梯。”

    我去那里,厨娘会说:“科利亚来了!”她们会抚摸我的头发,给我一块面包。我就坐在楼梯的底部吃,没人看见。那时,大家都饥肠辘辘的——我害怕被人抢走……那些厨娘原是当地的普通妇女,可怜我们孤儿,尽力予以帮助。

    孩子们还拜访当地的老人,帮助耕耘他们的自留地。尼古拉回忆:“这很适合我们。”

    如果帮助一位老大爷,他就会很高兴,会对我们很亲切。他可能会变得很亲热,抚摸我们的头发。我们需要温暖和亲情,需要家庭所能提供的——只是不知究竟是什么。我们没有家庭,也不感到伤心,因为根本都不知道家庭为何物或家庭的存在,我们只是需要爱。

    他们通常在与动物和宠物的相处中找到爱。尼古拉说:“我们有狗、兔、马。”

    孤儿院的围墙背后有一个马场。我们很喜欢去那里,会感到自由自在。有时在夏天,马厩工人让我们带马去河边。我们骑着无鞍马,在河中一起游泳,骑回来时尖声欢叫。城镇的草甸上夏季有赛马,我们总在那里。没人比我们更了解马,我们爱上了马。

    在孤儿当中,相互扶持的非正式小群体发挥了许多家庭的功能。同年龄的男孩会结帮成伙,来应付把他们骂成“人民公敌”的恃强欺弱者;年龄较大的会保护年幼的,在功课和家务上提供帮助,并在晚上啼哭或尿床时予以安慰。孤儿院所有的孩子都很团结,以反抗严厉、有时甚至残忍的教师。 (567)

    尼古拉不知道父母长得如何,也不知道他们已死去,只是在梦中见过母亲:

    我经常梦见妈妈,我想应该是妈妈吧。我没见过她的脸,或她的身影。那是一些很幸福的梦,我和妈妈在天上飞,她拥抱我,帮助我飞,但我无法看到她——不知怎的,她要么在我后面,要么与我并排。我们没有飞得很高——只是在孤儿院附近草地和沼泽的上空。那是一个夏天,她会对我说:“不要怕,我们不会飞得太高或太远。”我们面带微笑,在梦中笑个不停。只有在那些梦中,我才感受到幸福——浑身舒畅的幸福。即使今天,我一想到幸福,仍会想起那些梦,还有那种纯粹的幸福感。

    像很多其他孤儿一样,尼古拉为父母勾画了想象中的形象。他从没梦见过父亲,只是把他想象成一名飞行员——那是20世纪30年代末和40年代时苏维埃的英雄形象。他在梦中渴望有一个家,尽管如尼古拉现在回忆的,他都不知道家庭为何物。直到13岁之前,他还从没见过一个实实在在的家庭,甚至没见过在一起的母子。 (568)

    由于没受家庭的影响,尼古拉和他的孤儿同伴对什么是对和错,自有非常独特的概念。他所谓的孤儿院的“丛林法则”,塑造了他们的道德意识,要求每一个孩子为集体而牺牲自身利益。尼古拉解释:

    如果有人犯了错,我们所有人都有可能因此受到惩罚,那个人就要去向当局坦白。我们宁可让他一人受罚,也不愿让整个群体一起倒霉。如果无法说服他,就会动用体罚,迫使他老实交代。我们不会去举报——出卖自己人是被禁止的——但我们会确保他一定去坦白。

    尽管出卖自己人是受禁的,但孩子和成人之间的关系却适用不同的法则。孤儿们都敬佩帕夫利克·莫罗佐夫。尼古拉回忆道:“他是我们的英雄。”

    我们没有家庭概念,不知道父亲是什么。帕夫利克背叛父亲的事实,对我们来说,毫无意义。重要的是,他抓住了资产阶级一员的富农,在我们眼中成了英雄。就我们而言,这个故事与阶级斗争有关,与家庭悲剧无关。 (569)

    孤儿院的道德体系——强大的集体精神和微弱的家庭联系——使之成为内务人民委员会和红军的主要招募场所之一。20世纪30年代,有数百万儿童生活在苏维埃机构中——孤儿院、军队、劳改营,他们对家庭生活一无所知。孤儿们特别容易接受苏维埃政权的宣传,因为没有父母的引导以及可供选择的其他价值体系。20世纪30年代,米哈伊尔·尼古拉耶夫在一连串儿童之家长大。他回忆,他和孤儿同伴们一直受到灌输:苏联是世界上最好的国家,他们是世界上最幸运的孩子,一切都由国家供给,而领导国家的一国之父斯大林关心所有的孩子。

    如果住在其他国家,我们将死于饥寒交迫——这是我们被告知的……当然,我们相信其中每一个字。我们在孤儿院体验生活,学着去思索和感受——更确切地说,不作自发的思索和感受,接受一切被告知的。我们对世界的想法全来自苏维埃政权。 (570)

    米哈伊尔也深受帕夫利克·莫罗佐夫传奇的影响,梦想仿效他的成就——揭发出一个敌人或间谍,在成为少先队员时,他感到非常自豪。像许多孤儿一样,米哈伊尔把加入少先队,看作被苏维埃社会所接纳的一刻。在那之前,他一直耻于自己的父母,仅有零星的记忆:与父亲一起骑在马上,想象中的母亲坐在灯旁擦枪(让他觉得,她一定是一名党干部)。他不知道父母是谁,甚至不知道他们的名字(“米哈伊尔·尼古拉耶夫”是刚来孤儿院时取的新名字)。他记得四五岁时发生的一件事:他的前保姆来儿童之家探看,告诉他他的父母已作为“人民公敌”被枪决了;然后又说,“像枪毙你父母一样,他们也应该把你枪毙掉”。整个童年时期,米哈伊尔为此而深感羞愧。一旦加入少先队,这个耻辱获得了解除;这是他第一次得到苏维埃制度的承认和重视。作为一名少先队员,米哈伊尔把斯大林当做父亲,既权威,又慈祥。他相信,所有的善意都来自他:“我们有吃有穿、有学可上、可以赴少先队野营,甚至有新年树——这一切都归功于斯大林同志。”这就是他的看法。 (571)

    米哈伊尔所在的孤儿院的孩子们,早早投入了工作。他们从4岁起就帮助洗碗、打扫院子,7岁起去集体农庄的田野劳动,11岁起去纺织厂工作。该纺织厂位于邻近的奥列霍沃―祖耶沃镇——在莫斯科的东面,相距50公里。到1941年夏天,米哈伊尔又被分配到奥列霍沃―祖耶沃郊区的一家金属厂。尽管只有12岁,但孤儿院的医生以体检为基础,宣称他已有15岁(米哈伊尔长得高大,与年龄不相称),并发给他一套新证件——上面说他出生于1926年。当时有一条政策,有意提高孤儿的年龄,让他们够条件去参军或从事工业生产。在之后的两年中,米哈伊尔与孤儿院的其他孩子组成一队,在钢铁厂上班。“我们轮班工作——这一周,晚上12小时;下一周,白天12小时;每周工作7天。”工厂里可怕的真实条件,与宣传中的相比有云泥之别。米哈伊尔以前学的,均来自书籍和电影。于是,他生命中第一次开始怀疑被告知的东西。孩子们身穿工作服,睡在工厂俱乐部的地板上,吃饭都在食堂,没有任何报酬。1943年秋天,米哈伊尔逃离工厂,自愿参军——动机是躲避饥饿,不是爱国主义——成为一名坦克驾驶员,当时年仅14岁。 (572)

    像米哈伊尔一样,尼古拉·科瓦奇加入少先队时也非常自豪,因此而感到已被孤儿院之外的世界接受,可与其他同龄孩子平起平坐了。科瓦奇接着加入共青团,成为党的积极分子,他“最喜爱的书”就是《联共(布)党史简明教程》。他在少年时就加入红军,在远东服役。复员后,他却难以融入平民生活——他在苏维埃机构待的时间太长——转而去内务人民委员会上班,晚上在其附属的精英军校进修。科瓦奇任职于内务人民委员会一个特殊单位,其主要任务是捕获儿童之家的逃犯。

    父母要求14岁的玛丽亚·布德克维奇事先做好准备,以预防父母的被捕。1937年7月,内务人民委员会抓走父母,玛丽亚得以生存下来,孑然一身,住在莫斯科的自家公寓,直到1938年夏天内务人民委员会把她带到达尼洛夫修道院的拘留中心。她虽是自力更生,却有父母的老朋友米利察·叶夫根涅夫娜的帮助。米利察的丈夫是一名布尔什维克官员,被捕得更早,所以米利察揣测玛丽亚的父母可能是受了自己丈夫的牵连,因而觉得对不起玛丽亚。但很快,她又担心,如果继续帮助“敌人”的女儿,自己也会吃不了兜着走,只好向内务人民委员会汇报。他们来抓玛丽亚时,米利察对她说:“不要生我的气……最好还是去儿童之家,之后就会慢慢习惯,不会再是人民公敌的孩子。” (574)

    玛丽亚与其他25名“人民公敌”子女一起,从达尼洛夫修道院,被转至高尔基城附近的孤儿院。孤儿院主任是个慈父般的人,鼓励玛丽亚努力学习,即使出身不好,仍可争取美好的前途。她申请加入了共青团,尽管事先受到警告,获准之前需要背弃自己的父母。她也参加各项活动,主要是在群众集会和游行中强烈谴责“人民公敌”,歌唱对斯大林和党的赞歌。她回忆,之所以加入共青团,是因为坚信这是父母希望她做的:“我怎能拒绝加入呢?妈妈总是说,我一定要成为少先队员,然后是共青团员。不加入是可耻的。”然而同时——她对导致父母被捕的政治事件茫然无知——她又认为,入团可能是错的。她记得曾感受到对父母的愧疚,好像是在背叛他们。但后来,入团仪式并没要求她背弃父母。尽管如此,她仍在参与共青团宣传时觉得尴尬。如她所忆起的,只是让人看到自己在“高歌赞美斯大林,连自己也不太相信口中吐出的歌词”。尴尬的根源是她的直觉:父母的被捕是错的(她甚至在1939年向斯大林书写抗议信)。她为生存和进步所采纳的政治身份,又与这信念发生冲突。作为共青团员,玛丽亚可以就读于列宁格勒理工学院,那是一所占处于领先地位的科技大学,学生中仅有极少数“人民公敌”的孩子。 (575)

    数百万孩子在苏维埃制度和其“敌人”之间的灰色地带长大,内心时常处于争相表忠与抗争冲动的撕扯之中。一方面,家庭出身的污点增强了他们证明自己是社会平等成员的需求。这意味着他们必须遵循苏维埃的理想,加入了共青团,甚至共产党。另一方面,这些孩子不禁会对给家人带来这么多痛苦的制度生出疏远之感。

    父母在1937年夏天被捕后,热尼娅·叶万古洛娃百感交集。她19岁,刚刚读完中学,留在莫斯科继续高等教育的机会因此灰飞烟灭。于是,她搬去列宁格勒,与父亲的舅舅同住。舅公是一名退休的冶金学教授,帮助她进入了工人补习学校,她希望以此升入理工学院。随着申请理工学院的日期越来越近,热尼娅变得忧心忡忡,知道在表格中将不得不揭示父母的被捕。她觉得自己好像一个“麻风病人”,尽管在入学考试中取得高分,仍在担心没有资格进入理工学院。1938年,她被接受为冶金系的新生,该系的竞争不像其他系那么激烈。整个第一学年,热尼娅在日记中承认自己的抑郁症,甚至兴起自杀的念头。反观这一悲伤,她自我解释,这是父母失踪之后自己个性的“自我封闭”。在工人补习学校时,父母的被捕一直是她的耻辱之源,她的同学曾无情地欺负她,称她为“祖国叛徒”的女儿。在理工学院,热尼娅努力证明自己是一名模范学生,以克服这一耻辱。

    有时,她尽力挣脱父母的阴影,享受与同学的相处,追求自己的新生活。但在短暂的瞬间幸福之后,总是涌起内疚感,使她想起身系劳改营的父母。父亲被捕后不久,热尼娅做了一个梦,梦中的父亲竟是一名侵略者。这一直给她带来困扰:

    我父亲从隔壁房间的薄雾中浮现,举起手枪朝我心脏开枪。我没有身体上的痛苦,只有无法遏止的失落感……然后,我发现自己的胸部已被鲜血浸透。

    在理工学院时,有一天晚上,她和朋友一起去溜冰,心情非常愉快,那还是好几个月中的第一次。可当天晚上,她在梦中又看到父亲,第二天早上醒来,满怀“沉重的抑郁”。 (576)

    “奇怪孤儿”中的许多人,回顾自己的少年时代时,都记得有这样一个时刻——他们所衷心盼望的——遭受压迫的耻辱突然消失,他们重被接受为“苏维埃公民”。这种为社会所接受的渴望,几乎是所有“人民公敌”子女的共同心声。只有很少人对苏维埃制度产生厌恶,或干脆反对。

    对依达·斯拉温娜来说,重被接受的时刻发生于1938年的夏天,与母亲的被捕相隔不久(父亲被捕于1937年)。其时,体育教师来邀她参加学校的游行。依达是一名运动员,身材健美,自14岁起就以体操运动员的身份参加学校游行,但在父亲被捕后,她被逐出了游行团队。她在回忆录(1995年)中追忆了当时的喜悦:重被接受为“海陆空”体操表演的体操兼跳伞选手,参加游行,庆祝苏维埃体育界所取得的成就。

    我尚记得采访人在游行运动员照片中认出我时的诧异。 [2] 他们问,母亲刚被发配去劳改营,我怎能参加游行?现在回想起来,我当然承认年轻时的自私。我才16岁,忍受不了痛苦,渴望幸福和爱,但还有比这更重要的原因。参加游行是在表达一个深切的愿望:我想在破碎的世界中重返完整。我再次感到,自己从属于一个庞大的“我们”。我与大家行进在方阵中,高唱让人骄傲的歌曲《我们没有国界》(We Have No Borders)。在我看来,我与任何他人一样,都是完全平等的祖国代表。我对[歌中的话]深信不疑,“我们将高举苏维埃旗帜,超越世界和世纪”。我跟大家并肩站在一起!我的朋友和教师再一次对我表示信任——这意味着,或者是我就因此认为,他们也一定相信我父母的无辜。 (577)

    对于大多数青少年而言,加入共青团象征了从“人民公敌”的孩子到“苏维埃公民”的过渡。父亲1938年2月被捕时,加林娜·阿达西斯卡娅17岁。加林娜的父母是积极的反对派,没期望她会成为共青团员。她和母亲从老家列宁格勒,流放到雅罗斯拉夫尔城。加林娜强烈地感到遭受迫害的耻辱,试图予以克服,决定申请加入共青团。她给学校共青团委员会写信,要他们“再看看我的材料”(即审查她的申请,尽管有父亲被捕的污点)。她坦言自己在有意识地自我净化,她公开自己的“污点履历”,希望获得集体的宽恕和救赎。在讨论她的请求的共青团会议上,领导们裁定加林娜“作为人民的敌人没有资格入团”。但有一位同学抗议说,如果阿达西斯卡娅被排斥在外,所有的学生都会离席。加林娜回忆:“党员辅导老师勃然大怒,耳红面赤。”

    他坐在木凳上,大声叫喊:“这是什么?挑衅!缺乏警惕性!”不过到了最后,我还是获准加入了共青团,甚至当选为班级组织者。我们的组织在学校里赢得了第一名[在社会主义竞赛中]。

    就加林娜而言,这就是她被带进集体生活的一刻。她回忆,自己在1941年被捕,“调查官员查阅我的共青团记录时,眼珠子几乎都要跳了出来”。 (578)

    背弃自己家庭的传统和信仰,通常是进入苏维埃社会所必需的牺牲。柳芭·捷丘耶娃1923年出生于乌拉尔北部切尔登镇的一个东正教神父的家庭,排行第四。柳芭的父亲亚历山大于1922年被捕,押在监狱将近一年才获释。政治警察要他成为举报人,汇报自己教民的活动,却遭到拒绝。后来,受政权支持的宗教改革者夺走了他的教堂,亚历山大二度被捕,但于数月后的1929年秋天获释。柳芭的母亲克拉夫蒂娅随即被切尔登博物馆解雇,她的弟弟维克多作为“阶级敌人”的儿子也被学校开除。1930年,亟想保护家人的亚历山大,带儿子搬去乔尔莫兹镇,让活跃于教会的一个工人收养维克多,以此来改善儿子的前途。作为“工人的儿子”,维克托在学校读完七年级,取得教师资格。家中的其他人也搬离让他们家破人散的切尔登镇,去南方100公里外的新兴工业城镇索利卡姆斯克,与克拉夫蒂娅的母亲一起生活。

    柳芭在索利卡姆斯克长大,从小学会了遵守“自己的本分”。

    妈妈经常提醒,我是神父的女儿,要倍加小心,不可与他人交往,不可信任他人,不可谈论自己的家事。我的本分是要保持谦虚,她曾说:“别人能做的,你却不能。”

    她家很穷。克拉夫蒂娅在成人扫盲组织担任讲师,但工资不足以养家糊口,因为没有配给卡。她们勉强生存,多亏了亚历山大的小额金钱援助,他仍在乔尔莫兹镇从事神父的工作。到1937年8月,亚历山大又一次被捕,10月遭枪决。克拉夫蒂娅和孩子们变卖最后的财物,种植蔬菜,苟延残喘。最终,亚历山大的农民教友送来了援助款——他们曾在集体化运动中得到教会的帮助。

    自从父亲移居至乔尔莫兹镇之后,柳芭只见过他一次。她在1937年6月前曾去拜望,几星期后,他就被捕了。柳芭回忆:“我对宗教的无知让爸爸大为不满,他试图教我古教会斯拉夫语,但我没有兴趣。这是我人生中第一节宗教课,也是最后一节。”经年的压迫促使柳芭逃离自己的家庭背景。她在索利卡姆斯克新学校的第一年,就是反宗教宣传活动的靶子。教师一边指向柳芭,一边告诉其他孩子:如果他们接触宗教,就会变得像她一样糟糕。她回忆,自己老受其他孩子的欺负,陷入了“极端恐惧和歇斯底里”的状态:

    我不敢去上学。母亲和外祖母最终决定,不再带我去教会。她们告诉我,最好只有一种教育,让我相信学校里有关宗教的说法。

    柳芭加入了少先队,自豪地戴上标志着受到接纳的红领巾,成为一名积极分子,甚至参加了1938年反教会的示威游行,所举的横幅上写着“打死所有的神父”。柳芭最终成为一名教师——亚历山大的4个孩子中,3人选择了这个职业。将近50年,她教的是反教会的共产党路线。回首往昔,柳芭充满了悔恨,因为自己背弃了家庭的传统和信仰。 [3] “我总想,如果父亲是一名教师,而不是神父;如果像其他女孩一样,也有父亲伴我长大,我的人生会变得容易许多。” (579) 她弟弟维克多曾在共青团会议上正式背弃父亲,相比之下,柳芭所做的只是在苏维埃社会生存下去的绝对必需之事。

    在“人民公敌”的孩子中间,成为苏维埃积极分子是一条普遍的生存策略。这样做,既可消除自己的软肋所引起的政治猜疑,又可让他们克服自身的恐惧。

    叶丽萨维塔·德利巴什1928年出生于西伯利亚的米努辛斯克城,父母在那里过着流放生活。父亲亚历山大·约西列维奇是列宁格勒印刷工人的儿子,从苏维埃政权的一开始,他就是老布尔什维克和契卡官员。他曾是叶丽萨维塔·德拉布金娜(1917年10月在斯莫尔尼学院找到父亲的那个少女)的伴侣,直到爱上格鲁吉亚低级官员的女儿尼娜·德利巴什,两人在1925年结婚。两年后,他因与政治警察的前雇主发生龃龉而被捕(他1926年离开警察系统,在莫斯科学习经济),流放至西伯利亚,其时已怀上女儿的尼娜跟随而去。1918年,尼娜和女儿先回到苏维埃首都;亚历山大获释后也回到莫斯科,在外贸部任职。1930年,亚历山大再次被捕,判刑10年,被送去高尔基城附近的苏赫贝兹沃德尼劳改营,属于韦特拉戈古拉格系统。同时,尼娜也被捕,流放到西伯利亚一系列的“特殊定居地”,到1932年又返回莫斯科。叶丽萨维塔一直与在列宁格勒的父亲的家人一起生活,偶尔去探望身在流放地或已返回莫斯科的母亲,直到1935年。其时,她和尼娜前去苏赫贝兹沃德尼劳改营,与亚历山大同住。尼娜充任志愿者,一家人住在劳改营,叶丽萨维塔开始上学。到1936年4月,叶丽萨维塔的父母再次双双被捕,亚历山大于1937年5月被枪决;尼娜被判刑10年,先被送去索洛韦茨基劳改营,后枪决于1937年11月。

    父母被捕后,叶丽萨维塔获得苏赫贝兹沃德尼劳改营难友的收留,逃过被送去孤儿院的厄运。那位难友在1936年获释,把她带回列宁格勒。叶丽萨维塔住在不同的亲戚家——先是格列高利叔叔(1937年4月被捕),接着是马戈姑妈(7月被捕),再是赖娅姑妈(8月被捕)。于是远房亲戚将她救出列宁格勒,在把她送给在第比利斯的母亲的家人之前,先让她住在莫斯科附近他们的乡间房子里,以避开内务人民委员会。她在这些亲戚当中转来转去,不清楚他们对警方的担忧,开始觉得自己像是一个没人要的小孩。

    叶丽萨维塔的外祖父母是纯朴的老百姓——外祖父出身于农民家庭,外祖母是商人的女儿——但都受过教育,汲取了第比利斯知识界自由基督徒的价值观。叶丽萨维塔没去上学,只接受外祖母的家教——她在1917年以前,曾任第比利斯中学的教师。外祖父母对清洗不抱任何幻想,直截了当地告诉她,父母是无辜的,是好人,却受到了不公的惩罚。尼娜从索洛韦茨基劳改营给父母写过两次信,特地加上给女儿的安慰和鼓励。她最后一封信写于1937年11月2日被枪决之前,交在了执刑人手里。尽管是非法的,他还是将之付邮了。尼娜写道:“爸爸,妈妈,我就要死去,救救我的女儿。”她还告诉叶丽萨维塔,可在夜晚的天空找到自己的母亲,就在大熊星座的旁边。她写道:“当你看到大熊座,就能想起我,因为我就住在那一片星空。”1937年12月,尼娜的弟弟在第比利斯被捕,尼娜的信件和所有照片随之都遭销毁。 [4] 但最后一封信一直深入叶丽萨维塔的心灵,外祖母给她念了十几次。她回忆道:“我一直在等待,等待我的母亲。即使成年后,我晚上出去,也会寻找大熊星座,思念我的母亲。直到1958年[方才发现母亲已被枪决],我一直视之为她终将回到我身边的象征。”

    舅舅的被捕使叶丽萨维塔留在第比利斯变得危机四伏,此时,大规模的逮捕正席卷格鲁吉亚的首都。她将近10岁,从没进过学校,但在第比利斯,没人愿意收留“人民公敌”的女儿。1938年1月,外祖父母送她上火车,去列宁格勒与大姨妈索尼娅同住。索尼娅任职于基洛夫工厂工会,是党的资深积极分子和坚定的斯大林主义者。在叶丽萨维塔所有的叔舅姑姨当中,索尼娅是大恐怖中唯一没被捕的。叶丽萨维塔回顾那些创伤年代,认为没有真正感受和了解到大恐怖对自己的巨大影响,亲戚们往往不作透露。她到10岁时,已经历了颇不寻常的各式事件——在流放地和劳改营长大,失去父母,避难于十多个不同的家——无论是“正常”的结束,还是“异常”的开始,对她来说都毫无意义。她现在回忆,当时感受到的只是迷惑和沮丧,既含糊又笼统,这植根于“没人要,没人爱”的直观感受。索尼娅的丈夫于1938年1月被捕,姨妈家的公寓因而笼罩着冷峻、紧张的气氛,与外祖父母家的友好热情形成了鲜明的对比,这更加深了叶丽萨维塔的那一直观感受。不久,索尼娅被开除出党,她特地装好一只放有替换衣服和干面包的小包,以备随时可能发生的被捕。叶丽萨维塔越来越内向,生出“对他人的恐惧”。她回忆道:“我害怕每一个人。”她记起一件事,姨妈让她去当地商店买东西,店员找回零钱时多给了5个戈比,她回到家里,姨妈就叫她去退还多找的零钱,并道歉。叶丽萨维塔被吓坏了,不是因为拿了多找的零钱,而是害怕以个人化的方式与售货员(陌生人)交流。

    尽管有丈夫的被捕、几乎所有亲戚遭受的迫害以及自己的被驱逐出党,索尼娅仍是斯大林的坚定支持者。她教导外甥女相信苏维埃报刊上的一切,接受父母有罪的可能。她还声称,她父亲曾属于一个反对派组织,因此被捕,成为“人民公敌”,但尼娜很可能是无辜的。叶丽萨维塔回忆:“索尼娅很少提及我父母,我不敢向她询问父母之事,担心她会说出非议他们的话。我懂得,有关这一主题的谈话是禁止的。”也许索尼娅认为,如果外甥女对自己家庭的命运想得太多,可能会避世绝俗,更加疏离于苏维埃制度。在姨妈的鼓励之下,叶丽萨维塔先加入少先队,再加入共青团。每一次,如索尼娅所规劝的,她都掩饰真相,声称父母被捕于1935年(在清洗“人民公敌”之前)。叶丽萨维塔回顾自己的入团经历:

    我陷入深深的恐惧——好像重又回到父母被捕、自己孤身只影的岁月——我害怕外面的世界,害怕一切的事物和人际关系。我不敢与人接触,唯恐他们问起我的家人。世上最为可怕的,就是在共青团会议上老是提出的出身问题。

    她渐渐克服自己的恐惧,被接受入团更增强了她的信心。她回忆道:“在我生命中,我第一次不再觉得自己像一匹害群之马。”她学习成绩优秀,这让她在同学之间享有真正的权威。她变成积极分子——先当选为学校的共青团书记,后成为她所居住的列宁格勒地区共青团书记。她回首往事时认为,她的积极性救了自己,让自己获得一定程度的主动:

    当我加入共青团,成为“我们”中的一员,当我与同代人打成一片,成为他们的领袖,我就不再害怕了。我可与当局进行谈判,为他们的事业力争。当然,我也是在为自己力争。因为,越显得坚强,就越能抑制自己内心的恐惧。 (580)

    对于在“特殊定居地”和其他流放地长大的“富农”孩子而言,唯有拥抱苏维埃事业,才能克服他们的出身之耻。到20世纪30年代后期,与“富农”父母一起流放的许多孩子已经成年。内务人民委员会收到这些青少年的无数请愿,要求获释,重返苏维埃社会。有些人写了正式声明,背弃自己的家庭。20世纪30年代初,只有很少申诉获得成功:一些“富农”的女儿被允许离开流放地,与享有全部权利的苏维埃公民结婚。除此之外,政府认为“富农”的孩子只会污染社会,降低士气。然而,从1938年的年底起,出现一个大转折,新政策强调“富农”孩子的“重新做人”和恢复名誉。一旦达到16岁,他们就可离开流放地,恢复公民权利——但一定要背弃自己的家庭。 (581)

    德米特里·斯特雷勒兹基就是这样一名“富农”的孩子,他1917年出生于库尔干地区,在集体化运动中,与家人一起流放至乌拉尔北部乔尔莫兹镇附近的“特殊定居地”。德米特里在定居地长大,伴随着“富农”出身所带来的耻辱。他回忆道:“我感觉像一个弃儿,不是一个完整的人。由于父亲的流放,我受到了莫名其妙的玷污,变成了坏人……我并没像敌人一样感到内疚,但总觉得自己低人一等。”教育是他的唯一出路。父亲老是说:“学习呀,学习,孩子们。教育是苏维埃政权可以给你的一件好事。”德米特里学习努力,成为定居地中第一个读完十年级的男孩,1937年因勤奋而加入共青团。他最终被接受为一名平等人,感到“自豪和高兴”,很快成为一名积极分子。德米特里将自己的进步归功于党的理想,视党为更高形式的社区,其成员“公平且优等,洋溢着同志之情谊”,从中能赢得他的救赎。依照父亲的建议,德米特里前去拜访“特殊定居地”的内务人民委员会指挥官,为自己赴大学深造恳求帮助。指挥官涅沃林为人善良,对这位聪明青年的处境感到惋惜。他已经知道德米特里在学校取得的成就,清楚地看出这位青年值得帮助。涅沃林颁发给德米特里一本护照和100卢布——相当于“特殊定居地”每月工资的两倍多,让他随身带上内务人民委员会的推荐信去彼尔姆,帮助他注册成为大学的物理系学生。

    德米特里从未隐瞒自己的“富农”出身。他在入学表格中填写自己的出身,因此受到其他同学的欺负。他最终决定离开,以为越远越好,希望找到一个不受出身影响的学校。他先是就读于斯维尔德洛夫斯克矿业学院,然后搬去更为东部的鄂木斯克,成为农学院学生。但在那里,他的出身仍是一个困扰。到第一学期的第6个星期,系主任告诉德米特里,他必须退学,因为学校已收到驱逐“富农”、神父和其他“社会异己分子”子女的命令。他非常沮丧,决心先去仍有亲戚的库尔干地区。除了返回“特殊定居地”,似乎无路可走。德米特里前去看望他以前的老师——他在赴流放地之前曾是该村校的学生。那位教师还记得他,邀请他回校担任物理教师。德米特里虽没有高等学院的学位,但在实际上,真正必需的资格是熟悉斯大林的党史,即《联共(布)党史简明教程》,这又是德米特里最爱读的书籍。他教了一年书,1939年夏天回去看望仍在乔尔莫兹镇的父母。他从父母的来信中得知,“特殊定居地”的条件有所改善。但出乎意料,比涅沃林严厉的定居地新指挥官却将他逮捕,没收了他的护照,并威胁要把他送进劳教营。再一次,德米特里因自己的优秀成绩而得救。乔尔莫兹镇学校校长记起了他的得意门生,呼吁内务人民委员会手下留情,声称他急需教学人才。于是,德米特里获准留了下来。他在随后两年中任教于定居地学校,直到战争爆发时被征入劳动大军,前去伐木营(1942年4月之前,“富农”的儿子不得参与军队的前线战斗)。

    德米特里即使在苏维埃政权的手中饱受磨难,仍是一名苏维埃爱国者,坚信共产党事业的正义性,亟想成为它的成员。他解释说:“我做梦都想入党。”

    我只想获得平等人的认可,入党就是为此。我绝不是为了职业发展而申请入党的。就我而言,党是诚实和奉献的象征。他们是共产党人,既诚实又正直。我想,我应该名列其中。

    他在1945年提出申请,却遭到拒绝,当时带给他巨大的失望(他60年后重述此事时,仍双手颤抖,情绪激动,哽咽难言)。到1956年后,党改弦易辙,试图吸收曾受斯大林迫害的团体的成员,他才得以加入渴望20多年的平等同伴的行列。 (582)

    季娜伊达·布舒耶娃被判刑8年,在专为收容祖国叛徒妻子的阿克莫林斯克劳改营服刑,地处哈萨克斯坦。5年之后,她从核心的监狱区域调至外围的定居地,那里的条件稍佳,有时可与家人同住。季娜伊达写信给她在莫洛托夫城的母亲。她虽然亟想与女儿团聚,即安吉丽娜和奈莉,但不希望她们承受劳改营的艰辛,“糟蹋她们的人生”。然而,莫洛托夫城挤满了难民,他们来自饱受战火蹂躏的苏维埃领土,长期的饥荒随之发生。像布舒耶夫一样的“人民公敌”,没有食物配给或自留地,更是生活在水深火热之中。季娜伊达的母亲决定,最好让女孩们与母亲团聚。她无法想象劳改营的条件还会比莫洛托夫城更差。

    为了让孩子进入阿克莫林斯克劳改营,先要把她们还给孤儿院。季娜伊达等女儿取得国家收养者的身份,再要求把她们转至劳改营。安吉丽娜和奈莉回到孤儿院3个月,再由外祖母领出,坐火车从莫洛托夫城前往哈萨克斯坦,抵达阿克莫林斯克时,已是1月份的一个傍晚。季娜伊达到火车站迎接,发现她们正坐在上有遮顶的月台躲避暴风雪。她自己身穿棉袄、长裤、毡靴,即囚犯的标准冬衣。其时9岁的奈莉看到母亲,便奔跑过来,双手搂着母亲的脖子。但两岁就与母亲分离的安吉丽娜当时太小,已记不起来。她在恐惧中往后退缩,脱口说:“那不是我的妈妈,那只是身穿冬衣的农民伯伯。”季娜伊达经历了5年的苦役,已失去女性气质的外貌,再也不是安吉丽娜从家庭照片上看到、在脑海中想象的理想母亲。

    阿克莫林斯克劳改营是古拉格系统中专收女犯的最大的3座劳改营之一(其余两个是西伯利亚的托木斯克劳改营和摩尔多瓦共和国的捷姆尼科夫斯基劳改营)。为了满足政权对“人民公敌”妻子监狱的急切需求,它匆匆造成,于1938年1月接收第一批女犯。她们中的大多数,被安置在内务人民委员会控制的孤儿营的前营房。到1941年,估计有1万名妇女在劳改营。像布舒耶娃一样,她们中的大多数从事农活,或在纺织厂制作红军制服。哈萨克斯坦的劳改营,与远北和西伯利亚的相比,条件还算不错。但对阿克莫林斯克劳改营的女犯来说——尤其是那些习惯于舒适生活的苏维埃精英——劳改营生活还是非常艰苦的,特别是在最初几年。一开始,它被定为高度机密的刑事机构,为了开展反“叛徒妻子”的镇压运动,还实施了极具惩罚性的“特殊管理”。监狱的核心区域,大大不同于营房定居地,围上了铁丝网和 望塔,还有牵狼狗巡逻的狱警。女囚们早上4点就要起来上工,睡觉前最后一次点名是在午夜。许多囚犯回忆,狱警们不善于计数,往往要女犯一再起床,以便重新核查。女犯一定要履行工作配额方能领到口粮。如果连续10天完成不了配额,就会被送去“死亡营房”等死。一名前狱警回忆:“每天早上,死者被运走,埋在营房外的万人坑。”对许多囚犯来说,最难忍受的是不得与亲属通信(特殊管理规定)。1939年5月之后,“特殊管理”取消。阿克莫林斯克劳改营改为“普通劳改营”,条件开始有所改善。营房定居地逐步扩大,越来越多的妇女在监狱区域服完刑或因勤劳而获得提早释放,都转至定居地。 [5] 居住条件变得比较容易承受,不再有铁丝网。狱警护送妇女去上工,晚上回来计算人头,除此以外,基本上让她们自管自。在劳改营指挥官谢尔盖·巴里诺夫的鼓励下,定居地的俱乐部有了活泼的文化生活。相对来说,他在人们的记忆中是一个善良正派的人。劳改营的女子当中有不少资深布尔什维克和红军指挥官的妻子和亲人,包括作家、艺术家、演员、歌手,甚至有莫斯科大剧院的独奏家。据阿克莫林斯克劳改营的副指挥官米哈伊尔·尤西佩科说,第一批囚犯中有125名医生、400名合格护士、40名女演员和350名钢琴家。哈萨克斯坦内务人民委员会主管的副手米哈伊尔·施赖德尔,回忆自己访问阿克莫林斯克劳改营时的寝食不安,那里关有太多前同事的妻子,“我又帮不上忙”。劳改营主管向施赖德尔保证,阿克莫林斯克劳改营的囚犯享有良好的条件,但在他眼中,似乎仍是一个“可怕的场所”,与其他古拉格劳改营不相上下,这不是因为客观条件,而是因为有那么多与子女分离的母亲。

    在这一方面,布舒耶夫一家比较幸运。季娜伊达的儿子斯拉瓦,刚到阿克莫林斯克劳改营时被送进了孤儿院,等到母亲调至外围的定居地后回来与她团聚,现在又加上奈莉和安吉丽娜。她们睡在营房内一长列双层的木板床上,安吉丽娜记得:

    其他女室友重新安排床位,让我们占据一个角落,像一个家庭那样生活。我们两人睡在上层,两人睡在下层,再加上一个床头柜和一个角落货架。这都是我们私用的,可以储藏自己的面包和果酱……我们去食堂领饭菜,回来坐在木板床边一起吃……没人会偷我们的东西……我们营房中有4个家庭,各占一个角落,享受些许的隐私。大家都同意,这样的安排很好。

    安吉丽娜和奈莉就读于劳改营学校,甚至加入了劳改营组织的少先队。这是当局鼓励的,为了在“人民公敌”的孩子中培养苏维埃精神。劳改营没有红领巾,所以少先队员只得自制,他们用劳改营中到处都是的像蜂群一样的蚊子的血,来染红一条条棉布。

    然而,阿克莫林斯克劳改营的大多数妇女与家人只有很少的联系。阿克莫林斯克劳改营一旦成为普通劳改营,其囚犯就可依据1939年的古拉格法律与亲友通信:一般囚犯允许每月获得一封信和一个包裹;如是“反革命罪”囚犯,像阿克莫林斯克劳改营大多数妇女一样,允许每3个月获得一封信和一个包裹。但在现实中,收到的信件数量,全取决于狱警的一时兴致、劳改营的内部规矩和劳改营的地理位置(有些劳改营太偏远,根本就收不到任何邮件)。伊娜·盖斯特讲述了如何设法邮寄包裹给身在阿克莫林斯克劳改营的母亲。普通邮局不接受寄去劳改营的包裹,为此而设立了特别投寄站,但又不公布它们的地址(劳改营的存在是苏维埃当局不予承认的),人们不得不依靠监狱外排队中传播的信息。1938年,发自莫斯科的所有邮递都被叫停了,伊娜只好去莫斯科西南100公里之外的莫扎伊斯克镇。她挤在人群中,想方设法将包裹交到一节指定的车厢,该次特别列车专门运载囚犯去哈萨克斯坦。 (586)

    对阿克莫林斯克劳改营的妇女来说,剥夺通信权利无疑是某种形式的酷刑。有时,她们以敢于表达自己的不满而被人传诵。法学家伊利亚·斯拉温的妻子埃斯菲莉·斯拉温娜,1938年抵达阿克莫林斯克劳改营,惊恐地发现大批少女——许多比她16岁的女儿依达还要年轻——不知何故,竟也在劳改营。埃斯菲莉担心,依达可能也已沦入某地的劳改营,但她没有通信权利,全无女儿的音信。事实上,依达在积极应对困境,她在列宁格勒借宿于许多学校里朋友的家,设法寄出包裹,只是没能到达母亲之手。埃斯菲莉因此绝食,这是阿克莫林斯克劳改营抗议的主要方式,其囚犯——大多数是党员,或布尔什维克的妻子——在总体上忠于苏维埃政权,兢兢业业做事,毫无怨言。埃斯菲莉不参与政治,不关心丈夫的法律事务,唯一在意的就是家人。她拒绝进食,因此被关进惩罚区。数星期后,她的身体濒临崩溃,劳改营的行政当局终于同意让她接收家人信件。埃斯菲莉的绝食也许并不是决定性的因素,因为很难想象劳改营当局会在意个别囚犯的死亡。他们本来已在准备把阿克莫林斯克劳改营,由“特殊管理”改为“普通劳改营”,使囚犯有资格收到亲人的信件。当局也有可能考虑到,埃斯菲莉绝食而死可能引起其他囚犯的反应。在通信这个问题上,囚犯情绪已经高涨,兴起了频繁的投诉。劳改营当局让步后没几天,内务人民委员会的列宁格勒总部召来依达,告诉她可以给母亲寄送一个包裹。包裹在1940年初的冬日抵达,当时阿克莫林斯克劳改营中几乎没人收到过信件,更不用说包裹了。埃斯菲莉的胜利使她成为名人,数百名妇女聚集在她的营房,检视她包裹里的珍贵物品,这鼓励了其他囚犯也向劳改营当局提出抗议。 (587)

    随着通信管控的放宽,阿克莫林斯克劳改营的妇女将满腔热情注入自己的信件,往往还附上小礼物,以表达对儿女的爱。阿克莫林斯克劳改营一名囚犯回忆:“我们多么希望孩子拥有我们专为他们制作的小玩意。” (588)

    叶夫根尼是莫斯科高等技术学院校长,被捕于1937年12月(枪决于1938年),其妻子狄娜·延尔逊―格罗佐恩卡娅1938年获刑被送去阿克莫林斯克劳改营,当时他们5岁的女儿格特鲁德和弟弟被姨妈收养。狄娜是一名训练有素的农艺师,在劳改营的农业管理方面是个资深人物——古拉格系统中的“模范囚犯”,担任专家工作,与劳改营当局合作,以换取小小的好处,但在劳改营却是生死攸关的。 (589) 与其他囚犯相比,狄娜允许发送和接收的信件更为频繁。她经常给女儿寄去自己手工制作的小礼物——小衣服、玩具,或是绣有动物的美丽毛巾——格特鲁德非常珍惜,一生不减。她回忆道:“我一直将它留在床上,无论是在学生宿舍,还是我住过的其他场所。在我心中,它等同于我想象中童话般的母亲。她不在身边,我只能构思一个母亲形象,非常善良美丽,只是住得很远。” (590)

    与渴望有一个母亲相对的,是渴望拥有一个孩子,即使是在劳改营。1937年,乌克兰印刷工人哈娃·沃洛维奇21岁,被送去远北地区的劳改营。她感到孤立、孤独,渴望有个自己的孩子,感受孩子的爱带来的喜悦。这是许多女性在劳改营中的渴望,她在充满感慨的回忆录中如此叙述:

    我们对爱、温柔、爱抚的需求如此强烈,甚至达到了精神错乱、以头撞墙、意欲自杀的程度。我们都想要一个孩子——所有人中最亲爱最亲近的,我们甚至愿意为之放弃自己的生命。我克制自己已有相当长的一段时间。但我真是渴望能亲手怀抱的小生命,在孤独、压迫、屈辱的漫长岁月里,又可有所寄托。

    哈娃与一位不愿透露姓名的人发生恋情(“我并没选择他们之中最好的”),生下一个有着金色卷发的小女孩,取名为埃莉诺拉。劳改营没有为母亲准备特别的设施,在哈娃分娩的营房中,3位母亲合住一个小房间。

    臭虫像沙粒一般从天花板和墙壁上纷纷掉落下来,我们整个晚上都用在了从婴儿身上掸走那些臭虫。白天,我们必须出工,找一位当天不用出工的老妇人暂时照看。我们留给婴儿的食物,那些妇女却拿起来,若无其事地放进自己的嘴里。

    当上母亲,给了哈娃一个新的生活目标和信念:

    我既不相信上帝,也不相信魔鬼。但现在有了小孩,我最热切最强烈的希望是要有一个上帝……我向上帝祈祷,如果不会与女儿分离,他可延长我的磨难一百年。我祈祷,我能带着她获释,即使成为一个乞丐或残废。我祈祷,我能将她抚养成人,即使我必须拜倒在人们脚下,以乞求施舍来做到这一点。但上帝没有回应我的祷告。我的宝宝刚刚开始走路,还没听到她咿呀学语、叫出美妙暖心的“妈妈”,我们就在冬天的凛冽寒风中,衣衫褴褛地挤进一个货运车厢,转去“母亲劳改营”。我那胖嘟嘟的金色卷发小天使,很快就变成了苍白的小幽灵,眼睛下生出蓝色阴影,嘴唇上长满疮。

    哈娃先是被安排在伐木队工作,后来去了锯木厂。通过贿赂儿童之家的护士,她获准在规定时间之外前去探望,即早上点名之前和自己的午饭时间。她所发现的令人不安:

    我看到护士早晨叫小孩起床。她们或推或踢,迫使小孩钻出冰冷的床被……她们以拳头推搡,嘴里时不时发出粗鲁的咒骂,脱下小孩的睡衣,用冰凉的水给他们擦洗。娃娃们甚至不敢哭,他们呼哧呼哧地吸气,像个老头一样,间以低沉的嚎叫。这个可怕的嚎叫,来自各张小床,有时竟持续数天。有的小孩大到足以坐起或爬行,就躺在床上,弓起膝盖顶住自己的胃,发出这些奇怪的声音,活像鸽子的咕咕鸣叫。

    一名护士要负责17个小孩,她会找窍门加快工作进度:

    护士从厨房带来一碗热气腾腾的粥,分到单独的盘子。她抓住最近的一个小孩,把他的双手扭向后面,用毛巾绑住,然后开始一勺一勺,将热粥灌进他的喉咙,不留吞咽的时间,像是在填喂小火鸡。

    只有护士自己的孩子,她们才会给予妥善的照顾。哈娃声称,他们是“仅有的能活着看到自由的孩子”。埃莉诺拉生起病来,浑身上下都是瘀青:

    我永远都不会忘记,她如何以瘦小的双手抱住我的脖子,呻吟着:“妈妈,回家!”她还没忘记那个臭虫缠身的贫民窟。在那里,她第一次看到太阳光,与母亲在一起……

    小埃莉诺拉……很快意识到,她对“家”的诉求是徒劳的。我去看她时,她不再伸手要我,甚至会在沉默中转向别处。在她生命的最后一天,当我抱起她时(他们准许我以母乳喂她),她睁大眼睛,盯着远方某处,以弱小的拳头打我的脸,抓咬我的乳房,再手指自己的床。晚上,我背回一捆柴火时,她的小床已经空出。我发现,她赤裸裸地躺在停尸间成人尸体的中间。她在这世界上总共活了1年零4个月,死于1944年3月3日。 (591)

    包含女囚犯的大多数劳改营办有儿童之家。1944年,阿克莫林斯克劳改营的儿童之家,共有400名4岁以下的小孩,几乎百分之百都是在劳改营怀孕出生的。在其他劳改营,有些妇女亟想怀孕,以便脱离艰辛的劳动、分得较好的食物,甚至获得赦免。携带婴儿的妇女获得赦免一事,确有发生, (592) 却并不适用于阿克莫林斯克劳改营的大部分女囚,因为她们犯的是“反革命罪”。她们中的大部分怀孕产子,与上述的另外两种动机也是不相干的。据阿克莫林斯克劳改营的前囚犯说,这400名婴儿中的大多数,都是女囚遭狱警强奸的结果,特别是劳改营副指挥官米哈伊尔·尤西佩科。他在以后的生活中喜欢吹嘘,他“在阿克莫林斯克劳改营,享受了数千美丽的女人,都是倒台的党领导的妻子”。

    女犯和看守之间的性关系,并不总是基于强奸或渴望怀孕。有些女性为了获得狱警的保护而顺从对方的性要求。与一人发生性行为,好过遭多人强奸。在男女混杂的劳改营(但有男区和女区的分隔),女性也与模范囚犯发生性关系,后者的特权地位往往带来较多的食物和衣服,或厨房和办公室的珍贵工作。除了丛林法则,很难解释这些性关系的原因——到底是模范囚犯具有保护、骚扰或威胁女性的力量,抑或是女性的性魅力,女性数量大大低于模范囚犯的——但从女性角度看,她们的动机通常是为了生存。

    叶夫根尼·米赫拉兹是第比利斯歌剧院的总监,于1937年被捕。他的妻子克捷万·奥拉赫拉什维利获刑5年,在阿克莫林斯克劳改营服刑。 [6] 克捷万不知道丈夫的命运(枪决于1937年),也没有两个孩子蒂娜和瓦赫坦的消息。后者在一系列孤儿院长大(成年后又被送去劳改营)。克捷万年轻貌美,在阿克莫林斯克劳改营吸引了众多狱警和古拉格管理人员的注意,包括谢尔盖·德罗兹多夫。她在1942年获释后,便与德罗兹多夫结了婚,他们的儿子尼古拉出生于1944年,合家住在卡拉干达。德罗兹多夫在那里的哈萨克斯坦劳改营管理部门担任官员。

    柳德米拉·康斯坦丁诺娃是纳塔利娅和艾莱娜的母亲,毕业于圣彼得堡的斯莫尔尼贵妇学院。她的第一任丈夫在列宁格勒的普尔科沃天文台担任地震专家,被捕于1936年。柳德米拉被判刑8年,被送去马加丹附近的劳改营。1938年,柳德米拉遇见狱友米哈伊尔·叶菲姆夫。他是一名农民出身的机械师,刚刚服完所谓“流氓罪”的3年刑期(因参与酒后争吵而被捕),但决定留下,成为劳改营的志愿工。他有自己的家,位于官员和狱警的定居地。他对柳德米拉产生了兴趣。起初,她拒绝了他的追求,因为仍在期待总有一天会返回丈夫身边(不知道他已被枪决),重归他们的家。后来柳德米拉因肾脏感染而病倒,米哈伊尔给她送来金钱、情书和食物。柳德米拉并没获得完全康复。随着时间的推移,她慢慢放弃了与丈夫重逢的希望,并假定他已死去。她愈益依赖米哈伊尔,也得到热情的回报。柳德米拉获准离婚(与“人民公敌”离婚很容易)之后便与米哈伊尔结了婚,1945年获释后两人一起定居在顿河畔罗斯托夫城。

    劳改营的妇女不只是向古拉格官员寻求保护。劳改营外的强大保护人,有时也能决定女犯的命运。阿克莫林斯克劳改营中有一名囚犯是电影制片人阿纳托利的前妻柳芭·戈洛夫尼亚。柳芭在1938年4月被捕,判处5年的劳改。4个月之前,她的第二任丈夫鲍里斯·巴别茨基被捕,于1939年遭枪决,他曾是莫斯科国际工人救灾电影厂的主管。柳芭后来以为,她的被捕缘于她曾在内务人民委员会的列宁格勒仓库购买家具(这些家具是从大逮捕受害者的家中没收来的,她感到深深的内疚,离开劳改营后,就将之全部卖掉)。但在事实上,她被捕只是因为她是巴别茨基的妻子。他陷入一个丑闻,导致了苏维埃电影界几十人被捕。格列高利·亚历山德罗夫的电影《快乐伙伴》(Veselye Rebiata),其流行插曲不知何故传到美国,被制成唱片,广受欢迎,导致1937至1938年对国际工人救灾电影厂的间谍指控。

    柳芭被捕时,来自3次不同婚姻的3个孩子被内务人民委员会从她共产国际酒店的公寓带走。柳芭与巴别茨基的儿子阿廖沙才两岁,被送去莫斯科市中心的孤儿院;巴别茨基第一次婚姻的13岁儿子沃利克,以及柳芭与阿纳托利的11岁女儿奥克萨娜,则被内务人民委员会送去古老的达尼洛夫修道院拘留中心。该修道院的许多牢房已挤满孩子,其中一间扣押着奥克萨娜和20名其他女孩。沃利克被带到一个12岁以上孩子的特殊区域,由于已达刑事责任的年龄,将被送去内务人民委员会管理的特殊劳教营。他还做了指纹采集,拍了脸部照片,以建立他的犯罪记录。

    几个星期后,奥克萨娜的父亲阿纳托利·戈洛夫尼亚出现在修道院。奥克萨娜回想起在庭院中看到父亲的一瞬。他身穿皮大衣,背朝着她。即使相隔很远,但她一下子就认出他,并开始从自己的窗口大声叫喊“爸爸!爸爸!”阿纳托利走向大门正要离开,因为拘留中心的主管声称奥克萨娜不在那里。一辆黑色玛丽亚——内务人民委员会用来抓人的臭名昭著的货车——正好从阿纳托利旁边开过,驶出修道院的大门,发动机的噪音盖住了他女儿的呼喊。奥克萨娜变得绝望,意识到这是最后的机会,再一次声嘶力竭地呼喊。这一次,阿纳托利转过了身子。她又继续大叫,并将手伸出窗户的铁窗棂,上下挥舞。阿纳托利抬头扫视大楼,但有那么多的窗户和那么多探视的面孔,戈洛夫尼亚很难找到自己女儿的脸庞,但到最后,凭借他摄影师的眼睛,终于锁定她的所在。他赶回主管的办公室,奥克萨娜很快被传唤到场。她告诉父亲,沃利克也被带到修道院。接她出去相对比较简单,因为在法律上她仍是阿纳托利的孩子。但要拯救已被视作成人的沃利克,又不是阿纳托利自己的孩子,则需要内务人民委员会熟人的帮忙。经过数小时的谈判和几次打电话给卢比扬卡,沃利克终于获释。至于阿廖沙,阿纳托利实在无法找到他的下落。但奥克萨娜记得,内务人民委员会的车把她和沃利克送到修道院之前,曾在某处卸下阿廖沙。她便与父亲沿着她当时离开共产国际酒店后的路线,顺利找到那家孤儿院。奥克萨娜回忆,阿纳托利“走了进去,半小时后重新出现,阿廖沙就在他的手臂中了”。

    3个孩子都在阿纳托利的家中避难,那是莫斯科市中心共用公寓中两个小房间,他与高傲的母亲利季娅·伊万诺夫娜同住。一年后,即1939年9月,沃利克的母亲来找他,两人消失于农村。柳芭的姐姐波利娜将阿廖沙带去巴别茨基在克拉托沃的乡间别墅。他们再加上波利娜的妹妹维拉和父亲,住两个小房间;第三间最大,住着另外一户人家。波利娜在莫斯科工作,有时到阿纳托利的公寓借宿。她两次丧偶,没有自己的孩子,坚忍地承受艰辛的生活。妹妹被捕之后,她被逐出自己的家,并丢掉莫斯科马里剧院的秘书一职;她又去莫斯科剧院博物馆担任客房服务员,工作一段时间之后又被解雇,最终改在工厂里操作机器。

    整整一年,柳芭毫无音信,因为阿克莫林斯克劳改营的“特殊管理”禁止囚犯写信给亲戚。然后在1939年春天,随着“特殊管理”的取消,一封电报送到波利娜手上。她马上给妹妹回信,两人开始了忙碌的信件往来,几乎所有内容都与家事和抚养小孩有关。据奥克萨娜说,她们也提及其他事项,只是隐藏于暗语之中,以避开审查。波利娜一片赤诚,几乎每个星期都给柳芭写信。她寄去金钱、书籍、衣服,以及从杂志上剪下的文章和孩子的照片,尤其是阿廖沙的。

    阿纳托利也写信给柳芭,但并不经常,他的信自有不同的风格。他给她送去金钱、食品包裹、电影放映机手册,让她能学到实用技能。第一年,柳芭在建筑工地上班,搬运木料时摔倒,导致手掌骨折。劳改营指挥官巴里诺夫因此调她去做轻活,在收到阿纳托利的请求后,更允许她管理俱乐部电影院。这并不是柳芭从巴里诺夫那里获得的唯一特权。波利娜因害怕自己被捕,带上阿廖沙逃去了哈萨克斯坦的江布尔城,结果她竟于1942年1月死在那里。远房亲戚把阿廖沙送入孤儿院,然后发电报通知阿克莫林斯克劳改营的柳芭。柳芭获准前往几百公里之外的江布尔城——位于阿克莫林斯克的南部,从孤儿院领出阿廖沙,把他带回阿克莫林斯克劳改营的营房定居地,与自己同住。这对于一个囚犯来说是一个非同寻常的通融,批准请假的巴里诺夫冒了极大的个人风险。很有可能,柳芭的美貌在赢得这些通融时发挥了作用,但她的难友并不认同这样的看法,反而强调阿纳托利·戈洛夫尼亚的影响。阿纳托利在写给柳芭的信件中,明显没有对审查的恐惧(他的许多信件还批评了苏维埃电影当局)。阿纳托利写信表达自己对柳芭的爱,原谅她的离开,恳求她在释放后回到自己身边(“可能不会像你以为的那么久……我相信,如果我向当局提出请求,还是有办法的”)。柳芭此时尚不清楚巴别茨基的命运,便挡住了他的攻势。但阿纳托利不甘罢休,向她介绍自己电影的成功,即《米宁和波扎尔斯基》(Minin and Pozharsky,1939年)和《苏沃洛夫》(Suvorov,1941年),自己获得的大奖(1940年的劳动红旗勋章和1941年的斯大林奖),自己享受的富裕生活,以及自己在克里姆林宫出席的宴会。他打出情感牌,对柳芭强调他们的女儿多么需要她:“我在等你,祈祷你能回来,即使只是为了奥克萨娜。你知道,我不是一个好的父亲,太忙了。我们的女儿已到这样的年龄,特别需要母亲的教导,她在我面前很害羞。”阿纳托利一定知道巴别茨基已不可能再回来。他想让柳芭知道这一点,并试图让她明白最好还是与他在一起。他自己认为,或是想给柳芭这样的印象:只要她愿意回到他身边,他还拥有使她尽快获释的影响力。

    1939年1月,作家康斯坦丁·西蒙诺夫与塞缪尔·拉斯金三个女儿中最小的热尼娅·拉斯金娜结婚。自1936年以来,他们就是文学院的同学,其恋情开始于一年前的春天。其时,西蒙诺夫与另一位同学纳塔利娅·季波特仍在婚姻之中。但那些日子,在莫斯科学生界的波希米亚圈子中,民事婚姻没有太多的实际意义。热尼娅说,西蒙诺夫以一首浪漫诗(即《五页》,最初却是为纳塔利娅写的)开始对她的追求。也许所有的年轻诗人,都会回收利用自己的旧情诗,以发动新的征服。就西蒙诺夫当时与女性的关系而言,这种做法非常典型。他性急,笨拙,很容易坠入爱河,在性经验上颇为青涩。 (600)

    热尼娅小巧玲珑——几乎是袖珍型的,五官精致,但吸引西蒙诺夫的显然还有她的精神素养。她慷慨,耐心,对朋友掏心掏肺,几乎与每一个人都能处得稔熟(继承于父亲的罕见秉性),并以自己的善良影响他人。热尼娅是文学院的学生会秘书。1937年文学院清洗会议中,西蒙诺夫曾举报多尔马托夫斯基,她却勇敢地站出来为两名外国学生辩解——他们太软弱以致不能保护自己——她觉得,他们的作品受到了教职员不公的批评。 (601) 西蒙诺夫吸引热尼娅的究竟是什么,很难确定。但她一旦爱上他,一生不变。毫无疑问,吸引她的有:他的英俊潇洒、他的诗人天赋、他的聪明才智、他的阳刚之气,以及他鹤立鸡群的领导才能。

    婚礼之后8个月,即1939年8月,他们的儿子阿列克谢出世。经过艰难的分娩,热尼娅和阿列克谢一起留在医院隔离病房好几天。西蒙诺夫给热尼娅写信:“我的小宝贝,我非常爱你。我确信,我们生活中的一切都会变得美好。”

    我跟医生谈过,他说一切都很好,小宝宝会慢慢康复。请写信告诉我,你最喜欢我们儿子的哪一方面……今天,我开始写一首新诗。现在起,我每天都要写……我亲爱的,多想听到你的声音,多想看到你无疑是面黄肌瘦的小脸……请问一下,我可否给你送来犹太牛肝酱。 (602)

    他们的儿子出生后不久,西蒙诺夫接受了作为战地记者的第一项任务。《英勇红军报》(Geroicheskaia Krasnoarmeiskaia)派他去蒙古哈勒欣河,报道日本控制的满洲与苏联的冲突。他从苏维埃军队集结之地蒙古写信给热尼娅,随信还送上新诗《照片》:

    我去旅行,没带上你的照片,
    即便没有,只要牵记,仍可见面。
    到第四天,乌拉尔已抛离得很远,
    乌拉尔呀,我不愿让好奇的邻居窥见。

    哈勒欣河战役(在日本被称为“诺门罕事件”),是1932年日本侵略中国东北和建立伪满洲国以来,一直在酝酿的边界战争的大决战。斯大林一直在担忧日本对西伯利亚和蒙古的帝国野心。蒙古在名义上是中国一部分,但从1921年以来,一直处于苏维埃的影响之下。蒙古和日占区之间一旦因边界争议而爆发小规模的冲突,斯大林便派出他的精锐部队:5.7万步兵、集结的炮兵部队、500辆坦克、苏维埃空军的最好飞机,全部听从红军后起之秀格奥尔基·朱可夫将军的指挥。苏维埃军队把关东军从日本坚持的边界哈勒欣河推回到俄国认定的边界诺门罕,即向东挺进了16公里。日本惊讶于密集的红军坦克和炮火,要求于9月16日签订停火协定。苏维埃声称获得了巨大胜利,似乎证实了红军的战无不胜——苏维埃宣传机器的说法。然而,实际情形并不那么鼓舞人心。西蒙诺夫凭亲身经验体察到,苏方的损失远远大于政府所承认的(红军声称死伤共9000人,但实际人数却高达2.4万人,其中7000人阵亡), (604) 凄惨可怕的景象纷至沓来。西蒙诺夫对军事新闻的审查感到沮丧,想通过自己的诗歌来提供较为真实的画面。《坦克》一诗讲述一排苏军士兵,在来之不易的战斗胜利中遭受了重大损失。士兵留下的已遭摧毁的坦克,在诗人眼中,成了他们英勇牺牲的丰碑。西蒙诺夫的政治上司恰好是弗拉基米尔·斯塔夫斯基,他阻止了该诗的发表。他曾是作家协会领导,还在1937年训斥过西蒙诺夫的“反苏”言论。他告诫西蒙诺夫,应该提供对战争的乐观瞻望,来积极配合自己肩负的宣传任务。为此,斯塔夫斯基建议他在结尾处,以一辆全新的坦克来替换已遭摧毁的。 (605)

    与日占区的边界冲突,更加强了斯大林对腹背受敌的恐惧,担心同时卷入反轴心国的两场战争。1939年春季,希特勒的军队开进捷克斯洛伐克,并没受到英国或法国的激烈反对。这两个国家仍在安抚希特勒,在斯大林看来,这无疑是在鼓励纳粹和日本向苏联发起侵略。尽管法国和英国仍在继续与苏维埃政府的谈判,以联手抵抗纳粹对东欧和波罗的海的侵略,但捷克斯洛伐克危机向斯大林显示,西方列强并不真诚行事。整个1939年的春天,英国和法国以波兰不愿让苏维埃军队越界作为借口,拖延与苏维埃的谈判。他们只希望苏联能在外交上阻止纳粹,但还不愿与苏联签署军事协定。与此同时,德国人却向苏维埃政府暗送秋波,因为如要发动计划中的入侵波兰,苏联的中立是不可或缺的。他们提出,把东欧划分成两个势力范围,让苏联获得波兰东部和波罗的海地区。到8月,斯大林不愿再等英法两国。他相信,欧洲战争迫在眉睫,苏联无法抵抗纳粹德国,特别是在那么多苏军驻在满洲的时刻。他认为没有其他选择,只得与希特勒达成协议。1939年8月23日,斯大林与希特勒德国签订了臭名昭著的《苏德互不侵犯条约》,说服他的是那些1939年的突发事件,而不是许多人以为的长远规划。苏维埃领导人认为,该协定提供了喘息的时间,让苏联武装自己,也能在东欧和波罗的海地区创建起有效的缓冲地带。斯大林在两大势力——在他眼中都是反苏的西方资本主义列强和法西斯国家——的交战中保持中立,希望看到这些国家在漫长冲突中相互耗尽,反有可能激起当地的革命(宛如第一次世界大战激起了俄罗斯1917年的革命)。他告诉共产国际:“如果他们打得精彩,相互削弱,我们并不反对[战争]。” (606)

    德国获得了苏维埃的中立,9月1日入侵波兰西部。两天后,英国和法国向德国宣战。不久,按照《苏德互不侵犯条约》中将东欧分为德区和苏区的秘密协议,红军进入波兰东部。苏联进占波兰之后,又开始向波罗的海国家和芬兰施压,要求它们接受领土变更和苏联军事基地的进驻。爱沙尼亚、拉脱维亚和立陶宛决定妥协,签署了《国防互助条约》,让苏联红军占领他们的领土。内务人民委员会的有关部门,伴随入侵的苏维埃军队,实施了相应的逮捕和处决:1.5万波兰战俘和7000名其他囚犯在斯摩棱斯克附近的卡廷森林,遭到内务人民委员会枪决;至少有100万“反苏维埃分子”被逐出波兰和波罗的海地区。芬兰却不愿俯首臣服,拒绝了苏维埃越境设立军事基地的要求。苏维埃在1939年11月向芬兰发动进攻,由于有先前在满洲、波兰、波罗的海的胜利,觉得自己稳操胜券。结果,对芬兰的战争却一再败北。苏维埃军队没做冬季战斗的准备,又无法攻破芬兰的坚强防御。4个月内,12.6万苏军阵亡,近30万苏军受伤。后援大军最终突破芬兰防线,迫使芬兰人求和。 (607)

    对于西蒙诺夫乃至世界各地众多共产主义者来说,《苏德互不侵犯条约》无疑是意识形态上的一大冲击。反法西斯斗争是共产主义团队精神和合理性的基石。西蒙诺夫在20世纪70年代回忆:“我这一代——希特勒1933年上台前后,我们当中刚满18岁的人——始终生活在将与德国开战的等待之中。对我们来说,那场战争开始于1933年,而不是1941年。”就这一代人而言,西班牙内战显得特别重要。一个原因是,他们太年轻,错过了激发他们英雄梦想的俄国内战;另一原因是,他们热切地相信,西班牙内战只是共产主义和法西斯主义之间终极大战的揭幕,大战的高潮将是苏维埃和纳粹德国之间的殊死搏斗。西蒙诺夫回忆:“在哈勒欣河,这场大战不再是虚拟的,不再是我们预料中的未来事件,而是我们亲眼目睹的。”西蒙诺夫听到《苏德互不侵犯条约》的消息时身在蒙古的哈勒欣河,脑海中充满了苏维埃军队与日本军队的血腥战斗。他最初认为,这是一条务实的策略,可以保证德国不会“在我们背后发起致命一击”。他甚至欢迎苏维埃入侵波兰和波罗的海地区,视之为反对德国军事扩张的必要举措。但在道义上,他却感到困惑。他觉得,该协议背叛了欧洲,背叛了共产主义对抗暴君、保护弱者的承诺。他特别不舒服的是意识形态的新秩序:对纳粹德国的批评突然变得不被接受。西蒙诺夫回忆:“他们仍是相同的法西斯分子,但我们再也不能写出或说出对他们的批评。” (608)

    这种内在冲突显现于西蒙诺夫的文学作品,特别是他第一个重要剧本《我城一少年》(A Young Man from Our Town),写于1940年秋天,其时他刚从哈勒欣河返回。该剧讲述一名性情急躁的年轻红军军官,名叫谢尔盖,曾是共青团积极分子,从西班牙内战返回俄罗斯后,又志愿去哈勒欣河参战。《我城一少年》呼吁人们拿起武器,反对法西斯主义,似乎在唤起观众对纳粹德国的敌意。但西蒙诺夫回忆,由于希特勒和斯大林的条约,这些情绪变得不便明确表述出来。1941年3月,该剧在列宁共青团剧院首演,只是让演员在朗读有反德含意的台词时赋予更多情感,以表达他们对该条约的反感。 (609)

    该剧还引出另一冲突,比较私密。主人公的原型是西蒙诺夫在文学院的朋友,即诗人米哈伊尔·卢科宁(1918—1976年),曾参与对芬兰的战争。卢科宁只比西蒙诺夫小3岁,却被认为是不同时代的苏维埃诗人,主要原因是他出生于1917年之后。他出身于无产阶级家庭,身上没有旧文化的印记,即大革命之前的知识分子文化。而西蒙诺夫的同辈,却躲不开这样的标签。西蒙诺夫将卢科宁理想化了:这位年轻诗人,曾在斯大林格勒的拖拉机厂工作,1937年加入文学院,体现了“苏维埃和无产阶级作家”的理想。西蒙诺夫一直以此为自己的努力方向。1939年,西蒙诺夫把《我城一少年》的草稿交给剧作家阿希诺戈诺夫过目,后者喜欢此剧,但认为它的主人公应有一个姓。西蒙诺夫一时有些茫然,不知取什么姓好。阿希诺戈诺夫便问,假如能有选择,西蒙诺夫希望给自己取什么姓。也许阿希诺戈诺夫看出,西蒙诺夫已在主人公身上倾注了自己本想拥有的全部素质。西蒙诺夫没有片刻的犹豫,即刻回答希望自己的姓是卢科宁。基于此,他便以“卢科宁”命名他剧本中的主人公。但卢科宁本人并不高兴:“如果我写关于足球运动员的剧本,把他叫做西蒙诺夫,你会作何感想?” (610)

    《我城一少年》的女主角也有作者的个人偏好,那是特意为瓦伦蒂娜·谢罗娃写的。她是苏维埃银幕和舞台的明星,西蒙诺夫为她神魂颠倒,无可救药。他第一次看到瓦伦蒂娜,是在列宁共青团剧院的演出当中。其时,他从哈勒欣河回来不久,虽然已婚,知道很难赢得她的芳心,但还是向该剧院呈上了《我城一少年》,以图接近瓦伦蒂娜。戏中,女主角是瓦伦蒂娜的再现——不是她现实生活中的形象,而是西蒙诺夫希望她应该展现的形象(信赖他人、有爱心、有耐心、宽容)。剧中的主人公谢尔盖·卢科宁,也是西蒙诺夫希望自己应该展现的形象(比现实中的自己更阳刚、更勇敢、更苏维埃化)。这两个文学形象的原型,即理想中的瓦伦蒂娜和西蒙诺夫,频频出现于他20世纪40年代几乎所有的诗歌、剧本和小说。

    瓦伦蒂娜年轻、漂亮,又是著名的寡妇和电影明星,但有一段易受攻击的秘史。她父亲瓦西里·波洛维克是水利工程师,来自乌克兰东部的哈尔科夫地区。1930年,当时瓦伦蒂娜13岁,瓦西里在工业清洗中于莫斯科被捕,被送进劳改营,之后于1935年获释,到1937年再次被捕,判处8年,在索洛韦茨基劳改营服刑。所有这一切,都得到瓦伦蒂娜母亲的精心掩盖。她是莫斯科卡梅尔尼剧院的著名女演员,瓦伦蒂娜在那里度过童年,扮演过所有重要的小女孩角色。母亲将瓦伦蒂娜的乌克兰的姓“波洛维克”,改成俄罗斯的姓“波洛维科娃”,设法抹去所有乌克兰的痕迹。瓦伦蒂娜从小长大,否认父亲的所有信息(以后几年中,她还声称从小到大从没见过父亲)。直到1959年(他从索洛韦茨基劳改营获释的15年之后),她才鼓起勇气与他见面,而且是出于他的主动。 (611)

    瓦伦蒂娜在1935年加入共青团,很快迷住了该组织领导人亚历山大·科萨尔耶夫。他偏爱年轻女演员是尽人皆知的,又在掌控莫斯科列宁共青团剧院,很容易遂愿。科萨尔耶夫极力推动这位年轻漂亮门生的事业,自己却在共青团领导人的大清洗中落马,被捕于1938年11月(后来被枪决)。斯大林指责他们未能在共青团内部深挖“反革命分子”。科萨尔耶夫被捕前不久,斯大林曾在克里姆林宫宴会中趋前与他碰杯,并在他耳边低语:“叛徒!我要杀了你!”守护神的被捕,使瓦伦蒂娜陷入严重困境,当初因科萨尔耶夫而被抛弃的前男友,妒火中烧,趁机举报她为“反革命”。她被要求出席戏剧工作者联盟的清洗会议,自作解释,并回答父亲被捕一事,为了避免被逐,还必须发表背弃声明。 (612)

    到最后,搭救瓦伦蒂娜的是她的新任丈夫,即著名的飞行员阿纳托利·谢罗夫,她与他相遇于科萨尔耶夫安排的宴会。在苏维埃的英雄神殿中,飞行员的地位非常突出。象征苏联军事实力和进展的尤其是空军,激发许多年轻男子加入军队的也是飞机的魅力。谢罗夫以英俊、利落、健康的“俄罗斯”外貌和完美的无产阶级出身,变成了极富宣传效应的理想人物。他在西班牙内战中的功绩是传奇性的,遇到瓦伦蒂娜时,已是全国闻名的英雄和名人。他是最受尊敬的飞行员之一,深受克里姆林宫的喜爱。第一次见面后的第10天,他们即举行了婚礼,搬进新近腾出的豪华公寓——原属叶戈罗夫元帅,因牵连于图哈切夫斯基公审而被捕。他们享受斯大林精英的奢侈生活,深夜出席克里姆林宫的派对和酒会。但灾难降临于结婚一周年纪念日,阿纳托利在一次空难中丧生,发生事故的细节不甚清楚,只知道谢罗夫和他的战友波利纳·奥西佩科在恶劣天气中低空飞行。两名飞行员获得国家级荣誉,下葬于克里姆林宫墙旁。4个月后,即1939年9月,瓦伦蒂娜产下阿纳托利的儿子,以父亲的名字命名。她作为军事英雄的遗孀,深受苏维埃领导人的保护,有助于她在电影界的崛起。她第一个重要角色,即卖座电影《性格女孩》(A Girl With Character,1939年)中的女主角,是专为她打造的。斯大林也成了她的倾慕者之一,在自己60大寿的克里姆林宫宴会上,特地向两个著名飞行员(阿纳托利·谢罗夫和瓦莱里·契卡洛夫)的遗孀敬酒,她们当时都坐在边远桌子的尾部。然后,斯大林邀请瓦伦蒂娜到自己所在的桌子与他碰杯。她的手颤抖得厉害,以致洒了酒。据瓦伦蒂娜说,斯大林捏了捏她的手,平静地说:“别担心,不要紧。镇静点,谢罗娃同志,我们会支持你的。” (613)

    到1940年夏天,西蒙诺夫爱上瓦伦蒂娜,为她神魂颠倒。但是她保持冷淡,仍沉浸在丈夫去世的悲痛之中——她还有自己的宝贝儿子,也不想鼓励西蒙诺夫这个也有同龄幼儿的已婚者。西蒙诺夫、热尼娅和阿列克谢当时住在祖博夫广场上的拉斯金公寓。热尼娅虽然还没充分觉察丈夫对这位漂亮女演员的激情,但也不可能对他经常不归家视而不见。 (614) 整整一年,他们的婚姻不即不离,西蒙诺夫追求着他的新浪漫,但效果不佳。西蒙诺夫并不是通常吸引瓦伦蒂娜的那种人,他的殷勤献得太辛苦,他过于严肃、枯燥,缺乏她以前的追求者的风度和信心。他们要比西蒙诺夫更为成功,更有权势。在《我城一少年》的第一次彩排中,西蒙诺夫征询谢罗娃对此剧的评论。她当着大家的面说,这只是“一部拙劣的剧本”。即使如此,也阻止不了他的追求。他向她频频赠送礼物,为她量体裁衣创作相关的剧本角色,最重要的是送诗给她,包括回收利用的:

    我去旅行,没带上你的照片,
    相反,我抒写有关你的歌唱。
    我的诗源于内心的悲伤
    想念你
    把你也一起带上……

    他凭借自己的笔,渐渐消磨了她的抵御。但谢罗娃屈服于他的激情,最终答应嫁给他还要等到1943年。其时,他的情诗《等着我吧》,让西蒙诺夫一跃而成苏联最受喜爱的诗人,并在克里姆林宫享有真正的影响力。通过《等着我吧》一诗,西蒙诺夫和谢罗娃变得家喻户晓。该诗激励了千千万万的人,在战争中不畏艰辛,战斗到底。但没人知道他们的婚姻所达成的政治目的,以及被西蒙诺夫抛弃的前妻和幼儿。 (615)

    [1] 他们的父亲帕维尔·布拉特是列宁格勒军事政治学院的政治经济学家,母亲尼娜是工程师兼地质学家。
    [2] 依达接受BBC电影《斯大林之手》(The Hand of Stalin,1989年)的采访。
    [3] 共产主义政权倾塌后,柳芭成为教会的积极成员,出版了有关父亲生涯的书籍[L. 捷丘耶娃,《一名东正教神父的生涯》(Zhizn’pravoslavnogo sviashchennika),彼尔姆,2004年]。
    [4] 叶丽萨维塔没有母亲的照片,直到20世纪90年代初她收到前克格勃档案馆所存的她母亲的档案。
    [5] 战争于1941年6月爆发后,在监狱区域服刑的犯人,被迫继续于营房定居地生活和工作。因此,在1938年获刑3年的囚犯,要等到1945年才能从阿克莫林斯克劳改营获释。
    [6] 贝利亚当时担任格鲁吉亚首都的党领导,亲自给叶夫根尼上刑,并执行枪决。克捷万是登捷时·阿布拉达兹的电影《忏悔》(Repentance,1984年)中克捷万·巴拉泰利的角色原型。

    第六章 “等着我吧”(1941—1945)

    1941年6月,列昂尼德·马赫纳茨在他外祖父母的家里度假,那是在白俄罗斯的克里切耶夫小镇,离苏波边境600公里。那年夏天,莫斯科的气温居高不下,让人窒息。他父母自己无法脱身,便让他离开首都,独身一人来此度假。列昂尼德的父亲弗拉基米尔是莫斯科煤气托拉斯的主管,负责向苏维埃首都供应天然气,由于需要向党领导呈交一份万一发生战争的能源预案,不得不留在莫斯科。外祖父母的房子坐落在克里切耶夫镇的边缘,已能看到厚密的橡木林和广袤的牧场。这是一栋朴实的小木房,在整个苏联西部地区非常普遍,附有养猪的小院和栽满苹果树的花园,房主大都是小农、工人和商贩。

    6月22日的凌晨,星期日,德国庞大的入侵部队向苏联发起总攻击,位于西部边疆的克里切耶夫镇没有任何防御计划,因为苏维埃领导对战争全无准备。像克里切耶夫镇一样的其他城镇,对将临的入侵没有一丝预感。一直到了那天中午,莫洛托夫方才在电台上以嗫嚅的声音宣布开战。之后3天中,电台是克里切耶夫镇唯一有关战争的消息来源。然后在6月26日,没有来自苏维埃当局的任何警报,克里切耶夫镇遭到德国飞机的狂轰滥炸。一场浩劫降临小镇,居民纷纷逃进树林,牛和猪四下狂奔,大街上尸体横陈。

    列昂尼德的母亲玛丽亚,在一片混乱中赶到克里切耶夫镇。她在入侵的第一天离开莫斯科,期望在被德国军队杀死之前救出家人。此时,弗拉基米尔恰好出差,视察列宁格勒地区,要到6月底才能返回莫斯科。所以,玛丽亚只得单枪匹马,设法赶到已在遭受猛烈空袭的斯摩棱斯克,但搭乘不到驶向苏维埃前线的西行列车。玛丽亚只好朝西南方向徒步120公里,4天后抵达克里切耶夫镇,一路上都是反方向撤离的士兵和平民。列昂尼德回忆:“她到达时蓬头垢面,几近全身漆黑,满是灰尘和污垢,因长途跋涉而筋疲力尽。”

    克里切耶夫镇的居民匆匆收拾财物,朝东逃难。第一批逃走的包括该镇将近一半人口的2000名犹太人,他们忧心忡忡于听闻的纳粹暴行。接着出走的是共产党人,对入侵的德军存有同样的恐惧。马赫纳茨一家,作为资深苏维埃官员的亲属,必须尽快逃走。玛丽亚希望丈夫会来找自己,因此耽误了家人的出逃。7月16日,即德军占领克里切耶夫镇的前一天,她仍没有弗拉基米尔的消息,只好先给莫斯科写信,再用马车载上细软,带着列昂尼德和父母沿乡间小路缓慢向东移动,以避开专炸主要公路的德国飞机。她不知道,弗拉基米尔正坐在专职司机的轿车中火速赶来。列昂尼德判断:“他离开斯摩棱斯克,疾驰在公路上,与我们失之交臂时相隔不过几公里。”弗拉基米尔到达克里切耶夫镇时正好看到德军进镇,从索兹河对岸的草地,可看到镇上木屋熊熊燃烧,也能听到尖叫和枪声。他以为家人将遭屠杀,试图过河,徒步前去营救,但受到撤下来的苏维埃军队的拦阻。他猜想,家人可能已经遇难,只好回到莫斯科,没想到第二天就收到了妻子的来信:她会去克里切耶夫镇以东的布良斯克地区,再转去有亲戚可投靠的斯大林格勒。玛丽亚认为,那里会比莫斯科更为安全,因为有传闻说莫斯科很快将落入德军之手。回到莫斯科反而变成了弗拉基米尔的自我毁灭。不久,他因“失败主义言论和散播恐慌”的罪名而被捕,判处劳改10年。他曾与莫斯科煤气托拉斯的同事交谈,言及自己在前线亲眼目睹的混乱。战争爆发后的头几个月里,这样的谈话导致多人被捕,因为苏维埃当局在拼命压制有关军事灾难的消息。莫斯科的内务人民委员会将马赫纳茨的被捕,编造成市主要能源官员的“托派阴谋”,逮捕了数十人。弗拉基米尔很想让妻子知道自己的下落,但要等到秋天——他在赴西伯利亚的漫长旅程中,从火车窗口扔出一封信,上面写有妻子在斯大林格勒的地址。一位农民路过捡起,将之付邮:

    我的亲人们!我还活着,什么都好。客观情况不允许我早点给你们写信。不用为我担心,照顾好你们自己。玛丽亚,我的爱人,你将会很辛苦,但不要放弃希望。我正去西伯利亚,我是无辜的,等我,我会回来的。 (616)

    德国的攻击如此强悍迅猛,把苏维埃军队打得措手不及。斯大林忽略了德国准备入侵的情报,甚至把确认庞大德军在边境集结的最后通报,也当做英国引诱苏联参战的伎俩(竟把带来此条消息的情报人员,当做“英国间谍”拉出去枪毙了)。苏维埃的防御彻底乱了阵脚。《苏德互不侵犯条约》签订之后,苏联的旧防线已被放弃,另在新占领的波罗的海地区匆匆建起的新防线,几乎没有重炮、无线电设备、布雷区,根本挡不住德军先锋的19个装甲师和15个摩托化步兵师。苏维埃增援部队冲向前线,以堵塞豁口,但遭到德军坦克和飞机的沉重打击,制空权早已落入德军之手。到6月28日,即入侵后的第6天,德军以巨大的钳形运动,一方面穿越白俄罗斯,占领苏维埃境内300公里的明斯克;另一方面在北部,穿越立陶宛和拉脱维亚,直逼列宁格勒。

    康斯坦丁·西蒙诺夫亲眼目睹了白俄罗斯阵线的混乱。战争开始时,他作为军报记者,前往第3集团军政治部报到——地处苏波边境的格罗德诺城附近。他搭乘列车在6月26日一早抵达鲍里索夫城,但通向明斯克的铁路线正在遭受狂轰滥炸。西蒙诺夫找到一名司机,用汽车把他送去明斯克,但很快遇上撤退的苏维埃溃军。德国飞机从头顶飞过,以机枪扫射地面上的部队,并朝大路投掷炸弹。士兵们纷纷逃入树林。一名军官站在大路中间叫喊,如果他们不转身,他就要开枪了,但士兵们根本不予理睬。树林里挤满了士兵和平民,尽量躲避盘旋于树林上空、不断朝下扫射的德国飞机。西蒙诺夫自己也险些丧命,一架被击中的德国飞机坠落,撞死他身边好几个人。它飞得如此之低,就在树林之上,他都能看到德国飞行员的脸。天黑之后,他才跌跌撞撞回到大路,找到一名政工人员,“一个胡子拉碴的年轻人,头戴船形帽,身穿冬大衣,不知何故却手持铁锹”。西蒙诺夫介绍自己是记者,打听去往前方总部的方向。该军官说:“什么总部?你没看到这里发生的事?” (617)

    西蒙诺夫随军队一起撤回斯摩棱斯克。一路上都是士兵和平民——妇女、儿童、老人,其中很多是犹太人——全部向东,各种类型的大车,还有背上家当的徒步逃难者。7月初,他经过什克洛夫和奥尔沙——“安静的农村小镇”,住有很多犹太家庭,包括他妻子的亲戚拉斯金家。他在什克洛夫镇停下要水喝,一名惊惶失措的犹太人问他应否逃离。西蒙诺夫劝他们留下,并声称德军抵达什克洛夫镇之前,就会被红军击溃。几天后,德国人占领什克洛夫镇,杀死几乎所有的犹太居民,共约6000名男子、妇女和儿童,枪杀后全部埋入镇外的土坑。7月16日,德国攻下奥尔沙城,着手建立犹太人聚居区。到1943年,那里的大多数犹太人都被运去纳粹死亡集中营。也有一些人设法跑走,加入红军,例如在奥尔沙行医的塞缪尔·拉斯金的弟弟雅可夫。

    西蒙诺夫回顾1941年的灾难事件,逐渐省悟到其根源就在斯大林政权。20世纪50年代,他开始写战争巨著《生者与死者》(The Living and the Dead,1959年)时已经想通,责任都在斯大林——不单是他不了解情况,没在1941年积极备战;更重要的是他的恐怖统治,制造了这么多的恐惧和不信任,以致苏联在自卫中根本无法统一行动。西蒙诺夫当时没看到这一点——他给什克洛夫镇犹太人的建议,便是他相信宣传的确凿证据——但从1942年起,他开始在战争日记(后来成为《生者与死者》的素材)中面对这些令人不安的想法。他越来越清楚,苏维埃军队在1941年的根本缺陷是1937至1938年的军队清洗所营造的气氛。他看到,大恐怖破坏了军官的权威,使他们在作出军事决策、采取主动行动时不愿承担责任,以逃避上级的处罚和在旁监视的政委的举报。他们被动地等待总是姗姗来迟的上级命令,无法随机应变,以改善战场上的军事形势。 (619)

    当然在战争年代(或在1956年“解冻”之前的任何时候),这些想法是不可公之于众的。西蒙诺夫写在日记中的,不可能在红军主要报纸《红星报》上登出,他从1941年7月起担任该报的记者。战争一旦爆发,审查愈益加强。战争开始后第3天,就成立了苏联新闻社(Sovinformbiuro),以控制所有报刊和电台的报道。政府试图向公众隐瞒军事灾难,操控新闻,以鼓舞士气。像西蒙诺夫那样的记者,即使要写前线的挫折,其写出的报道也应有积极和乐观的精神。他们所写出的,几乎总是受到审查员的删减或修改。

    西蒙诺夫当时面临一个特别为难的处境。7月19日,即在德国占领斯摩棱斯克3天后,他抵达莫斯科,成了从白俄罗斯前线返回的第一名记者。首都居民对军事灾难的程度一无所知,为了避免造成恐慌,斯摩棱斯克沦陷的新闻遭到封锁(直到8月13日,苏维埃军队的反攻失败,方才发布这一消息)。莫斯科人不断向西蒙诺夫询问有关军事形势的问题,但他不能如实回答,否则像马赫纳茨一样,就会有“失败主义言论和散播恐慌”的风险。所以,他决定缄口不言,将自己的抑郁深藏心底。他在日记中指出:“与他很亲近的人误以为那是他筋疲力尽的征状”。西蒙诺夫的新闻报道,尝试在他所看到的事件中努力寻找正面意义。他回忆:“要写实际上发生的,似乎是不可能的。不仅因为它不会见报,还因为我的内心”不愿接受如此黑暗的结局,亟想在灾难中找到一丝希望。他所专注的事件,发生于撤回斯摩棱斯克的混乱之中。西蒙诺夫看到两名男子,一名上尉和一名下士,在撤退的人潮面前,反而逆流而上,奔赴前线。他们的排只剩下两人,其余的都已葬身于德军的轰炸。在西蒙诺夫眼中,驱使这两名男子的似乎是先天的爱国义务。随着时间的推移,他从中找到未来苏维埃胜利的种子。 (620)

    苏维埃媒体不能提供任何可靠的消息,谣言满天飞,人们开始恐慌。有人称:政府已经逃离,总参谋部里有叛徒,苏维埃领导已决定放弃莫斯科和列宁格勒。甚至还有传言称,开始于7月中旬的德军对莫斯科的轰炸,其带队人竟是著名的苏维埃飞行员西吉兹蒙德·列瓦涅夫斯基——1937年,他驾驶一架飞机想飞越北极直达美国,却从此销声匿迹。记者韦尔日比茨基在日记中记录了在莫斯科街头与一位充满活力的老人的对话。老人说:“为什么没人在电台上给我们讲话?他们应该有所表示——不管是好是坏。但我们全蒙在鼓里,必须动脑筋自作猜测。”斯大林未在公众场合现身,更加强了这种不确定感。很显然,在战争爆发的最初几天,他经历了某种程度的精神崩溃:把自己锁在乡间别墅,对一切都不感兴趣。他回到克里姆林宫是在7月1日,两天之后,才向全国发表他的第一场战争讲话,其间不时停下喝水,像是处于痛苦之中。斯大林把苏维埃人民称作“我的兄弟姐妹们,我的朋友们”,呼吁他们为“生死攸关的斗争”而团结起来,将之形容为一场“整个苏维埃国家的战争”。这是斯大林第一次以兄弟之间、包罗全民的字眼来界定苏维埃人民,不再提阶级斗争或意识形态。西蒙诺夫回忆该讲话留给自己和前线战士的印象:“已有很长一段时间没人那样与我们讲话了。这些年来,我们因缺乏友谊而深受危害。我记得,那个讲话中,让我们感动得热泪盈眶的是这几个字——‘我的朋友们’。” (621)

    即使斯大林的讲话激奋人心,战争的突然爆发见证了公开评论的大爆炸,其中也有针对苏维埃政权的批评,诱因可能是不确定感,也可能是恐惧的解脱。10月18日,德军离首都仅几英里,韦尔日比茨基在日记中写道:“仅在不久之前,听到如此的对白,肯定会因此走上审讯法庭。”这种不满情绪,多半来自农民和工人。他们所批评的是:对战争准备不足,劳动纪律过于严格,口粮减少,强制征兵,党领导纷纷飞到后方,让普通百姓面对侵略。在战争的头6个月,列宁格勒一半党员飞走。工人的反苏情绪如此强烈,有的甚至期盼德国胜利的前景。战初几个月发生了许多工人的罢工和示威,仿佛标志着向1917年革命氛围的回归。1941年10月,伊万诺沃地区的党领导试图平息示威游行的人群,罢工领袖向工人们高呼:“不要听他们的!他们什么都不知道!他们欺骗我们已经23年了。”在工厂会议上,工人不怕将战争的爆发和前线的失败归罪于共产党人。根据内务人民委员会的监测,许多工人和农民欢迎入侵,因为这会推翻苏维埃政权。普遍认为,害怕德国人的只有犹太人和共产党人。 (622)

    政府向“散播恐慌者”宣战,以对付这公开的反对。数千人因随意谈论前线的战情(“失败主义”)而被捕,许多人被枪决。罗扎·韦托诺夫斯基在开战第3天被捕,被控以叛国罪。她抵达牢房时才发现,她只是因言获罪的众多妇女之一。“这个说,德国军队更为强大;那个说,我们的庄稼收成不好;另一个说,我们像奴隶一样在集体农庄工作。”这些妇女大都是普通的工人和农民。伊琳娜·舍博夫―涅费多维奇,7月30日被捕于列宁格勒。一星期之前,她在疫苗学院的党员同事检举她“制造恐慌和散布谣言”。其实,她所做的只是告诉朋友斯摩棱斯克遭到轰炸,而且她是从苏联新闻社广播那里听来的。她被判处7年,送去哈巴罗夫斯克市附近的劳改营,1946年死在那里。伊琳娜的丈夫和女儿一直不知道她的遭遇,只猜测她死于列宁格勒的轰炸之中。到1994年,他们才获悉她死亡的真相。 (623)

    7月20日,斯摩棱斯克沦陷后,斯大林就任于最高统帅部,委任自己为国防人民委员。他派前国防部长铁木辛哥元帅指挥西线的反攻,以夺回斯摩棱斯克。有一段时间,德军放缓了朝莫斯科的挺进,部分原因是德军重心已转向南方,意在攫取乌克兰的沃土、矿山、工业。希特勒深信经济是胜利的关键,控制这些资源可帮助第三帝国立于不败之地。8月,希特勒集中力量攻克乌克兰,这让红军在斯摩棱斯克——莫斯科的战线获得进展。9月6日,苏维埃军队短暂收复斯摩棱斯克的郊外,但因缺乏基本的军事装备而不得不后撤。在北面,德军在9月25日抵达拉多加湖,有效围困了列宁格勒。希特勒为了保存北方集团军以便发动莫斯科之战,决定对列宁格勒围而不攻,企图饿死它的居民。从严格的军事意义看,直接决定战争命运的是莫斯科和南部的战事,而不是列宁格勒。但作为沙俄帝国和革命的发源地,又作为俄罗斯的欧洲价值和文化的堡垒,列宁格勒具有巨大的象征意义。这有助于解释苏维埃最高司令部的拒绝放弃,以及大多数居民的留守。1941年秋,列宁格勒几乎所有的食品和燃料的供应都被切断(到1944年1月解围,死于疾病或饥饿的也许有100万人,即战前人口的三分之一)。与此同时,德军在南方的挺进也放慢下来,因为苏维埃军队的大部驻扎于此,以保卫乌克兰的工业和食品的丰富资源。德国精心策划的巨大的钳形夹击运动,包围了基辅及其东部腹地,苏维埃军队拼死抵抗数星期,近50万士兵阵亡或被俘。德军终于在9月19日攻克基辅,尽管还有不少巷战。基辅沦陷,列宁格勒被困,希特勒从10月起,开始集中力量前去攻打苏维埃首都。他发誓,莫斯科将被完全摧毁,其遗址将会变成一个人工大湖。 (624)

    由于德军迅速席卷苏联各地,数以百万的家庭各奔东西,不少亲友羁留在沦陷区。入侵开始时,许多儿童仍在夏令营,在德军到达之前赶不回去与家人团聚。几十年后,父母仍想通过公共机构和广告来找到他们。数千名儿童,或在孤儿院,或在全国流浪,或加入儿童帮派或红军组织(据估计,多达2.5万名儿童在战争时期跟随军队一起行军)。

    1941年,尤里·斯特雷勒兹基12岁,生活在列宁格勒的孤儿院。父亲于1937年被捕,母亲流放到列宁格勒和莫斯科之间的维什尼―沃洛察克镇。战争爆发时,孤儿院疏散到高尔基城附近的阿尔扎马斯城。尤里在旅途中跳下火车,擅自跑掉。他不满孤儿院生活,加入了专门偷窃铁路旅客的儿童帮派,很快又产生反感,便去自首。警方把他交给内务人民委员会,他们派他去阿尔扎马斯的军用机场充任学徒。驻扎在那里的工程师,把他当做福星收养,送给他酒和香烟,替他与本单位的姑娘们牵线。1942年的春天,该地20位工程师调到第比利斯,把他也带上了。尤里早就恳求带队的战士们允许自己随行。他知道自己出生于格鲁吉亚首都,只不过家人在他年幼时就离开该市。他还记得,自己还是一个小孩的时候曾去那里探望自己的教父母,而父母被捕后,姐姐又搬去那里与教父母同住。在赴第比利斯的旅程中,战士们把尤里窝藏起来。他没有旅行证件,如被发现,就会被捕。尤里回忆:

    他们待我很好,为了把我带走,冒了很大的风险,但没人抱怨,还让我分吃他们的口粮。他们爱我,怜悯我的无家可归。快到斯大林格勒时,我们的列车被拦下检查。两名内务人民委员会的警卫要求看我的证件,听说没有,就要拘留我。但战士们坚持我是他们中的一员,不愿把我交出去。到最后,这两名警卫同意让我走,代价是100克[伏特加]。

    到了第比利斯,尤里与战士们分手,在城市中乱转,希望能认出教父母的住宅。后来,他去了城市办事处,获得自己出生证的副本,以此作为开端,经过一系列的文件追踪,最终找到教父母。自那以后,尤里、姐姐与身为工程师的教父母得以团聚一处。尤里长大后也成为一名工程师。 (626)

    苏联西部地区的人口疏散也把家庭拆散,撤到后方的共有800万儿童。优先考虑的是从面临德国威胁的各城市抢先运走工业设施,共拆除3000座工厂运去东部——伏尔加河、乌拉尔乃至更远——从1941年6月至12月,共动用100多万节火车车厢,工厂的工人和家属也随设施一起东迁。此外,还有各式机构及其工作人员,例如政府、公共机构、大学、研究院、图书馆、博物馆、剧团和乐队。 (627)

    对于许多家庭而言,疏散一事喜忧参半。纳塔利娅·加巴耶娃11岁那年,从列宁格勒疏散到鄂木斯克城,住在属于艺术家联盟的儿童之家。身为画家的母亲留在列宁格勒,为了就近照顾丈夫谢尔盖。他曾是流放者,现住在列宁格勒附近的夏宫,在农学院工作。1941年,他搬去列宁格勒冬宫的地下室,陪伴已从博物馆退休的年老多病的父亲。另外,他每天还要去遥远的郊区,探视已与父亲离婚的生病的母亲。纳塔利娅回忆自己是一个“被宠坏的少女”,从鄂木斯克给母亲写“吓人的信件”,乞求她来与自己做伴。“我在一封信中甚至威胁,如果母亲不来,就要自己步行回到列宁格勒。”1941年9月,她遂了心愿,母亲赶到鄂木斯克。她是在德军建立封锁线之前逃离列宁格勒的。谢尔盖因她不在身边而饱受苦难。围城的第一周,他就病倒了,他写信给朋友诉说他想看到纳塔利娅的渴望。1941年10月,他本来有机会搭乘最后的航班之一离开列宁格勒,但临时又改变计划。作为父母的唯一支柱,他不忍心自己只身离开。谢尔盖明白,周围的人都已奄奄一息,自己也不会幸存于围城之战。1942年1月1日,他写信告诉他母亲,死前的唯一愿望就是想再看纳塔利娅一眼。5天后,德军炸弹直接命中冬宫,他在空袭中死去。纳塔利娅一生都为父亲的去世而感到愧疚。她觉得,母亲如果留在列宁格勒,有可能帮他存活下来,因此自己也是有责任的。纳塔利娅回忆:“我从小就深受这个问题的折磨:如果父母面临可怕的危险,我的力量只能救出其中之一,我会选择哪一个?我无法回答,尽量从脑海中将之驱逐,但它一再去而复返。” (628)

    玛丽安娜·福尔瑟1941年才4岁,出身于阿尔汉格尔斯克城的知识分子家庭。父亲尼古拉既是艺术家,又是音乐家;母亲维拉·杰美恩是教师,娘家人都是列宁格勒著名的教育家。他们都是囚犯,1929年相遇于索洛韦茨基监狱,又一起流放到阿尔汉格尔斯克;儿子格奥尔基生于1933年,女儿玛丽安娜生于1937年。1941年1月,尼古拉因“反苏维埃煽动”的罪名被捕,判刑10年,被送去阿尔汉格尔斯克附近的劳改营。维拉1942年死于斑疹伤寒。祖母阿纳斯塔西娅·福尔瑟一直在阿尔汉格尔斯克与他们一家同住,便接过照看玛丽安娜和她哥哥的责任。战争的第一年,阿尔汉格尔斯克的粮食供应大幅减少,几成饥荒地区,两个孩子相继病倒。到1942年春天,玛丽安娜饿得十分虚弱,以至于无法行走,夭亡似乎是早晚的事,这让阿纳斯塔西娅实在承受不住。她咨询的医生名叫吉娜·格林讷,是著名的结核病专家,建议她将孙女送给有能力抚养的人家,兴许还能救得一命。一开始,阿纳斯塔西娅拒绝了这个建议,盼望尼古拉早早从劳改营获释。等她发现他已被枪决(1942年9月),才勉强接受了那位医生的建议,将孙女送人,自己带着格奥尔基去投靠西伯利亚伊尔库茨克城的朋友。她写信给列宁格勒的杰美恩家庭:“请原谅我,求你们不要骂我。我把马琳卡[玛丽安娜]送人了,这是救她生命的唯一出路。”阿纳斯塔西娅没有其他选择:玛丽安娜身体太弱,吃不消赴伊尔库茨克的旅程,在阿尔汉格尔斯克又没有其他亲人可以照料。阿纳斯塔西娅与杰美恩家一直保持联系,但因列宁格勒围城,无法向他们移交玛丽安娜。

    收养玛丽安娜的是约瑟夫和奈莉·戈尔登施泰因夫妇,来自乌克兰东南部马里乌波尔城的犹太大家族。约瑟夫是苏维埃空军中的资深共产党人,1942年被派驻阿尔汉格尔斯克。1942年9月底,德军进袭马里乌波尔,约瑟夫飞回去想救出自己的家人,但事与愿违,他反而亲眼目睹了可怕的大屠杀。他走近自家的房子,听到从院子里传出的惨叫声,只能从远处眺望,希特勒的军队将他19个亲属排成队列,包括他的3个孩子,再挨个朝他们的头部开枪。戈尔登施泰因夫妇承受如此惨烈的创伤,亟想身边有个可以疼爱的孩子,甚至是——特别是——像玛丽安娜那样的恹恹病人,他们也愿意给予关爱,助她恢复健康。

    玛丽安娜的外祖母维拉·杰美恩写信给已在伊尔库茨克的阿纳斯塔西娅,询问收养者的名字和地址。但此时发生了一个大错:阿纳斯塔西娅写下的名字不是戈尔登施泰因(Goldenshtein),而是戈尔施泰因(Goldshtein)。等到列宁格勒的围城解除之后,维拉一家便开始寻找玛丽安娜。但戈尔登施泰因夫妇已迁至第比利斯,其在阿尔汉格尔斯克的踪迹均已消失。1946年,格奥尔基返回列宁格勒,决心留下上大学。他只有13岁,太年轻,记不起收养者戈尔登施泰因的真名实姓,也从没向杰美恩一家提及失踪的妹妹。格奥尔基让祖母留在伊尔库茨克,答应会去接她,但事实上他一次也没回去。他的祖母1957年死于当地的残疾人之家。 (629)

    戈尔登施泰因夫妇很善良,把玛丽安娜当做自己女儿一样爱护。他们知道,她的父母作为“人民公敌”被捕,她的父亲已被枪决。为了保护玛丽安娜(也许也为了保护自己),他们决定隐瞒一切,不让玛丽安娜知道生身父母的信息,但鼓励她成为像她父亲一样的音乐家(事实上,她长大后成了教师,像母亲一样)。戈尔登施泰因夫妇属于第比利斯的共产党军事机构,玛丽安娜在这优越环境中长大,接受了它的许多价值和习俗。她始终认为戈尔登施泰因夫妇是自己的父母,称呼他们“妈妈”和“爸爸”。但到11岁左右,她才开始意识到自己曾属于另一个家庭,潜藏于记忆深处的痛苦童年重又浮现。发生于少先队野营中的一起事件,似乎成了催化剂:其他孩子要去森林探险,却把玛丽安娜摒除在外,称她为“弃儿”。玛丽安娜开始慢慢拼凑自己在阿尔汉格尔斯克生活的碎片,但从不向戈尔登施泰因夫妇提及。她越来越感到自己不算“家人”,更把她内心的不满,也许还有她青春期的反叛,归罪于严厉的戈尔登施泰因夫妇,也归罪于她认为将自己抛弃的生身父母。玛丽安娜解释:

    每天晚上,爸爸都会检查我的学校功课。如果不够完美,我就不能上床睡觉……妈妈病得太重,无法保护我,她患了结核病。我13或14岁时,就要做所有的家务……父母生我的气时,我会思忖:如果我住得离阿尔汉格尔斯克不远,就会逃走,去找我的祖母[玛丽安娜不知道她已死去]。父母可能对我不满,但祖母肯定不会对我如此生气。然后,我又会想起,我其实没有真正的父母。这让我哑口无言,欲哭无泪。 (630)

    1941年10月1日,斯大林下令将政府机构,从莫斯科撤到伏尔加河边的古比雪夫城。随着轰炸的日益猛烈,莫斯科市内的恐慌四处蔓延。10月16日,有报道称,德军已突破在维亚济马镇的苏维埃防线,离首都只有几天的行军路程。火车站内外一片丑陋场面,大家都想搭上火车,朝东逃难。韦尔日比茨基报道,有人愿意支付2万卢布搭乘从莫斯科到喀山的汽车。恐慌的部分原因是基于对内战饥荒的记忆,事实上,粮食供应形势迅速变得让人绝望。所有商店前都排着长长的队,并发生广泛的抢劫,连大规模的逮捕都无法遏制。韦尔日比茨基在10月1日的日记中总结了民众的情绪:

    这种乱七八糟、普遍逃亡、偷盗猖獗、头脑中的混乱,究竟是谁造成的?人们谈论此事的公开方式,如在3天之前,肯定会导致他们被捕。排队,长龙般的排队,大家都紧张兮兮,提心吊胆。歇斯底里已从领导蔓延到群众。人们开始想起并计算所有的侮辱、压迫、不公正、官僚的欺凌和阴谋、党员的蔑视和嚣张、好大喜功的命令、剥夺、欺骗、报刊的自吹自擂。听到这一切,真是可怕,人们都在直抒胸臆。充斥着这一类情绪的城市,能坚守得住吗? (631)

    同一天,斯大林发表电台广播,作出坚守莫斯科的承诺,这是决定性的转折点。人们奋起承担首都的防卫,与其说是出于对苏维埃政权的效忠,毋宁说是出于对莫斯科城的爱国主义。莫斯科人仍记得,当时,所有的居民都聚在城市中心——郊区几乎空无一人——似乎是由于自卫的集体冲动,或是共同抗敌的下意识需求。25万平民帮助挖掘壕沟,把食物和药品运上前线,再把负伤的士兵接回自己的家。成千上万的公民志愿军与正规军并肩作战。那些正规军也是临时组合的,既有从白俄罗斯前线撤下的残部,也有一到莫斯科马上参战的西伯利亚援军。在朱可夫将军的领导下,苏军纪律逐渐得到恢复。作为战斗新精神的象征,斯大林决定像往常一样,仍于革命纪念日(11月7日)在红场举行阅兵游行:军队方阵迈步经过列宁陵墓,直接开上前线。据莫斯科指挥官K. R. 西尼洛夫说,那次游行在扭转公众情绪上发挥了关键作用。游行前,他收到的信件大多是失败主义的,很多人想放弃莫斯科,不让居民暴露在危险之中;游行后,人们普遍表达的却是愤慨和反抗。 (632)

    这几星期孤注一掷的战斗决定了战争的结局。11月中旬,德军深深陷入冬季的淤泥和积雪之中,在马不停蹄挺进5个月后业已精疲力竭,俄罗斯的冬季让他们措手不及。他们遭受了入侵以来第一次巨大的人员伤亡。12月,苏维埃发动反攻,到4月,已把德军推回斯摩棱斯克。保卫莫斯科的胜利,大大提升了苏维埃的士气。人们开始对胜利抱有信心,不过,国家仍面临可怕的处境。到1941年底,它一共损失300万兵员,相当于开战时总兵力的一半以上;苏维埃工业的大部分已遭摧毁;仍有9000万苏联公民生活在德军占领区,将近苏维埃战前人口的一半。但莫斯科的生存是至关重要的,希特勒的军队未能攻占苏维埃首都,也就不再有击败苏联的切实的机会。

    西蒙诺夫投入战斗时,胸前口袋装有瓦伦蒂娜·谢罗娃的照片,她的模样紧贴他的心脏。1941年的下半年,瓦伦蒂娜疏散到了斯维尔德洛夫斯克城,他给她寄去一封接一封的情诗。诗人爱上的其实是他在诗歌中想象的女人:

    我想说,你是我的妻子,
    不是因为可以宣称,我拥有你,
    也不是因为我们的真正关系
    长期以来遭人猜疑,众所周知。
    我既不夸奖你的美丽
    也不炫耀你已斩获的名利。
    我心满意足,一名温柔亲密的女子
    悄悄走进我的屋子。

    西蒙诺夫却没写信给自己的妻子。1941年9月,热尼娅·拉斯金娜与儿子阿列克谢、父母塞缪尔和贝尔塔、两位姐姐法尼娅和索尼娅,都疏散到乌拉尔的车里雅宾斯克城。三姐妹在车里雅宾斯克拖拉机厂工作,那是改组转而制造坦克的工厂中最大的,该城因此获得别称“坦克格勒”。索尼娅和热尼娅在采购办事处上班,而法尼娅是规范制订者(负责制订工人的生产目标和报酬率)。拉斯金一家住在两室公寓中的一间,剩下一间住着另外一户人家。法尼娅回忆,房间“虽然局促,但很温暖,相互友好,非常亲切”。西蒙诺夫的父母也疏散到了乌拉尔的莫洛托夫城。与西蒙诺夫不同,他们与热尼娅保持联系,喜欢这个儿媳妇。到12月底,西蒙诺夫得到几天新年假期,他没到车里雅宾斯克或莫洛托夫,却去了附近的斯维尔德洛夫斯克,想拜访瓦伦蒂娜。但她拒绝见面——她即将返回莫斯科——于是,他只好飞到克里米亚,那里刚刚发动了一场主攻,试图从德军手中夺回刻赤半岛。 (634)

    瓦伦蒂娜继续抵制西蒙诺夫的求爱,她的感情另有他属。她似乎与斯大林的儿子瓦西里有短暂的恋情,然后又爱上了战争英雄罗科索夫斯基将军。1942年春天,他俩相遇于莫斯科一家医院,她在作慰问演出,他在疗养战伤。罗科索夫斯基是内战时期的老兵,1937年被捕,1940年获释于布提尔基监狱,与妻女定居在基辅。战争爆发后,他被斯大林召回莫斯科,接过斯摩棱斯克附近第4军团的指挥权,参与了1941年秋天保卫莫斯科的关键战役。基辅被德军占领时,他与妻子失去联系。罗科索夫斯基相信——或愿意去相信——他已是单身,可以展开对谢罗娃的追求。他以为再也不会见到妻子了,但在他与谢罗娃相遇的两个月之后,妻子和女儿在莫斯科出现。原来,德军占领乌克兰首都之前,母女得以逃出基辅。妻子在莫斯科很快听说了丈夫和电影女演员的浪漫邂逅,不过,西蒙诺夫仍然锲而不舍。这段爱情三角关系,已成为苏维埃精英中的八卦传闻,被美其名曰“苏联”(USSR,即谢罗娃、西蒙诺夫、罗科索夫斯基的联盟)。 [1] 罗科索夫斯基的妻子决心阻止丈夫的移情别恋,便向斯大林提出抱怨。后者也不赞成他的重要将领因儿女情长而魂不守舍。1942年7月,斯大林下令罗科索夫斯基接管莫斯科南面的布良斯克方面军,必须全神贯注于战争事务。整个夏季,瓦伦蒂娜试图重温浪漫的旧梦。她已爱上英俊的将军,不顾一切飞到前线前去探望。但因有斯大林的干涉,罗科索夫斯基不愿见她。瓦伦蒂娜省悟到自己对将军的热情将得不到回报,于是对不断赠送礼物和诗歌的西蒙诺夫有所软化。她跟他上床,但仍说不爱他。有时,她还以残忍、侮辱的方式来利用他,甚至曾让他传递自己的情书给身在前线的罗科索夫斯基。 (635)

    其时,西蒙诺夫和瓦伦蒂娜的“浪漫”已变成一连串抒情诗的主题,家喻户晓。甚至在他们的恋情尚未成真时,在苏联人的文学想象中,却已是既成事实。

    这些诗歌中最有名的是《等着我吧》,写于1941年夏季,其时的西蒙诺夫距离赢得瓦伦蒂娜的芳心还很遥远:

    等着我吧——我会回来的。
    只是你要苦苦地等待,
    等到那愁煞人的黄雨
    勾起你的忧伤满怀,
    等到那大雪纷飞,
    等到那酷暑难挨
    等到别人不再把亲人盼望,
    往昔的一切,一古脑儿抛开。
    等到那遥远的他乡
    不再有家书传来,
    等到一起等待的人
    心灰意懒——都已倦怠。

    等着我吧——我会回来的,
    不要祝福那些人平安:
    他们口口声声地说——
    算了吧,等下去也是枉然!
    纵然爱子和慈母认为——
    我已不在人间,
    纵然朋友们等得厌倦,
    在炉火旁围坐,
    啜饮苦酒,把亡魂追荐……

    你可要等下去啊!千万
    不要同他们一起,
    忙着举起酒盏。
    等着我吧——我会回来的:
    死神一次次被我挫败!
    就让那不曾等待我的人
    说我侥幸——感到意外!

    那没有等下去的人不会理解——
    亏了你的苦苦等待,
    在炮火连天的战场上,
    从死神手中,是你把我拯救出来。
    我是怎样死里逃生的,
    只有你和我两个人明白——
    只因为同别人不一样,
    你善于苦苦地等待 [2] 

    西蒙诺夫写出这些情诗,只为瓦伦蒂娜和自己,从没想到发表,因为他心里明白,它们缺乏社会主义现实主义诗歌所必需的“社会价值”。西蒙诺夫在1942年说:“我认为,这些诗句只是我的私事。”但他待在前线战壕时,曾朗诵给其他士兵听。他们或抄写下来,或记在心中,想从诗句中寻找感情上的共鸣,更鼓励西蒙诺夫向《红星报》投稿。1941年12月,西蒙诺夫回到莫斯科,他的几首诗先是在电台播放,再在《真理报》刊出。其中的《等着我吧》,获得了最为广泛的回响。这首诗在报刊上转载数百次,更被士兵和平民誊抄下来,四处流传,竟有了数百万个私人版本。随即,它又成了风行一时的流行歌曲。1942年,西蒙诺夫创作了电影剧本《等着我吧》,由瓦伦蒂娜扮演女主角,各地剧院纷纷推出舞台版本。士兵们将此诗抄写在他们的相簿和笔记本上,或珍藏在自己口袋里,以作护身符。他们还将反复吟唱的叠句,刻在坦克和卡车上,甚至自己的胳膊上。给自己心上人写信,一时找不到合适的词语,就会引用该诗的字句,以表达内心情感。心上人的回信,也会引述同样的承诺。一名女子写给前线的爱人道:“我的宝贝沃洛坚卡,好久没有收到你的来信。但我会等着你,你会回来的。”士兵们模仿《等着我吧》,经常加入自身经历的细节,写出自己的情诗。 (637)

    该诗获得巨大成功,主要原因是它表达了数百万士兵和平民的内心思绪和情感。一边是自己的生存欲望,另一边是与心上人的团聚,这首诗将这两者紧密相连。1942年5月,一队士兵写信给西蒙诺夫:

    每当你的诗在报上出现,我们团就有极大的兴奋。由于报纸的份数有限,我们会把它剪下,抄成副本,相互传诵。我们都想读到你的诗,喜欢讨论你的诗,已把《等着我吧》记在心里,它所表达的正是我们的感受。我们在家乡,都有妻子、未婚妻、女朋友。我们希望,她们会等下去,直到我们凯旋归来。 (638)

    该诗所体现的普世爱情,人人都在设计自己的独特版本——即战争背景下“你和我”的故事。对爱情的向往,只是其中的一半。该诗也提及对离别的妻子和女友的忠贞,士兵们满怀忧虑。许多士兵的歌曲对此表示担心,有一首最流行的,源于女子在男子出征后所吟唱的小曲,却在部队中获得共鸣。士兵一边唱着它,一边上战场:

    我有很多话,想对你说,

    却没吐出一个字。

    你悄悄却坚定地对我耳语:

    “除了我,不爱其他相识!”

    ……

    你去出征,不用担心,

    我会真心待你,

    你将凯旋归来,我的阿兵哥,我将把你紧紧抱在怀里!

    《等着我吧》的各式变奏也强调忠贞。来自乌拉尔的一队士兵唱道:

    我将等你,我亲爱的,

    坚定等待我们的再会。

    我等待,为乌拉尔的冬季,

    也为春天的花开……

    另一版本更添加了新的意境,如传统俄罗斯民歌中的夜莺:

    我等待,知道你会回来。

    来吧,秋天的凄风苦雨,

    我将等你,我甜蜜的夜莺,

    坚信我们的幸福欢愉。 (639)

    士兵们对不忠于前线丈夫的妻子非常苛刻。随着战争的持续,对不忠的疑神疑鬼,给越来越多的家庭带来压力。部分原因是,大多数女子不得不活在战争的现实生活中,够不上苏维埃女子的理想标准(耐心等待的女友和忠诚的妻子),即宣传影片、戏剧、《等着我吧》之类诗歌所塑造的形象。 (640)

    士兵们对不忠之妻的强烈愤慨,西蒙诺夫自己也曾卷涉其中。1943年9月,他隶属于布良斯克方面军的第3军团,其指挥官之一不幸阵亡。几天后,收到一封那位指挥官的妻子的信,来自莫斯科东北部的维丘加镇。她在信中告诉丈夫,她要出走,因为已爱上了别人。士兵打开信,感到应该作答,要西蒙诺夫代为执笔,讲出他们的心声。西蒙诺夫尚未下笔,就被派去前线的另一部门。两个月之后,他在哈尔科夫为《红星报》报道纳粹对犹太人的谋杀,忽然想起自己对士兵的承诺。西蒙诺夫仍有该女子的名字和地址,但决定不直接回信,而是写了一首诗《给维丘加女子的公开信》,让士兵的情绪有广为人知的机会。他向维丘加的党委书记解释,士兵当初曾告诉他如何给这位不忠的妻子回信,他的诗只是列举了他们的原话。 (641)

    我必须通知你

    收件人并没诵吟

    你毫无羞耻

    邮寄出的信。

      

    你丈夫没有收阅此信,

    你粗俗的话语没让他伤心,

    他没有退缩或失去理智,

    他也不后悔前尘。

    ……

    你前夫已经阵亡。

    一切都好,与你新人图存。

    死者不能将多余的话

    写入伤害你的信。

    活着吧,没有畏惧或内疚,

    他写不了,也就没有回音

    他不会从战场赶回你的小镇

    看你携手他人,厌故喜新。 (642)

    诗人玛格丽塔·奥列格说,《等着我吧》以及收在诗集《友与敌》(With You and Without You,1941—1945年)中的其他诗歌,其广受欢迎的关键在于它们以强烈的个人色彩表达了普世感受。西蒙诺夫战时的诗作充满了激情和爱情,这样的诗,苏维埃读者已很少看到。战争爆发之前,公和私一直作为文化和政治上的对立面。20世纪20年代和30年代,以公为本的苏联诗歌界,容不得任何亲密或私人的主题;言必称“我们”的诗歌(在描绘代表苏维埃公民的斯大林时,言必称“他”),均以伟大的集体革命为主题(曼德尔施塔姆甚至宣布,抒情诗已不适合苏维埃艺术,因为新的历史时期,不再对个人命运产生兴趣)。战时的苏维埃文化,却看到了公和私的逐步融合。诗歌变得更加私密,表现个人的主题,谈及人的情感和关系,并给自己带来了新的地位和权威。诗人谢米昂·基尔萨诺夫写道:

    战争不适合赞歌

    其大部也不适合书本,

    但我想,人民需要

    这公开日记本中的精神。

    ——《责任》,1942年

    1944年,瓦伦蒂娜与西蒙诺夫在列宁格勒前线参观

    这种审美转变的第一个重要标志,就是《等着我吧》。它唤出了一个独立于国家之外的私密世界,其创作基于个人感情,却成了千万民众的必需。到处都是战斗的噪音,譬如军官的吆喝和政委的吼叫。但人民需要诗歌,来与自己沉默的情感进行交流;也需要词语,来表达他们心中的悲伤、愤怒、仇恨、恐惧和希望。一队士兵在1945年写信给西蒙诺夫说:“你的诗活在我们的情感当中,教我们如何与人相处,尤其是女子,因此深受我们的喜爱。你独自一人说出了我们内心最深刻的想法和希望。” (643)

    除了对个人的影响,该诗的宣传效用也是显而易见的。像《等着我吧》那样的诗歌,在鼓舞士气的苏维埃运动中是强有力的武器。它们所表达的情感,有助于促进一种原始的爱国主义。它以家庭、同志友谊、爱情为中心,更为民族大团结的苏维埃概念提供了基石。据传,斯大林曾说,《等着我吧》一诗本来只应印两份(“一份给他,一份给她”),但政权很快抓住机会,充分利用该诗的声望。据红军政治部主管亚历山大·谢尔巴科夫说,由于西蒙诺夫的诗人价值,克里姆林宫甚至考虑将他调离危险之地。党领导因为他诗中暗示殉难的一节(其实只是针对瓦伦蒂娜的浪漫姿态)虚惊一场。谢尔巴科夫特地奉命劝他格外小心。《等着我吧》获得成功之后,西蒙诺夫迅速晋升到苏维埃文化机构的顶端。他赢得了1942年的斯大林文学奖,1943年再次夺魁,因而获得莫斯科一套豪华公寓,坐落在列宁格勒公路上(他之前来莫斯科都住在《红星报》编辑部),并且人生第一次雇起了女佣。他变得富裕,因为他的新闻工作和诗歌都有丰厚报酬,他在前线又无处花钱,他的个人开支大多是公费的。只有寄钱给热尼娅当做儿子的赡养费,或资助父母时,才需要动用自己的版权收入。 (644)

    西蒙诺夫的名气和财富愈益上升,在瓦伦蒂娜面前,变得更具吸引力。她一直偏爱有权有势的男人,好为自己的污点履历寻求保护伞。由于西蒙诺夫的鼎助,瓦伦蒂娜获得了多部电影和戏剧的主要角色。到1943年春天,苏维埃报刊经常报道这一对魅力四射的情侣,有时还在前线并肩出现。《等着我吧》中分离两地的恋人,在现实生活中却获得了团圆。对政权来说,这正是鼓舞军队士气的良机,不可错过。但在事实上,两人要到1943年10月才缔结连理。所有证据显示,瓦伦蒂娜同意嫁给西蒙诺夫只是结婚前不久的事。其时,西蒙诺夫仍是热尼娅·拉斯金娜在法律意义上的丈夫(没有离婚记录),不过他俩分离已有3年。婚礼本身是仓促安排的,只有少数客人,包括斯大林的女儿斯韦特兰娜和儿子瓦西里,他们带来斯大林的个人祝福。仪式结束后,西蒙诺夫立即奔赴布良斯克前线。除了两次简短的团聚,这对新婚夫妇在战争结束之前无法看到对方。第一次是在1943年,瓦伦蒂娜上布良斯克前线看望西蒙诺夫;第二次是夫妇俩一起参观列宁格勒附近的前线。即使在战争结束后,瓦伦蒂娜和西蒙诺夫仍然过着相当独立的生活。他们在列宁格勒公路上的大楼里各有自己的公寓和女佣,只不过处于同一层。瓦伦蒂娜开始酗酒,经常在白天喝醉。根据她朋友塔蒂亚娜·奥库涅夫斯卡娅的回忆录,瓦伦蒂娜结婚后郁郁寡欢,全凭饮酒度日(西蒙诺夫趁机让她上床)。人们可能会质疑奥库涅夫斯卡娅回忆录的可靠性,因为她对前夫鲍里斯·戈尔巴塔夫,即西蒙诺夫的密友,抱有深仇大恨,甚至对西蒙诺夫本人也耿耿于怀。 [3] 也有可能,瓦伦蒂娜确实在某一时期——譬如视他为苏维埃文化界中重要人物之时——爱上了西蒙诺夫,她的酗酒自有另外的原委。但毫无疑问,他们的婚姻像是暴风骤雨,远非苏维埃当局向公众宣传的幸福家庭。相互之间有不休的争论,但也有热烈的卿卿我我,至少可在西蒙诺夫从前线写给瓦伦蒂娜的情书和诗歌中看到。但直到1950年玛丽亚出生,他们才有孩子。其时,瓦伦蒂娜已屡屡背叛西蒙诺夫,有过不少外遇。 (645)

    不是每个人都那么喜爱《等着我吧》。有人认为,它太感伤,它的私密情感并不适宜大众的关注, (646) 西蒙诺夫的母亲亚历山德拉就有此感。她的保留态度,一方面出于对瓦伦蒂娜的厌恶和对儿子不愿顾家的反感,另一方面出于她的贵族矜持,反对情感的轻易袒露。她特别在乎诗中的这一句“纵然爱子和慈母认为——我已不在人间”,她认为,这表明作者对她和苏联的其他母亲缺乏尊重。在莫斯科举行的诗歌朗诵会上,西蒙诺夫向坐在前排的瓦伦蒂娜朗诵《等着我吧》,大厅里人山人海,亚历山德拉也身列其中。之后,她在1944年12月从莫洛托夫城写信给儿子:

    基鲁尼亚!我们今天在电话上稍作交谈,更促使我想把这封信写完……因为它包含了我最近兴起的思念和牵挂。你的生活处于这样一种境况,很难跟你进行坦率的交谈。我们坐在专职司机开的汽车里,作断断续续的交流,无法诉说心里话,以及我所感受和思考的东西。但我觉得,仍须努力。

    所以,我亲爱的,我要讲出痛苦的真相,我要告诉你,你的私人生活令我担忧。我当时读到就有此感,之后很长一段时间,更痛苦地忍受这种感觉……那天晚上,我一下子明白了很多……

    在我看来,西蒙诺夫做了一件大事,让青年们走近爱情,以清晰明了的话语谈论爱情,这在我们的文学和诗歌中是全新的。现有的主人公的爱情和生活,都趋向于僵硬刻板……他在创作时,从自己的私密感情中汲取了灵感。但随着谣言的兴起,人们开始变得好奇。那天晚上,大厅中的观众并不是富有思想的人前来聆听和反思,而是一群暴民。他们没有任何迟疑,纷纷站起,争先恐后,为了更清楚地看到“那个女人”——他们打量、评判、羡慕,但并不十分喜欢她。你又让她暴露在这群暴民的面前,替她卸了装。我并不认为她喜欢这样的经历……这些戏剧性的表演,不能弥补你的错误,反而有损于你的形象。我很痛苦地看到,如你近年来所做的,你让这些肮脏的闲人环绕左右。你既找不到自身的力量,也找不到对生活的洞察,来看透他们……你和她,她和你,这是我们过去几年中所听到的……在我看来,这些庸俗的表演中,只有利己主义和任性妄为,并没有真正的爱情。 (647)

    能如此写信的只有母亲,没人能给西蒙诺夫如此严厉、尖锐的训斥。亚历山德拉对“体面”和“正确行止”自有严谨的看法,宛如一名教育家,还会毫不犹豫告诉他人该怎么做。她不赞成儿子与瓦伦蒂娜的婚姻,1944年5月曾写信给丈夫亚历山大,声称“她自私、任性、喜怒无常,我简直无法忍受”。她不喜欢儿子“爬进”苏维埃精英的方式,根据她的祝贺信的口气看来,她也不大在乎他获得的斯大林奖和其他荣誉。她指责他自私,忽略她,对她把他抚养长大所作的牺牲不知感激。亚历山德拉有一种倾向,喜欢加以夸张,像其他母亲一样,也希望从儿子那里得到更多关注,但她的训斥确有道德上的基础。亚历山德拉在一封直白的信中,责备儿子两个月不给自己写信(“然后,突然收到一张两行字的便条,还是你秘书打的字……太不像话了!”[原文]),还指责他只顾自己与瓦伦蒂娜的舒适和幸福,却让她和亚历山大生活在贫困之中:

    我们在车里雅宾斯克城的都是穷人,而你享受的舒适是你自己赚来的。你以前只能从历史书籍,或长大时从我讲述的早年生活中找到这种舒适。那个时候,你的福祉曾是我唯一的快乐。我出生于另一世界,在人生的开初25年[1890—1915年],一直生活在奢侈之中,甚至无需自己穿衣脱衣。然后,我的生活遭到突如其来的摧毁。但我开始了新生活——我要为你着想。我洗刷、烹饪、奔波买东西,整天工作,都是为了你。坦率地说:我认为我的生活水平应有我抚养长大的儿子的一半,应生活在一个舒适的房间,有地方盥洗。这是我此前的付出应得的权利。 (648)

    使她不以为然的主要原因还在于:亚历山德拉一直在记挂热尼娅和她的孙子阿列克谢。阿列克谢体弱多病,定期复发结核病,却遭到父亲的忽视,只能生活在甚少露面的著名父亲的阴影之下。亚历山德拉在1944年写信给西蒙诺夫说:“醒醒吧,基鲁尼亚,你到底怎么了?”

    宽容得体曾是你幼时的标志,现在都到哪里去了?如果只看你在前线的行为,你依然保有。如果看你的私人生活,以及你对本应是最亲近的人的态度,你已弃之如敝屣……阿廖沙[阿列克谢]的幼儿园里有一个男生,他父亲只是一名水手,每天晚上都去接自己的儿子——他只是个普通的男孩。阿廖沙的精神素质正在迅速成长……你只要多关心阿廖沙一点,就可学做一个精神上更为富有的好人……有一天,他从幼儿园回来宣布,他有世界上最好的奶奶,最好的妈妈;然后,思忖片刻后再说:“世界上最好的爸爸。”基鲁尼亚,你的儿子依然相信你,在他可爱的稚嫩心灵中,对爸爸的信任依然存在。他希望有个爸爸,一个真正的爸爸,你还有时间来实现这一愿望。相信自己,我的儿子,就像阿廖沙相信你一样。回归自己,真正体面的自己。相信自己,相信你生命中永远最宝贵的工作,相信一直在爱护、信任你的我们。全神贯注于你的意志——你一直为此感到骄傲。如果想再次成为真实的自己,你现在更需要坚强的意志。 (649)

    如果说在战争期间西蒙诺夫与母亲的关系有所恶化,他与继父亚历山大的关系反倒变得更加密切。亚历山德拉在1944年写信给西蒙诺夫:“看来,在你的心目中,爸爸和我的位置互换了。你对他的爱,超过了你对我的爱。我理解个中的原因——在战争时期,你需要他——我尊重这一选择。” (650) 亚历山大是个军人,所抚养的继子既认真听话,又遵守纪律秩序——那些军人价值是20世纪30年代西蒙诺夫认同斯大林政权的核心。但年轻时的西蒙诺夫,强烈地感受到自己不好的出身,一直以为自己的地位不稳。而在战争时期,论资排辈的标准,与其说是社会出身,毋宁说是对国家的贡献,他因此而在体制中找到了自己的位置。

    对西蒙诺夫来说,投身军旅本身就是惊心动魄的。他在1942年晋升为中校,以优雅潇洒的风度,行使他的权威。作家伊拉克利·安德罗尼科夫记得,他是“一名举止优雅的真正的俄罗斯军官,身穿制服,脚蹬锃亮的皮靴,腰佩手枪,一脸的冷静和自信。他牙齿洁白,面孔黝黑,戴的军帽微微偏向一侧”。战争年月是他一生中最幸福的时光。西蒙诺夫在1942年写道:“我迅速习惯了军装和军人生活,以至于很难想象战后我该做什么。届时,我无须写军事报道,无须上前线,不再有数十个军团中成千上万的朋友。”玛格丽塔·奥列格回忆,他在战争时期疯狂般地忙碌。“他奔赴所有的重要前线,匆匆赶回莫斯科,赶紧写出报道,再赶去最危险的战场。他在莫斯科的时间,永远不超过一天左右,往往只有数小时,足以与朋友一起相聚喝酒。”通过战争岁月,西蒙诺夫变得更加沉着冷静,证实了自己的勇敢,在性方面也信心倍增。他有许多情侣,包括玛琳娜·切奇涅娃——王牌轰炸机飞行员和苏联英雄勋章获得者。据他后来的情侣说,西蒙诺夫对身穿军装的女子情有独钟,喜欢在他缴获来的纳粹旗帜上做爱。

    战争塑造了西蒙诺夫的整个世界观,他的价值观基于军事标准。他后来谈及:“军队像一座学校。在军队服役,让人们一生都记住要履行自己对社会的责任。没有这种严格意义上的责任感,就不能算是一个完整的人。”西蒙诺夫在履行自己职责时,仔细、勤奋,严守规则,几近冷酷无情的地步。他与人交往又会有霸气。在许多方面,他自己的行为模式变成了他的笔下人物,被引进俄罗斯的散文:即聪明的军官,懂得当局命令的内在逻辑,认真付诸实现。战争结束后,他仍倾向于以战争时期的表现来评判他人:

    不要抹黑他人的名字

    但要了解其在黑暗中的行止

    一九四一年的冬天

    给了我们一把真正的标尺

    如你愿意,它将一直有用,

    不可让它滑离我们的手指,

    笔直铁硬的标尺,

    可用来检查他人的百态千姿。 (652)

    西蒙诺夫将这把严厉的标尺应用于卢戈夫斯科伊,即自己的文学院老师,一位富有魅力、曾经鼓舞整整一代人的苏维埃诗人。1941年的一起事件,使卢戈夫斯科伊丢魂失魄。其时,他在前线服役,遇上猛烈的炮轰,撤下后,穿越曾遭袭击的小镇,在被炸毁的家园中碰巧看到数名妇女和儿童支离破散的肢体。卢戈夫斯科伊因此而精神崩溃,被疏散到塔什干城。许多朋友对卢戈夫斯科伊表示同情,包括作家米哈伊尔·布尔加科夫的遗孀艾莱娜·布尔加科娃,力争解除对卢戈夫斯科伊诗歌的禁令(早在1937年即被定为“政治上有害”),但以失败告终。索尼娅和热尼娅·拉斯金娜,也向卢戈夫斯科伊伸出援手,以真挚的感情和友谊给他写信。

    1943年,刚从车里雅宾斯克回到首都的热尼娅写道:“你一定要来莫斯科,这里的人需要你。有需要,大家都会赶来的。我们不是一般外人,而是你的朋友,你总不能拒绝朋友吧。”如果他返回,搬进拉斯金在西夫切夫―弗拉热克大街的公寓,索尼娅甚至允诺与他结婚(“我将以家庭的舒适来簇拥你”),而该公寓的3个小房间已挤进8个人。但西蒙诺夫没有这样的同情,认为卢戈夫斯科伊撤到塔什干,即是懦弱的标志,不再把他算作自己的密友。

    这场战争使西蒙诺夫成为“斯大林主义者”。他开始坚信斯大林,让斯大林成为自己生活的中心;在现政权的政治和军事的等级制度中找到自己的位置;衷心接受现制度的价值观和党的领导。战争爆发时,西蒙诺夫还只是候补党员,1942年转为正式党员。他后来解释说,他入党是为了想在战争事项上享有发言权——认为这是他作为军官的责任——他不认为没有党的领导仍能赢得战争。党本身“就是集体力量,能够在战争条件下,作出必要的决策和牺牲”,他想成为这支力量中的一员。西蒙诺夫认同党,特别是其领导人,甚至让自己留起“斯大林风格”的胡须,头发背梳,嘴叼烟斗。据多尔马托夫斯基说,西蒙诺夫并不抽烟斗,只是把它当成一种“生活方式”。

    西蒙诺夫主要通过写作来为党服务。他是一名优秀的战地记者,至少可与瓦西里·格罗斯曼和伊利亚·爱伦堡平分秋色。格罗斯曼因后来创作的小说,在西方读者中更为知名,例如《生存与命运》(Life and Fate,1980年代在西方出版),也是更为优秀的小说家,可能在道德上表现得更加勇敢。这与一般意义上的勇敢有所不同。西蒙诺夫从没逃避过激烈的战斗,报道了下列1942年的所有主要战役:在刻赤半岛,苏维埃试图从德军手中夺回克里米亚,到了春天反成一场灾难;在布良斯克前线,红军7月丢失沃罗涅日,德军得以推向东南部,攫取乌克兰和顿河的粮食供应,以及高加索的油田;在斯大林格勒,德军在8月发动第一次攻击,为了夺取这座苏维埃据点,投入了激烈的巷战;在高加索北部,德军12月将苏维埃部队推至南部的克拉斯诺达尔城和奥尔忠尼启则。他唯一没作报道的是遭到两年围困的列宁格勒,但他去了摩尔曼斯克和阿尔汉格尔斯克的港口——1942年夏天,西方盟国根据租借法案提供的补给,开始通过英国的船舶抵达那里。

    西蒙诺夫作为一名军人,亲身经历了哈勒欣河的血腥战斗。他既能从士兵的角度,也能从执行上级命令的军官的角度理解战争。他的战争报道以直接观察和人道主义著称,但也欣然接受政权分配的宣传任务。他所有的战争报道,其目的就是要鼓舞士气和加强纪律,培养对斯大林的爱,促进对敌人的恨。他写道,苏维埃爱国军队是为斯大林的荣耀而战。他从敖德萨发出报道:“我们苏维埃军队,依靠铁的纪律和布尔什维克组织,紧密团结起来,给予敌人以沉重的打击。如伟大的斯大林所教导的,他们在战斗中没有恐惧,没有疲惫……为我们的敖德萨!为祖国!为斯大林!”在西蒙诺夫的报道中,斯大林的领导永远是对苏维埃军队的激励和鼓舞。例如他写到一名在斯大林格勒前线遇见的军官:“我们的伟大领袖在莫斯科办公室,指挥我们伟大事业的全部细节。他这位普通上校,因此获得了斯大林的部分天赋和精神。这种想法成了他所有力量的源泉。”1941年11月7日,他在纪念革命纪念日的诗中表达了同样的思想:

    斯大林同志,听到我们了吗?

    大家都清楚,你必然已听见我们。

    在这可怕时刻,既不是儿子,也不是母亲,

    我们记得的第一人就是您。

    西蒙诺夫对斯大林的信念是真诚的,在以后的岁月中他从没表示否认。他在回忆录中承认,他的这首诗将巨大的意义赋予斯大林,但这是他的真实思想,“没有丝毫的夸张”。

    他的战争报道为政权敦促军?队顽强战斗的运动服务。1941年8月,苏维埃防线分崩离析,斯大林颁发无情的第270号命令,指责所有投降或被俘的都是“祖国的叛徒”。好几个高级将领被捕并遭枪决,包括西方面军司令德米特里·巴甫洛夫将军。他曾在战争爆发的最初几周竭尽全力,试图守住阵地,以稳住前线。被俘将士的妻子也是逮捕的对象(甚至连斯大林之子雅可夫的妻子也被捕,被送进劳改营,因为雅可夫于7月被德国人俘虏)。西蒙诺夫接受并在1941年的报道中争辩——苏维埃防线分崩离析是“某些将领的犯罪行为所引起的。他们充其量是一帮懦夫,而在最糟的情况下则可能是德国间谍,枪决也是理所当然的”。他还兜售这样的说法:最勇敢的战士,其阵亡的可能性反而最低——这只是神话一般的宣传,以鼓励军队在几乎注定一死的情境中战斗到底。

    除了向斯大林政权提供直接的服务,西蒙诺夫还在战地报道中追求另一目标,体现在他未发表的笔记和观察心得中,后来用于他伟大的战争小说《生者与死者》。他是一名苏维埃爱国者,又是苏联胜利的坚定信徒,想从人民的行动、思想、情感中找出必将胜利的征兆。他在1941年6月苏维埃撤退的混乱中找到了第一个征兆,那就是两名下级军官逆流而上走回明斯克前线,以寻找自己的上级。西蒙诺夫无法忘怀这一幕——在他眼中,它象征着普通老百姓的爱国主义精神——后来,他想方设法为苏维埃胜利建立民粹主义的构思,写作当中一再返回这一幕。但在当时,他对敦促人民坚持战斗的强制力量仅有模糊的感觉。

    西蒙诺夫1942年9月抵达斯大林格勒,恰好是巷战最激烈的时刻。最后的苏维埃捍卫者留守在北部的工厂区、火车站周围和市中心的小山上。在德军的坦克、大炮、飞机的轰炸下,他们的周围一片瓦砾。苏维埃士兵与德军精锐,争夺每一条街道、每一栋残缺的建筑物。他们的非凡毅力,使西蒙诺夫无比惊讶。德军甚至将他们推回河岸,但苏维埃士兵仍不愿放弃城市,不愿撤退到苏维埃主力集结的伏尔加东岸。正是这一种决心——无法以军队纪律或意识形态来作解释的一种精神——扭转了大决战的局面。

    斯大林格勒防卫委员会主席丘伊亚诺夫在9月16日的日记中,记下所听到的一席对话,一方是新近赶到的增援部队,另一方是撤离燃烧中的城市的一名受伤士兵:

    “城里的情况如何?”[增援部队问伤兵]

    “谁也弄不清。瞧,”他以未受伤的手臂指向伏尔加河——“整座城市都在起火。”

    “为什么烧这么久?”援军惊讶地问。

    “一切都着火了:房屋、工厂、土地,所有的金属都在融化……”

    “那人呢?”

    “人?他们都挺在那里!挺在那里,继续战斗!……”

    苏维埃军队的钢铁决心确实是战争的决定因素,不应作为有意宣传的神话而受到忽视。然而,它的来源却从来没有令人满意的解释。为何这么多苏维埃士兵,全然漠视自己的生命,投入莫斯科、基辅、斯大林格勒和其他苏维埃城市的浴血奋战?

    恐怖和胁迫提供了一部分解释。战前的恐怖制度重新实施,以驱使士兵战斗到底。苏维埃防线分崩离析时,德军正在威胁斯大林格勒。1942年7月28日,斯大林颁布了臭名昭著的第227号命令(不准撤退一步!),要求部队捍卫每一平方米的苏维埃领土,“直到流尽最后一滴血”;“惊惶失措者和懦夫”,如想推卸责任,则要面对最严厉的处罚。 [4] 因此而设立了特殊的阻击单位(zagradotriady),以加强既有的内务人民委员会。他们获得的命令是,监督苏维埃前线的后方,如有迟迟不愿冲锋或企图逃跑的士兵,格杀勿论。在战争期间,约有15.8万名士兵被判处枪决(另有许多士兵遭枪决却并无正式的宣判或死亡记录);约43.6万名士兵入狱;42.2万名士兵要用“自己的鲜血来赎对祖国犯下的罪”,被编入从事最危险任务的特别刑事营,譬如扫雷和向德军防御工事发起攻坚。但第227号命令的作用,以及恐怖制度对军队的整体影响,不应被过分夸大。强制执行该项命令往往是在绝望之时,如斯大林格勒战役。其时,仅在几星期之内,13500名苏维埃士兵遭到枪决。除此之外,指挥官和政工人员经常忽略此项命令。他们从经验中学到,大规模的严厉处罚无助于军队的团结和效率。事实上,此项命令推行之后,军队的逃兵持续增加。斯大林也不得不承认,在激励士兵坚持战斗方面,恐怖手段并不有效,还要开发其他的说服方法。

    向苏维埃人民发出爱国主义呼吁还是卓有成效的。绝大多数苏维埃士兵是农民的儿子,他们效忠的对象不是将毁灭带给农村的斯大林或共产党,而是自己的家园和家人,以及自认的“祖国”。斯大林1941年9月向埃夫里尔·哈里曼指出,俄罗斯人民的拼杀是“为自己的家园,并不是为我们”。为了吸引他们,苏维埃宣传逐渐抛弃苏维埃符号,改用更能影响士兵的俄罗斯母亲的古老形象。因此,在1941至1942年的军事灾难时期,斯大林的画像不再是无处不在(到1943至1945年,他又重新成为国家的头面人物和苏维埃胜利的推动者);苏联国歌原是《国际歌》,现由新国歌取代;新颁发的苏维埃勋章,饰以俄罗斯历史上的军事英雄;教会被授予新生,国家取消了许多战前的政治控制,以交换教会领导人对战争给予精神上的支持。这个政教交融的结果是宗教信仰和苏维埃信念的奇妙组合。记者拉尔夫·帕克曾在莫斯科铁路站看到一名即将奔赴前线的西伯利亚士兵,他在听喇叭里的广播,认出了斯大林的声音,他手上给自己划着十字,嘴里高呼“斯大林!” (659)

    苏维埃宣传还充分利用了仇恨和报复的民心。到1941年冬天,德军的入侵给那么多苏维埃家庭带来苦难,只需煽动一下对敌人的愤慨,就可驱使人们投入战斗。年轻的士兵和人种学者列夫·普什卡廖夫,对红军指战员的文化和信念作了详细的研究。他发现,促使士兵浴血奋战的最重要因素就是对德国人的仇恨,超过其他一切。这种情感的力量如此强大且不可预测——包含了压抑已久的愤怒,所针对的还有战争之前已在承受的痛苦——而宣传机构需要加以巧妙地操控,将它导向外国敌人。诗人可以发挥至关重要的作用,向此项仇恨运动贡献文学才华的有好几位苏维埃作家,西蒙诺夫只是其中之一,此外还有伊利亚·爱伦堡和阿列克谢·苏尔科夫等。在呼吁民众拿起武器投入战斗的宣传中,最有名的诗歌是西蒙诺夫写于1942年7月的《杀死他!》,它基本上重申了第227号命令战斗到死的精神——其时是战争的紧要关头,德军正威胁伏尔加河和高加索。军官向即将投入战斗的士兵朗读此诗,以灌输反抗精神和战斗到底的决心:

    如你珍惜

    敞开胸脯喂你的妈妈,

    她的乳汁早已干涸,

    只能供你的脸颊躺下;

    如你无法忍受噩梦,

    法西斯站在她的身边,

    抽打她布满皱纹的脸庞,

    以手指缠绕她的长辫;

    ……

    如你没有忘记父亲,

    曾用手臂当你的摇篮,

    他曾是一名好战士

    倒毙在喀尔巴阡山的雪原, [5]

    倒毙是为了伏尔加和顿河,

    也为了你未来的家园;

    如你不能忍受噩梦

    他在坟墓中反侧辗转,

    他十字架上的士兵像

    被捣毁在地面

    再由德军踏上一只脚

    全都在你母亲的眼前。

    ……

    那就杀死一个德国人——保证杀死一个!

    尽快杀了他!

    每次看到他,

    每次都要保证杀了他!

    西蒙诺夫的戏剧《俄罗斯人》力争取得同样的效果。它发表于1942年7月底的《真理报》,之后又在苏维埃各地的剧院上演。这出戏非常单薄,却非常及时,其主题——所有俄罗斯人联合起来,同仇敌忾——捕获了当时的反抗情绪(它于1943年赢得斯大林奖)。《星期日泰晤士报》的亚历山大·韦斯,其时正好派驻莫斯科,目睹了莫斯科艺术剧院的演出:

    第3幕结束时,帷幕缓缓下降,至少有10秒钟的死寂,因为那幕戏最后一句台词是:“看,俄罗斯人是怎样死的。”观众席中已有许多妇女在哭泣。 (660)

    胁迫、爱国主义、同仇敌忾,一一发挥了作用。但在士兵的战斗意愿中,最重要的因素也许是对牺牲的崇拜。苏维埃人民以20世纪30年代的心理投入战争。他们生活在频繁的革命斗争中,总被要求为伟大事业作出牺牲,他们已为战争做好准备。如西蒙诺夫所指出的,战争时期的艰辛和匮乏——生活水平急剧下降,家破人亡,日常生活中止——苏联民众已有准备。他们以五年计划的名义,早已承受了这一切。 (661)

    随时准备作出个人牺牲是苏联最重要的武器,尤其在战争第一年,绝对是苏联得以生存的不可或缺的因素。其时,苏联挣扎着,试图从1941年夏天的灾难中恢复过来。普通士兵和平民的英勇行为,以自身的巨大牺牲,来弥补军事指挥的失败和几乎所有权威的瘫痪。“1941年的一代”(出生于1910年代和1920年代早期的人),其牺牲精神尤为壮烈。他们从小就熟知为国奉献一切的苏联英雄:屡破纪录的飞行员、劳动模范、北极勘探者、内战军人和赴西班牙的共产主义斗士。这么多年轻的志愿者效法前人的壮举,踊跃投入战争,将1941年拿起武器的号召,与内战的英勇传统和1928至1932年的五年计划联系起来——那是苏维埃历史上的两大浪漫时期,据称,其时的伟大事业在集体的努力和牺牲下得以实现。诗人大卫·萨莫伊洛夫(1941年21岁时入伍)写道:“内战——属于我们的父辈。五年计划——属于我们的兄长。但1941年的卫国战争——属于我们自己。”许多士兵把自己视作这个连续体的一部分,从中觅得战斗的力量。少尉列昂尼德·库林在1943年写给妹妹的信中说:“我在沿着父亲的脚步走,他死于1919年的内战。”

    他为我的生活而战。现在,我为你的孩子的生活而战……索尼娅,关于死,我想得很多——到底可不可怕?如果你知道,你是为美好的未来和我们的孩子的幸福而死,死就一点也不可怕。但你死前,必须杀掉十几个德国人。 (662)

    从战争的第一天起,1941年的一代就无私奉献,英勇战斗,甚至有点鲁莽,付出了极为可怕的生命代价。出生于1923年的男兵中,只有3%活到了1945年。 [6] 年长的男兵更为谨慎——希望幸存下来。维亚切斯拉夫·康德拉季耶夫出生于1920年,在战争中多次受伤,他回忆起老兵对新兵的帮助:

    他们打得更巧妙,更清醒,不仅自己不会横冲直撞,也会阻拦我们这些新兵的冲动,他们比我们更懂得生命的价值。我就有这样一个保护者,已44岁,经常告诉我,即使在战争中,也必须爱惜自己的生命。 (663)

    丽塔·高根1941年参军时年仅18岁。在红军和游击队服役的妇女共有100万人——相当于所有苏维埃战斗人员的8%(另有更多妇女扮演辅助角色,譬如运输、物资、医疗)——丽塔是其中之一。 (664) 丽塔1923年出生于列奇察的犹太家庭,那是白俄罗斯一座工业小城。她说,她家是“苏维埃式的现代家庭”。父亲是工厂经理,母亲是会计,丽塔和妹妹从小就受“苏维埃时代精神”的熏陶,没有犹太人的习俗、信仰,也不受祖辈的影响。学校、少先队、共青团塑造了丽塔的世界观。她回忆:“我把少先队和共青团视为一种孩子组成的军队,路见不平,就会奋起开展斗争。如果在学校里看到男生欺负女生或小男孩,我会对他很凶,以致他会向老师抱怨。”激励她的精神,来自阿尔卡季·盖达尔的流行儿童读物《铁木儿和他的队伍》(Timur and His Team,1940年)。它讲述一队少年民兵,在莫斯科附近的一个乡间别墅里,帮助守卫奔赴前线的红军军官的家园。铁木儿的故事鼓励了许多青少年的军事抱负,他们在少先队和共青团受到的训练(组织起来的游行、操练、半军事化游戏、纪律严明、服从权威),本来就是参加红军的准备工作,即使是女孩,也不例外。宣传机构推崇苏维埃武装妇女的正面形象,把妇女军事化当做男女平等的标志。

    战争爆发时,丽塔正在读学校的最后一年,她与家人疏散到斯大林格勒,后来在一所学校担任会计。但她亟想参与直接有助于战争的工作,便向当地共青团提出恳求,要上军事学校。但共青团予以拒绝(说她18岁,太年轻),只把她送去一个弹药厂,帮助组装飞机零件。1942年夏天,苏维埃报刊介绍了年轻女志愿者的壮举:她们中很少人曾碰过枪,刚走出校门就担任狙击手和高射炮手,参与斯大林格勒的防御战。丽塔决心以她们为榜样,再次向共青团提出申请,又一次遭到拒绝,被告知要坚守工厂岗位。她回忆:“我气坏了。我自愿参战,还明确表示,时刻准备牺牲自己的生命,却被当做一个小女孩。我跑回家,大哭一场。”丽塔组织了一群年轻的女共青团员,一起离开工厂,申请进入一所军事学校。该校正在培训电报和电台的操作人员,为发起“天王星行动”(Operation Uranus)做准备,即1942年11月针对斯大林格勒周围德军的苏维埃反攻。丽塔分到摩尔斯电码信号员的班级,学完后又与其他女孩一起被派到西南方面军的前线总部——地处斯大林格勒和沃罗涅日的中间。12月下旬,她参与“小土星行动”(Operation Little Saturn)。西南方面军和沃罗涅日方面军的联合部队,突破防线,穿插到驻在顿河的德军的后方。丽塔回忆:“我们在方面军前线总部的直接上级是一个老先生,曾在第一次世界大战中的沙皇军队任职,不知如何应付我们女生,同我们交谈时非常客气,绝无生硬的命令。但他是一流的专家,保护我们免受其他军官的骚扰,那些人只想从我们身上满足性需求。”1943年1月,丽塔驻扎在哈尔科夫附近的前线观测点,没想到德军竟然突袭上来。她想带着无线电设备逃走,第一次品尝到生死搏斗,她近距离打死两名袭击者才得以脱身,但也严重受伤。康复之后,她作为报务员又曾在好几个方面军服务。1944年7月,她在科涅夫元帅的乌克兰第一方面军担任炮手,与利沃夫附近的德军作战,最终在1945年1月,随第57军抵达布达佩斯。

    丽塔反思自己抗击德军的决心,可算作“1941年的一代”的代表:

    我才18岁,刚离开学校,以苏维埃英雄的理想眼光看待世界。他们是为祖国作出巨大贡献的无私先驱,我在书中读到过他们的功勋。这一切如此浪漫!我一点也不清楚战争究竟是什么,只想积极参与,那是英雄的事业……我并不视之为“爱国主义”——只把它当做自己的义务——我可以也应该尽一切努力,来战胜敌人。当然,我也可以留在兵工厂,度过整个战争时期,但我一直希望能够亲临大事件的风口浪尖:这是我从小学到的少先队和共青团的态度。我是一名积极分子……没有想到死亡,所以不怕,因为我在为祖国而战,就像我的苏维埃英雄一样。 (665)

    西蒙诺夫在《日日夜夜》(Days and Nights,1944年)中试图解释的也是这一精神,该小说基于他当年日记所记录的对斯大林格勒战役的观察。在西蒙诺夫看来,促使士兵战斗的既不是恐惧,也不是英雄主义,而是更为本能的东西,与保卫自己的家庭和社区有关。这种感觉因敌人的迫近而愈益强烈,让人们释放出能量和主动性:

    斯大林格勒的防御基本上是一个路障链,连在一起便成了一个大战场;分隔开来,每一个路障又必须依赖自己小团体的众志成城。他们很清楚,必须站稳脚跟,守住阵地。如果德军在某处突破,整条防线都会受到威胁。 (666)

    如斯大林格勒所显示的,如果知道自己浴血奋战是为了什么,自己的命运又与之紧密相连,这样的士兵才是最厉害的。列宁格勒和莫斯科,先后得出了相同的证明,地方爱国主义是强大的动力。如果把一个特定社区和人际关系网的防卫(而不是“苏维埃祖国”的抽象概念)认作苏维埃事业,人们更愿意投入战斗,更愿意牺牲自己。苏维埃的宣传援引了保卫“罗迪纳”(rodina)的概念(即家园,既指地方上的,也指全国性的),旨在充分利用这一情绪。

    战时的民族团结只是一个苏维埃神话。事实上,战争时期的苏维埃社会是内战以来最为分裂的。苏维埃国家加剧了民族分裂,让某些少数民族充当替罪羊,如克里米亚的鞑靼人、车臣人、伏尔加德裔,将他们流放到不受欢迎的地区。战争前,反犹主义基本上处于休眠状态,战争时期反而四下传播,尤其蓬勃发展于希特勒军队的占领地区。那里居民中的大部,直接受到纳粹种族主义宣传的影响。而类似的偏见,又由苏维埃士兵和撤离西部地区的人士带入哈萨克斯坦、中亚、西伯利亚。许多人将斯大林政权的滥权迫害归罪于犹太人,又借用纳粹的宣传,称布尔什维克都是犹太人。据《红星报》主编大卫·奥滕贝格所说,士兵们常说犹太人“推卸自己当兵的责任,逃去后方,在舒适的苏维埃办公室上班”。 (667) 一般来讲,在大众政治意识中,兵役责任的不平等与普遍的不平等逐渐挂起钩来;前线军人和后方“老鼠”之间的鸿沟,更成了民众和精英之间愈益扩大的分歧的焦点。

    虽然没有真正的民族团结,但人民确有团结起来保卫自己的社区。到1941年,400万人志愿参加公民国防。他们自愿挖掘战壕,守护建筑物、桥梁、道路,一旦遭到袭击时,还运输食品和药品上前线,撤回伤者,或直接参战。在莫斯科,公民国防有16.8万名志愿者,来自30多个民族,另有50万人帮助修筑防御工事。在列宁格勒,到1941年9月,已有13.5万男女参加公民国防,另有10.7万名工人参与军事活动。 (668) 他们的爱国主义高涨,却没有获得适当的训练,所以虽然奋勇作战,但在初期战役中死伤惨重。

    对军队的凝聚和战斗力来说,同志友谊也是至关重要的。据军事理论家称,如果自己属于可以信赖的战友团体,即“弟兄们”,士兵往往会在战斗中表现得格外勇敢。 (669) 从1941到1942年,红军伤亡率非常之高,以致其小的战友团体大多历时很短。前线步兵的战斗时间,平均下来不超过数星期,不是阵亡,就是受伤。从1942到1943年,部队开始稳定下来。士兵们发现,相互之间的同志友谊变成了激励他们坚持战斗的决定因素。这些友谊的亲密无间,自然是来自他们共同面临的危险。小团体内的相互信任和支持,又是他们生存的关键。一位士兵给阵亡的战友的未婚妻写信说:“前线生活让人迅速亲近。”

    在前线与他人共度一两天,就会发现他全部的素质和情感。如果是在平民世界,你一年也弄不清。再也没有比前线友谊更深厚的,它牢不可破,甚至死亡本身也无法将之打碎。

    1937年,伊万·布拉金和家人

    退伍军人以理想主义和怀旧之心,回顾战时友谊的亲密无间。他们声称,当时的人有“更宽大的胸怀”,“遵循灵魂行事”,自己不知怎么也变成了“更好的人”。与充满妥协和应急的共产主义制度相比,小团体内的同志友谊仿佛具有更纯真的道德关系和原则。他们经常谈及,从战友团体当中找到了一种“家”的感觉,那是他们战前生活中所缺乏的(之后也渐渐消失了)。 (670)

    到1943年1月,“天王星行动”和“小土星行动”将德军赶回斯大林格勒以西360公里的顿涅茨河,更把其25万先锋部队团团包围。被困的德军,既要抵御他们的苏维埃敌人,又要应付寒冷和饥饿,但仍作出了激烈的抵抗——他们非常害怕变成俘虏——他们损失了一半以上的兵力,最终在2月2日投降。苏维埃人欢呼这次胜利是重大的转折点,大大鼓舞了士气。爱伦堡写道:“在此之前,人们只是对胜利抱有信念。到了现在,已经毫无疑问,胜利有了保障。”苏维埃军队从斯大林格勒,推进到库尔斯克,集中了40%的士兵和四分之三的装甲部队,在7月击败德军的主力。库尔斯克战役决定性地摧毁了德军在苏维埃土地获胜的奢望。红军把士气低落的德军赶向基辅,9月份抵达乌克兰首都郊外,最终在11月6日夺回基辅,恰好赶上第二天莫斯科的革命纪念日庆典。 (671)

    红军指战员的勇气和韧性是苏维埃军事胜利的决定性因素,另一因素是在灾难性的第一年之后红军权力结构的转型。斯大林终于承认,党的干预(他自己就担任最高统帅)使军事指挥的效率降低,最好让指挥官享有一定的自主权。1942年8月,朱可夫被任命为最高副统帅——让斯大林退居幕后,不再掌管军队的日常管理——为党和军队的新关系放出了信号。战略规划和战争运行,逐步从军事委员会的政治家手中,转至总参谋部。后者此时扮演领军角色,只需随时向党领导汇报。政委和其他政工的权力,本是20世纪30年代大清洗的遗产,现在在军事决策过程中受到大幅度的削减,在低层部队中干脆消失,让指挥官掌管一切。军事指挥不再受党的严密控制,发展了全新的自信。自主鼓励了主动,遂造就了一支稳定的军事专家队伍。他们的专业素养,对1943至1945年的胜利是至关重要的,为了加强专业精神,党领导在1943年1月恢复沙皇的肩章制度。那曾是旧政权受人憎恨的符号,摧毁于1917年。同年7月,“长官”的称号也起死回生,以取代一律平等的“同志”称呼。肩章的金穗带从英国进口,英国官员因此而感到愤慨,在他们看来,那是无用的俗艳装饰,但在事实上,金穗带自有它的重要性。 (672) 各式勋章作为对军事专家的奖励,也发挥了利害攸关的作用。从1941到1945年,共有11万枚勋章授予苏维埃军人——相当于美国授出的8倍。战斗结束之后,苏维埃士兵只需等待几天就可领到奖励,而美国士兵往往要等6个月。为了鼓励战功卓著的士兵申请入党,党组织专为军人降低了要求。

    工业经济中的变化也促进了苏维埃的军事复兴。1941至1942年,与敌人相比,红军的装备很差,因此蒙受了巨大损失。到1942至1943年,坦克、飞机、汽车、雷达、电台、火炮、枪支、弹药的生产,都有显著的改善,从而组建了新的坦克师和机械化师,打得更加有效,兵员牺牲更少。苏维埃工业的迅速重组,让计划经济(斯大林制度的基础)获得茁壮成长。没有国家的强制,不可能在如此短促的时间内完成必要的调整。成千上万的工厂和工人被疏散到东部;几乎所有的工业生产都面向军事需求;或建新铁路,或作新调度,将东部的新工业基地与军事前线连接起来;工厂实施戒严法,以加强劳动纪律和提高生产力。新颁布的工作纪律,严厉惩罚疏忽、旷工、擅自离岗、迟到(上班迟到20分钟以上就算“劳动战线的逃兵”)。战争年代,法庭判定的这些罪行竟高达750万件。 (673) 大多数工厂内,每周工作70小时已成常态。由于担心早上迟到,许多工人干脆都在工厂吃睡。实施综合的配给制度,既可降低成本,又可保证人们坚守工作岗位(要在那里领口粮)。最后,通过大规模的逮捕,动员庞大的古拉格劳工队伍,以提供国家急需的燃料和原料。

    在苏维埃的战争努力中,最不为人所知的是所谓的“劳动大军”(trudovaia armiia),所征入的人数超过100万,执行自由劳工不愿做的各项任务。官方文件从来不提“劳动大军”,只委婉谈及“劳工服务”和“劳工储备”。这两个词掩盖了背后的强制特征,其实他们就是无偿劳工,其处境等同于古拉格囚犯。他们在狱警看管下列队出工,从事同样的苦力(采伐林木、建筑、车间劳作、农活)。与古拉格囚犯不同,劳动大军中很多人从没经过法庭的逮捕或判刑。其中的大多数只是被驱逐的少数民族,遭到内务人民委员会和军队的围捕。尤其是苏维埃德裔,战争一爆发,就被从伏尔加河地区流放到西伯利亚和哈萨克斯坦。劳动大军也包括大量的克里米亚鞑靼人、车臣人、卡尔梅克人、芬兰人、罗马尼亚人、匈牙利人和朝鲜人。

    鲁道夫·戈特曼1922年出生于克里米亚的路德教德裔家庭。戈特曼一家被定为“富农”,1931年流放去了阿尔汉格尔斯克城附近的荒野。战争爆发时,内务人民委员会把鲁道夫当做“德国人”抓起来(事实上他祖先自1831年以来,一直住在俄罗斯),再送到顿巴斯的煤矿。在那里,他被征入劳动大军,与100名来自“德国人”家庭的年轻男子,前去乌拉尔北部的索利卡姆斯克食品加工厂。1942年秋天,他们改赴附近的伐木劳改营,从事伐木工作,晚上睡在营房木椅上,只有极少量的口粮。由于要在严寒中工作,第一个冬天就有超过一半的劳动大军成员死去。监管他们的内务人民委员会狱警,对“德国”男孩毫不手软,斥责他们为“法西斯败类”。鲁道夫因受伤被送去医院,反而捡得一条小命,否则肯定会死于体力耗尽。在之后的14年中,他一直留在劳动大军,曾在工厂、苏维埃农庄、建筑工地工作,甚至奔赴高加索地区,为斯大林、莫洛托夫、贝利亚建造乡间别墅。1948年之前,他没有得到任何报酬,也不准离开劳动大军;直到1956年古拉格囚犯获得普遍大赦,他也沾上了光。 (674)

    征入劳动大军的不只是“非俄罗斯人”,原“富农”也在劫难逃。伊万·布拉金来自乌拉尔的苏克孙地区,1943年秋天被动员加入劳动大军。10年前,他作为“富农”流放到“特殊定居地”,附属于彼尔姆附近的克拉斯诺卡姆斯克纸浆造纸厂。伊万因工厂的化学溶剂几乎失明,又因风湿病而几近瘫痪,却被送去科特拉斯城附近的伐木劳改营。他在造纸厂工作,因没领到足量的口粮而有所抱怨,却因此受到惩罚,被征入劳动大军。但他无法适应伐木劳改营的重活(几乎看不清要伐的树木),很快在严寒中病倒。他给在克拉斯诺卡姆斯克的家人写信说:“我的腿肿得厉害,都穿不上裤子了。”劳改营的食物很糟,不足以维持他的体力,工作又非常辛苦。1943年秋季的一天,伊万实在筋疲力尽,瘫倒在地,被送去医院。他在那里慢慢恢复,1944年1月写信告诉家人,他的双脚终于显示出“生命迹象”。他希望很快出院,作为一个伤残病人,他将能获准回家。但从科特拉斯劳改营到1000公里之遥的苏克孙地区,冬季的旅程太危险了。伊万害怕在春天之前动身,担心万一他“因寒冷空气而头晕目眩,倒在冰上”。但他下了决心,一旦体力恢复,就要跋涉回家。“我只需一双大毡靴就能回家。”伊万1944年2月从劳改营获释,根本不宜开始漫长的旅途。他再没回到家,离开医院仅几百米,脚下一滑,就在结冰的路面上倒下冻死了。 (675)

    古拉格劳工也在战时经济中发挥了重要作用,他们生产了苏维埃弹药的15%、大部分军服和大量粮食。从1941到1943年,劳改营人口有所下降,因为50万名囚犯获释,奔赴前线参战以“赎罪”;但从1943年底起,又有大幅增加,因为苏维埃军队挺进德军放弃的领土,内务人民委员会紧随在后,逮捕了几十万涉嫌投敌者和反苏民族主义叛乱者。战争期间,对古拉格劳工的剥削愈益酷烈。在采矿和伐木劳改营,为增加燃料的供应,囚犯们被驱赶到了死亡边缘,其口粮又降到最低限度。1942年,古拉格劳改营的死亡率达到惊人的25%——换言之,这一年每4个古拉格工人当中就有1人死去。 (676)

    除了伐木劳改营和矿区,一种新型古拉格经济在战争时期获得蓬勃发展。内务人民委员会掌控了大型工业区(古拉格城市),其中的工厂和建筑工地长期配备囚犯劳工。地处北极圈的诺里尔斯克综合企业,就是新型古拉格经济的一个典例。那里镍、铂、铜的储量非常巨大,早在20世纪20年代就被地质学家发现。但要到1930年,工业化使珍贵矿石变得必不可少,才完成第一次大勘探。诺里尔斯克拥有世界上已知镍储量(用于生产高级钢材)的四分之一、已知铂储量的三分之一。由于有大量煤炭可用作冶炼和运去喀拉海的能源,该区的自然条件非常有利于开采和加工矿石。另一方面,该区几乎无法居住,冬季气温能下降到摄氏零下45度,暴风雪持续不停,一年中倒有数月暗无天日。到夏季,地面变成沼泽,蚊子肆虐,奔赴诺里尔斯克的没有一个是自愿的。

    1935年,该区的发展移交给内务人民委员会的古拉格管理部门。该部门专门在偏远地区管理大型的建设项目,尤其是民用部委不愿经营的(负责冶金的重工业部拒绝接受诺里尔斯克项目),名气越来越大。诺里尔斯克劳改营和采矿综合企业,刚开始有1200名古拉格囚犯,挖掘冻土时只用手镐和推车。到1939年,尽管更多的人在同一时期死去,囚犯人数仍上升到1万人。但莫斯科的古拉格管理部门,仍对进展的缓慢表示不满。1939年,诺里尔斯克的首任主管弗拉基米尔·马特维耶夫被捕,被送进劳改营15年。接替他的是马格尼托哥尔斯克采矿综合企业的前主管阿夫拉姆·扎韦尼亚金,这项任命是政权重视诺里尔斯克项目的标志。对高级钢材的军事需求,使诺里尔斯克的镍产在战争中变得至关重要。诺里尔斯克的工作强度加剧,从1941到1944年,A组囚犯(从事生产或建筑的)每月休息不满3天(许多前囚犯,根本不记得还有休息日),所有的囚犯每天工作11小时,再恶劣的天气也要出工(他们在暴风雪中攀扶绳索,步行上班)。扎韦尼亚金引进奖励制度,超额完成任务的“劳动模范”(1943年,5人当中即有1人)可获得好处——较好的宿舍、衣服、口粮甚至少量金钱。他还增加自由工人和“志愿者”的数量(战争结束时,约有1万人),让他们就任管理和专家的职位。但增长最大的是监狱劳工数量,到1944年已达10万人。 (677) 诺里尔斯克的囚犯来自苏联各个角落,特别是乌克兰、北高加索和波罗的海地区。在那里,大肆搜捕“民族主义者”和“与敌合作者”,就是为了向古拉格提供劳工。通往诺里尔斯克的漫长旅程先要乘火车去克拉斯诺亚尔斯克——那是西伯利亚行政区的首府,位于诺里尔斯克劳改营的南部,相距2000公里。囚犯在克拉斯诺亚尔斯克上船,沿叶尼塞河,到诺里尔斯克综合企业的港口杜金卡下船,然后再坐火车抵达劳改营。诺里尔斯克周围的北极荒原极为辽阔,根本就没有必要为劳改营搭建铁丝网。正常心智的囚犯都不会尝试逃走,事实上确实没人这样做过(尽管有不少传说称,有人横渡北冰洋,逃至5000公里之外的阿拉斯加)。 (678)

    瓦西里娜·德米特鲁克15岁时被送到诺里尔斯克。她出生于乌克兰西部捷尔诺波尔地区的农民大家庭,她与数十名妇女一起,被指控为乌克兰民族主义游击队的同情者。1943年,红军重新夺得她的村庄,附属的内务人民委员会把她们带去当地小镇(红军征召了村里所有的年轻男子),予以审讯和殴打,直到女孩供认“叛国罪”(她们中许多人都弄不懂这一指控是什么,因为不懂俄语)。之后,她们上了军事法庭(再一次使用俄语),被判处在诺里尔斯克劳改营服刑10年。她们参与兴建诺里尔斯克机场。尽管天寒地冻,她们唯一的住所只是一顶大帐篷,同住的还有数百名以同样方式来到诺里尔斯克的乌克兰妇女。 (679)

    安娜·达尔维娜作为“志愿者”被送到诺里尔斯克。当时她年仅16岁,还在克拉斯诺亚尔斯克以东120公里的乌伊阿尔镇学校念书。克拉斯诺亚尔斯克地区共有约1000名所谓的“共青团志愿者”,在1943年9月被强迫送到诺里尔斯克。安娜回忆:“一大群人在诺里尔斯克火车站欢迎我们,还有合唱团和乐队。”

    走出火车时已经很冷。来时还穿着凉鞋,到了这里看到地上已有积雪。当地人很穷,衣衫褴褛。他们给我们发了毛毯和毡靴,把我们当做志愿者。他们被告知,我们都是阵亡士兵的孤儿。但事实上,我们都是被军队抓来的,别无选择。我们面对一场战争,军队需要我们中的每一人充当劳工,不管身体有多虚弱。 (680)

    1943年,18岁的谢苗·戈洛夫科来到诺里尔斯克。他出生于北高加索的斯塔夫罗波尔地区,在11个兄弟姐妹中排行老二。他家是哥萨克,在集体化运动中被定为“富农”,因此失去所有财产。谢苗的父亲和哥哥均是红军,1941年6月都阵亡于斯摩棱斯克附近。作为幸存的最年长的男性,谢苗成为一家之主。他放弃学业,在集体农庄担任拖拉机驾驶员,以此养活母亲和9个弟妹。德军在1942年9月占领北高加索,谢苗随即加入红色游击队,但不幸被俘。德军强迫他加入辅警,否则就要枪毙他的家人。4个月后,红军夺回该地区。谢苗作为“与敌合作者”被捕,流放到诺里尔斯克。他从事采矿和工厂的各式工作,很快成为大队长,甚至当上劳动模范。作为古拉格劳工,他因为对战争的贡献而赢得好几枚奖牌。 (681)

    奥莉加·洛巴切娃是著名的矿物学家,1944年被送来诺里尔斯克。她丈夫于1938年被捕,稍后,自己也因“反革命煽动罪”获刑8年,最终沦落到西伯利亚的劳改营。她在劳改营里生下一个儿子,被送去孤儿院。1943年秋天,奥莉加被内务人民委员会选为专家,分配到诺里尔斯克矿区。整整6个星期,她被囚禁在克拉斯诺亚尔斯克以西350公里的马林斯克镇,等待来自西伯利亚各劳改营的其他地质学家和采矿专家。之后,奥莉加转去克拉斯诺亚尔斯克,准备北上,却被医疗委员会定为不适宜旅行(她得了肺炎),反被送去东面400公里的泰舍特劳改营。在囚犯的眼中,泰舍特是“死亡集中营”,有很多等死的残疾人和老人。她来到泰舍特不久,再次被内务人民委员会选中,即使有肺炎,仍被送去诺里尔斯克。为了加快速度,她和工程师、电工、冶金专家、建筑者,在克拉斯诺亚尔斯克搭乘内务人民委员会的专机。奥莉加最后在技术部门担任地质研究员,与大学里的许多朋友重聚。 (682)

    这些大学的朋友中就有叶丽萨维塔·德拉布金娜,即1917年10月在斯莫尔尼学院食堂认出失散多年的父亲谢尔盖·古谢夫的年轻姑娘。1936年12月,叶丽萨维塔作为“托派”被捕,判处5年,在雅罗斯拉夫尔监狱服刑。到1939年,她的刑期延长至15年,被送来诺里尔斯克劳改营。前3年,她在煤矿上班,随后转到技术部门,从事进口书籍和手册的翻译工作。叶丽萨维塔基于内心的爱国精神,工作起来活像一名真正的劳动模范。她觉得,通过在劳改营的工作,也在为苏维埃经济作出贡献。从1941到1945年,她前后4次申请参军奔赴前线,均遭拒绝。尽管如此,叶丽萨维塔仍因自己的勤奋工作在专家区获得自己的房间,与丈夫亚历山大·达尼埃茨同住。亚历山大的父亲是受镇压的老布尔什维克,被捕于1938年。夫妇俩以前在列宁格勒时就是朋友。他们在诺里尔斯克的邻居记得,两人很安静,养了一条狗。德拉布金娜因矿区事故已成聋子,很难与人应酬。他们有朋友的小圈子,自组了马克思主义学习小组——劳改营图书馆里有马克思和列宁的著作——但对外人非常小心。1945年,圈子中有人被捕,后来以“反革命煽动罪”遭到枪决。他们因此怀疑,为内务人民委员会工作的囚犯已渗透到他们的圈子,便解散学习小组,转入地下,只是在遛狗时,才与朋友在通向墓地的道路上偷偷见面。叶丽萨维塔和丈夫精通几种语言,他们在家里都用

    法语交谈,以防隔壁房间的偷听。 (683)

    20世纪40年代末的一天,阿赫玛托娃与娜杰日达·曼德尔施塔姆在列宁格勒散步,突然感慨地说:“想想吧,我们生活中最美好的岁月却是战争时期。这么多人死去,人人都在挨饿,我儿子参加强制劳役。”20世纪30年代的恐怖,给阿赫玛托娃那样的人带来了巨大的痛苦。在他们眼中,战争反而成了一种解脱。帕斯捷尔纳克在《日瓦戈医生》的尾声中写道:“战争爆发后,真正的恐怖和死亡的威胁,相比于谎言的不人道,反而成了一种福分。它又成了一种解脱,因为它打破了一纸空文的魔咒。”这一解脱是溢于言表的,人们以战争前不可想象的方式处世行事。他们出于必需,寻回自己的主动性——相互交谈,相互帮助,不再担忧可能的政治危险。从这种自发的活动中,又涌现出了全新的国民意识。出于这个原因,人们以怀旧的心态来回忆战争年代,视之为“充满活力的时期”。借用帕斯捷尔纳克的话即是,“每个人都觉得,社区意识得到了欢快且不受拘束地复苏”。 (684)

    对作家维亚切斯拉夫·康德拉季耶夫来说,那种从属感是那个时代的特征:

    我们为那些年感到骄傲。对前线生活的怀旧,使我们大家都激动起来。并非因为那是我们喜欢回顾的青春年华,而是因为我们当时觉得,自己成了真正意义上的公民。这种感觉,之前没有,之后也没有。 (685)

    复苏的责任感随处可见,不管是个人,还是集体。尤其是从1941到1943年,斯大林政权的基础因德军的入侵实际上已土崩瓦解,人民不得不依靠自己的智慧来作出相应的决策。当时担任军医的历史学家米哈伊尔·格夫特,将那几年视作“自发的去斯大林化”时期:

    就在我们的眼前——受命运摆布的个人,面对死亡,却出乎意料地找到了自由,做起自己的主人……作为目击者和历史学家,我可以证明:1941和1942年众多的情形和决定,其实是自发的去斯大林化的进程……我们仍是俄罗斯人和苏维埃人,但在那些年头,普世的人道精神也沁入我们的心田。

    阿达·列韦多娃在医疗机构度过战争年代。在她看来,这种自发的去斯大林化体现在一种权力移交上——从刻板地控制医院的共产党官员,转到医生和护士的手中。“有太多的实例,当事人即刻作出生死攸关的决定,等不及当局的授权。我们顾不得正式的规章制度,不得不采取行动,或作出即时的调整。” (686)

    大家感到自己有助于战争援手。他们认为自己可以有所作为,这种参与感又衍生出公民自由和个人责任。赫德里克·史密斯记录了70年代初一位科学家的对话。该科学家说,战争是“我们人生中最美好的时期”,然后向惊愕的朋友们解释:

    因为在那段时间,我们觉得与政府贴得很近,超过了我们人生的其他任何时候。不再是他们的国家,而是我们的国家。不再是他们要求我们做这做那,而是我们自己想做。不是他们的战争,而是我们的战争。所保卫的是我们的国家,这是我们自己的战争援手。

    据曾是沙场老将的康德拉季耶夫说,即使最不起眼的小兵,平时不断受到指挥官的虐待和鄙视,一旦在战场上发起进攻,即变成了他自己的将军:

    没人可以指挥你,你掌控一切。防御时也是一样,全靠自己的智慧和勇气……否则,德军就会突破进来……你觉得,仿佛俄罗斯的命运就在你的手中,如果没有你,一切可能变得不同。平时在我们社会中,什么都不取决于个人。但在战争中就不一样,每个人都觉得自己直接参与了胜利。 (687)

    “1941年的一代”从小就崇拜斯大林和党。对他们来说,新兴的自由无疑是对制度的一大冲击。文学史家拉扎尔·拉扎列夫回忆:“1941至1942年的军事灾难,迫使我们第一次质疑斯大林。”1941年,他从中学直接上了战场:

    战争之前,我们没有任何质疑。我们相信所有关于斯大林的宣传,相信党是正义的化身。但我们在战争第一年所看到的,迫使自己去反思那些被告知的东西,因而开始怀疑自己的信念。 (688)

    朱莉娅·奈曼写下《1941》一诗,其时的氛围已预示1956年(赫鲁晓夫“解冻”的第一年)的价值观变化:

    那些莫斯科的日日夜夜……雪崩似的鏖战……

    数不清的挫折、失败、消耗!

    然而,那年的战友披露了全部真相:

    在那闪光的年代,它像火炬一般闪耀!

    遁词一一坠落,恰似纷纷剥落的石膏,

    泄露无遗的原委,昭然若揭的实效;

    透过灯火管制和迷彩伪装

    我们看清了同志的面目——露出了马脚。

    我们曾用来测量的暧昧标尺——

    表格、问卷、资历、级别、倚老卖老——

    都被唾弃,我们现在只衡量真相:

    那年的标尺是信念和勇骁。

    我们曾经历和目睹这一切,

    记忆犹新,神圣照旧,仍然记牢

    监视哨、屋顶、防空气球,

    当年莫斯科爆炸中的乱嚣,

    穿上迷彩服装的建筑物,

    空袭的交响乐和解除警报的信号——

    到最后,显得货真价实的却是

    我们公民的骄傲,纯粹闪亮的骄傲。 (689)

    随着公民对新的自由的索求,党在意识形态上的影响力和对斯大林的个人崇拜,都不可避免地受到削弱。在战争年代,党员人数几乎翻了一番,但已失去战前的革命精神,因为最为坚定的布尔什维克在1941至1942年的战斗中丧失殆尽。到1945年,600万党员中一半以上是军人,其中的三分之二都是在战争中新近加入的。这些党员,大大不同于20世纪30年代斯大林主义的党。他们更加务实,思想不那么僵化(甚至没有受训于马列主义),不愿以阶级觉悟看待世界,更不耐烦于官僚主义。 (690) 《真理报》总结这一新气象,在1944年6月主张,“评判党员的个人素质”,与其看他的阶级出身或思想的正确性,“倒不如看他对战争努力的实际贡献”。这与党的战前原则形成了鲜明的对照。在军队里入党的拉扎列夫说,布尔什维克思想在战争中几乎没有发挥影响,战前的口号鼓吹对斯大林和党的崇拜,但到此时,已丧失了说服力和针对性:

    有传说称,士兵发动攻击时高呼“为了斯大林!”,但在事实上,我们从没提到斯大林。我们冲锋时,叫喊的是“为了祖国!”,其余的打仗口号都是骂人的脏话。

    战争带来了反斯大林的打油诗和歌曲,下面是1942年的一首:

    亲爱的约瑟夫·斯大林!

    时至今日你已丢弃塔林!

    我们为吃的而日坐愁城!

    你也将失去列宁格勒城! (691)

    许多人在战争时期解脱了对政府的恐惧。他们被迫不顾政治后果,径自采取行动,这也许是他们人生中的唯一一次。战争的“真正恐怖”攫夺了他们的全部注意力,而内务人民委员会的潜在恐怖,反而变得不那么张牙舞爪,或相对来说比较容易应付。在赫德里克·史密斯记录的交谈中,一名犹太科学家忆起战争年代的逸事:

    我在喀山自己的房间睡觉……半夜里,契卡的人来把我叫醒,我却不怕。想想吧!他半夜敲门,把我吵醒,而我却一点也不怕。如果发生在30年代,我早就吓得半死。如果发生在战后,斯大林逝世之前,那也会把人吓得胆战心惊……但在战争期间,我绝对不怕,那是我们历史上的独特时期。 (692)

    在很大程度上,新兴的自由感来自1941年之后政权放宽对政治和宗教的控制,得益最多的是“人民公敌”的子女。他们如愿意或胜任在战时急需的领域中工作,污点履历不再是一大障碍,与战前没法比。虽然没有官方政策,但如果有亟需完成的招工和招生,务实的官员通常会对申请人的社会背景视而不见。

    叶夫根尼娅·施特恩1927年出生于莫斯科的布尔什维克官员家庭。父亲两年后作为“德国间谍”被捕并遭枪决;母亲获刑5年,被送去科雷马劳改营。叶夫根尼娅只得去西伯利亚的阿尔泰地区,与外祖母同住。1943年,她回到莫斯科,与姨妈一起生活,获准成为学校的借读生。她的老师们赏识她的潜质,刻意予以保护。1944年夏季的一天,叶夫根尼娅经过莫斯科大学,看到一张告示,通告高中生前去申报该校的物理系。她从来都不喜欢物理,也不特别擅长,但很清楚,这是她进入苏联最著名的莫斯科大学的良机。在姨妈的鼓励下,她决定试试。叶夫根尼娅回忆:

    我仅16岁,在申请表格[一定要填写的]中并没提及父母的被捕,只填写父亲已死……我想,他们还是会收我的,因为想学物理的人太少了,而当时,即1944年,又急需物理学家。 (693)

    战争年代向安东尼娜·戈洛温娜提供了类似的机会,她就是那位掩饰自己出身的“富农”的女儿。安东尼娜的志向是上列宁格勒医学院,曾在1941年提出申请,尽管高中成绩完全符合医学院的要求,仍被拒绝。如她所相信的,原因很可能是她的社会出身。战争的爆发结束了她的梦想,因为列宁格勒已陷入围困之中。安东尼娜在佩斯托沃镇的村校担任助教,到1943年再申请斯维尔德洛夫斯克大学。该校一名学生曾是她的老同学,建议她去试试,因为该校需要医生,已放松了录取标准。尽管有“富农”出身,安东尼娜还是考上了这所大学,很快成为其最优秀的学生之一。教授们全力支持她,为她的社会出身保密。她回顾道:“这是我人生的第一次,全凭自己的能力来取得进步。”列宁格勒的围城解除后,安东尼娜在1944年1月申请列宁格勒儿科研究院,以继续深造。她没有列宁格勒居民的护照,虽然斯维尔德洛夫斯克大学的老师们帮她写了热情的推荐信,但“富农”出身仍使她丧失资格。其时,列宁格勒急需儿科医生,以照看围城造成的数万名孤儿病人。建议录取安东尼娜的官员声称:“这个时候,拒收这样的学生,不啻是在犯罪。”由于没有护照,安东尼娜无法正式注册为儿科研究院的学生,只好名列14名“非法居民”之中(出身都不好),一起住在地下室。作为“非法居民”,安东尼娜不能领取助学金、借出图书、在学生食堂就餐。她晚上非法打工,充当女服务员来养活自己。1945年,这14名学生总算变得合法,领到护照,正式注册。儿科研究院的主管是一名务实的共产党人,代表他们向列宁格勒党委提出请求,坚称列宁格勒急需这些学生。对安东尼娜来说,正式注册大大加强了她的自信,减轻了她在战前感到的恐惧,让她认真考虑苏维埃政权的性质,以及带给她家人的影响。 (694)

    政权在宗教领域的让步带来了更广泛的影响。从1943到1948年(到那时,最重要的让步已被收回),政府放宽了对教会的控制,宗教生活因此出现了急剧的复苏。数百座教堂重新开放,上教堂的人数大大增加,宗教的婚礼、受洗、葬礼都有显著的复兴。

    伊万·布拉金的家庭与教会有密切联系,他亲戚中有几个神父,妻子拉丽莎也是神父的女儿。20世纪30年代,他们作为“富农”遭到剥夺,流放去了克拉斯诺卡姆斯克,这些家庭关系都被加以严密地遮掩。伊万和拉丽莎不上教堂,不戴十字架,将圣像藏在箱底,门廊上通常置放圣像的地方则挂上了斯大林肖像。为了避嫌,他们鼓励子女加入少先队和参加反宗教活动。到1944年之后,全家又皈依宗教,所有孩子都在附近村庄的教堂里受洗。该教堂是在1944年重新启用的,村民先行募集了受洗池的捐款。拉丽莎从箱底拿出她最珍贵的圣像,挂在房间一角,一半有窗帘的遮掩。她进出房间时,都要在圣像面前画十字。女儿维拉回忆:

    渐渐地,我们开始庆祝宗教节日,妈妈告诉我们个中的道理。她会准备一份特别的菜肴,这在战争期间并不容易。她总是说:“我们餐桌上有食物,因此是忏悔节。如果没有,那就是大斋期。”我们庆祝圣诞节、主显节、圣母领报节、复活节及三位一体节。 (695)

    战争年代最引人注目的兴许是新的言论自由。人们公开讲述自己亲人的不幸,袒露内心的感受和意见。要是在以前,这种做法绝对不可想象。人们还投入政治辩论。战争的不确定性,包括苏维埃政权的生存与否,消除了他们对谈论政治甚至批评政权的恐惧。

    维拉·皮罗茨科娃回忆1942年回到家乡普斯科夫:“每个人都在公开讨论政治,没有任何恐惧。”她记录了一对姐妹之间的争论:姐姐22岁,前线军官的妻子;妹妹17岁,“激烈的反共人士”。当姐姐否认劳改营的存在时,妹妹一脸蔑视:“你竟不知道?全国老百姓都晓得,就你一个人不知道?你只是不想知道,躲在你军官老公的背后,自欺欺人地认为一切都很好。”另一个场合中,妹妹批评姐姐对失业的视而不见,尽管几个亲属在战前一直找不到工作。“你怎会不知道呢?除非你结婚之后,完全忘了娘家,不在乎我们穷人了。”维拉评论,那位姐夫战前与大家一起住时,没人敢如此讲话,都担心他的举报。 (696)

    购买食品的排队长龙是政治讨论和抱怨的温床。愤怒和挫折让大家团结起来,鼓励他们勇敢说出(所以排队长龙中总是有潜伏的举报人和警察)。一组举报人混入莫斯科商店外的各式排队,他们在1942年4月的汇报中说:“商店用品卖光后,能听到公开的反苏议论。”买煤油的队列中,有一名老汉这么说:“到处都是党员寄生虫,都是混蛋!他们拥有一切,而我们工人什么都没有,只有用于绞刑的脖子。”其中一个女人添油加醋:“这就是为什么我们面对一个烂摊子。”莫斯科另一排队中的举报人,汇报了下列对话:

    德罗宁[士兵]:我们现在的生活如果与1929年前的一样,岂不更好。集体农庄的政策一旦生效,什么都完了。我自问——我们打仗,到底图个什么?有什么需要捍卫的?

    西佐夫[士兵]:我到现在才明白,我们其实只是奴隶。像李可夫[布尔什维克领导人]那样的人,想为我们做点好事,却被他们撤了。为我们着想的人,还会有吗?

    卡列林[木匠]:他们告诉我们,德国人衣衫褴褛,虱子满身。德国人确实到了我们的村庄,就在莫扎伊斯克附近,我们却看到他们天天吃肉、喝咖啡……

    西佐夫:我们都在挨饿,但共产党人说一切都是欣欣向荣。 (697)

    舌头有了明显的放松。罗扎·诺沃塞尔茨娃回忆起1942年与一名莫斯科鞋匠的相遇。父母被捕的5年后,她刚返回首都,在被捕一事上从没质疑过苏维埃政权。她相信父母是无辜的,但也准备接受“人民公敌”确实存在,以及清洗“异己分子”的必需,这是她1938年的想法。对这位鞋匠的造访使她的想法完全改观,他在修鞋时大骂苏维埃政府,把所有的悲惨都归罪于它,并透露自己在20世纪30年代遭到了不公的逮捕。他面对罗扎这样的陌生人,却以这种方式交流,显然不考虑其中的危险。他的坦率——她以前从未遇到的——使她人生第一次“停下来,认真思索这些事”。 (698)

    军人之间也是批评和辩论的重要舞台。前线士兵组成的互信的战友团体,是畅所欲言的安全环境。一位老军人回忆:“我们大骂领导,为何没有飞机?为何炮弹不够?混乱的起因在哪儿?”另一位老军人记得,士兵不怕讲出心里话:“他们很少顾忌……天天把脑袋挂在裤腰带上的士兵什么都不怕。”1945年春天,拉扎尔·拉扎列夫从前线回来,待在古比雪夫医院:

    像其他士兵一样,1945年的我,嘴很快,想什么就讲什么。我谈起军队中我认为是丑闻的事,医院里的医生就警告我“要看住我的舌头”。我很惊讶,像其他士兵一样,已为苏维埃国家拼死拼活了,应该有发言的权利……我经常听到来自农村的士兵抱怨他们的集体农庄,声称赢得战争后,有必要将之废除。言论自由已达如此地步,发表意见已成家常便饭。 (699)

    基于这样的言论,新政治社团的轮廓开始应运而生。人与人之间的交往和信任愈益增长,帮助塑造了复苏的公民精神和国民意识。这种转变的中心所在,是价值观的根本变化。战前,由于普遍不信任的气氛,没有党的领导,社团便无法形成。所有公民义务的履行,都要依靠国家的指令。但在战争期间,公民义务涉及实打实的东西,即保卫祖国。它让人们聚在一起,独立于国家的控制,塑造了一套全新的公共态度。

    很多人对此变化发表过见解。作家普里谢维恩在1941年日记中指出:“战争开始之后,人们互相变得亲近,为祖国的担忧团结了每个人。”他还认为,战争中兴起的民族精神已经抹掉了阶级的分化。他在1942年写道:“我现在才懂得,‘人民’不是可见的东西,而是我们内心深处的东西。‘人民’不单是农民和工人,甚至不单是普希金、陀思妥耶夫斯基、托尔斯泰那样的作家,而是我们大家的内在。”其他人通过工作场所中新的团队精神,来感受这个战时的民族大团结。阿达·列韦多娃在列宁格勒医疗机构的同事之间发现了新的“亲密”,打破了旧的职业等级制度:

    医疗机构变成了我们的大家庭,教授和普通工人的界限完全消失。大家感到是在承担共同的事业和责任,为了我们的机构、病人和同事。这让我们变得亲密无间。幸存于列宁格勒围城的人,都能感受到这种民主精神(就是如此),即我们属于一个大家庭。战争结束后,它仍与我们同在。

    一个步兵排的指挥官声称,战争使他重新思考人的价值和关系:

    在前线,能很快发现他人身上最重要的品质。战争就像一个测验,所测试的不只是膂力,还有人性。卑鄙、懦弱、自私,顷刻之间就会显露。如果不能依靠理智,那么凭直觉也可以在很短的时间内弄清他人的真实面目——要是在和平时期,那需要很多年才能完全弄清。

    难怪在很多人的眼中,战争变成了一种精神净化。前几年,“谎言的不人道”扼杀了所有的政治讨论,现在则受到猛烈的冲洗。拉扎列夫评论道:“战争迫使我们重新思考自己的价值观和轻重缓急,使我们普通士兵看到了不同的真理,甚至想象新型的政治现实。” (700)

    随着战争接近尾声,苏维埃大军开进欧洲,士兵见证了不同的生活方式,这种反思变得愈益普遍。1944年初,苏维埃已集结600万军队,超过东线德军数量的两倍。1944年6月,盟军发动对法国北部的侵入。与此同时,红军击溃白俄罗斯前线的德军主力,7月3日夺回明斯克,穿越立陶宛,8月底抵达普鲁士边境;乌克兰前线的苏维埃军队,席卷波兰东部,直扑华沙;在南部战线,德军很快崩溃,红军横扫罗马尼亚和保加利亚,1944年9月抵达南斯拉夫。苏维埃的进攻冷酷迅猛,到1945年1月底,乌克兰方面军已深入到西里西亚;朱可夫的白俄罗斯方面军已达奥得河,柏林在望。

    很少苏维埃士兵去过欧洲。他们中的大多数是农民子弟,参军时只有狭窄的世界观、苏维埃农村的习俗和从宣传中得来的世界形象,他们对将要发现的毫无心理准备。西蒙诺夫观察到:“欧洲和我们苏联在生活水准上的对照,无论是在情感上还是在心理上,都是一大冲击。它改变了数百万军人的看法。”士兵们看到,普通百姓住着更好的房子;尽管有战争和红军抢劫,商店里依然货物充沛;他们在赶去德国的途中看到的私人农庄,即使处于荒芜之中,仍远远胜过苏维埃集体农庄。任何宣传都无法让他们漠视亲眼目睹的证据。

    与西方的碰撞,帮助塑造了士兵们对自己祖国的期望。农民士兵们相信,随着战争结束,集体农庄将被一扫而光。军队里流传许多此类的传言,大部分涉及朱可夫对部队的承诺。士兵们给家人写信,无数次地重复此事。这些期望传遍整个农村,导致了农民对集体农庄的一系列罢工。其他士兵还谈到重新开放教堂、更多的民主,甚至废除党支部。导演亚历山大·多夫任科记得与军车司机的一席讨论,他是一名“西伯利亚小伙子”,时间在1944年1月。该司机说:“我们生活得不好,你知道,大家都在期待生活中的变化和改善。我们所有的人都在等待,只是没有挂在嘴上。”多夫任科在日记中记下:“听到这些话,我感到非常惊讶。人民强烈希望有不同的生活,随处可以听到,唯一听不到的地方就是我们的领导人圈子。” (701)

    军官站在这项军队推动的改革运动的前列,公开批评苏维埃制度,期望改变。1945年,一名中尉写信给最高苏维埃主席团主席米哈伊尔·加里宁,要求在“最高苏维埃主席团下次会议上,考虑一系列改革”。他去过纳粹在波兰的迈丹尼克集中营,看到德国独裁的后果,于是要求苏联也结束任意的逮捕和监禁。他说,苏联有它自己的迈丹尼克集中营。他还要求撤销集体农庄,因为手下士兵告诉他,那是一场灾难。此外,还有士兵要他向主席传达其他的不满。 (702)

    很自然,党领导对心怀改革主张的军人回国不无忧虑。对喜欢回顾历史的人来说,它与1812至1815年的反拿破仑战争有明显的比照。其时,归国的军官人员把西欧的自由主义思想带回沙俄,随即激发了1825年的十二月党人起义。1945年2月,白俄罗斯第二方面军出席会议的积极分子强烈呼吁,要坚决抵制西方的流毒:

    1812年战争之后,我们的士兵看到法国的生活,拿来与沙俄的落后生活作比。当时,法国的影响是进步的……十二月党人看到了反沙皇独裁的必要,但今天不同。也许东普鲁士的庄园优于集体农庄,这种印象可能导致落后人士得出结论:庄园经济胜过社会主义经济。但这是一个倒退,因此,必须对此展

    开无情的斗争。 (703)

    西方思想对党员的影响引起了特别的担忧。1945年,苏联党员的一半以上都是在籍军人。党领导假设,他们的复员,势必将危险的政治改革思想传染给平民组织。

    事实上,这些思想早已在民众中传播,尤其是在关心政治和受过良好教育的阶层。与英美的结盟,让苏维埃社会在战争结束之前就深受西方的影响。在多年的隔绝之后,苏维埃城市此时已充斥着好莱坞电影、西方书籍、租借法案下的美国进口货。数百万人见识了真正的西方生活——兴许不如好莱坞所标榜的,但远远超越20世纪30年代苏维埃宣传中的惨淡。餐馆和商铺在莫斯科的街道重现,或许在暗示可能恢复像新经济政策那样的局面。这一切均在推高人们的期望:一旦战争结束,苏联的生活将变得更加容易,将对西方更加开放。1944年夏季,作家兼宣传专家弗谢沃洛德·维什涅夫斯基,在对外文化关系协会发表讲话:

    战争结束后,生活将会变得非常愉快……与西方将有更多的交流和接触,每个人都可阅读自己喜爱的,将有学生交流,苏维埃公民到国外旅行也会变得更加容易。

    知识分子公开讨论政治改革,不再担心审查(也许是党领导批准的,故意提供这样的诱惑,以维持人们的斗志,直到战争结束)。西蒙诺夫回忆:“大部分知识分子赞成自由化,在意识形态上普遍感到乐观。”对其中大多数人来说,自由化意味着与政府开展有关改革的“对话”。很少人愿意向共产主义专政提出公开挑战,大多数人只希望在政治决策中能有更多的参与,在内部做工作,使制度更加开放。诗人大卫·萨莫伊洛夫表达了这样的心态:

    在我们的心目中,公民责任包括为政治任务服务。我们相信这些任务的效用……我们感到,如果承担了公民使命,就有权利获得政府的诚信……政府的所作所为,需要有一个解释,让我们懂得其中的道理。我们当然不希望政府随心所欲,而自己只是盲目的执行人。

    甚至经济改革也是可以接受的讨论主题。莫斯科的斯大林工厂是苏联最大的汽车制造者,其主管伊万·利哈乔夫提倡在工业经济中引进国内市场,让地方掌握较多的财政自由,通过高工资来刺激工人的生产率——它会从根本上改变计划经济的性质。一些经济学家也公开批评计划制度,提出在战后重返市场,以刺激生产。 (704)

    人们在这开放气氛中变得理直气壮,甚至在私人生活方面,也质疑起苏维埃政权的原则和价值观。

    埃尔加·托尔钦斯卡娅在战前是个少年斯大林主义者,她记得让她反思政治信仰的一起具体事件。在1941年的列宁格勒保卫战中,她作为共青团的积极分子,与一群大学生一起被送去城外挖掘战壕,晚上就睡在战壕中。其中一人对客观条件不满,向领导提出抱怨,结果遭到了惩罚、欺负、共青团会议上的举报,最终被捕入狱。对埃尔加来说,这种迫害是一大觉醒。她父亲被捕于1937年,她曾相信政权关于“人民公敌”的宣传,以为他一定做了错事。如今,她亲眼看到有人无缘无故被捕。她加入一组学生,抗议对朋友的逮捕,却无济于事。从那以后,她以不同的眼光看待共青团和共产党:它们不是民主机构,只是滥用权力的精英小集团。她甚至想退出共青团,不再参加它的会议。新看法也影响了她对共用公寓的态度。整个列宁格勒围城时期,她都在那里住:

    这是一个愉快的公寓,相互之间很少争吵。但有一个女人,住在后面的房间,老是与酒鬼丈夫吵,还会遇上家庭暴力。后来,她加入共产党,突然变得非常重要。她接管了我们的房间,有了面包和家具,要啥有啥。但事实上,我曾当面告诉她,并不赞同党的做法。我记得很清楚。我很可能因此被捕。 (705)

    马克斯娜·卡尔皮茨卡娅在列宁格勒公共图书馆工作,自从父母被捕以来,一直在共用公寓独自生活。内务人民委员会传召她去总部,逼迫她参与对一名退休沙皇军官的举报,使她猛然觉醒。那位退休军官为了取暖,喜欢待在图书馆帮着做些琐事。由于马克斯娜的拒绝,内务人民委员会的审讯员转而把矛头指向她,说这没什么奇怪,因为她自己就是“人民公敌的女儿,是在同病相怜”。这种侮辱激起了马克斯娜心中无比的愤慨,既出于内心的正义感,也出于捍卫无助军官和父母的必要,她作出了勇敢却可能是愚蠢的反抗:

    我气得撕心裂肺,对他说,没人证明我父母就是人民的敌人,而他讲这种话,本身就是犯罪。在我看来,一切都豁然开朗了。但想想吧,我竟说出口!只是年轻气盛才让我这么勇敢!他一跃而起,向我走来,似乎想揍我。毫无疑问,他已习惯于打人。我站起来,抓住自己的板凳准备自卫。如果没有那条板凳,他一定会动手的,他慢慢冷静下来,在桌旁坐下,询问我的证件。

    几天后,马克斯娜收到了内务人民委员会的命令,勒令她离开列宁格勒,但她不肯就范。马克斯娜回忆:“列宁格勒就是我的家,就是我的全部,离开是不可思议的。我想,为何要走?我只有这一小小角落[共用公寓内],让他们来抓我好了,我才不会离开。”第二天,马克斯娜得到了资深图书管理员柳博芙·鲁比娜的帮助。她是一名勇敢的党员,在战争期间和战后保护了许多列宁格勒居民避开内务人民委员会的恐吓。鲁比娜认识马克斯娜的继父——原区委书记——认为他是个好人。她自己在20世纪30年代的大清洗中,失去了一个弟弟、一个妹妹(在1948至1953年的反犹恐怖中失去更多亲人)。马克斯娜回忆,她直言不讳,“批评斯大林和其他领导人时毫不顾忌。在她眼中,那些人都是‘爬行动物’”。鲁比娜在自己办公室里为马克斯娜设立了简易床铺,让图书馆人员别向警方透露她的下落。把人藏起来是一个很勇敢的举动,很可能使鲁比娜入狱。但她在同事中德高望重,马克斯娜躲了将近一年,却没有人透露半点风声。马克斯娜回忆:“她照顾我,把我当做自己的孩子。”对马克斯娜来说,她们在办公室里的交谈仿佛是政治教育课,让她与父母的价值观重新连接起来,而父母从未如此畅所欲言过:

    鲁比娜是个非凡的人,既勇敢又坚强,满心共产主义理想,热衷于为大家伸张正义。她对我开诚布公,无话不谈——不仅仅是关于斯大林。她有一次告诉我,集体化是可怕的错误,毁了国家。她谈到,白海运河和其他建设项目全靠囚犯建成……她还谈及[1937至1938年的]逮捕,说我父母都是无辜的。我不理解的东西,她会逐一解释。有时她会谈整整一宿。她知道,我不会背叛她,不会向人透露一个字。她对我说的都是心里话。 (706)

    西蒙诺夫赶到柏林,为了战争的最后一役。他在5月3日的日记中写道:“坦克,更多的坦克,装甲车,喀秋莎火箭炮,数千辆货车,各种口径的大炮。”

    在我看来,不是某师或某军团,而是整个俄罗斯武装部队,从四面八方攻进了柏林……在硕大却没有品位的威廉一世纪念碑面前,一组官兵正在拍照。一次5人、10人、百人;有的挎枪,有的没有;有人筋疲力尽,有人在哈哈大笑。 (707)

    5天后,西蒙诺夫在卡尔霍斯特镇报道德国投降条约的签署,然后返回莫斯科,参加胜利庆典和游行活动。

    莫斯科的市中心挤满了士兵和平民,赶来参加5月9日的庆祝活动。塞缪尔·拉斯金的侄子马克,看到美国大使馆外的鼎沸人群而变得目瞪口呆。他们聚集在马涅斯广场上,高举自制的标语牌,表示对盟国的支持,看到美国外交官和士兵(其中多人还拿着威士忌酒瓶)从窗户和阳台向外挥手致意,更发出欢愉的狂呼。在他看来,这是自1917年以来最近似于“争取民主的街头游行”的一件事。之后,马克返回位于西夫切夫―弗拉热克大街的拉斯金公寓,参加家人的庆祝活动。拉斯金一家——塞缪尔、贝尔塔、法尼娅、索尼娅、热尼娅和她儿子阿列克谢——1943年都从车里雅宾斯克返回莫斯科。马克回忆:“我们为胜利干杯,为斯大林干杯(这是官方规定的),大家心中充满了喜悦。”那天晚上,莫斯科市中心有更多的人向一国之父斯大林的巨幅肖像致敬。该肖像升起在克里姆林宫上方,由投影机照亮,周围数英里之内都可看到。 (708)

    6个星期后的6月24日,红场上举行正式的胜利游行。朱可夫元帅骑在一匹白色阿拉伯骏马上,在瓢泼大雨中率领部队和坦克迈进广场,军乐队奏起格林卡的爱国赞歌《荣耀归你》(Slavsya!)。两百名士兵携带纳粹旗帜,游行至列宁墓前,转身面对斯大林,将旗帜掷到地上。在高级指挥官的盛大宴会上,斯大林发表了著名的祝酒词,献给“几千万简单、普通、谦虚的人……他们是伟大国家机器中的小小螺丝钉(vintiki),如果没有他们,我们的元帅、各方面军和军团的指挥官,都分文不值”。 (709)

    苏维埃人民以普遍的喜悦迎接胜利。仅在这一时刻——或许在斯大林的整个统治时期仅有这个时刻——才有真正的民族团结。甚至古拉格劳改营的囚犯,也以爱国热情迎接战争的结束。他们认为自己也作出了贡献,毫无疑问,更在期待自己的大赦。一名阿克莫林斯克劳改营囚犯,在5月9日晚上写给儿子的信中说:“我的一生从没吻过那么多人,纯粹是出于快乐和幸福。”

    我甚至吻了男人。我们分离7年半以来,这还是头一次,我全然忘却了自己的悲哀和痛苦。定居地[监狱区域的外围]的人们奏起了手风琴,还有年轻人在跳舞。好像我们并不是羁绊于此,而是与你同在。 (710)

    士兵逐渐回国,许多男女为适应平民生活而承受巨大周折。从战场回来已是残疾人的有200万,他们领取微薄的津贴,很难找到工作,受到苏维埃当局犯罪般的忽视,很多人最终沦为大街上的乞丐。更多的人自战场返回,患有心理创伤,如战斗造成的心理压力、对战争心有余悸以及精神分裂等。但这些疾病,很少获得苏维埃医学界的承认,退伍军人自己又过于坚忍,不愿报告自己的状况。究竟有多少患者,一直无法弄清。 (711)

    就其他人而言,回归“正常生活”带来了诸多的失望。不再有家园和亲人,难以与朋友和亲戚沟通战争经验,不再有同志友谊,前线战友之间的相互理解不复存在——这些导致了战后岁月的普遍抑郁。康德拉季耶夫在20世纪90年代写道:“我的大多数老战友,要么酗酒致死,要么在战争结束时自杀——最近还有人自杀。”

    我们觉得毫无用处,成了废人……斯大林只把我们比作一台机器中的“小小螺丝钉”,我们感到受了侮辱,这绝不是我们在前线时的感受。我们曾认为,我们手中掌握了俄罗斯的命运,相信自己是公民,以身作则。

    康德拉季耶夫反思那些年,写道:

    我们打败法西斯,解放欧洲,归来时却没胜利者的感觉。或者说,这种感觉仅持续很短一段时间,即我们对改革仍抱有希望时。这些希望落空后,我们陷入了失望和冷漠的深渊。开始,我们还以为是战时疲惫所引起的。我们是否真正明白,我们拯救了祖国俄罗斯,同时也拯救了斯大林政权?也许,还不甚明白。即使看到这一点,我们还是会以同样方式誓死作战的。在自家的极权主义和希特勒的版本中间,我们宁可选择前者。因为,忍受自家人的暴力,要比忍受外国人的,更为容易。 (712)

    安东尼娜·马兹娜及她女儿玛琳娜和玛琳娜·伊利纳(左),1944年摄于奇姆肯特

    家庭的重组比士兵在家书中想象的更为艰巨。情侣不愿等待;女人与士兵一厢情愿的想象并不相符;分离和重聚的压力导向婚姻的解体。1944年夏天,西蒙诺夫写了剧本《无可避免》(So It Will Be),讲述一名军官从前线返回莫斯科,妻子和孩子早已消失于德军占领区,他断定她们已经遇难,所以与教授的女儿结婚,重建新的生活。剧本的中心思想是战后的当事人必须随遇而安,与《等着我吧》的主题,竟相差十万八千里。

    战争结束正好遇上古拉格囚犯的第一批大释放。1937至1938年判刑8年的数百万“政治犯”,期满释放恰好是1945至1946年(1945年之前期满的囚犯,其获释必须等到战争的结束)。各个家庭开始重新拼凑,妇女们带头奔赴全国各地,寻找自己的丈夫和孩子。前囚犯的居住地有严格的限制,大多数不得逗留在主要城镇。所以,为了全家团聚,不得不搬去苏联偏远的角落。有时,他们能找到的唯一居所仍是古拉格区域。

    尼娜·布拉特1945年获释于马加丹劳改营,历程1.6万公里,才从雅罗斯拉夫尔孤儿院(女儿在外祖母死后的归宿)接回女儿伊纳萨,与自己一同住在马加丹劳改营。她在何处定居的问题上别无选择,释放时的限制是“100城之外”。这意味着作为前囚犯,她不得在所列的100个城镇定居。 (713)

    玛丽亚·伊利纳的征途更为艰险。她曾是基辅大型纺织工厂的主管,作为“人民公敌”的妻子被捕于1937年(丈夫是一名高级党干部),判处8年,流放到摩尔多瓦的波特马劳改营,到1945年获释,就去寻找自己的孩子。她被捕时,2岁的女儿玛琳娜和两个儿子弗拉基米尔、费利克斯,都被送去遣散中心。他们的外祖母爱莫能助,她已在照看1936年被捕的姨妈的几个孩子。弗拉基米尔抵达遣散中心后不久就满了16岁,结果作为“人民公敌”获刑5年,被送去马加丹劳改营。费利克斯去了基辅的孤儿院;玛琳娜去了附近的布恰孤儿院,1939年又转去乌克兰首都以南200公里的切尔卡瑟孤儿院。玛丽亚从波特马劳改营写信给苏联各地官员,打听孩子的下落,但找不到弗拉基米尔——他死于马加丹劳改营,而且没有记录,时间约在1942年之前。玛丽亚花了整整18年时间才找到费利克斯,他在战争爆发后,随孤儿院一起撤到哈萨克斯坦西部的捷列克蒂地区。她在1943年获悉,费利克斯12岁时逃离孤儿院,好几个月在外流浪,结果到了2500公里之外西伯利亚的伊尔库茨克地区,在偏僻的切勒姆霍沃小镇的一个工厂找到一份工作。

    玛琳娜的运气不错。切尔卡瑟孤儿院的医生安东尼娜·马兹娜有个妹妹,凑巧也在玛丽亚的劳改营。通过她,玛丽亚从孤儿院员工那里,定期了解自己女儿的健康状况。玛琳娜抵达布恰孤儿院后不久就患上猩红热病,几近死去。她转到切尔卡瑟孤儿院后,获得安东尼娜的精心调养。安东尼娜甚至把玛琳娜带回家,与自己女儿(也叫玛琳娜)同住,直到恢复健康,再回到孤儿院。安东尼娜给她送来食品、酥糖、甜食,告诉她这都是母亲送来的,但往往不是真的——来自波特马劳改营的只有不定期的小额汇款(尚有一些食品包裹来自外祖母,直到战争爆发)——但医生懂得,小女孩如想活下去,需要有点希望,需要相信自己有一位慈母。玛琳娜回忆:“我对母亲一点印象都没有。”

    我不懂什么是母亲,但孤儿院里的大龄孩子,经常会谈论自己的母亲,赞美她们的慈爱——她们会谈及战前的快乐,从不挨饿,总有面包、黄油、甜食——在我脑海中,这些甜食、巧克力、酥糖,成了我想象中理想慈母的符号……这不是别人给的甜食——而是“妈妈的甜食”。 (714)

    1941年,切尔卡瑟孤儿院疏散到哈萨克斯坦南部的奇姆肯特,由于有孤儿院员工的来信,玛丽亚仍与女儿保持联系。玛琳娜还太小,不会自己写信(她要等到10岁才开始上学),所以由保育员代写,并加入标准的措辞,以维护孤儿院的正面形象:

    1944年1月1日,奇姆肯特

    向玛丽亚·马尔科夫娜致敬!

    我代你女儿玛琳诺奇卡给你写信:“妈妈,我仍记得你。你会马上回家吗?我非常想你。我的生活很好,他们让我们吃得不错。我会唱歌跳舞,不久就要上学了。妈妈,寄一张照片给我吧。再见,我吻你,你的女儿玛琳诺奇卡。”

    我问她,还有什么要说的,她说这就够了。她身体健康,过得愉快,受到我们小集体中所有孩子的爱护……我们也定期写信给她在基辅的外祖母。私人摊位的照相费是22个卢布……如果想要,请寄钱来……

    保育员亚历山德拉·扎哈罗夫娜·格拉西姆丘克 (715)

    孤儿院在1945年迁回,但没去原先的切尔卡瑟,而搬至利沃夫附近一个大庄园遗址,在乌克兰与波兰的交界处。安东尼娜消失了,玛琳娜仍在等待母亲的出现。她回忆:“我从没见过她的照片,不知道她长什么样。但我觉得,就像别人等待上帝一样,我在等待母亲,我的救世主。”其他的母亲陆续来到孤儿院,领走了自己的孩子。“我对他们极为嫉妒,一直在梦想,下次会轮到我。”玛琳娜并没意识到,这些孩子与自己不同——她们的父母不是“人民公敌”,与子女的分隔只是由于战争——但她听到保育员在孤儿院的“窃窃私语”,记得“人民公敌”一词,知道它是指“不能谈论的坏事”。整个1945年,玛琳娜不断写信给母亲。她已在孤儿院读二年级,可以自己动笔写信。通常情况下,老师告诉孩子写什么,包括一些标准措辞,让父母知道她们在孤儿院很快活。但玛琳娜的信表达了决然不同的情绪,她在8月17日写信给母亲:

    妈妈,你好吗?妈妈,请给我写信,只要一封就够了,让我知道,你已收到我的信。我已给你写了7封,也许你一封也没收到。妈妈,我很好,没生病。这里已是冬天,很冷。即便如此,我们还要上课。妈妈,来看我,或尽快派人来接我,我在这里已经住腻了……其他女孩不会打我,但也有互相打架的。妈妈,我想你会在春天来接我。

    玛琳娜不知道与母亲在一起将意味着什么,只是在孤儿院感到很不愉快。她推测,像其他孩子一样,她也是因战争而与母亲分离的,现在战争结束了,母亲就会来接她,然后,她就能享受其他孩子讲述的战前与大人共度的幸福生活。 (716)

    1945年底,玛琳娜的母亲从劳改营获释,但不准返回基辅,寻找孩子时,只得借宿在各地的朋友家。她侄女的丈夫是党内积极分子和历史学家,介绍她与诗人巴甫洛·狄青纳联系。狄青纳属于乌克兰首都的斯大林精英团体(私下仍对现政权不满),帮助她发现了玛琳娜的下落。玛琳娜还记得母亲的到来,所乘坐的汽车由专职司机驾驶,那通常都是政府官员使用的。一群孩子聚集在入口处,看看谁来接这位幸运的女孩。

    “有人来找你了。”每个人都来告诉我……我走了出来,看到一名陌生女子,竟然手足无措。如果奔上去拥抱她,我害怕因此而受到惩罚。我知道,保育员并不喜欢孩子热情拥抱来接他们的人,这样做,有损于孤儿院的名声。我们必须让来客觉得,这里一切都好,我们都舍不得离开……其实我也很害羞。妈妈后来说,见面时没有喜悦,我好像有点诚惶诚恐。我确实害怕一切……我记得当时曾想,可能不会把我带走,因为没人告诉我她是我的母亲。我不知道她是母亲,从没见过,甚至从没看到一张母亲的照片。她已经不年轻,头上戴着旧头巾,仿佛是借来的,使她显得庄重。她打扮得不像贵妇人,没有皮草、帽子、漂亮的装饰。她看上去贫穷潦倒,落落寡欢,活像一个老太太,不像一个母亲,至少不是我所想象的。我脑海中的母亲该是怎样呢?衣冠楚楚,年轻漂亮,容貌出众,活力四射……但这个女人,却头发斑白。 (717)

    玛琳娜的母亲把女儿带到利沃夫城,住入酒店,早餐吃软面包和可可饮料。玛琳娜第一次体验如此的奢侈,终生不忘。几天后,她们回到切尔卡瑟,住在集体宿舍的一个小房间。玛琳娜继续上学,但要克服她们之间的隔阂却非常困难。玛琳娜回忆:“最初几个星期,我与母亲都无话可谈。”

    我是一个野孩子,来自孤儿院,不喜说话。她并不强迫我,反而有点怕我……也许她在我身上看到了野性的端倪,在思忖应对的好方法……母亲后来说,我不但害羞,而且胆怯,犹如惊弓之鸟。她叫我时,我都不会走近,自己也从不主动去麻烦她。很长一段时间,我只会叫“您”[“你”的敬称],不会叫“妈妈”。内心堵着一道墙,阻止我开口。我必须要强迫自己叫“妈妈”——花了很长一段时间。

    她们一起住了12年,一直没能培养亲密的关系,她们受伤太深,无法向对方打开心扉。玛琳娜的母亲死于1964年,从没告诉女儿自己在劳改营的经历。玛琳娜回忆:“她太害怕了,以致不敢告诉我。我也太害怕了,以致不敢提问。”她所发现的母亲在劳改营的经历,都来自玛丽亚在古拉格的朋友。1955年以前,她甚至不知道自己另外还有哥哥。其时,费利克斯再次出现,玛丽亚也知道了弗拉基米尔已死去。玛丽亚沉浸在深深的沮丧之中,变得完全龟缩,对过去一字不提。玛琳娜记得:“我们虽住在一起,却几乎鸦雀无声。”

    这太可怕了。直到今天,我始终不明白她为何这么害怕畅所欲言?我觉得,她不想拖累我,希望我幸福,不让我痛心疾首于我家在苏联的遭遇。她知道,我们所承受的一切都是不公正的,但不愿让我也有同感。 (718)

    [1] 这里的三角关系被称为“Union of Serova, Simonov and Rokossovsky”,也可缩写为USSR。——编注

    [2] 此处的《等着我吧》,采用的是中国作家协会资深翻译家苏杭的译文。——译注

    [3] 根据1998年出版的回忆录,她在1937年嫁给身为知名作家、《真理报》记者的戈尔巴塔夫,希望获得保护(她父亲作为一名沙皇军官曾在1925年入狱,到1937年,又与她的祖母一起被捕,被送进劳改营。当时她正在拍电影,却因此被解雇,再也找不到其他的表演工作)。在之后的10年中,这对夫妇享受着苏维埃精英的奢华生活,经常出席克里姆林宫的招待会。塔蒂亚娜的美貌,受到内务人民委员会主管拉夫连季·贝利亚的垂涎。1947年,她被贝利亚强奸多次,此丑闻在苏维埃领导人圈子中众所周知。奥库涅夫斯卡娅在回忆录中声称,戈尔巴塔夫并没保护她,因为他刚刚晋升为中央委员,不想制造麻烦。塔蒂亚娜变得狂野,心直嘴快,在克里姆林宫招待会上肆意酗酒,举止轻率。戈尔巴塔夫担心妻子被捕,恳求她申请入党以自救,却遭到她的拒绝。据奥库涅夫斯卡娅说,戈尔巴塔夫为了明哲保身,遂向当局提供她的活动证据。塔蒂亚娜被捕,以间谍罪获刑10年,被送去科雷马劳改营(她经常出国,与外国男子的风流韵事时有所闻,包括南斯拉夫总理约瑟普·铁托)。奥库涅夫斯卡娅的被捕,成为西蒙诺夫夫妇频繁发生争执的起因。奥库涅夫斯卡娅在回忆录中表达了对西蒙诺夫的深刻敌意,称他和戈尔巴塔夫都是讨厌的党内野心家。她还回忆了与西蒙诺夫的首次见面,那是1937年在佩列杰尔基诺地区。她声称,他曾试图强行与她上床,把他描述成(戈尔巴塔夫的朋友中)“最叫人讨厌的人,粗鲁、迟钝、缺乏优雅、肮脏、邋遢”。但这个形象,与西蒙诺夫在他人眼中的儒雅可敬,大相径庭。[T. 奥库涅夫斯卡娅《塔蒂亚娜的一天》(Tat’ianin den’),莫斯科,1998年,第65—66页]

    [4] 1988年之前,苏维埃公众一直不知道这项命令,它的公开属于开放政策的一部分。它当初传达至苏维埃军队各单位是在1942年。

    [5] 第一次世界大战时期,俄罗斯军队曾在喀尔巴阡山投入战斗。

    [6] 在戈洛温家,尼古拉的4个儿子有3个死于1941年的战斗:伊万(当时34岁)、尼古拉(28岁)和阿纳托利(21岁)。

    第七章 普通的斯大林主义者(1945—1953)

    布舒耶夫一家1945年12月从阿克莫林斯克劳改营返回彼尔姆。季娜伊达和3个孩子——奈莉、安吉丽娜、斯拉瓦——搬入苏维埃街上一座共用公寓,与季娜伊达的母亲、弟弟托利亚、弟媳妇以及弟弟的两个幼儿,挤在一个11平方米的小房间。季娜伊达和3个孩子睡一张单人床,托利亚和妻子带着女婴睡另一张床,外祖母和托利亚的另一个孩子同睡。当时10岁的安吉丽娜回忆:“我们挤在一起,真是一场噩梦。我都不知道如何熬过来的。”布舒耶夫一家从劳改营回来时,所有财产仅够装一个口袋。当时12岁的奈莉回忆道:“我们一无所有,只有被褥和身上的衣服。母亲常说:‘我都不知道能否看到我们每人都有自己的床铺的一天。’”她们居住的社区一派败落,自战争爆发以来从没任何修缮,水电全无,房顶坍塌,污水处理系统失效,到处可见害虫。

    彼尔姆远离战场,未遭轰炸,但像后方许多城市一样,因大量撤入者给住房、食品、燃料带来极大压力而陷入困境。主要街道变成了种植蔬菜的自留地,市区没有汽车,只有工厂附近有几辆卡车跑动。城市的木道、长凳、围栏及绝大部分的树木都已消失,变成了柴火。 (719)

    1946—1948年,布舒耶夫一家所住的角落房间图示,位于彼尔姆的苏维埃街77号的一座共用公寓

    在第二次世界大战中,没有其他国家比苏联承受的损失更惨重。 [1] 根据最可靠的估计,从1941到1945年,2600万苏维埃公民丧命(其中三分之二是平民),1800万士兵受伤(苏维埃当局承认的数字远远低于此数 [2] ),400万人失踪。战争给苏联人口带来的后果是灾难性的,18岁到45岁之间的男性死了四分之三。战争结束时,这个年龄段的女子是男子的两倍。在激烈战斗的地区,如斯大林格勒、沃罗涅日、库尔斯克、克拉斯诺达尔,这个比例高达3∶1。农村的不平衡尤其严重,许多农民士兵选择不回去,留在城镇落户,因为那里的工厂需要人手。有的村庄,当初离家奔赴前线的士兵竟一个也没回来。自那以后,苏维埃农业从没获得真正的恢复,集体农庄里只有妇女、儿童和老人。 (720)

    战争对物质条件的破坏是空前的:7万个村庄、1700座城镇、3.2万家工厂、4万英里的铁路,均遭摧毁。在德军占领地区,一半住房受损或遭毁。1945年,尚算不上受损最严重的莫斯科市,其90%的建筑物没有暖气,48%的建筑物没有自来水和下水道。从整体来说,战争造成2000万人无家可归。农村的生活水准逐步下降,大批农民因此迁入城市,更加重了城市的住房危机,苏维埃当局却步履蹒跚。甚至到20世纪50年代,仍有数百万人生活在废墟、地下室、窝棚和地穴中。

    西蒙诺夫1947年成为斯摩棱斯克地区的苏维埃代表,收到数百份要求解决住房的申诉信,很典型的一封信来自1946年转业的一名党员军官。他一家6口,包括3个幼童和年迈的母亲,住在卡卢加城一间没有暖气的地下室,屋顶漏水,墙壁渗水。1941年,他们在斯摩棱斯克的房子被炸,自那以后就一直蜗居于此。他申请新的住所足足花了两年,却面对苏维埃当局的不理不睬;在西蒙诺夫的帮助下,他终于获得了将被安置于斯摩棱斯克的允诺。但由于官僚机构的拖延,最后完成搬家,仍要拖至1951年。 (721)

    战后的苏维埃经济处于灾难之中。1945和1946年的两次歉收,将苏联带到饥荒的边缘,至少有1亿人营养不良。从1946到1948年,确有饥荒发生。在受灾最严重地区,譬如乌克兰,约有200万人死于饥饿。 (722) 消费品的生产在战争中基本停顿,工业生产全部面向军需。尽管宣传机构允诺将有美好的生活,但冷战的现实意味着:在未来10年中,苏维埃工业的主要优先仍是钢铁、能源和军备。基本生活用品非常短缺,特别是像彼尔姆一样的省城,大家都衣衫褴褛,脚登破破烂烂的鞋靴。

    季娜伊达·布舒耶娃在国家保险机构的办公室找到工作,但口粮不足以果腹,于是她设法让奈莉也去上班,当一名办公室的信差。这意味着她们可拿到第二张配给卡。即便如此,布舒耶夫一家也仅能吃上面包、汤和土豆,但买不起肥皂。国营商店里根本没有肥皂,只能去农村买,全是农民非法制造和销售的。家里3个孩子只有一双鞋,轮流穿了去上学。季娜伊达的工资不够为孩子买衣服,只好去市场买碎布来自己缝制,孩子因此不好意思出门。安吉丽娜回忆,姨妈有一次邀请她们上剧院,那已是多年以后的1950年,物质条件有所改善,孩子各有自己的衣服和鞋子,但仍有尴尬的羞涩。

    我们去不了剧院,太羞愧了。我脚上是一双花边帆布凉鞋,四季不换,仅花了3个卢布;身上是妈妈1946年为我做的棉布连衣裙,但买不起外套。我要到1957年才有自己的外套,那是黑色呢子的,质量非常低劣,且是二手货。 (723)

    1945年9月,党中央专门设置一个委员会,调查乌拉尔和西伯利亚地区国防工厂的一系列罢工和示威——当时有许多此类的工人抗议运动。该委员会的结论是:罢工主要原因是住房和消费品的长期短缺,损害了工人的尊严。对于鄂木斯克174号工厂1.2万名工人的罢工,委员会是这样汇报的:

    工人及其家人急需衣服、鞋子、亚麻布。1945年,每个工人平均分到0.38件衣服和0.7双鞋。1944年,450名儿童因为鞋子和衣服的短缺而无法上学。今年,处于这种窘态的儿童上升至1300人。许多工人衣衫褴褛,无法在公共场所抛头露面。工人的家里没有餐具、厨具、勺、杯、碗、凳子、脸盆、足够的床位以及其他必需品。分配口粮会有长时间的拖延,其中大部分又是替代品。工人几乎都领不到肥皂、盐或煤油。 (724)

    人们因战时经验而壮胆,不再害怕表达心中的不满。1945至1946年,仅俄罗斯共和国的内务人民委员会,就收到50多万封苏维埃公民的信件,抱怨国家的宏观形势。一名工人甚至在愤怒的信件中大胆写下自己的名字和地址:

    这就是我们得到的!这就是斯大林的第4个五年计划中,你们所谓的国家在物质生活上对劳动人民的关心!我们现在才明白为什么没有召开这些问题的讨论会——因为,它很容易演变成反抗和起义。所有的工人都在问:“我们打仗,到底图个啥?” (725)

    在战争的尾期,人们坚信苏联的生活将有好转。作家伊利亚·爱伦堡写道:

    大家都在期望,一旦赢得胜利,就会看到真正的幸福。当然,我们知道,国家受到了摧毁,变得贫穷,必须努力工作。我们对金山银山不抱幻想,只是相信,胜利将带来正义,人的尊严将战胜一切。

    对改革的期望,更强烈的独立意识,对美好生活的憧憬(来自与欧洲的碰撞和西方书籍、电影)……这一切激发了新兴政治团体的振奋和躁动。人们经过了战争洗礼,抛弃旧日的恐惧,交谈得更加自由。在退伍军人俱乐部、学生会议场所、咖啡馆、啤酒厅,人们尽情享受自己在战争中初尝的自由,谈论必须提高人民生活水平。即使在最高层圈子中,变化也被认作是政治上的不可或缺。一位资深将军在私人电话交谈中告诉另一位:“千真万确,大家都在公开表达对生活的不满,到处都可听到。”这是内务人民委员会在1946年的窃听录音。政治局委员阿纳斯塔斯·米高扬在回忆录中提及,他当时相信,随着战争的结束,苏联将返回20世纪20年代的新经济政策。 (726)

    反斯大林的意见很少公开发表,但在非官方交流中大家都心照不宣,使一定的社交、种族和职业的团体,以及囚徒、流放者因此团结起来,有时甚至是整座城市都对政权抱有敌意。列宁格勒战时的围城经验,培植了该市居民反莫斯科的强烈情绪。在他们的眼中,这既是公民独立的标志,又是反克里姆林宫的象征。这种异议巧妙地体现于围城的传说、献给受害者的公共纪念碑以及俚语、笑话、轶事之中。

    玛丽安娜·戈登1945年从撤退地车里雅宾斯克回到列宁格勒,其时17岁。她的父亲在整个围城期间一直留在列宁格勒。他是苏维埃贸易代表团的翻译,又是一名活跃的神智学者,在20世纪20年代和30年代,曾多次入狱。这次回来,玛丽安娜注意到,父亲在表达对斯大林政权的厌恶时已变得更加开放。她回忆起父亲1945年的一次评论,如果是在战前,即使在家里,他也绝不允许自己如此不慎:

    收音机响着,父亲躺在床上看书,我在擦地板。歌唱家[尤里·]列维坦出场,唱起一首当时无处不在的歌曲《光荣属于斯大林同志!我们伟大的领袖》。爸爸说:“玛丽安娜,掐死这个汉斯·萨克斯!” [3] 他只是要我关掉收音机,但我仍大吃一惊。到那时为止,或多或少,我已接受了斯大林同志是胜利缔造者的解释。尽管有疑惑,但我一直在努力克服,爸爸的话却加深了我的怀疑。 (727)

    怀疑和异议在战后的学生社团里获得了突出的发展,公开的反对更为常见。战争期间长大的一代学生,与1941年之前长大的相比,思想更为独立。在战争中,许多年轻人已接触到成人世界,经常听到对政权的批评。尽管他们中的大多数仍然相信共产主义理想,但他们的亲身经历使自己养成了特殊的独立个性,并与苏维埃的宣传和共青团的循规蹈矩保持一定的距离。瓦伦蒂娜·亚历山德罗娃的父亲是布尔什维克的官员,被捕于1938年;她自己1947年进了列宁格勒理工学院,她描述了自己同学中的价值冲突:

    我们追随那个时代的精神,肯定是爱国者,我们伟大的祖国刚刚赢得战争。我们把自己当做青年近卫军,并以此名义成立了一个俱乐部。 [4] 但我们反对在社会上亲眼目睹的腐败——某女孩学习不好,但得到好成绩,因为她是模范工人或模范工程师的女儿,诸如此类。我们不喜欢的还有许多其他类似的情形:强制我们参加党史讲座;教师让我们在练习簿封面上写下各自的共青团员证号;对我们的宣传努力缺乏诚意。在我们看来,共青团似乎是野心家的集聚地,我们避而远之,在理工学院内自组小圈子,聚在一起喝酒,讨论各种政治思想。如果有人听到谈话内容,我们可能会被捕。我们之间的危险谈话,让我们团结得更加紧密。在我们圈子里,反对斯大林的个人崇拜是我们团体的标志。有人喝了几杯后会变得非常大胆,讽刺地提出干杯:“为斯大林同志!”大家都笑成一团。 (728)

    这样的非正式学生团体有很多,大多数只是讨论小组,鼓励大家既阅读官方批准的书籍,又作出独立的思考。另有更加政治化的团体,信奉某种形式的共产主义新生,来对抗他们看到的“野心家”对共青团的主宰,通常受到内务人民委员会的监视。这些团体很小,只有很少的学生成员,所表达的意见却得到许多年轻人的赞同。譬如,在车里雅宾斯克城,内务人民委员会发现一个学生小组,他们出版自己的年鉴,登载神秘诗歌和政论文章,呼吁在共青团内恢复列宁主义的革命精神。1946年9月,地方党委的一份报告发现,这些态度在车里雅宾斯克的学生中得到了广泛的认同,学生们都感到共青团高高在上,未能满足他们对外国文学、性问题和哲学的兴趣。 (729)

    1945年,艾莱娜·舒瓦洛娃与母亲从疏散地返回列宁格勒,开始上大学。20世纪30年代,由于父亲与他身在德国的母亲仍有书信来往,全家流放到沃罗涅日城。艾莱娜的父母于1939年离婚,在流放中长大的耻辱已给艾莱娜留下烙印,借用她自己的话,使她变得更加“内向”,并“在心中抗拒苏维埃制度”。母亲是专绘斯大林肖像的艺术家,家里没外人时,常对斯大林作为一国之父进行嘲讽,更加深了艾莱娜心中的抗拒。她从小由母亲带大,要“相信上帝,始终讲真话”,感到自己越来越疏远于大学环境,不得不隐瞒自己的过去。对她来说,开放和直率成了她坚持自己个性的代名词。她与两个最值得信赖而且均有污点履历的朋友,自组一个讨论小组。她回忆:“我们的初衷是相互之间必须完全坦诚,我们在朋友家的共用公寓召开第一次会议,讨论如何吸引新成员,只想发展‘自己类型’的——而不是循规蹈矩的。”但该小组半途而废,因为艾莱娜将之透露给自己的外祖父,他是前沙皇官员,吓了一跳,劝她赶快停止。他还透露了一个家庭秘密,以劝阻她的计划:艾莱娜的父母在20世纪30年代受到处罚,不只是因为与德国居民通信,更是因为参加了一个秘密的宗教团体。 (730)

    柳德米拉·埃利亚舍娃1940年进入列宁格勒大学。她的父亲两年前被捕、遭枪决,曾是一名资深的布尔什维克和列宁格勒著名的神经学家。1941年,柳德米拉跟随大学疏散至萨拉托夫城,1944年回到列宁格勒,于1946年毕业。至此,她已形成了反斯大林政权的见解。对她的思想具有重大影响的是列宁格勒大学校长亚历山大·沃兹涅先斯基。他是一名杰出的政治经济学家,通过招生,拯救了不少“人民公敌”的子女。他充满道德勇气和人道精神,既有魅力,又长得英俊。柳德米拉回忆,沃兹涅先斯基是“我理想中的苏维埃人,我甚至写信向他倾心吐胆。在某种程度上,他代替了原是我理想人选的父亲”。沃兹涅先斯基的讲座让柳德米拉对马克思有了更多的了解,马克思的早期作品更成了她的福音和反斯大林政权的道德基础。柳德米拉反思:“马克思是一位伟大的人道主义者。”

    我听了沃兹涅先斯基的讲座,攻读了马克思的著作,才开始懂得:真正的社会主义,即共产主义思想,与我们在斯大林统治下所经历的,完全是南辕北辙。我们的任务是返回到真正的社会主义,像父亲那样的人,在那里是不会被捕的。

    柳德米拉供奉的是马克思的肖像,而不是斯大林的,她每天都会在肖像前,一边画十字,一边自言自语,像是在做祈祷:“卡尔·马克思,教我如何生活吧!”她与大学朋友组成一个马克思主义学习小组,每周在公共图书馆聚会一次。像19世纪地下革命者一样,学习小组中的友谊全以政治原则为基础。柳德米拉回忆一个典型事件:

    有一天在公共图书馆,我们几个人站在楼梯上交谈。有人说:“苏共十九大的召开,为何遇上这么长的延迟?这肯定违反了党的规章制度!”苏共十八大[1939年]之后,已超过5年[苏共十九大的最后召开是在1952年]。在我们眼中,这似乎违背了党的民主原则[从1917到1925年,规定是每年一次;从1956到1986年,每5年一次]。然后,这位女孩说:“斯大林肯定知道得最多最好!”我看看她,心想:“这就够了!”对我来说,她作为一个“人”已不复存在。 [5]

    学习小组开始阅读课堂教材之外的文学作品,像后来的持不同政见者一样,也想找出一种“道德准则”。如柳德米拉所说的,有了它,“即便在一个全然否定道德准则的社会,我们仍可活得更加诚实,无需口是心非”。

    从马克思那里我们学到了但丁。马克思引用了他的座右铭“走自己的路,让别人去说吧”。我们经常讨论这一条,得出的结论是,虽然不可完全忽视他人的意见,但应尽量遵循自己的道路,无须牺牲自己的原则,无须追随大流,人云亦云。 (731)

    斯大林很快排除了政治改革的可能,1946年2月9日,他在战后第一次重要讲话中直接挑明,苏维埃制度不会有任何缓和。当时的大背景是愈益紧张的冷战气氛。斯大林呼吁苏维埃人民加强纪律,作出更大牺牲,克服战争的破坏,迎接资本主义制度必将带来的全球冲突(只要资本主义存在,就会有战争,苏维埃必须做好准备)。斯大林要求部下,在有关民主的谈论广为传播之前,就要发起“猛烈的进攻”。审查制度收得更紧,特别是针对战争回忆录,其中的集体经验往往提倡改革。 (732) 内务人民委员会获得加强,在1946年3月改组为两个独立机构:一个是内务部,以后专管国内安全和古拉格系统;另一个是国安部(克格勃的前身),以后专管反间谍和外国情报的工作。因为政权的敌人其实是“外国间谍”,国安部的任务也延伸到国内监控。战后几年虽然没有达到20世纪30年代的恐怖水平,但每年仍有几万人被捕——被控在冷战中站在西方一边的犹太人和其他民族——由法庭裁定犯了“反革命罪”。 (733)

    战争结束后,斯大林立即在军队和党的领导阶层推行新的大清洗。所谓的“自由”改革派,形成了敌对的权力中心,对斯大林的个人权威构成了挑战。斯大林的首要任务是铲除军队高级领导人,他们因1945年的胜利而享有巨大声望,其中的朱可夫元帅更成为改革派的寄托。 [6] 国安部开始监听高级指挥官的电话交谈,专为朱可夫建立了一个档案,因为他的声望气势已达不能容忍的地步。他是德国的苏维埃占领区的军事长官,在柏林举行的记者招待会上,他揽下了苏维埃胜利的主要功劳。斯大林申斥他的大言不惭,把他召回莫斯科接受军事委员会的审讯。会上,有政治局委员谴责他给苏维埃国家带来了波拿巴式的威胁(但除了一名将领,其余的都为他说了好话)。依照斯大林的命令,朱可夫被降职为敖德萨军区司令,后来又被送去乌拉尔,担任一个卑微官职(原本可以更糟,因为有谣言称,朱可夫试图发动反斯大林的军事政变)。朱可夫的名字消失于苏维埃的报刊,更被剔出伟大卫国战争的苏维埃历史,而斯大林成了胜利的唯一指挥者。其他普受欢迎的军事英雄,一一难逃类似的命运:前参谋长安东诺夫元帅,外放去了外高加索军区;罗科索夫斯基、科涅夫、沃龙诺夫、瓦图丁等人,被删出官方的战争记录;从1946到1948年,还有数名高级指挥官,以莫须有的叛国罪名,遭到处决或监禁。 (734)

    斯大林还把矛头指向列宁格勒的党领导。这座城市亟想摆脱莫斯科的控制,它充满了文学艺术的活力,以19世纪的欧洲价值观为基础,逐渐成为知识分子改革愿望的堡垒。列宁格勒的党领导既不是自由派,也不是民主派,只是技术官僚,相信苏维埃制度的合理化。其中一些已在战争期间晋升到莫斯科的高位,得力于列宁格勒前主管安德烈·日丹诺夫的提携。战后,日丹诺夫负责党组织,还掌管意识形态和外交政策。他在1948年死于心脏病时,政治局成员中的列宁格勒人多得不成比例。其中有尼古拉·沃兹涅先斯基和阿列克谢·库兹涅佐夫,他们曾被广泛认作斯大林的潜在接班人。像他的兄弟、列宁格勒大学的校长一样,尼古拉·沃兹涅先斯基也是政治经济学家,年轻有为,充满活力,英俊潇洒。作为国家计划委员会主席,他是苏维埃战时经济计划的主要策划人。1945年之后,他按照新经济政策的思路, [7] 试图让苏维埃工业的重建更趋合理化。当年,为振兴遭受内战破坏的国家,新经济政策曾立下汗马功劳。库兹涅佐夫是负责安全事务的中央委员会书记,但他的声誉鹊起主要归功于他在列宁格勒围城时的军事业绩。这是他在列宁格勒普受欢迎的主因,却成了不断刺激斯大林的根源。

    1949年,斯大林委派格奥尔基·马林科夫,前去检查列宁格勒的党组织工作。他是共产党书记处的主管,又是沃兹涅先斯基和库兹涅佐夫的死敌。马林科夫的借口是调查区党委操纵选举的指控,真正目的是要打破列宁格勒的权力基础,首当其冲的是“列宁格勒保卫战博物馆”。该馆的展品把围城的历史,当做全市人民勇敢的集体行为,基本上独立于党的领导之外。结果,博物馆关闭,负责人被捕,珍贵的个人文件和回忆录全遭销毁,仿佛是在抹去该城的独立、英勇的印记。1949年8月,在所谓的“列宁格勒案件”中,库兹涅佐夫、沃兹涅先斯基和其他几位特立独行的列宁格勒官员,包括列宁格勒大学校长,全都被捕,遭到莫须有罪名的指控(从英国间谍到花天酒地)。沃兹涅先斯基等人在1950年10月的秘密审判中被判有罪,同一天遭枪决。

    与战后政治压制配对的是计划经济的卷土重来。斯大林在1946年2月9日的演讲中警告,国际形势的紧张不会减缓;同年推出了新的五年计划,以巨大的建筑项目来恢复国家的基础设施。工业生产的目标定得如此离奇,如果要完成,每一名工人都必须成为劳动模范。苏维埃的宣传连哄带骗,要大家再作出一段时间的牺牲,并一如既往地允诺,辛勤工作将获得廉价消费品的奖励。然而,对于大多数人而言,很难相信如此的允诺。少数的基本家用品,即使可以买到,也价格奇贵,无疑在降低实际的工资收入。为了应付通货膨胀,政府在1947年推出货币改革,10卢布旧币只能交换1卢布新币,从而大大消减了农民的消费力。战争期间,对小额贸易的限制有所放宽。农民出售蔬菜和手工制品,积累了一定储蓄,然而遇上这次货币改革,却变成竹篮打水一场空。 (735)

    在战后的苏维埃经济中,由于斯大林和其“厨房内阁”的命令,强制劳役发挥了日益重要的作用。随着战争的结束,可供国家开发的无偿劳动力得到了快速增长。除了古拉格囚犯和征来的劳动大军,还有200万德国战俘、100万其他轴心国家战俘,主要用于木材采伐、采矿、建筑,其中怀有技能的,偶尔也会受雇于苏维埃工业部门。在有些工厂,德军战俘在生产过程中变得不可或缺,拘留营干脆就建在工厂之内,管理人员更试图阻止战俘的遣返。古拉格人口也在增加,1945年的特赦释放了很多人,但从1945到1950年,劳改营又收进100多万新囚犯,主要依靠对“民族主义者”的大肆搜捕(乌克兰人、波兰人、白俄罗斯人、拉脱维亚人、立陶宛人和爱沙尼亚人)。他们的领土被红军夺回,却从没真正融入苏维埃的政权体系。古拉格系统扩展成一个庞大的工业帝国,拥有67个综合企业、1万个单独劳改营和1700个殖民营,到1949年共雇用240万名劳工(战前是170万)。就总体而言,从1945到1948年,估计苏维埃工业劳动力的16%—18%是强征的劳工。他们主要在寒冷和边远的地区开采贵金属,当地的自由劳工,即使能找到,也是非常昂贵的(因此,强制劳役对苏维埃经济的贡献,远远高于统计数字所提出的)。奴役劳动也参与了20世纪40年代末的大型建设项目。那些项目,至少在官方眼中,象征了战后的信心和苏维埃制度的成就:伏尔加至顿河的运河、古比雪夫水力发电站、贝加尔至阿穆尔的铁路、北极铁路、莫斯科地铁的延伸,以及列宁山上的莫斯科大学。那些年,7栋像婚礼蛋糕一样的大厦(“斯大林的大教堂”),以铺张的“苏维埃帝国”风格在首都地区耸立起来,莫斯科大学就是其中之一。 (736)

    战后几年也看到古拉格和民用经济的逐步相融。每年约有50万古拉格劳工外包给民用部门,主要集中在建筑工地或民用部门抱怨劳动力短缺的地方。另有大约同样数量的自由劳工,大多数是专家,在古拉格的工业部门领薪工作。古拉格系统越来越趋向于物质奖励,即使在应付强制劳工时也是如此。劳改营的居民变得愈益不羁,难以控制。1945年的大赦涉及约100万囚犯,主要是刑事犯,他们的刑期或减少,或废除。劳改营留下的多是“政治犯”——不再是20世纪30年代充斥劳改营的知识分子类型,而是曾上过战场的年轻人,例如外国战俘、乌克兰和波罗的海的民族主义者——他们敌视苏维埃政权,不怕动用暴力。没有奖励,这些囚犯干脆拒绝完成指标,看守囚犯的成本也高涨成了天文数字。到1953年,内务部在劳改营雇用25万狱警,古拉格的维持费用两倍于古拉格劳工所创造的收入。内务部的几位高级官员,对强制劳工的划算与否深表怀疑,甚至在酝酿对策,或废除古拉格某些部门,或将囚犯转换成另一类平民。这些想法获得了贝利亚和马林科夫的支持,最终仍没得到认真地讨论,因为斯大林是古拉格系统的坚定支持者。 (737)

    诺里尔斯克综合企业是战后古拉格经济和民用经济相融的良好榜样。从1945到1952年,其囚犯人数增长3倍,从10万升至将近30万。大多数新来者,不是从“过滤营”(通过审讯,筛选出“与敌合作者”)挑出的、来自欧洲和前纳粹占领区的苏维埃战俘,就是从波罗的海地区和乌克兰围捕而来、权作“民族主义者”的士兵和平民。同时,自由劳工的人数也有稳步增长。如果加上获释后自愿留下(或被要求留下)的领薪囚犯,在诺里尔斯克综合企业1949年的总人数中,约有三分之一是自由劳工。最后,还有一大批作为志愿者的共青团积极分子,以及自愿前来团聚的囚犯家人。 (738)

    列夫·内托1925年出生于爱沙尼亚共产主义者家庭,他们家早在1917年就搬到莫斯科。父亲是拉脱维亚步枪队成员,在帮助列宁夺取政权时,起了至关重要的作用;母亲成为外交部官员,给儿子起了自己心目中的英雄托洛茨基的名字。1943年,列夫参加红军,分到内务人民委员会的特殊游击队,被派去德军防线后的爱沙尼亚作战。1944年,列夫被敌人抓获,囚禁在拉脱维亚的德温斯克地区,后来被送去德国法兰克福附近的战俘营。1945年4月,全体战俘被迫西行,列夫和其他囚犯得以从队列中逃脱,获得美军的解救。列夫在美军营地中待了两个月,虽受到不必返苏的劝说,仍在1945年5月回到苏联。其时,他20岁,很想上大学,但一走进苏维埃边境,先被送去过滤营,接着被送进红军。之后3年中,列夫在新近夺回的乌克兰西部充当一名普通战士。1948年4月,他在罗夫诺城被捕,被指控为美国间谍。内务人民委员会审讯员予以酷刑逼供,指控他在战争期间向德军出卖游击队,并威胁要逮捕他的父母。列夫因此签署了认罪书,被判处25年劳役,外加5年在诺里尔斯克流放。 (739)

    玛丽亚·德罗兹多娃1945年4月在柏林遭到红军逮捕,被送去诺里尔斯克。4年前,即17岁那年,玛丽亚与父母还住在列宁格勒附近的小镇红村时,沦为德军的俘虏。她被带去爱沙尼亚,在一所野战医院充任护士,然后去了柏林,成为纳粹高官的家仆。德军多次想征募她为间谍,但都受到抵制——她因此承受多次殴打——但她的伤疤不足以打动苏维埃的军事法庭,仍以“叛国罪”判她去

    诺里尔斯克10年。 (740)

    斯大林对苏维埃经济的战后重建自有一套想法,在他眼中,诺里尔斯克的贵金属扮演着重要角色。为了刺激诺里尔斯克的劳工,劳改营管理部门采用越来越多的劳动积分和货币奖励。到1952年,对诺里尔斯克的大多数囚犯来说,现金工资已成为规范,每人平均每月赚取225卢布,约等于正常民工的三分之一。在诺里尔斯克,伙食和住房算是“免费”的。许多志愿工赚取特别(“北部的”)工资,远远高于他们在古拉格系统之外所能赚到的。 (741) 诺里尔斯克开发了奇怪的混合体:这是一个监狱,囚犯却在领工资。但尊严的丧失,以及被迫在不人道的条件下生活和工作,光靠薪酬是无法弥补的,造反闹事只是一个时间问题。

    战后几年受过教育的苏维埃新“中产阶级”得到巩固发展。从1945到1950年,大学和高级学校的学生人数增加一倍。技术和管理的新专业阶层崛起,在此后数十年内,成为苏维埃制度的主要官员和受益者。这些新精英不同于20世纪30年代的苏维埃干部:他们教育水平更高,眼光更灵活,更稳定。他们的专业资质,不但保住了自己在苏维埃制度中的高级职位,而且确保自己不会因出身不好或思想不纯而遭到剔除。在苏维埃精英的治理原则中,专业能力已开始取代无产阶级价值。

    创造这个专业阶层是斯大林政权的既定政策。它承认,苏联需要一个广泛可靠的工程师、行政官员、经理的阶层,既要与资本主义经济竞争,又要为苏维埃制度的安定提供坚实的社会基础。1945年以后,如果不想被政治改革的广泛需求压垮,便需要忠心耿耿的中产阶级的支持;而赢得忠诚的最直接手段,就是满足人们的资产阶级愿望。这一新兴的苏维埃资产阶级所获得的奖励,就是安全和高薪工作、私人公寓及舒适家庭的天伦之乐。战后初期,仅有少数消费品可满足他们的愿望,但像20世纪30年代一样,却作出了“美好生活”的大量允诺。苏维埃的宣传、电影、小说,描绘出个人生活的幸福形象,只要努力学习、勤奋工作,大家都能达到。在战后的电影和小说中,个人致富变成了勤劳和忠诚的公正报酬;追求私人幸福、家庭生活、物质享受,变成了新兴的正面(“苏维埃”)价值。 (742)

    拓展高等教育体系是创造这个中产阶级的关键。20世纪50年代初,苏维埃大学有170万在读学生,高等技校和学院有200万在读学生。 (743) 学生群体基本上是一个混合体,既有知识分子的儿女,更多的是苏维埃精英的子弟,还有不少出身卑微、战争中参军晋升、此时获得优待的年轻人。他们脱颖而出,升为管理和技术的精英,其成就并不归因于阶级出身或政治狂热(例如20世纪30年代的行政官员),而归功于苏维埃学校和大学的教育。他们对制度的认同,与自己的专业身份紧密相连。身为工程师、技术员、经理、计划制订者,自身的专业定义就是要确保苏维埃制度的行之有效,所以欣然接受计划经济和计划社会的合理性。尽管在政治上,或许因为自己家人受到迫害,他们有理由反对斯大林政权。

    为了在职业道路上取得成功,至少在表面上,必须遵循政权的要求。一名工程师在1950年解释:

    如想取得进步,必须充满活力、坚持不懈,还要做到闭嘴并戴上面具……如果某人能高声呼喊“斯大林万岁!”……并顺口唱出歌曲《我找不到呼吸更自由的国家》,那他一定会成功。

    据接受本书采访的逃亡者说,苏维埃行政官员中最常见的,不再是20世纪30年代的共产主义信徒和积极分子,而是那些野心家,虽然不相信党及其奋斗目标,却认真执行它的各项命令。 (744) 通过这些普通的斯大林主义者,即尽心尽职的数百万技术专家和低级官员,苏维埃政权趋于常规化,其行为变得官僚化,当初导向大恐怖的革命冲动,逐渐转化成忠心耿耿的专业精英的四平八稳。

    掩饰一直是苏俄必要的生存技能。但在战后,阶级出身和政治热情逐渐让位于外表的遵循和顺应,戴上面具的艺术能耐达到了炉火纯青的地步。曾生活于战后波兰共产主义制度下的切斯瓦夫·米沃什认为,人们已习惯于在公共场所故作姿态,开始显得极其自然:

    他与自己的角色相识太久,已变得天衣无缝,以至于不再能区分什么是模拟的自我,什么是真实的自我。所以,即使是最亲密的亲友,相互交谈时也会把党的口号信手拈来。真实的自我与必须扮演的角色一旦合二为一,岂不带来解脱,可让自己放松警惕。在适当的时刻作出适当的反应,已是真正的自动行为……这种规模的表演,在人类历史上非常罕见。 (745)

    在公共角色中完全丧失自己的毕竟还是少数,分裂的身份也许更能代表苏维埃的心态。就像一名演员时时关注自己的表演,大多数公民明确地意识到私人自我和公共自我的差别。为了维持这两个身份的井水不犯河水,他们设计出很多对策:如何压抑具有潜在危险的想法和冲动,如何应付会让自己问心有愧的道德困境。

    20世纪40年代末和50年代初的年轻专业阶层,与20世纪30年代的父母相比,面临着全新的难题。从父母身上继承了污点履历的人群中,只有很少人笃信现行制度(与父母辈截然相反),但多数人被迫从中找出一条对策——复杂的战略性游戏,涉及掩饰(自欺)、循规蹈矩和道德妥协。许多人在职业道路上所面临的第一个道德选择,即是在招工和申报大学的履历表中,是否透露自己亲人的被捕。讲真话会有遭拒的风险,不讲真话,万一被当局识破,可能会有更严重的后果。

    伊琳娜·亚历山德罗娃1946年进入列宁格勒理工学院,在经济学系注册时就隐瞒了父亲的被捕。然而,到了第二年,在旅行考察之前的另一张表格中,又披露了真相。伊琳娜认为:“时代变了,大家变得更加自由;出身对于人民公敌家庭,不再带有任何的耻辱。”事后回顾这些事件,她认为自己受了朋友的影响,而那些朋友,都来自从没受过迫害的家庭。理工学院的共青团组织收到第二份表格后,组织了同年级全体学生的“清洗会议”,要她解释当初为何“隐瞒社会出身”。共青团的领导指责伊琳娜的行为“卑鄙可耻”,犹如她的“人民公敌”父亲,也算是一种“反苏维埃态度”。会议通过了一项决议,建议理工学院开除伊琳娜。伊琳娜的得救,全靠一名身为系副主任的讲师。他曾于20世纪30年代初的工业清洗中被捕,最近才从前线复员回来。伊琳娜回忆:“那时,从前线回来的士兵仍掌控理工学院的道德基调,不容许清洗文化的回潮。他们牢牢掌控学生和宿舍,确保积极分子没在欺负像我这样的人。”该讲师保住了伊琳娜,甚至让她继续参加旅行考察;伊琳娜最终以优异成绩毕业于理工学院。但到1949年,由于“列宁格勒案件”,该讲师本人在理工学院的大清洗中遭到开除。 (746)

    1947年,伊娜·盖斯特(中)与两个朋友在莫斯科大学

    许多人认为,在表格中声明父母的被捕是“为人诚实”的表现。他们遵循苏维埃的方式长大,相信私人生活应接受公众的监督,生活在真实当中才是最重要的。其他人则认为,否认父母的逮捕,相当于以自我中心的理由作出背叛;反过来,接受继承于父母的污点履历,在某种程度上是对他们保持信心的表现。伊娜·盖斯特1944年注册为莫斯科大学的学生,总是填写父母被捕的真相,因为她害怕如果只透露一半的真相或撒谎,等于滑到了背弃他们的边缘。

    我对此很恐惧……我担心,在父母一事上撒谎无疑是在放弃他们……公开声明自己是人民公敌的女儿,我觉得,反而是在保护自己,省得别人来逼迫我背弃自己的父亲。即使知道他已死去,在我看来,那仍是一个非常糟糕的举动。 (747)

    有些人为了不危及自己的职业生涯,选择隐瞒自己的污点履历。他们心中有许多辩解的理由:父母并不是真正的人民公敌,所以不算是在隐瞒罪行;父母本来就希望他们在社会中获得上进;这种隐瞒是成为诚实苏维埃公民的唯一途径。因此,列昂尼德·马赫纳茨1949年申请莫斯科电影学院时,称父亲弗拉基米尔(被捕于1941年,判处在西伯利亚劳改营服刑10年)只是在战争期间“消失了,无迹可寻”。 (748) 弗拉基米尔·弗拉索夫干脆扔掉自己的姓(济科尔),改用姨妈奥莉加·弗拉索娃的姓。当初,父母被捕后,他是在列宁格勒的姨妈家长大的。1948年,弗拉基米尔在一个秘密的军事基地找到工作。他回忆道:

    我在每一份表格中填写同样的信息。姐姐帮我准备一张答案纸,可随时参照,每次都能提供统一连贯的答案。我总是填上虚假但一致的出生地点和日期,总是说从小就失去父母,“没有父亲的任何消息”。至于母亲,我总把她叫做尼娜·伊波利托夫娜[假名字]。我还虚构了一个故事:她曾在战争中赢得3枚勋章,从未结过婚,但有个来自巴黎的情人,名叫鲍里斯·斯捷潘诺维奇,自己当时太小,只记得他是一个艺术家,画了很多母亲的素描。我一直编造这个故事,直到1980年。其时,我终于让已86岁的母亲“寿终正寝”。 (749)

    这种谎言只有在苏联,即世界上最官僚最低效的国家,才能存活这么长久。

    那些想忘记自己过去的人,与其受迫害的父母的关系,一定会发生大的变化。就像伊娜·盖斯特所担心的,放弃这样的父母始终是一种诱惑。安吉丽娜·布舒耶娃早在阿克莫林斯克劳改营时就加入了少先队,1946年她与母亲、姐姐一起归来,后来在彼尔姆成为共青团积极分子。她亟想成为“平等的苏维埃公民”,克服家庭出身的耻辱,享有与其他公民一样的权利。1951年,安吉丽娜在彼尔姆的教育学院注册入学,很快当上共青团书记。她热爱斯大林。她的父亲1937年被捕,母亲1938年被捕,还有后续的家破人离,但她不愿相信这一切都是斯大林的过错。母亲持有不同的看法——在20世纪50年代的早期,这仍是危险的想法——所以,家里从不谈论过去。安吉丽娜尽量不去思考父亲的遭遇,只有通过拒绝想他才能朝前看,才能在彼尔姆的工厂追求自己的前途。她从不与身为工厂党干部的丈夫,谈及自己的父亲:

    我们在家里常说:“知道得越多,就老得越快!”或者“知道得越少,活得越容易!”在1991年从工厂退休、开始领取退休金之前,我从没跟任何人谈起我的父亲。 (750)

    列昂尼德·萨尔特科夫1927年出生于神父家庭,父亲于1937年被捕。他是5个孩子中的长子,感到有责任帮助母亲。母亲身为邮政员,收入微薄,难以养家糊口。他虽然很聪明,读完四年级之后,却因自己的污点履历而被学校开除。列昂尼德当过各种临时工,最后隐瞒父亲的被捕,设法进了工厂技校。如他所回忆的,他想成为一名工程师,在政权高度重视的职业中表现突出,以证明自己是“一流的苏维埃公民”。1944年,列昂尼德在车里雅宾斯克的军火工厂找到一份电气工程师的工作,晚上还在技术学院攻读。他在所有的表格中都填报父亲于1942年去世,暗示他死于战争年代。列昂尼德解释:“没人会去审查那样的日期。”

    我一直坚持这个版本——直到1958年。其时,我当上军火工厂“秘密小组”的特殊部门负责人,觉得应该厘正档案……我害怕,在这个“秘密小组”里工作,他们会审查我的履历,一旦发现我一直在撒谎,就会指控我是一名间谍。

    列昂尼德要到1963年才得知父亲的遭遇(枪决于1938年)。在那之前,他一直坚称自己对父亲的下落茫然不知。他坦言:“我的唯一兴趣是如何攀登职业阶梯。为此,我不得不保守过去的秘密……父亲被捕的真相会抹黑我的声誉,摧毁我的前途。”列昂尼德1965年入党,最终成为自己工厂的党委书记,手下有1500名党员。他是一名狂热的斯大林主义者,为斯大林的逝世而悲痛欲绝。他的办公桌上一直供有斯大林的相片,直到他1993年退休。列昂尼德不相信斯大林应为自己父亲的被捕负责(至今仍坚持己见)。与此相反,他感谢斯大林让自己从不起眼的乡村神父的儿子,成长为工厂的高级主管。 (751)

    为职业生涯而忘记过去,使许多家庭关系受损。1946年,尤里·斯特雷勒兹基以高分毕业于第比利斯的高中。他想回从小长大的列宁格勒攻读理工学院的工程系,却遭到拒绝,原因是他在申请表格中承认了父母作为“人民公敌”被捕。尤里设法在列宁格勒的多家工厂找到兼职工作,这使他能成为理工学院夜校的借读生,但不能参加期末考试,无法拿到毕业证书。1948年,他在列宁格勒共产党出版社担任非正式的技术设计师,其时,该出版社刚从德国引进新技术。尤里在安装新式机械中发挥了重要的作用,但由于是非正式雇员,没有得到任何奖励或认可。事实上,新式机械一旦正常运行,他就被解雇,因为他在填写表格时坦露了父亲的被捕。尤里在之后的3年中当了一系列的临时工。1951年,他的母亲从哈萨克斯坦的流放地返回列宁格勒。她因丈夫的死亡和漫长的流放而备受煎熬,无法找到工作,生活得非常辛苦。尤里不但没去探望她,而且不愿予以资助。自己的苦涩经历使他变得自私,他在接受采访时承认:

    我成为自我中心者,以铁石心肠对待他人,甚至是自己的母亲。我不去想她,把她彻底忘掉。我把她看作一种负担,眼不见,心不烦。这很可耻,却又是真实的。

    1953年,尤里向普尔科沃天文台申请高级技术员的工作,这一次,没有透露自己的污点履历——改写成父母双亡——因此而中选。 (752)

    有些年轻人拼命为自己的职业生涯着想,心甘情愿充当内务人民委员会的举报人。安全机关喜欢从“人民公敌”的子女中招募举报人,知道那些人很脆弱,其中很多人亟想证明自己是有价值的苏维埃公民。

    塔蒂亚娜·叶拉金娜1926年出生于列宁格勒的商人家庭,1917年以前这家人曾非常富有。基洛夫遇刺案发生之后,叶拉金一家1935年被流放去了哈萨克斯坦。1945年,塔蒂亚娜申请在莫斯科大学攻读数学,虽然成绩很好,但因“异己分子的社会出身”而遭到拒绝。于是,她改上了莫斯科的交通工程机电学院,该校急需优秀学生,对她的家庭出身关注较少。在莫斯科上学是塔蒂亚娜的梦想,她开始上课后不久,机电学院宣布开展一场清洗运动,以铲除“社会出身不受欢迎者”。塔蒂亚娜因此逃到列宁格勒,进入电气工程学院。学校当局很高兴如此优秀的学生前来申请,对她的污点履历故意视而不见。在她学习的最后一年,学生必须参与发电站的“秘密”工作;同时,铲除不可靠者的运动也愈演愈烈。她被选中来举报同学的活动:

    他们说,这没有什么可耻。不知何故,我设法说服自己:他们讲得不错。他们告诉我,如果听到学生散布学院的负面消息,或在发牢骚,即使是私下交谈,都要立即汇报,而且不能让受举报的人知道。

    塔蒂亚娜使出浑身解数,尽量少作汇报,只转述听到的传言,并不提及具体的名字。但是,要她提供更具体信息的压力愈益增大。如果她拒绝,像前一年的一些人一样,可能会被电力部分配去偏远的北极地区。其时,电力部正在呼吁电气工程学院的毕业生支援边疆。她在最后一次考试前提交报告,导致3名学生被捕。她分到一份莫斯科的好工作,在水电托拉斯上班。 (753)

    瓦伦蒂娜·克鲁波特娜一直靠举报来推动自己的职业生涯。她1930年出生于白俄罗斯的农民家庭,她家在农业集体化的运动中被打成“富农”。家里的房子和农场都被摧毁,父亲被送去流放地,留下母亲和两个幼女,栖身于以废墟材料建成的窝棚。由于是“富农”的女儿,不得上学,瓦伦蒂娜的童年与母亲一起从事各式低薪杂活。她们先搬去伊尔库茨克,然后再到阿巴坎城——位于西伯利亚的阿尔泰地区。在阿巴坎时,她和母亲重又见到父亲。经过多年的劳改营苦役,父亲体病心伤,只能在一所学校担任看门人,母亲也在同一学校当清洁工。瓦伦蒂娜13岁时才开始上学,之前都不识字。她回忆:

    基本上,我只是一个街头野孩子,衣衫褴褛,蓬头赤脚……我童年的全部记忆,全以饥饿为主……我害怕挨饿,更害怕贫困。这种恐惧支配了我的一生。

    在学校里,瓦伦蒂娜强烈地感受到“富农”出身所带来的耻辱。她对父母的贫穷、白俄罗斯背景、愚昧无知(父母都是文盲,不会讲俄语),感到越来越强的羞愧。她下定决心,一定要努力学习以自救,先后加入少先队和共青团。她解释,只有这样,才“有希望逃离自己从小忍受的贫穷和饥饿”。瓦伦蒂娜长大后,相信斯大林“是历史上最伟大的人”,完全接受党有关“间谍”和“敌人”的宣传。她甚至想成为一名律师,以便帮助政府追捕那些坏人。她回忆:“像斯大林一样,对所有被送去古拉格的人,我一点也不感到遗憾。”

    1948年,18岁的瓦伦蒂娜离家出走。她先去会计学院读书,再去萨哈林岛(库页岛)的海军基地担任实习会计,享受保留给军人的较高的工资和口粮。瓦伦蒂娜嫁给一名海军军官,成为海军基地中的可靠员工,在行政大楼工作,能看到所有人员的档案。由于这一条件,内务部招募她来举报其他军官的妻子。她的任务是赢得这些女子的信任,然后再汇报她们的私生活和个人意见:

    在某些情况下,我会主动接近,要求她们制作我想购买的小玩意。许多妇女喜欢在闲暇时做些缝纫和针织的手工活。在另外一些情形中,我会与她们交朋友,去她们的住所喝茶。还有的时候,我去她们的工作场所拜访。我的控制人提供购买这些活计的金钱(我保留了很多,主要是外套和罩衫,都是我的“客户们”自己制作的)。他也给我钱购买蛋糕或其他礼物,以便我打开局面,赢得那些女人的信任。关键是拉上关系,这倒也不难。只是有一个规则:与人谈及重要内容时,一定要单独相处。只有如此,她们才会畅所欲言。

    瓦伦蒂娜担任举报人好几年,写了几十份举报,涉及的人后来都遭到拘捕。她获得优渥的报酬——足以汇大笔款子给年迈的父母,足以在阿巴坎城购买房子,足以供自己和丈夫于1959年退休(她那年39岁)。在采访中,她仍坚持说,她是被迫的,有违自己的意愿,认为自己也是压迫的受害者:

    拒绝是不可能的,他们对我父母和富农出身了如指掌……我知道,他们曾囚禁我父亲。我害怕他们也会因此囚禁我……此外,如果我拒绝合作,我的丈夫可能会遭殃。

    另一方面,瓦伦蒂娜坚持认为,她所举报的人是真正的人民公敌,即“被裁定有罪的间谍”。她对自己的所作所为没有任何悔恨,事实上,她为自己在“反间谍”工作中的成就而感到自豪。 (754)

    1945年之后,西蒙诺夫的职业生涯攀升到崭新的高度。他从战场返回,凭借自己的战场报道,佩戴了满胸的勋章。在斯大林青睐的知识分子核心圈子中,西蒙诺夫又是颇受信任的党员。1946年5月,世界徘徊在冷战的边缘,克里姆林宫向美国派出一个资深记者代表团,让西蒙诺夫带队。他在克里姆林宫听取外交部长莫洛托夫的简述,斯大林布置的任务是说服美国人:苏联并不要战争。此行让西蒙诺夫第一次领略政府的特权,动身前收到的巨额经费使他感到震惊。也许,他感受更多的是自己与他知道的普通老百姓的巨大差距所带来的不安。然而,即便如此,那种感觉也只是短暂的。西蒙诺夫陶醉于西方的享受,在美国被当做一位国际名人。他的小说《日日夜夜》已是美国的畅销书,大家都知道他的诗歌《等着我吧》,他的剧作在纽约、波士顿、华盛顿、旧金山的剧院上演。西蒙诺夫自己与许多名人合影,包括加里·库珀、利翁·福伊希特万格和卓别林,后来都成了他固定的通信人。 (755)

    美国之旅只是西蒙诺夫战后初期的若干出访之一。每一次,他都身负苏维埃政府的重任。1947年,他访问伦敦,汇报了吸引重要作家(包括约翰·普里斯特利和萧伯纳)支持苏维埃事业的可能性。 (756) 他在赴美国的途中逗留巴黎,想说服流亡的俄罗斯作家伊凡·蒲宁返回苏联。其时,蒲宁是唯一一个赢得诺贝尔文学奖的俄罗斯人,因厌恶革命而于1920年逃离俄国,一直在国外生活。他已有70多岁,但斯大林希望爱国之心和怀旧之情还能说服他返回故乡。1945年,许多流亡者受到苏联良好形象的诱惑,有些确实决定回归故土。西蒙诺夫在巴黎一系列时髦餐馆与蒲宁见面,以苏维埃政府的钱支付账单。西蒙诺夫强调自己的贵族血统,热情洋溢地赞美苏联的生活,受到邀请在蒲宁家中用餐时更提议一次“聚餐”。瓦伦蒂娜·谢罗娃专程从莫斯科飞来,带来俄罗斯的美食(鲱鱼、肥猪肉、黑面包和各式伏特加),以增强老人的故土之思。瓦伦蒂娜甚至为他唱了俄罗斯民歌,但蒲宁并没软化自己的反苏维埃态度,拒绝叶落归根,甚至不愿作短暂的访问。 (757)

    1946年,作家协会按政治局的模式重组,总书记是亚历山大·法捷耶夫,3名副总书记中就有西蒙诺夫。作家科尔涅伊·丘科夫斯基在1946年11月16日的日记中注意到:“作家协会的领导人都冷若冰霜,正襟危坐。最糟糕的是吉洪诺夫,可以聆听几个小时而脸上不露任何表情……法捷耶夫和西蒙诺夫也严肃刻板,一定是由于坐惯了主席台。”当选为作协领导的两星期后,西蒙诺夫接任《新世界》(Novyi mir)的主编工作,那是一份苏联最古老最著名的文学刊物。1950年3月,他离开《新世界》,改任苏联主要文学报刊《文学报》(Literaturnaia gazeta)的主编。斯大林特地要他利用社论,对冷战时期的文化政治勾画出另一种独立视角,表面上显得不同于克里姆林宫立场,以满足文学知识分子的愿望,而实质上却不偏离针对西方的强硬政策。这显示,斯大林完全信任西蒙诺夫,才委以如此微妙和尴尬的任务。 (758)

    西蒙诺夫晋入苏维埃的精英阶层,外表上也出现了戏剧性的变化。他放弃战争年代的“军人外表”,开始穿上量身定做的优雅的英国西装,或较为随便的美国高领毛衣、驼毛外套、战后风行的短盖军帽。西蒙诺夫长得高大英俊,颇像欧洲的绅士,对生来就熟稔的贵族礼仪更是游刃有余。他喜欢寻欢作乐,愿意充当慷慨的主人,对待手下,特别是秘书和司机,非常仗义厚道。他为女士开门,帮助她们穿脱外套,以骑士式的吻手礼迎接女宾。 (759)

    西蒙诺夫的生活方式也经历了巨大的变化,他拥有好几个住所:在莫斯科郊外的著名文学度假地佩列杰尔基诺拥有一栋宽敞的乡间别墅,是1946年向作家革拉特珂夫买的,价钱是25万卢布,当时可算是一笔巨款;在苏呼米附近的古尔里普希村有一栋房子,可俯瞰黑海,购于1949年;在莫斯科高尔基大街上,有一套宽敞的公寓,1948年后与瓦伦蒂娜同住。夫妻俩雇用两个女佣、一个管家、一个当秘书,还有为他们驾驶从美国进口的豪华轿车的私人司机。该公寓里摆满高雅、昂贵的古董,墙上挂有珍贵的画作,包括一幅库兹马·彼得罗夫―沃德金的作品,肯定来自被充公的私人收藏。该公寓又是莫斯科的文学和戏剧界精英聚会的时尚场所。西蒙诺夫自己酷爱烹饪,有时会为聚会制作精致的菜肴,但更多的时候,会叫附近著名的阿拉格维格鲁吉亚餐馆的主厨带人来他的公寓安排宴会。 (760)

    在《新世界》工作人员的眼中,西蒙诺夫以“封建领主”的气派著称。任职于诗歌部门的利季娅·丘科夫斯卡娅,对其时31岁的新任主编的年轻外貌,留下了深刻的印象;同时她又注意到,他强大的信心给自己带来了成熟人士的权威。工作时,西蒙诺夫非常严肃;向下属发出指示时,一脸的深思熟虑,口叼石楠烟斗(西蒙诺夫的办公桌上总备有半打不同的烟斗),像是在模仿斯大林。据丘科夫斯卡娅说,西蒙诺夫与《新世界》工作人员打交道时,显得傲慢霸道。她在日记中把编辑部比作19世纪的大庄园,一帮“爪牙和走狗”随时听候领主的使唤。她尤其厌恶西蒙诺夫对待两位诗人的居高临下的态度,他们是她1946年拉来向《新世界》投稿的。一位名叫尼古拉·扎博洛茨基,刚从8年刑期的劳教营返回。西蒙诺夫同意发表他的一首诗,之后又出于政治原因逼迫他加以修改。另一位是帕斯捷尔纳克,苏维埃文坛中的巨人,当时已有56岁,在年龄上满可充任西蒙诺夫的父亲。帕斯捷尔纳克的一首诗已被接受,将在《新世界》上发表,作者只是想预支稿费,但遭到西蒙诺夫的拒绝,视之为含蓄的威胁:如果不预支,作者就会要求退稿。他告诉丘科夫斯卡娅,“威胁我”是不道德的,“我已为他做了这么多。如果我在他的位置,绝对不会这样行事的”。西蒙诺夫为了教训帕斯捷尔纳克,决定不发表这一首已接受的诗。在丘科夫斯卡娅的眼中,西蒙诺夫的行为令人震惊,因为它显示,他赞同国家权力对艺术独立的支配。她自己是作家(科尔涅伊·丘科夫斯基)的女儿,从小就接受旧知识分子价值观的熏陶。她在日记中写道:“他[西蒙诺夫]想当一名保护人,要求他人感激涕零。”

    但人们不需要施舍,只希望得到尊重。发表扎博洛茨基的诗,不是因为他曾在劳改营待过8年,而是因为他写的是好诗。西蒙诺夫有责任支持帕斯捷尔纳克,这不是在施与恩惠,而是在尽自己的责任。他是负责诗歌出版的,在这一领域,帕斯捷尔纳克应是他最须重视的……西蒙诺夫不明白,预支稿费给帕斯捷尔纳克,他是在为俄罗斯文化尽责,为人民尽责。他却把它当做个人恩惠,而帕斯捷尔纳克应该感恩戴德。 (761)

    像战后斯大林政权中所有的当权者一样,西蒙诺夫也能够行使巨大的影响力。他作为《新世界》的主管和作家协会副总书记,对苏联几乎所有作家的职业生涯,都握有生杀大权。他如果勇敢地站出来,以自己的影响力与当局交涉,便可在多方面施以援手——获得住房或工作,甚至保护他们不遭逮捕——该制度的运作就是如此。西蒙诺夫收到无数个人请求,来自同事、朋友、朋友的朋友、泛泛之交、战争期间遇上的士兵。他当然无法一一相助,只能有所选择,从中可以见微知著。

    例如,他特别保护和关心自己的私人秘书尼娜·戈登。她30来岁,小巧玲珑,颇有魅力,1946年到《新世界》上班,曾在作家米哈伊尔·科利佐夫身边工作——后者的西班牙内战文章曾给青年时期的西蒙诺夫带来灵感和启发。她的丈夫约瑟夫·戈登出身于贵族家庭,是一名电影编辑,被捕于1937年,判处5年,在马加丹附近的劳改营。1942年,约瑟夫获释上前线参战。西蒙诺夫提拔尼娜为自己的私人秘书时,她坦承了丈夫的政治污点。其时,约瑟夫生活在梁赞的流放地,从事工程师的工作。尼娜谢绝这个提拔,但西蒙诺夫不依她,甚至自告奋勇要出面写信给内务部为约瑟夫说情——但她坚决拒绝,因为不愿利用他的好心。她在《新世界》上班,确实给西蒙诺夫带来了不愉快的后果。1948年,约瑟夫获准访问莫斯科几天,出乎意料地出现在编辑部。《消息报》的一名记者碰巧也在那里,留心了看上去像流放者的约瑟夫。第二天,充任内务部耳目的《新世界》的特别行动科(每个苏维埃机构都有自己的特科),把尼娜叫去问话,想知道尼娜为何隐瞒丈夫是政治流放者,并威胁要汇报她缺乏警惕。西蒙诺夫听到此事后怒不可遏,认为自己的主编权威受到了侵犯。特科只给了尼娜一次训斥,没有进一步的惩罚,另外发布了一条规定:“可疑人物”一律不准进入办公室。 (762)

    如果说西蒙诺夫在个人领域经常待人厚道,甚至勇敢地向当局力争,那么在公共领域就没有这么敢做敢当了。在战后的镇压氛围中,许多作家向他求助,西蒙诺夫的反应小心谨慎。他有的帮,有的不帮,全凭自己的好恶,永远都深思熟虑,不想危及自己的地位或引起他人的怀疑。例如在1946年9月,西蒙诺夫为文学院的老同学、诗人波图帕契克写了一封推荐信,帮助他加入作家协会。他没提波图帕契克的被捕(1937年)和在科雷马劳改营的苦役,只将“7年参军”当做没有作品发表的理由,从而避免自己在为前“人民公敌”讲情的印象。波图帕契克1946年的申请遭到作家协会的拒绝,到1961年再次提出申请,即赫鲁晓夫解冻的高峰时期。这一次,西蒙诺夫直言不讳地在推荐信中指出,其出版于1960年的第一本诗集,之所以没在20年前问世,唯一原因就是“他遭受了不公正的逮捕”。 (763) 西蒙诺夫也写信支持发表诗人雅罗斯拉夫·斯梅利亚科夫的作品,后者是一名坚定的共产党人,又是拉斯金一家的密友,于1934年被捕,在劳改营待了5年,在战争中作战勇敢,复员后重回古拉格,在莫斯科附近的煤矿工作。 (764) 但其他求助的作家就没有这么幸运。西蒙诺夫拒绝帮助他文学院的老师、诗人卢戈夫斯科伊——他曾在1941年的最初战役中失魂落魄,战争年代是在塔什干的疏散地度过的。卢戈夫斯科伊回到莫斯科后,写信给西蒙诺夫,请求他帮助寻找新住所。卢戈夫斯科伊与妻子住在一个共用公寓,但他脆弱的心理状态亟需隐私。他写信给自己的学生:

    我不再年轻,已是一个病人,忍受不了共用公寓的生活,隔壁房间住了一家6口……我长期神经紧张,整天提心吊胆,如果以后被送进疯人院,也不会令人意外……向人求助是很为难的……但你是仁慈之人,从而鼓励我向你启齿。原谅我吧!我爱你,也为你感到骄傲。 (765)

    西蒙诺夫没作答复,在他看来,卢戈夫斯科伊并不值得帮助。第一,他已有一套公寓;更重要的,他在战争中不够勇敢——在西蒙诺夫的眼中,那是不可饶恕的罪过。

    西蒙诺夫坚信勇于承担战斗牺牲的苏维埃理想,这在某种意义上解释了他与斯大林战后镇压活动的种种纠葛。首先,他参与了日丹诺夫原则的运动,那是在艺术和科学领域中肃清“反苏维埃”倾向的官方镇压,领军人是斯大林的意识形态主管安德烈·日丹诺夫。

    日丹诺夫原则的运动源于1945年的军事?胜利。该胜利导致排外民族主义在苏维埃领导阶层中的高涨,既为苏维埃的胜利而感到自豪,又极力推崇苏联在文化和政治领域的优势(其实是指俄罗斯优势,斯大林将之描述为苏联最重要的团体)。苏维埃―俄罗斯的民族主义,取代了战前的国际主义,成为政权的统治思想;荒谬地号称苏维埃科学在马克思列宁主义思想的指导下取得了非凡成就。民族自豪感导致了一系列的欺诈和怪诞,譬如:伪遗传学家特罗菲姆·李森科声称,已开发出一种适应北极霜冻的小麦新品种;飞机、蒸汽机、收音机、白炽灯泡——无一不是苏维埃人士发明或发现的。随着冷战的启动,斯大林呼吁要以铁的纪律,清洗文化事务中所有反爱国的元素——即亲西方的元素。他认为,从18世纪初彼得大帝建立圣彼得堡以来,俄罗斯的知识分子就崇洋媚外——即西方的科学和文化。如果苏联要抵抗西方,必须治愈这个“病根”。

    按照斯大林的命令,日丹诺夫发起了激烈的运动,以肃清西方对苏维埃文化的影响。 [8] 对于斯大林而言,该项运动的出发点就是列宁格勒。他从不喜欢这座欧洲城市,其独立于莫斯科的倾向在战争中获得了大大加强。镇压开始于1946年8月14日,中央委员会颁布一项法令:《星》和《列宁格勒》两份期刊要接受审查,因为发表了两位著名的列宁格勒作家的作品,分别是米哈伊尔·左琴科和安娜·阿赫玛托娃。克里姆林宫挑出这两位,旨在向列宁格勒的知识分子显示:他们必须向苏维埃政权低头。阿赫玛托娃在战争期间享有巨大的道德号召力,其诗歌自1925年以来很少在苏联发表,但她在数百万俄罗斯人的眼中,仍象征着人民的坚毅和尊严,激励了列宁格勒的民众幸存于围城之战。1945年,牛津大学哲学家以赛亚·伯林抵达莫斯科,担任英国驻苏大使馆的一等秘书,他曾听闻战争期间的阿赫玛托娃——

    从前线收到大量的来信,引用她的诗歌——有已发表的,也有未发表的,绝大多数是以手稿形式在私下传阅。这些来信要求诗人签名,或帮助确认诗歌的真实性,或对各式问题提供意见。

    左琴科相信,中央委员会的法令之所以获得通过,是因为斯大林听说阿赫玛托娃在听众爆满的莫斯科理工博物馆举办了一次诗歌朗诵会,读完后又引得掌声雷动。斯大林问:“是谁安排了这样一次起立鼓掌?” (766)

    左琴科也是独裁者身上的一根刺,他是硕果仅存的苏维埃讽刺作家——马雅可夫斯基、扎米亚金、布尔加科夫都已死去——该文学传统是斯大林所不能容忍的。向他发起攻击的直接导火索是童话故事《猴子奇遇记》,1946年发表于《星》杂志,讲述一只猴子逃离动物园,沐猴而冠,接受做人的训练。但在事实上,斯大林激怒于左琴科的故事已有多年,在《列宁和卫兵》(1939年)中的哨兵身上看到了自己的身影。左琴科将之描绘成一个粗鲁、猴急的“南方人”,留着小胡子,被列宁当做一个黄口小儿。 (767)

    西蒙诺夫作为作家协会的领导成员,别无选择,只好投入这场运动。他任《新世界》主编后的第一期,就刊出中央委员会的法令,外加日丹诺夫的讲话全文。该篇讲话视阿赫玛托娃为“贵族沙龙的空虚诗歌的旗手之一,格格不入于苏维埃文学”,并斥责她是“半个修女,半个妓女,或更确切地说,一个妓女和修女的混合体,既在作孽,又在祈祷”(苏维埃评论家过去用过的短语)。 (768)

    也许,母亲一家所认同的列宁格勒知识分子,西蒙诺夫现在却参与对他们的迫害,他有点于心不忍。但他拒绝让心中可能存有的同情拖自己的后腿,因为他懂得,自己对国家的责任更为重要。西蒙诺夫在人生最后一年回顾这些事件,承认自己投入是因为相信“需要做出点事”,来抵消知识分子当中“思想涣散的气氛”。如果不加以遏止,在苏联正需为冷战的思想斗争做好准备的时候,却会引发“危险的对自由改革的期待”。这便是他当年的理由,如他在写给中央委员会的信中所说的:

    在思想战线上,前所未有的激烈斗争正在全球展开。尽管如此,仍有人在散布“呼吸空间”的理论——即我们应坐在咖啡馆里畅谈改革。顺便提一下,他们中的大多数并不需要呼吸空间,因为他们在战争中只付出了极少的艰辛;事实上,大多数都没有参与……如果他们想要,我们可以提供呼吸空间,干脆叫他们中止在苏维埃艺术领域的工作。与此同时,剩下的人会坚持自己的工作和战斗。 (769)

    对逃避“战斗”的知识分子的蔑视——西蒙诺夫的长期观点——尤其解释了他对左琴科的敌意。对待阿赫玛托娃,他的态度截然不同。他并不喜爱她的诗歌,甚至没有真正的了解,但对日丹诺夫使用的粗暴语言颇有反感。在他看来:“所有人都不该以这种方式,对在战争中与人民同舟共济的人指指点点,就像阿赫玛托娃所做的。” [9] 相比之下,左琴科在塔什干的疏散地度过战争年代。苏维埃报刊斥责这位讽刺作家的懦弱,声称他逃离列宁格勒,以躲避前线的战斗。西蒙诺夫相信有关懦弱的指控,因为他不知道事情的真相,或是不愿去寻找真相。其时40多岁的左琴科体弱多病,战争开始时遵循当局的命令,方才离开列宁格勒。西蒙诺夫对没有参战的每个人,都予以苛刻的衡量标准,左琴科自然也不例外。他还将这种苛刻投射到其他知识分子身上,因为他们竟意识不到,必须积极投入冷战的思想斗争。最了解西蒙诺夫的戏剧评论家亚历山大·博尔切戈夫斯基指出,西蒙诺夫急于谴责像左琴科那样的人,完全是出于偏见。他写道,西蒙诺夫倾向于——

    不信任那些人——尤其是知识分子,他们在后方度过战争年代,并没有分担前线战士的流血牺牲。这种宽泛的猜疑——丝毫不去察看每一个人的独特经历——完全忽视了数百万人在后方的非凡努力,以武装数百万的前线战友争取最后的胜利。 (770)

    西蒙诺夫加入了对左琴科的攻击,但不愿涉及对阿赫玛托娃的诽谤。《真理报》要他撰写谴责这两人的文章,西蒙诺夫答称只能针对左琴科一人,最后完稿的文章几乎全部聚焦于这位散文作家。几个月之后,西蒙诺夫获悉有关左琴科疏散的真相,又从作家尤里·杰美恩那里得知左琴科很勇敢,曾在第一次世界大战中奋勇作战。他认识到自己的过错,便作出了弥补的努力:向日丹诺夫推荐左琴科写于1943年的《党派故事》(Partisan Tales),虽然并不认为是上乘作品,但也亲自帮助编辑,不料遭到日丹诺夫的拒绝。1947年5月,西蒙诺夫在与斯大林开会时,再次提及发表一事,并解释说左琴科已陷入困境,亟需帮助。为一名不受苏维埃领导人青睐的作家,越过日丹诺夫,直接寻求斯大林的帮助,这是一个非常勇敢的举措。斯大林告诉西蒙诺夫,可运用自己的主编职权做主,但刊出后,他会去读,随后再就西蒙诺夫的决定发表自己的意见。如西蒙诺夫所回忆的,“斯大林的幽默中带有一丝威胁”,但他还是坚持不懈,《党派故事》问世于1947年9月的《新世界》。 (771)

    尽管作出了弥补的努力,西蒙诺夫后来还是拒绝向左琴科表示同情。1954年,一组英国学生来到列宁格勒,要求与阿赫玛托娃和左琴科见面,出席会议的还有几名列宁格勒作家协会的党员。愚蠢的学生们并不掩饰自己的反苏维埃态度,询问阿赫玛托娃和左琴科如何看待1946年8月中央委员会的法令。阿赫玛托娃回答,该法令完全正确。毫无疑问,她害怕任何其他回答的后果。但左琴科不够小心,答称该法令是不公正的,强烈反驳那些声称他怯懦的指控。作家协会的党领导立即指责左琴科犯了“反爱国的行为”,并派出以西蒙诺夫为首的代表团,赴列宁格勒去“做他的工作”。左琴科在几近歇斯底里的自我辩护中宣称:他的写作生活已经完蛋,他本人已被摧毁,只恳求控诉者让他在平静中死去。但西蒙诺夫拒绝左琴科的请求,以清洗会议上检察官的方式痛打落水狗。西蒙诺夫宣布:“左琴科同志希望得到我们的同情,但他什么也没学会,他应该感到羞耻”,再一次隐射他的战争记录和1945年之后的“反爱国”行为。 (772)

    对阿赫玛托娃和左琴科的攻击之后,紧接着的是一系列镇压措施,针对艺术和科学领域中的“反苏维埃分子”。现代西方艺术国家博物馆被关闭;在苏维埃音乐界反对“形式主义”和其他“西方腐朽影响”的运动,导致好几名作曲家(包括肖斯塔科维奇、哈恰图良和普罗科菲耶夫)上了官方黑名单,他们的音乐创作被控为“与苏维埃人民和他们的艺术品味格格不入”。1947年1月,政治局颁布法令,指责中央宣传鼓动部长格奥尔基·亚历山德罗夫的《欧洲哲学史》(1946年),低估了俄罗斯对西方哲学传统的贡献,亚历山德罗夫很快卸职。同年晚些时候,即1947年7月,中央委员会发表了充满不祥征兆的公开信,指斥尼娜·克柳耶娃与其丈夫格列高利·罗斯金:“在反动的外国资产阶级西方文化面前顶礼膜拜,奴颜婢膝。而这种文化,根本不配我们苏联人民。”这两位科学家遭到指控:在1946年访问美国时向美国人透露了癌症研究的资料。他们回国时,被拖上“荣誉法庭”,要在800名观众面前,回答充满敌意的提问。那是一个新成立的机构,专门审查苏维埃各机关中的反爱国行为。 (773)

    随着冷战愈演愈烈,对外国人的恐惧四下弥漫。美国记者哈里森·索尔兹伯里回忆,他作为外国记者在1949年返回莫斯科(1944年到过苏联),但以前的熟人没人认他,甚至写信给老相识爱伦堡和西蒙诺夫,也杳无回音。在索尔兹伯里看来,1944年的苏联虽然贫穷,但与20世纪30年代相比,却处处洋溢着崭新的自由风气和冀望胜利的激昂氛围。到1949年,苏联又返回恐惧状态。

    俄罗斯人和外国人之间的人际关系,遭到了彻底的分割。反过来,这反映了苏维埃政府严重的仇外心理,以及他们调教俄罗斯人的高效。如想拿到奔赴西伯利亚的单程火车票,或更遥远的地方,最有把握的方法——如果不是最快的——就是与外国人产生瓜葛。

    1948年12月22日,法捷耶夫在作家协会讲话。最左边为西蒙诺夫,他身旁是爱伦堡。肖像下的旗帜上写着:“光荣属于伟大的斯大林!”

    与外国人的简短接触,可能会导致以间谍罪名逮捕。苏维埃监狱中,挤满了曾出国旅行的人。1947年2月,通过了一项法律,规定苏维埃公民和外国人的婚姻属于非法。警方监视酒店、餐馆、外国使馆,专门寻找与外国男人交往的苏维埃女孩。 (774)

    以色列建国于1948年5月,在冷战中又与美国结盟。之后,始终忠于苏维埃制度的200万苏维埃犹太人,被斯大林政权描绘成潜在的第五纵队。斯大林虽然厌恶犹太人,却是在巴勒斯坦建立犹太国的早期支持者,希望它成为苏维埃在中东的卫星国。但是,这个新建国家的领导人后来被证明是敌视苏联的,斯大林越来越怕苏维埃犹太人的亲以色列情绪。果尔达·梅厄出任第一位以色列驻苏大使,在1948年秋季抵达莫斯科,使斯大林的担忧愈益加剧。她无论去哪里,都受到苏维埃犹太人的欢呼。赎罪日(10月13日)那天,她去拜访莫斯科犹太教堂,数千人排列在街道两侧,许多人高喊“以色列人民,存活下去!”——对世界各地的犹太人来说,这只是复国的传统肯定;但对斯大林来说,这是“犹太资产阶级民族主义”的危险迹象,会颠覆苏维埃国家的权威。 (775)

    梅厄得到的热情欢迎,促使斯大林加紧推动已开展数月的反犹运动。早在1948年1月,既是莫斯科犹太剧院的导演,又是犹太人反法西斯委员会领导人的所罗门·米霍埃尔斯,死于内务部安排的一场车祸。犹太人反法西斯委员会成立于1942年,旨在吸引西方犹太人对苏维埃战争的援助,但对许多成员来说,包括杰出的作家、艺术家、音乐家、演员、历史学家、科学家,更为广泛的目标是提倡苏联的犹太文化。要实现这一目标,战后初期相对来说还算有地利人和。1946年,米霍埃尔斯荣获斯大林奖,意第绪语戏剧经常在电台上播出。犹太人反法西斯委员会还投入一个重大项目,以纪念纳粹对苏维埃犹太人的杀害:让瓦西里·格罗斯曼和伊利亚·爱伦堡编纂一个文件总汇,取名为《黑皮书》(The Black Book)。斯大林原希望利用犹太人反法西斯委员会来博得中东的新犹太国家的好感,但现已看清,新犹太国家很有可能与美国结盟,便一改故辙。国安部奉命网罗资料,把犹太人反法西斯委员会打成一个“反苏维埃的民族主义组织”。《黑皮书》的出版无限期推迟,对米霍埃尔斯的谋杀发生之后,犹太剧院也被关闭。1948年12月,犹太人反法西斯委员会的百余名成员被捕,屈打成招,承认自己的“反苏维埃活动”,或遭枪决,或被送进了劳改营。 (776)

    在苏维埃的文学界,对犹太人的攻击采纳了反“世界主义者”运动的形式。该词最初是19世纪文学评论家维萨里昂·别林斯基所创造的,泛指缺乏或拒绝民族风格的作家(“无根的世界主义者”)。它在战争年代重现,其时,俄罗斯民族主义和反犹情绪均有高涨。例如,1943年11月,法捷耶夫攻击犹太作家爱伦堡来自“那个知识分子小圈子,以庸俗的世界主义理解国际主义,不愿克服自己的崇洋媚外”。 (777) 1945年之后,该词更频频出现于苏维埃的文艺出版物。

    1948年12月10日,法捷耶夫向斯大林转交一封不知名记者(纳塔利娅·别吉切娃)的来信,引出了反“世界主义者”运动。该信当初是写给内务部的,声称在文学机关中有一组“敌人”,列出了7位评论家和作家,作为这个“反爱国小集团”的负责人,其中6人是犹太人。在斯大林的重压之下,法捷耶夫12月22日向作家协会发表对一组戏剧评论家的攻击,点名批判了别吉切娃举报的6位犹太人中的4位(奥特曼、博尔切戈夫斯基、古尔维奇和尤佐夫斯基)。法捷耶夫声称,他们“企图抹黑我们的苏维埃戏剧”。这是相对温和的讲话:法捷耶夫显然不愿扮演斯大林的打手的角色。他曾是体面人,被迫作出道德上的妥协,而沦为一个战战兢兢的酗酒者。斯大林继续施加压力,让《真理报》反过来攻击法捷耶夫对“世界主义者”的心慈手软,并散布谣言——他在作家协会的领导地位将被取代。法捷耶夫无法再作抵制,表示拥护1949年1月29日《真理报》的匿名文章(《关于一个反爱国集团》),其措辞让人忆起大恐怖。它控告某些戏剧评论家就是“无根的世界主义者”,指责他们在策划“资产阶级的文学阴谋”,以破坏苏维埃文学中“民族自豪”的健康原则。 (778) 所有被点名的都是犹太人,执笔人几乎可以肯定是党的打手兼《真理报》记者大卫·扎斯拉夫斯基。在1921年加入布尔什维克之前,扎斯拉夫斯基曾是孟什维克和活跃的犹太复国主义者。他为斯大林写了好几篇打手文章,用以赎罪和攀升为苏维埃精英。 [10]

    《真理报》的文章出笼之后,苏维埃其余报刊也发表了一系列攻击,反对“无根的世界主义者”。斯大林主义者们竞相谴责“反爱国团体”,声称它们在破坏苏维埃的诗歌、音乐、艺术和电影。 (779) 在这些恶毒文章中被点名批判的犹太人面临非常严峻的后果,许多人失去工作,或被驱逐出党和协会,生计都没有着落。有些被捕,少数人明哲保身,或承认自己的“错误”,或与“无根的世界主义者”划清界限。法捷耶夫点名批判的4位戏剧评论家中,只有约翰·奥特曼一人被捕。《苏维埃艺术》期刊发表了一篇丑陋文章,充满仇恨和稍作掩饰的反犹太主义,向他发起攻击:“我们以苏维埃人民的名义宣布,奥特曼一类的坏人,像行尸走肉一样,在污染苏维埃文化。为了净化空气,我们必须摆脱他们散发出的腐臭。”奥特曼在作家协会中受到阿纳托利·索夫罗诺夫的谴责,后者是一名反犹太运动的狂热支持者,在法捷耶夫因酗酒而长期缺席的作家协会,变得举足轻重。奥特曼遭到党和作家协会的开除,于1953年3月斯大林死亡之夜被捕。法捷耶夫和奥特曼是多年的好朋友,当初坚持要奥特曼去帮衬犹太剧院的米霍埃尔斯,并解释说:“他需要一个顾问,就像一名政委,你就把它当做党的命令。”奥特曼在审讯时被问到怎么会去帮衬米霍埃尔斯,却只字不提法捷耶夫。他知道,如果提及作家协会领导人,可能会保住自己,但不想把法捷耶夫牵连进所谓的“犹太复国主义者的阴谋”。毫无疑问,奥特曼希望法捷耶夫予以报答,从中干预搭救自己。结果,法捷耶夫什么也没做,甚至缺席了开除奥特曼的作家协会的会议,没人能在莫斯科找到他(西蒙诺夫认为,他以狂饮来逃避责任)。奥特曼再也没能从法捷耶夫的背叛中恢复过来,1953年5月出狱,心如死灰,两年后去世。 (780)

    西蒙诺夫也被拖入“反世界主义者”运动。开初,他试图保持温和路线,既不公开抗议这一运动,也不配合索夫罗诺夫和其他强硬派。西蒙诺夫不是一个反犹太主义者,作为《新世界》的主编,他主持发表了好几位犹太作家的作品。他前两位妻子都是犹太人,特别是第二位妻子热尼娅·拉斯金娜,其堂哥鲍里斯·拉斯金在别吉切娃当初交给内务部的举报信中,被点名为“苏维埃文学的敌人”。西蒙诺夫的温和立场,激怒了党和作家协会内的强硬派。西蒙诺夫有许多敌人,嫉妒他“斯大林宠臣”的地位,让他年纪轻轻就攀升到苏维埃机构的顶端。此外,中央委员会的某些成员认为,斯大林的保护使西蒙诺夫桀骜不恭于其他党领导。为了在他和斯大林之间挑拨离间,这些强硬派指责西蒙诺夫试图保护“世界主义者”。最恶毒的指控来自《苏维埃艺术》的主编维克托·弗多维琴科,他给马林科夫送去一份名单,列出80多名犹太人,声称是作家协会中的犹太复国主义组织。其实,大部分指控是针对西蒙诺夫的,指责他包庇犹太复国主义者。弗多维琴科还把矛头指向《新世界》的编辑人员,声称里面有许多犹太人(“那些六亲不认的人”),尤其指责亚历山大·博尔切戈夫斯基——他是一名戏剧评论家,曾因批评赫鲁晓夫最喜欢的作家亚历山大·科尔涅伊奇克的一出戏而蒙受耻辱。西蒙诺夫却非常喜欢他,称他为“一个安静、谦虚的人”,将他从乌克兰调来莫斯科。据编辑部成员纳塔利娅·比安基说,他的文学见解在《新世界》是必不可少的:“西蒙诺夫没有他,几乎不能作出决定,他的口头禅就是‘让我们看看,博尔切戈夫斯基有什么要说的’。”弗多维琴科声称,博尔切戈夫斯基没有“一篇作品足以使他有资格留在《新世界》”,而他在《新世界》的影响力,纯粹是出于西蒙诺夫对犹太人的同情。他指出,西蒙诺夫曾与犹太人结婚,还有很多犹太朋友。

    像法捷耶夫一样,西蒙诺夫最终还是向强硬派的压力低了头。他害怕失去自己在斯大林精英阶层的位置,认为必须加入反对犹太人的运动,以证明自己的忠心耿耿。他给《真理报》主编写信,反驳强硬派说他偏爱犹太人的指控,同时又远离博尔切戈夫斯基和其他《新世界》的犹太评论家。克里姆林宫敦促西蒙诺夫,以《真理报》匿名文章(《关于一个反爱国集团》)的精神为基础,再扩充成作家协会上的一次主旨演讲。法捷耶夫已堕落成一具烂醉如泥的残骸,索夫罗诺夫对接手此事颇为热切,但马林科夫认为,恰恰因为其著名的温和立场,西蒙诺夫反而可赋予“反世界主义者”运动更多的权威。法捷耶夫也在敦促西蒙诺夫接手,并警告说,如果谢绝,索夫罗诺夫就会顺手牵羊。索夫罗诺夫是强硬的反犹太主义者,野心勃勃于作家协会的领导权,希望取代克里姆林宫的首选西蒙诺夫,成为法捷耶夫的继任者,一旦得逞肯定还会从作家协会逐出更多的犹太作家和评论家。西蒙诺夫为了不让权力落入索夫罗诺夫之手,同意发表这一次主旨演讲,在1949年2月4日的作家协会全体会议上,他作出了这次发言。西蒙诺夫的第一位妻子,即犹太作家纳塔利娅·索科洛娃(娘家姓季波特),在日记中描述他谴责“反爱国小集团”时的可怕气氛:

    讲话持续一个半小时,中间略作休息,然后又继续一个半小时。人们聆听着,面色紧张,一脸警戒,没人说话,除了偶尔的低语:“他点了新名字吗?”……“你听见没有?”……“又一个世界主义者?”……“新的世界主义者?”有些人像我一样,列出所有被点的名单。 (783)

    西蒙诺夫在后来的那些年中坚持认为,他发表主旨演讲,是为了防止极端的索夫罗诺夫掌控“反世界主义者”运动。他虽然懊悔自己的角色,但仍坚持,他承担领导责任是为了缓和这个反犹太作家的运动。在他朋友的回忆录中,这一点得到了证实。马林科夫打电话来说,斯大林希望西蒙诺夫发言。其时,戏剧评论家博尔切戈夫斯基恰好在西蒙诺夫的高尔基街公寓。博尔切戈夫斯基回忆,西蒙诺夫放下听筒,“伤感地看着我,再朝窗外凝视,不到10分钟便作出决定”。然后,他开口了:

    “我将作演讲,修罗[亚历山大]。我自己来作,而不是让给别人,可能会更好。”他既然已经同意发言,便想寻找理由来辩护自己的“积极参与”,意欲在这不诚实的运动中,找到诚实的见解。“一切的凶残和粗鲁必须终止。我们必须学会不同层次的争辩,使用文明的语言。我们过去有,现在仍有形式主义和建构主义辩护士的问题。他们想让我们成为西方文化的奴隶,我们必须谈论这一切。” (784)

    西蒙诺夫在演讲中,并不局限于揭发浅陋粗糙的犹太复国主义阴谋,而是想让“反世界主义者”运动,融入更为广泛的政治和智力的背景。他后来在一系列苏维埃报刊的文章中,更补充发挥了自己2月4日的演讲,指责“世界主义者以[让-保罗·]萨特取代马克西姆·高尔基,以[亨利·]米勒的色情取代托尔斯泰”。 (785) 冷战气氛无疑左右了他的思路:必须捍卫苏维埃的“民族文化”,反对“无根的世界主义者对美帝国主义……以及美元的卖身投靠”。除此以外,很少有证据表明,西蒙诺夫的参与给反犹太人运动带来了文明化,他的语言仍是煽动性的。他声称,“反爱国小集团”是一场阴谋,参与者是苏维埃文化的“罪犯”和“敌人”,绝不是单纯的“唯美主义者”,他们有“激进的资产阶级和反动的计划”,在冷战中为西方服务。他把许多问题归咎于犹太人自己,责怪他们不愿融入苏维埃社会,又在战后接受了“犹太民族主义”。他解雇了《新世界》所有的犹太编辑人员,甚至代表作家协会给斯大林写信,要求将不活跃的作家排斥于作家协会之外,长长的名单当中都是犹太人。

    列入该名单的有他的朋友博尔切戈夫斯基,已被挑选出来,当做“反爱国小集团”的主要领导人之一。从“反世界主义者”运动伊始,西蒙诺夫就与他逐渐疏远,他心里很清楚,最终将被迫谴责自己一手提拔起来的朋友。他接到马林科夫的电话,同意发表有关“反爱国小集团”的主旨演讲,随即就向博尔切戈夫斯基解释:“这样做,我将处于更有利的地位,将能帮助他人,这才是眼前最重要的事情。”西蒙诺夫还警告他不要出席全体会议,在这位戏剧评论家行将离开时,又补充说:“如果你来,我会觉得,必须以更强烈的词句来谴责你。”博尔切戈夫斯基既没有读西蒙诺夫的演讲,也没有读后续的文章。他被西蒙诺夫称作“戏剧界的破坏者”、苏维埃文学的“资产阶级敌人”、“文学败类” [11] 。他信任西蒙诺夫——视之为自己的朋友——淡然声称,西蒙诺夫只是在被迫演出“仪式性的思想舞蹈”。

    博尔切戈夫斯基遭到党和作家协会的开除,失去《新世界》的工作,也被他担任文学组负责人的红军剧院解雇。博尔切戈夫斯基和家人——母亲、妻子及年幼的女儿——都被踢出自己的莫斯科公寓。有一段时间,他们借住在朋友的场所,或睡在地板上,或寄宿于他们的乡间别墅(甚至住过西蒙诺夫在佩列杰尔基诺地区的乡间别墅)。博尔切戈夫斯基曾是20世纪30年代的幸存者,早学会了荣辱不惊,从容应对。他入不敷出就卖掉财产(主要是书籍),再向朋友借钱,包括西蒙诺夫。西蒙诺夫借钱给他,如博尔切戈夫斯基所理解的,“以减轻自己的良心责备”,并不让他偿还。

    从1949到1953年,即博尔切戈夫斯基的禁令终告解除之时,西蒙诺夫一直心怀内疚,尽量去看望这位朋友,但从不谈及自己当年的演讲。在博尔切戈夫斯基看来,他们相遇时,西蒙诺夫会“以焦灼的眼光看我,仿佛认为他需作一番解释”。西蒙诺夫1950年7月支持出版《俄罗斯国旗》(The Russian Flag),那是博尔切戈夫斯基关于克里米亚战争的爱国小说。西蒙诺夫在送交给审查官的报告中写道:“这本书颇有造诣,严肃认真,很有必要。我深信,它深刻的爱国主义内容将会打动读者的心灵……众所周知,博尔切戈夫斯基曾犯有严重错误,属于反爱国的性质。但他已付出代价,并承认自己的错误。”这本书终于在1953年获得了出版许可。

    博尔切戈夫斯基在50年后的2003年接受采访,谈到西蒙诺夫对自己的伤害,仍淡然处之,只是说“人们慢慢都会习惯于痛苦”。但据他的妻子说,在最后几年,他越来越受1949年事件的困扰。 [12] 他在回忆录中得出结论,西蒙诺夫找不到公民的勇气,在作家协会中对抗反犹主义强硬派,以捍卫自己的朋友和同事。他并不觉得西蒙诺夫的所作所为是出于恐惧,或没有良心。相反,他认为,西蒙诺夫的驱动力是个人野心,尤其是一种政治上的奴性:他太忠于斯大林,太迷恋于斯大林的权力光环,以致无法坚持更为坚强的立场。

    战后的“小恐怖”大大不同于1937至1938年的大恐怖。它发生的背景,不是浩劫将临,魂飞魄散的人殊死一搏,愿意以背叛和举报来拯救自己和家人;而是一个相对平稳的状态,人的道德情感不再因恐惧而遭受剥夺。实施战后迫害的是像西蒙诺夫一样的职业官僚和行政官员,他们并不一定非得参与其中。西蒙诺夫可能没有被作家协会开除的风险,更不用说被捕了。如果他拒绝将自己的声音加入对犹太人的谴责大合唱,在最坏的情况下,他可能会失去作家协会的领导职位和《新世界》的主编工作。当然,他当时可能担心得更多。但问题是,像西蒙诺夫那样的人还有选择余地。他们满可以像数百万人一样追求自己的职业生涯,但躲避政治责任的陷阱,所损失的最多只是特权和物质奖励。那些无法采取公开立场的人,自有更平静的方式避免参与有悖于自己道德原则的政治决定。博尔切戈夫斯基认为,1949年背叛他的人,可以选择不发言,可以不来出席作家协会的全体会议,可以假装生病,并不会受到党的纪律制裁。在博尔切戈夫斯基看来,这一时期的迫害和参与者的作为,都植根于无孔不入的对斯大林政权的顺从——即普通斯大林主义者的定义所在。他写道:

    无法以恐惧来解释1949年的现象,不单是那一年的——或者,如果确是恐惧,那也是早已溶入人类灵魂的那种……[更为确切地]毋宁说是帮闲们凑热闹式的奴性。他们拥有的勇气和道德少得可怜,以致无法违抗最基层官员的半官方指令。 

    当然,在类似西蒙诺夫的主事官员中,也有人拒绝参与“反世界主义者”运动。例如,科学院主席谢尔盖·瓦维洛夫就默默顶住了巨大压力,没在科学院揭发“反爱国小集团”,并阻止自己下属解雇犹太科学家(他的哥哥尼古拉是遗传学家,1940年被捕,1943年饿死在狱中)。在作家协会中,也有人拒绝参与反犹太人运动,譬如主席团党委书记鲍里斯·戈尔巴塔夫。他是西蒙诺夫的好朋友,自身就是犹太人,比西蒙诺夫更有后顾之忧:他的妻子1948年被捕,以“外国间谍”的罪名判刑10年,他本人也难逃政治怀疑的阴影(1937年,戈尔巴塔夫被控在第一本小说《我们的城镇》中,散播“托派”观点。那是一部无产阶级的史诗,描绘五年计划如何在顿巴斯开展。最终,他勉强逃脱被开除党籍的厄运,但他的弟弟仍作为“托派分子”被捕,枪决于1938年)。然而,尽管面对作家协会斯大林强硬派的沉重压力,甚至被指控为“反爱国小集团的犹太同情者”,他仍拒绝参与对自己同胞的迫害。为此,他被迫放弃在党内和作家协会的职位。博尔切戈夫斯基回忆1949年与他见面,地点在西蒙诺夫的佩列杰尔基诺地区乡间别墅。戈尔巴塔夫失去了斯大林的信任,“心碎欲绝,被打入冷宫”,却保住了道德上的尊严和原则。

    西蒙诺夫是一个更复杂甚至更悲惨的人物,显然深受良心的责备。“反世界主义者”运动,在某些方面令他不安,甚至厌恶,但他深深陷入斯大林制度不能自拔。他继承于贵族家庭的军人精神和公共服务价值,与苏维埃制度的道德范畴和急迫需求如此紧密相连,以致在判断或规范自己行为时,往往别无选择。西蒙诺夫拥有格外强烈的公共责任感,这界定了他的世界观。西蒙诺夫曾说:“如果没有公共责任感的自律,就不能成为一个完整的人。”他生来就是一名积极分子,从不称病缺席,以逃避艰难的道德抉择。在西蒙诺夫看来,避免承担公共责任,等同于怯懦。他也不愿与犹豫不决、软弱无能、拖拖拉拉的人打交道——他把这一切都认作人类的缺点。他钦佩人的理性和富有逻辑,这也是他文学创作中英雄人物的道德素质——即与他相似的人,只是更勇敢,能从客观证据中得出正确结论,采取果断行动。

    西蒙诺夫将责任感提升为至高无上的美德,由此决定了自己政治上的顺从。他对党的路线历来谦恭服从,将它混淆为公共美德,对斯大林无比敬畏。他战后的笔记本,密密麻麻写满了斯大林著作的提要、斯大林发言的语录、斯大林的短语和思想,以便他随时学习,提高自己的政治素养。 (794) 西蒙诺夫迷恋斯大林的权力,觉得他无处不在,认为斯大林几乎在观察自己所做的一切。斯大林是他的靠山、保护者、老师、向导、评论家、忏悔听取者,在他的想象中,有时又成了他的狱卒、拷问者和刽子手。

    源于这位苏维埃领袖的最轻微的批评,会把西蒙诺夫驱入苦难的深渊。1948年,西蒙诺夫的中篇小说《祖国炊烟》(Dym otechestva)受到《文化与生活》(Kul’tura i zhizn’)的野蛮攻击。这是一份宣传鼓动部的主要杂志,背后有斯大林撑腰。西蒙诺夫得出结论,斯大林肯定“极不喜欢这一故事”。他既惊恐,又沮丧,实在弄不清错在哪里,这还是他最心爱的作品之一。他后来告诉朋友:“创作时,我以为自己在向党也是在向斯大林本人履行职责……在我眼中,他是战争结束两年后至高无上的权威。”小说的中心人物是一名共产党老军人,1947年从国外返回苏联,确信自己已尽了对国家的职责,只想在战后的艰辛中重建私人生活。那篇小说准确刻画了当时的普遍心态,绝对是一部爱国小说,对苏联和美国之间作了很多比较,均有利于前者,但也有些坦率的对白,特别是当时避而不谈的1946至1947年的饥荒(直到赫鲁晓夫的解冻,苏维埃文学才得以直面这些社会问题)。这是引发党的责难的关键所在,西蒙诺夫为之感到震撼。与此同时,法捷耶夫的小说《青年近卫军》(1947年)也受到攻击,也是斯大林发动的,也刊登于这份主要杂志,从而引起猜疑这位暴君正在筹划对作家协会领导班子的清洗。西蒙诺夫亟想了解斯大林为何不喜欢自己的作品,亟想作出修改来投合他的喜好,所以拜访日丹诺夫征求意见。但这位斯大林的意识形态大管家,一点忙也帮不上——他反而非常喜欢这篇小说——于是,西蒙诺夫下定决心,“不会再版《祖国炊烟》”。

    不久,西蒙诺夫收到日丹诺夫秘书的电话,问他关于克柳耶娃和罗斯金的剧本何时才能脱稿。这两位科学家已被抹黑,斯大林指控他们向西方卑躬屈膝。在1947年5月的克里姆林宫会议上,斯大林曾向法捷耶夫和西蒙诺夫提议,以此题材创作一部小说。他认为,需要更多的爱国文学作品,来揭批知识分子对西方的崇拜。西蒙诺夫表示同意,但认为这个题材更适宜于戏剧。当时,西蒙诺夫正在写《祖国炊烟》,所以作了推延,尽管他曾去日丹诺夫的办公室看了有关资料,但他知道这是一项严肃的政治任务,视之为一种拖累。在西蒙诺夫看来,宣传鼓动部的攻击还记忆犹新,现在却接到日丹诺夫秘书的来电,这无疑是一个明确信号:如果及时提供斯大林在等待的剧本,斯大林就会原谅他在中篇小说中的失误。他不顾一切,亟想赎罪,在1948年初的几个月写出《外国阴影》(Alien Shadow)的第一稿。这是一部粗劣的宣传剧本,有关一名苏维埃微生物学家,因迷恋西方而背叛自己的祖国。西蒙诺夫作出可耻的政治献媚,将第一稿送交日丹诺夫审阅,再照他的指示,转交莫洛托夫和斯大林审阅。斯大林打电话给西蒙诺夫,提供如何改写的明确指示。他表示,西蒙诺夫应该强调剧中科学家的利己主义(斯大林:“他认为,他的研究是自己的个人财产”),又应该在结尾处突出政府的善良,让卫生部长落实斯大林的命令,原谅犯错的科学家,让他继续从事研究工作。斯大林说:“这是我对剧本的意见,你需要作出调整,如何去写则是你的事。一旦你作了调整,剧本将获得通过。”西蒙诺夫按照斯大林的建议,重写了剧本的结尾,将第二稿送交斯大林,作再一次的审批。西蒙诺夫回忆:“在胁迫之下,我写得很辛苦,逼迫自己相信这样做的必要。当初如能足够坚强,抵制这种自残,我可以选择不写。30年后的今天,我仍为自己的缺乏勇气而感到惭愧。”

    这个事件以悲喜剧的形式落下帷幕。该剧本发表于《旗帜》(Znamia)杂志,连同其他几个剧本一起,获得斯大林文学奖的提名。作家协会的秘书处先行讨论它们的优缺点,再递交斯大林奖委员会。在西蒙诺夫也在场的秘书处会议上,几位同事批评剧本的结尾(斯大林的建议),所持的理由是“原谅科学家,不作任何惩罚,这显得过于软弱,过于慷慨,几乎是政治上的投降”。西蒙诺夫闭口不提他与斯大林的电话交谈。“我默默端坐,倾听同事们指责斯大林的自由主义。”该剧本后来获得斯大林文学奖。 (797)

    西蒙诺夫习惯于自我批评和自我审查。他写了许多信,向苏维埃领导承认错误。他曾写下好几个故事的草稿,然后锁在抽屉里,因为他知道,将无法通过审查员这一关。1973年,德国作家克里斯塔·沃尔夫问他,是否由于承受着压力,不得不写自己知道在政治上可以被接受的作品。西蒙诺夫承认自己身上的两重性,有时是作家,有时是审查员,一生都在互相斗争。他甚至承认,当怯懦占据上风时,会非常厌恶自己。 (798)

    偶尔,作为作家的西蒙诺夫也会奋起反叛作为审查员的自己,诗人也会为自己的政治良心发出悲呼。例如在1946年10月,即日丹诺夫原则的运动高潮,西蒙诺夫给《小火苗》(Ogonyok)杂志的主编阿列克谢·苏尔科夫,写去一封火冒三丈的信。之前,他曾向该杂志投送诗稿,受到苏尔科夫的删改,被删除的人名中有外国人(以爱国的名义),也有在政治上被抹黑的苏维埃人。西蒙诺夫表示,绝不赞同如此的做法,无论是在实质上,还是在原则上。献给老朋友大卫·奥滕贝格的一首诗也被删节,西蒙诺夫对此尤为不满。1943年,奥滕贝格不愿遵循克里姆林宫开除手下犹太同仁的命令,而被解除《红星报》的主编一职。奥滕贝格甚至勇敢地写信给党领导,对某些军队和许多后方地区的“肆无忌惮的反犹主义”,表述了心中的不满。西蒙诺夫坚持:“我想保留这首诗,希望它保持完整。这是献给我所敬爱的人的,我希望它维持原样。” (799)

    也许,随着自己愈益牵涉对苏维埃犹太人的文学迫害,西蒙诺夫将更多意义注入自己献给奥滕贝格的诗。他一方面参与斯大林政权的镇压,另一方面又往往承受良心的责备。无论是作为一个作家,还是作为一个人,这种冲突都几乎把他摧毁。所担负的政治责任给他的身体和精神带来了巨大压力,这从他的容貌变化上就有明显的体现:1948年,33岁的西蒙诺夫似乎还是个年富力强的青年男子;仅仅5年之后,他已头发斑白,活脱脱是人到中年。他的手患上了神经性的皮肤病,只有酗酒才能让他镇静下来。 (800)

    在人生最后一年写成的回忆录中,西蒙诺夫忆起一件事,特别困扰他的良心,迫使他面对现实:斯大林的暴政全靠像他那样的官员的懦弱帮腔。那件事发生于1952年克里姆林宫的一次会议,为的是评选斯大林文学奖的得主。基本上,大家都已同意将此奖授予斯捷潘·左罗宾的小说《斯捷潘·拉辛》(Stepan Razin)。但马林科夫表示反对,称左罗宾在战争中表现欠佳,让自己做了德军俘虏。但在事实上,大家都知道左罗宾展现了非凡的勇敢,甚至在集中营里还率领一群抵抗战士坚持斗争。马林科夫发言之后,会场上一片死寂。斯大林站了起来,在房间里踱起方步,从一个个在座的政治局委员和作家协会领导人身边走过,大声问道:“我们应该原谅他吗?”这既是自问,又在让大家考虑,仍是一片寂静。斯大林继续来回踱步,再一次问:“我们应该原谅他吗?”依然是一片沉默,没人开口。斯大林还是在踱步,第三次问道:“我们应该原谅他吗?”最后,还是他自己作了回答:“让我们原谅他吧。”每个人都知道,一个无辜的人的命运悬在半空:他要么赢得斯大林奖,要么被送去古拉格。虽然与会的所有作家,至少都认识左罗宾,但没人胆敢为他辩护,尽管有斯大林的一再敦促。如西蒙诺夫所解释的:“在我们眼中,这不是原谅或不原谅一个罪人,而是要不要发言,辩驳这样的指控。”它来自马林科夫那样的高官,显然已被斯大林当做真相。在斯大林看来,他已是罪人,问题只是原谅与否。西蒙诺夫回忆这一事件,得出这样的结论:斯大林一直知道对左罗宾的指控,故意提名该书,让自己有机会安排这一出“小戏”。他很清楚,没人会有勇气为左罗宾辩护,他的目的就是想显示,只有他一个人才能决定他人的命运。 (801)

    “反世界主义者”的运动打开了苏维埃反犹太主义的闸门。反犹太主义在俄国历史悠久,1917年后依然存在,特别是在城市的较低阶层中。对犹太商人的憎恨,就是大家不满新经济政策的重要因素,斯大林在攀升到权力高层时曾充分利用这样的大众憎恨。社会的低层民众对20世纪30年代的清洗抱有普遍的冷漠,部分原因就在于,他们认为大恐怖主要受害者的党干部都是犹太人。但从总体来看,战前的苏维埃政府把反犹主义当做沙皇时代的遗物,给予了认真的清除。相对来说,苏维埃犹太人并没受到歧视或敌对的骚扰。这一切却因德军的占领而发生变化。纳粹宣传在乌克兰和白俄罗斯煽起了反犹太主义的潜在力量,非犹太人口中有相当比例默默支持对犹太人的摧残,还作为帮凶参与围捕犹太人——或就地杀害,或送进集中营。甚至在苏维埃后方的偏远东部,由于西部士兵和平民的涌入,带来了对犹太人的憎恨,反犹太主义也有爆炸性的上涨。 (802)

    战后,俄罗斯的民族主义成为斯大林政权的统治思想。犹太人重被认作“异己的外人”、潜在的“间谍”和“敌人”、以色列和美国的盟友。博尔切戈夫斯基回忆,在“反世界主义者”运动的借口之下,“杀掉犹太佬(Yids)”的气氛四下蔓延:

    “无根”、“世界主义者”、“反爱国”都是黑色百人团 [13] 常用的字眼——用以遮掩“犹太佬”一词的面具。如要脱下面具,直说那甜美的原始字眼,却又充满风险。黑色百人团仍是胆小鬼,反犹太主义会受到刑法的严厉处罚。 (803)

    扩大反犹运动的官方语言同样是遮遮掩掩的。从1948到1953年,数万苏维埃犹太人遭到逮捕、解雇,被大学开除、逐出家园,但从不讲明(从没在文书中提到)其原因就是因为他们的种族。至少根据官方政策,这样的歧视在苏联是非法的。

    战前,在俄罗斯主要城市的犹太人中,大部分只隐约意识到自己是犹太人。他们的家庭,已抛弃传统的犹太小镇生活,转而拥抱苏联的城市文化。他们放弃了犹太宗教和犹太种族,转而接受以苏维埃国际主义原则为基础的新身份。他们认为自己是“苏维埃公民”,融入苏维埃社会,攀升到1917年以前遭禁的位置,只是在家里仍保留犹太人的风俗、习惯、信念。战后的反犹运动,迫使他们重又把自己当做犹太人。

    盖斯特一家是典型的犹太人,离开栅栏区,在苏联找到新家。阿隆·盖斯特被捕于1937年,之前曾是苏维埃政府的领导成员,担任副农业人民委员,妻子拉希尔·卡普兰是重工业人民委员会的高级经济师。女儿伊娜和纳塔利娅从小就学做苏维埃公民,沉浸于俄罗斯文学的普遍文化和理念之中,几乎意识不到莫斯科家中的犹太人痕迹——仅有他们吃的食物、苏维埃节日期间的家庭礼仪以及外祖母叙述的反犹大屠杀旧事。1944年,伊娜注册为莫斯科大学物理系学生,晚上在教授的实验室打工,以此自给并帮助母亲。1945年,伊娜的母亲获释于阿克莫林斯克劳改营,在莫斯科东北100公里之遥的科尔丘吉诺镇定居。1948年,伊娜的妹妹申请莫斯科大学遭拒。伊娜想找出原因,党委书记叫她到申请表格当中去找。原来,纳塔利娅在民族一项填了犹太人。 [14] 伊娜说,这是她首次意识到自己的犹太出身。一名考分较低的俄罗斯男孩取代纳塔利娅,进了莫斯科大学,后来成为一名教授。

    1949年4月,伊娜在大学为自己毕业论文答辩时遭到逮捕,被裁定为“人民公敌的女儿”,判处5年,流放去哈萨克斯坦。她在那里的波罗沃耶地区找到一份教师工作,那是一个荒凉、偏远的草原小镇。两个月之后,纳塔利娅也被捕,因为她在莫斯科师范学院加入共青团的申请表格上,没填上父母的被捕。她是在1948年被接纳成为该校学生的。她保留了一张父亲的照片,而不是公开背弃他,这在审讯员看来,无疑是“社会危险分子”的认罪。纳塔利娅也被判处5年,流放去哈萨克斯坦。结果在波罗沃耶地区,她、伊娜和赶来相聚的母亲团聚在一起。 (804)

    维拉·布龙施泰因1893年出生于乌克兰西部的犹太家庭,1907年尚是小女生时,就在敖德萨加入布尔什维克,成为地下革命活动的积极成员,曾参与布尔什维克1917年10月在莫斯科的夺权。她与一名俄罗斯工人结婚,1926年生下女儿斯韦特兰娜,1928年离开丈夫(原来是一个反犹太主义者),因为他威胁要举报她为“托派分子”。维拉在国家档案馆工作,又在红色教授学院攻读历史,继而成为历史教授;从1938年起,她向莫斯科伏龙芝军事学院的士兵,讲授斯大林的《联共(布)党史简明教程》。维拉和女儿未受大恐怖的波及,一直享受着苏维埃精英的舒适生活,直到1948年。其时,维拉因前夫的举报而遭逮捕,被裁定犯了“反革命活动”罪,判处5年,被送去波特马劳改营。斯韦特兰娜此时已是莫斯科大学的学生兼共青团积极分子。她面临被开除的威胁,更承受越来越大的压力,要她揭发其他学生和教授为“犹太民族主义者”。但她予以拒绝,不愿相信有关“犹太复国主义阴谋”的宣传。她很天真,甚至写信给斯大林,抱怨大学里犹太学生受到的歧视。此举导致自己在1952年被捕,判处10年,被送去维亚特卡劳改营。 (805)

    奥莉加·洛普提娜―爱泼斯坦1913年出生于犹太家庭。全家人在1917年之后,离开法定犹太区,搬至波尔塔瓦。20世纪30年代初,她本人搬到列宁格勒,与来自法定犹太区的犹太人鲍里斯·爱泼斯坦结婚,成为列宁工厂的会计;儿子马克出生于1937年。战争期间,奥莉加和儿子疏散到车里雅宾斯克。1944年,鲍里斯阵亡于白俄罗斯前钱。1945年,再婚的奥莉加和新丈夫,带着马克回到列宁格勒。这座城市的住房长期紧缺,幸亏奥莉加的弟弟在内务部工作,帮助找到共用公寓中一个小间。他们的邻居大多是工人,抱强烈的反犹态度,经常会在争论中表露出来。马克回忆:“那座公寓像是一个种族仇恨的火药桶,随时都会爆炸。”

    邻居经常酗酒,每当有什么投诉,就会向我们发泄粗口、诅咒、威胁,叫我们搬去巴勒斯坦。然后,妈妈就会对纯俄罗斯人的继父说:“科利亚,为什么不去管管你那帮部落主义者?”公寓内的气氛恶劣,有时威胁变得煞有介事,母亲就会上访党总部[在公寓对面的斯莫尔尼学院],但她的投诉从来没有效果。

    马克在学校里被人欺负,其他孩子都拒绝坐在这位“肮脏的犹太佬”旁边。他住的大楼,大门上画有“犹太佬”的字眼。奥莉加多次向学校当局抱怨,甚至写信给党的领导,都无效。向内务部提出投诉,也不再有任何意义,因为她的弟弟连同许多内务部的犹太雇员,都因列宁格勒案件而被逮捕。奥莉加出于焦虑而生病,从1949到1953年,连续几次心脏病发作,几乎成了残废人。第二任丈夫死于1955年,之后,她完全依赖儿子。母子俩继续生活于同一公寓,周围是同样的反犹邻居,直到奥莉加在1987年去世。马克65岁时才结婚,方才搬走。 (806)

    反犹运动也大大影响了拉斯金家庭。1943年,拉斯金一家从战时疏散地车里雅宾斯克返回莫斯科。塞缪尔和贝尔塔住在长女法尼娅在阿尔巴特区的公寓,再加上热尼娅的儿子阿列克谢和妹妹索尼娅(热尼娅仍住在祖博夫广场的自家公寓)。塞缪尔重操贸易旧业,向国营的食品商店系统供应咸鱼。法尼娅继续在拖拉机工业的管理部门工作。索尼娅在莫斯科庞大的专造汽车的斯大林工厂上班,很快晋升为金属和技术供应的主管。这是一项非常重要的工作,战后的斯大林工厂引进了新技术和高级钢材,大批量生产轻型汽车和卡车,索尼娅对工作非常投入。她的丈夫恩斯特·扎伊德勒是匈牙利共产主义者,曾在共产国际工作,1937年12月被捕并遭枪决,没有子女。热尼娅担任电台编辑,竭尽全力照料体弱多病的阿列克谢,不愿向西蒙诺夫求助,伸出援手的反而是自己的父母。西蒙诺夫的父母时有帮忙,1947年带阿列克谢去海边度了长假,帮助调养他的结核病。 (807)

    西蒙诺夫只花很少的时间在阿列克谢身上,每年只有一次或两次见面。他的母亲亚历山德拉经常需要提醒他别忘了给阿列克谢写生日贺信。1952年,阿列克谢13岁生日那天,西蒙诺夫的电报未能送到儿子手中,他只得补写了一封信:

    亲爱的阿廖沙!

    我一直不舒服,也没在莫斯科。我到今天才意识到,由于误会,我为你生日而写的电报竟没有送出……我对你的未来充满信心,随着岁月的流逝,我希望你会长大、成为我的一个“小朋友”。过去的一年使你更加靠近这一目标……我每周两次走过莫斯科大学的新大楼;我一直认为,你总有一天会在那里上课。然后,你会踏上你的工作征程——奔赴国家派遣你去的地方。欢乐的召唤在等待着你,以及像你那样的数百万儿童。心怀喜悦,向往这一天;工作愉快,欢迎这一召唤…… (808)

    对这封信的拘谨刻板,阿列克谢并无不适之感,父子之间的交往历来如此。由于只有很少的通信,他珍惜其中的每一封。父亲的信通常是打字机打的,这意味着它们是父亲口述给秘书的,都是谆谆教导的口气,与其说是父亲写给儿子的家信,毋宁说是党干部的公函。下面这一封写于1948年的夏天,其时,阿列克谢仅8岁:

    亲爱的阿廖沙:

    我收到了你的信和绘画。至于绘画,在我看来,还真不错,特别是那只小公鸡。但目前还不是骄傲的时候,记住,父亲在你这个年龄可以画得更好。所以你必须加倍努力,迎头赶上。我希望你对争取高分的允诺,不只是纸上谈兵,而会很快变成现实。我将会为此而感到非常高兴。 (809)

    阿列克谢记得父亲经常告诉他,“血缘”在他看来没有特殊的意义,这是他的“民主原则”之一,同事、下属、家人都一视同仁。阿列克谢承担了父亲这些原则的代价。他不明白,颇受他人欢迎的著名父亲,留给自己的时间却这么少。父亲仅有几次来接他出去;阿列克谢每次都感到尴尬,长时间保持沉默,但父亲从没注意到他的不安。1947年春天,西蒙诺夫从美国带回一套西装(棕色的外套、短裤和一顶帽子),送给儿子。阿列克谢并不喜欢短裤——穿上时,会遭到院子里其他男孩的嘲笑,甚至殴打——所以将它藏进抽屉。几星期后,一辆政府轿车来到祖博夫广场的公寓前,要接阿列克谢去看一年都没见面的父亲。阿列克谢的外祖母贝尔塔特意让他穿上棕色西装,以示他很喜欢父亲的礼物。其他男孩聚在院子里查看轿车,众目睽睽之下,阿列克谢走出了家门,坐进轿车,被带到西蒙诺夫包房招待朋友的大酒店。父亲让7岁的男孩面对人群,“报告”过去一年在学校的成就,听完之后再推出一个惊喜:白衣白帽的厨师走进来,手捧盛有“惊喜蛋饼”(由冰淇淋做成)的大银碟。阿列克谢留下来吃“蛋饼”,父亲则与朋友们交谈应酬。在阿列克谢眼中,父亲似乎是“全能和神奇”的。西蒙诺夫后来转向儿子,问他是否喜欢身上的西装,阿列克谢给了一个很礼貌的回答。过不多久,阿列克谢又被送回家——如他所回忆的,“等待下一次与父亲的见面,也许1个月,也许6个月,取决于他政府工作的繁忙程度”。 (810)

    至于对阿列克谢的忽视,除了母亲亚历山德拉,唯一敢于批评西蒙诺夫的就是索尼娅。1947年10月,索尼娅写信给西蒙诺夫。阿列克谢又一次发病,急需拉斯金一家无法获得的营养品和药物:

    我不得不第二次提醒你,应对儿子负责(仅是第二次?),这是很令人讨厌的。你让自己变得漠不关心,其程度令我吃惊。相信我,如果不是出于你的孩子的必需,我和热尼娅都不会来找你。要你帮忙,我们都感到颇不自在——完全是你的缘故——但是我们也不能因此就任凭阿廖沙受苦受难。如果处于不同的情形,我会把你彻底忘掉,甚至会阻止你的儿子去爱一个不愿为他牺牲两小时的父亲。关于这一点,我以前曾向你提过。 (811)

    1950年5月,索尼娅被捕,单独关在莫斯科的列福尔托沃监狱,因斯大林工厂一案而接受审讯。该厂的犹太工人被指控为美国从事间谍活动,这源于1948年该厂工人组队前往莫斯科的犹太剧院。斯大林工厂有相当数量的犹太工人,大多是工程师和行政人员,向来支持犹太人反法西斯委员会和以色列建国。他们的文化活动,更得到了工厂副主管亚历山大·济蒂诺夫的鼓励,他还让美国驻苏大使前去参观。这已足够让国安部炮制出一个“斯大林工厂反苏维埃集团,成员是犹太资产阶级民族主义者”,向美国透露工业机密。推动调查的是赫鲁晓夫,他自1949年12月起,担任莫斯科的市委第一书记,很有可能是在执行斯大林的指示。斯大林已在担忧犹太人的“间谍”和“阴谋者”无处不在。受军事法庭的定罪,济蒂诺夫成为后来被枪决的14名“领导者”之一。这个工厂的100多名犹太工人,外加其他工厂的数百名犹太工人,被送去各个劳改营。 (812)

    索尼娅被判处25年的苦役,送去远北地区的沃尔库塔劳改营。法尼娅和热尼娅在塞缪尔和贝尔塔的面前隐瞒了苦役期限,只说是5年,因为担心真相会使他们绝望。索尼娅去了沃尔库塔的砖厂,以她一贯的充沛精力和主动性投入工作。即使身在古拉格,她仍完全致力于苏维埃的工业事业。索尼娅获得奖励,成为劳改营的图书馆员,那是一个让人称羡的工作,但在家书中,她经常流露自己的无奈:如果不是整理书籍,而是充任资深的工业家,她本可为国家作出更大的贡献。

    索尼娅的被捕给塞缪尔的健康状况造成很大影响。据法尼娅说,在她流放期间,塞缪尔似乎承受了巨大的悲伤。索尼娅被捕时,塞缪尔71岁。以前,他一直非常开朗愉快,充满旺盛的生命力。女儿被捕后,他变得年迈体衰,再也无法以原先的步调工作。不过,家庭传统仍然继续,其后5年中的每一个星期日,家人和朋友仍像往常一样,为著名的“拉斯金晚餐”而聚在一起,贝尔塔继续准备可口的犹太菜肴,塞缪尔继续举行他的厨房议会。西蒙诺夫从未出现,但他的父母经常露面。法尼娅回忆:“他们与众不同,来自不同的阶层,与我们的父母倒相处融洽,他们喜爱热尼娅和阿列克谢。”晚餐的开幕祝酒词始终相同:“为了她的归来!”如果索尼娅的信恰恰在过去一周收到,就会被大声念出,聚集的客人展开讨论,总是会掉眼泪。每个人都会向索尼娅表示问候,由热尼娅执笔写入回信。

    20世纪50年代初,许多劳改营的条件开始有所改善。古拉格管理员想方设法促使囚犯作出更大努力,像索尼娅那样的模范员工,每周一信并不出奇。审查员仍然检阅通信,但依据较为宽松的规则,囚犯和亲人的交流可能有久违的坦率。有时,索尼娅甚至获准给家里打电话——家人太激动了,以致语无伦次。在一次这样的电话之后,热尼娅写信给索尼娅:

    我亲爱的姑娘,对我们所有人来说,尤其是妈妈和爸爸,这是何等的高兴,你简直无法理解。这使他们更容易坚持到你归来。爸爸浑身颤抖,第一分钟内简直说不出一句话。他们听到你声音时的幸福感,无法以言语来表述……阿列克谢——长……得这么高,你都快认不出他了——跟你说话时显得紧张,所以他的声音听起来怪怪的。他谈及有关剃须的蠢话,随后又为之沮丧起来。

    1952年,热尼娅去沃尔库塔探望索尼娅。允许亲属探视囚犯是古拉格系统放宽政策的一部分。热尼娅是沃尔库塔首批探访者之一,离家前夕,要求西蒙诺夫前来祖博夫广场的自家公寓。阿列克谢无意中听到父母的对话。热尼娅很害怕可能会遭到劳改营的拘留(囚犯亲戚中普遍存在的恐惧),便要西蒙诺夫作出庄严的承诺,无论发生什么,都要将儿子留在塞缪尔和贝尔塔的身边,直到她归来。热尼娅是生活中的外交官,具有非凡的能力,与各种人都能友好相处,不作自己的评判。但在这个问题上,她却非常坚定——这是一个原则问题:阿列克谢不能与西蒙诺夫一起生活。

    热尼娅从不为自己向西蒙诺夫提出要求。1951年,电台行业出现了对犹太人的大清洗,她也被解雇,很长一段时间找不到工作。她向几十家文学杂志和报纸查询工作机会,并送上自己的文章,以图发表,但从没向西蒙诺夫求助。不过,为了索尼娅,她什么都愿做。其时,热尼娅的大部分精力都投入争取索尼娅的获释,她写信给所有的有关当局——包括判处索尼娅的军事法庭、负责审查该案件的军事检察官甚至《真理报》编辑部,以伸张正义。到最后,热尼娅才转向西蒙诺夫。过去6个月当中,她数次与他见面,希望得到相关的信息和建议。但西蒙诺夫不愿介入,热尼娅写信给索尼娅说:

    你无法想象科斯佳[西蒙诺夫]的变化,我们曾熟悉的他已不复存在。过去几年中,我很少见到他,每次见面永远都不会超过几分钟。所以他的新性格,让我大大吃惊——你一定也会有同感……原因不在于他的年纪越来越大(他仍算年轻),也不在于他因经验而变得更聪明,更不在于他的高级地位和收入。不,这是完全不同的东西……科斯佳承诺,我们将得到需要的信息。我认为,值得等待,因为这些信息很可能是可靠的,但他迄今未做。毫无疑问,他太忙了……他本可做得更多,但——愿上帝与他同在——让他去过安静舒适的生活吧。我已不再尊重他。

    但从西蒙诺夫的角度考虑,即使他想出手干预,可能也无济于事。当然,这也是拉斯金家其他人的看法,所以继续以热情和尊敬相待。在罕见场合中,他们见到他,从不提索尼娅的事。法尼娅解释:“我们知道,他与斯大林走得很近,可以讨一个人情。但我们中没人提起——我们只是不想让自己走到这一步。”

    反正,西蒙诺夫已纠缠于斯大林的反犹运动,即使想帮拉斯金一家,可能只会让自己陷入困境。西蒙诺夫1950年接管《文学报》,就收到克里姆林宫的指示,要在“反世界主义者”运动中,向它的立场靠拢。以前的主编太软弱,斯大林现在要依靠西蒙诺夫将这份富有影响力的报纸改造成党的先锋队,在苏维埃文化中开展“反资产阶级异己分子的斗争”。西蒙诺夫一走马上任,就以“工作表现差和政治错误”的名义,开除了该报11名工作人员(全是犹太人)。在他的掌控下,该报定期发表文章和社论,积极开展“思想斗争”,以反对“世界主义者和对西方的奴颜婢膝”,个中的反犹太主义昭然若揭。在反世界主义者运动的初期,西蒙诺夫曾是“温和派”,此时看来,正在变成强硬派一员。他一直坚持这个立场,直到斯大林政权的终结。1953年3月24日,即斯大林逝世的两个多星期之后,西蒙诺夫还代表作家协会的秘书处,写信给中央委员会,列举需要开除的犹太作家(称之为累赘)。之后,他还写信给中央委员会,坚持要清洗他的老朋友和战友亚历山大·克里维斯基——其时担任《文学报》的国际部编辑。根据举报信,清洗的理由是“某些履历事实”,以及克里维斯基对犹太民族主义者缺乏警惕。 (814)

    警惕就是西蒙诺夫试图展示的。反犹太主义者似乎得到克里姆林宫的支持,发起了一系列攻击。西蒙诺夫面临越来越沉重的压力,只好作出惯常的应对:拼命证明自己的忠心耿耿。反对西蒙诺夫的运动始于1951年,牵涉到犹太作家可否使用笔名的公开争论。斯大林在讨论斯大林文学奖的会议上询问,作家奥列斯特·马尔采夫为何不用自己的犹太名字(罗温斯基);并提出建议,从今以后,在所有正式表格中,使用俄罗斯笔名的人必须在括号内列出自己的犹太名字。 [15] 这其实是沙皇时代的官方习惯,当时的犹太人和革命者被视作一丘之貉,但1917年之后,这种做法被认作反犹主义,已经废弃。自1949年以来,苏维埃报刊开展了有关笔名的广泛讨论,其中的强硬派敦促重启披露犹太名字的旧制度。1951年2月,《共青团真理报》刊登了米哈伊尔·布本诺夫的文章(《笔名仍有必要吗?》)。这是一篇卑劣的文章,带有公开反犹的色彩。布本诺夫嘲弄犹太作家的笔名,指责他们是“逃避社会的变色龙”。西蒙诺夫以《文学报》主编的名义作出回应,声称使用笔名是私人选择,他援引20世纪20年代的相关法律,并签上自己的名字“康斯坦丁(基里尔)·西蒙诺夫”。这是一个勇敢的举动。《共青团真理报》随即登出声援布本诺夫的文章,执笔者是赫赫有名的《静静的顿河》作者米哈伊尔·肖洛霍夫。西蒙诺夫怀疑,真是肖洛霍夫写的吗?他很想打电话单独问他,究竟承受了何等压力,但到最后还是放弃了。相反,他在《文学报》写了第二篇文章,指责肖洛霍夫和布本诺夫只是在作“廉价的煽情”,并声称就此停笔,不再多写一字。 (815)

    但其他成千上万的人继续发表各自的见解,新闻界收到雪崩般泻来的读者来信,有些人支持西蒙诺夫——其中有许多犹太人,其余的则选择匿名。但是,大多数来信赞同布本诺夫。在他们看来,在苏联没有使用笔名的必要,“不管是哪一个种族,大家都一律平等”,除非犹太人有不可告人的秘密。许多来信具有强烈的反犹色彩,指责西蒙诺夫充当“犹太人的辩护人”。 (816)

    此时还兴起一个反西蒙诺夫的谣言运动,有传言称他是犹太人。作家协会的主要成员阿列克谢·苏尔科夫,对反犹运动持反对态度,在1952年的年尾来找西蒙诺夫。他告诉西蒙诺夫,过去一年中,他曾参与中央委员会高层官员的几次讨论,因为收到一系列的举报,揭露西蒙诺夫是“秘密犹太人”。有人称,他的真名是西蒙诺维奇,实际上是“奥博连斯卡娅伯爵夫人”庄园上犹太工匠的儿子,嗣后获得伯爵夫人的收养。还有人称,他是来自圣彼得堡受过洗的犹太人的儿子。他们还纷纷指点他的“犹太外表”和化名(以康斯坦丁代替基里尔)。一开始,西蒙诺夫不予理会,认为这些谣言极其荒谬:他母亲是公主,不是伯爵夫人,更没有庄园。到后来,资深党员弗拉基米尔·奥尔洛夫的举报,也提及“西蒙诺维奇”的传言。他指责西蒙诺夫在《文学报》提拔犹太编辑人员,其目的就是要将之改造成“犹太复国主义者组织”。1953年1月,威胁气氛愈益急迫。苏尔科夫再次造访西蒙诺夫,透露作家弗拉基米尔·克罗日科夫告诉自己,已有证据表明,莫斯科有一个文学团体,与东欧、苏联各地的犹太民族主义者都有联系。据克罗日科夫所说,这个团体的负责人就是西蒙诺夫。苏尔科夫告诉西蒙诺夫这一切,冒着极大的个人风险,因为克罗日科夫曾要他发誓保密。苏尔科夫警告:“有一些王八蛋正在四下挖你的墙脚,为你挖掘坟墓。” (817)

    在这一段时间,反犹活动也抵达高潮,最后一幕是荒谬的“医生事件”,起源于1948年。当时,同时也为国安部工作的克里姆林宫医院医生利季娅·季马舒克,在日丹诺夫死前两天写信给斯大林,声称有关医生疏忽了日丹诺夫的严重病症。该信并没引起注意,被束之高阁。3年后,斯大林却用它来指控克里姆林宫医生属于一个“犹太复国主义者的阴谋”,涉嫌谋杀日丹诺夫和其他苏维埃领导人。给日丹诺夫治病的医生都不是犹太人,为了将日丹诺夫的死亡与犹太复国主义者连接起来,斯大林只得另想计策。医生阴谋的凭空捏造,全靠雅可夫·埃廷格尔医生的屈打成招。他是杰出的诊断专家,曾向亲友说出自己的反苏维埃思想,于1950年11月被捕。埃廷格尔供认自己是犹太民族主义者,还受到国安部主管维克托·阿巴库莫夫的保护,后者于1951年7月被捕。之后,数百名医生和国安部官员被捕,受尽折磨后纷纷招供。斯大林凭此编造出一个巨大的跨国阴谋,内有医学界、列宁格勒党组织、国安部和红军中的苏维埃犹太人,外有以色列和美国。整个国家似乎要返回1937年的氛围,让犹太人扮演“人民公敌”的角色。1952年12月,斯大林在中央委员会的会议上说“每一个犹太人都是潜在的美国间谍”,从而使全体犹太人成为他的恐怖运动的对象。成千上万的犹太人遭逮捕,被逐出工作单位和家园,成为“无根的寄生虫”,从主要城市流放到苏联的偏远地区。斯大林下令在远东建造庞大的新劳改营,收留所有的犹太人。在整个苏联地区,人们都在诅咒犹太人。病人拒绝看犹太医生,迫使他们歇业,很多人只好出卖体力挣钱。有人造谣惑众,称医生在自己病房杀害婴儿,孕妇因而躲避医院。人们写信给报刊,呼吁苏维埃当局“清除寄生虫”,“从聚有太多犹太猪的那些大城市,把他们赶出去流放”。 (818)

    然而,就在这个歇斯底里的高峰期,斯大林死了。

    斯大林中风了,不省人事躺了5天,死于1953年3月5日。如果第一天就把医生请来,他可能还有救。但在医生事件的恐慌之中,斯大林小圈子里没人敢自作主张。斯大林的私人医生曾说他需要休息,反而被上了酷刑。如果斯大林从昏迷中醒来,发现床边的医生,可能会视召来医生的决定为不忠的表现。 (819) 这真是一个恰到好处的讽刺,斯大林因自己的政治而迅速去世。

    斯大林逝世的当晚,西蒙诺夫参与克里姆林宫的苏维埃领导会议,列席会议的是300名最高苏维埃和中央委员会的成员。大家都知道局势的严重,大多数代表早早来到斯维尔德洛夫厅。西蒙诺夫回忆:“我们互相知晓,互相认识,在工作场合相遇过多次。”

    我们并肩坐在那里,互相对视,但没人说话,没人向任何人问起任何事。在我看来,甚至没人觉得有开口的必要。[会议]开始之前,大厅里一片寂静。如果没在那里亲自坐了40分钟,我都不敢相信,300余人挨得这么近,却能不发出一点声响。

    最后,主席团 [16] 成员入席,宣布斯大林已奄奄一息。西蒙诺夫得到的强烈印象是,除了莫洛托夫,这个小圈子的其他成员都为此松了一口气:这可从他们的脸上看到,也可从他们的语调中听出。 (820)

    西蒙诺夫从克里姆林宫直奔《真理报》办公室,正与主编交谈时,收到斯大林的死亡通知,尽管已有预料,这一消息仍令他震惊。西蒙诺夫回忆:“我内心打了一个寒战,自己生命中的某部分已经结束,说不清楚的新部分开始了。”那一刻,他突然觉得,需用诗歌来记录自己的思绪。他不知道是否写得出,但他确定自己无法做其他任何事。他回到家里,开始动笔:

    我写了最初两行,突然,出乎意外地,一下子泪流满面。我现在仍可否认,因为我并不喜欢眼泪,不管是自己的,还是他人的。但只有那些眼泪,才能正确表达我当时经历的震撼。我哭,不是因为悲伤,也不是因为对死者的遗憾。它不是多愁善感的眼泪,而是震撼过后的眼泪。发生了一场革命,其影响如此巨大,必然有身体上的反应,在这种情况下,沉淀成了俘获我几分钟的痉挛哀泣。

    西蒙诺夫后来与同行们交流,发现他们也有同样的感受。许多人追随他的榜样,写下对斯大林死亡的衷心哀悼。看起来,以广为不同的方式经历斯大林统治的人,都感到震惊和悲伤。斯大林去世的当晚,西蒙诺夫写道:

    无法用语言来表达

    难忍的痛苦和悲泣,

    无法用词句来叙述

    如何为你哀悼,斯大林同志!

    20世纪30年代背弃自己家庭的“富农”之子特瓦尔多夫斯基写道:

    在这大悲痛时刻

    我无法找到哀辞,

    来充分表达

    全体人民的损失……

    供人瞻仰的斯大林遗体

    甚至在大恐怖时期入狱两年的奥莉加·贝戈尔兹,也为虐待自己的人写下挽诗:

    我们的心脏在出血……

    我们自己的最亲爱的人!

    抱着你的头颅,

    全国都为你流下斑斑泪痕。 (821)

    向大众公布斯大林死讯是在3月6日,3天后举行葬礼。当中这段时间,他的遗体停放在红场附近的圆柱厅供人瞻仰。前来表示敬意的真是人山人海,首都的中心挤满了来自苏联各个角落的送葬者,数百人死于踩踏事故。西蒙诺夫中选担任斯大林遗体的护卫,有机会观察普通百姓走过遗体时的反应。他在3月16日的日记中写道:

    我不知如何准确地描述现场——如何以文字表达。并非每一个人都在哭喊,也并非每一个人都在抽泣。但不知何故,每一个人都展示了深刻的情感。大家排队走过,第一次看到灵柩中的斯大林的一刹那,我都能感受到他们内心的某种精神痉挛。 (822)

    这种“精神痉挛”,整个苏联都能感受得到。马克·拉斯金没有理由热爱斯大林,但听到死讯时仍泣不成声。他为自己的感伤感到惊讶,归因于斯大林曾在他的生活中发挥了巨大影响:

    我成年后的时光都在斯大林的阴影下度过的——列宁死于1924年,当时我16岁——我所有思想,都是在斯大林时代形成的。我等待他的指示,所有的疑问向他提出,他也给了全部的答案,既简洁,又精确,没有丝毫的怀疑余地。 (823)

    在拉斯金的同龄人或更年轻的人眼中,斯大林是他们的道德基准。不管他们在斯大林统治下的际遇如何,在他去世后,一定会有迷失感,其自然反应就是他们的悲伤。

    有些大恐怖的受害者也对斯大林的死亡感到真正的悲哀。季娜伊达·布舒耶娃听到这个消息时,也泪流满面,尽管她丈夫于1937年被捕,自己最美好的时光却在阿克莫林斯克劳改营度过。女儿安吉丽娜追忆母亲那一天回家时的情景:

    母亲、姐姐、外祖母,她们都哭了。外祖母说,如果死的是自己,而不是他,岂不更好。她比斯大林大4岁,热爱他,经常给他写信。她认为,允许自己写信给女儿[身处劳改营]的是斯大林,从而使得全家破镜重圆……外祖母不断地说:“如果我死,他活,岂不更好。”我没有反驳——我也热爱斯大林。但到今天[2003年],我只想对她说:“外祖母,你都在说些什么呀?”她自己承受这么多苦难:女儿被捕,外孙女被送进孤儿院,女婿遭枪决,作为神父的丈夫也受迫害……但她却愿意牺牲自己的生命来拯救斯大林。 (824)

    但对观念在早年即已形成的老一辈人来说,斯大林的死亡同样可以成为欢庆的理由。

    斯韦特兰娜·斯比特涅娃1937年出生于西伯利亚阿尔泰地区的巴尔瑙尔。父亲在她出生之前即已被捕,枪决于1938年。母亲来自鄂木斯克,1917年之前她的家人一直在那里参与社会民主运动。母亲的16名亲属在大恐怖中被捕,除了斯韦特兰娜的外祖母,其余的要么被布尔什维克枪毙,要么在劳改营丧生。斯韦特兰娜对此知之甚少,从小就学做苏维埃的模范女生,像所有女生一样,热爱斯大林。宣布他去世的那天,她从学校回来,头发上系有黑色缎带,学校里办的哀悼仪式——孩子们以棕榈叶和白色百合花装饰斯大林的肖像——深深打动了她。她回忆:“我们全都哭了,认为这已是世界末日。”回家后,斯韦特兰娜爬上屋顶,那是她喜欢独处的地方,结果发现外祖母也在那里:

    她坐在那里,静静地哭,以我从没见过的方式划十字。看到我哭肿的眼睛,她说:“别担心,亲爱的,我因幸福而哭。因为他杀了我的家人:儿子、兄弟、丈夫、父亲——斯大林把他们都杀了——只留下我和你母亲。”这是我第一次听到这些。然后,我们两人坐下来一起哭,既为欢乐,也为悲伤。 (825)

    对绝大多数苏维埃人民来说,无论斯大林的死亡意味着什么,却都不是摆脱恐惧。事实上,反而可能增加他们的恐惧,不知道未来将有怎样的灾难。娜杰日达·曼德尔施塔姆讲述了她与她的裁缝的对话,那是少数几个与她分享感受的人之一,时间在斯大林去世后不久。

    1953年3月6日,基辅高尔基坦克工厂举行悼念仪式

    我问她:“你嚎叫什么呀?他究竟给你带来什么?”她解释,在某种程度上,人们已学会了如何与他相处。现在怎么办,又会发生什么,谁能知道呢?事情可能变得更糟……她有一定的道理。 (826)

    鲍里斯·德罗兹多夫与父母同住在马加丹;父亲曾是别尔津的亲信,1951年获释于劳改营。鲍里斯回忆:“斯大林去世时,大家都吓坏了,父亲也在害怕。人们担心贝利亚将上台,大家都怕他。与古拉格系统相连的是贝利亚和内务部,而不是斯大林。很多人还以为斯大林根本都不知道劳改营的真相。”

    维拉·布拉金的母亲崇拜斯大林,即使自己作为“富农”遭到流放,即使丈夫征入劳动大军累死于1944年。维拉回忆:“斯大林去世时,母亲并没摘下他的肖像,仍挂在墙上,紧挨父亲的照片。”在村民大会上:

    每个人都在哭泣……人们将斯大林与战争的胜利、物价的降低以及配给供应的终止连接在一起,认为生活将会慢慢好转。现在则担心,将会变得更糟。

    许多农民产生类似的焦虑。“富农”的女儿克拉夫蒂娅·罗别尔尤娃回忆:“战争期间,我们的生活变得异常困难。但在最近几年[斯大林去世前],生活有所改善。斯大林逝世时,我们不知道会发生什么,大家都很害怕。” 她是在劳动大军中度过战争岁月的,然后在克拉斯诺亚尔斯克附近的集体农庄工作。

    担心斯大林的去世将导致新一轮的大规模逮捕,使许多家庭坐立不安,尤其是曾在大恐怖中失去亲人的家庭。埃尔加·托尔钦斯卡娅记得:

    我们家的普遍反应是,“接下来会是怎样?”我们害怕政府,不知道应该期待什么。我们提心吊胆,它可能以更多的逮捕来

    报复斯大林的死亡。

    等到“医生事件”被揭露为政府的向壁虚造,恐惧气氛才开始减弱。揭示真相的决定似乎来自贝利亚,3月5日接管权力的“集体领导”以他为首——他不赞成反犹太主义运动,如果确实发生了“医生事件”引起的国安部清洗,他自己会是潜在的受害者。尽管安全警察的出身使广大民众对他心怀恐惧,贝利亚却是某种意义上的政治改革家。他想废除古拉格系统(以经济效率低下的理由),结束苏维埃警察的酷刑,扭转乌克兰西部、波罗的海地区、东德的苏维埃化,铲除苏联对斯大林的个人崇拜——他认为,这样一个计划将为自己的独裁统治赢得广泛的支持。4月4日,贝利亚取消对“医生事件”的调查。《真理报》宣布,“不正当调查”的负责人已经被捕,将承担“刑事责任”,但大众的舆论五花八门。根据《真理报》收到的工人来信样本,许多人继续相信:权力机构的幕后仍有“难以捉摸的敌人”;医生的平反本身就是“犹太人影响”政府高层的标志(“斯大林同志不在了,我们的政府就向犹太人低了头”,等等)。但也有人激怒于对犹太医生的恶意中伤,要求对不公正的逮捕作出解释。 (830)

    对托尔钦斯基家来说,“医生事件”的结论是巨大的解脱。他们视之为强有力的证据,所有的“敌人阴谋”都是国家捏造的,不必再担心新一波的逮捕。埃尔加逃脱恐惧的羁绊,信心大增,开始仗义执言,反击一直欺负自己的人。埃尔加在列宁格勒的民族博物馆担任助理,有一个资深同事,名叫玛丽亚·涅斯捷罗娃。她是狂热的斯大林主义者,又是“可怕的反犹太主义者”,极力支持“反世界主义者”运动,举报了博物馆数十名犹太员工,其中有些因此被解雇。在“医生事件”的集体歇斯底里之中,涅斯捷罗娃对犹太人的指控变得更加肆无忌惮。譬如,她告诉大家,犹太医生接生的婴儿都呈蓝色,就是因为他们的血液已被犹太人吸走。埃尔加明白,与显然憎恨自己的涅斯捷罗娃争执,毫无意义;她更害怕失去自己的工作,所以一直保持沉默,宁愿退避三舍。“医生事件”的真相暴露出来之后,埃尔加一改常态,起而与她针锋相对:

    我打开天窗说亮话,挑明她是在胡言乱语,她讲的一切都是鹦鹉学舌,来自排队购物者的八卦……玛丽亚开始威胁我:“你知道我的厉害吗?你给我闭嘴!”然后,我不知从哪里找到回嘴的勇气:“得了吧,别威胁我,我根本就不怕你。” (831)

    为斯大林的死亡而感到喜悦的人,大多过于谨慎,不会在公共场合流露,任何的高兴必须遮掩起来。克拉斯诺达尔城的工人季娜伊达·贝利科娃回忆,斯大林去世时,镇上的许多知识分子,包括医生、教师甚至党干部,都难以掩饰自己的兴奋。“克拉斯诺达尔城的追悼会更像一个节日,他们摆出悲伤的面孔,但眼中却闪烁着兴奋,互相打招呼时却有微笑的暗示,他们内心的喜悦昭然若揭。” (832)

    盖斯特家人听到斯大林去世的消息时,仍在哈萨克斯坦的流放地。伊娜在担心受到“医生事件”的牵连,担心自己再一次被捕。3月6日,她母亲拉希尔从商店买回一公斤白糖。以前,店内从来没有白糖出售,但由于某种原因,那一天却有供应。定居地的居民没人敢去买,担心被视作庆祝的证据。但拉希尔却认为遇上了好运,应该无妨。女儿们看到她买的糖,反而吓坏了。伊娜回忆:“我们赶紧抱住可怜的妈妈,一下子变得歇斯底里。她怎能在这种日子买糖呢?人家会作何联想呢?可怜的妈妈!恐惧已让我们失去了理智。” (833)

    在古拉格劳改营和殖民营,斯大林的去世受到毫不掩饰的欢迎。当然也有例外,有的劳改营特别警惕,或有举报人的存在,阻止囚犯们流露他们的真情。一般来讲,斯大林去世的消息都遇上了自然迸发的喜悦。因塔劳改营的尤里·敦斯基和瓦莱里·福雷德,3月6日与他们的朋友诗人斯梅利亚科夫见面,准备组织一次午夜聚会。他们无法获得任何酒类(每个人都想在那一天小酌),只好买来一包糖果,“统统吃光……好像我们是参加茶会的小孩子”。在维亚特卡劳改营,维拉·布龙施泰因和难友们听到消息后,便放下工具,开始载歌载舞,“我们要回家了!我们要回家了!”囚犯们普遍认为,一旦斯大林死去,自己将获得释放,充满了希望和期待。奥莉加·阿达莫娃―斯柳兹贝格听到这个消息时,仍在哈萨克斯坦的卡拉干达流放地。她捂住脸,不让同事看到自己的欣喜。她开始颤抖,浑身充溢着紧张的激动:“要么现在,要么永不。一切都要改变。要么现在,要么永不。” (834)

    有几个劳改营,其囚犯的期望极为殷切,到头来却没获得开释,因而发动了大规模的抗议和暴动。1953年的春季和夏初,诺里尔斯克和沃尔库塔的劳改营都爆发了大型的罢工和抗议。1953至1954年,许多其他的劳改营也有规模较小的示威。 (835) 这些“奴隶起义”是重要的转折点,不仅促成了苏维埃领导早已质疑的古拉格系统的废除,更是反抗斯大林暴政的第一次大规模抗议。

    诺里尔斯克起义是古拉格历史中最大的一次,涉及戈尔拉格监狱的6个营区、近2万名犯人。那里是诺里尔斯克的采矿工业综合企业,工作要求特别苛刻。戈尔拉格监狱的大多数囚犯,是前红军士兵、外国战俘,以及来自乌克兰和波罗的海的民族主义者。其中很多人曾在1943至1945年抗击苏维埃军队,为此而服25年刑期。他们敌视斯大林政权,随时准备反抗,没有后顾之忧。一大批囚犯在卡拉干达劳改营参与武装起义之后,在1952年秋天被转移到戈尔拉格监狱。这些叛乱分子的涌入,对诺里尔斯克劳改营的政治心态,造成了激进的影响。戈尔拉格监狱的各区纷纷成立了专设的“罢工委员会”。囚犯列夫·内托所在的第4区,甚至出现了秘密的阅读讨论俱乐部,自称为“民主党”(又叫真正的列宁主义者)。这些囚犯研究列宁有关地下工作的思想,沿武装斗争的路线把自己组织起来。

    斯大林的去世更增强了他们获释的希望。但贝利亚宣布于3月27日的特赦只适用于判刑少于5年的囚犯(主要是刑事犯)。戈尔拉格监狱的条件变得更加糟糕,每天工作时间延长,囚犯被迫在风刀霜剑中出工,而口粮又减少至最低限度。狱警开始残酷对待囚犯,让刑事犯向“政治犯”故意挑起械斗,然后趁机再以暴力镇压“政治犯”。从3月到5月,20多名“政治犯”遭到狱警的杀害。发生叛乱的还有其他劳改营,其中的狱警挑衅几乎肯定是为了保住古拉格系统。贝利亚已明确表示,他想废除古拉格系统,释放最危险人物之外的全部囚犯。如果无法证明释放“政治犯”将对社会造成危险,成千上万的古拉格狱警和管理员将会发现自己的工作没了。

    戈尔拉格监狱罢工委员会和地下组织中的各式囚犯,意见分歧。有人赞成起义,也有人认为这是自寻死路,最后的决策是武装起来,实施自我防卫。在车间里筹备武器的内托回忆:“我们以零碎钢料自制刀具。”虽然没有起义计划,但在这高度紧张的氛围中,这只是一个时间问题,进一步的挑衅,随时都会导致造反。 (836)

    对列夫·内托来说,这些事件是自己政治上觉醒的高潮,那是一个漫长过程,始于1944年——其时,列夫空降于德军后方,受命在爱沙尼亚组织游击队斗争。他出生于莫斯科的爱沙尼亚家庭,一直把自己当做苏维埃俄罗斯人,只是具有爱沙尼亚的背景。他完全出于爱国心而去执行这一项任务,但在父母的故乡所亲眼目睹的(红军参与抢劫、强奸、纵火),使他重新思考:苏维埃军队究竟是不是爱沙尼亚的“解放者”。当地居民称苏维埃军队为“斯大林的土匪”,他无言以对,只得同意。

    列夫遭到德军捕获,与数千名其他苏维埃俘虏一起被囚禁在战俘营。这也是一个觉醒时机。他始终相信——如苏维埃所宣传的,没有苏维埃战俘,只有逃兵。但他回忆,在这里:

    像我一样,成千上万的普通人成了苏维埃政权的炮灰……我开始厌恶斯大林和苏维埃制度,他们一直在欺骗我,不把我们[士兵]当人。

    到1945年春天,他待在美国军队管理的战俘营,有机会对照苏维埃制度和美国人的态度:

    美国人每次参加作战行动,回营后交出枪支,第二天再去领不同的枪支。但[在苏维埃军队中]我们每人负责自己的枪支,如有遗失,就会被拖进法庭,或监禁,或枪决。美国人更重视个人价值,但在我们这里,个人是分文不值的。

    列夫返回苏联后,先去过滤营,再重新入伍。1948年,他被当做外国间谍遭到逮捕,被送来诺里尔斯克。他在此遇上了民主党领袖费奥多尔·斯米尔诺夫,后者促使他将斯大林政权视为对马克思主义原理的背离。民主党的形成,全靠非正式的信任和同志间的友情。 [17] 举报人永远是潜在的危险,所以没有白纸黑字,如想参加,必须有现成员的介绍,并为新人负责。在这种环境下,像列夫那样的囚犯,才能发展和表达自己的政治身份。 (837)

    起义发生于5月25日,因为狱警朝出工的囚犯队列开枪,抗议的罢工迅速蔓延到戈尔拉格监狱所有区域,包括女囚区,但大本营是在第4和第5区。那里的囚犯——西部乌克兰人、波兰人、波罗的海人——激进好战,业已组织起来。他们的武器有斧头、刀具、丁字镐,但主要是靠绝食,向劳改营当局施压。内托回忆:“我们的口号是‘不自由,毋宁死’。我们希望获释,决心以死相搏来争取自由。我们认为,宁可死于战斗,也不愿在这种不人道的处境中苟活下去。”这是斯大林的奴隶证明自己是公民的时候。叛乱分子把自己锁在营房里,升起黑旗,以抗议对难友的任意杀戮。每一区域各有自己的罢工领袖,但很快成立罢工总委员会,向当局提出要求。内托担任各区域之间的通讯员、协调者,那是一项非常危险的任务,在各区域之间跑来跑去,随时都有被枪杀的危险。 (838)

    罢工者的要求都与尊重和尊严有关。即使有世界末日般的口号,罢工者的要求其实相对温和,绝对没有反苏维埃。 (839) 他们要求狱警叫他们的名字,而不是囚服上应被删除的编号;要求拆除营房窗口上的铁窗棂;要求狱警终止殴打囚犯,杀人的狱警要受到惩罚;要求一天10小时正常工作,而不是大多数囚犯被迫从事的15小时轮班;要求与亲属自由通信,而不是一年两次。罢工委员会知道,当地的主管无法做主,便拒绝与诺里尔斯克当局谈判,要求直接与莫斯科政府谈判。几天后,即6月5日,贝利亚派出他的高级官员,前来与罢工领导人交涉。这是一个很不平凡的先例。以前,克里姆林宫都以暴力来回应囚犯的要求。贝利亚的使者答应将罢工者的要求转达给政府,但呼吁迅速复工,还称他们的工作对国家很重要,获得了高度重视。这是一个很聪明的策略,因为罢工者最希望自己的劳动得到认可。借用内托的话语即是:

    我们已作出很大的牺牲,为国家提供镍,为此而感到自豪。我们听到的这些感谢词句——那可是出自贝利亚的代表之口——好比是精神食粮,振作了我们的精神,使我们更愿妥协。只要他们把我们当人对待,当人交谈,我们愿意作出更进一步的牺牲。 (840)

    罢工者中出现了分歧,有人想继续罢工,有人愿意复工,希望通过合作来争取莫斯科作出让步。事实上,激进者很难真正坚持下去,更不用说获得胜利。他们被隔离在监狱区域,周围有士兵的包围,很难获得诺里尔斯克其他囚犯的支持。所以,诺里尔斯克的首席检察官在广播系统上发表讲话,要他们散开,承诺不予惩罚。大多数囚犯听从了指挥。狱警把他们分成小组,带走首要分子,允许其余的返回营房。但仍有几千人不愿就范。7月7日在第6区,1000名女子围绕一面黑旗组成人圈,里外一共4圈。士兵试图来拖人,她们就发出尖叫、吹起口哨,持续整整5个小时,最后被救火水龙头冲散。在第5区,1400名囚犯拒绝离开,与士兵展开近距离搏斗,士兵开枪打死了20名囚犯。据报道,最顽强的抵抗发生于第3区,几百名罢工者把自己锁在营房,与士兵对峙,一直坚持到7月10日。意想不到,这些叛乱分子的带头人竟是谢苗·戈洛夫科。他是北高加索地区的青年哥萨克,突然燃起内心的勇气,领导了这一场殊死的搏斗。他回忆道:“我都没有意识到自己还有这样的勇气。一开始,士兵来敲门,扬言要开枪,我很害怕,一直在祈祷上帝。但是,一旦成了带头人,就不再有恐惧。”在军队接管劳改营之前,估计有500名囚犯被杀,270人受伤。 (841)

    罢工遭到了镇压,但劳改营从来没有真正的安定,囚犯对人类尊严的要求终究是压抑不住的。从1953到1954年,规模较小的罢工和示威仍不时发生,直到政权最后承认古拉格系统难以为继,开始释放囚犯。

    [1] 从比例看,波兰遭受的损失可能更大。但从绝对数字看,苏联人的生命和财产损失远大于波兰。

    [2] 苏维埃当局认为,有工作能力的受伤军人不算是战争伤残者。它鼓励受伤的退伍军人寻找工作——坚强起来,有助于恢复——支付小额的退休金给300万退伍军人。(B. Fieseler, ‘The War Disabled in the Soviet Union 1945–64’, paper presented at the School of Slavonic and East European Studies, London, September 2006)

    [3] 瓦格纳歌剧《纽伦堡的名歌手》中的主角。

    [4] 亚历山大·法捷耶夫的《青年近卫军》是一部基于现实的小说,荣获了1946年的斯大林文学奖。它讲述第二次世界大战期间一个地下青年组织,活跃于被德军占领的乌克兰地区。

    [5] 那个人(仍然在世)后来成为列宁格勒大学的党史系主任。

    [6] 在1945年6月24日莫斯科的胜利阅兵式中,朱可夫骑一匹阿拉伯白色骏马,带领部队走进红场。但有一个传说称,斯大林曾打算亲自带队,却在排练中被那匹骏马甩下。这个传说可能不是真的,却表达了让朱可夫推翻斯大林的普遍愿望。

    [7] 沃兹涅先斯基并不提倡混合经济的恢复,只赞成取消国家对价格的控制,使之更好地反映供求。他还主张扩大合作社企业,对纺织业那样的消费行业追加投资。这两项措施,当初曾为新经济政策的初期成功作出了重要贡献。

    [8] 经常有人认为,日丹诺夫是温和的政治家和开明的改革者,只是在1945至1946年,随着与西方关系的恶化而输给了斯大林统治集团的强硬派,例如马林科夫。根据这种说法,强硬的文化政策是日丹诺夫的竞争对手所强加的。但档案显示,日丹诺夫并没有独立的政治思想;统治集团的政策只是在追随斯大林发出的各式信号;斯大林利用日丹诺夫,将遵奉党的反西方立场的僵化意识形态,强加于苏维埃的一切艺术和科学。

    [9] 西蒙诺夫基于同样的理由,奋力为作家瓦西里·格罗斯曼辩护。格罗斯曼的剧本《如果我们相信毕达哥拉斯学派》(If We Are to Believe the Pythagoreans),1946年9月遭到《真理报》的猛烈攻击。西蒙诺夫写抗议信为格罗斯曼辩护,所持的理由是评论家不该使用辱骂的语言,来批评战争时期一直在前线作战的作家,即使他犯了“严重的思想错误”。(RGALI, f. 1814, op.9, d.1384, l. 2)

    [10] 扎斯拉夫斯基很可能执笔写了1936年臭名昭著的《真理报》文章“Muddle Instead of Music”,谴责肖斯塔科维奇的歌剧《穆森斯克郡的马克白夫人》(Lady Macbeth of Mtsensk)。他曾在1929年举报自己的哥哥是“托洛茨基分子”,以证明自己对党的忠诚。经由法捷耶夫的倡议,并得到斯大林的同意,扎斯拉夫斯基和爱伦堡的名字,被从犹太人反法西斯委员会的成员名单上删去。过后不久,即1948年12月,其他成员均遭逮捕。(RGALI, f.2846, op.1, dd.75, 101, 187, 310, 311)

    [11] “文学败类”(literaturnye podonki)一词最先出现于中央委员会1946年8月14日的法令,用在左琴科的头上。

    [12] 亚历山大·博尔切戈夫斯基死于2006年5月,享年94岁。

    [13] Black Hundreds,沙皇时代反犹的俄罗斯民族主义者。

    [14] 纳塔利娅并不是在强调自己的犹太出身。在所有正式文件中,民族或族裔出身是必须交代的问题。

    [15] 马尔采夫(罗温斯基)实际上是俄罗斯人,与众所周知的《消息报》犹太主编罗温斯基同姓(斯大林可能把他们混淆了)。后者因自己早期小说受到反犹太主义的攻击,而把自己名字从罗温斯基改为马尔采夫。

    [16] 1952年秋天,斯大林为清洗党的领导阶层预作准备,以25名成员的主席团取代政治局。

    第八章 归来(1953—1956)

    1956年,拉斯金一家在莫斯科附近的伊林斯科耶乡间别墅。左起:热尼娅、贝尔塔、索尼娅、塞缪尔和法尼娅

    索尼娅·拉斯金娜经过长时间的延误,终于在1955年11月,从沃尔库塔劳改营归来。拉斯金一家去雅罗斯拉夫尔火车站迎接她回家。除了曾去劳改营探望她的热尼娅,其他人在过去5年中都没有与她照过一次面。最终,索尼娅的火车到站。她从乘客人群中浮现,走出自己的车厢,看起来非常疲惫,面黄肌瘦,走向自己的家人。她站在塞缪尔和贝尔塔的面前,放下包裹,跪在月台上,恳求父母原谅她给家人带来的不幸。

    像许多从斯大林劳改营归来的人一样,索尼娅为自己被捕所造成的伤痛而满怀内疚。她在沃尔库塔时为了寄钱回家,宁愿自己饿肚子,因此骨瘦如柴。归来后,她只想为家人而活。她已44岁,没有丈夫或孩子,愿为父母的福利和姐妹的子女,奉献自己的一切。她的外甥阿列克谢回忆:“她愿为我们做任何事,如有需要,她可以放下一切,或奔赴商店搜寻药物,或应付各种各样的差事。她对家人的奉献几乎是宗教性的,充满了自我否定和自我牺牲的精神,尽管她自己根本就不信教。” (842)

    1953年3月27日的大赦继承了沙皇死后释放囚犯的俄罗斯传统。100万囚犯从劳改营获释,相当于古拉格总人口的40%。除了少于5年刑期的囚犯,大赦还适用于经济罪囚犯、带小孩的妇女、青少年及已达退休年龄的老人。政治犯不在其列,其案件要由苏维埃检察院逐个审查。这个过程可能需要数年,尤其是像索尼娅那样的案件,其“反苏维埃阴谋”的定罪当初曾牵涉党的高级领导人(在她的案件中是赫鲁晓夫)。到1955年4月底,苏维埃检察院审查了237412名政治犯的上诉(还不到自1953年3月以来所收到上诉的四分之一),只有4%的相关囚犯获释。 (843)

    这些决定既无规律,又没有理由。例如,索尼娅卷入的斯大林工厂案件源于“犹太复国主义者的阴谋”,据说是莫斯科犹太剧院的前主管所罗门·米霍埃尔斯策划的。但米霍埃尔斯自己已在1953年4月3日获得死后的平反,之后在苏维埃报刊中,他经常被称赞为忠心耿耿的爱国人士。但同年11月,总检察长通知索尼娅,找不到复查她案件的理由。因塔劳改营一名囚犯——当初也因斯大林工厂案件被捕,收到一个类似的答复,他对此愤慨不已。答复信上只有一句话:“没有理由对案件进行复查。”按理他要签字,再把它寄回,以确认当事人已收到答复。他向难友抱怨,“这完全没逻辑”,如果米霍埃尔斯是无辜的,为何自己却是有罪的。一名难友回答:“现在先签字——他们稍后会再给你一个逻辑。” (844)

    释放囚犯该走多远,苏维埃领导阶层的内部也有分歧。斯大林去世后不久,贝利亚就提出“只要不对社会造成严重危险”,就大赦所有的囚犯,包括170万政治流放者。在斯大林死后掌权的政治局集体领导中,贝利亚是举足轻重的人物,他的权力基础在内务部和国安部。他与马林科夫(部长会议主席)、伏罗希洛夫(最高苏维埃主席团主席)共同处理国家事务。赫鲁晓夫(中央委员会总书记)坚决反对贝利亚,一开始就在尼古拉·布尔加宁(新任国防部长)的支持下运筹帷幄。党和军队的高级领导人,肯定对贝利亚的计划抱有疑虑。该计划除了要废除古拉格系统,还要在乌克兰西部、波罗的海、东德这些新近附属的领地上放松苏维埃政策。1953年春天,贝利亚要求东德领导阶层推动一系列改革。但柏林的共产党强硬派,在付诸实施时拖泥带水,导致了东柏林大街上一周的示威游行,只得借助于苏维埃坦克的镇压。贝利亚回到莫斯科后,因此遭到赫鲁晓夫、布尔加宁、莫洛托夫甚至马林科夫的指责。6月26日,他在克里姆林宫的政变中就擒,策划者是赫鲁晓夫和苏维埃首都的高级军官。他被囚在莫斯科军区总参谋部的地下掩体中,接受秘密审判,最后在1953年12月枪决(甚至有可能在审判之前已被打死)。政变一举没有法律依据,对贝利亚的指控极其模糊(他所做的都获得了集体领导的赞同),对他的判决甚至在审判之前就已在党内公布。但没有一位领导人反对政变,或质疑它的合法性。他们养成了斯大林的服从党的领导的传统习惯,只是一群俯首帖耳的官吏,一旦意识到顶层的权力变更,便迅速调整自己的原则。政变后的赫鲁晓夫变得信心倍增。西蒙诺夫回忆起公布枪决贝利亚的12月24日中央全会,赫鲁晓夫对“抓获”贝利亚“称心满意”,给他留下深刻的印象:“从他的叙述中,你能得出结论,赫鲁晓夫本人在此发挥了主要作用……他发起了策划,相比之下,他比其他领导人显得更加具有眼光、才华、活力,更为果断”,其他领导人别无选择,只好就范。 (845)

    尽管马林科夫是苏维埃政府的正式首脑,但在领导集体的内部,赫鲁晓夫的权力日益增长。政变与政策无关,只是赤裸裸的权力斗争。赫鲁晓夫曾支持贝利亚的计划,此时据为己有,从1953年的年底起推出了一系列改革,以加强“社会主义法制”。该名词在整个苏维埃时期一直出现,却从来没有当真。他要苏维埃检察官审查自1921年以来所有的“反革命”案件,特别是列宁格勒案件。他的对手马林科夫,曾在此案中担任斯大林的主要心腹。1954年4月,在列宁格勒案件时期与马林科夫密切合作的数名国安部官员被捕,显然对马林科夫构成威胁。赫鲁晓夫所收集的不利于马林科夫的证据,暂时还秘而不宣——他仍需集体领导的支持——到了1955年初,才开始起而争夺党的领导权,先让马林科夫承担列宁格勒案件的“道义责任”,再让他从部长会议主席的位置降尊纡贵,改任电站部部长。

    赫鲁晓夫利用对斯大林罪行的揭露来加强自己的地位,打击集体领导中的对手(他1955年对付马林科夫的手法,将在1961年的党代表大会上,转用于卡冈诺维奇、莫洛托夫和伏罗希洛夫)。这是一场非常危险的游戏,因为赫鲁晓夫自己也深陷20世纪30年代的大规模镇压,先是1935至1938年的莫斯科市委书记,再是乌克兰党中央第一书记,负责逮捕了至少有25万人。如果与自己的利益发生冲突,赫鲁晓夫就会限制检察官的复查,斯大林工厂案件就属此列。由于赫鲁晓夫当初的牵涉,有关囚犯的上诉就遇上了长期的拖延,唯恐揭出对他不利的证据。1954年6月,索尼娅·拉斯金娜得到消息,她的上诉将在8月获得答复;到了8月,又被告知,还要等到9月。9月后来变成10月、11月。她又在1955年2月获悉,将在3月底完成复查,但案件的最后审定是在1955年9月。 (846)

    像其他党领导一样,赫鲁晓夫也害怕斯大林受害者的突然释放。他在回忆录中写道:“我们吓坏了。我们担心,解冻可能会酿成滔天大洪水,将无法控制,反把我们都淹没了。”担任政治局委员30多年的米高扬认为,宣布所有“人民公敌”无罪在政治上是不可能的,因为这将显示“治理国家的不是一个合法政府,而是一群歹徒”。党领导对加快释放政治犯并无真正的兴趣。检察院的官员也很不情愿承认当初起诉政治犯时的错误,更不用说承认他们在斯大林恐怖时期曾捏造证据。1954年,为两方面的利益服务,苏维埃检察院的工作人员削减了三分之二,更延长了程序上的耽搁。 (847)

    拉斯金一家是幸运的家庭之一。他们能返回家庭生活的老节奏,等到索尼娅从劳改营归来,变得更加亲密无间。索尼娅应邀回到斯大林工厂担任旧职,经过几个月的申请(向检察机关提出的)和力争(与苏维埃官员的),终于收到平反证书,撤销对她的所有指控,恢复她的公民权利,发给她少量金钱,作为她在劳改营荒废5年的补偿。索尼娅在莫斯科郊区分到共用公寓中的一个小间,像拉斯金一家住过的其他场所一样,供各式亲属合用。周日晚上,祖博夫广场上著名的拉斯金晚餐照常进行,公寓里总是挤满家人和朋友,包括西蒙诺夫在文学院的老师、诗人卢戈夫斯科伊,他已被视同家庭一员。阿列克谢在索尼娅归来时已经16岁,他回忆起拉斯金家中的气氛:

    这是一个非常热情、好客的场所,完全遵循外祖父[塞缪尔·拉斯金]的理念。他的行事规矩是:走进我家大门的任何人,都会受到家庭成员式的欢迎。有一次,我想测试一下。连续几个周日,我从大街上带回各种各样的女孩,但没人说一个字,包括道德观念上非常严厉的母亲,因为这是塞缪尔的规矩。 (848)

    亲属从劳改营归来,使许多家庭更加亲近。数年的分离使人们更珍惜天伦之乐,甚至是曾经只为政治而活的布尔什维克。露丝·邦纳在1937年被捕之前,对自己两个孩子的抚养兴趣索然,全身心投入党的工作。她从阿克莫林斯克劳改营写信给十几岁的女儿艾莱娜,敦促她努力学习,但措辞相当冷漠,譬如“帮助你的外祖母,做一名模范共青团员”。她所关心的是请求米高扬(老朋友)搭救1937年被捕于共产国际清洗的丈夫,在信中一再坚持“他一直忠于党”。露丝获释于1946年,但不得返回列宁格勒,只好定居在列宁格勒向南135公里的卢加城。她在艾莱娜的朋友即那些青年诗人的帮助下,得到一份作家协会少先队营地的女舍监工作。艾莱娜曾在战争年代充任军队护士,现已返回列宁格勒,在医学院攻读儿科。她与几位女友(包括依达·斯拉温娜)合住一个房间;冬季少先队营地关闭时,露丝会来探望。起初,她们之间的关系很紧张。艾莱娜在回忆录中追忆:“我能感受到,她不能分享我们战后的欢乐,也不赞成我们的生活方式。”

    现在我明白,每个人都有自己的经历。她有丈夫的死、监狱、劳改营,我有自己的损失,还有当初看来是决然不同的生活。我们两个都不知道如何敞开心怀,而且我也不愿意。妈妈仍把我当做她离家时的14岁小女孩,我为此而感到恼怒。她的询问简直让我发狂:“你去哪里?”“什么时候回家?”

    采访中,艾莱娜在反思那些年份时承认:“我经常希望母亲离我远远的,但又不能把她赶走。不过,我可以退学,逃去别处,自己谋生,只要能躲开她。”艾莱娜的女儿塔尼娅1950年出生后,露丝的关注有了戏剧性的变化。艾莱娜回忆:“我们找到了共同的关注点——她外孙女的成长——这使我们更加接近。”从那一刻起,露丝不再对政治有真正的兴趣。她在1954年获得平反,搬回列宁格勒,后又重新入党,但再也没有扮演积极的角色。艾莱娜认为,她保留党籍“主要是为了我们,更重要的是为了外孙”。 [1] 艾莱娜回忆:“只有孙辈[塔尼娅和她弟弟阿列克谢]才是重要的,她为他们保存了这么多的热情和内在光辉,真叫人吃惊。”露丝逐渐重新发现了自己的母亲的价值,即艾莱娜心爱的外祖母巴塔尼娅,当初负责照顾外孙女,以便露丝自己投身于党的工作。艾莱娜·邦纳反思母亲性格的骤变,回忆起了1987年12月露丝的葬礼:

    我从橱柜拿出台布来布置守灵的供桌,首先拿出的是一块彩色刺绣的厚台布……它的下面即是那块粉红色的!现在,经过无数次洗涤,只透出些微的粉色。妈妈那漂亮、精细的缝纫针脚,反以明亮的粉红映入眼帘。我简直不敢想象:我身为党干部的母亲,曾经反对资产阶级,信奉最高纲领主义,在叶戈尔卡或我的面前从不允许自己使用甜言蜜语,竟然摇身一变,帮我缝补台布,缝制衣服,打扮塔尼娅,成为“狂热”的外祖母和曾外祖母,视外孙和曾外孙为“窗口最重要的烛光”和自己受苦受难的理由。我也无法想象:她喜爱和照看窗台上的盆栽花卉,让它们长得茂盛;她带着一定的自豪和挑战前去退回党员证,不是对党的示威,也不是要算老账……她走出了这难能可贵的一步,转而将自己鲜活的疼爱,全部奉献给我们。与抽象的概念和原则相比,这种疼爱更高级更伟大。她在去世前不久说,你必须以美好和善良的方式走完一生。 (849)

    家庭在斯大林统治下承受了巨大压力,但仍保存着坚持下去的神奇能力。在多年的恐怖之后,人类生存几乎所有的传统支柱——邻里社区、村庄、教堂——均遭到削弱或破坏,唯有家庭,如雨后春笋,仍是社会中的稳定单元。对于许多人而言,家庭成了他们可信赖的唯一关系、唯一能找到归属感的所在。为了能与亲人团聚,他们甘愿承担超常的辛劳。

    很少人作出像瓦伦丁·穆拉夫斯基那样重大的牺牲。他1928年出生于列宁格勒的无线电工程师家庭,父亲作为“人民公敌”被捕并遭枪决之后,瓦伦丁、妹妹狄娜和母亲1937年都流放去了乌兹别克斯坦,1940年再回到列宁格勒。战争时期,他们疏散到斯塔夫罗波尔附近的切尔克斯克城,沦入德军之手,被送去奥地利和德国的多家工厂做工。1945年,狄娜在纽伦堡附近的工厂做事,获得美军的解放。她与一名美国军官结婚,移民去了美国。瓦伦丁则返回列宁格勒,与母亲团聚。战争的经历使他重新思考苏维埃制度以及父亲被捕的真正原因;德国的经历又使他得出结论,生活在西方会有更多的自由。他在给妹妹的信中对此直言不讳,结果在1947年被捕,接受审讯。国安部要他去说服妹妹回到苏联,却遭到瓦伦丁的拒绝。他因此被控以“反苏维埃宣传”,判刑3年,流放去克拉斯诺亚尔斯克附近的劳改营。他母亲于1948年被捕,缘于与狄娜通信,判刑10年,被送去阿克莫林斯克劳改营。瓦伦丁于1950年获释后,去黑海沿岸的阿纳帕——靠近克拉斯诺达尔城,与一名姨妈同住。他找到水泥厂的一份工作,但很快被征召入苏维埃海军,分配去塞瓦斯托波尔港口,被迫服役4年。他娶了一位来自塞瓦斯托波尔的19岁女孩,他们的女儿出生于1953年。

    1954年,瓦伦丁从海军退伍,决定搬去母亲的流放地哈萨克斯坦,而不是自己的家乡——列宁格勒,并带上了妻子和女儿。瓦伦丁放弃了在列宁格勒的美好前途,他在海军的表现突出,退伍时有很漂亮的评语。但良心告诉他,应该帮助自己的母亲。她已61岁,身体虚弱,更因多年的劳改营生活,在精神上受了很大刺激。瓦伦丁回顾自己的决定,将之归因于从小学得的做人原则:

    母亲老是告诉我要讲道德,要诚实,要堂堂正正做人,就像19世纪伟大的俄罗斯作家所提倡的,特别是赫尔岑。我们年轻时,她曾朗读他们的作品给我们听……我结婚时告诉妻子,我不会隐瞒母亲羁困于劳改营的事实,只会尽一切可能来帮她……别无选择,帮她是我的道德职责。

    瓦伦丁决定跟随流放的母亲,部分原因是受了十二月党人妻子的影响。那些贵族妇女,在1825年12月起义失败后,追随自己的丈夫,义无反顾地奔赴西伯利亚的政治流放地。他自己承认,他的决定可能含有持不同政见的意味,故意躲避苏维埃制度和列宁格勒的美好前途。这一切又源于他自己所受到的伤害和对非正义的愤愤不平。 (850)

    瓦伦丁在哈萨克斯坦草原的大型集体农庄担任联合收割机的司机。苏维埃政府当时正投资于新技术,作为“处女地运动”的一部分。该运动在哈萨克斯坦和西伯利亚开垦出大片干旱草原,改为种植小麦的农田,开初乐观,最终却贻害无穷。1954年推出该运动时,瓦伦丁所在的集体农庄是先锋之一,不少于19万公顷的牧场成了犁刀下的试验品。瓦伦丁带着妻子和女儿住在条件原始的营房中,位于一个偏僻的草原定居地。每周一次,他要走100公里的长路,去探望在阿克莫林斯克劳改营的母亲,为她带去衣服和食物。照顾年迈多病的母亲和草原上的艰苦生活,给瓦伦丁与妻子的关系,增添了难以忍受的负担。妻子不愿作出如此巨大的牺牲,1956年离家出走,回到克里米亚的娘家。瓦伦丁既要照看3岁的女儿,又要照顾自己的母亲。同年,母亲从劳改营获释。瓦伦丁把她带回列宁格勒,一起住在共用公寓的小房间,自己在列宁格勒的地铁工地上充当劳工。1957年,母亲去世,8年的劳改营生活把她给毁了。两年后,妻子归来与瓦伦丁重聚,又生了两个孩子,到1964年再次出走。瓦伦丁全靠自己带大3个孩子。 (851)

    玛丽安娜·福尔瑟与家人的团聚是最不寻常的。1942年,她才4岁,病得厉害。祖母束手无策,只好把她送给戈尔登施泰因夫妇,自己带了玛丽安娜的哥哥格奥尔基,前去伊尔库茨克谋生。战争之后,格奥尔基回到列宁格勒母亲的娘家,由于失去了与戈尔登施泰因夫妇的所有联系,甚至不知道其正确姓名,他无法找到玛丽安娜。玛丽安娜在第比利斯跟随戈尔登施泰因夫妇长大,一直把他们当做生身父母,完全记不得自己的家人。但是,她十几岁时,事情开始发生了骤变。

    1949年,玛丽安娜第一次怀疑戈尔登施泰因夫妇不是自己的父母。其时,少先队营地的其他孩子取笑她是弃儿,遂勾起了她对自己幼年的痛苦回忆。她对祖母仍存有模糊的印象,甚至还记得有一个哥哥。随着年龄的增长,她开始反叛戈尔登施泰因夫妇的严明纪律,愈加珍惜这些遥远的记忆,并为自己失散多年的家描绘出一幅近乎神话的图景。玛丽安娜还记得曾住过阿尔汉格尔斯克的一家医院,便开始寻找自己的哥哥:

    我当时16岁——那是1954年。我写信去阿尔汉格尔斯克的医学院,在信封上写收信人是:第一年级,第一组,按字母顺序的第一位女学生。我告诉这位女孩:小时候,我曾住在阿尔汉格尔斯克的帕夫林·维诺格拉多夫大街,还有个哥哥;知道这一切的应该还有一位女医生,能否麻烦找到她?你信不信,这个女孩还真的找到了她!这位女医生告诉女孩,我的祖母和格奥尔基一贫如洗,饥寒交迫。她还通过熟人发现,我哥哥正在列宁格勒学习物理。这位女孩写信告诉我这一切,我因此极其兴奋,马上写信给列宁格勒的所有学院,要求他们帮助寻找一个名叫格奥尔基的学生,曾在阿尔汉格尔斯克住过。原来,他是在理工学院学习,回信给我,还附上了照片。 (852)

    玛丽安娜与戈尔登施泰因夫妇,1960年摄于第比利斯

    1954年的夏天,格奥尔基来到第比利斯,与玛丽安娜共度3个月。他还记得,他们的重聚是一个欢乐的时刻,虽然隐约能感觉到妹妹的嫉妒。他回忆:“我与祖母一起生活,她却被送给了陌生人。”戈尔登施泰因夫妇是好人,把玛丽安娜当做自己的女儿,从没将真相告诉她,部分原因是保护她免受父母被捕的影响,现在看来,主要原因是害怕她知道真相后会离家出走。据格奥尔基说,他们的“唯物主义价值观”,既不同于他父亲一边的艺术家和音乐家,又不同于母亲一边列宁格勒的文化精英。1954年秋季,玛丽安娜在列宁格勒的杰美恩家度过一星期。他们让她看了所有亲戚的照片,包括她幼时在阿尔汉格尔斯克的照片,但没告诉她父母被捕并死于劳改营,只搪塞说他们死于战争。玛丽安娜回顾这一次探访,认为杰美恩一家和戈尔登施泰因一家肯定有默契,故意对她隐瞒真相。这确有可能。 [2] 哥哥格奥尔基很清楚父母的命运,也对她隐瞒。玛丽安娜尝试解释哥哥的沉默:“对他来说,真相只会添加麻烦。唯一重要的是努力学习,以获成功。”他当时是列宁格勒大学的物理系学生,后来当上了教授。 (853)

    玛丽安娜就读于第比利斯的轻工业学院,后来在格鲁吉亚首都任教。她一直不知道父母的真实故事,直到1986年她收到邀请,出席在阿尔汉格尔斯克城的父亲的画展,父亲的老朋友和老同事向她袒露了一切。玛丽安娜在严格的共产党家庭长大,一直以为父亲是死于战场的士兵,到此时年近50岁,方才获悉父亲原是被枪决的“人民公敌”。这无疑是极大的震撼,使她睁开眼睛,直面苏联的迫害历史。她曾怀抱天真的想法,因为自己家庭没受影响,向来漠不关心。她讲述道:“我觉得对不起这些人(我的生身父母)。”

    我很同情他们,也想知道,如此奉公守法的好人,怎会遭受如此不公的迫害……我实在弄不明白。我的意思是,如果他们有犯罪嫌疑,为何没有调查?为何法庭不能正常运作?我开始质疑苏维埃制度。以前长大时[在戈尔登施泰因夫妇的抚养下],对此都是全盘认同的……我渐渐明白,即使从3岁起就与亲生父母分开,我还是承继了他们的价值观。 (854)

    斯大林去世后的岁月,除了囚犯的归来,还见证了数万儿童走出孤儿院和儿童之家。他们中的许多人虽已长大,却都不知道自己的亲人。

    1953年,16岁的尼古拉·科瓦奇离开孤儿院时,对家庭生活一无所知。他记不得自己1岁时就被枪决于劳改营的父母,也没有被送去不同孤儿院的姐姐的印象。他最早的家庭生活经验发生于哈萨克斯坦,他被共青团派去参与“处女地运动”的第一次收获(为了1954年的收获,共青团共招募了30多万志愿者)。拖拉机大队一名老工人干部,把尼古拉当成了自己的孩子,带他回家同住。他的妻子和3个孩子,都把尼古拉当成家中的平等成员。尼古拉回忆:“这只是一个普通的俄罗斯家庭,3个孩子比我小,都爱我。我与他们一起玩游戏,也爱他们。”尼古拉与他们在一起整整住了18个月,直到1957年参军。他说:“我以前都不知道什么是家庭。”

    我观察这个家庭的运作和各式关系的相处,这个经验非常有用。后来,我读到的心理学家称,小孩子长大会像自己的家人。我还是孩子时,没有家庭,成年后才知道家庭生活。我很幸运,遇上这些了不起的人。我结了婚[1962年],组织起自己的家庭。如果没有在克拉斯诺亚尔斯克的经历,我不可能取得这些成就……它让我懂得尊重和相爱——他们总是互相帮助,总是为对方考虑——我之前从没见过,在孤儿院肯定是看不到的。 (855)

    父亲1946年来孤儿院领她出去时,叶丽萨维塔·帕里佩琴科对他一无所知。父亲被捕于1935年,其时,她还只是一个婴儿。父亲在哈萨克斯坦的劳改营和流放地整整度过10年,她一直没有他的音讯。母亲已死于劳改营,又没有其他家人,叶丽萨维塔别无选择,只好跟随父亲去阿拉木图城,他在那里担任地质学家。他们住在地下室,整个住所由好几个家庭合用。她虽还是一个少年,却承担了所有家务。父亲沉默寡言,难以相处,已经受了劳改营岁月太多的伤害。对叶丽萨维塔来说,与他沟通,把他当做父亲,实在太难了,因为自己身边从来没有过男性(孤儿院的所有员工都是女子)。像许多从劳改营回来的家长一样,叶丽萨维塔的父亲对她管得很严,如果不知道她去哪里、跟谁在一起,就不准她晚上外出。父女之间发生频繁的冲突,都想以自己的意志强加于对方。叶丽萨维塔记得有一次:“我们面对面坐在桌旁一个多小时,因为我拒绝吃面包,我们都很固执。”父亲从来不谈自己的过去,她也从来不谈孤儿院的生活。所以,虽在一起生活,却形同陌路。1953年,叶丽萨维塔搬至列宁格勒,申请了内务部的工作。父亲曾作为“人民公敌”遭到逮捕,她竟一无所知。他发现女儿的申请后,立即赶来列宁格勒,将自己的污点履历,告诉她未来可能的雇主。他担心,她可能会因填表作假而受到惩罚。应父亲的要求,内务部同意不把他的污点履历告诉叶丽萨维塔。所以,1959年之前,她一直不知道他曾被捕。 (856)

    与父母分离的子女,很自然会在自己的心目中构建父母的形象,往往与重逢后的现实情形大相径庭。

    父亲亚历山大·萨加茨基于1936年被捕,当时的加林娜·施泰因8岁。 [3] 加林娜在成长过程中,对身为列宁格勒经济学教授的父亲一无所知。父亲被捕之后,母亲也遭供职的图书馆解雇。她切断与丈夫的一切牵连,恢复了自己娘家的姓氏。战争期间,加林娜与母亲一起疏散到西伯利亚,开始燃起对父亲的渴望。她回忆:

    每个人都在谈论他们“前线的爸爸”,或是战斗英雄,或英勇牺牲。我开始感到自己的欠缺,没有父亲,甚至不知道他是谁、身在何方、从事哪种职业。我不知道他长得如何,因为妈妈已销毁了他所有的照片。

    加林娜写信给列宁格勒的地址局,希望找到父亲的弟弟,但被告知,他已死于列宁格勒围城之战。她放弃了找到父亲的希望,直到1947年的机遇把她重新引上寻父之路的正轨。其时,加林娜在列宁格勒大学攻读生物学,有一天在图书馆排队,突然听到有学生提及萨加茨卡娅的名字。原来,那个学生在谈论本校一位马列主义课讲师,加林娜因此去演讲厅的门外等候:

    一位面容姣好的中年妇女走出演讲厅。我很紧张,一再为我的冒昧向她道歉,然后问:“有没有可能,您是亚历山大·巴甫洛维奇·萨加茨基的亲戚?”她沉默半晌,然后说:“你是加林娜吗?”原来,她是我父亲的第一任妻子。 (857)

    加林娜的父亲在诺里尔斯克劳改营,被判10年劳改,1948年获释后,又去古拉格定居地流放5年。加林娜写信给他,回邮地址用的是列宁格勒中央邮局的信箱。她解释:“我不想让母亲担忧。”

    我每天都去邮局,查看有无父亲的回信。我从秋季[1947年]开始,到了冬天仍旧没有答复。最终,我在1948年4月决定再上一次邮局,如果还是没有,就想作罢。结果非常幸运,全亏了这最后一次的努力。他们在柜台上递给我4个厚厚的信封,纸质粗糙,都是手工制成的。每个信封里有一封长信,写在淡蓝色的信纸上。

    第一封回信充满了感情:

    1948年4月4日 诺里尔斯克

    第一封信

    (我于4月6日同时寄出3封信)

    我亲爱的女儿加丽娅!

    你的信让我充满喜悦……我一生中最大悲剧之一,就是与我心爱的孩子分隔得这么久。你写道:“我的信,毫无疑问,会是一个惊奇。但我希望,无论如何,它是一个愉快的惊奇。”我的回答:第一,惊奇——确是如此;第二,愉快——不止于此——它简直是一大欢喜。我甚至在你的遣词造句中,即“无论如何”,找到了自己的影子!假设我在写你这样的信,也会使用同样的措辞。在你身上看到自己的痕迹,使我不觉莞尔……相信我,加丽娅,你已找到你的父亲。我失去你这么多年,但对你的爱,却从来没有间断。 (858)

    亚历山大与加林娜,1956年摄于列宁格勒

    加林娜通过信件与父亲开启了一段热切的交流,把他想象成书本上读到的浪漫英雄:“我崇拜勇敢的人、大胆的科学家、无畏的探险者,以及像父亲那样存活于逆境的人。在日常生活中,我还从没遇见这样的人士。”在早期信件中,父亲很符合她的理想。他的来信炽热、情感流溢,富有吸引力,充满他的生活细节、他的阅读、他近年来的观念转变。加林娜爱上了这个文字中的人物。她回忆:“对这些年来一直向往的父亲,我在心目中构建出了一个幻象。”

    他似乎就是那种人:我可以敞开胸怀,畅所欲言;他总会耐心聆听,给我建议,等等。我开始了一种全新的生活,全身心地投入。尽管我比较内向,沉默寡言,但现在看来,像他一样,我终究还是情感丰富的人。现在我明白,对我来说,在信件中表达情感,要比在现实生活中容易得多。 (859)

    1956年,亚历山大来列宁格勒看加林娜,但面对面的交往却令人失望:无法重建他们在通信中培植起来的心心相连。亚历山大刚刚从诺里尔斯克的流放地获释,又得到党内的平反,忙于重启自己的政治生涯。加林娜认为,他太投入党的工作,以致无法与她沟通。她回忆道:“我得到的印象是,他已不再对我感兴趣。”

    我甚至觉得,他不赞成我的所作所为。我记得,他曾对我说:“你怎会变成这样一个懒妇。”他为何有如此想法?因为我对毛泽东的诗词没有兴趣,因为我没读他推荐的政治文章。我对政治不感兴趣,但他却须臾不可离开。

    1956年,亚历山大搬到了列宁的诞生地,即伏尔加河旁的乌里扬诺夫斯克。他在大学里教政治经济学,为各种期刊撰写相关的文章。加林娜回忆:“父亲痛恨斯大林,却是坚定的列宁主义者。尽管遭受了这么多痛苦,他仍继续相信,无捷径可走。他蒙受了不公平的待遇,但苏维埃历史还是正确的。”这种对共产主义理想的坚定信念,对他自己的生存很有必要,却成了与女儿沟通的障碍。加林娜持怀疑态度,而且不愿加入政治辩论。“与一位信徒争论,能有什么结果?他的见解完全是僵化的。政治是他生命的中心,却成了我们避而不谈的话题。”1958年,加林娜去乌里扬诺夫斯克探望父亲,这是她唯一一次探望,除了询问彼此工作的套话,两人几乎无话可谈。出于义务,加林娜继续给父亲写信,直到20世纪60年代初。但她承认:

    真的没什么可说,再也不愿向他打开我的心扉,像我早年所做的。他写给我的信简直就像政治报告,所涉及的不是他曾出席的党员大会,就是他曾读过的书籍,没有一星半点的个人色彩。我已失去梦想中的父亲。 (860)

    布拉特·奥库德扎亚在“自传体故事”《我梦中的女孩》(The Girl of My Dreams,1988年)中,叙述了自己如何遇见从劳改营返回的母亲。先行被捕的是父亲,他是来自格鲁吉亚的共产党干部。接下来是母亲,被捕于1937年,判处10年,流放去了卡拉干达劳改营。其时,这位未来的诗人和作曲家只有12岁,由在莫斯科的外祖母抚养,后来又去了第比利斯与父亲的家人同住。1941年,他17岁,高中还没有毕业,就主动请缨上前线。他1945年从军队复员回来,随后成为第比利斯大学的学生。他的母亲在古拉格系统内足足待了18年,到1955年才从劳改营归来。

    奥库德扎亚在该书中重温了母亲归来之夜。故事叙述者是个学生,即“一名无辜的年轻人”,与室友合住一个单间公寓。他很幸福,因为坠入了爱河。他生活中唯一的悲伤是母亲的缺席,他珍藏了一张母亲年轻时的照片,有“一双棕色的杏仁大眼”,还一直记得她温婉的笑容和柔美的声音。一天,他收到一封电报,“请接501次车,妈妈”。他在赴火车站的途中想象,他们的重聚将会非常快乐、简单:

    我接到她,在家里吃饭,就我们两人。她说说她的生活,我讲讲我的。应该为此承担责任的人的动机,我们既不分析,也不想弄懂,过去的事就让它过去好了。现在,我俩再次团聚……然后,我带她去电影院,好好放松一下。

    但现实决然不同于想象。载运囚犯的501号专列一再误点,他午夜再去火车站时,才得知该专列已经提前抵达了一个小时。他找到正走向自己公寓的母亲,互相拥抱,一起默默走回家。在他的公寓里,她坐在厨房的桌子旁,不停地抽烟。他抬头注视她的眼睛,没有看到“一双棕色的杏仁大眼”,只看到:

    她的眼神既冷淡,又渺茫。她朝我看,但又没真正看到我。她的面容凝滞,像是石雕,她的嘴唇微微张开,她晒黑的手放在膝盖上,软弱无力。她一言不发。

    她不能与人对话,不明白儿子所表达的。他问她,要不要吃点东西,她回答:“什么?”他再一次询问,她回答:“我吗?”她不问儿子的经历,只喃喃自语;讲出的孤立单词,都是自己劳改营附近的地名。她害怕儿子的室友,问他是否也是从劳改营归来的,并怀疑他是举报人。她也害怕出门,儿子拉她去电影院,坐了才几分钟,电影还没开始,她就走了。 (861)

    从劳改营归来的人身心交瘁。在古拉格待上几年,就足以让一个人未老先衰。有些囚犯老得太快,等到回家时,亲属都认不出。伊万·乌戈列茨基赫33岁那年获释于科雷马,返回切尔登镇。他在接受采访时,回忆自己的回家经历:

    我1953年11月返回,已13年没看到自己的家人。弟弟仍住在我家的老房子,恰好不在,去取干草。弟媳妇不知道我是谁,我们坐下喝茶,她开口说,我看上去很像她的丈夫,我便告诉她,我就是他的哥哥,但让她在丈夫回来时不要点穿。我想给他一个惊喜。弟弟带着干草回来了,先把干草倒入牲口棚,再来加入我们的行列……他看到家里来了客人——茶炊放在桌子上,旁边还有一瓶伏特加……弟媳妇对他说:“你知不知道他是谁?”他回答:“不知道,他是谁呢?一个路过的老人家?”然后,他朝我问:“你去哪里,老人家?”他一点都认不出我。我们坐在那里,一起喝茶……[伊万控制不住,呜咽起来,结束了采访。]

    从劳改营归来的人,有的落下残疾,有的身患慢性病。弗鲁扎·马蒂内利的丈夫曾是达拉戈古拉格综合企业的主管,直到1937年被捕。她自己从哈萨克斯坦劳改营返回莫斯科时,已成残疾人。她在劳改营中遭受了酷刑和殴打,伤痕累累。女儿艾莱娜在1960年母亲去世前,从不知道这些殴打。其时,医生看到死者身上的伤疤和瘀青,向女儿提出询问。艾莱娜回忆:“他们说,从未见过受伤如此严重的身体,甚至心脏都已被打得移了位。”

    他们问:“你母亲进过劳教营吗?”他们无法想象,身负如此重伤,母亲竟然还能存活下来。那时,我才终于明白,从劳改营返回的母亲,为何如此粗鲁残忍,总说粗话,有一次发脾气竟殴打我们,乱摔家什。我曾问她,是否在劳改营遭到殴打,但她拒绝回答,只称“有些事是不能谈论的”。之后,我就再也不问了。

    艾莱娜发现,与母亲一起生活变得越来越难。母亲从劳改营归来后,狂热信教,并呈现精神错乱的迹象。艾莱娜的儿子出生于1953年,从小就有残障。弗鲁扎会对这位外孙动粗,还会打碎他的玩具,窃取他的糖果,再与其他食物一起藏在自己的被窝里。艾莱娜实在无法应付母亲的怪诞行为,只好在1958年搬去列宁格勒。 (863)

    格特鲁德·延尔逊―格罗佐恩卡娅把身处阿克莫林斯克劳改营的母亲,想象成“善良、美丽的人,只是生活在远方”。这个形象来自她从母亲那里收到的信件和小礼物,例如那块自制的绣有动物的漂亮毛巾。格特鲁德14岁时,母亲自劳改营获释,允许在莫斯科100公里以外的地区定居。她选择弗拉基米尔城的附近,她在那里找到了一份工作,充当集体农庄的农艺师。她离开阿克莫林斯克劳改营前往弗拉基米尔,途中经过莫斯科,格特鲁德与伯父一家住在那里。格特鲁德到车站接她:

    突然,一个女人走下火车,身穿羊皮衣,手提胶合板箱子和背囊。她的头发全被剃光了,身上散发出可怕的气味,她已在旅途中过了一个星期。我们把她带回家,她叫我帮她洗澡……我在厨房炉灶上烧水,帮她脱下衣服,真是臭气熏天。她全身都有虱子,衣服里还有蟑螂,让人触目惊心。我不禁连连倒退,不能接受这个女人就是自己的母亲,而只是视为外人。 (864)

    埃斯菲莉·斯拉温娜1943年获释于阿克莫林斯克劳改营,不得返回列宁格勒或任何其他的主要城市。已在新西伯利亚担任教师的女儿依达伸出援手,把她安排在学校空置的办公室。依达记得母亲的外观:

    她非常消瘦,肤色暗褐,受了哈萨克斯坦烈日的暴晒,更呈现疟疾的所有症状。她一点也不像过去的自己,已经不是我所熟悉的母亲。她病得很重,几乎步履维艰,什么都要依靠我。

    1944年,埃斯菲莉搬去莫斯科。他儿子在莫斯科是专搞研究的科学家,获得许可让母亲与自己同住。依达嫁给了新西伯利亚的一名教师,1945年也回到列宁格勒,与其他5家一起住在一个共用公寓。埃斯菲莉为了照看依达经常生病的新生儿,搬去与女儿住在一起,但这却是非法的。1949年,埃斯菲莉再一次被捕,因为违反了国内护照条例(她没有居住在列宁格勒的登记许可),被流放到东南方110公里之外的马拉亚―维舍拉镇。那里的居住条件很可怕,她无法照料自己,没有工作,又受到当地居民不断地骚扰,在他们眼中,她这个“政治犯”等同于“法西斯”。她搬到马拉亚―维舍拉镇6个月之后,又一次被捕,这次作为“反社会分子”被送去西伯利亚西部的沙德林斯克镇。她只好租用郊区最便宜的房间,没有工作,生活上全靠依达的每月汇款。1951年,埃斯菲莉终于获准回到列宁格勒。照看她的依达回忆:“她已经丧魂失魄。”

    几乎所有的时候,她都默不作声,不敢说话;即使开口,也只是窃窃私语。你要哄出她的每一句话,但一旦说出,她马上又会后悔。她从来不讲劳改营的经历,我尝试让她开口,弟弟也作出类似的努力,但都无济于事。她不敢出家门,如果在街上看到警察,就会奔向某栋大楼入口处,躲在里面不敢现身,直到确信警察已经消失。这一点也不符合她的个性,以前的她一向非常坚强自信。她从劳改营归来后,判若两人,她的信心和健康一去不复返。她归来后的头三年里就中风两次,失去了活力和社交能力。她谁也不想见,生命的最后几年都是在床上度过的。 (865)

    阿克莫林斯克劳改营在季娜伊达·布舒耶娃的身上留下了不同的伤痕。她获释时,女儿安吉丽娜才10岁,在安吉丽娜看来,母亲因此而变得冷漠严峻。季娜伊达不喜欢谈论过去,什么都退避三舍。安吉丽娜回忆道:“很难与她相处。”

    她老是沉默寡言,从不透露自己的想法和感受。我为此责怪于她,我希望她开口。也许她想保护我们,不让我们知道她受过的罪……她总是与我们保持很大的隔阂,从不流露亲情,从不抚摸我们的头发,从不把我们搂在怀里。在她看来,当好一个母亲,就是要确保我们子女吃饱、上学、不生病——其他就没有了。在精神或情感上,她无能为力;事实上在劳改营之后,她想掏也掏不出来了。

    安吉丽娜将母亲的情感枯竭归咎于劳改营。当年,季娜伊达要求从事体力劳动,不让自己有空暇思念失去的孩子。封闭自己成了一种生存机制,也被继续用来应付归来这一难题。这种生存本能,还表现在她的执迷性进食上,她总是随身携带面包,喜欢囤积粮食,半夜也会起来吃点东西,因为她害怕挨饿。 (866)

    柳芭·巴别茨卡娅1947年从阿克莫林斯克劳改营返回莫斯科,因为没有定居首都的许可,所以是非法的,她只是想来寻找工作和亲友。她的第一任丈夫电影摄影师阿纳托利·戈洛夫尼亚,早先曾劝她回到自己身边,但此时与一名年轻的制片助理有染(可能是内务人民委员会的雇员)。制片助理名叫塔蒂亚娜·洛博娃,仿佛对他施加了邪恶的影响,使他疏远了所有的亲戚,尤其是女儿奥克萨娜。在女儿看来,这种恋情无疑是背叛。柳芭在体力上已筋疲力尽,其电影明星的外貌也已荡然无存,莫斯科的大多数老朋友都避而远之。奥克萨娜回忆:“人们只要认出她是戈洛夫尼亚的前妻、被枪决的巴别茨基的遗孀,就设法穿过马路,避而远之。”最终向柳芭提供援助的,是女演员柳博芙·奥尔洛娃。她是柳芭的老朋友,可能是出于内疚,因为她丈夫电影导演格列高利·亚历山德罗夫与内务人民委员会关系密切,当年曾涉及对国际工人救灾电影厂的举报,导致了巴别茨基的被捕。奥尔洛娃收留柳芭,建议她去找地质部副部长米哈伊尔·古列维奇,因为他能帮助柳芭找到工作,并获得莫斯科的居留许可。奥尔洛娃还解释“他一直都在爱你”,并马上打电话给古列维奇,将听筒塞入柳芭手中。古列维奇问了柳芭人在哪里,然后说:“等着,我马上就到,我们结婚吧。”多亏了他们的婚姻,柳芭获得在莫斯科居住和工作的权利,古列维奇则因此被免职。

    柳芭1938年被捕时,女儿奥克萨娜才11岁,现在归来了,相隔9年,小女孩已成为妻子和母亲。奥克萨娜回忆:“我们之间的关系非常糟糕,裂痕已经存在——有了这么多的痛苦、爱、嫉妒,又与隔阂混杂在一起;既渴求亲密和相互了解,同时又无法找到沟通语言。”柳芭想要控制奥克萨娜的生活。1948年,女儿与美国外交官发生暧昧关系,她很害怕,威胁女儿要向内务部举报,除非女儿提出分手。奥克萨娜的丈夫阿尔伯特·里希特来自德裔犹太人家庭,曾是海军军官,驻在敖德萨,已因“间谍罪”被捕,判处10年,去了马加丹劳改营。因此,新的举报很可能导致女儿本人被捕。最终,柳芭利用古列维奇的关系,让奥克萨娜充任助理,参加赴西伯利亚的地质考察队,中止了这段婚外情。

    柳芭从劳改营返回,性情大变。母亲的温柔和亲情荡然无存,取而代之的是全新的严厉和麻木。她在外孙们的面前,从不袒露温情;如果小孩摔倒或受伤,会要他们自己爬起、停止哭泣,因为人生中会有“使[他们]真正哭泣、更为可怕”的伤害。柳芭把劳改营的习惯带回家,如与食物有关,会显得非常自私,甚至贪婪;她脾气暴躁,有时几近残忍、暴虐;在感情上拒人于千里之外。她的外孙女回忆:“她床下有一个手提箱,里面装满冬衣和干粮,以备再一次的被捕。她很怕夜间的电话和门铃,在街上看到警察也会吓一跳。”这些劳改营的伤痕镌刻在她的性格当中,她1983年临死前在最后的笔记本上写道:“从劳改营获释的人,甚至会害怕自由。一旦受过一次深刻的伤害,就会很容易再一次受伤。” (867)

    很多人从劳改营归来,带回了神经过敏的习惯和偏执。艾莱娜·切尔卡索娃回家后,仍计算自己走的步伐,这是她在捷姆尼科夫斯基劳改营养成的习惯,以此提高劳动效率,避免不必要的体力消耗。去劳改营之前,艾莱娜从没工作过,劳改营繁重的劳动使她经常筋疲力竭、饥肠辘辘。特别是战争年代,古拉格囚犯的工作摊派量提高,艾莱娜往往因无法完成任务而只能分到更少的面包。为了节省能量,她教会自己尽量少走路。亚历山德拉·菲利普娃也从劳改营带回类似的偏执:猜疑别人偷吃自己的食物。她与女儿住在共用公寓,经常会把食物藏在房间的隐秘之处,之后自己吃了,却忘得一干二净,等到后来寻觅不得,就会指责女儿或邻居偷吃了。亚历山德拉与女儿的关系越来越僵,最后竟逼女儿搬走。 (868)

    米哈伊尔·尼古拉耶夫在儿童之家长大,不知道自己的父母是谁。他在军队中度过青少年时期,后来又在各式劳改营待了15年。他在每一个机构都遇上过抢夺食物的争斗——永远是抢夺最满的杯子或盘子——学会了全不考虑他人,能抢到就是赢。他36岁那年获释于劳改营,由于从没在正常家庭中生活过,对于正常家庭生活什么都不懂。据爱上并嫁给他的维克托林娅·施韦策尔回忆,他身材高大,长相英俊,留一把大胡子,在莫斯科的文学界中被称为“来自火星的野人”。她把他引介给自己的家人,却为他的餐桌礼仪感到莫大的震惊。她不明白,他怎么可以不先向他人敬食,自顾自抢吃餐桌上所有的食物。她很长一段时间都缄口不言,终于有一天忍不住责备他怎可抢夺最后一个橙子,而没有照她家习俗留给孩子。维克托林娅回忆:“米哈伊尔回答:‘我实在不懂,没人教过我,你为什么不给我解释?’”“他并不贪心,正如他自己所说的,他只是吝啬而已”,可能更由于自身经历而变得自私自利。她在接受采访时回忆,那时她才意识到,自己爱上了一个所知甚微的男人。“必须学会再一次爱上他。这一次,他是真正的米夏,出身于孤儿院。这样,我才能真正了解他,帮助他回归正常生活。” (869)

    从劳改营归来的人,往往很难与亲人重建亲密关系。他们在古拉格生活多年,能期望怎样的“正常家庭生活”呢?对这些人,没有辅导或精神分析;对他们身体和行为上的失调,也没人给予帮助;甚至他们一直承受的心理创伤,也得不到承认。同时,从劳改营归来的人又不甚了解自己家人这些年来忍受的紧张和恐怖。双方——从劳改营归来的和在家等待的——都有遭排拒和疏离的感觉。

    由于种种原因,劳改营的幸存者发现很难开口谈论自己在“里面”的经历,即便在家人面前,也会把自己封闭起来。有些人不讲是害怕惩罚(囚犯获释时被告知,不得在公共场所讨论自己的经历。其中许多人因此而担忧,即使在私人场所也不敢袒露);其他人不讲是不想制造负担,或担心亲人不会或无法理解自己的遭遇。家长特别不敢告诉孩子,因为不愿让子女游离于苏维埃制度之外,或惹上麻烦,引起当局的注意。

    即使在谈论已成为常态的家庭,父母仍在叙旧时持谨慎态度。奥莉加·阿达莫娃―斯柳兹贝格从科雷马劳改营归来后发现,自己不在时,儿子已经长大,成了共青团的积极分子,对斯大林无比崇拜。她在一天晚餐时询问斯大林生病一事是否属实:

    当然没人知道,但儿子却有一个意味深长的回答:“我不知道他是否生病了,但如果他真的病了,而我的血液能够救他,我很乐意为他而死。”我明白,这算是给我的教训和警告,我只得闭上自己的嘴。

    阿达莫娃―斯柳兹贝格的劳改营经历,使她对政权持怀疑态度,但她明白,即使希望儿子知道自己所经历的,也不能说出口。她回忆:

    我在“里面”所发现的,不敢向他倾诉。也许能够让他明白,国家有很多过错,他的偶像斯大林远非完美。但儿子只有17岁,假如我解释一切,假如他被说服了,就无法欢呼斯大林的名字,无法写信给斯大林,无法在课堂上称赞我国的公正平等。假如他做不到这一切,可能早已死去。也许,他会设法过双重生活,但我不想让他这么辛苦。我害怕与他坦诚相见,但不知何故,我渐渐打动了他,他会认真仔细地端详着我。几个月后,他对我说:“妈妈,我爱你。” (871)

    比较普遍的交往,恰恰与此相反。从劳改营归来的父母,仍持守着20世纪30年代布尔什维克理想,却发现子女已形成了决然不同的想法和态度。在赫鲁晓夫解冻的相对宽松的气氛中,政治审查逐步放宽,苏维埃媒体重新评估斯大林时代。年轻人背离政治,开始追求个人幸福。赫鲁晓夫的时代经济繁荣,私人房屋的街区如雨后春笋,消费品更多,又从西方引进了新技术、新时尚、艺术和音乐。不可避免,共产党员们因此担忧,每当政权放松对私人领域的管制,个人主义就会抬头,社会行动主义、集体主义和其他苏维埃价值,会消亡于年轻一代的手中。所以有不断的呼吁,鼓励苏维埃青年加入共青团,成为“积极分子”,参与像“处女地运动”那样的集体活动。 (872)

    玛丽亚·伊利纳从波特马劳改营归来,在女儿玛琳娜的面前就遇上这种代沟。她于1937年被捕,之前是基辅大型纺织厂的主管,丈夫曾是党委书记,直到在同一年遭到逮捕和枪决。玛丽亚1945年获释,在一家乌克兰孤儿院找到女儿玛琳娜。上一次见面时,女儿才2岁,现已10岁。之后的12年中,母女住在一起,先是在切尔卡瑟,后来在莫斯科,直到1958年玛丽亚孤身一人搬回基辅。玛丽亚死于1964年,此前,母女俩每到假日都会互访,但相互关系已经非常糟糕。玛丽亚掌控女儿的生活方式,希望她以被捕前的自己为榜样,成为一名模范共产党员。她在1956年获得平反,重返党内,积极宣传党的事业。据她女儿说,“父母年轻时奉行的共产主义理想,她必须坚持到底。否则她会无法忍受,因为她已作出太大的牺牲”。

    玛丽亚全身心投入女儿的政治教育,制订读书计划——包括苏维埃和俄罗斯的经典著作,旨在培养正确的共产主义思想和态度。例如,托尔斯泰的《安娜·卡列尼娜》是不好的,因为安娜非常自私,“对女人来说,最主要的不是爱情,而是同志友谊,以及对社会的责任”。

    她要我变得坚强果断,勇敢无畏,成为少先队和共青团的积极分子……她要我像苏维埃文学中的英雄一样,成为自己的主人,克服身上的缺点,不断提升自己。在妈妈看来,这是最重要的——成为自己的主人……她总是告诉我,即使自己不喜欢的事,也一定要去做。

    玛丽亚以各种方式加以干涉。女儿想学文学,成为教师,母亲却让她入读著名的莫斯科动力工程学院。玛琳娜加入共青团,成为工程学院的团委主席;获得工程师资格之后,在莫斯科的研究部门上班。玛丽亚想让她入党,设法安排该部门的党委书记向女儿发出入党邀请,自己再亲自出马,对女儿做劝服工作。但玛琳娜有不同想法,像很多朋友一样,她受到自赫鲁晓夫解冻后的自由气氛的鼓舞。她在思想上变得自信、独立,对政治的怀疑越来越强烈。她认为,入党将会有太多要求——远远超过她愿意投入的。这些想法得到了丈夫伊戈尔的支持,她是在工程学院读三年级时结婚的。伊戈尔对苏维埃制度持批判态度,经常与玛丽亚发生争论。对这种政治辩论,玛琳娜毫无兴趣,她拒绝党和政治,不是因为反思了家人的悲剧,而是因为想忘记过去,以开始“幸福生活”。她的主要兴趣是音乐、电影、跳舞、交友,并得到伊戈尔的鼓励。他担任工程师,收入不错,梦想着把妻子留在家里。玛琳娜关注自己的个人形象,却老是遭到母亲反对。母亲坚持共产主义信念和斯巴达态度,决不容忍这种“小布尔乔亚”的闲情逸致。玛丽亚自己整齐清洁,也有漂亮身材,但从劳改营归来之后从不重视自己的相貌,甚至不在乎自己的外表。她收入微薄,买不起衣服或化妆品。但她女儿认为,她对此兴趣索然的另一原因是:劳改营的经历使她陷入抑郁,特别是在1955年之后,其时她终于发现儿子弗拉基米尔已死于古拉格。玛琳娜说:

    她经历了这么多,以致自暴自弃,从不对镜顾盼,从不使用香水或化妆品……只有一次,她买了一件合身的大衣。从后面看,她还很年轻,身材高挑,双腿修长,脚踝精致。男人往往会在街上超越我们,为了回头瞟她——他们无法理解,从前面看的她却判若两人,头发灰白稀疏,脸上留有伤疤。

    由于缺钱,玛丽亚卖掉了合身的大衣,只穿棉外套,跟古拉格囚犯穿的式样差不多。

    弗拉基米尔·马赫纳茨——负责全市煤气供应的莫斯科煤气托拉斯的前主管,在泰舍特劳改营度过14年后,于1955年6月返回苏维埃首都。他的儿子列昂尼德已22岁,一直不满意自己的“污点履历”。他出生于苏维埃精英的特权环境,父亲被捕之后,只好与母亲生活在可怕的贫困之中。母亲没有自己的收入,他们住在共用公寓的一个小间,却遭到警方好几次突击检查,以搜寻“人民公敌亲属”的罪证。列昂尼德急于改善自己的处境,在申请莫斯科电影学院时,隐瞒了父亲的被捕。父亲回来时,列昂尼德正游走于电影界的波希米亚圈子——在解冻后的自由气氛中得以蓬勃发展。他还与国安部挂上钩,他的未婚妻塔玛拉是纳夫塔利·法兰克尔的养女。1929年,法兰克尔首创了古拉格系统的构想,此时隐居于苏维埃首都,对列昂尼德产生了浓厚的兴趣。

    弗拉基米尔坚持要对妻儿行使权威。他的归来肯定会与列昂尼德发生冲突,这位年轻人突然多出一个严厉的父亲,在他眼中,弗拉基米尔“很难相处”:

    他沉默寡言,喜怒无常,不愿谈论劳改营的经历,在感情上自我封闭。他把自己在劳改营养成的习惯和恐惧带回家,还期望我们作出配合。他不愿与当时仅46岁的母亲同睡一张床。我还记得,她有一天含泪对他说:“在你看来,我已不再是一个女人!”

    尽管在劳改营待过那么多年,弗拉基米尔仍是一名坚定的列宁主义者。他坚持认为,20世纪30年代初的斯大林政策——强迫性的农业集体化和五年计划的工业化——基本上都是正确的,他自己曾在实施这些政策时发挥了主导作用。在他看来,只是到了20世纪30年代的后期,斯大林才不再是一名共产党人。对弗拉基米尔来说,归来的过程是一次时光的倒流。他重新入党,党员资格追溯到1921年。他重新进入原先的工作领域,1956年被任命为莫斯科燃料和能源局的副主管。他甚至配备了有专职司机的汽车和乡间别墅,仍在银松林专区,离原先拥有的那栋不远。被捕后发生的社会变化,对弗拉基米尔没有产生任何影响。那一代的农民在20世纪30年代初的斯大林工业革命中跃起而成为苏维埃的精英,他是其中一员。他在政治上激进,但社会态度依旧保守(列昂尼德出生后,他就叫玛丽亚辞职,因为他认为“资深党干部应有一位全职太太”)。现在,弗拉基米尔满心盼望自己再次成为一家之主,颇不满意列昂尼德的晚归,部分原因是劳改营使他严重失眠。父子之间不断发生争执,有一天晚上,列昂尼德参加派对,半夜才回,他们先是争吵,后来竟至动武。弗拉基米尔狠狠一拳打在儿子的脸上,列昂尼德冲出公寓,直奔法兰克尔的住所,一直住到1958年他与塔玛拉结婚。列昂尼德回忆,与弗拉基米尔关系破裂之后,法兰克尔成了他生活中的父亲角色。法兰克尔反对赫鲁晓夫的解冻,与国安部保持紧密联系。后来,国安部委任列昂尼德为电影导演,拍摄他的第一部电影,那是一部有关冷战中苏维埃间谍的宣传故事片。

    劳改营幸存者的普遍感觉是自己的经历难以言说、交流。他们与没去过劳改营的人,始终存在一条不可逾越的鸿沟。玛丽亚·德罗兹多娃在诺里尔斯克整整度过20年的监禁和流放生涯,1962年返回红村的家人身边。她写道:“我能告诉他们什么呢?”

    我是活着回来了。但那里的生活,如何被押送去诺里尔斯克,我实在无从说起。他们怎能理解“押送”一词的真正含义?不管我描述多少细节,他们都难以理解。没人能理解我们所经历的,只有亲身体验过的人,才会真正懂得和同情。 (875)

    像许多前囚犯一样,与家人相比,玛丽亚感觉与诺里尔斯克劳改营里的朋友更亲近,获释后仍然与他们经常见面。一名前囚犯写道:“劳改营中形成的友谊是一生的友谊。”许多古拉格幸存者认为,劳改营难友的相互扶持,往往胜过家里的亲友。在社会上,前囚犯经常是偏见和恶意的受害者,遂建立起相互信任和依靠的特殊纽带。他们不与家人谈论劳改营,却与古拉格朋友倾诉衷肠。他们互相通信,节日见面,互相拜访,安排重聚。索尼娅·拉斯金娜有个大型联络网,成员都是她在沃尔库塔劳改营的老朋友。她在莫斯科的公寓总有老朋友借宿,其中有些人就像是拉斯金家庭的成员,出席拉斯金家所有的纪念日。瓦莱里·福雷德回忆起自己在因塔劳改营的老朋友:“难友精神非常了不起。没有任何做作,没有漫长劝说,我们尽量互相帮忙。”福雷德认为,古拉格大作家瓦尔拉姆·沙拉莫夫是错的,因为他曾写道,囚犯在劳改营的经历一无是处。他自己与制片人尤里·敦斯基的终身友谊与合作,借助在因塔劳改营的共同经历而获得大大加强。福雷德回忆:“我感谢劳改营,它教会我友谊的含义,并给了我这么多朋友。”

    有些囚犯归来时,带回了在“里面”遇到的新丈夫或新妻子。特别对女子来说,这些“古拉格婚姻”的动机往往是为了生存。但另有一些,确实基于囚犯间的理解和信任。

    矿物学家奥莉加·洛巴切娃,1946年获释于诺里尔斯克劳改营后,留下充当志愿工。她嫁给了地质学家弗拉基米尔——来自萨拉托夫大学的学生志愿者,比自己要年轻20岁。1956年,他们一起回到塞米巴拉金斯克城。奥莉加被捕前,由于第一个丈夫米哈伊尔的被捕,她曾在那里流放。奥莉加不知道米哈伊尔的下落,长期杳无音信,只好推定他已死去,正是基于此,她才同意嫁给弗拉基米尔。但事实上,米哈伊尔被判处10年,送进卡拉干达劳改营。在那里,他娶了难友索菲亚·奥克兰德。她是一名年轻漂亮的匈牙利犹太人,1948年更为他生下个女儿。奥莉加和米哈伊尔的儿子深思道:“劳改营中的他们也渴望爱情和友谊,最终与别人聚在一起。这不是他们的过错,只是我的父母都爱上了年轻的对象,互相背叛。”1956年,米哈伊尔带上新妻子和女儿搬到阿拉木图城,设法找到奥莉加,甚至去塞米巴拉金斯克探望。他想说服她回到自己的身边,但奥莉加不肯原谅她的前夫,因为他在再婚之前,都没有试图找到她。 (877)

    柳德米拉·康斯坦丁诺娃也嫁给了自己在劳改营遇到的人。米哈伊尔·叶菲姆夫是来自诺夫哥罗德的农民,强壮、英俊,1934年因“流氓罪”被送到科雷马劳改营,帮助建造马加丹小镇。到1937年,叶菲姆夫已服完自己的3年刑期,但没钱返回诺夫哥罗德,所以作为志愿者留在马加丹。1938年,柳德米拉遇见他时,正好在棉花厂充当囚犯工,而叶菲姆夫则在建造该厂的通风管道。自1937年以来,柳德米拉一直在科雷马劳改营。她的丈夫被捕于1936年,之后就音信全无。她遇上叶菲姆夫后不久,因为肾脏感染而病得很重。叶菲姆夫替她买特殊药品和食物,照顾她恢复健康。1944年,她获悉,外祖母从孤儿院救出女儿纳塔利娅和艾莱娜,又在偏远的草原小镇阿克―布拉克流放地抚养她们长大。一年后,纳塔利娅、艾莱娜与外祖母返回列宁格勒,叶菲姆夫就开始给她们寄包裹和金钱。柳德米拉1945年秋天从劳改营获释,决定留在马加丹,因为叶菲姆夫无资格搬去列宁格勒。1947年,她与叶菲姆夫结婚。丈夫被捕至此已有10年,一直没有消息。她向苏维埃当局打听,仍无结果,只好推测他已死去。 [4] 1945年获得离婚许可之后,她在给母亲的信中写道:“你不能让对方永远等待,人需要生活在现实世界当中。”

    柳德米拉不爱叶菲姆夫。在给母亲的信中,她将他描述成“科雷马最初患难日子中的好同志”,强壮、善良、乐于助人。俩人的持久友谊以古拉格的共同经历为基础,即使获释后,她仍依赖他的情感支持。1948年,柳德米拉与叶菲姆夫搬到新切尔卡斯克城,离顿河畔罗斯托夫不远,她在那里一直住到1992年去世。每年一次,她赴列宁格勒看望女儿和母亲。有时,叶菲姆夫也会同行,但对继女来说仍是疏远人物,她们称呼他时,一直客套地使用通常用于陌生人的“您”。纳塔利娅回忆:“只是在妈妈死前不久,我才开始使用[非正式的]‘你’。”艾莱娜和纳塔利娅一直与亲爱的外祖母住在一起,直到她1968年去世。她们再也没有与母亲重聚一堂,像家人一样一起生活。 (878)

    伊利亚和亚历山德拉·法伊韦索维奇夫妇,在彼尔姆以南的乌拉尔小镇奥萨开理发店。他们均被捕于1939年,因为有顾客举报他们抱怨物资短缺。伊利亚被判刑10年,进了高尔基城附近的劳改营;亚历山德拉判处5年,在阿尔汉格尔斯克附近的劳改营。他们的女儿伊拉伊达由外祖母抚养,直到亚历山德拉1945年归来。4年后,伊利亚也被释放。亚历山德拉耐心等待他的归来,这一天终于来到。房子里坐满了亚历山德拉的亲戚,亚历山德拉为伊利亚的归来准备了特殊的聚餐,但伊利亚没有出现。相反,他的妹妹利达从彼尔姆赶来告诉他们,伊利亚已与年轻的新妻子到达她的家。亚历山德拉带着女儿去看他,伊拉伊达还记得当时的情景:

    门开了,就是父亲——我们已有10年没见到他。他给我一个拥抱和亲吻……尼娜[他的新妻子]站在房间当中。妈妈开始哭泣,利达试图让她平静下来,劝说道:“如果10年没有看到对方,你能指望什么呢?”妈妈仍在哭。父亲把我拉近,仿佛在说,他也无能为力。我想,他那天喝了很多酒,已经醉了。妈妈开始咒骂:“你毁了我的一生!你毁了我们的家庭!”她不停地喊……“为什么不给我写信,叫我不要再等?”

    尼娜和伊利亚,在斯维尔德洛夫斯克附近他们家屋外,1954年

    亚历山德拉因此而精神崩溃,在精神病医院住了4个月。伊利亚和尼娜在斯维尔德洛夫斯克附近的小镇定居,住入一个旧澡堂。他们是在劳改营认识的。尼娜是来自列宁格勒的犹太医生,在医院工作,救了伊利亚的命。他外出伐木,没有食物,筋疲力尽,失踪好几天才被送到医院,已有严重的冻伤。尼娜的悉心调养使他逐渐恢复健康,这位医生最终还爱上了病人。伊利亚从劳改营归来已是残疾人,走路都需要尼娜的帮助。他每年去奥萨一次,探望亚历山德拉和伊拉伊达,有时也会写信,但互相再也不亲近。尼娜死于1978年,伊拉伊达尝试说服父亲回到母亲的身边,但他又娶了别人。亚历山德拉一直没有再婚,对伊利亚的背叛,始终耿耿于怀。她女儿说,她仍然爱着他,床边还放有他的照片,一直到死。 (879)

    季娜伊达·莱维娜是乌克兰少先队创始人之一,1904年出生于犹太家庭。她于1937年被捕,判刑8年,被送进科雷马劳改营。丈夫丹尼尔是工程师,作为人民公敌的亲属被捕,流放去了土库曼斯坦3年(他获释后参军,在前线受伤,再疏散到西伯利亚)。父母被捕时,女儿拉丽莎才4岁,由外祖母照看,住在基辅与别人合用的共用公寓。1945年,丹尼尔从西伯利亚归来,同时带回了新妻子里贾纳和他们的小女儿。他们搬进两个小房间,与丹尼尔的三个姐妹同住。拉丽莎搬去与他们住在一起,与同父异母的妹妹相处得很好,但遭到里贾纳和姑妈的忌恨。拉丽莎说,丹尼尔担心如果自己仍是人民公敌的丈夫,从流放地归来时就有可能再次被捕,所以选择离婚,与季娜伊达划清界限。但季娜伊达的母亲视女婿为好色之徒,认为他只是利用妻子的被捕,趁机娶了年轻漂亮的里贾纳,所以拒绝上门拜访。拉丽莎因此连外祖母都见不到,在父亲家的处境变得愈加困难。

    季娜伊达1946年获释之后,依规定只能住在基辅附近的小镇兹韦尼戈罗德卡。有一天,她出现在母亲的公寓,带了个名叫瓦莱里的小男孩,介绍他是自己的儿子。季娜伊达在科雷马劳改营时,听闻了1941年9月纳粹在巴比雅对犹太居民的大屠杀,担心自己家人都已遭殃,遂下定决心再生一个孩子(当时已经37岁)。她在1942年生下瓦莱里,但一直拒绝透露孩子父亲的名字(她把这个秘密带进了坟墓),但每个人都揣测他是一个狱警。1949年,季娜伊达作为“反社会分子”再次被捕(正是反犹太人运动的高潮),被判刑3年,送往波特马劳改营(后来又流放到哈萨克斯坦的江布尔城)。瓦莱里由外祖母照管,但几个月之后,老妇人过世。拉丽莎恳求父亲向瓦莱里伸出援手,觉得自己有责任保护这个行为有异的同母异父的弟弟:“有一种东西迫使我去爱他。我感觉到一种责任,来自我的内心。我没有家人,我想保护他,把他当做自己的亲人。”但是,丹尼尔的姐妹仍把瓦莱里送进了孤儿院,认为狱警的儿子应由国家来照看。瓦莱里消失了,直到1953年他从位于乌克兰西部的乌日哥罗德孤儿院写信给拉丽莎。拉丽莎前去认领,再把他带去身处江布尔城的母亲那里,合家三口在那里住了两年。拉丽莎回忆:

    当时,我基本不了解母亲,从没真正与她在一起生活过。那段时间,从1953到1954年,是我第一次与她共同生活……她在我身上倾注了无限的爱……我不知所措,很不习惯……但我很快找到了家庭亲情的喜悦。

    1955年,季娜伊达爱上了在江布尔城流放的另一个犹太人,他的家人都死于巴比雅。他帮助照看瓦莱里,视同己出。他们在1956年喜结连理。流放解除之后,他们回到基辅,开始了新的家庭生活。 (880)

    就有些囚犯而言,家庭生活已经不再有可能。他们太害怕了——包括自己的失望,担心成为他人的负担,无法与人沟通。

    纳塔利娅·伊斯纳尔1893年出生于圣彼得堡的律师家庭。20世纪20年代,她在莫斯科艺术剧院和斯坦尼斯拉夫斯基的歌剧工作室,从事图像艺术和舞台设计工作。1932年,她与第一任丈夫离婚,嫁给格列高利·阿别孜高兹,他是教育艺术人民委员会的低层官员。1937年,阿别孜高兹遭到逮捕和枪决。纳塔利娅也被捕,获刑8年,被送去阿克莫林斯克劳改营。她于1946年获释,却留在多林卡镇,在内务部的政治部担任装饰艺术家,参与劳改营的宣传艺术和戏剧。纳塔利娅在莫斯科和列宁格勒都有亲属,还有第一次婚姻的一个女儿。但她选择留在古拉格定居地,而不是返回家人身边。多年羁绊于劳改营使她心碎,再也无法复原。纳塔利娅写信给莫斯科的小姑:

    清水塘(Chistye Prudy)15号,27号公寓

    艾莱娜·莫伊谢耶夫娜·阿别孜高兹

    亲爱的,值得庆幸的是,柳德米拉·亚历山德罗夫娜[在阿克莫林斯克劳改营的朋友]将亲手把这封信送给你。终于,我能以你能够理解的方式,作出详尽的解释。从我获得自由那天起,至今已有6个星期。然而,这却是我的第一封信,如何解释呢?不得不承认,经过漫长的分隔,我们之间已有不可逾越的鸿沟,这是很痛苦的。在这短暂的所谓自由时期,我已认识到,再也不能感受到与你的亲近。每当想及要回来见你,我就会因下列的担忧而望而生畏:我将没有用处,我将手足无措,我将帮不了你。我已失去当母亲的信心,这么多年下来,已变成一个决然不同的人——变得更加冷静。我要工作,努力让自己学会随遇而安,没有家人也能生存下去。我要彻底剔除这种家庭情感,使它再也不会渗入我的内心。除了工作,我什么也不需要……柳德米拉·亚历山德罗夫娜会告诉你一切,有关我的生活、性格、外表,等等。她是我在这个世界上最亲的人,胜过任何家人,因为她一直与我在一起,经受了劳改营同样的坎坷。遇到一个百分之百的好人,真叫人欣喜若狂……我觉得,我的内心已失去你。我不再需要家庭——这种情感已在我的心中死去……这不是一件坏事,事实就是如此…… (881)

    索尼娅的释放证书。上有索尼娅监禁的时间,最高法庭军事委员会“因证据不足”而终止关于她的案子的决定,并允许她回莫斯科居住

    索尼娅·拉斯金娜获释于沃尔库塔劳改营时,领到两样东西:一张由劳改营两名管理员签署的释放证书,一张返回莫斯科的二等火车票。索尼娅在莫斯科有家人、工作、公寓等着她回来,其他囚犯就没那么幸运。他们无处可去:家庭已经破裂或搬走;住房已经消失或充公;禁止返回曾经生活过的城市。许多前囚犯无法回到大城市,被迫谋求边缘性的生存,寻找能获得居民登记的任何临时住所。苏维埃当局一向不太情愿向前“罪犯”提供这样的居住权。阻止他们返回自己的城镇和家园的,既有法律上的障碍,又有制度化的歧视。克服这些障碍和歧视的斗争,也是长期且复杂的。

    1953年,78岁的柳德米拉·泰德曼(娘家姓奥博连斯卡娅)从流放地奥伦堡回到列宁格勒。她是西蒙诺夫三个姨妈中最年长的,自1935年起,就住在奥伦堡,也是唯一幸存于流放困顿的(桃莉和索尼娅均死于奥伦堡)。她经过多次上访,终于从市苏维埃获得许可,搬回被捕前自己和子女的共用公寓。当她搬回时,居民委员会却予以拒绝,理由是她家原有三人,现只剩一人,不可自己独居。好几个星期,柳德米拉排队上访派出所、当地住房部、市苏维埃及其他各种办事处,为了争取独居的权利。她写信给西蒙诺夫:“最令人厌恶的是,各部门的人都以为我是个骗子。他们声称,我[在市苏维埃的住房许可上]列出补充的名字,是想骗得更多的生存空间。”当局不让她一人独居,也不愿修改住房许可,并声称“他们是不会弄错的”,使这个案子一拖再拖。她足足等了好几个月,才获准搬回自己的老家。 (882)

    西蒙诺夫的私人秘书尼娜·戈登遇上了同样的麻烦。她的丈夫约瑟夫再次被捕,作为惩罚,被送去克拉斯诺亚尔斯克。到1951年,尼娜随他而去。1954年,夫妇俩返回莫斯科,在找到自己住所之前,只好借住在西蒙诺夫那里。尼娜和约瑟夫都是莫斯科人,即使借助于西蒙诺夫的影响力,仍无法登记为居民。西蒙诺夫帮这对“诚实勤劳、近年来却遭受如此不幸的夫妇”出面,写信给市苏维埃和莫斯科民兵组织的主管。最终,他们获得在莫斯科居住一年的许可,然后搬进西蒙诺夫帮忙觅得的房间。约瑟夫在高尔基电影制片厂找到工作,尼娜回来为西蒙诺夫做事。但他们的居住许可,不知何故,很快就被作废。夫妇被告知,必须在一个月之内离开首都。西蒙诺夫只好再一次写信,这次是给莫斯科内务部的主管:

    结论非常简单:一个没犯过任何罪行的人,已在监狱和流放地荒废多年,终于重拾曾被冤枉夺走的工作。现在,他又要被迫离职,再一次离去。他的妻子,为了与丈夫在一起,曾放弃过自己的工作。而现在,如想留在丈夫的身旁,必须再一次放弃工作,离开自己生长的城市。这不仅是不公正的,而且是不人道的。

    多亏了西蒙诺夫的申诉,夫妻俩获准在莫斯科暂住。他们在后来的4年中,换住过8个不同的房间和公寓,最后终于遂愿,注册成为永久居民。1958年,西蒙诺夫帮助他们挤入待建公寓的轮候名单,那是为高尔基电影制片厂工人兴建的,但一再的延误,迫使约瑟夫和尼娜不得不寻找更多的临时住所。直到1966年,即约瑟夫去世前不久,夫妇俩才终于分得自己的一小套公寓。 (883)

    寻找工作和住所,都困难重重。苏维埃官员普遍不信任前囚犯,许多雇主继续持怀疑眼光,视他们为潜在的惹是生非者和“人民公敌”。1953年3月的大赦公布之后,离开劳改营的先是普通罪犯,再是政治犯,但苏维埃大众不作区分。他们将1953年后犯罪和“流氓行为”的增多,归罪于古拉格囚犯的释放(1956年匈牙利起义之后,将重新浮现的“内部威胁和敌人”,也归罪于古拉格囚犯的释放。其时的苏维埃报刊,更作了推波助澜的宣传)。许多前囚犯即使获得平反,在申请工作时仍遭到拒绝。平反一事本身往往成了雇主们产生偏见和猜疑的起源。他们都不想冒险聘用几年前还是“政治犯”的人。一名前囚犯回忆,哈尔科夫的工厂主管当面直言,“尽管我已获平反,但在他眼里,仍有见不得人的过去”。在赫鲁晓夫1956年在苏共二十大上公开谴责斯大林之前,公众对待归来的古拉格政治犯的态度,要么是不信任,要么是敌视。人们不敢与来自劳改营的前“敌人”有任何瓜葛。看到这些归来的囚犯,往往会唤起尴尬的回忆,甚至会在许多公民的心中激起内疚和羞耻。他们的生活相对舒适,他们的同胞却在劳改营中憔悴凋零。对归来的前囚犯,大多数人倾向于采取眼不见、心不烦的态度。以前在斯大林的统治下,他们也只字不提失踪的数百万人。列夫·科佩列夫回忆,从劳改营归来后,与避开斯大林清洗的成功人士相处,反而觉得不舒服,他宁可与“某种程度上的倒霉人士”交往。他至少可以肯定:这样做,没有与以配合迫害获致成功的人为伍。 (884)

    寻找工作和住房如此艰难,以致部分前囚犯不得不重返劳改营。1953年之后,许多劳改营以特殊经济区的形式仍在运作,雇用名义上的自由劳工,主要是获释囚犯。他们领取工资,但行踪接受法律限制,不得随意离开偏远的定居点。有些人选择留在劳改营或定居点,因为他们觉得,还没做好重回社会的准备。有些劳改营,前囚犯一直留住在旧营房,直到20世纪60年代。甚至还有例子,前囚犯故意触犯小罪,为了回到劳改营,至少能有面包吃。 (885)

    伊万·乌戈列茨基赫1953年从科雷马劳改营返回家乡切尔登镇,无法找到工作和住所,警方也就拒绝向他颁发享有居住权的必要护照。他只得动用当初在科雷马当电工时的储蓄,到处游走,寻找工作。首先,他去了莫斯科,想亲眼看看红场,以遂心愿。但他身上缀满补丁的劳改营棉外套,引起了警察的注意,很快被驱逐出去;他本来就没有资格进入莫斯科。接着,他去布良斯克地区的小城新济布科夫——位于首都的东南方向,他的前妻与新丈夫带着两个孩子就住在那里——结果找不到工作。然后,他去顿巴斯寻找煤矿上的工作,但无处可住,没有居民登记,便无法得到他人的雇用。他在日丹诺夫和塔甘罗格遇上同样的麻烦。经过几个月的绝望寻觅,他来到了亚速海附近的国营农庄,那里所有的工人都挖地穴而栖。即使在这里,他也找不到工作,农庄官员一看他的科雷马释放证书,就予以拒绝。伊万最终决定返回科雷马劳改营,在途中却意外得到了一份工作。他在克拉斯诺卡姆斯克稍作停留,去探望居住于前劳改营营房的弟弟一家,正巧遇上附属砖厂的官员。他最初的申请也遭拒绝,但一块手表的贿赂让那位官员改变了主意。伊万在砖厂一直做到1981年退休。 (886)

    从1953到1957年,估计共有61.2万名前囚犯获得苏维埃当局的平反,其中多人是在死后追认的。根据苏维埃领导人的说法,平反过程是还原真相的过程——为了重建对1917年公正原则的信心——从表面上看,确有理想主义的成分。但从争取权利的老百姓的角度看,实际情况又有很大的不同。对他们来说,这意味着一系列持久且屈辱的上访。他们必须排队,填写表格,与往往充满敌意的官员争斗。前囚犯要写十几封信,其上诉才会获得苏维埃当局的恩准,这是司空见惯的。不过,1956年之后,司法审查和平反的进程有所加快。有时,上诉人会被传唤去内务部或司法部的办公室,这类地方很容易引发前囚犯的恐惧。他们相信自己将被送回劳改营,因此穿上冬装,由哭泣的亲属陪同。一点也不奇怪,这种恐惧和障碍打消了不少的平反申请(很可能是当局的初衷)。相关的司法审查和官方程序,开展得非常勉强,苏维埃官员有明显的动机来敷衍了事。他们中的许多人,当初靠捏造证据整肃“人民公敌”而立功晋了级,现在却要披露其中的不公,岂不要让自己上被告席?抓住稻草以求自保的尝试五花八门,有些甚至是非常卑微可笑的。例如,一个退伍军人1947年因“反苏维埃宣传”而被判处劳改10年(他讲过“反苏维埃”的笑话),在1954年提出上诉,赢得减刑5年,遂立即获释。调查官在审查时,判定他的笑话不是反苏维埃的,但为了维持原诉(从而无需推翻原案,无需予以平反),声称其中之一有可能被理解为反苏维埃的。 (887)

    最后,即使获得平反,也得不到相应的道歉,更不用说在劳改营浪费的宝贵年华。在大多数官员眼中,前罪犯的平反并未抹去他的所有罪行。一名克格勃上校在1960年提醒一位前囚犯:“平反并不表示你无辜,只是你的罪还不够严重,但总归是有保留的!” (888)

    就许多人而言,尤其是那些前党员和笃信1917年革命价值的人,对平反的需求如此强烈,以致任何障碍都无法予以阻止。承认其公民价值,关乎他们人格尊严的根本。出于同样的原因,许多人希望重新入党,只有重新领到党员证,才会感到自己重又成为十足的苏维埃公民。一名“人民公敌”的遗孀,在阿克莫林斯克劳改营度过12年,她还记得收到丈夫的养老金和恢复党籍通知时的自豪。作为党员的遗孀,她可以得到普通受迫害家庭无缘的特殊好处(因此对平反者的地位持有扭曲的看法)。在她看来,最重要的是,这些优势是她重返社会的象征:

    我觉得终于再一次成为完整的人,在政治上和作为一个公民都是如此。更重要的是,我在某种意义上是“今日英雄”。获得平反的党员,其社会地位得到了提升;各式排队,无论是宿舍和假期的分配,还是财政补助和其他种种,都享有优先权。 (889)

    对其他人来说,平反的重要性还在于,它给他们的生活和信仰重新带来意义。他们尽管遭受了不公正,仍坚守自己的苏维埃理想。这种信仰使他们的生命,乃至他们的牺牲,充满了意义。许多人甚至认为,他们在劳改营辛苦劳作,也为苏维埃事业作出了贡献,因此而感到骄傲。列宁农学院的学者亚历山大·杰格佳廖夫,在20世纪70年代向记者阿纳托利·朱可夫作出如此解释:

    我在劳改营亲手挖出那么多贵金属,如果留给自己,早已是百万富翁了。这是我对共产主义制度的贡献。我在严苛条件下存活下来的最重要因素,就是我对列宁主义党和其人道原则的信念坚定不移,永不磨灭。党给了我力量,让我可以忍受这些考验;党振奋我们的精神和觉悟,帮助我们坚持斗争。恢复党籍是我一生中最大的幸福。 (890)

    另一类人追求平反,因为他们相信,这将能洗刷他们名字上的耻辱。玛丽亚·德罗兹多娃获释于诺里尔斯克劳改营,但在获得平反之前,并没觉得自己已是真正的自由人:“只有平反之后,我才能正视他人的眼睛,满怀荣誉和自豪,没人再会骂我。” (891)

    对图尔金一家来说,平反是一大解脱。1936年,来自彼尔姆的老布尔什维克兼记者亚历山大·图尔金,作为“托派分子”被捕。自那以后,家人一直被当做“人民公敌”的亲属。20多年来,亚历山大的妻子和两个女儿一直认为,亚历山大确实犯了反对国家的罪行:这也是解释老朋友和邻居敌视的唯一办法。亚历山大的岳母更从客厅的全家福照片上,挖去他的脸(“如果我们当中有一个敌人,就必须将之清除出去”)。从此,家人再也不提他的名字。后来,亚历山大的妻子被告知丈夫是无辜的,提出申诉后,又收到他的平反证书,这对这个家庭来说无疑是一大解放。最终,她们可以不带任何耻辱感来谈论已失去的丈夫和父亲。 [5] 亚历山大的女儿维拉回忆:“一旦人们获悉我父亲平反了,便开始软化对我们的态度。这对我们确实很重要,因为我们也曾怀疑他有罪,原来我们都错了。” (892)

    不是每个人都视平反为足够的结果。有些人认为,他们一直知道自己是无辜的,并不需要已被证明是不公正的制度的平反。这种观念常在老党员中间听到,他们是列宁的追随者,视斯大林为“反革命”。诺里尔斯克起义领导人之一的列夫·内托,1956年从劳改营获释,他干脆拒绝申请平反,视之为“原则问题”。他为起义中的战友辩解:“我们都认为,并不需要国家的宽恕。国家迫害我们,本身就是罪行,这是一个自我尊重和自身尊严的问题。” (893)

    对许多党员及其家人来说,光是平反,没有恢复党籍,还不算伸张了正义(恢复党籍意味着他们可得到国家的额外补偿)。但恢复党籍的过程非常缓慢,特别是在地方省份,当地的许多党组织,仍在老领导的管辖之下。他们当初捏造证据,整肃“人民公敌”,攀爬至高位;如今要承认自己的错误,岂不自找麻烦!1936年,亚历山大·图尔金是彼尔姆作为“托派分子”而受到不公正逮捕的30位布尔什维克之一。当他1956年获得平反的时候,当地媒体就提出给他们恢复党籍的问题,但是尽管有他们的家人的努力,恢复党籍一事还是被党组织压制住了。它的重新浮出水面,是在20世纪80年代的开放政策时期,然而市级领导仍然处处设绊。到1991年苏联自身解体时,这30名布尔什维克当中仍无一人得以恢复党籍。 (894)

    如果没有恢复党籍,前囚犯的平反赔偿便微不足道,很多人干脆谢绝接受。季娜伊达·布舒耶娃在1957年获得平反,领到两个月工资——是以1938年被捕时的币值计算的——以赔偿她在阿克莫林斯克劳改营的8年。她还领到了另外的两个月工资,赔偿其1938年遭到枪决、现因“缺乏证据”而获得平反的丈夫。她用这笔钱买了一件大衣,让两个女儿共用;给儿子买了一套西装;还有一张桌子外带6条板凳,用来布置彼尔姆苏维埃配给的一间屋的住房。 (895)

    奥莉加·阿达莫娃―斯柳兹贝格在1954年为自己和丈夫申请平反,等了两年才收到一份普通的证书,声称她的案件已得到复查,因缺乏证据已告撤销。她写道:“为了这个错误,我付出的代价是20年零41天的生命。”她自己的补偿是两个月工资;她死去的丈夫的补偿也是两个月工资,此外另加上11卢布50戈比,因为丈夫死时身上还持有115卢布。她是在莫斯科最高苏维埃大楼的等候室收到这份证书的,前来领取类似证书的还有另外20名妇女。其中有一名乌克兰老人,被告知她儿子的赔偿金额时,一下子变得歇斯底里:

    乌克兰老妇人开始大叫:“我不要你们的钱来换我儿子的血。你们自己留下吧,凶手!”她撕毁证书,将之掷于地上。

    发放证书的士兵走近她说:“冷静下来,公民。”

    这位老人又叫喊起来:“杀人犯!”并朝他的脸吐唾沫。她在狂怒中竟噎得回不过气来。一位医生带着两名助理,跑进来把她带走。每个人都默默无言,一脸压抑,四下都有努力克制的呜咽声。我发现自己也无法遏制感伤……我回到警察再也不能将我驱走的公寓,没人在家,可以尽情大哭。我哭泣,为我的丈夫,37岁,正是精力和才能的高峰,却死于卢比扬卡的地窖;为我的子女,从小变成孤儿,身为人民公敌的子女,受尽污辱;为我的父母,死于悲伤;为自己20多年所受的酷刑;为活不到平反而长眠于科雷马冻土的朋友。 (896)

    数以百万计的人奔赴劳改营后,一去不返。亲属很少被告知他们的下落,在1953年之后,更面临一个漫长且痛苦的等待:或等他们的归来,或等他们的噩耗。在很多情况下,要给这个等待画上句号,还要等到20世纪80年代的开放政策时期,甚至苏维埃政权崩溃的1991年。

    季娜伊达·布舒耶娃一直不知道丈夫已在1938年遭枪决。直到1992年去世,她仍不知道他是否依旧在世:如已死去,她会为他哀哭;如还活着,只是选择不再回家,她可能认为他一直是有罪的。 (897)

    阿夫纳西娅·博托娃一直相信丈夫可能还活着,直至自己1981年去世。丈夫1937年在附属于彼尔姆火车站的工程车间工作,上班时遭逮捕,被送去巴姆拉戈劳改营。那是专为建造贝加尔―阿穆尔铁路的古拉格综合企业。后来,他又被送去马加丹附近的劳改营。他女儿尼娜在1989年获悉,他在那里筋疲力尽,死于1940年11月。但阿夫纳西娅对此一概不知,只在1941年1月收到丈夫的一张便条:“到目前为止仍然活着,这里的气温是零下50度。”40年来,这张褪色的小纸条支撑着阿夫纳西娅的一线希望:她的丈夫将会回来。 (898)

    直到自己1982年亡故,艾莱娜·切尔卡索娃一直坚信丈夫还活着。丈夫弗谢沃洛德是列宁格勒矿业学院的地质学家,1937年被捕,1938年2月被判处死刑。行刑之前,弗谢沃洛德获准给妻子打电话,告诉她将永远不再见面,但没透露自己行将枪决的消息,只说自己的判决是“无权通信”,这无疑是行刑人的指示。像劳改营囚犯的数百万亲属一样,艾莱娜不知道,“无权通信”就是古拉格中死决的代称。过了1953年,她推测他的刑期应已结束,开始寻觅。她查询了列宁格勒的内务部总部,又写信给莫斯科的苏维埃检察院,但没有任何信息。艾莱娜拜访内务部总部后不久,一位陌生女人来访,自称她与弗谢沃洛德曾在同一劳改营,几年前还见过他,鼓励艾莱娜相信丈夫依然在世。 (899)

    这是内务部的伎俩,用来欺骗遭枪决囚犯的亲属。苏维埃官员想方设法掩盖杀人真相,其主要目的是为了遮掩1937至1938年的大量死亡。他们将其时处决的囚犯的死期,改成后续的年份,通常选在战争年代;并伪造发给亲属的死亡证书,声称那些囚犯死于心脏病发作,或其他疾病,但事实上都是在多年前死于枪决。

    依达·斯拉温娜1955年申请父亲的平反,获得成功,除了平反证书,她还收到了列宁格勒注册局发出的死亡证书,称她父亲死于1939年4月的心脏病发作。依达感到困惑,因为苏维埃当局曾在1945年告诉她,父亲当时还活着。她上访列宁格勒的内务部总部,被告知应以死亡证书为准。10年后,即1965年,她向莫斯科的克格勃询问,得到同样的答复。依达一直相信这个说法,直到1991年她有机会看到父亲在克格勃档案馆的资料,才发现他被捕3个月之后就已被枪决,即1938年2月28日。在档案中,她还发现克格勃1955年的命令:出于“国家安全的原因”,必须误导依达,让她相信父亲死于1939年的心脏病发作。 (900)

    伊琳娜·杜达列娃从不放弃找到丈夫的希望。她丈夫是南部亚速小镇的党委领导,1937年8月30日被捕,10年过去了,一直音信全无。伊琳娜认为他的刑期将满,便开始写信给内务部;还向罗斯托夫地区被捕的其他囚犯的亲属,打听所有劳改营的名字和地址,也一一写信相询。不久,丈夫在亚速小镇的党内同事来访,声称曾在劳改营看到她的丈夫,活得很好。伊琳娜继续向有关当局写信,仍被告知,她的丈夫还活着,还在劳改营服刑,只是“无权通信”。1953年之后,她写得更加频繁,推测丈夫肯定已被释放,因为从没听说超过15年的苦役。她以为会被告知,丈夫的刑期出于某种原因又延长了。最后在1957年,伊琳娜收到证书,说她的丈夫病死于1944年。这是伊琳娜所知道的一切,直到她1974年去世。1995年,她的女儿加林娜查阅克格勃档案中有关父亲的文件,当中注明,他在被捕的当晚被执行枪决。 (901)

    “现在,被捕的人要回来了。两个俄罗斯人,各自注视对方的眼睛。其中一人曾把那些人送去劳改营,另一人则刚刚归来。” (902) 诗人阿赫玛托娃以这些词句,预示一场即将上演的变剧。囚犯们从劳改营返回,遭遇当初举报自己的同事、邻居和朋友。

    1954年,玛丽亚·布德克维奇回到列宁格勒的一套共用公寓,父母带着她和弟弟曾住在这里,直到1937年被捕。他们的两个房间已被隔壁邻居占据,那是一对抚养3个小孩的夫妇,其中的妻子曾与布德克维奇一家非常友好,临到1937年大逮捕时却突施冷箭。她指控玛丽亚的父母是“反革命分子”和“外国间谍”(玛丽亚的父亲是波兰裔),甚至宣称玛丽亚的母亲是把客人带回自家公寓的妓女。到1954年,当年的那个女人已垂垂老矣,身体瘦弱,头披长长的白发,一人独居。她的孩子们已经长大,搬离公寓,她的丈夫1941年被送去劳改营。玛丽亚需要这个女人签署一份文件,证明她一家曾住这里。她最近收到枪决于1937年的父母的平反证书,因此需要这份文件为逮捕时没收的住处和个人财产申请补偿。那女人听到玛丽亚说起自己的名字,脸色一下子变得煞白,她说:“没想到你竟还能回来。”玛丽亚解释访问的目的,保证不会来争夺生活空间。那女人邀请玛丽亚坐下,开始查看需要签署的文件。玛丽亚环顾四周,仍能认出母亲收藏的瓷器、父亲从明斯克带回的皮沙发,还有靠垫、灯具、桌椅。这一切,她从小就很熟悉。那女人签完文件,叫玛丽亚挨着她在沙发上坐下,低声说:“有一件事,我必须告诉你。”那女人告诉玛丽亚,自己丈夫被捕后不久从劳改营写了一封信,她出于恐惧而不敢保留。他在信中说,他的牙齿在审讯中全被打掉,思忖自己活不下去,所以叫她不要等,早早改嫁。她的丈夫再也没能从劳改营回来。她解释,之所以告诉玛丽亚这一切,只是想让玛丽亚明白,她自己也已承受很多苦难,觉得对不起玛丽亚的父母。 (903)

    1948年,尤里·施塔克尔贝格被控属于列宁格勒大学一个“犹太民族主义学生团体”,并遭到逮捕。据称,该团体是反苏的“间谍小圈子”,其组织者兼资助者是一名德国男爵。尤里被指控企图成立一个秘密印刷所,在大学里散布反苏维埃的宣传。这些指控没有根据,仅基于虚幻的编造和4名大学同学签名的举报信。现在看来,他们当初的动机主要是仇外心理,之所以挑上施塔克尔贝格,是因为他的外国姓氏(也有可能知道,尤里的父亲曾因“传播德国宣传”的罪名于1941年12月被捕)。1949年3月,列宁格勒法庭判处尤里25年苦役,把他送去巴姆拉戈劳改营(他的父亲1942年即丧生于此),帮助建造铁路桥梁。1956年,他从高处摔下,身受重伤,作为残疾人而获释。他先是住在卢加城,后来终于回到列宁格勒,在公共图书馆上班。尤里应克格勃的邀请,查看了自己的审判记录,遂得知举报人的名字。他为此一一拜访了那4个同学。尤里回忆:“他们心知肚明,我已知道他们的所作所为。”

    其中一名女生告诉我:即使我现在回来了,但无关紧要,什么都没变,因为我当时是一个混蛋,现在还是一个混蛋……她还说,我应被拉出去枪毙。另一个男的——过去一直是挑衅者,而且举止愚蠢——带我去他的家,给我看大门口一大捆纸。这是寄售的那种,有时会在大商店出售。他说:“如果你想要,自己拿吧。也许,现在正是你开印刷所的好时候。”我笑而不答,但我的脊椎骨直打哆嗦。我真想告诉他,这捆纸尺寸太小,并不适合印刷机,但我一言未发。 (904)

    易卜拉欣·伊兹梅尔―扎德被捕时是巴库医学院的资深医学教授和系主任,1938年被控属于一个“反苏维埃阿塞拜疆民族主义组织”。他从科雷马劳改营获释后,返回巴库城,在同一所医学院做些基层工作。早在20世纪30年代,他从事的是尖端性研究,现在,只是在应付日常的临床工作。1955年,阿塞拜疆前党领导米尔·巴吉罗夫因涉及1938年巴库的大恐怖而接受审判,易卜拉欣充当控方的证人,得以查阅自己的档案。易卜拉欣发现,他最喜爱的学生当时却在悄悄地举报自己,后来官运亨通,升为他现工作部门的负责人。易卜拉欣在科雷马劳改营时,这位学生经常拜访他的妻子和女儿,被当做家庭成员之一。易卜拉欣归来后,这位学生冷淡许多,很少再来,特别是会与他一起坐下聚餐的晚上。他和家人之后因无法躲避,又与这位学生见面数次,虽没挑明,但大家对出卖一事都心照不宣。有一天,医学院的政治部主任来到伊兹梅尔―扎德的家,希望易卜拉欣签署一份文件,说明他家并没心存不满,会继续与这位学生保持友好关系。易卜拉欣拒绝签署,如果没有旁人的劝阻,真想把这位主任赶出家门。他女儿说,易卜拉欣为此受到了极大打击,更羞愧于被迫在这不够格的负责人手下做事。被要求签署这样的文件,无疑成了最后一根稻草。 (905)

    1953年,奥布霍沃村的共青团前负责人科利亚·库兹明,也搬到沃洛格达附近的佩斯托沃小镇。他曾在1930年的集体化运动中指控戈洛温家为“富农”,而戈洛温一家从西伯利亚流放地归来后,也定居于此。指控之前,科利亚是戈洛温家的常客,甚至受雇于尼古拉·戈洛温的皮革作坊。当时,尼古拉可怜这位全村最贫穷人家的少年。斯大林去世后不久,科利亚前来探望,请求尼古拉夫妇宽恕自己,不单指对他的指控,也包括他在尼古拉弟弟被杀一案中的责任。尼古拉和妻子叶夫多基娅笃信宗教,不仅予以原谅,还邀请他搬来佩斯托沃。他们的女儿安东尼娜,此时在列宁格勒附近的科尔皮诺城行医,不赞成父母的慷慨,想说服他们改变主意。她的理由是:“他杀害了伊万[尼古拉的弟弟],摧毁了我们一家。怎可原谅这样的人?”但叶夫多基娅认为:“真正的基督教徒应原谅自己的敌人。”科利亚定居于戈洛温家的隔壁,为过去的行为感到羞耻,经常帮戈洛温家跑腿,试图赎罪。周六,他与尼古拉一起上公共浴池;周日,与尼古拉夫妇一起上教堂。叶夫多基娅于1955年去世,3年后轮到尼古拉,科利亚·库兹明也于1970年去世。他们都埋葬在佩斯托沃的同一块教堂墓地。 (906)

    还有很多前囚犯对当初举报自己的人表示了宽容。但不像戈洛温家那样,他们这种宽恕极少植根于宗教,而是基于一种豁然开朗:几乎任何人,在正常情况下无论有多好,但在内务人民委员会的强压之下,都会变成举报人。所有经历过监狱和劳改营的人,都会有此同感。记者伊琳娜·舍尔巴科娃回忆莫斯科纪念学会(专为受迫害者设立的)在20世纪80年代晚期的一次会议:

    一位大约在1939年被捕的女子,以完全平静的声调对我说:“那边那个男人,曾举报过我。”接着她又若无其事地跟他打招呼。她看到我脸上的困惑,便解释说:“当然,我们当时只有18岁,他父母是受迫害的老布尔什维克。他们[内务人民委员会]也想招募我。当然,他自己之后也受了迫害。”我觉得,她之所以这么说,不是不愿关注过去,或想把它忘却,而是已看透这个制度对人民惯用的可耻伎俩。 (907)

    到20世纪80年代,懂得这一点自然变得较为容易。随着时间的推移,痛苦的回忆逐渐软化,受迫害者了解到更多的历史,对苏维埃制度也有了更客观的认识。不过,避免责怪个人的趋势在20世纪50年代即已明晰。苏维埃的海外流亡者,显然不愿敌视普通的党员干部,因为他们知道,那些人本身也无能为力,兴许自己也是该制度的受害者。 (908)

    并不奇怪,斯大林的囚犯的归来,在有愧于心的人中引起了巨大的恐惧。娜杰日达·曼德尔施塔姆回忆:“所有的杀人犯、挑衅者、举报人都有一个共同特征:他们从没想过,他们的受害者竟然还会归来。”

    他们都以为,被送去另一个世界或劳改营的人,将从地球上永远消失;他们从没想到,那些幽灵还能借尸还魂,来找掘墓人算账。因此,在平反时期,他们变得恐慌失措。他们想着,时光倒流了,那些所谓的“劳改营渣滓”,突然再次披上肉身,启用自己的名字。他们一下掉入恐惧的魔掌之中。

    一个“可怜的女举报人”,不断收到检察官办公室的传唤,要她撤回曾对那些已经亡故和依然活着的人所作过的各项证词。曼德尔施塔姆回忆,每一次传唤之后,她就会跑去她曾举报的家庭,申辩自己“从没说过当事人的坏话,上帝是她的证人。现在去检察官办公室,只是为了帮那些死人说好话,以便他们尽快恢复名誉”。曼德尔施塔姆的结论是:

    那女人从未有过近似于良心的东西,但这也已超过她所能忍受的,她不久便中风,全身瘫痪。在某一时刻,她肯定怕得要死,以致相信这些平反是严肃、认真的,所有的造谣者和其他爪牙都会面临审判。 (909)

    曼德尔施塔姆还讲述了一名内务部高级官员的故事。他任职于塔什干城,斯大林死后,便开始领取退休金,但“偶尔还会受到传唤,去见侥幸从劳改营归来的前受害者”。他实在无法忍受,最后自己上吊而死。曼德尔施塔姆看过他写给中央委员会的自杀信。这位官员写道,他一直在为党努力工作,从没想到:

    自己服务的对象可能不是人民,而是“某种形式的波拿巴主义”。他试图把责任推卸给别人:他所审讯的人签署各式假口供,从而误导办案官员;来自莫斯科的官员迫使自己改用“简化的审讯程序”并完成定罪配额;最后但并非不重要的是,那些举报人自愿提供各式指控,迫使秘密警察对这么多的人采取行动。

    这位内务部官员的自杀受到遮掩,秘而不宣,他在自杀前点了太多官员和举报人的名。但他的女儿,决意要责怪迫使她父亲自杀的人。曼德尔施塔姆指出:

    她的愤怒针对激发这些噩梦的人:“他们应为办事人设想!当时担任官职的人,并没有发起这些迫害,只是在执行上级的命令。” (910)

    自杀的还有另一位斯大林心腹,即酗酒成瘾的亚历山大·法捷耶夫,他曾是作家协会的主管,但在1954年丢掉乌纱帽。他很长一段时间患有抑郁症,斯大林的去世更使他精神错乱。他写信给另一位作协成员:“我的病根不在肝里,而在脑中。”法捷耶夫向西蒙诺夫坦称,作为一名作家,他已“破产”,放弃了自己最后一部小说。那是一部社会主义现实主义的小说,有关党与工业破坏的斗争,以20世纪30年代的审讯资料作为借鉴。他已意识到,如他向朋友所解释的,其道德宗旨是错的,因为工业破坏根本就子虚乌有。他领导下的作家协会,参与了对作家的迫害,法捷耶夫为此而追悔莫及。他在给丘科夫斯基的信中写道:“我竟是这样一个恶棍。”他尤其对老朋友约翰·奥特曼感到歉疚,奥特曼于1955年去世,即他从监狱中释放出来的两年后。法捷耶夫在“反世界主义者”运动中曾举报奥特曼,后者在1949年入狱时,自己又袖手旁观。奥特曼死后,法捷耶夫沉溺于饮酒买醉。他向一个朋友坦承,他批准逮捕了许多明知无辜的作家。 (911)

    1953年后,法捷耶夫试图赎罪,他请愿当局释放那些被送去劳改营的作家,并为他们平反。他给马林科夫和赫鲁晓夫写信,呼吁党放松对文化领域的思想控制,但遭到忽略,后来又被撤职。到1956年,法捷耶夫已成孤家寡人,在文学知识分子的眼中,只是一个顽固守旧的斯大林分子,其帮助受迫害作家的努力却鲜为人知。开枪自杀之前,即1956年5月13日,他曾写信给中央委员会。这封信在1990年之前一直雪藏于共产党档案之中:

    我看不到有生存下去的可能,因为党领导的傲慢无知,摧毁了我奉献一生的[苏维埃]艺术事业……我们最好的作家,由于当权者对犯罪的默许,已被消灭殆尽,或是在巅峰未至前即已殒折……作为一名作家,我的生命已失去所有的意义。灵魂在这邪恶的生存中遭受恶意、谎言、诽谤的蹂躏。我离开这样的人世,只会感到解放和喜悦。 (912)

    到底要做一名优秀的共产党人,还是做一个好人,两者之间的冲突使法捷耶夫悲不自胜。许多受害者都知道他天性善良。但他在斯大林政权中服务多年,所作出的妥协和调和,逐渐摧毁了他的良心、身份,乃至活下去的意愿。 (913)

    西蒙诺夫和儿子阿列克谢,1954年

    尽管法捷耶夫对文学现状态度悲观,苏维埃作家在解冻的初期却发挥了主导作用。由于政权不再对作家行使直接的否决权,文学便成为关注的焦点,既强调个人和私人的生活,又拒绝斯大林官僚的横加干涉。苏维埃作家逃离社会主义现实主义的公众主题和英雄人物,开始努力塑造家庭和社会中的真实人物。那个年头最大胆的虚构作品是爱伦堡的《解冻》(1954年),它有意作出挑衅,仿佛在试探新气象究竟能走多远。这部小说讲述一名专制的工厂主管,即“小斯大林”,变得越来越腐败且惨无人道,为了扩大生产、努力完成五年计划的配额,而挪用职工的住房资金。妻子对他的铁石心肠实在忍无可忍,春季的解冻预示更美好的新生活,使她鼓起勇气离他而去。解冻刚刚开始的1954年,其时的政治气氛还不容许苏维埃读者讨论小说中的反斯大林主义,再说它本身也不甚明显。所以,读者关注那部小说的另一主题,即艺术家的独立,体现在一名画家身上,仅属于次要情节。该画家以制作国家需要的产品,换取舒适的生活,但与不愿向制度妥协的其他画家相比,他承认自己的平庸。

    《解冻》的发表分裂了苏维埃文学界。登载该小说的《新世界》和《旗帜》属自由派,希望它标志着新时代的开端,作家终于可以坦诚相见,与其反映现政权的利益,毋宁发挥塑造私人感性的真正作用。1954年,在莫斯科图书馆有关自己作品的讨论会上,爱伦堡坚持认为,艺术的目的是表达“情感文化”、促进“个人对同胞的理解”。 (914) 苏维埃政府的保守派震惊于这些自由派言论,开始组织一系列针对解冻自由作家的反攻。1954年8月,他们解雇了《新世界》的主编特瓦尔多夫斯基——他是个诗人,也是“富农”的儿子。批判爱伦堡的任务,落到了西蒙诺夫的头上,他取代特瓦尔多夫斯基,接任《新世界》的主编。之所以选择西蒙诺夫,是因为他被视作温和保守派,与索夫罗诺夫那样的斯大林主义强硬派相比,更具权威性。西蒙诺夫在《文学报》的两篇长文中,向《解冻》发起攻击,认为它对苏俄的描写过于黑暗,它的次要情节的结局又过于简单。西蒙诺夫认为,当好一名艺术家和为国家服务,鱼与熊掌,两者可以兼得。 (915)

    西蒙诺夫继续留在斯大林主义的阵营,直到1956年他开始接受改革精神。像生活在斯大林阴影下的许多人一样,西蒙诺夫因斯大林的去世而晕头转向。一开始,克里姆林宫政治的走向很不明朗,也有可能重返大恐怖。在这种不确定气氛中,像西蒙诺夫那样的高官,坚持斯大林逝世前的政治立场来明哲保身,那是合情合理的。西蒙诺夫回忆:“那些年头,我对斯大林的态度不断演变,在各种情感和观点之间左右摇摆。”1953年的大部分时间,他的主要感受是“为损失一个伟人而感到的深切悲痛”。这促使西蒙诺夫在《文学报》的惊人悼词(《作家的神圣职责》)中主张:“苏维埃文学的最高任务,就是为世界上所有国家和子孙后代,描述不朽的斯大林的伟大和天才。”这篇文章激怒了赫鲁晓夫,坚持要把西蒙诺夫调离《文学报》。整个1954年,西蒙诺夫仍忠实于自己的斯大林主义者的出身,在办公桌上放置一张自己特别喜爱的斯大林像:斯大林在凝视伏尔加至顿河的运河——恰恰也是古拉格劳工的纪念碑。斯大林在世时,西蒙诺夫从没在自己办公室或住所里悬挂他的肖像,现在这样做是为了表达对“叛徒”和“野心家”的愤慨。那些人在斯大林活着时高歌自己对领袖的爱戴,等他一死就大加谴责。西蒙诺夫回忆:“促使我[摆放画像]的不是斯大林主义,而是近似于高尚的或知识分子的荣誉的想法。”西蒙诺夫不愿背弃自己的过去,他还在1955年的诗集中收入一首委实可怕的《斯大林颂歌》。它写于1943年,以前一直没有发表,诗中称赞斯大林是人类历史上最伟大的人。 (916)

    西蒙诺夫在批判爱伦堡之后,又向自由派解冻中的其他先锋作家,发起一系列攻击。他在1954年7月《真理报》的重要文章中,谴责文学界对社会主义现实主义传统的排斥,愈益趋向讽刺文学。西蒙诺夫特地点了乌克兰剧作家亚历山大·科尔涅伊奇克的名,批评他放弃了剧院的重要职责,借用西蒙诺夫的界定,即“教育苏维埃人民如何去爱护和珍惜苏维埃制度”。 (917)

    作为《新世界》的主编,西蒙诺夫也反对弗拉基米尔·杜金采夫的爆炸性小说《不是单靠面包》,这份来稿想以连载的形式在《新世界》发表。这是有关发明家的故事,主人公是一名物理教师,致力于改善苏联人民的生活,但由于小腐败和苏维埃官场的低效,他的独具匠心遭到了扼杀和破坏。在西蒙诺夫1956年发表它之前,坚决要求杜金采夫缓和对官僚主义的攻击,因为他担心这部小说可能引发对整个制度的质疑。即使有了西蒙诺夫要求的改动,这本书仍被改革者欢呼为反对当权派的攻坚生力军。该小说的第一次公开讨论,吸引许多人来到作家协会,学生们为了听到辩论甚至攀援水管爬到二楼窗外,最后只好请来骑警驱散人群、维持秩序。 (918)

    《新世界》拒绝发表帕斯捷尔纳克的《日瓦戈医生》,西蒙诺夫对此负有直接责任。1956年9月,他代表该杂志的编委会写信给帕斯捷尔纳克,解释出于政治考虑的反对意见。这部小说以俄国革命和内战为背景,是史诗般的人生戏剧。1958年,苏维埃领导人发起运动,迫使帕斯捷尔纳克拒绝接受诺贝尔文学奖,就反复引用了该信。 [6] 西蒙诺夫对这部小说评价甚低,曾写信给儿子说,这是“一部庸俗主义的作品,既卑鄙,又刻毒,有的地方更是赤裸裸地反苏维埃”。西蒙诺夫的观点是,小说提出的核心问题——俄罗斯知识分子接受1917年10月革命的决定是否正确——在帕斯捷尔纳克的笔下,其答案只能是否定的:知识分子决定跟随布尔什维克,却背叛了自己对俄罗斯人民、俄罗斯文化和人类的职责。在西蒙诺夫看来,这种偏见不仅使之成为一部反苏维埃小说,而且侮辱了整整一代专业人士,包括自己的母亲和继父。他们留在苏俄,为布尔什维克工作,不是出于政治选择,而是因为他们首先是俄罗斯爱国者。 (919)

    随着解冻的深入,赫鲁晓夫的改革者在苏维埃领导阶层占了上风。西蒙诺夫在莫斯科文坛上成了日益孤立的人物。改革的自由精神,与拒绝改变观点的斯大林主义信徒,无法相容。西蒙诺夫在1956年写道:

    主编可以要求删除

    我诗句中的斯大林,

    但无法帮助我赶走

    我灵魂中的斯大林。

    赫鲁晓夫在1956年苏共二十大上发言谴责了斯大林。之后,西蒙诺夫开始驱赶内心的斯大林,过程非常缓慢。 (920)

    赫鲁晓夫的讲话是一道重要的分水岭,在恐怖制度的缓慢消亡过程中,其重要性超过斯大林的去世。自1917年以来,这个恐怖制度一直在统治苏维埃人民。赫鲁晓夫的讲话显示,苏维埃政府终于与斯大林的恐怖统治划清界限,人们的恐惧和对未来的不确定也开始渐渐离去。

    苏共二十大是斯大林去世后的首次大会,1956年2月14日在大克里姆林宫召开。1355名投票代表与会,期待高层领导解释斯大林之后的路线,论定已死领袖的地位。揭露和谴责斯大林的罪行这个决定是由领导集体作出的——但究竟到何程度,曾有激烈的争论。早在2月9日,另一个特别委员会曾就1935到1940年之间的党员迫害,向中央委员会提交调查结果,让高层领导大吃一惊——无论是逮捕和枪决的庞大规模,还是这恐怖浪潮所依托的证据捏造——临到苏共二十大的前夕,才决定在封闭的秘密会议上向大会代表披露真相。讲话文稿是集体起草的,但赫鲁晓夫是披露真相的主要推手,并充任2月25日的发言人。

    赫鲁晓夫的动机很复杂,但仍是勇敢之举,因为其他的党领导人,如卡冈诺维奇、莫洛托夫、伏罗希洛夫,显然都犹豫不决,不愿揭露自己曾扮演重要角色的现政权的罪行。赫鲁晓夫在2月9日的讨论中呼吁采取大胆措施:

    究竟是什么样的领袖,会摧毁每一个人?我们必须勇敢地讲出真相……我们曾与斯大林一起工作,但这并不连累我们。随着真相的浮现,我们必须予以公布。否则,我们就在赞同他的行为……我们可以响亮发言,不以为耻,无需害怕,绝不满足于心胸狭窄的诡辩。

    披露真相也有利于赫鲁晓夫对权力的觊觎。他利用揭露斯大林的罪行,打击或威胁主要的竞争对手,并在欢迎解冻和政治改革的社会群体中,建立起自己的支持基础。但最重要的,像党的其余领导人一样,赫鲁晓夫也许还在担心,如果不公布斯大林的罪行,人民将会接过发言权。在解冻的气氛中,党的批评者将会指责高层领导人人有责。最近刚从劳改营归来的一名党内老同志,向赫鲁晓夫提出警告:“要么,你在即将举行的代表大会上告诉他们;要么,你会发现自己也在接受审查。”赫鲁晓夫的讲话,特地提及这位老同志的证词。赫鲁晓夫给人一个印象:党领导只是在最近,经由2月9日的调查结果,才发现大恐怖的真相。他得以将责任推到斯大林的头上,以“不知情”的理由洗脱其他领导人的嫌疑。为了达到这一目的,赫鲁晓夫为1935年以来党的不公提供了开脱罪责的解释:斯大林个人应负全部责任,其他领导人反而成了他“滔天罪行”的受害者(即使是托洛茨基和布哈林的追随者,也罪不该死)。没有怪罪苏维埃制度的问题——只有“克服个人崇拜”的问题。整个讲话的目的是要重新恢复列宁主义。 (921)

    赫鲁晓夫以保密的需要来结束他的讲话:

    这个议题不得传到党外,更遑论媒体。这就是为何我们要在封闭会议中谈论此事……我们绝不向敌人提供弹药,绝不袒露我们的伤口。我相信,大会代表都明白这一点,都会遵行不悖。

    他发言完毕,会场中一片死寂。大会代表之一亚历山大·雅可夫罗夫——后来成为戈尔巴乔夫开放政策的领军人物——回忆当时的情景:

    我坐在楼座上,记得很清楚,赫鲁晓夫发言之后,把我紧紧攫住的,如果不是绝望,那就是一种深沉的忧虑。大厅中的寂静简直是高深莫测,没有椅子的吱吱嘎嘎,没有咳嗽,没有窃窃私语,没人注视旁人——或出于对刚刚发生的事件的猝不及防,或出于紧张和恐惧……我们都低下头,鱼贯离开会议大厅。

    离开大厅走进玄关的大会代表中就有西蒙诺夫。他站在那里良久,陷入了震撼和混乱,一边吸烟,一边与中央委员会文化顾问伊戈尔·切尔诺乌索夫交谈。切尔诺乌索夫回忆:“我们已知道很多,但真相以如此方式坍塌于眼前,仍被惊得目瞪口呆。这是真相的全部吗?” (922)

    [1] 塔尼娅和弟弟阿列克谢在1978年移居美国后,她立即要求退党——那正是克里姆林宫反对艾莱娜·邦纳和她第二任丈夫安德烈·萨哈罗夫的高潮期。艾莱娜·邦纳1956年入党,1968年苏维埃入侵捷克斯洛伐克之后,她就停止缴纳党费。露丝·邦纳担心孙辈的福利,悄悄地帮她代缴到1972年(根据对艾莱娜·邦纳的采访,波士顿,2006年11月)。

    [2] 玛丽安娜的表姐卡蒂娅·布龙施泰因(娘家姓杰美恩)当年18岁,对此未予证实。

    [3] 加林娜使用母亲的姓氏。

    [4] 她到1989年才发现,丈夫在1937年即遭枪决。

    [5] 图尔金家收到平反证书的同时也获悉,亚历山大被捕几星期后就死于劳改营,时年52岁。

    [6] 《日瓦戈医生》被偷运出苏联,1957年首次出版于意大利,成为国际畅销书。帕斯捷尔纳克获得1958年诺贝尔文学奖,但面临作家协会的压力和苏维埃报刊的民族主义谩骂,被迫拒绝接受。

    第九章 记忆(1956—2006)

    赫鲁晓夫的“秘密讲话”没能保密太久。讲话的一份笔录被印成小册子,发给苏联各地的党组织,在所有工作场所读给共产党人听。苏共二十大之后的数周内,在苏维埃的工厂、办公室、大学、学校聆听该讲话的,有700万党员和1800万共青团员。该讲话也被送到东欧的共产党政府,东德领导人瓦尔特·乌布利希企图遮掩,不让东德人民知道。但波兰领导人将它发表,副本抵达《纽约时报》,登在6月4日的头版,再从西方反馈到东德和苏联的其余民众。 (923)

    该讲话使共产党陷入混乱。苏联各地的党组织发生了激烈讨论,有些党员责怪领导人未能早说,其他党员批评赫鲁晓夫选了个尴尬的时机。1956年6月,中央委员会因担忧广大党员中的异议,发出一个秘密通告,要求当地党领导以清洗甚至监禁的方法,钳制越线的批判。 (924)

    在党外,无畏之士视赫鲁晓夫的讲话为讨论和质疑一切的信号,知识分子率先发言。毕业于莫斯科大学的柳德米拉·阿列克谢耶娃回忆:“苏共二十大结束了我们对苏维埃制度的暗自质疑。”她后来加入持不同政见者的群体,移居美国。

    青年男女开始克服内心的恐惧,分享各自的见解、信息、信仰、疑惑。每天晚上,我们聚在狭小的公寓里背诵诗歌,阅读“非官方”文章,交换各自的故事。这一切揭示了我们国家中发生的真实景况。 (925)

    对许多从古拉格归来的囚犯来说,赫鲁晓夫的讲话打消了他们的恐惧——现在,他们开始说出真相。拉丽莎·莱维娜回忆道:“苏共二十大是我们内心解冻的开始。”她的母亲季娜伊达1956年从流放地返回列宁格勒:

    关于她在劳改营的生活[1937到1946年在科雷马劳改营,1949到1953年在波特马劳改营],母亲几乎一言不发……但苏共二十大之后,她终于开口。相互的交谈越多,我们思想的变化就越大——更持怀疑态度。我们之间的关系也有所改变——家人从母亲的恐惧中解脱出来,相互之间变得更加亲密。 (926)

    斯大林囚犯的子女一直背负“污点履历”的包袱,突然受到鼓舞,可以倾诉自己内心的不平。赫鲁晓夫的讲话传达给工人党员时,安吉丽娜·叶夫谢耶娃正在列宁格勒的兵工厂上班。有人预先通气,她设法不让党干部察觉,偷偷溜进去旁听。宣读结束时,安吉丽娜变得情绪激动,失声呜咽。她回忆:

    没人知道我失态的原委。我有完美的履历表,甚至当选为市苏维埃代表。没人知道我父亲1937年作为人民公敌被捕,我从没泄露给任何人。我总担心他们会查出我的秘密。我听到这个讲话时,觉得自己挣脱了这一恐惧。这就是我哭的原因,实在控制不住自己。从那以后,我开始倾诉过去的真相。 (927)

    利季娅·巴布什金娜的父亲枪决于1938年,在她看来,自己从父亲消失时就怀有的不公正之感,终于在赫鲁晓夫的讲话中得到了官方的确认。1956年之前,她太害怕,即使在母亲和外祖母的面前,也不敢谈论自己的感受。她们自己也对此讳莫如深,主要因为在兵工厂上班,担心自己的污点履历一旦暴露就会遭到解雇。有时,她们的沉默让利季娅父亲的清白产生怀疑。赫鲁晓夫的讲话之后,利季娅不再有如此的困惑。她鼓起勇气,不但向母亲打听父亲被捕一事,而且向同事诉说自己的感受。她在斯摩棱斯克附近一家服装厂工作,有一天晚上,她在工厂宿舍里告诉其他女孩,斯大林才是“真正的人民公敌”,因为他下令逮捕像她父亲那样的无辜公民。其他女孩害怕起来:“小声点,小声点,你这样讲话,他们会把你抓起来!”但利季娅不受劝阻:“让他们来吧。我会响亮、清楚地告诉他们,我只是在重复赫鲁晓夫所说的。让他们听听就会明白,这一切都是事实。” (928)

    但这样的言论仍属罕见。即使在1956年之后,绝大多数普通老百姓仍过于怯懦,他们对斯大林政权仍记忆犹新,不敢作出像利季娅那样的公开批评。对赫鲁晓夫解冻的普遍理解——是一个全国性辩论和政治探索的时期——很大程度上是由笔健的知识分子的回忆录所塑造的,几乎没有代表性。在城市知识分子当中,开放的交谈可能已成为规范,他们利用解冻来直面大恐怖的历史。但对苏维埃大众来说,对塑造他们生活的力量,一头雾水,一无所知,坚忍和沉默仍是应对过去的常见方式。

    1957年,奥萨镇的理发师亚历山德拉·法伊韦索维奇第一次向女儿伊拉伊达讲述自己的被捕,以及在阿尔汉格尔斯克附近的劳改营生活。其时,她仍羁留在劳改营附近。她刚刚收到的平反证书,让她有勇气向伊拉伊达倾诉自己的过去。伊拉伊达回忆她们的交谈:

    她告诉我,她已收到新护照[平反之后的],她的入狱记录全被“抹掉”了,她是无辜的,因此可以开口。但她吐露的只是,我父亲入狱是因为“嘴快”[他被人听到在抱怨商品的短缺]……她入狱是因为他是她的丈夫。她还说,很多人死于劳改营——“他们像苍蝇一样一个个倒下死去”——他们生了病,得不到任何人的照料。“他们把我们当狗一样对待。”这是她所说的一切。

    季娜伊达·布舒耶娃(中)和女儿安吉丽娜、儿子斯拉瓦,1958年

    在之后的25年中,直到她1980年去世,亚历山德拉对自己的被捕和劳改营生涯,再也没向伊拉伊达吐露一个字。每当女儿提出疑问,她只会说:“我有了新护照。我是清白的。” (929)

    季娜伊达·布舒耶娃从来不提劳改营,没有告诉子女她自己或丈夫被捕时的细节。她丈夫枪决于1938年。即使在她生命的最后几年,即20世纪80年代后期,每当有人问起她的过去,季娜伊达就会提高警惕,自我防卫。安吉丽娜回忆:

    在我们家中,没人谈论母亲被捕的原因,或为什么没有父亲,这已是一个封闭的话题。苏共二十大后,我想了解更多,但妈妈总是说“知道得越少,活得越容易”,或是“知道得越多,老得越快”。她有许多这样的表达方式来打断对话。

    娜杰日达的父亲伊格纳蒂·马克西莫夫之墓,奔萨城,1994年

    据她的女儿说,季娜伊达对政治毫无兴趣,“决不允许自己牵涉其中”。她从劳改营带回的恐惧,促使她对苏维埃政权讲的一切,采取“无条件接受”的立场。她看到了宣传与现实之间的矛盾,亲身体验了政权的不公,但像千百万普通苏维埃公民一样,从未“认真反思”所观察到的现实。接受苏维埃的现实是一种应对机制,帮助她活了下来。 (930)

    娜杰日达·马克西莫夫年幼时对自己的家史一无所知。她的父亲是来自诺夫哥罗德地区的农民,曾在列宁格勒当木匠。20世纪20年代,他两次被捕,到1932年娜杰日达3岁时,他再一次被捕,与家人一起流放到阿尔汉格尔斯克。娜杰日达就在那里度过童年,但对家人为何生活在北极圈毫不知情。父亲在1938年又一次短暂入狱(娜杰日达以为他出差了),之后合家搬去奔萨城定居。1946年,娜杰日达入读列宁格勒医学院,后来成为医生。要到母亲去世前不久的1992年,娜杰日达才发现父亲曾多次被捕,以及他曾在监狱、劳改营、“特殊定居地”度过8年。她在报纸上看到父亲的名字,连同祖父和叔叔的名字。那是一份前政治犯的名单,在苏维埃政权崩溃之后获得了死后的平反。娜杰日达让母亲看这份名单,她起初的反应是:“都是陈谷子烂芝麻的事,还提它干嘛?”但在娜杰日达的坚持下,母亲披露了一切。父母本想保护她,不让她知道,她也就没有义务来坦白自己的污点履历。娜杰日达解释:

    我的一生,每次填写表格,在有否亲属受到镇压一栏,我总能填上“无”。我不知道父亲的事,所以问心无愧,毫无焦虑。如果我知道,又强迫自己撒谎,就会顾虑重重。我敢肯定,这就是我一直没遇上麻烦的原因。

    塔玛拉和母亲卡帕托莉娜,1948年

    她的父母即使在1956年之后仍保持沉默。他们仍然认为,把自己的过去告诉女儿,万一她又转述给朋友,万一政治环境骤变,那岂不太危险了!因此,如她自己所承认的,娜杰日达在63岁之前很少关注斯大林政权的受害者——未受大恐怖影响的其他苏维埃公民,毫无疑问也会有这种冷漠。反思自己在20世纪30年代和40年代的生活,娜杰日达回忆道:

    我听说过镇压,但没留下任何印象。例如,1946年,我们在奔萨地区的邻村发生了大规模逮捕,但不知何故,没来碰我们。我不理解,甚至也不想去弄懂到底发生了什么……今天,我发现很难解释得通——在这些事件发生的同时,自己的生活却自成轨迹,丝毫不受影响。不知怎的,我做到了避而远之。 (931)

    塔玛拉·特鲁比娜50多年没有找到父亲的下落。母亲卡帕托莉娜所能提供的是,他作为志愿工前往远东的建设工地,一去不返,销声匿迹了。1935年遇见工程师康斯坦丁时,卡帕托莉娜是个年轻的医生,受共青团的委派来到符拉迪沃斯托克附近的小镇苏城,在古拉格管理机构工作。而康斯坦丁是囚犯劳工,在附属于古拉格的建设工地上班。1938年,康斯坦丁被捕,卡帕托莉娜不清楚丈夫的下落,只知道他被送去远北建设托拉斯的某个劳改营,位于西伯利亚的东北部。卡帕托莉娜把年幼的塔玛拉留给在彼尔姆的母亲,自己返回科雷马劳改营,继续医生的工作。她与康斯坦丁的婚姻尚未登记,又继续使用娘家的姓氏,所以好几年得以隐瞒自己的污点履历。最终她工作部门的古拉格指挥官查出她与康斯坦丁的瓜葛,但劳改营的医生人手紧缺,遂决定为卡帕托莉娜保密。30年来,卡帕托莉娜继续在内务人民委员会和内务部担任医生,在1965年退休之前,最终晋升为克格勃医疗部门的上校。她一直怀抱希望,在科雷马劳改营巡回诊病时可能会找到康斯坦丁,或得到他的信息。她觉得,帮助像他那样的囚犯,如她所解释的,至少还可与失去的丈夫保持间接的联系。然而在1956年,她被告知真相:康斯坦丁已于1938年11月遭枪决。

    将近20年,卡帕托莉娜生活在持续的恐惧之中,担心自己的同事会发现她丈夫是“人民公敌”,甚至害怕与家人谈及康斯坦丁。因此,他已遭枪决的新信息——她视之为他可能犯了重罪的证据——使她性格更加孤僻,沉默寡言。尽管女儿询问得越来越频繁,她仍只字不提。塔玛拉回忆:

    妈妈从不提及父亲,但保留了他所有的来信[20世纪30年代的],还有几份电报,只是从不让我看。她总是把谈话引向其他话题,只会说:“我不知道他做了什么。”最多再添上一句:“使他陷入困境的,也许是他的舌头。”

    塔玛拉的母亲死于1992年。之后,身为克格勃高级官员的舅舅,让塔玛拉写信给他在符拉迪沃斯托克的同事,询问有关康斯坦丁的信息。她收到的答复是,父亲属于一个“托派组织”,枪决于1938年,但没提及他在劳改营的监禁。于是,如同母亲所告诉她的,她仍认为康斯坦丁是一名奔赴远东的志愿工,他失宠于苏维埃当局只是1938年的事。2004年,塔玛拉在彼尔姆为本书接受采访时,才获悉整个故事的来龙去脉。她看到文件,证明父亲是古拉格一名长期囚犯,她起初仍拒绝相信,坚持认为其中有错。因为在心态上,她不愿把自己视为苏维埃制度的“受害者”。在现实中,她是个教师,享有成功的职业生涯,视自己为苏维埃机构的一员。塔玛拉承认,她也许应将自己的成功归功于母亲的沉默,如果她知道父亲的真相,可能会在争取前途时犹豫不决。 (932)

    在所有的极权主义社会,压抑自己的创痛记忆,已被广泛视作受迫害者的心理自卫。但在苏联,斯大林的受害者更有特殊的原因来忘却过去。例如,没人知道赫鲁晓夫的解冻能够持续多久,很快回到镇压也有可能。事实上,解冻是短暂和有限的。在整个赫鲁晓夫时期,现政权让大家明白,对斯大林迫害的讨论不可导向对整个苏维埃制度的批评。即使在20世纪60年代初,即赫鲁晓夫解冻的高潮期——其时,斯大林的遗体被从列宁陵墓移出;像卡冈诺维奇、莫洛托夫、马林科夫那样的斯大林强硬派,被开除党籍;索尔仁尼琴有关古拉格的《伊凡·杰尼索维奇的一天》(1962年)的出版,使对斯大林政权的评价发生了根本变化——对数百万已死或遭到迫害的人士,仍然没有官方的承认、公共纪念碑、政府道歉及适当的赔偿。就是对受迫害者的平反,也进行得非常勉强。

    1964年,列昂尼德·勃列日涅夫取代了赫鲁晓夫,解冻时期的相对宽松戛然而止,审查制度变严。在苏维埃胜利20周年之际,斯大林作为“伟大的战争领袖”的荣誉得到恢复,独裁者的半身塑像又出现于克里姆林宫墙附近的他的坟墓旁。1966年2月,地下出版物作家尤里·丹尼尔和安德烈·西尼亚夫斯基,上了做秀审判的被告席。为此而组织起来的抗议,催生了“持不同政见者”运动,却受到了勃列日涅夫的钳制。向异见分子发起新的迫害,是阻止讨论斯大林罪行的强大威慑。数以百万计的人对斯大林政权记忆犹新,本有可能认真评判苏维埃制度,如今只能按兵不动。他们害怕给人留下自己同情异见分子的印象,而后者一再谈及斯大林的罪行,变成了反对勃列日涅夫政权的另一种形式。人们再一次压制自己的记忆——拒绝谈论过去——在表面上加入苏维埃忠诚而沉默的大多数。

    在斯大林的前囚犯当中,再次被捕的威胁确实存在,这足以保证1956年之后几十年的噤声。大恐怖的结束可能拔掉了克格勃的獠牙,但它仍有诸多严酷的惩罚手段,其无处不在的监控能力,更给敢想敢说敢做的人带来恐惧,因为他们的行事方式随时可被视作反苏维埃。

    伊娜·盖斯特1977年在莫斯科的茨韦特梅塔夫托马蒂卡实验室担任工程师,她接到克格勃特工的电话,请她去卢比扬卡。伊娜回忆:“不用说,我开始全身发抖,脑筋也完全不好使了。”她立刻回想起自己在1949年4月的被捕,当时她在莫斯科大学作论文答辩,也以类似的方式受到传唤。她还想起妹妹在1949年6月的被捕,以及1937年自己12岁时父母被捕的景况。伊娜随即回答,她恰好在做实验,不能马上就去。克格勃官员告诉她,将在半小时后再来电话。伊娜马上疯狂地打电话给朋友,一是要警告他们,他们可能也会受到传唤,二是万一她回不了家,好让他们知道她去了哪里。克格勃的电话又响了,但伊娜仍拒绝去卢比扬卡。因此,该官员开始在电话上问起她与列夫·科佩列夫的交往。科佩列夫是古拉格前囚犯、异见分子、作家,很快将被苏联政府驱逐出境。科佩列夫认识数百名莫斯科人,伊娜只是其中之一,他还在她的房子里开过朗诵会。不知何故,克格勃发现此事,也许窃听了她的电话,更可能是朗诵会中混有举报人。伊娜吓坏了,接下来的几天中,随时准备被捕。她担心克格勃的搜查,将保存在自己公寓的异见分子的文学作品统统扔掉,也取消了新的朗诵会。伊娜没有被捕,这起事件并无进一步的发展。但这个电话激起了她痛苦的回忆,所留下的焦虑和恐惧搅扰她多年。伊娜反思:“我的一生,一直挣扎于这种恐惧之中,总是很怕。”恫吓她的到底是什么,很难说。她解释:“这不是具体的东西,更像是一种自卑,一种模糊的缺陷。”

    斯大林的前囚犯广泛带有这种焦虑。季娜伊达·布舒耶娃就生活在不断的焦虑之中,甚至在20世纪60年代和70年代,依然一直担心自己再次被捕。直到1981年,她收到新护照,上面没有她曾在劳改营的标记,她的恐惧才开始退却。即便如此,据她女儿所说,她“一生都在担忧恐怖的回潮,直到她死去那天”。玛丽亚·维特克维奇1945年被捕,在诺里尔斯克劳改营待了10年,迄今仍然害怕。她解释说:“我无法摆脱恐惧。”

    我成年后一直深感恐惧,现在[2004年]会感受到,临死那天也会感受到。即使现在,恐怕还有人在跟踪我。50年前我获得平反,我没做过任何丑事。宪法说,他们不能干涉我的私生活,但我还是害怕。我知道他们有足够的资料可以把我再次带走。

    斯韦特兰娜·布龙施泰因1952年被判刑10年,在维亚特卡劳改营度过3年,1955年获释,迄今仍会做关于劳改营的噩梦。她如有精力填写文件、在美国大使馆门口排长队,早就会尝试移居美国。她相信她的恐惧会在那里消失。

    斯大林的大多数受害者遭受威胁,被迫沉寂,坚忍地压抑自己伤痕累累的记忆和情感。瓦尔拉姆·沙拉莫夫在《科雷马故事》中写道:“人们用遗忘的本事来谋求生存。”曾吃尽苦头的人不愿谈论自己的生活,很少哭泣。伊娜·盖斯特深思道:“迄至今日,我都不会哭泣。斯大林的时代,大家都不哭。从那时起,我的内心一直保留禁止自己哭泣的决心。”

    这种坚忍引起众多历史学家的注意。英国历史学家凯瑟琳·梅里戴尔在有关苏俄的死亡和记忆的书中提到,俄罗斯人已习惯于压抑自己的情感,避而不谈身受的苦难——不是无意识的回避(否认),而是有意识的战略或应对机制——人们可能会思忖:“心理创伤的概念真与俄罗斯人的大脑毫不相干,只是外来的异想天开,就像进口机器,一遇上西伯利亚的严冬酷寒就会失灵。”

    精神病学认为,开口说话对创伤的受害者颇有疗效,而受到压抑的情绪只会延续创伤、愤怒和恐惧。 沉默持续得越久,这些受害者越有可能觉得自己已被秘而不宣的记忆围困了,压垮了。坚忍可能有助于人们的生存,但也会使他们被动认命。造就一个坚忍、被动已成规范的社会,就是斯大林的持久成就。

    在坚忍或认命方面,没人能超过尼古拉·利列耶夫。尼古拉出生于1921年,18岁被红军征召入伍,1941年当了德军俘虏;作为囚犯,他先在爱沙尼亚的一个农场工作,后来又进过德国各个矿区和工厂。1945年,尼古拉返回苏联,被捕后获刑10年,被送去科米劳改营。尼古拉1955年获释,但不准回到家乡列宁格勒,于是定居于卢加,直到1964年。他在2002年写下回忆录《不幸者活不下去》,以下面这段开场白拉开序幕。他坚称,其中没有丝毫的讽刺和黑色幽默:

    我一直非常幸运,特别在我人生的困难时期。我很幸运,父亲没有被捕;学校教师待我不错;没有参与芬兰战争;从未中弹;铁窗生涯中最艰难的一年是在爱沙尼亚度过的;没有死于在德国挖矿;被苏维埃当局逮捕时,没因当逃兵而遭到枪决;审讯时没受酷刑;没有死在前往劳改营的押送队列中,尽管我身高1.8米,体重只有48公斤;我在苏维埃劳改营时,古拉格恐怖已在减少。我不因自己的经历而感到辛酸,我已学会接受既有的生活。

    1956年,西蒙诺夫与女演员瓦伦蒂娜·谢罗娃离婚,娶了第4任妻子拉丽莎·扎多娃——当时已怀了他的孩子。拉丽莎是艺术史学者,其父亲是苏维埃陆军司令部的第二把手。她嫁给第一任丈夫、诗人谢苗·格鲁津科时,父亲就曾大发雷霆;谢苗死于1953年。当她宣布将嫁给西蒙诺夫时,父亲扬言要把她和她的3岁女儿逐出家门(“一个诗人还不够吗?”)。拉丽莎是个认真严肃的女人,与瓦伦蒂娜相比,比较冷静。她负责西蒙诺夫的私人生活,成为他的亲密伴侣,但激发不出他的浪漫诗兴。 (939) 也许,他现在只想追求生活中的秩序和宁静。

    与瓦伦蒂娜的分手,像西蒙诺夫与她的其他关系一样,动荡不定,风起云涌。他们的女儿玛莎(玛丽亚)出生于1950年,之后,两人的关系开始分崩离析。向来是借酒浇愁的瓦伦蒂娜,已变成慢性的酒精中毒者,她的美貌褪色,她的剧场生涯持续低落。她在马里剧院招惹的一系列丑闻,数次受到当局的训斥,最后在1952年被解雇。瓦伦蒂娜的行为让西蒙诺夫颇为尴尬,他当时在反犹太人运动中,正承受斯大林强硬派愈益增强的压力。西蒙诺夫与瓦伦蒂娜不断争吵,她的酗酒和火暴脾气更加厉害,因为她觉得他正在准备离她而去。1954年,他搬出高尔基大街的公寓,瓦伦蒂娜已知道他与拉丽莎的交往。为了挽救婚姻,西蒙诺夫在莫斯科苏维埃剧院,为瓦伦蒂娜觅得一出戏的主要角色,并承诺如果她能“振作起来”,他会回到她的身边。但瓦伦蒂娜已做不到这一点,他也肯定清楚。她是病人,需要帮助。

    1956年的春天,西蒙诺夫终于决定与瓦伦蒂娜离婚,因为拉丽莎告诉他,她怀了孕。他如果拒绝与她结婚,就会承受另一桩丑闻,但瓦伦蒂娜不想离婚。像他们的许多朋友一样,她认为自己在最需要支持的时候,却遭到丈夫的背弃。这也许并不公平。在苏联,对酒精中毒的了解甚少,酗酒往往被称作俄罗斯民族性格的一部分。如果没有医学上的治疗,西蒙诺夫根本帮不上忙。瓦伦蒂娜陷入绝望,喝得更凶,结果只好住院。恰好在此时,离婚获得法律的批准,瓦伦蒂娜因此而精神崩溃。在随后的4年中,她5次被迫住入精神病医院。这一阶段的大部分时间,玛莎只好与瓦伦蒂娜的母亲住一起。这位小女孩因酗酒的母亲和父亲的缺失而深受困扰。 (940)

    1960年,瓦伦蒂娜所住医院的精神科主治医生季娜伊达·辛克维奇写信给西蒙诺夫,指责他造成了瓦伦蒂娜的精神崩溃:

    瓦伦蒂娜·瓦西列夫娜将自己完全奉献给了你……她人生的方方面面都在你的手中——她作为女人的自尊、她作为戏剧和电影演员的事业、她的成功和名利、她的家人和朋友、她的孩子、她的物质财富……然后你出走了。你的离去摧毁了一切!她失去所有的信心、她与剧场和电影界的关系、她的朋友和家人、她的自尊……酒是她唯一拥有的,唯一可依靠的,但没有你,却成了对现实的逃避。

    西蒙诺夫在1969年回顾这些事件,在写给卡蒂娅(拉丽莎第一次婚姻的16岁女儿,自1956年以后一直与西蒙诺夫一起生活)的信中承认,与瓦伦蒂娜离婚时,他对酗酒的妻子已“没有一丝一毫的尊重,更不用说友谊了”,他唯一的“遗憾”是没在“多年之前”就离她而去,为此只能责备自己。 (941)

    西蒙诺夫始终拥有这种冷酷和理性的能力,如果自己不赞成某人,或核算下来某人已没有用处,就会将其人逐出他的生活。20世纪30年代和40年代,政治忠诚被认为高于个人忠诚,西蒙诺夫曾切断许多关系。出于这个原因,1956年之后,他的苦心钻营反过来困扰他时,他的身边也无亲密的朋友。也许这表明,在公众生活中充当斯大林主义者,又不让该制度的道德伦理影响个人关系,无疑是在缘木求鱼。

    西蒙诺夫离婚后,有意识地在生活中铲除一切与瓦伦蒂娜的关联——尽管他在金钱上继续帮她,直到她1975年去世。他买了新公寓和乡间别墅,把女儿玛莎排除在其他家人之外,遇上生日聚会、家庭纪念日、读书会或电影酒会,从不邀请她参加。他在1969年写信给卡蒂娅,解释为何她与玛莎最好各奔前程,因为卡蒂娅要求知道为何她不能与玛莎见面。 [1]

    今有一名19岁女孩[玛莎],由母亲带大,其习以为常的看法和规则,与我的大相径庭——因此,她虽有我的姓,但在精神上却同外人一般。我并不把她当做我生活的一部分。多年来,我倾注很多的时间和精力,确保她基本上有个正常生活。这几乎是无法完成的任务,因为她与母亲一起生活。后者20多年来酗酒成性,治愈了再喝,喝了再治。

    我从没想要你去认识这个女孩,或跟她见面,或者与她发生任何关系,因为这会使得她和你都很不愉快。我并不认为你现在有理由去认识她,你俩都不需要。生活中会有作出困难决定的时候,一个人必须承担责任,做他认为是正确的,而不是把负担转嫁给他人。 (942)

    要到20世纪70年代,西蒙诺夫对玛莎的态度才开始软化,之后,她才现身于各式家庭活动。

    对西蒙诺夫来说,与拉丽莎的婚姻和他们的女儿亚历山德拉的出生,意味着新生活的开始。西蒙诺夫1957年3月写信给儿子阿列克谢说:“至于你的妹妹,她今天已出世8周了。”

    她正在褪去暗色,慢慢变得红润起来——我们对她的期望是:她会很坚强,对生活有健全的认知;她会以一个人应该的方式走路、吃饭、说话——总之,她会有所成就并具备良好的品行。

    他的家庭幸福正值赫鲁晓夫的解冻时期。对西蒙诺夫来说,1956年的变更代表一种精神解脱,尽管一开始他对否定斯大林仍有保留意见。阿列克谢回忆,1956年后:

    父亲变得更加轻松愉快,不再因工作而不堪重负、压力重重。他的双手一直患有神经性皮肤病,我从小就记得,现在得以恢复正常。政治上的解冻似乎融化了他的心,他对亲近的人更加周到热情,因此开启了新生。 (943)

    1957年8月,拉斯金一家在莫斯科一个餐厅设宴庆祝塞缪尔和贝尔塔的金婚纪念日。庆祝活动是塞缪尔的侄子鲍里斯·拉斯金安排的,他是一个著名的幽默讽刺作家。打印出来的请帖和餐厅里的装饰,都是嘲讽性的苏维埃宣传口号,譬如“50年的幸福——轻而易举的负担!”“你们的家庭联盟是一所共产主义大学校!”西蒙诺夫虽不赞成嘲弄苏维埃政权的笑话,但也参与了庆祝活动,还分担了费用。1956年之后,西蒙诺夫改善了与拉斯金一家的关系。他与热尼娅保持朋友关系,向她提供经济上的帮助,并常听取她在文学事务上的意见。西蒙诺夫还把经手的诗歌和散文的稿件,转送给时任解冻期刊《莫斯科》编辑的热尼娅,以推进她的职业生涯。 [2] 西蒙诺夫对前妻的关注,可能有内疚的因素。他逐渐接受解冻精神,如果将自己在苏维埃文学界的作用与热尼娅的相比——她帮助发表异见作家的作品,是地下出版物的无畏拥护者——肯定会在道德上感到困扰。1964年的一个晚上,家人和朋友聚在莫斯科北部的机场地铁站附近热尼娅的新公寓,为她庆祝50岁寿辰,有些作家朗诵了特地为她而作的诗歌。现场的氛围是温暖幽默的,充满了对热尼娅的爱戴。西蒙诺夫作了一次尴尬的发言,拖沓冗长;面对一屋子钦佩她的道德勇气、宽宏大度、舍身相助的作家,他明显变得颇不自在。7岁的女儿亚历山德拉反成了他的救星,她走进房间,朝西蒙诺夫奔来。他一把抓住她,叫她“赶快祝贺热尼娅阿姨”。亚历山德拉接过麦克风:“亲爱的热尼娅阿姨,50岁生日快乐,快叫阿廖沙[阿列克谢]剃掉胡子!” (944)

    就阿列克谢而言,解冻标志了自己与西蒙诺夫的新关系的开始。1956年,16岁男孩写信给父亲,谈到以往的隔阂(他与瓦伦蒂娜住一起时),并希望将来能走得更近:

    我信任你,不只是把你当做父亲,也当做优秀、睿智、值得尊敬的老朋友。这种信念是我力量的源泉,而且,假如能帮到你,哪怕只有一点点,我也会很高兴。请记住,你的儿子虽然很年轻,也不强壮,但会永远支持你……我们很少谈及你的私生活——我想只有一次……在你的房子里,我从来没有自由自在的感觉——并没有明显的原因。只是,如果你“外出”,有些谈话我就觉得很难应对。如果你不在,我就避免上你家。我与玛莎的关系也很麻烦——我不能把她当做妹妹……现在,这都无关紧要了。我觉得,事情会有所不同。你变得更加平和,更加愉快,这太好了。我相信,我会成为你新妻子的朋友——她给我的感觉已经很好,我们将变得更加亲密。父亲,我在你的屋子里,将不再是一个客人。 (945)

    1956年夏天,16岁的阿列克谢完成了学业,在父亲的鼓励下,他加入科学考察团,前往西伯利亚东部的雅库茨克地区。就阿列克谢而言,远征是为了证明自己已是个男子汉。父亲曾在相仿的年纪离开学校,开始在工厂上班,这成了他的榜样。阿列克谢在第一封给母亲的家书中写道:“告诉爸爸,我不会让他失望的。”他在给父亲的信中,将自己的远征比作第一个五年计划时父亲在工厂的“人生大学”。西蒙诺夫的回信送来阿列克谢之前从未见过的温情和随意。西蒙诺夫在阿列克谢一生都会珍惜的一封信中写道:

    在这类信件中,父亲通常会给儿子忠告。一般来讲,我并不想这样做——但在你冬季远征之前,我确有一条忠告。毫无疑问,你可能听说过,或从我相关的写作中想象得到,我在战争期间并不怯懦。这里是我想要对你说的:根据我对人类尊严的理解,以及自己作为男人的骄傲,我做了自己应做的。但请记住,如果你现在满意于拥有一个鲜蹦活跳的父亲,而不只是一块墓碑或某种回忆,那是因为我从不冒愚蠢的风险。在所有真正危险的情况下,我从不逃离,但我非常仔细、克制、小心。你应该很清楚,我为何告诉你这一点……

    现在,我的朋友,我必须赶去作家协会,告诉年轻作家该写什么,不该写什么——同时,你可帮我添加脱漏的标点,改正我的语法错误。好吗?

    吻你,我可爱的小子,捏你的小爪子。父亲。1956年8月31日。 (946)

    阿列克谢和康斯坦丁·西蒙诺夫,1967年

    9月,西蒙诺夫在雅库茨克地区与阿列克谢团聚了三天,享受原始环境和远征队的同志友情,使他忆起自己在战争时期的生活(热尼娅向阿列克谢解释:“他非常高兴,因为他仍可背上背包,踏上征途”)。人生中第一次,他与儿子一起坐在篝火旁,边喝酒边谈自己的生活、对政治的见解、对未来的憧憬。西蒙诺夫在文学界感到孤独,反而在儿子身上,找到了一个知己和忠实支持者。热尼娅遇见归来的西蒙诺夫后,写信给阿列克谢:“他对你的各方面都洋洋得意,满意你的成长,无论是体格上,还是精神上。他还满意伙伴们对你的评价看法。”至于阿列克谢,他从没见过父亲如此开心和兴奋:“他滔滔不绝地谈苏共二十大、他的新家庭、他的女儿、他的新房子、他的新小说《生者与死者》。在他看来,他完全可以脱胎换骨,过全新的生活。”在雅库茨克地区的三天中,阿列克谢爱上了西蒙诺夫。这些年来想象的父亲终于成为现实,与父亲的新关系更给自己带来了独立和成熟,自己也取得了蒸蒸日上的发展。他从雅库茨克地区给西蒙诺夫写信,解释自己对文学和人生的看法,并以成人的口吻征询父亲的意见。他在1957年2月写道:“我对将临的见面满怀期待,我有这么多东西要告诉你、询问你,光靠写信是不够的。” (947)

    但阿列克谢与父亲的亲近关系持续时间很短。他们在雅库茨克地区取得的亲密无间,无法在莫斯科重演,西蒙诺夫根本就没时间,把父子隔开的是政治。解冻的民主精神征服了阿列克谢,但他的父亲即使不算全然反对,也仍持怀疑态度。阿列克谢太年轻,在政治上太不成熟,以致无法对父亲的政治观念提出清晰的反对意见。例如,克里姆林宫在1956年血腥镇压匈牙利起义时,他便没有什么真正的思考,他的父亲则支持派遣坦克,去镇压布达佩斯的反苏示威。然而,阿列克谢怀抱潜在的抗议意识,也许与拉斯金家庭的历史有关。阿列克谢在1956年申请第一本护照,在每个苏维埃公民都要填写的民族一栏上,尽管有资格填报父系的俄罗斯人,他却决意要用母系的“犹太人”,这将使他的生活变得非常困难。多亏了拉斯金家人协调一致的努力——尤其是塞缪尔和贝尔塔的坚持——才劝服他打消这个念头。在阿列克谢看来,认同自己的犹太出身是持不同政见的自觉行为,故意扬弃苏维埃政权的价值观。他在其他事物上的见解,也流露出同样的态度。他厌恶共青团的虚假和伪善,深受杜金采夫《不是单靠面包》打动,那是一部猛烈攻击苏维埃官场的小说。阿列克谢还写信给作者,直言那是天才作品,又是苏联政治改革所急需的。他的信尾签名用了继祖父的姓(“阿列克谢·伊万尼谢夫”),而不是父亲的姓,以免牵涉父亲。西蒙诺夫批评该小说容易引发反苏维埃情绪,在它于《新世界》发表之前,迫使杜金采夫缓和了对官僚主义的攻击。对解冻的改革派精神,西蒙诺夫的谨慎态度远远超过儿子。1957年2月,他写信给阿列克谢:“如果往后退一步,看看我们的国家和人们的精神面貌,可以毫不夸张地说,自1953年以来,我们已取得巨大进步。但是,如果有作家认为,有责任挑起不必要的叛乱,那我对他没有任何的同情。” (948)

    西蒙诺夫自己的去斯大林化,进展得十分缓慢。苏共二十大的真相披露,使他既兴奋又震撼,过了好长一段时间才予以接受。对于西蒙诺夫而言,斯大林政权的道德考验在于其在战争中的表现。他在创作伟大的战争小说《生者与死者》(1959年)时,就开始面对战争所提出的道德问题,即该政权对生命的肆意糟蹋。这部小说涉及许多从未见于公众讨论的问题:大恐怖对军事指挥的巨大破坏,战争初期席卷苏联的混乱和困惑,互不信任的气氛,不称职军官白白牺牲了众多生命等。西蒙诺夫凭借自己的日记和战争记忆,通过一系列生动场景重现战争历史,其中的官兵面对各种障碍,想方设法应付突发事件,以履行自己的职责。他展现了人们因战争经验而改变,在敌人面前变得更加坚强团结,暗示这种个人精神就是苏维埃胜利的根本原因。以前,西蒙诺夫一直把斯大林的领导当做战争的关键因素。但在《生者与死者》中,他开始重新评估斯大林的作用,逐渐转向民粹主义的观念——他将在生命的最后岁月作进一步的阐述——赢得战争的是苏维埃人民,尽管有斯大林的欠缺,仍然完成了这一艰巨任务。如西蒙诺夫所揭示的,斯大林在军界的腥风血雨,造成了混乱和不信任,直接导致了1941年的军事灾难;像他小说中主人公那样的普通人,却以爱国主义精神和主观能动性,扭转乾坤,转败为胜。西蒙诺夫曾在日记中触及这一类想法,那些从1941到1945年的日记,充满了对战争的观察。1953年之前,他也与朋友讨论过,包括作家拉扎尔·拉扎列夫。但西蒙诺夫1960年在伏龙芝军事学院的文学之夜承认,他“缺乏足够的公民勇气,不敢在斯大林在世时公布这些想法”。 (949)

    对斯大林,西蒙诺夫一生都有一种感情依附。他自己的历史和身份,与斯大林政权紧密相连,以致无法彻底否定斯大林的遗产。出于这个原因,西蒙诺夫也无法全心全意地拥护赫鲁晓夫的解冻——在他眼中,这似乎是对斯大林的背叛,不管是作为个人还是作为领袖,同样也是对自己过去的背叛。他无法否定自己,也就无法否定斯大林。即使在赫鲁晓夫解冻的高潮,西蒙诺夫仍坚持斯大林专政的多项教条。1956年的匈牙利危机中,他就坚持强硬派立场。西蒙诺夫1957年从加尔各答写信给阿列克谢说:“数千人丧生于匈牙利事件,但英国在印巴分治中洒下更多鲜血,而且不是为了人民的利益[西蒙诺夫认为,这是苏维埃在布达佩斯采取行动的动机],而是为了挑起宗教仇恨和叛乱。” (950)

    1956年之后,西蒙诺夫在自由改革派的眼中,是一名顽固守旧的斯大林主义者,但在顽固斯大林主义者的眼中,又是一名危险的自由主义者。但实际上,在整个赫鲁晓夫时期,他只是一名温和的保守派。他承认斯大林的错误,看到适度的政治改革的必要,但他继续捍卫斯大林在20世纪30年代和40年代创建的苏维埃制度,视之为人类进步的唯一坚实基础。他在给阿列克谢的信中说:“我们在通向共产主义的道路上犯了错误,但在承认错误的同时,不应动摇我们的信念:我们的共产主义原则仍是正确的。” (951)

    勃列日涅夫在1964年上台,西蒙诺夫温和的保守主义获得了官方的青睐。赫鲁晓夫的去斯大林化政策逐步被逆转,克里姆林宫反对任何真正的政治改革,不管是在苏联,还是在华沙条约组织国家。从20世纪60年代中期起,西蒙诺夫成为苏维埃文学当权派中的元老。他的著作获得广泛出版,并在苏维埃学校和大学中列作标准的课外读物。他经常出现于苏维埃媒体,并作为苏维埃文学的官方代表而周游世界。即使以苏维埃精英的标准看,他都是在享受特权生活。

    1970年5月9日,即苏维埃1945年胜利的25周年,西蒙诺夫接受《社会主义工业报》的记者采访,澄清自己对战争结束以来苏维埃历史的立场:

    我花了很多时间学习伟大的卫国战争的历史。我现在所知道的大大超过我在战争刚结束时所了解的。当然,我的理解也发生了很多变化。但我的主要感觉是,我们当年的事业是正义的。今天,你周游全国看到各地的建设,看到已完成的和正在做的,就会有这种感觉。在战争中,条件非常艰苦,许多人丧失生命,我们的人民承担了必须作出的牺牲。假如他们在那个艰难奋斗中失败了,我们的国家就不会是今天的模样,就不会有其他的社会主义国家,就不会有反殖民统治、争取独立和自由的世界斗争。所有这一切,之所以成为可能,全靠我们的胜利。 (952)

    对西蒙诺夫那一代人来说,战争是他们人生中具有决定性的事件。他们大约出生于1917年大革命时代,在20世纪30年代渐趋成年,基本价值观全由斯大林政权所塑成,在勃列日涅夫时代陆续退休。到20世纪60年代和70年代,他们怀念战争年代,视之为自己青春时代的顶峰。那时讲的是同志友爱、同甘苦共患难;那时的“人品变得更好”,因为大家必须互助互信;那时的生命有更大的目标和意义,因为在他们眼中,国家的命运似乎取决于他们对战争的个人贡献。这些老兵把战争岁月当做齐心协力取得伟大成就的时期,大家都为胜利作出巨大牺牲。他们回顾1945年,视之为苏维埃历史和记忆中几近神圣的时空存在,借用老兵兼作家康德拉季耶夫的话即是:

    对于我们这一代人而言,毫无疑问,战争是我们人生中最重要的事件。这也是我们今天的认识。因此,我们不愿以任何方式来贬低我们的人民在那可怕、艰苦、难忘的岁月中的伟大成就。我们对所有阵亡的士兵的记忆如此神圣,我们的爱国情怀如此纯洁、如此深沉。 (953)

    俄罗斯母亲雕像,是马马耶夫库尔干战争纪念馆的一部分,位于伏尔加格勒

    纪念伟大的卫国战争,等于在向世人提醒苏维埃制度的成功。在忠诚公民的眼中,包括西蒙诺夫,1945年的胜利使苏维埃政权和1917年之后的一切变得合情合理。但大众对战争的记忆——被当做人民战争——又代表了对苏维埃专政的潜在挑战。战争恰恰又是“自发的去斯大林化”时期,它不同于其他时期,苏维埃人民被迫为自己的行动负责,自发组织起来投入战争,往往没有高效的领导,或党的掌控。正如战后政权所担心的,这种自由和自主的集体记忆如果引发政治改革的思想,就会造成危险的局面。

    许多年来,战争的记忆一直在苏维埃政权的公众文化中遭到淡化。1965年之前,胜利纪念日甚至不是苏维埃的法定节日,只是听由退伍军人团体自行操办庆祝活动和游行。政府严格审查有关战争的出版物,在政治上控制战争小说, [3] 并从公共图书馆撤走战时报纸。1956年之后,对战争回忆的管控得到部分放宽,二战老兵的回忆录出现于出版物中。年轻时曾参与战争的作家纷纷发表往事回忆和小说,以自身经验来描绘现实中的士兵——通常被称为“战壕中的真相”——成为政治宣传版本的道德制衡。 [4] 但这些出版物已处在赫鲁晓夫解冻允许的边缘:党愿意将军事挫折归咎于斯大林,但不允许对官方叙事的挑战;仍坚持认为,共产党的纪律和领导是胜利的保证。1962年,政治局的意识形态主管者米哈伊尔·苏斯洛夫告诉格罗斯曼,其战争小说《生存与命运》的出版至少还要等200年(它最终于1988年在俄罗斯首次出版)。那部小说的原稿送交《旗帜》杂志后,即受到了克格勃的截获。

    勃列日涅夫政权对战争记忆实施更加严密的控制,利用苏维埃的胜利纪念日来展示人民的忠诚和政权自身的合法性。1965年,胜利纪念日成为苏维埃的法定节日,党的全体领导出席排场讲究的庆祝活动,亮点是红场上的阅兵式。新的武装力量博物馆开幕,浩如烟海的展示品将战争记忆提高到崇拜的水平。两年后,克里姆林宫墙的附近建起无名战士墓,迅速成为苏维埃国家的圣地,苏维埃的新郎新娘都会例行到此致敬。伏尔加格勒(以前的斯大林格勒)完成于1967年的哀悼纪念场地上,站立着一座巨大的俄罗斯母亲雕像,手持宝剑,身高52米,是世界上最高的。正是在这一时期,不断重复的“两千万人死亡”进入苏维埃的政治宣传,成为救世主一般的象征,诠释苏联为解放全世界所付出的无可比拟的牺牲。

    西蒙诺夫自己曾是一名军人,亲眼目睹过太多的战争现实,无意参与对公共记忆的操纵。对战争的意义和苏维埃胜利的原因,他已思考多年,这种思索更成了他对斯大林和苏维埃制度的道德反思:耗费这么多生命来赢得战争是否合理?鞭策人们坚持到胜利的到底是强力,抑或是更深层的东西,即与政治无关的爱国主义精神或坚忍耐力?西蒙诺夫在人生的最后10年,广泛收集士兵的回忆录和证词,到逝世时的1979年,已积累大量回忆录、书信和几千小时的录音采访。 [5] 其中许多证词用于“七个章节的诗意电影”《大兵出走》(A Soldier Went,1975年),每一篇章反映士兵经验的不同侧面,对士兵的采访和西蒙诺夫的作品朗诵交替出现。在某种程度上,这在当时是非常了不起的。战争的恐怖与士兵的痛苦,在电影中变成了活生生的东西。那些士兵被描绘为普通人,在最困难的情况下表现出勇气和韧性。该电影的最长章节之一阐述了士兵的受伤,其中有一名步兵,受伤7次,仍继续朝柏林挺进。这部电影是献给普通军人的——数百万受到忽视的无名英雄,以勇气和耐力赢得了苏维埃的胜利——它出自一名作家之手,其战争著作往往采取军官的视角。据该影片的导演玛琳娜·巴巴克(西蒙诺夫当时的情人)说,西蒙诺夫这一尊崇行为带有强烈的个人动机,因为“西蒙诺夫认为,自己在生活中从没表现出足够的勇气”。巴巴克回忆:“西蒙诺夫坚持,他自己不应在电影中出现。他还说,自己不配站在一名士兵的旁边。” (954)

    这部电影还是遇上了麻烦,军方对其中坚韧不拔的现实主义和民粹主义的战争理念,均不以为然(审查员坚持增加一个篇章,以献给作为战争领袖的勃列日涅夫)。勃列日涅夫的领导班子认为,所有纪念人民在战争中受苦受难的尝试,都是对政府的挑战。从20世纪60年代中期开始,西蒙诺夫的许多战争著作,或被禁止出版,或以删减后的版本出现。他始于1941年的战争日记,成书为《战中百日》(A Hundred Days of War),计划在1967年出版,尽管向党领导发出了个人请求,仍得不到苏维埃审查员的批准(该书最终出版于1999年)。同样的命运降临于西蒙诺夫的另外一部文集,关于朱可夫及其1941至1945年的战争日记——《战争中的不同时日》(Various Days of War),大幅削减后才于1977年出版。 (955) 他的纪录片《如果你珍惜自己的房子》(If Your House Is Dear to You),经受了与审查员的长期斗争和大刀阔斧的删减,才于1966年问世。而他的小说《军人不是天生的》(1964年),即《生者与死者》的第二部,其电影版遭到苏维埃审查员如此拙劣的阉割,以致西蒙诺夫在最终版本中撤下了自己的小说原名和作者署名。1967年,该影片上映时改名为《惩罚》(Retribution)。

    与审查员的斗争,更使西蒙诺夫下定决心要找出战争和斯大林政权的真相。从这时起,他的笔记本充满了与斯大林见面的回忆。他自我审问,跻身于这位独裁者的侍从行列时,自己对斯大林的罪行究竟知道多少,不知道(或不想知道)多少。他对斯大林的谎言和谋杀了解得越多,就越想与自己的过去划清界限。西蒙诺夫于1966年写道:“曾经有一段时间,我虽有疑问,但仍热爱斯大林。时至今日,明白了我所知道的一切,我既不爱他,也不能再爱他。如果我早已知道我现在才明白的,我当时就不会爱他。” (956)

    西蒙诺夫在生命的最后几年,愈益懊悔自己在斯大林政权中的所作所为。他仿佛在赎罪,尽力推介在斯大林时代受审查或迫害的作家和艺术家的作品。西蒙诺夫受妻子的鼓励,成为苏维埃前卫艺术的收藏家和拥护者(他为长期被遗忘的艺术家弗拉基米尔·塔特林,举办了回顾展览会)。他在争取出版奥西普·曼德尔施塔姆、科尔涅伊·丘科夫斯基、弗谢沃洛德·伊万诺夫的作品中,发挥了主导作用,还努力策划了雅洛斯拉夫·哈谢克的《好兵帅克》的俄文翻译。他资助曾遭受迫害的作家——包括博尔切戈夫斯基、维拉·帕诺娃、娜杰日达·曼德尔施塔姆——并在住房、就业、重新加入作家协会等方面,仗义执言。 (957)

    1966年,西蒙诺夫开启一个过程,其顶点便是《大师与玛格丽特》一书的发表。它是米哈伊尔·布尔加科夫颠覆性的社会讽刺杰作,描述一个魔鬼来到莫斯科,通过无政府式的恶作剧,引出人们身上最恶劣的本性。它在斯大林活着时根本无法出版,1940年作者去世,之后一直藏匿于抽屉中。1956年,西蒙诺夫成为负责布尔加科夫文学遗产的委员会主席,因为作者的遗孀艾莱娜·布尔加科娃是自己母亲的老相识。西蒙诺夫将《大师与玛格丽特》的手稿,交给热尼娅·拉斯金娜。其时,她任职于《莫斯科》杂志,需要激动人心的文章来增加订户数量(直接影响到该杂志的地位和财政补贴)。文学解冻之后,《莫斯科》已变成一份相当沉闷的出版物。但热尼娅能否让此书通过正在收紧的审查,西蒙诺夫深表怀疑,甚至建议艾莱娜·布尔加科娃接受某种删减,以求发表。整个周末,《莫斯科》主编叶夫根尼·波波夫金都在乡间别墅阅读这份手稿。他向热尼娅坦承,尽管知道这将使自己成名,但仍心有余悸,建议热尼娅将手稿转交《莫斯科》另一位曾当过审查员的编辑——他与文学审查委员会关系不错,改任编辑后所呈送的手稿,从未遭到审查员的拒绝。凭借这位前审查员的帮助,布尔加科夫的手稿获得通过,只作了相对轻微的删减,从1966年11月起,在《莫斯科》分期发表。该杂志的11月号(15万份)过夜即售罄,大家纷纷订购随后两年的杂志,为了争睹布尔加科夫神奇小说的后续连载。在苏维埃读者的眼中,这在勃列日涅夫初期的压抑气氛中,似乎是一大奇迹。热尼娅和西蒙诺夫为他们的成功而感到振奋,将审查员所删减的片断,汇集粘成一个剪贴簿,以纪念这个历史性事件。他们一共做了三本:西蒙诺夫、热尼娅和艾莱娜·布尔加科娃各留一本。 (958)

    西蒙诺夫对这些举措的支持成了他在政治上的公开宣言。他参与抢救受压制的艺术和文学作品,与苏维埃政权的自由派结成了同盟。他自觉投入这些努力(他已没有苏维埃机构或杂志的任何公职),赢得了艺术家和作家的尊敬,并当选为文学委员会和类似组织的主席,例如60年代和70年代的中央文学家之家(the Central House of Literature)。以亲西方和反苏维埃的自由派的眼光来看,西蒙诺夫并没变成一位持不同政见者。但是像勃列日涅夫时代许多共产党改革者一样,他愿意接受苏维埃制度的政治文化发生根本变化。西蒙诺夫并没公开批评勃列日涅夫政府,但在私下里反对它的许多政策——至少包括1968年8月对捷克斯洛伐克的入侵,以镇压亚历山大·杜布切克改革派政府的“布拉格之春”。1968年的危机是西蒙诺夫的政治观念演变中的重大转折点,使他变得激进。他开始质疑,一党制以勃列日涅夫统治下的停滞形式存活下去,是否可能?乃至有必要?他的儿子认为,西蒙诺夫如能多活几年,肯定会欢迎戈尔巴乔夫的改革。

    当然,他作为一名资深党员只能走到这一步。譬如,他唯有彻底打破他的党员模式,方能站出来支持索尔仁尼琴,但他还做不到。我不知道他当时在想什么,不知道他为了克制自己又在强迫自己作何斟酌。但我知道,他在政治上一直在演变。对我来说,这是他最卓越的品质——他永远具有改变的能力。 (959)

    西蒙诺夫最后几年政治观念的发展,与审视自己的过去有密切联系,他愈益后悔自己在斯大林统治下的行为。他认识到自己的错误,对塑造自己行为的政治制度也持越来越强烈的批评态度。据当时最接近西蒙诺夫的拉扎尔·拉扎列夫说,他的痛悔有时如此强烈,几近于自我厌弃。拉扎列夫回忆,西蒙诺夫会在公众场合鞭挞作为作家和作为人的自己。西蒙诺夫以自嘲、自我讽刺闻名,他的朋友和崇拜者,视之为他个人魅力的一部分。但有时他们必然意识到,他的自我批评竟来自他更深层的冲动。1965年,中央文学家之家为他举办50岁生日庆祝会。有700多名宾客出席,整个晚上都是对西蒙诺夫的赞誉之声,反而令他显得有点不耐烦。晚会结束时,他因情绪激动而明显有些颤抖,他走近麦克风,作了下列异乎寻常的发言:

    在这样的场合——有个人活到了50岁——当然,大家主要是记起他的好。但我想对这里的客人,即聚集于此的同志们说:我一生中做的许多事,自己都会感到惭愧;我所做的,并不是每一件事都好——我明白这一点——我的处世行事,并不总是遵照最高的道德原则——既不是公民的最高原则,也不是人类的最高原则。在我的人生中,有的事情,现在回忆起来感到颇不满意;有的场合,我当时的行为缺乏足够的毅力和勇气。我知道这一切。可以这么说,我现在说出来,并不是为了悔改,那是个人的私事;而是为了要记取教训,方可免犯同样的错误。我将尽量不再重复过去的错误。从现在起,不惜一切代价,我将不重复我以前的道德妥协。 (960)

    西蒙诺夫,1979年

    这种悔恨随着时间的推移而愈演愈烈。他为20世纪30年代写的关于斯大林和白海运河的文字而自责,懊悔参与斯大林政权的战时宣传,亦步亦趋于斯大林的谎言,以“犯罪行为”和“叛国罪”谴责1941年下令撤退的苏维埃将军。对自己1946年到1953年在作家协会的可耻行径,他也追悔莫及——回忆起那些年份,就会感到痛苦。他在有关法捷耶夫的文章中写道:“如不掩饰自己的感情,有很多事是不堪回首的;另有更多的事,甚至难以解释。”在他生命的最后几年,西蒙诺夫一直在作自我审视,尝试弄懂自己在作家协会的行为。他审问自己的记忆,为自己在“反世界主义者”运动中的角色写下个人的观察,几易其稿,至今仍锁在他的档案中。然而,他从未试图捍卫或辩护自己在那些年中的所作所为。拉扎列夫回忆,1970年的一个夜晚,大家在西蒙诺夫的房子里庆祝他的55岁生日。作家亚历山大·克里维斯基传阅西蒙诺夫1946年的一张照片时,建议在座客人借用一首著名歌曲的歌词(“如今的他,依然一如当初”),来向主人敬酒。拉扎列夫对其中的寓意——西蒙诺夫仍是斯大林主义者——不以为然,提出下一轮祝酒,应该为主人的勇气干杯,因为他“并不害怕改变和告别过去”。接下来是一场激烈的争论:西蒙诺夫是否已经改变?改变一事到底是好还是坏?第二天,拉扎列夫打电话向西蒙诺夫道歉。但是,西蒙诺夫并没感到任何的不妥。拉扎列夫回忆:“恰恰相反,他说,那场争论很有教育意义,因为它帮助他定下决心:一个人有所改变,只要变得更好,当然是好事。” (961)

    西蒙诺夫在20世纪70年代的活动,大多出于想将功赎罪,弥补自己的过去。斯大林主义者当年对犹太作家的攻击,他仍记忆犹新,于是他带头发起了一场对莉利亚·布里克的勇敢辩护。她是马雅可夫斯基后期诗歌的缪斯,却遭到苏斯洛夫手下评论家的强烈攻击。他们以公开反犹的姿态,要求在马雅可夫斯基的人生叙述中抹去布里克的存在,以剔除这位伟大的苏维埃诗人的犹太因素。西蒙诺夫后悔自己1954年对爱伦堡的攻击,组织出版了爱伦堡的战争新闻报道,其中收录了西蒙诺夫写于1944年的一篇文章,称颂爱伦堡是所有战地记者中最好的。这本书问世于1979年,即西蒙诺夫去世前不久。西蒙诺夫在医院里收到出版社送来的一册书后,打电话给编辑此书的拉扎列夫,称自己非常高兴和欣慰,因为他已与爱伦堡“讲了和”。 (962)

    但在文学界知识分子的改革派中,还有不少人对西蒙诺夫痛改前非的自由主义持怀疑态度。在他们看来,一位资深斯大林主义者从根本上改造自己,似乎不大可能。西蒙诺夫为某种自由事业挺身而出时,总有人怀疑其中的虚伪。索尔仁尼琴写道:“西蒙诺夫是一个多面人,既是崇高的文学殉道者,又是受人尊敬的保守派,同时与所有官方机构保持联络。” (963)

    有时,西蒙诺夫的表现又与自由主义的倾向大相径庭。例如,他参与了克里姆林宫对文学年鉴《大都会》(Metropol)的迫害。它的编辑是维克托·叶罗费耶夫、叶夫根尼·波波夫、瓦西里·阿克肖诺夫,同时又由阿尔季斯公司(Ardis)在美国出版(日期和地点仍用“莫斯科,1979年”)。《大都会》并不是持不同政见者的出版物,如叶罗费耶夫所宣称的,只是一个“在停滞情况下与停滞作斗争的尝试”。勃列日涅夫政权的年迈领导人,震怒于这种对出版物控制的挑战,向《大都会》编辑施以报复。叶罗费耶夫和波波夫遭到作家协会开除,《大都会》的其他作家自行退出作家协会以示抗议,或设法移民逃离苏联。苏斯洛夫将西蒙诺夫拖入对《大都会》的迫害,还施加压力,要他谴责《大都会》的“反苏维埃”。西蒙诺夫本已牵涉其中,他22岁的女儿亚历山德拉,爱上了维克托·叶罗费耶夫的弟弟安德烈。安德烈是一名年轻的艺术史学家,刚与亚历山德拉订婚,两人经常出没于波希米亚朋友圈子,成员都是苏维埃精英的子女(安德烈的父亲是一名高级外交官),穿得像嬉皮士,喜听叛逆的摇滚乐。《大都会》的文学丑闻一经爆发,西蒙诺夫就想中止两人的恋情,决定让自己和家人远离叶罗费耶夫一家。他们与持不同政见者乃至其外围人士的牵连,可能构成对西蒙诺夫的危险。也许,如安德烈所认为的,他希望亚历山德拉嫁入更依顺苏维埃政权的家庭。也许,他害怕《大都会》案件引出更多麻烦(它招致了西方的强烈抗议),亚历山德拉会因此吞食与叶罗费耶夫一家交往的恶果。西蒙诺夫与苏维埃政权打交道,内心的恐惧永远存在——尽管在他的暮年,他已是苏维埃政权的重要人物,似乎不应再有恐惧。西蒙诺夫在苏斯洛夫的办公室,编写了针对《大都会》的文学报告。他所谴责的“反苏维埃的持不同政见者”,不仅有维克多,还包括安德烈。亚历山德拉从安德烈那里获悉此事,不愿相信,反而指责他是在诋毁自己的父亲,遂取消婚约。但到后来她才发现,原来他说的是实话。 (964)

    西蒙诺夫由慢性支气管炎引起的死亡过程,既缓慢又痛苦。克里姆林宫的医生不愿为他的治疗方案承担责任(“医生事件”之后的几十年中,那是苏联的普遍问题),并没有对症下药。西蒙诺夫生前的最后几个月曾多次进出医院,但他仍在反思自己的过去:为何没在斯大林恐怖时代向求救于自己的人提供更多的帮助。他最后的笔记是一个剧本的草稿(《四个自我》),以对话的形式,展示现在的自己和不同历史时期的三个“自我”。他让自己上了被告席:

    “那么,熟人出现在你的面前,需要你的帮忙,你怎样作答?”

    “这取决于具体情形。他们有时会打电话,有时会给我写信,有时会当面开口。”

    “他们会要求什么?”

    “这也取决于具体情形。有时,他们要我干预,去帮助别人;他们会说那人有多好。有时,他们写信给我,说他们不敢相信自己的熟人有罪,或说他们不敢相信他犯了被指控的罪——他们太了解他了,以致无法相信。”

    “他们真的写过这样的信?”

    “有时是这样的,但更多时候,他们写道,他们知道此事与己无关,也无法判断真伪,或许那是正确的,但是……然后,他们尝试写下所熟悉的当事人的全部优点,希望有所帮助。”

    “你曾试图帮忙吗?”

    “嗯,我有几次没作答复,两次吧。第一次,因为我从不喜欢当事人。不去帮助一个既不喜欢又不熟悉的人,我认为自己是正确的。另外一次,我认识当事人,在前线时就和他在一起,曾经非常喜欢他。但是他们在战争期间把他抓起来,我认为他是有罪的,可能涉及某种阴谋,但没人提及这样的事——大家都避而不谈。他写信给我,我没有回答,也没有伸出援手。我不知道对他说什么好,所以一再拖宕。然后,他获释了,我感到很惭愧。更何况,我事后发现,我认为比我更软弱更怯懦的另一位同志却作了回答,还在尽量帮助其他许多人——给他们寄包裹和金钱。” (965)

    西蒙诺夫最后几次住院时口授了自己的回忆录《通过我这一代人的眼睛》(Through the Eyes of a Person of My Generation),但至死都没完成。 (966) 西蒙诺夫的回忆录是另一次与早先自我的交谈,他承认,不可能知道自己在过去某时的真正想法,所以只能通过与自己记忆的对话,来寻求自己人生的真相。他努力解释自己对斯大林的心结、自己与斯大林政权的合作、斯大林主义的性质,审问自己时毫不退缩——评判自己时冷峻严厉。

    西蒙诺夫去世于1979年8月28日,他的骨灰撒在莫吉廖夫城附近的昔日战场,那是1941年6月数千人战死安息的地方。世界各地的报刊报道了“斯大林最喜欢的”伟大苏维埃作家去世的消息。20世纪80年代,西蒙诺夫的作品仍在苏维埃的学校和大学里被视为经典读物,并被译成多种文字。苏维埃政权解体后,他的文学声誉下跌,作品的销售量急剧下降。年轻的俄罗斯读者渴望新鲜事物,他的文风似乎有点过时,也太“苏维埃”化了。

    1956年后,在某种程度上参与斯大林罪行的数百万人,继续过着他们的“正常”生活。他们中有的作为内务人民委员会官员或狱警直接参与其中;其他的作为各地的官僚间接参与。他们大多数人都能逃避内疚,自觉或不自觉地设法忘记自己的过去,借助意识形态或其他虚构的遁词来为自己的行为辩护,或是以“不知情”或“只是奉命行事”的理由来申辩自己的无罪。 (967) 很少人有勇气以西蒙诺夫那样的诚实,来直面自己的罪责。

    根据大多数人的估计,1956年之后,生活在苏联的约有100万前劳改营狱警。那些愿意讲述自己过去的前狱警中,很少人流露出悔恨或自责。列夫·拉兹贡回忆起20世纪70年代在莫斯科医院遇到一个名叫尼亚佐夫的西伯利亚鞑靼人。尼亚佐夫原在哈巴罗夫斯克附近的比金中转营担任警卫,监督了数千囚犯的枪决。他的故事很简单。他是个看门人的儿子,在小学里就是横行霸道的小恶棍,到十几岁成了小偷和帮派歹徒。他受警方的招聘,先在鄂木斯克当狱警,后转到古拉格担任警卫。哈巴罗夫斯克和符拉迪沃斯托克之间的比金中转营,是古拉格系统中许多“特殊营地”之一,那里的囚犯关押几天之后即遭枪决。从1937到1940年,即比金中转营的短暂存在时期,估计有1.5万至1.8万人枪毙于此。而尼亚佐夫参与了其中的多数,开枪之前和之后都领到了伏特加。据拉兹贡说,尼亚佐夫多年之后被告知受害者都是无辜的,但他没有任何悔恨,也没有任何内疚。尼亚佐夫告诉拉兹贡,他一直睡得很好。战争期间,尼亚佐夫参加红军,打到德国,在那里参与了银行抢劫。1945年之后,尼亚佐夫负责一个军事仓库的安全,靠盗窃和诈骗变得富裕起来,结果遭到新任党领导的解雇,他因此突发心脏病住进医院,在那里见到了拉兹贡。 (968)

    伊万·柯察金是阿克莫林斯克劳改营的狱警。他是贫农的儿子,只受过4年农村教育,16岁那年参军时,即1941年,都不会读书写字。战争结束后,他的部队转而执行古拉格的各项任务。从1946到1954年,柯察金受雇为阿克莫林斯克劳改营的狱警。他在1988年接受采访时已经知道,向劳改营输送劳工的大规模逮捕都是不公正的,但对自己的行为没有任何悔悟。他以自己半生不熟的意识形态、来自生活的道德教训、对囚犯的阶级仇恨,来为自己的参与辩护:

    伊万·柯察金,1988年摄于卡拉干达

    我问你,苏维埃权力是什么?它是一种强制机构!懂了吗?比如说,我们坐在这里,两名警察来敲门,然后说:“跟我走!”仅此而已!这就是苏维埃权力!他们可以把你带走,投进监狱——无需任何理由。不管你是不是敌人,你无法说服…他人相信你的清白。就是这么回事。我接到命令,看管这些囚犯。我应相信这个命令,还是相信你呢?也许我觉得对不起你,也许我根本不在乎,但我又能做什么呢?你杀猪时,听到尖叫声,你会觉得难过吗?即使我觉得对不起,我又能帮什么忙呢?战争时期,我们从前线撤下来,不得不抛弃受伤的士兵,知道他们只有死路一条。我们感到非常抱歉,但又能做什么呢?我在劳改营看管那些带着生病的孩子的母亲们,她们哭个不停,但我又能做什么呢?她们因自己的丈夫而受到惩罚,不过,那与我无关,我有工作要做。他们说,儿子无须为父亲负责,但妻子要为丈夫负责。如果丈夫是人民公敌,那妻子又会养育出怎样的儿子?劳改营中有许多小孩,但我又能做什么呢?他们的日子不好过,也许没这样的母亲,反而更好。那些敌人是真正的寄生虫,他们出国旅行,总在炫耀他们的音乐、乡间别墅、精美服饰。穷人饥肠辘辘,没有油腥,过得比动物还要糟糕。那么,到底谁是人民公敌呢?我为何要为别人哭泣呢?此外,我的工作没有伤害他人,只是在为政府服务。 (969)

    米哈伊尔·尤西佩科,1988年摄于卡拉干达

    20世纪80年代的开放政策时期,公众媒体就古拉格管理员的作用展开了辩论。许多前狱警写信给前囚犯,要求他们确认自己在劳改营时的善良和正派,以便留下历史记录,其中之一就是米哈伊尔·尤西佩科。他1905年出生于阿克莫林斯克的贫农家庭,只完成三年的农村教育就遇上第一次世界大战,由于父亲的出征,他被迫辍学打工。父亲一去不复返。20世纪20年代中,尤西佩科充任农场工人,以此养活母亲和弟弟妹妹。他在1931年的饥荒中失去妻子和两个孩子,从1934年起,在哈萨克斯坦的古拉格劳改营行政中心的卡拉干达从事党务工作。不久,他获得内务人民委员会的招募,担任阿克莫林斯克劳改营的副指挥官。尤西佩科在5年任期内,即从1939到1944年,涉嫌强奸了众多女囚,但没有刑事调查,只有满天飞的谣言。赫鲁晓夫的解冻年代,这些谣言似乎给尤西佩科带来了麻烦。从1961到1988年,尤西佩科写信给数百名前囚犯,包括获释后死去的女囚的子女,要求她们帮写声明佐证他的良好行为。22名女子写了证词,证明他的善良和正直,肯定好过阿克莫林斯克劳改营的其他狱警(据说,写证词的女子中有几个是他的强奸受害者)。1988年,《列宁变化报》(Leninskaia smena)上有关阿克莫林斯克劳改营的一篇文章,暗示他犯有性侵犯的罪行。为此,尤西佩科将那些证词转寄给全国和当地的报纸,以及哈萨克斯坦的党组织,还附上长篇生平介绍,旨在“澄清历史真相”。尤西佩科声称,他“一直晓得”囚犯是无辜的;“从一开始就表以深切的同情,与囚犯讲话时从没趾高气扬,并尽量纾缓她们的负荷”;让她们收发超过规定的信件和包裹;甘冒危及自己地位乃至生命的“大风险”,去呈交提前释放的申请报告。尤西佩科写道:“我很容易遭到指控,说我同情人民公敌,那我就完蛋了。但我当时相信,现在也相信,我做的是好事。”他要报纸登载前囚犯的证词和自己的生平叙述,不但想证明自己的问心无愧,而且想表明他也反对“斯大林镇压”(开放政策时期杜撰出来的专用名词),也是受害者。 (970)

    许多前古拉格官员,为自己的过去编造相似的故事。远北建设托拉斯规划部门的首席会计兼督察官帕维尔·德罗兹多夫,被捕于1938年,判刑15年,被送去马加丹的劳改营。他于1951年获释,留在马加丹充当志愿工,很快接去妻儿。根据帕维尔告诉儿子的故事,他这位前首席会计只是不起眼的专家,在掌管劳改营的远北建设托拉斯中,并无真正的权威。这个故事有一部分是真实的,因为他的靠山爱德华·别尔津——远北建设托拉斯的负责人,在1937年被捕之后,帕维尔就降职为普通会计。过后不久,他自己也被捕。帕维尔在赫鲁晓夫时期末开始收集资料,准备写自己在远北建设托拉斯的回忆录,他想以此纪念别尔津,视其为有远见的经济改革者和开明的人道主义者。但是,他与远北建设托拉斯前囚犯的通信,却使自己深感不安。他没有意识到,或在某种程度上故意漠视了他主持规划部门时手下囚犯受苦受难的程度。帕维尔多次发生心肌梗塞,遵照医嘱,他放弃了撰写回忆录。过去的真相实在太困扰他了,以致他无法面对,最终死于1967年。他的儿子继续相信父亲是无可指责的官员,在远北建设托拉斯担任会计,其时的主管别尔津采纳了“相对人道和进步的方式”,父亲也是斯大林政权的受害者。 (971)

    虚构与记忆交织在一起维系每个家庭,而这在苏联更发挥了特殊作用,那里数百万人的生活被冲得七零八落。心理分析认为,创伤受害者如将自己的经验纳入更宏大的叙事中会大有裨益,可从中获得意义和目的。纳粹反犹战争的受害者找不到救赎的叙述,而斯大林镇压的受害者却有两个集体叙述来安置自己的人生,为自己的苦难找到某种意义。第一是生存叙述,体现于古拉格前囚犯的回忆录文学,个人痛苦被幸存者的人文精神所超越。第二是苏维埃叙述,个人痛苦在共产主义理想、伟大的卫国战争胜利、苏联的成就中获得救赎。

    赫鲁晓夫解冻后几十年内出版的古拉格回忆录,给普通人如何铭记斯大林时代的家史,带来了强大冲击。它们的影响力在一定程度上与创伤受害者如何处理自己的记忆有关。如心理分析所显示的,有创伤记忆的人往往会屏蔽过去的一部分。他们的记忆变得支离破碎,只是一系列杂乱无章的情节(如父母的被捕、被逐出家园的时刻),而不是一个线性的编年表。他们尝试回忆自己的人生时,特别是在记忆力下降的老年时期,往往借鉴自己读到的或听闻的,来填补自己记忆中的空白。 (972) 亚历山大·多尔根是美国领事馆职员,1948年因“间谍罪”遭逮捕,被送去哈萨克斯坦的劳改营。他在20世纪70年代写出回忆录,开篇就解说了记忆中的欠缺:

    我的故事的大部分是我确实记得的,其他的则是一定应该发生过的。有些情节、面孔、话语、感觉,已深深烙入我的记忆,不管隔开多长时间,我都不会忘记。但也有些时候,我因他们不让我睡觉而变得精疲力竭,或饥火烧肠、遭受毒打、持续高烧、生病吃药,以致一切都变得模糊不清。我现在只能构想出一定应该发生的,以填补这些时期中的空白。

    多尔根声称有非常好的记忆力。但从乘坐囚犯火车离开莫斯科,到开始在哈萨克斯坦劳改营采石场上班,这中间有两个星期的时间,他“实在没有留下任何印象”。 (973)

    为了填补这些空白,人们会借用他人的记忆。斯大林时代业余回忆录作者所描述的许多场景,与有关大恐怖的著名书籍极为相似,譬如叶夫根尼娅·金兹伯格的《进入旋风》(Journey into the Whirlwind,1967年),或索尔仁尼琴的《古拉格群岛》(1973年)。这两部书都是先在西方出版,在俄罗斯的正式问世要等到20世纪80年代末。但它们通过地下出版物,早已在俄罗斯广为流传,帮助促进了当年民间回忆录的繁荣。 [6] 目前尚不清楚,这些回忆录中的场景是作者自己的记忆,还是作者猜测已发生的,或想象“一定会发生的”,因为别人也写了类似的情节。伊琳娜·舍尔巴科娃在20世纪80年代采访了许多古拉格幸存者,她如此解释记忆的借用:

    几十年来,古拉格的生活催生了无穷无尽的流言、传说、神话,最常见的涉及据信早在莫斯科时就被枪决的著名人物——据称,却被人在遥远的劳改营里看到了。同样的主题和细节,反复出现于这样的故事。例如,至少有4名妇女向我描述完全相同的场景:多年以后,她们终于有镜子来查看自己的面容,所看到的第一形象,竟是自己的母亲。早在20世纪70年代,我就觉察到,他们向我口述的事件,与索尔仁尼琴的《古拉格群岛》或其他回忆录印刷品所描述的,竟完全吻合。现在[1992年],讲述劳改营故事如此普遍,口述回忆的记录已经变得愈加困难。他们倾诉的大量信息,似乎都以牺牲自身的记忆为代价;他们如此投入,以致他们听闻的一切都成了自己的亲身经历。 (974)

    许多古拉格幸存者坚称,他们亲眼目睹了金兹伯格、索尔仁尼琴、沙拉莫夫所描述的场景,见过这些作品所提及的狱警或内务人民委员会审讯员,早在劳改营时就知道这些作家。但相关的文件清楚地指出,这绝不可能。 (975)

    古拉格幸存者以这种方式借用他人的回忆录,有好几个原因。20世纪70和80年代,像《古拉格群岛》那样的书籍,已通过地下出版物四下传阅。斯大林镇压的许多受害者,强烈认同它们的思想立场,认为这是了解劳改营真相的关键,所以搁置自己的独立回忆,让这些书籍代替自己说话。受害者往往对自己的经历缺乏清晰的概念,又没有结构框架或政治背景能让自己的记忆理清头绪。这种差距更增强他们的倾向,要以这些作家连贯、清晰的记录,来取代自己混淆、零碎的回忆。一名历史学家在采访大恐怖幸存者时观察到:

    你若问个看似很简单的问题:“你知道多少人在1937年被捕吗?”回答很可能会使你大吃一惊:“你没读过索尔仁尼琴的书吗?你不知道所有人都被抓走了?”如果你继续问:“但你家有人被捕吗?”很可能是一个停顿:“噢,不,我家没有,但其他人都被抓了。”然后你问:“你住的共用公寓里有多少人被捕?”这次会有一个很长的停顿,接下来是:“噢,我真的记不得了。但是,有一个,伊万诺夫,住在走廊尽头的。是的,我现在记起来了。” (976)

    这个例子显示,从整体看,口述证词比文学化的回忆录更为可靠,尽管后者通常被认作更为真实的记录。跟所有的记忆一样,采访时的证词也是不可靠的。但它不像一本书,它能加以盘问,可与其他证据进行比照,让真实的记忆浮现,去掉那些听闻或想象的。

    已出版的那些古拉格回忆录,不但影响对场景和人物的回忆,而且影响对这段经历的理解。所有关于斯大林恐怖的回忆录,都是幸存者重新构建起来的叙述。 (977) 他们所讲述的,通常是炼狱和救赎的故事——即穿越古拉格的“地狱”再回到“正常生活”的旅程——叙述者通过这些讲述超越了死亡和苦难。这种令人振奋的道德精神,有助于解释这些文学性回忆录的积极影响,促使古拉格幸存者都以同样方式来回忆自己的故事。尤其是金兹伯格的回忆录,已成为幸存者的叙述模式。她的文学结构,更受到无数业余作者的模仿,后者的人生往往与她的相差无几。金兹伯格回忆录的统一主题是通过爱来获得新生——这一主题使她的写作极具感染力,成为文学佳作。金兹伯格解释,她之所以能在劳改营中生存下去,全靠自己对人类的信念;她在他人身上唤起的人性闪光,既帮助了自己的生存,又是她对人类的信念的回应。在《进入旋风》一书中,金兹伯格突出自己在科雷马幼儿园的工作,照顾别人的孩子,令她想起自己的儿子,从而给她坚持下去的勇气。在续集《旋风内》(Within the Whirlwind,1981年)一书中,金兹伯格从幼儿园转至医院,爱上了充当医生的劳改营囚犯;尽管有反反复复的分离,两人得以幸存,不知何故还保持着联系,直到斯大林去世;获释之后,他们仍留在流放地,无法回到俄罗斯主要城市,随即结婚,并收养了一个孩子。 (978) 这种叙述轨迹,在回忆录文学中受到无休止地模仿。这类“家族历史”和“纪录片故事”,在基本结构、形式、道德色彩上,几乎是千篇一律的。其中的统一性十分明显,光用文学潮流是解释不清的。也许,这些回忆录的作者都有过不寻常的生活,感到有必要把自己的命运与同类人的命运连接起来,以同一文学模式来回忆自己的人生。

    苏维埃叙述提供另一种安慰,即让受害者相信他们的牺牲是为了集体的目标和成就。苏维埃的共同目标不只是一个宣传神话,还帮助人们感觉自己参与了实现苏维埃理想的斗争,自己的人生因此获得肯定,从而接受所遭遇的苦难。

    在这方面,伟大的卫国战争的集体记忆是非常有效的。它促使退伍军人认为,他们的痛苦和损失自有更崇高的目标和意义,他们颇感自豪的1945年的胜利即是一个代表。历史学家凯瑟琳·梅里戴尔为研究战争中的苏维埃军队赴库尔斯克采访老兵,发现他们谈起自身经历时没流露半点的苦涩或自怜,全以坚忍的态度接受所有的损失,“不去重温战争的最残忍场面,反而采用已消失的苏维埃国家的语言,畅谈荣誉、骄傲、正当报复、祖国、斯大林、信仰的绝对必需”。如梅里戴尔解释的,对这些退伍军人来说,认同苏维埃战争神话是一种应对机制,能让自己承载痛苦的记忆,顽强地存活下来:

    回忆当年,即战争时期,让人很容易崩溃,很容易陷入恐怖的深渊,那很可能是致命的。坚忍接受和重视手上的工作,才是通向生存的唯一出路。人们使用的词汇,都是务实、乐观的,别的只会勾起绝望。60年之后,他们很容易通过叙述恐怖遭遇,来吸引关注或博得同情。但对这些人来说,这无异于背叛自己的价值观,那关乎他们的集体荣誉和人生原则。 (979)

    从劳改营归来的人,同样也在斯大林主义的理念中找到了安慰:作为古拉格劳工,他们也为苏维埃经济作出了贡献。其中很多人看到自己亲手建成的工厂、水坝、城市,油然生起无比的自豪。这种骄傲的原因有二:第一,他们遇上了冤屈,但仍相信苏维埃制度及其意识形态;第二,也许,他们需要为自己的苦难找到更大的意义。在《旋风内》一书中,金兹伯格讲述了自己重返马加丹的印象,那是她在科雷马劳改营的难友们亲手建起的城市:

    人的心灵真奇怪!我整个灵魂都在诅咒那些始作俑者:在这冻土上建起小镇,以无辜之人的鲜血和泪水,融化它的冻土。然而在同时,我又感受到一种荒诞无稽的骄傲……在我离去的7年当中,它长大了,变得漂亮了,我们的马加丹!简直面貌一新呀。我赞美每一盏路灯、每一段柏油路,甚至文化馆即将演出歌剧《美元公主》的海报。我们珍惜生活中的点点滴滴,即便是最痛苦的。 (980)

    诺里尔斯克,2004年7月

    在诺里尔斯克,城市居民(约13万人)中的老年群体,仍强烈感受着这种自豪。居民的大部分是古拉格前囚犯和他们的后代,少数是劳改营前管理员和志愿工。古拉格撤销后,他们的家庭仍留在这块北极定居地,许多人之所以留下,是因为无处可去。1953年之后,工业综合企业的管理从古拉格转至重工业部,诺里尔斯克的居民完全融入了常规的苏维埃统治机构(学校、少先队、共青团、党组织等等),这有助于培养苏维埃觉悟——在一定程度上,这是地方上的苏维埃爱国主义,基于他们为诺里尔斯克感到的骄傲——以此覆盖古拉格记忆。迄今,该城仍传颂于歌曲和故事中,人们继续歌唱:

    这个小城叫做诺里尔斯克,

    我们在此挖掘铜和镍。

    这里的人有顽强的精神,

    俄国人都知道诺里尔斯克。

    不少书籍和电影纪念在冰霜中建起诺里尔斯克的男女,但往往掩饰其中大多数是囚犯的事实(在这个尝尽折磨的城中,健忘是生存之道,古拉格的记忆仍潜存于大众意识的表面之下)。这个小城的骄傲与北极勘探的浪漫和开拓的精神紧密相连,体现于这样的流行观念:要想存活于诺里尔斯克的恶劣环境,一定要有特殊的精神力量。

    瓦西里·罗马什金,2004年

    这里的人由特殊材料制成。

    意志薄弱的立马逃跑。

    这片严酷土地不属于他们,

    这里的狂风怒号,

    暴风雪肆虐,

    夏天终年无缘看到。 (981)

    还有一个流行信念声称这座城镇的居民拥有特殊的温情和同志友爱,源于他们共同承受的古拉格经验,以及艰苦条件下共同的奋斗图存。但更重要的,这种公民骄傲植根于诺里尔斯克人的劳苦功高,例如小城英雄瓦西里·罗马什金,他在2004年仍与子孙坚守此地。

    瓦西里1914年出生于莫斯科地区的农民家庭,1937年作为“富农”被捕,从1939年起即囚在诺里尔斯克。他始终留在采矿综合企业——先是个囚犯,后来是“志愿工”——直到1981年退休。瓦西里在诺里尔斯克工作努力,多次获得奖牌,还是囚犯时,就以真正的劳动模范出名。他为苏维埃战事作出贡献,因而感到特别的骄傲,他在接受采访时解释:

    这些奖牌都是给[社会主义竞赛]优胜者的——冶金业优胜者,第9个五年计划[1971至1975年]优胜者……那个奖牌是什么,我都忘了……这些是[诺里尔斯克]“综合企业老兵”和“苏维埃老兵”奖牌——是表彰勇敢和敬业的。而这个是给伟大卫国战争老兵的五十周年纪念奖牌,因为当时的综合企业已纳入军事编制……我为自己在战争中发挥的作用感到自豪——我尽了公民的爱国义务。 (982)

    瓦西里在代表老一辈发言,颂扬劳改营对苏维埃经济的贡献。特别是战争时期,他们在严寒中挖出的贵金属,对苏维埃的胜利是至关重要的。他们经常宣称爱诺里尔斯克的“美”,在某种程度上,指的就是这种成就感,这个城市是他们用自己的双手建造起来的(似乎没人注意到,那里的空气里永久充斥着有毒的黄色烟雾,树木都无法存活)。20世纪50年代初,奥莉加·伊亚斯基娜来到诺里尔斯克劳改营,从此再也没有离开。她宣称:“这是一座美丽的城市,是我们的小列宁格勒。” (983) 许多城中心的建筑确实是圣彼得堡(另一个奴隶们建造的城市)的新古典主义风格。诺里尔斯克代表一个惊人的悖论:一个由古拉格囚犯建造和居住的工业城市,其市民的骄傲,却植根于他们向斯大林政权提供的奴役劳动。

    类似的悖论又成了怀念斯大林的基础。这位独裁者死了半个多世纪,对他的怀念却仍在继续,涉及数以百万计的民众,包括他的受害者。研究公众意见的全俄中心(All-Russia Centre),在2005年1月进行了一项民意调查,其结果显示,42%的俄罗斯人希望“像斯大林那样的领袖”重新出现(60岁以上的受访者中,60%支持“新的斯大林”)。 (984) 这种怀念与政治、意识形态的关系并不大,在回忆斯大林年代的老人看来,主要与怀旧情绪有关——那是自己传奇般的青春岁月:商店货物琳琅满目;社会秩序良好;他们的生活围绕简单的五年计划的目标运转,并因此被赋予意义;一切都黑白分明,因为有斯大林在动脑筋,大家只需照办。就这些人而言,怀念斯大林年代的“好日子”,恰恰反映了他们作为退休人员生活的不稳定。特别是苏维埃政权1991年解体以来,许多商品价格的上涨,远远超过他们的购买能力;通货膨胀掏空了他们的积蓄,猖獗的犯罪又让待在家中的老人担惊受怕。

    屈服于这种怀旧的,包括曾占据一定地位的人士——众多的苏维埃官僚、基层工作人员、劳改营狱警、警察、专职司机、铁路职员、工厂和集体农庄的主管、寓长和清洁工,他们回顾当年,在自己的势力范围内犹如“小斯大林”,沿指挥系统拾阶而上,可与这位伟大领袖挂上钩;同时也有普通的公民,他们虽在斯大林政权中没有特别的地位,但自己的生活已与该政权的命运纠缠不清。米哈伊尔·巴伊塔尔斯基回忆,他在20世纪70年代遇到一名老斯大林主义者——曾是20世纪20年代的共青团同事,已在斯大林的工厂晋升为中级工程师。该工程师仍是斯大林的狂热支持者,他虽不想为独裁者辩护(已知道事实),但继续认同斯大林主义的许多假设,包括图哈切夫斯基和其他“人民公敌”有罪。巴伊塔尔斯基得出的结论是,他的老朋友所抱住不放的,不是斯大林的意识形态,而是一种对“火热的青春年代自己曾拥有的素质的自豪”。他不愿背弃20世纪20年代和30年代的信念,因为那些信念已成为自己个性的一部分;也拒绝承认正是这些素质,促使他“在内心中接受了一切,包括枪决他最亲密的战友”。 (985)

    对斯大林的受害者及其后裔来说,这种怀旧也不陌生。列昂尼德·萨尔特科夫的父亲是位神父,枪决于1938年,他自己当上一家工厂的工人和工程师时,曾隐瞒了父亲的被捕。他于1965年入党,最终当上了该厂的党委书记。列昂尼德一生都是斯大林的狂热支持者,哀悼斯大林的去世,在自己办公桌上摆放斯大林的相片,直到1993年退休。他在采访中拒绝认为斯大林应对20世纪30年代的大规模逮捕负责,包括逮捕自己的父亲:

    是的,我父亲遭了难,像许多其他人一样,但斯大林仍比我们今天的领导人强。他是诚实的,即使他周围的人不诚实……不要忘记,多亏了他,我们才赢得了战争,这是了不起的成就。如果今天有人试图打一场类似的大战,没人能保证俄罗斯的胜利,绝对保证不了。斯大林建立我们的工厂和铁路,降低面包的价格,激励大家努力工作。我们都知道,如果学习勤奋,上高等学院,肯定会有好工作,甚至可以自选工厂。一切都取决于自己的勤奋。 (986)

    1937年,在维拉·米诺苏娃17岁时,她那在彼尔姆担任铁路工程师的父亲便遭到了逮捕和枪决。如她自己所承认的,她从那时起,就一直生活在几乎是永恒的恐惧之中,即使在1947年嫁给了彼尔姆的高级党干部。她在2004年的采访中,仍不敢谈论与大恐怖有关的话题,有好几次坚决要求把录音机关掉。维拉以怀旧的心情回顾斯大林的统治时期,那时的“基本生活必需品,大家都能负担得起;与我们今天相比,那时更有纪律和秩序”。维拉50多年来一直在苏维埃铁路办事处担任簿记员,她抱怨说,人们“如今都不想工作”,她声称斯大林的年代较好,因为“每个人都被迫做事”。

    症结在于纪律。你必须将人置于严格的控制之下,如有必要,甚至可以使用鞭子。今天,他们应该借用斯大林的方法,不能让人们上班迟到,随意回家。如果他们想要保住工作,就要被迫按照规矩行事。

    1939年,当伊拉伊达·法伊韦索维奇4岁时,她来自奥萨的理发师父母双双被捕,被送去古拉格劳改营。她在2003年的采访中也认为,斯大林统治下的生活更好。“人们不会在大街上杀来杀去!那时,晚上出去是很安全的。”伊拉伊达认为,在斯大林的时代,政治领导人比较诚实:“当然,有时会有粮食或衣服的短缺,但从整体看,他们兑现了承诺。”像许多在共用公寓长大的老人一样,伊拉伊达也怀念当年的集体主义。她还记得,那是一种愉快的生活,特别是与她退休后的寂寞生活相比:

    斯大林统治下的生活在精神上更为富足——我们过得更为安宁、愉快。大家都很穷,不在乎物质条件,但有很多乐趣——朋友和家人之间一切都是开放的,一切都是共享的。人们互相帮助。我们相互借宿各自的房间,遇上节日,与大家一起上街庆祝。今天,每一个家庭都只为自己而活。

    伊拉伊达说,那时的人对生活寄予了更多的希望和意义:

    我们相信,未来是美好的。我们相信,如果勤勤恳恳地工作,生活将会变得更加美好……我们并不奢想自己在创造人间天堂。但我们认为,正在建造的社会足以保证每个人的温饱,只有和平,没有战争……这个信念是真心实意的,它帮助我们坚持下来。这意味着,为了将来,我们全神贯注于我们的学习和工作,无暇顾及物质条件。我们当年在工作中感到的骄傲,要大于今天的。没有信仰的生活是很难过的,我们今天信什么?都没有理想了。 (988)

    尽管有怀旧,但斯大林受害者的后裔,在独裁者去世几十年之后,仍在继续承受斯大林政权的毁灭性遗产。这不仅仅是失去的亲戚、受损的人生、破碎的家庭,还有代代相传的心理创伤。 (989) [7]

    叶丽萨维塔·德利巴什从1937年被枪决的父母那里,继承了对苏维埃当局的终身恐惧,更传给了自己的孩子。她由在第比利斯的外祖父母和列宁格勒的姨妈相继带大,姨妈本人是狂热的斯大林主义者。叶丽萨维塔十几岁时加入共青团,成为学生积极分子,以此克服自己的恐惧。她努力学习,在学校里获得优秀成绩,1947年进入列宁格勒大学学习语言,但她的恐惧并没彻底消失。她回忆:“我总是感到自卑,因父母的遭遇,自己一直缺乏信心。我的一生,都有这内心的恐惧,那是一种损耗和脆弱的感觉。我感到自己不能算个完整的人,任何时候都有可能受到有权有势者的欺负和侮辱。”她担心自己在列宁格勒被捕,便放弃了继续深造的抱负,逃到库班的宁静小镇克拉斯诺达尔,从事教师工作,直到1954年。其时,她与丈夫回到列宁格勒,找到一份图书管理员工作;她丈夫名叫约瑟夫·利伯曼,是物理系学生。

    约瑟夫来自列宁格勒的犹太家庭,其家人私下里对苏维埃政权持有异议。这与叶丽萨维塔的姨妈的正统政见,形成了鲜明的对照。叶丽萨维塔由此而获得启示,更受到苏共二十大的鼓励,开始对父母失踪的事件持怀疑态度。1958年,她终于发现他们都已遭枪决,这是一个巨大打击,她曾盼望母亲可能还活着,并照着母亲发自索洛韦茨基劳改营的最后一封信所说的,一直遥望夜空中的大熊星座——那是母子团聚的象征。这一发现更加剧了叶丽萨维塔与苏维埃制度的疏离,她和约瑟夫开始与米哈伊尔·莫洛斯特沃夫发起的反对派学生团体走动。1958年,莫洛斯特沃夫被捕,从列宁格勒被送去流放地。后来,夫妇俩又加入约瑟夫·布罗德斯基的圈子。布罗德斯基是列宁格勒诗人,1964年作为“寄生虫”上了法庭,被判刑5年,送到北部的流放地(由于世界各地的抗议活动,在1965年获得减刑)。20世纪60年代后期,夫妻俩又与无法拿到离境签证的苏维埃犹太人建立了密切联系,他们的抗议后来成为人权运动的重要组成部分。

    这一时期,叶丽萨维塔都活在恐惧之中。她为约瑟夫担心,他在完成博士论文多年后仍没拿到博士学位(那是领取学术薪金的资格)——这是对他参与反对派活动的惩罚,还算轻微,却是更重的惩罚将至的威胁。叶丽萨维塔变得愈益内向,担心自己的孩子亚历山大 [8] (生于1955年)和安娜(生于1960年)。叶丽萨维塔只得过着“秘密生活”,吓得要死,害怕自己的持不同政见将会招致逮捕,让子女像自己一样从小就失去母亲。她回忆道:“失去母亲是我一生中最强烈的感受,我为自己的孩子而担忧。”

    据安娜说,叶丽萨维塔作为母亲的保护意识特别强烈,从不告诉女儿自己的家史。安娜回忆:“在我整个童年时期,这都是一个禁忌。”她14岁时才从哥哥那里听说,自己的外祖父母都是在大恐怖时期被枪决的;但询问母亲时,又被告知,外祖父母丧生于战争年代。在开放政策时期之前,叶丽萨维塔一直不让女儿知道真相。安娜小时候完全不知道父母参与了反对派活动:“他们保护我,让我远离他们的活动。”她要到20世纪80年代才意识到,父母的许多朋友都是持不同政见者,布罗德斯基曾来过他们家的公寓,父母读的手稿都是非法的地下出版物。

    母亲始终坚持的是女儿一定要努力学习。安娜回忆:“她一直对我们灌输,我们必须比学校里其他孩子更为勤奋,因为我们的犹太人名字会让我们处处吃亏。”安娜觉得,这真是一种负担,好像自己有责任弥补母亲大学后的放弃深造:“上帝保佑,让我在学校里取得高分。我是被迫变得聪明的——别无选择。”安娜不得与无产阶级背景的孩子来往,因为母亲担心,如果家史泄漏,他们可能会构成危险。安娜回首往事:“现在才意识到,母亲希望我与有文化家庭的孩子交往,他们像我们一样,也受到迫害。”安娜从小学会谦虚谨慎,决不出风头,循规蹈矩,政治上忠诚顺从,参加少先队和共青团。虽然她本能地意识到,这种对当局的亦步亦趋,“纯粹是表面文章”。

    安娜承认自己也有根深蒂固的恐惧,缺乏自信,在社会上自我压抑。她认为,这是母亲幼时教养的遗传:

    我从小就能感受到,但很难说这种恐惧究竟是什么。我害怕与官方的任何接触……那是一种怕受羞辱的恐惧……我从小就学会,如果自己的行为可能受到当局的批评,就赶紧退却……从十几岁开始,我只在自己朋友中敞开胸怀,到了社会上就内向……我害怕与陌生人相处,总是不愿引人注目。

    安娜的恐惧虽然咄咄逼人,却模糊不清、难以界定,因为尚是孩子时,她从不知道家人受到的迫害。第一次获悉污点履历可能引发的后果时,她才恍然大悟,迄今还能清楚忆起那一时刻:她向一位老师谈及自己很想上大学,但老师有所怀疑,他解释说,不是因为她的能力,而是因为“他们通常不会把最高分打给像你[犹太]那样的学生”。安娜随即变得“歇斯底里”,这就是她所一直担心的羞辱。

    为了以后能上大学攻读旅游专业,安娜申请苏维埃护照时不填父亲的犹太民族,改用母亲的格鲁吉亚民族。她加入了共青团,即使看破了它的意识形态,仍坚持参与,唯恐招惹大学当局。她对政治不感兴趣,从不参加持不同政见者的活动。她声称,自己一直知道苏维埃制度的不公,但严格管束自己的思想和兴趣,决不让自己以任何方式引起有关忠诚的怀疑。 (990)

    这种“遗传的恐惧”——安娜如此叫它——以多种方式影响了斯大林受害者的孩子,从他们在学校里的朋友,到他们的职业选择。例如,弗拉基米尔·科萨科夫出生于列宁格勒的旧知识分子家庭,家人在20世纪30年代和40年代的大清洗中吃了不少苦头。他对列宁格勒的围城仍有童年的记忆,因此也留下了深深的心理创伤。20世纪50年代后期,他拒绝了在基洛夫芭蕾舞团担任演员的机会,改去波罗的海工厂上班,那是一个庞大的造船和机械工厂。他回忆,即使在那时,他也担心被攻击为“人民公敌”的儿子,所以要“投身于无产阶级”,以保护自己。 (991)

    20世纪50年代和60年代的初期,阿列克谢·尤拉索夫斯基在哈内耶夫斯基家的莫斯科共用公寓长大。他的外祖父是军医阿列克谢·哈内耶夫斯基,在第一次世界大战中获得贵族地位;父亲是俄罗斯和格鲁吉亚的贵族后裔,祖父及其兄弟都曾以白军身份参与内战。他的父母和外祖母对周遭的无产阶级邻居非常警惕,阿列克谢也深知祸从口出,决不轻易相信他人。他回忆:“我从小就被教导要警惕这个体制。”

    外祖母添加了甚多不合理的色彩,因为她的警告显得荒诞不经,但在小孩的眼中仍颇有说服力。例如,她曾告诉我一个男孩的故事,他一只脚刚刚踏上芬兰大使馆门前的台阶,就马上被捕——永远不见了。这个故事真把我给吓坏了,她这类童话般的故事太多了。

    恐惧使阿列克谢变得极其谨慎。他在莫斯科大学上学时独来独往,与外界的唯一接触就是通过他小学时装配的短波收音机收听英国广播公司(BBC)的节目。他回避共青团和所有政治活动,感觉这一切都很讨厌,他还得出结论,最明智的策略就是避免交友,省得外人怀疑自己的政治忠诚。他40岁之前都奉行着这一策略,此前他受训成为一名考古学者和阿拉伯文化专家。阿列克谢回顾自己的职业生涯,认为自己作出这个选择,也是为了“逃避”苏维埃制度的政治。他认为政治是一个“雷区”,其中的规则和危险变化莫测。他从小感觉的恐惧也在渐渐演变——借用他自己的话即是,变成了对俄罗斯和苏维埃政权的“悲观和怀疑”。他的谨慎也在择偶方面发生作用,安娜是他的三表妹,她的直系亲属也受到斯大林制度的迫害。阿列克谢回忆道:“这当然有帮助,我们来自相同的背景,使我们更加亲近,给我们的关系带来特别的谅解和团结。” (992)

    恐惧的承继直接影响甚多的婚姻。例如,父母被捕的女子,有心嫁给党干部以期获得保护,如此的婚姻非常普遍。维拉·米诺苏娃的父亲1937年被捕并遭枪决,她就嫁给了一名比自己年长一倍的地方党主管。她虽在外表上讨厌对方,但如她母亲所规劝的,她感到能获得物质生活的保障,抚养孩子时可以没有后顾之忧。她回忆:“我结婚时哭得厉害,但母亲不停地催促,‘嫁给他!嫁给他!’我并不爱他,甚至感到厌恶,但我有一个女儿,她长大了,我很爱她。”马克斯娜·卡尔皮茨卡娅的父母在1937年被捕并被枪决,这个十几岁的女孩就在列宁格勒自力更生,后来嫁与列宁格勒一位资深军事科学家和党干部。她把自己的家史一五一十告诉丈夫,让他明白个中的麻烦。她坚持不去登记婚姻,如她所说的:“即使在父母平反之后,我仍让他保留随时离开的机会——只要有一天,他觉得实在难以充当前人民公敌的女婿。” (993)

    许多有污点履历的人,只是在即将结婚时,才向未来的配偶袒露一切。像马克斯娜一样,她们希望在共同生活之前,让对方了解自己的过去。如果讲得太早,可能会把对方吓跑。利季娅·巴布什金娜交友将近3年,最后在1965年举行婚礼的前夕,才鼓起勇气,把父亲作为人民公敌被捕并遭枪决告诉未婚夫(一位坚定的斯大林主义者,来自一个斯大林主义者的军人家庭)。鲍里斯·卡辛也等到婚礼前夕,才把父亲作为“反革命分子”枪决于1938年一事告诉未婚妻。鲍里斯回忆:“这是很大的风险。但我信任她,不想蒙混过关,毁了她的一生。她反应平静,并告诉我,她自己的祖父作为富农也受过迫害,所以她熟悉这类事情。” (994)

    引人注目的是,好多婚姻的双方都来自受迫害家庭,似乎有什么东西把他们牵在一起。1955年,拉丽莎和维塔利·加尔马什,在莫斯科经济统计学院读一年级时坠入爱河。拉丽莎是季娜伊达·莱维娜的女儿;后者在科雷马劳改营度过8年(1946年归来时还带了一个小男孩,其父亲应该是个狱警),然后在波特马劳改营度过3年,最后又去了哈萨克斯坦的流放地。拉丽莎来到莫斯科之前,与母亲一起住在流放地。维塔利1949年被捕时还是个学生,刚获得平反,他来到学院的第一天就遇上拉丽莎。她回忆,相互吸引是因为他们都感到,人生第一次可向信赖的人畅谈自己的过去,对方也能心领神会。拉丽莎还记得:

    演讲厅里,他坐在我一旁。我对他一点也不了解,一无所知。我们开始交谈……当然,知悉他被捕的莫斯科朋友也与他交谈,他最要好的朋友最近刚从劳改营归来。也许,与他们在一起时,他没有那种与我在一起的倾吐衷肠。他的经历突然像竹筒倒豆子一样倾泻出来……之后,我们的关系发展得十分迅速。我们承受着同样的困扰,我们的家史都不简单,这起了很大作用。 (995)

    尼古拉和埃尔弗拉达·梅沙尔金夫妇与他们的女儿玛琳娜、伊琳娜,2003年摄于彼尔姆

    尼古拉·梅沙尔金1956年遇见未婚妻埃尔弗拉达·戈特曼时,并没袒露自己家人1933年作为“富农”被逐出奔萨,当时仍生活在科米地区的流放地。 [9] 他对埃尔弗拉达的家庭也一无所知——她是克里米亚的苏维埃德裔,战争时期流放到了科米地区——仅凭感觉猜测,对方可能也受了斯大林政权的迫害(科米地区有不少流放的苏维埃德裔),从而对她产生好感,频频送上情书。有好几年,埃尔弗拉达不愿向俄罗斯人打开自己的心扉。埃尔弗拉达回忆:“我想,我会找到一个不错的德裔男孩。”但尼古拉坚持不懈,几近30岁的埃尔弗拉达担心自己沦作老姑娘,终于答应下嫁。慢慢地,尼古拉和埃尔弗拉达开始倾吐各自的家史,相同的经历和相互的同情把他们紧紧拧在一起。经过将近50年的婚姻,尼古拉认为,这种相互理解是他们关系中的最重要部分:

    我把这种理解称作团结一心。我一直有这种感觉,即与这个女人团结一心的感觉,因为她也承受着苦难,遭受过迫害。我认为,她也会有同感。我想我们一起拥有的不是爱,而是团结一心,对我们双方来说,这更重要。爱情会远去,但团结一心就只会紧紧相连。 (996)

    在1992年读到要向受迫害者作出赔偿的新法令以前,尼古拉和埃尔弗拉达一直没将自身的污点履历告诉女儿们。之前,他们一直害怕透露家史,一是不想给女儿增加思想负担,二是不想让她们疏远于苏维埃制度。他们总是把涉及过去的话题,转移到比较积极的岁月,譬如双方父亲都作出过贡献的伟大的卫国战争。 (997)

    在这一方面,梅沙尔金一家算不上特殊。即使在苏维埃政权的最后几年,即自由气氛浓烈的开放政策时期,大多数苏维埃普通家庭仍闭口不谈自己的家史,仍不把遭受迫害的往事传承给下一代。开放政策的影响局限于大城市,在外省城镇,例如梅沙尔金家居住的彼尔姆,斯大林的幽灵还在四下徘徊。诗人鲍里斯·斯勒茨基在1986年临去世前,曾写下这样的诗句:

    外省,周边,后方,

    冻得太硬,解冻也束手无策,

    迄今,斯大林仍在那里活着。

    不是死了吗!但尸体仍有余热。 (998)

    苏维埃政权倾塌15年后,外省仍有人不敢谈论过去,甚至对自己的子女也是如此。 (999)

    安东尼娜·戈洛温娜的污点履历,几乎在她的一生中都是高度机密。她向女儿坦白自己的“富农”出身时已是20世纪90年代,离她幼时流放到西伯利亚已有60多年。安东尼娜还向分别同居了20多年的两任丈夫隐瞒了家史。她在列宁格勒儿科研究院的最后一年,即1947年,遇上第一任丈夫格奥尔基·兹纳缅斯基。其时,安东尼娜为了隐瞒自己的过去,已在使用前男友的姓氏。她没有在列宁格勒居住的合法权利,担心万一当局发现她在考上研究院时曾隐瞒自己的“富农”出身,自己又会成为“反社会分子”并遭到再一次的逮捕和流放——那是战后降临于许多前“富农”的命运(包括自己的父亲),其时,政权正致力于各大城市的全面清洗。安东尼娜忆起当时的险境:

    我所有的文件都是假的,很害怕在街上遇上警察检查。我的护照上有很多伪造的公章和签名,有些是我在斯维尔德洛夫斯克州的妹妹代签的……我居住[在列宁格勒]的许可,6个多月之前便已过期。

    安东尼娜·戈洛温娜,2004年

    安东尼娜居住的共用公寓,寓长是一名狂热的斯大林主义者,颇有举报人的名声,已开始对安东尼娜起疑。有一次,邻居拿出一双新鞋,安东尼娜失言说出自己父亲可以做得更好,因为他也是一名鞋匠(这在农村通常是“富农”的手艺)。她因此被吓坏了,唯恐真相暴露。正巧这时格奥尔基·兹纳缅斯基向她求婚,在安东尼娜的眼中,他无疑成了一大救星。与列宁格勒居民、工程师兹纳缅斯基结婚,她就会得到新的姓氏和文件,得以合法地留在列宁格勒。

    安东尼娜在后来的40多年中,一直向格奥尔基隐瞒自己的“富农”出身,相互之间很少谈及各自的过去,说到家人时,总是谎称他们都是贫农。她也向生理学院所有的同事和朋友隐瞒真相(很久以后,她才发现,自己所有的朋友都来自受迫害家庭)。1961年,她甚至入了党(一直到1991年),不是因为笃信它的意识形态(有好几次,她悄悄违反党的纪律,以帮助朋友),而是认为入党可打消他人对自己的怀疑。她想以此促进自己的医学生涯,并为将要申请大学的14岁女儿提供政治上的保护。安东尼娜回忆:“我很担心女儿的未来。”

    我不想让她知道自己的过去,只想让她觉得,她有一个正常的母亲,像她所在的[精英]学校其他女孩的家长一样。那里,所有的父母,至少是父亲,都是党员。

    甚至在1968年离婚之后,安东尼娜仍继续对格奥尔基隐瞒自己的污点履历。她后来嫁给爱沙尼亚人鲍里斯·约翰逊。1987年,安东尼娜接待格奥尔基年迈的姨妈,后者说漏了嘴,透露他父亲原是沙俄海军的少将,忠于沙皇,曾在内战中参加白军。她这才弄清,格奥尔基像自己一样,也一直在隐瞒出身。他早年也是在劳改营和“特殊定居地”度过的,决意成为一名工程师,有意识地取得无产阶级身份。他申请第一份工厂工作时就在表格上编造履历,一生都保存一张答案纸,以确保自己在填写下一份表格时不会出现前后矛盾的破绽。格奥尔基和安东尼娜,凭借某种奇怪的直觉,竟相互找上了翻版的自己。

    鲍里斯·约翰逊也来自受迫害家庭——他的父亲和祖父被捕于1937年——但安东尼娜被蒙在鼓里,另一方面,她也不向对方透露自己的污点履历,直到20世纪90年代初,即苏维埃制度崩溃之时。其时,斯大林政权的迫害受到公开的揭发和辩论,他们因此变得大胆,终于开口谈起自己的过去。与此同时,安东尼娜和格奥尔基也敞开胸怀,道破了彼此隐瞒40多年的秘史。然而,他们仍一致同意,继续对担任教师、谋求上进的女儿奥莉加保密。他们认为,如果斯大林主义者卷土重来,全不知情反而能向奥莉加提供某种保护。有两起事件促使安东尼娜逐渐冲破恐惧,鼓起勇气将自己的“富农”出身告诉女儿。

    第一件发生于1995年,72岁的安东尼娜重访奥布霍沃村,她家曾在那里居住,直到1931年被流放到西伯利亚。她上一次访问奥布霍沃村是在1958年,与哥哥和父亲同行,几星期之后,父亲便去世了。他们的老宅已是一片空地,他们以前经常坐在其上与村民聊天的磨石,周围杂草丛生。他们站着注视那块空地,安东尼娜突然听到身后的声音:“富农回来了!富农回来了!他们以前被赶走,现在又回来了,还穿着漂亮的新衣服。”安东尼娜转身寻找说话人,却无影无踪,这个记忆一直困扰着安东尼娜。她回想道:“我想回到自己的出生地,仍想把它当作自己的老家。我渴望当地人认同我,与我交谈,把我当作他们当中的一员。”

    安东尼娜1995年8月2日回到奥布霍沃村,恰好是父亲1930年被捕的65周年。古老的村庄所剩无几,至今仍有炊烟的只有9栋房舍。像成千上万其他村庄一样,60年的集体化耗尽了奥布霍沃村人的青春和活力。1930年,奥布霍沃村虽贫穷,却是一个充满活力的农业社区,总人口达317人,将近一半是孩子,有自己的教堂、学校和合作商店。许多像戈洛温那样的家庭,还有自己的皮革作坊,生产皮鞋和其他日用品。1960年,奥布霍沃村的人口下降到68人,大多数是老年夫妇和养老的独居者。到安东尼娜1995年重访时,全村仅存13人,其中11人已有60至70多岁。村民早已遗忘了8月2日的古老宗教节日,但俄罗斯农民的好客传统,还不至于彻底消亡。安东尼娜到后不久,村里的妇女以她的名义,在伊万·戈洛温的家中安排聚餐——他是村庄里她家族中的硕果仅存者。最初的紧张气氛一旦烟消云散,村民们开始回忆起安东尼娜的父亲,称他是一个好农民,他的勤奋正是集体农庄所缺乏的。一名老妪回忆道:“戈洛温一家都是诚实、正派、清醒的人,当初把他们抓起来,都是错的。汤妮雅[安东尼娜],你是我们中的一员,一个真正的农家女,我们需要更多像你这样的人。”

    安东尼娜与过去达成和解的第二个转折事件,发生于西伯利亚阿尔泰地区的沙尔铁地区。1931到1934年,她与家人曾居住于此,因此她特来这个“特殊定居地”故地重游。多年之前,定居地已被撤销,但从路上就能看到,营房的废墟仍屹立在高高的铁丝网之后。安东尼娜在附近徘徊时,遇到一位与自己年龄相仿的当地妇女,她询问可否走进定居地,随即开始了交谈。那名女子透露:她从小就住在这里,“我是富农的女儿,1930年被送来此地,我真正的家园是在巴尔瑙尔”。安东尼娜回忆当时她的反应:

    我感到震撼,从未听人公开说出自己是富农的女儿,像我一样。我从没想到,说出这些话语,可以不带一丝羞耻。更何况,这个女人讲出时明显感到自豪。我的一生,一直在尽力掩盖自己的富农出身。这个女人说话时,我环顾四周,看看旁边有无他人。后来,我开始思索,为何环顾四周察看有没有旁人偷听?我到底怕什么?我突然为自己的胆怯感到羞耻。然后,我大声说出:“我是个富农的女儿。”这是我第一次大声说出这句话,尽管在自己的脑海中,我曾自言自语一千次。周围没人能听到我的话,因为我独处在一条荒道上。但是,我仍感到自豪,自己终于大声说出来了。我走到河边,用河水洁净自己,然后为父母祈祷。 (1001)

    [1] 玛莎·西蒙诺娃2004年在莫斯科接受采访时,并不知道这封信的存在以及信中所表达的情绪。

    [2] 从1957到1969年,热尼娅在《莫斯科》期刊工作,后因“严重的思想错误”(发表了叶夫根尼·叶甫图申科的诗歌)而遭到解雇。

    [3] 非常显著的例外是维克多·涅克拉索夫的《在斯大林格勒战壕中》(1946年)。它生动地再现了普通士兵的战争,避开了通常有关党的英明领导的陈词滥调。令人惊讶的是,它竟在1946年赢得斯大林奖。

    [4] 这一类小说有4部:西蒙诺夫的《生者与死者》、涅克拉索夫的《第二晚》(The Second Night,1960年)、奥库德扎亚的《学生,祝你好运》(Good Luck, Schoolboy,1961年)和瓦西尔·贝卡乌的《死者无疼痛》(The Deed Feel No Pain,1965年)。

    [5] 西蒙诺夫在生命的最后一年,试图在莫斯科郊外的波多利斯克国防部档案馆,建立一个士兵回忆录专辑,但遭到军队高级领导人的反对。(‘O popytke K. Simonova sozdat’ arkhiv voennykh memuarov’, Otechestvennye arkhivy, 1993, no. 1, pp. 63-73)

    [6] 可在纪念学会档案馆中找到数以千计这样的回忆录。该学会是20世纪80年代后期成立的,为了纪念镇压的受害者并录下他们的回忆,遍及苏联各城镇。成立于1989年的莫斯科历史文学协会档案馆(Vozvrashchenie)、开放于1996年的莫斯科安德烈·萨哈罗夫公共中心和博物馆,都有这段时期未发表的回忆录的丰富馆藏。

    [7] 这种心理创伤会以各种方式传递下来,譬如父母的忧虑和恐惧、对子女的过度保护、对子女的期望过高,甚至是一起玩的游戏。匈牙利精神分析学家特列兹·维拉格——专门治疗反犹大屠杀的幸存者及其子女,举了一位幼时经历列宁格勒围城的母亲的例子。那位母亲的两岁的女儿不愿吃圣诞老人的饼干,如有人硬塞给她,就会号啕大哭,以示抗议。那位母亲自己小时候曾听闻列宁格勒围城期间有人杀小孩充饥,留下了心理创伤。维拉格认为,那位母亲以这样的方式将心理创伤传给了下一代——她在女儿洗澡时与女儿一起玩耍,将女婴的脚放进自己嘴中,并念念有词——“现在,我要吃你了”。(T. Virag, Children of Social Trauma: Hungarian Psychoanalytic Case Studies(London, 2000), p. 43)

    [8] 亚历山大1991年死于登山事故。

    [9] 20世纪90年代,尼古拉去奔萨档案馆做他自己的研究,才发现父母对他隐瞒了一个家庭秘密:他们曾拥有乡村酒馆和面包店——根据苏维埃标准,足以被定为资产阶级。

    后记及致谢

    《耳语者》有一段较长的历史,它的酝酿可追溯到20世纪80年代中期,当时我还在莫斯科做研究生时期的研究。我是专攻俄国革命和内战的,渴望能遇上仍能记得那段岁月的人,结果成了热尼娅·戈洛夫尼亚的好朋友。她是电影摄影师阿纳托利·戈洛夫尼亚的孙女,她的母亲奥克萨娜告诉我很多20世纪20年代和30年代的家族故事,并把我介绍给她的朋友——都诞生于第一次世界大战之前,即她所谓的“和平时期”。之后的几个月中,我拜访了大约十来个她的朋友,大多数是老太太。但她们当时太小,记不起内战时期;现在又太紧张,不愿详尽披露铸造自己人生的那段历史,即斯大林的统治时期。

    我涉猎口述历史的第一次尝试,教我学会了珍惜家庭记忆,以制衡苏维埃历史的官方叙述。1991年之后,我再次考虑就“耳语者”这个主题做一些研究并写出一本书的可能性。其时,有关斯大林迫害的个人回忆录,突如潮水一般汹涌出现,更激起了我的热望。但我的直觉是,就整体而言,老年人仍不愿抛头露面。他们还在等待,以确信共产党人不会卷土重来,这可能还需时多年。从某方面来看,我错了。20世纪90年代初,现在被广泛认作口述历史在前苏联的鼎盛时期,特别是对照于普京时期,威权政府的复辟已驱使许多俄罗斯人回到沉默寡言的旧习惯。从另一方面看,我的直觉又是正确的。在第一个高峰时期,人们亟想记录的只是受迫害的真相,以及逮捕、监禁、平反的细节,而不是塑造自己人生的内心创伤、对背叛的耿耿于怀、对失去的亲情的痛苦回忆。

    到2002年我完成《娜塔莎之舞》(Natasha’s Dance)一书时,觉得征服这个未知领域的时机终于来临。在1953年之前长大的一代正在迅速消失,我由此产生一种紧迫感:通过普通家庭和个人的内心生活来了解斯大林时代,这可能是最后一次机会。为《耳语者》研究项目接受访谈和提供档案的人,其平均年龄是80岁。据我所知,本书完成之前,至少有27人去世(占案例总数的6%)。

    一开始,我的查询范围是俄罗斯国家档案馆和公共档案馆,冀望找到家庭生活的私人文件,然后再去采访捐赠者。这涉及对收藏的信件、笔记本、日记、回忆录进行旷日持久的搜索,结果却徒劳无获。那些文件通常以很难解读的潦草笔迹写成,虽提供了部分信息,但很难得出结论(后来,本书几乎都没用上这批档案)。我在这个研究阶段,获得了下列员工的帮助:卡蒂娅·布宁娜和朱莉娅·莎拉波娃与我一起处理了莫斯科的档案;尼古拉·米哈伊洛夫收集了圣彼得堡档案的资料;尼古拉·库兹明处理了奥廖尔等处的档案。在这早期研究中,我要感谢两位老教授的支持:维克托·丹尼洛夫(1925—2004年)是专门研究苏维埃农民的历史学家,对我的研究产生浓厚兴趣,帮我打开了俄罗斯国家经济档案馆的大门;特奥多尔·沙宁帮我获得了莫斯科社会经济科学院的支持。

    在搜索档案的同时,我也开始访问家庭,倾听他们讲述斯大林时期的故事,询问他们是否保存了私人文件。这个项目凭借口碑得到广泛的传播——仍是俄罗斯最有效的工作方法——我开发的关系在朋友圈子里推介我的工作,渐渐引起浓烈的兴趣。他们要求得到采访,提供家庭回忆录、书信、笔记本等其他珍贵手稿,希望得到发表(也许想卖得好价钱)。要想一一感谢在这个阶段伸出援手的人是不切实际的(他们的名字列在采访名单中),但我特别亏欠下列人士:萨沙·科济列夫欣然同意,帮助采访他在圣彼得堡的熟人和朋友;依达·斯拉温娜接受我的采访,提供了私人档案中许多文件、照片、有关家人的文章和信息;叶夫根尼娅·维滕贝格、阿达·列韦多娃、贝拉·列维蒂娜、奥莉加·拉缅斯卡娅、加林娜·佩特洛娃也接受了采访并提供了家庭档案;列昂尼德·马赫纳茨以晓畅的文笔写下自己的回忆,并提供了珍贵文件;瓦赫坦·米赫拉兹接受好几次采访,安排我与他在第比利斯的家人取得联络;热尼娅·戈洛夫尼亚不仅誊写、扫描了家庭档案,而且提供了她为电影《抛弃》(Izmennitsy,1990年)所收集的访谈和文件——来自阿克莫林斯克劳改营的前囚犯和管理员。她向我解说了苏维埃电影界的复杂历史、传言、阴谋和许多人的品行,并把我介绍给众多拥有斯大林时代吸引人的故事和档案的家庭。

    我通过热尼娅见到阿列克谢·西蒙诺夫,他是我最大的“债主”。我知道阿列克谢是电影导演、记者、人权和新闻自由的活动家(1999年成为莫斯科保卫开放政策基金会的主席),但并不清楚他家的不平凡历史。他母亲一边的拉斯金家的故事,几乎丝毫未见于其著名父亲的传记。为了准备与他的第一次见面,我事先预读了这些传记。他的公寓就在莫斯科康斯坦丁·西蒙诺夫大街的拐角。母亲热尼娅·拉斯金娜去世于1992年,之后,阿列克谢将拉斯金家庭档案珍藏于抽屉中,依据这些材料,他在1999年写出了有关父母的感人肺腑的回忆录《私人收藏》(Chastnaia kollektsiia)。从一开始,他就对我的志趣表示欢迎,并深信我会成为他所说的“家庭历史学家”(the family’s historian)。阿列克谢允许我复制拉斯金档案,又从繁忙之中抽出大量时间,为我解说他家的历史细节,纠正我的误解。阿列克谢是一名了不起的说故事的人,许多采访和谈话在他家的厨桌旁进行,往往持续到深夜。他像变戏法一样,生动地再现了拉斯金家的特殊气氛——阿列克谢和妻子加林娜成功维持了那种温暖和随意——我开始觉得,我不只是一名历史学家,而在事实上成了这个大家庭的一员。我拜访阿列克谢的姨妈法尼娅·塞缪罗夫娜时也有同感,她又叫杜西娅,是拉斯金三姐妹中唯一健在者,与儿子一起住在伊里奇广场附近的新式大楼11层。1990年,她和索尼娅被迫搬离自己在西夫切夫―弗拉热克大街将近60年的家。索尼娅于1991年去世,法尼娅的记忆也日益退化。她97岁时给了我最后一次采访,当我问起老话题时,她突然又忆起先前遗忘的细节,差点成了永久的秘密。出于这个原因,更由于她的魅力,我学会了珍惜与她相处的每一分钟。

    我非常感谢阿列克谢,让我无限制地参阅他父亲在俄罗斯国家文学艺术档案馆的规模巨大的档案。我在先前封存的西蒙诺夫个人档案(第9和第10部分)中获得大批文件,都是学者们从未看到过的。事实上,其中最敏感的材料,甚至连他家人都不知晓。不幸的是,我的发现激活了家庭成员的痛苦记忆。于是,西蒙诺夫文学遗产委员会的主席卡蒂娅·西蒙诺娃(原来姓氏是格鲁津科),2005年10月决定禁绝研究人员参阅这些档案,直到2025年。

    除了西蒙诺夫的档案,我还采访了他的同事、朋友、亲戚,获悉这位作家的不少经历和性格特征。我特别要感谢玛丽亚·西蒙诺娃、拉扎尔·拉扎列夫、尼娜·阿尔希波娃、阿列克谢和索菲亚·卡拉加诺夫、安德烈·叶罗费耶夫、玛琳娜·巴巴克等。另外还要感谢尤纳·莫里茨、维克托·叶罗费耶夫、维克托林娅·施韦策尔、加林娜·克拉夫琴科、阿列克谢·什马利诺夫,他们补充了我对西蒙诺夫世界的理解。

    2003年的春天,我同时对十几个家庭开展研究,觉得需要更多人手来系统地扩充我的工作范围。2003年,我从艺术和人文科学研究理事会和莱弗尔梅信托公司领到两笔主要资助,真是雪中送炭。没有这些英国机构的慷慨支持,便不可能写完《耳语者》,以及完成与本书相连的广泛研究,我在此向他们表示衷心的感激。

    在这两笔赠款的支持下,我聘请了圣彼得堡、莫斯科和彼尔姆的纪念学会去采访斯大林时代的幸存者,誊写和扫描其家庭档案。选择这三个纪念学会并不困难,它们先前已有口述历史的杰出成绩,只是工作性质稍有不同。我要做的,是强调个人的内心世界和家庭关系;他们先前所做的,只专注古拉格的历史。这些学会都拥有众多活跃的成员,涵盖各式家庭,包括在斯大林统治下相当成功的。这虽超出了我们的自然选择范围(受迫害者的群体),但还是从中选出了我的大多数研究对象。圣彼得堡和莫斯科的优势是,有文化的人家大都保存有书面文件。彼尔姆的优势在于,从1941到1945年一直没受德军占领,因此,斯大林时代的记忆不会与战争创伤混淆起来;此外,该地曾布满劳改营和“特殊定居地”,居民中有大量前流放者和古拉格前囚犯。

    圣彼得堡的团队由伊琳娜·菲利格率领,她的睿智的洞察力、建议和评判是这个项目的无价之宝。我享受与伊琳娜一起工作,学到很多东西,将永远欠她的人情。圣彼得堡的团队还有塔蒂亚娜·科西诺娃,她是个富有同情心的听众,像伊琳娜一样,不知何故总能从采访中得到高于预期的收获;还有塔蒂亚娜·莫尔加切娃,她以精湛的技能参与了采访和档案的工作。伊琳娜·菲利格和塔蒂亚娜·科西诺娃还曾率队前往诺里尔斯克。此外,伊尔玛还单独访问了莫斯科、萨拉托夫、彼得罗扎沃茨克、克拉斯诺亚尔斯克、斯塔夫罗波尔,从事采访、收集材料。

    阿廖娜·科兹罗娃以镇静的权威带领莫斯科团队,总能提供周到、睿智的意见。伊尔玛·奥斯特罗夫斯卡娅、奥莉加·比金娜、纳塔利娅·马利欣娜和阿廖娜·科兹罗娃,安排采访时保持着极高的敏感,加丽娅·布韦娜组织档案则十分高效。我对她们表示深深的感谢。

    带领彼尔姆团队的是能干、热情的亚历山大·卡利赫,外加艾莱娜·斯卡列科娃的协助。进行采访的分别是罗伯特·拉特波夫、安德烈·格列比翁希科夫、斯韦特兰娜·格列比翁希科娃、米哈伊尔·切列帕诺夫。我向他们表示感谢,特别是罗伯特和安德烈,他们做了大部分采访,总是卓有成效,并写出很有启发的评论。

    关于本项目的研究方法,需要作出几项说明。研究小组电话采访了1000多人,从而建起数据库,我再从中选出若干家庭。我的主要关注是,确保最终的抽样来自富有代表性的社会各阶层(否则,就会偏向知识分子,特别是莫斯科和圣彼得堡的),同时坚持每个家庭必须有某种档案,以佐证采访中的讲述。这在彼尔姆变得尤其困难,其居民当中有不少背井离乡的前“富农”和斯大林政权的其他受害者。我们电话采访的对象,绝大多数都没有私人文件(许多人甚至没有父母的照片)。但那些确有家庭档案的,很值得深入探讨。

    在第一次采访中,尽管我事先备有一份问卷,并请受访者讲述已从数据库中呈现出来的主题,但他们可以畅谈自己的经历,只受极少的干扰(口述历史的标准做法)。这些访谈通常持续很久,达几个小时,分几天完成。我先分析已整理出来的记录,再决定后续采访的主要方向和进一步提问,以深入探讨特定的主题。通常,每个家庭会有两至三次采访。我与研究小组大约每月开会一次,讨论采访内容,从家庭档案中选出相关材料来作转录和扫描。选择档案比较简单,我们先多多益善——私人文件、日记、回忆录、笔记本、全部的通信——只要它们写于1960年之前,或能对斯大林时代提供启示。另一方面,我们在访谈中遇到许多挑战,其中的大部分,从事前苏联口述历史的研究人员都很熟悉。我们需要设计特殊方法,让受访者反思自己的人生,梳理出直接记忆,避开后来形成的印象和意见,观察以往时摆脱后来的影响,忆起当时的真实想法,克服对陌生人的恐惧。逐步建立起信任是必不可少的,往往要在访问十几次之后,他们才会把珍贵的文件交给我们复制(便携式的扫描仪和数码相机,可在当事人的家里迅速完成这项工作)。

    我由衷地感谢支持本项目的所有家庭,要分别一一向他们表示感谢也是不切实际的(他们的名字都列在采访名单中),但必须感谢下列人士:安东尼娜·兹纳缅卡娅、伊娜·希赫耶娃、马克斯娜·尼基福罗娃、叶丽萨维塔·德利巴什、安吉丽娜·布舒耶娃、瓦伦蒂娜·季哈诺娃、尼娜·费奥菲拉克托娃、玛丽亚·维特克维奇、玛丽安娜·巴尔科夫斯卡娅、格奥尔基·福尔瑟、玛丽亚·库兹涅佐娃、叶夫根尼娅·瓦西列娃、尼古拉·科瓦奇、瓦伦丁·穆拉夫斯基、拉达·波洛兹、安热莉卡·西尔曼、卓娅·季莫菲耶娃、尼古拉·利列耶夫、弗拉基米尔·皮亚特尼茨基、列夫·内托、朱莉娅·沃尔科娃、拉丽莎和维塔利·加尔马什、玛娅·罗德克、加林娜·阿达西斯卡娅、罗扎·诺沃塞尔茨娃、维罗尼卡·涅夫斯卡娅、斯韦特兰娜·赫列斯托娃、维拉·米诺苏娃、尼古拉·梅沙尔金、埃尔弗拉达·梅沙尔金娜、列昂尼德·萨尔特科夫、德米特里·斯特雷勒兹基、伊琳娜·米库耶娃、列泽达·泰西娜、柳博芙·捷丘耶娃、维拉·瓦西里佐娃、纳塔利娅·斯特凡茨娃、伊万·乌戈列茨基赫、索菲亚·奥热姆伯罗斯卡娅、瓦伦蒂娜·克鲁波特娜、塔玛拉·特鲁比娜和维拉·图尔金娜。他们都向本项目贡献了宝贵时间和珍贵资料。我要感谢艾莱娜·邦纳,她参与纪念项目,在波士顿接受了伊琳娜·菲利格的采访,又授权容我引用安东尼娜·W. 布易斯翻译的她的作品《母亲与女儿》(伦敦:Hutchinson出版社,1992年)。

    这些人都是《耳语者》的英雄。本书在真正意义上是他们的书,我只提供了发言机会。对我们来说,这些只是故事,对他们来说,是他们的人生。

    在写作本书的每一阶段,我都强烈地意识到,作为历史学家,我有责任如实转述这些人的故事,并要得到当事人的认可。本书中几乎没有匿名者,除了一两个例外,所有接受采访、提供文件的人士,都同意公开自己的姓名。出于这个原因,后期的部分书稿先行译成俄文,发给有关家庭,让当事人作出必要的修正和建议,这是一个漫长且复杂的过程——因为每个人如何看待自己的传记,往往迥异于他人阅读回忆录、书信、日记、谈话记录所得出的印象——重要的是,本书当事人应该有机会作出纠正。尚无一件案例,我必须被迫改变自己的整体阐释。很多时候,我的见解因当事人的参与而变得更加丰富多彩和尽善尽美。只有一个家庭发生了麻烦,即希赫耶夫家(盖斯特家):有些家庭成员对伊娜的大女儿所说的内容不以为然,我在最后的版本中予以删除。伊娜阅读并纠正了所有剩下的盖斯特资料,但后来又封存了她在纪念学会的档案。我还要感谢:将本书一部分译成俄文的然娜·博格达诺维奇和纳塔利娅·列什琴科;校阅最后定稿的伊琳娜·菲利格、阿廖娜·科兹罗娃、伊琳娜·奥斯特罗夫斯卡娅;在斯拉温资料一事上提供慷慨协助的列奥·维帕林斯基;校正拉斯金和西蒙诺夫的英文资料的阿列克谢·西蒙诺夫,此外,他还让我懂得,有必要再三思索“康斯坦丁·米哈依洛维奇”光碟视频中的扑朔迷离。

    《耳语者》的研究项目,所收集的大部分材料可在网络中找到(www.orlandofiges.com)。你会在那里发现主要家庭档案的笔录,以及采访录音的片断,部分材料已译成英文。如果没有这个网站,许多档案会因当事人的去世而销声匿迹,因为那些身在俄罗斯的年轻一代,对苏维埃的过去兴趣索然,而且没有太多存储空间来保存这些档案。我要感谢艾玛·毕阿、艾别克·巴拉托夫、张鼎(Ding Zhang),他们帮助设计、架构了这个网站。艾玛在杰里·库厄伊的支持下,试图燃起对视频项目的兴趣,其目的是想为《耳语者》人物的采访录像创建一个影像档案,让大家在网站上浏览。

    这个项目涉及漫长的差旅,好几个月远离家人,史蒂芬妮、利季娅、爱丽丝为此忍受了诸多的不便。我希望,她们现在可看到这是值得的。通过她们的爱和支持,我更加体会到家庭的真谛。

    我要感谢朋友罗伯特·斯基德尔斯基在莫斯科的慷慨款待和阿列克谢·尤拉索夫斯基的善解人意。我还要感谢艾莱娜(海伦)·沃尔孔斯卡娅的邀请,让我在她意大利托斯卡纳的美好的家中潜心钻研。2006年,本书第二稿的大部分就是在那里完成的。

    作为作家,我获得了鼎力支持。我的代理人德博拉·罗杰斯厚道且充满激情,一直在努力帮我;美国的梅拉妮·杰克逊也乐于助人;企鹅出版社的西蒙·文德和大都会出版社的萨拉·贝尔施泰尔,是任何作家梦寐以求的编辑团队,他们以各自不同的方式大大影响了本书——西蒙以热烈的评论和鼓励在旁打气,萨拉以非凡的热情和细心逐字逐句地编辑书稿,我对他们两位都感激不尽。我要感谢担任校对编辑的大卫·沃森、复查俄文名字音译的梅尔·里德、绘制平面图的艾伦·吉利兰、提供额外编辑支持的唐纳德·温彻斯特。我很感谢俄通社―塔斯社图片组的安德烈·博布罗夫,帮我找到了一些很难觅得的照片。

    我要感谢那些指点和提醒我的学者:瓦莱里·戈洛法斯特、卡捷琳娜·格拉西姆娃、斯蒂芬·惠特克罗夫特、卡特里奥娜·凯利、鲍里斯·科龙涅茨基、乔纳森·哈斯拉姆、丹尼尔·毕阿和丹尼尔·皮克。我还亏欠罗伯·佩克斯,他在应对口述历史的挑战上,与我分享了他的心得体会。詹妮弗·戴维斯在处理我和纪念学会的合同上向我提供了很好的法律咨询,在此深深致谢。拉贾·旃达瓦卡以难以历数的方式给了我忠心的支持和帮助。我真希望他还活着,可与我讨论本书。
    最后,我要感谢我的老朋友和同事黒宫広昭(Hiroaki Kuromiya)。他是研究斯大林时代的最好、最认真的历史学家之一,他帮助审读了我的手稿,以严苛的要求剔出了书中任何可能的缺陷。如还存有任何错误,那都是我的责任。
    伦敦   2007年4月

  • 文言历史文本选编

    先秦

    利簋guǐ铭文

    武王{珷}征商,唯{住}甲子{党}(公元前1046年1月20日),岁{减}(木星)(当空),克昏{旋}{执}(黄昏到次日晨){又}(占)商,辛未(甲子日后七天),王在{才}{器}{自}(地名),赐{易}{又}(右史)(人名)(铜),用作{乍}[先人]{理}公宝尊{蹲}彝。

    石鼓文

    石鼓文是先秦时刻石文字,因其刻石外形似鼓而得名。共计十枚,高约三尺,径约二尺,分别刻有大篆四言诗一首,共十首,计七百一十八字。原石现藏于故宫博物院石鼓馆。


    吾车既工(造好),吾馬既同(齐备)。吾车既好(美好),吾马既阜(丰壮)
    君子員(周围)(猎),員獵員游。麀鹿(母鹿)速速,君子之求。
    骍骍角弓,弓兹以持。吾敺(驱)其特(首鹿),其來趩趩。
    [ ]炱炱,即篽即埘。麀鹿趚趚,其来亦次。
    吾驱其朴,其来[ ],射其猏蜀。

    (河)殹沔沔,烝彼淖渊。鰋鲤处之,君子渔之。
    濿(浅水)有小鱼,其游汕汕。帛(白)鱼皪皪,其盗氐鲜。
    黄帛其鯾,有鲂有鲌。其𦚏zhuāng孔庶。
    (喂)之毚毚,汗汗搏搏。其鱼维何,维鱮维鲤。
    何以苞之,维杨及柳(编筐)

    (猎)车孔安,鋚勒(马辔)冯冯。四众(侍卫)既简,左骖(旗)幡幡,右骖健健。
    吾以跻(登)(高)原,吾戎(队伍)止陕(地)。宫车其泻(流水),秀弓待射。
    麋豕孔庶,麀鹿雉兔。其逋有陈,其[ ]奔奔。
    太子出阁,亚昊襗,执而勿射。
    多庶(众人)跃跃,君子攸乐。

    (君子之)车[ ],贲髤真[ ]。[ ]弓孔硕,彤(红色)矢[ ]。
    四马其泻,六辔骜。徒驭孔庶,鄜宣搏。
    (巡视)车载行,戎徒如章,原隰(低湿之地)阴阳。
    趍趍骆马,射之族族。予如虎,兽鹿如。
    多贤,陈(列)禽,吾获允异。

    癸(日),零雨。流迄滂滂,盈盈渫济(渡河)
    君子即涉,涉马流。汧殹洎洎,萋萋。
    方舟囱逮,自鄜,徒驭汤汤,维舟以行。

    或阴或阳,极深以桨。于水一方。勿止。
    其奔其吾,其事。

    [ ]猷(弯路),作原作[ ]。道(路)澄我司,[ ]除。
    帅彼陂(坡地)[ ],草为卅(三十)里。[ ]微,秩秩攸罟(渔网)
    栗(树),柞(树)(树)其。椶(棕树)(乌桕)祈祈,鸣。
    亚箬其华,为所游优。盩导二日,树五日。
    ,,而师。弓矢孔庶,。
    以。左骖,滔滔是炽。不。
    具获信复,具盱来。其写,小大具。
    来乐,天子来。嗣王始,故我来。

    ,天虹彼,走。济济马荐,栺栺芄芄。
    微微雉(野鸡)立,心其一。之。

    吾水既清,吾道既平。吾既止,嘉树则里,天子永宁。

    日维丙申(日),旭旭薪薪,吾其周道,吾马既陈。
    秀□康康,驾弇,左骖骜骜,右骖趚趚。
    牝,毋不,四翰骊骊。
    ,公谓大,金及如,害不余佑。

    吴人怜亟,朝夕敬。载西载北,忽牿忽代。
    而初[ ],献用[ ]。[ ],[ ]大祝。
    曾受其庸,[ ]种寓逢,中囿孔[ ],[ ]鹿[ ]。
    吾其[ ],緟緟大[ ]。[ ]求有,[ ]是。
    (多缺失)

    何尊

    唯王初堙(迁)宅于成周,复禀武王礼福自天。在四月丙戌,王诰宗小子于京室曰:“昔在尔考公氏,克逑(仇)文王,肆文王受兹大命。唯武王既克大邑商,则廷告于天,曰:‘余其宅兹中或(国),自之乂民。’呜呼,尔有唯小子亡识,视于公氏,有庸于天,彻命敬享哉!助王恭德欲天,临我不敏。”王咸诰何,赐贝卅朋,用作□公宝尊彝。唯王五祀。”

    墙盘

    曰古文王,初盩和於政,上帝降懿德大甹,匍有上下,受萬邦。圉武王,遹征四方,達殷民永,不鞏狄虘,伐屍童。憲聖成王,𠂇右绶剛,用肇徹周邦。康王,兮尹意宖魯邵王,廣楚荊。隹南行。穆王,井帥宇誨。寧天子,天子文武長刺,天子無匄。祁上下,亟慕,吳亡昊。上帝司夒,尣保受天子令,厚福豐年,方亡不窋見。青幽高且,才微霝處。武王既殷,史勅且乃來見武王,武王則令周公舍,於周卑處。乙且,匹氒辟,遠猷心子。明亞且且辛,毓子孫,多孷,角光,義其烟祀。文考乙公,,屯無誎,辳嗇戉隹辟。孝友,史墙夙夜不窋,其日蔑历。弗敢抯,對揚天子丕顯休令,用乍寶彜。刺且文考,弋受爾。福褱錄,黃耇彌生,龕事氒辟,其萬年永寶用。

    宰兽簋

    唯六年二月初吉甲戌,王才(在)周師录宮,旦,王各大(格太)室,即立(位)。(司)土白(榮伯)右宰内(獸入)門立(中)廷,北(嚮)。王乎(呼)内史尹中(仲)冊命宰?(獸)曰:“昔先王既命女(汝),今余唯或?(又申)?乃命,?(賡)乃且(祖)考事,??(司)康宮王家臣妾,奠?(庸)外入(内),母(毋)敢無??(聞知)。易女(錫汝)赤市(鲅)幽亢、?(攸)勒,用事。”???(獸拜稽)首,?(敢)對?(揚)天子不(丕)顯魯休命,用乍?刺且(作朕烈祖)幽中(仲)益姜寶??(簋),??邁(獸其萬)年子子孫永寶用。

    公乘得守石刻

    監罟(捕鱼)(守,避免与后文重字)臣公乘(姓氏)(名)守丘(战国时期中山国王之陵墓),其臼(年齿)将曼(老迈),敢(盼)(请)後來賢者。

    商鞅:弱民

    民弱国强,国强民弱。故有道之国,务在弱民。朴则强,淫则弱。弱则轨,淫则越志。弱则有用,越志则强。故曰:以强去强者,弱;以弱去强者,强。
    民,善之则亲,利之用则和。用则有任,和则匮,有任乃富于政。上舍法,任民之所善,故奸多。
    民贫则力富,力富则淫,淫则有虱。故民富而不用,则使民以食出,各必有力,则农不偷。农不偷,六虱无萌。故国富而贫治,重强。
    兵易弱难强。民乐生安佚,死难难正,易之则强。事有羞,多奸;寡赏,无失。多奸疑,敌失必,利。兵至强,威;事无羞,利。用兵久処利势,必王。故兵行敌之所不敢行,强;事兴敌之所羞为,利。法有,民安其次;主变,事能得齐。国守安,主操权,利。故主贵多变,国贵少变。
    利出一孔,则国多物;出十孔,则国少物。守一者治,守十者乱。治则强,乱则弱。强则物来,弱则物去。故国致物者强,去物者弱。
    民,辱则贵爵,弱则尊官,贫则重赏。以刑治民,则乐用;以赏战民,则轻死。故战事兵用曰强。民有私荣,则贱列卑官;富则轻赏。治民羞辱以刑,战则战。民畏死、事乱而战,故兵农怠而国弱。

    李斯:挟书律[简]

    丞相李斯[对秦始皇]曰:
    五帝不相复,三代不相袭,各以治,非其相反,时变异也。
    今陛下创大业,建万世之功,固非愚儒所知。且越言乃三代之事,何足法也?
    异时诸侯并争,厚招游学。今天下已定,法令出一,百姓当家则力农工,士则学习法令辟禁。
    今诸生不师今而学古,以非当世,惑乱黔首。
    丞相臣斯昧死言:古者天下散乱,莫之能一,是以诸侯并作,语皆道古以害今,饰虚言以乱实,人善其所私学,以非上之所建立。今皇帝并有天下,别黑白而定一尊。私学而相与非法教,人闻令下,则各以其学议之,入则心非,出则巷议,夸主以为名,异取以为高,率群下以造谤。如此弗禁,则主势降乎上,党与成乎下。禁之[则]便。
    臣请史官非秦记皆烧之。非博士官所职,天下敢有藏诗、书、百家语者,悉诣守、尉杂烧之。有敢偶语诗书者弃[处决][于市集]。以古非今者族。吏见知不举者与同罪。令下三十日不烧,黥[脸上刺字]为城旦。所不去者,医药卜筮种树之书。若欲有学法令,以吏为师。

    附:《史记·秦始皇本纪》
    始皇闻[方术士侯生、卢生]亡,乃大怒曰:“吾前收天下书不中用者尽去之。悉召文学方术士甚众,欲以兴太平,方士欲练以求奇药。今闻韩众去不报,徐巿等费以巨万计,终不得药,徒奸利相告日闻。卢生等吾尊赐之甚厚,今乃诽谤我,以重吾不德也。诸生在咸阳者,吾使人廉问,或为訞言以乱黔首。”
    于是使御史悉案问诸生,诸生传相告引,乃自除犯禁者四百六十余人,皆阬之咸阳,使天下知之,以惩后。

    秦 金布律

    官府受钱者,千钱一畚,以丞、令印印。不盈千者,亦封印之。钱善不善,杂实之。出钱,献封丞、令,乃发用之。百姓市用钱,美恶杂之,勿敢异。
    布袤(长)八尺,幅广二尺五寸。布恶,其广袤不如式者,不行。
    钱十一当一布。其出入钱以当金、布,以律。
    贾市居列者及官府之吏,毋敢择行钱、布;择行钱、布者,列伍长弗告,吏循之不谨,皆有罪。
    有买(卖)及买(也),各婴(系木签标明)其价;小物不能各一钱者,勿婴。
    官相输者,以书告其出计之年,受者以入计之。八月、九月中其有输,计其输所远近,不能逮其输所之计,……移计其後年,计毋相繆(谬)。工献输官者,皆深以其年计之。
    都官有秩吏及离官啬夫,养各一人,其佐、史与共养;十人,车牛一两(辆),见牛者一人。都官之佐、史冗者,十人,养一人;十五人,车牛一辆,见牛者一人;不盈十人者,各与其官长共养、车牛,都官佐、史不盈十五人者,七人以上鼠(予)车牛、仆,不盈七人者,三人以上鼠(予)养一人;小官毋(无)啬夫者,以此鼠(予)仆、车牛。豤(牛仔)生者,食其母日粟一斗,旬五日而止之,别?(分开喂养)以?(假)之(借出)。
    有债於公及赀、赎者居它县,辄移居县责之。公有债百姓未偿,亦移其县,县偿。
    百姓?(假)公器及有债未偿,其日?(?)以收责之,而弗收责,其人死亡;及隶臣妾有亡公器、畜生者,以其日月?其衣食,毋过三分取一,其所亡众,计之,终岁衣食不?(?)以稍偿,令居之,其弗令居之,其人死亡,令其官啬夫及吏主者代偿之。
    县、都官坐效、计以负偿者,已论,啬夫即以其值钱分负其官长及冗吏,而人与参辨券,以效少内,少内以收责之。其入赢者,亦官与辨券,入之。其债毋敢逾岁,逾岁而弗入及不如令者,皆以律论之。

    官啬夫免,复为啬夫,而坐其故官以赀偿及有它债,贫窭毋(无)以偿者,稍?其秩、月食以偿之,弗得居;其免?(也),令以律居之。官啬夫免,效其官而有不备者,令与其稗官分,如其事。吏坐官以负偿,未而死,及有罪以收,抉出其分。其已分而死,及恒作官府以负债,牧将公畜生而杀、亡之,未偿及居之未备而死,皆出之,毋责妻、同居。

    县、都官以七月粪公器不可缮者,有久识者靡?之。其金及铁器入以为铜。都官输大内,内受卖之,尽七月而觱(毕)。都官远大内者输县,县受卖之。粪其有物不可以须时,求先卖,以书时谒其状内史。凡粪其不可卖而可以为薪及盖?〈蘙〉者,用之;毋(无)用,乃燔之。
    传车、大车轮,葆缮参邪,可?(也)。韦革、红器相补缮。取不可葆缮者,乃粪之。
    授衣者,夏衣以四月尽六月禀之,冬衣以九月尽十一月禀之,过时者勿禀。後计冬衣来年。囚有寒者为褐衣。为?布一,用枲三斤。为褐以禀衣;大褐一,用枲十八斤,值六十钱;中褐一,用枲十四斤,值?六钱;小褐一,用枲十一斤,值卅六钱。已禀衣,有馀褐十以上,输大内,与计偕。都官有用其官,隶臣妾、舂城旦毋用。在咸阳者致其衣大内,在它县者致衣从事之县。县、大内皆听其官致,以律禀衣。
    禀衣者,隶臣、府隶之毋(无)妻者及城旦,冬人百一十钱,夏五十五钱;其小者冬七十七钱,夏?四钱。舂冬人五十五钱,夏?四钱;其小者冬?四钱,夏卅三钱。隶臣妾之老及小不能自衣者,如舂衣。 亡、不仁其主及官者,衣如隶臣妾。

    前223年,黑夫,惊给兄衷的家书

    家书一

    二月辛巳,黑夫(男二)、惊(男三)敢再拜问衷(男一),母毋恙也?黑夫、惊毋恙也。
    前日黑夫与惊别,今复会矣。
    黑夫寄益就书曰:遗(给)黑夫钱,母操夏衣来。今书节(即)到,母视安陆丝布贱,可以为襌裙襦(夏衣)者,母必为之,令与钱偕来。其丝布贵,徒(以)钱来,黑夫自以布此。
    黑夫等直佐淮阳,攻反城久,伤未可智(知)也,愿母遗黑夫用勿少。
    书到皆为报,报必言相家爵来未来,告黑夫其未来状。闻王得苟得…

    毋恙也?辞相家爵不也?书衣之南军毋……不也?
    为黑夫、惊多问姑姊、康乐孝须(嬃)故尤长姑外内(?)……
    为黑夫多问东室季须(嬃),苟得毋恙也?
    为黑夫、惊多问婴记季,事可(何)如,定不定?
    为黑夫、惊多问夕阳吕婴、匾里阎诤丈人(二老者)得毋恙……矣。
    惊多问新负(妇)、妴(婉),得毋恙也?新负勉力视瞻丈人,毋与……勉力也。

    家书二

    惊敢大心问衷,母得毋恙也?
    家室外内同……以衷,母力毋恙也?
    与从军,与黑夫居,皆毋恙也。
    ……钱衣,愿母幸遣钱五、六百,布谨善者毋下二丈五尺。……
    (借)用垣柏钱矣,室弗遗,即死矣。急急急。
    惊多问新负、妴皆得毋恙也?新负勉力视瞻两老……

    惊远家故,衷教诏妴,令毋敢远就若取新(薪)(柴),衷令……
    闻新(占)地城多空不实者,且令故民有为不如令者实……
    为惊祠祀(问神灵),若(显示)大发(废)毁,以惊居反城中故。
    惊敢大心问姑秭(姐),姑秭(姐)、(姑)子彦得毋恙……?
    新地(进)入盗,衷唯毋方行新地,急急急。

    (黑夫、惊为秦国士兵,时三男抽二士兵需自备内衣)

    前89年,刘彻:轮台诏

    前有司(政府部门)奏,欲益民赋三十助边用,是重困老弱孤独也。而今又请遣卒田轮台。
    轮台西于车师千余里,前开陵侯击车师时,危须、尉犁、楼兰六国子弟在京师者皆先归,发畜食迎汉军,又自发兵,凡数万人,王各自将,共围车师,降其王。诸国兵便罢,力不能复至道上食汉军。汉军破城,食至多,然士自载不足以竟师,强者尽食畜产,羸者道死数千人。朕发酒泉驴、橐驼负食,出玉门迎军。吏卒起张掖,不甚远,然尚厮留其众。

    曩者,朕之不明,以军候弘上书言:“匈奴缚马前后足,置城下,驰言:‘秦人,我匄若马。‘”又汉使者久留不还,故兴遣贰师将军,欲以为使者威重也。

    古者卿大夫与谋,参以蓍龟,不吉不行。乃者以缚马书遍视丞相、御史、二千石、诸大夫、郎为文学者,乃至郡属国都尉成忠、赵破奴等,皆以“虏自缚其马,不祥甚哉”,或以为“欲以见强,夫不足者视人有余”。
    《易》之卦得《大过》,爻在九五,匈奴困败。公军方士、太史治星望气,及太卜龟蓍,皆以为吉,匈奴必破,时不可再得也。又曰:“北伐行将,于鬴山必克。”
    卦诸将,贰师最吉。故朕亲发贰师下鬴山,诏之必毋深入。今计谋卦兆皆反缪。重合侯得虏候者,言:“闻汉军当来,匈奴使巫埋羊牛所出诸道及水上以诅军。单于遗天子马裘,常使巫祝之。缚马者,诅军事也。”又卜“汉军一将不吉”。
    匈奴常言:“汉极大,然不能饥渴,失一狼,走十羊。” 

    乃者贰师败,军士死略离散,悲痛常在朕心。今请远田轮台,欲起亭隧,是扰劳天下,非所以忧民也,今朕不忍闻。大鸿胪等又议,欲募囚徒送匈奴使者,明封侯之赏以报忿,五伯所弗能为也。且匈奴得汉降者,常提掖搜索,问以所闻。今边塞未正,阑出不禁,障候长吏使卒猎兽,以皮肉为利,卒苦而烽火乏,失亦上集不得,后降者来,若捕生口虏,乃知之。
    当今务,在禁苛暴,止擅赋,力本农,修马复令,以补缺,毋乏武备而已。郡国二千石各上进畜马方略补边状,与计对。

    89年 班固:封燕然山(蒙古国杭爱山)

    (汉和帝)永元元年秋七月,有汉元(汉和帝)舅曰车骑将军窦宪,寅亮圣明,登翼王室,纳于大麓,维清缉熙。
    乃与执金吾(官职名)耿秉,述职巡御。理兵于朔方。
    鹰扬之校,螭虎之士,爰该六师,暨南单于、东胡乌桓、西戎氐羌,侯王君长之群,骁骑三万。
    元戎轻武,长毂四分,云辎蔽路,万有三千余乘。
    勒以八阵,莅以威神,玄甲耀目,朱旗绛天。
    遂陵高阙,下鸡鹿,经碛卤,绝大漠,斩温禺以衅(血染)鼓,血尸逐以染锷(兵刃)。然后四校横徂,星流彗扫,萧条万里,野无遗寇。
    于是域灭区殚,反旆(军旗)而旋,考传验图,穷览其山川。遂逾涿邪[山],跨安侯[河],乘(登)燕然,蹑冒顿之区落(部落),焚老上之龙庭。上以摅高、文之宿愤,光祖宗之玄灵;下以安固后嗣,恢拓境宇,振大汉之天声。
    兹所谓一劳而久逸,暂费而永宁者也,乃遂封山刊(刻)石,昭铭盛德。
    其辞曰:
    铄王师兮征荒裔,
    剿凶虐兮截海外。
    夐其邈兮亘地界,
    封神丘兮建隆嵑,
    熙帝载兮振万世!

    汉恒帝时童谣:察举讽

    举秀才,不知书。举孝廉,父别居。
    寒素清白浊如泥,高第良将怯如鸡。

    210年(建安十五年) 曹操:让县自明本志令

    (我)始举孝廉(官员的后备),年少,自以本非岩穴( 隐居山间)知名之士,恐为海内人之所见凡愚。欲为一郡守,好作政教以建立名誉,使世士明知之。故在济南(东汉王国名,今山东济南东),始除残去秽,平心选举,违忤诸常侍(掌权宦官)。以为强豪所忿,恐致家祸,故以病还。

    去官之后,年纪尚少,顾视同岁(同一批孝廉)中,年有五十,未名为老,内自图之: 从此却去二十年,待天下清,乃与同岁中始举者等耳。故以四时归乡里,于谯(今安徽亳县西)东五十里筑精舍,欲秋夏读书,冬春射猎,求低下之地,欲以泥水自蔽,绝宾客往来之望,然不能得如意。

    后征为都尉,迁典军校尉,意遂更欲为国家讨贼立功,欲望封侯作征西将军,然后题墓道言“汉故征西将军曹侯之墓”,此其志也。而遭值董卓之难,兴举义兵。是时合兵能多得耳,然常自损,不欲多之。所以然者,多兵意盛,与强敌争,倘更为祸始。故汴水之战数千,后还到扬州更募,亦复不过三千人。此其本志有限也。

    后领兖州,破降黄巾三十万众。又袁术僭号(称帝)于九江,下皆称臣,名门曰建号门,衣被皆为天子之制,两妇预争为皇后。志计已定,人有劝术使遂即帝位,露布天下。答言: “曹公尚在,未可也。”后孤讨擒[杀]其四将,获其人众,遂使术穷亡解沮,发病而死。及至袁绍据[黄]河北,兵势强盛,孤自度势,实不敌之。但计投死为国,以义灭身,足垂于后。幸而破绍,枭(斩首)xiāo其二子。又刘表自以为宗室,包藏奸心,乍前乍却,以观世事,据有当州。孤复定之,遂平天下。身为宰相,人臣之贵已极,意望已过矣。今孤言此,若为自大,欲人言尽,故无讳耳。设使国家无有孤,不知当几人称帝,几人称王。

    或者人见孤强盛,又性不信天命之事,恐私心相评,言有不逊之志,妄相忖度,每用耿耿。齐桓、晋文所以垂称至今日者,以其兵势广大,犹能奉事周室也。《论语》云: “三分天下有其二,以服事殷,周之德可谓至德矣。”夫能以大事小也。昔乐毅走赵,赵王欲与之图燕,乐毅伏而垂泣,对曰: “臣事昭王,犹事大王;臣若获戾,放在他国,没世然后已,不忍谋赵之徒隶,况燕后嗣乎?”胡亥之杀蒙恬也,恬曰: “自吾先人及至子孙,积信于秦三世矣。今臣将兵三十馀万,其势足以背叛,然自知必死而守义者,不敢辱先人之教以忘先王也。”孤每读此二人书,未尝不怆然流涕也。孤祖、父以至孤身,皆当亲重之任,可谓见信者矣;以及子桓兄弟,过于三世矣。孤非徒对诸君说此也,常以语妻妾,皆令深知此意。孤谓之言: “顾我万年之后,汝曹皆当出嫁,欲令传道我心,使他人皆知之。”孤此言皆肝膈(内心)之要也。

    所以勤勤恳恳叙心腹者,见周公有《金縢》之书以自明,恐人不信之故。然欲孤便尔委捐所典兵众,以还执事,归就武平侯国,实不可也。何者?诚恐己离兵为人所祸也。既为子孙计,又己败则国家倾危,是以不得慕虚名而处实祸,此所不得为也。前朝恩封三子为侯,固辞不受;今更欲受之,非欲复以为荣,欲以为外援为万安计。孤闻介推之避晋封,申胥之逃楚赏,未尝不舍书而叹,有以自省也。奉国威灵,仗钺征伐,推弱以克强,处小而禽大。意之所图,动无违事,心之所虑,何向不济,遂荡平天下,不辱主命,可谓天助汉室,非人力也。然封兼四县,食户三万,何德堪之!江湖未静,不可让位;至于邑土,可得而辞。今上还阳夏、柘、苦三县户二万,但食武平万户,且以分损谤议,少减孤之责也。

    751年 杜甫:兵车行

    车辚辚,马萧萧,行人弓箭各在腰。
    爷娘妻子走相送,尘埃不见咸阳桥。
    牵衣顿足拦道哭,哭声直上干云霄。
    道旁过者问行人,行人但云点行频。
    或从十五北防河,便至四十西营田。
    去时里正与裹头,归来头白还戍边。
    边庭流血成海水,武皇开边意未已。
    君不闻汉家山东二百州,千村万落生荆杞。
    纵有健妇把锄犁,禾生陇亩无东西。
    况复秦兵耐苦战,被驱不异犬与鸡。
    长者虽有问,役夫敢申恨?
    且如今年冬,未休关西卒。
    县官急索租,租税从何出?
    信知生男恶,反是生女好。
    生女犹得嫁比邻,生男埋没随百草。
    君不见,青海头,古来白骨无人收。
    新鬼烦冤旧鬼哭,天阴雨湿声啾啾!

    759年 杜甫:石壕吏

    暮投石壕村,有吏夜捉人。老翁逾墙走,老妇出门看。
    吏呼一何怒!妇啼一何苦!听妇前致词:三男邺城戍。
    一男附书至,二男新战死。存者且偷生,死者长已矣!
    室中更无人,惟有乳下孙。有孙母未去,出入无完裙。
    老妪力虽衰,请从吏夜归。急应河阳役,犹得备晨炊。
    夜久语声绝,如闻泣幽咽。天明登前途,独与老翁别。

    756年 张巡守城

    《唐书·忠义传》:
    张巡守睢阳(河南省商丘市南)城,尹子奇攻围既久,城中粮尽,易子而食,析骸而爨。
    巡乃出其妾,对三军杀之,以飨军士,曰: “请公等为国家戮力守城,一心无二。巡不能自割肌肤,以啖将士,岂可惜此妇人! ”
    将士皆泣下,不忍食。巡强令食之。括城中妇女;既尽,以男夫老小继之,所食人口二三万。
    《新唐书》:
    巡出爱妾曰:…..。乃杀以大飨,坐者皆泣。巡强令食之,远亦杀奴僮以哺卒……初杀马食,既尽,而及妇人老弱凡食三万口。人知将死,而莫有畔者。城破,遗民止四百而已。
    《资治通鉴·唐纪·唐纪三十六》:
    尹子奇久围睢阳,城中食尽,议弃城东走。
    张巡、许远谋,以为:“睢阳,江、淮之保障,若弃之去,贼必乘胜长驱,是无江、淮也。
    “且我众饥羸,走必不达。古者战国诸侯,尚相救恤,况密迩群帅乎!不如坚守以待之。”
    茶纸既尽,遂食马;马尽,罗雀掘鼠;雀鼠又尽,巡出爱妾,杀以食士,远亦杀其奴;然后括城中妇人食之;既尽,继以男子老弱。人知必死,莫有叛者,所馀才四百人。

    781年 大秦景教流行中国碑

    景教流行中国碑颂〈并序〉 大秦寺僧净述

    粤若常然真寂,先先而无元;窅然灵虚,后后而妙有。总玄枢而造化,妙众圣以元尊者,其唯我三一妙身无元真主阿罗诃欤!判十字以定四方,鼓元风而生二气。暗空易而天地开,日月运而昼夜作。匠成万物,然立初人。别赐良和,令镇化海。浑元之性,虚而不盈。素荡之心,本无希嗜。
    洎乎娑殚施妄,钿饰纯精。间平大于此是之中,隙冥同于彼非之内。是以三百六十五种,肩随结辙。竞织法罗,或指物以托宗,或空有以沦二,或祷祀以邀福,或伐善以矫人。智虑营营,恩情役役。茫然无得,煎迫转烧,积昧亡途,久迷休复。
    于是,我三一分身尊弥施诃,戢隐真威,同人出代。神天宣庆,室女诞圣于大秦;宿告祥,波斯睹耀以来贡。圆廿四圣有说之旧法,理家国之大猷。设三一净风无言之新教,陶良用于正信。制八境之度,链尘成真;启三常之门,开生灭死。悬日以破暗府,魔妄于是乎悉摧;棹慈航以登明宫,含灵于是乎既济。能事斯毕,亭午升真。经留廿七部,张元化以发灵开。
    法浴水风,涤浮华而洁虚白;印持十字,融四照以合无抅。击木震仁惠之音,东礼趣生荣之路。存须所以有外行,削顶所以无内情。不畜臧获,均贵贱于人。不聚货财,示罄遗于我。斋以伏识而成,戒以静慎为固。七时礼赞,大庇存亡。七日一荐,洗心反素。

    真常之道,妙而难名,功用昭彰,强称教。惟道非圣不弘,圣非道不大。道圣符契,天下文明。太宗文皇帝,光华启运,明圣临人,大秦国有上徳曰阿罗本,占青云而载真经,望风律以驰艰险。贞观九祀(635年),至于长安。帝使宰臣房公玄龄,总仗西郊,宾迎入内。翻经书殿,问道禁闱。深知正真,特令传授。
    贞观十有二年秋七月,诏曰︰“道无常名,圣无常体,随方设教,密济群生。大秦国大德阿罗本,远将经像,来献上京,详其教旨,玄妙无为,观其元宗,生成立要。词无繁说,理有忘筌,济物利人,宜行天下。”所司即于京义宁坊造大秦寺一所,度僧廿一人。宗周德丧,青驾西升。巨唐道光,风东扇。旋令有司将 帝写真转摸寺壁。天姿泛彩,英朗门。圣迹腾祥,永辉法界。
    按《西域图记》及汉魏史策,大秦国南统珊瑚之海,北极众宝之山;西望仙境花林,东接长风弱水;其土出火烷布、返魂香、明月珠、夜光璧;俗无寇盗,人有乐康。法非不行,主非德不立。土宇广阔,文物昌明。
    高宗大帝,克恭缵祖,润色真宗;而于诸州各置寺,仍崇阿罗夲为镇国大法主。法流十道,国富元休;寺满百城,家殷福。
    圣历年,释子用壮,腾口于东周。先天末,下士大笑,讪谤于西镐。有若僧首罗含,大德及烈,并金方贵绪,物外高僧,共振玄网,俱维绝纽。 
    玄宗至道皇帝,令宁国等五王,亲临福宇,建立坛场。法栋暂桡而更崇,道石时倾而复正。天宝初,令大将军髙力士,送五圣写真,寺内安置;赐绢百匹,奉庆睿图。龙髯虽逺,弓剑可攀;日角舒光,天颜咫尺。三载,大秦国有僧佶和,瞻星向化,望日朝尊。诏僧罗含、僧普论等一七人,与大德佶和,于兴庆宫修德。于是天题寺榜,额戴龙书;宝装璀翠,灼烁丹霞;睿扎宏空,腾凌激日。宠赉比南山峻极,沛泽与东海齐深。道无不可,所可可名;圣无不作,所作可述。
    肃宗文明皇帝,于灵武等五郡,重立寺。元善资而福祚开,大庆临而皇业建。
    代宗文武皇帝,恢张圣运,从事无为。每于降诞之辰,锡天香以告成,颁御馔以光众。且以美利,故能广生。圣以体元,故能亭毒。
    我建中圣神文武皇帝,披八政以黜陟幽明,阐九畴以惟新命。化通玄理,祝无愧心。
    至于方大而虚,专静而恕,广慈救众苦,善贷被群生者,我修行之大猷,汲引之阶渐也。若使风雨时,天下静,人能理,物能清,存能昌,殁能乐,念生响应,情发目诚者,我力能事之功用也。

    大施主金紫光禄大夫、同朔方节度副使、试殿中监、赐紫袈裟僧伊斯,和而好惠,闻道勤行。逺自王舍之城,聿来中夏,术髙三代,艺博十全。始效节于丹庭,乃策名于王帐。中书令汾阳郡王郭公子仪,初总戎于朔方也,肃宗俾之从迈。虽见亲于卧内,不自异于行间。为公爪牙,作军耳目。能散禄赐,不积于家。献临恩之颇黎,布辞憩之金罽。或仍其旧寺,或重广法堂。崇饰廊宇,如翚斯飞。更效门,依仁施利,每岁集四寺僧徒,虔事精供,备诸五旬。馁者来而饭之,寒者来而衣之,病者疗而起之,死者葬而安之。清节达娑,未闻斯美。白衣士,今见其人。愿刻洪碑,以扬休烈。

    词曰︰
    真主元元,湛寂常然。舆匠化,起地立天。分身出代,救度无边。日升暗灭,咸证真玄。
    赫赫文皇,道冠前王;乘时拨乱,乾廓坤张。明明教,言归我唐。翻经建寺,存殁舟航。百福偕作,万邦之康。
    髙宗纂祖,更筑精宇。和宫敞朗,遍满中土。真道宣明,式封法主。人有乐康,物无灾苦。
    玄宗启圣,克修真正。御榜扬辉,天书蔚映。皇图璀璨,率土高敬。庶绩咸熙,人赖其庆。
    肃宗来复,天威引驾。圣日舒晶,祥风扫夜。祚归皇室,祆氛永谢。止沸尘,造我区夏。
    代宗孝义,德合天地。开贷生成,物资美利。香以报功,仁以作施。旸谷来威,月窟毕萃。
    建中统极,聿修明德。武肃四溟,文清万域。烛临人隐,镜观物色。六合昭苏,百蛮取则。
    道惟广兮应惟宻,强名言兮演三一;主能作兮臣能述,建豊碑兮颂元吉。

    大唐建中二年岁在作噩太蔟月七日大耀森文日建立,时法主僧宁恕知东方之众也。
    朝议郎前行台州司士参军吕秀岩书

    此碑唐建中二年2月4日,由波斯传教士伊斯(Yazdhozid)立于大秦寺院中。碑文由景教士景净撰,朝议郎前行台州司参军吕秀岩书写并题额。碑正面刻着“大秦教流行中国碑并颂”,上有楷书三十二行,行书六十二字,共1780个汉字和古叙利亚文的教士题名。

    约806年,白居易:卖炭翁(苦宫市也)

    卖炭翁,伐薪烧炭南山中。
    满面尘灰烟火色,两鬓苍苍十指黑。
    卖炭得钱何所营?身上衣裳口中食。
    可怜身上衣正单,心忧炭贱愿天寒。
    夜来城外一尺雪,晓驾炭车辗冰辙。
    牛困人饥日已高,市南门外泥中歇。
    翩翩两骑来是谁?黄衣使者白衫儿。
    手把文书口称敕,回车叱牛牵向北。
    一车炭,千余斤,宫使驱将惜不得。
    半匹红纱一丈绫,系向牛头充炭值。

    809年(唐宪宗元和四年) 白居易:新丰折臂翁

    新丰(陕西临潼县东北)东北老翁八十八,头鬓眉须皆似雪。玄孙扶向店前行,左臂凭肩右臂折。问翁臂折来几年,兼问致折何因缘。
    翁云贯属新丰县,生逢圣代无征战。惯听梨园(新丰系骊山华清官所在地)歌管声,不识旗枪与弓箭。无何天宝大征兵,户有三丁点一丁。点得驱将何处去,五月万里云南(南诏)行。闻道云南有泸水,椒花落时瘴烟起。大军徒涉水如汤,未过十人二三死。村南村北哭声哀,儿别爷娘夫别妻。皆云前后征蛮者,千万人行无一回。是时翁年二十四,兵部牒中有名字。夜深不敢使人知,偷将大石捶折臂。张弓簸bǒ(摇)旗俱不堪,从兹始免征云南。骨碎筋伤非不苦,且图拣退归乡土。此臂折来六十年,一肢虽废一身全。至今风雨阴寒夜,直到天明痛不眠。痛不眠,终不悔,且喜老身今独在。不然当时泸水头,身死魂孤骨不收。应作云南望乡鬼,万人冢上哭呦yōu呦。
    老人言,君听取。君不闻开元宰相宋开府(宋璟),不赏边功防黩武。又不闻天宝宰相杨国忠,欲求恩幸立边功。边功未立生人怨,请问新丰折臂翁。

    806年(唐元和元年) 唐故杨府君神道之碑

    该碑1984年4月出土于陕西省泾阳县扫宋乡(现属云阳镇)小户杨村,现存泾阳县博物馆。杨良瑶(735年唐玄宗开元二十三年-806年唐宪宗元和元年),陕西省泾阳县人,唐肃宗至德年间(756年-758年)成为宦官,此时已经有妻子和两个孩子,陪侍过唐肃宗、代宗、德宗、顺宗四位皇帝。

    唐故右三军僻仗、太中大夫、行内侍省内给事,赐紫金鱼袋、上柱国、弘农县开国男、食邑三百户杨公神道碑铭并序

    朝请郎、行虔州南康县丞、云骑尉、翰林待 诏陆邳撰
    承务郎、守郴州司兵参军、云骑尉、翰林待 诏赵良裔书
    给事郎、守洪州都督府兵曹参军、云骑尉、翰林待 诏汤陟篆额

    公讳良瑶,字良瑶,其先周宣王子尚父,受封诸阳,寔曰杨侯。晋灭其国,因以为氏。厥后代济勋德,遂为名家。至若王孙以薄葬称,楼船以大功命,敞因谨畏为相,雄由辞赋荣名。洎乎伯起之慎“四知”,叔节之去“三惑”,大鸟集于葬墓,飞鳣降于讲堂。或朱轮十人,或太尉四代,光照两汉,裕垂后昆,氏族源流,远矣盛矣。于是根蒂旁薄,枝叶蕃昌,有望表弘农,有族居天水,则公之先代,本弘农人也。
    及公曾祖, 为唐元功臣(玄宗朝授参与唐隆政变(710年)的禁军将领功臣封号,后避李隆基讳改“唐隆”为“唐元”),官至云麾将军、右威卫中郎将,以功多赏厚,赐业云阳(陕西省泾阳县),至今家焉。遂为京兆人矣。
    祖怀贞,皇许州别驾。
    考彦昱,处士,高标世利,处士园林,公即处士之第四子也。
    公质状殊观,心灵独立,气概感激,慑于时流。少以节义为志行,长以忠勇为己任,故得入为内养,侍玉墀以承恩;出使外方,将天命而布泽。累经试效,益着功劳;诚素既彰,委任方重。
    当永泰(765年)中,慈、隰等州狼山部落首领塌实力继章,掠众聚兵,逼胁州县,不顾王命,恣行剽煞,虔刘晋郊之士庶,震骇虢略之封疆。于时两河初平,四远犹耸,朝廷难于动众,皇上姑务安人。遂遣中使刘崇进衔命招抚,以公为判官。崇进畏懦而莫前,公乃愤发而独往,口宣恩德,气激凶顽,遂使天威挫其锋铓,皇泽流其骨髓,莫不交臂屈膝,弃甲投弓,革面回心,稽颡受诏。既而复命,阙下大惬,圣衷有诏赐绿,仍授文林郎、行内侍省掖庭局监作。由是恩顾稠叠,委任频繁,奉使必适于所难,临事未尝有不当,是用东西南北,匪遑止宁;险阻艰危,备尝之矣。
    大历六年(771年),加朝议郎、宫闱局丞,守职不渝,在公无替;昼日三接,风雨一心;天颜不违,圣眷斯至。当信重之际,罔敢告劳;安梯航之心,何远不届。遂奉使安南宣慰,降雨露于荒外,委忠信于洪波,往返无疑,匪僭程度。复命至于广府(大历九年,774年),会叛军煞将凶徒阻兵,哥舒晃因纵狼心,将邀王命,承公以剑,求表上闻;公山立嶷然,不可夺志,事解归阙,时望翕然。至十二年,迁宫闱令。内官式叙,中禁肃清,由公是拜也。
    洎建中末,遇銮舆顺动,随驾奉天,勤劳匪躬,始终一致。
    兴元初(784年),天未悔祸,蛇豕横途。皇上轸念于苍生,臣下未遑于定策。公乃感激出涕,请使西戎,乞师而旋,遮寇以进,覆武功之群盗,清盩厔之前途,风云奔从而遂多,山川指程而无拥。兴元既得以驻跸,渭桥因得以立功,再造寰区,不改旧物,繄我公乞师之力也。其年二月,迁内侍省内给事。六月,加朝散大夫。此例骤迁,盖赏劳矣。
    贞元初(785年),既清寇难,天下乂安,四海无波,九译入觐。昔使绝域,西汉难其选;今通区外,皇上思其人。比才类能,非公莫可。以贞元元年四月,赐绯鱼袋,充聘国使于黑衣大食(阿拉伯帝国阿拔斯Abbasid王朝,750年取代倭马亚王朝,为第二个世袭王朝,首都巴格达,1258年被蒙古旭烈兀所灭),备判官、内傔,受国信、诏书。奉命遂行,不畏于远。届乎南海,舍陆登舟。邈尔无惮险之容,懔然有必济之色。义激左右,忠感鬼神。公于是剪髪祭波,指日誓众,遂得阳侯敛浪,屏翳调风,挂帆凌汗漫之空,举棹乘颢淼之气,黑夜则神灯(沿海灯塔)表路,白昼乃仙兽前驱。星霜再周,经过万国,播皇风于异俗,被声教于无垠。往返如期,成命不坠,斯又我公扙忠信之明效也。
    四年六月,转中大夫。七月,封弘农县开国男,食邑三百户。功绩既著,恩宠亦崇;若惊之心,日慎一日。
    十二年,加太中大夫,余如故。
    十四年(798年)春,德宗虔虔孝思,陵寝是恤,将复修葺,再难其人。必求恪恭,祗奉于事。唯公惬旨,受命而行,夙夜在公,日月匪懈。不改经制,惜费省劳。焕乎咸新,无乖睿约。及乎卒事,议功莫俦。以其年八月,赐紫金鱼袋、判、傔等,并加绿绶。非例也,特恩及之。其后贵主亲王,监护丧葬,圣情念切者,必委于公。至于以劳受赐,金帛纷纶,亦不可备纪矣。
    十五年,陈许节使云亡,淮西承衅而动,剽掠阳翟,攻逼许昌,汝洛惊惶,关东大恐,天下激发二十万师,韩全义统之,且挠戎律。国家难于易帅,议者知必无功。时,德宗皇帝负扆兴叹,凝旒轸虑,思安东都宗庙,念济河洛苍生,是用命公监东都畿、汝州军事。闻命而三军增气,戾止而百姓咸宁。公知韩全义无才,乌合众难用,淮西城小而固,遐迩易动难安,遂思远图,独出奇策,使押衙东惟悟孙白身志和,深觇寇情,观衅而返,乃具所谋画,遽献表章,请缓天诛,许其悔过。当皇威未霁,事寝莫行。及全义大崩,诏用前计。遂申恩舍罪,罢讨息人。公乃居安虑危,处否思泰,复请完城聚谷,缮甲理兵,用简易而渐谋,不日月而功就,化怯懦为勇健,变藩篱为金汤。于是远近获安,道路斯泰,皆公之尽力竭忠经略所致也。
    至永贞元年(785年),以事既宁辑,恋阙诚深,恳请归朝,供侍近密。夏五月,以本官领右三军僻仗。公素积威望,久著勋庸,警跸诫严,中外悦服。千官以之加敬,九重以之益深。日出彤庭而臣下朝肃,月闲清禁而天子夜安。国朝之环拱得人,于斯为盛。
    公以躬勤之故,衰朽易侵,心神耗消,体貌癯瘠,疾生而医药不救,善积而命运奈何,寒热内攻,风露外迫,遂至不起,呜呼痛哉!以元和元年秋七月廿二日,终于辅兴里之私第,享年七十有一。
    皇上轸悼,士庶同悲。以其年十月十四日,归葬于云阳县龙云乡之原,顺其先志。盖以公之仲弟忠武将军良彩、季弟游击将军光晖、夫人彭城郡君刘氏皆先公而终,坟墓所在,则临终之日,思及平生,友爱念深,遗命不忘之故也。
    公自至德年中入为内养,永泰之岁出使有功,恩渥日深,委信渐重。至若震忠义以清慈、隰,明勇决以伏哥舒,乞师护于南巡,宣化安于北户,使大食而声教旁畅,监东畿而汝洛小康,供奉四朝,五十余载,议勤劳而前后无比,论渥泽而流辈莫先。故得祚土分茅,纡金拖紫,名高史荣,庆传子孙。况公壮年以忠勇自负,长岁以尽瘁勤王。及乎晚途,归信释氏,修建塔庙,缮写藏经,布金买田,舍衣救病,可谓竭臣子人间之礼,尽生死区外之因,孜孜善心,没齿无倦矣。
    长子升,嗣子承议郎、内侍省内谒者监,赐紫金鱼袋、华清宫使希旻,次子操,移孝为忠,光昭令德,祗奉前训,罔极是思。谓福善无征,风树不止,诚感未达,隙驹莫留。想像既难于攀追,德业实惧于堙没,愿琢贞石,纪勒芳猷,见讬为文,敢不书实。

    铭曰:

    云从龙兮风从武,圣功出兮忠臣辅。
    天降公兮竭心府,历四纪兮奉四主。
    鸡常鸣兮忘风雨,躬尽瘁兮心神苦。
    伏哥舒兮刚不吐,抚慈隰兮慑戎虏。
    西乞师兮清中宇,南奉使兮慰北户。
    聘大食兮声教普,监汝洛兮勋超古。
    校功业兮无俦伍,赐赉繁兮莫得数。
    一命偻兮三命俯,恩弥崇兮孰敢侮。
    垂金章兮结绶组,既分茅兮亦祚土。
    琢贞石兮表忠臣,昭令德兮示后人。

    元和元年岁次景戌十月庚申朔十四日癸酉建 吴郡朱士良刻字

    宋,载郭茂倩《乐府诗集》 胡笳十八拍

    我生之初尚无为,我生之后汉祚衰。天不仁兮降乱离,地不仁兮使我逢此时。干戈日寻兮道路危,民卒流亡兮共哀悲。烟尘蔽野兮胡虏盛,志意乖兮节义亏。对殊俗兮非我宜,遭忍辱兮当告谁?笳一会兮琴一拍,心愤怨兮无人知。
    戎羯逼我兮为室家,将我行兮向天涯。云山万重兮归路遐,疾风千里兮扬尘沙。人多暴猛兮如虺蛇,控弦被甲兮为骄奢。两拍张弦兮弦欲绝,志摧心折兮自悲嗟。
    越汉国兮入胡城,亡家失身兮不如无生。毡裘为裳兮骨肉震惊,羯羶为味兮枉遏我情。鼙鼓喧兮从夜达明,胡风浩浩兮暗塞营。伤今感晋兮三拍成,衔悲畜恨兮何时平。
    无日无夜兮不思我乡土,禀气合生兮莫过我最苦。天灾国乱兮人无主,唯我薄命兮没戎虏。殊俗心异兮身难处,嗜欲不同兮谁可与语!寻思涉历兮多艰阻,四拍成兮益凄楚。
    雁南征兮欲寄边声,雁北归兮为得汉音。雁飞高兮邈难寻,空断肠兮思愔愔。攒眉向月兮抚雅琴,五拍泠泠兮意弥深。
    冰霜凛凛兮身苦寒,饥对肉酪兮不能餐。夜间陇水兮声呜咽,朝见长城兮路杳漫。追思往日兮行李难,六拍悲来兮欲罢弹。
    日暮风悲兮边声四起,不知愁心兮说向谁是!原野萧条兮烽戍万里,俗贱老弱兮少壮为美。逐有水草兮安家葺垒,牛羊满野兮聚如蜂蚁。草尽水竭兮羊马皆徙,七拍流恨兮恶居于此。
    为天有眼兮何不见我独漂流?为神有灵兮何事处我天南海北头?我不负天兮天何配我殊匹?我不负神兮神何殛我越荒州?制兹八拍兮拟排忧,何知曲成兮心转愁。
    天无涯兮地无边,我心愁兮亦复然。人生倏忽兮如白驹之过隙,然不得欢乐兮当我之盛年。怨兮欲问天,天苍苍兮上无缘。举头仰望兮空云烟,九拍怀情兮谁与传?
    城头烽火不曾灭,疆场征战何时歇?杀气朝朝冲塞门,胡风夜夜吹边月。故乡隔兮音尘绝,哭无声兮气将咽。一生辛苦兮缘别离,十拍悲深兮泪成血。
    我非食生而恶死,不能捐身兮心有以。生仍冀得兮归桑梓,死当埋骨兮长已矣。日居月诸兮在戎垒,胡人宠我兮有二子。鞠之育之兮不羞耻,憋之念之兮生长边鄙。十有一拍兮因兹起,哀响缠绵兮彻心髓。
    东风应律兮暖气多,知是汉家天子兮布阳和。羌胡蹈舞兮共讴歌,两国交欢兮罢兵戈。忽遇汉使兮称近诏,遗千金兮赎妾身。喜得生还兮逢圣君,嗟别稚子兮会无因。十有二拍兮哀乐均,去住两情兮难具陈。
    不谓残生兮却得旋归,抚抱胡儿兮注下沾衣。汉使迎我兮四牡騑騑,胡儿号兮谁得知?与我生死兮逢此时,愁为子兮日无光辉,焉得羽翼兮将汝归。一步一远兮足难移,魂消影绝兮恩爱遗。十有三拍兮弦急调悲,肝肠搅刺兮人莫我知。
    身归国兮儿莫知随,心悬悬兮长如饥。四时万物兮有盛衰,唯我愁苦兮不暂移。山高地阔兮见汝无期,更深夜阑兮梦汝来斯。梦中执手兮一喜一悲,觉后痛吾心兮无休歇时。十有四拍兮涕泪交垂,河水东流兮心是思。
    十五拍兮节调促,气填胸兮谁识曲?处穹庐兮偶殊俗。愿得归来兮天从欲,再还汉国兮欢心足。心有怀兮愁转深,日月无私兮曾不照临。子母分离兮意难怪,同天隔越兮如商参,生死不相知兮何处寻!
    十六拍兮思茫茫,我与儿兮各一方。日东月西兮徒相望,不得相随兮空断肠。对萱草兮忧不忘,弹鸣琴兮情何伤!今别子兮归故乡,旧怨平兮新怨长!泣血仰头兮诉苍苍,胡为生兮独罹此殃!
    十七拍兮心鼻酸,关山阻修兮行路难。去时怀土兮心无绪,来时别儿兮思漫漫。塞上黄蒿兮枝枯叶干,沙场白骨兮刀痕箭瘢。风霜凛凛兮春夏寒,人马饥豗兮筋力单。岂知重得兮入长安,叹息欲绝兮泪阑干。
    胡笳本自出胡中,缘琴翻出音律同。十八拍兮曲虽终,响有余兮思无穷。是知丝竹微妙兮均造化之功,哀乐各随人心兮有变则通。胡与汉兮异域殊风,天与地隔兮子西母东。苦我怨气兮浩于长空,六合虽广兮受之应不容!

    1365年,无名氏撰合同婚书

    立合同大吉婚书文字人,领(岭)北傀列(哈喇和林)地面,系太子(爱猷识理达腊)位下所管军户脱欢等。
    今为差发重仲,军情未定,上马不止,身缠厥少,无可打兑照期。
    今有弟脱火赤,军上因病身故,抛下伊妻巴都麻,自为只身,难以独居住坐,日每无甚养济。
    今凭媒证人帖哥作媒,说合于亦集乃路(漠南)屯田张千户所管纳粮军户吴子忠家内,存日从良户(从奴隶户脱籍)下当差吴哈厘(奴隶贯主人姓),抛下长男一名唤哈立巴台,说合作为证(正)妻。对众眷言定财钱市斗,内白米壹石、小麦壹石、大麦壹石、羊酒筵席尽行下足。
    脱欢一面收受了,当择定良辰吉日,迎取到家,成亲之后,并不欠少分文不尽钱财。
    如有脱欢将弟妻巴都麻改嫁中,内别有不尽言词,前夫未曾身故慢妹改嫁,一切为碍,并不干吴子忠之事,系脱欢等一面证人无头词。
    如哈立巴台将伊妻不作妻室台(抬)举,罚小麦壹石。
    如巴都麻不受使用,非理作事,正主婚人罚白米壹石,充官用度。
    恐后无凭,故立大吉合同婚书文字为用。
    至正廿五年(1365年)十一月初七日。

    正主婚人 脱欢
    副主婚人 巴都麻
    取吉大利,同主婚人 塔义儿
    知见人李住哥,同主婚人 帖木儿

    1569 题名鼎建碑:戚继光督建长城防御工程

    石碑发现于河北省滦平县金山岭五道梁长城。

    隆庆三年季秋之吉,总督蓟辽保定等处军务兼理粮饷、兵部左侍郎兼都察院右佥都御史、宜黄谭纶,整饬蓟州等处边备兼巡抚顺天等府地方、都察院右佥都御史、潍县刘应节,巡按直隶监察御史、汝阳房楠,整饬密云等处兵备、山东布政司右参政兼按察司副使、太仓凌云翼,总理练兵兼镇守蓟州等处地方、总兵官中军都督府右都督、凤阳戚继光,协守西路副总兵官、鄱阳李超,曹家寨游击将军、平原王旌,大宁都司领秋班、金山林栋,管工霸州同知王建,通州右卫经历孟思宪,千总、寿州沈炤,把总、江陵印璋,鼎建。

    1598(万历二十六年) 赵秉忠殿试卷(状元卷)

    臣对:
    臣闻帝王之临驭宇内也,必有经理之实政,而后可以约束人群,错综万机,有以致雍熙之治;必有倡率之实心,而后可以淬励百工,振刷庶务,有以臻郅隆之理。立纪纲,饬法度,悬诸象魏之表,着乎令甲之中,首于岩廊朝宁,散于诸司百府,暨及于郡国海隅,经之纬之,鸿巨纤悉,莫不备具,充周严密,毫无渗漏者是也。何谓实心?振怠惰,励精明,发乎渊微之内,起于宥密之间,始于宫闱穆清,风于辇毂邦畿,灌注 于边疆遐陬,沦之洽之,精神意虑,无不畅达,肌肤形骸,毫无壅阏者是也。
    实政陈,则臣下有所禀受,黎氓有所法程,耳目以一,视听不乱,无散漫飘离之忧,而治具彰;实心立,则职司有所默契,苍赤有所潜孚,意气以承,轨度不逾,无丛脞惰窳之患,而治本固。有此治具,则不徒驭天下以势,而且示天下以守,相维相制,而雍熙以渐而臻。有 此治本,则不徒操天下以文,而且喻天下以神,相率相勖,而郅隆不劳而至。自古帝王,所为不下堂阶而化行于风驰,不出庙廊而令应于桴答,用此道耳。厥后,崇清净者深居而九官效职,固以实心行实政也。
    后世语精明者,首推汉宣,彼其吏称民安,可为效矣!而专意于检察,则检察之所不及者,必遗漏焉,故伪增受赏所从来也;语玄默者,首推汉文,彼其简节疏目,可谓阔矣!而注精于修持,则修持之所默化者,必洋溢焉,故四海平安所由然也。
    盖治具虽设而实心不流,则我欲责之臣,臣已窥我之怠而仿效之;我欲求之民,民已窥我之疏而私议之。即纪纲法度灿然明备,而上以文,下以名,上下相蒙,得聪察之利,亦得聪察之害。实心常流而治具少疏,则意动而速于令,臣且孚我之志而靖共焉;神驰而慑于威,民 且囿吾之天而顺从焉。凡注厝、规画悬焉不设,而上以神,下以实,上下交儆,无综核之名,而有廉察之利。彼汉宣不如汉文者,正谓此耳。
    洪惟我太祖高皇帝,睿智原于天授,刚毅本于性生。草昧之初,即创制设谋,定万世之至计;底定之后,益立纲陈纪,贻百代之宏章。考盘之高蹈,颍川之治理,必旌奖之,以风有位;浚民之鹰鹤,虐众之枭虎,必摧折之,以惕庶僚。用能复帝王所自立之,称联之理政务尚综核者,欺蒙虚冒,总事空文。人日以伪,治日以敝,亦何以继帝王之上理,后隆古之休风,而称统理民物、仰承天地之责哉?
    恭惟皇帝陛下,毓聪明睿智之资,备文武圣神之德,握于穆之玄符,承国家之鸿业,八柄以驭臣民而百僚整肃,三重以定谟猷而九围式命,盖已操太阿于掌上,鼓大冶于域中,固可以六五帝、四三王、陋汉以下矣!乃犹进臣等于廷,图循名责实之术,欲以绍唐虞雍熙之化, 甚盛心也!臣草茅贱士,何敢妄言?然亦目击世变矣。顾身托江湖,有闻焉而不可言,言焉而不得尽者。今幸处咫尺之地,得以对扬而无忌,敢不披沥以献!

    臣闻:
    人君一天也,天有覆育之恩,而不能自理天下,故所寄其责者,付之人君。君有统理之权,而实有所承受。故所经其事者,法之吴天。用是所居之位,则曰天位;所司之职,则曰天职;所治之民,则曰天民;所都之邑,则曰天邑。故兴理致治,要必求端于天。今夫天 ,幽深玄远,穆然不可测也;渺茫轻清,聩然莫可窥也。而四时五行,各效其官;山岳河海,共宣其职。人人沾浩荡普济之泽,在在蒙含弘广大之休。无欠缺以亏其化;无阻滞以塞其功者,盖不贰之真默,酝酿于大虚,不已之精潜,流衍于无极,故实有是化工耳。
    然则人君法天之治,宁可专于无为,托以深密静摄哉!是必有六府三事之职司为实政者;人君宪天之心,宁可专于外务,强以法令把持哉?是必有不贰不已之真精为实心者。粤稽唐虞之世,君也垂裳而治,贻协和风动之休;民也画象而理,成《击壤》从欲之俗。君臣相浃,两无猜嫌,明良相信,两无顾忌,万古称无为之治尚矣!而询事考言,敷奏明试,三载九载,屡省乃成,法制又详备无遗焉。盖其浚哲温恭,日以精神流注于堂皇;钦明兢业 ,日以志虑摄持于方寸。故不必综核,而庶府修明,无事约束。底成古今所未有之功,乾坤开而再辟,日月涤而重朗。盖以实心行实政,因此实政致弘勋。
    其载在《祖训》有曰,诸臣民所言有理者,即付所司施行,各衙门勿得沮滞,而敬勤屡致意焉。列圣相承,守其成法,接其意绪,固有加无坠者。至世宗肃皇帝,返委靡者,振之以英断;察废弃者,作之以精明。制礼作乐,议法考文。德之所被,与河海而同深;威之所及, 与雷霆共迅,一时吏治修明,庶绩咸理,赫然中兴,诚有以远绍先烈,垂范后世也。
    今我皇上,任人图治,日以实政,望臣工矣!而诞谩成习,诚有如睿虑所及者。故张官置吏,各有司存。而越职以逞者,贻代庖之讥。有所越于职之外,必不精于职之内矣!则按职而责之事,随事而稽之功,使春官不得参冬署,兵司不得分刑曹,此今日所当亟图者也。
    耻言过行,古昔有训,而竞靡以炫者,招利口之羞。有所逞于外之靡,必不深于中之抱矣,则因言而核之实,考实而责之效,使捷巧不得与浑朴齐声,悃幅不至与轻浮共誉,又今 日所当速返者也。
    巡行者寄朝廷之耳目,以激浊扬清也。而吏习尚偷,既使者分遣,无以尽易其习。为今之计,惟是广咨诹、严殿最,必如张咏之在益州、黄霸之在颍川。斯上荐剡焉,而吏可劝矣。教化者,齐士民之心术,以维风振俗也。而士风尚诡,即申令宣化,无以尽变其风。为今之计 ,惟是广厉学官,独重经术,必如阳城之在国学、胡瑗之在乡学,斯畀重寄焉,而士可风矣。
    四海之穷民,十室九空,非不颁赈恤也,而颠连无告者,则德意未宣;而侵牟者有以壅之,幽隐未达;而渔猎者有以阻之,上费其十,下未得其一。何不重私侵之罚,清出支之籍乎?四夷之内讧,西支东吾,非不诘戎兵也。而挞伐未张者,则守圭纨绔之胄子,无折冲御侮之略;召募挽强之粗才,暗驰张奇正之机。兵费其养,国不得其用,何不严遴选之条,广任用之途乎?民氓之积冤,有以干天地之和,而抑郁不伸,何以召祥?则刑罚不可不重也。故起死人、肉白骨、谳问详明者,待以不次之赏;而刻如秋荼者,置不原焉,而冤无所积矣。天地之生财,本以供国家之用,而虚冒不经,何以恒足?则妄费不可不禁也。故藏竹头、惜木屑、收支有节者,旌以裕国之忠;而犹然冒费者,罪无赦焉,而财无所乏矣。
    盖无稽者黜则百工惕,有功者赏则庶职劝,劝惩既明则政治咸理,又何唐虞之不可并轨哉!而实心为之本矣!实心以任人,而人不敢苟且以应我;实心以图政,而政不至惰窳而弗举。不然,精神不贯,法制虽详,无益也。而臣更有献焉:盖难成而易毁者,此实政也;难操而易舍者,此实心也。是必慎于几微,戒于宥密。不必明堂听政也,而定其志虑,俨如上帝之对;不必宣室致斋也,而约其心神,凛如师保之临。使本原澄彻,如明镜止水,照之而无不见;使方寸轩豁,如空谷虚室,约之而无不容。一念萌,知其出于天理,而充之以期于行;一意动,知其出于人欲,而绝之必期于尽。爱憎也,则察所爱而欲近之与所憎而欲远之者,何人?喜惧也,则察所喜而欲为与所惧而不欲为者,何事?勿曰屋漏人不得知,而天下之视听注焉;勿曰非违人不得禁,而神明之降监存焉。
    一法之置立,曰吾为天守制,而不私议兴革;一钱之出纳,曰吾为天守财,而不私为盈缩。一官之设,曰吾为天命有德;一奸之锄,曰吾为天讨有罪。盖实心先立,实政继举,雍熙之化不难致矣,何言汉宣哉!臣不识忌讳,干冒宸严,不胜战栗陨越之至。
    臣谨对。

    1616(万历四十四年) 陈其猷:饥民图

    陈其猷,诸城人,万历四十三年举人,次年二月应礼部试至京师,时山束大饥;乃绘《饥民图》,伏阙上书,其略曰:
    东省饥荒见—-而臣实目所亲见、身所亲尝者也。—–谨具图二十,聊写万一。
    臣尝往稽载籍,宁讵无数百里之蝗、二三年之旱?然夷考当时所称,不过“流离载道,死伤蔽野,易子析骨,十室九空”止矣。从未有白昼剥割,母子残食,平村落为垒块,贬子女如牛羊,沧桑大变如今日者。
    盖齐鲁之民,蓄积不预,一年之丰则称饱,一年之歉则称饥。齐鲁之地,瘠卤相参,入十日之雨则病水,十日之暘则病旱;前年自夏逾秋,霪霖不歇,田庐禾菽尽没水滨,彼时大麦小麦布种者,不十之二三。由是公储私储耗散者,已十之八九;枵腹望岁甚於平时,悬釜待炊,急救一饱。不意大浸之後,转作骄阳,自前年九月不雨,直至逾年十月,所种三分之麦,不得一分;而春来百谷之播,未收一粒。加以蝗蝻之起,平地尺馀。遂使田苗园蔬,野卓荡然,不剩根芽。鸣呼!灾外加灾,岁复一岁,奈之何民不穷且盗死且相食有如图之所绘者乎?—–独是在籍之丁死逃者已十之七,徵粮之承佃者不十之三;故佃三亩者恐难包十亩之税,充一丁者,恐难包四丁之徭。况三亩之牛种来,己无从一丁之朝夕。
    —–所绘“饥民图”,各缀以五言绝句,且为之叙跋,其叙略云:
    臣自正月离家北上,出境行二十里,见道旁刮人肉者,如屠猪狗,不少避人,人视之亦不为怪。于是毛骨懔懔。又行半日,见老妪持一死儿,且烹且哭,因问曰:既欲食之,何必哭?妪曰:此吾儿,弃之且为人食;故宁自充腹耳。臣因此数日饮食不能甘,此时苟有济于死亡,直不顾顶踵矣。乃入京之初,恶状犹横胸臆间。
    越二三日,朋俦相聚,杯酌相呼,前事若忆若忘。既而声歌诱耳,繁华夺目,昨日之痛心酸鼻者,竟漠然不相关矣。呜呼,臣饥人也,饥之情、饥之味皆其习见而亲尝者,犹且以渐远渐隔而忘之。乃欲九天之上、万里之遥,以从来未见之情形,冀其不告而知、无因而痛,不其难乎?

    1628(崇祯元年) 马懋才:备陈大饥疏

    崇祯元年,陕西大饥荒,马懋才奉命调查,写成《备陈大饥疏》,五月十八日送呈崇祯皇帝。
    自去岁一年无雨,草木枯焦。八、九月间,民争采山间蓬草而食,其粒类糠皮,其味苦而涩,食之仅可延以不死。至十月以后而蓬尽矣,则剥树皮而食。诸树惟榆树差善,杂他树皮以为食,亦可稍缓其死。殆年终而树皮又尽矣,则又掘山中石块而食。其石名青叶,味腥而腻,少食辄饱,不数日则腹胀下坠而死。民有不甘于食石以死者始相聚为盗,而一、二稍有积贮之民遂为所劫,而抢掠无遗矣。有司亦不能禁治。间有获者亦恬不知畏,且曰:“死于饥与死于盗等耳,与其坐而饥死,何若为盗而死,犹得为饱鬼也。”
    最可悯者,如安塞城西有粪场一处,每晨必弃二、三婴儿于其中,有涕泣者,有叫号者,有呼其父母者,有食其粪土者。至次晨则所弃之子已无一生,而又有弃之者矣。”
    更可异者,童穉辈及独行者一出城外,更无踪影。后见门外之人炊人骨以为薪,煮人肉以为食,始知前之人皆为其所食。而食人之人亦不数日面目赤肿,内发燥热而死矣。于是,死者枕藉,臭气薰天。县城外掘数坑,每坑可容数百人,用以掩其遗骸。臣来之时,已满三坑有余,而数里以外不及掩者又不知其几矣。小县如此,大县可知;一处如此,他处可知……
    然臣犹有说焉。国初每十户编为一甲,十甲编为一里。今之里甲寥落,户口萧条,已不复如其初矣。况当九死一生之际,即不蠲不减,民亦有呼之而不应者。官司束于功令之严,不得不严为催科。如一户止有一二人,势必令此一二人而赔一户之钱粮;一甲止有一二户,势必令此一二户而赔一甲之钱粮。等而上之,一里一县无不皆然。则见在之民止有抱恨而逃,飘流异地,栖泊无依,恒产既亡,怀资易尽,梦断乡关之路,魂消沟壑之填,又安得不相率而为盗者乎。此处逃亡于彼,彼处复逃之于此,转相逃则转相为盗。此盗之所以遍秦中也。

    1645,王秀楚:扬州十日记

    1645年四月,清军攻打扬州,遇明将史可法抵抗,清军攻破扬州城后屠戮人数达80余万(数字有争议)。本文为史可法幕僚王秀楚逃出后所著。
         己酉(1645年)夏四月十四日,督镇史可法从白洋河失守,踉跄奔扬州,坚闭城以御敌,至念四日(24日)未破。城前禁门之内,各有兵守,予宅西城,杨姓将守焉。吏卒棋置,予宅寓二卒,左右舍亦然,践踏无所不至,供给日费钱千馀。不继,不得已共谋为主者觞,予更谬为恭敬,酬好渐洽;主者喜,诫卒稍远去。主者喜音律,善琵琶,思得名妓以娱军暇;是夕,邀予饮,满拟纵欢,忽督镇以寸纸至,主者览之色变,遽登城,予众亦散去。
         越次早,督镇牌谕至“内有一人当之,不累百姓”之语,闻者莫不感泣。又传巡军小捷,人人加额焉。午後,有姻氏自瓜洲来避兴平伯逃兵,[兴平伯高杰也,督镇檄之,出城远避。]予妇缘别久,相见唏嘘;而敌兵入城之语,已有一二为予言者。予急出询诸人,或曰:“靖南侯黄得功(黄蜚)援兵至。”旋观城上守城者尚严整不乱,再至市上,人言汹汹,披发跣足者继尘而至,问之,心急口喘莫知所对。忽数十骑自北而南,奔驰狼狈势如波涌,中拥一人则督镇也。盖奔东城外,兵逼城不得出,欲奔南关,故由此。是时,始知敌兵入城无疑矣。突有一骑由北而南,撤缰缓步,仰面哀号,马前二卒依依辔首不舍,至今犹然在目,恨未传其姓字也。骑稍远,守城丁纷纷下窜,悉弃胄抛戈,并有碎首折胫者,回视城橹已一空矣!
         先是督镇以城狭炮具不得展,城垛设一板,前置城径,后接民居,使有馀地,得便安置。至是工未毕,敌兵操弧先登者白刃乱下,守城兵民互相拥挤,前路逼塞,皆奔所置木板,匍匐扳援,得及民屋,新板不固,托足即倾,人如落叶,死者十九;其及屋者,足蹈瓦裂,皆作剑戟相击声,又如雨雹挟弹,铿然鍧hōng然,四应不绝,屋中人惶骇百出,不知所为?而堂室内外深至寝闼,皆守城兵民缘室下者,惶惶觅隙潜匿,主人弗能呵止,外厢比屋闭户,人烟屏息。

         予厅後面城,从窗隙中窥见城上兵循南而西,步武严整,淋雨亦不少紊,疑为节制之师,心稍定。忽叩门声急,则邻人相约共迎王师,设案焚香,示不敢抗,予虽知事不济,然不能拂众议,姑应曰唯唯。於是改易服色,引领而待,良久不至。予复至後窗窥城上,则队伍稍疏或行或止;俄见有拥妇女杂行,阚其服色皆扬俗,予始大骇。还语妇曰:“兵入城,倘有不测,尔当自裁。”妇曰诺。因曰:“前有金若干付汝置之,我辈休想复生人世矣!”涕泣交下,尽出金付予。值乡人进,急呼曰:“至矣,至矣!”予趋出,望北来数骑皆按辔徐行,遇迎王师者,即俯首若有所语。是时,人自为守,往来不通,故虽违咫尺而声息莫闻,迨稍近,始知为逐户索金也。然意颇不奢,稍有所得,即置不问,或有不应,虽操刀相向,尚不及人,後乃知有捐金万两相献而卒受毙者,扬人导之也。

         次及予楣,一骑独指予呼後骑曰:“为我索此蓝衣者。”後骑方下马,而予已飞遁矣;後骑遂弃余上马去,予心计曰:“我粗服类乡人,何独欲予?”已而予弟适至,予兄亦至,因同谋曰:“此居左右皆富贾,彼亦将富贾我,奈何?”遂急从僻迳托伯兄率妇等冒雨至仲兄宅,仲兄宅在何家坟後,胕 zhǒu 肘腋皆窭人居也。予独留後以观动静,俄而伯兄忽至曰:“中衢血溅矣,留此何待?予伯仲生死一处,亦可不恨。”予遂奉先人神主偕伯兄至仲兄宅,当时一兄一弟,一嫂一侄,又一妇一子,二外姨,一内弟,同避仲兄家。天渐暮,敌兵杀人声已彻门外,因乘屋暂避;雨尤甚,十数人共拥一毡,丝发皆湿;门外哀痛之声悚耳慑魄,延至夜静,乃敢扳檐下屋,敲火炊食。城中四周火起,近者十馀处,远者不计其数,赤光相映如雷电,辟卜声轰耳不绝;又隐隐闻击楚声,哀顾断续,惨不可状。饭熟,相顾惊怛不能下一箸,亦不能设一谋。予妇取前金碎之,析为四,兄弟各藏其一,髻履衣带内皆有;妇又觅破衲敝履为予易讫,遂张目达旦。是夜也,有鸟在空中如笙簧声,又如小儿呱泣声者,皆在人首不远,後询诸人皆闻之。

         念六日,顷之,火势稍息。天渐明,复乘高升屋躲避,已有十数人伏天沟内。忽东厢一人缘墙直上,一卒持刃随之,追蹑如飞;望见予众,随舍所追而奔予。予惶迫,即下窜,兄继之,弟又继之,走百馀步而後止。自此遂与妇子相失,不复知其生死矣。诸黠卒恐避匿者多,绐众人以安民符节,不诛,匿者竞出从之,共集至五六十人,妇女参半,兄谓余曰:“我落落四人,或遇悍卒,终不能免;不若投彼大群势众则易避,即不幸,亦生死相聚,不恨也。”当是时,方寸已乱,更不知何者为救生良策?共曰唯唯,相与就之。领此者三满卒也,遍索金帛,予兄弟皆罄尽,而独遗予未搜;忽妇人中有呼予者,视之乃余友朱书兄之二妾也,予急止之。二妾皆散发露肉,足深入泥中没胫,一妾犹抱一女,卒鞭而掷之泥中,旋即驱走。一卒提刀前导,一卒横槊後逐,一卒居中,或左或右以防逃逸。数十人如驱犬羊,稍不前,即加捶挞,或即杀之;诸妇女长索系颈,累累如贯珠,一步一蹶,遍身泥土;满地皆婴儿,或衬马蹄,或藉人足,肝脑涂地,泣声盈野。行过一沟一池,堆尸贮积,手足相枕,血入水碧赭,化为五色,塘为之平。至一宅,乃廷尉永言姚公居也,从其後门直入,屋宇深邃,处处皆有积尸,予意此间是我死所矣;乃逶迤达前户,出街复至一宅,为西商乔承望之室,即三卒巢穴也。入门,已有一卒拘数美妇在内简检筐篚彩缎如山,见三卒至,大笑,即驱予辈数十人至後厅,留诸妇女置旁室;中列二方几,三衣匠一中年妇人制衣;妇扬人,浓抹丽妆,鲜衣华饰,指挥言笑。欣然有得色,每遇好物,即向卒乞取,曲尽媚态,不以为耻;予恨不能夺卒之刀,断此淫孽。卒尝谓人曰:“我辈征高丽,掳妇女数万人,无一失节者,何堂堂中国,无耻至此?”呜呼,此中国之所以乱也。

         三卒随令诸妇女尽解湿衣,自表至里,自顶至踵,并令制衣妇人相修短,量宽窄,易以鲜新;诸妇女因威逼不已,遂至裸体相向,隐私尽露,羞涩欲死之状,难以言喻。易衣毕,乃拥之饮酒,哗笑不已;一卒忽横刀跃起向後疾呼曰:“蛮子来,蛮子来!”近前数人已被缚,吾伯兄在焉。仲兄曰:“势已至此,夫复何言?”急持予手前,予弟亦随之,是时男子被执者共五十馀人,提刀一呼,魂魄已飞,无一人不至前者;予随仲兄出厅,见外面杀人,众皆次第待命,予初念亦甘就缚,忽心动若有神助,潜身一遁,复至後厅,而五十馀人不知也。

         厅後宅西房尚存诸老妇,不能躲避,由中堂穿至後室,中尽牧驼马,复不能逾走;心愈急,遂俯就驼马腹下,历数驼马腹匍匐而出;若惊驼马,稍一举足,即成泥矣。又历宅数层,皆无走路,惟旁有弄可通後门,而弄门已为卒加长锥钉固;予复由後弄至前,闻前堂杀人声,愈惶怖无策,回顾左侧有厨,中四人盖亦被执治庖者也,予求收入,使得参司火掌汲之役,或可幸免。四人峻拒曰:“我四人点而役者也,使再点而增人,必疑有诈,祸且及我!”予哀吁不已,乃更大怒,欲执予赴外,予乃出,心益急,视阶前有架,架上有瓮,去屋不甚远,乃援架而上,手方及瓮,身已倾仆,盖瓮中虚而用力猛故也。无可奈何,仍急趋旁弄门,两手棒锥摇撼百度,终莫能动,击以石,则响达外庭,恐觉;不得已复竭力摇撼之,指裂血流,淋漏两肘,锥忽动,尽力拔之,锥已在握,急掣门㧀jí 门闩,㧀木槿也,濡雨而涨,其坚涩倍于锥,予迫甚,但力取㧀,㧀不能出而门枢忽折,扉倾垣颓,声如雷震,予急耸身飞越,亦不知力之何来也。疾趋後门出,即为城脚。时兵骑充斥,触处皆是,前进不能,即于乔宅之左邻後门挨身而入;凡可避处皆有人,必不肯容,由後至前,凡五进皆如是。直至大门,已临通衢,兵丁往来络绎不绝,人以为危地而弃之。予乃急入,得一榻,榻颠有仰顶,因缘柱登之,屈身向里,喘息方定,忽闻隔墙吾弟哀号声,又闻举刀砍击声,凡三击遂寂然。少间复闻仲兄哀恳曰:“吾有金在家地窖中,放我,当取献。”一击复寂然;予此时神已离舍,心若焚膏,眼枯无泪,肠结欲断,不复自主也。旋有卒挟一妇人直入,欲宿此榻,妇不肯,强而後可,妇曰:“此地近市,不可居。”卒复携之去,予几不免焉。室有仰屏,以席为之,不胜人,然缘之可以及梁,予以手两扳梁上桁条而上,足托驼梁,下有席蔽,中黑如漆,仍有兵至,以矛上搠,知是空虚,料无人在上,予始得竟日未遇兵;然在下被刃者几何人?街前每数骑过,必有数十男妇哀号随其後。是日虽不雨,亦无日色,不知旦暮。至夕,军骑稍疏,左右惟闻人声悲泣,思吾弟兄已伤其半,伯兄亦未卜存亡?予妇予子不知何处?欲踪迹之,或得一见;且使知兄弟死所。乃附梁徐下,蹑足至前街,街中枕尸相藉,天暝莫辨为谁?俯尸遍呼,漠无应者。遥见南首数火炬蜂拥而来,予急避之,循郭而走。城下积尸如鳞,数蹶,声与相触,不能措足,则俯伏以手代步,每有所惊,即仆地如僵尸,久之始通于衢。衢前後举火者数处,照耀如白昼,逡巡累时,而後越,得达小路,路人昏夜互触相惊骇,路不满百步,自酉至亥方及兄家。

         宅门闭不敢遽叩,俄闻妇人声,知为吾嫂,始轻击,应门者即予妇也。伯兄已先返,吾妇子俱在,予与伯兄哭,然犹未敢遽告仲兄季弟之被杀也。嫂询予,予依违答之。予询妇何以得免?妇曰:“方卒之追逐也,子先奔,众人继之,独遗我,我抱彭儿投屋下不得死,吾妹踢伤足亦卧焉。卒持我二人至一室,屋中男妇几十人皆鱼贯而缚之。卒因嘱我于诸妇曰:‘看守之,无使逸去。’卒持刀出,又一卒入,劫吾妹去;久之,不见前卒至,遂绐诸妇得出。出即遇洪妪,相携至故处,故幸免。”洪妪者仲兄内亲也。妇询予,告以故,唏嘘良久。洪妪携宿饭相劝。哽咽不可下。外复四面火起,倍于昨夕,予不自安,潜出户外,田中横尸交砌,喘息犹存;遥见何家坟中,树木阴森,哭音成籁,或父呼子,或夫觅妻,呱呱之声,草畔溪间,比比皆是,惨不忍闻。回至兄宅,妇谓予曰:“今日之事,惟有一死,请先子一死,以绝子累;彭儿在,子好为之!”予知妇之果於死也,因与语竟夜,不得间,东方白矣。

         念七日,问妇避所,引予委曲至一柩後,古瓦荒砖,久绝人迹,予蹲腐草中,置彭儿于柩上,覆以苇席,妇偻居于前,我曲附于後;扬首则露顶,展足则踵见,屏气灭息,拘手足为一裹,魂少定而杀声逼至,刀环响处,怆呼乱起,齐声乞命者或数十人或百馀人;遇一卒至,南人不论多寡,皆垂首匐伏,引颈受刃,无一敢逃者;至于纷纷子女,百口交啼,哀鸣动地,更无论矣!日向午,杀掠愈甚,积尸愈多,耳所难闻,目不忍视,妇乃悔畴昔之夜,误予言未死也。然幸获至夕,予等逡巡走出,彭儿酣卧柩上,自朝至暮,不啼不言,亦不欲食,或渴欲饮,取片瓦掬沟水润之,稍惊则仍睡去,至是呼之醒,抱与俱去;洪妪亦至,知吾嫂又被劫去,吾侄在襁褓竟失所在,呜呼痛哉!甫三日而兄嫂弟侄已亡其四,茕茕孑遗者,予伯兄及予妇子四人耳!相与觅臼中馀米,不得,遂与伯兄枕股忍饥达旦。是夜予妇觅死几毙,赖洪妪救得免。

         念八日,予谓伯兄曰:“今日不卜谁存?吾兄幸无恙,乞与彭儿保其残喘。”兄垂泪慰勉,遂别,逃他处。洪妪谓予妇曰:“我昨匿破柜中,终日贴然,当与子易而避之。”妇坚不欲,仍至柩後偕匿焉。未几,数卒入,破柜劫妪去,捶击百端,卒不供出一人,予甚德之,後仲兄产百金,予所留馀亦数十金,并付洪妪,感此也。少间,兵来益多,及予避所者前後接踵,然或一至屋後,望见柩而去。忽有十数卒恫喝而来,其势甚猛,俄见一人至柩前,以长竿搠予足,予惊而出,乃扬人之为彼乡导者,面则熟而忘其姓,予向之乞怜,彼索金,授金,乃释予,犹曰:“便宜尔妇也。”出语诸卒曰:“姑舍是。”诸卒乃散去。喘惊未定,忽一红衣少年掺长刃直抵予所,大呼索予,出,举锋相向,献以金,复索予妇,妇时孕九月矣,死伏地不起。予绐之曰:“妇孕多月,昨乘屋坠下,孕因之坏,万不能坐,安能起来?”红衣者不信,因启腹视之,兼验以先涂之血裤,遂不顾。所掳一少妇一幼女一小儿,小儿呼母索食,卒怒一击,脑裂而死,复挟妇与女去。

         予谓此地人迳已熟,不能存身,当易善地处之;而妇坚欲自尽,予亦惶迫无主,两人遂出,并缢于梁;忽项下两绳一时俱绝,并跌于地。未及起,而兵又盈门,直趋堂上,未暇过两廊。予与妇急趋门外,逃奔一草房,中悉村间妇女,留妇而却予,予急奔南首草房中,其草堆积连屋,予登其颠,俯首伏匿,复以乱草覆其上,自以为无患矣。须臾卒至,一跃而上,以长矛搠其下,予从草间出乞命,复献以金;卒搜草中,又得数人,皆有所献而免。卒既去,数人复入草间,予窥其中,置大方桌数张,外围皆草,其中廓然而虚,可容二三十人。予强窜入,自谓得计,不意败垣从半腰忽崩一穴,中外洞然,已为他卒窥见,乃自穴外以长矛直刺;当其前者无不被大创,而予後股亦伤。於是近穴者从隙中膝行出,尽为卒缚,後者倒行排草而出。

         予复至妇所,妇与众妇皆伏卧积薪,以血膏体,缀发以煤,饰面形如鬼魅,鉴别以声。予乞众妇,得入草底,众妇拥卧其上,予闭息不敢动,几闷绝,妇以一竹筒授予,口衔其末,出其端于上,气方达,得不死。户外有卒一,时手杀二人,其事甚怪,笔不能载。草上诸妇无不股栗,忽哀声大举,卒已入室,复大步出,不旋顾。天亦渐暝,诸妇起,予始出草中,汗如雨。至夕,复同妇至洪宅,洪老洪妪皆在,伯兄亦来,云是日被劫去负担,赏以千钱,仍付令旗放还;途中乱尸山叠,血流成渠,口难尽述。复闻有王姓将爷居本坊昭阳李宅,以钱数万日给难民,其党杀人,往往劝阻,多所全活。是夜悲咽之馀,昏昏睡去。次日,则念九矣。

         自念五日起,至此已五日,或可冀幸遇赦,乃纷纷传洗城之说,城中残黎冒死缒城者大半,旧有官沟壅塞不能通流,至是如坦途,夜行昼伏,以此反罹其锋。城外亡命利城中所有,辄结伴夜入官沟盘诘,搜其金银,人莫敢谁何。予等念既不能越险以逃,而伯兄又为予不忍独去;延至平旦,其念遂止;原蔽处知不可留,而予妇以孕故屡屡获全,遂独以予匿池畔深草中,妇与彭儿裹卧其上,有数卒至,为劫出者再,皆少献赂而去。继一狠卒来,鼠头鹰眼,其状甚恶,欲劫予妇;妇偃蹇以前语告之,不听,逼使立起,妇旋转地上,死不肯起,卒举刀背乱打,血溅衣裳,表里渍透。先是妇戒予曰:“倘遇不幸,吾必死,不可以夫妇故乞哀,并累子;我死则必死子目,俾子亦心死。”至是予远躲草中,若为不与者,亦谓妇将死,而卒仍不舍,屡擢妇发周数匝于臂,怒叱横曳而去。由田陌至深巷一箭地,环曲以出大街,行数武必击数下。突遇众骑至,中一人与卒满语一二,遂舍予妇去。始得匍匐而返,大哭一番,身无完肤矣!

         忽又烈火四起,何家坟前後多草房,燃则立刻成烬;其有寸壤隙地,一二漏网者,为火一逼,无不奔窜四出,出则遇害,百无免一。其闭户自焚者由数口至数百口,一室之中,正不知积骨多少矣!大约此际无处可避,亦不能避,避则或一犯之,无金死,有金亦死;惟出露道旁,或与尸骸杂处,生死反未可知。予因与妇子并往卧冢後,泥首涂足,殆无人形。时火势愈炽,墓木皆焚,光如电灼,声如山摧,悲风怒号,令人生噤,赤日惨淡,为之无光,目前如见无数夜叉鬼母驱杀千百地狱人而驰逐之。惊悸之馀,时作昏眩,盖已不知此身之在人世间矣。

         骤闻足声腾猛,惨呼震心,回顾墙畔,则予伯兄复被获,遥见兄与卒相持,兄力大,撇而得脱,卒走逐出田巷,半晌不至;予心方摇摇,乃忽走一人来前,赤体散发。视之,则伯兄也;而追伯兄之卒,即前之劫吾妇而中途舍去者也。伯兄因为卒所逼,不得已向予索金救命,予仅存一锭,出以献卒,而卒怒未已,举刀击兄,兄辗转地上,沙血相渍,注激百步。彭儿拉卒衣涕泣求免,[时年五岁]卒以儿衣拭刀血再击而兄将死矣。旋拉予发索金,刀背乱击不止,予诉金尽,曰:“必欲金即甘死,他物可也。”卒牵予发至洪宅。予妇衣饰置两瓮中,倒置阶下,尽发以供其取,凡金珠之类莫不取,而衣服择好者取焉。既毕,视儿项下有银锁,将刀割去,去时顾予曰:“吾不杀尔,自有人杀尔也。”知洗城之说已确,料必死矣。置儿于宅,同妇急出省兄,前後项皆砍伤,深入寸许,胸前更烈,启之洞内府;予二人扶至洪宅,问之,亦不知痛楚,神魂忽瞶忽苏。安置毕,予夫妇复至故处躲避,邻人俱卧乱尸众中,忽从乱尸中作人语曰:“明日洗城,必杀一尽,当弃汝妇与吾同走。”妇亦固劝余行,余念伯兄垂危,岂忍舍去?又前所恃者犹有馀金,今金已尽,料不能生,一痛气绝,良久而苏。

         火亦渐灭,遥闻炮声三,往来兵丁渐少,予妇彭儿坐粪窖中,洪妪亦来相依。有数卒掳四五个妇人,内二老者悲泣,两少者嘻笑自若;後有二卒追上夺妇,自相奋击,内一卒劝解作满语,忽一卒将少妇负至树下野合,馀二妇亦就被污,老妇哭泣求免,两少妇恬不为耻,数十人互为奸淫,仍交与追来二卒,而其中一少妇已不能起走矣。予认知为焦氏之媳,其家平日所为,应至於此,惊骇之下,不胜叹息。

         忽见一人红衣佩剑,满帽皂靴,年不及三十,姿容俊爽,随从一人,衣黄背甲,貌亦魁梧,後有数南人负重追随。红衣者熟视予,指而问曰:“视予,尔非若俦辈,实言何等人?”予念时有以措大而获全者,亦有以措大而立毙者,不敢不以实告,红衣者遂大笑谓黄衣者曰:“汝服否?吾固知此蛮子非常等人也。”复指洪妪及予问为谁?具告之,红衣者曰:“明日王爷下令封刀,汝等得生矣!幸勿自毙。”命随人付衣几件,金一锭,问:“汝等几日不食?”予答以五日,则曰:“随我来。”予与妇且行且疑,又不敢不行,行至一宅,室虽小而赀畜甚富,鱼米充轫,中一老妪,一子方十二三岁,见众至,骇甚,哀号触地。红衣者曰:“予贷汝命,汝为我待此四人者,否则杀汝,汝此子当付我去。”遂挈其子与予作别而去。

         老妪者郑姓也,疑予与红衣者为亲,因谬慰之,谓子必返。天已暮,予内弟复为一卒劫去,不知存亡?妇伤之甚。少顷,老妪搬出鱼饭食予;宅去洪居不远,予取鱼饭食吾兄,兄喉不能咽,数箸而止,予为兄拭发洗血,心如万磔矣!是日,以红衣告予语遍告诸未出城者,众心始稍定。次日为五月朔日,势虽稍减,然亦未尝不杀人,未尝不掠取;而穷僻处或少安;富家大室方且搜括无馀,子女由六七岁至十馀岁抢掠无遗种。是日,兴平兵复入扬城,而寸丝半粟,尽入虎口,前梳後篦,良有以也。

         初二日,传府道州县已置官吏,执安民牌遍谕百姓,毋得惊惧。又谕各寺院僧人焚化积尸;而寺院中藏匿妇女亦复不少,亦有惊饿死者,查焚尸簿载其数,前後约计八十万馀,其落井投河,闭户自焚,及深入自缢者不与焉。是日,烧绵絮灰及人骨以疗兄创;至晚,始以仲兄季弟之死哭告予兄,兄颔之而已。

         初三日,出示放赈,偕洪妪至缺口关领米;米即督镇所储军粮,如丘陵,数千石转瞬一空。其往来负戴者俱焦头烂额,断臂折胫,刀痕遍体,血渍成块,满面如烛泪成行,碎烂鹑衣,腥秽触鼻,人扶一杖,挟一蒲袋,正如神庙中窜狱冤鬼;稍可观者犹是卑田院乞儿也。夺米之际,虽至亲知交不顾,强者往而复返,弱者竟日不得升斗。

         初四日,天始霁,道路积尸既经积雨暴涨,而青皮如蒙鼓,血肉内溃。秽臭逼人,复经日炙,其气愈甚,前後左右,处处焚灼,室中氤氲,结成如雾,腥闻百里。盖此百万生灵,一朝横死,虽天地鬼神,不能不为之愁惨也!

         初五日,幽僻之人始悄悄走出,每相遇,各泪下不能作一语。予等五人虽获稍苏,终不敢居宅内,晨起早食,即出处野畔,其妆饰一如前日;盖往来打粮者日不下数十辈,虽不操戈,而各制挺恐吓,诈人财物,每有毙杖下者;一遇妇女,仍肆掳劫,初不知为清兵为镇兵为乱民也?是日,伯兄因伤重,刀疮迸裂而死,伤哉,痛不可言!忆予初被难时,兄弟嫂侄妇子亲共八人,今仅存三人,其内外姨又不复论。计扬之人如予之家水知凡几?其数濒於死,幸死而不死,如予与妇者甚少,然而愁苦万状矣!

         自四月二十五日起,至五月五日止,共十日,其间皆身所亲历,目所亲睹,故漫记之如此,远处风闻者不载也。後之人幸生太平之世,享无事之乐;不自修省,一味暴殄者,阅此当惊惕焉耳!

    1793,乾隆给英王信, 敕英咭利国王谕
    Qianlong’s Letter to George III

    奉天承运,皇帝敕谕,英吉利国王知悉:
    咨尔国王,远在重洋,倾心向化,特遣使[马戛尔尼]恭赍表章,航海来廷,叩祝万寿,并备进方物,用将忱悃。朕披阅表文,词意肫恳,具见国王恭顺之诚,深为嘉许。所有赍到表贡之正副使臣,念其奉使远涉,推恩加礼。已令大臣带领瞻觐,赐予筵宴,叠加赏赉,用示怀柔。其已回[宁波]珠山之管船官役人等六百余名,虽未来京,朕亦优加赏赐,俾得普沾恩惠,一视同仁。
    You, O King, live beyond the confines of many seas. Nevertheless, impelled by your humble desire to partake of the benefits of our civilisation, you have dispatched a mission respectfully bearing your memorial. Your Envoy has crossed the seas and paid his respects at my Court on the anniversary of my birthday. To show your devotion, you have also sent offerings of your country’s produce.
    I have perused your memorial: the earnest terms in which it is couched reveal a respectful humility on your part, which is highly praiseworthy. In consideration of the fact that your Ambassador and his deputy have come a long way with your memorial and tribute, I have shown them high favour and have allowed them to be introduced into my presence. To manifest my indulgence, I have entertained them at a banquet and made them numerous gifts. I have also caused presents to be forwarded to the Naval Commander and six hundred of his officers and men, although they did not come to Peking, so that they too may share in my all-embracing kindness.

    至尔国王表内恳请派一尔国之人住居天朝,照管尔国买卖一节,此则与天朝体制不合,断不可行。向来西洋各国有愿来天朝当差之人,原准其来京,但既来之后,即遵用天朝服色,安置堂内,永远不准复回本国,此系天朝定制,想尔国王亦所知悉。今尔国王欲求派一尔国之人居住京城,既不能若来京当差之西洋人,在京居住不归本国,又不可听其往来,常通信息,实为无益之事。且天朝所管地方至为广远,凡外藩使臣到京,驿馆供给,行止出入,俱有一定体制,从无听其自便之例。今尔国若留人在京,言语不通,服饰殊制,无地可以安置。若必似来京当差之西洋人,令其一律改易服饰,天朝亦不肯强人以所难。设天朝欲差人常驻尔国,亦岂尔国所能遵行?况西洋诸国甚多,非止尔一国,若俱似尔国王恳请派人留京,岂能一一听许?是此事断难准行。岂能因尔国王一人之请,以至更张天朝百余年法度。
    As to your entreaty to send one of your nationals to be accredited to my Celestial Court and to be in control of your country’s trade with China, this request is contrary to all usage of my dynasty and cannot possibly be entertained. It is true that Europeans, in the service of the dynasty, have been permitted to live at Peking, but they are compelled to adopt Chinese dress, they are strictly confined to their own precincts and are never permitted to return home. You are presumably familiar with our dynastic regulations. Your proposed Envoy to my Court could not be placed in a position similar to that of European officials in Peking who are forbidden to leave China, nor could he, on the other hand, be allowed liberty of movement and the privilege of corresponding with his own country; so that you would gain nothing by his residence in our midst.

    若云尔国王为照料买卖起见,则尔国人在澳门贸易非止一日,原无不加以恩视。即如从前博尔都噶尔亚[葡萄牙]、意达哩亚[意大利]等国屡次遣使来朝,亦曾以照料贸易为请。天朝鉴其悃忱,优加体恤。凡遇该国等贸易之事,无不照料周备。前次广东商人吴昭平有拖欠洋船价值银两者,俱饬令该管总督由官库内先行动支帑项代为清还,并将拖欠商人重治其罪。想此事尔国亦闻知矣,外国又何必派人留京,为此越例断不可行之请?况留人在京,距澳门贸易处所几及万里,伊亦何能照料耶?若云仰慕天朝,欲其观习教化,则天朝自有天朝礼法,与尔国各不相同。尔国所留之人即能习学,尔国自有风俗制度,亦断不能效法中国,即学会亦属无用。
    Moreover, our Celestial dynasty possesses vast territories, and tribute missions from the dependencies are provided for by the Department for Tributary States, which ministers to their wants and exercises strict control over their movements. It would be quite impossible to leave them to their own devices. Supposing that your Envoy should come to our Court, his language and national dress differ from that of our people, and there would be no place in which to bestow him. It may be suggested that he might imitate the Europeans permanently resident in Peking and adopt the dress and customs of China, but, it has never been our dynasty’s wish to force people to do things unseemly and inconvenient. Besides, supposing I sent an Ambassador to reside in your country, how could you possibly make for him the requisite arrangements? Europe consists of many other nations besides your own: if each and all demanded to be represented at our Court, how could we possibly consent? The thing is utterly impracticable. How can our dynasty alter its whole procedure and system of etiquette, established for more than a century, in order to meet your individual views? If it be said that your object is to exercise control over your country’s trade, your nationals have had full liberty to trade at Canton for many a year, and have received the greatest consideration at our hands. Missions have been sent by Portugal and Italy, preferring similar requests. The Throne appreciated their sincerity and loaded them with favours, besides authorising measures to facilitate their trade with China. You are no doubt aware that, when my Canton merchant, Wu Chao-ping, who was in debt to foreign ships. I made the Viceroy advance the monies due, out of the provincial treasury, and ordered him to punish the culprit severely. Why then should foreign nations advance this utterly unreasonable request to be represented at my Court? Peking is nearly two thousand miles from Canton, and at such a distance what possible control could any British representative exercise?
    If you assert that your reverence for Our Celestial dynasty fills you with a desire to acquire our civilisation, our ceremonies and code of laws differ so completely from your own that, even if your Envoy were able to acquire the rudiments of our civilisation, you could not possibly transplant our manners and customs to your alien soil. Therefore, however adept the Envoy might become, nothing would be gained thereby.

    天朝抚有四海,惟励精图治,办理政务,奇珍异宝,并不贵重。尔国王此次赍进各物,念其诚心远献,特谕该管衙门收纳。其实天朝德威远被,万国来王,种种贵重之物,梯[运][运]毕集,无所下有,尔之正使等所亲见。然从不贵奇巧,并无更需尔国制办物件。是尔国王所请派人留京一事,于天朝体制既属不合,而于尔国亦殊觉无益。特此详晰开示,遣令该使等安程回国。尔国王惟当善体朕意,益励款诚,永矢恭顺,以保义尔有邦,共享太平之福。除正副使臣以下各官及通事兵役人等正贯加赏各物件另单赏给外,兹因尔国使臣归国,特颁敕谕,并赐赍尔国王文绮珍物,具如常仪,加赐彩缎罗绮、文玩器具诸珍,另有清单。王其祗受,悉朕眷怀。
    特此敕谕。
    Swaying the wide world, I have but one aim in view, namely, to maintain a perfect governance and to fulfil the duties of the State: strange and costly objects do not interest me. If I have commanded that the tribute offerings sent by you, O King, are to be accepted, this was solely in consideration for the spirit which prompted you to dispatch them from afar. Our dynasty’s majestic virtue has penetrated unto every country under Heaven, and Kings of all nations have offered their costly tribute by land and sea. As your Ambassador can see for himself, we possess all things. I set no value on objects strange or ingenious, and have no use for your country’s manufactures. This then is my answer to your request to appoint a representative at my Court, a request contrary to our dynastic usage, which would only result in inconvenience to yourself. I have expounded my wishes in detail and have commanded your tribute Envoys to leave in peace on their homeward journey. It behoves you, O King, to respect my sentiments and to display even greater devotion and loyalty in future, so that, by perpetual submission to our Throne, you may secure peace and prosperity for your country hereafter. Besides making gifts (of which I enclose an inventory) to each member of your Mission, I confer upon you, O King, valuable presents in excess of the number usually bestowed on such occasions, including silks and curios-a list of which is likewise enclosed. Do you reverently receive them and take note of my tender goodwill towards you!
    A special mandate.

    1839 林则徐:谕英国国王书(Letter to Queen Victoria)

    洪惟我大皇帝抚绥中外,一视同仁,利则与天下公之,害则为天下去之。盖以天地之心为心也。贵国王累世相传,皆称恭顺。观历次进贡表文云:凡本国人到中国贸易,均蒙大皇帝一体公平恩待等语。窃喜贵国王深明大义,感激天恩,是以天朝柔远绥怀,倍加优礼。贸易之利,垂二百年。该国所由以富庶称者,赖有此也。

    唯是通商已久,众夷良莠不齐,遂有夹带,诱惑华民,以致毒流各省者。似此但知利己,不顾害人,乃天理所不容,人情所共愤。大皇帝闻而震怒。特遣本大臣来至广东,与本总督部堂巡抚部院,会同查办。凡内地民人贩食者,皆应处死。若追究夷人历年贩卖之罪,则其贻害深而攫利重,本为法所当诛。惟念众夷尚知悔罪乞诚,将趸船二万二百八十三箱,由领事官义律,禀请缴收,全行毁化。叠经本大臣等据实具奏。幸蒙大皇帝格外施恩,以自首者,情尚可原,姑宽免罪。再犯者法难屡贷,立定新章。谅贵国王向化倾心,定能谕令众夷,兢兢奉法。但必晓以利害,乃知天朝法度,断不可以不懔遵也。

    查该国距内地六七万里,而夷船争来贸易者,为获利之厚故耳。以中国之利利外夷,是夷人所获之厚利,皆从华民分去。岂有反以毒物害华民之理。即夷人未必有心为害,而贪利之极,不顾害人,试问天良安在?闻该国禁食甚严,是固明知之为害也。既不使为害于该国,则他国尚不可移害,况中国乎?

    中国所行于外国者,无一非利人之物。利于食,利于用,并利于转卖,皆利也。中国曾有一物为害外国否?况如茶叶大黄,外国所不可一日无也。中国若靳其利而不恤其害,则夷人何以为生?又外国之呢羽哔叽,非得中国丝斤不能成织。若中国亦靳其利,夷人何利可图?其余食物,自糖料姜桂而外,用物自绸缎磁器而外,外国所必需者,曷可胜数。而外来之物,皆不过以供玩好,可有可无。既非中国要需,何难闭关绝市。乃天朝于茶丝诸货,悉任其贩运流通,绝不靳惜。无他,利与天下公之也。该国带去内地货物,不特自资食用,且得以分售各国,获利三倍。即不卖,而其三倍之利自在。何忍更以害人之物,恣无厌之求乎?设使别国有人贩至英国,诱人买食;当亦贵国王所深恶而痛绝之也。

    向闻贵国王存心仁厚,自不肯以己所不欲者,施之于人。并闻来粤之船,皆经颁给条约,有不许携带禁物之语。是贵国王之政令本属严明。只因商船众多,前此或未加察。今行文照会,明知天朝禁令之严,定必使之不敢再犯。且闻贵国王所邻之兰顿,及嘶噶兰、嗳伦等处,本皆不产。惟所辖印度地方,如孟啊啦、曼哒啦萨、孟买、叭哒拏默拏、嘛尔洼数处,连山栽种,开池制造。累月经年,以厚其毒。臭秽上达,天怒神恫。贵国王诚能于此等处拔尽根株,尽锄其地,改种五谷。有敢再图种造者,重治其罪。此真兴利除害之大仁政,天所佑而神所福,延年寿,长子孙,必在此举矣。

    至夷商来至内地,饮食居处,无非天朝之恩膏,积聚丰盈,无非天朝之乐利。其在该国之日犹少,而在粤东之日转多。弼教明刑,古今通义。譬如别国人到英国贸易,尚须遵英国法度,况天朝乎?今定华民之例,卖者死,食者亦死。试思夷人若无带来,则华民何由转卖,何由吸食?是奸夷实陷华民于死,岂能独予以生?彼害人一命者,尚须以命抵之,况之害人,岂止一命已乎?故新例于带来内地之夷人,定以斩绞之罪。所谓为天下去害者此也。复查本年二月间,据该国领事义律,以禁令森严,禀求宽限。凡印度港脚属地,请限五月,英国本地,请限十月。然后即以新例遵行等语。今本大臣等奏蒙大皇帝,格外天恩,倍加体恤。凡在一年六个月之内,误带,但能自首全缴者,免其治罪。若过此限期,仍有带来,则是明知故犯,即行正法,断不宽宥。可谓仁之至义之尽矣。

    我天朝君临万国,尽有不测神威,然不忍不教而诛。故特明宣定例。该国夷商欲图长久贸易,必当懔遵宪典,将永断来源,切勿以身试法。王其诘奸除慝,以保刈尔有邦,益昭恭顺之忱,共享太平之福,幸甚,幸甚!接到此文之后,即将杜绝缘由,速行移覆,切勿诿延。

    His Majesty the Emperor comforts and cherishes foreigners as well as Chinese: he loves all the people in the world without discrimination. Whenever profit is found, he wishes to share it with all men; whenever harm appears, he likewise will eliminate it on behalf of all of mankind. His heart is in fact the heart of the whole universe.

    Generally speaking, the succeeding rulers of your honorable country have been respectful and obedient. Time and again they have sent petitions to China, saying: “We are grateful to His Majesty the Emperor for the impartial and favorable treatment he has granted to the citizens of my country who have come to China to trade,” etc. I am pleased to learn that you, as the ruler of your honorable country, are thoroughly familiar with the principle of righteousness and are grateful for the favor that His Majesty the Emperor has bestowed upon your subjects. Because of this fact, the Celestial Empire, following its traditional policy of treating foreigners with kindness, has been doubly considerate towards the people from England. You have traded in China for almost 200 years, and as a result, your country has become wealthy and prosperous.

    As this trade has lasted for a long time, there are bound to be unscrupulous as well as honest traders. Among the unscrupulous are those who bring opium to China to harm the Chinese; they succeed so well that this poison has spread far and wide in all the provinces. You, I hope, will certainly agree that people who pursue material gains to the great detriment of the welfare of others can be neither tolerated by Heaven nor endured by men. . . .

    Your country is more than 60,000 li from China. The purpose of your ships in coming to China is to realize a large profit. Since this profit is realized in China and is in fact taken away from the Chinese people, how can foreigners return injury for the benefit they have received by sending this poison to harm their benefactors? They may not intend to harm others on purpose, but the fact remains that they are so obsessed with material gain that they have no concern whatever for the harm they can cause to others. Have they no conscience? I have heard that you strictly prohibit opium in your own country, indicating unmistakably that you know how harmful opium is. You do not wish opium to harm your own country, but you choose to bring that harm to other countries such as China. Why?

    The products that originate from China are all useful items. They are good for food and other purposes and are easy to sell. Has China produced one item that is harmful to foreign countries? For instance, tea and rhubarb are so important to foreigners’ livelihood that they have to consume them every day. Were China to concern herself only with her own advantage without showing any regard for other people’s welfare, how could foreigners continue to live? Foreign products like woolen cloth and beiges rely on Chinese raw materials such as silk for their manufacturing. Had China sought only her own advantage, where would the foreigners’ profit come from? The products that foreign countries need and have to import from China are too numerous to enumerate: from food products such as molasses, ginger, and cassia to useful necessities such as silk and porcelain. The imported goods from foreign countries, on the other hand, are merely playthings which can be easily dispensed with without causing any ill effect. Since we do not need these things really, what harm would come if we should decide to stop foreign trade altogether? The reason why we unhesitantly allow foreigners to ship out such Chinese products as tea and silk is that we feel that wherever there is an advantage, it should be shared by all the people in the world. . . .

    I have heard that you are a kind, compassionate monarch. I am sure that you will not do to others what you yourself do not desire. I have also heard that you have instructed every British ship that sails for Canton not to bring any prohibited goods to China. It seems that your policy is as enlightened as it is proper. The fact that British ships have continued to bring opium to China results perhaps from the impossibility of making a thorough inspection of all of them owing to their large numbers. I am sending you this letter to reiterate the seriousness with which we enforce the law of the Celestial Empire and to make sure that merchants from your honorable country will not attempt to violate it again.

    I have heard that the areas under your direct jurisdiction such as London, Scotland, and Ireland do not produce opium; it is produced instead in your Indian possessions such as Bengal, Madras, Bombay, Patna, and Malwa. In these possessions the English people not only plant opium poppies that stretch from one mountain to another but also open factories to manufacture this terrible drug. As months accumulate and years pass by, the poison they have produced increases in its wicked intensity, and its repugnant odor reaches as high as the sky. Heaven is furious with anger, and all the gods are moaning with pain! It is hereby suggested that you destroy and plow under all of these opium plants and grow food crops instead, while issuing an order to punish severely anyone who dares to plant opium poppies again. If you adopt this policy of love so as to produce good and exterminate evil, Heaven will protect you, and gods will bring you good fortune. Moreover, you will enjoy a long life and be rewarded with a multitude of children and grandchildren! In short, by taking this one measure, you can bring great happiness to others as well as yourself. Why do you not do it?

    The right of foreigners to reside in China is a special favor granted by the Celestial Empire, and the profits they have made are those realized in China. As time passes by, some of them stay in China for a longer period than they do in their own country. For every government, past or present, one of its primary functions is to educate all the people living within its jurisdiction, foreigners as well as its own citizens, about the law and to punish them if they choose to violate it. Since a foreigner who goes to England to trade has to obey the English law, how can an Englishman not obey the Chinese law when he is physically within China? The present law calls for the imposition of the death sentence on any Chinese who has peddled or smoked opium. Since a Chinese could not peddle or smoke opium if foreigners had not brought it to China, it is clear that the true culprits of a Chinese’s death as a result of an opium conviction are the opium traders from foreign countries. Being the cause of other people’s death, why should they themselves be spared from capital punishment? A murderer of one person is subject to the death sentence; just imagine how many people opium has killed! This is the rationale behind the new law which says that any foreigner who brings opium to China will be sentenced to death by hanging or beheading. Our purpose is to eliminate this poison once and for all and to the benefit of all mankind. . . .

    Our Celestial Empire towers over all other countries in virtue and possesses a power great and awesome enough to carry out its wishes. But we will not prosecute a person without warning him in advance; that is why we have made our law explicit and clear. If the merchants of your honorable country wish to enjoy trade with us on a permanent basis, they must fearfully observe our law by cutting off, once and for all, the supply of opium. Under no circumstance should they test our intention to enforce the law by deliberately violating it. You, as the ruler of your honorable country, should do your part to uncover the hidden and unmask the wicked. It is hoped that you will continue to enjoy your country and become more and more respectful and obeisant. How wonderful it is that we can all enjoy the blessing of peace!

    1848,徐继畬shē记述华盛顿文

    钦命福建巡抚部院大中丞徐继畬所著《瀛寰志略》曰:
    按:
    华盛顿,异人也。起事勇于胜广,割据雄于曹刘。
    既已提三尺剑,开疆万里,乃不僭位号,不传子孙,而创为推举之法,几于天下为公,骎骎乎三代之遗意。
    其治国崇让善俗,不尚武功,亦迥与诸国异。
    余尝见其画像,气魄雄毅绝伦。呜呼!可不谓人杰矣哉。
    米利坚合众国以为国,幅员万里,不设王侯之号,不循世及之规,公器付之公论,创古今未有之局,一何奇也!
    泰西古今人物,能不以华盛顿为称首哉!
    (该文咸丰三年[1853年]六月初七,被大清浙江宁波府人张斯桂刻制成石碑,由美国传教士丁韪良携至美国赠予华盛顿纪念馆,镶嵌在华盛顿纪念碑的第十层上)

    1852,洪秀永安突围诏令

    “ 通军男将女将,千祈尊天令,欢喜踊跃,坚耐威武,放胆诛妖。任那妖魔千万算,难走天父真手段。江山六日尚造成,各信魂爷为好汉。高天差尔诛妖魔,天父天兄时顾看。男将女将尽持刀,现身着衣仅替换。同心放胆同杀妖,金宝包袱在所缓。脱尽凡情顶高天,金砖金屋光焕焕。高天享福极威风,最小最卑尽绸缎。男着龙袍女插花,各做忠臣劳马汗。钦此!”

    1857,洪秀全“十该打”条规

    1857年太平天国刊印的《天父诗》,收录了500首洪秀全作品,其中476首是洪写给后妃的。

    服事不虔诚一该打。硬颈不听教二该打。
    起眼看丈夫三该打。问王不虔诚四该打。
    躁气不纯静五该打。讲话极大声六该打。
    有唤不应声七该打。面情不喜欢八该打。
    眼左望右九该打。讲话不悠然十该打。

    1898年左右,义和团传单

    神助拳,义和团,只因鬼子闹中原。
    不下雨,地发干,都是教堂遮住天。
    女无洁意男不嫌,鬼孩不是人所产。
    如不信,仔细观,鬼子眼珠俱发蓝。
    天无雨,地焦旱,全是教堂止住天。
    神也怒,仙也烦,一等下山把拳传。
    非是邪,非白莲,念咒语,法真言,
    升黄表,敬香烟,请来各洞众神仙。
    仙出洞,神下山,附着人体把拳传。
    不用兵,只用拳,要废鬼子不为难。
    挑铁路,拔电杆,海中去翻火轮船。
    大法国,心胆寒,英美俄德哭连连。
    洋鬼子,全杀尽,大清一统并将山。

    1949,国民党昆山县政府:告人民解放军

    一、昆山的民众是善良的,愿你们多加爱护;
    二、我们为了尊重自己的立场,未便照着你们的办法移交,谨致歉意;
    三、我们合理的撤退,愿你们合理的接收;
    四、昆山的民众是无罪的,希望你们作风开明合理;
    五、我们希望昆山三十万群众,今后仍旧生活安乐、精神愉快;
    六、我们的立场虽不同,但工作目标是一致的;
    七、惭愧得很四年了我们在昆山毫无建树,愿你们今后有更进一步的表现,昆山三十万民众是在期待着。
    现存昆山博物馆

  • 查尔斯·麦凯《大癫狂—非同寻常的大众幻想与群众性癫狂(部分)》

    第一章  金融大投机之密西西比阴谋

    第一节  约翰·劳的传奇生涯

    满脑子投机钻营赚大钱,
    一些人私下里自组公司,
    不惜发行新股吹大牛,
    好用虚名引诱世人,
    先建立新的信用,再让股票贬值,
    让无中生有的股份变成了资本,
    为了金钱啊,人们聚在一起争吵无休。
    ——丹尼尔·笛福

    有个人,他的品行、经历与发生在1719年—1720年的那场大骗局之间,竟然有着那么密切的关联,以至于我只能以这个始作俑者——约翰·劳的生平琐事,作为密西西比大阴谋的开场白。

    在历史学家们看来,约翰·劳这个人十足是个大骗子,居心叵测的阴谋家、小人,也有人说他是疯子……如此种种,不一而足。这一点也不奇怪,因为他的一个计划,害得那么多人为此赔上身家性命,那些令人痛心的不幸后果被深深地烙印在人们的心中,久久不能平复,也许,叫他骗子、疯子还算是轻的呢。

    但之后人们又发现,如此称呼、指责他是不公正的——约翰·劳既不是骗子,也不是疯子。与其说他设计骗人,不如说他本身才是受骗者;与其说他是罪犯,不如说他是可怜的替罪羊。

    公平的看,约翰·劳本人其实是个最优秀的金融专家。他比同时代的任何人都要熟悉金融问题,而且对信用的理论和原则可谓了如指掌。甚至,他所建立的金融系统会如此快速的坍塌,也并不是仅仅因为他的过错,那些推波助澜、渴望快速攫取金钱财富的人们,协助他建立这个金融货币体系的人们,才是问题的根源所在。

    约翰·劳没有料到整个国家、整个人群竟会陷入如此巨大的贪婪的狂潮中。他也没料到,信心,就像怀疑一样,可以无限制地增长、膨胀;而希望,有朝一日也可以转化为恐慌四处蔓延,最终吞没一切。他又怎么能够预见到,法国人会像寓言中所描绘的那样,在金钱的疯狂驱使下,在野火燎原一般的欲望中,杀掉给那只曾他们下了那么多金蛋的鹅呢?

    他的命运就像第一个冒险划船从伊利湖向安大略湖漂流的人一样。当他出发时,河面上还是如此地风平浪静,水流轻缓,仿佛一块明镜。而这水手的航程是既迅快又惬意。这时候,有谁能阻碍这如飞的一叶扁舟呢?

    然而,只一转眼的功夫,啊呀,谁能料到平静的波浪尽头竟是个大瀑布!水手兀自沉浸在美妙的航行中,对前方的危险一无所知。可当他意识到此时的处境时,哎,已经太晚啦!以前载着他畅游的湖水如今竟成了要命的龙潭虎穴。他想折回原路返航,可是水流实在太湍急,他那渺小、微弱的力量怎么能够对抗这森严巨大的自然之力?时间一点点地流逝,这一人一船距离那雷霆震怒一般的瀑布越来越近。终于,一个浪头拍下,水手连人带船跌进万丈深渊——他的身体、他的小船旋即被嶙峋的岩石撞成碎片。万马奔腾一般的水流裹挟这可怜的碎片坠入谷底,翻滚出一片片雪白的泡沫,很快,这泡沫就消失了,天地间重新归于平静,平静得好像从来就没有发生过这样的惨剧。

    约翰·劳和法国人的关系可能就像这样,约翰是那个可怜的水手,而法国民众,就是像那看似无害却满布漩涡暗流的滔滔湖水。

    1671年,约翰·劳出生于苏格兰首府爱丁堡的一户富裕人家。他父亲既是个金匠又是一个银行家。他做买卖积攒了一大笔财富,并用这笔钱买下了劳里斯顿和兰德尔斯顿两处地产,因此被人称为“劳里斯顿的劳”。

    本章的主人公约翰·劳是家中的长子,刚满14岁就被带到父亲的会计事务所中做了3年学徒。在这里,约翰勤奋地学习着商业知识,也一步步地了解了苏格兰银行业的操作规则。虽然工作艰苦,约翰却乐此不疲——还在年纪很小的时候,约翰就在算术方面上显露出了非比寻常的天赋。这一点让他在这一行里如鱼得水。

    长到17岁时,约翰已经像个又高又壮的大人了。他的身材健美,脸上虽然因出天花而有些瘢痕,看起来却并不影响他英俊的容貌。那副表情总是朝气蓬勃地,看起来充满了智慧,因此十分讨人欢喜,不过,很快他也开始变得不安分起来——在女人堆中约翰备受青睐,可谓无往而不利,女人们都管叫他“俊俏的劳”。为了不负小姐太太们送给他的这个略显轻佻的“外号”,约翰开始着意打扮自己,派头十足又极度地自信。而男士们则对这个油头粉面的小伙子颇为鄙夷,也送了他一个外号:“浪荡子约翰”。在1688年父亲去世后,约翰·劳彻底抛开了会计事务所的繁冗琐事,带着父亲留下的遗产来到伦敦,打算在这个花花世界闯荡一番。

    很快他就变成了伦敦各家赌场中的常客。一方面是因为他那年轻人特有的狂妄和缺少自制,以及喜好排场和奢侈的生活习惯。但另一方面,他表面上虽然喜好挥霍,放肆张扬,却并不是个通常意义上的“花花公子”。出于天赋异禀,对赌博下注他其实在头脑中经过了周详的数学计算,为此他从不随便出手,而是依照计划稳扎稳打——钞票从赌桌上源源不断地滚入他的腰包。为此,他甚至成了所有赌徒的崇拜对象,人们相信跟随他就能在赌桌上翻盘赢大钱!

    这个来自苏格兰的,出手阔绰又潇洒风趣的年轻男子,同在家乡一样,受到了伦敦上流社会社交界,尤其是那些名媛们的欢迎。与在赌场中相似,在情场上,约翰也是个常胜将军,纵横花丛中进退自如。

    然而,物极必反,约翰也有走背运的时候。在伦敦度过了9年放荡、奢靡生活的他,慢慢失去了往日的机敏,开始滑向失控的边缘。他变成了一个名副其实的“赌棍”。在赌桌上,他不在满足于小打小闹,他的赌注押得越来越大,他的装满数字概率的脑袋却越来越迟钝。毫不意外的,在某天他输了一大笔钱,只有抵押地产才能付得起那一大堆令人头痛的债务。没法子,最后他只好看着父亲留下的财产成为别人的囊中物。

    正所谓“福无双至,祸不单行”,就在他为债务危机而弄得自己焦头烂额的时候,一件“桃色事件”又把他拖向另一个深渊。他与一位名叫维丽丝的女子之间牵扯不断的情爱纠葛,招致了一位威尔逊先生的敌意,为了把事情做个干净的了断,两人约定了一场决斗。约翰本不是个胆小鬼,他接受了挑战,并在决斗中成了赢家——威尔逊先生当场毙命。一桩风流韵事一下子变成了刑事案件,当天他就被逮捕归案,威尔逊先生的亲属以谋杀罪的名义起诉了他。法庭本来判他有罪并处以死刑。但考虑到威尔逊先生也有过错,于是约翰落了个过失杀人罪,判决也被减为罚款。这样的从轻处理引起了死者兄弟的不满,重新对他提了上诉。可是,就在被押到“王座法庭”受审后,约翰却神奇地逃之夭夭了。至于他是怎么得手的,至今是个谜,约翰也从未向人提过。

    很多人对这个结果表示不满,甚至还有人为此发起了一个反对司法官员的活动,报纸杂志上也对这一事件做了全面的报道。在报纸通缉文书上,约翰是这样的一个人物:“约翰·劳船长,26岁,苏格兰人士;精瘦,身高约6尺以上,皮肤黝黑,相貌端正,脸上有麻点,大鼻子,声音洪亮……”

    这种漫画式的描绘并没有阻碍他的逃亡之路,约翰终于成功地抵达了欧洲。在这块古老的大陆上,他整整游历了3年,并开始把大部分的精力投入到研究各国货币和金融业务上去。可能是积习难改的缘故,到了夜晚,他照旧是各大赌场的常客。

    后来,他似乎在1700年返回了爱丁堡,并发表了一本名为《组建一个贸易委员会的建议和理由》的小册子。当然,这样的小册子并没能引起人们的注意。

    没多久,他又开始阐发一个新的主张——建立所谓的“土地开发银行”(Land Bank)。按照他的规划,银行所发行的纸币绝对不能超过这个国家的所有土地的价值。或者,在正常的利率下,与土地价值相当。这次,他的提议在苏格兰议会中激起了轩然大波,议员们纷纷加入讨论。其中的一个中立党派甚至还专门提出议案要求政府建立这样一家银行。约翰对这样的结果很是振奋了一阵子。不料,议会最终通过一项决议:通过发行任何形式的纸质货币以加强货币流通,对整个国家来说是很不明智的,那将可能令国家陷入巨大的风险之中。

    这个计划失败了,约翰企图得到司法赦免的努力同样落空了。他失望地离开了苏格兰,继续在欧洲操持着赌博旧业。

    就这样,他在荷兰、德国、匈牙利、意大利、法国等国游荡了近14年之久。这样的漫游使他的眼界大为开阔,此时的约翰几乎对欧洲各国货币、贸易政策了如指掌。他仍然像年轻时一样,坚定地认为如果没有纸币,一个国家的兴盛就只是空谈!

    作为一个技术精湛的资深赌徒,在欧洲各大赌场里约翰都是声名显赫,当时的人们普遍认为他是全欧最擅算计、最会利用错综复杂的概率创造机会的精明人。但别忘了,古语有云“木秀于林,风必摧之”,他的顺风顺水遭到了许多人的妒忌,而且,对于经验浅薄的年轻人来说,他更是一个活生生的“反面教材”。不奇怪地,他很快成了官员们心目的“危险人物”,先是被当局驱逐出威尼斯,接着又被赶离热那亚。在客居巴黎期间,约翰同样引起了法国警察总长德·阿金森的侧目,警察总长大人命令约翰尽快离开法国,最好从此自动消失。

    但约翰的好运却在此时降临了。法国宫廷中几位位高权重的大人物:旺多姆公爵、孔蒂王子和奥尔良公爵等,都是约翰在沙龙里结识的新朋友。一听说约翰将被赶出巴黎,这些好朋友们纷纷仗义相助,因此约翰成功地在巴黎留了下来。

    尤其是奥尔良公爵,这位法兰西皇帝的近亲对约翰那翩翩风采和睿智的头脑十分赞赏,而约翰也被这位公爵大人的远见卓识所吸引,两人之间颇有点“英雄惜英雄”的味道。约翰尽可能地抓住每次见面的机会向公爵灌输自己的金融主张。

    1715年,法皇路易十四驾崩,年仅7岁的太子继承了王位,而奥尔良公爵则被指定为摄政王,辅佐小皇帝主持朝政。此时约翰的位置一下变得极为有利,他的好运气伴随着奥尔良公爵的高升一同来到,并且变得一发不可收拾——那梦寐以求的财富和名位现在是近在咫尺了。

    摄政王既是他的朋友,又对他的货币理论和设想十分熟悉,更重要的是,他有足够的能力以各种方式支持约翰重新稳定创伤累累的法兰西财政。众所周知,在“太阳王”路易十四漫长的统治期间,法国的金融信用已经被皇室贵族们的奢靡无度弄到岌岌可危的地步。

    所以,路易十四皇帝刚刚死去,公众们那压抑已经的愤怒就像火山一样爆发了。在世时被捧上天的皇帝陛下这时却被骂成“暴君”、“死硬派”和无恶不作的“盗贼”。他的塑像被石块砸得稀巴烂,他的肖像在诅咒声中被撕毁,他的名字也成了“自私”、“压迫”、“骄横暴虐“的代名词。

    国家的财政已了崩溃的边缘。上梁不正下梁歪的结果是,除了皇室以外,法国各地的官吏们一样地腐败堕落,从上到下无人不贪,无人不恶。整个社会经济一片混乱。国家的外债总额竟高达30亿里弗(Livre,法国的一种旧货币单位),而国家每年的税收收入总共才有1.45亿里弗,仅政府开支就要花费1.4亿里弗赫。也就是说,每年只剩300万里弗来支付这30亿外债的利息。

    现在,摄政王所要做的第一件事就是想法子彻底扭转极度危险的局面。为此,他组织了一个委员会来研究解决的办法。与会各位大臣纷纷出谋献策。圣西蒙公爵认为,必须立即采取一个大胆而又危险的措施来避免整个国家陷入革命的危机——宣布法兰西政府破产。诺阿勒公爵则坚决反对圣西蒙的建议。他说这种做法既十分冒险又十分不智,很可能会给国家带来毁灭性的打击。摄政王同意了诺阿勒的意见,却没料到后者的这一措施令本已奄奄一息的国家财政雪上加霜!

    法皇下令重铸货币,这样一来货币立即贬值了五分之一:那些拿着1000个金币或银币到造币厂的人最终取回了等额的货币.但货币中金属的重量只有原来的五分之四。借助这种损民利己的勾当,国库一下增加了7200万里弗的收入,而整个商业运作却变得一团糟。不得已政府又下令稍微减少税赋,民众的怒火暂时熄灭了——为了眼前的一点蝇头小利,人们选择对将要落在自己头上的巨大灾祸视而不见。

    同时,根据计划,政府组成了一个裁决法庭调查那些贷款承包商和包税人的不法行为。尽管任何国家内,人们对税收人员都颇有微词,但在当时的法国,人们对税收人员却是咬牙切齿。因此,当这些赋税承包巨头以及手下的各级承包人被法庭传唤交待他们的罪行的时候,法国被空前未有的欢欣喜悦所笼罩。

    这个操生杀大权的裁决法庭因此获得了社会各层面的广泛支持。法庭由国会主席、各委员会领袖、诸司法机关的大法官组成,主席是财政大臣。他们鼓励检举者积极提供线索,并许诺以罚款和没收赃款的五分之一作为对检举人的奖励。而被检举人所有隐匿款项的十分之一也将被作为告密者的报酬。

    这样诱人的法令一经颁布,那些从事不法行为的人们立即惶恐不安起来,他们非法盗用的税款数额是如此地大,以至于没有人会同情可怜他们。接下来一项项的起诉逐一印证了他们的恐惧——巴士底狱很快就被罪犯们塞满了。与此同时,全国各地的大小监狱也都人满为患,里头关押的全是罪犯和嫌疑犯。法庭同时下令,各地的旅店老板或驿站站长谁也不许向试图逃脱的人提供马匹。而任何帮助罪犯或引导他们逃跑的人都将受到严惩,或者罚披枷示众.或者罚做苦役,罪行较轻的则被处以罚款和监禁。

    在整个过程中只有一个名叫塞缪尔·伯纳德的人被判死刑,他是一个外省的银行家兼包税人。这个家伙称得上胆大包天——他竟提出愿意掏出600万里弗作为获得自由的赎金。结果他的如意算盘落空了,等待他的是阴森的绞架。

    相较之下,另一些罪行更大的人则更走运,因为他们把财产都藏匿了起来。于是,政府的态度缓和了下来,在税收的名义下,所有犯法的人被法庭统统判处罚款。这一招并没有令国库增加多少收入,由于法国的行政官员们早已是腐败到骨子里了,这些巨额罚款就像流水一般流入了形形色色的大臣以及他们的妻子、情人的荷包里。而想要避免掏罚款,不法分子们纷纷开始对这些“令人尊敬”的女士们大献殷勤。

    就这样,法庭费心尽力征收到的1.8亿里弗罚款中的8000万被用来还外债,剩下的1亿则毫不意外地成了大臣们分食的盘中餐。几个月后,所有罪行较严重的人都受到了惩罚。不甘如此收场的法庭开始寻找那些社会地位更低下的人作为牺牲品。为了获得诱人巨额报偿,一些人开始在那些正直清白的商人身上动脑筋,莫须有的敲诈、勒索等罪名,落到这些可怜人头上,他们被迫在法庭上说破口舌想尽办法证明自己无罪,但情况往往不那么尽如人意。
    法国社会顿时冤案四起,人民开始怨声载道起来。
    一年之后,为了控制混乱无序的局面,政府不得不解散了法庭,那些无辜遭到指控的人得到了赦免。

    第二节  法兰西皇家银行的诞生

    正当法国财政乱成一锅粥的当口,约翰·劳出现了。没有人会比摄政王更想挽狂澜于既倒,也没有人比他更能体会国家的悲惨状况,可他却讨厌商业贸易,往往不经深思熟虑就签发官方文件,并喜欢把自己分内的事情摊派给他人代劳,身处高位所负担的更大的担子令他感到吃力。为此,他明白,为了不牺牲自己的安逸和舒适,自己必须找个代理人来帮忙处理那么多令人头疼的事务。于是,约翰·劳,这个为自己所欣赏的既有才华又不乏变通的“探险家”,就成了他所倚重的得力干将。这就意味着,约翰此前一直在酝酿却始终得不到施展的伟大计划,终于有了用武之地!

    踌躇满志的约翰一出现在朝廷上,就受到了大臣们最热烈的欢迎。他向摄政王提交了两份备忘录,指出由于流通中的货币量远远不能满足经济运行,所以导致了法币屡屡贬值,而现在,可怕的金融危机已经笼罩了法兰西。仅有金属通货而缺少纸币的辅助.庞大的货币需求量永远都会处于失衡状态,这根本不符合一个商业国家的标准。

    此外,他还专门引述了英国和荷兰的例子来说明纸币的好处和优越性,为此,他提出了许多关于货币信用的实际数据,这一切都是为了一个目的——重建法国的货币信用。当时的法国经济在欧洲诸国中显得十分萧条,应该建立一家专门负责管理财政税收的银行,并以这些税收和不动产为基础发行纸币。他还进一步提出,这家银行应该以法皇的的名义进行管理,但实际上是由议会指定组成的委员会来操控。

    就在这些备忘录尚处于审议阶段的时候,约翰又把自己撰写的有关金融和贸易的论文译成法文刊登在报纸上,以此向法国人显示自己是当代最卓越的金融学家。很快,他就成了法国家喻户晓的人物,同时,摄政王的心腹们也在四处宣扬他如何才华横溢,如何受到摄政王的信任……一下子,所有的人都被这个金融专家给吸引住了,人人都在企盼约翰先生能够重整山河,带领法国走出泥潭。

    l716年5月5日,皇室发布命令,授权约翰·劳与他的兄弟一起,成立一家名为“劳氏公司”(Law and Company)的银行,由这家银行发行的纸币可以用来缴税。银行的资本金为600万里弗,每股500里弗,共1.2万股。其中四分之一可以用金属货币购买,剩余的四分之三以公债的形式供人们购买。

    法国政府还批准了约翰·劳在备忘录中请求的所有特权,一开始人们认为这是不恰当的,后来的事实则会证明,约翰所拥有的这些特权不仅没有被滥用,其实是安全而有利的。

    现在,约翰·劳踏上了一条光明的坦途,可真称得上是吉星高照、平步青云。三十年来累积的丰富的金融知识,令他在处理银行业务时显得如此地从容不迫、游刃有余。他的银行所发行的纸币可以随意购买、兑换.而且发行后还可保证价值不变。这一点可说是惊人之举,人们开始信任纸质货币,最终纸币的价值甚至超过了黄金、白银等金属货币。而后者通常会因为政府的干预而导致贬值。有时候,1000里弗的银币在第一天还与它的名义价值相等,可转天你就可能发现,这1000里弗的价值已经缩水了6%。

    而劳氏公司发行的纸币却始终稳稳地保持着它原来的价值。约翰·老还宣称,如果一个银行家在发行纸币的时候,没有足够的资金担保来满足所有公众的需求,那么,他就只有死路一条。于是,他所发行的纸币日益受到大众的欢迎,价值也迅速上升,甚至比等值的金属货币还高百分之一。

    很快,法国商贸业就成了这项新货币政策的最大获益者。以往凋零的商业开始复苏。纳税时人们也不再那么抱怨连天,纸币在人们心中的信用度逐渐建立起来,如果这种信任度继续保持下去,国家的整个经济体系将会更加稳固,经济也会日渐繁荣。就这样,在一年内,约翰·劳发行的纸币价格超过了面值的15%。而公债,或者说是政府发行的用来偿还路易十四因奢侈造成的欠债的证券,价值则下滑到面值的百分之21.5%。这个种强烈的反差对对约翰·劳太有利了,以至于他一个人吸引了来自整个法国的注意力。相应地,劳氏银行的信誉也水涨船高。一时间,在里昂、罗谢尔、图尔、亚眠和奥尔良等地,劳氏银行的分店纷纷开张。

    对于约翰·劳那惊人你的成功,摄政王显然极为惊奇,在他的头脑中慢慢形成了这样一种观念:纸币既然拥有如此强有力的力量来支持金属货币,那么,当然可以完全取代金属货币为。可他却没想到,货币政策并不是这么简单的,而在这样一个从头到尾都十分荒谬的观念的驱使下,他做出了许多蠢事。

    与此同时.约翰·劳开始着手策划一项可令他的大名“永垂青史的”惊人计划。

    他向摄政王提议(摄政王此时对他已是言听计从了)建立一家公司,这个公司应该拥有与密西西比河广阔流域以及河西岸路易斯安那州做交易的专有特权。传说,新大陆上的这两个地方遍地都是黄金,简直像天堂一般。此外,劳氏银行和法国政府如能独占这个极具吸引力的大市场,无疑将获得空前的暴利,同时成为独一无二的包税人和钱币铸造者。

    第三节  密西西比计划初现端倪

    1717年8月份,政府授予的贸易授权书颁布了,公司得以顺利成立。公司资本随即被划分为20万股,每股500里弗,这些股票可以用公债抵付。尽管面值500里弗赫的公债,市场价格仅相当于160里弗赫。可是,此时投机的狂潮已经席卷了整个法兰西,为了迅速发财致富们谁会在乎这些。

    同样地,劳氏银行所创造的辉煌业绩也令约翰自己飘飘然起来,以至于他认为自己向大众许下的任何承诺人们都会奉为圭臬。此外,摄政王每天都在赋予这位“幸运儿”以新的特权。劳氏银行最终竟垄断了法国的烟草销售市场,独揽了铸造金银币的大权。最后,银行来了个彻底的改头换面,竟成了法兰西皇家银行(the Royal Bank of France)!

    面对这样巨大的成功和民众的赞誉,约翰·劳和摄政王开始忘乎所以起来,他们都忘记了一个致命的原则——约翰本人也曾为此大声疾呼过,这就是:如果一个银行家没有足够的资金储备去支持所发行的货币,那他就只有死路一条。

    当约翰的这家银行刚刚从私营转为皇家中央银行,摄政王就命令它发行了面值10亿里弗的新币。这是他们偏离稳健原则的第一步,对此约翰似乎不应负主要责任。毕竟,当他掌控银行业务的时候,银行发行的纸币从未超过6000万里弗。约翰·劳是否曾反对摄政王主导的这个增币计划,后人对此不得而知。但有一点却是可以肯定的:在这家私人银行摇身一变成为皇家机构之后,摄政王本人就应该承受各种各样的指责和骂名。

    约翰·劳一向明白自己生活在一个专制政权的统治之下,却没有弄明白这样的政府会对像银行信用这样一种复杂微妙的系统施以多么恶劣的干扰。经管后来在切身体验中他明白了这个道理,但已经太晚了,他已不由自主地卷入了致命的漩涡之中——在摄政王的逼迫下,他一步步丢掉了自己的理智和判断。

    在他的支持下,摄政满意地看到整个法兰西被钞票汇成的洪流所吞噬。由于缺乏稳固的基础,这些泡沫一样的纸币迟早会一个个破裂,最后化为乌有。然而,这种潜在的风险此刻已被约翰抛到九霄云外,滚滚而来的财富遮蔽了一切,也包括他那曾经是“全欧最精明”的头脑。

    不久,危险的前景开始逐一显现。

    法兰西议会从一开始对一个外国人插手本国事务极端仇视,同时也对约翰提出的那些大胆的计划表示深深的忧虑。随着约翰在法国国民心中的影响力越来越大,议员们对他的敌视心理也与日俱增。

    为此,一些议员公开反对约翰利用银行大量发行纸币,而造成国内金银货币的持续贬值。为了压制议会,摄政王甚至无缘无故地罢免了法官德·阿格索的职务。此举无疑是火上浇油,尤其是当德·让松——摄政王的亲信之一,被指定接替空缺的法官职位,并同时兼任财政大臣时,议会对约翰的敌意进一步加深了。

    新财政大臣走马上任后放的“第一把火”就是使金银币进一步贬值。这个一心只为讨好主子的家伙最喜欢吹嘘自己那“出色的创造能力”,而为了尽快清偿政府公债,他下令:凡是送4000里弗硬币和1000里弗公债到造币厂的人,都可以得到5000里弗的硬币。这一妙招令德·让松骄傲不已,整日忙于将4000个旧的足值硬币改铸成5000个新的、掺了水分的小硬币。由于对贸易和信用的原则一窍不通,他根本不明白自己所作的一切其实是在给自己的主子拆台!

    议会马上看出了他的冒失以及这种做法的危险性,并再三向摄政王陈情。摄政王对他们的请求却像充耳不闻。无奈之下,议会被迫采取了一个大胆的举措,宣布民众照旧用旧币做支付手段。摄政王闻讯大怒,立即召集御前会议,宣告议会通过的法令为非法。议会坚持不接受,随即又发布了一个法令。摄政王再一次运用特权废除了该法令。然而,议会仍不屈服。1718年8月12日,议会再次通过法案,严禁劳氏银行以任何直接或间接的方式参与征税。同时禁止所有外国人以自己或他人的名义干预国家财政政策,违者予以重罚。议会甚至认为约翰·劳才是最大的祸根,提议将他送交法庭接受审判,一旦定罪.就将他立即处死。

    听到这个噩耗,约翰·劳又惊又怕,仓皇逃到皇官中请求摄政王的庇护。为了一劳永逸的解决问题,他还乞求摄政王采取措施来逼迫议会撤销法案。这时候,正逢先皇的两个儿子曼因公爵和索洛斯伯爵为储位问题闹纠纷,再加上这个突发事件,摄政王一下子乱了方寸。

    最终,他下令将议会的议长和两名议员收监并发配到外省,这才令议会低头。

    这片遮蔽约翰·劳的锦绣前程的黑云就这样被吹散了。逃脱一劫的约翰将全部心力集中在了著名的密西西比计划之上。纵然议会依旧强烈反对,却挡不住公司股价的迅速飙升。

    1719年年初,政府又颁布了一项法令,授予密西西比公司在东印度群岛、中国、南太平洋诸岛以及法国东印度公司所属各地进行贸易的特权。甚至连科伯特一手建立起来的法国东印度公司(the French East India Company),也被并入了约翰负责的密西西比公司。

    后来,由于业务的蓬勃发展,密西西比公司更被世人被称为“印度群岛公司”,并增发了5万股新股。约翰·劳为众多股民描画出一幅无比光辉灿烂的远景,他承诺,每份500里弗的股票每年派发的红利可达200里弗。由于股票可以用公债来购买,所以一支票面价值500里弗仅仅花100里弗就可以买到。这样算下来,每股的投资回报率竟然达120%。如此巨大的利益诱惑更加助长了大众的购买热情——这样的暴利就算是铁石人也无法抵御啊。

    现在,至少有30万人热切地要求申购这5万份新股。约翰·劳那位于甘昆普瓦大街的宅邸,从早到晚被急切的申购人挤得水泄不通。空前巨大的需求注定了很多人的要求得不到满足。由于新股票持有人名单只能在几周后才能最后确定.在这段日子里,民众渴切的情几乎已濒于疯狂的边缘。就连那些平日里假模假样故作高尚的大贵族们也放下了矜持,为那金光闪闪地“钱”途而疯狂了。

    每天,那些公爵、侯爵、伯爵以及他们的夫人们纷纷聚在约翰的家门口的大街上,为早点知道结果一等就是几个小时。最后,像这样等待的平民贵族已是成千上万充斥了整个大街。为防止互相推挤,贵族们甚至在邻街租下套间,以便随时掌握从“财神爷”那儿传来的任何一条财富信息。

    旧股的价格也被带的一路走高,节节往上攀升。整个国家已经跌入了疯狂的黄金梦中不可自拔,申请购买新股的热潮一浪高过一浪。

    为了满足人们强烈的要求,最后,公司认为可以再发行30万新股,每股发行价500里弗。这样一来,摄政王就能够利用公众高涨的热情

    清偿所有的国债——若是在平常,为了这个目的财政必须要想方设法筹集到15亿里弗的资金才行。可现在,全国上下一片狂热,只要政府认可.即使三倍于此的数额人们也情愿付出。

    第四节  金钱的狂热

    约翰·劳现在已经到达了个人成功的最高峰,法国人也在迅速地接近痴狂的顶点。豪门显贵也好,山野村夫也好,每个人都在幻想着一夜之间变成超级大富豪!在上流社会的贵族中,除圣西蒙公爵和威拉斯元帅之外,人们都在忙于炒买般票。不论男女老少,不分贵贱贤愚,人人都想从密西西比债券涨跌造成的差价中分得一杯羹。

    甘昆普瓦大街一时间变成了股票经纪人扎堆的地方。由于街道狭窄难行,再加上天天都有那么多的人聚集,以致这条街上的交通事故不断发生。与此同时,这条大街两边的房子往日的年租金只有1000里弗,而现在已经涨到了1.2万到l.6万里弗。据说,一个在街边摆摊的补鞋匠见状把自己的摊位租了出去,同时向经纪人及其客户提供纸笔,这个点子令他每天净赚200里弗。另一个故事被传得更加离谱,一个驼子利用自己的驼背给那些着急忙慌的的投机商当书桌,为此狠赚了一笔!然而,一批接一批的投机客仍然源源不断地赶来。

    这样的混乱场面也给了巴黎的小偷和无赖以可乘之机,街道上不断发生暴力骚乱,以至于每到夜晚,就会有一队士兵被派来维持秩序。

    约翰·劳这时也发觉自己住在此地太不方便了,于是举家搬到了旺多姆广场。结果,那些嗅觉灵敏的投机商们也很快尾随到那里。宽阔的广场顿时变得同甘昆普瓦街一样拥挤。从早到晚,旺多姆广场就好似一个人山人海的菜市场。各种各样的帐篷和货摊林立其间,供人们买卖股票兼贩卖饮料餐点。赌徒们也把轮盘赌的桌子搬到了广场中央,从熙来攘往的人群手里赚得大量钱财。

    在林荫道上或花园里散步消闲的人越来越少,大家更更热衷于到旺多姆广场消遣度日。这里充斥着人们高谈阔论的的声音,那闹哄哄的场面令官员们叫苦不迭,广场法庭的一位法官曾向摄政王和市政府抱怨说,他在判案时甚至连律师的辩护辞都听不到。

    约翰·劳闻讯后表示,他愿意帮忙解决这个麻烦。为此,他开始与加里格南亲王接洽,打算租下亲王所有的索桑松官邸,这座官邸的后面附有一个面积数英亩的大花园。经过一番讨价还价后,约翰·劳以极高的价格买下了官邸,而亲王自己则留下了那个宽阔豪华的后花园好获取更丰厚的利润。后花园里散布着精美的塑像和喷泉,设计极有格调。

    一俟搬进新居,约翰·劳就派人发布公告,所有人必须在索桑松官邸的后花园中进行交易。为了给股票经纪人提供场地,在花园中的树木之间搭起了大约500个大大小小的帐篷。五颜六色的帐篷之间飘扬着色彩明亮的彩带和旗帜,熙熙攘攘的人群川流不息。鼎沸的喧哗声、刺耳的噪声、音乐声搅和在一起,以及人们脸上流露出的喜怒哀乐掺杂在一起的表情……这一切都是那么地新鲜奇幻又那么地富有魔力,巴黎人为此陶醉不已。

    后来,精明的加里格南亲王在这个花园上赚到的利润堪称天文数字。在这里,每顶帐篷的租金是一月500里弗。花园中至少有500顶帐蓬,亲王每月的纯收入仅帐篷一项就高达25万里弗,也就是超过1万英镑!

    但也有人对这种蔓延在全民中的迷狂保持清醒的头脑。陆军元帅威拉斯,这位正直的法兰西老兵就是其中罕有的一个。看到同胞们正做着愚蠢的事还沾沾自喜,老元帅为此感到非常气恼。有一次,当他乘坐马车路过旺多姆广场时,看到人们仍在醉心于买卖股票,这位暴躁的绅士突然命令车夫停车,接着把头探出车窗,向人群大声疾呼,要求他们停止这种“令人鄙视的贪婪行为”。他足足讲了半个钟头,句句在理,真称得上是义正词严、用心良苦。可是,回应他的却是人们的嘘声和嘲笑声,这些声响汇成激流淹没了他。最后,有人甚至向他扔了个黑乎乎的物件,差点打着他的脑袋。这时,老爷子才狼狈地驾车远遁。从此,他对此事再也不予置评。

    另外,曾有两个更加清醒、安静并富于思辨性的学者——德·拉·莫特先生与特拉松神父,才彼此祝贺对方没有卷入这场奇怪的狂热行动。不料隔天德高望重的神父就上索桑松官邸买股票去了。

    当他出来的时候,恰好撞见碰上为同样目的向里走的老朋友得·拉·莫特。“哈!那是你吗?”神父问。“是的。”拉·莫特回答。说话间快速地从朋友身边擦过。

    当两位朋友再相见时,只顾着对哲学、科学和宗教发表高论,谁也没勇气再对密西西比计划了指指点点了。

    “财神爷”约翰·劳的风头可谓一时无两,连法兰西王国最重要的大人物也要甘拜下风,自叹不如。就连一向贵宾云集的摄政王待客厅如今也变得冷冷清清,门可罗雀,再留不住一位朝臣。贵族、主教、法官们纷纷涌入了索桑松官邸。陆军、海军军官们,养尊处优的女士们,以及一个个拥有世袭爵位或享有特权的人挤满了约翰的会客室,个个伸长脖子,满脸谄笑,只为约翰开金口卖给他们一些印度公司的股票。

    如此火爆的行情却让约翰·劳这阵子疲累到了极点。就算他肯,能见到的申购人却连十分之一也不到。为了见他一面,申购者们绞尽脑汁,出尽法宝,凡是凡人能想到的几乎都叫他们做了个遍!若换了平时,这些爵爷命妇们就算是面见在摄政王时,也甭想叫他们多等半个钟头。此时,只要能博约翰大人一见,就算是要等6个小时他们也心甘情愿,绝不会发一句牢骚。

    这时候,在官邸里伺候的仆人们也大发横财,人们纷纷向仆役手里塞钱,希望仆人们在约翰先生跟前为自己说句话。而那些迷人的、出身高贵的女土们,为了同样的目的暗地里不知送出多少秋波,献出多少甜美的微笑。纵然是如此,仍有许多人一天天地耗在这里,有的甚至一直坚持了两个星期才与约翰先生打个照面。

    当劳先生受邀参加宴会时,高贵的女士们总是将他团团围住,软语温存地求他记下自己的芳名,好让她们买到新发行的股票。在以往这可是求之不得的机会,一向以风流潇洒著称的的约翰先生,此刻却无力也无法消受这种艳福,通常会仓皇溜走。

    世上真是无奇不有,为了见他一面,有人竟然想出了滑稽可笑到极点的法子。由于一连几天等在约翰家门口却一无所获,一位女士干脆放弃了这种干等的笨办法。于是,她向自己的马车夫面授机宜:当她外出时,他得眼观六路耳听八方。一旦见到约翰先生过来,就驾着马车往灯柱上撞,好把她捧下来。

    忠心耿耿的马车夫保证:一定完成主人的重托。于是,主仆二人在城中一直溜达了三天,寻找着那个宝贵的、让她摔下车的机会。就在第三天快结束的时候,天赐良机终于出现了。一看到约翰先生,这位夫人立马揪住缰绳,对车夫嚷道,“快!看在上帝的份上,快翻车!”说时迟,那时快,车夫驾车往路旁的柱子撞去。皇天不负有心人,车子终于翻倒一边,夫人摔在地上尖叫连连。意外就发生在眼前,约翰先生自然是当仁不让,赶紧上前救助。这个聪明的女士随即被带到了索桑松官邸。后来,她觉得自己应当从“惊恐”中恢复过来了,便向劳先生道了歉,并一五一十地说出了自己的“小阴谋”。约翰·劳被逗得前仰后合,却不能不钦佩夫人的胆略。于是微笑着记下了她的名字,承诺会卖给她一笔可观的股票。

    另一个故事的主角换成了德·布莎夫人。当她得知约翰·劳在某饭店里就餐后,立刻驱车前往,并在同时报了火警。一听失火了食客们纷纷夺路而逃。正当大家慌乱成一团的时候,约翰·劳却发现有位女士神色镇定地向自己走来。他立刻觉察到其中必定有诈,就从另一个方向逃走了。

    当时像这样荒唐可笑的趣事可说不胜枚举,尽管其中的一些存在夸大其词的地方,还是可以反映出当时那种癫狂的社会风貌。据说,

    有一天,摄政王当着德·让松、杜波瓦神父和其他几个人的面提到,为了代替自己去摩德纳陪伴女儿,他正在为哪位地位高贵的公爵夫人才是最佳人选而发愁。摄政王又叹道:“可是,现在,我真不知道在哪儿才能找到这样合适的女士。”“您不知道?”其中一人大惊小怪地回答,“我可以告诉您,您只需到劳先生家里去,一准儿能在会客室中找到全法国的公爵夫人。”

    德·希拉克先生是一个声誉素著的医生,他曾买过一些股票。但不走运幸的是,股票三天两头的下跌。最后,殷票又持续狂跌了两个星期。这时医生再也坐不住了,满心满眼里装的全是花花绿绿的股票。这时,碰巧有位一个女士请他去看病。在为那位女士把脉时,他情不自禁地叫道:“跌了,啊呀,它又跌了!”病人越听越焦急,“噢,希拉克先生,”病人说着站起身来,拉铃叫仆人进来,一边嚷嚷着道:“完了,我就要死了。它一直在落!一直在落!”医生惊讶地问,“什么在落?”“我的脉搏呀!我的脉搏!”病人回答。希拉克医生这才恍然大悟:“请保持安静,亲爱的夫人,我说的是股票跌了,而不是您的脉搏。事情是这样的:我买的股票一直在跌,跌得我失去了方寸,以至于自己说了些什么也不清楚了。”

    股票的价格起落无常,有时甚至在几小时内就可以上涨10%到20%。许多出身社会底层的小人物早上起床时还是一贫如洗,晚上回家时已然成了百万富翁了。一位大户有一次生病了,便让自己的仆人到索桑松官邸花园卖掉250股,每股价格8000里弗。仆人到了那儿后发现:股票价格已涨到l万里弗赫一股!这个天赐良机不用白不用,

    仆人当机立断以每股一万的价格把那250股抛了出去。每股净赚2000里弗,共50万里弗,按当时的汇率合计2万英镑。这个胆大包天的家伙冷静地将这笔横财藏进了自己的钱袋,然后把余下的钱交给主人,当天晚上就逃出法国远走高飞了。

    约翰·劳手下的车夫也同样地好运,短短时间里就成了暴发户。在用自己的钱给自己买了辆马车后,他向东家约翰·劳请辞。约翰·劳对此人很倚重,就请他帮忙在离职前再找一个同样精干的代替者,车夫很爽快地答应了。当晚就带来两位以前的同行,请东家任选一个,而剩下的那个则留做他自己的车夫。

    更叫人印象深刻的,其实当属那些一夜暴富的上流社会的人士,这些人的言行往往更愚蠢也更无耻。只消举一个例子,就可以说明当时的社会上充斥着怎样疯狂的贪欲。据圣西蒙公爵记载,有个叫安德列的人,既不学无术又缺少教养,基本上没有一点可取之处。仅仅因对密西西比债券投机成功,就让他在极短时间内就赚得了数不清的财富。正如圣西蒙所形容的:“他为自己堆了一座金山。”

    暴富之后,此人始终对自己的低贱耿耿于怀,一门心思要攀高枝与贵族联姻。他有一个女儿,还是个3岁大的娃娃,这个小女儿现在却成了他改善血统的好帮手。他与门第高贵却已落魄潦倒的德·奥瓦斯家族做了笔交易,宣称:如果他的女儿能嫁进这个贵族家庭做媳妇

    ,那他将会不计一切代价。奥瓦斯候爵这时也不再顾不上什么面子问题了,这一提议被他一口应承下来。他答应说,等这个小女孩长到12岁,他就亲自把她娶过门,但前提是泰山老丈人必须奉上10万克朗的定金,并且每年给付2万里弗,直到小妻子过门为止。当时侯爵已有33岁。双方为达成这个丑恶的协议还一本正经地签了字,画了押。股票投机商在欣喜之余还同意在女儿结婚时另外再陪上几百万里弗以充嫁资。

    这个贵族之家的老族长勃朗卡斯公爵作为见证人,参与了整个谈判过程,当然也分享了所有可能的利益。这件不光彩的事在圣西蒙公爵看来可谓是绝好的笑料。他进而补充说:“这桩不体面的交易起初并没有遭到人们的谴责。直到约翰·劳倒台之后,野心勃勃的安德

    列先生也随之破产,这个计划几个月后也就自动中止了。”但令人不可思议的是,那个“诚实的”贵族家庭却一直没有归还那10万克朗定钱,其虚伪可见一斑。

    像这样的事情尽管让人感到可耻,至多不过是荒唐可笑而已,但另外一些事情造成的结果却是十分可怕的。为随时买卖股票债券,人们不得不随身携带大量钱款上街,于是,大街小巷里到处有抢劫案、凶杀案发生。其中有些案子不但手段残忍令人发指,罪犯还往往具有很高的社会地位。其中的一件就曾令整个法国为之震惊。

    第五节  一桩血腥的凶杀案

    德·赫恩伯爵——德·赫恩亲王的弟弟,与高贵的德·阿莱姆伯格家族、德·里昂家族、德·蒙特莫罗西家族都沾亲带故。伯爵年轻气盛、桀骜不驯,花起钱来大手大脚一点不知道节俭为何物,是个有名的浪荡公子。他有两个朋友.跟他是一丘之貉。一个叫米勒,是皮埃蒙特的一个上尉,另一个是佛莱芒人,叫做勒斯当。三个人在一起制定了一个大胆的计划:抢劫一位非常富有的经纪人,这个人据说经常随身携带大量的金钱和股票。

    三人商议过后决定,先由伯爵假装购买印度群岛公司股票,约那个可怜的经纪人在旺多姆广场附近的一个酒馆里见面。那位从头至尾不曾有过丝毫怀疑的经纪人如时赶到,德·赫恩伯爵也和两个同伙到了那里,并向经纪人介绍说俩人是他的好友。客套了几句之后,德·赫恩伯爵突然跳起来扑向受害者,用短剑在对方的胸口上猛刺了三剑。那人马上倒在了血泊里。

    伯爵立即把公文包里价值10万克朗的密西西比和印度公司债掏了出来。这时,米勒为确保万无一失又拾起短剑连捅了不幸的经纪人几下,直到确信对方已经死亡。然而,他们却没注意到,经纪人在事发之前曾高声呼救,呼叫声最终引来了酒馆内其他顾客的好奇。当人们赶来的时候,在楼梯间放风的勒斯当见势不妙连忙跳窗逃走,他的两个同伴米勒和德·赫恩伯爵被当场抓住。

    光天化日之下发生在酒馆这种公共场所的这桩血案,令整个巴黎上空弥漫着一层恐怖血腥的气氛。第二天,法庭就着手审理了这起凶杀案,由于证据确凿不容置疑,两人被判故意杀人罪,并将以车裂这种酷刑处死。

    消息一传出来,德·赫恩伯爵那些位高权重的亲友们立即把摄政王的待客厅挤了个水泄不通。大家都是要为这个可怜的罪犯求情,求摄政王看在他年少无知的份上法外施恩,并说年轻人的神经不正常。

    摄政王却一直躲着不见客。他已经下定决心,要用法律手段处罚那个胆大妄为到无法无天的凶手。但是那帮求情者一再纠缠不休,怎么也不肯罢手,结果有一天终于见到了摄政王。他们恳请说不要公开处决伯爵,因为这样做无疑是为他们的整个家族蒙羞,以后也会最喜爱人前抬不起头来。

    他们进一步指出:德·赫恩亲王与显赫的奥尔良家族有着姻亲关系,如果任由德·赫恩伯爵被一个地位卑贱的刽子手处死的话,就连摄政王本人也将受到侮辱。摄政王的心意却是不可动摇,他以大作家高乃依的一句名言来做结:“罪恶已经化为耻辱.上断头台又有何用?”

    摄政王进而表示:无论惩罚罪犯时会带来多大的羞辱,他情愿与众人一起分担。见他态度始终不改,他们想到,如果能请最受摄政王尊敬的圣西蒙公爵出马,也许能够说服摄政王。

    门第至为高贵,血统至为纯粹的公爵一听说一个年轻贵族即将被处决,而其死法将与普通人一般无二时大为震惊。他立即去向摄政王陈说利害,说明得罪一个如此人多势众兼资本雄厚的家族会是多么地不智。德·阿莱姆伯格家族在德国拥有规模庞大的产业,而据当地法律,受车裂刑罚的人的亲属将不准担任任何公职,或受雇于任何政府部门,直到与这个人同辈的所有人全部死亡为止。因此,他建议将德·赫恩伯爵改判为斩首。毕竟,在当时的欧洲,人们并不认为一个被砍头的人的家属有什么可耻的。

    摄政王被这番话打动了,正当他的态度有所转变的时候,半途又杀出个程咬金。与被害人的不幸息息相关的约翰·劳的一番进言,又使摄政王更加坚定了自己以前的立场:正义必须得到伸张,杀人者必须接受法律的制裁。

    就这样,德·赫恩伯爵的亲友再也想不出高招了。德·罗贝克·蒙特莫罗西亲王见局面再无改变的可能,绝望之下决定一不做二不休,让那个混小子以死洗刷家族蒙受的羞辱。当下,他设法混进死囚牢,

    给德·赫恩伯爵一瓶毒药,求他喝下去自我了断,也好过被五马分尸在所有人面前丢脸。然而,他的好心却遭到了拒绝。任他怎么解释劝说,德·赫恩始终不肯回头面对他,也坚决不愿领受毒药。亲王拉下脸皮好说歹说、软磨硬泡,一次次地恳求他,甚至哀求他,德·赫恩却是铁了心不理不睬。最后,蒙特莫罗西亲王恼羞成怒,气得再不愿多说一句,转身摔门而去,边走边骂道:“去死吧!好吧,想怎么死就怎么死吧!你这个不识好歹的小子!只配让人吊死在绞架上!”这之后,再没人肯费心多管闲事了。

    德·赫恩伯爵自己也觉得可耻,请求摄政王改判自己斩首之刑。岂料约翰·劳对摄政王施加的影响更大,两人在这件案子上意见是出奇的一致,绝不能为私利而牺牲正义和公理。于是,在宣判两人死刑的第六天,德·赫恩和米勒在格瑞弗广场上被车裂处死。另一个同案犯勒斯当因见机得快而溜之大吉,始终没能归案。

    这一严厉而果决的判决无疑是大快人心的,巴黎人纷纷称赞摄政王贤明。但是,抢劫和杀人的事件并没有因此而停歇,反而有愈演愈烈之势。富裕的经纪人和投机者遭抢后基本上得不到大众的同情。在往常,公共道德的败坏虽然也很显著,但还能没有覆盖整个社会。现在,处于公开为恶的上流社会与为犯罪提供庇护的下层社会之间,相对算比较纯洁的中产阶级,也成了各种“恶”的温床。赌博的恶习像瘟疫一样流播到社会的各个层面,为了金钱,几乎人人都成了职业赌徒。什么公德心,什么真善美,一切都得为赌博让路。

    第六节  全民性癫狂的回光返照

    那段时期,法国人的自信心无比高涨,投机和炒股一度也推动了商业贸易的繁荣,做什么生意都能赚大钱,或者说基本上没有赔钱的买卖。尤其是在巴黎,赚钱的机会遍地都是。来“淘金”的外地人从四面八方涌入巴黎,他们不仅来挣钱的,也是来此地消费的。

    摄政王之母,也就是奥尔良公爵夫人,曾大略地统计过这一时期巴黎的人口数,随着来自各地的人不断增加,这一时期巴黎的总人口竟达到了305万。

    为此,家庭主妇人们不得不利用阁楼、厨房甚至是马厩.在其中尽可能多地安插铺位,以满足源源不断到来的投宿者的需要。各式各样的马车和其他交通工具塞满了大家小巷,连在主要干道上,车辆也必须缓行慢驶以避免发生交通事故。全国的织布机都在昼夜运转,好应付数不清订单。尽管在加班加点的生产,奢华的蕾丝花边、丝绸、宽幅细布以及天鹅绒等纺织品的需求量仍是得不到满足。由于纸币发行量太大,这些物品的价格比平时翻了四番。连带着食品价格也一路高涨,面包、鲜肉和蔬菜的价格高得令人难以想象。劳动者的工资报酬也同样水涨船高。以前每天赚15苏的工匠现在可以赚到60苏。到处都在大兴土木,城镇以前所未有的速度向四周扩张。虚幻的繁华景象充斥这整个国家,看得法国人目眩神迷。此时此刻,再没有人能清醒地意识到,远处地平线上那预示着大风暴即将到来的黑云已当头压下。

    约翰·劳用充满魔法的魔棒制造出如此令人惊叹的奇观,作为他本人来说,自然是获益良多。法国最尊贵的贵族争着与他的妻子和女儿结交,并以此为荣。伯爵和亲王的继承人们也纷至沓来,纷纷表示愿与他结为姻亲。在外省,约翰·劳添置了两处豪华的房产,又与德·苏利公爵家族商谈,想购买罗西尼侯爵的领地。

    可是,约翰·劳的宗教信仰问题成了阻碍他进一步高升的一大障碍。摄政王许诺,如果约翰公开宣布皈依天主教,他将委任其为主管法国财政的审计官。其实,越约翰·劳本身就是个职业赌徒,哪有什么真正的宗教信仰?他毫不迟疑地接受了这个条件。随后,在在默伦教堂里,汤辛神父在一大群教徒面前为他施了坚信礼。成为天主教徒的第二天,约翰·劳就当选了圣罗奇教区的名誉执事。为了表示虔诚,他向教会捐赠了50万里弗。其实,约翰本人对于慈善活动深为热衷,捐钱时的慷慨劲儿无人能及。同样,只要是有人因为日子困苦手头拮据而向他求助,他也总会及时伸出援手。

    这时的约翰·劳成了全法国首屈一指的重要人物。奥尔良公爵对他精明的才干极为倚重,对他提出的各种计划也从不怀疑,凡是大事小情总会第一个要征求他的意见。不过,虽然在法国如此被看重,约翰并没有因此失去冷静的头脑,还保持着以前在生活困窘时的作风。

    他的表现,是那么地朴素、和蔼可亲,令人赞赏。在女士面前,他的骑士风度更是博得了一致的赞誉。那种优雅的做派,和善的天性,令所有人如沐春风,无论何时也不会受人指摘。

    如果说他在某些场合会表现出一丝傲慢的话.那也是针对那些满嘴甜言蜜语、争先恐后向他逢迎献媚的贵族的。一旦那些跳梁小丑们的行径太过露骨的时候,他常会以一种调侃的态度,不着痕迹地贬损他们一下。相反,对于那些偶然来巴黎拜访他的老乡,约翰·劳则是礼数周全,殷勤而又热诚。

    有一次,英国的伊斯莱伯爵阿什博德·坎贝尔,即后来的阿格勒公爵,去旺多姆广场看望他。当时,伯爵不得不穿过那个被法国最杰出人士挤得满满当当的会客厅,才能见到主人的面。这些绅士显贵们正等着与那位伟大的金融家会面,只为了能把自己高贵的名姓留在新股申购名单的最前列。当伯爵挤出重围来到书房时,发现约翰·劳正安静地坐在书桌前,正给父亲留给他的劳里斯顿庄园的园丁写信,内容只不过是安排他种点卷心菜!伯爵跟他的老乡一块儿玩起了皮克牌,在那儿待了很长时间才告辞。事后,伯爵不禁为约翰那洞若观火的理解力和彬彬有礼的风度教养所折服。

    在那段时期,许多贵族利用投机手段赚得盆满钵满,不但改善了之前负债累累的财务状况,也有了足够的钱财重新过上了体面高尚的生活。这个名单可以列一大长串。

    其中有波旁公爵、古尚公爵、福斯公爵、绍纳公爵和安汀公爵、埃斯特雷斯元帅、洛罕亲王、普瓦亲王和莱昂亲王。波旁公爵是路易十四和情妇德·蒙特斯潘夫人生的私生子。他在密西西比股票的投机中一路福星高照。他先以大手笔在尚提利兴建起富丽堂皇的行官。他还是个狂热的赛马迷,为了满足自己的这一爱好,波旁公爵不惜砸下重金建起了许多名闻全欧洲的马厩,又引进了150匹英国顶尖的赛马来改良本地赛马的血统。在皮卡第,他购买了大片的土地,成了奥兹和索姆两地间几乎全部良田的主人。

    能赚到如此巨额的财产几乎全拜股票投机所赐,这也难怪约翰·劳一度成许多人顶礼膜拜的对象。就连法兰西皇帝也没有谁曾领受过如此多的褒举。当时所有的小文人们都在绞尽脑汁地为他唱赞歌,铺天盖地的赞誉汹涌而来。在他们的描述中,约翰·劳就是整个法兰西的救世主、财神爷。他曾说过的每一句话都成了至理名言;他的脸上闪耀着尊贵与无私的光芒;他的每个动作都充溢着智慧与理性。当他出门的时候,无论何时何地,总有一大群人随在后面。为此,摄政王不得不专门拨出派一队骑兵充作他永久的护卫队,在他的马车前鸣锣开道。

    另据记载,这一时期的巴黎,简直成了奢侈品扎堆的大本营。城市的角角落落充斥着高雅华贵、制作精良的工艺品。雕塑、油画、挂毯从外国大量进口,在法国畅销无阻。此外,那些法国最负盛名的家具、装饰品之类的高档玩艺儿,也已不再是王公贵族专用的了。在寻常的商人和中产阶级家庭里,你也随处发现它们的身影。璀璨生辉的顶级珠宝和最受女士们欢迎的貂皮大衣,大量出口巴黎。连世界上最著名的那颗大钻石也被摄政王买下来,以他的名字命名,并成了装饰法皇皇冠的最耀眼的装饰。

    购买这颗巨钻所花的代价竟然高达3200万里弗!说实话,摄政王在这场空前的股票大投机中,并不象一般人想的那样近水楼台先得月。说实话,相较波旁公爵之流,摄政王的致富手段几乎是乏善可陈。所以,第一次见到那颗钻石时,他也十分动心,但理智一再告诫他:放弃这个念头,太贵了,别忘了自己对整个国家负有不容推却的责任。因此他宣布,这区区一块儿石头根本不值得为它花费那么大一笔财政收入。这个振振有词的说法简直叫宫里的仕女们惊讶极了。人们纷纷大呼可惜。连着几天,抱怨声、惊叹声不绝于耳。这颗珍稀异常的宝石即将被带出法国.却没有一个人有能力出高价留下它,哎,这可真叫大家遗憾。

    其实,摄政王私下里也对这块“石头”心动不已,可费尽心思也没想出个解决之道。最后,人们开始游说有着高妙口才的圣西蒙公爵。公爵挺身而出接下了这个义不容辞的任务。他先说服了约翰·劳,约翰·劳随即也加入到说服摄政王的行列中去。摄政王与他一拍即合,立即转变了态度。眼下,怎么杀价怎么说服卖主,就成了精明的约翰先生的分内事了。

    经过一番讨价还价,宝石终于被留在了法国。同时约翰向卖主拍胸脯保证:他将在一定的年限内获得200万里弗的股票.这笔巨款每年5%的利息也包含在内。另外,他还能得到钻石切割时余下的价值客观的碎钻。

    事后,圣西蒙公爵在回忆录中洋洋洒洒地将这件事的前因后果大肆渲染了一番,颇为他在这件事中起到关键作用而自豪。据他说,这颗钻石有一颗青梅那么大,通体纯白,毫无瑕疵,大约重500多格令。最后,他总结到,最终帮摄政王做成这么大一桩买卖,自己感到无上的光荣。换句话说,他很骄傲自己能劝服摄政王无视国家利益,用公众的钱以近乎天价买下这么个华而不实的小玩意儿。

    直到1720年,这样一个危险的金融体系仍在继续保持不断增长的势头。议会一再警告:纸币发行量过大,迟早会导致整个国家的经济系统崩溃。但这些警告对做着发财梦的人们来说,就像是马耳东风。对财政与金融一窍不通的摄政王认为,既然发行纸币获利那么巨大,就值得大力鼓励,也不对这一政策做任何限制。既然发行5亿里弗纸币有那么大的好处,再发行个5亿相比好处更多。

    对摄政王的这种严重错误的概念偏差,约翰·劳并没有加以纠正。就这样,大众极度的贪欲使投机的泡沫越吹越大,幻觉的海市蜃楼令人们失去了理智。印度群岛股票和密西西比股票的价格越涨越高,银行不得不发行越来越多的银行券,去迎合公众交易的需要。

    这就像俄国元帅波将金所作的,为了讨情人叶卡捷琳娜女皇的欢心,他派人用冰块建造了一座富丽堂皇的宫殿。巨大的冰块层层叠叠,巍峨壮观。在冰宫的顶部装饰着精美的涡卷形雕刻。爱奥尼亚式的冰柱围成一道美丽的长廊,高贵典雅,非同凡响。更让人神驰目眩的是最上面那华丽的圆顶,晶莹剔透的冰面在阳光的照射下下熠熠闪光。阳光给它镀了一层金色,却不能把它融化。这座金光闪烁的冰宫矗立在天地之间,就像是用水晶和钻右雕刻成的一般。可是,天气忽然转变,由南方吹来了温暖的和风,这座雄伟壮丽的建筑物开始慢慢地融化了。渐渐地,冰宫越变越小,以至于化为一滩春水。最后,从大地上彻底消失,连一点痕迹也寻不着了。

    约翰·劳苦心经营的货币体系也是如此。只要大众中间蔓延起怀疑的风潮,它就会变慢慢地冰消瓦解,终至于无,就算有人倾尽全力想挽回,也是回天乏术。

    第七节  怀疑风潮愈演愈烈

    第一次小小的警兆发生在1720年。有一次,约翰·劳拒绝按照孔蒂亲王给定的价格卖出印度公司新上市的股票,这可大大驳了亲王的面子。为了报复,孔蒂亲王派人到劳氏银行,要求将一笔巨款折现成硬币。最后,成堆的硬币竟然用了三辆马车才搬走。于是,约翰·劳向摄政王抱怨说,仅仅这一次倒也罢了,要是市民们都有样学样效仿孔蒂亲王的话,那给国家造成的危害就是无法想象的了。摄政王对这般贵族的把戏心知肚明,就派人把孔蒂亲王叫来,疾言厉色地训斥了一顿。同时命令他把兑换来的硬币中的三分之二重新存回银行。亲王被迫遵从这个独断的命令。

    所幸,孔蒂亲王的此番举动并不得人心.也许这与他不招人喜欢有关,人们纷纷遣责他小气又贪婪,一致为约翰受到的不公正对待叫屈。但奇怪的是,这一事件并没有使约翰与摄政王提高警惕。对于潜藏的危险,他们毫不在意,也从没想过要控制纸币的发行量。

    尽管孔蒂亲王的行为是出于报复,但却为一些有心人提供了可资借鉴的标本。只要是脑筋够活络的股票投机者,谁都能正确地预见到:世上没有只涨不降的股价。私下里,早有人行动起来。大券商布登和拉·理查蒂热一小部分一小部分地把他们的纸币兑换成铸币,在神不知鬼不觉地将铸币运送到国外。不止如此,他们还大量购入方便携带的金银和贵重首饰,悄悄地运往英格兰或荷兰。

    一个名叫韦马莱特的投机商,也嗅到了即将到来的大风暴的气息,私底下购买了总价超过100万里弗的金币和银币,把它们装到一辆农用马车上,在上面盖上厚厚一层干草和牛粪。然后,他穿上脏脏破旧的衣衫,把自己打扮成一名普普通通的农夫,把这一车宝贝安全地带到了比利时。没多久,又从那里去了阿姆斯特丹。

    直到那时,任何人都可以随意兑换硬币,这一点没什么阻碍。可是,时间一长问题就严重起来了:用于流通的铸币出现严重的匮乏,全国各地怨声四起。经过一番详细调查,很快找到了原因所在。议会开始就如何进行补救进行了长时间的辩论,约翰·劳也被召来发表意见。他认为,应当立即发布命令,宣布铸币贬值5%。命令很快发布了,却没有收到预期的效果。紧接着,另一项法令又发布了。这一次,铸币贬值的幅度从5%提高到10%。同时,银行业务也受到规范,人们每次最多只能兑取100里弗的金币和10里弗的银币。

    然而,这一切看来都是徒劳的。人们对纸币的信任已经一落千丈,这些新措施死亡施行并没有收到立竿见影的效果。尽管限量兑付现金勉勉强强维护了一些银行信用。

    尽管政府采取了许多措施严格控制贵金属货币的外流,但却抵挡不住大的货币走势,法国国内的金银货币源源不断地流向英格兰和荷兰。而留在国内的那些少量铸币也被小心翼翼地保存或隐藏起来。到了最后,法国境内的铸币甚至到了极度匮乏的程度,连正常的商业贸易也维持不下去了。在这种紧急情况下,约翰·劳开始了一个大胆的尝试:彻底禁止铸币流通。

    1720年2月,政府颁布了一个法令,然而,法令试图想在国人心目中重建纸币的信誉,却是搬起石头砸自己的脚——纸币的信用度一路狂跌至谷底,整个国家因此被逼到了暴力革命的边缘。这项著名的法令禁止任何人拥有超过500里弗的铸币,违者除没收所有铸币资产外,还将被处以高额罚款。此外,法令更严禁任何人购买金银首饰、贵重器皿以及钻石珠宝,甚至鼓励人们踊跃告密,并承诺告密者可以得到被告发者违法金额的一半作为报酬。

    在这种空前罕见的暴政下,法兰西大地上哀鸿遍野。令善良的人们痛心疾首的迫害案件天天都在发生。几乎所有家庭的隐私权都遭到告密者的恶意侵犯。最正直,最老实的人也可能因为拥有一个金路易被宣布有罪。仆役们纷纷倒戈相向,争相出卖自己的主人。有一个市民竟变成了以告密为业的“奸细”,天天打探自己邻居的情况。

    因此而被逮捕坐牢的人数与日俱增,遭充公的产业也是成倍增长,以至于法庭根本腾不出功夫来及时处理这些堆成山的案子——告密者只需说一句:他怀疑某某家藏有铸币,法庭的搜查令马上就能签发。英国大使斯泰尔爵士为此感叹说:“现在的情形下,人们再也不用怀疑约翰·劳皈依天主教是否出自真心诚意了。能够把大量金银变成纸,表示他完全领悟了天主教的精髓,已经懂得如何建造一个新的“宗教裁判所”去迫害平民百姓了。

    人们痛恨的心情有增无减,那些刻毒的咒骂像暴雨一样倾泻到摄政王和不幸的约翰头上,各种讽刺挖苦的绰号纷纷出笼。如今,凡铸币金额超过500里弗的就成了非法货币,而不到最后一步谁也不愿接受纸币。谁也不知道今天的钞票到了第二天所值几何。

    杜克洛斯在《摄政王秘史》一书中这样写道:“世界上从没有哪个政府如此地反复无常——也从没有哪个政府会以如此暴虐的手段施行如此惨无人道的暴政。对那些亲眼目睹当时那种恐怖气氛的

    人来说,对那些重温那段如噩梦一般历史的人来说,在那种情况下居然没有发生暴乱,简直是让人无法想像。同样令人不可思议的的是,那两个罪魁祸首约翰·劳和摄政王,竟然好端端地保全了性命。他俩都在忧心有一天人民会起来造反,而人们的表现却只是停留在抱怨阶段。一种怯懦的绝望,一种愚蠢的恐慌紧紧攫住了所有人的心。人们的精神是如此地卑弱,以致没有勇气去违抗法律。”

    有一段时间.人们好像正在准备发起一场运动。巴黎的大街小巷贴满了煽动性的文章,连最有权势恶毒大人物也收到了印着同样内容的传单。《摄政时期间回忆录》中记录了一份传单的大致内容:“先

    生们女士们——此信的目的是要引起你们的注意,如果情况没有改变的话,“圣巴托罗缪节”的惨剧将会在星期六和星期日重演。你们以及你们的仆人最好不要上街。上帝保佑你们!把信转交给你们的邻居。1720年5月25日,星期六。”

    城市的角角落落布满了秘探,人们之间再没有了信任。存心想制造点事端的小集团在傍晚举行的活动很快就被驱散了。巴黎的和平与安宁很快就恢复了。

    密西西比公司的股票快速下跌,实际上,已经没有人会相信在路易斯安那藏蕴着无尽财富的神话了。为了使公众重新对密西西比计划产生信心,政府府宣布了一个计划,巴黎街头所有的流浪汉、无业游民和无赖地痞统统都被强制服役,像战时征兵一样,人数大约有6000多名之多。政府专门为他们提供了衣服和工具,准备从水路被送往新奥尔良。据说,那里的金矿上急需大量劳动力。

    接着,这些肩上扛着镐和锹的“流浪者大军”排着整齐的队伍,日复一日地从巴黎街头经过,然后被分成一个个小队来到各个港口,等待被装船送往美洲。他们之中有三分之二的人没有上船,而是中途开溜进而分散到法国各地。他们卖掉工具以换取衣食,然后继续过着游荡的生活。不出半个月,这批流浪汉中的一半人又出没在巴黎的大街小巷之中。

    一场闹剧就这样落幕了。不过,虽然如此,这个办法还是使得了密西西此公司的股票稍微有了些起色。许多存侥幸心理的人开始相信,公司又正在大规模开采金矿,金锭、银锭很快就会像以前一样涌入法国了。

    第八节  法兰西的怒火

    在君主立宪制度下,也许会有更多切合实际的方法来重建公众的信心。比如在英国,在接下来的某一时期,由于同样的欺诈和投机给英国人带来了相似的不幸。但这两国政府之间为弥补过错所采取的措施却是多么地迥然相异啊!

    尤为不幸的是,在法国,救苦救难的菩萨却正是肇祸的魔王。摄政王一心想把法国从灾难中解救出来,可他独断专行的手段却使法兰西陷入更深的泥淖中,而且是越陷越深,终至于灭顶。

    政府再次颁布法令:纸币成为一切交易唯一的支付手段。从2月1日到5月底,尽3个月时间内,纸币发行总额就高达15亿里弗,大约合6000万英镑。不过,这回政府的计划又落空了。前车之鉴尚在眼前,人们对于这种无法兑换成铸币的钞票已经不再抱有一点信任了。

    巴黎议会议长拉玛贝特当着摄政王的面说,他宁愿要10万里弗的金银币,也不愿要500万银行发行的纸票子。由于当时人们对纸币已是深恶痛绝,超大规模发行纸币只能使流通中的铸币总额与纸币总额量相差更大,使经济形势越变越糟糕。相反,摄政王一门心思总想让它贬值的铸币,却随着他一次次发布的相关法令而身价百倍。

    2月份,公众普遍认为应该把皇家银行和印度群岛公司合并为一家。议会于是发布了这样一条法令。国家依然是银行发行的纸币的唯一担保者,但是,不经议会批准,银行不能擅自增加纸币发行量。就这样,劳氏银行摆脱了约翰·劳的控制,成为国家专属的机构,摄政王甚至还把银行全部的利润也转给了印度群岛公司。受了这一变动的刺激,在很短一段时间内,密西两比公司和印度群岛公司的股票价格有所上涨.但说到底,公众对国家信用仍然无法产生足够的信心。

    5月初,约翰·劳、德·让松以及所有大臣们一道出席了一次国务会议。会议上,人们估算出流通中的纸币总额约为26亿里弗.而全国的铸币总值加起来也还不到这个数字的一半。对于大多数与会者

    而言,事情明摆着:必须采取某种措施来保证两种通货平衡。有些人提议将纸币的数量减少到与铸币的价值相当,另一些人则建议使铸币升值从而与纸币价值相等。

    据说,约翰·劳对两种方法都不赞同,但他本人也想不出更好的办法。最后,会议通过决议:纸币贬值50%。5月21日,政府发布了一项新法令,印度群岛公司的股票及其银行发行的纸币将逐渐贬值,到年底为止,它们的实际价值将降至面值的一半。然而,议会却坚决反对——这一措施无疑会激起民众最大限度的不满,整个国家将会为此付出代价!摄政王委员会议在7天后被迫宣布此项法令作废,同时又颁布了另一项法令,恢复了纸币原先的价值。

    同一天,也即是5月27口,银行停止兑付铸币的业务。约翰·劳和德·让松被踢出内阁。懦弱无能而又优柔寡断的摄政王将以往所有的过失和罪责全部嫁祸到约翰·劳的头上。可怜的约翰成为了过街老鼠,当他来到皇宫要求晋见时竞被拒之门外。可是,当夜幕降临后,摄政王却又派人召见约翰,让他从一个秘密入口进入皇宫。摄政王低声下气地安慰他,并竭力向他解释自己之所以会如此严厉地对待朋友全都是情势所迫。摄政王的表现是如此地变化无常,乃至于几天后,他又偕同约翰·劳去观看歌剧。两人不但公然坐在一个包厢里,摄政王还当着众人的面对劳优待有加。

    但是.群众对约翰·劳已是恨入骨髓,这样的一番“作秀”只能将约翰推入另一种危险的甚至是致命的境地。当他回家正准备进门时,他的马车被一群暴徒团团包围,石块呼啸着向他袭去。要不是车夫机警地驾车猛冲进院门,家中的仆人及时锁上大门的话,他很可能会被暴徒们拽出去撕成碎片泄愤了。

    虽然这次侥幸逃过一劫,事态却逐渐恶化起来。第二天,他的妻子和女儿看完赛马坐车回家时,也受到一大群歹徒的围攻。摄政王闻讯后派遣了一队彪悍的瑞士骑兵日夜在他家附近巡守。后来,公众的愤怒与日俱增,约翰·劳发现,自己身处的环境是如此的危机四伏,就算有再多骑兵保护也难保万一。为此,他不得不躲到皇宫避难,摄政王成了他最可靠的庇护者。

    1718年曾因反约翰·劳的计划而离职的大臣德·阿格索又被召回帮助政府重建信誉。这时,连摄政王也不得不承认,由于自己不近人情和有失公正,几乎错失了一位最能干的大臣,而在当时腐败的社会中和纷乱的宫廷中,此公大概是唯一的一位出淤泥而不染的清廉之士了。

    自从被罢免后,德·阿格索一直隐居弗兰尼斯的乡间别墅里,整日里埋首研究哲学。纵然日子过得清苦,身心却常是愉快的。慢慢地,他也就淡忘了朝庭里那些尔虞我诈的勾心斗角。约翰·劳和摄政王的一名家臣德·康弗朗斯骑士奉命乘邮车赶赴弗兰尼斯,恭请这位前财政大臣回巴黎。德·阿格索的朋友们竭力他再度出山,尤其是在约翰·劳手下任职。但他却气度宽宏,同意为国家的稳定助一臂之力。

    德·阿格索甫一到巴黎,五名议员就同财政事务委员一起商讨起如何恢复公众信心的事来。6月1日,又一项命令被发布,废除此前那个任何人拥有的硬币数额超过500里弗,就以犯罪论处的旧法令。新法同时规定:公民有权拥有任意数额的铸币。为了回收以前发行的旧钞票,政府以巴黎市一年的税赋作为担保发行了25万份新票据,票据每张价值10里弗,年收益率为2.5%。这次被回收的旧币在市政府门前被公开烧毁。

    6月10口,银行重新开张,这次它已拥有足够的银币来兑换纸钞了。这些措施带来的好处相当大。几乎所有的巴黎人都急火火地赶到银行,把他们手里的小面额钞票兑换成银币。随着银币越来越少,银行只得改用铜币支付。很少听人抱怨说铜币太重,时常能看到一些可怜的人们背着沉甸甸的、装满了铜币的包裹,汗流浃背地穿行在大街小巷,而包裹里装着的不过是兑换来的50里弗铜币。

    银行的周围每天都是人山人海,儿乎每天都有人因挤踏伤亡。7月9日这天,人群异常地密集而喧哗,为防止意外,驻扎在马萨林花园门前的警卫关上了大门,不允许一个人进去。气氛立刻变得紧张起来,愤怒的人们开始隔着栅栏朝卫兵扔石头。士兵们被激怒了,声称如果再不停止攻击,将向人群开火。恰在这时,一名卫兵被石块击中了,他举枪就向人群射击。一个人当场身亡,旁边一个人身负重伤。一场骚乱眼看就要演变为流血冲突,气氛紧张到一触即发。人群随时都向银行发起攻击。

    这时.马萨林花园的大门再次打开了,一队全副武装的士兵冲了出来,枪尖上的刺刀闪耀着冷森森的寒光,虎视眈眈地逼视着人们。原本群情激奋的民众们顿时不敢再轻举妄动,只能以呻吟和唏嘘来发泄自己的愤怒和不满。

    八天后,人潮更是汹涌,银行门前被挤得水泄不通,当天竟有15个人活活被挤死!公众的愤怒之火熊熊地燃烧起来,他们抬着三具尸体,一路浩浩荡荡地向皇宫花园前进,后边跟着的人越来越多,最后竟形成了一支七八千人的游行队伍。他们想以此向摄政王显示:他和约翰·劳的行为给整个法兰西带来了多大的不幸。

    约翰·劳的车夫当时正好驾车停在皇宫的院子里。此人对主人忠心耿耿但性子却有些鲁莽。人群咒骂他的主人令他感到异常恼火,于是就高声回敬道:“你们这帮人都是无赖恶棍,活该被绞死!”这无疑是火上浇油,暴怒的人们立即朝他扑去,他们还以为约翰·劳也在马车上,就把马车砸得粉碎。这位糊涂莽撞的马车夫拼命挣脱重围,勉勉强强保住了一条小命。正当千钧一发之际,一大队卫兵赶到了,带头的军官向大家宣布:摄政王已经做出决定,保证用自己的钱厚葬这些无辜的死者,并要求人群立刻散去。游行队伍就这样静悄悄地解散了。

    与此同时,议会正在举行会议。当听到外面沸沸扬扬的吵闹声后,议长走出去想看看发了什么事。一回来他就告诉大家,约翰·劳的马车被人群砸成了一堆碎片。所有的议员同时站起来,异口同声地大声欢呼。有一个议员对约翰·劳可说是憎恨到了极点.他大声喊道,“那么劳呢?他也被撕成碎片了吗?”

    第九节  法国人的觉醒与约翰·劳的凄惨下场

    在全世界所有的国家民族中,法国人最擅长通过歌唱发泄心中的怨愤和不满,这一点可谓声明素著。为此,有人甚至说,你可以从歌谣里追溯这个国家的全部历史。

    当约翰·劳精心设计、周密筹划的计划彻底失败时,他立即成了法国人心目中的头号恶人,臭名远播四面八方,也自然成了人们讽刺挖苦的绝佳对象。所有的商店里都出现了关于他的漫画,讥讽嘲笑他和摄政王的歌谣在大街小巷回响起。这种歌谣中的大多数一点儿也不含蓄文雅。其中的一首还奉劝人们把他发行的钞票当成最贱的纸用——上厕所用的卫生纸。

    下面这首由奥尔良公爵夫人记录在信笺里的歌谣,是当时最又名也最流行的,广受各界欢迎,据说在巴黎的街头流传了很长一段时间。应该说,这首歌谣的旋律还是很活泼的:
    拉斯(法国人给约翰·劳起的诨名)一来到我们美丽的城市
    摄政王就宣布拉斯很有用
    能帮他重建法兰西。
    啦啦啦!咚咚锵!
    他让我们都成了暴发户,
    哔哔喱!
    伙计们,以野蛮的方式
    这个新教徒,想吸干所有人的钱。
    他首先骗取了我们的信任。
    为此,他放弃了自己的信仰
    啦啦啦!咚咚锵!
    伙计们,拉斯,是撒旦的子孙
    我们落得个沿街乞讨
    他榨干我们钱财
    一个子儿也不留下。
    仁爱的摄政王啊,
    还给我们被抢走的财产,
    哔哔喱!

    下面这一首出自同一时期:
    星期一,我去买股票。
    星期二,我赚了几百万,
    星期三.我买田置地。
    星期四,我买华服美酒,
    星期五,我开了一场跳舞会,
    星期六,我变成了叫花子。

    从当时大量散布的漫画上,可以看出法国人对曾经的那种全民性痴狂已有所悔悟。其中的一幅被保留在《摄政时期回忆录》中。

    作者在漫画里这样描述道:“‘股票女神’端坐在她的华辇上,驭手则是疯狂之神。在前边拉车的是密西西比公司——由长着木腿的动物所代表,还有南海公司、英格兰银行、西塞内加尔公司以及其他各种各样的金融机构。

    为了让车子跑得更快,这些公司的代理人们——此处则为长着长长的狐狸尾巴和狡诈面孔的各种动物,在一旁拉着边套。轮子的辐轴上写着几种股票的名称和价值,随着车轮的滚动,股票不断地上升和下降。

    地上堆着的是被这辆疯狂的马车碾成碎片的各种商品、流水账和分类账。一大群人,不分男女老少、贵贱贫富,统统尾随其后。股票女神挥洒着一张张股票,股票像雪片一样朝人群落下。人们嘴里叫嚷着,互相推挤着,为争抢股票满乱成一团到。在云端还坐着一个恶魔,狞笑着的恶魔向人群吹起了肥皂泡。这些肥皂泡顿时也成了贪婪的人群渴求的目标。他们争先恐后爬到别人的背上,妄想在气泡破裂之前抓到它们。

    前方一座巨大的建筑物挡住了马车的去路,这座建筑物有三个大门,马车要是想继续前进的话,必须得通过其中一个。第一个门上写着‘医院’的字样,第二个门上方写着“精神病院”,第三个门上写着‘乞丐收容所’。”

    另外还有一幅著名的漫画:约翰·劳坐在一口大锅里,锅的旁边,公众疯狂的情绪形成了熊熊燃烧的火焰,锅里的水在火焰的烧灼下沸腾着。狂热的人们把自己所有的金银竞相扔进大锅,兴奋不已地数着兑换来的钞票,约翰·劳则向他们大把大把地分配着这些纸钞。

    同样,激愤之火在法国持续燃烧着着。约翰·劳变得格外地小心谨慎,尽量避免在没有护卫的情况下在公众面前露面。他隐藏在摄政王的王宫里,以免被卷入任何危险中。而当他不得不要冒险出门时,他必定会乔装改扮一番,或者乘皇家马车出行,自然,全副武装的护卫也是少不了的。

    以巴黎市的税赋作为担保发行的那2500万里弗新票据,由于收益率只有2.5%,在持有密西西比股票的大股东眼里并不具诱惑力。因此,票据兑换进行的十分艰难。许多人宁愿保留劳氏公司的股票,理由是尽管现在一路下跌,但总有有一天它的价值会反弹。为了加快兑换的速度,政府于8月15日专门发布命令,凡面值在1000到10000里弗的纸币,除了购买年金和支付银行账单,以及为购买劳氏公司股票而进行的分期付款外,统统不得在市面上流通。

    10月,又一项法令颁布了,宣布11月以后,不论面值为多少,所有的纸币统统不具任何价值,市场上禁止流通。印度群岛公司,也可以说是密西西比公司被剥夺了造币权、代收赋税权以及其他所有的优势和特权,一下子沦为一家单纯的私人公司。

    这一措施的实行无疑是对整个纸币体系的致命打击。约翰·劳已完全失去了在法国金融委员会中的影响力,公司也被逼入死角从此回天乏术。这时,趁着公众为幻觉所诱骗大肆时牟取非法利益的人统统被抓了起来,被予以重金处罚。另一条法令同时被发布,规定原始股东的名单也必须单列出来。如果有人还保留有密西西比公司的股票,就必须把它们存入公司以作保证金。那些已申购股票的人应该如期履约,并以每股l.35万里弗的价格向公司回购。而实际上,每股股票的市价现在仅值500里弗。

    这种赔钱买卖自然没人愿意做,大股东们纷纷打点细软,准备躲到国外去避风头。岂止螳螂捕蝉黄雀在后,政府当即下令:所有港口和边镜管理机构有权逮捕所有权逮捕那些出境者,把他们拘禁起来,直到查明他们是否携有金银珠宝,或是否参与过股票投机活动为止。这一招可谓釜底抽薪,有几个试图逃跑的投机者被判处死刑。而那些留在法国的人,则受到法庭最严苛的审讯。

    在一连串的打击之下,约翰·劳陷入了极端的绝望中。为此,他决定离开这个处处隐藏这危机的国家。刚开始,他只请求离开巴黎回到乡间别墅中隐居——摄政王痛快地答应了。

    这段时期,摄政王正为了财政状况的反反复复忧心忡忡。但他仍对约翰·劳设计的财政体系怀有坚定的信心。他开始意识到了自己的过错,在他的有生之年,他总是盼望着能有机会在一种更坚实的基础上把约翰·劳的财政体系重建起来。在两人的最后一次会面中,据说摄政王这样说道:“我承认自己犯了不少错误。会犯这些错误是因为我是一个人,而所有人都会犯错。但是,我要郑重地告诉你,在我所犯的这些错误中,没有一个是出于邪恶或伪善的动机。”

    约翰·劳离开巴黎两三天后,摄政王派人送给他一封言辞恳切的信,表示只要他愿意,随时都可以离开法国。并说自己已经为他准备好了护照。摄政王同时还说,金钱不是问题,劳需要多少只管开口。

    约翰·劳毕恭恭敬敬地拒绝了摄政王提供的盘缠,乘坐德·普芮夫人名下的一辆邮驿马车,在6个骑兵的护送下去了布鲁塞尔。之后他又去了威尼斯,在那里住了几个月。

    在威尼斯,他成了当地人议论纷纷的话题人物。人们都认为他是个富可敌国的大富翁。但是,再也没有什么这更荒谬的了。约翰·劳在一生中的大部分时间里都是在赌桌胖度过的,但他本人却在这次事件中表现得极为慷慨。他也不是那种为了发大财而不惜牺牲一个国家的利益的卑鄙小人。

    当法国人对密西西比股票的痴狂臻于极致的时候,他对最后的成功从来没有产生过一丝一毫的动摇。他坚信,自己能使法国成为欧洲最富有、最强大的国家。他把自己的财产全部用来购买法国的地产——这一举动足以证明,他对自己的计划充满了信心。在此前的全民大投机中,他没有置办过任何金银器皿或珠宝首饰,也不像那些不诚实的投机者那样把金银转往国外。除了一颗市值约五六千英镑的钻石外,他几乎把所有的钱都都投资在法国的房产上。所以,当他离开法国时,几乎成了一文不名的乞丐。仅这一事实就可以洗刷掉那些常常加诸在他头上的恶名。不过,终其一生,这种不公正的指控就如影随形的跟着他。

    约翰·劳出走国外的消息一传开,他在法国所有的地产以及珍贵的藏书就都被没收了。此外,他的妻子和女儿所应得的20万里弗(约合8000英镑)年金也被剥夺了。当年为了购买这份年金,约翰·劳付出了500万里弗的代价。尽管当年在他如日中天之际,政府曾发布过一项特别命令,宣布个人年金无论何时也不得予以没收。

    对于约翰·劳出逃一事,法国人感到十分不满。不论是民众也好,议会也罢,大家都希望把这个罪魁祸首送上绞架。甚至当那些没有卷入这场金融大风暴的人也个个额手称庆,说约翰·劳这个骗子走得好。

    但那些受到牵连的人导致财产受损的人(他们无疑占最大多数),却感到十分遗憾。他们认为,约翰·劳对这个国家的危机以及造成此种危机的根本原因具有深入的洞察力,也因此,他可能帮助法国人找到彻底根治“疾病”的良药。

    在一次金融委员会和摄政王会议联合召开的碰头会上,一份文件受到众人的重视。根据这份文件提供的资料,市场上流通的纸币数量竟达27亿里弗。摄政王被要求解释,为何会出现这种货币发行日期与货币发行的授权日期之间不相一致的现象。本来,他应该把这些责任都揽在到自己头上,毕竟,他才是真正的主谋者。但他觉得,约翰·劳也应该在此时出一份力。于是,他说是约翰·劳自作主张自张,在不同时间内发行了12亿里弗的纸币,当他自己发现时,已经太晚了。不得已之下,他就把议会授权法令的日期提前了一些。

    如果他能够把事实的真相说出米,承认约翰·劳之所以会逾越了安全投机的界限,主要是源于自己的贪得无厌和虚荣冒进的话,那么,民众反而更加信任他一些。

    到1721年1月1日为止,法国的国内外债务总额已经超过3l亿里弗,也即是l.24亿英镑,仅利息支出一项就高达319.6万英镑。政府立即组成了一个专门委员会,审查所有国债持有者的情况。这些债券持有者被分为五种:前四种包括那些用自己的真实财产购买债券的人。而第五种则指那些无法举出证据证明自己的交易行为确为真实有效的人。

    第五种人持有的债券被强制销毁,前四种人也将受到更加严格和挑剔的审查。委员会最后出具了一份报告,在报中,他们建议把这些债券的利息减到5600万里弗。因为在调查中发现了许多挪用公款和敲诈勒索的行为。根据这个建议,政府发布了一项相应的法令,并在王国议会上进行了备案和注册。

    接下来,政府成立了一个法庭,专门负责审理财政部门在后来那一段动荡时期内出现的营私舞弊行为。一个名叫法奈特的大臣,克莱门特神父,以及他们手下的两个职员,纷纷卷入侵吞公款投机诈骗的丑闻中,据调查涉嫌投机的金额达100万里弗。两个主谋被斩首示众,两名职员则被判绞刑。后来,这两人又被减轻为在巴士底监狱监禁终身。无数的欺诈案也被连根揪起,当事人视情况被处以罚款和监禁。

    前财政大臣德·让松,如同约翰·劳和摄政王一样,遭到那些深受密西西比股票疯狂所累的人们的仇视和怨恨。他被从内阁大臣的位子上撵了下来,正直的德·阿格索随后接任。但他仍保留了“掌玺大臣”的职位,还可以随时出席御前会议。

    然而,他认为自己还是远离巴黎为妙,最好是在自己的乡间领地归隐一段时间。但他委实不是那种适合退隐的人,整天愁眉不展,满肚子牢骚,性格又是喜怒无常。原本他一直患有某种疾病,这回的打击导致他病情更加恶化,不到一年就驾鹤归西了。不料巴黎人对他实在太痛恨了,就算如此也不愿放过他。当给他送葬的队伍向他的家族墓地——圣尼古拉斯教堂行进时,受到一群暴怒的民众围攻。德·让松的的两个儿子只得离开父亲的棺椁,骑着马落荒而逃,直跑到一条偏僻的小街上才算躲过一劫。

    至于约翰·劳,有时候还幻想自己有朝一日能重返法国,在一个更稳固的基础上重建法兰西财政的信用。有一天,一个噩耗传来:1723年冬天,摄政王正和自己的情妇法莱莉丝公爵夫人围炉夜话时,突然断了气。回法国的最后一线希望也破灭了,约翰·劳彻底断了念头,不得不重操起老本行,继续自己的赌博生涯。在许多时候,他被迫一次次地把那颗钻石——见证过自己巨额财富的唯一证明——送进当铺,不过他那精湛赌技又一次次地帮他把钻石赎了回来。

    因为在罗马屡受债主逼债.他又去了丹麦的哥本哈根。在那里,英国大使告知他,他可以回祖国定居,1719年英国政府就已经颁发了赦令,赦免了他以前谋杀威尔逊先生的罪行。约翰·劳搭乘英国海军司令的船返回了英国——此事曾在上院引发过一些争论。

    柯宁斯柏伯爵抱怨说,像约翰·劳这样一个弃祖国和宗教信仰如敝屣的人,实在不配得到如此的优待。他还进一步表示了自己的忧虑:正当英国上下正被南海公司肆意妄为的董事们搅得焦头烂额的时候,约翰·劳的现身意味着很大的危险。为此,他特别提出了一项动议,但却被上院否决了。因为没有哪位上议院议员赞同他那“贵族式”的忧虑,也没有人怀有同他一样的恐慌。

    约翰·劳在英国住了四年,之后又去了威尼斯长住,并于1729溘然长逝,晚景异常凄凉。以下是人们为他所作的墓志铭:
    “一个著名的苏格兰人长眠在此,
    他的算术天才举世无双,
    他用简单的代数法则,
    把法国弄得病入膏肓。”

    他的兄弟威廉·劳也曾帮他一起掌管劳氏银行和密西西比公司,后来以私舞弊罪被关进了巴士底狱。但始终找不着证据来证明对他的指控。15个月后,威廉·劳被释放,并成为一个在法国历史悠久的家族的创建者,这就是法国鼎鼎大名的劳里斯顿侯爵家族。

    在下一章中,我们将看到,在同一段历史时期,在英国也同样弥漫着一种全民性的疯狂,与曾经困扰法国的那种情形极为相似。但是,由于君主立宪政府的高明决策和理智的应对,发生在英国的这场灾难所造成的恶果要比我们在法国所看的轻了许多。

    第二章  金融大投机之南海泡沫

    ……
    最后,腐败就像汹涌的洪水,冲破羁绊,泛滥成灾。
    疯狂的贪欲蔓延无际,
    就像地平线上初升的雾霭,遮蔽了阳光。
    政客和爱国者,为股票投机四处奔忙心慌慌;
    贵妇与男仆,为股票受苦受累下场全一样;
    法官当上了经纪人;
    主教吆喝快下注,哄得全城人上了当;
    公爵们施展手腕穷忙和,只为赚取半克朗;
    金钱的魔力迷惑了不列颠,
    这一切呀,多么肮脏。
    ——亚历山大·蒲柏

    第一节  横空出世的南海公司

    1711年,著名的牛津伯爵哈利创建了一家公司,其职责是恢复因辉格内阁解散而大受打击的公共信用。此外,公司还肩负着另一项重任,发行总值近l000万英镑的股票,用来偿付陆军、海军债券和其他一些短期债务给国家造成的沉重负债。这是一家纯粹的商业公司,起初,就在公司的名字都还没想确定的时候,就已经有这么一大笔债务落在它的头上了。

    出于回报,政府同意在一定时期内给予这家公司6%的担保利率,并为此提供每年60万英镑的利息。另一方面,政府对该公司经营的酒、醋、印度货物、丝绸、烟草、鱼翅和其他一些商品实行永久退税政策,并赋予他们南海贸易的垄断权。于是,这家经议院批准创立的公司,从此有了“南海公司”这样一个名号。在这次交易里,牛津伯爵起到了穿针引线的重要作用,于是,那些跟在他后面溜须拍马之徒纷纷以“牛津伯爵的杰作”来形容这个了不起的计划。

    在草创之初,南海公司就带给人以难以想象的诱惑力——公众对蕴藏在南美洲东部海岸的巨大财富怀有的热切渴望更令它身价百倍。人人都听说过,在秘鲁和墨西哥遍地埋藏着金矿银矿,无尽的宝藏闪着金光在向人们招手。以至于在大众心目中形成了这样的观念:只要把英格兰的货品送上海岸,成百上千倍的金砖银锭跟着就会绵绵不绝地输送回国内。恰巧就在那个时候,有一则令人激动的传闻不胫而走,在英国各地引发了更广泛的狂热——西班牙准备放弃智利和秘鲁沿岸的四处港口,南海公司则获得了这四个港口的使用权。这一传闻令人们信心倍增。在很长的时间里,南海公司的股票在金融市场上变得越来越炙手可热。

    然而,西班牙国王菲利普五世可没那么傻,他可从没从打算过让英国人利用自己在美洲的港口进行自由贸易。两国开始进行谈判,谈判的的结果最终达成了——双方仅仅签订了一个贩奴合同,英国可以借用西班牙控制的港口向其殖民地运送黑奴,期限是30年。每年英国船只能运送一次货物到墨西哥、秘鲁或智利,并且还严格限制了船舶的吨位和货物数量。另外,西班牙还附加了一个非常苛刻的条款:英国货船必须向西班牙政府交纳25%的利润,对剩下的利润则加征5%的所得税。这一结果使令牛津伯爵及其同党们大失所望.他们对南海公司所抱的幻想也一扫而空。

    但是,公众对南海公司的信心并没有因此产生丝毫的动。,牛津伯爵则是心里打鼓,为了不让人发现事实,他甚至宣称.西班牙允许英国船只在合约的第一年里增加两艘货船。他们还煞有介事地公布了一份清单,上面列满了那片海岸沿线所有港口的名称。可实际上,直到1717年,合约中规定的货船才开始了第一次航程,而一年之后.这项贸易就随着英国和西班牙的断交而自动终止了。

    在1717年的议会会议上,英王发表演说,暗示公共信用需要改善,并建议政府采取措施减轻国内债务造成的压力。5月20日,南海公司和英格兰银行这两家大型金融公司也向议会提出了建议。南海公司要求,以认购或其他方式将其资本金从1000万镑增加到1200万镑,每股收益率为5%,而非6%。英格兰银行的要求也是同样的优厚,听起来对民众很有诱惑力。

    议会经过一番讨论之后,最终通过了三项法案.分别是南海法案、银行法案和通用基金法案。在南海法案中,议会接受了南海公司的建议,准备发行200万英镑的股票,以清偿安妮女王执政的第九年和第十年分别发行的四批彩票基金的本息。

    就这样,南海公司的名号频频出现在公众的视野中。虽然它与南美洲各国的贸易并没有给公司带来什么实质性的收入,但作为一家金融公司来说,它的业务却是日益蒸蒸日上。尤其是股票分外地抢手。恰恰在此时,英吉利海峡的对岸,约翰·劳正在推行着他那著名的、令法国人神魂颠倒的“密西西比计划”。南海公司的董事们看在眼里馋在心上,也准备效法他,在英格兰上演一出同样的好戏。纵使他们早就心里有数:这样的计划和很可能不得善终。但这帮自命不凡的家伙却并不想因此就轻易放弃,他们自以为聪明过人,不会重蹈约翰·劳的覆辙,能够把计划永远地推行下去。

    正当约翰·劳的计划如日中天之际,正当成千上万的人群涌向甘康普瓦大街,在疯狂的热情中走向自我毁灭之际,南海公司的董事们想议会提交了他们那著名的计划——在欧洲这两个最有名的国度里,金块银锭堆成山的虚幻景象在人们眼前幻化成了海市蜃楼。虽说英国人开始这场疯狂游戏的时间比法国人要晚,可人性都是差不多的,一向以理智冷静著称的英国人一旦陷入到狂热的妄想中去,表现也不比他们的邻居好多少。

    1720年1月22日,下院成立了一个委员会,研究国王演讲中提到的关于公共债务的问题,以及南海公司就偿还债务所提的建议。南海公司提交的建议篇幅很长,分为好几个专题,所涉及的国债总额为30,981,712英镑。为了保证自己的收益,南海公司在建议中要求新股的利率为5%,一直维持到1722年仲夏以前。此后则降为4%。委员会对于这个建议表示十分欢迎。

    不过,下院里有很多议员都与英格兰银行有着千丝万缕的联系,他们当然也希望银行从中大赚一笔,这样自己也可以受惠。于是,他们代表银行宣布,在英家此前经历过的诸多困难时期里,英格兰银行曾经做出过卓越的贡献。现在,如果这场即将发动的公共交易能够造福国民的话,那么英格兰银行至少也应当尽自己的一份绵薄之力。

    无端插了这么一杠子,南海公司的建议书在下院搁置了5天,暗地里推波助澜的英格兰银行利用这一时机草拟了一份计划。南海公司怕英格兰银行开出的条件更优惠,就把原计划又作了一番修改,使它看起来更加容易被人接受。其中最大的改动是把原来七年的国债偿还期提前为四年。在这场独家拍卖中,英格兰银行也不甘示弱.重新对先前的计划做了一番更正,又给议会提交了一份新的报告。

    这样一来,两家公司均提出了两份建议书。下院议员们为此进行了讨论。罗伯特·沃普勒先生是代表银行一方发言,而财政大臣艾斯拉比则是南海公司的主要支持者。2月2日,下院做出最后的决定:南海公司的计划对国家更为有利。与此同时,一份与此有关的议案也正在酝酿当中。

    伦敦的各大交易所陷入空前的亢奋之中。南海公司的股票从一天前的130英镑,一下子上涨到300英镑。就在议案进入讨论阶段的时候,股价仍在以不可思议的速度蹿升。

    这时候,议院里几乎只剩下沃普勒先生还在坚持己见。他以严肃而又激切的语气告诫议员们:“(南海计划)将是一次危险的股票投机,英国的工商业精英们将会被股市所主宰。它就像魔鬼撒旦,施放出种种诱人的花样,令人们陷入对金钱的幻想中无力自拔。人们将变得越来越贪幕虚荣,以至于鄙薄用正当的劳动去赚钱。它会把人们引向一条毁灭之路。这个计划在实质上是一种极大的罪恶,其目的是最大限度地激起大众的颠狂,并吧这种狂热持续不断的保持下去。股票的价值将被人随意操控,直到高到看不顶,它那些口头承诺的红利,将永远不可能被兑现。”

    他还以一种先知般的预言补充说,如果这项计划取得了成功,南海公司的董事们就会操控整个政府,变成大英帝国的新主人,这些股市新贵将可能因此控制立法,干预国家行政。而如果它失败了(他对此毫不怀疑),结果将会激起全国人民最强烈的不满,甚至使国家彻底地崩溃。这是一场由幻觉主导的噩梦,当灾难降临到头上时,人们才就会如梦方醒,然后问自己:这一切竟然是真的么?

    沃普勒的慷慨直言纯粹是对牛弹琴,得不到一丝回应。人们把他看成是个失败的预言家,再不就是把他比作一只嘎嘎叫的不祥的黑乌鸦。但是,只有他的挚友们才了解他高明的见解,把他比作《荷马史诗》中的女预言家卡珊德拉,能够预见到即将发生的灾难。而那些被贪欲冲昏了头的人,只有亲眼见到灾祸的发生才会恍然大悟,相信那预言是真的,可这时早已没有回头路可走啦。高高在上的议员们也是如此,刚开始,他们还能认认真真地倾听沃普勒的发言,但是,当他们听到他疾言厉色地指斥南海公司的阴谋时,纷纷离席退场了。

    两个月后,议案得到下院的批准。在这段时间里.南海公司的董事们发动一切关系——尤其是董事会主席、大名鼎鼎的约翰·布朗爵士,无所不用其极地宣传造势,一下子令股价狂涨。

    夸张到极点的谎言纷纷出笼。在社会的各个角落里,流传着一个个令人兴奋的消息。据说,英国和西班牙再次签定了合约,南海公司将被授权与西班牙所有的殖民民进行自由贸易。另外,波托西拉帕兹那个地方埋藏的丰富矿产将被开发出来,源源不断地运回英国,这下子,英国的银子将变得和铁一样充裕。英国盛产的棉花和羊毛制品,将会吸引墨西哥人以他们全部的金矿来购买。南海公司竟因此变成世界上首屈一指的大公司,而加入南海公司进行海外贸易的人,都将因此变成全世界最有钱的大富豪!在南海股票上每投资100英镑,年末股东将获得超百倍的红利!

    通过运用这些伎俩,南海公司的股价被炒到400镑。接下来却是一轮股市大波动。最终,下院以172票对55票的结果同意通过这项议案,南海股价因此一直稳定在330镑左右。

    与此同时,上院也以前所未见的高效率通过了该议案。4月4日,议案第一次宣读;5日,第二次宣读;6日,对法案进行评议;7日,进行议案的第三次宣读,随即宣告通过。

    在上院里,这项议案也遭到了一些议员的激烈反对。但与前一次差不多,大多数人只把他们的警告当作耳旁风,对此一笑了之——议员们的心魂早被狂热的投机风暴牢牢吸附住了,就如同那些同样给金钱迷得失魂落魄的平民百姓一样。

    在诺斯爵士和格瑞爵士看来,这项议案在本质上就是不公正的。它所造成的后果将是致命的,因为它注定将使大多数不明真相的人血本无归、一贫如洗。而从中坐收渔利的,将是在幕后操纵的极少数阴谋家。沃顿公爵也对这一看法深表赞同,不过在发言时他仅仅是把沃普勒先生在下院中的宏篇大论重新复述了一遍,相比之下,他的提议并没有得到多少重视,甚至连诺斯和格瑞还不如。库柏伯爵也站在他们这一边,这个议案被他希腊神话里的特洛伊木马——在那辉煌的表象之下隐藏的是重重杀机,它必将使人们走向虚幻和毁火的绝路,而此刻人们却对此视而不见。

    桑德兰德伯爵则站在反对者的立场上,声嘶力竭地一一回击那些反对者。在投票表决时,17票反对,83票赞成。这一压倒性的表决结果,显示着这个计划得到了大多数权贵政要的欢迎。于是,就在同一天,议案也得到了英王的御准,就此成为了法律。

    那一天,英国举国上下仿佛都跌入了股票投机的美梦难于自拔。每天,伦敦的鄂雷交易所里人群挤得里三层外三层,就连康希尔大街也给纷至沓来的车马堵塞得水泄不通。人人都跑来买股票,就连“傻瓜也想做一回骗子。”

    第二节  “南海泡沫之歌”

    当时,流行这一首民谣十分谐趣,在英国各地广为流传,称得上家喻户晓、妇孺皆知。名字就叫做《南海泡沫之歌》。
    歌中唱道:
    “星星在混乱的人群头顶闪耀,
    袜带在粗汉鄙夫间缠绕。
    人们买呀卖呀,瞧呀闹呀,
    连犹太人和新教徒的吵嘴也被人喜闻乐道。
    最高贵的夫人们也从四面八方方来到,
    天天坐车一溜烟奔忙,
    为了股票不惜赌博冒险,
    就算押上珠宝也心甘情愿。”

    越来越迫切的发财梦想迷乱了社会的各个阶层,就算是倾尽南海之水,也无法打消这股狂风暴雨般的热情。这时,南海公司又在背后开始了煽风点火的勾当。一张张股票申购单被填得满满当当,一车一车股票被送到交易所,一波波的成交风潮此起彼伏。这些狡猾的阴谋家使尽手段、出尽高招,只为最大可能地哄抬起股票市值。

    出乎人们意料的是,就在议案得到国王的御准之后,南海股票却一路下跌。4月7日这天,南海股票的成交价还是310英镑,不料第二天就跌到了290英镑。

    公司董事们正从这项计划中大获渔利,刚尝到甜头的他们怎么肯甘心看着股票不断下跌?尽管下跌的幅度正在接近股票的原始价格。他们立即派手下四处散布谣言。鄂雷交易所里挤满了前来听人宣讲的听众,蕴藏在南美的巨大财富被这帮人描绘的栩栩如生,仿佛触手可及。虚无缥缈的金矿令人们再一次地心荡神驰起来。

    据说,斯坦霍普伯爵在法国接受了西班牙政府的提议。为了扩大在南海地区的贸易额,同时也是出于增强安全性的考虑,西班牙人想用秘鲁沿岸的部分港口同英国交换直布罗陀和玛洪港。不止如此,南海公司那一年一艘货船的航运限额也将被取消,利润所得的25%也不用上交西班牙国王了。更可喜的是,南海公司也可以自行组建或租下任意数量的船队,而不必向外国统治者交纳半毛钱。

    金砖银锭堆成的财富之山再度浮现在人们眼前,股价又开始快速反弹。4月12日,即上院通过议案之后的第5天.南海公司董事会又发行了100万新股,票面价格100英镑,实际售价则为300英镑。此举吸引了社会各界纷纷抢购,首次认购总额就超过了200万镑。人们可以按照发售价格的1/5支付订金,然后分期付清总价款。几天之内,股票交易价格就上升到340镑,认购价格也相应提高了两倍。

    为了把交易价格抬得更高,4月21日这一天,董事会又宣布,夏季中期发放的股息为10%,所有的认购者都将享受到这一优惠。这个决定不啻推波助澜,认购者们变得更加疯狂。为了趁热打铁,董事会又以比最初高出4倍的价格发行了l00万份新股。人群仍然趋之若鹜,着了魔一般地纷纷投倾囊相就。在数小时内,150万份认购单竟然全部售出。

    英国各地数不清的股份公司纷纷注册成立,就如同雨后春笋一般。很快,这些公司就为自己赢得了“泡沫”的“美誉”。老百姓们的这一想象力可真是再贴切不过了,大街小巷里充满了对“泡沫公司”评头论足的声音。

    这些泡沫公司就如同阳光下的朝露一样,转瞬之间就消逝的一干二净。其中有些只存在了两个星期,甚至更短的时间,便无影无踪了。但这并不妨碍新方案一个接一个地出台,每天都有一两个新的发财计划被介绍给世人。

    在康希尔交易所里,最尊贵的贵族也拉下高贵的面子,变得同唯利是图的股票经纪人没什么两样,追逐金钱成了全国上下共同的目标。甚至连威尔士王子也成了一家公司的主管,据说,在仅仅股票投机一项,他就从中赚得了4万英镑。

    为改建伦敦城和威斯敏斯特大教堂,布里基沃特公爵提出了一项方案,钱道斯公爵又马上实施了另一项。几乎就在同一时间,100多项工程一个个上马,一项比一项更花哨、更耸人听闻。用《政治的国家》这本书里的话讲:“(这伙人)操弄着唬人的骗术,后面尾随着一大群贪婪的傻瓜,到了最后,人们才如梦方醒,揭开这帮家伙的假面具——不过是一堆骗子和泡沫。”据估算,在这场毫无规范可言的游戏中,共有150万英镑被人设骗走,呆愣愣被人牵着鼻子走的傻瓜们变得一贫如洗,而那些不安好心的恶棍则摇身一变成了暴发户。

    在这些方案里,如果是在平常,而且公众还能有清醒的判断的时候实施,可能能够还不至于那么差劲儿。但现在,这些方案被设计出来恶的唯一目的就是抬升股价。一待价格上升,实施者往往第一个就把股票抛出,而第二天,那“伟大的计划”就被他丢到爪哇国去了。

    麦特兰德在《伦敦史》中郑而重之地做了如下记载:曾有一项令人激动、兴奋到无以复加的大工程,最后被证明了只不过是要建立一家“用锯屑制造松木板”的工厂。无疑这是一场天大的笑话。可是,许多证据表明,成百上千个既不高明又不合理的方案,令人们倾家荡产,很快就如船过无痕般地永远消失了。

    例如,有个项目是要制造永动轮,计划需要100万镑资金;另一个项目则是“鼓励英格兰的畜牧业,改良牧师和教堂的用地情况,修缮和重建教区长和牧师的房屋。”相较之下,第二个计划却并不受牧师们的欢迎,相反,前者在英国各地的神职人员中引起了巨大的反响——这个项目就是一帮热衷于猎狐的教区长设立的。这家公司的股份很快就被抢购一空。

    但是,在那些五花八门的计划、项目中最令人感到荒谬可笑的,或者说最能代表当时那种全民性癫狂的,应当首推以下这个计划,它的标题是,“一家有着绝对优势、能带来巨大利益的公司,但是无人知晓人那是什么。”如果不是那几十位可靠的证人言之凿凿的保证这是千真万确的事实的话,相信没有一个人会相信,那时的人们竟然会为这样一个明显就是骗局的计划所欺骗。

    其中还有一个胆大包天却又狡猾到极点的“天才”,轻轻松松地发布了一份募股说明书,就成功地骗取了公众的信任,轻轻松松地把人们竞相送上的钞票收入囊中。在募股说明书上,此人声称:自己设计的一个项目亟需50万镑的资本金,每股面值100英镑,共5000股。认购者只要支付2英镑定金,每年就能得到每股100英镑的红利。同时他又声明,自己不会屈尊纡贵地去通知认购者分享红利,但承诺会在一个月内向全体股东公布所有的内幕,到时人们可以支付其余的98英镑。

    第二天上午9点钟,此君设在康恩希尔大街办公室刚一开门营业,就被蜂拥而至的民众们包围得一根针也插不进。到了下午3点钟交易所闭市时,他发现卖出了至少1000股,而且全都交了定金——短短5小时内,此君净赚了2000英镑。这位“天才大骗子”当然也明白趁早收手才能全身而退的道理,当天晚上就远遁他乡了。从此杳然无踪,空留下一场骂名。

    著名作家斯威夫特,也就是讽刺小说《格列佛游记》的作者,曾经把鄂雷交易所比喻成南海中的一座海湾,并把当时的世情百态做了鞭辟入里的描写:
    “千万张认购单雪片般飞来,
    就像无数条小船在海面上你推我搡,
    每个人都摇着那漏水的小舟,
    一心一意要打捞金子,
    就算淹死也不在意。
    一会儿跌进死亡的深渊。
    一会儿飘飘荡荡上天堂,
    他们跌跌撞撞无方向,
    浑浑噩噩如醉汉一样。
    格拉维悬崖上看来挺安全,
    却生活着一群野蛮人,
    沉船残骸是他们的果腹的膏粱,
    他们躺在那里静待小舟沉没,
    好把死尸鲸吞蚕食。”

    另一个非常成功的骗局即所谓的“环球许可证”。“许可证”只不过是一张方方正正的卡片,就像扑克牌一般,上面有一张印有“环球旅馆”戳记的蜡封条。在卡片的上边还印着“航海服许可证”的字迹。所谓的“环球旅馆”就在鄂雷交易所的邻近,持有此许可证的人从中得到的好处说来好笑,仅仅是在将来的某个时间认购一家新建的帆布工厂的股份。不过,这些许可证却在鄂雷交易所里卖了60畿尼(畿尼:英国旧时的一种货币单位,1畿尼相当于1.05英镑)。这场骗局的主谋者,或者按当时的说法,一个幸运的家伙,后来却因受南海公司董事会挪用公款事件的牵连而受到了严惩。

    不分高低贵贱、男女老幼,人们被这样的泡沫深深裹卷其中,无力自拔。男人们在酒馆和咖啡馆里穿梭往来会见经纪人,女士们也聚在衣帽店和杂货铺里对股票走势发表高论。虽然大家并不见得是真心认同那些五花八门花里胡哨的项目计划,却都抱有相同的目的,那就是通过股票经纪人的投机炒作促使股价上涨,然后从中赚得丰厚的差价。自然,有许多可怜的家伙还在眼巴巴等着他们把那些会生钱的股票早点转让出来呢。

    第三节  迷狂中的清醒

    交易所里满是拥挤的人潮,以至于同时同地同一种股票的成交价在交易所的两端竟会相差10%左右!不过,始终保持冷静观望的态度,不为这表面繁荣所动的却大有人在。在议会内外,也都有人维持着一贯的理智,他们清楚地预言了那就要来临的风暴。沃普勒先生继续向人们发出警告,指出那些潜伏在暗处的种种迹象。

    那为数不多的、同他一样头脑敏锐的人,纷纷对他的见解表示赞同。此举也同样引起了政府的强烈关注。6月11日,议院召开会议时,国王宣布了一个公告,宣布所有的非法交易都是不被容忍的,应当视情况予以起诉。同时,禁止任何经纪人买卖这些违法公司的股票,那些敢于违法者将被处以500英镑的罚款。

    这个公告并没有对那些无赖狡诈的投机商产生立竿见影的恫吓效果,明目张胆的违法交易仍在继续着。7月12日,高等法院的法官们联合发布了一道命令,取消了所有的专利权和特许状的申请请求,并解散了所有的泡沫公司。在命令中列举了所有这些非法项目的名单。

    这份命令的内容如下:
    “1720年7月2日,怀特礼堂。出席者:高等法院法官。
    考虑到那些为了种种目的而成立的股份公司,以及它们所设置那些计划与项目给公众带来了诸多困扰。同时,英王陛下的许多臣民们饱受泡沫公司蒙蔽损失大量的金钱。为了防止此类投机欺诈事件继续发生,高等法院综合研究了贸易委员会、检察长和副检察长的报告,经过缜密的商讨后,决定遵照枢密院的建议撤消下列申请:
    1数人提交的申请书,请求以“大不列颠大渔场”的名义从事渔业贸易的专利权。
    2英格兰皇家渔业公司呈递的申请,请求为更有效地发展捕鱼业务而被赋予更大的权利。
    3乔治·詹姆斯申请书,代表他本人及其他人,请求成立专营公司经营同一类业务。
    4一些贸易商的申请书,请求组建合营公司经营和恢复在格陵兰岛及其他地方的捕鲸业。
    5约翰·兰伯特爵士和其他人提交的申请书,请求合作从事格陵兰岛的贸易业务,特别是戴维斯海峡的捕鲸业务。
    6另一项针对格陵兰岛渔业贸易的申请书。
    7几位士绅和居民的申请书,请求合作购买和建造货轮,以为出租或运输之用。
    8塞缪尔·奥特里姆等人提出的申请书,申请种植大麻和亚麻的专利权。
    9几位商人、船主、造船场场主和帆布商的申请书,请求组建股份公司合作经营业务的特许权。
    10 托马斯·鲍埃德和数百位商人、船主、造船场场主及其他航海产品制造商的申请书,请求授权以合作形式借钱买地,制造帆布和纺线。
    11 对戚廉三世和玛丽二世后期批准的专利感享有权益的人士的申请书,请求制造帆布和亚麻布的特许经营权已经经营特权,不再允许他人经营此项业务,而且请求增加棉花制品和丝绵制品的制造权。
    12 伦敦的几位居民、商贩和其他一些要求对英格兰所有港口的火灾实行保险的英国股票认购者的申请书,请求合作经营此项业务。
    13 伦敦和英国各地一些皇家成员的申请书,请求合作经营英国的一般火灾保险业务。
    14 托马斯·伯格斯和其他一些皇室成员提交的申请书,代表他们以及一些认购了总值为120万英镑的德意志领地内贸易业务股票的其他人士,请求以哈伯格公司的名义成立一家有限责任公司。
    15 木材供应商爱德华·琼斯,代袁他本人和其他人提出的申请书,请求组建公司,以合作形式从德国进口木材。
    16 几位伦敦商人的提出申请书,请求政府颁给他们合作经营盐业的特许经营权。
    17 伦敦的麦克菲德利斯船长,代表他本人和一些商人、织布匠、帽匠、印染匠和其他一些商贩提交的申请书,请求授与特许权,允许他们筹措到足够的资金以购买土地,并种植和培育一种叫做“茜草”的植物,作为染料使用。
    18 伦敦的鼻烟制造商约瑟夫·加兰多的申请书,请求授予专利权,因为他在弗吉尼亚制造鼻烟而发明了一种制造和保存弗吉尼亚烤烟的方法,并请求在大英帝国的所有领地独享这项专利。

    以下即为宣布为非法并予以取缔的泡沫公司的名单:
    1 从瑞典进口铁矿的公司。
    2向伦敦供应海运煤炭的公司,资本金300万英镑。
    3英格兰各地的房屋建筑和重建公司,资本金300万英镑。
    4细棉布制造公司。
    5英国铝业公司。
    6开发布兰科和圣塔塔加哥斯岛定居点的公司。

    7为迪尔城供应淡水的公司。

    8进口弗兰德斯花边饰带的公司。

    9改良英格兰土地的公司,资本金400万英镑。

    10发展英格兰养马业、改良牧师和教堂土地以及修缮和重建教区长和牧师房屋的公司。

    11大不列颠钢铁制造公司。

    12弗林特郡土地改良公司,资本金100万英镑。

    13购买和开发、建设土地的公司,资本金200万英镑。

    14皮毛类商品贸易公司。

    15霍利岛制盐公司,资本金200万英镑。

    16买卖房地产并提供住房抵押贷款的公司。

    17有着绝对优势,能带来巨大利益,但是无人知晓人那是什么的公司。

    18伦敦街道铺设公司,资本金200万英镑。

    19英国各地的殡葬服务公司。

    20提供有息贷款买卖不动产的公司,资本金500万英镑。

    21大不列颠皇家渔业公司,资本金1000万英镑。
    22海员薪金福利保险公司。
    23为帮助和鼓励勤勉刻苦人士创业而建立的贷款办公室,资本金200万英镑。
    24购买和改良可出租土地公司,资本金400万英镑。
    25从英国北部和美洲进口沥青和海军后勤装备的公司。
    26布料、毛毡和波形瓦贸易公司。
    27购买和改良艾塞克斯郡庄园采邑和征收矿区使用费的公司。
    28马匹保险公司,资本金200万英镑。

    29出口羊毛制品、进口铜、黄铜和铁的贸易公司,资本金400万英镑。

    30药品经营公司,资本金300万英镑。

    31铅矿公司,资本金200万英镑。

    32改进肥皂制造工艺的公司。

    33在桑塔·克鲁兹岛上建造居民定居点的公司。

    34德比郡铅矿勘察、开采公司。

    35玻璃瓶和其他玻璃制品制造公司。

    36永动轮制造公司,资本金1130万英镑。

    37花园改建公司。

    38为保障儿童财产和增加其福利而建立的公司。

    39为在海关装载货物,并为商人进行商务谈判提供方便的公司。

    40北英格兰羊毛制造业公司。

    4l从弗吉尼亚进口胡桃树的公司,资本金200万英镑。

    42曼彻斯特棉花和绳索制造公司。

    43加帕和卡斯泰尔肥皂制造公司。

    44不列颠王国熟铁和炼钢业品质优化公司,资本金400万英镑。

    45蕾丝饰物、麻纱、荷兰棉麻布、细麻布等货物交易公司,资本金200万英镑。
    46大不列颠王国特殊商品贸易公司,资本金300万英镑。
    47向伦敦市提场供牛肉制品的公司。
    48眼镜、马车镜制造公司,资本金200万英镑。
    49康沃尔郡和德比郡锡矿和铅矿公司。
    50菜籽油制造公司。
    51海狸皮进口公司,资本金200万英镑。
    52纸板和包装纸制造公司。
    53毛纺织制造用油和其他原材料进口公司。
    54改善和扩大丝制品加工业的公司。
    55以储蓄、年金和票据为基础提供贷款的公司。
    56以小额折扣支付寡妇和其他人士年金的公司,资本金200万英镑。
    57麦芽酒制造和改良公司,资本金400万英镑。

    58美洲渔场建设公司。

    59购买和改良林肯郡沼泽地的公司,资本金200万英镑。

    60大不列颠纸制品改造公司。

    61伯特莫里公司。

    62麦芽干燥公司。

    63奥罗诺克河贸易公司。

    64科尔彻斯特和大不列颠其他地方的厚毛呢制造公司。

    65为购买航运物资、提供食品、支付工人工资而设立的公司。

    66雇用熟练技工为商人和其他人装饰钟表的公司。
    67改良耕地和耕牛品种的公司。

    68改良马匹品种的公司。
    69另一家马匹保险公司。
    70大不列颠玉米贸易公司。
    71为所有男女雇主提供冒险,以弥补因仆人的过失而造成的损失的保险公司,资本金300万英镑。
    72为收容和养育私生子而建造福利设施的公司,资本金200万英镑。73在不使用火或不产生营养损失的情况下漂白粗糖的公司。
    74大不列颠收收费公路和码头建设公司。
    75为因抢劫或偷盗遭到财产损失的客户提供保险的公司。
    76从铅矿中提炼白银的公司。
    77瓷器和彩陶制造公司,资本金100万英镑。
    78进口烟草,再向瑞典和北欧出口的公司,资本金400万英镑。
    79利用坑煤冶铁的公司。
    80为伦敦城和威斯敏斯特城提供干草和稻草的公司,资本金300万。
    81在爱尔兰开设帆布和包装布制造厂的公司。
    82碎石道渣制造公司。
    83购买和装备镇压海盗的船只的公司。
    84威尔士木材进口公司,资本金200万英镑。
    85岩盐开采公司。
    86把水银变成可锻精制金属的公司。

    虽然政府以严厉的措施取缔了这些泡沫公司,头脑清醒的人们也对其冷嘲热讽起来,但在英国各地,层出不穷的泡沫公司仍是多如牛毛。

    印刷店里堆满了讽刺漫画,报纸上以大幅篇幅刊登着讽刺诗和讽刺文章。有一位创意份儿非凡的纸牌制造商以此为原型制造、发行了一套扑克牌,美其名曰“南海扑克”,这种纸牌现在已经很少见了。在扑克牌上,除了篇幅很小的数字和图案之外,在角落里还印着一家泡沫公司的讽刺漫画,在下面则附有一首打油诗。

    当时有一家最富盛名的泡沫公司——帕科勒机械公司。该公司以制造炮弹和子弹,进而能影响战争进程而受到过疯狂的追捧。于是在一张梅花8的扑克牌上,你可以看到这样一副画面:这家公司正在发射圆形和方形的加农炮弹和子弹,并称它带来了一场战争艺术的革命。而下角的打油诗则以诙谐的手法带出了其中的真谛:
    “这是个空前绝后的发明创造,
    专门用来消灭国内的而不是国外的傻帽蠢材。
    我的朋友,犯不着为这可怕的机器忧心忡忡,
    它只会伤害那些呆在原地等着分红的笨蛋。”

    红桃9则是一幅讽刺英格兰铜业公司的漫画.上面的讽刺诗是这样写的:
    “想把英国黄铜变成金银币的的傻瓜蛋,
    在交易所里十足成了一头蠢驴,
    把金银宝贝上手奉上,
    得来的却是一堆废铜烂铁。”

    方块8则对阿卡地亚殖民地公司做了毫不留情的揶揄,下方配了这么一首打油诗:
    “有个富翁有钱没地儿使,
    拿到北美大陆胡洒乱花。
    让他自欺欺人去认购那些诓人的股票去吧,
    只有蠢驴才会相信他的疯话。”

    整副扑克牌每一张都以相似的风格揭露了某个狡诈的计划,同时对那些受骗上当的人嬉笑怒骂了一番。有人算过,这副扑克牌所记载的工程项目,其资本总额竟然高达3亿英镑。

    第四节  赌徒们的最后一搏

    现在,我们回头再看看那个大海湾——曾经无情地吞噬了轻信而又贪婪的英国人千百万财富的南海大海湾。

    5月29日,南海公司的股价已升到500英镑,这时,近三分之二的享受政府福利的人购买了南海公司发行的公债。在5月这整整一个月时间里,股价始终没有回落的迹象,5月28日这一天的报价竟高达550英镑。四天后,又从550镑一下子暴涨到890英镑。那时,人们大多认为股价可能有继续上涨的余地了,于是许多人趁机赶紧抛售变现。

    正要陪同国王乘火车出访汉诺威的很多贵族随侍,听到消息也都心头惴惴不安,慌不迭地把手中持有的股票抛出了事。6月3日,鄂雷交易所里挤满了急于把股票转手的卖家,不过买家却寥寥无几。这样的情形,令南海股票从890镑的高位上一下子滑跌到640英镑。南海公司的董事们都吃了一惊,急忙命令各自的代理人大量买进。他们的狡计有一次得手了,到了晚间,股民们的信心又开始恢复,股价迅速反弹到750英镑。直到7月22日,南海公司的股价一直保持着平稳。

    南海公司的大小董事们是如何施展阴谋诡计操纵股市价格的情形,我想已经无需再费笔墨大书特书了。到了8月份,股价最终飚升到l000英镑。接下来就开始大幅度的回落——膨胀到极点的泡沫开始一点点破灭了。人们开始对董事们表示不满,尤其是对在认购股份的同时列示股份清单的做法大加指责。而当南海公司董事会主席约翰·布朗特和其他一些股东早已把所持有的股票全部转手的消息曝光后,公众的愤怒就更加强烈了。整个8月份,股市始终维持着低迷的态势。9月2日报价时,南海股票已然掉到700英镑了。

    此刻,事态已经变得异常紧张。9月8日,为了尽可能地挽回公众的信心,南海公司董事会在泰勒礼堂召开了一次股东大会。这天上午9点,礼堂内一片鸦雀无声,礼堂外的过道里挤满了未被获准进入的人群。董事们以及他们的朋友们一致推举公司副主管约翰·弗洛斯爵士主持会议。他想众人宣读了公司董事会的应对政策,接着,又宣读了可补偿基金、不可补偿基金和预付金的处理办法。

    接着,秘书长克拉克斯先生做了一个简短的发言,他向董事们发出了倡议,在现在的局面下,再没有什么精诚团结更重要、更有效的解决办法了。在结束发言时,他向董事会谨慎而高超的管理工作表示感谢,同时希望他们能够继续为维护公司利益而努力。

    亨格福德先生,此公曾因在议会里坚定不移地为南海公司大唱赞歌而受人瞩目,人们还不约而同的怀疑,他很可能事知道许多股市内部机密,并因此大发其财。今天,他又口沫横飞地大发了一通高论。他说,对于其他许多公司的盛衰自己早已见怪不怪了。可是,如南海公司一般在如此短的时间内就创造出如此惊人业绩的,却屈指可数。南海公司的丰功伟绩即使是帝王将相、主教法官也望尘莫及。他们打破了观念差异促使各界力量聚集在一起,为了一个共同的目标而勇往直前。他们即使没有全部消灭,至少也是部分平息了英格兰的动荡和怨恨。通过发行股票,他们令富裕的人群变得更加富裕;乡绅们亲眼见证了自己名下的土地以两倍、三倍地速度大幅增值。

    教堂也因此而获益匪浅,不计其数的牧师和教士从他们兴建的工程中得利。总而言之,他们使整个英格兰更加地繁荣兴盛。而他自己,则大言不惭地希望人们不要忘记他们自己,不要忘了用财富来作为对自己的奖赏和回报。尽管亨格福德的这一段发言引起现场的一片嘘声——这番露骨的夸张言辞听来就像是对事实的嘲讽和讥笑,但礼堂里的董事们和他们的朋友们,以及所有的狠赚了一笔的投机者家却仍对他的谀辞报以了热烈的掌声和欢呼声。

    接着登场的波特兰公爵也发表了一番与之类似的感言。此外,他还对那些因股票投机而蚀光了身家的股民们给予了极大的关切。可笑的是,他自己却是这场大投机中的大赢家。所以,他的惺惺作态看上去倒像是《乔·米勒笑话集》一书中的那个脑满肠肥的参议员。这位参议员大人每当大快朵颐之后,就满足地拍着大肚腩,用满是疑惑的口气问别人:这世上怎么可能会存在吃不饱的饥民?

    会议通过了几项提案,但对公众来说却是反响平平。当晚,股价就跌到了640英镑,次日又跌到540英镑,此后的几天时间里一路跌个不停,最后下滑到400英镑的水平上。

    当年9月13日,众议员布罗德里克先生给米德莱顿参议员的写了一封信——这封信的内容被库克斯详细记录在《沃普勒》一书中。布罗德里克这样写道:“对于南海公司的董事们为什么会在如此短的时间内遭到如此巨大的损失,坊间流传着种种猜测。我本人毫不怀疑,之所以会如此,是因为他们太过于不择手段。一旦发现有利可图,他们开始毫无节制地扩张信用,将货币体系拖到一种不堪负荷的地步。最终,那些无辜的受害者的财产被榨干,而那些从投机中得到最大实惠的人却及时抽身,安然度过了泡沫破灭引发的危机。而那些被贪婪冲昏了头脑的人却把理智丢到了九霄云外,妄想在鼹鼠洞上建起一座高山。千万个家庭将因此破产,甚至于沦落为乞丐——蔓延在人群当中的恐慌和愤懑难以用语言来描叙。股市已经滑入绝境,根本是回天乏术,以至于我再也想不到什么计划或方案能够避免泡沫的破裂。总而言之,下一步可能会发生什么,我根本就没办法去设想着设想,就连稍微假装去设想也不成。”

    10天后,股市依旧在下挫。他又写道:“公司仍然没能做出任何回应,他们已泥足深陷,根本找不到脱身之路。从几位从伦敦城来的绅士那里,我得知了南海公司某董事的大名,如今,这位仁兄俨然已成了大英帝国子民们人人嫌弃的‘过街老鼠’。金匠们纷纷失业,有的开始潜逃,失业人群每天都在增长。我怀疑这些人中的是否有三分之一或四分之一,能够熬过这次的危机。从一开始,我用来评判整个事件的依据就在于这么一句毋庸置疑的箴言:1000万英镑(这已经远远超出了流通中所需的现金限额)的钱绝对不能当成2亿来花。可现在人们却要反其道而行之,那么,我们卓越的国家机器岂能避免垮台的危险。”

    9月12日,在秘书长克拉克斯先生的一再恳请下,南海公司的董事与英格兰银行的董事联合召开了几次会议。在市面上广泛流传着这么一条消息:说英格兰银行已经决定向南海公司注资600万英镑。因此南海股价一下子反弹到了670英镑。可当天下午,人们就获悉这条纯属臆造。股价马上又回落到580英镑,次日又跌至570英镑,随后逐渐滑落到400英镑。

    内阁大臣们也对事态渐渐濒于失控深感震惊。此时,为了避免受到股民的攻击,南海公司的董事们连街也不敢上了。危险的暴徒和暴动令警察们疲于奔命。正在汉诺威巡视的英王不断收到求援信,人们纷纷请求他即刻回到伦敦主持大局。正在乡村的家中颐养天年的沃普勒先生此刻也成了“香饽饽”,人们抢着向他建言,想利用他对英格兰银行董事会成员的影响力,说服银行接受南海公司的债券清偿计划。

    英格兰银行自然极不愿同南海公司牵连在一起,接手这个烂摊子就等于引火烧身,这一点是毫无疑问的。英格兰银行极其勉强地接受了各方的建议,毕竟全国上下一致认定只有它才能力挽狂澜。这时,所有的精通财政金融的知名人士都被召集起来,共同研究解决紧急现状的良策。沃普勒先生提出的一份合同草案,被作为下一步谈判的基础获得了一致的通过。直到此刻,大众那惊恐不安的情绪才稍稍得到了一丝缓和。

    第二天,即9月20日,南海公司在泰勒礼堂再次召开股东会议。会议决定,同意英格兰银行或其他任何人对有关经营本公司的债券的要求,或者与银行达成他们所拟定的任何协议。众多发言人中的一位,普尔特尼先生则指出,看到人民陷入了极度的惊慌之中,实在叫人万分震惊,眼看着人群像惊弓之鸟一样奔走在大街小巷,心理充溢着想象中的灭顶之灾,却对那可能到来的灾祸说不清道不明,这真是一场灵魂的煎熬。正如一句诗所言:
    “漆黑的夜幕笼罩天地,
    狂暴的怒火熊熊燃烧,
    地狱之恐怖也不过如此。”

    两天以后,英格兰银行举行了一次股东会议。银行主管告知向众人,此前他们已经召开过几次会议专门讨论南海公司事件,但董事会还没有做出任何决定。这次会上提出的一项提案还未通过辩论程序就获得了通过,授权董事会同意接手经营南海公司债券,并就发行债券的总值、项目和时间作进行进一步的磋商。

    这样,两家公司都可以在最有利于公众的情况下自由的采取行动。为了重建公共信用,英格兰银行专门以15%的定金,3%的保险费和5%的利息,认购了300万英镑南海公司的债券。第二天一大清早,人们就成群结队的前来认购债券。此情此景使人产生了一种幻觉:似乎债券一下子就能被狂热的人群一扫而光。谁也想不到还不到中午,抢购风潮就偃旗息鼓了。尽管当局采取了一切手段尽可能地要维护股市平稳,可南海公可的股票还是急速地往下跌。说实话,南海公司的信用度在民众的心目中早已荡然无存了。由于担心此前贷出的钱款无法变现,一大批最有名的金匠和银行家只好关起门来溜之大吉。

    剑刃公司,当时是南海公司的主要承兑商,也不得已停止了一切与之相关的付款业务。而这些只不过预示着一场大灾难正要鸣锣开场而已。银行也开始陷入了一场狂暴的漩涡中,挤兑风潮似乎永无止境。上午,来银行抢购债券的人还排成了长龙,下午,银行就不得不以更快的速度大量支付现金。第二天,也就是9月29日恰逢假日,英格兰银行这才有了一丝喘息之机。这场风暴英格兰可谓堪堪躲过一劫,可它昔日的老对手——南海公司却遭到致命一击,终于房倒屋塌一败涂地。南海股票跌到了150英镑,经历过一次又一次的波动之后,又跌到了135英镑。

    英格兰银行终于发现,自己无论如何也无法唤起公众的信心了,更不用说抗拒毁灭的大潮了。况且,试图救市就等于白白搭上自己的性命落得个死无葬身之地的下场。于是,英格兰银行终于想出了一个两全其美的办法。他们决定终止已经执行了一部分的协议,理由是他们并没有义务非履行协议不可。因为,南海公司与英格兰银行之间所谓的一纸合约只不过是份协议草案而已,在一些重要条款上双方根本没做出过任何约定,就算一方要退出协议也不会触犯任何罚条款。

    “就这样”,借用《议会史》的描述就是“人们看到,由一个神奇的泡沫开始,蔓延成一个巨大到不可思议的,令整个欧洲为之瞩目,为之心动神摇的海市蜃楼。在8个月的时间里,这个由人们的贪欲臆造出来的大幻想倏忽而来,一时红到发紫,转瞬间又冰消瓦解。它的根基完全建立在骗局、幻觉、轻信与忿怒之上。一旦幕后的操纵者——南海公司董事会——惯用的那套鬼把戏被拆穿,幻境就会立刻消散,一切都将不复存在。”

    在那可怕的幻觉一天比一天严重的日子里,英格兰到处充满了堕落与犯罪,这一点是显而易见的。为了追查诸多罪行而发起的议会调查发掘出一幕幕人间丑剧,令人见识到这些资质平平的罪犯们的行为之丑恶、道德之败坏竟会到何种程度。对罪行的调查研究最终证明是一件极有意义的事情。国家其实与个人一样,不能不为自己一掷千金的豪赌而接受惩罚。无论如何,迟早都将受到制裁和惩罚。

    著名作家斯莫莱特曾经说过:“这个时代对于历史学家而言,是最不讨人喜欢的。没有一位头脑睿智且富于想像力的读者,会对这样一些枯燥无味的交易记录产生什么阅读兴致。这样的描写里看不到温情,粗糙到毫无修饰,那些对交易细节的描写向人们展示的仅仅是淡而无味的单调画面,以及丑陋、卑劣的堕落与腐败。”

    然而,恰恰相反——斯莫莱特如果稍微有点幽默感的话,他就会发现——这个主题给人们带来的诱惑力甚至比一个小说家所希望的还要多。难道在一个横遭劫掠的人的身上,除了绝望之外就没有温情存在吗?成千上万个家庭被南海大投机害得倾家荡产,一贫如洗;昔日挥金如土、威风不可一世的富商巨贾一朝沦为蜷缩在街角的乞丐;更不要说那往日作威作福、一人之下万人之上的权贵重臣流亡四方,终生难归故土;在英格兰的每一个角落里,都能听到悔恨不堪的自责声与咒骂声……这样一幅悲惨的图景横陈在面前,你能说其中缺乏生气吗?

    人群挣脱理智的束缚,满心满脑子火烧一般的狂热为了追求那金光闪闪的幻象,什么理智、什么判断全部忘得一干二净,如同传说中被鬼火迷得魂灵出窍的雌鹿。最终,他们被引诱到致命的沼泽中去,眼看就要遭受灭顶之灾却还在一力强辩,说这一切不过是一场噩梦。面对着此情此景,难道也能说这幅画面枯燥无味,不具任何启示性吗?

    以他这种观点来描述历史的记载充斥着史籍。诸如:懦弱的大臣为了取悦更加软弱的国王而悄悄地进行着阴谋,残酷的征伐和激烈的围城大战……这样的逸闻琐事被人添油加醋娓娓道来,颠过来倒过去讲上个千万遍也不嫌烦,简直是拿些个陈谷子烂芝麻当成宝。而那些与人类的精神和物质利益息息相关,并且影响极其深远的事件背景却被叙述者随手抛在一边,以敷衍了事的态度一笔带过。为什么大家会抱怨这类作品内容干枯沉闷、晦涩难懂,全在于用这种不具热情和责任感匆匆写就的史书典籍太过泛滥了。

    当大泡沫与大投机横行整个国家的时候,英格兰到处是相似的景象:公众的心态变得越来越不健康,人们不再满足于从事平平常常的、需要一步一个脚印才能慢慢获得成功的工作。在一眨眼间就能毫不费力地拥有无穷无尽的财富,这种不切实际的妄想令他们再也不顾及当下的生活,放肆地挥霍金钱,沉迷于奢华虚荣。从未有过的奢侈之风令人们的道德品质迅速滑向堕落的深渊。就连一个愚昧无知的粗汉也可能通过股票投机一夜暴富,看着这些暴发户那骄肆妄为的行径,怎能不叫真正的君子、绅士们为之折腰!

    金钱所具有的魅惑人心的力量,上可通天地下可通鬼神,自然也可以把一个默默无闻的小人物塑造成上流人士的新偶像。那些被理查德·斯蒂勒爵士嗤之以“微不足道的小人物”的无耻的暴发户们,在随着泡沫一起身败名裂后,就作为反面典型遗臭万年了。在接受议会质询时,受到挪用公款等罪名指控的那些南海公司董事们,显然还没来得及意识到这一点,也因此,这些死不悔改的家伙最终为他们的傲慢无礼、目中无人而尝到了苦果。

    这群“自大狂”中的一个简直是狂妄无知到了极点,此人竟然以恬不知耻的傲慢口吻夸下海口,说自己准备用金子来喂马,结果到后来,他却穷困潦倒到以黑面包就白水果腹的下场。这帮人所表现出的每一个傲慢的举动,说过的每一句可笑可鄙的狂言,都被一一记录下来,回报给他们的则是百倍千倍的贫穷和羞辱。

    第五节  末日审判

    英格兰举国陷入了紧急非常的局面中。国王乔治一世也坐不住了,他当即缩短了在汉诺威的预定日程,即刻踏上归程。11月11日,君臣一干人等回到英格兰。12月8日,议会再次召开会议。这期间,英格兰几乎每一个城镇都在举行公众集会。人们纷纷请愿,要求立法机关以法律手段严惩南海公司的董事们。正是这些可恶的家伙,打着利国利民的旗号,私下里却做着欺诈的勾当,把整个国家推到了毁灭的边缘。令人惊讶的是,这中间几乎没有人认为国家本身与南海公司其实同属一丘之貉,其在幕后推波助澜的罪责同样不可推卸!公众的轻信与贪婪——对金钱和利益的可鄙的欲望——疯狂到极点的贪婪吞噬了英格兰民族所有美好的道德品质。同样没有人指责人们那阻挡不住的痴狂,疯狂的激情促使他们一头钻进了阴谋家们设计好的罗网。这些民族的污点和劣根性,从来没被人提起过。在很多人看来,英格兰的人民是单纯、忠诚而又勤劳的,是一伙强盗毁了他们也毁国家。这伙强盗罪大恶极、绝不容姑息,就算死上一百次也不足以抵消那深重的罪孽。

    这几乎代表了英格兰所有民众的心声,上下两院的议员们也不比公众理智多少。随着南海公司董事们的罪行大白于天下,举国上下一直呼吁对这些罪犯严惩不贷。但国王却在这个节骨眼上发表了一通感言,希望国民们理解南海公司董事们的做法,他们在一定程度上也是不幸的受害者,应当给予适当的怜悯。这番不合时宜的讲话立即引发了一场舆论大战。其中的几位发言者对南海公司董事会做了最猛烈的抨击,而莫勒斯沃思勋爵堪称其中翘楚。

    在发言中,他这样说道:“南海公司的董事们正是眼见这场大劫难的元凶。有人认为,没有有效地处罚他们的法律。这么看来,我们就只好以古罗马人的做法为榜样了。开始,连罗马立法者都没料想到竟会有弑父的罪案发生,无论谁也想象不到一个儿子的竟能如此丧尽天良,双手沾满亲生父亲的鲜血。当他们发现没有一项法律能用来惩罚那些弑父者之后,立即制定了一部新的法律,宣布将那些残暴的凶犯装进麻袋里牢牢缝上口,被丢进台伯河里活活淹死。而这些一手炮制了南海阴谋的恶徒们,同样只配装在麻袋里扔进泰晤士河。”

    相形之下,其他人的发言则要温和一些。沃普勒先生表现的则更加慎重,在他看来,当前最重要的就是恢复公共信用。“如果伦敦城发生大火的话,凡是聪明人都应该先去帮忙扑灭火头,以防止火势继续蔓延。等把火都扑灭了,再着手搜寻纵火犯也不晚。同这是一个道理,公众信心已经严重的伤害,正躺在那儿流血不止,政府应当迅速采取补救方案去挽救它。以后,有的是时间去惩罚这些狡诈的‘刺客’。”

    12月9日,国王此前的讲话得到议会的响应,并通过了一份宣言。经过修改和补充,宣言里添加了如下内容:议会不仅要想方设法尽快安抚国民,还要对肇祸的元凶们严惩不贷。

    调查的工作进行的极为神速。南海公司董事会被勒令向议会递交一份记载有他们从事过的所有往来交易的账簿。同时,下院通过了一项议案,建议专门制定一部法律防止这种邪恶的股票投机行为再次上演。说到底,南海危机之所以会发生,并在公众中造成难以收拾的恐慌心理,主要是由于股票投机者所使用的阴谋诡计。因此,重建公共信用和制定相关法律法规,必须双管齐下。

    沃普勒先生也站出来说道,就如自己以前所表示的那样,经过认真思考他已经制定了一项旨在重建公众信用的计划。但这项计划能否得以真正实施,还必须立足于一个基本的前提。这就是此前与南海公司签定的公共债务认购单、货币申购单以及其他一些相关契约文书,现在是否仍然具有法律效力?并继续保留下去?这一问题引起了一番激烈争论。最终,议会以259票对117票的表决结果通过了议案,规定所有的契约、合同的法律效力不变,除非因为南海公司股东大会宣布无效,或者是通过正常的法律程序被废除。

    第二天,沃普勒先生向下院的一个委员会递交了一份恢复公众信用的计划书,大致内容是,由英格兰银行出面接收900万英镑的南海股票。与此同时,东印度公司也在一定条件下接收同样的数量的股票。下院毫不犹豫地接受了这项计划,虽然期间有一些议员反对,但下院仍然命令这两家公司接受这一安排。自然,这桩苦差事这两家大公司谁都不愿接受,在各自的股东会议上,人们纷纷表示激烈地反对,但这么做并不能改变既有的决定。最后,两家公司终于同意接收那些棘手的南海债券,并向委员会提交了各自的报告。在沃普勒的监督下,委员会又提交了一项提案,在上下两院审议时均得以顺利通过。

    议会同时还收到委员会提交的另一份提案,并获得了几乎所有有影响力的议员们的一力支持。其内容是限制南海公司董事、主管、副主管、会计、出纳以及职员的行动,规定他们出境时间不得超过一年,并彻查他们的财物状况,以防止他们私下转移或转让财产。一干人等里,辛潘先生尤其对南海公司秘书长克拉克斯先生看不顺眼,一心要证实大街上流来传去的,关于这位先生如何在南海公司账目上大做手脚的传闻。于是他下定决心要踩一踩克拉克斯的痛脚。他说,自己很高兴看到英国议会重又恢复了以往的生机,如此团结一心地为保护公众利益而努力。自然,有必要保护南海公司董事及职员的们人身及财产安全。“但是”,他话锋突然一转,望着克拉克斯先生说:“有一些人,他们尽管身居要职,却寡廉鲜耻不顾公义。总有一天,这些人的嘴脸将会被世人看清,他们犯下的罪行比起南海的董事们更加卑劣!”

    这番指桑骂槐的话一出口,克拉克斯变得如坐针毡,站起来愤愤地回答说,如果议会里有人怀疑他涉嫌南海事件,那么,他将给予大家一个满意的答复。不论议院内外,他会随时候教。他这番慷慨激昂的话引起周遭一片哗然。上议员莫勒斯沃思起身大声反击道,他,上院议员莫勒斯沃思,虽说已是年过花甲,还是有足够的勇气迎接来自任何人的挑战,其中自然也包括克拉克斯。他相信,还有很多年轻人与自己站在同一阵线,不论在哪里,他们都与克拉各斯先生针锋相对,斗争到底!

    于是乎,议会里的秩序再度失控,议员们纷纷起来发表各自的见解,每个人都是那么地激动,叫喊声充斥了整个会场,连发言人要求保持安静的呼吁也变得几不可闻。最后,基本上只剩下莫勒斯沃思和克拉克斯这两个“挑事者”还坐在自己的位子上。混乱的场面持续了好几分钟,最后,议员们几乎众口一词地,甚至于粗暴地要求克拉克斯不要挑战大家的耐性,就此前那一番有失水准的言论做出合理解释。

    克拉克斯辩解说,自己的并没有挑起争端的意思,只不过是想让一些对自己有意见的议员满意而已,他将对自己的行为做出解释。如此,混乱的场面方告平息。议会继续就以什么样的方式岁南海公司进行调查这一问题展开了辩论。辩论的结果是,任命一个由十三人组成的秘密委员会清查南海公司的一切事宜,该委员会还被授予调阅文件、传唤人员和发布文件记录的权力。

    上议院对此事的进展同样十分重视。罗彻斯特主教甚至把南海计划比作一场危害整个社会的大瘟疫。沃顿公爵则表示,议会不应当表徇私枉法,偏袒某一方。就他个人而言,如果自己的朋友也卷入了这件案子,那么,即使是最亲密的朋友,他也会公而忘私立即跟那人一刀两断。南海公司的那帮阴谋家以最为无耻的方式敲诈、剥削着民脂民膏,把整个英格兰搞得到处乌烟瘴气、怨声载道。理所当然要接受法庭最严厉的惩罚。上议员斯坦霍普也说,为了弥补公众的损失,要悉数没收这些罪犯的财产,不管他是不是董事会成员。

    这期间,群众的激忿已然高涨到了极处。就像库克斯在《沃普勒》一书中所说的那样,南海公司董事们的名字,现在变成了种种欺骗和罪恶的代名词。雪片般从英格兰各地发来的请愿书,以及城市乡镇里此起彼伏的游行请愿活动一天也没有停止过。民众纷纷要求对这些疯狂敛财的坏蛋们施以重刑。就在这股风潮中,有些不赞成以极端手段惩罚罪犯的温和派人士人,甚至也因此被人指责为同谋犯。一心一意想发泄自己的怨恨的人们,不断给他们寄来匿名信,或者以最恶毒的语言公开嘲讽和辱骂他们。这其中,财政大臣艾斯拉比、克拉克斯等几人尤其成了大家指责谩骂的主要目标。

    饱受舆论压力的上院立即做出决定,对所有嫌疑人进行一番彻底的调查。1月2l日,所有与南海计划有牵连的经纪人都被勒令向议会上交一份账目清单,标明自1719年圣米迦勒节以来,借助于他们之手买卖股票的财政或税务部门官员的名单,以及这些官员的股份申购和交易信托情况。从这些账目清单里可以发现,南海公司发行的大量股票都被秘密转入了艾斯拉比的名下。南海公司的五位董事,其中还包括爱德华·吉本(英国著名历史学家、《罗马帝国衰亡史》的作者吉本的祖父)在内,统统被监禁起来。

    斯坦霍普伯爵向议会提出了自己的建议,促使议会在此基础上做出一致的决定:在南海公司案件审查期间,以及其他某些时间内,在没有对真实的偿付能力做有效评估或不能提供充分担保的前提下,由南海公司的任何董事或机构承揽股票交易及发放贷款的,以及帮助任何政府官员或议员购买股票的行为,都将被认定为情节严重、影响恶劣的贿赂、贪污行为。几天后.议会又通过了另一个决议案,其中规定,凡南海公司董事或职员以秘密方式将自己持有的股份返卖给公司的,同样构成了诈骗和破坏信托罪。而由产生的影响对公共信贷造成了极大的危害。艾斯拉比因其不可推脱的责任辞去了财政大臣的职务,同时被从议会中除名。接下来将由法庭做他的犯罪行为进行进一步的法律制裁。

    当时,南海公司的一名会计奈特先生,因为知晓大量公司董事们曾进行的危害性极大的秘密事件,在狗急跳墙的董事们的指使下携带着许多重要的账目文件逃往国外。经过一番乔装改扮,他先坐一条小船,而后又雇了一艘大船,神不知鬼不觉地逃到了法国的加莱港。这个消息被秘密委员会呈报给议会。议会审议后一致决定,向国王递交两份报告。一是请求国王发布悬赏告示,重金缉捕奈特;二是请求国王立即下令关闭所有的港口,防止南海公司其他的职员再度逃亡。墨迹还未干,这两份报告的就由议会的莫修先生呈送了国王。

    当晚,英王就御准发布告示,悬赏2000英镑缉捕奈特归案。下院也命令锁闭议会大门,把钥匙放在桌子上。罗斯将军——秘密委员会的委员之一,向议会通报说,大量能证明南海计划罪责最隐秘、最邪恶的证据已经被找到,那就像是一心要把英国拖入地狱的恶魔的企图。在时机恰当的时候,秘密委员会会把这些证据交给议会处理。委员会同时还认为,为了更深入地查清真相,非常有必要限制南海公司董事和重要职员的人身自由,并没收所有重要的文件。这个动议毫不奇怪地获得了议员们的一致赞成。议员兼南海公司董事罗伯特·查普林爵士、西奥多·简森爵士、索布里基先生、埃勒斯先生,以及其他董事们纷纷被分别传唤,并被建议如实交代各自的腐败行为。

    西奥多·简森爵士和索布里基先生急不可待地为自己大声地辩解着,尽力要为自己开脱罪责。议员们耐着性子听完他们滔滔不绝的狡辩,然后命令他们先退下,之后一致通过动议,宣布两人违反了信托欺诈罪,给国民带来了巨大的损失,并严重损害了公众信用。鉴于两人一直抱着拒不合作的态度,决定将他们立即逐出议会,交由警察机构羁押。四天之后,罗伯特·查普林爵士和埃勒斯先生也被逐出了议院。议会随即上书国王,请求他诏令各驻外大使,协助当局缉捕奈特。不允许他向任何国家寻求庇护,一旦发现就将他引渡回英国。国王立即准许了这个提议,当晚,信使们便纷纷动身去往欧洲各国。

    公众普遍认为,被羁押的南海公司董事中的一位——约翰·布朗特爵士,就是这桩惊世大阴谋的幕后主使人,因此他被人称作“阴谋之父”。有关他的情况,我们可以从诗人蒲柏写给阿伦·洛德·巴瑟斯特的信中一探究竟。约翰·布朗特并不是个虔诚的英国国教信徒,但他却公开宣称自己是一个信教者。他常常以高昂的姿态和滔滔的雄辩抨击时代的奢华与腐败,议会与党派的不公与软弱。对权臣望族的贪婪更招来了他激烈的攻击和批判。他原来只是个小小的办事员,后来摇身一变成了南海公司的董事,还成为公司里表现最活跃的管理者。不知道是不是从前的这段经历让他形成了挑战贪婪的权贵的习惯,这一点我们只是妄加揣测。但他一定是亲眼目睹了许多上层人物的丑陋秽行,这也许正是驱使他铤而走险的原因之一。

    布朗特先生从监牢中被押解到上院法庭接受审判,经过很长一段时间质询,他始终保持缄默。关于法庭提出的几个关键问题,他说下院的一个委员会已经审查过了,他自己也忘了当时回答的具体内容了,所以在法庭上的供词可能会有所出入。这一次审判中,他拒绝回答同样的问题。他所做的这番振振有词的声明,其实就是对自己所犯罪行最好的说明,议院里因此产生了一阵骚乱。法官又一次强令他回答,有没有卖给任何政府官员或上下两院议员任何数量的股票,好促使南海议案早日获得通过。他却铁了心拒不作答。他说,他怀着迫切的心情希望尽可能地尊重议会的决定,但若是议会一味要自己承认自己有罪,那将是徒劳的。经过数次尝试,议会想使他重新回忆的做法均告失败,于是,布朗特被议会斥退。

    于是,在布朗特先生的同情者和反对者之间爆发了一场激烈的论战。同情者众口一词地说,一向平易近人的约翰·布伦特爵士之所以会一直保持沉默,是因为政府从众施压。斯坦霍普伯爵则对这种传言表示强烈的反对。沃顿公爵的反应则更加激烈,当他演讲之际,情绪是如此地激动,突然间,他觉得一股热血涌上头顶,头脑眩晕不止,一阵昏天黑地之后,他不得不匆匆离开议院回家休息。大夫即刻给他做了杯吸手术,第二天上午,又给他放了一次血,他才稍稍恢复了一些。到了傍晚时分,他忽然陷入了昏迷,在病榻上辗转了一段时间后,突然间撒手人寰。这位著名国会议员的猝死,在英格兰引发了巨大的哀痛。英王乔治一世更是悲痛欲绝,把自己反锁在密室里长达几个小时,以此痛悼这位忠心耿耿的重臣。

    南海公司的会计奈特先生,终于在离列日城不远的蒂勒蒙特落网了。逮到这个家伙的人是侨居布鲁塞尔的英国人利兹先生的一个秘书。由于受到布拉班特公国的庇护,英国虽多次向奥地利法院要求引渡奈特,却都遭到了拒绝。奈特本人也要求留在布拉班特接受审判。布拉班特公国是乔伊斯约的成员国之一,依据这项协约的规定,布拉班特享有一项特权:凡是在该国的土地上被逮捕的罪犯,都应在当地受审。布拉班特公国对自己所拥有的这项特权奉行不移,拒绝把奈特交还给英国。英国司法当局始终不懈地与之进行继续交涉,但这时候,奈特却从关押他的安特卫普监狱逃走了。

    2月16日,议会接到了秘密委员会提交的第一份报告。在报告里,他们说目前的调查工作困难重重,有许多时候是进退维谷。接受调查的每一个人都是满嘴谎言乃至于胡搅蛮缠,竭尽全力粉饰其辞,试图趁机混淆视听。在他们交出的账目中,许多项日都是假造的,在重要项目下没有股东的名字,涂改修饰过的痕迹触目皆是,有些帐页则整页整页地被撕毁。他们还发现,有些非常重要的账本已经被整个地毁尸灭迹了,剩下的不是被转走就是被藏匿起来。从一开始,审查人员就发现,涉案的材料包罗万象,人员背景也是层次不齐。他们只能尽可能地一一加以求证。面对数千人所拥有的总额以十亿计的财产状况,有的可以遵照法律规定来执行,有时则不得不在不合法的前提下采取行动。

    比如,他们发现,在南海法案通过之前,公司账户上有一笔总值为1259325英镑的账目,在相应的账单上却标示着以547500英镑的价格被卖出。这笔账目显然是有人蓄意编造的,目的是为了敦促议会通过该项议案。仔细核对账目,可以发现这批股票是在不同的时间内被分批售出的,价格从票面价格的150%到325%不等。如此大数额的股票在南海公司尚未得到增股授权之前就已开始了买卖,这一点令秘密委员感到十分惊诧。他们当即决定对全部交易内幕进行更细致的调查。南海公司主管、副主管和几名董事受到了严密的审查。结果更教人吃惊,他们发现,南海公司在做这笔账时根本不曾有过如此巨额的股票,当时可以支配的股票总额充其量也不超过3万英镑。

    经过进一步探查,秘密委员会发现,这批股票是由公司伪装成某位购买商为自己买进的。有关文件里既没有公司支出记录,也没定金或抵押品、保证金的收据。由此可见,之所以会出现这种假账,一定是处于这种原因:如果议案未被通过时,股市自然会下跌,反正是买空卖空公司不必承担任何损失。相反,如果股价上升(南海计划得以顺利实施后,实际中的股价果然一路上扬),那么中间的差价就可以令董事们坐收渔利。后来,在议案通过以后,奈特先生即对这笔空头帐做了帐户调整,那些伪装的购买商则从南海公司那里得到了现金收益。

    这笔虚造的股票,主要由约翰·布朗特、爱德华·吉本和奈特三人共同掌管,被分别赠给几位政府高官及其关系客户。南海法案的顺利通过就是这些幕后交易的结果。事后,秘密委员会查出,这笔股票是这样被分配的,桑德兰德伯爵5万英镑;肯达尔女公爵1万英镑;普拉顿伯爵夫人1万英镑,她的两个侄女每人各1万英镑;查理斯·斯坦赫普(财政部的一位秘书)l万英镑;剑刃公司5万英镑。

    另外还有一个重大发现,此前一直坚定地要求严惩南海公司董事的斯坦霍普先生,也卷入了案件其中。通过特纳—卡西沃尔公司的名义,他获取了25万英镑的股票差价收益。为了欺人耳目,账本上凡是涉及到他的地方统统都被涂改掉了,有些地方则改成了“斯坦盖普”的名字。而财政大臣艾斯拉比的行为则更令人不齿,他也在南海公司董事之一的特纳—卡西沃尔公司开立了一个户头,帐户上的股票金额高达794451英镑。不但如此,他还建议南海公司把第二批新股认购金额设计成150万磅,而不是原定的100万英镑。这批新增的50万镑股票由公司自己掌握,没有任何担保。第三次的新股发行方式同样可耻,在艾斯拉比先生名下有7万英镑,克拉克斯先生则为65.9万英镑,桑德兰德伯爵16万英镑,斯坦霍普伯爵4.7万英镑。

    这份调查报告的后面还附有6份重要性稍逊一筹的报告。在末一份报告的结尾,秘密委员会宣布,由于案件中重要的当事人奈特无法到案,后续的调查工作难以继续进行下去。

    第一篇报告被印刷出来,第二天上午就被提交给议会审议。报告的内容引发了一场火爆异常的激烈辩论。最后议会通过了一系列决议,宣布将对南海公司董事会成员以及牵涉其中的议员和政府官员进行严厉制裁。这些人所贪污的款项将全部用来补偿那些受他们欺瞒的公众。他们的行为已经到了了腐败的可耻境地,对国民造成了巨大的危害。此外,关于怎样救济和安抚不幸的受害者,议会还要求秘密委员会拟定一份议案。

    查尔斯·斯坦霍普首先被揪了出来接受审判。他自然是竭尽所能为自己辩白。他强调说,在过去几年中,自己一直都把所有的存款存在奈特那里,奈特先生就相当于他的经纪人,而他为自己买进的所有股票都是照原价支付。至于特纳—卡西沃尔公司替他购买的股票,他本人压根儿就无从知晓。况且,凡是未经他本人允许的情况下,人家打着他的旗号做过的任何事情,都不应当由他来负责,特纳—卡西沃尔公司纯粹是将一项莫须有的罪名安在了他的头上。对于那些行事光明磊落、公正无私的人来说,像斯坦霍普这样悄悄把南海公司的25万英镑收入囊中,却假模假样地宣称自己清白无罪,真算得上是一个声名狼藉的混蛋小人。

    由于有人在背后撑腰,仅以三票之差的多数票,他被议会宣判无罪。他的一干亲友们,如斯坦霍普大人,切斯特菲尔德伯爵的公子等,到处活动,一个个地拜访那些持犹疑态度的议员,鼓起三寸不烂之舌拼命诱导他们做出违背良心的选择,或者投否决票,或者干脆不出席表决会议。一大批昏聩懦弱的乡村士绅们被他们那天花乱坠的游说和怂恿弄得昏头胀脑,纷纷放弃了立场。斯坦霍普被无罪释放的消息像插了翅膀一样传遍了英格兰,立即引发了公众的强烈不满。在伦敦,满怀激愤的人群簇拥在一起举行大规模集会,暴乱和骚动眼看就要发生。尤其是在即将审判那个罪行更严重的罪犯的时候,局势变得更加紧急——人们普遍认为罪魁祸首的艾斯拉比也会与斯坦霍普一样受到包庇,从而得不到应有的制裁。

    艾斯拉比,南海事件的罪魁祸首之一,一度高居要职,主管着英格兰财政。这种高贵的地位和所应当肩负的重任,却并没有能使他坚守住正义与诚实。斯坦霍普被宣判无罪的第二天,艾斯拉比接着受审。那一天,情绪激动的人群从伦敦的四面八方赶来,挤满了议会周边的的大街小巷,连门廊上和走道里站的也都是人。人们个个引颈翘首,不安地等待着判决的结果。关于如何定罪,议会为此花费了整整一天时间。此时的艾斯拉比先生发现自己已变得众叛亲离——他的罪行是如此地罪劣,如此地招人恨,以至于没有一个人愿意站出来帮他说话。最后,议会得出了一个无可辩驳的结论:艾斯拉比为了满足自己无止境的贪欲,不顾一切地促成了南海计划的施行。并且,他还同南海公司的董事们沆瀣一气、狼狈为奸,严重搅乱了金融市场的秩序,他们的行为对不列颠王国的公共贸易和公众信用造成了难以估量的损失。鉴于他那不可推脱的罪责,应当被立即逐出议会,并关入伦敦塔。在今后的一年内,他不得离开英格兰国境。这种限制措施可能将延至下一届议会开幕之前。此外,他必须就自己所有的财产如实招供,并以其补偿和救济那些因为他的罪行而蒙受财产损失的人们。

    这个判决真称得上是顺乎民意,大快人心。尽管判决出台时已近午夜12点半,消息还是飞快地传遍了全城。有些人把屋子里弄得烛火通明,借此表示他们的欢欣和庆贺。次日清晨,艾斯拉比被押送到伦敦塔。沿途之上围观的人群挤得水泄不通,他们一边大声喝骂,一边向他投掷石块和垃圾。仅仅这些还不足以令人们解气,于是他们又点起一堆大火,围着火堆手舞足蹈,以此来宣泄自己的喜悦和欢乐。这一天,伦敦城里到处是一派歌舞升平的节日气象。民众们唱着跳着互相庆贺,似乎在暗示他们刚从某种巨大的灾难中走出,并幸运的逃过一劫。此前,由于斯坦霍普事件,人们已经积累了强大的义愤,如今,借着艾斯拉比被判有罪,这种怒气终于得到了完全的释放。

    为了更有效地安抚民心,议会接着又把特纳—卡西沃尔公司的乔治·卡西沃尔爵士驱逐出议会,同样被囚禁在伦敦塔。同时,卡西沃尔还必须赔偿25万英镑的赃款。接下来,议会开始审议秘密委员会提交的报告中有关桑德兰德伯爵的那部分内容。有关于他的指控,主要是基于从约翰·布朗特爵士那里获得的证据。由于桑德兰德伯爵素来是位高权重,身兼议员、枢密顾问大臣等要职,议会方面有许多人使尽全力也要力保他无罪。于是,议员们搜肠刮肚、费尽周章地想要证明:约翰·布朗特爵士的证词不足采信,尤其是这事关一个大贵族的名誉问题。这位大臣的许多朋友此时都为了他东北西走,到处散布消息说,如果桑德兰德伯爵被宣判有罪,那将可能导致托利党赢得政治优势,进而入主内阁。最后,议会以233票对172票的多数宣布桑德兰德无罪。但是,全体国民却一致认定他有罪,对于这个结果,公众显示出极大的愤慨。大规模群众集会再度在伦敦街头出现,不过这一次并没有造成太大的骚乱。

    就在这一天,老克拉克斯突然猝死在家中。而原定在第二天,议会就将审理他的案子了。这种巧合令人们普遍相信,他是服毒畏罪自杀的。但也有人认为,他并不是死于自杀。事实上,就在五周前,他那在财政部担任秘书的儿子,因为染上天花而不幸夭亡。老年丧子的打击对他而言不可谓不沉重,所以,这些天来老克拉各斯一直沉浸在痛悼之中不可自拔。正是为了这个宝贝儿子,克拉克斯才不惜昧着良心、出卖荣誉,疯狂地聚敛财富。为了金钱他甚至豁出去了一切。然而,儿子一死,他此前所有的努力眼看着灰飞烟灭了。另一方面,他在南海阴谋犯下的罪行渐渐地暴露出来,这更叫他惊惧难安。随着精神压力越来越大,劳克克斯最终突发中风而死。在他身后,留下了总值150万英镑的巨额遗产。这笔钱后来被收归国库,用于补偿那些因南海阴谋而倾家荡产的人们。

    第六节  疯狂的终结

    南海公司的董事们一个接一个地受到法庭的审判。为了安抚那些不幸的受害者,这些“阴谋家”们苦心积虑聚敛的大笔财产被没收,总额竟高达240万英镑。议会视各人的情况而定,分别为他们保留一部分财产,以利于他们洗心革面、重新做人。其中,约翰·布朗特爵士原本拥有的财产有18.3万英镑,最后只剩下5000英镑;约翰·弗洛斯爵士的财产从24.3英镑减到了1万镑;西奥多·简森爵士原先拥有24.3万英镑,现在得以保留5万英镑;爱德华·吉本以前的10.6万英镑财产,现在只余1万英镑;约翰·兰伯特爵士的家产约7.2万英镑,获准保留5000英镑。其他一些罪行较轻的从犯.得到了比较宽大的处理。

    被没收了大部分家财的爱德华·吉本先生之孙,历史学家小爱德华·吉本,在《我的生活与写作》这本回忆录中,对发生在自己祖父时代的这一事件做过详尽的记录和描述。他承认自己并不是一个客观公正的见证者,但是,人们可以发现这样一个事实,任何一位作家都会在自己的作品里表达各自不同的观点和立场。同样,相对于那个灾难性时期里人们所怀有的各种偏见,这位伟大的历史学家所做的有关记述就很有参考和警示价值。单从“兼听则明,偏听则暗”这句古训来讲,他的意见也是值得重视的。

    他写道:“1716年,我祖父被推举为南海公司的一名董事。他的财产账簿表明,在他担当这个致命的职位之前,就应经拥有了36万镑的财产。但是,1720年的那场大灾难一下子改变了他的命运,他30年辛苦劳动的成果在一夜之间烟消云散,什么也没剩下。关于南海事件,关于我的祖父和他那帮董事兄弟们究竟是罪犯还是无辜的受害者,让我来充当裁判者,既不称职,也难免有失客观。当今时代的平衡法必定会谴责那些法庭所做出的粗暴而又武断的判决。这个国家刚被从一场发财梦中唤醒,人们或者说议会,就开始大声吵吵着四处寻找替罪羊了。然而,一个公认的事实是,尽管所有人都认为南海公司的董事们罪大恶极,但这个国家却还没有任何法律条款来制裁他们。莫勒沃斯上议员那苛刻的言辞并没有被采纳,但却引发了一个严厉的法案——一个具有追溯性的法律条文,用来惩罚那些潜在的、可能发生的罪恶。立法机关限制董事们的人身自由,想要获得自由就必须付出巨额保证金。还在他们的人格上强加了一个可耻的记号。他们被迫发誓,把自己的钱财上交,一分也不能少,而且也不能转往国外。”

    “他们对这项惩罚措施大为不满。每一个英国国民都享有为自己申辩的权利,他们请求为自己申诉.然而这一要求却被拒绝了。那些压迫者并不要任何证据,也不听他们的申辩。刚开始,有人提议给每位董事留下八分之一的财产.好让他们应付日后的生活。但却遭到强烈反对,在他们看来,在财富应与罪恶想匹配的原则下,这个比例对许多人来说都嫌太轻,而对另一些人来说可能又嫌太重。于是乎,根据每个董事人品和行为,他们遭到论斤称量般地区别对待。但这并不是一次公正和理智的调查,33个英国人的财产和名誉成了人们茶余饭后津津乐道的谈资。审判程序是如此潦草,由一个没有法律效力的多数投票和几个最卑鄙的秘密委员会委员主宰一切。委员们一句恶意的言论或是一次沉默的投票,都可能转化为乖戾的怨毒或是个人的私愤。给董事们的剩余津贴就这样在言笑之间被改来改去。这种侮辱性的笑话令董事们感到更加难堪和痛苦。”

    “一份语焉不详的报告中说,某位董事曾经牵涉到一项计划,而该计划使一些人受到了损失。这就成了于是就成了判定他有罪的证据。另一个人之所以获罪,只因为他曾大发过一番谬论,说他要用金子来喂马。还有一位在当时声名显赫的财政部人官员,则为他过分的骄傲而摊上了罪名。他居然敢拒绝回答那些高高在上的大人们的种种有关个人隐私的提问。所有董事都在缺席法庭辩论,因此也就不可能为自己做申辩的情况下被判有罪,并被处以在武断的惩罚和没收财产。董事们毕生积累的家当中的大部分都被席卷一空,用来填补政府亏空。这种光明正大的掠夺必然是得到了全能的议会的庇护。”

    “我的祖父并从未想过能得到比他的同僚们更为宽厚仁慈的处置。他的保守主义原则和他与托利党之间的密切联系,无疑使他更受当权者的憎恨。他的名字出现在一份可疑的秘密报告中。纵使他的才干为人所共知,但也没法子求得无知大众的宽恕。在对南海公司董事们采取的首次行动中,吉本先生是第一批遭关押的人之一。而最后的判决也令他从此恶名远扬。他向议会宣誓后上交的财产,除去所继承的祖产之外,总计为106543英镑5先令6便士。议会曾许诺给他两种金额不同的补偿,各为1.5万英镑和l万英镑。当两者需要二选一时候,问题就来了,议员们一致决定那数额较小的1万镑就是他应得的津贴。就这样,在一片废墟之上,我的爷爷,以他偌大的年纪,凭着他那议会也无法夺走的技能和一点存款,骈首砥足、白手起家,重新建立起一座新的不屈的命运之厦。16年辛勤劳动终于得到了丰厚的回馈。还有什么理由叫人不相信,这第二座大厦不比第一座更好呢?”

    在南海公司董事会成员受罚之后,立法机关面临的第二个问题就是怎样恢复公共信用。人们发现,沃普勒先生的此前的计划并不充分,而且已经落到名誉扫地的地步。

    1720年年底,南海公司全部的股票本金被重新计算了一遍。人们发现,其股票总额高达3780万英镑。其中,分派给全部所有者的金额只有2450万英镑,剩下的1330万英镑则被公司以法人的身份所拥有——这就是他们利用公众狂热获得的全部利润。从这些非法利润中,议会拿出800万英镑作为给一般所有者和认购者的分红,红利为每100股33英镑6先令8便士,这一做法已经是相当宽厚了。议会针对南海公司做出了进一步规定,曾向南海公司借款的债务人,如果向其转付过股票或其他抵押品的,可以不附带任何偿付和追索要求。除此之外,只需偿还借款总额的10%即可。当股价暴涨时,南海公司曾以这种方式借出过110万英镑。而此时,股价已经回落到正常水平,这样,公司所回收的债务就只有11万英镑了。

    但是,要想彻底恢复公共信用,还需要很长一段时期的过程。英格兰的公共信用就像是希腊神话里所说的,安着一双羽毛和蜂蜡制成的翅膀想飞越海洋的伊卡路斯一样,飞得太高太接近太阳,粘接着翅膀的蜂蜡一点点融化,最终,他从云端掉入了大海,在汹涌的浪涛中苦苦挣扎。彼时他方才醒悟,自己只能生存在坚实的土地之上。从此以后,他再也不妄想着要一飞冲天了。

    从那以后,在英格兰国内贸易高度繁荣的时候,又曾出现过几次过度投机的风潮。一个成功的计划往往会引得人们群起而仿之。在一个商贸立国的国家里,像这样的成功范例总会招来公众盲目的模仿,从而将那些心中只想着利益得失的人们拖入不见底的深渊,而要想逃出生天,则是难上加难。

    1825年,在英国人的记忆里,同样是一个难忘的恐慌年份,与当年由南海计划造成的泡沫公司性质一样的各种名目的企业、公司,再度沉渣泛起。风光了一阵子之后,留下的仍然是一片泡影。而这一次,也同1720年南海危机时一样,骗子们利用人们的贪欲诈取了大把的金钱,而当秋后算账的那一天来临时,他们照旧难逃法律的罗网。

    另外一次发生在1836年,类似的商业投机再一次卷土重来,差点一发不可收拾。所幸,在灾难恶化之前政府采取了果断措施,英格兰商业再次逢凶化吉。在1845年之前,南海阴谋一直都是英国历史上因大众狂热而引起大规模商业投机风潮的最典型事件。这本书的首次发表时间,大约是在铁路大恐慌(1845年—1846年)爆发期间。

    第三章  金融大投机之郁金香狂热

    哦,公民们,这就是狂热的报应!
    ——卢梭

    第一节  颠倒众生的“绝世奇花”

    据说,“郁金香”这个名词其实是源自土耳其语,本意指螺旋贝,后来则用来指代一种类似螺旋贝的阿拉伯式头巾。

    16世纪中叶,郁金香花被人引入西欧。康拉德·杰斯纳当时曾说过,郁金香在西欧将会产生很大的价值——不料他一语成谶,此后不久,郁金香就在西欧世界引发了一场疯狂的骚乱。

    康拉德说,他第一次看到郁金香是在1559年,是在当时极有名的珍宝收藏名家——赫瓦特律师的奥格斯堡花园里,赫瓦特的一个君士坦丁堡的朋友送给他一个郁金香球茎。当时,郁金香在奥斯曼帝国都城君士坦丁堡早已是风靡一时了。在这之后的10—11年时间里,郁金香变成了富商显贵们争相抢购的珍贵收藏品。其中尤以荷兰和德国两国为甚。阿姆斯特丹的富翁们为了得到它甚至不惜重金派人直接到君士坦丁堡抢购。

    英国的第一棵郁金香,是1600年被人从维也纳带回来的。直到1634年,郁金香的名声一年年的水涨船高。当时在人们的头脑中甚至曾存在着这样的观念:如果一户有钱人家没有收藏郁金香这种奇花异卉的话,那只能证明这家人缺乏品味,情趣低俗。

    当时的许多著名学者,包括蓬皮乌斯·德·安吉利斯和雷顿的利普苏斯在内,都是郁金香的狂热爱好者。这股社会风潮很快想每个阶层蔓延,中产阶级的人士们也加入到这支庞大的收藏大军中来,郁金香成了他们梦寐以求的“仙花”。这股不可阻挡的欲望潮流很快也征服,中下层人们的心,商人、小业主,甚至连经济状况不那么殷实的人也开始竞相攀比,互相炫耀谁家拥有的郁金香品种更多、更珍稀,谁肯为买花而一掷千金。哈拉姆的一位商人为了购买一株稀有的郁金香,甚至不惜散去一半的家财。不过却因此而名噪一时。实际上他的所作所为并不是为了转手卖高价,而只是为给自己家的花房增光添彩,并以此换得人们的羡慕的眼光。

    人们可能会认为,这种花的身上必然隐藏着什么了不起的、迥出群辈的特异之处,才会令素以精明谨慎著称于世的荷兰商人如此垂青,简直要把它捧上了天。说句老实话,郁金香既比不上玫瑰那般地娇艳,也缺乏玫瑰那醉人的芳香,更不要说花期之短了——它的“长相”甚至连甜甜的豌豆花也不如。

    柯雷曾经以优美的诗句大声赞美过郁金香,他这样吟道:
    “郁金香啊,这天降的奇花,
    她妩媚多姿,鲜艳欲滴,
    勃勃生机孕育其中,
    给予人们无比的欢欣。
    世上所有未曾见过的色彩,
    你都可以从她身上找到。
    每一个新品种的诞生
    都令她愈加婀娜俏丽。
    紫色和金色常伴她左右,
    就好像精美华丽的云裳。
    她只想博得众人的青睐,
    那华丽绚烂的美貌,
    足以令群芳失色。”

    这首诗写得纵然不是那么合乎韵律,却也不乏优美的诗意。贝克曼在他的大作《发明的历史》一书中,也曾以极其精确的笔墨想人们展示出了郁金香的美丽,或许,比柯雷的诗句更令人感到赏心悦目。他说:“这世上几乎再没有任何植物比郁金香更加绚丽多姿了。诸多的意外、弱化甚至于疾病,都不能改变它顽强的生命力,郁金香经过种种杂交、培植,依然保持着鲜艳美丽的外表,甚至于品种花色越来越丰富。未经人工培植的郁金香因为处在自然状态中,往往颜色单一,叶片肥大茎干细长。而一旦经过细心培植之后,便旧貌换新颜,深受养花人的喜爱。之后,郁金香花瓣的颜色变得越来越淡,色彩却越来越丰富;花蕊逐渐缩小,呈现出层次分明的样子;它的叶子则呈淡淡的绿色。这时的郁金香,一下子变成了百花的代表,越来越显得娇贵不凡。这在同时也意味着:郁金香成了温室中的珍品,生命力不再像在野外时那么顽强。就算你用最高超的技艺给它最精心的照管,也不能保证一定能将它移植成功,甚至于难以成活。”

    培育和种植郁金香给许多人带来了数不清麻烦和困扰,但他们对此却甘心情愿、乐此不疲,就好像慈爱的母亲总会更加疼惜一个多病的孩子一样。我们必须申明,在这种娇嫩的花儿身上投注如此多的激情,浪费如此多的精力和财力显然是不明智、不正常的。

    1634年,郁金香狂潮席卷了整个荷兰王国。荷兰人此时就好像陷入了集体癫狂之中,甚至于此前一直困扰着荷兰人的工业问题和人口问题,也被大家丢到一旁不管不顾了。当时,无论是富户名流还是市井小民,人人争着抢着加入郁金香买卖的大潮。随着郁金香狂潮愈演愈烈,其价格也成倍的上涨。到1635年之前,许多人宁愿出10万弗罗林(荷兰的一种货币单位)的巨资只为购买40颗郁金香球茎。那时,出于方便交易的需要,人们不得不在郁金香买卖的过程中发明了一种新的计量单位——珀瑞特——一个比“喱”还要小的重量单位。

    有一种叫做“可爱的里夫肯”的郁金香品种,仅仅400珀瑞特重,却被炒到了4400弗罗林;而另一种重量为446珀瑞特的“可爱的范·德·艾克”郁金香,价格则为1260弗罗林;一颗重106珀瑞特的“查尔德”球茎,叫价1615弗罗林;名为“总督”的球茎,也是每400珀瑞特,开价3000弗洛林;在众多的郁金香品种中,最昂贵的当数“永恒的奥古斯都”,就算是最低价也高达每200珀瑞特5500弗罗林。能得到一颗“永恒的奥古斯都“,竟成了荷兰人辗转反侧、思之如狂的追求,就连一颗品质不那么优良的球茎也能卖到2000弗罗林。据说,知道1636年年初,全荷兰一度只有两颗“永恒的奥古斯都”,还都不是最好的品种。其中的一颗为阿姆斯特丹的一位商人所有,另一颗则在哈拉姆。为了得到它们,人们纷纷急不可耐地出高价竞购。一个人情愿将自己名下的一块12英亩的地产来换取哈拉姆的那颗“永恒的奥古斯都”。阿姆斯特丹的那一颗则被以4600弗罗林买走,除了金钱之外,还附送有一辆新马车,两匹骏马和整套鞍具。

    那个时候,一位名叫蒙汀的作家曾写过一本长达1000页的书,细致入微地对这场郁金香狂热做了如实描写。在书中,列举一份商品价格清单,他们全是用来换购一颗名为“总督”的郁金香球茎的:
    2拉斯特小麦448弗罗林
    4拉斯特黑麦558弗罗林
    4头肥牛480弗罗林
    8头猪240弗罗林
    11只羊120弗罗林
    2桶果酒70弗罗林
    4桶啤酒32弗罗林
    2桶黄油192弗罗林
    1000磅奶酪120弗洛林
    1张大床100弗罗林
    1套衣服80弗罗林
    1只银酒杯60弗罗林
    总计2500弗洛林

    对于很多当时不在荷兰的人来说,如果碰巧赶在这一狂潮达到顶峰之际来到荷兰,很可能会因为自己的少见多怪而陷入了尴尬境地。

    《布莱恩威勒游记》一书中就曾记载过这么一段趣闻,说起来简直叫人笑得直不起腰来。有一次,一位因拥有罕见的珍品郁金香而洋洋自得的富商,偶然间从一个水手口中得知了一个好消息,一批贵重货物正要启程被运往列文特。这笔生意在富商看来是势在必得,于是,他把水手交到账房里,准备好好酬谢他一番。作为奖赏,富商慷慨地给了他一条红鲱鱼做早餐,然而,水手却好像格外嗜好吃洋葱。当他看到富商的办公桌上放着一个同洋葱头差不多的东西时,只觉得这“洋葱头”跟桌子上的丝绸和天鹅绒混在一起实在太不搭调。于是,他趁人不备,“嗖”地一下把它塞进了自己的口袋里。一门心思想拿它配着红鲱鱼大啖一番美餐。接着,他就径自回到码头上去享受早餐了。

    等富商发现那棵价值3000弗罗林(或者说280英镑)的“永恒的奥古斯都”郁金香时,已经太晚啦。为了找到它,所有人都被动员起来,一个角落也不放过。也不知道搜寻了多少遍,郁金香球茎却是踪影全无。富商心中甭说有多懊恼了。猛然间,有人想起了那位水手,他也在账房里呆过一阵子。一句话惊醒了梦中人,焦急万分的富商一阵风一样冲到码头上,一伙惊慌失措的仆从们也紧紧地跟在他身后。等他们跑到码头时,发现那个水手正安安静静地坐在一堆缆绳上,津津有味地品尝着最后一瓣“洋葱”呢。这个头脑简单的家伙做梦也想不到,自己享用的这顿美餐竟如此地代价高昂,它足够让船上所有的的人享受12个月的清闲日子。或者,就像那位莫名其妙损失了一大笔的富商形容的那样:“数额足可以为奥兰治亲王和斯坦索德的整个宫廷举办一场豪华晚宴了”。

    在历代秘闻野史里,我们可以看到很多一掷千金或是挥金如土的例子。比如,罗马大将安东尼为了使自己的情人——埃及女王克娄帕特拉——美丽的容颜更为娇艳,而把珍珠磨成粉末溶入酒中;理查德·威庭顿爵士曾为了取悦亨利五世而大肆铺张;当女王伊莉莎白一世主持皇家交易所开幕礼时,托马斯·格雷沙姆爵士也曾在美酒中掺入进钻石,恭贺女王健康长寿……

    相比较而言,这个傻乎乎的荷兰水手享有的这顿早餐,足以和上述的任何一位名人平分秋色,甚至是有过之而无不及。因为,那些名臣武将们的珠宝既没给美酒增加什么不一样的美味,也没给他们的健康带来什么实质上的好处。而这位水手老兄,却自有其与众不同之处。“郁金香配红鲱鱼”这道菜色,简直是空前绝后兼鲜美无比,除了他再没有第二个人有福气品尝得到。最后,这个不幸的家伙被当作抢劫犯,着着实实吃了几个月的牢饭。

    另一个英国旅行家的故事听上去则更加荒诞离奇。这位绅士也是一位业余的植物学家。有一次,他在一个荷兰富翁家里做客,偶然发现了一颗郁金香球茎。这种植物他此前从未见过,这自然引发了这位业余植物学家的极大兴趣。当下,他就决定做个实验。他掏出随身携带的小刀,把这颗郁金香球茎的外皮一层层地剥了下来。为了看个究竟,在他剥到一半时,他又手起刀落把它一切两半,反反复复地研究和记录着这颗奇怪的球茎的每一个特征。

    正在这时,郁金香球茎的主人猛地向他扑来,眼光中闪耀着愤怒的火焰。当主人厉声质问他是否知道自己做了什么错事时,可怜的旅行家满头雾水地回答道:“我在剥一只奇怪的洋葱呀!”“你是个该死的蠢货!”荷兰人情不自禁的大骂道,“它就是‘可爱的范·德·艾克’!”“谢谢。”英国人一边说一边在笔记本把这奇怪的洋葱名儿记录下来,接着他又问:“这些奇怪的洋葱头在你的国家很常见吗?”“你这该死的魔鬼!你该下地狱!”荷兰人恨得咬牙切齿,一把揪住这个惊诧莫名的植物学家的衣领,“走吧,到了市政官那儿,你就全明白了!”说完,这位荷兰人不由他辩解,硬是把他拽到大街上,身后立即跟来了大群看热闹的市民。当英国人被带到市政官那里时,这才恍然大悟,那颗被他拿来做实验的郁金香球茎竟然值4000弗罗林!他这才慌了神儿,可是大错已经铸成,无论他怎样解释辩白,末了还是被关进了监狱,直到他筹集到足够的抵押品赔偿对方的损失后,才得以重获自由。

    第二节  狂潮与深渊

    1636年,珍稀郁金香的抢购风气愈来愈高涨。阿姆斯特丹、鹿特丹、哈拉姆、雷顿、阿克马、霍恩以及其他城市的一批股票交易所中,纷纷出现了郁金香投机现象。股票经纪商们天生就对种种投机事件特别敏感,于是,他们开始大规模地进行郁金香交易,利用他们在股票市场中磨练出来的各种手段操纵这郁金香价格的涨跌。

    最初,这种类似于赌博的把戏吸引了许多人投身其中,乐此不疲。每个人都是信心满满,投机让他们获得了许多好处。郁金香批发商们更是这场赌博的大赢家,他们兴致勃勃地通过操纵“郁金香股票”的升降坐收渔人之利。通过在价格低时低价买进,价格高时高价卖出,许多人在一夜之间成了百万富翁。金光闪闪的诱饵高高地悬在人们的眼前,这种诱惑可真叫人心痒难搔。人们争先恐后地一个接一个涌向郁金香交易市场,密密麻麻地挤在一起,就好像围着蜜罐嗡嗡叫的苍蝇一样。

    每个人在巴望着这股郁金狂潮能永远的持续下去,这样以来,世界各地的富翁们将蜂拥而至。不论面对多么高的天价,都有人毫不犹豫地把郁金香统统收入囊中。到那个时候,荷兰的祖德茨海滩上来自欧洲各地的富豪们将冠盖云集。从此,“贫穷”这个字眼将在荷兰这块乐土上销声匿迹。这样的热潮谁能抵挡得了?贵族、市民、农夫、机械师、水手、贩夫走卒、女仆,甚至连打扫烟囱的清洁工和洗衣妇也都加入到郁金香投机之中。不管贫富,人们争着把自己的财产兑换成现金,然后一股脑儿全投入到郁金香买卖中。这还不够,许多人为了凑足本钱把自己的房产也贱价出售或抵押,导致荷兰的房地产市场一片混乱。很多外国人也被这场狂潮弄得昏头胀脑,各种资本从世界的各个角落涌入荷兰。

    各种生活必需品的价格也随之一路上涨。房屋、土地、马匹、马车,以及其他奢侈品的价格一度居高不下。连着几个月,荷兰仿佛成了财神爷制造中心,凡是来这儿的人都能平步青云,一夜间飞黄腾达。郁金香交易也发展到了极之广泛和复杂的程度,为了方便交易,政府不得不重新制定了一套法律规范来指导交易者。另外,政府所指派的公证员和办事员也开始全程参与到交易过程之中。

    在一些地区,人们基本上对新出台的公证条例所知甚少,但大名鼎鼎的“郁金香公证处”却是家喻户晓的。在一些小城镇里,由于没有交易所,一些郁金香交易者们干脆集中在一些热闹的酒馆饭铺里做起了生意,人多的时候,甚至能吸引二三百人来参加这种奢华的聚餐。为展示自己的“宝贝”,一盆盆开得正旺盛盛的郁金香摆在酒馆的桌子上、过道里,奇花异卉争奇斗艳,足以使人心旷神怡、悦目骋怀。

    不过,一些较为精明谨慎的人终于开始发现,源自人们人们头脑中的狂热绝不可能永久持续下去。随即,富人们不再热衷于购买天价郁金香,而是以高昂的价格把花卖出。看情形,最后因郁金香而破产的人大有人在。这样的说法一夜之间传遍了荷兰,越来越多的人开始恐慌起来,纷纷抛售自己拥有的郁金香。郁金香的价格迅速暴跌,从此欲振乏力。信心被担心和忧心所取代,公共信用一落千丈。这在交易商们心里造成的恐慌尤其巨大。例如,起初某甲计划以每颗4000弗罗林的价格从某乙那里买进10棵“永恒的奥古斯都”,6周之后双方进行交割。不料,6周过后,郁金香的市场价已经降到300或400弗罗林了。某乙预备按时交花,某甲却因价格相差太大而不想履约。就算是卖主说明自行降价也不行。

    每一天,这样的违约事件都在荷兰各地上演着。全荷兰的人们都变得惊恐不安起来,大家纷纷意识到,自己将可能陷入贫困的深渊却求救无门。他们开始大批量抛售郁金香,可现在,即使有人把花价降到以前的四分之一,也没有人肯接受啦。痛苦的叫喊和呻吟在荷兰的土地上回响,人人都在抱怨、咒骂,指责别人成了一种习惯。

    而少数考以前的投机发了大财的人,此时正在悄悄地瞒着所有人把财产转移到国外,或者投资到英国和其他国家的产业上。对于许多曾依靠郁金香投机摆脱了贫穷的人来说,他们前脚刚刚踏出苦难生活的泥沼,可跟着又被打回其中,再也无力挣脱生活所给予他们的枷锁。众多豪绅富户转眼间倾家荡产沦为街头的乞丐。曾经的高官显贵此刻也只能眼睁睁地看着自己的财产一点点消失,百年家业毁于一旦的事情成了家常便饭。

    当第一次恐慌逐渐平息以后,一些城市的郁金香持有者们立即集合起来商讨对策,看能采取什么措施来挽回公共信用。在会上,众人一致认为,目前应该把全国各地的交易商代表召集在一起,前往阿姆斯特丹与政府进行协商,共同制定应对策略。最初,政府方面拒绝参与此事。官员们建议郁金香交易商们在内部制定一些计划,彼此协商解决。

    为此,交易商代表们聚在一起开了几次会。可末了,谁也提不出更好的办法去安抚那些被骗局折腾得倾家荡产的人们,另外,又有谁能有那么大的财力一一补偿损失公众受到的损失?数次会议中充满了抱怨和叱责,火药味儿十足,有几次甚至发展为疾风暴雨式的争吵。终于,在阿姆斯特丹经纪人联合会的主持下,代表们勉勉强强达成了一项协议。其主要内容包括:在郁金香狂热的高峰期——1636年11月以前——签订的郁金香买卖合同一律视同无效;在此日期之后签订的合同,如果买家想终止合约,必须给卖家支付10%的补偿费。

    这一决定本意虽好,却招致了买卖双方的一致抗议。既没有令卖方感到舒心,而那些信守合同准备买花的卖主更觉得十分憋屈。过去,一颗被炒到6000弗罗林的郁金香球茎,现在的开价只有500弗罗林,算上规定的10%的补偿费,也仅仅比这个价格高出100弗罗林。为了讨回公道,法庭里挤满了前来提出违约告诉的郁金香交易商,可是原告、被告却闹成一团,谁也不愿服从法庭的判决——法庭对于种种涉嫌赌博性质的合约一律不予承认。

    最后,海牙省议会不得已接手了这些案件。人们坚信,这个以精干著称的组织能够凭借其果决的作风,迅速找到解决问题的方法,一举重振摇摇欲坠的公共信用。可是,最终的结果却像是悬在天边的那轮明月,看得见却摸不着。在人们热切的期盼中,议员们日复一日的开会商讨。就这样一连拖了三个多月,议会方面才终于做出决定:只有当议会取得更为完善的资料,那时他们才能做出最后的判定。不过,他们同时也建议说,为维护合同法,卖方有必要按照合约规定的价格出售郁金香给买方。而如果买方因感觉损失太大拒绝接受的话,双方也可以经协商以公开拍卖的方式出售郁金香,并由原先的买家负责弥补其中的差价。

    说到底,这其实就是此前经纪人联合会提出的解决方案的翻版,而事实已经证明,在荷兰没有人肯遵从。同样,在此时的荷兰也没有一个法庭能够强迫买方付款。在阿姆斯特丹,事态发展到后来渐渐变得越来越失控了,可法官们却仍然铁了心冷眼旁观,拒绝插手到任何案件中。因为,根据法律规定,赌博合同所产生的债务纠纷法院不予受理。

    就连政府也都束手无策,到了这种地步,这桩悬案也只好被摆在一边了。公共信用短时期内无法恢复,那些不幸的郁金香业主也只好自认倒霉,尽量保持克制和乐观,承受着这场狂潮带给他们的巨大损失。那些见机得较快,从投机中及时抽身的人也得保全了自己。不过,整个荷兰的商业却为此付出了极高昂的代价,甚至于元气大伤,直到多年以后才得以慢慢恢复。

    当时的英国人也差一点就步上了荷兰人的后尘。1636年,伦敦交易所也逐渐放开,允许人们公开交易郁金香。精明的批发商们想尽一切办法要把郁金香炒到最高价,最好是炒到跟在阿姆斯特丹一样高的价位。而在巴黎,批发商也不约而同地制造了一场郁金香狂热。尽管两地的投机商最终并没有得到他们心目中的高额回报,但这一阵子的狂轰滥炸,还是受到了一定效果。郁金香被许多人投以关注的眼光,自然也有很多人为了它花费了不少金钱。在某些阶层的人士中间,郁金香的地位超过了其他一切花卉,一首首赞美郁金香的美丽与芬芳的诗作纷纷出炉。

    然而,郁金香虽然引起过一次人为的灾祸,却仍是荷兰人心目中的宠儿,就算到今天仍是如此。对于收购郁金香这件事,荷兰人是如此地乐此不疲,再高的价钱也抵挡不住他们的那洋溢的热情。如同富裕的英国人为自己拥有的优良赛马和名画而大肆吹嘘一样,富有的荷兰人也以赞美自己拥有的郁金香珍品为荣,二者同样的不厌其烦。

    在当今的英国,有一种情形令人十分费解:一颗郁金香的价钱竟然比一棵橡树还要贵。据说,如果你拥有一颗“泰里斯的拉拉”(这是一种极其少见的黑色郁金香,花色就像黑天鹅的雏鸟一般润泽),那你可就发大财了,它的价值相当于12英亩谷物的价格。

    据《大不列颠百科全书》第三版修订说明中的权威说法,在17世纪的苏格兰,一颗郁金香的最高价格是10畿尼。从那时起郁金香的价格一路下滑。到了1769年,当时在英国最昂贵的郁金香品种是“堂·奎瓦多”和“瓦伦蒂尼亚”,前者价格为2畿尼一颗,后者则为2.5基尼一颗。这在当时可能就算是最低价了。而到了1800年的时候,郁金香的正常价格涨到了每颗15畿尼。1835年,一颗名为“范妮·坎姆伯小姐”的郁金香在伦敦拍卖时竟创下了75英镑的高价。而尤其令人惊讶的是,一位住在切尔西国王路上的园丁,给他拥有的郁金香标出了这样的天价——每颗200畿尼!

    第四章  盲目的圣物崇拜

    一件破烂不堪的古董,
    锈迹斑斑的破烂头盔,
    叮当作响的将军铠甲,
    铁钉铆住的三层软垫。
    历史更远的亚麻铜器,
    追溯到洪荒年代宅前。
    ——彭斯(Burns)

    只要人们心中还存在情感,那么他们对圣物的珍爱就会永远存在。这是一种发自肺腑的,最善良的也是最容易让人激动的爱,无论是多么冷酷无情的人都不能藐视它,无视它。谁能忽视了忠贞不渝的亡妻生前悬在眉宇间的那绺头发,又有谁会不珍视长眠于九泉之下的爱子生前挂在脖子上的小挂件呢?这些都是亲人眼中的圣物,每个人都清楚其中蕴涵着无与伦比的情感。从人类的亲情上来分析,这是试图将活着的人对逝去的亲人的那份挂念从坟墓里“挖掘”出来,这是一种十分珍贵的感情。对于一个早就被人遗忘的生者而言,如果他偶然间在一本书里发现已故亲友写的一些文字,那该是多么宝贵的东西呀!

    如果写下一种思想、一种观念或者是一个名字的手已经变得冰凉,那这本书必然是无价之宝。除了这些让家人珍爱的圣物,还有一些纪念品也是让人们无法割舍的:被人们所欣赏以及崇高美德神圣化的东西,比如一本莎士比亚(Shakespeare)亲手签名的蒙田文集;保存在安特卫普的一把椅子,因为那是鲁宾斯(Rubens)在创作不朽之作《来自十字架的祖先》时坐过的;佛罗伦萨博物馆里收藏的一架望远镜,由于它是当年帮助伽利略(Galileo)完成伟大发现的工具……

    圣物崇拜主要起始于人们有表达爱的需求,付出爱的欲望。源自这种单纯的情感,不知有多少家人、后代表现得迷信和荒诞!人们景仰伟人以及伟人留下来的东西,但他们同时却忽略了这些只是缅怀先贤的一个组成部分。他们对圣徒的颚骨、圣徒的脚趾甲、国王擦过鼻涕的手帕,以及那些吊死过犯人的绳子等圣物趋之若鹜时,已经把自己变成了傻瓜。他们只是一味地从祖先的坟墓里挖掘陪葬品,完全不分有名还是无名,美名远扬还是臭名昭著。无论是大圣人还是犯罪分子,无论是大哲学家还是大骗子,无论是大英雄还是杀人恶魔,无论是忠臣还是贼子,都一样受到顶礼膜拜。他们穿越整个地球,踏遍整个世界,找寻着所有逝者的遗物。

    现在的圣物崇拜开始于十字军东征前不久。那时,第一批朝圣者把上千件圣物带回到欧洲,不知道他们花光所有财物换回来的这些圣物是真的还是假的。人们最推崇的圣物莫过于十字架上的木头了。这种推崇犹如寡妇的头油,永远不会减少。在罗马天主教教堂里,人们传言,是康斯坦丁大帝的母亲海伦太后在去耶路撒冷朝拜的时候,最先发现了“真正的十字架”。狄奥多斯皇帝把这个十字架上的一大块木头送给了米兰大主教圣·埃布鲁斯,大主教用宝石装饰了这块木头,并将之供奉在米兰最大的教堂里,但后来却被匈奴人掠走了。匈奴人在取下镶嵌在木头上的宝石后,竟然把木头给烧毁了。在11世纪和12世纪,欧洲所有大教堂几乎都能见到据说是从真正十字架上砍下来的木头。如果把这些木头集中到一起,足够建起一座教堂了。能够看一眼它们,对一个罪犯来说是最大的幸福,更不要说拥有一块了!如果要想拥有这样一块木头,就必须有足够的勇气去应对可怕的危险。人们普遍认为,这些木头不但可以用来避邪,而且还可以用来治愈顽疾。圣徒们年年都会到供奉着这些木头的教堂里去朝拜,教堂也因此会有不菲的收入。

    救世主的眼泪也是一件极负盛名的绝美圣物。信徒们完全不顾是谁用怎样的方法将它们保存下来的,他们聪明的双眼完全被基督徒给蒙蔽了。只要说这是救世主的眼泪,信徒们就会对之推崇备至。圣母马利亚和圣彼得的眼泪也不难拿到,它们被精心地封存在小匣子里,就好像是虔诚的信徒们将之珍藏在自己的心里一般。除了眼泪,还有别的精致的圣物,那就是耶稣和殉道者的血滴,还有就是圣母马利亚的乳液。头发和趾甲也是十分受欢迎的圣物,它们都能卖上很高很高的价格。

    在11、12世纪,数以千计的朝圣者年年都会到巴勒斯坦去买假冒圣物,并在自家的店铺里销售,多数信徒除此之外再也没有什么其他的生财之道。事实上,很多脚趾甲都是从一些恬不知耻的牧师的臭脚丫上修剪下来的。这些趾甲在被剪下来不到半年的时间里,就会被披上某个圣人或信徒的“外衣”,摇身一变成为某个圣人或者是某个圣徒的脚趾甲,这样就可以卖上如同钻石般的高价了。让人吃惊的是,圣彼得的趾甲出人意料地多产。克莱芒议会时代,在欧洲圣彼得的脚趾甲多到可以装一大麻袋了。尽管圣徒的脚趾甲多得近乎荒唐,但人们却对这些脚趾甲是长在伟大圣徒们神圣的脚上的这个问题深信不疑。

    直到今天,尚贝里的大教堂里也还有一些趾甲在展出。这些展出的圣物让不远千里前来朝拜的信徒们目不暇接。巴黎皇家港有一棵荆棘总是被人精心地照看着,神学院的信徒们更是肯定地说,这棵荆棘是耶稣基督圣首所在的那片荆棘中的一棵。至于它是如何跑到这里来的、是谁把它栽培下来的这些问题,至今没有人能做出合理的解释。这棵荆棘在不同教派的长期纷争中已经远近闻名,更让它闻名遐迩的是它在彼埃尔小姐的身上创造了奇迹——她只是吻了它一下,就治好了长期折磨着她的眼病。到过罗马的旅游者都知道圣梯,也称为圣阶。据传,这是从耶路撒冷朝拜回来的海伦皇后带着“真正的十字架”在比拉多的住所里发现的。

    据传,当年耶稣被带到罗马总督府时,就是从这架云梯上去和下来的。因此,信徒们就认为,脚踏这架云梯就是对神灵的不尊敬,甚至是一种亵渎。也正是这样,他们便怀着无比崇敬的心情将之悬挂在空中。朝圣者必须先虔诚地亲吻它之后,才能用虔诚的膝盖跪在这云梯上爬上爬下。

    欧洲人依然狂热地痴迷于宗教圣物。在西班牙、葡萄牙、意大利、法国以及比利时的罗马天主教教堂里,都还或多或少地供奉着一些圣物,即便是最穷的乡村教堂里,也会吹嘘自己拥有罗马历史上无数的圣人腿骨,虽然这如同天方夜谭般荒诞。尚贝里教堂也在不无夸张地吹嘘说,它那里有查理曼大帝

    各个国家,历朝历代的人们非常渴望拥有圣物,为了拥有一件名人,甚至是大罪人的物件,人们挖空心思,绞尽脑汁。理查德一世当政时,伦敦的平民领袖威廉·郎伯德(William Lambert)在史密斯弗尔德被处以绞刑,当时就有不少人想方设法想要得到他的一绺头发,甚至是他衣服上的一块碎布。艾塞克斯、肯特、索夫克、索塞克斯和周围各郡的妇女们纷纷涌向伦敦来抢走一把他绞刑架下的土。在这些人看来,威廉·郎伯德的头发可以避邪,他衣服上的布可以用来治病。

    再从近一点的年代来看,还有一个那不勒斯渔夫马萨尼罗的遗物的故事。他在暴动之后,被暴动支持者们推到了权力的顶峰。但让人没想到的是,他却比以往的任何暴君都要更加残暴。最终,他被暴民们就像打死一只疯狗一样,打死在马路上。随后,他的无头尸在泥沼里沤了很长时间,夜晚被抛到了护城河里。次日,不知道为什么,人们对他的感情突然来了个一百八十度的大转弯。人们手握火把,找他的遗骸,找到之后还给它穿上了皇袍,隆重地埋在了教堂里。一万名武装士兵和一万名送葬者参加了葬礼。这个渔夫生前穿的衣服还被众人撕成碎片,被当做圣物收藏。他生前住的那间小屋的门板也被妇女们拆下来劈成碎块后,或是刻成肖像,或是制成保存圣物的小匣子和其他的纪念品。他简陋的小屋里的家具也变得比奢华的宫殿里的装饰物更受青睐,他去过的地方也被当成了圣地,人们在那里收集泥土装在小瓶子里,以天价出售或当做护身符随身携带。

    在处死残暴的布瑞威尔夫人时,巴黎人也表现得同样疯狂。马萨尼罗的罪行并未让他的个人形象受到损害,这一点倒是容易让人理解。但发生在布瑞威尔夫人身上的事,除了让人厌恶和鄙视之外,就没有其他什么感觉了。据说,她曾经毒死过7个人。她被判处在格瑞威广场上烧死,并将她的骨灰撒在风中。让人们惊讶的是,在她服刑那天,她还打扮得雍容华贵、美丽端庄。很快,人们便把对她咬牙切实的咒骂演变成了惋惜。接踵而至的是,人们的这种惋惜很快又演变成了崇拜。更让人瞠目结舌的是,她当天晚上就被奉为圣人。她的骨灰被人们一点一点地收集起来,就连烧焦的木头也被哄抢。因为人们相信,她的骨灰能够避邪、驱赶巫术。

    在英国,也有不少人钟情于小偷、杀人犯以及其他重罪犯的遗物或与他们有关的东西。绞死这些罪犯的绳子常常以每英尺1基尼的价格被人买走。绞死过多德博士的绳索、绞死被判叛国罪的佛特劳埃先生的绳索、绞死杀害维尔先生的凶手修泰勒的绳索无一例外地都卖了好价钱。1828年,凶手为考德的玛利亚·马顿谋杀案也引起了公众的极大热情。威尔士、苏格兰,甚至爱尔兰的人们都纷至沓来,参观埋藏过受害者尸体的小房子。人们在离开时都想带点纪念品回去,因此房门上的木块,屋顶上的瓦片,尤其是死者生前的衣物都被拿光了。她的一绺头发竟然卖了2基尼,买到的人还认为自己占了个大便宜。

    1837年,格林那斯在坎伯威尔巷杀害了汉纳·布朗。案件发生后,人们像潮水一般涌向坎伯威尔巷,这使得警察也不得不前来维持现场的秩序。人们都迫不及待地要从这个暴徒的房间里拿走一样东西来做纪念。要不是警察动用了武力,房子的门窗和桌椅当时就会被洗劫一空。

    再早一些时候,还有一个被判绞刑的罪犯的手的传说。人们认为,患有瘰病的人如果被这个罪犯的人手搓一下,就会马上痊愈。这个愚蠢的传说让新兴门监狱的刽子手大发横财,他因此赚到的钱是他之前想都不敢想的。因为大家都认为,这是一只包治百病、能够辟邪消灾的妙手。就是这样一个让人恶心的东西,在查理二世时期却要花10基尼才能买到,但人们居然一点也不觉得它贵。

    1838年春,就在疯狂的汤姆(或叫考特内)即将被枪毙时,圣物搜寻者又开始蓄势待发,准备冲上去抢一件这个特殊人物的东西做纪念。外科医生剪下他的长胡子和头发后,交给了他的信徒。这些信徒将这些胡须和头发奉为至宝。而且还不只是他的信徒这样,就连住在坎特伯雷的富翁和他的邻居们也将他的头发当做无价之宝。他被击毙时倒向的那棵树的皮也被人们疯狂地一条条剥下拿走;一封有他签名的信也需许多金币才能换到;他钟爱的坐骑也和他的主人一起出名了。很多人成群集队地从150英里以外的地方赶到布格顿,竟然只是为了看一眼他被枪毙的地方,或摸一下“马耳他的疯狂骑士”的马背。要不是看管很严,他的尸体也会被从坟墓中挖出来,其骨头也会被当做纪念品拿走。

    在现代的欧洲,最让人们顶礼膜拜的莫过于莎士比亚的桑树、拿破仑的柳树和他在滑铁卢写公文时用的桌子了。比较而言,莎士比亚的桑木鼻烟壶更为稀有,尽管市场上有无数用这位大诗人种的树制成的东西,而且有各种各样打着莎士比亚旗号的木头制品,但毋庸置疑,大多数都是冒牌货。至于“拿破仑在滑铁卢写作公文时用过的桌子”,也大多是冒牌货,因为拿破仑在滑铁卢写作公文时用过的桌子早就被毁坏了。没有一个是真的,就会冒出一打假货。事实上,很多人只是收藏了一根木棍,有的人把自己拿到的那点纪念物刻成别针或是其他饰物,更多的人则是将它制作成了烟灰缸。这些木头在法国被制成精美的糖果盒。不过,无论被制作成什么,都被那些一提起拿破仑就眉飞色舞、双目熠熠生辉的人当做了珍宝。滑铁卢战场上的弹壳、阵亡士兵军服上的纽扣,至今依然备受欧洲人宠爱。就好像旧桌子毁掉后又制作了新桌子一样,人们又开始热衷于如法炮制当时的子弹。很多人还拥有了一颗他们自以为是曾在那个值得纪念的日子里为世界和平做出过突出贡献的子弹——那是在滑铁卢之战12年之后,人们在战场的遗址上挖矿时挖出的首个军火库里弄来的。所有的圣物崇拜者们,你们一定要看好自己的钱包,不要那么轻易地将钱花在滑铁卢村成群结队的导游们的身上!

    在路易·菲力普政权将拿破仑的遗体搬走之前,站在圣赫勒拿岛上孤零零的拿破仑坟墓前,很多旅游者会从拿破仑坟墓前的柳树上折下树枝,将它们带回欧洲的各地去种植。其后,它们和它们的母亲一样长成了大树。因此,圣物的信徒们也就分不清哪一棵才是最初的那一枝树枝长成的,但他们还是对这些大树充满了虔诚。在伦敦的周围,直到现在也还有好几棵这样的大柳树。

    推崇圣物和别的事情一样,有可取的方面,也有不可取的方面。那些真正的伟人的遗物,或者那些关于伟大事件的纪念品,永远都不会褪色,它们对人们会永远充满诱惑力。它们会吸引人们去想象、去探索,它们能够净化人们的心灵。估计很多人都会同意考雷说过的那种美好愿景,他想“坐在用弗兰西斯·德雷克爵士环球航行时乘坐的船的残骸制作成的椅子上创作:

    “我自己现在也偏爱安静,
    和一把椅子差不多,
    但我哪能坐着一辆
    车轮破旧的马车去旅游,
    还眼睁睁地看着它急刹车。”

    第五章  骗子、谎言与近代预言家

    期望把红尘俗世变为一座地狱,
    好使自己的灵魂飞升入天国。

    第一节  耸人听闻的末世天劫

    在许多国家里普遍存在着一种恐惧——对世界末日的恐慌。这其中最值得一提的当属10世纪中期的基督教世界。在当时的英国、法国以及德国等欧洲国家出现了无数的宗教迷狂者。这些人振振有词地宣称声称,《圣经·新约·启示录》中预言的千年大劫就要到来,上帝之子耶稣将在云端对芸芸众生进行末日审判,裁决一切罪恶与善行。这种荒诞不经的说法在产生之初虽然一度受到教会的劝阻,却仍然无可避免地在大众中迅速蔓延开来。

    据传说,最后的审判将以圣地耶路撒冷为起点。于是,公元999年,一大群朝圣者长途跋涉开始向东方进发,准备早日赶到圣城好迎接主的到来。朝圣者越聚越多,很快就组成了一支人数庞大的朝圣大军。其中的大多数人为了虔诚的信仰,不惜变卖掉全部的家产,离开欧洲好去寻觅那最后的栖身之地。另一方面,因为世界的末日就要来临,人们再也无心祈祷了,许多教堂建筑遭到毁弃,连教士们苦口婆心的宣讲也遭到冷遇,往常庄严神圣的布道辞此刻听起来也变得有气无力起来,甚至连上教堂也会被人嗤之以鼻。骑士、市民、杂役,不管身份高低、阶级贵贱,一个个拖家带口,踏上了慢慢旅途。他们一边走一边高唱着圣歌。眼中满含着恐惧,仰望苍穹企盼着能借着上帝之子那神圣的光辉来抵挡灾难的降临。

    等到公元1000年时,更多人加入了朝圣者队伍。他们中的大多数深深为将要到来的恐怖和灾难所困扰,以至于种种自然现象都被他们看作是上帝对他们发出的警告。行进途中隆隆作响的雷鸣和划破天际的雪亮闪电也能令他们长跪不起,人们深信那是上帝的召唤,那声音无可置疑地昭示着:末日审判的那一天马上就要到来。在人们的头脑中闪现着这样的一幕:在电闪雷鸣中大地裂为两半,死亡的阴影将笼罩一切。就连夜幕中划过的每一颗流星,都将会驱使着耶路撒冷的信徒们奔涌上大街小巷,悲泣祈祷着请求主的宽恕。而那些行走在漫漫长途中的朝圣者的表现也无不如此。正如诗句所言:

    “主啊,你可是在宣告大地即将倾覆,
    世间万物将再次排序,
    所有一切将不复存在,
    好像从空中飘飘坠下的纸牌。”

    神甫和牧师也充满了恐惧感,每一颗流星的消逝都会引起一番大惊小怪的说教,现在,人们每日话题的中心就是眼看要到来的最后审判。

    一直以来,慧星的出现都被古人视为一种凶兆以及灾祸的化身,这种观点在现代也在某些地方存在着。不过,这时慧星已不再被看成是世界解体的一种征兆,而是其毁灭的原因。1832年,一次关于彗星的最严重警告震惊了整个欧洲,尤其是在德国,天文学家预告说:地球将要被彗星撞毁。为此,许多人成天生活在惶恐不安之中,唯恐地球和自己都被撞个粉碎。有些人为此而停止了一切活动,工作或者生意也都显得不那么重要了。

    尤其是在大瘟疫流行的时候,那些迷狂者的预言总会招来一大批信徒,人们纷纷相信——世界末日将要来临。越是在灾祸不断的日子里,人们越是容易轻信这样的谣言。1345年—1350年,这5年时间里,整个欧洲大陆陷入一片愁云惨雾之中,人们普遍地认为世界末日就要降临在自己眼前。在德、法、意等国的大城市里,算卦看相、预卜吉凶的江湖术士随处可见。这帮唯恐天下不乱的家伙也纷纷预言:10年之后,大天使的声音将响彻人间,主也将在天上给这个世界做最后的宣判。

    1736年,名震四方的大预言家卫斯登预言说:这一年的10月13日,整个地球将要毁于一旦。这则预言在伦敦市民中造车过了极大的恐慌。谣言一传十、十传百,像失去控制的大火迅速在整个城市上空蔓延,人们成群结队地在13号这天逃遁到艾灵顿、哈姆斯戴德和去他的乡间田野——好方便观看伦敦城的覆灭以及——“世界末日的开始”。在《斯威夫特杂文集》第三卷中的一篇文章《在谣传世界末日审判那天伦敦所发生一切忠实纪事》一文中,斯威夫特对这桩“愚蠢的事件”做了一番讽刺意味十足的描写。

    在亨利八世统治时期,类似的恐惧和类似的情形也同样上演过。

    1761年,接连发生的两次地震再一次向伦敦居民发出了警告,这是流传的预言说第三次地震将会毁灭掉所有的一切。这第一次地震发生在2月8日,地震造成的损失不算太大,只是把利姆豪斯和波普洛几户人家的烟囱给震倒了;而第二次则发生在3月8日,主要发生在伦敦北部地区以及向哈姆斯戴德与海格特的延伸地带。地震间隔恰恰是一个月,这样的一个巧合于是给了人们这样一个印象:第三次地震也会在4月8号这天到来。恰在此时,一个在治安队任职的士兵拜尔——此人曾有精神分裂症病史——坚信4月份还将发生一次大地震。自从他得出这个结论后,整个人就彻底发疯了。他在大街上四处游走,嘴里反反复复念叨着一句话:4月5号这一天伦敦城将要天塌地陷。

    而大多数人则认为,4月1日发生地震其实是更具可能性。成千上万的人有志一同的确信,这一预言迟早会成为现实。于是,他们纷纷想方设法移居到他处以躲避不可测的劫难。随着那个可怕的日子一天天逼近,紧张的气氛也越来浓重,更多轻信的人急匆匆地离开都市去方圆20英里内的村庄避难,然后忐忑不安地等待着伦敦的毁灭。

    在艾灵顿、海格特、哈姆斯戴德、哈洛和布莱克海斯的等地,受惊的难民挤满了大街小巷,为了能得到一个容身之处,他们不得不向房主支付昂贵的房费。而剩下的那些付不起房钱的人,只好唉声叹气地留在伦敦,直到预期的灾难到来的前两三天才逃到郊外的旷野里,满含这恐惧,等待着那天降的巨雷把他们的城市夹劈成碎块,然后再随着扬起的烟尘被抛向半空。

    恐怖的日期一旦开始临近,就连那些一星期前还对预言嘲讽不已的人,也顾不得什么脸面了,赶紧收拾起包袱追着避难人群落荒而逃了。当时,民众都认为躲在河流上是最安全的,于是港口里所有商船上一霎时挤满了喧闹的人群。从4号到5号,连着两个晚上人们都是在甲板上度过的。大家此时都在等待一个瞬间的到来——圣保罗大教堂在震动中颤抖,威斯敏斯特教堂的砖石被狂中飞卷起来,又在烟雾中被狠狠甩落……

    可是,等到最后什么都没有发生,伦敦城依然坚如磐石。第二天,大多数逃难的人就泱泱地返回伦敦的家中了,事实证明,那个所谓的预言简直就是个大笑话。不过还是有一些人认为应该在外地多待上一周,直到确定一切都已安全无虞后再返回伦敦才是更加稳妥。那个疯疯癫癫的拜尔不久之后也遭到人们的冷遇,就连此前曾轻信过他的话的人也认为他是个不折不扣的疯子。为了挽回颜面,拜尔试图做出新的预言,可这回再没人肯上当受骗了。数月之后,他被送进了精神病院。

    1806年,末日浩劫的恐慌再一次攫住了利兹和它周边很多人的心。这次事件有一个十分诡异的背景。在利兹城附近的一个村子里,有人发现:一只母鸡下的蛋上竟然清清楚楚地浮现着“基督将至”这几个字,这可真是前所未有的奇闻!风闻此事,人们成群结队的前来参观,趴在鸡舍旁小心翼翼地鉴赏着这些非同寻常的“神蛋”。大家一致认为,这是上天给凡人的警示,受末日审判的那一天为时不远啦。

    这个消息令所有人感到绝望,就像陷身风暴中心的水手时刻担心着船要沉到海底一样,一些原来不敬神的人立即改头换面,成了虔诚的宗教信徒。他们开始疯狂地祈祷,自以为是的想借此来洗去过去的罪孽。这个把戏很快就露馅了。一天早晨,几个好奇的人听说了传闻以后也想去鸡舍看个究竟,正巧,碰上母鸡它在下“神蛋”。很快,事情便水落石出。哪里有什么“神蛋”?原来,鸡蛋上的字迹是被人用腐蚀性的墨水涂写过的,然后再被人硬塞回鸡屁股里面。当真相传开之后,那些不久前还在虔心祷告和忏悔的人不禁苦笑了——地球依然像以前那样转动着。

    第二节  米兰大瘟疫与“魔鬼投毒”事件

    1630年,发生在米兰的那场大瘟疫至今影响深远,罗伯蒙特在《地中海国家的瘟疫》一书中做过详细的描述。在那场灾难中,占星家和骗子们的预言受到了人们的热烈追捧。在瘟疫流行的前一年,就曾有人预言说过,1628年会一颗巨大的慧星出现。占星家们对此议论纷纷,莫衷一是。有人认为这是一场大战将要发生的征兆,另一些人认为彗星代表着饥馑和荒年。大多数人则一口咬定,彗星那苍白的颜色无疑预示着一场瘟疫就要到来。而在那些瘟疫肆虐米兰的日子里,这种被事实证明了的预言使得他们名声大振。

    那些早在几百年前就已经在民间广为流传的预言,早就在百姓们当中产生了极深远的影响,以至于许多人竟把宿命论当成了一种信仰。占星家们称,这场瘟疫必将给人类带来三重毁灭性的打击。这种充满绝望的预言简直叫所有人为之心惊胆寒。

    有一古老的诗句说:1630年,所有的米兰人将会被撒旦毒杀。4月的一个早晨,在瘟疫尚未达波及整个米兰城之前,一个人偶然注意到:在米兰的几条主要大街上,几乎所有的房屋、门柱上都有着奇怪的、像海绵一样的污点,其中还不断有腐烂的脓液溢出。人们得知此事以后,立刻炸开了锅。全城人竞相奔走相告,警钟也随即当当地敲响了。大家想尽各种办法想找出制造这种异象的元凶,可始终是白费力气。最后,不知是谁记起了那句古诗中蕴含的预言。提议说,这是撒旦降至的讯号,大家如果全都赶去教堂祈祷,那么魔鬼的诡计就不可能实现了。不过,也有很多人认为,这是有人在勾结外部势力王米兰城投毒。还有人把它看做是一种超自然的灵异力量。

    与此同时,致命的瘟疫也在悄悄地扩散着。再加上这件奇事,人们的怀疑和惶恐心理愈加强烈,以致认为自己身边的每一样东西都已沾染上了毒药——井水,田地里的作物和树上的果实,凡是能被人接触到的东西无不如此,甚至于墙壁,街上的人行道以及房门把手……通通变成了不可触碰的禁忌。难以控制的怨恨蒙蔽了人们的心,魔鬼的使者成了他们一心要找寻的目标。怒火同样蒙蔽了人们的眼睛,为了免受愤怒的人群的攻击,很多人只好撒谎说自己看见过魔鬼的使者把魔药涂在门上——否则就会被众人的怒火烧得尸骨无存。

    很多无辜的人就是因此而送了命。有一位七八十岁的老人,视为虔诚的信徒,经常去圣安东尼奥教堂的做礼拜。有一天,他像往常一样来到教堂,刚想用衣襟拂拭一下座位,就听到旁边有人大喊:“他在涂毒”!说时迟、那时快,一群女信徒冲过去将虚弱的老人牢牢抓住。她们大声诅咒着这个“魔鬼”,揪住着他的头发把老人拖了出去。可怜的老人就这样一路跌跌撞撞地被人拖到法庭上,人们指望着能通过他找到魔鬼的使者,可没想到孱弱的老人还在在半路上就给折腾得一命呜呼。

    不只是他,还许更多无辜的人同样惨死在暴怒无知的群众手中。这其中有个叫毛拉的人,是当地的一个药剂师兼理发师。在这股黑白颠倒的风潮中,有人指控说他就是魔鬼的同谋,二者结伴在米兰施毒。他的屋子被狂躁的人群紧紧包围住,更要命的是,人们还在他的房间里找到许多配制好的化学药剂。可怜的毛拉声称那是自己准备用来预防传染病的制剂。可是其他的医生鉴定过后却都宣称这些药品是毒药。这下次毛拉就算跳到黄河里也洗不清了,他被五花大绑吊在架子上。起初,他还费尽口舌想要证明自己的清白。可最终他却在恶毒的折磨之下被屈打成招。他承认自己是魔鬼的同谋,还想勾结国外的势力毒死全城的人。此外,他还坦白了自己是如何作案的——趁人不注意悄悄在门上涂上药膏,在往泉水中洒上毒药。在威逼之下,他还不得不供出了几个同伙的名字,几个人无辜的人也被牵连进来。最后,毛拉和他的同伙们被判处绞刑。他的房子被人给粗暴地推倒,并在废墟上树立起一根石柱,上面刻着毛拉等人犯下的罪行,好以此来警示更多的人。

    正当此类的奇闻异事在米兰接连不断的发生的时候,可怕的瘟疫也在四面八方扩散着。就在人们聚集在一起观看罪犯被行刑时,毫无预料的瘟疫感染了一个人又一个人。不过,这并没有改变什么,民众因病痛而产生的狂躁以及对谣言的轻信程度,与瘟疫的蔓延一样以惊人的速度增长着。不管是多么荒诞不经、离奇古怪的故事,在大众中间都有着广阔的市场。

    其中的一个故事就在众人口耳相传中流传了很长的时间。故事大意是:一个黑漆漆的夜晚,米兰大教堂外已是冷清清的见不到多少人影,只有故事的主人公还在街上闲逛。忽然,一辆马车在他身边停了下来。豪华的马车由六匹白色的骏马牵引着,车后跟着无数穿黑袍骑黑马的侍从。马车上端端正正坐着一个陌生人,此人高大英挺、气质超群。夜风拂过,他那一头乌黑的长发也随之起舞。在他的脸上显露出一种轻蔑的神情。不过这对他的相貌并为造成什么影响,看起来反而更加地高贵不凡,不由得令人肃然起敬。

    当陌生人的眼光投注在米兰人身上时,他竟感到无限的寒意,这就更叫他不寒而栗起来。米兰人说,自己以前从未见过如此深肤色的人。他随即意识到,自陌生人一定是来自另一个世界。对米兰人的惶恐陌生人似乎有所觉察,于是,他和蔼而又不失威严地请让他上车。米兰人此刻根本已经失去了任何抵抗力,还没等他转过身来,就发现已经身在马车上了。马车风驰电掣一般开始飞驰起来,呼啸的狂风迎面而来,最后,在一条大街上停住。米兰人惊奇地发现:大街上熙熙攘攘的人流照旧,却好像没有一个人注意到陌生人一行那神秘之极的车马。由此他得出了一个结论,普通人是看不见他们的。

    这一大队人马在一家商店旁停了下来。商店里面竟然别有洞天,就像是一座巨大的、废弃的宫殿。米兰人同那高贵的陌生人一起走过走了进去,途中他们经过了几间光线暗淡的房间。米兰人发现,其中一间房间的中布满了巨大的大理石柱,石柱上全是有关鬼神在人间制造祸乱的浮雕。虽然整座建筑大半为黑暗所笼罩,不过偶尔会闪现出一丝光亮。凭着这些微的闪光,米兰人勉强辨认出有许多骷髅穿梭其间。这些可怕的骷髅吵吵闹闹地斗着嘴,相互追逐打闹着,或是玩着做山羊的游戏。建筑物的后方,出现了一大片荒凉的土地。在那中央树立着一块黑色巨石。泛着毒气的河水从巨石下方蜿蜒流淌着,发出恐怖的回声。腐臭的毒水缓缓流过田野,污染了米兰所有的泉眼,所经之处全部化为贫瘠的不毛之地。

    陌生人带领着他看完这一切,又把他引到另一个大房间里。这里堆满了亮闪闪的金银珠宝,简直就是凡间的天堂!陌生人想他许诺,如果米兰人选择跪在他脚下向他行礼膜拜,并愿意把一种传播瘟疫的魔药涂抹在米兰全城的房屋上,这些金银珠宝就是他的了。这时,米兰人才彻底弄明白:这个陌生人其实就是魔鬼!想到这一点,他立即开始祈祷,祈求上帝赐予自己抵抗魔鬼诱惑的力量。魔鬼听到他寻求神助的话语,知道了他是在拒绝自己的引诱,于是勃然大怒。米兰人只觉得一阵震耳欲聋的雷声响彻云霄,接着是一道道霹雳般的闪电。他吓得抖成一团,然而一瞬间,却发现自己已经回归凡尘,正站在教堂的走廊上。

    这个米兰人把自己的这番神奇经历一字不拉地向人们述说着,日复一日的讲述令所有人对此深信不疑。有人锲而不舍地想寻找那所神秘的房子,但最后都铩羽而归。而米兰人指出几座类似的建筑物也都被警察搜查了一遍,不过,传言中的魔鬼瘟神却踪迹杳然,自然也没有发现什么鬼屋和毒泉。可人们对这个传说却依然是坚信无疑。还有一些饱受恶疾之困扰的人,由于病魔的折磨而处半疯狂的状态中,于是也纷纷附和那个米兰人的说辞,站出作证说他们也见过那陌生人,听过那辆奇异之极的马车驶过的声音,说那辆来自幽冥的马车三更半夜穿街越巷时发出的隆隆声比雷声还要惊人。

    令人难以置信的是,有很多人主动站出来向大家供认:他们也被魔鬼诱惑了,米兰城里的毒就是他们施放的。于是,全城顿时陷入更加疯狂的骚乱中。这骚乱的范围越来越大,迅速波及开来,就像瘟疫一样到处蔓延。狂乱的呓语和幻想,再加上病痛和精神错乱……越来越多的人经不起这疯狂的重压而自动站出来坦承自己的罪行。他们喋喋不休地谴责着自己的罪恶,这种风魔般地忏悔举动令许多人丧了命。

    1665年发生在伦敦的大瘟疫,同样也在英国人中造成了相似的混乱,人们以同样的狂热聆听着庸医和盲目的信众的妄语。丹尼尔·笛福说,的那时英国人被似真似幻的预言和无穷无尽的假想所包围。五花八门、光怪陆离的幻梦和有关巫婆的传闻甚嚣尘上,简直就是独步古今,古代历书的记载和那些神秘的预言更令人们恐惧到了极点。在瘟疫发生的前一年曾有慧星出现,当时就有人警告说,饥馑、瘟疫和火灾也将相继到来。于是,当瘟疫的迹象刚一在伦敦露头,那些“热心肠”的信徒就开始在街头到处散布言论,宣称伦敦将在几天之内毁于一旦。

    第三节  莫名其妙的“伦敦大洪水”

    1524年,伦敦城一度被一个虚妄的预言所主宰。当时,整座城里满是卜算者与占星术士,每天来找他们算命和预卜吉凶的社会各阶层人士络绎不绝。那是因为在1523年6月上旬,一个惊人的预言在伦敦引发了一场轩然大波。一个术士预言:1524年2月1日,泰晤士河水位将会猛涨引发大洪水,洪水将把整个伦敦夷为平地,成千上万的居民以及他们的住房将遭到灭顶之灾。盲从的人们将这个预言视如圣经一般神圣。一个月接着一个月,在千百遍重复之下,几乎所有的盲从者都对这个预言坚信不疑,甚至还有很多家庭急急忙忙收拾行装迁居到肯特和埃塞克斯两郡。

    1524年年初,移民的数量在一天天地增加。就连在伦敦城里工作的人也撂下了工作,拖家带口、成群结队地步行到15英里以外的乡间去避难。上流阶层的人们也纷纷乘马车或其他交通工具来到同一地点躲避洪水。到1月中旬时分,至少有2万人逃离了伦敦——一座注定将要被邪恶摧毁的都市。许多大户人家搬到了海格特、哈姆斯戴德、布莱克海斯等地的高处去居住。另有一些人在北部的瓦尔勒姆修道院以及泰晤士河南岸的克洛伊顿搭起帐篷度日。圣·波尔索纽斯修道院院长——布尔顿,竟大手笔地教人在哈罗德山上修建了一座城堡,里面储存的物资给养足够两个月之需。

    1月24日,也就是预言中的大洪水来临的前一周,布尔顿率领他的同僚和亲眷们浩浩荡荡地迁到城堡中。由马车装载着的一艘艘木船跟这人群一同到来,这些木船上还都配备有技术精湛的船手,万一洪水漫到这里,人们就可以坐在船上到的地势较高的地方避难了。很多富裕的市民见状艳羡不已,也提出请求想留在此地避难,不过精明而富有远见的修道院长却不答应,只有他的亲友知交以及那些给他们运送食品的人才能在此居住。

    终于,2月1日——决定伦敦命运的一天到来了。太阳依旧在东方升起,可骚动的人群却喧哗不休。人们早早等在高地上,观望着正在上涨的河水。他们一致断定:河水只可能慢慢地上涨而不可能突然决堤,因此当水位超过警戒线之后再转移到安全地带也还来得及。不过,大多数人还是十分谨慎的,他们认为躲到10—20英里以外才算真正的安全。自然,纵使有再多愚蠢的人在它耳边吵吵嚷嚷,泰晤士河也绝不会放在心上,它仍如往常一样静静地流淌着。潮水有规律地上涨着,到了傍晚又准时下落,就如同此前的千万年一样波澜不惊。当夜幕降临时,占星术士们的脸上苍白一片,就如同那些自认为受人愚弄的市民们的脸色一样。到了晚上,河水照旧平静,根本没有一丝想要冲破堤防卷走一切事物的迹象。然而,还是没有人敢放心大胆的去睡觉。为了避免洪水臣夜晚人们不注意的时候悄然而至,成千上万的人留在河边等待着、观望着,一直守候到第二天天亮为止。

    第二天,关于以前那个错误的预言,大大小小的预言家们进行了一场严肃的讨论。所幸,最终他们想出了一个看似合理的说辞好减轻民众的愤怒。他们称,因为一个数字的误差,使他们错误地把这次洪水的日期提早了整整1个世纪。而且,天上的星辰还在正常运行,作为同大家一样的凡人来说,他们会出这样的纰漏也算在情理当中。不过有一点是可以确定的,当代的伦敦人是安全无虞的,大洪水冲击伦敦城的具体时间不是1524年,而是在1624年。这一宣告使波尔索纽斯修道院的布尔顿院长放心地拆除了他的“临时堡垒”。于是,一大批疲倦的“难民”们得以安全返回伦敦。

    第四节  受人尊敬的预言家们

    时至今日,修道院院长斯丹顿嬷嬷的预言仍然为英国乡村很多地方的人所深信。在乡下,她享有极为崇高的声望,几乎是英国所有最流行的预言的权威发布者。不管哪种阶层的人,文盲也好,受过一点教育的人也好,社会各个阶层的人统统把她的话视作“金口玉言”。据说,斯丹顿其人出生在亨利七世时期的纳雷斯堡,为了增强使自己预测未来的力量得到增强,她选择把灵魂出卖给了魔王。虽然在生活中她曾经被人看做是一个女巫,不过斯丹顿却幸运地逃脱了一般女巫可能遭遇到的厄运。后来,在约克郡的克利福德附近,她得以安享晚年,并在睡梦中悄然离世。当地人在教堂后院里为她树立了一座纪念碑,以下是铭刻在石碑上的墓志铭:
    从不说谎的她在此地长眠,
    她的魔力并未从此消失,
    那些预言将继续在世间流传,
    她的大名也将因此而流芳百世。

    “她从未浪费过一天时间,”在她的传记中作者这样写道:“她未曾讲述过任何奇怪的事情,她需要的只是最严肃的思考。人们从英格兰的四面八方蜂拥而来,她名声远扬,众人纷纷前来聆听她的教诲。这些人中,有青年人、老年人,也有富翁和穷汉,更多的则是妙龄少女。人们各自为了那些未来可能发生的事以及与之有关的疑问来到她的身边,然后,再带着她所给予的解答满意地离开。”

    在传记的其他部分,还记载着她在贝弗利修道院院长那里所作的一番预言。在其中她预测到亨利八世将查封修道院;亨利与安妮·波琳结婚;发生在斯密斯弗尔德的异教徒大火;苏格兰女王玛丽被执行死刑等一系列大事件。此外,她预见到来自苏格兰的詹姆斯一世即将接替英国王位,并说道:“灾难即将从寒冷的北方到来。”

    在后,她还做出了另一个预言。这个预言也许在她的信徒的眼中没有能够实现,或许,在本世纪将会有实现的一天。
    这个预言说:
    “巨大的声音回响在天地间,
    当血水与洪水融汇在一起。
    三对雄狮彼此咆哮拼杀。
    波浪轰鸣赛过响雷。
    荣耀归于国王,
    欢乐属于百姓。
    纷争的年代行将结束,
    和平重现在这片土地。
    富足的日子就要来到,
    人们放下武器开始新生活。”

    尽管斯丹顿嬷嬷的声誉素著,可是在英国众多的预言家当中,她的地位并不算是最高。梅林——亚瑟王的导师、强大的魔法师梅林的作为预言家的地位,当属最崇高、最显赫的。这一点无人可比。

    “梅林和他的预测术何人不晓?
    无论岁月更替,
    梅林的思想冠绝今古。
    他的预言无处不在,
    在世间辗转千年,
    直至预言本身归于无迹,
    一切才会真正终了。”

    在斯宾塞那充满了神韵的诗句,精到地描摹出了这位英格兰最著名的预言家的风貌。

    与古往今来所有的神奇人物相比,梅林的魔法显然更具神通。在众多传闻中,他能令天地俯首,日月星辰领命。转瞬间又能令昼夜颠倒、日月无光。而他的一身虎胆,更令所有的敌人望而却步;一提到梅林的大名,敌人无不望风披靡。就算到了今天,邪魔外道们听了他的大名也是噤若寒蝉。先知曾预言过,梅林不是肉身凡胎,也不是那年华有尽时的帝王将相或其他任何人。他所生活的那个充满着仙女和精灵的世界,象征着一种凡人难以企及的虚幻而美妙的人生境界。

    关于梅林的这首诗,在今天已然代表了人们对梅林这个介于仙凡之间的奇人最普遍的看法。而至于他是否是一个真正的名人,还是由那些盲从者根据头脑中那如诗如梦诗的幻想杜撰出来的,如今仍然是众说纷纭。这样的奇人异士也可能真的存在,而其所具有的丰富的知识和洞察力远超过他的实际年龄的看法似乎也算符合情理,就好比弗莱尔·伯坎,此人一生中所掌握的知识同样超乎寻常,就算普通人穷尽一生也无法望其项背。

    乔弗雷,这位出身于莫芒斯的作家首先用拉丁文把有关梅林的诗歌及预言翻译成了散文。梅林,不仅是乔弗雷崇拜和敬仰的人物,同样也为大多数的资深编年史作家们所推崇。查理一世统治时期,在一部由托马斯·霍华德编撰出版的编年史中,关于梅林的生平经历以及他那充满神奇色彩的推测和预言,都有着精彩的记述和演绎。在这部编年史们中,你也可以发现几则假预言,看样子它们都是出自霍华德本人的手笔。不过,由于霍华德的写作手法过于逼真、过于确定,乃至于没人会对那些流传久远的有关梅林的故事发生一丝一毫的怀疑。当谈及英国著名的君主“狮心王”理查一世时,哈霍华德这样写道:

    狮心王镇压了那些造反的撒拉森人,
    给自己赢回了许多光荣的战利品。
    玫瑰(象征英国)和百合(象征法国)最初和睦一致
    却为了分赃不均而虎视眈眈。
    狮心王在海外一路高奏凯歌,
    英格兰国却变得乌烟瘴气。
    狮子将受困于牢笼,
    付赎金再经千难万险,
    才得以重见天日。

    托马斯·霍华德的开诚布公,让他又大胆地将后来发生的那些事原原本本地告诉给读者。现在,让我们来看看,在他的笔下,“篡位者”理查三世是怎样一副德性。他的笔触真是相当犀利:

    一个驼子天生丑,
    满口都是大板牙。
    活像得罪了真善美之神。
    出世脚丫先落地,
    甫出娘胎就遭人骂。
    他本来身居贱位,
    却踩着没膝的鲜血,
    一步一步往上爬。
    荣华富贵与皇位
    令他不顾一切去追求。
    一旦黄袍加身,
    他那可敬的尊荣,
    即便是丑八怪也一样招人夸。
    他自以为已经大权在握
    岂料从国外来的仇敌就要杀回英格兰。

    在这次事件之后的另一个预言说道,从罗马回来的前太子亨利八世将要成为英格兰国王。关于这位君主,预言中有这样的词句:“当他发怒时绝不饶恕任何一个男人,而当他欲火中烧是时也绝不会姑息迁就任何一个女人”。所以,到了他唯一的继承人——伊丽莎白一世时代,“同性恋和赌博也跟着出现了”。

    霍华德大师所处的时代所发生的事件比较接近梅林的预言。梅林死后,众多其他预言家纷纷以梅林的名义预言着英格兰将要发生的事情,这些预言甚至还被散播到欧洲大陆。哈霍华德接着又给读者们留下了一道不解之谜,他:

    “当大麻成熟等待收获的时候,
    英格兰人要小心项上的人头。”

    这个预言是如此的可怕,甚至有人想到应该把他给绞死——那个时代,如果预言无法应验,预言家将面临的就只有死亡。

    关于这则预言他做过如下的解释:“HEMPE这个单词由五个字母组成,而亨利八世则生有五个子女,将二者联系在一起,这个预言就很容易破解了。H指英王亨利八世;E指他的儿子,王储爱德华;M指的是玛丽公主,她在爱德华之后继承了英国王位;P则代表了西班牙国王菲利普,他是玛丽的丈夫,通过往事联姻与玛丽共享英国王位;最后的那个字母E,当然就是后来的指伊丽莎白一世女王陛下了。女王的驾崩所导致的王位继承权问题,可能会在英国造成大量的纷争。”

    后来的事实证明,他所预言的王位纷争并没有发生。霍华德只好无赖的狡辩说:“纵然是如此,事实仍然证明了预言的准确性。在詹姆斯一世国王接任英国国王之后,宫廷内外死亡事件不断发生。不光是在伦敦,整个英格兰在7年后准会发生大乱子。”他的这番话倒与潘特弗兰克特·皮特曾经的一番狂言十分相似,此公曾大胆地预言说,约翰王将遭到废黜,而且不久之后就会死去。不过,约翰王还好端端地活在人世可皮特本人给判处绞刑吊死了。

    在《英国编年史》一书中,科洛顿也对一位所谓的“预言家”做了一番趣味横生的描述。“与此同时”,他写道,“这些英格兰的信徒们替自己树立了一个新偶像——一个所谓的“先知”——彼得·维克弗里德。此人是约克郡人,早年间做过一段时间教士。是一个游手好闲的浪荡子,也是一个利欲熏心的商人。此刻,这位跳梁小丑大模大样地上场了。他首先骗取了众多凡夫俗子的信任,口沫横飞地宣扬说耶稣基督曾两次在他面前显灵。头一次是在约克郡,耶稣幻化成小孩的形状撞进他的怀里;而另一次则是在布姆弗莱特。基督降临之时,口中发出出一连串的低唤声:‘和平、和平、和平’。此外,他还领受了耶稣的一番教导。这番奇妙的经历被他添油加醋地告诉了主教大人。他还以众生万物起誓,只要忠心侍奉耶稣基督,就能领会到天堂的极乐和地狱的哀苦。英格兰王国里将会再次发生变乱,不过,他始终为耶稣而活。”

    “这个道貌岸然的伪预言家还预测到,约翰王的在位时间不会超过下一个耶稣升天节——也就是在1211年5月的某一天(复活节40天之后的那个星期四),而巧的是,那一天正是约翰王加冕13周年的纪念日。那么,还在龙椅上的国王该怎么办?是罢黜还是被送上绞刑架,还是吧皇权拱手出让?关于这些,在先知彼得看来都无足轻重,具体该如何解决也该由英明的国王自己应对,他就算知道结果也不会泄露天机。不过,可以肯定的是是,下一朝的天子既不是约翰王也不是他的子孙。”

    当约翰王听到这个传言时,仅仅说了一句:“哼,该死的巫师,一派胡言。”言罢一笑置之。没成想言者无心听者有意,这个荒谬绝伦的预言被冷落多时的王太子听到了。为防落下把柄授人以口实,太子下令禁止彼得出国,也不许他再胡说八道信口开河。不过要想叫一个整天游手好闲的混混闭嘴,从此不再惹是生非可那么容易。为维护国王的名誉,一干重臣们私下里将彼得悄悄逮了起来,并以诽谤罪将他关入大牢。这一切做得神不知鬼不觉,就连国王也是一无所知。

    然而一波未平一波又起,关于国王的流言蜚语每天都在增加,其中多为荒诞不经的无稽之谈。其中却不乏有心人的刻意安排,同时,一些对现今的政权抱持着深切敌意的人也混杂在其中。群众中总是流传着似曾相识的语句:‘彼德·沃克菲尔德这样说’,‘他曾经做过那样的预言’……如此的喋喋不休,却在人们的口中不厌其烦地散布着。这位先知所说的一切谎言,人们一概坚信不疑。彼得所预言关于耶稣升天节的预言虽然过去了,可它造成的余波还在荡漾。

    有人于是规劝国王:这个荒谬的预言已经为陛下带来了足够多的困扰,此人如此善用言辞蛊惑人心,下院已经有议员在反对朝廷了。同时,在出访欧洲高级教士的推波助澜下,彼得的这个谣言已经越过大西洋传到了法国皇帝的耳朵里,这令他产生了想要侵占英国的野心。要想避免不必要的祸患,应该迅速做出决断。约翰王于是下令将先知彼得及其党羽一并处于绞刑,免得谣言再度死灰复燃。

    第五节  大名鼎鼎的魔法师梅林

    让我们把话题转回到梅林身上。即便是在当今,他的事迹仍在英格兰被广为传颂。伯恩斯曾说过一句名言,形容的是另一位家喻户晓的名人。现在,拿他的这句名言来评价梅林可说是再贴切不过了:

    他的大名宇内皆知,
    法力无边,声威传遍四方。

    起初,他那非同凡响的名声只不过局限在他的出生地,不过,很快就在欧洲的大多数国家里变得脍炙人口起来。1498年,罗伯特·德·伯斯兰写过一本以他为主角的小册子,并在巴黎印刷出版,书名为《生活、预言和奇迹》,其中充满了光怪陆离的魔幻情节与奇思妙想。作者说,梅林的父亲就是魔王撒旦。甫一出世,小梅林就会说话。这种奇怪的场景吓了他母亲一跳,梅林却促使母亲——一个纯洁的年轻女人向他保证,她会把他抚育成人。这正应了梅林家隔壁一个素性不良的邻居的预言。而当地的法官听说了这件奇事后也觉得其中大有蹊跷。于是就把梅林母子唤来讯问。当娘儿俩按时来到法庭上时,这个年幼的预言家的超常智慧着实让他费了一番心力。当法官问他,是否知道他的父亲是谁时,小梅林朗声答道:“是的,我的父亲是撒旦。我拥有同他一样强大的力量,我洞悉这个世界过去、现在和未来所有的一切。”这番掷地有声的话顿时叫法官赞叹不已,并报之以惊喜的掌声,立场登时改变成了梅林的第一个崇拜者。于是,他理智地作出决定,往后再也不去打扰这位令人敬畏的预言家及其母亲的生活。

    在一些早期的传说中,位于英格兰威尔特郡索尔兹伯里平原上的巨石阵,就是魔法师梅林那神奇巨大的力量的象征。据说,在梅林的指挥下,这些巨大的石头在空中盘旋翻滚。为了纪念被萨克逊人残酷屠杀的300位不幸的不列颠部族首领,他特意从爱尔兰把这些巨石召唤来,把它们安放在索尔兹伯里平原上,并将它们排列成现在所能看见的样子。这个巍然耸立的巨石建筑群代表了人们永恒的记忆。

    在卡默森附近的阿布戈威利,预言者居住过的洞穴、湖泊,以及和他们施法念咒的场景仍然历历可见。诗人斯宾塞在他的大作《仙后》中,对此所作的描述是多么地美轮美奂!那些美妙动人的词句是如此地异彩纷呈。假若没有斯宾塞那枝生花妙笔,那些名震不列颠的伟大先知和他们那神奇的预言都将不会流传到今天。

    让我们从《仙后》中摘出一段来,看看梅林在其中是怎样的神通广大:

    睿智过人的先知梅林,
    胜利的果实永远属于他。
    他远离红尘,潜游太虚,
    一探世间究竟,
    在那里,见不到一丝生命的踪影。
    无论何时他总会劝告那些,
    围绕在他身边的精灵。
    如果你们曾漫游世界,
    去看那可怕的风景。
    ……
    湖上的仙后请他赴约,
    她是他魂牵梦绕的心上人儿。
    她让那些精灵劳工逃走,
    而他们等他回来,干活不敢放松。
    就算不能忍受这劳动的艰辛。
    但难敌梅林的威力无比的法术,
    他们俯首帖耳不敢妄动,
    昼夜不停在那儿辛勤工作,
    直到让铜墙铁壁高高耸立。

    第六节  奇人尼克松

    在英国的其他预言家中,有一位与斯丹敦嬷嬷同处一个时代,也有人管他叫“白痴”。此人名叫罗伯特·尼克松。据时下流行的资料看,尼克松的家世平平无奇。他出生在维尔罗伊尔附近的德勒莫尔林区,从小家境贫寒。虽然父母手把手地教他各种耕作技术,可他实在是太过无知和愚蠢了,到后来在干农活方面是一窍不通。乡亲们只好一致公认:小尼克松是个彻头彻尾的傻瓜蛋。由于这个缘故,没人注意到他还拥有一种奇异的预见能力。也因此,早年间他做出的许多预言就此散落在乡间为人所淡忘了。

    尼克松虽然鲁钝,却也有可取之处。一次,在他身上发生了一件引人瞩目的事情,使得一举成为一位声名显赫的杰出预言家。话说罗伯特·尼克松某天在地里劳动的时候,突然停了下来,脸上现出一种奇特而又惊骇的表情,嘴里不住地喊道:“啊呀,迪克!天哪,亨利!喔,错啦,不对,迪克!呵呵,总算对了,亨利,是亨利,亨利得了天下啦!”这番语焉不详的言语叫那些跟他一起在田里耕作的人大惑不解,谁也不晓得他这种大喜若狂的举动是怎么一回事。不过,到了第二天就真相大白啦。原来,尼克松所说的一番疯话是一种谶语,其实是在暗示:在伯斯华兹战役中,英王理查三世在一场蓄意谋杀中身亡。亨利七世随即被继任英国国王。正当尼克松说出这一预言的时候,一位信使急匆匆来到,向群众证实了这个消息。

    这个年轻的预言家的大名很快就在英格兰传开了。不久后,连国王也知晓了尼克松的事迹,希望能跟这位预言家做面对面的交谈。于是,一位皇家信使奉旨将罗伯特·尼克松带往皇官。不过,这位信使却饶了很多弯,花了好大一番工夫方才寻到罗伯特·尼克松的家。在这之前,尼克松已经通过自己那不可思议的力量预知了这一点。他就像个疯子一样在街上乱撞,嚷嚷着亨利王已经派人来接他入宫,他不能违抗圣命,可他感觉到自己会死于饥饿。开始,他所说的这些神神叨叨的话并没有人太在意,也没有在人群中造成什么恐慌。可到第三天,国王派来的信使果然到了,还把尼克松带到了皇宫里。这下子,此前的一切都被证实了,在当地民众的心里烙下深刻的印记。子人们心目中,尼克松——先前的傻小子,原来竟是他们的预言家,是本地最伟大的天才!

    才一到皇宫,尼克松便发现,亨利王神色忧悒,好像正为什么事情所困扰。原来,宫里丢失了一颗十分名贵的钻石。亨利王于是想请预言家占卜一下,看看钻石丢在哪里。实际上,这是国王给尼克松出的一道难题。他亲手把钻石藏了起来,想考验一下这位预言家是否如传言中的那般神奇。不料,尼克松却仅仅以一句古老谚语做了回答:“谁把东西藏起来,谁也一定能找到。”这话叫亨利王大感震惊,原来自己做得一切都被预言家看透了。从那一刻起,国王打心眼里认定了尼克松拥有的预言天才,还命人把预言家所说的一切都记录下来。

    留在宫里的这段日子里,尼克松不时地跟人抱怨说,如果让他一直呆在皇宫的话,有一天他会被活活饿死。亨利国王却想把他留在身边,为了安抚他,国王特意颁布命令,说尼克松想要吃什么想吃多少随他愿意。尼克松这下可以放开肚皮吃了,他的生活过得滋润异常,不长一段时间之内他就吃得膘肥体壮,壮得好似一个豪门家的管事,胖得活像一个总督。

    有一天,亨利王要出去打猎。尼克松赶紧跑到宫门外拦住王驾,扑通一声跪在地上,乞求国王不要留下他,免得他被饿死。国王一听只觉得好笑,并没有放在心上,只是安排了一个官员好好照顾尼克松的生活起居。随后,大队人马就向森林进发了。一等国王离开,宫中的仆从们就开始对尼克松冷嘲热讽起来,说他是个一文不值的蠢货。尼克松自然十分恼火,于是又向那官员抱怨。那位自作聪明的官员为了帮他免受讥嘲之苦,就自作主张把将他尼克松关在国王的密室里。为了保证他吃饱,每天还派人给他送四次饭。

    可就在这个当口却发生了一桩意外,国王派来信使传这位官员立即去温彻斯特行宫候命。官员一刻也没耽误地打马启程,却忘了派人照料可怜的尼克松。三天后,这位官员才回来。这时他才想起被困在密室中的那位预言家。当他慌忙进入密室后发现,尼克松正躺在地板上——已经饿死了,一切正应了预言家此前的做出的预言。

    在尼克松的种种预言中,已经应验的有这么几个,它们发生在老王位觊觎者詹姆斯·爱德华时期:

    “一个伟人来到英格兰,
    在王子们中间取得胜利。”

    “乌鸦啄食着贵族的血肉,
    北方起义只为反抗南方的压迫。”

    “来自北方的雄鸡仓皇逃遁,
    那骄傲的羽毛被人连根拔除,
    他会讥咒自己来到这个世上。”

    对这些预言推崇备至的人无不认为,预言中提到的情形正如正午的阳光一般不容质疑。第一个预言的含义是:库罗登战役中,坎特伯雷公爵打败了爱德华王子;第二个预言寓意着上院议员德文特·伍德、帕姆里努和罗瓦特被处决;第三个是指觊觎王位者詹姆斯·爱德华从不列颠海岸撤退到法国。

    下面的这些预言显然也很耐人寻味:

    “在七、八、九之间,
    奇迹将在英格兰闪现;
    在九到十三中间
    不幸会一一浮现。”

    “可怕的大战就要爆发
    无数财力和人力将会白白耗费。
    英格兰人将重振精神,
    在镰刀和美酒面前。”

    “外国侵略者要入侵英国,
    他们头上的盔帽覆着冰雪。
    灾祸和饥荒随之而来,
    穿着裙子的人被屠杀。”

    “洪水将把奈特维基城冲毁。”

    对于前面那两段预言,至今也没有人得出确切的结论,不过却在政治斗争中的某一份文件被人牵强附会地解释了一番。第三个预言说,头盔覆盖着冰雪的国家将侵略英格兰,这明显是在说英格兰将要与俄国开战。至于最后一段里提及的城镇将要被大水冲毁,却没个人相信。那些预言家在做出一个个预言时,基本上都处于一种安静平和的心态中,可没说清楚那些可怕的灾祸究竟哪年哪月才会发生。不过,我们则认为,要确认这些预言的真假,恐怕从今天算起得过上约两百年时间才能一一证明。

  • 汤因比《人类与大地母亲》37-82

    第三十七章 中华、贵霜、安息和罗马诸帝国

    (公元前31-公元220年)

    从公元48年至公元3世纪初以后。旧大陆文明中心所在地,几乎在政治上全部被囊括在四大帝国之中。它们的版图,以连绵不断的带状,从太平洋到大西洋岸,穿过大陆向各个方向扩展。

    因此,在旧大陆的这一历史发展时期,规模巨大的政治统一,成为一般的法则。尽管如此,在印度次大陆,仍存在着违背这个一般法则的明显表现。公元48年贵霜帝国的建立,使印度西北部得到政治上的统一,也将印度的这部分地区在政治上同大夏统一起来。它使自公元前2世纪初以来困扰印度已久的政治混乱状况,开始发生显著的变化。然而,同公元前3世纪的印度相比,公元1世纪的印度在政治上仍然显得支离破碎。公元前3世纪的印度,除了最南端以外,在政治上整个次大陆都处于孔雀王朝政府的控制之下。

    公元1世纪,从前属于孔雀王朝的心脏地区即今天的比哈尔和北方诸邦,都在巽加王朝的统治之下。在这一地区,巽加王朝于公元前183年取代了孔雀王朝。孔雀王朝过去的首都华氏城,今为巽加王朝的首都。虽然在公元前2世纪中,有一个希腊国王曾一度占领华氏城,但贵霜帝国却从没有向东南方扩张到那么远。此外,孔雀王朝原来在德干高原的更为广大的领土,现在处于另一个后起的王朝统治之下。这就是安得拉王朝(又称萨塔瓦哈纳王朝,公元前230-公元225年)。它象巽加王朝一样强大。但次大陆的南端,象过去一样仍为许多小国统治着。公元40-150年间,曾被安息-塞人从印度河流域赶向东南方的塞人,在乌贾因建立了国家,并得到了安得拉王朝在马哈拉施特拉邦的地盘。塞人在乌贾因和马哈拉施特拉的领地,是贵霜帝国的自治管辖区。但次大陆的绝大部分,仍然处于贵霜帝国的疆土之外。未包括在任何一个帝国之中的另一块旧大陆文明中心地区,就是尼罗河上游。前面已经提到,法老时代埃及南部的政治版图,在中王国时期已经推进到尼罗河第二瀑布上游;在新王国时期到达了纳帕塔,即第四瀑布的下游。公元前11世纪新王国崩溃以后,纳帕塔成为后继国家之一库什的首都。库什在公元前8世纪和前7世纪,度过灭亡的危机幸存下来,并把埃及世界在政治上重新统一起来,把埃及本身置于库什王国的统治之下。在一个至今尚未搞清的时间,库什王国向尼罗河上游扩张,越过纳帕塔,到达了阿特巴拉河和第六瀑布交汇处的右岸,即到达了麦罗埃地区。大约在公元前6世纪,库什王国的首都也从纳帕塔移到麦罗埃。

    比起纳帕塔,麦罗埃具有3个优点。麦罗埃地区尚有降雨,而在纳帕塔则完全依赖人工水利工程供水;麦罗埃有丰富的铁矿石,为冶金工业的发展提供了可能性;第三,首都设在麦罗埃的国家,既占有交通之利,又具有农居之宜(1973年被干旱所毁)。这一地带向西延伸,处于北部沙漠和南部的热带雨林之间,从白尼罗河西岸,一直到大西洋的非洲海岸。

    虽然库什王国未能吞并埃及,但它一直成功地保持独立,没有被第一波斯帝国、托勒密帝国和罗马帝国所吞并。公元3世纪,库什王国似乎是毁灭于非洲蛮族努比亚人之手。

    与此同时,大约自公元前7世纪以来,阿比西尼亚高原北端,就被来自也门(阿拉伯半岛的南端)的移民占领。也门和它在非洲的殖民地均处于四个帝国的版图之外。

    所以,四大帝国并没有把旧大陆文明中心所有已开化了的地区都包揽无余。但是,它的确已将其中绝大部分囊括在自己的版图之中。

    四大帝国相互间的政治关系,主要由政治地图的形态所决定。罗马帝国和安息帝国与中华帝国没有共同的边界,贵霜帝国与罗马帝国也没有共同的边界。由于中华帝国与罗马帝国处于欧亚大陆的两端,因而它们之间并不经常发生直接的关系。诚然,两大相距甚远的帝国中的居民,只是模模糊糊地感到了另一帝国的存在。然而,贵霜帝国和安息帝国,它们各自与所有其他帝国,包括不是直接邻居的遥远帝国,都有相对紧密的联系。这两个帝国都是处于中间地带的大国。它们的商人都是中华帝国和罗马帝国间那种横穿大陆的间接贸易的中间人。如果不是发生彼此间的战争的话,罗马帝国和贵霜帝国就发生彼此间的商业和文化交往。中华帝国与安息帝国间的交往,同样是令人愉快的。但是,罗马人与安息人之间、安息人与贵霜人之间、贵霜人与中国人之间,也发生过一些战争。可这些战争既不长久,也未造成毁灭性后果,更没有导致政治地图发生任何永久性变化。

    公元前102-前40年间,西汉王朝几度攻占大宛。东汉王朝在公元73-102年间,继续不断地攻占此地。公元2世纪,大宛和塔里木盆地,都成为中国和贵霜帝国之间的争议地区。锡斯坦是贵霜帝国和安息帝国的一块争议地区,亚美尼亚则是安息帝国与罗马帝国之间的争议地区。公元63-66年,根据协定,亚美尼亚的国王由安息阿萨息斯王朝派人担任,但是,担任亚美尼亚国王的阿萨息斯人选的头衔,却要使来访的罗马人满意,并在那里由罗马皇帝主持授权仪式。

    安息帝国和罗马帝国沿幼发拉底河及其西段弯道的边界,自从公元前64年庞培把叙利亚变成罗马的行省从而得以确定后,就再没有发生大的长久性的变动。安息人侵入过叙利亚,但他们公元前53年在卡里大败克拉苏军队之后,并没有成功地永久占领此地。公元前36和前34-前33年间,马可·安东尼率军入侵幼发拉底河以东地区,一直打到北部米底(阿塞拜疆)的东北部。公元114-117年,罗马皇帝图拉真企图把亚美尼亚、美索不达米亚和巴比伦尼亚并入罗马帝国的版图。但罗马帝国的这两次军事冒险,都以惨重失败而告终。公元117年,图拉真的继承者哈德良,把罗马帝国的东部边界撤回到幼发拉底河一线。但他保留了罗马帝国进入波斯湾尽头的通道。图拉真曾率军打入波斯湾尽头,并一度占领了那里。哈德良允许西亚国家巴尔米拉自治,并鼓励巴尔米拉在安息帝国西南边界建立不引人注意的贸易站。

    四大帝国由3个通道相互连接起来。尽管人们使用这些通道,但不论是军队、外交使节、商人或者教士,却很少走完中华帝国和罗马帝国之间漫长通道的全程。这两大帝国相距太远,因而主要靠中间人来保持相互间的联系。中间人手递口传他把货物和信息分程传送过去。

    最北边的通道,从中国长城的边防站,穿过欧亚大平原,延伸到已成为罗马保护国的黑海北岸一带的希腊殖民地。一条短些但更累人的陆路,就是”丝绸之路”。这条路从华北平原上的东汉京城洛阳,穿过塔里木盆地,翻过天山,到达乌浒河和药杀水两条河上游之间扎拉夫尚河谷的粟特。从粟特向西,这条路一分为二。不愿踏上安息领土的旅行者,可以经过花刺子模、里海以及高加索山脉和亚美尼亚高原之间的地槽,到达黑海东岸地区。那些甘愿受安息关卡人员和警察折磨的旅行者,可以走向地中海叙利亚海岸的任何港口。最近的路,是经过巴尔米拉和佩特拉这两个”商旅之城”中的一个,再穿越叙利亚沙漠。巴尔米拉是从安息到地中海,与沿波斯湾阿拉伯岸诸港出发这两条路的交叉点;佩特拉则是从安息出发与从也门出发的两条陆路的交汇点。

    对于商业活动来说,海路风险最大,但又获利最多。中经瓦迪图米拉特,连接红海港口苏伊士和尼罗河三角洲最东部的运河,可能是由托勒密二世完成,或者也许仅仅是由他修整的。这条运河,提供了地中海和红海之间的水上直达通道。托勒密帝国具有强大的海陆军力量时,始终控制着红海,并据守着现为厄立特里亚海岸上的滩头堡。它在那里的目的之一,就是俘获非洲象,以用这种象同对手塞琉西帝国的印度象进行搏斗。但在这一时期,定居希腊的埃及人,甘愿把埃及和印度之间的水上贸易让给赛伯伊也门水手。公元前2世纪末,托勒密政府开辟了从埃及的红海港口直通印度河三角洲的航线,使自己回避了赛伯伊人。不知何时,一位在南部海城航行的希腊水手,弄清了季风的季节和方向(”希帕罗斯”也许不是一位希腊历史上的水手的名宇,而是不知其名的希腊小商船船长们所能驾驭的季风的形象化绰号)。

    埃及希腊人对季风规律的发现,使他们从埃及到印度河三角洲的”穿梭旅行”时间大为缩短,也使他们能够直接驶过曼德海峡和印度南端之间的公海,甚至能绕过锡兰,在印度东部海岸的阿里卡马杜尔建立一个货物集散中心。阿里卡马杜尔恰好位于今天的本地治里城的南部,从这里进入内地比西部任何港口都容易得多。

    希腊人在埃及和印度之间的水上交通,在公元1世纪中叶似乎达到了鼎盛时期,也就是说,由于贵霜没有进行侵扰,印度西北部与大夏在政治上实现统一,因而使印度西北部内地所进行的贸易活动更加安全。在同一世纪,印度水手也效法希腊人,学会了径直穿过阿拉伯海的技艺。印度水手可以从印度东部海岸的港口,直接驶过孟加拉湾,到达马来半岛。有些印度船员把船开到克拉地峡,把货物运上岸,然后在暹罗湾和中国海岸将陆路送来的货物装船继续航行。另外一些印度人进行不间断的、环形航行,从孟加拉湾出发,经过马六甲海峡,来到中国海。如同希腊人渡过阿拉伯海以及更广阔的海域一样,印度人穿越孟加拉湾和更远的水域的航行,也是与战争无关的活动。他们的船不是战舰,而是商船;水手不是征服者,而是商人。

    国际贸易必须通过国际语言和文字媒介来进行。公元前31年至公元225年,旧大陆文明中心西半部分,即从贵霜帝国领土到大西洋东岸,流行着3种国际语言,每种语言都以自己的文字书写形式来表达。

    这一地区流行的第一种语言,是阿拉米语。这种语言书写所用的字母系统,象希腊字母一样,来自腓尼基语。这种语言在第一波斯帝国中,曾成为应用最广泛的官方交流媒介。在波斯帝国的希腊人后来建立的国家里,阿拉米语让位于希腊共同语,后者成为官方通用语言。然而,在波斯帝国的塞琉西希腊后继者国中3个后来由伊朗人建立的国家(即安息、法尔斯和粟特)中,阿拉米语重新作为官方用语,并且运用古波斯文的3种变体重新成为文学的媒介:在这一文字发明中,用阿拉米字母书写的阿拉米词语,显然被当作表意符号,然后把它们当作似乎有同样意思的伊朗词语来读。与此同时,公元前最后一个世纪末,阿拉米语几乎完全取代迦南语和阿卡德语,成为原来讲闪米特语的”新月沃地”人的日常用语。阿卡德语在公元前第二千纪中,曾经作为小亚细亚、埃及以及”新月沃地”的国际语言,但此时却几乎完全被遗弃。甚至在巴比伦尼亚,这时也很少有学者去阅读用楔形文字书写的阿卡德语。在叙利亚,迦南语(”希伯来语”)仅仅在礼拜仪式上使用(例如,巴勒斯坦的犹太团体把它作为礼拜仪式语言)。只有在地中海西部地区幸存的腓尼基殖民城邦中,迦南语才仍然是人们日常使用的语言。

    希腊人的统治结束后,希腊语仍为官方所采用。取代希腊人成为幼发拉底河东部政治统治者的安息人、安息-塞人和塞人,都依照大夏的希腊统治者和印度的希腊统治者的先例,发行印有两种文字的钱币,其中一种是希腊文。贵霜皇帝颁发的钱币上,印有希腊字母组成的文字,当然这种语言并非希腊语,而是塞语、伊朗语的一种变体。在大夏这个土著伊朗人与外来希腊人关系格外友好的伊朗国家里,人们用希腊字母来表示当地的伊朗语。例如,贵霜皇帝迦腻色迦(约公元120-144年在位)建造的庙宇中就有这样使用希腊字母的铭文。发现这个庙宇遗址的现代考古学家,把它命名为锡尔克果塔尔。

    在幼发拉底河以西、罗马人取代希腊人统治的地区,用西部希腊(”罗马”)字母书写的拉丁文,是官方的语言文字。但是,帝国政府、其地方代表和代理商,却使用希腊语来同母语是希腊的或者把希腊语作为文化生活语言的罗马公民和被征服者进行交流。除在意大利东南部以外,希腊语已成为意大利的日常用语,排斥了拉丁语。在小亚细亚,希腊语继续占统治地位,排斥非希腊语言。然而,在环西地中海(除讲希腊语的西西里人和拿不勒斯人外)以及跨越亚平宁大陆欧洲部分到多瑙河和莱茵河一带的罗马统治地区里,拉丁文却成为传播古希腊文化的媒介。

    用贸易和语言可以传递其他文化要素–例如宗教和作为宗教表现自身的媒介之一的观赏艺术。旧大陆文明中心从公元前334年至公元220年的宗教历史,是下一章的主题。在目前情况下也许值得注意的是,在公元1世纪和2世纪里,希腊的观赏艺术以及印度的观赏艺术和社会机构,又向新的地区发展。在此期间,在今天的柬埔寨和越南南部,掀起了印度化的第一个高潮;希腊观赏艺术,也同时在贵霜帝国赢得了新的地盘,尤其是在帝国的都城咀叉始罗。咀叉始罗位于地处大夏和比哈尔之间道路上的犍陀罗地区。它的希腊化来自两个方向——从大夏越过兴都库什山脉,以及从亚力山大里亚渡过阿拉伯海。来自这两个源头的希腊影响,力量为什么如此强劲,这两胜希腊化潮流何时开始涌出来的,直到今天,这些问题仍然扑朔迷离。

    印度文化渗透到东南亚,希腊文化渗透到犍陀罗,都是”和平渗透”的例子。希腊观赏艺术在犍陀罗和罗马帝国,有着十分相似的风格。但是,在罗马帝国的一些行省,希腊文化的传播披上了拉丁外衣,希腊化是紧随罗马军事征服之后开始的。

    从公元48年到公元3世纪初,四大帝国囊括了绝大多数旧大陆文明中心。但是,这些帝国彼此的经历以及由此造成的结构,都各不相同。

    中国的东汉王朝(公元25-220年)和公元1世纪至224年的安息帝国,分别是西汉王朝和公元前141-约前31年的安息帝国的翻版。这两个地区都曾经存在过一个相对动乱的时期,但这两个帝国都没有因此而发生具有进步意义的体制变革。过去的政权,经过暂时分崩离析之后,又重新建立起来。重新恢复的政权,并没有焕发出新的活力,反而大为削弱。然而,公元48年贵霜帝国的建立,以及由公元前31年屋大维(奥古斯都)在亚克兴角打败安东尼和克娄巴特拉而导致的地中海世界以往革命和内战世纪的终结,都是真正的新的开端。中国的秦朝第一次取代战国,以及随后建立的西汉王朝政权又取代秦朝,也都标志着新的真正开端的产生。

    在结构上,贵霜帝国和安息帝国有强烈的相似之处,而东汉与罗马帝国则不甚相似。但在这两个中央集权的帝国中,却都存在政治上权力高度分散问题。帝国的很大一部分领土,掌握在自治的地方总督或小国君的手中。他们对帝国政府的宗主权,有时只是表面承认,实质上自行其是。此外,帝国政府及其附属国的权力,实际上都受到了贵族权力的限制。后者直接控制农民,也就是说,直接掌握一切租税来源。

    从理论上讲,东汉政权是中央集权的和官僚式的,而实际上官僚也是土地所有者。土地所有者作为文官的职责与他们作为财产私有者的利益相冲突,而他们则把自己的职责从属于自己的利益。要使中国社会不致崩溃,就必须进行农村土地改革,可是过去西汉王朝和王莽之所以都无法进行这种改革,原因就在于此。唯一能够按照皇帝的旨意实施必要改革的人,却是官僚-土地所有者,他们的强烈私利,只会使这种改革依然化为泡影。

    公元25年东汉王朝建立,公元36年镇压农民起义后,官僚-土地所有者的势力达到了全盛时期,他们滥用职权的行为也更为露骨。在用人方面,任人唯亲,而不是任人唯贤。文官考试也不象以前那么公正可靠了。佃农交给地主的租,与地主自己必须纳的税,根本不成比例。中国北部是中国文明的摇篮,现在又成为紧靠长城的地区。由于华北注册纳税者数量的下降,从而导致了人头税、劳役和兵役的增加。一段时期的无政府状态和内战(公元9-36年),并非注册纳税者数量减少的全部原因。北方的自由农民大量潜逃。有些自由民到大地主的庄园里寻求庇护。作为地主的依附者,他们的经济负担要比作为帝国政府的自耕农轻一些。另一些自由农迁到南方。帝国政府在南方的控制要松一些,那里还有许多处女地等待人们开垦。

    公元2世纪中叶以后,中国官僚地主的权力首次受到宫廷中的宦官的挑战。184年后,道教领导发起的几次农民起义,也打击了官僚地主的势力。然而,胜利者既不是宦官也非农民,而是军阀。军阀同样多为大地主。公元2世纪后半叶的中国,发生了汉尼拔战争以后罗马共和国所发生过的事。由农民提供的兵员越来越少;取而代之的是从贫民中招募的职业军队;职业军队成为将军们的私人军队,因为士兵依赖将军付给他们报酬为生。公元220-222年,东汉王朝终于公开分为3个王国,3位事实上早已瓜分帝国的将军成为三个国王。

    从原则上讲,和同一时期的安息和贵霜帝国相比,公元前31年至公元235年间的罗马帝国,与东汉帝国的共同之处更少。从理论上看,东汉王朝是一个中央集权的官僚制国家,尽管理论上的政体在实践上并没有完全实现。在醉心于权力分散方面,罗马帝国与两个中央集权帝国类似。罗马的”权力机构设置”,总是避免直接负责管理领土。不然的话,如果摧毁这些领土上原来的政府,政治上就会出现真空现象。奥古斯都坚持这一罗马传统,非常愿意恢复地中海世界的秩序。而以往的共和制罗马政府把地中海世界推向了无政府状态的深渊。公元前31年以后,奥古斯都及其继承者,沿袭黎凡特地区先由塞琉西统治,后来(公元前67-前62年)由庞培掌管的先例,试图把罗马帝国作为自治城邦的联合体组织起来。帝国政府要将自己的责任限定在以下两个范围内:第一,阻止和预防帝国内各城邦相互间继续发生战争;第二,保护它们免遭帝国边疆以外敌人的攻击。

    同东汉王朝一样,罗马帝国也缺乏人力。公元前8世纪希腊世界开始的人口激增状态,公元前3世纪在马其顿消失了,公元前2世纪在讲希腊语的国家消失了,公元前1世纪又在意大利消失了。罗马帝国历史的第一阶段(公元前31年至公元235年),帝国域内只有一个民族即犹太民族,在数量上得到明显地增长。公元前586年,尼布甲尼撒在犹大王国大肆清剿,因此,犹太人口一度锐减。但从那以后,犹太人中来了大批从前的以色列王国的居民(以色列王国是犹太的近邻)。犹太人开始向外扩散:最初进入巴比伦尼亚,然后进入埃及,最后扩散到整个希腊世界里。在巴比伦尼亚和公元前63年起在罗马,最早的犹太散居者是被驱逐出国的人们。但大多数犹太散居的人是自愿出走的。在外散居的犹太人成为雇佣军和商人。犹太人公元66-70年和132-135年在巴勒斯坦、公元115-117年在塞浦路斯和昔兰尼加举行反对罗马帝国政府的起义过程中,伤亡很惨重(他们的非犹太人邻居也受到伤害)。考虑到这个因素,就更会感到犹太人的人口的持续增长之显著了。在最后提到的这次起义中,犹太地方团体不仅暂时控制了昔兰尼加,而且把昔兰尼加当作入侵埃及的基地。

    奥古斯都沿着雇佣的职业军队能够防守的地带,将罗马帝国的边疆固定化了。当时的雇佣军队数量很少,少到帝国不断减少的人口仅可以保持军队的战斗力,也少到使其能够被纳税者所养得起的程度。奥古斯都削减了庞大的军队数量(由他本人及其消灭的对手所征募的),减少到防守新的边疆所需求的最少数量。他没有为纵深防御或储存作准备。假使必须集中一支机动兵刀来镇压帝国附属国的某个地方起义,或者进行内战,那就只有调遣当时据守帝国某段似乎没有受攻击的危险边界的边防军了。上面提到的犹太人3次起义和公元69年及193-197年的两次内战,都需要罗马集中大量的机动兵力来对付。

    在南方,罗马帝国发现沿撒哈拉沙漠和阿拉伯沙漠北缘,有着”天然的边疆”。沙漠之间沿尼罗河而下,直通努比亚下游的狭道,并不难据守。在欧洲大陆,奥古斯都的养父尤利乌斯?凯撒,把罗马帝国的边疆扩张到莱茵河;奥古斯都又把边疆延伸到多瑙河;公元70-138年间,奥古斯都的继承者封锁了莱茵、多瑙两河上游之间的缺口,在莱茵河上游的柯布伦茨和多瑙河上游的雷根斯堡之间,修造了一道人工防御土墙。将不列颠岛更大部分征服并并入帝国之中后,海边又构筑了类似的人工防御土墙。公元122年以后,哈德良皇帝修造了从泰恩河到索尔韦一带的防御墙;公元142年以后,泰特斯?安东尼?庇护皇帝修筑了从福斯河的弗恩到克莱德河间的防御墙。同中国长城的长度和体积相比,罗马的这些人工防御土墙既短又不牢固。罗马的防御土墙,只是不列颠的大海和欧洲大陆提供的天然壁垒的补充。可是,河流壁垒的”天然性”是靠不住的。虽然在可以航行的季节里,罗马帝国的小舰队游戈于两条大河中,但不管什么季节,人们都能轻而易举地渡过河去,尤其在天寒地冻的冬季,两条河结出厚厚的冰层时更是如此。况且,莱茵河至多瑙河的界线,是黑海和北海之间最长的界线。

    奥古斯都试图通过把边界从莱茵河向前移到易北河,来缩短罗马帝国在欧洲大陆的河流边界。但是,由于帝国的人力在前两个世纪的经济和政治革命中大为减少,因而不足以完成这样一个任务。如果要顺利完成这个任务,就会导致必不可少的军事人员数量的锐减。公元6-9年亚得里亚海和多瑙河之间新征服的潘诺尼亚人的起义,和公元9年新征服的德意志人对莱茵河与易北河间3个罗马军团的歼灭,使奥古斯都的这项工程无法实施。发生上述事件后无法继续进行易北河边界工程,表明此时罗马帝国的人力资源的匮乏(这一点恰与汉尼拔战争之前和战争中人力资源的丰富形成强烈对照)。人力资源方面的缺陷,还在继续表现出来。罗马帝国开始了对不列颠的征服和兼并,但无法完成这一任务。与汉武帝一样具有雄才大略的罗马皇帝图拉真,于公元101-106年成功地征服并吞并了达契亚(特兰西瓦尼亚)。但是,他在公元114-117年却无法将帝国的东部边界向前扩展,即使已到达了里海和波斯湾海岸边,也不得不很快后撤。

    罗马帝国最大的政治成就,就是把被征服者逐渐转化为罗马帝国公民。这一政策从公元前4世纪开始推行,它是罗马首先把意大利半岛、最终把整个地中海四周地区成功地并入共和国中的原因之一。这一政策并非始终得到贯彻。曾经有过犹豫和暂时中断实行的时期。尽管如此,这一过程还是在公元212年臻于完成,此时,除了剩下一小部分从前被帝国剥夺了公民权的人以外,所有的人都被赋予(或者说强加)罗马的公民身份。

    罗马授予被征服的异族人以公民权的慷慨大度,与公元前5世纪雅典的心胸狭窄,恰成鲜明的对照。这一强烈对照,在一定程度上说明了为什么正是罗马而不是雅典完成了地中海地区政治统一的原因。然而,政治身份的平等,并不能补偿经济和社会的不公正。罗马推动其领土扩张的其他有效政策是,保障富人的既得利益,反对穷人的要求。公元前31年至公元235年间的罗马帝国,伴随着政治上公民权范围不断扩大的,是富人与穷人之间的鸿沟的不断加宽。法律规定的不平等增加了,除了所有权的不平等外,还存在收入以及精神和物质生活标准的不平等。在这一时期,旧大陆文明中心两端的两大帝国里的社会不公平,都在不断地加深。

    前面已经提到,汉朝儒家官僚地主不能使自己的私人利益服从于他们的公共职责;在东汉政权统治时期,这个地位牢固的”体制”的道德缺陷,比由于这种道德沦落而垮台的西汉时期,更加露骨和无耻。尽管如此,汉朝儒家文官机构,在当时的世界上仍然是最好的。如同长城远远胜于建在德意志和不列颠的罗马帝国的小土墙一样,汉朝文官机构也大大优于奥古斯都建立的罗马文官机构。

    罗马城邦,是用远远不足的行政管理人员来开始其扩张的生涯的。和公元前最后一千年地中海地区大多数城邦(埃特鲁斯坎、希腊和腓尼基)一样,罗马是由每年选出的一小批非职业政府官员统治的。但是,选举产生的官员数量的增长及其临时在位者的任职期限,根本不能适应罗马不断扩张所带来的行政管理要求。罗马政府补救这一行政管理不足的主要手段,就是让公民的私人团体帮助提供军需品和征集赋税。这些团体拥有管理当时希腊世界的所有专长。他们雇佣了有教养的奴隶和自由民来完成这些管理任务。

    奥古斯都从其养父尤利乌斯?恺撒那里受到启发,竭力使这些私人团体无法靠损害罗马政府、罗马公民及附属国的利益,来谋取不正当的私利,但他照样沿用这些组织。他大规模地建立了一种由奴隶和自由民组成的”恺撒户”,作为他个人的行政管理基础。对于原来按政府规定垄断最高两个级别的、薪水丰厚的文官职位的罗马贵族”权力机构”及其门客,奥古斯都也给予了补偿。罗马这一官僚机构,没有中国官僚机构那样强的内聚性。尤其是,它没有遵循一种官方的世袭的哲学,并由此而凝聚在一起。当然,奥古斯都的这个帝国文官机构中,使用的是由狼崽变成的牧羊狗;但它比安息和贵霜两个中央集权大国那种原始的、临时凑合起来的帝国行政管理机构,还是要强得多。

    最后,罗马帝国的文官系统不得不承担一项奥古斯都原来没有为它设想的任务。对于构成帝国政权细胞的城邦,奥古斯都一直没有打算直接实行地方行政管理,他只是想对它进行监督。因此,开始时帝国机构的人员数量一直很少。奥古斯都和平的缔造者没有预见到,帝国各个城邦的公民,当他们向邻国发动战争的历史特有的主权被剥夺之际,就会丧失对由他们的社团组成的地方政府的兴趣。公元2世纪初期(地中海世界的一个虚假的表面的黄金时代),地方政府开始陷入混乱,帝国的中央政府不得不对这一广大地区的行政工作,不情愿地直接进行干预。

    公元1-2世纪期间旧大陆文明中心大多数地区都已分裂的各个帝国,在公元3世纪又遭到一场灾难的突然侵袭。

    罗马帝国忍耐并奇迹般地度过了半个世纪(公元235-284年)的大混乱。这场混乱本身,则是在此之前虚假黄金时代(公元96-180年)令人惊异的结局。在罗马帝国这个令人绝望的半个世纪里,帝国的货币贬值到毫无价值;外域的入侵者在帝国的领土上横行,大肆劫掠;公元250年,德西乌斯(249-251年在位)皇帝战败,并被哥特人杀死;公元260年,瓦莱里安(253-260年在位)皇帝与波斯打仗时战败被俘,并于监禁期间死去。就象公元220-222年的中华帝国一样,帝国本身分裂成为3个彼此独立的部分。罗马的财政极度崩溃,一度以货代款缴税,贸易也开始以物物交换的方式进行。这在地中海世界,是一场非常罕见的经济倒退。因为,这里公元前7世纪就发明了造币,在此很久以前,就已经一直使用金银作为交易的度量和媒介。

    公元224年的伊朗,一个小国国王在法尔斯突然篡夺了皇权。这是公元前550年一次类似政变的重演。公元前6世纪中叶,米底皇帝阿斯提亚格斯突然被推翻,他的波斯诸侯居鲁士取而代之。公元224年,波斯诸侯阿尔塔薛西斯推翻了安息皇帝阿尔达班五世,并取而代之。伊朗和伊拉克的帝国新主人们,把下了台的前任们称之为”鸡零狗碎的君王”,以示对他们的轻蔑。然而,实际上安息帝国松散的结构又被第二(萨珊)波斯帝国接了过去,本质上没有发生任何变化。与阿萨息斯在安息帝国最后阶段衰朽不堪的行为相比,萨珊对其邻国的行为更加富有进攻性。但是,在运用中央政府对地方贵族的权威方面,萨珊也不比阿萨息斯强多少。

    萨珊对罗马帝国的侵略,在公元284年罗马帝国复兴以后,引起了严重的不利后果。公元298年,罗马政府迫使萨珊皇帝纳尔萨,把沙普尔一世(公元242-273年在位)过去割让的全部罗马领土退还回来,并达成关于把底格里斯河上游左岸5个亚美尼亚省份割让给罗马帝国的协议。萨珊成功的侵略,结果又走向了自己的反面。阿尔塔薛西斯从阿萨息斯皇帝阿尔达班五世那里夺取了整个帝国,他又通过征服贵霜帝国而扩大了新建立的帝国的版图。然而,他也许只不过把自己的宗主权强加于贵霜帝国之上,却没有完全消灭它。因为,位于喀布尔河谷贵霜帝国的残余部分幸存下来,或者重新出现。贵霜帝国这个残余部分,经受了公元5-6世纪民族大迁徙中匈奴人的猛烈侵袭,直到11世纪才最后灭亡。

    公元220-222年,东汉帝国分裂为3个征战不已的部分之后,除了公元280-304年间出现过一次短暂的重新统一科,中国从公元220-589年一直处于政治上的分裂状态之中。从公元220年开始,中华世界出现了自从公元前221年政治上初次统一以后最长的政治分裂时期。

    在政治层面上,从公元48年开始的差不多2个世纪里,旧大陆文明中心的绝大部分都被囊括在四大帝国之中,它预示着将来在整个地球上一切文明中心政治上出现统一局面的可能性。四大帝国本身是短命的,尽管后来它们又以一系列的化身重新出现在地图上(中华帝国的化身是最为庞大的)。然而,四大帝国在自己短暂的生涯中,却在宗教层面上,为人类历史留下了最伟大的印记。

    第三十八章 旧大陆文明中心诸宗教与哲学的相互影响

    (公元前334-约公元220年)

    “痛苦是知识的代价”。这一格言是雅典戏剧诗人埃斯库罗斯在公元前458年创作的一出戏剧中的台词。这一年,雅典正在两条战线上发动一场不计后果的战争。这种鲁莽行动预示着一个”混乱时代”的即将来临。这样的时代使人遭受苦难,但也给人以智慧。它是公元48年到220年间并存于旧大陆文明中心的四大帝国中每一帝国得以建立的前奏。古代希腊世界的”混乱时代”从公元前431年延续到公元前31年;西南亚和埃及的这一时代从公元前745年延续到公元前522年,经过一段喘息,又从公元前334年重新开始,直到公元前31年;印度的”混乱时代”从公元前约500年延续到公元前322年,喘息片刻后又从公元前约200年重新开始,延续到公元48年;中国的”混乱时代”从公元前506年延续到公元前221年。

    在第25章,我们已经对5位伟人进行了一些叙述。早在公元前6世纪,他们就对人类共同遭受的苦难作出了各自的反应。

    他们每个人都同本社会的传统宗教发生了决裂。这种决裂有时是猛烈的,有时又是较为审慎的,但每一种决裂都是革命性的。”以赛亚第二”象7个世纪以前的阿肯那顿一样毫不妥协地宣称,只有一个唯一的神存在。(犹太国王约西亚已在犹大王国废除了除耶路撒冷神殿以外的其他一切圣地,并将从前与耶和华共享祭祀的一切男女神祗逐出圣殿。这种做法为”以赛亚第二”铺平了道路。)琐罗亚斯德将传统的伊朗众神殿中所有的神祗一概贬为魔鬼,只有”伟大的灵魂”阿胡拉?玛兹达除外。毕达哥拉斯专横地试图改变古希腊的生活方式,以致于激起了一场反革命。在印度,佛陀和大雄(耆那教的创建者)对印度传统的雅利安众神殿中的诸神和种姓制度一概弃之不顾。孔子宣称(他也可能确实相信)他正在恢复中国传统制度的本质;但是,当他将”高贵”解释为一种道德品质,而不是世袭特权的时候,他实际上是发动了一场道德上的革命。

    所有这5位预言家都摆脱了传统宗教的社会结构,并与自然现象背后的”终极精神实在”建立了直接的个人联系。5人之中只有琐罗亚斯德和”以赛亚第二”2人认为这种”终极实在”是一个与人同形的人格,他与其他被降格、被遗弃的男女神祗只在两个方面不同:他是独一无二和无所不能的。而且,在琐罗亚斯德的神学中,甚至阿胡拉?玛兹达的这两种品性,在他对尚未征服的邪恶势力进行的战争取得最后胜利之前,也只是潜在的。

    随着旧大陆人类苦难的不断延续和日益加剧,就导致了与这种”终极实在”建立联系的需要。这种”终极实在”不仅应是直接的,而且应在感情上使人得到满足。这就要求保留或者恢复这样一种观念,即”终极精神实在”必须具有人格,与人同形,至少具有人的某种品性。崇拜者渴望成为一个信徒,渴望对”终极精神实在”的仁慈和力量建立信念,这种渴望又与人类对这种”精神实在”关心信徒的幸福、无疑将会把他们从邪恶中解脱出来的向往正相一致。满足这种感情上的需要,只能是在两种人格之间建立一种关系:一方是人类,另一方就是神。

    在中国、印度和古希腊世界,”终极实在”的本质与人同形的观念,在哲学家面前早已一蹶不振。感情上对苦难的反应现在要求恢复”终极实在”传统的人的品性。琐罗亚斯德教和犹太教中一直保留着这种观念。在印度和中国,当地哲学自相矛盾地产生出了一些新的宗教,使有神论得到了复兴。而且,它们不很明确地倾向于一神论,而不是象犹太人那样成为不妥协的一神论者。在地中海区域,在相互竞争的各种地区宗教中,有神论也以模糊地主张一神论的印度式和中国式的宽容风范得到了复兴,只有最终的胜利者不是这样。获得最终胜利的基督教继承了母教犹太教宽容的一神论,但它吞没和同化了被战败的宗教对手,就此而论,它又背叛了犹太教的一神论。所有这些成败的宗教都不是犹太人的宗教。

    在大约2个世纪中,四大帝国曾经次第相连,横跨整个旧大陆。公元3世纪,四大帝国相继崩溃。但到3世纪,旧大陆人类长期的精神努力却产生了历史性的后果。在四大帝国中的每一个帝国,当地的宗教和哲学都培育出一种全然不同的新型宗教。新型宗教来自旧的宗教,历经选择、传播和调合。传播新型宗教的代理人是那些移居国外的人们。最早的移居者是那些遭到放逐的人,随后是帝国创建者派往被征服国家的驻军,最后还有商人。永久或暂时迁居他处的人们尽可能地带去了他们祖传的生活方式,在所移居的地区,他们自动地成了这种生活方式在异国多数居民中的传播者。移民们也可能有意识地、熟练地担任了传播他们所带去的精神财富的工作。最后,新型宗教受到各自的教士们的尊崇,并由传教士传到更远的地方。这些教士和传教士是职业性的,尽管宗教活动不一定是他们的全部工作。

    人们需要有某种宗教来帮助他们的心灵对付一个混乱的年代。在有些地区,当地宗教显然无法满足人们的这种普遍要求。外来宗教的传播、改变及其与当地现存宗教的融合就显得至为重要。这些处于精神饥渴状态的地区是两个彼此远离的地区,即希腊世界和中国。

    新型宗教的传播可以满足当地的要求。一些新的交往手段的出现使得宗教传播更为便利。这是战争、灭绝政策、帝国主义和世界性贸易的积极后果。长长的海陆通道将旧大陆诸文明中心的四面八方联结起来。出现了各种”混合语言”:例如雅典的希腊共同语,阿拉米语,三种萨珊时代的波斯语,印度方言,公元2世纪在北印度、3世纪在德干地区取代了各地方言的新梵语,以及一种汉语共同语(汉字和口语的标准化形式),公元前221年中国获得政治统一后,全国各地的官员商贾都使用这种语言。第三种交往媒体是造型艺术。这种媒体种类众多。四大大帝国次第相连、并肩共存的年代中尤其有效。在这个政治上相对稳定、和平的短暂年代,旧大陆诸文明中心之间处于一种不同寻常的相互传导的状态中。

    在由给人以感情满足的新型宗教而产生的选择、扩散、改变和调和的过程中,古希腊的方式尤其成效卓著。在地中海流域,希腊的语言、希腊造型艺术和希腊哲学一道,对与基督教相互竞争的各种宗教,以及最终征服和吞噬了这些宗教的基督教本身进行着”加工”。希腊文化在东部方向并没有以任何形式使遥远的印度直接感到自己的存在;但在印度西北部,希腊式的造型艺术却为大乘佛教提供了一种载体,正象在地中海流域它为基督教以及基督教的那些失败的竞争者提供了载体一样。当大乘佛教从印度西北部通过乌浒河–药杀水流域和塔里木盆地传到亚洲东部的时候,它的艺术载体也同时得到了传播,希腊文化因此也以这种造型形式间接地对亚洲东部产生了影响。在另一个方向,希腊艺术和希腊哲学作为基督教的附属物,不断地向西欧和西北非进行着渗透。因此,近代以前的各种区域性文明中只有希腊文化在某种穆度上使旧大陆从东海岸到西海岸的诸文明中心都感到了自己的存在。

    混乱时代及其后果有史以来第一次不仅把旧大陆诸文明中心的核心地区,也把彼此远离的各地相互结合起来。在此以前,各个区域文明彼此分离、单独生长,每种文明都养成了自己的生活方式。宗教就是其中的一个组成部分。但是,尽管每种区域文明的一般风格互不相同,在宗教方面,它们却全都从人类历史的前文明阶段继承了一系列共同的”原始偶像”。如果将宗教因素同该区域文明的其他组成部分分开来看,这种共同的精神遗产使得一种区域文明中的宗教因素能够与另一种区域文明的宗教相互适应、彼此吸收。与区域文明中的某些世俗因素不同,宗教因素与其他的区域文明并不是完全不相容的。

    在这些共同的宗教”原始偶像”中,最古老、无疑也最有力量的也许就是母亲之神。她是最古老的人像造型的主题。在这种母亲偶像中,母亲的身份并不与童贞互不相容,因此它一定是形成于人们发现父亲的身份之前–也就是说,在人们尚未认识到一位女性不与一位男性性交就不可能怀孕的时候。进入意识黎明期后,人们一定已经认识到母亲的身份意味着孩子的诞生,但对于母亲必须有一个男性配偶、孩子必须有一个父亲的认识却不是原始的认识。起初,母亲遮蔽了孩子的光彩,而父亲或者是不存在的,或者至多是一个模糊的影子。母亲的力量对任何与她有关的男性都是可怕的,结果,一些意志坚强的男神都选择了独身生活。阿吞、阿舒尔、耶和华和密特拉就是典型的例子。

    在不同的区域文明中,母亲、孩子和父亲所具有的力量相对来说有所不同。同一种文明在不同的历史阶段也有不同。这使形形色色的”神圣家庭”群像中的每一种都对那些具有不同的祖先群像的民族具有吸引力。在不同区域文明中具有某些共同的图景,一种文明在某方面有所欠缺,可以从另一种文明中得到补偿。

    母亲的形象是各种各样的。她可以是人类的母亲,也可以是任何生物的母亲。同时,她还可能是大地,大地是众生之母。在所有这些方面,母亲通常都身负养育后代的重望,但母亲虽然一律都有生育能力,却并不都是仁慈的。中美洲的大地女神,众生和人类的母亲科亚特利库埃,古希腊的母亲女神赫卡忒和印度的母亲女神时母,既能创造性地和仁慈地、也能破坏性地和恶意地使用自己的力量。小亚细亚的母亲女神赛比利则摧残着她的孩子或配偶、或者也许是孩子和配偶合二为一的阿提斯。

    如果有时连母亲之神都可以变得凶猛野蛮,那么气象之神成为一种道德上自相矛盾的力量就更是不足为怪了。因为天气反复无常、变幻不定,这种反复不定的变化既可以造成水旱之灾,毁坏庄稼,也可以在一定的季节提供或控制雨水,带来丰收(所谓”一定的”,是指它满足了农民的需要)。气象之神很适合由一位男神充任,很容易把他与父亲之神等同起来;因为父亲的情绪也与气象之神一样说变就变,毫无理性,时而从仁慈宽厚变为粗暴愤怒,时而又从粗暴愤怒变回到仁慈宽厚。这与母亲通常对孩子的温柔态度截然不同。

    相反,太神之神每日每年的运行则是有规律的,太阳之神本身也是公正的。他公平无私地将光和热给予一切生命,我们能以比对大地母亲,更不用说比对气象父亲更大的信任来依靠太阳。但是,由于太阳耳闻目睹着大地上发生的一切,他心中保留着一本人类道德的帐目。

    其他星体就不象太阳这样令人放心了。行星象天气一样反复无常;恒星则是无情的;人的命运是由星体的影响未决定的;而这种影响可能是有害的。

    种子在某个季节死去,以便变成农作物而获得再生。播种的人类要收获这些农作物。人类是这种生殖力的信徒,他们是靠食其肉饮其血为生的。这种力量作出自我牺牲来向人类提供食物,无疑是人类的恩人。使它们作出自愿牺牲是一种罪过,这种罪过要落在它们的受益者人类的头上。这种力量年年死而复生,充满神秘,这给它的人类信徒以一种希望,即自己在死后也会获得再生。但是,这种自我牺牲的力量不也是有罪的鸣?难道它不是在折磨着它的人类信徒,使他们在一种狂热的激动中把各种生物,也包括人类在内,撕成碎片,茹食其肉吗?

    另一个原始偶像是救世主。我们可怜的人类在任何时候都需要他,在混乱的年代更是如此。还有一个偶像,就是上帝在人类身上的化身。法老就是上帝的化身。至少早在古埃及第五王朝开始的时候,人们就认为每一位法老都是由于神在法老母亲耳边威严低语而受孕诞生的,这个过程中没有父亲的介入,也没有任何人神交情的行为。有谁能够知道,在人类和前人类人科的进化史上,上帝的化身这种原始偶像是从什么时候开始产生的?

    各种原始偶像并不互相排斥。上帝的化身、救世主、种子之神和太阳之神可能是彼此相同的。母亲之神可以是一位处女,她的生殖能力无需借助于任何人类配偶,她的孩子因此也可以没有父亲。母亲之神同样也可以是一位妻子,无条件地忠于丈夫和孩子。每种偶像的性别也无一定之规,只有一个偶像除外。母亲当然不能是一位男性,而气象之神很少是女性,但在古埃及的宗教中,大地是男性,而天空是女性。在大多数宗教中,太阳是男性;但太阳是遵守规则、公正无偏的,一个男性如果如此,岂不荒谬。赫梯城邦的太阳女神阿丽娜,日本皇室的祖先、太阳女神无照大神和德语中的”太阳”一词都是阴性,这才更合逻辑。

    至此,我们已经对能够在混乱时代满足人类精神需要的新型宗教可能的素材进行了概述。现在我们来叙述一下它们的实际成果。为便于弄清实际情况,我们将一个地区接一个地区地依次叙述。

    在中国,当人们感到需要一种虔诚的宗教之前,祖宗的”规矩”实际上已经消声匿迹。可能在孔子时代以前,”天”就已经失去了原有的人格内函。根据汉武帝时期登上权力舞台的儒家学者-官员-领主阶层的说法,”天命”是赋予一个皇朝以统治权的委任状。其实,天命就是一种人命,由这个新的统治阶级授予,也可以由他们收回。在中国建立这种虔诚宗教的唯一现成的素材,就是在文化上尚未得到开化的各地流行的大众崇拜。公元前221年中华世界在政治上实现统一,已经为这种崇拜相互之间的融合以及与”钦定”哲学的融合铺平了道路。

    汉武帝使儒家学说成为官吏的任职资格。它已不再是孔子和孟子的那种哲学,成了一种冒牌的东西,被不恰当地掺入了大众宗教的因素。道家学说的掺假则更多。道家哲学一贯主张停止参与公共事务。在儒家学说吃不开的时候,正适合道家的繁荣发展。例如,道家学说在汉朝伊始刘邦治下处于优势,公元2世纪,当儒家学说3个世纪萎靡不振的经历已经表明它滥用了自己在行政权力中的垄断地位时,道家学说再次进入全盛时期。但是,在道家学说得以复兴,成为一种深奥的哲学的同时,它也培育了一种大众宗教,这种宗教并被有效地组织起来,为公元184年发生的向东汉政权发出挑战的两次流产的农民起义提供了精神鼓舞和领袖。

    这种土生土长的中国哲学变形为一种宗教,是中国人自己发展的还是受到起源于印度,从上座部佛教哲学发展出来的虔诚宗教大乘佛教鼓舞的结果?到公元2世纪大乘佛教已经渗入了中国,因此并不排除存在着上述第二种可能性。无疑,后来当大乘佛教涌入中国达到高潮的时候,经过农民起义的失败幸免于难的道教确实模仿了大乘佛教的教义和组织,为这种印度系数的不速之客制造了一种土生土长的中国翻版。

    大乘佛教在印度的发展是一个渐进的过程,而且,它在社会和制度方面始终如一,未曾出现过背离现象。佛教僧侣制度(僧伽)由上座部佛教结合大乘佛教,它一直是佛教各派制度的基础。另一方面,在教义上,这种发展的累积效果却造成了一种变形。

    上座部佛教的僧侣必须通过自己的努力达到个人的涅盘,因为他虽然受到佛陀指示和示范的感悟,却不能请求佛陀本人给予精神帮助,因为佛陀本人一旦达到涅盘,就不再可能被人接近。涅盘也是大乘僧侣的最终目标,但对这些僧侣来说,更重要的目标却是成为菩萨,而且他在进行这种努力的时候,可以向已成正果、有求必应的诸位菩萨寻求帮助。在一位菩萨的帮助下,大乘教徒就有了实现直接目标的希望,这个目标不是达到涅盘,而是进入天堂。

    佛陀指示人们进行精神修行,一位菩萨,就是一个精神修行的能手。他已经到达了涅盘的门口,只要他愿意,立即就可以进入涅盘。但是他(象佛陀本人那样)却向愿地作了另一种选择,推迟进入涅盘,以便帮助他的同伴。从’原始偶像”方面来说,菩萨就是救世主。一位阿婆卢吉低舍婆罗菩萨在中国改变了性别,摇身变成一位大慈大悲的女性神灵观音菩萨。在中国自东汉政权垮台后,出现了一种对母亲女神的迫切需要,观音菩萨不期而至,适时地担任了这个角色。菩萨无私的同情心唤起了大乘佛教徒的耿耿忠心,并推动他们努力追循菩萨的榜样。事实上,大乘佛教就是混乱时代应运而生的那种虔诚宗教。

    大乘佛教可能是在公元后最初2个世纪内成形,在印度西北部定形的。在那里,当地佛教哲学中的说一切有部比南部的上座部更易于向大乘佛教的方向发展。在同一个时代,印度教也在经历着相应的变化,它虽然是逐步发生的,但也导致了一种变形。在这里,在制度方面也同样始终如一,没有发生背离现象。这里制度上的联系是婆罗门种姓制度。尽管这种宗教的变革复杂多样,婆罗门依然保持着对印度教的控制权。

    在吠陀时代的印度教中,象在罗马人的原始宗教中一样,众神和崇拜者之间的关系很平淡。如果正确地举行仪式,众神实际上有义务给予适当的回答,对双方来说,主要的考虑是自身的利益。新型印度教实际上是一种新家教,其中的湿婆神和毗湿奴神就是大乘佛教中的菩萨的对应物。也许早在公元以前很久,这2个印度教的神祗就已经受到人们的崇拜,尽管可能是以别的名义。改变这种崇拜的新特点是在他们和信徒之间引进了一种感情上的联系。毗湿奴与阿弥陀佛菩萨一样是一位救世主,他也是有化身的神祗,他最普遍的化身是罗摩和黑天,但他同样可以化身为佛陀。湿婆具有原始偶像中气象之神、植物之神和母亲之神在道德上自相矛盾的特点。他既能创造,也能破坏;他从未有过化身;他的人类信徒听凭他为所欲为的摆布。湿婆是自然总体背后的”精神实在”。他并不特别关心人类的幸福,但人们发现了湿婆,就不得不接受他,因为人本身就是湿婆所代表的大自然的一部分。

    在伊朗,琐罗亚斯德富于战斗性的一神论放了哑炮。正象印度的婆罗门攫取了对毗湿奴和湿婆的虔诚膜拜一样,他的革命性宗教也被世袭的伊朗祭司麻葛阶层所攫取。在伊朗,琐罗亚斯德死后,正如古代埃及在阿肯那顿死后一样,多神论又应长期以来的需求而获得了再生。阿胡拉?玛兹达的精神品性由于自身的力量而化成了众多的女神。而且,一位受人敬爱的前琐罗亚斯德教女性水神安娜希塔成功地使自己再次站稳了脚跟。这些都是琐罗亚斯德教转变为一种感情宗教的步骤,但这些最初的步骤却后继乏力,即使被麻葛阶层掺了假的琐罗亚斯德教也从未完全赢得伊朗人的心。

    在黎凡特地区,即使将底格里斯-幼发拉底河流域包括在内,在面积上并不比印度或中国更大。但是,在这一地区政治上被统一在波斯帝国、以及最后被统一在罗马帝国版图之内以前的时代,黎凡特在文化方面的同一性却远远小于印度次大陆或中国。伊朗以西这块相对狭小的地区至少生长着5种文明:苏美尔-阿卡德文明、古代埃及文明、叙利亚文明、安纳托利亚文明和古代希腊文明。而且,这5种文明尽管并肩而立,彼此相连,却又风马牛不相及,从外部风格到内在精神都大相径庭。因此,当混乱时代的经历要求有一种能在感情上使人满足的宗教之际,它们之间的相互影响就非常活跃。这种影响是由于上述5种区域文明之一希腊文明显而易见的精神贫困而引起的。的确,后亚历山大时代的希腊世界并不象同时代的中国那样缺少土生土长的精神源泉。由亚历山大于公元前334年入侵波斯帝国而在黎凡特地区开创的新时期里,至少有两大希腊宗教仍然保持着活力:埃勒夫西斯秘仪和对狄俄尼索斯的崇拜。埃勒夫西斯派的得墨忒耳就是大地母亲;她的女儿科瑞就是死后葬入地下,又得到再生的种子之神。加入秘仪保证使人死后在极乐的另一个世界获得永久的幸福。狄俄尼索斯是古希腊与湿婆相对应的神。他体现了大自然在道德上的反复无常、自相矛盾。在尼亚历山大时代的希腊历史上,埃勒夫西斯秘仪流传了下来,而对狄俄尼索斯的崇拜获得了积极的再生。

    与此同时,人们的私生活宣称,根据权利它反对公共事业所提出的要求,埃勒夫西斯秘仪和对狄俄尼索斯的崇拜都迎合了人类的这种精神需要,而不管他们的主顾是本国公民还是异族人,是自由人还是奴隶,是男人还是女人。在雅典,当然也有对狄俄尼索斯的公开崇拜,雅典戏剧就是其中的一部分。埃勒夫西斯秘仪也处在雅典城邦的庇护下,但埃勒夫西斯这个地方本身不是一个雅典那样的主权城邦。它是一座圣城,恰好处于雅典城邦的领土上,由于它是一个非政治性的圣城,任何人都可以进入这个城市。至于对狄俄尼索斯的崇拜,它在后亚历山大时代的复兴是私人宗教事业的成就,迎合了当时人们的精神需要。狄俄尼索斯在后亚历山大时代广为扩张的希腊时代得以复兴,所借助的不是政府的力量,而是私人教徒们的力量;这种狂热的宗教成为一种私人事务后竟拥有如此众多的信徒,使得一些政府陷于窘境。托勒密四世(公元前221-203年在位)是后亚历山大时代政治上最杰出的酒神信徒。他要求自己领土上的酒神信徒进行登记。罗马政府则在公元前185-前181年打垮了意大利的酒神信徒。

    在亚历山大推翻波斯帝国之后的黎凡特地区,以及在政治上并入罗马帝国的整个地中海地区,各种宗教都在相互竞争,竞相谋求成为整个这一地区普遍通行的宗教。基督教赢得了这场竞争。它所使用的方法在古代埃及神学中早有预示。埃及人相信,一个法老死后,他的灵魂之一,一个可以分开的灵魂就升入天堂,在那里吃掉已经住在那里的其他神祗。法老吃掉这些神祗对手,并把他们的力量据为已有。基督教就是模仿了神话中升入天堂的法老的行为,将竞争对手的力量据为己有。基督教吃掉了叙利亚、埃及、安纳托利亚和希腊的男女诸神,并且把它们的力量变成自己的力量。

    在争夺母亲之神角色的竞争中,至少出现了5位候选人。她们是埃及的伊希斯、弗利吉亚的赛比利、以弗所的阿耳忒弥斯、埃勒夫西斯的得墨忒耳和一位女神的化身–加利利一位犹太木匠的妻子玛利亚。玛利亚由于表现出一种希腊化的伊希斯的性格、形象和品质而赢得了胜利。公元前204年,罗马政府由于从佩辛努,或者是从帕加马引进了赛比利而减轻了汉尼拔战争造成的痛苦。当时,她的本土形象用黑石雕成,由阉人祭司侍奉。当痛苦减轻后,这个从弗利吉亚匆匆迎请进来的客人就在罗马她的流行范围之内陷入了隔绝。另一方面,伊希斯在漂洋过海以前就已经希腊化,成为与得墨忒耳遥遥相对的光彩照人的女神。伊希斯以这种形象成功地征服了罗马帝国。

    在埃及本土,伊希斯是已经死去并已成为木乃伊的俄赛里斯神的忠实的妻子。但这位女神在本地的丈夫是无法带走的。共同为托勒密担任宗教事务顾问的埃及祭司曼内托和埃勒夫西斯派希腊祭司提摩两奥斯将俄赛里斯和一个埃及神祗的牛形化身阿庇斯合二为一,为伊希斯造出了一个可以带走的配偶萨拉庇斯。宙斯的黯然失色(他和中国人的”天”遭到了同样的命运)留下的精神真空,使萨拉庇斯得以跻身希腊的众神殿;但是,萨拉庇斯优美的希腊化形式使他成了希腊的医疗之神阿斯克勒庇俄斯多余的复制品,而且萨拉庇斯也没有机会取代宙斯成为希腊世界的父亲之神。夺走这一角色的是犹太人专横的民族之神耶和华。

    伊希斯不仅是一位忠实的妻子,还是一位温柔的母亲。她将儿子何露斯养育成人,成为复活的俄赛里斯的斗士和救护者。在埃及以外的黎凡特地区争夺儿子之神角色的角逐中,何露斯未能有机会击败玛利亚的儿子耶稣。

    保留下来的对于耶稣的最早记载,是已经相信耶稣象法老一样没有人父、由神授孕于其母的那些信徒的著作。在耶稣那里,这个神祗不是拉神而是耶和华。(耶和华的力量就是他的精神;因为耶和华的品质象阿胡拉?玛兹达一样因自身的力量而具有神性,能够减轻一神论的精神威严)。根据基督教经卷,耶稣本人否认关于自己在某些方面具有神性的猜测。根据那些记载,耶稣至少有两次表示他与上帝不是一回事。但是,若以印度人的观念来看,他也可以是一位上帝,因为他是一个消灭了自我的人,剥去大多数人都有的、掩蔽了潜在的”终极精神实在”的面纱。根据印度教思想中的非元论学派,这种”终极实在”构成一切现象的基础,只要每个人除去自私自利的面纱,它就会大放光芒。”终极精神实在”通过耶稣所显示的这种直接幻像,也许就是打动耶稣的非犹太人信徒,使他们向他顶礼膜拜的那种感受;但是,如果耶稣本人活了下来,被人们当作上帝来欢呼,他无疑将会否认他作为一个犹太人所不能接受的状况。像同时代的其他犹太教教士一样,他也可以把自己称作耶和华的儿子。但照犹太人的说法,耶和华之子的这种身份是一种彼此亲密、互相信任关系的象征性表示。耶稣是一个正统的犹太人,他的地理和种族地平线仅限于巴勒斯坦犹太人地区。当他派出门徒去远方传道的时候,他指示他们仅向犹太人宣讲。

    耶稣同辈的犹太人没有指责过他离经叛道。由于耶稣不与从前的犹太法权威们达成共识便自行解释犹太律法,他与洁利赛人发生了争吵。耶稣个人不按常规所作的解释大都与循规蹈矩的同辈犹太教教士的解释相一致。当罗马地方当局由于耶稣允许耶路撒冷犹太民众拥戴他为弥赛亚(即犹太民族的君王和解放者)而将他判处死刑的时候,撒都该人同意这样做。撒都该人有理由认为,处决一个鲁莽的犹太人是防止发生一次犹太人暴动的合法保证,这种暴动遭到镇压,将会牺牲许多犹太人的生命。我们可以推测,耶稣本人没有提出异议;因为耶稣在很多方面与洁利赛人是一致的,而洁利赛人与哈希芒家族及其后继者奋锐党人不同,他们拒绝拿起武器,去反抗允许犹太臣民按照正统的犹太思想信奉犹太宗教的本国或外来的政府。

    在基督教会的正统神学中,玛利亚的儿子耶稣和耶稣的父亲耶和华使玛利亚本人黯然失色了。初看起来,伊希斯似乎由于变形为玛利亚而消失了,因为当伊希斯踏上希腊世界以后,就把她的丈夫和儿子留在了埃及。但是,在新教教派以外的大部分基督教世界中,”上帝之母”玛利亚其实就是一位女神。伊希斯正是以这种基督教的化身,仍然保留着她的前基督教的力量。

    耶和华与宙斯一样,最初是一个气象之神,由于宙斯不参与竞争,叙利亚北部战略重镇窦利彻(杜鲁克)罗马化的气象之神朱庇特?多利刻努斯就成了与耶和华争夺这一角色的唯一对手。窦利彻地处交通要道之上,从埃及到小亚细亚的南北通道与从幼发拉底河西部弯道到地中海东岸的东西通道在此交汇。所以,窦利彻是罗马军队开往罗马帝国东部边界,来自东部边界和沿东部边界行动的必经之地。结果造成朱庇特?多利刻努斯在罗马军队中的广为流行。他在赫梯当地的崇拜者让他站在一头小牛背上,手里挥舞着气象之神的闪电和双斧。罗马军队中的信徒则给他穿上罗马军装,他一身戎装随着军队沿多瑙河而上,又顺莱茵河而下,并漂洋过海,一直来到哈德良皇帝在不列颠修筑的长墙。

    多利刻努斯与他的对手耶和华相比占有一项优势。他有一个女性配偶,对等地面对着他站在一头雌鹿的背上。士兵们的妻子也在丈夫身边对多利刻努斯崇拜起了一定作用。但多利刻努斯对罗马军队的吸引力只是昙花一现。它在公元2世纪才开始,到3世纪就告结束了。朱庇特?多利刻努斯比萨拉庇斯更有活力,却无法与耶和华相匹敌。

    在争夺死而复生的种子之神的角逐中,埃及的俄赛里斯由于变成了木乃伊而失去了资格,安纳托利亚的阿提斯则由于自阉而名落孙山;苏美尔-阿卡德的塔慕斯与苏美尔-阿卡德众神殿中几乎所有的神灵一道日薄西山;叙利亚的阿多尼斯参与了角逐,与狄俄尼索斯、埃勒夫西斯的科瑞和伊阿科斯并驾齐驱;但在这场竞赛中仍是耶稣成了胜者。他的一些信徒相信,他们曾看到他在被钉上十字架以后的第三天得到了复活,还在一系列其他幻像中看到了他。到圣保罗为科林斯人撰写他的第一篇使徒书的时候,基督教社团中已经出现了以蔬菜、面包和酒为代用品食耶稣之体,饮耶稣之血的独特仪式。仪礼上的套语也已经定型。是耶稣而不是狄俄尼索斯或阿多尼斯,在他的一系列其他胜利之外又争得了死而复生之神的角色。

    耶稣在争夺救世主角色的角逐中还遇到了更多有力的对手。他最艰苦的斗争是夺取上帝化身的角色。

    争夺救世主角色的有何露斯,他曾征服了他的残杀兄弟的叔父塞特;还有一位伊朗神祗密特拉,他曾被琐罗亚斯德贬入魔鬼行列,但又从伊朗辗转来到小亚细亚,并由于与太阳之神和决定命运的众星宿结盟而重新获得了神性。密特拉的运气和多利刻努斯一样是由罗马军队带来的。罗马军队把密特拉从幼发拉底河一直带到泰恩河和索尔韦;但他的好运也是来去匆匆转瞬即逝。它开始于公元1世纪,到4世纪,密特拉就在一场与耶稣进行的战斗中遭到大败。

    密特拉对信徒提出的道德要求非常严格,在这方面他与耶稣不相上下。但他至少在两个决定性的问题上处于劣势。密特拉不是一位自我献身的无辜的牺牲品,而是一个令人厌恶的屠夫(或许除非他所宰杀的牛是他本人的幽灵)。其次,密特拉厌恶女人。他没有母亲,还过着独身生活;对他的崇拜与对多利刻努斯的崇拜和基督教不同,只有男性才可以向他顶礼膜拜。耶稣和密特拉一样是独身的,但耶稣有一位象伊希斯一样的母亲,而且在追随者中间也有圣洁的妇女。因此在基督教教会生活中,妇女也占有一席之地。

    是耶稣而不是密特拉成为地中海诸民族的救世主。他们希望救世主是一位同辈的凡人,也希望这位凡人救世主成为人类中没有财产的多数人的代表,他们在极大程度上遭受着人类共同的苦难命运。这一角色的得主是一个显然无权无势的木匠,而不是一个有权有势的君主。当托勒密一世国王接受了罗得岛人授予他的”救世者”称号的时候,如果有人向他预言,有朝一日,在托勒密王朝行将寿终正寝的时候,这个称号将被一个工匠,托勒密王朝在亚洲的那些臣民的一个后裔所继承的话,他一定会大为震惊的。

    争夺上帝化身这一角色的角逐则最为激烈。上帝化身的原型是法老。罗马皇帝不但是罗马元老院和人民的元首,他也是一个法老。每一位罗马皇帝都是埃及的上帝化身的合法继承者(直到奥勒利安放弃了这一埃及人的遗产),将皇帝奉若神明顶礼膜拜,成了将整个帝国结合在一起的粘合剂,正如在3000多年的时间内,它曾把埃及的双重君主制结合在一起那样。罗马帝国政府一旦容忍任何地方的臣民拒不将皇帝敬若神明,就会对罗马人带给希腊世界的宝贵的政治统一和无价的和平造成损害。

    罗马政府确实容忍了它的犹太臣民拒不将皇帝敬若神明的做法。但这种特殊的恩惠所涉及的范围是有限的,因为犹太人是一个种族共同体。如果帝国将这种恩惠扩展到基督教徒身上,那就太危险了。因为基督教会不受种族限制,它的公开目标就是使全人类都皈依本教。也不可能让基督教徒明确承认他们自己的三位一体的神明不是唯一真正的上帝,却让他们对皇帝顶礼膜拜。这种做法就等于放弃基督教的本质。罗马政府和基督教会的抵牾冲突是不可避免的。基督教在这场战斗中取得了令人惊异的胜利。

    基督教不愿加以吸收,也无法加以摧毁的一个宗教对手是巴比伦的占星术。

    在公元前334年到公元220年间,旧大陆文明中心兴起了三大虔诚宗教:有神论的印度教、大乘佛教和基督教。大乘佛教和基督教是进行传教活动的宗教,其信徒渴望使一切世人都皈依自己的宗教。另一方面,有神论的印度教,象琐罗亚斯德教和犹太教一样,是一个特定社会的宗教,与这一社会的其他制度和结构相联系,虽然印度教的社会发源地非常广阔,就象是整个世界在这个社会中的缩影。

    基督教起初只是犹太教的众多派别之一。犹太人基督教徒是最早的基督教徒,他们无疑相信耶稣被处死后获得了再生。不管是什么样的感受使邵稣的信徒们产生了这样的信念,这种信念本身无疑是真诚的。正因为真诚,它也是令人振奋的。在耶稣坡钉上十字架后,基督教徒的第一个反应是幻灭。正是这种真诚的信念,使他们从幻灭中恢复过来。犹太人基督教徒几乎只是在象征的意义上,才相信那个死而复生的同辈犹太人就是上帝的儿子,因为如果他们确实相信这一点,他们就不会一直跟犹太教徒们呆在一起。事实上他们确实和这些犹太教徒呆在一起,直到自己归于泯灭为止。

    一位犹太基督教徒保罗干出了一件惊人的业绩–将非犹太人的基督教从犹太教中解脱出来。非犹太人可以自由地信奉这种宗教而无需遵守犹太人的律法。同样惊人的是,这种没有犹太人的基督教最终成功地使罗马帝国的所有居民都皈依了该教,只有犹太人本身和犹太人的亲密伙伴、信奉耶和华的撒马利亚人除外。

    保罗派基督教将各种非犹太人的地区性宗教加以吸收而打败了它们,其代价是削弱了基督教从犹太教继承下来的多神论。在保罗派基督教中,正像在麻葛派琐罗亚斯德教中一样,唯一真正上帝的各种品性–在这里是耶和华的话语和耶和华的精神,被提高到相互平等的神性的地位.耶稣与法老、恺撤、罗摩和黑天一样成为上帝的化身。耶稣的生身母亲实际上也成为了一位女神–“上帝之母”。

    基督教会也从其组织的效率中获得了力量。黎凡特地区的各种宗教与佛教的僧侣制度一样,是没有中央组织的。信奉这些宗教的各地教众在行政上相互独立,他们的共同之处只在于拥有同样的教义和仪式。基督教也在各地拥有自己的教众。他们在地理上与罗马帝国的各个城邦是一致的。但基督教在更大程度上模仿了罗马帝国,在整个帝国规模上使它的地方组织从属于一个教会统治集团。它这种组织上的成就是独一无二的。亚历山大的继承者托勒密、塞琉古和利西马科斯的世俗帝国已经烟消云散,但它们又在基督教主教制度的形式中得到了复兴。罗马主教(”教皇”)的长老地位得到了他的东部同僚的承认,但教皇声称自己对罗马主教辖区以外的全体教会成员拥有至高无上的专制权力,这一点却没有被他们接受。

    从犹太教的一个派别转变为一种世界性的基督教会,这确实十分令人震惊。但印度的上座部佛教哲学变形为一种世界性的大乘佛教,这也是同样惊人的。大乘佛教作为一种传教的宗教,其力量在于它的信徒愿意与教化所及的地区先前已经存在的各种宗教达成妥协。大乘佛教的上座部前身中,没有任何东西能妨碍大乘佛教的宽容大度,以同生共存而不是以征服异教为目标。另一方面,基督教的犹太教前身却成了基督教神学家和传教士们的绊脚石。基督教不能使自己与其他宗教同生共存,它只能或是消灭对手,或是将它们吸收,而且,它只能在可以不动声色的时候才能吸收它们。但基督教所吸收的远比它所消灭的更多。事实上,它的传播方式很象大乘佛教的方式,尽管它的官方代表对这一点是难以接受的。

    大乘佛教和基督教的兴起与传播,是人类历史上的新转折。这些重大事件发生在旧大陆文明中心的舞台上,但它们的最后影响却是全球性的。

    第三十九章 中美洲文明和安第斯文明

    (约公元前400-公元300年)

    第21章已经谈到在中美洲和安第斯世界,文化的生长已达到文明的水平。中美洲文明的创造者是奥尔梅克人;安第斯世界文明的创造者是查文艺术风格的发明者和传播者。中美洲至少有一个遗址,即座落在特万特佩克地峡的圣洛伦索,放射性碳测定其可辨认的奥尔梅克风格的文明最初出现是在公元前1250年左右;但在更靠近大西洋海岸的拉文地和特雷斯萨波特斯,奥尔梅克文明的繁荣时期是在公元前800-前400年,与安第斯世界的查文”地平线”同时代。如果我们采用安第斯历史纪年体系的两种计算方法中的一种,那么,在紧随其后的约公元前400-公元300年,这两个地区的文明同时达到鼎盛阶段。不过还有一种计算方法却将安第斯文明的鼎盛时期提早了约600年,即定在公元前300年左右。

    中美洲文明的纪年体系是比较可靠的。中美洲有一个未间断的纪年体系,其发明者可能是奥尔梅克人。但肯定被中美洲历史上的古典时代(约公元300-900年)的马雅人所完善。这种被现代考古学家称为”长期计算法”的纪年体系已经与公元纪年体系相对应,其方法是用放射性碳测定从马雅寺庙门庭上横木取下来的大量的树木样本的年代,并将其与雕刻在马雅建筑物上的”长期计算法”的年代联系起来。

    人们已知道安第斯各民族已有了自己的纪年方法。证明安第斯纪年体系的唯一证据,除了放射性碳测定的证据之外,就是安第斯文明遗址上人造物(如房屋和陶器)堆积的层次差别。考古学家通过计算这些堆积物的厚度,保存在这些分层次的堆积物中连续性风格的数目以及前后风格之间的差异程度,从年代学的角度来解释这些分层。不过,采用放射性碳测定堆积物样本的内容虽然可以验证这种猜测性的纪年体系,但这些放射性测定法所得出的年代跨度是在约公元前400年到公元1438年之间,它们与考古学家的估计毕竟相差太大。例如,安第斯文明的鼎盛阶段,即所谓安第斯历史的”古典”或”开花”时期,根据放射性碳测定应定在约公元前300年到公元500年之间,而根据堆积物分层的计算则应定在约公元400-1000年。

    这种差异令人困惑不解;根据我们目前的知识水平,尚不可能精确地判断这两个互相矛盾的年代哪一个正确。依据堆积物的分层确定年代是主观性的假设,其结果可能是错误的。另一方面,用放射性碳测定安第斯文明的年代所依据的样本数量并不多,孤立地用放射性碳确定年代可能与根据堆积物分层猜测年代一样不准确。除非我们了解被测物体的历史,否则就不能毫不怀疑地运用放射性碳测定年代。例如,在一座房屋里发现的一根横梁可能是从另一座更古老的房屋里取来的,如果是这种情况,那就无法得出发现这根横梁的那座房屋的正确年代。运用放射性碳确定的年代只有以数量为保障才是可靠的;而迄今为止,我们掌握的说明安第斯文明年代学的测定数量仍然非常少。因而,关于在公元1438年左右结束的8个半世纪的安第斯历史,我们目前所能采用的最好办法就是暂时接受现有的放射性碳测定的年代,但在心理上要有所保留,认识到随着测定数目的增加,结果可能会更接近依据地层分层法的估计,而与目前所作的为数不多的放射性碳测定所得出的偶然结果差距会更大。

    安第斯文明与中美洲文明是互相独立地生长的,虽然它们互相有影响(安第斯世界的玉米是从中美洲传来的,中美洲的冶金术则来自安第斯世界),但没有令人信服的理由能说明为什么这两个文明的连续阶段应该是吻合的,或者,如果它们是吻合的,为什么这两个吻合的文明又是同时代的。不过,中美洲历史的奥尔梅克阶段和安第斯历史的查文阶段事实上是很接近的一对,在年代上也几乎同时。而且,在前哥伦布的美洲历史的最后阶段,中美洲阿兹特克国家的扩张几乎是与安第斯世界印加国家的扩张同时开始的。它们的开始年代分别是公元1428年和1438年。依据地理分层而不是依据放射性碳测定的安第斯历史的年代,安第斯历史的”开花”时期正好又与中美洲史上的相吻合阶段的”古典”时期是同时的。当然并没有令人信服的理由能说明这两个文明相吻合的阶段为什么是同时的。在本章中我们确定安第斯文化”开花”阶段的正确年代是约公元前300年到公元500年,而不是约公元400年至1000年。

    在中美洲,奥尔梅克文明最早是出现在特万特佩克地峡和邻近的大西洋沿岸,但它从那里向西北传播到墨西哥高原、向东南传播到太平洋沿岸。有一些考古学证据显示奥尔梅克人是凭借武力向外扩张的,但是奥尔梅克文明在圣洛伦索和拉文他相继毁于暴力则表明奥尔梅克人使用愤怒的被征服民族的强迫劳动,搬运建造他们巨大艺术作品的大量材料。但是奥尔梅克人既受到憎恨,也被人模仿。大西洋沿岸西北端的奥尔梅克城址特里斯萨波特斯一直存在到大约基督纪元开始,该城被毁的年代是”长期计年法”中目前所知的最早的年代。那年相当于公元前31年。在特万特佩克地峡以东的恰帕德考佐有一个被确定的年代相当于公元前36年;在高原(即南部)危地马拉的埃尔包尔,有一个年代相当于公元36年。所以,奥尔梅克人最重要的发明在中美洲已经传播到了奥尔梅克人可能征服的疆界之外。

    在约公元前100年到公元150年之间,永久性的宏大建筑开始出现在马雅地区的两个低地。中马雅地区的佩腾现已被茂密的热带雨林所覆盖;北马雅地区的尤卡坦则比较干燥贫瘠。在中马雅地区主要的祭祀中心策卡尔所发现的可确定年代的石碑,其最早年代是公元292年。所以中美洲文明到达中部和南部马雅地区的时间要比它到达南部地区(危地马拉高原)为晚;但是,一旦在中部马雅地区站稳之后,它便形成了一些别具一格的特征。其中之一是架有屋顶的拱形会堂;另一特征是祭坛和石碑合而为一。迄今为止唯一被释读出来的中美洲符号是表示年代的符号(一种是在连续的”长期计年法”中表示年代的符号,一种是以52年为一循环周期的纪年符号)。有人猜想那些仍未能释读的符号是一种文字;如果它们是文字,即就是一种苏美尔式的表意符号和表音符号的结合。中美洲的象形文字和”长期计年法”不是马雅人的发明,而是当佩腾的马雅人在采用它们之后,使它们进一步得到发展和完善。

    中美洲文明在马雅低地的显著发展可与同一时期它在墨西哥高原的发展相媲美。座落在通向湖泊盆地河谷一边的特奥蒂瓦坎不仅仅是一个祭祀中心,虽然它的太阳和月亮金字塔是除了乔卢拉人工山之外两座最大的中美洲建筑物。特奥蒂瓦坎同约1500年之前的圣洛伦索一样也是一座真正的城市。特奥蒂瓦坎座落在一块长方形的平地上,它的人口稠密,居民的生计部分是依靠集约化耕种附近的一片农田,部分是依靠制造商品出售给居住在大西洋沿岸热带低地地区的各民族。

    在特奥蒂瓦坎和马雅低地,中美洲文明的”古典”时期始于公元300年左右。安第斯文明相应的”开花”时期也在本章论述的范围之内,既然我们暂时接受它的年代在约公元前300年至公元500年间(这一年代是由目前已经做出的为数不多的放射性碳测定所确定的)。查文风格的扩展并没有越出安第斯世界的范围。它既没有达到东南部的沿海地区,也没有达到东南部的高地。即使在它所达到的地区,在它传播开来之后在各地就出现了多样化的转变。这种转变在文化上是富有成果的,正是在这后查文阶段安第斯文明达到了顶点。它杰出的技术和艺术成就表现为它的陶器和纺织品。这一阶段的两个最重要的地区都位于沿海低地。它们是西北部的奠奇斯河流域和东南部的帕拉卡斯半岛与纳斯卡河流域。莫奇斯的陶器可与希腊历史上”古典”时期的雅典陶器相媲美;而帕拉卡斯半岛和纳斯卡河流域的毛织品比任何现代纺织品都更精美,这一地区的棉织品即使在现代的孟加拉和兰开夏郡也难以被超过。在查文阶段安第斯世界已经掌握了冶金术,它在后来的”实验”阶段和”开花”阶段继续得到发展,但材料仍然仅限于黄金,产品是装饰品,而不是工具或武器。制作金器的方法是锻打而不是浇铸,尚没有制作银器和铜器。但在冶金方面,安第斯文明要领先于中美洲文明。中美洲从未独立地发明冶金术,直到后古典时期之前,中美洲还没有掌握冶金术;即使在古典时期,冶金术仍是从厄瓜多尔和秘鲁传来的产物。

    第四十章 旧大陆文明中心的西端

    (220-395年)

    在第37章,我们已经对公元48年到220年之间横跨整个旧大陆文明中心的四大帝国进行了一些叙述。这片广阔的地区由于最终在政治上统一为四大强国而为宗教传播事业开辟了道路。第38章叙述了从公元前约334年到公元220年间各地区宗教为征服人们的心灵而进行的角逐。角逐的结果是3个新宗教的兴起:有神论的印度教、大乘(与上座部相对)佛教和保罗派(与犹太派相对)基督教。三大宗教都是虔诚的宗教,在这一点上彼此相同。有神论印度教徒信奉湿婆神和毗湿奴神;大乘佛教徒信奉菩萨,他们不是神祗,而是潜在的佛;基督教徒则信奉耶和华、耶稣(对非犹太人基督教徒来说他也具有神性)以及耶稣的母亲,当她获得”上帝之母”称号时,也已经变成了一位女神。信奉的对象不同,精神则是一致的。

    上述几个虔诚宗教的兴起,以及菩萨、耶稣和玛利亚的被神化,反映了人们需要一种超人力量的帮助。当人们意识到自己不是所处环境的主人,就产生了这种需要。在某些时候和某些地方,人民及其统治者曾感到有足够的信心把信任寄托在现世的神的化身身上–例如最初4个王朝的历任法老,亚历山大及其最初的几位继承者,尤利乌斯?凯撒、奥古斯都以及奥古斯都在公元274年以前的继承者们。公元274年,一个现世的神的化身奥勒利安皇帝改变了自己的地位,这标志着他和他的臣民承认,这样的神已经不再适合当时的情况。在这罗马帝国发生危机的第四十个年头,奥勒利安用”不可征服的太阳”来代替自己作为帝国的监护神。从此以后,他不再作为一个神,而是作为一个至高无上的神在尘世上的代理人来进行统治。

    在旧大陆文明中心历史的下一个阶段,即约公元220-395年,四大帝国的命运发生了不同的变化。第37章已经指出,伊朗和伊拉克的阿萨息斯安息帝国在公元224年被萨珊波斯王朝征服并接管,贵霜帝国被萨珊帝国征服并被纳入帝国版图(虽然贵霜帝国的一个残部在萨珊帝国领土上再度兴起并一直存在到后者灭亡之后)。中华帝国和罗马帝国各自发生了分裂并暂时陷入无政府状态–中华帝国分裂了370年(公元220-589年),罗马帝国分裂了50年(公元235-284年)。因此,在公元3世纪中期,伊朗帝国是最为强盛的。它经历了一次朝代变迁,随后向东部进行了扩张,第二任萨珊皇帝沙普尔一世3次取得对罗马人的胜利,在第三次胜利中(公元260年)他俘获了整个一支罗马军队,包括瓦莱里安皇帝本人;但沙普尔随后就在罗马帝国方面发起的一次反攻中被击败。这次反击发生在叙利亚和美索尔达米亚之间的沙漠中,发动者是位于绿洲中的半自治商业城邦巴尔米拉的王子奥登纳图斯。

    在图拉真将巴比伦(伊拉克)并入罗马帝国的企图遭到失败后,以及伊拉克和伊朗在公元224年被萨珊王朝从阿萨息斯王朝手中接管之前,巴尔米拉于公元117-224年间在经济上进入全盛时期。战胜沙普尔一世后,奥登纳图斯,随后还有他的妻子芝诺比阿企图使巴尔米拉成为罗马帝国在黎凡特地区的继承国。芝诺比阿不是阿拉伯绿洲上的第一个野心勃勃的王后,也不是最后一个,但巴尔米拉在公元274年遭到奥勒利安的征服并被摧毁。其间的另一个王国亚美尼亚则更为成功。亚美尼亚先后得到巴尔米拉和罗马的帮助,使自己免遭并入萨珊波斯帝国的命运,从公元298年到387年,它在阿萨息斯王朝一支旁系的统治下一直保持着独立。这支旁系从公元66年起在罗马帝国宗主权下占据着亚美尼亚的王位。

    接连几任军人皇帝使罗马帝国获得了重新的统一和复兴。这些皇帝都出自亚德里亚海东北海岸和多瑙河南岸之间军事力量强大,但文化落后的伊利里亚诸行省。奥勒利安(公元270-275年在位)就是其中的一个。其中最伟大的两位皇帝是执政21年(公元284-305年)的戴克里先和执政31年(公元306-337年)的君士坦丁一世。从公元235年到284年,除了一位皇帝外,其他皇帝在位期限都很短,多数皇帝都死于非命。戴克里先和君士坦丁则得以寿终正寝。这两位皇帝通过改造而重建了罗马帝国。君士坦丁完成了戴克里先所开创的事业,并挽回了戴克里先企图强使帝国实现宗教统一的失败。他的办法是完全改变了戴克里先及其年轻的同朝皇帝加莱里乌斯对基督教会的政策。

    公元284年到337年间,戴克里先和君士坦丁创建了一支灵活机动的陆军,以便更好地保卫帝国(君士坦丁也用它来进行内战,打击竞争者)。他们重新稳定了通货(是军费所使用的金币,而不是穷人使用的小铜币),重新丈量了土地,并重新确定了农产品的税额。他们征召了许多职业人员义务履行公职。他们用按照等级制度组织起来的官僚填补了诸城邦市政自治政府垮台后留下来的行政真空,这些城邦政府曾是罗马帝国的细胞。他们还进行了迁都。

    曾经建起了整个帝国的城邦罗马,作为意大利半岛或一个以海上实力为基础的环地中海帝国的首都,可以说占尽了地利。但是,它的地理位置却不利于保卫沿幼发拉底河、多瑙河和莱茵河一线延伸的帝国边疆,它还远离帝国的经济重心黎凡特地区。戴克里先把新都建在小亚细亚半岛西北角附近的尼科迪墨亚(伊斯密特)。君士坦丁将它向西稍稍移动一下,建都于拜占庭,该城位于一个易于防守的半岛的顶端,是一个天然良港,地处博斯普鲁斯海峡的欧洲海岸南部。拜占庭(君士坦丁堡,现名为伊斯坦布尔)是两条水陆通道的交汇点,水路连接地中海和亚述海海角,陆路联系萨瓦河和多瑙河汇合处的辛吉杜努姆(贝尔格莱德)和幼发拉底河西部弯道之西的杜鲁克,它是朱庇特?多利刻努斯的故乡。

    公元3世纪中期罗马帝国的低谷是瓦莱里安的儿子加列努斯在位时期(公元260-268年)。萨珊波斯帝国的短暂高峰是沙普尔一世在位时期(公元242-273年)。在旧大陆文明中心西端这个骚乱的时期,两位最伟大的人物是受加列努斯保护的埃及新柏拉图主义哲学家普罗提诺(公元205-270年)和伊朗一种新的传教宗教的创立者,出生于伊拉克。受沙普尔一世保护的摩尼(约公元216-277或226年)。

    这两位先知都曾为探寻异域的智慧而勇敢地随军远行。如果他们都在同一次罗马与波斯的战争中得到一次机会。那就是公元243-244年的那场战争,那样,他们就将会在两军对垒的战场上互不相识地彼此相遇。两人都在沉思着那些曾经困扰琐罗亚斯德和柏拉图的古老的问题:人类所居住的这个不完善的世界与存在于现象之中、之后和之外的”终极实在”之间的关系是什么?这种”终极实在”是善的吗?如果是,那么作为人类经历和人类行为的悲剧的恶又源于何处?

    这两个人的背景中都有基督教的成份。普罗提话使用希腊语言写作,而他的老师阿摩尼乌斯曾经是一个基督教徒。摩尼的父亲曾在伊拉克皈依一个名叫”洗礼派”的派别,但他们全家是从米底的哈马丹搬到伊拉克的。在米底,主要的宗教是麻葛派的琐罗亚斯德教。摩尼自称是琐罗亚斯德、佛陀和耶稣的继承者。普罗提诺是一个反对诺斯替教的柏拉图主义者,但他的弟子,新柏拉图主义敌对教会的创立者扬布利科斯却象摩尼一样深深地陷入了诺斯替教。摩尼将诺斯替教与二元论结合起来,他的二元论与琐罗亚斯德教不同,是一种绝对的二元论。根据琐罗亚斯德教教义,光明与黑暗之间(善与恶之间,目前进行的战争是暂时的,其结果将是善神阿胡拉?玛兹达战胜邪恶的对手安格拉?曼纽而取得永久的胜利。在摩尼看来,光明是与黑暗混合为一的,它最终将会彻底从黑暗中摆脱出来,但光明和黑暗这两种相互对立的原则却是永恒的,它们也就是字面意义上的光明和黑暗,而对普罗提诺来说,也如对琐罗亚斯德一样,光明和黑暗是一种精神影象,分别代表着善与恶;而且在普罗提诺看来,与善相比,恶不是一种积极的精神力量,它是某种只有消极意义的东西:它不是”与善对抗”,而是没有善。

    在公元约220-395年间旧大陆文明中心的西端,两个最重要的事件不是发生在政治方面,而是发生在宗教方面。其一是一个好战的琐罗亚斯德教教士卡提尔击败了摩尼,成功地使麻葛派的琐罗亚斯德教成为萨珊波斯帝国的官方宗教。其二是基督教首先于约公元285-290年在亚美尼亚,其后于公元312-395年间在罗马帝国取得了对除占星术外其他一切宗教的胜利。

    萨珊皇室的家世与哈希芒家族不同。他们在成为王公之前就已经是祭司。萨珊家族是斯塔克尔城的女神安娜希塔庙的世袭祭司,该城位于法尔斯,它取代了波斯第一帝国的礼仪中心波斯波利斯。琐罗亚斯德教产生以前的伊朗女性水神安娜希塔被不恰当地与麻葛派琐罗亚斯德教的阿胡拉?玛兹达连在了一起,因此,萨珊家族对琐罗亚斯德教的忠诚比伊朗以往任何一位统治者都更为明确,只是不及琐罗亚斯德自己的庇护人希斯塔斯普(他不是大流士一世的父亲希斯塔斯普,而是一个同名的国王,大约在两代人以前,他的统治领地可能是在乌浒河-药杀水流域)。

    波斯第一帝国的阿契美尼德统治者宣称忠于琐罗亚斯德唯一真正的神阿胡拉?玛兹达,但他们并不把自己称做琐罗亚斯德所创立的宗教的信徒。阿萨息斯人宣称信奉麻葛派的琐罗亚斯德教,但他们象阿契美尼德人及其马其顿希腊继承者一样,对所有在他们的臣民中拥有信徒的宗教都宽容以待。沙普尔一世为手下要人们的灵魂而资助琐罗亚斯德教的祭火坛,却不谋求将自己家族的祖传宗教强加给非琐罗亚斯德教徒。不仅如此,沙普尔还允许摩尼在沙普尔的领地内宣传他的新宗教。

    摩尼曾经到过印度。这可能是公元241年的事。这一年沙普尔还是王储,他从贵霜人手中征服了印度河流域。前面已经谈到,摩尼曾随一支波斯军队进行远征,这支部队后来曾入侵罗马帝国。这些远征分别使摩尼对佛教和基督教获得了第一手了解。他宣称自己是琐罗亚斯德、佛陀和耶稣的继承人,是”先知的象征”,明确而彻底的启示的接受者,是”巴比伦的真理之神的使者”,并宣称他是圣灵的化身;他渴望不仅劝化萨珊波斯帝国的居民,而且劝化所有的人类。摩尼赢得了信徒们的忠诚,他是一位组织天才,他的教义也被证明是具有吸引力的。巴比伦(伊拉克)的确是旧大陆文明中心的心脏,当地的语言是古叙利亚语,它以阿拉米语当时的形式,通行于整个新月沃地;因此巴比伦成了他行动的中央基地。摩尼从巴比伦派出了他的传教使团,不仅派往萨珊帝国的东北边界和西北边界,而且派到了埃及。摩尼教的传播速度远远快于此前300年中基督教的传播。

    但是,摩尼关于建立一个以伊拉克为中心的世界性宗教的设想却与卡提尔的意图势成水火。后者希望使琐罗亚斯德教成为萨珊帝国的国教,或者至少在帝国的伊朗部分做到这一点,并想扑灭当地其他一切宗教的活动。卡提尔是锁罗亚斯德教的教士,他在沙普尔一世的第三位继承者瓦赫拉姆二世在位期间(公元277-293年),把僧侣统治推到了顶蜂。他担任了萨珊王朝祖传的斯塔克尔的安娜希塔神庙的祭司,同时也是当地祭火坛的祭司。卡提尔在沙普尔一世的第二位继承者瓦赫拉姆一世(公元274-277年在位)面前也是说话算数的。在卡提尔的煽动下,瓦赫拉姆一世逮捕了摩尼并将他投入囹圄,摩尼殉教而死。摩尼教在埃及的发展也在公元297年招致罗马皇帝戴克里先颁布了野蛮的镇压令,此事发生在戴克里先向基督教宣战之前6年。戴克里先斥责摩尼的信徒为波斯人的”第五纵队”,而全然不顾波斯政府已将摩尼处死、到297年它已对本国臣民中的摩尼教徒进行了20年的迫害这一事实。迫害行为对摩尼教所起的作用正象对基督教一样。它不但没有使它消沉,反而刺激了它的发展。

    在罗马帝国,德西乌斯于公元250年,瓦莱里安于公元257-260年,最后也是最凶猛的一次是戴克里先和加莱里乌斯于公元303-311年,都企图将基督教置之死地。这等于是默认;若不如此,帝国就将落入基督教会手中。公元303-311年大迫害的幕后策划者不是戴克里先本人,而是加莱里乌斯。戴克里先不愿看到基督教的强大,但他也低估了基督教会的力量。这两位皇帝都是来自伊利里亚的士兵,在伊利里亚以及来自伊利里亚的士兵中,基督教几乎没有抬头的余地。伊利里亚士兵们心中的神祗是奥勒利安的”不可征服的太阳”,朱庇特?多利刻努斯,密特拉以及原始的罗马诸神。

    黎凡特地区的反基督教人士更为正确地估计了基督教会的力量。在这里,基督教徒为数众多(尽管也只占人口的少数)。普罗提诺的弟子扬布利科斯试图组织一个以诺斯替教对新柏拉图主义的解释为基础的敌对教会。在这里,地中海世界一切非基督教的男女诸神都被动员起来,在”不可征服的太阳”率领下反对基督教诸神。这是中国的道教在地中海地区的翻版。它受到两位罗马皇帝马克西米努斯?戴亚(公元310-313年在位)和君士坦丁的侄子,曾经信仰基督教的尤里安(公元361-363年在位)的庇护,但它注定要遭到失败。基督教会早在新柏拉图主义敌对教会之前就已将地中海诸神加以吸收。耶稣早已变成了俄耳甫斯、萨拉庇斯和”不可征服的太阳”;玛利亚已经变成”上帝之母”伊希斯。至于新柏拉图主义哲学,扬布利科斯好战地将它加以滥用,但遭致流产,这比它最终与基督教神学的结合更使普罗提谛望而生厌。

    公元311年,加莱里乌斯在他弥留之际,很不情愿地撤回了他和戴克里先颁布的反基督教敕令,并许诺给予罗马帝国境内所有居民以信仰自由,不管他们是基督教徒还是非基督教徒。公元312年,君士坦丁一世皈依基督教。他的转变十分突然,令人惊讶,也许他本人也会这样认为。因为在公元306年,君士坦丁从他的父亲君士坦提乌斯一世皇帝那里不但继承了对高卢和不列颠的统治,也继承了对”不可征服的太阳”的崇拜。公元312年君士坦丁侵入意大利,该地与西北非当时处在君士坦丁的姐夫马克森提手中。在罗马西北郊外一次战役中,马克森提战败身亡。在这次战役前夜,君士坦丁梦见他看见了由希腊语的”基督”名字头两个字母组成的交织字母,同时还有几个闪闪发光的拉丁文单字:”以此标记你将战胜”。君士坦丁梦见,基督指示他将这个交织字母写在自己的铠甲上,并将它漆在士兵的盾牌上。君士坦丁照着去做了,结果赢得了这次在他的三次内战中最为关键的一战。在这几次内战中他每次都成为胜利者。

    君士坦丁的皈依公开而真挚,但他并不放弃对奥勒利安劝君士坦提乌斯一世的”不可征服的太阳”之神的忠诚,尽管他最后还是把”太阳’和基督混为一谈–基督教会也早已含蓄地将这二者混在了一起。他也不放弃他作为罗马国家政治首脑而获得的非基督教高级祭司长职务大祭司长的地位。保持最高祭司之职与信奉基督教发生了矛盾,但受君士坦丁庇护的基督教会当局对此绝口不提,君士坦丁本人也一直没有正式成为基督教会的成员,直到公元337年他才在病榻上接受了洗礼。而且,君士坦丁对基督教教义的了解甚不全面,不仅在公元312年他皈依基督教的时候如此,而且在他的一生中一直如此。虽然他在世俗事务方面是个精明的政治家,但他对基督教会政治事务的干预表明,他在这一方面完全是个外行。

    人们有时指责君士坦丁怀疑一切、玩世不恭、狡猾伪善,他信奉基督教是政治上的权宜之计。对他的皈依作出这样的理解是因为没有搞清他所处的时代。在公元235年社会崩溃以后的地中海世界不存在怀疑论者。罗马帝国的居民中没有任何人相信,自己在这个可怕的时代可以没有神的帮助而生存下去。君士坦丁在宗教上是真诚而热情的,在这一点上,他是他那个时代和那个地方的典型代表。普罗提诺、摩尼、扬布利科斯、戴克里先、加莱里乌斯、马克西米努斯?戴亚和尤里安都以不同的方式表现出了宗教上的真诚和热情。君士坦丁对宗教的笃信程度毫不次于普罗提诺,但不同的是他的信仰很粗劣。基督教的上帝通过显示力量而赢得并保持了君士坦丁的忠诚。这个上帝向迫害基督教会的那些罗马皇帝降下了灾难。加莱里乌斯、马克西米努斯?戴亚和李锡尼的命运就是例证。也是这个上帝使君士坦丁赢得了三次内战的军事胜利。在公元312-324年的12年中,基督教的上帝使君士坦丁从台伯河长驱直下博斯普鲁斯海峡,并使他成为整个罗马帝国独一无二的统治者。而他在306年起家的时候,只不过是阿尔卑斯山和比利牛斯山后一些偏远落后省份的统治者而已。

    基督教的上帝通过赐以好运来酬劳君士坦丁的忠诚,君士坦丁对此感激至深。但上帝显示神力使他深为感激的同时,也引起了他的畏惧。他害怕如果自己未能完成对他的庇护之神的义务,例如未能有效地调解基督教会团体之间的分裂,上帝将把加莱里乌斯、马克西米努斯?戴亚和李锡尼那样的命运加在他的身上。那些迫害过基督教徒的皇帝也曾对非基督教神祗的不满有过同样的恐惧。

    君士坦丁皈依基督教的动机,在道德方面来讲远远比不上阿育王的皈依怫教。阿育王的皈依是由于他对发动侵略战争的罪行心生悔悟,此后他再未发动过战争。君士坦丁则是出于对三次内战接连取得胜利的感激。

    君士坦丁向马克西米努斯?戴亚施加压力,迫使他在黎凡特停止了对基督教的迫害;他还劝使李锡尼与自己一起在各自的领地内对基督教实行进一步的宽容。由此,他使加莱里乌斯的宽容敕令得到了加强。君士坦丁从未迫害过他的非基督教臣民,但他确实曾给基督教会以宝贵的特权。他的侄子,曾信奉过基督教、后又反对基督教的尤里安也对新柏拉图主义的敌对教会表现了同样的偏爱。罗马皇帝在公元311年以后,对自己信奉的宗教以外的其他宗教宽容以待是极其勉强的,这与阿育王对他的非佛教臣民和邻国的宽厚仁慈、迦腻色迦对不同派别的婆罗门教徒和佛教徒的公平对待正好相反。

    在罗马帝国,甚至这种开始于311年的不稳定的宽容也只是昙花一现。格拉提安皇帝(公元367-383年在位)拒不担任大祭司长之职,并开始通过关闭庙宇、剥夺财产等方法消灭罗马帝国的非基督教宗教。狄奥多西一世(在东部于公元379-395年在位,在西部于392-895年在位)最终完成了这种消灭。

    同时,罗马和波斯两大帝国仍是并肩共存。一场旷日持久的罗马-波斯战争(公元337-360年)以毫无结果而告结束。公元362年尤里安对波斯帝国的入侵以尤里安之死和公元363年罗马的一次灾害而告终。尤里安的继承者约维安以将美索不达米亚东北部罗马帝国边界要塞尼西比斯以及5个亚美尼亚边界行省割让给波斯为代价,才使罗马远征军解脱出来。这5个行省是公元298年并入罗马帝国的,割让这些地区使亚美尼亚王国处在波斯人的随意摆布之下。公元378年,一支罗马军队于阿德里安堡在西哥持人手下遭到一次毁灭性的失败,其毁灭性的程度与从前罗马帝国在阿利亚、坎尼和卡里遭到的历史性失败相比毫不逊色。罗马人现在不得不把剩余的军事力量用来进行一场不可能打赢的战斗,以拯救他们在欧洲的领地,在亚洲前线则不得不向波斯帝国进一步割地求和。公元387年,两个帝国达成协议瓜分亚美尼亚王国,该国五分之四的领土划给了波斯。这是罗马帝国为保持自己在黎凡特地区的生存所付出的代价之一。

    波斯帝国成长中的基督教社团命运的变化,反映了两大帝国关系的曲折波动。琐罗亚斯德教教会没有使罗马帝国的任何人归附本教,也没有使亚美尼亚的任何人自愿归附本教。琐罗亚斯德教会与基督教会和摩尼教会不同,并不谋求劝化全人类。它的目标一直象卡提尔所希望的那样,使本教不仅成为波斯帝国的”国教”,而且至少在伊朗诸省成为独一无二的宗教。但是,即使在帝国的伊朗臣民中,麻葛派琐罗亚斯德教的吸引力也显然比不上摩尼教和基督教;而且,只要两大帝国彼此敌对,基督教在波斯帝国的传播就会引起萨珊帝国政府和琐罗亚斯德教教会当局的双重反感。这不仅仅是对具有排外思想的琐罗亚斯德教教会的冒犯。罗马帝国在公元312年以后,逐渐将基督教当作”国教”,使得信奉基督教的波斯帝国臣民受到嫌疑,被看作是一支罗马人的”第五纵队”,正如埃及的摩尼教徒更是毫无道理地被戴克里先怀疑为波斯人在罗马的”第五纵队”一样。在萨珊波斯帝国的起家之地,基督教徒只是一些散居居民,尽管他们的人数越来越多;但在约维安于363年割让给沙普尔二世的尼西比斯和5个亚美尼亚边界省份时,当地居民则全部都是基督教徒。基于这些原因,萨珊皇帝沙普尔二世(公元309-379年在位)于339/340年开始了对本国基督教徒的迫害。在他去世以前,这种迫害始终未停。但他的第二位继承者沙普尔三世(公元383-388年在位)与罗马皇帝狄奥多西一世交上了朋友。两大帝国相互关系的缓和,不仅使两国有可能在公元387年通过协议瓜分亚美尼亚王国,而且使得波斯帝国同意容忍基督教在本国的存在。这是罗马-波斯两国协商谈判的结果。波斯帝国停止了对基督教徒的迫害,波斯的基督教会行政组织也形成了统一。而且,公元410年在底格里斯河畔的塞琉西亚举行了一次波斯基督教会会议之后。波斯皇帝伊嗣埃一世(公元399-420年在位)重申了他在此前已经颁布的一项宽容法令。

    第四十一章 印度文明

    (约224-490年)

    首任萨珊波斯皇帝阿尔达希尔一世在位期间(公元224-242年)于公元241年推翻了贵霜帝国。此前,德干的萨塔瓦哈纳(安得拉)王国崩溃。这两次相继发生的政治突变导致印度次大陆出现了持续一个多世纪的政治真空。自公元前4世纪德干地区并入库揭陀帝国以后,这一地区在大约600年间一直是一个政治整体,起初是与北印度联合,公元前232年阿育王死后摩揭陀帝国发生分裂,这一地区又成为一个独立的政治单位。在这个普遍的政治空位期内,最稳定的是半岛的南端地区。阿育王未曾征服的一些王国这时期仍然存在。西印度于公元1世纪在贵霜皇帝宗主权下建立的两个塞人辖地,至少有一个也仍然存在。这两个塞人封邑中靠南边的一个占据着马哈拉施特拉,它曾经侵犯过萨塔瓦哈纳的领土,可能在同该王国的斗争中屈服了。靠北边的辖地占据着乌贾因周围的马尔瓦,在贵霜帝国垮台时仍然存在,因此成为一个独立的国家。

    非政治活动方面有更大的连续性,保存至今的犍陀罗视觉艺术,形象地表达了西北印度大乘佛教的发展;在朱木拿河上游位于贵霜领土上的秣菟罗,土生土长的印度艺术风格接受了希腊的影响,但没有受到希腊风格的支配。这里一直是这一艺术流派的故乡。在语言文学方面,公元后的最初3个世纪,一种新的梵语逐渐取代了从原始梵语中发展起来的方言,成为刻写铭文的语言。在这3个世纪中,南印度还兴起了泰米尔语文学。

    阿育王的铭文大都是用方言刻写的,只有刻写在塞琉古一世割让给旃陀罗笈多的前阿契美尼德领土上的铭文例外。无疑,孔雀帝国的行政语言也是这种方言。上座部佛教经文使用的巴利语即是孔雀时代的方言之一。在这一时代,原为次大陆的印欧语系入侵者使用的原始梵语,除婆罗门教仪式以外肯定已不再使用,除了在原来是口传心授,后来形成文字的《吠陀》和《奥义书》中以外,肯定也已无人读写。新梵语与同时代出现的新雅典希腊语一样,是一种矫揉造作的语言。湿婆教、毗湿奴教和大乘佛教的经文就是用这种语言写成的,《罗摩衍那》和《摩诃婆罗多》这两部印度史诗最后成形时使用的也是这种语言。尽管《摩诃婆罗多》的原始主题显示,这一史诗至少在公元前一千年代的最初几个世纪就开始成形了。但人们一般都认为,这两部史诗是在公元前200年到公元200年之间完成的,梵语复兴对新生的泰米尔语文学的影响证明了它的活力。德干地区使用的语言到现在一直是达罗毗荼语。不过德干的阿育王铭文全都是用起源于原始梵语的方言刻写的。但对泰米尔语文学产生影响的印欧语系语言却不是这种方言,而是新梵语。

    公元3到4世纪,印度文明继续向次大陆以外扩展。印度文明早在公元1世纪就已开始向东南扩展,4纪时向这一地区扩展的力量得到进一步的加强。整个大陆东南亚除了公元前140年以后并入中华帝国的越南北部外,这时都成了印度文明区域内的一部分。这种印度化的媒介是贸易和宗教,而不是军事征服,东南亚民族也不只是被动地接受印度文化。它们使这种文化明显地带上了东南亚的色彩,尽管这种色彩也不是非印度化的。同时,佛教从印度西北部通过乌浒河和药杀水流域以及塔里木盆地从陆路传入中国,在这里,大乘佛教使上座部佛教说一切有部的影响黯然失色;新梵语写成的大乘经卷译成了中文;大乘佛教的有形媒介,犍陀罗的希腊一印度艺术风格对中国、从而也对朝鲜和日本的视觉艺术产生了革命性的影响。

    印度次大陆的自然地理状况,使印度诸帝国自然而然地把朱木拿河-恒河流域现属比哈尔邦和北方邦的这一地区当作自己的基地。从公元前5世纪建国到公元前2世纪崩溃,这一地区一直是摩揭陀帝国的中心。但是,从公元前2世纪,到公元3世纪贵霜帝国被推翻,北印度的政治重心却不是朱木拿河-恒河流域,而是印度河流域。公元4世纪、北印度的政治结构又突然恢复了常态。这时,与公元前5世纪一样,南北比哈尔在政治上再次携起手来。这次不是通过征服,而是通过王室的联姻。而且,统一的比哈尔再次获得力量,从其有利的战略位置上向外扩张。

    笈多王朝的创建者与其公元前4世纪的前驱,孔雀王朝的旃陀罗笈多同名。我们相应地以公元320年作为4世纪旃陀罗笈多的笈多王朝时代的创始之日,但笈多帝国的真正创始人是这位创建者的儿子沙摩陀罗笈多(约公元330-380年在位)。沙摩陀罗笈多在德干一次引人注目的袭击战中登场,他的不朽功绩是扩大了朱木拿河-恒河流域笈多王朝版图。创建笈多帝国的决定性步骤是旃陀罗笈多二世(公元380-418年在位)采取的。大约在公元395年,他征服了建都乌贾因的塞人辖地。随后,他向西推进到海岸地区,由此为笈多帝国打开了一扇通向阿拉伯海之窗。

    笈多帝国在南方和西北方的扩张都没有达到孔雀帝国那么远的地方。笈多帝国的南部边界是温德亚山脉和纳巴达河;西北部直接统治的地区以昌巴尔河和朱木拿河上游为界,旁遮普只有东南部的一半处在它的宗主权下。没有关于笈多帝国和萨珊帝国发生冲突的记载。可能有一个贵霜帝国不稳定的残余,出现在二者之间,形成了一个缓冲国。

    笈多家族是信仰婆罗门教的印度人,但他们象孔雀家族和贵霜王室一样容忍一切宗教。在笈多政权统治下,公元4至5世纪的印度文明在雕塑、用新梵语创作的世俗文学(特别是戏剧)和天文学方面达到了顶峰。希腊-罗马世界的落日余晖通过印度的西部窗口射进了笈多帝国,但这只是微光一现。笈多时代辉煌的印度文明是土生土长的。笈多帝国是被来自欧亚太平原的匈奴游牧民族的入侵摧毁的。印度文明的”黄金时代”也被这一入侵打断。匈奴人的第一次袭击发生在公元455年,随后又发生过多次,尽管匈奴人在公元528年被击退,但他们并没有被驱逐出去。

    第四十二章 公元4-5世纪来自欧亚大平原的匈奴冲击波

    据历史记载,欧亚大平原东端最早的占领者,是操突厥语的游牧民族。中国人称之为匈奴,而中国西部受它侵扰的其他定居民族称之为匈族人。公元前4世纪,中国的秦、赵、燕三国的最北端,延伸到了欧亚大平原的南边。公元前307年,赵国统治者募集了一支按游牧民族风格装备起来的骑兵队伍。公元前4世纪末,这三个中华边疆小国沿着与欧亚大平原接壤的边界筑墙,以防御游牧民族的侵袭。

    游牧生活方式不仅把人们训练得能征善掠,而且使他们组织严密,治理有方。对于人类和人类驯化的动物来说,没有计划和纪律,就无法在草原上生活下去。因此,当秦始皇于公元前221年在政治上统一了中国,并将地区性的边墙整修加固成一条连绵不断的长城之时,匈奴则在长城边上组织起一个帝国与之对峙。公元前209-前203年间,中国出现的短暂而剧烈的无政府状态,为匈奴提供了进攻的良机。公元前174年,他们还向西扩张,迫使其西面游牧邻居开始了迁徙运动:月氏人迁到了乌浒河-药杀水流域,塞人迁到了印度。公元前128年,中国的汉武帝向匈奴发动了反攻,试图消灭匈奴,或者至少永久性地征服他们。但是,汉匈百年战争(公元前128-前36年)却未分胜负。公元前52年,离中国最近的部分匈奴向中国皇帝称臣。但是,中国取得的这一胜利是表面和暂时性的。同时,其余的匈奴部落通过进一步向西迁徙,避开以长城为基地的中国军队的打击,从而完全逃脱了中国的控制。

    直到当时为止,匈奴尚未向中国以外的任何定居社会发动过任何进攻。可是,在公元4世纪和5世纪里,他们不仅向中国再度发动进攻,而且侵入了乌浒河-药杀水流域、印度、伊朗和欧洲。这是欧亚大平原的这个游牧民族发动的第五次冲击。然而,与其所有前辈不同的是,匈奴人这次冲击行动在各个方向同时展开。

    公元304年,匈奴的一个部落入侵中国,于311年攻下洛阳,312年攻下已灭的汉朝的第一个首都长安,并于316年灭了西晋(建立于280年,它在政治上重新统一中国)。这支匈奴部落对中国成功的再度入侵,为其他蛮族的大举进攻开辟了道路。别的蛮族,包括另外的匈奴部落、藏人、通古斯人或蒙古人。西晋王朝寿命短暂,整个华北,蛮族胜利者建立的小国林立。

    公元375年,在大平原的另一端,另一支匈族部落袭击了住在伏尔加河与顿河之间讲伊朗语的阿兰人,推翻了来自斯堪的纳维亚讲日耳曼语的东哥特人在第聂伯河流城建立的帝国,并把想在罗马帝国领土上寻找避难地的西哥特人,赶到了多瑙河下游的南岸。匈奴人向最西部发动的这些进攻,最终导致西哥特人和罗马人之间的冲突。公元378年,罗马人在阿德里安堡遭到毁灭性的打击。匈族人带着被征服的阿兰人和东哥特人一道向西挺进,并让其他讲日耳曼语的蛮族人打头阵。

    匈奴人在匈牙利大草原上安营扎寨,这是欧亚大平原来的人建在大陆欧洲半岛腹地的一个营地。从公元395年起,罗马帝国就发生分裂,它的东部比西部显得更有活力。西部匈奴的军事首领阿提拉,因而集中力量进攻西罗马帝国。把西罗马作为打击目标是失算的,但在阿提拉可能进攻的两个罗马目标中,这一个更为脆弱。公元451年,他进攻高卢,但在奥尔良被西罗马军队和西哥特人联合击败。西哥特人期望西罗马政府允许他们在西南高卢居住,因而极力防止匈奴人占领西哥特人从罗马得到的领土。公元452年,阿提拉进攻北意大利,但尚未进军罗马城就撤退了。453年,阿提拉去世。被他降服的日耳曼人和撒马利亚人举行起义。匈奴人在西方的部族大举东撤,从匈牙利大草原一直追到欧亚大平原通往黑海北部的西海湾地区。

    因此,西罗马帝国没有成为匈奴人的战利品。相反,它成了讲日耳曼语的蛮族人的战利品。这些蛮族人逃避了匈奴的征服,或者虽被他们征服,但又在阿提拉死后举行了起义。公元406年,大批苏维汇人、汪达尔人、阿兰人和勃艮第人,渡过莱茵河进入西罗马领土。410年,西罗马政府承认它无力为不列颠提供防御,同时,它也无法挽救罗马本身,以避免其于同一年被逃避匈奴人的西哥特人所攻占。所以。向西入侵的匈奴人让其他的蛮族人交了好运,把西罗马帝国让给了他们。匈奴人最终在罗马帝国只获得不多的领土。公元681年,一支保加利亚游牧部族(阿提拉所率匈奴人后裔的一部分),在多瑙河下游和海缪斯(巴尔干)山脉南麓之间的东罗马领土上、为自己赢得了一块永久立足之地。

    公元484年,这支匈奴人击退并杀死萨珊波斯皇帝佩罗兹,在波斯同盟发动的战争中崭露头角。这场战争始于公元359年,结束于波斯人攻取罗马要塞阿米达(迪亚巴克尔)。到了484年,这个厌哒人(阿布达利人)部族已经占领了乌浒河-药杀水流域的上流地区。粟特和巴克特里亚曾经是贵霜帝国的属地。第一位萨珊皇帝阿尔达希尔一世统治的波斯,于241年征服了贵霜帝国,似乎把这两个地区并入萨珊波斯帝国。我们不知道,这些省份在厌哒匈奴人占领前就逃脱了波斯的控制,还是在以484年波斯惨败告终的军事较量之前,厌哒人直接从波斯帝国的手中将它们夺过去的。

    在这次惨败之后,波斯帝国不得不向厌哒人进贡,一直到哥士娄一世科斯洛埃斯(531-579年在位)在位期间。在哥士娄一世在位期间,波斯帝国于公元558年或563-567年间,对厌哒人进行了报复。哥士娄当时在突厥人中找到了同盟者。后者是曾在匈奴人的后方称雄于草原的一支游牧部族。波斯人和突厥人联手推翻了厌哒人的帝国,并沿乌浒河瓜分了它的领土。波斯帝国因而获得乌浒河南段大夏的部分领土(托卡里斯坦,即现在的阿富汗乌兹别克斯坦)。但是,厌哒人的其余部分,则在兴都库什山脉南部的查布尔斯坦(阿拉霍西亚)幸存了下来。

    在从草原出发、穿过草原南边帕米尔高原和里海之间地段的匈奴人马中,厌哒人是先头部队。值得一提的是,这支先头部队455年入侵印度,摧毁了笈多王朝,并对笈多王朝统治下一直处于”黄金时代”的印度文明,进行了大破坏。528年,这支匈奴人被最后赶出境外。

    匈奴人的大举入侵,使被侵略地区经受了一次严峻的考验。东罗马帝国和萨珊波斯帝国最为成功地迎接了这一挑战。尽管东罗马帝国没有抵挡住阿提拉的进攻,尽管厌哒人把波斯帝国打得大败,但是,这两个帝国都没有被征服;它们以进贡的代价换取了生存。波斯帝国能继续生存下去,不能说不是一件令人惊讶的事。因为,484年军事惨败导致的马兹达起义,表明了公元6世纪波斯帝国所患社会痼疾的严重性。在同一世纪里,西罗马帝国也在受着同一种社会疾病的折磨。可与波斯帝国不同的是,西罗马帝国分崩离析了。

    西罗马帝国瓦解了,而东罗马帝国却依然完好无损。它确实使东罗马帝国抛掉了一个包袱。因为,在地中海西部地区及其非洲和欧洲内地,希腊-罗马文明自从公元3世纪崩溃以后,就根本没有复兴过。在希腊-罗马世界的最后阶段中,只有黎凡特地区的社会生活还能正常地进行着。匈奴人的侵略,对印度和中国的影响不象对西罗马帝国那样严重,但他们所受的打击比东罗马帝国和波斯帝国更为惨重。在印度和中国,匈奴人的入侵并不仅仅是滚滚而过的暴风雨,侵略者还在这两个次大陆永久地居住下来。在印度西北部,匈奴人现在依然以拉杰普特人为代表。这些部族很快皈依印度教,并融入刹帝利种姓之中,就象过去侵入印度的欧亚游牧部族一样(例如塞人和钵罗钵人)。在中国,蛮族入侵者最终也被同化了。但是,匈奴对中国的打击格外沉重。渭河流域和黄河下游,是公元4世纪及后来被匈奴和其他蛮族占领的中国土地。这一地区曾经是中国文明的发祥地。同它相比,西罗马帝国崩溃时,希腊-罗马文明所失去的地区,仅仅是可以牺牲掉的殖民兼并地。然而,由于面积广大,中国和印度次大陆得以避免崩溃之灾。在这个国家里,当侵略者从北部攻入时,逃难的人们都可以跑到南方未得安宁。大自然和人类的工程,保护了中国的南部。在淮河和长江下游,还有人工运河,这些河网水路,对更加习惯于在华北平原生活和征战的欧亚游牧民族的骑兵,形成了巨大的障碍。

    第四十三章 罗马帝国与波斯帝国

    (395-628年)

    公元388年,罗马皇帝狄奥多西一世再度统一罗马帝国。公元895年,狄奥多西的两个儿子阿卡狄乌斯和洪诺留,同样再度瓜分了罗马帝国。公元260年,波斯皇帝沙普尔一世打败并俘虏罗马皇帝瓦莱里安。从此以后,罗马帝国经常分裂(其中有些分裂是自愿进行的,有些则是被迫的)。但每次分裂之后,帝国最终还是重新获得统一。公元395年,人们毫无理由期望这一年的自动分裂将长久维持下去,然而,这一次帝国东西部的命运则是截然不同的。

    公元406年以后,来自匈奴、讲日耳曼语和伊朗语的民族向西进军,不断涌入西罗马帝国,并逐渐占据上风。410年,西哥特人攻陷了罗马城。455年,罗马又遭汪达尔人的洗劫。在476年前的很长时间里,西罗马帝国政府就已经十分虚弱。西罗马帝国最后一位皇帝,在拉韦纳(5世纪西罗马帝国的避难首都)被他的步兵首领鲁吉人奥多亚塞废黜。罢黜西罗马帝国皇帝,使帝国形式上重新获得统一。君士坦丁堡皇帝芝诺(474-491年在位)成为全罗马帝国的最高统治者。西罗马帝国灭亡了,而东罗马帝国继续存在,尽管沿多瑙河下游的边疆所受北方的压力,要比帝国在黑海和北海之间的其他欧洲大陆边疆大得多。此外,罗马帝国东部边疆的近邻,并不是好战的蛮族集团,而是与罗马帝国有着同样发展水平的波斯帝国。

    显然,395年后罗马帝国两大部分命运上的差异。并不是由于它们各自边疆所受压力程度上的不同而形成的。它们之间的社会和经济状况的差别,以及君士坦丁堡政府相对成功地采用适宜的治国方略挽救了危局,这些才是根本原因所在。

    君士坦丁堡政府很快认识到,不仅已无法挽救西罗马帝国,同时,牺牲掉它也是必要的。东罗马帝国为挽救崩溃中的西罗马帝国的唯一大规模干预行动,是468年出动海军远征,攻击西北非洲的汪达尔占领军,但遭到惨败。君士坦丁堡政府认可了西罗马帝国政府476年最终灭亡的既成事实。488年,通过对东哥特军事首领狄奥多里克入侵意大利、消灭奥多亚塞行为的默许,从而使这伙一直掠夺骚扰东罗马帝国西北部省份的武装匪徒的祸水它移。狄奥多里克在拉韦纳自封为君士坦丁堡政府统治此地的副总督。这种分裂对双方都很适宜。508年,皇帝阿纳斯塔修斯一世为法兰克军事首领克洛维授勋,表彰他打败西哥特人的功绩。当然,克洛维征战中立的第一功,是清除了罗马在高卢的残余统治力量。直到518年,东罗马政府才给予叙利亚和埃及优先获得意大利的权力。它的外交政策从其宗教政策中反映出来,这个问题将在下一章中提及。

    西罗马政府的致命错误之一,就是让大土地所有者担任行政机构中的重要职务,因而使他们把经济上自己控制的地产,转化为实际上独立的领地。当帝国政府让他们服役时,这些地主宁愿背叛政府来保护自己的那部分财产。他们很容易向那些在西罗马帝国建立国家的蛮族军事头目妥协。东罗马政府不断将政治上危险的地主撤职,并把高级文官到低级文官,都换上中等阶级的专业人员,其中有许多人是法学家。这些专业人员也会腐败,但他们是爱国的。因为他们认识到,自己的私利要求保存东罗马国家。

    至少有两个东罗马皇帝,即马西安(450-457年在位)和阿纳斯塔修斯一世,通过对帝国财政管理实行更为严格的控制,而大大减少了官员们的腐败现象。此外,在5世纪很长一段时期里,通过剥夺东罗马帝国高级官员对下属的任命权,而大大限制了这些人的权力。马西安和阿纳斯塔修斯一世采取的严格的行政措施,重振了由于468年海军远征惨败而大伤元气的东罗马帝国的财政。士兵以及国库,都得益于对军队财务官员腐败行为的遏制。阿纳斯塔修斯一世不让市政委员会成员向人们征税,并没有使纳税人得到多少益处。他任命帝国官员直接向纳税者个人收税。但由于这些官职被拍卖,因而把领薪水的官员变成税务投机商,使他的措施收效甚微。

    在西罗马帝国,步兵首领迫使其同伙附属于自己,从而取得了专制权力。在东罗马帝国,两位军事长官权力不相上下,他们三位地方上的同事也有同等权力。528年,皇帝查士丁尼一世又在亚美尼亚设立了第四位地方军事长官。东罗马军事长官的部下也被置于文官的控制之下,他们的私人卫兵虽没取消,但人数也大大减少。

    不仅如此,东罗马帝国军队中的蛮族雇佣军,也被从各级指挥职位上撤下来,换上东罗马帝国的公民。在君士坦丁堡,400年清除掉了哥特人盖那斯,471年又清除了阿兰人阿斯帕尔。皇帝利奥一世(457-474年在位)是一个讲色雷斯语的贝斯人,他的继承者芝诺来自托罗斯的伊索里亚高地。查士丁一世(518-627年在位)来自巴尔干半岛北部拉丁化地带的南端。

    在5世纪期间,伊索里亚人从”狼”转变成”护羊狗”,真是一项了不起的成就。404和405年,伊索里亚人仍在袭击比他们稍为规矩些的邻伙。贝斯人利奥给伊索里亚以大量财富,从而压制住了阿兰人阿斯帕尔。正当伊索里亚人试图效法外来蛮族人滥用权力时,它自身已于491-496年被阿纳斯塔修斯一世置于帝国政府的有效控制之中。在6世纪里,巴尔干半岛北部的伊索里亚人、贝斯人和拉丁化民族(弗拉克人),都为查士丁尼一世提供了军队。查士丁尼一世用这批军队,收复了地中海西部地区原属西罗马帝国版图的土地。

    狄奥多西二世(408-450年在位)修造的君士坦丁堡土城墙,代替了君士坦丁一世最早建造的土城墙。阿纳斯塔修斯一世建造的长城更为宏伟,它从海岸的一端延伸到另一端,把君士坦丁堡的欧洲腹地包围其中。他在德拉修筑了比尼西比斯要塞更坚固的城堡。363年,约维安曾经被迫把尼西比斯割让给波斯帝国。阿纳斯塔修斯还在西奥多西奥波利斯(埃尔祖鲁姆)修筑城堡,以保卫曾为亚美尼亚王国的罗马领土。

    公元5世纪,西罗马帝国极其虚弱,甚至连精明强干的皇帝(例如马约里安,457-461年在位),都没有办法阻止西罗马帝国走向灭亡。而同一时期的东罗马帝国却十分强大,它得到了充分显示其能力、活力和治国方略的机会。从414至518年间,东罗马帝国的幸运还在于它有杰出的统治者。狄奥多西一世的儿子及其在东罗马帝国的继承人阿卡狄乌斯,与他哥哥和西罗马帝国皇帝洪诺留相比,显得格外出色。阿卡狄乌斯的儿子狄奥多西二世却不太出色。他在位时间长达42年(408-450年)。然而,他却不理朝政,因而由他姐姐普尔喀丽娅于414年开始执政,并直到她453年去世前的大部分时间里,都继续在幕后操纵朝政大权。普尔喀丽娅与哈特谢普苏特女王和芝诺比阿同样性格坚强,但她的治国才能却超过后两人。普尔喀丽娅的丈夫马西安,以及马西安的继承人利奥和芝诺,都是出色的皇帝。阿纳斯塔修斯一世更为杰出。从奥古斯都公元前31年在亚克兴角的胜利,到1453年君士斯丁十一世死于君士坦丁堡的圣罗马努斯门,罗马朝廷中杰出的皇帝辈出。而阿纳斯塔修斯一世可以与其中最为出色者相提并论。

    在后人眼中,查士丁尼一世比阿纳斯塔修斯一世稍高一筹。查士丁危受过良好教育,精明强干。他是行伍出身的查士丁一世的侄子。查士丁一世原为弗拉克的农民,应征为士兵后地位不断升迁。甚至在查士丁518年引退之前,查士丁尼也许就已开始参与查士丁的政事。查士丁尼本人在位年代从527至565年,所以,他实际上执掌了47年的大权。因此,518年东罗马政府外交政策和宗教政策的转变,决策者也许就是查士丁尼,而非查士丁。查士丁尼为自己是讲拉丁语的少数人之一而自豪,因为东罗马的大多数人讲的是混杂的希腊语。他渴望重新统一原东西帝国的全部版图,或许只是高卢除外。

    533-534年,西北非被征服,查士丁尼一世的杰出将领色雷斯人贝利萨留,消灭了汪达尔人在西罗马帝国领土上建立的国家。非洲战役一举成功,但后来为使这块重新征服的领土平定下来,却十分艰难并旷日持久。为了根除东哥特人在意大利和伊利里亚的统治,战争持续了26年(535-561年)。这场罗马与东哥特人间的战争,使意大利变成一片荒凉废墟,耗尽了阿纳斯塔修斯一世曾使之充盈的国库,并且,由于赋税繁重,一直繁荣富裕的地中海东部沿岸诸省,迅速陷于贫困萧条之中。同东哥特人进行战争的教训,并未吓住查士丁尼一世,因为他又于550年对西哥特人在西班牙的领地发起进攻,直到554年占领了那里的一个滩头堡后才停止进攻。

    查士丁尼的征服战争,使君士坦丁堡罗马帝国在整个地中海四周以及从顿河、奥龙特斯河和尼罗河入海口到直布罗陀海峡,都取得了海上优势,但同时又给东罗马帝国造成了严重的后果。仅仅是468年的一次海上战役,就在一定程度上带来了不利影响。查士丁尼一世统治的后果,反过来证明其君士坦丁堡前任的谨慎是十分英明的。在他之前的皇帝们,除向西方发动过一次军事冒险之外,从没用过兵。

    查士丁尼一世对西方的征服没有维持多长时间。仅在他攻陷东哥特人在意大利的最后一个堡垒7年之后,伦巴德人就于568年侵入意大利。查士丁尼在法律和建筑领域里的成就,才是意义深远的。529-533年间,查士丁尼一世的法学家,不仅将正在实施的罗马法律加以归纳整理,使之便于操作(尽管不一定最合理),而且把过去1000年来提出的极为浩繁杂乱的法学观点系统化。在建筑方面,查士丁尼并没有掀起一场革命,但他喜爱建筑,并为之作出了贡献。他委任特拉利斯的安提米乌斯和米利都的伊西多尔这两位天才的数学家和工程师,在君士坦丁堡设计和建造了一个建筑佳作–圣索菲娅(神圣智慧)大教堂。

    希腊世界最初的标准建筑式样,是带一个三角山墙屋顶的长方形房屋。这种正厅外面饰有圆柱(柱子或者只建在房前,或者建在四边)的房屋,被用作前基督教时代希腊、埃特鲁斯坎和罗马男女诸神的殿堂庙宇。随着圆柱从房外移入屋内,在后亚历山大时代这种房屋变为教堂。这种教堂在成为基督教堂的标准式样之前,还曾被用作进行一些世俗活动。但是,公元2世纪的意大利,一种新型水泥的发明,为建造带小圆屋顶的圆形建筑提供了技术手段。这种风格的最早建筑物,是罗马城哈德良皇帝的万袖庙。在拉韦纳的圣维塔利斯教堂和君士坦丁堡的圣塞尔吉乌斯以及巴克乌斯教堂建筑中,圆顶叠在八边形的基座之上。这种设计曾使建筑学家大伤脑筋。这些建筑作品都是由查士丁尼一世和他的王后狄奥多拉监造的。圣索菲娅教堂的圆顶,则是由形成正方形的四根方柱支撑的。

    君士坦丁堡的圣索菲娅教堂,足与雅典的帕特农神庙相媲美。相比之下,伊克蒂诺的艺术,不如安提米乌斯和伊西多尔的艺术精美。正厅的主要特色就是,线条绝对垂直和水平,绝对得甚至有些造作,而柱子则是绝对的圆柱体。但在大自然中没有什么绝对完美的几何形状;这些形状(不管是真实的还是虚构的)是由人的大脑设计构造出来的,并由人的双手强加在人类的非人的环境里。在拜占庭按照圣索菲娅风格建造的教堂中,流行着圆顶和半圆顶,以再现大自然物体的曲线。它们并不试图统治大自然,而是试图获得与大自然的某种和谐。用中国道教哲学家的眼光看来,拜占庭教堂要比希腊神庙更令人赏心悦目。

    古希腊人并不轻视自然曲线。他们是自然主义地再现人体美的杰出大师。从原始几何风格开始,古希腊花瓶不管其造型经历了多少演变,总是以曲线美巧夺天工。古希腊人也知道如何把精心设计的曲线应用到建筑上面。但他们所设计的曲线,在建筑上却给人以十分直率的视觉效果。拜占庭建筑师所修造的绝妙房宇,没有用过于直率的线条,而是用类似于古希腊雕刻家和陶工所设计的曲线,这同古希腊建筑师的设计则大为不同。

    查士丁尼一世的圣索菲娅教堂至今犹存,他的法官们所制定的法典至今有效。但是,他对西部的暂时征服,却在他死后仅37年,就使他的帝国陷入困境。而他谨慎的前任们,却将帝国安然带出险象环生的5世纪。550年,即查士丁尼与东哥特人长期而痛苦的战争结束之前,从弗拉克当地征集到意大利作战的军队,在进军途中击退了来自多瑙河北岸的入侵者。572-591年罗马和波斯战争期间,东罗马帝国军队云集亚洲境内的帝国东部前线。此时,阿瓦尔人和斯拉夫人,未遭阻击就侵入了帝国的巴尔干诸省。604-628年间,罗马帝国和波斯帝国发生了更为艰苦的战争之际,斯拉夫人再次骚扰,这次,他们没有再离开此地。

    东罗马帝国的对手萨珊波斯帝国,也面临着东罗马帝国极力避免或与之斗争的痛苦的折磨,而西罗马帝国在5世纪正是于这些痛苦中灭亡的。萨珊帝国与它的前身阿萨息斯王朝一样,没有让贵族独占高级官职。特定的官位是特定的贵族家庭的世袭特权。此外,琐罗亚斯德教在萨珊波斯帝国的势力非常大,就象基督教在君士坦丁堡和狄奥多西的罗马帝国的地位一样。与以前的阿萨息斯时代相比,在萨珊时代里,琐罗亚斯德教也带有强烈的伊朗民族主义色彩。黎凡特地区的正统基督教也是如此。5世纪,当埃及人、叙利亚人和亚美尼亚人的民族主义,在抵制卡尔西顿会议决议的过程中寻找到神学的表达时,正统基督教也逐渐浸透了希腊的民族主义。

    440年,萨珊皇帝伊嗣埃二世要求他的所有非琐罗亚斯德教教徒臣民信奉帝国确认的宗教。他迫害不信奉国教者,直到457年去世时为止。佩尔萨门尼亚的反抗最为激烈。(大约400年,表达亚美尼亚语言的字母系统的发明,以及由此促使亚美尼亚文学的勃兴,都大大提高了亚美尼亚人的民族意识。)亚美尼亚人的起义于451年被镇压下去。但在波斯军队被厌哒人打得大败之后,亚美尼亚人于481年再度起义。484年皇帝佩罗兹战败身亡后,萨珊帝国政府被迫对亚美尼亚基督教采取完全容忍的态度。一位亚美尼亚贵族马上被任命为佩尔萨门尼亚的省长。

    同时,伊拉克讲叙利亚语的基督教徒,也由于431年罗马帝国宣布聂斯脱利派的基督教义不合法,而得到益处。聂斯脱利教徒逃到讲叙利亚语的尼西比斯避难。尼西比斯从363年起,就属于罗马-波斯边界上的波斯一边。作为逃避罗马帝国政府迫害的避难者,聂斯脱利人在波斯土地上受到欢迎。482-486年间。萨珊帝国讲叙利亚语地区的基督教会,为报复罗马皇帝芝诺482年偏好基督一性论派的统一声明,而接受了聂斯脱利派的基督教形式。此后,波斯帝国就有了国家基督教,以便同波斯帝国讲伊朗语地区的琐罗亚斯德国教相抗衡。但它所信奉的教义,既为基督一性论派所排斥,也受到罗马帝国正统基督教教徒的反对。接受聂斯脱利派的基督教教义,并没有保证波斯帝国的基督徒免遭进一步的迫害,但由于消除了人们关于他们是罗马派来的”内奸”的怀疑,从而使他们获得了更为安全的处境。

    波斯484年的军事失败,不仅使它开始对萨斯帝国非伊朗基督教徒实行宽容政策,而且为伊朗本身发生激烈的社会革命开辟了道路。因为,伊朗达官贵人的巨大财富与大众的贫困之间的巨大鸿沟越来越大。佩罗兹的第二个继承人喀瓦德一世(488-496年,499-531年在位)上台之初,一场饥荒将社会危机推到顶点。玛兹达乘机宣传自己的主张。他是当时摩尼教的一派首领。此派创立时间,仅比摩尼创立本教晚30年。它的教义在许多方面不同于正统摩尼教。但到了玛兹达时代,这一摩尼教派已明确提出社会正义的要求。它主张共产共妻(人们对这后一点很反感,玛兹达的敌人更是拼命攻击这一要求)。

    玛兹达关于光明与黑暗的解释,赢得了人民的拥护,皇帝喀瓦德一世也成为此教的信奉者,因而兴起一场削弱达官显贵财势的社会革命。玛兹达教损害了伊朗贵族的社会地位。对于琐罗亚斯德教教徒来说,此教不仅损害了他们的社会地位,而且与他们的教义格格不入。当伊朗贵族和琐罗亚斯德教教徒联合起来反对萨珊皇帝时,喀瓦德一世显然不是对手,496年他被罢黜并监禁。但是,喀瓦德一世后来逃到中亚厌哒人那里,并于498或499年,依靠厌哒人的一支军队,夺回了波斯帝国的王位。与此同时,玛兹达的势力和影响继续保持上升势头,他的共产主义继续被实施。但是,528或529年,喀瓦德一世在他的一个儿子哥士娄(已被立为他的继承人)的煽动下,开始不承认玛兹达教。在这一关头,琐罗亚斯德教和聂斯脱利教的首领都反对玛兹达教,他们配合哥士娄取缔了玛兹达教。哥士娄屠杀了大批玛兹达教教徒,处死了玛兹达本人。

    别号”不朽者”的哥士娄一世十分精明,而且比起前任来,更为滥用皇权。由于在其父统治后期,他一直主张镇压玛兹达教派,从而博得了琐罗亚斯德教教徒们的欢心。所以,他不必担心琐罗亚斯德教教会与贵族结盟反对他。相反,他成功地赢得了这两者对他的权威的认可。哥士娄把玛兹达镇压下去时,玛兹达革命已经进行了40余年,达官显贵又恢复了元气。

    尽管哥士娄一世取缔了玛兹达教,并在即位后继续限制贵族的权力,但他承认,他必须采取积极措施来解决或减轻导致玛兹达革命的社会不公问题,他必须对使贵族得以控制王权的机构加以改革。哥士娄似乎从戴克里先之后的罗马历史中得到了启发。他重新估定土地税和人头税。他按生产率的高低征收土地税,按生产工具的精良程度课人头税。在伊朗阿拉伯哈里发的后萨珊政府时期,农村的乡绅负责征集农村诸税。哥士娄或许也把这一权力交给了乡绅。在他竭力抑制贵族时,乡绅成了皇帝的天然同盟军。哥士娄还撤销了总司令这个职位,代之以4个地方司令官。看来他好象认识到了东、西罗马帝国命运不同的一个重要原因。

    572年,哥士娄一世与东罗马帝国发生战争。战争延续到590年,以哥士娄一世的儿子和继承人霍尔密兹德四世的罢黜和处死而告终。丧失民心的战争,给贵族提供了重新恢复势力的机会。一个反叛贵族篡夺了皇位。但东罗马皇帝莫里斯,把霍尔密兹德四世的儿子哥士娄二世立为皇帝。作为报答,哥士委二世于591年与莫里斯媾和,把佩尔萨门尼亚的西半部割让给他。莫里斯终于可以把东罗马军队调回欧洲,向阿瓦尔人和斯拉夫人发动反攻。反攻极为成功,到602年,罗马人自3世纪撤出达契亚以来,第一次再度出现在多瑙河下游北岸。但是,莫里斯发出关于军队冬季到多瑙河以外驻扎的命令,导致了军队的哗变。莫里斯被赶下皇帝宝座,并被处死。帝国也陷入一片混乱之中。

    604年,哥士娄二世借口为恩人莫里斯复仇,率军侵入东罗马帝国。自从公元前53年罗马人与其伊朗近邻爆发第一次冲突以来,还没有哪次战争比这次双方的冲突更为残酷。波斯军队至少有两次入侵到博斯普鲁斯海峡亚洲岸边。626年,东罗马帝国海军竭尽全力,使波斯人企图与从海峡欧洲一侧围攻君士坦丁堡的阿瓦尔人会合的计划破产。波斯军队占领了叙利亚、巴勒斯坦、埃及和昔兰尼加。自从公元前331年以来,波斯人还从未西进得如此之远。而东罗马人在最后的反攻中,也向东挺进到公元117年以来罗马军队未曾去过的地区。628年,东罗马皇帝希拉克略几乎已推进到了泰西封。随后,就象572-591年的战争那样,这次战争以当时的萨珊皇帝的罢黜和处死告终。

    628年,两个大国在互相承认战前领土状况的前提下媾和。波斯帝国当即陷入极端无政府的状态,就象东罗马帝国在602-610年间所经历的混乱情形一样。但与东罗马帝国不同的是,波斯帝国再也没有从无政府状态之中恢复过来。

    628年,这两大帝国都精疲力尽。622年由先知穆罕默德在麦地那建立的伊斯兰阿拉伯国,却渔翁得利。穆罕默德崛起之快,可以同沙普尔一世260年战胜瓦勒利安之后,巴尔米拉王子的迅速兴起相比。633年,穆罕默德的第一个继承人艾卜伯克尔向北方的两个邻居同时发起进攻。波斯帝国被灭;东罗马帝国再次幸免于难,但其领土日益缩小,缩小到只有小亚细亚、君士坦丁堡,加上地中海北岸的一些大陆滩头堡以及一些岛屿。

    第四十四章 西方基督教世界

    (395-634年)

    在旧大陆文明中心所有遭受来自欧亚大平原匈奴冲击的国家中,西罗马帝国受到的打击最为惨重。受匈奴人西侵的影响,过着游牧生活的撒马利亚民族和过定居生活的东日尔曼民族被迫向西迁徙。大约在406年左右,匈奴人侵入西罗马帝国边疆。到了476年,甚至连当时在西方仅仅徒有虚名的帝国政体,此时也已被消灭了。西罗马帝国的灭亡主要不在于蛮族入侵的强大力量,而更多地归咎于帝国内部的衰弱。这种衰弱同时体现在社会和行政管理两个方面。西罗马帝国的弊端和导致中国汉朝灭亡的弊端同出一辙。在与大奴隶主和军事首领争夺权力的较量中,帝国政府失败了。奴隶主们把属于帝国政府的财富–隶农的”剩余”产品装进了他们自己的口袋,而军事首领则轻而易举地集结军事力量,他们成功地使自己成为政治上的统治者。

    在西方帝国崩溃的前夜,先后出现了两位伟人,他们是圣安布洛斯和圣奥古斯丁。他们两人对西方基督教世界产生了深远的影响,而这种影响比他们所生活和工作过的帝国的灭亡所带来的影响还要长久。在372-397年间,圣安布洛斯是米兰的主教。他死后第七年-404年,西罗马帝国把首都从米兰迁到了拉韦纳,拉韦纳靠它的沼泽地带成为一个坚不可摧的天然要塞,他死后第九年-406年,受到匈奴压迫的东日尔曼流亡者,突破了西罗马帝国的莱茵河防线。奥古斯丁在395-430年间担任西北非希波地方的主教,他死于汪达尔人入侵非洲的第二年。注达尔人渡过莱茵河后第二十三年,即429年,经过西班牙到达非洲。430年,他们包围了奥古斯丁主教所管辖的那座非洲城市。

    这两位西方教士有着非常不同的社会背景。在他们被任命为基督教传教士之前,他们从事务不相同的世俗职业。安布洛斯是一位最高级文职官员的儿子。至于安布洛斯本人,他也是从做文职官员起家的,而且毫无疑问,他本可以做到他父亲那样的高官,但是他却转入了另一个活动领域。在这一领域,他能够而且确实更善于行使权力。奥古斯丁出身于西北非内地的一个小镇塔加斯特的一个中产阶级家庭。奥古斯丁起初是家乡的一位修辞学教授。尽管这种职业无论从理性还是从社会意义来说都非常乏味,然而奥古斯丁却干得很出色。奥古斯丁从塔加斯特升迁到迦太基,又从迦太基升迁到罗马,随后又被提升到米兰。388年,奥古斯丁在米兰从摩尼教皈依基督教,这样他在自己的知识领域里,找到了一条把自己的天赋奉献给教士生涯的道路。

    安布洛斯靠自己的勇气和坚强的意志支配了另一个强有力的人物,这就是皇帝狄奥多西一世。安布格斯通过拒食圣餐向狄奥多西一世施加压力,直到狄奥多西按他的要求去做为止。狄奥多西很顺从,因为他是一位虔诚的基督徒,而且他也不得不认真考虑基督教的公共舆论(在当地基督教徒的坚决要求下,安布洛斯成了米兰的主教)。安布洛斯巧妙地运用他的权力,让皇帝狄奥多西苦修,以赎他曾两次发动大屠杀之罪;他恶毒地运用权力,以阻止皇帝惩罚一个曾摧残过一名犹太教徒的基督教主教;384年,他又鼓动皇帝拒绝了罗马元老院议长西马丘斯把胜利女神祭坛重新搬回元老院议事堂的请求。这个胜利女神祭坛是在382年被狄奥多西的前辈格拉提安搬走的。西马丘斯在他的请愿书中写道:”如此伟大的一个神秘事物是不可能仅仅通过一种简单方式来接近的。”西马丘斯心中的神秘事物是存在于现象背后的”终极实在”,以及这种”终极实在”与人类之间的关系。安布洛斯没有答应西马丘斯要求宽容的这种请求。安布洛斯的目的就是禁止罗马帝国疆域内的所有异教习俗。他是通过说服帝国政府行使它的权力来达到这样的效果。狄奥多西在391-392年期间执行了安布洛斯的政策。最终在帝国幸存下来的异教习俗只有占星术和犹太人、撒马利亚人对耶和华的礼拜。

    奥古斯丁也是一个不容异说的人。他把大量时间和精力花在同多纳图斯派与贝拉基派的论战上。多纳图斯派表示。在进行道德论战时,他们决不向同时代的基督教徒妥协。在303-311年间,基督教各派之间彼此已经和解。但是,多纳图斯派却并不因此而约束自己,因为他们本身已参加到当地非洲人的活动中去,这种活动是不具有宗教色彩的社会政治的活动。贝拉基坚持认为人类意志至少应有一定程度的自由。人类有义务运用这种自由行善弃恶。这位不列颠神学家像伊朗人那样坚持认为,人类的道德责任无论在何时何地都是有益的,即使在贝拉基和奥古斯丁那一代的西方世界也不例外。此时,在西方罗马帝国,社会正在走向崩溃,圣奥古斯丁则坚持认为,人的优点还不足以使他通过自身的努力得到拯救。因为对人的拯救,上帝的”恩典”是必不可少的。在非宗教的日常生活里,拉丁语”gra-tia”一词的使用,从偏爱的意义上讲,意味着一种特别强烈的人类的”喜爱”。奥古斯丁同贝拉基派的争论导致他提出这样一种观点:由于上帝的绝对权威,甚至连人类一部分人得到拯救和另一部分人被罚入地狱都是预先决定好的。奥古斯丁根据一个罗马皇帝的肖像勾勒出上帝的画像,这个皇帝被过多的权力冲昏了头脑,而滥用权力。

    奥古斯丁留给后世的最有价值的文学遗产是两部非神学的著作。在他的《忏悔录》里,他运用自己所精通的拉丁语,撰写了一部心理自传。在他的《上帝之城》里,奥古斯丁把一部曾引起争论的小册子加以发挥和深化,循着一条可供选择的途径,对”伟大的神秘事物”进行了深入探究,而人类的思维循着这一途径便能触及这个”伟大的神秘事物”。奥古斯丁这部书的写作源于这场论战,而这场论战又是由西哥特人于410年洗劫”罗马之城”这个事件所引起的。君士坦丁坚信并声称,他的军事胜利是基督教上帝对他皈依基督教的恩赐。410年以后,异教徒对此反驳道,410年罗马的衰落是异教诸神对391-392年罗马镇压异教崇拜而施予的惩罚。奥古斯丁着手准备驳斥这种观点,并开始探索人类世俗生活和他所同时参与的天国之间的关系。

    奥古斯丁专注于写作之际,正是北部蛮族入侵之时。其中的一些入侵是很突然的。例如,410年西哥特人对罗马的突然袭击;455年汪达尔人对罗马的突然袭击;以及此前406-408年这3年间,汪达尔人与阿兰人、苏维汇人一道,向从莱茵河东岸到比利牛斯山脉南侧广大地区的推进。相比之下,盎格鲁人,撒克逊人和朱特族人对不列颠的局部占领,伦巴德人对意大利的局部占领,却都是一个逐渐吞食的过程。就象公元前第2千纪的最后二、三百年中,古以色列人和犹太种族的人对迦南的局部占领那样。在大不列颠,”哈德良长城”早在公元383年就不起什么作用了,但在不列颠的一些要塞地方,罗马驻军仍坚持驻扎了40年之久。日尔曼入侵者对不列颠土地的永久占领,也许大约在420-440年间之前尚未开始,这一占领过程用了2个世纪左右的时间。

    遭受蛮族占领和罗马人反击损失最大的国家是意大利。那时,意大利已经成为整个罗马帝国的中心,而且是帝国西部文明程度最高的地区。535-561年间的罗马-哥特战争已经标志了东罗马帝国的瓦解。在这场战争中,占领意大利的东哥特人被消灭了,但遭受损失最大的却是当地的意大利人。5世纪,西哥特人和汪达尔人对意大利的入侵尽管耸人听闻,但只是偶然的和短暂的。470年,西罗马帝国政府的解体是平静的,而东哥特人的入侵就如同日尔曼民族大迁移那样,战争是在两支蛮族之间进行的。直到535年意大利还保持着政治上的统一,以及经济上和社会上或多或少的完整。535-561年间的战争是意大利历史的转折点。意大利人最终在东罗马统治下,重新统一了国家,然而仅仅7年之后,568年伦巴德便闯入了意大利。从568年起,意大利在政治上分裂了,这是自公元前264年以来,意大利的第一次政治分裂。公元前264年,古代罗马人完全征服并统一了意大利半岛。伦巴德人比东哥特人更为野蛮,已经饱受535-561年战争蹂躏的意大利遭受了更为悲惨的灾难,在对意大利缓慢的征服过程中,伦巴德人在那些仍然为东罗马军队坚守的地区遇到了顽强的抵抗。

    与此同时,486年,即东哥特人的军事首领狄奥多里克从伊利里亚向意大利进军的两年前,一位法兰克地方的军事首领,出身于墨洛温家族的克洛维已经开始在高卢建立起帝国。法兰克人尚未皈依任何基督教派,而以后克洛维却在他一生的某一时刻,作为一名天主教徒领受了洗礼。克洛维选择基督教中的天主教形式,无疑是因为这是他的罗马臣民的宗教,或许还因为在他的近邻,敌对的日尔曼帝国的缔造者们,都是阿里乌教派的信徒。486年,克洛维成了卢瓦尔河沿岸西哥特人的邻居。496年,他占领了莱茵河上游地区的阿勒曼尼,于是又成为东哥特人的邻居。

    东日尔曼人接受基督教阿里乌派是他们皈依基督教时的一个偶然结果。他们占领西罗马领土,并在那建立了后继王国之后,占领者很高兴拥有了自己民族的家教,从而与他们天主教的罗马臣民区分开来。然而,这种区分却导致了感情的疏远,而且当法兰克作为天主教力量出现后,其更成为信奉阿里乌教派的日尔曼人的严重障碍。并且,阿里乌教派的日尔曼人自己也逐步地被他们臣民的宗教强烈感染了。这些臣民无论在文明程度还是在数量上都超过了他们。对于汪达尔人(他们例外未成为固执的阿里乌教徒)或东哥特人来说,天主教尚未来得及对他们施加影响。这两个民族在改换宗教的问题尚未提出之前,就在东罗马人的反攻中被消灭了。但是,在586年,西班牙的西哥特国王理查德放弃了阿里乌教派,自愿地改信了天主教。伦巴德人在7世纪的意大利,也进行了同样的改宗,但却勉强得多,缓慢得多。

    到了586年,西哥特人被局限于西班牙已长达80年之久。507年,克洛维在武耶击败了他们,并把他们从所占领的全部领土上驱赶到比利牛斯山脉的北部,仅据有比利牛斯山脉东端和罗讷河口之间的沿海地带。这样,克洛维到了他死的那一年,即511年,已经统一了除普罗旺斯之外的整个高卢地区。普罗旺斯此前已经为东哥特人从西哥特人手中夺走。克洛维在法兰克人聚居的所有地区建立起他的王国。531-534年,克洛维的继承者吞并了图林根和勃艮第。522年,他们把自己的宗主权强加给巴伐利亚。墨洛温人正在建立以北高卢为中心的一个新帝国,来填补西罗马帝国在西欧遗留下来的、尚未解决的政治空白。如果6世纪末叶克洛维的后代没有把墨洛温王朝的疆土作为私有财产,在相继的几代里加以不断瓜分的话,那么法兰克帝国也许可以取代西罗马帝国。这些瓜分以及随之而来的内战,劫掠了高卢,并使分裂的法兰克领主们丧失了战斗力。

    在6-7世纪交替之际,东罗马帝国仍然保持着它在西地中海地区以及东地中海地区的海上控制权。它还控制着地中海的所有岛屿,不仅包括西西里岛,而且还包括西北非。西北非是它们当中最大的一个,而且的的确确是一个岛屿,因为撒哈拉沙漠这个沙海把它与非洲其他地区隔离开了。东罗马帝国还控制着意大利东北部的前沿基地,这个前沿基地以拉韦纳为基础连同威尼斯泻湖中的岛屿。就围绕罗马城的东罗马领土的飞地而言,君士坦丁堡政府把它留给了教皇,让教皇尽力防御,保护这块远离东罗马领土的地区。在伦巴德人入侵意大利时,幸存的迪卡特斯?罗曼努斯并不比公元前5世纪的阿吉尔?罗曼努斯的规模更大。

    公元5世纪和6世纪,西方基督教世界各个地区都明显地陷入了危急的困境。然而,即使在最黑暗的时刻,一些天主教教会的西方代表人物也显示出他们的精神力量。教皇利奥一世(440-461年在位)对451年在卡尔西顿举行的基督教普世会议的决议产生了决定性影响。452年,教皇利奥一世在劝使匈奴首领阿提拉结束对意大利北方入侵的罗马使团里扮演了领导角色。利奥一世的教皇任职与圣巴特里克对爱尔兰的传教活动是同一时期。不列颠籍的罗马人巴特里克与非洲籍的罗马人圣?奥古斯丁同属一个社会阶层。巴特里克曾被爱尔兰入侵者抓住并遭奴役。他从爱尔兰奴役下逃离出去,又作为一名基督教传教士(约432-461年)自愿回到爱尔兰。6世纪,基督教在爱尔兰生根。爱尔兰的基督徒采用了隐居和共同修道这两种禁欲的生活方式。

    同时代的圣?本尼狄克在卡西诺山上制订了他的禁欲法规。本尼狄克大约在529年开始他的工作。这时,意大利还处在和平时期;他大约死于547年,而这时的意大利已处在罗马-哥特战争的艰苦状态。然而,本尼狄克的禁欲主义不仅幸存下来,而且还得以传播。本尼狄克的工作由教皇格列高利一世(590-604年在位)继续下去。格列高利把他在罗马的住所变成了本尼狄克式的修道院,自己也成了一名僧侣。此后,他成为君士坦丁堡的第一位罗马教皇的使者,随后做了教皇。

    作为教皇,格列高利不得不用教皇在西西里土地上的农产品供给罗马的人民。他还得就东罗马政府利益同富于挑衅的伦巴德人协商。而在597年,当伦巴德人紧逼罗马大门时,格列高利试图派一个传教团去劝化偏僻的肯特人的朱特王国。在格列高利死后,这一传教使命由一支被派到诺森伯里亚的盎格鲁人王国的传教团最终完成。罗马传教士保罗在627-632年期间担任约克的主教。但在634年,他的职位被来自艾欧纳的爱尔兰传教士艾丹取代。艾欧纳是苏格兰西海岸的一个小岛。艾丹在远离诺森伯里亚海岸的林迪斯芳(霍利岛)建立了一所修道院。

    在爱尔兰,禁欲生活的传入引发了迅猛的传教活动。圣?科伦巴大约于563年在艾欧纳岛上建立了爱尔兰修道院。他于597年死于艾欧纳。这一年,教皇格列高利派他的传教团从罗马到了肯特。大约在590年,另一名爱尔兰传教士圣?科伦班穿过爱尔兰到了不列颠,从不列颠到了欧洲大陆。科伦班在吕克瑟伊的勃艮第建立起一所修道院。这所修道院成为法兰克领土交通网的关键之地。610年,他到了康斯坦斯湖。613年,他穿过阿尔卑斯山脉,在意大利西北博比奥建立了一所修道院。615年,他在那里去世。634年,在诺森伯里亚任职的爱尔兰传教士艾丹填补了632年成为一名流亡者的罗马传教士保罗遗留下来的空白。在诺森伯里亚,罗马人与爱尔兰人传教的区域交错重合,于是罗马人的基督教会和爱尔兰人的基督教会之间的对抗便不可避免了。

    第四十五章 基督教会的建立与分裂

    (312-657年)

    在311-312年期间,基督教会的命运经历了一次突如其来的巨变。在它经受了8年来罗马帝国政府最残酷的一次迫害之后,加莱里乌斯皇帝临终前首次认可了基督教会,尽管他是很不情愿的。在这之后的18个月里,教会又受到获胜的皇帝君士坦丁一世的充分支持。此时,君士坦丁已控制了半个欧洲。这番经历本可以使教会的性质经受住任何历史阶段的考验。然而,从3世纪开始,随着成员、财富的增加和权力的扩大,教会也发生了蜕变。它使得教会的最高层人物变成了利欲熏心的人。217年,为了罗马主教一职,发生了一场卑鄙的争夺战。在250年,257-260年,303-311年间,教会也成了迫害对象。比起在基督教纪元最初的2个世纪中,教会所受到的短期残酷的局部性的迫害来说,这一时期的迫害,就显得更为有计划、有预谋。教皇卡利斯图斯一世在罗马主教任期(217-222年)上的令人厌恶的行径,因迦太基主教西普利安在258年殉难之事而显得微不足道了。

    加莱里乌斯迫害教会,君士坦丁青睐教会,他们的目的是一样的。两个都热切希望维持帝国的统一。自从奥勒利安把帝国置于异教万神殿里至高无上之神”不可征服的太阳”的庇护之下,便认识到要想维护罗马帝国的统一,甚至要想维持帝国的存在,必须得到一个已确立的宗教的支持。在3世纪末叶之前,萨姗波斯帝国选择了琐罗亚斯德教,亚美尼亚王国选择了基督教,来作为它的国立宗教。加莱里乌斯承认,基督教会力量之强已超过了他自己。而这种断言又得到了进一步证实。君士坦丁由于梦见十字架,靠上帝的帮助旗开得胜之后,他决心把基督作为”不可征服的太阳”,把基督教确立为罗马帝国大一统的宗教。

    人们满怀信心地期待着业已确立的基督教能够有效地推动罗马帝国的统一。基于这一点,一直到311年,教会都相当成功地维护了自身的统一。自从耶稣死后不久,基督教会建立起来,之后,教会的内部矛盾便不断地威胁着它的生存,又不断地被克服。或者通过调解,或者把论战中的弱方镇压下去,革除教籍,从而使这些纷争得到平息。在311年,东起奥斯罗伊那和亚美尼亚,西到不列颠,非犹太人的天主教会是一个统一的整体。可现在,教会在其后期,突然因某种格外强大的压力而解体了;教会历来的统一没能经受住这次考验。如今,教会内部的宗派分裂代替了原先罗马帝国人民内部异教徒和基督教徒的对立。而罗马帝国政府,自从君士坦丁皈依之后,一直期待着教会的统一能够支持帝国的统一,但最终发现自己无力劝说相互纷争的基督教各帮派,让它们之间和平相处。自从君士坦丁312年皈依之后,直到他337年死去,教会的内部分裂一直困扰着他,并一直困扰到君士坦斯二世(641-668年在位)时期。在君士坦斯二世统治时期,君士坦丁堡帝国政府和教皇之间的争执,是由穆斯林阿拉伯人从中解决的。阿拉伯人把帝国从一性论的基督教臣民中解脱出来;把帝国政府从不切实际的责任中解脱出来,从而同时安抚了两个势不两立的基督教宗派。

    311-312年之后,基督教会无法控制的内部分裂一直阻挠着君士坦丁一世和他的后继者们。事实上,这也是不可避免的。当基督教被罗马帝国认可之后,当基督教徒因而在帝国人口中占了大多数时,罗马帝国政府便再也不能象先前那样控制基督教会了。此前,基督教徒还只是少数人。这并不奇怪,基督教只不过是犹太教的一个宗派,它继承了犹太教不愿妥协的传统。

    而且,在新形势下,基督教会的争端与社会、政治争端趋于一致。天主教与多纳图斯教派之间的冲突,演变成了努米底亚和迦太基之间,隶农和奴隶主之间的冲突。虽然阿里乌神学最终在帝国失败了,但它成了入侵帝国的蛮族人的特征。阿里乌教派一度在帝国取得优势时,这些入侵者皈依了基督教。关于”三位一体”学说的争论演变成亚历山德里亚–托勒密王朝的前政治首都与安条克–塞琉西王朝的前政治首都之间基督教会的权力之争。关于”三位一体”中圣子的人性和神性关系的一系列争论,则演变为罗马帝国政府和它的讲叙利亚语、科普特语的臣民之间的斗争。由亚历山大大帝建立起来的,靠罗马势力维持的希腊人的支配地位面临着挑战。同时,帝国政府也在寻求保护自身的统治权。顺便提及,基督教会的第二和第四次普世会议为君士坦丁堡教廷维护自身利益提供了机会。第二次会议(381年)使人们认识到君士坦丁堡教廷的地位仅次于罗马。在第四次会议(451年)上,君士坦丁堡教皇取得了对托罗斯山脉西北面的整个小亚细亚半岛和整个巴尔干半岛最东部地区的宗教管辖权。

    4世纪和5世纪的基督教会论战,并非仅仅打着世俗争端的幌子。在这点上,它们逐渐趋于一致,而那些使基督教徒分化的伦理、神学和管辖权的争端则是实实在在的。这些争端所激起的宗教情感,质朴并得到广泛传播。为什么在这个时期,基督教会的事务会和帝国的世俗事务交织出现呢?这有一个很实际的原因,即基督教会已成为罗马帝国的统治机构,因而帝国各民族、各地区、各阶层和团体都受到了基督教会的影响。

    首先展开的是道德方面的争论。与公元初年那次迫害一样,在303-311年间的宗教迫害中,也有许多基督教徒叛教,而其他人则坚持下来了。其中有些人付出了生命的代价。是把这些叛教的基督教徒连同那些坚定的基督教徒一同重新接纳到教会里来呢,还是让他们永远遭受辱骂呢?教会成员中大部分仍在职的幸存者,采取了比较宽宏大量的、人道的、具有政治家风度的立场,他们赞同原谅这些意志薄弱的人。在大多数地区,基督教团体中坚持不肯原谅他们的人只占少数,而且最终也都被驳回了。可是,在西北非,这些反对和解的人始终不肯妥协。他们对待那些本身历史很清白的和平使者的态度,就象对待那些曾叛教的基督教徒一样充满了敌意。因为和平使者希望原谅这些叛教教徒们的那段不光彩的历史。西北非的这场争端很快就激化了。313年,君士坦丁皈依之后,他深感有必要对此进行干预。君士坦丁相信基督教会的内部分裂会惹怒上帝,如果皇帝不能有效地结束这种局面,那他连同教会都将会冒失宠的危险。君士坦丁努力想把非洲四分五裂的宗派拉到一起,先是调解,后是强制,但始终未能如愿。

    317年到657年间发生的神学争论是无所不及的,甚至触及了《马太福音》、《路加福音》和《约翰福音》中有关耶稣信仰的问题。当然,这些争端早在312年以前就开始了,而且自从2世纪起,便有基督教徒已经能够从古希腊哲学的角度来讨论神学。例如,伊里奈乌斯大约在185年写的《反异端》一书。基督教会的建立,起初受到人们欢迎,但后来就带有强制性了。它把基督教的神学争端变成了帝国的公共事务。而且,少数受过希腊文化教育的帝国公民,总的来说,一直对基督教教义很敏感,直到从希腊哲学角度来表述这些教义。由于这两个原因,312年后,一场关于基督教神学的坦率而详尽的争论使在所难免了。而且基督教徒厌恶妥协的态度使这些讨论变得更加执拗、尖刻。

    当《马太福音》、《路加福音》和《约翰福音》撰写出来的时候,一些非犹太人的基督教徒已经相信耶稣就是上帝。根据《马太福音》和《路加福音》,耶稣没有人父,他是由童贞女因圣灵降孕而生的。根据《约翰福音》,耶稣就是上帝旨意的化身。这时,犹太教已认为这个半独立身份的耶稣是由圣父的旨意和圣灵创造的。而琐罗亚斯德教则认为这是由阿胡拉?马兹达从不同方面来创造的,但这就削弱了上帝的整体性和独一性。而犹太人恰恰是要塑造上帝的这一点,基督教徒不会也不能不承认他们从犹太教那儿继承了一神论,但是他们既承认了一神论,又怎么能够同时信奉耶稣和耶和华呢?

    据记载,耶稣曾说他自己是”上帝之子”。我们可以从隐喻的角度来理解这个说法,而且除耶稣外,其他一些正统的犹太教教士也曾把自己称为上帝之子。《马可福音》的说法是:上帝对耶稣宣称,他已收养耶稣作为圣子了。但其他3部福音则暗示说:耶稣就是上帝的儿子,从第五王朝起,法老具有了父亲的资格。不管从某一种或其他几种可能的角度来看,不管耶稣是否是上帝的儿子,但无疑他是一个人。如果他真的是上帝之子,那么我们不仅要问:圣子和圣父之间是什么关系?而且我们还要进一步问:圣子的神性和人性之间有什么关系?我们还要问:耶稣的母亲,玛利亚又是什么身份呢?她是人,不是女神。是不是可以因她儿子的神性就把她称为”圣母”(东正教赞美玛利亚的赞美词)呢?

    在反问这些问题时,基督教神学家们所使用的字眼已超越了人类经历所及的范围。因为早在公元前5世纪末叶之前,他们的口头和书面语言都是希腊语。说希腊语的人很热衷于玩文字游戏,就好象这些文字是现实存在的东西似的,哪怕它们是既无思想对应物又无现象对应物的陈腐之词。324年,君士坦丁一世,试图解决西北非关于叛教教徒地位的争端。他受挫之后,却发现他还得调解关于圣子和圣父关系的争论。这场争论发生在亚历山大城主教亚历山大和曾是亚历山大城的一个教区神职人员阿里乌之间。君士坦丁写信给这两位辩论者,说他们之间争论的问题根本就不该发生。到了648年,君士坦斯二世干脆禁止当时有关基督教神学争端的任何深入讨论,不管它是认为基督身上存在两种意志和作用,还是认为只存在一种意志和作用。

    324年、648年及其间的任何争论言词,或许是,或许并非毫无意义。但是,这些争论言词无疑激起了强烈的宗教感情,这种感情激化导致了武力冲突。在431年和449年的以弗所宗教会议上,埃及的修道士和基督教的兄弟会成员实施了恫吓行为;在第二次会议上,埃及人给君士坦丁堡主教弗拉维安以致命的人身伤害。从君士坦丁一世到君士坦丁二世,所有的皇帝都依次证明了自己无力安抚这些神学家们。325年,君士坦丁一世不得不在尼西亚召集基督教第一次普世会议,并主持了这次会议。为此,他杜撰了一个希腊单词homoousios(”本体相类”),这是他原先十分痛恨的一类字眼。阿里乌的对手,曾在328年接替亚历山大任亚历山大城主教的亚大纳西看来取胜了。然而381年,狄奥多西一世又不得不在君士坦丁堡召集基督教第二次普世会议,即便那时,阿里乌引起的争论也未能平息。哥特传教士尤尔菲拉斯(约311-383年)向东部日耳曼人传播基督教的阿里乌教派。君士坦斯二世和皇帝瓦林斯都是阿里乌教教徒,而且尤尔菲拉斯又是他们的同代人。可能出于这些原因,尤尔菲拉斯便幻想着要长期、系统地传播阿里乌教。当东部日耳曼人侵入帝国时,便把他们的阿里乌基督教一并带了过来。至于君士坦斯二世为了保持安定而下的禁令,却激起了教皇马丁一世疾声厉色的抗议。教皇被逮捕并遭受了肉体折磨,然后被放逐到克里米亚。

    阿里乌并未否认圣子也是神。在他生活的时代(约250-336年),对于耶稣神性的信仰流行于非犹太人的教堂。基督嗣子论的信徒们只能在基督教世界边远偏辟的大自然中才得以幸存,例如在幼发拉底河上游两个支流间的山脉里,比利牛斯山脉里和阿斯图里亚斯山脉里。但阿里乌坚持认为,圣子既然是由圣父创造的,就不可能与圣父是同代人,就不能等同于圣父。尼西亚宗教会议把圣父、圣子和圣灵摆在绝对平等的位置上。同时又重申它们共同构成一个上帝。这种一神论和”三位一体”学说的结合仅只是咬文嚼字而已。尼西亚宗教会议的实际结果,是把圣子提到了第二个至高无上的神的地位。到这时,基督教的一神论已是名不符实。

    圣子神性的加强是埃及人观点的一个胜利。(虽然阿里乌是亚历山大城教会的一个神职人员,他的神学却是安条克基督教神学。)在431和449年的以弗所宗教会议上,埃及人获得了进一步的胜利。431年,他们给君士坦丁堡主教聂斯脱利定了罪。因为他反对把玛利亚当作圣母,从而一再强调耶稣的人性。聂斯脱利派基督教徒被骂成”二性论者”(就是,相信圣子有两个不能统一的性质)。聂斯脱利的失败是安条克神学院在帝国境内的一次决定性的失败。崇尚一性论的皇帝阿纳斯塔修斯一世在489年关闭了以弗所以聂斯脱利思想为主导的神学院。但聂斯脱利神学教义在尼西比斯寻求到了庇护。尼西比斯自363年起就已处在罗马帝国的东部边境之外。因而,聂斯脱利教派同比它更激进的阿里乌教派一样,在帝国之外幸存下来。

    到了449年,埃及人比他们在431年时候更加得势。他们进一步强化了一性论教义,说圣子只有一个性质,即他的神性,尽管他孕育于人体。但是451年在卡尔西顿,废除了449年以弗所宗教会议通过的法令,宣布圣子有两重性,郎神性和人性,二者统一于一体。现在,埃及人遭受到了聂斯脱利教派的命运,他们被责骂为分裂教会的人。

    埃及人虽然遭到了谩骂,但是他们不会被革除教籍或遭到迫害。在埃及,一性论是源于人们对神学的嗜好。这种嗜好是一种群众性的运动,而且还发展到了邻国叙利亚。叙利亚曾是强调上帝人性神学的故乡。一性论也吸引了亚美尼亚人。亚美尼亚教会在491年接受了一性论,而且当罗马帝国政府在518年从一性论者变成卡尔西顿决议的信徒时,亚美尼亚教会并没有追随它。亚美尼亚人另外提出了一种基督教观点,既不同于罗马的观点,也不同于波斯人的观点。一性论者把卡尔西顿决议的信徒诬蔑为二性论者、聂斯脱利秘宗和麦尔基派(”罗马帝国政府的走狗”)。从451年起,帝国政府只好既努力取悦于信奉非一性论的臣民、又努力取悦于信奉一性论的臣民。它不敢疏远一性论,因为信奉一性论的埃及和叙利亚是东罗马帝国的主要经济支柱。

    482年,皇帝芝诺《统一法》的公布导致了484年东罗马帝国和教皇的分裂。518年,芝诺和阿纳斯塔修斯一世崇尚一性论的政策被查士丁一世推翻了。这无疑是他的侄子、后来的继承者查士丁尼的提议。一性论者在政治上开始不满,查士丁尼本人大约在543年被迫作出毫无意义的妥协姿态:身为聂斯脱利信徒,却回过头来申斥已流行了60年的神学学说。

    从518年直到633-641年期间(叙利亚、巴勒斯坦和埃及在此期间都被穆斯林阿拉伯人占领了),东罗马帝国的一性论臣民处于逆境之中。幸运的是,他们中涌现出了3位杰出的斗士;皮西迪亚人塞维鲁,从512年518年,他一直是安条克的主教;查士丁尼的皇后狄奥多拉(查士丁尼早在527年就位之前即与其结婚,她死于548年,享年约50岁);詹姆斯?巴拉达尔斯,他是狄奥多拉的一性论门徒之一。根据罗马帝国东部边境一性论的阿拉伯教区委员哈里斯的提议,543年詹姆斯?巴拉达尔斯被任命为埃泽萨主教,他以毕生的精力不断奋斗,通过委任各级一性论神职人员,使一性论教会得以生存下来。

    狄奥多拉在帝国境外,为一性论又扩展了一块新的阵地。大约540年,她对她的丈夫采用了先发制人的手段,使努比亚改信她所信仰的宗教教派,以取代她丈夫所信仰的宗教教派。位于努比亚东南,今天埃塞俄比亚北部的阿克苏姆王国,大约在4世纪中叶皈依了基督教。6世纪,阿克苏姆和努比亚一样,也接受了一性论,东罗马帝国对此只得默认。阿克苏姆控制了埃及和印度之间的海岸线,它的统治者扮演着为罗马帝国的利益而与也门进行调停的角色。君士坦丁堡不可能为了一个神学问题而与阿克苏姆发生政治上的争执。

    311-312年间,罗马帝国基督教会命运改变的结果之一,是把殉教者变成了禁欲主义者,扮演起基督教教团中动人的英雄的角色。在帝国内部,基督教徒再也不可能被异教徒杀害。这时期需要一种新型的基督教英雄,禁欲主义者便应运而生,满足了这种心理上的要求。埃及隐士(”隐退者”)圣安东尼(251?-356年)比起法老时代的任何埃及人都更加著名,更受人尊敬。但是,未来的光荣并未属于隐士安东尼,而是属于另一个埃及人帕科米乌斯(290-345年)。此人在上埃及泰本尼西创建了第一个基督教禁欲主义者的互助会。在那里,禁欲主义者们生活在一起,组成一个有严明纪律的集体。早在帕科米乌斯出生之前约8个世纪释迦牟尼创建僧侣集团之际,类似的佛教组织便已在印度存在了,但在旧大陆文明中心的西端,帕科米乌斯建立的这群修道院却的确是一个新鲜事物。

    在创建这种机构的过程中,帕科米乌斯对整个基督教世界的生活产生了长远的影响。4世纪的卡帕多西亚人圣巴西勒(约320-379年)受帕科米乌斯的启示,为希腊语世界创造一种较之帕科米乌斯的形式要和缓一些的集体禁欲生活形式。大约529年,圣?本尼狄克起码是从圣巴西勒那里得到了部分启示,他在罗马东南面的卡西诺山,组建了一个修道院,制订了条规。这些条规后来成了拉丁语世界的准则。6世纪中,修道院在拉丁语世界西部边境之外的爱尔兰扎下了根。巴西勒式和本尼狄克式的条规都受到帕科米乌斯条规的影响。他们从埃及的典范中派生出来,坚持集体生活,严守纪律和努力工作。

    巴西勒和本尼狄克的宗教历史与释迦牟尼相类似,他们都是从隐士的禁欲主义生涯开始,然后成为修道院团体的创建者。巴西勒和本尼狄克从圣安东尼的禁欲主义形式向帕科米乌斯禁欲主义形式的转变,是他们各自精神体验的反应,也是帕科米乌斯才智的一种证明。帕科米乌斯创建集体性的修道院机构是一项卓越的业绩。因为普遍说来,埃及人和爱尔兰人一样,更受隐士生活方式的强烈吸引,而事实上,这种生活方式的吸引力是那种集体生活方式所不能提供的,隐居修道是一种让自身得以解脱的宽限期,而一个人的自由又为他发挥自己杰出的宗教才能提供了机会,尽管这也使他面临着陷入枯燥无味的自我禁欲主义或自私自利的表现欲中的危险。在任何实行禁欲主义的时空中,一个禁欲主义者的声望通常取决于他禁欲的程度。虽然上埃及的帕科米乌斯式的修道院很快就闻名于基督教世界,但这种集体性的修道院生活形式并不那么引人注目,反倒是西部荒漠中的隐士更为出名。圣安东尼成为他那个时代中旧大陆文明中心西端最有成就的人。其次是圣西米恩这个”基督教苦行者”,他之所以得到这个称号,是因为他在一根大柱顶上生活了47年。一个基督教苦行者固然能够激发民众,但集体修道生活对社会的影响则更为深远,也更为富有成效。

    第四十六章 印度文明

    (490-647年)

    在印度次大陆历史上的多数时期,印度人对宗教比对政治和经济更为关心。印度人自己对次大陆历史的记载反映在丰富的印度宗教文学中。但它们的年代却很难确定,甚至各种文学流派的编年次序也不是都能搞清楚的,文学对世俗事务的反映也只是附带的和断断续续的。我们对印度世俗历史的了解,在很大程度上依赖于来自希腊、中国、穆斯林世界和西方的外国观察家的记载,直到上个世纪,印度才出现一批用近代西方方法研究和写作的历史学家。401-410年间在印度朝圣的中国僧人法显的记载,是了解笈多王朝的重要史料;另一个中国佛教朝圣者–635-643年间在印度的玄奘,则是了解戒日王在位时期(606-647年)的资料来源,尽管也有一个印度作者对戒日王在位期间的历史也进行了记载,他和玄奘一样与戒日王是同时代的人,也是他的一个臣民。

    公元455年以后,次大陆历史上的决定性因素是匈奴人和其他欧亚游牧民族,例如瞿折罗人的民族大迁徙。匈奴人的第一次入侵发生在455年。刚刚继位不久的笈多帝国皇帝塞犍陀笈多击退了这次入侵,但匈奴人的入侵并未停止,在它们的冲击下,塞犍陀笈多在480年死去后,笈多帝国就崩溃了。

    入侵者和较早占据次大陆的民族之间的斗争此起彼伏。528年,匈奴人被赶到克什米尔。但在558年左右或563-567年间,乌浒河-药杀水流域的厌哒匈奴王国,被波斯人和突厥人合力推翻。胜利者瓜分了厌哒人的领土。可以推测,那些已经在印度取得了落脚之地的匈奴人由于厌哒难民的到来而加强了力量。至少,这种后果表明,在这次民族大迁徙中侵入印度次大陆的欧亚游牧民族是为数众多的,起码在阿拉伯穆斯林于711年征服信德和木尔坦的时候,北印度已经处在一个新兴的世俗统治阶层拉杰普特人(意为”众王之子”)统治之下。他们可能就是游牧入侵者印度化了的后裔。

    戒日王的父亲,朱木拿河上游的萨维斯伐罗(塔尼萨)国王再次遏止了侵略者。戒日王本人在606-612年间成功地重新统一了北印度。这一伟绩,使北印度在戒日王生前过上了太平日子,但戒日王的帝国则不过是复多帝国的效颦之辈。戒日王的主要优点在于他对宗教的宽容。他本人是一个湿婆教徒,一个太阳崇拜者,又是一个佛教徒。

    公元前232年,在北印度阿育王死后发生政治分裂的较量中,德干地区曾统一在萨塔瓦哈纳(安得拉)王朝的统治下。公元490年左右发多帝国崩溃后,历史好象又重演了。543年左右德干地区统一在遮娄其王朝统治下,620年当戒日王企图向纳巴达河以南扩张自己的帝国时,被遮娄其王朝的补罗稽舍二世击败。但是,遮娄其王朝本身又于642年被一个南印度的竞争对手帕那瓦王朝击败。帕那瓦人居住在半岛东岸的甘吉(康吉弗兰),他们可能是钵罗钵人,即公元1世纪初期占据印度河流域的安息人–塞人的后裔。642年以后的200年间,德干地区一直陷于分裂,小邦林立,彼此攻伐,混战不已。

    在大约490-647年期间,南印度唯一政治稳定的地区是潘地亚王国。在半岛南端几乎与世隔绝的领土上,它得以一直生存下来。同一时期印度南部唯一的一种稳定的文化特征是泰米尔语文学的持续发展,这种文学起源于公历纪元的早期。

    公元455年匈奴人发动入侵后,印度次大陆就陷入了政治灾难之中。但这并未阻碍印度文明越过次大陆本土继续向外扩展。笈多帝国建立后,大陆上的东南亚和印度尼西亚的印度化过程进一步加强了。公元5世纪印度出现了一次向这些地区移民的新浪潮。人们推测,其原因之一是匈奴人对印度的压力。在大陆上的东南亚,中国文明的领地仍然局限于现在的越南北部地区。在西藏,7世纪前半期中国文明和印度文明的影响相互竞争,而印度文明占了上风。

    尽管西藏与中国文明和印度文明双方的中心地区都离得很近,但可怕的自然屏障把它与这些地区隔离开来。直到公元7世纪以前,来自双方的影响几乎都难以渗入这一地区。西藏于607年首次实现了政治上的统一,这也许是在效仿589年中国的重新统一。641年,藏王松赞干布同时迎娶了一位中国公主和一位尼泊尔公主。这时的中国在政治上是处于上升状态。639-640年间,唐朝第二个皇帝唐太宗对紧邻西藏北部的塔里木盆地进行了征服。647年戒日王去世时,他的宫庭中正好有一个中国使臣。一个篡位者夺取了戒日王的王位,并虐待这位使臣和他的随从。于是这位使臣逃到尼泊尔,那时它处在西藏的宗主权下。应使臣之邀,松赞干布派兵进入印度,击败并生擒了篡位者,把他作为囚犯送往中国。但是印度文明却由于为藏语创造了一种印度式的文字而吸引住了西藏人。是这种文字而不是汉字被用来将大乘佛教的梵文经卷译成藏语,这样一来就在文化上把西藏紧紧拴在了印度身上。从此以后,中国文化的影响尽管一直没有离开西藏,却从来没有取得过至高无上的地位。

    第四十七章 中国的政治分裂和她对佛教的容纳

    (220-589年)

    正如我们在第35章曾谈到的那样,当汉武帝(公元前140-前87年在位)把垄断中华帝国官职的权力交给经过竞争性考试而被选中的儒生时,他试图向智能之士大开进仕之门。然而,结果却使得儒生官员们滥用手中的权力,获得了大量的私有地产。中华帝国的创建者秦始皇和它的第二位创建者汉高祖刘邦,消灭了战国时代的领主贵族。因为他们认为,如果允许大土地所有者存在,他们就会与新建立的统一政府竞争,占有中国农民的”剩余”产品。只要中国占主导地位的经济是农业,农民的”剩余”产品就是国家岁入的主要来源。在使自己成为大规模的土地占有者的过程中,汉武帝的儒生官僚们重新创造了一个臣民社会阶级,他们甚至有足够的力量向统一了的国家统治者挑战。

    官僚地主势力的联合是可怕的。他们可以地租的方式将大部分农民的剩余产品装入自己的口袋,而不是从政府的税收和徭役中得到它应得的份额。官僚地主在损害自己应尽的政府职责的情况下,追逐个人利益,造成公元9年西汉王朝的灾难。王莽试图维护帝国政府和农民的权益(他们利益一致,与官僚地主的利益相对立),但他失败了。东汉王朝不过是在西汉王朝的废墟上重新确立了这一体制。这一体制由于公元18-36年中国内乱中人口的减少而得以暂时存活,但是汉帝国固有的社会弊病最终也把东汉王朝带入了灾难。

    东汉帝国于公元220-222年分裂为3个国家,这使得中国社会的弊病更加严重。由于连年的国内战争,一直没有解决的土地所有制问题更加难以解决了。公元265-280年,中国重新统一。但是,新建立的晋王朝,显然象它的前任者们一样,未能解决土地所有制问题。紧接着,它于290年陷于分裂。304年及其以后,北部中国为来自欧亚大平原东端的游牧蛮族军事集团所侵入和征服。令人惊奇的是,这次大灾难并没有很快将中国压倒。

    公元3世纪中国的形势,与同时代希腊-罗马的形势相似。就象地中海地区那样,中国也存在着精神上的真空。儒家学说由于儒家官僚滥用权力而信誉扫地。他们对个人私利的追逐已经两度毁灭了帝国政府。2世纪末年,正当东汉王朝处于垂死的痛苦中时,少数智者对儒家学说感到厌恶而转向了与之竞争的道家哲学,民众则为寻求解脱而转向一种名义上归于道家的流行宗教。但是,由道教所激起和引导的农民起义为握有私人职业军队的军阀所粉碎。这些军阀成了”三国”的建立者。道家哲学的信徒们也使自己信誉扫地,这倒不是因为他们像儒家竞争者们那样滥用了权力,而是因为他们逃避应该承担的权力责任。他们宁愿退人琐碎的私人生活的享受中去。在采取这种消极方式的过程中,他们忠实于道家的传统。道家学说在其产生的战国时代,曾反对实际的经济活动和政治活动。它的理想是前文明时代社会的质朴和纯真。

    无论在公元前4世纪或在公元3世纪,这一消极哲学都未能迎合中国知识分子的精神需求。中国在3世纪所需要的是解决土地所有制问题,或者,在这一解决失败之后,能为失败者提供一个比道家学说更好的满足精神需求的避难所。5世纪时,鲜卑拓跋族最终有效地解决了土地所有制问题。拓跋族是入侵的蛮族军事集团之一,他们在中国北部建立了以魏命名的王朝。与此同时,在3世纪及其以后,中国的精神真空也为大乘佛教所填补,就象同时代的希腊-罗马世界的真空为基督教所填补一样。

    自2世纪起,大乘佛教就从乌浒河-药杀水流域经由塔里木盆地渗入了中国的西北部。东汉王朝曾于公元73年再度占领塔里木盆地和位于药杀水上游的大宛。他们与贵霜人为控制中亚这些地区发生了冲突。贵霜人早在公元48年就建立了一个横跨兴都库什山脉的帝国。贵霜帝国与东汉帝国的直接接触至少达一个世纪之久,直到2世纪末叶,两个帝国各自丧失了自已的控制力时为止。直接接触的一个世纪,包括贵霜皇帝迦腻色迦在位的时期(公元120-144年)。迦腻色迦是大乘佛教的保护人。这时的相互接触并不总是敌对的。中国与贵霜的战争之路也是从洛阳到粟特的丝绸之路,以及反方向的从粟特到洛阳的大乘佛教传入之路。确实,中国与河间地区自公元前128年就断断续续地保持着相互之间的联系。那一年,汉武帝的使者张骞在河间地区找到了贵霜人的祖先大月氏。

    公元2世纪和3世纪,大乘佛教进入中国的道路敞开着。佛教传教士们是热情的,他们预期的汉族皈依者在精神上则是饥饿的,因而对他们也是易于接受的。限制性因素不是自然的,而是精神的。中国人与印度人的思想、语言和文字是截然不同的。在这两个文明世界的每一个世界内,有特色的思想、语言和文字都是紧密相连的。到这时,汉语已经成了一种不再发生曲折变化的单音节语言,传达这一语言的”字”已不仅仅是文字,而是中国人生活态度的贴切表述。汉字所表述的一切东西都显得简要而具体。但是,印度思想抽象而又冗杂,新梵语又是多音节而极富于曲折变化的,大乘佛教的经文最初就是由新梵语记载传达的。

    据说,这些经文的最早翻译者们,曾竭尽全力。把梵文经文变成汉文词语,其结果不仅使佛教经文变了样,而且也使中国读者无法理解。2世纪末叶,在洛阳译经的一位翻译者是安息王子,我们只知道他的汉文名字是安世高。最优秀的翻译者之一是鸠摩罗什(344-413年),他的父亲是印度人,母亲是塔里木盆地的库车人。那时,塔里木盆地的方言与梵语一样,届印欧语系。鸠摩罗什曾在克什米尔学习说一切有部佛教学说,又在喀什学习过大乘怫教。大约382年,他成了一支中国突袭部队的俘虏。他第一次被抓是在甘肃。401年,鸠摩罗什从甘肃到达了长安。随后的8年里,他在专业助手的帮助下,翻译了大量的经文。

    另一些译经者是中国人。在5世纪、6世纪和7世纪,一些中国的取经僧侣或由陆路或由海路到达印度,在那里学习梵文,获得大乘经文的原稿,回国后又将这些原稿由梵文译为汉文。两位著名的中国取经者和译经者是法显(他于399-414年间出国云游)和玄奘(他于629-645年间出国云游)。他们在印度的游历,找们曾在前面的章节中提及。

    正是由于这些译经家,中国佛教徒逐渐获得了大乘佛教经文的汉文版本。汉文版本对梵文原有的含义进行了再加工。然而,在中国扎下根来,流传于民间的大乘佛教,实质上却是重新创造的有中国特色的佛教类型。这些佛教种类之一的净土宗,宣扬通过相信菩萨和阿弥陀佛得到解脱。另一个宗派是禅宗(梵文是Dhyana,日文是zen),宣扬通过修行顿悟。这两个学派为鸠摩罗什同时代的中国人所创建。与诚实谨慎的译经者们相比,将大乘佛教中国化的人取得了更大的成就。

    对中国人来说,佛教徒的修行至少与佛教思想一样,都是外来品。佛教传入中国以前,中国不知道寺院,更不知僧侣为何物。道家哲学是中国固有的最接近于佛教的思想方法。道家不赞成文明的兴起,远离公众事务,但他们的观念不是来世的。他们所描绘的仅仅是从复杂的工商社会退回到远古村社小国寡民那种相对简朴的生活中去。然而,将佛教经文译成汉文的第一批译经者却大量引用了道家术语,因为汉语中缺乏其他能够比较近似地表述佛教思想的同义语。无论是道家哲学还是民间的道教,为了保存自己反对佛教,都开始借用佛教的概念和教会形式,这是因为佛教已经在中国确立。两种宗教一或两种哲学一之间的关系是既排斥又联系的。它们各自的信徒相互竞争,因为他们感到了相互之间的密切关系。

    土地所有制问题对于中国社会和政府是至为关键的。显然,如果那时的中国不是恰好处于长期末能解决土地问题的最困难时刻,佛教就没有多少传入中国的可能性。无法解决土地所有制问题带来的恶果,是政治上的分裂和随之而来的蛮族入侵。从公元185年开始,在300年的时间里,中国的各个阶层都处于一种受到惩戒的情绪之中。在这种情绪中,他们比通常更易于寻求一种外来宗教以获得解脱。但在中国北部,只要社会状况和政治形势一出现转机,民间道数和儒生就会联合起来,发起遏制佛教的运动。应他们的要求,佛教组织被置于政府的监督之下,通过一个模仿儒家世俗行政机关的宗教官僚机构进行监督,而且,438年、446-452年和574-578年发生了灭佛运动。

    4世纪的北部中国与5世纪罗马帝国的西部行省相比,政治的分裂,自相残杀的战争,经济的崩溃和社会的混乱,都更为剧烈。继西晋而建立的一些蛮族国家,就象继西罗马帝国而建立的那些国家一样,只有当征服者成功地吸收了他们臣民的文化时,才繁荣起来。在北部中国,无论是汉族农民或是汉族大土地所有者,都是顽强的。尽管为草原游牧族所征服,但他们抓住可耕地不放,并坚持耕种土地;尽管儒家学说因被废黜的儒生官僚地主滥用而声誉扫地,但儒学传统仍然在佛教的冲击下生存了下来。

    可能是蒙古人种的鲜卑拓跋氏于338年重新统一了中国北方,在黄河向北大转弯的西北处建立了一个继西晋王朝而起的地方性国家。386年,拓跋皇族命名该王朝为北魏。到439年,拓跋魏已经消灭了北部中国的所有其他蛮族国家。5世纪上半叶,他们至少有5次设法入侵塔里木盆地。493-494年,北魏孝文帝(471-499年在位)将首都从山西北部的发源地迁到了洛阳。大约与此同时,他有计划地使他的部族成员汉化,并使部族首领的地位与北魏境内汉族大土地所有者的地位相同。拓跋氏的统治家族进行了强制性的汉化,结果则是北魏王朝最终未能实现征服南部中国的愿望,并导致了王朝的覆没和帝国的分裂。但是,中国北方于577年再次统一,并于581年由隋朝的建立者隋文帝(581-604年在位)所接管。隋文帝又于589年成功地征服南方,统一了中国。

    虽然北魏王朝未能统一中国,但它却把解决土地所有制问题的方法传给了隋和唐。485年,杰出的孝文帝向每一个体格健壮的成年农民提供了最低的土地占有数额。他也建立了农民共同负责缴纳租税的组织。孝文帝没有进一步冒险确立大土地所有者地产的最高数额,但他至少制止了损害农民占有土地和帝国政府岁入的大地产的扩张。535年到581年,北魏王朝的后继者,通过组织受过训练的农民民兵,巩固了农民和政府的利益。中国北方农民地位的恢复是北南政治统一的序曲,也成为中国文明恢复活力的序曲。

    于589年实现政治统一的中国,无论在人口的地理分布上,或是在资源的地理分布上,都与此前那个统一的中国大不相同。统一的中国于304年及其以后不断受到北方蛮族的入侵。中国文明的原有核心是在黄河下游及黄河西部支流的渭河流域,商代和西周,中国的疆域只达到淮河流域的北部边缘,不包括广大的长江流域的任何地区。然而,在随后的战国时代,居住于淮河流域、长江下游地区、以及长江下游东南山区的人民相继汉化,随后又逐渐在战国期间各国之间的政治关系中扮演了积极的角色。中国的第一个政治统一者秦始皇,兼并了今天华南的整个地区及今天的越南北部。公元前111年,汉武帝巩固了中国对于北越的兼并,只有越国的沿海岸的一块飞地仍保持政治上的独立。尽管如此,但甚至在原先的楚国和吴国的疆土内,文化上也一直是落后的,在这些国家南部和西南部的广大地区,一直是人口稀少,农业不发达。

    开始于304年的蛮族对北方中国的侵扰,启动了规模空前的向南方移民的运动和开发南方经济的运动。虽然北方的汉族农民和大土地所有者固守着他们的土地,有足够的力量使蛮族征服者汉化,并且最终统一全中国,但在304年至589年,仍有大批移民从北方向南方迁徙。317年,一位逃难的晋朝宗室公子在南方重新建立了晋帝国(东晋)。东晋处于淮河下游和长江下游沼泽地和水网的保护之下。这些沼泽地和水网对于蛮族的阻碍,要比旧大陆文明中心另一端的环绕拉韦纳的小型沼泽和环威尼斯岛的泻湖有效很多。

    淮河下游和长江下游一旦具有排灌能力,便成为稻米的高产区。长江流域与今天中国东南沿海和华南沿海之间的分水岭两侧的地区,多为丘陵,有些地方多山。但整个南方降雨量丰富,居民不会因干旱而受得饥荒的威胁,这与中国北方,即使是肥沃的黄土地区居民的处境形成鲜明对比。此外,南方的本地人绝大多数易于屈服和同化,这与北方草原上的游牧族邻人也形成鲜明对比。罗马帝国的西北部行省具有与中华帝国南方省份同等的经济地位。西北欧为地中海东部诸国和岛屿提供了大量肥沃的有良好灌溉条件的保留地,但是罗马人很难征服这一地区。而且,当罗马人最后抵御蛮族入侵者时,这一地区表现得更为顽强。从533年到561年,东罗马帝国的皇帝查士丁尼一世试图从地中海东部的一个军事基地上重新统一罗马帝国。但他的成功只是部分的和短暂的;其代价则是使地中海东部甚至更远的意大利变成一片废墟。

    从317年到589年,中国南部为5个相继的王朝所统治。它们抵挡了北方的蛮族,并且维持了对于整个南方,甚至包括今天的北越的统治。589年,中华帝国以相对较低的代价重新统一。在重新统一的中国,无论是人口或是农业重心,都有着向南转移的倾向。南方的稻米开始取代北方的粟米和小麦,成为主要的食物来源,供给统一帝国的首都,甚至供给中国所有的人口。

    中国长时期的混乱和分裂,并没有使中国文化丧失信誉,也没有阻止它向中国以外地区的扩散。304年及其以后北方蛮族的入侵,为朝鲜人提供了于313年摧毁汉族殖民基地的机会,那是汉武帝于公元前109-前108年征服朝鲜之后设置在那里的。在朝鲜的西北角,这个殖民基地在整整4个世纪中都存在着。朝鲜本土分裂为3个国家,其中不包括南部海岸为日本人所占据的滩头堡。3个国家中最北部的高句丽于372年接受了中国式的佛教,并在大约同一年使它的行政系统中国化。

    中心位于大和(位于主要岛屿本州的西南角)的日本帝国,公元3世纪时已经存在并正在向外扩张。或许早在公元前3世纪,中国文化就已开始渗入和影响日本。公元5世纪和6世纪,中国文化的影响由于朝鲜人大量移入日本而强化。这些朝鲜人自称是汉人的后裔。无论他们是否真是汉朝时到朝鲜居住的汉人的后裔,他们确实随身带来了中国文明。早在公元5世纪,日本人就已开始了解汉字。那时,中国文明,包括佛教,经由朝鲜传入了日本。而且,在587年之前的半个世纪里,日本人选择了朝鲜形态的中国化了的大乘佛教。589年以后,当政治上重新获得统一的中国恢复了汉武帝开创的行政体制时,日本人才开始借用中国的政治制度。

    第四十八章 中美洲文明和安第斯文明

    (约300-900年)

    如同从约公元前400年至公元300年那个时期一样,这一时期中美洲的纪年体系多少是可信的,至少考古学家们对此持有一致意见。而对于相关的安第斯文明时期的年代顺序也同样持有一致的看法,但是对于从查文时代结束(约公元前400年)到印加帝国建立(约公元1438年)这段长达18个半世纪的安第斯历史的确切年代则仍然存有争议。放射性碳测定法(迄今为止测定的样本太少,所以很不可靠)将安第斯文明的”绽放”时期定在约公元前300年至公元500年,将其后的蒂亚瓦纳科时代定在约公元500年至1000年。依据地层学的测算则将”兴盛”时期定在约公元400年至公元1000年,将蒂亚瓦纳科时期定在约公元1000年至约公元1300年。本章同第39章都假定放射性碳测定的年代大致是正确的,也就是说,公元300年左右安第斯历史上的”兴盛”时期正接近尾声,而蒂亚瓦纳科阶段的大部分时期都在公元500年至公元900年之间。

    在中美洲世界,”古典”阶段在约公元300-600年达到鼎盛。在这3个世纪中,蒂亚瓦纳科城持续保持繁荣,马雅型的中美洲文明不仅在中马雅地区而且在尤卡坦都扎下了根。特奥蒂瓦坎在这3个世纪中从文化上统治了马雅的3个地区–尤卡坦、中部地区和高地,甚至可以认为特奥蒂瓦坎对整个马雅地区还行使着某种政治控制。在公元600年前建于尤卡坦的”古典”马雅祭祀中心中有一个是座落在西尤卡坦的奥克斯金托克,该地建筑物就不是马雅的风格,而是特奥蒂瓦坎的风格。另一方面,同样也建于公元600年之前的座落在东尤卡坦的科班祭祀中心,就直接受到中马雅地区”古典”建筑的影响。

    大约在600年,特奥蒂瓦坎突然毁于暴乱。(尚没有考古学证据能证明谁是破坏者),但我们可以猜想,同后来南墨西哥文明的破坏者一样,他们也是来自北墨西哥沙漠的蛮族入侵者。)在乔卢拉,可以从一座人造山的最初4个连续堆积层中发现特奥蒂瓦坎的影响,而后来的堆积层却具有它们自己独立的风格。乔卢拉离特奥蒂瓦坎比较近:在中美洲世界的边缘,特奥蒂瓦坎的影响大约于600年消失。乔卢拉也在800年左右遭到毁灭,该城的征服者被认为是北方的蛮族。

    马雅并没有卷入从北方成功地征服乔卢拉和特奥蒂瓦纳的那场灾难。但到了9世纪,中马雅地区的”古典”城址也相继被废弃。其原因尚不清楚,这成了中美洲最大的历史之谜。虽然有证据表明特奥蒂瓦坎是经未知者之手用暴力毁坏的,但对于蒂卡尔、瓦哈克通以及中马雅地区”古典”时期其他许多宏大的祭祀中心被废弃的原因,尚找不到任何线索。在最引人注目的”古典”马雅艺术作品中有一批气势辉煌,但又使人毛骨耸然的壁画,它们座落在乌苏马辛塔河中游西岸,考古学家定名为”波纳姆帕克”的一个遗址上。这些壁画是在9世纪初绘成的,正好在中马雅地区开始废弃的前夕。

    “波纳姆帕克”壁画描绘的场景是战胜者对战俘犯下的亚途式的暴行,这些壁画本身就表明中部地区的”古典”马雅社会是因为陷入了自相残杀的恶战而自我毁灭的。但是,该地区被废弃的”古典”遗址并役有显示我们在圣洛伦索、拉文他、特奥蒂瓦坎和乔卢拉的考古学证据所证明的故意破坏的迹象。中马雅地区的证据否定了这些遗址是在9世纪被废弃的。关键在于竖立记年石碑的”古典”习惯在这些地方都相继中断了。最具有说服力的假设(虽然并不止这一个假设)是农民不再相信”宗教机构”担负宇宙工作的能力,特别是祈求雨神降足雨水以保丰年的能力。失望的农民可能切断了对”宗教机构”的粮食供应,拒绝继续履行维护和修整宏大建筑物所必需的繁重劳役。但是即便这一假说能说明中马雅地区”古典”遗址的废弃,它也无法解释为什么马雅风格的中美洲文明(以一种退化的、最终混杂的形式)能够在干旱多石的尤卡坦继续生存。

    根据安第斯历史的两种年代体系,”兴盛”时期持续到公元500年之后。根据以地层学而不是放射性碳测定为基础的年代体系,”兴盛”时期是从约公元400年至1000年,大约与中美洲文明的”古典”时期同时代。由于本书暂时采纳了放射性碳测定所确定的年代体系,因而在第39章已经简述了安第斯文明的兴盛时期;在此我们必需要勾画蒂亚瓦纳科-瓦里时期的概貌,虽然很可能安第斯历史的这一整个阶段处在本章年代的下限之外。

    同查文文化一样,蒂亚瓦纳科-瓦里文化也起源于高地(后一种文化的两支分别源于不同的高地地区)。后一种文化也从高地发源地传播到高地的其他地区以及沿海平原。这两种安第斯文化的另一共同点是它们的视觉艺术中都同样具有一种独特的风格,这种风格看上去体现了一种具有传教使命的宗教。但有证据表明蒂亚瓦纳科文化依靠暴力强加给了秘鲁沿海地区,而在查文文化中却缺乏这种证据。蒂亚瓦纳科位于的的喀喀湖东南角的东南方约13英里的地方。它似乎是一个并不住人的祭祀中心。它那巨大的砖石建筑比同时代瓦里和古代查文的建筑更加宏伟壮观。蒂亚瓦纳科风格在蒂亚瓦纳科本地似乎在”兴盛”时期已经形成,虽然直到”兴盛”时代结束后它才传播到秘鲁其他地区。如果蒂亚瓦纳科文化向沿海的传播是通过武力征服实现的,那么这可能就是导致”兴盛”时期结束的事件之一。

    第四十九章 先知和政治家穆罕默德

    (约570-632年)

    伊斯兰教是由天才人物先知穆罕默德与阿拉伯半岛的历史共同创造的。自从阿拉伯的骆驼被驯化之后,即在距穆罕默德的时代近2000年之前,阿拉伯半岛就一直没有断绝过商贾行旅的踪迹,来自北方毗邻的新月沃地的思想观念、制度习俗如涓涓细流不断地向半岛渗透。这种渗透的作用日积月累,到穆罕默德时代,精神力量在阿拉伯半岛的积聚已达到一触即发的程度。不过如果没有穆罕默德应运而生予以引导,这一精神力量也许并不会进发。反过来说,如果穆罕默德生在阿拉伯半岛的时代成熟之前,即使他再有远见卓识和决心勇气,都可能会无济于事。

    阿拉伯半岛是一块次大陆,面积与欧亚大陆的印度半岛和欧洲半岛同等大小。但与这两个半岛不同,阿拉伯半岛气候干燥,只有西南角(也门和阿西尔)一隅的高原能接触到季风,这些高原与红海非洲一边今日埃塞俄比亚境内的厄立特里亚-阿比西尼亚高原极为相似。穆罕默德的家乡麦加位于延伸到红海阿拉伯岸边的高原的较低处,正好处在季风范围之外。麦加并不是终年无雨,它有一眼终年不断的泉水,因而适宜人居住;但泉水的水量非常小,根本不允许麦加城的居民以农业或饲养家畜为生,而后一行业在人们的记忆中,一直是阿拉伯半岛四分之三的可居住地区居民谋生的唯一手段。环绕在麦加泉水周围的这个城镇社区必须要以贸易为生,而这种贸易又必须要有某种宗教约束的保护,以防止以放牧为生的游牧民在诱惑之下向城里的商队征收过重的通行税。

    自从骆驼被驯化以来,也门到巴勒斯坦和叙利亚的陆路一直保持畅通。这条交通要道经过麦加;当一座神庙(克尔伯)在麦加泉水的附近建成并取得声望之后,麦加人可以从一年一度的贸易集市中获取利益,那些兼是朝圣者的商人云集麦加的集市作短暂休息;他们完全不必担惊受怕,因为扰乱它将会亵渎神明。

    虽然阿拉伯半岛的人口过去和现在都一直稀少,但加在一起的总数却并不算少,因为半岛地域辽阔,无边无际的荒原从西部高原缓缓而下,一直延伸到波斯湾的阿拉伯岸边和幼发拉底河流域。在阿拉伯半岛,直到20世纪当人类从地表之下开采出石油之前,大自然对人类一直都很吝啬。在此之前,阿拉伯半岛的居民,除了也门之外,始终免不了忍饥挨饿,当文明骑着骆驼向阿拉伯半岛缓缓渗透的同时,人口也从阿拉伯半岛向外喷发。

    闪米特语的各支都起源于阿拉伯半岛,它们被来自半岛的移民人流传播到阿拉伯半岛之外。一种也门人的闪米特语不知何时传播到了厄立特里亚-阿比西尼亚高原。阿卡德语传播到底格里斯-幼发拉底河盆地,迦南语进入巴勒斯坦和叙利亚,接着阿莫里特语和阿拉米语相继进入新月沃地的两端;最后说阿拉伯语的移民又开始追踪早期说闪米特语的人的后尘。公元前8世纪,第一次载入史册的阿拉伯人离开阿拉伯半岛的大迁徙遭到了亚述人的阻拦。公元前2世纪,塞琉西的君主未能挡住阿拉伯人第二次的迁徙。到这一时期,阿拉伯移民已在叙利亚和美索不达米亚建立了永久居留地。公元632年穆罕默德死后的大规模迁移以及后来11世纪的迁移波及到了整个肥沃新月地带和北非。今天,阿拉米语的分支、阿拉伯语在新月沃地的直接先驱–古叙利亚语在该地区几乎消失;起源于法老时期古埃及语的科普特语在埃及已经消失,只在宗教仪式中还在使用;在西北非,本地的柏柏尔语在阿拉伯语到达之后,则一直被局限在高原和沙漠的偏僻之地。

    到穆罕默德的时代,思想观念和制度风俗流向阿拉伯半岛的势头也已很强烈。公元2-3世纪在美索不达米亚东北部的阿特拉和巴尔米拉的绿州及阿拉伯沙漠的最北端受到崇拜的三女神也传播到了汉志(阿拉伯半岛西北部高地)。犹太教最初可能是在公元66-70年和132-135年罗马-犹太战争之后由难民带来的,它在泰马、海拜尔和耶斯里卜(即麦地那,先知穆罕默德之”城”)的绿洲以及也门赢得了皈依者。基督教在也门也赢得了皈依者。公元6世纪,也门被吸引到东罗马与波斯帝国之间的商业和政治竞争之中。大约在523年之前和528-571年,也门曾受到阿克苏姆王国的统治,阿克苏姆王国信奉基督教,后成为东罗马帝国的卫星国。从约571年至630年,也门在波斯人的统治之下在公元6世纪的最后25年中,驻也门的阿克苏姆总督曾试图进军麦加。

    在穆罕默德生活的年代(约570-632年)罗马人和波斯人之间爆发了两次最后的、并且是耗费最巨的战争。一次是在572-591年,另一次是在604-628年。每个帝国都征调阿拉伯人充当民防队员,部署在与敌对帝国对峙的边境上。波斯帝国阿拉伯边境地区的首府位于希拉赫,就在未来的设在库法的穆斯林阿拉伯军营附近。加萨尼阿拉伯王朝守卫着东罗马帝国在叙利亚的前线。在罗马-波斯战争中,阿拉伯人为交战双方充当雇佣军。他们不仅赚到了钱,而且也受到了军事训练并获得了作战经验。他们用一部分赚来的钱添置装备–如购买胸甲和驯养战马。饲养品质优良的动物是阿拉伯人的绝技;在阿拉伯半岛,阿拉伯人过去和现在一直骑在被驯化的骆驼背上谋生;在穆罕默德死后,阿拉伯马又载着阿拉伯征服者来到了卢瓦尔河、伏尔加河和药杀水。

    所以,到穆罕默德的时代,黎凡特地区和伊朗的文明正从四面八方向麦加接近,穆罕默德本人就接触到了东罗马帝国的文明。当阿拉伯人不充当东罗马人和波斯人的雇佣兵时,阿拉伯人就作为商人和他们做生意。穆罕默德本人就曾被其未来的妻子、麦加一位女商人赫蒂彻雇佣,率领着商队来往于麦加和大马士革之间。他极有可能是在591至604年之间的和平时期从事这种商业旅行的。可以肯定,在波斯国王哥士娄二世开始入侵并成功地占领了美索不达米亚、叙利亚、巴勒斯坦和埃及之后,麦加与东罗马帝国的贸易变得很不稳定。穆罕默德首次接受到真主启示的经历发生在约610年。这时他已娶赫蒂彻为妻,在麦加成家立业。

    穆罕默德的宗教经历采取了天使长哲布勒伊来显灵的形式。穆罕默德听到哲布勒伊来向他传达神谕,听到哲布勒伊来命令他将这些神谕转达给麦加城里的居民。起初,穆罕默德对这些经历的可靠性并不十分确信,执行起来有些顾虑。但是这些经历持续不断,而且命令的语气越来越强烈,因而穆罕默德最终还是相信和服从了。由穆罕默德转达的启示的核心是,只存在一个真主(安拉,相当于说古叙利亚语的基督徒用来称呼上帝的安拉哈)。一神论此时在阿拉伯半岛已很流行,正如公元4世纪初的罗马帝国一样,君士坦丁一世就在312年皈依了基督教。根据穆罕默德的教义,真主对于人首要的要求就是”顺服”(伊斯兰)。真主规定的戒律之一就是富人和强者要接济帮助穷人和弱者–比如寡妇和孤儿。当穆罕默德确信自己真正担负重要的使命之后,他就如耶稣一样,”以一个具有权威的人”的身份宣讲启示。

    这些启示在麦加就同在拿撒勒一样受到欢迎。麦加当时是一个寡头统治的绿洲城邦。统治麦加的寡头古来氏部落与公元2-3世纪时的巴尔米拉的寡头一样依靠贸易为生。他们富有成效而又毫无怜悯之情地经营着私有的经济王国;他们知道自己商业上的成功依赖于他们圣殿的声望;他们担忧如果穆罕默德一神论的号召占据上风,万神殿克尔伯就会失去影响,麦加的贸易也会因为丧失必不可少的宗教约束而蒙受损失。古来氏人很可能还因穆罕默德不容置疑的权威语气而受到进一步冒犯。尽管穆罕默德也是古来氏人,但他并不是古来氏部落”权力机构”核心圈子中的成员。

    穆罕默德冒着危险传教12年,他赢得了一些改宗者。这些人也遭遇到了危险,以至最终穆罕默德授权他们在基督教的阿克苏姆王国寻求避难。公元622年穆罕默德时来运转,命运发生了重大转机。来自农业的绿洲国家耶斯里卜的使臣出人意料地邀请他移居耶斯里卜,接管该城的政府。耶斯里卜当时正因政治纷争而四分五裂,而耶斯里卜人自己又克服不了这些纷争。622年穆罕默德与一位同伴艾卜伯克尔逃离麦加。这两位逃亡者避开了追踪,到达耶斯里卜英明地承担起了自己的政治使命。耶斯里卜人对他的能力并没有判断错误。虽然当时穆罕默德的行政经验仅限于管理一个遭受迫害的小教派,但是他已证明自己完全能胜任新的时代。穆罕默德应邀作为耶斯里卜的统治者行使着更大的行政管理职权,他使耶斯里卜的两派互相和解,并让他们与追随他来到耶斯里卜的改宗伊斯兰教的麦加人和睦相处。古耶斯里卜人中大多数的非犹太人似乎很愿意成为穆斯林,他们共同的新宗教成了联结当地人与难民的牢固纽带。

    主权国家可以进行战争。穆罕默德既然已成为一个统治者,立即毫不犹豫地向自己的麦加同胞宣战。穆罕默德的政治处境与遭到拘捕时的耶稣大不相同。耶稣是罗马帝国的臣民,如果他要成为反叛者,那他的反叛活动将会使许多犹太人丧生,而且也不可能取得军事上的胜利。穆罕默德却具有成功的可能,而且他确实赢得了胜利;但是,他是作为一名统治者和交战的一方面取得成功的,这种成功对于伊斯兰教的后果就同君士坦丁一世改宗对于基督教的后果一样。它使得宗教与政治和战争缠绕在一起。

    在耶斯里卜,穆罕默德要发动对麦加的战争显然处在有利的战略地位,因为耶斯里卜位于麦加与叙利亚的陆路交通要道上。穆罕默德劫掠麦加的海队,即便是在一年一度的休战期间也不住手。630年麦加投降之后,穆罕默德给他的古来氏部落同胞以宽厚的待遇。他对克尔伯神殿和朝觐大加利用,把它们纳入到伊斯兰教的制度之中。到632年他去世时为止,其政府的主权在整个阿拉伯半岛都得到了承认,势力远及南部边境上的游牧地区,这一地区的阿拉伯部落当时都效忠于东罗马帝国或波斯帝国。政治上臣服于穆罕默德国家的条件之一即是皈依伊斯兰教。但这在大多数场合都是敷衍了事的,麦加也同样如此。穆罕默德在622-632年之间进行的战争与同时代的罗马-波斯战争(604-628年)相比,规模实在太小,但在北部的一次大战和在阿拉伯半岛的数次小的战役,其综合作用的后果却是巨大的。

    提供分享战利品的机会是穆罕默德使其成份杂乱的国家保持统一和效忠的手段之一。麦加人成了穆斯林社团掠夺欲望最早的牺牲品;但更有利可图的是抢劫耶斯里卜的犹太人部族以及后来的海拜尔犹太人。

    穆罕默德知道犹太人和基督徒是”有经人”,也就是说他们拥有包含信息和戒律的圣典。他们相信,穆罕默德也深信不疑这些圣典是上帝发布的启示。穆罕默德相信正降示于他的《古兰经》是真主最后的启示–是专门向阿拉伯人宣示、因而也是使用阿拉伯语的一部最终的启示。既然在《古兰经》以及犹太人的圣典和《福音》中,一神论都是启示的基本真理,穆罕默德也就理所当然地可以指望得到耶斯里卜已经信奉犹太教的阿拉伯部族的同情和支持。但是如果穆罕默德指望耶斯里卜的犹太人仅因为《古兰经》是真主向说阿拉伯语的人降临的启示就放弃犹太教而改宗伊斯兰教,那他就太天真了。穆罕默德不可能不知道犹太人一直坚持不愿放弃犹太教而信仰基督教。

    耶斯里卜的犹太人同耶斯里卜的异教徒一样,都没有响应穆罕默德让他们成为穆斯林的号召,但是这些犹太人对自己的不圆滑粗心大意满不在乎。他们指出《古兰经》在提及《托拉》中的经文时犯了不少错误。这些错误十分显著但又无关宏旨。对穆罕默德来说,这种冷言相拒显然对他造成了伤害。他的手段是野蛮的,与犹太人冒犯他的程度完全不成比例,而且达到了肆无忌惮的程度。耶斯里卜的犹太人是少数派,同时又很富有。穆罕默德听任耶斯里卜社团中的穆斯林多数派不受约束地抢劫和驱逐耶斯里卜的犹太人。耶斯里卜最后一批穆罕默德的受害者甚至不被允许离境,即使他们除了求和已一无所有。他们不仅被抢劫一空,而且男人们还遭到屠杀,妇女和儿童则沦为奴隶。

    因此,掠夺、战争和屠杀成了穆罕默德为伊斯兰教赢得胜利的主要手段。基督教徒和佛教徒(虽然不太经常)也犯下过同样的罪行;在犹太教经典中,这些罪行被归结于摩西和约书亚。但佛数与基督教的创立者至少没有为其追随者树立这些坏的样板。

    第五十章 伊斯兰教国家的扩张

    (633-750年)

    当穆罕默德去世之时,伊斯兰教和伊斯兰教国家是否能生存下去似乎都存在疑问。阿拉伯人从穆罕默德的成功中得出了与穆罕默德本人同样的结论,这一结论与君士坦丁一世从自己在312年的股利中得出的结论也毫无二致。无论是在公元4世纪或7世纪,在印度以西的旧大陆文明中心,尚不存在无神论者,尽管当时或许有极少数有神论者关于上帝或诸神以及自然和行为的概念已不再那么原始粗糙。穆罕默德的皈依者和臣民相信穆罕默德的神安拉全能至大,但他们对伊斯兰教要他们履行的责任(如礼拜和施舍及完纳天课)却感到厌烦。穆罕默德死亡的消息在耶斯里卜和麦加以外的阿拉伯半岛地区引起了一场范围很广的反叛,反叛的领导人都是当地的男女先知,他们声称已为自己的人民赢得了安拉的恩惠。

    这场反叛被耶斯里卜和麦加的联合部队成功地扑灭了。耶斯里卜人尽力要保住自己的绿洲成为帝国首都的特权。耶斯里卜凭借着它成为先知之城的地位而获得了这一特权。那些没有迁徙到麦地那的麦加人,尽力要维护麦加经济上极有价值的神殿和朝觐活动,而且穆罕默德已将它们纳入到伊斯兰教的制度之中。反叛者被精明能干的古来氏人战败。633年古来氏人就像他们的先行者巴尔米拉人在260年时的行为一样,证明自己能够胜任不熟悉的领域–领导政府、指挥战争和进行外交,正如他们能够胜任自己祖先的商业活动一样。633年保住了伊斯兰教有伊斯兰教国家的古来氏人中有一些是新近而且十分勉强的皈依者:新生的伊斯兰教国家最能干的军事将领哈立德?伊本?瓦立德和领导伊斯兰教国家的穆罕默德的第五任继承人就是其中的例子。即使这样,如果已故先知的哈里发(哈里发意为”继承者”)艾卜伯克尔没有为反叛者们找到代替反叛的有吸引力的另一种选择,麦加和麦地那的联合部队可能还不足以重新降服阿拉伯半岛的其余部分。

    或者是出于自己的主张,或者是根据伊斯兰教国家非正式的执政委员会(艾卜伯克尔即由该委员会选举的)的建议,艾卜伯克尔邀请反叛者调转武器,在伊斯兰教国家的领导下,进攻毗邻阿拉伯半岛的两个北方帝国。这两个帝国已精疲力尽地从604-628年罗马-波斯的殊死战争中脱身,它们很容易成为整个阿拉伯半岛联合部队攻击下的捕获物;尽管这两个帝国在自己的臣民看来经济上已经破产,但在阿拉伯人的眼睛中,它们仍然是一件可观的战利品。艾卜伯克尔在这方面从穆罕默德身上得到了指点。他向人们提供瓜分掠夺物的机会而谋求人们的效忠,而被贫穷困扰的阿拉伯人对掠夺有着难以满足的欲望。这种威逼与利诱的结合,成功地使阿拉伯反叛者从反叛转到对外征服。

    伊斯兰国家征服的速度和范围令人吃惊。到641年穆斯林阿拉伯人已从东罗马帝国手中征服了叙利亚、美索不达米亚(杰济拉)、巴勒斯坦和埃及。到637年他们从波斯帝国手中征服了伊拉克,并在651年征服了将东北部的梅尔夫都包括在内的整个伊朗。653年亚美尼亚人和格鲁吉亚人(前罗马和前波斯帝国的亚美尼亚和格鲁吉亚臣民)在优惠的条件下向伊斯兰教国家投降。从647年到698年,阿拉伯人从东罗马人手中征服了西北非洲,在710-712年间,他们继续扩张,灭掉了西哥特王国,除了西班牙的西北角之外,他们征服了西哥特统治的全部地域,包括西哥特人在西南高卢残余的领地。与此同时在711年,阿拉伯人征服了信德和南旁遮普,并向北达到木尔坦。

    在661至671年期间,阿拉伯人征服了托卡里斯坦(今天的阿富汗乌兹别克),该地曾经是厌哒匈奴从波斯帝国抢夺来的领土的一部分。这次征服具有重要的战略意义。它使伊斯兰教国家横跨在经乌浒河-药杀水流域中印陆路交通线上。706-715年,阿拉伯人进一步征服了河间地带,该地曾是遭厌哒帝国劫掠的突厥草原帝国的一部分。阿拉伯人曾一度遭到挫折,但在河间地带他们恢复了进攻。他们象在西北非一样坚持了下来。739-741年他们最终征服了整个河间地带。但在另外4条战线上,他们受到无法克服的阻击。

    阿拉伯人在征服小亚细亚方面未能扩大他们对叙利亚征服的成果。741年他们在阿马努斯山一线停顿下来。阿马努斯的”马尔代特人”在阿拉伯人看来是”反叛者”,但对于东罗马帝国来说,他们却是忠诚不二的臣民。677年阿拉伯人曾在黎巴嫩获得一个暂时的立脚点,他们此后曾将自己的边疆越过阿马努斯山,推进到托罗斯山脉,但是他们从未在这条线以外获得永久性的立足点。第五位哈里发穆阿威叶一世(661-680年在位)认识到,为了征服小亚细亚和消灭东罗马帝国,阿拉伯人必须占领君士坦丁堡;要占领君士坦丁堡,他们必须要从东罗马人手中夺得地中海的制海权。669年穆阿维叶建立了一支舰队,674-678年他的军队从海陆两路包围了君士坦丁堡;但这次围攻成了阿拉伯人的一场灾难。东罗马的舰队装备了喷火器(”希腊火炮”)和发射这种火器的装置,由一位流亡的叙利亚技师负责操纵。717-718年阿拉伯人第二次对君士坦丁堡的围攻也同样是一场灾难性的失败。732年阿拉伯人进攻高卢失败。在到达卢瓦尔河之前,他们在普瓦捷受阻。737-738年他们在征服伏尔加河与顿河之间的哈扎尔的游牧帝国时再次遭到失败。

    穆斯林阿拉伯人的征服就这样达到了其极限,但这些征服迅速突然、范围广阔,其原因与汪达尔人和亚历山大大帝的征服活动完全一样。这些入侵者攻击的都是军事上已经虚弱的帝国,但这些帝国的交通网又完好无损,使得入侵者可从中获利。阿拉伯人在7世纪的征服抵销了亚历山大于公元前4世纪在同一地区征服活动的影响。阿拉伯人结束了希腊人在黎凡特地区的优势地位。这一地位到633年为止已经维持了963年之久。

    阿拉伯人得益于东罗马帝国统治下的一性论基督徒的立场。这些人并不对统治者的变更感到遗憾;萨珊波斯,帝国统治下的聂斯脱利教派对自己先前的伊朗主人也并不抱有真正的忠诚。信奉琐罗亚斯德教的伊朗人很快放弃了维护其政治独立地位的战斗,尽管他们是波斯帝国的统治民族,琐罗亚斯德教又是他们民族的宗教。在西北非洲,柏柏尔人对征服东罗马帝国属地的阿拉伯人友好亲善。柏柏尔人曾经是多纳图斯教派的骨干,君士坦丁一世皈依基督教使得他们与罗马帝国的统治一直格格不入。

    另一方面,在居民效忠于东罗马帝国和卡尔西顿形式的基督教的小亚细亚,阿拉伯人受到了顽强抵抗,并始终被阻挡在外。在河间地带,阿拉伯人也遭到阻碍(虽然只是暂时性的),那里的居民当时都是大乘派佛教徒。亚历山大在河间地带也曾遭到过顽强的抵抗。在呼罗珊和托卡里斯坦(以前的安息和大夏),当地的伊朗居民对阿拉伯人以礼相待,就与他们在大夏的祖先在阿契美尼德王朝的波斯帝国被亚历山大征服后与希腊人和睦相处的情形一样。在所有时代,毗邻欧亚平原的广阔世界边疆地区的所有居民,在防范游牧民族方面都有着共同利益。

    阿拉伯人的征服还得益于《古兰经》的一条训戒。该训戒宣称如果”有经人”服从伊斯兰政府,同意交纳一笔附加税,他们将得到宽大和保护。这一训戒的好处从犹太人和基督徒延至琐罗亚斯德教徒,最后还惠及印度教徒。阿拉伯人将在非穆斯林臣民中征收税收的工作交给现有的当地税务官掌管。在先前萨珊王朝的版图上,这些税务官叫德赫坎(乡绅)。这些官员们用希腊文或钵罗钵文书写的帐簿,一直保存到哈里发阿布杜勒?马立克统治时期(685-705年)。阿布杜拉?马立克把它们改成阿拉伯语,他的继承人瓦利德一世在埃及终止了官方使用科普特语,先前科普特语一直是与希腊语并用的。但是当地的税务官员,虽然现在他们必须要在工作中说阿拉伯语,却获准保留了职位,他们并没有被阿拉伯人取代。

    守卫伊斯兰国家属地的阿拉伯人驻军分布在各个兵站,有些兵站位于边境,有些兵站则在阿拉伯半岛和新月沃地南部边缘的交界处。大多数兵站都是新设的,全部在城外或城市附近。虽然阿拉伯人的兵站吸引了非阿拉伯人的定居者,但在伊斯兰教帝国史上的最初阶段、征服者与被征服者之间的社会接触很少,伊斯兰教的传播远远落后于伊斯兰教国家版图的扩张。在阿拉伯半岛,伊斯兰教是强制性的义务,而在各个属地,改宗伊斯兰教不仅没有强制,而且也并不受到真正的鼓励。

    驻守在各个属地上的穆斯林阿拉伯人驻军并没有传教士的热情。他们对待自己宗教的态度很像继承西罗马帝国的日耳曼国家中的阿里乌派基督教大师的态度。他们把宗教当作一种民族标志来佩戴,用来把自己与臣服的基督教和琐罗亚斯德教居民区别开来。对于伊斯兰帝国的臣民来说,改宗伊斯兰教在经济上颇有吸引力,是可能获得穆斯林”统治集团”相对优惠的纳税人地位的一种途径。但是正是由于这种地位的税赋较轻,伊斯兰的财政部反对人们改宗伊斯兰教,而且在发生改宗之后,仍力图宣布它在纳税方面的作用无效。747-750年的内战,就是改宗者用武力对自己权力的维护:他们要求享有与生来就是阿拉伯人的穆斯林平等的法律地位。在这场内战中,除了在西北非的西端和西班牙,哈里发的倭马亚王朝在各地都被阿拔斯王朝取代了。这次革命的发动者和领导者来自位于伊拉克库法的阿拉伯人兵站,但是起义最先是在呼罗珊爆发的。在呼罗珊地区,改宗者人数特别多,他们与当地阿拉伯士兵一定居者的社会融合已达到异乎寻常的程度。然而,最早对反叛的鼓动作出响应的呼罗珊人却不是当地的伊朗人,而是一群定居在当地的阿拉伯人。这些阿拉伯人对在倭马亚人统治之下自己地位的下降而愤愤不平。

    747-750年内战的表面问题是王朝的更替,它实际上是一场争论中的偶然事件,这场争论的焦点就是作为伊斯兰教国家元首的穆罕默德政治地位继承问题。穆罕默德本人没有儿子,也没有指定任何继承人。他的堂弟和女婿阿里宣称自己是合法的继承人,因为他和妻子法蒂玛是穆罕默德最近的亲属。如果阿里能成功地使其主张为人接受,那伊斯兰教的哈里发职位就成了穆罕默德家族的特权。这和耶稣死后犹太人基督教社团的领导权成为家族事务一样,当时接任社团领导的是耶稣之弟雅各而不是耶稣的亲近使徒彼得。但是,在穆罕默德死后,管理阿拉伯穆斯林国家的职责是由一个非正式的指导委员会承担的。在选举穆罕默德的政治继承人之时,该委员会忽略了阿里,而使他一连三次感到失望。在第三次空位时,阿里获得了任命,但结果却证明他在政治上不能胜任。661年阿里被刹杀后,穆罕默德的政治遗产被穆罕默德最激烈、最不可宽恕的古来氏敌手之一的儿子穆阿威叶一世所夺取。

    穆阿威叶一世的母亲名叫希恩德。与穆罕默德的结发妻子(他先前的雇主)一样,她也是麦加的一位女商人。希恩德和她的儿子穆阿威叶与穆罕默德并不沾亲带故,除非所有的古米氏人都被认为是血统相同。穆阿威叶在同龄的古来氏人中是最能干的一个。阿里在政治上根本不是他的对手。阿里和儿子侯塞因(即穆罕默德的外孙)都惨死于暴力。穆阿威叶建立了一个王朝,这一王朝于601-750年在巴格达、于756-1031年在西班牙行使统治。但是倭马亚王朝从未成功地赢得对其合法性无可争议的承认。

    因而,在伊斯兰教国家的政治结构中,穆罕默德一死立即出现了一个裂缝。这一裂缝从未合拢过。最热情地投身于747-750年反倭马亚王朝革命的人就是忠诚于阿里及其继承人的人。但是阿里党人在这一时期同样遭到挫折,情况与阿里在其短暂而又不幸的哈里发任期(656-661)内没有什么两样。有”屠夫”之称的艾布?阿拔斯749年在库法成功地被承认为哈里发,取代了叙利亚的最后一任倭马亚哈里发迈尔万二世。与倭马亚人不同,艾布?阿拔斯是阿里和阿里堂兄先知穆罕默德家族的成员,但他不是阿里与其妻子法蒂码的后裔,而是阿里与穆罕默德的叔父阿拔斯的后裔。而阿拔斯同倭马亚家族的阿布?苏富扬及其子穆阿威叶一样,都是最后一刻才皈依伊斯兰教的麦加人。

    第五十一章 东罗马帝国的复兴

    (628-726年)

    当穆斯林阿拉伯人向东罗马帝国和波斯帝国同时发起挑战时,他们激起了两种完全不同的反应。东罗马帝国进行了抵抗,并且生存了下来,尽管生存空间有所缩小;而波斯帝国却屈服投降,最终解体。不过,尽管方式不同,波斯人和东罗马人还是在考验自己的共同经历中恢复了活力。

    阿拉伯人的琐罗亚斯德教臣民比他们的各种教派的基督教臣民更乐于和更迅速地接受了伊斯兰教。在伊朗,琐罗亚斯德教派最后沦为一个规模不大的少数派,仅限于几个孤立的飞地之中。一小批移居到伊朗西部的难民仍然保存着琐罗亚斯德教。钵罗钵语(中古波斯语)的单词是由古叙利亚字母拼写的,但却当作表意符号来表示对应的波斯语单词。琐罗亚斯德教的礼仪和经典一直使用这种书写波斯语的笨方法,但改宗伊斯兰教的波斯人却采用阿拉伯字母、依照字母顺序来书写波斯语,并在波斯语汇中融合了大量的阿拉伯语词。这些改系者为未来的行政官员和诗人们创造了一种新波斯语。

    东罗马帝国仍然保存了它在托罗斯山脉西北的小亚细亚领土,并且以海峡尽头的君士坦丁堡作为桥头堡。塞浦路斯在674-678年阿拉伯人围攻君士坦丁堡失败后,通过条约获得中立,但包括从克里特岛到巴利阿里群岛在内的其他地中海岛屿仍然操诸于东罗马之手。尽管东罗马政府实际上未能控制它在西北非占领的海岛,但它并没有丧失西西里岛和威尼斯湾中的小岛;而且,在君士坦丁堡以西的欧洲大陆,它仍然维持着一连串的沿海据点,这些据点从塞萨洛尼基一直向西延伸到拉韦纳和罗马。

    公元前5世纪时的西西里和公元6世纪末叶前的小亚细亚,希腊语已经完全取代了本地的非希腊方言。东罗马帝国在海缪斯(巴尔干)山脉和多瑙河下游之间的曾经说拉丁语的居民,最初被十丁抽一地征入东罗马军队,后又被多瑙河对岸的蛮族入侵所淹没。这些入侵开始于公元3世纪,7世纪时达到高潮,整个巴尔干半岛的内陆都被斯拉夫人定居者永久占据。这些人甚至还占据了伯罗奔尼撒半岛的大部分。在北方,残存的拉丁语居民躲进了深山,沦落为散居在外的牧羊人(弗拉克人)。

    斯拉夫人定居者赶走了大批的东罗马公民,但他们对帝国本身并不构成军事威胁。君士坦丁堡、塞萨洛尼斯及其他沿海城市的城墙挡住了斯拉夫人。居住在这些城市附近的新的斯拉夫人农村居民在政治上尚未统一。他们形成了许多分散的小的”斯拉维尼亚”,并且处在东罗马帝国的支配之下。只要东罗马帝国还有多余和必要的军事力量,它随时可以征服他们。这一形势在680-681年发生了不利于东罗马帝国的变化,当时一支说突厥语的保加利亚人(前匈奴人)被臣服于说突厥语的草原帝国的哈扎尔人向西驱赶,定居在多瑙河下游和黑海西岸一带。保加利亚人是欧亚平原的游牧民族,他们既擅长于驯养动物,又是治理人类的专家。在制服了最近的”斯拉维尼亚”之后,保加利亚人建立了国家,并成为这一国家的统治阶级。保加利亚人到达巴尔干半岛开始了保加利亚国与东罗马帝国争夺对内陆”斯拉维尼亚”政治控制权的竞争,这些”斯拉维尼亚”正听天由命地等待着被具有实力的任何一个强国占领。

    这些人口迁移和统治权变化的后果之一就是希腊语成为东罗马帝国的民族语言:现代希腊语成为日常生活的普通用语,而古雅典城邦的共同语则成为卡尔西顿派(别称正统派或大公派)基督教会的公共管理和礼拜仪式用语(只在帝国境内残存的部分拉丁语地区是例外)。从公元前2世纪到公元3世纪,罗马一直是一个使用两种语言的城市,君士坦丁堡在公元330年建成后的最初2个世纪内也同样如此。但是6世纪的君士坦丁堡只通用希腊语。拜占庭基督教世界和西方基督教世界虽然仍然信奉同一种教义,但两者之间的语言障碍已经开始出现。

    东罗马帝国的希腊在受到了4世纪时卡帕多西亚基督教教父们的推动。本书第45章已经提到了凯撒利亚的圣巴西勒将帕科米乌斯的集体修道制引进希腊语世界。圣巴西勒、他的兄弟尼塞的圣格列高利和他们的朋友纳西盎的圣格列高利都出身于小亚细亚边缘地区富有的上等阶层家庭。这一地区4世纪时,在日常生活中可能仍然使用一种非希腊语的本地语言。巴西勒和纳西盎的格列高利曾在雅典大学学习,并见到了未来的皇帝尤里安(与他们一样,尤里安也生长在小亚细亚内地)。这3位卡帕多西亚的教父用2世纪非基督教的所谓”高级文化修养的”演讲所使用的新雅典希腊语,创作了大量的文学著作。这些卡帕多西亚基督教父的希腊风格比尤里安更为优雅;而且与尤里安不同的是,他们作品的素材无瑕可击。卡帕多西亚的教父们被后来描写世俗和宗教题材的希腊语作家当成了典范。对这些卡帕多西亚教父们著作的赞美和模仿,阻碍了现代希腊语在文学中的使用,尽管这种语言到7世纪时已成为希腊语世界的流行语言。

    633-641年阿拉伯人的征服活动使叙利亚在政治上脱离了东罗马帝国,但自从黎凡特地区的居民持续地改宗基督教后,叙利亚文明就一直影响着希腊文明。说希腊语的基督徒并没有在文化上拥有对说叙利亚语的宗教同伴的优越感。在基督学争论开始在神学上和政治上使希腊人和叙利亚人彼此疏远之前,希腊人从叙利亚那里接受了某些持久性的文化赠礼。拜占庭风格的音乐和礼拜诗歌是所有东正教民族的共同财富,其创作者就是一位改宗卡尔西顿派基督教的叙利亚犹太人作曲家罗曼努斯(约480-550年)。罗曼努斯的赞美诗是用古雅典的共同语写成的,但节拍和旋律却是叙利亚式的,对于希腊语诗歌和音乐来说,这是一个令人鼓舞的新起点。

    前面已经提到叙利亚的工匠为东罗马帝国装备了一种可怕的新式武器,从而使东罗马帝国在674-678年免于毁灭。利奥三世(717-741年在位)也是一位具有叙利亚血统的人。利奥正好在保卫君士坦丁堡,抵抗阿拉伯人的第二次围攻(717-718年)的时刻成了皇帝。受到削弱的东罗马帝国成了说希腊语的地区,但它通过吸收优秀的非希腊语成份而获得了一种新的生命力。利奥三世建立了一个叙利亚王朝。希拉克略(610-641年在位)的父亲是亚美尼亚人,担任过东罗马帝国在西北非行省的总督。在阿拉伯伊斯兰教国家深入到托罗斯山脉以南的帝国领土之后,帝国大为减少的人口便得到了大量的亚美尼亚和叙利亚难民的补充,这些难民宁愿作为卡尔西顿教派生活在东罗马基督教的统治之下,而不愿意作为一性论教派生活在阿拉伯穆斯林的统治之下。

    对东罗马帝国来说,7世纪是一个差不多从未断过麻烦的时代。602年的兵变和皇帝莫里斯的被谋杀使帝国陷入无政府状态。604年,波斯人开始侵犯帝国的亚洲行省,而来自多瑙河下游北岸的斯拉夫民族大迁移又席卷了整个巴尔干半岛的腹地。当阿拉伯人在633年发起进攻时,帝国还来不及从604-628年东罗马人与波斯人最后一次、也是最惨烈的战争中恢复过来。这次进攻的高潮是674-678年阿拉伯人围攻君士坦丁堡。这次危机刚刚度过,欧亚平原上的游牧民族保加利亚人又于680-681年在多瑙河南岸建立了一个永久性的立足点。不可思议的是,这一系列灾难造成的帝国人口的锐减竟为经济恢复扫清了道路。

    这次经济恢复采取的形式和中国5世纪时华北的经济恢复一样。农民有了自己的土地,能够与大地主和帝国的税吏抗衡。在5世纪时的中国,我们有北魏孝文皇帝采取措施保护农民的记载;在7世纪时的东罗马帝国,我们的证据是据认为是在7世纪末颁布的一部《农民法》。这部法律显示农民正在耕种荒地,修建水磨。我们可以断定,农民还没有因赋税负担太重而减少自己土地的规模和生产能力。我们还可以断定,当时在东罗马帝国境内,大地主还没有强大到足以霸占所有无主土地的程度。无疑,就同在中国一样,东罗马帝国的大庄园并未消失,但是,以牺牲小土地所有者的大庄园的扩张至少受到了限制。

    在6世纪的华北,农民被武装起来,参加训练,担任民兵。在7世纪结束前的东罗马帝国,一支主要是依靠被分配土地的产品而维持的农民民兵则逐渐构成了帝国军队的主体。我们发现这支民兵组成为4个军团,这些军团的名称表明它们在阿拉伯人的进攻之前,已被部署在幼发拉底河上游和多瑙河下游一线。为了守住帝国的核心,它们甚至不惜将守卫帝国外围领土的任务交给当地人自己解决,而集中驻守在小亚细亚。这些军团在小亚细亚腹地建立的拓居地,无疑成了重新移居这一地区的第一步。各军团司令后逐渐成为其部队驻守地区的行政长官,戴克里先-君士坦丁时代的行省为了世俗的目的而被废止,它们只保留在帝国的教区地图上。这些军团和相应的行政区后被称作锡玛塔(这一名词可能意指东罗马官方簿记上的”登记处”或”登记项目”)。从642年开始,小亚细亚饱受打家劫舍的阿拉伯人之害,但这种动乱不休的状况有利于受到训练的武装农民。农民可以守卫地们分得的土地;而敌人的抢劫则使帝国的税务官逃之夭夭,并使大农庄园成为对富人无利可图的投资。对于东罗马的农民来说,两害相权取其轻,与税务官或积聚土地谋利的投资者相比,打家劫舍的阿拉伯人还是危害较小的祸害。在小亚细亚就同在中国一样,只要农民能够继续保持自己的土地,社会就能持续不断地复苏。

    第五十二章 西方基督教世界

    (634-756年)

    634-756年间,西方基督教世界的地域中心继续向西北移动,这一趋势成为基督教世界在这一历史时期的显著特点。法兰克王国在高卢的崛起,从政治发展水平上表现出了这种趋势;它的缔造者克洛维以基督教尼西亚会议和卡尔西顿会议的方式对基督教的皈依,以及罗马教廷对不列颠领土的获得,从基督教会自身的发展水平上表现出了这种趋势。在这些年代中,人们可以看到,在阿尔努尔夫家族的统治下,法兰克王国又重新焕发出勃勃生机。阿尔努尔夫家族(回溯加洛林家族便知)在墨洛温王朝扮演着宫相(宫中的主要行政官员)的角色。在这些年代中还可以看到,教皇统治的基督教会权威在不列颠诸岛更加巩固,并不断扩大它的地理范围,而且通过英格兰传教士的积极作用,进一步扩展到了欧洲大陆的西北部。在同一时期,西方基督教世界的农业中心(在这一时期,这个地区与当时任何地方一样,农业是经济活动的基本形式),从地中海西部沿海地区向北移动。

    这个地区是地中海式的气候,并不十分有利于农业生产,除了几块比较肥沃的地区,例如,尼罗河冲积地带、底格里斯河冲积地带、幼发拉底河冲积地带,以及印度河冲积地带,或者象地中海及其回流–黑海的北部腹地。迦太基及后来罗马的农学家运用科学手段使地中海绝大部分地区的农业潜力得到挖掘。而且他们的工作无论在西北非,还是在南部西班牙,都没有因阿拉伯人的征服而被搁浅。另一方面,建筑师、造船的工匠、伙夫这些人为了弄到烧浴室的燃料不断地对地中海地区较易进入的森林滥砍乱伐,使森林资源耗毁殆尽。这种大规模的砍伐不仅造成这个地区木材短缺,而且还使森林变成了荒山秃岭,减少了这一地区的农业用地和牧场面积。然而,北欧仍拥有大片森林,而且即使这些森林都被砍伐光了,当地的气候、自然地理条件也会对这片土地加以保护,不致于使地表裸露。

    罗马帝国先吞并了波河流域,接着又吞并了阿尔卑斯山北面的大片领土,这样就把西部地中海流域北部腹地的大片可开发的肥沃土地划入希腊–罗马的文明版图。为了开垦这些土地,早在西罗马帝国崩溃之前,便已开始发展农业技术。其中,关键是要发明出一种新犁,比原先耕作软土地时使用的那种犁,在功率和效率上都要提高一步。

    然而,在农业技术发展的现有水平上,北欧的农业产量仍不可能超过地中海地区。地中海地区麦田、葡萄园、橄榄园的丰收对北部蛮族产生了极大的经济诱惑力。他们在身后匈奴人的驱动下,沿着莱茵河突入罗马境内,接着又践踏了西班牙和西北非。无疑,他们本也可以占领埃及和伊朗的更为富饶的灌溉地区,然而,东罗马帝国和波斯帝国一直牢牢控制着埃及和伊朗,使得北部蛮族始终无法染指。到了7世纪,扩张的穆斯林阿拉伯国家夺得了这两个财源。

    同时,高卢到卢瓦尔河南部这一地带对法兰克人产生了强大的吸引力,6世纪和7世纪,墨洛温家族成员在对法兰克王国连续不断的瓜分中,任何有资格的人除了他在北高卢的份地外,还可以在米迪地区得到一块份地。高卢是法兰克的主要拓居地,因而成了它的力量中心。与此同时,为了发展农业。罗马人首先得到北高卢和不列颠东南部、中部的肥沃土地;接着,前罗马领土上说日尔曼语的野蛮的拓居者又夺走了这片土地。如果说日尔曼人和阿拉伯人对前罗马和波斯帝国的占领导致了农业倒退的话,那么,这也只是暂时的。北部地区土地资源的连年开发,尚未产生任何惊人的成果,然而,它的意义却是深远的。因为这片新土地拥有广阔的范围和很高的潜在生产力。

    基督教会领地的重心和罗马教廷道德-政治的势力范围,在634-756年间,也同样向西北移动。穆斯林阿拉伯人对西北非的占领,对伊比利亚半岛绝大部分的占领,对比利牛斯山脉和罗讷河口之间高卢地区的地中海沿岸的占领,并没有夺去教皇对这些地区基督教臣民的管辖权。但在伊斯兰教统治下,西北非的基督教,象伊朗的琐罗亚斯德教一样,由于皈依伊斯兰教而失去了信徒,而且比基督教在从前的西哥特王国或在黎凡特地区的肥新月沃地失去信徒的速度更快。西北非的基督教会,自从多纳图斯教派信徒与天主教徒绝裂后,一直屡遭不幸,却为维护教皇在西方基督教世界的权威扫清了道路。基督教在西地中海的北部地区生根之前,已在西北非广大地区根深蒂固。只要西北非教会还能保持团结向上,它就不会心甘情愿地承认罗马基督教会的至尊至上。

    另一方面,东罗马帝国政府大约在732或733年,给予罗马教廷一次沉重的打击,它把意大利的”靴尖”、西西里和整个东伊利里亚从罗马教廷手里移交给君士坦丁堡教廷管辖,并把西西里的原属圣?彼得教产的岁收从教皇手中转进了帝国国库。但在东罗马帝国政府看来,对教皇的这种经济上的惩罚,并不能弥补政府在亲自处罚教皇格列高利二世和三世的问题上表现出的无能。717-718年,为了抵御阿拉伯人,保卫君士坦丁堡,皇帝利奥三世(717-741年)强征附加税,以解决军费开支,结果遭到了西部臣民的抵制,格列高利二世竟公然反抗利奥三世,支持臣民的抵制运动;接着,臣民又抵制利奥在726年发布的关于禁止教堂放置画像的命令,格列高利二世再次与利奥作对,支持臣民。教皇格列高利二世(715-731)年、和他的继位者格列高利三世(731-741年)相继革除了那位利奥三世在君士坦丁堡任命的软弱顺从的主教的教籍。这2位教皇就是以此表明他们在教会上和政治上的独立自主。但从基督教会已失去的土地和岁收来看,教皇统治还是付出了高昂的代价。尽管东伊利里亚的内政如今已操诸于教皇和皇帝都鞭长莫及的异教徒斯拉夫人和保加利亚人手中,但东伊利里亚仍包括塞萨洛尼基、基克拉泽斯和克里特。

    就在罗马教廷丧失东南部领土之前,它便已经在西北部获得了领土。634年,诺森伯里亚王国-罗马帝国在太不列颠最北端的英格兰的后继国,已被爱尔兰教会从罗马教廷手中抢走。它在664年又被罗马教廷重新夺回来。继罗马教廷在英格兰取得这次胜利后,在8世纪,苏格兰、威尔士、布列塔尼和爱尔兰的凯尔特教会相继归顺了罗马教廷。669-690年间在英格兰,流亡的希腊僧侣塔尔苏斯的狄奥多尔重新组建了罗马天主教。狄奥多尔曾被教皇任命为坎特伯雷大主教。本尼狄克式的禁欲生活已在7世纪的英格兰根深蒂固。在诺森伯里亚地区贾罗的那座本尼狄克式修道院,有一名叫比德的僧侣,他于731年出版了著名的《英格兰人教会史》一书。

    690年,一位诺森伯里亚的英格兰僧侣威利布罗德-克勒门特作为一名传教士去了欧洲大陆,到了弗里西亚。其后,在716年左右,一名西撒克逊的英格兰僧侣温弗里德-卜尼法斯受教皇保护,在图林根、黑森和巴伐利亚等地作为一名传教士开展活动。墨洛温法兰克王国的加洛林王朝宫相为威利布罗德和卜尼法斯提供了政治庇护。741-747年间,经奥地利(东法兰克)宫相卡洛曼提议,卜尼法斯在罗马范围内重新改革组建了法兰克教会。但在法兰克政府里,卡洛莫和他的继承者们像东罗马皇帝一样,小心翼翼地不敢对其管辖下的基督教机构说三道四。

    不过,加洛林王朝和教皇统治觉得有必要相互支持。自687年以来,加洛林家族事实上已成为法兰克王朝的统治者,他们还想获得法律上的认可。750年,丕平三世”矮子”请求教皇来裁决这个问题。751年或752年,他怀揣一位教皇给他的、正合他心意的祈祷文,召集法兰克人集会,这次集会废黜了有名无实的墨洛温国王,选举丕平为国王。丕平的当选,通过卜尼法斯举行的涂圣油仪式而确定下来(这种仪式摹仿于《旧约全书》中所记载的古以色列人的习俗)。同时在751年,当教皇扎迦利正要对丕平的请求作出满意答复之际,伦巴德人已占领了东罗马帝国在意大利的前沿阵地拉韦纳。

    东罗马人不可能重新占领拉韦纳,并且也未做这样的努力。第一次征召他们的武装力量是为了保卫帝国的本土,以抵御阿拉伯人和保加利亚人的侵袭。很明显。伦巴德人现在正随时可以占领罗马,除非教皇能找到一位代理人,这位代理人所能提供的军事援助,从某些方面而言,连君士坦丁堡也不再能提供。至今,教皇统治还没有在政治上把它自身同东罗马帝国分离开。而在753-754年间,教皇司提反二世或三世越过阿尔卑斯山脉,请求丕平军事干涉意大利。在754年,他亲自为丕平行涂圣油礼,同时还为丕平的儿子查理(未来的查理大帝)和卡格曼举行了徐圣油礼。在755年和756年两年里,丕平两度越过阿尔卑斯山,击败了伦巴德人,除了阻止他们占颌罗马之外,还迫使他们最终放弃拉韦纳四周的前罗马领土。尽管君士坦丁五世皇帝请求丕平归还这块土地,但丕平并未使他如愿,却把这块领土献给了教皇。

    第五十三章 东亚

    (589-763年)

    从589年开始,中国享有了至少一个半世纪的统一、强盛和繁荣。这与此前开始于185年东汉政权崩溃的分裂和灾难时期,形成了鲜明的对比。589年,中国的北方和南方重新统一,这是自304年蛮族入侵北方以来的第一次。统一之后,重新采用了汉武帝通过考试儒家经典征募帝国行政人员的体制。统一后的中国,重又向本上边界以外的地区进行扩张。

    这些成就的取得是成于北魏孝文帝为每一户农民提供了生存所需的最低限额的土地。他的后继者则通过组织农民民兵扩大了这一划时代改革的效果。隋朝的建立者隋文帝正是运用这个手段征服了中国南方,并于589年实现了南北方的合并。农民民兵也使唐朝的第二位皇帝太宗(626-649年在位).得以征服中亚。北魏和它在北方的后继王朝并未冒险去限制大土地所有者的地产。隋朝却于589年以后这样做了。他们规定了大土地占有的最高限额,其数量与占有者的身份等级相一致。无论是隋还是后继的唐,都没有没收大地产。毫无疑问,限制大地产的规模,保证农民占有最低限额的土地,只是一个从来未能在实践中完全实现的理想。根据记载,在唐朝初期,帝国岁入的五分之四仍来源于向农民征收的人头税。很显然,8世纪几乎使帝国倾覆的灾难,正是帝国政府在8世纪上半叶不再能继续向农民提供所规定的最低限度的土地的结果。

    这种情形的出现有几个原因。一个原因由于628年重新确立了国内的法律和秩序,致使农户数量增加。虽然南方的开发和北方向南方的移民仍在进行,但是,人口的迅速增长,却远远地无法满足为他们提供最低限额的土地。第二个原因是隋朝恢复了通过考试征募文职官员的制度。新的儒家官僚集团,表现得象他们西汉时(汉武帝统治时期及其以后)的前辈们一样。官僚们为了获得土地,再次利用了他们的官职。这使得可供农民保有最低限额土地的数额大为减少。这也引起了新兴的大部分兴起于南部和东部的儒家官僚地主阶层与西北地区的旧的大土地所有者之间的冲突。旧的大土地所有者衍生于汉代官僚地主的后裔和304年及其以后蹂躏北方的蛮族入侵者的后裔之间的互相通婚。唐玄宗(712-756年在位)曾努力阻止和扭转这些不利因素的发展,但未能成功。各种灾难于751年开始降临在帝国身上。

    隋朝于589年重新统一了中国,但它几乎与公元前221年第一次统一中国的秦王朝一样短命。隋朝的第二个皇帝隋炀帝(604-618年在位),就像中国的第一位统治者秦始皇那样肆无忌惮,其对于臣民的勒索繁重而令人难以容忍,结果激起了埋葬隋王朝的大起义。中国因此而陷入了12年的内战和无政府状态(617-628年),直到新的唐王朝重新确立了统一和秩序。唐朝象汉朝一样受益于被推翻的前一朝代所取得的成就。他们在实际上恢复了被推翻的体制,但采取了比较温和圆滑的方式,从而不致引起强烈敌对的反作用,正是这种反作用使隋朝皇权落地。

    隋朝最繁重而又不得人心的公共工程是大量强制征发丁壮开凿大运河。隋朝创造了大运河。它起于长江以南东部沿海的杭州,最初修成的一段使长江与洛阳附近的黄河相联接。隋炀帝又增修了一条流向北方的支流。正是沿着后来修成的大运河北段,军队和物资被运往隋炀帝在朝鲜北部的战场。在没有铁路和飞机的时代,大规模的开凿运河,对于连接中国的南方和北方来说,是必不可少的。中国的大河流向都是由西向东,需要运河承担由南到北的水路运输。结果,当唐代的宫廷和中央政府机构变得臃肿庞大时,其隋朝先辈们开凿的大运河不失时宜地把南方的大米运到了首都长安。长安位于黄河支流的渭河流域,是隋朝在与西汉首都长安毗邻的地方建立的。

    隋炀帝向北开挖的大运河支流,并未能使他征服朝鲜三国中最北部的高句丽。唐朝在新罗的帮助下,成功地于660年攻克百济,于668年攻克高句丽。新罗随后将唐朝军队逐出朝鲜,统一了整个朝鲜,并将其置于自己的统治之下。统一的朝鲜在名义上接受中国为宗主国。另一方面,政治统一也给朝鲜注入了新的活力,使之汉化,并使佛教得以发展。

    中国的重新统一晚于欧亚太平原上游牧民族的重新统一。552年,突厥建立了一个草原帝国,其规模与公元前2世纪匈奴建立的帝国相当(匈奴人和突厥人都讲突厥语方言)。突厥草原帝国于581年破裂,唐太宗于630年征服了东突厥。637年,汉族和畏兀儿人(也是一支讲突厥语的草原游牧民族)协力彻底摧毁了西突厥。尽管如此,此时的中国却不得不认真对付吐蕃,而且,阿拉伯人也已经走上了战争之路。

    607年,西藏获得了政治统一。在吸引西藏进入自己的文化轨道的竞争中。中国文明不如印度文明成功。然后,吐蕃与中国争夺对于塔里木盆地的控制。661-671年,阿拉伯吞并了吐火罗。所以,唐代就象西汉时一样,中国在陆上向印度和西南亚的推进受到了挑战和限制。然而,中国向西推进的短暂的军事行动再次打开了西方文化进入和影响中国的道路。中国的佛教徒仍然通过陆地或海洋与印度的佛教徒发生联系。琐罗亚斯德教大约于525年在中国取得了立脚点,有记载说聂斯脱利派基督教传教士于635年在长安传教,摩尼教似乎在7世纪结束之前就已传到了中国。哥士娄一世吞并吐火罗之举,肯定是促使萨珊波斯帝国境内的这3种主要宗教在几乎整个6世纪向东扩散的原因。此后,阿拉伯对萨珊帝国的征服,肯定进一步刺激了这种向东方的扩散,因为,毫无疑问,阿拉伯的征服引起了难民向东方的流动。

    隋代和唐代的皇帝们都醉心于佛教。也都容忍了其他的外来宗教。然而,儒家经典的复兴和儒家重新建立帝国行政机构的实际目标,却使得儒家逐渐掀起了一场反对所有的,包括佛教在内的外来宗教的运动。

    同时,在唐代初期,长安是旧大陆文明中心所有城市中最具有世界意义的城市。这方面,长安超过了同时代的君士坦丁堡。但是,初唐的中国视觉艺术和诗歌则是有中国特色的。彩陶图案生动地反映了日常生活。诗人李白(701-762年)与杜甫(712-770年)与倒霉的玄宗皇帝是同代人。唐帝国和中国文明,不仅为朝鲜,而且为更远的日本所赞赏和效仿。5世纪时,日本国向中国南方的一个王朝派遣了使者。607年以后,常有使者被派往长安。608年,隋朝的一位使臣陪同日本使团回国。646年,日本国政府引进的(至少在名义上)行政制度,包括向农民授田,都是对中国的效仿。710年,日本在奈良建立的都城,实际上是缩小了伪长安的翻版。日本和朝鲜效仿中国,显示了中国的威望。但是,8世纪中叶,中国遇到了一系列的灾难。751年,阿拉伯人在大宛北部即今天苏联中亚的塔拉斯河畔打败了中国人,其成为中国对塔里木盆地以西地区的军事行动和政治影响的终结。同一年,泰族国家南诏(在今天中国的云南省)击退了汉人的进攻。泰人和朝鲜人、日本人一样,模仿了唐朝的制度。这使他们得以建立国家,保存自己,甚至反对统一的中国,并可能最终采取攻势。这是一件怪事,因为在此以前,长江以南的蛮族表现得很容易为汉族人征服和同化。755年,出身于粟特突厥的将军安禄山发动了叛乱。这场叛乱直到763年才被平息,结果是人民和土地均遭到蹂躏。根据官方的统计数字,764年中国的人口比754年减少了三分之一。

    第五十四章 伊斯兰教世界

    (750-945年)

    750年的革命改变了伊斯兰教国家的性质。从633到750年,这个国家一直听任享有特权的穆斯林阿拉伯人占支配地位,他们统治了大量的非穆斯林臣民和为数不多但却不断增加的改宗伊斯兰教的非阿拉伯人。穆斯林阿拉伯人的”支配地位”现已被仍然是享有特权的少数派穆斯林的”支配地位”所取代。但是它已成为一个包括各个民族的穆斯林共同体。这一伊斯兰教共同体(乌玛)还有可能是普世性的。它可以进一步包括伊斯兰教国家的所有居民和整个人类。750年阿拉伯人”支配地位”的放弃在813年得到进一步的肯定。在这一年第五位阿拔斯哈里发哈伦?赖世德之子马蒙尽管已经继承了帝国的伊朗部分,但仍然出兵吞并了由其兄弟阿明继承的,居住着绝大多数阿拉伯居民的帝国的西部领土。

    对于伊斯兰教国家来说,结束伊斯兰教共同体与阿拉伯民族的同一性,其代价是将政府转变成萨珊波斯人的专制形式。阿拉伯人具有无政府主义的思维习惯,不仅阿拉伯的游牧部落是这样,而且在阿拉伯半岛的绿洲和在驻扎着占领者的阿拉伯部落民的各地兵站中定居的阿拉伯人也同样如此。希腊编年史家狄奥凡(写于约810-813年)把伊斯兰教国家的元首称作”议事会主席”。这一称呼准确地描述了最初4位哈里发的地位。他们的倭马亚继承人在与自己的同胞阿拉伯人的关系方面也并不是专制君主。他们的政治和军事力量依赖于阿拉伯人的支持。阿拉伯人派性极强,动辄发怒。他们必定受到了倭马亚家族的穆阿威叶及其继承人的调教和劝诱。阿拉伯人地位的下降,免除了对阿拔斯家族行使权威的约束。在非穆斯林面前,非阿拉伯穆斯林现在赢得了与阿拉伯人平等的地位,但他们并未继承随意对待政府的特权(阿拉伯人自己也失去了这一特权)。

    阿拉伯语并未随着阿拉伯人的地位而下降。在阿拔斯王朝统治之下,阿拉伯语继续是伊斯兰教国家的官方语言,当然也是阿拉伯诗歌的语言,虽然阿拉伯诗人和阿拉伯语法的学者现在并不一定都是具有阿拉伯血统的人。813至833年间担任哈里发的马蒙,依靠伊朗人的军事和政治支持,但他推动了将希腊哲学和科学著作翻译成阿拉伯语的工作。这些著作有些是从希腊文原文直接翻译的,有些是根据现有的从希腊文译成古叙利亚文的译本转译的。到7世纪末,伊斯兰教国家的非阿位伯人官员已必须要掌握两门语言。9世纪时的翻译家就是从这一阶层中产生的。这种传播的重要渠道之一即是位于美索不达米亚的城市哈兰。该城一直到9世纪还保存着一种希腊化形式的前基督教和前伊斯兰教的巴比伦宗教。另一渠道是位于胡齐斯坦(古埃兰)的容迪沙普尔,它是由萨珊王朝皇帝沙普尔一世建造,用来囚禁他从叙利亚抓来的俘虏的。它后来成为一个聂斯脱利派的医学院的所在地。

    大量的从希腊语和古叙利亚语翻译成阿拉伯语的著作表明,当时已有一批思想上十分活跃的阿拉伯语读者。这种新生的阿拉伯文化的中心是巴格达,它位于底格里斯河的西岸,距萨珊波斯帝国及其先驱安息阿萨息斯王朝的前都城泰西封很近。巴格达作为阿拔斯哈里发帝国的首都始建于762年。与一个半世纪之前的长安一样,巴格达也变成了一座世界性的城市。通过9世纪在巴格达城思想和智力的发酵,阿拉伯语进一涉精练优雅,从而有资格成为从乌浒河-药杀水流域,到大西洋的整个伊斯兰世界的文化混合语。

    阿拉伯语还开始取代当时在伊斯兰帝国流行的其他一些语言而成为日常生活的用语。在这方面,阿拉伯语未能挤走波斯语。波斯人保留了他们的古代语言,尽管他们采用阿拉伯字母来书写这种语言并用阿拉伯语外来词来丰富他们的语汇。这种新波斯语(法斯语)后成为一种伟大文学的表达工具。阿拉伯语代替其姐妹语–闪米特语中的古叙利亚语要更容易一些,到阿拉伯人征服时,古叙利亚语已成为新月沃地所有农民的母语。阿拉伯语还逐渐传播到埃及,取代了科普特语,并且更为迅速地传播到西北非,取代了各种柏柏尔语言。柏柏尔人的文化较落后,他们很容易就接受了阿拉伯语和伊斯兰教。但是,在本章涉及的整个时期,新月沃地和埃及的农民却仍然忠诚于基督教。在这一时期,他们很少采用阿拉伯语。

    9世纪伊斯兰社会中的思想骚动,受到了要为伊斯兰教配置精神机构这种需要的刺激。伊斯兰教帝国中的非穆斯林臣民已经具有这类机构。伊斯兰教显然需要能够让伊斯兰社团在一个庞大帝国足以保持统治地位的法律和神学体系,而这个帝国又包容着若干古代成熟文明的故乡。使阿拉伯人成为”有经人”的渴望,一直是穆罕默德的动机之一。

    伊斯兰教律法必须要建立在穆罕默德的教导之上,但原始材料并不充分。《古兰经》由许多条精神上的训诫组成,这些训诫又与作为麦地即伊斯兰教社团政治首脑的穆罕默德发布的专门性行政规定混杂在一起。《古兰经》中的法律材料必须要挑选出来,然后再把有关穆罕默德言论的传统报道补充进去。这些报道必须要经过证实。此后仍然存在的空缺部分,则必须要由类比推理和引用地方上的习惯法来填补。这种习惯法在前罗马帝国的疆域内可能就意味着是罗马法的地方版本。在750至900年之间,圣训传说分门别类被汇编成集,伊斯兰教律法的四大学派正式确立。对于与什叶派(即阿里家族的同党或追随者)穆斯林相区别的逊尼派(正统派)穆斯林来说,所有四大教法学派最终都被认为是有效的。当地的穆斯林社团可以自由地选择服从它喜爱的任何学派。

    伊斯兰教神学受到了基督教的影响,这部分是因为已经存在着一个精心论证的基督教神学,部分是因为对上帝独一性和统一性的信仰已使两个宗教都产生了同样的问题。认为《古兰经》是受造而非自存的教义,是阿里乌派关于基督教三位一体中的第一和第二位关系的概念在伊斯兰教中的翻版,这一教义于827年被哈里发马蒙确立,随后又在847年被哈里发穆塔瓦吉尔废除。在颁布这些神学通告时,这两位哈里发滥用了权力,因为哈里发只是穆罕默德在政治领域的继承人而已。在神学领域由穆斯林公开讨论的问题,就同犹太人一样,应当由律法专家们的一致意见来决定。纯粹的一神论犹太教和伊斯兰教,不需要用希腊哲学的语言起草的信经。但是,穆斯林通过翻译接触到希腊哲学,促使一系列穆斯林思想家将希腊哲学与伊斯兰教融合在一起。在945年以前的100年中,相继出现了巴士拉的哲学家金迪(死于873年)和具有突厥血统的穆斯林哲学家法拉比(死于950年)。

    750年的革命标志着伊斯兰教帝国扩张时期的终结,同时也是其分裂时期的开端。尽管阿拉伯人是伊斯兰教国家享有特权的主人,但他们仍常常陷入内战之中。考虑到这一事实,人们不能不为这一事实感到惊奇:他们不仅设法创造和保持了他们庞大的征服对象,而且直到倭马亚政权倒台之前还进一步将其予以扩大。阿拔斯家族未能成功地继承伊斯兰帝国的全部版图。756年倭马亚家族一位幸存的流亡者赢得了伊比里亚半岛逊尼派穆斯林社团的效忠。在757至786年之间、有3个哈瓦立及派的国家建立于阿尔及利亚和阿特拉斯山脉南部一侧的柏柏尔人地区。(哈瓦利及派即”分裂派”,是因阿里与穆阿威叶妥协而与阿里分裂的一派。)788年一个阿里派小王国建立于摩洛哥。800年建立于伊夫里奎亚(突尼斯)的逊尼派阿拉伯人的艾格莱卜王朝仅在名义上效忠于阿拔斯家族,它于909年被一支柏柏尔人部落支持的”法蒂玛”王朝所取代。法蒂玛王朝否认阿拔斯家属的合法性,企图将整个伊斯兰教世界都置于自己的统治之下。

    对于阿拔斯家族来说,在他们统治下的伊朗地区,宗教和政治的反叛更为严重,而伊朗一直是他们权力的源泉。伊朗人因为在精神上对萨珊帝国的琐罗亚斯德教的教会感到不满,才接受了摩尼教及其分支玛兹达教。阿里家族的代理人阿布?穆斯里姆曾发动推翻倭马亚王朝的起义,他在伊朗唤起了人们的期望:继之而来的将是一个同宗的什叶派穆斯林的,或许甚至是一个玛兹达教派的或琐罗亚斯德教的政权。在749年阿拔斯人抢占哈里发职位之时,在754年第二位阿拔斯哈里发曼苏尔(754-775年在位)处死帮助阿拔斯人夺取王位的阿布?穆斯里姆之时,伊朗人极度不满,民怨沸腾,爆发了一连串的起义。术士辛巴德领导了755/756年的起义,乌斯塔德西斯领导了766-768年的起义。”蒙面先知”穆卡那领导了777-783/784年的起义。实际上在阿拔斯时代,非伊斯兰的宗教和非正统形式的伊斯兰教遍布于伊朗和伊拉克。

    一个穆斯林要成为神秘主义者,既诱人又危险。922年哈拉智因宣称自己与真主合一而被处以死刑。玛兹达教徒巴贝克领导的起义在伊朗西部从816年坚持到838年。从869年到883年在底格里斯-幼发拉底河下游流域垦荒的黑人奴隶参加了哈瓦立及派领导的起义。伊朗位于厄尔布尔士山脉和里海南岸之间的地区一直未被阿拉伯人征服,但它最终也皈依了伊斯兰教,不过不是逊尼派伊斯兰教而是什叶派中的裁德派。从864至928年,这一地区在裁德什叶派统治之下。自932年开始,布瓦希德人横行于伊朗西部,他们属于什叶派中与裁德派不同的另一支教派,起源于里海沿岸独立地带的西北角。945年他们占领了巴格达,将阿披斯王朝的哈里发变成了他们的傀儡。

    自从哈里发穆阿台绥姆执政(833-842年)以来,阿拔斯人已经成了他们自己的突厥奴隶卫队的傀儡。这些人是最初将阿拔斯王朝推上王位的伊朗呼罗珊人的继承者。(虽然突厥人的草原帝国已于581年分裂,并在630-637年灭亡,突厥人还是生存下来,许多突厥人部落继续占据着大部分欧亚平原。)阿拔斯哈里发的突厥奴隶卫队,至少已在名义上皈依了逊尼派伊斯兰教。从874至995年统治托卡里斯坦、乌浒河-药杀水流域和呼罗珊的伊朗萨曼人就是改宗逊尼派伊斯兰教的琐罗亚斯德教徒的后裔。他们与西北非的艾格莱卜人一样小心谨慎地在口头上归顺于阿拔斯哈里发名义上的统治权。945年巴格达城被什叶派的伊朗布瓦希德人攻占,暴露了阿拔斯人对逊尼派穆斯林社会的统治权纯属是沙上之塔。

    这种虚构的统治权事实上早在929年就已经站不住脚了。在这一年倭马亚王朝流亡在伊比利亚半岛那一支的当政代表阿卜杜勒?拉赫曼三世自称”哈里发”。这样一来逊尼派伊斯兰教社会的版图便发生分裂,分别统治两地的统治者都声称自己是穆罕默德合法的政治继承人。因此到这一时期,其臣民中包括逊尼派穆斯林社团的统一的伊斯兰教国家已不复存在,更不用说还存在着许多与正统派伊斯兰教分道扬镳的政治上独立的小国。

    在750至945年之间,除了一次例外,穆斯林唯一的胜利是由西方的穆斯林政府或私人冒险家所取得的。在陆地上,流亡于伊比利亚半岛的倭马亚王国不断缩小。到803年,它不仅失去了比利牛斯山脉北部的最后一批据点,而且还丢失了南部的加泰罗尼亚。但是,在826或827年,被驱逐出倭马亚西班牙的穆斯林反叛者征服了东罗马帝国的克里特岛。827-902年艾格莱卜人从东罗马帝国手中征服了整个西西里岛,后者在该岛仅剩下一个据点。9世纪查里曼帝国的解体使得西西里和西班牙的穆斯林有机会从海上进攻意大利。他们占领了阿尔卑斯山的许多关隘,并几乎成功地从西部基督教世界的外阿尔卑斯山地区袭击了意大利。868-876年当东罗马帝国进行干预时,他们几乎已经经阿普利亚和达尔马提亚抵达保加利亚。

    751年,即阿拔斯人推翻倭马亚王朝的第二年。阿拔斯人在塔拉斯河对中国人取得了一次历史性的胜利。如果中国人打赢这一仗,他们很可能会使中国和佛教重新占据乌浒河-药杀水流域。如果这样的话,一位于巴尔赫的佛教”新寺院”世袭住持的后裔们,也就不会成为管理阿拔斯帝国达40年(直到803年为止)之久的”巴尔马克家族”了。”如果穆斯林在751年战败,那么这些野心勃勃的托卡里斯坦人也绝不会皈依伊斯兰教。我们可以猜测,在中国755-763年的大动乱之后,为了在重整中国唐王朝的财政中发挥领导作用,他们很可能会从琐罗亚斯德教重新皈依佛教。

    实际上,伊斯兰教在中亚并未退缩,相反它得到了进一步传播。在阿拔斯哈里发穆克塔迪尔统治期间(908-932年),尽管阿拔斯王朝在政治上已衰落到最低点,但一支生活在欧亚大平原深处伏尔加河和卡马河汇合处地区的讲突厥语的民族–伏尔加河畔的保加尔人,仍请求穆克塔迪尔向他们派遣一队传教士。这些保加尔人当时肯定已皈依了伊斯兰教。这批传教士于922年到达了他们的首都保尔加。960年,当时占据大宛北部一带草原(751年阿拔斯人曾迫使中国人撤离这一地区)的葛逻禄(”雪人”)突厥人,改信他们在河间地带的邻居所信奉的逊尼派伊斯兰教。这些邻居已不再是阿拔斯人;他们基本上是独立的萨曼人。葛逻禄人扩张到了塔里木盆地,并随身带来了伊斯兰教。因此,尽管曾经统一的伊斯兰教国家.四分五裂,而伊斯兰教本身却在统一的伊斯兰教国家力量鼎盛时期的疆域之外赢得了皈依者。

    第五十五章 拜占庭文明

    (726-927/928年)

    在674-678年和717-718年阿拉伯人对君士坦丁堡两次围攻中幸存下来的东罗马帝国,比其南部邻邦伊斯兰教帝国和查理大帝(768-814年在位)建立起来的法兰克帝国都要小。在9世纪解体之前,加洛林帝国一直是东罗马帝国的西北邻邦。因而,在719至925年期间,东罗马帝国政府的外交政策一直很谨慎。788年,伊林娜女皇支持一位伦巴第人对帕维亚王位提出要求,企图将法兰克人驱逐出伦巴第。这次不成功的尝试只能算是一次毫无特色的冒险。

    在这一时期,东罗马政府一般只致力于追求两个目标:保持它仍然占有的领土,尽可能多地将它从保加利亚的侵犯下解救出来的”斯拉维尼亚”与巴尔干半岛的腹地相连。在这一时期与保加利亚争夺巴尔干半岛腹地的战争,是对东罗马政府军事资源的第一次消耗。在826年或827年穆斯林征服克里特岛之后,东罗马政府一次又一次试图恢复该岛;由于穆斯林在干地亚的要塞控制了爱琴海海域,因而它成了刺向帝国心脏的一把匕首。东罗马政府还顽强地(虽然并不成功)抵抗了伊夫里奎亚穆斯林对西两里岛的征服(827-902年)。当西西里的穆斯林占领阿普利亚并围攻位于亚德里亚海岸的拉古萨,东罗马皇帝巴西尔一世(867-886年在位)在868-876年进行了强有力的干预,并将阿普利亚并入了东罗马帝国。

    这样做并未背离保持守势的外交政策。在失去了西西里岛之后,东罗马帝国需要找到另一个屏障来防止西北非和西西里的穆斯林与亚德里亚海对岸的保加尔人联合起来。在863年消灭了马拉蒂亚的埃米尔深入到小亚细亚东北部的远征军之后,东罗马仍然保持了谨慎的政策。这次事件成为托罗斯和安蒂托罗斯山脉一线东罗马-阿拉伯前线的转折点。但东罗马人过了63年才于926年发起反攻。在此期间他们在小亚细亚唯一的攻击行为是袭击非正统的保罗派基督教徒,后者在马拉蒂亚穆斯林的支持下已在东罗马帝国东北边疆的迪夫里伊建立了一个据点。东罗马人与保罗派的战争从约843年持续到约878年。

    在罗马与保加利亚的战争更为激烈。皇帝君士坦丁五世在21年的战争(755-775年)中未能消灭保加利亚。紧接着这次较量之后,两国在9世纪时又为争夺斯拉维尼亚的控制权展开竞争。在804-805或805-806年,帝国制服了伯罗奔尼撤半岛上的大部分斯拉夫人。809年,保加利亚摧毁了帝国西北部的要塞塞迪卡。皇帝尼斯福鲁斯一世(802-811年在位)在爱琴海和亚德里亚海之间安置了亚洲希腊人和突厥人移民,企图以此来阻挡保加利亚人前进,但他在一次军事失利中丧生。当904年边界确定之后,环绕塞萨洛尼基腹地的边界离东罗马帝国这一十分重要的城市只有22公里。

    从726年到843年,东罗马帝国因一场激烈的内部冲突而陷于瘫痪。冲突起因于在基督教会内是否陈列和膜拜圣像。这种做法违反了基督教从犹太教继承来的十诚的第二条;它使得基督教徒成为犹太教和穆斯林攻击的现成目标。但这一习俗几乎是与基督教会非犹太人的分支同时形成的,因此如果要放弃这一做法,基督教就很难赢得非犹太人的改宗者。

    倭马亚哈里发耶齐德二世(720-724年在位)据说曾下令销毁境内基督教会和公共场所中陈列的圣像。但并不清楚耶齐德的行动是否与东罗马皇帝利奥一世出于相同的考虑,利奥一世在726年也颁布了具有同样效果的敕令。利奥的行动满足了驻扎在小亚细亚的军队的要求,但却遭到了罗马教廷教会臣民的强烈反对。罗马教廷的辖区当时包括基克拉泽斯群岛、克里特岛和希腊内陆说希腊语的基督教居民的飞地。大约在732-733年,东罗马帝国政府回击了这次反抗,它把罗马教廷所有的说希腊语的教会臣民都转给君士坦丁堡教廷管辖。

    843年,东罗马帝国的内部冲突以有利于圣像崇拜者的妥协而结束。各方一致同意三维(立体)圣像应该继续受到禁止,而两维(平面)圣像则应被认可,不过不能把圣像本身当成崇拜的对象,而应把它们看成是它们所代表的人物–人、天使或神–的象征。东罗马帝国内的这次要协消除了致使君士坦丁堡教区与罗马教区产生不和的根源。教皇的教会臣民并不是毫无异议地支持教皇的立场。787年,东罗马帝国的圣像崇拜者在尼西亚召开的第七次普世会议上赢得了一次重大胜利。这次普世会议的决议虽被教皇批准,但在794年却遭到在法兰克福召开的加洛林帝国主教会议的谴责。按照道理,君士坦丁堡主教应在787年和843年将732-733年左右移交的教区归还给罗马。但实际上两次都未能归还。

    东正教世界内部冲突结束之后,出现了一次文化复兴。这次文化复兴的推动人物是佛提乌(858-867年和877-886年的君士坦丁堡主教)。而拜占庭文化的传播和扩大则得益于塞萨洛尼基的两位学者兼传教士君士坦丁-西里尔和其兄美多迪乌斯的努力。君士坦丁第一次传教就前往哈扎尔人之中,哈扎尔人讲突厥语、曾臣属于已经灭亡的突厥草原帝国,他们在欧亚平原的西端创造了自从公元前3世纪西徐亚帝国崩溃后这一地区最文明的帝国。哈扎尔人很早就与东罗马帝国结盟对抗波斯人和阿拉伯人。860年,即在君士坦丁-西里尔向哈扎尔人传教的同年,这一联盟又面临着新的共同敌人瑞典人。860年,一支瑞典人的海盗舰队从俄国来到东罗马帝国,差一点就占领了君士坦丁堡。不过君士坦丁-西里尔向哈扎尔人的传教并不成功。到860年哈扎尔的哈强克家族已经十分坚定地信奉了犹太教(哈扎尔人信奉犹太教可以免除一些政治纠纷,而无论采用东罗马帝国还是伊斯兰哈里发帝国的国教,都可能会陷入这些纠纷)。但在863年,应斯拉夫人大摩拉维亚公国(今捷克斯洛伐克和匈牙利)统治者的邀请,君士坦丁-西里尔和美多迪乌斯来到了这一距离较远的斯拉夫语系国家,并且带去了格拉哥里字母表。这一字母表是由君士坦丁-西里尔发明的。用来表达定居在塞萨洛尼基内地斯拉夫人的方言。

    大摩拉维亚位于西伊利里亚的北部。这一地区无争议地属于罗马教廷主教区。君士坦丁-西里尔和美多迪乌斯与2个世纪前塔尔苏斯的狄奥多尔一样忠诚于教皇。教皇批准了他们的著作,但却遭到法兰克教会的反对,法兰克教会从政治上将这一著作解释为东罗马帝国对法兰克帝国势力范围的一种侵犯。法兰克帝国当时正趋于解体,但法兰克教会却依然存在。就象在794年一样,这时的法兰克教会推行的政策与罗马教廷的政策相抵牾。855年,法兰克教会成功地摧毁了斯拉夫语系的摩拉维亚传教团。传教团内幸存的教士(君士坦丁-西里尔死宁869年,美多迪乌斯死于885年)成了流亡者,其中有些人到达保加利亚。他们在保加利亚发现了一块新的传教区。在这里传教一定会结出硕果,因为他们在这里受到了欢迎。

    在东罗马和阿拉伯人在小亚细亚的边界战争于863年发生重大转折之后,864年保加利亚改宗了东正教基督教。870年,保加利亚的沙皇鲍里斯-米哈伊尔发现效忠于罗马教廷更不利于保加利亚的政治独立,便坚定了他对君士坦丁堡教廷的效忠。既然君士坦丁堡主教是东罗马帝国的政治臣民,那承认该主教在教会的至上权可以被看成是默认帝国的政治宗主权。885年,鲍里斯接纳了流亡的说斯拉夫语的教士,从而无需窝藏说希腊语或拉丁语的外国教士便可建立起一个保加利亚的民族教会。

    在斯拉夫语成为保加利亚的民族语言之后,保加利亚向西南部的扩张,加强了处在以前曾说突厥语的保加利亚国创建者统治之下的斯拉夫语居民在政治较量中的力量。885年之后,保加利亚发明了一种新的更简单的字母(它被错误地说成是”西里尔字母表”)来代替君士坦丁-西里尔本人发明的格拉哥里字母。保加利亚人以及所有后来改宗东正教的斯拉夫人和一部分在达尔马提亚群岛改宗罗马基督教的斯拉夫人都以塞萨洛尼基内陆地区所说的斯拉夫方言作为宗教礼仪用语。

    保加利亚的改宗使君士坦丁堡与罗马的关系一度紧张。保加利亚的中心地区处在君士坦丁堡主教区的范围内,但保加利亚在809年之后扩张的领土却位于有争议的东伊利里亚地区。但是,大摩拉维亚讲斯拉夫语的教士在885年到达保加利亚,最终确定了保加利亚信奉卡尔西顿基督教的东正教形式。

    863年的确是非同寻常的一年。在这一年,东罗马皇帝迈克尔三世消灭了马拉提亚埃米尔的远征军,君士坦丁-西里尔和美多迪乌斯到达大摩拉维亚;也正是在这一年君士坦丁大学重新恢复。鲍里斯沙皇的次子和第二位继承人汗西米恩沙皇曾就学于君士坦丁堡,他深深迷恋着拜占庭的希腊文化;913年,当帝国的皇冠由一个毛孩子君士坦丁七世波菲罗格尼图斯继承时,西米恩计划将东罗马帝国与保加利亚统一起来,并作为比君士坦丁七世年长的两位国王之一而抢夺帝国的王位。西米恩的计划出了差错。东罗马舰队的海军司令罗曼努斯一世莱卡帕努斯抢在了他的前面。在从913年开始直到927年西米恩去世为止的一场战争中,西米恩证明自己无法用武力强行实现自己的意志。西米恩没有海军,也未能获得穆斯林海军的配合。因此,小亚细亚始终处在他的势力范围之外,他既不能困死又不能利用风暴占领君士坦丁堡及东罗马帝国在东南欧领土上其他一些有城墙的沿海城市。在西米恩死后,罗曼努斯一世与西米恩的继承人彼得订立了和约。他宣布彼得是皇帝,并且是他的大主教之一,同时还将孙女玛丽亚嫁给彼得作皇后(陪嫁一笔年金)。926年,罗曼努斯一世率领东罗马向东方穆斯林发动了拖延多时的反攻。927-928年异常寒冷的冬天使东罗马帝国内部农民、大地主与帝国政府间的力量失衡。对于拜占庭世界来说,926-929年的事件与860-864年的事件具有同样重大的意义。

    第五十六章 西方基督教世界

    (756-911年)

    公元756年,加洛林王朝统治下的法兰克王国,前途显得颇为乐观。统治者丕平三世代替了已被废黜的墨洛温王朝的最后一个君主,被承认为合法的法兰克国王。756年即在他统治的第二年,丕平成功地侵占了伦巴第,强迫伦巴第王接受了他的和平条款。伊比利亚半岛上的伊斯兰属地,在同一年成为一个独立的地方王国,而在此前,直到750年它还是从大西洋沿伸到乌浒河-药杀水流域的幅员广阔的伊斯兰帝国的一部分。这个王国由倭马亚王朝的流亡成员进行统治,该王朝是在747-750年被占据现今已经分裂的伊斯兰帝国其余地区的阿拔斯王朝推翻的。丕平的儿子查理二世和卡洛曼二世在768年继承了丕平的王位,771年卡洛曼过早去世,查理(即查理曼)成为唯一的国王,大权

    在773-774年,查理曼吞并了伦巴第王国,随之拥有了法兰克国王和伦巴第国王的双重头衔。作为”罗马人的贵族”,他又在事实上吞并了他和他的父亲正式为教皇保留或收复的前东罗马帝国在意大利的领土。教皇缺乏必要的权力对拉韦纳周围前东罗马的领土进行有效的控制,虽然他对这片地区的统治权是由法兰克人而不是由东罗马帝国政府给予的。作为要求法兰克人帮助收复拉韦纳地区(教皇从未对它进行过统治)的结果,教室现在甚至又把自568年以来历代教皇为了东罗马帝国政府的利益实际行使着的对迪卡特斯?罗曼努斯的统治权交给了法兰克人。当时,由于伦巴德人的入侵,东罗马帝国在意大利的领土分裂成许多彼此孤立的地区。

    北意大利人接受了773-774年北意大利和高卢的政治联盟。伦巴德人本来就是法兰克人的近支,在公元7世纪,他们也放弃了阿里乌教派而改信天主教,成为与法兰克人同教派的人。伦巴德人从前属于罗马的臣民也和法兰克人在高卢地区前属罗马的臣民是近支,而且,在这两个地区,占人口大多数的从前的被征服者也和从前的征服者联合起来。在法兰克的北部边疆,仍然是异教徒的撒克逊人更加激烈地反对法兰克人的征服,虽然撒克逊人和伦巴德人一样,也是法兰克人的近支。这场战争的发展就和查士丁尼一世对东哥特人的战争一样,查理曼用了32年(772-804年)的时间,才征服了大陆上的撒克逊人。战争初期取得了虚幻的迅速前轻易的胜利,但本久就遭到了猛烈的反击,法兰克人损失惨重。在778年,即撒克逊人第一次反击的那年,查理曼又轻率地在西班牙开辟了第二战场。当他从西班牙撤退以对付撒克逊人时,由罗兰(法兰克对付布列塔尼的边区总督)率领的后卫队被巴斯克人歼灭了。巴斯克人和布列塔尼人(不堪忍受盎格鲁-撒克逊人征服不列颠的流亡者)都是小民族,但他们很难对付。法兰克人的邻居,居住在匈牙利境内飞地的草原国家的阿瓦尔人,也是从前属于土耳其游牧领主的一群逃亡者。查理曼在保加利亚人的帮助下,于791-805年间消灭了匈牙利大平原上的阿瓦尔人。在这4个不同地区的战争始终对查理曼的资源造成了难以承受的累积的压力。查理曼的后代,就象查士丁尼一世的后代一样,为这野心勃勃的领土扩张政策付出了沉重的代价。

    查理曼为了征服莱茵河与易北河之间的地区于772年发动了战争,这距离奥古斯都大帝实施同一件伟业已有784年,离他放弃这一计划也有758年。查理曼成就了奥古斯都的未竟之业。他强迫撒克逊人改信罗马天主教,以强化对他们的征服。大陆上的撒克逊人皈依西方基督教以后没有出现反复。但是,在征服一个蛮族邻居的同时,查理曼招致了另一个邻居的反抗。当查理曼把复兴的和扩大的罗马帝国的北部边界很进到丹麦的南部边界时,丹麦人对帝国沿海地区实施海上攻击,进行报复。这就是下一章将要论及的斯堪的纳维亚人掘起的开端。

    公元800年,在罗马的圣彼得大教堂,教皇利奥三世为查理曼加冕,称之为”罗马人的皇帝”。我们不知道利奥三世这样做是否是由于查理曼的提醒和要求,但毫无疑问,查理曼得到帝国皇帝的称号在外交上则是必要的。只要他一日没有被君士坦丁堡的罗马皇帝(他对这个头衔的权利是不可置疑的)承认为皇帝。他的威信就一日处于危险之中。君士坦丁政府以承认查理曼为筹码,以对东罗马帝国有利的条件全面解决了长期悬而未决的领土争端。有关的谈判在811-812年间进行,在查理曼死后的814年得到批准。

    恢复已灭亡的西罗马帝国的名字,要比恢复它的实体容易得多。查理曼缺乏足够的受过教育、经验丰富的人员供他支配,以管理他吞并的广大地区。只要帝国是在一个强有力的、受人尊重的统治者的完整的统治之下,他的巡回检查官制度就使他能对他的地方行政官员保持一些控制。查理曼还从诺森伯里亚聘请了天才的阿尔昆做他的教会和文化顾问。查理曼本人还有一个优势,即他是他的能干的父亲丕平三世和祖父查理?马特尔的继承者。他的兄弟卡洛曼的早夭,在政治上对他来说也是有利的。但是查理曼的儿子和继承者”虔诚者”路易控制不住局势。加洛林人也继承了墨洛温人政治上灾难性的行动,他们把法兰克王国当作私有财产,在相互敌对的后嗣之间进行分配。843年,虔诚者路易的三个儿子瓜分了加洛林帝国,胖子查理(881-888年在位)时期的重新统一也终无成效。在西法兰克,即法兰西,加洛林王朝一直存在到987年,但是加洛林人的这些后继者也和墨洛温王朝的懒王们同样无能。

    在9世纪结束之前,过去受到查理曼的巡回检察官监督的地方行政官员,已成为事实上独立的世袭的统治者,教皇也重新成为迪卡特斯?罗曼努斯事实上的统治者。无论地方统治者还是徒有虚名的加洛林封建领主们都无法对付连查理曼也为之头痛的斯堪的纳维亚人的海上袭击。到9世纪,斯堪的纳维亚海盗和西班牙、西北非洲的海盗一起进攻已经分崩离析的加洛林帝国的地中海沿岸地区。在846年和849年,非洲穆斯林入侵者渡海发动了进攻,差一点和455年的汪达尔人一样,占领罗马。罗马本来是加洛林帝国的一部分,在843年被分给名义上的皇帝洛泰尔一世。但是是教基利奥四世。而不是洛泰,在849年加强了台伯河右岸教区(圣彼得大教堂就在其中)的防御,从而拯救了罗马。

    896年以后,在斯堪的纳维亚海盗和西方穆斯林海盗继续海上进攻的同时,马札尔骑兵也从陆上进攻。(欧亚混血的马札尔游牧民族被更加凶悍的佩切涅格人赶往西方,于896年定居在已经灭亡的前居住于今日匈牙利境内飞地草原国家的阿瓦尔人所遗留下来的空旷地区。)

    9世纪和10世纪野蛮人的入侵,要比5-6世纪的入侵对西方基督教世界造成的灾难更为深重。查理曼恢复西罗马帝国的努力似乎起了反作用。然而,从内部看来已破烂不堪的西欧社会,在降临于斯的野蛮人眼中却又一次极富吸引力。在911年,西法兰克的加洛林王”傻瓜”查理被迫默许一批斯堪的纳维亚海盗在今日的诺曼底永久居住,条件是他们皈依基督教。显然,查理曼所从事的文化事业比他建立帝国的伟大事业更为成功。诺曼人强行进入了西欧,但他们又成为西欧文明的俘虏。他们把加洛林国家的这块土地据为已有,却又满怀热慎地接受了这块土地上的语言、生活方式、风俗习惯和宗教。

    910年,即斯堪的纳维亚人在诺曼底定居的前一年,加洛林人的一个后代在勃艮第的克吕尼建立了一个修道院。勃艮第过去就是早期基督教世界相互联系的地理交汇点,而且,早在3个世纪前,圣?科伦巴就在勃艮第的吕克瑟伊建立了爱尔兰修道院。诺曼底和克吕尼的修道院并未能很快开花结果。对于西方基督教世界来说,这标志着时代的转折,但在修道院建立之初,这一点是很难断定的。10世纪上半叶,西方基督教世界处于最低潮。在随后的100年中,诺曼人和克吕尼人表明,西方基督教世界正从查理曼早熟的野心勃勃的政策所带来的重压下摆脱出来走向复兴。

    第五十七章 斯堪的纳维亚人的崛起(793-1000年)

    斯堪的纳维亚人在公元793年以后的崛起和633年以后阿拉伯人的崛起一样地突然、猛烈和出人意外。而且,象阿拉伯人的崛起一样,斯堪的纳维亚人的崛起也有明确的原因。直接的原因是爆发于蛮族变动不定的边界之外的一场大规模战争,它又一次使交战国筋疲力竭,也又一次使它们成为令人艳羡的猎物。与此同时,根本的原因则是长期以来野蛮和文明相互作用的刺激。

    斯堪的纳维亚在冰河时代末期就有人类居住。旧石器时代初期的狩猎者,随着冰盖的后退而前进,最后在斯堪的纳维亚地区定居下来。在公元前三千纪结束之前,农业革命西北方向的先躯者们就已开始在丹麦和瑞典南部的肥沃土地上进行耕作。这样,到维金人崛起的时候,农业人口至少已在斯堪的纳维亚南部定居了3000年。尽管他们在公元前的最后2个世纪不断地从斯堪的纳维亚向南迁移,他们此次的崛起,也和793-1066年的崛起一样,只不过是斯堪的纳维亚历史中的一个偶然插曲。同时,南方的先进文化分成几个阶段进入斯堪的纳维亚,对其所产生的影响也是潜移默化的。斯堪的纳维亚各民族与南方文明关系的盛衰,对其人民心理上的影响也是不确定的;查理曼对大陆撒克逊人的征服更使这种状况陷于危机。这次崛起密切了西方基督教世界的北部边疆与斯堪的纳维亚的联系。

    虽然奥古斯都大帝在公元14年放弃了把罗马帝国的边疆推进到易北河畔的努力,在公元后的最初3个世纪中,希腊-罗马文明仍然生机勃勃地在斯堪的纳维亚传播。这种文化联系由于5世纪东日耳曼人和法兰克人的民族大迁徙,以及西罗马帝国的被推翻而一度中断。由于撒克逊人的介入,斯堪的纳维亚与外界隔绝,后来又托庇于自称为西罗马帝国后嗣的基督教日耳曼国家的保护。撒克逊人被法兰克人征服并被迫改宗基督教以后,斯堪的纳维亚人猛然发现他们又和南方文明有了联系,而且联系得比以前更为密切。查理曼在斯堪的纳维亚人心目中的形象可由下面一件事表现出来:在斯堪的纳维亚,马格努斯是作为人名普遍使用,而不是作为一项头衔。

    斯堪的纳维亚人对这段动荡历史的反应是进攻性的,他们的进攻包括了大片地区。在880年,瑞典侵略者渡过波罗的海,泛舟涅瓦河,商定了水陆联运的分界线,又沿伏尔加河顺流直下,最后到达里海东南角的阿巴斯昆。在西北方向,从987年到1025年,斯堪的纳维亚人在北美大陆的东北部海岸建立了几个居民点。他们从格陵兰到达他们所称之为”文兰”的地方。他们又自冰岛渡海而过,于985至986年占据了格陵兰的西部沿海。自874年以来,冰岛上也一直有挪威人居住。居住在格陵兰和文兰的斯堪的纳维亚人是迄今已知的从旧大陆渡过大西洋到达美洲的最早的人类。

    维金时代的斯堪的纳维亚海盗各有不同的命运。有些海盗始终没有定居。这些海盗对他们的受害者的影响是消极的。但是海盗自己也受到他们的冒险经历和他们掠夺回家的战利品的经济和文化价值观念的影响。海盗的最早的受害者是建在加洛林帝国和不列颠沿海岛屿上的基督教修道院。(例如,林迪斯芳修道院和艾欧纳修道院就分别于893年和895年遭到洗劫。)有些海盗在西方基督教世界定居,作为对他们改变信仰的回报。我们已提及911年他们在诺曼底的定居。实际上早在878年,经过阿尔弗烈德国王的协商,斯堪的纳维亚人就在英格兰的”丹麦法”施行区居住。有些斯堪的纳维亚人先是毫无理由地强行在爱尔兰沿海居住,但最后他们也都改信了基督教。其他斯堪的纳维亚人也在已经有了人类居住、但当地居民仍是异教徒的地区居住下来。这一部分人中最重要的居住者就是罗斯人,俄罗斯就是由他们而得名。他们在语言上被他们讲斯拉夫语的臣民同化了,在他们东罗马的牺牲者的影响下也改信了东正教。最后还有一部分人在过去无人居住的地方居住-一例如格陵兰。在冰岛,在斯堪的纳维亚人以前就有爱尔兰基督教修道士居住。在文兰他们与一个土著民族相遇,或许是被强迫驱赶了出来。

    在旧大陆,维金人手下的基督教徒和穆斯林人手下的受害者,在军事上无法和他们的进攻者相比。英勇的、多才多艺的阿尔弗烈德国王被迫以一定条件允许侵略者居住,33年后”傻子”查理接受了这些条件。基督教的政策就是使斯堪的纳维亚人皈依基督教从而驯服他们,基督教传教士在这方面的工作也是迅速的、勇敢的和锐意进取的。历史上记录下来的维金人侵袭加洛林帝国沿海的最早日期是799年。问鼎丹麦王位的哈拉尔国王于826年在英格尔海姆”虔诚者”路易的宫中领受了洗礼,又把一位法兰克传教士圣?安斯加尔带回国。圣?安斯加尔在丹麦工作了2年多,直到他的保护人哈拉尔国王被驱逐。然后他又去瑞典传道2年。831年在汉堡建立了一个由圣?安斯加尔任主教的大主教辖区。汉堡在845年遭到维金人的洗劫,大主教所在地迁移到不来梅。汉堡-不来梅大主教把整个斯堪的纳维亚作为自己的主教辖区。

    东罗马教会的反攻和法兰克人同样冒险。860年罗斯人进攻君士坦丁堡,其结果只是于867年在第聂伯河边的乌克兰罗斯人的作战基地基辅设立了一个东正教的主教,874年又设立了一个大主教。957年,基辅的统治者奥尔加大公夫人去君士坦丁堡访问了东罗马皇帝君士坦丁七世波菲罗格尼图斯,她可能已经在基辅受过洗礼。她的儿子斯维亚托斯拉夫放弃了这个新宗教,但是基辅的基督教团体仍然保存了下来。斯维亚托斯拉夫的儿子弗拉基米尔于989年皈依了东正教。作为奖赏,他迎娶了巴西尔二世的妹妹安娜作为妻子。

    丹麦国王哈拉尔?哥尔姆侵占了撒克逊皇帝奥托二世的领土,他以奥托给与他和平作为交换条件,在974年改信了罗马天主教。奥拉夫?特里格维森国王(995-1000年在位)强行在挪威推行罗马天主教。在这里,也和在斯维亚托斯拉夫统治时期的基辅一样,对改变信仰的反抗是强烈的。当大约1008年奥拉夫?斯科托科努命令强迫改信基督教时,瑞典的反抗也和挪威一样地强烈。但是在1000年,即奥拉夫?特里格维森在和另一个信奉天主教的斯堪的纳维亚国王-丹麦的斯文作战中战死的那一年,冰岛人自愿地集体改信罗马天主教。他们的动机是政治性的。他们担心,如果他们仍然分裂为天主教和非天主教两派,他们脆弱的共和制度就会瓦解。在维金时代斯堪的纳维亚人在外建立的社区中,冰岛共同体是相互联系最紧密的。在改宗基督教以前,斯堪的纳维亚的诗歌正是在冰岛被全部保存下来的,冰岛传说中的男女英雄们都是从前基督教时代直到并包括改信基督教的那一代人中的冰岛人。然而,前基督教时代冰岛文学都是经12和13世纪冰岛的基督教徒之手编辑之后流传下来的。挪威在9世纪时发明了一种新的诗歌形式。在文化上,冰岛和挪威是维金时代斯堪的纳维亚世界第一流的国家。政治上,维金时代的瑞典给世界历史留下了更深刻、更为持久的影响。在诺夫哥罗德和基辅定居的罗斯瑞典人是俄罗斯国家的缔造者,而且,当989年俄罗斯改宗东正教时,局限在旧大陆欧洲半岛一隅的西方基督教世界,已处于东正教世界的包围之中。在922年之前的某一时期,东正教世界又被得到伏尔加河的保加利亚人忠诚支持的伊斯兰世界所包围。但是,俄罗斯人在数量上则是伏尔加保加利亚人无法企及的。这样,公元989年俄罗斯的改宗东正教就为东正教世界最终向北扩展到北冰洋沿岸,向东扩展到北太平洋沿岸开辟了道路。

    第五十八章 印度和东南亚(647-1202年)

    到647年戒日王去世时,印度文明已经强烈地显示出同化外邦的能力。公元前二千纪以来,雅利安入侵者将他们自己,以及他们的语言强加给印度北部,并把他们的制度传遍整个印度次大陆。但他们没有逃脱被征服者的文化吸引力。同样的命运也击倒了一个又一个从西北部入侵印度的征服者–例如目空一切地蹂躏了孔雀帝国断壁残垣的希腊人,以及凶猛地击溃笈多帝国的匈奴人。有些希腊人皈依了佛教和印度教;匈奴人则由于加入了刹帝利种姓而并入了印度社会。在印度文明和中国文明对大陆东南亚和印度尼西亚进行文化征服的竞赛中,印度文明几乎整个占领了这片广大的地区,只有越南北部除外。在这两种文明于公元7世纪上半期对西藏进行文化征服的竞争中,印度文明也再一次成了胜方。由于一种印度宗教,即大乘佛教传入中国本上,并通过中国传入朝鲜和日本,印度文明取得了一次最伟大的文化胜利。

    穆斯林是第一个不受印度文明同化的入侵者。有的佛教徒和印度教徒皈依了伊斯兰教,但没有穆斯林皈依佛教和印度教。伊斯兰教在印度次大陆作为政治上的统治者站稳了脚跟,但由于不受印度文化的同化,一直是一种异己势力。外族入侵产生的这种新的后果,打破了印度人生活中宗教和文化上的一致性,这样一来就改变了印度历史的进穆。的确,印度教与琐罗亚斯德教和基督教相比,在穆斯林统治下显示了更强的生存能力。在印度,大量皈依伊斯兰教的现象只发生在那些当地居民大多是无种姓者的地区,穆斯林征服者则发现,尽管印度人不是多神论者,就是一元论者,他们必须把不皈依伊斯兰教的印度人当作”有经人”来对待。因此,根据严格的穆斯林律法,印度人是不值得宽容的,但这种律法却无法实行,因为被征服的印度居民人数众多,颇具教化,又是必不可少的。

    穆斯林对朱木拿河-恒河流域和孟加拉地区的征服最多只用了10年(1192-1202年),或许仅用了7年(1192-1199年)。他们在这些年间征服印度的步伐甚至比7世纪征服西南亚的步伐还要快。而印度在12世纪末蒙受军事和政治灾难是不足为怪的,更引人注意的倒是印度次大陆大部分地区居然在这么长的时间内没有受到穆斯林的征服。前面已经提到,在戒日王死后,一个中国使臣曾从西藏兴师远征,击败了一个篡夺戒日王王位的人。印度在军事上的虚弱程度可想而知。从647年到1192年,印度以及大陆东南亚和印度尼西亚的大部分印度化地区一直处于分裂之中,昙花一现的地区小国鳞次栉比,没完没了地相互混战,加剧了印度世界在政治上的分裂和混乱状况,分散了它们的力量。在991年、1001年以及1191-1192年,北印度彼此混战的各国也确曾联手抵抗穆斯林的侵略,但每一次,这种联合行动都为时过晚,难以避免失败的命运。印度诸国从未建立过永久性的政治联盟,哪怕是地区性的联盟来抵御穆斯林的不断侵犯。而穆斯林的侵犯,也象中国使臣在戒日王死后兴师远征那样过于轻而易举,这似乎是个不祥之兆。

    711年,统一的倭马亚伊斯兰国家征服并吞并了印度河下游以及向北直到木尔坦的地方。印度人发起了猛烈反攻,伊斯兰国家在印度土地上建立的这块孤立无助的飞地似乎难以保住,但穆斯林一直未能被逐出这个地万。突厥穆斯林伽色尼王朝的埃米尔赛布克特金在991年战胜印度诸王的暂时联合以后,在开伯尔山口以东白沙瓦地区取得一个立足点。1001年赛布克特金的继承者马哈茂德获得胜利后,取得了伽色尼王朝领地以东直到拉合尔的地区。马哈茂德还吞并了印度河流域从木尔坦向南直到海滨的已经成为伊斯兰国家飞地的领土,1001-1024年间,他还越过其永久征服地的东部边界,远征朱木拿河-恒河流域和古吉拉特。这是北印度其他地区里1192-1202年间遭到取代伽色尼王朝的古尔人征服的前奏,他们是来自中央阿富汗高地的蛮族,伽色尼的马哈茂德在1010年刚才征服过他们,并使他们皈依了伊斯兰教。

    由于印度人之间常常互相发生冲突,穆斯林对印度领土的渐次征服就变得更为容易。在北部,戒日王的直接政治继承者是拉杰普特人(”众王之子”,其王族祖先是5世纪南下印度的匈奴人)的各个部族。大约从750年起,拉杰普特人和建国于孟加拉的巴拉王朝对朱木拿河-恒河流域展开争夺,直到双方都被穆斯林古尔人推翻。在德干地区,620年曾经阻止过戒日王南征的遮娄其王朝与位于半岛东南部泰米尔地区的帕那瓦人展开斗争,直到757年遮娄其人被拉什特拉库塔人暂时取代,897年帕那瓦人则被朱罗人永远取代为止。

    朱罗人在983-1035年间达到顶蜂。他们比647-1202年间的任何其他力量都更接近于完成对印度世界的统一。在其国力强盛的半个世纪中,朱罗人确实统一了印度大陆的整个东南部向北直到通格拉巴德拉河和哥达瓦里河下游一线。他们吞并了东北部更远的羯陵加,甚至对孟加拉的巴拉人领土发起袭击。朱罗人还向海外扩张。他们吞并了锡兰和马尔代夫、安达曼和尼科巴群岛,1025年袭击了苏门答腊的室利佛逝王国,1068-1069年袭击马来半岛。尽管如此,遮娄其人于973年推翻了曾经推翻他们的拉什特拉库塔人,然后与朱罗人展开争夺,就象当年第一遮娄其王朝同帕那瓦人展开争夺一样。这一争夺直到旨在控制南印度的竞争双方筋疲力竭时为止。遮娄其帝国于1190年垮台,朱罗王朝在1216年垮台。朱罗人在鼎盛时期曾经建立起一套有效的行政制度,但它未能保存在到朱罗帝国垮台的时候。1216年以后,南印度为穆斯林的入侵敞开了大门。从1202年起,他们就已经成为整个北印度的主人。

    在苏门答腊,建立于7世纪末期的室利佛逝帝国取得了对马六甲海峡两岸的控制权。室利佛逝政权从g世纪末开始达到鼎盛,直到1025年被朱罗人的远征削弱。在爪哇,建立于8世纪后半期的夏连特帝国统治了柬埔寨,袭击占婆,并取得了室利佛逝的王位,将其变成夏连特王朝的分枝。夏连特王朝于9世纪末衰落,但这个爪哇人的国家和它在当地的继承者阻止了苏门答腊的室利佛逝帝国对印度尼西亚的统一,尽管室利佛逝控制了马六甲海峡和巽他海峡,这使室利佛逝掌握了从海上控制印度洋和中国海之间通道的两个关键地带。

    大陆东南亚已知的最早居民,操南方语族的孟-高棉语支诸语言(现在柬埔寨和缅甸部分地区仍讲这些语言),印度的蒙达诸语言也属于这个语族。占婆地区(现在的越南中部)的占人所操的是同源的澳斯特罗尼西亚(马来)语族中的一种语言。但自公元2世纪,即有记载的东南亚历史的最早年代以来,东南亚在文化上受到来自西部的宗教和艺术影响的入侵,在人种上受到来自北方的移民的入侵。印度和锡兰是西部文化影响(印度教的、佛教的和穆斯林)的来源。北方的移民是讲东亚大陆单音节语族诸语言的人。这些移民和被他们驱往南部的操南方诸语和澳斯特罗尼西亚诸语的居民一样,受到印度文化影响的强烈感染,只有越南人采纳了中国文化和中国式的大乘佛教,尽管他们在政治方面成功地抵抗了与中国的永久合并。在公元前111年第二次被中国吞并后,越南人在公元939年又一次获得了政治独立。

    越南人很早就在现在的越南北部定居。公元前214年左右,该国第一次被中国吞并。越语属于单音节语族的汉泰语支。缅甸人的语言属于这一语族的藏-缅语支,他们在850年左右到1050年之间某个时候从西部移入现在的缅甸地区。在现属上缅甸的蒲甘王国的缅王阿奴律陀在位期间(1044-1047年),缅甸人征服了缅甸的其他地区。这里的居民是孟人,孟语和印度宗教与文化的孟语译文直到1167-1173年以前一直在该国北部流行。在那里,一支操缅语的居民早已在此定居。

    从975年开始,占婆与越南不断交战;从1145年起,又与柬埔寨不断交战。大陆东南亚的这些战争是印度尼西亚的室利佛逝和夏连特帝国之间、印度的朱罗和遮娄其人之间、巴拉和拉杰普特人之间的斗争的翻版。大陆东南亚与印度一样,地区小国之间没完没了的战争是由于来自外部的军事干涉才告结束的。13世纪东南亚遭到蒙古人的入侵,同时,一部分地区被来自南诏(今中国云南省)的泰人占领。

    7世纪后半期到13世纪前半期,印度文明的军事和政治史读起来就象是一个傻瓜讲的故事。其实在大多数时间和地方,战争与政治的历史大都如此,但印度世界这些活动,特别是这一时期的这些活动显然是毫无意义的。意义重大的领域是宗教和造形艺术。在印度社会,宗教除了包括仪式和精神体验外,还包括了社会组织和习惯法。

    我们如果从军事和政治方面转向宗教方面,就会发现这一时期印度文明的历史是有意义的。这一方面的头等大事是佛教在次大陆上的逐渐退却。在这里,佛教的最后堡垒是孟加拉的巴拉王国,孟加拉于1199或1202年遭到古尔人穆斯林侵略者征服,使佛教在印度受到致命的打击。在这里,他们有意摧毁佛寺。其实,如果印度的佛教不是在过去的六七百年间已经处于衰落状态,也许它还是可以经受这次打击,免遭灭顶之灾的。耆那教的命运正与佛教相反。耆那教从未扩展到东亚或东南亚,但另一方面,它在印度也从未遭到灭绝,尽管它从未超出一个小教派的规模。

    上座部佛教的遭遇与耆那教相同,虽然它曾在塔里木盆地与大乘佛教相争,但当大乘教派进入中国后它就退出了竞争。另一方面,上座部在次大陆–不是次大陆本土,而是锡兰–保持了一个立足点。1190年,一些孟人和高棉的上座部僧人访问锡兰,并将僧伽罗式上座部佛教移植到了缅甸。对东南亚来说,这一事件的意义与10年之后穆斯林的军事征服对北印度来说同样重大。占统治地位的少数穆斯林外族入侵者,由于当地人的皈依而得到加强,它使印度第一次处在他们无法进行文化同化的主人统治之下。

    在宗教和艺术方面,印度与东南亚互相交战的地方小国的君民,收到了具有永久意义和价值的结果。

    巴拉王国不仅把大乘佛教在7世纪传入西藏,而且在8世纪传到更远的爪哇。大乘佛教在爪哇没有存在多长时间,但它留下人类最美丽的艺术作品之一婆罗浮屠这座永久性的丰碑。772年,夏连特王朝的创建者在这里把一座小山丘围建成一座卒堵波。装饰在盘旋上升的台阶上的浅浮雕,描绘了大乘佛教整个神话和玄学世界的图景。这一精美的艺术作品的自然背景与它的建筑和雕刻同样美丽。耸立在一边的陡峭的山脉,与另一边一望无际的翠绿稻田遥相辉映。婆罗浮屠使创立了这个丰碑的短命的夏连特帝国得到了永生。

    柬埔寨王国创建于公元6世纪,并一直存在到20世纪70年代。它在吴哥有机会给后代留下了大量杰出的建筑作品。其中的杰作是吴哥窟,这是国王苏耶跋摩二世(1113-约1145年)建造的一座庙宇,不论是从建筑设计的对称性,还是从使梁柱显得活泼的图案的生动性来说,都堪与雅典卫城的帕特农神庙相媲美。

    在南印度的斯拉瓦纳?比尔戈拉,耆那教徒也创造了佛教子弟在中爪哇的婆罗浮屠创造的那种业绩。他们都使大自然向人类的艺术俯首称臣。在婆罗浮图,大自然是被耐心处理的;在斯拉瓦纳?比尔戈拉,大自然则是被压服的。983年,他们将依山而建的寺院背后的两座山峰铲去一座,使它成为一位宗教英雄的巨型塑像。这座巨像就是山体的一部分,周围的山体都被剥离开来。山岩坚硬、陡峭、酷热,岩面烧焦了攀援者的脚底。这座耆那教的纪念碑毫无美感可言,但它的庄严雄伟却足以令人敬畏不已。在这一方面,无论吴哥窟还是婆罗浮屠都无法与之相比。

    朱罗人未能建立一个永久的帝国,但他们留下了永久的纪念碑。在朱罗王朝的鼎盛时期,印度寺庙建筑的南部风格达到了顶峰。

    647-1202年间的印度,最有影响的两个人物不是战士,不是统治者,甚至不是建筑师或雕刻家,而是两位哲学家:商羯罗(约788-838年)和罗摩奴阇(约生于1028年,活到12世纪)。这两位伟大的导师都是南印度人,商阉罗的家乡在半岛东南端的喀拉拉,罗摩奴阇出生于泰米尔地区,但整个次大陆都是他们的传道场。当时的印度各种姓间存在着社会屏障,但对圣贤来说不存在任何地理上的屏障,他们也不受政治世界和语言世界的限制。

    商羯罗和罗摩奴阇都很关心一个早在公元前6世纪就已有人讨论的问题:自然现象之中和背后的”终极精神实在”的本质是什么?这种”精神实在”与人类之间的关系是什么?商羯罗是一个不妥协的一元论者。他认为人类不同于最终的客观实在,自然现象的世界是虚幻的。如果事实确实如此,那么个人以及个性也就必然被算作虚幻的自然现象之一。在作为整体的客观实在中,无法容纳一个个人的神祗或一个个人神祗的个人信徒。罗摩奴阇批评了商羯罗的哲学。他主张一种”修正的一元论”,这可以使作为人类的罗摩奴阇感觉到对毗湿奴神的个人忠诚。罗摩奴阇指责商羯罗是一个秘密的佛教徒。他说得不错。商羯罗的哲学是以大乘佛教的形而上学为前提的,这种形而上学是大乘佛教无视佛陀对形而上学思辨的反对而想象出来的。罗摩奴阇对商羯罗的批评又是以商羯罗的命题为前提的。罗摩奴阇和商羯罗都支持印度教对佛教的反动,在这一点上两人是一致的。但是,如果没有佛教向他们提供思想武器,这两位新印度教的哲学家就不可能发起他们对佛教的战争。

    第五十九章 东亚(763-1126年)

    中国文明,甚至唐王朝,都在中国于755-763年所经历的混乱和劫掠中幸存了下来。当时,中国社会的一个组成部分是经由儒家经典的竞争性考试而征募的文职官员,正是他们使得中国社会幸存了下来。文职官僚花费了一定的时间重新确立它的统治。宋朝又复兴了这一制度。大灾难前夕建立的翰林院,激发了文职官僚们的群体意识和个人野心。文职官僚以反对革新,同时反对分裂为代价,强固了中国社会的结构。

    780年,税收的主要方式发生了变化。唐政权暂时瓦解的一个主要原因,是自5世纪后期以来行之有效的制度崩溃了。按照这一制度,政府授给农民土地,并强迫个人以缴纳赋税和服徭役作为回报。780年以后,则只征土地税,不再征收人头税。政府未能防止农民的土地为地主所攫取。农民成了佃户,他们的经济地位恶化,而政府岁入却并未受到损失。

    政府能够强迫地主缴纳新的土地税,因为,新的土地所有者阶级平均占有的土地规模,尚不足以大到使他们象悠闲的出租人那样生活。现在的土地所有者阶级大致等同于复兴的儒家官僚,这个阶级的生计部分地依赖于它的成员作为政府官员而获得的俸禄。这便为政府提供了一个把这些官僚土地所有者控制起来的手段。

    自蛮族入侵和政治分裂的时期(304-589年)以来;在削弱佛教寺院和尼庵在中国赢得的权力和财富方面,儒家官僚和道家及道教徒有着共同的利益。中国文明中,早于佛教的儒家学说,在思辨上不能与大乘佛教相匹敌。但在755-763年的大灾难之后的那一代人中,却产生了新儒家学派的第一批代表人物韩愈(768-824年)和李翱(约卒于844年)。这些新儒家,就象同时代印度的印度教新一元论者商羯罗一样,实际上都是隐蔽的佛教徒。他们重新恢复了儒家学说的活力,其方式是在儒家学说中注入大乘佛教的精神,以及把注意力集中于那些有助于他们作出佛教式解释的儒家著作上。这些著作是《孟子》和五经之一《礼记》中的《大学》章。儒家学说的改观,使中国在精神上不再依赖于现存佛教组织机构。842-845年,帝国政府切实实行了儒家和道家在经济和社会方面对佛教的一贯批评意见。佛教僧侣和尼姑被大量淘汰还俗,成为赋税承担者,寺院和尼庵的大量财产也被没收。以旧大陆文明中心西端犹太教-基督教-伊斯兰教的标准来看,中国842-845年对佛教的迫害是温和的,但以东亚的标准来看,它又是严厉的。

    这次迫害并没有消灭中国的佛教。不仅在深奥高级的层次上,而且在大众化的层次上,佛教教义与儒家学说和道教教义都已经不可分解地缠绕在一起。在大众化的层次上,这种缠绕的程度甚至更高。在儒家和道教的掩盖下,佛教教义继续对中国人的精神理智生活发生着重大影响。然而,842-845年的宗教迫害不仅仅局限于佛教,也殃及了其他的宗教。这些宗教与佛教不同,它们是新近从外国传入的。在这场严峻的考验中,摩尼教、琐罗亚斯德教和基督教的聂斯脱利教派都未能在中国生存下来。不过,迫害这些宗教,没有与迫害佛教同样正当的经济和社会的理由。它们的信徒数量和财产价值相对都很小。

    摩尼教由于畏兀儿突厥人而在中国享有特权。自唐朝初年以来,畏兀儿突厥人一直是中国的同盟者,曾帮助唐王朝渡过了755-763年的危机。他们后来选择了摩尼教为国教。但在840年,畏兀儿人被黠戛斯人从欧亚大平原今天蒙古的领土上驱逐了出来,进入了中国和塔里木盆地。842年,中华帝国政府开始压制中国的摩尼教。

    唐朝政权从763年一直苟延残喘到874年。在中国诗人白居易(772-864年)的诗歌中,在日本佛僧圆仁(他于838-847年在中国求法)的日记中,我们获得了这个世纪中有关中国国家事务的第一手材料。两位作者都是842-845年中国迫害佛教和其他非本土宗教的见证人。但他们又都反映,在这个时期,中国的统治既有效而又仁慈。然而,作为唐政权对755-763年灾难反应的各种改革,却未能阻止其最终崩溃。唐王朝于909年灭亡;来王朝,统一中国的下一个统治王朝,直到960年才建立。事实上,统一政权的空白期从874年一直延续到979年,而且,中华帝国并没有完整地重新统一,它在四面八方都丧失了边缘领土。

    建立于713年,位于满洲东部的渤海国,象朝鲜的新罗国一样,承认唐朝的宗主地位。926年,渤海为契丹所灭。契丹是欧亚大平原上的游牧族,其用语大概是蒙古语。946年,契丹人宣称自己是中国的统治者,以辽王朝的名义进行统治。尽管他们未能实现他们所宣称的对中国的统治,但他们却于1004年迫使宋朝承认了他们对于长城东端以南的16个边界州的所有权,并迫使宋朝向他们进贡。1038年,党项族仿效了契丹的先例。党项是藏族的一支,唐朝曾允许他们居住于中国的西北地区。他们以”西夏”作为王朝的名称(夏是传说中中国第一个王朝的称谓)。1044年,宋朝不得不以同意进贡的代价向党项换取和平。南方曾是中国的扩张遇到抵抗最少的一个方向。但在939年,由于北越的脱离,中国在南方的领土永久性地缩减了。从公元前111年开始,北越一直是中国不可分割的一部分。

    宋代统一中国的统治者们陷入了进退维谷的境地。他们首先关注的是防止帝国再次因为地方军阀的兴起而分裂。他们成功地避免了这种分裂,其代价却是牺牲军事实力,这使宋朝在处理他们与富于进攻性的蛮族邻居的关系时,处于不利的地位。政权体制仍然需要彻底地改革。文职官僚中出现了一位目光锐利、精力充沛、富有多气的改革家王安石(1021-1086年)。1069至1076年,王安石进行了一系列根本性的改革,而且这些改革措施在整个宋神宗统治时期(1067-1085年)都得到了贯彻实施。王安石之所以能够推行这些改革,是因为他得到了皇帝的信任。宋神宗死后,王安石的改革措施于1085-1086年被全部废除,尽管这些措施是整治宋代社会弊病的良方。

    王安石失败的原因,与公元前14世纪埃及法老阿肯那顿改革和公元前2世纪意大利罗马格拉古改革失败的原因一样。王安石不得不与思想十分保守的官僚共事。在不受传统精神的束缚这一点上他是孤独的,他的自由思想触怒了精神上墨守成规的同僚们,并使他们深感不安。无疑,他的激进措施无论怎样都会使保守主义者疏远,但王安石固有的挑战性格却加剧了保守者们的反对。他所树立的敌人中包括一些真正而杰出的人,他应该求得他们的支持。废除王安石改革方案的大臣就是著名的史学家司马光。

    王安石感到,学究式地学习儒家经典,对于官员执行实际的政务来说,是不恰当的方式;在学究式的学习中,学生的目的是迎合思想迂腐的主考官。王安石采取的补救方式是,对经典作新的官方解释,改革政府的考试制度。如果宋神宗活得更长一些,这些教育改革措施可能会培养出一代思想开放的新官僚。与此同时,王安石还不得不通过旧学派培养出来的同僚们进行改革。尽管有这一障碍,他还是成功地将他的计划付诸实施。他安排政府向农民提供利息低于私人高利贷者的低息贷款。他用募役的方式取代徭役,并通过按产量而不是按面积来征收土地税的方式来筹措募役费,把大部分负担强加于那些最能担负得起这些费用的土地所有者身上。王安石的这些财政措施是755-763年以后唐朝所进行过的改革的复活。王安石重建了农民民兵。这一措施曾是隋朝重新统一中国和使中国恢复青春活力的先行措施。

    王安石的改革措施是及时的。它们由于私人间的恩怨而被废除,但不到40年这一弊政就得到了报应。1114-1125年,女真族推翻了契丹。女真族是通古斯语系的一支民族,居住于契丹王朝的东北部,在前渤海国领土之外。1115年,女真族建立金王朝,1126年,攻克宋朝首都开封(位于洛阳以东的黄河岸边),俘获了当时的皇帝及其前任皇帝。由于遭受这一打击,宋帝国丧失了长江以北的全部领土。王安石的政敌们又回过头来把这一灾难的责任推到他的身上,对1126年灾难的公正评价是,如果王安石的改革能假以时日并开花结果,灾祸是能够避免的。

    在军事和政治方面,中国755年至1126年的历史是一段灾难频繁的历史,780年的改革和1069-1076年的改革,未能改变历史进程。然而在文化方面,这一时期的中国历史却是硕果累累。就象304年及其以后蹂躏中国北部的蛮族一样,10世纪、11世纪、12世纪的后起蛮族,也强烈地为中国文明所吸引。除了自身采纳中国文明,他们还在自己统治的领土上传播了中国文明,而这些领土又从未纳入过中华帝国的版图。因而,中华帝国的收缩由于中国文明的扩张而得到了补偿–不仅在中华帝国周边兴起的国家如此,在朝鲜和日本也是如此。

    这一时期,中国文明与以前的时代相比,具有更大的吸引力。它在当时的成就是多方面的。新儒家哲学的产生是由程颢(1032-1085年)、程颐(1033-1108年)兄弟推动的,他们都是王安石的同代人(程颢先与王安石合作,后来又反对他的某些措施)。二程完成了由他们的先驱者韩愈开创的变革。除了《礼记》中的《大学》和《中庸》两章,程颐实际上废黜了汉代注释的五经。他确立了新的四书注本,即在《大学》和《中庸》之外又加上了《孟子及和《论语》。《论语》大致是孔子答弟子问的汇编。程颐的新儒家学说成了文官教育的标准观点,而且它的形而上学成份也为儒家学说提供了一个新的尺度。但它并不鼓励儒生、考官和官僚们独立思索。

    在艺术方面,唐宋时代的中国人也不受过去时代的拘羁。他们欣然接受了随大乘佛教传入中国的希腊-印度的观赏艺术。他们将观赏艺术转化为中国式的,并发展了他们自己的独特的艺术风格。中国的山水画在宋代达到了顶峰。中国的彩釉瓷器也是如此(制造彩釉瓷器是中国本土的工艺)。唐代取得了雕板印刷的成就。诗人白居易的著作大概印行于800-810年(那时诗人还在世)。而且,在他逝世之前,他的诗歌就已流传于日本。对大乘佛教经典成批印行的需要(既有俗人的需求,也有僧侣的需求),以及应试者对儒家经典大批印行的需要,部刺激了书籍印刷的发展。翰林院于932-953年印制了一部130卷,并配有注释的儒家经典。那时。中国在政治上还处于混乱之中,宋代最初的60年间,印行了成千上万卷的佛教经典和道教经典。其中许多套经典输入了朝鲜和日本。

    发明于6世纪被用于燃放爆竹的火药,至12世纪它已被用于战争。航海和海上贸易是由印度人和穆斯林首创的。879年,当广州为中国起义者洗劫时,那里有大量的外国商人,他们遭受了惨重的损失。不过,与印度和穆斯林世界贸易关系的中断是暂时的。在这一贸易中,中国人发挥了越来越积极主动的作用。中国的南部海岸,当它第一次并入中华帝国的版图时,在中国人的眼里,它被看作是地球的尽头。然而现在,它却开始取代甘肃成了中国的前门。起传导桥梁作用的欧亚大平原,为传导作用更佳的海洋所取代。海洋成了中国与旧大陆其他部分联络的主要媒介。

    在朝鲜,唐代中国的卫星国新罗,与中国本身的瓦解同时,于9世纪末期陷入无政府状态。但朝鲜的王朝中断期更短,仅从889年延续到高丽王朝重新统一朝鲜的936年。高丽王朝建立于918年。

    在日本,模仿唐代中国的雄心勃勃的企图逐步走向失败。710年和794年,按照唐朝首都长安的形制,建起了奈良和京都,尽管规模稍小。从理论上说,整个日本帝国都是按照中国的模式管理和征税的。但是,日本不可能聚集起足够而受过中国教育的官员,以满足把理论转化为实践的需求。中国通过竞争性的书本考试征招文职官员的制度,从来未适用于日本。以天皇的名义统治各国的国司,实际上成了独立、世袭的诸侯,就象同一时代旧大陆另一端查理曼帝国各省省督伯爵的后裔们一样。

    然而,日本的和平时期却延续了250多年。这一时期始于646年正式采用唐朝式的制度。在这250年的进程中,中国文明,包括中国式的大乘佛教,都在日本深深地扎下了根,成了那里根深蒂固的东西。尽管日本人不能使这一外来文明保持其原有风貌,他们却能够而且确实把它转化成了日本式的,就象中国人把印度输入的佛教转化为中国式的一样。

    712年到791年,产生了3部日本编年史。那时,日本国的首都是奈良。这3部历史都是用汉文写成的。尽管大多数汉字是作为中国式的表意文字使用的,所表达的是汉语的意思,但有些汉字却是作为音素使用的,传达的是日语单词的音节的声音。9世纪,为了达到根据语音书写日文,依据汉字创造了两个音节表,从而汉字具有了语音的价值。这一发明,使得书写日语而又不在语音上使用其他汉字或不在表意上使用任何一个汉字成为可能。但对于书写日语,汉字与两个音节表相结合,仍然被当作表意文字来使用。这部分是由于汉字的威望,部分是因为它们清晰地表达了汉语的语词。日本人使用汉语语词丰富了他们自己的词汇。许多借用来的汉语语词,在它们日本语的发音上是没有区别的,因而,在某一日语音节表中,这一发音的语音表述也是没有区别的。但是,同一语词,在作为表意文字使用的原有汉字中,却是不能相互混同的。由于这些原因,在日语的书写中,坚持了使用汉字,以之作为表意文字。

    汉语表意文字与日语音节音素的混和,与钵罗钵文的手稿同样复杂。在这部手稿中,根据阿拉米语字母表写成的阿拉米语词,被用作表意文字,表示用伊朗语方式发音的伊朗语语词。然而,日文这一难以使用的文字,却为一部成熟于11世纪初期的深奥微妙的日本文学作品提供了表达思想情感的工具。这部杰出的作品是女官紫式部的《源氏物语》。

    中国人曾经认为,他们的文明是世界上唯一的文明。然而,到了1126年,中国成了半个世界的”中央王国”,为一些文化上的卫星国所拱卫。这些卫星国都在一定程度上采纳了中国文明,但又将其转化为与众不同的东亚型汉文化。此外,东亚作为一个整体,已经与旧大陆的其他部分相互影响。起源于印度的一种宗教,即大乘佛教,已经经由中国传播到了日本、朝鲜,以及今天称为北越的那个国家。而且,所有的东亚国家,通过海洋和陆地,不仅与东南亚和印度保持着联系,而且与印度次大陆另一边的伊斯兰世界保持着联系。

    第六十章 中美洲文明和安第斯文明(约900-1428年)

    对于这一时期如同对于以前的历史时期一样,考古学家们在用基督纪元的年代确定中美洲历史事件的年代方面意见是一致的;但是,对于这一时期安第斯历史事件的年代却未取得一致意见。前文已经提到安第斯历史各阶段相对的年代序列是没有疑问的,但是用公元纪年体系来表示的认约公元前400年到约公元1438年的绝对年代,即依据放射性碳测定年代和依据地层学估算的年代之间却存在着很大差异。依据放射性碳测定的年代体系(本书暂时采用这一体系),安第斯历史”兴盛”时期在公元500年左右结束,蒂亚瓦纳科文化在公元900年正走向它的末日。因而安第斯历史的这两个阶段已在第48章予以论述,虽然根据地层学的年代体系,”兴盛”时期到900年还未结束,整个蒂亚瓦纳科文化的衰落是在1000-1300年间。

    在中美洲世界,”古典”时期(约300-900年)是在衰落中结束的。在墨西哥高原,特奥蒂瓦坎(约600年)和乔卢拉(约800年)先后被来自新开垦地区以北的沙漠地带的蛮族攻占和毁坏。在马雅地区,马雅形式的中美洲文明在此达到鼎盛的中部地区,在9世纪已被相继废弃。10世纪初,另一支北方蛮族托尔特克人已经侵入沙漠南部的农耕地带。这些托尔特克人和他们的前辈还有所不同,他们不仅仅是破坏者。他们接触的中美洲文明足以使他们创造具有自己特点的中美洲文明。虽然他们位于墨西哥湖以北的首都图拉无法与特奥蒂瓦坎相比;但该城的建筑和雕塑却有惊人的成就。

    托尔特克人和他们在中美洲历史上后”古典”时期的后继者都是好战的武士。他们并不是中美洲世界最早的穷兵黩武者。奥尔梅克人就是好战的武士,依据”波纳姆帕克”的残忍壁画提供的证据来判断,9世纪时乌苏马辛塔河流域的马雅人也是穷兵黩武者。但是在后”古典”时期,中美洲的军国主义已经强烈到成为中美洲生活主要特征的程度。

    在中美洲历史上后”古典”阶段的初期,从安第斯世界传来了冶金术。这一技术通过海路、可能是经厄瓜多尔沿岸传到了墨西哥西海岸。在同时代的安第斯世界,铜(后来还有青铜)被用来制造工具和武器,但除了太平洋沿岸高地上的塔拉斯科人之外,安第斯冶金学家们在中美洲的学生在这方面并未遵从他们老师的意愿。他们制造金银饰品的技艺日益精湛,但是当阿兹台克人在16世纪与西班牙人相遇时,他们仍然在使用石头和木头制作的武器。值得注意的是向阿兹台克人这样一个尚武的民族,竟然从未模仿自己的邻居和对手塔拉斯科人让自己的工匠去制造剑和矛。

    图拉同乔卢拉、特奥蒂瓦坎、拉文他、圣洛伦索一样也毁于暴力。这一命运在12世纪下半期降临在图拉城。与此同时,图拉城的建城者托尔特克人托皮尔京,被另一支敌对的托尔特克人赶了出来,据认为是逃向了大海。传说他有一天将从海上归来的预言被传给了托尔托克人的后继者阿兹台克人。托皮尔京似乎从海上来到尤卡坦西海岸,并在此为自己征服了一个微型帝国,该帝国的首都是奇琴。根据尤卡坦马雅人的记载,在987年或此前不久,一个名叫”库库尔肯”的征服者从西方的海上来到了尤卡坦。在马雅语中”库库尔肯”意指”长羽毛的蛇”,这也是被驱逐的托尔特克国王托皮尔京的绰号”魁扎尔科亚特尔”的意思。魁扎尔科亚特尔是墨西哥一位神祗的名称,其形状就是被看成是托皮尔京的长羽毛的蛇。(托皮尔京的过错在一支托尔特克人看来,也许是他对该神的虔敬行为,因为该神要求人忏悔性修行,而不赞成人祭牺牲。)

    库库尔肯-魁扎尔科亚特尔在西北尤卡坦建立的国家,从约987年持续到约1224年。该地融合了托尔特克人和马雅人的建筑、视觉艺术、宗教、生活方式和习惯。托尔特克人的精神生活,表现为对人祭牺牲的执着追求。如果托皮尔京真的就是库库尔肯,可能还不致残忍到为了取悦较凶恶的那部分托尔特克人而嗜血成性的程度,但是他在尤卡坦开创的托尔特克-马雅混合文明却比在托尔特克征服者到来之前的马雅更为残忍嗜杀。座落在奇琴的一座装饰有人头盖骨壁缘的平台就是西尤卡坦托尔特克统治者残忍性的纪念。同样能证明这种残忍性的还有从奇琴的”肯诺特”底部挖掘出的人类遗骸。(肯诺特是一种水池,人祭牺牲者的尸体被掏空之后就扔进这水池中。)

    在建立和统治奇琴的托尔特克人消失以后,奇琴被一支流浪的马雅人伊察人占领。伊察人的首领模仿奇琴的托尔特克建立者也称自己为库库尔肯,他于1283年左右在奇琴和尤卡坦西海岸中间建立了马雅潘城。这是马雅地区最早的有城墙的城市,从约1283年至约1461年,该城一直是西北尤卡坦的都城。在此之后马雅潘城因毁于一场内战而被废弃。

    在尤卡坦历史上的伊察时期就同先前的托尔特克时期一样,本地马雅式的中美洲文明混杂了来自墨西哥高原的成份;在一系列相继在马雅潘行使统治的伊察人中,有一支部落就是在一伙墨西哥移民雇佣军的帮助下夺取权力的。

    虽然马雅潘四周有城墙,但它并不象没有城墙的特奥蒂瓦坎那样座落在一块平地上。而秘鲁西北海岸的昌昌城则座落在一块规模与巴比伦和尼罗河流域的亚历山大城相当的长方形平地上。

    根据安第斯历史在蒂亚瓦纳科文化衰落之后的两种不同的年代体系,这一后蒂亚瓦纳科时期是在1000-1430年之间。在这一时期,安第斯世界在政治和文化上都不是统一的;在沿海低地,它在政治上至少分裂成3个国家,每一河流的下游地区都形成了一个独立的政治单位–奇穆、奎兹曼科、钦查,这些国家使前蒂亚瓦纳科”兴盛”时期的国家相形见绌。

    如果我们将安第斯历史与希腊历史联系在一起考察,我们会发现自己很容易将安第斯历史的”兴盛”时期与公元前334年之前的4个世纪的希腊化历史等同起来;在这4个世纪中,希腊世界标准的政治单位是城邦。在安第斯历史上的”兴盛”时期,就同在希腊历史上的”古典”时期一样,艺术也达到了鼎盛阶段。后蒂亚瓦纳科时代的安第斯沿海国家相当于波斯帝国的继承者、由波斯人的马其顿希腊征服者建立的那些国家。

    在安第斯历史的这一阶段,安第斯沿海城市都是些建于众多河流汇合处的帝国首都。每一国家的居民都集中居住在首都,灌溉网经过了修整,河流中的水被引来灌溉人口稠密的城市附近的水浇地。奇穆的首都昌昌规模就特别巨大,以至考古学家把安第斯历史的这一阶段定名为”城市化”或”城市建筑”时代。这么大的城市规模是很有特色的。在”兴盛”时期,莫奇河流域就没有出现过昌昌那么大规模的城市;但在质量上莫奇河流域”城市化”时代的陶器和无法与”兴盛”时代莫奇卡的陶器相比。”城市化”时代并不富于诗意,它的杰出成就不是制造装饰花瓶,而是制造金属工具。

    昌昌城是一排巨大的长方形建筑物,四周围有高大厚实的泥砖墙。这些城墙的目的似乎并不是为了防御。奇穆国的防线是在其边疆–例如是在延伸到福塔莱萨流域低地地区的帕拉蒙加,该地大约位于流经奇穆国境内诸河流域的最东南部。

    昌昌城是”城市化”时代安第斯世界最大的城市,实际上也是利马城兴起前人们所知道的最大城市。但是”城市化”时代安第斯世界最令人敬仰的神殿是在奎兹曼科地区的帕查卡马克,该地名即得名于该地受到崇拜的神。帕查卡马克是一位普世神,他的神庙受到来自各地的朝圣者的朝拜。

    第六十一章 伊斯兰教世界(945-1110年)

    在继承阿拔斯哈里发王朝的众多国家中,布瓦希德统治者于945年攻占巴格达清楚地表明,始于9世纪的阿拔斯帝国的解体已不可逆转。布瓦希德王朝并不是未经哈里发同意就自封为阿拔斯领土事实主人的始作俑者,但它却是占领阿拔斯占统治地位的行省伊拉克,并直接控制哈里发制度本身的带头羊。布瓦希德人是来自吉兰的伊朗人,他们对阿拔斯哈里发的支配标志着伊朗人政治势力在伊斯兰教国家中的不断增长和阿拉伯人势力的衰落。这一趋势在747-750年使阿拔斯人得以夺取哈里发宝座的革命中已明显地表现出来,后来在813年哈里发马蒙对其兄弟阿明的胜利中再次得以显示。但是,布瓦希德人不仅是伊朗人而且也是什叶派;因而,从宗教方面来说,他们在945年进入巴格达似乎预示着747-750年革命的倒退而不是完成。什叶派参加这场革命,是希望革命的结果将使阿里党人取代倭马亚人。在当时他们未能如愿以偿。而2个世纪之后的现在,他们贻误已久的希望似乎终于走上了得以实现的道路。

    在西北非,艾格莱卜人已于909年被一个声称源于阿里和法蒂玛家族的代表所推翻。艾格莱卜人是逊尼派阿拉伯人,他们只在名义上承认阿拔斯人的宗主权。法蒂玛人也是阿拉伯人,但他们的军队是库塔马赫的柏柏尔人。法蒂玛人极想取代阿拔斯人,他们的胜利实际上是柏柏尔族和什叶派中伊斯玛仪(七伊玛目)派的胜利。914年他们企图征服埃及,但没有成功。不过到969年,他们成功地征服了埃及。与此同时在890年,与法蒂玛人同属七伊玛目派的什叶派社团卡尔马特派试图在伊拉克建立一个国家。903-906年阿拔斯人成功地将卡尔马特人从新月沃地驱逐出去,但卡尔马特人在阿拉伯半岛的东北部、哈萨和巴林岛建立了稳固的根据地。依靠这一根据地他们不仅劫掠了伊拉克,还袭击了麦加。930年,他们从克尔伯神殿抢走了黑石。从864至928年统治伊朗里海沿岸的另一支什叶派裁德派,于897年在也门建立了第二个国家。伊斯玛仪派的什叶派在977年和985年获得了对木尔坦和信德一部分地区的控制权。到985年,仍然处于逊尼派有效统治下的伊斯兰教世界的主要部分只是位于河间地带和呼罗珊的阿拔斯人的继承者萨曼伊朗人的国家和位于伊比利亚半岛的流亡的倭马亚哈里发王朝。倭马亚人和什叶派一样,在政治上对阿拔斯人持敌视态度。在985年伊斯兰教世界仿佛正在伊朗人和柏柏尔之间被分割;如果它要重新统一,那统一者将会是伊斯玛仪派的什叶派法蒂玛人。

    而且,伊斯玛仪派的什叶派和伊朗人在文化和政治方面都处在上升阶段。诗人菲尔多西(939-1020年)、哲学家伊本?西那(阿维森纳)(980-1037年)和科学观察家比鲁尼(973-1048年)都是伊朗人。自约970年起,”精诚兄弟会”,在巴士拉的一个伊斯玛仪派社团,开始创作一部百科全书。973年,法蒂玛的伊斯玛仪派在他们的新都开罗爱资哈尔清真寺创立了一座神学院。从整体上看,阿拔斯帝国政治上的分崩离析有利于文学艺术的发展。地方宫廷的增加促使潜在的庇护人数目的增加。

    伊朗版本的伊斯兰教文明在伊朗扎下了根,它通过新波斯文学而不朽。但是,在11世纪结束之前,在985年时被认为是合理的其他一些期望却落空了。到1085年,逊尼派政府在除埃及之外的伊斯兰教世界各地都重新掌权;而且,虽然埃及仍处在什叶派法蒂玛王朝的统治之下,但法蒂玛统治下的埃及逊尼派穆斯林臣民并没有采用他们统治者的伊斯兰教。1085年,阿拔斯王朝仍然坐在巴格达的王座上,仍在受到监护。但从1055年起,它的主人已不再是伊朗的布瓦希德人,而变成了逊尼派的突厥塞尔柱人。突厥人取代了伊朗人,成为除了阿拉伯半岛之外的伊斯兰教世界亚洲部分的主人。

    什叶派未能抓住656-661年和747-750年的两次机会。在969-1055年间,它又一次丧失了机会。法蒂玛人和卡尔马特人彼此并不合作。虽然双方都属于伊斯玛仪教派的什叶派,但卡尔马特人关心的是社会正义,而法蒂玛人关心的主要是维护自己世袭的神权。法蒂玛人与卡尔马特人的性质也各不相同。至于布瓦希德人,他们与前两派都隔得很远。布瓦希德人虽是什叶派,但不属于伊斯玛仪派。他们宁当阿拔斯的主人也不愿做法蒂玛的臣民。在布瓦希德人看来,这是他们唯一的选择。什叶派中的非伊斯玛仪派的各派和穆斯林社会的多数派逊尼派,在一点上意见一致:都不愿落在伊斯玛仪派的统治之下。伊斯玛仪派对未能成为伊斯兰教世界的主人心怀不满,于1090年左右组织秘密团体阿萨辛派进行报复。他们早期的受害者之一是取代布瓦希德人的伊朗宰相、逊尼派塞尔柱突厥人尼扎姆?穆尔克。

    对于伊斯兰教世界的居民来说,11和12世纪是动乱的年代。统一的伊斯兰教国家的解体造成了国内法律和秩序的大混乱。巴格达的布瓦希德人政权以及后来取代它的塞尔柱人政权,多少减轻了这种混乱,但这只是暂时和局部的。伊斯兰教世界现正受到基督教入侵者的折磨;更悲惨的是,它还受到迁移不定的游牧蛮族的骚扰,虽然这些蛮族名义上已皈依伊斯兰教。

    东罗马人在961年夺取了克里特岛,在965年夺取了塔尔苏斯,在法蒂玛人占领埃及的同一年969年夺取了安条克。在其后的100年中,法蒂玛人和东罗马人为争夺叙利亚而互相竞争,但都没有成功,最后双方都被人赶走。驱赶他们的对手最初是1098-1099年的塞尔柱突厥人,后来是西方的基督教十字军。诺曼底人在1060至1090年间征服了西西里。卡斯提人在1085年占领了托莱多。

    得到释放的游牧民族–突厥人、阿拉伯人和柏柏尔人造成了范围更广的痛苦和破坏。999年,继承阿拔斯王朝的萨曼伊朗人国家沿着乌浒河一分为二,一部分为962年在今天阿富汗的伽色尼建立的一个突厥人王朝所统治,一部分为葛逻禄突厥人所统治,后者在960年皈依了伊斯兰教。自从9世纪初以来,突厥人作为士兵–奴隶一直源源不断地进入伊斯兰世界,他们学会了如何乘机反抗自己的主人。999年,一大批自由的突厥人游牧部落葛逻禄人首次大规模地定居于伊斯兰教地区。紧跟葛逻禄人之后的是古兹人,他们被基尔察克人赶到了西边。1040年,一支已经改宗伊斯兰教的古兹人在塞尔柱家族的成员率领下打败了另一支突厥人伽色尼人,占领了呼罗珊。塞尔柱人的野心是建立一个属于自己的帝国,在这方面他们暂时取得了成功。1055年他们取代了布瓦希德人而成为在巴格达的阿拔斯人的主人。跟随塞尔柱人的游牧民需要的是牧场和战利品。塞尔柱人与新结识的伊朗人和定居的阿拉伯臣民共谋,让游牧的突厥人通过。1064年他们放这些人前去亚美尼亚,1071年之后又把他们放到了小亚细亚。但是在这些迁移的游牧民族开始破坏这些基督教国家之前,他们已在沿途摧毁了伊朗。

    1047年,法蒂玛人为了报复法蒂玛西北非总督区脱离王朝,放出了两支阿拉伯游牧部落。西北非的橄榄园曾经保证了这一地区在迦太基人和罗马人统治时期的繁荣,它们躲过了汪达尔人的征服和阿拉伯人的首次征服。但是,由阿拉伯人第二次征服造成的破坏却不可修复。这并不是一次军事行动,而是游牧民族大规模的迁移。这些向西跋涉的阿拉伯游牧部落并未到达大西洋,来自西撒哈拉的柏柏尔游牧民挡住了他们的去路。这些柏柏尔人的领袖是一个叫作”穆拉比教团”的宗教兄弟会。他们是清教徒式的逊尼派信徒。1086年和1090年,他们进入西班牙,废黜了好几个未能阻挡卡斯蒂利亚人前进的西班牙倭马亚王朝的继承者。直到此时西班牙穆斯林才为时已晚地发现,他们信仰基督教的西班牙同胞与此相比并不那么邪恶。

    在地中海西部平原和叙利亚,伊斯兰教的政治边疆已被西方基督教入侵者向后推进。但与此同时,这一边疆在印度和小亚细亚仍在继续向前推进。伽色尼的突厥人王朝征服了从未置于萨曼或阿拔斯人统治之下的非伊斯兰的领土。伽色尼的马哈茂德将整个印度河平原都置于逊尼派穆斯林的统治之下(他在印度河流域进行战争的同时,还消灭了木尔坦和信德的伊斯玛仪什叶派穆斯林政权)。塞尔柱人对伊朗和伊拉克的统治虽然昙花一现,但他们在东罗马帝国的心脏小亚细亚建立的一个逊尼派穆斯林国家却存在了231年(1077-1308年)。

    突厥人是经伊朗进入伊斯兰教世界的。但在他们进入之前伊朗人已经创造出了一种光辉灿烂的伊朗版本的伊斯兰教文明。突厥人保留了他们祖先的语言,但接受了这种伊朗形式的伊斯兰教文明。正是这种形式的伊斯兰教向东南传播到印度,向西北传播到东正教基督教王国。自11世纪起伊斯兰教牺牲这两个邻近文明的扩张,这比它在西方的长期退缩和在叙利亚的暂时退缩要更为广泛。

    所以,在统一的伊斯兰教国家解体的同时,伊斯兰教的版图也在显著地扩张。在理论上,统一国家是宗教的强制性的政治框架;但理论被经验否决了。这证明伊斯兰教无需一个统一政府的支持也能生存和传播。这一经历具有两个重大的影响。它一方面改变了穆斯林关于真主性质以及穆斯林礼拜者与真主关系的性质的概念,另一方面它在已经消亡的统一伊斯兰教国家的后续国家中,引起了非穆斯林臣民的第一次大规模的改宗浪潮。

    这种大规模改宗的政治动机是很明显的。曾经统一的伊斯兰教国家的非穆斯林多数派臣民,以前受到强加给他们的伊斯兰教和平的庇护。当伊斯兰教的统一国家解体之后,其臣民–无论是穆斯林还是非穆斯林–需要寻找某种替代性的庇护。他们认为伊斯兰宗教比伊斯兰国家具有更顽强的生存力量,于是便推动了日益解体的国家的非穆斯林臣民采用他们前统治者的宗教。与作为一个动乱时期未能度过难关的国家的前臣民相比,如今作为一个穆斯林,更能为个人提供更大的安全感。改宗伊斯兰教的动力现已不仅仅是争取赋税和政治上的平等,而是对生存的一种令人极度痛苦的关切。

    能够使人生存下去的伊斯兰教是逊尼派正统形式的伊斯兰教。什叶派的布瓦希德人认识到逊尼派对群众的号召力,一直避免废除阿拔斯人的哈里发制度;因为哈里发制虽然已不再是统一的逊尼派穆斯林国家的有效政府,但它仍然是逊尼派穆斯林共同体心理和社会统一的制度性的象征。而且,与伊斯玛仪的什叶派截然不同,逊尼派对人的需要更为关心。穆罕默德所体验的真主一直是《五经》中以色列人的上帝。他是不可接近、无法解释的。因而,在正统的逊尼派穆斯林看来,神秘主义者跨越真主与人之间鸿沟的努力是令人怀疑的。这种做法似乎象是对真主超越性的一种亵渎和侵犯。无疑,生活在11世纪的质朴的穆斯林,并不了解《五经》中的上帝已被以色列的先知和犹大及其继承者法利赛人和基督徒变形为上帝父亲。但是,这个慈爱而又可爱的上帝正是统一的伊斯兰教国家的前臣民在国家陷于分裂之时所渴望的上帝。正当他们有这种需要的时刻,一位来自呼罗珊的伊朗学者加扎利(1058-1111年)满足了他们的需要。

    同奥古斯丁一样,加扎利是一位自愿放弃其职位的教授。但与奥古斯丁不同,加扎利并没有参与有争议的教会政治。他力图通过直接体验与真主的神秘关系而深入研究神秘主义。为此他退隐了11年之久(1095-1106年)加扎利并不排拒逊尼派的正统教义,但他将神秘主义融入其中,从而使其人格化。所以,当逊尼派穆斯林最终沿着加扎利的路线前进时,逊尼派伊斯兰教经历了一次转折,获得了一次新生。加扎利赢得其宗教同伴的信任是因为他否定和反对两个不得人心的运动,一个是伊斯玛仪的什叶派,另一个是理性主义哲学。伊斯玛仪派之所以不得人心,是因为他们是偷偷摸摸的暴力革命者;理性主义哲学家不得人心,是因为人们感到自由思想对于一个充满危险的时代来说,是一件太费钱的奢侈品。以抛弃这两个坏东西为代价,加扎利为逊尼派伊斯兰教拯救了神秘主义;如果神秘主义真的也被抛弃了,那逊尼派在人类思想中,或许也就没有立足之地了。

    第六十二章 拜占庭世界(927/928-1071年)

    这一阶段拜占庭历史上的两个重要事件是989年俄罗斯人改宗卡尔西顿派基督教的东正教派和1071年东罗马帝国的军事崩溃。帝国的崩溃给希腊人带来了灾难性的影响。在7世纪,东罗马帝国事实上已成为希腊人的帝国,尽管它仍保持着罗马的名称。所以,从1071年起帝国遭受的挫折也就是希腊民族的挫折。但是,到1071年时,拜占庭文明的命运已不再完全与希腊民族和东罗马帝国的命运休戚相关。此时的拜占庭社会除了希腊人之外,还开始包括3个说斯拉夫语的民族–保加利亚人、塞尔维亚人和俄罗斯人,以及格鲁吉亚人和高加索的阿兰人。

    如果孤立地看,这一时期东罗马帝国军事史上的兴亡胜败似乎有点荒谬,但从经济和社会背景上考察,这些变迁便很容易理解。从926年到1045年,东罗马帝国的军事史记载了连续不断的、虽然并不总是轻易得来的胜利。11世纪50年代的转折和1071年东罗马帝国在亚美尼亚和阿普利亚两条战线上的惨败,其根源在于此前帝国农业政策的一系列失败。这些失败始于929年(更有可能是922年),最终以1028年政府承认失败而结束。回过头来看,东罗马乡村贵族的成员于963、970、976-979、987-989和1057年在小亚细亚一系列的反叛已构成了塞尔柱和达尼什曼德的突厥人军事首领及追随他们的游牧部落占领小亚细亚内陆地区的序曲,这一地区先前是由东罗马贵族的大庄园占据的这些大庄园的扩张损害了组成东罗马民兵的广大农民的地产。

    只要东罗马还坚持守势,这支由农民组成的民兵就能够在阿拉伯人的进攻面前成功地据守小亚细亚。武装起来的农民实际上成了防御战的有效工具。由于他们保卫的富饶土地是属于自己所有的财产,因而具有认真履行军事职责的强烈动机。帝国国库的损失并不算大,因为农民主要依靠自己的土地为生,他们交纳的赋税要大于服军役的收入。但是这些农民组成的民兵并不能同样胜任以征服和永久占领帝国之外领土为目标的进攻性战争。

    在926年之前的3个世纪中,东罗马的军事行动一直是防御性的,农民民兵保卫的是自己的财产。但即使在这一时期,也已经很难劝诱民兵们投入大量时间积极地参加勤务和训练。加入民兵的农民除了要为自己提供军事装备和为家人提供生活必需品之外还要交纳赋税,因此他们关心的首要事情就是种好地,养好牲口,生产更多的东西。当时的税率很高,税务官对待农民一直非常严厉苛刻,并且常常欺骗农民。他们的行径使农民疏远了帝国政府。7世纪时阿拉伯人征服小亚细亚失败的原因之一就在于当地居民心甘情愿地为自己的国家而战斗。而从1071年起,小亚细亚的农民就与叙利亚和埃及的农民在633年时一样,愿意容忍,甚至在有些场合是欢迎外来入侵者。

    小亚细亚东部的农民与东山再起的土地贵族之间的关系是非常矛盾的。农民的军事才干为大地主带来了好运。尽管在东罗马帝国于961年和965年先后重新征服克里特和塔尔苏斯之前,穆斯林在海陆两路对东罗马领土的侵犯一直没有平息,但在863年就已经发生了有利于东罗马帝国的转折。从这一年起,小亚细亚的治安状况不断改善;结果,土地成了更加具有吸引力的投资。赋税的压力迫使农民出卖土地,尽管他们拥有的土地是对服军役的补偿物,在法律上是不能转让的。由927/928年异乎寻常的严冬引起的饥荒,使得富人能够以低得可笑的价格收购穷人的土地。但是如果农民在资金方面没有受到沉重赋税的巨大压力,这次暂时性的危机尚不致被利用到如此程度。

    利用927/928年危机的丑闻昭然于世后,导致了帝国的农业立法。这次立法活动在1028年最终失败,它成为东罗马帝国政府与小亚细亚东部大地主之间争夺农民”剩余”产品使用权的斗争。东罗马帝国国民生产总值的绝大部分是由农民的生产提供的。因此,中心问题是农民每年的”剩余”是应该以税收的形式为政府所占有还是应该以地租的形式为大地主所占有。对于农民来说,这是在两种灾害之间的选择。作为”自由农”,农民忍受着残酷无情的赋税负担;而作为大地主的佃农,农民则将与帝国税务官打交道的负担交给了地主,但这样做的代价则是让自己听任地主的摆布。

    政府的目标是要让大地主退出他们自927/928年以来不正当地、时常也是非法地占有的土地。这场斗争在巴西尔二世统治时期(976-1025年)达到了高潮。976-979年和987-989年小亚细亚的贵族发起了反对巴西尔二世的起义。巴西尔的报复十分严厉。1003/1004年,他下令由富有的纳税人集体承担对税区征收的税务总额,并免去穷人的纳税责任。1028年在大地主的压力之下,这项法令被巴西尔的弟弟、懒散的同僚和幸存者君士坦丁八世废除。巴西尔在死后的失败与中国的王安石在1085-1086年的失败出于同样的原因。在东罗马帝国就同在中华帝国一样,想成为改革者的人可利用的唯一力量就是既不忠诚又不老实的官员,他们的个人利益就在于破坏他们本应当尽责执行的改革措施。

    巴西尔二世既与自己的政府官员严重失和,又与在小亚细亚东部反叛的贵族臣民剑拔弩张尖锐对立。他试图保护农民免遭这两伙恶棍的欺侮,虽然他的最终目的不是为了农民,而是为了国家的利益。而政府官员与小亚细亚的贵族也势不两立,因为在正常情况下,如果坐在帝国王位上的皇帝不具备巴西尔二世的能力,那这些官员就要以当朝皇帝的名义进行统治。这样一来,贵族的目标不是夺取帝国政府,就是脱离帝国政府。贵族与农民之间则怀着既恨又爱的矛盾情感。他们都一致憎恶帝国的税务官,因为贵族虽然能够逃避自己的纳税义务,但他们认为赋税的压力降低了农民民兵的军事效率,一个贵族的权力取决于他们是否能担任务行省民兵军团的司令。而担任了这一职务也就能担任行省的总督。

    农民对贵族的感情也是复杂的。他们憎恨贵族抢夺土地,但又感激贵族支持他们抗击税务官,并钦佩贵族的军事才干。这种钦佩促使农民不仅在保卫帝国的战争中,而且在推翻帝国的起义中都跟着贵族走。963年至1057年间小亚细亚的5次起义,如果没有农民的支持本来不可能象实际上发生的那样可怕。这些起义演变成了农民反对税务官的叛乱。963年的起义将一位贵族尼斯福鲁斯二世福卡斯推上了帝国王位;1057年的起义为另一位贵族伊萨克一世康尼努斯赢得了同样的奖赏。其他3次起义最后都没有成功,但巴西尔二世在位期间只镇压了其中的2次,而且这2次都得到了外国雇佣军的帮助,一次是979年雇佣了伊比利亚人(即格鲁吉亚人),一次是988-989年雇佣了俄罗斯人。

    用外国的和本地的雇佣军取代农民民兵是1071年帝国崩溃的原因之一。东罗马军队中始终有一批专门靠服兵役谋生的职业雇佣兵,但是在3位前后相继的野心勃勃的征服者尼斯福鲁斯二世福卡斯(963-969年)、约翰?齐米斯西斯(969-976年)和巴西尔二世统治之前,这类耗费钱财的武装人数并不多。当时,人们一致赞成要把农民民兵由兼职的士兵改为专职的农业劳动者和完全的纳税人。巴西尔二世和政府官员一致希望能解除小亚细亚农民的武装,因为他们认识到农民民兵是桀骜不驯的贵族军事力量的源泉。尼斯福鲁斯二世在许多互相矛盾的考虑面前无所适从,他内心希望能保住农民民兵,因为这些人是他的战士和追随他的同乡。但另一方面,他又渴望获得一支职业军队,以从事民兵无法胜任的征服活动洞时,他也不愿限制追随他的贵族兼并土地。1071年,倒霉的皇帝罗曼努斯四世狄奥根尼不得不以雇佣军来抗击塞尔柱人。这些雇佣军士兵的唯一兴趣就是挣钱。

    尼斯福鲁斯二世对于穆斯林劫掠者在克里特和西里西亚的大本营的征服,对于东罗马帝国来说是很有价值的。约翰?齐米斯西斯和巴西尔二世征服保加利亚是重大的军事胜利,这场战争从971年持续到1018年(中间曾短暂休战)。它取得了君士坦丁五世在755-775年东罗马-保加利亚战争中未能取得的成果。但是,971-1018年战争的后果,对征服者和被征服者都是灾难性的。在167年间,保加利亚因此而丧失了政治独立(1018-1185年),东罗马帝国经受了一场它再也无法从中恢复的财政、经济和社会危机。财政危机的表现就是东罗马金币的贬值。自从戴克里先和君士坦丁一世恢复东罗马金币以来,它一直保持着独特的价值。但尼斯福鲁斯一世福卡斯却发行了贬值的金币用于国内流通,而原先的金币在君士坦丁九世统治期间(1042-1055年)已经贬值。

    1040-1046年标志着东罗马历史的转折,其意义与860-865年和926-928年的两次转折同样重要。1040年,东罗马重新占领了锡拉库萨(该城于878年失守),但1041年诺曼底冒险家占领了东罗马在阿普利亚领土上的重要城镇梅尔菲。1045年,东罗马完全吞并了除小公国卡斯之外的整个亚美尼亚。但1046年塞尔柱人开始蹂躏现已不再由亚美尼亚军队保卫的亚美尼亚。

    1071年,诺曼底人占领了巴里,完全征服了东罗马在阿普利亚和卡拉布里亚的领地。同年,塞尔柱将领艾勒卜?艾尔斯兰在曼齐刻尔俘虏了东罗马皇帝罗曼努斯四世狄奥根尼。此后,塞尔柱人占领了7世纪以来一直是东罗马帝国心脏的小亚细亚腹地。

    1071年之后,东罗马帝国在东南欧的领土面积自7世纪以来首次超过了它在亚洲的领土面积。保加利亚人在1041年曾举行反叛,但遭到了镇压。在1071年之后,保加利亚人继续是东罗马帝国的臣民,塞尔维亚人仍然处于东罗马的宗主权之下。但希腊人在欧洲仅仅是一个占统治地位的少数民族,而小亚细亚的所有居民自6世纪以来一直讲希腊语。在东南欧,东罗马政权已岌岌可危。

    因此,从希腊人和东罗马人的观点看,在1071年之前的一个半世纪中,拜占庭的历史是一部失败的历史;但是从斯拉夫人和东正教会的观点看,它又是一部胜利的历史。

    东正教自约867年后在俄罗斯曾是一个少数民族的宗教;但是当基辅大公弗拉基米尔于989年接受洗礼时,东正教便成了俄罗斯国家的国教。弗拉基米尔受洗之后,娶了一位希腊公主即巴西尔二世的妹妹安娜为妻。但是,拜占庭文明既是通过希腊人、也是通过保加利亚人的渠道传播到俄罗斯的。东罗马帝国是拜占庭文明的源泉,但是在向俄罗斯宣传这一文明的过程中,保加利亚人具有语言上的优势。虽然保加利亚和俄罗斯这两个国家分别是由讲突厥语的匈奴人和讲条顿语的瑞典人建立的,但这两个国家大多数居民都讲斯拉夫语。当两国改宗基督教的时候,大多数民族已使用这种语言。当俄罗斯改宗时,它的王公们带回了希腊的艺术家和建筑师,但俄罗斯人在宗教礼仪和文学中却采用了马其顿斯拉夫语方言,所用的书面语言也是西里尔字母表。这种字母表是在保加利亚发明的,它取代了君士坦丁-西里尔发明的较复杂的格拉哥里字母表。以这种语言为媒介,许多原文是以希腊语写成的作品,都被以一种保加利亚文的形式引进到了俄罗斯。到1071年,俄罗斯在政治上已趋于分裂,但在地理上却正在扩张,它的扩张将拜占庭文明推进到了白海沿岸。

    俄罗斯通过希腊和保加利亚的渠道接受东正教,为东正教开辟了新的前景。没有任何证据显示保罗派(显然是基督教的一种异端形式)或鲍格米勒派(一种反基督教的宗教)也同时进入了俄罗斯,而这两个教派在东罗马帝国和保加利亚已构成对东正教的挑战。保罗派起源于亚美尼亚,并在东罗马小亚细亚的东北角取得了一些地盘。君士坦丁五世在约755-757年首先将保罗派教徒(可能是亚美尼亚的保罗派)安置在色雷斯,后来约翰?齐米斯西斯于972年将他们安置在重新征服的地区,这些地区在809年之后曾被保加利亚从东罗马帝国手中夺走。鲍格米勒教是由一位名叫鲍格米勒的东正教神父(他的名字意谓”爱上帝者”或”为上帝怜悯的人”)在927年至954年间创建的。

    鲍格米勒派是保加利亚农民对保加利亚”官方”接受东正教后急剧转变的一种反应。除了受原来保加利亚世俗贵族的压迫之外,农民现在又受到贪婪而又声名狼藉的基督教教士的剥削。鲍格米勒派否定了基督教,但却采纳了基督教修道制度的禁欲主义和独身生活方式,以作为对基督教会背叛其口头理想的一种抗议。最初的鲍格米勒派教徒认为世界是由撒旦创造的。但他们同时还认为撒旦是上帝圣父的长子;圣父本人就是善,他派遣自己的次子耶稣废黜撒旦并拯救人类。

    与色雷斯的保罗派截然不同,鲍格米勒派是更为热情的传教士。在1018年保加利亚并入东罗马帝国之后,鲍格米勒派传播到了东罗马;与此同时,在另一个方向,它在东正教世界与西方基督教世界之间有争议的波斯尼亚河地区也扎下了根,并从这一地区传播到伦巴第、托斯卡纳和朗格多克。在除俄罗斯之外的所有卡尔西顿派基督教国家中,鲍格米勒派都得益于基督教教会”权力机构”的坏名声和不得人心。

    大约在1167年前不久,鲍格米勒派在保加利亚的特拉哥维奇亚地区建立了一个激进教派。这些特拉哥维奇亚的鲍格米勒派教徒认为善和恶的本性是互相等同的和永恒的。这种激进的鲍格米勒派可能是保加利亚农民对进一步剧变的一种反应。1018年东罗马帝国吞并保加利亚及巴尔干半岛内陆其他地区,扩大了鲍格米勒派开展传教工作的地域,而971-1018年东罗马-保加利亚战争和1041年对保加利亚起义的野蛮镇压,则加剧了保加利亚农民的苦难。

    在1071年两场灾难之前的一个半世纪中,东罗马帝国的经济和社会结构正趋于解体。其标志是帝国政府农业立法的失败。但就在同一时期,帝国境内也出现了神秘主义的复兴和视觉艺术的繁荣。与巴西尔相比,巴西尔的同时代人、”新神学家”圣?西米恩(949-1022年)对拜占庭生活更具有长远的影响。视觉艺术的繁荣发展并未受到1071年军事灾难的阻碍。拜占庭艺术家擅长于微型艺术,如镶嵌工艺品、牙雕或金属图徽。其风格都类似令拜占庭时代的希腊人神往的古希腊风格;但11和12世纪的拜占庭视觉艺术并不仅仅是对古希腊原作的单纯模仿。古希腊艺术给拜占庭艺术家带来了创造具有自己独特风格作品的灵感,当这种拜占庭艺术从君士坦丁堡被移植到基辅和诺夫哥罗德时,在这个新天地里,它开始以新颖的方式得到发展。到1071年,俄罗斯已成为拜占庭文化与东正教的希望之乡。

    第六十三章 西方基督教世界(911-1099年)

    在军事上,这个时期西方基督教世界命运的兴衰与同时代东罗马帝国的经历恰恰相反。在查理大帝814年去世之前,西方基督教世界就已受到斯堪的纳维亚海盗的袭击。直到955年奥托一世战胜马扎尔人时,它一直处于防御状态。在896-955年间它所蒙受的异族入侵的灾难达到了顶点。因为,在这60年间,马扎尔骑兵深入到西方基督教世界的内陆地区,这些地区过去很少受到斯堪的纳维亚海盗和穆斯林海盗的威胁。在11世纪下半期,形势变得对西方基督教世界有利了,同时东罗马帝国的形势则开始发生逆转。

    考虑到先前的社会和文化的逐渐变迁–例如,居住在英国”丹麦法施行区”和法国诺曼底的斯堪的纳维亚人接受了西方基督教文明,克吕尼修道院遵守本尼迪克修道规章影响的传播–东西方基督教世界军事上的突然变化使是可以理解的了。斯堪的纳维亚居民的同化,表明西方基督教的生活方式对尚未信仰东正教、伊斯兰教或犹太教的各地蛮族很有吸引力。克吕尼修道院对西方修道制度的改革,说明了西方基督教文明具有吸引力的原因。这次改革正是西方基督教社会在其他各社会领域和在宗教上一样富有活力的象征。

    在君士坦丁-西里尔和美多迪乌斯在另一个斯拉夫邻邦大摩拉维亚传道时期(863-885年),基督教在波希米亚获得了一个立足点。可能两个世纪以来,在波希米亚,斯拉夫的宗教仪式就和最终在那儿盛行的拉丁仪式共存。也和在俄罗斯一样,斯拉夫民族的礼拜仪式也帮助了基督教在波兰的传播。在966年,即撒克逊皇帝奥托一世取得对马扎尔人的决定性胜利11年后,波兰也改信了西方天主教。马扎尔人在970年至1000年之间改信了天主教。丹麦在974年,其他斯堪的纳维亚国家在10和11世纪之交也改变了信仰。这些国家中有些改宗遭到了抵抗,例如挪威、瑞典和匈牙利。但是抵抗没有成功,因为,在这个时期,在西方无主教世界周围仍为异教徒的邻国看来,西方基督教文明已变得无法战胜了。

    在11世纪下半期,西方基督教也取得了对东正教和伊斯兰教世界的优势。在1041年至1071年间,诺曼人冒险家征服了东罗马帝国在阿普里亚和卡拉布里亚的领土。在1060年至1090年间,他们从穆斯林人手中夺去了西西里岛。阿普利亚人是讲意大利语的居住在伦巴底的教皇属民,对他们来说,诺曼人的征服并非是不合适的。但是对卡拉布里亚和西西里信仰东正教的希腊人和西西里岛上的穆斯林人而言,诺曼征服实质上就是异族的压迫。在1085年,西班牙西北部独立的基督徒征服了托莱多。这个城市位于伊比利亚半岛中部,在穆斯林征服以前曾是罗马帝国的属国西哥特王国的首都。在1098年至1099年,西方基督教远征军又从塞尔柱人手中夺取了安条克,而埃泽萨则从法蒂玛人手中夺走了耶路撒冷。

    这次远征–第一次十字军东征,是一次耗资巨大,从后勤上和战略上都很重要的行动。一群西方基督教冒险家达到了尼斯福鲁斯二世福卡斯和约翰、齐米斯西斯从未能达到的目的,尽管他们可以支配东罗马帝国的全部财富。1066年诺曼人对英格三的征服也是具有同样意义的军事行动,但它和西方天主教征服地中海区域不同,它并未能使西方天主教的领土扩大,因为诺曼征服以前的英格兰就已属于天主教的范围。然而,诺曼对英格兰的征服表明,到1066年,西法兰克,即法兰西,已经跃居西方天主教世界边远地区的前列。军事威力只是法国总的优势的一个方面。

    西方基督教历史上的11世纪后半期和希腊文明史上的公元前8世纪后半期相似。在长时间的孕育之后,文明突然繁荣起来。这个时期西方基督教文明在吸取同时代更加先进的文明的成果和复兴它自己的古希腊-罗马文明上表现出旺盛的生命力。

    1088年及其以后,直到公元751年仍处于东罗马统治下的意大利城市波洛尼亚发现了查士丁尼罗马法的全文,随后掀起了研究罗马法的热潮。在10世纪结束前,在波伊提乌翻译的亚里士多德逻辑学著作的拉丁文译本湮没了450年之后,法国学者欧里亚克的吉尔伯特又在西欧对它进行了研究和阐释。在西亚新月沃地发明的水磨,又被安置在西欧阿尔卑斯山区奔腾的溪流上。可能在中国或欧亚大平原上发明的有效的挽马方法,早在10世纪时就被西方基督教世界采用。第一次十字军东征时西方基督徒的军械中出现了弩弓,而中国人早在战国时代(公元前506-前221年)就已经用它来武装自己了。

    在11世纪,西方突然抛弃了由西罗马帝国的蛮族征服者所带入的罗马式军事装备,而采用了5世纪时阿兰人带入高卢的更为有效的撒尔马特人的军械。巴约挂毯上描绘的诺曼骑士,可以在克里米亚和塔曼半岛公元1至2世纪的坟墓里有关撒尔马特骑兵的绘画上找到他们的原型。但是在11世纪西方人对他们模仿来的军械作了一个改革(许多改革中的第一个)。他们用可以提供最大的防护面积,而表面积又最小、重量最轻的鸢形盾代替了又圆又小的撒尔马特盾。这些11世纪的骑士十分清楚他们的价值,以致到11世纪中期,新的骑士们就在老骑士们的诱导下形成了一种世俗的友爱精神。

    西罗马帝国灭亡以后,西方继续用希腊时代的古典格律进行拉丁诗的创作,韵律仍以长短音节的区别为基础。而拉丁语的特点是重者的存在,这种古典的希腊式作诗法就成为令人讨厌的枷锁。基督教赞美诗作者们把拉丁语从这种束缚中解放了出来。他们创造了重读的拉丁诗。在大约11、12世纪之交,当时生动的浪漫文学作品之一的史诗《罗兰之歌》从拉丁语世界破土而出,直到今天它还标志着拉丁语系文学发展的一个新阶段。

    10世纪时西欧政治的特征是查理曼帝国的部分重建,如今是撒克逊而非法兰克作为其中心。东法兰克的撒克逊国王奥托一世于955年战败了马扎尔人,于962年在罗马加冕为皇帝。他把勃艮第和意大利并入他的德意志领土,但是西法兰克(法兰西)仍然保持了独立。与8世纪加洛林王朝取代墨洛温王朝时一样,无法再进行有效统治的加洛林王朝也在10世纪时被能得到更多支持的一个新王朝所取代。11世纪时诺曼人又在比法兰西和德意志王国规模稍小的国家建立了有效的君主政体。诺曼人对新获得的领土的组织管理成就,超过了他们征服英格兰、阿普里亚、西西里和安条克的成就。

    西西里的诺曼王国实行贵族统治,是东罗马帝国和伊斯兰哈里发的属国。它的建立导致了南意大利新兴的城邦国家的毁灭,但是在北意大利,威尼斯在11世纪结束以前,事实上已独立于东罗马帝国。11世纪初期还处于继袭的查理曼帝国地方公侯或是一些地方主教统治之下的伦巴底各城市,也在随后的100年中获得了自治。这些城邦国家的政府实行寡头统治,但他们却是共和制的。伦巴底的两个海上城邦,比萨和热那亚,事实上都是作为独立的力量参加11世纪下半期西方基督教世界对地中海地区发起的进攻的。

    这样,11世纪在西方出现了两种对立的政治结构形式:各城邦国家的共和制和各王国的君主制。到1100年,西方这两种不同的政治结构形式都要比自西罗马帝国衰落和崩溃以来在这个地区出现的任何政治统治更为有效。

    11世纪在北意大利出现的城邦制政治结构形式,同一时期也在佛兰德出现了。这两个地区同时出现了迅速的人口增长,贸易和工业的发展也与之相伴而来。早在992年,巴西尔二世就给予威尼斯商人在东罗马帝国的特权,以支持威尼斯人的航海事业。后来威尼斯人又夺取了希腊人在希腊领海内的贸易。随着一系列”十字军”王国在叙利亚沿海的建立,北意大利的海上城邦也赢得了在那里的特权。这些远在海外的西方基督教的滩头阵地,依靠热那亚、比萨和威尼斯的船队与西欧保持联系。总的来讲,西方是从伊斯兰和东正教世界的损失中受益;但是在西方人中间,主要的受益者还是北意大利人。

    西方基督教世界于910-1099年在宗教上的觉醒可从一系列进行宗教改革的努力中反映出来,它开始于910年在勃艮第的克吕尼新型的本尼狄克特修道院的建立。克吕尼改革运动扩展到整个西方基督教世界,奉行克吕尼式本尼狄克特修道规章的修士,都加入了一个与克吕尼修道院保持联系并服从其领导的组织。但是,到11世纪结束时,克吕尼式宗教仪式不再令人满意,于是在1098年,在勃艮第的锡托建立了另一个新型的修道院。圣本尼狄克特本人和基督教修道制度在埃及的开创者帕科米乌斯一样,致力于使修士的宗教活动和经济活动保持平衡。克吕尼运动精心规定了本尼狄克特修士的宗教生活。但是对佃农来说,遵奉克吕尼宗教仪式的修士和他们的邻居及其社会对应者世俗地主一样,是一个沉重的负担。锡托会修士以成就灵魂上的更加苦修和物质生产上的更加丰富为目的。他们要求归还原野,但是和底比斯原始的帕科米乌斯修士不同,他们也雇佣所谓教士的兄弟们,即这个制度中第二等级的成员作为工人。锡托会修士利用田野生产铁和羊毛。他们在经济上取得了成功,同时也播下了资本主义生产方式的种子。

    在11世纪西方基督教的改革家们进行了3项革新。他们要求世俗僧侣(即不是修士的牧师)过独身生活,并试图禁止教会职务的买卖,禁止由世俗当局进行教职授予仪式。非修士僧侣独身生活运动最终成功了,但它也遇到了激烈的反抗,因为这在西方教会和任何其他地区教会的实践中都是史无前例的。有关授职权的斗争最后于1122年以妥协告终,这也是合理的,因为世俗职务和教会职务通常都是由教会显贵担任。禁止由地方世俗监护人买卖圣职,教皇从中大获其利,他拥有了教职任免的特权,使它们不能被无偿使用。宗教改革的总的影响就是使僧侣不再隶属于世俗贵族而是隶属于教皇的领导,从而使僧侣成为西方基督教社会中一个特权集团。

    在11世纪僧侣独身生活、禁止圣职买卖、禁止世俗当局进行圣职授予的运动,是由教皇制度的改革作为先导。教皇制度是西方基督教世界最重要的制度。11世纪中期的教皇制度改革,出乎人们意料,一时引起了轰动。对于其后果的认识,也是充满了争议,莫衷一是。

    在地理上,自从穆斯林从罗马人手中夺走西北非和利奥三世夺走东伊利里亚以来,罗马城就位于西方基督教世界的东南边缘。这时西方基督教世界的地理中心是勃艮第,那里距离索恩河、塞纳河和摩泽尔河的上游最近,也最靠近莱茵河的西南角。它是阿尔卑斯山外西欧联系的中心,圣科伦班在吕克瑟伊和安娜格里的修道院,后来克吕尼和锡托的新型修道院,以及著名的位于克莱尔沃的锡托会的修女院,都是建立在这个地区。由于966年以后的半个世纪中,西方基督教主要朝东北方和北方两个方向扩展,罗马的地理位置就显得更加遥远。诺曼人对罗马东南方向的征服也只是起了微不足道的抵销作用。从这样一个遥远的角落对西方基督教世界进行宗教管理简直是一个壮举。

    罗马是西方基督教世界主要的共同的圣地、神殿和朝觐地。它的作用正和同时期安第斯世界帕查卡马克圣殿及过去希腊世界德尔斐的阿波罗神庙相类似。但是罗马也是迪卡特斯?罗曼努斯地区贵族们的私有财产。自568年伦巴德人入侵意大利以来,除了阿尔卑斯山外帝国的建立者丕平三世和查理曼短暂的干涉之外,在大多数时间里,迪卡特斯?罗曼努斯不得不自己保护自己。罗马贵族们十分清楚,罗马的神圣和教皇的权威是他们合法的额外收益。然而在西方基督教世界其他地区看来,罗马贵族对罗马城和罗马教皇的利用则是一个耻辱。

    这种把西方基督教着作一个整体的观点的最初的拥护者,是重新恢复帝国称号的德国人。奥托一世、奥托三世和亨利三世都曾废黜过出生于罗马的教皇,任命他们自己的、出生于阿尔卑斯山外的人担任教皇职务。奥托三世任命的最有名的教皇是法国学者欧里亚克的吉尔伯特,即教皇西尔维斯特二世(999-1003年在位);亨利三世任命的最有名的教皇是他的表兄阿尔萨斯人布鲁诺,即教皇利奥九世(1048-1054年在位)。在亨利三世的鼓励下,利奥九世把代表整个西方基督教世界僧侣集团的利益,而不仅是代表迪卡特斯?罗曼努斯贵族利益的著名的僧侣们都吸收进了罗马教廷。但是教廷的这些新主人认为,是他们而不是皇帝,应该对处理有关教皇的事务拥有最后的发言权。领导改革后的教廷对当时的皇帝和罗马地方贵族进行斗争的智囊人物,是后来成为教皇格列高利七世(1073-1086年在位)的希尔德布兰德,他即使不是生于罗马,至少也是被罗马人收养的,但他并未成为迪卡特斯?罗曼努斯贵族们的朋友。1057年以后,教皇不再由罗马贵族或西罗马皇帝任命,而由代表整个西方基督教世界的红衣主教团选举产生。(红衣主教团的这个特权直到1179年才最后确定下来。)教廷在1057年到教皇乌尔班二世去世的1099年之间,成为一个有效的管理机构。但是改革了的罗马教廷也和罗马贵族以及重新恢复名号的西罗马皇帝一样,犯下了一个致命的大错:它的目标是权力,因此,为了追逐这个目标,罗马教廷于1054年与君士坦丁堡主教米恰尔、色路拉里乌斯,于1075年又与西罗马帝国皇帝亨利四世决裂。教皇制度和西方教会的改革总的来说是一个崇高的理想,改革者们本人的愿望也是很真诚的。然而,结局却是悲剧性的。这次改革带来的不是和平,而是战争。

    第六十四章 伊斯兰教世界(1110–1291年)

    在12和13世纪,伊斯兰教不仅生存了下来,而且还在继续扩展。这的确是一个相当可观的成就。因为伊斯兰教世界在政治上已经解体,并面临着外来势力的攻击:起初是在地中海地区受到西方基督教徒的进攻,然后在亚洲又受到蒙古人的进攻。西方基督教徒反击伊斯兰教所取得的唯一永恒的政治成果是在伊比利亚半岛和西西里,在这两个地区,穆斯林居民苟延残喘在基督教的统治之下。而对蒙古人来说,他们则未能征服叙利亚和埃及。在成吉思汗家族3个最西部封地上的统治者及其游牧部落的追随者皈依了伊斯兰教:位于欧亚平原西半部的金帐汗国是在1257年(完全皈依是在1313年),伊朗和伊拉克的伊尔汗国是在1295年,河间地带和塔里木盆地及其附近草原的察合台汗国是在1326年(虽然意见并非完全一致)。在蒙古人征服欧亚平原西半部之前,占据这一地区的基布察克突厥人游牧部落一直是异教徒,他们北部的伏尔加保加利亚人只是一个孤立的穆斯林社团。1237年蒙古人在进入俄罗斯和欧洲的途中劫掠了伏尔加河流域的保加尔城。但结果伊斯兰教不仅没有在这一地区被消灭,反而能够无限地扩大地盘。992年到1202年穆斯林征服北印度、从开伯尔山口扩张到孟加拉的过程,前面已经提及。在西方,穆拉比教团未能重新征服托莱多,该地在1085年落入基督教徒之手。但在相反方向,穆拉比人却于1086年在今天的北尼日利亚为伊斯兰教在西撒哈拉以南赢得了一个立脚点。

    1098-1099年叙利亚海岸西方基督教滩头阵地的建立,以及深入到幼发拉底河以东地区的位于埃泽萨(乌尔法)的据点,对伊斯兰教世界构成了严重的威胁。参加第一次十字军的冒险家为数极少(或许不到2000人);在1099年征服耶路撒冷之后,留下来守卫被征服地区的人更少。但是,他们设法统一了被占领区。在10世纪曾抗击东罗马皇帝尼斯福鲁斯二世(福吉斯)和约翰?齐米斯西斯的特里波利于1109年向法兰克人投降。1116年耶路撒冷的法兰克人国王鲍德温一世占领了亚喀巴和亚喀巴湾中的格里尔岛,从而切断了伊斯兰教世界亚洲和非洲部分的陆路通道。

    伊斯兰教的这种局面被塞尔柱人雇佣的一名突厥军官伊马德?丁?赞吉恢复了过来。赞吉在1127年被任命为摩苏尔的总督。到1144年他已吞并了阿勒颇、霍姆斯和十字军的前哨埃泽萨。1154年赞吉的儿子努尔?丁占领了大马士革。1161-1170年他在与耶路撒冷国王阿马里克争夺对法蒂玛埃及的控制权的斗争中获胜。1171年努尔?丁的库尔德族军官撒拉丁灭掉了法蒂玛王朝,重新确立逊尼派为埃及的官方宗教。努尔?丁的帝国在他1174年去世时已经解体,但撒拉丁在阿拔斯哈里发的恩准下为自己重新征服了这一帝国。1187年他在加利利的海廷击败了法兰克人,重新夺得了耶路撒冷。第三次十字军东征(1189-1192年)未能赶走撒拉丁,尽管腓特烈一世和英法两国国王都参加了这次东征(但腓特烈中途淹死)。萨拉丁的帝国在其创建者于1193年去世后仍然保存了下来,并且在1250年萨拉丁王朝灭亡后依然存在。就在1250年,法兰克人试图第三次重复耶路撒冷国王阿马里克占领埃及的英勇业绩,但仍以失败告终。埃及现已成为伊斯兰教的堡垒和要塞。

    1250年,萨拉丁王朝的一队突厥军事奴隶从王朝手中夺取了萨拉丁的遗产。如今,继承权不是由父亲传位于子嗣,而是由前奴隶的统治者传给了奴隶。在此之前德里也建立了一个具有同样结构的政权。势力达到旁遮普东南的北印度的征服者穆罕默德?古尔任命了一位奴隶总督。1215年当古尔王朝被塞尔柱人的前封地花刺子模的统治者灭掉后,这位总督的第二位奴隶继承者便成了古尔在印度的领土的统治者。

    河间地带和东北部伊朗,在阿拔斯王朝及其伊朗人继承者萨曼王朝的统治下曾一度繁荣,但在11世纪初却饱受了由塞尔柱王朝的武将率领的土库曼人游牧部落的大量涌入之苦。1141年河间地带被一支流浪的契丹人(黑契丹人)占领。他们在1124-1125年被女真人赶出华北和满洲。黑契丹人并不是穆斯林,他们是一支开化的民族。河间地带在他们统治下遭到的损失要小于花刘子模的统治者造成的灾难。后者于1210年将黑契丹人赶出了河间地带。当1220-1221年蒙古统帅成吉思汗蹂躏花刺子模王国时,整个伊斯兰教世界的东北部都遭到了破坏,变成了荒无人烟的地带。

    成吉思汗的入侵使伊拉克免除了花刺子模人的入侵威胁。向花制子模的入侵很可能会同成吉思汗劫掠河间地带产生同样的灾难。东部的一支塞尔柱人在1194年被其前封地花刺子模灭亡,使得阿拔斯哈里发纳绥尔(1180-1225年在位)实际上获得了独立。他利用自己的行动自由重新占据了伊朗的西北部,在道义上支持萨拉丁及其继承者,并把一种流行的运动”法图瓦赫”改造成在阿拔斯庇护下的骑士制度。

    “法图瓦赫”是使伊斯兰教得以经受住蒙古人征服的几项新的伊斯兰教制度之一。另一项制度是苦行僧组成的兄弟会,其中最早的兄弟会是卡迪里教团,它由吉坦的阿布杜?卡迪尔仅立于12世纪。大多数苦行僧兄弟会的创立者都来自伊斯兰教世界的东北部。他们的宗教习俗采取了诱人心醉神迷的形式,无论他们是否是伪装的土库曼的萨满,他们都对改宗伊斯兰教的土库曼人产生了影响。这些土库曼人奉行他们所采用的宗教不仅仅是名义上的。最著名的苦修僧教团的创立者札拉丁?鲁米即是米列维教团的创始人。1207年,正当花剌子模和蒙古人的旋风席卷这一地区之前不久,他生于托卡里斯坦的巴尔赫。他在塞尔柱拉姆苏丹国的首都库尼亚赫度过了一生(1207-1273年)中的大部分时光,并在此用新波斯语写下了他神秘主义的诗歌。另一位波斯诗人设拉子的萨阿迪(约1184-1291年)并没有隐居,而终日云游四方。他成为伊斯兰教世界历史上最动荡的世纪中的百岁老人。

    塞尔柱人的帝国在小亚细亚(拉姆)的分支比幼发拉底河以东的帝国的主体具有更顽强的耐力。塞尔柱人的拉姆王国经受住了第一次十字军的风暴;1176年,它挫败了东罗马帝国为时已晚的重新征服该地的努力;它在1243年战败于蒙古人之后仍幸免于灭亡,尽管它不得不服从蒙古人的宗主权。拉姆在小亚细亚建立了一个定居的说突厥语的社会,它的文明是伊朗式的伊斯兰教文明。拉姆的苏丹设法将塞尔柱人带来的土库曼人游牧部落驱赶到伊斯兰教世界与东罗马帝国的边界,并将13世纪从蒙古逃来的游牧部落也迁移至此。与马木路克的埃及和叙利亚不同,虽然拉姆以后战败于蒙古人,被置于蒙古人的宗主权之下,但在伊斯兰教历史上这一关键时刻,它仍为伊斯兰教提供了一个庇护所。

    因此,当1256年执政的蒙古大汗蒙哥委任其弟旭烈兀汗完成成吉思汗征服伊斯兰教世界的末竟事业时,伊斯兰教得以在1258年伊拉克遭到毁坏、巴格达被攻陷和劫掠、阿拔斯哈里发王朝被灭亡之后生存下来。

    1261年,萨拉丁王朝的奴隶(马木路克)继承者显示出蒙古人并不是战无不胜的:他们在巴勒斯坦歼灭了旭烈兀汗常胜军的先锋卫队。被杀的蒙古将军是一名聂斯脱利派的基督徒,与他在一起的有西里西亚亚美尼亚的基督教国王和安条克的基督教王公。但驻守在阿卡的法兰克人让马木路克的军队通过。马木路克人挡住了伊朗和伊拉克的蒙古人伊尔汗国对叙利亚的3次入侵,并且在1291年占领了西方基督教在叙利亚剩下的最后一个滩头阵地阿卡。

    在伊尔汗国版图内的西方基督教徒和聂斯脱利派的基督教徒都希望西方基督教王国与蒙古帝国的伟大联盟能征服整个伊斯兰教世界和消灭伊斯兰教本身。教皇和法国的使臣到达靠近欧亚平原东端的蒙古大汗的首都哈刺和林。蒙古人虽然向西方基督教徒提出了一些建议,但这一计划并投有什么结果。蒙古帝国西部地区的统治者宁愿选择伊斯兰教而不是基督教。在1295年伊尔汗加赞改宗伊斯兰教之后,他的穆斯林臣民对他的基督教臣民进行了报复。在伊斯兰教世界的亚洲部分,当11世纪土库曼人在塞尔柱人的率领下进行民族大迁移时,基督徒已开始大规模地改宗伊斯兰教。现在这种改完又获得了新的推动力;在新月沃地的人口中曾经占有多数的聂斯脱利派和一性论派基督教徒在人数上正大大减少,最终成为四处散居的游民。

    在伊斯兰教世界的另一端,被西方基督教徒征服地区的穆斯林人口也大大减少,最终竟完全消失。来自西撒哈拉的游牧部族柏柏尔族穆拉比教徒和取代他们的来自阿特拉斯山脉的高原柏柏尔穆瓦希德人,都未能成功地挡住西方基督教徒在伊比利亚半岛的军事进展。1236年科尔多瓦陷落,1248年塞维利亚陷落。此后,穆斯林在伊比利亚半岛的统治仅限于格拉纳达周围的偏僻之地。但是,穆瓦维希人却成功地将西西里的诺曼人从沿海滩头驱逐出去,自12世纪40年代穆拉比人衰落之后,诺曼人一直占据着伊夫里奎亚的滩头阵地。

    不过,从军事上说,在11世纪的大潮之后伊斯兰教文明涌动的西部地区并不是非洲,而是伊比利亚半岛。在这一地区,科尔多瓦倭马亚哈里发王国的解体与巴格达阿拔斯哈里发制度在伊朗的崩溃具有同样的文化推动作用。在伊比利亚半岛,地方宫廷数目的增加,扩大了潜在的文学艺术庇护人的数目。在继承科尔多瓦的哈里发的众多小邦中,诗歌创作极度繁荣。在基督教征服安达卢西亚的前夕,伊比利亚半岛为伊斯兰教贡献了一位哲学家伊本?拉希德(阿威罗伊)(1126-1198年)和一位神秘主义者伊本?阿拉比(1165-1240年)。前者与伊本?西那(阿维森纳)齐名,后者肯定加扎利对神秘主义的论证是逊尼派伊斯兰教正统教义可接受的一部分。伊比利亚半岛对伊斯兰文化的贡献与伊夫里奎亚对西方基督教文化的早期贡献具有相同的命运:尽管这些贡献创造者进行创造活动所在的地区遭到肢解,但他们的业绩仍然保存了下来。

    第六十五章 拜占庭世界(1071-1240年)

    1071年,东罗马皇帝罗曼努斯四世狄奥根尼被塞尔柱军事首领阿勒卜?艾尔斯兰战败并俘虏;1081年小亚细亚贵族亚历克塞一世康危努斯登上东罗马帝国皇帝宝座。在以这2次重大历史事件为起迄点的10年中,东罗马当局将东罗马帝国的心脏小亚细亚送给了突厥人,尽管东罗马人的祖先为抗击阿拉伯人对这一地区的进攻已坚持不懈地战斗了3个世纪。就和同一时期的中国一样,无休无止的内部纷争导致了东罗马帝国在这10年中的急剧没落。到1081年,东罗马帝国的大部分地区都遭到了东方的塞尔柱人、西方的诺曼人和北方的佩切涅格人和古兹人的蹂躏。(古兹人从欧亚太平原西端和多瑙河下游进入东罗马帝国,他们是塞尔柱土库曼人的异教同宗,他们同样受到另一支突厥人游牧民族基布察克人西迁的压力。)

    亚历克塞一世(1081-1181年)是戴克里先和希拉克略的名符其实的继承人。同他们一样,亚历克塞一世从毁灭中拯救了帝国,并且找到了两个能干和精力旺盛的继承人约翰二世(1118-1143年在位)与曼努埃尔一世(1143-1180年在位)。但是这三位皇帝都未能成功地阻止大地主经济和政治势力以牺牲帝国政府利益为代价的增长,也未能击退来自小亚细亚的塞尔柱和达尼什曼德突厥人。游牧的土库曼人行踪不定;基督教的希腊农民疏远了帝国。农民深受游牧部落之害;但是只要拉姆苏丹国的塞尔柱统治者能够成功地保护农民免受追随塞尔柱人的游牧部落的骚扰,农民就会认为突厥人穆斯林苏丹的压迫比东罗马帝国政府的压迫还要轻。

    亚历克塞一世必须要对付第一次十字军。伊斯兰世界对付土库曼人的办法是将他们迁移到东罗马的亚美尼亚和小亚细亚;亚历克塞对付西方十字军骑士的办法,则是将他们引向叙利亚。但亚历克塞和十字军的目标是相反的。亚历克塞宁愿招聘十字军作为雇佣兵把突厥人驱逐出小亚细亚,但十字军的目标却是耶路撒冷,他们并不希望成为东罗马帝国的代理人或仆从。结果,双方都未能实现目的。东罗马帝国从未恢复小亚细亚腹地;十字军虽占领了耶路撒冷,但他们从未能成功地征服叙利亚腹地。因此,在与广阔的伊斯兰内陆地带对峙的陆地防线上,十字军未能在叙利亚建立稳固的滩头阵地。拉姆的塞尔柱人能够在小亚细亚建立一个拥有定居人口的有组织的国家,而赞吉、努尔?丁和撒拉丁则能够包围叙利亚海岸的法兰克人滩头阵地,将法兰克人驱逐出耶路撒冷。

    当帝国在小亚细亚腹地的领土仍然完好无损、帝国政府与大地主争夺对农民的控制权的斗争尚未彻底失败之时,尼斯福鲁斯二世福卡斯和约翰?齐斯米西斯及巴西尔二世的目标就已经超出了帝国的能力之外;但是曼努埃尔二世却推行了一个更为野心勃勃的扩张政策,从而浪费了精力,白白消耗了东罗马帝国已经萎缩的资源。虽然曼努埃尔不可能保持帝国对塞尔维亚的支配权,但他仍然与匈牙利进行战争。他干预腓特烈一世巴尔巴罗萨与北意大利城邦之间的战争,企图收复帝国在阿普利亚的失地。曼努埃尔于1180年死后,帝国的崩溃在一场超级灾难中达到顶峰。

    曼努埃尔与西方基督教徒的关系一直很友好,但他的大多数同胞并未能分享他的亲法兰克人的情感。东罗马政府在先前2个世纪中为谋求意大利沿海城邦海军援助而出让的经济特权,使得意大利人能够从希腊人那里赢得东罗马帝国的国内贸易。1182年君士坦丁堡发生了屠杀西方商人的事件。西西里的诺曼人进行了报复,占领和劫掠了塞萨洛尼基。1180年塞尔维亚摆脱了东罗马帝国的宗主权。自1018年以来已成为东罗马帝国臣民的保加利亚人于1185年进行反叛,重新建立了独立国家(这次是与弗拉克人合作)。与保加利亚人1041年的反叛不同,1185年的反叛未能镇压下去。1185年塞浦路斯脱离东罗马,但1191年又被西方十字军骑士、英格兰的理查一世占领。1192年理查一世又将塞浦路斯作为一种慰劳品交给了耶路撒冷的法兰克国王吕济尼昂家族的盖伊,后者于1187年赶走了撒拉丁,而第三次十字军又未能让他重新获得任命。

    1203-1204年,一场重大灾难震撼了东罗马帝国。君士坦丁堡两次受到威尼斯人和法国”十字军”联合远征军的进攻,第一次是以一个要求继承东罗马皇位的人的名义,第二次则是袭击者自己的主张。这是君士坦丁堡自330年建城以来首次在敌人的进攻面前陷落。该城遭到了野蛮的抢劫,胜利者们彼此之间订立了瓜分帝国的协议。但他们最终无力实行其全部计划。威尼斯取得了最大的成功,在瓜分战利品时她挑选克里特岛和其他一些海岛以及分布在大陆沿海战略要地的滩头堡垒。不复存在的东罗马帝国的继承者、希腊人诸王国,在西北小亚细亚、小亚细亚北部海岸的东端、特拉布松周围以及伊庇鲁斯建立了独立国家。君士坦丁堡被分给了一位法兰西的十字军,他获得了皇帝的头衔。

    继之而来的事情表明,拥有君士坦丁堡现已成为一种负担而不是财富。从330年到1204年,君士坦丁堡在军事上一直是东罗马帝国坚不可摧的堡垒,但自从633-642年失去了叙利亚、巴勒斯坦和埃及之后,它也成为一个社会和经济负担。从那时起,君士坦丁堡作为首都对于帝国已经缩小的规模来说就显得太大了;这一负担在1071年丢失了小亚细亚腹地之后进一步加重。1204年由法兰西皇帝夺取的一小块帝国领土井不足以维持君士坦丁堡;对于从1204年至1261年居住在此的法兰西皇帝们来说,君士坦丁堡自始至终犹如荆棘丛生之地。

    与此相反,继承帝国的本地希腊人国家却比帝国自巴西尔二世死亡之后的任何时期都显示出更大的活力。西北小亚细亚和伊庇鲁斯的希腊人国家互相之间以及与法兰克人都处在竞争状态,在反对所有希腊人和法兰克人对手的斗争中,亚洲国家成了胜利者。(地处偏僻的希腊特拉布松帝国没有卷入这场斗争。)西北小亚细亚的希腊人国家,自称是东罗马帝国的合法继承者。它的统治者自称为帝国皇帝,其合法性得到君士坦丁堡东正教主教的承认;这位主教临时驻节在流亡帝国的首都尼西亚。尼西亚的东罗马帝国比3位康尼努斯家族的皇帝统治君士坦丁堡时期(1091-1180年)的东罗马帝国,更为成功地抗击了塞尔柱突厥人的拉姆苏丹国。尼西亚帝国向东部和南部扩展和推进边疆,直接损害着拉姆的利益。它在经济上很繁荣,在文学和视觉艺术领域显示出特色。1235年尼西亚皇帝约翰三世瓦塔特泽斯夺取了位于达达尼尔海峡欧洲沿岸威尼斯人的滩头堡垒加利波利,从而在欧洲获得了一个立脚点。1234年他与保加利亚结盟;1235年尼西亚的希腊人和保加利亚人共同从陆路围攻君士坦丁堡。从1235年后,法兰西人的君士坦丁堡帝国已被尼西亚的希腊人帝国包围。法兰西人的君士坦丁堡与西方基督教世界保留下来的唯一交通线就是海路,但援救它的法兰克人必须要经受达达尼尔海峡两岸的夹击(海峡两岸现都落入尼西亚的希腊人之手)。

    到1237年,东南欧的东正教国家都处于上升阶段。复兴的保加利亚帝国和尼西亚的希腊人帝国都显示出能超出法兰西人统治的君士坦丁堡帝国的实力。在教会事务方面,先前处于东正教世界边缘地区的塞尔维亚一直是东正教会与罗马教会之间有争议的地区,它现在也明确地选择了东正教。尼西亚希腊人的帝国政府非常明智地认可了保加利亚主教地位的恢复,并为塞尔维亚设立了一个自治的大主教职位。但是东南欧的东正教国家与高加索的东正教国家在领土范围和人口规模两方面都已逊色于俄罗斯,甚至在建筑、视觉艺术和文学等领域,希腊人、保加利亚人和格鲁吉亚人都受到了俄罗斯人的挑战。

    在俄罗斯改宗基督教之后最初的50年中,教会的历史是模糊不清的,对历史资料的解释也存在着争议;但有一点很清楚:从1039年起俄罗斯已成为君士坦丁堡主教的教区。获得俄罗斯之后,君士坦丁堡主教的管辖区大大地扩大了,因为俄罗斯地域广阔,而且还在向北部和东部扩张。1169年俄罗斯宗主国的王公所在地由第聂伯河畔的基辅,迁到了伏尔加河支流克利亚济马河畔的弗拉基米尔。

    格鲁吉亚人、阿布哈兹人和阿兰人都是东方正教会的基督徒,但是当同属东正教的希腊人在11世纪上半叶征服格鲁吉亚人的一性论派亚美尼亚邻国时,他们仍然维持了独立;而且,格鲁吉亚在1071年也没有被卷入东罗马帝国的灾难。她在塞尔柱人的进攻面前幸免于灭亡,并在12世纪时与继承短命的塞尔柱帝国的穆斯林国家瓜分了亚美尼亚。在女王塔玛统治期间(1184-1212年),由格鲁吉亚直接和间接统治的领土从黑海沿岸扩展到高加索的里海沿岸。

    蒙古人从欧亚大草原的突然出现,以不同的方式影响了拜占庭世界各个部分的命运。格鲁吉亚是第一个遭遇不幸的东正教国家。1225年它遭到四处闯荡的花刺子模王公札兰丁的劫掠,1236年又遭到蒙古人的破坏。蒙古人强迫格鲁吉亚接受自己的宗主权。1237年和1240年蒙古人在经伏尔加河畔的保加尔到欧洲的途中蹂躏了俄罗斯(1240年基辅遭到劫掠)。蒙古人的宗主权强加给了最东边的各俄罗斯公国,但西南部的加利西亚(哈利克兹)、西北部的普斯科夫和诺夫哥罗德仍然保持着独立;而且诺夫哥罗德开始包围蒙古帝国及其俄罗斯附属国,在它们的北面向东扩展到了乌拉尔山脉以外。尼西亚的希腊人帝国则得益于1243年蒙古人打败和征服塞尔柱拉姆苏丹国。

    1180-1204年东罗马帝国的灾难和1237-1240年俄罗斯的灾难既没有阻碍拜占庭文明的发展,也没有挡住它的传播。教堂建筑使塞尔维亚人被错定于东正教世界,这些教堂都装饰有拜占庭风格的壁画。12世纪弗拉基米尔和苏兹达尔的教堂建筑将希腊、亚美尼亚和格鲁吉亚的特色都结合在了一起。尼斯塔斯?科尼亚提斯给我们留下了记载1204年君士坦丁堡陷落的生动感人的第一手资料,他是留下从959年到1204年东罗马历史连续记录的一系列历史学家中的最后一位。哲学家迈克尔?普塞洛斯记录了976-1077年的历史,在记录事实和日期方面,他比自己的前辈利奥?蒂阿科努斯更马虎草率,但对人物的分析却很敏锐。这些拜占庭的希腊人写作所采用的语言是学究气的古雅典共同语,但是希腊语并不是这一时期东正教世界历史著述的唯一语言。俄罗斯最早的编年史是12世纪早期用马其顿的斯拉夫语言创作的,当时它是一种仍在使用的语言。

    第六十六章 西方基督教世界(1099-1321年)

    11世纪后半叶,西方基督教文化空前繁荣。到了12、13世纪,西方基督教文化在社会的各个领域都显示出越来越重要的作用。然而,在14世纪的前25年中,西方基督教文化开始走向衰落。在黑死病于1348年横扫欧洲大陆之前,11世纪以来的人口激增趋势便已减弱。1261年希腊人收复君士坦丁堡,1291年穆斯林收复阿卡,宣告了西方基督教自第一次十字军东征以来对黎凡特地区入侵的失败。1303年法兰西国王派人刺杀了教皇卜尼法斯八世,从此结束了自格列高利七世以来教皇对西方基督教世界的霸权地位。

    在许多著作中,对12、13世纪西方基督教文化的繁荣,从正反两方面均有所反映:最具名昭著的事件便是1204年十字军占领并洗劫了东正教中心君士坦丁堡;于1208-1229年又洗劫了清洁派的朗格多克;对波罗的海南岸斯拉夫领土的霸占在12世纪达到顶峰;教皇顽固地对腓特烈二世及其继承人进行战争。这2个世纪的西方基督教文化历史不仅反映在许多著作中,而且还通过4位伟人的经历反映出来:阿西西的圣徒方济各?贝尔纳多尼(1182-1226年),哲学家圣托马斯?阿奎那(1225-1274年),佛罗伦萨的诗人但丁?阿里盖里(1265-1321年)和来自佛罗伦萨的乡村画家乔托?邦多尼(1267-1337年)。这4位伟人都是意大利人。但西方基督教雕刻艺术却在13世纪的法国达于巅峰,这就是被称作哥特式的中世纪建筑。这种建筑式样实际是从小亚细亚塞尔柱突厥人那里传入的。今天,人们有幸仍能在阿尔卑斯山两侧的欧洲所有国家看到的遗址,可以说明这一点。这些遗址比较完整地体现了中世纪西方基督教社会的理想。

    现存的许多优秀的哥特式建筑,是仿照塞尔柱旅行商队的客栈式样而建,这些建筑多在阿尔卑斯山北麓。这并不奇怪,因为在意大利,尽管它在6世纪时也蒙受了不少苦难,但它并不象西方基督教世界其他地区那样彻底地与希腊罗马文化决裂。因此,在意大利人们仍乐于建造罗马风格的建筑,并不轻易地抛弃它。而且在拉韦纳和威尼斯这样的东罗马帝国的边远地区,也有许多教堂是由东罗马建筑师按照拜占庭风格建立的。例如,现存的完工于1071年的圣马可大教堂,便是根据以前君士坦丁堡的圣徒教堂而建。然而,令人惊诧的是,与其紧邻的总督府却是哥特式的,更为引人注目的是乔托竟然摆脱了拜占庭传统的影响,成为现代西方自然主义绘画风格之父。

    但丁采用当时意大利民谣形式创作了《神曲》,一改过去以拉丁语六音步诗律创作的习惯,对此后西方世界的诗人采用民族语言写作诗歌产生了很大影响。但丁在使用民族语言过程中,意识到自己是受了阿尔卑斯山外诗人的影响。对一名意大利人来说,要摆脱拉丁语及其文学的束缚,比把奥克语和奥依语作为母语的诗人,要困难得多,更不用说与把罗曼语和条顿语作为母语的诗人相比了。中世纪的意大利人仍拘泥于祖先的拉丁语中。他们写作时一方面离不开严格的拉丁语格律,另一方面在表现手法上又尝试着以民族语言来表现,以此求得平衡。12、13世纪一些优美的拉丁诗歌就是采用这种风格创作出来的。那些摆脱了希腊-罗马语言影响的诗人,与同时代的希腊人相比,取得的成就更高。他们的大胆尝试,使他们的创造性获得了解放。到但丁时代,意大利已成为西方文明的启蒙地区。西方基督教世界的其他地区用了2个世纪的时间才达到意大利1300年所达到的文化水平。

    在1300年前的2个世纪中,整个西方基督教世界的经济迅速发展。人口进一步增长,生产力水平提高,技术上也更加进步。

    这一时期西方人口的增加可由下列事实加以证明:耕种的土地明显增多;城镇的数目增加,规模扩大;向被征服地区殖民。在有关城墙的历史的记录中,可以了解这一时期城镇面积的扩大。有许多这样的情况:1100年修建的城墙,被1250-1350年间修建的新的城墙所取代,以包围更大的城市面积。意大利北部和佛兰德仍是城镇密集的地区。

    在毛纺织生产上,佛兰德在12世纪一直处于领先地位,直到13世纪末,佛罗伦萨才赶了上来。佛兰德的发展,得益于原材料供应的便利:本地原料丰富,又有来自低地国家和英格兰的大量原料供应。意大利城镇,尤其是沿海城市的发展,得益于西方基督教世界与黎凡特地区之间的海上贸易。12、13世纪期间,意大利商人和佛兰德商人每年聚会于香摈的4个定期集市,这里成了一个方便的中转地。

    人口的增加,城镇数目的增多,及对波罗的海沿岸地区的殖民,改变了农村的社会生活结构。9和10世纪,西方社会的动荡不安使得大庄园迅速蔓延,小土地所有者急骤减少。人口的下降又使庄园主将庄园的部分耕地出租给佃农耕作,佃农每周必须抽出几天在庄园主的领地上劳动,产品也归庄园主所有。在劳动力短缺的情况下,这种方法能更好地保证庄园内土地的利用,但这种制度经济效益不高,社会效果也不佳。与雇佣劳动力相比,农奴或奴隶只做极少部分的工作。因此人口增多时,庄园主便以货币地租代替劳役地租,农奴也感到货币地租比劳役地租剥削量为经,而更乐于接受之。如果庄园主不付给农奴应得的报酬,农奴便逃往城里到工厂做工,或是逃向易北河东部的殖民区(这里开始是一块自由民的乐土,然而最终却成为欧洲农奴制度的堡垒)。

    波罗的海地区乡村和城市都已殖民化。面向波罗的海的第一座德国城市是吕贝克,建于1143年;但泽建于1200年;里加建于1201年;雷瓦尔建于1219年。波罗的海成为德意志的一个湖,斯堪的纳维亚和俄国成为其贸易的后方。曾使基督教世界丧胆的斯堪的纳维亚人,到13世纪已屈服于日耳曼的沿海城邦,就象希腊人、穆斯林屈服于意大利城邦那样。波罗的海在某种意义上已成为小地中海。在1250-1350年的100年间,佛兰德各城不再从德意志、法兰西进口谷物,而改从波罗的海进口。

    技术的进步抵销了人口增长带来的压力。尽管可耕地的扩大侵占了大片的牧场,造成肥料的减少,但是农作物的轮作制度使三区轮作制代替了二区轮作制,减少了土地休耕的比率。此外,把握耕耘与播种的时机也更多了。使用挽马的深耕法到1200年已趋于完善。12至13世纪,西方基督教世界的水车数目有所增加,而风车的安装则开始于1162-1180年间。

    与风能、水能、人力不同的是,矿产是非替代性物品。自从公元前四千纪冶炼术发明以来,一种又一种的矿产相继被采光用尽。公元10世纪,德意志和波希米亚成为西方基督教世界重要的矿产来源。但到了14世纪,表层和浅层矿藏已开采殆尽,要采掘深层的矿藏,必须使用更先进、也更为昂贵的采掘技术。

    教皇和国王争夺权力的斗争一直是12和13世纪西方基督教世界政治生活的主旋律。斗争的第一个回合以在授职权问题上的妥协于1122年宣告结束,自此权力政治披上了伦理道德的外衣。而在第二个回合中,教皇与复苏的西罗马帝国争夺对意大利(已成为西方基督教世界的重要地区)的控制权,权力斗争的性质赤裸裸地表现出来。在这些斗争中,获利的是意大利北部城邦和法兰西,帝国和教皇都是失败者。

    1158-1183年间,霍亨斯陶芬王朝的皇帝腓特烈一世企图把专制帝制强加给伦巴底诸城邦,遭到了失败。教皇支持城邦为争取自治而反对帝国的斗争。因为教皇在对抗阿尔卑斯山外的帝国权力时,这些城邦能起到屏障的作用。为此,教皇不仅容忍了伦巴底和托斯卡纳地区诸城邦的自治,而且容忍了丕平三世和查理曼赐给教皇的所有意大利领土上的城邦的自治。在12和13世纪,教皇的最大野心是统治整个基督教世界。这个野心勃勃的目标高于对任何某一地区的统治。因此,教皇在这个时期不仅允许罗马涅(即前东罗马帝国总督在拉韦纳周围的领土)地区各城邦的自治,而且允许包括罗马本身在内的迪卡特斯?罗曼努斯的城邦自治。教室和意大利的一些城邦结成经济和政治同盟。1250-1300年间,佛罗伦萨的银行代表罗马教廷为教皇收税,从中赚取利润。

    教皇的另一同盟者是法兰西。法兰西的目的是要削弱神圣罗马帝国的权力。在皇帝与教皇的斗争中,从乌尔班二世(1088-1099年在位)到英诺森四世(1243-1254年在位),历代教皇都把法兰西作为避难所。1194年,腓特烈一世的儿子及继承人亨利六世,征服伦巴底诸城邦,并自称为两西西里王国的统治者,补偿了其父失败带来的损失。自此,霍亨斯陶芬王朝使教皇和意大利北部城邦陷入西西里和德意志帝国的两面夹击之中。亨利六世的儿子及继承者腓特烈二世(1230-1246年在位)是一个天才,他精通两西西里王国具有世界主义的希腊和阿拉伯文化,并同样精通属于西方文化的意大利诗歌。但是他所引起的人们的反抗及他的早死,使他的才干末能充分发挥出来。

    教皇发动了对霍亨斯陶芬家族的战争,以反对腓特烈对整个意大利的觊觎。在这场斗争中,乌尔班四世(1261-1264年在位)和克雷芒四世(1265-1268年在位)最终取得了胜利。然而,他们的胜利是在说服一位法兰西王公-路易九世(1214-1270年在位)的兄弟,安茹的查理,让他出兵征服腓特烈二世的继承者们统治的两西西里王国的条件下才取得的。在征服了一个世俗权力的同时,教皇又将自己置于了另一个世俗权力的支配之下。1303年,法兰西王权结束了教皇对西方基督教世界的统治,就象当初教皇借助法兰西的帮助击败了神圣罗马帝国的势力一样。

    就神圣罗马帝国来说,征服意大利战争的接二连三的失败,使它也失去了对本土德意志的有效控制。在10世纪和11世纪,东法兰克(德意志)国王要比西法兰克(法兰西)国王对其臣民实行的统治更为有效。到1303年,法兰西国王腓力四世(1285-1314年在位)已赢得王国内僧俗两界显要人士的支持,公然反对教皇卜尼法斯八世称霸世俗的西方基督教世界的狂言。而此时德意志帝国的贵族们已成为事实上的统治者,他们敢于向皇帝挑战,而又不冒任何风险。

    法兰西国王权力加强的同时,德意志君主的权力却相对削弱,这是由两地封建制度的历史差异造成的。同农奴制一样,封建制度也是一种社会关系,其土地使用权的转让是通过个人劳役实现的(封建义务是服军役,而农奴制义务则是经济性质的)。转让土地时,封建主与他的臣属订立契约,这种契约实际减少的是封建主使用土地的特权,而不是封建主对土地的所有权。而当封建领地成为世袭租佃时,封建主对土地的所有权便彻底丧失。世袭租佃早在9世纪时便在西法兰克出现,但从10世纪末以来,法兰西国王开始逐渐加强其权力。在东法兰克,世袭封建领地出现的时间较晚,却在13世纪加快了步伐。原因就在于德意志国王顽固地梦想统治意大利王国的失败。他这种根本力所不及的控制阿尔卑斯山北麓的梦想,其结果是放松了对本土的控制。帝国皇帝的称号成为一项沉重的额外负担,而法兰西国王却并无这个负担。

    在国王和教皇的斗争中,斗争的双方都丧失了一部分权力:国王失去的是政治权力,教皇失去的是道义上的权力。但是正是道义上的损失引起了政治权力的损失。因为自从格列高利七世起,教室一直寻求通过建立道德权威来间接行使政治权力。这种道德权威的丧失伴随于教皇企图称霸整个西方基督教世界的过程,在教皇对帝国的战争中尤为明显。

    为了与帝国作战,教皇需要金钱,为此发明了令人痛恨的增加收入的方法。它在整个西方基督教世界建立起一套行之有效的向僧侣征税的行政制度。这种征税十分有利可图,一些世俗封建主也借机从中渔利,而意大利银行作为教皇的财政代理人更是发了大财。另一税收来源是罗马教廷作为最终上诉法庭(更确切地说,在属于他们本省的由教会律师负责的诉讼案中是作为初审法庭)收取的费用。查士丁尼一世民法典的发现,因基督教法规的编纂而并未显示其重要性。当腓特烈一世宣称他作为查士丁尼的继承人应该享有的权力时,他遭到了亚历山大三世(1159-1181年在位)和卢西乌斯三世(1181-1185年在位)两位教皇的反对。这两位教室都是以教会律师开始其教士生涯的。

    教皇对权力的贪婪,并为达此目的而使用财政、法律手段,使西方基督教的高尚人士感到震惊。位于克莱尔沃的锡托派修女院院长圣贝尔纳(1090-1153年)反对教皇的法规主义和贪婪。圣贝尔纳也不是毫无瑕疵,他性情暴躁,感情冲动。他尤其不能容忍任何宗教上的异端,不论是哲学家阿伯拉尔煽动性的言论、朗格多克清洁派的禁欲主义,还是异教的波罗的海沿岸斯拉夫人(他以雄辩的口才号召组织十字军征服这些异教徒)和穆斯林(他鼓动对黎凡特进行第二次十字军东征)。他自己也卷入了反对教皇的各对立派别的争吵中。他并未给自己谋求更高的教职,显而易见他是献身于宗教的。他出身高贵,然而他放弃了尘世的幸福,而成为严格的锡托会的一名修道士。正是为了主义他牺牲了个人利益,因此他成为同时代西方基督教世界中最受尊重、最有影响的人物。他对教皇背离其圣职原则的批评是权威的,也是最具诅咒性的。

    圣贝尔纳是狂热的正统派(西方基督教的正统观念,而非东正教的)。12和13世纪中其他谴责教皇的人,令人震惊地接受了基督教的异端教派或是反基督教的保加利亚宗教鲍格米勒教(在西方以清洁派或巴塔里亚会而出名)。这些反对教皇罪恶运动的领导人在甘愿忍受贫困上是一致的。他们这样做是出于自愿,他们生来并不贫困。和圣贝尔纳一样,他们牺牲个人利益而选择了贫困,以自己的楷模来反对教皇的世俗化,反对基督教法规的世俗化。(11世纪西方宗教改革家们为西方基督教僧侣的独身生活制订了准则,但并未强迫世俗教职人员放弃对财产的占有,也来强迫修道院放弃集体占有的财产。)

    阿西西的圣方济各是一个成功的布匹批发商的儿子,他公然蔑视其父,抛弃享乐,而与清贫为伴。他和加尔都西会修士或清洁派的”选民”一样进行苦修。他过着福音书上所描写的基督般的生活。当他的第一位信徒,金塔瓦里的贝尔纳,请求方济各允许他过同样的清苦生活时,方济各十分高兴,因为他认为基督似的生活才是人类应该过的生活。与此,他也接受了谦卑的思想。他从来没有要批评教皇的念头,那怕是隐晦地;也不愿发起什么反教皇的运动;更不想担任什么新兴教派的领袖。象基督那样,才是他献身的目标。然而,即使如此,他也未能免于和清洁派与韦尔多派同样的命运。因为他乐于清贫事实上就是对教皇的谴责,虽非故意,却更具破坏性。教皇英诺森三世(1198-1216年在位)和他的孙子、他的第二个继承人红衣主教乌戈利诺(即后来的教皇格列高利九世,1227-1241年在位)认为方济各对基督的真诚模仿,使罗马教廷陷入困境。他们非常清楚地知道来自整个西方基督教世界的越来越高涨的对罗马教廷的指责。他们决定支持方济各,而不是以他为敌。这是一个明智之举,尽管其动机并不纯正。

    圣方济各如果在和罗马教廷的第一次冲突中殉身,那他就会免于以后的精神煎熬,而不是活下来蒙受耻辱,目睹由红衣主教乌戈利诺和他的同伙埃利亚经手而成的方济各会法典与他本人提倡的基督式的生活背道而驰。结果方济各陷入精神和肉体上的极大痛苦之中,就象他当时选择清贫和谦卑时一样。如果乌戈利诺和埃利亚狡猾的手段末能使方济各陷入痛苦的境地,那么方济各精神就不会比方济各本人更长久。在他死后700多年的今天,这种精神仍然流传,尽管受到他的制度的保护者小兄弟会规章的限制,但并未失去其价值。

    制度化赢得了持久性。这是人类社会的一个耻辱,但是对后代来讲,某些具有较高精神价值的东西的制度化,比那些稍纵即逝的精神财富的丧失对人类的危害要小些。圣方济各没有认识到这个严酷的事实,但是乌戈利诺和埃利亚意识到了。他们以此作为行动的规范,他们挽救了方济各精神中的一些东西,也给自己带来了耻辱。

    圣方济各的同时代人,”布道兄弟会”的创始人卡斯提人圣多明我(多明我?德?古斯曼,1170-1221年)走了一条简便的道路。他同样安于清贫。两位圣徒都反对贪婪,但圣多明我的精神比圣方济各的精神易于制度化。西方基督教世界新兴的城市,因方济各和多明我会的教堂、图书馆和讲演厅的广泛分布,而在精神上受益匪浅。尽管如此,在圣方济各看来,房屋和书籍是令人讨厌的东西,他认为这些东西中存有对基督式生活的危险障碍。埃利亚从未失去圣方济各对他的信任。如果圣方济各能预见到埃利亚之所以如此热衷捐款是为了借他的名义建造教堂的话,他一定会万分痛苦。这些建筑和乔托绘画的优美都无法消除他的痛苦,因为这些东西违背他早已献身的清苦和谦卑。

    埃利亚和乌戈利诺知道应为方济各修道会做些什么。圣方济各早就预言一个西方基督教徒应该做什么。在圣方济各以前的那个时代,一个卡拉布里亚人,菲奥雷家族的乔凡尼?代?乔阿基尼(约阿基姆,1145-1202年,他出身贵族,和圣贝尔纳一样,后来又成为锡托会修士)预言动乱高潮过后,1260年将要开创天国降临人间的第三阶段,圣灵时代将继圣子时代而出现,如同基督降生时圣子时代在圣父时代之后出现一般。1260年确是非常重要的一年。1260年,教皇如果没有法兰西的军事帮助,很明显就不会从腓特烈二世的继承人手中夺取两西西里王国。然而,圣灵时代益没有降临,如果圣方济各精神能够盛行的话,这个时代或许才会来到。菲奥雷的约阿基姆在他活着时,作为圣方济各的后来者,接触教皇英诺森三世非常方便。他的一些著作在他死后于1254年出版了新版本,这使他遭受了抨击,因为这些著作曾使罗马教廷惊恐万分。1323年教皇宣布基督和其使徒没有财产的说法是不确切的。这样,方济各会的神圣使徒们,因支持圣方济各效仿基督的观点,都未能幸免圣方济各和菲奥雷的约阿基姆所没有蒙受的一死的恶运。

    城市生活和富裕使人类远离了大地母亲。在圣方济各时代,这两种弊病都开始困挠西方基督教世界。后世应感激圣方济各,不仅因为他提倡清贫的生活,更因为他那种对所有生命的内在的同情心。从流传甚广的传说故事中,我们了解到圣方济各与鸟类和动物建立了一种良好的信任关系,虽然传说并非权威性的对历史事实的记录。这种人与动物之间的相互信任关系,在印度以西的欧洲大陆是很难见到的。圣方济各的赞美诗如同一个日本神道教徒一般赞美上帝赐与人类大地母亲,赐与人类动物和植物。圣方济各本人的赞美诗原文至此突然中断了。赞美上帝赐予人类不事报复的性格和肉体灭绝的诗节,都是后人附会的思想。赞美上帝赐予人类阳光的诗篇可能是阿肯那顿信徒的杰作,赞美上帝赐予人类各种元素的诗篇可能出自琐罗亚斯德教徒之手。那些来自一神教的犹太人之口的传说则显得尤为珍贵。

    第六十七章 东亚(1126-1281年)

    宋王朝1126年的军事崩溃始终是可耻的。女真侵略者攻占了位于黄河流域的整个中国文明的发源地,包括宋朝的首都开封。宋帝国之所以避免了被全部征服,并不是由于它的军队勇猛,而是由于女真骑兵遇到了天然障碍,即包裹着淮河和长江下游河道的迷宫式水网,以及多山的穷乡僻壤。按照官方的说法,流亡的宋王朝的新首都临安(杭州)只是暂时的避难所,但宋朝再也未能成功地收复北方。

    尽管如此,宋王朝在南方存在了153年(1127-1279年);临安成了人类文明中心最大的、给人印象最深和最吸引人的城市之一。在江山破碎的宋帝国境内,人口、农业生产力、城市化、贸易(国际和国内)和财政设施都有了显著增长。纸币最初由私人银行发行,然后由宋朝中央政府发行。宋代中国艺术和工艺的发展已在第59章中提及。在南宋帝国存在的一个半世纪里,它比领土范围和军事力量达到高峰时的汉帝国或唐帝国的人口更为众多,也更为繁荣昌盛。南宋时期中国文明的一个严重倒退,是妇女地位的下降。缠足习俗的引进是一件令人不快的事情。

    1126年的灾祸也没有阻止新儒家哲学的发展。为了显示儒家学说是大乘佛教的合法的取代者,新儒家们不得不步入了与自己志趣不合的形而上学领域。在这一领域里,程氏兄弟相互分手了。就程颐而言,人性是”终极实在”的表现之一;就程颢而言,人性与”终极实在”是相互同一的。程颐的形而上学为朱熹(1130-1200年)有系统地完成,而程颢的立场却为朱熹同时代的陆九渊(陆象山,1139-1193年)接受。朱熹是一位卓越的擅长系统化的学者,就象托马斯?阿奎那一样。也许在一定程度上由于这一原因,尽管程颢和陆九渊学派的优秀代表人物层出不穷,但对于文职官僚候补者和他们的主考官来说,朱熹的体系却成了儒家学说的官方定本。然而,与新儒家的整体共识相比,他们在形而上学上的分歧是不甚重要的。他们全都对道教和佛教怀有敌意(尽管他们被迫窃取了大乘佛教的一些发明),而且他们也都感到,道德比形而上学更重要。他们全都谴责佛教圣贤脱离尘世社会生活,认为这是反社会的。例如,程颢和朱熹,不仅获得了各自的学衔,而且还耗费他们生命的一部分时间作一名现职文官。如果中国的新儒家能够意识到现代西方的争论,他们肯定会反对圣?方济各和菲奥雷的约阿基姆?菲奥里的观点,而赞同卡迪纳尔?乌戈里诺和伊利亚的政策。

    在日本,935-1185年间发生了权力和财富从京都的异国情调皇室向地方贵族的逐渐转移,以及随之而来的国内和平转变为国内混乱。首都的社会秩序越来越经常而野蛮地被附近佛教寺院的武装力量的入侵所扰乱。宗室出身的两大地方豪族平氏与源氏之间的内战,于1185年以源赖朝的胜利和他以镰仓为基地对全日本实行实际统治的确立而告结束。镰仓位于关东(主要岛屿本州中一块最大的稀见平原)西南端以外。皇室和它的深奥精致的文化被允许在京都存在,但是京都政府的实际权力却被剥夺了。事实上,至少早在858年,京都的皇室就已为属于藤原家族的摄政者所控制。1199年源赖朝死后,镰仓幂府将军的摄政权于1203年为北条家族获得。北条氏一直掌权到1333年,并把源赖朝所创立的政体有效地维持到1284年。

    从1185年到1284年,日本被有效地统治着,这在以前是从未有过的。国民生产总值增加了,尽管分配的不公平也同时增加了。日本在这时有一个强力的政府是幸运的,因为蒙古人于1274年入侵了日本,在1279年完成了对宋帝国的征服后,又于1281年再度入侵日本。这两次战争中,风暴帮助了英勇的日本人,严重破坏了侵略者的船舰。1274年,蒙古远征军人数很少,仅仅经过一天的战斗就结束了它的进攻。1281年,侵略军的规模很大,进攻持续了两个月之久。打退蒙古人对日本的这两次袭击,同公元前5世纪打退波斯对欧洲希腊的两次袭击、穆斯林阿拉伯两次围攻君士坦丁堡的失败一样,对人类历史有着重大影响。镰仓的军人政府,比京都的文人政府更适合日本12世纪和13世纪的文化与社会状况。源赖朝和北条氏的摄政者们在镰仓坚守着幕府政体,他们的一些同代人在宗教领域中也扮演着相应的角色。通过中国和朝鲜传入日本的最早的大乘佛教种类是深奥难解的形而上学–尽管这些教派的一些僧侣在他们于日本土地上的实践中变成了粗野的穷兵黩武者。12和13世纪,佛教以简洁的形式呈现于日本人面前,在较为广泛的范围内被理解和认同。1191年,佛教禅宗的一支传入了镰仓。禅宗通过严谨的修行冥想达到精神上顿悟的方式,吸引着武士们。浩然(1135-1212年)和亲鸾(1173-1262年)号召民众全神贯注地重复菩萨阿弥陀佛的名字,作为死后获准进入”净土”(阿弥陀佛的天堂)的护符。日莲(1222-1282年)全神贯注于口诵《妙法莲华经》。他更近似于公元前9世纪的以色列先知以利亚和以利沙,而不是任何佛教先圣。日莲反对所有的其他佛教宗派,积极介入政治,陷入了与幕府的纠纷,但他却由于宣传抵抗蒙古而赢得了盛名。直到20世纪70年代,所有这些12世纪和13世纪简洁的日本佛教派别,仍有为数众多的信徒。

    第六十八章 蒙古人和他们的后继者

    蒙古人是一个人数很少的草原游牧民族,他们的祖传牧场位于欧亚大平原的最东北角。公元13世纪,他们突然从欧亚大平原上兴起。到1241年,他们已经攻克了他们面前的所有地区,向西推进到了奥得河和亚得里亚海的东北岸。1260年,他们侵入叙利亚。1297年,他们占领了上缅甸。蒙古人的进攻性征服开始于欧亚大草原的东端,深入到了所有毗连的定居人口居住的地区。1203年,当铁木真(约1162-1227年,1206年以后称为成吉思汗)成为最高统治者时,蒙古人的进攻性征服就在统一的指挥下策划和进行了。直到1259年,成吉思汗的孙子和第三位继承人蒙哥去世,这一征服才告停止。

    到1259年为止,蒙古大汗在其欧亚大平原东部的首都哈刺和林,或直接或通过使臣统治着一个以前从未有过的庞大帝国。那时,从东到西,蒙古帝国从太平洋的西北岸一直延伸到伏尔加河的源头和多瑙河下游的北岸;从北到南,从贝加尔湖延伸到越南北部。蒙古帝国还没有完全占有宋代中国的全部领土。但是,只有欧洲大陆、非洲大陆和阿拉伯半岛、印度半岛最终逃脱了蒙古人的短暂统治。蒙古人成为唯一成功地征服了整个中国的欧亚游牧民族。

    蒙古帝国在这一规模上的政治统一是短暂的(1241-1259年),但也是史无前例的。在这一政治统一未遭破坏之前,它也是强有力的。蒙古帝国使得许多区域性文明发生了迅速的相互接触,而在此前,这些文明在其发展中很少把它们彼此联系在一起,甚至很少知道同时代的其他文明,它们与同时代的其他文明只是通过传导性的欧亚大草原被潜在地联系在一起。

    公元4世纪和5世纪,匈奴人曾先于蒙古人在欧亚大草原上兴起,涌向四面八方,并把自己的统治暂时地强加于周围的一些定居民族的身上。与拔都的疆域相比,阿提拉的疆域向西更远地伸进了欧洲。厌哒匈奴人侵入了印度,并在那里建立了永久性的立足点,而蒙古人则避开了印度。其他的匈奴人与非匈奴的蛮族共同在中国北方继西晋王朝之后,建立了一系列国家。但是,这些都是匈奴族不同部分的不相关联的事业。从来没有这样一个时刻,被匈奴人征服的所有地区在政治上统一起来。然而在另一方面,从1241年到1259年,用政治术语说,整个欧亚大平原的”陆地海洋”成为了蒙古人的”陆地内湖”,环绕四周的是各种定居居民在蒙古帝国统治下的一统天下。在这些年代里,欧亚大平原始终被有效地管辖着,效率很高的驿站组织使大平原的传导能力由潜在变为现实。

    驿站组织的首要目的,是使蒙古贵族一接到通知就能参加在哈刺和林举行的蒙古部族大会。这一设施同时也从四面八方把从属的定居民族的君主,战争的俘虏、自愿的冒险者(有技能的工匠、商客、蒙古行政官职的候选人)以及来自独立国家的使者,送到了哈刺和林。例如,在1254年,西里西亚亚美尼亚的海顿国王动身前往哈刺和林。而在他之前,他的兄弟康斯特布尔?森帕德特已于1247-1248年间先他而去。西里西亚亚美尼亚曾心甘情愿他屈从于蒙古人的统治,它也是唯一真正试图抓住机会,利用蒙古人和西方基督徒的联合统一行动,以粉碎伊斯兰世界的黎凡特地区的基督教国家。1245-1247年,一位名叫卡皮尼的天主教圣方济各会的修道士,作为教皇英诺森四世的使者,往返于里昂与哈刺和林之间。1253-1255年,另一位圣方济各会的修道士勒伊斯布鲁克的威廉,作为热衷于十字军东征的法兰西路易九世的使者,从阿卡来到哈刺和林,然后回国。可是在这两个来自西方基督教世界的使团之后,无论西方人还是蒙古人都未继续采取任何有效措施。而伊斯兰世界尽管一度曾处于它有生以来从未遇到的巨大危险之中,但它仍然幸存下来。

    穿越那一度秩序井然的欧亚大平原的使团的往返,其文化上的作用远较政治上的成果重要得多。勒伊斯布鲁克的威廉描述了复活节后不久他在哈刺和林所见到的大群的基督徒,他们来自许多不同的地区、不同的教派和不同的民族。1251年,忽必烈(成吉思汗之孙,他的第四个汗位继承人)奉其兄、当时的大汗蒙哥之命征服宋朝。1279年,忽必烈作为蒙哥的汗位继承人,完成了这项任务。公元4世纪时,蛮族曾征服了中国北部。如同他们的蛮族前辈一样,蒙古人也不情愿通过信奉儒家学说的中国文人来治理中国。4世纪时中国北部的蛮族征服者得到了佛教徒、汉族及异族人的支持,而中国的蒙古人(元)王朝的忽必烈及其后代则得到了穆斯林与基督徒的支持。

    忽必烈征服宋帝国的战略,与公元前4至3世纪秦国征服楚国时所采用过的战略是一样的。在直接进攻宋朝的国土之前,忽必烈从四面包围了它。1253年,他征服了泰族人的国家南诏,并把它并入了中国的云南省。忽必烈在那里的代理人,是来自中亚的蒙古人统治下的穆斯林。他们在云南建立的穆斯林社区一直留存至今。1275年,在中国有3万名来自高加索北部山地信奉东正教的阿兰人在忽必烈手下服务。威尼斯人马可?波罗普作为一名行政官员,在中国为忽必烈供职约达17年之久(约1275-1292年),而来自河间地区的穆斯林赛典赤?瞻思丁则在1274-1279年之间为忽必烈供职。他为忽必烈组建了中国的一个新省–云南省。与同一时期穆斯林的影响不同,中世纪基督教在中国的影响有如昙花一现。无论在云南还是在中国西北部,伊斯兰教都扎下了根。与此相应,作为1220-1257年间蒙古人征服伊朗的后果,中国的艺术则长久地影响着伊朗的艺术。

    忽必烈在中国的穆斯林和基督徒的兵士与行政官员来自远方,但蒙古人从他们的征服事业开始时起,就从当地征用有才能的人和工匠,而这也被认为是他们所以能取得轰动一时的成功的原因之一。象穆斯林阿拉伯世界和斯堪的纳维亚的骤然兴起一样,蒙古人的兴起也是突发性的。然而,同样与前者一样,其也是邻近文明的刺激性影响在此前长期持续传播所突然产生的后果。

    最迟从公元前4世纪开始,欧亚大平原东端的游牧民族就已同中国北方的燕国发生了直接的接触。如果用一道线把中国与北方大平原划分开,那么从公元10世纪开始,在这道线的西北段跨境而建的藏族-汉族国家西夏,在这道线的东北段跨境而建的契丹(辽)帝国,以及它的后继者女真(金)帝国,就成为文明传播的途径。通过这些途径,中国的文明越过那些半中国人建立的帝国的草原边疆,传播到了独立的游牧民族之中。

    如同东罗马帝国一样,金国的皇室通过利用一个游牧民族惩治另一个游牧民族的办法,来控制与它为邻的欧亚游牧民族。鞑靼人是蒙古人在东南方的近邻,金国曾利用他们来惩治蒙古人。大约在1202年,金国又利用克烈部族来惩治鞑靼人。克烈部族是信奉聂斯脱利派的基督徒,也是蒙古人西南方的游牧族近邻。在这场斗争中,一个较小的蒙古首领的儿子,铁木真是作为克烈部可汗的下属盟友来为其效劳的。1203年,铁木真打败了克烈部而将其并入他自己的部落。金国插手于各游牧族政治势力之间,使铁木真得以开始建立起他自己的独立势力。

    然而,铁木真和他的孙子忽必烈一样,谨慎地使自己不落入汉族人手中。但铁木真认识到了知识和智慧的力量。他从善如流,而这也是他获得成功的一个原因。他能在非汉族人中选拔顾问和官吏。1203年之前,在他手下就已经有一些穆斯林商人了。蒙古人自己和鞑靼人仍然信奉萨满教,但鞑靼人东南方的汪古部,以及克烈部北方、西北方的乃蛮部和蔑儿乞部则从1009年起就已信奉了聂斯脱利教派。铁木真于1203年消灭了克烈部之后,其他的这几个信奉聂斯脱利教派的游牧族于1204年联合起来反对他。而铁木真则逐一打败、并吞了他们。乃蛮部的可汗被杀死,他的畏兀儿人掌印官(秘书)塔塔统阿转而为铁木真效劳。畏兀儿-突厥人是乃蛮部的西南邻族,也是西夏帝国的西北邻族,他们大概在1204年乃蛮部被打败后不久,就自愿地归顺了铁木真。

    畏兀儿人与哈扎尔人一样,曾经是游牧民族。他们讲突厥语,并且欣然接受了各种各样非游牧民族文明的成份。在763年,畏兀儿人就已信奉了摩尼教,但他们当中也有聂斯脱利教徒和佛教徒。他们使用的文字用古叙利亚字母拼写。他们用这种字母转记自己的突厥语,并把用古叙利亚文写成的摩尼教、聂斯脱利教的祈祷文和圣经转记下来。当时已被称作成吉思汗的铁木真,命令他的掌印官采用与叙利亚文的写法转记蒙古语,并且把蒙古人的习惯法(札撒)书写下来。当成吉思汗于1215年攻占了金国的都城大兴府(即金中都,今北京)后,他得到了从前在金朝供职的契丹族官员耶律楚才为他效力。耶律楚才与塔塔统阿一样,心甘情愿地转而为成吉思汗服务。一度沦为女真人臣仆的契丹人,并不觉得他们应忠实于自己已经战败的前主人。

    成吉思汗的财富,就是他的畏兀儿人、契丹人和穆斯林谋士们的才能,就是那在马背生活中反复灌输到游牧民族战士心中的尚武精神和军事纪律,还有他个人叱咤风云的胆略以及他在战时和平时选用人才为他效力的可靠判断力。他的禁卫军象亚历山大大帝的禁卫军一样,有如一所参谋大学。他作为统帅从中挑选人材,亲自考验他们,派他们去执行重要的任务。成吉思汗的个性和组织能力,加上蒙古人的好战性格以及从蒙古人和鞑靼人的近邻逐渐吸取的文明气息,所有这些,就是蒙古人在其领袖成吉思汗的激励下取得惊人的军事、政治成就的原因。

    成吉思汗经历的最艰苦的一战,也许就是1203-1204年他吞并战争的第一战,通过这场战争,他把所有其他生活在欧亚大平原东部的游牧民族都并入了他的蒙古人部落。1205-1209年,成吉思汗征服了西夏国,从1211年起,又开始了征服金国的战争。1218年,他打垮了屈出律。屈出律是原乃蛮汗之子,逃亡后,篡夺了地跨天山山脉的黑契丹的统治权。1220-1221年,成吉思汗征服了花刺子模沙皇的领地(除花刺子模以外,还包括粟特、吐火罗和阿富汗)。1227年成吉思汗去世后,朝鲜于1231年被征服,对金国的征服也于1234年完成了。

    1236-1241年的一系列战争,又为蒙古帝国增加了欧亚大平原的整个西半部,还有伏尔加河畔的保加利亚人以及俄罗斯各公国(仅诺夫哥罗德、普斯科夫和加利西亚除外)。1243年,拉姆的塞尔柱人被击败,并成为蒙古人的属国。开始于1251年的对宋帝国的征服,于1279年完成。与此同时,南诏于1253年被吞并,越南北部(一度)于1257-1258年被吞并。伊拉克和伊朗的西南部在1256-1258年间被成吉思汗的孙子旭烈兀征服(1258年巴格达陷落并遭到洗劫,阿拔斯哈里发帝国至此灭亡)。在东南方更远处,占婆(越南北方南部的一个印度化的国家)于1283-1285年间成为蒙古人的属国。缅甸北方在1287-1303年间也被占领。

    蒙古人周围的游牧族各部并未因这些征服战争而受到什么损失。他们既没有失去自己的牲畜,也没有失去自己的牧场,不过是改换了主人而已。而另一方面,对那些定居地区的蒙古人的牺牲者来说,蒙古人的征服则意味着种族灭绝的灭顶之灾。最残酷的几次大屠杀发生在1220-1221年成吉思汗征服花刺子模的战役中、1231-1241年拔都西征的战役中以及1258年旭烈兀在伊拉克进行的战役中。从1215年到1241年间,耶律楚材千方百计使他的蒙古主人相信,屠杀那些潜在的赋役提供者是与蒙古人的利益相矛盾的。然而,在1242-1246年的汗位出空时期,耶律楚材已经不久于人世了。

    象从前的帝国缔造者们一样,蒙古人也并非是战无不胜的。1274年、1281年两次渡海远征日本的失败,上文中已经提到了。1292年渡海远征爪哇也遭到类似的失败。1260年,在叙利亚的土地上,蒙古人遭到更为惨重的失败,阿尤布王朝的继承者马木路克王朝,大败旭烈兀的前卫。1281年,1299-1300年,1303年,旭烈兀的继承人,控制着蒙古帝国在伊朗和伊拉克的封地的伊儿汗国的几代汗王,一再被叙利亚的马木路克王朝打败。妨碍蒙古人实现其征服人类世界野心的另一件事,是1264年发生在伊儿汗旭烈兀与钦察汗别儿哥之间的内战。别儿哥是包括大平原西半部在内的广大封地上的可汗。这块封地是1236-1241年间由术赤(成吉思汗的长子)之子、别儿哥之兄和前代可汗拔都为术赤家族争得的。别儿哥的金帐汗国与马木路克王朝结盟。热那亚人则通过从金帐汗国的领地向马木路克王朝输送奴隶而获利。这一联盟使他们的力量超过了其对手伊儿汗。

    继蒙哥之后于1260年登上大汗之位的忽必烈是旭烈兀之兄,他也受到了来自两方面的挑战。其一是在1259-1264年间,来自他们另一个弟弟阿里不哥;其二是在1259-1308年间,来自窝阔台汗的孙子海都和海都之子察八儿。1260-1267年间,忽必烈把他的都城从哈刺和林迁到北京。此后,又在1271年为他的王朝取了个汉语的名称–元朝。于是,蒙古帝国变成了一个真正中国人的帝国,然而它却比此前任何一个真正中国人的帝国都拥有更为广大得多的西方属国。但是,金帐汗国对大汗(也叫作元朝皇帝)的忠诚则仅仅是名义上的,大汗在其直接控制的领地上的权威,也受到海都和他的儿子的怀疑。

    另外,蒙古人和中国人相互仇视。蒙古人是第一批没有被中国文明征服的外来征服者。1368年,当元朝被推翻,它的驻防军被驱逐到长城遥远的另一边他们祖辈生活的草原上时,蒙古人撤退了,但是却仍然未被中国化。这与流亡的契丹人的情况形成鲜明的对比。契丹人在被赶出中国之后,在穆斯林的中亚建立了一个中国化的政权,并维持了将近一个世纪之久。契丹人在中国东北边疆统治的地区从未超过16个州的范围。而蒙古人则在1279-1368年间统治了整个中国,并且从1215年起就在中国北方控制着一个根据地,它与契丹人曾经控制的根据地一样大。蒙古人建立的元朝在中国留下了一个积极的永久性的纪念。1289年,忽必烈完成了延伸大运河,使其从杭州北抵北京的工程。中国的蒙古人政权也一度起过消极作用,但它却为产生一个永久性的积极后果开辟了道路。在元朝的统治下,儒家传统的文学陷入极端艰难的逆境之中,于是两种新的文学形式–用当时的市民语言写作的小说和戏剧得以形成了。其中的一些作者就是儒家弟子。尽管他们耻于承认自己是那些如此粗俗的小说和戏剧的作者,但这两种新的文学形式却为市民群众所喜闻乐见。一直到蒙古人被赶出中国,儒家的传统得以恢复之后,它们仍然流传下来。那些羞涩的小说和戏剧的创作者们为中国文学所作的贡献,与他们托斯卡纳的同时代人但丁为西方文学所作的贡献,与阿肯那顿为法老统治下的埃及文学所作的贡献,都是同样重要的。

    无论是中国的文明抑或俄国的东正教文明,都未能征服中国的蒙古族统治者和俄国大部分土地上的蒙古族君王。而另一方面,无论是伊朗、伊拉克的蒙古族征服者,还是操突厥语的金帐汗国的蒙古首领,都被伊斯兰教所征服了。这是被征服的定居者的文明,对于征服他们的草原游牧族军事力量在文化上的胜利。

    在蒙古人于1368年被赶出中国之前,伊朗和伊拉克的蒙古伊儿汗王朝于1335年灭亡了,拔都的后继者们的统治也于1359年结束了。这些后继者们直到那时为止都是金帐汗国的统治者。在14世纪上半叶,金帐汗国与察合台汗的定居的臣民们,公开声称要反抗他们的蒙古征服者。

    金帐汗国的西南疆界,同时也是草原的游牧生活方式的疆界,被来自匈牙利的罗马尼亚人定居者,从多瑙河下游的北岸推回到德涅斯特河的西岸。这些定居者建立了瓦拉几亚和摩尔多瓦公国。在德涅斯特河与第聂伯河之间,从波罗的海内地的丛林一直到黑海的北岸,一度曾遍布着异教的立陶宛人。1386年,立陶宛人改信西方的基督教,并因一种个人间的结合而与波兰联合。但这个新的西方基督教大国首先被卷入了阻止信奉西方基督教的条顿骑士侵略的斗争中,因而错过了成为金帐汗国的继承者的机会。

    1371年,俄罗斯各公国的王公们拒绝向地处伏尔加河畔萨莱的金帐汗国可汗的宫廷进贡和表示尊敬。1380年,当时的蒙古可汗被莫斯科大公打败。但金帐汗国的实力尚未耗尽。1381年,莫斯科被一个新的蒙古可汗脱脱迷失攻陷。脱脱迷失是被帖木儿(跛者)扶上汗位的。俄罗斯人未能成功地将他们自己从金帐汗国的统治下解放出来。他们也还不能期望继承金帐汗国的遗产。

    金帐汗国与察合台汗国的当然继承者是帖水儿(跛者),他是一位突厥人的勇士,是察合台汗位于河间地带的领地上定居居民的首领。1362-1367年,帖木儿从察合台汗的统治下解放了河间地带。在1369-1380年间以及1383-1384年间,他在察合台汗追随者的故乡大草原上惩罚他们。到了1380年,他还解放了位于锡尔河下游的花刺子模。花刺子模是金帐汗国封地的一部分。1383年,当帖木儿的被保护人脱脱迷失试图为金帐汗国重新夺回花刺子模时,帖木儿于1391年和1395年两次侵略基布察克草原,以此来回敬脱脱迷失。在后一次战役中,帕木儿穿过大草原袭击了俄罗斯。帕木儿是第一个未受惩罚地袭击了欧亚大草原西半部的定居人首领。大流士一世及时地后撤了。亚历山大的将军索皮隆则死在了那里。

    1405年,帕木儿死于前往中国的途中。假如他不曾将其绝大部分精力消耗在对伊斯兰世界内部的进攻上,不曾将蒙古人式的残暴手段用于这些进攻中,那么,他或许已经重新组织起了那个蒙古帝国的残渣碎片,并且从撒马尔罕对其进行统治了。在公元15世纪,帕木儿的后裔们对文化人和占星术士表示出仁慈和恩惠,以此来多少改变帖木儿留下的残暴形象。但是他们在军事上和政治上是懦弱的。他们的祖先帖木儿拼搏一生,留下了一个尚未得出答案的问题:在旧大陆文明中心腹地的版图上,谁将成为蒙古人的继承者?

    第六十九章 伊斯兰教世界(1291年-1555年)

    1555年的伊斯兰教世界要比1291年时大得多。它的主要部分在政治上分属于3个大帝国:黎凡特地区的奥斯曼(奥托曼)土耳其帝国、伊朗的萨非帝国和印度的帖木儿(莫卧儿)帝国。这一重大的变化在伊斯兰教世界于1220年(成吉思汗入侵河间地带的年代)至1405年(帕木儿去世的年代)之间所经历的动乱中发生。

    1555年,德干高原(北印度的穆斯林统治者在1294年开始征服德干)被置于穆斯林的统治之下,其势力向南达到吉斯德纳河与通格拉巴德拉河一线。与此同时,东南欧也被置于穆斯林的统治之下,其范围包括了除最西端匈牙利之外的整个地区。伊斯兰教世界的这些扩张,同先前它进入印度一样,都是用武力取得的。在整个印度以及在东南欧,被征服人口的大多数一直没有改宗伊斯兰教。但是,在伊斯兰教世界的中心,12和13世纪大规模的改系已使占这一地区人口多数的非穆斯林降为少数派。所以,在几个方向上伊斯兰教世界是通过改宗而不是通过征服扩大的。

    例如,努比亚在1291年之前,一性论派基督教已经存在了约8个世纪;但由于从14世纪开始阿拉伯部落从埃及不断渗透的结果,努比亚也逐渐改信伊斯兰教。即使是保留了自己祖先语言的那些努比亚人,也采纳了伊斯兰教。在西部苏丹,伊斯兰教从它在撒哈拉以南取得第一个立脚点的11世纪起,就一直不断地吸引着改宗者。在15世纪的马来半岛和印度尼西亚,伊斯兰教就同其先驱者印度教和佛教一样,以和平的方式赢得了改宗者。在这一地区,伊斯兰教并没有取代1000多年来一直起作用的印度文化的影响,伊斯兰教仅仅在表层上覆盖了印度教。在中国,云南和甘肃的穆斯林民族是在蒙古人统治时期形成的,在短命的蒙古人政权结束后,这些民族依然存在。

    在1555年并存的3个伊斯兰教帝国中,奥斯曼帝国最古老。它的核心在1300年已经形成。1353年,它在后来据以发迹的欧洲取得第一个立足点。到1402年它已在1071年前由东罗马帝国控制的大部分亚洲及欧洲地区建立了直接或间接的统治。1402年,奥斯曼在小亚细亚的力量被帖木儿粉碎,并分裂为3支互相竞争的势力。但是它的欧洲及部分亚洲领土,被苏丹穆罕默德一世(1402-1421年在位)重新组合在一起。他的不朽之作是建于布尔萨的美伦美奂的大清真寺。君士坦丁堡的”征服者”穆罕默德二世(1451-1481年在位)巩固了奥斯曼帝国的领土和制度。谢里姆一世(1512-1520年在位)改变了帝国的面貌,他将帝国向东部和南部扩张,使奥斯曼帝国继承了马木路克王国和东罗马帝国的版图。1555年在苏莱曼一世的统治下,帝国达到了鼎盛时期,并且这一鼎盛阶段持续了一个时期。

    萨非帝国是在1500-1513年突然兴起的。但到1513年,它在东北部已达到与乌兹别克游牧部落对峙的极限。乌兹别克人是金帐汗国在西西伯利亚的一支,他们在15世纪从帖木儿人那里一点点地征服了乌浒河-药杀水流域。萨非帝国的创建者沙?伊斯玛仪威胁着奥斯曼帝国达4年之久(1511-1514年),他重复了1402年帖木儿带来的那场灾难。但在1514年的凡湖东北部的查尔德兰战役中,奥斯曼人给萨非人以狠命的一击,直到1655年萨非帝国还没从这次打击中舒缓过来。1516年奥斯曼人吞并迪亚巴克尔,1534-1536年吞并伊拉克。尽管如此,1555年萨非人仍然占有除了西北角之外的整个伊朗。

    1555年,帖木儿的胡马雍再次征服德里王国。胡马雍的父亲巴伯尔在1512-1513年间企图从乌兹别克人那里重新征服其家族先祖在河间地带的领地失败后,曾于1526年征服过德里。1512-1513年巴伯尔与伊斯玛仪治下的萨非结盟,但在1513年,由于在另一端受到谢里姆一世治下的奥斯曼帝国的威胁,伊斯玛仪与乌兹别克人媾和,条件是伊斯玛仪占有呼罗珊,乌兹别克人占有河间地带和托卡里斯坦。巴伯尔不得不退回到喀布尔,等待机会从印度得手,以补偿在恢复河间地带时所遭到的失败。

    这3个帝国的建立堪称是一种杰作。一个国家如果没有农业、工业和商业的纳税人,如果没有一支训练有素而又忠诚不贰的军队,它显然无法生存。但是,自11世纪中期以来,伊斯兰教世界一直遭受着穆斯林游牧部落的入侵。西北非和安达卢西亚受到游牧的柏柏尔人和阿拉伯人的蹂躏;伊拉克和杰济拉(美索不达米亚)受到另一支游牧的阿拉伯人的蹂躏;乌浒河-药杀水流域、伊朗、亚美尼亚和小亚细亚则在游牧的土库曼人的铁蹄之下。前文已经提到这些土库曼人有两次移民浪潮。第一次是11世纪由塞尔柱人领头的大迁移;第二次是13世纪为躲避蒙古人的大迁移。由于这些穆斯林游牧部落的出现,由于蒙古游牧部落犯下的暴行,以及后来帖木儿于1380年至1450年间在伊斯兰教世界的中心犯下的暴行,定居居民的生产力和纳税能力严重受损,一落千丈。

    帖木儿和他的军队并不是游牧民族;他们是定居在河间地带的穆斯林;但是帖木儿的行为和蒙古人一样残暴,除了1395年对俄罗斯的那次入侵以外,其他所有的受害者都是穆斯林。在严厉惩罚察合合汗国和金帐汗国穆斯林游牧部落的同时,帖木儿1393年劫掠了巴格达,1398/1399年劫掠了穆斯林在北印度的首都德里,1401年劫掠了阿勒颇和大马士革,1402年肢解了奥斯曼帝国在亚洲的领土。帖木儿的行径是破坏性的,没有任何积极作用。1402年他死后,他自己的帝国日益没落,走到了尽头,使政治上重建伊斯兰教世界的工作,落在了更具有建设性的人肩上。

    在帖木儿去世之际,伊斯兰教世界中仍然继续”运转着”的国家仅剩下了埃及和叙利亚的马木路克王国与德干高原的巴赫马尼王国。伊拉克尚未从1258年的蒙古人征服中恢复元气。在这之前,伊拉克与埃及在经济上一直并驾齐驱。它是旧大陆文明中心的两大产粮区之一。1358年,伊拉克的灌溉网荒废失效,并一直未能得到修复。

    同埃及一样,北印度也躲过了蒙古人,但它未能躲过帖木儿。早在帖木儿毁灭性的入侵之前,德里王国已经无法保持穆斯林印度的完整。在北印度,穆斯林征服德干之后(这一征服始于1294年),德里国王穆罕默德?伊本?图格鲁克在1327-1329年曾试图将统一的伊斯兰教印度帝国的首都,从德里迁到德干高原的代奥克尔,但这一努力后来半途而废。在他迁回德里之后,他的帝国解体。大约在1336年,吉斯德纳河和通格拉巴德拉河一线以南的半岛最南端,在反穆斯林的印度教维查耶那加尔帝国中统一起来。1347年,在这条线以北的德干高原的伊斯兰教地区形成一个独立的伊斯兰教帝国,统治者是巴赫马尼王朝。从1482年到1512年,巴赫马尼南国分裂成5个彼此纷争的小国。

    1564年,这5个穆斯林小国中的4个结成同盟与维查耶那加尔对抗。1565年它们成功地推翻了这个最后的印度教独立国家。此后,在政治方面,印度教在整个次大陆的几乎所有地方都销声匿迹了,但在其他方面,印度教仍然生机勃勃,富于活力。它对伊斯兰教的冲击作出了创造性的反应。在15世纪,迦比尔用印地语诗歌表现了自己对印度教和伊斯兰教中所描绘的”终极精神实在”的直觉。迦比尔成了锡克教和锡克社团创立者那纳克(1469-1539年)的先导。帖木儿人的莫卧儿皇帝阿克巴(1556-1605年在位)有一位印度教臣民杜尔西达斯,他用当时北印度大多数居民所使用的印地语改写史诗《罗摩衍那》。这一史诗在说印地语的人中已耳熟能详,就同新波斯语四大诗人的诗集为说波斯语(新波斯语)的人所熟知一样。

    1405年,马木路克王朝的埃及仍然保持原样。蒙古人和帖木儿先后侵入埃及的缓冲地区叙利亚,但没有到达埃及本土。埃及的灌溉网仍在正常运转。埃及的人口比较稠密,生产力、纳税能力和文明程度也较高。治理和保卫埃及的是一支装备精良、训练有素、纪律严明的军队。军队的士兵是从基布察克和高加索招募来当兵打仗的奴隶。埃及的居民已不断从一性论派基督教改宗为伊斯兰教,基督教徒最终成了少数派;但是在马木路克人统治下,同先前的伊斯兰教政权一样,埃及的基督教徒作为收税官继续在公共事务中发挥重要的作用。所以,在马木路克的埃及,负责治理和保卫穆斯林多数派居民的是入境的外国人,负责征税的是非穆斯林的本地人。

    在埃及马木路克和印度穆斯林统治者版图之外的伊斯兰教世界的亚洲部分,1300年之后的问题是,面对游牧的土库曼人的大规模存在,如何重建稳定的政治结构。有可能成为这一地区新的伊斯兰教国家的创建者的,就是这些游牧部落的领袖。这些部落民的军事才能构成了其领袖力量的基础,这些领袖人物必须要始终依靠他们,除非他们能够找到可靠的替代者。在这之前,部落领袖必须要尽力处置好追随自己的游牧民,使他们驯服,领着他们前进,最终诱使他们放弃自古以来四海为家的游牧生涯,变成农民和工匠。

    在小亚细亚,12世纪时的塞尔柱拉姆苏丹已部分解决了这一问题。这些苏丹将他们在亚洲的土库曼人追随者,安置在拉姆和缩小的东罗马帝国之间的交界地区,在那里向非穆斯林发动圣战(吉哈德)。塞尔柱苏丹在他们王国的中心已建立起一个定居的社会。它所需要的人才部分是本地的前基督教徒,部分是在土库曼人经过自己国家时幸免于难的说希腊语的农民,部分是来自伊朗的移民。但在13世纪,拉姆的塞尔柱人也经历了一系列的挫折。流亡的东罗马帝国在1204年西方基督教冒险家攻占君士坦丁堡之后,将首都建在尼西亚,开始注意东罗马帝国在亚洲的残余领土,甚至再次扩张,损害拉姆塞尔柱人的利益。于是土库曼游牧部落向西迁移的第二次浪潮又冲击到了拉姆。1243年,拉姆苏丹国被蒙古人打败,成为蒙古人的附属国。1271年,拉姆爆发的一次反蒙古人的起义,受到野蛮的镇压,蒙古伊尔汗国对拉姆的控制进一步加强。与此同时,尼西亚的希腊人于1261年重新占领君士坦丁堡,则转移了他们对小亚细亚领土的注意力。结果,在1261年至1300年之间,土库曼人获得了对差不多整个小亚细亚的控制权,东罗马帝国和塞尔柱拉姆苏丹国都相应受到损失。在1335年伊尔歼灭亡之前,小亚细亚这一定居的突厥人国家已经灭亡,它或者亡于本地的土库曼人,或者亡于蒙古伊尔汗国的军事将领,或者亡于这两者的合力。取代这一政权的是另一些当地土库曼部落的统治,这些土库曼人过去曾经是臣属伊尔汗国的游牧民。

    土库曼人的部落就这样接替了伊尔汗人和拉姆的塞尔柱人的位置,他们的领袖们全都渴望成为拉姆那样的定居王国的统治者。在这些野心勃勃的领导人中最成功的是奥斯曼人。到13世纪末,这些奥斯曼人已被拉姆的塞尔柱人苏丹安置在萨卡里亚河下游的一个重要地带,直接面对3座希腊人的城市伊兹米特、尼西亚和布尔萨。1326年,奥斯曼人占领布尔萨,1331年占领尼西亚,1337年占领伊兹米特。攻占伊兹米特打开了通往博斯普鲁斯海峡亚洲沿岸的道路;攻占布尔萨则为1344年向西征服下一个土库曼人王国卡拉西开辟了道路。卡拉西已经占据了博斯普鲁斯海峡的亚洲沿岸。当1353年奥斯曼人在欧洲夺得滩头据点加利波利时,他们正在步尼西亚的希腊皇帝们的后尘。这些希腊人在1235年侵犯色雷斯,到1247年已从陆路包围了君士坦丁堡。而奥斯曼人在1361年攻占阿德里安堡(埃迪尔内)之后,也采取了同样的行动。

    奥斯曼人建立自己权力的手段,部分是通过驯服自己的土库曼部落民,部分是通过争取少数具有军事价值的改宗和旨在从基督教国家征服的领土上笼络许多具有经济价值但并未改宗的基督徒,即从事生产劳动的工人和纳税人。这些征服使奥斯曼人获得了充足的定居基督教臣民,其规模相当于印度穆斯林帝国的创立者所拥有的定居印度教臣民。由土库曼部落的首领们在小亚细亚其他地方所建立的王国,都不具有这一经济力量的资源。萨非王朝也不具备这种资源。

    为土库曼人的首领驯服土库曼人的是穆斯林宗教(苦行僧)教团的代表,但对于世俗的穆斯林帝国的创建者来说,这是一种危险的权宜之计。苦行僧们受到土库曼人的欢迎是因为他们代替了前伊斯兰教时期土库曼人的萨满。但这些穿着穆斯林服装的萨满,在逊尼派穆斯林宗教”统治机构”的眼里却是异端。他们常常不是驯化土库曼人,而是重新煽起土库曼人闹事的传统。例如,在1402年奥斯曼帝国一度被帖木儿推翻后,苏丹穆罕默德一世尚未完成帝国的重建,杰尔米扬王国希马尔的谢赫贝德尔丁便于1416年在保加利亚东北部和小亚细亚西部(再次臣服的亚洲土库曼公国萨鲁汉和艾登)奥斯曼的领土上同时发动了大规模的起义。贝德尔丁是一位伊斯兰教的律法学者,同时又是一名非正统派和具有革命精神的神秘主义者。他号召穆斯林和基督教徒联合起来跟随他反抗奥斯曼人的统治。贝德尔丁的起义被镇压了下去,但他的教派却一直存在到17世纪。1416年参加起义的大多数人都是心怀不满的土库曼人。

    小亚细亚非奥斯曼的土库曼人部落,对14世纪被奥斯曼人征服心怀不满,对被帖木儿暂时解放后又再次臣服于奥斯曼人更是耿耿于怀。1511年,奥斯曼帝国几乎再次被小亚细亚十二伊玛目什叶派土库曼人一次大规模的起义推翻,这些土库曼人都是萨非帝国的创建者沙?伊斯玛仪的同党。这次反叛在1512-1513年被谢里姆一世野蛮地镇压下去。萨非王朝最早的军队就是由从奥斯曼统治之下的小亚细亚土库曼王国中逃出来的什叶派军团所组成。尽管萨非帝国的国王是苏非教团当然的精神领袖,而整个”红头兵”(因其头巾为红色而得名)部落军团的军人都是这个教团的成员,在1524年沙?伊斯玛仪死后,这些”红头兵”仍成为伊斯玛仪继承人的心腹之患。

    奥斯曼帝国的创建者不依靠任何土库曼部落,甚至不依靠他们自己的部落。他们鼓励土库曼人前往奥斯曼帝国在欧洲不断扩张的领土;但是,为了守住他们在欧亚的领土和保持一支能从事野战的部队,奥斯曼人依靠其他地方的人力资源。他们利用从非世袭封地上收取的税收,维持了一支由封建骑兵组成的民兵组织。在这种制度下,无论是提供赋税的佃户,还是接收赋税的骑兵,都有国家明文规定和强制执行的权利。此外,依照阿拔斯王朝和阿尤布王朝的先例,奥斯曼王朝也保持了一支由奴隶组成的常备军。起初,这些士兵象阿拔斯和阿尤布时期的奴隶兵一样是从国外买来的,或者是从战俘中招募的;但在14世纪末叶,奥斯曼人开始招募本地农民中的基督教男童,以充实国王的奴隶近卫军。这些男童大多数是塞尔维亚、克罗地亚和阿尔巴尼亚人。穆拉德二世(1421-1451年在位)发展了这种虽不人道但却非常有效的制度。

    最初,这些应征的本地奴隶只被用来充当士兵(”theejaniz-aries”的字面原意是”新军”)。奥斯曼的文职行政人员首先是从帝国自由的穆斯林臣民中招募的。穆罕默德二世开始从他的奴隶中招募一部分行政官员。我们可以断定,当时已有一种做法将招募来的男童分为”本国男童”和”外国男童”。本国男童担任国王的侍从,他们受到长期的完整教育(包括智力、体力和军事教育),从而有资格胜任高级军官职务(最低也要担任近卫骑兵)。外国男童最后则成为近卫步兵。

    帝国这两种等级的奴隶的训练,竞争非常激烈,淘汰率也很高。所有奴隶近卫军的成员都领取薪金,虽然薪金高低并不相同。改宗伊斯兰教并不是强制性的,因为这种改宗不可避免。生为自由人的穆斯林奥斯曼的臣民,包括帝国奴隶之子,不得参加帝国的奴隶近卫军。所以,当帝国的行政权被奴隶近卫军垄断之后,生为自由民的穆斯林奥斯曼人便被排除在他们自己国家的政府之外。政府如今处于受过精心教育和严格训练的前基督教奴隶的控制之下,而这正是奥斯曼帝国成功的主要原因之一。

    萨非王朝得名于祖先谢赫萨非?阿尔丁?伊沙克(1252-1334年),他出生在阿塞拜疆东南角的阿德比尔。他是一个宗教教团而不是一个国家的创建者,也没有证据显示他是一个什叶派教徒。在他的后裔和继承人中第一个肯定属于什叶派的人,是他的孙子哈瓦加?阿里。此人是十二伊玛目派的什叶派教徒,并不属于不得人心的七伊玛目派,该派10世纪曾受到法蒂玛王朝和卡尔马特派,后来又受到暗杀派的压制。伊朗西部的暗杀派于1257年被蒙古大将旭烈兀消灭。第一位参与政治和战争的萨非家族成员是沙菲阿尔丁的曾孙、沙?伊斯玛仪的祖父谢赫朱奈德。他就任谢赫职位的1447年正好是帖木儿之子和继承人沙阿?罗赫去世的那一年。此后不久,帖木儿帝国便解体了。朱奈德娶”白羊”土库曼人首领乌宗?哈桑的妹妹为妻。”白羊”土库曼人是帖木儿人在阿塞拜疆和迪亚巴克尔的继承人。

    “白羊”土库曼人有一位伊朗籍的宰相。1502年,沙?伊斯玛仪取消了白羊土库曼人雇佣的这一官职,并由自己接管了宰相的职权。但沙?伊斯马仪本人及其”红头兵”的追随者同白羊土库曼人一样,也是讲突厥语的。实际上在这一时期阿塞拜疆的全部居民都讲突厥语。在沙?伊斯玛仪之前,十二伊玛目什叶派的主要中心,位于伊拉克西南部和阿米尔山(今黎巴嫩共和国的南端)。伊朗是逊尼派占优势。最著名的四大新波斯语诗人–菲尔多西、萨阿迪、哈菲兹和贾米,全都是逊尼派教徒。但是,沙?伊斯玛仪把十二伊玛目什叶派强加给其所有的臣民。伊朗人以令人惊奇的驯服接受了强加给他们的新宗教,而且这一新宗教最终还成为新的伊朗民族主义的独特标志,尽管讲突厥语的帝国创建者沙?伊斯玛仪的本意,只是要扩大他的版图,宣扬他祖先的宗教。

    到1555年,奥斯曼帝国已处于国王奴隶近卫军的治理之下。在伊朗,沙?伊斯玛仪的孙子和第二位继承人伊斯玛仪听凭他的”红头军”土库曼军队的摆布。帖木儿的胡马雍正率领一支来自伊斯兰教世界各地的冒险家大军再次征服北印度。胡马雍和他的父亲巴伯尔都是逊尼派,但两人都寻求过什叶派萨非帝国的援助。穆斯林在印度的”优势地位”被其印度教臣民远远地超过了,以至它无力陷入国内的教派纠纷之中。在伊斯兰教的印度,任何教派支持穆斯林都总能受到欢迎。

    在印度以西的伊斯兰教世界,1500-1513年十二伊玛目什叶派帝国出人意料地创建于伊朗和伊拉克,结果使黎凡特地区的逊尼派与中亚的逊尼派隔绝开来。1475年,奥斯曼帝国吞并了热那亚人在克里米亚的殖民地,奥斯曼的宗主权得到金帐汗国的后继者、克里米亚”鞑靼人”国家的承认。但莫斯科的俄国皇帝伊凡四世(雷帝)在1552年和1556年先后吞并了喀山和阿斯特拉罕,切断了奥斯曼帝国与乌浒河-药杀水流域的逊尼派乌兹别克汗国之间穿越欧亚大平原的交通要道。1516-1517年,奥斯曼帝国征服和吞并了埃及的马木路克王国,但在1498年至1515年之间,葡萄牙人已经夺取了印度洋的制海权。尽管奥斯曼人和马木路克人一样,占有从内线作战的优势,但他们并不比马木路克人更成功,后者在1508-1517年也曾试图从葡萄牙人手中夺得海上霸权。1538年,一支奥斯曼的舰队在从葡萄牙手中夺取第乌时失利;1538年,曾先后与马木路克和奥斯曼人联盟的古吉拉特穆斯林苏丹,被迫与葡萄牙人缔和。1551年,奥斯曼人放弃了与葡萄牙人争夺对印度洋制海权的努力。

    1542年,奥斯曼人和葡萄牙人的滑膛枪手在阿比西尼亚各自作为当地互相敌对的穆斯林和基督教徒的援军而交战。阿比西尼亚自从穆罕默德迁徒耶斯里卜之前向一些追随穆罕默德皈依伊斯兰教的麦加人提供庇护以来,在国际事务中很少发挥作用。穆斯林阿拉伯人后来对埃及的征服,使得努比亚和阿比尼西亚的一性论派基督教徒与基督教世界的其他地区相隔绝。虽然从14世纪起努比亚开始改宗伊斯兰教,但一性论派基督教却在阿比尼西亚存留了下来。自7世纪开始,(来自也门的)在阿比尼西亚高原的讲闪米特语的定居者的语言向南传播。一性论派基督教也随着语言同时传播。但是,基督教必须要与犹太教竞争,犹太教在这一地区已在基督教之先建立了立脚点。自13世纪起,阿比尼西亚的基督教王国已经压倒了高原上的犹太教,但伊斯兰教却传播到了高原东部和南部的山脚处;1529-1542年,来自东南部的穆斯林几乎征服了整个基督教的阿比西尼亚。她的命运几乎被1542年奥斯曼人的滑膛枪手对葡萄牙人的胜利所决定,但奥斯曼人很快就撤退了;1543年阿比西尼亚的基督教徒在葡萄牙幸存者的帮助下取得了决定性的胜利。阿比西尼亚遭到破坏,人口锐减,它的大部分地区遭到了从东南部和南部大规模迁往高原的加拉人异教徒移民的蹂躏。

    1555年,伊斯兰教三大帝国统治了从阿尔及利亚到北印度的旧大陆的文明中心。奥斯曼帝国是三个帝国中建国时间最长、结构最好的,但它仍未能在1492年保住伊比利亚半岛最后一个穆斯林滩头阵地,使格拉纳达王国免遭西方基督教的卡斯提和阿拉贡联合王国的征服。奥斯曼人也未能吞并西北非最西部的穆斯林国家摩洛哥。奥斯曼人不仅未能阻截摩洛哥沿岸大西洋海域中的葡萄牙人,而且还在古吉拉特沿海被葡萄牙人战败。此外,奥斯曼人也未能抢在俄罗斯人之前,占据从喀山到黑海的伏尔加河,并因而与他们在乌浒河-药杀水流域的逊尼派同胞失去了联系。

    尽管如此,伊斯兰教世界仍然立下了丰功伟绩,克服了蒙古人造成的灾难。而且,它的恢复不只限于政治方面。在1300至1555年间,伊朗产生了四大新波斯语诗人中的两个:哈菲兹(死于1389年)和贾米(1414-1492年),西北非产生了探索人类历史结构的杰出历史学家伊本?赫尔东(1332-1406年),尽管西北非终其一生都处于政治动乱之中。必须指出的是,这3位伊斯兰教文化的代表人物都不是奥斯曼人,最后两位伟大的新波斯语诗人也都生卒于萨非征服和伊朗改宗之前。

    第七十章 东正教世界(1240-1556年)

    小亚细亚西北部的尼西亚希腊人帝国和巴尔干半岛的希腊人和斯拉夫人的东正教国家,避开了1237-1240年席卷俄罗斯和1243年淹没塞尔柱拉姆苏丹国的蒙古浪潮。在巴尔干半岛只有保加利亚遭到劫掠。但到1556年东正教世界这两翼的命运却发生了逆转。1556年奥斯曼人成了南方的东正教各民族(包括14世纪建立瓦拉几亚和摩尔多瓦公国的罗马尼亚人)的主人。另一方面,到1556年俄罗斯的东北部分摆脱了金帐汗国的霸权;莫斯科的统治者成了弗拉基米尔的大公,吞并了东俄罗斯的所有公国。1547年他获得了沙皇的头衔;并且征服了两个仅存的继承金帐汗国的国家喀山(1552年)和阿斯特拉罕(1556年)。

    1240年,尼西亚帝国正在兴起,它于1235年在欧洲赢得了一个滩头阵地,1259年它在马其顿的佩拉戈尼亚击败了由一个对立的希腊人国家与两个法兰克人王国结成的同盟。这个希腊人国家是东罗马帝国在希腊西北部领土的继承者,而这两个法兰克人国家则是法国人的摩里亚公国和霍亨斯陶芬王朝治下的两西西里王国。此后,尼西亚的希腊人于1261年从最后一位法国人皇帝之手夺取了君士坦丁堡。但是,这些巨大胜利的结果却是虎头蛇尾的。1288-1299年,塞尔维亚征服了尼西亚希腊人帝国在1246年夺取的马其顿地区的北半部。1345年塞尔维亚王公斯蒂芬?杜香占领了塞雷斯;1346年他加冕为”塞尔维亚人和罗马人皇帝”。到这一时期,位于塞萨洛尼基界外的整个马其顿都落入了希腊人之手。尼西亚希腊人于1261年重新征服君士坦丁堡的代价,是将亚洲领土丢给了土库曼部落,而奥斯曼人就是其中距离最近、威胁最大的一支。到1346年,复兴的东罗马帝国已注定要灭亡。剩下的问题只是由塞尔维亚人还是由奥斯曼人成为它的继承者。

    东罗马帝国的衰落并没有削弱拜占庭艺术和拜占庭宗教事业的生命力。14世纪初,伊斯坦布尔的霍拉教堂中的镶嵌画并不比同时代佛罗伦萨艺术家乔托的绘画逊色。与此同时。希腊圣山上出现了东正教神秘主义的复兴,神秘主义者通过默祷寻求与神性的合一(自亚历山大的圣西大纳西开始的这种合一,一直是虔诚的东正教徒所宣称的目标)。在14世纪,追求这种神秘主义合一的方法是印度式的形体瑜伽。它在神学上的正统性遭到了西方基督教神学家和部分东正教神学家的怀疑。但在1351年,静修在一次东正教会会议上被宣布为正统。政治和神学是互相牵连的。1351年东正教的这次声明是对西方基督教攻击静修的回击,同时也是教皇约翰六世坎塔库泽努斯在1341-1347年东罗马内战中获胜的结果。

    这次内战使复兴的东罗马帝国最终灭亡。与战争相伴而来的是一场社会革命和神学争论。帝国在帕里奥洛吉王朝的长期统治期间(1259-1453年),农村大庄园的不断扩大和农民处境的日益恶化都达到了令人难以忍受的程度。约翰六世站在大地主一边,引起了农民激烈的反抗。革命者(”狂热派”)在从1342年到1350年的大部分时间中一直占据着塞萨洛尼基。这一期间,大地主在帝国的残余领土上遭到了野蛮的报复。

    希腊人在14世纪关于静修的争论中所表现的反西方的感情,早在第一次十字军东征时期就很明显。1204年西方基督教徒攻陷君士坦丁堡,及意大利沿海的共和国不断夺取希腊人领海内的国内贸易,进一步加深了这种反西方的感情。迈克尔八世帕里奥洛加斯,即那位重新征服君士坦丁堡的尼西亚皇帝,认识到如果没有西方基督教的友好亲善和军事支持,他们恢复的东罗马帝国就不可能生存下去;为此需要花费的代价是东正教会承认罗马教廷在教会事务中的至上地位。迈马尔八世本人在1274年承认了教皇的至上地位,约翰五世在1369年、约翰八世在1439年的佛罗伦萨会议上也都这样做了;1453年,东罗马的最后一位皇帝君士坦丁十一世在与罗马教会的宗教感情交流中去世。

    1439年在佛罗伦萨皇帝与东正教教会代表团的绝大多数成员(只有一人除外)签署了合并条例。但这次也和前几次一样,广大的东正教僧俗群众却反对根据罗马的条件进行合并。在1361年奥斯曼人占领阿德里安堡之后,君士坦丁堡已经与外世隔绝,只剩下经过达达尼尔海峡的海上通道,而在陆路上一直处在封锁之下。从此以后,所有的希腊人都清楚地看到,如果他们得不到西方基督教徒根据西方条件的救助,最后一批政治上独立的希腊人飞地势必要落到奥斯曼人之手。希腊人有意让自己处在奥斯曼的政治统治之下,因为他们感到与教皇的教会统治和热亚那与威尼斯的商业统治相比,这还是较轻的祸害。

    受《古兰经》约束,穆斯林政府有义务要允许服从的基督教臣民信奉自己的宗教。而西方基督教国家,除了威尼斯例外,都很难令人相信它们不强迫它们的东正教臣民承认教皇的至上地位。尚没有落入西方统治下的希腊人,不愿意为逃避穆斯林的统治付出这样的代价;而且,即使他们接受西方的条件,他们也怀疑西方基督教徒向他们提供军事援助的可能性。总而言之,希腊人感到愤愤不平:在希腊人的眼中,西方人不仅在文化上低希腊人一等,而且也是教派林立纷争不断,但他们现在却在财富和权力两方面都远远超过了希腊人。

    1439年佛罗伦萨合并条例的签署人之一,是俄罗斯东正教会的大主教伊西多尔。他得到了奖赏,被选为罗马的枢机主教。俄罗斯大主教仍然是君士坦丁堡主教的下级,伊西多尔本人则是希腊人。俄罗斯的主教们否决和抛弃了伊西多尔,1448年他们选举了一位土生土长的俄罗斯人担任主教。这次选举并没有得到君士坦丁堡主教的同意,是由莫斯科的弗拉基米尔大公与立陶宛大公及其在西俄罗斯的下属基辅王公共同发起的。但是俄罗斯的教士阶层并不反对君士坦丁堡主教凌驾于俄罗斯东正教会主教之上的权力,所以至少在名义上,整个俄罗斯仍然处在主教教会的管辖之下,尽管各个本地的俄罗斯公国的政治地位差别很大。

    莫斯科公园是在1328年以为金帐汗国服役而兴起的。莫斯科以金帐汗的名义惩罚了1327年反叛金帐汗的特维尔公国。1332年莫斯科王公伊凡?卡利塔受到其蒙古主人的奖赏,担任弗拉基米尔大公。他继续留在自己的城市莫斯科,因而,俄罗斯东正教会主教也将莫斯科作为主教所在地。金帐汗国利用莫斯科公国作为刽子手来对付其他俄罗斯公国固然对金帐汗国很方便,但也很短见。莫斯科逐渐一个接一个地吞并了处在金帐汗国宗主权之下的其他俄罗斯公国。与尚未处在莫斯科统治之下的其他俄罗斯公园的政权截然不同,莫斯科政权是专制的。

    西北部的两个俄罗斯人国家普斯科夫和商业城邦诺夫哥罗德仍然保持着独立。诺夫哥罗德是北德汉萨同盟的成员,控制了从挪威东部边缘到鄂毕河口的北冰洋沿岸的大片领土。1478年莫斯科吞并了诺夫哥罗德,1510年吞并了普斯科夫,这使得莫斯科公园的面积、财富和权力增加了一倍。

    在15世纪,莫斯科实际上是因金帐汗国的解体而获得了自由。大约在15世纪中叶,金帐汗国分裂成为4个小国:喀山、克里米亚、阿斯特拉罕和卡西莫夫,卡西莫夫建立于1452年,是莫斯科的附庸国。克里米亚的鞑靼人在1475年接受了奥斯曼的宗主权,他们在1502年消灭了金帐汗国的最后残余。于是,莫斯科最终吞并喀山(1552年)和阿斯特拉罕(1556年)便是不可避免的了。

    1386年立陶宛的异教王公亚盖沃当选为波兰国王,同时也从异教改宗为罗马王主教,这一事件为俄罗斯人带来了一个问题。自1237–1240年蒙古人闯入以来,立陶宛人已经乘俄罗斯退却之机将立陶宛的宗主权强加给西俄罗斯诸公国,只有1352年被波兰吞并的加利西亚是个例外。立陶宛人让西俄罗斯的王公保持自治,不干预其臣民的东正教。立陶宛人将其政府所在地定在白俄罗斯的东正教城市维尔纳。因此,异教的立陶宛政权并不令西俄罗斯人反感,它成了避免遭受金帐汗国统治这一更大祸害的保障。但这一形势后来却恶化了;1386年西俄罗斯人的立陶宛宗主变成了一个罗马天主教徒和波兰国王;1404年立陶宛占领了斯摩棱斯克,扩大了它在俄罗斯的领地。但处在立陶宛和波兰统治下的俄罗斯公国中的贵族,却感激他们在这一政权下享有的特许权,因为如果沦于自己的同胞莫斯科俄罗斯人的统治之下,即完全不同的专制就会被强加到他们头上。

    因此,在1556年莫斯科的俄罗斯沙皇尚未成为西俄罗斯的主人;但它已具有很大的权势,并且打开了向东扩张的大门。与此相反,同一时期的希腊人在政治上却处于逆境。君士坦丁堡在1453年落入奥斯曼人之手。在奥斯曼帝国于1461年吞并特拉布松帝国之后,希腊人残存的全部领土都处在奥斯曼或西方基督教的统治之下。但是,奥斯曼的统治强加给希腊人,也使希腊人在教会事务和经济方面得到了好处。

    奥斯曼苏丹穆罕默德二世把自己的非穆斯林臣民–东正教徒、格鲁吉亚人和犹太人组织成自治的社团(米勒特),每一社团都由一位宗教事务上的头面人物领导,他是奥斯曼的臣民,在奥斯曼帝国政府面前为自己的宗教同伴的行为负责。每一个社团首领的管辖范围,都不超出奥斯曼帝国本身的疆界。君士坦丁堡主教依据职权也就是全部奥斯曼东正教徒米勒特(拉姆米勒特)的首领;结果,在1516-1517年奥斯曼征服马木路克帝国之后,作为奥斯曼-米勒特首领的君士坦丁堡主教,不仅成了他自己教区臣民的民政首脑,而且也成为他的同事安条克、耶路撒冷和亚历山大的东正教主教教区臣民的民政首脑。君士坦丁堡主教还管辖居住在东格鲁吉亚、阿兰和俄罗斯的非奥斯曼的教区臣民。君士坦丁堡主教教区领地的俄罗斯部分非常广阔,并且还在继续扩展。而且,政治上分裂的俄罗斯人唯一的统一纽带就是他们作为君士坦丁堡主教教区臣民对东正教会的共同忠诚。因此,在1556年君士坦丁堡主教和莫斯科的沙皇同样是东正教世界的强有力人物,尽管主教本人是穆斯林统治者的政治臣民。与此同时,希腊人与北意大利人的经济竞争已发生了有利于希腊人的转变。从10世纪末到15世纪初,意大利人不断削弱希腊人的势力,经济上在黎凡特地区一直占优势地位。但是奥斯曼吞并热那亚人在君士坦丁堡北郊皮拉的殖民地(1453年),1463-1479年土耳其-威尼斯战争(一连串战争中的第一次)以及克里米亚战争(1475年)使意大利人在经济和政治上都遭到损失。尽管有来自西班牙的犹太难民的竞争,但胜利者仍然是奥斯曼的希腊人。新兴的奥斯曼希腊人富商正好与君士坦丁堡主教及其机构配成了一对。虽然希腊人的这两支力量的地位都岌岌可危,但结合在一起却行使着相当可观的权力。

    第七十一章 西方基督教世界(1321-1563年)

    在1050-1300年的250年间,西方基督教世界维持了宗教和文化上的统一,经济也获得了发展,人口和生产都有增长14世纪初物质上的增长减缓,1348年及其后的黑死病侵袭,使人口和耕地大幅度减少。另一方面,到1563年西方基督教世界赢得了全球性的海上控制权,但它东南部的陆上疆界同时也从1300年踞有的范围向后退缩。而且,到1563年,西方基督教世界已变成一个分崩离析互相倾轧的大家族,这种情形既表现在宗教方面,又表现在政治方面。宗教和政治两个方面的分裂在很大程度上同时发生,加剧了基督教世界的内部分裂。到如今已分裂为君主国、公国和城市国家的西方基督教世界的地方统治者们看来,决定其臣民的宗教效忠关系如同政治效忠关系一样,乃是统治者的特权。

    1348年以前,西方基督教世界就已出现经济上的衰退;黑死病把衰退变成了灾难。这种瘟疫沿水路由热那亚人在克里米亚的商业据点传至马赛,进入基督教世界。这种瘟疫一定起源于欧亚大平原或者欧亚太平原更远的某一地区。在西方基督数国家中,黑死病不是局部性的瘟疫,首次在欧洲流行便使至少三分之一的人口死亡,而且不待生存者恢复抵御能力便连续发生。西方基督数世界的人口和耕种的土地,直到16世纪初大概还没有恢复到130O年所达到的水平。这些经济后果具有革命性意义。劳工缺乏使农民获益匪浅,虽然好处并不如他们所期望的那么多,那么恒久。农业劳动力的枯竭,佛兰德、英格兰和佛罗伦萨羊毛纺织业的发展,打破了耕作与养羊业之间的均势,养羊业得到发展。

    在技术领域,14世纪西方基督教世界已传入了火器;1440-1490年西方的船只在建造和设备安装上已有飞跃性改进;15世纪下半叶,印刷技术在所有的西方国家被普遍采用。火药和印刷术是中国人的发明。13世纪蒙古人在征服来帝国的战争中使用过火药。9世纪以后印刷术即已在中国应用。

    中国印刷者使用活字印刷早于西方人,但是众多的汉字使活字印刷比雕板印刷更为不便。在朝鲜,大规模使用活字印刷开始于1403年,1446年朝鲜官方采用表音书写体字,这种表音书写体字用来表达朝鲜语,只需少量的符号。这项大有可为的发明在朝鲜是死产儿,它为中国语言文字的悠久传统威望所抑制。15世纪的西方印刷者则不受此樊篱的局限;无论是拉丁语还是各种地方语言都能用26个拉丁字母的书写体来麦达;凑巧的是,拉丁字母的古典大写体和加洛林时代的小写体,由于14世纪意大利学者的身体力行而重新复兴起来,非常理想地适用于活字印刷。西方人立即用希腊文、希伯来文和阿拉伯文印刷书籍。我们不知道谷登堡的印刷技术是他独立的个人发明,还是受中国人的启迪。欧亚大平原是个传播载体,14世纪它向西方基督教世界传送了黑死病的病菌。可以设想,100年之后它同样可以传送印刷术。

    西方人掌握印刷术只是关系到西方内部的事,而掌握火器使用方法和新式船只制造方法,却关系到全球形势。15世纪西方船队对全球海洋的征服将在第75章讨论。在西方人到达的范围内,对于西方人以外的还没有掌握火器或者没有迅速掌握火器的各民族,火器使西方海上探险者获得了决定性的军事优势。中国人已经掌握了火器;奥斯曼人、莫斯科人、印度北部的帖木儿征服者以及日本人都迅速地学会了掌握火器。阿兹特克人和印加人则灭亡了。

    15世纪下半叶印刷术在西方基督教世界的运用,推动了文化的繁荣。这种文化的繁荣开始于意大利北部,16世纪时扩展到基督教世界的其他国家。1266年安茹的查理前往征伐西西里王国,1494年法国的查理八世跨过了阿尔卑斯山。在此期间,意大利北部摆脱了外部的入侵。在1266年以前的年代中,意大利北部不断受到外敌入寇和瘟疫的侵袭。在1266-1494年这段时间里,意大利北部在西方基督教世界内创造了自己的区域性的亚文化。在西方基督教世界,8世纪文化繁荣起源于诺森伯里亚,12世纪文化大发展是在法兰西,14世纪意大利成为文化发展上的执牛耳者。

    15和16世纪之交,意大利文化和阿尔卑斯山以北的文化存在着明显的、巨大的差异,只要观察一下威斯敏斯特大教堂中王亨利七世的私人祈祷处中佛罗伦萨雕刻家皮特罗?托里贾里(1472-1522年)的作品与英国人在拱顶和高耸的雕像上的工艺,就能清楚地看出其中的差别。虽然两派艺术都宏伟壮丽,处于同一时代,但表达的思想却是迥然各异的。

    这种明显的差异是因为14世纪以后意大利北部出现了希腊-一罗马风格的复兴运动–这种复兴不仅仅限于雕刻和建筑,也表现在绘画和文学方面。雕刻家、画家和建筑师均以保存下来的希腊–罗马作品为范本而刻意效仿。用拉丁语写作的作家们试图再现西塞罗的语言,而不是圣哲罗姆或圣阿奎那的语言。14世纪,北部的意大利人开始掌握希腊语和古希腊的文学。从公元3世纪到6世纪时,希腊语和古希腊文学在西方就已过时。彼特拉克(1304-1374年)和乔万尼?薄伽丘(1313-1375年)只是粗略地掌握希腊语,但是,1439年一个希腊代表团到佛罗伦萨参加宗教会议时,所遇到的北意大利学者的希腊语却已十分娴熟,他们彼此能够讨论基督教产生前的希腊文学和哲学。为此,意大利文化繁荣在16世纪被称为”文艺复兴”,意思是希腊罗马文化的再生。倡导者被称为”人文主义者”,意思是基督教以前的希腊罗马文化的研究者和崇拜者,以此与西方基督教神学的研究者和信徒相区别。

    但是,在这个意义上使用的”文艺复兴”这个称谓,乃是不恰当的;因为希腊罗马文体的复兴仅仅是西方文化第二次自然发展繁荣的伴随物和衍生物。只是这一次文化繁荣与11世纪第一次自然发展繁荣形式不同。西方文化的第二次繁荣不是发端于伊拉斯谟(1466-1536年)以西塞罗式的拉丁语写作达到臻境之际,而是肇始于但丁决定用托斯卡纳语方言写作《神曲》之时。在此之前,但丁已经用托斯卡纳语写下了早期的诗歌。阿尔卑斯山以北的文学家们早已使用奥克语或奥依语创作诗歌,但丁只是步其后尘而已。

    近代早期的西方人对希腊罗马文化的关系是矛盾的。当希腊罗马的榜样鼓动近代人在仿效中创造出新的文化内容,成为当时西方生活方式的有益财富时,它起到了刺激促进作用;但是当希腊罗马文化诱使近代人仅仅模仿”古人”时,它的影响趋于衰微。菲力波?布鲁内莱斯基(1337-1446年)研究了罗马的哈德良先哲词后,在建筑佛罗伦萨的穹厦时,使自己的作品得以丰富。(布鲁内莱斯基未能有机会与同时代的奥斯曼人于1421年在布尔萨建造的稍微低矮些的希腊式穆斯林建筑进行交流和比较。)维琴察的安德烈亚?帕拉迪奥(1518-1580年)研究了罗马的废墟和维特鲁威论建筑的论文后,创造了独特的古典建筑风格,丰富了近代西方世界的生活色彩。在另一方面,当西吉斯孟多?潘多尔弗?马拉泰斯塔(1417-1468年)于1447年将里米尼的一座教堂东施效颦般地改造成为希腊式庙宇时,却干了一件蠢事。同时,尼科拉?马基雅弗利(1469-1527年)创造性地运用研究李维著作的成果,写出了指导近代政治和战争的实用手册,而伊拉斯谟则匠心独具地运用所掌握的西塞罗式拉丁语,向当时有限的拉丁语读者阐述了他关于道德、社会、政治和思想方面问题的见解。但是,由某些缺乏伊拉斯谟天才的人文主义者用学究气十足的拉丁语写成的文学作品,却显得肤浅简薄。

    中世纪的西方逻辑学家对拉丁语的掌握,则要健全得多。他们以西塞罗为榜样,不惮于使用新创的词汇。与人文主义者对立的宗教改革家路德,比之西塞罗式的人文主义者伊拉斯谟更多地继承了但丁的传统(同时也是彼特拉克和薄伽丘的传统)。他用方言演说,拥有比伊拉斯谟更多的听众。用托斯卡纳语写成的《神曲》,宣告了近代西方文化繁荣时期的来临,路德将《圣经》译成德文,则为文化繁荣时期建树了丰碑。

    直到15世纪中叶,近代西方文艺复兴的中心仍是意大利北部;在意大利北部,它的中心是托斯卡纳;而在托斯卡纳,则首推佛罗伦萨。但是,新的西方文化风格既不是佛罗伦萨也不是意大利的独创专利。1494年意大利再次受到外敌入侵,意大利人学究气十足地把入侵者蔑称为”蛮族”,声称新的西方文化风格乃是他们的独创,以此来回答外敌的入侵。

    佛罗伦萨之于近代西方文化繁荣的贡献,如同雅典之于公元前480年以后古希腊文化繁荣的贡献同样突出。但丁、彼特拉克、布鲁内莱斯基、柏拉图主义者马西利奥?菲奇诺(1433-1499年)、集银行家、专制君主和艺术家与学者的庇护人于一身的洛伦佐?德?梅迪契、马基雅弗利和托里贾尼都是佛罗伦萨人。薄伽丘是半个佛罗伦萨人,半个法国人。列奥纳多(1452-1519年)的诞生地芬奇,处于皮斯托亚境内,列奥纳多出生前一个世纪此地曾被佛罗伦萨合并。阿莱佐是考古学先驱波焦?布拉乔利尼(1380-1459年)的诞生地,当波焦还只有4岁时,此地就完全被佛罗伦萨合并。卡普拉斯是米开朗琪罗?邦那罗蒂(1475-1564年)的出生地,它处于阿莱佐辖区内,是台伯河发源地之一。安杰洛?安布罗吉尼(波利齐亚诺,1454-1494年)来自锡耶纳地区的蒙蒂帕希诺,乔见尼?皮科来自位于艾米利亚雷焦和库德纳交界地区的小公园米兰多拉。洛伦佐?德?梅迪契把这两位学者吸引到了佛罗伦萨。巨匠拉斐尔(拉斐洛?桑泽奥,1483-1520年)不是佛罗伦萨人,他诞生于翁布里亚的乌尔比诺,并在此长大成人。

    但是,无论佛罗伦萨还是整个意大利北部,都不是近代西方文化繁荣的唯一中心。在经济上佛兰德可与意大利北部相匹敌,同时作为第二个文化中心,在文化上也可与意大利北部相提并论。菲耶索莱是可与佛罗伦萨并驾齐驱的古城,也是第一个被划入骤然崛起的佛罗伦萨版图的邻邦。该城市有一位弗拉?安吉利科(1387-1455年),佛兰芒人简?凡?爱克(1390-1441年)与地互为伯仲;作为拉丁语学者和政治家的鹿特丹人伊拉斯谟可与他那个时代或其他任何时代的意大利人相媲美。从托斯卡纳到尼德兰,到处都有文化以及商业的落脚之地。

    与托斯卡纳和翁布里亚相比,位于亚平宁山脉东端到阿尔卑斯山之间北意大利的亚得里亚海岸,与尼德兰在地形和气候上更为相似。这种地理环境上的区别,在威尼斯画派的艺术风格上得到了反映。丁托列托(雅各布?罗布斯提,1518-1594年)和保罗?韦罗内塞(1528-1588年)与同时代的佛兰芒人皮特?勃鲁盖尔(1525-1569年)齐名。从亚得里亚海到北海,纽伦堡是中转站,与米开朗其罗和拉斐尔同时代、生于纽伦堡的匈牙利人阿尔布莱希特?丢勒(1471-1528年),可与除四大巨匠之外的任何意大利艺术家相提并论而毫不逊色。这四位巨人象国王一般盛名远扬。以致他们的教名远播四海,他们的姓氏却鲜为人知了。(第四个巨匠是威尼斯画家提香[1477-1576年]。)

    正如意大利北部的情形一样,在阿尔卑斯山以北的西方国家中,城市国家也是近代西方文化发展繁荣的摇篮,但是到1563年这些邦国中的人民也大量地加入了这一文化运动。大学数量的增加可以说明这一切。从1350年到1500年西方基督教世界的大学数量增长一倍多,中欧建立起了23所大学(23所中最早的是布拉格大学,建于1347年)。

    政治方面,大约1300年以后的250年中,13世纪神圣罗马帝国皇帝腓特烈二世的遗愿得以实现。11世纪末查士丁尼法典在西方重新发现。1194年,腓特烈二世的父亲亨利六世夺取了东罗马帝国治下的西西里王国。这一切激起了腓特烈二世的雄心,他不仅想成为德意志的专制君主,而且也想成为整个意大利乃至阿尔卑斯山以北西方大帝国的专制君主。腓特烈二世没能征服北部意大利的各城市国家,但却启发了北部意大利的统治者们奋起效尤。他们取得了成功,因为他们追求的目标比腓特烈二世小得多。14、15世纪,意大利北部绝大多数城市国家为自治公国所取代。其中有的公园(如米兰)拥有不止一个城市。有的城市虽仍然是共和政体(如威尼斯),如把其他原先是独立的北方城市置于其统治下,便可成为一个帝国。

    结果,意大利的独立城市数量增加,而城市的规模却在缩小。即使15世纪来已有相当程度发展的最大的北意大利城市(如米兰、威尼斯、佛罗伦萨和教皇国),与1563年活跃在政治舞台上的意大利之外的西方各王国的潜在力量相比也是弱小的。意大利之外的各王国包括:从10世纪以后即已出现的法兰西王国和英格兰王国;卡斯提和阿拉贡联合王国(二者于1474-1479年合并);多瑙河畔的哈布斯堡王国。哈布斯堡王国出现于1526年,是由哈布斯堡家族继承奥地利王位、波希米亚王位和被土耳其推翻的匈牙利王国的王位联合形成的。匈牙利王国从前曾经是西方基督教王国东南部独挡一面的前哨站,先是反对东罗马帝国,接着又反对土耳其帝国。15世纪西方各王国远较意大利北部各公国和共和国为先进。这些王国中产生了能力卓越的政治家,如法国的路易十一(1461-1483年在位)、费迪南德和伊莎贝拉(卡斯提和阿拉贡的统治者,1479-1504年)及英国的亨利七世(1485-1509年在位)。

    到1563年,共和制城邦仍在西方基督教世界中占有一席之地。威尼斯仍是一个强大国家,在意大利本土和黎凡特地区享有绝对统治权;热那亚仍然统治着里维埃拉的意大利部分和科西嘉;瑞士是共和制联邦;德意志城市完全享有主权,尽管名义上并不如此,其中纽伦堡和奥格斯堡两城市是国际贸易和金融中心。哈布斯堡王朝曾一度依赖奥格斯堡的富格尔家族的贷款维持经济运转。摆脱罗马教会的统治之后,在新教运动中起领导作用的是德意志的奥格斯堡和斯特拉斯堡两城市,瑞士的苏黎世、伯尔尼和巴塞尔三城市以及瑞士联邦的盟邦日内瓦。

    与此相反,为了对抗北德汉萨同盟,斯堪的纳维亚3个王国结成的联盟却因1512-1513年瑞典的退出而瓦解。1386年立陶宛和波兰结成的联盟,曾在1501年和1569年得以巩固,但它也未能使波兰-立陶宛成为一个强大的国家。不过,十分明显的是,15世纪西方国家的主要形态是君主国,而不是城邦,也不是由一个联盟、一个专制君主或一个宗主共和国统治下的城邦联盟。到1563年,曾经是西方城市国家中心地带的伦巴第和佛兰德,终于成了各君主国逐鹿争雄的战场。

    意大利北部各邦由于相互掣肘而受制于西方基督教世界的其他强国。1477-1482年,法兰西和哈布斯堡王朝瓜分了勃艮第王朝的属地以后,米兰所使用的用以阻止意大利政治统一的力量制衡术,被应用于更为广阔的范围。1525年查理五世(1519-1556年在位)在击败并俘虏法国的弗兰西斯一世之后,几近于将整个西方基督教世界置于其控制之下。但是,由于法国强烈的民族情感,政治上德国宗教改革分裂力量的阻击,他的宏愿功败垂成。1556年查理五世退位,他的理想破灭了。但是在他和他的兄弟费迪南德统治下,查理五世完成了领土的合并,其包括哈布斯堡在奥地利继承的版图、波希米亚王室的土地和匈牙利的弃地;包括西方基督教世界两大经济中心之一的尼德兰在内的前勃艮第的版图;欧洲第二个权势中心的北意大利的米兰;两西西里王国;在查理五世统治时期,领地超出了海格立斯灯塔成为”日不落”帝国的西班牙。

    1563年西方基督教世界距离政治上的统一还很遥远。如同15世纪意大利各邦互相掣肘一样,西方各国也正在勾心斗角、互相牵制。甚至在西方各国中最强大的国家,其权威也只是区域性的,而且在彼此竞争。但是自1303年法国的腓力四世羞辱教皇卜尼法斯八世之后,这些敌对的地方性世俗国家,不管国力大小,在西方基督教世界的事务中都拥有了最后的决断权。

    从1309年到1378年,各任教皇定居于阿维尼翁,并不是因为14世纪时阿维尼翁比罗马更接近于西方基督教世界的交通中心,而是因为法国王皇想把教皇置于法国境内以便于控制。1378-1417年的教会大分裂,震惊了西方基督教信徒。在这时期,教皇职位问题不仅是道德和教义上的问题,它关系到教皇职位是继续作为法国的政治财富,还是再次成为意大利人的政治财富。各地世俗政权和教皇都贪婪地征收税款;自13世纪以来,教廷千方百计地征收税款,同时各世俗政府也更多地染指教廷在它们统治范围内征收的钱财,并以此为条件才允许教廷把剩余的钱财装入口袋。

    教会大分裂的丑剧,导致了康斯坦茨宗教会议(1414-1418年)和巴塞尔宗教会议(1431-1449年)的召开。这两次宗教会议都试图把西方基督教会的教皇政府,从绝对集权的君主政体改造成为一个为议会宪章限制的君主政体。在这种有限度的君主政体中,各主教区的高级教士、宗教团体和大学的代表拥有最后的发言权,但是这种努力归于失败,它之所以失败,是因为地方世俗政权并不支持。如果宗教会议发起的这场运动能够成功,那么也许它将加强西方教会的势力,而这决不是各世俗政权所愿意看到的。一些世俗政权随心所欲地向教皇敲诈勒索,另一些世俗政权虽不再在西方教会行使”至上权力”,但却在以何种条件才能允许教皇职位继续存在下去的问题上斤斤计较。各地世俗政权都明白,从1303年以后,她们在自己的统辖范围内享有至上权力。而教皇这时的”至上权力”实际上仅被限定在他暂时行使统治权的辖区内。这些辖区有阿维尼翁周围的一小片飞地和”由查理大帝捐赠”的意大利土地的一部分。在1353-1363年间,教皇只对”由查理大帝捐赠”的土地享有实际上的统治权。所以教皇实际上只是一区区地方的小君主。

    在1303-1563年的250多年中,西方基督教世界主要的政治变化是,权力和税收从教皇和西方教会的各级机关(如修道院)转到了地方世俗政府。教廷从一个全面统辖整个基督世界的普世机构,衰败成为西方世界中无足轻重的地方公园。由于在同日益强大的地方政权斗争时吃了败仗,教皇失却了西方基督教民众对它的精神上的忠诚,教会的权威衰落,甚至在那些仍然遵奉它的西方国家也是如此。约翰?威克里夫的生卒年代(1329-1384年)极接近于教廷的阿维尼翁时期。如果奥康姆的威廉(1303-1349年)以及帕多瓦的马西利乌斯(1290-1343年)这两位敢于挑剔教皇制的人不是早死(奥康姆的威廉死于黑死病),那么他们的有生之年也与教廷的阿维尼翁时期差不多。扬?胡斯(1369-1415年)生命短暂,但并非死于疾病,而是为人所寄,他生活的时期很近于教会大分裂时期(1378-1546年)。

    这些人物以及更著名的人物路德(1483-1546年)、茨温利(1484-1531年)和加尔文(1509-1564年)的活动说明,公侯们的保护和庇佑仅仅是促成宗教改革的条件。受君王们保护的改革家本身并不是公侯。他们是单枪匹马的个人,如果没有民众的支持和君王、寡头执政者的庇护,那么在西方基督教世界的大部分地区,他们的事业也许都会流产失败。法国的腓力四世和英国的亨利八世向教皇挑衅时,都是雄居一国至高无上的主宰,并获得了臣民包括地方教士的支持。对于单枪匹马的个人,向教皇发起挑战,即使教皇已不再是炙手可热,威望显赫,那么也需要非凡的勇气。所以,路德首先于1517年在维联贝格(此时维腾贝格大学建校仅15年)、接着又于1521年在沃尔姆斯会议上挺身而出时,其行为可谓惊世骇俗。因为,同教廷决裂所产生的强烈震动迅速传播开来。胡司的捷克伙伴追随胡司的榜样,是因为他们早已敌视教皇和德国人;路德的德意志伙伴追随路德,是因为他们早已敌视教皇。不等罗马教廷的反宗教改革扭转乾坤,路德教义犹如燎原烈火迅速传遍德意志,远处波及至东南方哈布斯堡王朝统治下的蒂罗尔和施蒂里亚。苏黎世、斯特拉斯堡和日内瓦市民的民族情绪促使茨温利、布塞尔(1491-1551年)和加尔文粉墨登场。

    路德是宗教改革的先锋。如果没有他的登高一呼,那么追随他的改革者也许没有勇气同教廷决裂。但是,路德教传播的范围并没有超出德国和在文化上依附于德国的斯堪的纳维亚半岛。另一方面,加尔文教虽然从未成为占主导地位的新教派别,并且最后在它的家乡法国也遭到失败,但它的传播远远超出了它的避难地日内瓦城。加尔文新教和苏黎世的茨温利新教汇合后,向西传播至匈牙利和波兰-立陶宛,西北至德国西北部、尼德兰北部、英格兰和苏格兰。加尔文教占据了路德教盛行的德国西部边缘,在爱德华六世(1547-1553年在位)统治时期,在部分地区排挤了亨利八世时期的罗马国教,在英国生根。加尔文教在匈牙利部分地被反宗教改革运动击败,在波兰-立陶宛则被完全击败,但是,在德国西北部、尼德兰北部和苏格兰仍有它的据点。

    新教宗教改革引起了一系列的政治变革。新教在实际上肯定了德国诸侯和城市的独立地位。(在官方关系上,他们仍然是”德意志民族神圣罗马帝国”的臣民)但是,相应的社会变革并未发生。1348年西方基督教世界发生了一场黑死病,随后英国和法国爆发了不成功的农民起义,佛兰德和莱茵河沿岸城市及佛罗伦萨发生了流产的产业工人暴动。1450年、1525年英国和德国再次爆发不成功的农民起义。1534-1536年,在一位天主教诸侯统治地区明斯特的威斯特伐利亚,一些富于斗争精神的再洗礼教徒建立了一个共产主义的共和国。在反对这些革命性的社会运动中,路德和新旧数世俗政府密切协作。1525年他声言反对农民,支持诸侯。

    从原则上讲,路德认为,路德教教会应放弃干预政治。在路德看来,路德教国家中的政治乃是世俗政府的天地。相比之下,加尔文关于教会和国家之间关系的观点与教皇格列高利七世甚至卜尼法斯八世的观点更为相近。加尔文并不要求加尔文教会操纵政府的事务,但他却要求世俗的日内瓦市政府按照加尔文教会的标准进行统治。1538年他因坚持这种要求,在进行了两年统治(1536-1538年)之后被驱出日内瓦。1541年,加尔文被请回来,从此之后直到1564年去世,他在日内瓦立定了脚根。

    1494-1495年佛罗伦萨多明我派教士吉洛拉莫?萨伏那洛拉被授权执政。与1536年加尔文执掌日内瓦政权同样,萨伏那洛拉推行改革民众道德的措施。他死于1498年,不是被驱逐后又凯旋而归,而是被送上火刑柱烧死。在15世纪的西方基督教世界,意大利北部是最发展的地区;但即使是在这里,萨伏那浴拉所要完成的任务也不成熟,为了推行不成熟的理想,他曾施以残忍的惩罚手段。1517年路德谴责教皇滥用权力。在此之前,意大利已有一批教俗人员在主教乔凡尼?彼特罗?卡拉法的领导下,从教会内部开始改革教会。他们象阿西西的圣方济各一样,固守贫穷,过着圣洁的生活,做着行善积德的事。他们不是萨伏那浴拉和路德一类的改革者,而是圣方济各一类的人。他们没有引起教廷的批评和谴责,因此,卡拉法本人被推选为教皇(保罗四世,1555-1559年)。

    谴责和反抗教皇权威,同罗马教廷断然决裂,在这方面新教的创始者们是革命的,但是,正如他们的罗马天主教前辈和同辈人一样,他们本身也是独裁主义者和不宽容他人的人。虽然他们按照个人的判断和良心来反对教皇,但是他们决不允许改信新教的国家中有良心的自由,这方面比之天主教有过之而无不及。这些革命家们声称,《圣经》的权威超过教皇和宗教会议的权威。为了使每一个德国读者都能直接得到《圣经》,路德亲自将《圣经》译成了德文。每个基督徒都可以自己对《圣经》中的陈述和训谕作出解释,路德、茨温利和加尔文都利用这个权利阐释自己的神学理论;但是他们都不允许其信徒拥有同样自由解释的权利。

    16世纪新教和天主教教士同各政府达成协议,认定政府有权决定臣民的宗教信仰(教随国定)。异端分子必须离开,否则就有被处死的危险–也许是被活活烧死。再洗礼派是16世纪唯一的在原则上被容忍的教派。16世纪能容忍一些不同教派进行活动的国家有:威尼斯,波兰-立陶宛(这两个信仰罗马天主教的国家容许东正教臣民信仰自己的宗教),奥斯曼统治下的匈牙利的一部分,以及由奥斯曼人和哈布斯堡王朝交替统治的特兰西瓦尼亚自治公国。1571年以后,在特兰西瓦尼亚天主教,路德教、加尔文教和一神教4个教派均被认为合法,可自由活动。

    从13世纪的战争到教廷和腓特烈二世及其继承者去世,敏感的基督教徒越来越疏远教廷的教规。14和15世纪西方的某些基督教徒的精神活动已经从参加教会规定的宗教活动,转向个人心灵同上帝之间的交流。

    正如公元前6世纪释迦牟尼的同时代人那样,德国的多明我托钵僧梅斯特?爱克哈特(1260-1327年)也经历了自我与”终极精神实在”的统一。爱克哈特的这种神秘体验,与把”终极实在”看作是人类的神圣对应物的宗教,彼此间是不可调和的;因为,如果两个人不抛弃其独特的个性就不可能超越他们各自的独立性。爱克哈特和西方基督教会之间产生了分歧。同时代的圣山上的正统神秘主义运动(静修派)也受到了西方神学家们的责难,尽管静修派早在1351年即在一次东正教会议上得到认可。

    共生兄弟会(现代虔信派)由尼德兰人杰哈德?格鲁特(1340-1384年)所创建。格鲁特是前加尔都西会的修士。在西方基督教正统派看来,共生兄弟会不是异端,也不是反社会的。共生兄弟会从事各种活动,成员多从事教育事业,热心介绍使用印刷机,为古典学术的复兴作了准备。其信徒中最为桀骛不驯也最为著名的是伊拉斯谟。共生兄弟会过着虔诚的宗教生活,这种宗教生活尽管是正统的,但却类似不按西方教会规章行事的爱克哈特神秘主义。现代虔信派最有影响的作品《效法基督》的作者或编者坎普滕的托马斯(1379/80-1471年)作为一个奥古斯丁派修道院的修士,渡过了一生中的最后15年。

    15世纪西方基督教徒为对于死亡的恐惧所侵扰(与此形成对比的是,法老统治下的埃及人则预言死后永恒的快乐),并为十字架上基督所遭到的肉体痛苦所震慑。西方尤其是阿尔卑斯山以北国家同时代的画家、雕塑家和雕刻家,都以极端的现实主义手法表现这些主题。就其心境而言,路德是位豁达乐观的人,这种末世的可怖氛围使他对自己的罪孽冥想深思,并抛弃了依靠个人努力解脱罪孽的想法。他最终的信念是,基督把自己献给圣父上帝,从而具有了拯救人类的力量,只有信仰这一点才能够而且一定能够得救,从这一信念中,路德因此而获得了慰藉。

    这是大乘佛教在基督教中的翻版。大乘佛教认为菩萨阿弥陀佛能使信众死后进入”静土”,相信这一点就有可能得救。佛教中”静土”的说法于10世纪传到日本,12与13世纪之交被普遍接受。在日本历史上这是一个痛苦的社会和心理的过渡时期,就象西方基督教世界在15、16世纪之交一样。奥古斯丁修士路德把罪人救赎的责任由罪人自己转到基督的身上,在这方面他和其对手多明我修士台彻尔有相似之处,台彻尔把罪人得救的责任推到教皇身上。不过台彻尔不象路德那样把行动建立于信仰之上,他做的是金钱交易,完全为利益所驱使。但无论是路德还是台彻尔,都象圣方济各或坎普滕的托马斯一样,以一种更为简便的替代方式取代了对基督的艰辛的效仿。

    对相信”静土”的大乘佛教徒来说,菩萨阿弥陀佛是大慈大悲的。对路德和加尔文来说,基督教徒、犹太人和穆斯林所信仰的上帝却是不可思议、无所不能的暴君,因为上帝赞成穆罕默德和犹太经典(基督教《旧约》)中前先知书作者的主张。在穆罕默德的信念中,至少上帝给予人类一系列的警告,以使人类择善避恶免受惩罚。路德和加尔文教理中的上帝,则武断地命定了一些人得救,另一些人受惩罚。这是圣奥古斯丁对圣保罗神学的阐释。路德是奥古斯丁派修士,圣保罗理所当然成为他反对教皇权的保护伞,因为保罗是唯一可与教皇制度的创始者和庇护人圣彼得等量齐观的人。

    命定论似乎同因信得救论是水火不相害的,因为信仰是人的行为而不是上帝的行为。这两位新教创建人的两个基本信条只有在这样的前提下才能相互和谐一致,这就是:人类是一个能动体,如果他完成了信仰中的事业,那么这项事业如同他们所完成的其他事业一样,都是命定的。大乘佛教信徒认为,依靠对阿弥陀佛的信仰可以得救,它和上座部佛教对”业”的信仰更易趋同;因为,”业”虽是命定,但它是一种人为的命定,可以通过转世后的作为变好或变坏。

    新教徒废弃了教皇治下的西方基督教会的一些礼仪,这种做法在新教之前已有先例。842-845年,中国曾解散佛教寺院和尼姑庵,没收其财产,勒令僧徒还俗。在西方基督教世界,法国的腓力四世于1307-1314年曾没收圣殿修士会在法国的财产,并无情地迫害其成员,英国的爱德华二世也曾如法炮制。8、9世纪东正教世界曾禁止过偶像崇拜。11世纪西方世俗基督教士禁止结婚,1439年佛罗伦萨宗教会议上,为了迎合与西方教会不同、主张教士可以结婚的东仪天主教,教士独身的规定一度被废弃。捷克饼酒同领派,曾恢复俗人”两种形式”的交流权利。茨温利否定基督的肉和血在”圣餐面包和酒”中的”真正临在”;加尔文认为圣餐中基督的肉和血的临在只具有精神上的意义;但路德却认为是肯定的,新教各宗都仍承认,西方天主教在基督教信条中加入了”及圣子”一语。

    新教徒对犹太-基督徒-穆斯林信仰的上帝的描绘,特别是他们把命定论中令人惊悸的行为推到上帝身上,使西方的基督教人文主义者如伊拉斯谟和托马斯?莫尔爵士(今天被称为圣人)敬而远之。这些学者承认并抨击教廷在生活中的恶习和弊端,但在他们看来,这些恶习与路德的教义和灵魂相比还稍逊一筹。事实上新教神学是从伊拉斯谟的理性和圣托马斯?阿奎那的唯理主义的一次倒退。但是,除了路德之外,新教的其他创始者同时也是人文主义者。茨温利和加尔文是热情的古典学者。路德的同事腓力?梅兰希顿是维膝贝格大学的希腊语教授。梅兰希顿也和非路德派人文主义者一样,对路德命定论教义表示疑虑。路德死后,地劝说路德教会将苛刻的教义缓和一下(路德原来的教义最终还是盛行开来)。虽然在新教创建人中,路德因为不同时也是人文主义者而落落寡合,但路德仍不失为一位伟大的学者。即使他从未奋起反抗教廷,他将《圣经》译成德文的功业也足以使他英名不朽。

    罗马天主教反改革运动的领袖们,由衷地欢迎人文主义。圣依纳爵?罗耀拉(1491-1556年)为了准备他毕生的事业而接受大学教育,他创立的耶稣会(建于1540年),就象上一个世纪的共生兄弟会一样,诚挚地相信教育的作用并付诸实践。但是,圣依纳爵是作为一名军人开始工作的,耶稣会的主要特点是纪律和献身于教廷事业的精神。正如11和13世纪的情形一样,16世纪的一位伟大人物把教皇从因以前的恶行而即将遭受的灭顶之灾中拯救了出来。圣方济各的精神同格列高利七世和圣依纳爵的精神是对立的,但教廷从这3位救星所共有的忠诚中却获益良多。从1545年到1563年,特伦托宗教会议时断时续地召开,它肯定了教皇对罗马天主教其他部分的君主地位,但同时也指出了教会的恶行。假如这些改革措施的颁布和实行,能够在也应该在1414-1517年之间的某个时候颁布和实行的话,路德或许永远也不会被激怒,并进而做出使他因此而名垂千古的事业。

    第七十二章 东南亚(1190-1511年)

    1190-1511年间的3个世纪中,东南亚在政治上、人种上和宗教上经历了巨大的变化:蒙古人的袭击遭到失败;操大陆东亚单音节诸语言的民族–尤其是泰族不断向南定居并建立了政治统治;僧伽罗人的上座部佛教及伊斯兰教逐渐传播;最后,来自西方基督教世界的葡萄牙航海者又不期而至。

    蒙古入侵者在东南亚陆海两路却未能取得成功。他们在1257年、1285年和1287年三度占领了现属越南北部的地区,但越南人每一次都迫使他们节节后退。1285年,蒙古人通过越南北部征服占婆的企图也被占人击败。1287年,蒙古人的确成功地占领了上缅甸蒲甘王国,但他们在1303年退出这一地区。在大陆东南亚,与1261-1303年间在叙利亚一样,当蒙古人遇到坚决的军事抵抗时,在后勤上处于不利地位的形势下,他们被这一战场与他们远在欧亚大平原东北边缘的基地之间的遥远距离击败了。蒙古人于1292-1293年对爪哇发动的海上远征,与1274年和1281年对日本进行的海上远征一样,也遭到了灾难性的失败。

    信奉大乘佛教的爪哇胜利者,于1293年建立了满者伯夷帝国。这是印度尼西亚最后一个前伊斯兰时期的帝国。苏门答腊的长寿帝国室利佛逝在击退蒙古人的斗争中没有发挥任何作用。泰族人对它在马来半岛上的领土施加军事压力,这使它遭到了削弱。满者伯夷帝国在爪哇的兴起,以及1295年前后伊斯兰教传入苏门答腊西北部,使它进一步遭到削弱。但没有明确的证据表明苏门答腊是否落入了满者伯夷统治之下,或是否成了它的附属国。

    满者伯夷帝国在大约1513-1528年间被皈依了伊斯兰教的一些爪哇小国联合推翻。一位苏门答腊夏连特的王子拜里迷苏刺,娶王朝一位公主为妻,他于1403年建立了马六甲城,这座名城位于以它命名的马六甲海峡靠大陆一端的海岸上。到1414年,拜里迷苏刺皈依了伊斯兰教,取名穆罕默德?伊斯坎达尔?沙,马六甲也成为伊斯兰教传入印度尼西亚的基地。从8世纪起,来自波斯湾沿岸各港口的阿拉伯和伊朗穆斯林水手就在伊斯兰世界和中国之间的海洋上航行,建立商业基地,并沿途在大陆和岛屿沿岸对当地居民进行劝化。在印度尼西亚,这一进程由于马六甲城的建立和皈依而得到了新的推动。然而,与印度次大陆的经历形成对照的是,在东南亚大陆和岛屿,伊斯兰教的统治不是通过武装力量强加的。伊斯兰教在这里的传播是当地统治者及其臣民自愿接受的,但这种皈依只是浮浅的。印尼人把信奉伊斯兰教与保留他们在过去1000年中接受的印度文化相互融和起来。在伊斯兰教的外表下,他们传统的印度主义仍然保持着活力。《摩诃婆罗多》仍然比《古兰经》更能温暖印尼人的心房,激发他们的想象力。

    1190年传入缅甸的僧伽罗上座部佛教,于13世纪从孟人和缅甸人那里传给掸人、泰人、老挝人和柬埔寨人。上座部佛教与这些民族的当地宗教相互交融,成为每个民族的大众化的国教。这样,它就把大乘佛教和印度教从这里驱逐了出去。大乘佛教和印度数很早以前就从印度传入了东南亚,但也只局限在少数上层人物的圈子里。上座部佛教取代这些早期东南亚的印度宗教,使东南亚大部分地区仍然处在印度文化的势力范围内。印度文化只是在印度尼西亚和大陆马来亚丧失了地盘,在那里,它的表面被涂上了一层伊斯兰教色彩;另外还有东部海岸,向南扩张的越南人带来了中国的儒教和大乘佛教。

    16世纪早期北方民族向南方的扩散改变了东南亚的人种地图。1535-1539年间,缅甸人在伊洛瓦底江下游完成了始于11世纪的对孟人的征服。越南人于939年摆脱中国对他们的祖国,即现属越南北部的地区统治以后不到40年,就开始发动对占婆的袭击。到1000年,越南人已经吞并了占婆最北部的3个省份。1312年他们取得了对占婆其他地区的宗主权。1471年越南吞并了除南部一块残余地区以外的占婆全部地区,17世纪又征服了这块地区,并向南方继续推进,以柬埔寨为牺牲,占领了湄公河三角洲,并向那里殖民。幸存的占婆人则成为了穆斯林。

    泰人、掸人和老挝人所讲的语言非常接近,同属大陆东南亚单音节语族中的汉-泰语文。建国于现属中国西南省份云南的泰人王国南诏,于8-9世纪在缅甸人到达以前征服了伊洛瓦底江流域,并向中国发起袭击,他们袭击的地区包括现在越南北部,当时那里是中国的一个行省。此后,泰人移民开始进入萨尔温江和湄公河流域,并在湄南河源头地区定居。1253年,南诏被蒙古征服。这个泰人的故乡随后就被汉化,伊斯兰教在这里扎根,而这种发展在13世纪后半期向泰人南移提供了新的推动,他们进入湄南河流域和马来半岛北部,而湄南河流域的孟人和柬埔寨的高棉王国便成了他们的牺牲品。

    如果泰人象越南人那样带来了中国文明,他们向南方的扩张就将改变中国文明和印度文明的边界,扩大中国文明的范围。但是泰人皈依了1190年就已扎根缅甸的上座部佛教。这使泰人落入了印度文明的疆域之内。

    因此,到1511年葡萄牙人占领马六甲的时候,东南亚已经形成4种宗教并存的局面。其中两种宗教即上座部佛教和伊斯兰教相对来说是较晚传入此地的。上座部征服了几乎整个大陆东南亚,只有越南、占婆的残余部分和马来半岛最南端除外。越南人是中国流派的大乘佛教徒。占人和大陆马来人成了穆斯林。海岛马来人表面上成了穆斯林,但实际上仍然是印度教徒。巴厘岛上的马来人仍然是虔诚的印度教徒。在婆罗洲、沿海地区的马来人成了穆斯林,但在广大的内地,他们仍然是异教徒。

    第七十三章 东亚(1281-1644年)

    1279年,中国有史以来第一次完全处于异族征服者的统治之下,除了在越南北方之外股有残存下任何一个政治上独立的中国人的政权。越南北方曾经是中国的一个省,但早在939年即已脱离了中国。从那时起,它使自己独具特色的当地形式的中国文明得到了发展。中国在1279年的经历,类似印度的维查耶那加尔帝国1565年降落时的经历。只不过与穆斯林军队越过旁遮普征服印度的进程(1202-1565年)相比,蒙古人对中国的征服要迅速和彻底得多。

    日本在13世纪的经历与中国不同。1281年,日本成功地击退了蒙古人对她的第二次进攻。那是蒙古人对她的两次进攻中更为可怕的一次。正是镰仓的北条家族的有力统治,才使得日本免遭蒙古人的统治而保持了自由。但是在击退蒙古人之后,随之而来的却是北条氏政权的衰落和覆灭。1281-1614年间,是日本政治史上到那时为止无政府状态最为严重的时期。另一方面,蒙古人1279年完成的对中国的征服,再度带来了中国政治上的统一–尽管这是在异族统治之下的统一。自从中央集权的唐朝在874年终于瓦解之后,这种政治上的统一就逐步地受到了削弱。从1279年到1911年,这一重建的中国政治上的统一一直维持下来,尽管重新统一的中国事实上只是在大约1382一1631年间是处在中国本土居民的统治之下。

    在蒙古人的统治下,政治上重新统一起来的中国,变成了短命但却庞大的蒙古帝国的重心。蒙古大汗忽必烈(1260-1294年在位)于1260-1267年把他的都城从哈刺和林迁到了北京,又于1289年完成了把大运河从杭州延伸至北京的工程。大运河的延伸,使得把北京所需的稻米经内河从中国南方运到北京成为可能。1271年,忽必烈建立了一个新的中国王朝–元朝,它将由忽必烈的家族世代继承。

    在蒙古帝国的西部封地中,占有伊朗和伊拉克的伊儿汗国,是忽必烈的弟弟旭烈兀在忽必烈的率先赞同下建立的,因此它与中国有着最紧密的联系。伊朗的视觉艺术和陶艺受到中国长期的影响,也正是因为这个缘故。在前蒙古人的时代,中国的技术(例如造纸术)已经通过伊斯兰世界向西传播到了基督教国家。

    中国的蒙古统治者与他们的处于各个社会阶层的中国臣民之间,依然存在着隔阂。蒙古人在中国任用信奉基督教或伊斯兰教的异族行政官员,而听任那些不被任用的儒生们用小说和戏剧这两种文学形式自然地延续中国的文明。中国人与蒙古人祖传的生活方式的不同,造成了他们相互间的反感,也阻碍了双方文化上的同化。于是蒙古人在中国的统治也就不可避免地是短暂的。遍及全国各地的反抗开始于14世纪40年代。在中国的彼此争斗的造反者当中,朱元璋(1328-1398年)独成霸业。这位中国历史上第四次统一天下的帝王,象第二次统一天下的帝王刘邦一样,出身于中国南北方之间淮河流域一个地位卑微的家庭。1368年,洪武皇帝朱元璋建立了明朝。到1382年,他不仅把蒙古人从中国的长城之内驱赶出去,并且消灭了所有国内的汉族竞争者。

    洪武皇帝在1356年攻下了南京(南方的都城),他仍将南京作为再度统一后的中国的都城。但是到了1421年,他的第四个儿子,也是第二代王位继承人的永乐皇帝(1403-1424年在位),把都城搬回到北京。北京曾经是元朝以及元朝之前的金朝(女真人建立)的都城,在那之前还曾是辽代(契丹人建立)的南部。遭受蒙古人征服和统治的经历,造成了中国人对异族的畏惧和憎恨。北京地处中国长城以内部分的最东北隅,距离南方的稻米产区极为遥远,选择这样一个为他们所痛恨的蛮族征服者的都城作新都,这表明永乐皇帝及其后继者们最为关心的事,就是对付始终存在的蒙古人的威胁。

    蒙古人已经被赶出了中国,但他们仍然生活在故乡的大草原上,他们可以从那里再度进攻中国。极西部的蒙古人厄鲁特部尤富侵略性。永乐皇帝在大草原上进行了5次战役,但是就象西徐亚人曾避开大流士一世,匈奴人曾避开汉武帝和他的帝位继承者们一样,蒙古人成功地避开了永乐皇帝的追杀。1449年厄鲁特的汗王也先打败并俘虏了当时的明朝皇帝,并且包围了北京。但是,就象君士坦丁堡的城墙挡住了保加利亚的西米恩一样,北京的城墙也挡住了也先汗。明朝在1449年遭到的军事上的大失败,并未导致与宋朝在1126年以及东罗马帝国在1071年的失败相同的悲惨结局。

    明朝再度恢复了通过对儒家经典的竞争性考试来选拔文官的制度(这套制度最初是由汉武帝在公元前2世纪时创设的。6世纪末,由隋朝第一次恢复)。这套制度后来变成了一种僵死的形式,它一直保持到1905年取消科举考试和1911年废除皇帝统治时为止。在当时的官府中为官的儒生数量,与那个庞大帝国的人口和面积相比,总显得微不足道。实际上协助他们完成任务的,是地方上那些未受过儒家教育的刀笔吏。地方上取得了各等级功名的士绅也与他们合作。这些人自愿地处理地方政务,而不领官俸。(他们是当地的地主,其地租收入既要用来养家,又要用来从政。)

    成功地通过科举考试并非获取功名的唯一途径。这种功名可以被作为一种荣誉授予某人,也可以用钱来买。无论是怎样获得的,它都能使获得者受到高度的尊敬,同时也给获得功名的人强加上一项没有明文规定的责任–或是作为一个食俸禄的政府官吏,或是作为一个无官俸的拥有土地的地方士绅–以尽自己的公共职责。

    土生土长的中国人重建了自己的王朝。与元朝之前历代的统治者们相比,明朝的统治者更加崇奉、也更加依恋中国的文化传统。在1403-1407年间,永乐皇帝发起编纂了一部百科全书,它的修改本数达22877卷,分装成11095册,这还不包括60卷的内容目录。这部巨书以手写本的形式保存下来。印刷这部巨书甚至超出了中国的技术和经济能力。

    《永乐大典》着眼于过去,但明代的中国文学和哲学却仍是有生气的。大量的小说和戏剧不断涌现出来,12世纪时由朱熹公式化了的儒家学说仍然受到挑战。它以自己无可比拟的系统性和完整性,一直保住了作为考试科目之一的地位。新的儒学派别的分裂,到朱熹时并未结束。这种分裂始自11世纪时程颢、程颐兄弟的分歧,而朱熹则发展了程颐的学说体系。

    王阳明(王守仁,1472-1529年)是程颢学说体系最卓越的拥护者。在王阳明看来,人的心与万事万物之理彼此都是同一的。而在朱熹看来,理是由体现为人和物的气聚结而成的,这些气又独立于任何人的心而存在。这两个抽象的观点之间显然存在着重大的差别,人们也能觉察出这两个新儒学派别都受到了佛教哲学的潜在但却是重大的影响。然而,中国所有的思想家,在中国历史上的所有时期,更为关心的都是道德规范和人的活动,而不是抽象的哲学思辨。只有道家是唯一的例外。

    在那些其观点仅仅带有佛教色彩,但却并未受到西方哲学影响的伟大的中国思想家中,王阳明是最后的一位。第一批葡萄牙航海家已于1514年,也就是王阳明去世前15年,到达了中国。

    在一批又一批征服中国的异族人中,接受儒家生活方式最少的是蒙古人,最多的则是满洲人。所以,对于饱学的中国臣仆来说,蒙古人最难接近,而满洲人则最易于相处。满洲人并非欧亚大平原上的游牧民族。如同金朝的建立者一样,他们来自东北的深山密林中,是女真族的猎人和靠采食野生植物为生的初民。明朝的永乐皇帝曾通过把女真人的部落编入几个辖区,由他们所敬重的本部首领进行管理的办法,把满洲并入中国。

    在进占中国本土之前,满洲人曾自动地使自己汉化。1599年,满洲政权的创建者努尔哈赤采用了蒙古人加以改造的古叙利亚字母来记录女真(满洲)语言,此后汉文的古籍也被译成了满文。但识字很快的满洲人就宁愿直接阅读和书写汉字的方块字。努尔哈赤曾创建了一支由3个民族组成的军队,它包括汉人、蒙古人和满洲人的部落。1618年,他占据了辽东,那是汉族人居住的长城向外突出地区的一部分。1626年,他迁都于中国本土的盛京(今名沈阳),并任用了一些汉族的行政官员。

    努尔哈赤之子皇太极在1636年把他的王朝命名为”清朝”。1644年,当北京被一名起义的汉族人率众包围时,明朝的最后一位皇帝在那里自杀了。同年,满洲人占领了北京。一位汉族的将帅帮助了满洲人。一些汉族的文臣们也支持满洲人。他们宁愿选择满洲人的政权,也不愿接受一位刚刚推翻了明朝的汉族篡位者的统治。随后满洲人建立了对中国其余部分的统治,但并非没有受到抵抗。直到1683年,满洲人才占领了台湾。然而,对各个阶级、阶层的中国人来说,满洲人对中国的征服,与4个世纪之前蒙古人对中国的征服相比,其造成的物质上的破坏和心理上的创伤,都要更轻一些。

    在日本,1331年由后醍醐天皇(1318-1339年在位)策划的一次流产的政变,导致了北条家族的统治被推翻和镰仓幕府本身在1335年的灭亡。1338年,幕府的所在地迁至京都,实权也落入足利家族手中。但是这个新的政权从未能有效地统治整个日大。1185年,源赖朝曾建立起对整个日本的统治,1281年,在击退了蒙古人的第二次入侵之后,镰仓幕府的北条政权曾维持了这样的统治。足利家族掌权后,这样的统一政权就不复存在了。

    足利幕府甚至未能立即控制京都周围的地区。被足利尊氏从京都驱赶出来的后醍醐天皇,重新当上了傀儡皇帝,在京都以南的山区维持着一个独立的政权。这种王朝分裂的局面从1336年持续到1392年。与此同时,各地的大名变成了事实上独立的诸侯王。1467-1477年持续10年之久的一场内战–应仁之乱,把京都的街道变成了战场。在此之后,足利氏的统治权力丧失殆尽。日莲宗和神道教这两个佛教派别为他们自己在各地扩充实力,并与当地的世俗诸侯王联合在一起。从1532年到1536年,在京都地区爆发了佛教势力之间的战争。一方是神道教和日莲宗的信徒,另一方是属于旧宗派的寺院僧兵。在这场佛教寺院间的战争中,交战双方都倾其所有力量投入战斗。

    足利幕府时期(1338-1573年)政治上的无政府状态,与中国统一前的战国时期相似。令人费解的是,与这种状态相伴随的,却是经济上、文化上所焕发出的勃勃生机。日本人对蒙古人未获成功的海上进攻的还击,一度成为针对中国沿海的海上私人冒险事业。从元朝到明朝,日本人的这种刺激性的活动延续下来。1404年,足利政权承认了中国对日本名义上的家主权,并且勉强同意了中华帝国政府试图强加在中日间贸易额上的限制。而实际上,日本的民间海盗商人漠视两国政府间的协定,与一些中国平民相勾结,继续从事他们的活动。

    在日本国内,经济活动在增加,物质生活水平在提高,自12世纪后半期以来即被把持在地方武士阶层手中的垄断权力,也受到了两股势力的削弱,其一是在日本内战中其地位日渐重要的农民武装,其二是新出现的工业和商业的行会以及自由的城市。地处今日大皈以南的桥市,就是这类自由城市的典型。然而,这一时期也是日本贱民阶级开始产生的时期。

    文化方面,禅宗作为日本大乘佛教的一种形式,尤为贵族武士所偏爱。足利时代不仅经历了对于禅宗的经久不衰的兴趣,而且,在这一时代的末年–最为无政府状态的年代,它还经历了茶道的形成和完善。统治者是把茶道作为与武士们日渐增长的残暴性相对抗的一种文化模式加以提倡的。在视觉艺术领域,足利时代日本产生了模仿中国宋朝风格的山水画大家,还产生了花道(一种独特的日本艺术)。更为辉煌的文化成就,是大约产生于1350年至1450年的一种戏剧形式–能。此类剧目的情节是传统的和为观众所熟悉的,演员都戴着面具,动作、台词、声调、演唱和配乐都别具一格。14世纪这种日本能剧,在上述所有方面都是公元前5世纪希腊雅典狂欢节戏剧在东亚的翻版。

    日本政治上的无政府状态在16世纪达于极点。此后,国家在3个军阀前后相继的努力下重新在政治上统一和稳定起来。这三个军阀是:织田信长(1534-1582年)、丰臣秀吉(1536-1598年)和德川家康(1543-1616年)。这些建立统一功业的人用火器与他们的对手作战。火器是在1542年或1543年由首批踏上日本土地的葡萄牙人带到那里的,它在最初传入日本的20年间就被普遍地应用于战争中了。

    织田信长在1568年攻占了京都,并于1573年消灭了那里的足利幕府。1582年,他被一位反叛他的家臣杀害,但织田信长的另一位家臣丰臣秀吉立即打败并杀死了反叛者。到1590年时,丰臣秀吉成了整个日本的主宰。他与德川家康合作,于同年将后者安置在关东。1592-1593年以及1597-1598年,丰臣秀吉两度侵略朝鲜,但朝鲜进行了强有力的反击。丰臣秀吉准备把侵略朝鲜的战役作为侵略中国的序幕。他死于1598年3月。他的死与1405年帖木儿(跛者)的死一样,为中国的明朝减缓了严重而迫在眉睫的危险。德川家康在1600年的关原大战中获胜,从而赢得了在丰臣秀吉权力继承问题上的那场斗争。1603年,德川家康从京都毫无实权的皇室那里取得了将军的称号。1615年,德川家康攻陷了一直由丰臣秀吉之子丰臣秀赖固守的大阪城,此举使他成为全日本无可争辩的主宰。

    德川家康有效地掌握着事实上的统治权,最大限度地保全了面子,最小限度地进行政治上的变革。这类似于汉朝的刘邦和奥古斯都,而与秦始皇和凯撒则形成鲜明对比。京都的天皇被允许继续保留名义上的统治权,但是德川家康在江户(今名东京)的幕府,却如同当年在镰仓的源赖朝和北条政权那样,控制着日本的经济重心关东。地方上的诸侯(大名)并没有被废黜,但却因德川政权的巧妙安排而变得顺从和虚弱了。这种巧妙的安排是为了防止他们联合起来反对德川政权,也是为了逐渐地在经济上搞垮他们。德川政权统治下(1600-1868年)的日本的政治地图,与公元前264年到公元前90年的意大利半岛的政治地图是相似的。

    1622年到1641年间,基督教的传播在日本几乎完全被禁止,日本被与人类文明中心的其余部分隔绝开来,这种做法加强了德川幕府对日本的控制。第75章将谈及这方面的内容。

    第七十四章 中美洲文明和安第斯文明(1428-1519年)

    在15世纪,中美洲社会与安第斯社会在政治上几乎同时被一个包含该社会版图大部分的帝国所囊括。在每一个场合,建立帝国的工作都是由一个来到当地时间相对较迟的民族完成的;这个民族后来才将其政治统治扩大到最初的地域之外。阿兹特克人(别称墨西哥人)从北部沙漠来到了墨西哥谷;印加人起源何处现已不为人所知,但考古学证据显示他们并不是最早占据库斯科的人。据我们所知,阿兹特克人是中美洲世界第一批征服者,他们在此创造了一个几乎覆盖全境的帝国。在安第斯世界,假如查文和蒂亚瓦纳科风格的建筑、视觉艺术及文化的其他物质载体的广泛传播,伴随着地理上与这两个安第斯文化的先前阶段并存的政治统一,那么印加帝国就可能具有光驱者。不过考古学并未提供说明这种政治状况的证据。

    以图拉为首都的托尔托克帝国于12世纪的崩溃,为阿兹特克人在15世纪建立帝国提供了机会。早在公元600年左右特奥蒂瓦坎城毁灭之际,墨西哥高原南端的湖区就开始成为容纳解体的文明社会难民的收容所。在托尔托克帝国崩溃之后,湖区接受了另一批大量涌入的难民;但北方的蛮族劫掠者接踵而至。结果到13世纪中期,湖区出现了许多政治上独立的城邦共同体,这些共同体具有混合的民族成份和多样化的义化。它们彼此之间的主要联系是纳瓦语,这种语言起源于北方的蛮族,到13世纪已成为墨西哥流域大多数居民的语言。

    阿兹特克人是一支四处游荡的蛮族,他们闯入湖区的时候该地已经为稳定的城邦共同体所占据。与后”古典”时期的中美洲居民一样,阿兹特克人极度喜好战争和非战争的人祭牺牲。他们是不受欢迎的闯入者,在14世纪下半期他们最终定居在特斯科科湖西南湾一些无人居住的小岛上。

    阿兹特克人改造了这一新的恶劣环境,使之适于人居住。他们清除了茂密的水草,在捆扎结实的木筏上堆上土壤,再覆盖一层湖底的淤泥,使之成为既容易耕种又肥沃多产的粮田。在物质匮乏的压力下,阿兹特克人成了熟练的农学家和城镇规划师。结果他们也成了将商业与军事情报工作结合在一起的长途跋涉的商人。阿兹特克人采纳了中美洲人精确的历法体系,他们将自己祖先的宗教与当地前辈的宗教结合起来,创造了一种象印度教那样复杂的诸神体系和宗教仪式。同印度教徒一样,阿兹特克人也认为时间是一个个前后相继的时代,每一时代都包含了许多年。他们还创造了一种由表意符号和双关音素构成的文字,它比传统的中美洲雕刻文字更为方便灵巧;阿兹特克人还创作了一些反映内心世界的优美诗歌。但自始至终阿兹特克人都醉心于人祭牺牲和战争:他们用令人恐怖的方式将活生生的牺牲者的心挑出来,认为战争是捕获为其宗教所需的大量献祭用的牺牲者的必要手段。人祭牺牲的必然结果是形成吃人肉的习俗。

    征服中美洲的西班牙人看到人祭的场景时十分恐惧。(自公元前206年迦太基迦南人的统治结束之后,这种仪式在西班牙便不再流行,尽管西班牙人在战争中仍然继续屠杀自己的同胞,并且处死宗教异端。)西班牙人证明了自己的诚意:他们迫使自己在中美洲最早的同盟者停止使用人祭,不惜冒疏远他们的危险。在大西洋彼岸的战争中,基督徒和穆斯林也象中美洲人一样渴望捕获战俘,但他们夺取战俘的目的不是为了向神祗提供牺牲,而是要赚取赎金充实自己的腰包。在中美洲捕获战俘的动机并非出于经济利益,它源于这样一个信仰,即如果不用人的心脏持续不断地供奉神祗,那么这些神祗就会丧失自己保存现有宇宙的能力。

    贪婪使得西欧基督教的好战者更人道地对待战俘。但是同样的贪婪也驱使他们为得到关于隐藏宝藏的情报而严刑拷打阿兹特克和印加人战俘。西方基督教徒16世纪在新世界、以及在此之前于1204年劫掠君士坦丁堡的行动中已表现出极大的贪婪。这种贪婪到20世纪70年代随着他们的技术发展而同步增长,使他们得以放纵自己无休无止的欲望。到70年代他们的自我放纵使生物圈受到无法居住的威胁:他们污染它,耗净它不可替代的自然资源。西方人实际上是采用一切恶劣的手段使人类陷入中美洲人曾经担忧的灾难。在中美洲人看来,西班牙人对人祭牺牲的否决是赤裸裸地滥用强权。既应该通过西方基督教徒的眼光,也应该通过中美洲人的眼光看待中美洲人和他们的西方基督教征服者之间的争端。

    阿兹特克人是通过充任帝国的建立者、阿兹卡波察尔科城邦统治者的雇佣军而获得军事和政治力量的。阿兹卡波察尔科城邦于1230年被来自特奥蒂瓦坎难民的后裔、蛮族特帕内克人所占领。1428年,两个阿兹特克人岛上城邦之一的特诺奇蒂特兰的阿兹特克人侵占了他们曾作为雇佣军帮助建立起来的位于湖区的特帕内克帝国。这一行动的幕后策划者是特拉卡勒尔,他曾担任特诺奇蒂特兰连续3位统治者的政治顾问。(特诺奇蒂特兰的阿兹特克统治者与阿拉伯倭马亚哈里发一样,其正式称呼不是”国王”而是”谘议会主席”。)特拉卡勒尔的第一步行动是吞并了特诺奇蒂特兰的另一个阿兹特克人城邦和北方近邻特拉特洛尔科。同时,他还与两个当地城邦特斯科科湖东岸的阿科卢安人国家特斯科科和湖西岸的特拉科潘结成了同盟。

    在特诺奇蒂特兰霸权之下的力量集中,使得阿兹特克人能够建立起一个帝国。到1519年,即科尔特斯登陆的那一年,该帝国已经横贯中美洲,地域扩大到东西海岸,控制了特万特佩克地峡的大西洋一端和太平洋一端;而且在地峡以东,该帝国还包括了延伸到今天墨西哥和危地马拉边界以西的太平洋沿岸。

    这个阿兹特克-阿科卢安帝国极其广阔,但它并非无所不包。湖区东部的城邦国家特拉斯卡拉在政治上虽不是阿兹特克-阿科卢安同盟的对手,但特拉卡勒尔故意让其保持政治独立,安排这两个力量悬殊的对手举行定期的”花季战争”,在这种战争中双方的目的都是捕获双方维持人祭牺牲所需的战俘。帝国境内还有其他一些飞地,帝国同盟曾试图征服这些飞地,但没有成功。阿兹特克-阿科卢安帝国最显著的军事失利是未能征服其西部邻居塔拉斯科人,后者与阿兹特克人一样也拥有青铜武器。

    那些沦入阿兹特克-阿科卢安统治之下的民族的处境十分艰难。控制这些被征服民族的方法,部分是在他们的居住区设立永久性要塞,而更多地是采用恐怖手段。在强迫之下,这些民族不得不交纳沉重的贡赋,它包括用于人祭的男孩和女孩、食物、纺织品、宝石、金银以及其他珍贵的物品。组成帝国的城邦国家–无论是占统治地位的少数派,还是被统治的多数派,都具有完善的国内社会和政治法规,但帝国的行政机构却很原始:走乡串户的阿兹台克商人兼任情报官员,帝国政府在被征服地区的主要代表是税务官。

    大约在1428年,中美洲的阿兹特克帝国创立10年之后,印加人开始把自己的统治扩大到安第斯世界。在库斯科的第八位印加人统治者华通?图帕克之前(通常被称为维拉科查–这一名称原是称呼印加人造物神的,华通?图帕克用来借称自己),库斯科仅仅是安第斯高地许多本地国家之一。维拉科查向东南方扩展其版图,而当地其他国家也同时向外扩张。在库斯科西部,昌卡人征服了印加人的近邻和同宗克丘亚人。大约在1438年,昌卡人进攻库斯科;维拉科查和他们继承者退到了偏远地区,但维拉科查的另外两个儿子库西?尤潘基(亦名帕查库提)和罗卡在奋不顾身的巷战中保卫了库斯科,使其免于陷落。

    在赢得这场关键性的胜利之后,帕查库提获取了印加王位,开始对外征服,他不仅吞并了战败的昌卡人的领土,而且还吞并了安第斯世界其余部分。他的副手最初是其弟卡帕克?尤潘基,从1460年起改为帕查库提自己的儿子和继承人托帕?印加?尤潘基(1471-1493年在位)。

    印加帝国的创立者们最初征服和吞并了高地的其他部分,东南达到高原上的的喀喀湖盆地,西北达到今天厄瓜多尔的首都基多。从高地出发,托帕?印加又进入厄瓜多尔海岸,向一些海岛派出海上远征军,侵入和征服了3个沿海国家中最靠北面、面积最大、人口最多的奇穆,并且越过了奇穆未设防的北部边界。奇穆的抵抗与厄瓜多尔高地上卡尼亚尔人和基多人的抵抗相比更为微弱,奇穆以南的这两个沿海国家大概在奇穆投降后不久就屈服了。

    大约在1471年托帕?印加的父亲退位,托帕?印加成了皇帝。在此之后,他曾经派兵远征安第斯山大西洋一边热带森林中的民族,但并未获得成功。的的喀喀湖一带高原上被征服民族的一次反叛,使得托帕?印加回过头来征服了这些民族,并进一步征服了今天的玻利维亚、阿根廷西北部高地以及今天智利的全部,向南达到马乌莱河北岸。托帕的儿子和继承人提图?库西?瓦尔帕(瓦依纳?卡帕克,约1493-1525/1527年在位)征服了北厄瓜多尔高地,但该地的抵抗十分激烈,以至这位皇帝不得不留在这一偏远的交战地区治理着自己庞大的帝国。他生前再也没有返回库斯科,尽管库斯科不仅是印加帝国的政治中心和首都,而且也是帝国的交通枢纽。

    印加帝国的面积要超过阿兹特克帝国,但人口规模可能并未相应地超过阿兹特克帝国,因为它的许多领土并没有人居住。在面积上,印加帝国与第一波斯帝国、中华帝国和罗马帝国相当。但是印加人没有有轮子的运载工具,尽管他们比阿兹特克人的装备要好一些,有一种运物牲口美洲驼,但美洲驼的最大载重量与驮马比起来要少许多。印加人不象阿兹特克人那样已经有了文字符号。他们只有绳结语:结绳记事。这些结绳符号颜色不同,绳结环绕的次数也不相同;这些差别具有不同的意义,但只有专家才能理解这些意义;专家的本领是通过口授掌握的,并且通过口授将自己的知识传授给继承人。绳结语并不是不解自明的,而一种文字则对任何掌握了一种书写符号体系的人来说,它的意思都是相同的。但就是凭着这种不完善的记忆方法,印加人仍然尽可能仔细地管理着自己庞大帝国的人口和资源。

    尽管地形十分困难,印加人的运输手段都很好。高原上有高高的山口和深深的峡谷。沿着海岸,可灌溉的河流平原彼此之间都被广阔的沙漠相隔。用藤类植物制成的绳索吊桥连接着跨越峡谷的道路。在道路的沿途间或还有一座座备有生活设施的旅舍。商旅的驿马运送着旅客和货物。帝国的形状呈狭长的带状。有两条平行的大道,一条穿越高原–那简直是一个工程奇迹,即使它只能算是一条小道。第二条大道与海岸线平行。在从高原流向大海的河网地带还有连接其他路段的叉路。

    为了得到额外的行政官员和军官,印加帝国授于被友好合并的外族中的贵族成员以印加人的地位,从而扩大了印加统治阶级。印加军队则招募被征服的敌人入伍,比如征召尚武好斗的昌卡人和卡尼亚尔人。控制被吞并地区的方法是大规模地迁移人口。大量的顺民被迁移到心怀不满的被征服民族之中,并且将后者的一部分放逐到效忠帝国的居民聚居地区。但在这样做的同时,又要设法使这些移民与他们原来的社团保持联系,并且将他们安置在气候与其故乡大致相同的地区。(在安第斯世界高原和沿海平原气候差异相当大。)维持帝国统一更为有效的措施,是将被征服民族的本地神祗永久性地安顿在库斯科,由他们本民族的祭司照看这些神祗,在被兼并地区建立供奉印加太阳神的神庙。

    印加帝国向被征服居民征收的贡赋似乎比阿兹特克帝国要轻;但是就同在印加帝国和奥斯曼帝国一样,贡赋还包括儿童和物品。被征服部落酋长的儿子被带到库斯科与印加贵族的儿子一同接受教育。作为贡品而强制征召的少女一部分被分配给印加皇帝和达官贵人做妻子,一部分被分配给女修道院式的实行独身制度的机构。这些类似佛教尼姑和基督教修女的妇女有时被作为牺牲,但是在印加帝国并没有成为常规的大规模的人祭牺牲,而在这一时期人祭牺牲在中美洲已成为惯例,并且成为所有被阿兹特克人征召的纳贡儿童的命运。接受印加教育的非印加贵族的儿子相当于同时代奥斯曼帝国的征募少年,而奥斯曼的领饷骑兵则相当于印加帝国应募当兵的奴隶亚纳科纳人。

    克丘亚语是印加人和克丘亚人的母语。在印加帝国建立之后,克丘亚语成为帝国多语种居民的混合语。的的喀喀湖周围高原居民所使用的艾马拉语成为帝国东南部的第二种混合语。帝国的这些语言和帝国的人口政策及帝国的道路成为强有力的纽带。尽管如此,用如此简单的物质手段将如此广大的地区和人口统一在一起确实是一种奇迹。托帕?印加已将帝国扩张到对印加帝国的创立者来说逻辑上可行的极限。瓦依纳?卡帕克过度扩张了他所继承的帝国。结果,当瓦依纳?卡帕克过早去世之后,北方的军队与帝国行政首都库斯科城的印加贵族之间就爆发了一场内战。前者支持皇帝的私生子阿塔瓦尔帕,后者支持瓦依纳?卡帕克的合法儿子瓦斯卡尔。北方军队经过多年的艰苦战争最终获得胜利。它占领了库斯科,俘虏了瓦斯卡尔。就在这一时刻,皮萨罗第三次在南美洲太平洋沿岸登陆。

    第七十五章 人类文明世界的联接(1405-1652年)

    在约1400-1550年这150年间,人类对于人的居住地及其在宇宙中的位置的传统认识发生了变化。人类的足迹几乎踏遍了所有大洋之滨,人类文明世界的范围突然间扩大了。与此同时,波兰天文学家哥白尼的革命发现,使为数不多但仍在逐渐增多的人确信,人类文明世界的范围与宇宙的范围相比,突然间也变得狭小了。

    自大约4500年前最早的区域文明出现以来,人们一直把地球这颗行星视为宇宙的中心;而每个地区的文明都有关于自己是位于地球中心的观念。东亚人认为,中国是处于大地”中央的王国”;印度人则认为,大地中心位于今天的北方邦和比哈尔邦;在穆斯林教徒眼中,麦加圣地是中心;犹太教徒和基督徒则认为中心位于耶路撒冷。到公元15世纪已经熄灭了的诸文明,同样持有自我中心论。在古希腊人看来,人类文明世界的中心是德尔斐;法老统治下的埃及人认为,大地的中心位于尼罗河三角洲的顶端;苏美尔人则把底格里斯–幼发拉底河流域谷地的尼普尔城视为大地的中心。

    相互毗邻的区域性文明的彼此接触,或是敌对的,或是友好的。幅员辽阔但昙花一现的蒙古帝国,使东亚和西方基督教世界暂时通过欧亚大平原而连接为一体。至少在公元前7世纪,人们就进行过从东向西的环非洲航行。公元10世纪末11世纪初,斯堪的纳维亚人就沿格陵兰西岸进行过开发,无人知道他们已经迈进了那无垠的”新大陆”的门槛。但就我们所知,在哥伦布(1451-1506年)于1492年横渡大西洋之前,是没有航海家在这一低纬度地区从任何一个方向横渡大西洋的。如果有船只横穿太平洋从东亚到达”新大陆”或从相反的方向横穿太平洋的话,那么这些穿越太平洋的航行则是既非有目的的活动,又是极为偶然的。1498年,瓦斯科?达?伽马是第一位赢得从西向东环非洲航行成功荣誉的航海家。公元前5世纪,波斯皇帝薛西斯的使者进行过这一探险,但没有成功。确凿无疑的是,”维多利亚号”是第一艘完成了环球航行(1519-1522年)的船。它是费尔南多?麦哲伦船队5条船中的幸存者。

    麦哲伦”维多利亚号”船的船员们证明了公元前3世纪希腊天文学家厄拉多塞根据推理所断定的”航海”的含义。厄拉多塞对地球圆周长度的计算是近乎正确的。而哥伦布的猜测则是大谬不然。但这一猜测却给了他开始探险大西洋的勇气。(从欧洲到日本的最大圆周距离是10600海里,而哥伦布的计算要比这少3000海里。)另一位公元前3世纪的希腊天文学家阿里斯塔克的猜测是;地球是太阳的卫星,除了1年绕太阳1周外,它每24小时沿地轴自转1周。阿里斯塔克的发现,受到公元前2世纪希腊天文学家们的反对。但是,时至公元1512年,一位西方人,尼古拉?哥白尼(1473-1543年)发现了真理。他在1540年出版的《要释》一书中,阐明了这一发现;在1543年出版的《天体运行论》中,进一步翔实地论证了这一发现。

    哥白尼对太阳系星体间真实关系的发现,加之”维多利亚号”在行星地球水面上的环行,对人类的生活产生了各种各样的影响。在1492-1522年这30年间,曾经分别集中于北京、贝拿勒斯、麦加、耶路撒冷、特诺奇蒂特兰、库斯科的人类文明中心,连接成为统一的人类文明世界,其规模是此前任何区域文明都不可比拟的;但是,尽管这些旧有的文明中心在某些方向已经同人迹未至的陆地和不知其深广的海洋相连,但是,人们即使根据先验判断,这个新的、统一的全球文明世界也是有限的。

    1493年,教皇亚历山大六世,把西方基督教世界之外的整个地球纵向分割,分别给了西班牙和葡萄牙。1493年,这两个巨大的全球性西方基督教国家达成条约。同意将这条分界线确定在比教皇分割线偏西270里格的位置。他们认可的这条界线位于巴西(一群葡萄牙人在1500年曾在那里迷失),在葡萄牙的势力范围内。1529年,两国又达成的新条约改变了对葡萄牙人有利的位于太平洋的分界线经度。葡萄牙人得到了摩鹿加群岛,西班牙人则拥有了菲律宾群岛。即使仅仅从理论上讲,这两个海上列强得以瓜分的那部分地球,在面积上也小于以前曾出现过的人类文明世界。这无论从以前哪一个地区性的中心来看,都是如此。这个统一了的人类文明世界的地平线,已经呈现在人们眼前。

    此外,这个统一的人类文明世界过去是、现在仍是”生物圈”的精粹部分。”生物圈”是包裹着地球这个行星表面的,由陆地、水和大气构成的薄层。地球本身现已成为太阳的一个卫星。地球不再是位于中心位置的恒星,人们认为它不过是诸多”行星”(移动的星)中的一颗,现在看起来,过去对那些行星的命名都是不恰当的,因为包括地球在内的所有这些行星,都在沿固定轨道绕太阳作周期性运动。至于太阳,人们已经证明它是诸多恒星之一,就象太阳距地球很遥远一样,无数其他的恒星距地球更是极其遥远的。地球不过是一个恒星系中旋转运动的一颗小小的宇宙之尘,尽管如此,一位观察者仍会说,恒星系广袤无垠,它或许远远超出人们借助伽利略(1564-1642年)建造的最大倍数的望远镜可以达到的视野。地球这颗宇宙之尘的表面是有限的,而这颗宇宙之尘的四周则是广袤无垠的,既没有可见的也没有可以论证的边界。这就是那个时代人们勾勒的宇宙的新图景。在那个时代,在人类成繁衍生息的地球上,人类的文明世界已联结为一个整体。

    人类文明世界的联结是突然的,它使以前在互相分离的区域中生活的人类的命运骤然改变,要么带来了福祉,要么带来了灾难。对于阿兹特克、印加以及西方基督教世界的奴隶贸易者所到的西部非洲来说,它纯粹是一场空前的浩劫。阿兹特克帝国和印加帝国的一些居民一度曾欢迎自己从最近强加于他们的地区性帝国的建立者那里解放出来,不料,他们却发现,他们并没有获得解放,而仅仅是更换了一批统治者而已。尽管对于中美洲民族来说,西班牙取代阿兹特克人的统治或许并非是不好的变化,但对于安第斯山民族来说,西班牙取代印加人的统治,则的确使他们的景况变得更糟。

    在欧洲人的家园即西方基督教世界的范围内,对海洋的统治改变了财富和实力的平衡,这种变化有利于濒临大西洋和北海沿岸的国家,不利于波罗的海和地中海沿岸国家。就象马其顿帝国的希腊人洗劫波斯皇帝的珍宝那样,西班牙征服者盗劫了印加皇帝的珍宝,把它们熔化,铸成金币,以此获得经济财富。贵金属的涌入,虽没有抵销其他商品生产的增长,却引起价格的上涨;在每个西方国家,各个社会阶级的命运都受到程度不同的影响。西欧民族的航海先驱者–葡萄牙人和西班牙人受到的冲击是最为激烈的。但是,在16世纪末之前,物价飞涨的浪潮已经掠过了西方基督教世界的东部边界,正在搅扰奥斯曼帝国的经济。一位观察者根据20世纪70年代同样规模的价格上涨来推测,自1519年科尔特斯登上中美洲大陆以后的16世纪,社会上一些人因人为的因素而陷于贫困,另一些人则发财致富,结果导致了混乱、焦虑和不满的增长。这一事实可大致说明,在16世纪西欧人以宗教和理性的名义所犯下的某些如此凶残的暴行的原因。

    大西洋鲱鱼是在1417年把产卵地从波罗的海迁到北海的,亨利派遣第一支海上探险队南行的时间是1420年,而中国永乐皇帝派遣第一支船队西行的时间则是1405年。因此,在公海航行方面,中国人比鲱鱼要早12年,而亨利亲王的航海家们则比鲱鱼要晚3年。

    永乐皇帝的海军将领–云南籍的穆斯林太监郑和,在1405-1433年间曾七下西洋。他到过波斯湾的咽喉之地霍尔木兹,到过亚丁,至少两次到过红海口;其船队的个别船只曾到过非洲东海岸。在这一系列船队中,中国船只的规模、数量以及船员的总数都是葡萄牙船队所不可比拟的。在第一次航行中(这次到达过印度),中国人派出了62艘船,载有28000人。这些船带有罗盘(中国人的一项发明)和防水船舱。最大的船约有400英尺长。

    在15世纪后期葡萄牙航海设计家的发明之前,这些中国船在世界上是无与伦比的,所到之地的统治者都对之肃然起敬。如果坚持下去的话,中国人的力量能使中国成为名副其实的全球文明世界的”中央王国”。他们本应在葡萄牙人之前就占有霍尔木兹海峡,并绕过好望角;他们本应在西班牙人之前就发现并且征服美洲的。

    1433年之后,中国人中断航海的原因,历史上没有记载。明王朝并没有被迫在海上和陆上的军事努力之间作出选择。确实,永乐皇帝的当务之急是在北方前线防御来自欧亚大平原的入侵。他曾5次亲征蒙古人。但是,中国有足够的资源用于同时支持两条战线的作战。大概是中国丰富的资源使统治者失去了海外探险和扩张的兴趣。等到1793年,当英国工业革命已经稳步发展之时,清朝乾隆皇帝仍向英国使节表示,大清帝国在经济上是自足的。而西欧的统治者受国家贫穷的刺激,鼓励并且支持海外冒险。15世纪的中国商人象当时西欧的商人一样精明能干。但他们很少得到从事私人商业活动的机会,因为他们是官僚统治国家的臣民。他们的统治者和官员认为,关心商业会有失尊严。在近代中华帝国,人们对贸易的天然爱好和习性因政府缺少对国民天性的同情而被扼杀。这与中世纪东罗马帝国的情况相似。当20世纪70年代我们回首往事时就会看到,这种官方的偏见颇有一些(不容置疑的,欺骗性的)先知先觉的味道。

    葡萄牙人是不屈不挠的。1487年,巴特洛缪?迪亚斯绕过了好望角。1498年瓦斯科?达?伽马登上了印度西海岸。阿方索?德?阿尔布克尔克1510年占领果阿,1511年占领马六甲,1515年占领霍尔木兹(中国并未永久性地占领这里),从而把印度洋置于葡萄牙人的控制之下。阿尔布克尔克的海洋战略计划可与13世纪蒙古在广大的地理范围内的陆上战略计划相媲美。1514年,一艘葡萄牙船到达广州。1542或1543年一艘葡萄牙船到达日本的小岛–种子岛(该岛与九州的南端隔海相望)。1503-1551年间,葡萄牙军队打败了穆斯林军队,这对于争夺印度洋的控制权是至关重要的。

    葡萄牙人的巨大胜利是创造性和勇气的回报。1440-1490年这50年间,葡萄牙的造船工匠设计的一种独特构造和帆装的海船在海上称雄400年;在1840-1890年的50年间,即该船的历史行将结束之时,人们又将它加以完善。在它整个漫长的全盛期,这种船型仅以这种船本身而著称。它有3根桅杆(只在它历史的初期和末期时是4根桅杆)和一套混和的帆装。前桅杆和主桅杆挂有方形的帆,它给船以动力;后桅杆挂有三角帆,它使船具有机动性以及根据风向航行的能力。在17世纪末,这些优点又锦上添花。荷兰人用船头和船尾的帆取代了后桅杆上的三角帆,在前桅杆和第一斜桅之间装上了船首三角帆。在16世纪初,人们在船两边的上下甲板之间开了舷洞,以便于一排枪炮可以向外射击。与在19世纪取代了这种古典的航海帆船的那种机械推动的船不同,它能连续航行几个星期或几个月。因为它的动力是用之不竭的风,而无需补充燃料。

    西班牙人也是坚韧不拔的。1492年,哥伦布首次登上美洲。1513年,瓦斯科?奴涅斯?巴尔沃亚到达巴拿马海峡太平洋一侧的海岸。巴拿马的西班牙城始建于1519年。1519-1521年,埃尔南多?科尔特斯征服了阿兹特克帝国。1532-1535年,弗朗西斯科?皮萨罗征服了印加帝国。

    西班牙人以少胜多,征服了这两个由穷兵黩武、狂妄自大的人统治的帝国。西班牙人在这两个国家的运气是绝好的。

    科尔特斯在某年某日到来,这在墨西哥人的宗教历法上早有预言。这个历法预言,魁扎尔科亚特尔神将要兑现其诺言,在人间再现。他曾附在12世纪被推翻的托尔托克人的国王身上。如果位于特诺奇蒂特兰城的阿兹特克人的皇帝莫克特苏马二世没有把科尔特斯误认为魁扎尔科亚特尔神再现的话,他是不会屈服于外国入侵者的。而科尔特斯确实没有资格去取代莫克特苏马在阿兹特克的王位。并且,如果科尔特斯不曾在塔瓦斯科偶然结识一位墨西哥女孩,那么他在墨西哥事实上将会是既聋又哑,政治上也将陷于一片黑暗。因为这位女孩不仅通晓纳瓦特尔诺和马雅语,而且异常机智,熟悉墨西哥人的心理。西班牙人给她取了一个新名字:多纳?马里纳。

    而皮萨罗在进入印加帝国内地时,正值内战结束不久,胜利者阿塔瓦尔帕尚来不及巩固其统治。如果在第一次探险(1524-1525年)时就进军内地,皮萨罗就会同印加皇帝瓦伊纳?卡帕克发生冲突。他当时还活着,还是印加帝国至高无上的君主;他把帝国的重兵集结在北方,而不是布置在远离东南边境的都城库斯科。如果在第二次探险时,皮萨罗攻打内地,就有可能同还活着的卡帕克皇帝相遇。1532年皮萨罗无意地偶然决定冒险进兵。这是自1438年帕查库提打败昌卡人以来,我们所知道的所有外国入侵者所选择的战机中最为顺利的一次。

    被征服地区的内讧,使西班牙人坐收渔利。阿兹特克人同其臣民势不两立,同其邻国关系不佳。而印加人几乎是同样地为人厌恶,其内部也是剑拔弩张。被打败的瓦斯卡尔派并没有同取得胜利的非法篡位者阿塔瓦尔帕那一派言归于好;历史上的都城库斯科对崛起的基多城的竞争忿忿不平。这些内讧为西班牙提供了可乘之机。但这仅仅是因为西班牙人很快意识到了这一点并且利用了它们。科尔特斯招募特拉斯卡拉人进攻阿兹特克人,皮萨罗招募卡尼亚尔人和瓦斯特尔的余部去同阿塔瓦尔帕一派作战。皮萨罗虽然没有马里纳那样的当地人为他充当政治顾问,却表现出他具有与科尔特斯同样的政治洞察力。

    尽管如此,西班牙人的王牌仍是他们的装备、冒险性和凶残。当受害者从可怕的入侵者出人意料的进攻所造成的暂时混乱中舒缓过来时,便进行了英勇抵抗。阿兹特克人一直战斗到死,几乎被灭绝。印加人反侵略斗争此起彼伏;直到1572年,在蒙大拿,在安第斯山的大西洋一侧的山地,他们仍在战斗,那里的热带森林为他们提供了天然屏障。他们在那里的最后一个避难地马丘比丘到1911年才被人们发现(仍保持着原样,但已长期无人居住)。但是,在西欧人眼中的”新大陆”,即使是最英勇、装备最好的当地人也无法抵挡火药、钢铁制成的刀剑以及马匹(尽管在人类从亚洲东北部来到这里之前,北美洲的马已处于进化过程中,但美洲人没有见过马)的进攻。西班牙人在战略要地建立自治城市,并在那里驻扎富有经验的老兵和欧洲人与美洲印地安人的混血儿,以此来保证他们的征服。这是在效法马其顿帝国的希腊人在征服第一波斯帝国时的做法。

    象19世纪的斯堪的纳维亚人那样,16世纪的西班牙是靠两种东西前进的。当他们必须弃船登陆时,他们就骑上马。他们在美洲骑马走过的距离并不逊色于蒙古人在欧洲大陆行进的距离。

    在16世纪末期,西班牙人在美洲的业绩正由俄国人在亚洲北部重演。在1568-1569年,土耳其人打算吞并阿斯特拉罕并在顿河和伏尔加河的最接近处开挖一条运河,但未获成功。这表明他们没有能力打通在乌浒河–药杀水流域奥斯曼帝国和土耳其人的同胞逊尼派穆斯林之间的俄国人的障碍。这道障碍现在因哥萨克人(”哥萨克”在土耳其语中是”挖掘者”的意思,即来自游牧部落的外人)而得到了加强。这些人是乌克兰信仰东正教的船夫。金帐汗国在14世纪因立陶宛人的袭击而向东退到黑海北岸之后的某一时候,他们第一次定居于第聂伯河中的一个岛屿。1571年,一支哥萨克人沿顿河定居,或许在同时,另一支哥萨克人沿乌拉尔河定居。

    1581年,一位哥萨克族的俄国冒险家叶尔马克从西向东跨越乌拉尔河,并且征服了刚刚皈依了伊斯兰教的、操土耳其语的西伯利亚的汗国。与征服美洲的西班牙人相同,叶尔马克的追随者们拥有火器,而丧生在火器下的西西伯利亚人则没有。他们乘船沿河而下,通过西伯利亚森林,他们发现并走出了一些运输路线,于1637或1638年到达太平洋的西北岸。在经过贝加尔湖畔的信奉佛教的蒙古布利亚特人住地时,他们遭到有力抵抗。这些俄国人征服了布利亚特人,并于1651年在他们国家中建立了伊尔库茨克城。与此同时,俄国人已侵入到阿穆尔河流域,1643年,一伙俄国入侵者到达了满洲境内的阿穆尔河右侧的支流松花江。

    在这里,俄国人碰到了满族人,他们也已掌握了火器。在征服了中国之后,满族人向西驱退了俄国人,并且在1658年把他们限制在阿穆尔河最西边的河源处。这个界限位于俄国人占领地的东南面。1689年的条约肯定了这一边界。在阿穆尔河流域,俄国人远离后方,而满族人则离后方很近。从逻辑上讲,满族人的优势是决定性的。俄国人同满族人第一次冲突的日期–1652年具有历史性的意义。当这两个非游牧的但又是流动地建立其帝国的民族在阿穆尔河流域较量之时,欧亚大陆的游牧民族第一次发现他们被定居的军队完全包围了。

    1634-1635年,满族人开始把宗主权强加在东部的蒙古人身上。在此之前,这些蒙古人曾进入中国内地并且同俄国人较量过。布利亚特人是处于俄国人统治之下的仅有的东部蒙古人。与此同时,在1576-1577年,东部的蒙古人皈依了藏传大乘佛教,而西部的蒙古人也很快地效法。西部的蒙古人(厄鲁特部、准噶尔部、卡尔梅克部)如今栖息于阿尔泰山山脉和天山山脉之间的隘口两边。这里是扼守从欧亚大平原东部通往中部通道的战略要地。大约在16世纪末17世纪初,卡尔梅克部蒙古人向西涌去。他们开辟前进道路,通过操土耳其语的哥萨克穆斯林地区,进入欧亚太平原中部,并且在1613年越过了伏尔加河下游地区。而这一年正是俄国人”混乱时期”(1604-1613年)的最后一年。这些卡尔梅克部移民在伏尔加河下游和顿河下游之间安营扎寨,处于俄国人和奥斯曼帝国之间的无人区。那个地区,对于不信奉东正教和逊尼派伊斯兰教的佛教徒来说,在政治上是最合适的地区。

    17世纪结束之前,葡萄牙人和西班牙人已经是江河日下。1578年,葡萄牙人在摩洛哥遇到军事上的失利。1580年,葡萄牙人同腓力二世统治的西班牙联合起来。1588年,西班牙军队企图征服英国,但以海军的失败而告终。这次失败的惨重可同蒙古人1281年在日本、1292年在爪哇的灾难相比。此后,即使西班牙和葡萄牙联袂,他们的海军力量也无力保护其跨越东西两半球的海上帝国不受伊比利亚军队的侵犯及其心怀妒意的西北欧邻国–荷兰、法国和英国的蚕食。

    这3个冒险性的民族已经占据了加勒比海的许多岛屿,这些岛屿正在遭受劫难。1606年,英国殖民者在弗吉尼亚登陆;1620年到达新英格兰。1605年,法国在阿卡迪亚进行殖民活动,并于1608年建立了魁北克城。1612年,荷兰人建立了新阿姆斯特丹(今天的纽约)。西班牙丧失了其幅员辽阔的”西印度帝国”(即美洲)的一些重地。葡萄牙的损失更为巨大。1641年,荷兰人从葡萄牙人手中夺走了马六甲;1658年,占领了锡兰海岸。1609-1623年间,在争夺葡萄牙占据的印度尼西亚时,荷兰人打败了英国人。在1621-1654年间,荷兰企图征服巴西。但是,这个野心勃勃的冒险规模太大,超出了荷兰军事资源的能力。

    对于葡萄牙人来说更为不祥的征兆是,他们被亚洲人和非洲人驱逐了出来。的确,从长远的观点看,这对于所有建立帝国的西欧列强来说,都是不祥之兆。在英国海军的缓助下,伊朗萨非王朝皇帝沙阿?阿拔斯(1588-1629年在位)在1622年从葡萄牙人手中夺回了霍尔木兹。1632年,阿比西尼亚(今天的埃塞俄比亚)人在没有任何外国帮助的情况下,驱逐了葡萄牙人和所有欧洲的耶稣会教士,并把自己同人类文明世界的其余部分隔绝开来。几乎是同时,日本人作出了同样举动。早在1587年,丰臣秀吉就下令驱逐基督教传教士。1614年,德川幕府发布敕令,禁止基督教在日本活动。1622-1638年间,基督教在日本受到残酷迫害。1637-1638年,日本基督徒举行起义并遭镇压(在某些荷兰海军的帮助下)。接踵而至的是,1638年日本驱逐了葡萄牙商人。于1636年公布的一道禁止日本人出国的敕令成为这场运动的先导。在1603年获准进入日本的荷兰人被允许留在日本,但被限制在长崎港口的一个人工岛–出岛。

    阿比西尼亚人和日本人因同样的理由感到不能容忍葡萄牙人的存在。葡萄牙人是狂热、虔诚的罗马天主教徒。他们热衷于传播天主教和从贸易中攫取利润。1626年,在阿比西尼亚的耶稣会成员,引诱当朝的皇帝承认教皇在基督一性论教派的教会统治区有至高无上的地位,哄骗皇帝彻底废除当地的基督一性论教派的礼拜仪式,这些仪式中还包括一些犹太教的内容(犹太教先于基督教传入阿比西尼亚)。尽管阿比西尼亚人感激葡萄牙人在16世纪使他们摆脱了穆斯林人的奴役,但此后葡萄牙人企图把罗马天主教强加给他们,招致了他们的愤怒。在日本,自从1549年第一位耶稣会传教士圣方济各?沙勿略到达九州以来,已有大批人自愿皈依罗马天主教。但是,西班牙人于1571年征服了菲律宾群岛,随后于1580年同葡萄牙人一道主宰了菲律宾,这就使丰臣秀吉和继之而来的德川幕府害怕西班牙人会把皈依天主教的日本人作为他们企图征服日本的”第五纵队”。这就是日本人自愿地采取自我封闭、同文明世界和其他地区保持一定距离的预防手段,以提防西欧人威胁的原因。这同阿比西尼亚人的做法如出一辙。

    日本政府允许荷兰商人留在日本的原因在于,荷兰人使日本人相信:他们的兴趣仅在贸易,他们并不想使日本人皈依他们所信奉的基督教加尔文教派。英国商人也审慎地避免表现出要同化其非西欧的贸易伙伴的意图,甚至连信奉罗马天主教的法国人尽管在一定程度上效法挑衅性的葡萄牙人和西班牙人的所作所为,旨在使罗马天主教传教士成为法国在政治上的代理人,但在这个问题上也极力谨慎从事。

    随之而来的由西方商人和帝国的创建者们掀起的层层浪潮所带来的西方文明,是形态各异的。以西班牙人和葡萄牙人为代表的第一个浪潮,力图完整地输出西方文明,包括他们本民族的宗教。而在任何文明中,本民族的宗教都是该文明整体的核心。所有具有力量的非西欧民族都成功地抵抗了西班牙和葡萄牙人的这一企图。所以,荷兰人–法国人–英国人掀起的,在不信基督的异教地区传播西欧文明的第二个浪潮,输出的仅是经过筛选的西欧文明。荷兰和英国的私商和官方都对传教士的活动皱眉蹙额、表示不满。从17世纪开始在人类文明世界中渗透的、这种删节了的西方文明中最重要的因素,不是宗教,而是技术。其中,第一位的也是最重要的是为战争服务的技术。

    在日本,罗马天主教在九州海岸之外的一些小岛上秘密生存的状况,直到1873年才结束。因为,那年废除了对被确认是秘密基督徒的死刑。到了那时,秘密的教徒们所信奉的罗马天主教,已经把土生土长的日本流行的信仰和仪式融为一体。在西班牙的海外殖民地,也发生了同样的事情。在那里,被征服的人人多被强迫信仰天主教,所以这种信仰实际上是名存实亡的。

    所有西欧国家的帝国创立者们都很相象。他们要么剥削海外的受害者,要么就消灭他们。西班牙征服者的贪欲和残忍,为他们旗鼓相当的竞争对手们所仿效,但是,只有西班牙人面临由征服所产生的必须迅速而明确地处理的道德问题。早在1514年,西班牙殖民者的受害者们,就在多明我修道团的男修士中找到了一位坚韧不拔的斗士,他名叫巴托洛梅?德?拉斯?卡萨斯,他促使西班牙政府颁布法律,制止最恶劣的胡作非为。尽管处于对立面的掌握军队的征服者一再反对,这项法律仍得到部分实施。西班牙人和葡萄牙人以与皈依天主教的教徒通婚的办法,来缓和对受害者的压迫。在他们看来,宗教的共同性是超越种族差别的精神纽带。皈依天主教对减少征服者与被征服者之间隔阂的作用,生动地体现在后来西班牙议会的新西班牙保护女神–瓜达卢佩城的圣母–的色彩和服饰上。

    葡萄牙人一登上黑非洲海岸,立即开始把非洲黑人变成奴隶。所有后来的西欧帝国创立者们都干下了这种罪恶的勾当。当西欧人获得海外领土后,他们就把从非洲掠来的黑奴运到那里,强迫他们劳动,以代替被灭绝或大量杀戮的当地人。这些奴隶的死亡率是很高的,而贩卖奴隶的商人们的利润则与此成正比。那些被贩运到外国的非洲黑奴中的幸存者,应当感谢他们种族的生命力,应当感谢他们能够在美洲繁衍后代,这使他们得以与贩运他们的西欧白种人一道,去分享他们所获得的”新大陆”。

    人类的迁移以及不同人种之间的繁衍,并不是人类文明世界的联结对生物圈的动物群体和植物群体所产生的唯一影响。毫无顾忌地把人工驯育的动植物,从以前曾经互相隔绝的两半球的一边移到另一边,会得到很多有益的收获。但也会造成细菌和病毒的有害传播。天花病毒尾随哥伦布的航波,通过人的载体西行到了美洲。如果说天花就是夺取印加皇帝瓦伊纳?卡帕克生命的疾病的话,那么,这些病毒就是皮萨罗率领入侵南美洲的为数不多的侵略者的肉眼看不见的先锋。反过来说,性病在西欧首次为人所知是1495年,即在哥伦布首次登上美洲的3年之内。这大概是”新大陆”惩罚”旧大陆”入侵它的错误的回报。16世纪期间,西欧出现的始于1519年的大灾难所造成的代价,无疑是对西班牙人掠夺阿兹特克人和印加人的金银,以及后来他们雇佣美洲土著劳动力开来美洲矿藏并把它们运回欧洲的报应。这样,人类文明世界连为一体的结果之一便是:天花、性病和通货膨胀。这3位可怕的来客,每一位都拥有一个帝国,它曾使查理五世那幅员辽阔的帝国相形见绌。也就是在这些新的帝国中,太阳从未在那里升起过。

    第七十六章 西方文明(1563-1763年)

    在1563-1763年的两个世纪中,西方文明发生了一次伟大的思想和宗教革命。这是自从西方社会在罗马帝国的废墟上就地崛起之后,最伟大的一次革命,它超出了先前任何一次变革。此时,西方的思想家们已不再不加鉴别地继承先辈们的遗产。他们决意今后要通过对各种现象的独立观察来检验被继承的学说,要进行独立的思考。他们也尽力与少数异教徒和平共处。他们不再感到有责任或冲动去把大多数人的信仰和习俗硬性强加给所有的人。这两大革命并非一蹴而就,而是在曲折中前进的。1686年,丰特奈尔发表了《宇宙万象解说》,乔尔丹诺?布鲁诺为了这个学说于1600年付出了生命的代价;而丰特奈尔却长命百岁,直到1757年安然死在床上。1687年,牛顿(1642-1727年)发表了《自然哲学的数学原理》,并且没有受到任何基督教会当局的封禁勒令,幸免了伽里略1633年的厄运。另一方面,路易十四于1685年撤销了《南特敕令》,这一法案曾授予法国的少数新教徒以信仰自由。

    西方人长期遭受权力的奴役,当然现在他们已从中解放出来了。在15世纪末叶以前,所有异教都遭到了罗马帝国政府的强行镇压。在罗马帝国西部的一些继承国,比如1391-1492年间的西班牙和1497年的葡萄牙,所有未能在国外找到政治庇护的犹太人都被迫皈依了基督教。13世纪以来,古希腊时代的希腊哲学家亚里士多德的学说被强加给西方基督教神学家和哲学家。15世纪以后,又把西塞罗时代和奥古斯都时代拉丁文作家的风格,强加给了当代西方的拉丁文作家。

    在教义中篡改了”及圣子”句的西方基督教的权威,尚未受到反叛天主教会罗马教皇统治的新教徒的指责。新教徒用《圣经》这一权威经典取代了罗马天主教庭的权威。新教的主教象罗马天主教的主教一样,不容异端学说,把他们自己对西方基督教教义的观点强加给他们的臣民。西方基督教世界的内部分裂只是加剧了两派的竞争,与统一时期的他们的罗马天主教前辈们相比,他们的行为之狂热、恶劣都有过之而无不及。

    对古典拉丁文作家风格的模仿,比起先前西方基督教思想家对亚里士多德的理性顺从,显得更加肤浅。另一方面,在西方,古希腊时代希腊数学和科学著作的出版激发了人们的独立思维,后来的科技发明和地理发现推翻了许多物理现象的古典解释。在这个领域,古代知识的复兴走上了新的历程。

    西方人从他们希腊–罗马祖先的理性僭主政治中解放了自己。这一点在丰特奈尔的《闲话古人与今人》(1688年)和威廉?沃顿的《古代与当代学问的反思》(1694年)中被戏剧化地表现出来了,但论战的序幕是由让?博丁(1530-1596年)拉开的,弗朗西斯?培根(1561-1626年)和勒纳?笛卡尔(1596-1650年)进一步推动了这场战斗。在这之后,现代派赢得了决定性的胜利。此外,胜利者不得不承认赞美路易十四的人并不是比荷马更好的诗人,他们没有署名,所以他们的赞美诗也就不再流行,尽管基督教宣称基督教文明超过了任何前基督教文明。近代西方成就的这些斗士,在自然科学、技术和哲学这些领域中赢得了胜利。

    西方的”宗教战争”使基督教信誉扫地。它开始于1534年,时断时续,直到1648年。这些战争既狂热又伪善。那些好战的君主本是出于政治上的动机和目的,却要戴上宗教定罪的面具。那些主张扩张教会势力的人,用他们愚昧无知却发自内心并充满仇恨的热情,把这些好战君主的仇恨煽动起来。1660年,一些有志于自然科学的人在英格兰创建了皇家学会,他们的目的不在于要颠覆基督教,而是要从道义上更新它。他们的政策是要将当代人的思想感情从既缺乏教育意义,又缺乏说服力的神学争论中转移出来,使他们把注意力转到有关自然现象的问题上,并不带偏见地讨论这些问题,通过观察或实验,有说服力地回答这些问题。

    在这场”宗教战争”中,同时还有另外一些评论家和牺牲者。他们确实在寻求削弱基督教对西方人心灵和精神控制之路。由于这仍是一个危险的游戏,因此他们只能秘密地工作,只有在基督教世界之外的地区例外。比如,日尔曼人在日本巧妙地避开了基督教会的活动,不断地为同人提供安全保证。丰特奈尔在他为科技界故人所作的讣告辞中写下的格言,似乎无法为基督教义所宽容。在1688年出版的《神谕的历史》中,他更加大胆了。皮埃尔?培尔是一个流亡在荷兰北部的法国异教徒,他于1695-1697年在鹿特丹出版了《历史与批判词典》一书,这简直就是狄德罗与达兰贝尔合著于1751-1765年间在法国出版的《百科全书》的原型。培尔仿效同时代西方希腊和拉丁语作家们所采用的注释式的版本。这些注释用小的字体印出来,看似不引人注目,但往在却占去了大部分篇幅。他的原文似乎是一剂镇痛药,但如果作者在那些语意深奥的注释中所表达的意图,恰恰被读者理解为是嘲讽挖苦之意的话,那么他对于原文的注释,便颇有某些颠覆的意味了。

    大约过了80年以后,爱德华?吉本在写作《罗马帝国衰亡史》一书时,也采用了培尔的写法。但这并未能使它免受责罚。此书发表于1776-1788年间,其中对于罗马帝国皈依基督教所作的解释并不怎么高明。在西方国家中,英国率先确立了宗教信仰自由,但是真正做到不计较异教的信仰和观点,却是个缓慢的过程。约翰?韦斯利(1703-1791年)早在1739年就开始热衷于传教活动,当时,吉本(1737-1794年)还是一个婴儿。与吉本同代的法国人伏尔泰(1694-1778年)和百科全书派更加直言不讳,并且没有受到惩罚。尽管如此,在18世纪,伏尔泰仍觉得住在法国与瑞士交界的瑞士一边是比较明智的。

    在17世纪的法国,布莱兹?帕斯卡尔(1623-1662年)把对基督教詹森教派炽热的信仰与科学天才结合起来;波舒哀主教(1627-1704年)出版了《世界史教程》一书。和凯撒城的优西比乌斯(约264-340年)一样,波舒哀在这本书里也阐述了人类的历史,但他的意图是要为人们提供一个独一无二的、万能的上帝,即犹太教的上帝耶和华。伏尔泰写了一部关于人类文化和社会历史的书,来反驳波舒哀。在这部历史书中,他把中国人而不是犹太人置于头等重要的地位,而中国的文化是通过耶稣教会的传教士才为西方人所认识的。

    在西方建立宗教信仰自由的历史进程中,作为其文学的里程碑的是《论宽容的信札》(1689年以后)和《政府论》(1690年)。这两部著作是由遣返回国的英国流亡者约翰?洛克(1632-1704年)所著。实践的里程碑是利奥波德一世的作为,他是罗马天主教多瑙河哈布斯堡王国的君主。他在1690年向原来归附于匈牙利王权的所有基督教教徒和至今仍在奥斯曼帝国统治下的所有人民发表了一项声明,授予他们宗教自由的权利和部族自治权。这种自由和自治仍在哈布斯堡王朝的统治下,又要符合奥斯曼帝国的标准。1690-1695年,利奥波德为流亡的塞尔维亚东正教团提供了庇护权,条件是维持他们在哈布斯堡的领土上对一个奥斯曼非伊斯兰教社团(米勒特)的特权。最近到1664年,在”三十年战争”(1618-1648年)中被哈布斯堡王朝重新占领的波西米亚王室领地之一的西里西亚人民,直到1664年都一直公开表示,愿意让奥斯曼征服者来解放他们。在其间的25年里,多瑙河哈布斯堡王朝出于与俄国竞争的需要,转而采取了宗教自由的政策。它与俄国竞争,为的是从政治上忠于奥斯曼东正教。由于在1682-1683年对维也纳的第二次围攻惨遭失败,奥斯曼帝国正在失去对奥斯曼东正教的控制。

    西方人赢得信仰自由与赢得理性独立一样,是一个缓慢的过程。在法国,1685年撤销了《南特敕令》;在中国,耶稣教会传教士为了争取立足之地,不得不采取一些迂回措施。他们学习掌握儒家文化,介绍西方天文和军事技术的一些实用知识,允许皈依宗教的人继续在世俗仪式中用传统的中国方式膜拜他们的祖先。通过这些措施,耶稣教会的活动终于在中国立住了脚跟。利马窦(1552-1610年)是耶稣教会在中国的创始人,由于他精通儒家文化,因而被中国儒家学者吸收到他们的社团里,在那里他取了一个中文的笔名。耶稣会教士将”救世主”译为”天”。不肯让步的罗马天主教当局破坏了耶稣教会的工作。他们禁止中国的皈依者用传统的仪式来膜拜祖先,并坚持”救世主”应被翻译成”天帝”的说教,以表明基督教的上帝并不是超人的,而是与人同质的。罗马教会挑起了一场和大清帝国政府之间为时30年(1693-1723年)的论战,作为其结局,基督教在中国遭到了禁止和压制。罗马教廷没能从1587-1638年间在日本的经历中吸取教训。在欧洲,多瑙河哈布斯堡王朝承认东正教教徒的信仰自由42年之后,信仰新教的基督教徒在1731-1732年间被驱逐出了毗邻的萨尔茨堡主教管区。

    在西方国家里,彗星的出现被看作是上帝创造的一个奇迹,用以警告那些即将受到惩罚的人。但这种迷信思想在17世纪消亡了。不过,1680年彗星的出现仍然引起了恐慌。1682年,培尔发表了《彗星出现的不同见解》一书,宣称1680年出现的彗星和所有其他彗星一样,都是很平常的自然界现象。当1682年另一颗彗星出现时,天文学家埃德蒙?哈雷认为它与1456、1531、1607年出现的彗重没什么两样。他测算出了它的轨迹、周期和速度。哈雷也同样测算了1680年出现的彗星。另一种西方迷信是对巫术的迷信,这种迷信思想的消亡更为困难。从西方基督教世界第一次对这种迷信公开提出挑战,到这种巫术最后一次在那里作怪,200年(1563-1762年)过去了,其间数以千计无辜的人们被羞辱地处死。

    对于权威不容异说的褊狭和迷信的抵制,在理性和道德上都是一次胜利,它造成了西方社会文化和社会结构的空缺。这些空缺伴随着各个生活领域中程度不同的成功,或多或少为一些审慎的替代物所填补。

    那些曾煽动起象1572年使徒巴多罗买日的巴黎大屠杀和1649年德罗赫达大屠杀的宗教辩论,成功地被数学和自然科学引起的兴趣取代了。人们希望把数学化了的科学系统地运用于科技,从而提高人类的福利。这种愿望激发了人们对数学和自然科学的兴趣。列奥纳多?达?芬奇很早就表述过这种愿望。弗朗西斯?培根也抱有这个愿望,而这个愿望又激励了培根的门徒–“皇家学会”的奠基人们。威廉?哈维(1578-1657年)是帕多瓦大学一名英国学生,他于1628年发表了他的《心血运动论》;罗伯特?波意耳(1627-1691年)将化学科学从炼丹术中解放出来;伊萨克?牛顿使西方的物理学和天文学发生了革命;查尔斯?林奈创立了生物圈里植物群和动物群的系统划分,林奈相信他所划分的种和属的不变性,在他看来,大自然是静态的,林奈的同代人乔治?路易斯?勒克莱尔和孔德?德?布丰(1707-1788年)发现了证据,证明迄今为止自然界在时间上,已经经历了一个漫长的过程,他期望这一过程能在未来继续下去。

    在哲学领域,由于对亚里士多德权威的抵制所造成的空缺,尚未被人文主义者们对柏拉图的崇拜所填补。17世纪的西方思想家试图找到一个明确的突破口和一个崭新的开端来填补这个空白。勒纳?笛卡尔从认识论角度作了尝试。即使对于那些对笛卡尔已穷尽了真理的论断提出质疑的后继者们来说,他的《方法论》(1637年)一书也一直是理性的标志。约翰?洛克则对认识论加以实验性探索。斯宾诺莎(1632-1677年)和莱布尼茨(1646-1716年)试图为形而上学奠定新的基础。在社会学领域,托马斯?霍布斯(1588-1679年)通过对心理学王国所作的初步探索,巩固了他关于社会契约的假设。洛克也从事这一领域的工作,但未能达到这个深度。詹巴蒂斯塔?维柯(1668-1744年)在他的《新科学》一书中,开辟了文化历史领域的新天地。正是因为他的工作太新颖了,同时代的人反而未能对这项工作的重要性给予正确的评价。古希腊的周期循环理论启发了维柯,但维柯在古希腊大师们的基础上又进了一步,他掌握了两种文化:古希腊文化和西方基督教文化。在他的知识范围内,他用更丰富的知识武装自己,写出了西方第一篇关于文明比较研究的论文。

    由于教皇对西万”基督世界”的管辖,由于拉丁语在外交、研究、甚至在众多方言的各种诗歌中,都被作为通用语言使用,这些对中世纪的西方基督教世界结成统一的整体起了很大作用。教会的”基督世界”在一定程度上已被文学和科学的”文学界”取代了。这一概念的发明者是伊拉斯谟,然而是培尔于1684年首次在期刊《新文坛》中采用的。公共邮政事业发展了,为私人通信提供了方便,同时也解决了自身的费用支付问题。这些推动了文学工作者和科学工作者之间的知识交流。在私人通信中诞生了定期出版的时事通讯,又进一步产生了报纸。在西方,第一本印刷期刊的发行是在1609年,第一份日报的发行是在1702年。到了17世纪,除了帕多瓦大学和苏格兰大学这样极个别的学校之外,西方绝大多数大学都失去了他们在中世纪的活力和创造力。一些新的高等院校的创建,填补了部分空白。这些院校是由地方主权国家政府建立或支持的。在18世纪的巴黎,这些大学也得到了上流社会的夫人们举办的私人沙龙的支持。

    西方皇室家族和西方贵族之间的社会网络关系,也部分地填补了罗马天主教”基督世界”的建立所留下的空缺。这是西方社会中最高等级的两个社会阶层,它们通过跨越国界的联姻和对跨越了民族障碍的各种方言的需求,紧密地结合在一起。即使在西方基督教世界分裂之际,西方皇室家族和西方贵族也保持着团结。以国家公共利益为借口的宗教改宗得到了宽恕。纳瓦拉一个加尔文教派的国王为了成为法兰西的亨利四世,竞改信了罗马天主教。荷兰北部加尔文教主教威廉和汉诺威路德教派的选侯乔治,各自为了成为英格兰国王威廉三世,英格兰和苏格兰联合王国的国王乔治一世,结果成为英国新教圣公会信徒。在苏格兰,加尔文教已得到认可,威廉三世只需披上一层新教的外衣即可;但是,四个乔治和威廉四世则不得不在汉诺威继续充当路德派教徒的同时,又得在苏格兰充当加尔文派长老会教徒,在英格兰充当新教圣公会教徒。

    早在12世纪,西方各民族正在使用的地方方言就已开始出现在诗歌中。这些方言诗歌与同时代的拉丁文诗歌一起流行于世。在这些拉丁文诗歌中,方言的风格是以拉丁文的形式表现出来的。当方言在诗歌中完全占据了统治地位时,它的首要影响便是促进了文学的丰富繁荣,从而为天才的发挥提供了温床。这种情形可以散文的代表人物拉伯雷(1494?-1553年)和诗歌的代表人物莎士比亚(1564-1616年)为例。西方的宗教改革时代,也是西方一个伟大的诗歌时代。摒弃宗教迷信和迫害在文化上的代价,是诗歌向散文方向的发展,这一发展不是表现在韵律上,而是表现在风格上,其过渡的媒介便是方言。

    16世纪,阿尔卑斯山北面的西欧诗人,像他们的意大利前辈和同时代意大利人那样,以古典拉丁文和希腊文文体为楷模进行写作。法国的代表人物是约阿希姆?德?贝莱(1522-1560年),皮埃尔?德?龙萨(1524-1585年)和”七星诗社”中其他5位成员。他们在英国的同仁是先躯者托马斯?怀亚特爵士(1503?-1542年)和萨里伯爵亨利?霍华德(1517?-1547年)。接踵而来的是伊丽莎白时代的那群杰出诗人和1660年英格兰和苏格兰君主制度复辟之前的他们的后继者们。莎士比亚和弥尔顿(1608-1674年)是这一时代的英格兰、苏格兰诗人中最杰出的两位。由于这两位巨匠光彩照人,结果使这一时代其他本来很杰出的诗人都显得黯然失色。启蒙运动开始之后,西方的诗人们使审慎地变成了散文家。在17世纪法国的戏剧家中,最先开始这种基调和风格的变化。他们是高乃依(1606-1684年)、莫里哀(1622-1673年)和拉辛(1639-1699年)。这些天才将韵文和朴素的文体结合起来。同时代的法国散文作家,比如帕斯卡尔,为他们提供了一种新的语言工具。

    17世纪逐渐风行的这种法国散文体简洁、明了、准确。它比任何”古典”拉丁文体或希腊文体都更适合于印欧语言。这种语言此时已远及英国,而罗曼语系语言此时已从固定结构变为分析结构,这种分析结构可分为虚词、介词、助动词,以代替那种使用不方便的在动词、名词词根上加前缀、后缀的方法。这种新的法国散文体还放弃了拉丁语、突厥语中用许多从句堆砌起来的句型结构;这种新的法语句型结构把主句和从句排列起来而不用连接词,作者把简单的短句间的逻辑关系留给读者凭直觉去推测。

    法国文体的革命给英国文学带来了巨大冲击,在英国,这种来自外国的冲击,非常猛烈,而且改革者具有充分的自我意识。例如,德莱顿就很自信地认为,他的文体,无论散文或诗,都在弥尔顿的基础上有了进一步的提高。

    法国写作风格传播到其他西方国家,法国新教徒因受宗教迫害而移居国外,这些使法国在西方世界赢得了一种文化上的支配地位。其表现在除音乐以外的其他所有领域。而此时,在音乐领域,德意志夺走了意大利的领导地位。”三十年战争”后,在北部德国庞大的巴赫家族使曾庇护过他们的君主的声名黯然失色。约翰?塞巴斯蒂昂?巴赫(1685-1750年)和弗里德里希?亨德尔(1685-1759年)是他们那代人中最出色的德国人。普鲁士大帝腓特烈二世(1740-1786年在位)使他的又小又穷的小王国发展壮大,跻身于列强之列,他还设法为柏林歌剧院筹措资金。除去这些,腓特烈在军事之外的最重要的抱负,就是要写出即使往法国文学圈中也可占一席之地的法文韵文。吉本也是先用法文写作,然后再象但丁那样,使用母语写下他的名作。在1667-1713年的西部战争中,法国未能使它的政治优势超过他的文化优势。北尼德兰首当其冲,纠集一些弱小的西方国家,艰难地将法国挫败了。

    在法国与勃艮第–哈布斯堡王朝第一个回合的权力较量中,法国处于弱势。1525年,它很快就屈膝投降了。这两个罗马天主教强国之间的较量,被称之为”宗教战争”的内战打断了。其中最早的是1534-1555年德国发生的战争;接下来的是1562-1598年的法国内战,1569-1609年的尼德兰内战,1618-1648年德国第二次内战和1642-1648年的英格兰内战。

    所有这些内战,都不同程度地为外国干涉打开了门户。其中程度最轻的是英国内战,最严重的是德意志的”三十年战争”。早在1534-1555年的德意志内战中,信奉天主教的法国即已支持信奉新教的德意志主教,反对哈布斯堡王朝的皇帝查理五世。在”三十年战争”中,法国与信奉新教的瑞典,携手阻止了哈布斯堡王朝征服信奉新教的德意志。法国的政策是由身为罗马教会红衣主教的两位政治家来实施的,他们是于1624年开始掌权的黎塞留(1585-1642年)和他的直接继承人马扎然(1604-1660年)。

    在”三十年战争”中,法国是最大的受益者,其次是多瑙河的哈布斯堡王朝。它重新占领并保持住了波西米亚的王室领地。瑞典因投入了一场力所不能及的冒险而使自己精疲力竭。西班牙崩溃了,它未能有效地利用法国在1562-1598年间的瘫痪局面。1580年,葡萄牙和西班牙联合起来,力图把西班牙推上权力顶峰,但那时,尼德兰的战争牵制了它的力量。这不仅是尼德兰新教徒与天主教徒的内战,而且是尼德兰新教徒反对西班牙统治的一次民族起义。由于与西班牙的政治联系,葡萄牙的海外帝国不得不去打击荷兰人的进攻。西班牙在1621年试图再度占领尼德兰北部,结果却加剧了西班牙的资源消耗。继1588年英格兰打败西班牙海军之后,1639年,荷兰人又进一步歼灭了西班牙舰队。在陆地上,在旧大陆,1640年葡萄牙人和加泰罗尼亚人的反叛削弱了西班牙的实力。

    尽管西班牙丧失了它的海上霸权,但它庞大的海外殖民体系几乎未遭到什么损失,白银继续从安第斯山脉和墨西哥的银矿源源不断地运过来。但这些财富已无力挽救它的衰落。西班牙农业耕地面积已无法与法国相比,游牧部落大面积的畜牧业占地,阻碍了西班牙的农业发展。因而,西班牙象瑞典一样,由于人口不足而无法扮演它想要扮演的角色。西班牙、瑞典和德国的衰竭为法国提供了机会,它也抓住了这个机会。早在1552年,法国就已获得了洛林的3块绊脚石:梅斯、图勒和凡尔登。在”三十年战争”中,她又得到了阿尔萨斯。

    法国在1667-1713年的战争中幸存下来,就象多瑙河哈布斯堡王朝在”三十年战争”中获得幸存一样。甚至在1685年前后大部分新教徒移居国外时,法国也得以幸存。这些新教徒毕竟只是法国人中的一小部分。法国太繁荣了,这点损失并不能对它产生什么影响。不象当年西班牙驱逐犹太人和伊斯兰教徒那样,结果却削弱了西班牙自身。另一方面,法国这些有技术又勤劳的新教徒移民的增加,却加强了法国当时乃至未来的对手们的力量。这些对手包括北部尼德兰、英格兰,而首要的是勃兰登堡,以及符腾堡、好望角的荷兰殖民地和南卡罗来纳的英国殖民地。

    而且,在1667-1713年战争的后期,在英格兰和荷兰力量联合之后,在1740-1748年和1756-1763年的一系列英法战争中,在同英国争夺对西班牙帝国以北的北美的控制权和对印度的控制权时,法国都失利了。英国在1690-1763年间,从法国人手里夺走了北美洲,又在1746-1761年间夺得了印度(除了几个很小的独立飞地之外)。1767年,休谟让吉本尝试用英文写作。他预言北美将被讲英语的人占领,而在美国独立战争爆发后,休谟的预言得到吉本在其用英文撰写的一篇文章的赞同。

    虽然法国在北美和印度的角逐中失败了,但在1627年后强大起来的西方国家中,法国和多瑙河哈布斯堡王朝是近一个世纪以来仍能维持这种地位的仅有的两个国家。西班牙的势力在”三十年战争”中被它的同伴挤垮了;尼德兰北部因1667-1713年的战争而衰落;瑞典在1700-1721年同俄国的战争中败北并从此衰落。到1721年,尼德兰人的地盘已被英国人所占,瑞典的地盘为俄国和普鲁士所占。多瑙河哈布斯堡王朝再一次顺利推进,他们继承了西班牙哈布斯堡在伦巴第地区和南部尼德兰的统治权。在奥斯曼帝国于1682-1683年间对维也纳的第二次围攻失利之后,哈布斯堡王朝作为回报继续向东扩展。

    从宗教改革运动到为追逐政治权力和经济利益而公开进行的战争,到17世纪中叶,伴随西方复兴而来的是战争暴行的缓和。西方国家之间的战争仍在继续,但已不再是彼此怀有敌意的人和宗派之间的极端斗争,而是身着制服、有严明纪律的、职业性的政府雇佣军之间的”适度竞争”(吉本语)。这样一来,平民百姓的生命和财产便有可能少受损失。军队被要求实行军粮自给,不再靠国家供养。平民百姓面临的仅只是国家统治者们的改朝换代,这就使他们可能免遭掠夺、驱逐和屠杀之苦。西方国家的政府并不总是能够使新的人道规范付诸于实践。战争本身就是残酷的,停止战争才是唯一的对策。试图想使战争人道化的天真想法根本不可能比部分的减缓战争有更好的效果。法国在1674年和1688年先后两次对莱茵河的巴拉丁进行了蓄谋已久的掠夺。一个设防的城市,如果它的驻军拒绝投降,它便会被强行攻占。得胜的敌军自认为对当地居民进行洗劫是他们的权利。但在1688年至1792年之间,就西方世界整体而言,战争的残酷性还是成功地被减少到相对较低的程度,而早在15世纪,北部意大利的局部地区的战争残酷程度就已降低到了这种水平。

    第七十七章 东正教世界(1556-1768年)

    自从989年俄罗斯皈依东正教以来,东正教世界便由两部分组成,一是它在东南欧、小亚细亚和高加索地区的旧有领地,一是俄罗斯的新领地,在空间上,它与旧有领地之间横隔着黑海北部欧亚大平原的西端。尽管为这种地理障碍所分隔,俄罗斯仍被一种共同的宗教而与东正教世界联合在一起,并且,她还从希腊文和保加利亚文的《圣经》文本中接受了拜占庭文明。尽管如此,俄罗斯仍是独立的,并仍在不断扩展。在1552-1637年或1638年期间,它从伏尔加河上游地区向东扩张到了太平洋西北岸。它的扩张既未被奥斯曼人所阻止,也未被卡尔梅克人所未退。

    对比之下,整个东正教世界的南半部此时却既附属于奥斯曼帝国,又附属于西方基督教的统治。在奥斯曼帝国日益发展壮大的过程中,东地中海地区的西方基督教殖民帝国成了它的牺牲品。例如,希俄斯这个1346年以后一直由一家热那亚的特许公司统治着的岛屿,于1566年为奥斯曼帝国吞并,1645-1669年奥斯曼人又从威尼斯人手中夺取了自1204年以后就一直置于其统治之下的克里特岛。但是,这些主仆关系的变化仍然使南部的东正教徒们处于臣属状态。少数奥斯曼希腊社区得到了一定限度的地方自治权;但是,在奥斯曼的版图之内,却只有6个完全享有自治权的公国,其中4个是高加索的格鲁吉亚人聚居地.另外2个是位于多瑙河下游北岸的罗马尼亚公国瓦拉几亚和摩尔多瓦。

    尽管如此,希腊人的情况并未象想象中的那样糟糕,而俄罗斯人也未象想象中的那么顺利。虽然俄罗斯向东方的扩张已跨越了欧亚大平原的北部高原,但她仍面临着欧亚大平原西端的游牧民族的侵袭;克里米亚汗国是金帐汗国的后裔邦国中最靠西南端的一个邦国,它的幸存受惠于1475年沦为奥斯曼帝国的附属国。1671年,克里米亚的鞑靼入侵者放火焚烧了莫斯科。而且,莫斯科是个内陆城市。除去摩尔曼斯克之外,俄罗斯仅有的不冻港位于里海北海岸,虽然里海很大,但它充其量只是一个”湖”,而且,即使摩尔曼斯克,也不易从俄罗斯腹地进入。奥斯曼帝国在顿河口的要塞亚速,堵住了莫斯科人进入亚速海并进而进入黑海、地中海和大西洋的通道。

    莫斯科经波罗的海和北海进入大西洋的通道也被阻塞了。于1478年为莫斯科吞并的前俄罗斯诺夫哥罗德共和国,在芬兰湾顶端也曾据有一段不长的海岸线,但是1558-1583年间,伊凡雷帝(1530-1594年)试图扩展它,反而丧失了这一波罗的海沿海地区。在莫斯科的一段无政府状态期间(1604-1613年的”混乱时期”),瑞典人于1611年占领了诺夫哥罗德,并于1610-1612年期间,占领了波兰人统治的莫斯科。1618年的和解给莫斯科带来的仍是瑞典对于通向波罗的海之路的阻碍,波兰-立陶宛的整个东部边界如今再次逼近莫斯科,向前推进到15世纪时的位置。

    从989年至1589年,东正教世界中的整个俄罗斯都处于君士坦丁堡大主教的基督教会管辖权之下,因此,虽然自从1453年之后,君士坦丁堡的最高主教成为奥斯曼帝国的一名臣仆和奥斯曼领土上的一名义职公务人员,但是他的基督教领地的大部分,仍然处于奥斯曼帝国的边界之外。尽管如此,1589年时的莫斯科大主教仍高傲地保持着独立的基督教主教职权的地位。作为回报,波兰-立陶宛王国政府于1594-1596年,强迫其统治下的绝大多数东正教徒改宗为东仪罗马天主教徒。成功地抵制了与罗马教会合并的,只有那些为第聂伯河的哥萨克人所控制的波兰-立陶宛王国的乌克兰臣民。而在1648-1654年期间,当第聂伯河的哥萨克人在政治上从波兰-立陶宛转而效忠莫斯科时,君士坦丁堡大主教甚至丧失了他北方教区的最后一批教民。

    正如15世纪那样,东正教会对西方基督教充满敌意。它厌恶与西方的新教徒发生关系,尽管这些人曾追随着东正教徒共同抵制过罗马教廷对至高无上的基督教教权的要求。君士坦丁堡的主教并未与波兰的新教徒携手抵制波兰-立陶宛的反宗教改革,这也就成为其末能成功地阻止那些在波兰-立陶宛统治之下的基督教臣民中的绝大多数人被强迫改系为东仪天主教徒的原因之一。西里尔?卢卡里斯于1620-1635年和1637-1638年间任君士坦丁堡主教,他倾向于加尔文教派,但只有极少数地在希腊正教牧师中的学生追随他信奉此道。18世纪的一位希腊教育学家尤金?乌尔加里斯(1716-1806年)曾遭到希腊基督教当局的宗教迫害,其原因就在于他曾在德意志受过教育并且精通当代西方哲学。

    东罗马帝国于1453年灭亡之后,君士坦丁堡的主教职位为奥斯曼希腊的僧俗大众提供了一个重整旗鼓的集合点;然而,在此后的两个世纪中,希腊的东正教徒并不象僧侣们那样笃忠,他们逐渐地对西方产生了好感。在16世纪,奥斯曼希腊的商人们已经在与西方的贸易中攫取了实惠,这一点我们已有所提及。当1682-1683年奥斯曼帝国对维也纳的第二次围攻归于失败以后,接踵而来的是多瑙河畔的哈布斯堡王朝向东方对奥斯曼帝国领地的扩张,奥斯曼希腊在地中海地区的海上贸易却也因此从其与中欧的陆路贸易中得到补偿。

    与西方建立了商业或政治交往的希腊人,同时也受到西方文化的诱惑。奥斯曼帝国以及威尼斯王国的希腊人在帕多瓦大学中求学,威尼斯统治下的克里特人以流行的西方风格,创造出了一种现代希腊语的口头文学。这种克里特希腊文学的创造,因1669年干地亚的陷落而为克里特自己所打断,但是克里特难民们却把他们的文学遗产带到了爱奥尼亚群岛,并在威尼斯的统治之下保存了下来。当17世纪在奥斯曼帝国与西方基督教国家的长期战争中,形势开始变得对奥斯曼帝国不利的时候,奥斯曼希腊人对西方的认识和了解,在政治上对他们则是十分有益的。此时,奥斯曼帝国政府发现,它需要一些能够胜任与西方人谈判的外交家。1669年,土耳其政府的台尔果曼官职(相当于外交部的官员),被封经给受过西方教育的奥斯曼希腊人。从1711年以后,对两个罗马尼亚公国瓦拉几亚和摩尔多瓦的统治权,被授予希腊的奥斯曼臣民。奥斯曼政府受到允许这两个公国由信基督教的王公治理的条约之约束。1711年,摩尔多瓦地方的王公在其公国受到彼得大帝侵袭之际,背叛了奥斯曼帝国。奥斯曼人认为,他们可以信赖他们的希腊臣民,因为这些人定居于奥斯曼帝国,并因此而听凭奥斯曼人的支配。这两个罗马尼亚公国是富有的,除授王公以官职,无论对被任命者,还是对那些希腊候选人不得不去贿赂的土耳其官员们来说,都是有利可图的。

    希腊人诱使奥斯曼政府于1766年废除了佩奇的塞尔维亚主教教座,又于1767年致使奥赫里德的巴尔干大主教教座被取消,而使这两处非希腊人的东正教会置于由君士坦丁堡主教任命的主教控制之下。到此时为止,处于”官方”地位的受过西方教育的奥斯曼希腊人,在奥斯曼帝国的非希腊基督教臣民的政府中,一直是级别较低的合作者。希腊人开始梦想着,有朝一日他们会成为奥斯曼人的高级别合作者,甚而成为他们的遗产继承人。

    在17和18世纪中,东正教世界历史中的一个重要事件是彼得大帝(实际在位1682-1725年,取得合法王位1694-1725年)领导的俄罗斯西方化的革命。这一历史进程并不是彼得发动的。在这之前,西方的影响就已通过白海的阿尔汉格尔港以及乌克兰的东正教会渗透到俄罗斯。阿尔汉格尔是在莫斯科丧失了她在芬兰湾的海港之后,于1585年建立的,而乌克兰在其处于波兰-立陶宛统治时期,就已受到了西方的影响。到彼得时代,莫斯科城外已建立了一个西方居民的定居点,那里成为彼得常去的地方。俄罗斯的西方化既不是彼得发动的,也不是由他完成的。1700年,他中止了莫斯科主教的教权,并于1721年以一种宗教会议取而代之,这种会议成为国事活动的一个组成部分。但是,他却未能根除俄罗斯人民中农民大众对宗教的虔诚。他把莫斯科的君主制度从传统的拜占庭风格,转变为风行的西欧式风格,但他并未因此而丧失它的权力和政治专制。

    彼得继承了一个庞大的帝国,但这帝国却没有一处不冻港。他下决心寻求走向海洋之路。他的前辈伊凡雷帝已曾这样做过,而彼得继承的正是伊凡未竟的事业。彼得为俄国在波罗的海赢得了一个海港,他于1696-1711年又夺取了亚速。彼得获得了成功,因为他认识到,在当今世界上,如果不掌握西方的陆军和海军技术,俄国就连瑞典这样的二流国家也无法战胜,而如果俄国的行政管理和她的工业经济部门不首先实现西方化,建立一支西方式的俄国陆军和海军只不过是纸上谈兵。

    彼得在技术方面的热情和天赋,即使在同时代的尼德兰人身上也不多见。在英格兰,皇家学会的奠基者们早在30年前就已认识到,技术专家和科学家之间的相互学习是极为必须的。彼得是一位长于实践的技术专家,他总是亲手进行技术制作。这一点对于一个奥斯曼君主来说,是理所当然的,掌握一些实用的手艺,是接受君主教育的必修科目;然而这并不是一位拜占庭式的莫斯科专制君主的传统,因为莫斯科王朝的缔造之父乃是一位莫斯科大主教。

    彼得天生爱好高度的个人自由,这一点似乎与继承莫斯科的沙皇之位,成为一种难以预料的巧合。它还是另一种巧合,即彼得恰巧出生于这样一代人之中:由于当时西方的思想革命,他们成为接受了西方技术的第一代非西方人,他们在接受西方技术的同时,并没有被迫生吞活剥地接受包括宗教在内的全部西方文明。也许再早一个世纪,俄国进行西方化努力的结局,就会象日本和阿比西尼亚那样,不仅不能取得哪怕是部分的成功,反而会引起激进的反西方的反动。因此,彼得的个人品格在他所处的时空环境中,对于人类的历史进程便具有特别重要的意义。

    第七十八章 伊斯兰教世界(1555-1768年)

    在1555年至1707年的一个半世纪中,伊斯兰教三大帝国–奥斯曼、萨非和帖木儿人的莫卧儿–并存于世,覆盖了伊斯兰教世界的大部分。奥斯曼帝国比萨非帝国早建国约200年,比帖木儿人的莫卧儿帝国早建国约250年(如果我们把蒙古人之后的第三个伊斯兰教帝国的建国日期从1555年胡马雍再次进入德里、而不是从1525-1526年其父巴伯尔侵入印度算起的话)。在1555年,奥斯曼帝国达到鼎盛,并处在由盛转衰的转折点。在阿克巴(1556-1605年)和查罕杰(1605-1627年)统治时期,印度帖木儿人的莫卧儿帝国也达到鼎盛。沙阿?阿拔斯一世统治时期(1588-1629年)则是萨非帝国的鼎盛时期。

    奥斯曼帝国的衰落是由同时发生的通货膨胀和国王的奴隶近卫军势力日益膨胀而引起的。通货膨胀产生了经济危机,并使得公务雇员因发现薪金购买力下降而发生了骚乱。这种经济的和社会的动乱是由于大批来自美洲西班牙帝国银矿的白银流入旧大陆文明中心而引起的。这种白银流入超出了奥斯曼帝国的控制。但是,如果国王奴隶近卫军的纪律没有遭到破坏,那奥斯曼帝国中后来发生的骚动本来不会那么激烈。而造成奴隶近卫军军纪涣散的原因,则在于人们越来越不严格执行这样的规定,即帝国奴隶们的儿子作为天生的自由民和穆斯林,没有资格从事其基督徒出身的当奴隶的父亲的职业。

    最初,这一规定的唯一例外是近卫军骑兵的儿子继承父业。苏莱曼一世(1520-1566年在位)已开始将这一特权扩大到近卫军步兵的儿子。这种特许权在1566年受到谢里姆二世的肯定。穆拉德三世(1574-1595年在位)使所有的穆斯林自由民都有资格当兵。结果,从1566年到1598年,工资册上近卫军步兵的数目从约12000人增加到101600人,其中还不包括不领工资等待空额的候选人。充任高级行政官员的征募少年仍从基督教儿童中招募,但这一做法在17世纪被逐渐放弃,奥斯曼政府现在不得不在不奴役基督教臣民或迫使他们改宗的情况下利用他们的才能。同时,近卫军的步兵已不再是一支有效的军事力量,而变成了捣乱的城市暴徒。

    但是,奥斯曼帝国的军事力量并没有立即崩溃。曾在1623年被沙阿?阿拔斯一世为萨非帝国恢复的巴格达,又于1638年被奥斯曼帝国的穆拉德四世(1623-1640年)再次征服。1682-1683年,奥斯曼人得以第二次包围维也纳城。但攻占维也纳的再次失败,使奥斯曼人招致自1402年巴耶塞特一世被帖木儿推翻以来所遭受的最严厉的报复。1689年,哈布斯堡帝国反攻到了瓦尔达尔河上游地区。虽然奥斯曼人在1690年重新集结,但他们不得不在1699年将奥斯曼匈牙利和克罗地亚割让给哈布斯堡君主,将伯罗奔尼撤半岛割让给威尼斯,在1700年将亚速割让给俄国(该地已于1694年被俄国人占领)。但奥斯曼帝国在1711年恢复了亚述,并在1715年恢复了伯尼奔尼撒及泰诺斯岛。1768年,奥斯曼帝国仍占有波斯尼亚和贝尔格莱德,并对多瑙河下游以南的两个罗马尼亚人的公国行使着有效的宗主权。事实上,就其从似乎是不可逆转的灾难中恢复过来的能力来看,奥斯曼帝国仿效了其前辈东罗马帝国。

    而且,奥斯曼帝国在军事和行政上的衰落,并没有损害它在建筑方面的创造力。1609-1618年建于伊斯坦布尔的苏丹艾哈迈德一世清真寺就是一座富丽堂皇的宏伟建筑。即使把它与索菲亚大教堂相比也毫不逊色。但是,除了布尔萨的穆罕默德一世的绿清真寺以外,奥斯曼的任何公共建筑物都比不上1612-1637年建于伊斯法罕的沙阿?阿拔斯的国王清真寺和1632-1653年建于阿格拉的沙阿?贾汉的泰姬陵。国王清真寺不仅本身美丽壮观,而且它与王宫附近更古老的美丽建筑物也特别协调和谐。在建于1569-1576年的阿克巴的新城法特普尔西克里,也有许多漂亮的建筑物。但法特普尔西克里很象雅典的卫城,它只是许多虽然美丽但风格各异的建筑物的汇集,而不象伊斯法罕王宫的各个建筑那样彼此协调。

    帖木儿人的莫卧儿帝国和萨非帝国不仅仅是在建筑上超过了同时代的奥斯曼帝国。在沙阿?阿拔斯一世和阿克巴两位皇帝统治时期,他们这两位统治者,其眼界是同时代奥斯曼君主中的任何皇帝都无法与之相比的。

    阿克巴认识到,如果不能赢得印度教臣民的赞同,印度的穆斯林政权就不可能长期存在。1564年,他取消了对非穆斯林征收的人头税。1567-1568年,他占领了齐图尔(这一城市象坚不可摧的磐石那样抵御了大炮的轰击),从而向匈奴人和古吉拉特人的后裔拉杰普特人显示了实力。但是,在威慑住拉杰普特人之后,阿克巴又与他们和解了。这是个聪明的做法,因为在马拉塔人和锡克人兴起之前,拉杰普特人最骁勇善战,而且自12世纪穆斯林征服朱木拿阿和恒河平原后,拉杰普特人集中的拉贾斯坦在印度教徒保持自治的所有地区中,距离德里最近。

    但是,阿克巴与印度教臣民的和解不仅仅是出于政治考虑,它部分是受到这样一种欲望的鼓舞,即要打破历史上高级宗教之间的传统界限。阿克巴主持召开了有伊斯兰教、印度教、琐罗亚斯德教和罗马天主教的代表参加的一系列的辩论。1582年,似宣布了自己的新宗教”丁一伊拉赫教”(”神圣宗教”),它希望这一宗教能够超越各个宗教而使所有的旧宗教统一起来。

    占用阿克巴主要的时间和精力的事情,自然是帝国的组织和扩张。阿克巴得益于孟加拉的阿富汗皇帝希尔?沙?苏里的行政和财政能力,后者曾在1539-1540年将阿克巴的父亲胡马雍驱逐出印度。希尔?沙在短暂的统治期间内创建了非常好的行政和财务机构以及邮政局,这些财富都由阿克巴继承了下来。

    沙阿?阿拔斯一世没有阿克巴那么幸运。他必须从根本上重建萨非帝国的结构。他继承的财产,包括被其祖先沙?伊斯玛仪强迫改宗什叶派的说法斯诺的城市和农村居民,及一支难以驾驭的外来土库曼人的军队(其成员是逃离奥斯曼和马木路克帝国的什叶派难民)。他之所以使土库曼人就范,部分原因是赢得了其中一部分人的效忠,部分原因是模仿奥斯曼君主的奴隶近卫军,建立了一支包括步枪手和炮兵团的新的军队。他们比奥斯曼的近卫军虽要逊色,但由于奥斯曼帝国已经衰落,因而阿拔斯一世的新式军队完全能够成功地收复1514年以来萨非人丧失给奥斯曼人的大部分领土。1622年,阿拔斯一世还借葡萄牙人之手恢复了霍尔木兹,并且用建在大陆的新港阿拔斯港取代了霍尔木兹。

    1598年,阿拔斯一世为帝国在伊斯法罕建成了一个新首都。这座新都位于奥斯曼军队的进攻范围之外,但离帝国东北角萨非的阿富汗臣民却又很近。同生活在萨非帝国与奥斯曼帝国之间有争议的交界地区上的库尔德人一样,阿富汗人也是尚武的高原民族;他们的母语是非波斯语的伊朗语。这两个民族都没有屈服于沙?伊斯玛仪接受十二伊玛目什叶派的压力,对萨非政权的态度都不友善。在1722年,一队阿富汗人起义者还占领了伊斯法罕。萨非帝国解体之后,奥斯曼帝国和俄罗斯帝国于1724年约定瓜分它们衰落的邻邦所丢弃的西部行省。但是,在1729年,有一位呼罗珊土库曼人士兵纳迪尔?库里又将阿富汗人赶回他们自己的高原,并最终恢复了俄国人和奥斯曼人占领的前萨非帝国的全部领土。

    在另一方向,纳迪尔则采取了攻势。1739年,他劫掠了德里;1740年,他占领了直到药杀水南岸的乌兹别克。1736年他给自己加冕为沙阿,并试图让伊朗再次改宗为逊尼派。但是,奥斯曼政府拒绝了他要求宗教联合的条件,他的伊朗臣民坚持效忠于两个世纪以来一直作为自己民族宗教的什叶派。1747年纳迪尔沙遇刺身亡,伊朗重新陷入政治动乱。

    帖木儿人的莫卧儿帝国已经解体。阿克巴的第二任继承者沙阿?贾汉(1628-1658年在位)放弃了阿克巴与印度教徒和解的政策,并且进攻德干高原独立的穆斯林小国。沙阿?贾汉的继承者奥朗则布(1659-1707年在位)走得更远,1675年他处死了锡克教第九代古鲁得格?巴哈都尔;他迫使莫卧儿人的盟友拉杰普特人于1680-1681年拿起武器反抗他。

    1689-1691年间,奥朗则布将他的宗主权伸展到印度半岛的南部。同时,他自己也遭到了印度教徒一次严厉的反击。马拉塔人占据了西高止山脉的许多天然要塞,并且找到了一位民族领袖施瓦吉(1627-1680年)。1670年,行踪不定的马拉塔人轻骑兵首次在莫卧儿人的领土上征收贡赋。1674年,施瓦吉本人自立为独立的印度教统治者。在1707年奥朗则布死后,莫卧儿帝国的解体更加迅速。1737年马拉塔人到达德里附近;1739年纳迪尔沙阿劫掠德里;1757年,阿布达利部落的阿富汗人艾哈迈德?沙阿?杜拉尼–他是继承纳迪尔沙阿短命帝国的阿富汗王国的创始人–劫掠德里,并在1758-1761年的较量中击败了马拉塔人。

    对于下一阶段的印度历史来说,英国人战胜法国人比阿富汗人战胜马拉塔人更具有决定性的意义。甚至英国人在完全除掉竞争对手法国人之前,已经采取第一个行动使自己成为莫卧儿的继承人。1757-1765年,英国东印度公司已在担任莫卧儿帝国政府行省收税人的幌子下,成为孟加拉、比哈尔和奥里萨的实际统治者。

    莫卧儿帝国在印度的继承者是英国东印度公司和英国国王。但是,由艾哈迈德?沙阿在1747年建立的横跨兴都库什山脉的阿布达利人的阿富汗国,直到20世纪70年代仍然占有曾经属于莫卧儿和纳迪尔沙阿的一部分领土。在伊斯兰世界的另一端,摩洛哥努力保持着对奥斯曼帝国和西班牙帝国的独立。1579年,摩洛哥人消灭了一支葡萄牙人的侵略军。1591年,他们越过撒哈拉沙漠,在西部苏丹为自己征服了一个殖民帝国。这一战绩比同一时期哥萨克越过乌拉尔山的战绩更为辉煌。

    摩洛哥人和哥萨克人一样常胜不败,因为他们装备有其敌手所没有的火器。火力优势(掌握火炮和步枪)也可以用来说明奥斯曼人对萨非人的军事优势。摩洛哥人在西苏丹的军事实力和基本上独立的奥斯曼领地阿尔及利亚、突尼斯和的黎波里塔尼亚中的奥斯曼人少数统治者在地中海的海上实力,大都得益于当地穆斯林所招募的掌握了同时代西方基督教国家军事技术的外国人。这些应募者包括来自西班牙的穆斯林难民、改宗的西方基督教战俘和谋求在本国所达不到的升迁机会而变成”土耳其人”的西方移民。

    人们已经注意到,彼得大帝对瑞典人的胜利,实际上是对他将俄国技术提高到同时代西方水平的一种奖励。然而,西方技术尚未达到可以战胜装备虽不精良但占有有利地形的敌手的程度。莫卧儿人的大炮,尽管部分是由西方雇佣军所操纵,但仍征服不了马拉塔人在高止山脉的天然要塞。奥斯曼人一直掌握着能与西方人、俄国人和伊朗人的武装力量相抗衡的军事实力,但却无法避免瓦哈比教派在阿拉伯半岛中部的兴起。阿卜杜勒?瓦哈比(1703-1792年)是逊尼派伊斯兰教中清教徒式的罕百里教派的狂热信奉者;1745年他在被沙漠与奥斯曼帝国隔开的阿拉伯半岛中部使沙特家族的当政者改宗,从而为这一小块绿洲上名不见经传的统治者带来了好运。到1773年,信奉瓦哈比教派的沙特人已征服和统治了阿拉伯半岛中部的其他地区。

    第七十九章 东亚(1644-1839年)

    在所有非西方的区域文明中,东亚文明是最后经历现代西方文明强力冲击的。这种冲击强烈得足以在被冲击文明的历史进程中产生革命性的作用。在1622年至1641年期间,日本几乎将自己完全地封闭起来。日本臣民被禁止出国,获准继续留住日本的外国人只有中国与荷兰的商人,而且他们只能使用日本的一个港口。在中国,西方人仍然可以经商,可以住在澳门的葡萄牙人居留地以及与广州相邻的一个小岛上。但是,自1760年以后,西方的商人们就不再被允许前往中国的任何其他港口,中国臣民公开信奉基督教也受到禁止(如同日本臣民在1597年和1616年曾受到禁止一样)。此后,固执的中国基督徒受到迫害。基督教在中国受到的镇压,不象它于1612年至1638年间在日本受到的镇压那样严厉。但是,从1723年开始,中国也把她自己同西方隔绝开来,尽管这种隔绝不象日本和阿比西尼亚的自我隔绝那样严厉。

    1644-1839年间,中国与西方的贸易额,不仅在绝对数量上,而且相对于中国的财富和人口来说,也已超过了日本。尽管如此,中国在那一时期却不象日本那样需要保持与西方的商务关系。实际上,中国在经济上依旧是自给自足的。最后终于在中国顺利增长的对外贸易是强加给中国政府的,是违背它的意愿的。那是中国为在1839-1842年间的英中战争失败而付出的赔偿。至于日本,它的国民总产值在其经济上自我封闭的时期(1641-1853年)有了巨大的增长。

    文化方面,清(满洲)朝统治下的中国与明代的中国一样,仍然是内向的和守旧的。中国曾经经历过草原游牧民族蒙古人的征服和统治,在明代,内向与守旧是对这种经历的文化上的反应。满洲人与蒙古人不同,作为非游牧民族的蛮族,他们真挚而成功地接受了中国的文化。有清一代,继续盛行不变的中国非传统文学形式只有小说和戏剧。它们是中国历史上元(蒙古)代的遗产,经历了偏爱古风古韵的明代而得以生存下来。

    清代中国的儒家学者使这种古风古韵找到了自己必然的归宿。这些学者们既抵制当时各种各样的新儒学–由官方确立的朱熹的一套儒家学说,也反对王阳明的学说。这些清代学者们的目的是要发掘并重建汉武帝时代的儒学。那时,儒家学说首次作为中国皇帝的官方哲学得到”确立”。清代的学者对流行的注解儒家经典学说的释文进行了批评。他们的学问,可以与当代西方前基督教时期希腊和拉丁文学研究者们的学问相媲美。但是,清代的学者们却没有觉察到,汉代的儒家学说与孔子和孟子最初的哲学思想相比,已经有了多么大的差距。

    当以朱熹和王阳明为代表的新儒学在中国受到责难时,朱熹的一套儒家学说却在日本得到了德川家康以及德川幕府的后继者们的提倡。这是因为他们相信儒家的伦理道德说教将使他们自己的政治权力得到加强。德川家族出于同样的原因,而不赞成王阳明的新儒学,然而王阳明却在德川时代的日本拥有信徒。德川时代,也有一些信奉儒学的日本人追随其中国的同时代人,追求恢复汉武帝时的儒家学说。

    尽管儒学受到德川家族的偏爱,佛教却没有受到压制。德川家光将军(1623-1651年)的确曾下令日本的每个世俗臣民都进行登记,表明他与某个佛教寺院有施受关系,并以此作为他不是基督徒的证据。此外,社会上对各个佛教派别的自发的忠诚依然存在。这些佛教派别已经在文化上日本化了。与此同时,对于神道教的兴趣和感情也再度复苏。由于它是日本固有的宗教,而非中国的或印度-中国的舶来品,因而吸引了那些具有国家主义观念的日本人。

    清朝(满洲)的皇帝康熙(1672-1722年在位)和乾隆(1736-1769年在位)效法明朝的皇帝永乐,收集了流传到那时的历朝历代的汉文典籍,编成一部丛书。康熙的这部丛书尽管收罗宏富,但却是所收典籍的摘录。它于1728年被印成了5000卷。乾隆的丛书是未经删节的,多达3600卷。这部丛书的7部校订本加上原本,都是手抄的。汇编这样一部汉文典籍,为乾隆提供了一个机会,他可借此发现并禁毁那些在政治上引起他反感的书籍。康熙还出了一部字典,乾隆则编有数部百科全书,在那些书中,他提出了自己对于中国各项政治制度的见解。

    清朝成功地完成了3项军事任务,即镇压南方反抗满洲人的敌对活动,制止俄国人在阿穆尔河流域的推进,粉碎草原游牧族西部蒙古人(准噶尔、厄鲁特、卡尔梅克)在西北的统治势力。1658年阻挡住了俄国人的那条边界,在1689年和1727年的中俄条约中得到了确认。西蒙古人在结束于1839年的那个时代里,一直是满洲人军事上最可怕的对手。

    在16世纪的最后25年中,西蒙古人效法他们在东方的同族人,转变信仰皈依了西藏大乘佛教的密宗。黄帽派改变了蒙古人的信仰,1641-1642年,西蒙古人中的一部在打败了支持敌对教派红帽派的西藏人之后,把黄帽派的领袖达赖喇嘛在拉萨扶植起来,并把他置于蒙古人的统治之下。1670年和那时以后,西蒙古准噶尔部的军事首领噶尔丹吞并了讲突厥语的穆斯林居住区,那里就是今日中国的新疆省区(塔里木盆地及其东北方某些重要的战略地区)。1696年,噶尔丹进犯当时已处于满洲宗主权保护下的东部蒙古,但是他败于康熙的炮队手下。噶尔丹的入侵得到了西部蒙古人在拉萨的西藏同情者的支持。这就在准噶尔人和满洲人之间引发了一场由谁来控制达赖喇嘛的竞争。1750年,满洲人赢得了这场竞争。

    随后,乾隆皇帝进攻了地处天山与阿尔泰山之间的准噶尔人的故乡。1755-1757年,他大败准噶尔人,1758-1759年,他又征服了今日新疆境内的准噶尔人从前的穆斯林属国。尽管阿拉伯大草原上的瓦哈比人直到第一次世界大战之后都仍然具有爆炸性,准噶尔人的草原帝国却成为欧亚大平原上最后一个具有爆炸性的帝国。满洲帝国与俄罗斯帝国这两大农耕国家的军队都已装备了火器。这两大农耕帝国1652年在阿穆尔河流域的冲突,业已勾划出了对欧亚大平原的包围,从那时起,欧亚大平原上游牧民族的命运便已经注定了。

    满洲人对于西蒙古主体部分的胜利,在1717年得到了确认。那一年,卡尔梅克人的一部分由西向东,从俄国迁人满洲帝国境内。早在大约1613年,卡尔梅克人就已迁移到伏尔加河与顿河下游之间的地区。留在伏尔加河西岸的西部卡尔梅克人的残部是无足轻重的。俄国与土耳其之间的凯纳甲湖和约(1774年)中规定,奥斯曼帝国将其对于克里米亚汗国的宗主权让与俄罗斯帝国。1783年,俄罗斯帝国直接吞并了克里米亚。它是残存下来的最后一个金帐汗国的继承国。与此同时,蒙古人对佛教的皈依也减弱了这个民族的好战性格,佛教还为青年男性打开了一条去做独身僧人的生活之路,从而减轻了这个民族受到的人口压力。与上述因素相联系的欧亚草原游牧民族命运的改变,迫使他们沉默下来,并从旧大陆文明中心的生活中除去了一种生气勃勃的因素。这种因素曾在将近4O00年的历史中一直扮演着主角。

    1757年以后,中国就摆脱了欧亚游牧蛮族对它的威胁,它在这种威胁之下至少已忍耐了2000年之久。从那以后,乾隆就陷入了南向的进攻性战争中:对缅甸的战争(1766-1770年)、对越南的战争(1788-1789年),以及对尼泊尔的战争(1790-1792年)。然而,乾隆的军事扩张却如同奥朗则布的军事扩张一样,掩盖了当时其帝国内部社会与经济方面的弱点。

    在这些弱点中,最为严重的是在至1839年为止的100年间中国人口的惊人的增长。记录下来的人口数或许并不准确,但是毫无疑问,在那100年间,人口的增长超过了此前100年间中国的食物供应的增长。食物供应曾由于从美洲引进的粮食作物而得到增加。这类粮食作物可以种植在从前因不适于水稻生长而被闲置的土地上。但是,这样的土地有一部分是在山坡上,它们最后终因其上覆盖的自然林木被砍伐殆尽而裸露出来。在乾隆朝的末期,中国农村人口的人均实际收入肯定已经开始下降了。

    德川政权统治的最初100年间,日本的人口可能是以50%的速度在增长。到1721年为止,它的人口达到了将近3000万。但是,从那时起,直到日本自我封闭时代结束的19世纪60-70年代,其人口几乎没有发生变化,尽管农产品在持继增长,日本经济的商业和工业部分也在持续扩大。德川时期日本的人口并未随其财富的增加而成比例地增长,这是因为,财富的分配变得越来越不平均。与农业生产率的提高相伴随的,是农业的商业化,这就把大多数的农村人口变成了城乡的无地而贫困的仰赖工资维持生活的人。德川政府强迫封建领主(大名)和他们的家臣(武士)过他们所无力维持的生活,要求他们每年都在德川幕府的所在地江户(今日的东京)居住一段时间。这是德川家族控制他们的策略之一,他们因此而被处心积虑地搞垮了。

    受益的是商人。这是一个被人看不起的新阶级。他们顺理成章地避开了对农业土地征收的重税。日本的不断增长的财富于是落入了商人们的手中。被从农业中排斥出来的昔日的农民,变成了商人工场中的雇工;大名和武士则沦为商人们的债务人。在20世纪70年代仍为世界最大的企业之一的三井公司,在大约70年的发展中崛起,于1691年成为德川幕府和皇室双方的官方银行家。

    1793年,英王乔治三世的一名专使向乾隆递交了一封英王写给乾隆的信件。这位皇帝的复信显示出,他心目中的中国依然是世界上最有势力的”中央王国”,自给自足,坚不可摧。乾隆显然并不了解,自从550年前西方人第一次出现于中国之后,军事力量的天平就已向有利于西方的一侧倾斜了。另一方面,在日本至少有一个人–林子平(1738-1793年)已经多少意识到了这一点。他于1786年出版了一本名为《海国兵谈》的书。林子平为俄国人在北太平洋海面上的活动而感到不安。那时,与荷兰人同种的英国人、法国人和美国人,尚未出现在日本南方的地平线上,俄国人被看作是仅有的西方人。

    第八十章 生物圈(1763-1871年)

    在1763-1871年这风云变幻的百余年间,最为重要的事情就是人类控制自身和征服人类之外的自然界的能力,获得了突飞猛进的长足发展。人类能力的这种发展是通过社会进步与技术创新相结合而取得的。产业工人和士兵们服从于严格的纪律,操纵和使用能力空前的机器和武器从事劳动和作战,并且被组织起来以加快工作的节奏。他们的工作效率和作战能力因此而得到了提高。17世纪末叶,西方开始出现纪律严明的职业军队。18世纪末叶,练兵场上强制性的军事化组织已被采用到民用工厂里,而被发明用于镗火炮炮筒的技术则应用于蒸汽机活塞的加工。虽然技术和经济革命的爆发并非一定能精确地确定政治革命或战争爆发的日期,但在非军事领域里,人们把人类能力的这种突然增长称为革命,却是当之无愧的。

    18世纪中后期开始于英国的技术和经济革命,转移到了农业、畜牧业和工业。1871年,这一革命超出了英国,席卷欧洲大陆,并且叩响了北美和日本的大门。时至20世纪70年代,这一革命仍有方兴未艾之势。尽管这场革命似乎仍未完结,但是当我们今天回首往事时却可看到这样一个事实:工业革命使人与生物圈的关系发生了颠倒。

    毫无疑问,人类已经在生物圈上留下了他的印迹。但迄今为止,象生物圈中的其他芸芸众生一样,人类仍无法超越生物圈为他提供的生存空间的限制。凡是那些试图超越生物圈所容许的生存界限的物种,都曾经使自己陷于灭种之灾。事实上,连同人类在内的一切物种,迄今为止都生活在生物圈的恩惠之下。而工业革命却使生物圈遭受了了由人类所带来的灭顶之灾。人类植根于生物圈并且无法离开它而生存,因此,当人类获得了使生物圈无法为人类所生存的能力时,人类的生存便受到了自身的威胁。1871年,英国人的这一成就便得到其他西方国家的效仿。

    这使得整个西方暂时支配了西方之外的人类文明世界的其他地方。西方人对世界的统治成为1763-1871年期间第二件重要的事件。第三件重要的事件,是一些非西方国家对西方压迫的反抗。如果按照事情相对重要的次序来列举的话,第四件也是最后一件重要的事件,则是西方的国内事务。工业革命被认为是必然要发生的事件。虽然它开始于西方国家,但它对于生物圈来说却是意义重大的。

    英国人发动农业和工业革命,其目的在于使物质财富的生产得到最大限度的增长。这是合乎时宜的。因为,就在上一代人生活的时期,英国和一些别的西方国家的人口,开始以加速度的方式增长,其与17世纪以来中国人口增长的速度相似。可是,改革家们的目的,并非要满足大众的需要,而仅是使他们个人得到实惠。他们把国民生产总值提高到激动人心的高度,但同时既扩大了国民生产总值分配方面的不平等,又加剧了作为生产资料的土地和工厂的所有权在分配方面的不平等。

    某些传统的但又相当缺乏效率的劳动方式,诸如小规模的自给自足的农业及其与小规模的工场劳动(主要是纺绩和编织)的结合都被永久地淘汰了。农业和工业生产,如今已被组织于由复杂而花费昂贵的设备装备起来的大规模生产单位之中。这些同时发生的变化,造成农村人口涌向新兴的工业城市。同时,它也剥夺了大多数迁居者所拥有的、在以前可能保存其经济独立性的庇护所。随着人口的急速增长,仅以出卖劳动力为谋生手段的雇工的比例,同雇主和自谋生计的人的比例相比,呈骤然上升之势。

    生活和劳动条件以及收入和财产分配方面的这些变化,以不公正和痛苦为代价而使国民生产总值得到增长。在评价什么才算是公平分配前的公共土地的问题上,不存在客观的标准。因为那些公共土地已经被人们根据一系列议会法案圈占并且居为私有。企业家、投资者和雇工如何平等地分配工厂利润也是个争论不休的问题。然而,毋庸置疑的是,圈地使许多乡村小土地所有者继续以土地为生成为泡影;而昔日的农民成为工人之后,依靠工资能够生活的人则是微乎其微的。

    这些就是物质财富生产的增长给人类带来的自相矛盾的和不幸的结果。造成这种社会弊端的原因在于那些掀起工业革命的企业家们的动机。他们的动机是贪欲,而贪欲则使人们摆脱了传统的法律、习惯和意识形态的束缚。苏格兰教授亚当?斯密1776年出版了一本有影响的著作《国民财富的性质和原因的研究》。该书认为,如果每个人都自由追逐自己的经济利益,结果将带来全社会最大的经济繁荣。亚当?斯密提出这个观点的前提却为人们所忽视,而无论如何,这个观点本身却是令人难以置信的。通过更为自由地满足贪欲来促进生产将会伴随浪费与混乱的竞争,而在无政府状态下的经济竞争中,成功者只是少数,而牺牲者却是多数。

    产业工人成为一个同社会疏远的新阶级。这个社会产生了它,却并未给它以公平的待遇。产业工人用以自卫的唯一武器,就是联合起来由工会代表劳方,集体同雇主谈判。这种集体谈判赖以成功的必要条件,就是工人们坚如磐石般的团结。因此,为了反对雇主加诸于他们的暴政,工人们迫使自己服从于他们自己的专制。游离于工人队伍的”工贼们”则是被胁迫着顺从工人的意志的。在英国,劳工联合在1799年是为法律禁止的,到1824-1825年成为合法。阶级斗争伴随着工业革命,从英国发生并蔓延到其他国家。

    作为工人的雇主和敌对者,企业家们总的说来是冷酷无情的,但他们也很机智、大胆、不屈不挠。理查德?阿克赖特(1732-1792年)比詹姆斯?瓦特(1736-1819年)更有代表性。他通过申请发明(可能不是他自己的)专利而发财走运。发明家瓦特则幸运地找到了许多合作者,而他们凭借瓦特的天才为自己捞取了一些实利。发明家中的大多数人对工业革命具有举足轻重的影响,而实利却落入更讲求实效的企业家之手。其中的许多人还从经验出发探究发明的方法。瓦特则与众不同:他把科学和技术卓有成效地结合起来。他在格拉斯哥大学的灵感结出了伯明翰的马修?博尔顿工厂的硕果。瓦特并未受过大学教育,但在知识方面得益于同化学教授约瑟夭?布莱克(1728-1799年)的友谊。19世纪的大学里的化学家,尤其是德国大学的化学家们已开始直接而系统地将科学应用于工业生产过程。

    瓦特对蒸汽机的决定性的改进,是使它可用于工业生产、牵引和抽水等工程。这些是人们最初使用蒸汽机的范围。1807年,第一艘汽轮下水;1829年,第一列蒸汽机车奔驰在铁轨上。蒸汽机是一种机器,而机器的使用是工业革命引人注目的技术特征。工具同人是与生俱来的,但它仅仅是人的体力的扩大,并没有取而代之。例如,使用投枪、铲、桨或弓,可以使人类手臂的力量增大,但它们只有在为人类所使用时才能发生作用。机器把人类从体力劳动中解放出来。机器可从事人类的体力所不可及之事,并且可以从事在规模和速度方面都非人自身体力可为之事。当人造出了机器之时,他只须开动它、操纵它,让它按生产程序来工作。舢板是由使用桨而增大了的人的臂力推进的。帆船是由风来推进的,舵手只需把握航向而无须耗费体力来推进它。所以,帆船是一种机器。根据同样的定义,与弓相比,枪也是一种机器。

    大约在英国工业革命开始前5000年,人类就已经发明了帆船;但在工业革命之前,人们对与工具不同的机械的使用却是极为罕见的事。今天,人们对机器已习以为常;人们用于机器的非生命的物理能种类,也不仅限于风、流水、火药和蒸汽。1844年,电话的发明使电被成功地用于传递信息。金属工具的发明曾使一个新的行业一锻铁业应运而生,而蒸汽机的发明则创造了另一个新的职业-技师。

    风力和水力有两个长处,它们既清洁又取之不竭。蒸汽必须燃烧燃料才能产生。烟就是烧煤的一个副产品,它具有污染性。这是令人一目了然而且令人厌恶的东西,但它却为人们看作为仅仅是某种地方性的灾害而被姑息。直到工业革命爆发200年之后,人类才省悟到:机械化所带来的影响正在对生物圈造成威胁,使它不仅在局部地区而且在全球范围内正在成为不可生存之地,不仅不适于所有生物的生存,尤其不适于人类的生存,因为,人类须臾不可离开而又无可替代的自然资源正在被消耗殆尽。

    工业革命之前,人类即已给生物圈造成了创伤。例如,人们肆意砍伐以前曾滋养地壤并使之避免流失的树木,造成山地严重的水土流失。人类砍伐森林的速度快于它们的更生速度,他还过量开采了完全是不可复生的金属。但是,在大规模地把非生命的自然物理能用于机器之前,人类还不具有把生物圈破坏和剥夺到山穷水尽、不可救药地步的力量。当时,空气和海洋确实是无穷无尽的,木材和金属的储备远远超出人类消耗它们的能力;人们开采完了某种矿物,砍光了一片森林,总还有另一些未开采的矿藏和未被砍伐的森林在等候人们开发。然而,工业革命一旦开始,人类便使生物圈,包括人类本身遭受到前所未有的威胁。

    工业革命之前,西方人已经开始成为人类其他部分的统治者。在16世纪,西班牙人已经征服中美洲和安第斯山的民族,并且毁灭了他们的文明。1757-1764年间,英国东印度公司实际上已成为孟加拉湾、比哈尔和奥里萨的统治者。1799-1818年间,英国人征服了一直到萨特累季河东南的印度次大陆的所有地区。他们在那里可以为所欲为。因为他们拥有制海权并且在1809年同锡克教帝国的建立者兰季特?辛格签定条约,双方同意以苏特莱杰河为各自统治范围的界线。1845-1849年,英国继续征服并吞并了旁遮普的锡克帝国。与此同时,1768-1774年,俄国对奥斯曼帝国取得了决定性的胜利。1798年,法国人一度占领了埃及;1830年他们开始征服阿尔及利亚。1840年,3支西方军队和俄国人把桀骛不驯的埃及奥斯曼总督穆罕默德?阿里从叙利亚和巴勒斯坦驱逐了出去。1839-1842年,英国人戏剧般地打败了中国。1853年,一支美国海军舰队迫使日本德川幕府接受它的来访。日本人认识到,他们无力抵御这种以武力为后盾的不受欢迎的来访。

    西方军队和那支西方化的东正教俄国军队的这些军事胜利,是以一些偶尔的失败为代价赢得的。17世纪,葡萄牙人被武力驱逐出日本和埃塞俄比亚。1839-1842年,一支入侵阿富汗的英国军队遭到覆灭。但是,时至1871年,西方军队和俄国军队已主宰了整个世界。

    甚至在英国工业革命前,俄国沙皇彼得大帝就已经看到,非西方国家拯救自己摆脱西方统治的唯一途径,就是效仿西方军队的模式,创建新型军队;彼得大帝时代,俄国已经创建了这种军队。彼得还懂得,西方式的军队必须以西方式的技术、经济和管理为支柱。1757-1853年间,西方军队和西方化的俄国军队取得的对非西方化国家的辉煌的军事胜利,促使那些身受威胁的国家的统治者去步彼得大帝的后尘。

    英国工业革命开始后的百余年间,西方化的著名政治家包括:在原属阿布达利-阿富汗帝国的旁遮普建立起锡克王国的兰季特?辛格、1805-1848年奥斯曼帝国君主在埃及的总督穆罕默德?阿里、奥斯曼帝国君主马哈茂德二世(1808-1839年在位)、泰国国王蒙库(1851-1868年在位)和以天皇名义联手削除了德川幕府并把政权操诸自己手中的日本政治家们。这些西方化了的政治家对人类文明世界历史的更为伟大的影响,是同时代的西方人所不及的。他们把西方人的统治限制在一定范围之内,同时在这些非西方国家中以宣传近代西方人的生活方式方法进一步维持这种限制。

    上述所有这些西方化了的人物所取得的成就是令人注目的,而其中日本明治维新的领导者们则获得了巨大的成功。他们本身都是拥有特权(尽管已经破落)的传统武士阶级的成员。在进行了仅有的小规模的抵抗之后,德川幕府便屈服了。大多数武士默然同意以和平的方式没收其特权。新招募的西方式军队轻而易举地粉碎了1877年少数武士的反叛。这支军队由农民组成,而在1868年之前,农民一直被禁止携带武器。

    穆罕默德?阿里和马哈茂德二世的活动,开始时并不那么一帆风顺。同彼得大帝一样,他们发觉自己是在取消了传统的军队之时才着手建设西方式的军队的。1698-1699年,彼得大帝除去了莫斯科的弓箭手;穆罕默德于1811年革除了埃及的奴隶兵;马哈茂德二世则于1826年废除了奥斯曼帝国的近卫军。西方式的新型军队,在作战中都使自己获得了荣誉。穆罕默德?阿里于1819年着手建立新型防军,1812年建立海军。1825年,他从埃及农民中招募的、训练有素的军队在为其宗主马哈茂德二世再次平息希腊暴乱的成斗中,几乎取得了胜利。那些希腊暴民虽然骁勇,却只是些乌合之众。法国、英国和俄国于1827年消灭了埃及和土耳其的舰队,迫使穆罕默德?阿里的儿子易卜拉欣于1828年让出希腊。他们的干涉使希腊人得到解救。1833年,易卜拉欣征服了叙利亚,其目的仅在于防止俄国人干涉马哈茂德的利益,进军伊斯坦布尔。穆罕默德?阿里的军队比马哈茂德的军队更具战斗力,因为他早已开始付诸努力使它完善。1826年,马哈茂德取消了近卫军。在此之后,他便开始建立新型军队的工作。在1828-1829年俄国与土耳其战争中,他从农民中招募的新型军队作出了艰苦卓绝的抵抗。这是1768-1774年、1787-1792年和1806-1812年3次俄国-土耳其战争中,旧式奥斯曼军队无法与之相比的。

    兰季特?辛格与同时代的穆罕默德?阿里一样,聘用前拿破仑军队的军官为教官。尽管英国人在1845-1846年和1848-1849年连续击败辛格的受过西方式训练的部队,但同以前征服旁遮普之外的整个印度相比,在这两次战争中,英国人付出了更大的努力和更为沉重的代价。

    在少数西方顾问和教育的帮助下开始使非西方国家西方化的统治者们,并不仅限于做上述那些事情。他们必须在自己的臣民中找到或培养一个由本国人组成的受过西方教育的阶级。这个阶级能够用大体与西方人相同的语言来同西方人打交道,并且成为西方人同那些仍未西方化的本国同胞联系的纽带。在17世纪和18世纪,奥斯曼王朝在其希腊臣民中找到了这样一个新的、合乎需要的、随时可用的阶级。这些人在西方受过教育或同西方人有商业联系,因而对西方了如指掌。俄国的彼得大帝、埃及的穆罕默德?阿里以及在印度的英国人,也必须创造这样一个必需的中间阶级。在俄国,人们逐渐称这个阶级为”知识分子”。这是一个由法语词根和俄语词尾构成的混合词。在那些沦为由西方人统治的国家以及通过自身西方化而自立并成功地维护了政治独立的国家中,都出现了知识分子阶层。如同这个世纪中的工业企业家和挣工资的产业工人在英国登台亮相一样,这种非西方化的知识分子是一个新的阶级。到20世纪70年代,它至少已在人类历史上留下了一个深深的印记。

    知识分于是由官方为了自己的目的而扶植或创造的,但它很快就认识到自己在本社会中所处的至关重要的地位。无论如何,它实际上已是一个独立的阶层。1821年,前奥斯曼帝国的希腊贵族亚历山大?伊普希兰蒂对奥斯曼帝国的入侵使奥斯曼王朝认识到,希腊的知识分子是不可靠的。1825年,受过西方教育的一些俄国军官密谋推翻沙皇尼古拉一世。他们虽然失败并遭到镇压,但这却成为某种不祥之兆。这种征兆不仅出现于俄国,而且出现在许多正在西方化的国家。

    在两个世界的夹缝中生存,这便是知识分子的功能,它是一种精神上的磨炼。在19世纪的俄国,这种磨炼唤起了一种达到那个时代世界巅峰的文学。屠格涅夫(1818-1883年)、陀思妥耶夫斯基(1821-1881年)和托尔斯泰(1828-1910年)的小说已成为全人类的共同财富。

    同英国工业革命和西方在当代对非西方国家的冲击相比较,西方1763-1871年的国内文化状况和政治事务居于次要地位。如果不从总体背景来分析它们的话,它们似乎显得有些奇特。在这100年间,德国人占据了西方文明的艺术鳌头。伊曼努尔?康德(1724-1804年)是西方最伟大的哲学家。歌德(1749-1804年)是西方这一时代最杰出的诗人。这位德国伟人使两位灿烂一时的英国人黯然失色。他们是雪莱(1792-1822年)和济慈(1795-1821年)。莫扎特(1756-1791年)和贝多芬(1770-1827年)使西方古典音乐达到极盛。值得一提的是,在西方近代史上,德国在文化方面的显赫地位,是同其政权和经济繁荣程度成反比的。三十年战争结束之后,德国的音乐之花盛开怒放;第二帝国建立之后,它们却都枯萎凋零了。

    在科学领域,爱德华?詹纳(1749-1823年)在1798年证明,通过接种可以使人获得对天花的免疫力;路易?巴斯德(1822-1895年)于1857年发现细菌的存在。如果人类没有把握它们的奥秘,这些危害人类和家畜的东西比食肉动物还要猖獗,而那些食肉动物早在上古旧石器时代就已被人类所征服。当这些细菌被人类认识之后,人类也就能够并且已经成功地对付它们了。在今天的生物圈内,除了人类自身之外,不存在能置人类于死地的敌人。科学在技术方面的应用,已经使人类变得越来越可怕。科学应用于预防医学,造成生物圈内人口的加速增长,因为死亡率降低的速度高于因避孕而导致的出生率的降低。同是在1798年,詹纳发现了能有效地预防天花的牛痘;托马斯?罗伯特?马尔萨斯发表了《人口论》,这部著作启发了查理?达尔文(1809-1882年),他提出了”生存竞争”的概念,而这个概念则成为《物种起源》(1859年)的副标题。

    在达尔文时代之前一个世纪,布丰就已经对犹太教的传统学说提出异议。犹太教认为,全能的上帝发号施令,在一瞬之间创造了所有生物物种,它们是独特的不可改变的实体。布丰认为,千姿百态的现存物种都是一个变化过程的结果。这一理论观点被查理?赖尔(1797-1875年)及时地应用于地质学方面的研究。达尔文也曾读过赖尔的《地质学原理》(1830-1833年)。达尔文的观点动摇了正统的基督教学说;而”选择”和”适者生存”的概念则表明它是犹太教关于”选民”神话的翻版。虽然达尔文取消了造物主上帝这个前提,但取而代之的是假定非人的自然界的选择活动。这一假定是以一系列观察到的、而非理论阐明了的变异为根据的。

    达尔文的革命性成就不在于他对生物变化的机械论的说明,而在于他表明生物圈中的生命是动态的而非静态的。达尔文的生物学成就论证了黑格尔(1770-1831年)在哲学上已经提出的理论。黑格尔用”正题、反题、合题”诸思辨概念,把处于时间变化过程中的生命描述为繁衍后代的性行为的现象,而这些后代则赋有从父母双方得来的特征。孟德尔(1822-1884年)发现了遗传规律。他力图用大量概念来系统表述这些规律,并在1864-1866年发表了自己的成果。但是达尔文一直不知道这些发现,直到1900年之后,它们才受到人们的重视。

    在军事和政治领域,在这个世纪里,人们看到的成就有:美国独立战争(1776-1783年)的胜利;南北战争中(1861-1865年)美国的复兴以及美国从东海岸到西海岸横跨北美的领土扩张(1783-1853年)。在这100年间,人们也可看到,拿破仑领导法国重温旧梦,在1797-1815年力图将西方世界在政治上一统于法国统治之下,而在此之前路易十四曾于1667-1713年的战争中这么做过。拿破仑失败的后果是1859-1870年意大利民族国家的诞生以及1866-1871年德意志民族国家的问世。于是,在这100年间,一批具有主权和独立的民族国家崛起,西方世界的这种政治组织使西方更上一层楼,并使在政治上统一西方的企图遭到进一步失败。

    拿破仑曾一度为法国赢得了比路易十四时代广大得多的领土,但就在法国这连续两次军事冒险的间歇时期,西方世界的面积同它所吞并的面积相比,已变得极不相称。1700年,路易十四勉强统治的西方世界,远远小于1800年拿破仑所最终统治的西方版图。与此同时,俄国、印度以及北美都被划入西方的范围。从军事的角度来说,俄国的地理范围实际上是无限的。西方的海外吞并变得具有至关重要的经济意义。在拿破仑战争期间,这些海外吞并之所以处于英国经济的支配之下,是因为英国的海军对于法国海军占据了优势。

    过去英国在北美的殖民地已经赢得了政治上的独立,但他们发现同英国进行贸易往来是有利可图的。西班牙和葡萄牙统治下的美洲的臣民,在因拿破仑入侵伊比利亚半岛而偶然获得自由之后,就是这么做的。海外世界的物质资源,是英国进行战争的主要支柱,也是同拿破仑争雄的胜利之果。时至1823年,过去西班牙在美国的领地,以及葡萄牙的属国巴西,都在赢得了政治独立之后,相继依附于美国。但在经济方面,拉丁美洲国家已经成为,美国也继而成为英国机器大工业产品海外市场的一部分。

    1823年,美国总统门罗发表了一个著名学说,即由美国来保护新兴的拉丁美洲国家的独立。门罗主义同英国的利益是一致的。英国对拉丁美洲的野心仅仅是为了经济利益。因此,美国禁止欧洲军队从政治上插足英国在拉丁美洲的经济势力范围,恰使英国人坐收渔翁之利。

    1763-1871年间,西方世界爆发的几次革命在性质上是迥然不同的。英国工业革命是技术、经济和社会的革命,而非政治革命,尽管它产生了一个非革命性的政治结果,即1832年通过议会改革法案,开始把英国政权从乡村土地贵族手中转移到城市中产阶级手中。把以前英国在北美的殖民地转变为美国的那次革命,不是技术、经济和社会革命,而仅仅是政治革命。1789年爆发的法国大革命是政治、经济和社会革命。它把政权从皇室转移到城市中产阶级手中,把农村土地所有权从贵族转移到大部分农民手中。与此同时,英国乡村小土地持有者要么分化为挣工资的农业工人,要么被抛出农村而成为靠工资生活的城市工厂的产业工人。相形之下,美国农村拥有土地的人得以幸免,他们遍布于西部未开垦的处女地上。在美国西部,来自欧洲的没有土地的农村移民紧步他们的后尘。除去美国南方诸州的众多非洲黑奴和法国为数稀少的城市工人之外,美国保留了一个非为某一雇主工作的阶层,这一阶层在法国则是新产生的。

    把非洲人变成奴隶并把他们贩卖给美国的欧洲移民们,这是哥伦布发现西欧人眼中的”新大陆”所带来的一个罪恶结果,正如美洲前哥伦布时代的土著人被欧洲人征服或消灭的那个恶果一样。1763-1871年,绝大多数美洲国家从法律上废除了奴隶制。海地是在1793-1803年,法国的全部殖民地帝国是在1848年,英国殖民地是在1833年,美国是在1863年,而巴西则是在1871-1888年间逐步废除的。废除黑奴制,海地付出了10年革命和战争的代价;美国付出了1861-1865年内战的代价。但是,无论是以和平方式还是以武力方式废除奴隶制,都留下了经济和社会方面的后遗症。

    在美国和法国,直到1871年,靠工资为生的产业雇工在人口中仍然为数甚少。美国开垦荒地以及法国使农民获得大量土地,使这两个西方国家避免了大量的农民移入城市当工人。而英国出现农民涌入城市的情况,正是圈地法的结果。但是,在美国、法国和英国等国,产业工人仍同中产阶级政权离心离德,无论是和平方式或暴力手段都未能改善他们的地位。

    中产阶级是1789年法国革命的发动者。他们引起了城市无产者的不满。但无产者对改变其困境一筹莫展。迄今为止,他们在这方面是效法其英国对手而行动的。法国中产阶级也一扫对私人自由经济经营的限制,而他们以前则对社会中经济上的弱者提供某些保护。”放任主义”的口号、即”取消对工业生产的限制,废除商品流通税”的口号是法国人的一个创新。在英国实行禁止结社法前8年,法国已于1791年实行了类似的法律。法国巴黎的无产者把政治革命变成社会革命的企图在1795年、1848年和1871年遭到了武力镇压。法国城市工人被中产阶级和农民的联合行动挫败。英国产业工人寄希望于工团主义,寄希望于政治改革的进步,到1832年他们已经取得了不小的成功。1837-1848年的宪章运动已产生了纯粹的政治纲领。尽管宪章主义已经风平浪静,但1867-1872年英国仍实行了进一步的政治改革。然而,就象美国在法律上解放奴隶那样,英国产业工人阶级所享有的部分公民权力使受益人大为失望,因为它对于工人的状况没有产生任何重大而直接的改进。

    产业工人的苦难情况和中产阶级对这种社会不公正的默许,引起卡尔?马克思(1818-1883年)的愤慨,促使他创造了第四种犹太教。马克思主义,象佛教一样,在理论上是无神论的;但象达尔文主义一样,马克思提出了一个替代犹太教、基督教和伊斯兰教的上帝耶和华的东西。达尔文的替代物是自然,他相信自然选择的活动使”适应的物种”保存下来。马克思用来取代耶和华的是”历史必然性”,它的”选民”是工业无产阶级。马克思宣告名副其实的正义革命的不可避免性,以此来安慰处于现时困境中的无产者。在这场革命中,无阶级社会的建立将结束无产者和中产阶级的冲突。

    马克思并没有活着看到社会不公正得到纠正,但同时代日内瓦的一位慈善家亨利?邓南特(1828-1910年)却于1864年促成了在第一个日内瓦公约中规定:救援伤兵以减少他们的痛苦,并且发起成立了国际红十字会。

    在1763-1871年的一个世纪中,英国不仅在西方而且在整个世界的善事与恶行中,都扮演了主角。在西方的近代历史中,在同法国争夺北美和印度统治权的斗争中,英国始终是获胜者。正是这一胜利,使英国为它从前的北美殖民地脱离英国主权,成为一个拥有沙俄帝国那样巨大的地理范围的独立的美国开辟了道路。此时,英国有史以来第一次在政治上统一了整个印度次大陆,并且在1857-1859年东印度公司的印度士兵反叛之际仍成功地保护了这一地位。在拿破仑遭到了打击之后,英国和俄国、西班牙一起分享了荣誉与责任。拿破仑力图在政治上统一西方世界的最后一次努力归于失败,它宣告:在工业革命正在用过去无法比拟的毁灭性武器武装各个国家的时代,西方仍将由一些彼此分离的地区性主权独立国家组成。1839-1842年,英国进攻并且打败了中国。英国给予这个政权以致命打击。在此前2000年的大部分时间里,这个人口众多的中国政权,曾经是和平与稳定的。这些都是英国的丰功伟绩,但它在这一时期的最大业绩则是开创了工业革命。在这一革命的进程中,为了博取人类的欢心,英国打破了生物圈和人类之间的力量平衡,而这最终将使生物圈在人类的力量作用下,变得不适于所有生命物种的生存,其中也将毫无例外地包括人类自身。

    第八十一章 生物圈(1871-1973年)

    到20世纪70年代,生物圈仿佛已处于濒临覆灭和被污染的危险之中。或许它已基本被它自身的创造物和居民-人类弄得不再适于任何生命物种的生存。回首往事,我们可以看到,人类征服生物圈的力量始终在不断地增长。当人科变为人类之际,他就已经失去了一切固有的自然肉体方面的武器和装备,但却获得了能够进行思维和筹划的自觉的理智,并同时获得了两个自然器官-大脑和双手,这是他借以进行思考和筹划以及运用身体行动达到预期目的的物质工具。

    在上文我们已经指出,工具同人类的意识是孪生兄弟。制造和使用工具的能力,使人类能够在旧石器时代早期的生物圈的竞技场上自立。旧石器时代早期是比人类有记载的历史要长得多的一个时期。自从旧石器晚期以来,大约从70000-40000年之前,人类就一直在侵害生物圈的其他部分。但人类成为生物圈的主宰只是工业革命开始后的事情,至今不过200年。在这200年中,人类已使他的物质力量增大到足以威胁生物圈生存的地步;但是他精神方面的潜能却未能随之增长。结果是两者之间的鸿沟在不断地扩大。这种不断扩大的裂隙使人忧心忡忡。因为人类精神潜能的提高,是目前能够挽救生物圈的生物圈构成要素中唯一可以信赖的变化。并且,在生物圈中,人类自身也不愿意被现在的那种贪得无厌、永无止境的欲望所毁灭。

    在20世纪70年代,人类对生物圈劫掠性破坏的后果,正不断地从许多征候中显示出来。生物圈中的人口正在加速度增长,而这些不断增长的人口又不断地向大城市集中。由于人类的大多数仍处于贫困之中,因此城市增长的主要形式便是寄生性的贫民区的增加。在贫民区里,居住着无业的、甚至没有就业可能的、来自乡村的移民,而乡村则是自新石器时代初期发明了农业之后,人口的大多数繁衍生展的所在。城市的触角,以横穿大陆的高速公路和飞机航线的形式,伸向全球。生产工业日用品、食品和有机原料的少数工厂,通过日益尖端的和大功率的机器生产过程正在不断地污染生物圈的水层和空气层。时时充斥于水层和空气层中的污染物,甚而有时并不是植物和因有意识的毁坏性的军事活动而被杀死的动物(包括人类和非人类的动物),而是和平活动的废弃物。

    作为一个整体,生物圈的海祥和大气会受到作为生物圈的微不足道的产物–人类的活动的致命性污染吗?对于这一问题,在1871年,或许近至1944年人类取得原子裂变的技术成就之前,人们始终持怀疑态度。人类使整个生物圈不再适于生存的能力,在使数不胜数的野生物种灭绝中已得到明显的表现,而这其中,人类和其家养的动物也不能幸免。有些物种则正在受到人类活动的意想不到的后果的损害。

    城市空间的扩大,于本书作者–一位出生于1889年的人的一生中,发生了巨大的变化。我亲眼目睹了自1922年以来安卡拉和雅典是如何从小城镇发展为特大城市的。自1929年以来,下关海峡附近曾经是生机盎然的日本农村,已消失在稠密的街道和房屋之中。自第二次世界大战以来,我生于斯长于斯的伦敦,象日本的一些地方一样,已变得面目全非。二次大战后,伦敦曾被德国炸弹化为废墟的地方,已布满了用于交通工具的高架车道,而这则是英国人亲手而为的。

    对于一个1889年诞生于伦敦一个中产阶级家庭的人来说,1914年8月成为1871-1973年这100年中的断裂点。同1871-1913年相比,1914-1973年成为全人类自相残杀的苦难时代。两次世界大战,每次都是罪恶,都是空前的灾难和浩劫。土耳其人迫害亚美尼亚人,德国人迫害犹太人,印度教徒和印度穆斯林互相残杀,一切都犯下了灭绝种族的罪行。阿拉伯的巴勒斯坦人、西藏人、占南部非洲人口多数的非洲土著人都成为受害者。在北爱尔兰仍在进行着一场惨无人道的战争,人们称之为”宗教战争”。象非西方的移民从农村进入贫民区那样,西方中产阶级在生活方式上的堕落也是令人注目的。与1914-1973年这些有害的年代相比,在那些1914年已经成年并且活到了70年代的西方中产阶级的记忆中,1871-1913年显然是一个黄金时代。然而,如果从整体上回味1871-1973年的历史,在1871-1913年间曾一度流行的这种乐观主义情绪显然是没有根据的。

    一位出生于1889年的英国中产者认为,从他开始认识周围世界时起到1914年8月,这段时间人间的天堂即将来临。产业工人将会从人类的工业总产值中得到丰裕的收入;德国的议会责任制内阁行将完善,而在俄国已即将确立;仍处于奥斯曼土耳其人统治下的基督教徒即将赢得政治独立;然后,千年王国就会到来。在这一新的黄金时代,基督教帝国的非基督教臣民仍将处于基督教统治之下,但同他们丧失政治独立之前的混乱生活条件相比,他们的处境将得到改善。

    西方人并不希望看到战争被消灭;某些西方人,诸如德国和巴尔干国家的某些人不仅期望战争连绵不断,而且积极地促使战争的爆发。但是,即使是最好战的德国所想象的战争也只是俾斯麦式的速决战,而不是类似于旷日持久的拿破仑战争或1618-1648年德国那毁灭性的三十年战争,或是不久前才结束的那场浩劫性的1861-1865年的美国内战。

    1894-1895年的中日战争、1898年的西美战争、1899-1902年的南非战争以及1912-1913年的巴尔干战争,实际上都是局部的和短暂的,即使1877-1878年的俄土战争和1904-1905年的日俄战争也仅是地区性的,并没有使全世界卷入。中国发动的反对腐朽没落的满清政权的太平天国起义(1850-1873)和其他一些起义,都造成了巨大的劫难和生灵涂炭,这些起义也无一不遭到了镇压。西方人并不完全了解同一时代中发生的这些事情,不了解东方民族特有的生灵苦难。在东方,当时的各个民族始终没有接受强加于他们的基督教的统治秩序。对于一个象本文作者这样,出生于1897年前后的英国中产阶级的孩子来说,那一年,正是英国举国欢庆维多利亚女王统治60周年的日子,仿佛他所诞生的那个世界已超乎于历史之外,因为历史意味着”开化”民族留在身后的不公正、暴力和苦难都已是过去的事情了,它们将不复重演。人们就是如此天真地看待这一切的。西方文明才是”文明”。它是唯一的文明。它的兴起及在全世界的统治是必然的,它的功德也是值得大加赞扬的。”文明”已经扎下了根。这就是历史如今已经陈腐了的原因。

    成为乐观主义者的根据的那些成就,确乎是令人难忘的。但这些成就中的每一个都不是尽善尽美的,自身就孕育着产生未来灾难的种子。在20世纪70年代,这些瑕疵已是洞若观火了,但在1871-1914年间,它们并不是那么容易被人们发现的。

    例如,1861年俄国解放农奴、1863年美国废除黑奴、1871年巴西开始废除持续统治的奴隶制,这些看来是通向千年王国大路上的光辉里程碑。但是,解放俄国农奴并没有满足他们巨大的拥有土地的要求;法律上对黑奴的解放,并没有消除种族歧视、种族差别和种族冲突。说到在法律上解放产业工人,这些也还没有产生马克思主义的普遍的社会革命。但在西方国家,他们相对的经济地位正逐渐得到改善;这种生活条件方面的改善是同工人劳动的体力条件的改善相伴随的。而随着每一个技术方面的新进展,机械性的工作越来越使人在精神上遭受痛苦。传送带和装配线的发明,增加了生产,降低了成本,却付出了精神上的代价,它把男人们和女人们变成了”被科学地管理”着的机器上的齿轮。现在产业工人的经济状况有所改善,但却被雇来干类似划桨奴隶那样的工作。他们同这个社会仍是貌合神离的,因为这个社会让这个新阶级为服务于中产阶级的目的而存在。

    1870-1871年,德国和意大利民族国家的确立似乎使人类世界的政治结构得以稳定。地区性的主权民族国家现在被视为标准的政治单位。自1871年以来,除了1904-1905年日俄战争之外,没有发生两个或两个以上的大国互相厮杀的任何其他战争。1877-1878年沙皇俄国同土耳其的战争以及1904-1905年同日本的战争,英国自始至终都未卷入。1865-1885年,俄国吞并了乌浒河-药杀水流域和从土库曼到阿富汗的西北边界地区。这一次,俄国避免了同英国的战争冲突。在1881-1904年间,所有非洲国家中只有两个国家尚未处于西欧控制之下;而在1871年它们险些直接或间接落入英国的势力范围,在法国、德国、比利时或葡萄牙争夺非洲领土时,他们之间没有发生战争。阿比西尼亚(已更名为埃塞俄比亚,最初是指今天苏丹的东部)参加了非洲领土之争;1896年它使意大利遭到可耻的失败。利比里亚是被解放了的美国黑奴的殖民定居地,它的幸存要归因于它实际上是美国的保护国。所有其他非洲国家和民族都丧失了其独立。在1894-1895年中国大败于日本之后,英国、俄国、德国以及法国开始瓜分中国。而此时他们已在瓜分非洲。在东亚,如同在非洲那样,他们在划分势力范围时互相避免陷入战争。

    这些似乎是维持大国之间和平的吉祥之兆。在1890年解除俾斯麦职务之后,德国皇帝威廉二世开始作出挑衅性姿态。但是从表面上看来,由于大国之间的合作,人类文明世界似乎继续平安无事,并且秩序井然。这8个大国中,只有3个是欧洲之外的国家,即俄国、美国和日本。虽然欧洲国家是主权国家,但笔者于1911年发现,除了罗马尼亚和土耳其之外,没有一个国家要求旅行者携带护照。在希腊农村我能够把金币和法国金币兑成银币,因为它在法国、意大利和希腊都能通用。政治上的边界既未妨碍货币流通,也未给私人活动带来麻烦。

    尽管如此,不祥之兆已经出现。法国对1871年被迫向德国割让领土一事仍然怒气未消;这些地区的居民并没有对第二德意志帝国俯首听命。德意志帝国政府把割来的国土作为”第二帝国的疆土”来管理,而未敢给予它第二帝国组成部分的自治国地位。俾斯麦经常被”统一”的梦魇所缠绕。在他下台后,这个梦魇很快成为了现实。1892-1893年,法国和俄国通过军事会谈达成协约;1904年法国和英国签订条约;1907年俄国和英国达成协约。1898年,德国开始同英国争夺海上霸权。而欧洲五国和俄国则正在共同制定战争动员以及随之而来的海陆军行动的战争计划。

    自1870-1871年意大利和德国民族国家完全建立以来,人们逐渐认识到,这就是自然、正常和合法的政治单位。但这一看法是不稳妥的,因为,虽然西欧诸民族(包括使用2种语言的比利时人和使用4种语言的瑞士人)现在都保护着自己的民族国家,但东欧诸民族却还没有做到这一步。例如,波兰人还没有自己的独立国家,他们还是俄国、普鲁士以及奥地利人的臣民。希腊、保加利亚、塞尔维亚和罗马尼亚的民族国家可望得到”未收复的国土”。这些领土仍处于奥斯曼帝国或哈布斯堡王朝的统治之下。作为8个强国之一的、多民族的哈布斯堡君主国,已成为世界上的反常现象,因为民族国家已成为世界上标准的政治单位。在沙俄帝国,大约有1/3的人口不属于大俄罗斯民族。德意志民族国家包括有少数未同化的波兰人、丹麦人和法国人。意大利在同哈布斯堡王朝的遥远边界一侧,仍有”未收复的国土”(该术语源于意大利语)总之,”民族自决原则”在1871年在西欧实现之后曾给西欧带来政治稳定,而今却成为东欧人的具有爆炸性和破坏性的理想。

    第一次世界大战爆发前夕,当民族国家已成为人所共识的准则之际,东欧国家走上西欧民族国家模式的努力归于失败,使得人类文明世界的政治结构趋于紧张。但是,假定在1914年之前,所有”未收复国土”因选择了民族国家而统一,所有的属地都变成了主权民族国家,这个结构也仍然会是不稳定的。人类文明世界仍会在政治上不断被瓜分为彼此独立的地区,因此,在人类的政治要求和经济利益之间仍存在着不可解决的冲突。

    地区性民族国家是西方人的政治理想,也成为越来越多的采用西方体制的其他民族的政治理想。西方民族依恋民族主义的力量,已从他们先后成功地挫败了查理五世、腓力二世、路易十四以及拿破仑打算把政治统一一再强加给西方基督教世界的企图中得到显露。西方在狄奥多西一世和查理大帝时代曾一度拥有这种政治统一。但是,自15世纪西方人掌握了从中国人、葡萄牙人和西班牙人得来的航海技术而使人类世界连为一个整体以来,民族国家的政治理想一直是某种经济上的时代错误。由葡萄牙人和西班牙人开始的人类文明世界在经济上的统一,因英国工业革命而得到了长足进步。

    迄今为止,世界贸易交换的商品大多是奢侈品;作为工业革命的结果,商品交往逐渐包括了越来越多的生活必需品。开创工业革命的英国企业家们把赢得的利润投入扩大再生产,使英国成为”世界工厂”。此后,英国在全球范围内出口产品,进口原材料和食品。及至1871年之后,德国、美国以及其他国家后来居上,夺去了英国的霸主地位,此时,世界贸易已波及全球范围。

    人类文明世界在经济上一体化的开端,是以葡萄牙人发明远洋帆船为标志的;它的完成则以1864年国际电报联盟和1875年国际邮政联盟成立为其标志。到那时为止,人类已经变得依赖于经济上的全球一体化,但仍不愿在政治范围内放弃民族分立。尽管从1914年以来,它已经导致了战争浩劫,但这种不相适应的状况仍在继续。接踵而来的是,人类事务已混乱到无以复加的地步,致使整个人类社会陷于瘫痪。只有极少数人可能幸免,他们是自给自足,没有卷入世界市场的农民、猎人以及靠采集食物为生的人。

    1840-1890年这半个世纪内,近代西方帆船在建造、装备和速度方面都达到了顶点。此后,它被工业革命产生的竞争者–蒸汽船取而代之。这也是西方音乐”古典”派日暮黄昏的时代。18-19世纪之交,贝多芬的作品已使它达到极点。西方近代绘画此时已过鼎盛时期;1600年以后,绘画的王位已由西班牙人和荷兰人从意大利人和佛兰德人手中夺走。瓦特对蒸汽机的决定性改进,使”古典”的帆船丧失效用。绘画的自然主义流派因摄影的发明而相形见拙。在1871-1913年这表面平静和繁荣的43年中,画家和作曲家已经审慎地放弃了悠久的传统,正在积极探索丰富多彩的表达形式。显然他们感到艺术的”古典”风格已经寿终正寝,如同燃尽的煤炭或衰老的中国王朝。处于20世纪70年代,如果回首往事可以看到,西方艺术家们在风和日丽的时候,就已经预见到在下一代人的时期内西方社会将遭受暴风骤雨的侵袭。艺术家的心灵触角对将要到来的事情的征兆,往往具有高度的敏感性。

    如果我们试图开列出1871-1973年这一时期人类的经历及活动的清单的话,我们必须记下的第一笔,就是那些不胜枚举和影响巨大的发现和发明。在过去的300年中,西方人作出了许多著名发现和发明。但在本世纪即将结束的1973年,西方人已经超越了以前在这些领域里所取得的成就。弗洛伊德(1856-1939年)用人心理中的下意识因素,来说明人的有意识的行为。爱因斯坦(1879-1955年)证明,牛顿物理学仅在有限的范围内同现实是一致的。他认为观察是一种相互作用,从而使物理学进入了一个更为广阔的天地。观察者本身即是物质世界的一部分,而他正是通过时间和空间来观察物质世界的运动的。约瑟夫?约翰?汤姆孙在1897年作出的关于电子的存在及其本质的发现表明,”原子”一词是使用不当的。”原子”已被证明并非不可再分的实体,它是一个缩小了的太阳系。欧内斯特?卢瑟福(1871-1937年)在1904年就预言了原子结构。他于1919年发现了原子核并成功地轰开了它。詹姆斯?查德威克1932年有关中子存在及其本质的发现,揭示了原子核的结构。同时,在尼尔斯?玻尔(1885-1962年)的倡导下,物理学领域的这些发现使物理学家们明白了一条认识论的真理。对同一事物,如果用两种不仅是不同而且是互不相容的方法去体验的话,是不可能同时被体验到的,尽管这两种方法都是持之有据和必不可少的。

    在科尔特斯登上中美洲大陆之前,橡胶已被用来制造供某些危险的体育比赛使用的球,而石油则一直是东罗马帝国的致命武器”希腊之火”的秘密成份。在1871-1973年间,这两种原材料已分别用于轮胎制造和作为内燃机燃料。这使建造实用的汽车和飞机成为可能。航空成就使人成为曾一直是由昆虫、飞鸟和蝙蝠占居的那部分生物圈的成员。

    人在地理和历史探险方面同样取得了伟大成就。西方人到达了这个星球的两极,登上了地球的卫星–月球;他们不仅发现了米诺斯文明、迈锡尼文明和印度文明,弄清了使用”乙种线形文字”表达语言的是希腊人,而且发掘了由8个互相衔接的层次构成的特洛伊古城。

    在过去的100年中,最重要的发现和发明在医药和外科领域。麻醉药(发现于19世纪40年代)应用的进步使外科医生能够实施前人无法想象的手术。器官移植是这一进步的最高成就。人们发现蚊子是黄热病和疟疾的传播者。这些发现使人们分别在1881年和1897-1899年制造出预防这两种疾病的药。滴滴涕发现于1942年。它使人掌握了消灭害虫的另一种武器。而害虫是同人竞争主宰生物圈的一类重要的非人类对手。

    西方人的这些发现和发明,是人的勇气、想象力和理智的伟大功绩。但它们对人类事务的影响却是双重的。例如新兴的西方航空技术同中国人发现的古老的炸药相结合,使好战者让炸弹从天而降。这种盲目性武器的使用,使得好战者同文明人之间的区别荡然无存。而自从17世纪末期以来,人们费了九牛二虎之力才建立起这种区别。在1897年发现电子之后不到50年,1932年发现中子之后不到13年,两颗由核裂变而释放出威力无比的能量的炸弹落在广岛和长崎。汽车使人的行动今非昔比,却付出了把城市的触角伸向农村,使马路和街道拥挤不堪的代价。到了1973年,汽车和飞机排出的废气,使得生物圈里的空气令人窒息。

    医药和外科的巨大进步使人的死亡率下降,寿命延长,这是具有对社会和环境产生不利影响的善行。死亡率的降低不超过出生率的降低,使生物圈中人口数量加速增长。医学为延长个人生命提供新的可能,使绝望的生命起死回生。在这种或那种特殊情况下,需不需要延长某人的生命就成为摆在医生、病人、病人的亲朋好友面前的一个以前做梦都不曾想到过的伦理问题。

    工业革命之前,政府的两个基本职能就是对内维持法律和秩序,对外御敌。工业革命强加于机械化工厂中的工人–一个新的社会阶级身上的非人的工作和生活条件,迫使政府拥有第三种职能:提供社会福利。1802年,英国实施了第一个保护工厂工人的立法。1883年和1889年,俾斯麦扩大了德国政府活动的社会范围,通过为因年老或其他原因而造成的疾病、意外事故和残废的工人提供保障的立法。在第一次世界大战爆发之前,英国人曾效法了德国的这些合乎人道的新措施。

    承认政府拥有为其公民提供福利的责任,这是政治领域有益的道德进步。在世界上大多数工业化国家,政府现在除了继续是一个执法和御敌的组织之外,已成为一个福利组织。然而,福利国家仍是一个有争论的问题。要为占人口多数的穷人的利益提供公益服务,就要求通过逐渐提高富人纳税的方法来增加额外的国民收入。可以想见,少数人会反对福利立法,漠然待之,并且会提出诘难。这是一个道德和心理学的问题。这个诘难是,福利国家会使受益人堕落。在20世纪70年代,这个似是而非的诘难被事实所部分地证实。一些国家广泛实行了公共福利保障。但在那里,谋生是人的责任这一情感已经淡薄,工作质量标准下降;更为失败的是,生活平均标准的提高却伴随着诚实正直标准的下降。另外,还存在着少数穷人。他们中的一部分是来自比较贫困的国家的暂时或永久的移民。他们的生活条件特别是居住条件,仍在令人震惊地恶化。

    在私人经济仍占主导地位,政体仍是”民主制”(即议会制)的那些国家里,福利立法和工会组织的协作已使大多数产业工人按照自己的意愿,使他们同中产阶级之间的力量天平倾向于他们。那些在为人们日常生活提供必需品的公益事业工作的工人,在讨价还价的谈判中扮演了特殊而重要的角色,例如。码头工人、矿工以及在供电、供热、供水和清除垃圾的工厂工作的工人。相形之下,教师职业的谈判力量是弱小的。虽然从长远的观点看,教育工作者的社会价值至少同其他职业工人是同样巨大的,但他们的罢工不能对社会生活发生直接的、使之瘫痪的影响。

    具有巨大的直接谈判力量的商人,是私人企业经济制度的急先锋。他们反对限制众人具有谈判自由的建议。他们为了自身利益自然希望发展自己日益增长的力量。这是同放任主义哲学相吻合的。中产阶级的企业家最早搬来了放任主义哲学,这是一种对产业工人有害的东西。但是,现在,一个显而易见的观点是:世界范围内的劳动的进一步机械化,如果没有政府干涉(即社会主义,这是被产业工人吹得天花乱堕的一种意识形态)的进一步增强的话,将会使生活对于每一个人都是不能接受的。

    虽然在一些议会政权的国家中,具有决定性谈判地位的职业中的工会,正在维护其权力,但在苏联,产业工人和农业工人都处于独裁政权的统治之下。苏联政府拥护马克思的意识形态,但并未同其沙文主义先辈的行径分道扬镳。列宁(弗拉基米尔?伊里奇?乌里扬诺夫,1870-1924年),本世纪的一位伟人,推翻了一个以武力为基础的政权,强加给人们一个同样特性的更为强大的政权。在以尽可能快的速度使俄国技术现代化方面,列宁及其克里姆林宫的后继者也是以彼得大帝为榜样的。1917年俄国十月革命是由布尔什维克(多数派)发动的。布尔什维克是知识分子中少数马克思主义者中的一派,它同农民结成联盟。俄国农民希望获得土地所有权。法国农民在1789-1797年的法国革命期间获得了土地所有权。但共产主义的俄国却很快把土地国有化,如今正在大规模的单位内集中耕种。它所遇到的反抗与英国圈地法案实行时并无二致。英国圈地法案促进了生产。但在俄国,迄今为止,这一政策一直遭到农民的积极反抗。

    苏联以其独裁的方式使之成为福利国家。这种福利国家与当今英国相仿,而同俄国过去的沙皇政权相异。例如,人们的文化水平得到极大提高,财富得以更为顺利地分配。但是,一切诸如此类的国家无论其意识形态的色形如何,都仍然是制造战争的工具。1914-1918年和1939-1945年进行的两次世界大战在死伤人员和破坏程度上超过了中国1850-1873年的内战。一切战争包括俾斯麦的有限目标的速决战,都是残暴的。灭绝种族(即大批屠杀文明人)加剧了20世纪两次大战的残酷性。在第一次世界大战中,土耳其对亚美尼亚人实行过种族灭绝;在第二次世界大战中,德国人大批屠杀过犹太人。

    在两次世界大战中,只有土耳其人在1919-1922年反抗第一次世界大战的新的战胜者,以及英国人在1940-1941年抵抗暂时得胜的德国人。这两个事件大概可以使后代在回首往事时,不会因表现出人类的邪恶和愚蠢而感到羞愧。虽然敌我悬殊、在胜败存亡问题上前途未卜,但这两个民族却具有反抗精神。他们都幸运地找到了自己的领袖–穆斯塔法?凯末尔?阿塔图克和温斯顿?丘吉尔,他们激励人民起来挽救危亡。

    阿塔图克不仅领导土耳其人民在维护生存的战争中取得了胜利,而且带领人民进行了西方化的革命,完成了穆罕默德二世未竟的事业。象列宁一样,阿塔图克是知识分子阶层的一员,这个阶层推翻了那曾使它在这个国家赖以生存的政权。在行动上,阿塔图克也象列宁那样,为实现急迫的任务,诉诸于无情地使用武力。圣雄甘地(1869-1948年)也是知识分子的一员。他也完成了政治革命。但他的战略是非暴力不合作。他的经济目标不是使印度完全同工业化的世界相结合,而是割断印度同它现存的经济联系。圣雄甘地的同胞们并没有响应他的号召返回到前机器工业生产的时代中去。事实上,在实践甘地理想时他们失败了,并且没有避免使用暴力。1947年英国放弃统治时,以前的英国印度帝国被划分为印度联邦和巴基斯坦;印度教徒和穆斯林在各地互相残杀。总之,这是在印度次大陆消灭了西方帝国主义所付出的代价。

    那么,西方帝国主义留下的历史足迹是什么呢?这就是直到本世纪1973年这个时期文明世界历史的显著特征吗?

    统治非西方民族的西方人,一直因暴行而感到内疚,例如,1919年英国人在阿姆利则屠杀印度人以及给幸存者以巨大羞辱的行径。但是,伴随着这些帝国覆亡的是获得解放的帝国公民的暴行。1947年印度次大陆穆斯林和印度教徒的互相残杀。实际上又引起了操乌尔都语和操孟加拉语的穆斯林在孟加拉地区的互相残杀。当印度军队在孟加拉同巴基斯坦军队开战之前,在原英印帝国最早的这两个后继国家的西部边界,一直存在着敌对情绪,在越南、南部苏丹、布隆迪、刚果、尼日利亚,西欧殖民帝国的垮台所留下的真空,打开了内战和自相残杀的大门。这些暴力冲突就是政治解放的代价。帝国从来就是为了帝国建立者的目的而强加于臣民的,但是,只要这种具有强制性的外国政权存在,其一个附带性的成果就是给臣属的民族带来国内和平。

    到1973年,除了葡萄牙在非洲大陆拥有殖民地之外,仍处于西欧国家统治之下的非欧洲领土已经剩下为数很少的一些滩头堡和岛屿。然而,在南部非洲,欧洲籍的政治上独立的移民们,仍然统治着非洲臣民。在巴勒斯坦,土生土长的巴勒斯坦阿拉伯人的家园和财产遭到移居而来的以色列人的剥夺。此外,在许多非洲国家,西欧人的统治被那些欺凌邻国的当地非洲人所取代。昔日的沙俄和中华帝国对非俄国和非中国的亚洲人的统治,在共产主义政权的建立中得到幸存。同西欧国家的朝生暮死的海外帝国相比,这两个大陆国家的陆上帝国的寿命则更为长久。

    我们已经论及了人类文明世界在政治上分化为地区性主权国家和它在技术和经济方面的全球一体化之间的矛盾。这种矛盾正是人类当今困境的症结所在。人们需要某种形式的全球政府来保持地区性的人类共同体之间的和平,来重建人类与生物圈其余部分之间的平衡,因为这种平衡已被作为工业革命结果的人类物质力量的空前增长而打破。

    然而,在全球范围内从事这项事业的艰巨性和非人格性是令人胆怯的。而肩负挽救人类种族生存责任的一代人仍然正在危害人类的生存,因为他们正在把生命整体打碎为数量更为繁多而且规模更为狭小的分隔空间。地区性主权国家在数量方面的增长受到同时在数量方面增长的”惩戒”的挑战。这种进一步分化正在导致商业的难于管理性和信息的难于理解性。这种不解决问题的行为并没有消除这种过剩现象;相反,人们仍允许这种现象继续扩大,它可能彻底为人类所无法控制。

    人类所面临的危机与两次世界大战时同样严重,前景令人困惑。显然,人类期望在生物圈内继续生存20亿年,其前提是人类的行为使生物圈不致为期过早地不适于生存。但是,现在人类拥有使生物圈在不远的将来即变得无法生存的物质力量,因此,生活在地球上的人们会由于人为地破坏生物圈、毁灭人类自身及其他一切生命形式的大灾难而无法生存。这并非是不可能发生的。显然,这里提供了两种可能性,但它们肯定不是仅有的两种选择。

    未来是难以预料的,因为它还没有成为现实。其潜在的可能是无限的,所以人们不能根据过去来推断未来。毋庸置疑,过去发生的一切事情,如果条件相同,仍会重演。但是,过去发生的事情并不一定会重演,它仅仅是许多未知的可能性之一;有些可能性是不可预料的,原因在于人们不知道过去的先例;在1763-1973年这200多年间,人们获得了征服生物圈的力量,这一点就是史无前例的。在这些使人迷惑的情况下,只有一个判断是确定的。人类,这个大地母亲的孩子,如果继续他的弑母之罪的话,他将是不可能生存下去的。他所面临的惩罚将是人类的自我毁灭。

    第八十二章 抚今追昔,以史为鉴(1973年)

    未来尚未降临,过去已不复存在,因此,当我们合上史册的时候,过去了的事情都已是无可改变的了。然而,这不可改变的过去并不总会到处重复再现。处于不同的时空之中,它便会异彩纷呈,而我们所获知的信息的增减,也会改变其面貌。我们对过去事情的相互关系、对它们相应的重要性、对它们的意义的看法,都因现实的瞬息万变而不断改变。同一国家的同一个人,先是在1897年观察同样的过去,然后于1973年再观察它,使会描绘出两个迥然不同的图画。如果在2073年的中国再去观察那完全一样的过去,肯定会得出更加不同的看法;再如果在2173年的尼日利亚再去观察它的话,无疑会作出更为千差万别的描述。

    在本章,为了说明问题,本书作者将拣出他在1973年所看到的有关过去记录的一些突出且意义重大的事件,以及在他看来如果在今后的另一个地方观察历史的话,可能重演的现象(这是一个冒险的猜测)。

    自我们的祖先成为人类以来,在迄今为止几乎是全部的历史阶段中(除去最后大约1/16的时期),都生活在旧石器时代。旧石器时代早期,人类采集食物和狩猎的地带肯定是狭小的,种群之间彼此相隔很远。从技术和经济角度考虑,人口集中就意昧着要有人饿死。在旧石器时代早期,技术几乎是静止不前的,每一个群体都很小,小到其所有生活于其中的成员都能够互相熟识。这就是延绵至今的人类社会生活的背景。

    大约在4万年前,至多不早于7万年前,人类在技术方面出现了相当突然和快捷的进步。虽然我们不了解它的原因,但考古学成就已确证它的存在。旧石器时代早期的工具,已被该时代晚期经过改进的一系列工具所取代。从那时起,技术持续进步,但它的发展却是时断时续的。技术发明接连不断地出现飞跃,但中间伴有停歇。到目前为止,主要的技术飞跃年代是旧石器时代晚期(改进了工具、弓箭,驯养了狗),新石器时代(工具得到更好的改进,与之相随的是驯育了更多种类的动植物,发明了纺织、编织和制陶工艺),公元前第五千纪(航海、车轮、冶金和文字)和始于200年前,现仍在发展的工业革命(机械化方面的巨大进步)。这表明,技术进步不是不间断的,而是积累的。为人所知的技术失传是罕见的。在爱琴海地区,书写方法失传于公元前第12世纪,但这只是例外的情况。

    技术是人类活动得以进步的唯一领域。从旧石器时代早期到机械化技术的进步,令人叹为观止。尽管人在社会性方面的进步是由技术进步给人带来的社会条件的变化所导致的,但是这方面的进步同技术进步之间是不相称的。

    到目前为止,人的一系列技术成就中最重要的是新石器时代对狗之外的动物的驯养,以及农业的产生。农业和畜牧业为后来的所有技术进步包括工业革命奠定了基础,也为迄今为止曾经产生和消亡了的一切文明的生活方式奠定了基础。

    新石器时代的村社,在规模上大于前农业的采集食物和狩猎群体,但它还没有大到其成员相互间的个人关系必须要建立公共机构来维持的程度;新石器时代的技术进步也还没有复杂到需要一定程度的专业化分工以及在两性生理差别之外的劳动分工。此外,虽然新石器时代的村社是定居式的,但它们彼此之间却被连绵的人迹未至的荒野所隔断。这样,尽管在旧石器时代晚期和新石器时代之间技术和生活的经济条件发生了巨大变化,但是,人类在漫长的旧石器时代早期的社交方式却得以延续,以满足新石器时代人们生活方式的需要。这就是公元前400年中国战国时代道家哲学家们,以怀恋的方式力图返回新石器时代生活方式的原因。在那个时代生活的经历使他们感到:后来的技术进步带来的社会后果是不幸的。直到1000多年之后,在中国,文明的生活方式才取代这种生活方式。

    1973年,生活在新石器时代风格的村社中的农民,仍然占现存人类的多数。但是,他们正在快速地离开农村进入遍布各个城市的贫民区。同时,与此相反,农业和畜牧业中正在实现机械化,而机器的发明最初是用于工厂加工非生命材料的。此外,在过去的5000年中,人类文明世界中的农民,一直担负着供养文明的上层建筑的重担。

    这之所以成为可能,其原因就在于,在公元前四千纪,技术的进步开始使生产出来的产品除了满足最低限度的生存需求外有了剩余,而此时人类从旧石器时代延续下来的社交方式已被证明,已无法以道德和行善的方式分配使用这些剩余产品了。部分剩余产品被滥用于战争;而其余的剩余产品则被因社会公共事务而产生的少数社会成员不平等地占有了。

    公元前四千纪的技术进步,使一些专门从事某一职业的人(矿工、铁匠、种植者、鼓动家、大规模公共事务–例如兴修水利的组织者)应运而生。与大多数没有技术专业的劳动者相比,专业人员对剩余产品生产的贡献要大得多;经济报酬的有差别分配,尽管失去了脉脉温情,而且从根本上讲似乎是不公正的,但无论如何,这似乎又是不可避免的。因为人如同其他生物一样,天性是贪婪的;旧石器时代早期社会交往水平对人类欲望的强制性遏制,已经不再适应于新的技术和社会的情况了。剩余产品分配的”差异”,表现为巨大的不公正,并且这些差异还有助于形成世袭职业。这样,社会不公正和战争,便成为集体富裕的代价。文明的这两个先天的社会疾病,至今仍然折磨着人类。

    自从人类文明破晓而出,人类的技术进步和社会行为之间便始终存在着矛盾。技术的进步,特别是1773年至1973年这最近200年间的进步,极大地增加了人类的财富和力量,人类作恶的物质力量与对付这种力量的精神能力之间的”道德鸿沟”,象神话中敞开着的地狱之门那样不断地扩大着裂痕。在过去的5000年间,这种巨大的”道德鸿沟”,使人类为其自身种下了极为惨重的灾难。

    人类精神方面的不健全已给社会进步造成障碍,因此也给技术进步带来障碍。因为,随着技术在规模上的扩大和复杂化,它也增加了对财富生产者社会合作的要求。自从现行的工业革命开始以来,机械化已带来了技术进步的第二个限制。机械化正在使工业生产更为物质化,并以减少人对精神需要的满足作为代价,这就造成工人的不安定和工作质量标准的下降。

    在人类文明的黎明时期,底格里斯河、幼发拉底河和尼罗河下游诸流域星罗棋布的水利排灌设施,使生产规模得以扩大。这就需要技术操作规模的扩大,并进而要求打破以社会成员之间的个人关系为基础的社会交往的限制,使社会共同体的力量得到巨大增长。在技术需要迫使这些早期文明的建立者们超越前文明共同体的狭小限制,把人的力量更多地集合在一起时,他们发明了一种新的社会制度:非个人的机构。它们能够维系更大的共同体,因为它们能使个人之间并不相识的人们合作行动。但是,这种机构化了的社会关系既缺少人情味又是脆弱的。在这种社会关系中,人类再也感受不到那种在家庭中才能感受到的私人之间的温情。机构总是要面临失去控制和破碎的危险,接踵而来的便是,掌握权力、负责维持制度的个人总是面临诱惑,即取消自愿合作,恢复强制。因为,社会机构时常无法唤起人们进行自愿合作。

    自从文明产生以来,人类一直是通过国家来控制社会机构的。这里的国家是复数而非单数。因为,迄今为止,还没出现过能担当得起领导全球所有现存人类责任的那种唯一的国家,总是有许多国家相伴共存。文明时代的国家彼此间不是隔绝的,它们互相发生着冲突。而这种冲突会突然引发战争,而战争则一直是文明的痼疾之一。

    国家的通常类型是地区性的主权国家,并且有许多同类的其他国家与之并存。今天,全球大约有170个这样的国家。其政治结构同公元前三千纪苏美尔的国家相同。

    地区性主权国家是一种难于掌握的机构。它们是两头落空。一个城邦国家(这不是指某个民族国家,也不是指许多城邦国家组成的联盟或许多民族国家的联盟),如果过于大,就不能使其社会基础建立在那种使人具有家庭感的个人关系之上。另一方面,最大的地区性国家仍只是许多同类国家中的一个;它有发动战争的能力,却不能提供和平。无论在何时何地,都有许多地区性主权国家互相并存,它们之间经常发生战争。这种战争状态总是要由武力建立的某个帝国带来的强制性和平作为结局。这个帝国消灭了战争中的地区性国家,拥有象人类文明中心那么大的幅员辽阔的疆土。法老的埃及文明是在该文明产生之际,以武力在政治上统一的唯一例子,它没有经过地区性国家之间持久的预备性的战争较量。它的重要意义是,在迄今出现的所有文明中,这种文明是最为稳定和持久的。

    当今世界上的地区性主权国家,都没有维持和平的能力,也不具备把生物圈从人为的污染中拯救出来,或保护生物圈的非替代性自然资源的能力。政治方面的这种全球性的无政府状态再也不能继续下去了,因为人类文明世界在技术和经济方面已经成为一个整体。在过去的5000年中,人们所一直需要的,在过去100年中在技术上一直可行的(虽然在政治上还不可行),是一种全球性的政治体。这种政治体应由新石器时代的村社那种规模的社会细胞构成,因为在这种规模之内,每一个成员即是世界之国的一个公民,而他们个人之间仍便于彼此沟通。尽管如此,人们今天已不能用野蛮的、毁灭性的军事征服的传统方式来实现人类文明世界的政治统一了。1945年,尚未实现政治统一的人类世界,曾遭到新发明的核武器的突然侵袭。人类文明世界是不能通过使用这种致命的武器来实现统一的。毁灭,而不是统一,将是世界核战争不可避免的结果。

    苏美尔、希腊、中国以及中世纪意大利的历史记载说明,一个主权国家群体仅仅是一种昙花一现的政治结构。在人类拥有核武器的时代,政治统一只能是自愿地进行。显然,人类现在只能是勉强地接受它,所以,似乎可能的是,这种统一将推迟到人类自身酿成更大的灾难之时。这种灾难将使人们最终默然同意建立全球政治体,因为它给人们带来的危害会小些。

    在历史的这一刻,我们人类也许会对昆虫社会发生兴趣,产生羡慕之情。它们遵从自然,彼此间在广大的范围内互相合作。单个的蜂、蚂蚁或白蚁,使自己服从于其共同体的利益并为之而献身,它们的自我牺牲既不是自愿的,也不是外部强迫的。这是昆虫心灵机制的本能。对于人类这种双重属性的动物来说,要把旧石器时代所参与的那微乎其微的社会交往,扩大为一种扩展了的、包括整个生物圈在内的人类社会交往,那将是很困难的。因为,与白蚁、蚂蚁和蜂不同,人类不仅是一种先天具有社会心理的生物,而且还具有意识所驱使的灵魂,因此,他能够而且必须在善恶面前作出选择。

    幸运的是,人的社会交往并未限制在满足前文明时代人类社会的个人关系的狭小范围。一个人在他发现任何一个处于苦难中的同类时都会有怜悯之心,即使用一句部落语言来说,这个人是一个”外人”。一个人会对任何一个病人和迷路的孩童产生恻隐之心,并会给这些落难者以帮助。在诸如中华帝国、罗马帝国那样的国家里,统治者把自己的统治视为对整个人类世界的统治;其臣民总是把自己看作一个世界国家的公民,而不是外来征服者的牺牲品。传教士们打算把福音传遍整个人类,中国哲学家墨子则宣扬,人类应该相爱,并以无私的忠诚来为一切同类谋幸福。孔子思想最权威的解释者孟子曾反驳道,墨子的教条是无法实现的。孟子拥护孔子维护等级礼制的理想。但是,经验说明,由个人相识而激发的爱和仅仅根据一般的人性需要而产生的对所有同类之爱,并不是社会交往共同和唯一的表达方式。在印度,爱的范围受到种姓障碍的限制,但这种范围仍扩展到了包括对与人为伴的各种生命物的爱。在工业革命时代的人类文明世界中,人类之爱应该扩展到生物圈中的一切成员,包括生命物和无生命物。

    这些,就是一位出生在1889年的英国观察者在1973年作出的思考。那么,笔者的人类同胞们又在思索些什么呢?对于过去,人们究竟有多少了解?追溯历史,人们将如何从中吸取教训从而朝气蓬勃地生活呢?

    显然,几乎没有人愿意承认,在过去的5000年中,地区性主权国家制度在满足人类的政治需要方面曾一再失败;同样也没有人愿意承认,在一个全球性社会中,这种制度必将被再次证明是昙花一现的,而且这次将比以前更为确凿。尽管第二次世界大战结束以来,人类文明世界在政治上彼此分隔的各部分在技术和经济领域越来越密切地相互依赖,但地区性主权国家的数量也同时增加了一倍多。

    中国人曾经把中华帝国视为”普天之下,莫非王土”的天朝大国,他们今天正在思考着自己的国家作为全球竞技场上处于战争状态国家中的一员所发挥的作用。可以肯定的是,中国正在忘掉自己历史上那残酷的一页:那时,中国自身成了地方诸侯国家的战争竞技场。另一方面,中国人似乎对自公元前221年政治统一以来的历史十分敏感,因为他们正尽力避免国家机器同农民的疏远。而农民,自汉武帝即位以来,便成为”中国的悲哀”。

    公元前2世纪,汉武帝在中国首倡以政绩征募文职官吏的制度,并通过考试对候选人员的能力进行评判。中国皇帝的文职官吏是人类文明世界中的佼佼者;他们长期平安有序地管理着这么庞大的人口,这是其他国家的文职人员所不可企及的。但是,他们也一次次地失去民心,他们为了自己个人的特权而滥用权力,从而一次次地把中国带入灾难。中国的领袖们正在采取措施防止悲剧的重演。与中国过去的改革家们相比,中国领导人是否能获得更大成功,人们将拭目以待,但至少他们目前行动的魄力便是一个良好的征兆。

    如果中国人真正从中国的历史错误中吸取教训,如果他们成功地从这种错误的循环中解脱出来,那他们就完成了一项伟业,这不仅对于他们自己的国家,而且对处于深浅莫测的人类历史长河关键阶段的全人类来说,都是一项伟业。

    生物圈包裹着地球这颗行星的表面,人类是与生物圈身心相关的居民,从这个意义上讲,他是大地母亲的孩子们–诸多生命物种中的一员。但是,人类还具有思想,这样,他便在神秘的体验中同”精神实在”发生着交往,并且与非此世界具有的”精神实在”是同一的。

    人类具有思想意识,他能明辨善恶,并在他的行为中作出选择。在伦理领域,人类行善或作恶的选择为他记下了一部道德帐册。我们不知道每个生命短暂的人在其离开人世时能否了结这笔帐,抑或是象印度教和佛教认为的那样,这笔帐能通过潜在的无限轮回得以延续。对于构成人类社会的现世的个人之间的关系网来说,这本帐簿还具有开放性,并且,只要人类允许生物圈继续成为可生存之地,它便将继续开放。

    人类将会杀害大地母亲,抑或将使她得到拯救?如果滥用日益增长的技术力量,人类将置大地母亲于死地;如果克服了那导致自我毁灭的放肆的贪欲,人类则能够使她重返青春,而人类的贪欲正在使伟大母亲的生命之果–包括人类在内的一切生命造物付出代价。何去何从,这就是今天人类所面临的斯芬克斯之谜。

  • 汤因比《人类与大地母亲》1-36

    阿诺尔德·约瑟·汤因比(Arnold Joseph Toynbee,1889年4月14日–1975年10月22日),历史学家,《人类与大地母亲:一部叙事体世界历史》是其最后一部著作,写于1973年。

    序言

    1897年是维多利亚女王执政60周年。庆典活动使人不禁回想起60年来的种种往事。抚今追昔,一部历历在目、简洁明了的人类文明史展现在人们面前。400年之前,哥伦布横越大西洋,瓦斯科?达?伽马从葡萄牙出发,绕过好望角航行到印度西部海岸,从而开创了一个新的历史进程。1837年到1897年间,西方确立了它在全世界的优势地位,便是这一进程的圆满结局。在这4个世纪中,几乎所有的非西方世界,不是沦入西方的统治,就是在某种程度上自愿采用成功的西方文明生活方式,从而保持自己的独立。其中,只有阿富汗和阿比西尼亚(埃塞俄比亚)这两个国家除外。彼得大帝于1694年开始使俄国西方化,明治革命的发动者于1868年在日本也开创了同样的进程。到1897年,世界7大列强中就有6个是西方国家。第7个国家是俄国,在最近的两个世纪中,它已在相当程度上使自己实现了西方化,从而加入了列强行列。日本只是在1904-1905年发动并赢得了对俄国的战争时,才获得了列强的地位。

    因此,西方的优势地位的建立尽管只是晚近之事,却似乎将永世长存。到1897年,西方瓜分世界的形势似乎已成定局。西方文明的过去,汹涌激荡,充满着惊恐徬惶,徘徊无措,而今这一切都已被愉快地抛在了身后。如果象很多人在1897年所想象的那样,”历史”就意味着所有这一切,那么,随着意大利和德国于1871年获得政治上的统一,历史显然已经进入尾声。因此,1897年似乎已成为这样一个时刻,即一个观察者可以”从容而全面地”回顾历史,在此时此刻观察家自己则再也不必在历史的激流中挣扎了。

    此时此刻回顾历史,似乎结局已定。基于西方在世界范围内的优势,历史已臻至一种稳定状态。根据这种观点,历史进程的航图似乎是十分明了的。如此而论,似乎历史所包括的不过就是过去那些导致西方目前优势地位的特定事件,而其他事件则与历史无关,可以弃之不顾。确实,整个世界现在已被纳入西方的界限之内,因而才被列入历史范围之中。但世界的这种西方化只是近期才发生的,被西化的国家只是些次要的,至少也只是边缘的国家。例如,只是由于1746年英法两大西方列强争霸称雄的一次战争,才使印度纳入西方的范围;只是作为大英帝国的一部分,印度才得以在1897年的世界之中享有一席之地。俄国成为列强,要归功于彼得大帝的先见之明;但尽管人们公认俄国国力强盛,它却没有完全实现文明化:在文化上,它不是西方俱乐部中的第一流成员。至于日本的西方化,虽成绩卓著,却实属异常。

    人们既然把历史看作只是导致西方优势的一系列特殊事件,如今也就可以更为精确地为它划定界限了。以色列人及其后裔犹太人至少在公元70年以前无疑是历史的参与者,因为他们的历史是罗马天主教与新教历史的前奏,而这正是西方的宗教。同样,古代希腊人无疑也参与了历史。古代希腊哲学对基督教神学的创立产生了影响,不仅哲学,古代希腊的文学、造型艺术、建筑也为文艺复兴以来的近代西方文化提供了灵感。

    犹太文化和古希腊文化是西方文明的两个主要来源。它们彼此之间的接触,导致了西方文明的产生。在回顾往事的时候,历史学家没有必要一定要在时间的长河中无穷地追索其源头。但是,在1897年之前维多利亚女王执政的60年中,西方考古学家使一些早已被遗忘的前以色列时期和前古希腊时期的文明重见天日。例如,法老时代的古埃及文明、亚述文明以及最近发现的迈锡尼文明。考古学家对这些更为古老的文明的再现是残缺不全、模糊不清的,但如果能够证明这些重新出土的文明,曾对作为西方文明源泉的犹太文化和古希腊文化作出过贡献,那么它们就有资格被载入史册。

    追溯从犹太文化和古希腊文化到1897年的西方化世界的历史,似乎是轻而易举的。犹太人和希腊人早已被并入罗马帝国。这是基督教的政治源头。罗马帝国在它的西部诸行省垮台之前就皈依了基督教。这些前罗马帝国西部领土上蛮族征服者皈依了基督教,导致了西方基督教世界从公元后第15世纪的最后10年开始的不断扩张。从此以后,随着世界其他部分被纳入不断扩展的西方的疆界之中,这些地区也被带进历史的范围之内。

    如此地回顾历史,在1897年是顺理成章的。因为在那时,似乎西方在全球所取得的优势将会永世长存。到1973年,人们仍能感觉到西方在世界范围内的优势之史无前例;但如今似乎又感到,这种优势也将象从前蒙古人、阿拉伯人、匈奴人、罗马人、希腊人、波斯人、亚述人和阿卡德人曾取得的规模稍小些的世界优势那样转瞬即逝。如果西方的优势只是昙花一现,人们就不能再把它看作是整个历史功德圆满的结局。历史的范围也就不能仅限于西方文明的历史履历。这种人为界限的取消已揭示出,历史的范围是非常广大的,而人们在1897年描绘的历史画面则将这一情形置之不顾。那时,人们觉得这种画面已经包容了与当时人类事务有关的一切。

    1897年描绘的历史画卷将1868年以前的日本历史、1839年以前的中国历史、1746年以前的印度历史、1694年以前的俄国历史统统排除在历史之外。它还将整个佛教、印度教和伊斯兰教的历史排除在外,尽管在1897年,象在1973年一样,它们是拥有最多信徒的四大宗教中的三个,而佛教和伊斯兰教还是进行传教活动的三大宗教中的两个。它们的传播范围与基督教不相上下。1897年的历史画卷还将基督教四大教派中的三个教派排除在外。这就是聂斯脱利教派、基督一性论派和东正教派。尽管在1897年,东正教拥有的信徒在数量上与新教和天主教当时拥有的信徒相差无几。

    这一历史画卷的其他特征更为不可思议。犹太人从公元70年以后被排除在历史之外,这一年罗马人一度摧毁了耶路撒冷;希腊人从公元451年以后被排除在外,这一年基督教希腊神学家起草了卡尔西顿会议信纲。(从1821年起,希腊人又重新得到承认,因为他们在这一年发动起义反对奥斯曼帝国的统治,谋求成为西方社会的一员。)

    如何看待公元后5世纪罗马帝国的历史,始终是最令人费解的难题。在这100年里,罗马帝国在一直是其人口和经济重心的东方省份得以幸存,而在相对落后的西部诸行省却陷于崩溃。然而,由于帝国西部孱弱的末代皇帝于公元476年被废黜,流行于1897年的历史航图就对自此以后的罗马帝国不屑一顾,尽管帝国在东部地区依然存在,依然在人类事务中发挥着重要作用,并一直延续到12世纪末为止。的确,流行于1897年的航图对于公元476年这一时期从希腊到中国,从中国到中美洲和秘鲁的整个文明世界全都不屑一顾。从公元476年起,这种荒谬绝伦的航图只对那些建立在罗马帝国西部省份残破江山上的蛮族国家大加青睐。

    时至1973年,事情已经十分明了:曾被置之不顾的大量历史事实,其任何部分都不能再被人们视作无关紧要而一笔勾销。例如,人们曾认为,中美洲文明早已被科尔特斯一伙一举毁灭。但是,这种文明今天已在墨西哥和危地马拉支离破碎的西方化虚怖下,显示出再现于世的迹象。至于东亚的历史,目睹1973年中国和日本现状的任何人都会认为,这两个国家的历史,其重要性自东亚进入新石器时代以来,决不稍逊于当代西方的历史。1897年的历史学家也许会弃之不顾的东西,到1973年已成为历史的重要内容,无法置之不理了。现在他不得不把它们重新拾起,并与那些把西方带进1897年的残渣碎片重新结合起来。1897年流行的历史航图中保留的,其实就是这样一些残渣碎片。

    时至1973年,人们迫切需要对历史进行一次综合性的考察。但这一任务在选择什么和描述什么这两个方面都存在难以解决的问题。

    人们可以选择任何事情加以叙述。人类的才智尚不足以在一种全景视野中将所有的事情兼容并蓄,必须有所选择,但选择必然是武断的。而且,用以选取的信息越丰富,对研究者作出的选择就越有争议。例如,1897年所选择的历史事件,在当时看来言之有理,但到1973年就可能显得荒诞不经。在本书中,我没有象传统的西方世界史研究那样对西方文明及其历史给以过分的突出,但我也尽量避免相应的错误,而仍对西方及其历史给予应有的重视。尽管如此,本书的中国读者可能会觉得,我仍然使西方显得过于重要;而一个西方读者则可能觉得,我在努力为我们祖先的文明确定地位的时候”走了另一个极端”。

    在一部撰写于1973年的叙事史中,与人类历史的开端和最近阶段相比,中间阶段更为难于驾驭。在旧石器时代早期(时间上约占人类历史的15/16),生活是一成不变的,因为人类交往非常缓慢,变革的步伐更为缓慢。在最近的5个世纪中,人类居住的地区尽管还没有在政治方面融为一体,但已在技术与经济方面融为一体,因为交往速度的加快,已经超过了不断加快的变革步伐。但在中间的阶段,特别在从公元前3000年左右到公元1500年的4500年间,变革速度快于交往速度,其结果导致各地区间生活方式的差异在这一时期达到极点。

    即使在这一时期,也仍有人类居住的地区大规模相互联接起来的时候。我总是试图抓住这种机会进行全景式的考察。使旧大陆的地平线得以扩展的实例有:公元前6世纪精神生活的新发展,希腊文明在亚历山大大帝赫赫战功之下的广泛传播;公元13世纪蒙古征服者对旧大陆几乎横贯东西的政治统一。安第斯历史上与之相应的时期则以查文文化和蒂亚瓦纳科文化的”地平线”为代表。但是,在公元前3000年到公元1500年期间的大部分时期,人类所居住的每一个地区是彼此分离,单独发展的。相互隔离、彼此区分,多于相互交往和彼此同化。各个地区性文明同时并存却互不相干。

    这就是一部叙事史著作所反映的历史事实。历史作家所面临的问题是,他不得不记录下同时发生的许多事件。笔者只得模仿杂耍艺人在空中同时抛掷几个小球的技艺。我让每个地区的历史依次抛起又落下。当我论及每一个特定地区的历史时,不更多拘泥于地区历史的连续性,这样才得以大致按编年顺序使世界历史形成一个整体。

    叙事体形式与分析比较的形式有其各自的优点和缺陷。以叙述形式对人类历史作一宏观鸟瞰,即是笔者向读者奉献本书的目的所在。

    第一章自然现象之谜

    人在受孕于母腹并呱呱坠地之后,婴儿可能会在他获得自觉意识之前便夭折。直到20世纪之前,婴儿在产生意识之前这个阶段的死亡率一直是很高的。甚至在那些较为安全和较为富裕的社会,在那些医学普及、设施完善的社会,婴儿死亡率也同样是很高的。进入近代以前,婴儿死亡的比率与兔子不相上下。而且,一个孩子即使存活到建立了思维以后,仍然可能夭折于生命的任何阶段,或许是死于蓄意杀害,或许是死于某种事故,也可能死于某种疾病,以及死于某种伤害。而每当处于这种特定的时空之中,医疗技术和设施无计可施,不能起死回生,也是在情理之中的。

    尽管如此,在医学和社会各方面都较为成熟的社会中,人类的预期寿命已经有了很大的提高,大多数相对落后的社会在这方面也已开始有明显的提高。今天,一个人可以在他生命的七八十年中一直处于有意识的状态。直到死亡,这种意识之光才会熄灭,或者是在肉体死亡之前,由于精神衰老而使意识之光趋于暗淡。在这意识之光闪耀的七八十年中,人可以意识到周围存在的各种自然现象。这些现象向他提出许多难解之谜。尽管现代科学知识和科学判断能力获得了迅速而广泛的进步,一些基本的难解之谜仍然没有找到明确的答案。

    最近,科学家正在探索某些物质的化学成份和构造。它们是赋予物质以生命和赋予生物体以意识的物质条件。科学的进步带给宗教信徒的似乎可能是一些否定宗教的发现,由于它与根深蒂固的传统观念相对立,因而遇到了强烈的抵抗,尽管传统的观念是尚未证实也无法得到证实的。现在几乎再也无法使人相信,人类所意识到的自然现象,是由一个与人形似的造物之神的指令而存在的。这种传统的对自然现象的解释仅是出自对人类活动的牵强类比。人们将现存的无生命的”原料”加工成型,制成工具、机器、衣服、房屋和其他制品,并赋予这些制品某种该原料所不具备的功能和类型。功能和类型是非物质的,从物质属性方面而言,它们是从无到有被人创造出来的。既然与人形似的造物之神的存在是一个无法证明的假设,那么用与人类一样的创造活动来解释自然现象的存在,就不再能令人信服了。但迄今为止,还没有任何能以令人信服的说法取代这种早已站不住脚的传统假设。

    我们对生命及人类意识与意志得以产生的物质条件的了解虽然有了进步,但这并未能使我们理解生命和意识本身所具有的本质及目的(假如存在目的的话)。它们彼此间的存在形式不尽相同,并且,正如我们所知,与那些与之相关的有机结构物质的存在形式也不相同。人们所知道的每一个活着的人,包括他自己在内,都具有一个有意识有目的的精神世界,而这个精神世界则实实在在地存在于物质的躯体之中。每一个活着的人,精神和肉体都不能彼此分离。它们总是彼此契合,但它们之间的相互关系却又总是让人难以理解。

    为什么有些物质现象一度会与生命结合(如其之于所有生物物种),或一度会与意识结合(如其之于人类),而另一些(显然在宇宙物质总量中占多数)却永远是无生命和无意识的?在时空的溪流中,在某一特定的时刻,也就是说,在暂时包裹着我们这个来去匆匆的行星的脆弱的”生物圈”中,生命和意识是怎样与物质发生联系的?为什么寄寓于有机物中的生命总是设法使自己永远生存下去,寄寓于有性别的和终有一死的生物体中的生命,总是使自己得到繁衍?所有物种的保持,显然都要付出巨大的努力。这种努力难道是物种或其中每一个体所固有的本质吗?如果答案是肯定的,那么为什么某些有机物成分,在获得有机物特性前,或失去有机物特性后,又不具备这种固有的努力呢?须知这些有机构成,只是它们自身历史中一个短暂的插曲。如果这种努力不是固有的,而是从外部引入的,那么,如果排除了神灵造物之功的假设,引入这种努力的媒介又是什么呢?

    现在,假定我们接受有机物在结构和功能上产生变异的事实;假定我们也接受达尔文的有关假设,他认为,自然选择在足够的时间里充分利用了变异,这种变异足以说明为什么生命会分化为各种各样的物种,为什么有些物种得以成功地生存下来,而另一些则失败了;即使我们承认了所有这些说法,变异本身仍未得到解释。变异是偶然发生的,还是注定要发生的?或者是违背了一种注定的事情?或许如果我们向被认为不具有意识、不具备制定计划能力的自然现象提出这些问题,根本就是不恰当的?假如允许我们用这些拟人语汇讨论非人类的物种问题,我们将会遇到更多的难题。物种的变异倾向与物种保持自身生存或进行自我繁衍的努力是背道而驰的,物种的目的真的是保持自身的种属吗?那么,变异是否是这一目的的失败?或者,物种是注定要发生变化的,而保持原种属的做法仅只是惯性对这种变化的阻碍?

    生命分化为不同的物种,造成一些物种之间的竞争和另一些物种之间的合作。这两种相互对立的关系,哪一种是自然的最高法则?在无意识的物种之间,合作和竞争都不是出自有意的选择。但对于人来说,选择是有意的,人能够意识到是非善恶之间的区别与对立,人类的选择与此紧密相关。这种道德判断显然是人所固有的自然本质,其他物种则不具备。那么,这种道德判断又来自何方呢?

    人类是有意识、有目的的生物。他富于是非观念,道德的力量促使他择善而行,即使他抗拒这种力量,也不得不这样去做。那么,人类在宇宙中的地位如何?意义何在?人总认为自己是宇宙的中心,因为自己的意识对于本人来说,是观察宇宙中精神和物质景象的出发点。人还有这样的自我中心意识,即认为他的自然冲动是力图使宇宙的其他部分为自己的目的服务。与此同时,他也意识到自己并不是宇宙的真正中心,来去匆匆,转瞬即逝,他的良知也告诉他,就把自己看作宇宙中心这一点而言,他在道德上和理智上都铸下了大错。

    上述这些,就是人类意识到的自然现象向人们提出的难解之谜。科学也许会继续发展,也许不会。科学将取得进步还是陷于停顿,这不是人们的能力能够解决的问题。在增进科学知识,并把它们运用于进一步发展技术方面,人的智力似乎没有任何限制。科学技术的未来,在某种程度上取决于社会是否仍然一如近世以来所做的那样,充分估价并慷慨酬劳人们的科学活动。在某种程度上,它还取决于具有最高智力水平的人们是否仍然关注科学和技术。这并不是想当然的事情。在人类活动的一切领域,风尚都在发生变化。可以想象,宗教或艺术在最有才干的人们心中或许会再次变得至高无上,正如过去在许多时期和地方曾经出现过的那样。但是,即使科学仍以现在的速度继续发展,它的进步可能也不会超过过去和现在所企及的范围。关于宇宙运转方式的知识也许会有所增加,但在宇宙为何这样运转、或是宇宙为什么存在这些问题上,未来的科学恐怕不会使我们比过去了解得再多。

    尽管如此,人类一息尚存就只能在生物圈中生存和活动,因此,即使他不能从科学中得到答案,即使他相信只有科学知识才是唯一正确的知识,生存和活动的需要仍会迫使他为这些自然现象之谜找出暂时的答案。对科学的这种信念并不是坚不可摧的。不过,在科学的范围之外寻找到的答案的确只是无法验证的宗教信仰所为。它们不是理智的论证,而是宗教的直觉。所以,将来也许会象过去一样,生活将迫使人们用直觉的和无法验证的宗教词语来回答那些基本问题。从表面上看,宗教在产生科学之前和产生科学之后的表达方式象是彼此分开的两极。过去,每一种宗教表达方式都始终与这种特殊的表达方式所赖以产生的其时其他的理智观念相协调。但宗教的本质无疑与人性自身的本质一样是永恒的。实际上,宗教正是人性所固有的独特品质。由于人类独一无二的意识本能,使他际遇了种种神秘的自然现象提出的挑战,而宗教正是人类对这些挑战作出的必然反应。

    第二章 生物圈

    “生物圈”一词是德日进所创造的。这个新词是科学知识和物质力量发展已进入一个崭新阶段的产物。生物圈是指包裹着我们这个行星地球(事实上的确是个球体)表面的这层陆地、水和空气。它是目前人类和所有生物唯一的栖身之地,也是我们所能预见的唯一的栖身之地。

    生物圈的规模极为有限,因此它所包含的资源也很有限,而所有物种都依赖于这些资源维持它们的生存。一些资源是可以更新的。另一些则是不可再生的。对任何物种而言,如果过份使用可更新资源,或是耗尽了不可再生的资源,都会导致自身的灭绝。许多已经灭绝的物种在地质记录上留下了它们的痕迹。与迄今仍然存诸于世的物种相比,它们的数量多得惊人。

    生物圈最显著的特点,是它的体积相对来说很小,它所提供的资源也很稀少。通俗地说,生物圈是很薄的。它的上限也就是飞机所能飞行的最高高度,下限就是工程技术人员在坚硬的地表之下所能挖掘到的深度。在这个范围内,生物圈的厚度与地球半径相比简直是微不足道的,就象是蒙在地球表面上的一层纤细的皮肤。太阳的行星依各自的椭圆形轨道围绕太阳”旋转”,地球远不是其中最大的行星,也远不是距离太阳最远的行星。而且,我们这个太阳只是构成我们这个星系的无数太阳中的一个,我们这个星系也只是众多星系中的一个,而这样的星系到底有多少(随着望远镜视觉范围的扩大,我们知道的星系的数量越来越多)尚未可知。因此,与人们已经了解到的宇宙规模相比,生物圈的规模简直可以说是微乎其微。

    生物圈的年龄不象它所包裹着的行星那样古老。它是在地壳冷却下来,原有的一部分气体变成液体和固体之后很久才形成的,我们可以把它称做地球的晕圈或锈迹。基本上可以肯定,它是太阳系中唯一的生物圈,或许太阳系中从末存在过,也将永远不会出现任何其他的生物圈。当然,太阳系与我们的生物圈一样,只是我们所了解到的这个宇宙的微不足道的一部分。也许除我们这个太阳以外,无数其他的太阳也有自己的行星,这些行星中,可能也有一些象我们这个行星一样,其围绕太阳旋转的距离,正适于在其表面生出一层生物圈。即使可能存在这样一些生物圈,也不能肯定它们会象我们的生物圈一样确实有生物存在。在一个有可能存在生命的地方,这种可能性并不一定能够真正成为现实。

    人们已经发现了有机物的物质构造,但正如人们已经看到的那样,生命、意识和意志的物质载体与生命、意识和意志本身并不是一回事。我们不知道生命、意识和意志是怎样在地球表面出现的,以及它们出现的原因,但我们现在已知,由于有机物和无机物的相互作用,生物圈的物质构成重新分配了空间,并重新实行了化学组合。我们知道,”原生”生物体起源的作用之一就在于它提供了一种过滤,这种过滤使源源不断地来自太阳和外界其他来源辐射生物圈的射线,以一种不仅能为”较高级”的生命形式接受并且适于这种生命形式的强度进入生物圈(所谓”较高级”一词,即指接近于人类生命的形式,这是一种相对和主观的用法)。

    我们也知道,我们这个生物圈中的物质在特定时刻内是有生命的,而在另一特定时刻又是无生命的。有生命的和无生命的物质之间不断地进行着相互交换或”再循环”。在特定时刻有生命的物质中,有些是植物,有些是动物,在动物中,有些种属是非人类的,有些是人类。生物圈通过一种自我调节和自我维护而获得的力量平衡实现存在与生存。生物圈的各种成分是互相依赖的,人类也和生物圈中所有的成分一样,依赖于他与生物圈其他部分的关系。在思想上,一个人可以把自己与其他人相区别,与生物圈的其他部分相区别,与物质和精神世界的其他部分相区别。但是人性,包括人的意识和良心,正如人的肉体一样,也是存在于生物圈中的。我们从未见过任何单个的人或者人类可以超越他在生物圈中的生命而存在。如果生物圈不再能够作为生命的栖身之地,人类就将遭到种属灭绝的命运,所有其他生命形式,也都将遭受这种命运。

    此外,即使在我们的星球之外,在宇宙的某个地方还能找到其他生物圈的话,距离我们行星最近的可能也会有几亿光年之遥。在我们这一代,已经有人登上月球表面,并在上面短暂停留之后,生气勃勃地重返地球。这是科学技术的丰功伟绩。鉴于人们在处理人际关系方面远不如象驾驭非人的大自然那样成功,它更显示了人类在社会性方面所取得的巨大成就。对于预测未来并选择我们在地球上的政策,这一成就提供了至关重要的教益。

    月球是地球的卫星,距离地球比其他星球近得多。但让几个人在月球上登陆几个小时却需要成千上万的人精确协调和热情合作。它还需要花费大量的物质资源,并要人们付出巨大的勇气和能力,而后者正是人类最杰出最珍贵的资产。即使人们能够证明月球上的资源就象美洲大陆一样丰富,开发这些资源在经济上也是不合算的。地球人向月球进行永久殖民是不现实的。人体所具有的物理结构使人能够承受地球质量的引力和地球表面空气的压力。人需要有机的食物,必须以动植物为食。欧洲人在公元10世纪从斯堪的纳维亚、15世纪从西班牙越过大西洋到达美洲时,人类生活的所有这些特点和必需品在美洲都是齐备的。在那里,他们还遇到了其他的人类,他们早在欧洲人之前就已经到达美洲,并且在那里安家落户。这证明,地球上的这些陆地是适于人们安身的地方。

    月球则不适于任何形式的生命居住。也许可以成为人类资源来源的这个月球是个无机物体,甚至从未存在过任何有机物质。为了开发利用月球物质,人们必须在极其不利的条件下,在月球上安营扎寨,辛勤劳动,将这种物质从月球运回地球。这可不象把烟草从美洲运到欧洲,把玉米和马铃薯等作物移植到欧洲和亚洲那么经济合算。这些作物都是先于欧洲人从大陆另一端到达美洲的人在当地培植起来的。

    尽管月球和比月球更远的其他行星都不适于我们生物圈的居民居住,但可以想象,其他星系的某个太阳系中可能会有一个适于我们居住的行星。但即使我们能够找到这样一个可以居住的星球,从我们这个生物圈驶向这个星球也是不可能的。假设我们能够发明在宇宙中航行的办法,在太空行驶的过程中不至被吸入那无数个太阳的熊熊燃烧的熔炉之中,这一航行可能也会需要100年。因此,我们应该设计这样一种飞船,使乘客可以在船舱内生儿育女,这些孩子又能在船舱内长大成人并且养育他们的子子孙孙,直到这个飞船着陆并把第三代或第四代子孙送上这个星球为止。而且,即使到达并且登上这个星球的这一代人能够在这个假想的生物圈中找到可以呼吸的空气,可以饮用的水、可吃的食物、可以承受的气压和引力,他们用以从一个生物圈飞往另一个生物圈的这个飞船(一个现代的诺亚方舟),也必须配备足够的空气、食物和水,以便于孙后代能够在船舱中生活一个世纪。看来这个童话般的航行是永远也不会实现的。

    因此,我们现有的知识和经验表明,生活在地球表面这一生物圈中的居民,将会永远居住在这个星球上。我们所知的生命形式就是在这个星球上出现的。因此,就算宇宙中存在着适于我们居住的其他生物圈,人们也不可能进入这些生物圈并向那里移民。没有人会去考虑这类事情。这样的幻想不过是个乌托邦。

    如果我们确实认识到,迄今一直是我们唯一栖身之地的生物圈,也将永远是我们唯一的栖身之地,这种认识就会告诫我们,把我们的思想和努力集中在这个生物圈上,考察它的历史,预测它的未来,尽一切努力保证这唯一的生物圈永远作为人类的栖身之处,直到人类所不能控制的宇宙力量使它变成一个不能栖身的地方。

    现在,人类物质力量的增长,已足以使生物圈变成一个难以栖身的地方。如果人类仍不一致采取有力行动,紧急制止贪婪短视的行为对生物圈造成的污染和掠夺,就会在不远的将来造成这种自杀性的后果。另一方面,人类的物质力量又不能保证,只要我们不去摧毁生物圈,生物圈就永远能够作为人类的栖身场所。这是因为,生物圈虽然是有限的,却不能自给自足。大地母亲不是通过单性生殖产生生命的。她是通过一位父亲获得生殖能力的。这位父亲就是太阳,它就是埃及法老阿肯那顿的阿吞神,即”太阳的光盘’,也就是从奥勒利安到君士坦丁大帝的伊利里亚罗马皇帝们的”不可征服的太阳”。

    生物圈中所蕴藏的物质能量是生命的物质源泉,也是无机自然界迄今为止一直向人类提供可资利用的物质力量的源泉。它不是在生物圈内部产生的。这种永久的物质能量,来自太阳以及其他宇宙源泉的辐射。在接受这种来自外界的充满生机的射线时,生物圈只扮演选择者的角色。我们已经谈到,生物圈要对这些射线进行一番过滤。它接受那些能够养育生命的射线,排斥导致死亡的射线。只有在这种过滤没有失灵,射线来源没有发生变化的情况下,这种来自外界的射线才是有利于我们的生物圈的,而我们的太阳和宇宙中的其他太阳一样,总是处在不断变化之中的。可以想象,在将来的某一时候,宇宙中太阳或其他星球的种种变化将会改变投向我们生物圈射线的作用,致使生物圈变得无法存身。一旦生物圈面临这种灾难,人类的物质力量也许还未能强大得足以抗拒这种宇宙力量作用的致命变化。

    现在我们来看一看构成生物圈的诸种成分及其相互关系的。实质。生物圈具有三种成分:第一种是不具备有机物质结构因而从未获得生命的物质;第二种是活着的有机体;第三种是曾经是有生命的有机体,目前仍保留着一些有机性和有机能力的无生命的物质。我们知道,生物圈的年龄比它所覆盖的地球年轻;我们也知道,在生物圈中,生命和意识出现的时间并不象与它们相关的那些物质那么早。目前构成生物圈的那层物质曾经一度全都是没有生命和没有意识的,地球上的多数物质现在仍是这样。我们不知道生物圈内的一些物质最终是怎样变成有生命的物质的,以及这种变化的原因,也不知道这些有生命的物质怎样及为何会在以后的阶段中获得意识。这个问题也可以反过来提问,生命和意识是怎样被赋予形体的?为什么会被赋予形体?但这种问题同样是困惑着我们的未解之谜。

    生物圈中丧失了有机成分构成的物质多得惊人,它们向人类提供了维持生命所需要的一些最重要的资源。众所周知,珊瑚礁和珊瑚岛是由无数的微生物建造的,众多的珊瑚积少成多,造就了这种坚固耐久的岩礁。在极其漫长的过程中,它们明显地扩大了生物圈中的陆地面积,扩大了非水栖类生物的生长范围。这些体积微小、数量众多、不屈不挠的生物建造起来的岛屿,总面积比火山活动的强大力量所造成的陆地还要大。火山活动同珊瑚你追我赶,争相在水下堆积起坚固的物质,直至形成一个个岛屿浮出海面。

    人们也都知道,煤是树木遗骸的产物,而这些树木曾一度茂盛生长。肥沃的土壤在一定程度上是由于蚯蚓爬过和各种细菌的堆积而获得肥力的,它们提高了土壤向植物提供养份的能力。但如果一个地质学家告诉一个门外汉,在这个生物圈中,在那高低不平的地平线上映入眼帘的石灰石山脉,是由一些水生动物的甲壳或骨骼在早已消失的海床上长年沉积而造成的,地平线上沉积的这些曾经是有机体的物质是在近期内(就地质学的时间尺度而言)由于地壳的收缩而扭曲变形,变成现在这样纵横褶皱、蜿蜒起伏的形状,这个门外汉还是会大吃一惊的。如果这个门外汉得知,大量沉积于地下的石油过去或许也是有机的物质,也就是说,它可能更近似于煤而不象铁矿或花岗石,他更会大惊不已,而铁矿和花岗石这些物质的分子构成从来没有经历过有机的阶段。

    生物圈中丧失了有机成分构成的物质的惊人数量,使人们注意到生命史中一些令人困惑的方面。(生命史被不恰当地称做”进化”,这个字眼并不含有名副其实的变化之意,而仅指一些事物的”潜移默化”)。生命分化为许多不同的属和种,每一物种都体现为众多的个体。物种和个体的多样性是生命由相对简单弱小的生物体到相对复杂强大的生物体进步的条件,但通过分化和变异获得的这种进步,却是以竞争和冲突为代价的。每一物种,每一物种的每一个体,都为占有生物圈的各种要素而与其他物种或个体展开竞争。对某一物种及其个体来说,某些有生命的或无生命的要素是它们维持生命的有效手段,因而也是它们所需要的资源。在有些情况下,竞争是间接的,某一物种或某一物种的某一个体,不是通过捕食或消灭对手,而是通过最大份额地为自己赢得某种资源而消灭对方,这种资源对竞争双方都是维持生命的必需品。当某种动物的个体之间为食物、水或配偶而相互竞争时,据说输者要向赢者求饶,输者投降才能得到宽恕。据说人类是唯一战斗到底的动物,不但杀掉对手,而且屠杀”敌方”的妇女、儿童和老人。正当我在伦敦写下这段文字的时候,人们正在越南犯下这种人类所独有的暴行。在过去的5000年里,人们还以杰出的艺术作品庆祝这种暴行。例如在那尔迈的调色板上;在安纳吐姆的浅浮雕上;在纳里姆辛纪功碑和他的亚述模仿者的纪念碑上;在荷马史诗中和图拉真圆柱上。实际上,这些艺术作品在无意中也诅咒了这种暴行。

    所以,生命进步的最好形式是寄生,最坏形式是掠夺。动物王国寄生于植物王国;如果没有植物向动物提供维持生命所必需的空气和食物,动物(至少非水生动物)就无法存在。有些动物是靠捕食他种动物为生,当人类从他过去栖身的树上走下地面,并冒险在地上四处游荡,看看他的运气是捕杀别的动物还是被别的动物捕杀,他也就加入了这个食肉动物的行列。生命进步的牺牲品,就是那些遭到灭绝的物种,以及生存下来的物种中那些总是遭到杀害的个体。人类驯化了一些动物,在它们活着的时候掠夺它们的产品–奶或蜂蜜,或者残忍地杀死它们,将它们的肉当作食物,并将它们的筋骨皮毛当做制造工具和衣服的原料。

    人类之间也互相捕食。食人习俗和使用奴隶曾存在于高度成熟的社会。这两种残忍的习俗在前哥伦布时期的中美洲都曾存在,奴隶制度曾盛行于希腊-罗马社会,伊斯兰社会和近代西方社会。人们把奴隶当作驯养的动物,在上两个世纪的废奴运动中,人们含蓄地承认了这种把人当作牲畜的恶行。而且,在法律上解放奴隶并不能使他们真正获得自由,因为法律上的自由人也会受到奴隶般的剥削。一个公元4世纪的名义上是自由人的罗马隶农,或同时期的一个罗马什长,实际上并不比公元1世纪罗马的一个牧羊奴隶、管理庄园的奴隶、宫庭仆役,或是一个伊斯兰国家的马木路克有更多的自由。在阿拉伯语中,马木路克意为”降为一份财产”,但对一个马木路克来说,在法律上成为奴隶,是成为一个领主或成为一群在法律上是自由人的农民的主人的途径。美国黑人于1862年获得了法律上的解放,但他们在经过一个多世纪以后,现在仍有充足的理由感到,同是本国公民的白人多数仍然拒绝承认他们享有充分的人权。

    人类最难以消除的恶行是在宗教仪式上杀人祭祀。如果杀人的动机是个人的贪婪或仇恨,杀人行为会受到普遍谴责。将杀人作为惩罚杀人的办法也越来越不受赞同。在一些现代国家,家族仇杀和官方死刑都已被废除。如果以人为祭的神祗是一种维持人类生命的自然资源(如雨水、谷物或牲畜)的化身,杀人祭祀已受到禁止。那么,自从人类获得了对非人类的自然界的优势以后,人们最忠诚、最狂热、最死心塌地地加以崇拜的神祗,则是人类有组织的集体力量的化身,正是通过这种力量,人类取得了对自然界的胜利。

    在过去的5000年中,主权国家是人类至高无上的崇拜对象。但这个国家女神却需要并接受人类大屠杀的祭献。主权国家相互进行战争,它们在战争中要求本国最优秀的男性青年国民,冒着被别人杀死的危险,去杀死”敌国”的国民。自古以来,除了极少数人,例如兄弟会成员以外,所有的人类全都把在战争中杀人或被人杀死不但看作是合法的,而且看作是值得称赞的光荣行为。在战争中杀人,以及在死刑判决中杀人,都被看做”不是谋杀”而荒谬地受到宽恕。

    生物圈中生命的进步是否值得以这样的痛苦为代价呢?人是否比一棵树更有价值?一棵树是否比一个阿米巴虫更有价值?只有当我们把力量的词义引入上升的概念,生命的进步才导致一系列物种的进步。人类是迄今最强大的物种,但也只有人类是罪恶的。因为只有人类能够知道自己在做什么,并能作出审慎的选择,所以也只有人类才有作恶的能力。诗人威廉?布莱克想到传统说法中有生命的创造物是由一个与人类形状相同的造物之神创造的,因此他为创造出老虎而感到惊讶。但老虎与人和假想中的造物之神不同,它是无辜的。老虎在杀死并吃掉它的牺牲品来填饱胃口时,它不会感到良心上的痛苦。另一方面,如果上帝创造了老虎,让它捕食羔羊,创造了人来杀死老虎,创造了细菌和病毒,通过消灭全部人类来保持它们的物种,这就是一种毫无目的、毫无必要和极其邪恶的行为了。

    所以,初看起来,生命的进步是罪恶的。即使我们不认为这是上帝精心创造的,它在客观上也是罪恶的。如果这是上帝精心安排的,他一定比任何人类都更为邪恶。然而,对生命进步的后果作出这样的初步判断,证明了在生物圈中除去罪恶以外还有一种谴责和厌恶罪恶行为的良心。

    良心属于人类。人类良心对罪恶的反抗证明,人类也能够是善良的。我们从经验中知道,人类能够,有时也确实做到了为了别人而慷慨无私地牺牲自己。我们也知道,自我牺牲不是人类唯一的美德。自我牺牲的典型动机是母亲对孩子的爱,并非只有人类的母亲才因这一缘故牺牲自己。其他哺乳动物和鸟类也具有自我牺牲的母爱。

    而且,所有通过自身的繁殖维持生存的物种,都在本物种内得到一种两性个体之间的合作,这种合作不是直接对个体本身有益,而是为本物种进行的服务。总的来看,不同物种之间的相互作用也并不只是采取竞争和冲突的形式。一方面,植物王国和动物王国之间的关系,是一种被剥削的主人和掠夺性的寄生者之间的关系;另一方面,两个王国为了共同的利益,即保持生物圈对动植物同样适于栖身而象伙伴一样行动。这种相互合作的作用,保证了氧和二氧化碳以一种有节奏的运动进行分配和循环,从而使生命得以延续。

    所以,生物圈中生命的进步,显现出两种对立和相反的倾向。当人们对生物圈迄今为止的历史进行考察时,会发现它同时带来了是与非、善与恶。当然,这些只是人类才有的概念。只有有意识的生物才能区分是非,才能在行善与作恶之间进行选择。这些概念对人类以外的生物是不存在的,它们的善恶只能由人类来判断。

    这是否意味着,道德的标准只是由人类的命令任意强加的,这种命令是否与生命的事实毫不相干,因而只是一种空想?如果人类只是一个旁观者和监察者,处身局外对生物圈进行观察和评判,那就不得不得出这样的结论。不错,人既是旁观者,又是监察者。人类具有意识能力,从而也具有进行道德选择和作出道德判断的能力和要求,因此他必然扮演这样的角色。但人类也是生命之树的一个分枝。我们都是生命进步的产物,这就是说,人类的道德标准和道德判断是生物圈所固有的,因此也是全部客观实在所固有的,生物圈就是这种客观实在的一个组成部分。因此生命与意识、善与恶,与生物圈中那些同它们神秘相关的物质一样地实在。如果我们推测,物质是客观实在的基本成分,我们就没有理由假设,客观实在中的这些非物质现象不是同样基本的成分。

    然而,在生物圈中生命的进步过程中,意识是在人类出现以后较晚的时候才产生的。直到现代,人们才突然认识到,人类的出现对包括人类在内的所有生命在生物圈内的栖身带来了威胁。竞争和冲突是生命进步的一个方面,它已经导致了众多物种的灭绝,也使一切物种的无数个体遭受到过早的、暴力的和痛苦的死亡的打击。人类在杀死与之竞争的掠夺性的物种和消灭了多种植物之外,也使自己蒙受了牺牲。甚至鲨鱼、细菌和病毒也不再是人类的对手。但似乎直到现在,某些物种和物种内某些个体的消灭才给生命本身的生存造成了威胁。迄今为止,一些物种的灭绝给其他物种的繁衍提供了机会。

    在所有物种中,人类最成功地掌握了生物圈中其他有生命或无生命的要素。在人类意识的黎明斯,人类发现自己受到自然界的支配,他决心使自己成为自然界的主人,在达到这一目的方面不断取得进步。在过去的10000年内,在力所能及的范围内,他向自然选择发出挑战,用人类的选择代替了自然选择。为了自己的需要,他驯化了一些动植物,对它们进行培育,并对他所厌恶的某些物种加以消灭。他轻蔑地给这些不受欢迎的物种加上”杂草”和”害虫”的标签,然后宣称他要尽最大努力消灭它们。在成功地以人类选择代替自然选择的同时,人类也减少了幸存物种的数量。

    然而,在人类历程的第一个阶段,也就是迄今为止最长的阶段,人类对生物圈的影响,远不如其他一些物种那样显著。吉萨和特奥蒂瓦坎的金字塔、乔卢拉和堺的人造山脉,使后世的庙宇、教堂和”摩天大楼”相形见绌,但人类最伟大的纪念碑与微生物建造珊瑚岛的工作相比却简直是微不足道的。到大约5000年前文明的黎明时期,人举已经意识到他从生物圈中获取的杰出力量;在纪元以前,他已发现生物圈是覆盖在一个球状星体表面的有限的包裹层;公元15世纪以来,欧洲人就不断占据生物圈陆地表面那些人烟稀少的地区,并向这些地区进行移民。但直到我们这一代,人类在实际行动中还把生物圈中那些不可再生的资源,例如矿产资源,看作是取之不尽用之不竭的,把海洋和天空看作是不会受到污染的。

    事实上,直到最近,以人类的消耗能力或污染能力来衡量,公物圈的这些要素还似乎是无穷无尽的。在我童年的时候(我生于1889年),在我生长的伦敦,在曼彻斯特、圣路易斯和越来越多的城市,家庭和工业用煤所产生的烟雾已经遮天蔽日,并一连数日弥漫于人们的胸肺之中。但如果有人认为,有朝一日人类将会使环绕生物圈的整个大气层遭到污染,人们还是会对这种说法嗤之以鼻的,人们把对纯净的大气层造成的威胁,看作是偶然出现的局部现象。至于人类活动将会污染海洋的可能性,不过被看作是一种无稽之谈。

    事实上,直到20世纪后半期,人们一直没有充分估计到现代人类对生物圈影响力的增长。这种增长是由两个新的开端造成的。其一是精心追求系统的科学研究并将之应用于技术的进步;其二是为满足人类的需求而对生物圈无生命因素中现存的或潜在的能量加以利用,例如.将不断流向海洋的水从海平面汲取到大气层中所产生的水能。过去,人们不过把水力用在碾米之类的事情上。自从200年前英国爆发工业革命以来,这种由地心引力所产生的水力,已被用来驱动机器,生产各种各样的物质产品。水的力量还被进一步提高,转换为蒸气的力量和电力。发电可以利用自然瀑布或人工瀑布的自然力。但不经过燃料的燃烧加热,水不能转变为蒸气。燃烧加热不仅被用来把水力转换为蒸气或电力,还可以用来代替水力,甚至代替最强大的水力。还有,木柴是来源于树木、可以得到补充的燃料,它已被煤、石油甚至铀这类不可再生的燃料所代替。

    铀是近期才得到开发的燃料,它能够释放原子能。但为了探索对这种强大力量的操纵,人类自1945年以来就开始了一种探险。这种探险的结果,对神话中半神半人的法厄同来说是致命的,人类夺去了他神圣的太阳父亲的战车。为太阳神赫利俄斯驾驶战车的战马发现缰绳已落在一个弱小的凡人手中,它们就开始不服驾驭,冲出轨道。如果没有宙斯力挽狂澜,降雷击死那个取代太阳的傲慢的凡人,生物圈就将被烧为灰烬。法厄同的神话就是人类由于摆弄原子能而身处险境的比喻。人们还不清楚自己是否能够泰然使用这种强大的物质力量。它的力量是空前巨大的,但其放射性废料的有害性也同样巨大。人类已经介入了生物圈–即生命的大地母亲–接受太阳射线的过程。这是带来生命的射线,而不是致人死地的。人类科学技术的这一惊人业绩,与工业革命时期那些规模较小的成就带来的影响正在对生物圈构成威胁,使它变得不再适于栖身。

    因此,我们现在正处于生物圈的历史,以及生物圈的创造物与居民之一–人类的历史上的一个转折点。人类征服了生命的母亲,并从太阳父亲手中夺走了太阳的可怕力量,他是大地母亲的第一个这样的孩子。自从生物圈中出现生命以来,人类现在第一次使这种力量不加束缚、不加调和、不加遮蔽地散布于生物圈中。如今我们还不知道,人类是否愿意,是否能够使自己和其他生物伙伴免遭法厄同的命运。

    人类是生物圈中的第一个有能力摧毁生物圈的物种。摧毁生物圈,也就消灭了他自己。人类是身心合一的有机体,与其他生命形式一样,受到不可抗拒的自然法则的支配。人与其他生物伙伴一样,是生物圈的组成部分,如果生物圈被搞得不再适于栖身,人与其他一切物种都将遭到灭绝。

    生物圈之所以能够栖泊生命。是因为它的诸种要素互为补充,具有一种自我调节的联系。在人类出现之前,生物圈的任何成分–有机体、失去有机物构成的物质和无机体–都未曾获得力量,打破各种力量相互作用的微妙平衡。正是这种平衡使生物圈成了生命的收养所。在人类出现以前,那些不是太软弱,就是太富于侵略性,无法与生物圈的节奏相协调的物种,在它们的软弱性或侵略性远未足以打乱这种节奏的时候,就被这种节奏的作用消灭了。一切物种的生命都依赖于这种节奏。人类出现以前,生物圈的力量远远大于栖身其中的任何物种。

    人类是生物圈中比生物圈力量更大的第一个居民。人类获得了意识,这使他能够作出选择,制定计划,采取行动,阻止自然界象消灭其他威胁和损害着生物圈的物种那样消灭人类。人类能够成功地生存到他想摧毁并确实摧毁了生物圈的时候,但如果他选择了这种做法,他也将难逃惩罚。如果人类摧毁了生物圈,他也将和其他身心合一的生命一样,在生命的大地母亲面前使自己遭到灭顶之灾。

    因此,从这一点出发,我们可以对大地母亲与人类的相互遭遇进行一番历史的回顾。人类是大地母亲的最强有力和最不可思议的孩子。其不可思议之处就在于,在生物圈的所有居民中.只有人类同时又是另一个领域–非物质的、无形的精神领域的居民。在生物圈中,人类是一种身心合一的生物,活动于有限的物质世界。在人类活动的这一方面,人类获得意识以来的目的就一直是使自己成为环境的主人。在我们这个时代,他的这种努力已经成功在望,自身的毁灭可能也已遥遥在望了。但人类的另一个家园精神世界也是全部客观实在的一个组成部分,它与生物圈的区别,在于它是非物质的和无限的;在精神世界的生活中,人类发现他的使命不是谋求在物质上掌握环境,而是在精神上掌握自身。

    一些名篇早已阐述了这两种相互对立的目标以及引起这两种目标的两种不同的观念。让人类使自己成为生物圈的主人的权威命令,载于《圣经·创世记》的第1章第28节:要生养众多,遍满地面,治理这地;也要管理海里的鱼、空中的鸟,和地上各样行动的活物。

    这一命令清晰而明确,但对它的抵制也同样清晰而明确。”不要使我们受到诱惑,把我们从罪恶中解救出来。”这句话听起来就象是对《创世记》中的命令的直接回答。在《新约全书》之前《道德经》一书就已宣称,人类技术上和组织上的进步是一个陷阱。

    民多利器,国家滋昏;人多使巧,奇物滋起;法令滋彰,盗贼多有。持而盈之,不如其已。

    人们可以造出那些东西。尽管人们的发明可以成十倍,成百倍地减轻劳动,但人们不使用它们……虽有舟舆,无所乘之;虽有甲兵,无所陈之。

    《道德经》的这些段落,在圣马太的福音书中也有相应的表达:你想:野地里的百合花怎么长起来;它也不劳苦,也不纺线;然而我告诉你们:就是所罗门极荣华的时候,他所穿戴的还不如这花一朵呢!

    这些正是对那种要我们全力追求力量和财富的号召的抛弃。它为另一种号召拨开了云雾,这种号召要求人们接受一种相反的观念。

    若有人要跟从我,就当舍己,背起他的十字架,来跟从我。因为凡要救自己生命的,必丧掉生命;凡为我和福音丧掉生命的,必救了生命。人就是赚得全世界,赔上自己的灵魂,有什么益处呢?人还能拿什么换灵魂呢?

    人失去了灵魂,就不再成其为人。因为人类的本质,就是对自然现象背后的精神存在的认识,是灵魂而不是身心合一的有机体,使人类与这种精神存在发生联系的。或者,在神秘论者的经验中,人的灵魂就等同于精神的存在。

    正如托玛斯?布朗爵士所指出的那样,人是一种两栖动物,同时生活在生物圈和精神世界中。而且,在他赖以栖息的这两种环境中,人类都各有一个目标。但是,他无法一心一意地追求其中任何一个目标,或者说侍奉其中任何一个主人。如果他的这两个目标,或他对两个主人的忠诚之间,竟是互不相容,难以共存的,他就必须把其中一个置于首位,甚至对它献上全部忠心。二者之中,择谁而事?在大约公元前500年的佛陀时代,印度人已经明确地讨论了这个问题。在公元13世纪阿西西的圣方济各时代,西方人也明确地讨论过这个问题。在上述两例中,相互对立的选择都导致了一位父亲和一位儿子的分道扬镳。也许自人类意识的黎明时期以来,人们就一直在无言地讨论这个问题,因为意识向人们揭示了一个令人不快的事实,这就是人性在道德上的矛盾。这个问题曾深深打动过佛陀和圣方济各,致使他们割断了与自己家庭的自然纽带。只有到了我们这一代,这种选择才成为整个人类难以推卸的责任。

    在我们这一代,人类完成了对整个生物圈的控制。这可能会使生物圈遭到毁坏,将包括人类在内的一切生命加以消灭,从而挫败人类的各种意图。13世纪以来,西方人一直在公开地称颂方济各?贝尔纳多尼。这位圣徒放弃了有利可图的家庭商业继承权,并由于与贫穷女神联姻而受到了以基督的名义所给予的羞辱。但实际上西方人并没有效仿圣方济各的榜样。他们效仿的是这位圣徒的父亲,一位成功的布匹批发商彼得罗?贝尔纳多尼。工业革命爆发以来,近代人比他们的任何先辈都更加着魔地追求《创世纪》的第1章向他们提出的目标。

    看来人类将难以逃脱那恶魔般的物质力量和贪心的报应,除非他使自己弃邪归正,放弃现在的目标,接受相反的观念。他自己造成的困境,使他面对着一种断然的挑战。圣徒们提出并身体力行的那些戒律,一直被人们看作是克制人类感官本能的十全十美的乌托邦式的劝戒。人类能够接受这些戒律,并把它当作平民百姓必须遵守的行为准则吗?对这个问题的争论古已有之,它似乎将在我们这个时代达到顶峰,也正是这部讲述人类与大地母亲的相互遭遇的编年史的主题。

    第三章 人类的降生

    “降生”一词,至少在三种意义上与”人类”一词有关。在字面意义上,我们的祖先从他们栖身的树上降生到地面。从遗传学意义上看,他们从前人类的生命形式中降生。还可以认为(尽管这种看法是有争论的),当他们的意识觉醒后,他们在道德意义上降生于世间。

    “降生”一词的上述第三种意义的确难以令人信服。的确,有意识的生物可能是邪恶的,而无意识的生物则可能并不邪恶。当然,不具备作恶的能力,并不等于是善良的。有意识的生物能够作恶,也可以行善;无意识的生物既不能作恶,也无法行善。对无意识的生物来说,不可能存在道德上的善恶之分。道德是与意识同时出现在生物圈中的。二者共同构成一种存在形式,即精神形式。此前,生物圈中不具备这种形式,固此无法在道德方面对人类和他出现意识之前的祖先进行比较。在生物学水平上,这种互相比较是可行的。在这个层次上,人类与其祖先的传承关系可以得到承认和追溯。但在道德层面上,二者则没有共同的基础,因为道德只对有意识的生物才存在。

    人类在道德层次上最显著最不可思议的特征是人类道德所能达到的程度。与道德范围本身同样显著的另一个特征是人类在善恶两极之间的道德潜力。在生物圈内所有居民之中,只有人类具备这两种特征。既然人类已经获得了摧毁生物圈的能力,我们就难以保证他不去进行这种自杀性的犯罪活动;但我们也同样难以保证,他不会去拯救处于原始状态中的生物圈。在这种状态下,它得到人们的爱护,同时彼此间也无休止地发生冲突。可以想象,人类将通过他对生物圈的力量,使生物圈永被恩泽,充满爱护,脱离原始状态,而不是去摧毁生物圈。这将把生命从地狱带入圣殿。

    如果在遗传意义上使用降生一词,我们就面临着一个人类年龄的问题。显然有这样一种言之有据的观念,认为人类与其他一切物种,也与生命本身一样古老。因为尽管进化是通过变异进行的,进化造就的不同物种,却象一棵树上的树枝一样都是相互关联的,都起源于一个共同的根。如果我们想更加明确地确定人类起源的年代,那就应该找出人科从哺乳动物灵长目的其他科属中分化出来的年代。遗传道路上的这次分野,标志着一个不可逆转的出发点。对人类来说,它切断了它们变成长臂猿科(例如长臂猿)或猩猩科(例如猩猩、黑猩猩和大猩猩)的可能性。一旦人类的祖先越过了这个分叉点,选择了向人类进化之路,人类就只剩下两种可能性:它们或者进化成人,或者将不能生存下去。实际上人科唯一生存下来的就是人类,在人类中唯一生存下来的就是智人(唯一生存至今的人类自高自大地把自己称为智人)。如果我们确定,从某个时期起,人类祖先生存下去,已不再可能变成人类以外的其他什么,这个时期就是计算人类年龄的起点,那么就应该认为,人类作为一种特殊的生命形式,起源于中新世,甚至更早的渐新世末期。如果以这种方式计算,人类已经存在了大约2000万到2500万年。

    能不能根据人类在解剖学上的某些特征或某种独特的习惯和技能,更加准确地确定人类的年龄?能不能认为,我们的祖先变成人的时候,就是他从树上下到地面的时候,或者是当他们获得了仅用一对肢体行走奔跑的能力,从而解放了另一对肢体,用它们来操纵工具的时候?或者当他们的大脑得到发展,比其他人科动物的大脑大得多、具有更高度的组织、脑细胞之间也有更多的相互联络方式的时候?我们能否把人类起源的年代,确定为人类在诸多社会性或语言(即向所有社会成员清楚地传言表意的声音符号,这与表达情感的一系列偶然发出的音节不同)等技能方面取得了成就的时候?是普罗米修斯教会了我们的祖先如何保持火种,如何用火取暖煮食,如何把火点燃而不烧伤手指,不被这种有用但危险的破坏性力量所吓倒,从而使他们变成了人吗?

    答案无疑是:标志着人类在生物圈中最早出现的事件,既不是某种解剖学特征的发展,也不是某种技能的获得。这个历史性的事物,是人类意识的觉醒。这一事物的年代,只能根据我们的祖先留下的物质踪迹来推断(例如骨头和工具)。人们在经历一件事的同时不会意识到这一点,所以在这方面也许不会有任何记录。当人一觉醒来的时候,他意识得到自己已经醒了,但是他无法有意识地使自己体验到他醒来或入睡的过程。因此,我们能够做到的,只是根据人类在解剖学意义上的发展与某种社会和技术能力的进步,来猜测人类意识觉醒的年代。

    我们的祖先从栖身的树上下到比较危险的地面后生存了下来,据此我们可以推测,那时他们已经是一种社会性的动物,至少是通过这种习性的改变而成为了社会性动物。在地面上,单个的人很容易遭到食肉动物的捕食,当时我们的祖先如果不团结在一起,就不是它们的对手。人类一定是在发明语言之前就变成了社会性动物,而语言的发明也许比他们获得社会性要晚得多。因为还存在其他一些不具备口头语言的社会性动物(例发昆虫社会),能够通过有效的相互联络来维持其必要的社会合作。例如,蜜蜂在互通消息,发布信息时表演一种形体上的哑剧,用人类的话来说就是”跳舞”。从不再用手行走,从而使它们得到解放而具有其他用途,以及大脑的精细化,我们可以推测,手和脑的发展是同时进行的,在每一个发展阶段,它们都相互影响,这种影响有助于它们进一步的进化。我们还可以推测,这两种相互作用的器官的充分发展,为人类意识的觉醒,从解剖学方面创造了条件。很多未被驯化的动物仍然怕火。当人类克服了对火的恐惧时,他无疑已经是具有意识的了。当人类发现了如何保持火种,如何用火以及如何把火点燃的时候,他就再也不会害怕燃烧着的火了。

    我们是否能够以地质学年代或者更大胆地以公元前纪年来确定人类意识黎明时期的年代?意识的觉醒是个渐进的过程,以地质学的时间尺度来衡量,这个过程也许是很快的。但用人类历史记录(迄今不超过5000年)的时间尺度衡量,这个过程却是漫长的。如果我们的这种推测是有道理的话,确定这个意识觉醒的年代就越加困难。可以肯定,人类唯一生存至今的物种,即自命的智人,不是人科唯一拥有意识的一种。人们相信,尼安德特人并不把死者的遗体当作垃圾,他们有处置死者的礼仪。果真如此就说明尼安德特人与智人一样,有人类等严的概念,而这在其他生命中是不存在的。

    尼安德特人可能一直存在到大约7万年到4万年前,即从旧石器时代早期到旧石器时代晚期的过渡时期。甚至有证据表明,曾经存在过一个尼安德特人和”现代人”的混合社会。如果的确如此,那么这两种人在体质上可能非常接近,可以象智人那样相互通婚。如果这样,智人和智人尼安德特亚种可划为同一种属中的两个亚种。然而,生活在大约50万年前的北京人,却应被算作一个不同的种;如果北京人确已掌握了用火,他的意识一定已经有了充分的发展。无论如何也需要有一线意识,才能联想到不能仅仅使用未经加工的自然物作为工具,还应把石块打凿成更加有效的工具。将石头打凿成工具这一点要归功于南方古猿。人们推测,它们生活在大约二三百万年前。南方古猿属于人科,但不属于人属,也不能肯定它是人类的祖先。1972年秋,在一层火山灰下出土了一块头盖骨,它与智人头盖骨非常相似,其年代据估计是在260万年以前。

    甚至南方古猿和这块与智人相似的早期头盖骨在年代上也是较晚的,比我们的共同祖先与我们的表兄弟长臂猿和猩猩的祖先发生无可改变的分化的年代还要晚。另一方面,如果这些早已灭绝的南方古猿是在旧石器时代早期最早出现的,这个旧石器时代早期阶段就占了人科整个生存时期的59/60,占人属(包括北京人、尼安德特人,也包括智人)整个生存时期的14/15。无意中的记录早在南方古猿时代就已经以成形工具的形式出现了。如果画在法国和西班牙岩洞内的旧石器时代晚期绘图就是有意留下的记录,这种记录最多只有大约2万年到3万年的历史。

    就我们所知,直到公元前5000年代,才出现了作为文字手稿前身的象形文字的记录。而且那时也只在苏美尔有这类文字。那些业已湮灭的人类社会留下的物质遗迹(不包括已经释读并译解出来的书面文献),只能向我们提供一些留下这种物质踪迹的人们的残缺不全的生活情况。有文献可考之前的考古证据能够向我们提供技术方面的情况,但技术只是人类生活方式中非物质要素的条件,这些要素包括人的感情、思想、习惯、想法和观念,这些都是比技术更加重要的人性表现形式。人不是仅靠面包活着,这是人类更为高贵的特征之一。技术方面的物质碎片有助于了解人类生活某些非物质方面的情况,但这种帮助是十分有限的。想从物质情况推导出精神情况,就象在黑暗中进行射击。如果我们仅只拥有物质方面的证据,精神生活某些方面的庐山真面目就将完全笼罩在迷雾中。

    所以,我们对最近5000年的历史,即有文献可考的5000年历史,了解得较为详尽,而对意识的黎明期逐渐出现之后100万年或50万年的了解则远没有这样清楚。最近5000年历史的真谛,与我们对它了解的程度是否一致呢?我们必须警惕那种想当然的回答。离得最近、看得最清的东西必然显得最大,但并不一定符合实际情况。就我们所知,所谓”史前时代”,即留传下来并得到译解的文字记录出现以前的时代,与其后的有文献记载的时代相比,不但极为漫长,而且十分单调。与史前历史相比,一切有文献记载的历史的确都是当时所记载的历史,在文字上是这样,在主观意义上也是如此。正是在这个意义上,贝内迪托?克罗齐认为:一切历史都是当代史。在主观上,过去的历史必然是一个观察者所看到的历史,而这个观察者是在自己那个时间和地点回顾历史的。

    那么,我们能否就此认为,实际上只是当代史的最近5000年才算是唯一的一段历史?这是个自相矛盾的结论。”史前时代”是由人类历史上最重要的事件,即生物圈中意识黎明期的开始为开端的,这一事实无疑否定了上述结论。产生意识这一成就如此重大,取得这一成就所付出的努力也一定极其艰巨。因此,毫不奇怪,在意识的黎明期以后,又经过100万年或50万年蛰伏不振,人类才能够真正开始利用意识的觉醒所赋予他的精神和物质力量。如果我们站在今天回顾意识的黎明时期,如果我们把意识黎明期以来整个人类的历史看作是一个时代,也许就会在旧石器时代早期相对的蛰伏中找到这一时代的正常节奏。这样,从旧石器时代晚期的”工业革命”的爆发到原子能的利用这7万年或4万年的发展速度,猛烈程度和多样性的增长,看上去就不那么象是一个朝着高潮演进的伟大结局。

    既然化身于人性中的邪恶的贪欲已经用充足的技术力量将自己武装起来,这一高潮也许就是人类邪恶而愚蠢地将生物圈加以摧毁,从而将生命全部消灭。或者,这一高潮只是从人类历史的第一个时代向第二个时代,或者是向一系列时代的过渡。因为,如果人类容许生物圈在预期的未来20亿年前一直是生命的栖身之所的话,那么,与之相比,南方古猿将第一块石头打凿成形以来的200万年历史,只不过是弹指一挥间。我们不能预见未来,但可以预言,我们正在接近一个道德上的分叉点,它与2000万或2500万年前人类和类人猿道路上的生物学分叉一样具有决定性的意义。这两种选择将再次成为两个极端。本书所要讲述的,就是能够使我们解开这个未解之谜的故事。

    第四章 文明中心

    “文明中心”是一个希腊语词汇。自从古代希腊世界从它最初横跨爱琴海的领地首先向西,继而向东进行扩张以后,这个词汇便开始在古代希腊流行起来。古代希腊向西的扩张达到欧洲和西北非的大西洋沿岸,以及欧洲最大近海岛屿不列颠岛。随后,其向东的扩张达到了中亚和印度。亚历山大大帝征服并推翻波斯第一帝国,为希腊人向东方扩张开辟了道路。正是在古希腊历史上的后亚历山大时代,”文明中心”一词开始流行。它的字面意义是”有人居住的世界”。但发明并使用这一字眼的希腊人所指的有人居住的世界,实际上仅限于这个世界中为所谓”文明”社会所占据的那些地方。直到现在,这些社会中的成员还把自己称作”文明”社会,而我们人类所犯下的种种暴行给我们带来的恐怖和耻辱已经告诉我们,文明从来就不曾完全兑现过。它仅只是一种努力或一种抱负,而这种雄心勃勃的志向,始终就没有达到。

    这个词汇的本来意思十分有限,它不仅忽略了居住在文明社会边缘的野蛮民族,而且从这个意义上讲,后亚历山大时代的希腊文明中心,也仅只包括那些希腊人所熟悉的文明社会。至迟在公元前5世纪历史学家希罗多德的时代,希腊人就已经隐约地知道有一种”北方”文明,一条横穿欧亚平原的小道把它和黑海北岸的希腊殖民地诸城邦连接起来,而欧亚平原正是希腊的这些海外殖民地的大陆腹地。我们可以猜到,不管它的名称是指什么,所谓”北方”文明,并不在”北风吹来的方向”,而是位于欧亚大平原东部,实际上就是中国,后亚历山大时代的希腊人和罗马人把他们称做”赛利斯”或”希娜”。

    在希腊–罗马世界大部统一于罗马帝国的时候,丝绸通过陆海两路输往这里。但住在旧大陆东西两端的这两个所谓”文明”民族,对于对方的存在仍然所知甚少。汉语中与希腊语”文明中心”相对应的说法是”博天之下”,但对中国人来说,位于大陆西端,与中华帝国不相上下的大秦帝国,就象希腊人和罗马人所说的赛利斯或希娜或极北之国同样地模糊不清。欧亚大陆的东西两端只是在很久以后才相互建立了直接的联系–先是由于13世纪整个欧亚大陆平原全部结合在庞大而短暂的蒙古帝国之中,双方建立了暂时联系;随后是由于西欧民族从15世纪末以来征服了海洋,这使双方永久地建立了联系。至于中美洲和南美安第斯地带的文明,直到哥伦布在大西洋的美洲沿岸首次登陆后,才为旧大陆两端的居民所知晓。但中美洲和秘鲁的文明也许早在基督教纪元初年就已盛开了”古典”之花,而这些程度较高的美洲文化,至少在中美洲地区,也许早在除苏美尔–阿卡德和古埃及以外的旧大陆任何一种文明刚刚开始的时候,就早已进入了早期的”形成”时期。

    就”文明中心”一词的”人类居住地”这一字面意义而言,文明中心的实际范围要比希腊人和罗马人所知道的”文明”世界大得多。但也可以看到,文明中心虽然广阔,却比生物圈小得多。生物圈表面大部分覆盖着海洋,大气层也占去生物圈的大部分体积。人们相信,海洋是生命的起源之地,那里现在仍然生活着各种动植物;自从人类祖先变成陆地动物以来,人类就不再象他们的哺乳动物伙伴鲸和海豚那样生活在海里,甚至也没有象他们的另外两种哺乳动物伙伴海豹和水獭那样成为两栖动物。他们发现了怎样以舟楫之利横渡江河湖海,怎样潜入海中而并不潜得很深很久。然而,人类无论在水上还是在水下都只是一个旅行者而不是居住者,也就是说,他们不是水栖类动物。在公元20世纪,人类还发明了飞机,但在空中飞行方面,昆虫、鸟类和蝙蝠早就抢在了人类前面。然而,不管是蝙蝠、鸟类、昆虫还是人类,都不能象鱼类和海洋哺乳动物生活在水里那样生活在空中。任何生物在空中都只是一个旅行者。有翼动物飞来飞去捕食谋生,但它们在地面或水面上不能没有一个活动基地。即使燕子也得栖停在哪怕是电线上,并构筑泥巢来哺育幼雏。

    文明中心各个地区的居民,在从一个地区前往另一个地区旅行之际,可以横渡生物圈内的各处水域,现在甚至还可以穿越大气层。但是,人类的文明中心至今仍然全都位于生物圈的陆地表面上。人类文明中心的扩展还远不如陆地表面那样辽阔,而且它在陆地上的范围还在不断波动变化。目前发生在非洲萨赫勒地区,即撒哈拉沙漠南部边缘与热带雨林北部边缘之间的热带草原地带的致命的旱灾,正在引起这种波动。这种波动一方面是自然地理和气候变迁所引起的,目前人类对此还无能为力;另一方面,它也是人类的活动引起的,这种活动既有蓄意的,也有无意的。决定着文明中心发展的非人类的力量,直到最近的1万-1.2万年内还在支配着人类的行动。

    在地球的历史进程中,地球结构中的自然地理和气候的变化历来非常巨大。在生物圈出现之前地球存在的最初的漫长阶段中,这种变化也许是最为剧烈的。埋藏在地壳各层中的动植物化石碎片表明,现在的温带地区或靠近极地的地区,过去曾是热带气候。在人类出现之前的地质时代中,这些地层曾经是地球的表层。引起这种地区性的气候变化可能有各种各样的原因。一种可能是地轴曾改变过方向,现在的南北两极过去可能在赤道上或靠近赤道。倘若如此的话,则很难想象,地球是怎样保持其旋转规律及其椭圆形轨道的,这种改变引起的地球运动姿态的变化为何未将地球抛出它的轨道。另一种可能是各个大陆曾在地球表面上发生漂移,就象木筏漂在泥潭上,而不象石块固定在岩石上那样。大陆漂移理论和两极转移理论都引起了争论。人们也许永远无法证实这些理论,但大陆漂移理论在某种形式上似乎正在得到人们的信服。它与两极转移理论不同,并不认为整个地球都改变了方向,只是假设地壳的构造发生了变化。因此,这种理论受到人们的赞誉。

    尽管如此,热带化石神秘地存在于现在的非热带地区,这个问题发生在人类产生之前数百万年的地质时代。人类出现时,生物圈中的气候现象正值一系列冰河作用与消融交替进行的时期。这个时期距今约200万年,属更新世。大约1.2万或1万年前,最近的一次冰河作用(尚不能轻率地认定它是最后一次,今后永远不会再次出现)结束,开始了现在的消融时期。

    在冰河时期,冰冠覆盖的地区只是生物圈内陆地表面的一小部分。冰河地带大都位于两极地区。在赤道附近一些高山上也有一些孤立的小块冰河地带。但是,局部的冰河作用却曾一度夺去文明中心的片片沃土(例如斯科讷、丹麦的岛屿、米德洛锡安和凯斯内斯)。自从有人耕种以来,这些土地一直产量很高。此外,一些地区的冰河作用改变了海洋和陆地的比例,扩大了陆地的范围。大量的海水暂时聚积起来,并冻结为冰冠,使全球各地海平面都明显地下降了。浅海海床由于海水退去而变高变干,狭窄的海域更加狭窄,一些海峡甚至变成连接两岸的地峡。就海洋的平均深度,以及地球表面海洋与陆地的比例来说,这种局部冰河作用的全球效果是微不足道的,但就人类文明中心的扩展机会而言,它的作用则非常巨大。在那个时期,人类行走的唯一工具是他的双腿,造船和航海的艺术还处在婴儿期。

    海平面的暂时下降,为人类移居带来了便利条件。即使如此,早期人类扩展文明中心的能力在现在看来也足以令人惊叹。这是因为过去的一个半世纪中,我们相继发明了各种机械化运输工具,机械化的船只和火车,以及机械化的汽车和飞机。但只要想到非人类灵长目动物也曾建树过相应的功绩,向亚洲及其一些半岛和岛屿以及美洲进行移民活动,我们就会觉得人类的扩张其实不足为奇。另一方面,人科除人类外,人类除智人外,谁也没有从东非赤道地区和东非南部通过海路到达过美洲。可能正是在非洲的这些地区,人类第一次与他的表兄弟大类人猿发生了分化。前哥伦布时期所有的美洲人都是一种智人的后代,这种智人是在最近一次冰河时期经由陆路从欧亚大陆来到美洲的。那时在亚洲的东北角一度曾有一个地峡与美洲相连接,这个地峡随后就被白令海峡淹没了。只有后哥伦布时期的美洲人及其北欧先驱是从欧亚大陆西北角超过大西洋来到这里的。

    如果智人与现已灭绝的其他类人动物一样最早是在东非赤道地区出现的,他们从那里徒步跋涉到火地岛的地理距离无疑是漫长的。但是,这一旅程的时间跨度也同样漫长。而且,人类与其他动物一样是运动性的,他们不象生物圈内多数植物那样根植于地上;即使植物的分布也与动物同样广泛,尽管多数植物靠昆虫或风为媒介传播。无论如何,石器时代人类扩张的范围是惊人的。至少在大约公元前6000年之际,人类就已经到达火地岛和澳大利亚。尽管那时的海平面处于最低状态,从亚洲到澳大利亚的陆路仍然会被婆罗洲到西里伯斯之间一段30英里宽的海域阻断。石器时代人类最惊人的力作是向波利尼西亚包括复活节岛移民。在过去500年中,西欧人及其海外殖民者探索了生物圈的整个表面。他们甚至到达了南北两极。但他们发现,除两极外,在欧洲人到来以前,几乎没有什么地方是无人居住的。

    在灵长目中,只有人类褪去了身上的皮毛。在人体表面,只有少数地方覆盖着毛发。在没有树木屏障的热带,人类的躯体裸露在烈日之下,在温带或靠近极地的地区,他们的身体暴露在风霜之中,他们需要以手工制作的毛皮衣服裹身。以猎捕海豹为生的爱斯基摩人和以游牧为生的阿拉伯人身上都穿着厚厚的衣服。爱斯基摩人穿着兽皮,贝都因人则穿着羊毛外套。对火的掌握,使人类能够把文明中心扩展到很远的地方。今天,人们利用现代技术,把开发区(即使不是居住区)一直扩展到苏联和加拿大最北部地区。

    格陵兰以及更大的南极大陆内地是冰冠覆盖的地区。这些地方至今仍然处在文明中心的边界之外。一些热带雨林地区,白雪覆盖的山地和极其干燥的沙漠地带也是如此。但人类生存的气候范围似乎比其他灵长类更为广泛。横穿深深切入埃塞俄比亚柔软的火山土壤中的大峡谷,你可以从温带高原地表逐渐下到一个猿猴群居的高度;但在到达谷底之前,你早把猿猴聚集的地带留在身后,又会下到一个热得使猴类难以存身的深度。但在埃塞俄比亚,从温带高原到热带河床,没有任何高度是人类不能居住的。最近的一次冰河在距今大约1.2万或1万年前消退。从那时以来,文明中心的范围和结构没有发生过重大变化。生物圈中适于居住的陆地表面包括一个单独的亚洲大陆和该大陆所属的一些半岛和近海岛屿。其最大的几个半岛是欧罗巴半岛、阿拉伯半岛、印度半岛和印度支那半岛。如果印度支那半岛从马来亚连续延伸到澳大利亚和新西兰,它就将是上述四个半岛中最大的一个。实际上,它的中部地段塌陷下去,局部地带沉在水下,因此,现在的澳大利亚与亚洲大陆彼此分离,被一系列海峡和岛屿组成的迷宫–印度尼西亚群岛的狭窄海域分割开来。亚洲大陆的三个最大的近海岛屿是非洲和南北美洲,最远的岛屿是南极洲。非洲通过苏伊土地峡与亚洲相连,南美洲通过巴拿马地峡与北美洲相连。人造运河开通后,这两个地峡已经变成了两个人工开凿的海峡。最重要的天然海峡是马六甲海峡,它是联接印度洋和太平洋的海上通道。

    如果要从文明中心的一个地区向另一个地区运送乘客或货物,其最佳交通孔道处于文明中心的边界之外。因为最适于传导的物质成分是空气和水域。人类可以穿越这些物质成分,但无法栖息其中。在19世纪发明蒸气驱动的火车之前,利用可以通航的河流和海面进行水上运输,要比陆路运输快捷便宜得多。在铁路出现以前,人类用陆路旅行和运输的唯一动力是人畜的体力。另一方面,早在文明时代开始以前,人在水面挥舞船桨竹篙时,就已在利用风力鼓动风帆而使他的体力得到补充。风力是人类所利用的第一种无生命的自然力,却也第一个被人类抛弃。当其他无生命的自然力被用来运转机器时,风力就成了多余的东西。

    在水上运输时代,主要交通路线是由生物圈的水面结构决定的。最理想的海上通道是海峡(例如,除马六甲海峡外,还有连接黑海和爱琴海的狭窄水道、直布罗陀海峡、多佛尔海峡以及连接波罗的海和北海的狭窄水道)。最有效的内陆水路是水流平缓、可以通航的河流。第一瀑布以下的尼罗河就是一个典型的例子。在尼罗河的这一河段,帆船既可以顺流而下,也可以扬帆上行,因为埃及以刮北风为主。此外,在埃及得到开发后,所有的居民点、耕地甚至采石场都未曾远离可以通航的水路。发明火车之前,埃及的交通手段优于其他任何同等大小的国家。

    在水上运输时代,能够从一处海域或一条通航河流到另一地之间进行水陆联运的地方,是陆地上文明中心的要冲。埃及就是这样一个地方。尼罗河流入地中海;在尼罗河与红海沿岸之间,有一条从尼罗河三角洲最东端经由瓦迪图米拉特到苏伊士的短程陆地运输通道,在上埃及从科普图斯经由瓦迪哈马马特到奥德库赛尔,即莱夫科斯利门,还有另一个陆地运输通道。实际上,红海和地中海之间跨越苏伊士地峡的水陆联运通道,只是一条更为广阔的水陆通道的一部分。这一通道西抵埃及,东达伊拉克,中间被大西洋回流的地中海,与印度洋回流的红海和波斯湾之间楔进的一块极为狭窄的陆地隔开。从地中海经尼罗河通往红海的通道之外,还有一条经幼发拉底河通往波斯湾的通道。

    这种独一无二的交通条件使埃及和西南亚成为旧大陆文明中心的”地缘政治”中心。这一地区成为新石器文化以及两种最古老的文明的诞生地也决非偶然。另外两条水陆联运通道也具有极为重要的历史意义,那就是流入波罗的海的诸河流与流入里海和黑海的诸河流之间的水陆通道,以及长江、淮河、黄河和北河之间横跨华北平原的水陆通道,大运河的开凿使之成为一条水上通道。但是,由于中国和俄国这两条水陆联运通道处在旧世界大陆中心的边缘,就其历史意义而言,要比地中海和印度洋之间的中央通道略逊一筹。

    在埃及和西南亚这一关键通道内,交通集中在两个”环行岛”上。一处是北叙利亚,位于幼发拉底河西部边缘与地中海东北角之间;一处在现在的阿富汗,横跨兴都库什山的一段山脉,联接乌浒河和药杀水上游盆地与印度河上游盆地的各个山口,这条通道使这一山脉得以通行。北叙利亚通过陆海两路与埃及相连,通过海路与地中海及其回流水域沿岸所有地方相连,通过直布罗陀海峡与大西洋相连;在陆上通过西里西亚山口、横越达达尼尔海峡和博斯普鲁斯海峡与欧洲相连;陆路沿幼发拉底河两条河源最北部的谷地上行,与威海海口乌浒河-药杀水及印度相联;顺幼发拉底河下行通向波斯湾、印度洋,并通过马六甲海峡与太平洋相连。阿富汗经里海与美索不达米亚和北叙利亚相连;沿药杀水下行,越过欧亚太平原与伏尔加河流域相连;通过新疆与中国相连;穿越苏莱曼山脉与印度相连。

    在火车和飞机相继发明以前,会聚在这两个”环行岛”,并由此通向四面八方的交通,在一切可以利用河流与海面的地方,尽可能地利用了舟楫之便。在机械化时代开始之前,行人或货物一旦需要陆路旅行,人类就不得不受到地形的支配。山脉尚可以征服,可以穿越;热带森林却尤其成为障碍;大平原则得天独厚地便利于通行。的确,在人类驯化了驴、马特别是骆驼等牲畜后,彼此相连的三大平原–欧亚平原、阿拉伯平原和北非平原就几乎象海洋一样可以畅通无阻了。有了骑乘牲畜、负重牲畜和拖曳牲畜的帮助,人类就几乎可以象穿洋过海一样迅速地穿越大平原。但是,穿越海洋和大平原同样都需要组织和纪律。一支商队就象一艘船一样需要一个船长,人们必须服从他的命令。

    在进入机器时代以前,即使将海洋、通航河流和大平原都用来作为联系文明中心各个地区的交通渠道,人类交往的手段也仍是匮乏的。但即便在这种匮乏的条件下,一些帝国仍然成功地建立起来,并得以巩固。而遣使劝化一切人类的各大宗教赢得并保持信徒的数量,其影响的范围则比一切世俗帝国所统治的地区更为广泛。第一波斯帝国、中华帝国、罗马帝国、阿拉伯哈里发国,以及进行传教活动的三大宗教–佛教、基督教和伊斯兰教,成为人类意志克服自然障碍的丰碑。但是,这些成就的局限性也揭示出直到19世纪人类发明机械化交通工具之前人类社会交通范围的有限规模。

    人类语言的繁杂,是机器时代开始之前人类交往手段匮乏的有力证明。在文明中心内不同的地方流行着不同的语言,彼此之间没有明显的联系。语言是人类普遍具有的才能。从未听说过没有语言的人类社会。这两个事实暗示,在智人从东非赤道地区(如果这是智人最早的诞生地的话)分散到生物圈陆地表面各个地区之前,人类作为一个整体,一定已经开始朝着能够掌握语言的方向前进,但这种潜在能力尚未获得充分发展。这种假设可以解释,为什么所有的人类社会都有自己的语言,但与使用这些语言的人类不同,这些语言彼此之间却没有明显的相近之处。当然,我们通过骨头和工具以外的其他遗存了解的人类,都属于唯一生存至今的种属。我们不知道,也尚未发现过,人类或人科中的其他种属是否也曾经有过语言能力,这种能力是否仅为智人所独有。

    不同的社会共同体所使用的语言具有不同的范围。

    在外部入侵者开发西非热带森林之前,当地同时流行着许多不同的语言,彼此之间没有明显的关系。每种语言的使用范围极其狭小。被几英里森林分隔开的两个村庄的居民,无法通过口头语言相互交流。他们在彼此交往时使用的是哑语。现在西非广泛流行的口头语言都来自外部,例如来自北非平原的豪萨语和来自海岸地区的法语和英语。

    与森林的重重屏障不同,海洋把马来语向东北方向带到菲律宾,向西南方向传送到马达加斯加。海洋还把波利尼西亚语传遍太平洋上的所有岛屿,直到远离大陆的复活节岛和新西兰。地中海曾把布匿语、希腊语和拉丁语传遍沿岸各地,大西洋则把西班牙语、葡萄牙语、英语和法语从西欧传到美洲。大平原也能象海洋那样把语言传到遥远的地方。首先是印欧语系,其次是突厥语系,都穿过欧亚大平原,传播到远及大陆东西两陲的沿海地区。阿拉伯语则穿过阿拉伯半岛,越过北非大平原一直传到大西洋沿岸。

    人类的传教活动、军事征服、政治组织和商业贸易等行为,加强了语言通过自然手段进行的传播。政治上弱小的阿拉米诸部落被亚述人所征服,但阿拉米语言却传遍了西南亚各地,阿拉米字母甚至远传到蒙古和满洲。这是由于亚述帝国和第一波斯帝国将这种语言作为行政语言,基督教聂斯脱利教派和摩尼教也将它作为宗教祭祀语言。另一方面,希腊语曾经成功地取代阿拉米语,成为西南亚和埃及的通用语言,这是亚历山大大帝军事征服第一波斯帝国的结果。军事征服还曾使拉丁语系诸语言向东传到罗马尼亚,向西南一直传到智利。而拉丁语小小的原始领地,不过是意大利台伯河的下游地区。

    在文明中心的历史上,发挥主导作用的政权在各个时期不尽相同。如果非洲赤道地区和非洲东南部的确是人类和智人的摇篮,那么在最初的时候,东非的边界也就是文明中心的边界。在旧石器时代晚期结束以前,文明中心已从东非扩展到欧亚大陆的大部分地区,人类已经开始向美洲移民。在这一阶段,北欧冰冠的南部边缘地带开始发挥主导作用。在这次冰河消退开始前,旧石器时代晚期的狩猎者在这里发现了充足的猎物。人们一般认为,这一时期欧洲占有明显的优势。但这可能是由于我们资料不足而产生的错觉。如果世界其他地区都象欧洲那样广泛地发现了旧石器时代晚期人类的踪迹,景象可能就不同了。

    可以确定,在新石器时代起主导作用的是西南亚和尼罗河谷的北部边缘。在新石器时代,底格里斯河和幼发拉底河下游地区的冲积平原还没有人类居住,但这一地区却成为苏美尔这一最古老的人类文明的诞生地。到公元13世纪时,这一冲积扇已不再是一个丰饶多产的地区。这时,由于欧亚大平原的通行无阻,由于欧亚大陆游牧民族的机动、勇猛和纪律性,蒙古人在不长的两代人的时期内发挥了主导作用。这些游牧民族暂时统一在蒙古人的号令之下,征服了欧亚大陆的整个腹地,只有一些半岛和近海岛屿不在他们的管辖范围之内。其后,在公元15世纪,西欧人开始在文明中心内发挥主导作用。他们的水手统治了海洋,而海洋拥有比欧亚大平原更为广阔的交通环境。在20世纪,当西欧人由于发动了两次自相残杀的战争而丧失了世界霸权后,主导作用转移到了美国。在本书写作的年代,人们已经看到,美国在文明中心的优势,似乎也将是昙花一现。就象蒙古人曾经取得的优势那样。未来是难以预测的,。但在文明中心历史的下一个章节中,主导作用可能会从美洲转移到东亚。

    第五章 技术革命

    (约公元前7万年/4万年-前3000年)

    每一种生物、每一物种中的每一个体,在自己短暂的一生中进行的生存努力,都在影响并改变着生物圈。但是,人类产生之前的任何物种都不曾具有支配或摧毁生物圈的能力。另一方面,大约200万年以前,当一个人科动物将一块石头打凿成一件更顺手的工具时,这个历史性的举动便表明:总有那么一天,灵长类哺乳动物某一人科种属中的某一种群,将不仅仅是影响和改变生物圈,还要把它置于自己的支配之下。到我们所处的时代,唯有智人取得了控制生物圈的能力。

    在距今7万或4万年之前的200万年中,工具的制造并没有使人类对生物圈的潜在控制转变为现实。当然,旧石器时代早期人类也取得了一些技术上的进步。但在这一时代,这些进步是缓慢而微弱的,技术革新取得的成果在文明中心得到均匀地传播(旧石器时代早期的文明中心还不包括美洲)。旧石器时代早期技术革新的传播是缓慢的,因为新型的工具是靠从一个社会共同体步行到另一个社会共同体的人传送的。而且,在这种采集食物的经济阶段,人类的各个社会共同体不能相互比邻过近,因为每一个群体都需要有足够广阔的空间,以便四出奔走,谋取生计。

    而且,我们可以猜测,旧石器时代早期包括智人这种最成功的种属在内的灵长目动物,在思想上是保守的,羞于采用新生事物,甚至当他们手中已掌握了新型工具的时候也是如此。但新型的工具之所以能在文明世界内得到均匀的传播,原因就在于,传送速度虽然缓慢,工具的革新也是罕为发生的。这种革新出现的间隔时间很长,足以使每一种新的工具在下一种出现之前就传遍整个文明世界。

    旧石器时代晚期的技术革命大约开始于7万到4万年前。它是技术史上划时代的革命。从那时起直到今天,各种工具的改进不断加快。尽管在局部地区也会在短时间内出现停顿甚至倒退,但在这段时间内,速度不断加快是技术史上的主流。

    在大约公元前3000年到公元1500年这段时期,传播的速度和革新的速度相互颠倒了一下。一种工具还没有传遍整个文明中心,新的工具又发明出来。结果,世界范围内的整齐划一便成为旧石器时代时期的特征。在后来的时代中,这种整齐划一则变成了异彩纷呈。新的发明还没有从它的发源地传到文明世界最遥远的地方,就在某一地区被另一个新发明所取代。直到15世纪之前,传播的速度赶超不上发明的速度。到15世纪,西欧民族发明了一种新型帆船,可以在海上连续航行几个月,直抵任何地方的海岸,并能环航整个地球,文明世界的交通水平突然地提高了。

    在最近500年中,工具发明和传播的速度比前200万年大大加快。但近代与旧石器时代早期有一个共同的特征:发明的速度赶不上传播的步伐。在技术方面,结果都出现了世界范围内的高度一致性。

    在旧石器时代晚期,智人从亚洲东北部抵达北美洲西北部,并从那里一直分布到南美洲南端。旧石器时代晚期定居在美洲的居民与亚洲失去了联系。也许居住在太平洋沿岸今天的俄勒冈、华盛顿、英属哥伦比亚地区的人除外。在从亚洲东北部向美洲进行殖民与从欧亚大陆的欧洲半岛向该地进行第二次殖民之间相隔大约2万年。在这段时间内,美洲社会和文化的发展是独立的,它的各个发展阶段与同时代亚洲及欧洲历史的发展不尽一致。此外,自从旧石器时代早期结束以来,对于旧大陆历史各阶段的传统的称谓和断代,在某种程度上是很不恰当的。

    例如,旧石器时代晚期并不仅以把石器打凿成薄片这种技术的进步而著称。这一时期至少还出现了三种开创性的发明:狗的驯化、弓箭、绘制和仿造人类和动物的形体。狗原是人类的对手,旧石器时代晚期的猎手们将它驯养为人类的忠实奴仆,这一功绩使人类第一次取得了让动物服务于人类的成功。旧石器时代晚期的人类,利用一种无生命的自然力,即木料的弹性发明了弓箭,通过拉开弓弦增强肌肉的力量,使射出去的东西比徒手投掷得更远。至于绘画和仿造人兽图形,这是人们所知道的最早的视觉艺术作品。法国和西班牙岩洞壁画的作者们利用了洞壁表面的凹凸不平,他们画的一些动物图形呈现出浅浮雕的形式。在铁门地区多瑙河右岸的莱潘斯基-维尔,另外一些旧石器时代晚期的艺术家更进一步地雕出了纯粹三维的雕像。岩洞绘画可能具有宗教的,至少是神秘的目的。莱潘斯基-维尔的礼拜中心肯定是一处圣殿。莱潘斯基-维尔遗址是采集食物者和狩猎者活动范围的自然边界。可以推测,尽管人类在发明农业以前为了谋生不得不时时迁移,但一些旧石器时代晚期的社会共同体已经有了某些固定的地点。他们每隔一段时间就来到这里,可能是在这里举行公共典礼。也许这些常设的礼拜中心就是常设居民点的前身。

    “旧石器”就是这样一种描述所谓”旧石器时代晚期”人类活动和成就的不恰当的称呼。更不必说,那个始于最近一次冰河消融开始以后,即大约1.2万或1万年前的时代,被不恰当地称为”新石器”时代。的确,新石器时代最早的技术发明,是发明了磨制工具并使之成型的方法。这不仅使工具的形状更符合要求,也使制造工具的人们扩大了原料范围。但是,新石器时代划时代的成就不是磨制工具的艺术,而是使许多动植物得到驯化。而且,新石器时代还发明了纺织和制陶,它们为人类生活带来的变化几乎与农业和畜牧业的发明同样伟大。

    农业和畜牧业无疑是人类迄今最重要的发明。它们一直是人类生活的经济基础,尽管某些时候和某些地方它们被商业和制造业夺去了光彩,但它们一直是人类生活的经济基础。回顾起来,可以把农业和畜牧业看作是使人类技术力量的发展与保护生物圈的福利相谐调的巧妙手段,这种福利是人类和所有物种获得生存的条件。就人类使某些动植物得到驯化来讲,他用人类的选择取代了自然的选择,他为自己的具体目的进行选择,使生物圈日渐枯竭,而使人类日渐富足。人类的谷物、果园、牛群和羊群,取代了许多对人类无用或有害的物种,人类将它们称作”杂草”和”害虫”,一旦有了剪除它们的能力,就将它们加以灭绝。同时,人类要保证他们所驯养的动植物能够生存。他学会了每年将他们的收获物留出一部分,作为下一年的种子,留下每年的羊羔牛犊,补充自己的畜群。而且,他们通过择优繁殖,改变了某些被驯化的物种,这比它们的自然改变来得更快,也更彻底。

    制陶的发明,使文化的差异有了一种看得见的记录。陶器形制和装饰的变化几乎象时装一样快。而且陶器碎片是无法毁灭的,不象旧衣裳那样容易腐烂,后者只有在干燥的沙土或不透气的泥炭沼泽中才能保存下来。因此,在发明制陶到发明文字之间的整个时期,人类住地遗址中逐层分布的陶器碎片是一种最可靠的记时器。对于不同文化的地理分布,它也是一种最可靠的勘测器,还可以指示出不同文化通过工艺的传播、移民和征服而进行的混合与熔化。在旧大陆,在美洲,不同风格的陶器,是理解前文明时期地区文化发展和变异的线索。文明出现以后,在那些尚未发明文字,或不再使用已发明的某种文字、而这种文字尚未得到释读的地方,也同样如此。

    在旧大陆文明中心的多数地区,地区性的新石器文化取代了旧石器晚期文化。(人们已经注意到,在美洲大陆,来自东北亚的移民创造的旧石器晚期文化沿着自己的路线获得了发展。)在旧大陆,西南亚地区的新石器文化通过”铜石井用”阶段的过渡逐渐发展为红铜时代文化。”铜石井用”意味着在这个阶段同时把铜和石块当作制造工具的原料。实际上,在相继使用红铜、青铜和铁制造武器以及装饰品后很久,人们还一直用石头制作某些最常见的工具。因此,以制作工具的不同材料命名的各种时代,在年代上其实是互相重叠的。实际上,不同地区在不同年代内,当铁取代石头,成为制作农具和非陶制家用器具的时候,新石器时代并没有真正结束。

    在把野生动植物驯化成为生活必需品的同时,人类发明了冶金术。这是人类技术实践的杰作。冶金术是一连串发现的最后产物,其中的联系并不那么明显。每一个环节都是一次富于智慧的创造性努力的结果。新石器时代的人类首先注意到,文明中心陆地表面上有大量较纯的金属。他们起初认为这些金属就是石头,结果发现它们具有普通石头所没有的韧性。随后发现,如果把它们加热,它们会暂时变得柔软,加热到一定程度,就会发生液化。因此,人们找到了一种原料,它象粘土一样,比石头更易成形。接下去就发现,不但能够找到较纯的金属,还可以在矿石中找到金属的成份,给含有色金属的矿石加热到一定程度,使其金属成份发生液化,潜藏的金属就会从矿渣中分离出来。最后一步就是发现,最丰富的矿石埋在地下。人类就这样发明了采矿技术。

    在旧大陆文明中心,冶金术至今已有将近6000年的历史。在秘鲁大约已有2800年的历史。它对人类生活的物质条件和社会条件,以及人类与他们唯一的栖身之地生物圈之间的相互作用产生了革命性的影响。冶金术提高了人类物质生活的标准,但冶金技术的社会价值在于它带来了劳动的分工,在环境方面的代价则是逐渐消耗了一种稀少的不可再生的原料。

    锻工和矿工是最早的专业技术人员。他们每一个人都必须把全部劳动时间用于自己的行业,而不再象旧石器时代的猎手或新石器时代的牧人那样从事一切行当。结果在技术上出现了劳动分工。由此产生的社会后果是不同劳动产品的相互交换,而这又带来了一种道德问题–这种问题至今仍未得到解决,也许永远不会得到解决。那么,根据何种原则将社会总产品分配给各个生产者阶层呢?总产品是所有的社会成员劳动协作的产物,而他们各自的贡献却有不同的作用和价值。能够将这些明显的不同体现在产品分配中,使每一方都认为公平吗?能否尝试创造一种公平的分配?谁强大,谁就占有最大份额,这是否正确呢?如果不正确,它是否不可避免?

    冶金的发明为阶级分化和阶级冲突埋下了种子。”史密斯”这个曾经独具特色的姓氏就表明,在一个”铜石并用”时代的村庄里,人们把锻工看做是与其他村民不同的人,多数村民还没有参与专业分工。的确,旧石器时代可能已经有了技术分工的萌芽。那时的人类懂得,不同的燧石作为制造工具的材料,具有不同的价值。他甚至懂得开采最有用的燧石。但在发明冶金术之前,不可能有人专门从事某种行业,完全以交换为生,而无需直接参加为自己生产食物的村社基本劳动。

    冶金技术的发明所带来的第二个重大变化,是对不可再生的稀有原料的使用。农民可以保证他的粮食和牲畜得到补充,因为这些都是动植物。如果不使大自然遭到破坏,生命自然会得到再生产。为保证驯化动植物的延续,人类需要做的就是深谋远虑和自我约束。农民必须把他的收获物留出足够的部分,以便明年播种;必须留出足够的幼畜,以维持其畜群的数量。他必须有所节制,不去过份剥夺大地母亲。他还必须抵制诱惑,不去过量耕种,过量放牧,以免耗尽大地母亲的力量。

    如果农民能够如此深谋远虑、自我约束,大自然对农民来说将永远是富饶的。事实上,只要生物圈还适于人类生存,农业和畜牧业一旦发明就将永远发展下去。相比之下,冶金的历史,则是一部不断勘探新的矿产资源,以取代那些已被发现、并且已被用尽的资源的历史。金属是无生命的,人类所用去的部分,不能通过金属自身的再生产得到补充。煤炭等有机物的衍生矿物也是如此。在我们的时代,人们对不可再生资源的榨取已达到如此的程度,在不久的将来,我们能够得到的所有资源都将被用得一干二净。

    在农业和畜牧业中,人类的技术力量与大自然的生产能力是平衡的。冶金术发明后,人类的技术能力开始对大自然提出更多的要求,在生物圈仍然作为生命栖身之地的整个时期内,大自然会无力满足这些要求。如果从未来20亿年人类生命的前程出发考虑过去1万年的人类历史,人们也许会觉得,如果人类没有发明冶金术,如果人类在达到新石器时代的技术水准后没有取得更高的技术成就,那对我们的子孙后代可能会更好些。如果人类在学会使用金属以前,制造工具的技术没有继续向前发展,那么,现在人口的数量和物质财富无疑要比现在的实际数量少得多。另一方面,人类的生存将更加安全,因为那样我们就不会面临把不可再生资源使用殆尽的危险。的确,坚硬的石头与金属一样是不可再生的,因为它是无生命物质,不能自我恢复。另一方面,它又比任何最常见的金属都丰富,似乎真是取之不尽,用之不竭。如果我们的后代避免灭绝的唯一道路是重新回到使用金属以前的水平,那么,如果我们新石器时代的祖先停留在这个水平,他们的困难和痛苦将会比我们的后代少得多。

    在文明中心内,农业、畜牧业和冶金术最先发明于何处?这个问题的关键是”最先”二字,因为人们从来不能肯定某一项发明是在某时某地单独出现的。当然,一项发明在某时某地出现后,到处都可以采用。还有间接传播的形式,即所谓”刺激扩散”。看到或听到外地的发明,会激发人们以自己的形式创造一种同样的东西,而不是直接采用外地的发明。但同样一种发明也可以在不同的时间和不同的地点分别出现。之所以如此,是因为发明是人性的产物,而人性的某些具体的精神、心理和生理的特点是一致的,所有的人都具有这些特点,只是每个人显示这种共同特点的方式不同而已。每一项发明的历史,都可能具有上述三种可能性之一。在很多情况下,人们无法确认,在某时某地出现的某种发明是一项独立的创造,是对某种刺激的反应,还是仅仅采用了已经存在的东西。

    在这种条件下,我们的猜测可以带有几分自信:旧大陆文明中心的农业、畜牧业、冶金术以及开采和搬运巨石的技术,都是在旧大陆文明中心的水陆运输中心地区–西南亚首次发明的。我们甚至能够准确地划定这一地区的范围。它不包括除半岛南角以外的阿拉伯半岛。在农业和畜牧业发明的时候,阿拉伯的大部分地区,包括其北部边缘即今天的叙利亚沙漠过于干旱贫瘠,无法提供驯化动植物所需要的环境。阿拉伯半岛只有南部的也门一角,由于风雨的浸润而十分肥沃。这一角落由于其他地区的干燥气候而与世隔绝,直到发明了航海船只、接着又驯化了阿拉伯骆驼以后,情况才有所改变。西南亚农牧业和冶金术的故乡也不包括底格里斯河和幼发拉底河下游冲积谷地。在人类居住于此,耕作于此,将积水排干,使农田得到灌溉以前,这个地方不是人类和人类驯化的动植物的栖身之处。这是一个芦苇丛生、河流交错的迷宫。幼发拉底河下游地区现在已经再次变成了沼泽。另一方面,最初发明农牧业和冶金术的地区除美索不达米亚、叙利亚和巴勒斯坦外,至少还包括小亚细亚南部、伊朗西部和土库曼地区。该地区在新石器时代驯化了一些谷类作物和牲畜。可能这里以前就有野生状态下的这类动植物。可能是来自西南亚的移民,也可能是当地的土著将这些得到驯化的动植物传到别处。这些土著居民采用了西南亚的发明,并由此促成了由旧石器时代到新石器时代,并最终到铜石并用时代、红铜时代和青铜时代生活方式的文化转变。

    在本书写作的时候,新石器时代的地层只是在西南亚和埃及的几处遗址得到发掘。正是在这些地区最早出现了新石器时代的生活。随着勘查的继续,对新石器生活的了解还会发生变化。一次次的勘查和发现已经使我们对它的了解不断发生着变化。但是,某些问题已经弄清楚了。这些已经探明的居民点是在大约公元前1万年(对杰里科前陶器时代居民点的估计年代)到公元前第五千纪之间出现的。除杰里科外,其他居民点出现小的年代是在公元前第七千纪或第六千纪早期。我们还了解到,从采集狩猎到农牧业的转变发生在有泉水流灌的绿洲,或是从山上流到山下的小溪冲积而成的肥沃的泛滥平原上。所有这种可以成为农田的地方都依靠自然灌溉。但这些遗址的高度和气候却有很大不同。杰里科地处低于海平面高度的谷地,具有热带气候;而位于小亚细亚高原的加泰土丘和位于伊朗高原的特佩塞尔科则每年都有一段白雪覆盖的时期。

    在泛滥平原和泉水流灌的绿洲上,耕作带来的土壤消耗得到大自然的补充。大自然堆积淤泥,恢复地力。这种自然过程使杰里科和大马士革所在的姑塔绿洲一直都很肥沃。然而,大自然的这种恩惠并不常有。发明农业的西南亚地区大部分处于少雨地带。西南亚的一些早期农业村社只能依靠仅有的雨水供水。雨水不能带来淤泥,因而仅靠雨水浇灌,农业收成很快就下降了。如果失望的农民知道,在不远的地方,还有未被开垦的土地可以安身,他们最简单的办法就是把地力耗尽的土地当作一座采空的矿山。甚至在近代,从西欧移居北美的农民也是不断西进,旧大陆的俄国农民则不断向东开拓,其实他们的祖先早已掌握了不靠自然力量恢复地力的技术。这种技术只能是逐渐被发现的。在林地通过人工施肥开发定居农业的第一个步骤,是焚烧为种植谷物而砍倒的树木。具有肥力的草木灰使农民从清除出来的空地上获得一季或两季的收成。如果这些树木有足够的时间再次覆盖这块空地,这个过程就会一再重复。通过这种”刀耕火种”技术,一块土地可能每隔10年就重新耕种一次,如果耕作者有10块土地轮流耕种,他就能在有限的周期内全部耕作一次。最终解决从农业中谋取生计而无需时时迁居这个问题的办法是向休耕土地施以牲畜粪便,而不用等待重新长出的树木提供新的草水灰。但是,在发现这种方法以前,农民们不得不时时移向文明中心中尚未开发的地区,就象探矿人一直到今天还不得不做的那样。

    同时,农牧业通过移民或重新耕作,从其最早的故乡西南亚逐渐分布到旧大陆的大部分地区。这时,人们已经掌握了纺织和制陶技术,随后又发明了冶金技术和开采拖运巨石的技术。我们会在旧大陆发现各种各样的地区文明,它们于不同的时代,在共同的新石器基础上兴起,又在不同的时代,从西南亚发源地向远处延伸。这是前文明时期文化的最后形式,但它们的这种扩张既不彻底,也不一致。

    例如,澳大利亚有一块前新石器时代靠采集食物为生的智人的保留地。他们成功地越过了大陆和澳洲动植物各种门类之间地理分界线。这些最早在澳洲定居的人和他们的狗是最早到达澳洲的非有袋目哺乳动物。他们的业绩是任何新石器时代的人类所无法比拟的。直到公元18世纪近代西欧人”发现”澳洲之前,他们一直牢牢地占据着这块与世隔绝的领地。新石器时代的航海者成功地占据了波利尼西亚群岛,但直到他们遭到近代西欧民族世界扩张的侵袭以前6个世纪,他们才占领了面积最大的新西兰。

    在从西南亚发源地向外传播的过程中,新石器时代的生活方式已表现出种种差异。新石器时代的陶器在形制和装饰上具有地区性的差异,而旧石器时代的工具则在世界范围内都是一致的。前面已经指出,陶器碎片是直观的人类生活方式的标志。新石器时代不同地区的陶器风格可能大都是当地人的创造,但人们要问的是,为什么黎凡特的灵感竟会在矗立于欧洲大陆地中海西部海岸和大西洋沿岸及近海岛屿的巨石纪念碑上体现出来。从西班牙和葡萄牙南部到丹麦,从马尔他到英国的圆形石林都有这样的纪念碑。

    与古代埃及的金字塔一样,欧洲的巨石纪念碑似乎比后来人们在这里建造的一切建筑都要古老。它们的建造年代大约是在公元前2500年到公元前1500年间,当时西欧正在走出新石器时代,经过铜石并用时代进入红铜和青铜时代。尽管这些建筑者是没有文化的,但这些建筑本身及有关的视觉艺术作品却无声地表明,这些石碑是为进行祖先崇拜和对一位母亲女神的崇拜而建的,在黎凡特也有这样一位母亲女神。西欧巨石与黎凡特的关系至今仍是未解之谜。在西欧,巨石宗教与技术是从西班牙和葡萄牙南部顺着地中海和大西洋沿岸延伸的。这就是说,它们处在欧洲最西部,距埃及和爱琴海最远的地方。在黎凡特,有些建筑比那些与它们很相象的西欧建筑的年代要晚些,而不是更早。西班牙南部地中海沿岸洛斯米来尔斯的蜂巢形古墓比迈锡尼的同类古墓早2000年;尽管圆形石林比埃及第四王朝诸法老的金字塔晚将近1000年,规模较小的洛斯米来尔斯砖石古墓却可能比萨卡拉的埃及第三王朝法老左塞的金字塔早好几个世纪。

    前文明时期文化最后阶段的差异甚至还表现在驯化动植物的原始技艺方面。葡萄、橄榄、无花果、李子、樱桃、桃、苹果、梨以及牛、山羊和绵羊,可能都产于西南亚,并在新石器时代得到驯化。但稻米、块根植物、柠檬和香蕉,以及驼牛、象和骆驼这些阿拉伯和中亚动植物,是在西南亚以外的地区得到驯化的。就我们所知,这些驯化之功可能都是完全独立地完成的,甚至不是通过西南亚的刺激扩散激起的。椰枣树可能是在闷热的苏美尔和埃及得到开发后被驯化的。文字记载的最早驯化阿拉伯骆驼的年代是公元前2000年代后半期。如果先知琐罗亚斯德名字的含义的确是指”拥有金骆驼”,我们所知道的驯化中亚骆驼的最早年代不早于公元前600年。

    至于美洲,来自亚洲的移民带来的唯一驯化动物是狗,他们在美洲驯化的仅有的几种动物是美洲驼、羊驼、豚鼠和蜜蜂。另一方面,产于美洲的植物得到驯化的数量与旧大陆驯化植物的数量相差无几。在近代西欧人到达美洲以前,美洲与旧大陆几乎没有一种相同的驯化植物。

    这似乎意味着美洲独立地发明了农业。如果我们得出这一结论,我们还能推测,秘鲁发明青铜(即红铜与锡的合金)也没有汲取任何从旧大陆得到的灵感。人们至今还在激烈地争论哥伦布到达之前的美洲文明是不是独立创造的。学者们可能很少否认美洲文明的某些成份起源于旧大陆,但多数意见似乎认为,旧大陆的成份只占很少的部分。从实质上讲,前哥伦布时代的美洲文明是由旧石器时代晚期移民的后裔在当地独立创造的。

    旧大陆最古老的文明的黎明期,大约是在公元前3000年。在这个时期,前哥伦布时代美洲文化可能已经迈出了驯化玉米的第一步。玉米后来成为他们的主要粮食作物,美洲文化也发展为一种与旧大陆不相上下的文明。在中美洲,在墨西哥高地普韦布洛附近考克斯卡特兰洞穴的一片大约公元前4000年的淤泥中发现过一些玉米棒,它们可能是野生玉米,但也可能是经过初步驯育的,这是走向驯化的第一步。在新墨西哥的蝙蝠洞一片大约公元前250O年的淤泥中发现的玉米棒,驯化的痕迹就更加明显了。这样,中美洲农业的黎明朝显然与旧大陆文明的黎明期同时,而比西南亚的旧大陆农业黎明期晚至少4000年。

    旧大陆的文化和前哥伦布时代的美洲文化沿着各自的路线向前发展。在旧大陆范围内,文明的黎明开创了一个地区差异不断增长的时代。在西欧人对海洋的征服将潮流推回到全球一致的状态,也推到旧石器时代早期不可能形成的全球统一的状态之前,大约已经过去了4500年。在本书写作的时候,在这段时间取得优势的决定力量正在进行一场坚强的后卫战,现在还难以预测,这场走向全球统一的运动是否能够取得胜利。但是,已经可以看到,现在人类生存的无情条件,就是整个文明的统一。它不仅是技术水准的统一,也是人类各种生活水平的统一。

    第六章 底格里斯-幼发拉底两河流域冲积盆地的开发与苏美尔文明的创立

    在前面一章,我们已经注意到,耕作农业的发明带来了一个问题,即如何寻找到一个一旦土地耕作者冲破零星分布在西南亚小块绿洲的限制,使得以定居下来的办法。这些绿洲上的居民是在自然灌溉的条件下完成了从采集食物向生产食物的转变。

    在旧大陆文明中心更为广袤、浩瀚的地区,农民本来只能靠自然降雨灌溉庄稼,如今这里发生了分阶段的、渐进的变化。可耕地的地力一旦耗尽,永远被抛弃的流浪式农业便开始由轮作式农业所取代。在轮作式农业中,当一块土地经过”刀耕火种”的方法暂时获得肥力得到耕种之后,到再度被种上庄稼之前,必须经过一段休耕期,待地里重新长出了足够的野生树木,以便使这块被一度弃置的土地再度获得肥力之后,重新进行耕作。

    在雨量充沛的地区,只是在经历了许多代人、也许是许多世纪之后,人们才学会了一种新的生活方式。他们定居于一块土地上,这块土地足够一个农民家庭耕作,并使其足以为生。这样,人们就可以把房屋连同土地一起留给后代。以后,这种被固着于一块可耕地上的状态,就成为各种社会中的地役权的标志,在这些社会中,人们原本是可以对多种经济机会进行选择的。不过,从根本上说,人们经过长期努力才达到了一定的技术水平,因此,定居下来的农民被固着在土地上,也可算作对这一努力的社会性报答,这种报答,毕竟也是人们孜孜以求的。

    一些–或许是大多数–来自西南亚绿洲的移民早在学会不依赖于自然灌溉,安享定居生活之前,就已远远地离开了文明中心雨量充足的地区、散居各地。尽管如此十分靠近西南亚绿洲农业摇篮的地区,有一片十分广阔的土地。在这里,人们一旦利用人工排灌系统征服、开发这一地区,拓荒者们将会从这里得到比他们的祖祖辈辈从其所居住的绿洲中得到更多的收获。这块充满希望的土地位于底格里斯-幼发拉底两河流域下游的丛林沼泽地带,肥沃的冲积层土地与肥力充足的水源在这里奇妙地混为一体,具有巨大的农业潜力。

    征服这片丛林沼泽地,不仅仅是个技术性的成就,更为重要的,它是个社会性成就。当然,人类的一切技术成就都是社会成就。人是社会性的动物,如果我们的类人猿祖先不是社会性的动物,那么他们就不可能存活下来并进化成人,而人类社会的局限性显然一直是其无限的技术能力的桎梏。哪怕是制造并运用最简单的工具,社会性也是必不可少的先决条件。住在西南亚小块绿洲上的农耕者们大概已经找到了办法,人为地改善了大自然赐予的灌溉条件。为了开发两河流域送给人们的厚礼–冲积层土壤,人们必须在更大范围内运用已经学会的人工灌溉技术,因而需要远远多于以往任何合作性事业的人的合作。与以往相比,这种合作的范围不可同日而语。而且,不仅仅是规模的不同,合作的性质也不同。因此,这是一场社会革命,而不仅仅是一场技术革命。

    肯定有那么一些领袖人物参与了人类征服两河流域冲积盆地的策划活动。这些领袖人物想象力丰富,远见卓识,并且能够自觉地工作,尽管这种最终收益极大的工作并不能给人们带来立竿见影的好处。如果领袖们不能劝导大批同胞去追求他们的目标,他们的宏伟规划只能是南柯一梦,因为对大多数人来讲,奋斗的口标是不可思议的。群众必须信任他们的领袖,这种信任的基础必须是对神祗的信奉,因为对领袖人物及其追随者来说,神祗的力量和智慧才是现实存在的。一种必不可少的新工具–书面语言使应运而生。在进行组织工作的过程中,领袖们需要这种新工具。因为需要开发的水源与土地面积之广大,参与人员之众多,仅凭记忆中的口头协议和指令,而不把它们记录下来,是很难进行卓有成效的工作的。发明苏美尔文字是创造性天才的杰作。不过,这个迄今为止人们已知最早的文字系统既复杂又粗陋,十分古奥而难于识读。它为全社会的需要服务,同时又保证了识文断字的领袖们对目不识丁的群众保持其支配地位。

    在开发底格里斯-幼发拉底两河下游冲积盆地的过程中,苏美尔人最先创造出了人类社会的一个新类型:地区文明。之所以把这一功绩归于苏美尔人,是因为处于文字演化这一阶段的苏美尔文书表达的语言已为我们所识读。但是,我们无法确认,是否苏美尔人就是最早的文字发明者,也无法确认是否他们就是最早把丛林沼泽变成良田的拓荒者。征服丛林沼泽地带的苏美尔人不可能是土著人,因为这片荒原在被开发之前,根本不适于人类居住。一些最早的苏美尔人定居点乌尔、乌鲁克、埃利都,都位于这片泽国的西南边缘,与阿拉伯毗邻。不过,苏美尔人似乎不太可能来自阿拉伯,他们的语言与闪米特语毫无共同之处,而从阿拉伯接连不断涌入毗邻的亚非地区的大量移民虽都讲闪米特语。

    苏美尔文明是有史以来最早的地区文明,它也是唯一的这样一种文明,即直接起源于一个或几个前文明社会,而不是任何一个已经存在的并与之类型相同的社会的翻版,甚至没有受到过哪怕任何一点启迪。(中美洲文明也许同样直接源于其前文明祖先,不过,中美洲文明的源起至今仍存在着争议。)现代考古学的发现证明了苏美尔文明至少有两个显著特征:一是它的文字,

    我们可以看到,人们从象形文字(即人、物、事件、行为的视觉形象)中创造了书写文字。更富于创造性的是发明了表意符号(这种约定俗成的符号并不一定面面俱到,甚至并不完整。但是,对苏美尔社会识字阶层的所有成员来讲,它们却具有完全相同的含义)。在最后一个阶段发明了音素(即表达口语中使用的语音的协同符号)。苏美尔人从未转而完全采用音素,他们的文字是模棱两可的、随意性很强的音素与表意文字的混合体。表意文字有个不可避免的缺点,即数量庞大。但是,与音素相比,它们的优点在于可以永远地把一种意思与一种符号连在一起,而随着时间的推移,在口语语音的演变过程中,一个语音和一种符号之间却会丧失它们最初的协同关系。不过,音素与表意文字相比所具有的优点是,它们的数量有限。人类所能发出的音素数量是有限的。事实上,人类的每一种语言都只能从其潜在的语音库存中选择出一部分音素。

    在我们已知的有图画和文字记录的最初阶段,苏美尔文明表现出了与同类型社会中其他成员所共有的特征,它只是其中最古老的标本。

    在开发冲积盆地使之适于农耕的同时,在旧大陆的文明中心,苏美尔人的社会第一个生产出了剩余产品,即产品的产量超过了每年生存所需的最低需求量。但是,这个剩余产品并未在所有社会劳动者之间平均分配,尽管他们以不同方式、在不同程度上为社会生产活动作出过贡献。如果平均分配剩余产品,每人所得的份额是微不足道的,因为与生存所需的总量相比,这个剩余量微乎其微。尽管如此,剩余产品的生产毕竟是个革命性的起点。实际上,剩余产品被留下,为享有特权的少数人所占有,他们的时间、精力均未用于粮食生产,而这却是大多数人终生从事的劳动。将剩余产品分配给少数人是阶级分化的经济基础。尽管这是统治阶级享受特权的一个必要条件,但是,如果群众不相信统治阶级是为了全社会服务而赢得这一特权时,这种特权使会为群众所痛恨,而不会得到他们的宽容。统治阶级提供的服务是货真价实的。如果社会想在人为创造的、造福于大家的环境中生存,这种服务的确必不可少。冲积盆地的开发和征服已创造了这一良好的生存环境。总而言之,少数统治者在经济上占有了冲积盆地的农业剩余产品,他们不仅为公众提供服务,也在享受奢侈的私生活之中打发由此获得的闲暇时光。

    统治者为公众服务的头等任务就是管理以一个城市为核心的整个社区。与它相比,不论从规模上,还是从其体系的复杂程度上,都令新石器时代的祖先们相形见绌。与新石器时代的土地耕作者相反,苏美尔农民并不负责组织耕种工作。全社区生存的必要条件是维护好灌溉系统。因此,保证堤坝、水渠完好无损的公共摇徭与耕作农田一样,已成为农民的一部分义务。农民的所有行动必须在公共权威的指导下进行,因为在特殊季节分配特定量的灌溉用水是个生死悠关的问题,必须由拥有至高无上权力的权威来裁决。

    我们已经注意到,统治者在人间的权力受到超自然力量的赞许。对于在冲积盆地上劳作、生活的人们来说,管理灌溉系统是统治者头等重要的公共功能。除此之外,统治者还是社区与神祗之间的中间人。虽然一个城邦人口众多,而且分化成不同阶级,但是,对神祗的力量与智慧的共同信仰是推动苏美尔城邦国家全体民众协调行动的精神力量。统治者还把部分财富和闲暇用于个人享受,例如由仆人侍奉,赏玩工艺品等等。随着金属工具的出现,金属工艺品也不断地问世,而农民耕地用的石制工具大多数却仍是自造的。

    靠多数人生产出的农业剩余产品供养的、在人口中占少数的人们集中于城市之中,是苏美尔文明的另一个新特点。或许这些城市一开始只是举行仪式的祭祀中心。全社区的人定期在这里集中,举行宗教仪式或进行与大家密切相关的公益性工程的组织工作。一开始,这类祭祀中心或许只有少数长期住户,随着少数非农业人口数量的增加。特别是在这些人中间产生了祭司与世俗管理人员的分工(最初二者之间并没有分工)之后,这些人加上他们的文书抄写员、仆人、工匠都居住在祭坛四周的房舍里,祭祀中心就逐渐发展成为城市。

    阶级分化是第一个社会性的恶果。也是人们为苏美尔文明的诞生付出的代价。城市乡村在地理位置上的隔离更加速了阶级分化的过程。苏美尔文明第二个与之俱来的恶果就是战争。产生这两个恶果的先决条件是剩余产品的生产。在一个社区中,每一个身强力壮的劳动者能用于工作的时间都要用于生产粮食,他们没有余暇来做哪怕是兼职的行政人员、祭司、工匠或士兵。

    苏美尔人建立的这个新社会类型最基本的特征究竟是什么?剩余产品、阶级分化、文字、不朽的建筑、城市定居点、战争,这些都是新的显著特征,不过,最关键的是神祗的性质与作用的转变。

    人们只能从视觉艺术中推断出已成为过去的史前社会的宗教:旧石器时代后期的洞穴壁画,例如在莱潘斯基–维尔洞穴中的立体人像,即一些新石器时比象征多产母亲的小雕像。我们只能通过它们来猜测与之相关的礼仪和神话。苏美尔人留下的文件则提供了有关苏美尔系数及其他方面生活的大量情况,因为用苏美尔语言文字写成的最早的文书已为人们识读。在这些文件中,我们看到了一个苏美尔众神的神殿。我们从中发现,这些神祗已经进入了其历史发展的第二阶段。

    在苏美尔文明刚刚诞生之际,它的神祗仍然部分地代表着自然的力量。起初,这也许是神祗唯一的功用。然而,现在在这些神祗中,已经有一部分在扮演双重角色。他们之中的每一位都要代表某个特定的苏美尔城邦的人类的集体力量。苏美尔神祗的这种双重作用反映出人与自然之间的关系发生了一场革命。最初,当苏美尔的神祗在人们心目中产生之时,人类仍要对大自然俯首贴耳;当人类用集体力量征服。开发了冲积盆地,并在这里定居下来之后,人类与自然之间的力量天平倒向了人类一边。作为社会性动物的人已经证明他能够将自己的意志加于自然王国的一隅,而在过去,人们似乎根本不可能征服这种地方。在继续崇拜过去被看作是全能的非人力量的同时,人们对自己的集体力量也开始顶礼膜拜,并以此表明他们承认了自己的这个振奋人心的胜利。征服冲积盆地的苏美尔人,把其祖先的神祗变成了人类主权国家的神圣保护者或神圣服务者,并记录下了这种命运的变迁。作为自然力量的代表,苏美尔的神祗仍然是整个苏美尔社会文化遗产的一个组成部分。作为各个城邦的代表,他们则分别体现了利益相互冲突的各个苏美尔社区的意志。这些神祗在政治上四分五裂,而不再是混然一体的了。在现存最早的苏美尔文书中已记载了这种神祗的新功用,这对苏美尔文明的前途来讲,是个不祥之兆。如果人们不但利用强大的集体力量去征服、开发非人类的自然,而且将其用于组织严密、装备精良的各地人类精壮力量之间自相残杀的战争,那么人类战胜自然的成果便会毁于一旦。

    第七章  尼罗河流域冲积盆地的开发与法老埃及文明的创立

    在上一章中我们谈到,在对底格里斯-幼发拉底两河流域冲积盆地的丛林沼泽进行排灌的过程中,苏美尔人有一系列新的发明,并由此创造了一种新的社会类型–地区文明。以同一标准判断,我们可以认为,法老时代的埃及人在开发尼罗河下游河谷及三角洲的丛林沼泽的过程中,创立了第二个最古老的地区文明。

    埃及人同样也生产出了多于其基本生存需求量的剩余农产品。如同在苏美尔一样,在埃及,伴随这一经济成就而来的是阶级分化、文字的出现、不朽的建筑、城市定居点、战争以及在宗教领域出现的关键性变化。不过,与苏美尔人不同的是,法老时代的埃及人并不是孤立无援地进入这个新时代的。虽然他们的文明也是建立在其新石器和青铜器时代的祖先为之奠定的基础之上,但是他们也受到了一个与他们正在建立的社会同属一种类型,而且已经先于其存在的社会楷模的启发。当今的埃及学者一致认为,在法老埃及文明的诞生过程中,可以清晰地看到苏美尔的影响。比如,在刻有楔型文字的圆柱型陶器上加盖封印;砖砌的凹进式建筑;一股由苏美尔人造的船只;大量的工艺花纹,以及以表意字为主、合素为辅(而不是取而代之)的文字构成。所有这些事物上都有其影响。

    这种文字的形式相当特殊。尽管有证据表明,在埃及文字的形成时期,苏美尔文明对埃及其他许多领域都产生了影响,但它并非是同一种文字结构独自在埃及的翻版。此外,考古学证明,埃及文字是突然出现的,而不是象苏美尔文字那样,是从祖先的象形文字中逐渐演化而成的。埃及文字的苏美尔式结构,加上它出现的突然性,恰恰提供了强有力的证据,表明苏美尔的影响只是促进法老埃及文明诞生的因素之一。

    我们不知道苏美尔的影响是通过什么途径进入尼罗河下游河谷地区的。在上埃及已经找到了一些证据;但是,我们关于法老埃及文明史的大部分考古学遗存却也是在上埃及,而不是在三角洲地区发现的。因为上埃及的气候更适于保存人类的作品,三角洲地区的气候、地理条件则对此不利,虽然整个三角洲地区降雨量稀少(其极西北地区除外),但在这一纬度上,空气仍不如上埃及干燥。此外,在三角洲地区,法者时代的遗迹都被掩埋在深不可测的冲积层之下;在冲积层之上,也就是在法老时代绝大多数的城镇遗址的上面,又建起了许多现代的城镇。出于这些原因,三角洲一直未给我们提供法老埃及时代的历史证据。不过,这里倒为我们提供了埃及史前时代的证据。俯瞰着冲积盆地的上埃及高原上有新石器时代的遗址,与它遥遥相望,位于三角洲西部高原上的迈里姆德,也有新石器时代的遗址,从这里望去,三角洲上部地区尽收眼底。

    有证据表明,在上埃及,过去居住在尼罗河河谷两侧高地上的居民曾顺流而下,进入冲积盆地,并且开始着手开发它。但是,在同一阶段,考古学关于三角洲方面的记录却开始出现空白。由于对这一时期的三角洲缺少相应的资料(无论其确凿与否),使我们的推测工作很难设想出法者埃及地区文明诞生的前提。现存的上埃及考古记录与渐进发展的苏美尔文明相比,给人们留卞了埃及文明的诞生似乎是个突发性事件的印象。这一印象是否仅仅是个虚幻?一旦我们在三角洲地区发现作为法老埃及文明繁荣之前奏的考古证据,是否就能打消这种虚幻?或者如果在这一地区的考古发掘能证明三角洲与上埃及不同,当它从政治上与上埃及合并时,仍是大片尚未开垦的丛林沼泽地,我们现在的印象是否会因此得到肯定?

    如果上述两种可能性之中的第二种符合事实,那么,在苏美尔文明的影响传入埃及时,在苏埃陆路交通中,三角洲也许是个障碍,并且是个不可逾越的障碍。苏美尔文明对埃及发生影响的时间并不长,当埃及从政治上统一之后,苏美尔的影响几乎立刻就消失了。如果开发三角洲的工作完全是在古王国时期完成的,那么,苏美尔的影响便不可能取道三角洲从陆路到达上埃及。也许它直接取道海上,在这种情况下,苏美尔的海船多半曾抵达过上埃及在红海之滨的口岸,或者还有另一种可能,埃苏双方的水手在某个中途口岸相遇,也许是也门或索马里的香料出口口岸,或者是被苏美尔人称作马甘的地点不详的某铜矿出口口岸。我们知道,在铁路时代之前,长途海上旅行比起路程相对短得多的陆路旅行来,反而更快、更方便。

    不过,考古学在三角洲方面的空白也给另一种推测留下了余地,它同样具有合理性,也同样无法证实。我们也可以这样设想,在法老埃及文明诞生之时,起主导作用的是三角洲,而不是上埃及。我们可以勾勒出这样一幅图画:在公元前第四千纪末叶,三角洲已与同时代的苏美尔达到同一发展水平,人们已征服了一部分冲积盆地,那里已出现了新生的城市。根据这一假设,苏美尔文明的影响很可能是在到达上埃及之前先到达三角洲,然后,它不是在海上绕航阿拉伯,而是取道叙利亚从陆路抵达上埃及。

    无论如何,苏美尔对新生的法老埃及文明产生的作用,不仅转瞬即逝,而且仅仅只是影响而已。在埃及广为传播的并非是现成的、原装的苏美尔文明。例如,埃及文字虽然结构源于苏莱尔,但其风格显然是埃及自身的,而象形文字干脆就是埃及人自己的发明,绝不是苏美尔文字的仿制品。在埃及的视觉艺术领域,埃及人迥然不同于苏美尔人,他们并不善用泥砖作为修建纪念碑的原料,他们把纪念碑从泥砖建筑变成了石头建筑,他们的古典纪念碑是用大方石料造就的。气势恢宏、规模巨大的石头建筑也是埃及本土的发明,在这方面,埃及人从未受惠于苏美尔人或任何其他外人。仅从规模上看,苏美尔人的砖制砂石碑就无法与埃及人的金字塔相匹敌。埃及金字塔设计之完美,施工之精确,都是无与伦比的。

    在石头建筑方面,苏美尔人从未能竞争过埃及人,但是这并不表明苏美尔人在想象力以及技术水平上逊其一筹。这里只需简单提示一下,与后来尼罗河沼泽地区发生的相似的转变相比,将底格里斯-幼发拉底两河流域的泽国变为文明的故园,是一件更伟大也更古老的业绩。征服上埃及要相对容易一些,在那里,只需要治理一条河流,河谷地区也狭窄得多。在尼罗河盆地的这一段,两岸的丛林沼泽地带都离悬崖峭壁不远,而那里早已是法老埃及的新石器时代、青铜器时代先驱者的定居地。在埃及,只有三角洲的地理环境可以与两河流域冲积盆地相提并论,但显然,三角洲是逐渐地被开发出来的。

    此外,对于包括三角洲在内的整个埃及来讲,建立并保存一种文明必不可少的原料是唾手可得的。那里有可以用于建筑及雕塑的储量丰富的优质石料,从来石场到河岸的距离非常近。如果取道水路,甚至连运送方尖碑也并非难事。苏伊士湾东岸附近的矿藏(如果那里确有铜矿的话),从海路上也很容易运到上埃及,只是途经克迪哈马特时有一段短短的陆路。如果西奈半岛出产的铜还不能完全满足埃及的需要,塞浦路斯岛的铜矿则完全可以满足了。对上埃及的统治者来说,当他们吞并了位于地中海之滨、拥有不少口岸的三角洲后,从海上到塞浦路斯和叙利亚简直易如反掌。埃及人能够并确实利用了从腓尼基港口比布鲁斯进口的来自黎巴嫩山的木材。埃及与比布鲁斯建立贸易伙伴关系的年代大约与埃及联合王国的建立属同期。这样,海路可以把木材和铜运到埃及的国门之下,而第一瀑布以下的尼罗河又为埃及提供了一条贯穿全国的内河水路。作为一条河流,这条水路能同时进行上下行运输,因为埃及常年刮着北风,而尼罗河则是从南方流向北方的,这一点前文已有所提及。

    与上埃及相比,苏美尔在交通及获取原材料的机会方面都处于劣势。令人吃惊的是,以开发沼泽地为经济基础的最古老的文明没有出现在上埃及,却出现在底格里斯-幼发拉底两河流域的下游盆地。苏美尔人表现出来的冒险精神不仅在时间上早于埃及人,而且在程度上也大大超过了后者。苏美尔人将他们的前途维系于开发唯一的原料–冲积盆地之上,从来到并开发这片土地之际,他们便将祖先留下的石料、铜矿、木材产地都远远地抛在了身后。在这片被他们驯服、聚居并开垦了的土地上,唯一的资本就是肥沃的土壤。苏美尔人用一个技术上的壮举显示了他们的聪明才智,他们发现了如何经过烘焙将泥制农具变得几乎同金属一般坚硬锋利。不过,这一发明并不能完全排斥铜的作用,他们只好从远在底格里斯-幼发拉底两河上游的地区,甚至要从幼发拉底河和小亚细亚东部几条河流之间的分水岭地区采掘铜矿。小亚细亚东部的这几条河流均在黑海南岸汇入海洋。苏美尔人必须从阿马努斯山采伐所需木材。至于进口石料,这是苏美尔建筑师连想都不敢想的事,他们只能用当地泥土制成的砖来最大限度地表现他们的天才。的确曾进口了少量石料用于纪念性雕刻,不过,在苏美尔,雕刻家用的石头几乎是和黄金、白银同样昂贵的舶来品。

    苏美尔人不仅必须进口钢和木材,还必须为这些进口物资付出代价,即出口他们自己的产品,例如谷物(这种商品运输起来相当庞大笨重)和纺织品。苏美尔最早的纺织品原料是羊毛。苏美尔的贸易当然比埃及的贸易活跃得多,其行程也长得多。建立殖民性的苏美尔人定居点为贸易活动提供了动力。在底格里斯河上游的阿斯-阿费尔和美索不达米亚(杰济拉)的布拉克山上,最古老的定居点属于苏美尔人而不是闪米特人。与溯河而上的陆路贸易扩张同时并进的是沿波斯湾而下,或许直达印度河三角洲乃至上埃及红海沿岸地区的海上贸易活动。不过,苏美尔人在运输业中最辉煌的业绩是向西北方向的陆路商业扩张。

    在阿马努斯山砍伐下来的木材被运到幼发拉底河西岸。在阿尔加纳-马登开采的铜矿石被运到底格里斯河上游(路途很近)之后,这些笨重的货物被放在木筏上,沿河顺流而下。商贾们则乘坐用柳条编成、蒙覆着皮革的小船。顺流而下的旅程既方便又快捷,因为幼发拉底河和底格里斯河水流之湍急,甚至连尼罗河下游的水流也望尘莫及。不过,出于同一原因,苏美尔人不可能在这两条河上做逆水旅行或运输,这里无法与埃及相比。在底格里斯-幼发拉底两河流域,没有四季不断的东南风,埃及常年的北风是大自然特殊的恩惠。前去开采铜矿、砍伐木材的苏美尔人必须在陆地上向西北方艰难地跋涉,随开采者而来的苏美尔商人同样要历尽艰险,把出口产品运过去,以交换铜和木材。

    在开发冲积盆地的年代,苏美尔人拥有的唯一负重牲畜就是驴,即被驯化了的野驴。如同用泥土制造农具一样,驯服这种行动最敏捷而又最胆怯的马科动物,也是一件丰功伟绩。苏美尔人既没有马,也没有骆驼。这两种负重牲畜都是后来由居住在大平原上的民族驯化的。

    因此,从经济水平上看,苏美尔人在如何建立一种文明的艺术方面,超过了他们的埃及学生。但另一方面,在政治水平上,埃及人则远远走在了苏美尔人前面。当苏美尔历史悲剧的第一场拉开帷幕时,我们看到,苏美尔社会在政治上分裂成了许多拥有主权的地方性城邦国家。苏美尔世界的政治分裂与其在经济、文化和地理上的大一统极不协调。苏美尔文明赖以存在的基础是有效地管理和控制底格里斯-幼发拉底两河下游的河水,只有在统一领导之下,这种管理才能取得充分的效益。在苏美尔历史上,必不可少的政治统一直到很晚才得以实现。不但在统一前经历了无数浩劫,而且统一也不是由苏美尔人自己实现的,统一是由毗邻的阿卡德人强加给他们的。

    此外,当法老埃及文明尚在黎明时分,上埃及与三角洲地区已经实现了政治上的统一。上埃及为征服和吞并三角洲所进行的战争场面之残暴,在那尔迈调色板的浮雕上被一清二楚地表现出来。不过,埃及也以此为代价才实现了政治上的统一,以及随之而来的国内和平与秩序。这一硕果使长达3000多年的法老埃及历史受益匪浅。在这一期间,只在一些偶然的、相对短暂的”中间期”里,正常的统一与国内和平状态曾一度中断。

    上下埃及的政治统一显然是一个充满戏剧色彩的突发事件,我们对此之前的事情一无所知。在随之而来的有文字可考的年代里,法老埃及联合王国的两部分被划成几个行政区,各地区的居民有着浓厚的地方主义色彩。然而,没有证据能够表明,在埃及政治统一之前,这里已经存在着象苏美尔城邦国家一样的地区性主权国家。在希腊译文中,表示这些领土单位的埃及文名词被译作”州”,而”省”只是这个希腊词汇的书面意思。埃及的”州”很有可能不仅不是指过去存在过的、阻止实现统一的障碍,而是象现在法国的行政区划一样,是一种人为建立的组织。实行这种区划的目的是取代并取消过去历史上存在过的领土单位,如果听任百姓把这种单位铭记在心,允许对它的感情藕断丝连,在相当大的范围内,便很可能会构成对政治统一的威胁。

    与苏美尔一样,埃及社会的经济、政治历史也反映在其宗教历史之中。将两地区的历史在宗教范围内加以比较,可以把法老埃及社会看作与苏美尔社会同属一个社会类型,而法老埃及是其中的第二个标本。与此同时,埃及文明也表现出自己的个性。

    与苏美尔一样,在埃及,神祗代表了将人类掌握于股掌之中的自然力量,而且在埃及,对自然的崇拜也得到一种补充,即对人类集体力量的崇拜。在某种范围内,这种新宗教与苏尔美宗教有着同样的表达方式。在苏美尔和法老埃及,某些自然神都被用来既代表人的力量,又代表自然的力量。下述事实使其作用范围的扩大变得更加顺理成章:尽管自然神与大自然一样,是整个社会所共有的,但是它们仍然要与特殊的地域相连,而该地的地方性神坛便拥有了一种无所不包的特权。甚至连埃及的太阳神拉–典型的宇宙之神,也在尼罗河东岸靠近三角洲顶端的赫利奥波利斯拥有一处地方居所。

    各种宗教都信奉的植物之神俄赛里斯的鹰子何露斯为孪生城市内肯-内科布,即赫拉克利奥波利斯的统治者所占有。这两个城市位于上埃及最南部。大约公元前3100年,即法老埃及文明历史发祥之时,内肯-内科布的统治者从政治上统一了埃及,他们是在何露斯的保护之下征服了三角洲的。这个奇特的历史事件赋予何露斯战争神话又一层历史意义,在这场战争中,何露斯打败他邪恶的叔父塞特。本来。这段神话只是象征着自然界周而复始的过程,即植物每年的生生死死。其首先是指新石器时代人类栽培成功的谷物。在人类已从采集食物过渡到生产食物的经济阶段之后,每年收获谷物已成为人类生存的必要条件。植物之神俄赛里斯被他邪恶的兄弟塞特杀害后,塞特将兄长的尸体切成碎块,抛撒四方。可是,俄赛里斯忠贞的姐妹兼妻子伊希斯找到了这些碎块,将它们拼在一起。俄赛里斯复活了,并将王国交给了忠诚的儿子何露斯。在此之前,何露斯已经打败了凶手塞特,为父亲报了价。在三角洲并入上埃及之后,这段自然神话变成了纪念统一这一历史性事件的故事。崇拜塞特的中心正巧位于三角洲的东北角,位于与内肯-内科布遥遥相对的埃及领土上的另一端。因此,何露斯战胜塞特可以代表上埃及战胜下埃及以及随之而来的两个王国合二为一这一事件。

    埃及的政治统一开创了法老埃及的文明时代。在此后的3000年历史中,这一文明一直在埃及占统治地位。它史无前例地体现出人类的集体力量,对人类集体力量的崇拜也因之而具有了新的形式。统一埃及的人以及在他之后的历代统治者都被当成万能力量的化身来加以崇拜,因为这一力量本来集中于两顶王冠之上,现在,这两顶王冠却为法老一人所据有。”法老”一词是统一王国时期最后的国都孟菲斯王宫埃及名称的希伯来语译音。他是活生生的人间主宰。他与那些栩栩如生的木石偶像比肩而立,而那些更为古老的诸神只是虚假地活在人们的想象之中。

    那尔迈对上埃及和三角洲实行了最终的政治统一。无独有偶,在底格里斯-幼发拉底两河流域,由卢伽尔扎吉西将苏美尔和阿卡德合二为一。不过,这个统一大业是在苏美尔文明经历了漫长的7个多世纪之后才完成的,而且,人们对它毫无热情。因为在连绵不断的、令人苦不堪言的国际无政状态之下,人们是在两害相权取其轻的心理状态之下接受这个统一现实的。不论是卢伽尔扎吉西,还是从他手中夺走了由他亲自统一起来的王国的萨尔贡都同样劳而无功,谁也没有把他们奉为神明。虽然他们的一些后继者,例如纳里姆辛(约公元前2291-前2255年在位)和舒尔吉(约公元前2095-前2048年在位)虽都敢于自奉为神,却都未能为人所尊崇。在苏美尔和阿卡德,活着的人间之神只是例外,而非定制。

    第八章 苏美尔和阿卡德

    (约公元前3000-前2230年)

    苏芙尔文明这一命名确是恰如其份的,因为开发并定居于底格里斯-幼发拉底两河流域下游冲积盆地、这一人类集体力量创立文明的成功范例,是由苏美尔人这一个民族的人民独立完成的。他们有着共同的语言、宗教和文化。尽管如此,一来始在政治上,苏美尔人的集体力量就未从这个统治着由他们自己争得的整个冲积盆地的统一国家之中得到体现。拓荒任务是由许多互相分散的苏美尔人社区完成的,这些社区在政治上彼此独立,各自从不同的方位向荒原进攻。我们可以从苏美尔世界的政治结构上推断出这一点。苏美尔文书中最早的可识读的文件告诉我们,这种结构确实存在过。在苏美尔文明史的黎明时期,苏美尔是由许多地区性主权城邦国家拼合而成的。苏美尔世界的文化统一体并不等于政治统一体。

    在苏美尔文明史的头五六个世纪(约公元前3100-前2500年),各城邦国家相安无事地共存着,彼此之间似乎没有冲突。无疑,开发冲积盆地是个渐进的过程。在很长的时间里,由各城邦国家奠基者开垦出的水浇地和利用水涝保持肥力的低平草地只是一块块绿洲,各城市的领地被一片片仍未开发的处女沼泽相隔绝。从总面积上看,这些处女地比绿洲面积的总和要大得多。在苏美尔文明史的这个最初阶段,由各社区支配的,围绕在各社区田野四周的处女地显得广袤无垠。因此,每个社区尚能在不与其他社区竞争的情况下,在各自的范围内管理水利,尽管与此同时,其他社区也在各自地域内进行着相同的工作。

    当地区性城邦国家的可耕地扩张,最终消灭了将它们隔绝的沼泽地,相互因此而成为唇齿相依的邻邦时,政治上的关键时期到来了。在苏美尔,这一人类以技术力量战胜大自然的成果时,却向人类提出了人际关系中的政治问题。苏美尔人并不象埃及人遇到同样的社会问题时那样,迅速地以大一统这种激进的权宜之计去回答社会提出的挑战。在苏美尔,当过去彼此孤立的政治拼板上的小单位开始相互接触时,它们并不象埃及那样,立即粘合成单一的、统一的王国。这些城邦国家在相互为邻之后,依然保持着本地区的独立和主权。

    在这个阶段,底格里斯-幼发拉底两河流域冲积盆地的生产率相当高,以至于其一部分产品可以作为苏美尔城邦国家统治集团成员奢华的生活资料,甚至包括其死后的花费。城邦国家乌尔第一王朝时期王室墓地的出土文物表明,君主拥有可以随他任意支配的技术工匠,他们为他的后妃制作精美的首饰,君主下葬时不仅要带上他的牛拉御辇,而且还要让大群男女佣人在他死后继续服侍他。在君主葬礼达到高潮时,这些佣人要么被处死,要么以自杀方式自愿殉葬。在苏美尔文明史的最初阶段,我们在乌尔发现的这种极端的阶级分化现象,似乎也是当时整个苏美尔世界赖以存在的典型的社会条件。

    大约开始于公元前第三千纪中叶的苏美尔历史的下一个阶段,突出的特点已不再是统治集团在各自城邦国家中尽力保持自己的特权地位,而是各城邦国家之间的相互冲突。在莱加什国王安纳吐姆庆祝他战胜邻国乌玛的浮雕中表现出,到这一时期,苏美尔城邦国家间的战争已经是组织严密、残酷无情、你死我活的了。安纳吐姆的部队不仅装备着昂贵的头盔(或许已是金属制作的)、充足的盾牌,还为作战而训练成方阵。在安纳吐姆的雕刻家的作品中,他们肩并肩,一行接一行,前排盾牌墙上方显露出后排的矛尖。战败的敌方士兵的尸体匍匐在胜利的士兵及其首领的脚下。这一时期,苏美尔城邦的国王在墓葬中已不需要殉葬人了,他们在彼此之间的战争–这个大得多的范围内得到了人类牺牲的贡俸。战争的牺牲品都是好战社区中年轻人的精华。

    在安纳吐姆时代,莱加什和乌玛斗争的焦点是争夺位于两国边界上的运河。胜利者得到的报偿将是享有运河两岸良田出产的产品,而双方争夺的运河对这些良田的排灌则是丰产的关键。为这条给人以活力的运河进行的战争中,安纳吐姆自称是胜利者。不过,我们可以推断出,即使这个胜利是真实的,也必定付出了高昂的代价。无论如何,莱加什国内岌岌可危的社会力量均衡显然终于被打破了。苏美尔农民对统治集团享有特权所采取的宽容态度是有条件的,那就是无特权的大多数人继续相信享有特权的少数人正在有效地为社会服务,而这一服务对整个社区的福利是必不可少的。当莱加什国王乌鲁卡吉那(约公元前2378-前2371年在位)已能够向祭司的权威提出挑战时,这一信念肯定已受到了动摇。

    如果乌鲁卡吉那真的是在进行一场社会革命的话,他的革命却未能获得成功。他被国王卢伽尔扎吉西推翻了。卢伽尔扎吉西此前已在两个城邦国家中建立了统治,这两个国家是乌玛和乌鲁克。乌鲁卡吉那不仅把莱加什并入他的统治之下,他还吞并了所有苏美尔城邦国家。随后,他把帝国扩张到了苏美尔的边界之外,使他的疆土”从大海到大海”,即从波斯湾口到达了北叙利亚的地中海沿岸。

    卢伽尔扎吉西(约公元前2371-前2347年在位)用武力征服了他的王国。不过,他的帝国主义战争比起苏美尔人之间进行的连年不断的城邦战争来,毕竟要好一些。的确,用武力实现政治统一是治疗这场社会动乱的唯一良方。在底格里斯-幼发拉底两河流域的下游盆地,自然水系与人工开凿的水系浑然一体,形成完整的水网。只要这个水网不掌握在一个强有力的权威手中,而他又有能力规划分配生活资料–水,那么,对水系的管理既不会行之有效,也不会平安无事。它不可避兔地总是构成各地方主权国家之间宣战的理由,因为这些国家为了争夺对水网的最大控制权,必然要相互竞争和战斗。卢伽尔扎吉西从政治上统一苏美尔并向西北拓展了边界的功绩就在于,他第一次使统一管理底格里斯-幼发拉底两河流域水系成为可能,并使苏美尔的统治者拥有了阿马努斯山的木材资源,或许还占有了更远地方的铜矿资源。

    但是,卢伽尔扎吉西建立帝国的成果并未由他本人或任何苏美尔族帝王享用。由卢伽尔扎吉西统一起来的帝国被一个讲闪米特语的阿卡德官员萨尔贡攫取了,他似乎发迹于对基什的统治。以后,萨尔贡离开了基什,在阿加德建立了自己的城邦,该城城址至今未能查明。显然它是在后来的巴比伦城附近某个地方。这个城址选择得最恰当不过,因为一旦雄踞(它的确如此)冲积盆地西北端,它的占有者便可控制直到两河河口的整个冲积盆地的水网,而底格里斯、幼发拉底两河的河床在这里相距最近。

    在有文字可考的历史上,萨尔贡占领卢伽尔扎吉西的帝国时,也许已不是操闪米特语的民族第一次在这里出现了。比布鲁斯在开始与法者埃及进行商业、文化往来时,其居民也许已是操闪米特语的居民了,这是早于萨尔贡时代六七百年的事。不过,占有苏芙尔和阿卡德的萨尔贡帝国是操闪米特语的统治者第一次拥有霸业。萨尔贡的阿卡德及其帝国首都阿加德横亘在底格里斯-幼发拉底两河之间,从苏美尔溯河而上,帝国的疆界在西北方向一直扩张到冲积盆地的起如点。萨尔贡是否在这个战略要冲建立了操闪米特语民族的定居点,阿卡德人是否在更早些时候就已渗入到底格里斯-幼发拉底两河盆地这一地区,至今仍是个谜。不过,我们可以认为,阿卡德人以及已知的最早踞有巴勒斯坦、叙利亚的讲闪米特语的民族–迦南人均来自阿拉伯。因为此后,正是从这一地区涌出了一浪接一浪的闪米特人移民大潮,其中有阿莫里特人、希伯来-阿拉米-迦勒底人和阿拉伯人的几次移民浪潮。这一次次的浪潮席卷过阿拉伯平原的北海岸,一直涌入丰腴的新月形地区。

    闪米特语族中的各种语言密切相关,闪米特语本身又与北非的语言群体–古埃及语(现在以科普特语为代表)、东北非的库什语支中的诸种语言(贝贾语、达纳基动语、加拉语和索马里语)以及西北非的柏柏尔方言–有着千丝万缕的关系。由于大平原的传导性能颇佳,闪米特语族的各种语言比其他任何语言传播得更广。当然,印欧语系和突厥语系除外。阿拉伯人在民族大迁徙中带来的阿拉伯语是闪米特语族中距今时间最近的一支。今天,从扎格罗斯山脉脚下和波斯湾东岸到大西洋岸边的北非海岸,整个西南亚、北非都在讲这种语言。在前黎巴嫩山脉和乌尔米耶湖西岸的一些地区仍在使用古叙利亚语,它是阿拉米语的近代形式,而希伯来语又在巴勒斯坦重新流行起来。

    萨尔贡在阿加德的统治时期大约从公元前2371年持续到公元前2316年,他建立的王朝则一直维持到大约公元前2230年。苏美尔-阿卡德历史上的这个由萨尔贡从卢伽尔扎吉西手中夺来并交给其子孙的帝国并非孤立存在的,还有一个与它相似的国家,那就是法老埃及历史上的古王国。不过,与苏美尔-阿卡德帝国相比,古王国有两个优势,它建立于法老埃及文明史的最初阶段,也就是它的繁荣阶段,而且,它的创立者也不是外国人。古王国的发祥地孪生城市内肯-内科布正位于埃及南部边界之内,它的统治者成为埃及南部边陲的守护人。也许正是在扮演这个角色的过程中,他们学会了作战的本领,后来,在为统一埃及和世界而进行的内战中,他们最终显示出了这种本领。与此相反,阿卡德及其首都阿加德都处于苏美尔的西北边界之外。处于半野蛮状态的阿卡德人是外来干涉者,萨尔贡及其后人,如同其前任卢伽尔扎吉西一样,都是赳赳武夫,而法老埃及的统一王国一经建立,便给埃及带来了近1000年的持续和平。

    据说,萨尔贡本人曾率一文远征队进入过小亚细亚东部地区,因为那里的一个商贾定居点向他请求援助,这些受到土著人虐待的商人也许是阿卡德人。不过,萨尔贡这个声名卓著的功绩也许只是个传说,其时间或许早于阿卡德商人实际定居的时代。现已出土的文书证明,从公元前12世纪到9世纪,他们才在卡内什城郊定居下来。不过,萨尔贡王朝的纳里姆辛远征扎格罗斯高原的历史真实性则不容置疑。纳里姆辛砂石碑上的浮雕证实了这一点。它与安纳吐姆的浮雕和那尔迈调色板一样,都是塑造出残酷战争场面的视觉文件。

    纳里姆辛的远征虽然取得了残酷的、显而易见的胜利,但是,从结果上判断,也许它仍然属于一次进攻型的防御作战。如果他真的处于守势,那么,他所保卫的就不仅仅是阿卡德,还有苏美尔和苏美尔文明。苏美尔文明已经征服了它的征服者的心。他们几乎将它全盘接受下来,包括它的文字,乃至它的宗教。大多数阿卡德神就是苏美尔神,只不过被上了一层薄薄的外衣–它们都有闪米特文的名字。阿卡德语也用苏美尔文书写了出来,虽然对于闪米特语族的语言来说,这种表达方式过于笨拙,因为一个闪米特词的词根不是一连串音节,而是三个一组的辅音字母。

    在阿卡德人接受苏美尔文明之际,苏美尔文明已经形成了两个鲜明的特征。其一是对宗教的虔诚,其二是经商能力。在苏美尔-阿卡德视觉艺术品中占绝大多数的拜神者小像生动地表现出了这种虔诚。做祷告的人谦卑地双手合十,在现代人看来,紧张而又凝神的目光传达出了祷告词的热烈。苏美尔-阿卡德人经商能力的纪念碑则是成千上万块泥板文书,上面记录着各种类型的商业往来。诸神是最大的财产所有者,管理寺庙的人也许是首创大规模系统经商方法的先驱。不过,在苏美尔经济中,私营部分与公营部分平分秋色。苏美尔人在经商时与在祈祷时一样,都是全神贯注的。在这两个活动领域里,阿卡德人竭尽全力模仿苏美尔人,并掌握了其真谛。大约在公元前2230年,萨尔贡王朝被来自东北高原的蛮族古蒂人所推翻。大约公元前2230年到大约2120年期间,苏美尔和阿卡德都处于古蒂人的统治之下。在古蒂人统治时期,操闪米特语的阿莫里特人从西南方渗入阿卡德,并最终建立了巴比伦。受到阿卡德人和苏美尔人共同仇恨的古蒂人最终被消灭了,或者被驱逐了,而闯入阿卡德地区的阿莫里特人却留在这里生活下去了。他们将在未来苏美尔-阿卡德历史中扮演重要的角色。

    第九章 法老埃及

    (约公元前3000-前2181年)

    自从公元前第四千纪末期最早的地区性文明–苏美尔文明的黎明时期以来,与之类型相似的文明社会来去匆匆。其中,也有一些幸存至今,但即使它们中间最古老的幸存者–中国文明,也比它的苏美尔、法老埃及的文明先驱至少晚近1500年。在所有这些地区性文明中,法老埃及在其第一阶段,即所谓古王国时期(约公元前3100-前2181年),便以其相对的稳定而显得独具特色。在这将近1000年的时间里,与埃及本土或其他地区后来的制度相比,古王国要稳定得多。埃及古王国灭亡之后,它的一些成就依然存在。极富特色的视觉艺术风格和文字书写体系,均是法老埃及人在古王国建立之初创造的,由他们继承下来的宗教则将其特色一直保留到后来的公元3世纪,直到公元5世纪才彻底泯灭。当然,在这3500年中,它们历尽沧桑变化。不过,在这一时期里,法者埃及文化传统的连续性从未中断。埃及人管理调节了第一瀑布以下的尼罗河下游水系,并通过此举,将过去荒凉的不毛之地–丛林沼泽变成了肥沃的农田和牧场,这一水系管理的传统一直保留至今。

    幼发拉底河下游过去苏美尔人生活的地区,重新回复到了原始状态。虽然五六千年以前,苏美尔人曾有过完善的水利控制系统,但在现代伊拉克的整个东南部冲积盆地,人们不得不重新修建水利设施。在埃及,不论在什么地方,法老埃及古王国的后人们都从未听任其祖先传下来的控制水利的工程被毁于一旦。公元前5世纪,希腊评论家希罗多德曾肯定地说,埃及是”尼罗河的赠礼”,他指的是河水带来的冲积层土壤;随着每年淤泥的增多,冲积层一直在加厚,直到1902年在阿斯旺的第一座水坝竣工之际,这一过程才停止。尽管如此,如果说埃及是前王朝后期和早期王朝时代的埃及人留给后人的赠礼,或许会更贴切。所谓尼罗河的赠礼,充其量只是提供了将冲积层盆地的丛林沼泽变为田园的条件而已。在埃及,沧海桑田的巨变是通过埃及人自己的社会组织、勤奋刻苦、工程技艺和行政管理能力才得以实现的。

    法老埃及人的主要成果是在从第一瀑布到海滨的埃及全境内组织了一个颇有效率的、中央集权化的政府。法者埃及在其文明史初期便获得了这种政治、行政的统一,这对于保持埃及的灌溉农业是个有利的政治条件。如上所述,它被保留至今。在法老时代,只有一些短暂的间隔时期出现了政治分裂。埃及学学者将这种间隔时期称为”中间期”,这是因为他们有理由相信,在埃及,自最早的统一埃及的法老即位时起,正式的政治体制就是有效的统一。这个历久不衰的政治成果就其时间之久远而言,是独一无二的。而且,毫无疑问,埃及国内杰出的交通体系为持久的政治统一提供了可能性。直到150年前人们发明铁路时,这个交通体系也仍是无与伦比的。

    当人类的集体力量集中于统治全埃及的、十分干练的统治者一人之手,这种力量又被系统地、巧妙地运用于开发埃及冲积盆地农业生产潜力之际,便生产出了空前丰富的,大大超过了基本生存需求的物质生活资料的剩余产品。由于人们已能适当地脱身于最繁重的粮食生产,因而法老本人以及他的廷臣中的有特权的核心集团诸臣的一种愿望,便得以从规模巨大的纪念性建筑工程(非生产性建设)中得到满足,这也是整个法老埃及时代各行各业每一个谈及人所关心的头等大事。

    埃及人热衷于追求死后的永垂不朽,他们对这种死后目标的追求甚至比追求任何在世之年可以得到的东西更为狂热。他们是重物质的,他们尽情享用今生可以得到的物质产品–粮食和财富,他们以永远享受这种愉快的生活为前提,设计了死后的永生。由于死前的有生之年是短暂的,死后的生活却可能成为无穷,他们就把更多的财富和精力用来修建陵墓而不是去造房屋,用来将尸体做成木乃伊而不去装扮活人的躯体。在死亡面前,他们非但不退缩,反而把它看作是人生中一个更为长久、更为重要的阶段,并在为迎接它的到来而做的准备工作中憧憬着它,从中得到乐趣。他们相信,如果预先采取了必要措施,死亡对他们来讲只是一种新生活的开端。

    埃及人之间对于死后生活的信仰既不一致,彼此间也不连贯。在宏大的陵墓中从物质上保留一具制成木乃伊的尸体,这种行为表达了这样的信念,即可以使一部分灵魂继续与尸体为伴。他们还认为,无论如何,法老的另一部分灵魂会与其他神祗相会合。他们甚至抱有这样一个拙朴、原始的信念,认为法老实际上会吃掉其他神祗,并因此而获得他们的力量。他们的第三个信念认为,俄赛里斯–死而复生的植物之神,可以使他的崇拜者同样起死回生,他将在西方的绿色天堂中接待他们,并同他们一道永远居住在这个极乐世界中。埃及人的俄赛里斯神话与迦南人的阿多尼斯神话、小亚细亚的阿提斯神话有着惊人的相似之处。不过,即使这一神话是从境外传入埃及的,它也已在法老埃及文明史的最初阶段便深深地植根于埃及宗教生活中了。在这个漫长的历史进程中,对俄赛里斯的崇拜日渐普及,并最终成为正统。因此,人们也逐渐相信,死亡之后会有审判,只有生前善行多于恶行的灵魂才能在死后审判中获准进入俄赛里斯的天堂。

    同时,封闭在一个纪念碑式的陵墓中便可得到永生这一信仰使规模宏伟的石制建筑得以问世。我们已经提到,在法老埃及时代,采石工人、石匠、建筑工人的技艺均得到发展。第一王朝时代的石头建筑已经出土,不过,如同前面提及的埃及政治统一与象形文字的创立一样,大规模的纪念碑式工程的成就也出现得突如其来。最早的石头金字塔是在萨卡拉为左塞王(约公元前2668-前2647年在位)而建的,作者是他的大臣兼建筑师伊姆霍特普。这是件带有实验性的作品,石头被凿得象砖头一样整齐,然后,象砖一样被砌起来。另外,在施工过程中,不止一次地改变了计划,最后完成的雄心勃勃的作品比建筑群中开始时建造的那些较为朴素的辅助建筑要宏伟得多。

    伊姆霍特普不仅仅被后人所追忆,他还受到尊敬,甚至被奉为神明。他享有这种永久的殊荣是当之无愧的,因为他的确是埃及巨大的石制建筑之父。在半个世纪多的时间中,法者第四王朝的创建人斯诺夫鲁国王(约公元前2613-前2590年在位)用巨大的石块在达舒尔修建了一座(也许是两座)金字塔。此后,一发而不可收:基奥普斯(即胡夫,约公元前2589-前2567年在位)在吉萨修建了大金字塔;齐夫林(即海夫拉,约公元前2558-前2534年在位)在吉萨修建了第二座,米瑟赖纳斯(即门卡乌拉)又修建了第三座金字塔。

    雕刻艺术与建筑艺术同时繁荣起来。建筑师们精于利用石块修建巨大的纪念碑,雕刻家们则擅长用石头雕出使人物个性永存的肖像。在基奥普斯和齐夫林的血肉之躯与世长辞45个世纪后,他们仍活在我们面前的壮丽雕像之中。如雕像所塑造的,他们的面部表情十分威严,与他们宣称的神祗的身份十分相称,这些法老似乎能轻而易举地使用他们压倒一切的力量。不过,一个古王国的法老也可以是个使人不必提防的凡人。米瑟赖纳斯(约公元前2523-前2496年在位)与他的妻子在雕像中并肩而坐,手臂相互挽着对方的腰际。显然,甚至连法老与其妻子的关系也可以是互相爱慕、互相尊重的。在古王国时期出色的平民夫妻的雕像中,婚姻关系的人情味更浓,他们用同一种姿势互相拥抱着坐在一起。

    这种夫妻二人的立体塑像是古王国艺术品中的一大门类,使人们想到,在埃及历史的这一时代,婚姻是满足双方感情需要的一种结构,如果的确如此,它必定是一种稳定的结构。它的稳定性也许正是古王国得以长治久安的原因之一。

    然而,古王国即使如此稳定,也不可能与世永存。在悠悠的历史长河中,它也受到了压力与严峻的考验。在最初的500年中,政府组织日渐中央集权化,各种权力渐渐集中于法老一身,埃及最早的统一者的故乡内肯-内科布靠近上埃及最南端,地理位置极为不便。在两个王国统一后,首都向下游地区迁移。首先定都提尼斯(位于瀑布下游的阿比多斯不远),然后到了新城孟菲斯,它位于三角洲项端附近,作为统一王国的首都再方便不过。法老王朝的专制主义在第四王朝时期(约公元前2613-前2495年)达到顶峰。但是,基奥普斯雕像轻松自如、无所不能的表情仅仅是个假象,因为在现实中,他的专制权力已受到挑战。从宗教水平上讲,对戴着两个王冠的人神化,并不是对埃及政治统一的唯一表达方式,法老不得不与一大群非人的神祗为伍,而早在第一任法老被神化之前,埃及人即已对这些神祗顶礼膜拜了。

    埃及的政治统一带来了这样一个问题,即关于曾代表了无处不在的自然力量的古代诸神的问题。既然散布各地的神祗祭坛已经处于统一的政治王国疆界之内,神祗本身也应成为统一的神圣社会的成员。他们之间宗族的、继承性的关系究竟是什么?为确立这种关系,在太阳神拉的圣城赫利奥波利斯创立了一种神学,赫利奥波利斯作为拉统辖之下的9位非人神祗所在的万神庙而体现的神性,显然与第四王朝的理论发生了冲突。这一理论认为,神性只体现于法老身上。

    显然,从第四王朝向第五王朝(约公元前2494-前2346年)的过渡并不意味着宗族连续性的断裂,而是一种新的法老神学的开端,实际上是孟菲斯的政府向赫利奥波利斯的祭司集团的投降。力量均衡的转变反映在法老时代建筑的变化上。第五、第六王朝的法老不再以建造巨大的金字塔来与前辈竞争了,他们开始为赫利奥波利斯万神庙的众神之首–太阳神拉建造庙宇。法老一直被尊为诸神中的一员,不过,从第五王朝起,人们便开始认为,他之所以神圣,是因为他是拉的儿子,法老的亲生母亲不是通过与他亲生父亲的性关系而生了他,法老是通过母亲与太阳神非肉体的关系才出生的。

    第四王朝在各个领域内都把法老埃及文明推到了顶点。第五王朝标志着神学理论的转变,第六王朝(约公元前2345-前2181年)则出现了衰落并以土崩瓦解而告终。佩皮二世不仅是第六王朝,而且也是古王国的最后一位法老。他是有史以来统治时间最长的一位君王,在位大约94年(约公元前2278-前2184年)。佩皮二世虽一直在位,却从未有过实权。他登基时才是个孩子,他亲眼目睹了由第一王朝第一位法老联合起来的国家一步步走向分崩离析。

    古王国最终衰亡可以归于三个原因。直接的政治原因是地方上从向王室负责的官吏逐渐变成了各霸一方的君主,他们不再受可以被废除的一纸任命书的制约,以事实上的继承权世袭了自己的官位。他们还赢得了对军队中埃及土著部队的控制权,而法老政府采用征募努比亚雇佣军的对抗手段,并没有为法老夺回最高军事指挥权。古王国衰亡的第二个原因是法老连年不断的丧葬费用和建造各种神庙造成的日益加重的经济负担。

    建造有形的纪念碑尚不足以使负担过重,埃及的肥田沃土生产出了剩余产品,而带来肥沃的冲积土壤的尼罗河在一年一度的泛滥期使一切农事都无法进行。当年的剩余产品,加上农业劳动力每年强迫性的假期,既提供了季节性的劳动力,又使他们不致于挨饿,这便使纪念碑的建造成为可能。可是,土地的转让,年复一年地为每一位被永恒化的法老而举行的仪式,却加重了负担。因为,实际上这就意味着要去维持日益增多的大批祭司的生活,却毫无经济效益可言。与修建纪念碑的季节性工人不同,他们只是附着在埃及生产力之上的寄生虫。

    衰亡的第三个原因是人民大众中日益增长的怀疑情绪以及随之而来的骚动。比起苏美尔城邦战争时期以及后来的萨尔贡王朝时期来,在古王国时期的法老埃及,无特权的大多数人与享有特权的统治集团之间的阶级分化要剧烈得多。如果完全是强制性地征募劳动力,法老的大型工程很可能只是纸上谈兵。我们不难猜想到,应募工人曾经相信,他们是在为某种具有更伟大的社会、宗教意义与价值的事情而工作,而不仅仅是为了夸耀法老个人的权势。我们也可以猜到,当这个处于假设前提下的信心一旦丧失,感情的反作用力与当初产生信心时的动力会同样强烈。

    我们获得的关于百岁法老佩皮二世去世后法老埃及社会崩溃的信息,主要来自于一些文学作品,它们显然是在中王国时期(约公元前2040-前1730年)创作的。如果我们的证据的确出自这一时期,那么,它反映的事实显然并不是中王国时代的。因而,它给人的印象是,它以倒叙的笔法为人们勾勒出了一幅活生生的社会动荡的图画。在法老埃及历史上,这个”第一中间期”好象经历了一场社会革命。与乌鲁卡吉那在莱加什进行过的流产革命不同,它没有被消灭在萌芽状态。在埃及民间回忆中保留下来的埃及革命的形象使我们感觉到,这是一场翻天覆地的、火山喷发式的、极其痛苦的革命。一切都被颠倒了,穷人抢劫富人,而过去的主人成了仆人,侍奉着他们过去的仆人。以前法老的葬仪被抛弃了,礼仪、法老、金字塔、庙宇,古王国一切令人不堪重负的法老的机构都声名狼藉,受到讽刺与指责。这是有史以来最早的一场彻底的社会革命。

    有迹象表明,法老第六王朝也许是被从东北部入侵的蛮族推翻的,就象一个半世纪以前萨尔贡王朝在苏美尔-阿卡德世界的遭遇一样。不过,古蒂人占领苏美尔和阿卡德的证据是无可争议、确凿无疑的。埃及则不同,法者埃及第一中间期,蛮族入侵的证据显然是非结论性的。不过,毫无疑问,地方州长(即省督)都成功地使自己从法老的命官、代理人变成了真正握有主权的藩王。这个证据不是从后人回忆中找到的。在中王国时期,埃及再度实现政治统一之后,第十二王朝(公元前1991-前1786年)的诸位法老虽然精明强干,却也发现要使在至少200年间一直保持独立状态的藩王就范,必须缓慢而慎重地行事。

    第十章 世界的地平线

    (约公元前2500-前2000年)

    在苏美尔-阿卡德的萨尔贡帝国中断一个多世纪(约公元前2230-前2120年)、埃及的法老古王国中断大约一个半世纪(约公元前2181-前2040年)之后,中央集权政体得以重建,这或许比它们当初的陷落更令人吃惊。这种恢复是值得注意的,因为对这两个帝国来说,中央集权政体的瓦解都曾导致了文明本身的明显崩溃。结果表明,这两个区域文明都比它们第一次崩溃时显得更加坚韧、富有弹性。在它们各自恢复之后,苏美尔-阿卡德文明又存在了2200年之久,法老埃及文明的存在时间与此相当,甚至更长。然而,到复兴时为止,它们已不再是诸文明中心中仅有的两个区域文明了。其他文明并肩而起。早在公元前2500年前后,随着苏美尔-阿卡德人的商业向东北方向扩展,新的区域文明就已经在小亚细亚和塞浦路斯诞生。同期诞生于克里特岛的新文明也许不仅仅从苏美尔-阿卡德获得了生存活力,而且还从埃及吸取过精神养料。

    小亚细亚的新文明是苏美尔-阿卡德文明的一个卫星文明,因为它从苏美尔-阿卡德文明中借来了一切重要的元素,包括文字符号和某些崇拜的神祗。但是,借来的文字不仅仅用于书写阿卡德语,而且还用于记载本地语;本地诸神也同进口的阿卡德神一起自主自立。

    在新石器时代,地中海岛屿连同它的大陆海岸线已经被殖民化。这些岛屿的殖民化当然也存在着一个时间上的间隔,但航海技术一经掌握,东地中海及爱琴海沿岸诸岛就成为文明的理想场所。例如,塞浦路斯的铜矿在埃及和苏美尔经济中的重要性就无异于从新石器时代到黄铜器时代,再到青铜器时代的过渡中,黎巴嫩山和阿马努斯山上的森林对于底格里斯-幼发拉底河流域和尼罗河谷下游的意义。在塞浦路斯、克里特和基克拉泽斯群岛,产生于公元前三千纪后半期的文明,无疑是受到苏美尔和埃及旧文明的刺激,但这些岛屿文明的创造力大小是与该地同刺激源的距离远近成正比的。克里特文明受苏美尔-阿卡德和埃及的影响就不如它自身的独特文明特征明显,而大陆的小亚细亚在文化上则显然受惠于苏美尔-阿卡德。现代考古学家为了明白起见,根据传说中的克里特海洋统治者米诺斯国王的名字把克里特文明称为”米诺斯文化”。米诺斯文化创造了一种自然主义的艺术,它除了在地域上相隔遥远的印度河文明的艺术中能找到相似的风格以外,别无同时代的对应物。米诺斯文化还以航海技术见长,它的诞生就归功于此。

    在前金属器时代,黑曜岩是一种极有价值的制作锋利刀片的原始材料。它是火山爆发时形成的一种天然玻璃,象锡(将铜冶炼成青铜时必不可少的成份)一样十分稀少。在克里特人和基克拉泽斯人都很容易到达的米洛斯岛就有黑曜岩沉积物,在第勒尼安海中的利帕里火山群岛上也有这种沉积物,但对于从爱琴海出发的水手们来说,它远在另一端的墨西拿海峡。基克拉泽斯水手似乎是发现和开采利帕里群岛黑曜岩的先锋。在争夺米洛斯黑曜岩的竞争中,他们或许为克里特人所击败。米诺斯人尾随他们的基克拉泽斯邻居,进入这片西部水域,并以更大的规模和更繁多的种类在那里经营。因此,到公元前三千纪末,虽然克里特仍处于当时已经存在的成熟区域文明的西南顶端,但不仅希腊本土沿岸,而且连意大利东南沿海和西西里沿海都被包括在业已存在的文明区域之内。

    埃兰位于苏美尔东边,底格里斯河和幼发拉底河冲积平原与较小的卡尔黑河、迪兹河、卡伦河的冲积层在此汇合。那里也曾诞生过一个文明,但可以把它归于苏美尔-阿卡德文明的卫星文明,或者说它实际上只是后者的一个部分。同埃及人一样,埃兰人也发明了一种自己的文字,它在结构上同苏美尔文字相似,但它却由风格与众不同的独创的符号所组成。然而,在公元前三千纪后半期,埃兰人也象阿卡德人起初时那样,采用苏美尔文字记录他们的语言。到埃兰被乌尔第三王朝在公元前2113年前后重建的苏美尔-阿卡德帝国吞并时,埃兰人甚至曾一度采用过阿卡德语,既用于商业流通也用于政治交往。公元前13世纪,埃兰人虽然重申自己语言的独立性,但再也没有恢复使用独创的非苏美尔文字符号。

    尽管埃兰人在公元前二千纪期间同苏美尔-阿卡德人在政治上接触密切,并长久地保持了自己与众不同的特性,直到公元前最后一千年中他们的语言(仍用苏美尔文字书写)仍被作为第一波斯帝国的官方语言之一。但埃兰文明,或者说苏美尔-阿卡德文明的埃兰部分,始终是一个未成熟的社会。

    在埃兰和印度河流域之间,直到最近还没有找到考古学证据,足以证明公元前三千纪期间在这一带存在过任何文明。然而,现在正在发掘一座古城,其存在时间据不同的科学考证介于公元前2900年至前1900年之间。它位于今天伊朗锡斯坦地区的沙尔赫-伊-索赫塔,恰恰在紧临伊朗-阿富汗边界的伊朗境内,这条边界线曾一度与赫尔曼德河原河道的终点相毗连。居民从事农业、畜牧业、金属冶炼(铜)、陶器制造、纺织业和印染业。发掘者们认为,沙尔赫-伊-索赫塔文明不从属于苏美尔-阿卡德文明,但有证据表明,它曾与苏美尔地区、今天的阿富汗以及苏联的土库曼地区有过贸易往来。在发掘工作取得进一步进展和更详细的报告发表以前,我们仍然不知就里。我们不知道沙尔赫-伊-索赫塔文明的有关起源,或者说它的种种亲缘关系,如果这些关系确实存在的话。

    沙尔赫-伊-索赫塔的发掘工作也许最终会为一个成熟的新文明提供某些线索,它出现在公元前三千纪后半期的印度河流域,这个时期正是埃兰文明被苏美尔-阿卡德文明同化的时期,也是苏美尔-阿卡德文明的卫星文明在小亚细亚诞生的时期。

    印度河文明已经发掘的历史遗存,其分布的地区距苏美尔的陆路距离,大约相当于埃及或小亚细亚距苏美尔的两倍之遥。因此,迄今为止还没有任何证据足以证明印度河文明的创造者曾受到过来源于苏美尔的任何影响,便是不足为怪的了。在它的文字还没有被辨认和识读之前,印度河文明的起源仍是一个谜。印度文字是否也象法者埃及文字那样,在结构上与苏美尔文字相似,我们尚不得而知。

    然而,在印度河流域,正如在尼罗河下游一样,区域文明似乎一开始就以成熟的形态显露出来。如果苏美尔文明的影响在东南方通过海路辐射,在西北方通过陆路扩散,那么就不可能不考虑印度河文明也具备由于苏美尔的文化刺激而产生的可能性。因为,就海路距离而言,从波斯湾顶端到印度河三角洲还不及到上埃及红海沿岸的一半。并且,我们知道,即便印度河文明不是发端于苏美尔文明的刺激,但与之有联系则是无疑的。在苏美尔的一个考古地层中,已经发现了一些刻有印度文题字的图章,其年代早于萨尔贡王朝。由此可以推知,印度河文明至少早在公元前2500年就已经存在。

    印度河文明在印度河流域出现的这一年代告诉我们,至今仍未破译的文字所承载的语言不是原始梵语,因为携带原始梵语这一印欧语种进入印度次大陆的入侵者是在公元前2500年之后至少1000年才到达那里的。但是,我们不知道这种印度文题字所代表的语言是否属于早于原始梵语进入次大陆的达罗毗荼语族,或是澳斯特罗-亚细亚语族中的一种。澳斯特罗-亚细亚语族传入印度次大陆的年代似乎比原始梵语和达罗毗荼语族都要早。

    文字并不是印度河文明唯一的与众不同的特征。它的象形艺术同传统化的苏美尔-阿卡德和埃及艺术相比是自然主义的。已经发现的印度河微雕作品揭示了这一特征。印度河文明的建筑风格,无论是公共设施还是私人住宅,都给人一种注重实用的感觉。它的蓄水系统、排水系统、浴场和码头可以同罗马帝国媲美,甚至和现代西方的水平也相差无几。灌溉农业作为印度河文明的经济支柱,当然不是它所特有的;同样,纺纱、织布和印染技术的采用以及陶轮的使用也是如此。但是,对给印度河人民提供了纺织原料的灌木植物棉花的培育,则是他们独自完成的。他们也许还是驼背牛(瘤牛)的最初驯养者。

    印度河文明区别于同时代底格里斯-幼发拉底河流域和尼罗河谷下游其他文明的又一特征是它巨大的地域面积。迄今发现的最大的两个印度河城市是信德的摩亨约-达罗和旁遮普的哈拉帕,它们相距达400英里,这并不比从阿斯旺到开罗近多少。印度河文明的范围并不局限于印度河流域本身,它向西延伸到俾路支省东部,向东延伸到古吉拉特,向北则扩展得更远,至少把朱木拿-恒河流域的上游地带包括在内。随着考古勘探不断向东方的进展,印度河文明的遗存被越来越多地发掘出来,它的东部边界至今尚无法确定。

    随着区域文明数量的增加,农业和畜牧业在旧大陆文明中心得到传播,它们从西南亚的发源地传向那些到公元前2500年业已存在的区域文明的遥远边界。在中美洲,至少农业到那时已得到开发,虽然那里的农业几乎可以肯定不是从旧大陆传来,而是新大陆独立发明的。在该地区发现的最早的驯化玉米的标本,其年代据估计大约在公元前四千纪前半期至公元前2500年之间。如果前文已经提到的在考克斯卡特兰山洞里发现的公元前4000年前的玉米棒化石确实是野生的,完全没有经过驯化的话,那么生产驯化玉米的野生植物也已经找到了。但尽管如此,直到公元前2000年,在美洲的任何地方都还没有出现靠农业为生的村社。与此同时,在旧大陆文明中心,新石器时代的文化,连同它的驯化动植物,已经从西南亚沿着陆地和地中海海岛之滨向西传入地中海沿岸的非洲、欧洲及其内陆。到公元前2500年,这条生命之路更加昌盛,西达北大西洋东岸,包括近海诸岛和南部瑞典。其实,南部瑞典也应属于近海诸岛之一,因为它只有从海路才能到达。

    旧大陆文明中心的北大西洋边缘到西南亚的距离几乎有西南亚到印度河流域的两倍,但是,黄河流域中下游地区距西南亚比欧洲大西洋沿岸距西南亚更远。在黄河流域也发现了新石器时代的文化遗迹,那就是最古老的新石器时代文化–仰韶文化。它是根据今天河南的一个村落的名字命名的,这个村落被认为是它的典型遗址。但是,它的起源似乎更早,在今天中国最西北的省份甘肃持续的时间似乎更久。彩陶是仰韶文化的独特特征,但它与诞生于公元前三千纪末以前乌克兰西部的特里波列文化的彩陶很相似,特里波列文化也是新石器时代文化。这种相似也许不是偶然的,它可能是一种历史联系的见证。因为甘肃和乌克兰位于欧亚大平原的两边,而大平原也象海洋一样,是可以交通的。来自西南亚的新石器时代的先驱们也许可以到达横跨里海的欧亚大平原南岸,然后穿过大平原,沿西北方向到达乌克兰,同时沿东北方向到达甘肃。仰韶新石器时代文化也许就是在公元前三千纪后半期在今天的中国西北部形成的。

    因此,欧亚大平原的这种传导性也许推进了新石器时代农业和畜牧业从西南亚向中国的扩展。在随后的黄铜器时代,太平原无疑促进了印欧语系造语言的传播。印欧语言也许起源于欧亚大平原边缘的东欧某个地区,它们比闪米特语族语言的传播范围更广。今天,东到孟加拉和西伯利亚东部,西到美洲太平洋沿岸都讲印欧语。在澳大利亚和新西兰,甚至南部非洲也有印欧语,虽然这些地区操印欧语的只占人口的极少数。如果说操印欧语的人同操闪米特语的人一样,在他们迁移的第一个阶段来自于大平原,这并不意外。欧亚大平原的传导性给这两大语系诸语言异常广泛的传播提供了原动力。

    最早的印欧语文献记录是印欧赫梯语文献。”赫梯”是根据”哈梯”的希伯来文音泽而翻译过来的名称。在公元前17世纪末以前,小亚细亚东部曾有一个哈梯王国,它用统治者所操的印欧语制作文献,并采用苏美尔文字。可以设想,形成于哈梯地区的印欧语和形成于小亚细亚西部的、与它紧紧相关的卢维印欧语单在公元前2300年前后就已经被移民传播开了。

    另一种印欧语是希腊语,它被认为是公元前1900年前后传入希腊本土的。大约就在这个时期,在希腊本土和特洛伊出现了一种风格独特的陶器制品,它被不恰当地称作”明洋”陶器。而且有证据表明,在希腊同时发生了一场足以导致该区域文明倒退的大破坏。把这些考古证据汇合在一起,似乎暗示着蛮族入侵者当时曾到过希腊,而这一点如果是有根据的,那么这些入侵者必定也成为希腊语言的载体,因为对乙种线形文字记录的文献进行破译,表明希腊人在开始于公元前1200年前后的最后一次蛮族入侵以前就已经使用希腊语了。

    希腊语和卢维-赫梯语都属于印欧语系中的所谓”腭音语言”,它保留了始发的”K”音,而不象某些语言体系中把”K”音变为”S”音,后者由于这一差别被称作”咝音语言”。腭音语言是在印欧语系分布范围的两个边缘发现的。在西部欧洲,古意大利人、凯尔特人、条顿人中间形成的印欧语言同希腊语和卢维-赫梯语一样是腭音语音,但吐火罗人(中国人称”月氏”)也讲一种”腭音”印欧语。吐火罗人直到公元前2世纪仍生活在遥远的东方,位于欧亚大平原与今天中国的长城西端相连的地区。

    把印欧赫梯语和卢维语带入小亚细亚的人是从哪个方向到达该地区的,这方面的资料我们还没有。他们也许是在西边走出欧亚大平原,经由东南欧,穿过连接黑海和爱琴海的地峡,然后到达小亚细亚。这条西行路线是他们最恰当的路线,而希腊语肯定是从欧亚大平原通过一条达及黑海西岸的路线带入希腊的。此外,操印欧赫梯语和卢维语的人也有可能在今天的土库曼地区从南边走出大平原,然后穿过伊朗北部,由东面进入小亚细亚。当然这种可能性极小。

    也有人认为,如果卢维人不可能的话,至少赫梯人可以从欧亚大平原翻越高加索山脉,到达小亚细亚。这种看法是不现实的,因为虽然翻越高加索山的.路线相当近捷,但高加索山本身对移民来说就是一个无法逾越的障碍。军队倒是偶尔强行穿过高加索山脉东南端至里海西海岸之间的地区。但是,除了以自己的称谓命名达伊阿勒要塞的阿兰人曾越过高加索山脉的中部地段外,还没有其他操印欧语的人进入过高加索山脉,甚至连它的丘陵地带也未能进入。今天,从里海西岸到黑海东岸的高加索高地均为操非印欧语的民族所居住。在高加索山脉的两边,如今都有操土耳其语和印欧语的民族,但却被居住着非土耳其语和非印欧语民族的高加索地带彼此隔开,分居南北。

    是什么原因促使印欧语系各民族离开欧亚太平原,在一系列移民过程中把他们的语言逐渐扩散到整个地球呢?有一点是十分重要的,即小亚细亚是我们最先找到关于印欧语言传播证据的地区。因为在公元前三千纪末以前就形成文明的地区中,小亚细亚离欧亚太平原最近,而公元前三千纪后半期正是公认的印欧语系各民族开始移民的时期。看来吸引他们的东西乃是毗邻的文明所具有的富庶,这种富庶使该地区很容易招致蛮族的劫掠。无疑,小亚细亚文明的辐射范围已超过它本身的疆界,因而被文化之光眩惑的蛮族,慕于自己无法企及的丰饶,象飞蛾扑向烛光一样纷纷扑向这种潜在的财富。飞蛾的自取灭亡恰是一个贴切的比喻,尽管文化繁荣的社会缺乏足够的军事力量来抵挡住入侵的野蛮邻人,但报应还是降临到这些入侵者头上。蛮族入侵者的贪婪使他们自食其果。如果入侵者象征服苏美尔-阿卡德的古蒂人那样,最终没有被顽强的抵抗所消灭,那么他们也仅仅只是生存下来与他们的受害者共享穷困。蛮族对希腊的征服就导致了这样一种具有讽刺意味的结局。他们大约在公元前1900年前后采用了希腊语。

    第十一章  旧大陆文明中心

    (约公元前2140-前1730年)

    古蒂蛮族入侵者推翻了苏美尔-阿卡德的阿卡德萨尔贡王朝,并取而代之。按推测应该是古蒂人统治下的阿卡德人领导了本地人起义,在古蒂人统治大约一个世纪(约公元前2230-前2120年)之后,最终消灭或驱逐了古蒂人。事实上,阿卡德和苏美尔的解放者不是阿卡德人,而是苏美尔–乌鲁克城邦的乌图赫伽尔(约公元前2120-前2113年在位)。但是,乌图赫伽尔和他的城邦都没能享受到自己的胜利果实,君主的节杖落到另一个苏美尔城邦–乌尔城邦的统治者手里。这个最初由苏美尔征服者卢伽尔扎吉西建立、而后被阿加德的阿卡德人萨尔贡强行夺取的苏美尔-阿卡德帝国,如今在另一个苏美尔–乌尔的乌尔纳姆(约公元前2113-前2096年在位)手中得以重建。

    由于苏美尔-阿卡德文明的发源地是苏美尔而不是阿卡德,一个以苏美尔城邦为中心的苏美尔-阿卡德帝国应该比半野蛮人的阿卡德政权–萨尔贡王朝有更牢固的基础。然而,乌尔纳姆重建的苏美尔-阿卡德帝国及其创建的乌尔第三王朝却只持续了一个多世纪(约公元前2113-前2006年人在苏美尔政治统治的间歇期,阿卡德在语言上征服了苏美尔,苏美尔人先是两种语言并用,随后就完全采用了阿卡德语。虽然苏美尔语在苏美尔-阿卡德世界并没有完全湮投,但一直到公元前612-前609年亚述王国陷落和毁灭之前,它都只作为”古典,语言而存在,用以传播苏美尔-阿卡德文明的古老传说。

    乌尔第三王朝被它的埃兰臣民的起义所推翻,乌尔城遭到洗劫。那是一场巨大的灾难,乌尔城邦从此再也没有复苏过。帝国被分割为众多相互争斗的地区性子系城邦。埃兰并没有恢复自己的独立,而是在苏美尔的拉尔萨城邦强行建立了一个埃兰王朝。苏美尔的伊辛城邦僭取了苏美尔-阿卡德帝国的称号,却没能重建帝国。乌尔第三王朝帝国解体之后兴起的其他地区性子系城邦包括埃什南纳(底格里斯河以东,埃兰西北)、亚述(横跨底格里斯河,埃什南纳西北)、巴比伦(横跨幼发拉底河,阿卡德地区内)、马里(横跨幼发拉底河中游,巴比伦西北)、卡尔基米什(横跨幼发拉底河西部河曲地段)、亚姆哈德(阿勒颇)和盖特纳(阿勒颇以南,奥龙特斯河流域内)。所有这些乌尔第三王朝的后继城邦,除了盖特纳、亚姆哈德和埃兰之外,最后都被巴比伦的汉穆拉比(公元前1790-前1750年在位)在政治上重新统一起来。汉穆拉比在位第三十至三十八年之间,连续9年发动了一系列战争,完成了这一统一进程。但是,这次由阿莫里特人的帝国缔造者完成的苏美尔-阿卡德帝国第二次重建甚至比由苏美尔人乌尔纳姆完成的第一次重建寿命更短。

    汉穆拉比帝国恰似500年前的纳里姆辛帝国,随时受到古蒂山民的威胁。汉穆拉比也象纳里姆辛一样,试图用进攻来排除来自古蒂人的威胁,但这种策略再一次表明是无效的。汉穆拉比的征服刚刚结束10年,他的直接继承人萨姆苏伊鲁纳即位的第八年(即大约公元前1743年),喀西特蛮族就冲下古蒂高地,对巴比伦尼亚施予了他们有史可考的第一次侵犯(他们似乎记载着巴比伦尼亚政权的建立是公元前1732年前后)。在萨姆苏伊鲁纳统治期间,亚述、马里、卡尔基米什,甚至”海中之地”–位于波斯湾顶端的沼泽地,都脱离了巴比伦。公元前1595年,巴比伦也依次遭到了乌尔的命运。它被入侵者所洗劫,不过这次不是埃兰人,而是穆尔西利斯一世率领的赫梯人。赫梯人入侵之后又撤离了,喀西特人坐享其成。赫梯入侵者消灭了巴比伦第一王朝,喀西特人占领了巴比伦,因而重新统一了除”海中之地”以外的苏美尔-阿卡德。蛮族的统治大约持续到公元前1169年,也就是说,统治时间为萨尔贡政权之后的蛮族古蒂人统治时间的4倍。

    苏美尔-阿卡德的萨尔贡帝国在政治上的重新统一因此而夭折。在长达370年的时间里(公元前2113-前1743年),实际的统一时间共计只有130年。反之,大约有240年时间处于分裂、冲突和政治混乱之中。但是,在这379年中,有两项非政治性的发展却取得稳定的进步。第一项发展就是阿卡德语的传播。它不仅迷住了苏美尔人,而且也深深感染了阿莫里特人。他们大约与古蒂人同时进入阿卡德,并在公元前1894年前后建立了巴比伦第一王朝(阿莫里特人无疑是自愿改讲阿卡德语的,因为他们的母语同阿卡德人的母语一样是闪米特语)。第二项发展是亚述贸易区在西北方向的扩展。在小亚细亚东部的地方邦国卡内什城外,有一个亚述人居住区,这一记载清楚地表明,公元前20世纪和公元前19世纪亚述贸易的活力。到这个时期末,亚述商人的活动已经远达西部的哈图萨斯城(博加兹柯伊)。

    在埃及,古王国崩溃后的结局则不同。埃及不存在蛮族的征服和对整个国家的占领,却存在内部的社会变革,联合王国被分散而变为一大群地方公园。这种混乱状态当然不可能为了整体埃及的利益而对尼罗河水进行连续一贯的管理,而埃及人的生活乃至生存都依赖于取水灌溉。因此,地方集团便相互攻击,争夺水控权,就象苏美尔地方集团在卢伽尔扎吉西及其萨尔贡后继者把政治联盟强加于苏美尔-阿卡德之前的所作所为一样。

    埃及也象苏美尔一样,邦国的混乱是不可容忍的。早在公元前2160年前后,一个以赫拉克利奥波利斯城为中心的新王朝就试图重建法老联合王国。赫拉克利奥波利斯城位于上埃及北部,埃及古王国首都孟斐斯以南。赫拉克利奥波利斯的政权十分软弱,重新统一埃及的任务最终被以底比斯(奥佩特)为中心的第十一王朝(约公元前2113-前1991年)所完成。底比斯位于上埃及南部,但比产生第一位埃及统一者的孪生城市内肯-内科布要靠北。在一个国民生活依赖于对水的控制的国家里,建立在上游的政权比它的下游对手占据更大的优势,因而底比斯打败赫拉克利奥波利斯并不奇怪。底比斯的门图荷太普二世(约公元前2060-前2010年)成为埃及的重新统一者,他在公元前2040年前后实现了这一目标,他所建立的中王国持续了大约3个世纪。

    虽然中王国的存在时间三倍于乌尔纳姆重建的苏美尔-阿卡德帝国,但它却只相当于埃及古王国的三分之一。当然,与埃及历史上的第一”中间期”(约公元前2181-前2040年)的争斗和匮乏相比,中王国统治下的生活显得相当平和而繁荣。这一时代的法老们不得不进行持续不断的斗争,以坚持和维护他们的权力。第十二王朝开国之君阿门内姆哈特一世(公元前1991-前1962年)成为法老以前,也许只是一名大臣,而且似乎曾遭到过刺杀。我们可以从他训诫儿子及继承者塞索斯特里斯一世(公元前1971-前1928年)训词的字里行间中读到这些。

    中王国法老必须要使地方王公臣服,显然这是一个漫长而艰巨的任务。并且。同古王国时代的先辈们不一样,他们拓展帝国疆界,上溯尼罗河流域,越过第一瀑布,到达努比亚;东北方向进入巴勒斯坦,甚至有可能北至大马士革。一些考古发现还证明,在叙利亚北部,沿海的乌加里特和内地的阿拉拉赫,也有埃及中王国的影响。我们不知道中王国在亚洲的扩张是否引起过战争,但在努比亚它倒确实遇到了抵抗。第十二王朝的典型纪念物不是金字塔和神庙,而是要塞。塞索斯特里斯三世(公元前1878-前1843年在位)在瓦迪哈勒法(第二瀑布以下)和塞姆奈(第二瀑布以上)之间建造的8个系列要塞,也象第四王朝的金字塔一样,是建筑学上的精品,只不过它们的功用不同而已。建造金字塔是为了保证法老死后的不朽,塞索斯特里斯三世的要塞则是为了在有生之年保住浴血奋战夺得的领土。

    把塞索斯特里斯三世的画像同古王国法老基奥普斯与齐夫林的画像作一比较,是颇有启发性的。建造金字塔的两位法老的面容平和安详,塞索斯特里斯三世的面容则多皱而冷酷。这张脸属于为了自己的社会成就而付出高昂代价的人。塞索斯特里斯三世努比亚之战的收获是控制了那里的金矿,或者说至少是控制了去往金矿的通道。中王国时代在第三瀑布上游努比亚境内所建的一个贸易点,南及卡尔马,已远远超过了中王国的军事疆界。

    埃及的重新统一者门图荷太普二世的统治时期正是乌尔第三王朝(约公元前2113-前2006年)的后半期。在马里发掘出来的历史文献涵盖了公元前1817-前1765年这52年时间,当时马里同苏美尔-阿卡德世界的所有地方邦国都有联系。包括幼发拉底河以西的国家。然而,在这些文献中却没有埃及人在叙利亚活动的记载。同样,在埃及中王国的文献中,也没有提到乌尔纳姆或汉穆拉比复兴苏美尔-阿卡德帝国的事。当然,以统治埃及中王国作为其鼎盛极点的第十二王朝,直到乌尔陷落15年后方登王位,却在汉穆拉比即位第四年,即为重建乌尔纳姆帝国而发动9年战争之前第二十五年就垮台了。令人不解的是,这两个文明世界的活动范围已如此接近,却一直相互忽略了对方的存在。

    与此同时,在大约公元前2140-前1730年的3个世纪中,印度河文明或许尚存,而克里特岛的米诺斯文化正篷勃兴起。前面已经提到,迄今为止我们关于印度河文明年表的唯一线索是,重新发掘那些被埋在苏美尔-阿卡德文明遗迹的有序地层中的刻有印度文传说的印室。最早的地层中包括萨尔贡帝国以前的印度河印玺,但印度河印玺在苏美尔-阿卡德存在的最后时间却无法确定。对印度河文明本地遗址的考古发现似乎表明,该文明的消失既突然而又猛烈。

    如果事实确实如此,印度河文明的破坏者极有可能是把印欧语言带入印度的蛮族。《吠陀》经文皆用印欧写成,而印欧语在后来被作为一种古典语言人为复活之后,逐渐被称为”梵语”。达罗毗荼语族和澳斯特罗-亚细亚语族诸语言在操原始梵语者入侵以前,肯定曾在印度次大陆流行。达罗毗荼语似乎是同原始梵语一样来自西北。达罗毗荼语族的布拉灰语在公元20世纪还流行于俾路文省部分地区。至于原始梵语,它进入印度的时间和印度河文明遭毁灭的时间同样无法确定。根据喀西特众神中存在着《吠陀》经里的太阳神苏利耶这一点来判断,公元前18世纪从伊朗高原下来的喀西特人似乎包括部分操原始梵语者。在公元前15世纪美索不达米亚的米坦尼王国(杰济拉)的众神中,也有《吠陀》经里的神。但是,这些关于当时巴比伦王国和美索不达米亚的操原始梵语者的踪迹并不能告诉我们,他们是在何时毁灭了印度河文明。

    在公元前二千纪的前250年中,克里特的米诺斯文明正处于全盛期。公元前2000-前1700年前后,他们在克诺索斯、费斯托斯、圣特里亚扎、马利亚和旧卡斯特罗建造了第一批宫殿。这些宫殿是不设防的,也许它们并不是众多相互独立的地方政权的所在地。或者,当时克里特人并没有意识到自己已处于来自海洋进攻的危险之中。然而,第一批米诺斯宫殿在公元前1750-前1700年前后还是被毁灭了。没有确切的证据可以断定这场灾难是人为的,它也许是一场地震造成的。但是,时间上同喀西特人入侵巴比伦王国、喜克索人入侵埃及大体相当,这就给人一种暗示,克里特宫殿的毁灭可能是敌人入侵所致。

    在公元前二千纪前250年的黄河流域,地区性新石器时代的文化从仰韶文化时期进入龙山文化时期。这不仅仅是陶器风格从彩陶变为黑陶,龙山文化时期的驯化动物范围更广,而且至少有一个定居地已经修筑了土坯城墙用于防卫。尽管如此,东亚这种发达的新石器时代文化还没有企及象它西方,从印度河流域到爱琴海地区业已形成的那种文明的类型。

    第十二章 马的驯化与欧亚草原游牧生活的创造

    来自伊朗高原西部边缘的喀西特蛮族,公元前1743年对巴比伦王国进行了第一次袭击,然后逐渐蚕食,直到公元前1595年巴比伦被操印欧语的赫梯人劫掠之后,他们占领了巴比伦城埃及中王国的结束似乎也是同样被蛮族逐渐蚕食的结果。这批野蛮人被称为喜克索人,他们在公元前1730年或前1720年前后侵入尼罗河三角洲东北角,然后逐渐攻占孟斐斯,并于公元前1674年消灭了第十二王朝的赢弱继承者–第十三王朝。根据他们本族的人名姓氏判断,喜克索人也许是操闪米特语,而且,如果西部闪语是他们的母语,那么,他们和喀西特人就没有亲缘关系。但是,在喜克索人入侵埃及的同时,喀西特人入侵了巴比伦,克里特岛的第一批宫殿也遭到破坏,这种同步性使人联想到,这些行动可能都受到某种来自背后的压力所造成的推动力的驱使。

    在喜克索人进入埃及的背后,肯定存在着一次大规模的迁移,即从今天的土耳其东部进入美索不达米亚和叙利亚的胡里人地区。但是,正如前面已经提到的那样,语言学上的证据可以证实,公元前18世纪在美索不达米亚建立米坦尼王国(杰济拉)的入侵者和在巴比伦强行建立喀西特统治的蛮族中,都有操原始梵语的人。这种语言学证据暗示着,在这些局部压力的背后可能存在着某种独立的原动力,驱使操原始梵语的民族从西南亚北部的穷乡僻壤进发而出。

    这块穷乡僻壤位于欧亚大平原腹地。印欧语的发源地可能在东欧某地,它的南面在土库曼与西南亚相接,从那里很容易进入大平原。如果存在一次从大平原进发的大迁移,那么可能是在马的驯化之后,因为马很适宜于当地的游牧生活。在特洛伊遗址最低层的特洛伊第六地层中就发现了马的骨骸,其年代大约在公元前1800年。此外,苏美尔-阿卡德人在巴比伦第一王朝时期还没有马,中王国时期的埃及人也是如此。这说明,马是公元前1800年以前不久在欧亚大平原上驯化的,而一种新式武器-一马拉战车的发明和传播正是蛮族在公元前18世纪入侵苏美尔-阿卡德和埃及并取得成功的原因。

    游牧生活象城市生活一样,也是一种非农业生活方式。它寄生在农业上,存在的前提是在势力所及的范围内有与之保持联系的农业人口,这些农业人口持续不断地生产出超过自身生存所必需的食物。城市人口用城市的产品和服务同农业人口交换食物,游牧民也同样需要通过出售牲畜和兽皮来购买农居社会的物品。虽然游牧民自己不从事农业,但他们浪漫的生活方式不仅后于农业而出现,而目’只有同持续耕种土地的邻居同生共存才具有可行性。在这种条件下,游牧生活是科用干旱草原而不毁坏它的最具建设性的方式。耕种土地能够在较短的周期内生产出更大的收获,但每年的收成是不稳定的,而且大量的草根被翻犁起来,有可能使大草原变成沙漠。在大草原上,较长周期的交替游牧是把草原当作狩猎地来使用,正如美洲北部的土生美洲人在公元19世纪仍然对当地大草原的使用方式一样。来自欧洲的定居者灭绝了曾作为当地人狩猎对象的野牛,而以一个生长期短的”牛的王国”取而代之。大草原的游牧生活是最有利的生活方式,它可以开发大自然,却又不把它变为不毛之地。

    为了使干旱草原能供养尽可能多的牲畜,游牧民不得不按照周期性的季节轨道不断地把畜群从一个牧场赶到另一个牧场。如果没有诸如马和骆驼这样的非人力助手的帮助,他们要在周期性的迁徙中管理好他们的牛和羊是不可能的。而且,由于迁徙如果不是天灾使然,还必须周密计划和准确实施,游牧民因之不得不把自己、动物助手和牲畜置于严格的纪律之下。游牧共同体迁徙时的后勤恰似一场军事战役的后勤,结果,游牧生活本身就为进行流动战争而自动地训练着它的从事者。当然,在一般情况下,他们年复一年,周而往返,既不同其他游牧民族也不同游牧民的农居邻邦和贸易伙伴发生争端。

    马的驯化给人们提供了使游牧生活具有可行性的非人力助手,但最初驯化的马却是一种弱小的动物,它不能承受骑手的重量,用尽可能轻的材料制成的两轮车也要4匹马来拉。经过1000年的饲养之后,马才能驮一个装备很轻的骑兵。又过了几个世纪,一种”巨型马”被培育出来,它可以承担自身的盔甲和一个着全副盔甲的骑手。然而,从一开始,游牧民只要冲出通常居住的大草原,他们在军事上就都是令人生畏的。不过,这种情况比较罕见。公元前18世纪下半叶对巴比伦王国和埃及的入侵,也许还有对克里特的入侵,可能是游牧民族第一次系列进发的直接后果。这种进发在欧亚大平原一直持续到公元18世纪,在阿拉伯北部大平原则持续到第一次世界大战以后。欧亚太平原上游牧生活的发明者很有可能就是那一批操原始梵语的民族,他们对巴比伦王国和美索不达米亚施予了暂时性的冲击,却给印度打上了永久性的烙印。但是,游牧生活一旦发明,就不可能维持任何单一民族的垄断地位。欧亚大平原在不同的时期被讲不同语言的民族所占领,这些语言相继有原始梵语、伊朗语、土耳其语、通古斯语、蒙古语和芬兰语(马扎尔人的语言)。伴随着公元前二千纪末叶单峰骆驼在阿拉伯大平原的驯化和公元纪年前夕马对那里环境的适应,游牧生培的范围扩展到阿拉伯,又从阿拉伯扩展到北非。游牧民族从公元前18世纪开始创造历史,至今仍深深地留在人们的记忆之中。

    第十三章 区域文明之间的相互关系

    (约公元前1730-前1250年)

    在上一章中,笔者曾推测,马的驯化为公元前二千纪早期游牧部落的流浪生活方式提供了前提。笔者还推测,公元前18世纪,一些操原始梵语的欧亚混血部落侵入了西南亚。如果这次入侵确曾发生过,那么,入侵的欧亚混血部落仅给当地的农耕民族留下了微不足道的痕迹。另一方面,如果游牧部落的入侵行动是驱使胡里人进入美索不达米亚和叙利亚、喜克索人进入埃及的原动力,可以说,它对于区域文明间的相互关系则发挥了巨大的间接影响。正是这种民族大迁徙,以间接的方式推动地中海东部诸区域文明之间的关系趋于空前的活跃和密切。

    诸区域文明中最早的样本-苏美尔文明并没有长久、稳定地保持其楷模地位。大约公元前四、三千纪之交,法老文明诞生于埃及;公元前三千纪的下半叶,小亚细亚、克里特和印度河流域也出现了一系列区域文明。不过,直到公元前18世纪,区域文明之间关系密切的唯一例证,是小亚细亚文明对苏美尔-阿卡德文明中文化养料的大量吸收。事实上,小亚细亚文明已成为苏美尔-阿卡德文明的附属品。不过,如此程度的依赖关系实为罕见。苏美尔对埃及的影响在埃及文明的黎明之际是显而易见的,一定程度上促进了法老文明的初创,但这种影响并未持久。法老文明在最初12到13个世纪的历史演进中,创造了自己的模式,沿着自己开辟的航线不断发展。

    我们注意到,公元前二千纪最初的250年中,法老文明和苏美尔-阿卡德文明似乎都忽略了对方的存在,尽管它们版图相接,领土交错。苏美尔-阿卡德文明与印度河文明的关系显得更为淡薄。苏美尔-阿卡德文明遗址中发现的印度河印玺表明,早在大约公元前2500年,这两个世界就存在着商业往来;但印度河文明的遗址中却未发现任何受到苏美尔影响的痕迹。在印度河流域,苏美尔没有象对于埃及前王朝和第一王朝时期那样留下明显的烙印。地中海东部诸区域文明关系的隔绝状态一直延续到公元前18世纪,与公元前18-前13世纪这些文明之间关系的多样性、密切性形成了鲜明对照。

    在这5个世纪中,地中海东部军事和政治上的领导力量是埃及人。主要是由于埃及人的行动才结束了地中海东部诸区域文明之间的隔绝状态。这或许令人惊奇,因为在此之前的埃及文明远不如苏美尔-阿卡德文明显得更具有外向性、扩张性。然而,我们应该看到,当埃及遭到历史上第一次蛮族的入侵并丢失了大片领土之后,它那传统的内向性中便滋生出了好战的仇外心理。仇外心理的激励,使埃及人首先驱逐了外来侵略者,并紧追不舍,一直反击到巴勒斯坦和叙利亚的战争策源地。但是,由于这一地区长期以来一直受到苏美尔-阿卡德文明的辐射,因此,埃及人对异族侵略在政治和军事上的强烈反应,导致了埃及人和他们正以武力相对的异族的文化发生了联系。

    公元前18世纪后期的几十年中,巴比伦人驯服地屈从于蛮族喀西特人的统治,向他们纳贡缴税。曾最早摆脱巴比伦宗主权的亚述似乎也已臣服于蛮族米坦尼人的强权。巴比伦的喀西特帝国维持了几乎6个世纪,米坦尼王国对于亚述的统治或许维持了3个半世纪,终因被征服民族的反抗而解体。约公元前1730年或前1720年,喜克索人开始入侵埃及,到公元前1674年,他们的扩张达到了顶峰,他们占领了孟斐斯。至此,埃及再次分裂为南、北两个王国。所不同的是,在第二个”中间时期”中,北部的王国属于异族血统;而在第一个”中间时期”,赫拉克利奥波利斯王国和底比斯王国均为本民族所建立。喜克索人很快就吸收了埃及臣民的高级文明,但埃及人并未屈服。犹如公元前21世纪历史的再现,后者于底比斯的南部王国通过对北部王国的武力征服重新实现了埃及的政治统一。

    大约公元前1567年,喜克索人被逐出埃及的国土。完成统一大业的英雄是底比斯解放者阿莫西斯(雅赫莫斯,约公元前1575-前1550年在位)。阿莫西斯建立的第十八王朝存在了2个多世纪(约公元前1575-前1308年)。从第十八王朝的创立到第二十王朝的灭亡,新王国历时近5个世纪(约公元前1575-前1087年),相当于古王国时期的一半,但几乎超过了中王国统治期的两倍。最为引人注目的是,新王国发展成为一个世界性的帝国。前文提及,在中王国时代,塞索斯特里斯三世曾将其版图的南部边界向南推进到塞姆奈(位于尼罗河第二瀑布以上),并在卡尔马(位于第三瀑布以上)设立了一个远离中心的贸易站。新王国建立后,阿莫西斯的第二位继任者图特摩斯一世(约公元前1528-前1510年在位)将埃及的南部边界扩展到了纳帕塔(位于第四瀑布以下)。这样,第一到第四瀑布的整个尼罗河谷都纳入了法老文明的范围。据碑文记载,图特摩斯一世于继位的次年宣称,其领土的东北边界已扩展到幼发拉底河流域。

    第一瀑布以上尼罗河谷的蛮族正处在埃及的统治之下,他们与埃及人的文化联系是单向性的。库什人全盘吸收了埃及文明而没有施加任何明显的逆向文化影响。直到公元前1087年新王国灭亡之前,埃及人对于现称为努比亚的地区和尼罗河流域北部的苏丹人始终保持着强有力的控制;而同一时期埃及人在巴勒斯坦和叙利亚的政治权威,无论从范围上还是从强度上看,则总显得飘摇不定,而且埃及统治者与亚洲臣民间的文化影响又呈双向性。双向交流的不断扩大使埃及从亚洲人那里接受了更多的文化养料。

    在三角洲建立起来的喜克索王国是否包括他们原来居住过的亚洲地区仍未可知。但有一点很明显,当埃及人推翻了喜克索王国侵入巴勒斯坦和叙利亚时,他们发现,这一地区已分裂为无数个政治上独立的小邦国。埃及人在各战略要塞设立了军事据点,并派遣埃及人执掌各附属国的政权。他们的统治是否稳定,往往取决于底比斯的帝国政府能否及时给予强有力的支持;但帝国政府好象并不打算将直接统治强加于亚洲属地的任何部分,这与第一瀑布以上尼罗河谷居民采用的统治手法截然不同。亚洲文化对于新王国时期埃及社会的影响,部分是通过新王国的亚洲属地向埃及本土移民而产生的。这些移民中,有的是战争俘虏,有的则是自愿来到埃及以寻求经济上的获利机会。两类移民带来的信仰、风俗、习惯,在埃及人的心目中有着无穷的魅力。埃及人因反击亚洲入侵者的军事征服所激发的仇外心理,并没有为亚洲臣民的这种和平渗透所唤醒。

    图特摩斯一世首先在巴勒斯坦和叙利亚建立了殖民统治。哈特谢普苏特女王(前1490-前1469年在位)当权时,似乎中止了战争,因为她一直竭力阻挠共治者图特摩斯三世掌握权力。女王去世不久,图特摩斯三世就开始了武力征服。在他当政的第二十二至三十三年(即公元前1469-前1458年)连续进行了12次远征。最后的几次远征中,他到达了幼发拉底河流域,发现了耸立于此的图特摩斯一世纪念碑,并在旁边又树立了一块自己的石碑,然后,强渡该河,迫使美索不达米亚的米坦尼王国承认了他的宗主权。自公元前1458年始,至阿肯那顿继位,埃及在巴勒斯坦和叙利亚的统治达到了鼎盛时期。阿肯那顿时代,(即公元前1367-前1350年)这一地区的埃及政权渐趋衰弱,并且再也没有完全兴盛起来。

    阿肯那顿是位革命者。他的革命在埃及历史上并非首例。从古王国解体到中王国创立的第一”中间时期”中曾发生过两次革命。第六王朝时,各州帐纷纷自立为王,不再听命于法老。到了第十二王朝,他们又逐渐地服从于重建的中央集权政府。同时,第六王朝崩溃不久有一段20年的政权真空期(即公元前2181-前2160年),在此期间,曾发生过一次剧烈的社会革命。以上两次革命的性质有所不同:一次属于”制度”改革,即摆脱了法老的支配;一次属于民众暴动,即反抗现存”制度”本身。然而,第一”中间时期”的这两次革命有一个共同的特征,即它们都属于自下而上的革命,只存在层次、程度上的差异。阿肯那顿的革命则是自上而下进行的。

    阿肯那顿面临的主要问题是他与政权内部宗教集团的矛盾。如同第四王朝的前辈基奥普斯(约公元前4-前3世纪在位)一样,阿肯那顿就神学问题与祭司发生了激烈争论。此时的祭司阶层已发展得更加难以对付。基奥普斯的对手只是拉神圣城赫利奥波利斯的祭司。自从底比斯成为重新统一后的埃及政治中心,作为众神之首的拉神被等同于阿蒙。至少在第十二王朝的创立者阿门内姆哈特一世当政时,阿蒙就已成为底比斯的地方神。图特摩斯三世把埃及所有地方神的祭司联合为一个全埃及的宗教组织,由阿蒙-拉神的高级祭司管辖。

    阿肯那顿向埃及社会中最主要的权力中心(并非法老本身)的挑战,使法老的法定绝对权威受到了实际考验。如果阿肯那顿获得民众的支持,他也许会击败祭司集团;如果他向阿蒙-拉神的高级祭司挑战时注意维护俄赛里斯神的地位,或许也会赢得成功,因为俄赛里斯神可以使人永生不灭,而永生不灭恰恰是埃及人梦寐以求的目标。然而,阿肯那顿的斗争不是求得永生不灭,而是为了一神教。一神教的主张不仅威胁到祭司集团的既得利益,而且也使不少民众心灰意冷。阿肯那顿心目中的唯一真神-太阳神(阿吞)仅仅是一个人的神。尽管这个人就是法老,即使法老拥有强大的权力,也不足以战胜庞大的宗教势力,因为他们侍奉的众神得到广泛而又根深蒂固的尊崇。

    阿肯那顿以阿吞取代阿蒙一拉和其他诸神的尝试终告失败,这并不足为奇。值得注意的是,阿肯那顿的革命留下了恒久的印迹。阿蒙一拉重新恢复了地位,但其形象已有改观,变得酷似阿肯那顿曾梦想材立为众神之首的唯一真神。阿肯那顿曾创作了一首赞美阿吞的颂诗,称它为宇宙万物生命的赐予者。自此之后,阿蒙一拉的赞美诗中也使这位传统神祗披上了”夭折”新神的外形。

    阿肯那顿将首都迁至新的城市。迁都在埃及已不乏其例。古王国的法老从内肯-内科布顺流而下,向北移都,先到提尼斯,后又看中孟斐斯。第十二王朝的创立者则把都城从底比斯迁至伊兹-陶伊(一座新建城市,位于孟斐斯南部不远处)。第十八王朝创立者重新统一埃及后,底比斯再次成为王国的首都。阿肯那顿选择了底比斯和孟斐斯中间的一个城市作为新都,命名为阿肯太顿(现称特勒-埃尔-阿马尔纳)。他死后,这座新城市沦为荒芜之地,都城迁回底比斯。确实,今非昔比,底比斯已不再因距南部边境太近而于治国不利,帝国的疆界已沿尼罗河向南延伸到纳帕塔。然而,底比斯仍未长久地享有作为新王朝唯一首都的特权。来自东北方的压力迫使帝国为了便于军事行动而将首都继续北迁,以致远远超过了阿肯太顿的城址。实际上,这种压力在阿肯那顿当政时就已感觉到了。狂妄、保守的统帅霍伦希布(实际在位时间约为公元前1349-前1319年)则在孟斐斯支配着整个帝国。到新王国终结前夕,军事行动的大本营已经移到三角洲东北角的塔尼斯,这一城市很可能正是喜克索王国首都阿瓦里斯的旧址,至少离阿瓦里斯很近。

    阿肯那顿的革命性影响不仅表现在宗教和政治领域,而且表现在文学、造型艺术等领域。文学方面,他提倡用一种新兴的文字进行写作,摒弃了繁复、过时的旧文字。这一革新的寿命要比他本人长得多。随着星移斗转,公元前14世纪出现的这种文字到该世纪末亦被抛弃。艺术方面,他崇尚自然主义,强调真实地反映生活–包括对他本人未加修饰的描写。

    阿肯那顿对自然主义的偏好或许受到了米诺斯文化的熏陶。新王国时期埃及墓穴的壁画中描绘了携有手工制品的米诺斯人,他们的手工制品似乎出自迈锡尼文化而不是米诺斯文化自身的产物,这表明埃及与同时代的爱琴海世界有着商业和文化上的联系。除了具有超凡的天赋,阿肯那顿还为生存的时代和活动的空间所激励。他统治下的埃及帝国是一个世界性的帝国,当然,这不能按字面含义理解为那种地理意义上的帝国,即拥有广阔的疆域;而是指文化意义上的帝国,即它构成了一个富于多样性的人类文化典型。正是从这个意义上讲,埃及成为历史上第一个世界性帝国,与此同时,该帝国的一位统治者以第一个一神论者载入史册。这不仅仅是巧合,阿肯那顿的一神论还是借助宗教形式表达出来的世界主义思想。他奉阿吞为整个宇宙之主,而不是一个地方神。除了埃及,他还在叙利亚和努比亚为阿吞建立了大量神庙,以表示它的普遍存在。

    埃及成为世界性帝国的最初2个世纪中,在地中海东部没有政治上的竞争者。蛮族喀西特帝国统治下的巴比伦政治地位重要,但文化上正值幼年期。正是在这个时代里,苏美尔文化中丰富多彩的史诗主题通过阿卡德语言精炼成经典形式:吉尔伽美什寻求生命之树的失败;伊什塔尔(伊南那)下地狱;年轻的马尔杜克消除混乱,使宇宙变得秩序井然,以卓越功勋而成为苏美尔-阿卡德诸神的首领。哪里讲阿卡德语言,这些诗篇就在哪里流传。当时,阿卡德语言已成为包括埃及帝国在内的地中海东部国际关系中的通用语言。在埃及政府一个必不可少的机构一档案馆中,工作人员就使用带有苏美尔特征的阿卡德语言在泥板上进行书写。这种语言还是埃及帝国政府与叙利亚、巴勒斯坦诸属国联络的媒介。阿卡德语言的文化优势可与埃及的军事和政治优势相媲美。

    埃及帝国的军事、政治地位遇到了挑战。自公元前1595年穆尔西利斯一世袭击巴比伦以来,赫梯人始终处于休眠状态。阿肯那顿时代,他们在苏皮卢利乌马斯(约公元前1375-前1335年在位)的领导下又开始踏上战争之途。苏皮卢利乌马斯征服了哈梯(希伯来语的赫梯称呼)的小亚细亚东南方邻国一基祖瓦德纳,击败了米坦尼,并以威胁利诱逼迫叙利亚北部的埃及附属国转而效忠于他。公元前14世纪末期,苏皮卢利乌马斯的继任者穆尔西利斯三世(约公元前1334-前1306年在位)吞并了小亚细亚西部卢维人的阿尔萨瓦帝国,在此之前,后者曾与哈梯并肩称雄。到公元前13世纪初,赫梯已成长为一个完全可以与埃及相抗衡的大国。拉美西斯二世(约公元前1290-前1224年在位)和苏皮卢利乌马斯的孙子穆瓦塔利斯(约前1306-前1282年在位)为了争夺叙利亚的控制权而诉诸战争。赫梯在大约公元前1286-前1285年卡叠什战役的胜利中未获得什么实在的成果。交战的两个大国终于意识到双方没有力量再继续打下去,因为他们感受到了正面临着共同的敌人力量在不断增长的威胁。所以,公元前1270年两国订立停战协定瓜分了叙利亚。可惜,他们的醒悟为时已晚,东方的亚述坐收渔翁之利;西方又崛起了新的侵略势力:迈锡尼人和大量永不安宁而又性喜流动的”海上民族”。

    公元前20-前19世纪,亚述人一直征战不休,最终为米坦尼人民族大迁徙的洪水淹没。阿苏鲁巴利特一世(约公元前1365-前1330年或前1356-前1320年在位)当政时,亚述人重以富于侵略性的黩武主义形象闻名于世,到处推行新的残酷统治。阿达德-尼拉里一世(约公元前1307-前1275年在位)和撤缦以色一世(约公元前1274-前1245年在位)越过美索不达米亚侵入卡赫美士。图库尔蒂-尼努尔塔一世(约公元前1244-前1208年或前1234-前1197年或前1230-前1198年在位)一度占领了巴比伦。然而,还未等亚述人向西越过幼发拉底河就遇到了13世纪开始的新一轮民族大迁徙的冲击,匆忙回师防御。

    爱琴海流域的米诺斯文明不仅从灾难中恢复过来(这场灾难发生于约公元前1750-前1700年,克里特岛上的宫殿毁于一旦),而且到公元前一千纪的第三至五世纪中趋于全盛。这段历史被称为中期米诺斯文化的第三阶段和晚期米诺斯文化的第一阶段。而希腊大陆的情形略有不同,约公元前1900年,蛮族的入侵无疑延缓了那里区域文明的诞生,不过或许正是这些蛮族带来了希腊语言。在随后3个世纪的历史进程中,克里特,这个未经战乱骚扰的幸运之岛,文化发展的速度远远超过了大陆,以致到了公元前17世纪末16世纪初,大陆突然开始吸吮米诺斯文明的艺术乳汁。

    这次吸吮经历的时间如此之长以至于可以肯定,大陆在文化上将为米诺斯社会完全同化,犹如公元前三千纪阿卡德为苏美尔所同化一样。然而,希腊大陆保持了自身文化的鲜明个性,犹如小亚细亚吸收了苏美尔和阿卡德足够的文化养料而又维护了自己的形象一样。大陆上的迈锡尼文明(如此命名是由于迈锡尼是这一文明中最光辉夺目的典型)与步入晚期第一阶段的米诺斯文明并肩发展。约在公元前1480-前1450年,前者征服了后者。

    米诺斯文明又一次从灾难(约前1500年锡拉(桑托林)岛火山的剧烈喷发)中幸存下来。火山喷发前夕,该岛已为地震所扰。克里特岛的东、北海岸都感受到了喷发(而非以前那场地震)的影响;但以后克里特(约公元前1480-前1450年)经受的灾难更为严重。考古学证据表明,后来的这次灾难是人为造成的。灾难之中,克里特最主要的克诺索斯的宫殿为之废弃,其他宫殿则被摧毁殆尽。在克诺索斯,灾难的直接后果就是一种地方性文化的诞生,即所谓的晚期米诺斯文化第二阶段。克里特岛的其他地方没有共享这一文化。从发现的废弃兵器来判断,地方性的克诺索斯文化具有浓厚的黩武主义色彩,这里的陶器则具有迈锡尼风格。考古学证据表明,大约公元前1480-前1450年,迈锡尼人侵占了克诺索斯并用它作为袭击和抢劫米诺斯文明其他地区的军事基地。

    以上只是爱琴海地区居民在随后3个世纪所遭受的一系列人为灾难的开端。公元前1400年之后不久,克诺索斯的宫殿可能又遭到来自大陆的迈锡尼侵略者的洗劫。如果流传至古希腊时代的传说有些许真实的话,那么就可以判断,几乎与此同时或晚些时候,迈锡尼人的底比斯(此为希腊城市)宫殿在一次内战中亦遭毁坏。尽管灾难连绵,迈锡尼文明在公元前14世纪依然走向繁荣。或许,公元前1480-前1450年征服克诺索斯的结果是一种自成音节的语音符号–即所谓的乙种线形文字,成了迈锡尼时代希腊语的表达方式。可以说,这是对克里特线形文字的直接模仿。线形文字是米诺斯人发明的一种表达自己感情的语言符号,至今未能为人识读。迈锡尼工匠的技艺完全具备了米诺斯前辈的水平。他们建造了许多”蜂房”式陵墓,在砖石建筑方面竭力仿效埃及人的技术和精确性。公元前14、13世纪,迈锡尼的国际贸易范围相当广泛,东至叙利亚北部沿海地区的乌加里特,西达西西里,南抵埃及。他们既从事贸易又不放弃抢劫,视哪种行为更能获利而定。公元前13世纪,迈锡尼人的黩武主义更为变本加厉,他们对希腊东部的宫殿,例如,迈锡尼本身、阿尔戈利斯海湾的梯林斯以及雅典卫城,都进行了大规模的加固,为要塞守卫者精心设计了一套供水系统以备要塞遭到围困之需。这100年间,人为的灾难频频光临爱琴海东岸。约公元前1260年,特洛伊为入侵者摧毁;在它的南方,赫梯帝国陷入困境。赫梯人发现,倾覆可与之匹敌的阿尔萨瓦帝国并非难事,而对其领土加以有效的控制却显得力不从心。赫梯在小亚细亚西部的统治遇到了来自两方面的挑战,一是当地居民的持续反抗,二是迈锡尼人的不断侵袭。赫梯帝国,以及希腊大陆和克里特岛的迈锡尼统治者都仿效苏美尔-阿卡德和埃及模式,建立了复杂的行政管理机构,这需要一定的阅读和写作能力来维持。可以推测,在小亚细亚和希腊,由于有文化的阶层只是极少数,致使这种官僚机构变成了经济基础的沉重负担,以至于如果不持续不断的强化效率,官僚机构就会停止运转。公元前13世纪的埃及与苏美尔-阿卡德文明世界的西部都正酝酿着新的风暴。印度的状况暂时还不引人注目。考古学证据仍无法断定印度河文明何时为操原始梵语的民族所征服。如果这些人是公元前18世纪来自欧亚大平原,那么,他们就应该象迅速席卷巴比伦和美索不达米亚那样早已踏上印度大地。不过,也可能他们在寻找从乌浒河-药杀水河流域跨越兴都库什山到达印度河流域的路线时,花费了若干世纪的时间。

    中国的区域文明(被称为商朝,别名殷)诞生于大约公元前1500年。它的某些特征源于这一地区新石器时代文化的晚期(即龙山黑陶阶段)。与西南亚的新月沃地和埃及不同,中国文明的兴起没有伴随着定居地的变动。如同地中海东部一样,中国的新石器文化依赖于降雨对农作物的灌溉,它的所在地都是地势相对较高的风化黄土地带,包括甘肃、黄河的支流渭河流域以及东部的黄河与汉水、淮河间的广大地区,这也正是龙山新石器文化后裔商文明的所在地。中国文明的开拓者们并没有开发河谷底部的冲积层土壤以供耕种和居住之用。直到中国的古老文明升起于地平线1000年左右,苏美尔和埃及类型的治水方式才成为中国经济的显著特征。

    东方的商文明及其前身黄河流域的新石器时代文化,并不象苏美尔文明与前身美索不达米亚和伊朗西部的新石器时代文化那样有过明显的断层。不过,两大文明都有一些共同或类似的新趋势。与苏美尔一样,中国由新石器时代向文明时代过渡的历程,伴随着统治集团与臣民阶层财富和权利的严重分化。安阳(商朝的最后一个都城城址)的帝王陵墓与乌尔第一王朝的陵墓有相似之处,尽管后者要早1000多年。商陵建构宏大,并拥有奢侈的殉葬品,其中包括人殉。冲积层被开发成耕地推动了苏美尔社会财富的不断集聚,也使得极少数统治者能够获得穷奢极欲的享受和陪葬。中国社会也出现了同样邪恶的趋势,而整个社会经济资源却没有任何同步的增长。

    中国文明破晓之际,也曾出现过一系列创新,这使我们回忆起伴随印度河文明和埃及文明陡然诞生而具有的新意。中国也不例外,这些创新萌芽的突发性,似乎预示着那里的文明同样是在域外文明的刺激下产生的,从而与苏美尔文明显著的自发进化形成鲜明的对比。

    一项突发性的创新就是马拉战车的使用。毋庸置疑,这是在公元前18世纪或稍后一些时候由欧亚大平原传入中国商朝的。第二项创新是一种文字符号的应用,即中国商代文字的发明。它是中国古典文字的先驱。正如埃及象形文字的起源一样,商代文字肯定也受到苏美尔文字的影响。当然,这种影响很可能既细微难辨又比较间接。中国文字还有一个特点与埃及象形文字相似,即它有自己的独特风格,但文字的结构来自苏美尔语,这种结构(对表意符号和音素的共同使用既缺乏逻辑又显得笨拙)过于罕见以至于可以肯定,它是在三个不同的地点独立发展成形的。中国古代文明初创时期的第三项突发性创新是青铜工具的使用,包括投掷器、武器和祭器等。制造青铜器的技艺也无疑源自西方。商代青铜器就象其文字一样,带有典型的中国特色;青铜器皿设计精巧,显示了高超的工艺。当然,我们可以想象,中国青铜器或许在新石器时代就已有木制原型,只不过这种原型在今天已无迹可寻。但是,这一假设仅能解释手工制作风格的源头,而冶金技术的突然获得则仍然是一个谜。

    商代青铜器的构成元素中,锡的含量较高(17%)。距离黄河流域最近的锡、铜产地是马来亚和云南;但熔合锡铜和铸造合金制品的技术不可能由南方传入黄河流域。东南亚最早的青铜器文化(称之谓”东山文化”,位于越南北方)也不会早于公元前最后一千纪的后半期。暂且不论铜锡合铸技术来自何方,而此时的铜、锡却早已输入黄河流域为中国所用了。亚洲的热带地区很可能是中国商代的金属来源地。因为,商文明除了具有其前身中国北方新石器时代文化的特征,具有经由欧亚太平原传入中国北部的西方文化特征之外,还含有一定的热带文化血统。中国的商代主要种植小麦、谷子和水稻;饲养的畜类除了普通的家畜外,还有水牛和一种南方品种的猪。

    可以肯定,水牛和水稻最早是在一些热带沼泽地区进化出来的;这一地区的文化与商文明以前的新石器时代文化同等重要。但似乎没有任何证据表明,从亚洲的热带地区到黄河流域的南方存在着一种与中国新石器时代文化相类似的文化。从地理位置上看,距黄河流域最近的地域文明是印度河文明。但印度河流域和黄河流域不仅相距遥远,而且为重山峻岭所隔绝。此外,印度河文明是否向东部和南部扩展到了印度那些现在以水稻(而不是小麦)为主要农作物的地区,此点至今无据可考。

    因此,商文明中热带血统的渊源仍属不解之谜。根据中国的传说,如今地处中国境内的黄河流域以南的地区,更不必说越南境内,都仅仅是通过被汉人同化的方式接受文明的,一方面是本民族居民的吸收,一方面是中国北方移民的渗透。不可否认,这一传说只是中国文化偏见的反映。公元19世纪,长江流域南部人迹罕至的高原地区发现了一些幸存下来而又在文化上尚未被同化的原始部落,从而为我的结论提供了证据。此外,当代中国南疆与东南亚邻国的交界地区还发现了其他幸存下来的原始民族。不过,最早培育出水稻、驯化了水牛的地区依然无法确定。商文明在中国黄河流域崛起的同时,中美洲地区的文化开始步入早期”形成”阶段。如果把农业的开创,而不是磨制石器技术的发明,视为新石器时代的突出成果,那么,我们就可以把这一时期与旧大陆的新石器时代同等对待。时至公元前1500年,中美洲民族已由主要依靠采集食物和打猎为生的”上古时代”,跨入一个新时代,即所谓”形成期”,人们已开始以农业为生。几乎可以肯定,玉米的进化是哥伦布到达之前的美洲大陆居民独自完成的。直到欧洲人横越大西洋踏上新大陆将玉米运回欧洲时,玉米的名字才为旧大陆所知。然而,在一种农作物的进化到以种植这种农作物为主要生计的经济体制确立之间,似乎存在着一种时间滞差,而旧大陆经济史中则没有这样的时期。旧大陆由食物采集向以农业为生的转变紧随培育技术的获得而迅速完成,没有时间滞差的迹象。中美洲地区的时滞至少为1000年,甚至可能是2500年。同一历史时代何以会有两种不同的发展步调,令人迷惑不解。正是这种情形导致了哥伦布到达之前的美洲文明在经济、技术上的相对落后。

    第十四章 旧大陆的民族大迁徙

    (约公元前1250-前950年)

    公元前1250-前950年间,旧大陆所有区域文明,从爱琴海流域的米诺斯和美索不达米亚到黄河流域的商朝,都遭到了蛮族的强烈冲击,从而导致了大规模的人口流动。甚至有些曾被成功地击退了的入侵者,最终仍以”和平渗透”的方式赢得了此前以武力无法获取的地区。结果造成旧大陆区域文明版图的巨大变动。最古老的文明衰落下去,一些年轻的文明为之毁灭,几个新的文明在两次大劫难涉及不到的地理间隙中崛起于世。这次民族大迁徙的影响远比公元前18世纪那次更富于革命性。

    我们在埃及发现了有关公元前1250-前950年民族大迁徙同时代的文献记录。此可谓独一无二的证据。它指点了其他地区民族大迁徙缘由后果的迷津。爱琴海地区的考古学证据与埃及的文献记录比较一致,与后者相似的是,它也属于同时代的证据;不同的是,它是默默无言的。埃及的文献提供了关于民族迁移日期和迁移民族名称的信息,而这根本无法从爱琴海地区陶器的时序、人为毁灭的遗迹中推断出来。对于遥远的东方民族大迁徙的历史,埃及文献也投射了耀目的光芒,但已非往日那样明亮。

    大约公元前1220年,利比亚人联合了美舍韦舍以及其他柏柏尔民族,在5个”海上民族”的援助下,从西面袭击了埃及并抵达了三角洲的西北角,后为法老迈尔奈普塔(约公元前1224-前1214年在位)击溃。这不只是一场抢掠,甚至也不纯是一次军事侵略,它是一次移民的尝试,因为入侵者都带着妻子儿女、家畜及他们的动产。作为5个被击溃民族之一的卢卡人,肯定来自小亚细亚西南部;还有一支为亚该亚人,他们不是来自希腊大陆就是克里特岛,至少有一支亚该亚人此时已在克里特岛上建立了自己的家园。其余3个”海上民族”是谢克勒什、沙尔丹和图尔沙。大约500年后,这3个民族以西库尔人、撒丁人和蒂尔塞诺伊人(埃特鲁斯坎人)的身份重新出现,而美舍韦舍人也以马克斯耶人的名字在现属突尼斯的地区重露锋芒。但是,这些民族在公元前最后一千纪时的西部定居地,很可能并不是公元前1220年进行大规模迁徙的大本营,他们最终的定居点多半只是在企图进入埃及建立自己家园的尝试失败后由移民修建的避难之地。

    在一篇纪念性的碑文中,迈尔奈普塔详述了自己的军事成就,不仅提到了击败利比亚人的辉煌成绩,还记录了一些珍贵的史实,如:”哈梯平安无事”;迦南遭到侵略,丢失了部分领土;以色列为蛮族洗劫;等等。这些记录表明,迈尔奈普塔时代,赫梯帝国尚未倾覆,而且还投有企图侵占公元前1270年停战协定中与埃及划分的叙利亚领土以外的地区。以色列的提及表明,从阿拉伯半岛向新月沃土的民族迁移业已开始。此次迁移运动不仅把以色列和犹大部族带入迦南,而且还将他们的闪米特语伙伴迦勒底人带进苏美尔的西南疆;另外一支闪米特语民族阿拉米人流动的范围更为广泛,向北远至今日土耳其大裂谷的北端,向东抵达亚述的西陲,东南到了底格里斯河东岸与伊朗高原西部之间的地带。

    大约公元前1194和1188年,埃及法老拉美西斯三世(约公元前1198-前1167年在位)曾两次挫败西方对于埃及的侵袭。这一次,柏柏尔人(利比亚人,马克斯耶以及其他部落)似乎没有得。到”海上民族”的援助。那些”海上民族”从东北方单独向埃及发起了进攻。他们仍是进行移民的尝试而非为了劫掠,从爱琴海及其岛屿(或许这并不是他们的最初大本营)的军事基地出发,水陆并进,穿过小亚细亚和叙利亚,循着这些地区的海岸,不停顿地出击。他们推翻了赫梯帝国,不仅洗劫了它的中心地区哈梯,还横扫了小亚细亚西部的阿尔萨瓦、科迪(西里西亚东部?)、幼发拉底河西部河套中的卡尔基米什以及阿拉西亚(塞浦路斯)。然后,他们在阿莫尔-可能是位于原属赫梯帝国的叙利亚领土南端的一个地区(与约公元前2000年出自阿拉伯半岛的阿莫里特人之名称有关)-建立了一个新的根据地,继续征战不已。

    拉美西斯三世为保卫埃及在叙利亚南部和巴勒斯坦的属地只进行了一次抵抗。此时此刻,以色列人和阿拉米人的移民或许已经在那里扎下了根。拉美西斯集中精力去对付”海上民族”的船队,他即位的第八年(即约公元前1191年),在三角洲的东北角取得了一次海战的胜利,挽救了埃及。但海上的惨败并未阻止”海上民族”自阿莫尔出发,沿陆路南下;也未能阻止他们在埃及亚洲属地的滨海沿岸永久地定居下来。公元前1191年,谢克勒什人仍象公元前1220年那样出现在”海上民族”中间,但它的盟友已与以前不同。此次同盟包括谢克勒什人、达努人(达瑙伊人)、吉克尔人(图科尔伊人)、帕勒塞特人(菲利士人)和韦舍什人(尚不确定)。达努人似乎已在西里西亚定居下来,吉克尔人在卡尔迈勒山南麓的多尔找到了居住地。而帕勒塞特人则沿着巴勒斯坦滨海最南部的狭长地带建立了5个城邦国家。

    约公元前1220年被迈尔奈普塔击退的迁移民族联盟的首领为利比亚人,他的名字被记录在埃及的文献中。不仅如此,埃及的记载还提供了公元前1188年率军侵埃而为拉美西斯三世打败的其他利比亚首领名字。摩西就是一个世人皆知的名字。根据以色列人的传说,正是他带领以色列人从埃及出发经过长途跋涉来到外约旦,这一事件成为以色列人征服叙利亚疆土的前奏曲,并最终如愿以偿。不过,即使有埃及文献的记载,也无法确认摩西其人的历史真实性。至少有两个名叫摩西的埃及人出现在公元前13世纪的埃及记载中。摩西的名字似乎是融合了几种以”mose”或”messe”结尾的神祗姓名字音后形成的缩写词。这两个构成要素加上词首往往是神的名字,为人熟知的有雅赫摩斯(阿莫西斯)、吐特摩西斯(图斯莫斯)、拉美西斯。以色列传说还称,摩西出生于埃及,信奉一神论。如果这一传说确有根据,那么,摩西的名字最可能的全称是阿吞-摩斯,因为阿吞崇拜是埃及法老时代记录下来唯一的一神教信仰。

    法老阿肯那顿的刑律废除之后,一个用太阳光盘混成的名字再也不会保证埃及任何国民免获罪罚。然而,据以色列人传说的描述,摩西在率领以色列人出埃及之前,曾在埃及政府管辖范围以外的地方,即埃及境外的一个地区生活过一段时间。如果确有此事,那么可以设想,阿肯那顿的宗教在那一地区得以幸存。以色列人的传说还把出埃及后的摩西描绘成以色列人和上帝耶和华进行交流的使者。据说,耶和华的名字在以前并不为以色列人所知,它代表的含义大概是”永生”或”生命赐予者”,这些恰恰是阿吞的属性。

    以上分析说明,摩西可能确有其人,就像已经得到证实的利比亚人马拉亚和麦什尔一样,他们与摩西情形相似并且很可能是同时代人。即使摩西没有带领以色列人出埃及,他本人也前能具有一定的埃及文化背景。尽管传说中关于摩西经历的描述某些方面闪耀着明显的传奇色彩,但他的真实性仍未受到怀疑;因为许多真实存在的著名历史人物都已逐渐成为民间的传奇式英雄。例如,无人会怀疑居鲁士二世-波斯阿契美尼德帝国创始人的真实性,但传说中称他幼年时期就以非凡的能力摆脱过一次又一次的意外生命危险。可见,居鲁士二世与摩西的幼年经历何其相似。

    埃及人使自己的祖国幸免于武力征服和占领,但付出了高昂的代价,国家已拖得精疲力竭。约在公元前1087年,埃及又分裂为两个国家(埃及衰弱的真正标志),一个仍以底比斯为首府,另一个则定都于三角洲东北部的塔尼斯。这里很可能是大约公元前1290年拉美西斯二世执政以来的军事行动中心。约在公元前1090年,底比斯政府派遣文?阿曼前往比布鲁斯采购木材。在这个与埃及已有2000年贸易关系的城市,埃及使者竟受到了屈辱性待遇。比布鲁斯国王直到接受了埃及塔尼斯政府(埃及的两个政府关系比较友好)的相应货物后才同意为文?阿曼砍伐黎巴嫩山上的树木。

    然而,埃及挫败利比亚人和”海上民族”军事入侵的最突出后果,是利比亚人通过”和平渗透”的渐进方式确立了对埃及的统治。约在公元前945年,新王朝(第二十二王朝)的法老加戴了双重王冠,称自己为”美舍韦舍之王”。我们无从知道这些人是否是公元前1220、前1194和前1188年捕获的战俘后裔,还是后来在埃及政府默许下和平进入埃及的利比亚人子孙。无论如何,看来大约在公元前945年美舍韦舍人对法老政权实现了和平”接管”。利比亚人的军队与埃及祭司集团达成了默契,利比亚人尊重埃及4个神庙直辖州的自治权,其中除了底比斯(大约自公元前1087年以来一直处在阿蒙-拉神大祭司的统治之下)外,还包括赫利奥波利斯、孟斐斯和勒托波利斯(它们三州分别由拉、卜塔和何露斯诸神的地方祭司所控制)。

    由此可见,埃及最终屈服于蛮族的民族大迁徙。利比亚人尝试武力征服时,曾至少3次被埃及人予以重创,可终于在埃及祭司集团配合下,建立了对埃及的统治,并在那里形成了一个军人阶层。在埃及,民族大迁徙的历史为同时代的文献所载。在其他地区,除了埃及文献曾提及的以外,同时代的证据都是考古发掘之物,而文字材料则都属于追溯性的,来源于传说;这些传说往往经过数代人的口头流传才形成文字。爱琴海地区的传说有许多方面与考古学证据不相符,从而产生了对传说的质疑;但考古学证据也并不能为我们提供正确、明晰的信息。约公元前1250-前950年爱琴海流域民族大迁徙的历史留下了许多疑团,迄今为止,考古学证据仍无能为力。

    一方面。考古学证据可以表明,公元前13世纪末,迈锡尼坚固宫殿的外围郊区曾屡遭洗劫:约公元前1200年,除了雅典卫城外,近锡尼所有宫殿都遇劫难;约前1150年迈锡尼再遭涂炭。另一方面,它又无法说明同一时期克里特或色萨利遇到的类似破坏和阿提卡东部、爱琴海诸岛承受的厄运。爱奥尼亚也未能幸免,邻近的伯罗奔尼撒半岛西北隅成了难民的避难所,这些难民把祖先的迈锡尼文化带到了那里。考古发掘材料显示,公元前12世纪期间,迈锡尼难民曾连续掀起征服塞浦路斯的浪潮。这与同时代的埃及文献记载略有不同。文献称,拉美西斯三世曾予以扼制的”海上民族”迁移运动,发端于爱琴海岛屿;他并不认为,这些岛屿本身是洗劫的目标,而是强调,塞浦路斯只是移民进军埃及沿途抢劫的国家之一。

    迈锡尼人曾摧毁了米诺斯文明,而如今迈锡尼人自己的文明也饱受涂炭。大约公元前1200年的剧变之后,爱琴海流域的文字失传。一种自成音节的文字兴起于塞浦路斯岛,这种文字即使不是直接源自爱琴海的线形文字,也肯定吸收了它的某些成分。新文字在塞浦路斯岛被用来传播希腊语言,而希腊语大概是由公元前12世纪迈锡尼时代的希腊移民带来的。当腓尼基字母引进岛时,这种文字仍然保留下来,直到公元前3世纪才结束了二者并行使用的历史。在克里特和希腊大陆,爱琴海文字则为人们永久地忘却了。时至公元20世纪的今天,人们发掘出了这些文字的原文,运用音节字的线形文字原文终获识读。然而,希腊在迈锡尼文明灭亡时丧失的文化财富决不仅仅只是文字;石工技术湮没无闻,制灯行业无人问津,包金材料消声匿迹,从米诺斯文明继承下来的精美服装式样也已弃而无用。文化财富之源枯竭殆尽。根据大量公元前13-前12世纪的居民点遗址判断,迈锡尼的整个范围内曾发生过人口急剧下降的现象,尽管由于难民的涌入而使个别地区人口有所增加。

    目前还未发现受到劫掠的地区为入侵者占领、难民大批逃亡的确切证据。如果入侵者就是那些”海上民族”,那么根据埃及文献所载,他们未曾停留便动身远征,劫掠东方和南方的其他地区去了。公元前12-前11世纪期间,伯罗奔尼撒的南部(麦西尼亚和拉科尼亚)似乎已完全沦为荒芜之地;劫后余生的迈锡尼文明已然是一种退化的文明。继此之后,一种具有鲜明特点的新兴文明又开始萌生于那曾哺育过迈锡尼文明的大地。

    考古发掘的材料证明,希腊移民对爱奥尼亚(位于小亚细盘西海岸的中部)的开拓始于公元前10世纪;但关于这些操希腊西北方言民族的到达则无证可查,据后人追忆,他们是多里安人,其进行迁移的证据是公元前最后一千纪希腊语世界的方言分布图。希腊西北方言的分布呈对角线形,由西北部的伊庇鲁斯到佐泽卡尼索斯群岛以及东南方的小亚细亚大陆西南隅。多立斯方言区的两边当时是另一种方言-阿卡多-塞浦路斯语的范围。这种非多立斯方言无疑是由迈锡尼时代的希腊难民带到塞浦路斯的;而且,肯定在阿卡狄亚流传下来,因为这个伯罗奔尼撒的心脏地带是一个天然的堡垒。公元前最后一千纪希腊的阿卡多-塞浦路斯方言,实际上相当近似于运用乙种线形文字的迈锡尼时代的希腊方言。

    操希腊西北方言的民族向东南方迁移绝不可能晚于公元前10世纪。这一地区虽经公元前1200年浩劫,但仍保存了迈锡尼时代的物质文明,并已为考古发掘的材料证实。不过,考古学的证据不能排除所谓多里安人的迁移运动早在公元前12世纪就已开始的可能性,蛮族入侵者也许因为吸收了文明臣民的物质文明而使他们自身的痕迹消失了。

    在爱琴海地区,约公元前1250-前950年民族大迁徙造成的危害最深。大量众所周知的例子表明,一个文明民族的语言文字总是在不断转换过程中形成的,但公元前1200年爱琴海地区文字本身的失传却是一件无可挽回的事件,它完全可以作为衡量这场浩劫影响程度的标志。小亚细亚文明的境遇要好得多。尽管赫梯帝国也象迈锡尼诸公国那样遭受了土崩瓦解的厄运。但其后继者在叙利亚北部(赫梯人早已从埃及人手中夺得控制权)所建的城邦国家却得以幸存。尽管他们不再用苏美尔文字来表述阿卡德语和印欧语系的赫梯语,但这些赫梯遗民仍继续使用卢维语的象形文字(这些文字发明于民族大迁徙以前的小亚细亚)。

    赫梯帝国的倾覆意义深远,具有世界性影响。它结束了以前关于制造锻铁技术传播的禁令。锻铁犹如青铜般坚硬,这种技术可能发源于小亚细亚。当希腊人开辟了通往黑海之路时,他们把此项发明归功于一个传奇式的民族-查利比人。他们居住在小亚细亚北部海岸。这里不属于赫梯帝国的范围,但赫梯人企图垄断这项发明,将其视为重要的国家机密。赫梯国王只是偶尔有选择地将一些铁制品赠予外国统治者;直到赫梯帝国灭亡时,外部世界仍把铁看作珍稀金属。

    事实上,制造坚硬熟铁武器和工具的技术比制造同样硬度青铜器的技术更复杂,比例也更难以掌握。使用铁的动机主要是由于铁矿石几乎到处都可找到,可谓俯拾皆是(当然,底格里斯-幼发拉底河流域的冲积盆地是明显的例外)。与铁矿石比较,铜矿石就少得多,锡则更为稀有。既然青铜为铜锡合金,那么,制造青铜的基本条件就是必须能够长距离地运送金属铸块。这鼓励了那些交通不畅的地区不断尝试以铁来代替青铜。

    以铁取代青铜发生于爱琴海,那里经受了公元前12世纪的频频灾难。既然爱琴海为小亚细亚之近邻,那么,早在公元前1050年雅典即开始使用铁制工具和武器也就不足为奇了。以后的2个世纪中,铁一直是那里最主要的制造业用金属;但随着交通状况的逐步好转,青铜又恢复了使用。这一时期,许多地方都是铁与青铜并用。然而,直到公元前7世纪,埃及才以铁取代铜作为制造工具的材料。埃及人赶走了”海上民族”,生活方式没有发生重大的变化;而且,自从经历了古王国解体后不久的那场革命后,埃及人的思想更趋于保守。法老时代的埃及比以后往何时期的任何地方都有更多的石料需要雕刻;然而,埃及人却使用非合金铜制工具从事大部分的石雕,甚至连对采用青铜也不感兴趣。黄河流域虽与地中海东部的最早文明发源地相距遥远,但中国人早在大约公元前15世纪就掌握了青铜器制造工艺,他们日益偏爱青铜制造业,而铜与锡的供应也源源不断。或许这在一定程度上可以解释为什么直到大约公元前4世纪中国才以铁取代青铜作为制造业的通用原料。

    公元前最后一千纪的小亚细亚方言分布图,显示了一条色雷斯-弗里吉亚语言的入侵地带,从西北向东南延伸,呈对角线形,与爱琴海流域希腊多立斯方言区的分布相像。这里从前流行的语言(包括卢维语和赫梯语)仍得以保存,分布在入侵语言地带的两侧,即叙利亚北部的赫梯语和小亚细亚西部的卢维语(包括吕基亚、卡里亚和吕底亚地区)。弗利吉亚人并非”海上民族”,它由色雷斯闯入小亚细亚,而不是来自爱琴海群岛,他们不过是占领了”海上民族”留下的空间而已。就像操多立斯语的希腊人的迁移时间一样,他们的迁移从何时开始也无法从考古学证据中得到说明。

    迦勒底人、以色列人和阿拉米人由阿拉伯半岛向新月沃土的迁移运动,似乎经历了漫长的历程。法老迈尔奈普塔时代结束前,即公元前1214年以前,以色列人就已在巴勒斯坦定居;而亚述国王提革拉-帕拉萨一世(约公元前1144-前1076年在位)当政时,阿拉米人仍未对美索不达米亚和叙利亚北部构成太大压力,这位国王还成功地进行过向地中海沿岸的远征。

    大约公元前1250-前950年的民族大迁徙并未使亚述遭受到严重打击,不再象公元前18世纪那样深受民族大迁徙之害。那一次,它臣服于米坦尼人的宗主权;这一次,它却保持了独立。在中止于公元前1291年的那次劫掠性大迁徙中,”海上民族”没有越过幼发拉底河;因为幼发拉底河与安蒂托罗斯和托罗斯山脉,构成了取道弗利吉亚进军亚述难以逾越的屏障。

    公元前1250-前950年期间的印度历史是一个未知数。操原始梵语的入侵者也许早在250年前就已到达印度河流域并摧毁了印度河文明,也许直到公元前1250年才进入印度河流域。如果是后者,那么,他们很可能为身后欧亚大平原进发的民族迁徙大潮所推动才奔往印度。

    黄河流域的商王朝为它以前的诸侯国之一–周取而代之;根据经典年表,时间为公元前1122年;另外一种比较慎重的估计,为公元前1027年,这也许更接近实际日期、周自黄河流域的渭河支流侵入中国北部平原地带,也就是说,在以往的年代里,中国也许从这个方向吸收了不少文化养料,此地经由欧亚大平原可通往西方。不过,考古学证据无法说明周到底带来了什么进步的文化创新。由商至周的政治变化没有像希腊迈锡尼诸公国灭亡那样导致文化发展链条的中断。周似乎也是中国人;而且,毋庸置疑,他们在推翻商王朝以前也完全属于中国文化范围。文字和青铜器制造技术随着政权的变换保存了下来并得以发展。

    而且,朝代的变更似乎没有引起中国社会政治结构任何直接的重大变化。代表商代政权特征的考古学证据不仅包括人工制品,还有名为甲骨文的文献。安阳遗址的发现表明,该王朝在定都安阳时期为黄河流域的主要政权。根据传说,安阳是商代5次迁都的最后一站。目前还没有发现可与之比拟的同时代文化遗址,换句话说,即还没有发现另外一个同样规模、可与之抗衡的政权。据分析,往南大约100英里的郑州遗址为商代早期都城。然而,甲骨文表明,商王朝处于敌人的威胁中,而且这种威胁确实存在过。

    考古学证据未能说明,商王朝直接控制的领土范围或它的政治影响范围究竟有多大;但有一点很清楚,商王朝没有建立起一套利于中央政府有效控制的地方行政管理机构,与公元前221年秦始皇实现中国政治统一后的中华帝国及其后继帝国有着明显的差异。统一了中国的诸侯国秦国国王赢政采用了”始皇帝”的称号,这是因为中国历史从未出现过一个拥有整个中国文明覆盖范围的中央集权型帝国。商代政权组织则属另外一种类型,与它的直接继任者有着更多的共同点,而中国传统的关于周王朝政权组织的描述则带有追溯的性质。

    公元前771年,周王朝受到一场无可弥补的灾难的打击,从此逐渐衰弱下去。不过,即使在此之前,甚至在早期,周政权直接统治的区域也很狭小。周政权很大程度上只是地方诸侯的盟主,这些诸侯约有七八十个,享有高度的自治权。与800年后秦始皇强加于中国社会的中央集权政体相比,周朝政权显得比较脆弱,即使在开国初期也是如此。另一方面,如果以其前辈商朝政权的标准来衡量,周朝政权可能还算强大些。周人在他们的时代确实控制了中国社会,尽管没有采取直接控制的方式。为周朝所取代的商朝统治者或许仅仅运用武力控制它的近邻政权,而没有使宗主国与其势力范围内的半独立政权之间的关系趋向制度化。对于那些半独立的政权,商王朝在不断地进行威胁的同时,又怀有一种内在的恐惧。

    第十五章 中美洲”奥尔梅克”文明的出现

    公元前约1250年至前950年的民族大迁徙。在西起地中海流域,东到黄河流域的整个旧大陆,都产生了如此巨大的扰乱作用,而美洲却未受到这次大迁徙的波及。但是,在同一时期,中美洲至少有一个地区发生了历史性的事变。公元前1250年左右,在文化的”形成”阶段(这一阶段的早期和中期在新大陆相当于旧大陆的”新石器”阶段),在今天叫作圣洛伦索的一片丛林覆盖的高原遗址上产生了一个文明。圣洛伦索俯临夸察夸尔科斯河谷,该河流经特万特佩克地峡北边进入墨西哥湾。这是迄今所发现的美洲最古老的文明的最早遗址。这一文明被现代发现者称之为’澳尔梅克”文明。

    圣洛伦索的奥尔梅克文明还没有文字,但它创造了大量的建筑和雕塑作品。在建筑方面,一个举行仪式的中心不断扩展,使大片地貌都被改观。圣洛伦索及其他一些晚期遗址上最有特色的奥尔梅克雕塑作品,是雕刻在花冈岩上的圆柱形的巨大人头像,这些花冈岩是从50多英里之外的采石场运到圣洛伦索的。这些物体是显示某种人类权威的明显标志。为了实现某个宗教目标,这一权威无疑可以大规模地动员技术和劳动力。奥尔梅克的至上神祗被塑造成一个介于人和美洲虎之间的怪物。对该神的崇拜显然是创造奥尔梅克物质成就的精神动力,我们可以猜想这些成就部分是虔信者的志愿工作。但我们还可以猜想它们部分是由在战争中被俘的非信仰者的强迫劳动创造出来的,因为奥尔梅克的圣洛伦索是被一场暴力毁坏的,它显然表明破坏者对该城怀有仇恨。圣洛伦索的奥尔梅克文明在约公元前1150年至前900年间达到鼎盛,其后便毁于暴力;而在更靠近墨西哥湾的其他地区,奥尔梅克文明从约公元前800年到前400年仍很繁荣,在它最终消失之前还对中美洲其他许多地区的文化产生了影响。

    奥尔梅克文明的后期发展以及与之相对应的安第斯山的”查文”文明将在第21章中阐述。不过我们在此应注意,在圣洛伦索所发掘出的奥尔梅克文明遗址有一些令人惊奇的特征。首先,仅仅在本地文化达到”形成”阶段约250年之后就出现了一个文明,这是非常惊人的,因为它在中美洲种植玉米的时期和在中美洲用耕种这种作物以代替采集与狩猪作为食物主要来源的时期之间(约公元前1500年),至少存在1000年,甚至可能接近2500年的时间差。其次,圣洛伦索遗址与后来发现的奥尔梅克文明的其他遗址不同,似乎还不仅仅是一个”仪式”中心,而且还是一个可能有上千名居民之多的永久性的居住地。第三,到公元前约1150-前900年,圣洛伦索的奥尔梅克文明在艺术和技术方面已达到极盛,并且在后来的衍生地区继续保持了其艺术和技术水平。与此同时,约在公元前1500年出现在中美洲的”形成”阶段的文化也开始向外,特别是向南传播。到公元前800年左右,当墨西哥湾沿岸的低地出现奥尔梅克文明,秘鲁出现查文文明之际,”形成”期的中美洲文化,包括制陶术和谷物种植,已经传遍了从中美洲到秘鲁在内的整个”核心美洲”。玉米在中美洲以南的”核心美洲”(包括秘鲁以及中美和今天的哥伦比亚、厄瓜多尔)的种植,几乎肯定是起源于中美洲,因为有证据表明,中美洲是最早种植玉米的地区。但是,无论玉米何时从中美洲传播到秘鲁北部海岸,都可以肯定秘鲁人当时已经为自己创造出了独立于中美洲和旧大陆的农业。秘鲁人种植的许多作物中有两种作物–马铃薯和昆诺阿藜,在秘鲁高原的最高处,甚至在高原山区的人工开垦的梯田上也可以种植。而在人类文明中心的其他地区.还没有在如此之高的地带从事农业的记录。

    第十六章 苏美尔-阿卡德世界与埃及

    (约公元前950-前745年)

    苏美尔-阿卡德和埃及文明在人类活动各个领域内的绝大部分成就,都是在早于公元前三千纪末叶的年代中取得的。到公元前2000年,他们已失去了作为旧大陆中仅有的两个文明的殊荣,在它们身边,其他的地区文明蓬勃兴起。同时,这两个最古老的文明却受到灾难的袭击。尽管如此,在公元前三千纪开始之前,它们又重新振兴起来。这种复苏显示出了一种坚韧和耐力,它使苏美尔-阿卡德文明一直保持到基督教时代开始之后,而法老埃及文明则一直持续到公元5世纪。

    在第十三章中,笔者已经提及,这两个古老的地区文明在促进地中海东部所有地区文明发展的相互关系时所起的作用,在新王国时期,法老埃及文明建成了一个世界性的帝国,这个帝国成了文化的熔炉。同一时期,用苏美尔文书表达的阿卡德语成为这样一种媒介物,它赋予源于苏美尔的文学作品以一种古典的形式,在这种形式之下,这些作品成为许多地区文化遗产的一个组成部分,它已远远超过了苏美尔-阿卡德世界的界限。比如,它已包括叙利亚和小亚细亚。与此同时,阿卡德语成为外交通信用语,不仅地中海东部各君主(包括埃及法老)之间用这种语言通信,连埃及政府与其在巴勒斯坦和叙利亚的附属国之间通信时,也使用这种语言。

    从政治上讲,在公元前1761-前1753年,汉穆拉比企图重建囊括整个苏美尔-阿卡德世界(包括亚述、马里和卡尔基米什在内)的大帝国,但很快就遭到失败。此后,苏美尔和阿卡德均受到削弱。埃及由于在公元前1220-前1188年间反击利比亚人和”海上民族”的入侵,最终在政治上也陷于虚弱。不过,在这两个古老地区的社会中,都各有一个远离中心地区的省份仍然生机盎然。我们已经注意到,在公元前18世纪曾被米坦尼人的民族大迁徙所吞没的亚述,到公元前14世纪,已作为一个军国主义强国再度崛起。在大约公元前1250-前950年间持续不断的民族大迁徙中,亚述虽然被迫再次集中全力于守势,却依然保持了其政治特色和独立地位。自从大约公元前932年到前745年,亚述再度对其邻国发动进攻,尽管当时的进攻尚没有帝国末期导致其灭亡的那种恶魔般的狂热和野蛮的暴行。帝国的最后阶段始于公元前745年提革拉-帕拉萨三世即位之际。

    大约从公元前932年到前745年这一阶段,无论是埃及文明还是苏美尔-阿卡德文明,都已不再成为文化创造活动的主要源泉,甚至已不再构成文化交流的主要部分。这时,新的地区文明开始继续扮演这一角色,它们都是从最近的民族大迁徙中脱颖而出的。这些新的地区文明是叙利亚文明,希腊化的希腊文明,吠陀时代的印度文明和中国文明。在中国,周代对商代的继承关系远远超过了位于其西部诸种新地区文明与它们的前辈之间的文化继承关系。不过,这两个最古老的文明尚未完全丧失其文化创造力。它们仍以诱人的魅力吸引着文化的皈依者。在公元前950年之后,埃及文明在尼罗河上游河谷很远的地区,即第三到第四瀑布之间,取得了一个新的文化省份。在同一时期,苏美尔-阿卡德文明也得到了一个新的文化省份,它位于凡湖、幼发拉底河上游两条支流同亚述、美索不达米亚低地及底格里斯河上游盆地隔开的分水岭以北。

    在埃及本土,科比亚人的第二十二王朝(约从公元前945年到前730年)和巴比伦尼亚的喀西特人的王朝以及在大约前1169年取代了喀西特人的土著巴比伦人王朝一样,都十分平淡无奇。利比亚法老们的唯一功绩就是偶然地对巴勒斯坦发动一次一无所获的突袭,然而,这正是原埃及新王国的边防重镇纳帕塔成为一个国家的政治、文化中心的时期。这个国家的国民并不是埃及人,其君主却是法老埃及宗教和其他法老文化虔诚的皈依者。沿尼罗河溯流而上,在纳帕塔以下,有一片肥沃的带状土地,至今,它仍在人工灌溉之下年年丰产。到公元前730年,这个农业基地已使库什人的纳帕塔王国人口众多,国力强盛,并已开始使其统治者产生了将直到尼罗河三角洲的整个埃及世界再度统一起来,由库什人的君主戴上双重王冠的梦想。

    苏美尔-阿卡德世界在公元前950年以后得到的新文化省份是乌拉尔图。我们已经谈到过它的地理位置。在公元前18世纪民族大迁徙时,胡里移民正是从这一地区下迁到新月沃地的。公元前最后一千纪的乌拉尔图人正是留居故里的胡里人的后裔,早在公元前9世纪,土著的乌拉尔图的胡里人各区就联合起来,它们组成了一个王国,定都于凡湖东岸的图施帕。我们可以猜测到,促成这个政治统一的动因是惧怕亚述人入侵。实际上,撒缦以色三世的确在其统治的第一年(在位期约公元前858年至前824年)便对乌拉尔图发动了入侵。从军事上讲,两国相比,亚述军队的组织更严密,装备更精良,不过亚述从未征服过乌拉尔图。到公元前612年,即尼尼微失守的当年,乌拉尔图仍存在于西南亚的政治版图上。

    地理位置可以解释乌拉尔图不向强国屈服的原因,这个强国在其崩溃前,向西南方已打入埃及,向东南方已攻入埃兰。乌拉尔图是个天险要地。从图施帕到阿舒尔(亚述几个首都中最古老的一个,位于帝国最南端)的直线距离,甚至要略近于阿舒尔到巴比伦的距离。可是,在陆地上,从阿舒尔可以取近路到巴比伦。而从阿舒尔却无法直通图施帕。

    一支以进攻图施帕为目标的亚述军队不可能到达大扎卜河上游地区,因为这里与凡湖盆地一样,也是个不可逾越的天险。它也不可能跨过凡湖南部作为分水岭的崇山峻岭。入侵图施帕的亚述军队只好首先向西北方、而不是正北方进发,翻过相对好走一些的山岭,从美索不达米亚进入底格里斯河上游盆地,然后再转向东北,越过漫长陡峭的关隘,经过比特利斯后,进入凡湖西北角,沿湖南岸的道路,即使在今日也是艰难异常的,一旦入侵者在这一地区再遇到军队阻击,该地更是令人望而生畏、危险之极。实际上,亚述入侵者只好选择这样一条路:沿湖的北岸和东岸前进,作一个更远的迁回,穿过更易通过的幼发拉底河上游南侧支流(今称穆拉特河)盆地中比较开化的地区。这便足以说明亚述军队只是偶尔到达图施帕,却从未能在那里停留的原因。另一方面,乌拉尔图的军队既受到面前崇山峻岭的屏卫,又受到邻近民族的欢迎(因为他们与乌拉尔图人一样,反对做亚述的臣民),这就足以挫败亚述军队越过高山,向东北进入伊朗,或向西北进入小亚细亚的任何企图。

    如上所述,在公元前最后一千纪,在亚述的几个对手之中,乌拉尔图是最有战斗力、最果敢的一个。另一方面,公元前9世纪,正值乌拉尔图开始遭受亚述人入侵之时,他们却自觉地接受了亚述文化。他们在刻写铭文时,从亚述译本的阿卡德版苏美尔文字来表达自己的胡里语。亚述是苏美尔和阿卡德的文化继承人,这笔丰富、古老的遗产使亚述在文化上极富魅力,虽然它本身令人厌恶。不过,乌拉尔图也不仅仅是外来文化的被动接受者,至少在一个重要的艺术领域–石建筑工艺中,乌拉尔图的石匠超过了他们的亚述师傅,其在精细程度上(而不是在规模上),几乎达到了埃及人的水平。

    对于亚述侵略者来讲,他们遇到的最薄弱的抵抗不在北边,也不在东边,而是在过美索不达米亚进入叙利亚的西线和进入巴比伦尼亚的南线。自公元前18世纪,即汉穆拉比使亚述俯首称臣之时起,巴比伦尼亚和亚述的军事由量对比就发生了转化。公元前14世纪以后,巴比伦尼亚在军事上已无法与亚述抗衡。但是,尽管亚述一直不断地对巴比伦尼亚发动战争,甚至在短期内曾占领过它(如亚述国王图库尔蒂-尼努尔塔时期),亚述人仍然相当尊敬巴比伦尼亚,并把它看作两国共同文化的发祥地。当然,这是在提革拉-帕拉萨三世即位(约在公元前745年)并将亚述的军国主义推进到残暴的最后阶段之前。

    公元前932-前745年期间,亚述把位于其西部疆界之外的地区作为发泄侵略欲的对象。公元前932-前859年期间,它征服了阿拉米人的社区,这些社区定居在幼发拉底河以东,正巧处在亚述领土的西部门口。公元前858-前856年,撒缦以色三世征服了比特-阿迪尼,使亚述军队得以进入叙利亚,比特-阿迪尼是横跨在幼发拉底河西边突出部的一个阿拉米人的国家。不过,叙利亚诸小国面临的共同危险使它们将彼此间的地区性冲突暂时搁置起来,公元前853年,撒缦以色在奥龙特斯河畔哈马以北的卡尔卡被叙利亚联军击败。他又在公元前849年、前848年和前845年几度入侵叙利亚,而反亚述联盟的破裂使他得以在公元前841重创大马士革,迫使大马士革过去的盟友承认亚述的宗主权。不过,在公元前831年,撒缦以色遭到乌拉尔图人的反抗。公元前827年,亚述国内发生了起义,一直持续到公元前822年。这场起义使他和他的继任者沙姆希-阿达德五世无法继续行动。乌拉尔图人在争夺叙利亚北部和西利西亚东部地区控制权的斗争中,在其国王阿尔吉什蒂一世(公元前785-前753年在位)领导下,已经联合成了一个强大的、富有竞争力的国家。乌拉尔图战胜了亚述。到公元前745年,这些战略要地已在乌拉尔图人的控制之下,而不复为亚述人所有。

    亚述人的这一失利意味着由撒缦以色三世首倡的,使亚述成为控制地中海东部地区强国的企图已告失败。尽管如此,亚述在公元前934-前853年间所发挥出来的军事力量仍然令人难忘。位于亚述本土,从底格里斯河左岸到扎格罗斯山脉西南山脚之间的富庶的带状农业区是亚述的经济基础。位于亚述心脏地区的这片肥田沃土的面积大于库什人军事力量的经济基础–纳帕塔周围的农业区,却远远小于巴比伦尼亚的耕作区。亚述人既不象巴比伦尼亚,也不象库什,它的农业主要是靠天吃饭,并不依靠水利灌溉。在西南亚,在开发底格里斯-幼发拉底两河流域下游冲积盆地前即已发明的,靠天吃饭的新石器时代农业定居点的所在地,正是后来成为亚述的那一地区。这一历史事实使人们不免发问,在底格里斯-幼发拉底两河上游盆地,先是从苏美尔到阿卡德,又从阿卡德到亚述,这种国家位置转移的因由是否正是灌溉系统遭到破坏?至少这是部分原因。因为灌溉系统曾使苏美尔和阿卡德过去的沼泽荒原变成良田。

    人或大自然都能破坏灌溉系统。地方社区间的争斗或外来势力的征服战争也会使它毁于一旦。另一种可能性,则是由于灌溉用水带来大量盐碱,或从下层土壤泛出盐碱,结果,大自然使人造的良田贫瘠化。大自然的这种恶作剧也已部分地破坏了现代灌溉工程,如在旁遮普和墨西哥。至于人类的丑行,自苏美尔-阿卡德历史开始的那一天起,这类记录便已不胜枚举了。在尼罗河谷地,大自然比在底格里斯-幼发拉底两河盆地表现得要有预见很多。直到公元1902年,即阿斯旺的第一座水坝竣工时,尼罗河的洪水每年都会给埃及带来新的、肥沃的淤泥,不论是大自然还是人类,都无力拒收这一赠礼。底格里斯-幼发拉底两河流域下游灌溉系统的人工性和脆弱性,是否正是苏美尔和阿卡德衰落及亚述崛起的原因?公元1258年蒙古人入侵伊拉克时,其灌溉系统的确变成了废墟,重建工作到第一次世界大战后才开始。不过,公元1258年这场突如其来的、人为的灾难来临之前,大自然的力量是否已经开始使伊拉克的农田逐步贫瘠化了?我们尚未有足够的证据足以回答这一问题,不过,下述事实肯定可以作为间接答案:在亚述崩溃之后,它的土地仍然相当肥沃,足以成为后来许多帝国的经济基础。这漫长的帝国系列,以亚述的迦勒底人后继国为起始,以包括巴比伦尼亚境外不那么肥沃的地区在内的阿拔斯王朝的哈里发帝国为终结。

    第十七章 叙利亚文明

    (约公元前1191-前745年)

    每一种人类文化一旦存在,必将对后来发生的历史事件不断产生影响,甚至在该文化消亡之后,其影响仍然发生着作用。苏美尔-阿卡德文明和法老埃及文明历久不衰的影响证明了这一论点。不过,已消亡了的文化所产生的影响是间接的。在仍然幸存的文明中,中国文明出现于公元前两千纪中叶,另一个文明–印度文明也许是在同一时代摧毁并取代了长期存在的印度河文明。在大约公元前1250-前950年民族大迁徙的废墟上崛起的新文明之中,希腊文明已经消失,不过,至今仍有两部分居民代表着与它同时存在过的叙利亚文明(包括该词地理意义上范围最广阔的所有地区),他们就是犹太人和撒马利亚人。

    犹太人不仅仅存活下来,而且,他们象中国人和印度人一样,也创造并保存了一种文学,据信,这一文学最古老的组成部分在公元前10世纪时即已被用文字记录下来了。迄今为止,在研究犹大和以色列、乃至整个叙利亚文明的宗教、社会、政治历史时,这部犹太文学大全仍是我们所能找到的内容最为丰富,也最为人所熟知的资料来源。独立于犹太人权威著作(用基督教术语来讲,就是《旧约》)的证据最近已被考古学家发掘出来了。虽然它颇具启发性,但是,其份量依然很小,而且内容支离破碎。相对而言,这部权威著作更详尽,而且是综合性的。没有它们,研究叙利亚文明史的人至今仍然会在暗中摸索。不过,如果人们只看到其表面的价值,那么这个必不可少的资料来源就会导致错误。这是因为,这部著作仅仅是从叙利亚文明中两个社区的角度来叙述事件发展的,而且,还因为这些有倾向性的描述也并不是原版作品。自《旧约》最古老的版本问世那一天起,犹太人的宗教经历了许多变化,在日积月累之中,这些变化已成为革命性的。《旧约》被一版再版地校定着,以适应这样一种理论,即宗教中发生的变化并非别出心裁,而是对原始信仰与实践的复归。

    因此,我们现在所能见到的这部文献对犹太人、以色列人本身以及其邻国人民(这一点更是不容置疑的)的叙述并不真实。通过仔细考察犹太人权威著作的”内部证据”,并将它与数量虽不大,却随考古学发掘的进展而仍有增长的证据相对照,也只能部分地修正这一叙述。对于那些已经消亡了的社区来讲,这个依然存在,而且垄断了叙述这一段故事权力(虽然故事本身的内容很值得争议)的社区,自然占有不可动摇的优势,因为那些已消亡了的社区没有能留下与之相抗衡的关于同一段历史的只言片语。如果能够找到腓尼基人和菲利士人留下的文献,无疑它们必然会与犹太人的文献大相径庭。

    我们现有的这些文献坚持的几个观点,连当初在叙利亚定居以及在那之后的以色列人和犹太人也难以接受。今天,也只有犹太教的正统信徒和它的两个女儿宗教–基督教和伊斯兰教的信徒才会坚持这些观点。第一个观点认为,犹太人的神极耶和华不仅存在,而且是一尊真神;第二个观点认为,耶和华选中以色列人作为他的特殊意义上的子民,他通过与以色列人订立一个或一系列契约而确认了这一选择。而以色列人及其祖先自亚伯拉罕时代(也许是公元前18世纪)起,便一直单一信奉耶和华了。虽然直到摩西时代(也许是公元前13世纪)耶和华才把自己的姓名昭示给他们。

    如果一个历史学家不是犹太教或其任何一种派生宗教的正统信徒,无论如何也不可能用这些观点来解释叙利亚文明史或人类与宇宙的历史。不过,非正统派的历史学家也要将《旧约》作为研究叙利亚文明史的主要资料来源。对这一阶段历史的叙述,不论是正统派的,还是非正统派的,都会引起争议。这是最不幸的一点,因为叙利亚历史的这一阶段将对几乎占人类半数的人群的历史产生深刻的影响。

    对于这段将由非正统派历史学家讲述的叙利亚文明史来说,这一段防止误解的说明是个必不可少的前言,因为他不能接受传统的正统观念,他必须尽量客观地观察事件的进程,他还要试着在不进行争论的情况下做出他自己的描述。

    在大约公元前1250-前950年的民族大迁徙中,叙利亚与小亚细亚、爱琴海地区一样,也经历了一场浩劫。在那里,物质上蒙受到的毁灭性损失和人口组成成份的变化是同样灾难性的。不过,在同时受到同一灾难的袭击之后,叙利亚比另外两个地区恢复得要快得多。在受到民族大迁徙的冲击之前,文明已在叙利亚深深地扎下了根。到那时为止,苏美尔-阿卡德文明和埃及文明对叙利亚的渗透已经历了将近2000年的时间,这两种外来影响的能量如此之大,以至于在埃及和巴比伦尼亚基本失去活力之前,叙利亚创造本土文明的能力一直受到压抑。不过,甚至在约公元前1250年之前,即在地中海东部地区大动荡开始之前,叙利亚已经开始显示出自身的创造力,它已迈出了发明字母文宇的第一步,这批字母历经种种变迁,到目前为止,已成为除东亚之外全世界都在使用的文字。

    大约在公元前1500年,甚至更早一些,在西奈半岛西部埃及矿井中的岩石上已出现了草体的所谓”西奈文书”。在叙利亚南部也发现了同样笔体的铭文。假设这种文书是字母文字并是闪米特语,人们试着识读了这些文字。不过,尚没有一种识读方法得到公认。如果的确能证明这种文字属于字母体系,那么,也许还能证明它是腓尼基字母和地处阿拉伯西南端的也门使用的南闪米特字母的共同祖先。

    西奈文书的一些字似乎受到埃及象形文字的启发,在公元前14世纪的前三分之一时间内,在靠近叙利亚海岸北端的乌加里特(今日的沙姆拉角),腓尼基人用他们的语言写下了自己的作品,他们用的是选自苏美尔-阿卡德表意文字和音素的巨大库存里的一些字组成的字母。经过大约公元前1250-前950年的民族大迁徙,腓尼基人在字母文字方面做的第一次尝试也荡然无存。用后来再次发明出的腓尼基字母写出了人们已知最早的铭文,它或许并不早于公元前11世纪,不过现代所有的字母文字均源于这种字母。经过第二次发明才得以成功的腓尼基字母受到埃及象形文字的启发,不少字母的名称和原型都能反映出这一点。如同前一批流产了的字母一样,腓尼基人在创造这些青史永垂的字母时,从表音与音素的混合文字中借用了不少字。不过,这两次,他们都是用一组借来的字代表一组音,其中包括腓尼基人自己使用的迦南闪米特语中所有的辅音音素。

    我们可以看到,正是操闪米特语的民族发明了字母。其原因何在呢?这些居住在新月沃地,操着闪米特语的民族保持了他们独立于苏美尔和法老埃及这两种古典文明的文化,虽然他们曾一度被苏美尔和法老埃及征服过。最早能够识文断字的操闪米特语的民族是阿卡德人,他们所处的地理位置使他们不可避免地要采用苏美尔字体并按苏美尔人的方式运用之。不过,对苏美尔语言结构来讲,由表意与音素合成的文字并不合适。闪米特语一个词的词根要包括一组三个辅音,通过加饰前缀和后缀插入或省略元音产生的各种变型,仍保持了其特点和排列顺序。闪米特语的语言结构要求发明一种文字,它既可代表每一个辅音字母,其总数又要限制在表示有限的发音组的小范围内。

    我们不知道住在卡尔迈勒山的旧石器时代穴居人讲什么语言,也不知道杰里科遗址的新石器时代的建造者讲什么语言,不过在叙利亚,没有任何痕迹能表明在闪米特语流行之前,这里还曾使用过别的语言。不讲闪米特语的民族的涌入(公元前18世纪的胡里人,公元前12世纪的菲利士人和赫梯难民),已被大批新涌入的讲闪米特语的民族(比如,在公元前三千纪末的讲阿莫里特语的、在公元前13世纪讲希伯来语和阿拉米语的民族)所抵销了。叙利亚闪米特语族中最古老的迦南语是极富感染力的。一些母语并非闪米特语的民族(如菲利士人)和一些母语是非迦南语的闪米特语族中其他语言的移民都采用了它。阿莫里特人以及后来的希伯来人(摩押人、亚扪人、以色列人、犹太人、埃多姆人)都讲起了迦南语,虽然追根溯源,希伯来人最初可能是讲一种与阿拉米语很接近的闪米特语。阿拉米人是在同一次民族大迁徙中进入叙利亚的。只有在叙利亚中、北部和美索不达米亚定居的阿拉米人对迦南语十分反感。他们很快就开始使用字母(已知最早的阿拉米铭文约出自公元前850年),但他们并不用它书写迦南语,而是用这些字母麦达他们自己的阿拉米语,尽管这些字母本来是被发明出来书写迦南语的。

    这样,在大约公元前1250-前950年的民族大迁徙之后,在叙利亚产生的文明有一个共同的特点:为表达各地的闪米特语族中的各种语言而采用了字母。其中,大约公元前950年到前745年期间,土生土长的迦南语仍保持了它的统治地位。叙利亚文明的另一个共同特点是它的宗教。早在公元前二千纪最后几个世纪之前,叙利亚已成为一个农业国,游牧民族的移民一旦在叙利亚土地上安居下来,便很快成为农业劳动者。现在认为,犹太人每年的礼拜仪式是为了纪念历史上的重大事件(包括真实的和传说的事件),不过,最初,这些节日有着庆祝一年一度、周而复始的农业社区劳动生活的痕迹。

    从根本上讲,农业既是一种宗教性的也是一种经济性的活动,农业宗教的主要目的是要使农作物和家畜丰收丰产,人丁兴旺。人类是与五谷六畜共存共生的,在全球多数农业社区中,刺激兴旺发达的一个良方就是和谐的性魔术。到公元前最后一千纪,叙利亚还在搞这种魔术。叙利亚和地中海东部各国共有的农业宗教的另一种表达方式是祭祀在丰收季节死去、在来年作物萌发时复生的神祗的神话和仪式。这位死而复生的神在苏美尔和阿卡德被称为坦木兹,在小亚细亚被称为阿提斯,在法老埃及被称为俄赛里斯,在叙利亚被称为阿多奈(”我主”),在公元前14世纪的乌加里特被称为巴力(亦为”主”的意思),关于这位生生化育之神的神话肯定有着共同的源流,因为这几个地区对这位神祗的描述十分相似,这一点绝非巧合。

    在时至今日的所有文明中,战争始终是奉献人类牺牲的主要形式。自从发明了飞机以来,军事行动的牺牲品已不再仅限于战死疆场的士兵和陷落城市中的平民。不过,不合逻辑的是,许多战功赫赫的武将居然对和平时期以平民作为牺牲品感到震惊。这些牺牲品要么是国王的仆人,被送去陪伴君王过死后的地下生活,要么是虔信者的长子,虔信者希望贡奉这种最高级的牺牲,从而迫使神祗满足他的一个祈望。在法老埃及,似乎从未存在过这种非军事的、以平民作牺牲的方式。在苏美尔,自乌尔第一王朝之后,屠杀国王奴仆的行为也停止了。在公元前最后一千纪的旧大陆,只有叙利亚及其海外拓殖地举行将孩子活活烧死的贡奉仪式。大约在公元前850年,当摩押人的国都被敌人的联军围困时,国王梅沙奉献了一个儿子。大约公元前735年,在同样情况下,犹太国王亚哈斯将其子活活烧死以奉献给耶和华。他的一个继承人玛拿西(公元前687/686-前642年在位)也做过同样的事。

    在这1000年中,叙利亚和地中海东部一些国家共有的另一个宗教现象是先知(希腊文”先知”是迦南词”那比”的转译,意为”宣道者”,而不是预言者,虽然先知传达的消息可能既是预言,也是指示)。最初,那比的言行是在一种昏乱、癫狂的状态下施行的。在叙利亚,有关这方面最早的记录是大约公元前1600年一个埃及使节文?阿曼在比布鲁斯的见闻。当比布鲁斯国王贡奉了一个牺牲之后,国王的一个仆人开始痉挛,他在这种不正常的心理状态下发出了一条命令,为文?阿曼的命运带来了新的转机。在公元前11世纪末,以色列的扫罗在其政治生涯的第一天仍然遇到了一群神智昏乱的先知,他终生未能摆脱这个事件给他心灵带来的创伤。在他的有生之年,昏乱癫狂的痉挛时时发作。

    无独有偶,希腊化世界也有在叙利亚出现的这种现象。皮西亚的先知与比布鲁斯国王身边的先知一样,他们在德尔斐发出预言。女巫在其他希腊化城邦扮演了类似的角色。一群先知在音乐的伴奏下东摇西摆,胡言乱语。曾对扫罗产生影响的可能是一群希腊酒鬼。叙利亚与爱琴海地区这种心理现象,也许共同来源于小亚细亚中部地区。在那里,在前基督教时代,一群赛比利女神(即阿提斯的母亲和妻子)的狂热信徒在音乐的伴奏下,迷乱地”发出预言”9在公元2世纪,有孟他努斯派祭司作预言;在伊斯兰教时代,有米列维托钵僧作预言,自公元13世纪起,他们一直在科尼亚活动,直到1925年被逐出土耳其为止。

    当叙利亚于公元前15世纪被并入埃及帝国时,它在政治上被分成许多小公园。大约公元前1250-前950年,作为民族大迁徙的第一个结果是,叙利亚在外族统治下表面上的政治统一被打破了。这时,埃及在南方的政治控制以及取代了埃及人的赫梯人在北方的政治控制,均被冲破了。叙利亚退回到政治上极度分裂的状态,甚至比埃及征服者图特摩斯三世统治以前的状态还要糟。民族大迁徙中在叙利亚定居的入侵者未能建立起一个统一的国家。比如,在沿海低地的南端,菲利士人建立了5个主权城邦国家;以色列人占领了高地,当地各个部落在心理上以崇拜民族之神耶和华的共同信仰而联合起来,在地理上,它们又被仍保持独立的、不可征服的迦南人的飞地所隔离。在中部沿海地区,古老的腓尼基诸城邦国家相对平安无事,在黎巴嫩山脉的屏卫下,它们未受入侵者的侵袭。那时,山上的森林还未被砍伐殆尽。在叙利亚北部,赫梯难民建立了几个相互独立的地方公国,当小亚细亚的赫梯帝国倾覆之后,赫梯的政治统一自然不复存在。由此可见,叙利亚文明是以政治分裂作为开端的。在公元前11、10世纪,当移民定居下来之后,曾两度试图自南端对叙利亚进行政治统一,均以失败告终。

    在公元前11世纪,菲利士人征服了高原上的以色列部落,他们装备精良,5个城邦国家协同作战。不过,由于人力不够,他们很难制服占领区的以色列人,因此,他们试图从精神上和物质上解除以色列人的武装。以色列人共同信仰耶和华的象征,也是他们笃信的该神力量的物质容器,是一口可以搬动的箱柜(”约柜”),这是以色列人历史上游牧阶段留下的文物。菲利士人得到了这个柜子,并把它带出以色列,可是,当它被运到家乡后,却在各个城市引起了剧烈的动乱。菲利士人马上又把它搬出了自己的领土。菲利士人从物质上解除以色列人武装的办法是,不许他们拥有铁匠。他们允许以色列人保留金属制造的农具(如果不允许以色列人使用金属农具,就不可能有效地在石质土壤上耕作,他们便无法从这里征收以农产品为形式的赋税),不过,他们强迫以色列入到菲利士人开的铁匠铺重新打制农具,以保证在以色列没有铁匠将农具改制成武器。对此,以色列诸部落的反应是:统一在一个国王–使雅悯支派的扫罗的指挥之下。对以色列人来讲,这是个有争议的政治革新,的确,统一之后,他们并未立即获得解放。扫罗在战斗中倒下了。后来,一支游击队的犹大支派领袖大卫,领导众人打败了菲利士人,并将他们逐出了以色列的领土。直到公元前743年亚述国王提革拉-帕拉萨三世占领了菲利士提亚之时,菲利士人才最终丧失了独立,不过,他们早已失去了将叙利亚统一在其政权之下的机会。

    犹大支派的人们在大卫领导下,暂时得以将整个南叙利亚(菲利士提亚除外),并由此向北一直远至前黎巴嫩山脉最北端的内陆,即大马士革以北地区都统一在他们的统治之下。大卫对菲利士人取得的决定性胜利,为他赢得了所有以色列支派的忠诚(以色列人在同意扫罗为王时,也就是默认了在政治上统一于一个王朝之下)。大卫对菲利士人的胜利也为他赢得了提尔的友谊(那些腓尼基人从来不喜欢他们的南方移民邻居菲利士人)。大卫征服了犹大人的同族希伯来人、埃多姆人、摩押人和亚们人。他还征服了两个阿拉米人的公国大马士革和佐巴,这使他又得到了北叙利亚最靠南方的一个由赫梯难民建立的哈马公国的友谊。

    大卫能够把王国传给儿子所罗门,父子二人的统治时期约从公元前1000年到前922年。不过,与以前的菲利士人的王国一样,犹大王国也只是昙花一现。犹大本土太小,文化上太落后,地理位置太不方便,不可能保持大卫所建立的功业。在所罗门生前,埃多姆和大马士革已相继起义。所罗门死后,非犹大支派的以色列人也脱离了犹大王国,建立了自己的国家,以色列王国虽然比犹大王国强大,但也尚未强大到足以阻止亚扪人和摩押人恢复独立的程度。结果,除犹大本土外,大卫和所罗门王国硕果仅存的、其犹大王国王位继承人能够保留的唯--块领土就是使雅悯支派最南端的一段狭长地带,外加迦南人的城市耶路撒冷。大卫生前占领了该城,并定都于此。

    大卫创建帝国所获的一个重要而持久的成果,就是迦南地区的犹太人与以色列人在政治、文化上的同化。这些地区都处于以色列人的部落之间,在此之前一直保持着各自的政治独立。在这些地区中,最重要的文化城市是犹大国的前杰布西特人的都城耶路撒冷,经济上最有价值的则是埃斯德赖隆平原,它成了以色列王国的经济心脏地区。也许在反抗菲利士入侵者时,那些生活在叙利亚内地的迦南人曾与以色列人并肩战斗,或许他们仅仅是被大卫建立的军事强国所压服,无论如何,大卫吞并这部分迦南人的领土、与独立的腓尼基的迦南人城邦国家构成缓和,为犹大人与以色列人的同化做了最后一项工作。从公元前10世纪起,以色列和犹太在叙利亚新型的后民族大迁徙社会中实现了彻底的合作,而今这一社会已变得与众不同。

    菲利士人和犹大人的帝国都不过是过眼烟云;与此同时,迦南人取得的文化、经济成就却是历久不衰的。当菲利士人和犹大人在为帝国兴衰而奋斗时,腓尼基人则正致力于字母系统的发明。由于生产出了不少供出口用的工艺品,他们还发展了一种混合型的经商艺术,其风格颇具埃及色彩。提尔国王希兰在工艺、技术上向所罗门提供了援助,这正是所罗门在耶路撒冷建造一座宏大的庙宇所需要的。两位国王还在印度洋上合作开辟了一条海上商路,它以所罗门在亚喀巴湾顶端的港口为基地。此时,阿拉伯人已经驯养了骆驼,这一时间晚于希伯来人和阿拉米人进入叙利亚的年代,不过骑骆驼的游牧民族冲出阿拉伯、侵袭叙利亚的有史可考的日期,肯定是在公元前11世纪初期。驯养了骆驼之后,阿拉伯大平原上的游牧民族在其定居的邻人眼中,比以往任何时候都更令人生畏。不过,正是驯养骆驼这一业绩使人们能更容易地穿越大平原,它的后果之一便是不断扩展了叙利亚文明的范围,使它越过了阿拉伯,一直到达半岛最南端富饶的高地。

    希兰和所罗门开辟通过红海进入印度洋的海上商路,从而使也门在文化上并入叙利亚一事成为定局。我们不知道示巴女王是否真的访问过所罗门,不过即使这个著名的故事并非史实,叙利亚和也门似乎仍是从公元前10世纪开始发展相互间关系的。显然,红海在长达2000年中一直作为埃及内海之后,它又成为叙利亚的内海。

    所罗门王国的分裂并未使后继诸国之间停止贸易往来。以色列王国和大马士革王国相互竞争,他们经常因外约旦的争议地区开战。这些战争都不是决定性的,胜利经常在双方间易位,战胜一方得到的奖赏便是在对方领土上建立永久的商贸关系。当大马士革占上风时,它强迫以色列在其都城撒马利亚为大马士革商人划出一个区域,后来,当以色列打败大马士革时,它也强迫大马士革为以色列商人划出一个区域。不过,所罗门王国分裂之后,从提尔到亚喀巴湾之角的可能性便很小了,这或许正是腓尼基人从地中海西部地区为海上扩张而寻找新的出海口的原因之一。

    在公元前10世纪末叶,以色列人和犹大人都开始创作书面文学作品,作品按迦南语的发音用腓尼基字母写成。犹太人的文献包括一大批种类各异的作品,其中包括神话、礼拜仪式、世俗诗歌、历史、法律、寓言格言、先知语录。关于大卫和所罗门行止的历史记述,显然是以几乎是随时写下的官方记录为基础的,先知的言论则可能是由其门徒笔录下来的,而非他本人亲自写成。像《以赛亚书》这样一部声望很高的箴言录,或许后来由许多快名作者假托先知之名不断加入新的内容。《托拉》的历史部分和先知箴言实际上是以色列人和犹太人的早期文学作品。不过,即使在先知言论的真实记录(基本是本人亲自写的)中,也有许多涉及到前以色列文学的内容。今天,其中的一些已重见天日。

    《托拉》中的一些神话源于苏美尔,如洪水的故事。它们是通过阿卡德人和迦南人传来的,所谓《摩西法典》,其实是苏美尔-阿卡德法律大全的翻版。迄今为止,人们已经发现了巴比伦、亚述、赫梯人的法律文件。巴比伦人的法律是由汉穆拉比编纂的法典。在乌加里特文书中发现的公元前14世纪的腓尼基文学作品可以证明,《诗篇》颇具迦南人赞美诗的古风,《箴言》的第八、九章也源于迦南。该篇中再现的其他箴言几乎一字不漏地抄自一部埃及著作《阿门内莫普的教诲》。这部《教诲》也许是受了更早一些时候同一类型埃及文学作品的影响,在公元前14世纪写出的。我们还可以猜测,是腓尼基人把这些埃及箴言传给以色列人的。边界基列①的以色列军队中策动了一场哗变,以反对亚哈的儿子纳兰国王。以利沙派他的一个门徒为一位地方长官耶户施徐油礼,使之成为国王。有了合法地位的耶户赶到耶斯列,约兰国王正在那里养伤。耶户杀死了约兰本人、他的母后耶洗别和已故国王亚哈家族的全体成员以及他的亲信,同时罹难的还有一些来访的犹大支派大卫家族的成员和所有信奉西顿之神巴力的以色列人。

    由以利沙策划的耶户”清洗”亚哈家族一事,证明了叙利亚先知的力量。对国王来说,这些先知令人望而生畏,他们的癫洗被看作是领受到神旨的象征,以至于一个敬先知如神的国王敢于冒天下之大不进。另一方面,先知也不惮于采取政治行动。以利沙在以色列策动起义之前,已在大马士革策动了一场革命。关于叙利亚先知最早的记载中(即大约公元前1060年文?阿曼在比布鲁斯的见闻),先知干涉了文?阿曼的事情。亚哈和耶洗别虽然用公共开支供养了一大批先知,仍然未能使信奉耶和华的先知们俯首称臣。一个叙利亚君王对于每个活着的先知是否都能听命于王权一事,总是没有太大把握。

    公元前11世纪,除去耶洗别事件中的西顿先知外,比布鲁斯先知是唯一的非以色列、非犹大先知,对于这些人,我们几乎一无所知。这是我们在研究叙利亚文明史时一个令人遗憾的学术上的断裂。在公元前11世纪以后,在以色列、犹太以外的叙利亚其他社区中;肯定仍然还有先知在活动。先知象商人、王室新娘、王室新娘故乡的神抵~样,可以跨越政治边界。虽然以利亚反对西顿先知在以色列活动,他本人却在西顿的领土扎勒法活动。边界基列的以色列军队中策动了一场哗变,以反对亚哈的儿子纳兰国王。以利沙派他的一个门徒为一位地方长官耶户施涂油礼,使之成为国王。有了合法地位的耶户赶到耶斯列,约兰国王正在那里养伤。耶户杀死了约兰本人、他的母后耶洗别和已故国王亚哈家族的全体成员以及他的亲信,同时罹难的还有一些来访的犹大支派大卫家族的成员和所有信奉西顿之神巴力的以色列人。

    由以利沙策划的耶户”清洗”亚哈家族一事,证明了叙利亚先知的力量。对国王来说,这些先知令人望而生畏,他们的癫狂被看作是领受到神旨的象征,以至于一个敬先知如神的国王敢于冒天下之大不韪。另一方面,先知也不惮于采取政治行动。以利沙在以色列策动起义之前,已在大马士革策动了一场革命。关于叙利亚先知最早的记载中(即大约公元前1060年文?阿曼在比布鲁斯的见闻),先知干涉了文?阿曼的事情。亚哈和耶洗别虽然用公共开支供养了一大批先知,仍然未能使信奉耶和华的先知们俯首称臣。一个叙利亚君王对于每个活着的先知是否都能听命于王权一事,总是没有太大把握。

    公元前11世纪,除去耶洗别事件中的西顿先知外,比布鲁斯先知是唯一的非以色列、非犹大先知,对于这些人,我们几乎一无所知。这是我们在研究叙利亚文明史时一个令人遗憾的学术上的断裂。在公元前11世纪以后,在以色列、犹太以外的叙利亚其他社区中;肯定仍然还有先知在活动。先知象商人、王室新娘、王室新娘故乡的神祗一样,可以跨越政治边界。虽然以利亚反对西顿先知在以色列活动,他本人却在西顿的领土扎勒法活动。以利沙还有权进入大马士革。阿摩司则是一个在以色列活动的犹大先知。

    显然,以利亚和亚哈之间的问题是宗教问题。在以色列,耶和华是否不仅对外国神祗有优先权,而且还受到排他性的膜拜呢?不过,公元前8世纪先知的著作表明,在这些宗教招牌下出现了经济、社会问题。叙利亚世界各国之间在各种水平上的相互关系日益活跃,其后果之一便是对叙利亚各国国内生活带来了压力与考验,因为这些国家在经济上、社会上都是”落后”的。在这类国家中,例如在以色列王国,当地的统治集团力图照搬腓尼基人的生活方式,即使商业对农业占优势,财富的权力对习惯的权力占优势。结果是,在以色列这类国家中,不利于占人口多数的穷人的财产分配,引起了一个几乎是革命性的变化。在先知阿摩司的著作中,这一点反映得很清楚。阿摩司活跃在公元前8世纪上半叶。

    到阿摩司活动的时代,腓尼基人第二个成就更激化了叙利亚世界的社会危机。在公元前11世纪,腓尼基人已发明了字母,在公元前827-前745年间,亚述人的入侵一度放慢了速度,腓尼基人便乘机开始与撒了岛、西北非和西班牙南部通商,并开始在地中海西侧盆地的南岸开发拓殖地。这个经济成果也许已给腓尼基各国招来了社会麻烦。阿摩司的著作则证明了以色列社会的大动乱。受到阿摩司痛斥的社会弊端也许正是以利亚反抗亚哈和耶洗别的原因之一,或许意味深长的是,以利亚的家乡是外约旦–这一地区的游牧习俗尚未完全被定居农业所压倒。在公元前9世纪,每一个蒂什比特人都会为耶斯列和撒马里亚感到震惊,更不用说提尔和西顿了。

    以色列、犹大先知的名言已被保存在有关宗教、国内社会正义、国际关系的著作中,这3个问题是一个问题衍生出来的几个方面。光阴荏苒,物换星移。难道我们应当使自己听任于这个我们所无法改变的令人痛苦的事实吗?

    第十八章 希腊文明

    (约公元前1050-前750年)

    在大约公元前750年以前的300年里,叙利亚人已经发明了字母系统。勘察并移民开拓了地中海西部沿岸,创作出了许多著名的文学作品,其中包括最古老的见诸于文字记录的先知箴言。即使希伯来人和阿拉米人在他们拓殖叙利亚时期还没有书面语言,那么在这之后,他们很快就从周围的迦南人那里接受了一种新的文字。从苏美尔手稿中我们可以得到证实,迦南人起初一直在使用阿卡德语,直到他们在一部为自己而创作的新的手稿中,才开始使用他们自己的语言。相比之下,希腊人在大约公元前1200年的大灾难之后,便显然停止使用乙种线形文字了,直到大约公元前750年前后,他们才从腓尼基人那里接受了字母系统。因而希腊人采用字母系统要比希伯来人和阿拉米人晚两个世纪。在大约450年中间,希腊人没有书面语言。

    从两种意义上说,这450年是爱琴海地区历史上的黑暗时代。它既没有留下本地语言的文字记录,与此前的米诺斯–迈锡尼时代和此后的希腊时代相比,其物质文化也处于一种衰败状态。插入那两个时代之间的这个黑暗年代中,希腊人在黑暗中摸索着走向希腊文明最终所达到的最卓越的成就。陶器制作中原几何和几何学风格的发展,奏响了希腊各种类型视觉艺术的序曲;希腊口述史诗的发展,开启了整个古希腊时代希腊文学和由此而产生的拉丁文学的序幕。在这个黑暗年代中,爱琴海地区城邦政治体制的发展,并非是希腊人的特殊贡献。早在2000年前的苏美尔,就已产生了城邦,而至少有一个叫作比布鲁斯的腓尼基城邦,其历史与尼浦尔、乌鲁克和乌尔同样的古老。尽管如此,城邦的特有形式却是在迈锡尼时代的国家衰落之后,在爱琴海经希腊人之手渐臻成熟的,这种形式最终成为整个地中海区乃至幼发拉底河以东地区的标准形式。

    迈锡尼时代乙种线形文字文献的释读,将迈锡尼时代与希腊时代希腊政治体制之间的巨大差异,展现在人们面前。迈锡尼时代的希腊国家,是苏美尔和阿卡德帝国以及法老埃及的微型复制品。它们由一个由受过教育的人组成的专业”机构”,实行官僚式的管理。但是,它们都过于小又过于贫穷,因而要支撑这套外来的上层行政机构,常感力不从心。这些臃肿的上层机构,明显成为它们衰落的原因之一。在它们的废墟之上建立起来的城邦,更适应于这个地区的经济现实。我们在整个希腊罗马的历史进程中所看到的那种典型的希腊城邦,是一种领土有限的小型农业公社,从位于中心区的市场和要塞步行到边境,大约只有半天的路程。这种公社在经济上基本上是自给自足的,它与外界维持着最低限度的贸易,其国内政府机构也很简单。最初,公共职务是不付报酬的,政治权力国此而被较为富有的土地所有者所把持。

    一个迈锡尼国家与一个古希腊城邦之间的区别是十分显著的,但是,就政治发展水平而言,却明显存在着历史递进关系。迈锡尼时代希腊的公共管理,似乎是对巴比伦、赫梯和法老埃及的刻意摹仿;希腊时代希腊的公共管理,看上去就像是该地区的政体形式自然而然地适应于当地的经济现实似的。另一方面,陶艺中原几何风格的出现,似乎又像是一种着意的新发展。陶艺装饰图案中采用的抽象格调,完全抛弃了米诺斯-迈锡尼陶艺的花纹图案中以植物和动物为主的传统。大约公元前1050年前后,原几何风格在雅典地区突然出现,并从这里迅速传向四方。不过,在希腊各地,这种原几何风格以及后来的几何风格,都明显地发展成为独立的地方风格,也是在公元1050年前后的雅典,与陶艺中采用原几何风格同样突然的是,土葬为火葬取代而成为标准的丧葬方式。在同一时期,铁取代了青铜而成为制造工具和武器的通用金属。这些技术和艺术风格的突然变化同时发生是引人注目的。难道这表明了一种人文的变化,抑或仅仅是一次时尚的变迁?迄今为止,对于这个颇有争议的问题,考古学尚未拿出可以得出最终答案的证据。

    原几何风格–这种陶艺装饰新风格的创造,或许是因为采用了把多枝画笔缚在圆规上的新技术所产生的。这种方法并不是雅典人的创造发明,其也许是雅典人从塞浦路斯人那里学来的,因为那时塞浦路斯与雅典地区相互间时有联系。尽管如此,制陶艺术中技术方面的原几何革命尚不是最重要的事情。更为重要的是美学上的革命性变化。原几何风格的雅典花瓶工匠和画匠,把花瓶的装饰与形状联系起来;在设计外形时,他们主要的关切点之一便是和谐;他们以高雅的方式表达出简洁的基调,从而创造出艺术效果。原几何和几何派希腊艺术的这三个与众不同的特点,在以后古希腊所有各个历史时期中,一直是古希腊所有艺术流派的共同特征,只是到了古希腊历史末期才有例外。希腊艺术家对于和谐的注重,可以通过原几何风格最后阶段中,他们用人体和马的图案装饰几何风格的花瓶这种创作思想得到阐明。当时,这种在雅典地区占据统治地位3个世纪之久的抽象风格,正受到叙利亚艺术作品影响的挑战,它们以人和动物的图案作装饰。显然,原几何风格的花瓶画匠们不愿意采用无论任何形式的生物图案,以免使他们设计中的和谐受到破坏。但是,他们最终还是采用了它们。他们把这些生物图案”几何化”了,以便使之与他们原先的格调相协调。这种抽象的生物图案的创作,恰恰证明了希腊艺术家们对于和谐的注重,而绝不是他们艺术才能低劣的证明。

    在视觉艺术以及雅典地区后迈锡尼黑暗时代的政治制度中。希腊人摈弃了迈锡尼传统,就像是陶工与他的同僚花瓶画匠故意与它决裂似的。黑暗时代的口述诗人也意识到了迈锡尼的传统;但他关注的并不是与之决裂,而是去维护它,因为他所能写入他诗歌中的社会背景不会让他的听众认为是不可理解的,而诗歌的听众们一代又一代地生活在一个缓慢而持续地变化着的社会中,在每一代人中,诗人的听众都既需要诗歌的古韵又要明白易懂,诗人必须同时满足这两种需要。诗人头脑中幻想出来的世界,是一系列真实世界的虚构混和体。诗人把迈锡尼生活的所有速进阶段,合并为一幅虚假的单一画面,他把这种只有部分真实性的迈锡尼传统的记述,与迈锡尼黑暗时代后继者的新一代人的生活风貌合而为一。这种作品是一种精心杰作。创作者必须富于创造才能,从这些互不相干的素材中,创作出使他的听众信服并乐于接受的和谐的艺术作品。

    这些对诗人艺术和心理能力的要求是难于对付的,而且诗人的创作任务还因严格的技术性问题而加重,因为他必须依据一套复杂的格律,即席创作诵读他的诗歌。诗人解决这一技术性问题的办法,是创作并熟记大量的格律定式。史诗中每一位英雄的名下,都有一个相应的韵律,这个韵律在希腊语名词的五种格的每种格里,都与这位英雄众多称号中的每一个相契合。这个技术性的方法,可以使一位诗人每逢盛大的场合,能献上格律正确的六韵步诗歌,使他在这种场合中得以扮演一个引人注目的角色。这些诗歌在每次演出时都是即兴创作的,但这些即兴创作诗歌的绝大多数韵律,却是预先构想的。无疑,一种新的韵律时常是在某次演出过程中创作出来,然后为同行们接受,加进大家共同的剧目中。但是,诗韵的即兴创作肯定要大大少于口头诗歌的即兴创作。诗人把原先创作并已熟记的韵律事先编排好,届时再用于诗歌的即兴创作。

    在到大约公元前750年为止的300年里,古希腊时代希腊口头诗歌、视觉艺术和政治制度的逐渐发展,若与希腊人同时期的叙利亚人在相同的300年间所取得的成就相比,则显得无足轻重。在后迈锡尼黑暗时代里,希腊人所取得的成就,其重要性只是在人们回顾起它所产生的结果时才显承出来。公元前8世纪间,叙利亚人就在遭受亚述军队最后的致命一击而被征服之前,把腓尼基人的字母系统传给了希腊人,从而使古希腊文明发生了突然的革命性飞跃。在这份厚礼之后接踵而来的是腓尼基人商业技艺的传输–希腊人和埃特鲁斯坎人学会了把某种贱金属溶入黄金的技艺。

    第十九章 印度文明

    (约公元前1000-前600年)

    我们已经谈到,在印度河文明时期的文字释读出来以前,我们对这种文明的了解完全依赖于一些不会说话的文物,对其年代的测定则取决于在伊拉克发现的印度河文明遗物,这些遗物在苏美尔-阿卡德文明废墟下埋藏的地层的年代是可以测定的,可以证明的是,印度河文明最晚在公元前1500年左右仍然存在,但这个最后年限是不确定的,我们也无法弄清继印度河文明之后出现的印度文明是从什么时候开始出现的。公元前6世纪’后半期以前的印度政治史没有留下什么记录,佛陀乔答摩?悉达多在世期间(约为公元前567-前487年间),这段历史的记载是附加在对佛陀生平的记载中的;而且这种记载在一定程度上与传说混在了一起。从印度河文明的衰落到佛陀的悟道成佛可能有1000年之久。能够说明这段历史的只有一些凤毛麟角的文物。这1000年印度世俗历史的考古学证据仅限于一些年代不同、时断时续的陶器碎片。

    相比之下,佛陀诞生以前时期的印度文明在宗教方面却拥有大量富于启发性的史料,而宗教是人类一切经历和活动中最为重要的一种。印度教经文的年代是很难确定的,在形成文字以前,它们不知道经过了多长时间的口头创造和传诵。但口头传诵可能是准确的,因为礼拜仪式是否灵验就取决于是否能够准确地引用经文。而且,尽管我们难以确定印度宗教文献的发展经历了多少年代,也难以推测其最早的流派出现于何时,但我们还是能够分清这些文献各种流派的先后次序。最早的流派文献是《吠陀》,这是一部在礼拜仪式上引用的圣歌和咒语的汇编。礼拜仪式包括仪式上的一些动作、姿态和套语。其后的流派是一部关于礼仪活动的专题论文汇编《梵书》。印度文献这两种最早的流派与其他地区没有什么区别。其他地区的古代社会也有类似的口头或书面的宗教文献。

    在这一时期,印度人主要关心的是劝服或迫使神祗实现崇拜者的愿望。印度人与赫梯人、希腊人和斯堪的纳维亚人一样将他们的神祗排列在众神殿内。这些印欧语系民族的众神殿可能都是从一种苏美尔模式起源的。对许多民族来说,按照正当的仪式对一系列神祗顶礼膜拜就是贯穿其宗教历史始终的内容。但在《森林书》和《奥义书》中,印度人却在进一步探讨人类在其中获得意识的宇宙的奥秘。他们扪心自问,终极客观实在的本质是什么?人类灵魂的本质是什么?人类灵魂与终极客观实在的关系又是什么?他们认为,灵魂(我)与宇宙中和宇宙之外的终极客观实在(梵)是不同的,通过反省就可以直觉到各种不同。这种直觉用3个梵文字眼来表达:Tattvamasi,即”那就是你”或”你就是那”–“你”就是一个灵魂,”那”就是终极客观实在。

    这已经是印度宗教的第二个阶段。它是第一个阶段的惊人后果。在第一个阶段,印度人关心的是宗教的外在方面;在第二个阶段,他们从膜拜仪式转向沉思冥想,而且,在对宇宙的精神领域的探索中,他们走得很远。

    我们可以通过一个个阶段积累下来的宗教经典追踪印度宗教的发展过程。每个阶段都把这些经典传给下一代。但对印度社会结构的发展只能通过一些并非当时留下的迹象来推测。印度社会独具特色的制度是种姓制度,现在译为”种姓”的梵文词汇”瓦尔那”意为”颜色”。这表明,种姓制度起源于操原始梵语的入侵者把自己与被征服的当地居民在种族上隔离开来的企图。当地居民在肤色以及风俗习惯上肯定都与入侵者不同,入侵者的种族隔离政策是很严厉的,我们可以推测,所以这样做,是因为”当地人”在数量上超过了入侵者,在文明程度上也远远地超过了他们。”当地人”是印度河文明的继承者,而入侵的雅利安人则是一种野蛮人。

    征服者使自己与被征服者保持严格隔离的企图,对占统治地位的雅利安社会内部的阶级结构产生了影响。雅利安人也象世界上其他很多民族一样分为3个阶层:武士、祭司和平民。与其他民族一样,这些雅利安人阶层是世袭的,但在雅利安人作为印度的统治种姓定居下来之后,其内部的阶层分化也变得与雅利安人和”当地人”之间的分化一样地极为严格。祭司(婆罗门)逐渐夺走了武士(刹帝利)的地位而成为最高阶层。由于武士阶层仍然掌握着财富和政治权力,这可以说是一个了不起的成就。因此,占统治地位的雅利安社会内部的阶层分化变得和统治社会与”当地人”之间的种姓分化一样一成不变,结果导致印度社会分化为4个种姓而不是2个种姓,最高的种姓是祭司而不是武士。随着印度社会的扩大,4个种姓中的每一个种姓又分成无数的亚种姓,这一方面是由于征服行为仍在继续,另一方面是由于”当地人”与4个基本种姓相结合而被其中的1个种姓同化。

    雅利安人从欧亚太平原进入印度之后的第一个落脚点,可能是印度河流域。《吠陀》一书中的地理资料似乎表明,在《吠陀》成书的时代,这一地区就是雅利安人的安身之处。到佛陀时代,印度世界的地理中心转移到朱木拿河–恒河流域中段。到公元2世纪,印度世界已经向南扩展到印度半岛,向东南扩展到现在的越南南部和印度尼西亚地区。印度文明的逐步扩张没有留下年代的记录。但有一件事是清楚的,即扩展得越远,同化的作用就越大,而征服和殖民的作用则越小。雅利安人的梵语及其派生语言从未传遍整个印度次大陆,而印度文明及其特有的制度,如种姓制度和梵语在祭祀中的使用却传播得更为广泛。当佛陀否定种姓制度并对不同于终极客观实在的灵魂的信仰发出挑战的时候,印度文明就诞生了一种广为流传的宗教,它迷住了整个东亚。

    第二十章 中国文明

    (公元前1027-前506年)

    周朝的统治延续了将近1000年,在前250年中,中华大地可能比此前的商代稳定得多,也显然比随后结束于公元前221年的5个世纪稳定得多。那一年,秦始皇实现了中国政治的真正统一。周朝统治的前250年中,有大约70到90个诸侯国。它对诸侯国的控制是松散的,但在事实上又是有效的。诸侯中有大约三分之二是周的同族男系亲属,而且周族的所有分支都感到有必要团结在一起,以维持他们对于被征服的商族和其他非周族部族的支配地位。然而,随着时间的推移,这些效忠周天子的动机逐渐减弱了,而且在周王朝公元前771年的灾难之后,诸侯便很难摆脱了控制。

    那个时期,由于再分封的进行,诸侯的数目增加到了大约300个。周天子权力和威望的丧失,使他们成了名义上的诸侯。实际上,他们的行为象国王一样,甚至相互争战。公元前8世纪末之前,诸侯国之间的战争就已开始,一直延续了500年之久。在中国历史上,这一时期战乱频繁,而此前和此后却是相对和平的时期。而且,这5个世纪中,前一段时间与后一段时间又有着显著的不同。

    公元前506年以前的2个世纪里,战争连绵不断,由于战胜国兼并被征服的诸侯国,中华大地上诸侯国的数目从大约300个减少到了不足20个,其中包括洛阳附近仍由周天子直接统辖的残留领地。这时的周天子,只是形式上的天下共主。然而,除了人口稀少,在诸侯争战的头两个世纪里,生活仍然是安定的。在这一阶段,武士们是使用战车进行战斗的贵族;他们的职业使他们面临着机遇和变化,但是,战争所得以进行的武士制度又使得他们难以利用这些机会和变化。农民是贵族之外唯一的社会等级,还没有征募他们去服兵役;而且,尽管他们没有多少机会进入生活不稳定的社会阶层,他们还是被牢牢地固着于自己的份地上,为了自己的生存,也为了武士领主而耕种土地。直到此时,中国的社会结构都建立于传统的身份制之上。直到此时,唯一的竞争还只是贵族之间的军事争斗。还没有任何经济竞争,尤其是土地还没有成为可以买卖的商品。

    公元前5世纪到前4世纪,中国的社会生活开始发生变化,不仅贵族的生活,而且全体人民的生活都变得没有保障了。孔子(公元前551-前479年)目睹了这一变迁的开端,他的哲学,以及他向弟子们传授的教义,都是最早的由中国社会变迁所引发的思想反映。

    商代中国与孔子时代的中国最重要的不同就是疆域的不同。在商代,中国的领域局限于北方的黄河下游平原以及黄河西岸渭河流域的关中地区。渭河是黄河的支流。到了公元前500年,中国的领土向南方和北方都有了拓展。在南面,它已包括了淮河流域和汉水流域,以及长江下游的低洼地区。这块南部新添领土上的土著居民不是中国社会的原有成员,但他们在种族上与中国人有相同的血缘关系,他们的母语与汉语有着密切的关系,而且他们一直采取中国人的生活方式。所以,他们日益卷入了中国的强权政治。同时发生的中国领土向北方和西北方的扩展,使得中国人与欧亚大平原上的游牧民族发生了直接的接触,在这里,中国人遇到了不可同化的异族。这些游牧民族不仅不讲汉语,而且有着与中国人不同的生活方式。到了中国的农民与欧亚大陆的游牧者相互发生冲撞的时期,两个社会之间不相容的生活方式已经变得凝固化了。

    第二十一章 中美洲文明和安第斯文明

    (约公元前800-前40O年)

    在第15章中我们已谈到了位于已知的最古老遗址圣洛伦索的中美洲奥尔梅克文明的历史。当这一文明在圣洛伦索毁于暴乱之后,它在靠近墨西哥湾海岸的两个地方继续保存了下来,一处是位于沼泽之中的一个小岛拉文他,另一处是位于热带雨林中的一片空地特雷斯萨波特斯。在这两地都重新出现了圣洛伦索的不朽建筑和艺术。

    拉文他同在它之前的圣洛伦索一样也毁于暴乱。奥尔梅克人显然是一群侵略成性的征服者,最终必然要招致野蛮的反击。与圣洛伦索不同,在拉文他和特雷斯萨波特斯,举行仪式的中心并不是有人居住的永久性的城市居住地。特雷斯萨波特斯存在的时间比拉文他长,中美洲最早的书写文字就是在该地发现的。这是一种象形文字,后来居住在危地马拉和尤卡坦的马雅人就使用这种文字。这些文字,包括特雷斯萨波特斯发现的那部分在内,有些是年代的记录,它们的数值已经被释读,但还不能肯定所有的中美洲象形文字都是记载年月的。其中有些字表示的可能不是数字而是仍然有待于释读的表意或表音符号。

    最早的安第斯文明大致与拉文他和特雷斯萨波特斯的奥尔梅克文明处在同一时期。这一安第斯文明产生于查文的核心美洲文化的”形成阶段”。查文位于安第斯世界中央高原的西北端。查文文明的外在明显标志是永久性的建筑和雕塑,它们与奥尔梅克文明中的建筑与雕塑一样,显然也是一种宗教的物质表现。与奥尔梅克文明同样,查文文明最有特色的象征性主题是一种介于美洲虎(在秘鲁或许是美洲狮)和人之间的怪物。这两个文明都同样具有这种猫科动物的艺术主题,两者显然是彼此独立地脱离了核心美洲文化的”形成阶段”,秘鲁、中美洲和两地之间的中南美洲地区都经历了这一阶段。但是这两地之间的地区并没有产生自己的本地文明,查文文明与奥尔梅克文明不仅在地理上互相隔绝,它们的风格和建筑也彼此不同。

    奥尔梅克人发明了一种无疑是表示日期、或许也表示观念和词汇的文字,不过还没有毫无争议的证据能证明在前皮萨罗的安第斯世界的任何部分已发明了文字。另一方面,安第斯各民族在查文时代至少已经掌握了一种金属即黄金的用法,而中美洲各民族在冶金方面似乎并没有独立的发明。他们是在中美洲历史的晚期阶段从安第斯世界学会冶金术的。

    据我们所知,查文文明与奥尔梅克文明从未互相接触过,但它们都从自己的发源地传播到自己”世界”的其他部分,尽管即使在自己”世界”的范围内它们也从未成为世界性的。奥尔梅克文明向西发展到墨西哥高原、向南发展到太平洋沿海平原和今属危地马拉的高地。查文文明从安第斯高地向西南发展到相邻的太平洋沿海平原,并经此向东南传播到太平洋沿岸一个又一个河流流域。奥尔梅克文明的传播至少是部分通过军事征服实现的。而同一时期查文文明的传播似乎是和平的。

    这两个文明的扩散,即使在各自的范围内,也是一个引人注目的成就,因为它们实际上是形成期中的核心美洲文化更早和更广泛的扩散。核心美洲的中美洲和安第斯地区文明兴起的一个原因是各种自然景观在整个核心美洲、特别是在这两个地区的同时存在、互相并存,但在构造、高度和气候上却又完全不同。

    大西洋和太平洋沿海低地的中美洲气候是热带气候,而在高原则是温带气候。在大西洋一边的墨西哥湾海岸周围和内陆低地,干旱的尤加坦半岛南部是危地马拉北部的热带雨林,西部和西北部是今日墨西哥的塔瓦斯科州和韦拉克鲁斯州,而在北部与这一沿海热带雨林地带接壤的是一条将其与德克萨斯沿海绿地隔开的沙漠。中美洲沙漠连绵于两个海岸之间,横卧在两海岸之间的高原上,只有在最西端的山脉东部山坡,才有一条狭窄的可耕地带。这块沙漠的高原部分还在接着从南墨西哥延伸到中美洲的适于农耕的高原。

    在安第斯地区,自然景观的差别更为明显。高原和突出在高原之上的山脉海拔更高;高原盆地之间彼此隔绝的情况比中美洲也更为突出。寒冷的洪堡冷潮与海岸线平行向北流动,它使秘鲁沿海平原气候温暖,同时也使它干旱无雨。结果沿海平原成了其间偶而间隔着一条条绿地的沙漠。这些绿地都分布在从安第斯山脉流向沿海的河流两岸,大部分河流都很短,水流量也有限。可以通过灌溉来尽力耕种这些河谷流域,但在另一方面,太平洋沿岸不可耕作的沙漠地带也可为贝类和鱼类采集者及渔民提供生计。这些彼此邻近但又多样化的地理环境为人类社会提供了机会,使人们能够找到不同的方式让非人的自然来为人类服务,这些不同的经济产生了不同的生活方式。它导致各社区之间建立起商业和文化联系,这些社区彼此存在很大差别,但互相又没有失去往来。这些联系在文化上具有推动作用。但它们在地理上又是困难的,因此中美洲和安第斯世界在哥伦布之前的文明史就是两个时期的不断交替:在第一个时期每一地区自然区划中的居民生活在相对隔绝的状态,而在第二个时期起源于某一地区的文明又传播到了其他地区。奥尔梅克文明和查文文明就是一种文化传播的最早的例子。在安第斯世界,反复出现的文化传播比中美洲文化相应的传播扩展得更远。考虑到安第斯世界中文化一致性和政治统一性的自然障碍更为巨大,这一成就的确是非凡的。

    第二十二章 亚述军国主义的最后一搏与同时期欧亚大平原上的异军突起

    (公元前745-前605年)

    公元前14世纪,亚述摆脱了米坦尼的统治,作为一个军国主义强国再度崛起。在随后的4个世纪中,亚述在既无目标又无建树的突袭之中发泄它的军国主义的狂热,但这类突袭根本不可能达到长久控制一个地区的目的。至少是在大约公元前1250-前950年间民族大迁徙的最后阶段,亚述的西线受到了阿拉米人的压力。阿拉米人定居在美索不达米亚过去属于米坦尼人的地区。直到大约公元前932年,亚述人才开始进行对外扩张战争。居住在美索不达米亚的阿拉米人成了它的第一批牺牲品。正如前文所述,在公元前932-前859年,亚述人征服并吞并了美索不达米亚的阿拉米人居住区。然后,撒缦以色三世在位时期,亚述在幼发拉底河向西拐弯处的西岸攫取了一块立足之地,并开始了对叙利亚的征服和吞并。但是,创建亚述帝国的第二阶段以失败告终。到公元前745年,亚述的西方占领区角度仅限于美索不达米亚一带。旧大陆交通网上的主要”环形路”之一–叙利亚北部已处于亚述的竞争对手、乌拉尔图的胡里帝国的控制之下。

    亚述人创建帝国的方法比起埃及人来要野蛮得多,也更具有破坏性。图特摩斯三世及其继承人满足于将其宗主权强加于被征服国之上。他们允许这些国家在埃及的控制下继续存在。亚述人则将被征服国居民中的精英放逐到亚述领土最偏远的角落,被放逐的人包括技艺高超的工匠、社会及政治统治集团成员。目不识丁的农民留在原地,从其他地方来的被放逐者与他们混居在一起。被征服国过去的领土和疆界均被废除,这些地区重新划分成人为拼凑的、划定边界的新省份,由亚述官员直接统治。设计这一整套严厉的措施是为了离间被征服的各个社区,抹去其居民过去作为独立国家公民的记忆。亚述的这种政策取得了相当大的成功。例如,公元前732年吞并的大马士革和公元前722年吞并的以色列均未能重新复兴,尽管在向亚述称臣之前,这两个叙利亚国家的人民曾均有极强的民族意识–这一点曾生动地表现在他们相互发动的战争中。

    不过,亚述人自己与其外国臣民一样,也成为创建亚述帝国行动的牺牲品。由于战争伤亡和向占领区的亚述人拓殖点移民、驻防(这是另一种形式的流放),亚述本土的人口大为减少。在亚述本上留下的空白地带则由外国的流放者来填补,结果,亚述核心地区的人口中有一半是阿拉米人。此外,由于总是为日益远离家乡的战争征募士兵,强加于亚述人民身上的社会压力终于引发了国内政治动乱。

    公元前824年,撒缦以色三世去世。从公元前827年到前822年期间,爆发了一场大规模的起义。在这次大动荡中,亚述城市阿舒尔、尼尼微、阿尔比勒与其他一些省份一同揭竿而起。公元前746年,当时的首都卡尔克胡(即卡拉)起义,国王阿舒尔尼拉里五世被杀。公元前745年,王位被一个不明国籍的人占据,他自称是提革拉一帕拉萨三世。公元前722年,提革拉一帕拉萨三世身后的继承人撒缦以色五世又被出身于另一个家族的国王所继承。这个家族拥有或自称拥有一个伟大的姓氏–萨尔贡。那是16个多世纪以前阿加德王朝缔造者的姓氏。在这个王位转换时期,尚无任何关于暴力革命的记载。不过,在犹大曾有这样的记录:辛那赫里布(萨尔贡之子)被他两个儿子中的一个杀害,这使他的另一个儿子以撒哈顿为保卫自己的王位继承权而发动了一场内战,萨尔贡的两个曾孙,亚述巴尼拔和他的兄弟沙马什?舒姆乌金也以兵戎相见。在这场战争(公元前654-前652年)中,已被立为巴比伦王储的亚述嫡派王子沙马什?舒姆乌金领导了一支被压迫民族的起义者联军。亚述巴尼拔于公元前626年去世,此后直至公元前605年,亚述王位一直在暴力斗争中反复易位。公元前605年,亚述帝国最后的残迹也被清扫殆尽。

    在亚述军国主义的最后一搏之中,提革拉一帕拉萨三世及其到亚述巴尼拔为止的所有王位继承人,都试图通过控制、吞并等手段,将其帝国扩展到整个文明中心。北方的乌拉尔图人、巴比伦尼亚的迦勒底人和阿拉米人部落的反抗,挫败了他们的图谋。亚述帝王们能够也确实一次次地挫败了这些对手,但未能使他们永远丧失战斗力。与此同时,从半岛崛起的阿拉伯人和从欧亚大平原上崛起的两个游牧(也许是讲伊朗语的)民族–辛梅里安人和西徐亚人,使亚述与其各地敌人的斗争更加复杂化了。

    提革拉一帕拉萨三世重建并再次扩张亚述帝国的举措就是进攻乌拉尔图。公元前744年,他入侵了乌拉尔图的东部属国;公元前743年,又入侵了它的西部属国。在第二次战役中,他重创国王萨尔杜里二世。公元前742-前740年,提革拉一帕拉萨征服了阿尔帕德(位于阿勒颇附近),这是叙利亚北部最强盛的国家,它的倾覆使一大批叙利亚及东西里西亚的国家暂时承认了亚述的宗主权。在公元前735年,提革拉一帕拉萨到达并围困了乌拉尔图的首都图施帕,不过他既未能占领该城,也未能永远地占有乌拉尔图本土上的任何一块领土。亚述人再度控制了叙利亚北部之后,亚述的宗主权又被强加在一批位于小亚细亚东部的公国头上。这也许是撒缦以色五世在位时期的事情(公元前727-前722年)。这些小国位于托罗斯山脉以北,幼发拉底河上游以西。这样一来,便有效地将乌拉尔图从西里西亚和叙利亚孤立出来。不过,为保证亚述能够控制如此遥远的属国,出现了巨大的压力。此外,还使亚述与位于其新的西北边界以西的弗利吉亚人进入短兵相接的状态,并使亚述的这些新对手与乌拉尔图恢复了友好关系。

    在公元前714年,萨尔贡在与此方向相反的地区向东北挺进,长驱直入地跨过扎格罗斯山脉,转向乌尔米耶湖东岸和凡湖北岸。在这次长途迂回行军中,他穿过底格里斯河上游地区,安然无恙地回到家乡。不过,与提革拉一帕拉萨三世一样,他不但未能在乌拉尔图争得一块立足之地,反而给图施帕周围留下了宽阔的安全带。到公元前605年,乌拉尔图依然存在。这一年,在巴比伦人与埃及人之间进行的卡尔基米什战役中,亚述被彻底消灭了。

    在公元前734年,提革拉一帕拉萨三世入侵菲利士提亚,从而将埃及同叙利亚完全隔绝开来。到公元前675年,叙利亚硕果仅存的独立国家只有2个腓尼基人的岛屿以及艾尔瓦德、提尔,个大陆公国–比布鲁斯、阿什克伦和犹大。亚述人于公元前673年围困提尔,公元前675年以撒哈顿入侵埃及(辛那赫里布在公元前700年入侵、但未能吞并犹大王国之际,已有此设想)。

    亚述人发现,打败与他们争夺对埃及控制权的竞争对手–纳帕塔人(库什人)是件轻而易举的事。纳帕塔人在公元前730年入侵埃及,大约自公元前711年起,他们声称已拥有两项王冠。公元661年,他们放弃了竞争。他们在埃及的统治声名狼藉,当亚述人与三角洲造反的土王们站在一起时,纳帕塔人根本不可能是这个联盟的对手。在公元前663年,亚述人将纳帕塔人赶向南方,并洗劫了底比斯。不过,同一年,亚述巴尼拔将处于埃及宗主权之下的埃及全境的管理权交给了一位来自三角洲地区的土王–萨姆提克一世。从公元前661/660年起,萨姆提克获得了法老的称号。到公元前655年,他开始对底比斯行使主权。公元前658-651年期间,他把亚述驻军赶出了埃及。亚述巴尼拔默认了这一事实。比起与纳帕塔的距离来,埃及距尼尼微更为遥远。经验说服了亚述人,也说服了库什人,以他们自己的军事力量永久占领埃及是不可能的,因为,他们必然会遇到无法克服的后勤供应上的困难。两个远离埃及的外国势力在这里斗争的最终受益者是埃及人自己。到公元前525年为止,在一又四分之一个世纪中,埃及人再次赢得了政治独立。

    对亚述来讲,军事占领埃及不必要地消耗了它的实力,它随后从这里撤军,既不会危及自身的安全,也不会损害它在西南亚的声望。使亚述的治国之才受到严峻考验的是亚述与巴比伦尼亚的关系。

    自从阿莫里特人的巴比伦帝国缔造者汉穆拉比暂时征服亚述,到提革拉一帕拉萨三世即位之时,已经过了1000多年。在这期间,苏美尔-阿卡德世界这两个主要国家之间的力量对比发生了变化。从公元前14世纪起,亚述已对巴比伦尼亚占了上风。不过,在大约公元前1250-前950年间的民族大迁徙中,由于迦勒底人的部落在巴比伦西南部定居,阿拉米人的部落在其东南部定居,巴比伦尼亚的局势更加复杂化了。这些对巴比伦尼亚边缘地区的入侵者既未象古蒂人那样被赶走,也没有象喀西特人那样被同化,他们一直与巴比伦人格格不入,并受到部落集体精神和自身尚武精神的激励。

    这些来自阿拉伯的游牧民族的出现,并未受到业已安家立业的巴比伦城乡定居居民的欢迎。也许,有人会期望,这将促使巴比伦尼亚与亚述之间重修旧好,因为亚述毕竟是与巴比伦尼亚分享源于苏美尔-阿卡德的同一文明的定居社区。亚述是巴比伦尼亚的天然护卫者,它是使苏美尔-阿卡德世界免受扎格罗斯山地居民骚扰的边境卫士。但是,即使巴比伦尼亚与亚述之间达成过协议,也必须首先实现两个条件:亚述人必须有策略地对付巴比伦人;绝不允许对在巴比伦尼亚境内的部落居民失去控制。如果这些部落居民占领了巴比伦尼亚诸城市–首先是占领巴比伦城,那么亚述就会陷入进退维谷的境地。亚述人要么必须承认失去对巴比伦尼亚的控制这一事实,要么就必须用武力重新征服之,但也必然会冒从物质上摧毁巴比伦城并伤害巴比伦人自尊心的风险。而巴比伦人也会被迫与难以驾驭的部落居民携起手来。共同反对亚述用高压手段再次强加于他们的法律与秩序。

    公元前745年,提革拉一帕拉萨三世在他在位组的第一次征伐行动中,便在巴比伦统治集团的认可之下,忙于驱赶巴比伦尼亚境内的部落民族。不过,到公元前734年,巴比伦的统治集团失去了控制权,其时,迦勒底部落酋长比特-阿穆卡尼攫取了王位。公元前731年,即大马士革失守一年之后,提革拉一帕拉萨三世赶走了巴比伦尼亚的部落民族。但是,巴比伦城的政治真空仍未填补上。公元前729年和公元前728年,提革拉一帕拉萨三世两度通过”与巴尔携起手来”,自称为巴比伦城的君主,从而亲自填补了这个真空。然而,公元前721年,即撒马利亚失守一年之后,迦勒底部落酋长乌金泽、米罗达-巴拉丹在确保在巴比伦尼亚境内的阿拉米部落和埃兰人的支持之后,也效法了提革拉一帕拉萨三世。公元前720年,萨尔贡未能战胜这一联盟,米罗达-巴拉丹在巴比伦城统治了12年。公元前710年,萨尔贡终于将他赶走,并于公元前709年,”与巴尔携起手来”了。不过,萨尔贡允许米罗达-巴拉丹继续控制他的迦勒底人领土。

    迄今为止,巴比伦人一直是反迦勒底,亲亚述的。当公元前703年,米罗达-巴拉丹在埃兰支持下,再度占领巴比伦城时,巴比伦人的立场仍未改变。同年,亚述人再度将米罗达-巴拉丹驱逐出境。亚述人能够打败部落民族,却不能收服他们的心。公元前694年,辛那赫里布将腓尼基人的舰队和船员从陆路运至巴比伦水域,可是,在埃兰人的支持下,乌金泽在海陆两场战役中均逃得了性命。这时,一个亲迦勒底的巴比伦人占领了巴比伦城。公元前689年,辛那赫里布再次占领巴比伦城,并洗劫了它。这一不讲策略的残暴行为使巴比伦人彻底转变了立场。大家已经看到,甚至一个亚述籍的巴比伦国王沙马什-舒姆乌金在公元前652-前648年间,也对他的兄弟、亚述国王亚述巴尼拨发动了战争。他领导的联军中不仅有迦勒底人和巴比伦尼亚境内的阿拉米人,还有埃兰人、阿拉伯人、埃及人和一些叙利亚公国的军队。公元前655年,亚述巴尼拔使埃兰遭到了显而易见的、粉碎性的失败。但是,这并不是最后一战,在公元前646-639年期间,亚述巴尼拔的确摧毁了埃兰王国,尽管埃兰民族并未被消灭,但是,埃兰战败的受益者并不是亚达人,而是居住在埃兰高原上的伊朗各民族。

    在亚述巴尼拔于公元前626年去世之后,巴比伦城马上被一个迦勒底人纳博波拉瑟占领。现在,巴比伦尼亚反抗亚述人的斗争不可能再指望埃兰人的支持了,埃兰已经衰亡了。不过,纳博波拉瑟在米底找到了一个更强大–也更可怕的东方盟友。公元前7世纪,亚述人咄咄逼人的态势已使伊朗人在政治上统一起来,如同公元前9世纪亚述人入侵的威胁在乌拉尔图产生的效果一样。米底各部落现在已形成了一个统一王国,也许亲眼看到埃兰的倾覆,更促使它们采取了这一措施。公元前615年,纳博拉瑟主动入侵阿舒尔城却被击退时,米底国王基亚克萨里斯站在了巴比伦人一边。公元前614年,基亚克萨里斯占领并摧毁了阿舒尔,受到西徐亚人增援的米底人和巴比伦人在公元前612年占领了尼尼微,并将它夷为平地。这样,亚述最古老的都城和最后的首都都被从地图上抹去了,这时亚述人把哈兰作为最后一个据点。哈兰是苏美尔-阿卡德文明在美索不达米亚的一个古老的前哨阵地。法老尼科二世赶来救助亚述。他的父亲便是亚述巴尼拔在埃及的被保护人、并由他扶植为王的萨姆提克一世。但是公元前605年,纳博波拉瑟之子尼布甲尼撒在卡尔基米什战役中彻底打败了尼科二世,亚述灭亡了。

    亚述帝国真正的遗产受惠者并不是帝国倾覆后的诸后继国,而是阿拉米体的腓尼基字母以及用这种字母表达的阿拉米语。比起把阿卡德体的苏美尔文书用阿卡德语刻在泥板上来,在纸草上书写阿拉米语字母更为容易,也更有效率。在尼尼微,辛那赫里布的一座宫殿中有一个浮雕,两种亚述文书并列,一种用铁笔在泥板上刻阿卡德文,另一种用鹅毛笔在一卷纸草上书写阿拉米文。用鹅毛笔写字的人代表了”未来的浪潮”。

    早在公元前8世纪末,来自阿拉伯和欧亚大平原的游牧民族就已经介入了亚述与其邻国之间的斗争。公元前732年,即亚述人占领大马士革的同一年,他们还必须与阿拉伯人作战。公元前710年,亚述人进攻阿拉伯,根据亚述人的描述,他们深入到了半岛极远的地区,连半岛西南端的赛伯伊人也要纳贡称臣。公元前703年,在米罗达-巴拉丹的反亚述联盟中,也有阿拉伯人。公元前676年,亚述人在阿拉伯又打了一仗。公元前707年,欧亚大平原的游牧民族第一次出现在亚述人的记录中。据记载,辛梅里安人打败了乌拉尔图国王阿尔吉什蒂二世。

    游牧民族从欧亚大平原崛起之后,便分成两支两度向西涌去。西徐亚人亦步亦趋地跟在辛梅里安人之后。这两个民族都在向西迁徙,直到里海和黑海以北和以南地区。在南边,辛梅里安人到达了小亚细亚的西海岸,在北边,奥德里赛人到达了匈牙利大平原和色雷斯的马里科河流域。就永久占领乌拉尔图而言,辛梅里安人并不比亚述人更成功。不过,他们在小亚细亚东部名声大振,在小亚细亚西部亦是如此。如果萨帕多瓦人曾是辛梅里安人的盟友,他们则将自己的名字留在了后来的波斯人辖地(即斯帕达)。辛梅里安人的对手西徐亚人成了亚述人的盟友,这个联盟既是亚述帝国一直存在到公元前7世纪的部分原因,也成为导致它于公元前612-前605年垮台的部分原因。公元前612年,西徐亚人加入了米底和巴比伦人的行列,同年他们攻克了尼尼微。

    在公元前8-前7世纪的民族大迁徙中,游牧民族是骑着骆驼走出阿拉伯的,正如公元前11世纪,即大约公元前1250-前950年民族大迁徙中的最后一次浪潮时那样。在此前发生于公元前18世纪的民族大迁徙中,欧亚大平原的游牧移民并不是骑手;而是车夫。因为当时他们作为交通工具而驯养的动物还不是骆驼,而是马。在驯养马匹的这一阶段,马还没有强健到足以驮起一个骑手的身体。在公元前18世纪之后的1000年中,人们才驯养出了供人乘骑的马。在亚述军国主义最后一搏时期(公元前745-前605年),亚述军队中既有骑兵,也有战车队。辛梅里安人和西徐亚人也是骑马的好手。我们不知道驯养中亚(即大夏)双峰驼的确切时间。在亚述纪念碑中只有阿拉伯骆驼的雕像。驯养中亚双峰驼最早的证明是伊朗东北部一个先知的名字–琐罗亚斯德,如果他的名字真的意为”带着金骆驼”的话。

    欧亚太平原的游牧民族在公元前8-前7世纪进入西南亚的证据是当代的人留下的。它来自犹大、希腊以及亚述的文献。而这些民族没其他方向迁徙的证据则来自后人的记载。希罗多德证明他们曾出现在里海和黑海的北岸,不过,希罗多德的作品完成于公元前5世纪。这些游牧民族在印度河流域出现的证据,只是亚历山大大帝在公元前327-前325年间在当地见到的某些民族的称谓及对其的描述。那么,欧亚太平原的游牧民族是否在公元前8世纪也曾入侵过中国?

    前文已经指出,在中国,公元前771年,周朝经历了一场浩劫。那一年,他们受到蛮族的进攻,并道重创,被迫将国都从黄河支流的渭河流域东迁到东部平原上的洛阳。渭河流域是中国防御外界蛮族入侵的西北边界。只要周朝的统治者能守住这条边界,他们就能对全体中国人实行有效的统治。当他们不再保有这条边界时,他们的威望与权力使一落千丈。在渭河流域,继周朝之后,秦国兴起了。它再度担负起西北边界守卫者的任务,作为回报,它最终取得了对全部中国领土的统治权。但是,我们没有证据能够表明,公元前771年将周朝赶出渭河流域的蛮族就是欧亚太平原的游牧民族,这也许是已定居下来的蛮族所为。中国与欧亚太平原的游牧民族直接交往的最早证据出现于公元前4世纪。当时,地处中国最东北部的地方邦国燕园仿效游牧民族,建立了一支按游牧民族风格装备起来的骑兵部队。我们同样没有证据能够表明,在公元前771年打败周朝的蛮族就是在公元前8世纪入侵西南亚、东南欧的游牧民族骑兵部队的一支。

    关于公元前8世纪及前7世纪对西南亚的游牧民族入侵者的现存记载,仅仅记录下了他们的野蛮和富于破坏性。考虑到这些记录是由游牧民族的牺牲品–定居居民留下的,也就不足为奇了。不过,在这一时期,游牧民族与众不同的一套信仰与实践,极有可能使受到他们入侵的定居民族感到一种冲击。

    公元前6世纪,在希腊世界与印度世界,都有一些民族相信死亡不是生命的终结。因此他们坚持认为,生命的灵魂可以存活,并在另一个生命中再次勃发,这个生命也许是同一种类的,也许是较高或较低等级的。下次再生是否得到升迁或贬斥,要以该灵魂生前的道德表现而定。生死轮回的次数是无限的,这个前景比在此期间接连不断的死亡更令人胆寒。对于一个相信轮回的人来讲,其目标非但不是永生不死,而是结束这一连串的轮回。他相信,过简朴、贞节的生活可以实现这个目标。

    希腊与印度关于轮回及其必然结果的信仰方式非常相似,这不可能是偶然的,似乎它们之间存在着一种历史的联系。这一信仰也许是从印度传入希腊,或是从希腊传入印度的,或许它派生于两地区之外的同一来源。对于这两个方向可能的直接传播媒介是波斯帝国,它统一于公元前6世纪,疆域包括了印度的西部边区和希腊世界的东部边区。与波斯帝国的建立同时而来的,是在帝国所覆盖的广大地区中传播工具的改进。不过,波斯帝国的伊朗民族缔造者和国君们与印度人、希腊人不同,他们并不信仰轮回,尽管在公元前最后一千纪时,他们的故乡的确处于希腊-印度之间。因此,我们认为,还有一种可能性,即印度人和希腊人也许是同时从欧亚大平原游牧民族那里得到关于轮回的信仰的,因为这些游牧民族在公元前7世纪曾入侵过上述两个地区。时至今日,在亚洲北部,仍流行着一种信仰,认为灵魂可以离开躯体并再度进入之。萨满的灵魂能够再度返回它已离开的躯体,却不会进入其他躯体,那些躯体也许属于另一类生物。不过,对于轮回的信仰来说,萨满的信念是个基本的有利条件。因此,尽管未经证实,但极有可能的是,希腊毕达哥拉斯教徒和俄尔甫斯教徒以及同时代的印度人的共同信仰,均来源于欧亚太平原的游牧民族。

    第二十三章 亚述军国主义的灾难性后果

    (公元前605-前522年)

    如果亚述帝国能维持下来,它也许会把西南亚与埃及合为一个政治统一体,从而为它带来社会、宗教的统一,并因此而使帝国的创建为文明中心的心脏地区带来和平,尽管也许将为此付出可怕的代价。但是,亚述军国主义的残暴注定了帝国必然灭亡,它使亚述本国有限的人力资源消耗殆尽,它激起了强烈的反抗运动,当各支抵抗力量集聚起来之后,亚述日渐衰微的国力根本无法与之匹敌。辛梅里安人和西徐亚人的暴行,又给亚述帝国强制性的统治以及随之而来的倾覆造成的破坏雪上加霜;双重的灾祸使一些受害国一厥不振,连取得胜利的反抗者也在不同程度上受到削弱,其直接后果是亚述帝国各后继国之间出现了不稳定的均势。在战胜共同敌人的共同胜利消失之后,胜利者的联盟也就分崩离析了。它们为分赃不均而争吵,较弱的幸存者担心自己也将成为强国的赃物。

    被遗弃的地区包括美索不达米亚、整个叙利亚(提尔和犹大除外)以及小亚细亚的东部、中部地区。幸存的国家是米底、巴比伦尼亚、埃及和吕底亚。

    在这4个国家中,米底最强大,也最富于自信,尽管它并不像它表面上那样强大;边远地区的小国法尔斯在大约公元前550年将其一举吞并,就足以证明了这一点。同时,自公元前612年摧毁尼尼微之后的67年中,米底是亚述后继国中最富进攻性的国家。与巴比伦人、叙利亚人和埃及人相比,米底人在经济上、文化上都很落后,不过他们的落后性是有益无损的,它使米底人能够迅速地复兴起来。无论如何,过去在亚述威胁面前不得不实行政治统一这一事实不仅补偿了亚述人给他们带来的损失,他们还得到了更多的东西。

    公元前612年后,米底人的第一个成就使整个农耕世界受益匪浅。他们消灭、驱逐或征服了西南亚的游牧民族入侵者,在征战中,他们部分地采用了游牧人的军事设施和策略。这个胜利使米底人进而吞并了乌拉尔图、小亚细亚的东部及中部地区。亚述人和辛梅里安人曾先后入侵过乌拉尔图,却均未能永久地征服这块土地,如今,乌拉尔图终于在米底人面前丧失了独立。米底人向西北方向的扩张使其与吕底亚人发生了冲突,其时,吕底亚人正从西边向小亚细亚的无人占领区挺进。在一次激战之后,米底人和吕底亚人在公元前585年达成协议,以克孜勒河下游河谷作为两国边界。这一协议的达成要归功于巴比伦尼亚和西利西亚的斡旋,西利西亚是亚述帝国在小亚细亚东南部的后继国家。

    克孜勒河流经前弗利吉亚王国的领土。在辛梅里安人推翻该王国之前,它曾是小亚细亚最强盛的国家。吕底亚也受到了同样的磨难。按照亚述巴尼拔的说法,大约在公元前663年,它曾在亚述人的帮助之下打败过辛梅里安人。不过,在公元前652年,辛梅里安人一度占领了吕底亚的首都萨迪斯。大约在公元前646年,萨迪斯又被特雷尔人占领,特雷尔人是来自色雷斯的一个民族,也许是在辛梅里安人和西徐亚人自西向北冲向里海和黑海的浪潮冲击之下,他们才入侵小亚细亚的。不过,吕底亚与弗利吉亚不同,它重又复兴,并且能够积极参与瓜分前亚述帝国领土的斗争。在公元前6世纪吕底亚与米底发生冲突之前,在早于公元前652年的某一时期,它还曾向埃及派出过军队,帮助法老萨姆提克一世驱逐亚述驻军。

    占领巴比伦尼亚的迦勒底人在反抗亚述人的斗争中一直不屈不挠。当迦勒底人用军事力量确立了他们对前亚述领土中的叙利亚部分的主权要求时,埃及人和叙利亚人均发现,他们与亚述人一样,既强悍又残酷。在面向西方时,迦勒底人是暴怒的狮子,在面向东方、北方,面对米底时,他们又成了战战兢兢的绵羊。亚述的故土已被米底和巴比伦尼亚以底格里斯河为界瓜分殆尽了。巴比伦尼亚向南不仅再度夺回了它在历史上的疆界,即包括底格里斯河以东的巴比伦尼亚的领土,它还得到了埃兰的低地部分,包括苏萨城。作为这次瓜分的结果,自然要由巴比伦尼亚动手摧毁驻扎在美索不达米亚北部哈兰的亚述军队残部。尽管埃及人从军事上增援了亚述人这最后一个据点,巴比伦尼亚仍然得以在公元前609-前605年间完成这一业绩。但是,结果哈兰被米底人所占据,直到大约公元前550年米底被波斯人推翻之前,它一直保有这块土地。

    米底抢占哈兰,也许已破坏了过去它与巴比伦尼亚就瓜分亚述赃物而达成的谅解。无论如何,对巴比伦人来讲,这既是个痛苦,又是个威胁。既然他们无力将米底人赶出哈兰,他们就只好承认自己不是其前盟友的对手;驻扎在哈兰封闭式军营中的米底军队威胁着巴比伦人在叙利亚的领地与幼发拉底河之间的联络线。

    在公元前609-前605年间,过去为亚述占有的叙利亚诸省是巴比伦人和埃及人的竞争目标。公元前605年埃及人大败于卡尔基米什,这便决定了叙利亚的命运。尼科二世(公元前610-前595年在位)向北远征,又以失败告终。不过,在埃及为重新赢得独立的斗争中,这仅仅是一段例外的、不幸的插曲。从整体上来看,这是埃及人节节胜利的时期,公元前7世纪也许正是埃及人终于开始用铁取代铜来制造工具的时代。也正是在这个世纪中,埃及人与希腊人建立了互利的关系。为帮助法老萨姆提克一世赶走亚述驻军,由吕底亚国王盖吉兹派出的军队,也许就是希腊和卡里亚的雇佣军。萨姆提克将这批军队布置在地处三角洲北端的两个区域内,随士兵而来的便是商贾。在尼罗河支流马里奥蒂克河畔,靠近萨姆提克的首都赛斯的诺克拉提斯,建立了希腊人的商业定居点。

    开始时,希腊人可以无拘无束地在埃及各地做生意。大约公元前566年-前565年,埃及政府顺应民众中爆发的排外情绪,将他们强行集中在诺克拉提斯。不过,埃及继续使用希腊雇佣军,希腊商人也继续用希腊的酒、橄榄油换取埃及的粮食。

    至于尼科二世,他为了补偿在亚洲的军事损失,开始从尼罗河最东边的支流挖掘一条穿过瓦迪图米拉特到苏伊士湾尽头的运河。从埃及的红海海岸,他派出一支腓尼基人的船队,成功地环航了非洲。

    从公元前651年最后一支亚述驻军被逐出埃及起,到公元前525年埃及被波斯帝国皇帝冈比西斯征服时为止,埃及一直未受到过外敌的军事入侵。萨姆提克布署在三角洲东北角的希腊驻军挡住了西徐亚人的进攻。尽管尼科二世大败于卡尔基米什,又丢掉了叙利亚,但是,这一切并未导致巴比伦人占领埃及本土。

    不过,在公元前651-前525年间,埃及人仍然不十分自信。过去的厄运已破坏了他们的自信心。现状与他们记忆中的埃及伟大的早期历史形成鲜明对照,他们怨恨不已。在赛斯王朝时期,埃及人一直在追寻历史上最古老、最辉煌的年代,即古王国时期。在视觉艺术上、礼仪上,都有恢复古王国风范的复古倾向。值得一提的是,在同一阶段,在巴比伦,其重新争取独立时期最后一任国王拿波尼度(公元前556-前539年在位)也是一位复古主义者。复古主义是缺乏自信心的表现。在后亚述时代,巴比伦人象埃及人一样,既为他们的古典文明而自豪,又为之而困惑。在公元前600年,法者埃及文明还将继续生存1000年,苏美尔-阿卡德文明则还有600年的前途。但是,两种文明都已感到了死亡的先兆。的确,比他们年轻近2000岁的其他文明才是真正有前途的。

    尼布甲尼撒(公元前605-前562年在位)是新巴比伦王国奠基人纳博波拉瑟的儿子,他好象并未侵略过埃及。另外一方面,他不仅占领了亚述过去在叙利亚的所有省份,还使另外两个国家俯首称臣,它们曾逃出了爱迦勒底人的前任–亚述人控制的恶运。经过13年的围困(公元前586-前573年);尼布甲尼撒迫使提尔投降。他还在公元前597年、前587年、前582年三度围困、占领耶路撒冷;每次占领之后,都要来一次亚述式的大流放。根据同时代人、犹大先知耶利米的说法,尼布甲尼撒一共放逐过4600人。这个数字与亚述官方的流放人数27290人并不相矛盾。因为,在公元前721年,亚述人是在疆域更大、人口更多的以色列王国实施这一放逐政策的。后来资料中提供的在公元前597年被放逐、公元前539年返回家园的犹大人人数远远大于耶利米的数字,不过,却不那么令人信服。

    放逐一个社区统治集团成员,是为了摧毁这个社区的个性。在绝大多数情况下,这种政策是行之有效的。比如,在公元前721年,从以色列王国放逐了27290人后,就取得了这个效果。在这种情况之下,在发现、利用保存社区个性的方法方面,犹太人是独一无二的。公元前597-前582年间,是犹大王国消亡、犹太人和犹太教历史发祥的年代。犹大国家与以色列一样,在公元前最后一千纪中,是叙利亚为数不多的、享受了长达几个世纪之久独立的少数国家之一。犹太人与其祖先犹大部落的人不同,的确如他们自己所称,是独一无二的民族。要了解他们是如何做到这一点的,我们就要回顾一下大约自公元前922年以来的犹大王国的历史。那一年,占据着叙利亚南部的犹大军阀大卫的帝国分裂了。在以后的章节中,我们还要考察犹太人对于放逐这一挑战的反响。

    从历史的回顾中我们可以看出,公元前922-前587年间,犹大王国历史上有几大特点。首先,从大约公元前1000年,即大卫得到王冠之日起,大卫家族在长达4个多世纪的时间中一直据有王位。这个自公元前922年起至其灭亡时止,一直由一个王朝连续执政的现象与其两个邻国的政局形成了鲜明对照。同一时期,大马士革王国与以色列王国的政局一直动荡不宁,王冠刚刚戴到一个人的头上,倾刻之间,便又在暴力中易手了。这两个王国从未摆脱与生俱有的革命带来的破坏性。大卫的生涯与阿拉米人里津和以色列的耶罗波安一样,也是在摆脱了过去的统治者之后得到自己的王冠的。不过,尽管大卫的短命帝国灰溜溜地垮了台,大卫的犹大继承人们仍保住了残留下来的臣民的忠诚。

    帝国残留的部分包括犹大部落,前迦南人城市耶路撒冷,以及使雅悯部落领土南侧的边缘地带。令人吃惊的是,在这种情况下,大卫王朝及其都城在犹大人的心目中居然变得神圣不可侵犯了。

    还令人吃惊的是,虽然希西家国王(公元前715-687年在位)是迦勒底人米罗达-巴拉丹友亚述联盟的成员,犹大王国居然逃脱了被亚述人控制的命运。犹大王国比以色列王国多存活了134年,比大马士革王国多存活了145年。约西亚国王(约于公元前637-609年在位)统治时期,犹大实际上参加了瓜分亚述帝国赃物的争斗。通过里津在大马士革的政变,耶罗波安在以色列的政变,约西亚暂时重建了早在3个世纪前已支离破碎的大卫王国。公元前609年,当约西亚鲁莽地想阻止亚述的盟友埃及法老尼科二世从尼罗河向幼发拉底河进军时,他战败身亡,他的王国也夭折了。犹大王国先是做了埃及的属国,公元前605年以后,它又成了巴比伦的附庸。不过,经过这次大变故,大卫王朝依然存在,直到公元前587年,它才消亡了。

    犹大王国令人吃惊的长久使一大批犹大先知的出现成为可能。希西家国王的顾问以赛亚和约雅敬国王的对手耶利米不可避免地将主要精力放在对外政策之上。这两位先知均劝说王室不要向当时的帝国主义大国挑战。王国倾覆后仍活在世间的耶利米用事实证明了自己的观点。

    先知并不是犹大社会特有的现象,正如前文提到的,这是叙利亚整个社会生活的一个特点。这个特殊的叙利亚国家犹大的其他宗教生活,也不是绝无仅有的。与以色列以及所有其他叙利亚国家一样,犹大也有自己的国神,不过,对国神的崇拜与其他宗教活动并存。对犹大人来说,经过一再编辑的犹太经典仍能证明这一点。耶路撒冷神庙的式样同样适用于以色列的伯特利、亚扪的米尔孔、摩押的基抹以及大马士革的里蒙诸神庙,耶路撒冷神庙是所罗门装修起来、又被希西家和约西亚发现的。当犹大国王亚哈斯和玛拿西将儿子活活烧死,以期使耶和华实现他们的祷词时,他们用的是叙利亚流行的仪式。当希西家和约西亚肯定国神的特权时,他们的行为与以利亚、以利沙和耶户在以色列王国的所作所为并无二致。至于约西亚摧毁耶罗波安在伯利特的祭坛,屠杀伯利特以及前以色列王国其他地区所有崇拜耶和华的祭司,无非是对耶罗波安迟到的政治报复,因为他与约西亚的大卫王朝祖先罗波安分庭抗礼。

    约西亚的真正发明是,他不仅在重新被征服的地区,而且在前犹大王国全境之内,罢黜了一切地区性崇拜。他诏令全国,必须独尊耶和华,而且必须在前迦南人城市耶路撒冷举行礼拜仪式。约西亚一举便把他的王国变成一个城邦国家。他的希腊同时代人称这一举措为”同苞混生主义”–意即不是从实际意义上将全体国民集中在一个城市中,而是通过法令,使全国只有一个地方成为行使国家行为的合法地点,而不论其是宗教的还是世俗的。在约西亚在位的第七、八年,出现了一本律书,从而强调了他在礼拜仪式方面发动的革命,该书与现今的《圣经?申命论》不无关联。作为犹大王国长期存在的结果,作为约西亚国王在公元前7世纪一系列行动的结果,在公元前597年、前587年、前582年被放逐的犹大人,比起过去的流亡者来,在身处逆境却能保存本社区精神方面,具备了更好的心理素质。

    公元前6世纪结束之前,在一个出人预料的地区,迅速建立起了一个新帝国,这一事件改变了亚述帝国诸后继国的命运。从地域范围上看,新帝国使已经消亡的亚述帝国相形见绌,而且统治的相对温和也使亚述人自惭形秽。上文已经提及,亚述巴尼拔摧毁埃兰王国的获益者是居住在埃兰高原上的伊朗人,其直接获益者是居住在今天被称为法尔斯和洛雷斯坦一带的波斯人。阿契美尼斯家族的后裔、波斯第一帝国的缔造者居鲁士二世自称是”安申之王”,安申似乎是一个城市或是一个地区,位于卡尔黑河河谷某处,即位于该河从洛雷斯坦高原发源进入胡齐斯坦低地的某地。

    约在公元前550年,居鲁士二世取代了在位的米底国王阿斯提亚格斯,接管了整个米底王国,无疑,米底统治集团中的一个帮派对他采取了合作态度。大约在公元前547年,居鲁士征服、吞并了吕底亚帝国,公元前539年,他又征服、吞并了新巴比伦王国,包括该国在幼发拉底河两岸的土地。也许是在此之后,他征服、吞并了位于米底东北部的领土(现在的呼罗珊,苏联的中亚地区及阿富汗),这里定居着讲伊朗语的民族。在力图征服一群位于里海东岸、讲伊朗语的游牧民族–马萨格泰人时,居鲁士二世遇难身亡。不过,这次失败并未使建立波斯帝国的事业告一段落,在公元前525年,居鲁士二世之子、他的继承人冈比西斯征服并吞并了埃及。

    随后,冈比西斯神秘地死去,由一个自称是冈比西斯的兄弟、名叫斯梅尔迪斯(又叫巴尔狄亚)的人继位。阿契美尼斯家族另一支系的代表人物大流士一世,刺杀了这个斯梅尔迪斯(不论他的身份是真是假)。清除这个僭称居鲁士二世之子的人是个行动信号,幼发拉底河以东各省(埃及和吕底亚已经被打败了)因此发生了广泛的起义。起义者中最义无反顾的是巴比伦人、米底人和亚美尼亚人(他们是前乌拉尔图王国西部地区的最后一批占领者)。令人吃惊的是,还有位于帝国最东边的波斯本民族的一些部落。

    大流士在他自己镌刻在贝希斯敦岩石上的铭文中声称,他在仅仅一年(公元前522年)之内,使镇压了所有起义。贝希斯敦岩石位于从巴比伦城通往东北部地区的路边。也许,再度压服起义者所花的时间要长于12个月,不过,这件事本身是可信的。大流士的伟大胜利只有一部分应归功于他本人和他统率的军队非凡的战斗力。他之所以取胜,主要是由于饱受亚述人和游牧民族折磨的各族人民普遍渴望得到和平与安宁。

    大流士是波斯帝国的第二位缔造者,他扩展了帝国的疆域。在东北方,他征服了曾打败并杀死了居鲁士二世的马萨革泰游牧民;在东方,他征服并吞并了印度河流域;在西北方,他征服和吞并了达达尼尔海峡欧洲一侧的一个大桥头堡,又从多瑙河下游南岸扩张到了远在西南的奥林波斯山。这些欧洲战利品是一场激战的偶然的副产品,当时在黑海以北大平原上这场与西徐亚人的战斗中,大流士一世险遭与居鲁士二世同样的厄运。公元前490年,大流士从海上向欧洲的希腊地区派出一支探险队,受到重创。不过,从整体上看,大流士一世与居鲁士二世一样,是成功的帝国缔造者。当大流士一世在公元前486年去世时,第一波斯帝国的东西边疆从印度河支流贝阿斯河一直到品都斯山脉东麓山脚,南北疆界则从高加索山南麓山脚延伸到尼罗河第一瀑布北边。这是有史以来幅员最辽阔、也最少压迫性的帝国。

    第二十四章 希腊文明

    (约公元前750-前507年)

    在大约公元前1250-前950年的民族大迁移中,爱琴海地区要比这次大迁移所冲击到的其他地区,蒙受了更为严重的磨难。公元前12世纪,米诺斯和迈锡尼文明衰败了;他们先前的疆域缩小了;文字失传了;公元前11世纪崛起了新的希腊文明,及至大约公元前700年,古希腊文明逐渐发展而终于绽放出了华彩,这束文明之花并不是由诗人赫西奥德发现的,虽然他本人的诗歌是早期希腊文化重要的成就之一。

    或许是赫西奥德故作懵懂,但尽管如此,希腊人在公元前8世纪和前7世纪是幸运的,就如同他们在公元前12世纪时时运不济那样。在这两个世纪里,除去沿小亚细亚大陆西海岸分布的希腊殖民地之外,古希腊世界方才在境外连续打败了亚述军队,又袭击了欧亚大陆上流浪的游牧部落。这些灾难也给叙利亚带来了痛苦,摧毁了她早熟的文明的前途,而此时,希腊世界却已恢复了元气。在公元前8世纪和前7世纪,古希腊文明从叙利亚文明自公元前12世纪以来所取得的文化进步中汲取了灵感,当时,希腊世界显然尚处于蒙昧之中。

    公元前8世纪,希腊世界因幸运地避免了来自外部的劫掠和袭扰而致使人口爆炸,这种情形一直持续到公元前2世纪。约公元前750年,希腊人欠下了叙利亚第一笔债务。当时,他们借用了腓尼基字母系统。与乙种线形文字(极有可能是大约公元前15世纪从米诺斯甲种线形文字转化而来)相比,这是一种可以更好地用来表达希腊或任何其他语言的书面文字。当希腊人用一些腓尼基辅音字母作为元音字母,以使腓尼基字母系统能适用于他们自己的语言之际,他们便第一次由自己掌握了一种可为商人们更容易书写和拼读的书面文字。与如今已被长久遗忘了的乙种线形文字以及与之相类似的甲种线形文字相比,与苏美尔–阿卡德人、埃及人和中国人的文字相比,这种文字不再是仅仅为极少数专业人员使用的一种秘密工具。希腊人接受并使用腓尼基字母系统,对古希腊文字和思想发生了重要影响。在过去4个半世纪没有书面文字的蒙昧时期,吟游诗人们必须记熟并能复述大量诗歌格律,并掌握即席创作的技巧。因此,每次口头诗歌朗诵,都成为一次新诗创作活动。那么,《伊利亚特》和《奥德赛》究竟是前文学时代即兴诗歌创作中篇幅最长最宏大也是最后的作品,还是一种新的书面文字的最初成果呢?的确,篇幅这么长的民间口头诗歌,如果不在第一次当众吟诵之后马上用文字记录下来,似乎是很难被人牢牢记住的。叙事史诗与宗教仪典不同,它是一种文学形式,很难于在即兴吟诵中一字不错地传给后代诗人,因为叙事史诗的效果并不取决于对全部字句的准确重复。如果在每次演出中都要依赖于诗人头脑中大量熟记的简短诗歌格律才能创造出新的艺术作品,那么,口述叙事史诗就绝不会对听众发生感染力了。

    叙事史诗因用文字记录下来而能不断重演,这样,在保存了诗歌本身的同时,致使这种口述的艺术体裁消亡了。一旦《伊利亚特》和《奥德赛》被用文字记录下来,希腊作家们便创造出了一系列新的艺术体裁:挽歌体和抒情体诗歌,叙事体散文和对话体作品;这些新的体裁常被用于富于表达或说教的目的,也用于娱乐。到公元前6世纪末,希腊作家们用文字表达出他们个人的情感,记述了他们个人的经历,进行了宗教和政治宣传,交流了他们的科学思想,并开始进行戏剧创作–这种戏剧对话体裁最终被采用为哲学辩论的手段。

    希腊人接受并改造了腓尼基字母系统,由此而产生了这些文学之果。继之,他们很快又接受了视觉艺术中的外来图案。到公元前8世纪结束时,器皿上装饰性图案中的原几何风格,已被一种新的来自黎凡特的风格取代,在这种风格中,抽象的图形被生物形体的线条写生面取而代之–首先是动物,真实的或是虚构的,然后是人形,同样也是真实的或虚构的。器皿上这种新的装饰风格,受到同时代腓尼基商业艺术的感悟;希腊人在三维人体艺术作品方面的最初尝试,是以埃及人为楷模而作出的。

    然而,倘若希腊人未能恢复中断于公元前12世纪的与黎凡特地区的交往,那么,无论是公元前7世纪接受来自黎凡特的艺术影响,还是此前于公元前8世纪从腓尼基人那里接受字母系统,便都是不可能的了。这种交往必然是以海路为主,也必然采取商业贸易方式;因为希腊人不可能从黎凡特人那里免费进口货物。大约早在公元前9世纪,在位于叙利亚海岸北端奥龙特斯河口的阿尔米纳,就已经实地建起了一座埃维亚人的希腊商站。从公元前8世纪起,希腊人首要的经济需求是获得食品,因为当时希腊的人口正在迅速增长。对于一个自然资源并不丰饶的地方来说,其增加食品供应的方法之一,就是从希腊世界以外的地方,用希腊的产品换取进口谷物。但是,最容易的方法,却也很简单,那就是征服那些无法抵御希腊人入侵的弱小民族的领土,并使之殖民化,从而扩大希腊世界的疆域。

    公元前8世纪末叶,希腊人开始向西越过奥特朗托海峡,沿着意大利西南海岸和西西里东南岸进行海外扩张。公元前7世纪,他们又开始沿着沟通爱琴诲地区与黑海的狭窄的达达尼尔海峡,向北扩张。希腊商人很有可能在希腊殖民者之前就到达了后来被征服的殖民地,并成为殖民者的向导。不过,古希腊时代最早的希腊殖民地,只不过是养育了他们的同时代希腊村社的复制品。与此相同,他们这些城邦居民的主要生活资料来自农业。他们生产谷物不是为了向外出售,而是为了自己糊口。在开通黑海的海上通道时,希腊人在角逐中失利。希腊人在小亚细亚西岸和近海岛屿建立城邦,把爱琴海变成了希腊内湖,这一事实已经引起人们的注意。另一方面,在地中海西部地区,希腊人遇到了可怕的对手腓尼基人和埃特鲁斯坎人(一个与腓尼基人和希腊人同样的民族,可能来自地中海东部,只是到目前为止尚无法证实)。

    在争夺地中海西部地区控制权的角逐中,希腊人占据了不少优势,而腓尼基人却由于人口原因,更因受到亚述人从亚洲腹地发起的攻击,反而处于不利地位。与亚述军队最后的也是最激烈的较量开始于公元前745年,此时距希腊人在西部开始建立殖民地才仅仅几年时间。尽管如此,殖民地的腓尼基人和埃特鲁斯坎人仍在一些重要的方面优于希腊人,他们采取审慎而有效的方法,抵销了希腊人在人数上的优势并避免了亚述人的蹂躏。

    腓尼基人未等希腊人占领战略要地便先发制人,以阻止他们据此保持希腊世界向西界扩展的势头。腓尼基人控制了从地中海进入大西洋的要道直布罗陀海峡的两岸。他们还控制了西北非的东北角与西西里岛两端之间较为狭窄的海域的两岸,另外还控制了撒丁岛的南岸。埃特鲁斯坎人则控制着厄尔巴岛和邻近的意大利本土的矿区。这是地中海西部地区主要的经济争夺对象之一,可希腊人占据的离此最近的地点库迈,也南距意大利西海岸很远。库迈或许是希腊人在西方建立得最早的大陆殖民地,但它仍嫌建立得太迟,而无法预先阻止埃特鲁斯坎人在波普洛尼亚建立矿区,埃特鲁斯坎人则早在公元前6世纪末,就已占据了库迈的坎帕尼亚腹地。

    殖民地的腓尼基人和埃特鲁斯坎人还通过政治联合来抵御希腊人数量上的优势。公元前6世纪将近结束时期,地中海西部地区所有腓尼基殖民地,已形成一个统一的整体,把自己置于他们中间力量最强大的迦太基统领之下。其实,腓尼基殖民地和埃特鲁斯坎城邦此前就已经相互联合为一体了。于是,当亚洲的希腊人为免遭吕底亚人,继而是波斯人统治而向西方寻找庇护所时,他们受到了挫折。公元前500年之前,希腊人在地中海西部地区的殖民活动被迫停止,此时,只有希腊人已经成功地占领了的库迈西北的西地中海欧洲沿岸部分,即如今法国的里维埃拉和西班牙的布拉瓦海岸。希腊人在这里的殖民地都置于其成员之一的马西利亚(马赛)的统领之下,此地邻近罗讷河口,这使它成为进入欧洲大陆心脏的通道,同时它也是通过一条穿越直布罗陀海峡的捷径进入康沃尔锡矿区的通道,迦太基领导下的殖民地腓尼基人,使直布罗陀海峡成为希腊舰队不可逾越的屏障。尽管如此,大约公元前500年,马西利亚人与北方内地之间的贸易,因当地民族中的一次动乱而被打断。

    公元前7世纪,古希腊人的聚居地区因海外希腊城邦的建立而扩大。海外城邦的建立使得他们一向以农为本的生活方式在经济方面的重要性,因希腊世界贸易区域的空前扩展而退居次位。无论是希腊中心地区还是海外,大多数古希腊城邦仍是由一些经济上自给自足的小的农业公社组成,但是,也有少数城邦开始生产一些专门的产品,以供出口去交换外国的粮食,在与那些他们既无法征服也不能殖民的国家的人民的贸易活动中,他们得以创造另一种生活方式。这些专门化的出口业务之一,便是输出希腊雇佣军。早在公元前7世纪,希腊雇佣军输入埃及,便已经引起人们的注意。公元前6世纪,米蒂利尼的希腊诗人阿尔凯奥斯的一个兄弟,就在尼布甲尼撒的军队里充当雇佣军、经济上落后的希腊公社不仅出口,而且也只能够出口雇佣军人。为数不多的经济比较发达的公社,出口橄揽油和葡萄酒,这些油和酒盛装在装饰花纹迷人的容器里。容器本身就是很值钱的日用品,尽管它们易碎,但与盛装在里面的油和酒相比,总要经久耐用得多。

    在公元前7世纪中,希腊人一直在埃及和乌克兰这两个地区收购剩余的谷物。希腊与埃及的贸易已经很引人注目;希腊与乌克兰的贸易,则是在西徐亚游牧民族大迁徙中落脚定居于黑海北部的干旷大平原时,才成为切实可行之事。在欧亚大陆的游牧民族中,西徐亚人是唯一具有良好经济头脑的民族,他们向乌克兰地区的农耕居民征收谷物贡赋,从而避免了因强行役使奴隶而导致农业的毁灭。希腊人沿黑海西岸和北岸建立了为数众多的殖民地,但它们多半都是些小型的商埠,而不是像在英吉利海峡和爱尔兰海周围以及在西方建立的那种农业殖民地。

    铸币的发明对随之而来的希腊贸易的发展,无疑起到了刺激作用。这应归功于吕底亚的阿利亚特国王(约前608-前558年在位)。的确,在这之前很长时间里,或许是从苏美尔城市文明产生以来,一直是用金条、银锭、铜块作为交换媒介的。阿利亚特的革新不仅在于创造出了铸币,更在于在钱币上压模出了花押字标志,并且通过一国政府发行这种压印了标志的钱币。铸币不仅比钱锭携带方便,而且,如果发行铸币的政府具有良好的经济信誉,商贾们便可以放心地接受它的硬币,而不必在每次交割时过秤称量。铸币一旦问世,便迅速地传播开了。很快,在许多希腊城邦里都设立了造币厂,当大流士一世和他的继承人们发行一种金币之际,这个新发明便传遍了整个波斯帝国。然而,甚至在黎凡特,大多数非商业居民仍然沿用易货交易手段,在当地市场上进行小宗贸易。伴随着由少数经济上冒进的希腊城邦引发的经济生活中的革命,希腊人聚居区的最初扩展以及尔后其商业贸易区域的扩大,使古希腊世界内部的力量平衡,发生了引人注目的变化。在希腊文明即将诞生的黑暗年代里,首创的希腊城邦是雅典–一个在公元前12世纪末遭受洗劫的迈锡尼城堡。在整个原几何和几何风格时代,雅典都保持了她的领先地位;但是,大约从公元前750年直至公元前6世纪初叶,她一度丧失了她的领导地位。雅典既没有参加殖民化运动,也没有参加继之而来的经济革命的最初阶段。

    这场革命的创造者,就是小亚细亚西海岸边(例如米利都和希俄斯)和科林斯地峡周围(例如科林斯、西锡安和迈加拉)的城邦。爱奥尼亚是把希腊史诗推向顶峰的《伊利亚特》和《奥德赛》诞生的地方。在继之而来的年代里,杰出的挽歌体和抒情体诗人中,没有一个是雅典人,取代了几何风格的新的陶艺装饰风格,也不是在雅典,而是在罗得岛、科林斯和斯巴达诞生的。即使到公元前6世纪,当雅典起初是在经济上,尔后亦在政治上又一次领先之际,希腊自然科学之父也并不是雅典人,而是两名米利都人(泰勒斯和阿那克西曼德)和以弗所人赫拉克利特。这些生活于公元前6世纪的亚洲希腊人,对整个古希腊时代的知识成就作出了最伟大的贡献。他们的前辈们,用生老病死的拟人化术语,来思考物质的自然界的过程。这些公元前6世纪的爱奥尼亚自然科学家们,则致力于用非人格化的术语,去解释非人力所致的各种现象。不管是在开创时期,甚或是在以后的任何阶段,使古希腊自然科学获得发展的卓越人材,都不是雅典本地人。

    在约公元前750年以后的250年间,在一些不同的领域里,希腊迸发出了巨大的能量,而这种能量的迸发既有其黑暗的一面,也有其辉煌的一面。这种能量更多地被滥用于城邦之间,一个城邦内部不同的社会阶层与政治派系之间的相互残杀。在开始于公元前750年的新的历史时期里,希腊人相互之间就像他们在迈锡尼时代同样地残忍无情。这个历史时期终因希腊城邦之间的战争,而为罗马人所终结。在公元前7世纪经历了经济革命的那些希腊城邦里,内部冲突异常尖锐,使得这些城邦一度置于独裁统治之下。这便是未能以和平的方式,实现从君主或贵族政体,转变为一种政治权力的行使与财富而不是与人口相适应的政体所导致的不利后果。

    在这个时期,希腊人肆虐于希腊人的最典型事例,莫过于约公元前750-前715年之间,希腊城邦之一的斯巴达,对于伯罗奔尼撒半岛最南部五分之二地区的征服。斯巴达是一个内陆城邦,它对它希腊邻邦的征掠,简直就是诸如科林斯和哈尔基斯这样的沿海城邦在意大利对非希腊民族征掠的翻版。

    斯巴达人允许一些已被他们征服的城邦保持自治,条件是一旦发生战争必须履行向斯巴达提供军队的契约。这些地区无可奈何地接受了这些丧失主权的条款;但在另一些被征服的地方,斯巴达人则迫使那里的人民成为农奴,这些农奴被强迫用自己的土地产品,向斯巴达公民缴纳实物贡赋,以便使这些斯巴达人能从农业劳务中解脱出来,得以把他们的全部时间和精力投入战争和军事训练。正是通过剥削比自身公民人数多出许多倍的臣服于希腊的民族,斯巴达才能在他们自己人中间,实行只有他们这些享有特权的少数人才能享受的民主平等的政治权利,而且并不因此而影响它的君主和贵族会议的存在,同时也并未使它自己陷入一种独裁统治之中。斯巴达的民主政体是古希腊世界中最早建立的,开创于公元前7世纪下半叶的某一时期。

    斯巴达人之执着于军事训练和纪律,使得他们成为希腊世界最令人生畏的军人。起初,他们试图凭借武力去征服更多的希腊领土,以使更多的希腊人沦为农奴;然而,到约公元前550年,他们认识到,尽管他们骁勇善战且训练有素,但单凭人力而言,他们的人数不足以管制他们现有的农奴,同时,进一步的征伐又分散了他们更多的人力。因此,斯巴达人最终放弃了征代政策,以结盟政策取而代之。他们促成了科林斯地峡四周那些经济发达的城邦中独裁政权的倾覆,然后,他们在财富的基础上与那些独裁政权被推翻后建立的政权结盟。

    大约公元前511年,斯巴达人试图通过推翻迄今仍在执政的雅典独裁政权,以进一步扩大他们的联盟网络,在第二次尝试中,他们获得了成功;然而,在雅典,继之而来的与在迈加拉、科林斯和西锡安所发生的并不相同。在雅典,从被驱逐的独裁者手中接掌政权的寡头集团,未能在与极端激进运动的斗争中挺住,于是,当斯巴达人第三次干涉雅典以支持他们保守的朋友时,他们在一次人民起义面前一败涂地。

    雅典因此而免受斯巴达人的控制,雅典人继而建立了一个民主政权(约公元前507年)。在这个政权中,他们仿效了斯巴达的楷模。但是,在这个阶段里,在雅典城邦与斯巴达城邦的社会结构之间,存在着根本性的差异。在斯巴达的领土上,大多数人民是农奴。在阿提卡,却连一个农奴也没有;只有一些奴隶,以及数量日益增长的外国血统的没有公民权的自由民,但人口的大多数却由有选举权的公民构成。公元前480年,当斯巴达与雅典为抵抗波斯人的入侵而一度携手合作时,雅典有大约30000名公民,而斯巴达只有8000名公民。斯巴达领土上的人口总数,要比雅典多得多。但是,当斯巴达领土上的大多数居民只不过是斯巴达的一种经济财产时,它同时也就成为了一种政治和军事上的负担,因为这些居民是由不顺从的农奴所构成的。

    在公元前511-前507年的关键时期,斯巴达与雅典之间的交往,发生了一个对斯巴达人来说既突然又使人困窘的变化。其原因是在公元前6世纪期间,雅典人重新恢复了他们曾一度丧失了的领先地位。在那个世纪初叶,阿提卡社会动荡紧张,其严重程度就像公元前8世纪的以色列王国。阿提卡似乎会变成像斯巴达那样的国家,其领土之上的大多数居民皆沦为农奴。雅典所以能够摆脱这次危机,得益于具有政治家才干的雅典商人梭伦于公元前590年领导的改革;梭伦领导的这场改革为人们所自愿接受,但它并不足以从根本上使雅典免于沦入独裁者庇西特拉图的统治,但也正是此人完成了梭伦未竟的事业。于是,此后当这种独裁统治实施的时候,雅典便需要斯巴达的干涉,以免除专制之苦。尽管如此,被认为使雅典恢复了繁荣的,必然是梭伦而不是庇西特拉图。例如,是梭伦把生产橄榄油的政策实施于阿提卡,是他推动了制造业的发展。他向所有携带着家眷出走并被本上城邦放逐的外国工匠提供雅典公民权,但他们必须是真正打算与他们所选择的国家共命运的人。制造和装饰盛装橄榄油和葡萄酒的容器这一重要产业,就是这样在阿提卡发展起来的。到约公元前550年,雅典的陶器占领了国际市场,取代了科林斯和斯巴达陶器的地位。

    斯巴达盟友之一的埃伊纳岛,也遭到了来自雅典的经济竞争的沉重打击。这个从阿提卡用肉眼可以看得见的小岛,以贸易为生。埃伊纳人在埃及的诺克拉提斯的泛希腊贸易殖民地,充当着主要角色。就在波斯入侵欧洲希腊的前夕,埃伊纳与雅典之间的冲突十分激烈,以至于斯巴达的国王克莱奥梅尼一世花了极大的气力,才制止了埃伊纳岛对雅典发动的战争。

    这样,在约公元前750-前500年期间,在古希腊城邦世界里,国际的与国内的斗争越演越烈。也是在同一时期,虽然希腊人之间经济和政治倾轧日益增加,但希腊人也越来越清楚地意识到他们在文化上的统一和团结,在这种意识下形成了一些泛希腊组织的表达方式。

    “Hellenes”(希腊人)是希腊人共用的新的自我称谓,其意为”Hellas的居民”,而”Hellas”(希腊)一字则是希腊中部地区的称谓,其包括位于温泉关附近安西利的阿耳忒弥斯神殿与位于德尔斐的大地女神、太阳神阿波罗和酒神狄奥尼索斯的神殿,这些地方都是倍受希腊人崇敬的场所与人们领受神谕的至圣之处。这两处神殿一直由相互毗邻的12个希腊城邦管理,这个近邻同盟作为一个整体为自己在希腊世界赢得了一个如此重要的角色,使得那些起初并不是这个近邻同盟会议成员的一些重要城邦,都争取获得代表席位。近邻同盟会议的扩大,致使”Hel-las”和”Hellenes”称谓的使用广为扩展,直至这些称谓成为整个希腊地区,所有的追随者,以及公元前11世纪崛起于爱琴海地区,公元前8世纪以后不断发扬光大的这一新文明的标志为止。的确,这些泛希腊的组织成为了传达以”Hellas”和”Helle-nes”称谓表达出来的文化实体观念的媒介物。尽管如此,这种文化实体在实质上并不是些公共机构,而是存诸于人们的心理之中。”希腊文化”的心理基础,根植于共同的视野,共同的思想抱负,共同关切的事物和共同的生活方式与风俗习惯。例如,在个别希腊城邦中用本地方言创作出来的诗歌,很快便成为所有希腊人共同的财富。最后完成其创作于爱奥尼亚地区的两首荷马史诗,逐渐在整个希腊世界传诵,而希腊各地方言母语各不相同的诗人们(例如彼奥提亚的赫西奥德)逐渐使用荷马的语言和韵律进行诗歌创作。于是,希腊方言便成为比各地土语重要得多的语言,也成为独特的泛希腊文学各种流派的通用语言。希腊文化在理智、情感和精神上的结合或许是难以捉摸的,但这种结合却超越经济和政治的派别分歧,把希腊人结合成为一个整体。

    第二十五章 开启精神生活的新里程

    (约公元前600-前480年)

    在至多不过是120年的时间里,也就是说,仅只是四五代人的时间里,旧大陆出现了五位伟大的先觉者。

    这五人中的第一位,是伊朗先知琐罗亚斯德。他的生卒时间和地点不详,但他从事活动的时期大概是在公元前6世纪初期,活动的范围大约是在阿姆河-锡尔河地区,这是个有农耕居民定居,却又时常面临来自欧亚大陆干旱草原游牧民族袭击的地方。这些先觉者中的第二位是所谓”以赛亚第二”。他本人或是他的著作的一位编者,把他撰写的书附加在公元前8世纪犹太先知以赛亚撰写的书中,以此方法隐去自己的姓氏。但是,从曾欢呼拥戴耶和华神授君王,第一波斯帝国的第一位奠基人居鲁士二世的情节来看,这位”以赛亚第二”比真正的以赛亚晚于人世将近2个世纪之久。公元前539年,居鲁士二世征服了新巴比伦帝国,允许被放逐于巴比伦的犹太人返回犹太。从”以赛亚第二’的著作所记述过的地点中,看不出成书的地点。巴比伦和犹太都有可能是成书之地。

    与琐罗亚斯德相同,佛陀的生卒年月也不得其详。它大约是在公元前567-前487年之间。虽然如此,悉达多?乔答摩即佛陀出生于迦毗罗卫城是可以确定的,那是今天尼泊尔王国边境地区的一所小城。佛陀活动的地区在今天的比哈尔。如果与传说的生卒年代公元前551-前479年误差不大的话,孔子当与佛陀是同时代的人,他比佛陀年轻,身材瘦小。他在中国的故乡是鲁国,在孔子生活的时代,那是陷于土崩瓦解的周朝版图内一个较为弱小的邦国。毕达哥拉斯大约也与佛陀是同时代的人。他出生于靠近爱奥尼亚海岸的萨摩斯岛,而他从事活动的地区,却在南意大利的希腊殖民地,他居住的城邦是克罗托内。

    可能除毕达哥拉斯之外,这些公元前6世纪的先觉者们直至今日仍对人类发挥着直接的或间接的影响,其影响要超过当代的任何人。我们这一代人中,半数以上人受到佛陀的直接影响,三分之一以上的人受到孔子的影响。”以赛亚第二”对今天的直接影响,除犹太教徒之外,还扩及基督教徒。琐罗亚斯德对当代的直接影响,只限于帕西人,今天,这些人像犹太人那样只是一个人数很少的共同体,但他们在当今世界中所起的作用,却远远大于他们所占的人数比重。虽然如此,琐罗亚斯德今天仍对犹太教徒、基督教徒和穆斯林,以及它自身的信徒,发挥着间接的影响。公元前539年,新巴比伦帝国被吞并之后,波斯人与犹太人之间在第一波斯帝国时代的和睦关系,一直持续到公元前330年帝国灭亡时为止,作为其结果,琐罗亚斯德思想中一些最具宗教影响力的观念–如流芳百世的上帝最后审判的思想,主神通过圣灵创造生命的思想与善的思想–传入了犹太教,并由此又传入了犹太教的两个姐妹宗教。

    或许在公元前6世纪的某些年间,这五位先觉者曾同时生存于世,但他们中的任何人都不可能彼此相识,甚至于他们中的任何人都未必可能知道其他任何人的存在。他们之中的两个人佛陀与毕达哥拉斯,其彼此间的信仰、目标和实践竟是如此地相像,以至于让人真的确信,他们的灵感来自共同的源泉;然而,无论是比哈尔的佛陀,还是意大利的毕达哥拉斯,都不可能把这些共同的灵感之源,传达给远隔万里之遥的那个同代人并与之共享。

    由于这五位先觉者的同时代性,他们所共同生活的这个时期,被卡尔?雅斯贝尔斯称作轴心时代,即一个人类历史在此发生了转折的时代。如前所述,直至今日他们以自己的楷模不断地影响着人类,并且还会同样地影响着未来,即使他们的教诲不再成为戒律,他们的学说不再作为信条。就此而论,他们的出现,的确是一个转折点。尽管如此,如果我们借用轴心时代的概念(这术语本身就是一个启人心智的思想)进行历史思索的话,我们就必须把它的时间跨度同时向两个方向伸展。

    “以赛亚第二”是叙利亚经院里的一位先知;我们掌握着一份一位叙利亚先知的记录,此人曾于约公元前1060年,也就是说大约在”以赛亚第二”生前500年,在比布鲁斯意外地与阿蒙神相遇。如果我们没有认识到,”以赛亚第二”自觉地继承了叙利亚的传统,我们就不可能理解他。他本人或是他的编者把他的作品,附加于一位最杰出的长于写作的犹太先知的作品之中,即说明了这一点。显然,琐罗亚斯德是一位叙利亚式的先知,虽然从他那里尚无证据说明他受到了叙利亚或伊朗的任何前辈的影响。从另一方面说,耶稣和穆罕默德确实是紧密继承了叙利亚先知的传统,这将会错误地导致建立一个把琐罗亚斯德和”以赛亚第二”这两位伟大的后继者排除在外的轴心时代的年表。这样,轴心时代就从一个大约只有120年的时期,扩展为从大约公元前1060年直到公元后632年先知穆罕默德去世的那年为止的约长达17个世纪之久的时期。这17个世纪大约覆盖了到目前为止的、我们称之为”文明”社会的整个历史时代的1/3;不用说从前人类的人科时代算起,即使从迄今为止的人类时代来衡量,17个世纪的跨度也只是瞬间而已。

    虽然这五位公元前6世纪的先觉者是各自独立出现的,我们仍能分辨出一些五个人所共有的特征,尽管其并非只是这五个人所特有的。

    首要的共同特征就是,他们每一个个人都与人类自身所感知到的这个宇宙内部及其背后的那个”终极精神实在”,建立了直接的私人关系。最初,人类与那个”终极实在”之间的关系,并不是个人的或私人的,而是集体的和公共的。前文明社会与”终极实在”的接触,在那个时期是通过支配着人类的非人性的自然力量为中介物进行的。进入文明时代之后,人类改变了他与”终极实在”的接触方式。他以对人类共同体的集体力量的崇拜,取代了过去那种把非人性的大自然奉为神明的做法。人类的集体力量被大规模地组织起来,这使人类在与非人性的大自然一争胜负的斗争中,明显地有利于发挥人类的优势。在改变崇拜对象的这种变化中,人类始终未改变对力量的崇拜,而不管以什么为化身,他所寻找的力量都是最强有力的。尽管如此,非人性的大自然作为崇拜对象被人类的集体力量所取代,从精神角度讲,不能不说是一种倒退。当人类实现这种精神崇拜的转移时,他们距离他们所瞄准的目标只会更远,而不会更近。

    这五位先觉者中的每一位,都抛弃了生斯养斯的那个民族的精神传统。出于对传统的蔑视,他们既抛弃了自然崇拜,也抛弃了对人的崇拜,并且剥去了那些遮挡住并使人视线模糊的面纱,以直视那丝毫未加装扮的”精神实在”。就这些先知来说,其功不可没。作为一位先知,他坚持认为他的言论都是他对上帝的直接感悟所致,而不通过任何社会中介物。孔子以一种比较低的感情基调坚持认为,他一直在使社会行为的伦理准则得以复兴,即上苍对中华文明的缔造者们具有约束力。最初,”上苍”(天)被想象为一个人化的,也就是说像人一样的上帝;到孔子时代,中国人对”终极精神实在”的这种称谓,不再具有人性的涵义,而是转而被想象成为一种超人的或是非人性的精神或法律。佛陀自然是没有把”终极精神实在”想象为类人化的存在。他认为它与印度传统信奉的所有众神或其中任何一位神祗,都是相一致的。对于佛陀来说,他所追求的”终极实在”就是一种寂灭的状态(涅盘),他不可能从他所追求的那个非人化的”终极实在”得到任何救助,他必须通过自身的修持达到井也确实达到了醒觉之境。

    这五位先觉者的第二个共同特征是,他们都谴责、否定并试图改变他们先前感知事物的那种状态。他们各自的精神反叛,彼此在程度上具有极大的差异。五人中最令人崇敬的佛陀,也是他们之中最激进的。佛陀所试图改变的正是他所感知到的生命本身。他发现,所有有知觉的生命都在经受痛苦;他还发现,一切生灵都是贪婪的。他认为,如果一个生灵能成功地自己清除自身的贪欲,它就能够使自己从生命的痛苦状态中解脱出来,在这种状态中,一个生灵总是被贪欲所纠缠。毕达哥拉斯也谴责我们所感觉到的生命,他也试图以与佛陀同样的方式改变生命,尽管他并不是像佛陀那样全心全意地实践这种令人生畏的进程。琐罗亚斯德试图彻底破坏,而”以赛亚第二”却试图改造他们各自民族宗教的传统形式。孔子则打算为他那个时代普遍流行于中国的社会行为建立规范。

    五个人中的每一位,都试图把他的同时代人引进他所找到的新的道路。琐罗亚斯德和”以赛亚第二”以文字的形式宣示了他们的预言。(他们认为,这些预言是上帝通过作为他的代言人的先知。向人类传达的启示。)琐罗亚斯德的伽泰(赞美诗)和”以赛亚第二”加入以赛亚原作品中的部分,看上去似乎真是出自这两位先知之手的作品。还有一些手稿声称是佛陀和孔子各自论道时,以及他们各自与弟子们谈话时的记录。我们不知道这些缺乏证据的记录到底与大师们最初的言论之间有多大距离,我们也同样无法确认,那些被说成是毕达哥拉斯的言论,到底有多少可靠性。

    五位先觉者中的四位:琐罗亚斯德、佛陀、孔子和毕达哥拉斯都罗致或至少是领受门徒,这就导致一些新的社团的建立,因为,如果他们打算维持不止一代人的话,如果他们准备吸收更多的人,而不只局限于那种由个人交情建立起来的少数人的小团体的话,这种人际关系就必须制度化。佛陀建立了一种由世俗信徒供养的僧尼制度(僧伽);孔子建立了一所哲学学校;毕达哥拉斯建立了一个社团,它不算是一所学校甚至也不是一种正规的僧尼制度。我们猜想,”以赛亚第二”或许满足于把他的预言传达给已然存在的犹太人的社团。就另一方面而言,琐罗亚斯德创立了一个新的宗教。佛陀对于传播他的精神发现的关切,同样导致了一个新宗教的创立;这种结果对于佛陀的醒觉来说是非凡的。佛陀认为,每个人都必须通过自己的努力达到醒觉,而且,如果他获得了它,那么当他获得它的时候,他便自由地使他的死臻至于涅盘之境。佛陀还延迟了他自己的死亡,他如此有意地留存于使生命饱受痛苦的人世,就是为了向其他的信徒指示他所寻找到的出路。

    佛陀使自己远离政治,远离他的弟子圈子之外的社会生活。他是一位王位继承人,同时他也是一位丈夫和父亲。为了献身于对免除生命之苦的方法之求索,他放弃了继承他父亲王位的权利,离开了他的妻子和子女。佛陀在他配觉之后成为一名游学教师,他被各地的国王看作是他们的社会公民,他并不回避与之交往,但他也不去刻意追求。对于争取王室的庇护以促进僧尼制度发展之举,他并不关切。佛教只是在佛陀圆寂了200多年之后,在阿育王时期才第一次得到王室的庇护。而在另一方面,琐罗亚斯德却在寻求王室的庇护,并且确实寻求到了。孔子在寻求一个王室雇佣者的位置,他没有成功。每一次个人所遭的冷遇,使这位未受雇佣的公仆,作为一位伦理学教师,为自己增添了一次新奇的经历。”以赛亚第二”不需要任何庇护。他所需要的一切,就是他的预言为犹太社团所接受,他达到了这一点。

    在这五位先觉者之中,只有佛陀作为例外是远离政治的.如果能够得到机会的话,孔子是乐于从政的。孔子的门徒们在他们的导师去世后,不得不等待了将近350年,儒家哲学才成为选任公共职位的通行证。琐罗亚斯德明显地感觉到,一位统治者的庇护对于保证他传道的成功来说,是必需的条件。毕达哥拉斯和他的弟子们则不可能避开政治参与。在公元前6世纪的希腊世界,在某些城邦,如果一群志同道合的哲学家不想受到伤害的话,就必须成为主人。毕达哥拉斯的信徒们嘲弄权力,结果经受了意外之灾。至于”以赛亚第二”,他充分发挥了他高度的政治期望。他拥戴居鲁士二世成为耶和华神授的君王,因为居鲁士允许巴比伦的犹太之囚返回犹太;但是他又期望其结果应导致一个世界帝国的建立,这个帝国应当由耶和华做皇帝,而不是居鲁士,犹太人而不是波斯人应当成为帝国的臣民。

    “以赛亚第二”富于创造性的新的起点,在于精神而非政治层面上。他是一个一神论者,他尽力去解决受难问题。毫无疑问,”以赛亚第二”是最早的犹太一神论者,此前最早的阿肯那顿的一神论,早在8个世纪前就夭折了。”以赛亚第二”不仅相信耶和华是犹太人唯一合法的崇拜对象,还认为耶和华比其他民族的主神更为正义,更具有威力。他认为,耶和华是唯一的上帝,其他主神都是不存在的。”以赛亚第二”对苦难的看法与佛陀正相反。”以赛亚第二”并不去寻求从苦难中解脱之路,他把苦难看作是能结出实在的精神果实的一种经历。我们不知道这位”苦难的奴仆”是否像他外表上所作的那样忍受得了隐名理姓,而不去做一个历史人物,我们也不知道他是否就是犹太民族的化身。对这位不可思议的人物可能作出的两种解释,其第二种比较令人信服,它更符合于”以赛亚第二”自己所隶属的那种先知的传统。总之,显然,”以赛亚第二”认为,坚韧不拔地忍受苦难,可以成为一种积极的经历,对于所有有关的人,包括最后以悲剧而告终的受难者自己来说都是如此。”以赛亚第二”的作品,或许是最早一部对于苦难持这种观点的著述。

    琐罗亚斯德把人类世界看作是一个善与恶斗争的战场.显然,善是注定要赢得这场斗争的;同时,人类的职责应当是站在善的上帝一边,反对上帝的邪恶敌手的积极斗士。琐罗亚斯德的观点和观念,或许与他所生活着的时空之下的历史形势相抵牾。在欧亚大陆的游牧民族与他们过定居生活的邻居之间的边疆地区,存在着一场永恒的边境战争,在这场战争中,农耕居民明显希望赢得最后的胜利。在这场历史之战中,琐罗亚斯德确是一位站在游牧民族对面的骁勇的斗士。

    孔子作为一位谨慎的保守主义者,他无疑真诚地把自己看作是一位伦理改革家。他出生于一个传统纲纪荡然而不知所措的社会。他意欲恢复那面临被遗弃之危的弥足珍贵的祖先传下来的制度,而实际上他是在进行改革。例如,他把”君子”一词的涵义,从”一位贵族的儿子”这一家系血统意义上的贵族,诠释为一个品行达到了贵族标准的人的真正意义上的贵族。这一解释并不是对过去的涵义的恢复,而是引进了一种新的意思。孔子的”正名”之举,赋予了中国社会一种新的思想。

    佛陀志在根除一切生灵与生俱有的自私和贪心。他有一种直觉,即人类的精神是可以征服大自然的;他有勇气把这种直觉变成现实;他的行为使他获得醒觉,同情心驱使他为他的追随者们指明道路。当他认识到,实行极度的肉身苦修并不意味着就可以达到醒觉之境时,他便获得了醒觉。此后,他遵循一条中间道路,一方面似乎严于约束普通百姓,一方面却又似乎放松了对同时代的苦行者的约束。佛陀的中间道路,被佛教与耆那教尔后各自完全相反的命运证明是正确的,耆那教是由佛陀的同时代人筏驮摩那创立的一种宗教,此人被他的追随者称为”耆那”(意为”胜利者”)或是”大雄”(意为”伟大的英雄”)。

    一直为人们所注意的是,佛陀和毕达哥拉斯共同具有同一种信仰和目标。他们的共同信仰是,死亡并不是生命的终结,继之而来的应是再生。如果不全力采取措施打破这种令人悲伤的循环,这种死生相续的过程将会无限延续下去。打破这种循环则是这两位先觉者的共同目标。这种信仰与这种目标的结合是颇为独特的,这种信仰到处都有,只是未与这种目标联在一起而已。再生是宇宙的基本节奏的思想,是由相同的自然现象中得到启发的:白昼与夜晚交替反复;相同的一年四季的更替;生命之物一代又一代的重复换代。生殖循环的原因是再生的思想,从依照前辈的姓氏为孩子命名的实践中得到了体现。

    在古代希腊世界,与当时流行的一般信念截然不同的一种类似再生的信仰,开始作为毕达哥拉斯和他的弟子们的一种独特信条逐渐得到广泛流传,尽管毕达哥拉斯学派的同仁们曾因此招致一场政治灾难。在印度,再生的思想,似乎为佛陀和他的反对派同样视为当然。他们之间在这一共同信仰上的根本不同之点,就在于是否存在着诸如灵魂这种东西上。佛陀的反对派不仅坚持认为灵魂确实存在,而且认为这种存在与”终极实在”相关联。佛陀则坚持认为,再生之物不是灵魂,而仅仅是一种与肉体状态毫无二致的薄若绢纱的东西。那种结合为一体的肉体状态,仅仅受贪心的驱使而代代相生。佛陀认为,如果贪心能被根除,这种肉身之浮云便可以被驱散;这就开启了由死亡融为”寂灭”(涅盘)状态之路,在这种状态里,苦难就会化为乌有。

    或许,佛陀和他的反对派在他们双方的辩论中,彼此并不存在这么多的分歧。佛陀的反对派宣称:灵魂与”终极实在”相关联。佛陀则指出:驱散为我们的反对派称为”灵魂”的肉体的浮云,使你的死亡融为”寂灭”。或许,佛陀和他的反对派关于”终极精神实在”的本来观点,彼此间的差异根本就是不可调和的。

    相信人类的精神力量能够战胜贪心;相信人类坚韧地忍受苦难的创造性力量;呼唤退世而致醒觉之路;信仰只存在一个神明;号召人们去做为善而与邪恶斗争的斗士–自从公元前6世纪这五位伟大的先觉者向世界宣布了这些信条,对于”终极实在”的观点和人类品行的训示的改革,便不可逆转了。

    这五位公元前6世纪的先觉者,出生、生活和工作于五个互不相同的地方。或许,意昧深长的是,五人中没有任何人是两个最古老的文明,苏美尔–阿卡德和法者埃及文明的产物。公元前6世纪,这两个古老文明仍然存在,但这些新的远见和新的趋向却来自另外一些地区,它们的文明不象上述两个文明那样古老,而此时却更加富有勃勃的生机。

    第二十六章 第一波斯帝国

    (约公元前550-前330年)

    亚述的军国主义,尤其在其最凶恶的最后阶段(公元前745-前605年),对它所有的牺牲者,甚至包括亚述人本身来说,都是一场浩劫,它对欧亚太平原游牧民族的蹂躏更是雪上加霜。亚述帝国崩溃的直接后果就是使黎凡特地区处于政治上的四分五裂、不得安宁的状态中。波斯帝国的缔造者在四分之一个世纪内(大约公元前550-前525年)轻而易举地将黎凡特地区从政治上统一起来,为这块饱经磨难的地区实现它急需的和平与秩序采取了有力的措施。波斯帝国给黎凡特地区带来了它渴望之极的休养生息的机会。比起亚述人来,波斯人的征服战争不那么残暴,对于广大被征服地区的行政管理也不那么富有压迫性。与亚述人不同,波斯人在行使主权时,宁愿使人们最低限度地感到他们的存在。他们给现存的地方政权以行政自由。波斯省督的作用只是监督而非取代地方政权的工作。最为重要的是,波斯人使大家感到他们尊重、保护其臣民的宗教信仰–这项开明的政策的确换来了对波斯人统治的承认。只有下述极为罕见的、令人沮丧的情况除外,即当一个已俯首称臣的社区被宗教纷争所分裂,而波斯当权者又很难在其中保持中立之际。

    如果考虑到大流士一世和至少地的直接继任者薛西斯在其铭文中显示出,他们已经接受了与琐罗亚斯德教类似的宗教,波斯帝国政府对外族宗教所持的宽容态度就更值得称道,更显得与众不同了,因为琐罗亚斯德教的真谛是战斗性,而非宽容。琐罗亚斯德以这种精神摒弃了讲伊朗语诸民族的传统宗教,用一种新家教取而代之。琐罗亚斯德认为他的使命是传播对一个善良之神–光明之神阿胡拉?玛兹达的信仰。他对光明之神的信仰是忠贞不二的。我们不知道大流士一世和薛西斯对琐罗亚斯德教的信仰究竟有多深,他们也并未公开声称自己是琐罗亚斯德的信徒,他们甚至没有提到过他的名字。那位先知大约比大流士一世要早出生一个世纪,他的传教地区似乎是在讲伊朗语诸民族定居的东北地区(今日的呼罗珊、苏联的中亚地区和阿富汗、乌兹别克地区)。

    居鲁士二世已将这一地区并入了波斯帝国,时间大约在公元前539年以后。当公元前522年,大流士暗杀了真的或僭称的斯梅尔迪斯并取而代之时,大流士的父亲正在呼罗珊(帕提亚)省督任上。也许到了公元前539年之后,阿契美尼斯家族的大流士支系尚未完全皈依琐罗亚斯德教。我们不知道,在这一阶段,波斯人、米底人和阿契美尼斯家族是否皈依了一种形式更淡泊的琐罗亚斯德教。显然,大流士一世也并非是麻葛的教友。麻葛是米底人祖传的祭司阶层,他们最终接过了琐罗亚斯德教,不过,他们所采用的形式恐怕连该教的创始人也未必能够接受。

    波斯帝王们的宗教自由化、政治自由化政策使波斯政权与叙利亚各民族的关系融洽起来。叙利亚各民族曾顽强不屈地先后反对过亚述和巴比伦的征服者。在腓尼基人、撒马利亚人和犹太人眼中,波斯人简直就是大救星。

    腓尼基人被并入波斯帝国之后,腓尼基商人获得了一个巨大的内陆贸易区,同时,在地中海上,在与其商业竞争对手希腊人的斗争中,他们也争取到了波斯的支援。与腓尼基人一样,亚洲希腊人也成了波斯的子民,不过,是不驯顺的子民;而叙利亚的腓尼基人却帮了波斯人的大忙,并得到其青睐。3个叙利亚腓尼基城邦国家阿腊杜斯、提尔和西顿,被授予小型地方自治王国的地位。腓尼基人并不打算背叛波斯人,因而,波斯人不必担心殖民地中的腓尼基城邦会介入叙利亚事务。波斯人并不想把利比亚的腓尼基人和叙利亚的腓尼基人并入他们的帝国,相反在公元前6世纪末叶,他们与迦太基人订立了反希腊协定,当时殖民地中的腓尼基人城邦在迦太基的领导之下组成了一个统一阵线。

    巴比伦尼亚的犹太人社区是波斯人的天然盟友,因为这些离乡背井的犹太人从未饶恕过曾放逐他们的巴比伦人。他们组成了亲波斯人的少数派,在多数居民均采取不合作态度的巴比伦尼亚,这个少数派对波斯人尤为可贵。尽管居鲁士二世出于策略的考虑,通过”与巴尔携起手来”,表示他愿意尊重巴比伦人的民族自尊心,但仍然无济于事。居鲁士二也允许所有希望离开的犹太人返回在犹太的故园,并重建他们在耶路撒冷的神庙。在埃克巴塔纳(今称哈马丹)的档案中,可以查到居鲁士二世的敕令,这一敕令继而又受到大流士一世的进一步确认。要么是阿尔塔薛西斯一世在公元前445年,要么是阿尔塔薛西斯二世在公元前384年,曾允许其巴比伦犹太管家尼希米暂时离开首都苏萨,他负有前往犹太重新为耶路撒冷城设防的使命。大流士一世和阿尔塔薛西斯都曾为在他们授权下犹太人重建耶路撒冷公共工程而批准过预算和建材。

    阿拉米人像犹太人和腓尼基人一样,也从波斯帝国获益不浅。在亚述统治时期已经开始的阿拉米语言文字的传播,在波斯人治下又获长足发展。在叙利亚,迦南语(希伯来语)逐渐被阿拉米语所取代。在叙利亚,迦南语仅仅是礼拜仪式用语,作为日常用语,它只在地中海西岸地区的腓尼基人殖民世界中运用。阿拉米语言继续与阿拉米字母同时向东传播,阿拉米字母比楔形文字更方便实用。与七八个世纪以前的乌加里特人一样,波斯人从苏美尔-阿卡德语库中选择了一些字组成一套字母。大流士一世在贝希斯敦石崖上用3种文字记录其武功时,用波斯楔形文字刻下了波斯文,同时,又用表达方式既传统又庞杂的苏美尔体楔形文字刻下了埃兰文和阿卡德文译文。但是,波斯人的楔形文字与乌加里特文遭受了同样的命运,它未能抵抗住由更简洁明了的字母组成的字母大潮的冲击,这种字母早在公元前最后一千纪初叶已在腓尼基流行起来。到公元前330年,绝大多数波斯帝国官方文件都已运用阿拉米语言文字,不过,也许这些字母仍按波斯语发音,即组成一个阿拉米字的字母组合,读起来好象是这个阿拉米字的波斯语译音。

    叙利亚的几个主要民族因此而满足于做波斯人的臣民,而与波斯人有血缘关系的米底人却感到不那么幸福。正如他们在公元前522年起义中表现出来的那样,他们记得自己也曾是不可一世的民族,而波斯人则曾是他们的臣民。不过,尽管米底人桀骛不驯,波斯人还是再次允许他们做了米底-波斯帝国的伙伴,这个帝国比过去的米底帝国辽阔得多,也强盛得多。埃兰人也许有些受宠若惊,因为他们的国都苏萨升格为帝国首都。东北部讲伊朗语的民族在帝国亡国之后,坚持了长达3年的抵抗运动,反对马其顿统治者,以此显示他们对波斯帝国的深情厚谊。东部的游牧民族西徐亚人曾与居鲁士二世为敌,但在被大流士一世征服之后,似乎也很忠实于帝国。当公元前480年薛西斯在欧洲的希腊作战时,由他们据守战略要地。公元前330-前328年,他们还支援过农居的邻邦反抗亚历山大大帝。

    不过,在被征服的民族中,有3个民族表现出与波斯统治势不两立,即巴比伦人、埃及人和亚洲希腊人。在公元前522年这个关键时期,巴比伦人不只进行了一次起义,而是两次。公元前484年,他们再度起义。不过,这一次,波斯人毫不手软地将起义镇压下去,从此以后,直到他们最终被亚历山大解放时为止,巴比伦人一蹶不振。波斯人不能放手让巴比伦人脱离他们的控制,巴比伦是波斯帝国的粮仓和工厂,也是帝国内陆交通网上的枢纽。而在另一方面,占领埃及不啻是波斯帝国的一大负担,正如它曾成为亚述人的负担一样。埃及距离法尔斯比离亚述更远。在反抗其大陆上的亚洲主人时,它可以接受来自海上的希腊人的增援。虽然埃及在公元前522年一败涂地,但是,它在大流士一世统治末期再度揭竿而起,公元前464-前455年,公元前404或395-前343年,他们曾两度取得独立。当它再度被波斯人征服时,距波斯帝国自身的倾覆已仅仅只有十几年时间。

    即使波斯帝国的所有臣民都象腓尼基人和犹太人一样对它忠心耿耿,对波斯帝国政府来讲,它辽阔的领土仍使交通通讯成为一个压力很大的问题。修建了通衢六道,沿途为政府的信使准备了可供换骑的驿马。虽然上述措施加速了陆路通讯速度,大流士一世仍然认为,必须利用水路在帝国各端间建立联系。他派一名卡里亚水手西拉克斯从帝国最东端的省份出发,到最近的印度河流域沿水路前行,他受命穿过印度河和印度洋,到达埃及的红海海岸。当西拉克斯准确无误地完成了使命时,大流士便吞并了印度河地区。要么是在此之前,要么是在此之后,他使从尼罗河三角洲最东侧支流到苏伊士湾之间的运河竣工,这条运河是法老尼科二世开始开凿的。薛西斯想重演尼科二世环航非洲的伟绩,但他的船队不是从红海出发,而是从地中海启航。航行以失败告经。大流士和薛西斯的海洋野心并未被他们的后继者继承下来。

    波斯帝国是短命的帝国,但是它的宗教宽容政策产生了历久不衰的效果。这一政策顺应了宗教上不同信仰相互调合这一趋势,亚述人和巴比伦人的放逐政策促进了这一趋势的形成。一个征服者可以流放被征服国统治集团的成员,却放逐不了它的神祗。留在当地的农民仍会继续供奉它们,外来移民也不可能忽视它们。在前以色列王国主要宗教圣地伯特利崇拜耶和华的礼仪被向东带入巴比伦尼亚,向南带到埃利藩蒂尼,此地是尼罗河第一瀑布下面的边防要塞。公元前5世纪,在这个地方,一支为波斯人服务的犹太驻军同时供奉着爱希慕恩、安娜特和耶和华,这支军队的士兵都是为逃避被尼布甲尼撒放逐到巴比伦的厄运而躲入埃及的犹太人后裔。

    在埃利藩蒂尼的犹太社区与撒马利亚区酋长珊巴拉特保持着友好的通信往来。在波斯人统治时期,在尼希米行使使命之前,耶路撒冷属于撒马利亚区。从珊巴拉特的姓氏(西努巴利特)上判断,他是巴比伦流放者的后裔,如果从他儿子的名字(达拉亚和谢勒迈亚)上看,他们都是耶和华的信徒,而不是月亮神的崇拜者。此时,撒马利亚的居民已严格地专一信奉耶和华,除《摩西五经》外,他们不承认任何手写文书为经典,也不承认有非手写经典存在。但是,当巴比伦尼亚犹太人社区的代表尼希米奉圣旨到达耶路撒冷时,珊巴拉特与他发生了冲突。

    波斯人对巴比伦、埃利藩蒂尼和徽马利亚等地崇拜耶和华的信徒并不抱偏见,并且充满善意。但是,到尼希米和以斯拉时代,巴比伦的犹太人有了一套与其他社区完全隔绝的宗教和社会纲领,他们成功地把这一纲领施之于犹太的”埃姆哈-阿拉兹(意为”土地上的人民”,指未被赶走的农民)”身上。人种和宗教上的融合与联姻相接踵。尤其在名门望族中,他们的社会关系网要比农民大得多。通婚对于打破社区之间的社会障碍起了富有人情味的促进作用。在加强了独立性之后,这一切都为传统的敌对情绪作了补偿。尼希米和以斯拉却禁止通婚,他们将在巴比伦犹太人眼中犯了罪大恶极之罪孽的这类犯人逐出教会,这些人本来也是犹太社区的成员。

    到尼希米和以斯拉时代,巴比伦犹太流放者的后裔已成功地将自己的社区精神保存了150年,如果他们的保护人阿尔塔薛西斯是阿契美尼斯家族的第二位、而不是第一位拥有这个名字的波斯帝王,那么,就已经保存了200年之久。这是个伟大的功绩。这批流放者成功地抵御了黎凡特地区一般大浪潮的冲击,这次大潮如此猛烈地冲击着超然存在的传统部落文化,并要求承认人与人之间的兄弟情谊。巴比伦的犹太流放者不仅成功地抵御了这个潮流,还把这种精神推向犹太。不过,他们也因此而付出了代价,使犹太地区的犹太人与其邻人之间的敌意又趋复活。其实,这些邻人与犹太地区和巴比伦的犹太人一样,也是耶和华的信徒。

    巴比伦的犹太人是如何在流放的逆境之下保住了他们独特的社区精神的呢?他们通过建立一种独一无二的宗教机构–犹太人会堂,而取得了这个空前绝后的成果。约西亚国王在犹大人的信条中又加了一款,即只有在耶路撒冷神庙中举行的对耶和华的礼拜仪式才是合法的。从神庙被毁、犹大国的统治集团成员被放逐到巴比伦尼亚,一直到重建神庙,再度在其中举行礼拜仪式之时,世袭的祭司们已无法例行公事。犹太会堂便成为填补这个真空的新机构。如果没有这个新机构,被放逐到巴比伦尼亚的4600名犹大人的后裔也许会不可避免地失去他们的社区精神,就象27290名被放逐到米底的以色列人后裔一样。犹太教徒每周举行一次会议–最终在一个永久性会堂中举行–流放者们随身携带的精神财富(律书,即《摩西五经》和先知的作品)在这里被宣读,被讨论。在放逐之前,希西家和约西亚革命性的发明成了放逐事件发生后的正统做法。流放者及其子孙严格遵守《摩西五经》,对死去的先知顶礼膜拜。这个保存巴比伦犹太人社团独特性的权威性规定,已在巴比伦尼亚本地创造了奇迹,如今,又在波斯帝国政府的默许之下,加诸于犹太地区的犹太人社团了。为使尼希米和以斯拉进行其决定性的工作,波斯帝国政府不明智地彻底改变了它的普遍宽容的政策。这个不寻常的讨好态度破坏了波斯政府本身最重要的一条行为规范。这是一次被动的国家行为,可是,比起波斯政府的任何主动行为来,这个被动行为却造成了更为严重的后果。这不能不说是一次历史的嘲弄。

    第二十七章 第一波斯帝国与希腊世界的对抗

    (公元前499-前330年)

    第一波斯帝国的米底-波斯统治集团和与其同时代的希腊城邦国家公民,各自为一种政治体制感到心醉神迷。由于这种沉醉是一种自觉的自我奉献,因而显得尤其深沉。米底人与波斯人的政治忠诚集中于一个人–阿契美尼德王朝的皇帝身上,希腊人的忠诚则集中于一个被神化了的抽象原则–主权的城邦国家之上。当这两种忠诚相互发生碰撞之际,双方之间持久的和平共处也就不复存在了,一方必将打倒另一方,并取而代之。公元前499年,当波斯帝国的亚洲希腊臣民起义并受到两个欧洲希腊城邦–雅典和埃雷特里亚的军事援助时,似乎波斯帝国已注定要征服和吞并整个希腊化世界。波斯帝国是有史以来幅员最辽阔、人口最众多的国家,它的希腊对手在政治上分裂成几百个主权的城邦国家,其中的许多国家一直在互相征伐。在公元前499-前330年希-波对垒时期,只有两个很短的时期,即公元前480-前479年和公元前337-前330年前后共10年时间,一些希腊城邦曾组成过反波斯帝国的统一战线。其中,第一次希腊人击退了波斯人对欧洲希腊的可怕进攻;第二次,他们自己入侵并征服了波斯帝国。在这两次希腊合作时期,希腊政治上的四分五裂给第一波斯帝国以喘息之机,从而为它提供了在宗教和文化领域中铸就永久性影响的机会。

    到大约公元前546年,也就是波斯人第一次征服大陆上的亚洲希腊城邦国家之际,这些国家早已成为吕底亚的属国(只有米利都除外),而此时,吕底亚也已被并入了波斯帝国。吕底亚一直是希腊的友好邻邦,它的文化带有浓重的希腊文明的色彩。另一方面,在希腊人眼中,波斯人是来自异域的陌生人。虽然亚洲希腊人在被并入波斯帝国后得以扩大他们的陆路贸易区,但是,这并未使他们对新的政治主人产生任何好感。

    波斯人用了6年时间(公元前499-前494年)镇压亚洲希腊人的反抗,这也告诉了波斯人,他们的西北边界并非固若金汤。爱琴海是希腊人的内海,波斯人只有在控制住了爱琴海西海岸时,才能牢牢地占有它的东海岸,这也就意味着他们要去吞并希腊世界的其他地区。上文已经提到,在公元前499年大流士一世的亚洲希腊臣民造反之前,大流土已在多瑙河下游和奥林波斯山之间的欧洲土地上建立了一个桥头堡。在这一地区中,除了遍布在多瑙河三角洲到奥林波斯山之间欧洲沿海地区的希腊拓殖商点之外,还存在一个希腊人的王国–马其顿。波斯人的这个桥头堡与其说是为了震慑西徐亚人,不如说对其他欧洲希腊人构成了更大的威胁。大流士还派出一支海军舰队,前往勘察奥特朗托海峡以西希腊世界的殖民地。

    公元前490年,大流士从海上向雅典和埃雷特里亚派出了一支惩罚性的远征军。埃雷特里亚人被打垮并遭放逐,但是,雅典人却单枪匹马地打退了波斯人。公元前480-前479年,大流士的儿子和继承人薛西斯从北方自陆路入侵欧洲希腊,几乎所有位于奥特朗托海峡以东的欧洲希腊城邦都事先承认了波斯的宗主权,只有雅典、斯巴达及其盟友除外。斯巴达在伯罗奔尼撒的竞争对手,曾被其打败并一直耿耿于怀的阿尔戈斯则保持中立。在公元前450年,阿提卡被占领,雅典遭到洗劫。不过,雅典人民已经撤离,参战的希腊各国船队未受到一丝一毫的损失。公元前480年,他们在萨拉米斯对波斯海军取得了决定性胜利。随后,在公元前479年,又在彼奥提亚的普拉蒂亚重创波斯陆军。同年,希腊海军又在离小亚细亚西海岸米克利不远的海上第二次战胜波斯人。这时,亚洲的希腊人又造起反来,波斯人还丧失了包括马其顿希腊王国在内的欧洲属地。当公元前449年,雅典与波斯帝国终于言和时,波斯人未能再度征服大陆上的亚洲希腊人,雅典也未能将塞浦路斯与埃及从波斯帝国手中夺过来。但是,在公元前386年,波斯与斯巴达串通一气,终于又将其主权强加于大陆上的亚洲希腊人头上。到这时,欧洲的希腊人再度开始了他们之间惯常的同室操戈的战争,使波斯人得以坐收渔翁之利。

    欧洲的希腊人对于公元前480-前479年的经验教训视而不见,在这令人难忘的两年中,希腊为数不多的、不甘屈服的国家团结一心,终于打败了波斯帝国。公元前480年,西部的少数希腊殖民地暂时团结在一起,也打败了迦太基帝国。这两个帝国一直是希腊各国独立的威胁,因为两个帝国都在大范围内实现了政治统一。希腊人在最后一刻才部分地团结起来,便打败了他们。希腊人应当承认这个显而易见的真理:在政治上,团结就是力量。他们应当使自己的政治统一永久化、泛希腊化。由于公元前7世纪的商业革命和工业革命,希腊世界已经成为经济统一体,经济统一体与政治分裂状态不可能长期共存而不带来灾难。可是,一旦波斯人、迦太基人入侵的直接威胁消失,希腊人又将分裂。自大约公元前484年起,西西里的希腊移民城邦团结在锡拉库萨周围,当它与阿克腊加斯结盟以后,曾在公元前480年打败了迦太基人,可是,这个希腊移民城邦却在公元前466年解体了。同时,曾在公元前480-前479年打败了波斯人的欧洲大陆的希腊联盟,却在公元前478年分裂成势不两立的两个集团,过去已存在的一个,包括斯巴达及其伯罗奔尼撒盟友,新成立的提洛同盟包括雅典和刚刚从波斯人统治下解放出来的希腊城邦国家。

    公元前459年,仍然与波斯处于交战状态之下的雅典便与斯巴达在欧洲希腊的盟友开战了。公元前460年,它因派一支舰队支援埃及叛乱而使自己深深陷入更危险的对波战争中。公元前455年,在埃及的叛乱被波斯人制服之后,雅典远征军也被摧毁了,同时在公元前457年,雅典将其宗主权强加于中部大陆所有的希腊国家(只有底比斯除外)。公元前447年,它又失去了对它们的控制。雅典人将自己的力量消耗殆尽。在公元前449年与波斯人媾和之后,它又于公元前445年不得不与斯巴达及其盟友握手言和。

    公元前478年以后,雅典很快就把提洛同盟变成了雅典帝国;自公元前445年起,这个帝国又继续存在了40年,它是斯巴达帝国在更大范围内的复制品,斯巴达帝国则在伯罗奔尼撒占有了其南部五分之二的地区。向雅典纳贡称臣的希腊城邦的人民都成为雅典的奴隶。公元前461年,雅典公民团制订了极为激进的、民主化的、与斯巴达法律相同的一项法律。至此,雅典民主与斯巴达民主已毫无二致,它完全靠臣服的希腊人养活,而后者人数却远远超过了占统治地位的少数人,尽管与同时代其他希腊城邦相比,雅典的公民人数要多得多。公元前449年和前445年的媾和已经显示出,雅典的薄弱环节就在于人力资源与它的野心之间大不相称。尽管如此,公元前451年,雅典人仍投票通过法律,使双亲中有一方不是在雅典出生的公民全部丧失了选举权,这一法律实际上又削减了雅典公民的人数。这个最迟于公元前445或公元前444年开始实施的以斯拉式的法律,已经昭示出雅典帝国灭亡的厄运。这是则颇具政治家风度的梭伦法令的一种反动。公元前490年,梭伦允许无力还债而被卖到海外为奴的雅典公民返回故乡,而且如前文所述,他还将雅典公民权授予移民而来的外国工匠,梭伦正是用这一系列办法扩大了雅典的公民队伍。

    公元前431年,雅典与斯巴达之间又贸然进行了一场战争,结果是两败俱伤。公元前405年,雅典帝国被推翻,取而代之的斯巴达帝国也于公元前371年垮台。在公元前359-前338年间,所有欧洲大陆的希腊城邦相继被其北方邻国马其顿的国王腓力二世征服,并在他强迫之下,最终加入了一个新联盟,联盟的政治中心在科林斯,其领袖却是腓力。在这期间,只有斯巴达超然度外。科林斯同盟的目标是以同盟的联合军事力量进攻波斯帝国。当公元前336年,腓力在其风华正茂之年,在事业的巅峰时期遇刺身亡之际,一支马其顿的先头部队已经抵达亚洲。公元前334年,腓力之子亚历山大跨过达达尼尔海峡。公元前330年,他推翻了波斯帝国。公元前323年,他也魂归西天。

    马其顿人是希腊族,不过,他们始终没有能够希腊化,也就是说,他们始终没有成为城邦国家的公民,因此,他们对于城邦国家的生活方式一直是门外汉。城邦制度及其精神给国际关系带来的影响是无政府主义的,这就为腓力提供了机会,各个城邦国家–雅典、斯巴达、底比斯在国际舞台上相继失败,再加上腓力个人的天才,为马其顿带来了好运。但是,尽管城邦国家的生活方式,在国际上破坏成性,在国内使派系林立,它却推进了文化影响的传播,不过,这将是下一章的主题。马其顿的希腊人并未接受这一文明的影响,在其私生活范围内,他们仍是无拘无束的,因此,他们并不适于承担领导责任,但是他们的南方希腊邻居的政治破产,仍使这个任务落在了他们肩上。国王腓力二世与其马其顿同胞一样,在私生活方面也是放荡不羁的,但是,在其社会生活方面,却毫无马其顿人的风格。他与地米斯托克利和萨姆提克法老同样有耐心,同样精明。地米斯托克利是个以其远见卓识于公元前480-前479年间挽救了希腊的雅典人,而萨姆提克则机智地将亚述人赶出了埃及。如果腓力或者其子亚历山大能象萨姆提克那样长寿,希腊化世界此后的历史,或许整个人类文明中心的历史,就不会充满凄风苦雨了。

    第二十八章 希腊文明的文化成就

    (公元前478-前338年)

    公元前478-前338年期间,希腊世界落入了其政治上的最低点,却在文化上达到了顶点,至少有三位公元前5世纪著名的雅典人,在对他们时代的繁荣作出贡献的同时,受到了其时希腊政治耻辱的影响。这三个人是剧作诗人素福克勒斯(公元前495-前406年),政治家伯里克利(约公元前490-前429年)和哲学家苏格拉底(公元前469-前399年)。

    伯里克利的声名美誉,在于其与古希腊建筑与视觉艺术在雅典的代表作有关。在公元前449年与波斯,公元前445年与斯巴达订立和约之后,他鼓励他的同胞们,以最为美丽的艺术作品装点雅典卫城。然而,也正是这个伯里克利,督促雅典人为这些艺术品筹款,并在筹款时,为建造这些艺术品提供有偿劳务。为达到这一目的,他从雅典的希腊臣民那里强行征收年赋。公共防务而不是美化雅典城,才是这些行动的真正目的。为了支付雅典海军舰船费用,建立了基金,当雅典海军的战事因和平的恢复而终止之际,这些费用支出就应当转而分配给在新的民用职位中,作为采石匠、搬运工和泥瓦匠的同样的雅典人。这种基金的”转换”是不正当的;唯一支持此事的是雅典军队。

    素福克勒斯和苏格拉底各自都引出了针对一个城邦加诸于公民的不可接受的道德要求的道德心问题。索福克勒斯是在一出戏剧演出中引出这一问题的;苏格拉底为道德缘故而使自己招致死刑,从而引出这一问题。据说,素福克勒斯曾于公元前440年,因其戏剧而当选为十大将领之一,他们受命指挥由雅典同盟发动的对萨摩斯的战争,后者试图摆脱雅典的控制。不可思议的是。接受这一任命的竟是《安提戈涅》的作者。更为不可思议的是,苏格拉底竟然愿意参加一支雅典远征军,这支军队于公元前432年对另一个反叛雅典同盟的波蒂迪亚作战。显然,在苏格拉底和素福克勒斯二人眼中,他们作为其公民的那个城邦,在与其他城邦的冲突中,不管怎样都是其公民-信徒必须为之尽责的偶像,即使在其他情况下,他们也会觉得,他们的良心驱使他们对国家极尽忠诚。

    在第二次雅典-伯罗奔尼撒战争前夜,在一份给斯巴达的呼吁书中,科林斯人把雅典斥责为一个”僭主之城”。在这次战争进程中,据说有一位雅典政治家告诉他的同胞们,如果雅典希望保持她的霸权,就不必因其所犯的暴行而畏缩不前。雅典的霸权衰落之后,得胜的敌手拆毁了把雅典与她的港口连接起来的”长城”,这道长城使雅典在抵御来自陆地的进攻时坚不可摧。作为一个保持平衡之举,这一毁城行动,受到了整个希腊世界的欢迎。当时的历史学家–被放逐的雅典海军军官修昔底德记述另一位雅典政治家,即伯里克利本人,把雅典形容成”希腊的楷模”。对公元前5世纪雅典的这两方面的描述,都是言之有理的。

    从此前雅典在希腊历史上的原几何和几何风格时代所起的作用这个意义上来说,公元前5世纪的希腊,确实是”希腊的希腊”。希腊世界的文化活动又一次集中于这一特定的地点。伯里克利时代的阿提卡雕刻家菲迪厄斯受雇为雅典卫城的新神庙创作了雅典娜雕像,而且还创作了奥林匹亚的宙斯雕像。这是世所公认的雅典文化精品;尽管奥林匹亚是泛希腊的礼仪中心,但由于它位于伯罗奔尼撒联盟的版图内,因而它受斯巴达领导;为了庆祝公元前480-前479年击退波斯人的胜利而对奥林匹亚的装点美饰,在某种程度上说,成为伯罗奔尼撒人对同时代雅典装饰风范的短促而有力的一击。

    当然,即使是在公元前5世纪,雅典人也并未能垄断希腊的文化成就。雅典的巴台农神庙不仅被奥林匹亚的宙斯所超越,而且,甚至在那个时代更早些时候,在形制规模方面,就已被西西里的希腊城邦阿克腊加斯和塞利那斯超过。在泛希腊的喜庆节日里,受胜利者(包括一些雅典的胜利者)之托进行颂歌创作的最卓越的作曲家,是底比斯的诗人平德尔(公元前522-前442年)。意大利的希腊城邦埃利亚,是希腊哲学中一元论学派的学校所在地,这所学校以不屈不挠的巴门尼德(约公元前515-前445年)和芝诺(约公元前490-前420年)为代表;与毕达哥拉斯再生思想相关的多元论的复归,是阿克腊加斯的哲学家兼医生恩培多克勒(约公元前492-前432年)所为。在第二次雅典–伯罗奔尼撒战争时期(公元前431-前404年),不管其道德与否,作为一种产生实际效果的手段,驾驭语言的艺术为一些语言大师创造出来,反对他们的人把他们称作诡辩家(”耍小聪明的人”),以此来低毁他们。最初出现的诡辩家之一,是西西里岛上的希腊城邦莱昂蒂尼的戈加斯(约公元前480-前395年)。很快,诡辩学者不断在整个希腊世界涌现,其中许多人都到雅典去,因为雅典是当时最强大的希腊城邦。如果我们不理会阿里斯托芬对苏格拉底的诽谤性攻评,那么著名的诡辩家中,便没有一个人出生于雅典。

    雅典对公元前5世纪希腊文化与众不同的贡献,主要在戏剧艺术、哲学和瓶饰绘画艺术诸领域。

    公元前5世纪的雅典戏剧,无论是悲剧还是喜剧,既不同于荷马史诗,也不同于后荷马时代已成为一种宗教仪典的挽歌体和抒情体诗歌,然而,不同于荷马史诗之处还在于,它又像挽歌体和抒情体诗歌那样,表达了个人的和个性的情感。这种艺术形式是一种宗教仪典的令人惊异的异变,而这种宗教仪典起初充满着粗野的性感和狂欢气氛,并在以后始终也未完全抹去其原始的痕迹。这种放荡的仪典,并非是为了色情的目的,而是通过令人喜爱的巫术,达到刺激人类自身生产和驯化植物与动物的目的。尽管如此,从中仍异变出了希腊世界祭祀酒神的秘密纵酒宴乐,小亚细亚对赛比利女神狂欢滥饮的礼拜,孟他努斯教女先知们倾泻情感的预言,米列维的伊斯兰教苦行僧的催眠舞蹈,以及受到公元前11世纪叙利亚国王扫罗影响的那些先知们的狂乱言行。

    当雅典戏剧家们从这种毫无前途的原始宗教材料中创作出戏剧时,他们的演出技艺达到了非凡的水平。剧中,人类生活的露天场景和原始宗教中那些令人困惑之处,在一支合唱队和一组演员的相互合作中,呈现于世人面前。由演员在舞台上扮演的剧中角色,就像公元前8世纪公共生活中的以色列和犹太先知那样地具有个性。有四位公元前5世纪的雅典戏剧家的作品得以传世,他们是悲剧作家埃斯库罗斯(公元前625-前456年)、索福克勒斯(公元前495-前406年)、欧里庇得斯(公元前480-前406年)和喜剧作家阿里斯托芬(约公元前449-前380年)。他们的作品表现出了这些戏剧诗人们异彩纷呈的才华。他们所形成的艺术风格,成为他们议论有争议的现行政治问题,以及探查人性的精神深度的工具。

    公元前5世纪的雅典并不是希腊哲学之母。希腊哲学的诞生地,是公元前6世纪的爱奥尼亚。然而,苏格拉底却以审慎地改变问答范围–从物质世界到人性–的方法,使这种爱奥尼亚的理智活动发生了转变。苏格拉底的生与死,极大地激励了他的学生柏拉图(公元前427-前347年)。柏拉图也是克罗托内哲学家毕达哥拉斯的学生,他从锡拉库萨的戏剧家埃庇卡摩斯那里找到了对话形式的范本,立以这种对话形式创作了他的哲学著作。柏拉图对希腊哲学思想最根本、也是最有争议的贡献在于认识论,即有关宇宙结构的理论。柏拉图把毕达哥拉斯关于数学是通向形而上学之门的认识,与诗人在逻辑思维内的直觉,以及诗人展开想象的羽翅高飞的能力结合起来了。

    斯特吉洛斯(哈尔基季基东部沿海的一个小的希腊殖民城邦)的亚里士多德,是柏拉图的学生和尔后的批评者,他也曾是雅典的临时公民。也可能是在家乡马其顿,他应腓力王之邀,一度曾任腓力的儿子亚历山大的老师。亚里士多德既不是一位诗人,也不是一个数学家;以柏拉图的标准,他是缺乏想象力的,或许正是脚踏实地而使他引以为荣耀。他是柏拉图式的知识巨匠,他毕生致力于逻辑学、认识论和形而上学诸领域的著述,成为这些学科的开拓者,尽管他在世的时间比柏拉图要短18年。他的著作为以后所有希腊哲学所汲取,并在公元12-17世纪期间,支配了西方基督教精神世界。亚里士多德还是最早从事实地调查的研究者,一个在政治和物理科学领域组织他的学生从事研究活动的优秀的组织者。在古希腊哲学家的黄金之链中,苏格拉底、柏拉图和亚里士多德的光耀胜过所有他们的前人和继承者,苏格拉底的光辉映出了这三位声名最为显赫的巨匠。

    公元前5世纪,雅典的陶工和花瓶画匠继续占据着市场,包括十分赚钱的埃特鲁斯坎的市场。这个市场是公元前6世纪,他们从科林斯与斯巴达竞争者手中赢得的。直到公元前4世纪,雅典产品在意大利市场的优势,才受到以流行的雅典风格在阿普利亚成批仿造的产品的威胁。一些最优秀的雅典花瓶画匠在他们的作品上签上姓名,这表明无论是画匠本人,还是他们的主顾,都把这些作品视为艺术品。幸存下来的雅典花瓶画匠们的作品,至今仍有很高的鉴赏价值。从另一方面而言,似乎这些雅典花瓶画匠的同时代人,对这些雅典艺术品的美缺乏审美感觉,或许是因为,这些作品作为对雅典收支平衡有益的出口物,在他们眼中通常只具有经济方面的重要作用。

    第二十九章 亚历山大征服第一波斯帝国的政治后果

    (公元前329-前221年)

    在公元前359-前338年这20年间,马其顿国王腓力二世把他的政治统治,扩展到了奥特朗托海峡以东除伊庇鲁斯、斯巴达和拜占庭之外的所有欧洲希腊城邦。在公元前334-前325年的10年之内,腓力的儿子和继承人亚历山大征服了整个波斯帝国,包括它曾在印度地区控制的所有领土,并从未丧失从他父亲那里继承的疆土的控制权。公元前324-前323年两年里,亚历山大有效地控制着整个旧大陆的中央地区。公元前324年,他命令科林斯城邦同盟的所有成员遣返被他们放逐的公民,以表明他对希腊的统治权。亚历山大意欲征服其余的文明地区,首当其冲的便是阿拉伯。(他和他的同时代人,没有任何人意识到,地球表面的土地上有人居住的地方到底有多大。)但是在公元前323年,亚历山大意外而突然地过早去世了,因而,他正在实行的政治抱负,尽管十分宏大,却至此完结。他生前有足够的时间得以摧毁波斯帝国,但却未能有足够的时间建立一个他所为之奋斗的全球帝国。他吞并了波斯帝国的整个领土,从而极大地扩展了希腊世界的范围。但是在他身后,这个扩大了的希腊世界却再度陷入无政府状态。公元前338年之前,那个地域较小的前亚历山大的希腊世界,正是在这种状态中生存的,那一年,腓力二世建立了科林斯同盟。

    亚历山大的死,成为为瓜分他开创的短命帝国而引起的斗争的信号。包括斯巴达在内的希腊南部城邦,立即起兵反抗马其顿。公元前322年,除埃托利亚之外的所有南方城邦,都被迫投降,但到公元前321年,马其顿军队的高级将领们,彼此之间开始进行战争。亚历山大继承人之间的战争,持续了40年(公元前321-前281年),腓力二世和亚历山大联合开创的事业毁于一旦。交战的各方互相争夺原波斯帝国政府200年间从它的属邦掠夺积聚的金银,以筹措资金。他们争相滥用这些金银于装备马其顿的军队,各方还招募非马其顿人的希腊雇佣军,以补充兵员之不足。用金钱雇用士兵的方式,很快就在整个大希腊世界流行开来,其结果造成了通货膨胀,致使希腊工商业中心地区靠工资为生的公民的实际收入下降。

    在亚历山大继承人之间的这些战争,与公元前338年腓力二世以强力实现和平之前的希腊城邦战争相比,其激烈残忍程度要小得多。崇奉城邦制的公民们,怀着刻骨的仇恨彼此争战。亚历山大的继承者们也受到他们的部属或是他们自我的崇奉,但他们的这种崇奉并不是十分虔诚的,因为他们首要的目标毕竟还在于掠夺。希腊城邦制如今已不再是至高无上的了,它们已成为继承人战争游戏的赌注,战争的主力是职业军人,而不是支付给士兵的金钱。因此,屠杀被打败对方的军队所取代,得胜者吸收败军加入自己一方,同时,对城镇的劫掠,也被他们对城镇的”解放”取而代之,那只是对从某些敌对的军阀手中攫取对这些城镇的政治控制权的一种婉词而已。在公元前335年亚历山大劫掠底比斯并把它的居民出卖为奴隶,和公元前223年马其顿的统治者安提柯三世及其盟友以同样的暴行对待曼提尼亚之间的这些年里,没有任何希腊城市经希腊人之手遭到毁灭。(在相同的时期内,阿克腊加斯和奥特朗托海峡以西的其他希腊城邦都遭到了劫掠,他们的居民都沦为奴隶,这些都是非希腊人所为。)

    即使如此,继承人之间的战争,此后继承人后裔们之间的经常爆发的战争,仍使奥特朗托海峡以东的大希腊世界处于混乱之中。对绝大多数前波斯帝国版图之内的居民来说,希腊人取代波斯人的统治,只是一种更糟的变化。波斯的统治给予它的臣民以休养生息的机会,以使他们从亚述军队蹂躏的影响中恢复元气。与亚述帝国相比,波斯帝国统治松散,在其统治晚期,帝国已摇摇欲坠,混乱不堪。埃及退出了帝国;地方督抚们反叛了;高原的部族也摆脱了帝国政府的控制。波斯的控制与如今取而代之的希腊的统治相比是较轻的。在后亚历山大时代就像前亚历山大时代一样,希腊世界由于缺乏最终结局而始终战乱频繁。

    在大规模的马其顿征服中,最终遭受最严重灾难的国家,正是马其顿自己。腓力二世征服希腊和尔后亚历山大征服波斯帝国的意义,就在于从马其顿农民中征召了步兵,以弥补由贵族组成的马其顿骑兵的不足。(骑兵始终是马其顿军队的主力部队,但假如没有农民步兵方阵的配合,它便缺乏足够的力量赢得并维持其征服。)当亚历山大侵入波斯帝国之际,他不得不把一半军队留在欧洲殿后,以镇压南方的希腊人并阻挡北方的蛮族。马其顿为了满足亚历山大不断提出的新的征兵需求,而耗尽了它所有的人力储备。此后,每一位继承人都至少要保持一支由马其顿人组成的禁卫军团部队,以作为其嫡系军队的中坚力量,而正是借助这支嫡系军队,他才得以征服并维系他从腓力和亚历山大留下的帝国版图上瓜分到的那部分领土。公元、前280-前279年,亚历山大的继承战争刚刚结束,马其顿就受到来自多瑙河地区的凯尔特游牧民的侵扰,在她摆脱这些蛮族入侵者之后,她发现自己已面临人力不足境地,并仍然不得不在两条战线上同时作战,一方面要与北方蛮族作战,另一方面要与摆脱了马其顿控制,而如今不断向她发起进攻的南方希腊人作战。

    对马其顿威胁最大的南方的希腊敌人是埃托利亚同盟。这是公元前322年唯-一个未向马其顿投降的、反叛的希腊城邦同盟。大约公元前300年,埃托利亚人在政治上确立了他们对德尔斐的控制,那是一个保持了前亚历山大时代重要性的泛希腊圣地。此后,埃托利亚又逐渐吞并了她的北部和东部地区。到公元前235年,她的势力范围从希腊半岛的东岸扩展到西岸;公元前226年,在她对外扩张的短暂的高潮时期,埃托利亚顺利地推进到了马其顿的南部边界。埃托利亚具有罗马人那样开阔的政治胸襟,给予所有被并入其国家中的人民以完全的埃托利亚的公民权。

    公元前251年,亚该亚同盟沿科林斯湾的伯罗奔尼撒海岸也同样开始向外扩张,然而与埃托利亚相比,它的扩展是很不巩固的,其在军事势力方面无法与埃托利亚相匹敌。而且,亚该亚同盟在斯巴达还遇到了一个难于对付的对手,尽管这个过去的伯罗奔尼撒霸主在公元前369年和公元前338年,先后被底比斯人和腓力二世割掠了许多领土,但依旧保持着不可屈服的气势。

    在当年波斯帝国版图上建立的两个最主要的希腊城邦,是由亚历山大麾下的两员大将托勒密和塞琉古分别创立的。托勒密获得了埃及和叙利亚的南半部,塞琉古虽然没有全部获得,却获得了波斯帝国亚洲遗产的绝大部分。在小亚细亚西北部,比希尼亚建立了一个地方王朝,从而获得了独立;黑海和内陆的卡帕多西亚及北部米底(阿托帕特尼,阿塞拜疆),也在伊朗王朝的统治下安居。公元前302年,塞琉古被迫把伊朗东部边缘地区割让给印度帝国的创建者旃陀罗笈多?孔雀,此人自公元前322年以后所取得的成就,大大超过南方的希腊城邦。旃陀罗笈多成功地驱逐了马其顿在印度地区的驻军,继而把它的版图扩展到了塞琉古征服恒河–朱木拿河流域的摩揭陀帝国时获得的广大地区。

    塞琉西帝国过于辽阔,因而不能成为一个统一的整体。在发生于公元前281年的最后一场继位之战中,塞琉古只是名义上的胜利者;当他遇刺的时候,他已经又一次穿越达达尼尔海峡,向马其顿方向前进;而真正的胜利者却是逐水草而居的凯尔特游牧部族,他们定居在小亚细亚的心脏地区,而在以后的半个世纪中则四处侵袭,广为征战,直到他们被小亚细亚西部的一个小国帕加马阻止为止。这个小国是由一名幸运的军人创建的,他获得了被置放于那里城堡中的大量波斯人的财宝。大约是在公元前3世纪中叶,塞琉西疆域的范围,因乌浒河–药杀水地区的希腊行政总督的脱离和同时发生的西部省份安息被帕勒人(一个故居在今天土库曼的游牧民族)占据,而急剧缩小。

    在整个公元前321-前221年期间,亚历山大遗留下来的令人厌烦的遗产,就是那些极具灾难性的战争,其后果是无法确定的。马其顿无法重新征服南部希腊,而南部希腊也无法撬开马其顿束缚于希腊之上的”三副镣铐”,这就是德米特里,哈尔基斯和科林斯的卫城。公元前243年,亚该亚人从马其顿手中解放了科林斯,但作为对马其顿站在亚该亚同盟一边,卷入对斯巴达武装干涉的回报,公元前225年又把科林斯卫城还给了马其顿。公元前222年,马其顿人和亚该亚人打败了斯巴达人,在斯巴达历史上,这是斯巴达本土第一次被外国军伙所占领;然而.斯巴达很快重新获得独立,并继续被看作是一个军事强国。与此同时,爱琴海的海上控制权已被托勒密二世从德米特里一世手中夺走,尔后又于约公元前257年和约公无前246年,被马其顿作为先后对科林斯和安德罗斯海战胜利的战果,从托勒密帝国手中夺走。公元前221年,为争夺处于托勒密和塞琉西帝国之间的南叙利亚而爆发了第四次战争,战争的结果使得这块不屈不挠顽强抵抗的土地,仍然保留在托勒密帝国的手中。公元前221年,旧大陆上最重要的事件莫过于中国政治统一的完成,这一年秦国最终实现了对它的六个竞争对手的征服和吞并。中国的统一是决定性的和最终的。从那以后,中国的分裂往往只是部分的和短暂的。在20世纪70年代,一个统一的中国正在世界事务中扮演着重要的角色。然而,在公元前221年,从印度向西直到地中海西部地区,旧大陆的其余部分,正处于一个痛苦时代的前夜,地中海地区和印度直到公元前31年和公元后48年,才先后摆脱了这一时代。

    第三十章 希腊文明的发展与传播

    (公元前334-前221年)

    公元前334年,亚历山大越过达达尼尔海峡。当然,我们并不把这一年视为希腊文明发展和传播的起点。此时,这一文明早已成长起来,并至少已传播了4个世纪之久。这一历史进程起始于公元前8世纪,当时希腊文明在长时期的酝酿之后渐臻成熟,绽放出花蕾。但是,当希腊人侵入并征服了波斯帝国之际,他们便有意识地大规模传布他们的文明;他们使自己必须对两种截然不同的对付异族臣民的政策作出选择;他们大规模地扩展并改变着他们自己的生活环境,其突然性与激烈性,使得他们必须创造出新的哲学思想,以便使他们在面对社会与伦理道德的诸多未知领域时,辨明方向并获得力量。

    在亚历山大东征之前的4个世纪里,前几代希腊人已经为他在那仅仅四分之一世纪中所要从事的事业铺就了道路。作为商人,他们时常出入于叙利亚和埃及;作为雇佣兵,他们服务于埃及、巴比伦和波斯帝国的军队;而作为流放者,他们则被远逐到东北方向远及乌浒河畔的粟特。在亚历山大大帝之前,希腊城邦的钱币流通于波斯帝国市场,与帝国货币形成竞争。就此点而言,希腊人更善于经商,而不精于务农,他们被限制在叙利亚的阿尔米纳(亦称波塞迪姆?)和尼罗河三角洲的诺克拉提斯。但是,希腊人用武力开拓了意大利南部沿岸,西西里和昔兰尼加地区,以及进入黑海的达达尼尔海峡和博斯普鲁斯海峡两岸。他们还沿着黑海海边建立了许多商站。到公元前334年时,西西里岛腹地幸存下来的本地人也已习惯于讲希腊语,并习惯于在希腊式的城邦中生活,其时,意大利的埃特鲁斯坎人、阿普利亚人和其他非希腊民族,都不同程度地接受了希腊的生活方式。

    既然波斯帝国广大的领土已为希腊军队所征服,那么征服者就必须作出抉择:在被征服的人民中间,他们是否应该使自己充作统治民族,抑或是与他们非希腊的民族伙伴平等相处并互相通婚。亚历山大的前任教师亚里士多德提出了一个毫无人性的非科学命题,他认为希腊人生来就应是主人,而非希腊人生来就应作奴隶;尽管如此,亚历山大本人和亚里士多德的学生泰奥弗拉斯托斯却选择了平等相处的政策,并且,就在亚历山大过早地去世之前,为了他的伊朗臣民的利益,他已经开始把这种极为宽宏大度的思想政策付诸实施。他为希伊的重修旧好举行庆典,提倡并奖励希腊人与伊朗人及其他亚洲人通婚。似乎亚历山大已然认定,他提出的民族融合的文化结构理所当然地应当是希腊文化,而这正是亚历山大政策的基础,这一政策是由他的继承人塞琉古一世完成的,后者把从波斯帝国掠夺到的最大一块领土据为已有。希腊人与伊朗人之间的融合,最远扩及乌浒河–药杀水流域,那里置于一些当地的希腊统治者治下,大约公元前250年,这些统治者脱离了继承波斯帝国国业的塞琉西王国的控制。在另一方面,在托勒密统治下的埃及,这个王朝与它的希腊代理人,其举止就仿佛他们真是一个统治民族似的。在这里,除去最不关紧要的行政职位以外,王国政府将一切事物和职位都掌握于希腊人之手,埃及的所有希惜人都与托勒密政权合作,共同剥削当地的埃及人。

    公元前221年,希腊人在埃及的这种狭隘政策仍在有效地运行,但是绝大多数的埃及人则已不再甘心于被视为一个劣等民族。的确,埃及文明至少在两个重要的意义上优于希腊文明。埃及妇女比希腊妇女据有较为优越的法律地位,此外,埃及很少有奴隶,被剥削的埃及农民都是自由民。尽管在埃及富有的希腊村社成员都拥有奴隶,但托勒密政府仍采取措施防止它自己的臣民沦为奴隶。

    移居者只可以携带他们仅有的动产,而不管他们是作为追随亚历山大而来的希腊人那样的征服者,还是250年以前作为囚徒从犹太被逐赶到巴比伦的犹太人那样的流放者,均一视同仁。如果这些移居者在一个异族人口数量占优势的新环境中,希望保待他们的社会与文化特性的话,他们随身携带的少量财产,就肯定是他们自己认为最贵重的财产,以便于在他们经历了远离他们所根植于斯,从而结下不解之缘的祖先的土地,远离他们所熟悉的那个传统文化环境所带来的巨大创痛时,得到鼓舞和慰藉。一名犹太教的流放者不得不放弃他的礼拜仪式,因为这种仪式只能在耶路撒冷的神庙中才能正确地举行;而一名希腊移民则不得不抛弃他在故乡本土的保护女神的神殿。与公元前6世纪的犹太人一样,公元前334年前后的希腊人继之而来陷于同样的心理困境。一名希腊移民所拥有的奴隶,从文化意义上说,只是一群便于携带的经济财产。希腊人是不可能仿效犹太人散居各地而仍能幸存的绝技的,因为希腊人不像犹太人那样拥有具有很高思想价值的、便于携带的精神财产。

    戏剧写作和志同道合的哲学家社团,是雅典希腊文化的两大遗产,尽管已得到证实,其并非是从雅典移植而来。希腊哲学发端于爱奥尼亚,并在其落脚于雅典之前,曾移传至意大利,但是,苏格拉底、柏拉图和亚里士多德却把希腊哲学固定在一座雅典的坟墓中。在戏剧写作方面,几乎为雅典人所垄断,虽然在西西里和意大利也曾有过希腊喜剧和滑稽剧学校。然而,在雅典生活和工作过的剧作家和哲学家,却不一定就是雅典本地人。

    公元前5世纪,三位最负盛名的雅典悲剧作家和喜剧作家阿里斯托芬,都是雅典本地人。但是,在雅典的新派喜剧作家中,只有一位米南德(约公元前342-前291年)是本地人。狄菲洛斯(约公元前318-前274年)是从锡诺普来到雅典的;菲莱蒙(公元前301-前263年)来自锡拉库萨;亚历克西斯(约公元前357-前274年)则来自意大利半岛”靴子尖”上的图里。

    在开设于雅典的四个主要哲学会社的创始人中,只有柏拉图是地道的雅典本地人。伊壁鸠鲁(公元前341-前270年)是雅典移民的后代,他的双亲迁徙到了萨摩斯,当萨摩斯于公元前322/321年获得解放时,他们则被驱赶了出去。伊壁鸠鲁的同仁们在雅典居住的庭园,是公元前306年由他在兰萨库斯的富有的弟子们为他们学派的奠基人买下的。亚里士多德的家乡是斯特吉洛斯,晚年他觉得雅典过于炎热而无法居住。亚里士多德的追随者们在宗师去世之后,由他的弟子泰奥弗拉斯托斯(公元前372/371-288/287年)主持定居于雅典的吕克昂,后者的家乡在莱斯沃斯岛的埃里萨斯。至于说斯多葛学派的创始人芝诺(约公元前326-前264年),他于公元前320-前314年期间,从他的家乡塞浦路斯的基提翁城来到雅典。基提翁是腓尼基人的一个殖民地,在公元前4世纪期间,用迦南文(又叫希伯来文)镌刻的碑铭,远比希腊文的多。在各位宗主身后负责执掌这4个学派的继承人,则来自泛希腊世界的各个地区,甚至来自希腊世界以外的地方。例如,于公元前127/126-前110/109年在雅典执掌柏拉图学院的汉尼拔-克莱托马科斯,就来自迦太基,他与芝诺一样,也是一个殖民地的腓尼基人。

    此外,在雅典创作的戏剧也能在别的地方上演,而设在雅典的哲学社团也可以在其他地区招徕信徒。其中,泛希腊巡回演出剧团联合会就是这种把泛希腊世界联系在一起的组织之一。在雅典人所供奉的古希腊戏剧之神狄俄尼索斯的保护下,那些巡回演出的艺人,在所有拥有剧场的希腊城市中上演希腊戏剧。公元前5世纪的剧作家欧里庇得斯笔下的悲剧,与他在晚年创造的古希腊风俗喜剧一道,在希腊剧坛上发扬光大。

    开设于雅典的两个前亚历山大时期的哲学家社团孤芳自赏,远离世俗;后亚历山大时期的两所学院,则是应当时知识界和社会的需求应运而生的。伊壁鸠鲁与他同时代的中国道家哲学家庄子一样,倡导他的学生规避公共生活。伊壁鸠鲁把他的财富化入他的私人友谊。芝诺则象孔夫子那样,教诲他的学生在一种新的社会环境中如何保持高尚的个人行为准则。因为,在这种新的社会环境中,作为君主城邦国家的一个公民,个人已不再可能依赖于道德来支持或约束他的责任。这都是些布道式的哲学,所以,从较大程度上来说,都是犬儒学派。犬儒学派的创始人安提西尼(约公元前445-前366年)是具有一半色雷斯血统的雅典人,他居住在雅典的快犬健身房里。锡诺普的第欧根尼,或许是与亚历山大同年去世的。他是安提西尼的信徒。与佛陀一样,他也认为精神自由的价值就在于从物质财富的藩篱中解脱出来。后亚历山大时期的犬儒派哲学家们,四处云游,用他们的主张号召民众。他们不仅用他们的口,而且通过身体力行传播他们的苦行主义。

    后亚历山大时期的希腊文化财产中最易于传播的,莫过于希腊语言中的雅典方言的国际形式,即古希腊共同语。古希腊共同语的雏型大概形成于雅典帝国(公元前454-前405年)存在的半个世纪中,而更为幸运的是,腓力二世国王采用它作为马其顿王国的官方语言,却把马其顿当地的希腊方言弃之脑后。从那以后,古希腊共同语使作为官方用语、世俗文学和日常生活用语通行于希腊世界。这是一种不断变化着的活语言,以适应不断变化着的希腊生活对它提出的要求。尽管如此,雅典希腊语同时仍然以其”矫揉造作的”形式,在雅典文学家伊索克拉底(公元前436-前338年)的作品中得到体现并四处传播。

    古希腊共同语的雅典语,是传达思想与情感的实用语言,伊索克拉底的雅典语,则是语言艺术家为使思想内容服从于文字风格,而对文学作品进行润色的素材。古希腊共同语是后亚历山大时代希腊科学和学术所使用的语言,其时的科学和学术中心已不是雅典,而是尼罗河畔的亚历山大城,科学家们在那里获得了一些杰出的发现。赛里尼的厄拉多塞(公元前276-前194年或前264-前202年)是亚历山大博物馆的图书管理员,他通过精巧的观察和测量,大致准确地计算出了地球的周长;萨摩斯的阿利斯塔克(约公元前280年)认为不是地球而是太阳是宇宙的中心。但是,尼西亚的喜帕恰斯(约公元前190-前121年)却又把地球重新置于它过去的错误位置上;而在锡拉库萨,阿基米德(公元前287-前212年)为把他的科学理论应用于民用和军事技术的粗俗行为而表示歉意。

    与政治征服一同进入波斯帝国所遗弃的领土的希腊文化,同样也需要一种便捷的社会载体,亚历山大和他的继承者从前亚历山大时期希腊文明的主流社会体制中发现了这一载体,这就是城邦制度。在前亚历山大时期的希腊城邦中,几乎没有一个城邦最终完全保持其独立。罗得岛则是成功地保持了独立的突出例子。公元前305-前304年,罗得岛在她的”救星”托勒密一世的援助下,击退了德米特里一世(”围城者”)发动的进攻。希腊世界的向东扩展,使得罗得岛在海上交通网中占据了一个举足轻重的地位。罗得岛控制了爱琴海通向托勒密王朝的首都亚历山大城和位于奥龙特斯河畔的安条克的港口塞琉西亚佩里亚的海上通道,后者是塞琉西王国的西部首都。尽管腓力和亚历山大以及他们的继承人们吞并了大多数前希腊城邦的领土,他们却又依据一种新的样式,新建了329座城市。不仅仅是他们,而且安息和其他塞琉西领土的征服者,游牧民族帕勒人和伊朗人,通常也对希腊城邦施之以礼遇。公元前348年腓力对奥林索斯以及公元前335年亚历山大对底比斯的破坏,均属例外的暴行。其中,底比斯又于公元前316年,为亚历山大的第二代继承人中两个最为残暴者之一的卡山得重建。其他一些城邦对底比斯的复兴也作出了贡献。当公元前227年罗得岛毁于地震之际,希腊世界各地的国王和城邦都为救灾作出了慷慨捐赠。一个丧失了主权的城市,是很便于行政当局施行行政管理的。如果它是一个新建立起来的城市,未纠缠于任何对于过去主权独立的富于诱惑力的回忆,面对着的只是依附于城市的一些非希腊的农业居民,那么这个城市便很容易效忠于创建它的王室。最早由王室创建的城市是腓力二世时期的菲利皮,这个城市镇守着腓力王的金矿;最著名的还要算亚历山大创建的位于尼罗河畔的亚历山大城(其后,许多新建的城市也都用这个名字命名)。在亚历山大的继承人中,最勤奋地致力建立新的希腊城市的人,是乌浒河–药杀水流域的塞琉西和希腊君主们,他们摆脱了塞琉西王国的控制,并最终征服了印度西北部。每一座希腊城市,不管是新的还是老的,都有一处会场、一所剧场,并至少有一座体育馆。剧场和会场是用于各种目的的集会场所。体育馆是散居在外的希腊人聚居的场所,相当于犹太人的会堂。在非军事化的城市中,体育馆则成为知识分子以及运动员的俱乐部会所。

    发达的城市不仅是希腊文化得以传播的载体,而且也是马其顿的老兵及其接受过最初的公民素质教育的子孙们与散居在外的希腊人、非希腊籍的士兵、商人和工匠们的混合聚居之所。

    通过这些散布于各地的众多的传播载体,到公元前221年,希腊文明已遍布于除埃及之外的、前波斯帝国的整个版图之内。在埃及,托勒密王朝像与其同时代的秦王朝那样,实行了直接的行政统治,他们只在底比斯建立了一个新城–托勒密城,再加上他们从前辈那里继承的另外两个城市–亚历山大和诺克拉提斯。公元前334年,波斯帝国境内的希腊居民点只有小亚细亚西海岸的一些城邦,还有少数城邦散布在小亚细亚的南部和北部沿岸,以及昔兰尼加、诺克拉提斯和远在东北方向的一些希腊人流放地。在公元前3世纪中,城邦的发展给人留下了深刻的印象,但也是很有限的。新建的希腊殖民城市尽管数量不少,但对于由非希腊人口汇成的汪洋大海来说,仅只是一些散布其中的孤岛。这些城市周围农业地区的农民都是非希腊人,甚至在城墙之内也有一些非希腊人的居住区。在叙利亚,阿拉米共同语作为日常生活用语成功地取代了迦南语(希伯来语),而希腊共同语在这方面则显得逊色很多。希腊共同语只是曾一度取代阿拉米共同语,成为各地通用的官方用语,而在伊朗东北部地区,希腊字母则通常被镌刻于一些官方的碑铭,用以表达伊朗的地方方言。尽管如此,阿拉米文字最终战胜了希腊文而普遍流行于幼发拉底河以东的前波斯帝国统治下的广大地区。

    第三十一章 中国的战国时代

    (公元前506-前221年)

    从公元前771年到前506年,由于持续了两个世纪的自相残杀的战争,中国的政治结构发生了转换。如前所述,在周朝遭受公元前771年的劫难以前,大约有300个小诸侯在它的统治之下。公元前506年,有7个大国环绕在中央地区一群小国的外围。洛阳附近周天子直接统治下的那块小领地就是这些小国中的一个。周朝于公元前771年从渭河流域东迁后,洛阳就是它的避难所。7个外围大国中的4个–地处黄河入海口和海河流域的燕,地处淮河、汉水和长江流域的楚、吴、越–位于周朝公元前11世纪所统辖领土之外。那时,周取代商成了最大的强国。第五个大国秦当时据有了周在渭河流域的原有领土;但是,公元前506年的秦就象公元前11世纪以前的周一样,是一个文化落后的国家。7个外围大国中,只有晋和齐位于中国文明原有的领域内,即周族从商族那里接管过来的领土之中。

    7个外围大国都处于相互的威胁之下,这强烈地刺激了各国政府;使它们成为军事上、行政上和经济上都富于效率的政府。效率的关键是政治上的专制主义。假如一个大国希冀在与它同伴的竞争中生存下来,它的统治者就必须竭力避免陷入软弱无能的境地,而宗主国的周朝就曾陷入过这样的境地。所以,诸侯国君总是尽可能地获取对于自己臣民和领地内资源的有效控制。然而,这就要求传统的中国社会结构发生根本性的变革。在传统的社会结构中,即使各诸侯国的国君在实际上已经独立于宗主的周王朝时,他们在自己的领地内,也不过是世袭贵族成员中地位最高的一个。而这些世袭贵族们又与当地的统治家族竞争以获得公职和农产品。

    这一内部问题对于齐和晋的统治者来说是一个关键。在那里,传统的贵族社会结构由于长期存在而得到了强化。对于南部的楚国来说,这也是一个关键问题。不过在南部,公元前6世纪末叶的主要问题是诸侯政权之间的关系。在南方原先蛮族聚居地区,汉化进程迅速展开;由于采用了华夏族的生活方式,南方的军事实力和政治实力日益增长起来,因而,每一个已经进入华夏世界的南方诸侯国,都很快在自己的后方受到离中原地区更为遥远的、与汉化接踵而来的另一个国家的威胁。

    楚国是一个地跨长江中部的前蛮族国家,自周王朝衰落以后,它一直在中国的霸权政治中扮演着主要角色。然而,在公元前506年,它却受到了另一个更年轻的,兴起于长江下游和淮河下游的前蛮族国家吴国的进攻和蹂躏。楚国得到了越国的帮助。那时的越国,地处楚国和吴国以南的地区,还是一个正在形成中的不发达国家。不久,吴国又把越国变成了自己的属国。公元前489年到前485年,吴国又不自量力地继续进攻齐国。吴国企图获取整个中华大地的霸权,但它的实力与它的野心并不相称。吴国对于齐国的进攻失败了,吴国力量的分散也给了楚国在公元前488年到前481年之间重新建国的机会。公元前473年,吴国自身也被越国征服和吞并。

    齐国不仅未退了吴国的进攻,而且经历了一场世袭贵族与国王之间的内部斗争。在齐国,国王是胜利者。但是晋国的国君,却于公元前497-前490年,在地方贵族对立各派间的内战中受到了削弱。公元前455年到前453年的第二次内战中,四家相互对抗贵族中的一家被消灭,其他三家在实际上把普国瓜分了。公元前403年,由晋国分出的魏、韩、赵三个诸侯国得到了法律上的承认。从公元前453年开始,继晋国而起的三个后继者中的每一个,都试图依赖自己的力量扮演大国的角色,但就象公元前489年-前473年的吴国一样,它们试图达到的目标总是超出自身的实力之外。地理上错综复杂的分割也使得韩、赵、魏三国更为衰弱。魏国和韩国世袭而来的部分领土是飞地,在地理上与该国瓜分而来的主要领土彼此分开。从瓜分晋国中最终受益的是魏、韩、赵三国的东邻齐国。

    自公元前453年起,共有8个直相对抗的大国。大国的统治者怎样才能最大限度地发挥该国的军事潜力呢?增加国家军事实力的一种方式是,以确有才干的人取代那些世袭官职者,即使这些才学之士不具有王族或贵族的血统。第二步是以郡县取代世袭的采邑,这以前一步骤为先决条件。这些地区性机构由国君雇用的官员管理,而且国君可以随时罢免他们。

    晋国被瓜分后,在继之而起的3个诸侯国中,魏文侯(公元前446-前397年)是一个胆魄超群、雄心勃勃的统治者,他试图通过在政府机构中任用来自社会下层的才学之士的方式,弥补自己国家的国土狭小、人口稀少和资源不足的弱点。随之而来的军事实力的增长,诱使魏文侯于公元前419年试图争取霸权。象这个世纪初期的吴国一样,魏国未能实现它雄心勃勃的目的。魏国在公元前419-前370年初步受挫,而在公元前354-前340年则彻底受挫。魏国失败了,胜利者是它的西邻秦国。

    魏文侯于公元前397年去世后,他的一位才学之士为楚王所起用,在楚国从事曾经在魏国从事过的事业。然而在楚国,首倡变革的楚王去世后,激进的变革就失败了。世袭贵族们在楚国原有的领地内重新把持了权力。不过一般都认为,楚国是第一个在新兼并的领土上设置郡县以取代采邑的国家。公元前479-前445年,楚国吞并了中原地区的3个小诸侯国。

    所有的这些行政改革中,进行得最为彻底的是秦国的改革。改革是在秦献公统治时期(公元前384-前361年)和他的儿子秦孝公统治时期(公元前361-前338年)进行的。秦国的实际改革者是商鞅。商鞅是中原地区一个小诸侯国的宗室公子,他先在继晋而起的魏国任职,又于公元前356年转而为秦孝公效力。从那一年起,商鞅一直在秦国供职,直到公元前338年他的支持者孝公逝世。商鞅在秦国扫荡了世袭等级制的社会结构;对有军事才能者大开入仕之途;鼓励农耕以加强秦国的军事力量;为了鼓励农耕又宣布土地私有和自由买卖。商鞅的改革给了秦国农民获取国家最高爵位的机会,但他们也必须服兵役和纳税,而且如果他们陷于经济困境,还不得不冒卖掉自己土地的风险。对于秦国的一个从事农业生产的人来说,现在可能会发生两种截然不同的结果:他或者获取大量财产,或者被剥夺为赤贫。

    秦孝公在位及商鞅在秦国为秦孝公效力供职的时期,与马其顿腓力二世(公元前359-前336年)是同一时期。中国的秦国相当于希腊的马其顿,而且腓力和商鞅都同时奉行了使农民军事化,以增强国力的政策。无论从地理上还是从社会地位上来说,秦和马其顿各自所处的与其他社会的关系都是相似的。两国都紧邻它们的竞争对手,但又在地理上为一条环形山脉障碍所隔开。两国的人民从社会发展来看都是落后的,因而当公元前4世纪,他们的生活为一位统治者的法令急速改变时,他们都是顺从的。

    腓力二世活着看到了他的改革所结出的果实,即在他的强权之下实现了军事上和政治上的统一。秦孝公死于公元前338年,那是腓力大获全胜的一年。秦国则是直到公元前230-前221年的10年中,才成功地统一了中国。但是与马其顿的统一希腊不同,秦对中国的统一是最终的统一。希腊世界最终既没有被马其顿统一,也没有被任何一个继马其顿而起的希腊国家或它们的对手所统一,而是被一个希腊化的非希腊人的政权罗马所统一的。秦不得不与其他的华夏族国家争雄,其中首先是魏,然后是赵,都是极难对付的。但是,最终是秦统一了中国。而且,秦是一个华夏族国家,虽然从中国文化的角度来说它不是地位最高的国家。

    公元前5世纪到前4世纪的中国,伴随着根本性的政体变革,还发生了经济和社会的变革,以及军事技术和民用技术的变革。这些有关其他生活层面的变革,一些是由行政改革者们发起的,另一些是他们改革的副产品,还有一些就我们所知则是碰巧同时发生的。所有这些同时产生的变革及其作用的积聚,使传统的中国社会结构解体了。传统的社会结构在公元前506年以前的两个世纪中,已经为第一轮的诸侯战争所削弱,而结束于公元前221年的第二轮诸侯战争则打碎了这一社会结构。

    就行政改革而言,最重要的经济变化已经为世人所瞩目。土地可以转让和买卖,而且尽管这样做的目的是提高农业生产力,但也拉开了贫富之间的差距,造成了一个没有土地的赤贫阶级。首要的社会变化是向才学之士大开了入仕和获取军功的大门,而不论他们出身于哪一个阶层。这就造成了一个新的专职文官阶层和武官阶层,以及另一个新的教育家阶层,他们为在政府中寻求职位的人提供专门训练。孔子在做官失败之后成了一个成功的教育家。他是记载中最早的中国学者的代表。这些学者相当于公元前5世纪希腊的智者。孔子也是中国最早的一个哲学学派的创建者。

    新的专制统治者们并没有有意地造就这些教育家和哲学家,而是默认他们的存在,并总的来说很尊敬他们。统治者们倾向于歧视商人–这一时代同时产生的另一个新阶层。但是,尽管政府非难,商人们却设法生存下来并获得了成功。显然,商人们通过满足社会需求找到了自己的机会。当一个社会在地理上扩张到生产各种农产品和手工产品的地区时,就需要贸易的存在。在这样的社会里,从事战争的各国政府也有着日益增长的供给需求。尽管战争使得国际贸易异常危险,但有能力的诸侯国,尤其是大诸侯国,却为国内贸易提供了起码的保障。贸易、产品,以及从祖传的土地上被逐出的农民,共同造就了城市。

    在最重要的民用技术革新中,有运河的开挖和金属货币的发行。这两项创新都产生于公元前5世纪,而且都产生于诸侯国。吴国是开挖运河的先驱者。长江下游和淮河下游横贯吴国境内。吴国政府的直接目的是便利军事运输,但是,运河也附带地促进了农业生产的扩大和增长。这是通过对具有生产潜力的沼泽地进行排灌而实现的。公元前4世纪,中国引入了牛耕,铁作为农业工具、器械和武器的原料也取代了青铜。公元前4世纪的这些技术创新,显然对当时中国的各诸侯国政府是有用的,但我们不知道它们的引进是否由政府发端,就象铸币和运河那样。我们也不知道铁和牛耕从欧亚大陆的中心地区传入中国的路线。在欧亚大陆的文明中心地区,铁和牛耕在此之前即已长期使用。

    最重要的军事技术革新是赵国于公元前307年采用骑射。赵国与欧亚太平原接壤,它的骑兵采用了游牧族的武器和服装,就象3个世纪前米底骑兵在伊朗所做的那样。战车曾经是中国主要的甚或是唯一的兵种。到了公元前4世纪末,由于更愿意使用征募而来的大规模的步兵,战车的地位已经下降了。这一变化可能开始于南部的各诸侯国,因为那里的水路和沼泽阻碍了车辆的使用。然而,这一兵种变化却迅速蔓延开来,例如扩展到了华夏地区边缘的秦国。

    第二轮诸侯战争开始于公元前333年,其结局是中国政治统一。在那一年,楚国攻破越国,并合并了早在公元前473年就为越国所吞并的吴国。同年,除秦之外的其他6个幸存下来的大国签约建立了反秦联盟。由于商鞅改革,在公元前354-前340年的几次战争中,秦扮演了一个令人惊骇的角色。这几次战争中,魏国获得霸权的企图被彻底挫败了。公元前316年,秦国独自打败了六国联军,尽管六国联军由于有欧亚大平原上的游牧族雇佣兵而实力雄厚。公元前316年,秦的扩张穿越了黄河支流渭河流域与长江流域的分水岭,进入了现在的四川省,然后又从西方进攻楚国。公元前278年,秦攻取了楚国的首都;至公元前272年,秦已经完成了对楚国剩余地区的包围。与此同时,秦也进攻了北方各国。它似乎正要以征服的方式统一全中国之际,却在公元前270年被赵国打败。赵国于公元前258年和前247年再度败秦。秦不得不接受暂时的和平。公元前333-前247年的战争是残酷而关键的,但还不是决定性的。

    然而,公元前230-前221年的10年里,秦国却一个接一个地攻克了所有6个敌手。这时,6国已不再联合起来保卫自己,只有赵国进行了强硬的抵抗。

    公元前221年中国的政治统一是由军事力量强制实现的,但统一却被证明是永久的。在将近22个世纪的时间里,第一位统一者的功业曾不时地被败坏。这一功业的第一次被败坏,是在这位统一者死后的那年。但是,迄今为止,中国政治上暂时的分裂,总是不断地得到纠正。强制实现中国政治上的统一是可能的,因为秦国开始军事征服之前,自发的文化统一已成为既定事实。这就是为什么秦的成就要比秦本身的迅速灭亡长久得多。

    确实,公元前221年以前,中国文明就已经传播到了秦始皇:于公元前221年及其以后所统一的疆域之外。例如,农业和冶金术或许早在公元前4世纪就传到了朝鲜,大概晚一个世纪或更晚一些时候传入日本–一部分可能经由朝鲜,另一部分可能直接来自己经汉化的长江流域地区。以前,朝鲜人和日本人一直停留在文化上的采集食品时期和中石器时期,尽管引入农业以前,两国都已有了陶器制造工艺。朝鲜和日本的语言与汉泰和藏缅语系的各种语言不相近,但对于汉族文明的接受,却把朝鲜和日本溶入了汉化的东亚世界。

    第三十二章 中国的百家争鸣

    (公元前506-前221年)

    中国的”战国”时代,也是哲学上的”百家”时代。争鸣的各派哲学,或者发自情感地,或者理智地反映了对那个时代人们共同的痛苦而忧虑的体验。当时,各大国之间日益紧张和残酷的政治斗争和军事斗争;地方统治者们通过摆脱传统限制,首先是通过以才能取代出身作为任官标准的方式来加强自己权力的努力,以及随之而来的机会和不安全(它原先只是少数贵族所特有的财产),对所有阶级来说都同样增长了。上述社会因素都刺激了哲学上各种观点和格言的产生。

    从一开始,所有的中国哲学派别,首先是在关于实际生存上,其次是在关于科学和形而上学方面,都与希腊哲学迥然不同。在苏格拉底明确地把哲学引向人性的研究之前,希腊哲学争论科学和形而上学的问题已达1个多世纪。在不同的希腊哲学家派别中,无论是苏格拉底或是他的后继者们,除了关心道德以外,都对人类的理智,例如知识论感兴趣。相当于苏格拉底的中国的孔子,却没有改变中国哲学的方向;他只开创了中国哲学。并且,孔子关心的是作为社会参与者的人,而不是理智的人或精神的人。

    思考人类的本质和人类的生活,当然提出了形而上学的问题。在印度,佛陀的弟子们试图摆脱费力的精神运动,佛陀将之描述为对形而上学思辨的沉溺。佛陀不赞成形而上学的思辨。然而,佛陀本人却掌握了引发争辩的形而上学原则。与印度人的思想相比,中国人更不倾向于思辨。然而,中国哲学中的道家却陷入了形而上学,并且,静态的阴与动态的阳有节奏地交替的理论,物质世界结构中的五行理论,也都是形而上学的思辨和科学的思辨。不过,即便是道家的形而上学,也附属于他们对于当时中国的社会状况和政治状况的反思。

    大多数中国哲学流派的思索,都集中于人类事务的社会政治的阶段上。所有的派别都含蓄地同意,贵族血统不能,而且也不应该继续成为任官的条件,尽管这一点并不总是明确的。儒家与法家的争论点是选择职官的条件是什么。墨家和道家没有参与这一争论,因为他们对于中国现存的两种主要社会制度,即国家和家族的价值提出了疑问,他们对以政府权威和以家长权威的名义提出的各种要求的合法性,发起了挑战。

    中国哲学中的法家学派认为,取代贵族出身而担任官职的那种能力,应该是为战国君主目的服务的,即为这些君主扩大自己权力的目的服务的行政能力和军事能力。对法家说来,”法”等于君主的命令。他们认为,君主可以最大限度地使用他的权力,对臣民和贵族强制推行他的命令。他们还认为,受害者不得有任何合法的不满。他们又认为,人的固有的本性是恶的,所以,专制政体应当改进这种自然状态。法家思想不可避免地成为所有战国政府实际上推行的哲学,尽管遵行的程度和残暴的程度各不相同。

    只要中国继续在政治上分裂,法家就在实际上垄断着政治权力。君主们乐意任用具有实用头脑的法家哲学家来组织和管理自己国家的行政机关。秦国在危难时刻任用了两位著名的法家掌管它的行政机关,这在秦国的历史上,甚至在整个中国历史上,都成了转折点。商鞅于公元前356-前338年改革了秦国的政府机构,并在一部著作中记述了他所推行的理论。李斯(公元前280-前208年)是秦国统治者赢政的亲信顾问。赢政从公元前247-前221年是秦国的国王,从公元前221年直到他死的公元前208年,则是统一的中国的第一位皇帝(始皇帝)。法家是靠政治上的分裂起家的,而李斯却使他的主人秦王赢政结束了政治上的不统一,从而也消除了法家垄断政权的基础。

    法家的理论和实践引发了相反的理论。一些思想家赞同法家关于贵族血统不再是(也不应再是)担任官职的条件的观点,但他们不赞同法家的另一个观点,即用为统治者权力欲服务的才能来取代贵族血统,作为任官的条件。他们寻求一种道。与奉承专制君主自私自利的法令相比,这种道在道德上更有价值,在形而上学方面也构造得更好。

    如果道还没出现,就既不能辨别它,也不能遵循它。孔子在”天道”中找到了预先存在的道。天道的原始意义似乎是代表爱人的至高无上的神,但到了孔子的时代,它大概已经变得客观化了。正如孔子所看的那样,”天道”是远古的,因而在某种程度上,它与传统中国的社会习惯和政治生活方式是一致的。但在孔子的时代,这种社会习惯和生活方式被破坏了。孔子阻止中国社会崩溃政策的一个方面是,号召恢复传统的礼。礼是义的保障。但是,对于君主和他们的臣下来说,什么是义的标准,正如孔子认为的那样,真正的义不是追随非道德理智的国家;义是发掘仁。只有当君主和他的大臣及国民以仁慈相待,各尽本分,就象传统家族中,成员们依其相互关系所表现的那样,他们才算是正确地遵循了天道。

    我在第25章中曾经指出,孔子重新解释了君子一词。君子的传统含义是”贵族子弟”,即”君主的儿子”,而孔子却从道德的意义上将它解释为”高尚的人”。孔子的弟子们逐步以新的含义柬代了旧的含义。孟子(公元前371-前289年)强调了儒家仁的美德,荀子(约公元前315-前236年)则强调了儒家对于遵守传统礼仪的关注。由于荀子生活在战国争战的最后和最为痛苦的时期,他赞同法家的观点,即人的本性是恶的,因而,一定种类和程度的外部控制是必不可少的。然而,在使用君子这一关键术语时,荀子表明自己仍是一个真正的儒家。在他的著作中,君子一词一般用来表明道德观念,极少用来表示原始的家系观念。

    比儒家的道的观念更为形而上学的”道”的观念,是由中国哲学派别中杰出的道家发展起来的。这个概念出现在两部非常有名的著作中:被认为是老子写的《道德经》,以及以作者庄子之名命名的著作。庄子生活于大约公元前365-前290年,是孟子和商鞅的同代人。对于道家来说,道是现象世界之内、之后和之外的终极实存。实存的道是无为、不可抗拒和仁慈的,而且,按照所有的这3个特征,它与人之道是相对的。按照人之道,人类通过热病之为挫败自己,导致暴力行为,而且,这一切又由于人的聪明才智而不断恶化。在人类生存的任何地方,道家都是最早的一种哲学,它推断人类在获得文明的同时,已经打乱了自己与”终极实在”精神的和谐相处,从而损害了自己在宇宙中的地位。人类应该按照”终极实在”的精神生活、行为和存在。

    道家反对工艺技术的进步和专制政府管理社会方法的进步,而这些东西在公元前4世纪已产生于中国。到这个世纪,《道德经》和《庄子》已具有了它们现在这样的外形。道家形而上学在实践中的必然结果是彻底的放任主义政策。道家肤浅地忽视了社会道德的理想,而这正是儒家为中国文明的弊病所开的药方。道家为治愈战国时代的创伤的药方是,遗弃文明,恢复人类在新石器时代的小国寡民的生活方式。本书的第2章引述了《道德经》的一些章节,这些章节表明了道家的世界观。公元前4世纪的这一中国哲学,不仅与它产生的时代和环境有关,而且与所有的时代和地区,尤其是20世纪70年代人类的全球状况有关。

    在公元前4世纪的中国,道家学说可能没有对同时代的人产生实际的影响;它公开批评了战国时代争鸣的其他哲学派别的各种论点,而它对社会则是不负责任的。然而,正是由于不切实际,道家学说才在中国影响久远。作为与中国思想中占主导地位的实用倾向进行抗衡的力量,道家学说有着自身的天地和社会对它的需求。因为实用倾向的哲学在表述主导的中国人的思想态度时,忽略了或没有满足中国思想精神中的某些东西。

    墨子(约公元前479-前388年)的空想哲学却没有长久发展的余地,墨子认为,对于人类同胞的爱应是平等的和没有等级差别的。孟子则反驳,普遍的爱是不切实际的;墨子坚持除了兼爱没有什么能达到道德上的满足,等于废弃了社会上实际可行的孝顺的美德和政治上忠诚的美德。如果孟子熟知佛教,毫无疑问,他会引述佛陀对于妻子、儿子和父亲(他可以继承父亲的王位)的舍弃。他还会把墨子这种明显违背公认的社会义务的主张,与佛陀对于全部有感觉生物的冷漠同情相比较。

    实际上,墨子与道家一起,以拒绝权威的方式反对儒家的学说,与法家一起,以拒绝传统的方式反对儒家。墨子与法家不同,希望以理智取代传统,而不是以强权取代传统。墨子与道家不同,他感到应该关心自己的同类,并对他们负责。在这两点上,与其他两个非儒家学派的信徒相比,墨子具有更多的儒家精神。但他还不具备足够的儒家观点,使自己与儒生们和解。

    这些不同的中国哲学派别的兴起,以及它们之间的争论,反映了战国时代情感的扭曲和那一时代对于理智的激励。

    第三十三章 印度文明

    (约公元前600-前200年)

    我们对大约公元前200年以前4个世纪印度的世俗事务的了解,要比对此前4个世纪稍稍多一些。但公元前600-前200年与公元前1000-前600年一样,印度的主要历史事件仍然发生在宗教方面,就我们对公元前600-前200年间印度世俗事务的了解来自印度本身的史料来说,它是附加在宗教事件的记载之中的。

    在公元前1000-前600年间,宗教方面的突出事件是从关心膜拜仪式转向关注沉思冥想。这种转变起源于一些婆罗门种姓的创造性。由于婆罗门垄断着举行灵验的礼拜仪式的权利,这种垄断权又是他们的谋生手段,因此,婆罗门在领导印度教的这种精神转变过程中的作用就尤其值得称道。在印度宗教日益注重精神方面的时代,尽管军事权力和政治权力一直掌握在刹帝利手中,婆罗门却成功地取代了刹帝利,宣称自己为最高种姓。这一事实同样值得称道。

    公元前600-前200年间,宗教方面的突出事件是佛陀悉达多?乔答摩和大雄筏驮摩那(生活年代为公元前500年前后)创立佛教和耆那教僧侣制度。这两位创教人都是刹帝利,也都是贵族。佛陀是迦毗罗卫国王的儿子和继承人,这个城邦国家位于今天尼泊尔王国境内。大雄(又称耆那,意为”胜利者”)是吠舍离城一个刹帝利部族首领的儿子,该城是比哈尔邦北部维德哈王国的首都。两人都未对婆罗门垄断礼拜仪式的权利提出过怀疑,但两人都否定礼仪、神祗和种姓制度本身。他们不加区别地从所有种姓征召僧侣、女尼和俗家信徒,婆罗门在佛教和耆那教的生活方式以及社团制度中不享有任何特殊地位。

    佛陀和大雄各自提出一种从轮回转世之苦中求得解脱的方法。公元前6世纪,印度的许多思想流派,以及古希腊的毕达哥拉斯教和俄尔甫斯教,都相信轮回转世是永无休止的。这种信念可能全都来源于欧亚游牧民族的宗教。这些游牧民族在公元前8-前7世纪从欧亚大平原向四面八方扩散开来。在这一时期,他们向西推进到多瑙河下游以南欧亚大平原最西部山凹和希布鲁斯(马里科)河流域,与希腊遥遥相望,在印度,他们则越过了印度河流域。

    印欧语系移民对印度河流域的第二次入侵,这一政治事件将印度历史划分为公元前1000-前600年左右与公元前600-前200年左右两个阶段。新的移民定居的地方,正是早期操原始梵语的入侵者最初占据的地方。但这一地区仅限于印度次大陆的西北边缘。印度河文明和步其后尘的操原始梵语居民创造的印度文明都向东南方向的朱木拿河-恒河流域进行扩展。在《吠陀》成书的年代,印度河流域似乎仍是梵语居民的居住地区,公元前7世纪在印度河流域定居的居民,实际上采用了已经定居于此的梵语居民的语言和生活方式。我们发现,到我们对其风俗习惯了解的最早时期,先前从事游牧的定居者在这里使用的是起源于梵语的方言,遵奉印度宗教以及与该宗教相关的社会结构。

    但到佛陀和大雄的时代,印度文明的重心已经向东南方向转移到从旁遮普到恒河、哥格拉河和宋河的交汇地区一带。这一地区占多数的正统印度人开始不以为然地把他们的祖先在印度河流域的家园看作是半蛮荒之地。这种感情在印度河流域继欧亚游牧民族定居后,在同一时期又被纳入波斯第一帝国以后得到进一步的加强。居鲁士二世在公元前539年征服巴比伦帝国之后的某一年代,吞并了印度河的支流喀布尔河流域;大流士一世在公元前522年镇压了帝国心脏地带大起义后,又在某一年代吞并了印度河流域的其他地区,一直推进到印度河三角洲地区。

    佛陀与大雄在世的时代,作为印度世界新的重心地区的恒河流域,在政治上与同时期孔子时代的中国十分相似。与中国一样,恒河流域在政治上分布着众多的小国,规模不等,国力不同。佛陀出生的城邦迦毗罗卫是个小国;大雄的故国维德哈(位于今比哈尔的恒河以北的地方)则较大;最大的国家是迦毗罗卫的南部邻国俱舍罗(今北方邦),国力最强的国家是摩揭陀(位于今恒河以南的比哈尔地方)。

    在佛陀和大雄时代,印度诸国的竞争愈演愈烈。与中国战国时期一样,恒河流域诸国的军事斗争是以政治上的统一而告结束的,除一个战胜国获得幸存外,其他所有的竞争者全被消灭。迦毗罗卫就是一个早期的牺牲品。佛陀在世时,亲眼看到了俱舍罗对它的征服,以及他的释迦族亲人及其国民遭到的屠杀。印度与中国一样,最后的胜利者是一匹黑马。这个国家不是面积较大、人口较多的俱舍罗,而是摩揭陀。

    在印度,各国政府之间的生存斗争同样没有破坏印度社会在社会和文化上的一致性。佛陀悟道成佛的地方伽耶位于摩揭陀境内,他的主要传教场所萨尔纳特的鹿野苑则在伽尸。鹿野苑邻近朝圣者麇集的圣城波罗奈,它所以引起佛陀的注意,可能是因为在那里能够得到来自印度各地的听众。伽耶和鹿野苑都不在佛陀的祖国,而且,虽然佛陀经常出入鹿野苑,在这里度过了大部分时间,他和门徒却经常到处巡游,除非雨季到来,路途难行。政治边界为军队和间谍设下重重的障碍,却不能阻止传教者和苦行者的你来我往。佛陀出身王室,这使他得以进入各国国王的领地,但没有证据表明这种身份使他享有什么特权。印度的传教者和苦行者就象当时中国的纵横家和哲学家一样自由地往来于相互混战的各个国家。

    大约在公元前约500-前450年,摩揭陀国赛宋纳伽王朝统一了今属比哈尔和北方邦一带的地区。人们也许会认为,印度东北部邻近波斯帝国的大片地区得到统一,会导致波斯帝国和新兴的印度帝国之间的冲突。但没有这种冲突的记载。如果的确没有发生冲突,原因可能是,到摩揭陀统一比哈尔和北方邦的时候,波斯帝国政府已失去了对印度河以东的控制。在高加梅拉战役(公元前331年)与大流士三世皇帝的军队作战的”高地印度人”,也许是印度河以西印度领土上的居民。

    亚历山大于公元前327-前325年进袭印度河流域的时候,他发现这一地区在政治上分裂为众多独立的王国和部落共和国。亚历山大的袭击是短暂的,他建立的政权也只是昙花一现。听到征服者死亡的消息后,这个政权就垮台了,但亚历山大剥夺印度河流域诸国的独立,却为一个印度帝国的创建者铺平了道路。公元前322年左右,孔雀家族一个家世不详的人旃陀罗笈多逐走印度河流域的马其顿驻军,使自己成为亚历山大在这一地区的遗产的主人,随后又征服并吞并了摩揭陀帝国,该帝国在公元前362年左右已被难陀王朝从赛宋纳伽王朝手中夺取,难陀人可能还通过吞并德干地区扩大了帝国的版图。因此,就我们所知,印度河流域、朱木拿河-恒河流域,也许还有德干地区,在政治上第一次彼此统一起来。

    公元前305年左右,旃陀罗笈多与亚历山大马其顿的一个继承者塞琉古一世发生了冲突。塞琉古以巴比伦为基地,将已经灭亡的波斯帝国的东部行省统一在自己手中。亚历山大马其顿的另一个继承者安提柯一世,在塞琉古的后方占据了叙利亚和小亚细亚。因此,塞琉古便不得不对他进行报复。公元前303年塞琉古为与安提柯一决胜负,向旃陀罗笈多购买了500头战象,代价是将前波斯帝国领土的东部边缘地带割让给旃陀罗笈多。割让的地区肯定包括贾拉拉巴德附近喀布尔河岸的拉马甘和赫尔曼德河谷地的坎大哈,因为这两个地方都留有旃陀罗笈多的孙子和第二个继承者阿育王刻写的铭文,而且,没有证据表明,孔雀帝国和塞琉西帝国的边界比公元前303年旃陀罗笈多和塞琉古一世协商划定的界线向西移动得更远。阿育王铭文的位置也显示出旃陀罗笈多在位时期(公元前322-前298年),孔雀王朝在其他方向达到的边界,或者他的第一个继承者宾头沙罗在位期间的边界,东起孟加拉境内恒河与布拉马普特拉河交汇地区以北的三角地带,南到今天马德拉斯市所在的纬度,到处都发现了这些铭文。我们知道,阿育王征服并吞并了羯陵伽(今奥里萨),其后再未进行军事征服。可以推测,阿育王继位时,羯陵伽仍是帝国领土内一块独立的飞地。当时,孔雀帝国的南部边界,大体是沿着马德拉斯所在的纬度一线,横贯印度半岛东西海岸。也许在公元前4世纪时孔雀王朝的前任难陀王朝已经达到了这条边界。

    我们对阿育王统治情况的了解相对来说较为丰富。这在一定程度上来源于阿育王自己的铭文,一定程度上来源于较晚时期在锡兰写成的编年史。两种材料都不是客观的。这些编年史是以南传佛教(上座部)观点写成的,夸大了皈依佛教对阿育王的影响,既强调他从前的罪恶,又过誉他此后的虔诚。这一材料是半传奇性的,阿育王本人都不是他自己的公平见证人。但是,(在他的第十三大岩刻敕文中)他对自己在公元前260年征服羯陵伽的战争中引起的屠杀、蹂躏和苦难作了真实的记录,他真诚地对此感到悔恨。他是通过发动一场箕豆相煎的战争,将他的几个兄弟置于死地,而登上王位的,这一点可能也是确有其事(虽然这一材料来源于编年史而不是阿育王自己的记载)。在阿育王道德记录的另一方面,我们可以确信他所说的或关于他的很多事是真实的,这些事情为他增辉不少。

    例如,阿育王皈依佛教,是他对征服羯陵伽时犯下的罪恶心生懊悔的结果。此后,他再也没有发动战争。他没有去征服半岛南端的朱罗、潘地亚和克雷拉普特拉或毗邻岛屿锡兰来扩大自己的版图。他向独立的邻国一再保证,他没有侵略意图(第二独立敕文)。他在帝国疆界以外的行动由征服变为宣传佛教的”达摩”(第十三大岩刻敕文)。在公元前258到前225年间,他向希腊的5位统治者塞琉西的安条克二世(塞琉古一世的孙子)、托勒密二世、昔兰尼加的统治者马加斯、马其顿国王安提柯二世和伊庇鲁斯国王亚历山大派出了传教团(第二和第十三大岩刻敕文)。公元前250年左右,他向锡兰派去一个传教团(第二和第十三大岩刻敕文)。他还向大陆印度南端的独立民族派出了传教团。

    与大流士一世和琐罗亚斯德教的暧昧关系相比,阿育王对佛教的信奉是明确的。在巴布拉和鲁明代铭文中,他提到了佛陀的名字,在”分立敕令”中还干涉佛教僧侣制度(僧伽)的事务。他认为自己有义务维护这种制度的统一性。另一方面,他关心对”达摩”的鼓励和宣传。他对”达摩”的描述(第九和第十一大岩刻敕文,第二石柱敕文),更象孔子对道的描述,而不象佛陀对信徒的精神训练所作的明确规定,以及佛陀对行为戒令所依据的原则作出的明确阐述。而且,尽管阿育王与大流士一世和薛西斯一样有自己所信奉的宗教,他也象这两位波斯皇帝和他们的前任居鲁士二世一样,容忍臣民所信奉的一切宗教。在这方面他是非常审慎的(第十二大岩刻敕文、第六和第七石柱敕文)。他尤其关心的是确保臣民尊重婆罗门教和耆那教的僧侣,他们代表着当时能与阿育王自己尊奉的佛教相匹敌的两大宗教(第三、第四、第九、第十一大岩刻敕文;第七石柱敕文)。

    阿育王铭文的数量和分布范围充分显示了他狂热宣传其达摩观的诚意。坎大哈的铭文是用希腊文和阿拉米文两种文字写成的。希腊语是马其顿建立在波斯帝国领土上的国家正式语言,阿拉米语是已经灭亡的波斯帝国本身的正式语言。位于最西北部的阿育王铭文是用起源于阿拉米语的去卢文字母写成的,(直到波斯帝国即亚历山大推翻以前,这两个铭文所在的地区可能一直处于波斯统治之下)。其他铭文都是用婆罗米文字写成的。

    这种文字是婆罗门用来记载其礼拜仪式的文字。婆罗门使用的语言本是原始梵语,但阿育王用婆罗米文字来表达当时使用的起源于原始梵语的方言。他甚至用这种方言在南部刻写铭文,尽管那里的臣民使用的母语是达罗毗荼语而不是印欧语系语言。可能在阿育王时代,达罗毗荼语还没有形成文字,也许在阿育王的达罗毗荼语臣民中,有一小部分受过教育的人能够读懂北部臣民当时使用的印欧语系母语形式。

    那么,阿育工真的贯彻了孔雀帝国政策中的新方针吗?他在多大程度上取得了成功呢?似乎可以肯定,他在征服和吞并羯陵伽后再未发动过新的战争。他在国内外宣传达摩,将它作为行为的道德标准,这一点也是相当肯定的(他的铭文就是明证)。但他宣称(第四大岩刻敕文),他的措施有效地提高了臣民道德行为水平,对这一类说法我们却无法辨别真伪。我们也无从知道,他使帝国行政更加人道的努力是否取得了成功。

    他告诫他的官员,要对他统治下的众多臣民负起责任,要象护士对待孩子那样温柔地对待他们(第七石柱敕文,第一独立敕文)。他开创了,至少是恢复和保留了派遣巡游督导员的做法(第三大岩刻敕文);他自己也亲自出巡(第八大岩刻敕文;小岩石敕文);他还创立了一个新的官吏阶层,负责管理慈善基金、宗教教派,以及诸如植树、掘井、建立医院和兽医院的事务(第五大岩刻敕文,第七石柱敕文),并限制宰杀牲畜(第一、第二、第十一大岩刻敕文;第五、第六石柱敕文;坎大哈铭文)。但我们无从知道这些措施是否象他宣称的那样(第四大岩刻敕文、坎大哈铭文),在使他所继承的行政机器人道化方面成就斐然。法老阿肯那顿早已发现,正常运转的组织具有一种足以摧毁一个拥有绝对权力的统治者精心制订、倍加珍爱的计划的顽固力量。至少有两种迹象表明(第六大岩刻敕文;第一独立敕文),阿育王发现自己不那么容易及时了解情况,有效控制下属的行动。

    我们对孔雀政权的了解,大都来自一本至今留存的手册《政事论》。该书自称是考底利耶的著作,他是一位行政管理专家,据说当过王朝缔造者旃陀罗笈多的顾问和助手。但我们无法了解,在这部流传至今的著作中,有多少是考底利耶的作品,或者说,是否有哪一部分是他的作品。书中很多内容都包括后人的修订和补充。而且,即使我们推测其中有一部分是真的,也无法辨别这一部分是不是对具体实践的描述。也许它不过是一种学究气的反乌托邦,反映了一种未曾实现的”现实政治”观念。但是,如果《政事论》中确有描述孔雀王朝的实际做法的真实内容,它所显示的孔雀帝国,就是一个极权官僚的警察国家,对臣民的生活,包括他们的经济活动实行无所不至的残暴控制。《政事论》对孔雀政权的描述一定程度上在塞琉古政权驻华氏城(今巴特那)孔雀王庭的大使麦加斯梯尼所写著作的残篇中得到了证实。如果确实如此,孔雀政权就与波斯第一帝国及其马其顿人亚洲后继者塞琉西帝国的宽松政权不同,它可能象同时代埃及的托勒密政权那样具有效率,但也更加邪恶,尽管在这方面还无法与中国的秦国相比。

    如果真是如此,阿肯王使臣民的生活更加宽容的努力不可能取得多大成功,但阿育王和耆那教徒确实永远地提高了人们对非人类生命形式的关心程度。在今天的印度,不管是驯养的还是野生的鸟兽,仍是横冲直撞,无所顾忌,就是一个明证。这些动物自信对它们的造物伙伴人类没有任何恐惧,在22个世纪之久的经验中,它们一直是无忧无虑的。阿育王的臣民却可能没有从他的博爱主义中得到这么多的好处。孔雀王朝的官僚政权可能确实大大地摧毁了这位皇帝的打算。如果这样,这将十分有助于解释孔雀帝国之所以成为一个短命帝国的原因。

    孔雀帝国在公元前322-前232年的90年里,处于正常运转之中。它是从印度东海岸到直布罗陀海峡之间各地一系列主权国家中的大国之一,这些国家填补了某些政治真空。这些政治真空的产生,有些归因于亚历山大推翻波斯帝国的成功,有些则归因于亚历山大建立囊括旧世界全部文明中心的更大帝国计划的失败。这90年的政治统一和国内和平在印度历史上,至少在印度河文明毁灭以来的历史上是史无前例的。至少是在阿育王执政的最后30年中,一切有感觉的生命,包括非人类的动物所遭受的苦难在一定程度上由于一位统治者而得到了缓解,这个统治者铭记佛陀对减轻生命痛苦的关心,同情耆那教徒对一切非人类的生命形式所特有的柔情。但是,甚至在阿育王于公元前232年去世之前,孔雀帝国就已经开始显出分崩离析的迹象。在他死后,帝国开始发生分裂。公元前183年,它终于寿终正寝。

    第三十四章 争夺地中海西部地区霸权的斗争

    (约公元前600-前221年)

    对于希腊人来说,公元前8-前7世纪的地中海西部地区是繁荣昌盛的。从塔拉斯(塔兰托)沿着意大利半岛沿岸,从靴型半岛的”脚踵”,向右转到”足尖”,向上远及皮塞库萨(伊斯基亚)岛和库迈(除马西利亚之外,这是分布于奥特朗托海峡以西所有希腊殖民地中建立最早,也是最遥远的两个殖民地),希腊人使自己站稳了脚根,定居下来。他们还占据了西西里岛的东岸和南岸。因此,他们便获得了从地中海东部经墨西拿海峡,进入第勒尼安海的海上通道的控制权,大约公元前600年,他们在马西利亚(马赛)建立了一个殖民地,此地是上经罗讷河谷进入欧洲大陆北部,以及穿过海峡到达康沃尔锡矿区的道路的起点。公元前580年建于西西里岛南岸的阿克腊加斯(阿格里真托)乃是地中海西部地区最后建立的重要的希腊殖民基地。到公元前500年为止,希腊人从迦太基人及其在当地的盟友埃勒迈人手中,夺取西西里岛西北角的努力都归于失败;迦太基人控制了直布罗陀海峡,并封锁了希腊船只的通行;迦太基人和残存的殖民地中的腓尼基人一道与埃特鲁斯坎人合作,成功地阻止了希腊人通过获得对撒丁和科西嘉的控制,把他们在西西里和意大利的殖民地与马西利亚联接起来的企图。

    早在公元前7世纪,参与过希腊人向地中海西部扩张的亚洲希腊人就一直蒙受着灾祸的缠绕,这灾祸从公元前745年希腊人在叙利亚与腓尼基人角逐之际使相伴而来。叙利亚的腓尼基人受到了来自背后的,先是亚述帝国,继而又是亚述的后继者巴比伦国的强大陆军的进攻。大约从公元前660年以后,亚洲希腊人先后受到吕底亚人及吕底亚的征服者波斯人的进攻,并渐次被征服;公元前539年及其以后的日子里,波斯登上历史舞台使亚洲希腊人所处的困境进一步恶化,但却使腓尼基人减免了痛苦。在同一个时期,希腊人在西部地区的角逐中在两个方面攫取了优势:数量方面的优势和控制着内线的地理优势。由于希腊人控制了西西里和南意大利沿岸,致使迦太基人与他的埃特鲁斯坎盟友被从地理上分隔开来。不过,直到公元前500年,西部的希腊人始终处于守势。其积弱不强的原因之一,就是他们内部的自相残杀。大约公元前550年,希腊殖民城邦西里斯和公元前511/510年的锡巴里斯,均是在其他意大利希腊人的手中被劫掠一空。公元前444/443年,锡巴里斯被图里取代;以后,西里斯被黑勒克利亚取代;但是,西部地区希腊人在关键的公元前6世纪期间所蒙受的损失,却再也无法完全挽回了,他们彼此间继续保持着势不两立的仇敌关系,直到他们共同臣服于罗马之后,最终在罗马人的强制之下才实现了彼此间的和平相处。

    假使西西里的希腊人未能及时而成功地建立起一个超城邦规模的政治结构的话,西部希腊人也许在那时早就不仅臣服于罗马人,而且臣服于迦太基–埃特鲁斯坎联盟两个世纪之久了。这是专制君主运用亚述人的方法,即通过流放而使臣民的意志屈服的方法实现的。在公元前505–前491年期间,在西西里东南部建立了一个西西里希腊人的公国,它的首都设在锡拉库萨。这个公园是以十分残酷的方式建立起来的,就像公元前8世纪斯巴达人在伯罗奔尼撒的所作所为一样。在公元前488-前483年期间,通过兼并希梅拉到阿克腊加斯的广大地区,横跨西西里岛南北的第二西西里希腊人公国建立了起来。

    公元前480年,迦太基人武装入侵西西里岛,回击了西西里希腊人的第二次扩张行动。缺乏确凿的证据足以表明,这次迦太基人入侵西西里希腊领土的行动是为了配合在同一年发生的波斯人对欧洲大陆希腊本土的入侵。但是,这两次入侵行动之间不可能没有任何默契。殖民地腓尼基人与叙利亚的腓尼基人之间保持着密切联系,他们不仅是波斯的臣民,他们还是希腊人的商业竞争对手和他们的殖民地居民,因此,一旦希腊人被压垮了,他们使占据优势。尽管如此,公元前480年,在斯巴达-雅典联盟赢得了对波斯人胜利的同时,锡拉库萨-阿格里真托联盟同样取得了对迦太基人的巨大胜利。就地中海西部地区而言,这两次胜利应当说是战果辉煌,因为在欧洲大陆希腊本土上,一个主要的希腊城邦在武装反抗侵略的斗争中失败了。迦太基人对西西里的希腊领土的入侵,的确是为希梅拉被放逐的君主,以及塞利那斯和里吉恩(控制着墨西拿海峡的意大利希腊人城邦)这些深得迦太基欢心的”非敌对国”怂恿所致。

    在以后的两个世纪中,西部的希腊城邦彼此间继续兵戎相见–锡拉库萨反对里吉恩和克罗托内,尔后两者又与伊壁犀斐里的洛克里为敌,因而洛克里便挤在了敌对双方的中间。西部希腊城邦始终都是东部希腊人的贸易伙伴,而这些贸易伙伴们又逐渐卷入了奥特朗托海峡两岸希腊人彼此之间世世代代的政治斗争中。在公元前450年的同一时期,一些反对锡拉库萨的西西里希腊城邦和埃勒迈人的城邦与雅典结盟,西部希腊人因此而卷入了公元前431-前404年的雅典-波罗奔尼撒战争。这种无休止的纠缠结束于公元前415-前413年雅典对锡拉库萨的进攻。这次战争不仅对雅典人,而且对获得胜利的西西里人来说,都是以灾难性的结局告终。交战双方的两败俱伤,给迦太基人提供了可乘之机,后者于公元前409年发起了对西西里的进攻,此后直到公元前275年,迦太基和锡拉库萨之间屡屡诉诸兵戎,双方互有胜负,却始终未能最后决出雌雄。例如,在公元前312-前306年的战争中,先是公元前311-前309年间迦太基对锡拉库萨久攻不下;而在公元前310-前307年间,锡拉库萨人则侵入了迦太基在非洲的老巢,但是,锡拉库萨君王阿加索克利斯采取这一大胆之举也同样遭到了失败。公元前898年,在锡拉库萨早期君王之一的狄奥尼西奥斯一世领导下,西西里的希腊人仍未能将迦太基人从西西里岛的西北角驱逐出去。公元前278-前276年,皮洛士领导下的第二次军事行动仍归于失败。

    作为政治分裂的高昂代价,西西里的希腊人必须在君主专制政体和国内民主或寡头政治两者之间作出选择。每当他们面临迦太基人奴役的威胁时,他们便屈从于君主专制政体;而每当危机渡过之后,他们便又将君主政体推翻。西西里岛作为控制地中海东西两大水域的海军基地,确是一个绝好的地点;但是,即使锡拉库萨成功地将整个西西里岛都统一在它的统治之下,一个统一的西西里岛仅靠自身的力量,仍不足以强大到可以在整个地中海及其周围地区称霸的程度。实际上,只要将控制西西里岛这一战略优势与控制意大利和西北非洲的人口与经济资源这二者结合起来,称霸地中海的目的便可以实现。

    希腊人在西西里岛的聚居区从文化上以希腊化的方式,使整个西西里岛统一为一个整体,其中包括那些政治上反对希腊的非希腊人在西西里岛上组成的社区。在公元前5世纪末期,西西里岛上的所有居民都操希腊语,都接受了希腊的城邦制度,而且就连原先由北希腊的西西里人组成的城郊,如今也以希腊的风格发行硬币,建筑庙宇。但在另一方面,希腊语言在意大利从未能在希腊殖民地的腹地普及,最终就连这些殖民地本身也被当地人所同化。公元前5世纪末,我们在库迈和波塞多尼亚(帕埃斯图姆)就看到了这种情形。公元前289年,锡拉库萨已故君王阿加索克利斯生前雇佣的意大利雇佣兵,攻占了墨西拿海峡西岸的西西里岛上的墨西拿城。

    在意大利半岛的西北部,在伊特鲁里亚和翁布里亚,向下到西部沿岸,最南部包括坎帕尼亚在内,城邦制度为人们广泛接受。在东南部低地,从靴形半岛的”脚踵”向西北远及”靴刺”,城邦制度也站稳了脚跟。但是,在上述两个地区之间的高原地带,尽管希腊文化也对其发生了影响(他们接受了西部希腊人转译的腓尼基字母),当地人却仍处于部落组织阶段。在大约公元前600-前221年的历史时期,在社会生活的各个层面,意大利与西西里相比,表现出极大的不同。然而,其结果却使罗马于公元前340-前264年间从政治上统一了意大利,罗马统-意大利的成功使她最终得以统一整个地中海周边地区。尽管如此,罗马并不是第一个尝试从政治上统一意大利的大国。虽然罗马继承了她的前人未竟的事业,但这并不是件轻而易举之事。

    政治上统一意大利的最初尝试,是埃特鲁斯坎人在大约公元前550-前423年期间所做的。埃特鲁斯坎攻占了两处桥头堡,即位于台伯河下游右岸地区的菲迪尼和罗马,然后,他们又占领了向东南远及库迈内地的低地地区。在相反的方向,他们从利古里亚的高地人手中夺取了从菲耶索莱通往费尔西纳(博洛尼亚)的关隘。他们开始排泄洪涝,着手开发波河流域潜在的农业财富,他们还与希腊人合作,在波河河口周围的沼泽地带的斯皮纳兴建了一处南站。埃特鲁斯坎人在这里交了好运,大约自公元前500年以后,如前所述,欧洲大陆内部的动乱致使商业贸易从罗讷经过阿尔卑斯山脉中的众多关隘,转移到了波河流域。

    到大约公元前525年,看上去埃特鲁斯坎人似乎有可能不仅准备把意大利半岛,而且包括波河流域全部纳入他们的统治之下。但是,公元前524年,他们夺取库迈的努力却归于失败;在大约公元前509-前474年期间,他们又丧失了对拉丁姆和罗马的控制;公元前474年,在库迈海域的一次海战中,他们被锡拉库萨人击败;在大约公元前450-前350年期间,他们在波河流域建立的大多数居民点,都遭受了来自阿尔卑斯山背后的凯尔特蛮族(高卢人)的蹂躏。公元前423年,来自坎帕尼亚内地的奥斯坎高地人,从埃特鲁斯坎人手中夺取了卡普阿。尔后又于公元前421年,从希腊人手中夺取了库迈。埃特鲁斯坎人在政治上失利的原因与希腊人是相同的。与殖民地的腓尼基人不同,埃特鲁斯坎人不愿使自己置于一个统一的权力之下。他们的扩张仅只是建立城邦,或者甚至仅只是几伙军事首领的冒险活动。于是,埃特鲁斯坎人的城邦最终只得为罗马人一个一个地征服。

    埃特鲁斯坎人曾被寄予很大希望,从政治上统一从阿尔卑斯山到靴形半岛”足尖”的整个意大利,如果他们的行动协调一致的话,他们或许能够成功。意大利的希腊人,甚至并未认真地考虑过统一意大利的前景。他们的人数太少,过于远离他们的中心地区,并且,最重要的是,彼此之内内耗惨烈。(埃特鲁斯坎人的城邦之间虽然缺乏行动上的协调一致,但至少他们没有像意大利的希腊城邦那样互相摧毁。)最小的意大利的希腊城邦是斯巴达的殖民地塔拉斯(塔兰托),建立于约公元前707年,它愚蠢地寄希望于从事扩张事业。然而,公元前473年,塔兰托人却遭到了东南低地地区民族的毁灭性打击。

    在锡拉库萨君王狄奥尼西奥斯一世在位期间(公元前405-前367年),希腊人几乎完成了把西西里岛和意大利半岛置于锡拉库萨治下的统一大业。狄奥尼西奥斯在锡拉库萨周围构筑起了城墙,并在西部人口稠密的高原地区开挖了壕沟,这就使锡拉库萨成为地中海地区最大和最坚固的城墙环绕的城市。在第一次迦太基战争期间(公元前398-前392年),狄奥尼西奥斯把迦太基人及其盟友埃勒迈人围困在西西里岛的西北角。接着,他与意大利的希腊城邦洛克里和塔拉斯,以及在波河流域摧毁了埃特鲁斯坎人城邦的凯尔特部落,签订了一系列协议。狄奥尼西奥斯一世在意大利的主要目标是塞雷,那是位于最南端的一座埃特鲁斯坎人的滨海城市。可以猜测,塞雷的盟友罗马于公元前386年为塞农-凯尔特人洗劫,一定是狄奥尼西奥斯怂恿所为,这是他反对塞雷行动计划中的最初之举。劫掠罗马的凯尔特人,随后又被塞雷人击败,塞雷和马西利亚一道帮助罗马从劫后之灾中复兴。约公元前384年,狄奥尼西奥斯在亚得里亚海沿岸和达尔马提亚群岛的一些战略要地兴建了若干海军基地,从而使亚得里亚海成为锡拉库萨人的内湖。这就使他得以与亚平宁半岛东北部的凯尔特人发生直接联系,并从亚得里亚海方向对埃特鲁斯坎人构成威胁。与此同时,大约也是在公元前384年,狄奥尼西奥斯的海军在第勒尼安海,进攻了也为罗马人所使用的塞雷的重要港口皮尔吉。迄今为止,狄奥尼西奥斯正在稳步走向建立一个西西里–意大利帝国的目标。为了夺取塞雷和罗马,他多次进攻皮尔吉,而他的失败也恰恰由此开始。

    狄奥尼西奥斯犯了两个错误。公元前390年,他进攻了一些与之为敌的意大利的希腊城邦,尽管他于公元前387年攻克了里吉恩,又于公元前379年攻克了克罗托内,但是这种空前激烈残酷的、同胞间自相残杀的战争,使锡拉库萨及其牺牲品意大利的希腊人,两败俱伤。狄奥尼西奥斯的第二个错误,是公元前383年他又一次卷入了与迦太基的战争。这一次他战败了,并于公元前378年被迫以割让领土为代价换取了和平。狄奥尼西奥斯一世在意大利犯下的这两个错误,为其他的竞争对手提供了可乘之机。狄奥尼西奥斯一世的儿子、他的继承人狄奥尼西奥斯二世(公元前367-前356年统治锡拉库萨,公元前356-前347年统治洛克里,公元前347-前344年再次君临锡拉库萨)的能力与他所继承的历史使命互不相称。他在位期间,也就是柏拉图于公元前367和公元前361年第二次和第三次访问锡拉库萨期间,锡拉库萨的衰落呈江河日下之势。在公元前367-前360年这位”哲学王”君临塔拉斯期间,虽然阿契塔曾一度在此将柏拉图的政治理想付诸实践,但锡拉库萨的衰落仍是无可遏制的。

    到公元前344年,西部地区的希腊人已经陷于如此窘困的境地,他们开始从奥特朗托海峡以东的希腊友邦那里寻求支援。公元前344年-前280年期间,最先响应西部希腊人呼吁的6个东部希腊”救星”是值得人敬重的,他们的支持也是最成功的。提莫莱昂是锡拉库萨的母邦科林斯的一位公民,他在财力物力匮乏的情形下,一举推翻了狄奥尼西奥斯二世和所有其他的西西里希腊君王的统治。然后,他又击败了西西里希腊联军之首的迦太基。在于公元前344年到达西西里和公元前337年自愿退休期间,他在锡拉库萨和其他西西里希腊城邦中建立了温和的民主政体;他把这些城邦互相结为同盟;他在本城邦的公民权之外,又授予各个城邦的公民以锡拉库萨的公民权,以便把一些西西里当地的城邦与锡拉库萨联合在一起,而这种办法对各自的地方自治权并无妨碍。提莫莱昂还劝说东部的希腊人派出了,并说服西西里的希腊人接纳了大批新的希腊移民。(在希腊世界,发生于公元前8世纪的人口爆炸,直到公元前4-前3世纪,其旺盛的势头仍足以为提莫莱昂向西西里提供移民,并为亚历山大和他的继承人们向亚洲提供数量更为巨大的军队。)不幸的是,提莫莱昂在西西里富于建设性的开明之举,未能在他的身后延续下去。

    西部地区希腊人的另外5个东部希腊”救星”全都很快就遭到了失败。他们来自两个城邦:塔拉斯的母邦斯巴达和离奥特朗托海最近的东部希腊城邦伊底鲁斯。斯巴达和伊庇鲁斯的资源与科林斯救助西部希腊人时同样匮乏;然而,提莫莱昂的斯巴达和伊庇鲁斯后继者,却并未像提莫莱昂那样成功地激励起西部希腊人与他们的救世主共同奋斗。斯巴达的国王阿希达穆斯三世于公元前343年到达西部地区,帮助塔拉斯抵抗来自内地的萨谟奈同盟的进攻。在公元前338年的战斗中,他被杀身亡。另一位”救星”是伊庇鲁斯的国王亚历山大一世,他大约于公元前334年到达西部地区,战死于公元前331年。两位斯巴达王子的远征–阿克罗塔图斯于公元前315年赴锡拉库萨,他的兄弟克利奥尼默斯于公元前303年赴意大利–都惨遭失败。

    最后一位也是最小的一位无能的”救星”是伊庇鲁斯国王皮洛士,他在意大利应塔兰托人之邀发动了反对罗马人的战争,从公元前380-前375年,他在西西里又应西西里希腊人的请求,发动了反对迦太基人的战争。皮洛士得益于迦太基人和罗马人在他们面临共同的凶恶敌人之际,未能彼此之间互相以海军和陆军相支援。皮洛士几乎建立起一个将包括整个西西里以及意大利东南部,或许其西北方向远及泰拉奇纳的伊庇鲁斯帝国。他的失败部分地归咎于伊庇鲁斯的资源短缺,部分地归咎于他反复无常的个性,这个弱点使得皮洛士在试图遏制顽固执拗的罗马帝国的创建者们时,无法与之匹敌。在那个时代,皮洛士的到来过于迟晚。公元前272年,不仅塔拉斯,而且意大利南部的当地萨谟奈人,卢卡尼亚人,以及布鲁蒂人的联盟,全部都向罗马投降了。罗马统治之下的意大利半岛的政治统一,完成于公元前264年。

    意大利半岛的统一完全寄希望于罗马。罗马夺取了台伯河下游的最后一座桥梁,而台伯河是意大利半岛上最大的河流,它在半岛西北低地的中心地区流入第勒尼安海。罗马腹地埃特鲁斯坎附近的维爱于公元前391年为罗马占领并毁灭,她的海上近邻和盟友,埃特鲁斯人城邦塞雷于公元前274年为她所吞并。这两个地方对于创建帝国来说几乎同等重要。罗马应当把她的成功归功于那些把政权把持于掌股之间的贵族们的政治能力,但是,如果这种天生的能力未经过希腊教育的催熟过程,它也许就结不出果实。通过埃特鲁斯坎的统治者和人民,罗马人首先是间接地希腊化,尔后通过与库迈以及逐渐扩展到希腊世界其他地区的交往,罗马人便直接地希腊化了。

    罗马是埃特鲁斯坎人创造的城市,他们自己于公元前550年即在那里定居。他们发现了一个拉丁游牧村社群;他们以农业地区稠密的农业人口,把这群游牧村社变成了一个埃特鲁斯坎的城邦。公元前最后一千纪,城邦和城邦联盟是地中海地区存在的唯一政体形式。这种起源于苏美尔人的制度,为腓尼基人、埃特鲁斯坎人和希腊人所共有。在人们尚不适应城邦统治形式的时期,任何政体形式都成为它的严重障碍。这就是马其顿、埃托利亚和萨谟奈失败的原因之一,也成为罗马获得成功的原因之一。罗马的城邦政体和城邦文化,对于政治发展处在前城邦阶段的人们来说,是令人印象至深并具有吸引力的。城邦制度成为有助于使较为落后的民族心甘情愿地并入罗马政治实体的一副良药。尤其是对于罗马来说,城邦政体是她与萨谟奈联盟争夺的财产,因为在公元前343-前272年期间,也就是罗马–萨谟奈战争进行时期,该联盟的大多数成员依然处于前城邦阶段。

    自从大约公元前550年以后,罗马的命运受到周围非罗马世界诸多因素的密切影响。大约公元前550-前5D9年,或许一直到大约公元前474年,罗马对埃特鲁斯坎专制君主的屈从,使罗马成为一个城邦,并在他们拉丁人中间使她成为一个小型的帝国。对于罗马来说,摆脱埃特鲁斯坎统治的代价,则是拉丁人从罗马统治下获得了解放。他们与罗马城邦共和国在平等的基础上,联合成为一个城邦联盟。尽管如此,埃特鲁斯坎对罗马统治的结束,并未割断罗马与迦太基之间的关系。我们尚不清楚,大约公元前506-前501年的罗马-迦太基条约是否是一系列条约中的第一个,或者它是否缔结于罗马实行共和政体前后,但是,直到这两大强国于公元前264年关系破裂之前,在这个条约之后缔结的罗马-迦太基条约,至少有4个之多;这些条约对于双方都很有利。

    约公元前393-前388年期间,罗马对维爱的攻克和摧毁以及对维爱领土的吞并,使得罗马的国力倍增,这使拉丁人十分惊恐,并招致了狄奥尼西奥斯一世对罗马和罗马的盟友塞雷的反感。公元前386年,塞农-凯尔特人对罗马的劫掠,使拉丁联盟得以从罗马分离出去。从公元前386-前356年,两代狄奥尼西奥斯成功地统治锡拉库萨期间,远方的高卢人在狄奥尼西奥斯们的鼓动下,从阿普利亚的一处基地,多次进犯罗马领土。这些侵扰阻止了罗马强迫拉丁人与之重新结盟的企图。其中,发生于公元前346年的一次高卢人入侵,伴随着拉丁人与罗马的一次新的分离,这一年恰恰是狄奥尼西奥斯二世重建锡拉库萨后的第一年。从公元前343-前338年,阿希达穆斯三世在意大利南部的出现,导致萨谟奈与罗马缔结了一项和平条约,条约的条款使坎帕尼亚的城邦置于罗马的霸权之下。公元前280-前275年在西部进行的皮洛士战争,显然对罗马的命运发生了直接的和致命的影响。

    与处于大多数其他时空环境中的大多数其他国家一样,罗马在任何时间和任何地方都不遗余力地寻找机会扩展疆域。早期的一个恰当例子是,大约公元前393-前388年期间,罗马持续不断地攻袭维爱,直至把它征服为止。罗马对意大利半岛其他地区的征服和此后对西西里的征服,是由罗马人的两次侵略行动开始的。尽管这些征服所蕴含的意义并未为当时的罗马政府所领悟,其结果也未为其所预见,但这两次侵略行动仍是处心积虑的。公元前340或前339年,罗马通过把坎帕尼亚诸城邦置于其保护之下而对萨谟奈发起了挑战,因为罗马的这一行动违反了公元前350年缔结的罗马-萨谟奈条约。公元前264年,罗马又违反了一个罗马-迦太基条约或谅解,将墨西拿的马麦丁人的意大利居民(前阿加索克利斯的雇佣兵)置于它的统治下,从而构成了对迦太基的挑战。

    到公元前264年,罗马先后战胜了埃特鲁斯坎人和锡拉库萨的君主狄奥尼西奥斯一世。如今,整个意大利半岛都已统一在罗马的统治之下。那么,罗马是如何取得这些成就的呢?

    罗马获得的遗产之一前已述及。那些昙花一现的埃特鲁斯坎君王们,卓有成效地建立了罗马城邦国家。其次,在专制政权被推翻之后,罗马成功地实现并维护了国内政治的和谐。在希腊城邦中,通常的结局是利益冲突的宗派之间争夺权力的斗争。例如,雅典是以庇西特拉图被推翻作为结局的,当时,罗马的塔奎尼乌斯也遭到同样的命运。在罗马,一个共和政体的创立也伴随着国内斗争,只不过那是公元前364年的事。罗马贵族以惩罚那些背叛者的追随者为条件,与绝大多数享受不到特权的公民的领袖们签定了一项条约,这个各怀敌意的联盟一直存在到公元前133年,其中只是偶尔发生过几次民众动乱(例如公元前339年和前287年)。这种国内社会和政治不公正状况的修复,使罗马得以在她的邻国面前建立起一个联合阵线。

    在罗马处理外交事务方面,这种得到加强的罗马寡头政策,成为对其他邦国中政治寡头们的一种鼓励,罗马人的这种政策导致了外交寡头的出现,这些人对国内权力的垄断是不稳固的,他们为了获得罗马寡头对自己的有力支持,而不惜牺牲他们邦国的独立。卡普阿的寡头们与罗马”官方”之间的勾结,就是罗马施展花招使一个外国被诱入其圈套的典型例子。

    罗马”官方”与外国寡头们之间的种种协议,因为家族友情与互相联姻而得到巩固。相反,在罗马强迫之下并受到按罗马意志规定的条约束缚而成为其盟友的各城邦的公民们,却因被禁止相互通婚和进行城邦之间的贸易而处处受到限制,因而无法彼此联合起来反对罗马。就像斯巴达的联盟一样,罗马的盟邦们必须为罗马的军队提供兵源。与斯巴达联盟不同的是,每当一个使他们卷入罗马人的战争的政治决议产生之际,他们自己却没有任何发言权。尽管如此,与斯巴达联盟相同而与公元前5世纪的雅典联盟不同的是,罗马的盟邦们不必向握有至高权力的罗马进献货币贡赋。

    公元前335年,于两年前脱离罗马控制的拉丁和坎帕尼亚的联盟失败之后,这两个联盟均被解散,继而于公元334年,一部分拉丁和坎帕尼亚城邦,在未被剥夺自治权的情况下被并入罗马政治实体。除了随之而来的强迫征税而外,他们的公民在许多方面享有罗马公民的所有权利;在其他方面,他们要被迫缴纳各种赋税,却又不能享受所有与赋税有关的权利。罗马这种”双重公民”制度,也许为提莫莱昂于公元前344-前337年在锡拉库萨与一些西西里城邦之间建立的关系提供了楷模.从公元前386-前346年间,锡拉库萨不断地骚扰罗马,以致于迫使罗马政府不得不密切注视锡拉库萨人的动向。

    公元前333年,罗马对所谓”双重公民”制度进行了进一步的试验。她在安提厄姆建立了一个小的由罗马公民组成的海岸警卫队驻防地,并在不剥夺他们的罗马公民权的情况下,让他们建立了一个自治的市政政体。这种做法和随后建立起来的罗马海岸警卫驻防地,为如今已被解散的拉丁城邦联盟建立拉丁殖民地树立了楷模。罗马对业已建立的拉丁殖民地施行了保护。她给予它们一等盟邦的地位,并在她的势力遍及意大利之际,使它们的数量得以增加。罗马在精心选择的战略要地建立起新的拉丁殖民地,作为守卫所征服领土的军事要塞。

    罗马政府对于意大利半岛上战略要地的勘察和开拓,是十分出色的。公元前318-前313年期间,罗马发现了一条通往亚平宁山脉中央地区的通道,并在阿普利亚占据了一处立足点,从而形成了对萨谟奈人的包围。公元前304-前289年间,罗马征服了一些山地民族,并建立起一系列的拉丁殖民地、罗马海岸警备驻防地和征服领土上罗马公民的非自治聚居地,从而使意大利半岛上的独立城邦之间南北隔绝。

    罗马的政策是悄悄地一个接一个地接近她打算获取的猎物的。公元前356年,狄奥尼西奥斯二世被驱逐出锡拉库萨之后,罗马控制支配意大利半岛的势均力敌的对手,仅剩下萨谟奈联盟了。因此,从公元前350年直到公元前274年皮洛士撤出意大利之后,罗马倾全力向南扩张,并通过缔结休战协定(非永久性条约)的办法,保持埃特鲁斯坎城邦的平静。罗马甚而诱骗了曾于公元前386年洗劫过罗马的塞农-凯尔特人,这些人定居在紧靠锡拉库萨的殖民地安科纳北面的意大利半岛的亚得里亚海沿岸。公元前330年,罗马诱使塞农人与它缔结了一个为期30年的休战协定,塞农人出于自身需要而信守了条约。这样,当皮洛士出征对罗马作战之际,当罗马征服了意大利半岛上幸存下来的最后一批独立城邦,着手在萨谟奈人的投降条约上签字之际,罗马解除了自己对北方邻居的后顾之忧。

    在公元前264-前241年的罗马-迦太基战争期间,双方动用了战舰和陆军,伤亡惨重,就其战争规模和惨烈程度而言,在地中海地区的战争史上是空前的。这场大战使罗马占据了除锡拉库萨领地之外的整个西西里岛,以及整个意大利半岛。就在西西里岛的其他地区成为倍受蹂躏的兵灾之地时,锡拉库萨的领地上却相安无事。这一部分西西里土地之所以幸免于难,应归功于希伦二世的远见卓识,在众多锡拉库萨君主中,此人是最为仁厚的。公元前263年,希伦颇有先见之明地改变了立场,此后,直到他去世的公元前215年,在他在位的最后48年里,他始终是罗马庇护下的忠实的依附者。公元前263-前215年与公元前344-前337年一样,成为锡拉库萨骚乱不安的历史上一段美好的插曲;希伦治下的和平时期长达提莫莱昂在位时间的7倍之久。

    至于罗马,其第一次与迦太基交战的结果,使她的海军占据了地中海西部的海上优势。公元前238年,迦太基迫不得已从西西里抽调到非洲的雇佣军发生了叛乱,正当迦太基为此事无所措手足之际,罗马攻占了撒丁岛,迫使迦太基把它割让给罗马。尽管如此,公元前237年,雇佣军叛乱被哈米尔卡尔?巴尔卡(有”闪电”之称)所镇压,此人是最近一次与罗马战争中的英雄。就在同一年,哈米尔卡尔率领一支远征军出征西班牙。到公元前221年,他和她的女婿,也是他的继承人哈斯德鲁巴,在伊比利亚半岛建立了一个新的迦太基大陆帝国,这个帝国远比迦太基在西西里岛西北角的海滩上丧失的领土要大得多,也更有价值。公元前221年,哈斯德鲁巴对西班牙的统治,为哈米尔卡尔的儿子汉尼拔所继承。很久以来,汉尼拔即决心从公元前264-前241年与罗马战争的失败中重振旗鼓,此时他的职位使他终于得以一试锋芒。这样,公元前221年,地中海西部的形势就变得与地中海东部同样地扑朔迷离了。在旧大陆文明中心西端的下一个历史阶段中,这两个地区即将联接为一个统一的战场。

    第三十五章 中国的秦帝国和西汉帝国

    (公元前221-公元9年)

    在公元前221年,从印度次大陆到直布罗陀海峡,在中国以西的旧大陆文明中心的广大地区,没有发生任何决定性的事件。与此相反,这一年对于中国来说却是划时代的一年。就在这一年,中国完成了政治上的统一,统一的完成标志着中国历史的分界线。公元前221年以前,中国只是一个文化上的统一体,却从来不是一个政治上的统一体。从那时起,中国有时也陷入政治上的分裂,但是到此刻为止,在或短或长的分裂和混乱的插曲之后,它总是再次达到政治上的统一。

    公元前221年之前和公元前221年之后,中国在一个方面保持着连续性。从中国历史的黎明时代开始,华夏世界在地理上就处于不断的扩张之中。到了公元前221年,它从黄河下游及黄河支流的渭河流域的中心地区,向南扩张到了长江流域。秦王赢政(他在公元前221年成为统一了的中国的第一位皇帝)在他去世之前,将现在广东、广西和越南北部的土地并入了他的帝国。公元前111年,汉武帝再次征服了这块南方的领土。秦帝国崩溃后,这一地区曾一度恢复独立。公元前108年,汉武帝推翻了汉族移民在朝鲜建立的一个独立国家,吞并了北部朝鲜,把它划为中国的4个郡。

    朝鲜和华南地区之所以能够并入中华帝国,原因就在于它们是可以从事农耕的地区。中华世界的北部边界(今天的内蒙古则是一块边缘地区,既可以作为贫瘠的耕地,也可以成为肥美的草场。对于中国的农民、军队和官员来说,欧亚大平原本身就是一条障碍地带。这里,游牧族的经济、制度和战争方式已经形成并适应了当地自然环境,而且,对于定居的邻人来说,游牧族在他们自己的土地上是很难对付的。匈奴族于公元前200年打败了中华帝国的重建者汉高祖刘邦。汉高祖本人仅只避免了居鲁士二世所遭受的厄运。中华帝国政府只得向匈奴割让土地,交纳贡品。而匈奴则于公元前177年、公元前158年两度侵入中国。汉族的反侵犯开始于公元前128年。但是,匈奴人就象欧亚大平原西端的西徐亚人在其收场遭受大流士一世入侵时一样,令人难以捉摸。象西徐亚人一样,匈奴人既没有被灭亡,也没有被有效地征服或逐出草原。

    作为汉族人反击侵犯的序曲,汉武帝于公元前139年派遣了一名使者张骞联络月氏(又称吐火罗)。月氏是一支游牧部族,于公元前174年为匈奴逐出甘肃而西迁。张骞的使命是说服月氏与汉人合作,在截击共同敌人匈奴时形成钳击之势。公元前128年,张骞在河间地带找到了月氏,他未能说服他们再度与匈奴决一胜负,只得于公元前126或前125年回到中国。公元前115年,他第二次出使,这次到了乌浒河流域的大宛和乌浒河与药杀水之间的粟特。汉朝于公元前104、前102和前42年占领了大宛。张骞的出使使中国人得以了解中国以西的文明的存在,以及文化的发达。当然,至少自新石器时代开始,中国就从自己边界以外的西部或其他方向,获得过刺激和知识。从公元前2世纪的最后四分之一时间以后,中国才开始感知到它与欧亚大陆其他地区人类的联系。

    中国扩张的势头并没有在公元前221年停止。但是,秦国从公元前356年开始的功业却彻底荡涤了昔日中国的其他的一些方面。公元前356年是法家哲学家政治家商鞅开始革命性地变革秦国制度的年代。公元前256-前249年,秦始皇的祖父灭亡了周王室。对于中国社会来说,周王室维护着以礼仪统一的遗迹。到了公元前221年,秦始皇灭亡了与秦抗争的6个诸侯国。但是秦始皇也宣判了自己祖传王国的灭亡。他的功业的这一结果与他自己的意愿是截然相背的。无疑,他没有意识到自己所做的事情。就象400年以前的亚述和100年以前的马其顿那样,秦的灭亡恰恰在于帝国的建立。秦国本地的人口由于军事伤亡和向外移居驻防而空竭,而这一空虚却由来自6国的被驱逐者们填充上了,就象亚述空虚的国土上充满了同样的被驱逐者一样。公元前221年以后,被征服的6个诸侯国的全部贵族,都被放逐到了关中地区。但是,秦国实行的自杀政策中最致命之处还不在此,而是迫使它的国民们无法忍受其残暴统治。

    秦始皇式的政治统一实际上是无法忍受的,残忍的统一者于公元前210年死后,3年之内秦帝国就被推翻并瓦解了。但政治上的统一本身被证明是不可逆转的。秦帝国于公元前207年灭亡后,汉帝国又于公元前202年建立。秦始皇的所作所为使得灭亡和重建都成为不可避免。

    秦始皇不仅以放逐贵族的方式破坏了被征服诸侯国的社会结构,而且通过把全中国重新划分为郡的方式抹掉了各国的边界。这些郡由秦的官员以法家精神进行治理。农民受到徭役和赋税的压迫。秦始皇的法家大臣李斯(约公元前280-前208年),试图压制非法家的哲学派别。公元前213年,他煽动了”焚书”,第二年,他又建议坑杀了大约400名讨厌的学者,以继续”焚书”政策。与此同时,秦始皇也满足了中国社会中一些最紧迫的需求。

    这些需求中最大的政治统一的需求前面已经论及。另一个最大的需求则是标准化。秦始皇统一了文字和车子的轮距,使全中国都与秦的模式一致(在中国中心地区的松软黄土地上,车轮必须在车辙内行走,所以不同的车子轮距限制了车的行走范围,就象现代蒸汽机和铁路车辆由于不同的轨阻而受到限制一样)。秦始皇标准化和统一中的最大功绩是把分属于秦国、秦的北方邻国赵国和燕国的抵御游牧族的长城联成一片,使之成为连亘一体的万里长城。秦始皇的万里长城伸展到了黄河西北部的河套地区。它环抱了今天蒙古的鄂尔多斯地区。但是它的效果在一定程度上与所要达到的目的是相背的。长城的修筑是中国政治统一的明证,但也迫使匈奴自身联合起来,对付统一的中国。我们已经论述过匈奴的联合在中国产生的后果。

    公元前209年大起义的目标是恢复远古的政体。起义者成功地瓦解了秦国的政体,其结果则是起义者们为分赃而相互征战。最有影响的王位觊觎者是一位前楚国的贵族项羽。项羽建议扶植楚国王室的一位后裔为全中国名义上的皇帝,而项羽自己则作为帝国皇帝后面的掌权者。但是,在公元前205-前202年的国内战争中,胜利者却是出生于淮河下游地区的一名幸运的军人刘邦(汉高祖)。

    刘邦不得不分封他的同盟者以报答他们,他也不得不恢复一些已经灭亡的王国,以安抚公众情绪。但他却将关中秦国原有的领地置于自己的直接统治之下。他在京兆建立了自己的首都,那里与未来的长安毗连,与西周王朝最后的首都所在地接近,又与秦国的最后一个首都咸阳隔渭河相望。刘邦既吸取了秦始皇失败的教训,也吸取了项羽失败的教训。他和他的后继者们认为,他们必须比项羽更有力,而又比秦始皇更为温和地统一中国。所以,在恢复秦始皇强有力的统一过程中,他们并未表现得很匆忙。

    首先采取迅速的措施,变换受封者和罢黜受封者,使封国变得无害。然后于公元前144年颁布法令,把各封国打成碎块。法令规定,将来封国国君死后,由他的儿子们瓜分封地,不再是只有长子继承完整的封国。将所有的地方政治单位和行政单位划成小块的积极措施,是汉王朝加强中央政府对它们的控制的措施。汉帝国开国时有15个帝国官员管理的郡和10个正式的自治王国。到了公元元年或2年,则有83个郡和20个诸侯国。这两类地方单位之间的比例改变了,两类单位的规模也极大地缩小了。所有新征服的领土都划为郡。公元前154年7个地方诸侯国的共同叛乱,促使帝国政府完成削弱诸侯国的进程。公元前127年的法令规定,国王死后其长子必须割让他父亲王国的一半给自己的幼弟。

    中央政府积极恢复对广袤领土上地方行政单位的直接控制,又提出了如何补充帝国政府人员的问题。重新恢复秦王朝式的以军功者为地方行政官员的方式,是不可能的。秦始皇的法术之士激起了公元前209年的起义,他们自己也为愤怒的起义者所残杀。对秦始皇独裁的反对是如此激烈,对远古政体的怀恋是如此强烈,以致刘邦(他不是一个理论家)在公元前202年即皇帝位后,第一件冲动而行的事就是采纳和推行道家深思熟虑的自由放任政策。然而,一位儒生却使刘邦深信,这种与秦的政策相对立的政策是不切实际的。公元前196年,刘邦下诏给各郡和王国当局,要求为帝国政府输送优秀的官职候选人,在经过非正式的考试后,再由长安的宫廷进行选择。公元前191年以后,儒生们重现了被认为是由孔子编定的五经。汉武帝(公元前140-前87年在位)曾下诏,任官的条件应是能熟练地写作儒家经典式的文章,能熟练地解说儒家的哲学,以满足当时儒生们的意愿。

    在理论上,汉武帝向有才干的儒生大开了进仕之路,但在这一时期,中国的文官考试制度尚不完备,学术声誉还没有成为而且也不可能成为任官和升迁的唯一途径,仍然看重个人的权势。无论如何,一个贫穷的家庭若长期支付孩子的费用,让他准备并学习艰深的科目,也是困难的。此外,采纳和研习儒学已经是严格规定了的,而且现在的儒学与孔子时代的儒学大不相同。本质上是无神论的孔子的理性主义,已经为虚伪的宗教信仰和迷信所冲淡。这是多种地方传统混合的结果,这些地方传统的文化水准也各不相同。在中华帝国的大熔炉内,儒学已经多少包含了一些文化上落后的成份。

    孔子曾在某一争战的地方诸侯国寻求入仕,在他作为一名教师的最后职业中,他的目的是维护传统的中国社会结构。他没有预见到中国的政治统一,而且有可能并不赞成统一。完成统一的政治家们是法家而不是儒家。孔子也可能不承认公元前2世纪的儒家学说来源于自己。然而,汉武帝尊崇当时混杂的儒家学说的行为,对于孔子的重新解释”君子”一词来说,却是他死后的胜利。至少从官方的角度来看,从那以后,中华帝国是由这样的一批人管理的:他们担任官职是由于个人的才能,而不是由于出身血统。

    然而,结果是令人啼笑皆非的。一位官员由于具有儒家观念上的”君子”的美德而获得职位,他就有了职位所给予的机会,并经常利用这一机会,使自己成为原始意义上的”君子”。他可以使自己成为土地所有者,可以把自己的财产传给儿子,还可以供养儿子受教育,使他也成为儒家文职官员。儒家官员们很快意识到要效忠自己的家庭和阶级,而这些效忠又会与(而且确实与)他们对于皇帝的效忠和他们对于没有特权的皇帝的广大民众的责任相冲突。这些民众是由儒家官员们以皇帝的名义进行统治的。

    这种忠诚的分离,在儒生中是不受指摘的。因为巨儒孟子在反对墨子时曾强调,仁德者施爱于他的同胞人类,应是有等级差别的。一个人的最亲近的人也应是他最爱的人。对于一个官员来说,他的家庭和阶级要比皇帝或一般民众亲近得多。在一个中央政府重新宣告它对民众有直接统治权的帝国里,官员对于皇帝的义务就是实施严厉的法家体制。这一体制在公元前4世纪引入秦国,又在公元前221年以后由秦始皇强加给中国的其他地区。事实上,在重新集权化了的汉朝政体下,儒家外表之下是坚实的法家内核。政治上统一的中国居民们感到,中华帝国实质上即等同于文明世界。激励所有的文职官员为全人类仁慈地执行他们职责的中国哲学是墨子的学说,因为墨子强调说,仁德者应该平等地关心他的人类同胞。然而不是墨子,而是为孟子所解释的孔子赢得了在普遍范围内使自己的哲学成为官方学说的身后奖赏。

    对于儒家官员来说,汉朝的政体在很大的程度上就是秦朝的政体。他在政治上是他所统治的皇帝的臣民的主人,在经济上也是他所拥有的土地上的农民的主人,他和他的同僚们甚至成为统治王朝的潜在主人。汉武帝的儒家顾问董仲舒确立了这样的学说:王朝的统治实际上来自于天命,而且这一天命可以被收回;天命的收回是由一系列的社会动乱和自然灾害来表明的。这一学说不言而喻的必然推论是,儒家文职官员是审判者,他们将评判这些征兆是否已经宣布了一个王朝天命已尽。对于无特权的广大民众来说,随着儒家学者-官僚-地主的不断兼并土地,他们也越来越多地感觉到秦帝国的政体与汉帝国的政体没有什么不同。自始至终,中国的农民总是处在忍无可忍的状态中。对于农民来说,握有政府权力的新私有地主阶级的兴起,是一系列重压和打击中终于使人不能忍受的最后一击。

    无论在哪种政体之下,帝国的维持必定是把沉重的负担强加在居民的头上。他们是绝大多数,他们不是该政权的特权受益者。在汉代,一个中国农民必须每年服1个月的徭役,他还会被征募到军队中服役2年。他们的祖先为地方性的诸侯政府征募时,曾经离开家乡。但是,与他们的祖先相比,在统一了的中国的广袤土地上,他们服兵役时却更远地离开了自己的家乡。毫无疑问,死亡的危险减少了。现在的兵役意味着沿万里长城戍守,而不是在中国的中心地区进行与死亡相关的战争。但是,外出者所冒的经济毁灭的危险更大了,而且农民的不幸,又成为地主获得财富的机会。在汉帝国与匈奴的百年战争中(公元前128-前36年),当应征的农民兵士不仅越过长城,而且远远深入长城以外的大漠时,地主的机会便也与日俱增。

    强迫徭役有多种形式:在帝国的铁矿和盐矿上做工;修筑道路,开挖运河,修补现存的道路和运河,以及沿着运河或其他河流逆流而上漕运谷物,以供给位于关中地区,设在汉代首都长安的宫廷和政府,或者供给沿长城一线的驻防军队。与长安到生长小麦的东部地区和生长稻米的南部地区的距离相比,长城则更为遥远。驻屯军的需要无法从驻地附近土地上的物产中得到满足,因为长城穿过的地区都是干旱地区。

    中国与希腊世界的地理结构是截然不同的。它不是由一系列的内陆海洋环绕,而是大片坚硬的陆地。这样,在运输问题可以解决的范围内,就造成了文化上的极大的一致性和政治统一的极大的持久性。希腊世界的绝大部分地区都处在易于到达海滨的范围之内,除了黑海的内陆地区,河流通航的作用不大。中国象希腊世界一样,通讯联络依赖于水路。中国的河流很多,但没有一条大河横贯南北或横贯东西。而且,汉帝国的粮食生产区位于长城以南和首都的东南。

    因此,河流需要运河的补充;在河流的有效河段内,货物必定是逆流拖运,尤其是黄河航线的上行水路,河水穿过华北平原西部边缘地区的山脉,黄河水流在这里形成了一个由向南转而向东北的锐角,船只在这段河流中航行极为困难,前往长安的货物不得不在峡谷中的自然障碍间艰难行进。运往长城的货物则必须由陆路运到长城的不同区段,因为那里与黄河不相毗连。对于私人来说,拖运粮食供给品无利可图,所以必须征募服徭役者完成这一必不可少的公益任务。

    因而,汉帝国使用了后备的经济能量。为了保证自身的存在,它不得不尽力超越自己经济力量的极限。在这种情况下,对于帝国的经济来说,由儒家官僚转化而来的新地主阶级就成了过于沉重而又难以承受的重负。汉朝积极而成功地削减了地方政治和行政区域的规模,以及它们的自治权,但它在制止私人大地主在数量上和规模上的增长方面却失败了。汉武帝统治时,董仲舒已经感到了这一问题对于社会和汉帝国的危险性。那时,董仲舒是汉武帝的儒学顾问,他系统地阐述了”天命”学说。公元前6年颁布了一项诏今,确立了个人可以占有土地的限额。但是,诏令的实施取决于官僚地主,而他们的私人利益又与他们的政府职责相冲突。因而,这一诏令成了一纸空文,西汉王朝也于公元9年崩溃。

    西汉王朝为皇帝王莽所取代。王莽感到自己受命于天,是解决土地所有制问题的使者。儒家官僚们阻止了西汉王朝解决这一问题,他们也挫败了王莽。王莽死于公元23年。在此之前,公元18年爆发于山东的农民起义,已经宣告了王莽为农民主持公道和缓解他们境遇的企图的失败。农民起义者没有成为汉帝国和它的各种问题的继承者。公元25年,汉室的一个分支东汉王朝建立,并以洛阳为首都。洛阳曾是东周的所在地。到了公元36年,东汉王朝的建立者光武帝镇压了农民起义,恢复了已经崩溃的西汉王朝的儒家官僚政体。

    无论是西汉王朝还是农民,都成了儒家官僚地主的牺牲品。这个新的社会阶级是帝国的粘合剂,但也成为”中国的悲哀”。官员们是真正的罪犯,”天命”早就应该从他们的身上收回。做官的儒生们在精神上已经成了法家,他们以法家的残忍为之尽职的是他们自己的利益,而不是皇帝的利益。到这时,这一新的特权阶级已经使自己处于牢固的地位。在公元9年至36年的灾难中,它成为中华帝国社会中幸免于天谴的一个因素,而上天的惩罚则恰恰是这个统治阶级自身招致而降临于中国的。

    第三十六章 地中海地区、西南亚和印度

    (公元前221-公元48年)

    从公元前221年到公元36年间,中国的农民蒙受了深重的灾难。第一位政治统一者所建立的残暴政权只存在了12年(公元前221-前210年),随后就出现了持续8年的混乱和内战(公元前209-前202年)。其后建立了西汉政权,继之又爆发了一次不成功的农民起义(公元18-36年)。但这一时期中国农民的命运尚不及此前的战国时期那样悲惨;也不及公元前221年至公元48年间位于中国和大西洋之间那片地区的农民那样悲惨。

    在旧大陆文明中心的中部和西部,五大强国都在这250年间灰飞烟灭:孔雀帝国、塞琉西帝国、托勒密帝国、迦太基帝国和马其顿王国。在公元前221年曾存在于中国以西的各大强国中,只有一个国家,即罗马帝国到公元48年的时候仍然存在。公元前221年,这个帝国的范围还仅限于意大利及其附属岛屿一带。到公元前31年之前,这个帝国连连扩张,环绕整个地中海周围,但未曾囊括中国以西的全部政治真空地带。在幼发拉底河以东,包括美索不达米亚、巴比伦尼亚和伊朗的那片地区,现在已被一批来自欧亚大平原的以攻掠为生的安息(今呼罗珊地区)游牧民族占领。在公元前221年的时候,他们还没有对安息以西更远的有人定居的世界发动侵犯。在安息帝国以东,另一支以攻掠为生的欧亚平原游牧民族月氏人(又称吐火罗人)的一支贵霜部落,千公元48年建立了一个横跨兴都库什山脉的帝国,并将乌浒河和药杀水的上游流域与西北印度统一在一起。

    中国以西旧大陆文明中心政治地图的这种变化,是一系列灾难性的战争、革命和民族大迁徙的结果。罗马的革命席卷了落入罗马帝国手中的所有国家;月氏人从今天中国西部省份甘肃开始的移民活动使欧亚大平原上所有的游牧民族向西移动,并将在此前5个世纪中分布于里海以东大平原上的那些民族躯往南方。同时,在文化方面,希腊文化的发展和传播也在种族的、军事的、政治的和经济的混乱状态中继续进行着。

    公元48年,中国以西的这三大帝国没有一个是由希腊人统治的,它们每一个都建立在从前的希腊人国家的废墟上。但所有这三个帝国都自觉而骄傲地倾向于希腊文化。每个帝国在其颌土上都在吸收并传播着希腊文明。这时,从西北印度的朱木拿河上游,向西直到西西里岛西端之间的文明,都使用希腊语。披着罗马外衣的希腊文化正以拉丁语为媒介,从意大利半岛向欧洲大陆一直传播到莱茵河和多瑙河一线,向西北非一直传播到撒哈拉沙漠的北部边缘。到公元48年,希腊文化已经进行了8个世纪的扩张,传播得愈远,与所到之处各种各样的非希腊文化的融合就愈为密切。但在这个逐渐成熟的文化混合过程中,希腊文化的成份在所到之处仍然占据着主导地位。

    伴随着希腊化进步的剧变,最先在印度显露出征兆。在这里,孔雀帝国的结构早在阿育王公元前232年去世以前,就已显出了衰微的迹象。但摧毁了旧大陆文明中心的四分之三的这场风暴却掀起在最西边。公元前219年,汉尼拔进攻并夺取了西班牙地中海沿岸的城市萨贡托。虽然罗马政府同哈斯德鲁巴(汉尼拔的姐夫和前任,他控制着汉尼拔之父哈米尔卡尔在西班牙建立的新迦太基帝国)于公元前226年达成协议,双方同意以埃布罗河为罗马和迦太基势力范围的分界线,但位于埃布罗河一线以南的萨贡托那时仍属罗马的领地。公元前218年,汉尼拔带着战象从埃布罗河出发,越过比利牛斯山脉、罗讷河和阿尔卑斯山进军波河流域,此时罗马正将这一地区并入自己的版图。汉尼拔在这里打败了一支罗马军队,超过亚平宁山脉,于公元前217年在伊特鲁里亚的特拉西梅诺湖畔摧毁了另一支罗马军队,然后又于公元前216年在阿普利亚的坎尼摧毁了第三支,也是最大的一支罗马军队。

    汉尼拔在坎尼取得的辉煌胜利使他的战略经受了考验。在第一次罗马-迦太基战争中(公元前264-前241年),罗马从迦太基手中夺取了对地中海西部地区的制海权,罗马通过在政治上统一意大利而获得的可以用于军事的人力也远远多于迦太基公民、它的利比亚腓尼基同盟者及它的利比亚和西班牙臣民的人力。汉尼拔从他的父亲和姐夫手中继承下来的那支小小的职业性军队所具有的专业技能和团结精神弥补了迦太基在人数上的劣势;汉尼拔在从西班牙经陆路入侵意大利时在后勤上所作的杰出努力抵销了迦太基海上力量的损失。汉尼拔深知罗马的统治在意大利多数非罗马人居民中是不得人心的,特别是在那些没有获得罗马一等公民的特权,却被迫承担罗马公民的繁重义务的居民中更是如此。汉尼拔估计,如果他取得了他后来在公元前216年确实取得了的胜利,罗马人在意大利半岛上的同盟者和二等公民就将倒戈,罗马在人力方面的优势就将丧失,罗马就将接受投降条件,将其领土和人力削减到罗马人在公元前340年第一次”大跃进”以前所限的范围之内。

    罗马人在坎尼第三次也是最糟糕的一次败在汉尼拔手中之后,他们在意大利东南部的大部分同盟者确实倒戈了,罗马在坎帕尼亚地区的二等公民也是如此。但罗马政府仍然掌握着意大利半岛的中部和北部,而汉尼拔那支战无不胜的职业军队毕竟规模太小,无法对罗马力量的心脏地带发动进攻,以扩大它所取得的一系列战果。这种虎头蛇尾的行动导致了汉尼拔战略的失败。当罗马人从坎尼灾难中恢复过来以后,汉尼拔的最后失败就是不可避免的了。从这时起,罗马政府再也没有给汉尼拔在激战中打败罗马军队的机会。罗马政府充分地动员了仍然十分丰富的人力固守意大利东南部的防线,并大片地守卫着意大利半岛上罗马领土的那些依然完好无损的地区。

    罗马对海上的控制也依然完好无损,这使罗马得以阻止对汉尼拔的增援运往意大利,汉尼拔只得到了增援中无足轻重的一小部分。这还使罗马得以对迦太基在西班牙的领土发起进攻。到公元前206年,迦太基统治下的西班牙全部落入罗马手中。公元前205年,罗马人在西班牙的胜利者普布利乌斯?科尔纳尼乌斯?西庇阿侵入西北非迦太基本土。与以前阿加索克利斯在公元前310-前306年、西庇阿之前的罗马将领马可?阿提利乌斯?雷古卢斯在公元前256-前225年进行的远征不同,西庇阿的远征获得了成功。公元前203年,汉尼拔从意大利被召回非洲,公元前202年,他在那里的纳拉加拉被西庇阿彻底击败。

    在这个最后的结局到来之前,汉尼拔战争不仅从意大利扩展到西班牙和非洲,而且扩展到西西里和希腊。公元前220年,埃托利亚与以马其顿为首的其他希腊国家的联盟爆发战争。埃托利亚人本来遭到了失败,但公元前217年意大利传来的消息使他们得以劝说希腊对手们媾和。公元前215年,马其顿国王腓力五世与汉尼拔结盟,他的使者在由迦太基专员伴送回国的途中被罗马人截获,罗马与马其顿发生战争。公元前212年埃托利亚与罗马结盟,因此使自己再次卷入与马其顿及其同盟者的战争。在这场战争中埃托利亚丧失了色萨利的大片领土,不得不于公元前206年与马其顿单独媾和,而这又迫使罗马也于公元前205年与马其顿媾和。这两项和平条约从短期看来有利于马其顿,但代价是必然会立即爆发一场报复战争。因为到公元前205年,事情已经很明显:罗马正在对迦太基赢得一场决定性的胜利。

    迦太基对罗马进行的报复战争遭到失败。它未能改变公元前264-前241年那场战争的结果,迦太基从此一蹶不振,并落入罗马的摆布之中。但迦太基在汉尼拔战争中遭受的物质损失却小于罗马。迦太基在本土作战的时间只有3年(公元前205-前202年),而汉尼拔对意大利半岛的蹂躏却长达15年(公元前217-前203年)。意大利东南部和西西里遭受的这种蹂躏,是无法补偿的,它带来了众多经济的、社会的和政治的后果,这相当于汉尼拔在死后取得了一个胜利。这种蹂躏及其后果对于罗马帝国的打击,比公元前216年汉尼拔在坎尼取得的毫无价值的军事胜利更为致命。

    在汉尼拔战争的受害者中,意大利和西西里的希腊人受到的打击最为严重。锡拉库萨国王希伦二世对他与罗马建立的联盟一直信心十足,但他在公元前215年去世后,锡拉库萨、塔拉斯(塔兰托)、阿克腊加斯(阿格里真托)相继脱离罗马,随后就与希伦的王国中次于锡拉库萨城的另一大城市伦蒂尼一道遭到攻占并被洗劫。在希腊,马其顿的盟国由于埃托利亚和罗马之间建立联盟的条件而蒙受了灾难。双方商定,一旦一个敌方城市被盟国方面夺取,埃托利亚人取得土地和建筑物,而罗马人获得不动产,包括幸存的居民,罗马人可以把他们贩卖为奴,而他们也确实这样做了。

    马其顿国王腓力五世目光短浅,与他同时代的塞琉西皇帝安条克三世则盲目蛮干。腓力向罗马发出挑衅并侮辱了埃托利亚之后,于公元前202年提兵东进,而这时罗马即将打败迦太基,再次取得行动自由。公元前202年,腓力未经寻衅就攻占了5个希腊城市,并效仿罗马人的暴行,将其中3个城市的无辜居民贩卖为奴隶。至于安条克,他已为取得叙利亚南部地区而在公元前221年发动了第四次塞琉西-托勒密战争,又在公元前219-前217年发动了第五次战争。公元前217年–即发生特拉西梅诺战役的那一年–安条克三世在拉菲亚(令拉法)被托勒密四世打败。在公元前216-前213年间,安条克忙于在小亚细亚清肃他的表兄弟阿齐乌斯,后者曾为安条克从帕加马国王阿塔罗斯一世手中夺回了塞琉西帝国在托罗斯山脉西北的恳地,随后就脱离了安条克。从公元前212年到前205年,安条克在幼发拉底河以东作战。公元前206年他在喀布尔河谷地(这是风雨飘摇的孔雀帝国领地的一角)。这年年底,他又在波斯湾作战。

    安条克三世足迹所至的范围之广堪与亚历山大相比,但他的政治成果却是昙花一现。安条克对亚美尼亚、北部米底(今阿塞拜疆)、安息和大夏的宗主权获得了名义上的承认,但实际上他刚一转身,当地的统治者就恢复了自己的独立。公元前202年,安条克三世发动了第六次塞流西-托勒密战争,这一次,在公元前198年实现和平的时候,南叙利亚一直掌握在他的手中。这时马其顿的腓力五世已经打输了他与罗马和埃托利亚的第二次战争。

    在公元前200到前168年间,罗马建立了对整个地中海东部地区及周围区域的统治。公元前197年,它在色萨利的库诺斯克法莱决定性地打败了马其顿,并将马其顿人从其希腊地区的各个属地逐往奥林匹斯山以南和小亚细亚西南部。公元前195年,罗马赴希腊远征军将斯巴达与其全部海滨地区分隔开来,从而使斯巴达陷于瘫痪。该城逐再次成为一个被陆地封锁着的小邦,在公元前8世纪后半期发动领土扩张之前,它就是这个样子。公元前192年,安条克三世与埃托利亚一道对罗马发起战争。安条克于公元前190年、埃托利亚于公元前189年先后被迫投降。安条克被迫割让托罗斯山脉西北的全部塞琉西领土,并支付一笔巨额战争赔款。在第三次罗马-马其顿战争中(公元前171-前168年),罗马清除了马其顿王国,并把它的领土划分为罗马宗主权下的4个共和制的行政区。

    安条克本来可以避免他与罗马的冲突。在战争爆发之前的谈判中,罗马向他提出了两套可供选择的和平共处的条件,两种方案都是很温和的。安条克本来可以毫不费力地接受其中的一种,那样就有可能实现和平共处,因为在广泛延伸的希腊世界中,两个大国都有着发展的空间,它们政体结构的发展也是相同的。塞琉西帝国和罗马帝国都正在变成一个自治的城邦国家的联合体。但安条克于公元前190年在锡皮卢斯山地区的马格内西亚使自己遭到的可耻失败,注定了要使塞琉西帝国最终遭到罗马和安息的瓜分。

    由于塞琉西帝国的领土面积,由于安条克三世此前取得的颇具欺骗性的胜利,也由于汉尼拔曾在公元前195年帮助过安条克,罗马人过高地估计了塞琉西帝国的力量。罗马人曾在公元前215-前208年和公元前200-前197年正确地估计了马其顿的力量,因此在公元前171-前168年间低估了它。马其顿注定要屈从于罗马,因为它未能象罗马统一意大利那样成功地使希腊在政治上永远统一在自己的宗主权下,同时也因为两国之间可以用于军事的人力对比相差悬殊。在这第三次战争中,马其顿得以把它的全部人力投入战场,因为罗马人此前已在去了它的海外要塞,在前两次罗马-马其顿战争中,大批的马其顿军队被困在这些要塞中。这一次罗马人为打败马其顿人不得不竭尽全力,因为后者虽然在人数上、装备上和战术上都处于劣势,却勇猛异常,立志要在他们民族军事史上写下辉煌的篇章。但罗马军队为在黎凡特建立统治而不得不竭尽全力,这却是唯一的一次。一个罗马使节报告罗马人在彼得那取得了对马其顿的决定性胜利的一句话,就足以在公元前168年使安条克三世的儿子和第二位继承者安条克四世撤出埃及,他们趁罗马人正在希腊陷于他们最费力的战争中的时候征服了这个地方。

    罗马统治集团将外交手段作为战争的补充,他们在征服黎凡特的时候,使用了他们在征服意大利半岛时曾经使用、并取得了显著成功的那种外交艺术。他们在敌国城市招募”第五纵队”,办法是保证使那里少数富有的居民统治贫穷的多数居民。他们在一个强大对手周围的较小的邻国中召集同盟者,而一旦在同盟者的帮助下推翻了这个对手,不再需要同盟者服务的时候,就立即”以其忘恩负义的行为使这些同盟者目瞪口呆”。例如罗马在公元前197年借助于埃托利亚的帮助打败马其顿后抛弃了埃托利亚,在马其顿帮助它于公元前190-前189年战胜埃托利亚后又抛弃了马其顿。它在公元前168年肃清了马其顿王国后抛弃了帕加马、罗得岛人和亚该亚联盟,尽管帕加马和罗得岛人曾在公元前192-前190年帮助罗马打败安条克三世,而亚该亚人自公元前198年抛弃了他们从前的同盟者马其顿后就一直是罗马的忠实盟友。罗马在努米底亚的帮助下于公元前218-前201年的战争中打败了迦太基,并在公元前150-前146年的战争中将它加以消灭,其后它就抛弃了努米底亚。公元前168年在希腊取得最终胜利后,罗马人采取了秦始皇于公元前221年在中国取得最终胜利后采取的那种做法。他们将马其顿、亚该亚联盟和大陆上其他希腊人城市统治集团中一些著名的人物放逐到罗马本土上。摩罗西亚人统治下的伊庇鲁斯未曾在马其顿一方参加作战,埃托利亚人在公元前171-前168年的罗马-马其顿战争中曾是罗马三心二意的盟友,他们受到的打击更加沉重。摩罗西亚人遭到洗劫并被当作奴隶;埃托利亚人除了必须交出要遭到放逐的人外,还受到割让领土的惩罚。

    公元前221-前168年对地中海地区的居民来说是个痛苦的年代。公元前167-前31年对他们来说更是雪上加霜。汉尼拔战争的折磨使罗马人对距离意大利较近的一切大国心怀恐惧。如果安条克三世在公元前196-前192年这几个命运攸关的年头聪明一些,也许罗马统治集团会允许遥远的塞疏西帝国继续与罗马帝国同存共处。从公元前190年起,罗马统治集团从不放过任何机会来削弱塞琉西帝国的力量,尽管公元前192-前190年战争的结果表明,这个幅员广大的帝国的军事力量已经衰竭。迦太基自公元前201年之后就已经国衰力竭,而它在公元前150年又遭到罗马的攻击,并在公元前146年被摧毁。科林斯也在同一年被摧毁,这正是罗马人取代马其顿人在科林斯卫城驻扎军队的50年之后。罗马统治集团的目的是消极的。它所希望的只是打垮任何有迹象表明企图保持独立的国家,尽管这些冒犯天威的国家完全没有能力采取汉尼拔那样的行动。

    罗马统治集团无意填补他们自己蓄意制造的政治真空,这与秦始皇于公元前221年在中国消灭了最后一个幸存的独立国家后的所作所为形成了鲜明的对比。秦始皇根本不留任何政治真空,他每摧毁一个敌国,立即将它的领土加以兼并,并在政治上将整个中华世界囊括在一个高度中央集权的专制帝国之内。公元前168年罗马摧毁了它势力能及之处唯一幸存的大国,在此之后,它使被打得七零八落的地中海世界等待了1个世纪之久,才采取了重建这个地区的第一个步骤。公元前67年,一位罗马军阀格奈乌斯?庞培被授予在黎凡特重建法律和秩序的独裁权力,他在公元前67-前62年间有效地完成了使命,但到公元前46年,一个杰出的罗马军阀、庞培的成功的竞争者尤利乌斯?恺撒才将整个地中海世界控制在自己手中。随后恺撒着手在地中海采取秦始皇在中国曾经采取过的行动。他着手在他的共和制罗马前任们不负责任地留给他的断壁残垣上建立一个中央集权的专制帝国,但他正要着手将他的帝国扩张到幼发拉底河以东的希腊世界的时候,他在公元前44年遭到暗杀,这项事业被迫中断。

    恺撒拥有专制权力、可以集中全力重整河山的时间只有2年,而秦始皇却有12年的时间。而且恺撒在这2年内的复兴事业还曾被对他的独裁统治发起的一次新的军事挑战所打断。与秦始皇相比,恺撒对待战败的对手较为仁慈,他的惨遭暗杀就是他为自己的仁慈宽厚付出的代价。(秦始皇曾在公元前224年逃过了一个燕国奸细谋杀他的企图,那时他还只是秦王政,尚未完成强行统一整个中国的事业。)但是,秦始皇之死在中国带来的后果暗示出,恺撒的事业也正如他的中国同行一样,将不会比他本人的生命长出多久,即使恺撤拥有秦始皇所拥有的12年时间也将是如此,因为尽管恺撤对待对手仁慈宽厚这一点与秦始皇不同,他却与秦始皇一样都是急于求成、有欠稳妥。地中海世界需要并及时地找到了奥古斯都,他是恺撒的继承者,他将以一种不那么引人争论,因而也更为持久的形式,象刘邦重建秦始皇的帝国那样,重整恺撤的江山。

    与此同时,迦太基帝国、马其顿、塞琉西帝国于公元前218-前190年间在罗马打击下遭到的军事失败,同一时期托勒密帝国和孔雀帝国由于罗马人对战败的对手横加劫掠而加剧的衰落,为亚洲和非洲土著民族的复苏开辟了道路。

    早在罗马人干涉黎凡特之前,埃及人就已经开始起来反抗剥削他们的托勒密希腊人政权。在第五次塞疏西-托勒密战争中(公元前219-前217年),托勒密政府曾按马其顿人的方式训练并武装了一支由埃及土著居民组成的步兵军团。在拉菲亚战役中,这支埃及人的部队打败了希腊族的塞琉西军队。埃及人对与他们的马其顿希腊统治者同种同族的士兵取得的军事胜利,使埃及农民树立了新的信心。从公元前217年起,他们对希腊的”主人”们来说变得越来越难以控制,埃及的祭司阶层–他们是一个强大的集团–抓住时机,向这个显然正在削弱的异族政府要求越来越多的让步和特权。祭司阶层本来可以成为反对希腊人的埃及民族主义运动的当然领袖,但农民们的起义主要是社会性的–它是穷人反对富人的起义。埃及的教会统治集团与希腊人的政治统治集团一样都是他们反抗的对象,祭司们的地位是捉摸不定的。

    公元前201年以后,罗马在西北非的盟友努米底亚不断地侵犯迦太基的领土。公元前190年以后,塞琉西政府不得不向臣民们榨取钱财,用以向罗马人支付战争赔款。由于帝国在罗马人打击下的失败暴露了它在军事上的衰弱,政府的压迫使激起了反抗。塞琉西领土上最大的金银宝藏聚积在寺庙的宝库中。安条克三世于公元前187年、安条克四世于公元前163年,都因为企图抢劫埃利迈斯(埃兰)的寺庙而丧了命。

    使塞琉西帝国最为头疼,耗尽了它有史以来最大心力的寺庙,是耶路撒冷犹太人的耶和华神殿。在波斯政权和后来的托勒密政权统治时期,犹太地区的犹太人社会从未与帝国政府发生过冲突,并一直生活在和平中,只是在以斯拉时代以后与当地的其他居民有过不睦。但犹太地区犹太人社会内部也象埃及人一样,由于少数富人和多数穷人之间关系的紧张而陷于分裂。富人占有土地并控制着聚积在耶路撒冷神殿中的财富,他们中间包括了一些最为强大的祭司家族。穷人包括农民、城市手工业者以及犹太律法的解释者,塞琉西政府承认犹太律法对犹太地区的犹太人社会仍然有效,此前的托勒密政府也承认如此。犹太地区犹太人社会内部的少数富人由于两个贵族家族,即托比亚家族和奥尼亚家族之间,以及这些家族的代理人之间的互相敌对而陷于分裂。第6次塞琉西-托勒密战争是以对包括犹太地区在内的南叙利亚的统治权从托勒密政权到塞琉西政权的易手而结束的,在这场战争期间,犹太人的这一内部纷争又与一个亲托勒密集团和一个亲塞琉西集团之间一场新的内部争持纠缠在一起;这场争持又与犹太地区犹太人的一个富有的希腊化派别和一个贫穷的反希腊派别之间的更严重的争持纠缠在一起。在犹太地区处于托勒密王朝统治下的一个世纪中,一个犹太人社会已在尼罗河畔的亚历山德里亚成长起来。犹太地区的希腊化犹太人打算比这个社会做得更彻底。从犹太地区来到亚历山德里亚的犹太人移民已不再讲阿拉米语而改操希腊语,但他们没有放弃自己祖传的宗教。在取代托勒密政权而统治犹太地区的塞琉西政权之下,这一地区的希腊化犹太人被希腊的整个生活方式吸引住了。

    公元前175年安条克四世上台后,犹太地区的希腊化犹太人主动请求这位新的塞琉西皇帝给予帮助。在他的帮助下,这个犹太人的寺庙国家转变为一个希腊式的城邦,并重新命名为安条克。这种做法并非仅有。从一开始,塞琉西王朝的政策就是把帝国逐步变成一个希腊城邦成希腊化城邦的联合体,而将它们联系起来的纽带,则是对帝国皇位的共同的忠诚。公元前190年帝国被罗马人打败后,实行这一传统的希腊化政策的热情更加高涨。帝国政府将希腊文化看作一种文化上的粘合剂,以此来阻止帝国发生的崩溃。由于在一场大规模战争中遭到可耻失败,塞琉西帝国正处在发生崩溃的危险中。

    犹太地区的希腊化犹太人纷争不已。相继上台并控制着神殿、财富的希腊化高级祭司首领争相向安条克四世行贿,以求得到他的支持。公元前169年,安条克在打完第一次埃及战役后的归途中,在当时的祭司首领的默许下抢劫了耶路撒冷神殿。公元前168年安条克听命于那个罗马使节撤出埃及后,碰到了犹太地区反对希腊化的多数犹太人发动的起义。这场叛乱的矛头是针对犹太地区犹太人社会中希腊化的少数人的,但安条克把它看作是反对自己的反叛行动,并进行了军事反击。他在耶路撒冷建起一座堡垒,并在那里布署了一支驻军,公元前167年12月,他使耶和华神殿的礼拜仪式希腊化,并禁止犹太地区采用传统的犹太教礼拜方式。耶和华这时显然已被等同于奥林匹斯山上的宙斯,人们在圣殿中为他建造的塑像,也许就是被当作”神的化身”的安条克本人的肖像。

    安条克所干的这一切,都有犹太地区希腊化犹太人的协助。由于这些希腊化犹太人看上去仍在犹太地区占统治地位,所以当公元前166年,犹太地区信守传统的犹太人发动的抵抗运动,在哈希芒家族的领导下采取了有效的军事形式的时候,安条克一定感到吃惊不小。起义者战胜了希腊化犹太人,夺取了耶路撒冷(那座堡垒除外),并在公元前164年12月再次使神殿非希腊化。罗马政府在公元前161年与反塞琉西政权的犹太地区起义政权签订了一项条约。公元前141年,驻守耶路撒冷那座堡垒的塞琉西驻军被迫投降,同一年,帕勒人(通常被不确切地称做”安息人”)从塞琉西帝国手中不仅征服了米底,而且征服了帝国的经济源泉巴比伦尼亚。

    公元前139年,塞琉西皇帝德米特里二世试图收复失地而陷于失败。他被安息人击败并做了俘虏。他的兄弟安条克七世迫使耶路撒冷于公元前133年左右投降,他使哈希芒政权承认他的宗主权,在公元前130年,他迫使该家族在位的城主约翰?伊尔坎努斯作为一支犹太人分遣部队的首领,伴随他参加一次战役,安条克希望通过这次战役来挽回他被俘的兄弟的失败。安条克七世确实在公元前130年重新征服了巴比伦尼亚和米底,但在公元前129年冬季他的军队在米底被安息击溃,并被七零八碎地彻底消灭。安条克七世本人被杀,但安息人让约翰?伊尔坎努斯领着他的犹太人部队完好无损地返回了犹太地区。

    公元前129-前63年,犹太地区成了哈希芒政权统治下的独立国家,并征服和兼并了南叙利亚的一些邻近地区,包括沿海和内地的许多希腊城市或希腊化城市。但庞培在公元前64-前63年解放了被征服的城市,并强使犹太地区本土接受了罗马的宗主权。

    犹太人的民族主义运动与埃及人一样,其矛头在政治上是针对一个希腊人帝国的政府的,努米底亚王国也由于在政治上以迦太基为牺牲品而扩大了版图。但推翻一个政权容易,抵御一种文明的影响却不那么容易。甚至在从地图上抹去了迦太基以后,西北非海岸幸存的利比亚腓尼基城市的叙利亚文明仍在努米底亚继续扩展;而且,在哈希芒家族取代塞琉西帝国在犹太地区及南叙利亚邻近地区建立统治后,他们也很快就拱手屈从于希腊化,就象塞琉西帝国在其他地区的后继国家,例如科马吉尼那样。

    哈希芒家族作为维护犹太教传统形式的斗士而赢得了王冠,他们向希腊文化的妥协导致了他们与哈西德教派之间的分裂。哈西德教派代表传统的犹太教,在哈希芒家族领导下曾发动并打赢了对希腊化犹太人和塞琉西政府的战争。哈西德教派包括律法解释人(”犹太律法学家”),他们出于各种各样的动机拿起了武器。对他们来说,重建律法不仅意味着重建犹太宗教的传统形式,也意味着恢复律法学家从前的地位和薪金。但犹太地区的政权没有转到律法学家手里,而是传到了哈希芒王朝手中–他们成了建立绝对王权统治的马其顿希腊人的犹太人继承者。在哈希芒国王亚历山大?雅奈乌斯(公元前102-76/75年)在位期间,哈希芒统治集团与法利赛人(”分裂者”)(人们现在这样称呼哈西德派)发生了一场内战,据说在耶路撒冷神殿区,有6000名法利赛人遭到国王的卫兵,非犹太人雇佣兵的屠杀。

    甚至曾过着游牧生活的安息人,至少他们的统治者阿萨息斯王朝,在吞并了巴比伦尼亚,将首都移往底格里斯河畔塞琉西亚东岸郊外的泰西封以后,也带上了希腊文化的气息。但在第一波斯帝国所有的希腊后继国家全部倒台的公元前221-前30年间,希腊文化又在安息以东,乌浒河和药杀水上游流域(大夏和粟特)以及西北印度大获全胜。在这里,正如在其他各个地方一样,文化影响的时间远远超过了政治的沉浮。

    在大夏和粟特,对亚历山大大帝的军事抵抗比在波斯帝国领地上任何其他地方都更为激烈。但也是在这里,伊朗人和希腊人取得了最为成功的和睦共处,而且在公元前250年左右,大夏和粟特的希腊人总督脱离塞琉西帝国后,这一地区希腊人和伊朗人的这种协议也未曾中断(这也许就是游牧的帕勒人占领帕提亚的那一年)。塞琉西皇帝安条克三世的东征(公元前212-前205年)劳而无功,他随后于公元前190年在罗马人手中遭到的惨败,以及阿育王于公元前232年去世后孔雀帝国的衰落,这一切都诱使大夏的希腊人去填补兴都库什山以南的政治真空。

    公元前200年之后不久,大夏的两位称作德米特里的王子之一可能征服了位于现在的阿富汗西南部,曾由塞琉古一世割让给孔雀帝国的旃陀罗笈多的那片领土。在印度的希腊人国王米南德于大约公元前160-前130年在位时,统治区域在东南方向最远达到印度河和纳巴达河河口。可能在米南德在位期间,定居印度的希腊人曾一度占领了已经灭亡的孔雀王朝原来的首都华氏城。大夏和印度的39位希腊人国王和2位希腊人王后的钱币已被发现。它们与公元前5世纪锡拉库萨的钱币一样美观,上面的很多肖像非常好看,但在这不到2个世纪的时间内在这一地区担任过国王的希腊人到底有多少,还有待于文字资料的进一步确定。他们统治着星罗棋布的各个地区,在萁豆相残的战争中互相毁灭,这正是希腊人根深蒂固的政治恶习。正如腓力二世时期以前的希腊各城邦和亚历山大的继承者们一样,大夏和印度的这些希腊人国王,为了争夺兴都库什山两侧零零碎碎的领土而彼此攻战不休,从未想到要建立一个统一战线,来抵御来自欧亚大平原的民族大迁徙。

    大夏和安息的北部紧邻着两个塞语(西徐亚)民族:一个是在里海以东现在的哈萨克斯坦地区,另一个是在药杀水上游流域的大宛。第一波斯帝国衰亡以前,两个民族都曾处在波斯人的宗主权下。公元前140年左右,他们在月氏人的冲击下被迫南迁,后者为避开匈奴的地盘而向西南移动。塞人制服了大夏的希腊人,但由于获得了巴比伦尼亚而加强了力量的安息在大约公元前138-前124年阻挡住了塞人,并使他们转向了赫尔曼德河下游流域(该地从此被称作”塞人国家”–锡斯坦)。塞人从那里进入印度河谷,并一个一个地征服了希腊人在印度建立的国家。一支安息人紧随其后,强行建立统治于其上。同时,在公元前100年左右,月氏人越过乌浒河进入大夏,并蹂躏了曾经占领大夏的塞人臣民。前面已经提到,中国皇帝汉武帝的使者张骞发现月氏人到公元前128年左右时已经定居在乌浒河和药杀水之间的河间地带。公元48年,月氏人的统治阶层贵霜人越过兴都库什山脉进入印度河流域,并对那里的安息-塞人,以及被安息-塞人驱往东南方和南方更远地区的独立的塞人强行建立了统治。贵霜人由此将大夏和西北印度统一在一个横跨兴都库什山脉的帝国之中。

    帕勒人(”安息人”)、塞人和月氏人(吐火罗人)原来都是欧亚大平原上的游牧民族,帕勒人和塞人都是操伊朗语言的民族,在迁离欧亚平原进入有过定居生活的农业居民居住的地区之前,曾相继与波斯人和希腊人发生过接触。月氏人来自处于波斯文明、希腊文明和中国文明范围之外的遥远的地方,他们所讲的属于印欧语系的吐火罗语不是伊朗语言。但所有这3个曾以游牧为生的移居民族,包括月氏民族中的贵霜人,都接受了他们所征服地区的希腊文明。例如他们的硬币就是其希腊前辈的硬币的仿造品甚至重铸品。阿萨息斯人和贵霜人就象哈希芒家族和罗马人一样,欣然地屈从了希腊化。

    统治现在的阿富汗这片地区的最后一个希腊人国王赫尔梅乌斯和他的妻子卡利奥普王后死于公元前30年左右,可能是死在安息人-基人手里。这个年代就是埃及的最后一个希腊人女王克娄巴特拉七世自杀的那一年。希腊人对罗马进行的最后一次大规模军事抵抗是公元前149-前148年的马其顿起义。在马其顿起义被粉碎后,亚该亚联盟于公元前146年与罗马进行的战争,在悬殊的力量对比之下只是一个无望的希望。在此以后,对罗马发出的挑战就不再来自任何一个希腊人的政府,而是来自希腊奴隶或希腊化的奴隶,以及第一波斯帝国的一些后继国中的伊朗人(而不是希腊人)统治者。

    从公元前241年起,塞琉西王室由于互相竞争的继承者之间萁豆相残的战争而削弱了自己的力量。从公元前129年,即安条克七世皇帝在米底战败身亡的那一年,直到公元前64年塞琉西帝国最后的残渣碎片烟消云散,在它不断缩小的领土上,内战连连,无休无止。这使叙利亚成了奴隶贩子们快乐的狩猎场。公元前168年之前,罗得岛人的海军控制着黎凡特;但在马其顿王国被消灭后,罗马人将提洛岛送给雅典,条件是它必须成为一个自由港,从而摧毁了罗得岛人的力量。罗得岛人从此再也无力维持它的海军。此后的一个世纪中,以西利西亚西部(”高地”西利西亚)和克里特岛为基地的海盗掌握了黎凡特水域的制海权。海盗们与意大利和叙利亚的商人合作,以提洛岛为基地,绑架叙利亚内战中的受害者,将他们贩卖为奴,在提洛岛上进行买卖,以供应意大利和西西里的庄园和农场。这些地方在遭到汉尼拔战争的蹂躏后,庄园和农场成了进行经济剥削的最有利可图的形式,它们就是靠奴隶劳动来经营的。

    意大利半岛和西西里岛的奴隶人口中包括了来自社会各个阶层的人。任何阶层的任何人都有可能成为内战带来的运气和变化的牺牲品。西西里最后几次奴隶起义的一些领袖受到良好的教育,具有政治家的才能。早在公元前198年,在罗马东南的一个拉丁人殖民地塞提亚就出现过一次流产的庄园奴隶起义。但庄园奴隶发动起义颇有不便之处,他们在劳动时被铁链锁在一起,夜间则被关押起来。起义是由牧人奴隶发起的。由于要保护牧群免遭人兽捕食,他们是拥有武装的,而且当他们夏季在山上放牧时,这些武装的牧人奴隶实际上是不受控制。牧人奴隶有武器和行动自由,庄园奴隶则人数众多。当牧人奴隶拿起武器并解放了庄园奴隶后,联合起来的起义奴隶可以找到有力的领袖,可以建立能在战场上与罗马部队一决雌雄的军队。这就是公元前135-前132年和公元前104-前100年左右的西西里奴隶战争取得了如此的成功、持续了如此之久的原因。

    公元前135年,即第一次西西里奴隶战争开始的那一年,在提洛岛和阿提卡也爆发了奴隶起义。没有证据表明在地中海世界不同的地方同时爆发的奴隶叛乱是相约而起的,也不能证明是一场起义的消息激发了另一场起义;但它们的同时爆发却可能不是偶然的。公元前135年,提洛岛在政治上与雅典,在商业上与西西里和意大利都有联系。公元前132年,企图问鼎帕加马王位的阿里斯托尼库斯在这个王国从前的领土上举兵,此前在公元前133年,帕加马王朝的末代国王将国土遗赠给了罗马人。罗马政府将这个王国变成它的亚细亚行省,并把在该省征税的工作包给了罗马商人。阿里斯托尼库斯呼吁奴隶给予支持,并宣布建立”太阳共和国”。他显然是想以此鼓励西西里奴隶起义的领袖们。太阳是正义的神圣象征。它公正无私地给予一切奴隶和自由人、穷人和富人以光明和温暖。罗马统治集团支持的是富人、奴隶主和奴隶贩子。起义者不仅想要建立一个敌对的国家来取代罗马,还想建立一个敌对的社会来取代希腊社会,因为这个社会残忍地对待它的无产者。这同样也是色雷斯角斗士斯巴达克斯的目标,他逃脱了关押,建起一支意大利起义奴隶的军队,在公元前73-前71年间控制着意大利的农村。

    向罗马发出挑战的第一个伊朗统治者是小亚细亚东北部庞廷山区的卡帕多西亚国玉米特拉达梯六世。公元前88年他进犯罗马亚细亚行省,占领提洛,并得到了雅典的支持。他以解放者的姿态出现,要把希腊人从罗马的压迫下解救出来。他在被解放的地区对意大利包税人和其他意大利商人进行了屠杀。公元前88-前86年,米特拉达梯的军队向前推进,达到薛西斯的军队在公元前480-前479年推进的地方。但米特拉达梯也重蹈薛西斯失败的覆辙。在公元前85年被迫媾和,但他在公元前63年去世以前还曾两次举兵反对罗马。

    米特拉达梯对罗马发起的挑战功败垂成。它比罗马人自公元前149-前148年马其顿起义失败后所遇到的任何挑战都更为激烈。另一个伊朗国家安息又于公元前53年在美索不达米亚的卡里(哈兰)使罗马遭到重创,这是罗马自公元前216年在坎尼惨败于汉尼拔手中后遭到的最惨重的军事失败。卡里的战场是一处平原,离地中海岸最近的港口都相隔很远,这使远远深入大陆内地的罗马军队在后勤上困难重重,当地的地形又使罗马步兵在人数、装备和战术上的优势难以发挥。克拉苏的军队在卡里发现自己面对人数上占劣势的安息骑兵弓弩手无能为力,后者有驼队源源不断地把箭运送过来。克拉苏的军队被歼灭了。

    这是罗马遭到的第一次不可挽回的失败。此前迦太基人、希腊诸国、起义奴隶和米特拉达梯先后都败在它手下。但罗马人在后汉尼拔时代最可怕的敌人和最不幸的牺牲品不是安息人,而是罗马人自己。

    后汉尼拔时代罗马与黎凡特希腊人诸国的战争都是短暂的,罗马的黎凡特对手在罗马打击下根本不可能长期投入军事和政治力量。另一方面,罗马在汉尼拔战争中的胜利给罗马留下了一个直接的遗产,就是在亚平宁山脉以北的意大利大陆和海外的西班牙长期投放军队。而且,与希望借机渔利的罗马大地主相反,在这些遥远的地方长时间地服兵役,给农民出身的罗马士兵带来了经济上的重大损失,正象同时代在长城一线和长城以北服兵役的中国农民士兵一样。波河流域的最后一个独立的部落在公元前25年被消灭,西班牙的最后一个独立部落在公元前19年被征服。截至这一年代,罗马帝国的军事边界在西欧大陆已经推进到莱茵河一线,在亚洲大陆推进到幼发拉底河一线,在东南欧,罗马人彻底吞并马其顿和接管马其顿北部边防的事业曾受到公元前149-前148年激烈的马其顿起义的抑制。此后,罗马帝国在这一地区的边界在公元前27好推进到了多瑙河一线。

    与此同时,东南意大利和西西里在汉尼拔战争中遭到的破坏,以及罗马统治集团随后将地中海世界的其他地区加以摧毁、然后弃之不顾的政策,为大规模的剥削活动提供丁一个机会。这个机会还使罗马政体中一个掠夺成性的新的阶级应运而生。在罗马征服并统一意大利半岛的时候,正象中国在战国时代一样,商人们聚敛起了流动资本。罗马的这些资本家和罗马统治集团中的土地所有者,占有了罗马社会财富中的最大份额。大多数罗马公民是贫穷的,罗马国家也同样是贫穷的。

    公元前215年,即汉尼拔战争的第4个年头,罗马国库陷于破产。但一直在向意大利和海外的罗马军队提供衣食武器的那些承包人,承担了在战争期间继续赊账提供这些必不可少的物资的工作,并且,他们显示出自己手中掌握着足够的流动资本,从公元前215到前201年,他们一直在这样做。而且,在公元前205年,意大利半岛西北部未遭破坏的地区的一些城邦–其中一些是罗马的自治区,一些是罗马的盟友–用自愿馈赠的丰富物品,装备了西庇阿为入侵迦太基非洲而召集起来的远征军。同年,破产了的罗马国库将从坎帕尼亚的一些罗马自治区征收的可耕地块拿来出售。这一地区在公元前215年曾脱离罗马,公元前211年又被重新征服。购买土地的人显示出,他们能够用现金付款。

    从公元前215年起,罗马政府就处在私人债权者的摆布之下。它不得不给予他们的条件为他们的欺骗活动大开方便之门;当他们的欺骗行径臭名远扬的时候,当局只是很不情愿地查处了一些进行欺骗的承包人。他们担心受到冒犯的承包人停止物资供应,这将使罗马立即遭到军事失败。在战争尚未结束的公元前204和前202年,罗马国库不得不开始以分期付账的形式向债主还债。公元前200年,它不得不用罗马周围半径50英里以内的公地偿还欠款,以此支付最后的款项。这对债权人极为有利,这些地方土地的价值无疑将会升高。除了以不利的条件借债以外,国库还向纳税人强征年度资产税,以此等措汉尼拔战争的部分费用。公元前187年国库以千分之一的税率向纳税人归还了这笔年度税的25.5/34,这笔款项的来源,是国库从罗马远征军于公元前188年掠劫小亚细亚后带回罗马的战利品中政府所得份额中得到的。

    罗马政府从罗马军队带回国内的战利品中得到的份额,并不是罗马国库在公元前201-前168年间补充资金的唯一来源。当时还有战争赔款–例如公元前201年向迦太基、公元前190年向塞琉西帝国强行收取的赔款;还有能够带来收益的永久性资产,例如从曾经脱离罗马、又被重新征服的意大利东南部社会没收的土地,迦太基和科林斯的全部国土,曾是马其顿国王财产的矿产和森林,曾是迦太基政府或被征服的当地西班牙人社会财产的西班牙矿产。公元前168年征服马其顿以后,取消了居住在意大利、或意大利以外的罗马自治地区,但被赋予与意大利人同样的税收地位的罗马公民的直接税。

    所以,从公元前215年开始,富裕的少数罗马公民越来越富,而贫穷的多数人则越来越穷。商人暴发户们是不具有生产性的,他们不是工业企业家,除了向军队提供物资和贩卖奴隶外甚至也不是贸易者。他们聚敛大量财产,主要是依靠充当海关税收和罗马各省居民缴纳的税款的包税人。统治集团的成员垄断着政府公职,因而也应有责任保护国民不受包税人的敲诈,但他们更为关心的却是为自己谋取非法收人。他们达到这一目的的做法一种是暗地里向包税生意投资,但主要是租进和购买罗马在意大利扩张所获得的领土上的土地以求生利。

    在意大利东南部,大片土地成为罗马领土,同时,由于在汉尼拔战争时期曾经脱离罗马的意大利诸国的土地被没收,这些土地也成为罗马的公共财产。由于在遥远的前线长期服兵役的农民纷纷破产,罗马领土上曾是他们私有财产的那些土地也被投进了市场。租进公地和买进破产的农民士兵的财产,这时成了大为有利可图的营生。

    意大利半岛上有大片地区是由崎岖的高地构成的。这些地区不适合从事农业,但如果能在低地进行补充性的冬季放牧,如果有安全的道路每年可把牧群赶来两次,这些地区对于夏季放牧牛羊具有很高的价值。公元前264年完成意大利半岛的政治统一后,大规模发展这个国家的畜牧业能力就已成为可能。汉尼拔战争后,意大利罗马领土上大规模的土地没收和买卖,使这种有利可图的经济发展对少数罗马公民来说成为现实,他们具有足够的钱财来租进公地或购买私人土地和牲畜。为使这些土地通过畜牧生利,作为牲畜使用的人,也就是牧人奴隶,也与畜群本身一样重要。在低地租借或购买土地的人有两种使用这些土地的方法。除将可耕的低地变成冬季牧场外,另一种方法就是种植葡萄和橄榄。在罗马城和其他意大利城镇,油料和酒类市场非常有利可图。在意大利以北的欧洲地区也是如此。在那些地区,油料和酒类的生产既无气候条件,在罗马控制的领土上又被罗马政府所禁止。但是,在公元前221-前31年间,葡萄园和橄榄园,如同畜群一样,只有使用奴隶劳动,才能获得利润。

    的确,使用奴隶劳动是较为昂贵的。首先得把奴隶买来,一年到头向他们提供吃的和住的,丧失了劳动能力的奴隶也无法再出手转卖,完全得记在以赢利为目的的庄园主和牧主的帐上,而他完全可以在繁忙的季节雇用临时的自由劳动力,而不必为这些临时的雇工承担永久的责任。但奴隶是他的永久性劳动力,具有可以任意支配的好处。只要奴隶尚有劳动能力,他的劳动就完全受主人的支配;而一个受雇的自由人实际上是一个公共的奴隶,他随时可能被政府征召入伍开长年服役,他的私人雇主对此无能为力。

    因此,从汉尼拔战争结束起,意大利半岛的农业经济和人口都开始经历一种革命性的变革。自由农民所有的、主要为这些所有者自己生产口粮的小块自由地产逐渐为实行冬夏两季放牧的大牧场,在低地地区同时也为橄榄园和葡萄园所取代。这两种新的土地使用方法都采用奴隶劳动。这种变革从未彻底完成。自由地产仍然大量存在,罗马城内居民所需要的口粮也并不完全来自西西里和撒丁的贡赋。但到公元前135年,即第一次西西里奴隶战争爆发的那一年,这种经济和人口的革命已经在意大利造成了为征兵所需要的人力的短缺。

    罗马统治集团的成员对奴隶制度的严重的非正义性和残酷性,对寡头统治下在政治上软弱无力的多数公民的贫困漠不关心,但他们却对征召军队应付罗马军事需要所遇到的日益增多的困难深感惊恐。他们还发现,强制性的征兵使征到的土兵越来越少。公元前133年,也许更多地是出于对保持罗马军事效率的这种关心,而不是出于对罗马自由公民的社会正义的关心,促使罗马统治集团的一个成员提比略?塞姆普罗尼乌斯?格拉古提出并推动颁布了一项法律,这项法律带来了罗马政体内部的一场革命。格拉古法律限制公民拥有公地的数量,并规定以一定的面积分配剩余的公地,这将使分到土地者可以应征服役。这一法律在已经毁灭性地动荡了一个世纪之久的旧大陆文明中心西部掀起了一场风暴。在这一个世纪中,旧大陆文明中心的东部也由于中华帝国和匈奴之间的战争而受到摧残。

    格拉古法律使提比略?格拉古本人在公元前133年丧了命(他被贵族们私刑拷打致死)。它也使提比略的弟弟盖约在公元前121年丧了命。这项法律不但激怒了罗马统治集团,也激怒了曾经脱离罗马的那些国家的公民,他们中的很多人仍然若无其事地霸占着罗马已从这些国家没收的部分土地。到公元前111年,一切可以找到的公地都得到了重新分配,导致格拉古立法的那些军事问题和社会问题一个也未获得解决。公元前108年起,这些问题开始以不利于罗马政体中合法政府生存的方式得到解决。

    公元前107年,罗马公民盖约?马略被选为执政官(每年改选一次的两名执政官是罗马国家的最高政府官员),他不是世袭的统治集团的一员。马略以不合法的新方法组建了一支军队,即征募靠救济为生的贫苦公民。他们很愿意服兵役,毫无所失而多有所得,因为他们与马略之间有一笔心照不宣的交易:不向他们提供赡养,就不能让他们离开军队,他与他们应相互合作,利用有组织的军事力量的政治压力向罗马统治集团提出条件,既满足士兵的要求,又满足其指挥官的野心。马略是罗马第一位革命性的军阀。从公元前108年起,罗马实际上是由军阀统治者–但这一点从未被公开承认过,只有尤利乌斯?恺撒公开的、因而也是短暂的并被暴力推翻的君主制统治除外。

    这种不合法度、独裁专制和军国主义的新政府形式,直到公元前31年才被用一种重获合法性的明显伪装掩饰起来。在这个年代之前,这种新秩序(或毋宁说是无秩序)使意大利居民遭受了两次内战的打击:第一次在公元前90-前80年,第二次在公元前49-前31年。这场罗马革命的最有讽刺性的特点是,从公元前133年提比略?格拉古死于私刑,到公元前30年马可?安东尼殒于自杀,狂怒的朱庇特雷轰电殛,击倒了一片正在逐渐缩小的材林中一棵又一棵最高的树。朱庇特的靶子是罗马权力游戏中的那一个个的顽主。格拉古兄弟、辛纳、塞多留、卡提林纳、庞培、克拉苏、尤利乌斯?恺撤、绥克斯图?庞培、马克?安东尼–这场致人死地的游戏中所有这些顽主全都在暴力中死于非命。马略在历尽沉浮之后逃脱了这种命运。这批人中的另外两个军阀也得以终其天年。这两位灵巧的政治杂技演员,一个是所有军阀中最残忍的卢西乌斯?科内利乌斯?苏拉,另一个是最为狡猾的盖乌斯?尤利乌斯?恺撤?屋大维(奥古斯都),他是尤利乌斯?恺撒的外甥和养子。

    屋大维得以终其天年殊为不易。在可怜的最下层阶级的领袖们和一系列遭到失败并孤注一掷的罗马政治家先后走上这条革命之路之后,屋大维成功地使历时百年的罗马革命告一段落。马略以及他的朋友辛纳和塞多留就相当于主张平均主义的帕加马王子阿里斯托尼库斯以及西西里的奴隶之王优努斯和萨尔维乌斯。续克斯图?庞培与海盗们建立了联盟,他的父亲,即遭到谋杀的庞培,一度曾把这些海盗赶入大海。

    罗马革命就等于是汉尼拔在死去后对罗马进行的报复。但由于它划破了罪恶的罗马国家(它就像秦国在西方的翻版)的肌体,这件致命的迦太基的涅索斯血衣裹住了饱尝痛苦的整个地中海世界。

  • 汉娜·阿伦特作品选辑

    从极权主义的起源到平庸的恶

    什么是自由?

    什么是自由?提出这个问题就好像开启了一场无望的探寻。这一问题似乎包含着许多古老的矛盾和悖论,使我们的理智陷入逻辑上不可能的两难困境,无论我们抓住两难困境的哪一头,都无法想象自由或它的对立面,就像无法想象一个“圆的方”一样。这种困难最简单地可以概括为我们的意识和日常经验之间的矛盾:意识和良知告诉我们,我们是自由的,因而是可以负责任的;但是,在外部世界的日常经验中,我们又不得不调整自己以适应因果律。在所有人类实践中,尤其是在政治事务中,我们都把人是自由的当成一条自明之理,人类共同体中的法律、决定和判断无不是建立在这种公理性的假设之上。相反,在所有科学探索和理论探讨中,我们又是从另外一个同样自明的真理出发的,即“有因必有果”,也就是说,这些活动都假定“即使是我们的生命,最终也服从于因果律”;即使我们身上真的存在一个最终的自由本我,那它也不可能明确地显现于现象世界,因而从来都不可能成为理论探讨的主题。结果,一旦心理学深入探察那个所谓的最内在的领域,自由就变成了一种幻象,因为“在自然界中作为运动原因起作用的力,在精神领域中也有它的对应物,即作为行动原因的动机”。[1]所谓因果律是指,在所有原因已知的前提下,结果是可以预测的。虽然这种因果律确实不能被用于人类事务领域,但现实的这种不可预测性也不能证明人类自由的存在,而只能表明我们还不能弄清楚所有起作用的原因。这一方面是由涉及的因素的纯粹数量造成的;另一方是因为人类动机与自然界中的力是不同的,它对所有旁观者都是隐藏的,不管是周围人的探查还是当事人自己的内省都无法发现它。

    在这些晦涩难解的问题上,康德的洞见做出了最伟大的澄清,他提出,内知觉和内在经验领域并不比我们用以认识和理解世界的那些感觉更能确证自由的存在。无论因果律是否在自然和宇宙领域起作用,它都毫无疑问是一种心灵的范畴,正是借助它,人类才得以赋予各种性质的感觉材料以秩序,从而使经验成为可能。因此,实践上的自由与理论上的不自由在它们各自的领域都是一条自明的真理,它们之间的对立不仅涉及伦理学和科学之间的分立,而且还存在于伦理学和科学开始分道扬镳的日常生活经验中。不是科学理论,而是前科学、前哲学意义上的思想本身消解了作为我们实践行为之基础的自由,使之化为乌有。当我们在人是自由的这一假定下去反观我们做出的行动时,我们就会发现它似乎受到了两类因果律的支配:一类是内在动机的因果律;另一类是统治着外部世界的因果法则。康德通过区分“纯粹”理性或理论理性与“实践理性”,将自由从这双重因果律的夹击下解救了出来,在他看来,实践理性的核心是自由意志。但我们必须认识到,这种拥有自由意志的行动者虽然在实践中是无比重要的,但他却从来都不会出现在现象世界中——既不出现在我们靠五官感知的外部世界,也不出现在我们感知自我的内在领域。这种将意志命令置于理性理解对立面的解决方案堪称天才,它甚至能够建立起一种在逻辑连贯性上丝毫也不亚于自然法则的道德法则。然而,这丝毫也没有减少自由问题最大的、也是最危险的困难,即无论是理论形式的思想还是前理论形式的思想都会使自由消失不见——且不说下面这个看起来确实有些奇怪的事实,即意志机能最为本质的活动乃是下达指示和发出命令,而恰恰是它被认为是自由的所在。

    这种自由难题对于政治问题来说是至关重要的,它走进了一个“让哲学也迷失了方向的晦暗森林”,[2]没有哪种政治理论能够对此视而不见。我试图在接下来的部分阐明,造成这种晦暗的原因是自由现象根本不会出现在思想领域中,虽然在我与自己的对话中产生了伟大的哲学问题和形而上学问题,但是,不管是自由还是它的对立面都不可能在这种对话中被体验到。我们的哲学传统非但没有澄清,反而扭曲了自由的本质特征,比如,它改变了自由在人类经验中的位置,把它从最初的政治领域和一般人类事务领域转向了内在的意志领域,在那里,它只有通过自我省察才能被发现(关于这一哲学传统的起源,我们后面再谈)。作为这项考察的一个初步说明,我们首先有必要指出一个历史事实,即在那些古老而重大的形而上学问题中,如存在、虚无、灵魂、时间、永恒等,自由问题是最后一个成为哲学思考主题的。从前苏格拉底时期开始,直到古代最后一个哲学家普拉提诺,这期间的所有伟大哲学家都始终没有关注自由。自由在我们的哲学传统中的首次露面要归功于宗教对话的经验——首先是保罗,然后是奥古斯丁在这种经验中提出了自由问题。

    在政治领域中,自由一直为人所知,并且它不是作为一个问题,而是作为一个日常生活的事实而为人所知的。即使在今天,不管我们是否能够意识到,当我们提到自由问题的时候,政治问题以及人是一个被赋予了行动能力的存在者这一事实就会浮现在脑海中。因为在人类的所有能力和潜能中,只有行动和政治与自由的关系最为密切,如果不存在自由或至少假定存在自由,它们根本就是不可想象的,我们在谈论任何一个政治问题时,都不可避免地会或明或暗地涉及人的自由问题。此外,严格说来,自由不仅像正义、权力、平等一样是政治领域中的诸多问题和现象之一,它实际上还是人们结成政治组织一起生活的根本原因,只有在少数情况下(比如在危机或革命时期)它才变成了政治行动的直接目标。如果没有自由,政治生活就会失去意义。政治的存在理由是自由,而政治领域的经验则是行动。

    在所有政治理论中,这种自由都被视作理所当然的,就连那些赞美专制的人也不得不考虑它的存在;而这种自由与“内心自由”(inner freedom)是恰相对立的,后者是指一个内在空间,在那里,人们可以逃脱外部强制而“感觉到”自由。由于内心感觉缺少外部显现,所以从定义上看它与政治是毫不相关的。不管它有多少合理性,也不管它在古代晚期得到了多么精彩的论述,内心自由在历史上都是一种较为晚出的现象,而且它最初是由逃避世界所造成的结果,而正是在世界中,世界经验才得以转化为一个人自己的经验。内心自由的一个前提假设是,从一个不自由的世界遁入一个没有他人可以接近的内在空间,就此而言,它的经验具有一种派生性质。我们绝不能把自我用以抵御世界的内心空间当成心灵(heart)或思维(mind),因为心灵和思维只有在与世界的相互关系中才能存在并发挥作用。因而,古代晚期那些在世界中找不到自己的位置、并由此失去了在世界中生活的条件的人(从古代早期一直到19世纪中叶,人们一致认为这种条件是自由的前提)不是发现了心灵或思维,而是发现了一个属于自己的、绝对自由的内在空间。

    如果我们去追溯这种内心自由的起源,那么,它的派生性质,或者说那种关于“人类自由的正当领地”存在于“意识的内在领域”[3]的理论的派生性质就显得更加清晰了。现代的个人有一种表现、发展和扩张的渴望,他们不无道理地担忧社会对个体性的压制,并极力强调“天才的重要性”和独创性;然而,并不是这些现代个人,而是古代晚期的大众和徒有哲学之名的大众化哲学流派才是推崇内心自由的代表。爱比克泰德在他一篇文章的开头宣称,自由就是一个人按自己的愿望生活。[4]这句话最有力地表达了内心自由的绝对至上性,并以一种奇怪的方式回应了亚里士多德《政治学》中的一句话,即“自由就是做一个人自己想做的事情”,不过,在亚里士多德那里,这句话是从那些不知自由为何物的人的口中说出来的。[5]爱比克泰德继续说,如果一个人把自己限制在他权能所及的范围之内,而不进入那些阻止他进入的领域,他就是自由的。[6]“生活的科学”[7]就在于懂得如何区分一个人无能为力的异己世界和可以随心所欲的自我世界。[8]

    一个值得注意的现象是,从历史上看,在自由问题出现于奥古斯丁的哲学中之前,人们就已经开始有意识地将自由观念与政治分离开来,并提出这样一种构想——即使一个人在世界中是一个奴隶,他也同样可以是自由的。爱比克泰德式的自由在于从自我的欲望中解放出来,然而从概念上看,这种自由观只不过是对古代通行的政治观念的翻转;这一整套大众哲学得以形成的政治背景是:在罗马帝国晚期,自由明显衰落了;关于这点,我们依然可以从权力、支配、财产等观念在当时社会中扮演的角色上清晰地看出来。根据古代人的理解,只有通过统治他人,一个人才能把自己从必然性中解放出来;只有拥有一处住所,即在世界中拥有一个家园,一个人才能获得自由。爱比克泰德把这些在世界中形成的关系转变成一个人自我内部的关系,他由此发现,没有什么权力比自己加之于自己的权力更加绝对;于是,在内心空间中,一个人与自己展开了激烈的斗争;与世界中的居所相比,这一内心空间更为完整地为一个人自己所有,也就是说,它更少受外部干扰。

    因此,尽管这种内在的、非政治的自由观念对我们的思想传统产生了重大影响,但我们似乎依然可以说,如果一个人没有首先经历过一种作为世界中的具体实在的自由状况,那他就不可能知道内在自由为何物。我们首先是在与他人的交往中,而非与自己的交往中意识到了自由或不自由。在成为一种思想的属性或意志的特质之前,自由被人们理解为一种自由人的身份,这种身份给人带来了移动的权力,使他可以走出家庭而进入世界,在那里,他通过行动和言说与他人相遇。显然,这种自由是以解放为前提的:为了获得自由,一个人必须首先把自己从生命必然性中解放出来。但是,解放并不会自动带来自由身份,在解放之外,自由还需要拥有相同处境的其他人的陪伴,还需要一个供人们彼此相遇的公共空间,即一个以政治方式组织起来的世界,换言之,自由需要一个每个自由人都可以通过言说和行动进入的公共空间。

    显然,自由并不是所有人类交往方式和共同体类型的共同特征。在那些人们生活在一起却没有结成一个政治体的地方(比如在原始部落或家庭私人领域中),主导人们活动和行为举止的就不是自由,而是生命必然性和对自我保存的关注。此外,在那些人造世界没有成为行动和言说舞台的地方(比如在那些专制社会中,臣民被限制在狭窄的家庭领域,并由此阻止了公共领域的出现),自由也不会在世界中出现。如果没有一个在政治上得到保证的公共领域,自由在世界中就没有一个可以显现的空间。在这种情况下,自由的确还能以欲望、意志、希望或渴望的形式存在于人的心中,但众所周知的是,人心是一个极度幽暗的所在,其中上演的一切都很难得到确证。因此,作为一种可确证事实的自由与政治是并存的,它们彼此相连,犹如一枚硬币的两面。

    然而,根据我们当前的政治经验,恰恰是政治和自由的共存变得可疑起来。极权主义兴起以后,政治统摄了人类生活的所有领域,它拒绝承认所有的公民权利,尤其是隐私权和免于政治的自由权,这不仅让我们对政治和自由之间的共存关系心生怀疑,而且还使我们怀疑政治和自由是否本来就是不相容的。现在,我们倾向于认为,自由开始于政治终结之处,因为我们看到在所谓的政治考虑支配一切的时候,自由就消失不见了。难道“政治越少自由越多”这种自由主义的信条不是正确的吗?难道政治占据的空间越小,留给自由的领地越大不是真实的吗?在衡量一个政治体的自由度时,我们不正是通过考察它给那些似乎是非政治性的活动留下的自由空间来确定的吗?比如,经贸自由、教育自由、宗教自由、文化和智识活动的自由等。难道我们每个人不都不同程度地相信,政治和自由的相容性只表现为政治保证了免于政治的自由吗?

    人们把政治解放(political liberty)定义为潜在的免于政治的自由,这一定义不仅来自于我们最为切近的经验,而且在政治理论史上也占据着重要地位。我们无需追溯得太远,只要想想17、18世纪的政治思想家就够了,他们常常把政治自由简单地等同于安全。在他们看来,政治的最高目的,即“政府的目标”就是保卫安全;反过来说,也正是安全使自由成为可能,于是,“自由”就被当成了那些发生在政治领域之外的活动的特征。与霍布斯和斯宾诺莎相比,孟德斯鸠对政治的本质做出了不同的、更高的评价,但即使是他,也偶尔会把政治自由等同于安全。[9]19世纪和20世纪政治科学和社会科学的兴起进一步拉大了自由和政治之间的裂隙,因为自现代时期肇始就被等同于整个政治领域的政府,现在不是被看作自由的指定保护者,而是被看作生命过程、社会及其个体利益的指定保护者。安全依然是衡量一个政府的重要标准,但这种安全并不是霍布斯所说的免于“暴力性死亡”的安全(在他那里,全部解放完成之后,人们得到的就是免于恐惧的自由),而是保障社会整体的生命过程不受干扰地发展的安全。这种生命过程与自由并没有什么关系,它遵循的是自己内在的必然性,只有在一条自由流动的河流这种意义上,我们才能称其为自由的。在这里,自由甚至连政治的非政治目标都不是,它只是一种边缘现象;然而,这也在某种程度上形成了一条边界,除非生命本身或它的直接利益和需要受到了威胁,政府都不应该逾越这一边界。

    因此,并非只有我们有自己的理由为了自由而不信任政治,整个现代时期都将自由与政治分开。在这一问题上,我甚至能够追溯到更久远的过去,唤起更古老的记忆和传统。在前现代时期,世俗的自由观念强调的就是将臣民的自由与对政府的直接参与分离开来;正如查理一世在他的断头台演说中所总结的:人民的“解放和自由表现在,拥有一个建立在法律之上的政府,这些法律确保他们的生命和财产大多掌握在自己手中;自由不是为了参与政府,因为这与他们毫无关系”。如果人民最终要求参与政府或进入公共领域,那他们也不是出于对自由的渴望,而是出于对那些有权处置他们的生命和财产的人的不信任。此外,基督教的政治自由观念产生自早期基督徒对公共领域的怀疑和敌视,从自身的关切出发,他们要求免除参与公共领域的义务以追求自由。正如我们前面所见,基督教为了获得拯救而要求自由,这种做法的前身就是哲学家为了沉思生活而要求自由,在这些哲学家看来,只有从政治活动中解脱出来,才能追求那种最高的、最自由的生活,即沉思生活。

    尽管强大的传统和我们的切身经验都倾向于把政治和自由分开,但是,当我提出政治存在的理由是自由、这种自由主要存在于行动中时,我相信读者仍会将此当成一条古老的自明之理。下面我要做的只不过是对这一古老真理的反思。

    与政治相关的自由不是一种意志(will)现象。我们在这里所谈的也不是“选择自由”(liberum arbitrium),即在两个给定的东西(一个好的、一个坏的)之间做出权衡和决定的自由,因为,这种选择是由动机决定的,做出选择只不过意味着动机开始发挥作用了而已。正如莎士比亚剧中人物所说:“因此,我既无法由我的春心奔放,∕趁着韶光洋溢卖弄风情,∕就只好打定主意以歹徒自居,∕专事仇视眼前的闲情逸致了”。如果继续引用莎士比亚剧中人物的说法,我们毋宁说与政治相关的自由更像是勃鲁托斯的自由,即“倘然不能达到目的,宁愿以身为殉”[10]。也就是说,这种自由是将某种以前不存在的或没有得到的东西变为一种存在的自由;在变为一种存在之前,这些东西甚至连认知或想象的对象都不是,因此严格说来,它们此前不可能为人所知。要想自由地行动,人就必须一方面不受动机的束缚,另一面摆脱作为可预测结果的预定目标的限制。当然,这并不是说在具体行动中动机和目标是无关紧要的,相反,它们都是具有决定性的因素,只不过行动的自由能够超越动机和目标的限制。根据邓斯·司各脱对行动特征的解释:行动也为一个未来的目标所引导,就此而言,它也是被决定的;在意志决定执行一个目标之前,理智(intellect)就已经对它的可行性进行了评估,在这种情况下,理智唤起意志,因为只有意志才能支配行动。[11]行动的目标是随着变化的世界环境而不断改变的,如何确定目标并不是自由的事,而是一个正确或错误判断的问题。作为一种独特的人类能力,意志紧随在判断之后,也就是说,首先是“判断”确定哪些目标是合理的,然后是“意志”将它们付诸实施。作为一种命令和支配行动的力量,意志也与自由无关,它只是一个力量强弱问题。

    虽然任何一个行动目标的完成都离不开理智和意志,但行动的自由性却表现在,它既不受理智的指导,也不受意志的支配,而是产生于另外一种完全不同的东西,根据孟德斯鸠对政府形式的著名分析,我将之称为原则(principle)。动机是在自我内部发挥作用的,它们来自于“自己的不足”或“合理的权衡”;与此不同,原则仿佛是从无中生发出来的,它们太过普泛以致不能决定任何特殊的目标;但行动一旦开启,我们就可以根据它的原则来对它的目标进行判断了。不同于先于行动而存在的理智判断,也不同于开启行动的意志命令,原则发挥的是一种激发作用,它只有在行动上演的过程中才能充分地显现出来;在行动的过程中,判断的有效性会有丧失的一天,意志命令的力量也有耗尽的时候,但原则的有效性或力量却不会有丝毫减损。与行动的目标不同,行动的原则可以多次重复而不会枯竭;与行动的动机也不同,原则是普遍有效性的,它不会局限于任何特殊的个人或群体。但是,原则只有通过行动才能获得显现,只要行动持续着,它就会显现于世界中,行动一旦终止了,它就消失不见了。这些原则可以是被孟德斯鸠称为美德的那些荣誉、荣耀或对平等的热爱等,也可以是希腊人所说的独特和卓异(“总是竭力成为最好的自己,并且成为所有人当中最好的那个”),但同时它也可以是恐惧、怀疑和憎恨。当这些原则在世界中运作的时候,自由或它的对立面就出现了;不管是自由的出现,还是原则的显现,都与行动的上演有一种共生共存的关系。只要人们行动,他们就是自由的(这并不是说他们天生就是自由的),在行动开始之前和结束之后都不会有自由,因为“成为自由的”和“去行动”其实是一回事。

    马基雅维利的virtù概念也许最好地阐释了内在于行动中的自由,在他看来,世界以命运为伪装向人展开了各种各样的机会,virtù就是指人们在回应这些机会时所体现出的卓越才能。自由最为确切的含义是“精湛技艺”(virtuosity),而精湛技艺是那些优秀的表演艺术所具有的卓越品质,这些表演艺术没有一个最终的成品,它的成品就存在于表演过程中;与此不同,那些制作艺术都有一个最终的成品,这个成品不仅独立于制作活动而存在,而且比制作活动更长久。马基雅维利的virtù概念中包含的精湛技艺含义让我们想起了这样一个事实(他本人对此却毫无所知):希腊人总是喜欢用吹笛、跳舞、治疗、航海等来比喻政治活动,并以此将它们与其他活动区别开来,也就是说,他们把政治活动比作那些精湛的表演技艺在其中起关键作用的艺术。

    由于所有的行动都包含有精湛技艺的成分,而精湛技艺又是那些表演艺术的特征,所以政治常常被视为一种艺术。当然,这只是一个比喻而不是定义,如果有人把国家或政府看成一件艺术品、一件集体完成的杰作,那就完全错误了。艺术创造总会带来某种有形之物,并使人类思想物化为一种独立的存在,就此而言,政治与艺术恰恰是对立的,当然,这也并不意味着政治是一种科学。不管一种政治制度设计得是好是坏,它的持续存在都依赖于人们的行动,也就是说,政治制度的形成方式也正是它们得以维持的方式。制作的产物是艺术品,而行动的产物则是国家,如果说前者是以独立存在为标志的,那么后者的存在则完全依赖于进一步的行动。

    这里的关键问题并不是艺术家在创造过程中是否有自由,而是创造过程并不公开显现,它注定不会出现在世界中。因此,虽然艺术创造中也有自由因素,但它却是隐藏的,最终出现在世界中并与世界相关的并不是艺术创造过程,而是这一过程的最终产品,即艺术品自身。相反,表演艺术确实与政治有更加紧密的联系,舞蹈家、演员、音乐家等表演艺术家都需要在观众面前表现他们的精湛技艺,就如同行动者离不开他人的在场一样;他们的“作品”都需要一个组织起来的公共空间,他们的表演都依赖于他人的在场。并非只要人们共同生活在一个共同体中,这种显现空间就理所当然地存在了,古希腊城邦曾经正是那样一种“政府形式”,它为行动提供了一个显现的空间,为自由提供了一个展现的舞台。

    我们在古希腊城邦的意义上使用“政治的”一词既不是随意而为,也不是穿凿附会。在所有欧洲语言中,这个词都来源于古希腊城邦国家的独特组织,不只是在词源学上,也不只是在学者那里,它始终带有共同体经验的痕迹,而正是在这种共同体经验中,人们才第一次发现了政治的本质和政治领域的存在。在谈论政治及其最为内在的本质时,如果不在一定程度上借助古希腊罗马的经验,我们就会陷入重重困难,甚至会走向歧途;这是因为,不管是在此之前还是在此之后,人们都没有像希腊人和罗马人那样重视政治活动并赋予政治领域如此之高的尊严。还有一个原因是,从政治和自由的关系来看,只有古代的政治共同体是专门为自由人而建立的,它既不考虑那些受制于人的奴隶,也不考虑那些为生命必然性所驱使的劳动者。因而,如果我们在城邦的意义上来理解政治,那么,它的目的或存在理由就是建立和维持一个空间,以使作为一种精湛技艺的自由得以展现。在政治领域中,自由是一种存在于世界中的实在,它具体体现在我们能够听到的言语中、我们能够看到的行动中、我们能够谈论的事件中;借助于记忆,这些言语、行动和事件能够转化为故事,并最终载入人类史册。在这个显现空间中发生的一切在本质上都是政治性的,不管它是不是行动的直接产物。同时,在这个显现空间之外发生的一切严格说来都是非政治性的,比如,野蛮帝国的霸业不管多么煊赫都是非政治性的。

    从政治领域的经验中提取出自由概念的每一次尝试都会让人感到不解和诧异,因为在这些问题上的所有理论都为一个观念所主导,即自由是意志和思想的属性,而非行动的属性。这种观念出现的原因是:一方面,在每个行动开始之前,人们都会首先运用理智进行认知,并将理智的决定交给负责执行的意志命令;另一面,或许更为重要的原因是,人们认为“完美的自由与社会的存在是不相容的”,只有在人类事务领域之外才可能存在彻底的自由。根据这种通行的看法,人们并不认为思想的性质决定了它比其他人类活动需要更多的自由(或许这是正确的),而是认为思想本身并不危险,因而只有行动才需要限制,正如有人所说:“没有人会认为行动应该像意见那样自由。”[12]当然,这是自由主义的一个基本信条,虽然自由主义以自由为名,但其实它也把自由观念驱逐到了政治领域之外。根据自由主义哲学,政治必须一门心思地维持生计和保护人们的利益。现在,由于生命本身成了人们的首要关切,而生命必然性又只有在一个巨型的、不断膨胀的社会领域和经济生活领域中才能得到很好的照顾,所以自现代时期肇始之时,所有的行动其实都已进入到必然性的统治之下,政治领域已为社会管理领域所吞噬。现在,似乎只有在外交事务中才有纯粹的政治,因为国际关系中的敌对和支持依然不能被简化为经济因素,不过即使是在这一领域中,人们也越来越倾向于认为,国家之间的权力问题以及合作与竞争关系归根结底也是由经济因素和利益决定的。

    然而,无论各种理论和主义是怎么说的,我们都始终相信“自由是政治的存在理由”是一条自明之理;同样,不管我们看上去多么一门心思地关心生计问题,我们都理所当然地认为勇气是一种最为重要的政治美德。这里的矛盾之处在于,既然我们只关心生计,那么,我们本来应该将勇气视为愚蠢,甚至将之视为对生命及其利益(据说这是最高的善)的严重轻蔑。勇气有多种含义,我这里所说的勇气并不是指敢于冒险的胆量,即在面临危险和死亡时一个人为了活得尽可能纯粹和精彩而甘冒生命风险。鲁莽者对生命的关心并不亚于怯懦者。丘吉尔曾经将勇气视为“一种首要的人类品质,因为它为其他品质提供了保证”,在我们看来,勇气与政治行动是密不可分的,它并不是一种充满活力的个人感觉,而是公共领域的性质要求于我们的一种品质。这个世界是我们共同拥有的,因为它在我们出生之前就已经在这里,并且在我们死亡之后还会继续存在下去,如果我们每个人都把个人的生命和利益当成首要关切的话,那么,这个世界显然就无法维系了;因而,公共领域与私人领域是截然对立的,私人领域处于家庭的庇护之下,在那里发生的一切都是为了保障生命过程的安全。即使是走出四壁之内的安全空间而进入公共领域都是需要勇气的,这并不是因为前面可能会有各种各样的危险,而是因为我们进入的是一个关心生命已经失去了正当性的领域。勇气把人从对生命的关切中解放了出来,使他们一心追求世界中的自由。因为与政治相关的是世界,而不是生命,所以政治离不开勇气。

    显然,自由与政治互为依存的观念不仅与现代社会理论格格不入,而且在更古老的前现代传统和理论中也没有类似的观念。这正是我们在理解何为自由时遇到的最大困难,即简单地返回传统,特别是返回我们习惯上所称的伟大传统并不能给我们带来任何帮助。哲学上的自由观念出现于古代晚期,它把自由看成一种思想现象,当时,正是这种意义上的自由为人逃离世界提供了借口;而基督教和现代观念则把自由理解为一种自由意志,可见,这两种自由观念都不是以政治经验为基础的。我们的哲学传统几乎一致认为,只有当人们离开众人居于其中的政治生活领域时,自由才会出现;自由不是来自与他人的交往,而是来自与自我的交往。这种交往可以采取内心对话的形式,自苏格拉底以来,我们都将这种对话称为思考;同时,它也可以表现为自我内部的冲突,即存在于“我该做的”(what I would)和“我做的”(what I do)之间的矛盾,这种矛盾通过残忍的辩证法揭示出人类内心的幽暗和软弱,在历史上,保罗第一个认识到了这一点,奥古斯丁则紧随其后。

    在自由问题的历史上,基督教传统确实发挥了关键性的作用,以致我们现在几乎不假思索地就会把自由等同于自由意志,而自由意志这种机能其实并不为古代人所知。基督教发现了意志,而意志与众所周知的欲望、意向和计划的能力几乎没有什么共同之处,它只有在与这些能力发生冲突时才会引起人们的注意。如果自由真的只是一种意志现象,那么我们就只能得出结论说,古代人根本就不知道自由,而这显然是荒谬的。如果有人真的认为古代人不知道自由,他可能会提出我前面提到的那条证据,即自由观念在奥古斯丁以前的哲学中没有任何地位。然而,这种奇怪的现象出现的原因是,在古希腊和罗马,自由是一个专门的政治概念,是城邦国家和公民身份的本质所在;而自巴门尼德和柏拉图开始,我们政治思想的哲学传统一直都是明确地建立在反对城邦及其公民身份的基础之上的。哲学家选择的生活方式与政治生活方式是相互对立的,而在希腊人看来自由正是政治的核心,因此,从定义上看自由观念就几乎不可能进入希腊的哲学架构。只有在早期基督徒尤其是保罗发现了一种与政治无关的自由之后,自由概念才进入了哲学史。当自由被理解为一种处于人际交往之外的经验、一种存在于我与自己的交往之中的经验时,它就成了主要的哲学问题之一。此时,自由与自由意志成了同义语,[13]只有在完全孤寂(solitude)的状态下,人才能经历到自由,“在那里,没有人妨碍我与自己的激战”,因为这种激战是发生在灵魂的“内在居所”和“心灵暗箱”之中的。[14]

    古代人也绝不是没有体验过孤寂,他们深知,孤寂状态下的人就不再是一个人,而是一个“合二为一”的人,一旦我与同伴之间的交往由于某种原因中断了,我与自己的交往就会启动,这种二元论正是思想得以形成的条件。在这种二元论之外,柏拉图以来的古典哲学还坚持灵魂与身体的二元论,根据这种看法,人类的运动机能来源于灵魂,不管是灵魂自身的运动,还是身体的运动,都是由灵魂推动的,在柏拉图看来,这种能力就表现为灵魂对身体的统治。然而,古代人对于奥古斯丁式的孤寂状态下的灵魂“激战”却是全然不知的,因为它不是两种不同的人类机能之间的冲突,即不是理性和激情之间的冲突,[15]而是一种发生在意志内部的冲突。同一种机能内部的二元对立曾经被视为思想的特征,被视为一种发生在我与自己之间的对话,也就是说,正是孤寂状态下的“合二为一”启动了思想的进程;但是,它却在意志上造成了完全相反的效果,即意志的瘫痪和自闭,因为,在孤寂状态下发出的意志总是“想要”(to will)和“不想要”(not to will)两种声音同时并存的。

    意志的本质显然是发出命令和要求服从,如果考虑到这一点,那么意志加之于自身的瘫痪效果就更加令人震惊了。人既可以给自己下命令,又可以不服从这种命令,于是,这种现象就变成了一个“怪物”似的东西,这个“怪物”的形成只能归咎于“我要”(I-will)和“我不要”(I-will-not)两种声音的同时并存。[16]然而,这已经是奥古斯丁的解释了,从历史事实看,意志现象最初出现在下面的经验中,即“我该做的我不做”(what I would I do not)和“我想做的做不了”(I-will-and-cannot)。古代人知道存在一种“我知道但我不愿意”(I-know-but-I-will-not)的可能性,但他们却不知道“我要”(I will)和“我能”(I can)并不是一回事,即意愿和能力并不是一致的。[17]对此,我们只需要回顾一下柏拉图就够了,他坚持认为,只有那些懂得如何统治自己的人,才有权去统治他人并免于服从的义务。此外,由于自我控制(self-control)能够把“我要”和“我能”协调起来,而这正是一种精湛技艺的表现,所以在这种意义上它确实是一种专门的政治品质。

    如果古代哲学知道“我能的”(what I can)和“我要的”(what I will)之间会发生冲突的话,那么,它自然就会把自由现象理解为一种“我能”(I-can)的内在属性,或者把它界定为“我要”和“我能”之间的统一,而不会把它理解为一种“我要”(I-will)或“我该”(I-would)的属性。这一断言并不是没有根据的,即使是欧里庇特斯式的理性和激情在灵魂中的冲突也是一个相对晚出的现象;还有一种更典型、与本文的关系也更密切的信念是:激情能够使理性变得盲目,但是理性一旦开始发挥作用,就没有什么激情能够阻止人们去做他们认为是正确的事情。这种信念依然存在于苏格拉底那里,他教导人们说美德是一种知识;对于这种认为美德是“理性的”、是可教可学的观点,我们之所以会感到诧异,并不是因为我们对理性的无能有什么高明洞见,而是因为我们习惯上认为意志是自我分裂的,其中同时存在着“要”和“不要”。

    换言之,在我们看来,意志(will)、意志力量(will-power)和权力意志(will-to-power)几乎是同一个概念。对于我们来说,力量就是意志的机能,只有在一个人与自己进行对话的过程中,它才为人所知并被人经验到。为了这种意志力量,我们不仅削弱了我们的推理和认知机能,而且还削弱了其他一些更具“实践性”的机能。品达提出,“最大的悲伤莫过于,无可奈何地看着那些正义和美好的事物在必然性的驱迫下离我们远去”,[18]即使是对于我们来说,这也是显而易见的。必然性阻碍着我们去做那些我们已经知道并且愿意去做的事情,这些必然性可能来自世界,也可能来自我的身体,还可能来自人在才能、禀赋或素质方面的先天不足;对于这些先天素质,人们常常是无能为力的,就像他们很难对抗其他方面的环境一样。对于“我要”(I-will)和“我知道”(I-know)来说,即对于自我来说,包括心理因素在内的所有这些因素都构成了一种外部制约条件;而满足这些环境的力量则是“我能”,它把“要”(willing)和“知道”(knowing)从必然性的束缚中解放出来。只有在“我要”和“我能”相互重合的地方才可能有自由。

    自由意志产生于一种宗教困境,并在哲学语言中得到了规范化的表达,它与更为古老的、严格政治意义上的自由经验是相互对立的,要检查这种通行的自由意志观念,我们还可以选择另外一种方法。在现代以来出现的政治思想复兴中,我们可以区分出两类不同的思想家:一类是名符其实的政治“科学”之父,因为他们的灵感来自自然科学的新发现,这类思想家的最伟大代表是霍布斯;另一类则相对不受这些典型的现代发展的影响,而是返回到古代的政治思想中去汲取智慧,他们这样做并不是因为对过去的东西有什么偏爱,而是因为在罗马帝国倾覆以后,独立的、世俗性的政治领域就已经消失了;而随着教会和国家的分离、宗教和政治的分离,这样一个领域在现代以来又重新出现了。这种政治世俗主义的最伟大代表是孟德斯鸠,他虽然不怎么关心严格意义上的哲学问题,但他清醒地意识到,将基督教和哲学家的自由概念运用于政治领域是不合适的。为了清理这一概念,他明确区分了哲学上的自由和政治上的自由:哲学要求的自由不过是意志的运作,它不仅独立于环境,而且独立于意志设定的目标;相反,政治上的自由则是指能够去做一个人该做的事情。[19]不管是对于孟德斯鸠来说,还是对于古代人都说,只要一个人缺少了去做的能力,他就显然不再是自由的了,至于这种能力的丧失是由外部环境造成的,还是由内在条件造成的,都是无关紧要的。

    我们选择自我控制这个例子的原因是,对于我们来说,它明显是一个意志现象和意志力量现象。在历史上,没有谁比希腊人对自我节制和驯服灵魂这匹野马的必要性做出过更多的思考,但他们从没有把意志看成一种独特的、与其他人类能力相互分离的机能。人们历史上第一次发现意志的存在,不是在他们体验到意志的力量的时候,而是在他们体验到意志的软弱无能的时候,正如保罗所说,“我知道要做什么,但是如何去做,我却不知道”。奥古斯丁抱怨的也是同一种意志,他说,“没什么比这更可恶的了,因为它又是想要,又是不想要”。虽然他认为这是一种“心灵的疾病”,但他同时也承认,对于一个拥有意志的心灵来说,这种疾病是不可避免的,“因为意志下令出现一个意志,它命令的不是他物,而正是它自己……如果意志是自我完足的,它就不会命令自己成为什么,因为它已经是其所愿了”。[20]换句话说,如果一个人拥有一个意志,那么,他必然会看起来仿佛同时拥有两个意志,这两个意志为了争夺对心灵的控制而相互斗争。因此,意志既强大又软弱,既自由又不自由。

    当说到意志力量的软弱无能和它受到的限制时,我们通常想到的都是人在面对周遭世界时的无力感。因此值得注意的是,在早期这些证据中,意志并不是被什么不可战胜的自然力量或环境力量打败的,它引发的既不是我与众人之间的冲突,也不是身体和心灵之间的交战。相反,对于奥古斯丁来说,心灵和身体之间的关系甚至还是意志拥有强大力量的鲜明例证,他说,“意志向身体发出命令,身体立刻就会服从;意志向自身发出命令,则会遭遇抵抗”。[21]在这段话里,身体代表的是外部世界,而绝不是一个人的自我。正是在自我的内部,在所谓的“内在居所”中(爱比克泰德依然相信,人是那里的绝对主宰者),一个人与自己之间的冲突爆发了,并由此造成了意志的失败。人们最初把基督教的意志力量当成一种自我解放的机能,但随后就发现它其实是一种匮乏。“我要”似乎会立即使“我能”陷入瘫痪,就好像人一旦想要自由,就会失去成为自由者的能力。为了将自我从世俗的欲望和利益中解放出来,意志力量就与它们展开了殊死搏斗,在这一过程中,似乎大多数意志都会带来压迫。由于意志是无能的,它不仅不能生成真实的力量,而且在与自我的斗争中也总是会遭遇挫败(在这一过程中,“我能”逐渐耗尽了自己的力量),所以权力意志(will-to-power)立即就会变成一种压迫意志(will-to-oppression)。政治理论将自由等同于人类的意志能力造成了致命的后果,对此,我在这里只能做一些提示,即它是造成下面这种后果的原因之一:即使在今天,我们也几乎不假思索地就把权力与压迫相等同,至少与统治他人相等同。

    无论如何,我们通常所理解的意志和意志力量都是从“意愿”(willing)和执行意愿的自我之间的冲突中生发出来的,都是从“我想做的做不了”这种经验中生发出来的,这也就意味着,不管“我要”(I-will)的内容是什么,它都一直受制于自我并对自我进行反击,它要么激励自我继续前进,要么为自我所毁灭。不管权力意志可以变得多么强大,甚至大到使一些受其主宰的人想要征服整个世界,但是“我要”却永远也摆脱不了自我的限制,它一直与自我相连并处于自我的约束中。正是与自我之间的这种关系,将“我要”与“我思”(I-think)区别了开来:“我思”同样是在我与自己之间展开的,但在我与自己进行对话的整个过程中,自我都不是思考活动的客体。“我要”如此渴望权力,以至于意志与权力意志实际上已经互相等同了,这也许应该归因于“我要”首先在自身中体验到的无能。专制是唯一直接从“我要”中产生出来的政府形式,在一定程度上,它贪婪的残酷性要归咎于一种自我中心主义;这种自我中心主义与理性的乌托邦专制是完全不同的,后者产生于哲学家试图用理性来统治人的愿望,是仿照“我思”的模型建立起来的。

    我已经说过,在人们不再能够从行动和与他人的交往中、而只能在意志和与自己的交往中体验到自由的时候,也就是说,在自由变成了自由意志的时候,哲学家才第一次表现出了对自由问题的兴趣。从那以后,自由就成了第一层级的哲学问题之一,当它被应用于政治领域中时,它也就相应地成了第一层级的政治问题之一。由于哲学上这种从行动到意志力量的转向、从展现在行动中的自由向“选择自由”的转向,自由的意义也就不再是我们前面所说的那种精湛技艺了,而是变成了自主(sovereignty),即一种独立于他人并最终要求征服他人的自由意志观念。在18世纪的政治学者那里,我们依然能够看到当前这种政治自由观念的哲学来源,比如,托马斯·潘恩认为,“(对于人来说)想要自由就能得到自由”;拉法耶特则把这种说法运用于民族国家,他提出,“只要一个民族想要自由,它就足以得到自由”。

    显然,这些话是让-雅克·卢梭的政治哲学的回响,时至今日,他依然是自主理论最为坚定的捍卫者,由于他的自主理论是直接从意志中生发出来的,所以他能够完全按照个体意志力量的形象来构想政治权力。与孟德斯鸠不同,他认为权力必须是自主的,即不可分割的,因为“一个分割的意志是不可想象的”。他也没有回避这种极端个人主义造成的后果,并提出在理想状态下“公民彼此之间是没有交流的”,为了避免纷争,“每个公民都应该只关注自己的想法”。卢梭的理论实际上是站不住脚的,一个最明显的原因是,“对于意志来说,为了未来而约束自己是荒谬的”;[22]一个以自主意志为基础的共同体不仅是建立在沙滩之上,而且是建立在流沙之上。所有政治事务都始终是在一个为未来而建的复杂结构中进行的,这种结构是由各种各样的关系和纽带(如法律和宪法、条约和联盟等)组成的,它们最终都来自人们在面对本质上是不确定的未来时做出承诺和信守承诺的能力。此外,如果一个国家的公民没有相互交流,每个人都固执己见,那这个国家肯定是一个专制国家。意志和意志力量是一种自我完足的机能,它与其他任何人类机能都没有关联,而且它在本质上是非政治性的,甚至是反政治性的;关于这点,我们可以从卢梭陷入的荒谬境地以及他对此令人诧异的欣然接受上最为清楚地看出来。

    人们在哲学上将自由与自由意志等同起来,这在政治上造成的一个最有害、最危险的后果或许是,人们将自由与自主也等同了起来。这种等同只可能造成两种后果:要么是对人类自由的否定——因为无论如何,人都不可能自主;要么是主张一个人、一个群体或一个政治体的自由必须以牺牲其他人、其他群体或其他政治体的自由(也就是自主)为代价。在传统哲学的概念框架内,我们的确很难理解自由和不自主如何能够共存,或者换句话说,人们为什么在不自主的条件下还能获得自由。实际上,我们并不能因为人类不能自主就否定自由的存在;同样也不能认为一个人或一个群体只要获得了自主就能得到自由;前一种误解是不符合实际的,而后一种误解则是危险的。人们经常会提到政治体的自主,但这种自主其实一直都只是一种假象,而且这种假象只有通过暴力工具,即那种本质上是非政治性的手段才能得以维系。人类所处的境况是,不是单个人,而是众多人生活在这个地球上,在此境况下,自由和自主几乎没有什么共同之处,以至于它们二者连同时存在都不可能。不管是对于个体来说,还是对于有组织的群体来说,如果他们想要获得自主,他们就必须屈从于意志的压迫,这种意志要么是自己强迫自己的个体意志,要么是一个有组织群体的“公意”(general will)。而如果人们想要获得自由,他们必须放弃的恰恰就是自主。

    由于我们对自由问题的全部认识都来自两个传统:一个是基督教的传统,另一个是起源于反政治的哲学传统,所以我们很难认识到还存在另一种自由,这种自由不是意志的属性,而是伴随着做和行动而出现的。因此,让我们再一次返回古代,返回到古代的政治传统和前哲学传统中去,当然,我们这样做并不是为了发掘知识,甚至也不是基于我们的传统是连贯的这种考虑,而仅仅是因为那种只有在行动过程中才能经验到的自由在古代得到了最为清晰的阐释(当然,人类也从未彻底丧失这种自由经验)。

    然而,由于我们前面提到的一些原因和我们在此无法展开讨论的一些原因,哲学著作中对自由的阐释比其他任何地方都更难以把握。当然,如果我们想要从非哲学的文献中,即从那些诗歌、戏剧、历史和政治著作中提炼出恰当的自由概念,这就太难了,因为这些著作的表述把经验提升到了一个非概念思考的宏阔领域。对于我们的目的来说,这样做是没有必要的。因为任何一部希腊语或拉丁语的古代文献都告诉我们,这些事情最终都源于一个奇怪的事实,即在希腊语和拉丁语中都有两个动词来指称我们通常不加区分地所说的“去行动”(to act)。在希腊语中,这两个词分别是?ρχειν和πρáττειν,前者的意思是“去开创”、“去领导”和“去统治”;后者的意思是实现某事。在拉丁语中,这两个词分别是agere和gerere,前者是指让某物动起来;后者很难翻译,大致是指过去行动的持续和维系,而它造成的结果就是我们称之为历史的那些业绩和事件。在这两种语言中,行动的发生都被划分成了两个不同的阶段,其中,第一个阶段是开端(beginning),它把某种新事物带到了这个世界上。希腊语中的?ρχειν包含开创、领导、统治等含义,而这些含义也正是自由人的突出品质,因而,这个词见证了自由与开新(begin something new)能力相互重合的早期经验,正如我们今天所说,自由是在自发行动中被经验到的。?ρχειν一词的多重含义表明:只有那些已经成为了统治者的人才有能力去开新(比如,统治着奴隶和家庭成员的一家之长),因为他们能够从生命的必然性中解放出来,并投身到远征事业或城邦公民事务中去;在这两种情形下,他们都不再施行统治,而是加入到了同侪之中,成为一个处于众多统治者当中的统治者;为了创造一个新事物或开辟一项新事业,一个人必须在同侪的帮助下成为一个领导者,因为只有在他人的帮助下,统治者、开创者和领导者(?ρχειν)才能真正地行动,即把他开创的事情完成(πρáττειν)。

    在拉丁语中,自由与开创是以一种不同的方式联系在一起的。罗马人的自由是他们从建国者那里继承下来的一份遗产,他们的自由与他们的祖先通过建城开创的事业是联系在一起的,后代必须接管祖先遗留下来的事务,承担祖先遗留下来的责任并将祖先奠基的事业发扬光大。正是所有这些活动组成了罗马共和国的历史。因此,与希腊一样,罗马的历史编撰本质上也是政治性的,它从不满足于单纯叙述伟大的业绩和事件;但与修昔底德或希罗多德不同的是,罗马的历史学家总是感到他们不得不回溯罗马历史的开端,因为这个开端包含着罗马自由的真正要素,并因此使他们的历史具有了政治性;无论讲述什么,他们都以“自建城以来”作为开头,因为城市的建立正是罗马自由的保证。

    我前面已经提到,古代的自由概念在希腊哲学中没有任何地位,准确地说,这是因为自由在其起源上是为政治经验所独有的。罗马作家偶尔也会反抗苏格拉底学派的反政治倾向,但他们贫乏得出奇的哲学才能使他们未能提出一个理论化的自由概念,以概括他们自己的政治经验和罗马共和国体现出的伟大自由建制。奥古斯丁是最伟大的基督教哲学家,他把保罗的自由意志概念及其包含的混乱一起引入了哲学史,如果观念的历史真的像一些观念史学家有时想象的那么前后连贯的话,我们就更不能指望在奥古斯丁那里找到一种有效的政治自由观念了。然而正是在他那里,我们不仅发现了关于“选择自由”的讨论(这个讨论对于传统是至关重要的),而且发现了一种对自由观念的完全不同的构想,这种新构想典型地反映在他唯一的政治学著作《上帝之城》中。与其他著作不同,这是他唯一自然地、更多从他特殊的罗马经验背景出发写成的书,在这本书里,他不再把自由当成一种人类的内在属性,而是将其视为一种在世界中存在的人类品质。我们与其说人拥有自由,不如说当人来到世界中时,自由就在宇宙中现身了;人是自由的,因为他是一个开端,而且当初在宇宙形成之后他也是作为开端被创造出来的,“起初,人被造出来,在此之前并没有人”。[23]每一个人的降生都是对这一原初开端的重新确证,因为他们都给这个业已存在、且在每个个体死后还将继续存在下去的世界带来了某些新的东西。因为人自身就“是”一个开端,所以他能够去开创;“成为人”和“成为自由的”完全是一回事。上帝创造人也是为了把开端启新的能力引入世界,即把自由引入世界。

    我们对早期基督教的强烈反政治倾向是如此熟悉,以致下面这种见解在我们看来几乎就是一个悖论,即一位基督教思想家最早表述了古代政治自由观念的哲学内涵。对此,我能想到的唯一解释是,奥古斯丁既是一个基督徒同时也是一个罗马人,在他著作的这部分,他表达的其实是古罗马的核心政治经验,即作为开端的自由在建城行动中的展现。不过我相信,如果我们更加认真地思考拿撒勒耶稣教导中的哲学内涵的话,我们前面的那种印象就会大大改变。在《新约》的一些段落中,我们能够发现对自由的超乎寻常的理解,尤其是对人类自由所内在具有的力量的理解,用福音书的话说,这种力量能够移山改水;但是,与这种力量相对应的人类机能却不是意志,而是信仰。信仰的产物就是福音书中所说的“奇迹”(maricles),而“奇迹”这个词在《新约》中有多种含义且很难理解。在这里,我们可以抛开其他难点不谈而只关注这样一个事实,即在《新约》的某些段落中,奇迹明显不是一种超自然事件;而且在所有奇迹中,由人来完成的也不少于由神来完成的。所有奇迹都是事件的自然发展过程或某种自发过程的中断,因而,在自然或自发过程的背景下,奇迹就构成了一种完全不可预料的东西。

    人类在地球上的生活无疑被各种自发过程包围着——它被地球的自然过程包围,而地球又被宇宙的自然过程包围,就我们自己也是有机自然的一部分而言,我们也为同样的自发力量所推动。而且我们的政治生活尽管处在行动领域,但它同样也发生在我们所谓的历史过程之中;而这种历史过程虽然是由人发动的,但它同样也具有一种成为像自然或宇宙过程那样的自动化过程的倾向。事实上,不管其起源是什么,所有过程都内在地具有一种自动化趋势,这也就是为什么单个的行动和事件从来都不能一劳永逸地解救一个人、一个民族或整个人类。如果支配着人的自动化过程不受阻碍地向前推进,那么它们就只会把人类生活引向毁灭;然而,人却可以通过行动来宣告自身的存在并对抗这一过程。一旦人造的历史过程也变成了自动化的,那它的破坏性丝毫不会亚于推动我们有机体的自然生命过程,即一个从无到有、从生到死的生物性过程。历史科学见惯了各种文明失去活力并无望地走向衰落的例子,在这些例子中,厄运似乎像生物必然性一样是预先注定的。由于文明失去活力的历史过程是缓慢的,它能够持续数个世纪之久,所以,大部分的人类历史其实都处于这种停滞不前的状态,而自由时代总是相对短暂的。

    即使在那些已经失去活力并注定要灭亡的时代里,自由能力、纯粹开创的能力通常也能得到完好保存,这种能力不仅激发了各种人类活动并赋予它们以活力,而且是创造所有伟大美好事物的隐蔽之源。然而,只要这种源泉还处于隐蔽状态,自由就不是一种存在于世界中的有形实在,也就是说,它就不是政治性的。即使在政治生活已失去活力、政治行动已无力打破自动化过程的时候,自由的源泉也不会消失,由于这种原因,自由很容易被人误解为一种本质上是非政治性的现象;根据这种看法,自由不是一种有着自身价值和精湛技艺的存在方式,而是一种在所有地球生物中似乎只有人类才拥有的最高天赋。虽然我们在几乎所有的人类活动中都能发现自由天赋的踪迹,但是,只有在行动为自己在世界中建立起一个活动空间时,也就是说,只有在行动走出隐蔽状态并一展其貌时,人类的自由天赋才能得到充分地发挥。

    不从行动者的角度,而从行动发生过程的角度看,由于行动是对自动化过程的打断,所以每个行动都是一个“奇迹”,即某种不可预料的东西。如果行动和开端在本质上是一回事,那么,我们就可以说创造奇迹也是人类的一种机能。这听起来很奇怪,其实并不然。每一个新开端其实都是作为一种“无限不可能性”(infinite improbability)闯入这个世界的;这种无限不可能性也正是我们称之为实在的一切事物的本质。归根到底,我们整个的存在都依赖于一连串的奇迹,比如,地球的形成、地球上有机生命的发展、人类从动物物种的演化等。从宇宙和自然界的运作过程及其在统计学上的概率角度看,不管是地球在宇宙过程中的形成,还是有机生命在无机过程中的产生以及最后人类从有机过程中的出现,都是一些“无限不可能性”事件,都是我们通常所说的“奇迹”。正因为所有实在之中都存在这种“奇迹般”的因素,所以,不管我们在一个事件出现之前已经满怀恐惧或希望地进行了怎样的深思熟虑,它的出现都会给我们带来震惊。一个事件产生的影响从来都不能完全解释清楚,它的实在性通常都会超出所有预期。那些让我们懂得事件即奇迹的经验既不是我们有意选取的,也不是深奥微妙的,相反,它们是自然而然地发生的,并且在日常生活中几乎是随处可见的。如果没有这种随处可见的经验,那些被宗教归于超自然奇迹的经验就几乎不可理解了。

    自然过程能够为某种“无限不可能性”所打断,我选择以此为例是为了说明,我们日常经验中所谓的实在,大都是通过一些比虚构故事还要离奇的巧合出现的。当然,这个例子也有它的局限性,我们不能简单地将它挪用到人类事务领域。如果有人在历史或政治的自动化运作过程中期待奇迹的发生,期待“无限不可能性”的降临,那么,这就是纯粹的迷信,而这种迷信从来都不可能完全绝迹。与自然不同,历史中充满事件,在这里,意外事件和无限不可能性出现得如此频繁,以至于我们再将它们称为奇迹都显得有点不合适了。历史中频繁发生奇迹的原因是,历史过程不仅是由人类的自发性创造的,而且它还常常会为人类的自发性所打断,就人是一个行动的存在者而言,他本身就是一个开端(initium)。因此,人们在政治领域中寻找不可预测的事情、期待“奇迹”的发生并为此而进行准备不仅不是迷信,而且还是一种非常现实的期待。人们把灾难想得越严重,自由的行动就越具有奇迹的性质,因为,总是自动发生且一直显得不可抗拒的是灾难,而非拯救。

    在客观上,也就是说,如果我们从外部看且不考虑人是一个开端和开创者的话,明天就总是不可避免地会成为昨天的重复。不如这般不可抗拒但也接近于此的是:地球不会从宇宙的运作中生产、生命不会从无机过程中发展出来、人也不会从动物生命的演化中出现。我们自然生命的实在依赖于“无限不可能性”,而那些组成历史实在的事件则内在具有一种奇迹性,然而,它们之间也存在一个关键区别,即在人类事务领域中我们知道谁是“奇迹”的创造者。奇迹的创造者是复数的人(men),他们得到了自由和行动这双重馈赠,因而能够建立起一个属于自己的实在。

    平庸的恶

    本文选编自汉娜·阿伦特所著的《艾希曼在耶路撒冷——一份关于平庸的恶的报告》(译林出版社2017年版,安尼 译)。这是一个非常带有刺激性的字眼,既让人们对恶的概念有了一个更深层次的认识,也提示我们要注意检审自我身上的“艾希曼”以及“平庸的恶”。

    我说的平庸的恶,仅仅是站在严格的事实层面,我指的是直接反映在法庭上某个脸上的一种现象。恶可能具有的平庸性只能基于事实。

    [在纳粹德国的大屠杀中,600万犹太人丧失了性命。大屠杀中的相关罪犯陆续被正义引渡上了审判台。]1961年4月11日,阿道夫·艾希曼被带到耶路撒冷地方法院,[被控]:纳粹当政期间,尤其第二次世界大战期间,“与他人共同犯有”反犹太人罪、反人类罪、战争罪。艾希曼对每条指控的回应都是:“不承认该项罪名。”

    考虑到第二次世界大战以来人们屡屡遭遇这种特殊性质的罪行,这里关乎的不再是一个坐在被告席上、有着独一无二体貌特征的具体的人,而是极权统治的本质是什么?我们当前的法律体系在多大范围内、在哪些条件下可以胜任“公正”二字?或者整个近代历史,或者人之本性和原罪,乃至最终,整个人类都在无形中一同坐上了审判席。

    [接受审判的]阿道夫·艾希曼[被描述成]几乎全身心的关注犹太人,他的工作就是摧毁犹太人,他在那个邪恶政权的缔造过程中所发挥的作用仅限于犹太人事务。[但艾希曼反复陈述,自己是]“依照上级命令”行事,遵从“国家行为”,他没有杀过任何一个犹太人。

    阿道夫·艾希曼中等身材,体形较瘦,四五十岁的样子,前脑门半秃,牙齿不太好,近视眼,脖子干瘦。在他的内心深处,也从来不曾“一心想做个恶人”。他为获得个人提升而特别勤奋的工作,除此之外,他根本没有任何动机。他只不过,直白的说吧,从末意识到自己在做什么。就是因为缺少想象力,他才会一连数月坐在那里,对一个审讯他的德国犹太人滔滔不绝、挖心掏肝,一遍又一遍解释为什么他只是一个区区纳粹党卫军中校,说他没有得到晋升不能怪他。

    总的来说,他[还是]非常明白究竟发生过什么。在法庭上的最后陈述中,他说到了“重新评定(纳粹)政府制定的价值观”。

    他并不愚蠢,他只不过不思考罢了——但这绝不等于愚蠢。是不思考,注定让他变成那个时代罪大恶极的人之一。这很“平庸”,甚至滑稽,因为你费尽全力也无法从艾希曼身上找到任何残忍的、恶魔般的深度。

    纵然如此,也远远不能把他的情形叫作常态。艾希曼趾高气扬的走上了绞刑架,死期将至,他满嘴是葬礼演说上的陈词滥调。站在绞刑架下,他“志得意满”,他忘了,这是他自己的葬礼。当一个人面对死亡,甚至站在绞刑架下时,他什么也不想,只想着他这辈子在葬礼上听见过的悼词,想着这些“崇高的字眼”将完全掩盖他行将就死的现实——这当然不能叫正常。

    这种远离现实的做法、这种不思考所导致的灾难,比人类与生俱来的所有罪恶本能加在一起所做的还要可怕。

    极权政府的本质,抑或每一种官僚(科层)制的本性,[正]在于把人完全变成职员,变成行政机器上的小齿轮,从而令他们丧失人性。

    而今许多人都一致认为,不存在集体罪责这种东西,而且也不存在集体无辜。因为一旦承认它们的存在,那么对任何一个人都无从谈及有罪或无辜。

    [但]每一个政府都要继承前任政府的政治责任,无论这个前任是功还是过;每一个民族都要继承前任民族的政治责任,无论这个前任是功还是过。

    《极权主义的起源》[节]

    群众宣传发现它的听众都随时准备相信最坏的东西,无论它多么荒谬

    在暴民变成每日的群众现象之前,易受欺骗和愤世嘲弄的犬儒态度是暴民心态的显着特点。在一个变化无常和难以理解的世界里,群众达到了这样的程度:他们会同时相信一切和什么都不相信,认为一切都是可能的但任何事情都不可能真实。

    这种混合本身已足够显着,因为它招致幻觉的终结,易受欺骗是不善怀疑的原始人之弱点,而大儒却是最高级的精明头脑的恶习。群众宣传发现它的听众都随时准备相信最坏的东西,无论它多么荒谬;他们并不特别地肯受欺骗,因为他们认为每一种宣言无论如何都是一种谎言。

    极权主义的群众领袖们从事宣传的基础是正确的心理学假设,即在此类条件下,可以在今天使人们相信最疯狂的说法,并且相信,如果明天得到无可辩驳的证据,证明这些说法是假的,他们就会遁入犬儒;如果领袖们对他们说谎,他们不会离开领袖,而是抗议说,他们什么都知道,这宣言是谎言,但同时又佩服领袖们高超而聪明的手法。

    群众作为听众而能够显示的反应,变成了群众组织的一种重要的层级原则。易受欺骗和犬儒态度的混合流行于极权主义运动的一切阶层,层次越高,犬儒态度就越是压倒易受欺骗的情形。

    从同路人到领袖,一切阶层的基本信念是:政治是一场欺骗游戏,运动的”第一条诫律”是”领袖永远正确”,这对于世界政治(即世界性欺骗)的目的而言是必要的,正如军事原理的规则对于战争之目的是必要的一样。

    极权主义运动产生、组织、传播巨大谎言的机器也依靠领袖的地位。宣传声称,一切发生的事物根据自然规律或经济规律是可以科学地预测的,极权主义组织又为之增加一种观点,说一个人若掌握了这种知识及其主要特性,他就是”正确的,而且永远正确”。

    对于极权主义运动的一个成员来说,这种知识和真理无关,这种正确和客观真实性无关,领袖之宣言正确与否,不由事实证明,而由未来之成功或失败来证实。领袖的行动总是正确,既然这些行动是为往后几百年而设计的,那么,对他所做的切的最终检验就不受他同时代人的经验之约束了。

    假定能忠实地、逐字逐句地相信领袖言论的惟一团体是”同情者”,他们的信心使运动蒙上一层忠贞和头脑简单的气氛,帮助领袖完成他的一半任务,即激发运动的信心。

    一种表面有理的说法:所有的人都一样是野兽

    盲目兽性的背后,常常埋藏着对那些社会地位、知识、身体条件比他们好得多的人的仇恨和厌恶,他们现在好像要完成最狂野的梦想,要显示他们的权力在制造活死人的过程中,关键是摧毁人身上的道德人格 (moral person in man)。这主要靠在历史上第一次使殉难成为不可能的事:

    “这里有多少人仍然会相信,一次抗议会具有历史重要性?这种怀疑主义就是党卫军的真正杰作。他们的伟大成就。他们破坏了一切人类团结。这里的夜幕为未来降临。不留下目击者,就不会有见证人。死亡不再延迟,这是给死亡一种意义,行动才能超越人自己的死亡。为了能成功,连一个手势也必须具有社会意义。我们有成千上万人,都生活在一种绝对孤寂中。这就是无论发生什么,我们都会屈从的原因。”

    集中营和杀害政治对手都只是”有组织的遗忘”的一部分手段,不仅包括公众舆论的载体,例如口头和书面文字,而且甚至延伸到受害者的家庭和朋友。悲哀和纪念是禁止的。在苏联,一个女人在丈夫被逮捕后肯定会提出离婚,目的是拯救孩子的生命;假如她丈夫有机会生还,她会愤怒地将他推出屋外。

    西方世界至今 (即使在它最黑暗的时期)允许杀死的敌人有权被纪念,作为承认一种事实的自证–我们都是人 (而且只是人)。甚至连阿喀琉斯(Achilles)也出发去参加赫克托尔 (Hector)的葬礼,最专制的政府也给杀死的敌人以荣誉,罗马人允许基督徒写自己的殉教者列传,教会在对人的悼念中也让异教徒复活,正因为如此,所以一切都没有失去,也永远不会失去。

    集中营制造匿名的死亡 (使人们不可能发现囚徒的死活),使死亡作为完成人生的终结也被剥夺了意义。总而言之,他们夺走了个人自己的死亡,证明从此以后一切都不属于他,他也不属于任何人。他的死只对一种事实–他从来未真正存在过-打上了封印。

    一旦道德人格被消灭了,仍然能阻止人被变成活死人的,只有个人的差异化和他的独特性。在严格的形式上,这种个体性只有通过持恒的禁欲主义态度才能保持,当然在极权统治下,许多人已经采取,并且每天都逃避到个人的绝对孤独中,没有了权利和良知。

    无疑,正因为人的这一部分人格从根本上依靠天性和意志无法控制的力量,所以最难摧毁(而当它被摧毁时,又最容易修复)。

    对付这种独特的人格的方法有无数种,在此就不 –列举了它们开始于被押送到集中营来的路上种种可怕的条件,几百个人被赤条条地塞进一节运牛的货车车厢,互相紧贴,在乡村的路上左摇右晃几天来到目的地;到了集中营仍然如此,最初时刻的震惊是精心安排的。剃光头,奇怪的集中营服装;最后是完全难以想象的折磨,折磨计算精确到不杀死人,在任何情况下都不会很快死去。

    这一切方法是用来摆布人的身体–有无限痛苦的可能–无情地摧毁人,就像对付器官性精神病一样。

    正是在这里,整个过程的彻底疯狂变得最明显。折磨无疑是整个极权主义警察和司法机构的根本特征;它每天被用于逼人开口说话。由于这类折磨追求一种特定的理性目的,所以就有某些局限:或者囚徒在某一时间开口,或者被杀死。

    除了这种理性地操作的折磨外,在最初的纳粹集中营和盖世太保的刑讯室里,还有一种非理性的、虐待式的折磨。

    在盲目兽性的背后,常常埋藏着对那些社会地位、知识、身体条件比他们好得多的人的仇恨和厌恶,他们现在好像要完成最狂野的梦想,要显示他们的权力。在集中营里,这种厌恶从未完全消失,使我们感到它是人类可理解的一种最后残存的情感。

    消灭人的个体性,消灭均衡地由天性、意志、命运形成的独特性,变成了一切人类关系中十分自明的前提。它创造出一种恐怖,罩住了法律一政治人格 (judicial-political person)的愤怒和道德人格的绝望。

    正是这种恐怖引起了普遍的虚无主义,使它足以支撑一种表面有理的说法:所有的人都一样是野兽。

    实际上,集中营的经验显示出人类可以被转变成兽性人的种类(specimens of the human animad),而人的”天性”是”人”(human),但只有当它为人提供了一种可能性时,才可以变成某种高度非自然之物——一个人(a man)。

    孤立本身就是极权主义的前兆,它的标志是无能

    我们经常观察到,恐怖只有对那些相互隔离孤立的人才能实施绝对统治,所以,一切专政政府主要关注的事情之一就是造成这种孤立。孤立会成为恐怖的开端;它当然是恐怖的最肥沃土壤;它总是恐怖的结果。

    这种孤立本身就是极权主义的前兆;它的标志是无能,在这个范围内,力量总是来自于人的共同行动,即”一致行动”(acting in concert)(伯克语);根据定义,孤立的人是无力的。

    孤立( isolation)和无能( impotence),亦即根本没有行动能力,一向是暴政的特点。

    孤立只涉及生活的政治方面,而孤独涉及整体的人类生活。极权主义政府像一切暴政一样,不摧毁公共生活,亦即假如不用使人孤立的方法来摧毁人的政治能力。就无法存在。

    但是,极权统治作为一种政府形式是不同于以往的,因为它不满足于这种孤立,并且要摧毁私人生活。它的自身基础是孤独,是根本不属于世界的经验,这是人类经验中最彻底、用绝望的一种。

    孤独是恐怖的共同基础,是极权政府的实质,而对于意识形态与逻辑性(即准备它的杀人者和受害者)来说,与无根和成为多余的情境紧密相关;自从工业革命开始以来,这已成为对现代群众的诅咒;而在 19世纪末,随着帝国主义的兴起,它变得更加尖锐;在我们这个时代,却成了政治制度和社会传统的崩溃。

    无根意味着在这个世界上没有立足之地,不受别人的承认和保障;成为多余者意味着根本不属于这个世界。无根可出成为变成多余者的先决条件,正如孤立可以(但并不一定)成为孤独的先决条件一样、孤独自身并不考虑其最近的历史原因与它在政治中的新作用,它同时与人类的基本要求相反,也与每一个人生活的根本经验之一相反。

    即使是物质与感官的世界的经验,也取决于我同其它人的接触,取决于我们的共同感觉(common sense),共同感觉规范并控制其它一切感觉,若无共同感觉,我们每一个人都会被封闭在自己特殊的感觉资料中,而这种感觉资料自身是不可靠的。

    正因为我们有共同感觉,正因为不是一个人,而是许多人生活在地球上,我们才能相信自己的直接感觉经验。

    然而,我们必须提醒自己,终有一天,我们将不得不离开这个共同世界,而它却一如既往地存在,为了实现孤独状态这种被一切事物和每一个人抛弃的经验,相对于其同世界的继续存在而言,我们都是多余者。

    孤独的人发现他被其它人包围,他和他们无法建立联系,也不知究竟与谁敌对。孤寂的人却相反,他是孤独的,因此”可以自顾自”,因为人有能力”自言自语”。

    为了确认我的身份,我完全依靠其它人;正是对孤寂者的同伴情谊这种伟大的救世恩惠使他们重新变成”整体”,使他们免于进行其身份暧昧不明的思想对话,恢复了使他们用一个不可改变的个人的单独声音说话的身份。

    孤寂可以变为孤独;这发生于我完全靠自己来抛弃自我之时。孤寂的人永远处于变成孤独的危险之中,他们不再发现同伴情谊的拯救恩惠可以使他们免于两重性、暧昧和怀疑。

    孤独令人无法忍受的原因是,失去了可以在孤寂中实现的自我,但是又只能靠同类的信任才能肯定自己的身份。在这种情形下,人失去了对自身的信任(自身本应是他的思想的合伙人),也失去了存在于一个为提供经验而必须有的世界中的基本信心。自我与世界,思维能力与经验,都同时失去了。

    我们今天在政治领域生存的条件的确受到了这种吞噬一切的沙暴的威胁。它们的危险不在于它们可能建立一个永恒的世界。极权统治像专制政治一样,带有它自己的毁灭性细菌。

    正如恐惧和产生恐惧的虚弱无能是反政治的原则,将人扔进一个与政治行动相反的情景,而孤独和从孤独中产生的最坏的逻辑——意识形态推理,代表了一种反社会的情景,包藏着一种摧毁一切人类共居的原则。

    但是,有组织的孤独更是危险,远甚于被一个人的残暴和恣意妄为的意志统治下造成的未经组织之人的无能。它的危险在于威胁要向我们所知的世界报复——在这个世界里,到处似乎都走到终点——在那一个从终结中产生的新的开端有时间宣告自己诞生之前。

    除了这一类思考——它们作为预言。无甚效用,但很少给人安慰——以外,仍然存在着一个事实:我们时代的危机及其中心经验带来了一种全新的政府形式,它作为一种潜势、一种始终存在的威胁、十分有可能从现在起就伴随着我们,正如在不同的历史时刻出现的其它形式政府,依靠不同的基本经验,总是与人类相伴随——无论有多少暂时的失败——君主政治、共和政体、专制政治、独裁政体及暴政。

    但是仍然存在着一种真理,历史的每一次终结必然包含着一个新的开端;这种开端就是一种希望,是终结所能够产生的惟一”神示”。

    开端在变成一个历史事件之前,就是人的最高能力;从政治角度来说,它与人的自由是一致的。奥古斯丁说:”创造了人,一个开端形成。 “

    这个开端由每一次新生来保证;这个开端确实就是每一个人。

    第三部第十三章  意识形态与恐怖:一种新的政府形式

    在前面各章中,我们反复强调了极权统治的手段不仅更加严厉,而且它本质上不同于我们所知道的其他政治压迫形式,比如专制(despotism),暴政(tyranny)以及独裁(dictatorship)。凡是在它崛起并掌权的地方,它都发展出了一种全新的政治制度,并摧毁国家的一切社会传统、法律传统和政治传统。无论其意识形态的特殊民族传统和特定精神根源是什么,极权主义政府总是把阶级转化为群众,不是用一党专制(one-party dictatorship),而是用群众运动来取代其政党体系,把权力中心从军队转移到警察,建立一种公然以统治世界为目标的外交政策。目前的极权主义政府已经从一党制中发展出来;而每当这些政府变成真正极权主义政府,它们就开始通过一套价值系统进行运作,这套价值系统与其他一切价值系统是如此不同,以至于所有我们传统的法律的、道德的和常识的功利主义范畴,都不再能帮助我们对付、判断或预言其行动路线。

    如果说,极权主义的要素真的可以通过追溯历史和分析我们通常说的我们这个世纪的危机的政治含义而得以发现,那么不可避免的结论就是:这种危机不仅仅是来自外部的威胁,不仅仅是德国或俄国的某种侵略性外交政策的结果,它不会随着纳粹德国的垮台而消失,也不会随着斯大林的死而消失。甚至只有当极权主义成为过去之物之时,我们这个时代的真正困境才会呈现出其真正的形式——虽然不一定是最残酷的形式。

    正是在这种反思的路径中,才提出了这样一个问题:产生于这种危机、同时呈现出其最清晰征兆的极权主义政府,是否仅仅是一种权宜的安排,它从暴政、专制和独裁的众所周知的军火库中借来了威胁方法、组织手段和暴力工具,它的存在只是由于各种政治力量——自由主义的或保守主义的力量、民族主义的或社会主义的力量、共和制的和寡头制的力量——的令人叹息的但或许也是偶然的失败。或者相反,是否存在一种极权主义政府之本质的东西,它是否具有自己独特的性质,可以与其他政府形式——比如古代哲学时代以降西方思想所了解和识别的那种政府形式——相比较,并像它们那样下定义?如果确是如此,那么全新的、史无前例的极权主义组织机构及其行动路线,必然建立在很少几种基本经验之一上,人只要生活在一起并关注公共事务,就必然会有这种基本经验。如果有一种基本经验在极权主义统治中找到了自己的政治表达,那么,从极权主义政府形式的新颖性角度看,不管原因是什么,这种经验以前必然从来没有被用做一种政体的基础,而它的总体基调(general mood)——尽管在其他每个方面也许是人们熟悉的——则从来没有渗透到公共事务中并指导公共事务的处理。

    如果我们从思想史角度来思考这个问题,那么,它(指具有自己的独特本质而且以一种人类的基本经验为基础的极权主义,译者)似乎是绝对不可能的,因为人们生活于其统治之下的政府形式并不多,它们早就被发现了,希腊人对它们做了分类,其生命力被证明是非常长久的。如果我们应用这些发现——它们尽管有许多变体,但是其基本观念从柏拉图到康德的2500年中并没有变化——那么,我们就会立即受到诱导,把极权主义解释为某种现代的暴政(tyranny)形式,也就是一种不受法律约束的政府,其权力只属于一人。一方面是任意滥用权力,不守法纪,屈从于统治者的利益,与被统治者的利益敌对;另一方面,恐惧作为行动原则,亦即统治者害怕人民,人民害怕统治者,——这些在我们的整个传统中都是暴政的标志。

    即使不说极权主义政府是史无前例的政府,我们也可以说它摧毁了政治哲学中所有关于政府本质的界定全部建立其上的那种选择,这就是守法的(lawful)政府和不守法的(lawless)政府之间的选择,滥用的权力和合法的权力之间的选择。一方面是守法的政府和合法的权力,另一方面是不守法的和滥用的权力。两者相互依存、不可分离的观点,从来就没有受到过质疑。然而,极权主义统治使我们面对一种完全不同的政府类型。[2][2]的确,它违背一切实在法,甚至极端到违背自己制定的法律(比如苏联1936年宪法,这是最突出的例子),或者违背它不在乎废除不废除的那些法律(比如纳粹政府从来没有废除魏玛宪法)。但是,极权主义的运作既非没有法律(law)指导,亦非任意乱来,因为它声称严格地、毫不含糊地遵守自然法则(laws of Nature)和历史法则(laws of History),所有的实在法一直被认为都是从中产生的。

    极权统治的主张极为古怪,但似乎又难以反驳,[3][3]它远不是“毫无法纪”(lawless),而是诉诸权威之本源(所有实在法都是从中获得最终的合法性);不是任意妄为,而是比以前的任何政府形式都更听从这种超人类的力量;它也不是让权力服务于一个人的利益,而随时准备为了执行它所认定的历史法则和自然法则牺牲每一个人的根本的、直接的利益。它对实在法的蔑视,据说具有更高形式的合法性(a higher form of legitimacy)。由于这种合法性出自(上面说到的)权威本源本身,因此就可以踢开无关紧要的法律。极权主义的合乎法律(lawfulness)假装已经发现了一条在地球上建立正义之统治的道路,而实在法显然永远无法达到这点。合乎法律(legality,指合乎成文法,译注)与正义(justice)之间的差距不可能缝合,因为能够导出实在法之权威性的那个正确与错误的标准,即统治整个宇宙的“自然法”,或在人类历史、在表达着全人类共同情感的习俗和传统中显现的神圣法则(divine law),必然是普遍的,对于无法计数、无法预计的所有例子都是有效的,因此,即使是对于带有诸多不可重复之情形、而且多少超出这个标准的每一个具体个别例子,也必然同样有效。

    极权主义的合乎法则(lawfulness)公然蔑视法律性(legality),[4][4]假装要在地球上建立正义的直接统治(direct reign of justice),执行自然法则和历史法则,而不必把它转化为针对个体行为的对错标准。它不为个体的行为费心劳神而直接把法则(law)应用于人类。[5][5]如果自然法则和历史法则执行得当,那么,就可以指望它们生产出作为其最终产品的人类。这种期待存在于一切极权主义政府统治全球的主张背后。极权主义政策声称要将人类(human species)转化为一种法则的积极而忠诚的载体,[6][6]否则的话,人类只会消极地、不情愿地服从这个法则。如果说,极权主义国家与文明世界之间的联系由于极权主义政体的巨大罪行而断裂这一点是真的,那么,下面这一点也是真的:这种罪行不应该归咎于简单的侵略性、冷酷无情、战争和背信弃义,而应该归结为有意识地打破“法律上的合伙关系”(consensus iuris)——依据西塞罗,这种“法律上的合伙关系”构成了一个“民族”,而且就其仍然是国际关系的基石——即使在战争条件下——而言,它还作为国际法在现代建构了文明世界。[7][7]道德判断和法律惩治都以这种基本赞同(basic consent)为前提,正因为犯罪加入了“法律上的合伙关系”,他才受到公正的惩罚。甚至就是上帝的启示法(revealed law of God)也只能在人类听从和赞同它的时候才起作用。

    在这点上,极权主义的法则概念和其他各种法律概念之间的基本差异就彰显出来了。极权主义政策不用一套法律来取代另一套法律,并不建立它自己的“法律上的合伙关系”,并不通过一次革命来创造一种新的法律形式。它蔑视一切法律,甚至包括它自己的成文法,这意味着它相信自己能够不要任何“法律上的伙伴关系”而行事,而又仍然不让自己沦入无法无天、任意专断和充满恐惧(fear)的专制状态。[8][8]它之所以不需要“法律上的合伙关系”而行事,乃是因为它承诺把法则(law)的实施从所有人的行动和意志中解放出来,它承诺地球上的公正,因为它声称要使得人类自己成为法则(law)的体现。

    人(man)和法(law)的等同似乎解决了法律性(legality)与公正(justice)之间的不一致问题——这种不一致自古以来就困扰着法学思想。[9][9]这种等同也根本不同于自然之光(lumen naturale)[10][10]或良知的呼声,通过这种自然之光或良知之声,自然(Nature)或者神(Divinity)作为自然法(inu naturale)的权威之源或历史地显现的上帝命令,被认为会在人身上宣布它们的权威性。这从来不会使人成为法的活的体现,相反,法仍然作为权威——这种权威要求(人的)赞同和服从——而有别于人。自然或神作为实在法的权威之源曾经被认为是永远不变的,实在法依据环境而一直在变化,而且也是可以变化的,但是与人的变化更快的行动相比,实在法还是具有相对的持久性,这种持久性来自它们永恒的权威之源。所以,实在法首先是针对人的不停息的变化运动而作为稳定因素而设计的。

    在极权主义的解释中,一切法则(laws)都变成了运动的法则(laws of moment),[11][11]当纳粹谈论自然法则,布尔什维克谈论历史法则时,自然和历史都不再是针对尘世之人的行动的稳定性的权威之源,它们本身就是运动。纳粹相信种族法则是自然法则在人身上的表现,在这个信念之下是达尔文的人是一种自然发展的产物的观念,这种自然发展并不必然停止于人类的现有种类,这就像布尔什维克相信阶级斗争是历史法则的体现,在这种信念之下是马克思关于社会是巨大的历史运动——这种历史运动依据自己的运动法则奔向历史时代的终点并自行结束于那时——的产物的观念一样。

    经常有人指出马克思的历史研究方法和达尔文的自然研究方法之间的不同,他们通常正确地选择了马克思。这已经使得我们忘了马克思对于达尔文理论的积极兴趣;恩格斯说马克思是“历史的达尔文”(Darwin of history),他不可能想出更好的对于马克思学术成就的赞美之词了。[12][12]如果我们不是考虑这两个人的实际成就而是两者的基本哲学,就会发现历史运动和自然运动最终是一回事。达尔文把发展的概念引入自然,他坚持认为,至少在生物界,自然运动不是循环的,而是线性的,朝向一个无限前进的方向运动。这实际上意味着自然好像被强行纳入了历史,认为自然生命是历史性的。马克思的历史法则是最先进的阶级才能生存,而适者生存这个“自然”法则也可以被种族主义用作马克思式的历史法则。另一方面,马克思所说的阶级斗争,作为历史的动力,只不过是生产力发展的外在表现,而生产力反过来又源自人的“劳动力”。依据马克思,劳动力不是一种历史力量,而是一种生物-自然力量,它通过人的自然新陈代谢而释放出来,人依靠这种代谢保存他的个人生命,并再生产人类。[13][13]恩格斯清楚地看到了他们两人的基本信念的密切关系,因为他理解发展的概念在这两种理论中所发挥的决定性作用。在19世纪中期,知识界发生了巨大的变化,这个变化就是拒绝按照任何事物的“本身所是”(as it is)来看待它或者接受它,这个变化也表现为把每个事物都始终如一地解释为仅仅是某些进一步发展的一个阶段。相对而言,这个发展的动力究竟被称作自然还是历史是次要的。在这些意识形态中,“法则”这个术语本身改变了含义:从原先表达一种稳定性框架——人的行动和运动就在这个框架中发生,到表达运动本身。

    很清楚,这个运动过程没有终结之时,就此而言,极权主义政治开始遵循意识形态的秘诀,这点揭示了这些运动的真正性质。如果说自然法则就是要消灭一切有害的和不适宜生存的事物,那么,假如不能发现有害的和不适于生存的新种类,就意味着自然本身的终结(因为它违背了自己的本质);如果说,历史法则就是在阶级斗争中某些阶级会“枯萎灭亡”,那么,如果退化的新阶级并没有形成,并进而在极权主义统治者手中“枯萎灭亡”,那就意味着人类历史本身的末日。换言之,极权主义运动借以夺取和实施权力的屠杀法则,即使成功地使全人类(all of humannity)都臣服于它的统治,它也仍然是运动的法则。

    我们把合法的(lawful)政府理解为这样一种政体,在这个政体中,需要成文法来把永远不变的自然法或上帝的永恒戒律,转化和实现为对错的标准。只有通过这些标准,通过每个国家的成文法,自然法或上帝的戒律(Commandments of God)才能从政治上得到实现。在极权主义政府的政体中,成文法的这个位置被全盘性的恐怖(total terror)所占据,这种恐怖是为了将历史运动或自然运动的法则转变为现实而设计的。正如成文法虽然规定了犯罪(define transgressions)却又独立于犯罪(任何一个社会中犯罪的不存在并不意味着法律是多余的,恰恰相反,这意味着法律的最完美统治)一样,极权主义政府中的恐怖也不再仅仅是镇压反对派的手段,尽管它也可以用于镇压反对派的目的。当恐怖独立于一切反对派时,恐怖变成了无所不包的;当谁也不再阻挡它的道路时,它就是最高统治(rules supreme)。如果守法是非暴政政体的本质,而不守法是暴政的本质,那么,恐怖就是极权主义统治的本质。[14][14]

    恐怖就是运动法则的实现,它的主要目的是使得自然的或历史的力量能够自由地迅速穿透人类,不受任何自发的人类行动的阻扰。就此而言,恐怖寻求把人“稳定”下来,以便解放自然的或历史的力量。[15][15]正是这种运动选出了人类的敌人,恐怖就是针对他们的,不允许反对或同情之类的自由行动去干涉对历史或自然、阶级或种族的“客观敌人”的清除。有罪或无罪全都变成了毫无意义的观念。“有罪”者就是阻挡对“劣等种族”、“不适合生存”的个体、“垂死和没落的阶级”进行审判的自然进程和历史进程的人。恐怖实施这些审判,在其法庭前,卷入其中的所有人主观上都是无辜的:被谋杀者是无辜的,因为没有做任何反对这个制度的事情;谋杀者是无辜的,因为(他们)并非真正在谋杀,[16][16]而是在执行某种更高法庭所宣判的死刑命令。统治者自己并不自诩公正或英明,而只是执行历史法则或自然法则。他们并不应用法律,只是根据运动的内在法则来实施一场运动。假如法律就是某种超人类的力量——自然或历史——的运动法则,那么,恐怖就是合乎法律的(lawfulness)。

    恐怖作为对运动法则——这个法则的终极目的不是人类福利或个人利益,而是构建人类——为了物种而清除了个体,为了“整体”而牺牲了“部分”。自然或历史的超人类力量有其自身的开端和目的,因此,只有用新的开端和每一个个人的实际生命所是的目的才能阻扰这种力量。[17][17]

    立宪政府的成文法是为了设置边界、在人与人之间建立沟通渠道,因为人类共同体由于新人的出生与加入而不断遭逢危险。[18][18]随着每一个新生儿的出生,一个新的开端进入了世界,一个新世界开始潜在地出现。法律的稳定性对应于一切人类事务的持续不断的运动——只要有人的出生和死亡,这种运动便永无终止之日。法律限制[19][19]每一个新的开端,同时也保证其运动的自由,这种自由就是某种全新的、无法预则的事物的潜在可能性。成文法的界限是为了人的政治存在而设,如同记忆为了他的历史存在而存在;它们保证一个共同世界的先存在(the pre-existence of a common world)和某种连续体的实在性,这个连续体超越了每一代人的生命限度,吸收一切新的起源,并因为这些新起源而得到滋养。

    全面恐怖很容易因其暴政的症状而被误解,[20][20]因为极权主义政府在它的最初阶段必然表现得像暴政摧一样毁人制定的法律界限,但全面恐怖并没有在其后留下恣意妄为的无法无天的特性(lawlessness),它并不因为某种任意专断的意志的缘故而疯狂,也不因为与一切人作对的一个人的专断权力而疯狂,尤其不是为了一场所有人反对所有人的战争而疯狂(least of all for the sake of a war of all against all)。它用一条铁带[21][21]替换了个体的人之间的边界与沟通渠道,这条铁带把个体的人紧紧捆绑在一起,以至于他们的多元性(plurality)消失了,变成了一个巨大的、大写的单个人。[22][22]拆除人之间的法律藩篱(如专制暴政所做的那样),意味着剥夺人的法定自由(liberties),同时也摧毁作为一种活生生的政治现实的自由(freedom),[23][23]因为由法律限定的人际空间,就是自由的生活空间。极权恐怖利用这种旧的暴政工具,但同时摧毁了暴政留下的无法则、无限制的恐惧和怀疑的荒野(lawless,fenceless wilderness of fear and suspision)。无疑,(暴政的)这个荒漠(desert)不是活生生的自由空间,但是它仍然为其居民的那种由恐惧引发的移居(fear-guided movements)和由怀疑驱使的行动(suspicion-ridden actions)提供了某些空间。[24][24]

    极权恐怖通过迫使人们相互反对来摧毁他们之间的空间,与处于极权主义铁带之中的状况相比,即使是暴政的荒野,只要它们仍然是某种空间,就会显得好像是自由的一种保证。极权主义政府并不只是剥夺自由权利或者废除基本的自由;至少在我们的有限知识中,它也未能成功地从人们心中抹去对自由的热爱。它摧毁了一切自由的一个基本先决条件,即移动的能力(capacity of motion),这种能力没有空间就无法存在。

    全面恐怖这种极权主义政府的本质,既非为了人、亦非针对人而存在,它被期望为自然力量和历史力量提供一种加速其运动的无与伦比的工具。[25][25]这种运动根据自己的法则继续下去,在相当长的时间里不会停滞;它的力量最终总是证明比由人的行动和意志产生的最强大的力量还要有力,但是它可能被减速,而且几乎不可避免地被人的自由——甚至连极权主义统治者也不能不承认这种自由——减速。因为这种自由——他们或许认为是不恰当的、任意的——与下述事实是等同的,这就是人的出生并因为这种出生而使每一个人都是新的开端,在某种意义上开启新的世界。从极权主义的观点看,人的出生与死亡这种事实只能被看做一种恼人的对更高力量的干涉。因此,恐怖作为自然运动或历史运动的顺从奴仆,必须在运动过程中不仅清除任何特定意义上的自由,也要清除自由的源泉,这种源泉是人的出生这个事实所赋予的,并且存在于人的创造一个新开端的能力之中。恐怖的铁条摧毁人的多元性,把诸多的人变成一个大写的“一”(the One),而这个大写的“一”将无穷尽地行动着,[26][26] 好像它自己就是历史进程或自然进程的组成部分。在这个的恐怖的铁条中可以发现一种手段,这种手段不仅用来解放历史力量和自然力量,而且推动它们达到它们自己永远不可能达到的速度。从实践上说,这意味着恐怖当场执行据说是自然对“不适合于生存”的种族或个人、历史对“垂死阶级”已经做出的死刑判决,根本不等待自然或历史本身的比较缓慢和较少效果的进程。

    根据这种观念,凡在政府本身的本质变成运动的地方,一种很古老的政治思想难题似乎找到了一个答案,它类似于那个早已被注意到的解决合法(legality)和正义(justice)之间的错位的答案。假如政府的本质被定义为守法(lawfulness),假如法律被理解为人类公共事务中的稳定力量——从柏拉图在他的《法律篇》里求助于宙斯这位边界之神[27][27]以来,法律便一直是这样的一种力量——那么,就产生了政体的运动及其公民之行动的问题。对法律的遵守为行动设定了界限,但并不激发行动。[28][28]法律在自由社会里的伟大之处、同时也是其让人迷惑费解之处,[29][29]就在于它只告诉人们不应该做什么,而从来不告诉应该做什么。如果一种政体的必要运动——同样从柏拉图以来——本质上以运动的永久性为目的来加以定义,那么,就永远不可能发现这种本质(即只告诉人们不应该做什么,而不告诉应该做什么这个法律的本质,——译注)。衡量一个政府的优点的最确凿标准之一,似乎就是它的延续性。在孟德斯鸠看来,这也是暴政之坏处的最高证明,因为只有暴政很容易被从内部摧毁,会自己衰落,而其他政府都是被外部因素摧毁的。[30][30]所以,政府的定义所需要的一直是孟德斯鸠所说的“行动原则”(principle of action),这个原则——在每个政府形式中都有所不同——会在政府和公民的公共活动中通过同样的方式激发它们(政府和公民),并超越了纯粹消极的守法标准,用作一种判断公共事务中的一切活动的标准。根据孟德斯鸠的看法,这类指导原则和行动标准,在君主政治中是荣光,在共和政体中是美德,而在暴政中则是恐惧。[31][31]

    在一个十足极权主义的政府(perfect totalitarian government)里,所有人都变成一个大写的“人”(One Man),所有的行动都旨在加速自然运动或历史运动,每一项单个的行动都是在执行自然或历史已做出的死刑宣判,也就是说,在可以完全依赖恐怖来保持运动的持久性的条件下,根本不需要与其本质相分离的行动原则。然而,只要极权主义统治还没有征服全世界,还没有用恐怖的铁带来使每一个单个的人成为统一人类之一部分,那么,具有双重功能的恐怖——既作为政府本质,又作为运动而不是行动的原则——就不能完全实现。[32][32]正如立宪政府的守法不足以激发和指导人的行动一样,极权主义政府的恐怖也不足以激励和引导人类行为。

    尽管在目前条件下,极权主义统治仍然和其他形式的政府一样,在公共事务中都需要有一种对它的公民的行为指导,但是它却不需要甚至不能利用严格意义上的行动原则。在全面恐怖(terror)的条件下,甚至连恐惧(fear)也不再能用作一种如何行事的忠告,因为恐怖在挑选受害者时并不顾及个人的行动或思想,完全依据自然进程或历史进程的客观需要。在极权主义条件下,恐惧或许比以前任何时候都更普遍蔓延,但是当恐惧引导的行动不再有助于避免所恐惧的危险时,恐惧也就失去了它的实际用处。这点也适合于对政体的同情或支持;因为极权恐怖不仅根据客观标准来选择受害者,而且在选择执行者的时候,也尽可能不顾及其信念和同情。自从苏俄及其卫星国的大整肃以来,一直不断在清除作为行动的动机的信念,这已经成为有案可查的事实。极权主义教育的目的从来就不是培植信念,而是摧毁形成任何信念的能力。希姆莱伟大的机构创新就是在挑选党卫军成员的制度中采用纯客观的标准,他只看照片,根据纯粹种族的标准选择候选人,自然本身不仅决定谁该被清除,而且决定谁该被训练成清除者。

    对于一个不再使用恐怖作为威胁手段、而是它的本质就是恐怖的政体而言,要使这个政体开始运动的话,没有哪一种来自人类行动范围的指导原则——例如美德、荣誉、恐惧——是必要的和有用的。[33][33]作为代替,它在公共事务中引入了一种全新的原则,这个原则根本无需人类的行动意志,只诉诸对于运动法则的狂热需要,恐怖即根据这种运动法则而发挥作用,并由此使得一切个人的命运完全取决于恐怖。

    一个极权主义国家的居民,完全被扔进了自然过程或历史过程,并被这个过程紧紧攫住,这是为的加速其运动。就此而言,他们只能是这个过程的内在法则的执行者或牺牲品。这个过程或许会决定那些今天还在清除种族与个人、垂死阶级的成员和没落民族的人,明天就成为牺牲品。极权统治在指导其臣民的行为时,所需要的只是准备将每一个人同等地归入杀人者和牺牲品的角色。这种两面的配置(two-sided preparation)就是意识形态,它取代了行动的原则。

    意识形态——也就是从一个单一前提出发解释一切事物和所发生的一切现象、其信奉者信以为真的各种主义——是一种非常新近的现象,许多年来,它在政治生活中只扮演了一种无足轻重的角色。我们只有凭着后见之明(wisdom of hindsight),才能从中发现某些元素,正是这些元素使意识形态对极权主义统治而言极为有用。在希特勒和斯大林之前,意识形态的巨大政治潜力还没有被发现。

    各种意识形态都以它们的科学特征而著称:它们将科学方法和具有哲学意义的结果结合起来,并伪装成科学的哲学(scientific philosophy)。“意识形态”这个词似乎意味着一种观念可以变成一门科学的题材,恰如各种动物是动物学的题材一样;与动物学(zoology)一样,意识形态也有一个后缀“-logy”,它所指的就是“logoi”(逻辑),科学陈述就是在其基础上作出的。如果真是这样,那么,一种意识形态的确会变成一门伪科学(a pseudo-science)和伪哲学(a pseudo-philosophy),同时僭越了科学和哲学的界限。例如,自然神论(Deism)就此会变成意识形态,它以神学(theology)——对神学而言,上帝是启示的实在——的科学方式处理哲学所关心的关于神的观念。(如果一种神学不是建立在作为既定实在的启示的基础上,而是将上帝当做一种观念,那么,这种神学就是疯狂的神学,就像不再确信动物之物质的、可触知的存在的动物学一样疯狂。)然而我们知道,这只是部分的真理。自然神论虽然否定神的启示,但是并不只是做出关于上帝的“科学的”陈述(好像这个上帝仅仅是一种“观念”而已),而是为了解释世界的进程而利用“上帝”这个观念。各种主义中的“观念”——种族主义中的种族、自然神论中的上帝,等等——从不构成意识形态的题材,而-logy这个后缀,也从不简单地指一个“科学的”陈述组成的体系。

    从字面上看,意识形态就是“意识形态”这个词所指的东西:它是观念的逻辑。[34][34]它的题材(subject matter)是历史,“观念”被应用于这一历史,如此应用的结果,不是关于事物是什么的一套陈述,而是展开一个永远处于变化之中的过程。意识形态对待事件之过程的态度,是认为事件之过程所遵循的法则,就是事件之“观念”的逻辑展开的那个“法则”(the ideaology treats the course of events as though it followed the same “law” as the logical exposition of its “idea”)。意识形态假装知道整个历史过程的秘密——过去的秘密、现在的困惑、将来的不确定性——其依据就是它们的各自观念中内在的逻辑。

    意识形态对存在的奇迹从来不感兴趣。它们是历史的,关注生成与毁灭、文化的兴衰,即使在它们试图用某种“自然法则”来解释历史的时候也是如此。种族主义的“种族”一词并不指任何对于作为科学探索领域的人类诸种族的真正兴趣,它指的是指将历史运动解释为一种连贯过程的“观念”的种族。

    一种意识形态的“观念”既不是柏拉图所说的、通过心灵之眼(the eyes of mind)把握的永恒本质,也不是康德所说的理性规范原则,它已经成为一种解释工具。对于一种意识形态而言,历史并不依据一种观念而呈现(历史依据观念而呈现的说法意味着将历史看做某种本身处在历史运动之外的理想永恒状态的一个亚类型),而是某种可以用观念来推断的东西。[35][35]使“观念”适应这种新角色的是它自身的“逻辑”,此即作为“观念”本身之结果(consequence of the “idea” itself)的运动,无需外界因素来启动它。种族主义因此是这样的一种信仰,它相信种族观念本身内在地包含了运动,正如自然神论相信上帝观念本身内在地包含了运动一样。

    历史运动和这种观念的逻辑过程被认为是相互对应的,所以,无论发生什么,都是根据一种“观念”的逻辑发生的。但是在逻辑领域里,唯一可能的运动是从一个前提出发的推论过程。一旦一种意识形态掌握了辩证逻辑,其原理也是相同的,辩证逻辑的过程是从命题出发通过反命题走向合题,该合题随即又变成下一步辩证运动的命题;第一个命题变成前提,对于意识形态的解释而言,它的有利之处是,这种辩证手法可以将实际矛盾作为一种一致、连贯的运动的各个阶段而解释过去(explain away)。

    一旦逻辑作为一种思想运动(a movement of thought),而不是作为对思维(thinking)的必要控制而被应用于一种观念,这种观念就转化为一种前提。意识形态的世界解释对于极权主义的推理是如此富有成果,但其从事这一类操作却早在此之前就开始了。纯粹否定性的逻辑强制(禁止矛盾)变得“具有生产性”(productive),以致能开始一整套思想路线,并通过纯粹辩论的方法(the manner of mere argumentment)得出结论,借此强迫心智接受这套思想路线。这种辩论过程既不会被一个新观念(它会变成另外一个前提而得出一套完全不同的结论)所打断,也不会被一种新经验所打断。意识形态总是假定,一种观念便足以从前提出发来解释发展序列中的一切事物,经验不能说明任何东西,因为一切事物都在这种逻辑推论的连贯过程之中得到了理解。交出哲学思想的必要的不确定性,换来意识形态及其世界观的全盘解释,其所冒的危险与其说是爱上通常庸俗的、非批判性的假设,不如说是为了逻辑的外衣——借助这种逻辑外衣,人可以几近粗暴地强迫自己,就像被某种外力粗暴强迫一样——而交出人的思维能力中内在包含的自由。[36][36]

    19世纪的世界观与各种意识形态本身都不是极权主义的。虽然种族主义和共产主义在20世纪变成了决定性的(decisive)意识形态,但是它们在原则上并不比别的意识形态“更极权”; 种族主义和共产主义之所以变成了极权主义的意识形态,原因在于种族主义和共产主义原先所依赖的经验成分——各种族之间争夺统治世界的权力,各国内部各阶级争夺政权的阶级斗争——后来证明在政治上比其他各种意识形态所根据的经验成分更重要。在这个意义上,种族主义和共产主义对其他各种主义的意识形态胜利,在极权主义运动准确抓住这两种意识形态之前就决定了;另一方面,一切意识形态都包含了极权主义的成分,但是这些成分只有在极权主义运动中才得到充分发展,因此这一情况造成了一种欺骗性印象,好像只有种族主义和共产主义才是极权主义性质的。而真相是,一切意识形态的真实本性只有在它们扮演极权主义统治工具的角色时才暴露出来。[37][37]从这个角度看,出现了为(所有的)意识形态所特有的特别极权化的三种因素。[38][38]

    第一,意识形态在其对总体解释的诉求中,有这样的一种倾向,它所要解释的并非是什么(what is),而是变成什么(what becomes),什么出生以及什么消逝。[39][39]它们在任何情况下都只是关心运动因素,即只关心历史这个词的通常意义。意识形态总是倾向于历史,即使当它(例如种族主义)表面上从自然这个逻辑前提开始的时候也是这样;自然在这里只是被用于解释历史事件,并将历史事件降低为自然事物。对总体解释的诉求,[40][40]许诺解释历史上发生的一切事情,对过去做总体解释,提供关于现在的总体知识,以及对未来的可靠预言。第二,通过这种能力,意识形态化的思维(idealogical thinking)变得独立于一切经验,它从这些经验中学不到任何新的东西,即使这些经验刚刚发生过。于是,意识形态化的思维摆脱了我们凭五官感知的现实,坚持认为有一种“更真实”的现实隐匿在一切可感知的事物背后,从这个隐匿的地方控制事物,并要求人们拥有“第六感”以便意识到它。“第六感”正是意识形态提供的,教育机构提供的特定意识形态灌输,就是专门为了这个目的而设立的,目的在于在纳粹的奥登斯堡学校或在共产国际和共产党情报局训练“政治军人”(political soldiers)。[41][41]极权主义运动的宣传也用于将思想从经验和现实中解放出来;它总是想方设法在每一桩公开、可见的事件中塞进隐秘含义,怀疑每一种公开政治活动背后都有隐秘意图。一旦运动取得了权力,就着手根据自己的意识形态主张来改变现实。阴谋(conspiracy)的概念取代了敌意(enmity),这产生了一种心态,在这种心态中,现实——真实的敌意或友谊——不再凭本来的含义被经验和理解,而是自动假设它意指别的东西。

    第三,既然意识形态没有改变现实的力量,那么它们必然通过某些示范方法(methods of demonstration)完成其让思想从经验中解放出来的任务。意识形态化的思维把事物全部组织进一种绝对的逻辑过程,这个过程从不加反思地接受的前提(axiomatically accepted premise)开始,从中推论一切事物;也就是说,它展开的那种连续性在现实范围内根本不存在。推论可以逻辑地或辩证地展开;在这两种情况下,它都涉及一种连贯一致的论证过程,由于这种论证是根据过程来思考的,所以,它被假定能够理解超人类的、自然的或历史的过程的运动,理解是靠心智对“科学地”确立的运动法则的模仿——或逻辑地或辩证地——达到的,通过模仿的过程,理解和运动法则就被整合为一了。[42][42]意识形态的论证一向是一种逻辑推论,对应于前面提及的两种意识形态要素——运动要素以及从经验和现实中解放出来的要素——首先因为它的思想运动并不产生于经验,而是自我产生,其次因为它把取自经验现实的唯一一点转化为一个公理前提,从此以后就使论证过程全然不触及进一步的经验。一旦确定了意识形态化论证的前提和出发点,经验就不再干涉意识形态化思维,现实也不能教给我们这种意识形态化论证。

    希特勒和斯大林这两个极权主义统治者用来将他们各自的意识形态转化为武器——他们的每一个国民通过这种武器迫使自己与恐怖运动步调一致——的手法令人迷惑地简单而不显眼:他们极其认真地对待这些意识形态,一个(指希特勒,译注)因其超级的“冷酷无情的推理”才能而自豪(希特勒),另一个(指斯大林,译注)则因“他的辩证法的铁面无私”感到自豪,并进而驱使意识形态的意义具有极度的逻辑连贯性,在旁观者看来,这种逻辑连贯性则极度“原始”而荒谬:一个由注定要死的人组成的垂死阶级;“不适合生存”的种族应该被清除。[43][43]谁要是同意存在“垂死的阶级”这种东西,但是又不得出杀死他们成员的结论,或者同意生存权与种族有关,却又不得出清除“不适宜种族”的结论,那么很明显,这不是愚蠢就是胆怯。这种严格的逻辑性作为行动的指导,渗透到极权主义运动和极权主义政府的整个结构。这就是希特勒和斯大林两人做的独特工作,他们虽然并没有为他们的运动的观念和宣传口号增加任何一种新思想,但是仅凭上述原因,就应该认为他们是最重要的意识形态专家。

    这些新的极权主义意识形态专家与他们的先驱者之间的区别是,吸引他们的首先不是意识形态的“观念”——阶级斗争与对工人的剥削,或种族斗争与关爱日耳曼民族——而是可以从中发展出来的逻辑过程。依据斯大林的说法,不是观念也不是预言,而是“不可抗拒的逻辑力量彻底征服了(列宁的)听众。”马克思认为,当观念抓住了大众时就产生了力量,这种力量被发现不是位于观念本身,[44][44]而是位于其逻辑过程,这种逻辑力量“好像一种强有力的触角从四面八方抓住你,你好像被老虎钳夹住了,无力逃脱;你必须要么投降,要么下决心被彻底打败。”[45][45]只有当极权主义目标的实现——无阶级社会,或主人种族——到了紧要关头时,这种力量才把自己显示出来。在实现的过程中,意识形态为了吸引群众而必须将之作为基础的原初主旨(original substance)——对工人的剥削或德国的民族抱负——慢慢地失去了,好像已经被过程本身吞噬:通过与“根据冷冰冰的推理”和“不可抗拒的逻辑力量”的彻底同一,[46][46]工人们在布尔什维克统治下甚至失去了过去在沙皇压迫下仍然保留的权利,而德国民族则蒙受一种特殊类型的战争之苦——这场战争根本不考虑日耳曼民族生存的最低需要。正是在意识形态的政治——而不是仅仅是为了自我利益或强烈的权力欲而导致的背叛——的本质处,原先产生了“观念”(作为历史法则的阶级斗争和作为自然法则的种族斗争)的意识形态的真正内容(工人阶级或日耳曼民族),被用来执行“观念”的逻辑吞噬了。

    37、极权主义所需要的、用来取代孟德斯鸠的行动原则的,是对于牺牲者和屠杀者的准备(preparation),但是这种准备却不是意识形态本身——种族主义或辩证唯物主义,而是它的内在逻辑性。希特勒像斯大林一样,他们非常喜欢的这方面的最有说服力的论证是:你若不说B和C…….直到无数字母的末尾,就不能说A。在这里,逻辑性的强制力量似乎有其根源;它产生于我们对自相矛盾的恐惧。布尔什维克的整肃就是主要依靠这种基本的恐惧,以至于成功地使它的受害者坦白他们从未犯过的罪行,他们还振振有词地争辩说:我们都同意一个前提,即历史就是阶级斗争,也同意党在引导阶级斗争中的角色。所以你知道,从历史角度说,党是永远正确的。(托洛茨基说:“我们只有和党在一起,并且依靠党,才会正确,因为历史提供的唯一正确道路就是这样。”)在这个历史时刻,根据历史法则,一定会犯某些罪,而通晓历史法则的党必须惩罚之。为了制造这些罪行,党需要罪犯;[47][47]也许有这样的情况:党虽然知道罪行但是却不十分清楚谁是罪犯;比清楚地知道谁是罪犯更重要的是惩治罪行,因为倘若没有这些惩罚,历史就不会进步,甚至还可能在其过程中倒退。所以,你要么是已经犯了罪,要么已经响应党的号召去扮演罪犯的角色——无论是哪种情况,你都在客观上变成了党的敌人。如果你不坦白,你就不再通过党推动历史前进,就变成了真正的敌人。——这种论证的强制力量是,如果你拒绝,你就自相矛盾,由于这种自相矛盾,就使你的整个生命变得毫无意义;你所说的A通过它逻辑地产生的B和C,主宰了你的整个生命。

    极权统治者所依靠的是我们能够用以强迫自己的那种强制性力量,为的是快速动员(the limited mobilization)那些即使他们也仍然需要的人们;这种内在的强制力量是逻辑性的暴政(tyranny of logicality),除了人开创新事物的伟大能力之外,任何东西都不能和它对抗。逻辑性的暴政开始于心智对于逻辑的臣服,这种臣服就像一个永不休止的过程,人依靠这个过程以便产生他的思想。通过这种臣服,在他向一个外在的暴君低头放弃他的运动自由时,它也放弃了自己的内在自由。自由作为一种人的内在能力,与开始的能力(the capacity to begin)是一致的,正如自由作为一种政治现实,与人际活动的空间一致。任何逻辑和强有力的推论(cogent deduction)都无法控制开端,因为逻辑之链以前提的形式而预设了开端的存在。恐怖之所以必要,是为了防止随着每一个新人的诞生会产生一个新的开端,提高他在世界上的声音,与其相同,逻辑性的自我强制力也必须被调动起来,以免有人会开始思考——思考作为人类最自由、最纯粹的活动,恰恰是推论的强迫性过程的反面。极权主义政府只有以下的意义上才能太平;它能调动人自己的意志力,以便迫使自己进入历史或自然的巨大运动,这种运动很可能利用人类作为它的材料,既不知生,亦不知死。

    一方面,极权恐怖的强制性力量用它的铁带迫使由孤立的人所组成的大众集合起来,并且在一个对于他们而言已经变成荒野的世界里支持他们;另一方面,逻辑推论的自我强制力使每一个个体在它独自的孤立状态中反对一切其他人。这两种强制性力量是相互对应、相互依存的,以便开启和保持由恐怖所统治的那种运动。正如恐怖——即使是前极权的暴政形式的恐怖——败坏了人与人之间的一切关系,意识形态思维的自我强制性也破坏了和现实的一切关系。当人们失去了和伙伴们的联系,也失去了与周围现实的联系的时候,极权恐怖的准备工作就就绪了;因为在失去这些联系的同时,人们也失去了经验和思想的能力。极权主义统治的理想主体不是忠诚的纳粹或共产党人,而是民众,对于他们来说,事实与虚构之间的区别(即经验的现实性),正确与错误之间的区别(即思想的标准)已经不复存在。[48][48]

    我们开始本文这些思考时所提出的问题,以及我们现在回过头来要讨论的问题是:在人们的共同生存中,什么样的基本经验类型渗透进了一种以恐怖为本质、以意识形态的逻辑性为行动原则的政府形式。很明显,在以前各种形式的政治统治中,从来没有使用过这种组合。[49][49]还有,即使这种在一切政体中“最原创的”政体也是由人发明的、并多少回应了人的需要,就此而言,它所依仗的基本经验必定是人的经验并被人所熟知。

    我们经常观察到,恐怖只有对那些相互隔离孤立(isolation)的人才能实施绝对统治,所以,一切专制政府首先关注的事情之一就是制造这种孤立。孤立会成为恐怖的开端;它肯定是恐怖的最肥沃的土壤;它总是恐怖的结果。可以说,这种孤立是极权主义的预备;就权力总是来自于人的共同行动、即“一致行动”(伯克语)而言,孤立的标志就是无能;根据定义,孤立的人是无力的。[50][50]

    孤立和无能亦即根本没有行动能力,一向是暴政的特点。人与人的政治接触在暴政政府之下被切断了,人的行动能力和力量被挫败。但是并非人际之间的一切联系都被切断,并非人类一切能力都被摧毁。私人生活的整个领域,以及经验能力、制作能力和思想能力都尚未被触动。我们知道极权恐怖的铁带不为这种私人生活留下空间,极权主义逻辑的自我强制摧毁了人的经验能力和思想能力,正如它毫无疑问地摧毁了人的行动能力一样。

    在政治领域,我们所说的孤立(isolation),在社会交往领域被称为孤独(loneliness)。[51][51]孤立与孤独不一样。我可以是孤立的——也就是处于我无力行动的情形,因为谁也不会与我共同行动——但不孤独;我也可以是孤独的——也就是处于我作为一个人而感到自己被所有的人类同伴遗弃的情形——但是不孤立。孤立是在人生活的政治领域——即他们为了追求一种共同目的而共同行动的领域——都摧毁的时候被驱入的一种绝境。然而孤立(尽管会摧毁力量和行动能力)不仅未影响人的所谓生产性活动,而且也是这种活动所必须的。人只要他是一个制作的人,就会倾向于使自己和自己的工作孤立起来,暂时离开政治领域。制造(物的制造)一方面与行动有别,而且也与单纯的劳动有别,它总是在某种脱离共同关切的孤立状态下进行的,无论其结果是一件工艺品还是一件艺术品。人在孤立的状态中仍然与作为人工制品的世界保持接触,只有当最基本形式的人类创造活动(人在共同世界增加自己的某种东西的能力)被摧毁,孤立才变得令人完全不能忍受。当一个世界的主要价值受劳动支配,也就是一切人类活动都转变为劳动时,才会发生这样的情形。[52][52]在这种状况下,只剩下了纯粹的劳动努力,即维持生命的努力。[53][53]人与作为人工制品的世界的关系也被打破。如果不再被看做是制作的人,而是被看做是劳动的动物,在政治行动领域失去地位的孤立的人,也会被物的世界抛弃。以孤立为基础的暴政一般不触及人的生产能力;但是对“劳动者“的暴政(例如古代对奴隶的统治)会自动成为对孤独的(lonely)——而不仅仅是孤立——的人的统治,而且倾向于变成极权主义。

    虽然孤立只涉及生活的政治领域,但孤独却涉及整体的人类生活。极权主义政府当然也像一切暴政一样,如果不摧毁公共生活,亦即假如不通过使人孤立的方法来摧毁人的政治能力,就无法存在。但是极权统治作为一种政府形式是不同于以往的,它新就新在不满足于这种孤立,并且要摧毁私人生活。它把自己建立在孤独之上,建立在根本不属于这个世界的经验之上,这是人类经验中最彻底最绝望的一种。

    孤独是恐怖这一极权政府本质的基础,也是意识形态和逻辑性——它为极权政府准备了屠杀者和牺牲者——的基础,此孤独和无根性和多余性紧密相关;自从工业革命以来,这种无根性和多余性已经成为对于现代大众的蔑称;而在19世纪末,随着帝国主义的兴起,无根性和多余性变得更加尖锐;到了我们这个时代,它造成了政治制度和社会传统的崩溃。[54][54]无根意味着在这个世界上没有立足之地,不受别人的承认和保障;成为多余则意味着根本不属于这个世界。无根可以成为多余的先决条件,正如孤立可以成为孤独的先决条件。即使只是孤独本身,而不考虑其最近的历史原因和其在政治中的新作用,孤独既与人类状况(条件)的基本要求相反,同时也是每个人的基本经验的一种。[55][55]即使是对于物质和感官方面都是既定的世界的经验,也依赖于我和其他人的接触,依赖于我们的共同感觉,共同感觉规范并控制其他一切感觉,没有这种共同感觉,我们每一个人都会被封闭在自己的感觉材料的特殊性中,而这种感觉本身从来是靠不住的。只因为我们有共同感觉,也就是说,正因为不是一个人,而是许多人生活在地球上,我们才能相信自己直接的感觉经验。但是,我们只有提醒自己,终有一天我们将不得不离开这个共同世界而它却一如既往地永世长存,提醒自己对于这个共同世界的持久性而言,我们是多余的,只有这样我们才能意识到孤独这种被一切事物和每个人抛弃的经验。

    孤独也不是独居(solitude),独居要求独处,而独孤却在与他人共处时才最尖锐地表现出来。除了少数零散的评论之外——此零散的评论通常是通过一种悖论式的语气表述的,例如卡图的陈述(见西塞罗的《共和国》):“他从来没有比独处时更不孤寂”——看起来好像是具有希腊血统的被解放的奴隶哲学家艾皮克提图斯(Epictetus)首先区别了孤独和独处。在某种意义上说,他的发现是很偶然的,他的主要兴趣既不是独居也不是孤独,而是绝对独立意义上的独处(being alone,monos)。艾皮克提图斯认为(见《沉思录》,Dissertation,第3卷第13章):孤独之人(eremos)发现自己被他人包围,但是他和他们无法建立联系,也不知道自己和谁敌对。相反,独居之人独自一个人,因此可以“和自己在一起”,因为人有能力“和自己谈话。”换言之,在独处的情况下,我和“自我”共处,因此合二为一(two-in-one),而在孤寂中,我实际上是被所有其他人抛弃的单个人。严格地说,一切思维都在独处中进行,是我与我自己的对话;但这种二合一的对话并不失去与我的同胞世界的联系,因为他们在自我中得到了代表——这个自我就是我的思想对话的对象。独处的问题是这种二合一(的思想对话)需要他人,以便再度变成一个人:一个不可改变的个体,他的身份从来不会与任何特任的身份混淆。为了确认我的身份,我完全依靠他人;正是对独处者的伙伴情谊的这种伟大救赎力量(the great saving grace of companionship for solitary men),使他们重新变成“整体”,使他们不至堕入一个人无法获得明确身份的那种思想对话,恢复身份——这种身份使他们得以通过一个独一无二的人的声音说话。

    独处可以变成孤独;这种情况发生在我独自地被我自己的自我抛弃。[56][56]独处的人一旦再也不能发现同伴情谊的伟大救赎力量,以便使他们免于二重性、暧昧性和怀疑,就总是处于变成孤独的危险之中。从历史的角度看似乎是:虽然(这个关键词被中译本忽略导致全句不通)这种危险已经变得大到足以引起他人的注意,但是却只有在19世纪的历史中才有记录。当哲学家们(只有对他们来说,独处才是一种生活方式和工作条件)不再满足于“哲学只是为了少数人的”这个事实,开始坚持认为没有人能够理解他们的时候,这点就表现得非常清楚。[57][57]在这个方面,最典型的轶事发生在黑格尔临死之前,在他之前的任何一位伟大的哲学家都不可能有这样的轶事:“除了一个人(与哲学家对话的自我,译注)之外,谁也不了解我;而他(也是与哲学家对话的自我,译注)也误解了我。”相反,总是存在这样的例子:一个孤独的人(lonely man)发现了自己,并开始独处的思考对话。这种情况似乎就发生在尼采在Sils Maria(瑞士地名,译者)构思《查拉图斯特拉》之时,在《Sils Maria》和《Aus hohen Bergen》这两首诗中,尼采叙说了落空的期待和孤独者渴望的等待,突然“到了中午,一变成二,……..确信一致的胜利,我们用最大的盛宴庆贺,我的朋友查拉图斯特拉莅临,他是嘉宾中的嘉宾。”

    使孤独变得如此难以忍受的原因是失去了自我,这种自我可以在独处中实现,但却又只能靠信任别人且值得信任的我的平等者组成的同伴才能完整地得到肯定。[58][58]在这种情况下,人整个地失去了对作为其思想伙伴的自己的信任,也失去了对于世界的基本信任——这个世界是建构经验所必不可少的。自我与世界,思想能力与经验能力,都同时失去了。

    那种为了平安地发挥功能,既不需要自我也不需要他人和世界、像独立于思维(thinking)一样独立于经验的人类心智(human mind),其唯一能力就是一种前提自明的逻辑推理的能力。[59][59]无法反驳的证据(cogent evidence)的基本规则,二加二等于四之类的自明之理,是即使在绝对孤独的条件下也不能颠倒的。这是人类一旦失去相互保证时可以依靠的唯一可靠的“真理”,这是人类为了经验、为了生存、为了掌握他们在共同世界里的处世方式所需要的常识。但这种“真理”是空洞的,或者毋宁说它们根本就不是真理,因为它们不能显示任何东西。(像某些现代的逻辑学家一样将连贯一致性定义为真理,恰恰是否定了真理的存在)所以在孤独的状况下,自明之理就再也不只是知识的手段,而且开始具有生产性,开始发展它自己的各种“思想”路线。以严格自明的逻辑性为特点的思维过程(明显没有例外情况)与孤独有某种联系,当马丁.路德(马丁.路德对于孤独与独处现象的经验是举世无双的,他曾经胆敢说“必须有一个上帝,因为人需要一个可以信任的上帝”)对《圣经》文本“人若孤独,是不好的”做出以下鲜为人知的评论的时候,他已经注意到了这点(即自明的逻辑思维过程与孤独有某种联系,译者),路德说:一个孤独的人“总是从一件事来推断另一件事,并且把所有事情想得最坏。”极权主义运动的著名的极端主义——它和真正的激进主义没有任何关系——的确包含了这种“把一切事情想到最坏处”(的推论过程),在这一推论过程中,总是得出可能的最糟糕的结论。

    在非极权主义的世界为极权统治准备人员的是这样的一个事实:孤独——过去只是一种边缘经验,通常是在像老年这样的边缘社会条件下经历的——变成了我们这个世纪里日益增多的大众的一种日常经验。极权主义驱使和策动群众进入其中的那个冷酷无情的过程,像是对这种现实(即孤寂状态,译者)的自杀式的逃避。“冷冰冰的推理”和“像被老虎钳紧紧抓住”的辩证法的“强有力的触角”,似乎像一个无人可信赖、无物可以依靠的世界里的最后支撑物。正是这种内在强制——其唯一的内容是严格避免矛盾——似乎能在与其他人的一切关系之外证实一个人的身份。即使当他一人独处时,这种内在强制也使他与恐怖的铁带结合为一体,极权统治想尽办法绝不让留下他不管,除非是在把他单独监禁的极端情况下。[60][60]通过摧毁人际一切空间、迫使人们相互敌对的手法,甚至孤立的生产潜力也被摧毁;通过教导并且美化孤独的逻辑推理——在这里人们知道,如果他放弃整个过程由此开始的大前提,他就会完全失败——孤独转化为独处、逻辑转化为思想的最小机会也丧失殆尽。如果把这种实践和暴政的实践进行对比,似乎就找到了一种方法可以使荒漠(指的是暴政状态下人的状态,译注)运动起来,释放出一阵足以掩埋地球上所有居民的沙尘暴。

    我们今天在政治领域生存的条件的确受到了这种吞噬一切的沙尘暴的威胁。它们的危险不是在于它们可能建立一个持久的世界。极权统治像暴政一样,带有自我毁灭的细菌。[61][61]正如恐惧和产生恐惧的虚弱无能是反政治的原则,它把人扔进了一个与政治行动相反的情景,孤独和从孤独中产生的、对最坏之结果的逻辑-意识形态的推理,代表了一种反社会的情景,隐藏着摧毁一切共处的人类的原则。但是,有组织的孤独(organised loneliness)的危险性远甚于处于单个人的残暴和肆意妄为的意志统治下的所有未经组织之人的无能。它的危险在于威胁说要报复我们所知的这个世界——在这个世界里似乎到处都面临绝境,而从这个绝境中逢生的新开端此时还来不及宣告自己的诞生。

    除了这一类思考——它们作为预言没有多少效用,也很少给人安慰——之外,还存在一个事实:我们时代的危险及其核心经验带来了一种全新的政府形式,它作为一种潜在可能性,作为一种始终存在的危险,很可能从现在起就伴随着我们,正如在不同的历史时刻出现的、依赖不同的基本经验的其他政府形式,君主政治、共和政治、专制政治、独裁政治以及暴政,同样也始终伴随人类一样,尽管它们经历了暂时的失败。

    但是仍然存在一种真理:历史的每一次终结必然包含着一个新的开始;这个开始就是一种希望,是终结所能够产生的唯一的“启示”(“message”)。在变成一个历史事件之前,开端就是人的最高能力;从政治角度说,它与人的自由是一致的。奥古斯丁说,“人一诞生就创造了一个开端。”这个开端由每一次新生来保证;这个开端的确就是每一个人。

    Some questions of moral philosophy

    (Sixtieth Anniversary, 1934-1994: The Legacy of Our Past.)

    Abstract

    Moral philosophy at the end of World War II found itself confronted with the most tangible form of sadistic evil it had ever encountered as the Nazi war criminals came to trial. Moral philosophy has long made a distinction between religion and morality, with Immanuel Kant representing the contemporary status of this divide in his belief that morality is personal, depending on a person’s relation with himself and no outside force. The war trials and the horrors of World War II suggest that human wickedness and morality are more than personal concerns, and will once again become a concern of moral philosophy.
    After the publication, in 1963, of Eichmann in Jerusalem: A Report on the Banality of Evil, Hannah Arendt’s attention became focused on moral and ethical questions. On February 10, 1965, at the New School for Social Research, she initiated a series of lectures entitled “Some Questions of Moral Philosophy.“ What follows is the introductory lecture, which, in an edited version, is published here for the first time. The subsequent lectures deal with issues in ethics and politics, ethics and philosophy, ethics and religion, and conclude with a consideration of judging as the connection between political and moral activity. The entire lecture series will be published in Hannah Arendt: Essays in Understanding 1953-1975, forthcoming from Harcourt Brace Company.

    Ladies and gentlemen.

    The thoughts of many of us, I suppose, have wandered back during the last weeks to Winston Spencer Churchill, the greatest statesman thus far of our century, who just died after an incredibly long life, the summit of which was reached at the threshold of old age. This happenstance, if such it was, like almost everything he stood for in his convictions, in his writings, in the grand but not grandiose manner of his speeches, stood in conspicuous contrast to whatever we may think the Zeitgeist of this age to be. It is perhaps this contrast that touches us most when we consider his greatness. He has been called a figure of the eighteenth century driven into the twentieth as though the virtues of the past had taken over our destinies in their most desperate crisis, and this, I think, is true as far as it goes. But perhaps there is more to it. It is as though, in this shifting of centuries, some permanent eminence of the human spirit flashed up for an historically brief moment to show that whatever makes for greatness–nobility, dignity, steadfastness, and a kind of laughing courage–remains essentially the same throughout the centuries.

    Still, Churchill, so old-fashioned or, as I have suggested, beyond the fashions of the times, was by no means unaware of the decisive currents or undercurrents of the age in which he lived. He wrote the following words about thirty years ago when the true monstrosities of the century were yet unknown: “Scarcely anything, material or established, which I was brought up to believe was permanent and vital, has lasted. Everything I was sure, or was taught to be sure, was impossible, has happened.“ I wanted to mention these succinct words which, alas, became fully true only some years after they were uttered, in order to introduce, right at the beginning of these lectures, the basic experiences which invariably lie behind or beneath them. Among the many things which were still thought to be “permanent and vital“ at the beginning of the century and yet have not lasted, I chose to turn our attention to the moral issues, those which concern individual conduct and behavior, the few rules and standards according to which men used to tell right from wrong, and which were invoked to judge or justify others and themselves, and whose validity were supposed to be self-evident to every sane person either as a part of divine or of natural law. Until, that is, without much notice, all this collapsed almost overnight, and then it was as though morality suddenly stood revealed in the original meaning of the word, as a set of mores, customs and manners, which could be exchanged for another set with hardly more trouble than it would take to change the table manners of an individual or a people. How strange and how frightening it suddenly appeared that the very terms we use to designate these things–morality, with its Latin origin, and ethics, with its Greek origin–should never have meant more than usages and habits. And also that two thousand five hundred years of thought, in literature, philosophy and religion, should not have brought forth another word, notwithstanding all the highflown phrases, all assertions and preachings about the existence of a conscience which speaks with an identical voice to all men. What had happened? Did we finally awake from a dream?

    To be sure, a few had known before that there was something wrong with this assumption of self-evidence for moral commandments as though the “Thou shalt not bear false testimony“ could ever have the same validity as the statement: two and two equal four. Nietzsche’s quest for “new values“ certainly was a clear indication of the devaluation of what his time called “values“ and what former times more correctly had called virtues. You remember that the only standard he came up with was Life itself, and his criticism of the traditional and essentially Christian virtues was guided by the much more general insight that not only all Christian but also all Platonic ethics use yardsticks and measurements which are not derived from this world but from something beyond it–be it the sky of ideas stretching over the dark cave of strictly human affairs or the truly transcendent beyond of a divinely ordained afterlife. Neitzsche called himself a moralist, and no doubt he was; but to establish life as the highest good is actually, so far as ethics are concerned, question-begging, since all ethics, Christian or non-Christian, presuppose that life is not the highest good for mortal men and that there is always more at stake in life than the sustenance and procreation of individual living organisms. That which is at stake may vary greatly: it may be greatness and fame as in Pre-Socratic Greece; it may be the permanence of the city as in Roman virtue; it may be the health of the soul in this life, or the salvation of the soul in the hereafter; and it may be freedom or justice, or many more such things.

    Were these things or principles, from which all virtues are ultimately derived, mere values which could be exchanged against other values whenever people changed their minds about them? And would they, as Nietzsche seems to indicate, all go overboard before the overriding claim of Life itself? To be sure, he could not have known that the existence of mankind as a whole could ever be put into jeopardy by human conduct, and in this marginal event one could indeed argue that Life, the survival of the world and the human species, is the highest good. But this would mean no more than that any ethics or morality would simply cease to exist. And in principle this thought was anticipated by the question implicit in the old Latin saying, Fiat justitia, pereat mundus: Should the world perish that justice be done? This question was answered by Kant: “If justice perishes, human life on earth has lost its meaning“ (“Wenn die Gerechtigkeit untergeht, hat es keinen Wert mehr, dass Menschen auf Erden leben“). Hence, the only new moral principle, proclaimed in modern times, turns out to be not the assertion of “new values“ but the negation of morality as such, although Nietzsche, of course, did not know this. And it is his abiding greatness that he dared to demonstrate how shabby and meaningless morality had become.

    Churchill’s words were uttered in the form of a statement, but we, too full of the wisdom of hindsight, shall be tempted to read them also as a premonition. And if it were just a question of premonitions, I could indeed add an astounding number of quotations which would go back at least to the first third of the eighteenth century. The point of the matter for us, however, is that we deal no longer with premonitions but with facts.

    We–at least the older ones among us–have witnessed the total collapse of all established moral standards in public and private life during the 1930s and 40s, not only (as is now usually assumed) in Hitler’s Germany but also in Stalin’s Russia, where at this moment questions are being asked by the younger generation that have a great resemblance to those currently debated in Germany. Still, the differences between the two are significant enough to be mentioned. It has often been noted that the Russian Revolution caused social upheaval and social remolding of the entire nation unparalleled even in the wake of Nazi Germany’s radical fascist dictatorship, which, it is true, left the property relation almost intact and did not eliminate the dominant groups in society. From this, it usually is concluded that what happened in the Third Reich was by nature and not only by historical accident less permanent and less extreme. This may or may not be true with respect to strictly political developments, but it certainly is a fallacy if we regard the issue of morality. Seen from a strictly moral viewpoint, Stalin’s crimes were, so to speak, old fashioned; like an ordinary criminal, he never admitted them but kept them surrounded in a cloud of hypocrisy and doubletalk while his followers justified them as temporary means in the pursuit of the “good“ cause, or, if they happened to be a bit more sophisticated, by the laws of history to which the revolutionary has to submit and sacrifice himself if need be. Nothing in Marxism, moreover, despite all the talk about “bourgeois morality,“ announces a new set of moral values. If anything is characteristic of Lenin or Trotsky as the representatives of the professional revolutionary, it is the naive belief that once the social circumstances are changed through revolution, mankind will follow automatically the few moral precepts that have been known and repeated since the dawn of history.

    In this respect, the German developments are much more extreme and perhaps also more revealing. There is not only the gruesome fact of elaborately established death factories and the utter absence of hypocrisy in those very substantial numbers who were involved in the extermination program. Equally important, but perhaps more frightening, was the matter-of-course collaboration from all strata of German society, including the older elites which the Nazis left untouched, and who never identified themselves with the party in power. I think it is justifiable on factual grounds to maintain that morally, though not socially, the Nazi regime was much more extreme than the Stalin regime at its worst. It did indeed announce a new set of values and introduced a legal system designed in accordance with them. It proved, moreover, that no one had to be a convinced Nazi to conform, and to forget overnight, as it were, not his social status, but the moral convictions which once went with it.

    In the discussion of these matters, and especially in the general moral denunciation of the Nazi crimes, it is almost always overlooked that the true moral issue did not arise with the behavior of the Nazis but of those who only “coordinated“ themselves and did not act out of conviction. It is not too difficult to see and even to understand how someone may decide “to prove a villain“ and, given the opportunity, to try out a reversal of the Decalogue, starting with the command: “Thou shalt kill“ and ending with a precept: “Thou shalt lie.“ A number of criminals, as we know only too well, are present in every community, and while most of them suffer from a rather limited imagination, it may be conceded that a few of them probably are no less gifted than Hitler and some of his henchmen. What these people did was horrible, and the way they organized first Germany and then Nazi-occupied Europe is of great interest for political science and the study of forms of government; but neither the one nor the other poses any moral problems. Morality collapsed into a mere set of mores–manners, customs, conventions to be changed at will–not with criminals, but with ordinary people, who, as long as moral standards were socially accepted, never dreamt of doubting what they had been taught to believe in. And this matter, that is, the problem it raises, is not resolved if we admit, as we must, that the Nazi doctrine did not remain with the German people, that Hitler’s criminal morality was changed back again at a moment’s notice, at the moment “history“ had given the notice of defeat. Hence, we must say that we witnessed the total collapse of a “moral“ order not once but twice, and this sudden return to “normality,“ contrary to what is often complacently assumed, can only reinforce our doubts.

    When I think back to the last two decades since the end of the last war, I have the feeling that this moral issue has lain dormant because it was concealed by something about which it is indeed much more difficult to speak and with which it is almost impossible to come to terms–the horror itself in its naked monstrosity. When we were first confronted with it, it seemed, not only to me but to many others, to transcend all moral categories as it certainly exploded all juridical standards. You could express this in various ways. I used to say, this is something which should never have happened, for men will be unable to punish it or forgive it. We shall not be able to become reconciled to it, to come to terms with it, as we must with everything that is past–either because it was bad and we need to overcome it or because it was good and we cannot bear to let it go. It is a past which has grown worse as the years have gone by, and this is partly because the Germans for such a long time refused to prosecute even the murderers among themselves, but partly also because this past could not be “mastered“ by anybody. Even the famous healing power of time has somehow failed us. On the contrary, this past has managed to grow worse as the years went by so that we are sometimes tempted to think: this will never be over as long as we are not all dead. No doubt, this is partly due to the complacency of the Adenauer regime which for such a long time did absolutely nothing about the famous “murderers within our midst“ and did not regard participation in the Hitler regime, unless it bordered on criminality, as a reason to disqualify anybody for public office. But these are, I think, only partial explanations: the fact is also that this past has turned out to be “unmastered“ by everybody, not only by the German nation. And the inability of civilized courtroom procedure to come to terms with it in juridical form, its insistence on pretending that these new-fangled murderers are in no way different from ordinary ones and acted out of the same motives, is only one, though perhaps in the long run the most fateful, consequence of this state of affairs. I will not speak about this here where we deal with moral, not legal issues. What I wanted to indicate is that the same speechless horror, this refusal to think the unthinkable, has perhaps prevented a very necessary reappraisal of legal categories as it has made us forget the strictly moral, and, one hopes, more manageable, lessons which are closely connected with the whole story but which look like harmless side issues if compared with the horror.

    Unfortunately, there is one more aspect to be reckoned with as an obstacle in our enterprise. Since people find it difficult, and rightly so, to live with something that takes their breath away and renders them speechless, they have all too frequently yielded to the obvious temptation to translate their speechlessness into whatever expressions for emotions were close at hand, all of them inadequate. As a result, today the whole story is usually told in terms of sentiments which need not even be cheap in themselves to sentimentalize and cheapen the story. There are very few examples for which this is not true, and these are mostly unrecognized or unknown. The whole atmosphere in which things are discussed today is overcharged with emotions, often of a not very high caliber, and whoever raises these questions must expect to be dragged down, if at all possible, to a level on which nothing serious can be discussed at all. However that may be, let us keep in mind this distinction between the speechless horror, in which one learns nothing other than what can be directly communicated, and the not horrible but often disgusting experiences where people’s conduct is open to normal judgment and where the question of morals and ethics arises.

    I said that the moral issue lay dormant for a considerable time, implying that it has come to life during the last few years. What has made it come to life? There are, as I see it, several interconnected matters which tend to be cumulative. There was first and most importantly the effect of the post-war trials of the so-called war criminals. What was decisive here was the simple fact of courtroom procedure that forced everybody, even political scientists, to look at these matters from a moral viewpoint. It is, I think, well-known that there exists hardly a walk of life in which you will find people as wary and suspicious of moral standards, even of the standard of justice, as in the legal professions. The modern social and psychological sciences have, of course, also contributed to this general skepticism. And yet, the simple fact of courtroom procedure in criminal cases, the sequence of accusation-defense-judgment that persists in all the varieties of legal systems and is as old as recorded history, defies all scruples and doubts–not, to be sure, in the sense that it can put them to rest, but in the sense that this particular institution rests on the assumption of personal responsibility and guilt, on the one hand, and on a belief in the functioning of conscience on the other. Legal and moral issues are by no means the same, but they have in common that they deal with persons and not with systems or organizations.

    It is the undeniable greatness of the judiciary that it must focus its attention on the individual person, and that even in the age of mass society where everybody is tempted to regard himself as a mere cog in some kind of machinery–be it the well-oiled machinery of some huge bureaucratic enterprise, social, political or professional, or the chaotic, ill-adjusted chance pattern of circumstances under which we all somehow spend our lives. The almost automatic shifting of responsibility that habitually takes place in modern society comes to a sudden halt the moment you enter a courtroom. All justifications of a non-specific abstract nature–everything from the Zeitgeist down to the Oedipus complex that indicates that you are not a man but a function of something and, hence, yourself an exchangeable thing rather than a somebody–break down. No matter what the scientific fashions of the time may say, no matter how much they may have penetrated public opinion and, hence, also influenced the practitioners of the law, the institution itself defies, and must defy them all, or pass out of existence. And the moment you come to the individual person, the question to be raised is no longer, how did this system function, but why did the defendant become a functionary in this organization?

    This, of course, is not to deny that it is important to the political and social sciences to understand the functioning of totalitarian governments, to probe into the essence of bureaucracy and its inevitable tendency to make functionaries of men, mere cogs in the administrative machinery, and thus to dehumanize them. The point is that the administration of justice can consider these factors only to the extent that they are circumstances, perhaps mitigating ones, of whatever a man of flesh and blood did. In a perfect bureaucracy–which in terms of rulership is the rule by nobody–courtroom procedure would be superfluous, one would simply have to exchange unfit cogs against fitter ones. When Hitler said that he hoped for the day when it would be considered a disgrace in Germany to be a jurist he spoke with great consistency of his dream of a perfect bureaucracy.

    The speechless horror which I mentioned before as an adequate reaction to the system as a whole dissolves in the courtroom where we deal with persons in the ordered discourse of accusation, defense, and judgment. The reason why these courtroom procedures could bring to life specifically moral questions–which is not the case in the trials of ordinary criminals–is obvious; these people were not ordinary criminals but rather very ordinary people who had committed crimes with more or less enthusiasm, simply because they did what they had been told to do. Among them, there were also ordinary criminals who could do with impunity under the Nazi system what they had always wanted to do. But much as the sadists and perverts stood in the limelight in the publicity of these trials, in our context they are of less interest.

    I think it can be shown that these trials led to a more general probing into the specific share of guilt of those who did not belong to any of the criminal categories but who played their role in the regime nevertheless, or whoever only kept silent and tolerated things as they were when they were in a position to speak out. You remember the outcry that greeted Hochhuth’s accusation of Pope Pius XII and also my own book on the Eichmann Trial. If we disregard the voices of directly interested parties–the Vatican or Jewish organizations–the outstanding characteristic in these “controversies“ was the overwhelming interest in strictly moral issues. Even more striking than this interest was perhaps the incredible moral confusion these debates have revealed, together with an odd tendency to take the side of the culprit, whoever he might be at the moment. There was a whole chorus of voices that assured me that “there sits an Eichmann in everyone of us“ just as there was a whole chorus that told Hochhuth that not Pope Pius XII–after all only one man and one Pope–was guilty but all of Christianity and even the whole human race. The only true culprits, it frequently was felt and even said, were people like Hochhuth and myself who dared to sit injudgment; for no one can judge who had not been in the same circumstances under which, presumably, one would have behaved like all others. This position, incidentally, coincided oddly with Eichmann’s view on these matters.

    In other words, while the moral issues were hotly debated, they were at the same time sidestepped and evaded with equal eagerness. And this was not due to the specific issues under discussion but seems to happen whenever moral topics are discussed, not in general but in a particular case. Thus, I am reminded of an incident a few years ago in connection with the famous quiz show cheating on television. An article by Hans Morgenthau in The New York Times Magazine (“Reaction to the Van Doren Reaction,“ Nov. 22, 1959) pointed out the obvious–that it was wrong to cheat for money, doubly wrong in intellectual matters, and triply wrong for a teacher. The response was heated outrage: such judgment was against Christian charity and no man, except a saint, could be expected to resist the temptation of so much money. And this was not said in a cynical mood to make fun of philistine respectability, and it was not meant as a nihilistic argument. No one said–as would invariably have happened 30 or 40 years ago, at least in Europe–that cheating is fun, that virtue is boring and moral people are tiresome. Nor did anybody say that the television quiz program was wrong, that anything like a 64,000 dollar question was almost an invitation for fraudulent behavior, nor stand up for the dignity of learning and criticize the university for not preventing one of its members from indulging in what obviously is unprofessional conduct, even if no cheating were to take place. From the numerous letters written in response to the article, it became quite clear that the public at large, including many students, thought that only one person was to be blamed unequivocally: the man who judged, and not the man who had done wrong, not an institution, not society in general nor the mass media in particular.

    Now let me enumerate briefly the general questions which this factual situation, as I see it, has put on the agenda. The first conclusion I think is that no one in his right mind can any longer claim that moral conduct is a matter of course–das Moralische versteht sich von selbst–an assumption under which the generation I belong to was still brought up. This assumption included a sharp distinction between legality and morality, and while there existed a vague, inarticulate consensus that by and large the law of the land spells out whatever the moral law may demand, there was not much doubt that in case of conflict, the moral law was the higher law and had to be obeyed first. This claim in turn could make sense only if we took for granted all those phenomena which we usually have in mind when we speak of human conscience. Whatever the source of moral knowledge might be–divine commandments or human reason–every sane man, it was assumed, carried within himself a voice that tells him what is right and what is wrong, and this regardless of the law of the land and regardless of the voices of his fellow-men. Kant once mentioned that there might be a difficulty: “No one,“ he said, “who spent his life among rascals without knowing anybody else could have a concept of virtue“–“Den Begriff der Tugend wurde kein Mensch haben, wenn er immer unter lauter Spitzbuben ware“–but he meant no more by this than that the human mind is guided by examples in these matters. Not for a moment would he have doubted that, confronted with the example of virtue, human reason knows what is right and that its opposite is wrong. To be sure, Kant believed he had articulated the formula which the human mind applies whenever it has to tell right from wrong. He called this formula the Categorical Imperative; but he was under no illusion that he had made a discovery in moral philosophy which would have implied that no one before him knew what is right and wrong–obviously an absurd notion. He compares his formula (about which we shall have more to say in the coming lectures) to a “compass“ with which men will find it easy to distinguish what is good, what is bad. . . . Without in the least teaching common reason anything new, we need only to draw its attention to its own principle, in the manner of Socrates, thus showing that neither science nor philosophy is needed in order to know what one has to do in order to be honest and good . . .

    [Indeed,] . . . the knowledge of what everyone is obliged to do, and thus also to know, [is] within the reach of everyone, even the most ordinary man [Kant, 1959, p. 20, ed.

    And if someone had asked Kant where this knowledge within reach of everybody is located, he would have replied in the rational structure of the human mind, whereas, of course, others had located the same knowledge in the human heart. What Kant would not have taken for granted is that man will also act according to his judgment. Man is not only a rational being, he also belongs to the world of the senses which will tempt him to yield to his inclinations instead of following his reason or his heart. Hence, moral conduct is not a matter of course, but moral knowledge, the knowledge of right and wrong, is. Because inclinations and temptation are rooted in human nature, though not in human reason, Kant called the fact that man is tempted to do wrong by following his inclinations “radical evil.“ Neither he nor any other moral philosopher actually believed that man could will evil for its own sake; all transgressions are explained by Kant as exceptions that a man is tempted to make from a law which he otherwise recognizes as being valid–thus, the thief recognizes the laws of property, even wishes to be protected by them, and only makes a temporary exception from them in his own favor.

    No one wants to be wicked, and those who nevertheless act wickedly fall into an absurdum morale–into moral absurdity. He who does this is actually in contradiction with himself, his own reason, and, therefore, in Kant’s own words, he must despise himself. That this fear of self-contempt could not possibly be enough to guarantee legality is obvious; but as long as you moved in a society of law-abiding citizens you somehow assumed that self-contempt would work. Kant of course knew that self-contempt, or rather the fear of having to despise yourself, very often did not work, and his explanation of this was that man can lie to himself. He therefore repeatedly declared that the really “sore or foul spot“ in human nature is mendacity, the faculty of lying [Kant, 1868, pp. 132-33, ed.]. At first glance this statement seems very surprising because none of our ethical or religious codes (with the exception of Zoroaster) ever contained a Commandment: Thou shalt not lie–quite apart from the consideration that not only we but all codes of civilized nations have put murder at the top of the list of human crimes. Oddly enough, Dostoevsky seems to have shared–without knowing it of course–Kant’s opinion. In The Brothers Karamazov, Dmitri K. asks the Starov: “What must I do to win salvation,“ and the Starov replies: “Above all else, never lie to yourself.“

    You will have remarked that I have left out of this very schematic and preliminary account all specifically religious moral precepts and beliefs, not because I think them unimportant (quite the contrary is the case), but because at the moment morality collapsed they played hardly any role. Clearly no one was any longer afraid of an avenging God or, more concretely speaking, of possible punishments in a hereafter. As Nietzsche once remarked: “Naivitat, als ob Moral ubrigbliebe, wenn der sanktionierende Gott fehlt! Das `Jenseits’ absolut notwendig, wenn der Glaube an Moral aufrechterhalten werden soll“ [Nietzsche, 1956, p. 484, ed.].(1) Nor did the churches think of so threatening their believers once the crimes turned out to be demanded by the authority of the state. And those few who in all churches and all walks of life refused to participate in crimes did not plead religious beliefs or fears, even if they happened to be believers, but simply stated, like others, that they could not themselves bear responsibility for such deeds. This sounds rather strange and certainly is at odds with the innumerable pious pronunciations of the churches after the war, especially the repeated admonitions from all sides that nothing will save us except a return to religion. But it is a fact and it shows to what an extent religion, if it is more than a social business, has indeed become the most private of private affairs. For, of course, we do not know what went on in the hearts of these men, whether or not they were afraid of hell and eternal damnation. All we know is that hardly anyone thought these oldest beliefs fit for public justification.

    There is however another reason why I left religion out of account and began by indicating the great importance of Kant in these matters. Moral philosophy has no place wherever religion, and especially revealed religion in the Hebrew-Christian sense, is the valid standard for human behavior and the valid criterion for judging it. This, of course, does not mean that certain teachings which we know only in a religious context are not of the greatest relevance for moral philosophy. If you look back to traditional, premodern philosophy as it developed within the framework of Christian religion, you will at once discover that there existed no moral subdivision within it. Medieval philosophy was divided into cosmology, ontology, psychology, and rational theology–that is, into a doctrine about nature and the universe, about Being, about the nature of the human mind and soul, and, finally, about the rational proofs of the existence of God. Insofar as “ethical“ questions were discussed at all, especially in Thomas Aquinas, this was done in the fashion of antiquity, where ethics were part and parcel of political philosophy–defining the conduct of man insofar as he was a citizen. Thus, you have in Aristotle two treatises which together contain what he himself calls philosophy of things human: his Nicomachean Ethics and his Politics. The former deals with the citizen, the latter with civil institutions; the former precedes the latter because the “good life“ of the citizen is the raison d’etre of the polis, the institution of the city. The goal is to find out which is the best constitution, and the treatise on the good life, the Ethics, ends with an outline of the program for the treatise on politics. Thomas, both the faithful disciple of Aristotle and a Christian, always must come to the point where he has to differ with the master, and nowhere is the difference more glaring than when he holds that every fault or sin is a violation of the laws prescribed to nature by divine reason. To be sure, Aristotle too knows of the divine, which to him is the imperishable and the immortal, and he too thinks that man’s highest virtue, precisely because he is mortal, consists in dwelling as much as possible in the neighborhood of the divine. But there is no prescription, no command, to this effect that could be obeyed or disobeyed. The whole question turns around the “good life,“ which way of life is best for man, something obviously up to man to find out and to judge.

    In late antiquity, after the decline of the Polis, the various philosophy schools, especially the Stoics and the Epicureans, not only developed a kind of moral philosophy, they had a tendency, at least in their late Roman versions, to transform all philosophy into moral teachings. The quest for the good life remained the same: How can I attain maximum happiness here on earth, only this question was now separated from all political implications and raised by men in their private capacity. This whole literature is full of wise recommendations, but you will not find in it, any more than in Aristotle, a real command which ultimately is beyond argument, as you must in all religious teachings. Even Thomas, the greatest rationalizer of Christianity, had to admit that the ultimate reason why a particular prescription is right and a particular command has to be obeyed lies in its divine origin. God said so.

    This can be a conclusive answer only within the framework of revealed religion; outside this framework, we cannot but raise the question which, as far as I know, Socrates was the first to raise, in Plato’s Euthyphro where he wishes to know: “Do the gods love piety because it is pious, or is it pious because they love it?“ Or to put it another way: Do the gods love goodness because it is good, or do we call it good because the gods love it? Socrates leaves us with the question, and a believer, no doubt, is bound to say: it is their divine origin that distinguishes good principles from evil, they are in accordance with a law given by God to nature and to man, the summit of his creation. Insofar as man is God’s creation, the same things, to be sure, which God “loves“ must also appear good to him, and in this sense Thomas once indeed remarked, as though in answer to Socrates’ question: God commands the good because it is good (as opposed to Duns Scotus, who held the good is good because God commands it). But even in this most rationalized form, the obligatory character of the good for man lies in God’s command. From this follows the all important principle that in religion, but not in morality, sin is primarily understood as disobedience. Nowhere in the strictly religious tradition will you find the unequivocal and indeed radical answer Kant gave to the Socratic question: “We shall not look upon actions as obligatory because they are the commands of God, but shall regard them as divine commands because we have an inward obligation to them“ [Kant, 1965, A819, p. 644, ed.!. Only where this emancipation from religious commands as been achieved, where in Kant’s own words in Lectures on Ethics “we ourselves are judges of the revelation . . .,“ hence, where morality is a strictly human affair, can we speak of moral philosophy [Kant, 1963a, p. 51, ed. . And the same Kant, who in his theoretical philosophy was so concerned with keeping the door open to religion, even after having shown that we can have no knowledge in these matters, was equally careful to block all passages which may have led back to religion in his practical or moral philosophy. Just as “God is in no sense the author of the fact that the triangle has three angles,“ so “not even God can be the author of [the laws of] morality“ [Kant, 1963a, p. 52, ed. . In this unequivocal sense, until Kant, moral philosophy had ceased to exist after antiquity. Probably you will think here of Spinoza who called his chief work Ethics, but then you will also remember that Spinoza begins his work with a section entitled “Of God,“ and from this first part everything else is derived. Whether or not moral philosophy has existed since Kant is at least an open question.

    In anticipation of the few questions which will concern us here, let me now point out to you some of the most obvious conclusions: Moral conduct, from what we have heard so far, seems to depend primarily upon the intercourse of man with himself. He must not contradict himself by making an exception in his own favor, he must not place himself in a position in which he would have to despise himself. Morally speaking, this should be enough not only to enable him to tell right from wrong but also to do right and avoid wrong. Kant, with the consistency of thought which is the mark of the great philosopher, therefore puts the duties man has to himself ahead of the duties to others–something which certainly is very surprising, standing in curious contradiction to what we usually understand by moral behavior. It certainly is not a matter of concern with the other but with the self, not of meekness but of human dignity and even human pride. The standard is neither the love of some neighbor nor self-love, but self-respect.

    This comes out most clearly and most beautifully in that passage of Katit’s Critique of Practical Reason which everybody knows–and usually knows in a mistaken way. I refer of course to: “Two things fill the mind with ever new and increasing admiration and awe, the oftener and more steadily we reflect on them: the starry heaven above me and the moral law within me.“ From which one may conclude by not reading on that these “two things“ are on the same level and affect the human mind in the same way. Well, the opposite is the case: “The former view of a countless multitude of worlds annihilates, as it were, my importance as an animal creature . . . The latter, on the contrary, infinitely raises my worth as that of an intelligence by my personality, in which the moral law reveals a life independent of all animality and even of the whole world of sense“ [Kant, 1956, p. 166, ed. . Hence, what saves me from annihilation, from being “a mere speck“ in the infinity of the universe, is precisely this “invisible self “ that can pit itself against it. I underline this element of pride not only because it goes against the grain of Christian ethics, but also because the loss of a feeling for it seems to me most manifest in those who discuss these matters today, mostly without even knowing how to appeal to the Christian virtue of humility. This, however, is not to deny that there exists a crucial problem in this moral concern with the self. How difficult this problem may be is gauged by the fact that religious commands were likewise unable to formulate their general moral prescriptions without turning to the self as the ultimate standard–Love thy neighbor as thyself, or do not do unto others what you do not want done to yourself.

    Secondly, moral conduct has nothing to do with obedience to any law that is given from the outside–be it the law of God or the laws of men. In Kant’s terminology, this is the distinction between legality and morality. Legality is morally neutral: it has its place in institutionalized religion and in politics but not in morality. The political order does not require moral integrity but only law-abiding citizens, and the Church is always a church of sinners. These orders of a given community must be distinguished from the moral order binding for all men, even all rational beings. In Kant’s own words: “The problem of organizing a state, however hard it may seem, can be solved even for a race of devils, if only they are intelligent“ [Kant, 1963b, p. 112, ed. . In a similar spirit, it has been said that the devil makes a good theologian. In the political order, as in the religious framework, obedience may have its place, and just as this obedience is enforced in institutionalized religion by the threat of future punishments, so the legal order exists only to the extent of the existence of sanctions. What cannot be punished is permitted. If, however, I can be said at all to obey the Categorical Imperative, it means that I am obeying my own reason, and the law which I give myself is valid for all rational creatures, all intelligible beings no matter where they may have their dwelling place. For if I do not want to contradict myself, I act in such a manner that the maxim of my act can become a universal law. I am the legislator, sin or crime can no longer be defined as disobedience to somebody else’s law, but on the contrary as refusal to act my part as legislator of the world.

    This as it were rebellious aspect of Kant’s teachings is frequently overlooked because he put his general formula–that a moral act is an act which lays down a universally valid law–into the form of an imperative instead of defining it in a proposition. The chief reason for this self-misunderstanding in Kant is the highly equivocal meaning of the word “law“ in the Western tradition of thought. When Kant spoke of the moral law, he used the word in accordance with political usage in which the law of the land is considered obligatory for all inhabitants in the sense that they have to obey it. That obedience is singled out as my attitude toward the law of the land is in turn due to the transformation the term had undergone though religious usage where the Law of God can indeed address man only in the form of a command: Thou shalt–the obligation, as we saw, being not the content of the law nor the possible consent of man to it, but the fact that God had told us so. Here, nothing counts but obedience.

    To these two interconnected meanings of the word we must now add the very important and quite different usage made by combining the concept of law with nature. Laws of nature are also, so to speak, obligatory: I follow a law of nature when I die, but it cannot be said, except metaphorically, that I obey it. Kant, therefore, distinguished between “laws of nature“ and the moral “laws of freedom,“ which carry no necessity, only an obligation. But if we understand by law either commands which I must obey or the necessity of nature to which I am subject anyhow, then the term “law of freedom“ is a contradiction in terms. The reason why we are not aware of the contradiction is that even in our usage there are still present much older connotations from Greek and especially Roman antiquity, connotations which, whatever else they may signify, have nothing to do with commandments and obedience or necessity.

    Kant defined the categorical imperative by contrasting it with the hypothetical imperative. The latter tells us what we ought to do if we wish to attain a certain goal; it indicates a means to an end. It is actually no imperative in the moral sense at all. The categorical imperative tells us what to do without reference to another end. This distinction is not at all derived from moral phenomena but taken from Kant’s analysis of certain propositions in the Critique of Pure Reason, where you find categorical and hypothetical (as well as disjunctive) propositions in the table of judgments. A categorical proposition could be, for example: This body is heavy; to which could correspond a hypothetical proposition: If I support this body I stagger under its weight. In his Critique of Practical Reason, Kant transformed these propositions into imperatives to give them an obligatory character. Although the content is derived from reason–and while reason may compel, it never compels in the form of an imperative (no one would tell anybody: Thou shall say, two and two make four)–the imperative form is felt to be necessary because here the reasonable proposition addresses itself to the Will. In Kant’s own words: “The conception of an objective principle, so far as it constrains a will, is a command (of reason), and the formula of this command is called an imperative“ [Kant, 1959, p. 30, ed.].

    Does reason then command the Will? In that case the will would no longer be free but would stand under the dictate of reason. Reason can only tell the Will: This is good, in accordance with reason; if you wish to attain it you ought to act accordingly. Which in Kant’s terminology would be a kind of hypothetical imperative or no imperative at all. And this perplexity does not grow less when we hear that “the will is nothing else than practical reason“ and that “reason infallibly determines the will,“ so that we must either conclude that reason determines itself or, as with Kant that “the will is a faculty of choosing only that which reason … recognizes as … good“ [Kant, 1959, p. 29, ed.]. It would then follow that the will is nothing but an executive organ for reason, the execution branch of the human faculties, a conclusion that stands in the most flagrant contradiction to the famous first sentence of the work from which I have quoted, The Foundations of the Metaphysics of Morals: “Nothing in the world–indeed nothing even beyond the world–can possibly be conceived which could be called good without qualification except a good will“ [Kant, 1959, p. 9, ed.!.

    Some of the perplexities into which I have led you here arise out of the perplexities inherent in the human faculty of will itself, a faculty of which ancient philosophy knew nothing and which was not discovered in its awesome complexities before Paul and Augustine. We will have more to say about this in the following lectures. Here I merely wish to draw your attention to the need Kant felt to give his rational proposition an obligatory character, for, in distinction to the perplexities of the will, the problem of making moral propositions obligatory has plagued moral philosophy since its beginning with Socrates. When Socrates said it is better to suffer wrong than to do wrong, he made a statement which according to him was a statement of reason, and the trouble with this statement ever since has been that it cannot be proved. Its validity cannot be demonstrated without stepping outside the discourse of rational argument. In Kant, as in all philosophy after antiquity, you have the additional difficulty of how to persuade the will to accept the dictate of reason. If we leave the contradictions aside and address ourselves only to what Kant meant to say, then he obviously thought of the Good Will as the will that when told Thou Shalt will answer: Yes, I will. And in order to describe this relationship between two human faculties which clearly are not the same and where clearly one does not automatically determine the other, he introduced the form of the imperative and brought back the concept of obedience, through a back door as it were.

    There is, finally, for people with our background of experience, the most shocking perplexity which I merely indicated before: the evasion, the sidestepping, or the explaining away of human wickedness. If the tradition of moral philosophy (as distinguished from the tradition of religious thought) is agreed on one point from Socrates to Kant and, as we shall see, to the present, then that is that it is impossible for man to do wicked things deliberately, to want evil for evil’s sake. To be sure, the catalogue of human vices is old and rich, and in an enumeration where neither gluttony nor sloth (minor matters after all) are missing, sadism, the sheer pleasure in causing and contemplating pain and suffering, is curiously missing; that is, the one vice which we have reason to call the vice of all vices that for untold centuries has been known only in the pornographic literature and painting of the perverse. It may always have been common enough but was usually restricted to the bedroom and only seldom dragged into the courtroom. Even the Bible, where all other human shortcomings occur somewhere, is silent on it as far as I know; and this may be the reason why Tertullian and also Thomas Aquinas in all innocence, as it were, counted the contemplation of the sufferings in hell among the pleasures to be expected in Paradise. The first to be really scandalized by this was Nietzsche [1967, 1, 15, ed.]. Thomas, incidentally, qualified the future joys: not the sufferings as such, but as proof of divine justice are pleasing to the saints.

    But these are only vices, and religious, in contrast to philosophic, thought tells about original sin and the corruption of human nature. But not even there do we hear of deliberate wrongdoing: Cain did not want to become Cain when he went and slew Abel, and even Judas Iscariot, the greatest example of mortal sin, went and hanged himself. Religiously (not morally) speaking, it seems that they must all be forgiven because they did not know what they were doing. There is one exception to this rule and it occurs in the teaching of Jesus of Nazareth, the same who had preached forgiveness for all those sins which in one way or another can be explained by human weakness, that is, dogmatically speaking, by the corruption of human nature through the original fall. And vet this great lover of sinners, of those who trespassed, once mentions in the same context that there are others who cause skandala, disgraceful offenses, for which “it were better that a millstone were hanged about his neck, and he cast into the sea.“ It were better that he had never been born. But Jesus does not tell us what the nature is of these scandalous offenses: we feel the truth of his words but cannot pin it down.

    We might be a bit better off if we would permit ourselves to turn to literature, to Shakespeare or Melville or Dostoevsky, where we find the great villains. They also may not be able to tell us anything specific about the nature of evil, but at least they do not dodge it. We know, and we can almost see, how it haunted their minds constantly, and how well aware they were of the possibilities of human wickedness. And yet, I wonder if it would help us much. In the depths of the greatest villains–Iago (not Macbeth or Richard III), Claggart in Melville’s Billy Budd, and everywhere in Dostoevsky–there is always despair and the envy which goes with despair. That all radical evil comes from the depths of despair we have been told explicitly by Kierkegaard–and we could have learned it from Milton’s Satan and many others. It sounds so very convincing and plausible because we have also been told and taught that the devil is not only diabolos, the slanderer who bears false testimony, or Satan, the adversary who tempts men, but that he is also Lucifer the light-bearer, a Fallen Angel. In other words, we did not need Hegel and the power of negation in order to combine the best and the worst. There has always been some kind of nobility about the real evildoer, though of course not about the little scoundrel who lies and cheats at games. The point about Claggart and Iago is that they act out of envy of those they know are better than they themselves; it is the simple God-given nobility of the Moor that is envied, or the even simpler purity and innocence of a lowly shipmate whose social and professional better Claggart clearly is. I do not doubt the psychological insight of either Kierkegaard or the literature which is on his side. But is it not obvious that there is still some nobility even in this despair-born envy which we know to be utterly absent from the real thing? According to Nietzsche, the man who despises himself respects at least the one in him who despises! But the real evil is what causes us speechless horror, when all we can say is: This should never have happened.

    Note

    (1) Walter Kaufman translates this passage as follows: “Naivete: as if morality could survive when the God who sanctions it is missing! The beyond’ absolutely necessary if faith in morality is to be maintained“ [Nietzsche, 1968, p. 147, ed.].

    Bibliography

    Kant, Immanuel, Die Religion innerhalb der Grenzen der blossen Vernunft, in Immanuel Kant’s Samtliche Werke, herausgegeben von G. Hartenstein, 6. Band. (Leipzig: Leopold Voss, 1868). ant, Immanuel, Critique of Practical Reason, Lewis White Beck, trans., Library of Liberal Arts (Indianapolis, IN: Bobbs-Merrill, 1956). Kant, Immanuel, Foundations of the Metaphysics of Morals, Lewis White Beck, trans., Library of Liberal Arts (Indianapolis, IN: Bobbs-Merrill, 1959). Kant, Immanuel, Lectures on Ethics, Louis Infield, trans. (Indianapolis, IN: Hackett Publishing Company, 1963a). Kant, Immanuel, Perpetual Peace, in On History, Lewis White Beck, ed., Library of Liberal Arts (Indianapolis, IN: Bobbs-Merrill, 1963b). Kant, Immanuel, Critique of Pure Reason, Norman Kemp Smith, trans. (New York: St. Martin’s Press, 1965). Nietzsche, Friedrich, Werke in Drei Banden, Dritter Band (Munchen: Carl Hanser Verlag, 1956). Nietzsche, Friedrich, Genealogy of Morals, Walter Kaufman, trans. (New York: Random House, 1967). Neitzsche, Friedrich, Will to Power, Walter Kaufman, trans. (New York: Random House, 1968).

  • Plato《ION,EUTHYPHRO,TIMAEUS》

    ION

    Socrates. Welcome, Ion. Are you from your native city of Ephesus?
    Ion. No, Socrates; but from Epidaurus, where I attended the festival of Asclepius.
    Soc. And do the Epidaurians have contests of rhapsodes at the festival?
    Ion. O yes; and of all sorts of musical performers.
    Soc. And were you one of the competitors- and did you succeed?
    Ion. I obtained the first prize of all, Socrates.
    Soc. Well done; and I hope that you will do the same for us at the Panathenaea.
    Ion. And I will, please heaven.
    Soc. I often envy the profession of a rhapsode, Ion; for you have always to wear fine clothes, and to look as beautiful as you can is a part of your art. Then, again, you are obliged to be continually in the company of many good poets; and especially of Homer, who is the best and most divine of them; and to understand him, and not merely learn his words by rote, is a thing greatly to be envied. And no man can be a rhapsode who does not understand the meaning of the poet. For the rhapsode ought to interpret the mind of the poet to his hearers, but how can he interpret him well unless he knows what he means? All this is greatly to be envied.

    Ion. Very true, Socrates; interpretation has certainly been the most laborious part of my art; and I believe myself able to speak about Homer better than any man; and that neither Metrodorus of Lampsacus, nor Stesimbrotus of Thasos, nor Glaucon, nor any one else who ever was, had as good ideas about Homer as I have, or as many.

    Soc. I am glad to hear you say so, Ion; I see that you will not refuse to acquaint me with them.

    Ion. Certainly, Socrates; and you really ought to hear how exquisitely I render Homer. I think that the Homeridae should give me a golden crown.

    Soc. I shall take an opportunity of hearing your embellishments of him at some other time. But just now I should like to ask you a question: Does your art extend to Hesiod and Archilochus, or to Homer only?

    Ion. To Homer only; he is in himself quite enough.

    Soc. Are there any things about which Homer and Hesiod agree?

    Ion. Yes; in my opinion there are a good many.
    Soc. And can you interpret better what Homer says, or what Hesiod says, about these matters in which they agree?
    Ion. I can interpret them equally well, Socrates, where they agree.

    Soc. But what about matters in which they do not agree?- for example, about divination, of which both Homer and Hesiod have something to say-
    Ion. Very true:
    Soc. Would you or a good prophet be a better interpreter of what these two poets say about divination, not only when they agree, but when they disagree?
    Ion. A prophet.
    Soc. And if you were a prophet, would you be able to interpret them when they disagree as well as when they agree?
    Ion. Clearly.

    Soc. But how did you come to have this skill about Homer only, and not about Hesiod or the other poets? Does not Homer speak of the same themes which all other poets handle? Is not war his great argument? and does he not speak of human society and of intercourse of men, good and bad, skilled and unskilled, and of the gods conversing with one another and with mankind, and about what happens in heaven and in the world below, and the generations of gods and heroes? Are not these the themes of which Homer sings?

    Ion. Very true, Socrates.
    Soc. And do not the other poets sing of the same?
    Ion. Yes, Socrates; but not in the same way as Homer.
    Soc. What, in a worse way?
    Ion. Yes, in a far worse.

    Soc. And Homer in a better way?

    Ion. He is incomparably better.

    Soc. And yet surely, my dear friend Ion, in a discussion about arithmetic, where many people are speaking, and one speaks better than the rest, there is somebody who can judge which of them is the good speaker?
    Ion. Yes.
    Soc. And he who judges of the good will be the same as he who judges of the bad speakers?
    Ion. The same.
    Soc. And he will be the arithmetician?
    Ion. Yes.
    Soc. Well, and in discussions about the wholesomeness of food, when many persons are speaking, and one speaks better than the rest, will he who recognizes the better speaker be a different person from him who recognizes the worse, or the same?
    Ion. Clearly the same.
    Soc. And who is he, and what is his name?
    Ion. The physician.
    Soc. And speaking generally, in all discussions in which the subject is the same and many men are speaking, will not he who knows the good know the bad speaker also? For if he does not know the bad, neither will he know the good when the same topic is being discussed.
    Ion. True.
    Soc. Is not the same person skilful in both?
    Ion. Yes.
    Soc. And you say that Homer and the other poets, such as Hesiod and Archilochus, speak of the same things, although not in the same way; but the one speaks well and the other not so well?
    Ion. Yes; and I am right in saying so.

    Soc. And if you knew the good speaker, you would also know the inferior speakers to be inferior?

    Ion. That is true.

    Soc. Then, my dear friend, can I be mistaken in saying that Ion is equally skilled in Homer and in other poets, since he himself acknowledges that the same person will be a good judge of all those who speak of the same things; and that almost all poets do speak of the same things?

    Ion. Why then, Socrates, do I lose attention and go to sleep and have absolutely no ideas of the least value, when any one speaks of any other poet; but when Homer is mentioned, I wake up at once and am all attention and have plenty to say?

    Soc. The reason, my friend, is obvious. No one can fail to see that you speak of Homer without any art or knowledge. If you were able to speak of him by rules of art, you would have been able to speak of all other poets; for poetry is a whole.
    Ion. Yes.

    Soc. And when any one acquires any other art as a whole, the same may be said of them. Would you like me to explain my meaning, Ion?

    Ion. Yes, indeed, Socrates; I very much wish that you would: for I love to hear you wise men talk.

    Soc. O that we were wise, Ion, and that you could truly call us so; but you rhapsodes and actors, and the poets whose verses you sing, are wise; whereas I am a common man, who only speak the truth. For consider what a very commonplace and trivial thing is this which I have said- a thing which any man might say: that when a man has acquired a knowledge of a whole art, the enquiry into good and bad is one and the same. Let us consider this matter; is not the art of painting a whole?
    Ion. Yes.
    Soc. And there are and have been many painters good and bad?
    Ion. Yes.
    Soc. And did you ever know any one who was skilful in pointing out the excellences and defects of Polygnotus the son of Aglaophon, but incapable of criticizing other painters; and when the work of any other painter was produced, went to sleep and was at a loss, and had no ideas; but when he had to give his opinion about Polygnotus, or whoever the painter might be, and about him only, woke up and was attentive and had plenty to say?
    Ion. No indeed, I have never known such a person.
    Soc. Or did you ever know of any one in sculpture, who was skillful in expounding the merits of Daedalus the son of Metion, or of Epeius the son of Panopeus, or of Theodorus the Samian, or of any individual sculptor; but when the works of sculptors in general were produced, was at a loss and went to sleep and had nothing to say?
    Ion. No indeed; no more than the other.
    Soc. And if I am not mistaken, you never met with any one among flute-players or harp- players or singers to the harp or rhapsodes who was able to discourse of Olympus or Thamyras or Orpheus, or Phemius the rhapsode of Ithaca, but was at a loss when he came to speak of Ion of Ephesus, and had no notion of his merits or defects?
    Ion. I cannot deny what you say, Socrates. Nevertheless I am conscious in my own self, and the world agrees with me in thinking that I do speak better and have more to say about Homer than any other man. But I do not speak equally well about others- tell me the reason of this.
    Soc. I perceive, Ion; and I will proceed to explain to you what I imagine to be the reason of this. The gift which you possess of speaking excellently about Homer is not an art, but, as I was just saying, an inspiration; there is a divinity moving you, like that contained in the stone which Euripides calls a magnet, but which is commonly known as the stone of Heraclea. This stone not only attracts iron rings, but also imparts to them a similar power of attracting other rings; and sometimes you may see a number of pieces of iron and rings suspended from one another so as to form quite a long chain: and all of them derive their power of suspension from the original stone. In like manner the Muse first of all inspires men herself; and from these inspired persons a chain of other persons is suspended, who take the inspiration. For all good poets, epic as well as lyric, compose their beautiful poems not by art, but because they are inspired and possessed. And as the Corybantian revellers when they dance are not in their right mind, so the lyric poets are not in their right mind when they are composing their beautiful strains: but when falling under the power of music and metre they are inspired and possessed; like Bacchic maidens who draw milk and honey from the rivers when they are under the influence of Dionysus but not when they are in their right mind. And the soul of the lyric poet does the same, as they themselves say; for they tell us that they bring songs from honeyed fountains, culling them out of the gardens and dells of the Muses; they, like the bees, winging their way from flower to flower. And this is true. For the poet is a light and winged and holy thing, and there is no invention in him until he has been inspired and is out of his senses, and the mind is no longer in him: when he has not attained to this state, he is powerless and is unable to utter his oracles.

    Many are the noble words in which poets speak concerning the actions of men; but like yourself when speaking about Homer, they do not speak of them by any rules of art: they are simply inspired to utter that to which the Muse impels them, and that only; and when inspired, one of them will make dithyrambs, another hymns of praise, another choral strains, another epic or iambic verses- and he who is good at one is not good any other kind of verse: for not by art does the poet sing, but by power divine. Had he learned by rules of art, he would have known how to speak not of one theme only, but of all; and therefore God takes away the minds of poets, and uses them as his ministers, as he also uses diviners and holy prophets, in order that we who hear them may know them to be speaking not of themselves who utter these priceless words in a state of unconsciousness, but that God himself is the speaker, and that through them he is conversing with And Tynnichus the Chalcidian affords a striking instance of what I am saying: he wrote nothing that any one would care to remember but the famous paean which; in every one’s mouth, one of the finest poems ever written, simply an invention of the Muses, as he himself says. For in this way, the God would seem to indicate to us and not allow us to doubt that these beautiful poems are not human, or the work of man, but divine and the work of God; and that the poets are only the interpreters of the Gods by whom they are severally possessed. Was not this the lesson which the God intended to teach when by the mouth of the worst of poets he sang the best of songs?
    Am I not right, Ion?
    Ion. Yes, indeed, Socrates, I feel that you are; for your words touch my soul, and I am persuaded that good poets by a divine inspiration interpret the things of the Gods to us.

    Soc. And you rhapsodists are the interpreters of the poets?

    Ion. There again you are right.

    Soc. Then you are the interpreters of interpreters?

    Ion. Precisely.

    Soc. I wish you would frankly tell me, Ion, what I am going to ask of you: When you produce the greatest effect upon the audience in the recitation of some striking passage, such as the apparition of Odysseus leaping forth on the floor, recognized by the suitors and casting his arrows at his feet, or the description of Achilles rushing at Hector, or the sorrows of Andromache, Hecuba, or Priam,- are you in your right mind? Are you not carried out of yourself, and does not your soul in an ecstasy seem to be among the persons or places of which you are speaking, whether they are in Ithaca or in Troy or whatever may be the scene of the poem?

    Ion. That proof strikes home to me, Socrates. For I must frankly confess that at the tale of pity, my eyes are filled with tears, and when I speak of horrors, my hair stands on end and my heart throbs.

    Soc. Well, Ion, and what are we to say of a man who at a sacrifice or festival, when he is dressed in holiday attire and has golden crowns upon his head, of which nobody has robbed him, appears sweeping or panic-stricken in the presence of more than twenty thousand friendly faces, when there is no one despoiling or wronging him;- is he in his right mind or is he not?

    Ion. No indeed, Socrates, I must say that, strictly speaking, he is not in his right mind.

    Soc. And are you aware that you produce similar effects on most spectators?

    Ion. Only too well; for I look down upon them from the stage, and behold the various emotions of pity, wonder, sternness, stamped upon their countenances when I am speaking: and I am obliged to give my very best attention to them; for if I make them cry I myself shall laugh, and if I make them laugh I myself shall cry when the time of payment arrives.
    Soc. Do you know that the spectator is the last of the rings which, as I am saying, receive the power of the original magnet from one another? The rhapsode like yourself and the actor are intermediate links, and the poet himself is the first of them. Through all these the God sways the souls of men in any direction which he pleases, and makes one man hang down from another. Thus there is a vast chain of dancers and masters and under-masters of choruses, who are suspended, as if from the stone, at the side of the rings which hang down from the Muse. And every poet has some Muse from whom he is suspended, and by whom he is said to be possessed, which is nearly the same thing; for he is taken hold of. And from these first rings, which are the poets, depend others, some deriving their inspiration from Orpheus, others from Musaeus; but the greater number are possessed and held by Homer. Of whom, Ion, you are one, and are possessed by Homer; and when any one repeats the words of another poet you go to sleep, and know not what to say; but when any one recites a strain of Homer you wake up in a moment, and your soul leaps within you, and you have plenty to say; for not by art or knowledge about Homer do you say what you say, but by divine inspiration and by possession; just as the Corybantian revellers too have a quick perception of that strain only which is appropriated to the God by whom they are possessed, and have plenty of dances and words for that, but take no heed of any other. And you, Ion, when the name of Homer is mentioned have plenty to say, and have nothing to say of others. You ask, “Why is this?” The answer is that you praise Homer not by art but by divine inspiration.

    Ion. That is good, Socrates; and yet I doubt whether you will ever have eloquence enough to persuade me that I praise Homer only when I am mad and possessed; and if you could hear me speak of him I am sure you would never think this to be the case.

    Soc. I should like very much to hear you, but not until you have answered a question which I have to ask. On what part of Homer do you speak well?- not surely about every part.
    Ion. There is no part, Socrates, about which I do not speak well of that I can assure you.
    Soc. Surely not about things in Homer of which you have no knowledge?
    Ion. And what is there in Homer of which I have no knowledge?

    Soc. Why, does not Homer speak in many passages about arts? For example, about driving; if I can only remember the lines I will repeat them.

    Ion. I remember, and will repeat them.

    Soc. Tell me then, what Nestor says to Antilochus, his son, where he bids him be careful of the turn at the horse-race in honour of Patroclus.

    Ion. He says: Bend gently in the polished chariot to the left of them, and urge the horse on the right hand with whip and voice; and slacken the rein.

    And when you are at the goal, let the left horse draw near, yet so that the nave of the well-wrought wheel may not even seem to touch the extremity; and avoid catching the stone.

    Soc. Enough. Now, Ion, will the charioteer or the physician be the better judge of the propriety of these lines?
    Ion. The charioteer, clearly.
    Soc. And will the reason be that this is his art, or will there be any other reason?

    Ion. No, that will be the reason.

    Soc. And every art is appointed by God to have knowledge of a certain work; for that which we know by the art of the pilot we do not know by the art of medicine?

    Ion. Certainly not.

    Soc. Nor do we know by the art of the carpenter that which we know by the art of medicine?
    Ion. Certainly not.
    Soc. And this is true of all the arts;- that which we know with one art we do not know with the other? But let me ask a prior question: You admit that there are differences of arts?
    Ion. Yes.
    Soc. You would argue, as I should, that when one art is of one kind of knowledge and another of another, they are different?
    Ion. Yes.
    Soc. Yes, surely; for if the subject of knowledge were the same, there would be no meaning in saying that the arts were different,-if they both gave the same knowledge. For example, I know that here are five fingers, and you know the same. And if I were to ask whether I and you became acquainted with this fact by the help of the same art of arithmetic, you would acknowledge that we did?
    Ion. Yes.

    Soc. Tell me, then, what I was intending to ask you- whether this holds universally? Must the same art have the same subject of knowledge, and different arts other subjects of knowledge?

    Ion. That is my opinion, Socrates.

    Soc. Then he who has no knowledge of a particular art will have no right judgment of the sayings and doings of that art?
    Ion. Very true.
    Soc. Then which will be a better judge of the lines which you were reciting from Homer, you or the charioteer?
    Ion. The charioteer.

    Soc. Why, yes, because you are a rhapsode and not a charioteer.
    Ion. Yes.
    Soc. And the art of the rhapsode is different from that of the charioteer?
    Ion. Yes.

    Soc. And if a different knowledge, then a knowledge of different matters?

    Ion. True.

    Soc. You know the passage in which Hecamede, the concubine of Nestor, is described as giving to the wounded Machaon a posset, as he says, Made with Pramnian wine; and she grated cheese of goat’s milk with a grater of bronze, and at his side placed an onion which gives a relish to drink.

    Now would you say that the art of the rhapsode or the art of medicine was better able to judge of the propriety of these lines?

    Ion. The art of medicine.

    Soc. And when Homer says, And she descended into the deep like a leaden plummet, which, set in the horn of ox that ranges in the fields, rushes along carrying death among the ravenous fishes,-will the art of the fisherman or of the rhapsode be better able to judge whether these lines are rightly expressed or not?

    Ion. Clearly, Socrates, the art of the fisherman.

    Soc. Come now, suppose that you were to say to me: “Since you, Socrates, are able to assign different passages in Homer to their corresponding arts, I wish that you would tell me what are the passages of which the excellence ought to be judged by the prophet and prophetic art”; and you will see how readily and truly I shall answer you. For there are many such passages, particularly in the Odyssey; as, for example, the passage in which Theoclymenus the prophet of the house of Melampus says to the suitors:-Wretched men! what is happening to you? Your heads and your faces and your limbs underneath are shrouded in night; and the voice of lamentation bursts forth, and your cheeks are wet with tears. And the vestibule is full, and the court is full, of ghosts descending into the darkness of Erebus, and the sun has perished out of heaven, and an evil mist is spread abroad.

    And there are many such passages in the Iliad also; as for example in the description of the battle near the rampart, where he says:-As they were eager to pass the ditch, there came to them an omen: a soaring eagle, holding back the people on the left, bore a huge bloody dragon in his talons, still living and panting; nor had he yet resigned the strife, for he bent back and smote the bird which carried him on the breast by the neck, and he in pain let him fall from him to the ground into the midst of the multitude. And the eagle, with a cry, was borne afar on the wings of the wind.
    These are the sort of things which I should say that the prophet ought to consider and determine.
    Ion. And you are quite right, Socrates, in saying so.
    Soc. Yes, Ion, and you are right also. And as I have selected from the Iliad and Odyssey for you passages which describe the office of the prophet and the physician and the fisherman, do you, who know Homer so much better than I do, Ion, select for me passages which relate to the rhapsode and the rhapsode’s art, and which the rhapsode ought to examine and judge of better than other men.
    Ion. All passages, I should say, Socrates.
    Soc. Not all, Ion, surely. Have you already forgotten what you were saying? A rhapsode ought to have a better memory.

    Ion. Why, what am I forgetting?

    Soc. Do you not remember that you declared the art of the rhapsode to be different from the art of the charioteer?

    Ion. Yes, I remember.

    Soc. And you admitted that being different they would have different subjects of knowledge?

    Ion. Yes.

    Soc. Then upon your own showing the rhapsode, and the art of the rhapsode, will not know everything?

    Ion. I should exclude certain things, Socrates.

    Soc. You mean to say that you would exclude pretty much the subjects of the other arts. As he does not know all of them, which of them will he know?

    Ion. He will know what a man and what a woman ought to say, and what a freeman and what a slave ought to say, and what a ruler and what a subject.

    Soc. Do you mean that a rhapsode will know better than the pilot what the ruler of a sea-tossed vessel ought to say?

    Ion. No; the pilot will know best.

    Soc. Or will the rhapsode know better than the physician what the ruler of a sick man ought to say?

    Ion. He will not.

    Soc. But he will know what a slave ought to say?

    Ion. Yes.

    Soc. Suppose the slave to be a cowherd; the rhapsode will know better than the cowherd what he ought to say in order to soothe the infuriated cows?

    Ion. No, he will not.

    Soc. But he will know what a spinning-woman ought to say about the working of wool?

    Ion. No.

    Soc. At any rate he will know what a general ought to say when exhorting his soldiers?

    Ion. Yes, that is the sort of thing which the rhapsode will be sure to know.

    Soc. Well, but is the art of the rhapsode the art of the general?

    Ion. I am sure that I should know what a general ought to say.

    Soc. Why, yes, Ion, because you may possibly have a knowledge of the art of the general as well as of the rhapsode; and you may also have a knowledge of horsemanship as well as of the lyre: and then you would know when horses were well or ill managed. But suppose I were to ask you: By the help of which art, Ion, do you know whether horses are well managed, by your skill as a horseman or as a performer on the lyre- what would you answer?

    Ion. I should reply, by my skill as a horseman.

    Soc. And if you judged of performers on the lyre, you would admit that you judged of them as a performer on the lyre, and not as a horseman?

    Ion. Yes.

    Soc. And in judging of the general’s art, do you judge of it as a general or a rhapsode?

    Ion. To me there appears to be no difference between them.

    Soc. What do you mean? Do you mean to say that the art of the rhapsode and of the general is the same?

    Ion. Yes, one and the same.

    Soc. Then he who is a good rhapsode is also a good general?

    Ion. Certainly, Socrates.

    Soc. And he who is a good general is also a good rhapsode?

    Ion. No; I do not say that.

    Soc. But you do say that he who is a good rhapsode is also a good general.
    Ion. Certainly.
    Soc. And you are the best of Hellenic rhapsodes?
    Ion. Far the best, Socrates.
    Soc. And are you the best general, Ion?
    Ion. To be sure, Socrates; and Homer was my master.

    Soc. But then, Ion, what in the name of goodness can be the reason why you, who are the best of generals as well as the best of rhapsodes in all Hellas, go about as a rhapsode when you might be a general? Do you think that the Hellenes want a rhapsode with his golden crown, and do not want a general?
    Ion. Why, Socrates, the reason is, that my countrymen, the Ephesians, are the servants and soldiers of Athens, and do not need a general; and you and Sparta are not likely to have me, for you think that you have enough generals of your own.
    Soc. My good Ion, did you never hear of Apollodorus of Cyzicus?
    Ion. Who may he be?
    Soc. One who, though a foreigner, has often been chosen their general by the Athenians: and there is Phanosthenes of Andros, and Heraclides of Clazomenae, whom they have also appointed to the command of their armies and to other offices, although aliens, after they had shown their merit. And will they not choose Ion the Ephesian to be their general, and honour him, if he prove himself worthy? Were not the Ephesians originally Athenians, and Ephesus is no mean city?
    But, indeed, Ion, if you are correct in saying that by art and knowledge you are able to praise Homer, you do not deal fairly with me, and after all your professions of knowing many, glorious things about Homer, and promises that you would exhibit them, you are only a deceiver, and so far from exhibiting the art of which you are a master, will not, even after my repeated entreaties, explain to me the nature of it. You have literally as many forms as Proteus; and now you go all manner of ways, twisting and turning, and, like Proteus, become all manner of people at once, and at last slip away from me in the disguise of a general, in order that you may escape exhibiting your Homeric lore. And if you have art, then, as I was saying, in falsifying your promise that you would exhibit Homer, you are not dealing fairly with me. But if, as I believe, you have no art, but speak all these beautiful words about Homer unconsciously under his inspiring influence, then I acquit you of dishonesty, and shall only say that you are inspired. Which do you prefer to be thought, dishonest or inspired?
    Ion. There is a great difference, Socrates, between the two alternatives; and inspiration is by far the nobler.
    Soc. Then, Ion, I shall assume the nobler alternative; and attribute to you in your praises of Homer inspiration, and not art.

    Euthyphro

    SCENE: The Porch of the King Archon.

    EUTHYPHRO: Why have you left the Lyceum, Socrates? and what are you doing in the Porch of the King Archon? Surely you cannot be concerned in a suit before the King, like myself?
    SOCRATES: Not in a suit, Euthyphro; impeachment is the word which the Athenians use.
    EUTHYPHRO: What! I suppose that some one has been prosecuting you, for I cannot believe that you are the prosecutor of another.
    SOCRATES: Certainly not.

    EUTHYPHRO: Then some one else has been prosecuting you?

    SOCRATES: Yes.

    EUTHYPHRO: And who is he?

    SOCRATES: A young man who is little known, Euthyphro; and I hardly know him: his name is Meletus, and he is of the deme of Pitthis. Perhaps you may remember his appearance; he has a beak, and long straight hair, and a beard which is ill grown.
    EUTHYPHRO: No, I do not remember him, Socrates. But what is the charge which he brings against you?

    SOCRATES: What is the charge? Well, a very serious charge, which shows a good deal of character in the young man, and for which he is certainly not to be despised. He says he knows how the youth are corrupted and who are their corruptors. I fancy that he must be a wise man, and seeing that I am the reverse of a wise man, he has found me out, and is going to accuse me of corrupting his young friends. And of this our mother the state is to be the judge. Of all our political men he is the only one

    who seems to me to begin in the right way, with the cultivation of

    virtue in youth; like a good husbandman, he makes the young shoots his

    first care, and clears away us who are the destroyers of them. This is

    only the first step; he will afterwards attend to the elder branches;

    and if he goes on as he has begun, he will be a very great public

    benefactor.

    EUTHYPHRO: I hope that he may; but I rather fear, Socrates, that the

    opposite will turn out to be the truth. My opinion is that in attacking

    you he is simply aiming a blow at the foundation of the state. But in

    what way does he say that you corrupt the young?

    SOCRATES: He brings a wonderful accusation against me, which at first

    hearing excites surprise: he says that I am a poet or maker of gods, and

    that I invent new gods and deny the existence of old ones; this is the

    ground of his indictment.

    EUTHYPHRO: I understand, Socrates; he means to attack you about the

    familiar sign which occasionally, as you say, comes to you. He thinks

    that you are a neologian, and he is going to have you up before the

    court for this. He knows that such a charge is readily received by the

    world, as I myself know too well; for when I speak in the assembly about

    divine things, and foretell the future to them, they laugh at me and

    think me a madman. Yet every word that I say is true. But they are

    jealous of us all; and we must be brave and go at them.

    SOCRATES: Their laughter, friend Euthyphro, is not a matter of much consequence. For a man may be thought wise; but the Athenians, I suspect, do not much trouble themselves about him until he begins to impart his wisdom to others, and then for some reason or other, perhaps, as you say, from jealousy, they are angry.

    EUTHYPHRO: I am never likely to try their temper in this way.

    SOCRATES: I dare say not, for you are reserved in your behaviour, and

    seldom impart your wisdom. But I have a benevolent habit of pouring out

    myself to everybody, and would even pay for a listener, and I am afraid

    that the Athenians may think me too talkative. Now if, as I was saying,

    they would only laugh at me, as you say that they laugh at you, the

    time might pass gaily enough in the court; but perhaps they may be in

    earnest, and then what the end will be you soothsayers only can predict.

    EUTHYPHRO: I dare say that the affair will end in nothing, Socrates, and

    that you will win your cause; and I think that I shall win my own.

    SOCRATES: And what is your suit, Euthyphro? are you the pursuer or the defendant?

    EUTHYPHRO: I am the pursuer.

    SOCRATES: Of whom?

    EUTHYPHRO: You will think me mad when I tell you.

    SOCRATES: Why, has the fugitive wings?

    EUTHYPHRO: Nay, he is not very volatile at his time of life.

    SOCRATES: Who is he?

    EUTHYPHRO: My father.

    SOCRATES: Your father! my good man?

    EUTHYPHRO: Yes.

    SOCRATES: And of what is he accused?

    EUTHYPHRO: Of murder, Socrates.

    SOCRATES: By the powers, Euthyphro! how little does the common herd know of the nature of right and truth. A man must be an extraordinary man, and have made great strides in wisdom, before he could have seen his way to bring such an action.

    EUTHYPHRO: Indeed, Socrates, he must.

    SOCRATES: I suppose that the man whom your father murdered was one of your relatives–clearly he was; for if he had been a stranger you would never have thought of prosecuting him.

    EUTHYPHRO: I am amused, Socrates, at your making a distinction between one who is a relation and one who is not a relation; for surely the pollution is the same in either case, if you knowingly associate with the murderer when you ought to clear yourself and him by proceeding against him. The real question is whether the murdered man has been justly slain. If justly, then your duty is to let the matter alone; but

    if unjustly, then even if the murderer lives under the same roof with

    you and eats at the same table, proceed against him. Now the man who is dead was a poor dependant of mine who worked for us as a field laborer on our farm in Naxos, and one day in a fit of drunken passion he got into a quarrel with one of our domestic servants and slew him. My father bound him hand and foot and threw him into a ditch, and then sent to Athens to ask of a diviner what he should do with him. Meanwhile he never attended to him and took no care about him, for he regarded him as a murderer; and thought that no great harm would be done even if he did die. Now this was just what happened. For such was the effect of cold and hunger and chains upon him, that before the messenger returned from the diviner, he was dead. And my father and family are angry with me for taking the part of the murderer and prosecuting my father. They say that he did not kill him, and that if he did, the dead man was but a murderer, and I ought not to take any notice, for that a son is impious who prosecutes a father. Which shows, Socrates, how little they know what the gods think about piety and impiety.

    SOCRATES: Good heavens, Euthyphro! and is your knowledge of religion

    and of things pious and impious so very exact, that, supposing the

    circumstances to be as you state them, you are not afraid lest you too

    may be doing an impious thing in bringing an action against your father?

    EUTHYPHRO: The best of Euthyphro, and that which distinguishes him,

    Socrates, from other men, is his exact knowledge of all such matters.

    What should I be good for without it?

    SOCRATES: Rare friend! I think that I cannot do better than be your

    disciple. Then before the trial with Meletus comes on I shall challenge

    him, and say that I have always had a great interest in religious

    questions, and now, as he charges me with rash imaginations and

    innovations in religion, I have become your disciple. You, Meletus, as

    I shall say to him, acknowledge Euthyphro to be a great theologian, and

    sound in his opinions; and if you approve of him you ought to approve of me, and not have me into court; but if you disapprove, you should begin by indicting him who is my teacher, and who will be the ruin, not of the young, but of the old; that is to say, of myself whom he instructs, and of his old father whom he admonishes and chastises. And if Meletus refuses to listen to me, but will go on, and will not shift the indictment from me to you, I cannot do better than repeat this challenge in the court.

    EUTHYPHRO: Yes, indeed, Socrates; and if he attempts to indict me I am

    mistaken if I do not find a flaw in him; the court shall have a great

    deal more to say to him than to me.

    SOCRATES: And I, my dear friend, knowing this, am desirous of becoming

    your disciple. For I observe that no one appears to notice you–not even

    this Meletus; but his sharp eyes have found me out at once, and he has

    indicted me for impiety. And therefore, I adjure you to tell me the

    nature of piety and impiety, which you said that you knew so well, and

    of murder, and of other offences against the gods. What are they? Is

    not piety in every action always the same? and impiety, again–is it not

    always the opposite of piety, and also the same with itself, having, as

    impiety, one notion which includes whatever is impious?

    EUTHYPHRO: To be sure, Socrates.

    SOCRATES: And what is piety, and what is impiety?

    EUTHYPHRO: Piety is doing as I am doing; that is to say, prosecuting any

    one who is guilty of murder, sacrilege, or of any similar crime–whether

    he be your father or mother, or whoever he may be–that makes no

    difference; and not to prosecute them is impiety. And please to

    consider, Socrates, what a notable proof I will give you of the truth

    of my words, a proof which I have already given to others:–of the

    principle, I mean, that the impious, whoever he may be, ought not to go

    unpunished. For do not men regard Zeus as the best and most righteous of

    the gods?–and yet they admit that he bound his father (Cronos) because

    he wickedly devoured his sons, and that he too had punished his own

    father (Uranus) for a similar reason, in a nameless manner. And yet when

    I proceed against my father, they are angry with me. So inconsistent are

    they in their way of talking when the gods are concerned, and when I am

    concerned.

    SOCRATES: May not this be the reason, Euthyphro, why I am charged with

    impiety–that I cannot away with these stories about the gods? and

    therefore I suppose that people think me wrong. But, as you who are well

    informed about them approve of them, I cannot do better than assent to

    your superior wisdom. What else can I say, confessing as I do, that

    I know nothing about them? Tell me, for the love of Zeus, whether you

    really believe that they are true.

    EUTHYPHRO: Yes, Socrates; and things more wonderful still, of which the

    world is in ignorance.

    SOCRATES: And do you really believe that the gods fought with one

    another, and had dire quarrels, battles, and the like, as the poets

    say, and as you may see represented in the works of great artists?

    The temples are full of them; and notably the robe of Athene, which is

    carried up to the Acropolis at the great Panathenaea, is embroidered

    with them. Are all these tales of the gods true, Euthyphro?

    EUTHYPHRO: Yes, Socrates; and, as I was saying, I can tell you, if you

    would like to hear them, many other things about the gods which would

    quite amaze you.

    SOCRATES: I dare say; and you shall tell me them at some other time when

    I have leisure. But just at present I would rather hear from you a

    more precise answer, which you have not as yet given, my friend, to the

    question, What is ‘piety’? When asked, you only replied, Doing as you

    do, charging your father with murder.

    EUTHYPHRO: And what I said was true, Socrates.

    SOCRATES: No doubt, Euthyphro; but you would admit that there are many

    other pious acts?

    EUTHYPHRO: There are.

    SOCRATES: Remember that I did not ask you to give me two or three

    examples of piety, but to explain the general idea which makes all pious

    things to be pious. Do you not recollect that there was one idea which

    made the impious impious, and the pious pious?

    EUTHYPHRO: I remember.

    SOCRATES: Tell me what is the nature of this idea, and then I shall

    have a standard to which I may look, and by which I may measure actions,

    whether yours or those of any one else, and then I shall be able to say

    that such and such an action is pious, such another impious.

    EUTHYPHRO: I will tell you, if you like.

    SOCRATES: I should very much like.

    EUTHYPHRO: Piety, then, is that which is dear to the gods, and impiety

    is that which is not dear to them.

    SOCRATES: Very good, Euthyphro; you have now given me the sort of answer

    which I wanted. But whether what you say is true or not I cannot as yet

    tell, although I make no doubt that you will prove the truth of your

    words.

    EUTHYPHRO: Of course.

    SOCRATES: Come, then, and let us examine what we are saying. That thing

    or person which is dear to the gods is pious, and that thing or person

    which is hateful to the gods is impious, these two being the extreme

    opposites of one another. Was not that said?

    EUTHYPHRO: It was.

    SOCRATES: And well said?

    EUTHYPHRO: Yes, Socrates, I thought so; it was certainly said.

    SOCRATES: And further, Euthyphro, the gods were admitted to have

    enmities and hatreds and differences?

    EUTHYPHRO: Yes, that was also said.

    SOCRATES: And what sort of difference creates enmity and anger? Suppose

    for example that you and I, my good friend, differ about a number; do

    differences of this sort make us enemies and set us at variance with one

    another? Do we not go at once to arithmetic, and put an end to them by a

    sum?

    EUTHYPHRO: True.

    SOCRATES: Or suppose that we differ about magnitudes, do we not quickly

    end the differences by measuring?

    EUTHYPHRO: Very true.

    SOCRATES: And we end a controversy about heavy and light by resorting to

    a weighing machine?

    EUTHYPHRO: To be sure.

    SOCRATES: But what differences are there which cannot be thus decided,

    and which therefore make us angry and set us at enmity with one another?

    I dare say the answer does not occur to you at the moment, and therefore

    I will suggest that these enmities arise when the matters of difference

    are the just and unjust, good and evil, honourable and dishonourable.

    Are not these the points about which men differ, and about which when we

    are unable satisfactorily to decide our differences, you and I and all

    of us quarrel, when we do quarrel? (Compare Alcib.)

    EUTHYPHRO: Yes, Socrates, the nature of the differences about which we

    quarrel is such as you describe.

    SOCRATES: And the quarrels of the gods, noble Euthyphro, when they

    occur, are of a like nature?

    EUTHYPHRO: Certainly they are.

    SOCRATES: They have differences of opinion, as you say, about good and

    evil, just and unjust, honourable and dishonourable: there would

    have been no quarrels among them, if there had been no such

    differences–would there now?

    EUTHYPHRO: You are quite right.

    SOCRATES: Does not every man love that which he deems noble and just and

    good, and hate the opposite of them?

    EUTHYPHRO: Very true.

    SOCRATES: But, as you say, people regard the same things, some as just

    and others as unjust,–about these they dispute; and so there arise wars

    and fightings among them.

    EUTHYPHRO: Very true.

    SOCRATES: Then the same things are hated by the gods and loved by the gods, and are both hateful and dear to them?
    EUTHYPHRO: True.
    SOCRATES: And upon this view the same things, Euthyphro, will be pious and also impious?
    EUTHYPHRO: So I should suppose.
    SOCRATES: Then, my friend, I remark with surprise that you have not answered the question which I asked. For I certainly did not ask you to tell me what action is both pious and impious: but now it would seem that what is loved by the gods is also hated by them. And therefore, Euthyphro, in thus chastising your father you may very likely be doing what is agreeable to Zeus but disagreeable to Cronos or Uranus, and what is acceptable to Hephaestus but unacceptable to Here, and there may be other gods who have similar differences of opinion.
    EUTHYPHRO: But I believe, Socrates, that all the gods would be agreed as to the propriety of punishing a murderer: there would be no difference of opinion about that.
    SOCRATES: Well, but speaking of men, Euthyphro, did you ever hear any one arguing that a murderer or any sort of evil-doer ought to be let off?
    EUTHYPHRO: I should rather say that these are the questions which they are always arguing, especially in courts of law: they commit all sorts of crimes, and there is nothing which they will not do or say in their own defence.
    SOCRATES: But do they admit their guilt, Euthyphro, and yet say that they ought not to be punished?
    EUTHYPHRO: No; they do not.
    SOCRATES: Then there are some things which they do not venture to say and do: for they do not venture to argue that the guilty are to be unpunished, but they deny their guilt, do they not?
    EUTHYPHRO: Yes.
    SOCRATES: Then they do not argue that the evil-doer should not be punished, but they argue about the fact of who the evil-doer is, and what he did and when?
    EUTHYPHRO: True.

    SOCRATES: And the gods are in the same case, if as you assert they

    quarrel about just and unjust, and some of them say while others deny that injustice is done among them. For surely neither God nor man will ever venture to say that the doer of injustice is not to be punished?

    EUTHYPHRO: That is true, Socrates, in the main.
    SOCRATES: But they join issue about the particulars–gods and men alike; and, if they dispute at all, they dispute about some act which is called in question, and which by some is affirmed to be just, by others to be unjust. Is not that true?

    EUTHYPHRO: Quite true.

    SOCRATES: Well then, my dear friend Euthyphro, do tell me, for my better instruction and information, what proof have you that in the opinion of all the gods a servant who is guilty of murder, and is put in chains by the master of the dead man, and dies because he is put in chains before he who bound him can learn from the interpreters of the gods what he ought to do with him, dies unjustly; and that on behalf of such an one a son ought to proceed against his father and accuse him of murder. How would you show that all the gods absolutely agree in approving of his act? Prove to me that they do, and I will applaud your wisdom as long as I live.
    EUTHYPHRO: It will be a difficult task; but I could make the matter very clear indeed to you.
    SOCRATES: I understand; you mean to say that I am not so quick of apprehension as the judges: for to them you will be sure to prove that the act is unjust, and hateful to the gods.
    EUTHYPHRO: Yes indeed, Socrates; at least if they will listen to me.

    SOCRATES: But they will be sure to listen if they find that you are a good speaker. There was a notion that came into my mind while you were speaking; I said to myself: ‘Well, and what if Euthyphro does prove to me that all the gods regarded the death of the serf as unjust, how do I know anything more of the nature of piety and impiety? for granting that this action may be hateful to the gods, still piety and impiety are not adequately defined by these distinctions, for that which is hateful to the gods has been shown to be also pleasing and dear to them.’ And therefore, Euthyphro, I do not ask you to prove this; I will suppose, if you like, that all the gods condemn and abominate such an action. But I will amend the definition so far as to say that what all the gods hate is impious, and what they love pious or holy; and what some of them love and others hate is both or neither. Shall this be our definition of piety and impiety?
    EUTHYPHRO: Why not, Socrates?
    SOCRATES: Why not! certainly, as far as I am concerned, Euthyphro, there is no reason why not. But whether this admission will greatly assist you in the task of instructing me as you promised, is a matter for you to consider.
    EUTHYPHRO: Yes, I should say that what all the gods love is pious and holy, and the opposite which they all hate, impious.

    SOCRATES: Ought we to enquire into the truth of this, Euthyphro, or simply to accept the mere statement on our own authority and that of others? What do you say?
    EUTHYPHRO: We should enquire; and I believe that the statement will stand the test of enquiry.
    SOCRATES: We shall know better, my good friend, in a little while. The point which I should first wish to understand is whether the pious or holy is beloved by the gods because it is holy, or holy because it is beloved of the gods.
    EUTHYPHRO: I do not understand your meaning, Socrates.
    SOCRATES: I will endeavour to explain: we, speak of carrying and we speak of being carried, of leading and being led, seeing and being seen. You know that in all such cases there is a difference, and you know also in what the difference lies?
    EUTHYPHRO: I think that I understand.
    SOCRATES: And is not that which is beloved distinct from that which loves?
    EUTHYPHRO: Certainly.
    SOCRATES: Well; and now tell me, is that which is carried in this state of carrying because it is carried, or for some other reason?
    EUTHYPHRO: No; that is the reason.
    SOCRATES: And the same is true of what is led and of what is seen?
    EUTHYPHRO: True.
    SOCRATES: And a thing is not seen because it is visible, but conversely, visible because it is seen; nor is a thing led because it is in the state of being led, or carried because it is in the state of being carried, but the converse of this. And now I think, Euthyphro, that my meaning will be intelligible; and my meaning is, that any state of action or passion implies previous action or passion. It does not become because it is becoming, but it is in a state of becoming because it becomes; neither does it suffer because it is in a state of suffering, but it is in a state of suffering because it suffers. Do you not agree?
    EUTHYPHRO: Yes.
    SOCRATES: Is not that which is loved in some state either of becoming or suffering?
    EUTHYPHRO: Yes.
    SOCRATES: And the same holds as in the previous instances; the state of being loved follows the act of being loved, and not the act the state.
    EUTHYPHRO: Certainly.

    SOCRATES: And what do you say of piety, Euthyphro: is not piety, according to your definition, loved by all the gods?
    EUTHYPHRO: Yes.

    SOCRATES: Because it is pious or holy, or for some other reason?

    EUTHYPHRO: No, that is the reason.

    SOCRATES: It is loved because it is holy, not holy because it is loved?

    EUTHYPHRO: Yes.

    SOCRATES: And that which is dear to the gods is loved by them, and is in a state to be loved of them because it is loved of them?

    EUTHYPHRO: Certainly.

    SOCRATES: Then that which is dear to the gods, Euthyphro, is not holy, nor is that which is holy loved of God, as you affirm; but they are two different things.

    EUTHYPHRO: How do you mean, Socrates?

    SOCRATES: I mean to say that the holy has been acknowledged by us to be loved of God because it is holy, not to be holy because it is loved.

    EUTHYPHRO: Yes.

    SOCRATES: But that which is dear to the gods is dear to them because it

    is loved by them, not loved by them because it is dear to them.

    EUTHYPHRO: True.

    SOCRATES: But, friend Euthyphro, if that which is holy is the same with that which is dear to God, and is loved because it is holy, then that which is dear to God would have been loved as being dear to God; but if that which is dear to God is dear to him because loved by him, then that which is holy would have been holy because loved by him. But now you see that the reverse is the case, and that they are quite different from one another. For one (theophiles) is of a kind to be loved cause it is loved, and the other (osion) is loved because it is of a kind to be loved. Thus you appear to me, Euthyphro, when I ask you what is the essence of holiness, to offer an attribute only, and not the essence–the attribute of being loved by all the gods. But you still refuse to explain to me the nature of holiness. And therefore, if you please, I will ask you not to hide your treasure, but to tell me once more what holiness or piety really is, whether dear to the gods or not(for that is a matter about which we will not quarrel); and what is impiety?

    EUTHYPHRO: I really do not know, Socrates, how to express what I mean. For somehow or other our arguments, on whatever ground we rest them, seem to turn round and walk away from us.

    SOCRATES: Your words, Euthyphro, are like the handiwork of my ancestor

    Daedalus; and if I were the sayer or propounder of them, you might say

    that my arguments walk away and will not remain fixed where they are

    placed because I am a descendant of his. But now, since these notions

    are your own, you must find some other gibe, for they certainly, as you

    yourself allow, show an inclination to be on the move.

    EUTHYPHRO: Nay, Socrates, I shall still say that you are the Daedalus

    who sets arguments in motion; not I, certainly, but you make them

    move or go round, for they would never have stirred, as far as I am

    concerned.

    SOCRATES: Then I must be a greater than Daedalus: for whereas he only made his own inventions to move, I move those of other people as well.

    And the beauty of it is, that I would rather not. For I would give the

    wisdom of Daedalus, and the wealth of Tantalus, to be able to detain

    them and keep them fixed. But enough of this. As I perceive that you are

    lazy, I will myself endeavour to show you how you might instruct me in

    the nature of piety; and I hope that you will not grudge your labour.

    Tell me, then–Is not that which is pious necessarily just?

    EUTHYPHRO: Yes.

    SOCRATES: And is, then, all which is just pious? or, is that which is

    pious all just, but that which is just, only in part and not all, pious?

    EUTHYPHRO: I do not understand you, Socrates.

    SOCRATES: And yet I know that you are as much wiser than I am, as you

    are younger. But, as I was saying, revered friend, the abundance of your

    wisdom makes you lazy. Please to exert yourself, for there is no

    real difficulty in understanding me. What I mean I may explain by an

    illustration of what I do not mean. The poet (Stasinus) sings–

    ‘Of Zeus, the author and creator of all these things, You will not tell:

    for where there is fear there is also reverence.’

    Now I disagree with this poet. Shall I tell you in what respect?

    EUTHYPHRO: By all means.

    SOCRATES: I should not say that where there is fear there is also

    reverence; for I am sure that many persons fear poverty and disease, and

    the like evils, but I do not perceive that they reverence the objects of

    their fear.

    EUTHYPHRO: Very true.

    SOCRATES: But where reverence is, there is fear; for he who has a

    feeling of reverence and shame about the commission of any action, fears and is afraid of an ill reputation.

    EUTHYPHRO: No doubt.

    SOCRATES: Then we are wrong in saying that where there is fear there

    is also reverence; and we should say, where there is reverence there is

    also fear. But there is not always reverence where there is fear; for

    fear is a more extended notion, and reverence is a part of fear, just as

    the odd is a part of number, and number is a more extended notion than

    the odd. I suppose that you follow me now?

    EUTHYPHRO: Quite well.

    SOCRATES: That was the sort of question which I meant to raise when

    I asked whether the just is always the pious, or the pious always the

    just; and whether there may not be justice where there is not piety; for

    justice is the more extended notion of which piety is only a part. Do

    you dissent?

    EUTHYPHRO: No, I think that you are quite right.

    SOCRATES: Then, if piety is a part of justice, I suppose that we should

    enquire what part? If you had pursued the enquiry in the previous cases;

    for instance, if you had asked me what is an even number, and what part

    of number the even is, I should have had no difficulty in replying,

    a number which represents a figure having two equal sides. Do you not

    agree?

    EUTHYPHRO: Yes, I quite agree.

    SOCRATES: In like manner, I want you to tell me what part of justice

    is piety or holiness, that I may be able to tell Meletus not to do me

    injustice, or indict me for impiety, as I am now adequately instructed

    by you in the nature of piety or holiness, and their opposites.

    EUTHYPHRO: Piety or holiness, Socrates, appears to me to be that part of

    justice which attends to the gods, as there is the other part of justice

    which attends to men.

    SOCRATES: That is good, Euthyphro; yet still there is a little point

    about which I should like to have further information, What is the

    meaning of ‘attention’? For attention can hardly be used in the same

    sense when applied to the gods as when applied to other things. For

    instance, horses are said to require attention, and not every person is

    able to attend to them, but only a person skilled in horsemanship. Is it not so?

    EUTHYPHRO: Certainly.

    SOCRATES: I should suppose that the art of horsemanship is the art of attending to horses?

    EUTHYPHRO: Yes.

    SOCRATES: Nor is every one qualified to attend to dogs, but only the

    huntsman?

    EUTHYPHRO: True.

    SOCRATES: And I should also conceive that the art of the huntsman is the art of attending to dogs?

    EUTHYPHRO: Yes.

    SOCRATES: As the art of the oxherd is the art of attending to oxen?

    EUTHYPHRO: Very true.

    SOCRATES: In like manner holiness or piety is the art of attending to

    the gods?–that would be your meaning, Euthyphro?

    EUTHYPHRO: Yes.

    SOCRATES: And is not attention always designed for the good or benefit

    of that to which the attention is given? As in the case of horses,

    you may observe that when attended to by the horseman’s art they are

    benefited and improved, are they not?

    EUTHYPHRO: True.

    SOCRATES: As the dogs are benefited by the huntsman’s art, and the oxen

    by the art of the oxherd, and all other things are tended or attended

    for their good and not for their hurt?

    EUTHYPHRO: Certainly, not for their hurt.

    SOCRATES: But for their good?

    EUTHYPHRO: Of course.

    SOCRATES: And does piety or holiness, which has been defined to be the

    art of attending to the gods, benefit or improve them? Would you say

    that when you do a holy act you make any of the gods better?

    EUTHYPHRO: No, no; that was certainly not what I meant.

    SOCRATES: And I, Euthyphro, never supposed that you did. I asked you the question about the nature of the attention, because I thought that you did not.

    EUTHYPHRO: You do me justice, Socrates; that is not the sort of attention which I mean.

    SOCRATES: Good: but I must still ask what is this attention to the gods which is called piety?

    EUTHYPHRO: It is such, Socrates, as servants show to their masters.

    SOCRATES: I understand–a sort of ministration to the gods.

    EUTHYPHRO: Exactly.

    SOCRATES: Medicine is also a sort of ministration or service, having in view the attainment of some object–would you not say of health?

    EUTHYPHRO: I should.

    SOCRATES: Again, there is an art which ministers to the ship-builder with a view to the attainment of some result?

    EUTHYPHRO: Yes, Socrates, with a view to the building of a ship.

    SOCRATES: As there is an art which ministers to the house-builder with a view to the building of a house?

    EUTHYPHRO: Yes.

    SOCRATES: And now tell me, my good friend, about the art which ministers to the gods: what work does that help to accomplish? For you must surely know if, as you say, you are of all men living the one who is best instructed in religion.

    EUTHYPHRO: And I speak the truth, Socrates.

    SOCRATES: Tell me then, oh tell me–what is that fair work which the gods do by the help of our ministrations?

    EUTHYPHRO: Many and fair, Socrates, are the works which they do.

    SOCRATES: Why, my friend, and so are those of a general. But the chief of them is easily told. Would you not say that victory in war is the chief of them?

    EUTHYPHRO: Certainly.

    SOCRATES: Many and fair, too, are the works of the husbandman, if I am not mistaken; but his chief work is the production of food from the earth?
    EUTHYPHRO: Exactly.
    SOCRATES: And of the many and fair things done by the gods, which is the chief or principal one?
    EUTHYPHRO: I have told you already, Socrates, that to learn all these things accurately will be very tiresome. Let me simply say that piety or holiness is learning how to please the gods in word and deed, by prayers and sacrifices. Such piety is the salvation of families and states, just as the impious, which is unpleasing to the gods, is their ruin and destruction.

    SOCRATES: I think that you could have answered in much fewer words the chief question which I asked, Euthyphro, if you had chosen. But I see plainly that you are not disposed to instruct me–clearly not: else why, when we reached the point, did you turn aside? Had you only answered me I should have truly learned of you by this time the nature of piety. Now, as the asker of a question is necessarily dependent on the answerer, whither he leads I must follow; and can only ask again, what is the pious, and what is piety? Do you mean that they are a sort of science of praying and sacrificing?

    EUTHYPHRO: Yes, I do.

    SOCRATES: And sacrificing is giving to the gods, and prayer is asking of the gods?

    EUTHYPHRO: Yes, Socrates.

    SOCRATES: Upon this view, then, piety is a science of asking and giving?

    EUTHYPHRO: You understand me capitally, Socrates.

    SOCRATES: Yes, my friend; the reason is that I am a votary of your

    science, and give my mind to it, and therefore nothing which you say will be thrown away upon me. Please then to tell me, what is the nature of this service to the gods? Do you mean that we prefer requests and give gifts to them?

    EUTHYPHRO: Yes, I do.

    SOCRATES: Is not the right way of asking to ask of them what we want?

    EUTHYPHRO: Certainly.

    SOCRATES: And the right way of giving is to give to them in return what they want of us. There would be no meaning in an art which gives to any one that which he does not want.

    EUTHYPHRO: Very true, Socrates.

    SOCRATES: Then piety, Euthyphro, is an art which gods and men have of doing business with one another?

    EUTHYPHRO: That is an expression which you may use, if you like.

    SOCRATES: But I have no particular liking for anything but the truth. I

    wish, however, that you would tell me what benefit accrues to the gods from our gifts. There is no doubt about what they give to us; for there is no good thing which they do not give; but how we can give any good thing to them in return is far from being equally clear. If they give everything and we give nothing, that must be an affair of business in which we have very greatly the advantage of them.

    EUTHYPHRO: And do you imagine, Socrates, that any benefit accrues to the gods from our gifts?

    SOCRATES: But if not, Euthyphro, what is the meaning of gifts which are conferred by us upon the gods?

    EUTHYPHRO: What else, but tributes of honour; and, as I was just now

    saying, what pleases them?

    SOCRATES: Piety, then, is pleasing to the gods, but not beneficial or dear to them?

    EUTHYPHRO: I should say that nothing could be dearer.

    SOCRATES: Then once more the assertion is repeated that piety is dear to the gods?

    EUTHYPHRO: Certainly.

    SOCRATES: And when you say this, can you wonder at your words not standing firm, but walking away? Will you accuse me of being the Daedalus who makes them walk away, not perceiving that there is another and far greater artist than Daedalus who makes them go round in a circle, and he is yourself; for the argument, as you will perceive, comes round to the same point. Were we not saying that the holy or pious was not the same with that which is loved of the gods? Have you forgotten?

    EUTHYPHRO: I quite remember.

    SOCRATES: And are you not saying that what is loved of the gods is holy; and is not this the same as what is dear to them–do you see?

    EUTHYPHRO: True.

    SOCRATES: Then either we were wrong in our former assertion; or, if we were right then, we are wrong now.

    EUTHYPHRO: One of the two must be true.

    SOCRATES: Then we must begin again and ask, What is piety? That is an enquiry which I shall never be weary of pursuing as far as in me lies; and I entreat you not to scorn me, but to apply your mind to the utmost, and tell me the truth. For, if any man knows, you are he; and therefore I must detain you, like Proteus, until you tell. If you had not certainly known the nature of piety and impiety, I am confident that you would never, on behalf of a serf, have charged your aged father with murder. You would not have run such a risk of doing wrong in the sight of the gods, and you would have had too much respect for the opinions of men. I am sure, therefore, that you know the nature of piety and impiety. Speak out then, my dear Euthyphro, and do not hide your knowledge.
    EUTHYPHRO: Another time, Socrates; for I am in a hurry, and must go now.
    SOCRATES: Alas! my companion, and will you leave me in despair? I was hoping that you would instruct me in the nature of piety and impiety; and then I might have cleared myself of Meletus and his indictment. I would have told him that I had been enlightened by Euthyphro, and had given up rash innovations and speculations, in which I indulged only through ignorance, and that now I am about to lead a better life.

    TIMAEUS

    Section 1.

    Socrates begins the Timaeus with a summary of the Republic. He lightly touches upon a few points,–the division of labor and distribution of the citizens into classes, the double nature and training of the guardians, the community of property and of women and children. But he makes no mention of the second education, or of the government of philosophers.

    And now he desires to see the ideal State set in motion; he would like to know how she behaved in some great struggle. But he is unable to invent such a narrative himself; and he is afraid that the poets are equally incapable; for, although he pretends to have nothing to say against them, he remarks that they are a tribe of imitators, who can only describe what they have seen. And he fears that the Sophists, who are plentifully supplied with graces of speech, in their erratic way of life having never had a city or house of their own, may through want of experience err in their conception of philosophers and statesmen. ‘And therefore to you I turn, Timaeus, citizen of Locris, who are at once a philosopher and a statesman, and to you, Critias, whom all Athenians know to be similarly accomplished, and to Hermocrates, who is also fitted by nature and education to share in our discourse.’

    HERMOCRATES: ‘We will do our best, and have been already preparing; for on our way home, Critias told us of an ancient tradition, which I wish, Critias, that you would repeat to Socrates.’ ‘I will, if Timaeus approves.’ ‘I approve.’ Listen then, Socrates, to a tale of Solon’s, who, being the friend of Dropidas my great-grandfather, told it to my grandfather Critias, and he told me. The narrative related to ancient famous actions of the Athenian people, and to one especially, which I will rehearse in honour of you and of the goddess. Critias when he told this tale of the olden time, was ninety years old, I being not more than ten. The occasion of the rehearsal was the day of the Apaturia called the Registration of Youth, at which our parents gave prizes for recitation. Some poems of Solon were recited by the boys. They had not at that time gone out of fashion, and the recital of them led some one to say, perhaps in compliment to Critias, that Solon was not only the wisest of men but also the best of poets. The old man brightened up

    at hearing this, and said: Had Solon only had the leisure which was

    required to complete the famous legend which he brought with him from

    Egypt he would have been as distinguished as Homer and Hesiod. ‘And what

    was the subject of the poem?’ said the person who made the remark. The

    subject was a very noble one; he described the most famous action in

    which the Athenian people were ever engaged. But the memory of their

    exploits has passed away owing to the lapse of time and the extinction of the actors. ‘Tell us,’ said the other, ‘the whole story, and where Solon heard the story.’ He replied–There is at the head of the Egyptian Delta, where the river Nile divides, a city and district called Sais; the city was the birthplace of King Amasis, and is under the protection

    of the goddess Neith or Athene. The citizens have a friendly feeling

    towards the Athenians, believing themselves to be related to them.

    Hither came Solon, and was received with honour; and here he first

    learnt, by conversing with the Egyptian priests, how ignorant he and

    his countrymen were of antiquity. Perceiving this, and with the view of

    eliciting information from them, he told them the tales of Phoroneus and

    Niobe, and also of Deucalion and Pyrrha, and he endeavoured to count

    the generations which had since passed. Thereupon an aged priest said to

    him: ‘O Solon, Solon, you Hellenes are ever young, and there is no old

    man who is a Hellene.’ ‘What do you mean?’ he asked. ‘In mind,’ replied

    the priest, ‘I mean to say that you are children; there is no opinion

    or tradition of knowledge among you which is white with age; and I

    will tell you why. Like the rest of mankind you have suffered from

    convulsions of nature, which are chiefly brought about by the two great

    agencies of fire and water. The former is symbolized in the Hellenic

    tale of young Phaethon who drove his father’s horses the wrong way, and

    having burnt up the earth was himself burnt up by a thunderbolt. For

    there occurs at long intervals a derangement of the heavenly bodies, and

    then the earth is destroyed by fire. At such times, and when fire is the

    agent, those who dwell by rivers or on the seashore are safer than those

    who dwell upon high and dry places, who in their turn are safer when

    the danger is from water. Now the Nile is our saviour from fire, and as

    there is little rain in Egypt, we are not harmed by water; whereas in

    other countries, when a deluge comes, the inhabitants are swept by the

    rivers into the sea. The memorials which your own and other nations

    have once had of the famous actions of mankind perish in the waters at

    certain periods; and the rude survivors in the mountains begin again,

    knowing nothing of the world before the flood. But in Egypt the

    traditions of our own and other lands are by us registered for ever in

    our temples. The genealogies which you have recited to us out of your

    own annals, Solon, are a mere children’s story. For in the first place,

    you remember one deluge only, and there were many of them, and you know

    nothing of that fairest and noblest race of which you are a seed or

    remnant. The memory of them was lost, because there was no written

    voice among you. For in the times before the great flood Athens was the

    greatest and best of cities and did the noblest deeds and had the best

    constitution of any under the face of heaven.’ Solon marvelled, and

    desired to be informed of the particulars. ‘You are welcome to hear

    them,’ said the priest, ‘both for your own sake and for that of the

    city, and above all for the sake of the goddess who is the common

    foundress of both our cities. Nine thousand years have elapsed since she

    founded yours, and eight thousand since she founded ours, as our annals

    record. Many laws exist among us which are the counterpart of yours as

    they were in the olden time. I will briefly describe them to you,

    and you shall read the account of them at your leisure in the sacred

    registers. In the first place, there was a caste of priests among the

    ancient Athenians, and another of artisans; also castes of shepherds,

    hunters, and husbandmen, and lastly of warriors, who, like the warriors

    of Egypt, were separated from the rest, and carried shields and spears,

    a custom which the goddess first taught you, and then the Asiatics, and

    we among Asiatics first received from her. Observe again, what care the

    law took in the pursuit of wisdom, searching out the deep things of the

    world, and applying them to the use of man. The spot of earth which the

    goddess chose had the best of climates, and produced the wisest men; in

    no other was she herself, the philosopher and warrior goddess, so likely

    to have votaries. And there you dwelt as became the children of the

    gods, excelling all men in virtue, and many famous actions are recorded

    of you. The most famous of them all was the overthrow of the island of

    Atlantis. This great island lay over against the Pillars of Heracles, in

    extent greater than Libya and Asia put together, and was the passage to

    other islands and to a great ocean of which the Mediterranean sea was

    only the harbour; and within the Pillars the empire of Atlantis reached

    in Europe to Tyrrhenia and in Libya to Egypt. This mighty power was

    arrayed against Egypt and Hellas and all the countries bordering on the

    Mediterranean. Then your city did bravely, and won renown over the

    whole earth. For at the peril of her own existence, and when the other Hellenes had deserted her, she repelled the invader, and of her own accord gave liberty to all the nations within the Pillars. A little while afterwards there were great earthquakes and floods, and your warrior race all sank into the earth; and the great island of Atlantis also disappeared in the sea. This is the explanation of the shallows which are found in that part of the Atlantic ocean.’

    Such was the tale, Socrates, which Critias heard from Solon; and I noticed when listening to you yesterday, how close the resemblance was between your city and citizens and the ancient Athenian State. But I would not speak at the time, because I wanted to refresh my memory.

    I had heard the old man when I was a child, and though I could not remember the whole of our yesterday’s discourse, I was able to recall every word of this, which is branded into my mind; and I am prepared, Socrates, to rehearse to you the entire narrative. The imaginary State which you were describing may be identified with the reality of Solon, and our antediluvian ancestors may be your citizens. ‘That is excellent, Critias, and very appropriate to a Panathenaic festival; the truth of the story is a great advantage.’ Then now let me explain to you the order of our entertainment; first, Timaeus, who is a natural philosopher, will speak of the origin of the world, going down to the creation of man, and then I shall receive the men whom he has created, and some of whom will have been educated by you, and introduce them to you as the lost Athenian citizens of whom the Egyptian record spoke.

    As the law of Solon prescribes, we will bring them into court and

    acknowledge their claims to citizenship. ‘I see,’ replied Socrates,

    ‘that I shall be well entertained; and do you, Timaeus, offer up a

    prayer and begin.’

    TIMAEUS: All men who have any right feeling, at the beginning of any enterprise, call upon the Gods; and he who is about to speak of the origin of the universe has a special need of their aid. May my words be acceptable to them, and may I speak in the manner which will be most intelligible to you and will best express my own meaning!

    First, I must distinguish between that which always is and never becomes and which is apprehended by reason and reflection, and that which always becomes and never is and is conceived by opinion with the help of sense.

    All that becomes and is created is the work of a cause, and that is fair which the artificer makes after an eternal pattern, but whatever is fashioned after a created pattern is not fair. Is the world created or uncreated?–that is the first question. Created, I reply, being visible and tangible and having a body, and therefore sensible; and if sensible, then created; and if created, made by a cause, and the cause is the ineffable father of all things, who had before him an eternal archetype.
    For to imagine that the archetype was created would be blasphemy, seeing that the world is the noblest of creations, and God is the best of causes. And the world being thus created according to the eternal pattern is the copy of something; and we may assume that words are akin to the matter of which they speak. What is spoken of the unchanging or intelligible must be certain and true; but what is spoken of the created image can only be probable; being is to becoming what truth is to belief. And amid the variety of opinions which have arisen about God and the nature of the world we must be content to take probability for our rule, considering that I, who am the speaker, and you, who are the judges, are only men; to probability we may attain but no further.

    SOCRATES: Excellent, Timaeus, I like your manner of approaching the subject–proceed.

    TIMAEUS: Why did the Creator make the world?…He was good, and therefore not jealous, and being free from jealousy he desired that all things should be like himself. Wherefore he set in order the visible

    world, which he found in disorder. Now he who is the best could

    only create the fairest; and reflecting that of visible things the

    intelligent is superior to the unintelligent, he put intelligence

    in soul and soul in body, and framed the universe to be the best and

    fairest work in the order of nature, and the world became a living soul through the providence of God.

    In the likeness of what animal was the world made?–that is the third

    question…The form of the perfect animal was a whole, and contained all intelligible beings, and the visible animal, made after the pattern of this, included all visible creatures.

    Are there many worlds or one only?–that is the fourth question…One only. For if in the original there had been more than one they would have been the parts of a third, which would have been the true pattern of the world; and therefore there is, and will ever be, but one created world. Now that which is created is of necessity corporeal and visible

    and tangible,–visible and therefore made of fire,–tangible and

    therefore solid and made of earth. But two terms must be united by a third, which is a mean between them; and had the earth been a surface only, one mean would have sufficed, but two means are required to unite

    solid bodies. And as the world was composed of solids, between the

    elements of fire and earth God placed two other elements of air and

    water, and arranged them in a continuous proportion–

    fire:air::air:water, and air:water::water:earth,

    and so put together a visible and palpable heaven, having harmony and

    friendship in the union of the four elements; and being at unity with

    itself it was indissoluble except by the hand of the framer. Each of the

    elements was taken into the universe whole and entire; for he considered

    that the animal should be perfect and one, leaving no remnants out of

    which another animal could be created, and should also be free from old

    age and disease, which are produced by the action of external forces.

    And as he was to contain all things, he was made in the all-containing

    form of a sphere, round as from a lathe and every way equidistant from

    the centre, as was natural and suitable to him. He was finished and

    smooth, having neither eyes nor ears, for there was nothing without

    him which he could see or hear; and he had no need to carry food to

    his mouth, nor was there air for him to breathe; and he did not require

    hands, for there was nothing of which he could take hold, nor feet, with

    which to walk. All that he did was done rationally in and by himself,

    and he moved in a circle turning within himself, which is the most

    intellectual of motions; but the other six motions were wanting to him; wherefore the universe had no feet or legs.

    And so the thought of God made a God in the image of a perfect body, having intercourse with himself and needing no other, but in every part harmonious and self-contained and truly blessed. The soul was first made by him–the elder to rule the younger; not in the order in which our wayward fancy has led us to describe them, but the soul first and afterwards the body. God took of the unchangeable and indivisible and also of the divisible and corporeal, and out of the two he made a third nature, essence, which was in a mean between them, and partook of the same and the other, the intractable nature of the other being compressed into the same. Having made a compound of all the three, he proceeded

    to divide the entire mass into portions related to one another in the

    ratios of 1, 2, 3, 4, 9, 8, 27, and proceeded to fill up the double and

    triple intervals thus–

      – over 1, 4/3, 3/2, – over 2, 8/3, 3, – over 4, 16/3, 6,  – over 8:

      – over 1, 3/2, 2,   – over 3, 9/2, 6, – over 9, 27/2, 18, – over 27;

    in which double series of numbers are two kinds of means; the one

    exceeds and is exceeded by equal parts of the extremes, e.g. 1, 4/3, 2;

    the other kind of mean is one which is equidistant from the extremes–2,

    4, 6. In this manner there were formed intervals of thirds, 3:2, of

    fourths, 4:3, and of ninths, 9:8. And next he filled up the intervals

    of a fourth with ninths, leaving a remnant which is in the ratio of

    256:243. The entire compound was divided by him lengthways into two parts, which he united at the centre like the letter X, and bent into an inner and outer circle or sphere, cutting one another again at a point over against the point at which they cross. The outer circle or sphere was named the sphere of the same–the inner, the sphere of the other or diverse; and the one revolved horizontally to the right, the other diagonally to the left. To the sphere of the same which was undivided he gave dominion, but the sphere of the other or diverse was distributed

    into seven unequal orbits, having intervals in ratios of twos and

    threes, three of either sort, and he bade the orbits move in opposite

    directions to one another–three of them, the Sun, Mercury, Venus,

    with equal swiftness, and the remaining four–the Moon, Saturn, Mars, Jupiter, with unequal swiftness to the three and to one another, but all in due proportion.

    When the Creator had made the soul he made the body within her; and the soul interfused everywhere from the centre to the circumference of heaven, herself turning in herself, began a divine life of rational and everlasting motion. The body of heaven is visible, but the soul is invisible, and partakes of reason and harmony, and is the best of creations, being the work of the best. And being composed of the same,

    the other, and the essence, these three, and also divided and bound

    in harmonical proportion, and revolving within herself–the soul when

    touching anything which has essence, whether divided or undivided, is

    stirred to utter the sameness or diversity of that and some other thing,

    and to tell how and when and where individuals are affected or related, whether in the world of change or of essence. When reason is in the neighborhood of sense, and the circle of the other or diverse is moving truly, then arise true opinions and beliefs; when reason is in the sphere of thought, and the circle of the same runs smoothly, then intelligence is perfected.

    When the Father who begat the world saw the image which he had made of the Eternal Gods moving and living, he rejoiced; and in his joy resolved, since the archetype was eternal, to make the creature eternal as far as this was possible. Wherefore he made an image of eternity which is time, having an uniform motion according to number, parted into months and days and years, and also having greater divisions of past,

    present, and future. These all apply to becoming in time, and have no

    meaning in relation to the eternal nature, which ever is and never was

    or will be; for the unchangeable is never older or younger, and when

    we say that he ‘was’ or ‘will be,’ we are mistaken, for these words are

    applicable only to becoming, and not to true being; and equally wrong

    are we in saying that what has become IS become and that what becomes IS becoming, and that the non-existent IS non-existent…These are the forms of time which imitate eternity and move in a circle measured by number.

    Thus was time made in the image of the eternal nature; and it was

    created together with the heavens, in order that if they were dissolved, it might perish with them. And God made the sun and moon and five other wanderers, as they are called, seven in all, and to each of them he gave a body moving in an orbit, being one of the seven orbits into which the circle of the other was divided. He put the moon in the orbit which was nearest to the earth, the sun in that next, the morning star and Mercury in the orbits which move opposite to the sun but with equal

    swiftness–this being the reason why they overtake and are overtaken by

    one another. All these bodies became living creatures, and learnt their

    appointed tasks, and began to move, the nearer more swiftly, the remoter

    more slowly, according to the diagonal movement of the other. And since this was controlled by the movement of the same, the seven planets in their courses appeared to describe spirals; and that appeared fastest which was slowest, and that which overtook others appeared to be overtaken by them. And God lighted a fire in the second orbit from the earth which is called the sun, to give light over the whole heaven, and to teach intelligent beings that knowledge of number which is derived from the revolution of the same. Thus arose day and night, which are the periods of the most intelligent nature; a month is created by the revolution of the moon, a year by that of the sun. Other periods of wonderful length and complexity are not observed by men in general; there is moreover a cycle or perfect year at the completion of which they all meet and coincide…To this end the stars came into being, that the created heaven might imitate the eternal nature.

    Thus far the universal animal was made in the divine image, but the other animals were not as yet included in him. And God created them according to the patterns or species of them which existed in the divine original. There are four of them: one of gods, another of birds, a third of fishes, and a fourth of animals. The gods were made in the form of a

    circle, which is the most perfect figure and the figure of the universe.

    They were created chiefly of fire, that they might be bright, and were

    made to know and follow the best, and to be scattered over the heavens,

    of which they were to be the glory. Two kinds of motion were assigned to

    them–first, the revolution in the same and around the same, in peaceful

    unchanging thought of the same; and to this was added a forward motion

    which was under the control of the same. Thus then the fixed stars were

    created, being divine and eternal animals, revolving on the same spot,

    and the wandering stars, in their courses, were created in the manner

    already described. The earth, which is our nurse, clinging around the

    pole extended through the universe, he made to be the guardian and

    artificer of night and day, first and eldest of gods that are in the

    interior of heaven. Vain would be the labour of telling all the

    figures of them, moving as in dance, and their juxta-positions and

    approximations, and when and where and behind what other stars they

    appear to disappear–to tell of all this without looking at a plan of

    them would be labour in vain.

    The knowledge of the other gods is beyond us, and we can only accept the traditions of the ancients, who were the children of the gods, as they said; for surely they must have known their own ancestors. Although they give no proof, we must believe them as is customary. They tell us that Oceanus and Tethys were the children of Earth and Heaven; that Phoreys, Cronos, and Rhea came in the next generation, and were followed by Zeus and Here, whose brothers and children are known to everybody.

    When all of them, both those who show themselves in the sky, and those

    who retire from view, had come into being, the Creator addressed them

    thus:–‘Gods, sons of gods, my works, if I will, are indissoluble. That

    which is bound may be dissolved, but only an evil being would dissolve

    that which is harmonious and happy. And although you are not immortal

    you shall not die, for I will hold you together. Hear me, then:–Three

    tribes of mortal beings have still to be created, but if created by me

    they would be like gods. Do ye therefore make them; I will implant in

    them the seed of immortality, and you shall weave together the mortal

    and immortal, and provide food for them, and receive them again in

    death.’ Thus he spake, and poured the remains of the elements into

    the cup in which he had mingled the soul of the universe. They were no

    longer pure as before, but diluted; and the mixture he distributed into

    souls equal in number to the stars, and assigned each to a star–then

    having mounted them, as in a chariot, he showed them the nature of the

    universe, and told them of their future birth and human lot. They were

    to be sown in the planets, and out of them was to come forth the most

    religious of animals, which would hereafter be called man. The souls

    were to be implanted in bodies, which were in a perpetual flux, whence,

    he said, would arise, first, sensation; secondly, love, which is a

    mixture of pleasure and pain; thirdly, fear and anger, and the opposite

    affections: and if they conquered these, they would live righteously,

    but if they were conquered by them, unrighteously. He who lived

    well would return to his native star, and would there have a blessed

    existence; but, if he lived ill, he would pass into the nature of a

    woman, and if he did not then alter his evil ways, into the likeness of

    some animal, until the reason which was in him reasserted her sway over

    the elements of fire, air, earth, water, which had engrossed her, and

    he regained his first and better nature. Having given this law to his

    creatures, that he might be guiltless of their future evil, he sowed

    them, some in the earth, some in the moon, and some in the other

    planets; and he ordered the younger gods to frame human bodies for them and to make the necessary additions to them, and to avert from them all but self-inflicted evil.

    Having given these commands, the Creator remained in his own nature. And his children, receiving from him the immortal principle, borrowed from the world portions of earth, air, fire, water, hereafter to be returned, which they fastened together, not with the adamantine bonds which bound themselves, but by little invisible pegs, making each separate body out of all the elements, subject to influx and efflux, and containing the courses of the soul. These swelling and surging as in a river moved irregularly and irrationally in all the six possible ways, forwards, backwards, right, left, up and down. But violent as were the internal and alimentary fluids, the tide became still more violent when the body came into contact with flaming fire, or the solid earth, or gliding

    waters, or the stormy wind; the motions produced by these impulses pass

    through the body to the soul and have the name of sensations. Uniting

    with the ever-flowing current, they shake the courses of the soul,

    stopping the revolution of the same and twisting in all sorts of ways

    the nature of the other, and the harmonical ratios of twos and threes

    and the mean terms which connect them, until the circles are bent

    and disordered and their motion becomes irregular. You may imagine a

    position of the body in which the head is resting upon the ground, and

    the legs are in the air, and the top is bottom and the left right. And

    something similar happens when the disordered motions of the soul come

    into contact with any external thing; they say the same or the other in

    a manner which is the very opposite of the truth, and they are false

    and foolish, and have no guiding principle in them. And when external impressions enter in, they are really conquered, though they seem to conquer.

    By reason of these affections the soul is at first without intelligence,

    but as time goes on the stream of nutriment abates, and the courses

    of the soul regain their proper motion, and apprehend the same and the

    other rightly, and become rational. The soul of him who has education

    is whole and perfect and escapes the worst disease, but, if a man’s

    education be neglected, he walks lamely through life and returns good

    for nothing to the world below. This, however, is an after-stage–at

    present, we are only concerned with the creation of the body and soul.

    The two divine courses were encased by the gods in a sphere which is called the head, and is the god and lord of us. And to this they gave the body to be a vehicle, and the members to be instruments, having the

    power of flexion and extension. Such was the origin of legs and arms.

    In the next place, the gods gave a forward motion to the human body,

    because the front part of man was the more honourable and had authority.

    And they put in a face in which they inserted organs to minister in all things to the providence of the soul. They first contrived the eyes, into which they conveyed a light akin to the light of day, making it flow through the pupils. When the light of the eye is surrounded by the light of day, then like falls upon like, and they unite and form one body which conveys to the soul the motions of visible objects. But when the visual ray goes forth into the darkness, then unlike falls upon unlike–the eye no longer sees, and we go to sleep. The fire or light, when kept in by the eyelids, equalizes the inward motions, and there is rest accompanied by few dreams; only when the greater motions remain

    they engender in us corresponding visions of the night. And now we shall be able to understand the nature of reflections in mirrors. The fires from within and from without meet about the smooth and bright surface

    of the mirror; and because they meet in a manner contrary to the usual mode, the right and left sides of the object are transposed. In a concave mirror the top and bottom are inverted, but this is no transposition.

    These are the second causes which God used as his ministers in fashioning the world. They are thought by many to be the prime causes, but they are not so; for they are destitute of mind and reason, and the

    lover of mind will not allow that there are any prime causes other

    than the rational and invisible ones–these he investigates first, and

    afterwards the causes of things which are moved by others, and which work by chance and without order. Of the second or concurrent causes of

    sight I have already spoken, and I will now speak of the higher purpose

    of God in giving us eyes. Sight is the source of the greatest benefits

    to us; for if our eyes had never seen the sun, stars, and heavens, the

    words which we have spoken would not have been uttered. The sight of

    them and their revolutions has given us the knowledge of number and

    time, the power of enquiry, and philosophy, which is the great blessing

    of human life; not to speak of the lesser benefits which even the vulgar

    can appreciate. God gave us the faculty of sight that we might behold

    the order of the heavens and create a corresponding order in our own

    erring minds. To the like end the gifts of speech and hearing were

    bestowed upon us; not for the sake of irrational pleasure, but in order

    that we might harmonize the courses of the soul by sympathy with the harmony of sound, and cure ourselves of our irregular and graceless ways.

    Thus far we have spoken of the works of mind; and there are other works done from necessity, which we must now place beside them; for the creation is made up of both, mind persuading necessity as far as possible to work out good. Before the heavens there existed fire, air, water, earth, which we suppose men to know, though no one has explained their nature, and we erroneously maintain them to be the letters or elements of the whole, although they cannot reasonably be compared even

    to syllables or first compounds. I am not now speaking of the first

    principles of things, because I cannot discover them by our present mode

    of enquiry. But as I observed the rule of probability at first, I will

    begin anew, seeking by the grace of God to observe it still.

    In our former discussion I distinguished two kinds of being–the

    unchanging or invisible, and the visible or changing. But now a

    third kind is required, which I shall call the receptacle or nurse of

    generation. There is a difficulty in arriving at an exact notion of this

    third kind, because the four elements themselves are of inexact natures

    and easily pass into one another, and are too transient to be detained

    by any one name; wherefore we are compelled to speak of water or fire,

    not as substances, but as qualities. They may be compared to images made

    of gold, which are continually assuming new forms. Somebody asks what

    they are; if you do not know, the safest answer is to reply that they

    are gold. In like manner there is a universal nature out of which all

    things are made, and which is like none of them; but they enter into and pass out of her, and are made after patterns of the true in a wonderful

    and inexplicable manner. The containing principle may be likened to a mother, the source or spring to a father, the intermediate nature to

    a child; and we may also remark that the matter which receives every

    variety of form must be formless, like the inodorous liquids which are

    prepared to receive scents, or the smooth and soft materials on which

    figures are impressed. In the same way space or matter is neither earth

    nor fire nor air nor water, but an invisible and formless being which

    receives all things, and in an incomprehensible manner partakes of the intelligible. But we may say, speaking generally, that fire is that part of this nature which is inflamed, water that which is moistened, and the like.

    Let me ask a question in which a great principle is involved: Is there

    an essence of fire and the other elements, or are there only fires

    visible to sense? I answer in a word: If mind is one thing and true

    opinion another, then there are self-existent essences; but if mind is

    the same with opinion, then the visible and corporeal is most real. But they are not the same, and they have a different origin and nature.

    The one comes to us by instruction, the other by persuasion, the one is rational, the other is irrational; the one is movable by persuasion, the other immovable; the one is possessed by every man, the other by the gods and by very few men. And we must acknowledge that as there are two kinds of knowledge, so there are two kinds of being corresponding to them; the one uncreated, indestructible, immovable, which is seen by intelligence only; the other created, which is always becoming in place and vanishing out of place, and is apprehended by opinion and sense.

    There is also a third nature–that of space, which is indestructible,

    and is perceived by a kind of spurious reason without the help of

    sense. This is presented to us in a dreamy manner, and yet is said to

    be necessary, for we say that all things must be somewhere in space. For they are the images of other things and must therefore have a separate existence and exist in something (i.e. in space). But true reason assures us that while two things (i.e. the idea and the image) are different they cannot inhere in one another, so as to be one and two at the same time.

    To sum up: Being and generation and space, these three, existed before

    the heavens, and the nurse or vessel of generation, moistened by water

    and inflamed by fire, and taking the forms of air and earth, assumed

    various shapes. By the motion of the vessel, the elements were divided, and like grain winnowed by fans, the close and heavy particles settled in one place, the light and airy ones in another. At first they were without reason and measure, and had only certain faint traces of themselves, until God fashioned them by figure and number. In this, as in every other part of creation, I suppose God to have made things, as far as was possible, fair and good, out of things not fair and good.

    And now I will explain to you the generation of the world by a method with which your scientific training will have made you familiar. Fire, air, earth, and water are bodies and therefore solids, and solids are contained in planes, and plane rectilinear figures are made up of triangles. Of triangles there are two kinds; one having the opposite sides equal (isosceles), the other with unequal sides (scalene). These we may fairly assume to be the original elements of fire and the other bodies; what principles are prior to these God only knows, and he of men whom God loves. Next, we must determine what are the four most beautiful figures which are unlike one another and yet sometimes capable of resolution into one another…Of the two kinds of triangles the equal-sided has but one form, the unequal-sided has an infinite variety of forms; and there is none more beautiful than that which forms the half of an equilateral triangle. Let us then choose two triangles; one, the isosceles, the other, that form of scalene which has the square of the longer side three times as great as the square of the lesser side; and affirm that, out of these, fire and the other elements have been constructed.

    I was wrong in imagining that all the four elements could be generated into and out of one another. For as they are formed, three of them from the triangle which has the sides unequal, the fourth from the triangle which has equal sides, three can be resolved into one another, but the fourth cannot be resolved into them nor they into it. So much for their passage into one another: I must now speak of their construction. From the triangle of which the hypotenuse is twice the lesser side the three first regular solids are formed–first, the equilateral pyramid or tetrahedron; secondly, the octahedron; thirdly, the icosahedron; and from the isosceles triangle is formed the cube. And there is a fifth figure (which is made out of twelve pentagons), the dodecahedron–this God used as a model for the twelvefold division of the Zodiac.

    Let us now assign the geometrical forms to their respective elements.

    The cube is the most stable of them because resting on a quadrangular plane surface, and composed of isosceles triangles. To the earth then, which is the most stable of bodies and the most easily modelled of them, may be assigned the form of a cube; and the remaining forms to the other elements,–to fire the pyramid, to air the octahedron, and to water the icosahedron,–according to their degrees of lightness or heaviness or power, or want of power, of penetration. The single particles of any of the elements are not seen by reason of their smallness; they only become

    visible when collected. The ratios of their motions, numbers, and

    other properties, are ordered by the God, who harmonized them as far as necessity permitted.

    The probable conclusion is as follows:–Earth, when dissolved by the more penetrating element of fire, whether acting immediately or through the medium of air or water, is decomposed but not transformed. Water, when divided by fire or air, becomes one part fire, and two parts air.

    A volume of air divided becomes two of fire. On the other hand, when condensed, two volumes of fire make a volume of air; and two and a half parts of air condense into one of water. Any element which is fastened upon by fire is cut by the sharpness of the triangles, until at length, coalescing with the fire, it is at rest; for similars are not affected by similars. When two kinds of bodies quarrel with one another, then the tendency to decomposition continues until the smaller either escapes to its kindred element or becomes one with its conqueror. And this tendency in bodies to condense or escape is a source of motion…Where there is

    motion there must be a mover, and where there is a mover there must be

    something to move. These cannot exist in what is uniform, and therefore

    motion is due to want of uniformity. But then why, when things are

    divided after their kinds, do they not cease from motion? The answer is, that the circular motion of all things compresses them, and as ‘nature abhors a vacuum,’ the finer and more subtle particles of the lighter elements, such as fire and air, are thrust into the interstices of the larger, each of them penetrating according to their rarity, and thus all the elements are on their way up and down everywhere and always into their own places. Hence there is a principle of inequality, and therefore of motion, in all time.

    In the next place, we may observe that there are different kinds of

    fire–(1) flame, (2) light that burns not, (3) the red heat of the

    embers of fire. And there are varieties of air, as for example, the pure

    aether, the opaque mist, and other nameless forms. Water, again, is

    of two kinds, liquid and fusile. The liquid is composed of small and

    unequal particles, the fusile of large and uniform particles and is more

    solid, but nevertheless melts at the approach of fire, and then spreads

    upon the earth. When the substance cools, the fire passes into the air,

    which is displaced, and forces together and condenses the liquid mass.

    This process is called cooling and congealment. Of the fusile kinds the

    fairest and heaviest is gold; this is hardened by filtration through

    rock, and is of a bright yellow colour. A shoot of gold which is darker

    and denser than the rest is called adamant. Another kind is called

    copper, which is harder and yet lighter because the interstices are

    larger than in gold. There is mingled with it a fine and small portion

    of earth which comes out in the form of rust. These are a few of the

    conjectures which philosophy forms, when, leaving the eternal nature, she turns for innocent recreation to consider the truths of generation.

    Water which is mingled with fire is called liquid because it rolls

    upon the earth, and soft because its bases give way. This becomes more

    equable when separated from fire and air, and then congeals into hail or

    ice, or the looser forms of hoar frost or snow. There are other waters

    which are called juices and are distilled through plants. Of these we

    may mention, first, wine, which warms the soul as well as the body;

    secondly, oily substances, as for example, oil or pitch; thirdly,

    honey, which relaxes the contracted parts of the mouth and so produces

    sweetness; fourthly, vegetable acid, which is frothy and has a burning

    quality and dissolves the flesh. Of the kinds of earth, that which is

    filtered through water passes into stone; the water is broken up by the

    earth and escapes in the form of air–this in turn presses upon the mass

    of earth, and the earth, compressed into an indissoluble union with

    the remaining water, becomes rock. Rock, when it is made up of equal

    particles, is fair and transparent, but the reverse when of unequal.

    Earth is converted into pottery when the watery part is suddenly drawn

    away; or if moisture remains, the earth, when fused by fire, becomes,

    on cooling, a stone of a black colour. When the earth is finer and of

    a briny nature then two half-solid bodies are formed by separating the

    water,–soda and salt. The strong compounds of earth and water are not

    soluble by water, but only by fire. Earth itself, when not consolidated,

    is dissolved by water; when consolidated, by fire only. The cohesion of

    water, when strong, is dissolved by fire only; when weak, either by air

    or fire, the former entering the interstices, the latter penetrating

    even the triangles. Air when strongly condensed is indissoluble by any

    power which does not reach the triangles, and even when not strongly

    condensed is only resolved by fire. Compounds of earth and water are

    unaffected by water while the water occupies the interstices in them,

    but begin to liquefy when fire enters into the interstices of the water.

    They are of two kinds, some of them, like glass, having more earth,

    others, like wax, having more water in them.

    Having considered objects of sense, we now pass on to sensation. But we

    cannot explain sensation without explaining the nature of flesh and of the mortal soul; and as we cannot treat of both together, in order that we may proceed at once to the sensations we must assume the existence of body and soul.

    What makes fire burn? The fineness of the sides, the sharpness of the angles, the smallness of the particles, the quickness of the motion.

    Moreover, the pyramid, which is the figure of fire, is more cutting than any other. The feeling of cold is produced by the larger particles of moisture outside the body trying to eject the smaller ones in the body which they compress. The struggle which arises between elements thus

    unnaturally brought together causes shivering. That is hard to which the

    flesh yields, and soft which yields to the flesh, and these two terms

    are also relative to one another. The yielding matter is that which

    has the slenderest base, whereas that which has a rectangular base

    is compact and repellent. Light and heavy are wrongly explained with

    reference to a lower and higher in place. For in the universe, which is

    a sphere, there is no opposition of above or below, and that which is to

    us above would be below to a man standing at the antipodes. The greater

    or less difficulty in detaching any element from its like is the real

    cause of heaviness or of lightness. If you draw the earth into the

    dissimilar air, the particles of earth cling to their native element,

    and you more easily detach a small portion than a large. There would

    be the same difficulty in moving any of the upper elements towards the

    lower. The smooth and the rough are severally produced by the union of

    evenness with compactness, and of hardness with inequality.

    Pleasure and pain are the most important of the affections common to the

    whole body. According to our general doctrine of sensation, parts of the

    body which are easily moved readily transmit the motion to the mind; but parts which are not easily moved have no effect upon the patient. The bones and hair are of the latter kind, sight and hearing of the former.

    Ordinary affections are neither pleasant nor painful. The impressions

    of sight afford an example of these, and are neither violent nor

    sudden. But sudden replenishments of the body cause pleasure, and sudden

    disturbances, as for example cuttings and burnings, have the opposite effect.

    >From sensations common to the whole body, we proceed to those of

    particular parts. The affections of the tongue appear to be caused by

    contraction and dilation, but they have more of roughness or smoothness

    than is found in other affections. Earthy particles, entering into the

    small veins of the tongue which reach to the heart, when they melt into

    and dry up the little veins are astringent if they are rough; or if

    not so rough, they are only harsh, and if excessively abstergent, like

    potash and soda, bitter. Purgatives of a weaker sort are called salt

    and, having no bitterness, are rather agreeable. Inflammatory bodies,

    which by their lightness are carried up into the head, cutting all that

    comes in their way, are termed pungent. But when these are refined by

    putrefaction, and enter the narrow veins of the tongue, and meet there

    particles of earth and air, two kinds of globules are formed–one of

    earthy and impure liquid, which boils and ferments, the other of pure

    and transparent water, which are called bubbles; of all these affections

    the cause is termed acid. When, on the other hand, the composition of

    the deliquescent particles is congenial to the tongue, and disposes the

    parts according to their nature, this remedial power in them is called

    sweet.

    Smells are not divided into kinds; all of them are transitional, and

    arise out of the decomposition of one element into another, for the

    simple air or water is without smell. They are vapours or mists, thinner

    than water and thicker than air: and hence in drawing in the breath,

    when there is an obstruction, the air passes, but there is no smell.

    They have no names, but are distinguished as pleasant and unpleasant,

    and their influence extends over the whole region from the head to the navel.

    Hearing is the effect of a stroke which is transmitted through the ears

    by means of the air, brain, and blood to the soul, beginning at the head

    and extending to the liver. The sound which moves swiftly is acute; that

    which moves slowly is grave; that which is uniform is smooth, and the

    opposite is harsh. Loudness depends on the quantity of the sound. Of the

    harmony of sounds I will hereafter speak.

    Colours are flames which emanate from all bodies, having particles

    corresponding to the sense of sight. Some of the particles are less and

    some larger, and some are equal to the parts of the sight. The equal

    particles appear transparent; the larger contract, and the lesser dilate

    the sight. White is produced by the dilation, black by the contraction,

    of the particles of sight. There is also a swifter motion of another

    sort of fire which forces a way through the passages of the eyes, and

    elicits from them a union of fire and water which we call tears.

    The inner fire flashes forth, and the outer finds a way in and is

    extinguished in the moisture, and all sorts of colours are generated

    by the mixture. This affection is termed by us dazzling, and the object

    which produces it is called bright. There is yet another sort of

    fire which mingles with the moisture of the eye without flashing, and

    produces a colour like blood–to this we give the name of red. A bright

    element mingling with red and white produces a colour which we call

    auburn. The law of proportion, however, according to which compound

    colours are formed, cannot be determined scientifically or even

    probably. Red, when mingled with black and white, gives a purple hue,

    which becomes umber when the colours are burnt and there is a larger

    admixture of black. Flame-colour is a mixture of auburn and dun; dun of

    white and black; yellow of white and auburn. White and bright meeting,

    and falling upon a full black, become dark blue; dark blue mingling with

    white becomes a light blue; the union of flame-colour and black makes

    leek-green. There is no difficulty in seeing how other colours are

    probably composed. But he who should attempt to test the truth of this

    by experiment, would forget the difference of the human and divine

    nature. God only is able to compound and resolve substances; such

    experiments are impossible to man.

    These are the elements of necessity which the Creator received in

    the world of generation when he made the all-sufficient and perfect

    creature, using the secondary causes as his ministers, but himself

    fashioning the good in all things. For there are two sorts of causes,

    the one divine, the other necessary; and we should seek to discover the

    divine above all, and, for their sake, the necessary, because without

    them the higher cannot be attained by us.

    Having now before us the causes out of which the rest of our discourse

    is to be framed, let us go back to the point at which we began, and

    add a fair ending to our tale. As I said at first, all things were

    originally a chaos in which there was no order or proportion. The

    elements of this chaos were arranged by the Creator, and out of them

    he made the world. Of the divine he himself was the author, but he

    committed to his offspring the creation of the mortal. From him they

    received the immortal soul, but themselves made the body to be its

    vehicle, and constructed within another soul which was mortal, and

    subject to terrible affections–pleasure, the inciter of evil; pain,

    which deters from good; rashness and fear, foolish counsellors; anger

    hard to be appeased; hope easily led astray. These they mingled with

    irrational sense and all-daring love according to necessary laws and so

    framed man. And, fearing to pollute the divine element, they gave the

    mortal soul a separate habitation in the breast, parted off from the

    head by a narrow isthmus. And as in a house the women’s apartments are

    divided from the men’s, the cavity of the thorax was divided into two

    parts, a higher and a lower. The higher of the two, which is the seat of

    courage and anger, lies nearer to the head, between the midriff and the

    neck, and assists reason in restraining the desires. The heart is the

    house of guard in which all the veins meet, and through them reason

    sends her commands to the extremity of her kingdom. When the passions

    are in revolt, or danger approaches from without, then the heart beats

    and swells; and the creating powers, knowing this, implanted in the

    body the soft and bloodless substance of the lung, having a porous and

    springy nature like a sponge, and being kept cool by drink and air which

    enters through the trachea.

    The part of the soul which desires meat and drink was placed between the

    midriff and navel, where they made a sort of manger; and here they bound

    it down, like a wild animal, away from the council-chamber, and leaving

    the better principle undisturbed to advise quietly for the good of the

    whole. For the Creator knew that the belly would not listen to reason,

    and was under the power of idols and fancies. Wherefore he framed the

    liver to connect with the lower nature, contriving that it should be

    compact, and bright, and sweet, and also bitter and smooth, in order

    that the power of thought which originates in the mind might there be

    reflected, terrifying the belly with the elements of bitterness and

    gall, and a suffusion of bilious colours when the liver is contracted,

    and causing pain and misery by twisting out of its place the lobe and

    closing up the vessels and gates. And the converse happens when some

    gentle inspiration coming from intelligence mirrors the opposite

    fancies, giving rest and sweetness and freedom, and at night, moderation

    and peace accompanied with prophetic insight, when reason and sense are

    asleep. For the authors of our being, in obedience to their Father’s

    will and in order to make men as good as they could, gave to the liver

    the power of divination, which is never active when men are awake or

    in health; but when they are under the influence of some disorder or

    enthusiasm then they receive intimations, which have to be interpreted

    by others who are called prophets, but should rather be called

    interpreters of prophecy; after death these intimations become

    unintelligible. The spleen which is situated in the neighbourhood, on

    the left side, keeps the liver bright and clean, as a napkin does a

    mirror, and the evacuations of the liver are received into it; and being

    a hollow tissue it is for a time swollen with these impurities, but when

    the body is purged it returns to its natural size.

    The truth concerning the soul can only be established by the word of

    God. Still, we may venture to assert what is probable both concerning

    soul and body.

    The creative powers were aware of our tendency to excess. And so when

    they made the belly to be a receptacle for food, in order that men might

    not perish by insatiable gluttony, they formed the convolutions of the

    intestines, in this way retarding the passage of food through the body,

    lest mankind should be absorbed in eating and drinking, and the whole

    race become impervious to divine philosophy.

    The creation of bones and flesh was on this wise. The foundation of

    these is the marrow which binds together body and soul, and the marrow

    is made out of such of the primary triangles as are adapted by their

    perfection to produce all the four elements. These God took and mingled

    them in due proportion, making as many kinds of marrow as there were

    hereafter to be kinds of souls. The receptacle of the divine soul he

    made round, and called that portion of the marrow brain, intending that

    the vessel containing this substance should be the head. The remaining

    part he divided into long and round figures, and to these as to anchors,

    fastening the mortal soul, he proceeded to make the rest of the body,

    first forming for both parts a covering of bone. The bone was formed by

    sifting pure smooth earth and wetting it with marrow. It was then thrust

    alternately into fire and water, and thus rendered insoluble by either.

    Of bone he made a globe which he placed around the brain, leaving a

    narrow opening, and around the marrow of the neck and spine he formed

    the vertebrae, like hinges, which extended from the head through the

    whole of the trunk. And as the bone was brittle and liable to mortify

    and destroy the marrow by too great rigidity and susceptibility to heat

    and cold, he contrived sinews and flesh–the first to give flexibility,

    the second to guard against heat and cold, and to be a protection

    against falls, containing a warm moisture, which in summer exudes and

    cools the body, and in winter is a defence against cold. Having this in

    view, the Creator mingled earth with fire and water and mixed with them

    a ferment of acid and salt, so as to form pulpy flesh. But the sinews

    he made of a mixture of bone and unfermented flesh, giving them a

    mean nature between the two, and a yellow colour. Hence they were more

    glutinous than flesh, but softer than bone. The bones which have most of

    the living soul within them he covered with the thinnest film of

    flesh, those which have least of it, he lodged deeper. At the joints he

    diminished the flesh in order not to impede the flexure of the limbs,

    and also to avoid clogging the perceptions of the mind. About the

    thighs and arms, which have no sense because there is little soul in the

    marrow, and about the inner bones, he laid the flesh thicker. For where

    the flesh is thicker there is less feeling, except in certain parts

    which the Creator has made solely of flesh, as for example, the tongue.

    Had the combination of solid bone and thick flesh been consistent with

    acute perceptions, the Creator would have given man a sinewy and fleshy

    head, and then he would have lived twice as long. But our creators were

    of opinion that a shorter life which was better was preferable to a

    longer which was worse, and therefore they covered the head with thin

    bone, and placed the sinews at the extremity of the head round the neck,

    and fastened the jawbones to them below the face. And they framed the

    mouth, having teeth and tongue and lips, with a view to the necessary

    and the good; for food is a necessity, and the river of speech is the

    best of rivers. Still, the head could not be left a bare globe of bone

    on account of the extremes of heat and cold, nor be allowed to become

    dull and senseless by an overgrowth of flesh. Wherefore it was covered

    by a peel or skin which met and grew by the help of the cerebral humour.

    The diversity of the sutures was caused by the struggle of the food

    against the courses of the soul. The skin of the head was pierced by

    fire, and out of the punctures came forth a moisture, part liquid,

    and part of a skinny nature, which was hardened by the pressure of the

    external cold and became hair. And God gave hair to the head of man

    to be a light covering, so that it might not interfere with his

    perceptions. Nails were formed by combining sinew, skin, and bone, and

    were made by the creators with a view to the future when, as they knew,

    women and other animals who would require them would be framed out of

    man.

    The gods also mingled natures akin to that of man with other forms and

    perceptions. Thus trees and plants were created, which were originally

    wild and have been adapted by cultivation to our use. They partake of

    that third kind of life which is seated between the midriff and the

    navel, and is altogether passive and incapable of reflection.

    When the creators had furnished all these natures for our sustenance,

    they cut channels through our bodies as in a garden, watering them with

    a perennial stream. Two were cut down the back, along the back bone,

    where the skin and flesh meet, one on the right and the other on the

    left, having the marrow of generation between them. In the next place,

    they divided the veins about the head and interlaced them with each

    other in order that they might form an additional link between the head

    and the body, and that the sensations from both sides might be diffused

    throughout the body. In the third place, they contrived the passage

    of liquids, which may be explained in this way:–Finer bodies retain

    coarser, but not the coarser the finer, and the belly is capable of

    retaining food, but not fire and air. God therefore formed a network of

    fire and air to irrigate the veins, having within it two lesser nets,

    and stretched cords reaching from both the lesser nets to the extremity

    of the outer net. The inner parts of the net were made by him of fire,

    the lesser nets and their cavities of air. The two latter he made to

    pass into the mouth; the one ascending by the air-pipes from the lungs,

    the other by the side of the air-pipes from the belly. The entrance to

    the first he divided into two parts, both of which he made to meet at

    the channels of the nose, that when the mouth was closed the passage

    connected with it might still be fed with air. The cavity of the network

    he spread around the hollows of the body, making the entire receptacle

    to flow into and out of the lesser nets and the lesser nets into and out

    of it, while the outer net found a way into and out of the pores of the

    body, and the internal heat followed the air to and fro. These, as we

    affirm, are the phenomena of respiration. And all this process takes

    place in order that the body may be watered and cooled and nourished,

    and the meat and drink digested and liquefied and carried into the

    veins.

    The causes of respiration have now to be considered. The exhalation of

    the breath through the mouth and nostrils displaces the external air,

    and at the same time leaves a vacuum into which through the pores the

    air which is displaced enters. Also the vacuum which is made when the

    air is exhaled through the pores is filled up by the inhalation of

    breath through the mouth and nostrils. The explanation of this double

    phenomenon is as follows:–Elements move towards their natural places.

    Now as every animal has within him a fountain of fire, the air which

    is inhaled through the mouth and nostrils, on coming into contact

    with this, is heated; and when heated, in accordance with the law of

    attraction, it escapes by the way it entered toward the place of fire.

    On leaving the body it is cooled and drives round the air which it

    displaces through the pores into the empty lungs. This again is in turn

    heated by the internal fire and escapes, as it entered, through the

    pores.

    The phenomena of medical cupping-glasses, of swallowing, and of the

    hurling of bodies, are to be explained on a similar principle; as also

    sounds, which are sometimes discordant on account of the inequality

    of them, and again harmonious by reason of equality. The slower sounds

    reaching the swifter, when they begin to pause, by degrees assimilate

    with them: whence arises a pleasure which even the unwise feel, and

    which to the wise becomes a higher sense of delight, being an imitation

    of divine harmony in mortal motions. Streams flow, lightnings play,

    amber and the magnet attract, not by reason of attraction, but because

    ‘nature abhors a vacuum,’ and because things, when compounded or

    dissolved, move different ways, each to its own place.

    I will now return to the phenomena of respiration. The fire, entering

    the belly, minces the food, and as it escapes, fills the veins by

    drawing after it the divided portions, and thus the streams of nutriment

    are diffused through the body. The fruits or herbs which are our daily

    sustenance take all sorts of colours when intermixed, but the colour of

    red or fire predominates, and hence the liquid which we call blood is

    red, being the nurturing principle of the body, whence all parts are

    watered and empty places filled.

    The process of repletion and depletion is produced by the attraction

    of like to like, after the manner of the universal motion. The external

    elements by their attraction are always diminishing the substance of

    the body: the particles of blood, too, formed out of the newly digested

    food, are attracted towards kindred elements within the body and so fill

    up the void. When more is taken away than flows in, then we decay; and

    when less, we grow and increase.

    The young of every animal has the triangles new and closely locked

    together, and yet the entire frame is soft and delicate, being newly

    made of marrow and nurtured on milk. These triangles are sharper than

    those which enter the body from without in the shape of food, and

    therefore they cut them up. But as life advances, the triangles wear out

    and are no longer able to assimilate food; and at length, when the bonds

    which unite the triangles of the marrow become undone, they in turn

    unloose the bonds of the soul; and if the release be according to

    nature, she then flies away with joy. For the death which is natural is

    pleasant, but that which is caused by violence is painful.

    Every one may understand the origin of diseases. They may be occasioned

    by the disarrangement or disproportion of the elements out of which the

    body is framed. This is the origin of many of them, but the worst of all

    owe their severity to the following causes: There is a natural order

    in the human frame according to which the flesh and sinews are made of

    blood, the sinews out of the fibres, and the flesh out of the congealed

    substance which is formed by separation from the fibres. The glutinous

    matter which comes away from the sinews and the flesh, not only binds

    the flesh to the bones, but nourishes the bones and waters the marrow.

    When these processes take place in regular order the body is in health.

    But when the flesh wastes and returns into the veins there is

    discoloured blood as well as air in the veins, having acid and salt

    qualities, from which is generated every sort of phlegm and bile. All

    things go the wrong way and cease to give nourishment to the body, no

    longer preserving their natural courses, but at war with themselves

    and destructive to the constitution of the body. The oldest part of the

    flesh which is hard to decompose blackens from long burning, and from

    being corroded grows bitter, and as the bitter element refines away,

    becomes acid. When tinged with blood the bitter substance has a red

    colour, and this when mixed with black takes the hue of grass; or again,

    the bitter substance has an auburn colour, when new flesh is decomposed

    by the internal flame. To all which phenomena some physician or

    philosopher who was able to see the one in many has given the name of

    bile. The various kinds of bile have names answering to their colours.

    Lymph or serum is of two kinds: first, the whey of blood, which is

    gentle; secondly, the secretion of dark and bitter bile, which, when

    mingled under the influence of heat with salt, is malignant and

    is called acid phlegm. There is also white phlegm, formed by the

    decomposition of young and tender flesh, and covered with little

    bubbles, separately invisible, but becoming visible when collected.

    The water of tears and perspiration and similar substances is also the

    watery part of fresh phlegm. All these humours become sources of disease

    when the blood is replenished in irregular ways and not by food or

    drink. The danger, however, is not so great when the foundation remains,

    for then there is a possibility of recovery. But when the substance

    which unites the flesh and bones is diseased, and is no longer renewed

    from the muscles and sinews, and instead of being oily and smooth and

    glutinous becomes rough and salt and dry, then the fleshy parts fall

    away and leave the sinews bare and full of brine, and the flesh gets

    back again into the circulation of the blood, and makes the previously

    mentioned disorders still greater. There are other and worse diseases

    which are prior to these; as when the bone through the density of

    the flesh does not receive sufficient air, and becomes stagnant and

    gangrened, and crumbling away passes into the food, and the food into

    the flesh, and the flesh returns again into the blood. Worst of all and

    most fatal is the disease of the marrow, by which the whole course

    of the body is reversed. There is a third class of diseases which are

    produced, some by wind and some by phlegm and some by bile. When the

    lung, which is the steward of the air, is obstructed, by rheums, and

    in one part no air, and in another too much, enters in, then the parts

    which are unrefreshed by air corrode, and other parts are distorted by

    the excess of air; and in this manner painful diseases are produced. The

    most painful are caused by wind generated within the body, which gets

    about the great sinews of the shoulders–these are termed tetanus. The

    cure of them is difficult, and in most cases they are relieved only by

    fever. White phlegm, which is dangerous if kept in, by reason of the air

    bubbles, is not equally dangerous if able to escape through the pores,

    although it variegates the body, generating diverse kinds of leprosies.

    If, when mingled with black bile, it disturbs the courses of the head

    in sleep, there is not so much danger; but if it assails those who are

    awake, then the attack is far more dangerous, and is called epilepsy or

    the sacred disease. Acid and salt phlegm is the source of catarrh.

    Inflammations originate in bile, which is sometimes relieved by boils

    and swellings, but when detained, and above all when mingled with pure

    blood, generates many inflammatory disorders, disturbing the position of

    the fibres which are scattered about in the blood in order to maintain

    the balance of rare and dense which is necessary to its regular

    circulation. If the bile, which is only stale blood, or liquefied flesh,

    comes in little by little, it is congealed by the fibres and produces

    internal cold and shuddering. But when it enters with more of a flood

    it overcomes the fibres by its heat and reaches the spinal marrow, and

    burning up the cables of the soul sets her free from the body. When on

    the other hand the body, though wasted, still holds out, then the bile

    is expelled, like an exile from a factious state, causing associating

    diarrhoeas and dysenteries and similar disorders. The body which is

    diseased from the effects of fire is in a continual fever; when air is

    the agent, the fever is quotidian; when water, the fever intermits a

    day; when earth, which is the most sluggish element, the fever intermits

    three days and is with difficulty shaken off.

    Of mental disorders there are two sorts, one madness, the other

    ignorance, and they may be justly attributed to disease. Excessive

    pleasures or pains are among the greatest diseases, and deprive men of

    their senses. When the seed about the spinal marrow is too abundant, the

    body has too great pleasures and pains; and during a great part of his

    life he who is the subject of them is more or less mad. He is

    often thought bad, but this is a mistake; for the truth is that the

    intemperance of lust is due to the fluidity of the marrow produced by

    the loose consistency of the bones. And this is true of vice in

    general, which is commonly regarded as disgraceful, whereas it is really

    involuntary and arises from a bad habit of the body and evil education.

    In like manner the soul is often made vicious by the influence of bodily

    pain; the briny phlegm and other bitter and bilious humours wander over

    the body and find no exit, but are compressed within, and mingle their

    own vapours with the motions of the soul, and are carried to the

    three places of the soul, creating infinite varieties of trouble and

    melancholy, of rashness and cowardice, of forgetfulness and stupidity.

    When men are in this evil plight of body, and evil forms of government

    and evil discourses are superadded, and there is no education to save

    them, they are corrupted through two causes; but of neither of them are

    they really the authors. For the planters are to blame rather than the

    plants, the educators and not the educated. Still, we should endeavour

    to attain virtue and avoid vice; but this is part of another subject.

    Enough of disease–I have now to speak of the means by which the mind

    and body are to be preserved, a higher theme than the other. The good

    is the beautiful, and the beautiful is the symmetrical, and there is no

    greater or fairer symmetry than that of body and soul, as the contrary

    is the greatest of deformities. A leg or an arm too long or too short

    is at once ugly and unserviceable, and the same is true if body and soul

    are disproportionate. For a strong and impassioned soul may ‘fret the

    pigmy body to decay,’ and so produce convulsions and other evils. The

    violence of controversy, or the earnestness of enquiry, will often

    generate inflammations and rheums which are not understood, or assigned

    to their true cause by the professors of medicine. And in like manner

    the body may be too much for the soul, darkening the reason, and

    quickening the animal desires. The only security is to preserve the

    balance of the two, and to this end the mathematician or philosopher

    must practise gymnastics, and the gymnast must cultivate music. The

    parts of the body too must be treated in the same way–they should

    receive their appropriate exercise. For the body is set in motion when

    it is heated and cooled by the elements which enter in, or is dried up

    and moistened by external things; and, if given up to these processes

    when at rest, it is liable to destruction. But the natural motion, as

    in the world, so also in the human frame, produces harmony and divides

    hostile powers. The best exercise is the spontaneous motion of the body,

    as in gymnastics, because most akin to the motion of mind; not so

    good is the motion of which the source is in another, as in sailing or

    riding; least good when the body is at rest and the motion is in parts

    only, which is a species of motion imparted by physic. This should only

    be resorted to by men of sense in extreme cases; lesser diseases are

    not to be irritated by medicine. For every disease is akin to the living

    being and has an appointed term, just as life has, which depends on the

    form of the triangles, and cannot be protracted when they are worn out.

    And he who, instead of accepting his destiny, endeavours to prolong

    his life by medicine, is likely to multiply and magnify his diseases.

    Regimen and not medicine is the true cure, when a man has time at his

    disposal.

    Enough of the nature of man and of the body, and of training and

    education. The subject is a great one and cannot be adequately treated

    as an appendage to another. To sum up all in a word: there are three

    kinds of soul located within us, and any one of them, if remaining

    inactive, becomes very weak; if exercised, very strong. Wherefore we

    should duly train and exercise all three kinds.

    The divine soul God lodged in the head, to raise us, like plants which

    are not of earthly origin, to our kindred; for the head is nearest

    to heaven. He who is intent upon the gratification of his desires and

    cherishes the mortal soul, has all his ideas mortal, and is himself

    mortal in the truest sense. But he who seeks after knowledge and

    exercises the divine part of himself in godly and immortal thoughts,

    attains to truth and immortality, as far as is possible to man, and also

    to happiness, while he is training up within him the divine principle

    and indwelling power of order. There is only one way in which one person

    can benefit another; and that is by assigning to him his proper nurture

    and motion. To the motions of the soul answer the motions of the

    universe, and by the study of these the individual is restored to his

    original nature.

    Thus we have finished the discussion of the universe, which, according

    to our original intention, has now been brought down to the creation of

    man. Completeness seems to require that something should be briefly said

    about other animals: first of women, who are probably degenerate and

    cowardly men. And when they degenerated, the gods implanted in men the

    desire of union with them, creating in man one animate substance and

    in woman another in the following manner:–The outlet for liquids they

    connected with the living principle of the spinal marrow, which the man

    has the desire to emit into the fruitful womb of the woman; this is like

    a fertile field in which the seed is quickened and matured, and at

    last brought to light. When this desire is unsatisfied the man is

    over-mastered by the power of the generative organs, and the woman

    is subjected to disorders from the obstruction of the passages of the

    breath, until the two meet and pluck the fruit of the tree.

    The race of birds was created out of innocent, light-minded men,

    who thought to pursue the study of the heavens by sight; these were

    transformed into birds, and grew feathers instead of hair. The race

    of wild animals were men who had no philosophy, and never looked up to

    heaven or used the courses of the head, but followed only the influences

    of passion. Naturally they turned to their kindred earth, and put their

    forelegs to the ground, and their heads were crushed into strange

    oblong forms. Some of them have four feet, and some of them more than

    four,–the latter, who are the more senseless, drawing closer to their

    native element; the most senseless of all have no limbs and trail their

    whole body on the ground. The fourth kind are the inhabitants of the

    waters; these are made out of the most senseless and ignorant and impure

    of men, whom God placed in the uttermost parts of the world in return

    for their utter ignorance, and caused them to respire water instead of

    the pure element of air. Such are the laws by which animals pass into

    one another.

    And so the world received animals, mortal and immortal, and was

    fulfilled with them, and became a visible God, comprehending the

    visible, made in the image of the Intellectual, being the one perfect

    only-begotten heaven.

    Section 2.

    Nature in the aspect which she presented to a Greek philosopher of the

    fourth century before Christ is not easily reproduced to modern eyes.

    The associations of mythology and poetry have to be added, and the

    unconscious influence of science has to be subtracted, before we can

    behold the heavens or the earth as they appeared to the Greek. The

    philosopher himself was a child and also a man–a child in the range of

    his attainments, but also a great intelligence having an insight into

    nature, and often anticipations of the truth. He was full of original

    thoughts, and yet liable to be imposed upon by the most obvious

    fallacies. He occasionally confused numbers with ideas, and atoms

    with numbers; his a priori notions were out of all proportion to his

    experience. He was ready to explain the phenomena of the heavens by the

    most trivial analogies of earth. The experiments which nature worked for

    him he sometimes accepted, but he never tried experiments for himself

    which would either prove or disprove his theories. His knowledge was

    unequal; while in some branches, such as medicine and astronomy, he had

    made considerable proficiency, there were others, such as chemistry,

    electricity, mechanics, of which the very names were unknown to him.

    He was the natural enemy of mythology, and yet mythological ideas still

    retained their hold over him. He was endeavouring to form a conception

    of principles, but these principles or ideas were regarded by him as

    real powers or entities, to which the world had been subjected. He was

    always tending to argue from what was near to what was remote, from what

    was known to what was unknown, from man to the universe, and back again

    from the universe to man. While he was arranging the world, he was

    arranging the forms of thought in his own mind; and the light from

    within and the light from without often crossed and helped to confuse

    one another. He might be compared to a builder engaged in some great

    design, who could only dig with his hands because he was unprovided with

    common tools; or to some poet or musician, like Tynnichus (Ion), obliged

    to accommodate his lyric raptures to the limits of the tetrachord or of

    the flute.

    The Hesiodic and Orphic cosmogonies were a phase of thought intermediate

    between mythology and philosophy and had a great influence on the

    beginnings of knowledge. There was nothing behind them; they were to

    physical science what the poems of Homer were to early Greek history.

    They made men think of the world as a whole; they carried the mind back

    into the infinity of past time; they suggested the first observation

    of the effects of fire and water on the earth’s surface. To the ancient

    physics they stood much in the same relation which geology does to

    modern science. But the Greek was not, like the enquirer of the last

    generation, confined to a period of six thousand years; he was able to

    speculate freely on the effects of infinite ages in the production of

    physical phenomena. He could imagine cities which had existed time

    out of mind (States.; Laws), laws or forms of art and music which had

    lasted, ‘not in word only, but in very truth, for ten thousand years’

    (Laws); he was aware that natural phenomena like the Delta of the Nile

    might have slowly accumulated in long periods of time (Hdt.). But he

    seems to have supposed that the course of events was recurring rather

    than progressive. To this he was probably led by the fixedness of

    Egyptian customs and the general observation that there were other

    civilisations in the world more ancient than that of Hellas.

    The ancient philosophers found in mythology many ideas which, if not

    originally derived from nature, were easily transferred to her–such,

    for example, as love or hate, corresponding to attraction or repulsion;

    or the conception of necessity allied both to the regularity and

    irregularity of nature; or of chance, the nameless or unknown cause; or

    of justice, symbolizing the law of compensation; are of the Fates and

    Furies, typifying the fixed order or the extraordinary convulsions of

    nature. Their own interpretations of Homer and the poets were supposed

    by them to be the original meaning. Musing in themselves on the

    phenomena of nature, they were relieved at being able to utter the

    thoughts of their hearts in figures of speech which to them were not

    figures, and were already consecrated by tradition. Hesiod and the

    Orphic poets moved in a region of half-personification in which the

    meaning or principle appeared through the person. In their vaster

    conceptions of Chaos, Erebus, Aether, Night, and the like, the first

    rude attempts at generalization are dimly seen. The Gods themselves,

    especially the greater Gods, such as Zeus, Poseidon, Apollo, Athene, are

    universals as well as individuals. They were gradually becoming lost

    in a common conception of mind or God. They continued to exist for the

    purposes of ritual or of art; but from the sixth century onwards or even

    earlier there arose and gained strength in the minds of men the notion

    of ‘one God, greatest among Gods and men, who was all sight, all

    hearing, all knowing’ (Xenophanes).

    Under the influence of such ideas, perhaps also deriving from the

    traditions of their own or of other nations scraps of medicine and

    astronomy, men came to the observation of nature. The Greek philosopher

    looked at the blue circle of the heavens and it flashed upon him that

    all things were one; the tumult of sense abated, and the mind found

    repose in the thought which former generations had been striving to

    realize. The first expression of this was some element, rarefied by

    degrees into a pure abstraction, and purged from any tincture of sense.

    Soon an inner world of ideas began to be unfolded, more absorbing, more

    overpowering, more abiding than the brightest of visible objects, which

    to the eye of the philosopher looking inward, seemed to pale before

    them, retaining only a faint and precarious existence. At the same time,

    the minds of men parted into the two great divisions of those who saw

    only a principle of motion, and of those who saw only a principle of

    rest, in nature and in themselves; there were born Heracliteans or

    Eleatics, as there have been in later ages born Aristotelians or

    Platonists. Like some philosophers in modern times, who are accused of

    making a theory first and finding their facts afterwards, the advocates

    of either opinion never thought of applying either to themselves or to

    their adversaries the criterion of fact. They were mastered by their

    ideas and not masters of them. Like the Heraclitean fanatics whom Plato

    has ridiculed in the Theaetetus, they were incapable of giving a

    reason of the faith that was in them, and had all the animosities of a

    religious sect. Yet, doubtless, there was some first impression derived

    from external nature, which, as in mythology, so also in philosophy,

    worked upon the minds of the first thinkers. Though incapable of

    induction or generalization in the modern sense, they caught an

    inspiration from the external world. The most general facts or

    appearances of nature, the circle of the universe, the nutritive power

    of water, the air which is the breath of life, the destructive force

    of fire, the seeming regularity of the greater part of nature and the

    irregularity of a remnant, the recurrence of day and night and of the

    seasons, the solid earth and the impalpable aether, were always present

    to them.

    The great source of error and also the beginning of truth to them

    was reasoning from analogy; they could see resemblances, but not

    differences; and they were incapable of distinguishing illustration

    from argument. Analogy in modern times only points the way, and is

    immediately verified by experiment. The dreams and visions, which

    pass through the philosopher’s mind, of resemblances between different

    classes of substances, or between the animal and vegetable world, are

    put into the refiner’s fire, and the dross and other elements which

    adhere to them are purged away. But the contemporary of Plato and

    Socrates was incapable of resisting the power of any analogy which

    occurred to him, and was drawn into any consequences which seemed to

    follow. He had no methods of difference or of concomitant variations, by

    the use of which he could distinguish the accidental from the essential.

    He could not isolate phenomena, and he was helpless against the

    influence of any word which had an equivocal or double sense.

    Yet without this crude use of analogy the ancient physical philosopher

    would have stood still; he could not have made even ‘one guess among

    many’ without comparison. The course of natural phenomena would have

    passed unheeded before his eyes, like fair sights or musical sounds

    before the eyes and ears of an animal. Even the fetichism of the savage

    is the beginning of reasoning; the assumption of the most fanciful of

    causes indicates a higher mental state than the absence of all enquiry

    about them. The tendency to argue from the higher to the lower, from

    man to the world, has led to many errors, but has also had an elevating

    influence on philosophy. The conception of the world as a whole, a

    person, an animal, has been the source of hasty generalizations; yet

    this general grasp of nature led also to a spirit of comprehensiveness

    in early philosophy, which has not increased, but rather diminished, as

    the fields of knowledge have become more divided. The modern physicist

    confines himself to one or perhaps two branches of science. But he

    comparatively seldom rises above his own department, and often falls

    under the narrowing influence which any single branch, when pursued

    to the exclusion of every other, has over the mind. Language, two,

    exercised a spell over the beginnings of physical philosophy, leading

    to error and sometimes to truth; for many thoughts were suggested by

    the double meanings of words (Greek), and the accidental distinctions

    of words sometimes led the ancient philosopher to make corresponding

    differences in things (Greek). ‘If they are the same, why have they

    different names; or if they are different, why have they the same

    name?’–is an argument not easily answered in the infancy of knowledge.

    The modern philosopher has always been taught the lesson which he still

    imperfectly learns, that he must disengage himself from the influence

    of words. Nor are there wanting in Plato, who was himself too often the

    victim of them, impressive admonitions that we should regard not words

    but things (States.). But upon the whole, the ancients, though not

    entirely dominated by them, were much more subject to the influence

    of words than the moderns. They had no clear divisions of colours

    or substances; even the four elements were undefined; the fields of

    knowledge were not parted off. They were bringing order out of disorder,

    having a small grain of experience mingled in a confused heap of

    a priori notions. And yet, probably, their first impressions, the

    illusions and mirages of their fancy, created a greater intellectual

    activity and made a nearer approach to the truth than any patient

    investigation of isolated facts, for which the time had not yet come,

    could have accomplished.

    There was one more illusion to which the ancient philosophers were

    subject, and against which Plato in his later dialogues seems to be

    struggling–the tendency to mere abstractions; not perceiving that

    pure abstraction is only negation, they thought that the greater the

    abstraction the greater the truth. Behind any pair of ideas a new

    idea which comprehended them–the (Greek), as it was technically

    termed–began at once to appear. Two are truer than three, one than two.

    The words ‘being,’ or ‘unity,’ or essence,’ or ‘good,’ became sacred to

    them. They did not see that they had a word only, and in one sense the

    most unmeaning of words. They did not understand that the content of

    notions is in inverse proportion to their universality–the element

    which is the most widely diffused is also the thinnest; or, in the

    language of the common logic, the greater the extension the less the

    comprehension. But this vacant idea of a whole without parts, of a

    subject without predicates, a rest without motion, has been also the

    most fruitful of all ideas. It is the beginning of a priori thought, and

    indeed of thinking at all. Men were led to conceive it, not by a love

    of hasty generalization, but by a divine instinct, a dialectical

    enthusiasm, in which the human faculties seemed to yearn for

    enlargement. We know that ‘being’ is only the verb of existence, the

    copula, the most general symbol of relation, the first and most meagre

    of abstractions; but to some of the ancient philosophers this little

    word appeared to attain divine proportions, and to comprehend all truth.

    Being or essence, and similar words, represented to them a supreme or

    divine being, in which they thought that they found the containing and

    continuing principle of the universe. In a few years the human mind was

    peopled with abstractions; a new world was called into existence to give

    law and order to the old. But between them there was still a gulf, and

    no one could pass from the one to the other.

    Number and figure were the greatest instruments of thought which were

    possessed by the Greek philosopher; having the same power over the mind

    which was exerted by abstract ideas, they were also capable of practical

    application. Many curious and, to the early thinker, mysterious

    properties of them came to light when they were compared with one

    another. They admitted of infinite multiplication and construction;

    in Pythagorean triangles or in proportions of 1:2:4:8 and 1:3:9:27, or

    compounds of them, the laws of the world seemed to be more than half

    revealed. They were also capable of infinite subdivision–a wonder and

    also a puzzle to the ancient thinker (Rep.). They were not, like being

    or essence, mere vacant abstractions, but admitted of progress and

    growth, while at the same time they confirmed a higher sentiment of the

    mind, that there was order in the universe. And so there began to be

    a real sympathy between the world within and the world without. The

    numbers and figures which were present to the mind’s eye became visible

    to the eye of sense; the truth of nature was mathematics; the other

    properties of objects seemed to reappear only in the light of number.

    Law and morality also found a natural expression in number and figure.

    Instruments of such power and elasticity could not fail to be ‘a most

    gracious assistance’ to the first efforts of human intelligence.

    There was another reason why numbers had so great an influence over the

    minds of early thinkers–they were verified by experience. Every use

    of them, even the most trivial, assured men of their truth; they were

    everywhere to be found, in the least things and the greatest alike.

    One, two, three, counted on the fingers was a ‘trivial matter (Rep.), a

    little instrument out of which to create a world; but from these and by

    the help of these all our knowledge of nature has been developed. They

    were the measure of all things, and seemed to give law to all things;

    nature was rescued from chaos and confusion by their power; the notes of

    music, the motions of the stars, the forms of atoms, the evolution and

    recurrence of days, months, years, the military divisions of an army,

    the civil divisions of a state, seemed to afford a ‘present witness’

    of them–what would have become of man or of the world if deprived of

    number (Rep.)? The mystery of number and the mystery of music were akin.

    There was a music of rhythm and of harmonious motion everywhere; and to

    the real connexion which existed between music and number, a fanciful or

    imaginary relation was superadded. There was a music of the spheres as

    well as of the notes of the lyre. If in all things seen there was number

    and figure, why should they not also pervade the unseen world, with

    which by their wonderful and unchangeable nature they seemed to hold

    communion?

    Two other points strike us in the use which the ancient philosophers

    made of numbers. First, they applied to external nature the relations of

    them which they found in their own minds; and where nature seemed to be

    at variance with number, as for example in the case of fractions, they

    protested against her (Rep.; Arist. Metaph.). Having long meditated on

    the properties of 1:2:4:8, or 1:3:9:27, or of 3, 4, 5, they discovered

    in them many curious correspondences and were disposed to find in them

    the secret of the universe. Secondly, they applied number and figure

    equally to those parts of physics, such as astronomy or mechanics, in

    which the modern philosopher expects to find them, and to those in

    which he would never think of looking for them, such as physiology and

    psychology. For the sciences were not yet divided, and there was nothing

    really irrational in arguing that the same laws which regulated the

    heavenly bodies were partially applied to the erring limbs or brain of

    man. Astrology was the form which the lively fancy of ancient thinkers

    almost necessarily gave to astronomy. The observation that the lower

    principle, e.g. mechanics, is always seen in the higher, e.g. in the

    phenomena of life, further tended to perplex them. Plato’s doctrine

    of the same and the other ruling the courses of the heavens and of the

    human body is not a mere vagary, but is a natural result of the state of

    knowledge and thought at which he had arrived.

    When in modern times we contemplate the heavens, a certain amount of

    scientific truth imperceptibly blends, even with the cursory glance of

    an unscientific person. He knows that the earth is revolving round the

    sun, and not the sun around the earth. He does not imagine the earth to

    be the centre of the universe, and he has some conception of chemistry

    and the cognate sciences. A very different aspect of nature would have

    been present to the mind of the early Greek philosopher. He would have

    beheld the earth a surface only, not mirrored, however faintly, in the

    glass of science, but indissolubly connected with some theory of one,

    two, or more elements. He would have seen the world pervaded by number

    and figure, animated by a principle of motion, immanent in a principle

    of rest. He would have tried to construct the universe on a quantitative

    principle, seeming to find in endless combinations of geometrical

    figures or in the infinite variety of their sizes a sufficient account

    of the multiplicity of phenomena. To these a priori speculations he

    would add a rude conception of matter and his own immediate experience

    of health and disease. His cosmos would necessarily be imperfect and

    unequal, being the first attempt to impress form and order on the

    primaeval chaos of human knowledge. He would see all things as in a

    dream.

    The ancient physical philosophers have been charged by Dr. Whewell

    and others with wasting their fine intelligences in wrong methods of

    enquiry; and their progress in moral and political philosophy has

    been sometimes contrasted with their supposed failure in physical

    investigations. ‘They had plenty of ideas,’ says Dr. Whewell, ‘and

    plenty of facts; but their ideas did not accurately represent the facts

    with which they were acquainted.’ This is a very crude and misleading

    way of describing ancient science. It is the mistake of an uneducated

    person–uneducated, that is, in the higher sense of the word–who

    imagines every one else to be like himself and explains every other age

    by his own. No doubt the ancients often fell into strange and fanciful

    errors: the time had not yet arrived for the slower and surer path of

    the modern inductive philosophy. But it remains to be shown that they

    could have done more in their age and country; or that the contributions

    which they made to the sciences with which they were acquainted are not

    as great upon the whole as those made by their successors. There is no

    single step in astronomy as great as that of the nameless Pythagorean

    who first conceived the world to be a body moving round the sun in

    space: there is no truer or more comprehensive principle than the

    application of mathematics alike to the heavenly bodies, and to the

    particles of matter. The ancients had not the instruments which would

    have enabled them to correct or verify their anticipations, and their

    opportunities of observation were limited. Plato probably did more

    for physical science by asserting the supremacy of mathematics than

    Aristotle or his disciples by their collections of facts. When the

    thinkers of modern times, following Bacon, undervalue or disparage the

    speculations of ancient philosophers, they seem wholly to forget the

    conditions of the world and of the human mind, under which they

    carried on their investigations. When we accuse them of being under the

    influence of words, do we suppose that we are altogether free from this

    illusion? When we remark that Greek physics soon became stationary or

    extinct, may we not observe also that there have been and may be again

    periods in the history of modern philosophy which have been barren and

    unproductive? We might as well maintain that Greek art was not real

    or great, because it had nihil simile aut secundum, as say that Greek

    physics were a failure because they admire no subsequent progress.

    The charge of premature generalization which is often urged against

    ancient philosophers is really an anachronism. For they can hardly be

    said to have generalized at all. They may be said more truly to have

    cleared up and defined by the help of experience ideas which they

    already possessed. The beginnings of thought about nature must always

    have this character. A true method is the result of many ages of

    experiment and observation, and is ever going on and enlarging with the

    progress of science and knowledge. At first men personify nature, then

    they form impressions of nature, at last they conceive ‘measure’ or laws

    of nature. They pass out of mythology into philosophy. Early science is

    not a process of discovery in the modern sense; but rather a process

    of correcting by observation, and to a certain extent only, the first

    impressions of nature, which mankind, when they began to think,

    had received from poetry or language or unintelligent sense. Of all

    scientific truths the greatest and simplest is the uniformity of nature;

    this was expressed by the ancients in many ways, as fate, or necessity,

    or measure, or limit. Unexpected events, of which the cause was unknown

    to them, they attributed to chance (Thucyd.). But their conception of

    nature was never that of law interrupted by exceptions,–a somewhat

    unfortunate metaphysical invention of modern times, which is at variance

    with facts and has failed to satisfy the requirements of thought.

    Section 3.

    Plato’s account of the soul is partly mythical or figurative, and partly

    literal. Not that either he or we can draw a line between them, or say,

    ‘This is poetry, this is philosophy’; for the transition from the one

    to the other is imperceptible. Neither must we expect to find in him

    absolute consistency. He is apt to pass from one level or stage of

    thought to another without always making it apparent that he is changing

    his ground. In such passages we have to interpret his meaning by the

    general spirit of his writings. To reconcile his inconsistencies would

    be contrary to the first principles of criticism and fatal to any true

    understanding of him.

    There is a further difficulty in explaining this part of the

    Timaeus–the natural order of thought is inverted. We begin with the

    most abstract, and proceed from the abstract to the concrete. We

    are searching into things which are upon the utmost limit of human

    intelligence, and then of a sudden we fall rather heavily to the earth.

    There are no intermediate steps which lead from one to the other. But

    the abstract is a vacant form to us until brought into relation with

    man and nature. God and the world are mere names, like the Being of

    the Eleatics, unless some human qualities are added on to them. Yet the

    negation has a kind of unknown meaning to us. The priority of God and

    of the world, which he is imagined to have created, to all other

    existences, gives a solemn awe to them. And as in other systems of

    theology and philosophy, that of which we know least has the greatest

    interest to us.

    There is no use in attempting to define or explain the first God in the

    Platonic system, who has sometimes been thought to answer to God the

    Father; or the world, in whom the Fathers of the Church seemed to

    recognize ‘the firstborn of every creature.’ Nor need we discuss at

    length how far Plato agrees in the later Jewish idea of creation,

    according to which God made the world out of nothing. For his original

    conception of matter as something which has no qualities is really a

    negation. Moreover in the Hebrew Scriptures the creation of the world

    is described, even more explicitly than in the Timaeus, not as a single

    act, but as a work or process which occupied six days. There is a chaos

    in both, and it would be untrue to say that the Greek, any more than the

    Hebrew, had any definite belief in the eternal existence of matter. The

    beginning of things vanished into the distance. The real creation began,

    not with matter, but with ideas. According to Plato in the Timaeus, God

    took of the same and the other, of the divided and undivided, of the

    finite and infinite, and made essence, and out of the three combined

    created the soul of the world. To the soul he added a body formed out

    of the four elements. The general meaning of these words is that God

    imparted determinations of thought, or, as we might say, gave law

    and variety to the material universe. The elements are moving in a

    disorderly manner before the work of creation begins; and there is an

    eternal pattern of the world, which, like the ‘idea of good,’ is not

    the Creator himself, but not separable from him. The pattern too, though

    eternal, is a creation, a world of thought prior to the world of

    sense, which may be compared to the wisdom of God in the book of

    Ecclesiasticus, or to the ‘God in the form of a globe’ of the old

    Eleatic philosophers. The visible, which already exists, is fashioned

    in the likeness of this eternal pattern. On the other hand, there is no

    truth of which Plato is more firmly convinced than of the priority of

    the soul to the body, both in the universe and in man. So inconsistent

    are the forms in which he describes the works which no tongue

    can utter–his language, as he himself says, partaking of his own

    uncertainty about the things of which he is speaking.

    We may remark in passing, that the Platonic compared with the

    Jewish description of the process of creation has less of freedom or

    spontaneity. The Creator in Plato is still subject to a remnant of

    necessity which he cannot wholly overcome. When his work is accomplished

    he remains in his own nature. Plato is more sensible than the Hebrew

    prophet of the existence of evil, which he seeks to put as far as

    possible out of the way of God. And he can only suppose this to be

    accomplished by God retiring into himself and committing the lesser

    works of creation to inferior powers. (Compare, however, Laws for

    another solution of the difficulty.)

    Nor can we attach any intelligible meaning to his words when he speaks

    of the visible being in the image of the invisible. For how can that

    which is divided be like that which is undivided? Or that which

    is changing be the copy of that which is unchanging? All the old

    difficulties about the ideas come back upon us in an altered form. We

    can imagine two worlds, one of which is the mere double of the other, or

    one of which is an imperfect copy of the other, or one of which is the

    vanishing ideal of the other; but we cannot imagine an intellectual

    world which has no qualities–‘a thing in itself’–a point which has no

    parts or magnitude, which is nowhere, and nothing. This cannot be the

    archetype according to which God made the world, and is in reality,

    whether in Plato or in Kant, a mere negative residuum of human thought.

    There is another aspect of the same difficulty which appears to have no

    satisfactory solution. In what relation does the archetype stand to the

    Creator himself? For the idea or pattern of the world is not the thought

    of God, but a separate, self-existent nature, of which creation is

    the copy. We can only reply, (1) that to the mind of Plato subject and

    object were not yet distinguished; (2) that he supposes the process of

    creation to take place in accordance with his own theory of ideas; and

    as we cannot give a consistent account of the one, neither can we of

    the other. He means (3) to say that the creation of the world is not

    a material process of working with legs and arms, but ideal and

    intellectual; according to his own fine expression, ‘the thought of

    God made the God that was to be.’ He means (4) to draw an absolute

    distinction between the invisible or unchangeable which is or is the

    place of mind or being, and the world of sense or becoming which is

    visible and changing. He means (5) that the idea of the world is prior

    to the world, just as the other ideas are prior to sensible objects; and

    like them may be regarded as eternal and self-existent, and also, like

    the IDEA of good, may be viewed apart from the divine mind.

    There are several other questions which we might ask and which can

    receive no answer, or at least only an answer of the same kind as the

    preceding. How can matter be conceived to exist without form? Or, how

    can the essences or forms of things be distinguished from the eternal

    ideas, or essence itself from the soul? Or, how could there have been

    motion in the chaos when as yet time was not? Or, how did chaos come

    into existence, if not by the will of the Creator? Or, how could there

    have been a time when the world was not, if time was not? Or, how could

    the Creator have taken portions of an indivisible same? Or, how could

    space or anything else have been eternal when time is only created? Or,

    how could the surfaces of geometrical figures have formed solids? We

    must reply again that we cannot follow Plato in all his inconsistencies,

    but that the gaps of thought are probably more apparent to us than to

    him. He would, perhaps, have said that ‘the first things are known only

    to God and to him of men whom God loves.’ How often have the gaps in

    Theology been concealed from the eye of faith! And we may say that only

    by an effort of metaphysical imagination can we hope to understand Plato

    from his own point of view; we must not ask for consistency. Everywhere

    we find traces of the Platonic theory of knowledge expressed in an

    objective form, which by us has to be translated into the subjective,

    before we can attach any meaning to it. And this theory is exhibited

    in so many different points of view, that we cannot with any certainty

    interpret one dialogue by another; e.g. the Timaeus by the Parmenides or

    Phaedrus or Philebus.

    The soul of the world may also be conceived as the personification of

    the numbers and figures in which the heavenly bodies move. Imagine

    these as in a Pythagorean dream, stripped of qualitative difference and

    reduced to mathematical abstractions. They too conform to the principle

    of the same, and may be compared with the modern conception of laws of

    nature. They are in space, but not in time, and they are the makers

    of time. They are represented as constantly thinking of the same; for

    thought in the view of Plato is equivalent to truth or law, and need not

    imply a human consciousness, a conception which is familiar enough to

    us, but has no place, hardly even a name, in ancient Greek philosophy.

    To this principle of the same is opposed the principle of the other–the

    principle of irregularity and disorder, of necessity and chance, which

    is only partially impressed by mathematical laws and figures. (We

    may observe by the way, that the principle of the other, which is the

    principle of plurality and variation in the Timaeus, has nothing in

    common with the ‘other’ of the Sophist, which is the principle of

    determination.) The element of the same dominates to a certain extent

    over the other–the fixed stars keep the ‘wanderers’ of the inner circle

    in their courses, and a similar principle of fixedness or order appears

    to regulate the bodily constitution of man. But there still remains a

    rebellious seed of evil derived from the original chaos, which is the

    source of disorder in the world, and of vice and disease in man.

    But what did Plato mean by essence, (Greek), which is the intermediate

    nature compounded of the Same and the Other, and out of which, together

    with these two, the soul of the world is created? It is difficult to

    explain a process of thought so strange and unaccustomed to us, in which

    modern distinctions run into one another and are lost sight of. First,

    let us consider once more the meaning of the Same and the Other. The

    Same is the unchanging and indivisible, the heaven of the fixed stars,

    partaking of the divine nature, which, having law in itself, gives law

    to all besides and is the element of order and permanence in man and

    on the earth. It is the rational principle, mind regarded as a work, as

    creation–not as the creator. The old tradition of Parmenides and of the

    Eleatic Being, the foundation of so much in the philosophy of Greece and

    of the world, was lingering in Plato’s mind. The Other is the variable

    or changing element, the residuum of disorder or chaos, which cannot be

    reduced to order, nor altogether banished, the source of evil, seen in

    the errors of man and also in the wanderings of the planets, a necessity

    which protrudes through nature. Of this too there was a shadow in the

    Eleatic philosophy in the realm of opinion, which, like a mist, seemed

    to darken the purity of truth in itself.–So far the words of Plato may

    perhaps find an intelligible meaning. But when he goes on to speak of

    the Essence which is compounded out of both, the track becomes fainter

    and we can only follow him with hesitating steps. But still we find a

    trace reappearing of the teaching of Anaxagoras: ‘All was confusion, and

    then mind came and arranged things.’ We have already remarked that Plato

    was not acquainted with the modern distinction of subject and object,

    and therefore he sometimes confuses mind and the things of mind–(Greek)

    and (Greek). By (Greek) he clearly means some conception of the

    intelligible and the intelligent; it belongs to the class of (Greek).

    Matter, being, the Same, the eternal,–for any of these terms, being

    almost vacant of meaning, is equally suitable to express indefinite

    existence,–are compared or united with the Other or Diverse, and out of

    the union or comparison is elicited the idea of intelligence, the ‘One

    in many,’ brighter than any Promethean fire (Phil.), which co-existing

    with them and so forming a new existence, is or becomes the intelligible

    world…So we may perhaps venture to paraphrase or interpret or put into

    other words the parable in which Plato has wrapped up his conception

    of the creation of the world. The explanation may help to fill up with

    figures of speech the void of knowledge.

    The entire compound was divided by the Creator in certain proportions

    and reunited; it was then cut into two strips, which were bent into an

    inner circle and an outer, both moving with an uniform motion around a

    centre, the outer circle containing the fixed, the inner the wandering

    stars. The soul of the world was diffused everywhere from the centre to

    the circumference. To this God gave a body, consisting at first of

    fire and earth, and afterwards receiving an addition of air and water;

    because solid bodies, like the world, are always connected by two middle

    terms and not by one. The world was made in the form of a globe, and all

    the material elements were exhausted in the work of creation.

    The proportions in which the soul of the world as well as the human soul

    is divided answer to a series of numbers 1, 2, 3, 4, 9, 8, 27, composed

    of the two Pythagorean progressions 1, 2, 4, 8 and 1, 3, 9, 27, of which

    the number 1 represents a point, 2 and 3 lines, 4 and 8, 9 and 27 the

    squares and cubes respectively of 2 and 3. This series, of which the

    intervals are afterwards filled up, probably represents (1) the diatonic

    scale according to the Pythagoreans and Plato; (2) the order and

    distances of the heavenly bodies; and (3) may possibly contain an

    allusion to the music of the spheres, which is referred to in the myth

    at the end of the Republic. The meaning of the words that ‘solid bodies

    are always connected by two middle terms’ or mean proportionals has

    been much disputed. The most received explanation is that of Martin, who

    supposes that Plato is only speaking of surfaces and solids compounded

    of prime numbers (i.e. of numbers not made up of two factors, or, in

    other words, only measurable by unity). The square of any such number

    represents a surface, the cube a solid. The squares of any two such

    numbers (e.g. 2 squared, 3 squared = 4, 9), have always a single mean

    proportional (e.g. 4 and 9 have the single mean 6), whereas the cubes

    of primes (e.g. 3 cubed and 5 cubed) have always two mean proportionals

    (e.g. 27:45:75:125). But to this explanation of Martin’s it may be

    objected, (1) that Plato nowhere says that his proportion is to be

    limited to prime numbers; (2) that the limitation of surfaces to squares

    is also not to be found in his words; nor (3) is there any evidence to

    show that the distinction of prime from other numbers was known to

    him. What Plato chiefly intends to express is that a solid requires a

    stronger bond than a surface; and that the double bond which is given

    by two means is stronger than the single bond given by one. Having

    reflected on the singular numerical phenomena of the existence of one

    mean proportional between two square numbers are rather perhaps only

    between the two lowest squares; and of two mean proportionals between

    two cubes, perhaps again confining his attention to the two lowest

    cubes, he finds in the latter symbol an expression of the relation

    of the elements, as in the former an image of the combination of two

    surfaces. Between fire and earth, the two extremes, he remarks that

    there are introduced, not one, but two elements, air and water, which

    are compared to the two mean proportionals between two cube numbers.

    The vagueness of his language does not allow us to determine whether

    anything more than this was intended by him.

    Leaving the further explanation of details, which the reader will find

    discussed at length in Boeckh and Martin, we may now return to the main

    argument: Why did God make the world? Like man, he must have a purpose;

    and his purpose is the diffusion of that goodness or good which he

    himself is. The term ‘goodness’ is not to be understood in this passage

    as meaning benevolence or love, in the Christian sense of the term, but

    rather law, order, harmony, like the idea of good in the Republic. The

    ancient mythologers, and even the Hebrew prophets, had spoken of the

    jealousy of God; and the Greek had imagined that there was a Nemesis

    always attending the prosperity of mortals. But Plato delights to think

    of God as the author of order in his works, who, like a father, lives

    over again in his children, and can never have too much of good or

    friendship among his creatures. Only, as there is a certain remnant of

    evil inherent in matter which he cannot get rid of, he detaches himself

    from them and leaves them to themselves, that he may be guiltless of

    their faults and sufferings.

    Between the ideal and the sensible Plato interposes the two natures of

    time and space. Time is conceived by him to be only the shadow or

    image of eternity which ever is and never has been or will be, but is

    described in a figure only as past or future. This is one of the great

    thoughts of early philosophy, which are still as difficult to our minds

    as they were to the early thinkers; or perhaps more difficult, because

    we more distinctly see the consequences which are involved in such

    an hypothesis. All the objections which may be urged against Kant’s

    doctrine of the ideality of space and time at once press upon us. If

    time is unreal, then all which is contained in time is unreal–the

    succession of human thoughts as well as the flux of sensations; there is

    no connecting link between (Greek) and (Greek). Yet, on the other hand,

    we are conscious that knowledge is independent of time, that truth

    is not a thing of yesterday or tomorrow, but an ‘eternal now.’ To the

    ‘spectator of all time and all existence’ the universe remains at rest.

    The truths of geometry and arithmetic in all their combinations are

    always the same. The generations of men, like the leaves of the forest,

    come and go, but the mathematical laws by which the world is governed

    remain, and seem as if they could never change. The ever-present image

    of space is transferred to time–succession is conceived as extension.

    (We remark that Plato does away with the above and below in space, as

    he has done away with the absolute existence of past and future.) The

    course of time, unless regularly marked by divisions of number, partakes

    of the indefiniteness of the Heraclitean flux. By such reflections we

    may conceive the Greek to have attained the metaphysical conception of

    eternity, which to the Hebrew was gained by meditation on the Divine

    Being. No one saw that this objective was really a subjective, and

    involved the subjectivity of all knowledge. ‘Non in tempore sed cum

    tempore finxit Deus mundum,’ says St. Augustine, repeating a thought

    derived from the Timaeus, but apparently unconscious of the results to

    which his doctrine would have led.

    The contradictions involved in the conception of time or motion, like

    the infinitesimal in space, were a source of perplexity to the mind of

    the Greek, who was driven to find a point of view above or beyond them.

    They had sprung up in the decline of the Eleatic philosophy and

    were very familiar to Plato, as we gather from the Parmenides. The

    consciousness of them had led the great Eleatic philosopher to

    describe the nature of God or Being under negatives. He sings of ‘Being

    unbegotten and imperishable, unmoved and never-ending, which never was

    nor will be, but always is, one and continuous, which cannot spring from

    any other; for it cannot be said or imagined not to be.’ The idea

    of eternity was for a great part a negation. There are regions of

    speculation in which the negative is hardly separable from the positive,

    and even seems to pass into it. Not only Buddhism, but Greek as well as

    Christian philosophy, show that it is quite possible that the human mind

    should retain an enthusiasm for mere negations. In different ages and

    countries there have been forms of light in which nothing could be

    discerned and which have nevertheless exercised a life-giving and

    illumining power. For the higher intelligence of man seems to require,

    not only something above sense, but above knowledge, which can only

    be described as Mind or Being or Truth or God or the unchangeable and

    eternal element, in the expression of which all predicates fail and fall

    short. Eternity or the eternal is not merely the unlimited in time

    but the truest of all Being, the most real of all realities, the most

    certain of all knowledge, which we nevertheless only see through a glass

    darkly. The passionate earnestness of Parmenides contrasts with the

    vacuity of the thought which he is revolving in his mind.

    Space is said by Plato to be the ‘containing vessel or nurse of

    generation.’ Reflecting on the simplest kinds of external objects, which

    to the ancients were the four elements, he was led to a more general

    notion of a substance, more or less like themselves, out of which they

    were fashioned. He would not have them too precisely distinguished.

    Thus seems to have arisen the first dim perception of (Greek) or matter,

    which has played so great a part in the metaphysical philosophy of

    Aristotle and his followers. But besides the material out of which the

    elements are made, there is also a space in which they are contained.

    There arises thus a second nature which the senses are incapable of

    discerning and which can hardly be referred to the intelligible class.

    For it is and it is not, it is nowhere when filled, it is nothing

    when empty. Hence it is said to be discerned by a kind of spurious

    or analogous reason, partaking so feebly of existence as to be hardly

    perceivable, yet always reappearing as the containing mother or nurse of

    all things. It had not that sort of consistency to Plato which has been

    given to it in modern times by geometry and metaphysics. Neither of

    the Greek words by which it is described are so purely abstract as the

    English word ‘space’ or the Latin ‘spatium.’ Neither Plato nor any other

    Greek would have spoken of (Greek) or (Greek) in the same manner as we

    speak of ‘time’ and ‘space.’

    Yet space is also of a very permanent or even eternal nature; and

    Plato seems more willing to admit of the unreality of time than of the

    unreality of space; because, as he says, all things must necessarily

    exist in space. We, on the other hand, are disposed to fancy that even

    if space were annihilated time might still survive. He admits indeed

    that our knowledge of space is of a dreamy kind, and is given by a

    spurious reason without the help of sense. (Compare the hypotheses and

    images of Rep.) It is true that it does not attain to the clearness

    of ideas. But like them it seems to remain, even if all the objects

    contained in it are supposed to have vanished away. Hence it was natural

    for Plato to conceive of it as eternal. We must remember further that in

    his attempt to realize either space or matter the two abstract ideas of

    weight and extension, which are familiar to us, had never passed before

    his mind.

    Thus far God, working according to an eternal pattern, out of his

    goodness has created the same, the other, and the essence (compare the

    three principles of the Philebus–the finite, the infinite, and the

    union of the two), and out of them has formed the outer circle of the

    fixed stars and the inner circle of the planets, divided according to

    certain musical intervals; he has also created time, the moving image

    of eternity, and space, existing by a sort of necessity and hardly

    distinguishable from matter. The matter out of which the world is formed

    is not absolutely void, but retains in the chaos certain germs or traces

    of the elements. These Plato, like Empedocles, supposed to be four in

    number–fire, air, earth, and water. They were at first mixed together;

    but already in the chaos, before God fashioned them by form and number,

    the greater masses of the elements had an appointed place. Into the

    confusion (Greek) which preceded Plato does not attempt further to

    penetrate. They are called elements, but they are so far from being

    elements (Greek) or letters in the higher sense that they are not even

    syllables or first compounds. The real elements are two triangles, the

    rectangular isosceles which has but one form, and the most beautiful of

    the many forms of scalene, which is half of an equilateral triangle. By

    the combination of these triangles which exist in an infinite variety of

    sizes, the surfaces of the four elements are constructed.

    That there were only five regular solids was already known to the

    ancients, and out of the surfaces which he has formed Plato proceeds to

    generate the four first of the five. He perhaps forgets that he is only

    putting together surfaces and has not provided for their transformation

    into solids. The first solid is a regular pyramid, of which the base and

    sides are formed by four equilateral or twenty-four scalene triangles.

    Each of the four solid angles in this figure is a little larger than

    the largest of obtuse angles. The second solid is composed of the same

    triangles, which unite as eight equilateral triangles, and make one

    solid angle out of four plane angles–six of these angles form a regular

    octahedron. The third solid is a regular icosahedron, having twenty

    triangular equilateral bases, and therefore 120 rectangular scalene

    triangles. The fourth regular solid, or cube, is formed by the

    combination of four isosceles triangles into one square and of six

    squares into a cube. The fifth regular solid, or dodecahedron, cannot

    be formed by a combination of either of these triangles, but each of its

    faces may be regarded as composed of thirty triangles of another kind.

    Probably Plato notices this as the only remaining regular polyhedron,

    which from its approximation to a globe, and possibly because, as

    Plutarch remarks, it is composed of 12 x 30 = 360 scalene triangles

    (Platon. Quaest.), representing thus the signs and degrees of the

    Zodiac, as well as the months and days of the year, God may be said to

    have ‘used in the delineation of the universe.’ According to Plato

    earth was composed of cubes, fire of regular pyramids, air of regular

    octahedrons, water of regular icosahedrons. The stability of the last

    three increases with the number of their sides.

    The elements are supposed to pass into one another, but we must remember

    that these transformations are not the transformations of real solids,

    but of imaginary geometrical figures; in other words, we are composing

    and decomposing the faces of substances and not the substances

    themselves–it is a house of cards which we are pulling to pieces and

    putting together again (compare however Laws). Yet perhaps Plato may

    regard these sides or faces as only the forms which are impressed on

    pre-existent matter. It is remarkable that he should speak of each of

    these solids as a possible world in itself, though upon the whole

    he inclines to the opinion that they form one world and not five.

    To suppose that there is an infinite number of worlds, as Democritus

    (Hippolyt. Ref. Haer. I.) had said, would be, as he satirically

    observes, ‘the characteristic of a very indefinite and ignorant mind.’

    The twenty triangular faces of an icosahedron form the faces or sides of

    two regular octahedrons and of a regular pyramid (20 = 8 x 2 + 4); and

    therefore, according to Plato, a particle of water when decomposed is

    supposed to give two particles of air and one of fire. So because an

    octahedron gives the sides of two pyramids (8 = 4 x 2), a particle of

    air is resolved into two particles of fire.

    The transformation is effected by the superior power or number of the

    conquering elements. The manner of the change is (1) a separation of

    portions of the elements from the masses in which they are collected;

    (2) a resolution of them into their original triangles; and (3) a

    reunion of them in new forms. Plato himself proposes the question,

    Why does motion continue at all when the elements are settled in their

    places? He answers that although the force of attraction is continually

    drawing similar elements to the same spot, still the revolution of the

    universe exercises a condensing power, and thrusts them again out of

    their natural places. Thus want of uniformity, the condition of motion,

    is produced. In all such disturbances of matter there is an alternative

    for the weaker element: it may escape to its kindred, or take the form

    of the stronger–becoming denser, if it be denser, or rarer if rarer.

    This is true of fire, air, and water, which, being composed of similar

    triangles, are interchangeable; earth, however, which has triangles

    peculiar to itself, is capable of dissolution, but not of change. Of the

    interchangeable elements, fire, the rarest, can only become a denser,

    and water, the densest, only a rarer: but air may become a denser or

    a rarer. No single particle of the elements is visible, but only the

    aggregates of them are seen. The subordinate species depend, not upon

    differences of form in the original triangles, but upon differences of

    size. The obvious physical phenomena from which Plato has gathered his

    views of the relations of the elements seem to be the effect of fire

    upon air, water, and earth, and the effect of water upon earth.

    The particles are supposed by him to be in a perpetual process of

    circulation caused by inequality. This process of circulation does not

    admit of a vacuum, as he tells us in his strange account of respiration.

    Of the phenomena of light and heavy he speaks afterwards, when treating

    of sensation, but they may be more conveniently considered by us in this

    place. They are not, he says, to be explained by ‘above’ and ‘below,’

    which in the universal globe have no existence, but by the attraction of

    similars towards the great masses of similar substances; fire to

    fire, air to air, water to water, earth to earth. Plato’s doctrine of

    attraction implies not only (1) the attraction of similar elements

    to one another, but also (2) of smaller bodies to larger ones. Had he

    confined himself to the latter he would have arrived, though, perhaps,

    without any further result or any sense of the greatness of the

    discovery, at the modern doctrine of gravitation. He does not observe

    that water has an equal tendency towards both water and earth. So easily

    did the most obvious facts which were inconsistent with his theories

    escape him.

    The general physical doctrines of the Timaeus may be summed up as

    follows: (1) Plato supposes the greater masses of the elements to have

    been already settled in their places at the creation: (2) they are four

    in number, and are formed of rectangular triangles variously combined

    into regular solid figures: (3) three of them, fire, air, and water,

    admit of transformation into one another; the fourth, earth, cannot be

    similarly transformed: (4) different sizes of the same triangles form

    the lesser species of each element: (5) there is an attraction of like

    to like–smaller masses of the same kind being drawn towards greater:

    (6) there is no void, but the particles of matter are ever pushing one

    another round and round (Greek). Like the atomists, Plato attributes the

    differences between the elements to differences in geometrical figures.

    But he does not explain the process by which surfaces become solids;

    and he characteristically ridicules Democritus for not seeing that the

    worlds are finite and not infinite.

    Section 4.

    The astronomy of Plato is based on the two principles of the same and

    the other, which God combined in the creation of the world. The soul,

    which is compounded of the same, the other, and the essence, is diffused

    from the centre to the circumference of the heavens. We speak of a soul

    of the universe; but more truly regarded, the universe of the Timaeus is

    a soul, governed by mind, and holding in solution a residuum of matter

    or evil, which the author of the world is unable to expel, and of which

    Plato cannot tell us the origin. The creation, in Plato’s sense, is

    really the creation of order; and the first step in giving order is the

    division of the heavens into an inner and outer circle of the other and

    the same, of the divisible and the indivisible, answering to the two

    spheres, of the planets and of the world beyond them, all together

    moving around the earth, which is their centre. To us there is a

    difficulty in apprehending how that which is at rest can also be in

    motion, or that which is indivisible exist in space. But the whole

    description is so ideal and imaginative, that we can hardly venture to

    attribute to many of Plato’s words in the Timaeus any more meaning

    than to his mythical account of the heavens in the Republic and in the

    Phaedrus. (Compare his denial of the ‘blasphemous opinion’ that there

    are planets or wandering stars; all alike move in circles–Laws.) The

    stars are the habitations of the souls of men, from which they come and

    to which they return. In attributing to the fixed stars only the most

    perfect motion–that which is on the same spot or circulating around the

    same–he might perhaps have said that to ‘the spectator of all time and

    all existence,’ to borrow once more his own grand expression, or viewed,

    in the language of Spinoza, ‘sub specie aeternitatis,’ they were still

    at rest, but appeared to move in order to teach men the periods of time.

    Although absolutely in motion, they are relatively at rest; or we

    may conceive of them as resting, while the space in which they are

    contained, or the whole anima mundi, revolves.

    The universe revolves around a centre once in twenty-four hours, but the

    orbits of the fixed stars take a different direction from those of the

    planets. The outer and the inner sphere cross one another and meet again

    at a point opposite to that of their first contact; the first moving in

    a circle from left to right along the side of a parallelogram which is

    supposed to be inscribed in it, the second also moving in a circle along

    the diagonal of the same parallelogram from right to left; or, in other

    words, the first describing the path of the equator, the second, the

    path of the ecliptic. The motion of the second is controlled by the

    first, and hence the oblique line in which the planets are supposed to

    move becomes a spiral. The motion of the same is said to be undivided,

    whereas the inner motion is split into seven unequal orbits–the

    intervals between them being in the ratio of two and three, three of

    either:–the Sun, moving in the opposite direction to Mercury and

    Venus, but with equal swiftness; the remaining four, Moon, Saturn, Mars,

    Jupiter, with unequal swiftness to the former three and to one another.

    Thus arises the following progression:–Moon 1, Sun 2, Venus 3, Mercury

    4, Mars 8, Jupiter 9, Saturn 27. This series of numbers is the compound

    of the two Pythagorean ratios, having the same intervals, though not in

    the same order, as the mixture which was originally divided in forming

    the soul of the world.

    Plato was struck by the phenomenon of Mercury, Venus, and the Sun

    appearing to overtake and be overtaken by one another. The true reason

    of this, namely, that they lie within the circle of the earth’s orbit,

    was unknown to him, and the reason which he gives–that the two former

    move in an opposite direction to the latter–is far from explaining the

    appearance of them in the heavens. All the planets, including the sun,

    are carried round in the daily motion of the circle of the fixed stars,

    and they have a second or oblique motion which gives the explanation

    of the different lengths of the sun’s course in different parts of the

    earth. The fixed stars have also two movements–a forward movement in

    their orbit which is common to the whole circle; and a movement on the

    same spot around an axis, which Plato calls the movement of thought

    about the same. In this latter respect they are more perfect than the

    wandering stars, as Plato himself terms them in the Timaeus, although in

    the Laws he condemns the appellation as blasphemous.

    The revolution of the world around earth, which is accomplished in

    a single day and night, is described as being the most perfect or

    intelligent. Yet Plato also speaks of an ‘annus magnus’ or cyclical

    year, in which periods wonderful for their complexity are found to

    coincide in a perfect number, i.e. a number which equals the sum of its

    factors, as 6 = 1 + 2 + 3. This, although not literally contradictory,

    is in spirit irreconcilable with the perfect revolution of twenty-four

    hours. The same remark may be applied to the complexity of the

    appearances and occultations of the stars, which, if the outer heaven is

    supposed to be moving around the centre once in twenty-four hours, must

    be confined to the effects produced by the seven planets. Plato seems to

    confuse the actual observation of the heavens with his desire to find in

    them mathematical perfection. The same spirit is carried yet further

    by him in the passage already quoted from the Laws, in which he affirms

    their wanderings to be an appearance only, which a little knowledge of

    mathematics would enable men to correct.

    We have now to consider the much discussed question of the rotation or

    immobility of the earth. Plato’s doctrine on this subject is contained

    in the following words:–‘The earth, which is our nurse, compacted (OR

    revolving) around the pole which is extended through the universe, he

    made to be the guardian and artificer of night and day, first and eldest

    of gods that are in the interior of heaven’. There is an unfortunate

    doubt in this passage (1) about the meaning of the word (Greek), which

    is translated either ‘compacted’ or ‘revolving,’ and is equally capable

    of both explanations. A doubt (2) may also be raised as to whether the

    words ‘artificer of day and night’ are consistent with the mere passive

    causation of them, produced by the immobility of the earth in the midst

    of the circling universe. We must admit, further, (3) that Aristotle

    attributed to Plato the doctrine of the rotation of the earth on its

    axis. On the other hand it has been urged that if the earth goes round

    with the outer heaven and sun in twenty-four hours, there is no way of

    accounting for the alternation of day and night; since the equal motion

    of the earth and sun would have the effect of absolute immobility. To

    which it may be replied that Plato never says that the earth goes round

    with the outer heaven and sun; although the whole question depends on

    the relation of earth and sun, their movements are nowhere precisely

    described. But if we suppose, with Mr. Grote, that the diurnal rotation

    of the earth on its axis and the revolution of the sun and outer heaven

    precisely coincide, it would be difficult to imagine that Plato was

    unaware of the consequence. For though he was ignorant of many things

    which are familiar to us, and often confused in his ideas where we have

    become clear, we have no right to attribute to him a childish want of

    reasoning about very simple facts, or an inability to understand the

    necessary and obvious deductions from geometrical figures or movements.

    Of the causes of day and night the pre-Socratic philosophers, and

    especially the Pythagoreans, gave various accounts, and therefore the

    question can hardly be imagined to have escaped him. On the other hand

    it may be urged that the further step, however simple and obvious, is

    just what Plato often seems to be ignorant of, and that as there is

    no limit to his insight, there is also no limit to the blindness which

    sometimes obscures his intelligence (compare the construction of solids

    out of surfaces in his account of the creation of the world, or the

    attraction of similars to similars). Further, Mr. Grote supposes, not

    that (Greek) means ‘revolving,’ or that this is the sense in which

    Aristotle understood the word, but that the rotation of the earth is

    necessarily implied in its adherence to the cosmical axis. But (a) if,

    as Mr Grote assumes, Plato did not see that the rotation of the earth

    on its axis and of the sun and outer heavens around the earth in equal

    times was inconsistent with the alternation of day and night, neither

    need we suppose that he would have seen the immobility of the earth to

    be inconsistent with the rotation of the axis. And (b) what proof is

    there that the axis of the world revolves at all? (c) The comparison of

    the two passages quoted by Mr Grote (see his pamphlet on ‘The Rotation

    of the Earth’) from Aristotle De Coelo, Book II (Greek) clearly shows,

    although this is a matter of minor importance, that Aristotle, as

    Proclus and Simplicius supposed, understood (Greek) in the Timaeus to

    mean ‘revolving.’ For the second passage, in which motion on an axis is

    expressly mentioned, refers to the first, but this would be unmeaning

    unless (Greek) in the first passage meant rotation on an axis. (4)

    The immobility of the earth is more in accordance with Plato’s other

    writings than the opposite hypothesis. For in the Phaedo the earth is

    described as the centre of the world, and is not said to be in motion.

    In the Republic the pilgrims appear to be looking out from the earth

    upon the motions of the heavenly bodies; in the Phaedrus, Hestia,

    who remains immovable in the house of Zeus while the other gods go in

    procession, is called the first and eldest of the gods, and is probably

    the symbol of the earth. The silence of Plato in these and in some other

    passages (Laws) in which he might be expected to speak of the rotation

    of the earth, is more favourable to the doctrine of its immobility than

    to the opposite. If he had meant to say that the earth revolves on its

    axis, he would have said so in distinct words, and have explained the

    relation of its movements to those of the other heavenly bodies. (5)

    The meaning of the words ‘artificer of day and night’ is literally true

    according to Plato’s view. For the alternation of day and night is not

    produced by the motion of the heavens alone, or by the immobility of the

    earth alone, but by both together; and that which has the inherent force

    or energy to remain at rest when all other bodies are moving, may be

    truly said to act, equally with them. (6) We should not lay too much

    stress on Aristotle or the writer De Caelo having adopted the other

    interpretation of the words, although Alexander of Aphrodisias thinks

    that he could not have been ignorant either of the doctrine of Plato

    or of the sense which he intended to give to the word (Greek). For the

    citations of Plato in Aristotle are frequently misinterpreted by him;

    and he seems hardly ever to have had in his mind the connection in which

    they occur. In this instance the allusion is very slight, and there

    is no reason to suppose that the diurnal revolution of the heavens was

    present to his mind. Hence we need not attribute to him the error from

    which we are defending Plato.

    After weighing one against the other all these complicated

    probabilities, the final conclusion at which we arrive is that there

    is nearly as much to be said on the one side of the question as on the

    other, and that we are not perfectly certain, whether, as Bockh and the

    majority of commentators, ancient as well as modern, are inclined to

    believe, Plato thought that the earth was at rest in the centre of the

    universe, or, as Aristotle and Mr. Grote suppose, that it revolved on

    its axis. Whether we assume the earth to be stationary in the centre of

    the universe, or to revolve with the heavens, no explanation is given of

    the variation in the length of days and nights at different times of the

    year. The relations of the earth and heavens are so indistinct in the

    Timaeus and so figurative in the Phaedo, Phaedrus and Republic, that we

    must give up the hope of ascertaining how they were imagined by Plato,

    if he had any fixed or scientific conception of them at all.

    Section 5.

    The soul of the world is framed on the analogy of the soul of man, and

    many traces of anthropomorphism blend with Plato’s highest flights of

    idealism. The heavenly bodies are endowed with thought; the principles

    of the same and other exist in the universe as well as in the human

    mind. The soul of man is made out of the remains of the elements which

    had been used in creating the soul of the world; these remains, however,

    are diluted to the third degree; by this Plato expresses the measure of

    the difference between the soul human and divine. The human soul, like

    the cosmical, is framed before the body, as the mind is before the soul

    of either–this is the order of the divine work–and the finer parts of

    the body, which are more akin to the soul, such as the spinal marrow,

    are prior to the bones and flesh. The brain, the containing vessel of

    the divine part of the soul, is (nearly) in the form of a globe, which

    is the image of the gods, who are the stars, and of the universe.

    There is, however, an inconsistency in Plato’s manner of conceiving

    the soul of man; he cannot get rid of the element of necessity which is

    allowed to enter. He does not, like Kant, attempt to vindicate for men a

    freedom out of space and time; but he acknowledges him to be subject

    to the influence of external causes, and leaves hardly any place

    for freedom of the will. The lusts of men are caused by their bodily

    constitution, though they may be increased by bad education and bad

    laws, which implies that they may be decreased by good education and

    good laws. He appears to have an inkling of the truth that to the higher

    nature of man evil is involuntary. This is mixed up with the view which,

    while apparently agreeing with it, is in reality the opposite of it,

    that vice is due to physical causes. In the Timaeus, as well as in the

    Laws, he also regards vices and crimes as simply involuntary; they are

    diseases analogous to the diseases of the body, and arising out of the

    same causes. If we draw together the opposite poles of Plato’s system,

    we find that, like Spinoza, he combines idealism with fatalism.

    The soul of man is divided by him into three parts, answering roughly

    to the charioteer and steeds of the Phaedrus, and to the (Greek) of the

    Republic and Nicomachean Ethics. First, there is the immortal nature

    of which the brain is the seat, and which is akin to the soul of the

    universe. This alone thinks and knows and is the ruler of the whole.

    Secondly, there is the higher mortal soul which, though liable to

    perturbations of her own, takes the side of reason against the lower

    appetites. The seat of this is the heart, in which courage, anger, and

    all the nobler affections are supposed to reside. There the veins all

    meet; it is their centre or house of guard whence they carry the orders

    of the thinking being to the extremities of his kingdom. There is also

    a third or appetitive soul, which receives the commands of the immortal

    part, not immediately but mediately, through the liver, which reflects

    on its surface the admonitions and threats of the reason.

    The liver is imagined by Plato to be a smooth and bright substance,

    having a store of sweetness and also of bitterness, which reason freely

    uses in the execution of her mandates. In this region, as ancient

    superstition told, were to be found intimations of the future. But

    Plato is careful to observe that although such knowledge is given to the

    inferior parts of man, it requires to be interpreted by the superior.

    Reason, and not enthusiasm, is the true guide of man; he is only

    inspired when he is demented by some distemper or possession. The

    ancient saying, that ‘only a man in his senses can judge of his own

    actions,’ is approved by modern philosophy too. The same irony which

    appears in Plato’s remark, that ‘the men of old time must surely have

    known the gods who were their ancestors, and we should believe them as

    custom requires,’ is also manifest in his account of divination.

    The appetitive soul is seated in the belly, and there imprisoned like

    a wild beast, far away from the council chamber, as Plato graphically

    calls the head, in order that the animal passions may not interfere with

    the deliberations of reason. Though the soul is said by him to be prior

    to the body, yet we cannot help seeing that it is constructed on the

    model of the body–the threefold division into the rational, passionate,

    and appetitive corresponding to the head, heart and belly. The human

    soul differs from the soul of the world in this respect, that it is

    enveloped and finds its expression in matter, whereas the soul of the

    world is not only enveloped or diffused in matter, but is the element

    in which matter moves. The breath of man is within him, but the air or

    aether of heaven is the element which surrounds him and all things.

    Pleasure and pain are attributed in the Timaeus to the suddenness of our

    sensations–the first being a sudden restoration, the second a sudden

    violation, of nature (Phileb.). The sensations become conscious to us

    when they are exceptional. Sight is not attended either by pleasure or

    pain, but hunger and the appeasing of hunger are pleasant and painful

    because they are extraordinary.

    Section 6.

    I shall not attempt to connect the physiological speculations of Plato

    either with ancient or modern medicine. What light I can throw upon them

    will be derived from the comparison of them with his general system.

    There is no principle so apparent in the physics of the Timaeus, or in

    ancient physics generally, as that of continuity. The world is conceived

    of as a whole, and the elements are formed into and out of one another;

    the varieties of substances and processes are hardly known or noticed.

    And in a similar manner the human body is conceived of as a whole, and

    the different substances of which, to a superficial observer, it appears

    to be composed–the blood, flesh, sinews–like the elements out of which

    they are formed, are supposed to pass into one another in regular order,

    while the infinite complexity of the human frame remains unobserved. And

    diseases arise from the opposite process–when the natural proportions

    of the four elements are disturbed, and the secondary substances which

    are formed out of them, namely, blood, flesh, sinews, are generated in

    an inverse order.

    Plato found heat and air within the human frame, and the blood

    circulating in every part. He assumes in language almost unintelligible

    to us that a network of fire and air envelopes the greater part of the

    body. This outer net contains two lesser nets, one corresponding to

    the stomach, the other to the lungs; and the entrance to the latter is

    forked or divided into two passages which lead to the nostrils and to

    the mouth. In the process of respiration the external net is said to

    find a way in and out of the pores of the skin: while the interior of

    it and the lesser nets move alternately into each other. The whole

    description is figurative, as Plato himself implies when he speaks of a

    ‘fountain of fire which we compare to the network of a creel.’ He really

    means by this what we should describe as a state of heat or temperature

    in the interior of the body. The ‘fountain of fire’ or heat is also in a

    figure the circulation of the blood. The passage is partly imagination,

    partly fact.

    He has a singular theory of respiration for which he accounts solely by

    the movement of the air in and out of the body; he does not attribute

    any part of the process to the action of the body itself. The air has

    a double ingress and a double exit, through the mouth or nostrils, and

    through the skin. When exhaled through the mouth or nostrils, it leaves

    a vacuum which is filled up by other air finding a way in through the

    pores, this air being thrust out of its place by the exhalation from the

    mouth and nostrils. There is also a corresponding process of inhalation

    through the mouth or nostrils, and of exhalation through the pores. The

    inhalation through the pores appears to take place nearly at the same

    time as the exhalation through the mouth; and conversely. The internal

    fire is in either case the propelling cause outwards–the inhaled air,

    when heated by it, having a natural tendency to move out of the body to

    the place of fire; while the impossibility of a vacuum is the propelling

    cause inwards.

    Thus we see that this singular theory is dependent on two principles

    largely employed by Plato in explaining the operations of nature, the

    impossibility of a vacuum and the attraction of like to like. To these

    there has to be added a third principle, which is the condition of

    the action of the other two,–the interpenetration of particles in

    proportion to their density or rarity. It is this which enables fire and

    air to permeate the flesh.

    Plato’s account of digestion and the circulation of the blood is closely

    connected with his theory of respiration. Digestion is supposed to be

    effected by the action of the internal fire, which in the process of

    respiration moves into the stomach and minces the food. As the fire

    returns to its place, it takes with it the minced food or blood; and in

    this way the veins are replenished. Plato does not enquire how the blood

    is separated from the faeces.

    Of the anatomy and functions of the body he knew very little,–e.g.

    of the uses of the nerves in conveying motion and sensation, which he

    supposed to be communicated by the bones and veins; he was also ignorant

    of the distinction between veins and arteries;–the latter term

    he applies to the vessels which conduct air from the mouth to the

    lungs;–he supposes the lung to be hollow and bloodless; the spinal

    marrow he conceives to be the seed of generation; he confuses the parts

    of the body with the states of the body–the network of fire and air is

    spoken of as a bodily organ; he has absolutely no idea of the phenomena

    of respiration, which he attributes to a law of equalization in nature,

    the air which is breathed out displacing other air which finds a way

    in; he is wholly unacquainted with the process of digestion. Except the

    general divisions into the spleen, the liver, the belly, and the lungs,

    and the obvious distinctions of flesh, bones, and the limbs of the body,

    we find nothing that reminds us of anatomical facts. But we find much

    which is derived from his theory of the universe, and transferred

    to man, as there is much also in his theory of the universe which is

    suggested by man. The microcosm of the human body is the lesser image of

    the macrocosm. The courses of the same and the other affect both; they

    are made of the same elements and therefore in the same proportions.

    Both are intelligent natures endued with the power of self-motion,

    and the same equipoise is maintained in both. The animal is a sort of

    ‘world’ to the particles of the blood which circulate in it. All the

    four elements entered into the original composition of the human frame;

    the bone was formed out of smooth earth; liquids of various kinds pass

    to and fro; the network of fire and air irrigates the veins. Infancy

    and childhood is the chaos or first turbid flux of sense prior to the

    establishment of order; the intervals of time which may be observed in

    some intermittent fevers correspond to the density of the elements. The

    spinal marrow, including the brain, is formed out of the finest sorts of

    triangles, and is the connecting link between body and mind. Health is

    only to be preserved by imitating the motions of the world in space,

    which is the mother and nurse of generation. The work of digestion

    is carried on by the superior sharpness of the triangles forming the

    substances of the human body to those which are introduced into it in

    the shape of food. The freshest and acutest forms of triangles are those

    that are found in children, but they become more obtuse with advancing

    years; and when they finally wear out and fall to pieces, old age and

    death supervene.

    As in the Republic, Plato is still the enemy of the purgative treatment

    of physicians, which, except in extreme cases, no man of sense will ever

    adopt. For, as he adds, with an insight into the truth, ‘every disease

    is akin to the nature of the living being and is only irritated by

    stimulants.’ He is of opinion that nature should be left to herself, and

    is inclined to think that physicians are in vain (Laws–where he says

    that warm baths would be more beneficial to the limbs of the aged rustic

    than the prescriptions of a not over-wise doctor). If he seems to be

    extreme in his condemnation of medicine and to rely too much on diet and

    exercise, he might appeal to nearly all the best physicians of our own

    age in support of his opinions, who often speak to their patients of the

    worthlessness of drugs. For we ourselves are sceptical about medicine,

    and very unwilling to submit to the purgative treatment of physicians.

    May we not claim for Plato an anticipation of modern ideas as about some

    questions of astronomy and physics, so also about medicine? As in the

    Charmides he tells us that the body cannot be cured without the soul,

    so in the Timaeus he strongly asserts the sympathy of soul and body;

    any defect of either is the occasion of the greatest discord and

    disproportion in the other. Here too may be a presentiment that in the

    medicine of the future the interdependence of mind and body will be more

    fully recognized, and that the influence of the one over the other may

    be exerted in a manner which is not now thought possible.

    Section 7.

    In Plato’s explanation of sensation we are struck by the fact that

    he has not the same distinct conception of organs of sense which is

    familiar to ourselves. The senses are not instruments, but rather

    passages, through which external objects strike upon the mind. The eye

    is the aperture through which the stream of vision passes, the ear is

    the aperture through which the vibrations of sound pass. But that the

    complex structure of the eye or the ear is in any sense the cause of

    sight and hearing he seems hardly to be aware.

    The process of sight is the most complicated (Rep.), and consists of

    three elements–the light which is supposed to reside within the eye,

    the light of the sun, and the light emitted from external objects. When

    the light of the eye meets the light of the sun, and both together meet

    the light issuing from an external object, this is the simple act of

    sight. When the particles of light which proceed from the object are

    exactly equal to the particles of the visual ray which meet them from

    within, then the body is transparent. If they are larger and contract

    the visual ray, a black colour is produced; if they are smaller and

    dilate it, a white. Other phenomena are produced by the variety and

    motion of light. A sudden flash of fire at once elicits light and

    moisture from the eye, and causes a bright colour. A more subdued light,

    on mingling with the moisture of the eye, produces a red colour. Out

    of these elements all other colours are derived. All of them are

    combinations of bright and red with white and black. Plato himself tells

    us that he does not know in what proportions they combine, and he is of

    opinion that such knowledge is granted to the gods only. To have seen

    the affinity of them to each other and their connection with light, is

    not a bad basis for a theory of colours. We must remember that they were

    not distinctly defined to his, as they are to our eyes; he saw them, not

    as they are divided in the prism, or artificially manufactured for the

    painter’s use, but as they exist in nature, blended and confused with

    one another.

    We can hardly agree with him when he tells us that smells do not admit

    of kinds. He seems to think that no definite qualities can attach to

    bodies which are in a state of transition or evaporation; he also makes

    the subtle observation that smells must be denser than air, though

    thinner than water, because when there is an obstruction to the

    breathing, air can penetrate, but not smell.

    The affections peculiar to the tongue are of various kinds, and, like

    many other affections, are caused by contraction and dilation. Some of

    them are produced by rough, others by abstergent, others by inflammatory

    substances,–these act upon the testing instruments of the tongue, and

    produce a more or less disagreeable sensation, while other particles

    congenial to the tongue soften and harmonize them. The instruments of

    taste reach from the tongue to the heart. Plato has a lively sense of

    the manner in which sensation and motion are communicated from one part

    of the body to the other, though he confuses the affections with the

    organs. Hearing is a blow which passes through the ear and ends in the

    region of the liver, being transmitted by means of the air, the brain,

    and the blood to the soul. The swifter sound is acute, the sound which

    moves slowly is grave. A great body of sound is loud, the opposite

    is low. Discord is produced by the swifter and slower motions of two

    sounds, and is converted into harmony when the swifter motions begin to

    pause and are overtaken by the slower.

    The general phenomena of sensation are partly internal, but the more

    violent are caused by conflict with external objects. Proceeding by a

    method of superficial observation, Plato remarks that the more sensitive

    parts of the human frame are those which are least covered by flesh,

    as is the case with the head and the elbows. Man, if his head had been

    covered with a thicker pulp of flesh, might have been a longer-lived

    animal than he is, but could not have had as quick perceptions. On the

    other hand, the tongue is one of the most sensitive of organs; but then

    this is made, not to be a covering to the bones which contain the marrow

    or source of life, but with an express purpose, and in a separate mass.

    Section 8.

    We have now to consider how far in any of these speculations Plato

    approximated to the discoveries of modern science. The modern physical

    philosopher is apt to dwell exclusively on the absurdities of ancient

    ideas about science, on the haphazard fancies and a priori assumptions

    of ancient teachers, on their confusion of facts and ideas, on their

    inconsistency and blindness to the most obvious phenomena. He measures

    them not by what preceded them, but by what has followed them. He does

    not consider that ancient physical philosophy was not a free enquiry,

    but a growth, in which the mind was passive rather than active, and

    was incapable of resisting the impressions which flowed in upon it.

    He hardly allows to the notions of the ancients the merit of being the

    stepping-stones by which he has himself risen to a higher knowledge. He

    never reflects, how great a thing it was to have formed a conception,

    however imperfect, either of the human frame as a whole, or of the world

    as a whole. According to the view taken in these volumes the errors of

    ancient physicists were not separable from the intellectual conditions

    under which they lived. Their genius was their own; and they were not

    the rash and hasty generalizers which, since the days of Bacon, we

    have been apt to suppose them. The thoughts of men widened to receive

    experience; at first they seemed to know all things as in a dream: after

    a while they look at them closely and hold them in their hands. They

    begin to arrange them in classes and to connect causes with effects.

    General notions are necessary to the apprehension of particular facts,

    the metaphysical to the physical. Before men can observe the world, they

    must be able to conceive it.

    To do justice to the subject, we should consider the physical philosophy

    of the ancients as a whole; we should remember, (1) that the nebular

    theory was the received belief of several of the early physicists; (2)

    that the development of animals out of fishes who came to land, and of

    man out of the animals, was held by Anaximander in the sixth century

    before Christ (Plut. Symp. Quaest; Plac. Phil.); (3) that even by

    Philolaus and the early Pythagoreans, the earth was held to be a body

    like the other stars revolving in space around the sun or a central

    fire; (4) that the beginnings of chemistry are discernible in the

    ‘similar particles’ of Anaxagoras. Also they knew or thought (5) that

    there was a sex in plants as well as in animals; (6) they were aware

    that musical notes depended on the relative length or tension of the

    strings from which they were emitted, and were measured by ratios

    of number; (7) that mathematical laws pervaded the world; and even

    qualitative differences were supposed to have their origin in number and

    figure; (8) the annihilation of matter was denied by several of them,

    and the seeming disappearance of it held to be a transformation only.

    For, although one of these discoveries might have been supposed to be

    a happy guess, taken together they seem to imply a great advance and

    almost maturity of natural knowledge.

    We should also remember, when we attribute to the ancients hasty

    generalizations and delusions of language, that physical philosophy and

    metaphysical too have been guilty of similar fallacies in quite recent

    times. We by no means distinguish clearly between mind and body, between

    ideas and facts. Have not many discussions arisen about the Atomic

    theory in which a point has been confused with a material atom? Have not

    the natures of things been explained by imaginary entities, such as

    life or phlogiston, which exist in the mind only? Has not disease been

    regarded, like sin, sometimes as a negative and necessary, sometimes as

    a positive or malignant principle? The ‘idols’ of Bacon are nearly as

    common now as ever; they are inherent in the human mind, and when they

    have the most complete dominion over us, we are least able to perceive

    them. We recognize them in the ancients, but we fail to see them in

    ourselves.

    Such reflections, although this is not the place in which to dwell upon

    them at length, lead us to take a favourable view of the speculations

    of the Timaeus. We should consider not how much Plato actually knew, but

    how far he has contributed to the general ideas of physics, or supplied

    the notions which, whether true or false, have stimulated the minds

    of later generations in the path of discovery. Some of them may seem

    old-fashioned, but may nevertheless have had a great influence in

    promoting system and assisting enquiry, while in others we hear the

    latest word of physical or metaphysical philosophy. There is also an

    intermediate class, in which Plato falls short of the truths of modern

    science, though he is not wholly unacquainted with them. (1) To the

    first class belongs the teleological theory of creation. Whether all

    things in the world can be explained as the result of natural laws, or

    whether we must not admit of tendencies and marks of design also, has

    been a question much disputed of late years. Even if all phenomena are

    the result of natural forces, we must admit that there are many things

    in heaven and earth which are as well expressed under the image of mind

    or design as under any other. At any rate, the language of Plato has

    been the language of natural theology down to our own time, nor can any

    description of the world wholly dispense with it. The notion of first

    and second or co-operative causes, which originally appears in the

    Timaeus, has likewise survived to our own day, and has been a great

    peace-maker between theology and science. Plato also approaches very

    near to our doctrine of the primary and secondary qualities of matter.

    (2) Another popular notion which is found in the Timaeus, is the

    feebleness of the human intellect–‘God knows the original qualities of

    things; man can only hope to attain to probability.’ We speak in almost

    the same words of human intelligence, but not in the same manner of the

    uncertainty of our knowledge of nature. The reason is that the latter is

    assured to us by experiment, and is not contrasted with the certainty

    of ideal or mathematical knowledge. But the ancient philosopher never

    experimented: in the Timaeus Plato seems to have thought that there

    would be impiety in making the attempt; he, for example, who tried

    experiments in colours would ‘forget the difference of the human and

    divine natures.’ Their indefiniteness is probably the reason why he

    singles them out, as especially incapable of being tested by experiment.

    (Compare the saying of Anaxagoras–Sext. Pyrrh.–that since snow is made

    of water and water is black, snow ought to be black.)

    The greatest ‘divination’ of the ancients was the supremacy which they

    assigned to mathematics in all the realms of nature; for in all of them

    there is a foundation of mechanics. Even physiology partakes of figure

    and number; and Plato is not wrong in attributing them to the human

    frame, but in the omission to observe how little could be explained by

    them. Thus we may remark in passing that the most fanciful of ancient

    philosophies is also the most nearly verified in fact. The fortunate

    guess that the world is a sum of numbers and figures has been the most

    fruitful of anticipations. The ‘diatonic’ scale of the Pythagoreans

    and Plato suggested to Kepler that the secret of the distances of the

    planets from one another was to be found in mathematical proportions.

    The doctrine that the heavenly bodies all move in a circle is known by

    us to be erroneous; but without such an error how could the human mind

    have comprehended the heavens? Astronomy, even in modern times, has

    made far greater progress by the high a priori road than could have been

    attained by any other. Yet, strictly speaking–and the remark applies

    to ancient physics generally–this high a priori road was based upon a

    posteriori grounds. For there were no facts of which the ancients were

    so well assured by experience as facts of number. Having observed that

    they held good in a few instances, they applied them everywhere; and in

    the complexity, of which they were capable, found the explanation of the

    equally complex phenomena of the universe. They seemed to see them in

    the least things as well as in the greatest; in atoms, as well as in

    suns and stars; in the human body as well as in external nature. And

    now a favourite speculation of modern chemistry is the explanation of

    qualitative difference by quantitative, which is at present verified to

    a certain extent and may hereafter be of far more universal application.

    What is this but the atoms of Democritus and the triangles of Plato? The

    ancients should not be wholly deprived of the credit of their guesses

    because they were unable to prove them. May they not have had, like the

    animals, an instinct of something more than they knew?

    Besides general notions we seem to find in the Timaeus some more precise

    approximations to the discoveries of modern physical science. First,

    the doctrine of equipoise. Plato affirms, almost in so many words, that

    nature abhors a vacuum. Whenever a particle is displaced, the rest push

    and thrust one another until equality is restored. We must remember that

    these ideas were not derived from any definite experiment, but were the

    original reflections of man, fresh from the first observation of nature.

    The latest word of modern philosophy is continuity and development,

    but to Plato this is the beginning and foundation of science; there is

    nothing that he is so strongly persuaded of as that the world is one,

    and that all the various existences which are contained in it are only

    the transformations of the same soul of the world acting on the same

    matter. He would have readily admitted that out of the protoplasm all

    things were formed by the gradual process of creation; but he would have

    insisted that mind and intelligence–not meaning by this, however,

    a conscious mind or person–were prior to them, and could alone have

    created them. Into the workings of this eternal mind or intelligence he

    does not enter further; nor would there have been any use in attempting

    to investigate the things which no eye has seen nor any human language

    can express.

    Lastly, there remain two points in which he seems to touch great

    discoveries of modern times–the law of gravitation, and the circulation

    of the blood.

    (1) The law of gravitation, according to Plato, is a law, not only of

    the attraction of lesser bodies to larger ones, but of similar bodies to

    similar, having a magnetic power as well as a principle of gravitation.

    He observed that earth, water, and air had settled down to their places,

    and he imagined fire or the exterior aether to have a place beyond air.

    When air seemed to go upwards and fire to pierce through air–when water

    and earth fell downward, they were seeking their native elements. He did

    not remark that his own explanation did not suit all phenomena; and the

    simpler explanation, which assigns to bodies degrees of heaviness and

    lightness proportioned to the mass and distance of the bodies which

    attract them, never occurred to him. Yet the affinities of similar

    substances have some effect upon the composition of the world, and

    of this Plato may be thought to have had an anticipation. He may be

    described as confusing the attraction of gravitation with the attraction

    of cohesion. The influence of such affinities and the chemical action of

    one body upon another in long periods of time have become a recognized

    principle of geology.

    (2) Plato is perfectly aware–and he could hardly be ignorant–that

    blood is a fluid in constant motion. He also knew that blood is partly a

    solid substance consisting of several elements, which, as he might have

    observed in the use of ‘cupping-glasses’, decompose and die, when no

    longer in motion. But the specific discovery that the blood flows out on

    one side of the heart through the arteries and returns through the veins

    on the other, which is commonly called the circulation of the blood, was

    absolutely unknown to him.

    A further study of the Timaeus suggests some after-thoughts which may be

    conveniently brought together in this place. The topics which I propose

    briefly to reconsider are (a) the relation of the Timaeus to the other

    dialogues of Plato and to the previous philosophy; (b) the nature of God

    and of creation (c) the morality of the Timaeus:–

    (a) The Timaeus is more imaginative and less scientific than any other

    of the Platonic dialogues. It is conjectural astronomy, conjectural

    natural philosophy, conjectural medicine. The writer himself is

    constantly repeating that he is speaking what is probable only. The

    dialogue is put into the mouth of Timaeus, a Pythagorean philosopher,

    and therefore here, as in the Parmenides, we are in doubt how far Plato

    is expressing his own sentiments. Hence the connexion with the other

    dialogues is comparatively slight. We may fill up the lacunae of the

    Timaeus by the help of the Republic or Phaedrus: we may identify the

    same and other with the (Greek) of the Philebus. We may find in the Laws

    or in the Statesman parallels with the account of creation and of the

    first origin of man. It would be possible to frame a scheme in which all

    these various elements might have a place. But such a mode of proceeding

    would be unsatisfactory, because we have no reason to suppose that Plato

    intended his scattered thoughts to be collected in a system. There is a

    common spirit in his writings, and there are certain general principles,

    such as the opposition of the sensible and intellectual, and the

    priority of mind, which run through all of them; but he has no definite

    forms of words in which he consistently expresses himself. While

    the determinations of human thought are in process of creation he is

    necessarily tentative and uncertain. And there is least of definiteness,

    whenever either in describing the beginning or the end of the world, he

    has recourse to myths. These are not the fixed modes in which spiritual

    truths are revealed to him, but the efforts of imagination, by which

    at different times and in various manners he seeks to embody his

    conceptions. The clouds of mythology are still resting upon him, and he

    has not yet pierced ‘to the heaven of the fixed stars’ which is beyond

    them. It is safer then to admit the inconsistencies of the Timaeus,

    or to endeavour to fill up what is wanting from our own imagination,

    inspired by a study of the dialogue, than to refer to other Platonic

    writings,–and still less should we refer to the successors of

    Plato,–for the elucidation of it.

    More light is thrown upon the Timaeus by a comparison of the previous

    philosophies. For the physical science of the ancients was traditional,

    descending through many generations of Ionian and Pythagorean

    philosophers. Plato does not look out upon the heavens and describe what

    he sees in them, but he builds upon the foundations of others, adding

    something out of the ‘depths of his own self-consciousness.’ Socrates

    had already spoken of God the creator, who made all things for the best.

    While he ridiculed the superficial explanations of phenomena which were

    current in his age, he recognised the marks both of benevolence and of

    design in the frame of man and in the world. The apparatus of winds and

    waters is contemptuously rejected by him in the Phaedo, but he thinks

    that there is a power greater than that of any Atlas in the ‘Best’

    (Phaedo; Arist. Met.). Plato, following his master, affirms this

    principle of the best, but he acknowledges that the best is limited by

    the conditions of matter. In the generation before Socrates, Anaxagoras

    had brought together ‘Chaos’ and ‘Mind’; and these are connected by

    Plato in the Timaeus, but in accordance with his own mode of thinking he

    has interposed between them the idea or pattern according to which mind

    worked. The circular impulse (Greek) of the one philosopher answers to

    the circular movement (Greek) of the other. But unlike Anaxagoras, Plato

    made the sun and stars living beings and not masses of earth or metal.

    The Pythagoreans again had framed a world out of numbers, which they

    constructed into figures. Plato adopted their speculations and improved

    upon them by a more exact knowledge of geometry. The Atomists too made

    the world, if not out of geometrical figures, at least out of different

    forms of atoms, and these atoms resembled the triangles of Plato in

    being too small to be visible. But though the physiology of the Timaeus

    is partly borrowed from them, they are either ignored by Plato or

    referred to with a secret contempt and dislike. He looks with more

    favour on the Pythagoreans, whose intervals of number applied to the

    distances of the planets reappear in the Timaeus. It is probable that

    among the Pythagoreans living in the fourth century B.C., there were

    already some who, like Plato, made the earth their centre. Whether he

    obtained his circles of the Same and Other from any previous thinker is

    uncertain. The four elements are taken from Empedocles; the interstices

    of the Timaeus may also be compared with his (Greek). The passage of one

    element into another is common to Heracleitus and several of the Ionian

    philosophers. So much of a syncretist is Plato, though not after the

    manner of the Neoplatonists. For the elements which he borrows from

    others are fused and transformed by his own genius. On the other hand

    we find fewer traces in Plato of early Ionic or Eleatic speculation. He

    does not imagine the world of sense to be made up of opposites or to

    be in a perpetual flux, but to vary within certain limits which are

    controlled by what he calls the principle of the same. Unlike the

    Eleatics, who relegated the world to the sphere of not-being, he admits

    creation to have an existence which is real and even eternal, although

    dependent on the will of the creator. Instead of maintaining the

    doctrine that the void has a necessary place in the existence of the

    world, he rather affirms the modern thesis that nature abhors a vacuum,

    as in the Sophist he also denies the reality of not-being (Aristot.

    Metaph.). But though in these respects he differs from them, he is

    deeply penetrated by the spirit of their philosophy; he differs from

    them with reluctance, and gladly recognizes the ‘generous depth’ of

    Parmenides (Theaet.).

    There is a similarity between the Timaeus and the fragments of

    Philolaus, which by some has been thought to be so great as to create a

    suspicion that they are derived from it. Philolaus is known to us from

    the Phaedo of Plato as a Pythagorean philosopher residing at Thebes in

    the latter half of the fifth century B.C., after the dispersion of the

    original Pythagorean society. He was the teacher of Simmias and Cebes,

    who became disciples of Socrates. We have hardly any other information

    about him. The story that Plato had purchased three books of his

    writings from a relation is not worth repeating; it is only a fanciful

    way in which an ancient biographer dresses up the fact that there was

    supposed to be a resemblance between the two writers. Similar gossiping

    stories are told about the sources of the Republic and the Phaedo.

    That there really existed in antiquity a work passing under the name of

    Philolaus there can be no doubt. Fragments of this work are preserved

    to us, chiefly in Stobaeus, a few in Boethius and other writers. They

    remind us of the Timaeus, as well as of the Phaedrus and Philebus.

    When the writer says (Stob. Eclog.) that all things are either finite

    (definite) or infinite (indefinite), or a union of the two, and that

    this antithesis and synthesis pervades all art and nature, we are

    reminded of the Philebus. When he calls the centre of the world (Greek),

    we have a parallel to the Phaedrus. His distinction between the world of

    order, to which the sun and moon and the stars belong, and the world

    of disorder, which lies in the region between the moon and the earth,

    approximates to Plato’s sphere of the Same and of the Other. Like Plato

    (Tim.), he denied the above and below in space, and said that all things

    were the same in relation to a centre. He speaks also of the world as

    one and indestructible: ‘for neither from within nor from without

    does it admit of destruction’ (Tim). He mentions ten heavenly bodies,

    including the sun and moon, the earth and the counter-earth (Greek), and

    in the midst of them all he places the central fire, around which they

    are moving–this is hidden from the earth by the counter-earth. Of

    neither is there any trace in Plato, who makes the earth the centre

    of his system. Philolaus magnifies the virtues of particular numbers,

    especially of the number 10 (Stob. Eclog.), and descants upon odd and

    even numbers, after the manner of the later Pythagoreans. It is worthy

    of remark that these mystical fancies are nowhere to be found in the

    writings of Plato, although the importance of number as a form and also

    an instrument of thought is ever present to his mind. Both Philolaus

    and Plato agree in making the world move in certain numerical ratios

    according to a musical scale: though Bockh is of opinion that the two

    scales, of Philolaus and of the Timaeus, do not correspond…We appear

    not to be sufficiently acquainted with the early Pythagoreans to know

    how far the statements contained in these fragments corresponded with

    their doctrines; and we therefore cannot pronounce, either in favour

    of the genuineness of the fragments, with Bockh and Zeller, or, with

    Valentine Rose and Schaarschmidt, against them. But it is clear that

    they throw but little light upon the Timaeus, and that their resemblance

    to it has been exaggerated.

    That there is a degree of confusion and indistinctness in Plato’s

    account both of man and of the universe has been already acknowledged.

    We cannot tell (nor could Plato himself have told) where the figure or

    myth ends and the philosophical truth begins; we cannot explain (nor

    could Plato himself have explained to us) the relation of the ideas to

    appearance, of which one is the copy of the other, and yet of all things

    in the world they are the most opposed and unlike. This opposition is

    presented to us in many forms, as the antithesis of the one and many,

    of the finite and infinite, of the intelligible and sensible, of the

    unchangeable and the changing, of the indivisible and the divisible, of

    the fixed stars and the planets, of the creative mind and the primeval

    chaos. These pairs of opposites are so many aspects of the great

    opposition between ideas and phenomena–they easily pass into one

    another; and sometimes the two members of the relation differ in

    kind, sometimes only in degree. As in Aristotle’s matter and form the

    connexion between them is really inseparable; for if we attempt

    to separate them they become devoid of content and therefore

    indistinguishable; there is no difference between the idea of which

    nothing can be predicated, and the chaos or matter which has no

    perceptible qualities–between Being in the abstract and Nothing. Yet

    we are frequently told that the one class of them is the reality and the

    other appearance; and one is often spoken of as the double or reflection

    of the other. For Plato never clearly saw that both elements had an

    equal place in mind and in nature; and hence, especially when we argue

    from isolated passages in his writings, or attempt to draw what appear

    to us to be the natural inferences from them, we are full of perplexity.

    There is a similar confusion about necessity and free-will, and about

    the state of the soul after death. Also he sometimes supposes that God

    is immanent in the world, sometimes that he is transcendent. And having

    no distinction of objective and subjective, he passes imperceptibly

    from one to the other; from intelligence to soul, from eternity to time.

    These contradictions may be softened or concealed by a judicious use

    of language, but they cannot be wholly got rid of. That an age of

    intellectual transition must also be one of inconsistency; that the

    creative is opposed to the critical or defining habit of mind or time,

    has been often repeated by us. But, as Plato would say, ‘there is no

    harm in repeating twice or thrice’ (Laws) what is important for the

    understanding of a great author.

    It has not, however, been observed, that the confusion partly arises out

    of the elements of opposing philosophies which are preserved in him. He

    holds these in solution, he brings them into relation with one another,

    but he does not perfectly harmonize them. They are part of his own mind,

    and he is incapable of placing himself outside of them and criticizing

    them. They grow as he grows; they are a kind of composition with which

    his own philosophy is overlaid. In early life he fancies that he

    has mastered them: but he is also mastered by them; and in language

    (Sophist) which may be compared with the hesitating tone of the Timaeus,

    he confesses in his later years that they are full of obscurity to him.

    He attributes new meanings to the words of Parmenides and Heracleitus;

    but at times the old Eleatic philosophy appears to go beyond him; then

    the world of phenomena disappears, but the doctrine of ideas is also

    reduced to nothingness. All of them are nearer to one another than they

    themselves supposed, and nearer to him than he supposed. All of them are

    antagonistic to sense and have an affinity to number and measure and a

    presentiment of ideas. Even in Plato they still retain their contentious

    or controversial character, which was developed by the growth of

    dialectic. He is never able to reconcile the first causes of the

    pre-Socratic philosophers with the final causes of Socrates himself.

    There is no intelligible account of the relation of numbers to the

    universal ideas, or of universals to the idea of good. He found them all

    three, in the Pythagorean philosophy and in the teaching of Socrates and

    of the Megarians respectively; and, because they all furnished modes of

    explaining and arranging phenomena, he is unwilling to give up any of

    them, though he is unable to unite them in a consistent whole.

    Lastly, Plato, though an idealist philosopher, is Greek and not Oriental

    in spirit and feeling. He is no mystic or ascetic; he is not seeking in

    vain to get rid of matter or to find absorption in the divine nature, or

    in the Soul of the universe. And therefore we are not surprised to find

    that his philosophy in the Timaeus returns at last to a worship of the

    heavens, and that to him, as to other Greeks, nature, though containing

    a remnant of evil, is still glorious and divine. He takes away or drops

    the veil of mythology, and presents her to us in what appears to him to

    be the form-fairer and truer far–of mathematical figures. It is this

    element in the Timaeus, no less than its affinity to certain Pythagorean

    speculations, which gives it a character not wholly in accordance with

    the other dialogues of Plato.

    (b) The Timaeus contains an assertion perhaps more distinct than is

    found in any of the other dialogues (Rep.; Laws) of the goodness of God.

    ‘He was good himself, and he fashioned the good everywhere.’ He was not

    ‘a jealous God,’ and therefore he desired that all other things should

    be equally good. He is the IDEA of good who has now become a person, and

    speaks and is spoken of as God. Yet his personality seems to appear only

    in the act of creation. In so far as he works with his eye fixed upon an

    eternal pattern he is like the human artificer in the Republic. Here the

    theory of Platonic ideas intrudes upon us. God, like man, is supposed to

    have an ideal of which Plato is unable to tell us the origin. He may be

    said, in the language of modern philosophy, to resolve the divine mind

    into subject and object.

    The first work of creation is perfected, the second begins under the

    direction of inferior ministers. The supreme God is withdrawn from

    the world and returns to his own accustomed nature (Tim.). As in the

    Statesman, he retires to his place of view. So early did the Epicurean

    doctrine take possession of the Greek mind, and so natural is it to the

    heart of man, when he has once passed out of the stage of mythology into

    that of rational religion. For he sees the marks of design in the world;

    but he no longer sees or fancies that he sees God walking in the garden

    or haunting stream or mountain. He feels also that he must put God as

    far as possible out of the way of evil, and therefore he banishes him

    from an evil world. Plato is sensible of the difficulty; and he often

    shows that he is desirous of justifying the ways of God to man. Yet on

    the other hand, in the Tenth Book of the Laws he passes a censure on

    those who say that the Gods have no care of human things.

    The creation of the world is the impression of order on a previously

    existing chaos. The formula of Anaxagoras–‘all things were in chaos or

    confusion, and then mind came and disposed them’–is a summary of

    the first part of the Timaeus. It is true that of a chaos without

    differences no idea could be formed. All was not mixed but one;

    and therefore it was not difficult for the later Platonists to draw

    inferences by which they were enabled to reconcile the narrative of the

    Timaeus with the Mosaic account of the creation. Neither when we

    speak of mind or intelligence, do we seem to get much further in

    our conception than circular motion, which was deemed to be the most

    perfect. Plato, like Anaxagoras, while commencing his theory of the

    universe with ideas of mind and of the best, is compelled in the

    execution of his design to condescend to the crudest physics.

    (c) The morality of the Timaeus is singular, and it is difficult to

    adjust the balance between the two elements of it. The difficulty which

    Plato feels, is that which all of us feel, and which is increased in our

    own day by the progress of physical science, how the responsibility

    of man is to be reconciled with his dependence on natural causes. And

    sometimes, like other men, he is more impressed by one aspect of human

    life, sometimes by the other. In the Republic he represents man as

    freely choosing his own lot in a state prior to birth–a conception

    which, if taken literally, would still leave him subject to the dominion

    of necessity in his after life; in the Statesman he supposes the human

    race to be preserved in the world only by a divine interposition; while

    in the Timaeus the supreme God commissions the inferior deities to avert

    from him all but self-inflicted evils–words which imply that all

    the evils of men are really self-inflicted. And here, like Plato (the

    insertion of a note in the text of an ancient writer is a literary

    curiosity worthy of remark), we may take occasion to correct an error.

    For we too hastily said that Plato in the Timaeus regarded all ‘vices

    and crimes as involuntary.’ But the fact is that he is inconsistent

    with himself; in one and the same passage vice is attributed to the

    relaxation of the bodily frame, and yet we are exhorted to avoid it and

    pursue virtue. It is also admitted that good and evil conduct are to be

    attributed respectively to good and evil laws and institutions. These

    cannot be given by individuals to themselves; and therefore human

    actions, in so far as they are dependent upon them, are regarded by

    Plato as involuntary rather than voluntary. Like other writers on this

    subject, he is unable to escape from some degree of self-contradiction.

    He had learned from Socrates that vice is ignorance, and suddenly the

    doctrine seems to him to be confirmed by observing how much of the good

    and bad in human character depends on the bodily constitution. So

    in modern times the speculative doctrine of necessity has often been

    supported by physical facts.

    The Timaeus also contains an anticipation of the stoical life according

    to nature. Man contemplating the heavens is to regulate his erring life

    according to them. He is to partake of the repose of nature and of the

    order of nature, to bring the variable principle in himself into harmony

    with the principle of the same. The ethics of the Timaeus may be summed

    up in the single idea of ‘law.’ To feel habitually that he is part of

    the order of the universe, is one of the highest ethical motives of

    which man is capable. Something like this is what Plato means when he

    speaks of the soul ‘moving about the same in unchanging thought of

    the same.’ He does not explain how man is acted upon by the lesser

    influences of custom or of opinion; or how the commands of the soul

    watching in the citadel are conveyed to the bodily organs. But this

    perhaps, to use once more expressions of his own, ‘is part of another

    subject’ or ‘may be more suitably discussed on some other occasion.’

    There is no difficulty, by the help of Aristotle and later writers, in

    criticizing the Timaeus of Plato, in pointing out the inconsistencies

    of the work, in dwelling on the ignorance of anatomy displayed by the

    author, in showing the fancifulness or unmeaningness of some of his

    reasons. But the Timaeus still remains the greatest effort of the human

    mind to conceive the world as a whole which the genius of antiquity has

    bequeathed to us.

    *****

    One more aspect of the Timaeus remains to be considered–the

    mythological or geographical. Is it not a wonderful thing that a few

    pages of one of Plato’s dialogues have grown into a great legend, not

    confined to Greece only, but spreading far and wide over the nations of

    Europe and reaching even to Egypt and Asia? Like the tale of Troy,

    or the legend of the Ten Tribes (Ewald, Hist. of Isr.), which perhaps

    originated in a few verses of II Esdras, it has become famous, because

    it has coincided with a great historical fact. Like the romance of King

    Arthur, which has had so great a charm, it has found a way over the seas

    from one country and language to another. It inspired the navigators of

    the fifteenth and sixteenth centuries; it foreshadowed the discovery of

    America. It realized the fiction so natural to the human mind, because

    it answered the enquiry about the origin of the arts, that there had

    somewhere existed an ancient primitive civilization. It might find a

    place wherever men chose to look for it; in North, South, East, or

    West; in the Islands of the Blest; before the entrance of the Straits

    of Gibraltar, in Sweden or in Palestine. It mattered little whether the

    description in Plato agreed with the locality assigned to it or not. It

    was a legend so adapted to the human mind that it made a habitation for

    itself in any country. It was an island in the clouds, which might be

    seen anywhere by the eye of faith. It was a subject especially congenial

    to the ponderous industry of certain French and Swedish writers, who

    delighted in heaping up learning of all sorts but were incapable of

    using it.

    M. Martin has written a valuable dissertation on the opinions

    entertained respecting the Island of Atlantis in ancient and modern

    times. It is a curious chapter in the history of the human mind. The

    tale of Atlantis is the fabric of a vision, but it has never ceased to

    interest mankind. It was variously regarded by the ancients themselves.

    The stronger heads among them, like Strabo and Longinus, were as little

    disposed to believe in the truth of it as the modern reader in Gulliver

    or Robinson Crusoe. On the other hand there is no kind or degree of

    absurdity or fancy in which the more foolish writers, both of

    antiquity and of modern times, have not indulged respecting it. The

    Neo-Platonists, loyal to their master, like some commentators on the

    Christian Scriptures, sought to give an allegorical meaning to what they

    also believed to be an historical fact. It was as if some one in our own

    day were to convert the poems of Homer into an allegory of the Christian

    religion, at the same time maintaining them to be an exact and veritable

    history. In the Middle Ages the legend seems to have been half-forgotten

    until revived by the discovery of America. It helped to form the Utopia

    of Sir Thomas More and the New Atlantis of Bacon, although probably

    neither of those great men were at all imposed upon by the fiction.

    It was most prolific in the seventeenth or in the early part of

    the eighteenth century, when the human mind, seeking for Utopias or

    inventing them, was glad to escape out of the dulness of the present

    into the romance of the past or some ideal of the future. The later

    forms of such narratives contained features taken from the Edda, as well

    as from the Old and New Testament; also from the tales of missionaries

    and the experiences of travellers and of colonists.

    The various opinions respecting the Island of Atlantis have no interest

    for us except in so far as they illustrate the extravagances of which

    men are capable. But this is a real interest and a serious lesson, if

    we remember that now as formerly the human mind is liable to be imposed

    upon by the illusions of the past, which are ever assuming some new

    form.

    When we have shaken off the rubbish of ages, there remain one or two

    questions of which the investigation has a permanent value:–

    1. Did Plato derive the legend of Atlantis from an Egyptian source? It

    may be replied that there is no such legend in any writer previous to

    Plato; neither in Homer, nor in Pindar, nor in Herodotus is there any

    mention of an Island of Atlantis, nor any reference to it in Aristotle,

    nor any citation of an earlier writer by a later one in which it is

    to be found. Nor have any traces been discovered hitherto in Egyptian

    monuments of a connexion between Greece and Egypt older than the eighth

    or ninth century B.C. It is true that Proclus, writing in the fifth

    century after Christ, tells us of stones and columns in Egypt on which

    the history of the Island of Atlantis was engraved. The statement may be

    false–there are similar tales about columns set up ‘by the Canaanites

    whom Joshua drove out’ (Procop.); but even if true, it would only show

    that the legend, 800 years after the time of Plato, had been transferred

    to Egypt, and inscribed, not, like other forgeries, in books, but on

    stone. Probably in the Alexandrian age, when Egypt had ceased to have a

    history and began to appropriate the legends of other nations, many such

    monuments were to be found of events which had become famous in that or

    other countries. The oldest witness to the story is said to be Crantor,

    a Stoic philosopher who lived a generation later than Plato, and

    therefore may have borrowed it from him. The statement is found in

    Proclus; but we require better assurance than Proclus can give us before

    we accept this or any other statement which he makes.

    Secondly, passing from the external to the internal evidence, we may

    remark that the story is far more likely to have been invented by Plato

    than to have been brought by Solon from Egypt. That is another part of

    his legend which Plato also seeks to impose upon us. The verisimilitude

    which he has given to the tale is a further reason for suspecting it;

    for he could easily ‘invent Egyptian or any other tales’ (Phaedrus). Are

    not the words, ‘The truth of the story is a great advantage,’ if we read

    between the lines, an indication of the fiction? It is only a legend

    that Solon went to Egypt, and if he did he could not have conversed with

    Egyptian priests or have read records in their temples. The truth is

    that the introduction is a mosaic work of small touches which, partly

    by their minuteness, and also by their seeming probability, win the

    confidence of the reader. Who would desire better evidence than that

    of Critias, who had heard the narrative in youth when the memory is

    strongest at the age of ten from his grandfather Critias, an old man of

    ninety, who in turn had heard it from Solon himself? Is not the famous

    expression–‘You Hellenes are ever children and there is no knowledge

    among you hoary with age,’ really a compliment to the Athenians who are

    described in these words as ‘ever young’? And is the thought expressed

    in them to be attributed to the learning of the Egyptian priest, and not

    rather to the genius of Plato? Or when the Egyptian says–‘Hereafter at

    our leisure we will take up the written documents and examine in detail

    the exact truth about these things’–what is this but a literary trick

    by which Plato sets off his narrative? Could any war between Athens and

    the Island of Atlantis have really coincided with the struggle between

    the Greeks and Persians, as is sufficiently hinted though not expressly

    stated in the narrative of Plato? And whence came the tradition to

    Egypt? or in what does the story consist except in the war between the

    two rival powers and the submersion of both of them? And how was the

    tale transferred to the poem of Solon? ‘It is not improbable,’ says Mr.

    Grote, ‘that Solon did leave an unfinished Egyptian poem’ (Plato). But

    are probabilities for which there is not a tittle of evidence, and

    which are without any parallel, to be deemed worthy of attention by the

    critic? How came the poem of Solon to disappear in antiquity? or why did

    Plato, if the whole narrative was known to him, break off almost at the

    beginning of it?

    While therefore admiring the diligence and erudition of M. Martin,

    we cannot for a moment suppose that the tale was told to Solon by an

    Egyptian priest, nor can we believe that Solon wrote a poem upon the

    theme which was thus suggested to him–a poem which disappeared in

    antiquity; or that the Island of Atlantis or the antediluvian Athens

    ever had any existence except in the imagination of Plato. Martin is of

    opinion that Plato would have been terrified if he could have foreseen

    the endless fancies to which his Island of Atlantis has given occasion.

    Rather he would have been infinitely amused if he could have known that

    his gift of invention would have deceived M. Martin himself into the

    belief that the tradition was brought from Egypt by Solon and made the

    subject of a poem by him. M. Martin may also be gently censured for

    citing without sufficient discrimination ancient authors having very

    different degrees of authority and value.

    2. It is an interesting and not unimportant question which is touched

    upon by Martin, whether the Atlantis of Plato in any degree held out

    a guiding light to the early navigators. He is inclined to think that

    there is no real connexion between them. But surely the discovery of the

    New World was preceded by a prophetic anticipation of it, which, like

    the hope of a Messiah, was entering into the hearts of men? And this

    hope was nursed by ancient tradition, which had found expression from

    time to time in the celebrated lines of Seneca and in many other places.

    This tradition was sustained by the great authority of Plato, and

    therefore the legend of the Island of Atlantis, though not closely

    connected with the voyages of the early navigators, may be truly said to

    have contributed indirectly to the great discovery.

    The Timaeus of Plato, like the Protagoras and several portions of the

    Phaedrus and Republic, was translated by Cicero into Latin. About a

    fourth, comprehending with lacunae the first portion of the dialogue,

    is preserved in several MSS. These generally agree, and therefore may

    be supposed to be derived from a single original. The version is very

    faithful, and is a remarkable monument of Cicero’s skill in managing the

    difficult and intractable Greek. In his treatise De Natura Deorum, he

    also refers to the Timaeus, which, speaking in the person of Velleius

    the Epicurean, he severely criticises.

    The commentary of Proclus on the Timaeus is a wonderful monument of

    the silliness and prolixity of the Alexandrian Age. It extends to

    about thirty pages of the book, and is thirty times the length of the

    original. It is surprising that this voluminous work should have found

    a translator (Thomas Taylor, a kindred spirit, who was himself a

    Neo-Platonist, after the fashion, not of the fifth or sixteenth, but of

    the nineteenth century A.D.). The commentary is of little or no value,

    either in a philosophical or philological point of view. The writer is

    unable to explain particular passages in any precise manner, and he is

    equally incapable of grasping the whole. He does not take words in their

    simple meaning or sentences in their natural connexion. He is thinking,

    not of the context in Plato, but of the contemporary Pythagorean

    philosophers and their wordy strife. He finds nothing in the text

    which he does not bring to it. He is full of Porphyry, Iamblichus and

    Plotinus, of misapplied logic, of misunderstood grammar, and of the

    Orphic theology.

    Although such a work can contribute little or nothing to the

    understanding of Plato, it throws an interesting light on the

    Alexandrian times; it realizes how a philosophy made up of words only

    may create a deep and widespread enthusiasm, how the forms of logic and

    rhetoric may usurp the place of reason and truth, how all philosophies

    grow faded and discoloured, and are patched and made up again like

    worn-out garments, and retain only a second-hand existence. He who

    would study this degeneracy of philosophy and of the Greek mind in the

    original cannot do better than devote a few of his days and nights to

    the commentary of Proclus on the Timaeus.

    A very different account must be given of the short work entitled

    ‘Timaeus Locrus,’ which is a brief but clear analysis of the Timaeus

    of Plato, omitting the introduction or dialogue and making a few small

    additions. It does not allude to the original from which it is taken;

    it is quite free from mysticism and Neo-Platonism. In length it does not

    exceed a fifth part of the Timaeus. It is written in the Doric dialect,

    and contains several words which do not occur in classical Greek. No

    other indication of its date, except this uncertain one of language,

    appears in it. In several places the writer has simplified the language

    of Plato, in a few others he has embellished and exaggerated it. He

    generally preserves the thought of the original, but does not copy the

    words. On the whole this little tract faithfully reflects the meaning

    and spirit of the Timaeus.

    From the garden of the Timaeus, as from the other dialogues of Plato,

    we may still gather a few flowers and present them at parting to

    the reader. There is nothing in Plato grander and simpler than the

    conversation between Solon and the Egyptian priest, in which the

    youthfulness of Hellas is contrasted with the antiquity of Egypt. Here

    are to be found the famous words, ‘O Solon, Solon, you Hellenes are ever

    young, and there is not an old man among you’–which may be compared

    to the lively saying of Hegel, that ‘Greek history began with the youth

    Achilles and left off with the youth Alexander.’ The numerous arts of

    verisimilitude by which Plato insinuates into the mind of the reader

    the truth of his narrative have been already referred to. Here occur

    a sentence or two not wanting in Platonic irony (Greek–a word to the

    wise). ‘To know or tell the origin of the other divinities is beyond

    us, and we must accept the traditions of the men of old time who affirm

    themselves to be the offspring of the Gods–that is what they say–and

    they must surely have known their own ancestors. How can we doubt the

    word of the children of the Gods? Although they give no probable or

    certain proofs, still, as they declare that they are speaking of what

    took place in their own family, we must conform to custom and believe

    them.’ ‘Our creators well knew that women and other animals would some

    day be framed out of men, and they further knew that many animals would

    require the use of nails for many purposes; wherefore they fashioned in

    men at their first creation the rudiments of nails.’ Or once more, let

    us reflect on two serious passages in which the order of the world is

    supposed to find a place in the human soul and to infuse harmony

    into it. ‘The soul, when touching anything that has essence, whether

    dispersed in parts or undivided, is stirred through all her powers to

    declare the sameness or difference of that thing and some other; and to

    what individuals are related, and by what affected, and in what way

    and how and when, both in the world of generation and in the world of

    immutable being. And when reason, which works with equal truth, whether

    she be in the circle of the diverse or of the same,–in voiceless

    silence holding her onward course in the sphere of the self-moved,–when

    reason, I say, is hovering around the sensible world, and when the

    circle of the diverse also moving truly imparts the intimations of sense

    to the whole soul, then arise opinions and beliefs sure and certain. But

    when reason is concerned with the rational, and the circle of the

    same moving smoothly declares it, then intelligence and knowledge

    are necessarily perfected;’ where, proceeding in a similar path of

    contemplation, he supposes the inward and the outer world mutually to

    imply each other. ‘God invented and gave us sight to the end that we

    might behold the courses of intelligence in the heaven, and apply them

    to the courses of our own intelligence which are akin to them, the

    unperturbed to the perturbed; and that we, learning them and partaking

    of the natural truth of reason, might imitate the absolutely unerring

    courses of God and regulate our own vagaries.’ Or let us weigh carefully

    some other profound thoughts, such as the following. ‘He who neglects

    education walks lame to the end of his life, and returns imperfect and

    good for nothing to the world below.’ ‘The father and maker of all this

    universe is past finding out; and even if we found him, to tell of him

    to all men would be impossible.’ ‘Let me tell you then why the Creator

    made this world of generation. He was good, and the good can never have

    jealousy of anything. And being free from jealousy, he desired that all

    things should be as like himself as they could be. This is in the truest

    sense the origin of creation and of the world, as we shall do well in

    believing on the testimony of wise men: God desired that all things

    should be good and nothing bad, so far as this was attainable.’ This

    is the leading thought in the Timaeus, just as the IDEA of Good is

    the leading thought of the Republic, the one expression describing the

    personal, the other the impersonal Good or God, differing in form rather

    than in substance, and both equally implying to the mind of Plato a

    divine reality. The slight touch, perhaps ironical, contained in the

    words, ‘as we shall do well in believing on the testimony of wise men,’

    is very characteristic of Plato.

    *****

    TIMAEUS.

    PERSONS OF THE DIALOGUE: Socrates, Critias, Timaeus, Hermocrates.

    SOCRATES: One, two, three; but where, my dear Timaeus, is the fourth of

    those who were yesterday my guests and are to be my entertainers to-day?

    TIMAEUS: He has been taken ill, Socrates; for he would not willingly

    have been absent from this gathering.

    SOCRATES: Then, if he is not coming, you and the two others must supply

    his place.

    TIMAEUS: Certainly, and we will do all that we can; having been

    handsomely entertained by you yesterday, those of us who remain should

    be only too glad to return your hospitality.

    SOCRATES: Do you remember what were the points of which I required you

    to speak?

    TIMAEUS: We remember some of them, and you will be here to remind us

    of anything which we have forgotten: or rather, if we are not troubling

    you, will you briefly recapitulate the whole, and then the particulars

    will be more firmly fixed in our memories?

    SOCRATES: To be sure I will: the chief theme of my yesterday’s discourse

    was the State–how constituted and of what citizens composed it would

    seem likely to be most perfect.

    TIMAEUS: Yes, Socrates; and what you said of it was very much to our

    mind.

    SOCRATES: Did we not begin by separating the husbandmen and the artisans

    from the class of defenders of the State?

    TIMAEUS: Yes.

    SOCRATES: And when we had given to each one that single employment and

    particular art which was suited to his nature, we spoke of those

    who were intended to be our warriors, and said that they were to be

    guardians of the city against attacks from within as well as from

    without, and to have no other employment; they were to be merciful in

    judging their subjects, of whom they were by nature friends, but fierce

    to their enemies, when they came across them in battle.

    TIMAEUS: Exactly.

    SOCRATES: We said, if I am not mistaken, that the guardians should

    be gifted with a temperament in a high degree both passionate and

    philosophical; and that then they would be as they ought to be, gentle

    to their friends and fierce with their enemies.

    TIMAEUS: Certainly.

    SOCRATES: And what did we say of their education? Were they not to be

    trained in gymnastic, and music, and all other sorts of knowledge which

    were proper for them?

    TIMAEUS: Very true.

    SOCRATES: And being thus trained they were not to consider gold or

    silver or anything else to be their own private property; they were to

    be like hired troops, receiving pay for keeping guard from those who

    were protected by them–the pay was to be no more than would suffice

    for men of simple life; and they were to spend in common, and to live

    together in the continual practice of virtue, which was to be their sole

    pursuit.

    TIMAEUS: That was also said.

    SOCRATES: Neither did we forget the women; of whom we declared, that

    their natures should be assimilated and brought into harmony with those

    of the men, and that common pursuits should be assigned to them both in

    time of war and in their ordinary life.

    TIMAEUS: That, again, was as you say.

    SOCRATES: And what about the procreation of children? Or rather was not

    the proposal too singular to be forgotten? for all wives and children

    were to be in common, to the intent that no one should ever know his own

    child, but they were to imagine that they were all one family; those

    who were within a suitable limit of age were to be brothers and sisters,

    those who were of an elder generation parents and grandparents, and

    those of a younger, children and grandchildren.

    TIMAEUS: Yes, and the proposal is easy to remember, as you say.

    SOCRATES: And do you also remember how, with a view of securing as far

    as we could the best breed, we said that the chief magistrates, male

    and female, should contrive secretly, by the use of certain lots, so to

    arrange the nuptial meeting, that the bad of either sex and the good

    of either sex might pair with their like; and there was to be no

    quarrelling on this account, for they would imagine that the union was a

    mere accident, and was to be attributed to the lot?

    TIMAEUS: I remember.

    SOCRATES: And you remember how we said that the children of the good

    parents were to be educated, and the children of the bad secretly

    dispersed among the inferior citizens; and while they were all growing

    up the rulers were to be on the look-out, and to bring up from below in

    their turn those who were worthy, and those among themselves who were

    unworthy were to take the places of those who came up?

    TIMAEUS: True.

    SOCRATES: Then have I now given you all the heads of our yesterday’s

    discussion? Or is there anything more, my dear Timaeus, which has been

    omitted?

    TIMAEUS: Nothing, Socrates; it was just as you have said.

    SOCRATES: I should like, before proceeding further, to tell you how I

    feel about the State which we have described. I might compare myself

    to a person who, on beholding beautiful animals either created by the

    painter’s art, or, better still, alive but at rest, is seized with a

    desire of seeing them in motion or engaged in some struggle or conflict

    to which their forms appear suited; this is my feeling about the State

    which we have been describing. There are conflicts which all cities

    undergo, and I should like to hear some one tell of our own city

    carrying on a struggle against her neighbours, and how she went out to

    war in a becoming manner, and when at war showed by the greatness of her

    actions and the magnanimity of her words in dealing with other cities

    a result worthy of her training and education. Now I, Critias and

    Hermocrates, am conscious that I myself should never be able to

    celebrate the city and her citizens in a befitting manner, and I am

    not surprised at my own incapacity; to me the wonder is rather that

    the poets present as well as past are no better–not that I mean

    to depreciate them; but every one can see that they are a tribe of

    imitators, and will imitate best and most easily the life in which they

    have been brought up; while that which is beyond the range of a man’s

    education he finds hard to carry out in action, and still harder

    adequately to represent in language. I am aware that the Sophists have

    plenty of brave words and fair conceits, but I am afraid that being only

    wanderers from one city to another, and having never had habitations

    of their own, they may fail in their conception of philosophers and

    statesmen, and may not know what they do and say in time of war, when

    they are fighting or holding parley with their enemies. And thus people

    of your class are the only ones remaining who are fitted by nature and

    education to take part at once both in politics and philosophy. Here is

    Timaeus, of Locris in Italy, a city which has admirable laws, and who is

    himself in wealth and rank the equal of any of his fellow-citizens; he

    has held the most important and honourable offices in his own state,

    and, as I believe, has scaled the heights of all philosophy; and here

    is Critias, whom every Athenian knows to be no novice in the matters

    of which we are speaking; and as to Hermocrates, I am assured by many

    witnesses that his genius and education qualify him to take part in any

    speculation of the kind. And therefore yesterday when I saw that you

    wanted me to describe the formation of the State, I readily assented,

    being very well aware, that, if you only would, none were better

    qualified to carry the discussion further, and that when you had engaged

    our city in a suitable war, you of all men living could best exhibit

    her playing a fitting part. When I had completed my task, I in return

    imposed this other task upon you. You conferred together and agreed

    to entertain me to-day, as I had entertained you, with a feast of

    discourse. Here am I in festive array, and no man can be more ready for

    the promised banquet.

    HERMOCRATES: And we too, Socrates, as Timaeus says, will not be wanting

    in enthusiasm; and there is no excuse for not complying with your

    request. As soon as we arrived yesterday at the guest-chamber of

    Critias, with whom we are staying, or rather on our way thither, we

    talked the matter over, and he told us an ancient tradition, which I

    wish, Critias, that you would repeat to Socrates, so that he may help us

    to judge whether it will satisfy his requirements or not.

    CRITIAS: I will, if Timaeus, who is our other partner, approves.

    TIMAEUS: I quite approve.

    CRITIAS: Then listen, Socrates, to a tale which, though strange, is

    certainly true, having been attested by Solon, who was the wisest of

    the seven sages. He was a relative and a dear friend of my

    great-grandfather, Dropides, as he himself says in many passages of his

    poems; and he told the story to Critias, my grandfather, who remembered

    and repeated it to us. There were of old, he said, great and marvellous

    actions of the Athenian city, which have passed into oblivion through

    lapse of time and the destruction of mankind, and one in particular,

    greater than all the rest. This we will now rehearse. It will be a

    fitting monument of our gratitude to you, and a hymn of praise true and

    worthy of the goddess, on this her day of festival.

    SOCRATES: Very good. And what is this ancient famous action of the

    Athenians, which Critias declared, on the authority of Solon, to be not

    a mere legend, but an actual fact?

    CRITIAS: I will tell an old-world story which I heard from an aged man;

    for Critias, at the time of telling it, was, as he said, nearly ninety

    years of age, and I was about ten. Now the day was that day of the

    Apaturia which is called the Registration of Youth, at which, according

    to custom, our parents gave prizes for recitations, and the poems of

    several poets were recited by us boys, and many of us sang the poems of

    Solon, which at that time had not gone out of fashion. One of our tribe,

    either because he thought so or to please Critias, said that in his

    judgment Solon was not only the wisest of men, but also the noblest of

    poets. The old man, as I very well remember, brightened up at hearing

    this and said, smiling: Yes, Amynander, if Solon had only, like other

    poets, made poetry the business of his life, and had completed the tale

    which he brought with him from Egypt, and had not been compelled, by

    reason of the factions and troubles which he found stirring in his own

    country when he came home, to attend to other matters, in my opinion he

    would have been as famous as Homer or Hesiod, or any poet.

    And what was the tale about, Critias? said Amynander.

    About the greatest action which the Athenians ever did, and which ought

    to have been the most famous, but, through the lapse of time and the

    destruction of the actors, it has not come down to us.

    Tell us, said the other, the whole story, and how and from whom Solon

    heard this veritable tradition.

    He replied:–In the Egyptian Delta, at the head of which the river Nile

    divides, there is a certain district which is called the district of

    Sais, and the great city of the district is also called Sais, and is the

    city from which King Amasis came. The citizens have a deity for their

    foundress; she is called in the Egyptian tongue Neith, and is asserted

    by them to be the same whom the Hellenes call Athene; they are great

    lovers of the Athenians, and say that they are in some way related to

    them. To this city came Solon, and was received there with great honour;

    he asked the priests who were most skilful in such matters, about

    antiquity, and made the discovery that neither he nor any other Hellene

    knew anything worth mentioning about the times of old. On one occasion,

    wishing to draw them on to speak of antiquity, he began to tell about

    the most ancient things in our part of the world–about Phoroneus, who

    is called ‘the first man,’ and about Niobe; and after the Deluge, of the

    survival of Deucalion and Pyrrha; and he traced the genealogy of their

    descendants, and reckoning up the dates, tried to compute how many years

    ago the events of which he was speaking happened. Thereupon one of the

    priests, who was of a very great age, said: O Solon, Solon, you Hellenes

    are never anything but children, and there is not an old man among you.

    Solon in return asked him what he meant. I mean to say, he replied, that

    in mind you are all young; there is no old opinion handed down among

    you by ancient tradition, nor any science which is hoary with age. And I

    will tell you why. There have been, and will be again, many destructions

    of mankind arising out of many causes; the greatest have been brought

    about by the agencies of fire and water, and other lesser ones by

    innumerable other causes. There is a story, which even you have

    preserved, that once upon a time Paethon, the son of Helios, having

    yoked the steeds in his father’s chariot, because he was not able to

    drive them in the path of his father, burnt up all that was upon the

    earth, and was himself destroyed by a thunderbolt. Now this has the form

    of a myth, but really signifies a declination of the bodies moving in

    the heavens around the earth, and a great conflagration of things upon

    the earth, which recurs after long intervals; at such times those who

    live upon the mountains and in dry and lofty places are more liable to

    destruction than those who dwell by rivers or on the seashore. And from

    this calamity the Nile, who is our never-failing saviour, delivers and

    preserves us. When, on the other hand, the gods purge the earth with

    a deluge of water, the survivors in your country are herdsmen and

    shepherds who dwell on the mountains, but those who, like you, live in

    cities are carried by the rivers into the sea. Whereas in this land,

    neither then nor at any other time, does the water come down from above

    on the fields, having always a tendency to come up from below; for which

    reason the traditions preserved here are the most ancient. The fact is,

    that wherever the extremity of winter frost or of summer sun does

    not prevent, mankind exist, sometimes in greater, sometimes in lesser

    numbers. And whatever happened either in your country or in ours, or

    in any other region of which we are informed–if there were any actions

    noble or great or in any other way remarkable, they have all been

    written down by us of old, and are preserved in our temples. Whereas

    just when you and other nations are beginning to be provided with

    letters and the other requisites of civilized life, after the usual

    interval, the stream from heaven, like a pestilence, comes pouring down,

    and leaves only those of you who are destitute of letters and education;

    and so you have to begin all over again like children, and know nothing

    of what happened in ancient times, either among us or among yourselves.

    As for those genealogies of yours which you just now recounted to us,

    Solon, they are no better than the tales of children. In the first place

    you remember a single deluge only, but there were many previous ones; in

    the next place, you do not know that there formerly dwelt in your land

    the fairest and noblest race of men which ever lived, and that you and

    your whole city are descended from a small seed or remnant of them which

    survived. And this was unknown to you, because, for many generations,

    the survivors of that destruction died, leaving no written word. For

    there was a time, Solon, before the great deluge of all, when the city

    which now is Athens was first in war and in every way the best governed

    of all cities, is said to have performed the noblest deeds and to have

    had the fairest constitution of any of which tradition tells, under the

    face of heaven. Solon marvelled at his words, and earnestly requested

    the priests to inform him exactly and in order about these former

    citizens. You are welcome to hear about them, Solon, said the priest,

    both for your own sake and for that of your city, and above all, for the

    sake of the goddess who is the common patron and parent and educator

    of both our cities. She founded your city a thousand years before

    ours (Observe that Plato gives the same date (9000 years ago) for the

    foundation of Athens and for the repulse of the invasion from Atlantis

    (Crit.).), receiving from the Earth and Hephaestus the seed of your

    race, and afterwards she founded ours, of which the constitution is

    recorded in our sacred registers to be 8000 years old. As touching your

    citizens of 9000 years ago, I will briefly inform you of their laws and

    of their most famous action; the exact particulars of the whole we will

    hereafter go through at our leisure in the sacred registers themselves.

    If you compare these very laws with ours you will find that many of

    ours are the counterpart of yours as they were in the olden time. In the

    first place, there is the caste of priests, which is separated from all

    the others; next, there are the artificers, who ply their several

    crafts by themselves and do not intermix; and also there is the class

    of shepherds and of hunters, as well as that of husbandmen; and you will

    observe, too, that the warriors in Egypt are distinct from all the other

    classes, and are commanded by the law to devote themselves solely to

    military pursuits; moreover, the weapons which they carry are shields

    and spears, a style of equipment which the goddess taught of Asiatics

    first to us, as in your part of the world first to you. Then as to

    wisdom, do you observe how our law from the very first made a study of

    the whole order of things, extending even to prophecy and medicine which

    gives health, out of these divine elements deriving what was needful for

    human life, and adding every sort of knowledge which was akin to them.

    All this order and arrangement the goddess first imparted to you when

    establishing your city; and she chose the spot of earth in which you

    were born, because she saw that the happy temperament of the seasons in

    that land would produce the wisest of men. Wherefore the goddess, who

    was a lover both of war and of wisdom, selected and first of all settled

    that spot which was the most likely to produce men likest herself. And

    there you dwelt, having such laws as these and still better ones, and

    excelled all mankind in all virtue, as became the children and disciples

    of the gods.

    Many great and wonderful deeds are recorded of your state in our

    histories. But one of them exceeds all the rest in greatness and valour.

    For these histories tell of a mighty power which unprovoked made an

    expedition against the whole of Europe and Asia, and to which your city

    put an end. This power came forth out of the Atlantic Ocean, for in

    those days the Atlantic was navigable; and there was an island situated

    in front of the straits which are by you called the Pillars of Heracles;

    the island was larger than Libya and Asia put together, and was the

    way to other islands, and from these you might pass to the whole of the

    opposite continent which surrounded the true ocean; for this sea which

    is within the Straits of Heracles is only a harbour, having a narrow

    entrance, but that other is a real sea, and the surrounding land may be

    most truly called a boundless continent. Now in this island of Atlantis

    there was a great and wonderful empire which had rule over the whole

    island and several others, and over parts of the continent, and,

    furthermore, the men of Atlantis had subjected the parts of Libya

    within the columns of Heracles as far as Egypt, and of Europe as far as

    Tyrrhenia. This vast power, gathered into one, endeavoured to subdue

    at a blow our country and yours and the whole of the region within the

    straits; and then, Solon, your country shone forth, in the excellence

    of her virtue and strength, among all mankind. She was pre-eminent in

    courage and military skill, and was the leader of the Hellenes. And when

    the rest fell off from her, being compelled to stand alone, after having

    undergone the very extremity of danger, she defeated and triumphed

    over the invaders, and preserved from slavery those who were not yet

    subjugated, and generously liberated all the rest of us who dwell within

    the pillars. But afterwards there occurred violent earthquakes and

    floods; and in a single day and night of misfortune all your warlike men

    in a body sank into the earth, and the island of Atlantis in like manner

    disappeared in the depths of the sea. For which reason the sea in those

    parts is impassable and impenetrable, because there is a shoal of mud in

    the way; and this was caused by the subsidence of the island.

    I have told you briefly, Socrates, what the aged Critias heard from

    Solon and related to us. And when you were speaking yesterday about your

    city and citizens, the tale which I have just been repeating to you came

    into my mind, and I remarked with astonishment how, by some mysterious

    coincidence, you agreed in almost every particular with the narrative

    of Solon; but I did not like to speak at the moment. For a long time had

    elapsed, and I had forgotten too much; I thought that I must first of

    all run over the narrative in my own mind, and then I would speak. And

    so I readily assented to your request yesterday, considering that in

    all such cases the chief difficulty is to find a tale suitable to our

    purpose, and that with such a tale we should be fairly well provided.

    And therefore, as Hermocrates has told you, on my way home yesterday I

    at once communicated the tale to my companions as I remembered it; and

    after I left them, during the night by thinking I recovered nearly the

    whole of it. Truly, as is often said, the lessons of our childhood make

    a wonderful impression on our memories; for I am not sure that I could

    remember all the discourse of yesterday, but I should be much surprised

    if I forgot any of these things which I have heard very long ago. I

    listened at the time with childlike interest to the old man’s narrative;

    he was very ready to teach me, and I asked him again and again to repeat

    his words, so that like an indelible picture they were branded into my

    mind. As soon as the day broke, I rehearsed them as he spoke them to my

    companions, that they, as well as myself, might have something to say.

    And now, Socrates, to make an end of my preface, I am ready to tell

    you the whole tale. I will give you not only the general heads, but the

    particulars, as they were told to me. The city and citizens, which you

    yesterday described to us in fiction, we will now transfer to the world

    of reality. It shall be the ancient city of Athens, and we will suppose

    that the citizens whom you imagined, were our veritable ancestors, of

    whom the priest spoke; they will perfectly harmonize, and there will be

    no inconsistency in saying that the citizens of your republic are these

    ancient Athenians. Let us divide the subject among us, and all endeavour

    according to our ability gracefully to execute the task which you have

    imposed upon us. Consider then, Socrates, if this narrative is suited to

    the purpose, or whether we should seek for some other instead.

    SOCRATES: And what other, Critias, can we find that will be better than

    this, which is natural and suitable to the festival of the goddess, and

    has the very great advantage of being a fact and not a fiction? How or

    where shall we find another if we abandon this? We cannot, and therefore

    you must tell the tale, and good luck to you; and I in return for my

    yesterday’s discourse will now rest and be a listener.

    CRITIAS: Let me proceed to explain to you, Socrates, the order in which

    we have arranged our entertainment. Our intention is, that Timaeus, who

    is the most of an astronomer amongst us, and has made the nature of

    the universe his special study, should speak first, beginning with the

    generation of the world and going down to the creation of man; next, I

    am to receive the men whom he has created, and of whom some will have

    profited by the excellent education which you have given them; and then,

    in accordance with the tale of Solon, and equally with his law, we will

    bring them into court and make them citizens, as if they were those very

    Athenians whom the sacred Egyptian record has recovered from

    oblivion, and thenceforward we will speak of them as Athenians and

    fellow-citizens.

    SOCRATES: I see that I shall receive in my turn a perfect and splendid

    feast of reason. And now, Timaeus, you, I suppose, should speak next,

    after duly calling upon the Gods.

    TIMAEUS: All men, Socrates, who have any degree of right feeling, at the

    beginning of every enterprise, whether small or great, always call

    upon God. And we, too, who are going to discourse of the nature of the

    universe, how created or how existing without creation, if we be not

    altogether out of our wits, must invoke the aid of Gods and Goddesses

    and pray that our words may be acceptable to them and consistent with

    themselves. Let this, then, be our invocation of the Gods, to which I

    add an exhortation of myself to speak in such manner as will be most

    intelligible to you, and will most accord with my own intent.

    First then, in my judgment, we must make a distinction and ask, What

    is that which always is and has no becoming; and what is that which is

    always becoming and never is? That which is apprehended by intelligence

    and reason is always in the same state; but that which is conceived by

    opinion with the help of sensation and without reason, is always in a

    process of becoming and perishing and never really is. Now everything

    that becomes or is created must of necessity be created by some cause,

    for without a cause nothing can be created. The work of the creator,

    whenever he looks to the unchangeable and fashions the form and nature

    of his work after an unchangeable pattern, must necessarily be made fair

    and perfect; but when he looks to the created only, and uses a created

    pattern, it is not fair or perfect. Was the heaven then or the world,

    whether called by this or by any other more appropriate name–assuming

    the name, I am asking a question which has to be asked at the beginning

    of an enquiry about anything–was the world, I say, always in existence

    and without beginning? or created, and had it a beginning? Created,

    I reply, being visible and tangible and having a body, and therefore

    sensible; and all sensible things are apprehended by opinion and sense

    and are in a process of creation and created. Now that which is created

    must, as we affirm, of necessity be created by a cause. But the father

    and maker of all this universe is past finding out; and even if we found

    him, to tell of him to all men would be impossible. And there is still a

    question to be asked about him: Which of the patterns had the artificer

    in view when he made the world–the pattern of the unchangeable, or of

    that which is created? If the world be indeed fair and the artificer

    good, it is manifest that he must have looked to that which is eternal;

    but if what cannot be said without blasphemy is true, then to the

    created pattern. Every one will see that he must have looked to the

    eternal; for the world is the fairest of creations and he is the best of

    causes. And having been created in this way, the world has been framed

    in the likeness of that which is apprehended by reason and mind and is

    unchangeable, and must therefore of necessity, if this is admitted, be

    a copy of something. Now it is all-important that the beginning of

    everything should be according to nature. And in speaking of the copy

    and the original we may assume that words are akin to the matter

    which they describe; when they relate to the lasting and permanent and

    intelligible, they ought to be lasting and unalterable, and, as far as

    their nature allows, irrefutable and immovable–nothing less. But

    when they express only the copy or likeness and not the eternal things

    themselves, they need only be likely and analogous to the real words. As

    being is to becoming, so is truth to belief. If then, Socrates, amid the

    many opinions about the gods and the generation of the universe, we are

    not able to give notions which are altogether and in every respect exact

    and consistent with one another, do not be surprised. Enough, if we

    adduce probabilities as likely as any others; for we must remember that

    I who am the speaker, and you who are the judges, are only mortal

    men, and we ought to accept the tale which is probable and enquire no

    further.

    SOCRATES: Excellent, Timaeus; and we will do precisely as you bid us.

    The prelude is charming, and is already accepted by us–may we beg of

    you to proceed to the strain?

    TIMAEUS: Let me tell you then why the creator made this world of

    generation. He was good, and the good can never have any jealousy of

    anything. And being free from jealousy, he desired that all things

    should be as like himself as they could be. This is in the truest

    sense the origin of creation and of the world, as we shall do well in

    believing on the testimony of wise men: God desired that all things

    should be good and nothing bad, so far as this was attainable. Wherefore

    also finding the whole visible sphere not at rest, but moving in an

    irregular and disorderly fashion, out of disorder he brought order,

    considering that this was in every way better than the other. Now the

    deeds of the best could never be or have been other than the fairest;

    and the creator, reflecting on the things which are by nature visible,

    found that no unintelligent creature taken as a whole was fairer than

    the intelligent taken as a whole; and that intelligence could not be

    present in anything which was devoid of soul. For which reason, when he

    was framing the universe, he put intelligence in soul, and soul in body,

    that he might be the creator of a work which was by nature fairest and

    best. Wherefore, using the language of probability, we may say that the

    world became a living creature truly endowed with soul and intelligence

    by the providence of God.

    This being supposed, let us proceed to the next stage: In the likeness

    of what animal did the Creator make the world? It would be an unworthy

    thing to liken it to any nature which exists as a part only; for nothing

    can be beautiful which is like any imperfect thing; but let us suppose

    the world to be the very image of that whole of which all other animals

    both individually and in their tribes are portions. For the original of

    the universe contains in itself all intelligible beings, just as this

    world comprehends us and all other visible creatures. For the Deity,

    intending to make this world like the fairest and most perfect of

    intelligible beings, framed one visible animal comprehending within

    itself all other animals of a kindred nature. Are we right in saying

    that there is one world, or that they are many and infinite? There must

    be one only, if the created copy is to accord with the original. For

    that which includes all other intelligible creatures cannot have a

    second or companion; in that case there would be need of another living

    being which would include both, and of which they would be parts, and

    the likeness would be more truly said to resemble not them, but that

    other which included them. In order then that the world might be

    solitary, like the perfect animal, the creator made not two worlds or an

    infinite number of them; but there is and ever will be one only-begotten

    and created heaven.

    Now that which is created is of necessity corporeal, and also visible

    and tangible. And nothing is visible where there is no fire, or tangible

    which has no solidity, and nothing is solid without earth. Wherefore

    also God in the beginning of creation made the body of the universe to

    consist of fire and earth. But two things cannot be rightly put together

    without a third; there must be some bond of union between them. And the

    fairest bond is that which makes the most complete fusion of itself and

    the things which it combines; and proportion is best adapted to effect

    such a union. For whenever in any three numbers, whether cube or square,

    there is a mean, which is to the last term what the first term is to it;

    and again, when the mean is to the first term as the last term is to the

    mean–then the mean becoming first and last, and the first and last both

    becoming means, they will all of them of necessity come to be the same,

    and having become the same with one another will be all one. If the

    universal frame had been created a surface only and having no depth, a

    single mean would have sufficed to bind together itself and the other

    terms; but now, as the world must be solid, and solid bodies are always

    compacted not by one mean but by two, God placed water and air in the

    mean between fire and earth, and made them to have the same proportion

    so far as was possible (as fire is to air so is air to water, and as air

    is to water so is water to earth); and thus he bound and put together

    a visible and tangible heaven. And for these reasons, and out of such

    elements which are in number four, the body of the world was created,

    and it was harmonized by proportion, and therefore has the spirit of

    friendship; and having been reconciled to itself, it was indissoluble by

    the hand of any other than the framer.

    Now the creation took up the whole of each of the four elements; for the

    Creator compounded the world out of all the fire and all the water and

    all the air and all the earth, leaving no part of any of them nor any

    power of them outside. His intention was, in the first place, that

    the animal should be as far as possible a perfect whole and of perfect

    parts: secondly, that it should be one, leaving no remnants out of which

    another such world might be created: and also that it should be free

    from old age and unaffected by disease. Considering that if heat and

    cold and other powerful forces which unite bodies surround and attack

    them from without when they are unprepared, they decompose them, and by

    bringing diseases and old age upon them, make them waste away–for this

    cause and on these grounds he made the world one whole, having every

    part entire, and being therefore perfect and not liable to old age and

    disease. And he gave to the world the figure which was suitable and also

    natural. Now to the animal which was to comprehend all animals, that

    figure was suitable which comprehends within itself all other figures.

    Wherefore he made the world in the form of a globe, round as from a

    lathe, having its extremes in every direction equidistant from the

    centre, the most perfect and the most like itself of all figures; for he

    considered that the like is infinitely fairer than the unlike. This he

    finished off, making the surface smooth all round for many reasons; in

    the first place, because the living being had no need of eyes when there

    was nothing remaining outside him to be seen; nor of ears when there

    was nothing to be heard; and there was no surrounding atmosphere to be

    breathed; nor would there have been any use of organs by the help

    of which he might receive his food or get rid of what he had already

    digested, since there was nothing which went from him or came into him:

    for there was nothing beside him. Of design he was created thus, his

    own waste providing his own food, and all that he did or suffered taking

    place in and by himself. For the Creator conceived that a being which

    was self-sufficient would be far more excellent than one which lacked

    anything; and, as he had no need to take anything or defend himself

    against any one, the Creator did not think it necessary to bestow upon

    him hands: nor had he any need of feet, nor of the whole apparatus of

    walking; but the movement suited to his spherical form was assigned to

    him, being of all the seven that which is most appropriate to mind and

    intelligence; and he was made to move in the same manner and on the same

    spot, within his own limits revolving in a circle. All the other six

    motions were taken away from him, and he was made not to partake of

    their deviations. And as this circular movement required no feet, the

    universe was created without legs and without feet.

    Such was the whole plan of the eternal God about the god that was to

    be, to whom for this reason he gave a body, smooth and even, having a

    surface in every direction equidistant from the centre, a body entire

    and perfect, and formed out of perfect bodies. And in the centre he put

    the soul, which he diffused throughout the body, making it also to be

    the exterior environment of it; and he made the universe a circle moving

    in a circle, one and solitary, yet by reason of its excellence able to

    converse with itself, and needing no other friendship or acquaintance.

    Having these purposes in view he created the world a blessed god.

    Now God did not make the soul after the body, although we are speaking

    of them in this order; for having brought them together he would never

    have allowed that the elder should be ruled by the younger; but this is

    a random manner of speaking which we have, because somehow we ourselves

    too are very much under the dominion of chance. Whereas he made the soul

    in origin and excellence prior to and older than the body, to be the

    ruler and mistress, of whom the body was to be the subject. And he

    made her out of the following elements and on this wise: Out of the

    indivisible and unchangeable, and also out of that which is divisible

    and has to do with material bodies, he compounded a third and

    intermediate kind of essence, partaking of the nature of the same and of

    the other, and this compound he placed accordingly in a mean between the

    indivisible, and the divisible and material. He took the three elements

    of the same, the other, and the essence, and mingled them into one form,

    compressing by force the reluctant and unsociable nature of the other

    into the same. When he had mingled them with the essence and out of

    three made one, he again divided this whole into as many portions as was

    fitting, each portion being a compound of the same, the other, and the

    essence. And he proceeded to divide after this manner:–First of all, he

    took away one part of the whole (1), and then he separated a second part

    which was double the first (2), and then he took away a third part which

    was half as much again as the second and three times as much as the

    first (3), and then he took a fourth part which was twice as much as the

    second (4), and a fifth part which was three times the third (9), and a

    sixth part which was eight times the first (8), and a seventh part

    which was twenty-seven times the first (27). After this he filled up the

    double intervals (i.e. between 1, 2, 4, 8) and the triple (i.e. between

    1, 3, 9, 27) cutting off yet other portions from the mixture and placing

    them in the intervals, so that in each interval there were two kinds of

    means, the one exceeding and exceeded by equal parts of its extremes (as

    for example 1, 4/3, 2, in which the mean 4/3 is one-third of 1 more than

    1, and one-third of 2 less than 2), the other being that kind of mean

    which exceeds and is exceeded by an equal number (e.g.

      – over 1, 4/3, 3/2, – over 2, 8/3, 3, – over 4, 16/3, 6,  – over 8: and

      – over 1, 3/2, 2,   – over 3, 9/2, 6, – over 9, 27/2, 18, – over 27.

    Where there were intervals of 3/2 and of 4/3 and of 9/8, made by the

    connecting terms in the former intervals, he filled up all the intervals

    of 4/3 with the interval of 9/8, leaving a fraction over; and the

    interval which this fraction expressed was in the ratio of 256 to 243

    (e.g.

     243:256::81/64:4/3::243/128:2::81/32:8/3::243/64:4::81/16:16/3::242/32:8.

    And thus the whole mixture out of which he cut these portions was all

    exhausted by him. This entire compound he divided lengthways into two

    parts, which he joined to one another at the centre like the letter X,

    and bent them into a circular form, connecting them with themselves and

    each other at the point opposite to their original meeting-point; and,

    comprehending them in a uniform revolution upon the same axis, he made

    the one the outer and the other the inner circle. Now the motion of the

    outer circle he called the motion of the same, and the motion of the

    inner circle the motion of the other or diverse. The motion of the same

    he carried round by the side (i.e. of the rectangular figure supposed to

    be inscribed in the circle of the Same) to the right, and the motion of

    the diverse diagonally (i.e. across the rectangular figure from corner

    to corner) to the left. And he gave dominion to the motion of the same

    and like, for that he left single and undivided; but the inner motion

    he divided in six places and made seven unequal circles having their

    intervals in ratios of two and three, three of each, and bade the orbits

    proceed in a direction opposite to one another; and three (Sun, Mercury,

    Venus) he made to move with equal swiftness, and the remaining four

    (Moon, Saturn, Mars, Jupiter) to move with unequal swiftness to the

    three and to one another, but in due proportion.

    Now when the Creator had framed the soul according to his will, he

    formed within her the corporeal universe, and brought the two together,

    and united them centre to centre. The soul, interfused everywhere from

    the centre to the circumference of heaven, of which also she is the

    external envelopment, herself turning in herself, began a divine

    beginning of never-ceasing and rational life enduring throughout all

    time. The body of heaven is visible, but the soul is invisible,

    and partakes of reason and harmony, and being made by the best of

    intellectual and everlasting natures, is the best of things created. And

    because she is composed of the same and of the other and of the essence,

    these three, and is divided and united in due proportion, and in her

    revolutions returns upon herself, the soul, when touching anything which

    has essence, whether dispersed in parts or undivided, is stirred through

    all her powers, to declare the sameness or difference of that thing and

    some other; and to what individuals are related, and by what affected,

    and in what way and how and when, both in the world of generation and

    in the world of immutable being. And when reason, which works with equal

    truth, whether she be in the circle of the diverse or of the same–in

    voiceless silence holding her onward course in the sphere of the

    self-moved–when reason, I say, is hovering around the sensible world

    and when the circle of the diverse also moving truly imparts the

    intimations of sense to the whole soul, then arise opinions and beliefs

    sure and certain. But when reason is concerned with the rational, and

    the circle of the same moving smoothly declares it, then intelligence

    and knowledge are necessarily perfected. And if any one affirms that

    in which these two are found to be other than the soul, he will say the

    very opposite of the truth.

    When the father and creator saw the creature which he had made moving

    and living, the created image of the eternal gods, he rejoiced, and in

    his joy determined to make the copy still more like the original; and

    as this was eternal, he sought to make the universe eternal, so far

    as might be. Now the nature of the ideal being was everlasting, but to

    bestow this attribute in its fulness upon a creature was impossible.

    Wherefore he resolved to have a moving image of eternity, and when he

    set in order the heaven, he made this image eternal but moving according

    to number, while eternity itself rests in unity; and this image we call

    time. For there were no days and nights and months and years before the

    heaven was created, but when he constructed the heaven he created them

    also. They are all parts of time, and the past and future are created

    species of time, which we unconsciously but wrongly transfer to the

    eternal essence; for we say that he ‘was,’ he ‘is,’ he ‘will be,’ but

    the truth is that ‘is’ alone is properly attributed to him, and that

    ‘was’ and ‘will be’ are only to be spoken of becoming in time, for they

    are motions, but that which is immovably the same cannot become older or

    younger by time, nor ever did or has become, or hereafter will be, older

    or younger, nor is subject at all to any of those states which affect

    moving and sensible things and of which generation is the cause. These

    are the forms of time, which imitates eternity and revolves according

    to a law of number. Moreover, when we say that what has become IS become

    and what becomes IS becoming, and that what will become IS about

    to become and that the non-existent IS non-existent–all these are

    inaccurate modes of expression (compare Parmen.). But perhaps this whole

    subject will be more suitably discussed on some other occasion.

    Time, then, and the heaven came into being at the same instant in

    order that, having been created together, if ever there was to be a

    dissolution of them, they might be dissolved together. It was framed

    after the pattern of the eternal nature, that it might resemble this

    as far as was possible; for the pattern exists from eternity, and the

    created heaven has been, and is, and will be, in all time. Such was the

    mind and thought of God in the creation of time. The sun and moon and

    five other stars, which are called the planets, were created by him in

    order to distinguish and preserve the numbers of time; and when he had

    made their several bodies, he placed them in the orbits in which the

    circle of the other was revolving,–in seven orbits seven stars. First,

    there was the moon in the orbit nearest the earth, and next the sun,

    in the second orbit above the earth; then came the morning star and the

    star sacred to Hermes, moving in orbits which have an equal swiftness

    with the sun, but in an opposite direction; and this is the reason why

    the sun and Hermes and Lucifer overtake and are overtaken by each other.

    To enumerate the places which he assigned to the other stars, and to

    give all the reasons why he assigned them, although a secondary matter,

    would give more trouble than the primary. These things at some future

    time, when we are at leisure, may have the consideration which they

    deserve, but not at present.

    Now, when all the stars which were necessary to the creation of time

    had attained a motion suitable to them, and had become living creatures

    having bodies fastened by vital chains, and learnt their appointed

    task, moving in the motion of the diverse, which is diagonal, and passes

    through and is governed by the motion of the same, they revolved, some

    in a larger and some in a lesser orbit–those which had the lesser orbit

    revolving faster, and those which had the larger more slowly. Now by

    reason of the motion of the same, those which revolved fastest appeared

    to be overtaken by those which moved slower although they really

    overtook them; for the motion of the same made them all turn in a

    spiral, and, because some went one way and some another, that which

    receded most slowly from the sphere of the same, which was the swiftest,

    appeared to follow it most nearly. That there might be some visible

    measure of their relative swiftness and slowness as they proceeded in

    their eight courses, God lighted a fire, which we now call the sun, in

    the second from the earth of these orbits, that it might give light to

    the whole of heaven, and that the animals, as many as nature intended,

    might participate in number, learning arithmetic from the revolution of

    the same and the like. Thus then, and for this reason the night and

    the day were created, being the period of the one most intelligent

    revolution. And the month is accomplished when the moon has completed

    her orbit and overtaken the sun, and the year when the sun has completed

    his own orbit. Mankind, with hardly an exception, have not remarked the

    periods of the other stars, and they have no name for them, and do not

    measure them against one another by the help of number, and hence they

    can scarcely be said to know that their wanderings, being infinite in

    number and admirable for their variety, make up time. And yet there

    is no difficulty in seeing that the perfect number of time fulfils

    the perfect year when all the eight revolutions, having their relative

    degrees of swiftness, are accomplished together and attain their

    completion at the same time, measured by the rotation of the same and

    equally moving. After this manner, and for these reasons, came into

    being such of the stars as in their heavenly progress received reversals

    of motion, to the end that the created heaven might imitate the eternal

    nature, and be as like as possible to the perfect and intelligible

    animal.

    Thus far and until the birth of time the created universe was made in

    the likeness of the original, but inasmuch as all animals were not yet

    comprehended therein, it was still unlike. What remained, the creator

    then proceeded to fashion after the nature of the pattern. Now as in the

    ideal animal the mind perceives ideas or species of a certain nature and

    number, he thought that this created animal ought to have species of a

    like nature and number. There are four such; one of them is the heavenly

    race of the gods; another, the race of birds whose way is in the air;

    the third, the watery species; and the fourth, the pedestrian and land

    creatures. Of the heavenly and divine, he created the greater part out

    of fire, that they might be the brightest of all things and fairest to

    behold, and he fashioned them after the likeness of the universe in the

    figure of a circle, and made them follow the intelligent motion of the

    supreme, distributing them over the whole circumference of heaven, which

    was to be a true cosmos or glorious world spangled with them all over.

    And he gave to each of them two movements: the first, a movement on the

    same spot after the same manner, whereby they ever continue to think

    consistently the same thoughts about the same things; the second, a

    forward movement, in which they are controlled by the revolution of the

    same and the like; but by the other five motions they were unaffected,

    in order that each of them might attain the highest perfection. And

    for this reason the fixed stars were created, to be divine and eternal

    animals, ever-abiding and revolving after the same manner and on the

    same spot; and the other stars which reverse their motion and are

    subject to deviations of this kind, were created in the manner already

    described. The earth, which is our nurse, clinging (or ‘circling’)

    around the pole which is extended through the universe, he framed to be

    the guardian and artificer of night and day, first and eldest of gods

    that are in the interior of heaven. Vain would be the attempt to tell

    all the figures of them circling as in dance, and their juxtapositions,

    and the return of them in their revolutions upon themselves, and their

    approximations, and to say which of these deities in their conjunctions

    meet, and which of them are in opposition, and in what order they get

    behind and before one another, and when they are severally eclipsed to

    our sight and again reappear, sending terrors and intimations of the

    future to those who cannot calculate their movements–to attempt to

    tell of all this without a visible representation of the heavenly system

    would be labour in vain. Enough on this head; and now let what we have

    said about the nature of the created and visible gods have an end.

    To know or tell the origin of the other divinities is beyond us, and we

    must accept the traditions of the men of old time who affirm themselves

    to be the offspring of the gods–that is what they say–and they must

    surely have known their own ancestors. How can we doubt the word of the

    children of the gods? Although they give no probable or certain proofs,

    still, as they declare that they are speaking of what took place in

    their own family, we must conform to custom and believe them. In this

    manner, then, according to them, the genealogy of these gods is to be

    received and set forth.

    Oceanus and Tethys were the children of Earth and Heaven, and from these

    sprang Phorcys and Cronos and Rhea, and all that generation; and from

    Cronos and Rhea sprang Zeus and Here, and all those who are said to be

    their brethren, and others who were the children of these.

    Now, when all of them, both those who visibly appear in their

    revolutions as well as those other gods who are of a more retiring

    nature, had come into being, the creator of the universe addressed them

    in these words: ‘Gods, children of gods, who are my works, and of whom

    I am the artificer and father, my creations are indissoluble, if so I

    will. All that is bound may be undone, but only an evil being would wish

    to undo that which is harmonious and happy. Wherefore, since ye are but

    creatures, ye are not altogether immortal and indissoluble, but ye shall

    certainly not be dissolved, nor be liable to the fate of death, having

    in my will a greater and mightier bond than those with which ye

    were bound at the time of your birth. And now listen to my

    instructions:–Three tribes of mortal beings remain to be

    created–without them the universe will be incomplete, for it will not

    contain every kind of animal which it ought to contain, if it is to be

    perfect. On the other hand, if they were created by me and received life

    at my hands, they would be on an equality with the gods. In order then

    that they may be mortal, and that this universe may be truly universal,

    do ye, according to your natures, betake yourselves to the formation of

    animals, imitating the power which was shown by me in creating you. The

    part of them worthy of the name immortal, which is called divine and

    is the guiding principle of those who are willing to follow justice and

    you–of that divine part I will myself sow the seed, and having made a

    beginning, I will hand the work over to you. And do ye then interweave

    the mortal with the immortal, and make and beget living creatures, and

    give them food, and make them to grow, and receive them again in death.’

    Thus he spake, and once more into the cup in which he had previously

    mingled the soul of the universe he poured the remains of the elements,

    and mingled them in much the same manner; they were not, however, pure

    as before, but diluted to the second and third degree. And having made

    it he divided the whole mixture into souls equal in number to the stars,

    and assigned each soul to a star; and having there placed them as in a

    chariot, he showed them the nature of the universe, and declared to them

    the laws of destiny, according to which their first birth would be one

    and the same for all,–no one should suffer a disadvantage at his hands;

    they were to be sown in the instruments of time severally adapted to

    them, and to come forth the most religious of animals; and as human

    nature was of two kinds, the superior race would hereafter be called

    man. Now, when they should be implanted in bodies by necessity, and be

    always gaining or losing some part of their bodily substance, then in

    the first place it would be necessary that they should all have in

    them one and the same faculty of sensation, arising out of irresistible

    impressions; in the second place, they must have love, in which pleasure

    and pain mingle; also fear and anger, and the feelings which are akin or

    opposite to them; if they conquered these they would live righteously,

    and if they were conquered by them, unrighteously. He who lived well

    during his appointed time was to return and dwell in his native star,

    and there he would have a blessed and congenial existence. But if he

    failed in attaining this, at the second birth he would pass into a

    woman, and if, when in that state of being, he did not desist from evil,

    he would continually be changed into some brute who resembled him in the

    evil nature which he had acquired, and would not cease from his toils

    and transformations until he followed the revolution of the same and the

    like within him, and overcame by the help of reason the turbulent and

    irrational mob of later accretions, made up of fire and air and water

    and earth, and returned to the form of his first and better state.

    Having given all these laws to his creatures, that he might be guiltless

    of future evil in any of them, the creator sowed some of them in the

    earth, and some in the moon, and some in the other instruments of

    time; and when he had sown them he committed to the younger gods the

    fashioning of their mortal bodies, and desired them to furnish what

    was still lacking to the human soul, and having made all the suitable

    additions, to rule over them, and to pilot the mortal animal in the

    best and wisest manner which they could, and avert from him all but

    self-inflicted evils.

    When the creator had made all these ordinances he remained in his own

    accustomed nature, and his children heard and were obedient to their

    father’s word, and receiving from him the immortal principle of a mortal

    creature, in imitation of their own creator they borrowed portions of

    fire, and earth, and water, and air from the world, which were hereafter

    to be restored–these they took and welded them together, not with the

    indissoluble chains by which they were themselves bound, but with little

    pegs too small to be visible, making up out of all the four elements

    each separate body, and fastening the courses of the immortal soul in

    a body which was in a state of perpetual influx and efflux. Now

    these courses, detained as in a vast river, neither overcame nor were

    overcome; but were hurrying and hurried to and fro, so that the whole

    animal was moved and progressed, irregularly however and irrationally

    and anyhow, in all the six directions of motion, wandering backwards

    and forwards, and right and left, and up and down, and in all the six

    directions. For great as was the advancing and retiring flood which

    provided nourishment, the affections produced by external contact

    caused still greater tumult–when the body of any one met and came

    into collision with some external fire, or with the solid earth or the

    gliding waters, or was caught in the tempest borne on the air, and the

    motions produced by any of these impulses were carried through the body

    to the soul. All such motions have consequently received the general

    name of ‘sensations,’ which they still retain. And they did in fact

    at that time create a very great and mighty movement; uniting with the

    ever-flowing stream in stirring up and violently shaking the courses of

    the soul, they completely stopped the revolution of the same by their

    opposing current, and hindered it from predominating and advancing; and

    they so disturbed the nature of the other or diverse, that the three

    double intervals (i.e. between 1, 2, 4, 8), and the three triple

    intervals (i.e. between 1, 3, 9, 27), together with the mean terms and

    connecting links which are expressed by the ratios of 3:2, and 4:3, and

    of 9:8–these, although they cannot be wholly undone except by him who

    united them, were twisted by them in all sorts of ways, and the circles

    were broken and disordered in every possible manner, so that when they

    moved they were tumbling to pieces, and moved irrationally, at one time

    in a reverse direction, and then again obliquely, and then upside

    down, as you might imagine a person who is upside down and has his head

    leaning upon the ground and his feet up against something in the air;

    and when he is in such a position, both he and the spectator fancy that

    the right of either is his left, and the left right. If, when powerfully

    experiencing these and similar effects, the revolutions of the soul come

    in contact with some external thing, either of the class of the same

    or of the other, they speak of the same or of the other in a manner the

    very opposite of the truth; and they become false and foolish, and there

    is no course or revolution in them which has a guiding or directing

    power; and if again any sensations enter in violently from without and

    drag after them the whole vessel of the soul, then the courses of the

    soul, though they seem to conquer, are really conquered.

    And by reason of all these affections, the soul, when encased in a

    mortal body, now, as in the beginning, is at first without intelligence;

    but when the flood of growth and nutriment abates, and the courses of

    the soul, calming down, go their own way and become steadier as time

    goes on, then the several circles return to their natural form, and

    their revolutions are corrected, and they call the same and the other by

    their right names, and make the possessor of them to become a rational

    being. And if these combine in him with any true nurture or education,

    he attains the fulness and health of the perfect man, and escapes the

    worst disease of all; but if he neglects education he walks lame to the

    end of his life, and returns imperfect and good for nothing to the world

    below. This, however, is a later stage; at present we must treat more

    exactly the subject before us, which involves a preliminary enquiry into

    the generation of the body and its members, and as to how the soul was

    created–for what reason and by what providence of the gods; and holding

    fast to probability, we must pursue our way.

    First, then, the gods, imitating the spherical shape of the universe,

    enclosed the two divine courses in a spherical body, that, namely, which

    we now term the head, being the most divine part of us and the lord of

    all that is in us: to this the gods, when they put together the body,

    gave all the other members to be servants, considering that it partook

    of every sort of motion. In order then that it might not tumble about

    among the high and deep places of the earth, but might be able to get

    over the one and out of the other, they provided the body to be its

    vehicle and means of locomotion; which consequently had length and was

    furnished with four limbs extended and flexible; these God contrived

    to be instruments of locomotion with which it might take hold and find

    support, and so be able to pass through all places, carrying on high the

    dwelling-place of the most sacred and divine part of us. Such was the

    origin of legs and hands, which for this reason were attached to every

    man; and the gods, deeming the front part of man to be more honourable

    and more fit to command than the hinder part, made us to move mostly in

    a forward direction. Wherefore man must needs have his front part unlike

    and distinguished from the rest of his body.

    And so in the vessel of the head, they first of all put a face in which

    they inserted organs to minister in all things to the providence of the

    soul, and they appointed this part, which has authority, to be by nature

    the part which is in front. And of the organs they first contrived

    the eyes to give light, and the principle according to which they were

    inserted was as follows: So much of fire as would not burn, but gave

    a gentle light, they formed into a substance akin to the light of

    every-day life; and the pure fire which is within us and related

    thereto they made to flow through the eyes in a stream smooth and dense,

    compressing the whole eye, and especially the centre part, so that it

    kept out everything of a coarser nature, and allowed to pass only this

    pure element. When the light of day surrounds the stream of vision,

    then like falls upon like, and they coalesce, and one body is formed by

    natural affinity in the line of vision, wherever the light that falls

    from within meets with an external object. And the whole stream of

    vision, being similarly affected in virtue of similarity, diffuses the

    motions of what it touches or what touches it over the whole body, until

    they reach the soul, causing that perception which we call sight. But

    when night comes on and the external and kindred fire departs, then the

    stream of vision is cut off; for going forth to an unlike element it

    is changed and extinguished, being no longer of one nature with the

    surrounding atmosphere which is now deprived of fire: and so the eye no

    longer sees, and we feel disposed to sleep. For when the eyelids, which

    the gods invented for the preservation of sight, are closed, they keep

    in the internal fire; and the power of the fire diffuses and equalizes

    the inward motions; when they are equalized, there is rest, and when the

    rest is profound, sleep comes over us scarce disturbed by dreams;

    but where the greater motions still remain, of whatever nature and in

    whatever locality, they engender corresponding visions in dreams, which

    are remembered by us when we are awake and in the external world. And

    now there is no longer any difficulty in understanding the creation

    of images in mirrors and all smooth and bright surfaces. For from the

    communion of the internal and external fires, and again from the union

    of them and their numerous transformations when they meet in the mirror,

    all these appearances of necessity arise, when the fire from the face

    coalesces with the fire from the eye on the bright and smooth surface.

    And right appears left and left right, because the visual rays come into

    contact with the rays emitted by the object in a manner contrary to the

    usual mode of meeting; but the right appears right, and the left left,

    when the position of one of the two concurring lights is reversed; and

    this happens when the mirror is concave and its smooth surface repels

    the right stream of vision to the left side, and the left to the right

    (He is speaking of two kinds of mirrors, first the plane, secondly the

    concave; and the latter is supposed to be placed, first horizontally,

    and then vertically.). Or if the mirror be turned vertically, then the

    concavity makes the countenance appear to be all upside down, and the

    lower rays are driven upwards and the upper downwards.

    All these are to be reckoned among the second and co-operative causes

    which God, carrying into execution the idea of the best as far as

    possible, uses as his ministers. They are thought by most men not to be

    the second, but the prime causes of all things, because they freeze and

    heat, and contract and dilate, and the like. But they are not so, for

    they are incapable of reason or intellect; the only being which can

    properly have mind is the invisible soul, whereas fire and water, and

    earth and air, are all of them visible bodies. The lover of intellect

    and knowledge ought to explore causes of intelligent nature first of

    all, and, secondly, of those things which, being moved by others, are

    compelled to move others. And this is what we too must do. Both kinds

    of causes should be acknowledged by us, but a distinction should be made

    between those which are endowed with mind and are the workers of things

    fair and good, and those which are deprived of intelligence and always

    produce chance effects without order or design. Of the second or

    co-operative causes of sight, which help to give to the eyes the power

    which they now possess, enough has been said. I will therefore now

    proceed to speak of the higher use and purpose for which God has given

    them to us. The sight in my opinion is the source of the greatest

    benefit to us, for had we never seen the stars, and the sun, and the

    heaven, none of the words which we have spoken about the universe would

    ever have been uttered. But now the sight of day and night, and the

    months and the revolutions of the years, have created number, and have

    given us a conception of time, and the power of enquiring about the

    nature of the universe; and from this source we have derived philosophy,

    than which no greater good ever was or will be given by the gods to

    mortal man. This is the greatest boon of sight: and of the lesser

    benefits why should I speak? even the ordinary man if he were deprived

    of them would bewail his loss, but in vain. Thus much let me say

    however: God invented and gave us sight to the end that we might behold

    the courses of intelligence in the heaven, and apply them to the courses

    of our own intelligence which are akin to them, the unperturbed to the

    perturbed; and that we, learning them and partaking of the natural truth

    of reason, might imitate the absolutely unerring courses of God and

    regulate our own vagaries. The same may be affirmed of speech and

    hearing: they have been given by the gods to the same end and for a

    like reason. For this is the principal end of speech, whereto it most

    contributes. Moreover, so much of music as is adapted to the sound of

    the voice and to the sense of hearing is granted to us for the sake of

    harmony; and harmony, which has motions akin to the revolutions of our

    souls, is not regarded by the intelligent votary of the Muses as given

    by them with a view to irrational pleasure, which is deemed to be the

    purpose of it in our day, but as meant to correct any discord which may

    have arisen in the courses of the soul, and to be our ally in bringing

    her into harmony and agreement with herself; and rhythm too was given by

    them for the same reason, on account of the irregular and graceless ways

    which prevail among mankind generally, and to help us against them.

    Thus far in what we have been saying, with small exception, the works of

    intelligence have been set forth; and now we must place by the side

    of them in our discourse the things which come into being through

    necessity–for the creation is mixed, being made up of necessity and

    mind. Mind, the ruling power, persuaded necessity to bring the greater

    part of created things to perfection, and thus and after this manner in

    the beginning, when the influence of reason got the better of necessity,

    the universe was created. But if a person will truly tell of the way in

    which the work was accomplished, he must include the other influence

    of the variable cause as well. Wherefore, we must return again and find

    another suitable beginning, as about the former matters, so also about

    these. To which end we must consider the nature of fire, and water, and

    air, and earth, such as they were prior to the creation of the heaven,

    and what was happening to them in this previous state; for no one has as

    yet explained the manner of their generation, but we speak of fire and

    the rest of them, whatever they mean, as though men knew their natures,

    and we maintain them to be the first principles and letters or elements

    of the whole, when they cannot reasonably be compared by a man of any

    sense even to syllables or first compounds. And let me say thus much: I

    will not now speak of the first principle or principles of all things,

    or by whatever name they are to be called, for this reason–because

    it is difficult to set forth my opinion according to the method of

    discussion which we are at present employing. Do not imagine, any

    more than I can bring myself to imagine, that I should be right in

    undertaking so great and difficult a task. Remembering what I said

    at first about probability, I will do my best to give as probable an

    explanation as any other–or rather, more probable; and I will first go

    back to the beginning and try to speak of each thing and of all. Once

    more, then, at the commencement of my discourse, I call upon God, and

    beg him to be our saviour out of a strange and unwonted enquiry, and to

    bring us to the haven of probability. So now let us begin again.

    This new beginning of our discussion of the universe requires a fuller

    division than the former; for then we made two classes, now a third must

    be revealed. The two sufficed for the former discussion: one, which we

    assumed, was a pattern intelligible and always the same; and the second

    was only the imitation of the pattern, generated and visible. There is

    also a third kind which we did not distinguish at the time, conceiving

    that the two would be enough. But now the argument seems to require

    that we should set forth in words another kind, which is difficult of

    explanation and dimly seen. What nature are we to attribute to this new

    kind of being? We reply, that it is the receptacle, and in a manner the

    nurse, of all generation. I have spoken the truth; but I must express

    myself in clearer language, and this will be an arduous task for

    many reasons, and in particular because I must first raise questions

    concerning fire and the other elements, and determine what each of them

    is; for to say, with any probability or certitude, which of them should

    be called water rather than fire, and which should be called any of them

    rather than all or some one of them, is a difficult matter. How, then,

    shall we settle this point, and what questions about the elements may be

    fairly raised?

    In the first place, we see that what we just now called water, by

    condensation, I suppose, becomes stone and earth; and this same element,

    when melted and dispersed, passes into vapour and air. Air, again, when

    inflamed, becomes fire; and again fire, when condensed and extinguished,

    passes once more into the form of air; and once more, air, when

    collected and condensed, produces cloud and mist; and from these, when

    still more compressed, comes flowing water, and from water comes earth

    and stones once more; and thus generation appears to be transmitted from

    one to the other in a circle. Thus, then, as the several elements never

    present themselves in the same form, how can any one have the assurance

    to assert positively that any of them, whatever it may be, is one thing

    rather than another? No one can. But much the safest plan is to speak of

    them as follows:–Anything which we see to be continually changing, as,

    for example, fire, we must not call ‘this’ or ‘that,’ but rather say

    that it is ‘of such a nature’; nor let us speak of water as ‘this’; but

    always as ‘such’; nor must we imply that there is any stability in any

    of those things which we indicate by the use of the words ‘this’ and

    ‘that,’ supposing ourselves to signify something thereby; for they

    are too volatile to be detained in any such expressions as ‘this,’

    or ‘that,’ or ‘relative to this,’ or any other mode of speaking which

    represents them as permanent. We ought not to apply ‘this’ to any of

    them, but rather the word ‘such’; which expresses the similar principle

    circulating in each and all of them; for example, that should be called

    ‘fire’ which is of such a nature always, and so of everything that has

    generation. That in which the elements severally grow up, and appear,

    and decay, is alone to be called by the name ‘this’ or ‘that’; but that

    which is of a certain nature, hot or white, or anything which admits of

    opposite qualities, and all things that are compounded of them, ought

    not to be so denominated. Let me make another attempt to explain my

    meaning more clearly. Suppose a person to make all kinds of figures of

    gold and to be always transmuting one form into all the rest;–somebody

    points to one of them and asks what it is. By far the safest and truest

    answer is, That is gold; and not to call the triangle or any other

    figures which are formed in the gold ‘these,’ as though they had

    existence, since they are in process of change while he is making

    the assertion; but if the questioner be willing to take the safe and

    indefinite expression, ‘such,’ we should be satisfied. And the same

    argument applies to the universal nature which receives all bodies–that

    must be always called the same; for, while receiving all things, she

    never departs at all from her own nature, and never in any way, or at

    any time, assumes a form like that of any of the things which enter into

    her; she is the natural recipient of all impressions, and is stirred and

    informed by them, and appears different from time to time by reason

    of them. But the forms which enter into and go out of her are the

    likenesses of real existences modelled after their patterns in a

    wonderful and inexplicable manner, which we will hereafter investigate.

    For the present we have only to conceive of three natures: first,

    that which is in process of generation; secondly, that in which the

    generation takes place; and thirdly, that of which the thing generated

    is a resemblance. And we may liken the receiving principle to a mother,

    and the source or spring to a father, and the intermediate nature to

    a child; and may remark further, that if the model is to take every

    variety of form, then the matter in which the model is fashioned will

    not be duly prepared, unless it is formless, and free from the impress

    of any of those shapes which it is hereafter to receive from without.

    For if the matter were like any of the supervening forms, then whenever

    any opposite or entirely different nature was stamped upon its surface,

    it would take the impression badly, because it would intrude its own

    shape. Wherefore, that which is to receive all forms should have

    no form; as in making perfumes they first contrive that the liquid

    substance which is to receive the scent shall be as inodorous as

    possible; or as those who wish to impress figures on soft substances

    do not allow any previous impression to remain, but begin by making the

    surface as even and smooth as possible. In the same way that which is to

    receive perpetually and through its whole extent the resemblances of all

    eternal beings ought to be devoid of any particular form. Wherefore, the

    mother and receptacle of all created and visible and in any way sensible

    things, is not to be termed earth, or air, or fire, or water, or any of

    their compounds or any of the elements from which these are derived, but

    is an invisible and formless being which receives all things and in

    some mysterious way partakes of the intelligible, and is most

    incomprehensible. In saying this we shall not be far wrong; as far,

    however, as we can attain to a knowledge of her from the previous

    considerations, we may truly say that fire is that part of her nature

    which from time to time is inflamed, and water that which is moistened,

    and that the mother substance becomes earth and air, in so far as she

    receives the impressions of them.

    Let us consider this question more precisely. Is there any self-existent

    fire? and do all those things which we call self-existent exist? or

    are only those things which we see, or in some way perceive through the

    bodily organs, truly existent, and nothing whatever besides them? And is

    all that which we call an intelligible essence nothing at all, and

    only a name? Here is a question which we must not leave unexamined or

    undetermined, nor must we affirm too confidently that there can be no

    decision; neither must we interpolate in our present long discourse

    a digression equally long, but if it is possible to set forth a great

    principle in a few words, that is just what we want.

    Thus I state my view:–If mind and true opinion are two distinct

    classes, then I say that there certainly are these self-existent ideas

    unperceived by sense, and apprehended only by the mind; if, however, as

    some say, true opinion differs in no respect from mind, then everything

    that we perceive through the body is to be regarded as most real

    and certain. But we must affirm them to be distinct, for they have a

    distinct origin and are of a different nature; the one is implanted

    in us by instruction, the other by persuasion; the one is always

    accompanied by true reason, the other is without reason; the one cannot

    be overcome by persuasion, but the other can: and lastly, every man may

    be said to share in true opinion, but mind is the attribute of the gods

    and of very few men. Wherefore also we must acknowledge that there

    is one kind of being which is always the same, uncreated and

    indestructible, never receiving anything into itself from without, nor

    itself going out to any other, but invisible and imperceptible by any

    sense, and of which the contemplation is granted to intelligence only.

    And there is another nature of the same name with it, and like to it,

    perceived by sense, created, always in motion, becoming in place and

    again vanishing out of place, which is apprehended by opinion and sense.

    And there is a third nature, which is space, and is eternal, and admits

    not of destruction and provides a home for all created things, and is

    apprehended without the help of sense, by a kind of spurious reason, and

    is hardly real; which we beholding as in a dream, say of all existence

    that it must of necessity be in some place and occupy a space, but that

    what is neither in heaven nor in earth has no existence. Of these and

    other things of the same kind, relating to the true and waking reality

    of nature, we have only this dreamlike sense, and we are unable to cast

    off sleep and determine the truth about them. For an image, since the

    reality, after which it is modelled, does not belong to it, and it

    exists ever as the fleeting shadow of some other, must be inferred to be

    in another (i.e. in space), grasping existence in some way or other,

    or it could not be at all. But true and exact reason, vindicating the

    nature of true being, maintains that while two things (i.e. the image

    and space) are different they cannot exist one of them in the other and

    so be one and also two at the same time.

    Thus have I concisely given the result of my thoughts; and my verdict is

    that being and space and generation, these three, existed in their three

    ways before the heaven; and that the nurse of generation, moistened by

    water and inflamed by fire, and receiving the forms of earth and air,

    and experiencing all the affections which accompany these, presented

    a strange variety of appearances; and being full of powers which were

    neither similar nor equally balanced, was never in any part in a state

    of equipoise, but swaying unevenly hither and thither, was shaken by

    them, and by its motion again shook them; and the elements when moved

    were separated and carried continually, some one way, some another; as,

    when grain is shaken and winnowed by fans and other instruments used in

    the threshing of corn, the close and heavy particles are borne away and

    settle in one direction, and the loose and light particles in another.

    In this manner, the four kinds or elements were then shaken by the

    receiving vessel, which, moving like a winnowing machine, scattered

    far away from one another the elements most unlike, and forced the most

    similar elements into close contact. Wherefore also the various elements

    had different places before they were arranged so as to form the

    universe. At first, they were all without reason and measure. But when

    the world began to get into order, fire and water and earth and air had

    only certain faint traces of themselves, and were altogether such as

    everything might be expected to be in the absence of God; this, I

    say, was their nature at that time, and God fashioned them by form and

    number. Let it be consistently maintained by us in all that we say that

    God made them as far as possible the fairest and best, out of things

    which were not fair and good. And now I will endeavour to show you the

    disposition and generation of them by an unaccustomed argument, which I

    am compelled to use; but I believe that you will be able to follow me,

    for your education has made you familiar with the methods of science.

    In the first place, then, as is evident to all, fire and earth and water

    and air are bodies. And every sort of body possesses solidity, and

    every solid must necessarily be contained in planes; and every plane

    rectilinear figure is composed of triangles; and all triangles are

    originally of two kinds, both of which are made up of one right and two

    acute angles; one of them has at either end of the base the half of a

    divided right angle, having equal sides, while in the other the right

    angle is divided into unequal parts, having unequal sides. These, then,

    proceeding by a combination of probability with demonstration, we

    assume to be the original elements of fire and the other bodies; but the

    principles which are prior to these God only knows, and he of men who is

    the friend of God. And next we have to determine what are the four most

    beautiful bodies which are unlike one another, and of which some are

    capable of resolution into one another; for having discovered thus much,

    we shall know the true origin of earth and fire and of the proportionate

    and intermediate elements. And then we shall not be willing to allow

    that there are any distinct kinds of visible bodies fairer than these.

    Wherefore we must endeavour to construct the four forms of bodies

    which excel in beauty, and then we shall be able to say that we have

    sufficiently apprehended their nature. Now of the two triangles,

    the isosceles has one form only; the scalene or unequal-sided has

    an infinite number. Of the infinite forms we must select the most

    beautiful, if we are to proceed in due order, and any one who can

    point out a more beautiful form than ours for the construction of these

    bodies, shall carry off the palm, not as an enemy, but as a friend.

    Now, the one which we maintain to be the most beautiful of all the many

    triangles (and we need not speak of the others) is that of which the

    double forms a third triangle which is equilateral; the reason of this

    would be long to tell; he who disproves what we are saying, and shows

    that we are mistaken, may claim a friendly victory. Then let us choose

    two triangles, out of which fire and the other elements have been

    constructed, one isosceles, the other having the square of the longer

    side equal to three times the square of the lesser side.

    Now is the time to explain what was before obscurely said: there was an

    error in imagining that all the four elements might be generated by and

    into one another; this, I say, was an erroneous supposition, for

    there are generated from the triangles which we have selected four

    kinds–three from the one which has the sides unequal; the fourth

    alone is framed out of the isosceles triangle. Hence they cannot all be

    resolved into one another, a great number of small bodies being combined

    into a few large ones, or the converse. But three of them can be thus

    resolved and compounded, for they all spring from one, and when the

    greater bodies are broken up, many small bodies will spring up out

    of them and take their own proper figures; or, again, when many small

    bodies are dissolved into their triangles, if they become one, they will

    form one large mass of another kind. So much for their passage into one

    another. I have now to speak of their several kinds, and show out of

    what combinations of numbers each of them was formed. The first will be

    the simplest and smallest construction, and its element is that triangle

    which has its hypotenuse twice the lesser side. When two such triangles

    are joined at the diagonal, and this is repeated three times, and the

    triangles rest their diagonals and shorter sides on the same point as

    a centre, a single equilateral triangle is formed out of six triangles;

    and four equilateral triangles, if put together, make out of every three

    plane angles one solid angle, being that which is nearest to the most

    obtuse of plane angles; and out of the combination of these four angles

    arises the first solid form which distributes into equal and similar

    parts the whole circle in which it is inscribed. The second species

    of solid is formed out of the same triangles, which unite as eight

    equilateral triangles and form one solid angle out of four plane angles,

    and out of six such angles the second body is completed. And the third

    body is made up of 120 triangular elements, forming twelve solid angles,

    each of them included in five plane equilateral triangles, having

    altogether twenty bases, each of which is an equilateral triangle. The

    one element (that is, the triangle which has its hypotenuse twice the

    lesser side) having generated these figures, generated no more; but

    the isosceles triangle produced the fourth elementary figure, which

    is compounded of four such triangles, joining their right angles in a

    centre, and forming one equilateral quadrangle. Six of these united form

    eight solid angles, each of which is made by the combination of three

    plane right angles; the figure of the body thus composed is a cube,

    having six plane quadrangular equilateral bases. There was yet a fifth

    combination which God used in the delineation of the universe.

    Now, he who, duly reflecting on all this, enquires whether the worlds

    are to be regarded as indefinite or definite in number, will be of

    opinion that the notion of their indefiniteness is characteristic of a

    sadly indefinite and ignorant mind. He, however, who raises the question

    whether they are to be truly regarded as one or five, takes up a more

    reasonable position. Arguing from probabilities, I am of opinion that

    they are one; another, regarding the question from another point of

    view, will be of another mind. But, leaving this enquiry, let us proceed

    to distribute the elementary forms, which have now been created in idea,

    among the four elements.

    To earth, then, let us assign the cubical form; for earth is the most

    immoveable of the four and the most plastic of all bodies, and that

    which has the most stable bases must of necessity be of such a nature.

    Now, of the triangles which we assumed at first, that which has two

    equal sides is by nature more firmly based than that which has unequal

    sides; and of the compound figures which are formed out of either, the

    plane equilateral quadrangle has necessarily a more stable basis than

    the equilateral triangle, both in the whole and in the parts. Wherefore,

    in assigning this figure to earth, we adhere to probability; and to

    water we assign that one of the remaining forms which is the least

    moveable; and the most moveable of them to fire; and to air that which

    is intermediate. Also we assign the smallest body to fire, and the

    greatest to water, and the intermediate in size to air; and, again, the

    acutest body to fire, and the next in acuteness to air, and the third

    to water. Of all these elements, that which has the fewest bases must

    necessarily be the most moveable, for it must be the acutest and most

    penetrating in every way, and also the lightest as being composed of the

    smallest number of similar particles: and the second body has similar

    properties in a second degree, and the third body in the third degree.

    Let it be agreed, then, both according to strict reason and according to

    probability, that the pyramid is the solid which is the original element

    and seed of fire; and let us assign the element which was next in the

    order of generation to air, and the third to water. We must imagine all

    these to be so small that no single particle of any of the four kinds

    is seen by us on account of their smallness: but when many of them are

    collected together their aggregates are seen. And the ratios of their

    numbers, motions, and other properties, everywhere God, as far as

    necessity allowed or gave consent, has exactly perfected, and harmonized

    in due proportion.

    From all that we have just been saying about the elements or kinds, the

    most probable conclusion is as follows:–earth, when meeting with fire

    and dissolved by its sharpness, whether the dissolution take place in

    the fire itself or perhaps in some mass of air or water, is borne hither

    and thither, until its parts, meeting together and mutually harmonising,

    again become earth; for they can never take any other form. But water,

    when divided by fire or by air, on re-forming, may become one part fire

    and two parts air; and a single volume of air divided becomes two of

    fire. Again, when a small body of fire is contained in a larger body of

    air or water or earth, and both are moving, and the fire struggling is

    overcome and broken up, then two volumes of fire form one volume of air;

    and when air is overcome and cut up into small pieces, two and a half

    parts of air are condensed into one part of water. Let us consider the

    matter in another way. When one of the other elements is fastened

    upon by fire, and is cut by the sharpness of its angles and sides, it

    coalesces with the fire, and then ceases to be cut by them any longer.

    For no element which is one and the same with itself can be changed by

    or change another of the same kind and in the same state. But so long

    as in the process of transition the weaker is fighting against the

    stronger, the dissolution continues. Again, when a few small particles,

    enclosed in many larger ones, are in process of decomposition and

    extinction, they only cease from their tendency to extinction when they

    consent to pass into the conquering nature, and fire becomes air and air

    water. But if bodies of another kind go and attack them (i.e. the small

    particles), the latter continue to be dissolved until, being completely

    forced back and dispersed, they make their escape to their own kindred,

    or else, being overcome and assimilated to the conquering power, they

    remain where they are and dwell with their victors, and from being many

    become one. And owing to these affections, all things are changing their

    place, for by the motion of the receiving vessel the bulk of each class

    is distributed into its proper place; but those things which become

    unlike themselves and like other things, are hurried by the shaking into

    the place of the things to which they grow like.

    Now all unmixed and primary bodies are produced by such causes as these.

    As to the subordinate species which are included in the greater kinds,

    they are to be attributed to the varieties in the structure of the two

    original triangles. For either structure did not originally produce the

    triangle of one size only, but some larger and some smaller, and there

    are as many sizes as there are species of the four elements. Hence

    when they are mingled with themselves and with one another there is an

    endless variety of them, which those who would arrive at the probable

    truth of nature ought duly to consider.

    Unless a person comes to an understanding about the nature and

    conditions of rest and motion, he will meet with many difficulties in

    the discussion which follows. Something has been said of this matter

    already, and something more remains to be said, which is, that motion

    never exists in what is uniform. For to conceive that anything can

    be moved without a mover is hard or indeed impossible, and equally

    impossible to conceive that there can be a mover unless there be

    something which can be moved–motion cannot exist where either of these

    are wanting, and for these to be uniform is impossible; wherefore we

    must assign rest to uniformity and motion to the want of uniformity. Now

    inequality is the cause of the nature which is wanting in uniformity;

    and of this we have already described the origin. But there still

    remains the further point–why things when divided after their kinds do

    not cease to pass through one another and to change their place–which

    we will now proceed to explain. In the revolution of the universe are

    comprehended all the four elements, and this being circular and having a

    tendency to come together, compresses everything and will not allow any

    place to be left void. Wherefore, also, fire above all things penetrates

    everywhere, and air next, as being next in rarity of the elements;

    and the two other elements in like manner penetrate according to their

    degrees of rarity. For those things which are composed of the largest

    particles have the largest void left in their compositions, and those

    which are composed of the smallest particles have the least. And the

    contraction caused by the compression thrusts the smaller particles into

    the interstices of the larger. And thus, when the small parts are placed

    side by side with the larger, and the lesser divide the greater and the

    greater unite the lesser, all the elements are borne up and down and

    hither and thither towards their own places; for the change in the size

    of each changes its position in space. And these causes generate an

    inequality which is always maintained, and is continually creating a

    perpetual motion of the elements in all time.

    In the next place we have to consider that there are divers kinds

    of fire. There are, for example, first, flame; and secondly, those

    emanations of flame which do not burn but only give light to the eyes;

    thirdly, the remains of fire, which are seen in red-hot embers after the

    flame has been extinguished. There are similar differences in the air;

    of which the brightest part is called the aether, and the most turbid

    sort mist and darkness; and there are various other nameless kinds which

    arise from the inequality of the triangles. Water, again, admits in the

    first place of a division into two kinds; the one liquid and the other

    fusile. The liquid kind is composed of the small and unequal particles

    of water; and moves itself and is moved by other bodies owing to the

    want of uniformity and the shape of its particles; whereas the fusile

    kind, being formed of large and uniform particles, is more stable than

    the other, and is heavy and compact by reason of its uniformity.

    But when fire gets in and dissolves the particles and destroys the

    uniformity, it has greater mobility, and becoming fluid is thrust forth

    by the neighbouring air and spreads upon the earth; and this dissolution

    of the solid masses is called melting, and their spreading out upon the

    earth flowing. Again, when the fire goes out of the fusile substance, it

    does not pass into a vacuum, but into the neighbouring air; and the air

    which is displaced forces together the liquid and still moveable mass

    into the place which was occupied by the fire, and unites it with

    itself. Thus compressed the mass resumes its equability, and is again

    at unity with itself, because the fire which was the author of the

    inequality has retreated; and this departure of the fire is called

    cooling, and the coming together which follows upon it is termed

    congealment. Of all the kinds termed fusile, that which is the densest

    and is formed out of the finest and most uniform parts is that most

    precious possession called gold, which is hardened by filtration through

    rock; this is unique in kind, and has both a glittering and a yellow

    colour. A shoot of gold, which is so dense as to be very hard, and takes

    a black colour, is termed adamant. There is also another kind which has

    parts nearly like gold, and of which there are several species; it is

    denser than gold, and it contains a small and fine portion of earth, and

    is therefore harder, yet also lighter because of the great interstices

    which it has within itself; and this substance, which is one of the

    bright and denser kinds of water, when solidified is called copper.

    There is an alloy of earth mingled with it, which, when the two parts

    grow old and are disunited, shows itself separately and is called rust.

    The remaining phenomena of the same kind there will be no difficulty in

    reasoning out by the method of probabilities. A man may sometimes set

    aside meditations about eternal things, and for recreation turn to

    consider the truths of generation which are probable only; he will thus

    gain a pleasure not to be repented of, and secure for himself while

    he lives a wise and moderate pastime. Let us grant ourselves this

    indulgence, and go through the probabilities relating to the same

    subjects which follow next in order.

    Water which is mingled with fire, so much as is fine and liquid (being

    so called by reason of its motion and the way in which it rolls along

    the ground), and soft, because its bases give way and are less stable

    than those of earth, when separated from fire and air and isolated,

    becomes more uniform, and by their retirement is compressed into itself;

    and if the condensation be very great, the water above the earth becomes

    hail, but on the earth, ice; and that which is congealed in a less

    degree and is only half solid, when above the earth is called snow, and

    when upon the earth, and condensed from dew, hoar-frost. Then, again,

    there are the numerous kinds of water which have been mingled with one

    another, and are distilled through plants which grow in the earth; and

    this whole class is called by the name of juices or saps. The unequal

    admixture of these fluids creates a variety of species; most of them are

    nameless, but four which are of a fiery nature are clearly distinguished

    and have names. First, there is wine, which warms the soul as well

    as the body: secondly, there is the oily nature, which is smooth and

    divides the visual ray, and for this reason is bright and shining and of

    a glistening appearance, including pitch, the juice of the castor berry,

    oil itself, and other things of a like kind: thirdly, there is the class

    of substances which expand the contracted parts of the mouth, until they

    return to their natural state, and by reason of this property create

    sweetness;–these are included under the general name of honey: and,

    lastly, there is a frothy nature, which differs from all juices, having

    a burning quality which dissolves the flesh; it is called opos (a

    vegetable acid).

    As to the kinds of earth, that which is filtered through water passes

    into stone in the following manner:–The water which mixes with the

    earth and is broken up in the process changes into air, and taking this

    form mounts into its own place. But as there is no surrounding vacuum it

    thrusts away the neighbouring air, and this being rendered heavy, and,

    when it is displaced, having been poured around the mass of earth,

    forcibly compresses it and drives it into the vacant space whence the

    new air had come up; and the earth when compressed by the air into an

    indissoluble union with water becomes rock. The fairer sort is that

    which is made up of equal and similar parts and is transparent; that

    which has the opposite qualities is inferior. But when all the watery

    part is suddenly drawn out by fire, a more brittle substance is formed,

    to which we give the name of pottery. Sometimes also moisture may

    remain, and the earth which has been fused by fire becomes, when cool,

    a certain stone of a black colour. A like separation of the water

    which had been copiously mingled with them may occur in two substances

    composed of finer particles of earth and of a briny nature; out of

    either of them a half-solid-body is then formed, soluble in water–the

    one, soda, which is used for purging away oil and earth, the other,

    salt, which harmonizes so well in combinations pleasing to the palate,

    and is, as the law testifies, a substance dear to the gods. The

    compounds of earth and water are not soluble by water, but by fire only,

    and for this reason:–Neither fire nor air melt masses of earth; for

    their particles, being smaller than the interstices in its structure,

    have plenty of room to move without forcing their way, and so they leave

    the earth unmelted and undissolved; but particles of water, which are

    larger, force a passage, and dissolve and melt the earth. Wherefore

    earth when not consolidated by force is dissolved by water only; when

    consolidated, by nothing but fire; for this is the only body which can

    find an entrance. The cohesion of water again, when very strong, is

    dissolved by fire only–when weaker, then either by air or fire–the

    former entering the interstices, and the latter penetrating even the

    triangles. But nothing can dissolve air, when strongly condensed, which

    does not reach the elements or triangles; or if not strongly condensed,

    then only fire can dissolve it. As to bodies composed of earth and

    water, while the water occupies the vacant interstices of the earth

    in them which are compressed by force, the particles of water which

    approach them from without, finding no entrance, flow around the entire

    mass and leave it undissolved; but the particles of fire, entering into

    the interstices of the water, do to the water what water does to earth

    and fire to air (The text seems to be corrupt.), and are the sole causes

    of the compound body of earth and water liquefying and becoming fluid.

    Now these bodies are of two kinds; some of them, such as glass and the

    fusible sort of stones, have less water than they have earth; on the

    other hand, substances of the nature of wax and incense have more of

    water entering into their composition.

    I have thus shown the various classes of bodies as they are diversified

    by their forms and combinations and changes into one another, and now I

    must endeavour to set forth their affections and the causes of them. In

    the first place, the bodies which I have been describing are necessarily

    objects of sense. But we have not yet considered the origin of flesh, or

    what belongs to flesh, or of that part of the soul which is mortal. And

    these things cannot be adequately explained without also explaining the

    affections which are concerned with sensation, nor the latter without

    the former: and yet to explain them together is hardly possible; for

    which reason we must assume first one or the other and afterwards

    examine the nature of our hypothesis. In order, then, that the

    affections may follow regularly after the elements, let us presuppose

    the existence of body and soul.

    First, let us enquire what we mean by saying that fire is hot; and about

    this we may reason from the dividing or cutting power which it exercises

    on our bodies. We all of us feel that fire is sharp; and we may further

    consider the fineness of the sides, and the sharpness of the angles,

    and the smallness of the particles, and the swiftness of the motion–all

    this makes the action of fire violent and sharp, so that it cuts

    whatever it meets. And we must not forget that the original figure of

    fire (i.e. the pyramid), more than any other form, has a dividing power

    which cuts our bodies into small pieces (Kepmatizei), and thus naturally

    produces that affection which we call heat; and hence the origin of

    the name (thepmos, Kepma). Now, the opposite of this is sufficiently

    manifest; nevertheless we will not fail to describe it. For the larger

    particles of moisture which surround the body, entering in and driving

    out the lesser, but not being able to take their places, compress the

    moist principle in us; and this from being unequal and disturbed, is

    forced by them into a state of rest, which is due to equability and

    compression. But things which are contracted contrary to nature are

    by nature at war, and force themselves apart; and to this war and

    convulsion the name of shivering and trembling is given; and the whole

    affection and the cause of the affection are both termed cold. That

    is called hard to which our flesh yields, and soft which yields to

    our flesh; and things are also termed hard and soft relatively to one

    another. That which yields has a small base; but that which rests on

    quadrangular bases is firmly posed and belongs to the class which offers

    the greatest resistance; so too does that which is the most compact and

    therefore most repellent. The nature of the light and the heavy will be

    best understood when examined in connexion with our notions of above and

    below; for it is quite a mistake to suppose that the universe is parted

    into two regions, separate from and opposite to each other, the one

    a lower to which all things tend which have any bulk, and an upper to

    which things only ascend against their will. For as the universe is in

    the form of a sphere, all the extremities, being equidistant from the

    centre, are equally extremities, and the centre, which is equidistant

    from them, is equally to be regarded as the opposite of them all. Such

    being the nature of the world, when a person says that any of these

    points is above or below, may he not be justly charged with using an

    improper expression? For the centre of the world cannot be rightly

    called either above or below, but is the centre and nothing else; and

    the circumference is not the centre, and has in no one part of itself a

    different relation to the centre from what it has in any of the opposite

    parts. Indeed, when it is in every direction similar, how can one

    rightly give to it names which imply opposition? For if there were any

    solid body in equipoise at the centre of the universe, there would be

    nothing to draw it to this extreme rather than to that, for they are

    all perfectly similar; and if a person were to go round the world in

    a circle, he would often, when standing at the antipodes of his former

    position, speak of the same point as above and below; for, as I was

    saying just now, to speak of the whole which is in the form of a globe

    as having one part above and another below is not like a sensible man.

    The reason why these names are used, and the circumstances under which

    they are ordinarily applied by us to the division of the heavens, may be

    elucidated by the following supposition:–if a person were to stand

    in that part of the universe which is the appointed place of fire, and

    where there is the great mass of fire to which fiery bodies gather–if,

    I say, he were to ascend thither, and, having the power to do this, were

    to abstract particles of fire and put them in scales and weigh them, and

    then, raising the balance, were to draw the fire by force towards the

    uncongenial element of the air, it would be very evident that he could

    compel the smaller mass more readily than the larger; for when two

    things are simultaneously raised by one and the same power, the smaller

    body must necessarily yield to the superior power with less reluctance

    than the larger; and the larger body is called heavy and said to

    tend downwards, and the smaller body is called light and said to tend

    upwards. And we may detect ourselves who are upon the earth doing

    precisely the same thing. For we often separate earthy natures, and

    sometimes earth itself, and draw them into the uncongenial element of

    air by force and contrary to nature, both clinging to their kindred

    elements. But that which is smaller yields to the impulse given by us

    towards the dissimilar element more easily than the larger; and so we

    call the former light, and the place towards which it is impelled we

    call above, and the contrary state and place we call heavy and below

    respectively. Now the relations of these must necessarily vary, because

    the principal masses of the different elements hold opposite positions;

    for that which is light, heavy, below or above in one place will be

    found to be and become contrary and transverse and every way diverse in

    relation to that which is light, heavy, below or above in an opposite

    place. And about all of them this has to be considered:–that the

    tendency of each towards its kindred element makes the body which is

    moved heavy, and the place towards which the motion tends below, but

    things which have an opposite tendency we call by an opposite name. Such

    are the causes which we assign to these phenomena. As to the smooth

    and the rough, any one who sees them can explain the reason of them

    to another. For roughness is hardness mingled with irregularity, and

    smoothness is produced by the joint effect of uniformity and density.

    The most important of the affections which concern the whole body

    remains to be considered–that is, the cause of pleasure and pain in the

    perceptions of which I have been speaking, and in all other things which

    are perceived by sense through the parts of the body, and have both

    pains and pleasures attendant on them. Let us imagine the causes of

    every affection, whether of sense or not, to be of the following nature,

    remembering that we have already distinguished between the nature which

    is easy and which is hard to move; for this is the direction in which we

    must hunt the prey which we mean to take. A body which is of a nature

    to be easily moved, on receiving an impression however slight, spreads

    abroad the motion in a circle, the parts communicating with each other,

    until at last, reaching the principle of mind, they announce the quality

    of the agent. But a body of the opposite kind, being immobile, and not

    extending to the surrounding region, merely receives the impression, and

    does not stir any of the neighbouring parts; and since the parts do not

    distribute the original impression to other parts, it has no effect

    of motion on the whole animal, and therefore produces no effect on the

    patient. This is true of the bones and hair and other more earthy parts

    of the human body; whereas what was said above relates mainly to sight

    and hearing, because they have in them the greatest amount of fire

    and air. Now we must conceive of pleasure and pain in this way. An

    impression produced in us contrary to nature and violent, if sudden,

    is painful; and, again, the sudden return to nature is pleasant; but a

    gentle and gradual return is imperceptible and vice versa. On the other

    hand the impression of sense which is most easily produced is most

    readily felt, but is not accompanied by pleasure or pain; such, for

    example, are the affections of the sight, which, as we said above, is a

    body naturally uniting with our body in the day-time; for cuttings and

    burnings and other affections which happen to the sight do not give

    pain, nor is there pleasure when the sight returns to its natural state;

    but the sensations are clearest and strongest according to the manner in

    which the eye is affected by the object, and itself strikes and touches

    it; there is no violence either in the contraction or dilation of the

    eye. But bodies formed of larger particles yield to the agent only with

    a struggle; and then they impart their motions to the whole and cause

    pleasure and pain–pain when alienated from their natural conditions,

    and pleasure when restored to them. Things which experience gradual

    withdrawings and emptyings of their nature, and great and sudden

    replenishments, fail to perceive the emptying, but are sensible of the

    replenishment; and so they occasion no pain, but the greatest pleasure,

    to the mortal part of the soul, as is manifest in the case of perfumes.

    But things which are changed all of a sudden, and only gradually and

    with difficulty return to their own nature, have effects in every

    way opposite to the former, as is evident in the case of burnings and

    cuttings of the body.

    Thus have we discussed the general affections of the whole body, and

    the names of the agents which produce them. And now I will endeavour to

    speak of the affections of particular parts, and the causes and agents

    of them, as far as I am able. In the first place let us set forth what

    was omitted when we were speaking of juices, concerning the affections

    peculiar to the tongue. These too, like most of the other affections,

    appear to be caused by certain contractions and dilations, but they

    have besides more of roughness and smoothness than is found in other

    affections; for whenever earthy particles enter into the small veins

    which are the testing instruments of the tongue, reaching to the heart,

    and fall upon the moist, delicate portions of flesh–when, as they

    are dissolved, they contract and dry up the little veins, they are

    astringent if they are rougher, but if not so rough, then only harsh.

    Those of them which are of an abstergent nature, and purge the whole

    surface of the tongue, if they do it in excess, and so encroach as to

    consume some part of the flesh itself, like potash and soda, are all

    termed bitter. But the particles which are deficient in the alkaline

    quality, and which cleanse only moderately, are called salt, and having

    no bitterness or roughness, are regarded as rather agreeable than

    otherwise. Bodies which share in and are made smooth by the heat of

    the mouth, and which are inflamed, and again in turn inflame that which

    heats them, and which are so light that they are carried upwards to the

    sensations of the head, and cut all that comes in their way, by reason

    of these qualities in them, are all termed pungent. But when these same

    particles, refined by putrefaction, enter into the narrow veins, and

    are duly proportioned to the particles of earth and air which are there,

    they set them whirling about one another, and while they are in a whirl

    cause them to dash against and enter into one another, and so form

    hollows surrounding the particles that enter–which watery vessels of

    air (for a film of moisture, sometimes earthy, sometimes pure, is spread

    around the air) are hollow spheres of water; and those of them which are

    pure, are transparent, and are called bubbles, while those composed

    of the earthy liquid, which is in a state of general agitation and

    effervescence, are said to boil or ferment–of all these affections the

    cause is termed acid. And there is the opposite affection arising from

    an opposite cause, when the mass of entering particles, immersed in the

    moisture of the mouth, is congenial to the tongue, and smooths and

    oils over the roughness, and relaxes the parts which are unnaturally

    contracted, and contracts the parts which are relaxed, and disposes

    them all according to their nature;–that sort of remedy of violent

    affections is pleasant and agreeable to every man, and has the name

    sweet. But enough of this.

    The faculty of smell does not admit of differences of kind; for all

    smells are of a half-formed nature, and no element is so proportioned

    as to have any smell. The veins about the nose are too narrow to admit

    earth and water, and too wide to detain fire and air; and for this

    reason no one ever perceives the smell of any of them; but smells always

    proceed from bodies that are damp, or putrefying, or liquefying, or

    evaporating, and are perceptible only in the intermediate state, when

    water is changing into air and air into water; and all of them are

    either vapour or mist. That which is passing out of air into water is

    mist, and that which is passing from water into air is vapour; and hence

    all smells are thinner than water and thicker than air. The proof of

    this is, that when there is any obstruction to the respiration, and a

    man draws in his breath by force, then no smell filters through, but the

    air without the smell alone penetrates. Wherefore the varieties of smell

    have no name, and they have not many, or definite and simple kinds;

    but they are distinguished only as painful and pleasant, the one sort

    irritating and disturbing the whole cavity which is situated between the

    head and the navel, the other having a soothing influence, and restoring

    this same region to an agreeable and natural condition.

    In considering the third kind of sense, hearing, we must speak of the

    causes in which it originates. We may in general assume sound to be a

    blow which passes through the ears, and is transmitted by means of the

    air, the brain, and the blood, to the soul, and that hearing is the

    vibration of this blow, which begins in the head and ends in the region

    of the liver. The sound which moves swiftly is acute, and the sound

    which moves slowly is grave, and that which is regular is equable and

    smooth, and the reverse is harsh. A great body of sound is loud, and

    a small body of sound the reverse. Respecting the harmonies of sound I

    must hereafter speak.

    There is a fourth class of sensible things, having many intricate

    varieties, which must now be distinguished. They are called by the

    general name of colours, and are a flame which emanates from every sort

    of body, and has particles corresponding to the sense of sight. I have

    spoken already, in what has preceded, of the causes which generate

    sight, and in this place it will be natural and suitable to give a

    rational theory of colours.

    Of the particles coming from other bodies which fall upon the sight,

    some are smaller and some are larger, and some are equal to the parts of

    the sight itself. Those which are equal are imperceptible, and we call

    them transparent. The larger produce contraction, the smaller dilation,

    in the sight, exercising a power akin to that of hot and cold bodies on

    the flesh, or of astringent bodies on the tongue, or of those heating

    bodies which we termed pungent. White and black are similar effects of

    contraction and dilation in another sphere, and for this reason have

    a different appearance. Wherefore, we ought to term white that which

    dilates the visual ray, and the opposite of this is black. There is also

    a swifter motion of a different sort of fire which strikes and dilates

    the ray of sight until it reaches the eyes, forcing a way through their

    passages and melting them, and eliciting from them a union of fire and

    water which we call tears, being itself an opposite fire which comes

    to them from an opposite direction–the inner fire flashes forth like

    lightning, and the outer finds a way in and is extinguished in the

    moisture, and all sorts of colours are generated by the mixture. This

    affection is termed dazzling, and the object which produces it is

    called bright and flashing. There is another sort of fire which is

    intermediate, and which reaches and mingles with the moisture of the

    eye without flashing; and in this, the fire mingling with the ray of

    the moisture, produces a colour like blood, to which we give the name

    of red. A bright hue mingled with red and white gives the colour called

    auburn (Greek). The law of proportion, however, according to which the

    several colours are formed, even if a man knew he would be foolish in

    telling, for he could not give any necessary reason, nor indeed any

    tolerable or probable explanation of them. Again, red, when mingled with

    black and white, becomes purple, but it becomes umber (Greek) when the

    colours are burnt as well as mingled and the black is more thoroughly

    mixed with them. Flame-colour (Greek) is produced by a union of auburn

    and dun (Greek), and dun by an admixture of black and white; pale yellow

    (Greek), by an admixture of white and auburn. White and bright meeting,

    and falling upon a full black, become dark blue (Greek), and when dark

    blue mingles with white, a light blue (Greek) colour is formed, as

    flame-colour with black makes leek green (Greek). There will be no

    difficulty in seeing how and by what mixtures the colours derived from

    these are made according to the rules of probability. He, however,

    who should attempt to verify all this by experiment, would forget

    the difference of the human and divine nature. For God only has the

    knowledge and also the power which are able to combine many things into

    one and again resolve the one into many. But no man either is or ever

    will be able to accomplish either the one or the other operation.

    These are the elements, thus of necessity then subsisting, which the

    creator of the fairest and best of created things associated with

    himself, when he made the self-sufficing and most perfect God, using the

    necessary causes as his ministers in the accomplishment of his work,

    but himself contriving the good in all his creations. Wherefore we may

    distinguish two sorts of causes, the one divine and the other necessary,

    and may seek for the divine in all things, as far as our nature admits,

    with a view to the blessed life; but the necessary kind only for the

    sake of the divine, considering that without them and when isolated from

    them, these higher things for which we look cannot be apprehended or

    received or in any way shared by us.

    Seeing, then, that we have now prepared for our use the various classes

    of causes which are the material out of which the remainder of our

    discourse must be woven, just as wood is the material of the carpenter,

    let us revert in a few words to the point at which we began, and then

    endeavour to add on a suitable ending to the beginning of our tale.

    As I said at first, when all things were in disorder God created in

    each thing in relation to itself, and in all things in relation to each

    other, all the measures and harmonies which they could possibly receive.

    For in those days nothing had any proportion except by accident; nor did

    any of the things which now have names deserve to be named at all–as,

    for example, fire, water, and the rest of the elements. All these the

    creator first set in order, and out of them he constructed the universe,

    which was a single animal comprehending in itself all other animals,

    mortal and immortal. Now of the divine, he himself was the creator,

    but the creation of the mortal he committed to his offspring. And they,

    imitating him, received from him the immortal principle of the soul; and

    around this they proceeded to fashion a mortal body, and made it to

    be the vehicle of the soul, and constructed within the body a soul of

    another nature which was mortal, subject to terrible and irresistible

    affections,–first of all, pleasure, the greatest incitement to evil;

    then, pain, which deters from good; also rashness and fear, two

    foolish counsellors, anger hard to be appeased, and hope easily led

    astray;–these they mingled with irrational sense and with all-daring

    love according to necessary laws, and so framed man. Wherefore, fearing

    to pollute the divine any more than was absolutely unavoidable, they

    gave to the mortal nature a separate habitation in another part of the

    body, placing the neck between them to be the isthmus and boundary,

    which they constructed between the head and breast, to keep them apart.

    And in the breast, and in what is termed the thorax, they encased the

    mortal soul; and as the one part of this was superior and the other

    inferior they divided the cavity of the thorax into two parts, as the

    women’s and men’s apartments are divided in houses, and placed the

    midriff to be a wall of partition between them. That part of the

    inferior soul which is endowed with courage and passion and loves

    contention they settled nearer the head, midway between the midriff and

    the neck, in order that it might be under the rule of reason and might

    join with it in controlling and restraining the desires when they are no

    longer willing of their own accord to obey the word of command issuing

    from the citadel.

    The heart, the knot of the veins and the fountain of the blood which

    races through all the limbs, was set in the place of guard, that when

    the might of passion was roused by reason making proclamation of any

    wrong assailing them from without or being perpetrated by the desires

    within, quickly the whole power of feeling in the body, perceiving

    these commands and threats, might obey and follow through every turn and

    alley, and thus allow the principle of the best to have the command in

    all of them. But the gods, foreknowing that the palpitation of the heart

    in the expectation of danger and the swelling and excitement of passion

    was caused by fire, formed and implanted as a supporter to the heart the

    lung, which was, in the first place, soft and bloodless, and also had

    within hollows like the pores of a sponge, in order that by receiving

    the breath and the drink, it might give coolness and the power of

    respiration and alleviate the heat. Wherefore they cut the air-channels

    leading to the lung, and placed the lung about the heart as a soft

    spring, that, when passion was rife within, the heart, beating against

    a yielding body, might be cooled and suffer less, and might thus become

    more ready to join with passion in the service of reason.

    The part of the soul which desires meats and drinks and the other things

    of which it has need by reason of the bodily nature, they placed between

    the midriff and the boundary of the navel, contriving in all this region

    a sort of manger for the food of the body; and there they bound it down

    like a wild animal which was chained up with man, and must be nourished

    if man was to exist. They appointed this lower creation his place here

    in order that he might be always feeding at the manger, and have his

    dwelling as far as might be from the council-chamber, making as little

    noise and disturbance as possible, and permitting the best part to

    advise quietly for the good of the whole. And knowing that this lower

    principle in man would not comprehend reason, and even if attaining

    to some degree of perception would never naturally care for rational

    notions, but that it would be led away by phantoms and visions night

    and day,–to be a remedy for this, God combined with it the liver, and

    placed it in the house of the lower nature, contriving that it should

    be solid and smooth, and bright and sweet, and should also have a bitter

    quality, in order that the power of thought, which proceeds from the

    mind, might be reflected as in a mirror which receives likenesses of

    objects and gives back images of them to the sight; and so might strike

    terror into the desires, when, making use of the bitter part of the

    liver, to which it is akin, it comes threatening and invading, and

    diffusing this bitter element swiftly through the whole liver produces

    colours like bile, and contracting every part makes it wrinkled and

    rough; and twisting out of its right place and contorting the lobe and

    closing and shutting up the vessels and gates, causes pain and

    loathing. And the converse happens when some gentle inspiration of the

    understanding pictures images of an opposite character, and allays the

    bile and bitterness by refusing to stir or touch the nature opposed

    to itself, but by making use of the natural sweetness of the liver,

    corrects all things and makes them to be right and smooth and free, and

    renders the portion of the soul which resides about the liver happy

    and joyful, enabling it to pass the night in peace, and to practise

    divination in sleep, inasmuch as it has no share in mind and reason. For

    the authors of our being, remembering the command of their father when

    he bade them create the human race as good as they could, that they

    might correct our inferior parts and make them to attain a measure of

    truth, placed in the liver the seat of divination. And herein is a proof

    that God has given the art of divination not to the wisdom, but to the

    foolishness of man. No man, when in his wits, attains prophetic truth

    and inspiration; but when he receives the inspired word, either his

    intelligence is enthralled in sleep, or he is demented by some distemper

    or possession. And he who would understand what he remembers to have

    been said, whether in a dream or when he was awake, by the prophetic

    and inspired nature, or would determine by reason the meaning of the

    apparitions which he has seen, and what indications they afford to

    this man or that, of past, present or future good and evil, must first

    recover his wits. But, while he continues demented, he cannot judge

    of the visions which he sees or the words which he utters; the ancient

    saying is very true, that ‘only a man who has his wits can act or judge

    about himself and his own affairs.’ And for this reason it is customary

    to appoint interpreters to be judges of the true inspiration. Some

    persons call them prophets; they are quite unaware that they are only

    the expositors of dark sayings and visions, and are not to be called

    prophets at all, but only interpreters of prophecy.

    Such is the nature of the liver, which is placed as we have described

    in order that it may give prophetic intimations. During the life of each

    individual these intimations are plainer, but after his death the liver

    becomes blind, and delivers oracles too obscure to be intelligible. The

    neighbouring organ (the spleen) is situated on the left-hand side, and

    is constructed with a view of keeping the liver bright and pure,–like

    a napkin, always ready prepared and at hand to clean the mirror. And

    hence, when any impurities arise in the region of the liver by reason of

    disorders of the body, the loose nature of the spleen, which is composed

    of a hollow and bloodless tissue, receives them all and clears them

    away, and when filled with the unclean matter, swells and festers, but,

    again, when the body is purged, settles down into the same place as

    before, and is humbled.

    Concerning the soul, as to which part is mortal and which divine, and

    how and why they are separated, and where located, if God acknowledges

    that we have spoken the truth, then, and then only, can we be confident;

    still, we may venture to assert that what has been said by us is

    probable, and will be rendered more probable by investigation. Let us

    assume thus much.

    The creation of the rest of the body follows next in order, and this we

    may investigate in a similar manner. And it appears to be very meet that

    the body should be framed on the following principles:–

    The authors of our race were aware that we should be intemperate in

    eating and drinking, and take a good deal more than was necessary or

    proper, by reason of gluttony. In order then that disease might not

    quickly destroy us, and lest our mortal race should perish without

    fulfilling its end–intending to provide against this, the gods made

    what is called the lower belly, to be a receptacle for the superfluous

    meat and drink, and formed the convolution of the bowels, so that the

    food might be prevented from passing quickly through and compelling

    the body to require more food, thus producing insatiable gluttony, and

    making the whole race an enemy to philosophy and music, and rebellious

    against the divinest element within us.

    The bones and flesh, and other similar parts of us, were made as

    follows. The first principle of all of them was the generation of the

    marrow. For the bonds of life which unite the soul with the body are

    made fast there, and they are the root and foundation of the human race.

    The marrow itself is created out of other materials: God took such of

    the primary triangles as were straight and smooth, and were adapted by

    their perfection to produce fire and water, and air and earth–these, I

    say, he separated from their kinds, and mingling them in due proportions

    with one another, made the marrow out of them to be a universal seed of

    the whole race of mankind; and in this seed he then planted and enclosed

    the souls, and in the original distribution gave to the marrow as many

    and various forms as the different kinds of souls were hereafter to

    receive. That which, like a field, was to receive the divine seed, he

    made round every way, and called that portion of the marrow, brain,

    intending that, when an animal was perfected, the vessel containing this

    substance should be the head; but that which was intended to contain

    the remaining and mortal part of the soul he distributed into figures at

    once round and elongated, and he called them all by the name ‘marrow’;

    and to these, as to anchors, fastening the bonds of the whole soul,

    he proceeded to fashion around them the entire framework of our body,

    constructing for the marrow, first of all a complete covering of bone.

    Bone was composed by him in the following manner. Having sifted pure and

    smooth earth he kneaded it and wetted it with marrow, and after that he

    put it into fire and then into water, and once more into fire and again

    into water–in this way by frequent transfers from one to the other he

    made it insoluble by either. Out of this he fashioned, as in a lathe,

    a globe made of bone, which he placed around the brain, and in this he

    left a narrow opening; and around the marrow of the neck and back

    he formed vertebrae which he placed under one another like pivots,

    beginning at the head and extending through the whole of the trunk.

    Thus wishing to preserve the entire seed, he enclosed it in a stone-like

    casing, inserting joints, and using in the formation of them the power

    of the other or diverse as an intermediate nature, that they might have

    motion and flexure. Then again, considering that the bone would be too

    brittle and inflexible, and when heated and again cooled would soon

    mortify and destroy the seed within–having this in view, he contrived

    the sinews and the flesh, that so binding all the members together by

    the sinews, which admitted of being stretched and relaxed about the

    vertebrae, he might thus make the body capable of flexion and extension,

    while the flesh would serve as a protection against the summer heat

    and against the winter cold, and also against falls, softly and easily

    yielding to external bodies, like articles made of felt; and containing

    in itself a warm moisture which in summer exudes and makes the surface

    damp, would impart a natural coolness to the whole body; and again in

    winter by the help of this internal warmth would form a very tolerable

    defence against the frost which surrounds it and attacks it from

    without. He who modelled us, considering these things, mixed earth with

    fire and water and blended them; and making a ferment of acid and salt,

    he mingled it with them and formed soft and succulent flesh. As for

    the sinews, he made them of a mixture of bone and unfermented flesh,

    attempered so as to be in a mean, and gave them a yellow colour;

    wherefore the sinews have a firmer and more glutinous nature than flesh,

    but a softer and moister nature than the bones. With these God covered

    the bones and marrow, binding them together by sinews, and then

    enshrouded them all in an upper covering of flesh. The more living and

    sensitive of the bones he enclosed in the thinnest film of flesh, and

    those which had the least life within them in the thickest and most

    solid flesh. So again on the joints of the bones, where reason indicated

    that no more was required, he placed only a thin covering of flesh,

    that it might not interfere with the flexion of our bodies and make them

    unwieldy because difficult to move; and also that it might not, by being

    crowded and pressed and matted together, destroy sensation by reason of

    its hardness, and impair the memory and dull the edge of intelligence.

    Wherefore also the thighs and the shanks and the hips, and the bones of

    the arms and the forearms, and other parts which have no joints, and the

    inner bones, which on account of the rarity of the soul in the marrow

    are destitute of reason–all these are abundantly provided with flesh;

    but such as have mind in them are in general less fleshy, except

    where the creator has made some part solely of flesh in order to give

    sensation,–as, for example, the tongue. But commonly this is not the

    case. For the nature which comes into being and grows up in us by a law

    of necessity, does not admit of the combination of solid bone and much

    flesh with acute perceptions. More than any other part the framework

    of the head would have had them, if they could have co-existed, and the

    human race, having a strong and fleshy and sinewy head, would have had

    a life twice or many times as long as it now has, and also more healthy

    and free from pain. But our creators, considering whether they should

    make a longer-lived race which was worse, or a shorter-lived race which

    was better, came to the conclusion that every one ought to prefer a

    shorter span of life, which was better, to a longer one, which was

    worse; and therefore they covered the head with thin bone, but not with

    flesh and sinews, since it had no joints; and thus the head was added,

    having more wisdom and sensation than the rest of the body, but also

    being in every man far weaker. For these reasons and after this manner

    God placed the sinews at the extremity of the head, in a circle round

    the neck, and glued them together by the principle of likeness and

    fastened the extremities of the jawbones to them below the face, and the

    other sinews he dispersed throughout the body, fastening limb to limb.

    The framers of us framed the mouth, as now arranged, having teeth and

    tongue and lips, with a view to the necessary and the good contriving

    the way in for necessary purposes, the way out for the best purposes;

    for that is necessary which enters in and gives food to the body; but

    the river of speech, which flows out of a man and ministers to the

    intelligence, is the fairest and noblest of all streams. Still the head

    could neither be left a bare frame of bones, on account of the extremes

    of heat and cold in the different seasons, nor yet be allowed to

    be wholly covered, and so become dull and senseless by reason of an

    overgrowth of flesh. The fleshy nature was not therefore wholly dried

    up, but a large sort of peel was parted off and remained over, which

    is now called the skin. This met and grew by the help of the cerebral

    moisture, and became the circular envelopment of the head. And the

    moisture, rising up under the sutures, watered and closed in the skin

    upon the crown, forming a sort of knot. The diversity of the sutures was

    caused by the power of the courses of the soul and of the food, and the

    more these struggled against one another the more numerous they became,

    and fewer if the struggle were less violent. This skin the divine power

    pierced all round with fire, and out of the punctures which were thus

    made the moisture issued forth, and the liquid and heat which was pure

    came away, and a mixed part which was composed of the same material as

    the skin, and had a fineness equal to the punctures, was borne up by

    its own impulse and extended far outside the head, but being too slow

    to escape, was thrust back by the external air, and rolled up underneath

    the skin, where it took root. Thus the hair sprang up in the skin, being

    akin to it because it is like threads of leather, but rendered harder

    and closer through the pressure of the cold, by which each hair, while

    in process of separation from the skin, is compressed and cooled.

    Wherefore the creator formed the head hairy, making use of the causes

    which I have mentioned, and reflecting also that instead of flesh the

    brain needed the hair to be a light covering or guard, which would give

    shade in summer and shelter in winter, and at the same time would not

    impede our quickness of perception. From the combination of sinew,

    skin, and bone, in the structure of the finger, there arises a triple

    compound, which, when dried up, takes the form of one hard skin

    partaking of all three natures, and was fabricated by these second

    causes, but designed by mind which is the principal cause with an eye

    to the future. For our creators well knew that women and other animals

    would some day be framed out of men, and they further knew that many

    animals would require the use of nails for many purposes; wherefore they

    fashioned in men at their first creation the rudiments of nails. For

    this purpose and for these reasons they caused skin, hair, and nails to

    grow at the extremities of the limbs.

    And now that all the parts and members of the mortal animal had come

    together, since its life of necessity consisted of fire and breath,

    and it therefore wasted away by dissolution and depletion, the gods

    contrived the following remedy: They mingled a nature akin to that of

    man with other forms and perceptions, and thus created another kind

    of animal. These are the trees and plants and seeds which have been

    improved by cultivation and are now domesticated among us; anciently

    there were only the wild kinds, which are older than the cultivated. For

    everything that partakes of life may be truly called a living being, and

    the animal of which we are now speaking partakes of the third kind of

    soul, which is said to be seated between the midriff and the navel,

    having no part in opinion or reason or mind, but only in feelings of

    pleasure and pain and the desires which accompany them. For this nature

    is always in a passive state, revolving in and about itself, repelling

    the motion from without and using its own, and accordingly is not

    endowed by nature with the power of observing or reflecting on its own

    concerns. Wherefore it lives and does not differ from a living

    being, but is fixed and rooted in the same spot, having no power of

    self-motion.

    Now after the superior powers had created all these natures to be food

    for us who are of the inferior nature, they cut various channels through

    the body as through a garden, that it might be watered as from a running

    stream. In the first place, they cut two hidden channels or veins down

    the back where the skin and the flesh join, which answered severally

    to the right and left side of the body. These they let down along the

    backbone, so as to have the marrow of generation between them, where it

    was most likely to flourish, and in order that the stream coming down

    from above might flow freely to the other parts, and equalize the

    irrigation. In the next place, they divided the veins about the head,

    and interlacing them, they sent them in opposite directions; those

    coming from the right side they sent to the left of the body, and those

    from the left they diverted towards the right, so that they and the skin

    might together form a bond which should fasten the head to the body,

    since the crown of the head was not encircled by sinews; and also in

    order that the sensations from both sides might be distributed over the

    whole body. And next, they ordered the water-courses of the body in a

    manner which I will describe, and which will be more easily understood

    if we begin by admitting that all things which have lesser parts retain

    the greater, but the greater cannot retain the lesser. Now of all

    natures fire has the smallest parts, and therefore penetrates through

    earth and water and air and their compounds, nor can anything hold it.

    And a similar principle applies to the human belly; for when meats and

    drinks enter it, it holds them, but it cannot hold air and fire, because

    the particles of which they consist are smaller than its own structure.

    These elements, therefore, God employed for the sake of distributing

    moisture from the belly into the veins, weaving together a network

    of fire and air like a weel, having at the entrance two lesser weels;

    further he constructed one of these with two openings, and from the

    lesser weels he extended cords reaching all round to the extremities of

    the network. All the interior of the net he made of fire, but the lesser

    weels and their cavity, of air. The network he took and spread over the

    newly-formed animal in the following manner:–He let the lesser weels

    pass into the mouth; there were two of them, and one he let down by the

    air-pipes into the lungs, the other by the side of the air-pipes into

    the belly. The former he divided into two branches, both of which he

    made to meet at the channels of the nose, so that when the way through

    the mouth did not act, the streams of the mouth as well were replenished

    through the nose. With the other cavity (i.e. of the greater weel) he

    enveloped the hollow parts of the body, and at one time he made all this

    to flow into the lesser weels, quite gently, for they are composed of

    air, and at another time he caused the lesser weels to flow back again;

    and the net he made to find a way in and out through the pores of the

    body, and the rays of fire which are bound fast within followed the

    passage of the air either way, never at any time ceasing so long as the

    mortal being holds together. This process, as we affirm, the name-giver

    named inspiration and expiration. And all this movement, active as

    well as passive, takes place in order that the body, being watered and

    cooled, may receive nourishment and life; for when the respiration is

    going in and out, and the fire, which is fast bound within, follows

    it, and ever and anon moving to and fro, enters through the belly and

    reaches the meat and drink, it dissolves them, and dividing them into

    small portions and guiding them through the passages where it goes,

    pumps them as from a fountain into the channels of the veins, and makes

    the stream of the veins flow through the body as through a conduit.

    Let us once more consider the phenomena of respiration, and enquire into

    the causes which have made it what it is. They are as follows:–Seeing

    that there is no such thing as a vacuum into which any of those things

    which are moved can enter, and the breath is carried from us into the

    external air, the next point is, as will be clear to every one, that

    it does not go into a vacant space, but pushes its neighbour out of its

    place, and that which is thrust out in turn drives out its neighbour;

    and in this way everything of necessity at last comes round to that

    place from whence the breath came forth, and enters in there, and

    following the breath, fills up the vacant space; and this goes on like

    the rotation of a wheel, because there can be no such thing as a vacuum.

    Wherefore also the breast and the lungs, when they emit the breath,

    are replenished by the air which surrounds the body and which enters

    in through the pores of the flesh and is driven round in a circle; and

    again, the air which is sent away and passes out through the body forces

    the breath inwards through the passage of the mouth and the nostrils.

    Now the origin of this movement may be supposed to be as follows. In the

    interior of every animal the hottest part is that which is around the

    blood and veins; it is in a manner an internal fountain of fire, which

    we compare to the network of a creel, being woven all of fire and

    extended through the centre of the body, while the outer parts are

    composed of air. Now we must admit that heat naturally proceeds outward

    to its own place and to its kindred element; and as there are two exits

    for the heat, the one out through the body, and the other through the

    mouth and nostrils, when it moves towards the one, it drives round the

    air at the other, and that which is driven round falls into the fire

    and becomes warm, and that which goes forth is cooled. But when the heat

    changes its place, and the particles at the other exit grow warmer, the

    hotter air inclining in that direction and carried towards its native

    element, fire, pushes round the air at the other; and this being

    affected in the same way and communicating the same impulse, a circular

    motion swaying to and fro is produced by the double process, which we

    call inspiration and expiration.

    The phenomena of medical cupping-glasses and of the swallowing of drink

    and of the projection of bodies, whether discharged in the air or bowled

    along the ground, are to be investigated on a similar principle;

    and swift and slow sounds, which appear to be high and low, and are

    sometimes discordant on account of their inequality, and then again

    harmonical on account of the equality of the motion which they excite in

    us. For when the motions of the antecedent swifter sounds begin to pause

    and the two are equalized, the slower sounds overtake the swifter and

    then propel them. When they overtake them they do not intrude a new

    and discordant motion, but introduce the beginnings of a slower, which

    answers to the swifter as it dies away, thus producing a single mixed

    expression out of high and low, whence arises a pleasure which even the

    unwise feel, and which to the wise becomes a higher sort of delight,

    being an imitation of divine harmony in mortal motions. Moreover, as to

    the flowing of water, the fall of the thunderbolt, and the marvels that

    are observed about the attraction of amber and the Heraclean stones,–in

    none of these cases is there any attraction; but he who investigates

    rightly, will find that such wonderful phenomena are attributable to the

    combination of certain conditions–the non-existence of a vacuum, the

    fact that objects push one another round, and that they change places,

    passing severally into their proper positions as they are divided or

    combined.

    Such as we have seen, is the nature and such are the causes of

    respiration,–the subject in which this discussion originated. For the

    fire cuts the food and following the breath surges up within, fire and

    breath rising together and filling the veins by drawing up out of the

    belly and pouring into them the cut portions of the food; and so the

    streams of food are kept flowing through the whole body in all animals.

    And fresh cuttings from kindred substances, whether the fruits of the

    earth or herb of the field, which God planted to be our daily food,

    acquire all sorts of colours by their inter-mixture; but red is the most

    pervading of them, being created by the cutting action of fire and by

    the impression which it makes on a moist substance; and hence the liquid

    which circulates in the body has a colour such as we have described.

    The liquid itself we call blood, which nourishes the flesh and the whole

    body, whence all parts are watered and empty places filled.

    Now the process of repletion and evacuation is effected after the

    manner of the universal motion by which all kindred substances are drawn

    towards one another. For the external elements which surround us are

    always causing us to consume away, and distributing and sending off like

    to like; the particles of blood, too, which are divided and contained

    within the frame of the animal as in a sort of heaven, are compelled

    to imitate the motion of the universe. Each, therefore, of the divided

    parts within us, being carried to its kindred nature, replenishes the

    void. When more is taken away than flows in, then we decay, and when

    less, we grow and increase.

    The frame of the entire creature when young has the triangles of each

    kind new, and may be compared to the keel of a vessel which is just off

    the stocks; they are locked firmly together and yet the whole mass is

    soft and delicate, being freshly formed of marrow and nurtured on milk.

    Now when the triangles out of which meats and drinks are composed come

    in from without, and are comprehended in the body, being older and

    weaker than the triangles already there, the frame of the body gets the

    better of them and its newer triangles cut them up, and so the animal

    grows great, being nourished by a multitude of similar particles. But

    when the roots of the triangles are loosened by having undergone many

    conflicts with many things in the course of time, they are no longer

    able to cut or assimilate the food which enters, but are themselves

    easily divided by the bodies which come in from without. In this way

    every animal is overcome and decays, and this affection is called old

    age. And at last, when the bonds by which the triangles of the marrow

    are united no longer hold, and are parted by the strain of existence,

    they in turn loosen the bonds of the soul, and she, obtaining a natural

    release, flies away with joy. For that which takes place according to

    nature is pleasant, but that which is contrary to nature is painful. And

    thus death, if caused by disease or produced by wounds, is painful and

    violent; but that sort of death which comes with old age and fulfils

    the debt of nature is the easiest of deaths, and is accompanied with

    pleasure rather than with pain.

    Now every one can see whence diseases arise. There are four natures out

    of which the body is compacted, earth and fire and water and air, and

    the unnatural excess or defect of these, or the change of any of them

    from its own natural place into another, or–since there are more kinds

    than one of fire and of the other elements–the assumption by any of

    these of a wrong kind, or any similar irregularity, produces disorders

    and diseases; for when any of them is produced or changed in a manner

    contrary to nature, the parts which were previously cool grow warm, and

    those which were dry become moist, and the light become heavy, and the

    heavy light; all sorts of changes occur. For, as we affirm, a thing

    can only remain the same with itself, whole and sound, when the same is

    added to it, or subtracted from it, in the same respect and in the

    same manner and in due proportion; and whatever comes or goes away

    in violation of these laws causes all manner of changes and infinite

    diseases and corruptions. Now there is a second class of structures

    which are also natural, and this affords a second opportunity of

    observing diseases to him who would understand them. For whereas marrow

    and bone and flesh and sinews are composed of the four elements, and the

    blood, though after another manner, is likewise formed out of them, most

    diseases originate in the way which I have described; but the worst

    of all owe their severity to the fact that the generation of these

    substances proceeds in a wrong order; they are then destroyed. For the

    natural order is that the flesh and sinews should be made of blood, the

    sinews out of the fibres to which they are akin, and the flesh out

    of the clots which are formed when the fibres are separated. And the

    glutinous and rich matter which comes away from the sinews and the

    flesh, not only glues the flesh to the bones, but nourishes and imparts

    growth to the bone which surrounds the marrow; and by reason of the

    solidity of the bones, that which filters through consists of the purest

    and smoothest and oiliest sort of triangles, dropping like dew from the

    bones and watering the marrow. Now when each process takes place in this

    order, health commonly results; when in the opposite order, disease. For

    when the flesh becomes decomposed and sends back the wasting substance

    into the veins, then an over-supply of blood of diverse kinds, mingling

    with air in the veins, having variegated colours and bitter properties,

    as well as acid and saline qualities, contains all sorts of bile and

    serum and phlegm. For all things go the wrong way, and having become

    corrupted, first they taint the blood itself, and then ceasing to

    give nourishment to the body they are carried along the veins in all

    directions, no longer preserving the order of their natural courses, but

    at war with themselves, because they receive no good from one another,

    and are hostile to the abiding constitution of the body, which they

    corrupt and dissolve. The oldest part of the flesh which is corrupted,

    being hard to decompose, from long burning grows black, and from being

    everywhere corroded becomes bitter, and is injurious to every part of

    the body which is still uncorrupted. Sometimes, when the bitter element

    is refined away, the black part assumes an acidity which takes the place

    of the bitterness; at other times the bitterness being tinged with blood

    has a redder colour; and this, when mixed with black, takes the hue of

    grass; and again, an auburn colour mingles with the bitter matter

    when new flesh is decomposed by the fire which surrounds the internal

    flame;–to all which symptoms some physician perhaps, or rather some

    philosopher, who had the power of seeing in many dissimilar things one

    nature deserving of a name, has assigned the common name of bile. But

    the other kinds of bile are variously distinguished by their colours. As

    for serum, that sort which is the watery part of blood is innocent,

    but that which is a secretion of black and acid bile is malignant when

    mingled by the power of heat with any salt substance, and is then called

    acid phlegm. Again, the substance which is formed by the liquefaction

    of new and tender flesh when air is present, if inflated and encased in

    liquid so as to form bubbles, which separately are invisible owing to

    their small size, but when collected are of a bulk which is visible,

    and have a white colour arising out of the generation of foam–all this decomposition of tender flesh when intermingled with air is termed by us white phlegm. And the whey or sediment of newly-formed phlegm is sweat and tears, and includes the various daily discharges by which the body is purified. Now all these become causes of disease when the blood is not replenished in a natural manner by food and drink but gains bulk from opposite sources in violation of the laws of nature. When the several parts of the flesh are separated by disease, if the foundation remains, the power of the disorder is only half as great, and there is still a prospect of an easy recovery; but when that which binds the flesh to the bones is diseased, and no longer being separated from the muscles and sinews, ceases to give nourishment to the bone and to unite flesh and bone, and from being oily and smooth and glutinous becomes rough and salt and dry, owing to bad regimen, then all the substance thus corrupted crumbles away under the flesh and the sinews, and separates from the bone, and the fleshy parts fall away from their foundation and leave the sinews bare and full of brine, and the flesh again gets into the circulation of the blood and makes the previously-mentioned disorders still greater. And if these bodily affections be severe, still worse are the prior disorders; as when the

    bone itself, by reason of the density of the flesh, does not obtain

    sufficient air, but becomes mouldy and hot and gangrened and receives no

    nutriment, and the natural process is inverted, and the bone crumbling

    passes into the food, and the food into the flesh, and the flesh again

    falling into the blood makes all maladies that may occur more virulent

    than those already mentioned. But the worst case of all is when the

    marrow is diseased, either from excess or defect; and this is the cause

    of the very greatest and most fatal disorders, in which the whole course of the body is reversed.

    There is a third class of diseases which may be conceived of as arising

    in three ways; for they are produced sometimes by wind, and sometimes by

    phlegm, and sometimes by bile. When the lung, which is the dispenser of

    the air to the body, is obstructed by rheums and its passages are not

    free, some of them not acting, while through others too much air enters,

    then the parts which are unrefreshed by air corrode, while in other

    parts the excess of air forcing its way through the veins distorts them

    and decomposing the body is enclosed in the midst of it and occupies the

    midriff; thus numberless painful diseases are produced, accompanied by

    copious sweats. And oftentimes when the flesh is dissolved in the body,

    wind, generated within and unable to escape, is the source of quite as

    much pain as the air coming in from without; but the greatest pain is

    felt when the wind gets about the sinews and the veins of the shoulders,

    and swells them up, and so twists back the great tendons and the sinews

    which are connected with them. These disorders are called tetanus and

    opisthotonus, by reason of the tension which accompanies them. The

    cure of them is difficult; relief is in most cases given by fever

    supervening. The white phlegm, though dangerous when detained within by

    reason of the air-bubbles, yet if it can communicate with the outside

    air, is less severe, and only discolours the body, generating leprous

    eruptions and similar diseases. When it is mingled with black bile and

    dispersed about the courses of the head, which are the divinest part

    of us, the attack if coming on in sleep, is not so severe; but when

    assailing those who are awake it is hard to be got rid of, and being an

    affection of a sacred part, is most justly called sacred. An acid and

    salt phlegm, again, is the source of all those diseases which take the

    form of catarrh, but they have many names because the places into which they flow are manifold.

    Inflammations of the body come from burnings and inflamings, and all of them originate in bile. When bile finds a means of discharge, it boils up and sends forth all sorts of tumours; but when imprisoned within, it generates many inflammatory diseases, above all when mingled with pure blood; since it then displaces the fibres which are scattered about in the blood and are designed to maintain the balance of rare and dense, in order that the blood may not be so liquefied by heat as to exude from the pores of the body, nor again become too dense and thus find a difficulty in circulating through the veins. The fibers are so constituted as to maintain this balance; and if any one brings them all together when the blood is dead and in process of cooling, then the blood which remains becomes fluid, but if they are left alone, they soon congeal by reason of the surrounding cold. The fibres having this power over the blood, bile, which is only stale blood, and which from being flesh is dissolved again into blood, at the first influx coming in little by little, hot and liquid, is congealed by the power of the fibres; and so congealing and made to cool, it produces internal cold and shuddering. When it enters with more of a flood and overcomes the fibers by its heat, and boiling up throws them into disorder, if it have power enough to maintain its supremacy, it penetrates the marrow and burns up what may be termed the cables of the soul, and sets her free; but when there is not so much of it, and the body though wasted still holds out, the bile is itself mastered, and is either utterly banished, or is thrust through the veins into the lower or upper belly, and is driven out of the body like an exile from a state in which there has been civil war; whence arise diarrhoeas and dysenteries, and all such disorders. When the constitution is disordered by excess of fire,

    continuous heat and fever are the result; when excess of air is the

    cause, then the fever is quotidian; when of water, which is a more

    sluggish element than either fire or air, then the fever is a tertian;

    when of earth, which is the most sluggish of the four, and is only

    purged away in a four-fold period, the result is a quartan fever, which

    can with difficulty be shaken off.

    Such is the manner in which diseases of the body arise; the disorders

    of the soul, which depend upon the body, originate as follows. We must

    acknowledge disease of the mind to be a want of intelligence; and of

    this there are two kinds; to wit, madness and ignorance. In whatever

    state a man experiences either of them, that state may be called

    disease; and excessive pains and pleasures are justly to be regarded as

    the greatest diseases to which the soul is liable. For a man who is in

    great joy or in great pain, in his unreasonable eagerness to attain

    the one and to avoid the other, is not able to see or to hear anything

    rightly; but he is mad, and is at the time utterly incapable of any

    participation in reason. He who has the seed about the spinal marrow too

    plentiful and overflowing, like a tree overladen with fruit, has

    many throes, and also obtains many pleasures in his desires and their

    offspring, and is for the most part of his life deranged, because his

    pleasures and pains are so very great; his soul is rendered foolish and

    disordered by his body; yet he is regarded not as one diseased, but as

    one who is voluntarily bad, which is a mistake. The truth is that

    the intemperance of love is a disease of the soul due chiefly to the

    moisture and fluidity which is produced in one of the elements by the loose consistency of the bones. And in general, all that which is termed the incontinence of pleasure and is deemed a reproach under the idea that the wicked voluntarily do wrong is not justly a matter for reproach. For no man is voluntarily bad; but the bad become bad by reason of an ill disposition of the body and bad education, things which are hateful to every man and happen to him against his will. And in the case of pain too in like manner the soul suffers much evil from the body. For where the acid and briny phlegm and other bitter and bilious humors wander about in the body, and find no exit or escape, but are pent up within and mingle their own vapors with the motions of the soul, and are blended with them, they produce all sorts of diseases, more or fewer, and in every degree of intensity; and being carried to the three places of the soul, whichever they may severally assail, they create infinite varieties of ill-temper and melancholy, of rashness and cowardice, and also of forgetfulness and stupidity. Further, when to this evil constitution of body evil forms of government are added and evil discourses are uttered in private as well as in public, and no sort of instruction is given in youth to cure these evils, then all of us who are bad become bad from two causes which are entirely beyond our

    control. In such cases the planters are to blame rather than the plants,

    the educators rather than the educated. But however that may be,

    we should endeavour as far as we can by education, and studies, and

    learning, to avoid vice and attain virtue; this, however, is part of another subject.

    There is a corresponding enquiry concerning the mode of treatment by which the mind and the body are to be preserved, about which it is meet and right that I should say a word in turn; for it is more our duty to speak of the good than of the evil. Everything that is good is fair, and the fair is not without proportion, and the animal which is to be fair must have due proportion. Now we perceive lesser symmetries or proportions and reason about them, but of the highest and greatest we take no heed; for there is no proportion or disproportion more productive of health and disease, and virtue and vice, than that between soul and body. This however we do not perceive, nor do we reflect that when a weak or small frame is the vehicle of a great and mighty soul, or conversely, when a little soul is encased in a large body, then the whole animal is not fair, for it lacks the most important of all symmetries; but the due proportion of mind and body is the fairest and loveliest of all sights to him who has the seeing eye. Just as a body which has a leg too long, or which is unsymmetrical in some other respect, is an unpleasant sight, and also, when doing its share of work, is much distressed and makes convulsive efforts, and often stumbles through awkwardness, and is the cause of infinite evil to its own self–in like manner we should conceive of the double nature which we call the living being; and when in this compound there is an impassioned

    soul more powerful than the body, that soul, I say, convulses and fills

    with disorders the whole inner nature of man; and when eager in the

    pursuit of some sort of learning or study, causes wasting; or again,

    when teaching or disputing in private or in public, and strifes and

    controversies arise, inflames and dissolves the composite frame of

    man and introduces rheums; and the nature of this phenomenon is not

    understood by most professors of medicine, who ascribe it to the

    opposite of the real cause. And once more, when a body large and too

    strong for the soul is united to a small and weak intelligence, then

    inasmuch as there are two desires natural to man,–one of food for the

    sake of the body, and one of wisdom for the sake of the diviner part

    of us–then, I say, the motions of the stronger, getting the better and

    increasing their own power, but making the soul dull, and stupid, and

    forgetful, engender ignorance, which is the greatest of diseases. There

    is one protection against both kinds of disproportion:–that we should

    not move the body without the soul or the soul without the body, and

    thus they will be on their guard against each other, and be healthy and

    well balanced. And therefore the mathematician or any one else whose

    thoughts are much absorbed in some intellectual pursuit, must allow his

    body also to have due exercise, and practise gymnastic; and he who

    is careful to fashion the body, should in turn impart to the soul its

    proper motions, and should cultivate music and all philosophy, if he

    would deserve to be called truly fair and truly good. And the separate parts should be treated in the same manner, in imitation of the pattern of the universe; for as the body is heated and also cooled within by the elements which enter into it, and is again dried up and moistened by external things, and experiences these and the like affections from both kinds of motions, the result is that the body if given up to motion when in a state of quiescence is overmastered and perishes; but if any one, in imitation of that which we call the foster-mother and nurse of the

    universe, will not allow the body ever to be inactive, but is always

    producing motions and agitations through its whole extent, which form

    the natural defence against other motions both internal and external,

    and by moderate exercise reduces to order according to their affinities

    the particles and affections which are wandering about the body, as we

    have already said when speaking of the universe, he will not allow enemy

    placed by the side of enemy to stir up wars and disorders in the body,

    but he will place friend by the side of friend, so as to create health.

    Now of all motions that is the best which is produced in a thing

    by itself, for it is most akin to the motion of thought and of the

    universe; but that motion which is caused by others is not so good, and

    worst of all is that which moves the body, when at rest, in parts only

    and by some external agency. Wherefore of all modes of purifying and

    re-uniting the body the best is gymnastic; the next best is a surging

    motion, as in sailing or any other mode of conveyance which is not

    fatiguing; the third sort of motion may be of use in a case of extreme

    necessity, but in any other will be adopted by no man of sense: I mean the purgative treatment of physicians; for diseases unless they are very dangerous should not be irritated by medicines, since every form of disease is in a manner akin to the living being, whose complex frame has an appointed term of life. For not the whole race only, but each individual–barring inevitable accidents–comes into the world having a fixed span, and the triangles in us are originally framed with power to last for a certain time, beyond which no man can prolong his life. And this holds also of the constitution of diseases; if any one regardless of the appointed time tries to subdue them by medicine, he only aggravates and multiplies them. Wherefore we ought always to manage them by regimen, as far as a man can spare the time, and not provoke a disagreeable enemy by medicines.

    Enough of the composite animal, and of the body which is a part of him, and of the manner in which a man may train and be trained by himself so as to live most according to reason: and we must above and before all provide that the element which is to train him shall be the fairest and best adapted to that purpose. A minute discussion of this subject would be a serious task; but if, as before, I am to give only an outline, the subject may not unfitly be summed up as follows.

    I have often remarked that there are three kinds of soul located within us, having each of them motions, and I must now repeat in the fewest words possible, that one part, if remaining inactive and ceasing from its natural motion, must necessarily become very weak, but that which is trained and exercised, very strong. Wherefore we should take care that the movements of the different parts of the soul should be in due proportion.

    And we should consider that God gave the sovereign part of the human soul to be the divinity of each one, being that part which, as we say, dwells at the top of the body, and inasmuch as we are a plant not of an earthly but of a heavenly growth, raises us from earth to our kindred who are in heaven. And in this we say truly; for the divine power suspended the head and root of us from that place where the generation of the soul first began, and thus made the whole body upright. When a man is always occupied with the cravings of desire and ambition, and is eagerly striving to satisfy them, all his thoughts must be mortal, and, as far as it is possible altogether to become such, he must be mortal every whit, because he has cherished his mortal part. But he who has been earnest in the love of knowledge and of true wisdom, and has exercised his intellect more than any other part of him, must have thoughts immortal and divine, if he attain truth, and in so far as human nature is capable of sharing in immortality, he must altogether be immortal; and since he is ever cherishing the divine power, and has the divinity within him in perfect order, he will be perfectly happy. Now there is only one way of taking care of things, and this is to give to each the food and motion which are natural to it. And the motions which are naturally akin to the divine principle within us are the thoughts and revolutions of the universe. These each man should follow, and correct the courses of the head which were corrupted at our birth, and by learning the harmonies and revolutions of the universe, should assimilate the thinking being to the thought, renewing his original nature, and having assimilated them should attain to that perfect life which the gods have set before mankind, both for the present and the future.

    Thus our original design of discoursing about the universe down to the creation of man is nearly completed. A brief mention may be made of the generation of other animals, so far as the subject admits of brevity; in this manner our argument will best attain a due proportion. On the subject of animals, then, the following remarks may be offered. Of the men who came into the world, those who were cowards or led unrighteous lives may with reason be supposed to have changed into the nature of women in the second generation. And this was the reason why at that time the gods created in us the desire of sexual intercourse, contriving in man one animated substance, and in woman another, which they formed respectively in the following manner. The outlet for drink by which liquids pass through the lung under the kidneys and into the bladder, which receives and then by the pressure of the air emits them, was so fashioned by them as to penetrate also into the body of the marrow, which passes from the head along the neck and through the back, and which in the preceding discourse we have named the seed. And the seed having life, and becoming endowed with respiration, produces in that part in which it respires a lively desire of emission, and thus creates in us the love of procreation. Wherefore also in men the organ of generation becoming rebellious and masterful, like an animal disobedient to reason, and maddened with the sting of lust, seeks to gain absolute sway; and the same is the case with the so-called womb or matrix of women; the animal within them is desirous of procreating children, and when remaining unfruitful long beyond its proper time, gets discontented and angry, and wandering in every direction through the body, closes up the passages of the breath, and, by obstructing respiration, drives them to extremity, causing all varieties of disease, until at length the desire and love of the man and the woman, bringing them together and as it were plucking the fruit from the tree, sow in the womb, as in a field, animals unseen by reason of their smallness and without form; these again are separated and matured within; they are then finallybrought out into the light, and thus the generation of animals is completed.

    Thus were created women and the female sex in general. But the race of birds was created out of innocent light-minded men, who, although their minds were directed toward heaven, imagined, in their simplicity, that the clearest demonstration of the things above was to be obtained by sight; these were remodelled and transformed into birds, and they grew feathers instead of hair. The race of wild pedestrian animals, again, came from those who had no philosophy in any of their thoughts, and never considered at all about the nature of the heavens, because they had ceased to use the courses of the head, but followed the guidance of those parts of the soul which are in the breast. In consequence of these habits of theirs they had their front-legs and their heads resting upon the earth to which they were drawn by natural affinity; and the crowns of their heads were elongated and of all sorts of shapes, into which the courses of the soul were crushed by reason of disuse. And this was the reason why they were created quadrupeds and polypods: God gave the more senseless of them the more support that they might be more attracted to the earth. And the most foolish of them, who trail their bodies entirely upon the ground and have no longer any need of feet, he made without feet to crawl upon the earth. The fourth class were the inhabitants of the water: these were made out of the most entirely senseless and ignorant of all, whom the transformers did not think any longer worthy of pure respiration, because they possessed a soul which was made impure by all sorts of transgression; and instead of the subtle and pure medium of air, they gave them the deep and muddy sea to be their element of respiration; and hence arose the race of fishes and oysters, and other aquatic animals, which have received the most remote habitations as a punishment of their outlandish ignorance. These are the laws by which animals pass into one another, now, as ever, changing as they lose or gain wisdom and folly.

    We may now say that our discourse about the nature of the universe has an end. The world has received animals, mortal and immortal, and is fulfilled with them, and has become a visible animal containing the visible–the sensible God who is the image of the intellectual, the greatest, best, fairest, most perfect–the one only-begotten heaven.

  • 柏拉图《理想国》

    柏拉图(公元前427年-347年)哲学家,苏格拉底(约公元前469年-339年)的学生,亚里士多德(公元前384年-32年)的老师。
    柏拉图一生大部分时间居住在雅典,他热爱哲学,理想是:哲学家应为政治家,政治家应为哲学家;哲学家不是躲在象牙塔里的书呆,应该学以致用,求诸实践;有哲学头脑的人,要有政权,有政权的人,要有哲学头脑。
    柏拉图出生于贵族家庭,生于雅典城邦衰落的时期,那时疫疠流行,大政治家伯利克里染疾去世后,群龙无首,伯罗奔尼撒战争爆发,危机四伏。柏拉图书札第七[《书札》第七、第八大致可靠,其余未可尽信]有这样一段自白:

    我年轻时,总想一旦能独立工作,就要投身政界。后来政局突然变动,影响了我的计划。那时民主政权为一般人所厌恶,革命发生了。领导这次革命的有五十一人,其中十一人在城区,十人在比雷埃夫斯港。这两个委员会管理两区的市场及行政。上面还有一个三十人的最高委员会,最高委员会里有些成员是我的亲戚故旧;他们邀我参加,以为一定会得到我的赞助。我当时年少天真,总以为新政权将以正义取代不正义,我极端注意他们先是怎么说的,后来又是怎么做的。这些绅士们的一举一动,一下子把他们所毁坏的民主政权反而变得象黄金时代了!他们居然命令我的师而兼友的苏格拉底去非法逮捕他们的政敌。苏格拉底严词拒绝,宁死不屈。我敢肯定说苏格拉底是当代最正直的人啊!
    当我看到这些,以及其它种种,我衷心厌恶,决计与这个可耻的政权完全脱离关系。三十人委员会大失人心,被逐下台。过了一个时期,我故态复萌,跃跃欲试地,虽然静悄悄地,又想参加政治活动了。
    当时雅典局势混乱,私人互相报复,到处械斗。总的说来,东山再起的民主政权,还算比较温和;可是一些有势力的坏人诬告苏格拉底以渎神之罪,陪审团竟处以极刑……后来我年事渐长,深知在政治上要有所作为,首先必须有朋友,有组织,这种人在政客中非常难找,因为他们做事没有原则,没有传统的制度和风纪。要找到新的人才,简直难于登天。况且法规旧典,在雅典已多散失。当初我对于政治,雄心勃勃,但一再考虑,看到政局混乱,我徬徨四顾,莫知所措。我反复思之,唯有大声疾呼,推崇真正的哲学,使哲学家获得政权,成为政治家,或者政治家奇迹般地成为哲学家,否则人类灾祸总是无法避免的。

    柏拉图痛心的是雅典贵族政治堕落为寡头政治,这使他猛醒过来,重新考虑他的政治立场。他认为农民、工人、商人是物质财富的生产者和推销者,他们不可能也不必要去担负行政上的许多事务。政治活动是领导阶层的专职,是领导阶层义不容辞的一种道德责任。领导与群众分工合作的政治结构与政治体制应当是这个样子:领导阶层尽其全力来治理国家,捍卫国家。他们受工农商的供养,回过来给工农商办好教育、治安和国防。事实上丧失过信誉的贵族政治,在雅典很难成功,但这并不证明贵族政治是不合理的,行不通的。在柏拉图看来,国家应当好好培植下一代的年轻人,他自己决意钻研数学、天文学及纯粹哲学,与师而兼友的苏格拉底往返论证,将欲立人,先求立己。
    公元前339年雅典民主派当权,苏格拉底被控传播异说,毒害青年,法庭判以死刑,苏格拉底从容答辩,竟以身殉。柏拉图目击心伤,终其身魂梦以之,不能忘怀。
    柏拉图以继承苏格拉底大业自任,前后共著对话二十五篇。《理想国》成于壮年,如日中天,影响深远。除最晚出的《法律篇》之外,其余二十四篇均以苏格拉底为主要对话者。另有对话六篇经后人考证乃系伪作。柏拉图书札第七、第八大致可靠。第一、第十二不能尽信,其余诸札,众说纷纭,迄无定论。苏格拉底一生不著一字,而柏拉图是西方哲学史上有大量著作留传下来的哲学家。
    苏格拉底去世不久,柏拉图离开雅典,周游地中海地区,包括小亚细亚沿岸的伊奥尼亚一带,及意大利南部的若干希腊殖民地城邦,访问过毕达哥拉斯门徒所组成的学派。可能到过北非洲、埃及、西西里岛,以及别的地方。他对西西里岛叙拉古城的霸主戴奥尼素印象恶劣,觉得他是不讲道德,荒淫玩乐之徒,不可能有智慧,不可能治国安民。

    但柏拉图在这里遇到霸主的女婿迪恩,一见如故,欢喜非常。

    在柏拉图看来,迪恩酷好哲学,又是一个实行家;苏格拉底之后,对柏拉图影响最大的,便是迪恩了。

    柏拉图四十岁返回雅典,是年(纪元前387年)雅典签订丧权辱国的安太尔西达和约,将所有小亚细亚地区,割让给波斯。雅典斯巴达继续交恶,不得统一,整个希腊世界,日薄西山,奄奄一息。柏拉图下定决心,于雅典城外创建学园。当时有名学者登门造访,质疑问难,不仅成为雅典的最高学府,而且蔚为全希腊的学术中心。不少学生都是希腊城邦的世家子弟,世家子女!

    柏拉图放弃政治,讲学著书,孜孜忘倦,先后共二十载。公元前367年柏拉图已年近六十,戴奥尼素霸主逝世,其子戴奥尼素二世继位,由迪恩摄政,邀请柏拉图重游叙拉古城,为二世师。柏拉图政治生涯第一阶段是壮志雄心的幻灭时期。第二阶段困心衡虑,久而弥坚,相信哲学家确能兼为政治家,确能治理世界。其代表作《理想国》,不仅是哲学家的宣言书,而且是哲人政治家所写的治国计划纲要。

    第三阶段柏拉图垂垂老矣。愈至晚年愈求实际,事与愿违,不得已舍正义而思刑赏,弃德化而谈法治,乃撰《法律篇》。

    《理想国》一书,震古铄今,书中讨论到优生学问题、节育问题、家庭解体问题、婚姻自由问题、独身问题、专政问题、独裁问题、共产问题、民主问题、宗教问题、道德问题、文艺问题、教育问题(包括托儿所、幼儿园、小学、中学、大学研究院以及工、农、航海、医学等职业教育)加上男女平权、男女参政、男女参军等等问题。柏拉图的学问可称为综合性的;亚里士多德的学问则可称为分科性的。亚里士多德的著作大致分为九种:①逻辑学、②物理学、③心理学、④生物学、⑤形而上学、⑥伦理学、⑦政治学、⑧修辞学、⑨诗学。古希腊学术文化的根本目的在于追求知识,希腊语哲学一词(φισφ′α)原义爱知,a b c科学一词(‘πισ′μη)原义知识,在古希腊人看来,哲学科学一而二,d e f二而一,初无区别。现代所用science一词,出自拉丁;knowledge一词,出自古英语;原义均为知识。知识代表真理,亚里士多德有句名言“吾爱吾师,吾尤爱真理(amicus plato, sedmagisveritas)”。
    古希腊人所谓知识,代表真理全部,而非局部。

    第一卷

    苏格拉底:昨天,我跟阿里斯同的儿子格劳孔一块儿来到比雷埃夫斯港[雅典西南七公里,为重要港口],参加向女神[色雷斯地方的猎神朋迪斯]的献祭,同时观看赛会。因为他们庆祝这个节日还是头一遭。我觉得当地居民的赛会似乎搞得很好,不过也不比色雷斯人搞的更好,我们做了祭献,看了表演之后正要回城。

    这时,克法洛斯的儿子玻勒马霍斯从老远看见了,他打发自己的家奴赶上来挽留我们。家奴从后面拉住我的披风说:“玻勒马霍斯请您们稍微等一下。”

    我转过身来问他:“主人在哪儿?”家奴说:“主人在后面,就到。请您们稍等一等。”格劳孔说:“行,我们就等等吧!”
    一会儿的功夫,玻勒马霍斯赶到,同来的有格劳孔的弟弟阿得曼托斯,尼客阿斯的儿子尼克拉托斯,还有另外几个人,显然都是看过了表演来的。

    玻:苏格拉底,看样子你们要离开这儿,赶回城里去。

    苏:你猜得不错。

    玻:喂!你瞧瞧我们是多少人?

    苏:看见了。

    玻:那么好!要么留在这儿,要么就干上一仗。

    苏:还有第二种办法。要是我们婉劝你们,让我们回去,那不是更好吗?

    玻:瞧你能的!难道你们有本事说服我们这些个不愿意领教的人吗?

    格:当然没这个本事。

    玻:那你们就死了这条心吧!反正我们是说不服的。

    阿:难道你们真的不晓得今晚有火炬赛马吗?

    苏:骑在马上?这倒新鲜。是不是骑在马背上,手里拿着火把接力比赛?还是指别的什么玩艺儿?

    玻:就是这个,同时他们还有庆祝会——值得一看哪!吃过晚饭我们就去逛街,看表演,可以见见这儿不少年轻人,我们可以好好的聊一聊。别走了,就这么说定了。

    格:看来咱们非得留下不可了。

    苏:行哟!既然你这么说了,咱们就这么办吧!

    〔于是,我们就跟着玻勒马霍斯到他家里,见到他的兄弟吕西阿斯和欧若得摩,还有卡克冬地方的色拉叙马霍斯,派尼亚地方的哈曼提得斯,阿里斯托纽摩斯的儿子克勒托丰。还有玻勒马霍斯的父亲克法洛斯也在家里。我很久没有见到他了,他看上去很苍老。他坐在带靠垫的椅子上,头上还戴看花圈。才从神庙上供回来。

    房间里四周都有椅子,我们就在他旁边坐了下来。克法洛斯一眼看见我,马上就跟我招呼。〕克:亲爱的苏格拉底,你不常上比雷埃夫斯港来看我们,你实在应该来。假如我身子骨硬朗一点儿,能松松快快走进城,就用不着你上这儿来,我会去看你的。可现在,你应该多上我这儿来呀!我要告诉你,随着对肉体上的享受要求减退下来,我爱上了机智的清谈,而且越来越喜爱。我可是真的求你多上这儿来,拿这里当自己家一样,跟这些年轻人交游,结成好友。

    苏:说真的,克法洛斯,我喜欢跟你们上了年纪的人谈话。我把你们看作经过了漫长的人生旅途的老旅客。这条路,我们多半不久也是得踏上的,我应该请教你们:这条路是崎岖坎坷的呢,还是一条康庄坦途呢?克法洛斯,您的年纪已经跨进了诗人所谓的“老年之门”,究竟晚境是痛苦呢还是怎么样?

    克:我很愿意把我的感想告诉你。亲爱的苏格拉底,我们几个岁数相当的人喜欢常常碰头。正像古话所说的:同声相应,同气相求。大家一碰头就怨天尤人。想起年轻时的种种吃喝玩乐,仿佛失去了至宝似的,总觉得从前的生活才够味,现在的日子就不值一提啦。有的人抱怨,因为上了年纪,甚至受到至亲好友的奚落,不胜伤感。所以他们把年老当成苦的源泉。不过依我看,问题倒不出在年纪上。要是他们的话是对的,那么我自己以及象我这样年纪的人,就更应该受罪了。可是事实上,我遇到不少的人,他们的感觉并非如此。就拿诗人索福克勒斯[公元前495—公元前406年,希腊三大悲剧诗人之一]来说吧!有一回,我跟他在一起,正好碰上别人问他:

    “索福克勒斯,你对于谈情说爱怎么样了,这么大年纪还向女人献殷勤吗?”他说:“别提啦!洗手不干啦!谢天谢地,我就象从一个又疯又狠的奴隶主手里挣脱出来了似的。”我当时觉得他说得在理,现在更以为然。上了年纪的确使人心平气和,宁静寡欲。到了清心寡欲,弦不再绷得那么紧的时候,这境界真象索福克勒斯所说的,象是摆脱了一帮子穷凶极恶的奴隶主的羁绊似的。苏格拉底,上面所说的许多痛苦,包括亲人朋友的种种不满,其原因只有一个,不在于人的年老,而在于人的性格。如果他们是大大方方,心平气和的人,年老对他们称不上是太大的痛苦。要不然的话,年轻轻的照样少不了烦恼。

    〔苏:我听了克法洛斯的话颇为佩服。因为想引起他的谈锋,于是故意激激他。我说:〕亲爱的克法洛斯,我想,一般人是不会以你的话为然的。他们会认为你觉得老有老福,并不是因为你的性格,而是因为你家财万贯。他们会说“人有了钱当然有许多安慰”。

    克:说得不错,他们不信我的话,也有他们的道理。不过,他们是言之太过了。我可以回答他们,象色弥斯托克勒[约公元前514年—公元前449年,雅典政治家,希波战争初期在雅典推行民主改革,使贵族会议的成分发生改变]回答塞里福斯人一样。塞里福斯人诽谤色弥斯托克勒,说他的成名并不是由于他自己的功绩,而是由于他是雅典人。你知道他是这样回答的:“如果我是塞里福斯人,我固然不会成名,但是,要让你是雅典人,你也成不了名。”对于那些叹老嗟贫的人,可以拿同样这些话来回敬他们。一个好人,同时忍受贫困、老年,固然不容易,但是一个坏人虽然有钱,到了老年其内心也是得不到满足和宁静的。

    苏:克法洛斯啊!你偌大的一份家当,大半是继承来的呢?还是你自己赚的?
    克:苏格拉底,就自己赚钱而言,那我可以说是介于祖父和父亲之间。我的祖父克法洛斯,继承的财产跟我现有的一样多,经他的手又翻了好几番,而我的父亲吕萨略斯,把这份家私减少到比现在还少。至于我,只要能遗留给这些晚辈的家产,不比我继承的少——也许还稍微多点儿——我就心满意足了。
    苏:我看你不大象个守财奴,所以才这么问问。大凡不亲手挣钱的人,多半不贪财;亲手挣钱的才有了一文想两文。象诗人爱自己的诗篇,父母疼自己的儿女一样,赚钱者爱自己的钱财,不单是因为钱有用,而是因为钱是他们自己的产品。
    这种人真讨厌。他们除了赞美钱财而外,别的什么也不赞美。
    克:你说得在理。
    苏:真的,我还要向您讨教一个问题。据您看有了万贯家财最大的好处是什么?
    克:这个最大的好处,说起来未必有许多人相信。但是,苏格拉底,当一个人想到自己不久要死的时候,就会有一种从来不曾有过的害怕缠住他。关于地狱的种种传说,以及在阳世作恶,死了到阴间要受报应的故事,以前听了当作无稽之谈,现在想起来开始感到不安了——说不定这些都是真的呢!

    不管是因为年老体弱,还是因为想到自己一步步逼近另一个世界了,他把这些情景都看得更加清楚了,满腹恐惧和疑虑。

    他开始扪心自问,有没有在什么地方害过什么人?如果他发现自己这一辈子造孽不少,夜里常常会象小孩一样从梦中吓醒,无限恐怖。但一个问心无愧的人,正象品达[约公元前522—公元前442年,希腊抒情诗人]所说的:

    晚年的伴侣心贴着心,

    永存的希望指向光明。

    他形容得很好,钱财的主要好处也许就在这里。我并不是说每一个人都是这样,我是说对于一个通情达理的人来说,有了钱财他就用不着存心作假或不得已而骗人了。当他要到另一世界去的时候,他也就用不着为亏欠了神的祭品和人的债务而心惊胆战了。在我看来,有钱固然有种种好处,但比较起来,对于一个明白事理的人来说,我上面所讲的好处才是他最大的好处。

    苏:克法洛斯,您说得妙极了。不过讲到“正义”嘛,究竟正义是什么呢?难道仅仅有话实说,有债照还就算正义吗?

    这样做会不会有时是正义的,而有时却不是正义的呢?打个比方吧!譬如说,你有个朋友在头脑清楚的时候,曾经把武器交给你;假如后来他疯了,再跟你要回去;任何人都会说不能还给他。如果竟还给了他,那倒是不正义的。把整个真情实况告诉疯子也是不正义的。

    克:你说得对。

    苏:这么看来,有话实说,拿了人家东西照还这不是正义的定义。

    玻勒马霍斯插话说:这就是正义的定义,如果我们相信西蒙尼得[公元前556—公元前467年,希腊抒情诗人]的说法的话。

    克:好!好!我把这个话题交给他和你了。因为这会儿该我去献祭上供了。

    苏:那么,玻勒马霍斯就是您的接班人了,是不是?

    克:当然,当然!(说着就带笑地去祭祀了)

    苏:那就接着往下谈吧,辩论的接班人先生,西蒙尼得所说的正义,其定义究竟是什么?

    玻:他说“欠债还债就是正义”。我觉得他说得很对。

    苏:不错,象西蒙尼得这样大智大慧的人物,可不是随随便便能怀疑的。不过,他说的到底是什么意思,也许你懂得,我可闹不明白。他的意思显然不是我们刚才所说的那个意思——原主头脑不正常,还要把代管的不论什么东西归还给他,尽管代管的东西的确是一种欠债。对吗?

    玻:是的。

    苏:当原主头脑不正常的时候,无论如何不该还给他,是不是?

    玻:真的,不该还他。

    苏:这样看来,西蒙尼得所说的“正义是欠债还债”这句话,是别有所指的。

    玻:无疑是别有所指的。他认为朋友之间应该与人为善,不应该与人为恶。

    苏:我明白了。如果双方是朋友,又,如果把钱归还原主,对收方或还方是有害的,这就不算是还债了。你看,这是不是符合西蒙尼得的意思?

    玻:的确是的。

    苏:那么,我们欠敌人的要不要归还呢?

    玻:应当要还。不过我想敌人对敌人所欠的无非是恶,因为这才是恰如其份的。

    苏:西蒙尼得跟别的诗人一样,对于什么是正义说得含糊不清。他实在的意思是说,正义就是给每个人以适如其份的报答,这就是他所谓的“还债”。

    玻:那么,您以为如何?

    苏:天哪!要是我们问他:“西蒙尼得,什么是医术所给的恰如其份的报答呢?给什么人?给的什么东西?”你看他会怎生回答?

    玻:他当然回答:医术把药品、食物、饮料给予人的身体。

    苏:什么是烹调术所给的恰如其份的报答?给予什么人?

    给的什么东西?

    玻:把美味给予食物。

    苏:那么,什么是正义所给的恰如其份的报答呢?给予什么人?

    玻:苏格拉底,假如我们说话要前后一致,那么,正义就是“把善给予友人,把恶给予敌人。”

    苏:这是他的意思吗?

    玻:我想是的。

    苏:在有人生病的时候,谁最能把善给予朋友,把恶给予敌人?

    玻:医生。

    苏:当航海遇到了风急浪险的时候呢?

    玻:舵手。

    苏:那么,正义的人在什么行动中,在什么目的之下,最能利友而害敌呢?

    玻:在战争中联友而攻敌的时候。

    苏:很好!不过,玻勒马霍斯老兄啊!当人们不害病的时候,医生是毫无用处的。

    玻:真的。

    苏:当人们不航海的时候,舵手是无用的。

    玻:是的。

    苏:那么,不打仗的时候,正义的人岂不也是毫无用处的?

    玻:我想不是。

    苏:照你看,正义在平时也有用处吗?

    玻:是的。

    苏:种田也是有用的,是不是?

    玻:是的。

    苏:为的是收获庄稼。

    玻:是的。

    苏:做鞋术也是有用的。

    玻:是的。

    苏:为的是做成鞋子——你准会这么说。

    玻:当然。

    苏:好!那么你说说看,正义平时在满足什么需要,获得什么好处上是有用的?

    玻:在订合同立契约这些事情上,苏格拉底。

    苏:所谓的订合同立契约,你指的是合伙关系,还是指别的事?

    玻:当然是合伙关系。

    苏:下棋的时候,一个好而有用的伙伴,是正义者还是下棋能手呢?

    玻:下棋能手。

    苏:在砌砖盖瓦的事情上,正义的人当伙伴,是不是比瓦匠当伙伴更好,更有用呢?

    玻:当然不是。

    苏:奏乐的时候,琴师比正义者是较好的伙伴。那么请问,在哪种合伙关系上正义者比琴师是较好的伙伴?

    玻:我想,是在金钱的关系上。

    苏:玻勒马霍斯,恐怕要把怎么花钱的事情除外。比方说,在马匹交易上,我想马贩子是较好的伙伴,是不是?

    玻:看来是这样。

    苏:至于在船舶的买卖上,造船匠或者舵手岂不是更好的伙伴吗?

    玻:恐怕是的。

    苏:那么什么时候合伙用钱,正义的人才是一个较好的伙伴呢?

    玻:当你要妥善地保管钱的时候。

    苏:这意思就是说,当你不用钱,而要储存钱的时候吗?

    玻:是的。

    苏:这岂不是说,当金钱没用的时候,才是正义有用的时候吗?

    玻:好像是这么回事。

    苏:当你保管修枝刀的时候,正义于公于私都是有用的;

    但是当你用刀来整枝的时候,花匠的技术就更有用了。

    玻:看来是这样。

    苏:你也会说,当你保管盾和琴的时候,正义是有用的,但是利用它们的时候,军人和琴师的技术就更有用了。

    玻:当然。

    苏:这么说,所有的事物统统都是这样的吗?——它们有用,正义就无用,它们无用,正义就有用了?

    玻:好像是这样的。

    苏:老兄啊!如果正义仅仅对于无用的东西才是有用的,那么正义也没有什么了不起了。还是让我们换个路子来讨论这个问题吧!打架的时候,无论是动拳头,还是使家伙,是不是最善于攻击的人也最善于防守?

    玻:当然。

    苏:是不是善于预防或避免疾病的人,也就是善于造成疾病的人?

    玻:我想是这样的。

    苏:是不是一个善于防守阵地的人,也就是善于偷袭敌人的人——不管敌人计划和布置得多么巧妙?

    玻:当然。

    苏:是不是一样东西的好看守,也就是这样东西的高明的小偷?

    玻:看来好像是的。

    苏:那么,一个正义的人,既善于管钱,也就善于偷钱啰?

    玻:按理说,是这么回事。

    苏:那么正义的人,到头来竟是一个小偷!这个道理你恐怕是从荷马那儿学来的。因为荷马很欣赏奥德修斯[荷马史诗《奥德赛》的主人公]的外公奥托吕科斯,说他在偷吃扒拿和背信弃义、过河拆桥方面,简直是盖世无双的。所以,照你跟荷马和西蒙尼得的意思,正义似乎是偷窃一类的东西。不过这种偷窃确是为了以善报友,以恶报敌才干的,你说的不是这个意思吗?

    玻:老天爷啊!不是。我弄得晕头转向了,简直不晓得我刚才说的是什么了。不管怎么说罢,我终归认为帮助朋友,伤害敌人是正义的。

    苏:你所谓的朋友是指那些看上去好的人呢,还是指那些实际上真正好的人呢?你所谓的敌人是指那些看上去坏的人呢,还是指那些看上去不坏,其实是真的坏人呢?

    玻:那还用说吗?一个人总是爱他认为好的人,而恨那些他认为坏的人。

    苏:那么,一般人不会弄错,把坏人当成好人,又把好人当成坏人吗?

    玻:是会有这种事的。

    苏:那岂不要把好人当成敌人,拿坏人当成朋友了吗?

    玻:无疑会的。

    苏:这么一来,帮助坏人,为害好人,岂不是正义了?

    玻:好象是的了。

    苏:可是好人是正义的,是不干不正义事的呀。

    玻:是的。

    苏:依你这么说,伤害不做不正义事的人倒是正义的了?

    玻:不!不!苏格拉底,这个说法不可能对头。

    苏:那么伤害不正义的人,帮助正义的人,能不能算正义。

    玻:这个说法似乎比刚才的说法来得好。

    苏:玻勒马霍斯,对于那些不识好歹的人来说,伤害他们的朋友,帮助他们的敌人反而是正义的——因为他们的若干朋友是坏人,若干敌人是好人。所以,我们得到的结论就刚好跟西蒙尼得的意思相反了。

    玻:真的!结果就变成这样了。这是让我们来重新讨论吧。

    这恐怕是因为我们没把“朋友”和“敌人”的定义下好。

    苏:玻勒马霍斯,定义错在哪儿?

    玻:错在把似乎可靠的人当成了朋友。

    苏:那现在我们该怎么来重新考虑呢?

    玻:我们应该说朋友不是仅看起来可靠的人,而是真正可靠的人。看起来好,并不真正好的人只能当作外表上的朋友,不算作真朋友。关于敌人,理亦如此。

    苏:照这个道理说来,好人才是朋友,坏人才是敌人。

    玻:是的。

    苏:我们原先说的以善报友,以恶报敌是正义。讲到这里我们是不是还得加上一条,即,假使朋友真是好人,当待之以善,假如敌人真是坏人,当待之以恶,这才算是正义?

    玻:当然。我觉得这样才成为一个很好的定义。

    苏:别忙,一个正义的人能伤害别人吗?

    玻:当然可以,他应该伤害那坏的敌人。

    苏:拿马来说吧!受过伤的马变得好了呢?还是变坏了?

    玻:变坏了。

    苏:这是马之所以为马变坏?还是狗之所以为狗变坏?

    玻:马之为马变坏了。

    苏:同样道理,狗受了伤,是狗之所以为狗变坏,而不是马之所以为马变坏,是不是?

    玻:那还用说吗!

    苏:请问,我们是不是可以这样说呢:人受了伤害,就人之所以为人变坏了,人的德性变坏了?

    玻:当然可以这么说。

    苏:正义是不是一种人的德性呢?

    玻:这是无可否认的。

    苏:我的朋友啊!人受了伤害便变得更不正义,这也是不能否认的了。

    玻:似乎是这样的。

    苏:现在再说,音乐家能用他的音乐技术使人不懂音乐吗?

    玻:不可能。

    苏:那么骑手能用他的骑术使人变成更不会骑马的人吗?

    玻:不可能。

    苏:那么正义的人能用他的正义使人变得不正义吗?换句话说,好人能用他的美德使人变坏吗?

    玻:不可能。

    苏:我想发冷不是热的功能,而是和热相反的事物的功能。

    玻:是的。

    苏:发潮不是干燥的功能,而是和干燥相反的事物的功能。

    玻:当然。

    苏:伤害不是好人的功能,而是和好人相反的人的功能。

    玻:好象是这样。

    苏:正义的人不是好人吗?

    玻:当然是好人。

    苏:玻勒马霍斯啊!伤害朋友或任何人不是正义者的功能,而是和正义者相反的人的功能,是不正义者的功能。

    玻:苏格拉底,你的理由看来很充分。

    苏:如果有人说,正义就是还债,而所谓“还债”就是伤害他的敌人,帮助他的朋友。那么,我认为说这些话的人不可能算是聪明人。因为我们已经摆明,伤害任何人无论如何总是不正义的。

    玻:我同意。

    苏:如果有人认为这种说法是西蒙尼得,或毕阿斯[公元前6世纪中叶人,希腊“七贤”之一],或皮塔科斯[公元前569年卒,希腊“七贤”之一],或其他圣贤定下来的主张,那咱们俩就要合起来击鼓而攻之了。

    玻:我准备参加战斗。

    苏:你知道“正义就是助友害敌”,这是谁的主张?你知道我猜的是谁吗?

    玻:谁啊?

    苏:我想是佩里安得罗,或者佩狄卡,或者泽尔泽斯,或者是忒拜人伊斯梅尼阿,或其他有钱且自以为有势者的主张。

    玻:你说得对极了。

    苏:很好。既然这个正义的定义不能成立,谁能另外给下一个定义呢?

    〔当我们正谈话的时候,色拉叙马霍斯几次三番想插进来辩论,都让旁边的人给拦住了,因为他们急于要听出个究竟来。等我讲完了上面那些话稍一停顿的时候,他再也忍不住了,他抖擞精神,一个箭步冲上来,好象一只野兽要把我们一口吞掉似的,吓得我和玻勒马霍斯手足无措。他大声吼着:〕色:苏格拉底,你们见了什么鬼,你吹我捧,搅的什么玩意儿?如果你真是要晓得什么是正义,就不该光是提问题,再以驳倒人家的回答来逞能。你才精哩!你知道提问题总比回答容易。你应该自己来回答,你认为什么是正义。别胡扯什么正义是一种责任、一种权宜之计、或者利益好处、或者什么报酬利润之类的话。你得直截了当地说,你到底指的是什么。

    那些噜嗦废话我一概不想听。

    〔听了他的这番发话,我非常震惊,两眼瞪着他直觉着害怕。要不是我原先就看见他在那儿,猛一下真要让他给吓愣了。幸亏他在跟我们谈话刚开始发火的时候,我先望着他,这才能勉强回答他。我战战兢兢地说:“亲爱的色拉叙马霍斯啊,你可别让我们下不了台呀。如果我跟玻勒马霍斯在来回讨论之中出了差错,那可绝对不是我们故意的。要是我们的目的是寻找金子,我们就决不会只顾相互吹捧反倒错过找金子的机会了。现在我们要寻找的正义,比金子的价值更高。我们哪能这么傻,只管彼此讨好而不使劲搜寻它?朋友啊!我们是在实心实意地干,但是力不从心。你们这样聪明的人应该同情我们,可不能苛责我们呀!”

    他听了我的话,一阵大笑,接着笑呵呵地说:〕色:赫拉克勒斯①作证!你使的是有名的苏格拉底式的反语法。我早就领教过了,也跟这儿的人打过招呼了——人家问你问题,你总是不愿答复,而宁愿使用讥讽或其他藏拙的办法,回避正面回答人家的问题。

    ①希腊古代神话中的英雄。

    苏:色拉叙马霍斯啊!你是个聪明人。你知道,如果你问人家“十二是怎么得来的?”同时又对他说:“不准回答是二乘六、三乘四、六乘二,或者四乘三,这些无聊的话我是不听的。”我想您自个儿也清楚,这样问法是明摆着没有人能回答你的问题的。但是,如果他问你:“色拉叙马霍斯,你这是什么意思呢?你不让我回答的我都不能说吗?倘若其中刚巧有一个答案是对的,难道我应该舍弃那个正确答案反而采取一个错的答案来回答吗?那你不是成心叫人答错么?你到底打的什么主意?”那你又该怎么回答人家呢?

    色:哼!这两桩事相似吗?

    苏:没有理由说它们不相似。就算不相似,而被问的人认为内中有一个答案似乎是对的,我们还能堵住人家的嘴不让人家说吗?

    色:你真要这样干吗?你定要在我禁止的答案中拿一个来回答我吗?

    苏:如果我这么做,这也没什么可大惊小怪的,只要我考虑以后,觉得该这么做。

    色:行。要是关于正义,我给你来一个与众不同而又更加高明的答复,你说你该怎么受罚吧!

    苏:除了接受无知之罚外还能有什么别的吗?而受无知之罚显然就是我向有智慧的人学习。

    色:你这个人很天真,你是该学习学习。不过钱还是得照罚。

    苏:如果有钱的话当然照罚。

    格:这没有问题。色拉叙马霍斯,罚钱的事你不用发愁,你往下讲,我们都愿意替苏格拉底分担。

    色:瞧!苏格拉底又来玩那一套了。他自己不肯回答,人家说了,他又来推翻人家的话。

    苏:我的高明的朋友啊!一个人在这种情况之下,怎么能回答呢?第一,他不知道,而且自己也承认不知道。第二,就算他想说些什么吧,也让一个有权威的人拿话给堵住了嘴。现在当然请你来讲才更合适。因为你说你知道,并且有答案。那就请你不要舍不得,对格劳孔和我们这些人多多指教,我自己当然更是感激不尽。

    〔当我说到这里,格劳孔和其他的人也都请色拉叙马霍斯给大家讲讲。他本来就跃跃欲试,想露一手,自以为有一个高明的答案。但他又装模作样死活要我先讲,最后才让步。〕色:这就是苏格拉底精明的地方,他自己什么也不肯教别人,而到处跟人学,学了以后又连谢谢都不说一声。

    苏:色拉叙马霍斯,你说就跟人学习,这倒实实在在是真的;不过,你说我连谢都不表示,这可不对。我是尽量表示感谢,只不过因为我一文不名,只好口头称赞称赞。我是多么乐于称赞一个我认为答复得好的人呀。你一回答我,你自己马上就会知道这一点的;因为我想,你一定会答复得好的。

    色:那么,听着!我说正义不是别的,就是强者的利益。——你干嘛不拍手叫好?当然你是不愿意的啰!

    苏:我先得明白你的意思,才能表态。可这会儿我还闹不明白。你说对强者有利就是正义。色拉叙马霍斯啊!你这到底说的是什么意思?总不是这个意思吧:因为浦吕达马斯是运动员,比我们大伙儿都强,顿顿吃牛肉对他的身体有好处,所以正义;而我们这些身体弱的人吃牛肉虽然也有好处,但是就不正义?

    色:你真坏!苏格拉底,你成心把水搅混,使这个辩论受到最大的损害。

    苏:决没有这意思。我的先生,我不过请你把你的意思交代清楚些罢了。

    色:难道你不晓得统治各个国家的人有的是独裁者,有的是平民,有的是贵族吗?

    苏:怎么不知道?

    色:政府是每一城邦的统治者,是不是?

    苏:是的。

    色:难道不是谁强谁统治吗?每一种统治者都制定对自己有利的法律,平民政府制定民主法律,独裁政府制定独裁法律,依此类推。他们制定了法律明告大家:凡是对政府有利的对百姓就是正义的;谁不遵守,他就有违法之罪,又有不正义之名。因此,我的意思是,在任何国家里,所谓正义就是当时政府的利益。政府当然有权,所以唯一合理的结论应该说:

    不管在什么地方,正义就是强者的利益。

    苏:现在我明白你的意思了。这个意思对不对,我要来研究。色拉叙马霍斯,你自己刚才说,正义是利益,可是你又不准我这么说。固然,你在“利益”前面加上了“强者的”这么个条件。

    色:这恐怕是一个无足轻重的条件。

    苏:重要不重要现在还难说。但是明摆着我们应该考虑你说得对不对。须知,说正义是利益,我也赞成。不过,你给加上了“强者的”这个条件,我就不明白了,所以得好好想想。

    色:尽管想吧!

    苏:我想,你不是说了吗,服从统治者是正义的?

    色:是的。

    苏:各国统治者一贯正确呢,还是难免也犯点错误?

    色:他们当然也免不了犯错误。

    苏:那么,他们立法的时候,会不会有些法立对了,有些法立错了?

    色:我想会的。

    苏:所谓立对的法是对他们自己有利的,所谓立错了的法是对他们不利的,你说是不是?

    色:是的。

    苏:不管他们立的什么法,人民都得遵守,这是你所谓的正义,是不是?

    色:当然是的。

    苏:那么照你这个道理,不但遵守对强者有利的法是正义,连遵守对强者不利的法也是正义了。

    色:你说的什么呀?

    苏:我想我不过在重复你说过的话罢了。还是让我们更仔细地考虑一下吧。当统治者向老百姓发号施令的时候,有时候也会犯错误,结果反倒违背了自己的利益。但老百姓却必得听他们的号令,因为这样才算正义。这点我们不是一致的吗?

    色:是的。

    苏:请你再考虑一点:按你自己所承认的,正义有时是不利于统治者,即强者的,统治者无意之中也会规定出对自己有害的办法来的;你又说遵照统治者所规定的办法去做是正义。那么,最最智慧的色拉叙马霍斯啊,这不跟你原来给正义所下的定义恰恰相反了吗?这不明明是弱者受命去做对强者不利的事情吗?

    玻:苏格拉底,你说得再清楚不过了。

    克勒托丰插嘴说:那你不妨做个见证人。

    玻:何必要证人?色拉叙马霍斯自己承认:统治者有时会规定出于己有损的办法;而叫老百姓遵守这些办法就是正义。

    克勒:玻勒马霍斯啊!色拉叙马霍斯不过是说,遵守统治者的命令是正义。

    玻:对,克勒托丰!但同时他还说,正义是强者的利益。

    承认这两条以后,他又承认:强者有时候会命令弱者——就是他们的人民——去做对于强者自己不利的事情。照这么看来,正义是强者的利益,也可能是强者的损害。

    克勒:所谓强者的利益,是强者自认为对己有利的事,也是弱者非干不可的事。也才是色拉叙马霍斯对正义下的定义。

    玻:他可没这么说。

    苏:这没有关系。如果色拉叙马霍斯现在要这么说,我们就权当这是他本来的意思好了。色拉叙马霍斯,你所谓的正义是不是强者心目中所自认为的利益,不管你说没说过,我们能不能讲这是你的意思?

    色:绝对不行,你怎么能认为我把一个犯错误的人在他犯错误的时候,称他为强者呢?

    苏:我认为你就是这个意思。因为你承认统治者并不是一贯正确,有时也会犯错误,这就包含了这个意思。

    色:苏格拉底,你真是个诡辩家。医生治病有错误,你是不是正因为他看错了病称他为医生?或如会计师算帐有错,你是不是在他算错了帐的时候,正因为他算错了帐才称他为会计师呢?不是的。这是一种马虎的说法,他们有错误,我们也称他们为某医生、某会计,或某作家。实际上,如果名副其实,他们是都不得有错的。严格讲来——你是喜欢严格的——艺术家也好,手艺人也好,都是不能有错的。须知,知识不够才犯错误。错误到什么程度,他和自己的称号就不相称到什么程度。工匠、贤哲如此,统治者也是这样。统治者真是统治者的时候,是没有错误的,他总是定出对自己最有利的种种办法,叫老百姓照办。所以象我一上来就说过的,现在再说还是这句话——正义乃是强者的利益。

    苏:很好,色拉叙马霍斯,你认为我真象一个诡辩者吗?

    色:实在象。

    苏:在你看来,我问那些问题是故意跟你为难吗?

    色:我看透你了,你决捞不着好处。你既休想蒙混哄骗我,也休想公开折服我。

    苏:天哪,我岂敢如此。不过为了避免将来发生误会起见,请你明确地告诉我,当你说弱者维护强者利益的时候,你所说的强者,或统治者,是指通常意思的呢?还是指你刚才所说的严格意义的?

    色:我是指最严格的意义。好,现在任你耍花招使诡辩吧,别心慈手软。不过可惜得很,你实在不行。

    苏:你以为我疯了,居然敢班门弄斧,跟你色拉叙马霍斯诡辩?①①色拉叙马霍斯是诡辩派哲学家。

    色:你刚才试过,可是失败了!

    苏:够了,不必噜嗦了。还是请你告诉我:照你所说的最严格的定义,一个医生是挣钱的人,还是治病的人?请记好,我是问的真正的医生?

    色:医生是治病的人。

    苏:那么舵手呢?真正的舵手是水手领袖呢?还是一个普通的水手?

    色:水手领袖。

    苏:我们不用管他是不是正在水上行船,我们并不是因为他在行船叫他水手的。我们叫他舵手,并不是因为他在船上实行航行,而是因为他有自己的技术,能领导水手们。

    色:这倒是真的。

    苏:每种技艺都有自己的利益,是不是?

    色:是的。

    苏:每一种技艺的天然目的就在于寻求和提供这种利益。

    色:是的。

    苏:技艺的利益除了它本身的尽善尽美而外,还有别的吗?

    色:你问的什么意思?

    苏:如果你问我,身体之为身体就足够了呢,还是尚有求于此外呢?我会说,当然尚有求于外。这就是发明医术的由来,因为身体终究是有欠缺的,不能单靠它自身,为了照顾到身体的利益,这才产生了医术,你认为这样说对不对?

    色:很对。

    苏:医术本身是不是有欠缺呢?或者说,是不是任何技艺都缺某种德性或功能,象眼之欠缺视力,耳之欠缺听力,因此有必要对它们提供视力和听力的利益呢?这种补充性技艺本身是不是有缺陷,又需要别种技艺来补充,补充的技艺又需要另外的技艺补充,依次推展以至无穷呢?是每种技艺各求自己的利益呢?还是并不需要本身或其他技艺去寻求自己的利益加以补救呢?实际上技艺本身是完美无缺的。技艺除了寻求对象的利益以外,不应该去寻求对其他任何事物的利益。严格意义上的技艺,是完全符合自己本质的,完全正确的。你认为是不是这样?——我们都是就你所谓的严格意义而言的。

    色:似乎是这样的。

    苏:那么,医术所寻求的不是医术自己的利益,而是对人体的利益。

    色:是的。

    苏:骑术也不是为了骑术本身的利益,而是为了马的利益,既然技艺不需要别的,任何技艺都不是为它本身的,而只是为它的对象服务的。

    色:看来是这样的。

    苏:但是,色拉叙马霍斯,技艺是支配它的对象,统治它的对象的。

    〔色拉叙马霍斯表示同意,但是非常勉强。〕苏:没有一门科学或技艺是只顾到寻求强者的利益而不顾及它所支配的弱者的利益的。

    〔色拉叙马霍斯开始想辩驳一下,最后还是同意了。〕苏:一个医生当他是医生时,他所谋求的是医生的利益,还是病人的利益?——我们已经同意,一个真正的医生是支配人体的,而不是赚钱的。这点我们是不是一致的?

    色:是的。

    苏:舵手不是一个普通的水手,而是水手们的支配者,是不是?

    色:是的。

    苏:这样的舵手或支配者,他要照顾的不是自己的利益,而是他部下水手们的利益。

    〔色拉叙马霍斯勉强同意。〕苏:色拉叙马霍斯啊!在任何政府里,一个统治者,当他是统治者的时候,他不能只顾自己的利益而不顾属下老百姓的利益,他的一言一行都为了老百姓的利益。

    〔当我们讨论到这儿,大伙都明白,正义的定义已被颠倒过来了。色拉叙马霍斯不回答,反而问道:〕色:苏格拉底,告诉我,你有奶妈没有?

    苏:怪事!该你回答的你不答,怎么岔到这种不相干的问题上来了?

    色:因为你淌鼻涕她不管,不帮你擦擦鼻子,也不让你晓得羊跟牧羊人有什么区别。

    苏:你干嘛说这种话?

    色:因为在你想象中牧羊或牧牛的人把牛羊喂得又肥又壮是为牛羊的利益,而不是为他们自己或者他们主人的利益。

    你更以为各国的统治者当他们真正是统治者的时候,并不把自己的人民当作上面所说的牛羊;你并不认为他们日夜操心,是专为他们自己的利益。你离了解正义不正义,正义的人和不正义的人简直还差十万八千里。因为你居然不了解:正义也好,正义的人也好,反正谁是强者,谁统治,它就为谁效劳,而不是为那些吃苦受罪的老百姓,和受使唤的人效劳。不正义正相反,专为管束那些老实正义的好人。老百姓给当官的效劳,用自己的效劳来使当官的快活,他们自己却一无所得。头脑简单的苏格拉底啊,难道你不该好好想想吗?正义的人跟不正义的人相比,总是处处吃亏。先拿做生意来说吧。正义者和不正义者合伙经营,到分红的时候,从来没见过正义的人多分到一点,他总是少分到一点。再看办公事吧。交税的时候,两个人收入相等,总是正义的人交得多,不正义的人交得少。等到有钱可拿,总是正义的人分文不得,不正义的人来个一扫而空。要是担任了公职,正义的人就算没有别的损失,他自己私人的事业也会因为无暇顾及,而弄得一团糟。他因为正义不肯损公肥私,也得罪亲朋好友,不肯为他们殉私情干坏事。而不正义的人恰好处处相反。我现在要讲的就是刚才所说的那种有本事捞大油水的人。你如愿弄明白,对于个人不正义比起正义来是多么的有利这一点,你就去想想这种人。如果举极端的例子,你就更容易明白了:最不正义的人就是最快乐的人;

    不愿意为非作歹的人也就是最吃亏苦恼的人。极端的不正义就是大窃国者的暴政,把别人的东西,不论是神圣的还是普通人的,是公家的还是私人的,肆无忌惮巧取豪夺。平常人犯了错误,查出来以后,不但要受罚,而且名誉扫地,被人家认为大逆不道,当作强盗、拐子、诈骗犯、扒手。但是那些不仅掠夺人民的钱财、而且剥夺人民的身体和自由的人,不但没有恶名,反而被认为有福。受他们统治的人是这么说,所有听到他们干那些不正义勾当的人也是这么说。一般人之所以谴责不正义,并不是怕做不正义的事,而是怕吃不正义的亏。

    所以,苏格拉底,不正义的事只要干得大,是比正义更有力,更如意,更气派。所以象我一上来就说的:正义是为强者的利益服务的,而不正义对一个人自己有好处、有利益。

    〔色拉叙马霍斯好象澡堂里的伙计,把大桶的高谈阔论劈头盖脸浇下来,弄得我们满耳朵都是。他说完之后,打算扬长而去。但是在座的都不答应,要他留下来为他的主张辩护。我自己也恳求他。〕苏:高明的色拉叙马霍斯啊!承你的情发表了高见。究竟对不对,既没有充分证明,也未经充分反驳,可你就要走了。

    你以为你说的是件小事吗?它牵涉到每个人一生的道路问题——究竟做哪种人最为有利?

    色:你以为我不晓得这件事情的重要性吗?

    苏:你好象对我们漠不关心。我们由于没有你自称有的那些智慧,在做人的问题上,不知道怎么做才算好,怎么做算坏,可你对这个,一点儿也不放在心上。请你千万开导我们一下,你对我们大家做的好事,将来一定有好报的。不过,我可以把我自己的意见先告诉你,我可始终没让你说服。即使可以不加限制,为所欲为把不正义的事做到极点,我还是不相信不正义比正义更有益。我的朋友啊!让人家去多行不义,让人家去用骗术或强权干坏事吧。我可始终不信这样比正义更有利。也许不光是我一个人这样想,在座恐怕也有同意的。请你行行好事,开导开导我们,给我们充分证明:正义比不正义有益的想法确实是错的。

    色:你叫我怎么来说服你?我说的话你一句也听不进去。

    你让我还有什么办法?难道要我把这个道理塞进你的脑袋里去不成?

    苏:哎哟,不,不。不过,已经说过了的话请你不要更改。

    如果要更改,也请你正大光明地讲出来,可不要偷梁换柱地欺骗蒙混我们。色拉叙马霍斯,现在回想一下刚才的辩论,开头你对真正的医生下过定义,但是后来,你对牧羊人却认为没有必要下个严格的定义。你觉得只要把羊喂饱,就算是牧羊人,并不要为羊群着想,他象个好吃鬼一样,一心只想到羊肉的美味,或者象贩子一样,想的只是在羊身上赚钱。不过我认为,牧羊的技术当然在于尽善尽美地使羊群得到利益,因为技艺本身的完美,就在于名副其实地提供本身最完美的利益。我想我们也有必要承认同样的道理,那就是任何统治者当他真是统治者的时候,不论他照管的是公事还是私事,他总是要为受他照管的人着想的。你以为那些真正治理城邦的人,都很乐意干这种差事吗?

    色:不乐意干。这点我知道。

    苏:色拉叙马霍斯,这是为什么?你注意到没有,一般人都不愿意担任管理职务?他们要求报酬。理由是:他们任公职是为被统治者的利益,而不是为他们自己的利益。且请你回答我这个问题:各种技艺彼此不同,是不是因为它们各有独特的功能?我高明的朋友,请你可不要讲违心的话呀,否则我们就没法往下辩论了。

    色:是的,分别就在这里。

    苏:是不是它们各给了我们特殊的,而不是一样的利益,比如医术给我们健康,航海术使我们航程安全等等?

    色:当然是的。

    苏:是不是挣钱技术给我们钱?因为这是挣钱技术的功能。能不能说医术和航海术是同样的技术?如果照你提议的,严格地讲,一个舵手由于航海而身体健康了,是不是可以把他的航海术叫做医术呢?

    色:当然不行。

    苏:假如一个人在赚钱的过程中,身体变健康了,我想你也不会把赚钱的技术叫做医术的。

    色:当然不会。

    苏:如果一个人行医得到了报酬,你会不会把他的医术称之为挣钱技术呢?

    色:不会的。

    苏:行。我们不是已经取得了一致意见吗:每种技艺的利益都是特殊的?

    色:是的。

    苏:如果有一种利益是所有的匠人大家都享受的,那显然是因为大家运用了一种同样的而不是他们各自特有的技术。

    色:好象是这样的。

    苏:我们因此可以说匠人之得到报酬,是从他们在运用了自己特有的技术以外又运用了一种挣钱之术而得来的。

    〔色拉叙马霍斯勉强同意。〕苏:既然得到报酬的这种利益,并不是来自他本职的技术,严格地讲,就是:医术产生健康,而挣钱之术产生了报酬,其他各行各业莫不如此,——每种技艺尽其本职,使受照管的对象得到利益。但是如果匠人得不到报酬,他能从自己的本职技术得到利益吗?

    色:看来不能。

    苏:那么工作而得不到报酬,那对他自己不是确实没有利益吗?

    色:的确没有利益。

    苏:色拉叙马霍斯,事情到此清楚了。没有一种技艺或统治术,是为它本身的利益的,而是像我们已经讲过的,一切营运部署都是为了对象,求取对象(弱者)的利益,而不是求取强者的利益。所以我刚才说,没有人甘愿充当一个治人者去揽人家的是非。做了统治者,他就要报酬,因为在治理技术范围内,他拿出自己全部能力努力工作,都不是为自己,而是为所治理的对象。所以要人家愿意担任这种工作,就该给报酬,或者给名,或者给利;如果他不愿意干,就给予惩罚。

    格劳孔:苏格拉底,你这说的什么意思?名和利两种报酬我懂得,可你拿惩罚也当一种报酬,我可弄不明白。

    苏:你难道不懂得这种报酬可以使最优秀的人来当领导吗?你难道不晓得贪图名利被视为可耻,事实上也的确可耻吗?

    格:我晓得。

    苏:因此,好人就不肯为名为利来当官。他们不肯为了职务公开拿钱被人当佣人看待,更不肯假公济私,暗中舞弊,被人当作小偷。名誉也不能动其心,因为他们并没有野心。于是要他们愿意当官就只得用惩罚来强制了。这就怪不得大家看不起那些没有受到强迫,就自己想要当官的人。但最大的惩罚还是你不去管人,却让比你坏的人来管你了。我想象,好人怕这个惩罚,所以勉强出来。他们不是为了自己的荣华富贵,而是迫不得已,实在找不到比他们更好的或同样好的人来担当这个责任。假如全国都是好人,大家会争着不当官,象现在大家争着要当官一样热烈。那时候才会看得出来,一个真正的治国者追求的不是他自己的利益,而是老百姓的利益。所以有识之士宁可受人之惠,也不愿多管闲事加惠于人。因此我绝对不能同意色拉叙马霍斯那个“正义是强者的利益”的说法。关于这个问题,我们以后再谈。不过他所说的,不正义的人生活总要比正义的人过得好,在我看来,这倒是一个比较严重的问题。格劳孔,你究竟站在哪一边,你觉得哪一边的话更有道理?

    格:我觉得正义的人生活得比较有益。

    苏:你刚才有没有听到色拉叙马霍斯说的关于不正义者的种种好处?

    格:我听到了,不过我不信。

    苏:那么我们要不要另外想个办法来说服他,让他相信他的说法是错的。

    格:当然要。

    苏:如果在他说完了之后,由我们来照他的样子,正面提出主张,叙述正义的好处,让他回答,我们来驳辩,然后两方面都把所说的好处各自汇总起来,作一个总的比较,这样就势必要一个公证人来作裁判;不过如果象我们刚才那样讨论,采用彼此互相承认的办法,那我们自己就既是辩护人又当公证人了。

    格:一点不错。

    苏:你喜欢哪一种方法?

    格:第二种。

    苏:那么色拉叙马霍斯,请你从头回答我。你不是说极端的不正义比极端的正义有利吗?

    色:我的确说过,并且我还说明过理由。

    苏:你对于这个问题的看法究竟怎样?你或许认为正义与不正义是一善一恶吧!

    色:这是明摆着的。

    苏:正义是善,不正义是恶?

    色:我的朋友,你真是一副好心肠。象我这样主张不正义有利,而正义有害的人,能说这种话吗?

    苏:那你怎么说呢?

    色:刚刚相反。

    苏:你说正义就是恶吗?

    色:不,我认为正义是天性忠厚,天真单纯。

    苏:那么你说不正义是天性刻薄吗?

    色:不是。我说它是精明的判断。

    苏:色拉叙马霍斯,你真的认为不正义是既明智又能得益吗?

    色:当然是的。至少那些能够征服许多城邦许多人民极端不正义者是如此。你或许以为我所说的不正义者指的是一些偷鸡摸狗之徒。不过即就是小偷小摸之徒吧,只要不被逮住,也自有其利益,虽然不能跟我刚才讲的窃国大盗相比。

    苏:我想我并没有误会你的意思。不过你把不正义归在美德与智慧这一类,把正义归在相反的一类,我不能不表示惊讶。

    色:我的确是这样分类的。

    苏:我的朋友,你说得这样死,不留回环的余地,叫人家怎么跟你说呢?如果你在断言不正义有利的同时,能象别人一样承认它是一种恶一种不道德,我们按照常理还能往下谈;

    但是现在很清楚,你想主张不正义是美好和坚强有力;我们一向归之于正义的所有属性你要将它们归之于不正义。你胆大包天,竟然把不正义归到道德和智慧一类了。

    色:你的感觉真是敏锐得了不起。

    苏:你怎么说都行。只要我觉得你说的是由衷之言,我决不畏缩、躲避,我决定继续思索,继续辩论下去。色拉叙马霍斯,我看你现在的确不是在开玩笑,而是在亮出自己的真思想。

    色:这是不是我的真思想,与你有什么相干?你能推翻这个说法吗?

    苏:说得不错。不过你肯不肯再回答我一个问题:你认为一个正义者会不会想胜过别个正义者?

    色:当然不会。否则他就不是现在的这个天真的好好先生了。

    苏:他会不会想胜过别的正义行为?

    色:不会。

    苏:他会不会想胜过不正义的人,会不会自认为这是正义的事?

    色:会的,而且还会想方设法做,不过他不会成功的。

    苏:成不成功不是我要问的。我要问的是,一个正义的人不想胜过别的正义者,但是他想胜过不正义者,是不是?

    色:是的。

    苏:那么不正义者又怎么样呢?他想不想胜过正义的人和正义的事呢?

    色:当然想。须知他是无论什么都想胜过的。

    苏:他要不要求胜过别的不正义的人和事,使自己得益最多?

    色:要求的。

    苏:那么我们就可以这样说了:正义者不要求胜过同类,而要求胜过异类。至于不正义则对同类异类都要求胜过。

    色:说得好极了。

    苏:于是不正义者当然就又聪明又好,正义者又笨又坏了。

    色:这也说得好。

    苏:那么,不义者与又聪明又好的人相类,正义者则和他们不相类,是不是?

    色:当然是的。性质相同的人相类,性质不同的人不相类。

    苏:那么同类的人是不是性质相同?

    色:怎么不是?

    苏:很好!色拉叙马霍斯,你能说有的人“是音乐的”,有的人是“不音乐的”吗?

    色:能说。

    苏:哪个是“聪明的”,哪个是“不聪明的”呢?

    色:“音乐的”那个当然是“聪明的”,“不音乐的”那个当然是“不聪明的”。

    苏:你能说一个人聪明之处就是好处,不聪明之处就是坏处吗?

    色:能说。

    苏:关于医生也能这么说吗?

    色:能。

    苏:你认为一个音乐家在调弦定音的时候,会有意在琴弦的松紧方面,胜过别的音乐家吗?

    色:未见得。

    苏:他有意要超过一个不是音乐家的人吗?

    色:必定的。

    苏:医生怎么样?在给病人规定饮食方面,他是不是想胜过别的医生及其医术呢?

    色:当然不要。

    苏:但是他想不想胜过一个不是医生的人呢?

    色:当然想。

    苏:让我们把知识和愚昧概括地讨论一下。你认为一个有知识的人,想要在言行方面超过别的有知识的人呢?还是有知识的人所言所行在同样的情况下,彼此相似呢?

    色:势必相似。

    苏:无知识的人怎么样?他想同时既胜过聪明人又胜过笨人吗?

    色:恐怕想的。

    苏:有知识的人聪明吗?

    色:聪明的。

    苏:聪明的人好吗?

    色:好的。

    苏:一个又聪明又好的人,不愿超过和自己同类的人,但愿超过跟自己不同类而且相反的人,是不是?

    色:大概是的。

    苏:但是一个又笨又坏的人反倒对同类和不同类的人都想超过,是不是?

    色:显然是的。

    苏:色拉叙马霍斯,你不是讲过不正义的人同时想要胜过同类和不同类的人吗?

    色:我讲过。

    苏:你不是也讲过,正义的人不愿超过同类而只愿超过不同类的人吗?

    色:是的。

    苏:那么正义者跟又聪明又好的人相类似,而不正义的人跟又笨又坏的人相类似,是不是?

    色:似乎是的。

    苏:我们不是同意过,两个相象的人性质是一样的吗?

    色:同意过。

    苏:那么现在明白了——正义的人又聪明又好,不正义的人又笨又坏。

    〔色拉叙马霍斯承认以上的话可并不象我现在写的这么容易,他非常勉强,一再顽抗。当时正值盛暑,他大汗淋漓浑身湿透,我从来没有看见他脸这么红过。我们同意正义是智慧与善,不正义是愚昧和恶以后,我就接着往下讲了。〕苏:这点算解决了。不过我们还说过,不正义是强有力。

    色拉叙马霍斯,你还记得吗?

    色:我还记得。可我并不满意你的说法。我有我自己的看法。但是我说了出来,肯定你要讲我大放厥词。所以现在要么让我随意地说,要么由你来问——我知道你指望我作答。但是不管你讲什么,我总是说:“好,好。”一面点点头或摇摇头。

    就象我们敷衍说故事的老太婆一样。

    苏:你不赞成的不要勉强同意。

    色:你又不让我讲话,一切听你的便了,你还想要什么?

    苏:不要什么。既然你打定了主意这么干,我愿意提问题。

    色:你问下去。

    苏:那我就来复述一下前面的问题,以便我们可以按部就班地继续研究正义和不正义的利弊问题。以前说过不正义比正义强而有力,但是现在既然已经证明正义是智慧与善,而不正义是愚昧无知。那么,显而易见,谁都能看出来,正义比不正义更强更有力。不过我不愿意这样马虎了事,我要这样问:你承不承认,世界上有不讲正义的城邦,用很不正义的手段去征服别的城邦,居然把许多城邦都置于自己的奴役之下这种事情呢?

    色:当然承认。尤其是最好也就是最不正义的城邦最容易做这种事情。

    苏:我懂,这是你的理论。不过我所要考虑的乃是,这个国家征服别的国家,它的势力靠不正义来维持呢,还是一定要靠正义来维持呢?

    色:如果你刚才那个“正义是智慧”的说法不错,正义是需要的。如果我的说法不错,那么不正义是需要的。

    苏:色拉叙马霍斯,我很高兴,你不光是点头摇头,而且还给了我极好的回答。

    色:为的是让你高兴。

    苏:我非常领情,还想请你再让我高兴一下,答复我这个问题:一个城邦,或者一支军队,或者一伙盗贼,或者任何集团,想要共同做违背正义的事,如果彼此相处毫无正义,你看会成功吗?

    色:肯定不成。

    苏:如果他们不用不正义的方法相处,结果会好一点吗?

    色:当然。

    苏:色拉叙马霍斯,这是因为不正义使得他们分裂、仇恨、争斗,而正义使他们友好、和谐,是不是?

    色:姑且这么说吧!我不愿意跟你为难。

    苏:不胜感激之至。不过请你告诉我,如果不正义能到处造成仇恨,那么不管在自由人,还是在奴隶当中,不正义是不是会使他们彼此仇恨,互相倾轧,不能一致行动呢?

    色:当然!

    苏:如果两个人之间存在不正义,他们岂不要吵架,反目成仇,并且成为正义者的公敌吗?

    色:会的。

    苏:我的高明的朋友啊!如果不正义发生在一个人身上,你以为这种不正义的能力会丧失呢,还是会照样保存呢?

    色:就算照样保存吧!

    苏:看来不正义似乎有这么一种力量:不论在国家、家庭、军队或者任何团体里面,不正义首先使他们不能一致行动,其次使他们自己彼此为敌,跟对立面为敌,并且也跟正义的人们为敌,是不是这样?

    色:确实是这样。

    苏:我想,不正义存在于个人同样会发挥它的全部本能:

    首先,使他本人自我矛盾,自相冲突,拿不出主见,不能行动;其次使他和自己为敌,并和正义者为敌,是不是?

    色:是的。

    苏:我的朋友啊!诸神是正义的吗?

    色:就算是的吧。

    苏:色拉叙马霍斯,那么不义者为诸神之敌,正义者为诸神之友。

    色:高谈阔论,听你的便。我不来反对你,使大家扫兴。

    苏:好事做到底,请你象刚才一样继续回答我吧!我们看到正义的人的确更聪明能干更好,而不正义的人根本不能合作。当我们说不正义者可以有坚强一致的行动,我们实在说得有点不对头。因为他们要是绝对违反正义,结果非内讧不可。

    他们残害敌人,而不至于自相残杀,还是因为他们之间多少还有点正义。就凭这么一点儿正义,才使他们做事好歹有点成果;而他们之间的不正义对他们的作恶也有相当的妨碍。因为绝对不正义的真正坏人,也就绝对做不出任何事情来。这就是我的看法,跟你原来所说的不同。

    我们现在再来讨论另一个问题,就是当初提出来的那个“正义者是否比不正义者生活过得更好更快乐”的问题。根据我们讲过的话,答案是显而易见的。不过我们应该慎重考虑,这并不是一件小事,而是一个人该怎样采取正当的方式来生活的大事。

    色:请吧!

    苏:我正在考虑,请你告诉我,马有马的功能吗?

    色:有。

    苏:所谓马的功能,或者任何事物的功能,就是非它不能做,非它做不好的一种特有的能力。可不可以这样说?

    色:我不懂。

    苏:那么听着:你不用眼睛能看吗?

    色:当然不能。

    苏:你不用耳朵能听吗?

    色:不能。

    苏:那么,看和听是眼和耳的功能,我们可以这样说吗?

    色:当然可以。

    苏:我们能不能用短刀或凿子或其它家伙去剪葡萄籐?

    色:有什么不可以?

    苏:不过据我看,总不及专门为整枝用的剪刀来得便当。

    色:真的。

    苏:那么我们要不要说,修葡萄枝是剪刀的功能?

    色:要这么说。

    苏:我想你现在更加明白我刚才为什么要问这个问题的了:一个事物的功能是否就是那个事物特有的能力。

    色:我懂了,我赞成这个说法。

    苏:很好。你是不是认为每一事物,凡有一种功能,必有一种特定的德性?举刚才的例子来讲,我们说眼睛有一种功能,是不是?

    色:是的。

    苏:那么眼睛有一种德性吗?

    色:有。

    苏:耳朵是不是有一种功能?

    色:是的。

    苏:也有一种德性吗?

    色:有。

    苏:不论什么事物都能这么说吗?

    色:可以。

    苏:那么我问你:如果眼睛没有它特有的德性,只有它特有的缺陷,那么眼睛能发挥它的功能吗?

    色:怎么能呢?恐怕你的意思是指看不见,而不是指看得见。

    苏:广义的德性,我们现在不讨论。我的问题是:事物之所以能发挥它的功能,是不是由于它有特有的德性;之所以不能发挥它的功能,是不是由于有特有的缺陷?

    色:你说得对。

    苏:如果耳朵失掉它特有的德性,就不能发挥耳朵的功能了,是不是?

    色:是的。

    苏:这个说法可以应用到其它的事物吗?

    色:我想可以。

    苏:那么再考虑一点:人的心灵有没有一种非它不行的特有功能?譬如管理、指挥、计划等等?除心灵而外,我们不能把管理等等作为其他任何事物的特有功能吧?

    色:当然。

    苏:还有,生命呢?我们能说它是心灵的功能吗?

    色:再对也没有。

    苏:心灵也有德性吗?

    色:有。

    苏:色拉叙马霍斯,如果心灵失去了特有的德性,能不能很好地发挥心灵的功能?

    色:不能。

    苏:坏心灵的指挥管理一定坏,好心灵的指挥管理一定好,是不是?

    色:应该如此。

    苏:我们不是已经一致认为:正义是心灵的德性,不正义是心灵的邪恶吗?

    色:是的。

    苏:那么正义的心灵正义的人生活得好,不正义的人生活得坏,是不是?

    色:照你这么说,显然是的。

    苏:生活得好的人必定快乐,幸福;生活得不好的人,必定相反。

    色:诚然。

    苏:所以正义者是快乐的,不正义者是痛苦的。

    色:姑且这样说吧!

    苏:但是痛苦不是利益,快乐才是利益。

    色:是的。

    苏:高明的色拉叙马霍斯啊!那么不正义绝对不会比正义更有利了。

    色:苏格拉底呀!你就把这个当作朋迪斯节的盛宴吧!

    苏:我得感谢你,色拉叙马霍斯,因为你已经不再发火不再使我难堪了。不过你说的这顿盛宴我并没有好好享受——这要怪我自己。与你无关——我很象那些馋鬼一样,面前的菜还没有好好品味,又抢着去尝新端上来的菜了。我们离开了原来讨论的目标,对于什么是正义,还没有得出结论,我们就又去考虑它是邪恶与愚昧呢,还是智慧与道德的问题了;

    接着“不正义比正义更有利”的问题又突然发生。我情不自禁又探索了一番。现在到头来,对讨论的结果我还一无所获。因为我既然不知道什么是正义,也就无法知道正义是不是一种德性,也就无法知道正义者是痛苦还是快乐。

    第二卷

    苏:我说了那么些话,原以为该说的都说了。谁知这不过才是个开场白呢!格劳孔素来见义勇为,而又猛烈过人。他对色拉叙马霍斯的那么容易认输颇不以为然。他说:

    格:苏格拉底,你说无论如何正义总比不正义好,你是真心实意想说服我们呢,还是不过装着要说服我们呢?

    苏:让我自己选择的话,我要说我是真心实意想要这么做的。

    格:你光这么想,可没这么做。你同意不同意:有那么一种善,我们乐意要它,只是要它本身,而不是要它的后果。比方象欢乐和无害的娱乐,它们并没有什么后果,不过快乐而已。

    苏:不错,看来是有这种事的。

    格:另外还有一种善,我们之所以爱它既为了它本身,又为了它的后果。比如明白事理,视力好,身体健康。我认为,我们欢迎这些东西,是为了两个方面。

    苏:是的。

    格:你见到第三种善没有?例如体育锻炼啦,害了病要求医,因此就有医术啦,总的说,就是赚钱之术,都属这一类。

    说起来这些事可算是苦事,但是有利可得,我们爱它们并不是为了它们本身,而是为了报酬和其他种种随之而来的利益。

    苏:啊!是的,是有第三种,可那又怎么样呢?

    格:你看正义属于第几种?

    苏:依我看,正义属于最好的一种。一个人要想快乐,就得爱它——既因为它本身,又因为它的后果。

    格:一般人可不是这样想的,他们认为正义是一件苦事。

    他们拼着命去干,图的是它的名和利。至于正义本身,人们是害怕的,是想尽量回避的。

    苏:我也知道一般人是这样想的。色拉叙马霍斯正是因为把所有这些看透了,所以才干脆贬低正义而赞颂不正义的。但是我恨自己太愚蠢,要想学他学不起来。

    格:让我再说两句,看你能不能同意。我觉得色拉叙马霍斯是被你弄得晕头转向了,就象一条蛇被迷住了似的,他对你屈服得太快了。但是我对你所提出的关于正义与不正义的论证还要表示不满意。我想知道到底什么是正义,什么是不正义①;它们在心灵里各产生什么样的力量②;至于正义和不正义的报酬和后果我主张暂且不去管它。如果你支持的话,我们就来这么干。我打算把色拉叙马霍斯的论证复述一遍。第一,我先说一般人认为的正义的本质和起源;第二,我再说所有把正义付诸行动的人都不是心甘情愿的,实在是不得已而为之的,不是因为正义本身善而去做的;第三我说,他们这样看待正义是有几分道理的,因为从他们的谈话听起来,好象不正义之人日子过得比正义的人要好得多。苏格拉底啊,你可别误解了,须知这并不是我自己的想法。但是我满耳朵听到的却是这样的议论,色拉叙马霍斯也好,其他各色各样的人也好,都是众口一词,这真叫我为难。相反我却从来没有听见有人象样地为正义说句好话,证明正义比不正义好,能让我满意的。我倒真想听到呢!看来唯一的希望只好寄托在你身上了。因此,我要尽力赞美不正义的生活。用这个办法让你看着我的样子去赞扬正义,批评不正义。你是不是同意这样做?

    苏:没有什么使我更高兴的了。还有什么题目是一个有头脑的人高兴去讲了又讲,听了又听的呢?

    ①即关于正义和不正义的定义问题,也就是下面所说的,正义和不正义的“本质”。

    ②即后面所说的对心灵的“影响”。

    格:好极了。那就先听我来谈刚才提出的第一点——正义的本质和起源。人们说:作不正义事是利,遭受不正义是害。

    遭受不正义所得的害超过干不正义所得的利。所以人们在彼此交往中既尝到过干不正义的甜头,又尝到过遭受不正义的苦头。两种味道都尝到了之后,那些不能专尝甜头不吃苦头的人,觉得最好大家成立契约:既不要得不正义之惠,也不要吃不正义之亏。打这时候起,他们中间才开始订法律立契约。

    他们把守法践约叫合法的、正义的。这就是正义的本质与起源。正义的本质就是最好与最坏的折衷——所谓最好,就是干了坏事而不受罚;所谓最坏,就是受了罪而没法报复。人们说,既然正义是两者之折衷,它之为大家所接受和赞成,就不是因为它本身真正善,而是因为这些人没有力量去干不正义,任何一个真正有力量作恶的人绝不会愿意和别人订什么契约,答应既不害人也不受害——除非他疯了。因此,苏格拉底啊,他们说,正义的本质和起源就是这样。

    说到第二点。那些做正义事的人并不是出于心甘情愿,而仅仅是因为没有本事作恶。这点再清楚也没有了。假定我们这样设想:眼前有两个人,一个正义,一个不正义,我们给他们各自随心所欲做事的权力,然后冷眼旁观,看看各人的欲望把他们引到哪里去?我们当场就能发现,正义的人也在那儿干不正义的事。人不为己,天诛地灭嘛!人都是在法律的强迫之下,才走到正义这条路上来的。我所讲的随心所欲,系指象吕底亚人古各斯的祖先所有的那样一种权力。据说他是一个牧羊人,在当时吕底亚的统治者手下当差。有一天暴风雨之后,接着又地震,在他放羊的地方,地壳裂开了,下有一道深渊。他虽然惊住了,但还是走了下去。故事是这样说的:他在那里面看到许多新奇的玩艺儿,最特别的是一匹空心的铜马,马身上还有小窗户。他偷眼一瞧,只见里面一具尸首,个头比一般人大,除了手上戴着一只金戒指,身上啥也没有。他把金戒指取下来就出来了。这些牧羊人有个规矩,每个月要开一次会,然后把羊群的情况向国王报告。他就戴着金戒指去开会了。他跟大伙儿坐在一起,谁知他碰巧把戒指上的宝石朝自己的手心一转。这一下,别人都看不见他了,都当他已经走了。

    他自己也莫名其妙,无意之间把宝石朝外一转,别人又看见他了。这以后他一再试验,看自己到底有没有这个隐身的本领。果然百试百灵,只要宝石朝里一转,别人就看不见他。朝外一转,就看得见他。他有了这个把握,就想方设法谋到一个职位,当上了国王的使臣。到了国王身边,他就勾引了王后,跟她同谋,杀掉了国王,夺取了王位。照这样来看,假定有两只这样的戒指,正义的人和不正义的人各戴一只,在这种情况下,可以想象,没有一个人能坚定不移,继续做正义的事,也不会有一个人能克制住不拿别人的财物,如果他能在市场里不用害怕,要什么就随便拿什么,能随意穿门越户,能随意调戏妇女,能随意杀人劫狱,总之能象全能的神一样,随心所欲行动的话,到这时候,两个人的行为就会一模一样。因此我们可以说,这是一个有力的证据,证明没有人把正义当成是对自己的好事,心甘情愿去实行,做正义事是勉强的。在任何场合之下,一个人只要能干坏事,他总会去干的。大家一目了然,从不正义那里比从正义那里个人能得到更多的利益。

    每个相信这点的人却能振振有词,说出一大套道理来。如果谁有了权而不为非作歹,不夺人钱财,那他就要被人当成天下第一号的傻瓜,虽然当着他的面人家还是称赞他——人们因为怕吃亏,老是这么互相欺骗着。这一点暂且说到这里。

    如果我们把最正义的生活跟最不正义的生活作一番对照,我们就能够对这两种生活作出正确的评价。怎样才能清楚地对照呢?这么办:我们不从不正义者身上减少不正义,也不从正义者身上减少正义,而让他们各行其事,各尽其能。

    首先,我们让不正义之人象个有专门技术的人,例如最好的舵手或最好的医生那样行动,在他的技术范围之内,他能辨别什么是可能的,什么是不可能的,取其可能而弃其不可能。即使偶尔出了差错,他也能补救。那就等着瞧吧!他会把坏事干得不漏一点马脚,谁也不能发觉。如果他被人抓住,我们就必须把他看作一个蹩脚的货色。不正义的最高境界就是嘴上仁义道德,肚子里男盗女娼。所以我们对一个完全不正义的人应该给他完全的不正义,一点不能打折扣;我们还要给坏事做绝的人最最正义的好名声;假使他出了破绽,也要给他补救的能力。如果他干的坏事遭到谴责,让他能鼓起如簧之舌,说服人家。如果需要动武,他有的是勇气和实力,也有的是财势和朋党。

    在这个不正义者的旁边,让我们按照理论树立一个正义者的形象:朴素正直,就象诗人埃斯库洛斯所说的“一个不是看上去好,而是真正好的人”。因此我们必须把他的这个“看上去”去掉。因为,如果大家把他看作正义的人,他就因此有名有利。在这种情况下,我们就搞不清楚他究竟是为正义而正义,还是为名利而正义了。所以我们必须排除他身上的一切表象,光剩下正义本身,来跟前面说过的那个假好人真坏人对立起来。让他不做坏事而有大逆不道之名,这样正义本身才可以受到考验。虽然国人皆曰可杀,他仍正义凛然,鞠躬殉道,死而后已;他甘冒天下之大不韪,坚持正义,终生不渝。

    这样让正义和不正义各趋极端,我们就好判别两者之中哪一种更幸福了。

    苏:老天爷保佑!我亲爱的格劳孔,你花了多大的努力塑造琢磨出这一对人象呀,它们简直象参加比赛的一对雕塑艺术品一样啦。

    格:我尽心力而为,总算弄出来了。我想,如果这是两者的本质,接下来讨论两种生活的前途就容易了。所以我必得接着往下讲。如果我说话粗野,苏格拉底,你可别以为是我在讲,你得以为那是颂扬不正义贬抑正义的人在讲。他们会这样说:

    正义的人在那种情况下,将受到拷打折磨,戴着镣铐,烧瞎眼睛,受尽各种痛苦,最后他将被钉在十字架上。死到临头他才体会到一个人不应该做真正义的人,而应该做一个假正义的人。埃斯库洛斯的诗句似乎更适用于不正义的人。人们说不正义的人倒真的是务求实际,不慕虚名的人——他不要做伪君子,而要做真实的人,他的心田肥沃而深厚;

    老谋深算从这里长出,

    精明主意生自这心头。[埃斯库洛斯悲剧《七将攻忒拜》574]

    他由于有正义之名,首先要做官,要统治国家;其次他要同他所看中的世家之女结婚,又要让子女同他所中意的任何世家联姻;他还想要同任何合适的人合伙经商,并且在所有这些事情中,捞取种种好处,因为他没有怕人家说他不正义的顾忌。人们认为,如果进行诉讼,不论公事私事,不正义者总能胜诉,他就这样长袖善舞,越来越富。他能使朋友得利,敌人受害。他祀奉诸神,排场体面,祭品丰盛。不论敬神待人,只要他愿意,总比正义的人搞得高明得多。这样神明理所当然对他要比对正义者多加照顾。所以人们会说,苏格拉底呀!诸神也罢,众人也罢,他们给不正义者安排的生活要比给正义者安排的好得多。

    〔苏:格劳孔说完了,我心里正想说几句话,但他的兄弟阿得曼托斯插了进来。〕阿:苏格拉底,当然你不会认为这个问题已经说透彻了吧!

    苏:还有什么要讲的吗?

    阿:最该讲的事偏偏还只字未提呢。

    苏:我明白了。常言道:“兄弟一条心!”他漏了什么没讲,你就帮他补上。虽然对我来说,他所讲的已经足够把我打倒在地,使我想要支援正义也爱莫能助了。

    阿:废话少说,听我继续讲下去。我们必须把人家赞扬正义批判不正义的观点统统理出来。据我看,这样才能把格劳孔的意思弄得更清楚。做父亲的告诉儿子,一切负有教育责任的人们都谆谆告诫:为人必须正义。但是他们的谆谆告诫也并不颂扬正义本身,而只颂扬来自正义的好名声。因为只要有了这个好名声,他就可以身居高位,通婚世族,得到刚才格劳孔所讲的一个不正义者从好名声中能获得的种种好处。关于好名声的问题,人们还讲了许多话。例如他们把人的好名声跟诸神联系起来,说诸神会把一大堆好东西赏赐给虔诚的人们。举诗人赫西俄德和荷马的话为例,前者说诸神使橡树为正义的人开花结实:

    树梢结橡子,树间蜜蜂鸣,

    树下有绵羊,羊群如白云。[赫西俄德《工作与农时》232以下]

    他说正义者还有其他诸如此类的赏心乐事。荷马说的不约而同:

    英明君王,敬畏诸神,

    高举正义,五谷丰登,

    大地肥沃,果枝沉沉,

    海多鱼类,羊群繁殖。[《奥德赛》ⅩⅨ109以下]

    默塞俄斯和他的儿子在诗歌中歌颂诸神赐福正义的人,说得更妙。他们说诸神引导正义的人们来到冥界,设筵款待,请他们斜倚长榻,头戴花冠,一觞一咏,以消永日。似乎美德最好的报酬,就是醉酒作乐而已。还有其他的人说,上苍对美德的恩赐荫及后代。他们说虔信诸神和信守誓言的人多子多孙,绵延百代。他们把渎神和不正义的人埋在阴间的泥土中,还强迫他们用篮取水:劳而无功;使不正义的人在世的时候,就得到恶名,遭受到格劳孔所列举的,当一个正义者被看成不正义者时所受的同样的惩罚。关于不正义之人,诗人所讲的只此而已,别无其他。关于对正义者与不正义者的赞扬和非难之论,就说这么多吧!

    此外,苏格拉底呀!请你再考虑诗人和其他的人关于正义和不正义的另外一种说法。他们大家异口同声反复指出节制和正义固然美,但是艰苦。纵欲和不正义则愉快,容易,他们说指责不正义为寡廉鲜耻,不过流俗之见一番空论罢了。他们说不正义通常比正义有利。他们庆贺有钱有势的坏人有福气,不论当众或私下里,心甘情愿尊敬这些人。他们对于穷人弱者,总是欺侮蔑视,虽然他们心里明白贫弱者比这些人要好得多。在这些事情当中,最叫人吃惊的是,他们对于诸神与美德的说法。他们说诸神显然给许多好人以不幸的遭遇和多灾多难的一生,而给许多坏人以种种的幸福。求乞祭司和江湖巫人,奔走富家之门,游说主人,要他们相信:如果他们或他们的祖先作了孽,用献祭和符咒的方法,他们可以得到诸神的赐福,用乐神的赛会能消灾赎罪;如果要伤害敌人,只要化一点小费,念几道符咒,读几篇咒文,就能驱神役鬼,为他们效力,伤害无论不正义者还是正义者。他们还引用诗篇为此作证,诗里描写了为恶的轻易和恶人的富足,名利多作恶,举步可登程,恶路且平坦,为善苦登攀。[赫西俄德《工作与农时》287—289]

    以及从善者的路程遥远又多险阻。还有的人引用荷马诗来证明凡人诱惑诸神,因为荷马说过:

    众人获罪莫担心,逢年过节来祭神,

    香烟缭绕牺牲供,诸神开颜保太平。[《伊利亚特》Ⅸ497以下,柏拉图引文与现行史诗有出入]

    他们发行一大堆默塞俄斯与俄尔甫斯的书籍。据他们说,默塞俄斯与俄尔甫斯是月神和文艺之神的后裔。他们用这些书里规定的仪式祭祀祓除,让国家和私人都相信,如果犯下了罪孽,可以用祭享和赛会为生者赎罪。可以用特有的仪式使死者在阴间得到赦免。谁要是轻忽祭祀享神,那就永世不得超生。

    亲爱的朋友苏格拉底呀!他们所讲的关于神和人共同关心的善恶的种种宏旨高论,对于听者,特别是对那些比较聪明,能够从道听途说中进行推理的年轻人,对他们的心灵会有什么影响呢?他们能从这些高论中得出结论,知道走什么样路,做什么样人,才能使自己一生过得最有意义吗?这种年轻人多半会用品达的问题来问他们自己:“是用堂堂正义,还是靠阴谋诡计来步步高升,安身立命,度过一生?”要做一个正义的人,除非我只是徒有正义之名,否则就是自找苦吃。反之,如果我并不正义,却已因挣得正义者之名,就能有天大的福气!既然智者们告诉我,“貌似”远胜“真是”,而且是幸福的关键。我何不全力以赴追求假象。我最好躲在灿烂庄严的门墙后面,带着最有智慧的阿尔赫洛霍斯所描写的狡猾贪婪的狐狸。有人说,干坏事而不被发觉很不容易。啊!普天之下,又有哪一件伟大的事情是容易的?无论如何,想要幸福只此一途。

    因为所有论证的结果都是指向这条道路。为了一切保密,我们拉宗派、搞集团;有辩论大师教我们讲话的艺术,向议会法庭作演说,硬逼软求,这样,我们可以尽得好处而不受惩罚。

    有人说,对于诸神,既不能骗,又不能逼。怎么不能?假定没有神,或者有神而神不关心人间的事情,那么做了坏事被神发觉也无所谓。假定有神,神又确实关心我们,那我们所知道的关于神的一切,也都是从故事和诗人们描述的神谱里来的。

    那里也同时告诉我们,祭祀、祷告、奉献祭品,就可以把诸神收买过来。对于诗人们的话,要么全信,要么全不信。如果我们信了,那我们就放手去干坏事,然后拿出一部分不义之财来设祭献神。如果我们是正义的,诸神当然不会惩罚我们,不过我们得拒绝不正义的利益。如果我们是不正义的,我们保住既得利益,犯罪以后向诸神祷告求情,最后还是安然无恙。

    有人说:不错,但是到来世,还是恶有恶报,报应在自己身上,或者在子孙身上。但是精明会算的先生们这样说:没关系,我们这里有灵验的特种仪式和一心赦罪的诸神,威名远扬的城邦都是这样宣布的。我们还有诸神之子,就是诗人和神的代言人,所有关于真理的消息都是这些智者透露给我们的。

    那么,还有什么理由让我们去选择正义,而舍弃极端的不正义呢?如果我们把正义只拿来装装门面,做出道貌岸然的样子,我们生前死后,对人对神就会左右逢源,无往而不利。

    这个道理,普通人和第一流的权威都是这么说的。根据上面说的这些,苏格拉底呀,怎么可能说服一个有聪明才智、有财富、有体力、有门第的人,叫他来尊重正义?这种人对于任何赞扬正义的说法,都只会嘲笑而已。照这么看,假如有人指出我们所说过的一切都是错的,假如有人真是心悦诚服地相信正义确是最善,那么他对于不正义者也会认为情有可原。他不会恼怒他们。因为他晓得,没有一个人真正心甘情愿实践正义的。除非那种生性刚正、嫉恶如仇,或者困学而知的人,才懂得为什么要存善去恶。不然就是因为怯懦、老迈或者其他缺点使他反对作恶——因为他实在没有力量作恶。这点再明白也没有了。这种人谁头一个掌权,谁就头一个尽量作恶,唯一的原因就是我跟我的朋友刚开始所讲的。我们对你说:“苏格拉底呀!这事说来也怪,你们自命为正义的歌颂者。可是,从古代载入史册的英雄起,一直到近代的普通人,没有一个人真正歌颂正义,谴责不正义,就是肯歌颂正义或谴责不正义,也不外乎是从名声、荣誉、利禄这些方面来说的。至于正义或不正义本身是什么?它们本身的力量何在?它们在人的心灵上,当神所不知,人所不见的时候,起什么作用?在诗歌里,或者私下谈话里,都没有人好好地描写过,没有人曾经指出过,不正义是心灵本身最大的丑恶,正义是最大的美德。要是一上来大家就这么说,从我们年轻时候起,就这样来说服我们,我们就用不着彼此间提防,每个人就都是自己最好的护卫者了。

    因为每个人都怕干坏事,怕在自己身上出现最大的丑恶。苏格拉底呀!关于正义和不正义,色拉叙马霍斯和其他的人毫无疑问是会说这些话的,甚至还要过头一点呢!这种说法,在我看来,其实是把正义和不正义的真实价值颠倒过来了。至于我个人,坦白地说,为了想听听你的反驳,我已经尽我所能,把问题说得清楚。你可别仅仅论证一下正义高于不正义就算了事,你一定得讲清楚,正义和不正义本身对它的所有者,有什么好处,有什么坏处。正如格劳孔所提出的,把两者的名丢掉。因为如果你不把双方真的名声去掉,而加上假的名声,我们就要说你所称赞的不是正义而是正义的外表。你所谴责的不是不正义,而是不正义的外表。你不过是劝不正义者不要让人发觉而已。我们就会认为你和色拉叙马霍斯的想法一致。正义是别人的好处,强者的利益,而不正义是对自己的利益,对弱者的祸害。你认为正义是至善之一,是世上最好的东西之一。那些所谓最好的东西,就是指不仅它们的结果好,尤其指它们本身好。比如视力、听力、智力、健康,以及其他德性,靠的是自己的本质而不是靠虚名,我要你赞扬的正义就是指这个——正义本身赐福于其所有者;不正义本身则贻祸于其所有者。尽管让别人去赞扬浮名实利吧。我可以从别人那里,但不能从你这里接受这种颂扬正义,谴责不正义的说法,接受这种赞美或嘲笑名誉、报酬的说法,除非你命令我这样做,因为你是毕生专心致志研究这个问题的人。我请你在辩论中不要仅仅证明正义高于不正义;你要证明二者本身各是什么?

    它们对于其所有者各起了什么广泛深入的作用,使得前者成其为善,后者成其为恶——不管神与人是否觉察。

    苏:〔我对于格劳孔和阿得曼托斯的天赋才能向来钦佩。

    不过我从来没有象今天听他们讲了这些话以后这样高兴。我说:〕贤昆仲不愧为名父之子,格劳孔的好朋友曾经写过一首诗,歌颂你们在麦加拉战役中的赫赫战功,那首诗的开头两句在我看来非常恰当。

    名门之子,父名“至善”,[阿里斯同是格劳孔和阿得曼托斯的父亲,“阿里斯同”希腊文原意是“最好”]

    难兄难弟,名不虚传。

    你们既然不肯相信不正义比正义好,而同时又为不正义辩护得这么头头是道。这其间必有神助。我觉得你们实在不相信自己说的那一套,我是从你们的品格上判断出来的。要是单单听你们的辩证,我是会怀疑的。但是我越相信你们,我越不知道该怎么办是好。我不晓得怎么来帮你们。老实说,我确实没有这个能力。我对色拉叙马霍斯所说的一番话,我认为已经证明正义优于不正义了,可你们不肯接受。我真不知道怎么来拒绝给你们帮助。如果正义遭人诽谤,而我一息尚存有口能辩,却袖手旁观不上来帮助,这对我来说,恐怕是一种罪恶,是奇耻大辱。看起来,我挺身而起保卫正义才是上策。

    〔格劳孔和其余的人央求我不能撒手,无论如何要帮个忙,不要放弃这个辩论。他们央求我穷根究底弄清楚二者的本质究竟是什么,二者的真正利益又是什么?于是,我就所想到的说了一番:〕我们现在进行的这个探讨非比寻常,在我看来,需要有敏锐的目光。可是既然我们并不聪明,我想最好还是进行下面这种探讨。假定我们视力不好,人家要我们读远处写着的小字,正在这时候有人发现别处用大字写着同样的字,那我们可就交了好运了,我们就可以先读大字后读小字,再看看它们是不是一样。

    阿:说得不错,但是这跟探讨正义有什么相似之处?

    苏:我来告诉你:我想我们可以说,有个人的正义,也有整个城邦的正义。

    阿:当然。

    苏:好!一个城邦是不是比一个人大?

    阿:大得多!

    苏:那么也许在大的东西里面有较多的正义,也就更容易理解。如果你愿意的话,让我们先探讨在城邦里正义是什么,然后在个别人身上考察它,这叫由大见小。

    阿:这倒是个好主意。

    苏:如果我们能想象一个城邦的成长,我们也就能看到那里正义和不正义的成长,是不是?

    阿:可能是这样。

    苏:要是做到了这点,我们就有希望轻而易举地看到我们所要追寻的东西。

    阿:不错,希望很大。

    苏:那么,我们要不要着手进行?我觉得这件事非同小可,你可要仔细想想。

    阿:我们已经考虑过了。干吧!不要再犹豫了。

    苏:那么很好。在我看来,之所以要建立一个城邦,是因为我们每一个人不能单靠自己达到自足,我们需要许多东西。

    你们还能想到什么别的建立城邦的理由吗?

    阿:没有。

    苏:因此我们每个人为了各种需要,招来各种各样的人。

    由于需要许多东西,我们邀集许多人住在一起,作为伙伴和助手,这个公共住宅区,我们叫它作城邦。这样说对吗?

    阿:当然对。

    苏:那么一个人分一点东西给别的人,或者从别的人那里拿来一点东西,每个人却觉得这样有进有出对他自己有好处。

    阿:是的。

    苏:那就让我们从头设想,来建立一个城邦,看看一个城邦的创建人需要些什么。

    阿:好的。

    苏:首先,最重要的是粮食,有了它才能生存。

    阿:毫无疑问。

    苏:第二是住房,第三是衣服,以及其它等等。

    阿:理所当然。

    苏:接着要问的是:我们的城邦怎么才能充分供应这些东西?那里要不要有一个农夫、一个瓦匠、一个纺织工人?要不要再加一个鞋匠或者别的照料身体需要的人?

    阿:当然。

    苏:那么最小的城邦起码要有四到五个人。

    阿:显然是的。

    苏:接下来怎么样呢?是不是每一个成员要把各自的工作贡献给公众——我的意见是说,农夫要为四个人准备粮食,他要花四倍的时间和劳力准备粮食来跟其他的人共享呢?还是不管别人,只为他自己准备粮食——花四分之一的时间,生产自己的一份粮食,把其余四分之三的时间,一份花在造房子上,一份花在做衣服上,一份花在做鞋子上,免得同人家交换,各自为我,只顾自己的需要呢?

    阿:恐怕第一种办法便当,苏格拉底。

    苏:上天作证,这是一点也不奇怪的。你刚说这话,我就想到我们大家并不是生下来都一样的。各人性格不同,适合于不同的工作。你说是不是?

    阿:是的。

    苏:那么是一个人干几种手艺好呢,还是一个人单搞一种手艺好呢?

    阿:一人单搞一种手艺好。

    苏:其次,我认为有一点很清楚——一个人不论干什么事,失掉恰当的时节有利的时机就会全功尽弃。

    阿:不错,这点很清楚。

    苏:我想,一件工作不是等工人有空了再慢慢去搞的,相反,是工人应该全心全意当作主要任务来抓的,是不能随随便便,马虎从事的。

    阿:必须这样。

    苏:这样,只要每个人在恰当的时候干适合他性格的工作,放弃其它的事情,专搞一行,这样就会每种东西都生产得又多又好。

    阿:对极了。

    苏:那么,阿得曼托斯,我们就需要更多的公民,要超过四个人来供应我们所说的一切了。农夫似乎造不出他用的犁头——如果要的是一张好犁的话,也不能制造他的锄头和其它耕田的工具。建筑工人也是这样,他也需要许多其他的人。织布工人、鞋匠都不例外。

    阿:是的。

    苏:那么木匠铁匠和许多别的匠人就要成为我们小城邦的成员,小城邦就更扩大起来了。

    阿:当然。

    苏:但这样也不能算很大。就说我们再加上放牛的、牧羊的和养其它牲口的人吧。这样可使农夫有牛拉犁,建筑工人和农夫有牲口替他们运输东西,纺织工人和鞋匠有羊毛和皮革可用。

    阿:假定这些都有了,这个城邦这不能算很小啦!

    苏:还有一点,把城邦建立在不需要进口货物的地方,这在实际上是不可能的。

    阿:确实不可能。

    苏:那么它就还得有人到别的城邦去,进口所需要的东西呀。

    阿:是的。

    苏:但是有一点,如果我们派出的人空手而去,不带去人家所需要的东西换人家所能给的东西,那么,使者回来不也会两手空空吗?

    阿:我看会是这样的。

    苏:那么他们就必需不仅为本城邦生产足够的东西,还得生产在质量、数量方面,能满足为他们提供东西的外邦人需要的东西。

    阿:应当如此。

    苏:所以我们的城邦需要更多的农夫和更多其他的技工了。

    阿:是的。

    苏:我想,还需要别种助手做进出口的买卖,这就是商人。是不是?

    阿:是的。

    苏:因此,我们还需要商人。

    阿:当然。

    苏:如果这个生意要到海外进行,那就还得需要另外许多懂得海外贸易的人。

    阿:确实还需要许多别的人。

    苏:在城邦内部,我们是如何彼此交换各人所制造的东西呢?须知这种交换产品正是我们合作建立城邦的本来目的呀。

    阿:交换显然是用买和卖的办法。

    苏:于是我们就会有市场,有货币作为货物交换的媒介。

    阿:当然。

    苏:如果一个农夫或者随便哪个匠人拿着他的产品上市场去,可是想换取他产品的人还没到,那么他不是就得闲坐在农场上耽误他自己的工作吗?

    阿:不会的。市场那里有人看到这种情况,就会出来专门为他服务的。在管理有方的城邦里,这是些身体最弱不能干其他工作的人干的。他们就等在市场上,拿钱来跟愿意卖的人换货,再拿货来跟愿意买的人换钱。

    苏:在我们的城邦里,这种需要产生了一批店老板。那些常住在市场上做买卖的人,我们叫他店老板,或者小商人。那些往来于城邦之间做买卖的人,我们称之为大商人。是不是?

    阿:是的。

    苏:此外我认为还有别的为我们服务的人,这种人有足够的力气可以干体力劳动,但在智力方面就没有什么长处值得当我们的伙伴。这些人按一定的价格出卖劳力,这个价格就叫工资。因此毫无疑问,他们是靠工资为生的人。不知你意下如何?

    阿:我同意。

    苏:那么靠工资为生的人,似乎也补充到我们城邦里来了。

    阿:是的。

    苏:阿得曼托斯,那么我们的城邦已经成长完备了吗?

    阿:也许。

    苏:那么在我们城邦里,何处可以找到正义和不正义呢?

    在我们上面所列述的那些种人里,正义和不正义是被哪些人带进城邦来的呢?

    阿:我可说不清,苏格拉底!要么那是因为各种人彼此都有某种需要。

    苏:也许你的提法很对。我们必须考虑这个问题,不能退缩。首先,让我们考虑一下在作好上面种种安排以后,人们的生活方式将会是什么样子。他们不要烧饭,酿酒,缝衣,制鞋吗?他们还要造屋,一般说,夏天干活赤膊光脚,冬天穿很多衣服,着很厚的鞋子。他们用大麦片,小麦粉当粮食,煮粥,做成糕点,烙成薄饼,放在苇叶或者干净的叶子上。他们斜躺在铺着紫杉和桃金娘叶子的小床上,跟儿女们欢宴畅饮,头戴花冠,高唱颂神的赞美诗。满门团聚,其乐融融,一家数口儿女不多,免受贫困与战争。

    〔这时候格劳孔插嘴说:〕格:不要别的东西了吗?好象宴会上连一点调味品也不要了。

    苏:真的,我把这点给忘了。他们会有调味品的,当然要有盐、橄榄、乳酪,还有乡间常煮吃的洋葱、蔬菜。我们还会给他们甜食——无花果、鹰嘴豆、豌豆,还会让他们在火上烤爱神木果、橡子吃,适可而止地喝上一点酒,就这样让他们身体健康,太太平平度过一生,然后无病而终,并把这种同样的生活再传给他们的下一代。

    格:如果你是在建立一个猪的城邦,除了上面这些东西而外,你还给点什么别的饲料吗?

    苏:格劳孔,你还想要什么?

    格:还要一些能使生活稍微舒服一点的东西。我想,他们要有让人斜靠的睡椅,免得太累,还要有几张餐桌几个碟子和甜食等等。就象现在大家都有的那些。

    苏:哦,我明白了。看来我们正在考虑的不单是一个城邦的成长,而且是一个繁华城邦的成长。这倒不见得是个坏主意。我们观察这种城邦,也许就可以看到在一个国家里,正义和不正义是怎么成长起来的。我认为真正的国家,乃是我们前面所讲述的那样——可以叫做健康的国家。如果你想研究一个发高烧的城邦也未始不可。不少人看来对刚才这个菜单或者这个生活方式并不满意。睡椅毕竟是要添置的,还要桌子和其它的家俱,还要调味品、香料、香水、歌妓、蜜饯、糕饼——诸如此类的东西。我们开头所讲的那些必需的东西:房屋、衣服、鞋子,是不够了;我们还得花时间去绘画、刺绣,想方设法寻找金子、象牙以及种种诸如此类的装饰品,是不是?

    格:是的。

    苏:那么我们需要不需要再扩大这个城邦呢?因为那个健康的城邦还是不够,我们势必要使它再扩大一点,加进许多必要的人和物——例如各种猎人、模仿形象与色彩的艺术家,一大群搞音乐的,诗人和一大群助手——朗诵者、演员、合唱队、舞蹈队、管理员以及制造各种家具和用品的人,特别是做妇女装饰品的那些人,我们需要更多的佣人。你以为我们不需要家庭教师、奶妈、保姆、理发师、厨师吗?我们还需要牧猪奴。在我们早期的城邦里,这些人一概没有,因为用不着他们。不过,在目前这个城邦里,就有这个需要了。我们还需要大量别的牲畜作为肉食品。你说对不对?

    格:对!

    苏:在这样的生活方式里,我们不是比以前更需要医生吗?

    格:是更需要。

    苏:说起土地上的农产品来,它们以前足够供应那时所有的居民,现在不够了,太少了。你说对不对?

    格:对!

    苏:如果我们想要有足够大的耕地和牧场,我们势必要从邻居那儿抢一块来;而邻居如果不以所得为满足,也无限制地追求财富的话,他们势必也要夺一块我们的土地。

    格:必然如此。苏格拉底。

    苏:格劳孔呀!下一步,我们就要走向战争了,否则你说怎么办?

    格:就是这样,要战争了。

    苏:我们且不说战争造成好的或坏的结果,只说现在我们已经找到了战争的起源。战争使城邦在公私两方面遭到极大的灾难。

    格:当然。

    苏:那么我们需要一个更大的城邦,不是稍微大一点,而是要加上全部军队那么大,才可以抵抗和驱逐入侵之敌,保卫我们所列举的那些人民的生命和我们所有的一切财产。

    格:为什么?难道为了自己,那么些人还不够吗?

    苏:不够。想必你还记得,在创造城邦的时候,我们曾经一致说过,一个人不可能擅长许多种技艺的。

    格:不错。

    苏:那么好,军队打仗不是一种技艺吗?

    格:肯定是一种技艺。

    苏:那么我们应该注意做鞋的技艺,而不应该注意打仗的技艺吗?

    格:不,不!

    苏:为了把大家的鞋子做好,我们不让鞋匠去当农夫,或织工,或瓦工。同样,我们选拔其他的人,按其天赋安排职业,弃其所短,用其所长,让他们集中毕生精力专搞一门,精益求精,不失时机。那么,对于军事能不重视吗?还是说,军事太容易了,连农夫鞋匠和干任何别的行当的人都可以带兵打仗?就说是下棋掷骰子吧,如果只当作消遣,不从小就练习的话,也是断不能精于此道的。难道,在重武装战争或者其它类型的战争中,你拿起盾牌,或者其它兵器一天之内就能成为胜任作战的战士吗?须知,没有一种工具是拿到手就能使人成为有技术的工人或者斗士的,如果他不懂得怎么用工具,没有认真练习过的话。

    格:这话不错,不然工具本身就成了无价之宝了。

    苏:那么,如果说护卫者的工作是最重大的,他就需要有比别种人更多的空闲,需要有最多的知识和最多的训练。

    格:我也这么想。

    苏:不是还需要有适合干这一行的天赋吗?

    格:当然。

    苏:看来,尽可能地挑选那些有这种天赋的人来守护这个城邦乃是我们的责任。

    格:那确是我们的责任。

    苏:天啊!这个担子可不轻,我们要尽心尽力而为之,不可退缩。

    格:对,决不可退缩。

    苏:你觉得一条养得好的警犬和一个养得好的卫士[希腊文“警犬”σgh′aαξ和“护卫者”“卫士”φh′aαξ是谐音词],从保卫工作来说,两者的天赋才能有什么区别吗?

    格:你究竟指的什么意思?

    苏:我的意思是说,两者都应该感觉敏锐,对觉察到的敌人要追得快,如果需要一决雌雄的话,要能斗得凶。

    格:是的,这些品质他们都需要。

    苏:如果要斗得胜的话,还必须勇敢。

    格:当然。

    苏:不论是马,是狗,或其它动物,要不是生气勃勃,它们能变得勇敢吗?你有没有注意到,昂扬的精神意气,是何等不可抗拒不可战胜吗?只要有了它,就可以无所畏惧,所向无敌吗?

    格:是的,我注意到了。

    苏:那么,护卫者在身体方面应该有什么品质,这是很清楚的。

    格:是的。

    苏:在心灵上他们应该意气奋发,这也是很明白清楚的。

    格:也是的。

    苏:格劳孔呀!如果他们的天赋品质是这样的,那他们怎么能避免彼此之间发生冲突,或者跟其他公民发生冲突呢?

    格:天啊!的确不容易避免。

    苏:他们还应该对自己人温和,对敌人凶狠。否则,用不着敌人来消灭,他们自己就先消灭自己了。

    格:真的。

    苏:那我们该怎么办?我们上哪里去找一种既温和,又刚烈的人?这两种性格是相反的呀。

    格:显然是相反的。

    苏:但要是两者缺一,他就永远成不了一个好的护卫者了。看来,二者不能得兼,因此,一个好的护卫者就也是不可能有的了。

    格:看来是不可能。

    苏:我给闹糊涂了。不过把刚才说的重新考虑一下,我觉得我们的糊涂是咎有应得,因为我们把自己所树立的相反典型给忘掉了。

    格:怎么回事?

    苏:我们没有注意到,我们原先认为不能同时具有相反的两种禀赋,现在看来毕竟还是有的。

    格:有?在哪儿?

    苏:可以在别的动物身上找到,特别是在我们拿来跟护卫者比拟的那种动物身上可以找到。我想你总知道喂得好的狗吧。它的脾气总是对熟人非常温和,对陌生人却恰恰相反。

    格:是的,我知道。

    苏:那么,事情是可能的了。我们找这样一种护卫者并不违反事物的天性。

    格:看来并不违反。

    苏:你是不是认为我们的护卫者,除了秉性刚烈之外,他的性格中还需要有对智慧的爱好,才能成其为护卫者?

    格:怎么需要这个的?我不明白你的意思。

    苏:在狗身上你也能看到这个①。兽类能这样,真值得惊奇。

    ①指:对智慧的爱好。照希腊文“哲学家”一词,意即“爱好智慧的人”。

    格:“这个”是什么?

    苏:狗一看见陌生人就怒吠——虽然这个人并没打它;当它看见熟人,就摇尾欢迎——虽然这个人并没对它表示什么好意。这种事情,你看了从来没有觉得奇怪吗?

    格:过去我从来没注意这种事情。不过,狗的行动确实是这样的,这是一目了然的。

    苏:但那的确是它天性中的一种精细之处,是一种对智慧有真正爱好的表现。

    格:请问你是根据什么这样想的?

    苏:我这样想的根据是:狗完全凭认识与否区别敌友——

    不认识的是敌,认识的是友。一个动物能以知和不知辨别敌友同异,你怎么能说它不爱学习呢?

    格:当然不能。

    苏:你承认,爱学习和爱智慧是一回事吗?

    格:是一回事。

    苏:那么,在人类我们也可以有把握地这样说:如果他对自己人温和,他一定是一个天性爱学习和爱智慧的人。不是吗?

    格:让我们假定如此吧。

    苏:那么,我们可以在一个真正善的城邦护卫者的天性里把爱好智慧和刚烈、敏捷、有力这些品质结合起来了。

    格:毫无疑问可以这样。

    苏:那么,护卫者的天性基础①大概就是这样了。但是,我们的护卫者该怎样接受训练接受教育呢?我们研讨这个问题是不是可以帮助我们弄清楚整个探讨的目标呢——正义和不正义在城邦中是怎样产生的?我们要使我们的讨论既充分又不拖得太长,令人生厌。

    ①作为后天接受教育的基础。

    阿(格劳孔的兄弟):是的。我希望这个探讨有助于我们一步步接近我们的目标。

    苏:那么,亲爱的阿得曼托斯,我们一定不要放弃这个讨论,就是长了一点,也要耐心。

    阿:对!一定不放弃。

    苏:那么,让我们来讨论怎么教育这些护卫者的问题吧。

    我们不妨象讲故事那样从容不迫地来谈。

    阿:我们是该这样做。

    苏:那么,这个教育究竟是什么呢?似乎确实很难找到比我们早已发现的那种教育更好的了。这种教育就是用体操来训练身体,用音乐①来陶冶心灵。

    ①古代希腊重要的文化生活是听民间艺人弹着竖琴演说史诗故事。故“音乐”一词包括音乐、文学等义,相当现在的“文化”一词。关于音乐的讨论一直延伸到第三卷。(《理想国》象现在这样分为十卷是柏拉图数世纪后的事情。)

    阿:是的。

    苏:我们开始教育,要不要先教音乐后教体操?

    阿:是的。

    苏:你把故事包括在音乐里,对吗?

    阿:对。

    苏:故事有两种,一种是真的,一种是假的,是吧?

    阿:是的。

    苏:我们在教育中应该两种都用,先用假的,是吗?

    阿:我不理解你的意思。

    苏:你不懂吗?我们对儿童先讲故事——故事从整体看是假的,但是其中也有真实。在教体操之前,我们先用故事教育孩子们。

    阿:这是真的。

    苏:这就是我所说的,在教体操之前先教音乐的意思。

    阿:非常正确。

    苏:你知道,凡事开头最重要。特别是生物。在幼小柔嫩的阶段,最容易接受陶冶,你要把它塑成什么型式,就能塑成什么型式。

    阿:一点不错。

    苏:那么,我们应不应该放任地让儿童听不相干的人讲不相干的故事,让他们的心灵接受许多我们认为他们在成年之后不应该有的那些见解呢?

    阿:绝对不应该。

    苏:那么看来,我们首先要审查故事的编者,接受他们编得好的故事,而拒绝那些编得坏的故事。我们鼓励母亲和保姆给孩子们讲那些已经审定的故事,用这些故事铸造他们的心灵,比用手去塑造他们的身体[当时托儿所里采用的一种按摩推拿之类的保育方法]还要仔细。他们现在所讲的故事大多数我们必须抛弃。

    阿:你指的哪一类故事?

    苏:故事也能大中见小,因为我想,故事不论大小,类型总是一样的,影响也总是一样的,你看是不是?

    阿:是的,但是我不知道所谓大的故事是指的哪些?

    苏:指赫西俄德和荷马以及其他诗人所讲的那些故事。须知,我们曾经听讲过,现在还在听讲着他们所编的那些假故事。

    阿:你指的哪一类故事?这里面你发现了什么毛病?

    苏:首先必须痛加谴责的,是丑恶的假故事。

    阿:这指什么?

    苏:一个人没有能用言词描绘出诸神与英雄的真正本性来,就等于一个画家没有画出他所要画的对象来一样。

    阿:这些是应该谴责的。但是,有什么例子可以拿出来说明问题的?

    苏:首先,最荒唐莫过于把最伟大的神描写得丑恶不堪。

    如赫西俄德描述的乌拉诺斯的行为,以及克罗诺斯对他的报复行为①,还有描述克罗诺斯的所作所为和他的儿子对他的行为,这些故事都属此类。即使这些事是真的,我认为也不应该随便讲给天真单纯的年轻人听。这些故事最好闭口不谈。如果非讲不可的话,也只能许可极少数人听,并须秘密宣誓,先行献牲,然后听讲,而且献的牲还不是一只猪,而是一种难以弄到的庞然大物。为的是使能听到这种故事的人尽可能的少。

    ①赫西俄德《神谱》154,459。

    阿:啊!这种故事真是难说。

    苏:阿得曼托斯呀!在我们城邦里不应该多讲这类故事。

    一个年轻人不应该听了故事得到这样一种想法:对一个大逆不道,甚至想尽方法来严惩犯了错误的父亲的人也不要大惊小怪,因为他不过是仿效了最伟大的头号天神的做法而已。

    阿:天哪!我个人认为这种事情是不应该讲的。

    苏:决不该让年轻人听到诸神之间明争暗斗的事情(因为这不是真的)。如果我们希望将来的保卫者,把彼此勾心斗角、耍弄阴谋诡计当作奇耻大辱的话。我们更不应该把诸神或巨人之间的争斗,把诸神与英雄们对亲友的种种怨仇作为故事和刺绣的题材。如果我们能使年轻人相信城邦的公民之间从来没有任何争执——如果有的话,便是犯罪——老爷爷、老奶奶应该对孩子们从小就这样说,等他们长大一点还这样说,我们还必须强迫诗人按照这个意思去写作。关于赫拉如何被儿子绑了起来以及赫淮斯托斯见母亲挨打,他去援救的时候,如何被他的父亲从天上摔到地下的话[《伊利亚特》Ⅰ586以下],还有荷马所描述的诸神间的战争等等,作为寓言来讲也罢,不作为寓言来讲也罢,无论如何不该让它们混进我们城邦里来。因为年轻人分辨不出什么是寓言,什么不是寓言。先入为主,早年接受的见解总是根深蒂固不容易更改的。因此我们要特别注意,为了培养美德,儿童们最初听到的应该是最优美高尚的故事。

    阿:是的,很有道理。但是如果人家要我们明确说出这些故事指的哪些?我们该举出哪些来呢?

    苏:我亲爱的阿得曼托斯啊!你我都不是作为诗人而是作为城邦的缔造者在这里发言的。缔造者应当知道,诗人应该按照什么路子写作他们的故事,不许他写出不合规范的东西,但不要求自己动手写作。

    阿:很对。但,就是这个东西——故事里描写诸神的正确的路子或标准应该是什么样的呢?

    苏:大致是这样的:应该写出神之所以为神,即神的本质来。无论在史诗、抒情诗,或悲剧诗里,都应该这样描写。

    阿:是的,应该这样描写。

    苏:神不肯定是实在善的吗?故事不应该永远把他们描写成善的吗?

    阿:当然应该。

    苏:其次,没有任何善的东西是有害的,是吧?

    阿:我想是的。

    苏:无害的东西会干什么坏事吗?

    阿:啊,不会的。

    苏:不干坏事的东西会作恶吗?

    阿:绝对不会。

    苏:不作恶的东西会成为任何恶的原因吗?

    阿:那怎么会呢?

    苏:好,那么善的东西是有益的?

    阿:是的。

    苏:因此是好事的原因吗?

    阿:是的。

    苏:因此,善者并不是一切事物的原因,只是好的,事物的原因,不是坏的事物的原因。

    阿:完全是这样。

    苏:因此,神既然是善者,它也就不会是一切事物的原因——象许多人所说的那样。对人类来说,神只是少数几种事物的原因,而不是多数事物的原因。我们人世上好的事物比坏的事物少得多,而好事物的原因只能是神。至于坏事物的原因,我们必须到别处去找,不能在神那儿找。

    阿:你说的话,在我看来再正确不过了。

    苏:那么我们就不能接受荷马或其他诗人关于诸神的那种错误说法了。例如荷马在下面的诗[《伊利亚特》ⅩⅩⅣ527—532,这里引文与现行史诗原文略有出入]里说:

    宙斯大堂上,并立两铜壶。

    壶中盛命运,吉凶各悬殊。

    宙斯混吉凶,随意赐凡夫。

    当宙斯把混合的命运赐给哪个人,那个人就——

    时而遭灾难,时而得幸福。

    当宙斯不把吉凶相混,单赐坏运给一个人时,就——

    饥饿逼其人,飘泊无尽途。

    我们也不要去相信那种宙斯支配命运的说法:祸福变万端,宙斯实主之。

    如果有人说,潘德罗斯违背誓言[《伊利亚特》Ⅳ69以下],破坏停战,是由于雅典娜和宙斯的怂恿,我决不能同意。我们也不能同意诸神之间的争执和分裂是由于宙斯和泰米斯[希腊神话中代表法律的女神]作弄的说法。我们也不能让年轻人听到象埃斯库洛斯所说的[轶诗160]:天欲毁巨室,降灾群氓间。

    如果诗人们描写尼俄珀的悲痛——埃斯库洛斯曾用抑扬格诗描写过——或者描写佩洛匹达的故事、特洛亚战争的事绩,以及别的传说,我们一定要禁止他们把这些痛苦说成是神的意旨。如果要这么说,一定要他们举出这样说的理由,象我们正在努力寻找的一样——他们应该宣称神做了一件合乎正义的好事,使那些人从惩罚中得到益处。我们无论如何不能让诗人把被惩罚者的生活形容得悲惨,说是神要他们这样的。

    但是我们可以让诗人这样说:坏人日子难过,因为他们该受惩罚。神是为了要他们好,才惩罚他们的。假使有人说,神虽然本身是善的,可是却产生了恶。对于这种谎言,必须迎头痛击。假使这个城邦要统治得好的话,更不应该让任何人,不论他是老是少,听到这种故事(不论故事是有韵的还是没有韵的)。讲这种话是渎神的,对我们有害的,并且理论上是自相矛盾的。

    阿:我跟你一道投票赞成这条法律。我很喜欢它。

    苏:很好。这将成为我们关于诸神的法律之一,若干标准之一。故事要在这个标准下说,诗要在这个标准下写——神是善的原因,而不是一切事物之因。

    阿:这样说算是说到家了。

    苏:那么,其次,你认为神是一个魔术师吗?他能按自己的意图在不同的时间显示出不同的形相来吗?他能有时变换外貌,乔装打扮惑世欺人吗?还是说,神是单一的,始终不失他本相的呢?

    阿:我一下子答不上来。

    苏:那么好好想想吧。任何事物一离开它的本相,它不就要(或被自己或被其它事物)改变吗?

    阿:这是必然的。

    苏:事物处于最好的状况下,最不容易被别的事物所改变或影响,例如,身体之受饮食、劳累的影响,植物之受阳光、风、雨等等的影响——最健康、最强壮者、最不容易被改变。不是吗?

    阿:怎么不是呢?

    苏:心灵不也是这样的吗?最勇敢、最智慧的心灵最不容易被任何外界的影响所干扰或改变。

    阿:是的。

    苏:根据类推,那些制成的东西也肯定是这样的了。——

    家具、房屋、衣服,如果做得很好很牢,也最不容易受时间或其它因素的影响。

    阿:的确是这样。

    苏:那么万事万物都是这样的了。——任何事物处于最好状况之下,(不管是天然的状况最好,还是人为的状况最好,或者两种状况都最好),是最不容易被别的东西所改变的。

    阿:看来是这样。

    苏:神和一切属于神的事物,无论如何都肯定是处于不能再好的状态下。

    阿:当然。

    苏:因此看来,神是绝对不能有许多形相的。

    阿:确实不可能的。

    苏:但是,神能变形,即·自·己改变自己吗?

    阿:如果他能·被·改·变,显然是能自己改变自己的。

    苏:那么他把自己变美变好呢,还是变丑变坏呢?

    阿:如果变,他一定是变坏。因为我们定然不能说神在美和善方面是有欠缺的。

    苏:你说得对极了。如果这样尽善尽美,阿得曼托斯,你想想看,无论是哪一个神或哪一个人,他会自愿把自己变坏一点点吗?

    阿:不可能的。

    苏:那么,一个神想要改变他自己,看来是连这样一种愿望也不可能有的了。看来还是:神和人都尽善尽美,永远停留在自己单一的既定形式之中。

    阿:我认为这是一个必然的结论。

    苏:那么,我的高明的朋友啊!不许任何诗人这样对我们说:

    诸神乔装来异乡,

    变形幻影访城邦。[《奥德赛》ⅩⅦ485—486]

    也不许任何人讲关于普罗图斯和塞蒂斯的谎话,也不许在任何悲剧和诗篇里,把赫拉带来,扮作尼姑,为阿尔戈斯的伊纳霍斯河的赐予生命的孩子们挨门募化,我们不需要诸如此类的谎言。做母亲的也不要被这些谎言所欺骗,对孩子们讲那些荒唐故事,说什么诸神在夜里游荡,假装成远方来的异客。我们不让她们亵渎神明,还把孩子吓得胆战心惊,变成懦夫。

    阿:决不许这样。

    苏:既然诸神是不能改变的,难道他们能给我们幻象,让我们看到他们在光怪陆离的形式之中吗?

    阿:也许如此。

    苏:什么?难道神明会愿意说谎欺骗,在言行上对我们玩弄玄虚吗?

    阿:我不知道。

    苏:你难道不懂:真的谎言——如果这话能成立[“真”和“假”(谎言)是对立的]——是所有的神和人都憎恶的吗?

    阿:你说的是什么意思?

    苏:我的意思是说:谎言乃是一种不论谁在自身最重要的部分[心灵]——在最重要的利害关系上——都最不愿意接受的东西,是不论谁都最害怕它存在在那里的。

    阿:我还是不懂。

    苏:这是因为你以为我的话有什么重要含意。其实,我的意思只是:上当受骗,对真相一无所知,在自己心灵上一直保留着假象——这是任何人都最不愿意最深恶痛绝的。

    阿:确实如此。

    苏:但是,受骗者把心灵上的无知说成是非常真的谎言(如我刚才所做的)肯定是完全正确的。因为嘴上讲的谎言只不过是心灵状态的一个摹本,是派生的,仅仅是形象而不是欺骗本身和真的谎言。对吗?

    阿:很对。

    苏:那么,真的谎言是不论神还是人都深恶痛绝的。

    阿:我也这么认为了。

    苏:不过,语言上的谎言怎么样?什么时候可以用,对谁可用,所以人家对它才不讨厌的?对敌人不是可用吗?在我们称之为朋友的那些人中间,当他们有人得了疯病,或者胡闹,要做坏事,谎言作为一种药物不也变得有用了,可以用来防止他们作恶吗?在我们刚才的讨论中所提到的故事里,我们尽量以假乱真,是由于我们不知道古代事情的真相,要利用假的传说达到训导的目的。

    阿:当然要这样。

    苏:那么在什么情况下,谎言能对神有用?会不会因为他们也不知道古代的事情,因此要把假的弄得象真的一样呢?

    阿:啊,这是一个荒唐的想法。

    苏:那么,神之间没有一个说假话的诗人吧?

    阿:我想不会有。

    苏:那么他会因为害怕敌人而说假话吗?

    阿:绝对不会。

    苏:会因为朋友的疯狂和胡闹而说假话吗?

    阿:不会,神是没有疯狂和胡闹的朋友的。

    苏:那么,神不存在说谎的动机。

    阿:不存在。

    苏:因此,有一切理由说,心灵和神性都和虚伪无缘。

    阿:毫无疑问。

    苏:因此,神在言行方面都是单一的、真实的,他是不会改变自己,也不会白日送兆,夜间入梦,玩这些把戏来欺骗世人的。

    阿:听你讲了以后,我自己也这样认为。

    苏:那么你同意不同意这第二个标准:讲故事、写诗歌谈到神的时候,应当不把他们描写成随时变形的魔术师,在言行方面,他们不是那种用谎言引导我们走上歧途去的角色?

    阿:我同意。

    苏:那么,在荷马的作品里,虽然许多东西值得我们赞美,可是有一件事是我们不能称赞的,这就是宙斯托梦给阿加门农的说法[《伊利亚特》Ⅱ,1—34];我们也不能赞美埃斯库洛斯的一段诗,他说,塞蒂斯[残诗350]告诉大家,在伊结婚时,阿波罗曾唱过如下的歌:

    多福多寿,子孙昌盛,

    敬畏命运,大亨以正。

    当众宣告,胜利功成。

    她曾对大家说:

    出于阿波罗之神口,预言谆谆。

    不欺不诈,信以为真。

    孰知杀吾儿者,竟是此神。

    神而若此,天道宁论。

    任何诗人说这种话诽谤诸神,我们都将生气,不让他们组织歌舞队演出,也不让学校教师用他们的诗来教育年轻人,如果要使未来的城邦护卫者在人性许可的范围内,成为敬畏神明的人的话。

    阿:无论如何要这样。我同意你这两个标准,我愿意把它们当作法律。

    第三卷

    苏:关于神的看法,大致就如上所说。为了使我们的护卫者敬神明,孝父母,重视彼此朋友间的友谊,有些故事应当从小就讲给他们听,有些故事就不应该讲给他们听。

    阿:我也这样认为,我觉得我们的看法是对的。

    苏:那么,其次是什么?如果要他们勇敢,我们不能就此为止。我们要不要用正确的说法教育他们,使他们不要怕死?

    你以为一个人心里怕死能勇敢吗?

    阿:当然不能。

    苏:如果一个人相信地狱是确实存在的而且非常可怕,他能不怕死,打仗的时候能宁死不屈不做奴隶吗?

    阿:不能。

    苏:看来我们对于写作这些故事的人,应该加以监督,要求他们称赞地狱生活,不要信口雌黄,把它说得一无是处。因为他们所讲的既不真实,对于未来的战士又是有害无益的。

    阿:应该监督他们这样做。

    苏:那么,让我们从史诗开始,删去下面几节:

    宁愿活在人世做奴隶啊

    跟着一个不算富裕的主人,

    不愿在黄泉之下啊

    统帅鬼魂。①

    其次,他担心对凡人和天神

    暴露了冥府的情景:

    阴暗、凄惨,连不死的神

    看了也触目心惊。②

    其次,九泉之下虽有游魂幻影,

    奈何已无知识。③

    其次,独他还有智慧知识,别人不过幻形阴影,来去飘忽不定。④

    ①《伊利亚特》ⅩⅩ64。神分成两派,一派站在希腊人一边,一派站在特洛亚人一边。请神亲自参战,以致山摇地震,吓坏了冥王哈得斯,他担心地面震裂,让人和神看到了阴间的恐怖情景。

    ②阿克琉斯梦见好友派特罗克洛斯的鬼魂,想去拥抱他。但鬼魂的阴影避开了。阿克琉斯发出了感叹。见《伊利亚特》ⅩⅩⅢ103。

    ③女神刻尔吉叫奥德修斯去地府向先知泰瑞西阿的鬼魂打听自己的前程。据她说,这位先知虽然死了,冥府王后波塞芳妮让他仍然保持着先知的智慧。见《奥德赛》Ⅹ495。

    ④古希腊人认为,人死了便不再知道人世的事,连亲人都不认识。只有受祭吃了牺牲的血时才认识还活着的人。

    其次,诗见《奥德赛》Ⅺ489—491。奥德修斯游地府看见阿克琉斯的鬼魂时,对他说了些安慰的话,称赞他死后还是英雄。阿克琉斯却表示了好死不如赖活的想法。

    魂灵儿离开了躯体,他飞往哈得斯的宫殿,

    一路痛哭着运命的不幸,把青春和刚气

    一起抛闪。①

    其次,魂飞声咽,去如烟云。②

    其次,如危岩千窟中,蝙蝠成群,

    有一失足落地,其余惊叫飞起:

    黄泉鬼魂熙攘,啾啾来去飞鸣。③

    ①关于派特罗克洛斯的死,见《伊利亚特》ⅩⅥ856。关于赫克托之死,见同书ⅩⅫ36──

    ②诗见《伊利亚特》ⅩⅩⅢ100。阿克琉斯在梦中看见派特罗克洛斯的鬼魂,象一阵烟似地消失了。

    ③诗见《奥德赛》ⅩⅩⅣ6。求婚子弟都被奥德修斯杀死。这里描写他们的鬼魂在神使赫尔墨斯引领之下去地府时的情景。

    如果我们删去这些诗句,我们请求荷马不要见怪。我们并不否认这些是人们所喜欢听的好诗。但是愈是好诗,我们就愈不放心人们去听,这些儿童和成年人应该要自由,应该怕做奴隶,而不应该怕死。

    阿:我绝对同意。

    苏:此外,我们还必须从词汇中剔除那些可怕的凄惨的名字,如“悲惨的科库托斯河”、“可憎的斯土克斯河”,以及“阴间”、“地狱”、“死人”、“尸首”等等名词。它们使人听了毛骨悚然。也许这些名词自有相当的用处,不过,目前我们是在关心护卫者的教育问题,我们担心这种恐惧会使我们的护卫者软弱消沉,不象我们所需要的那样坚强勇敢。

    阿:我们这样担心是很应该的。

    苏:那么,我们应当废除这些名词?

    阿:是的。

    苏:我们在故事与诗歌中应当采用恰恰相反的名词?

    阿:这是显而易见的。

    苏:我们要不要删去英雄人物的嚎啕痛哭?

    阿:同上面所讲的一样,当然要的。

    苏:仔细考虑一下,把这些删去究竟对不对?我们的原则是:一个好人断不以为死对于他的朋友——另一个好人,是一件可怕的事情。

    阿:这是我们的原则。

    苏:那么,他不会哀伤他朋友的死去,好象他碰到了一件可怕的事情似的。

    阿:他不会的。

    苏:我们还可以说这种人最为乐天知足。最少要求于人乃是他们的特点。

    阿:真的。

    苏:因此,失掉一个儿子,或者一个兄弟,或者钱财,或者其它种种,对他说来,丝毫不觉得可怕。

    阿:是的,毫不可怕。

    苏:因此他绝不忧伤憔悴,不论什么不幸临到他身上,他都处之泰然。

    阿:肯定如此。

    苏:那么,我们应该删去著名作者所作的那些挽歌,把它们归之于妇女(也还不包括优秀的妇女),归之于平庸的男子,使我们正在培养的护卫者,因此看不起这种人,而不去效法他们。

    阿:应该如此。

    苏:我们请求荷马以及其他诗人不要把女神的儿子阿克琉斯形容得:

    躺在床上,一忽儿侧卧,一忽儿朝天,

    一忽儿伏卧朝地。①

    然后索性爬起来

    心烦意乱踯躅于荒海之滨,②

    也不要形容他两手抓起乌黑的泥土,泼撒在自己头上③,也不要说他、长号大哭,呜咽涕泣,有如荷马所描写的那样;也不要描写普里阿摩斯那诸神的亲戚,在粪土中爬滚,

    挨个儿呼唤着人们的名字,

    向大家恳求哀告。④

    我们尤其请求诗人们不要使诸神嚎啕大哭,

    我心伤悲啊生此英儿,

    英儿在世啊常遭苦恼。⑤

    ①②见《伊利亚特》ⅩⅩⅣ10—12。描写阿克琉斯思念亡友派特罗克洛斯时的情景。

    ③见《伊利亚特》ⅩⅧ23。阿克琉斯第一次听到派特罗克洛斯战死的消息时的情景。

    ④这位特洛亚老王看见儿子赫克托死后尸体遭到凌辱,悲痛欲绝,要大家放他出城去赎回赫克托的尸体。见《伊利亚特》ⅩⅫ414。

    ⑤《伊利亚特》ⅩⅧ54。阿克琉斯的母亲,女神特提斯的话。

    对于诸神要如此,对于诸神中最伟大的神更不应当描写得太无神的庄严气象,以至于唉声叹气:

    唉呀,我的朋友被绕城穷追。

    目睹此情景我心伤悲。①

    还说:

    伤哉!最最亲爱的萨尔佩冬

    竟丧身于梅诺提阿德之子派特罗克洛斯之手

    中。②

    ①《伊利亚特》ⅩⅫ168。主神宙斯所说关于赫克托的话。

    ②见《伊利亚特》ⅩⅥ433。

    我的好友阿得曼托斯啊!倘使我们的年轻人一本正经地去听了这些关于神的故事而不以为可耻可笑,那么到了他自己——不过一个凡人——身上,对于这种类似的言行,就更不以为可鄙可笑了;他也更不会遇到悲伤,自我克制,而会为了一点小事就怨天尤人,哀痛呻吟。

    阿:你说得很对。

    苏:他们不应该这样。我们刚才的辩论已经证明这一点。

    我们要相信这个结论,除非别人能给我们另一个更好的证明。

    阿:他们实在不应该这样。

    苏:再说,他们也不应该老是喜欢大笑。一般说来,一个人纵情狂笑,就很容易使自己的感情变得非常激动。

    阿:我同意你这个想法。

    苏:那么,如果有人描写一个有价值的人捧腹大笑,不能自制,我们不要相信。至于神明,更不用说。

    阿:更不用说。

    苏:那么,我们绝不应该从荷马那里接受下面关于诸神的说法:

    赫淮斯托斯手执酒壶,

    绕着宴会大厅忙碌奔跑;

    极乐天神见此情景,

    迸发出阵阵哄堂大笑。①

    ①见《伊利亚特》Ⅰ,599。诸神看着赫淮斯托斯拐着瘸腿来往奔忙,给众神斟酒,滑稽可笑。实际上是笑话他多管闲事。在奥林波斯山上替神们斟酒本来是青春女神赫柏的任务。

    用你的话说,我们“不应该接受”它。

    阿:如果你高兴把这个说法算作我的说法,那就算是我的说法吧。反正我们不应该接受的。

    苏:我们还必须把真实看得高于一切。如果我们刚才所说不错:虚假对于神明毫无用处,但对于凡人作为一种药物,还是有用的。那么显然,我们应该把这种药物留给医生,一般人一概不准碰它。

    阿:这很清楚。

    苏:国家的统治者,为了国家的利益,有理由用它来应付敌人,甚至应付公民。其余的人一概不准和它发生任何关系。如果一般人对统治者说谎,我们以为这就象一个病人对医生说谎,一个运动员不把身体的真实情况告诉教练,就象一个水手欺骗舵手关于船只以及本人或其他水手的情况一样是有罪的,甚至罪过更大。

    阿:极是。

    苏:那么,在城邦里治理者遇上任何人,

    不管是预言者、医生还是木工,①

    或任何工匠在讲假话,就要惩办他。因为他的行为象水手颠覆毁灭船只一样,足以颠覆毁灭一个城邦的。

    阿:他会颠覆毁灭一个城邦的,如果他的胡言乱语见诸行动的话。

    苏:我们的年轻人需要不需要有自我克制的美德?

    阿:当然需要。

    苏:对于一般人来讲,最重要的自我克制是服从统治者;

    对于统治者来讲,最重要的自我克制是控制饮食等肉体上快乐的欲望。

    阿:我同意。

    苏:我觉得荷马诗里迪奥米特所讲的话很好;

    朋友,君且坐,静听我一言。②还有后面:

    阿凯亚人惧怕长官,

    静悄悄奋勇前进。③

    ①《奥德赛》ⅩⅦ383。

    ②《伊利亚特》Ⅳ412。迪奥米特对斯特涅洛斯说的话。阿加门农责备迪奥米特和斯特涅洛斯等作战不力,迪奥米特虚心接受了元帅的批评。当斯特涅洛斯反驳阿加门农时,迪奥米特制止他这样做,要求他理解和尊重元帅的批评。

    ③《伊利亚特》Ⅲ8和Ⅳ43!”

    以及其它类似的几段也很好。

    阿:说得很好。

    苏:那么,这一行怎么样?

    狗眼鼠胆,醉汉一条。①

    ①《伊利亚特》Ⅰ225。阿克琉斯辱骂阿加门农的话,骂他没有勇气亲自上前线作战。同一处还有别的骂他的话。

    后面的那几行你觉得好吗?还有其它诗歌散文中描写庸俗不堪犯上无礼的举动也好吗?

    阿:不好。

    苏:这些作品不适宜于给年轻人听到,使他们失掉自我克制。要是作为一种娱乐,我觉得还勉强可以。你的意见呢?

    阿:我同意。

    苏:再说荷马让一位最有智慧的英雄说出一席话,称赞人生最大的福分是,

    有侍者提壶酌酒,将酒杯斟得满满的,

    丰盛的宴席上麦饼、肉块堆得满满的。①

    年轻人听了这些话,对于自我克制有什么帮助?还有听了:

    生民最苦事,独有饥饿死!②

    或者听了关于宙斯:当其他诸神,已入睡乡,他因性欲炽烈,仍然辗转反侧,瞥见赫拉浓装艳抹,两情缱绻,竟迫不及待露天交合。宙斯还对妻子说,此会胜似初次幽会,

    背着他们的父母。③

    ①《奥德赛》Ⅸ8。奥德修斯对阿吉诺王说的开头几句话。

    ②《奥德赛》Ⅻ342。在存粮吃尽时奥德修斯的伙伴尤吕洛科说的话。

    ③《伊利亚特》ⅩⅣ294—341。诗见同书ⅩⅣ28!”

    于是他将一切谋划顷刻忘怀。③以及听了关于赫淮斯托斯为了战神阿瑞斯和爱神阿芙洛狄特的情事用铁链把他俩绑住的事,①对年轻人的自我克制有什么益处呢?

    ①《奥德赛》ⅤⅢ266。

    阿:据我看来,绝对没有什么益处。

    苏:至于一些名人受到侮辱而能克制忍受的言行,这些倒是值得我们让年轻人看看听听的,例如:

    他捶胸叩心责备自己:

    “我的心呀,你怎么啦?更坏的事情都忍受过来了”。①

    ①同上书ⅩⅩ17。奥德修斯回到自己家里看到混乱情况时,对自己说的话。

    阿:当然。

    苏:此外,我们不能让他们纳贿贪财。

    阿:决不能。

    苏:也不能向他们朗诵:

    钱能通神呀,钱能通君王。①

    ①见十世纪时的辞典suidas中的δωiρα条。其中告诉我们:有人认为这行诗是赫西俄德的。

    我们不应该表扬阿克琉斯的导师菲尼克斯,是他教唆阿克琉斯拿到阿凯亚人的钱,就出来保卫他们,否则决不释怒。①我们也不应该同意或者相信这种说法,说阿克琉斯是如此贪财,他曾接受阿加门农的礼物;②还曾接受了钱财,才放还人家的尸体,否则决不放还。③

    ①菲尼克斯对阿克琉斯讲的一番话。见《伊利亚特》Ⅸ515以下。菲尼克斯讲话的主旨还是想打动阿克琉斯的心,求他出战。没有“否则决不释怒”的意思。

    ②《伊利亚特》ⅩⅨ278。在荷马笔下阿克琉斯并不是一个特别贪财的人。他和阿加门农和解并答应出战主要是为了替好友派特罗克洛斯复仇。

    ③见《伊利亚特》ⅩⅩⅣ502,555,594。事指特洛亚老王普里阿摩斯送给阿克琉斯许多礼品,赎回爱子赫克托的尸体。

    阿:不应该,表扬这些事情是不应该的。

    苏:但是为了荷马,我不愿说这类事情是阿克琉斯做的。

    如有别人说,我也不愿相信。否则是不虔敬的。我也不愿相信阿克琉斯对阿波罗神说的话:

    敏捷射手,极恶之神,尔不我助!

    手无斧柯,若有斧柯,必重责汝!①还有,关于他怎样对河神凶暴无礼,准备争吵;②关于他怎样讲到他把已经许愿献给另一河神的卷发一束,献与亡友派特罗克洛斯之手中。③这许多无稽之谈,我们都是不能相信的。至于拖了赫克托的尸首绕派特罗克洛斯的坟墓疾走,并将俘虏杀死放在自己朋友的火葬堆上,这些事我们也不能信以为真。我们不能让年轻人相信阿克琉斯——女神和佩莱斯(素以自我克制闻名,且是主神宙斯之孙)的儿子,由最有智慧的赫戎扶养成人——这个英雄的性格竟如此混乱,他的内心竟有这两种毛病:卑鄙贪婪与蔑视神、人。

    ①《伊利亚特》ⅩⅫ15。

    ②阿克琉斯对斯卡曼德洛斯河神。见《伊利亚特》ⅩⅪ130。

    ③阿克琉斯的父亲曾给斯珀尔克斯河神许愿:如果阿克琉斯能平安地从特洛亚回到家乡,就把阿克琉斯的一卷长发和五十头羊作祭品献给这位河神。可现在阿克琉斯知道自己命中注定要死在特洛亚,回不去了。所以忿怒地把长发剪下献给亡友。见《伊利亚特》ⅩⅩⅢ15!”

    阿:你说得很对。

    苏:很好,让我们简直不要相信这一派胡言乱语,更不要让任何人说海神波塞顿的儿子提修斯①和主神宙斯的儿子佩里索斯掳掠妇女的骇人听闻的事情,也不要让人任意诬蔑英雄或神明的儿子,把那些无法无天、胆大妄为的行动归之于他们。让我们还要强迫诗人们否认这些事情是神的孩子们所做的,或者否认做这些事情的人是神明的后裔。总之两者他们都不应该说。他们不应该去要年轻人认为,神明会产生邪恶,英雄并不比一般人好。因为在前面讨论中我们已经说过,这种话既不虔诚,又不真实。我相信我们已经指出,神明为邪恶之源是决不可能的事情。

    ①传说,提修斯曾在佩里索斯协助下抢劫海伦,还曾和佩里索斯一起企图诱抢冥后波塞芳妮。提修斯的故事曾是一些史诗和索福克勒斯与欧里庇得斯失传悲剧的题材。

    阿:当然那是不可能的。

    苏:再说,这些荒诞不经的言行,对于听者是有害无益的。因为每个人都会认为自己的作恶没什么了不起,如果他相信这些坏事神明的子孙过去都曾做过,现在也还在做的话——

    诸神亲属,宙斯之苗裔兮,

    巍巍祭坛,伊达山之巅兮,

    一脉相承,尔炽而昌兮。①

    由于这些理由我们必须禁止这些故事的流传。否则就要在青年人心中,引起犯罪作恶的念头。

    ①诗出埃斯库洛斯失传悲剧《尼俄珀》。

    阿:我们一定要禁止。

    苏:那么,什么应该讲,什么不应该讲——在这个问题上我们还有什么要规定的呢?我们已经提出了关于诸神、神灵、英雄以及冥界的正确说法了。

    阿:我们提出了。

    苏:剩下来还须规定的恐怕是关于人的说法吧?

    阿:显然是的。

    苏:我的朋友啊,我们目前还不能对这个问题作出规定呢!

    阿:为什么?

    苏:因为我恐怕诗人和故事作者,在最紧要点上,在关于人的问题上说法有错误。他们举出许多人来说明不正直的人很快乐,正直的人很苦痛;还说不正直是有利可图的,只要不被发觉就行;正直是对人有利而对己有害的。这些话我们不应该让他们去讲,而应该要他们去歌唱去说讲刚刚相反的话。你同意我的话吗?

    阿:我当然同意。

    苏:如果你同意我所说的,我可以说你实际上已经承认我们正在讨论寻找的那个原则了。

    阿:你的想法很对。

    苏:那么,我们一定先要找出正义是什么,正义对正义的持有者有什么好处,不论别人是否认为他是正义的。弄清楚这个以后,我们才能在关于人的说法上取得一致意见,即,哪些故事应该讲,又怎样去讲。

    阿:极是。

    苏:关于故事的内容问题就讨论到这里为止,下面我们要讨论故事的形式或风格的问题。这样我们就可以把内容与形式——即讲什么和怎样讲的问题——全部检查一番了。

    阿:我不懂你的意思。

    苏:啊,我一定会使你懂的。也许你这样去看就更容易懂得我的意思了:讲故事的人或诗人所说讲的不外是关于已往、现在和将来的事情。

    阿:唔,当然。

    苏:他们说故事,是用简单的叙述,还是用摹仿,还是两者兼用?

    阿:这一点我也很想懂得更清楚一些。

    苏:哎呀!我真是一个可笑而又蹩脚的教师呀!我只好象那些不会讲话的人一样,不能一下子全部讲明白了,我只能一点一滴地讲了。《伊利亚特》开头几行里诗人讲到赫律塞斯祈求阿加门农释放他的女儿,阿加门农大为震怒。当赫律塞斯不能得到他的女儿的时候,他咒诅希腊人。请问,你知道这一段诗吗?

    阿:我知道的。

    苏:那么,你一定知道接着下面的几行:

    彼祈求全体阿凯亚人兮,

    哀告于其两元首之前,

    那一对难兄难弟,

    阿特瑞斯之两子兮。①

    这里是诗人自己在讲话,没有使我们感到有别人在讲话。在后面一段里,好象诗人变成了赫律塞斯,在讲话的不是诗人荷马,而是那个老祭司了。特洛亚故事其余部分在伊塔卡发生的一切,以及整个《奥德赛》的故事,诗人几乎都是这么叙述的。②

    ①诗见《伊利亚特》Ⅰ,15。阿凯亚人即希腊人。阿特瑞斯之两子,指的是阿加门农和其弟墨涅拉俄斯。

    ②诗人既用自己的口吻叙述,有的地方又用角色的口吻讲话。后一方法是诗人讲故事的另一方式,也是一种“叙述”。如果给以另一名称,就是“模仿”。

    阿:确是这样。

    苏:所有的道白以及道白与道白之间的叙述,都是叙述。

    对吗?

    阿:当然对的。

    苏:但是当他讲道白的时候,完全象另外一个人,我们可不可说他在讲演时完全同化于那个故事中的角色了呢?

    阿:是的。

    苏:那么使他自己的声音笑貌象另外一个人,就是模仿他所扮演的那一个人了。

    阿:当然。

    苏:在这种情况下,看来他和别的诗人是通过了模仿来叙述的。

    阿:极是。

    苏:但是如果诗人处处出现,从不隐藏自己,那么模仿便被抛弃,他的诗篇就成为纯纯粹粹的叙述。可是为了使你不再说“我不懂”,我将告诉你这事情可以怎么做。例如荷马说:

    祭司来了,手里带了赎金要把女儿领回,向希腊人特别是向两国王祈求——这样讲下去,不用赫律塞斯的口气,一直用诗人自己的口气。他这样讲就没有模仿而是纯粹的叙述。叙述大致就象这个样子:(我不用韵律,因为我不是诗人)祭司来了,祝告诸神,让希腊人夺取特洛亚城平安回去。他这样讲了,希腊人都敬畏神明,同意他的请求。但是阿加门农勃然大怒,要祭司离开,不准再来,否则他的祭司节杖和神冠都将对他毫无用处。阿加门农要和祭司的女儿终老阿尔戈斯城。他命令祭司,如果想安然回去,必须离开,不要使他恼怒。于是这个老祭司在畏惧与静默中离开了。等到离了营帐,老祭司呼唤阿波罗神的许多名号,求神回忆过去他是怎样厚待神明的,是怎样建庙祀享的,祭仪是多么丰盛。神明应当崇德报功,神矢所中应使希腊人受罚抵偿所犯的罪过。我的朋友,就这样,不用模仿,结果便是纯粹的叙述了。

    阿:我懂了。

    苏:或者你可设想恰恰相反的文体,把对话之间诗人所写的部分一概除去,仅仅把对话留下。

    阿:这我也懂得。这就是悲剧所采用的文体。

    苏:你完全猜对了我的意思。我以前不能做到,现在我想我能够明白告诉你了。诗歌与故事共有两种体裁:一种完全通过模仿,就是你所说的悲剧与戏剧;另外一种是诗人表达自己情感的,你可以看到酒神赞美歌大体都是这种抒情诗体。第三种是二者并用,可以在史诗以及其它诗体里找到,如果你懂得我的意思的话。

    阿:啊,是的,我现在懂得你的意思了。

    苏:那么,回忆一下以前说过的话。我们前面说过,在讨论完了讲什么的问题之后,应该考虑怎么讲的问题。

    阿:是的,我记得。

    苏:我的意思是说:我们必须决定下来,是让诗人通过模仿进行叙述呢?还是有些部分通过模仿,有些部分不通过模仿呢?所谓有些部分通过模仿究竟是指哪些部分?还是根本不让他们使用一点模仿?

    阿:我猜想你的问题是,要不要把悲剧与喜剧引进城邦里来。

    苏:也许是的。也许比这个问题的意义还要重大一点。说实在的,我自己也不知道。总之,不管辩论之风把我们吹到什么地方,我们就要跟着它来到什么地方。

    阿:你说得很对。

    苏:阿得曼托斯啊,在这一点上,我们一定要注意我们的护卫者应该不应该是一个模仿者?从前面所说过的来推论,每个人只能干一种行业而不能干多种行业,是不是?如果他什么都干,一样都干不好,结果一事无成。

    阿:毫无疑问就会这样。

    苏:同样的道理不是也可以应用于模仿问题吗?一个人模仿许多东西能够象模仿一种东西那样做得好吗?

    阿:当然是不能的。

    苏:那么,他更不能够一方面干着一种有价值的行业,同时又是一个模仿者,模仿许多东西了,既然同一模仿者无论如何也不能同时搞好两种模仿,哪怕是一般被认为很相近的两种模仿,譬如搞悲剧与喜剧。你不是刚才说它们是两种模仿吗?

    阿:我是这样说过的。你说得很对,同一人不可能两者都行。

    苏:同一人也不可能既是好的朗诵者,又是好的演员。

    阿:真的。

    苏:喜剧演员和悲剧演员不一样。而这些人都是模仿者,不是吗?

    阿:是的。

    苏:阿得曼托斯啊,人性好象铸成的许多很小的钱币,它们不可能成功地模仿许多东西,也不可能做许多事情本身。所谓各种模仿只不过是事物本身的摹本而已。

    阿:极是。

    苏:假使我们要坚持我们最初的原则,一切护卫者放弃一切其它业务,专心致志于建立城邦的自由大业,集中精力,不干别的任何事情,那么他们就不应该参与或模仿别的任何事情。如果他们要模仿的话,应该从小起模仿与他们专业有正当关系的人物——模仿那些勇敢、节制、虔诚、自由的一类人物。凡与自由人的标准不符合的事情,就不应该去参与或巧于模仿。至于其它丑恶的事情,当然更不应该模仿,否则模仿丑恶,弄假成真,变为真的丑恶了。你有没有注意到从小到老一生连续模仿,最后成为习惯,习惯成为第二天性,在一举一动,言谈思想方法上都受到影响吗?

    阿:的确是的。

    苏:任何我们所关心培育的人,所期望成为好人的人,我们不应当允许他们去模仿女人——一个男子反去模仿女人,不管老少——与丈夫争吵,不敬鬼神,得意忘形;一旦遭遇不幸,便悲伤憔悴,终日哭泣;更不必提模仿那在病中、在恋爱中或在分娩中的女人了。

    阿:很不应当。

    苏:他们也不应该模仿奴隶(不论女的和男的),去做奴隶所做的事情。

    阿:也不应该。

    苏:看来也不应该模仿坏人,模仿鄙夫,做和我们刚才所讲的那些好事情相反的事情——互相吵架,互相挖苦,不论喝醉或清醒的时候,讲不堪入耳的坏话。这种人的言行,不足为训,对不起人家,也对不起自己。我觉得在说话行动方面他们不应该养成简直象疯子那样的恶习惯。他们当然应该懂得疯子,懂得坏的男女,但决不要装疯作邪去模仿疯子。

    阿:极是。

    苏:那么他们能去模仿铁工、其他工人、战船上的划桨人、划桨人的指挥以及其他类似的人们吗?

    阿:那怎么可能?他们连去注意这些事情都是不准许的。

    苏:那么马嘶、牛叫、大河咆哮、海潮呼啸以及雷声隆隆等一类事情,他们能去模仿吗?

    阿:不行。已经禁止他们不但不要自己做疯子,也不要去模仿人家做疯子。

    苏:如果我理解你的话,你的意思是说:有一种叙述体是给真正的好人当他有话要讲的时候用的。另外有一种叙述体是给一个在性格和教育方面相反的人用的。

    阿:这两种文体究竟是什么?

    苏:据我看来,一个温文正派的人在叙述过程中碰到另一个好人的正派的言语行动,我想他会喜欢扮演这个角色,模拟得惟妙惟肖,仿佛自己就是这个人,丝毫不以为耻。他尤其愿意模仿这个好人坚定而明于事理时候的言谈行动;如果这个人不幸患病或性情暴躁,或酩酊大醉,或遭遇灾难,他就不大愿意去模仿他,或者模仿了也是很勉强。当他碰到一个角色同他并不相称,他就不愿意去扮演这个不如自己的人物。他看不起这种人,就是对方偶有长处值得模仿一下,他也不过偶一为之,还总觉得不好意思。他对模仿这种人没有经验,同时也会憎恨自己,竟取法乎下,以坏人坏事为陶铸自己的范本。除非是逢场作戏。他心里着实鄙视这种玩艺儿。

    阿:很可能是这样。

    苏:那么他会采用我们曾经从荷马诗篇里举例说明过的一种叙述方法,就是说,他的体裁既是叙述,又是模仿,但是叙述远远多于模仿。你同意我的说法吗?

    阿:我很同意。说故事的人必须以此为榜样。

    苏:另外有一种说故事的人,他什么都说。他的品质愈坏、就愈无顾忌,他什么东西都模仿,他觉得什么东西都值得模仿。所以他想尽方法,一本正经,在大庭广众之间什么东西都模仿,包括我刚才所提到的雷声、风声、雹声、滑轮声、喇叭声、长笛声、哨子声、各种的乐器声,他还会狗吠羊咪鸟鸣。所以他的整个体裁完全是声音姿态的模仿,至于叙述那就很少。

    阿:这种作家势必如此。

    苏:这就是我说过的两种文体。

    阿:是的。

    苏:且说,这两种体裁中有一种体裁,变化不多。如果我们给它以合适的声调和节奏,其结果一个正确的说唱者岂不是几乎只是用同一的声调同一的抑扬顿挫讲故事吗?——因为变化少,节奏也几乎相同嘛。

    阿:很对。

    苏:别一种体裁需要各种声调和各种节奏,如果给它以能表达各种声音动作的合适的唱词的话。——因为这种体裁包含各色各样的变化。

    阿:这话完全对。

    苏:是不是所有诗人、说唱者在选用体裁时,不是取上述两种体裁之一,就是两者并用呢?

    阿:那是一定的。

    苏:那么,我们怎么办?我们的城邦将接受所有这些体裁呢?还是只接受两种单纯体裁之一呢?还是只接受那个混合体裁呢?

    阿:如果让我投票选择的话,我赞成单纯善的模仿者的体裁。

    苏:可是,亲爱的阿得曼托斯,混合体裁毕竟是大家所喜欢的;小孩和小孩的老师们,以及一般人所最最喜欢的和你所要选择的恰恰相反。

    阿:它确是大家喜欢的。

    苏:但是也许你要说这与我们城邦的制度是不适合的。因为我们的人既非兼才,亦非多才,每个人只能做一件事情。

    阿:是不适合的。

    苏:这也就是为什么我们的城邦是唯一这种地方的理由:

    鞋匠总是鞋匠,并不在做鞋匠以外,还做舵工;农夫总是农夫,并不在做农夫以外,还做法官;兵士总是兵士,并不在做兵士以外,还做商人,如此类推。不是吗?

    阿:是的。

    苏:那么,假定有人靠他一点聪明,能够模仿一切,扮什么,象什么,光临我们的城邦,朗诵诗篇,大显身手,以为我们会向他拜倒致敬,称他是神圣的,了不起的,大受欢迎的人物了。与他愿望相反,我们会对他说,我们不能让这种人到我们城邦里来;法律不准许这样,这里没有他的地位。我们将在他头上涂以香油,饰以羊毛冠带,送他到别的城邦去。

    至于我们,为了对自己有益,要任用较为严肃较为正派的诗人或讲故事的人,模仿好人的语言,按照我们开始立法时所定的规范来说唱故事以教育战士们。

    阿:我们正应该这样做,假定我们有权这样做的话。

    苏:现在,我的朋友,我们可以认为已经完成了关于语言或故事的“音乐”①部分的讨论,因为我们已经说明了应该讲什么以及怎样讲法的问题。

    ①指文艺教育。

    阿:我也这样认为。

    苏:那么,是不是剩下来的还有诗歌和曲调的形式问题?

    阿:是的,显然如此。

    苏:我想任何人都可以立刻发现我们对这个问题应该有什么要求,假定我们的说法要前后一致的话。

    格(笑着):苏格拉底,我恐怕你说的“任何人”,并不包括我在里面,我匆促之间没有把握预言我们应该发表的见解是什么,虽然多少有一点想法。

    苏:我猜想你肯定有把握这样说的:诗歌有三个组成部分——词,和声,节奏。①

    ①古代希腊一曲完整的诗歌,包括诗词、节奏和和声。所谓“和声”或“和谐”是一种高低音的音调系统,即我们现在所说的歌的“曲调”或“调子”。

    格:啊,是的,这点我知道。

    苏:那么就词而论,我想唱的词和说的词没有分别,必须符合我们所讲过的那种内容和形式。

    阿:是的。

    苏:还有,调子和节奏也必须符合歌词。

    格:当然。

    苏:可是我们说过,我们在歌词里不需要有哀挽和悲伤的字句。

    格:我们不需要。

    苏:那么什么是挽歌式的调子呢?告诉我,因为你是懂音乐的。

    格:混合的吕底亚调,高音的吕底亚调,以及与此类似的一些音调属于挽歌式的调子。

    苏:那么我们一定要把这些废弃掉,因为它们对于一般有心上进的妇女尚且无用,更不要说对于男子汉了。

    格:极是。

    苏:再说,饮酒对于护卫者是最不合适的,萎靡懒惰也是不合适的。

    格:当然。

    苏:那么有哪些调子是这种软绵绵的靡靡之音呢?

    格:伊奥足亚调,还有些吕底亚调都可说是靡靡之音。

    苏:好,我的朋友,这种靡靡之音对战士有什么用处?

    格:毫无用处。看来你只剩下多利亚调或佛里其亚调了。

    苏:我不懂这些曲调,我但愿有一种曲调可以适当地模仿勇敢的人,模仿他们沉着应战,奋不顾身,经风雨,冒万难,履险如夷,视死如归。我还愿再有一种曲调,模仿在平时工作的人,模仿他们出乎自愿,不受强迫或者正在尽力劝说、祈求别人,——对方要是神的话,则是通过祈祷,要是人的话,则是通过劝说或教导——或者正在听取别人的祈求、劝告或批评,只要是好话,就从善如流,毫不骄傲,谦虚谨慎,顺受其正。就让我们有这两种曲调吧。它们一刚一柔,能恰当地模仿人们成功与失败、节制与勇敢的声音。

    阿:你所需要的两种曲调,正就是我刚才所讲过的多利亚调和佛里其亚调呀。

    苏:那么,在奏乐歌唱里,我们不需要用许多弦子的乐器,不需要能奏出一切音调的乐器。

    阿:我觉得你的话不错。

    苏:我们就不应该供养那些制造例如竖琴和特拉贡琴这类多弦乐器和多调乐器的人。

    阿:我想不应该的。

    苏:那么要不要让长笛制造者和长笛演奏者到我们城邦里来?也就是说,长笛是不是音域最广的乐器,而别的多音调的乐器仅是模仿长笛而已?

    格:这很清楚。

    苏:你只剩下七弦琴和七弦竖琴了,城里用这些乐器;在乡里牧人则吹一种短笛。

    格:我们讨论的结果这样。

    苏:我们赞成阿波罗及其乐器而舍弃马叙阿斯及其乐器。①我的朋友,这样选择也并非我们的创见。

    ①阿波罗代表理智,所用乐器为七弦琴(ah′ρα);马叙阿斯是森林之神,代表情欲,所用乐器为长笛(αh’ab)。

    格:真的!我也觉得的确不是我们的创见。

    苏:哎呀!我们无意之间已经在净化这个城邦了,我们刚才说过这个城邦太奢侈了。

    格:我们说得很有道理。

    苏:那么好,让我们继续来做净化的工作吧!曲调之后应当考虑节奏。我们不应该追求复杂的节奏与多种多样的韵律,我们应该考虑什么是有秩序的勇敢的生活节奏,进而使音步和曲调适合这种生活的文词,而不是使这种生活的文词凑合音步和曲调。但是这种节奏究竟是哪些节奏,这要由你来告诉我们,象上面你告诉我们是哪些曲调那样。

    格:这我实在说不上。音步的组成有三种形式,就象音阶的组成有四种形式一样,这些我懂得,我能够告诉你。至于哪些音步是模仿哪种生活的,这我不知道。

    苏:关于这一点,我们也要去请教戴蒙,①问他,哪些节奏适宜于卑鄙、凶暴、疯狂或其它邪恶,哪些节奏适宜于与此相反的内容。我似乎还记得戴蒙说过一些晦涩的话,谈到关于一种复合节奏的进行曲,以及长短短格以及英雄体节奏,按照我所莫名其妙的秩序排列的,有的高低相等,有的有高有低,有的长短不一;我记得似乎他称呼一种为短长格,另一种为长短格,再加上长音节或短音节。在这些谈话里有些地方,我觉得他对音步拍子所作的赞扬或贬低不减于对节奏本身所作的赞扬或贬低;也有可能情况不是这样;究竟怎样我也实在说不清楚。我刚才讲过,这些都可以去请教戴蒙。要把这些弄得明白,并不简单。你以为何如?

    ①公元前5世纪时的著名音乐家。

    格:是的,我很以为然。

    苏:不过有一点你是可以立刻决定下来的,——美与丑是紧跟着好的节奏与坏的节奏的。

    格:当然。

    苏:再说,好的节奏紧跟好的文词,有如影之随形。坏的节奏紧跟坏的文词。至于音调亦是如此。因为我们已经讲过,节奏与音调跟随文词,并不是文词去跟随节奏与音调嘛。

    格:显然是这样,这两者一定要跟随文词。

    苏:你认为文词和文词的风格怎么样?它们是不是和心灵的精神状态一致的?

    格:当然。

    苏:其它一切跟随文词?

    格:是的。

    苏:那么,好言词、好音调、好风格、好节奏都来自好的精神状态,所谓好的精神状态并不是指我们用以委婉地称呼那些没有头脑的忠厚老实人的精神状态,而是指用来称呼那些智力好、品格好的人的真正良好的精神状态。

    格:完全是这样。

    苏:那么,年轻人如果要做真正他们该做的事情,不当随时随地去追求这些东西吗?

    格:他们应该这样。

    苏:绘画肯定充满这些特点,其它类似工艺如纺织、刺绣、建筑、家具制作、动物身体以及植物树木等的自然姿态,也都充满这些品质。因为在这些事物里都有优美与丑恶。坏风格、坏节奏、坏音调,类乎坏言词、坏品格。反之,美好的表现与明智、美好的品格相合相近。

    格:完全对。

    苏:那么,问题只在诗人身上了?我们要不要监督他们,强迫他们在诗篇里培植良好品格的形象,否则我们宁可不要有什么诗篇?我们要不要同样地监督其他的艺人,阻止他们不论在绘画或雕刻作品里,还是建筑或任何艺术作品里描绘邪恶、放荡、卑鄙、龌龊的坏精神?哪个艺人不肯服从,就不让他在我们中间存在下去,否则我们的护卫者从小就接触罪恶的形象,耳濡目染,有如牛羊卧毒草中嘴嚼反刍,近墨者黑,不知不觉间心灵上便铸成大错了。因此我们必须寻找一些艺人巨匠,用其大才美德,开辟一条道路,使我们的年轻人由此而进,如入健康之乡;眼睛所看到的,耳朵所听到的,艺术作品,随处都是;使他们如坐春风如沾化雨,潜移默化,不知不觉之间受到熏陶,从童年时,就和优美、理智融合为一。

    格:对于他们,这可说是最好的教育。

    苏:亲爱的格劳孔啊!也就是因为这个缘故,所以儿童阶段文艺教育最关紧要。一个儿童从小受了好的教育,节奏与和谐浸入了他的心灵深处,在那里牢牢地生了根,他就会变得温文有礼;如果受了坏的教育,结果就会相反。再者,一个受过适当教育的儿童,对于人工作品或自然物的缺点也最敏感,因而对丑恶的东西会非常反感,对优美的东西会非常赞赏,感受其鼓舞,并从中吸取营养,使自己的心灵成长得既美且善。

    对任何丑恶的东西,他能如嫌恶臭不自觉地加以谴责,虽然他还年幼,还知其然而不知其所以然。等到长大成人,理智来临,他会似曾相识,向前欢迎,因为他所受的教养,使他同气相求,这是很自然的嘛。

    格:至少在我看来,这是幼年时期为什么要注重音乐文艺教育的理由。

    苏:这正如在我们认字的时候那样,只有在我们认识了全部字母①——它们为数是很少的——时我们才放心地认为自己是识字了。不论字大字小②我们都不敢轻忽其组成元素,不论何处我们都热心急切地去认识它们,否则,我们总觉得就不能算是真正识字了。

    ①柏拉图常常使用字母或元素(σebιgjα)来说明知识的获得、元素和复合物的关系、分类原则和理念论。

    ②柏拉图的基本原则之一认为,真实与事物的大小等看上去似乎重要的特性无关。

    格:你说得很对。

    苏:同样,比如有字母显影在水中或镜里。如果不是先认识了字母本身,我们是不会认识这些映象的。因为认识这两者属于同一技能同一学习。

    格:确是如此。

    苏:因此,真的,根据同样的道理,我们和我们要加以教育的护卫者们,在能以认识节制、勇敢、大度、高尚等等美德以及与此相反的诸邪恶的本相,也能认识包含它们在内的一切组合形式,亦即,无论它们出现在哪里,我们都能辨别出它们本身及其映象,无论在大事物中还是在小事物中都不忽视它们,深信认识它们本身及其映象这两者属于同一技能同一学习——在能以做到这样之前我们和我们的护卫者是不能算是有音乐文艺教养的人的。不是吗?

    格:确实是的。

    苏:那么如果有一个人,在心灵里有内在的精神状态的美,在有形的体态举止上也有同一种的与之相应的调和的美,——这样一个兼美者,在一个能够沉思的鉴赏家眼中岂不是一个最美的景观?

    格:那是最美的了。

    苏:再说,最美的总是最可爱的。

    格:当然。

    苏:那么,真正受过乐的教育的人,对于同道,气味相投,一见如故;但对于混身不和谐的人,他避之唯恐不远。

    格:对于心灵上有缺点的人,他当然厌恶;但对于身体有缺点的人,他还是可以爱慕的。

    苏:听你话的意思,我猜想你有这样的好朋友,不过我也赞成你作这样的区别。只是请你告诉我:放纵与节制能够并行不悖吗?

    格:怎么能够?过分的快乐有如过分的痛苦可以使人失态忘形。

    苏:放纵能和别的任何德行并行不悖吗?

    格:不能。

    苏:能和横暴与放肆并行不悖吗?

    格:当然。

    苏:还有什么快乐比色欲更大更强烈的吗?

    格:没有,没有比这个更疯狂的了。

    苏:正确的爱难道不是对于美的有秩序的事物的一种有节制的和谐的爱吗?

    格:我完全同意。

    苏:那么,正确的爱能让任何近乎疯狂与近乎放纵的东西同它接近吗?

    格:不能。

    苏:那么,正确的爱与纵情任性,泾渭分明。真正的爱者与被爱者决不与淫荡之徒同其臭味。

    格:真的,苏格拉底,它们之间断无相似之处。

    苏:这样很好,在我们正要建立的城邦里,我们似乎可以规定这样一条法律:一个爱者可以亲吻、昵近、抚摸被爱者,象父亲对儿子一样;如要求被爱者做什么也一定是出于正意。在与被爱者的其他形式的接触中,他也永远不许有任何越此轨道的举动,否则要谴责他低级趣味,没有真正的音乐文艺教养。

    格:诚然。

    苏:那么,你也同意我们关于音乐教育的讨论可以到此结束了吧?据我看来,这样结束是很恰当的。音乐教育的最后目的在于达到对美的爱。

    格:我同意。

    苏:音乐教育之后,年轻人应该接受体育锻炼。

    格:当然。

    苏:体育方面,我们的护卫者也必须从童年起就接受严格的训练以至一生。我所见如此,不知你以为怎样?因为我觉得凭一个好的身体,不一定就能造就好的心灵好的品格。相反,有了好的心灵和品格就能使天赋的体质达到最好,你说对不对?

    格:我的想法同你完全一样。

    苏:倘使我们对于心灵充分加以训练,然后将保养身体的细节交它负责,我们仅仅指出标准,不啰嗦,你看这样行不行?

    格:行。

    苏:我们说过护卫者必须戒除酗酒,他们是世界上最不应该闹酒的人,人一闹酒就胡涂了。

    格:一个护卫者要另外一个护卫者去护卫他,天下哪有这样荒唐的事?

    苏:关于食物应该怎样?我们的护卫者都是最大竞赛中的斗士,不是吗?

    格:是的。

    苏:我们目前所看到的那些斗士,他们保养身体的习惯能适应这一任务吗?

    格:也许可以凑合。

    苏:啊,他们爱睡,这是一种于健康很危险的习惯。你有没有注意到,他们一生几乎都在睡眠中度过,稍一偏离规定的饮食作息的生活方式,他们就要害严重的疾病吗?

    格:我注意到了这种情况。

    苏:那么,战争中的斗士应该需要更多样的锻炼。他们有必要象终宵不眠的警犬;视觉和听觉都要极端敏锐;他们在战斗的生活中,各种饮水各种食物都能下咽;烈日骄阳狂风暴雨都能处之若素。

    格:很对。

    苏:那么,最好的体育与我们刚才所描叙的音乐文艺教育难道不是很相近相合吗?

    格:你指的什么意思?

    苏:这是指一种简单而灵活的体育,尤其是指为了备战而进行的那种体育锻炼。

    格:请问具体办法。

    苏:办法可以从荷马诗里学得。你知道在战争生活中英雄们会餐时,荷马从不给他们鱼吃,虽然队伍就驻扎在靠近赫勒斯滂特海岸那里①;他也从不给他们炖肉吃,只给烤肉,因为这东西战士最容易搞,只要找到火就行了,什么地方都可以,不必随身带许多罈罈罐罐。

    ①黑海通地中海的海峡口,现达达尼尔海峡。

    格:确是如此。

    苏:据我所知,荷马也从未提到过甜食。这不是每一个从事锻炼的战士都可以理解的事情吗?——要把他们的身体练好,这种东西是一定要戒掉的。

    格:他们懂得这个道理,并且把这种东西戒除了。他们做得对。

    苏:那么,我的朋友,既然你觉得这是对的,你当然就不会赞成叙拉古的宴会和西西里的菜肴了。

    格:我不会赞成的。

    苏:你也不会让一个男子弄一个科林斯女郎来做他的情妇吧,如果要他把身体保养好的话。

    格:当然不会。

    苏:你也不会赞成有名的雅典糕点的吧?

    格:一定不会。

    苏:因为我认为所有这种混杂的饮食很象多音调多节奏的诗歌作品。

    格:诚然。

    苏:复杂的音乐产生放纵;复杂的食品产生疾病。至于朴质的音乐文艺教育则能产生心灵方面的节制,朴质的体育锻炼产生身体的健康。

    格:极是。

    苏:一旦放纵与疾病在城邦内泛滥横溢,岂不要法庭药铺到处皆是,讼师医生趾高气扬,虽多数自由人也将不得不对他们鞠躬敬礼了。

    格:这是势所必至的。

    苏:奇货可居的医生、法官,不仅为一般老百姓和手艺人所需要,也为受过自由人类型教育的人们所需要。你们能看到还有什么更足以证明一个城邦教育又丑又恶的呢?这些法官、医生全是舶来品(因为你们自己中间缺少这种人才),你不认为这是教育丑恶可耻到了极点的明证吗?

    格:没有比这个更可耻的了。

    苏:啊,还有一种情况你是不是觉得比刚才说的那种情况还要可耻呢?一个人不仅把自己的大部分时光花在法庭上打官司,忽而做原告,忽而做被告;而且还由于不知怎样生活更有意义,一天到晚耍弄滑头,颠倒是非,使用各种推论、借口、诡计、阴谋,无理也要说出理来;而所有这一切努力又都不过是为了无聊的争执。因为,他不知道抛开那些漫不经心的陪审员安排自己的生活要美好高尚得多。

    格:真的,这种比前面所讲的更可耻了。

    苏:除了受伤或偶得某种季节病而外,一个人到处求医,岂不更是可耻?由于游手好闲和我们讲过的那种好吃贪睡的生活方式,身子象一块沼泽地一样充满风湿水气,逼使阿斯克勒比斯①的子孙们不得不创造出腹胀、痢疾之类的病名来,岂不更是可耻?

    ①特洛亚战争时希腊军中的医生。

    格:这确是些古怪的医学名词。

    苏:我想在阿斯克勒比斯本人的时期,是没有这种东西的。我是根据特洛亚的故事这样推想的。当欧律皮吕斯①在特洛亚负伤时,那个妇人给他吃普拉纳酒,上面撒了大麦粉和小块乳酪,显然是一服热药。那个时候所有医生并没有说她用错了药,也没有说当看护的派特罗克洛斯犯了什么错误。

    ①柏拉图大概是凭自己记忆引用荷马史诗的。这里的说法与现行史诗所记有出入。《伊利亚特》Ⅺ624处说是赫卡墨得把酒调给马卡昂和温斯托尔喝的。

    格:受了伤,给他服这种药确是古怪。

    苏:如果你记得在赫罗迪科斯以前医生并不用我们现在的这些药物治病的话,你就不会感到古怪了。赫罗迪科斯是一个教练员,因为他有病,他把体操和医术混而为一,结果先主要折磨了自己,然后又折磨了许多后来人。

    格:怎么会的?

    苏:他身患不治之症,靠了长年不断的细心照料自己,居然活了好多年。但他的痼病始终没能治好。就这么着,他一生除了医疗自己外,什么事都没干,一天到晚就是发愁有没有疏忽了规定的养生习惯;他靠了自己的这套医术,在痛苦的挣扎中夺得了年老而死的锦标①。

    ①柏拉图是不赞成这样对待疾病的。揶揄讥讽的口气跃然纸上。

    格:这可是对他医道的崇高奖品啊!

    苏:他得之无愧呢。他这种人不知道,阿斯克勒比斯并不是因为不知道或不熟悉这种医道而不传给他的后代,而是因为他懂得在有秩序的城邦里,每一个人都有他应尽的职务。人们没有工夫来生病,不可能一生没完没了地治病。我们在工人中间看到这种情况会觉得荒唐不经的,可是在有钱的人和所谓有福的人中间看到这种情况就视若无睹了。

    格:怎么会这样的?

    苏:一个木工当他病了要医生给他药吃,把病呕吐出来,或者把病下泻出来,或者用烧灼法或者动手术。但是,如果医生叫他长期疗养搞满头包包扎扎的那一套,他会立刻回答,说他没有工夫生病,一天到晚想着病痛,把当前工作搁置一旁,过这种日子没有意思。他就要同医生说声再会,回家仍去干他原来的活儿去了。他也许身体居然变好了,活下去照常工作,也许身体吃不消,抛弃一切麻烦,死了算了。

    格:这种人可称为善于利用医道的人。

    苏:是不是因为他有一种工作要做,如果做不了,他就不值得活下去?

    格:显然是这样。

    苏:可是我们并不说一个有钱的人也有这种规定的工作要做,不做他就觉得不值得活下去。

    格:据我所知,不是这样。

    苏:哎呀!你有没有听到过福库利得斯说的话“吃饱饭以后①应该讲道德。”

    ①或译为“有了钱以后……”

    格:我想吃饱饭以前也应该讲道德。

    苏:好,让我们不要和他在那一点上争吵。让我们先弄清这一点:有钱人①要不要讲道德?如果不要讲,活了是不是有意思?一天到晚当心身体,对他们遵从福库利得斯的劝告,有没有妨碍?虽然对于专搞木工以及其它工艺的人无疑是一大障碍。

    ①有钱人自然是“吃饱饭以后……”

    格:的确,在体育锻炼之外再过分当心身体①,对这方面是一个最大的妨碍。

    ①在《高尔吉亚》篇(464b),医术被认为就是体操。

    苏:这样对于家务管理、军事服役、上班办公都造成了不少累赘。最坏的是使任何学习、思考或沉思冥想都变得困难。自朝至暮老是疑心着头痛目眩、神经紧张,而且把这些都委过于哲学研究,说它是总的起因。这样便使人老觉得身上有这种那种的不舒服,老是烦恼。这对于学习、沉思这类的道德实践和锻炼简直是一种绊脚石。

    格:当然会这样的。

    苏:那么,我们可以说阿斯克勒比斯是早已知道这个道理了;对于那些体质好生活习惯健康,仅只有些局部疾病的人,他教给了医疗方法,用药物或外科手术将病治好,然后吩咐他们照常生活,不妨碍各人尽公民的义务。至于内部有严重全身性疾病的人,他不想用规定饮食以及用逐渐抽出或注入的方法来给他们以医疗,让他痛苦地继续活下去,让他再产生体质同样糟糕的后代。对于体质不合一般标准的病人,他则认为不值得去医治他,因为这种人对自己对国家都没有什么用处。

    格:照你说来,阿斯克勒比斯真是一个最有政治头脑的人呀!

    苏:显然是的。他的孩子们也是这样的人,在特洛亚战场上都是好战士,又是好医生,他们①就是用我上面所讲的那种医疗方法给人治伤的。——这你知道吗?墨涅拉俄斯被潘达洛斯射了一箭,受了伤,他们①把瘀血吸出,敷上了些缓解草药。

    他们并没有给他规定饮食,同从前对欧律皮吕斯一样,他们以为对于那些在受伤以前体质原来很好,生活简朴的人,受伤以后敷这么一层草药就够了,虽然偶然也喝一种奶酒。但是对于那些先天病弱又无节制的人,他们则认为这种人活了于己于人都无用处,他们的医道不是为这班人服务的。这种人虽富过弥达斯②,他们也不给他治疗。——这些故事你还记得吗?

    ①柏拉图引文有出入。《伊利亚特》Ⅳ218处说,给墨涅拉俄斯治伤的是马卡昂。因此,这两处都应该用“他”而不是用“他们”。

    ②希腊神话中的佛里其亚国王。他贪恋财富,曾祈求神明赐他点物成金的法术。

    格:让你这么一说,阿斯克勒比斯的这些孩子真了不起呀!

    苏:他们确是这样。但是悲剧家们和诗人品达的说法和我们的原则有分歧。他们说阿斯克勒比斯是阿波罗神的儿子,他受了贿去医治一个要死的富人,因此被闪电打死。根据前面我们讲过的原则,我们不相信悲剧家和品达的说法。我们认为,如果他是神的儿子,肯定他是不贪心的,如果他是贪心的,他就不是神的儿子。

    格:就此为止,你说得再对不过了。但是苏格拉底,我有一个问题,看你怎么答复?我们在城邦里要不要有好的医生?

    是不是最好的医生应当是医治过最大多数病人的(包括天赋健全的与不健全的)?同样,最好的法官是否应该是同各色各样品格的人都打过交道的?

    苏:无疑我们要好的医生和好的法官。但是你知道我所谓“好的”是什么意思吗?

    格:我不知道,除非你告诉我。

    苏:好,让我来试试看。我说你把两样不同的事情混在一个问题里了。

    格:什么意思?

    苏:医生假使从小就学医,对各色各样的病人都有接触,对各种疾病还有过切身的体验(如果他们自己体质并不太好的话),那么这样的医生确实可能成为极有本领的医生。因为我想,他们并不是以身体医治身体,如果是以身体治身体,我们就不应该让他们的身体有病或者继续有病。他们是用心灵医治身体,如果心灵原来坏的或者变坏了的,他们就不可能很好地医病了。

    格:你说得对。

    苏:至于法官,我的朋友,那是以心治心。心灵决不可以从小就与坏的心灵厮混在一起,更不可犯罪作恶去获得第一手经验以便判案时可以很快地推测犯罪的过程,好象医生诊断病人一样。相反,如果要做法官的人心灵确实美好公正,判决正确,那么他们的心灵年轻时起就应该对于坏人坏事毫不沾边,毫无往还。不过这样一来,好人在年轻时便显得比较天真,容易受骗,因为他们心里没有坏人心里的那种原型。

    格:他们的确有此体验。

    苏:正因为这样,所以一个好的法官一定不是年轻人,而是年纪大的人。他们是多年后年龄大了学习了才知道不正义是怎么回事的。他们懂得不正义,并不是把它作为自己心灵里的东西来认识的,而是经过长久的观察,学会把它当作别人心灵里的别人的东西来认识的,是仅仅通过知识,而不是通过本人的体验认识清楚不正义是多么大的一个邪恶的。

    格:这样的法官将被认为是一个最高贵的法官。

    苏:并且是一个好的法官。你的问题的要旨就在“好的”这两个字上,因为有好心灵的人是“好的”。而那种敏于怀疑的狡诈之徒,以及那种自己干过许多坏事的人和认为自己手段高明瞒得过人的人,当他和自己同类人打交道时,他注视着自己心灵里的原型,便显得聪明能干,但是当他和好人或老一辈的人相处时,他便显得很蠢笨了,因为,不当怀疑的他也怀疑。见了好人,他也不认识,因为他自己心里没有好的原型。可是,因为他碰到的坏人比好人多得多,所以无论他自己还是别人就都觉得他似乎是一个聪明人而不是一个笨蛋了。

    格:的确是这样。

    苏:因此,好而明察的理想法官决不是这后一种人,而是前一种人。因为邪恶决不能理解德性和邪恶本身,但天赋的德性通过教育最后终能理解邪恶和德性本身。因此据我看来,不是那种坏人而是这种好人,才能做一个明察的法官。

    格:我同意。

    苏:那么,你要不要在城邦里把我们所说过的医疗之术以及司法之术制订为法律呢?这两种法律都对那些天赋健全的公民的身体和心灵抱有好意;而对那些身体不健全的,城邦就让其死去;那些心灵天赋邪恶且又不可救药的人,城邦就毫不姑息处之以死。

    格:这样做已被证明对被处理者个人和城邦都是最好的事情。

    苏:这样,年轻人接受了我们说过的那种简单的音乐文艺教育的陶冶,养成了节制的良好习惯,他们显然就能自己监督自己,不需要打官司了。

    格:是的。

    苏:这种受过音乐教育的青年,运用体育锻炼(如果他愿意的话),通过同样苦练的过程,他会变得根本不需要什么医术,除非万不得已。

    格:我也这样想。

    苏:再说,在不畏艰辛苦练身体的过程中,他的目的主要在锻炼他心灵的激情部分,不是仅仅为了增加体力,他同一般运动员不一样,一般运动员只注意进规定的饮食,使他们力气大臂膀粗而已。

    格:你说得对极了。

    苏:因此,把我们的教育建立在音乐和体育上的那些立法家,其目的并不象有些人所想象的那样,在于用音乐照顾心灵,用体育照顾身体。格劳孔,我可以这样说吗?

    格:为什么不可以?

    苏:他们规定要教音乐和体育主要是为了心灵。

    格:怎么会的?

    苏:你有没有注意到一生专搞体育运动而忽略音乐文艺教育对于心灵的影响是怎样的?反之,专搞音乐文艺而忽略体育运动的影响又是怎样的?

    格:你指的是什么?

    苏:我指的一是野蛮与残暴,另一是软弱与柔顺。

    格:啊,很对。我注意到那些专搞体育锻炼的人往往变得过度粗暴,那些专搞音乐文艺的人又不免变得过度软弱。

    苏:天性中的激情部分的确会产生野蛮;如果加以适当训练就可能成为勇敢,如果搞得过了头,就会变成严酷粗暴。

    格:我也这样看法。

    苏:再说,温文是不是人性中爱智部分的一种性质?是不是这种性质过度发展便会变为过分软弱,如培养适当就能变得温文而秩序井然?是不是这样?

    格:确是这样。

    苏:但是我们说我们的护卫者需要两种品质兼而有之。

    格:他们应该这样。

    苏:那么这两种品质要彼此和谐吗?

    格:当然要。

    苏:有这种品质和谐存在的人,他的心灵便既温文而又勇敢。

    格:诚然。

    苏:没有这种和谐存在的人便既怯懦而又粗野。

    格:的确这样。

    苏:好;假定一个人纵情乐曲,让各种曲调唱腔,甜的、软的、哭哭啼啼的(象我们刚才所讲过的那些),醍糊灌顶似地,把耳朵当作漏斗,注入心灵深处,假使他全部时间都沉溺于丝弦杂奏歌声宛转之间,初则激情部分(如果有的话),象铁似的由粗硬变得柔软,可以制成有用的器具。倘若他这样继续下去,象着了魔似的,不能适可而止,他就开始融化了,液化了,分解了。结果就会激情烟消云散,使他萎靡不振,成为一个“软弱的战士”。①

    ①《伊利亚特》ⅩⅦ588。

    格:极是。

    苏:如果①他一开始就不是一个天性刚强的人,这种萎靡不振的恶果很快就会出现。如果①原来是一个刚强的人,经过刺激情绪就会变得不稳定,容易生气,也容易平静。结果便成了一个爱同人吵架爱发脾气的喜怒无常性情乖张的人。

    ①都包括一个大前提:即,全部时间只搞音乐文艺,不搞体育锻炼。

    格:确实如此。

    苏:再说,如果一个人全副精神致力于身体的锻炼,胃口好食量大,又从来不学文艺和哲学,起初他会变得身强力壮,心灵充满自信,整个人变得比原来更勇敢。你看他会这样吗?

    格:他真会这个样子的。

    苏:不过,要是他除了搞体操训练外,别无用心,怕见文艺之神,结果会怎么样呢?对于学习科研从来没有尝过一点滋味,对于辩证推理更是一窍不通,他心灵深处可能存在的爱智之火光难道不会变得暗淡微弱吗?由于心灵没有得到启发和培育,感觉接受能力没有得到磨练,他会变得耳不聪目不明。不是吗?

    格:诚然。

    苏:结果,我以为这种人会成为一个厌恶理论不知文艺的人,他不用论证说服别人,而是象一只野兽般地用暴力与蛮干达到自己的一切目的。在粗野无知中过一种不和谐的无礼貌的生活。

    格:完全是这样。

    苏:为这两者,似乎有两种技术——音乐和体育(我要说这是某一位神赐给我们人类的)——服务于人的两个部分——爱智部分和激情部分。这不是为了心灵和身体(虽然顺便附带也为了心灵和身体),而是为了使爱智和激情这两部分张弛得宜配合适当,达到和谐。

    格:看来如此。

    苏:因此,那种能把音乐和体育配合得最好,能最为比例适当地把两者应用到心灵上的人,我们称他们为最完美最和谐的音乐家应该是最适当的,远比称一般仅知和弦弹琴的人为音乐家更适当。

    格:讲得有理,苏格拉底。

    苏:那么,格劳孔,在这方面,是不是我们也需要一个常设的监护人呢,如果城邦的宪法要加以监护的话?

    格:当然非常需要。

    苏:关于教育和培养公民的原则纲要就是这些。一一细述他们的跳舞、打猎、跑狗、竞技、赛马,试问有什么必要呢?

    细节必须符合纲要,大纲定了,细节就不难发现,这是一清二楚的事情。

    格:也许就不困难了。

    苏:那么好,下面我们要确定什么呢?是不是要决定,公民里面哪些人是统治者,哪些人是被统治者呢?

    格:显然是的。

    苏:统治者必须是年纪大一点的,被统治者必须是年纪小一点的。这是显然的吗?

    格:是显然的。

    苏:统治者必须是他们中间最好的人。这也是明显的吗?

    格:也是明显的。

    苏:最好的农民是最善于种田的人,是不是?

    格:是的。

    苏:那么,现在既然要选择的是护卫者中最好的,我们不是要选择最善于护卫国家的人吗?

    格:是的。

    苏:那么,他们除了首先应当是有护卫国家的智慧和能力的人而外,难道不还应当是一些真正关心国家利益的人吗?

    格:当然应当是。

    苏:一个人总最关心他所爱的东西。

    格:必然如此。

    苏:又,一个人总是最爱那些他认为和自己有一致利益,和自己得失祸福与共的东西的。

    格:确是这样。

    苏:那么,我们必须从所有护卫者里选择那些在我们观察中显得最愿毕生鞠躬尽瘁,为国家利益效劳,而绝不愿做任何不利于国家的事情的人。

    格:选择这些人是最妥当的了。

    苏:其次,我觉得,我们还得随时考察他们,看他们是否能终身保持这种护卫国家的信念,是否既非魔术又非武力所能于不知不觉之间使他们放弃为国尽力的信念①的?

    ①δk′ξα“决定”、“意见”。这里译“信念”,比较明达些。

    格:你所说的“放弃”是指的什么?

    苏:让我来告诉你。我觉得,一个意见①之离开心灵,或为自愿的,或为不自愿的。一个错误意见离开学好了的人是自愿的离开,一切正确意见的离开是不自愿的离开。

    ①“意见”,和前注“信念”是一个词,在希腊文同为δk′ξα。

    格:我理解自愿的那个,但是我希望听你讲讲不自愿的那个。

    苏:啊,可以。人们总是不愿意失掉好的东西,而愿意丢掉坏的东西,你同意我这个想法吗?难道在真理上的受骗不是坏事,得到真理不是好事吗?你难道不认为取得反映真实的意见是得到真理吗?

    格:你说得很对。我也认为,人们的正确意见总是不愿被剥夺的。

    苏:不自愿的放弃总是发生在人们被巧取豪夺——或被欺骗诱惑或被强力压迫的情况下。

    格:此刻你讲的巧取豪夺的两种情况是什么意思我都不懂。

    苏:我一定是象悲剧角色在讲话,有点晦涩了。所谓“被欺骗诱惑”,我的意思是指人们经过辩论,被人说服了,或者经过一段时间忘掉了,于不知不觉间放弃了原来的意见。现在你也许懂了吧?

    格:是的。

    苏:所谓“被强力压迫”,我的意思是指有些困苦或忧患逼得人们改变了原有的意见。

    格:我也懂了。我想你所说的是对的。

    苏:至于“被欺骗诱惑者”我想你会同意我是指那些人:

    他们受享乐引诱,或者怕字当头,有所畏惧,改变了意见。

    格:是的,凡是带欺骗性的东西,总是起一种魔术般的迷惑作用。

    苏:言归正传,我们必须寻找坚持原则孜孜不倦为他们所认为的国家利益服务的那些护卫者。我们必须从他们幼年时起,就考察他们,要他们做工作,在工作中考察他们。其中有的人可能会忘掉那个原则,受了欺骗。我们必须选择那些不忘原则的,不易受骗的人做护卫者,而舍弃其余的人。你同意吗?

    格:同意。

    苏:再者,劳筋骨、苦心志,见贤思齐,我们也要在这些方面注意考察他们。

    格:极是。

    苏:好,让我们再进行第三种反欺骗诱惑的考察,看他们是否经得起。你知道人们把小马带到嘈杂喧哗的地方去,看它们怕不怕;同样,我们也要把年轻人放到贫穷忧患中去,然后再把他们放到锦衣玉食的环境中去,同时,比人们用烈火炼金制造金器还要细心得多地去考察他们,看他们受不受外界的引诱,是不是能泰然无动于衷,守身如玉,做一个自己的好的护卫者,是不是能护卫自己已受的文化修养,维持那些心灵状态在他身上的谐和与真正的节奏(这样的人对国家对自己是最有用的)。人们从童年、青年以至成年经过考验,无懈可击,我们必须把这种人定为国家的统治者和护卫者。当他生的时候应该给予荣誉,死了以后给他举行公葬和其他的纪念活动。那些不合格的人应该予以排斥。格劳孔啊!我想这就是我们选择和任命统治者和护卫者的总办法。当然这仅仅是个大纲,并不是什么细节都列出来了。

    格:我同意,大体上我也觉得事情应该这样做。

    苏:我们的确可以在最完全的涵义上称这些人为护卫者。

    他们对外警惕着敌人,内部注意朋友,以致朋友不愿,敌人不敢危害城邦。至于刚才我们称之为护卫者的那些人中的年轻人,则我们称之为辅助者或助手,他们是执行统治者法令的。是这样吧?

    格:我也认为是这样。

    苏:不久前①,我们刚谈到过偶然使用假话的问题,现在我们或许可以用什么方法说一个那样的高贵的假话,使统治者自己相信(如果可能的话),或者至少使城邦里其他的人相信(如果不能使统治者相信的话)。

    ①389b以下。

    格:什么假话?

    苏:并没什么新奇的。这是一个老早以前在世界上许多地方流传过的腓尼基人的传说。它是诗人告诉我们,而我们也信以为真的一个故事。但是这样的故事在我们今天已听不到,也不大可能再听到,它也没有任何说服力可以使人相信的了。

    格:你似乎吞吞吐吐很不愿意直说出来。

    苏:等我讲了你就会懂得我为什么不肯直说了。

    格:快讲吧,不要怕。

    苏:那么好,我就来讲吧。不过,我还是没有把握我是否能有勇气,是否能找到什么语言来表达我的意思,首先说服统治者们自己和军队,其次说服城邦的其他人:我们给他们教育和培养,其实他们一切如在梦中。实际上他们是在地球深处被孕育被陶铸成的,他们的武器和装备也是在那里制造的;

    地球是他们的母亲,把他们抚养大了,送他们到世界上来。他们一定要把他们出生的土地看作母亲看作保姆,念念不忘,卫国保乡,御侮抗敌,团结一致,有如亲生兄弟一家人似的。

    格:现在我明白你刚才为什么欲言又止,不肯把这个荒唐故事直说出来的了。

    苏:我这样做自有我的理由;不去管它,且听下文。我们在故事里将要告诉他们:他们虽然一土所生,彼此都是兄弟,但是老天铸造他们的时候,在有些人的身上加入了黄金,这些人因而是最可宝贵的,是统治者。在辅助者(军人)的身上加入了白银。在农民以及其他技工身上加入了铁和铜。但是又由于同属一类,虽则父子天赋相承,有时不免金父生银子,银父生金子,错综变化,不一而足。所以上天给统治者的命令最重要的就是要他们做后代的好护卫者,要他们极端注意在后代灵魂深处所混合的究竟是哪一种金属。如果他们的孩子心灵里混入了一些废铜烂铁,他们决不能稍存姑息,应当把他们放到恰如其分的位置上去,安置于农民工人之间;如果农民工人的后辈中间发现其天赋中有金有银者,他们就要重视他,把他提升到护卫者或辅助者中间去。须知,神谕曾经说过“铜铁当道,国破家亡”,你看你有没有办法使他们相信这个荒唐的故事?

    格:不,这些人是永远不会相信这个故事的。不过我看他们的下一代会相信的,后代的后代子子孙孙迟早总会相信的。

    苏:我想我是理解你的意思的。就是说,这样影响还是好的,可以使他们倾向于爱护他们的国家和他们相互爱护。我想就这样口头相传让它流传下去吧!

    现在让我们武装这些大地的子孙们,指导他们在统治者的导引下迈步前进。让他们去看看城邦里最适宜于扎营的地方,从那里他们可以对内镇压不法之徒,对外抗虎狼般的入侵之敌。扎下营盘祭过神祇之后,他们必须做窝。你同意我这个说法吗?

    格:我同意。

    苏:这些窝要能冬天暖和夏天宽敞吗?

    格:当然是的。因为我想你是指他们的住处。

    苏:是的,我是指兵士的营房,不是指商人的住房。

    格:这两者分别在哪里?

    苏:让我来告诉你。对牧羊人来说,人世上最可怕最可耻的事情实在莫过于把那些帮助他们管羊群的猎犬饲养成这个样子:它们或因放纵或因饥饿或因别的坏脾气,反而去打击和伤害所保管的羊群,它们倒象是豺狼而不象是猎犬了。

    格:确是可怕。

    苏:那么我们要不要注意用我们所能的一切方法防止我们的助手用任何这样的态度来对付人民,并且由于自己比较强,因而使自己由一个温和的朋友变成了一个野蛮的主子呢?

    格:我们一定要这样。

    苏:他们要是受过真正好的教育,他们在这方面不就有了主要的保证了吗?

    格:他们已经受过好教育了呀!

    苏:我们还不能肯定这样说,亲爱的格劳孔,不过我们可以肯定正在说的那句话,他们一定要有正确的教育(不管它是什么),使他们不仅主要能够对他们自己温文和蔼,而且对他们所治理的人们也温文和蔼。

    格:这话很对。

    苏:那么,除了好的教育之外,任何明白事理的人都要说,我们必须给他们住处给他们别的东西,使他们得以安心去做优秀的保卫者,而不要迫使他们在老百姓中间为非作歹。

    格:这话说得极是。

    苏:好,请考虑一下,如果要他们做优秀的护卫者,象我们所希望的那样,下述这种生活方式,这种住处能行吗?第一,除了绝对的必需品以外,他们任何人不得有任何私产。第二,任何人不应该有不是大家所公有的房屋或仓库。至于他们的食粮则由其他公民供应,作为能够打仗既智且勇的护卫者职务的报酬,按照需要,每年定量分给,既不让多余,亦不使短缺。他们必须同住同吃,象士兵在战场上一样。至于金银我们一定要告诉他们,他们已经从神明处得到了金银,藏于心灵深处,他们更不需要人世间的金银了。他们不应该让它同世俗的金银混杂在一起而受到沾污;因为世俗的金银是罪恶之源,心灵深处的金银是纯洁无瑕的至宝。国民之中只有这些护卫者不敢与金和银发生任何关系,甚至不敢接触它们,不敢和它们同居一室,他们不敢在身上挂一点金银的装饰品或者用金杯银杯喝一点儿酒;他们就这样来拯救他们自己,拯救他们的国家。他们要是在任何时候获得一些土地、房屋或金钱,他们就要去搞农业、做买卖,就不再能搞政治做护卫者了。他们就从人民的盟友蜕变为人民的敌人和暴君了;他们恨人民,人民恨他们;他们就会算计人民,人民就要谋图打倒他们;他们终身在恐惧之中,他们就会惧怕人民超过惧怕国外的敌人。结果就会是,他们和国家一起走上灭亡之路,同归于尽。

    苏:根据以上所有的理由,让我们就怎样供给护卫者以住处及其它的一切达成一致意见,并且制定为法律吧。我们要不要这样?

    格:完全要。

    第四卷

    〔到此阿得曼托斯插进来提出一个问题。〕

    阿:苏格拉底,假如有人反对你的主张,说你这是要使我们的护卫者成为完全没有任何幸福的人,使他们自己成为自己不幸的原因;虽然城邦确乎是他们的,但他们从城邦得不到任何好处,他们不能象平常人那样获得土地,建造华丽的住宅,置办各种奢侈的家具,用自己的东西献祭神明,款待宾客,以争取神和人的欢心,他们也不能有你刚才所提到的金和银以及凡希望幸福的人们常有的一切;我们的护卫者竟穷得全象那些驻防城市的雇佣兵,除了站岗放哨而外什么事都没有份儿那样。——对于这种指责你怎么答复呢?

    苏:嗯,我还可以替他们补充呢:我们的护卫者只能得到吃的,除此而外,他们不能象别的人那样,再取得别的报酬;因此,他们要到那里去却不能到那里去;他们没钱给情人馈赠礼品,或在其他方面象那些被认为幸福的人那样随心所欲地花钱。诸如此类的指责我还可以补充许许多多呢。

    阿:如果这些话一并包括在指责里,怎么样呢?

    苏:你是问我们怎样解答吗?

    阿:是的。

    苏:如果我们沿着这个路子论证下去,我相信我们会找到答案的。我们的答案将是:我们的护卫者过着刚才所描述的这种生活而被说成是最幸福的,这并没有什么可奇怪的。因为,我们建立这个国家的目标并不是为了某一个阶级的单独突出的幸福,而是为了全体公民的最大幸福;因为,我们认为在一个这样的城邦里最有可能找到正义,而在一个建立得最糟的城邦里最有可能找到不正义。等到我们把正义的国家和不正义的国家都找到了之后,我们也许可以作出判断,说出这两种国家哪一种幸福了。当前我认为我们的首要任务乃是铸造出一个幸福国家的模型来,但不是支离破碎地铸造一个为了少数人幸福的国家,而是铸造一个整体的幸福国家。

    (等会儿我们还要考察相反的那种国家①。)打个比方,譬如我们要给一个塑像画上彩色,有人过来对我说:“你为什么不把最美的紫色用到身体最美的部分——眼睛上去,而把眼睛画成了黑色的呢?”对于这个问题我们完全可以认为下述回答是正确的:“你这是不知道,我们是不应该这样来美化眼睛的,否则,眼睛看上去就不象眼睛了。别的器官也如此。我们应该使五官都有其应有的样子而造成整体美。”因此我说:别来硬要我们给护卫者以那种幸福,否则就使他们不成其为护卫者了。须知,我们也可以给我们的农民穿上礼袍戴上金冠,地里的活儿,他们爱干多少就干多少;让我们的陶工也斜倚卧榻,炉边宴会,吃喝玩乐,至于制作陶器的事,爱干多少就干多少;所有其他的人我们也都可以这样使他们幸福;这样一来就全国人民都幸福啦②。但是我们不这样认为。因为,如果我们信了你的话,农民将不成其为农民,陶工将不成其为陶工,其他各种人也将不再是组成国家一个部分的他们那种人了。

    这种现象出现在别种人身上问题还不大,例如一个皮匠,他腐败了,不愿干皮匠活儿,问题还不大。但是,如果作为法律和国家保卫者的那种人不成其为护卫者了,或仅仅似乎是护卫者,那么你可以看到他们将使整个国家完全毁灭,反之,只要护卫者成其为护卫者就能使国家有良好的秩序和幸福。我们是要我们的护卫者成为真正的护国者而不是覆国者。而那些和我们主张相反的人,他们心里所想的只是正在宴席上饮酒作乐的农民,并不是正在履行对国家职责的公民。若是这样,我们说的就是两码事了,而他们所说的不是一个国家。因此,在任用我们的护卫者时,我们必须考虑,我们是否应该割裂开来单独注意他们的最大幸福,或者说,是否能把这个幸福原则不放在国家里作为一个整体来考虑。我们必须劝导护卫者及其辅助者,竭力尽责,做好自己的工作。也劝导其他的人,大家和他们一样。这样一来,整个国家将得到非常和谐的发展,各个阶级将得到自然赋予他们的那一份幸福。

    ①指449a和第八章、第九章。退化的国家类型有四种,不过,和好的国家最为相反的类型是一种,即僭主政治。

    ②这是一句带揶揄口吻的反话。

    阿:我认为你说得很对。

    苏:我还有一个想法,不知你是否赞同。

    阿:什么想法?

    苏:似乎有两个原因能使技艺退化。

    阿:哪两个原因?

    苏:贫和富。

    阿:它们怎么使技艺退化的呢?

    苏:是这样的:当一个陶工变富了时,请想想看,他还会那样勤苦地对待他的手艺吗?

    阿:定然不会。

    苏:他将日益懒惰和马虎,对吗?

    阿:肯定是这样。

    苏:结果他将成为一个日益蹩脚的陶工,对吗?

    阿:是的,大大退化。

    苏:但是,他如果没有钱,不能买工具器械,他也不能把自己的工作做得那么好,他也不能把自己的儿子或徒弟教得那么好。

    阿:当然不能。

    苏:因此,贫和富这两个原因都能使手艺人和他们的手艺退化,对吗?

    阿:显然是这样。

    苏:因此,如所看到的,我们在这里发现了第二害,它们是护卫者必须尽一切努力防止其在某个时候悄悄地潜入城邦的。

    阿:什么害?

    苏:贫和富呀。富则奢侈、懒散和要求变革,贫则粗野、低劣,也要求变革。

    阿:的确是这样;但是,苏格拉底啊,我还要请问,如果我们国家没有钱财物资,我们城邦如何能进行战争呢?特别是一旦不得不和一个富足而强大的城邦作战时。

    苏:很明显,和一个这样的敌人作战是比较困难的;但是和两个这样的敌人作战,却比较容易。

    阿:这是什么意思?

    苏:首先,请告诉我,如果不得不打仗,我方将是受过训练的战士,而对方则是富人组成的军队,是不是?

    阿:是这样的。

    苏:阿得曼托斯,你不认为,精于拳术的人只要一个就可以轻易地胜过两个对拳术一窍不通的胖大个儿的富人吗?

    阿:如果两个人同时向一个人进攻,我认为这一个人不见得能轻易取胜。

    苏:如果他能以脱身在前面逃,然后返身将两对手中之先追到者击倒,如果他能在如火的烈日之下多次这样做,他也不能取胜吗?这样一个斗士不能甚至击倒更多的那种对手吗?

    阿:如能那样,胜利当然就没什么可奇怪的了。

    苏:你不认为和军事方面比较起来,富人在拳术方面的知识和经验要多些吗?

    阿:我看是的。

    苏:因此,我们的拳斗士大概是容易击败数量比他多两倍、三倍的对手的。

    阿:我同意你的看法,因为我觉得你说得有道理。

    苏:如果我们派遣一名使节到两敌国之一去,把真实情况告诉他们:金银这东西我们是没有也不容许有的,但他们可以有,所以他们还是来帮助我们作战,虏掠另一敌国的好。

    听到这些话,有谁愿去和瘦而有力的狗打,而不愿意和狗在一边去攻打那肥而弱的羊呢?

    阿:我想不会有谁愿意和狗打的。但是许多国家的财富聚集到一个国家去了,对于这个穷国可能有一种危险。

    苏:对于和我们所建立的这个城邦不同的任何别的国家,如果你认为值得把它称呼为·一·个国家,那就太天真了。

    阿:那么怎么称呼它呢?

    苏:称呼别的国家时,“国家”这个名词应该用复数形式,因为它们每一个都是许多个而不是一个,正如戏曲里所说的那样。无论什么样的国家,都分成相互敌对的两个部分,一为穷人的,一为富人的,而且这两个部分各自内部还分成许多个更小的对立部分。如果你把它们都当作许多个,并且把其中一些个的财富、权力或人口许给另一些个部分,那你就会永远有许多的盟友和不多的敌人。你们的国家只要仍在认真地执行这一既定方针,就会是最强大的。我所说的最强大不是指名义上的强大,而是指实际上的强大,即使它只有一千名战士也罢。象我们拟议中的城邦这样规模而又“·是·一·个”的国家,无论在希腊还是在希腊以外的任何地方都是很难找得到的,而“·似·乎·是·一·个”的国家,比我们大许多许多倍的你也可以找得到。或许,你有不同的想法吧?

    阿:没有,真的。

    苏:因此我国的当政者在考虑城邦的规模或要拥有的疆土大小时似乎应该规定一个不能超过的最佳限度。

    阿:什么限度最佳呢?

    苏:国家大到还能保持统一——我认为这就是最佳限度,不能超过它。

    阿:很好。

    苏:因此,这是我们必须交给我们国家的护卫者的又一项使命,即尽一切办法守卫着我们的城邦,让它既不要太小,也不要仅仅是看上去很大,而要让它成为一个够大的且又统一的城邦。

    阿:我们交给他们的这个使命或许算不上一个很难的使命。

    苏:还有一个更容易的使命,我们在前面说到过的①,即如果护卫者的后裔变低劣了,应把他降入其他阶级,如果低等阶级的子孙天赋优秀,应把他提升为护卫者。这用意在于昭示:全体公民无例外地,每个人天赋适合做什么,就应派给他什么任务,以便大家各就各业,一个人就是一个人而不是多个人,于是整个城邦成为统一的一个而不是分裂的多个。

    ①415b。

    阿:是的,这个使命比那个还要来得容易。

    苏:我的好阿得曼托斯,我们责成我国当政者做的这些事并不象或许有人认为的那样,是很多的困难的使命,它们都是容易做得到的,只要当政者注意一件大家常说的所谓大事就行了。(我不喜欢称之为“大事”,而宁愿称之为“能解决问题的事”。)

    阿:这是什么事呢?

    苏:教育和培养。因为,如果人们受了良好的教育就能成为事理通达的人,那么他们就很容易明白,处理所有这些事情还有我此刻没有谈及的别的一些事情,例如婚姻嫁娶以及生儿育女——处理所有这一切都应当本着一个原则,即如俗话所说的,“朋友之间不分彼此”。

    阿:这大概是最好的办法了。

    苏:而且,国家一旦很好地动起来,就会象轮子转动一般,以越来越快的速度前进。因为良好的培养和教育造成良好的身体素质,良好的身体素质再接受良好的教育,产生出比前代更好的体质,这除了有利于别的目的外,也有利于人种的进步,象其他动物一样。

    阿:有道理。

    苏:因此扼要地说,我国的领袖们必须坚持注视着这一点,不让国家在不知不觉中败坏了。他们必须始终守护着它,不让体育和音乐翻新,违犯了固有的秩序。他们必须竭力守护着。当有人说,人们最爱听

    歌手们吟唱最新的歌①

    ①史诗《奥德赛》Ⅰ,35──

    时,他们为担心,人们可能会理解为,诗人称誉的不是新歌,而是新花样的歌,所以领袖们自己应当不去称赞这种东西,而且应当指出这不是诗人的用意所在。因为音乐的任何翻新对整个国家是充满危险的,应该预先防止。因为,若非国家根本大法有所变动,音乐风貌是无论如何也不会改变的。这是戴蒙这样说的,我相信他这话。

    阿:是的。你也把我算作赞成这话的一个吧。

    苏:因此,我们的护卫者看来必须就在这里——在音乐里——布防设哨。

    阿:这种非法①的确容易悄然潜入。

    苏:是的。因为它被认为不过是一种游戏,不成任何危害①。

    ①比读《法律》篇797a—b,那里警告人们不要在孩子游戏中翻新。

    阿:别的害处是没有,只是它一点点地渗透,悄悄地流入人的性格和习惯,再以渐大的力量由此流入人与人之间的关系,再由人与人的关系肆无忌惮地流向法律和政治制度,苏格拉底呀,它终于破坏了①公私方面的一切。

    ①比读389d。

    苏:呀!是这样吗?

    阿:我相信是这样。

    苏:那么,如我们开头说的,我们的孩子必须参加符合法律精神的正当游戏。因为,如果游戏是不符合法律的游戏,孩子们也会成为违反法律的孩子,他们就不可能成为品行端正的守法公民了。

    阿:肯定如此。

    苏:因此,如果孩子们从一开始做游戏起就能借助于音乐养成遵守法律的精神,而这种守法精神又反过来反对不法的娱乐,那么这种守法精神就会处处支配着孩子们的行为,使他们健康建长。一旦国家发生什么变革,他们就会起而恢复固有的秩序。

    阿:确实是的。

    ①非法(παραlbμc′α),除了道德上的涵义外(537e)还暗示音乐中的非法的翻新。

    苏:孩子们在这样的教育中长大成人,他们就能自己去重新发现那些已被前辈全都废弃了的看起来微不足道的规矩。

    阿:哪种规矩?

    苏:例如下述这些:年轻人看到年长者来到应该肃静;要起立让坐以示敬意;对父母要尽孝道;还要注意发式、袍服、鞋履;总之体态举止,以及其他诸如此类,都要注意。你或许有不同看法吧?

    阿:我和你看法相同。

    苏:但是,把这些规矩订成法律我认为是愚蠢的。因为,仅仅订成条款写在纸上,这种法律是得不到遵守的,也是不会持久的。

    阿:那么,它们怎么才能得到遵守呢?

    苏:阿得曼托斯啊,一个人从小所受的教育把他往哪里引导,却能决定他后来往哪里走。“同声相应,同气相求”——

    事情不总是这样吗?

    阿:的确是的。

    苏:直到达到一个重大的结果,这个结果也许是好的,也许是不好的。

    阿:当然啰。

    苏:由于这些理由,因此我不想再把这种事情制订成法律了。

    阿:理由充足。

    苏:但是,关于商务,人们在市场上的相互交易,如果你愿意的话,还有,和手工工人的契约,关于侮辱和伤害的诉讼,关于民事案件的起诉和陪审员的遴选这些问题,还可能有人会提出关于市场上和海港上必须征收的赋税问题。总之,市场的、公安的、海港的规则,以及其他诸如此类的事情,我的天哪,是不是都得我们来一一订成法律呢?

    阿:不,对于优秀的人,把这么许多的法律条文强加给他们是不恰当的。需要什么规则,大多数他们自己会容易发现的。

    苏:对,朋友,只要神明保佑他们能保存住我们已给他们订定的那些法律,也就可以了。

    阿:否则的话,他们将永无止境地从事制订这类繁琐的法律,并为使它们达到完善把自己的一生都用来修改这种法律。

    苏:你的意思是说,这种人的生活很象那些纵欲无度而成痼疾的人不愿抛弃对健康不利的生活制度一样。

    阿:很对。

    苏:诚然,他们过着极乐生活。他们虽就医服药但一无效果,只有使疾病更复杂并加重:他们还一直指望有人能告诉他们一种灵丹妙药,使他们可以恢复健康。

    阿:有这种疾病的人大都这副样子。

    苏:是的,而且有趣的是,谁对他们说实话,告诉他们:

    如果他们不停止大吃大喝,寻花问柳,游手好闲,那么显而易见,无论药物还是烧灼法还是外科手术,是咒语还是符箓或别的任何治疗方法都治不好他们的病。——谁对他们这样说,他们就会把谁视为自己最可恶的敌人。

    阿:根本谈不上有趣,因为对说老实话的人生气是不好的。

    苏:我觉得你似乎对这种人没有好感。

    阿:的确没有好感。

    苏:如果一个国家也象我刚才说的那种人那样行事,你大概也不会称赞它的行为的。你没有看到有些国家的行为也是这样的吗?那里政治不良,但禁止公民触动整个国家制度,任何企图改变国家制度的要处以死刑;但同时不论什么人,只要他能极为热忱地为生活在这种不良政治秩序下的公民服务,为了讨好他们不惜奉承巴结,能窥探他们的心意,巧妙地满足他们的愿望,他们就把这种人视为优秀的有大智大慧的人并给予尊敬。

    阿:是的,我认为这种国家的行为和那种病人的行为是一样的,我无论如何也不能称赞它。

    苏:但是,对于那些愿为这种国家热诚服务的人又怎么样呢?你能不称赞他们的勇敢和不计个人利害的精神吗?

    阿:我称赞他们,只是不称赞其中那些缺乏自知之明的,因为有许多人称赞他们而竟以为自己真是一个政治家了的人们。

    苏:你的意思是什么呢?你不原谅他们一点吗?一个人不会量尺寸,另外有许多人也不会量尺寸,但他们告诉他说他身长四肘尺,你认为他能不相信这个关于他身长的说法吗?

    阿:他怎能不相信呢?

    苏:因此,你别对他们生气。因为,他们不也挺可怜吗?

    他们象我刚才说过的那样不停地制订和修改法律,总希望找到一个办法来杜绝商业上的以及我刚才所说的那些其他方面的弊端,他们不明白,他们这样做其实等于在砍九头蛇的脑袋①。

    ①古希腊神话中的怪蛇,九个头,斩去一头又生两头。

    阿:的确,他们所做的正是这样的事。

    苏:因此我认为,真正的立法家不应当把力气花在法律和宪法方面做这一类的事情,不论是在政治秩序不好的国家还是在政治秩序良好的国家:因为在政治秩序不良的国家里法律和宪法是无济于事的,而在秩序良好的国家里法律和宪法有的不难设计出来,有的则可以从前人的法律条例中很方便地引申出来。

    阿:那么,在立法方面还有什么事要我们做的呢?

    苏:没什么还要我们做的,特尔斐的阿波罗还有事要做,他还有最重大最崇高最主要的法律要规定。

    阿:有哪些?

    苏:祭神的庙宇和仪式,以及对神、半神和英雄崇拜的其他形式,还有对死者的殡葬以及安魂退鬼所必须举行的仪式。这些事是我们所不知道的,作为一个城邦的建立者的我们,如果是有头脑的,也不会把有关这些事的法律委诸别的解释者而不委诸我们祖传的这位神祇的。因为,这位神乃是给全人类解释他们祖先的这些宗教律令的神祇,我们的祖先就是在这位大神的设在大地中央的脐石上的他的神座上传达他的解释的。

    阿:你说得很好,我们必须这样做。

    苏:因此,阿里斯同之子,你们的城邦已经可以说是建立起来了。接下来的事情就是要从某个地方弄到足够的灯光来照明,以便你自己,还要叫来你的兄弟,玻勒马霍斯以及其它朋友来帮你一起,寻找一下,看看我们是否能用什么办法发现,在城里什么地方有正义,在什么地方有不正义,两者之间区别又何在,以及想要得到幸福的人必须具有正义呢还是不正义,不论诸神和人们是否知道①。

    ①367e。

    格劳孔:废话,你曾答应要亲自寻找正义的。你曾说过,你如果不想一切办法尽力帮助正义,就是不虔敬的人。

    苏:我确曾这样说过,我必须这样做,但你也应助我一臂之力。

    格:我们愿意。

    苏:因此我希望用如下的办法找到它。我认为我们的城邦假定已经正确地建立起来了,它就应是善的。

    格:必定的。

    苏:那么可想而知,这个国家一定是智慧的、勇敢的、节制的和正义的。

    格:这是很明白的。

    苏:因此,假定我们在这个国家里找到了这些性质之一种,那么,我们还没有找到的就是剩下的那几种性质了①。对吗?

    ①这里是在玩弄逻辑上的推论。

    格:怎么不对呢?

    苏:正如另外有四个东西,假定我们要在某事物里寻求它们之中的某一个,而一开始便找到了它,那么这在我们就很满意了。但是,如果我们所找到的是另外三个,那么这也足以使我们知道我们所要寻求的那第四个了,因为它不可能是别的,而只能是剩下来的那一个。

    格:说得对。

    苏:那么,既然我们现在所要寻求的东西也是四个,我们不也可以用同样的方法来寻求它们吗?

    格:当然可以。

    苏:而且我在我们国家中清清楚楚看到的第一件东西便是智慧,而这个东西显得有点奇特之处。

    格:有什么奇特之处?

    苏:我觉得我们所描述的这个国家的确是智慧的,因为它是有很好的谋划的,不是吗?

    格:是的。

    苏:好的谋划这东西本身显然是一种知识。因为,其所以有好的谋划,乃是由于有知识而不是由于无知。

    格:显然是这样。

    苏:但是在一个国家里有着多种多样的知识。

    格:当然。

    苏:那么,一个国家之所以称为有智慧和有好的谋划,是不是由于它的木工知识呢?

    格:绝对不是。凭这个只能说这个国家有发达的木器制造业。

    苏:这样看来,一个国家不能因为有制造木器的知识,能谋划生产最好的木器,而被称为有智慧。

    格:的确不能。

    苏:那么,能不能因为它长于制造铜器或其它这一类东西而被称为有智慧呢?

    格:不能,根本不能。

    苏:我想,也不能凭农业生产的知识吧!因为这种知识只能使它有农业发达之名。

    格:我想是这样。

    苏:在我们刚才建立起来的这个国家里,是不是有某些公民具有一种知识,这种知识并不是用来考虑国中某个特定方面事情的,而只是用来考虑整个国家大事,改进它的对内对外关系的呢?

    格:是的,有这么一种知识。

    苏:这是一种什么知识呢?它在哪里啊?

    格:这种知识是护国者的知识,这种知识是在我们方才称为严格意义下的护国者的那些统治者之中。

    苏:那么,具有这种知识的国家你打算用什么名称来称呼它呢?

    格:我要说它是深谋远虑的,真正有智慧的。

    苏:你想在我们的国家里究竟是哪一种人多?铜匠多呢,还是这种真正的护国者多呢?

    格:当然是铜匠多得多。

    苏:和各种具有某个特定方面知识而得到某种与职业有关的名称的人相比,这种护国者是不是最少呢?

    格:少得多。

    苏:由此可见,一个按照自然①建立起来的国家,其所以整个被说成是有智慧的,乃是由于它的人数最少的那个部分和这个部分中的最小一部分,这些领导着和统治着它的人们所具有的知识。并且,如所知道的,唯有这种知识才配称为智慧,而能够具有这种知识的人按照自然规律总是最少数。

    格:再对不过。

    ①“自然”以及后文中用到的“本性”、“天性”,在希腊文中是一个词,也是一个意思。

    苏:现在我们多少总算是找到了我们的四种性质的一种了,并且也找到了它在这个国家里的所在了。

    格:不管怎么说,我觉得它是被充分地找到了。

    苏:接下去,要发现勇敢本身和这个给国家以勇敢名称的东西究竟处在国家的哪一部分,应当是并不困难的吧!

    格:你为什么这么说呢?

    苏:因为凡是说起一个国家懦弱或勇敢的人,除掉想到为了保卫它而上战场打仗的那一部分人之外,还能想到别的哪一部分人呢?

    格:没有人会想着别的部分人的。

    苏:我想,其所以这样,就是因为国家的这种性质不能视其他人的勇敢或懦弱而定。

    格:是的,是不能视其他人的勇敢与否而定的。

    苏:因此,国家是因自己的某一部分人的勇敢而被说成勇敢的。是因这一部分人具有一种能力,即无论在什么情形之下他们都保持着关于可怕事物的信念,相信他们应当害怕的事情乃是立法者在教育中告诫他们的那些事情以及那一类的事情。这不就是你所说的勇敢吗?

    格:我还没完全了解你的话,请你再说一说。

    苏:我的意思是说,勇敢就是一种保持。

    格:一种什么保持?

    苏:就是保持住法律通过教育所建立起来的关于可怕事物——即什么样的事情应当害怕——的信念。我所谓“无论在什么情形之下”的意思,是说勇敢的人无论处于苦恼还是快乐中,或处于欲望还是害怕中,都永远保持这种信念而不抛弃它。如果你想听听的话,我可以打个比方来解释一下。

    格:我想听听你的解释。

    苏:你知道,染色工人如果想要把羊毛染成紫色,首先总是从所有那许多颜色的羊毛中挑选质地白的一种,再进行辛勤仔细的预备性整理,以便这种白质羊毛可以最成功地染上颜色,只有经过了挑选和整理之后才着手染色。通过这样的过程染上颜色的东西颜色吃得牢。洗衣服的时候不管是否用碱水①,颜色都不会褪掉。但是,如果没有很好的准备整理,那么不论人们把东西染成紫色还是别的什么颜色,会发生什么样的情况你是可想而知的。

    ①那个时候,希腊人多用草木灰泡成的碱性水洗衣服。

    格:我知道会褪色而变成可笑的样子。

    苏:因此,你一定明白,我们挑选战士并给以音乐和体操的教育,这也是在尽力做同样的事情。我们竭力要达到的目标不是别的,而是要他们象羊毛接受染色一样,最完全地相信并接受我们的法律,使他们的关于可怕事情和另外一些事情的信念都能因为有良好的天性和得到教育培养而牢牢地生根,并且使他们的这种“颜色”不致被快乐这种对人们的信念具有最强退色能力的碱水所洗褪,也不致被苦恼、害怕和欲望这些比任何别的碱水褪色能力都强的碱水所洗褪。这种精神上的能力,这种关于可怕事物和不可怕事物的符合法律精神的正确信念的完全保持,就是我主张称之为勇敢的,如果你没有什么异议的话。

    格:我没有任何异议。因为,我觉得你对勇敢是有正确理解的,至于那些不是教育造成的,与法律毫不相干的,在兽类或奴隶身上也可以看到的同样的表现,我想你是不会称之为勇敢,而会另给名称的。

    苏:你说得对极了。

    格:那么,我接受你对勇敢所作的这个说明。

    苏:好。你在接受我的说明时,如在“勇敢”上再加一个“公民的”限定词,也是对的。如果你有兴趣,这个问题我们以后再作更充分的讨论,眼前我们要寻找的不是勇敢而是正义,为达到这个目的,我认为我们说这么些已经够了。

    格:有道理。

    苏:我们要在这个国家里寻求的性质还剩下两种,就是节制和我们整个研究的对象——正义了。

    格:正是。

    苏:我们能够有办法不理会节制而直接找到正义吗?

    格:我既不知道有什么办法,也不想先发现正义,以免我们会把节制忽略了。因此,如果你愿意让我高兴的话,请你先考虑节制吧!

    苏:不愿意让你高兴,我是肯定不会的。

    格:那就研究起来吧!

    苏:我一定来研究。尽目前所知,节制比前面两种性质更象协调或和谐。

    格:何以这样?

    苏:节制是一种好秩序或对某些快乐与欲望的控制。这就是人们所说的“自己的主人”这句我觉得很古怪的话的意思——我们还可以听到其他类似的话——是不是呢?

    格:是的,很对。

    苏:“自己的主人”这种说法不是很滑稽吗?因为一个人是自己的主人也就当然是自己的奴隶,一个人是自己的奴隶也就当然是自己的主人,因为所有这两种说法都是说的同一个人。

    格:无疑是的。

    苏:不过我认为这种说法的意思是说,人的灵魂里面有一个较好的部分和一个较坏的部分,而所谓“自己的主人”就是说较坏的部分受天性较好的部分控制。这无疑是一句称赞之词。当一个人由于坏的教养或者和坏人交往而使其较好的同时也是较小的那个部分受到较坏的同时也是较大的那个部分统治时,他便要受到谴责而被称为自己的奴隶和没有节制的人了。

    格:这看来是不错的。

    苏:现在来看看我们的新国家吧。你在这里也会看到有这两种情况之一。因为,既然一个人的较好部分统治着他的较坏部分,就可以称他是有节制的和自己是自己的主人。那么你应该承认,我们说这个国家是自己的主人是说得对的。

    格:我看过了这个国家。你是说得对的。

    苏:还可以看到,各种各样的欲望、快乐和苦恼都是在小孩、女人、奴隶和那些名义上叫做自由人的为数众多的下等人身上出现的。

    格:正是这样。

    苏:反之,靠理智和正确信念帮助,由人的思考指导着的简单而有分寸的欲望,则只能在少数人中见到,只能在那些天分最好且又受过最好教育的人中间见到。

    格:对。

    苏:你不是在这个国家里也看到这一点吗?你不是看到了,在这里为数众多的下等人的欲望被少数优秀人物的欲望和智慧统治着吗?

    格:是的。

    苏:因此,如果说有什么国家应被称为自己快乐和欲望的主人,即自己是自己主人的话,那它就必定是我们这个国家了。

    格:一点不错。

    苏:根据所有上述理由,这个国家不也可以被称为有节制的吗?

    格:当然可以。

    苏:又,如果有什么国家,它的统治者和被统治者,在谁应当来统治这个问题上具有一致的信念,那也只有我们这个国家是这样的了,你不这样认为吗?

    格:我坚定地这样认为。

    苏:既是这样,那么你认为节制存在于哪个部分的公民中呢?存在于统治者中还是存在于被统治者中呢?

    格:两部分人中都存在。

    苏:因此你看到,我们刚才揣测节制象是一种和谐,并不很错吧?

    格:为什么呢?

    苏:因为它的作用和勇敢、智慧的作用不同,勇敢和智慧分别处于国家的不同部分中而使国家成为勇敢的和智慧的。节制不是这样起作用的。它贯穿全体公民,把最强的、最弱的和中间的(不管是指智慧方面,还是——如果你高兴的话——指力量方面,或者还是指人数方面,财富方面,或其它诸如此类的方面)都结合起来,造成和谐,就象贯穿整个音阶,把各种强弱的音符结合起来,产生一支和谐的交响乐一样。因此我们可以正确地肯定说,节制就是天性优秀和天性低劣的部分在谁应当统治,谁应当被统治——不管是在国家里还是在个人身上——这个问题上所表现出来的这种一致性和协调。

    格:我完全同意你的意见。

    苏:好了,我们至此可以认为,我们已经在我们国家中找到了三种性质了。剩下的那个使我们国家再具一种美德的性质还能是什么呢?剩下来的这个显然就是正义了。

    格:显然是的。

    苏:格劳孔啊,现在正是要我们象猎人包围野兽的藏身处一样密切注意的时候了。注意别让正义漏了过去,别让它从我们身边跑掉在不知不觉中消失了。它显然是在附近的某个地方。把你的眼睛睁大些,努力去发现它。如果你先看见了,请你赶快告诉我。

    格:但愿我能够,不过你最好还是把我看成只是一个随从,我所能看得见的只不过是你指给的东西罢了,这样想你就能最有效地使用我了。

    苏:既然如此,那么为了胜利,就请你跟着我前进吧!

    格:请你只管前头走,我跟着来了。

    苏:这真象是个无法到达的所在呢,一片黑暗呀!

    格:的确是一片黑暗,不容易寻找。

    苏:不管怎么样,我们总得向前进!

    格:好,向前进。

    苏:〔我看见了什么,并招呼他〕喂,格劳孔,我想我找到了它的踪迹了,我相信它是逃不掉了。

    格:听到这个消息我很高兴。

    苏:真的,我们的确太愚蠢了。

    格:为什么?

    苏:为什么吗?你想想,这个东西从一开始就老是在我们跟前晃来晃去,但是我们却总是看不见它。我们就象一个人要去寻觅始终在他自己手上的东西一样可笑。我们不看近在眼前的这个东西,反而去注意远处。这或许就是为什么我们总是找不到它的缘故呢。

    格:你说的是什么意思?

    苏:我的意思是说,我们一直以某种方式在谈论这个东西,但是我们自己却始终不知道我们是在谈论着它。

    格:对于一个性急的听众说来,你这篇前言太冗长了。赶快言归正传吧!

    苏:那么你听着,看我说得对不对。我们在建立我们这个国家的时候,曾经规定下一条总的原则。我想这条原则或者这一类的某条原则就是正义。你还记得吧,我们规定下来并且时常说到的这条原则就是:每个人必须在国家里执行一种最适合他天性的职务。

    格:是的,我们说过这点。

    苏:再者,我们听到许多人说过,自己也常常跟着说过,正义就是只做自己的事而不兼做别人的事。

    格:是的,我们也曾说过这话。

    苏:那么,朋友,做自己的事——从某种角度理解这就是正义。可是,你知道我是从哪里推导出这个结论的吗?

    格:不知道,请你告诉我。

    苏:我认为,在我们考察过了节制、勇敢和智慧之后,在我们城邦里剩下的就是正义这个品质了,就是这个能够使节制、勇敢、智慧在这个城邦产生,并在它们产生之后一直保护着它们的这个品质了。我们也曾说过,如果我们找到了三个,正义就是其余的那一个了。

    格:必定的。

    苏:但是,如果有人要我们判断,这四种品质中我们国家有了哪一种最能使我们国家善,是统治者和被统治者的意见一致呢,还是法律所教给军人的关于什么该怕什么不该怕的信念在军人心中的保持呢?还是统治者的智慧和护卫呢,还是这个体现于儿童、妇女、奴隶、自由人、工匠、统治者、被统治者大家身上的品质,即每个人都作为·一·个人干他自己份内的事而不干涉别人份内的事呢?——这似乎是很难判断的。

    格:的确很难判断。

    苏:看来,似乎就是“每个人在国家内做他自己份内的事”这个品质在使国家完善方面与智慧、节制、勇敢较量能力大小。

    格:是的。

    苏:那么,在使国家完善方面和其余三者较量能力大小的这个品质不就是正义吗?

    格:正是。

    苏:再换个角度来考察一下这个问题吧,如果这样做能使你信服的话。你们不是委托国家的统治者们审理法律案件吗?

    格:当然是的。

    苏:他们审理案件无非为了一个目的,即,每一个人都不拿别人的东西,也不让别人占有自己的东西,除此而外还有别的什么目的吗?

    格:只有这个目的。

    苏:这是个正义的目的吗?

    格:是的。

    苏:因此,我们大概也可以根据这一点达到意见一致了:

    正义就是有自己的东西干自己的事情。

    格:正是这样。

    苏:现在请你考虑一下,你是不是同意我的下述看法:假定一个木匠做鞋匠的事,或者一个鞋匠做木匠的事,假定他们相互交换工具或地位,甚至假定同一个人企图兼做这两种事,你想这种互相交换职业对国家不会有很大的危害,是吧?

    格:我想不会有太大的危害。

    苏:但是我想,如果一个人天生是一个手艺人或者一个生意人,但是由于有财富、或者能够控制选举、或者身强力壮、或者有其它这类的有利条件而又受到盅惑怂恿,企图爬上军人等级,或者一个军人企图爬上他们不配的立法者和护国者等级,或者这几种人相互交换工具和地位,或者同一个人同时执行所有这些职务,我看你也会觉得这种交换和干涉会意味着国家的毁灭吧。

    格:绝对是的。

    苏:可见,现有的这三种人互相干涉互相代替对于国家是有最大害处的。因此可以正确地把这称为最坏的事情。

    格:确乎是这样。

    苏:对自己国家的最大危害,你不主张这就是不正义吗?

    格:怎么会不呢?

    苏:那么这就是不正义。相反,我们说:当生意人、辅助者和护国者这三种人在国家里各做各的事而不相互干扰时,便有了正义,从而也就使国家成为正义的国家了。

    格:我看情况不可能不是这样。

    苏:我们还不能把这个关于正义的定义就这么最后地定下来。但是如果它在应用于个人时也能被承认为正义的定义,那时我们就承认它,因为我们还有什么别的话好说呢?否则我们将另求别的正义。但是现在我们还是来做完刚才这个对正义定义的研究工作吧。在这一工作中我们曾假定,如果我们找到了一个具有正义的大东西并在其中看到了正义,我们就能比较容易地看出正义在个人身上是个什么样子的。我们曾认为这个大东西就是城邦,并且因而尽我们之所能建立最好的城邦,因为我们清楚地知道,在这个好的国家里会有正义。因此,让我们再把在城邦里发现的东西应用于个人吧。如果两处所看到的是一致的,就行了,如果正义之在个人身上有什么不同,我们将再回到城邦并在那里检验它。把这两处所见放在一起加以比较研究,仿佛相互摩擦,很可能擦出火光来,让我们照见了正义,当它这样显露出来时,我们要把它牢记在心。

    格:你提出了一个很好的程序,必须这么办。

    苏:那么,如果两个事物有同一名称,一个大一个小,它们也相同呢,还是,虽有同一名称而不相同呢?

    格:相同。

    苏:那么,如果仅就正义的概念而论,一个正义的个人和一个正义的国家也毫无区别吗?

    格:是的。

    苏:现在,当城邦里的这三种自然的人各做各的事时,城邦被认为是正义的,并且,城邦也由于这三种人的其他某些情感和性格①而被认为是有节制的、勇敢的和智慧的。

    ①jι(性格),这里近似亚里士多德的ι。亚里士多德《尼可马各伦理学》1105b20,把人的全部精神因素归结为πm′θη(情感)、jι(性格)和δnlm′μjι(能力),并对这些概念作了明白的解释。

    格:是的。

    苏:因此,我的朋友,个人也如此。我们也可以假定个人在自己的灵魂里具有和城邦里所发现的同样的那几种组成部分,并且有理由希望个人因这些与国家里的相同的组成部分的“情感”而得到相同的名称。

    格:无疑的。

    苏:啊,我们又碰上了一件容易事,即研究:灵魂里是否有这三种品质。

    格:我倒不认为这是个容易解决的问题呢。因为,苏格拉底呀,或许俗话说的对:“不入虎穴,焉得虎子”呢。

    苏:显然如此。让我告诉你,格劳孔,我也认为,用我们现在的这个论证方法是无论如何也不能弄清楚这个问题的。

    解决这个问题的正确方法是一个另外的有着困难而长远道路的方法。但是用我们这个方法使问题得到一定程度的解决,做到象解决前面的问题那样的程度或许还是可以的。

    格:不就够了吗?在我这方面,在目前阶段这就满意了。

    苏:在我这方面也的确满意了。

    格:那么不要厌倦,让我们继续研究下去。

    苏:因此我们不是很有必要承认,在我们每个人身上都具有和城邦里一样的那几种品质和习惯①吗?因为除了来自个人而外城邦是无从得到这些品质的。须知,假如有人认为,当城邦里出现激情②时,它不是来自城邦公民个人——如果他们被认为具有这种象色雷斯人和西徐亚人以及一般地说北方人样的品质的话——那是荒谬的。其它如城邦里出现热爱智慧这种品质(它被认为主要是属于我们这个地方的),或贪婪财富这种品质时(在腓尼基人和埃及人那里都可以看到这种性格,而且他们彼此不相上下),也都应该认为这是由于公民个人具有这种品质使然的。

    ①参考亚里士多德《尼可马各伦理学》1103a—b。道德方面的美德是“习惯”(θb)的结果。道德方面的美德没有一种是由于自然而产生的,要通过运用的实践才能获得。立法者通过使公民养成习惯而使他们变好。

    ②θnμbjιδd′(激情)是理智和欲望之间的一种品质。

    格:对。

    苏:事实如此,理解这一点毫不困难。

    格:当然不困难。

    苏:但是,如果有人进一步问:个人的品质是分开的三个组成部分呢还是一个整体呢?回答这个问题就不那么容易了。就是说,我们学习时是在动用我们自己的一个部分,愤怒时是在动用我们的另一个部分,要求满足我们的自然欲望时是在动用我们的第三个部分呢,还是,在我们的每一种活动中都是整个灵魂一起起作用的呢?确定这一点就难了。

    格:我也有这个感觉。

    苏:那么现在让我们来试着确定这个问题吧:它们是一个东西呢还是不同的·几·个呢?

    格:怎么确定呢?

    苏:有一个道理是很明白的:同一事物的同一部分关系着同一事物,不能同时有相反的动作或受相反的动作。因此,每当我们看到同一事物里出现这种相反情况时我们就会知道,这不是同一事物而是不同的事物在起作用。

    格:很好。

    苏:请注意我的话。

    格:说吧!

    苏:同一事物的同一部分同时既动又静是可能的吗?

    格:是无论如何不可能的。

    苏:让我们还要理解得更明确些,以免今后讨论过程中有分歧。例如有一个人站着不动,但是他的头和手在摇着,假如有人认为,这就是同一个人同时既动又静。我认为我们不应当把这个说法当作一个正确的说法,我们应当说,这个人是一部分静另一部分动着,不是吗?

    格:是的。

    苏:假设争论对方还要更巧妙地把这种玩笑开下去,他说陀螺的尖端固定在一个地点转动着,整个陀螺是同时既动又静,关于任何别的凡是在同一地点旋转的物体他也都可以这么说。我们这方面应当反对这种说法,因为在这种情况下静止和运动着的不是事物的同一部分。我们应该说在它们自身内有轴心的直绕部分和另一圆周线部分;着眼于直线部分则旋转物体是静止的,如果它们不向任何方向倾斜的话,如果着眼于圆周线则它们是在运动的。但是,如果转动时轴心线向左或向右、向前或向后倾斜,那么旋转物体就无论如何也谈不上静止了。

    格:对。

    苏:那么再不会有任何这一类的话能把我们搞胡涂了,能使我们那怕有一点点相信这种说法了:同一事物的同一部分关系着同一事物能够同时有相反的动作或受相反的动作。

    格:我相信再不会了。

    苏:不过我们还是说的:我们可以不必一一考察所有这类的反对意见和证明它们的谬误,让我们且假定它们是谬误的,并在这个假设下前进,但是心里要记住,一旦发现我们这个假设不对,就应该把所有由此引伸出来的结论撤消。

    格:我们必须这样做。

    苏:另外我要问:你同意以下这些以及诸如此类的东西都是彼此相反的吗:赞同和异议,求取和拒受、吸引和排斥?——不论是主动的还是被动的,因为这对于相反毫无影响。

    格:是的,它们都是相反的。

    苏:那么,干渴和饥饿以及一般地说欲望,还有愿望和希望,你不把所有这些东西归到刚才说的那些类的某一类里去吗?你不认为有所要求的那个人的灵魂正在求取他所要的东西,希望有某东西的人在吸引这个东西到自己身边来吗?或者还有,当一个人要得到某一东西,他的心因渴望实现自己的要求,不会向他的愿望点头赞同(仿佛有一个人在向他提出这个问题那样),让他得到这个东西吗?

    格:我会这样认为的。

    苏:关于不愿意、不喜欢和无要求你又有什么看法呢?我们不应该把它们归入灵魂的拒受和排斥,一般地说,归到与所有前者相反的那一类里去吗?

    格:不,应该。

    苏:既然总的关于欲望的说法是对的,那么我们不认为欲望是一个类,这一类中最为明显的例子乃是我们所谓的干渴与饥饿吗?

    格:我们将这样认为。

    苏:这两种欲望不是一个要求饮料另一个要求食物吗?

    格:是的。

    苏:那么,就渴而言,我们说渴是灵魂对饮料的欲望,这里所涉及的除了饮料而外,我们还提到过什么别的没有?我们有没有指明,例如是渴望得到热的饮料还是得到冷的饮料,多的饮料还是少的饮料,一句话,有没有指明渴望得到的是什么样的饮料呢?但是,假设渴同时伴有热,那么欲望便会要求冷的饮料,如果渴同时伴有冷,那么欲望会要求热的饮料,不是吗?如果渴的程度大,所要求的饮料也就多,如果渴的程度小,所要求的饮料也就少,不是吗?单纯渴本身永远不会要求任何别的东西,所要求的不外是得到它本性所要求的那东西,即饮料本身,饥对食物的欲望情况也如此。不是吗?

    格:是这样。每一种欲望本身只要求得到自己本性所要求得到的那种东西。特定的这种欲望才要求得到特定的那种东西。

    苏:这里可能会有人提出反对意见说,没有人会只要求饮料而不要求好的饮料,只要求食物而不要求好的食物的。因为所有的人都是想要好东西的。因此,既然渴是欲望,它所要求的就会是好的饮料。别的欲望也同样。对于这种反对意见我们不能粗心大意,不要让人家把我们搞胡涂了。

    格:反对意见看来或许有点道理。

    苏:不过我们还是应当认为,特定性质的东西关系着特定性质的相关者,仅本身的东西关系着仅本身的相关者。

    格:我不懂你的意思。

    苏:你应当懂得,所谓较大的东西是一个相关的名称。

    格:这一点我很清楚。

    苏:那不是和较小的东西相关吗?

    格:是和较小的东西相关。

    苏:大得多的东西关系着小得多的东西,是吧?

    格:是的。

    苏:某个时候较大的东西关系着某个时候较小的东西,将较大者关系着将较小者,不也是这样吗?

    格:也这样。

    苏:它如较多者关系着较少者,一倍者关系着一半者,以及诸如此类,还有,较重者关系着较轻者,较快者关系着较慢者,还有,较热者关系着较冷者,以及所有诸如此类,不都是这样吗?

    格:是这样。

    苏:科学怎么样?是同一个道理吗?仅科学本身就只是关于知识本身,或别的无论什么我们应当假定为科学对象的东西的,但是一门特定的科学是关于一种特定知识的。我的意思是譬如,既然有建房造屋的科学,它不同于别的科学,它不是被叫做建筑学吗?

    格:有什么不是呢?

    苏:那不是因为它有特定的,非别的任何科学所有的性质吗?

    格:是的。

    苏:它有这个特定的性质,不是因为它有特定的对象吗?

    其它科学和技艺不也是如此吗?

    格:是如此。

    苏:那么,如果你现在了解我的意思了,你也就必定明白,我前面所说的那些关于种种相对关系的话,其用意也就在这里了。我前面说过:仅本身的东西关系着仅本身的东西,特定性质的东西也关系着特定性质的东西。我完全不是说,它们关系着什么就是和什么同类,以致关于健康和疾病的科学也就是健康的科学和有病的科学了,关于邪恶和美德的科学因而就是丑恶的科学和美好的科学了。我不是这个意思。我的意思只是说,当科学变得不再是关于一般科学对象的,而是变成了关于特定对象的,即关于疾病和健康的科学时,它就成了某种科学,这使它不再被单纯地叫做“科学”,而被叫做特定的科学,即医学了。

    格:我懂了。我也认为是这样。

    苏:再说渴。你不认为渴属于这种本质上就是有相关事物的东西之一吗?渴无疑关系着某种事物。

    格:我也这样认为;它关系着饮料。

    苏:那么,如果饮料是特定种类的,渴就也是特定种类的,但是与渴单纯自身相关的饮料无所谓多和少或好和坏,总之,不管饮料是什么种类的,单纯的渴自身自然仅单纯地关系着饮料单纯本身。不是吗?

    格:无疑是的。

    苏:因此渴的灵魂,如果仅渴而已,它所想要的就没有别的,仅饮而已,它就极为想要这个并力求得到它。

    格:这是很明显的。

    苏:因此,如果一个人在渴的时候他心灵上有一个东西把他拉开不让他饮,那么这个东西必定是一个另外的东西,一个不同于那个感到渴并牵引着他象牵引着牲畜一样去饮的东西,不是吗?因为我们说过,同一事物以自己的同一部分在同一事情上不能同时有相反的行动。

    格:是不能的。

    苏:所以我认为,关于射箭者的那个比方里,说他的手同时既拉弓又推弓是说得不妥的,应当说他的一只手推弓另一只手拉弓才对。

    格:确实是的。

    苏:那么,我们不是可以说有这种事情吗:一个人感到渴但不想要饮?

    格:这诚然是常见的。

    苏:关于这些事例人们会有什么看法呢?岂不是在那些人的灵魂里有两个不同的东西,一个叫他们饮另一个阻止他们饮,而且阻止的那个东西比叫他们饮的那个东西力量大吗?

    格:我也这样认为。

    苏:而且,这种行为的阻止者,如果出来阻止的话,它是根据理智考虑出来阻止的,而牵引者则是情感和疾病使之牵引的。不是吗?

    格:显然是的。

    苏:那么,我们很有理由假定,它们是两个,并且彼此不同。一个是人们用以思考推理的,可以称之为灵魂的理性部分;另一个是人们用以感觉爱、饿、渴等等物欲之骚动的,可以称之为心灵的无理性部分或欲望部分,亦即种种满足和快乐的伙伴。

    格:我们这样假定是很有道理的。

    苏:那么让我们确定下来,在人的灵魂里确实存在着这两种东西。再说激情①,亦即我们藉以发怒的那个东西。它是上述两者之外的第三种东西呢,还是与其中之一同种的呢?

    ①激情(θnμk′),照柏拉图的意思,如果不被坏的教育带坏,激情在本性上是理智的盟友。但照字面上理解,激情或许属于灵魂的无理性部分。因此,照格劳孔的暗示,它应和欲望同种。

    格:它或许与其中之一即欲望同种吧。

    苏:但是,我曾经听说过一个故事,并且相信它是真的。

    故事告诉我们:阿格莱翁之子勒翁提俄斯从比雷埃夫斯进城去,路过北城墙下,发现刑场上躺着几具尸体,他感觉到想要看看但又害怕而嫌恶它们,他暂时耐住了,把头蒙了起来,但终于屈服于欲望的力量,他张大眼睛冲到尸体跟前骂自己的眼睛说:“瞧吧,坏家伙,把这美景瞧个够吧!”

    格:我也听说过这个故事。

    苏:这个故事的寓意在于告诉人:愤怒有时作为欲望之外的一个东西和欲望发生冲突。

    格:是有这个意思。

    苏:我们不是还看到过许多这类的事例吗:当一个人的欲望在力量上超过了他的理智,他会骂自己,对自身内的这种力量生气。这时在这种象两个政治派别间的斗争中,人的激情是理智的盟友。激情参加到欲望一边去——虽然理智不同意它这样——反对理智,这种事情我认为是一种你大概从来不会承认曾经在你自己身上看到出现过的,我也认为是一种不曾在别的任何人身上看到出现过的事情。

    格:真的,不曾有过的。

    苏:再说,假定有一个人认为自己有错,那么这个人愈是高贵,他对自己所受到的饥、寒或任何其他诸如此类的别人可能加诸他的苦楚——他认为这个人的做法是公正的——

    就愈少可能感到愤怒,照我的说法就是,他的情感拒绝被激发起来反对那个人。我这样说对吗?

    格:对的。

    苏:但是,假如一个人认为自己受到了不公正的待遇,他会怎么样呢?他的情感会激动而发怒,加入到他认为是正义的那方面作战,并且还会由于受到饥、寒以及其它诸如此类的苦楚,而更坚决地争取胜利,他的高贵的灵魂不会平静下来,直至或者杀死对方或被对方杀死,或者直至听到理智的呼声而停战,就象狗听到牧人的禁约声而停止吠叫一样。是这样吧?

    格:你的比方很贴切。如我们前面说过的,在我们的国家里辅助者象狗一样,他们听命于统治者,后者仿佛是城邦的牧人。

    苏:你对我所想说明的意思理解得很透彻。但是,你也注意到了这一点吗?

    格:哪一点?

    苏:我们现在对激情的看法正好和刚才的印象相反。刚才我们曾假定它是欲望的一种。但现在大不同了,我们很应该说,在灵魂的分歧中它是非常宁愿站在理性一边的。

    格:当然。

    苏:那么它和理性也不同吗,或者,它只是理性的一种,因此在灵魂里只有两种东西而不是三种呢,即只有理性和欲望呢?或者还是说,正如国家由三等人——生意人、辅助者和谋划者——组成一样,在灵魂里也这样地有一个第三者即激情呢(它是理智的天然辅助者,如果不被坏教育所败坏的话)?

    格:必然有第三者。

    苏:正如已证明它是不同于欲望的另一种东西一样,如果它也能被证明是不同于理性的另一种东西的话,就可以肯定了。

    格:这不难证明。人们在小孩身上也可以看到:他们差不多一出世就充满了激情,但是有些孩子我们从未看到他们使用理智,而大多数孩子他们能使用理智则都是很迟很迟以后的事情。

    苏:确实是这样,你说得很好。还有,人们在兽类身上也可以看到你所说的有激情存在的现象。并且,在这些例子之外我们还可以把前面我们曾经引用过的荷马的一句诗拿来作证明,这句诗是:捶胸叩心责备自己。[《奥德赛》ⅩⅩ,17。本书第三卷390d处引用过]

    因为在这行诗里荷马分明认为,判断好坏的理智是一个东西,它在责备那个无理智的主管愤怒的器官,后者被当作另一个东西。

    格:你说的很对。

    苏:我们飘洋过海,好不容易到达了目的地,并且取得了相当一致的意见:在国家里存在的东西在每一个个人的灵魂里也存在着,且数目相同。

    格:是的。

    苏:那么据此我们不是可以立即得到如下的必然推论吗:

    个人的智慧和国家的智慧是同一智慧,使个人得到智慧之名的品质和使国家得到智慧之名的品质是同一品质?

    格:当然可以这样推论。

    苏:我们也可以推论:个人的勇敢和国家的勇敢是同一勇敢,使个人得到勇敢之名的品质和使国家得到勇敢之名的品质是同一品质,并且在其他所有美德方面个人和国家也都有这种关系。

    格:必然的。

    苏:那么,格劳孔,我认为我们以什么为根据承认国家是正义的,我们也将以同样的根据承认个人是正义的。

    格:这也是非常必然的。

    苏:但是我们可别忘了:国家的正义在于三种人在国家里各做各的事。

    格:我认为我们没有忘了。

    苏:因此我们必须记住:我们每一个人如果自身内的各种品质在自身内各起各的作用,那他就也是正义的,即也是做他本份的事情的。

    格:的确,我们也必须记住这一点。

    苏:理智既然是智慧的,是为整个心灵的利益而谋划的,还不应该由它起领导作用吗?激情不应该服从它和协助它吗?

    格:无疑应该如此。

    苏:因此,不是正如我们说过的,音乐和体育协同作用将使理智和激情得到协调吗,既然它们用优雅的言词和良好的教训培养和加强理智,又用和谐与韵律使激情变得温和平稳而文明?

    格:完全对。

    苏:这两者(理智和激情)既受到这样的教养、教育并被训练了真正起自己本份的作用,它们就会去领导欲望——

    它占每个人灵魂的最大部分,并且本性是最贪得财富的——

    它们就会监视着它,以免它会因充满了所谓的肉体快乐而变大变强不再恪守本份,企图去控制支配那些它所不应该控制支配的部分,从而毁了人的整个生命。

    格:完全正确。

    苏:那么,这两者联合一起最好地保卫着整个灵魂和身体不让它们受到外敌的侵犯,一个出谋划策,一个在它的领导下为完成它的意图而奋勇作战,不是这样吗?

    格:是这样。

    苏:因此我认为,如果一个人的激情无论在快乐还是苦恼中都保持不忘理智所教给的关于什么应当惧怕什么不应当惧怕的信条,那么我们就因他的激情部分而称每个这样的人为勇敢的人。

    格:对。

    苏:我们也因每个人身上的这个起领导作用的和教授信条的小部分——它也被假定为是这个人身上的懂得这三个部分各自利益也懂得这三个部分共同利益的——而称他为智慧的。

    格:完全对。

    苏:当人的这三个部分彼此友好和谐,理智起领导作用,激情和欲望一致赞成由它领导而不反叛,这样的人不是有节制的人吗?

    格:的确,无论国家的还是个人的节制美德正是这样的。

    苏:我们也的确已经一再说明过,一个人因什么品质或该怎样才算是一个正义的人。

    格:非常对。

    苏:个人的正义其形象在我们心目中不是有点模模糊糊,好象它是别的什么,不大象它在国家里显示出来的那个形象吗?

    格:我觉得不是这样。

    苏:这就对了。须知,如果我们心里对这个定义还有什么怀疑存留着的话,那是用一些很平常的事例就可以充分证实我们所说不谬的。

    格:你是指什么样的事例呢?

    苏:例如假设要我们回答一个关于正义的国家和一个与正义国家有同样先天同样教养的个人的问题,即,我们是否相信这种人——如果把金银财宝交给他管的话——会鲸吞盗用它们,你以为有谁会相信这种人会比不正义的人更象干这种事的呢?

    格:没有人会这样相信的。

    苏:这样的人也是决不会渎神、偷窃,在私人关系中出卖朋友在政治生活中背叛祖国的吧?

    格:决不会的。

    苏:他也是无论如何也不会不信守誓言或别的协约的。

    格:怎么会呢?

    苏:这样的人决不会染上通奸、不尊敬父母、不履行宗教义务的罪恶的,尽管有别人犯这种罪恶。

    格:他们是决不会的。

    苏:这一切的原因不是在于,他心灵的各个部分各起各的作用,领导的领导着,被领导的被领导着吗?

    格:正是这样,别无其他。

    苏:那么,除了能使人和国家成为正义人和正义国家的这种品质之外你还要寻找什么别的作为正义吗?

    格:说真的,我不想再找了。

    苏:到此我们的梦想已经实现了;而我们所作的推测①——在我们建立这个国家之初由于某种天意我们碰巧就已经想到它是正义的根本定义了——到此已经得到证实了。

    ①见前文434d。

    格:的的确确。

    苏:因此格劳孔,木匠做木匠的事,鞋匠做鞋匠的事,其他的人也都这样,各起各的天然作用,不起别种人的作用,这种正确的分工乃是正义的影子——这也的确正是它[指以正确的分工作为正义的定义]之所以可用的原因所在。

    格:显然是的。

    苏:但是,真实的正义确是如我们所描述的这样一种东西。然而它不是关于外在的“各做各的事”,而是关于内在的,即关于真正本身,真正本身的事情。这就是说,正义的人不许可自己灵魂里的各个部分相互干涉,起别的部分的作用。他应当安排好真正自己的事情,首先达到自己主宰自己,自身内秩序井然,对自己友善。当他将自己心灵的这三个部分合在一起加以协调,仿佛将高音、低音、中音以及其间的各音阶合在一起加以协调那样,使所有这些部分由各自分立而变成一个有节制的和和谐的整体时,于是,如果有必要做什么事的话——无论是在挣钱、照料身体方面,还是在某种政治事务或私人事务方面——他就会做起来;并且在做所有这些事情过程中,他都相信并称呼凡保持和符合这种和谐状态的行为是正义的好的行为,指导这种和谐状态的知识是智慧,而把只起破坏这种状态作用的行为称作不正义的行为,把指导不和谐状态的意见称作愚昧无知。

    格:苏格拉底,你说得非常对。

    苏:如果我们确定下来说,我们已经找到了正义的人、正义的国家以及正义人里的正义和正义国家里的正义各是什么了,我想,我们这样说是没有错的。

    格:真的,没有说错。

    苏:那么,我们就定下来了?

    格:就这么定下来吧苏:这个问题就谈到这里为止了。下面我认为我们必须研究不正义。

    格:显然必须研究它了。

    苏:不正义应该就是三种部分之间的争斗不和、相互间管闲事和相互干涉,灵魂的一个部分起而反对整个灵魂,企图在内部取得领导地位——它天生就不应该领导的而是应该象奴隶一样为统治部分服务的,——不是吗?我觉得我们要说的正是这种东西。不正义、不节制、懦怯、无知,总之,一切的邪恶,正就是三者的混淆与迷失。

    格:正是这个。

    苏:如果说不正义和正义如上所述,那末,“做不正义的事”、“是不正义的”,还有下面的“造成正义”——所有这些词语的涵义不也都跟着完全清楚了吗?

    格:怎么会的?

    苏:因为它们完全象健康和疾病,不同之点仅在于后者是肉体上的,前者是心灵上的。

    格:怎么这样?

    苏:健康的东西肯定在内部造成健康,而不健康的东西在内部造成疾病。

    格:是的。

    苏:不也是这样吗:做正义的事在内部造成正义,做不正义的事在内部造成不正义?

    格:必定的。

    苏:但是健康的造成在于身体内建立起这样的一些成分:

    它们合自然地有的统治着有的被统治着,而疾病的造成则在于建立起了这样一些成份:它们仅自然地有的统治着有的被统治着。

    格:是这样。

    苏:正义的造成也就是在灵魂里建立起了一些成分:它们相互间合自然地有的统治着有的被统治着,而相互间仅自然地统治着和被统治着就造成不正义,不是吗?

    格:的确是的。

    苏:因此看来,美德似乎是一种心灵的健康,美和坚强有力,而邪恶则似乎是心灵的一种疾病,丑和软弱无力。

    格:是这样。

    苏:因此不也是这样吗:实践做好事能养成美德,实践做丑事能养成邪恶?

    格:必然的。

    苏:到此看来,我们还剩下一个问题要探讨的了:即,做正义的事,实践做好事、做正义的人,(不论是否有人知道他是这样的)有利呢,还是做不正义的人、做不正义的事(只要不受到惩罚和纠正)有利呢?

    格:苏格拉底,在我看来这个问题已经变得可笑了。因为,若身体的本质已坏,虽拥有一切食物和饮料,拥有一切财富和权力,它也被认为是死了。若我们赖以活着的生命要素的本质已遭破坏和灭亡,活着也没有价值了。正义已坏的人尽管可以做任何别的他想做的事,只是不能摆脱不正义和邪恶,不能赢得正义和美德了。因为后两者已被证明是我们已经表述过的那个样子的。

    苏:这个问题是变得可笑了。但是,既然我们已经爬达这个高度了,(在这里我们可以最清楚地看到这些东西的真实情况),我们必须还是不懈地继续前进。

    格:我发誓一点也不懈怠。

    苏:那么到这里来,以便你可以看见邪恶有多少种——

    我是指值得一看的那几种。

    格:我的思想正跟着你呢,尽管讲下去吧!

    苏:的确,我们的论证既已达到这个高度,我仿佛从这个高处看见了,美德是一种,邪恶却无数,但其中值得注意的有那么四种。

    格:这话什么意思?

    苏:我是说,有多少种类型的政体就能有多少种类型的灵魂。

    格:倒是有多少种呀?

    苏:有五种政体,也有五种灵魂。

    格:请告诉我,哪五种?

    苏:告诉你,其中之一便是我们所描述的这种政体,它可以有两种名称:王政或贵族政治。如果是由统治者中的一个卓越的个人掌权便叫做王政,如果是由两个以上的统治者掌权便叫做贵族政治。

    格:对的。

    苏:我们刚才说的这两种形式是一种政体。因为无论是两个以上的人掌权还是一个人掌握,只要他们是受过我们前面提出过的那种教育和培养的,他们是不会更改我国的那些值得一提的法令的。

    格:一定的。

    第五卷

    苏:这样一种国家,这样一种体制,还有这样一种人物,我说都是善的,正义的;如果在管理国家和培养个人品质方面,这是一种善的制度,那么,其余的各种制度就都是恶的,谬误的。恶的制度可以分为四类。

    格:哪四类?

    苏:〔当我正要把那四类制度按照看来是自然的次序列举出来时,坐在离阿得曼托斯不远处的玻勒马霍斯伸出手去从上面抓起格劳孔的上装的肩部,拉他靠近些,说了几句耳语,其中我们只听到一句“我们放他走呢,还是怎么样?”其余都没有听清。接着阿得曼托斯说,“怎么也不能让他走。”他这句话说得相当响。于是我问他们:〕你们两人说“不能让他走”,请问这个“他”是指的谁?

    阿:指你。

    苏:指我,请问为什么?

    阿:我们觉得你是在偷懒,你是要逃避全部辩论中并非微不足道的一整大段,企图不对我们作出解释就滑过去。你希望随随便便地提了几句话就溜之大吉,似乎那个关于妇女儿童的问题,即,“朋友之间一切共有”[见第四卷424]这个原则可以应用于妇女儿童身上,这对于任何人都是一目了然了似的。

    苏:难道我说得不对,阿得曼托斯?

    阿:你说的对是对的,不过所谓“对”,同别的事情一样,要有个解释,要说明如何共有法?有各种不同的做法,你应该告诉我们你心里想的是哪种做法。我们已经等了好久,希望听听你对儿童的生育和培养的问题有什么高见,看看你对所讲的关于妇女与儿童公有的问题有什么说明。我们觉得事关重大,搞得对不对对于国家有极重大深远的影响。现在你还没有把这个问题讲清楚,倒又想去着手另一个问题了。你必须象论述别的问题一样把这件事说个一清二楚,在此以前如你刚才已听到的,我们是下定决心不让你离开这里的。

    格:好,我也投票赞成。

    色:苏格拉底,你可以放心大胆地把这看作我们大家一致的决议。

    苏:哎哟,你们在搞什么鬼,和我这样过不去?你们要把国家体制从头再辩论一番。这是在引起多么大的一场辩论呀,我总以为辩论算是结束了,心里很庆幸呢。因为只要你们无异议,接受我的想法,我就心满意足了。你们没有看到,你们提出这个要求来会引起多么激烈的一场争论。我是早就预料到的,所以我是尽量避免陷进去拔不出来呀!

    色:咳!我们大家来这里干什么的?你以为我们是来淘金发财的,不是来听讲的吗?

    苏:听讲也总有个限度嘛。

    格:苏格拉底啊,对于一个有头脑的人来说,听这样的谈话,其限度就是到死方休。因此,你不要为我们担心,你自己请不要厌烦,你要答复我们的问题,告诉我们:你觉得我们的护卫者应该怎样去把妇女与儿童归为公有;儿童从出生至接受正规教育,这一阶段大家公认是教育最难的时期,这一时期应该怎样去培养他们。因此,请告诉我们,这一切该怎么办。

    苏:我的好朋友,要说明这些不容易;这里比前面讨论的问题,有更多的疑点。因为人们会怀疑,我所建议的是不是行得通;就说行得通吧,人们还会怀疑这做法是不是最善。因此,我的好朋友啊,我怕去碰这个问题,怕我的这个理论会被认为只是一种空想。

    格:不用怕。我们听众对你是善意的,信任的,能理解你的困难的。

    苏:老朋友,你这些话的意思是为了鼓励我吗?

    格:是的。

    苏:可是结果适得其反。因为,如果我对于我所要讲的很有把握,那么这种鼓励是非常好的。当一个人和志同道合的朋友们在一起讨论大家所关心的头等大事,心里有数,讲起来自然左右逢源,头头是道。但是,如果象我目前的情况,胸无成竹,临时张皇,那是可怕而危险的。我怕的不是人家嘲笑,那是孩子气;我怕的是迷失真理,在最不应该摔交的地方摔了交,自己跌了不算,还把我的朋友们统统拖下去跌成一大堆!所以,格劳孔啊,在我讲以前,我先向复仇女神致敬,求她宽恕。在我看来,失手杀人其罪尚小,混淆美丑、善恶、正义与不正义,欺世惑众,其罪大矣。所以这种事情是一种冒险,是只能在敌人中间干而不能在朋友之间干的。所以你的鼓励是不能增加我的勇气的。

    格(带笑):苏格拉底啊!就是你在辩论中偶有错误,对我们有害,我们还是释放你,象在误杀案中一样,赦你无罪,不算你欺骗了我们。所以请你放大胆子讲下去吧!

    苏:好,那么,在法律上,凡被开释者,就无罪了;既然法律上是这样,那么我们这里想必也是这样。

    格:既然如此,讲下去吧,不要推托了。

    苏:那么现在我们必须回过头来把那些按照应有的顺序也许早就应该讲了的东西讲一讲。男子表演过了后,让妇女登台,这可能是一个好办法,尤其是因为你们急得要听我讲。对于象我们在前面说过的那样成长和教育出来的男子说来,我认为他们保有与使用孩子和妇女的唯一正确的方式应象我们在当初开始讨论男子问题时建议的那样①。你还记得那时我们曾竭力论证他们应作羊群的护卫者吗?

    ①用动物作比方。见375—376,422d,466d,467b,491d—e,537a,546a—b,564a。

    格:是的。

    苏:让我们保持这个比喻,给妇女以同样的培养和训练,看这样说适当不适当。

    格:怎么个培养训练法?

    苏:这样。我们要不要指望母犬帮助公犬一起在外追寻搜索,参加一切警卫工作?或者还是让母犬躲在窝里,只管生育小犬,抚育小犬,让公犬独任警卫羊群的工作呢?

    格:我们除了把母的警犬看作较弱者,公的看作较强者以外,应当一切工作大家同干。

    苏:对于一种兽类如果你不给以同样的饲养同样的训练,你能不分彼此地使用它们吗?

    格:不能。

    苏:那么,如果我们不分彼此地使用女子,照使用男子那样,我们一定先要给女子以同样的教育。

    格:是的。

    苏:我们一向是用音乐和体操教育男子的。

    格:是的。

    苏:那么,为了同样地使用女子,我们一定要同样地用两门功课来教育女子,并且还要给她们军事教育。

    格:根据你说的看来似乎有理。

    苏:好,我们刚才所提的许多建议,要是付诸实施的话,由于违反当前的风俗习惯,我怕或许会让人觉得好笑的。

    格:的确。

    苏:你看其中最可笑的是什么?难道不显然是女子在健身房[γnμlm′σιbl,裸体操练的地方]里赤身裸体[古代希腊男子操练时都是裸体]地和男子一起锻炼吗?不仅年轻女子这样做,还有年纪大的女人,也象健身房里的老头儿一样,皱纹满面的,看上去很不顺眼,可是她们还在那儿坚持锻炼呢。这不是再可笑没有了吗?

    格:啊呀!在目前情况下,似乎有些可笑。

    苏:关于女子体育和文艺教育的改革,尤其是关于女子要受军事训练,如携带兵器和骑马等等方面的问题,我们既然开始讨论了,就得坚持下去。文人雅士们的俏皮话、挖苦话我们是必定会听到的,千万不要怕。

    格:你说的很对。

    苏:我们既然出发了,在立法征途上虽然遇到困难,也决不能后退。我们请求那些批评家们暂时抛弃轻薄故态,严肃一些;请他们回顾一下希腊人,在并不太久以前,还象现在大多数野蛮人那样,认为男子给人家看到赤身裸体也是可羞可笑的呢。当最初克里特人和后来斯巴达人开始裸体操练时,你知道不是也让那个时候的才子派的喜剧家们用来开过玩笑吗?

    格:确是如此。

    苏:但是,既然(我认为)经验证明,让所有的这类事物赤裸裸的比遮遮掩掩的要好,又,眼睛看来可笑的事物在理性认为最善的事物面前往往会变得不可笑。那么,这也就说明了下述这种人的话乃是一派胡言:他们不认为邪恶是可笑的,倒认为别的都是可笑的;他们不去讽刺愚昧和邪恶,却眼睛盯着别的现象加以讥讽;他们一本正经地努力建立某种别的美的标准,却不以善为美的标准。

    格:你说得完全对。

    苏:我们要取得一致意见的第一件事就是,这些建议是否行得通。是吧?因为无论发言人是在开玩笑,还是认认真真的,我们都一定要准备提出这个问题:女子按其天性能胜任男子的一切职务吗,或者还是什么都干不了,或者只能干其中有限的几种?如果说能干其中的几种,战争是不是包括在内?我们这样开始讨论,由此逐渐深入,可以得到最美满的结论。这样不是最好的方法吗?

    格:这是极好的方法。

    苏:那么我们要不要替我们的假想论敌,向我们自己提出诘难,以免因没有人替他们辩护,只听到我们的一面之词呢?

    格:你完全可以这样做。

    苏:那么,要不要让我们替他们说句话:“我的亲爱的苏格拉底、格劳孔呀!实在没有必要让别人来批评你们。你们自己在开始讨论建立你们国家的时候,早已同意一个原则,即每个人应该做天然适宜于自己的工作。

    格:我想,我们的确是同意过的,不是吗?

    苏:他们会这样问:男子与女子之间不是天然就有很大的差别吗?当我们承认有之后,他们会问我们要不要给男子女子不同的工作,来照顾这些天然的差别?当我们说要的,他们会再问下去:既说男女应该有同样的职业,又说他们之间有很大的自然差别,这岂不是在犯自相矛盾的错误吗?那怎么办?你聪明人能够答复这个问题吗?

    格:要我立刻答复这样突然的问题,实在不容易。我只有请求你替我们这方面答辩一下,话随你怎么说。

    苏:亲爱的格劳孔,这些困难,还有别的许多类似的困难都是我早就看到的,因此我怕触及妇女儿童如何公有、如何教育方面的立法问题。

    格:真的,这不象是一件容易的事情。真不容易。

    苏:当然不容易。但是既然跌到水里了,那就不管是在小池里还是在大海里,我们义无反顾,只好游泳了。

    格:极是。

    苏:那么,我们也只好游下去,希望安然渡过这场辩论。

    但愿音乐家阿里安的海豚[希罗多德《历史》第一卷第二十四节]把我们驮走,或者还有其它什么急救的办法。

    格:看来如此。

    苏:好,让我们来看看能不能找到一条出路。我们承认过不同的禀赋应该有不同的职业,男子与女子有不同的禀赋。可是现在我们又说不同禀赋的人应该有同样的职业,这岂不是对我们自己的一种反驳吗?

    格:一点不错。

    苏:亲爱的格劳孔,争论艺术的力量真了不起呀!

    格:怎么回事?

    苏:因为我看到许多人甚至不由自主地跌到这个陷阱中去,他们以为是在辩论,实际上不过在吵架而已。因为他们不懂得在研究一句话的时候怎样去辨别其不同的涵义,只知道在字面上寻找矛盾之处。他们咬文嚼字,互相顶嘴,并不是在作辩证式的讨论。

    格:是的,许多场合都有这种情况,不过你认为我们这里也是这样吗?

    苏:绝对是的。无论如何,我担心我们在这里有不知不觉陷入一场文字争吵的危险。

    格:怎么会这样的?

    苏:不同样的禀赋不应该从事于同样的职业。我们对于这个原则,在字面上鼓足勇气,斤斤计较,可是我们从来没有停下来考虑考虑,不同样的禀赋究竟是什么意思,同样的禀赋究竟是什么意思,对不同样的禀赋给以不同样的职业,对同样的禀赋给以同样的职业,究竟是什么意思?

    格:我们确实没有考虑过。

    苏:看来,根据这个原则,我们就可以问我们自己:秃头的人们和长头发的人们是同样的还是异样的禀赋;要是我们同意他们是异样的禀赋,我们就禁止长头发的人做鞋匠而不禁止秃头的人做鞋匠,或者,禁止秃头的人做鞋匠而不禁止长头发的人做鞋匠。

    格:这可笑到极点。

    苏:可笑的原因在于,我们所说禀赋的同异,决不是绝对的,无限制的,而只是关连到行业的同异。例如一个男子和一个女人都有医疗的本领,就有同样的禀赋。你觉得对不对?

    格:对的。

    苏:但是一个男医生和一个男木工的禀赋就不同。

    格:确是不同。

    苏:那么,如果在男性和女性之间,发现男性或女性更加适宜于某一种职业,我们就可以把某一种职业分配给男性或女性。但是,如果我们发现两性之间,唯一的区别不过是生理上的区别,阴性受精生子,阳性放精生子,我们不能据此就得出结论说,男女之间应有我们所讲那种职业的区别;我们还是相信,我们的护卫者和他们的妻子应该担任同样的职业为是。

    格:你说的很对。

    苏:其次,我们要请那些唱反调的人,告诉我们,对建设国家有贡献的技术和职业,哪些仅仅适宜于女性,哪些仅仅适宜于男性呢?

    格:这你无论如何是问得公道合理的。

    苏:也许有人会象你刚才所说的那样说:一下子不容易找到令人满意的答复,只要给他们时间想一想,这也并不太难的。

    格:他也许会这么说。

    苏:那么,我们可不可以请求反对我们的人一直跟着我们,以便我们或许能够向他证明,在治理一个国家方面没有一件事是只有男子配担任女人担任不了的?

    格:当然可以。

    苏:那么,让我们来请他答复这个问题。“当你说一个人对某件事有天赋的才能另一个人没有天赋的才能,是根据什么呢?是因为一个人学习起来容易另一个人学起来困难,对吗?是不是因为有的人一学就懂,懂了就能类推,举一反三;

    有的人学习了好久,甚至还不记得所学的是什么东西?是不是因为有的人身体能充分地为心灵服务,有的人身体反而阻碍心灵的发展呢?你还有什么别的东西可用来作为每一问题上区分有好天赋与没有好天赋的依据的吗?”

    格:没有人能找到别的东西来作为区分的根据的了。

    苏:那么,有没有一种人们的活动,从上述任何方面看,男性都不胜于女性?我们要不要详细列举这种活动,像织布、烹饪、做糕点等等,女人以专家自命,要是男人胜了,她们觉得害羞,怕成为笑柄的?

    格:你说得对。我们可以说,一种性别在一切事情上都远不如另一性别。虽然在许多事物上,许多女人的确比许多男人更为擅长,但是总的看来,情况是象你所说的那样。

    苏:那么,我的朋友,没有任何一项管理国家的工作,因为女人在干而专属于女性,或者因为男人在干而专属于男性。

    各种的天赋才能同样分布于男女两性。根据自然,各种职务,不论男的女的都可以参加,只是总的说来,女的比男的弱一些罢了。

    格:很对。

    苏:那么,我们要不要把一切职务都分配给男人而丝毫不分配给女人?

    格:啊,那怎么行?

    苏:我想我们还是这样说的好;有的女人有搞医药的天赋,有的没有,有的女人有音乐天赋,有的没有。

    格:诚然。

    苏:我们能不能说:有的女人有运动天赋,爱好战斗,有的女人天性不爱战斗,不爱运动?

    格:能说。

    苏:同样我们能不能说有的爱智,有的厌智,有的刚烈,有的懦弱?

    格:也能这么说。

    苏:因此,有的女人具有担任护卫者的才能,有的没有这种才能;至于,男人难道我们不能根据同样的禀赋来选择男的保卫者吗?

    格:是这样。

    苏:那么,女人男人可以有同样的才能适宜于担任国家保卫者的职务,分别只在于女人弱些男人强些罢了。

    格:显然是如此。

    苏:因此应该挑选这种女子和这种男子住在一起同负护卫者的职责,既然女的男的才能相似禀赋相似。

    格:当然。

    苏:同样的禀赋应该给同样职务,不是吗?

    格:是的。

    苏:话又说回到前面。我们同意给护卫者的妻子们以音乐和体育上的锻炼,并不违背自然。

    格:毫无疑问。

    苏:因此我们的立法并不是不切实际的空想,既然我们提出的法律是合乎自然的。看来倒是目下流行的做法是不自然的。

    格:似乎如此。

    苏:那么,我们所要考虑的问题是:我们的建议是否行得通?如果行得通的话,它们是不是最好?

    格:是这个问题。

    苏:我们已经同意是行得通的,不是吗?

    格:是的。

    苏:那么,我们要取得一致意见的次一个问题是:我们建议的是不是最好?

    格:显然是的。

    苏:好,为了培养护卫者,我们对女子和男子并不用两种不同的教育方法,尤其是因为不论女性男性,我们所提供的天然禀赋是一样的。

    格:应该是同样的教育。

    苏:那么,对于下面的问题,你的意见如何?

    格:什么问题?

    苏:问题是:你以为男人们是有的好些有的差些,还是所有男人都是一样的呢?

    格:他们当然不是一样的。

    苏:那么,在我们正建立的这个国家里,哪些男人是更好的男人?是受过我们所描述过的那种教育的护卫者呢,还是受过制鞋技术教育的鞋匠呢?

    格:这是可笑的问题。

    苏:我懂。但请你告诉我,护卫者是不是最好的公民?

    格:是最好的。好得多。

    苏:那么,是不是这些女护卫者也是最好的女人?

    格:也是最好的。

    苏:一个国家里能够造就这些出类拔萃的女人和男人,还有什么事情比这个更好的吗?

    格:没有。

    苏:这是受了我们所描述过的音乐和体操教育的结果吧?

    格:当然是的。

    苏:那么,我们所提议的立法,不仅是可能的,而且对于国家也是最好的。

    格:确实是的。

    苏:那么,女的护卫者必须裸体操练,既然她们以美德做衣服。她们必须同男人一起参加战争,以及履行其他护卫者的义务,这是她们唯一的职责。在这些工作中她们承担比较轻些的,因为女性的体质比较文弱。如有任何男人对女人(出于最好的动机)裸体操练加以嘲笑,正如诗人品达所云“采不熟之果”①,自己不智,反笑人愚,他显然就不懂自己在笑什么,在做什么。须知,“有益的则美,有害的则丑”这一句话,现在是名言,将来也是名言。

    ①见品达,残篇209。柏拉图在这里文字上有改动。

    格:我完全同意。

    苏:在讨论妇女法律问题上,我们可以说已经越过了第一个浪头,总算幸而没有遭灭顶之灾。我们规定了男的护卫者与女的护卫者必须担任同样的职务;并且相当一致地证明了,这个建议不仅是可行的,而且是有益的。

    格:的确如此,你越过的浪头可不小呀!

    苏:你要看到了第二个浪头,你就不会说第一个浪头大了。

    格:那么,讲下去,让我来看看。

    苏:作为上面这个论证以及前面的所有论证的结果,依我看,是一条如下的法律。

    格:什么样的?

    苏:这些女人应该归这些男人共有,任何人都不得与任何人组成一夫一妻的小家庭。同样地,儿童也都公有,父母不知道谁是自己的子女,子女也不知道谁是自己的父母。

    格:这比前面说的是一个更大的浪头了,使人怀疑这个建议是不是行得通,有没有什么益处。

    苏:啊,关于有没有什么益处,我看这点不必怀疑,谁都不会否认妇女儿童一律公有有最大的益处。但是,是否行得通?据我看来,这个问题将引起极大的争论。

    格:两个问题都要大争而特争的。

    苏:你的意思是不是说,我要腹背受敌了。我原来希望你同意这个建议是有益的,那样我就可以避重就轻来讨论是否行得通的问题了。

    格:你休想滑过去,给我发觉了!你不许走,你得对两个建议,都要说出道理来。

    苏:好,我甘愿受罚,但请你原谅让我休息一下。有那么一种懒汉,他们独自徘徊,想入非非,不急于找到实现他们愿望的方法,他们暂时搁起,不愿自寻烦恼去考虑行得通与行不通的问题;姑且当作已经如愿以偿了,然后在想象中把那些大事安排起来,高高兴兴地描写如何推行如何实现;这样做他们原来懒散的心灵更加懒散了。我也犯这个毛病,很想把是否行得通的问题推迟一下,回头再来研究它。现在我们假定这是行得通的;在你许可之下,我愿意先探讨治理者们在实行起来时怎样安排这些事情。同时还要证明这些安排对于国家对于护卫者都有极大的益处。我准备同你先研讨这个问题,然后再考虑其它问题,如果你赞成的话。

    格:我赞成,请讲下去。

    苏:那么我以为,治理者和他们的辅助者如果都名副其实的话,辅助者必须愿意接受命令,而治理者必须发布命令——在一些事情中按照法律发布命令,在另一些我们让他们自己斟酌的事情中根据法律的精神发布命令。

    格:大概是的。

    苏:那么,假定你这个立法者选出了一些男人,同时选出了一些女人,这些女人的品质和这些男人一样,然后把这些女人派给这些男人。这些男人女人同吃同住,没有任何私财;彼此在一起,共同锻炼,天然的需要导致两性的结合。我所说的这种情况不是一种必然的结果吗?

    格:这不是几何学的必然,而是情欲的必然。对大多数人的行动来讲,情欲的必然比几何学的必然有更大的强制力与说服力。

    苏:确是如此。不过再说,格劳孔,如果两性行为方面或任何他们别的行为方面毫无秩序,杂乱无章,这在幸福的国家里是亵渎的。我们的治理者是决不能容许这样的。

    格:是的,这是不对的。

    苏:因此很明白,婚姻大事应尽量安排得庄严神圣,婚姻若是庄严神圣的,也就能是最有益的。

    格:诚然。

    苏:那么,怎么做到最有益呢?格劳孔,请告诉我,我在你家里看到一些猎狗和不少纯种公鸡,关于它们的交配与生殖你留意过没有?

    格:什么?

    苏:首先,在这些纯种之中——虽然它们都是良种——

    是不是有一些证明比别的一些更优秀呢?

    格:是的。

    苏:那么,你是一律对待地加以繁殖呢,还是用最大的注意力选出最优秀的品种加以繁殖的呢?

    格:我选择最优秀的加以繁殖。

    苏:再说,你选择年龄最幼小的,还是选择最老的,还是尽量选择那些正在壮年的加以繁殖呢?

    格:我选那些正在壮年的。

    苏:如果你不这样选种,你不是要你的猎狗和公鸡的品种每况愈下吗?

    格:是的。

    苏:马和其它兽类怎么样?情况会有不同吗?

    格:倘若不是这样,那才怪呢?

    苏:天啊!我亲爱的朋友,这个原则如果同样适用于人类的话,需要我们的统治者拿出多高明的手腕呀!

    格:是适用的。但是为什么说需要高明的手腕呢?

    苏:因为他们要用大量我们前面讲过的那种药物①。对肯用规定的膳食,不必服药的病人,普通的医生就可以应付了。

    如果遇到需要服用药物的病人,我们知道就需要一个敢想敢做的医生才行了。

    ①比喻。涵义与前面389b处相同。

    格:是的。不过同我们的问题有什么关系?

    苏:这个,大概是治理者为了被治理者的利益,有时不得不使用一些假话和欺骗。我以为我们说过,它们都是作为一种药物使用的。

    格:是的,说得对。

    苏:那么,在他们结婚和生育方面,这个“对”看来还不是个最小的“对”呢。

    格:这是怎么的?

    苏:从上面同意的结论里,我们可以推断:最好的男人必须与最好的女人尽多结合在一起,反之,最坏的与最坏的要尽少结合在一起。最好者的下一代必须培养成长,最坏者的下一代则不予养育,如果品种要保持最高质量的话;除了治理者外,别人不应该知道这些事情的进行过程。否则,护卫者中难免互相争吵闹不团结。

    格:很对。

    苏:按照法律须有假期,新妇新郎欢聚宴饮,祭享神明,诗人作赞美诗,祝贺嘉礼。结婚人数的多寡,要考虑到战争、疾病以及其它因素,由治理者们斟酌决定;要保持适当的公民人口,尽量使城邦不至于过大或过小。

    格:对的。

    苏:我想某些巧妙的抽签办法一定要设计出来,以使不合格者在每次求偶的时候,只好怪自己运气不好而不能怪治理者。

    格:诚然是的。

    苏:我想当年轻人在战争中证明他们英勇卫国功勋昭著的,一定要给以荣誉和奖金,并且给以更多的机会,使与妇女配合,从他们身上获得尽量多的后裔。

    格:对得很。

    苏:生下来的孩子将由管理这些事情的官员带去抚养。这些官员或男或女,或男女都有。因为这些官职对女人男人同样开放。

    格:是的。

    苏:优秀者的孩子,我想他们会带到托儿所去,交给媬姆抚养;媬姆住在城中另一区内。至于一般或其他人生下来有先天缺陷的孩子,他们将秘密地加以处理,有关情况谁都不清楚。

    格:是的。这是保持治理者品种纯洁的必要条件。

    苏:他们监管抚养孩子的事情,在母亲们有奶的时候,他们引导母亲们到托儿所喂奶,但竭力不让她们认清自己的孩子。如果母亲的奶不够,他们另外找奶妈。他们将注意不让母亲们喂奶的时间太长,把给孩子守夜以及其它麻烦事情交给奶妈和媬姆去干。

    格:你把护卫者妻子抚育孩子的事情,安排得这么轻松!

    苏:这是应该的。现在让我们谈谈我们规划的第二部分。

    我们曾经说过,儿女应该出生在父母年轻力壮的时候。

    格:诚然。

    苏:你同意一个女人精力最好的时候大概可以说是二十年,男人是三十年吗?

    格:你要选择哪几年?

    苏:女人应该从二十岁到四十岁为国家抚养儿女,男人应当从过了跑步速度最快的年龄到五十五岁。

    格:这是男女在身心两方面都精力旺盛的时候。

    苏:因此,如果超过了这个年龄或不到这个年龄的任何人也给国家生孩子,我们说,这是亵渎的不正义的。因为他们生孩子(如果事情不被发觉的话)得不到男女祭司和全城邦的祷告祝福——这种祝祷是每次正式的婚礼都可以得到的,祈求让优秀的对国家有贡献的父母所生的下代胜过老一代变得更优秀,对国家更有益——这种孩子是愚昧和淫乱的产物。

    格:很对。

    苏:同样的法律也适用于这样的情况:一个尚在壮年的男人与一个尚在壮年的女子苟合,未得治理者的准许。因为我们将说他们给国家丢下一个私生子,这是不合法的,亵渎神明的。

    格:对极了。

    苏:但是,我想女人和男人过了生育之年,我们就让男人同任何女人相处,除了女儿和母亲,女儿的女儿以及母亲的母亲。至于女人同样可以和任何男人相处,只除了儿子、父亲,或父亲的父亲和儿子的儿子。我们一定要警告他们,无论如何不得让所怀的胎儿得见天日,如果不能防止,就必须加以处理,因为这种后代是不应该抚养的。

    格:你所讲的这些话都很有道理。但是他们将怎样辨别各人的父亲、女儿和你刚才所讲的各种亲属关系呢?

    苏:他们是很难辨别。但是有一个办法,即,当他们中间有一个做了新郎之后,他将把所有在他结婚后第十个月或第七个月里出生的男孩作为他的儿子,女孩作为他的女儿;他们都叫他父亲。他又把这些儿女的儿女叫做孙子孙女,这些孙子孙女都叫他的同辈为祖父祖母。所有孩子都把父母生自己期间出生的男孩女孩称呼为兄弟姐妹。他们不许有我们刚才讲的那种性关系。但是,法律准许兄弟姐妹同居,如果抽签决定而且特尔斐的神示也表示同意的话。

    格:对极了。

    苏:因此,格劳孔,这就是我们城邦里护卫者中间妇女儿童公有的做法。这个做法和我们政治制度的其余部分是一致的,而且是最好最好的做法。这一点我们一定要在下面以论辩证实之。你认为然否?

    格:诚然。

    苏:因此,为取得一致意见,我们是不是首先要问一问我们自己:什么是国家制度的至善,什么是立法者立法所追求的至善,以及,什么是极恶;其次,我们是不是要考虑一下,我们刚才提出的建议是否与善的足迹一致而不和恶的足迹一致?

    格:完全是的。

    苏:那么,对于一个国家来讲,还有什么比闹分裂化一为多更恶的吗?还有什么比讲团结化多为一更善的吗?

    格:当然没有。

    苏:那么,当全体公民对于养生送死尽量做到万家同欢万家同悲时,这种同甘共苦是不是维系团结的纽带?

    格:确实是的。

    苏:如果同处一国,同一遭遇,各人的感情却不一样,哀乐不同,那么,团结的纽带就会中断了。

    格:当然。

    苏:这种情况的发生不是由于公民们对于“我的”、“非我的”以及“别人的”这些词语说起来不能异口同声不能一致吗?

    格:正是。

    苏:那么,一个国家最大多数的人,对同样的东西,能够同样地说“我的”、“非我的”,这个国家就是管理得最好的国家。

    格:最好最好的。

    苏:当一个国家最最象一个人的时候,它是管理得最好的国家。比如象我们中间某一个人的手指受伤了,整个身心作为一个人的有机体,在统一指挥下,对一部分所感受的痛苦,浑身都感觉到了,这就是我们说·这·个·人在手指部分有痛苦了。

    这个道理同样可应用到一个人的其它部分,说·一·个·人感到痛苦或感到快乐。

    格:同样,有如你所说的,管理得最好的国家最象各部分痛痒相关的一个有机体。

    苏:那么,任何一个公民有时有好的遭遇,有时有坏的遭遇,这种国家很可能会说,受苦的总是国家自己的一个部分,有福应该同享,有难应该同当。

    格:一个管理得很好的国家必须是这样的。

    苏:现在是时候了,我们应该回到我们这个国家来看看,是否这里可以看到我们所一致同意过的那些品质,不象别的国家。

    格:我们应该这样做。

    苏:好,那么,在我们的国家里,也有治理者和人民,象在别的国家里一样,是吗?

    格:是这样。

    苏:他们彼此互称公民,是吗?

    格:当然是的。

    苏:在别的国家里,老百姓对他们的治理者,除了称他们为公民外,还称他们什么呢?

    格:在很多国家里叫他们首长;在平民国家里叫他们治理者。

    苏:在我们国家里对于治理者除了叫他们公民外还叫他们什么?

    格:保护者与辅助者。

    苏:他们怎样称呼人民?

    格:纳税者与供应者。

    苏:别的国家的治理者怎样称呼人民?

    格:奴隶。

    苏:治理者怎样互相称呼?

    格:同事们。

    苏:我们的治理者怎样互相称呼?

    格:护卫者同事们。

    苏:告诉我,在别的国家里是不是治理者同事们之间有的以朋友互称,有的却不是?

    格:是的,这很普遍。

    苏:他们是不是把同事中的朋友看作自己人,把其他同事看作外人?

    格:是的。

    苏:你们的护卫者们怎么样?其中有没有人把同事看成或说成外人的?

    格:当然不会有。他一定会把他所碰到的任何人看作是和他有关系的,是他的兄弟、姐妹,或者父亲、母亲,或他的儿子、女儿,或他的祖父、祖母、孙子、孙女。

    苏:你答复得好极了。请再告诉我一点。这些亲属名称仅仅是个空名呢,还是必定有行动来配合这些名称的呢?对所有的父辈,要不要按照习惯,表示尊敬,要不要照顾他们,顺从他们,既然反此的行为是违天背义为神人所共愤的?要不要让这些道理成为人们对待父亲和其他各种亲属应有态度的,从全体人民那里一致听到的神谕呢?还是让别的某种教导从小就充塞孩子们的耳朵呢?

    格:要这些道理。如果亲属名称仅仅是口头上说说的,而无行动配合,这是荒谬的。

    苏:那么,这个国家不同于别的任何国家,在这里大家更将异口同声歌颂我们刚才所说的“我的”这个词儿。如果有任何一个人的境遇好,大家就都说“我的境遇好”,如果有任何一个人的境遇不好,大家就都说“我的境遇不好”。

    格:极是。

    苏:我们有没有讲过,这种认识这种措词能够引起同甘共苦彼此一体的感觉?

    格:我们讲过。并且讲得对。

    苏:那么护卫者们将比别的公民更将公有同一事物,并称之为“我的”,而且因这种共有关系,他们苦乐同感。

    格:很对。

    苏:那么,除了国家的政治制度之外,在护卫者之间妇女儿童的公有不也是产生苦乐与共的原因吗?

    格:这无疑是主要的原因。

    苏:我们还曾一致说过,这是一个国家的最大的善,我们还曾把一个管理得好的国家比之于个人的身体,各部分苦乐同感,息息相关。

    格:我们一致这样说过,说得非常对。

    苏:我们还可以说,在辅助者之间妇女儿童公有对国家来说也是最大的善,并且是这种善的原因。

    格:完全可以这样说。

    苏:这个说法和我们前面的话是一致的。因为我想我们曾经说过,我们的护卫者不应该有私人的房屋、土地以及其它私人财产。他们从别的公民那里,得到每日的工资,作为他们服务的报酬,大家一起消费。真正的护卫者就要这个样子。

    格:你说得对。

    苏:那么,我们已讲过的和我们正在这里讲的这些规划,是不是能确保他们成为更名副其实的保卫者,防止他们把国家弄得四分五裂,把公有的东西各各说成“这是我的”,各人把他所能从公家弄到手的东西拖到自己家里去,把妇女儿童看作私产,各家有各家的悲欢苦乐呢?他们最好还是对什么叫自己的有同一看法,行动有同一目标,尽量团结一致,甘苦与共。

    格:完全对。

    苏:那么,彼此涉讼彼此互控的事情,在他们那里不就不会发生了吗?因为他们一切公有,一身之外别无长物,这使他们之间不会发生纠纷。因为人们之间的纠纷,都是由于财产,儿女与亲属的私有造成的。

    格:他们之间将不会发生诉讼。

    苏:再说,他们之间也不大可能发生行凶殴打的诉讼事件了。因为我们将布告大众,年龄相当的人之间,自卫是善的和正义的。这样可以强迫他们注意锻炼,增进体质。

    格:很对。

    苏:这样一项法令还有一个好处。一个勃然发怒的人经过自卫,怒气发泄,争吵也就不至于走到极端了。

    格:诚然。

    苏:权力应该赋于年长者,让他们去管理和督教所有比较年轻的人。

    格:道理很明白。

    苏:再说,理所当然,年轻人是不大会对老年人动武或者殴打的,除非治理者命令他们这样做。我认为年轻人也不大会对老年人有其他无礼行为的。有两种心理在约束他们:一是畏惧之心,一是羞耻之心。羞耻之心阻止他去冒犯任何可能是他父辈的人;畏惧之心使他生怕有人来援助受害者,而援助者可能是他的儿辈、兄弟或父辈。

    格:结果当然是这样。

    苏:因此,我们的法律将从一切方面促使护卫者们彼此和平相处。是吧?

    格:很和平!

    苏:只要他们内部没有纷争,就不怕城邦的其他人和他们闹纠纷或相互闹纠纷了。

    格:是的,不必怕。

    苏:他们将摆脱一些十分琐碎无聊的事情。这些事是不值得去烦心的,我简直不愿去谈到它们。诸如,要去奉承富人,要劳神焦思去养活一家大小,一会儿借债,一会儿还债,要想尽办法挣几个大钱给妻子仆役去花费。所有这些事琐琐碎碎,大家都知道,不值一提。

    格:啊,这个道理连瞎子也能明白。

    苏:那么,他们将彻底摆脱这一切,如入极乐世界,生活得比最幸福的奥林匹克胜利者还要幸福。

    格:怎么会的?

    苏:他们得到的比奥林匹克胜利者还要多。他们的胜利更光荣,他们受到的公众奉养更全面。他们赢得的胜利是全国的资助。他们得到的报酬是他们以及他们的儿女都由公家供养。

    他们所需要的一切,都由公家配给。活着为全国公民所敬重,死后受哀荣备至的葬礼。

    格:真是优厚。

    苏:你还记得吗?以前辩论时,有人责怪我们没有使护卫者们得到幸福,说他们掌握一切,自己却什么也没有。我想你还记得,我们曾答应过,在适当的时候可以回到这个问题上来;当时我们所关心的是使一个护卫者成为一个名副其实的护卫者,尽可能使国家作为一个整体得到幸福,而不是只为某一个阶级考虑,只使一个阶级得到幸福。

    格:我记得。

    苏:那么,好,既然我们的扶助者[d′πιbh′ρωl,这里包括治理者在内]的生活,看来比奥林匹克运动会的胜利者的生活还要好,那么,还有什么必要去和鞋匠,其他匠人,以及农民的生活去比较吗?

    格:我想没有必要。

    苏:再者,我们不妨把我在别的地方说过的一些话在这里重说一遍。如果护卫者一心追求一种不是一个名副其实的护卫者应有的幸福生活,不满足于一种适度的安稳的,在我们看来是最好的生活,反而让一种幼稚愚蠢的快乐观念困扰、支配,以至利用权力损公肥私,损人利己,那么他迟早会发现赫西俄德说的“在某种意义上半多于全”这句话确是至理名言!

    格:如果他听我的劝告,他会仍然去过原来的这种生活。

    苏:那么,你同意女子也过我们所描述的这种生活?——

    女子和男子有共同的教育、有共同的子女和共同保护其它公民;无论是在国内还是外出打仗,女子与男子都应当象猎犬似的,一起守卫一起追逐;并且,尽可能以一切方式共有一切事物?你同意,只有这样做他们才能把事情做得最好,既不违反女子与男子不同的自然特性,也不违反女子与男子之间天然的伙伴关系?

    格:我同意。

    苏:那么,还有待于研究的问题是:这样的共同关系能否象在别的动物中那样,真正在人与人之间建立起来呢?如果可能,还要问,怎么做才可能?

    格:我正要提这个问题,给你抢先说了。

    苏:他们在战争中将怎么做,我以为是明摆着的。

    格:怎么做?

    苏:她们将和男子一同整队出发,带了身强力壮的孩子,让他们见识一下将来长大了要做的事情,象别的行业中带着孩子看看一样。除了看看而外,这些孩子还要帮助他们的父母从事各种军中勤务,并侍候他们的父母。你有没有看到过技工(譬如陶工)的孩子在自己正式动手做之前有过长期的观察和帮做的过程?

    格:我看到过的。

    苏:难道陶工倒更应该比护卫者注意去教育他们的孩子,让孩子们跟他们见识和实习,以便将来做好自己的工作?

    格:这种想法就太可笑了。

    苏:再说,人也象动物一样,越是在后代面前,对敌人作战也越是勇猛。

    格:确是如此。不过苏格拉底,冒的危险可也不小呀!胜败兵家常事。要是打了败仗,他们的后代将同他们自己一样遭到巨大损失,以致劫后遗民复兴祖国成为不可能。

    苏:你的话是对的。不过你想永远不让他们冒任何危险吗?

    格:决无此意。

    苏:如果危险非冒不可的话,那么冒险而取得胜利者不是可以经过锻炼而得到进步吗?

    格:显然如此。

    苏:一个长大了要做军人的人,少年时不去实习战争,以为这个险不值得冒,或者冒不冒差别不大,你看这个想法对不对?

    格:不对。这个险冒与不冒,对于要做军人的人有很大的区别。

    苏:那么,作为前提我们一定要让孩子们从小实地见习战争,同时我们也采取必要措施避免危险,这样就两全了。是不是?

    格:是的。

    苏:那么,首先他们的父辈,关于军事总不见得没有一点经验吧?总懂得点哪些战役是危险的,哪些是不危险的吧?

    格:他们应当懂得的。

    苏:因此他们可以把孩子带去参加不危险的战役,不带他们去参加有危险的战役。

    格:对。

    苏:他们将把孩子们交给那些在年龄和经验方面都有资格做孩子们领导者和教师的,不是滥竽充数的军官去带领。

    格:这是非常恰当的。

    苏:可是我们也要看到,人们遭遇意外是屡见不鲜的。

    格:的确是的。

    苏:因此我以为,为了预防意外,我们应该一开始就给孩子们装上翅膀,必要时让他们可以振翼高飞。

    格:什么意思?

    苏:我们一定要让孩子们从小学会骑马,然后带他们骑马到战场上去察看战斗,但不要让他们骑那种好战的劣马,而要让他们骑那种既跑得快而又容易驾驭的驯马。这样他们就既可以很好地看到自己将来要做的事情,一有危险,他们只要跟着长辈领导人,又可以迅速撤离。

    格:我看你的话是对的。

    苏:那么,关于军事纪律应该如何规定?士兵应该如何对待自己人,如何对待敌人?我的想法不知对不对?

    格:请把你的想法告诉我。

    苏:如果任何士兵开小差逃跑,或者丢掉武器,或者由于胆怯犯了其它类似的错误,这种士兵要不要被下放去做工匠或者农夫?

    格:断然要。

    苏:任何士兵被敌人活捉做了战俘,我们同意不同意,把他当作礼物送给敌人,随敌人怎么去处理他?

    格:完全同意。

    苏:一个士兵如果在战场上勇敢超群,英名远扬,他应当首先受到战场上战友们的致敬,然后再受到少年和儿童的致敬。你赞成不赞成?

    格:赞成。

    苏:他还应该受到他们向他伸出右手的欢迎?

    格:应该。

    苏:但是,我想你不会再赞成我下面的话了。

    格:什么话?

    苏:他应该吻每一个人,并且被每一个人所亲吻。你赞成吗?

    格:完全赞成。我对这条法令,还要补充一点:在该战役期间他要爱谁,谁都不准拒绝。理由是:如果他在爱着什么人(男的或女的),他就会更热切地要赢得光荣。

    苏:好极了。我们已经说过,结婚的机会对于优秀人物,应该多多益善,以便让他们尽可能地多生孩子。

    格:是的,我们曾经这样说过的。

    苏:但是荷马诗篇中还讲起过,用下述方法敬重年轻人中的勇士也是正当的。荷马告诉我们,阿雅斯打起仗来英勇异常,在宴席上受到全副脊肉的赏赐;这样对于年轻勇士既是荣誉,还可以增强他们的体力。

    格:极是。

    苏:那么,这里我们至少可以把荷马作为我们的榜样。在祭礼及其它类似场合上,我们表扬那些功勋卓著智勇双全的优秀人物,给他们唱赞美诗,给他们刚才讲过的那些特殊礼遇,给以上座,羊羔美酒,这样对于这些男女勇士,既增强了他们的体质,还给了他们荣誉。

    格:你说得好极了。

    苏:好,那么,那些战死沙场,——如果有人死后英名扬,难道我们不能首先肯定他是名门望族的金种子吗?

    格:绝对可以。

    苏:我们要不要相信,赫西俄德诗篇里①所说的黄金种子死后成为“置身河岳的精灵,保卫下民的救星”?

    ①《工作与农时》191以下。

    格:当然要。

    苏:我们要不要去询问一下阿波罗,然后按照他所指示的隆重方式安葬这些勇士神人?

    格:我们还能采用什么别的方式吗?

    苏:而且,以后我们还要对他们的坟墓按时祭扫,尊崇死者有若神明。我们还要把同样的荣誉给予那些因年老或别的原因而死亡的,在正常的一生活动中表现得特别优秀的人物。对吗?

    格:肯定对的。

    苏:再说,我们的士兵应当怎样对待敌人?

    格:在哪方面?

    苏:首先在变战败者为奴隶方面。希腊人征服别的希腊城邦,把同一种族的人降为奴隶,你以为这样做是合乎正义的吗?还是,——不但自己不这样,而且还竭力阻止别的城邦这样做,使大家看到有被蛮族征服的危险,使希腊人和希腊人团结起来,互不伤害蔚然成风。——还是这样合乎正义呢?

    格:希腊人大家团结一致的好。

    苏:那么,他们自己不要希腊人做自己的奴隶,同时劝告别的希腊人也不要希腊人做自己的奴隶?

    格:当然。无论如何,那样大家宁愿外抗蛮族,内求团结了。

    苏:在战场上作为胜利者,对于被击毙的敌人,除武器外,不去剥取死者其它东西,是不是这样好些?搜剥敌尸财物,仿佛在做什么不可少的事情一样,这不让一些贪生怕死的胆小鬼找到了借口,他们可以不去追击活着的敌人了吗?不是有过许多军队曾断送于这种只顾抢劫的行为吗?

    格:的确是的。

    苏:你不觉得抢劫死尸是卑鄙龌龊的行为吗?把死者的尸体看作敌人,而让真正的敌人丢下武器远走高飞,这不是女流之辈胸襟狭隘的表现吗?这种行为与狗儿向着扔中它们的石头狂叫,却不过去咬扔石头的人,有什么两样呢?

    格:丝毫没有两样。

    苏:因此,我们一定要禁止抢劫死尸,一定要给死者埋葬。

    格:真的,我们一定要这样做。

    苏:再说,我们也不要把缴获的武器送到庙里,作为捐献的祭品,为了关心维护与其他希腊人的友好关系,尤其不要把希腊人的武器送去。我们倒真该害怕把同种人的这些武器,作为祭品送到庙里去,以至亵渎神圣,除非神指示要这样做。

    格:再对不过了。

    苏:关于蹂躏敌方希腊人的土地和焚烧敌方希腊人的房屋的问题,你的士兵们究竟应该怎样去对待呢?

    格:我很高兴听听你对这个问题的意见。

    苏:据我看,他们对希腊敌人既不能蹂躏土地也不该焚烧房屋。他们应该限于把一年的庄稼运走。要不要我把理由告诉你?

    格:要。

    苏:我的看法是:正如我们有两个不同的名称——“战争”与“内讧”一样,我们也有两个不同的事情。所谓两个不同的事情,一指内部的,自己人的;一指国外的,敌我的。国内的冲突可称为“内讧”,对外的冲突可称为“战争”。

    格:你的话很中肯。

    苏:如果我说希腊人与希腊人之间的一切关系是属于内部的,自家人的;希腊人与蛮族之间的关系是属于外部的,敌我的;请问,你觉得我这个话也同样中肯吗?

    格:很中肯。

    苏:那么,当希腊人抗拒野蛮人,或者野蛮人侵略希腊人,他们是天然的敌人,他们之间的冲突必须叫做“战争”;

    如果希腊人同希腊人冲突,他们是天然的朋友,不过希腊民族不幸有病,兄弟不和罢了,这种冲突必须叫做“内讧”。

    格:我完全同意你的看法。

    苏:那么,研究一下我们现在所说的“内讧”问题吧。当内讧发生,一个国家,分裂为二,互相蹂躏其土地,焚烧其房屋,这种荒谬绝伦的行动,使人觉得双方都不是真正的爱国者;否则他们为什么要这样残酷地去伤害自己衣食父母的祖国呢?但是我们认为,如果胜利者仅限于把对手所收获的庄稼带走,他们的所作所为表明他们还是指望将来言归于好,停止没完没了的内战的,那么他们的行为就还是适度的,可理解的。

    格:是的,这种想法还比较文明些,比较合乎人情些。

    苏:好。那么,你要创建的城邦,是一个希腊城邦吗?

    格:一定是的。

    苏:那么,这个城邦的公民不都是文明的君子人吗?

    格:确实是的。

    苏:他们要不要热爱同种族的希腊人?要不要热爱希腊故国的河山?要不要热爱希腊人共同的宗教信仰?

    格:当然要的。

    苏:他们不会把同种族希腊人之间的不和看作内部冲突,称之为“内讧”而不愿称之为“战争”吗?

    格:当然会的。

    苏:他们虽然争吵,但还时刻指望有朝一日言归于好吗?

    格:完全是这样。

    苏:那么,他们的目的在于善意告诫,而不在于恶意奴役和毁灭。他们是教导者,决不是敌人。

    格:很对。

    苏:那么,他们既然是希腊人,就不会蹂躏希腊的土地,焚毁希腊的房屋。他们也不会把各城邦的希腊人(少数罪魁祸首除外),不论男女老少,都当作敌人;由于这些理由,他们决不会蹂躏土地,拆毁房屋,因为对方大多数人都是他们的朋友。他们作为无辜者进行战争只是为了施加压力,使对方自知悔误陪礼谢罪,达到了这个目标就算了。

    格:我同意你的说法。我们的公民应该这样对待自己的希腊对手。至于对付野蛮人,他们则应该象目前希腊人对付希腊人那样。

    苏:那么,我们要不要再给我们的护卫者制定这样一条法律:——不准蹂躏土地,不准焚烧房屋?

    格:要的。让我们认为这些话以及前面说过的那些话都是对的。

    但是,如果我们让你这样滔滔不绝地讲下去,亲爱的苏格拉底,我担心你将永远说不到那个你答应要解答的问题上来。这个问题是:我们所描述过的这样一种国家是否可能实现?如果可能,又怎样才能实现?我承认,你的国家如能实现,那是非常理想的;你没有描述到的,我还可以替你补足。我看到全国公民在战争中互不抛弃,彼此以兄弟、父辈、儿子相待,使他们无敌于天下;如果再加上女兵,或同男兵并肩作战或为了吓唬敌人,一齐努力,使他们无往不胜。我还看到你没有提及的种种平时在国内的好处。这些我都承认。如果这种国家实现的话,还有其它说不尽的好处,你也不必再去细讲了。但是,让我们立即来只说明这个问题:这是不是可能?如果可能的话,又怎么才可能?其余一切,我们不谈。

    苏:你这是对我的议论作了一次突然的攻击,对我的稍微犹豫你一点也不体谅。你或许不知道,我好不容易刚躲开了头两个浪头,你如今紧接着又向我掀起了第三个浪头,也是最大最厉害的一个浪头。等到你看到听到了这个浪头,你一定会谅解我,承认我的担心和稍作犹豫是自然的,因为要提出来讨论的这个议论是如此的奇特怪异。

    格:你越是这样推诿,我们越是不能放你走;无论如何,你一定得告诉我们,这种政治制度怎样才能实现。因此请讲下去,不要再浪费时间了。

    苏:好吧,我们首先要记得,我们是从研究“什么是正义”,“什么是不正义”的问题走到这儿来的。

    格:是的,那又怎么样呢?

    苏:哦,没有什么。问题在这里。如果我们真找到了什么是正义的话,我们是不是要求一个正义的人和正义本身①毫无差别,在各方面都完全一模一样呢?还是,只要正义的人能够尽量接近正义本身,体现正义比别人多些,我们也就满意了呢?

    ①“本身”,即柏拉图的理念。

    格:哦,尽量接近标准就可以使我们满意了。

    苏:那么,我们当初研究正义本身是什么,不正义本身是什么,以及一个绝对正义的人和一个绝对不正义的人是什么样的(假定这种人存在的话),那是为了我们可以有一个样板。我们看着这些样板,是为了我们可以按照它们所体现的标准,判断我们的幸福或不幸,以及我们的幸福或不幸的程度。

    我们的目的并不是要表明这些样板能成为在现实上存在的东西。

    格:你的话是真的。

    苏:如果一个画家,画一个理想的美男子,一切的一切都已画得恰到好处,只是还不能证明这种美男子能实际存在,难道这个画家会因此成为一个最糟糕的画家吗?

    格:不,我的天啊,当然不能这样说。

    苏:那么,我们说我们不是在这里用词句在创造一个善的国家吗?

    格:确是如此。

    苏:那么,如果我们不能证明一个国家能在现实中管理得象我们所锚述的那样好,难道就可以因此说我们的描述是最糟糕的理论吗?

    格:当然不可以。

    苏:道理就在这里。但是,如果我为了使你高兴,设法给你指出,在什么情况下和在哪个方面我所描述的这些东西最可能接近实现。请把你前面同意过的话再说一遍。

    格:什么话?

    苏:凡是说过的都一定要做到,这可能吗?还是说,真理通常总是做到的比说到的要少?也许有人不这样认为。可是你同意不同意我这个说法?

    格:同意。

    苏:那么,你就不要老是要我证明,我用词句描述的东西是可以完完全全地做得到的了。不,如果我们能够找到一个国家治理得非常接近于我们所描写的那样,你就得承认,你所要求的实现已经达到,你已经满意了。你说你满意了没有?

    我自己是觉得满意了。

    格:我也觉得满意了。

    苏:第二件要做的事情看来是,设法寻找和指出在现行的那些城邦法制中是什么具体缺点妨碍了他们,按照我们所描写的法制去治理它;有什么极少数的变动就可以导致他们所企求的符合我们建议的法律;如果一项变动就够了,那是最好,如果一项不行,就两项,总之变动愈少愈小愈是理想。

    格:确是如此。

    苏:那么,我们可以指出,有一项变动可以引起所要求的改革。这个变动并非轻而易举,但却是可能实现的。

    格:那是什么变动呢?

    苏:哦!我想我已临近我们所比拟的那个最大的怪论之浪了。然而我还是要讲下去。就是为此把我淹没溺死在讥笑和藐视的浪涛当中,我也愿意。好,现在听我讲下去。

    格:讲下去吧。

    苏:除非哲学家成为我们这些国家的国王,或者我们目前称之为国王和统治者的那些人物,能严肃认真地追求智慧,使政治权力与聪明才智合而为一;那些得此失彼,不能兼有的庸庸碌碌之徒,必须排除出去。否则的话,我亲爱的格劳孔,对国家甚至我想对全人类都将祸害无穷,永无宁日。我们前面描述的那种法律体制,都只能是海客谈瀛,永远只能是空中楼阁而已。这就是我一再踌躇不肯说出来的缘故,因为我知道,一说出来人们就会说我是在发怪论。因为一般人不容易认识到:除了这个办法之外,其他的办法是不可能给个人给公众以幸福的。

    格:哦,苏格拉底,你信口开河,在我们面前乱讲了这一大套道理,我怕大人先生们将要脱去衣服,赤膊上阵,顺手拣起一件武器向你猛攻了。假使你找不到论证来森严你的堡垒,只是弃甲曳兵而逃的话,那时你将尝到为人耻笑的滋味了。

    苏:都是你把我搞得这么尴尬的。

    格:我是做得对的。但我不会袖手旁观,我将尽我之所能帮助你。我可以用善意和鼓励帮助你,也许我还可以答复你的问题答得比别人恰当些。因此,在我的支持下,你去试着说服那些怀疑派去吧:真理的确是在你的一边。

    苏:有你这样一个坚强的朋友,我一定去试。我觉得,如果我们要能避过你所讲的那种攻击,我们必须对我们敢于认为应该做我们治理者的那种哲学家,给以明确的界说。在哲学家的界说明确后,我们就可以无所畏惧了,因为那时我们可以向人们指出,研究哲学和政治艺术的事情天然属于爱智者的哲学家兼政治家。至于其余的人,不知研究哲学但知追随领导者是合适的。

    格:给以清楚的界说,不宜再迟了。

    苏:那么,跟我来罢,我们也许有什么办法可以来说明我们的意思。

    格:讲下去吧。

    苏:那么,不必我提醒你,你一定还记得,如果我们说一个人是一样东西的爱好者,如果我们称他为这东西的爱好者说得不错的话,意思显然是指,他爱这东西的全部,不是仅爱其中的一部分而不爱其余部分。

    格:看来我需要你的提醒,我实在不太理解。

    苏:格劳孔啊,你那个答复对别人适合,对你并不适合。

    象你这样一个“爱者”不应该忘记,应该懂得所有风华正茂的青少年总能拨动爱孩子的人的心弦,使他觉得可爱。你对美少年的反应不是这样吗?看见鼻扁者你说他面庞妩媚;看见鹰鼻者你说他长相英俊;看见二者之间鼻型的人你说他匀称恰到好处;看见面黑的人你说他英武勇敢;看见面白的你说他神妙秀逸。“蜜白”这个形容词,本身就是爱者所发明,用来称呼瘦而白的面容的。一句话,只要是在后起之秀者身上,你便没有什么缺点不可以包涵的,没有什么优点会漏掉而不加称赞的。

    格:如果你一定要我充当具有这种倾向的爱者的代表的话,为了便于论证起见,我愿意充当。

    苏:再说,爱喝酒的人怎么样?你没有注意到他们也有这种情况吗?他们爱喝每一种酒,并且都有一番道理。

    格:确是这样。

    苏:至于爱荣誉的人,我想你大概看到过也是这样的。他们做不到将军,做连长也可以;得不到大人物的捧场,让小人物捧捧也过瘾。不论怎样,荣誉他们是少不得的。

    格:是的,不错。

    苏:那么,你肯不肯再回答一次我的这个问题:——当我们说某某人爱好某某东西,不管是什么东西,他是爱好这个东西的全部呢,还是仅爱好它的一部分呢?

    格:全部。

    苏:那么,关于哲学家我们不也可以这么说吗?哲学家是智慧的爱好者,他不是仅爱智慧的一部分,而是爱它的全部。

    格:是的,他爱全部。

    苏:那么,一个不爱学习的人,特别是如果他还年轻,还不能判断什么有益,什么无益,我们就不会说他是一个爱学习的人,或一个爱智的人。正象一个事实上不饿因而不想吃东西的人,我们不会说他有好胃口,说他是一个爱食者一样。

    格:很对。

    苏:如果有人对任何一门学问都想涉猎一下,不知厌足——这种人我们可以正确地称他为爱智者或哲学家吗?

    格:如果好奇能算是爱智的话,那么你会发现许多荒谬的人物都可以叫做哲学家了。所有·爱·看的人都酷爱学习,因此也必定被包括在内,还有那些永远·爱·听的人也不在少数,也包括在内。——这种人总是看不到他们参加任何认真的辩论,认真的研究;可是,仿佛他们已把耳朵租出去听合唱了似地,一到酒神节,他们到处跑,不管城里乡下,只要有合唱,他们总是必到。我们要不要称这些人以及有类似爱好的人,还有那些很次要的艺术的爱好者为哲学家呢?

    苏:决不要。他们只是有点象哲学家罢了。

    格:那么,哪些是真正的哲学家呢?

    苏:那些眼睛盯着真理的人。

    格:这话很对,不过你所指的究竟是什么意思呢?

    苏:和别人讲很难说得明白,但是和你讲,我想,你会同意我下述论点的。

    格:什么论点?

    苏:美与丑是对立的,它们是二。

    格:哦,当然。

    苏:它们既是二,各自则为一。

    格:是的。

    苏:我们可以同样说别的相反的东西,正义与非正义,善与恶,以及其它类似的理念。这个说法作如下表述也能成立:

    就它们本身而言,各自为一,但由于它们和行动及物体相结合,它们彼此互相结合又显得无处不是多。

    格:你说得对。

    苏:那么,我这里一定要划一条线把两种人分开来。在那一边是你说过的看戏迷、艺术迷、爱干实务的人;在这一边是我们所讨论的这种人。只有这边的这些人才配叫做哲学家。

    格:你说的是什么意思?

    苏:一种人是声色的爱好者,喜欢美的声调、美的色彩、美的形状以及一切由此而组成的艺术作品。但是他们的思想不能认识并喜爱美本身。

    格:确实如此。

    苏:另一种人能够理解美本身,就美本身领会到美本身,这种人不是很少吗?

    格:很少,很少。

    苏:那么,一个人能够认识许多美的东西,但不能认识美本身,别人引导他去认识美本身,他还总是跟不上——你认为这种人的一生是如在梦中呢还是清醒的呢?请你想想看,一个人无论是睡着还是醒着,他把相似的东西当成了事物本身,他还不等于在梦中吗?

    格:我当然要说,他的一生如在梦中。

    苏:好,再说相反的一种人,这种人认识美本身,能够分别美本身和包括美本身在内的许多具体的东西,又不把美本身与含有美的许多个别东西,彼此混淆。这个人的一生,据你看来,是清醒的呢,还是在梦中呢?

    格:他是完全清醒的。

    苏:那么,我们说能有这种认识的这种人的心智具有“知识”,而前一种人,由于只能有那样的“意见”,所以我们说他们的心智有的只是意见而已,这样说不对吗?

    格:当然对的。

    苏:假使那个如我们所说的,只有意见,没有知识的人,大发脾气,不服我们的说法,说我们是在欺骗他,那么,我们要不要好言相慰,然后婉转地让他知道,他的心智是不太正常的呢?

    格:我们应该婉转地让他知道这一点。

    苏:那么让我们想一想对他该说些什么话吧。我们要不要这样说:他们有知识,我们非但不妒忌,反而很高兴。然后再问他肯不肯答复下面这个问题:“一个有知识的人,总是知道一点点的呢还是一无所知的呢?”你来代他答复一下看。

    格:我将这样答复——“这个人总是知道一点点的”。

    苏:这个“一点点”是“有”还是“无”①?

    ①“有”、“无”或译为“存在”与“不存在”。

    格:“一点点”是“有”,“无”怎么可知呢?

    苏:因此,即使从一切方面来考虑这个问题,我们都完全可以断言,完全有的东西是完全可知的;完全不能有的东西是完全不可知的。

    格:是的,完全可以这样断言。

    苏:好,假使有这样一种东西,它既是有又是无,那么这种东西能够是介于全然有与全然无之间的吗?

    格:能够是的。

    苏:那么,既然知识与有相关,而无知必然与无相关,因此,我们必须要找出和无知与知识之间的状况相对应的东西来,如果有这种东西的话。

    格:是的。

    苏:不是有一种我们叫做“意见”的东西吗?

    格:有的。

    苏:它和知识是同一种能力呢还是另一种能力呢?

    格:是另一种能力。

    苏:意见与知识由于是不同的能力,它们必然有不同的相关者。

    格:必然有。

    苏:因此,知识天然地与有相关,知识就是知道有和有者的存在状况。不过等一等,这里有一个区别,我认为必须把它说明一下。

    格:什么区别?

    苏:让我把我们身上以及其它一切东西所具有的功能归并起来作为一个类,即,使我们能够做各种力所能及的工作的“能力”。例如视、听就是我们指的这种能力,①如果对我所指的这个类你和我有相同理解的话。

    ①官能。

    格:我也这样理解。

    苏:那么让我把我对这些功能的印象告诉你吧。我看不到功能有颜色、形状或其它类似的,在别的许多场合,我凭它们就能划分各类事物的那种特质。对于功能我只注意一件事,即它的相关者和效果。我就是凭这个来把各种功能称作一个功能的。关系着同一件事完成同一件事,我们就说功能是同一功能;关系着不同的事,完成不同的事,我们就说功能是不同的功能。你以为怎样?你是不是这样做的?

    格:同你一样。

    苏:那么,我的好朋友,言归正传。请你告诉我,你以为“知识”是一种能力吗?或者,你还有别的归类方法吗?

    格:没有别的归类法,能力是所有功能中力量最大的一种。

    苏:“意见”怎么样?我们应该不把它归入能力而归入别的什么类吗?

    格:不行。因为使我们能有意见的力量只能是形成意见的能力不能是别的。

    苏:但是,不久以前你刚同意过说知识[πισeμη]与意见[δk′ξα]不是一回事呀。

    格:是的,因为没有一个明白事理的人会把绝对不会有错误的东西和容易有错误的东西混为一谈的。

    苏:好极了。我们显然看法相同:意见和知识不是一回事。

    格:它们不是一回事。

    苏:因此,它们各有各的相关者,既然它们各有各的能力。

    格:必然如此。

    苏:据我看,知识与“有”相关,知识的目的在于认识“有”的状况。

    格:是的。

    苏:至于意见,我们认为它不过形成意见。

    格:是的。

    苏:知识的对象与意见的对象相同,可知的东西和可以对之有意见的东西也将相同呢,还是说,它们是不可能相同的呢?

    格:根据我们一致同意的原则来看,它们不可能是相同的。如果不同的能力天然有不同的对象,又,如我们主张的。

    意见与知识是不同的能力,那么,知识与意见的对象也当然是不同的了。

    苏:如果“有”是知识的对象,那么意见的对象一定不是有,而是另外一种东西了,对吗?

    格:对的,一定是另外一种东西。

    苏:那么意见的对象是“无”吗?还是说,关于“无”连有一个“意见”也是不行的呢?想想看吧。一个有意见的人他的意见不是对某种东西的吗?或者请问:一个人有意见,却是对于无的意见,——这是可能的吗?

    格:不,这是不可能的。

    苏:因此,一个具有意见的人就是对某一个东西具有意见了?

    格:是的。

    苏:既是无,就不能说它是“某个东西”——只有称它“无”是最正确的。

    格:是的。

    苏:那么,我们必须把关于“无”者称作无知,把关于“有”者称作知识。

    格:很对。

    苏:那么一个人具有意见就既不是对于有的也不是对于无的了。

    格:的确,都不是的。

    苏:所以意见既非无知,亦非知识。

    格:看来是这样。

    苏:那么是不是超出它们,是不是比知识更明朗,比无知更阴暗?

    格:都不是。

    苏:因此,你是不是把意见看作比知识阴暗,比无知明朗。

    格:完全是这个想法。

    苏:是介于两者之间?

    格:是的。

    苏:因此,意见就是知识和无知两者之间的东西了。

    格:绝对是的。

    苏:我们前面说过:如果有什么东西显得既是有,同时又是无,那它就处于完全的有和完全的无之间,与之对应的能力就既不是知识又不是无知,而是处于这两者之间的一种能力。我们不是这么说过吗?

    格:对的。

    苏:我们刚才看到了,在知识和无知之间有一种被我们称之为意见的东西。

    格:看到了。

    苏:那么剩下来要我们做的事情就是去发现既是有又是无,不能无条件地说它仅是有或仅是无的那种东西了。如果我们能找到了它,我们就相当有理由说这就是意见的对象,于是把两端的东西与两端相关联,把中间的东西与中间相关联。

    我这样说你能同意吗?

    格:同意。

    苏:这些原则已经肯定了。现在让那位爱看景物的人有话可以说出来,我要让他答复我的问题。他不相信有永远不变的美本身或美的理念,而只相信有许多美的东西,他绝对不信任何人的话,不信美本身是“一”,正义本身是“一”,以及其它东西本身是“一”,等等。我们问他:我的好朋友,在这许许多多美的东西里,难道没有一丁点儿丑的东西吗?在许许多多正义的东西里,难道没有一丁点儿不正义的东西吗?在许许多多虔诚的东西里,难道没有一丁点儿不虔诚的东西吗?

    格:不,必定有的。这许多美的东西都会以某种方式显得既是美的,又是丑的。你所问及的其它东西也无不如此。

    苏:还有许多东西不是有些东西的双倍吗?它们显得是一样东西的双倍,难道不同样又显得是另一样东西的一半吗?

    格:是的。

    苏:还有许多东西我们说它们是大的或小的,轻的或重的,难道不可以同样把大的看作小的,小的看作大的,轻的看作重的,重的看作轻的吗?

    格:都是可以的。彼此可以互通的。

    苏:那么,这些多样性的东西中每一个是不是只能说是这样的而不能(如有些人主张的)是那样的呢?

    格:这很象那些在宴席上用模棱两可的话难人的把戏,或小孩子玩的猜那个含义模棱的谜语一样,——那个关于太监用什么东西打一只蝙蝠,蝙蝠停在什么东西上的谜语①。这些事物都太模棱,以至无法确切决定,究竟是它还是非它;还是,既是它又非它;或者还是,既不是它,也不是非它。

    ①谜语是:一个男人(又非男人)见(又非见)鸟(又非鸟)停在一根树枝(又非树枝)上,用石块(又非石块)打它。谜底应是:太监瞥见一只蝙蝠停在一根芦苇上,用一块轻石片去打它。

    苏:那么,你有没有对付它们的办法呢?除了在“是”和“不是”之间,你还能找到什么更好的地方去安置它们吗?须知,不可能找到比不存在更暗的地方,以致使它更不实在些,也不可能找到比存在有更明朗的地方,以致使它更实在些。

    格:极是极是。

    苏:因此看来,我们似乎已经发现到了:一般人关于美的东西以及其它东西的平常看法,游动于绝对存在和绝对不存在之间。

    格:的确是的。

    苏:但是我们在前面已一致同意:如果我们找到了这类东西,它应该被说成是意见的对象,而不应该被说成是知识的对象;这种东西游动于中间地区,且为中间的能力或官能所理解。

    格:是的,我们同意过。

    苏:因此,那些只看到许许多多·美·的·东·西,许许多多正义的东西,许许多多其它的东西的人,虽然有人指导,他们也始终不能看到·美·本·身,正义等等本身。关于他们我们要说,他们对一切都只能有意见,对于那些他们具有意见的东西谈不上有所知。

    格:这是必定的。

    苏:相反,关于那些能看到每一事物本身,甚至永恒事物的人们,我们该说什么呢?我们不应该说他们具有知识而不是具有意见吗?

    格:必定说他们具有知识。

    苏:我们不想说,他们专心致志于知识的对象,而另一种人只注意于意见的对象吗?你还记得吗,我曾说过,后一种人专注意于声色之美以及其它种种,他们绝对想不到世上会有美本身,并且是实在的?

    格:是的,我们还记得。

    苏:因此,如果我们称他们为爱意见者,而不称他们为爱智者,我们不会有什么冒犯他们吧?如果我们这样说,他们会对我们生气吗?

    格:他们如果相信我的劝告,是不会生气的。因为对真理生气是不对的。

    苏:那些专心致志于每样东西的存在本身的人,我们是不是必须称他们为爱智者而不称他们为爱意见者呢?

    格:是的,当然是的。

    第六卷

    苏:那么,格劳孔,经过这么漫长而累人的讨论,我们终于搞清楚了,什么样的人才是真哲学家,什么样的人不是真哲学家了。

    格:要知道,欲速则不达呀。

    苏:我觉得不是这样。我还是认为,如果我们仅仅讨论这一个问题,如果不是还有许多其他的问题需要我们同时加以讨论的话(这些问题是一个希望弄清楚正义者的生活和不正义者的生活有何区别的人所必须研究的),我们或许把这个问题已经弄得更清楚了呢。

    格:且说,下面我们该讨论什么问题呢?

    苏:是的,我们应当考虑接下来要讨论的问题。既然哲学家是能把握永恒不变事物的人,而那些做不到这一点,被千差万别事物的多样性搞得迷失了方向的人就不是哲学家,那么,两种人我们应该让哪一种当城邦的领袖呢?

    格:你说我们怎么回答才对呢?

    苏:我认为谁看来最能守卫城邦的法律和习惯,就确定让谁做城邦的护卫者。

    格:对。

    苏:再说,一个不管是看守什么事物的人,应当用一个盲者呢还是用一个视力敏锐的人去担当呢?这个问题的答案该是一明二白的吧?

    格:当然是明明白白的。

    苏:你认为下述这种人与盲者有什么不同吗:他们不知道每一事物的实在,他们的心灵里没有任何清晰的原型,因而不能象画家看着自己要画的东西那样地注视着绝对真实,不断地从事复原工作,并且,在必要时尽可能真切地注视着原样,也在我们这里制订出关于美、正义和善的法律,并守护着它们?

    格:真的,这种人与盲者没有多大区别。

    苏:另外还有一种人,他们知道每一事物的实在,而且在经验方面也不少似上述那种人,在任何一种美德方面也不差似上述那种人,那么,我们还不任命这种人当护卫者反而去任命上述那种类似盲者的人当护卫者吗?

    格:的确,不挑选这种人当护卫者是荒唐的,如果他们在经验和别的美德方面都不差的话,因为他们这种懂得事物实在的知识或许是一切美德中最大的美德呢。

    苏:现在我们不是应该来讨论这样一个问题了吗:同一的人怎能真的具有这两个方面优点的?

    格:当然应该。

    苏:那么,正如这一讨论之初我们曾经说过的,我们首先必须弄清楚哲学家的天性;我还认为,如果我们在这个问题上取得了足够一致的意见,我们就也会在下列问题上取得一致的认识:同一的人们同时具有两种品质是可能的;以及,应当正是让这种人而不是让别种人当城邦的统治者。

    格:是吗?

    苏:让我们一致认为这一点是哲学家天性方面的东西吧:

    即永远酷爱那种能让他们看到永恒的不受产生与灭亡过程影响的实体的知识。

    格:就把这一点作为我们一致的看法吧。

    苏:再让我们一致认为:他们爱关于实体的知识是爱其全部,不会情愿拒绝它的一个无论大点的还是小点的,荣誉大点的还是荣誉小点的部分的。这全象我们前面在谈到爱者和爱荣誉者时所说过的那样。①

    ①474c以下。

    格:你说得对。

    苏:那么请接下来研究一个问题:如果他们一定是我们所说过的那种人,那么在他们的天性里此外就一定不再有别种品质也是必具的了?

    格:哪种品质?

    苏:一个“真”字。他们永远不愿苟同一个“假”字,他们憎恶假,他们爱真。

    格:可能是的。

    苏:我的朋友呀,不是仅仅“可能”如此,是“完全必定”如此:一个人天性爱什么,他就会珍惜一切与之相近的东西。

    格:对。

    苏:你还能找到什么比真实与智慧关系更相近的吗?

    格:不能了。

    苏:那么,同一天性能够既爱智慧又爱假吗?

    格:是无论如何也不可能的。

    苏:因此,真正的爱知者应该从小时起就一直是追求全部真理的。

    格:无疑是的。

    苏:再说,凭经验我们知道,一个人的欲望在一个方面强时,在其他方面就会弱,这完全象水被引导流向了一个地方一样。

    格:是的。

    苏:当一个人的欲望被引导流向知识及一切这类事情上去时,我认为,他就会参与自身心灵的快乐,不去注意肉体的快乐,如果他不是一个冒牌的而是一个真正的哲学家的话。

    格:这是完全必然的。

    苏:这种人肯定是有节制的,是无论如何也不会贪财的;

    因为,别的人热心追求财富和巨大花费所要达到的那种目的①,是不会被他们当作一件重要事情对待的。

    ①指物质享受,肉体的快乐。

    格:是这样。

    苏:在判别哲学家的天性和非哲学家的天性上还有一点是需要注意的。

    格:哪一点?

    苏:你可别疏忽了任何一点胸襟偏窄的毛病。因为哲学家在无论神还是人的事情上总是追求完整和完全的,没有什么比器量窄小和哲学家的这种心灵品质更其相反的了。

    格:绝对正确。

    苏:一个人眼界广阔,观察研究所有时代的一切实在,你想,他能把自己的一条性命看得很重大吗?

    格:不可能的。

    苏:因此,这种人也不会把死看作一件可怕的事情吧?

    格:绝对不会的。

    苏:那么,胆怯和狭隘看来不会属于真正哲学家的天性。

    格:我看不会。

    苏:一个性格和谐的人,既不贪财又不偏窄,既不自夸又不胆怯,这种人会待人刻薄处事不正吗?

    格:不会的。

    苏:因此,这也是你在识别哲学家或非哲学家灵魂时所要观察的一点:这人从小就是公正温良的呢还是粗暴凶残的呢?①

    ①比读375b—c。

    格:的确。

    苏:我想你也不会疏忽这一点的。

    格:哪一点?

    苏:学习起来聪敏还是迟钝呀。一个人做一件事如果做得不愉快,费了好大的劲然而成效甚微,你想他能真正热爱这项工作吗?

    格:不会的。

    苏:还有,一个人如果健忘,学了什么也记不得,他还能不是一个头脑空空的人吗?

    格:怎能不是呢?

    苏:因此,一个人如果劳而无功,他最后一定深恨自己和他所从事的那项工作。

    格:怎能不呢?

    苏:因此一个健忘的灵魂不能算作真正哲学家的天性,我们坚持哲学家要有良好的记性。

    格:完全对。

    苏:我们还应该坚持认为,天性不和谐、不适当只能导致没分寸,不能导致别的什么。

    格:一定是的。

    苏:你认为真理与有分寸相近呢还是与没分寸相近呢?

    格:和有分寸相近。

    苏:因此,除了别的品质而外,我们还得寻求天然有分寸而温雅的心灵,它本能地就很容易导向每一事物的理念。

    格:当然还得注意这一品质。

    苏:那么怎么样?我们还没有以某种方式给你证明,上面列述的诸品质是一个要充分完全地理解事物实在的灵魂所必须具备的又是相互关联的吗?

    格:是最必需的。

    苏:综上所述,一个人如果不是天赋具有良好的记性,敏于理解,豁达大度,温文而雅,爱好和亲近真理、正义、勇敢和节制,他是不能很好地从事哲学学习的。那么,如果是一个具备了这些优良品质的人从事这一学习,对此你还有什么可指摘的吗?

    格:对此虽玛摩斯[oωiμb,希腊诸神之一,爱挑剔诸神的缺点]也无法挑剔了。

    苏:因此,象这样的人——在他们教育完成了,年龄成熟了的时候——不是也只有这样的人你才肯把国家托付给他们吗?

    阿得曼托斯:苏格拉底啊,对于你上面所说的这些话虽然没人能加以反驳,然而这些一直在听着你刚才的讨论的人,他们觉得:他们由于缺乏问答法的经验,在每一问之后被你的论证一点儿一点儿地引入了歧途,这些一点儿一点儿的差误积累起来,到讨论进行到结论时,他们发现错误已经很大,结论已经和他们原先的看法相反了;他们觉得,这正如两人下棋,棋艺差的人最后被高手所困,一个子儿也走不动了一样,他们在这场不是使用棋子而是运用语言的竞技中也被最后逼得哑口无言了;然而真理是不会因口才高低而有任何改变的。我是注意到了刚才的讨论情况说这个话的。因为现在人们可能会说,他们虽然口才不好,不能在每一提问上反驳你,但作为事实,他们看到热爱哲学的那些人,不是仅仅为了完成自己的教育而学一点哲学并且在还年轻时就放下它,而是把学习它的时间拖得太长,以致其中大多数变成了怪人(我们且不说他们变成了坏蛋),而那些被认为是其中最优秀者的人物也还是被你们称赞的这种学习变成了对城邦无用的人。

    苏:〔听了他的这些话之后我说道〕:你认为他们说的这些话是错的吗?

    阿:我不知道,我很高兴听听你的意见。

    苏:你可以听到的意见大概是:“我觉得他们说得对。”

    阿:既然我们①一致认为哲学家对城邦无用,那么“在哲学家统治城邦之前城邦不能摆脱邪恶”——你的这个论断又怎能成立呢?

    ①指对话者双方。

    苏:你的这个问题须用譬喻来解答。

    阿:啊,我想,你诚然不是惯于用譬喻说话的呀!

    苏:你已把我置于如此进退维谷的辩论境地,现在又来讥笑我了。不过,还得请你听我的比喻,然后你可以更清楚地看到,我是比喻得多么吃力了。因为,最优秀的人物他们在和城邦关系方面的感受是很不愉快的,并且世界上没有任何一种单一的事物和这种感受相象,因此为了比得象,以达到替他们辩护的目的,需要把许多东西凑到一起来拼成一个东西,象画家们画鹿羊之类怪物时进行拼合那样。好,请设想有一队船或一只船,船上发生这样的事情:船上有一个船长,他身高力大超过船上所有船员,但是耳朵有点聋,眼睛不怎么好使,他的航海知识也不太高明。船上水手们都争吵着要替代他做船长,都说自己有权掌舵,虽然他们从没学过航海术,都说不出自己在何时跟谁学过航海术。而且,他们还断言,航海术是根本无法教的,谁要是说可以教,他们就准备把他碎尸万段。同时,他们围住船长强求他,甚至不择手段地骗他把舵交给自己;有时他们失败了,别人被船长同意代为指挥,他们就杀死别人或把别人逐出船去,然后用麻醉药或酒之类东西把高贵的船长困住;他们夺得了船只的领导权,于是尽出船上库存,吃喝玩乐,他们就照自己希望的这么航行着。不仅如此,凡是曾经参与阴谋,狡猾地帮助过他们从船长手里夺取权力的人,不论是出过主意的还是出过力的,都被授以航海家、领航、船老大等等荣誉称号,对不同伙的人,他们就骂是废物。其实,真正的航海家必须注意年、季节、天空、星辰、风云,以及一切与航海有关的事情,如果他要成为船只的真正当权者的话;并且,不管别人赞成不赞成,这样的人是必定会成为航海家的。如果不是事实如此的话,那些人大概连想都没想到过,在学会航海学的同时精通和实践这一技术是有可能的。你再说说看,在发生过这种变故之后的船上,一个真正的航海家在这些篡了权的水手中会被怎样看待呢?他们不会把他叫做唠叨鬼、看星迷或大废物吗?

    阿:正是的。

    苏:那么我想你是不再需要听我来解释这个比喻了,因为你已经明白了,我是用它来说明一个真正的哲学家在城邦中的处境的。

    阿:的确。

    苏:那么,你碰到谁对哲学家在我们这些城邦里不受尊重的状况感到惊讶,就请你首先把这个比方说给他听一听,再努力使他相信,要是哲学家受到尊重,那才更是咄咄怪事呢!

    阿:行,就这么办。

    苏:你还要告诉他:他说哲学家中的最优秀者对于世人无用,这话是对的;但是同时也要对他说清楚,最优秀哲学家的无用其责任不在哲学本身,而在别人不用哲学家。因为,船长求水手们受他管带或者智者趋赴富人门庭[有学问的人向没有学问的富人表示敬意],都是不自然的。“智者们应趋富人门庭”这句俏皮话是不对的。真正合乎自然的事理应当是这样:一个人病了,不管他是穷人还是富人,应该是他趋赴医生的家门去找医生,任何要求管治的人应该是他们自己登门去请有能力管治他们的人来管他们。

    统治者如果真是有用的统治者,那么他去要求被统治者受他统治是不自然的。你如果把我们当前的政治统治者比作我们刚才所说的那种水手,把被他们称做废物、望星迷的哲学家比做真正的舵手,你是不会错的。

    阿:绝对正确。

    苏:因此,根据这些情况看来,在这样一些人当中,哲学这门最可贵的学问是不大可能得到反对者尊重的;然而使哲学蒙受最为巨大最为严重毁谤的还是那些自称也是搞哲学的人——他们就是你在指出哲学的反对者说大多数搞哲学的人都是坏蛋,而其中的优秀者也是无用的时,你心里所指的那些人;我当时也曾肯定过你的话是对的。①是这样吗?

    ①见487d—e。

    阿:是的。

    苏:其中的优秀者所以无用,其原因我们有没有解释清楚呢?

    阿:已经解释清楚了。

    苏:那么,让我们接下来指出:大多数哲学家的变坏是不可避免的,以及,如果可以做得到的话,让我们再试着证明这也不能归咎于哲学。我们可以做这个了吗?

    阿:可以了。

    苏:让我们一问一答地,从回忆我们前面描述一个要成为美而善者的人必须从小具备的天性处说起吧。如果你还记得的话,真理是他时时处处要追随的领袖,否则他就是一个和真正哲学毫无关系的江湖骗子。

    阿:记得是这么说过的。

    苏:这一点不是跟今人对哲学家的看法刚好相反吗?

    阿:是的。

    苏:我们不是很有理由用如下的话为他辩护吗:追求真实存在是真正爱知者的天性;他不会停留在意见所能达到的多样的个别事物上的,他会继续追求,爱的锋芒不会变钝,爱的热情不会降低,直至他心灵中的那个能把握真实的,即与真实相亲近的部分接触到了每一事物真正的实体,并且通过心灵的这个部分与事物真实的接近,交合,生出了理性和真理,他才有了真知,才真实地活着成长着;到那时,也只有到那时,他才停止自己艰苦的追求过程?

    阿:理由不能再充分了。

    苏:这种人会爱虚假吗?或者正相反,他会恨它呢?

    阿:他会恨它的。

    苏:真理带路,我想我们大概可以说,不会有任何邪恶跟在这个队伍里的。

    阿:怎么可能呢?

    苏:真理的队伍里倒是有一个健康的和正义的心,由节制伴随着。

    阿:对。

    苏:没有必要从头再来证明一遍哲学家所应具的天性了吧?因为,你一定还记得,勇敢、大度、聪敏、强记是这种天赋所必具的品质。你曾提出反对意见说,虽然大家都不得不同意我们的话,但是,只要抛开言词,把注意力集中到言词所说到的那些人身上,大家就会说,他们所看到的实际是:那些人里有些是无用的,大多数则是干尽了坏事的。于是我们开始研究名声坏的原因,这方面现在我们已经走到了这一步[有些学哲学的人于世无用的问题已经讨论过了]。

    阿:的确难得。

    下面要研究,为什么其中大多数人变坏了的?为此我们重新提出了真正哲学家的天性问题并且确定了它必须是什么。

    阿:是这样。

    苏:我们必须在下面研究哲学家天性的败坏问题:为什么大多数人身上这种天性败坏了,而少数人没有;这少数人就是虽没被说成坏蛋,但被说成无用的那些人。然后我们再考察那些硬打扮成哲学家样子,自称是在研究哲学的人,看一看他们的灵魂天赋,看一看这种人是在怎样奢望着一种他们所不能也不配高攀的研究工作,并且以自己的缺乏一贯原则,所到之处给哲学带来了你所说的那种坏名声。

    阿:你所说的败坏是什么意思呢?

    苏:我将尽我所知试解释给你听。我想,任何人都会同意我们这一点:象我们刚才要求于一个完美哲学家的这种天赋是很难能在人身上生长出来的,即使有,也是只在很少数人身上生长出来的。你不这样认为吗?

    苏:请注意,败坏它的那些因素却是又多又强大的呢!

    阿:有哪些因素?

    苏:就中最使人惊讶的是,我们所称赞的那些自然天赋,其中每一个都能败坏自己所属的那个灵魂,拉着它离开哲学;

    这我是指的勇敢、节制,以及我们列举过的其余这类品质。

    阿:这听起来荒唐。

    苏:此外还有全部所谓的生活福利——美观、富裕、身强体壮、在城邦里有上层家族关系,以及与此关连的一切——

    这些因素也都有这种作用,我想你是明白我的意思的。

    阿:我明白;但是很高兴听到你更详细的论述。

    苏:你要把问题作为一个整体来正确地理解它。这样你就会觉得它很容易明白,对于我前面说的那些话你也就不会认为它荒唐了。

    阿:那么你要我怎么来理解呢?

    苏:我们知道,任何种子或胚芽(无论植物的还是动物的)如果得不到合适的养分、季节、地点,那么,它愈是强壮,离达到应有的发育成长程度就愈远,因为,恶对善比对不善而言是一更大的反对力量。

    阿:是的。

    苏:因此我认为这也是很合理的:如果得到的是不适合的培养,那么最好的天赋就会比差的天赋所得到的结果更坏。

    阿:是的。

    苏:因此,阿得曼托斯啊,我们不是同样可以说:天赋最好的灵魂受到坏的教育之后就会变得比谁都坏吗?或者,你认为巨大的罪行和纯粹的邪恶来自天赋差的,而不是来自天赋好的但被教育败坏了的人吗?须知一个天赋贫弱的人是永远不会做出任何大事(无论好事还是坏事)的。

    阿:不,还是你说得对。

    苏:那么,我们所假定的哲学家的天赋,如果得到了合适的教导,必定会成长而达到完全的至善。但是,如果他象一株植物,不是在所需要的环境中被播种培养,就会长成一个完全相反的东西,除非有什么神力保佑。或者你也象许多人那样,相信真有什么青年被所谓诡辩家[指象苏格拉底和他自己这类私人教师,与所谓的公众诡辩家对照。后者指那些用雄辩的演说在公共场所影响舆论的政治活动家或野心家]所败坏,相信真有什么私人诡辩家够得上说败坏了青年?说这些话的人自己才真是最大的诡辩家呢!不正是他们自己在最成功地教育着男的、女的、老的、少的,并且按照他们自己的意图在塑造着这些人吗?

    阿:什么时候?

    苏:每当许多人或聚集到一起开会,或出席法庭听取审判,或到剧场看戏,或到兵营过军事生活,或参加其他任何公共活动,他们就利用这些场合大呼小叫,或指责或赞许一些正在做的事或正在说的话,无论他们的指责还是赞许,无不言过其实;他们鼓掌哄闹,引起岩壁和会场的回声,闹声回声互助声势,变得加倍响亮。在这种场合你想一个年轻听众的心,如所说的,会怎么活动呢?有什么私人给他的教导能站得住不被众人的指责或赞许的洪流所卷走?他能不因此跟着大家说话,大家说好他也说好,大家说坏他也说坏,甚至跟大家一样地行事,并进而成为他们那样的人吗?

    阿:苏格拉底啊,这是完全必然的。

    苏:有一个最重要的“必然”我们还从未提到过呢?

    阿:哪一个呀?

    苏:这些教育家和诡辩家在用言词说不服的时候就用行动来强加于人。你没听说过他们用剥夺公民权、罚款和死刑来惩治不服的人吗?

    阿:他们的确是这样干的。

    苏:那么,你想有什么别的诡辩家[初时指教人修辞和辩论术的职业教师,无贬意,或译为“智者”;后来转化为指黑为白之徒]或私人教师的教导有希望能在这种力量悬殊的对抗中取得胜利呢?

    阿:我想是一个也没有的。

    苏:连起这种念头都是一个很大的愚蠢。因为用美德教育顶着这股公众教育的势力造就出一种美德来,这样的事情现在没有,过去不曾有过,今后也是永远不会有的。朋友,这我当然是指的人力而不是指的神功,神功(正如俗语所说的)不是一码子事。你大可以相信,在当前这样的政治状况下,如果竟有什么德性得救,得到一个好的结果,那么,你说这是神力保佑,是不会有错的。

    阿:我没有异议。

    苏:那么此外还有一点也希望你没有异议。

    阿:哪一点?

    苏:这些被政治家叫做诡辩派加以敌视的收取学费的私人教师,其实他们并不教授别的,也只教授众人在集会时所说出的意见,并称之为智慧。这完全象一个饲养野兽的人在饲养过程中了解野兽的习性和要求那样。他了解如何可以同它接近,何时何物能使它变得最为可怕或最为温驯,各种情况下它惯常发出几种什么叫声,什么声音能使它温驯,什么声音能使它发野。这人在不断饲养接触过程中掌握了所有这些知识,把它叫做智慧,组成一套技艺,并用以教人。至于这些意见和要求的真实,其中什么是美的什么是丑的,什么是善的什么是恶的,什么是正义的什么是不正义的,他全都一无所知。他只知道按猛兽的意见使用所有这些名词儿,猛兽所喜欢的,他就称之为善,猛兽所不喜欢的,他就称之为恶。他讲不出任何别的道理来,只知道称必然①的东西为正义的和美的。他从未看到过,也没有能力给别人解释必然者和善者的本质实际上差别是多么的大。说真的,你不觉得这样一个人是一个荒谬的教师吗?

    ①pιbμδjιαm’lαγη(“迪俄墨得斯的必须”或,“迪俄墨得斯的强迫”)是一句俗语,暗指佛拉吉亚的比斯同人的国王迪俄墨得斯的故事。传说这位国王曾强迫自己的俘虏和自己的女儿们同居。m’lm′γη译为“必然”、“必须”、“必定”都可以,是一个意思。

    阿:是的。

    苏:有人认为无论在绘画、音乐,还是甚至政治上,他的智慧就是懂得辨别五光十色的人群集会时所表现出来的喜怒情绪,那么你觉得他和上述饲养野兽的那种人又有什么区别呢?如果一个人和这种群众搞在一起,把自己的诗或其他的什么艺术作品或为城邦服务所做的事情放到他们的面前来听取他们的批评,没有必要地承认群众对他的权威,那么这种所谓“迪俄墨得斯的必须”①就会使他创作出(做出)他们所喜欢的东西(事情)来。但是,你可曾听说过有哪一条他拿来证明群众所喜欢的这些东西真是善的和美的的理由不是完全荒谬的?

    阿:我过去没听说过,我想以后也不会听到的。

    苏:那么,请你把所有这些话牢记心上,再回想到前面的问题上去。能有许多人承认或相信真实存在的只有美本身①而不是众多美的事物,或者说,有的只是任何事物本身①而不是许多个别特殊的东西?

    ①希腊文αh′ek′(本身),作为哲学用语,常常意指从一般的抽象的意义上理解的某事物,即指事物的“本质”、“实体”或“理念”。

    阿:绝对不可能。

    苏:因此,能有许多人成为哲学家吗?

    阿:不可能。

    苏:因此,研究哲学的人受到他们非难是必然的不可避免的。

    阿:是必不可免的。

    苏:那些跟众人混在一起讨取他们赞许的私人教师,他们非难哲学家也是必然的。

    阿:显然是的。

    苏:从这些情况你看到天生的哲学家有什么办法可以坚持自己的研究一直走到底吗?请你考虑这个问题时不要离开我们前面讲过了的话。我们曾一致同意:敏于学习,强于记忆、勇敢、大度是哲学家的天赋。

    阿:是的。

    苏:这种人从童年起不就常常一直是孩子中的尖子吗,尤其是假如他的身体素质也能和灵魂的天赋相匹配的话?

    阿:干吗不是呢?

    苏:我想,他的亲友和本城邦的同胞都会打算等他长大了用他为自己办事的。

    阿:当然。

    苏:因此他们将跪到他的脚下,向他祈求,向他致敬,估量着他将来的权力,向他献媚。

    阿:这种现象是常见的。

    苏:在这种情况下,你以为这个年轻人会怎么样呢,尤其是,假如他是一个大邦的公民,在这里富有财产,出身高贵,再加上人品俊秀身材魁伟的话?他不会野心勃勃而不能自制,幻想自己不仅有能力支派希腊人的事务而且有能力支配希腊世界以外的事务,于是乎妄自尊大骄奢自满起来吗?

    阿:他肯定会这样的。

    苏:一个处于这种精神状态下的人,如果有别人轻轻地走来对他说真话:他头脑胡涂,需要理性,而理性是只有通过奴隶般的艰苦磨练才能得到的,你以为在这种恶劣环境里他能容易听得进不同的话吗?

    阿:绝对不能。

    苏:即使我们假定这个青年由于素质好容易接受忠言,听懂了一点,动了心,被引向了哲学之路,我们可以设想,这时他原来那个圈子里的人由于预感到自己将不再能得到他的帮忙,他们将如何动作呢?他们就不说任何话做任何事来阻挠他被说服并使任何想说服他的人都无能为力——既用私人阴谋又用公众控告来达到这个目的吗?

    阿:这是完全必然的。

    苏:那么,这个人还能继续研究哲学吗?

    阿:根本不可能了。

    苏:因此你看到我们说得不错吧:构成哲学家天赋的那些品质本身如果受到坏教育或坏环境的影响,就会成为某种背离哲学研究的原因,跟所谓的美观、富裕,以及所有这类的生活福利一样?

    阿:说得对。

    苏:我的好朋友,适合于最善学问的最佳天赋——我们说过,它在任何情况下都是很难得的——其灭亡的道理就是这样,也就说这么多。对城邦和个人作大恶的人出自这一类;

    同样,造大福于城邦和个人的人——如果碰巧有潮流带着他朝这方向走的话——也来自这类;反之,天赋平庸的人无论对城邦还是对个人都是做不出什么大事来的。

    阿:绝对正确。

    苏:那些最配得上哲学的人就这么离弃了哲学,使她①孤独凄凉,他们自己也因而过着不合适的不真实的生活;与此同时那些配不上的追求者看到哲学没有亲人保护,乘虚而入,玷污了她,并使她蒙受了(如你指出的)她的反对者加给她的那些恶名——说她的配偶有些是一无用处的,多数是应对许多罪恶负责的。

    ①把哲学比作一个妇女。

    阿:是的,这些话的确有人说过。

    苏:这些话是很有道理的。因为还有一种小人,他们发现这个地方没有主人,里面却满是美名和荣誉头衔,他们就象一些逃出监狱进了神殿的囚徒一样,跳出了自己的技艺圈子(这些人在自己的小手艺方面或许还是很巧的),进入了哲学的神殿。须知,哲学虽然眼下处境不妙,但依然还保有较之其他技艺为高的声誉。许多不具完善天赋的人就这么被吸引了过来,虽然他们的灵魂已因从事下贱的技艺和职业而变得残废和畸形,正象他们的身体受到他们的技艺和职业损坏一样。

    他们被哲学吸引过来不是必然的吗?

    阿:是的。

    苏:他们不全象一个刚从监狱中释放出来并且走了好运的癞头小铜匠吗:他洗了个澡,穿了件新外套,打扮得象个新郎,去和他主人的女儿——一个失去了照顾,处于贫穷孤独境地的姑娘——结婚?

    阿:一模一样。

    苏:这样的一对能生出什么样的后代呢?不是劣等的下贱货吗?

    阿:必然是的。

    苏:因此,当那些不配学习哲学的人,不相称地和哲学结合起来的时候,我们该说他们会“生出”什么样的思想和意见来呢?他们不会“生出”确实可以被恰当地叫做诡辩的,其中没有任何真实的,配得上或接近于真知的东西来吗?

    阿:的确。

    苏:因此,阿得曼托斯,剩下来配得上研究哲学的人就只有其中微乎其微的一部分了:他们或是出身高贵又受过良好教育的人处于流放之中,因而没受到腐蚀,依然在真正地从事哲学;或是一个伟大的灵魂生于一个狭小的城邦,他不屑于关注这个小国的事务;少数人或许由于天赋优秀,脱离了他所正当藐视的其他技艺,改学了哲学;还有一些人,也许是我们的朋友塞亚格斯①的缺陷束缚了他们,须知就塞亚格斯而言,背离哲学的所有其他条件都是具备的,但是他病弱的身体使他脱离了政治,没能背离哲学。至于我自己的情况则完全是例外,那是神迹,是以前很少有别人遇到过的,或者压根儿就从来不曾有任何人碰到过的。已经属于这极少数的道中之人,他们尝到了拥有哲学的甜头和幸福,已经充分地看到了群众的疯狂,知道在当前的城邦事务中没有什么可以说是健康的,也没有一个人可以作正义战士的盟友,援助他们,使他们免于毁灭的。这极少数的真哲学家全象一个人落入了野兽群中一样,既不愿意参与作恶,又不能单枪匹马地对抗所有野兽,因此,大概只好在能够对城邦或朋友有所帮助之前就对己对人都无贡献地早死了。——由于所有这些缘故,所以哲学家都保持沉默,只注意自己的事情。他们就象一个在暴风卷起尘土或雨雪时避于一堵墙下的人一样,看别人干尽不法,但求自己得能终生不沾上不正义和罪恶,最后怀着善良的愿望和美好的期待而逝世,也就心满意足了。

    ①塞亚格斯其人另见于柏拉图的《苏格拉底的申辩》33e,及伪托的《塞亚格斯》篇对话。他是苏格拉底的学生。

    阿:噢,他生前的成就不算最小呀!

    苏:〔不是最小,但也不算最大。〕要不是碰巧生活在一个合适的国度里,一个哲学家是不可能有最大成就的,因为只有在一个合适的国家里,哲学家本人才能得到充分的成长,进而能以保卫自己的和公共的利益。

    哲学受到非议的原因以及非议的不公正性,我觉得我已经解释得很充分了。你还有什么话要说的吗?

    阿:关于这个问题我再没有什么要说的了。但是你看当今的政治制度哪一种适合于哲学呢?

    苏:一个也没有。现行的政治制度我所以怨它们,正是因为其中没有一种是适合哲学本性的。哲学的本性也正是由于这个缘故而堕落变质的。正如种子被播种在异乡土地上,结果通常总是被当地水土所克服而失去本性那样,哲学的生长也如此,在不合适的制度下保不住自己的本性,而败坏变质了。

    哲学如果能找到如它本身一样最善的政治制度,那时可以看得很明白,哲学确实是神物,而其他的一切,无论天赋还是学习和工作,都不过是人事。到此我知道下面你要问,这个最善的政治制度是什么了。

    阿:你猜错了;我要问的是另一个问题,即,它是不是我们在描述“建立”的这个城邦?

    苏:从别的方面看,它就是我们的那一个;但是还有一点我们以前曾说过,即,在这样一个国家里必须永远有这样一个人物存在:他对这个国家的制度抱有和你作为一个立法者在为它立法时一样的想法。

    阿:是的,那一点曾经说过的。

    苏:但是,对它的解释还不充分;你的插言反驳曾使我们害怕,而这些反驳也的确表明:这一讨论是漫长的和困难的;单是剩下来要解释的这个部分也绝不是容易的。

    阿:剩下来要解释的是什么呢?

    苏:是这样一个问题:一个受哲学主宰的城邦怎样可以不腐败呢?一切远大目标沿途都是有风险的,俗话说得对:好事多磨嘛。

    阿:还是让我们把这个问题弄清楚了,以结束这一解释工作吧。

    苏:不是我缺少愿望,如果说缺少什么的话,是缺少能力——只有这一点可能妨碍我。但是你会亲眼看到我的热忱的。还要请你注意到,我将多么热忱和勇敢地宣称,这个城邦应该用和当前完全相反的做法来从事哲学研究。

    阿:怎么做法?

    苏:当前,人们研究哲学时还是少年,他们在童年和成家立业之间这个阶段学习哲学。他们在刚刚开始接触到它的最困难部分(我指的是推理论证)时放弃了学习,他们这就被认为是一个完全的哲学家了。以后,如果他们有机会应邀去听一次别人的哲学辩论,就认为这是件大事了。他们认为这种事是应该在业余的时间做的。到了老年,他们很少例外地比赫拉克利特的太阳熄灭得更彻底①,以致再也不能重新亮起来了。

    ①见第尔斯辑录i、3,原书78页,残篇6。参见,亚里士多德《气象学》ii、2、9;卢克莱修《物性论》第v卷662行,中译本306页注①。

    阿:那么,应该怎样呢?

    苏:应该完全相反。当他们年少时,他们的学习和哲学功课应该适合儿童的接受能力,当他们正在长大成人时,他们主要应好好注意身体,为哲学研究准备好体力条件;随着年龄的增长,当他们的灵魂开始达到成熟阶段时,他们应当加强对心灵的锻炼;当他们的体力转衰,过了政治军事服务年龄时,应当让他们自在逍遥,一般不再担当繁重的工作,只从事哲学研究,如果我们要他们在这个世界上生活幸福,并且当死亡来临时,在另一个世界上也能得到同样幸福的话。

    阿:我相信你的话非常热忱,苏格拉底。不过,我觉得,你的大多数听众甚至会更热忱地反驳你,永远不会被你说服的,其中尤其是色拉叙马霍斯。

    苏:请你别挑起我和色拉叙马霍斯争吵,我们刚交了朋友,以前也原非敌人。我们将不惜一切努力,直到或是说服了他和别的人,或是达到了某种成果,以便在他们重新投胎作人并且碰上此类讨论时能对他们有所帮助。

    阿:你预言了一个不短的时间呀。

    苏:不,和永恒的时间比起来它算不了什么。不过,如果我们说服不了大众,也没有什么可奇怪的,因为,他们从来没有看到过我们的话成为现实,他们看到过的只是一种人为的生硬的堆砌词语的哲学——它不象我们进行论证时这样自然地结合词语。一个在言行两方面尽可能和至善本身完全相称相象的人统治着一个同样善的国家,这样的事情是他们所从未见到过的,更谈不上多见的。你说是吧?

    阿:无疑是这样。

    苏:我的好朋友啊!他们也没有足够地听到过自由人的正当论证。——这种论证目的在于想尽一切办法为得到知识而努力寻求真理,而对于那种只能在法庭上和私人谈话中导致意见和争端的狡黠和挑剔是敬而远之的。

    阿:他们是没听到过这种论证。

    苏:因为这些缘故,且由于预见到这些缘故,所以我们尽管害怕,还是迫于真理,不得不宣称:只有在某种必然性碰巧迫使当前被称为无用的那些极少数的未腐败的哲学家,出来主管城邦(无论他们出于自愿与否),并使得公民服从他们管理时,或者,只有在正当权的那些人的儿子、国王的儿子或当权者本人、国王本人,受到神的感化,真正爱上了真哲学时——只有这时,无论城市、国家还是个人才能达到完善。我认为没有理由一定说,这两种前提(或其中任何一种)

    是不可能的。假如果真不可能,那么我们受到讥笑,被叫做梦想家,就确是应该的了。不是吗?

    阿:是的。

    苏:因此,如果曾经在极其遥远的古代,或者目前正在某一我们所不知道的遥远的蛮族国家,或者以后有朝一日,某种必然的命运迫使最善的哲学家管理国家,我们就准备竭力主张:我们所构想的体制是曾经实现过的,或正在实现着,或将会实现的,只要是哲学女神在控制国家。这不是不可能发生的事情,我们不认为是不可能的,同时我们也承认这是件困难的事情。

    阿:我也这样认为。

    苏:你的意思是说:大众不这样认为?

    阿:是的。

    苏:我的好朋友,别这么完全责怪群众。你如果不是好斗地而是和风细雨地劝告和潜移默化地改变他们对学习的恶感,向他们说明你所谓的哲学家是指什么样的人,象我们最近做的那样给他们说明哲学家的天性和哲学家所从事的学习,让他们可以看到你所说的哲学家不是他们所认为的那种人,那么,他们是一定能改变看法的。或者,即使象他们那样考察哲学家,你不认为他们还是会改变自己的意见和对问题答案的吗?或者,你认为一个人会用粗暴对待温文的人用嫉妒对待不嫉妒的人吗,如果他本人原是一个不嫉妒的和温文的人?让我来代你回答:如此粗暴的天性是只能在极少数人身上出现,不会在多数人身上出现的。

    阿:你可以相信,我赞同你的看法。

    苏:你不同样赞同这一点吗:群众对哲学恶感的根源在伪哲学家身上?这些人闯进与他们无关的地方,互相争吵,充满敌意,并且老是进行人身攻击——再没有比这种行为和哲学家不相称的了。

    阿:是最不相称的。

    苏:阿得曼托斯啊!须知,一个真正专心致志于真实存在的人是的确无暇关注琐碎人事,或者充满敌意和妒忌与人争吵不休的;他的注意力永远放在永恒不变的事物上,他看到这种事物相互间既不伤害也不被伤害,按照理性的要求有秩序地活动着,因而竭力摹仿它们,并且尽可能使自己象它们。

    或者说,你认为一个人对自己所称赞的东西能不摹仿吗?

    阿:不可能不的。

    苏:因此,和神圣的秩序有着亲密交往的哲学家,在人力许可的范围内也会使自己变得有秩序和神圣的。但是毁谤中伤是无所不在的。

    阿:确实是的。

    苏:那么,如果有某种必然性迫使他把在彼岸所看到的原型实际施加到国家和个人两个方面的人性素质上去,塑造他们(不仅塑造他自己),你认为他会表现出自己是塑造节制、正义以及一切公民美德的一个蹩脚的工匠吗?

    阿:绝不会的。

    苏:但是,如果群众知道了我们关于哲学家所说的话都是真的,他们还会粗暴地对待哲学家,还会不相信我们的话:

    无论哪一个城邦如果不是经过艺术家按照神圣的原型加以描画①,它是永远不可能幸福的?

    ①柏拉图在这里用艺术家画面比喻哲学家治国。

    阿:如果知道了这一点,他们就不会粗暴对待哲学家了。

    但是请你告诉我,这个图画怎么描法呢?

    苏:他们将拿起城邦和人的素质就象拿起一块画板一样,首先把它擦净;这不是件容易事;但是无论如何,你知道他们和别的改革家第一个不同之处就在这里:在得到一个干净的对象或自己动手把它弄干净之前,他们是不肯动手描画个人或城邦的,也不肯着手立法的。

    阿:他们对的。

    苏:擦净之后,你不认为他们就要拟定政治制度草图了吗?

    阿:当然是啰。

    苏:制度拟定之后,我想,他们在工作过程中大概会不时地向两个方向看望,向一个方向看绝对正义、美、节制等等,向另一方向看他们努力在人类中描画出来的它们的摩本,用各种方法加上人的肤色,使它象人,再根据荷马也称之为象神的那种特性——当它出现于人类时——作出判断。

    阿:对。

    苏:我想,他们大概还要擦擦再画画,直至尽可能地把人的特性画成神所喜爱的样子。

    阿:这幅画无论如何该是最好的画了。

    苏:到此,那些你本来以为①要倾全力攻击我们的人,是不是有点相信我们了呢?我们是不是能使他们相信:这位制度画家就是我们曾经称赞过的,当我们建议把国家委托他治理时曾经使他们对他生气的那种人呢?当他们听到我刚才所说关于画家的这些话时是不是态度会温和点呢?

    ①474a。

    阿:如果他们是明白道理的,一定温和多了。

    苏:他们还能拿得出什么理由来反对呢?他们能否认哲学家是热爱实在和真理的吗?

    阿:那样就荒唐了。

    苏:他们能否认我们所描述的这种天性是至善的近亲吗?

    阿:也不能。

    苏:那么,他们能否认,受到合适教养的这种天性的人,只要有,就会是完全善的哲学家吗?或者,他们宁可认为我们所反对的那种人是完全善的哲学家呢?

    阿:一定不会的。

    苏:那么,当我们说,在哲学家成为城邦的统治者之前,无论城邦还是公民个人都不能终止邪恶,我们用理论想象出来的制度也不能实现,当我们这样说时他们还会对我们的话生气吗?

    阿:或许怒气小些。

    苏:我们是不是可以说,他们不单是怒气小些了,而是已经变得十分温和了,完全信服了,以致单是羞耻心(如果没有别的什么的话)也会使他们同意我们的论断了呢?

    阿:一定的。

    苏:因此,让我们假定他们赞成这个论断了。那么还会有人反对另一论断吗:国王或统治者的后代生而有哲学家天赋是可能的事情?

    阿:没有人反对了。

    苏:这种哲学天才既已诞生,还会有人论证他们必定腐败吗?虽然我们也承认,使他们免于腐败是件困难事,但是有谁能断言,在全部时间里所有这些人之中就永远不能有那怕一个人能免于腐败吗?

    阿:怎能有人这样断言呢?

    苏:但是的确,这样的人出一个就够了,如果有一个城邦服从他,他可以在这里实行其全部理想制度的话,虽然眼下这个制度还没人相信。

    阿:是的,一个人就够了。

    苏:因为,他既成了那里的统治者,把我们描述过的那些法律和惯例制订出来,公民们情愿服从——这的确不是不可能的。

    阿:的确。

    苏:那么,别人赞同我们的看法,这是什么奇怪的不可能的事情吗?

    阿:我认为不是。

    苏:再说,既是可能的,那么我认为这已充分表明,这些事是最善的。

    阿:是充分表明了这一点。

    苏:因此,我们关于立法的结论看来是:我们的计划如能实现,那是最善的;实现虽然有困难,但不是不可能的。

    阿:结论是这样。

    苏:既然这个问题好不容易结束了,我们不是应该接下去讨论其余的问题了吗?问题包括:我们国家制度的救助者如何产生,亦即通过什么学习和训练产生?以及,他们将分别在什么年龄上着手学习每一门功课?

    阿:是的,必须讨论这些问题。

    苏:我在前面故意规避了娶妇生子和任命统治者这个难题,因为我知道完全绝对的真理会引起忌恨并且很难实现。但是回避并没什么好处,因为事到如今还是照样得讨论它们。妇女儿童的问题已经处置了,关于统治者的问题可以说要再从头讨论起。如果你还记得的话,我们曾经说过:当他们被放在苦和乐中考验的时候,他们必须证明自己是爱国的,必须证明无论是遭到困难还是恐怖或是其他任何变故时都不改变自己的爱国心;不能坚持这一点的必须排斥,经受得住任何考验而不变的,象真金不怕烈火那样的人,必须任命为统治者,让他生时得到尊荣,死后得到褒奖。这一类的话我们曾大略地讲过,但当时由于担心引起刚才的这场争论,我们把讨论悄悄地转移了方向。

    阿:你说的完全是真的,我记得。

    苏:我的朋友,我们当时没有敢象现在这样大胆地说出这些话。现在让我们勇敢地主张:必须确定哲学家为最完善的护卫者。

    阿:好,就是这个主张。

    苏:你要知道,这样的人自然是很少数,因为,各种的天赋——我们曾主张他们应具备它们作为受教育的基础——

    一起生在同一个人身上是罕见的,各种天赋大都是分开的。

    阿:你说的什么意思?

    苏:敏于学习、强于记忆、机智、灵敏,以及其他诸如此类的品质,还有进取心、豁达大度,你知道它们是很少愿意生长到一起来,并且有秩序地和平稳定地过日子的,一个全具这些品质的人会在偶然性指挥下被灵敏领着团团乱转,于是失去全部的稳定性的。

    阿:你的话是真的。

    苏:可是,一个天性稳定的人——人们可能宁可信任这种人——在战争中诚然是不容易为恐怖所影响而感到害怕的,但是学习起来也不容易受影响,仿佛麻木了似的,学不进去。当有什么智力方面的事需要他们努力工作的时候,他们就会没完没了地打瞌睡打哈欠。

    阿:是这样的。

    苏:但是我们曾主张,一个人必须兼具这两个方面的优点,并且结合妥当,否则就不能让他受到最高教育,得到荣誉和权力。

    阿:对。

    苏:你不认为这种人是不可多得的吗?

    阿:当然是不可多得的。

    苏:因此,他们必须被放在我们前面说过的劳苦、恐怖、快乐中考验①,我们现在还需加上一点从前没有说过的:我们必须把他们放在许多学习中“操练”,注意观察他们的灵魂有没有能力胜任最大的学习②,或者,看他们是否不敢承担它,正如有的人不敢进行体力方面的竞赛一样。

    ①412c以下。

    ②最大的学习或译为最重要的学习,最高的学习。都是指的学习善的理念。见后面505a。

    阿:你这样考察是很对的,但是你所谓的最大学习是指什么?

    苏:你或许还记得,我们在辨别了灵魂里的三种品质①之后曾比较研究了关于正义、节制、勇敢和智慧的定义。

    ①435a436b。

    阿:如果不记得,我就不配再听下去了。

    苏:你也记得,这之前①说的话吗?

    ①435d。

    阿:什么话?

    苏:我们曾以某种方式说过,要最完善地认识这些美德,需要另走一条弯曲的更长的道路,走完了这条路就可以清楚地看得见它们了。但是暂作一个和前面的论证水平相当的解释是可能的。那时你曾说,在你看来这就够了。因此这一研究后来是用一种我觉得很不精密的方法继续进行的。但是你对这一方法满意不满意,那要问你了。

    阿:我觉得这一方法让我,也让这里这几个人看到标准了。

    苏:不。我的朋友,任何有一点点够不上真实存在事物的水平,都是绝对不能作为标准的。因为任何不完善的事物都是不能作为别的事物的标准的。虽然有些人有时认为自己已经做得很够了,不须进一步研究了。

    阿:许多人都有这种惰性。

    苏:的确。但对于城邦和法律的护卫者来说,这是最要不得的。

    阿:是的。

    苏:因此护卫者必须走一条曲折的更长的路程,还必须劳其心努力学习,象劳其力锻炼身体一样;否则,象我们方才说的,他们将永远不能把作为他们特有使命的最大学习进行到完成。

    阿:这些课题还不是最大的?还有什么课题比正义及我们所描述的其他美德更大的?

    苏:是的,还有更大的。就是关于正义之类美德本身我们也必须不满足于象现在这样观其草图①,我们必须注意其最后的成品。既然这些较小的问题我们尚且不惜费尽心力不懈地工作,以便达到对它们最完全透彻的了解,而对于最大的问题反而认为不值得最完全最透彻的了解它,岂不荒唐?

    阿:的确。但是你认为我们会放过你,不问一问:这最大的学习是什么,你认为它是和什么有关系的吗?

    苏:我有这个思想准备,你随便问吧。但是我相信你是听说过好多遍的,现在你要么是没有听懂,要么就是存心和我过不去。我倾向于认为是后一种可能。因为你多次听我说过,善的理念是最大的知识问题,关于正义等等的知识只有从它演绎出来的才是有用和有益的。现在我差不多深信你知道,这就是我所要论述的,你也听我说过,关于善的理念我们知道得很少;如果我们不知道它,那么别的知识再多对我们也没有任何益处,正如别的东西,虽拥有而不拥有其善者,于我们无益一样。或如我们拥有一切而不拥有其善者,你认为这有什么益处呢?或者懂得别的一切而不懂美者和善者,这有什么益处呢?

    ①还是用画家比哲学家。

    阿:真的,我认为是没有什么益处的。

    苏:再说,你也知道,众人都认为善是快乐,高明点的人认为善是知识。

    阿:是的。

    苏:我的朋友,你也知道,持后一种看法的人说不出他们所谓的知识又是指的什么,最后不得已只好说是指善的知识。

    阿:真可笑。

    苏:他们先是责怪我们不懂善,然后给善下定义时又把我们当作好象是懂得善的。这怎么不可笑呢?因为,他们说它是关于·善的知识,他们在这里用“善”这个词仿佛我们是一定懂得它的意思的。

    阿:对极了。

    苏:给善下定义说它是快乐的那些人不是也有同样严重的思想混乱吗?或者说,他们到不得已时不是也只好承认,也有恶的快乐①吗?

    ①当他们说不清楚他们的所谓“快乐”又是指什么时,他们迫不得已只好说它是关于“善的快乐”。这也等于承认,也有恶的快乐。

    阿:一定的。

    苏:其结果我认为他们等于承认同一事物又是善的又是恶的。是吧?

    阿:一定的。

    苏:于是在这个问题上存在又大又多的争论——不是大家都看得到的吗?

    阿:的确。

    苏:请问,大家不是还看到下列情况吗?在正义和美的问题上大多数人都宁可要被意见认为的正义和美,而不要实在的正义和美,无论是在做事、说话,还是拥有什么时都是这样。至于善,就没有人满意于有一个意见认为的善了,大家都追求实在的善,在这里“意见”是不受任何人尊重的。

    阿:的确是的。

    苏:每一个灵魂都追求善,都把它作为自己全部行动的目标。人们直觉到它的确实存在,但又对此没有把握;因为他们不能充分了解善究竟是什么,不能确立起对善的稳固的信念,象对别的事物那样;因此其他东西里有什么善的成分,他们也认不出来。在这么一个重大问题上,我要问,我们能容许城邦的最优秀人物——我们要把一切都委托给他的——也这么愚昧无知吗?

    阿:绝对不行。

    苏:总之我认为,一个人如果不知道正义和美怎样才是善,他就没有足够的资格做正义和美的护卫者。我揣测,没有一个人在知道善之前能足够地知道正义和美。

    阿:你的揣测很好。

    苏:因此,只有一个具有这些方面知识的卫护者监督着城邦的政治制度,这个国家才能完全地走上轨道。

    阿:这是必然的道理。但是,苏格拉底啊,你究竟主张善是知识呢还是快乐呢,还是另外的什么呢?

    苏:我一向了解你这个人,我知道你是不会满足于只知道别的人对这些问题的想法的。

    阿:苏格拉底啊,须知,象你这样一个研究这些问题已经这么长久了的人,只谈别人的意见不想谈自己的看法,我觉得也是不对的。

    苏:但是,一个人对自己不懂的东西,你认为他有权利夸夸其谈,好象懂的一样吗?

    阿:那样当然不应该;但是,一个人把自己想到的作为意见谈谈也无妨。

    苏:你有没有注意到,脱离知识的意见全都是丑的?从其中挑选出最好的来也是盲目的;或者说,你认为那些脱离理性而有某种正确意见的人,和瞎子走对了路有什么不同吗?

    阿:没有什么不同。

    苏:因此,当你可以从别人那儿得知光明的和美的东西时,你还想要看丑的、盲目的和歪曲的东西吗?

    格劳孔:真的,不会的。但是,苏格拉底,快到目的地了,你可别折回去呀。你不是曾给正义、节制等等作过一个解释吗?你现在也只要给善作一个同样的解释,我们也就满意了。

    苏:须知,这样我自己也至少和你们一样满意,我的朋友。但是我担心我的能力办不到;单凭热情,画虎不成,反惹笑话。我亲爱的朋友们,眼下我们还是别去解释善到底是什么的问题吧。因为要把我现在心里揣摩到的解释清楚,我觉得眼下还是太难,是我怎么努力也办不到的。但是关于善的儿子,就是那个看上去很象善的东西,我倒很乐意谈一谈,假如你们爱听一听的话。要是不爱听,就算了。

    格:行,你就讲儿子吧;反正你下次还要还债,给我们讲父亲的。

    苏:我倒真希望我能偿清债务一下子就讲父亲,而不是象现在这样只付利息讲儿子①,让你也可以连本带利两个方面都听到。但是不管怎么样,你还是先收下利息,这个善的儿子吧。不过还得请你们小心,别让我无意间讲错了,误了你们的视听。

    ①eq′b这个希腊词有许多词义,包括:(1)孩子;(2)利息。这里是双关语。

    格:好,我们尽量当心。你只管讲吧。

    苏:好;但是我必须先和你取得一致看法,让你回想一下我在这一讨论过程中提到过的也曾在别的地方多次提到过的那个说法。

    格:什么说法?

    苏:就是一方面我们说有多种美的东西、善的东西存在,并且说每一种美的、善的东西又都有多个,我们在给它们下定义时也是用复数形式的词语表达的。

    格:我们是这样做的。

    苏:另一方面,我们又曾说过,有一个美本身、善本身,以及一切诸如此类者本身;相应于上述每一组多个的东西,我们又都假定了一个单一的理念,假定它是一个统一者,而称它为每一个体的实在。

    格:我们是这样说的。

    苏:我们说,作为多个的东西,是看见的对象,不是思想的对象,理念则是思想的对象,不是看见的对象。

    格:确乎是这样。

    苏:那么,我们是用我们的什么来看可以看见的东西的呢?

    格:用视觉。

    苏:我们不是还用听觉来听可以听见的东西,用其他的感官来感觉其他可以感觉的东西的吗?

    格:当然是这样。

    苏:但是你是否注意到过,感觉的创造者在使我们的眼睛能够看见和使事物能够被看见这件事情上,花费了多大的力气吗?

    格:我完全没有注意过这一点。

    苏:那么就这样来研究这个问题吧。听觉和声音是否需要另一东西,才能够使其一听见和另一被听见,而没有这第三者,则其一便不能听见另一就不能被听见呢?

    格:完全不需要。①

    ①柏拉图当时的科学观念大概认为不存在这种介质。

    苏:我想,许多其他的感觉——我们不说·所·有其他的感觉——都是不需要这种东西的。然而你知道有什么感觉是需要这种东西的吗?

    格:我不知道。

    苏:你没有注意到视觉和可见的东西有此需要吗?

    格:怎么有此需要的?

    苏:你知道,虽然眼睛里面有视觉能力,具有眼睛的人也企图利用这一视觉能力,虽然有颜色存在,但是,如果没有一种自然而特别适合这一目的的第三种东西存在,那么你知道,人的视觉就会什么也看不见,颜色也不能被看见。

    格:你说的这种东西是什么呀?

    苏:我所说的就是你叫做光的那种东西。

    格:你说得很对。

    苏:因此,如果光是可敬的①,那么把视觉和可见性连结起来的这条纽带比起连结别的感觉和可感觉性的纽带②来,就不是可敬一点点的问题啦!

    ①或:重要的。

    ②507d以下和这里关于有连结别的感觉的纽带的说法似乎有矛盾。

    格:应该是大可敬的。

    苏:你能说出是天上的哪个神,他的光使我们的眼睛能够很好地看见,使事物能够很好地被看见的吗?

    格:大家都会一致认为,你的意思指的显然是太阳。

    苏:那么视觉和这个神的关系是不是这样呢?

    格:怎样?

    苏:不管是视觉本身也好,或者是视觉所在的那个被我们叫做眼睛的器官也好,都不等于就是太阳。

    格:当然不是。

    苏:但是我想,在所有的感觉器官中,眼睛最是太阳一类的东西。

    格:是的,它最象太阳。

    苏:眼睛所具有的能力作为一种射流,乃取自太阳所放出的射流,是吗?

    格:是的。

    苏:因此,太阳一方面不是视觉,另一方面是视觉的原因,又是被视觉所看见的,这些不也是事实吗?

    格:是的。

    苏:因此我们说善在可见世界中所产生的儿子——那个很象它的东西——所指的就是太阳。太阳跟视觉和可见事物的关系,正好象可理知世界里面善本身跟理智和可理知事物的关系一样。

    格:何以是这样的呢?请你再给我解释一下。

    苏:你知道,当事物的颜色不再被白天的阳光所照耀而只被夜晚的微光所照的时候,你用眼睛去看它们,你的眼睛就会很模糊,差不多象瞎的一样,就好象你的眼睛里根本没有清楚的视觉一样。

    格:的确是这样。

    苏:但是我想,当你的眼睛朝太阳所照耀的东西看的时候,你的眼睛就会看得很清楚,同是这双眼睛,却显得有了视觉。

    格:是的。

    苏:人的灵魂就好象眼睛一样。当他注视被真理与实在所照耀的对象时,它便能知道它们了解它们,显然是有了理智。

    但是,当它转而去看那暗淡的生灭世界时,它便只有意见了,模糊起来了,只有变动不定的意见了,又显得好象是没有理智了。

    格:是这样。

    苏:好了,现在你必须承认,这个给予知识的对象以真理给予知识的主体以认识能力的东西,就是善的理念。它乃是知识和认识中的真理的原因。真理和知识都是美的,但善的理念比这两者更美——你承认这一点是不会错的。正如我们前面的比喻可以把光和视觉看成好象太阳而不就是太阳一样,在这里我们也可以把真理和知识看成好象善,但是却不能把它们看成就是善。善是更可敬得多的。

    格:如果善是知识和真理的源泉,又在美方面超过这二者,那么你所说的是一种多么美不可言的东西啊!你当然不可能是想说它是快乐吧?

    苏:我决没有这个意思。还是请你再这样来研讨一下这个比喻吧!

    格:怎么研讨?

    苏:我想你会说,太阳不仅使看见的对象能被看见,并且还使它们产生、成长和得到营养,虽然太阳本身不是产生。

    格:当然不是。

    苏:同样,你也会说,知识的对象不仅从善得到它们的可知性,而且从善得到它们自己的存在和实在,虽然善本身不是实在,而是在地位和能力上都高于实在的东西。

    格:〔非常滑稽地〕:呀!太阳神阿波罗作证!夸张不能再超过这个啦!

    苏:责任在你,是你逼着我把我对这个问题的想法说出来的呀!

    格:请你继续讲你的想法吧;关于太阳喻如果还有什么话要讲,无论如何请不要漏了。

    苏:是的,还有很多话要说。

    格:那么请别漏了什么,哪怕一点点。

    苏:我将尽力而为;但是我想,有许多东西将不得不略去。

    格:别省略。

    苏:那么请你设想,正如我所说的,有两个王,一个统治着可知世界,另一个统治着可见世界——我不说“天界”,免得你以为我在玩弄术语——你是一定懂得两种东西的:可见世界和可知世界。

    格:是的,我懂得。

    苏:那么请你用一条线来代表它们:把这条线分成不相等的两部分,然后把这两部分的每一部分按同样的比例再分成两个部分。假定第一次分的两个部分中,一个部分相当于可见世界,另一个部分相当于可知世界;然后再比较第二次分成的部分,以表示清楚与不清楚的程度,你就会发现,可见世界区间内的第一部分可以代表影象。所谓影象我指的首先是阴影,其次是在水里或平滑固体上反射出来的影子或其他类似的东西,你懂我的意思吗?

    格:我懂你的意思。

    苏:再说第二部分:第一部分是它的影象,它是第一部分的实物,它就是我们周围的动物以及一切自然物和全部人造物。

    格:好,就是这样吧。

    苏:你是否愿意说,可见世界的这两个部分的比例表示真实性或不真实性程度的比例呢,影象与实物之比正如意见世界与知识世界之比呢?

    格:非常愿意这么说。

    苏:请你再进而考察可知世界划分的方法吧。

    格:它是怎样划分的呢?

    苏:是这样划分的。这个世界划分成两个部分,在第一部分里面,灵魂把可见世界中的那些本身也有自己的影象的实物作为影象;研究只能由假定出发,而且不是由假定上升到原理,而是由假定下降到结论;在第二部分里,灵魂相反,是从假定上升到高于假定的原理;不象在前一部分中那样使用影象,而只用理念,完全用理念来进行研究。

    格:我不完全懂你的意思。

    苏:既然这样,我们再来试一试,等我作了一点序文式的解释,你就会更明白我的意思的。我想你知道,研究几何学、算学以及这一类学问的人,首先要假定偶数与奇数、各种图形、三种角以及其它诸如此类的东西。他们把这些东西看成已知的,看成绝对假设,他们假定关于这些东西是不需要对他们自己或别人作任何说明的,这些东西是任何人都明白的。他们就从这些假设出发,通过首尾一贯的推理最后达到他们所追求的结论。

    格:是的,这我知道。

    苏:你也知道,虽然他们利用各种可见的图形,讨论它们,但是处于他们思考中的实际上并不是这些图形,而是这些图形所摹仿的那些东西。他们所讨论的并不是他们所画的某个特殊的正方形或某个特殊的对角线等等,而是正方形本身,对角线本身等等。他们所作的图形乃是实物,有其水中的影子或影象。但是现在他们又把这些东西当作影象,而他们实际要求看到的则是只有用思想才能“看到”的那些实在。

    格:是的。

    苏:因此这种东西虽然确实属于我所说的可知的东西一类,但是有两点除外:第一,在研究它们的过程中必须要用假设,灵魂由于不能突破与超出这些假设,因此不能向上活动而达到原理:第二,在研究它们的过程中利用了在它们下面一部分中的那些实物作影象——虽然这些实物也有自己的影象,并且是比自己的影象来得更清楚的更重要的。

    格:我懂得你所说的是几何学和同几何学相近的学科。

    苏:至于讲到可知世界的另一部分,你要明白,我指的是逻各斯本身凭着辩证的力量而达到的那种知识。在这里假设不是被用作原理,而是仅仅被用作假设,即,被用作一定阶段的起点,以便从这个起点一直上升到一个高于假设的世界,上升到绝对原理,并且在达到绝对原理之后,又回过头来把握那些以绝对原理为根据提出来的东西,最后下降到结论。在这过程中不靠使用任何感性事物,而只使用理念,从一个理念到另一个理念,并且最后归结到理念。

    格:我懂得你的意思了;但是懂得不完全,因为你所描述的这个过程在我看来不是一件简单的事情。不过无论如何我总算懂得了,你的意思是要把辩证法所研究的可知的实在和那些把假设当作原理的所谓技术的对象区别开来,认为前者比后者更实在;虽然研究技术的人〔在从假设出发研究时〕也不得不用理智而不用感觉,但是由于他们的研究是从假设出发而不上升到绝对原理的,因此你不认为他们具有真正的理性,虽然这些对象在和绝对原理联系起来时是可知的。

    我想你会把几何学家和研究这类学问的人的心理状态叫做理智而不叫做理性,把理智看成是介乎理性和意见之间的东西的。

    苏:你很懂得我的意思了。现在你得承认,相应于这四个部分有四种灵魂状态:相当于最高一部分的是理性,相当于第二部分的是理智,相当于第三部分的是信念,相当于最后一部分的是想象。请你把它们按比例排列起来,给予每一个以和各部分相当程度的真实性。

    格:我懂你的意思,也同意你的意见,并且愿意按照你的意见把它们排列起来。

    第七卷

    苏:接下来让我们把受过教育的人与没受过教育的人的本质比作下述情形。让我们想象一个洞穴式的地下室,它有一长长通道通向外面,可让和洞穴一样宽的一路亮光照进来。有一些人从小就住在这洞穴里,头颈和腿脚都绑着,不能走动也不能转头,只能向前看着洞穴后壁。让我们再想象在他们背后远处高些的地方有东西燃烧着发出火光。在火光和这些被囚禁者之间,在洞外上面有一条路。沿着路边已筑有一带矮墙。矮墙的作用象傀儡戏演员在自己和观众之间设的一道屏障,他们把木偶举到屏障上头去表演。

    格:我看见了。

    苏:接下来让我们想象有一些人拿着各种器物举过墙头,从墙后面走过,有的还举着用木料、石料或其它材料制作的假人和假兽。而这些过路人,你可以料到有的在说话,有的不在说话。

    格:你说的是一个奇特的比喻和一些奇特的囚徒。

    苏:不,他们是一些和我们一样的人。你且说说看,你认为这些囚徒除了火光投射到他们对面洞壁上的阴影而外,他们还能看到自己的或同伴们的什么呢?

    格:如果他们一辈子头颈被限制了不能转动,他们又怎样能看到别的什么呢?

    苏:那么,后面路上人举着过去的东西,除了它们的阴影而外,囚徒们能看到它们别的什么吗?

    格:当然不能。

    苏:那么,如果囚徒们能彼此交谈,你不认为,他们会断定,他们在讲自己所看到的阴影时是在讲真物本身吗?

    格:必定如此。

    苏:又,如果一个过路人发出声音,引起囚徒对面洞壁的回声,你不认为,囚徒们会断定,这是他们对面洞壁上移动的阴影发出的吗?

    格:他们一定会这样断定的。

    苏:因此无疑,这种人不会想到,上述事物除阴影而外还有什么别的实在。

    格:无疑的。

    苏:那么,请设想一下,如果他们被解除禁锢,矫正迷误,你认为这时他们会怎样呢?如果真的发生如下的事情:其中有一人被解除了桎梏,被迫突然站了起来,转头环视,走动,抬头看望火光,你认为这时他会怎样呢?他在做这些动作时会感觉痛苦的,并且,由于眼花潦乱,他无法看见那些他原来只看见其阴影的实物。如果有人告诉他,说他过去惯常看到的全然是虚假,如今他由于被扭向了比较真实的器物,比较地接近了实在,所见比较真实了,你认为他听了这话会说些什么呢?如果再有人把墙头上过去的每一器物指给他看,并且逼他说出那是些什么,你不认为,这时他会不知说什么是好,并且认为他过去所看到的阴影比现在所看到的实物更真实吗?

    格:更真实得多呀!

    苏:如果他被迫看火光本身,他的眼睛会感到痛苦,他会转身走开,仍旧逃向那些他能够看清而且确实认为比人家所指示的实物还更清楚更实在的影象的。不是吗?

    格:会这样的。

    苏:再说,如果有人硬拉他走上一条陡峭崎岖的坡道,直到把他拉出洞穴见到了外面的阳光,不让他中途退回去,他会觉得这样被强迫着走很痛苦,并且感到恼火;当他来到阳光下时,他会觉得眼前金星乱蹦金蛇乱串,以致无法看见任何一个现在被称为真实的事物的。你不认为会这样吗?

    格:噢,的确不是一下子就能看得见的。

    苏:因此我认为,要他能在洞穴外面的高处看得见东西,大概需要有一个逐渐习惯的过程。首先大概看阴影是最容易,其次要数看人和其他东西在水中的倒影容易,再次是看东西本身;经过这些之后他大概会觉得在夜里观察天象和天空本身,看月光和星光,比白天看太阳和太阳光容易。

    格:当然啰。

    苏:这样一来,我认为,他大概终于就能直接观看太阳本身,看见他的真相了,就可以不必通过水中的倒影或影象,或任何其他媒介中显示出的影象看它了,就可以在它本来的地方就其本身看见其本相了。

    格:这是一定的。

    苏:接着他大概对此已经可以得出结论了:造成四季交替和年岁周期,主宰可见世界一切事物的正是这个太阳,它也就是他们过去通过某种曲折看见的所有那些事物的原因。

    格:显然,他大概会接着得出这样的结论。

    苏:如果他回想自己当初的穴居、那个时候的智力水平,以及禁锢中的伙伴们,你不认为,他会庆幸自己的这一变迁,而替伙伴们遗憾吗?

    格:确实会的。

    苏:如果囚徒们之间曾有过某种选举,也有人在其中赢得过尊荣,而那些敏于辨别而且最能记住过往影象的惯常次序,因而最能预言后面还有什么影象会跟上来的人还得到过奖励,你认为这个既已解放了的人他会再热衷于这种奖赏吗?

    对那些受到囚徒们尊重并成了他们领袖的人,他会心怀嫉妒,和他们争夺那里的权力地位吗?或者,还是会象荷马所说的那样,他宁愿活在人世上做一个穷人的奴隶,受苦受难,也不愿和囚徒们有共同意见,再过他们那种生活呢?

    格:我想,他会宁愿忍受任何苦楚也不愿再过囚徒生活的。

    苏:如果他又回到地穴中坐在他原来的位置上,你认为会怎么样呢?他由于突然地离开阳光走进地穴,他的眼睛不会因黑暗而变得什么也看不见吗?

    格:一定是这样的。

    苏:这时他的视力还很模糊,还没来得及习惯于黑暗——

    再习惯于黑暗所需的时间也不会是很短的。如果有人趁这时就要他和那些始终禁锢在地穴中的人们较量一下“评价影象”,他不会遭到笑话吗?人家不会说他到上面去走了一趟,回来眼睛就坏了,不会说甚至连起一个往上去的念头都是不值得的吗?要是把那个打算释放他们并把他们带到上面去的人逮住杀掉是可以的话,他们不会杀掉他吗?

    格:他们一定会的。

    苏:亲爱的格劳孔,现在我们必须把这个比喻整个儿地应用到前面讲过的事情上去,把地穴囚室比喻可见世界,把火光比喻太阳的能力。如果你把从地穴到上面世界并在上面看见东西的上升过程和灵魂上升到可知世界的上升过程联想起来,你就领会对了我的这一解释了,既然你急于要听我的解释。至于这一解释本身是不是对,这是只有神知道的。但是无论如何,我觉得,在可知世界中最后看见的,而且是要花很大的努力才能最后看见的东西乃是善的理念。我们一旦看见了它,就必定能得出下述结论:它的确就是一切事物中一切正确者和美者的原因,就是可见世界中创造光和光源者,在可理知世界中它本身就是真理和理性的决定性源泉;任何人凡能在私人生活或公共生活中行事合乎理性的,必定是看见了善的理念的。

    格:就我所能了解的而言,我都同意。

    苏:那么来吧,你也来同意我下述的看法吧,而且在看到下述情形时别感到奇怪吧:那些已达到这一高度的人不愿意做那些琐碎俗事,他们的心灵永远渴望逗留在高处的真实之境。如果我们的比喻是合适的话,这种情形应该是不奇怪的。

    格:是不足为怪的。

    苏:再说,如果有人从神圣的观察再回到人事;他在还看不见东西还没有变得足够地习惯于黑暗环境时,就被迫在法庭上或其它什么地方同人家争讼关于正义的影子或产生影子的偶像,辩论从未见过正义本身的人头脑里关于正义的观念。如果他在这样做时显得样子很难看举止极可笑,你认为值得奇怪吗?

    格:一点也不值得奇怪。

    苏:但是,凡有头脑的人都会记得,眼睛有性质不同的两种迷盲,它们是由两种相应的原因引起的:一是由亮处到了暗处,另一是由暗处到了亮处。凡有头脑的人也都会相信,灵魂也能出现同样的情况。他在看到某个灵魂发生迷盲不能看清事物时,不会不加思索就予以嘲笑的,他会考察一下,灵魂的视觉是因为离开了较光明的生活被不习惯的黑暗迷误了的呢,还是由于离开了无知的黑暗进入了比较光明的世界,较大的亮光使它失去了视觉的呢?于是他会认为一种经验与生活道路是幸福的,另一种经验与生活道路是可怜的;如果他想笑一笑的话,那么从下面到上面去的那一种是不及从上面的亮处到下面来的这一种可笑的。

    格:你说的非常有道理。

    苏:如果这是正确的,那么关于这些事,我们就必须有如下的看法:教育实际上并不象某些人在自己的职业中所宣称的那样。他们宣称,他们能把灵魂里原来没有的知识灌输到灵魂里去,好象他们能把视力放进瞎子的眼睛里去似的。

    格:他们确曾有过这种说法。

    苏:但是我们现在的论证说明,知识是每个人灵魂里都有的一种能力,而每个人用以学习的器官就象眼睛。——整个身体不改变方向,眼睛是无法离开黑暗转向光明的。同样,作为整体的灵魂必须转离变化世界,直至它的“眼睛”得以正面观看实在,观看所有实在中最明亮者,即我们所说的善者。

    是这样吧?

    格:是的。

    苏:于是这方面或许有一种灵魂转向的技巧,即一种使灵魂尽可能容易尽可能有效地转向的技巧。它不是要在灵魂中创造视力,而是肯定灵魂本身有视力,但认为它不能正确地把握方向,或不是在看该看的方向,因而想方设法努力促使它转向。

    格:很可能有这种技巧。

    苏:因此,灵魂的其它所谓美德似乎近于身体的优点,身体的优点确实不是身体里本来就有的,是后天的教育和实践培养起来的。但是心灵的优点似乎确实有比较神圣的性质,是一种永远不会丧失能力的东西;因所取的方向不同,它可以变得有用而有益也可以变得无用而有害。有一种通常被说成是机灵的坏人。你有没有注意过,他们的目光是多么敏锐?他们的灵魂是小①的,但是在那些受到他们注意的事情上,他们的视力是够尖锐的。他们的“小”不在于视力贫弱,而在于视力被迫服务于恶,结果是,他们的视力愈敛锐,恶事就也做得愈多。

    ①“小”这个字的涵义,类似我国所谓“君子、小人”中的“小”。

    格:这是真的。

    苏:但是,假设这种灵魂的这一部分从小就已得到锤炼,已经因此如同释去了重负,——这种重负是这个变化世界里所本有的,是拖住人们灵魂的视力使它只能看见下面事物的那些感官的纵欲如贪食之类所紧缠在人们身上的。——假设重负已释,这同一些人的灵魂的同一部分被扭向了真理,它们看真理就会有同样敏锐的视力,象现在看它们面向的事物时那样。

    格:很可能的。

    苏:那么,没受过教育不知道真理的人和被允许终身完全从事知识研究的人,都是不能胜任治理国家的。这个结论不也是很对的,而且还是上述理论的必然结论吗?因为没受过教育的人不能把自己的全部公私活动都集中于一个生活目标;

    而知识分子又不能自愿地做任何实际的事情,而是在自己还活着的时候就想象自己已离开这个世界进入乐园了。

    格:对。

    苏:因此,我们作为这个国家的建立者的职责,就是要迫使最好的灵魂达到我们前面说是最高的知识,看见善,并上升到那个高度;而当他们已到达这个高度并且看够了时,我们不让他们象现在容许他们做的那样。

    格:什么意思?

    苏:逗留在上面不愿再下到囚徒中去,和他们同劳苦共荣誉,不论大小。

    格:你这是说我们要委曲他们,让他们过较低级的生活了,在他们能过较高级生活的时候?

    苏:朋友,你又忘了,我们的立法不是为城邦任何一个阶级的特殊幸福,而是为了造成全国作为一个整体的幸福。它运用说服或强制,使全体公民彼此协调和谐,使他们把各自能向集体提供的利益让大家分享。而它在城邦里造就这样的人,其目的就在于让他们不致各行其是,把他们团结成为一个不可分的城邦公民集体。

    格:我忘了。你的话很对。

    苏:那么,格劳孔,你得看到,我们对我们之中出现的哲学家也不会是不公正的;我们强迫他们关心和护卫其它公民的主张也是公正的。我们将告诉他们:“哲学家生在别的国家中有理由拒不参加辛苦的政治工作,因为他们完全是自发地产生的,不是政府有意识地培养造就的;一切自力更生不是被培养而产生的人才不欠任何人的情,因而没有热切要报答培育之恩的心情,那是正当的。但是我们已经培养了你们——既为你们自己也为城邦的其他公民——做蜂房中的蜂王和领袖;你们受到了比别人更好更完全的教育,有更大的能力参加两种生活①。因此你们每个人在轮值时必须下去和其他人同住,习惯于观看模糊影象。须知,一经习惯,你就会比他们看得清楚不知多少倍的,就能辨别各种不同的影子,并且知道影子所反映的东西的,因为你已经看见过美者、正义者和善者的真实。因此我们的国家将被我们和你们清醒地管理着,而不是象如今的大多数国家那样被昏昏然地管理着,被那些为影子而互相殴斗,为权力——被当作最大的善者——

    而相互争吵的人统治着。事实是:在凡是被定为统治者的人最不热心权力的城邦里必定有最善最稳定的管理,凡有与此相反的统治者的城邦里其管理必定是最恶的。”

    ①哲学生活和政治生活。

    格:一定的。

    苏:那么,我们的学生听到我们的这种话时,还会不服从,还会在轮到每个人值班时拒绝分担管理国家的辛劳吗(当然另一方面,在大部分的时间里他们还是被允许一起住在上面的)?

    格:拒绝是不可能的。因为我们是在向正义的人提出正义的要求。但是,和当前每个国家中的统治者相反,他们担任公职一定是把它当作一种义不容辞的事情看待的。

    苏:因为,事实上,亲爱的朋友,只有当你能为你们未来的统治者找到一种比统治国家更善的生活时,你才可能有一个管理得好的国家。因为,只有在这种国家里才能有真正富有的人来统治。当然他们不是富有黄金,而是富有幸福所必需的那种善的和智慧的生活。如果未来的统治者是一些个人福利匮乏的穷人,那么,当他们投身公务时,他们想到的就是要从中攫取自己的好处,如果国家由这种人统治,就不会有好的管理。因为,当统治权成了争夺对象时,这种自相残杀的争夺往往同时既毁了国家也毁了统治者自己。

    格:再正确不过。

    苏:除了真正的哲学生活而外,你还能举出别的什么能轻视政治权力的?

    格:的确举不出来。

    苏:但是我们就是要不爱权力的人掌权。否则就会出现对手之间的争斗。

    格:一定的。

    苏:那么,除了那些最知道如何可使国家得到最好管理的人,那些有其他报酬可得,有比政治生活更好的生活的人而外,还有什么别的人你可以迫使他们负责护卫城邦的呢?

    格:再没有别的人了。

    苏:于是,你愿意让我们来研究如下的问题吗?这种人才如何造就出来?如何把他们带到上面的光明世界,让他们象故事里说的人从冥土升到天上那样?

    格:当然愿意。

    苏:这看来不象游戏中翻贝壳那样容易,这是心灵从朦胧的黎明转到真正的大白天,上升到我们称之为真正哲学的实在。

    格:无疑的。

    苏:那么,我们难道不应该研究一下,什么学问有这种能耐?

    格:当然应该。

    苏:那么,格劳孔,这种把灵魂拖着离开变化世界进入实在世界的学问是什么呢?说到这里我想起了:我们不是曾经说过吗,这种人年轻的时候必须是战场上的斗士?

    格:我们是说过这话的。

    苏:因此,我们正在寻找的这门学问还必须再有一种能耐。

    格:什么能耐?

    苏:对士兵不是无用的。

    格:如果可能的话,当然必须有。

    苏:前面我们曾经让他们受体操和音乐教育。

    格:是的。

    苏:体操关心的是生灭事物①;因为它影响身体的增强与衰弱。

    ①体操与可变世界联系。

    格:这很明白。

    苏:因此,它不会是我们所寻觅的那门学问。

    格:不是的。

    苏:那么,这门学问是我们前面描述过的音乐教育吗?

    格:如果你还记得的话,音乐是和体育相对的,它通过习惯①以教育护卫者,以音调培养某种精神和谐(不是知识),以韵律培养优雅得体,还以故事(或纯系传说的或较为真实的)的语言培养与此相近的品质。可是这些途径没有任何一个是能通向你所正在寻求的那种善的。

    ①习惯或意见,与真正的知识相对。

    苏:你的记忆再准确不过了。因为事实上其中没有这类的因素。但是,啊呀,格劳孔,那么我们寻求的这种学问是什么呢?因为手工技艺似乎又全都是有点低贱的。

    格:确实是的。可是除去音乐、体操和手艺,剩下的还有什么别的学问呢?

    苏:这样吧,如果我们除此之外再想不出什么别的了,我们就来举出一个全都要用到的东西吧。

    格:那是什么?

    苏:嗯,例如一个共同的东西——它是一切技术的、思想的和科学的知识都要用到的,它是大家都必须学习的最重要的东西之一。

    格:什么东西?

    苏:一个平常的东西,即分别“一”、“二”、“三”,总的说,就是数数和计算。一切技术和科学都必须做这些,事实不是这样吗?

    格:是这样。

    苏:战术不也要做这些吗?

    格:必定的。

    苏:因此巴拉米德斯每次在舞台上出现就使阿伽门农成了一个极可笑的将军。巴拉米德斯宣称,他发明了数目之后组织排列了在特洛亚的大军中的各支部队,点数了船只和其他一切;仿佛在这之前它们都没有被数过,而阿伽门农看来也不知道自己有多少步兵,既然他不会数数。你是否注意过这些?还有,在那种情况下,你认为阿伽门农是一个什么样的将军呢?

    格:我看他是一个荒谬可笑的将军,如果那是真的话。

    苏:那么,我们要不要把能计算和数数定为一个军人的必不可少的本领呢?

    格:这是最不可少的本领,如果他要能够指挥军队,甚至只是为了要做好一个普通人。

    苏:那么,你是不是同我一样想的是这门学问呢?

    格:哪一门学问?

    苏:它似乎就是我们正在寻找的那些本性能引领思想的学问之一。但是没有一个人在正确地使用它,虽然它确实能引导灵魂到达实在。

    格:你说的什么意思?

    苏:我将努力把我心里的想法解释给你听,我将告诉你,我是如何在自己心里区分两种事物的——有我所指的那种牵引力的事物和没有那种牵引力的事物的。如果你愿和我一起继续讨论下去,并且告诉我,你同意什么不同意什么,那时我们就会更清楚,我的想法对不对了。

    格:请说吧。

    苏:好,你知道感觉中的东西有些是不需要求助于理性思考的,因为感官就能胜任判断了。但是还有一些是需要求助于理性的,因为感官对它们不能作出可靠的判断。

    格:你显然是指的远处的东西或画中的东西。

    苏:你完全没有领会我的意思。

    格:那么,你说的是什么意思呢?

    苏:不需要理性思考的东西我是指的不同时引起相反感觉的东西,需要理性帮助的东西我是指的那些能同时引起相反感觉的东西(这时感官无法作出明确的判断),与距离的远近无关。我作了如下说明之后,你就更明白了。例如这里有三个手指头:小指、无名指、中指。

    格:好。

    苏:我举手指为例,请你别忘了我是把它们当作近处可见的东西。但是关于它们我还要你注意一点。

    格:哪一点?

    苏:每一个指头看上去都一样是一个指头,在这方面无论它是中间的那个还是两边上的某一个,是白的还是黑的,是粗的还是细的,等等,都无所谓。因为这里没有什么东西要迫使平常人的灵魂再提出什么问题或思考究竟什么是手指的问题了,因为视觉官能从未同时向心灵发出信号,说手指也是手指的相反者。

    格:是的。

    苏:这种感觉当然是不会要求或引起理性思考的。

    格:当然。

    苏:但是手指的大和小怎么样呢:区别它们是大还是小,视觉能胜任吗?哪一个手指在中间哪一个在边上对视觉有什么分别吗?同样,触觉能区分粗和细、软和硬吗?在认识这一类性质时,不是事实上所有的感觉都有缺陷吗?它们是象下述这样起作用的:首先例如触觉,既关系着硬,就必定也关系着软,因此它给灵魂传去的信号是:它觉得同一物体又是硬的又是软的。不是这样吗?

    格:是这样。

    苏:如果触觉告诉灵魂,同一物体是硬的也是软的,心灵在这种情况下一定要问,触觉所说的硬是什么意思,不是吗?或者,如果有关的感觉说,重的东西是轻的,或轻的东西是重的,它所说的轻或重是什么意思?

    格:的确,这些信息是心灵所迷惑不解的,是需要加以研究的。

    苏:因此,在这种情况下,灵魂首先召集计算能力和理性,努力研究,传来信息的东西是一个还是两个。

    格:当然。

    苏:如果答案说是两个,那么其中的每一个都是不同的一个吗?

    格:是的。

    苏:因此,如果各是一个,共是两个,那么,在理性看来它们是分开的两个;因为,如果它们不是分离的,它就不会把它们想作两个,而想作一个了。

    格:对的。

    苏:我们说过,视觉也看见大和小,但两者不是分离的而是合在一起的。是吧?

    格:是的。

    苏:为了弄清楚这一点,理性“看”大和小,不得不采取和感觉相反的方法,把它们分离开来看,而不是合在一起看。

    格:真的。

    苏:接着我们不是要首先面临这样一个问题吗:大和小究竟是什么?

    格:一定的。

    苏:这就是我们所以使用“可知事物”和“可见事物”这两名称的原因。

    格:太对了。

    苏:我刚才说有的事物要求思考有的事物不要求思考,并且把那些同时给感官以相反刺激的事物定义为要求思考的事物,把那些不同时造成相反刺激的事物定义为不要求理性思考的事物。我说这些话正是在努力解释这个意思。

    格:现在我明白了,并且跟你的看法一致了。

    苏:那么,你认为数和“一”属于这两种事物中的哪一种呢?

    格:我不知道。

    苏:那你就根据我们已说过的话进行推理吧。因为,如果“一”本身就是视觉所能完全看清楚的,或能被别的感觉所把握的,它就不能牵引心灵去把握实在了,象我们在以手指为例时所解释的那样。但是,如果常常有相反者与之同时被看到,以致虽然它显得是一个,但同时相反者也一样地显得是一个,那么,就会立刻需要一个东西对它们作出判断,灵魂就会因而迷惑不解,而要求研究,并在自身内引起思考时,询问这种“一”究竟是什么。这样一来,对“一”的研究便会把心灵引导到或转向到对实在的注视上去了。

    格:关于“一”的视觉确实最有这种特点,因为我们能看见同一事物是一,同时又是无限多。

    苏:如果这个原理关于“一”是真的,那么也就关于所有的数都是真的,不是吗?

    格:当然。

    苏:还有,算术和算学全是关于数的。

    格:当然。

    苏:这个学科看来能把灵魂引导到真理。

    格:是的。它超过任何学科。

    苏:因此,这个学科看来应包括在我们所寻求的学科之中。因为军人必须学会它,以便统帅他的军队;哲学家也应学会它,因为他们必须脱离可变世界,把握真理,否则他们就永远不会成为真正的计算者。

    格:是的。

    苏:我们的护卫者既是军人又是哲学家。

    格:当然。

    苏:因此,格劳孔,算学这个学问看来有资格被用法律规定下来;我们应当劝说那些将来要在城邦里身居要津的人学习算术,而且要他们不是马马虎虎地学,是深入下去学,直到用自己的纯粹理性看到了数的本质,要他们学习算术不是为了做买卖,仿佛在准备做商人或小贩似的,而是为了用于战争以及便于将灵魂从变化世界转向真理和实在。

    格:你说得太好了。

    苏:而且,既然提到了学习算术的问题,我觉得,如果人们学习它不是为了做买卖而是为了知识的话,那么它是一种精巧的对达到我们目的有许多用处的工具。

    格:为什么?

    苏:正如我们刚刚说的,它用力将灵魂向上拉,并迫使灵魂讨论纯数本身;如果有人要它讨论属于可见物体或可触物体的数,它是永远不会苟同的。因为你一定知道,精于算术的人,如果有人企图在理论上分割“一”本身,他们一定会讥笑这个人,并且不承认的,但是,如果你要用除法把“一”分成部分,他们就要一步不放地使用乘法对付你,不让“一”有任何时候显得不是“一”而是由许多个部分合成的。

    格:你的话极对。

    苏:格劳孔,假如有人问他们:“我的好朋友,你们正在论述的是哪一种数呀?——既然其中“一”是象你们所主张的那样,每个“一”都和所有别的“一”相等,而且没有一点不同,“一”内部也不分部分。”你认为怎么样?你认为他们会怎么答复?

    格:我认为他们会说,他们所说的数只能用理性去把握,别的任何方法都不行。

    苏:因此,我的朋友,你看见了,这门学问看来确是我们所不可或缺的呢,既然它明摆着能迫使灵魂使用纯粹理性①通向真理本身。

    ①或“理性本身”。

    格:它确实很能这样。

    苏:再说,你有没有注意到过,那些天性擅长算术的人,往往也敏于学习其他一切学科;而那些反应迟缓的人,如果受了算术的训练,他们的反应也总会有所改善,变得快些的,即使不谈别的方面的受益?

    格:是这样的。

    苏:其次,我认为,我们不容易发现有什么学科学习起来比算术更难的,象它一样难的也不多。

    格:确实如此。

    苏:因所有这些缘故,我们一定不要疏忽了这门学问,要用它来教育我们的那些天赋最高的公民。

    格:我赞成。

    苏:那么,这门功课就定下来了算是一门。下面让我们再来考虑接在它后面的一门功课,看它对我们是否有用。

    格:哪一门功课?你是说的几何学吗?

    苏:正是它。

    格:它在军事上有用是很明显的。因为,事关安营扎寨,划分地段,以及作战和行军中排列纵队、横队以及其它各种队形,指挥官有没有学过几何学是大不一样的。

    苏:不过,为满足军事方面的需要,一小部分几何学和算术知识也就够了。这里需要我们考虑的问题是,几何学中占大部分的较为高深的东西是否能帮助人们较为容易地把握善的理念。我们认为每一门迫使灵魂转向真实之这一最神圣部分——它是灵魂一定要努力看的——所在的学科都有这种作用。

    格:你说得对。

    苏:如果它迫使灵魂看实在,它就有用。如果它迫使灵魂看产生世界①,它就无用。

    ①或“生灭世界”、“可变世界”。

    格:我们也这样认为。

    苏:于是几何科学的作用正好和它的行家们使用的语言中表现出来的完全相反——这一点即使那些对几何学只有粗浅了解的人也是不会持异议的。

    格:怎么的?

    苏:他们的话再可笑不过,虽然也不得不这么说。例如他们谈论关于“化方”、“作图”、“延长”等等时,都仿佛是正在做着什么事,他们的全部推理也都为了实用。而事实上这门科学的真正目的是纯粹为了知识。

    格:绝对正确。

    苏:关于下述这一点我们还能一定有一致意见吗?

    格:哪一点?

    苏:几何学的对象乃是永恒事物,而不是某种有时产生和灭亡的事物。

    格:这是没有疑问的:几何学是认识永恒事物的。

    苏:因此,我的好朋友,几何学大概能把灵魂引向真理,并且或许能使哲学家的灵魂转向上面,而不是转向下面,象我们如今错做的那样了。

    格:一定能如此。

    苏:因此,你一定得要求贵理想国的公民重视几何学。而且它还有重要的附带好处呢。

    格:什么附带的好处?

    苏:它对战争有用,这你已经说过了。我们也知道,它对学习一切其它功课还有一定的好处,学过几何学的人和没有学过几何学的人在学习别的学科时是大不同的。

    格:真的,非常不同。

    苏:那么,让我们定下来吧:几何学作为青年必学的第二门功课。可以吗?

    格:定下来吧。

    苏:我们把天文学定为第三门功课,你意下如何?

    格:我当然赞同。对年、月、四季有较敏锐的理解,不仅对于农事、航海有用,而且对于行军作战也一样是有用的。

    苏:真有趣,你显然担心众人会以为你正在建议一些无用的学科。但是这的确不是件容易事:相信每个人的灵魂里有一个知识的器官,它能够在被习惯毁坏了迷盲了之后重新被建议的这些学习除去尘垢,恢复明亮。(维护这个器官比维护一万只眼睛还重要,因为它是唯一能看得见真理的器官。)和我们一起相信这一点的那些人,他们会认为你的话是绝顶正确的,但是那些对此茫无所知的人,他们自然会认为你说的尽是废话,因为他们看不到这些学习能带来任何值得挂齿的益处。现在请你自己决定和哪一方面讨论吧。或者不和任何一方面讨论,你作这些论证主要只是为了你自己,虽然无意反对任何别人也从中得到益处。

    格:我宁肯这样,我论述、我提问、我回答主要为我自己。

    苏:那么,你得稍微退回去一点,因为我们在讨论了几何学之后接着讨论刚才那个科目选得不对。

    格:怎么选得不对?

    苏:我们讨论过了平面之后,还没有讨论纯立体本身,便直接去讨论有运动的立体事物了。正确的做法应从第二维依次进到第三维。我认为,第三维乃是立方体和一切具有厚度的事物所具有的。

    格:是这样。但是,苏格拉底啊,这个学科似乎还没有得到很好的发展。

    苏:没有得到发展的原因有二。第一,没有一个城邦重视它,再加上它本身难度大,因此人们不愿意去研习它。第二,研习者须有人指导,否则不能成功;而导师首先是难得,其次,即使找到了,按照当前的时风,这方面的研习者也不见得能虚心接受指导。但是,如果整个城邦一起来管理提倡这项事业,研习者就会听从劝告了;持久奋发的研究工作就能使立体几何这个学科的许多课题被研究清楚。虽则现在许多人轻视它,研习者也因不了解它的真正作用而不能正确对待它,因而影响了它的发展,但它仍然以自己固有的魅力,克服了种种障碍,得到了一定的进步,甚至即使它被研究清楚了,我们也不以为怪。

    格:它的确很有趣味很有魅力。但是请你把刚才的话说得更清楚些,你刚才说几何学是研究平面的。

    苏:是的。

    格:然后,你接着先是谈天文学,后来又退了回来。

    苏:须知,我这是欲速不达呀。本来在平面几何之后应当接着谈立体几何的,但由于它还欠发达,我在匆忙中忽略了它,而谈了天文学;天文学是讨论运动中的立体的。

    格:是的,你是那样做的。

    苏:那么,让我们把天文学作为第四项学习科目吧,假定被忽略了未加讨论的那门科学在城邦管理下有作用的话。

    格:这很好。另外,苏格拉底,你刚才抨击我,说我评论天文学动机不高尚,有功利主义,我现在不这样做啦,我要用你的原则来赞美它。我想,大家都知道,这个学科一定是迫使心灵向上看,引导心灵离开这里的事物去看高处事物的。

    苏:或许大家都知道,只是我除外,因为我不这样认为。

    格:你认为怎样呢?

    苏:象引导我们掌握哲学的人目前那样地讨论天文学,我认为,天文学只能使灵魂的视力大大地向下转。

    格:为什么?

    苏:我觉得,你对于“学习上面的事物”理解不低级;你或许认为,凡是抬起头来仰望天花藻井的,都是在用灵魂而非用眼睛学习。或许你是对的,我是无知的。因为除了研究实在和不可见者外我想不出任何别的学习能使灵魂的视力向上。如果有人想研究可见事物,无论是张开嘴巴向上望①还是眨巴着眼睛向下看,我都不会认为他是在真正学习(因为任何这类的事物都不可能包含有真正的知识),我也不会认为他的灵魂是在向上看。即使他仰卧着学习(在陆上或海上),我还是认为他是在向下看。

    ①借阿里斯托芬措辞。见喜剧《云》17a。

    格:我错了,你批评得对。你认为学习天文学不应该象如今这样学,那么你主张怎么个学法呢,如果为达到我们的目的必须学习它?

    苏:我说,这些天体装饰着天空,虽然我们把它们视为可见事物中最美最准确者是对的,但由于它们是可见者,所以是远不及真实者,亦即具有真实的数和一切真实图形的,真正的快者和慢者的既相关着又托载着的运动的。真实者是仅能被理性和思考所把握,用睛眼是看不见的。你或许有不同的想法吧?

    格:不,完全没有。

    苏:因此,我们必须把天空的图画只用作帮助我们学习其实在的说明图,就象一个人碰巧看见了戴达罗斯或某一别的画家或画匠特别细心地画出来的设计图时那样。因为任何具有几何知识的人,看到这种图画虽然都会称羡画工的巧妙,但是,如果见到别人信之为真,想从图画上找到关于相等、成倍或其它比例之绝对真理,他们也会认为这是荒谬的。

    格:怎能不荒谬呢?

    苏:一个真正的天文学家在举目观察天体运动时,你不认为他会有同样的感觉吗?他会认为天的制造者已经把天和天里面的星体造得不能再好了,但是,他如果看到有人认为,有一种恒常的绝对不变的比例关系存在于日与夜之间、日夜与月或月与年之间,或还有其它星体的周期与日、月、年之间以及其它星体周期相互之间,他也会认为这种想法是荒谬的。它们全都是物质性的可见的,在其中寻求真实是荒谬的。

    格:现在听你这么一说,我赞成你的话了。

    苏:因此,如果我们要真正研究天文学,并且正确地使用灵魂中的天赋理智的话,我们就也应该象研究几何学那样来研究天文学,提出问题解决问题,而不去管天空中的那些可见的事物。

    格:你这是要将研究天文学的工作搞得比现在烦难好多倍呀!

    苏:我想,如果我们要起作为立法者的任何作用的话,我们就还要再提出其它一些类似的要求。你有什么别的合适的学科要建议的吗?

    格:我一下子说不上来。

    苏:照我看,运动不是只有一种而是有多种。列举所有运动种类这或许是哲人的事情,但即使是我们,也能说出其中两种来。

    格:哪两种?

    苏:一是刚才说的这个天文学,另一是和它成对的东西。

    格:是什么呢?

    苏:我认为我们可以说,正如眼睛是为天文而造的那样,我们的耳朵是为和谐的声音而造的;这两个学科,正如毕达哥拉斯派所主张,我们也赞同的那样,格劳孔,它们是兄弟学科。对吗?

    格:对。

    苏:既然事关重大,那么我们要不要去问一问毕达哥拉斯派学者们,看他们对此有何高见,以及此外还有什么别的主张?不过,这里我们还是要始终注意我们自己的事情。

    格:什么事情?

    苏:让我们的学生不要企图学习任何不符合我们目标的,结果总是不能达到那个应为任何事物之目的的东西,象我们刚才讨论天文学时说的那样。或者,你还不知道,他们研究和音问题时在重复研究天文时的毛病呢。他们象天文学者一样,白白花了许多辛苦去听音,并把可听音加以比量。

    格:真是这样。他们也真荒谬。他们谈论音程,并仔细认真地听,好象听隔壁邻居的谈话一样。有的说自己能分辨出两个音之间的另一个音来,它是一个最小的音程,是计量单位。

    而另一些人则坚持说这些音没什么不同。他们全都宁愿用耳朵而不愿用心灵。

    苏:你是在讲那些名人,他们拷打琴弦,把它们绞在弦柱上想拷问出真话来;我本可以继续比喻下去,说关于这些音乐家对琴弦的敲打,他们对琴弦的指控以及琴弦的无耻抵赖,但是我还是要丢开这个比喻,因为我对这些人没有象对毕达哥拉斯派(我们刚才说要问他们关于和音问题的)那么重视。因为他们正是做的天文学家们做的那种事情:他们寻求可闻音之间数的关系,从不深入到说明问题,考察什么样数的关系是和谐的,什么样数的关系是不和谐的,各是为什么。

    格:须知,这不是一般人办得到的。

    苏:如果目的是为了寻求美者和善者,我说这门学问还是有益的,如果是为了别的目的,我说它是无益的。

    格:这是很可能的。

    苏:我还认为,如果研究这些学科深入到能够弄清它们之间的相互联系和亲缘关系,并且得出总的认识,那时我们对这些学科的一番辛勤研究才有一个结果,才有助于达到我们的既定目标,否则就是白费辛苦。

    格:我也这样认为。但是,苏格拉底,这意味着大量的工作呀!

    苏:你是指的序言①,对不对?你不知道吗,所有这些学习不过是我们要学习的法律正文前面的一个序言?我想你是不会把精通上述学科的人当作就是辩证法家的。

    ①像法律正文之前有序文一样,学习辩证法要先学数学、天文等科学。

    格:的确不会的,除了极少数我碰到过的例外。

    苏:一个人如果不能对自己的观点作出逻辑的论证,那么他能获得我们主张他们应当具备的任何知识吗?

    格:是不能的。

    苏:到此,格劳孔,这不已经是辩证法订立的法律正文了吗?它虽然属于可知世界,但是我们可以在前面说过的那个视觉能力变化过程中看到它的摹本:从看见阴影到企图看见真的动物,然后能看得见星星,最后看得见太阳本身。与此类似,当一个人企图靠辩证法通过推理而不管感官的知觉,以求达到每一事物的本质,并且一直坚持到靠思想本身理解到善者的本质时,他就达到了可理知事物的顶峰了,正如我们比喻中的那个人达到可见世界的顶峰一样。

    格:的确是的。

    苏:那么怎么样?你不想把这个思想的过程叫做辩证的过程吗?

    格:当然想。

    苏:一个人从桎梏中解放出来,从阴影转向投射阴影的影象①再转向火光,然后从洞穴里上升到阳光下,这时他还不能直接看动物、植物和阳光,只能看见水中的神创幻影和真实事物的阴影(不是那个不及太阳真实的火光所投射的影象②的阴影)。我们考察的这些科学技术的全部这一学习研究过程能够引导灵魂的最善部分上升到看见实在的最善部分,正如在我们的那个比喻中人身上最明亮的东西被转向而看见可见物质世界中最明亮的东西那样。③

    ①、②“影象”,指比喻中物体。

    ③前者指眼睛,后者指太阳。

    格:我同意这个说法。虽然我觉得一方面很难完全赞同,但另一方面又很难不赞同。不管怎么说——既然我们不是只许听这一次,而是以后还要多次重复听讲的——让我们假定这些事就象刚才说的那样吧,让我们往下进至讨论法律正文,并且象讨论序文一样地来讨论它吧。那么请告诉我们,辩证法有何种能力?它分哪几种?各用什么方法?因为这些问题的答案看来或可把我们带到休息地,达到旅程的终点。

    苏:亲爱的格劳孔,你不能跟着我再一道前进了,这倒不是因为我这方面不愿意如此,而是因为现在我要你看的将不再是我们用作比喻的影象了,而是事物的实在本身了,当然是尽它让我看见的——虽然我们不能断定我们所看见的这东西正好就是实在,但是可以肯定,我们必须要看见的实在就是某一这类的东西。你说是吗?

    格:当然是的。

    苏:我们是否还可以宣布,只有辩证法有能力让人看到实在,也只让学习过我们所列举的那些学科的人看到它,别的途径是没有的,对吗?

    格:这个论断我们也可以肯定是对的。

    苏:这一点无论如何是不会有人和我们唱反调,认为还有任何别的研究途径,可以做到系统地在一切情况下确定每一事物的真实本质的。而一切其它的技术科学则完全或是为了人的意见和欲望,或是为了事物的产生和制造,或是为了在这些事物产生出来或制造出来之后照料它们;至于我们提到过的其余科学,即几何学和与之相关的各学科,虽然对实在有某种认识,但是我们可以看到,它们也只是梦似地看见实在,只要它们还在原封不动地使用它们所用的假设而不能给予任何说明,它们就还不能清醒地看见实在。因为,如果前提是不知道的东西,结论和达到结论的中间步骤就也是由不知道的东西组成的,这种情况下结果的一致又怎能变成真正的知识呢?

    格:是无论如何也不能的。

    苏:因此,辩证法是唯一的这种研究方法,能够不用假设而一直上升到第一原理本身,以便在那里找到可靠根据的。

    当灵魂的眼睛真的陷入了无知的泥沼时,辩证法能轻轻地把它拉出来,引导它向上,同时用我们所列举的那些学习科目帮助完成这个转变过程。这些学科我们常常根据习惯称它们为一门一门的知识,实际上我们需要一个另外的字称,一个表明它比意见明确些又比知识模糊些的名称。我们在前面用过“理智”这个名称。但是我觉得,在有如此重大的课题放在我们面前需要讨论的情况下,我们不必为了一个字而去辩论了。

    格:是的。

    苏:那么让我们满足于前面用过的那些个名称吧,①把第一部分叫做知识,第二部分叫做理智,第三部分叫做信念,第四部分叫做想象;又把第三部分和第四部分合称意见,把第一部分和第二部分合称理性;意见是关于产生世界的,理性是关于实在的;理性和意见的关系就象实在和产生世界的关系,知识和信念的关系、理智和想象的关系也象理性和意见的关系。至于和这些灵魂状态对应的事物之间的关系,以及它们再各细分为两部分,能意见的部分和能理知的部分。这些问题,格劳孔,我们还是别去碰它吧,免得我们被卷进一场更长时间的辩论中去。

    ①见前面511d—e。

    格:行,在我能跟着你的范围内,我赞同你关于其余部分的看法。

    苏:一个能正确论证每一事物的真实存在的人你不赞成把他叫做辩证法家吗?一个不能这样做,即不能对自己和别人作出正确论证的人,你不赞成说他没有理性,不知道事物的实在吗?

    格:我怎能不赞成呢?

    苏:这个说法关于善者不也同样合适吗?一个人如果不能用论证把善者的理念和其它一切事物区分开来并给它作出定义,不能象在战场上经受攻击那样经受得住各种考验,并竭力用实在而不是用意见考察一切事物,在正确的方向上将论证进行到底而不出现失误,他如果缺乏这种能力,你就会说他并不真的知道善本身和任何特殊的善者;但是如果他触及它的大概轮廓,他便对它只有意见而没有知识,他这一辈子便都是在打瞌睡做迷梦,在还没醒过来之前便已进入阴曹地府,长眠地下了。是这样吗?

    格:真的,我完全赞成你的说法。

    苏:但是,如果你竟事实上教育起目前你还只是在口头上教育的你们的那些孩子,我想你一定不会容许他们来统治国家决定国家大事的,既然他们象几何学上的无理线那样的无理性。

    格:当然不会容许的。

    苏:因此你得用法律规定他们要特别注意训练培养自己能用最科学的方法提问和回答问题的能力。

    格:我要照你的意思制订这样的法令。

    苏:那么,你是不是同意,辩证法象墙头石一样,被放在我们教育体制的最上头,再不能有任何别的学习科目放在它的上面是正确的了,而我们的学习课程到辩证法也就完成了?

    格:我同意。

    苏:那么,现在剩下来还要你去做的事情就是选定谁去研习这些功课,如何选法。

    格:显然是的。

    苏:那么,你记不记得,我们前面在选择统治者时选的那种人?

    格:当然记得。

    苏:那么,就大多数方面而言,你得认为,我们必须挑选那些具有同样天赋品质的人。必须挑选出最坚定、最勇敢、在可能范围内也最有风度的人。此外,我们还得要求他们不仅性格高贵严肃而且还要具有适合这类教育的天赋。

    格:你想指出哪些天赋呢?

    苏:我的朋友啊,他们首先必须热爱学习,还要学起来不感到困难。因为灵魂对学习中的艰苦比对体力活动中的艰苦是更为害怕得多的,因为这种劳苦更接近灵魂,是灵魂所专受的,而不是和肉体共受的。

    格:对。

    苏:我们还要他们强于记忆。百折不挠、喜爱一切意义上的劳苦。否则你怎能想象,他们有人肯忍受肉体上的一切劳苦并完成如此巨大的学习和训练课程呢?

    格:除了天赋极好的人外,是没有人能这样的。

    苏:我们当前的错误以及由此而产生的对哲学的轻蔑,如我前面说过的,在于它的伙伴和追求者不配做它的伙伴和追求者。他们不应当是螟蛉假子而应当是真子。

    格:我不明白。

    苏:首先,有志于哲学者对待劳苦一定不能持瘸子走路式的态度,不能半个人爱劳动,半个人怕劳动。假如一个人喜爱打猎、角斗和各种体力方面的劳动,却不爱学习、听讲、研究和各种诸如此类智力上的劳动,就是如此。以相反的方式只喜爱智力方面劳动的也是象瘸子走路。

    格:你的话再正确不过了。

    苏:关于真实,我们不也要把下述这种人的灵魂同样看作是残废的吗?他嫌恶有意的虚假,不能容忍它存在于自己身上,看到别人有这种毛病更是非常生气,但却心甘情愿地接受无意的虚假,当他暴露出自己缺乏知识时却并不着急,若无其事地对待自己的无知,象一只猪在泥水中打滚一样。

    格:完全应该把这种人的灵魂看作残废。

    苏:关于节制、勇敢、宽宏大量以及所有各种美德,我们也必须一样警惕地注意假的和真的。因为,如果个人或国家缺乏这种辨别真假所必需的知识,他就会无意中错用一个跛子或假好人做他个人的朋友或国家的统治者。

    格:是会这样的。

    苏:我们必须留心避免一切这类的错误。如果我们挑出了身心健全的人并且让他们受到我们长期的教导和训练,正义本身就不会怪罪我们了,我们就是维护了我们的城邦和社会制度。如果我们挑选了另一种人,结果就会完全相反,我们就将使哲学遭到更大的嘲弄。

    格:那的确将是一件可耻的事情。

    苏:事情虽然的确如此,但是我认为这刻儿我正在使自己显得有点可笑。

    格:为什么?

    苏:我忘了我们不过是在说着笑话玩儿,我竟这么态度严肃认真起来了。须知,我在说话的过程中一眼瞥见了哲学,当我看到它受到不应有的毁谤时,产生了反感,在谈到那些应对此负责的人时,我说话太严肃了,好象在发怒了。

    格:但是说真话,我听起来并不觉得过分严肃。

    苏:但是,作为说话的人,我自己觉得太严肃了。然而我们一定不能忘了,我们从前总是选举老年人,但是这里不行。

    梭伦曾说人老来能学很多东西。我们一定不要相信他这话。人老了不能多奔跑,更不能多学习。一切繁重劳累的事情只有年轻时能胜任。

    格:这是一定的道理。

    苏:那么,算学、几何以及一切凡是在学习辩证法之前必须先行学习的预备性科目,必须趁他们还年轻时教给他们,当然不是采用强迫方式。

    格:为什么?

    苏:因为一个自由人是不应该被迫地进行任何学习的。因为,身体上的被迫劳累对身体无害,但,被迫进行的学习却是不能在心灵上生根的。

    格:真的。

    苏:因此,我的朋友,请不要强迫孩子们学习,要用做游戏的方法。你可以在游戏中更好地了解到他们每个人的天性。

    格:你的话很有道理。

    苏:你有没有忘了,我们也曾说过,我们必须让我们的孩子骑着马到战场上去看看打仗,在安全的地方则让他们靠近前沿,象小野兽那样尝尝血腥味?

    格:我还记得。

    苏:在所有这些劳苦的身体锻练,学习和战争恐怖中总是表现得最能干的那些孩子,应当被挑选出来。

    格:在几岁上?

    苏:在必要的体育训练一过去的时候。因为这段时间里——或两年或三年——他们是不能干别的事的。极度的疲劳和长时间的睡眠是学习的敌人,加之,考察他们每个人在体操方面的表现也是对他们整个考察的一个很重要的组成部分。

    格:当然。

    苏:这段时间过去之后,从二十岁起,被挑选出来的那些青年将得到比别人更多的荣誉,他们将被要求把以前小时候分散学习的各种课程内容加以综合,研究它们相互间的联系以及它们和事物本质的关系。

    格:这是能获得永久知识的唯一途径。

    苏:这也是有无辩证法天赋的最主要的试金石。因为能在联系中看事物的就是一个辩证法者,不然就不是一个辩证法者。

    格:我同意。

    苏:你应当把这些天赋上的条件牢记在心,在第一次挑选出来的那些在学习、战争以及履行其它义务中表现得坚定不移的青年里再作第二次挑选,选出其中最富这些天赋条件的青年,在他们年满三十的时候,给他们以更高的荣誉,并且用辩证法考试他们,看他们哪些人能不用眼睛和其它的感官,跟随着真理达到纯实在本身。只是在这里,我的朋友啊,你必须多加小心才好。

    格:为什么这里必须特别小心呢?

    苏:你有没有注意到,当前在搞辩证法上所引起的恶果?

    格:什么恶果?

    苏:搞辩证法的人违反法律。

    格:确有其事。

    苏:你认为他们这种心灵状态有什么可惊奇的地方,并且认为这是不可原谅的吗?

    格:什么意思?

    苏:可以打个比方。譬如有个养子养于一富裕的人口众多的大家庭之中,周围有许多逢迎阿谀的人侍候着他。到成年时他知道了,原来自称是他父母的人并不是他的父母,但他又找不到自己的真父母。你想想看,他在知道这个真情之前和之后,对那些逢迎之徒和假父母将有什么想法呢?也许,你是不是想听听我的推测?

    格:我愿意。

    苏:我的推测如下。在他还不知道真情的时候,比之对周围的谀媚之徒,他会更多地尊重他所谓的父亲、母亲以及其他的亲属,更多地关心他们的需要,更少想对他们做什么非法的事说什么非法的话,或在重大的事情上不听从他们的劝告。

    格:很可能是这样的。

    苏:但是,在他发现了真情之后,我推测,他对父母亲人的尊重和忠心将变得日益减退,转而关心起那些谀媚之徒来。他将比以前更注意后者,并从此开始按他们的规矩生活,和他们公开结合,同时对养父和收养他的其他亲人变得完全不关心了。除非他的天性特别正,才不会这样。

    格:你说的这一切是很可能发生的。但是这个比喻如何和从事哲学辩证的人联系起来呢?

    苏:兹说明如下。什么是正义的?什么是光荣的?我们从小就已有了对这些问题的观念。我们就在这种观念中长大,好象在父母哺育下长大成人一样。我们服从它们,尊重它们。

    格:是的。

    苏:但是还另有与此相反的习惯风尚。它们由于能给人快乐而对人的灵魂具有盅惑力和吸引力,虽然它不能征服任何正派的人,正派人仍然尊重和服从父亲的教诲。

    格:确有这种习惯和风尚。

    苏:那么,“什么是光荣?”当一个人遇到了这样的问题,并且根据从立法者那里学得的道理回答时,他在辩论中遭到反驳;当他多次被驳倒并且在许多地方被驳倒时,他的信念就会动摇,他会变得相信,光荣的东西也不比可耻的东西更光荣;而当他在关于正义、善以及一切他们主要尊重的东西方面都有了同样的感受时,你试想,此后在尊重和服从这些传统方面他会怎样行事呢?

    格:他一定不会还跟以前一样地尊重和服从了。

    苏:当他已经不再觉得以前的这些信条,必须受到尊重和恪守,但真理又尚未找到时,他会转而采取哪一种生活呢?

    他不去采取那种能盅惑他的生活吗?

    格:会的。

    苏:于是我们将看到他由一个守法者变成一个违法者。

    格:必然的。

    苏:然而所有这一切乃是这样地从事哲学辩论的一个自然的结果,并且,如我刚才说过的,又是很可原谅的。是吗?

    格:是的。并且也是很可怜的。

    苏:为了你可以不必可怜你的那些三十岁的学生,在你如何引导他们进行这种辩论的问题上必须非常谨慎。是吗?

    格:是的。

    苏:不让他们年纪轻轻就去尝试辩论,这不是一个很重要的预防办法吗?我认为你一定已经注意到了,年轻人一开始尝试辩论,由于觉得好玩,便喜欢到处跟人辩论,并且模仿别人的互驳,自己也来反驳别人。他们就象小狗喜欢拖咬所有走近的人一样,喜欢用言辞咬人。

    格:完全是这样。

    苏:当他们许多次地驳倒别人,自己又许多次地被别人驳倒时,便很快陷入了对从前以为正确的一切的强烈怀疑。结果是损坏了自己和整个哲学事业在世人心目中的信誉。

    格:再正确不过了。

    苏:但是一个年龄大些的人就不会这样疯狂,他宁可效法那些为寻找真理而进行辩驳的人,而不会效法那些只是为了磨嘴皮子玩儿的人。因此他本人会是一个有分寸的人。他能使他所研究的哲学信誉提高而不是信誉降低。

    格:对。

    苏:上面所有这些话我们说出来正是为了预防这一点。我们要求被允许参与这种讨论的人必须是具有适度和坚定品格的人,而不能是随便什么不合格的人,象现在那样。是这样吗?

    格:完全是的。

    苏:那么,象在相应的体操训练中一样,坚持不断地专心致志地学习辩证法,用两倍于体操训练的时间够不够呢?

    格:你是说用六年或者四年?

    苏:嗯,定为五年吧。因为,在这之后你还得派他再下到地洞里去,强迫他们负责指挥战争或其它适合青年人干的公务,让他们可以在实际经验方面不低于别人,还必须让他们在这些公务中接受考验,看他们是否能在各种诱惑面前坚定不移,或者,看他们是否会畏缩、出轨。

    格:这个阶段你给多长时间?

    苏:十五年。到五十岁上,那些在实际工作和知识学习的一切方面都以优异成绩通过了考试的人必须接受最后的考验。我们将要求他们把灵魂的目光转向上方,注视着照亮一切事物的光源。在这样地看见了善本身的时候,他们得用它作为原型,管理好国家、公民个人和他们自己。在剩下的岁月里他们得用大部分时间来研究哲学;但是在轮到值班时,他们每个人都要不辞辛苦管理繁冗的政治事务,为了城邦而走上统治者的岗位——不是为了光荣而是考虑到必要。因此,当他们已经培养出了象他们那样的继承人,可以取代他们充任卫国者的时候,他们就可以辞去职务,进入乐土,在那里定居下来了。国家将为他们建立纪念碑,象祭神那样地祭祀他们,如果庇西亚的神示能同意的话。否则也得以神一般的伟人规格祭祀他们。

    格:啊,苏格拉底,你已经象一个雕刻师那样最完美地结束了你塑造统治者形象的工作了。

    苏:格劳孔啊,这里谈的统治者也包括妇女在内。你必须认为,我所说的关于男人的那些话一样适用于出身于他们中间的妇女们,只要她们具备必要的天赋。

    格:对,如果她们要和男人一样参与一切活动,象我们所描述的那样。

    苏:我说,我们关于国家和政治制度的那些意见并非全属空想;它的实现虽然困难,但还是可能的,只要路子走的对,象我们前面说过的那样做。只要让真正的哲学家,或多人或一人,掌握这个国家的政权。他们把今人认为的一切光荣的事情都看作是下贱的无价值的,他们最重视正义和由正义而得到的光荣,把正义看作最重要的和最必要的事情,通过促进和推崇正义使自己的城邦走上轨道。你看我说得对吗?

    格:怎么做呢?

    苏:他们将要求把所有十岁以上的有公民身份的孩子送到乡下去,他们把这些孩子接受过来,改变他们从父母那里受到的生活方式影响,用自己制定的习惯和法律(即我们前面所描述的)培养他们成人。这是我们所述及的国家和制度藉以建立起来,得到繁荣昌盛,并给人民带来最大福利的最便捷的途径。

    格:这确是非常便捷之径。我认为,苏格拉底啊,如果这种国家要得到实现的话,你已经很好地说明了它的实现方法了。

    苏:至此我们不是已经充分地谈过了我们的这种国家以及与之相应的那种人了吗?须知,我们会提出需要什么样的人,这无疑是一清二楚的。

    格:我想我已经回答完了你的问题了。这也是很清楚的。

    第八卷

    苏:很好,格劳孔,到这里我们一致同意:一个安排得非常理想的国家,必须妇女公有,儿童公有,全部教育公有。

    不论战时平时,各种事情男的女的一样干。他们的王则必须是那些被证明文武双全的最优秀人物。

    格:这些我们是意见一致的。

    苏:其次,我们也曾取得过一致意见:治理者一经任命,就要带领部队驻扎在我们描述过的那种营房里;这里的一切都是大家公有,没有什么是私人的。除了上述营房而外,你还记得吗,我们同意过他们还应该有些什么东西?

    格:是的,我记得。我们原来认为他们不应当有一般人现在所有的那些个东西。但是由于他们要训练作战,又要做护法者,他们就需要从别人那里每年得到一年的供养作为护卫整个国家的一种应有的报酬。

    苏:你的话很对。我们已经把这方面所有的话都讲过了。

    请告诉我,我们是从哪里起离开本题的?让我们还是回到本题去,言归正传吧。

    格:要回到本题,那时(也可说刚刚)是并不难的。假定那时你已把国家描写完毕,并进而主张,你所描述的那种国家和相应的那种个人是好的,虽然我们现在看来,你还可以描写得更好些。无论如何,你刚才是说,如果这国家是正确的,其它种种的国家必定是错误的。我还记得,你说过其它国家制度有四种,这四种国家制度是值得考察其缺点和考察其相应的代表人物的。当我们弄清楚了这些问题,对哪些是最善的人,哪些是最恶的人,这些问题都取得了一致意见时,我们就可以确定最善的人是不是最幸福的,最恶的人是不是最痛苦的;或者,是不是情况正好反过来?当我问起四种政制你心里指的是哪四种时,玻勒马霍斯和阿得曼托斯立即插了进来,你就从头重讲了起来,一直讲到现在。

    苏:你的记忆力真了不得!

    格:那么,让我们象摔跤一样,再来一个回合吧。当我问同样的问题时,请你告诉我,你那时本想说什么的。

    苏:尽我所能。

    格:我本人的确极想听你说一说,四种政制你指的是什么?

    苏:这并不难。我所指的四种制度正是下列有通用名称的四种。第一种被叫做斯巴达和克里特政制,受到广泛赞扬的。

    第二种被叫做寡头政制,少数人的统治,在荣誉上居第二位,有很多害处的。第三种被叫做民主政制,是接着寡头政制之后产生的,又是与之相反对的。最后,第四种,乃是与前述所有这三种都不同的高贵的僭主政制,是城邦的最后的祸害。你还能提出任何别种政制的名称吗?所谓别种政制,我是指的能构成一个特殊种的。有世袭的君主国,有买来的王国,以及其它介于其间的各种类似的政治制度。在野蛮人中比在希腊人中,这种小国似乎为数更多。

    格:许多离奇的政治制度,确曾听到传说过。

    苏:那么,你一定知道,有多少种不同类型的政制就有多少种不同类型的人们性格。你不要以为政治制度是从木头里或石头里产生出来的。不是的,政治制度是从城邦公民的习惯里产生出来的;习惯的倾向决定其它一切的方向。

    格:制度正是由习惯产生,不能是由别的产生的。

    苏:那么,如果有五种政治制度,就应有五种个人心灵。

    格:当然。

    苏:我们已经描述了与贵族政治或好人政治相应的人,我们曾经正确地说他们是善者和正义者。

    格:我们已经描述过了。

    苏:那么,下面我们要考察一下较差的几种。一种是好胜争强、贪图荣名的人,他们相应于斯巴达类型的制度;依次往下是:寡头分子、民主分子和僭主。这样我们在考察了最不正义的一种人之后就可以把他和最正义的人加以比较,最后弄清楚纯粹正义的人与纯粹不正义的人究竟哪一个快乐哪一个痛苦?这以后我们便可以或者听信色拉叙马霍斯,走不正义的路,或者相信我们现在的论述,走正义之路了。

    格:无论如何,下一步我们一定要这样做。

    苏:我们先来考查国家制度中的道德品质,然后再考查个人的道德品质,因为国家的品质比个人品质容易看得清楚。

    因此,现在让我们首先来考查爱荣誉的那种政制;在希腊文中我们找不到别的名词,我们只好叫它荣誉统治或荣誉政制。

    然后我们将联系这种制度考察这种个人。其次考察寡头政制和寡头式的个人;接下来考察民主政制和民主式的个人;其四我们来到僭主统治的国家考察,然后再看一看僭主式的个人心灵。于是我们就可以试着来正确判断我们面临的问题了。

    你说这样做好吗?

    格:我至少要说这是很合论证程序的研究方法与判断方法。

    苏:好。那么,让我们来谈荣誉政制是怎样从贵族政制产生出来的。我想,有一件事是很显然的。政治制度的变动全都是由领导阶层的不和而起的。如果他们团结一致,那怕只有很少的一致,政治制度变动也是不可能的。

    格:这是真的。

    苏:那么,格劳孔,我们的国家怎样才会起动乱的呢?我们的帮助者统治者怎样会彼此互相争吵同室操戈的呢?或者,你要不要我们象荷马那样祈求文艺女神告诉我们内讧是怎样第一次发生的呢?我们要不要想象这些文艺之神象逗弄小孩子一样地,用悲剧的崇高格调一本正经地对我们说话呢?

    格:怎么说呢?

    苏:大致如下。一个建立得这么好的国家要动摇它颠覆它确是不容易的;但是,既然一切有产生的事物必有灭亡,这种社会组织结构当然也是不能永久的,也是一定要解体的。情况将如下述。不仅地下长出来的植物而且包括地上生出来的动物,它们的灵魂和躯体都有生育的有利时节和不利时节;两种时节在由它们组合成环转满了一圈时便周期地来到了。

    (活的时间长的东西周期也长,活的时间短的东西周期也短。)

    你们为城邦培训的统治者尽管是智慧的,但他们也不能凭感官观察和理性思考永远准确无误地为你们的种族选定生育的大好时节,他们有时会弄错,于是不适当地生了一些孩子。神圣的产生物有一个完善的数的周期;而有灭亡的产生物周期只是一个最小的数——一定的乘法(控制的和被控制的,包括三级四项的,)用它通过使有相同单位的有理数相似或不相似,或通过加法或减法,得出一个最后的得数。其4对3的基本比例,和5结合,再乘三次,产生出两个和谐;其中之一是等因子相乘和100乘同次方结合的产物,另一是有的相等有的不相等的因子相乘的产物,即,其一或为有理数(各减“1”)的对角线平方乘100,或为无理数(各减“2”)平方乘100,另一为“3”的立方乘100①。这全部的几何数乃是这事(优生和劣生)的决定性因素。如果你们的护卫者弄错了,在不是生育的好时节里让新郎新娘结了婚,生育的子女就不会是优秀的或幸运的。虽然人们从这些后代中选拔最优秀者来治理国家,但,由于他们实际上算不上优秀,因此,当他们执掌了父辈的权力成为护卫者时,他们便开始蔑视我们这些人,先是轻视音乐教育然后轻视体育锻炼,以致年轻人愈来愈缺乏教养。

    从他们中挑选出来的统治者已经丧失了真正护卫者的那种分辨金种、银种、铜种、铁种——赫西俄德说过的,我们也说过的——的能力了。而铁和银、铜和金一经混杂起来,便产生了不平衡:不一致和不和谐——不一致和不和谐在哪里出现就在哪里引起战争和仇恨。不论冲突发生在何时何地,你都必须认为这就是这种血统的冲突。

    ①柏拉图这里神秘地使用几何数的关系,说明天道有常。在吉利时节生的孩子才有智慧和好运,将来统治国家才能造福人民。

    格:我们将认为女神的答复是正确的。

    苏:既是女神,她们的答复必定是正确的。

    格:女神接下去还会说些什么呢?

    苏:这种冲突一经发生,统治者内部两种集团将采取两种不同的方向;铜铁集团趋向私利,兼并土地房屋、敛聚金银财宝;而金银集团则由于其自身心灵里拥有真正的财富而趋向美德和传统秩序;他们相互斗争,然后取得某种妥协,于是分配土地、房屋,据为私有,把原先的朋友和供养人变成边民和奴隶。护卫者本来是保卫后一类人的自由,终身专门从事战争捍卫他们的现在却变成奴役他们和压迫他们的人了。

    格:我以为,变动便是从这里发生的。

    苏:那么,这种制度不是介于贵族制和寡头制之间的某种中间制度吗?

    格:正是的。

    苏:变动即如上述。变动后的情况会怎样呢?既然这种制度介于贵族制和寡头制之间,那么很显然,在有些事情上它就会象前一种制度,在另一些事情上它又会象后一种制度。此外,也很显然,它会有自身的某些特有的特点。不是吗?

    格:是这样。

    苏:尊崇统治者,完全不让战士阶级从事农业、手工业和商业活动,规定公餐,以及统治者终身从事体育锻炼、竞技和战争——所有这些方面使它象前一种国家制度,不是吗?

    格:是的。

    苏:但是,不敢让智慧者执掌国家权力(因为国家现有的这些智者已不再是从前那种单纯而忠诚的人物了,他们的品质已经混杂了),而宁可选择较为单纯而勇敢的那种人来统治国家。这是一些不适于和平而更适于战争的人,他们崇尚战略战术,大部分时间都在从事战争。——这些特征大都是这种国家所特有的。不是吗?

    格:是的。

    苏:这种统治者爱好财富,这和寡头制度下的统治者相象。他们心里暗自贪图得到金银,他们有收藏金银的密室,住家四面有围墙;他们有真正的私室,供他们在里边挥霍财富取悦妇女以及其他宠幸者。

    格:极是。

    苏:他们一方面爱钱另一方面又不被许可公开捞钱,所以他们花钱也会是很吝啬的,但是他们很高兴花别人的钱以满足自己的欲望。他们由于轻视了真正的文艺女神,这些哲学和理论之友,由于重视了体育而放弃了音乐教育,因而受的不是说服教育而是强制教育。所以他们秘密地寻欢作乐,避开法律的监督,象孩子逃避父亲的监督一样。

    格:你非常出色地描述了一个善恶混杂的政治制度。

    苏:是的,已经混杂了。但是这种制度里勇敢起主导作用,因而仅有一个特征最为突出,那就是好胜和爱荣誉。

    格:完全是这样。

    苏:这种制度的起源和本性即如上所述,如果我们可以仅仅用几句话勾勒一种制度的概貌而不必详加列举的话。因为这种概述已足够让我们看见哪种人是最正义的哪种人是最不正义的了,而将各种形式的制度和各种习性的人列举无遗也不是切实可行的。

    格:对。

    苏:与我们刚才概述的这种制度相应的个人是什么样的人呢?这种人是怎么产生的?他们有怎样的性格特征?

    阿得曼托斯:我想,这种人在好胜这一点上,近似格劳孔。

    苏:在这一点上或许近似,但是在下述方面,我认为他们的性格不象他。

    阿:在哪些方面?

    苏:他们必须是比较自信的和比较缺乏文化的,但还喜爱文化喜爱听讲的,虽然本人决不长于演讲。这种人对待奴隶的态度是严厉的,而不象一个受过充分教育的人那样只是保持对他们的优越感。他们对自由人态度是和霭的,对长官是恭顺的。他们爱掌权爱荣誉,但不是想靠了能说会道以及诸如此类的长处而是想靠了战功和自己的军人素质达到这个目标。

    他们喜爱锻炼身体喜爱打猎。

    阿:是的,这是和那种制度相适应的习性。

    苏:这种人年轻时也未必重视钱财,但是随着年龄的增长,就会愈来愈爱财了。这是因为随着年龄的增长他们的天性开始接触爱财之心,由于失去了最善的保障,向善之心也不纯了。

    阿:这个最善的保障你指的什么?

    苏:掺合着音乐的理性。这是人一生美德的唯一内在保障,存在于拥有美德的心灵里的。

    阿:说得好。

    苏:相应于爱荣誉的城邦的爱荣誉的年轻人的性格就是这样。

    阿:完全对。

    苏:这种性格是大致如下述这样产生的。譬如有个年轻人,他的父亲是善的,住在一个政局混乱的城邦里。他不要荣誉、权力、也不爱诉讼以及一切诸如此类的无是生非,为了少惹麻烦他宁愿放弃一些自己的权利。

    阿:他的儿子怎么变成爱荣誉的呢?

    苏:起初他听到他母亲埋怨说,他的父亲不当统治者,致使她在妇女群中也受到轻视;当她看到丈夫不大注意钱财,在私人诉讼和公众集会上与人不争,把所有这类事情看得很轻,当她看到丈夫全神贯注于自己的心灵修养,对她也很淡漠,既无尊重也无不敬,看到所有这些情况她叹着气对儿子说,他的父亲太缺乏男子汉气概,太懒散了。还有妇女们在这种场合惯常唠叨的许多别的怨言。

    阿:的确有许多这一类的怨言。

    苏:你知道这种人家有些仆人表面上很忠实,同样会背了主人向孩子讲这类话。他们看见欠债的或为非作歹的,主人不去控告,他们便鼓励孩子将来长大起来要惩办那种人,比父亲做得更象一个堂堂的男子汉。孩子走到外面去,所闻所见,也莫非如此。安分守己的人,大家瞧不起,当作笨蛋;到处奔走专管闲事的人,反而得到重视,得到称赞。于是这个年轻人一方面耳濡目染外界的这种情况,另一方面听惯了父亲的话语,并近看过父亲的举止行为,发现与别人的所言所行,大相径庭。于是两种力量争夺青年有如拔河一样,父亲灌输培育他心灵上的理性,别人的影响增强他的欲望和激情。他由于不是天生的劣根性,只是在和别人的交往中受到了坏影响,两种力量的争夺使他成了一个折衷性的人物,自制变成了好胜和激情之间的状态,他成了一个傲慢的喜爱荣誉的人。

    阿:我觉得你已经准确地描述了这种人的产生过程了。

    苏:这样说来,我们对于第二类型国家制度和第二类型个人的描写可告一段落了。

    阿:是的。

    苏:那么,我们要不要接下去象埃斯库罗斯所说的那样,谈论与另一种国家对应的另一种人呢?或者还是按照我们的计划,先谈论国家,后说个人呢?

    阿:当然先说国家。

    苏:第三个类型的国家制度,据我看来,该是寡头政治了。

    阿:这是什么制度?你懂得寡头政治是什么制度?

    苏:是一种根据财产资格的制度。政治权力在富人手里,不在穷人手里。

    阿:我懂得。

    苏:我们首先必须说明,寡头政治如何从荣誉政治产生出来的,是吗?

    阿:是的。

    苏:说实在的,这个产生过程就是一个瞎子也会看得清清楚楚的。

    阿:这是怎么一回事?

    苏:私人手里的财产,能破坏荣誉政治。这些人想方设法挥霍浪费,违法乱纪,无恶不作。男人如此,女人们也跟在后面依样效尤。

    阿:很可能的。

    苏:据我看来,他们然后互相看着,互相模仿,统治阶级的大多数人形成了同一种风气。

    阿:很可能的。

    苏:长此下去,发了财的人,越是要发财,越是瞧得起钱财,就越瞧不起善德。好象在一个天平上,一边往下沉,一边就往上翘,两边总是相反,不是吗?

    阿:确是如此。

    苏:一个国家里尊重了钱财,尊重了有钱财的人,善德与善人便不受尊重了。

    阿:显然是这样。

    苏:受到尊重的,人们就去实践它,不受尊重的,就不去实践它。总是这样的。

    阿:是的。

    苏:于是,终于,好胜的爱荣誉的人变成了爱钱财的人了。他们歌颂富人,让富人掌权,而鄙视穷人。

    阿:完全是这样的。

    苏:这时他们便通过一项法律来确定寡头政制的标准,规定一个最低限度的财产数目;寡头制程度高的地方这个数目大些、寡头制程度低的地方规定的数目就小些。法律宣布,凡财产总数达不到规定标准的人,谁也不得当选。而这项法律的通过则是他们用武力来实现的,或者用恐吓以建立起自己的政府后实现的。你说寡头制是这样实现的吗?

    阿:是的。

    苏:那么,寡头政制的建立可说就是这样。

    阿:是的。但是这种制度有什么特点?我们说它有什么毛病呢?

    苏:首先,表明制度本质的那个标准是有问题的。假定人们根据财产标准来选择船长,那么一个穷人虽然有更好的航海技术,也是不能当选的。

    阿:那么,他们就会把一次航行搞得很糟。

    苏:关于其它任何需要领导的工作,道理不也是一样的吗?

    阿:我个人认为是的。

    苏:政治除外吗?还是说,也是这个道理呢?

    阿:政治上尤其应该这样,因为政治上的领导是最大最难的领导。

    苏:因此寡头政治的一个毛病就在这里。

    阿:显然是的。

    苏:那么,这是一个比较小的毛病吗?

    阿:什么?

    苏:这样的城邦必然不是一个而是两个,一个是富人的国家,一个是穷人的国家,住在一个城里,总是在互相阴谋对付对方。

    阿:说真的,这个毛病一点不小。

    苏:在这种制度下很可能无法进行战争,这是它的另一个毛病。它的少数统治者要打仗,非武装人民群众不可。但是,他们害怕人民甚于害怕敌人。如果不武装人民群众,而是亲自作战,他们会发现自己的确是孤家寡人,统辖的人真是少得可怜了。此外,他们又贪财而吝啬。

    阿:这真是个不光彩的毛病。

    苏:还有一种现象,即同一人兼有多种不同的职业,既做农民,又做商人,又要当兵。对这种现象你觉得怎么样?我们以前曾责备过这种事,现在你看这样对吗?

    阿:当然不对。

    苏:下面让我们来考虑一下,这种制度是不是最早允许这种毛病中之最大者存在的?

    阿:最大的毛病你指的什么?

    苏:允许一个人出卖自己的全部产业,也允许别人买他的全部产业。卖完了以后,还继续住在这个城里,不作为这个国家的任何组成部分,既非商人,又非工人,既非骑兵,又非步兵,仅仅作为一个所谓的穷人或依附者。

    阿:是的。这是有这种情况发生的最早一个国家体制。

    苏:在寡头制度里,没有什么法令是可以阻止这种情况发生的。否则就不会有的人变成极富有些人变得极穷了。

    阿:对。

    苏:还有一点请注意。即,当一个人在花费自己财富时,他在上述几个方面对社会有什么益处吗?或者,他是不是仅仅看上去象属于统治阶级,事实上既不领导别人,又不在别人领导下为社会服务,而只是一个单纯的生活资料的消费者呢?

    阿:他就只是一个消费者,不管看上去象什么样的人。

    苏:我们是不是可以称他为雄蜂?他在国家里成长,后来变为国家的祸害,象雄蜂在蜂房里成长,后来变为蜂房的祸害一样。

    阿:这是一个恰当的比喻,苏格拉底。

    苏:阿得曼托斯,你同意不同意这个看法:天生所有能飞的雄蜂,都没有刺,但是人类中的雄蜂就有不同,有些没有刺,有些有很可怕的刺;那些没有刺的老来成为乞丐,那些有刺的就成了一些专干坏事的人了。

    阿:很对。

    苏:因此可见,在任何一个国家里,你在哪里看到有乞丐,也就在那里附近藏匿着小偷、扒手、抢劫神庙的盗贼,以及其他为非作歹的坏人。

    阿:这是很明显的。

    苏:那么,在寡头制城邦里你看到乞丐了吗?

    阿:除了统治阶级以外差不多都是的。

    苏:那么我们是否可以认为,这里也有大量有刺的雄蜂,即罪犯,被统治者严密地控制着呢?

    阿:我们可以这样认为。

    苏:那么,我们是不是可以说,这种公民的出现是由于这里缺少好的教育,好的培养和好的政治制度的缘故呢?

    阿:可以这么说。

    苏:不管怎么说,寡头政治就是这个样子。刚才所说这些,或许不止这些,大概就是寡头制城邦的毛病。

    阿:你说得差不多啦。

    苏:因此,这种由财产资格决定统治权力的,被人们叫做寡头政治的制度,我们就说这些吧。接下去让我们讲与此相应的个人吧,让我们讲这种人的产生和他的性格特征。

    阿:好。

    苏:我以为从爱好荣誉的人转变到爱好钱财的人,大都经过如下的过程。是吗?

    阿:什么样的过程?

    苏:爱好荣誉的统治者的儿子,起初效法他的父亲,亦步亦趋,后来看到父亲忽然在政治上触了礁,人财两空,——

    他或许已是一个将军或掌握了其它什么大权,后来被告密,受到法庭审判,被处死或流放,所有财产都被没收了。

    阿:这是很可能发生的。

    苏:我的朋友,这个儿子目击了这一切,经受了这一切,又丧失了家产,我想他会变得胆小,他灵魂里的荣誉心和好胜心会立即动摇,他会因羞于贫穷而转向挣钱,贪婪地,吝啬地,节省苦干以敛聚财富。你不认为这种人这时会把欲望和爱财原则奉为神圣,尊为心中的帝王,饰之以黄金冠冕,佩之以波斯宝刀吗?

    阿:我是这样认为的。

    苏:在这原则统治下,我认为理性和激情将被迫折节为奴。理性只被允许计算和研究如何更多地赚钱,激情也只被允许崇尚和赞美财富和富人,只以致富和致富之道为荣耀。

    阿:从好胜型青年到贪财型青年,再没有什么比这一变化更迅速更确定不移的了。

    苏:这种青年不就是寡头政治型的人物吗?

    阿:不管怎么说,我们这里所说的这种年轻人,反正是从和寡头政治所从发生的那种制度相对应的那种人转变来的。

    苏:那么,让我们来看看这种人和这种制度有没有相似的特征。

    阿:看吧。

    苏:他们的第一个相似特征不就是崇拜金钱吗?

    阿:当然是的。

    苏:他们的第二个相似特征不是省俭和勤劳吗?他们但求满足基本需要,绝不铺张浪费,其它一些欲望均被视为无益,加以抑制。

    阿:正是。

    苏:他实在是个寸利必得之徒,不断地积攒,是大家称赞的一种人。这种人的性格不是恰恰与寡头制度对应一致的吗?

    阿:我很同意。财富是最为这种国家和这种个人所重视的东西。

    苏:据我看,这是因为这种人从来没有注意过他自己的文化教育。

    阿:我想他没有注意过;否则他断不会选一个盲人做剧中的主角,让他得到最大荣誉的。①

    ①古希腊人相传,财神是个瞎子。阿里斯托芬有剧本《财神》传世。

    苏:说得好。但请考虑一下,由于他们缺乏教养,雄蜂的欲念在他们胸中萌发,有的象乞丐,有的象恶棍。但由于他们的自我控制,自我监管,这些欲念总算被压制下去了。我们能不能这样说呢?

    阿:当然可以这样说。

    苏:那么,你从什么地方可以看出这些人的恶棍特征呢?

    阿:你说呢?

    苏:从他们监护孤儿上面可以看出来,从他们为非作歹而不受惩罚时可以觉察出来。

    阿:诚然。

    苏:很清楚,在交易往来,签订契约方面,他们有似乎诚实的名声。这是他们心灵中比较善良的部分起了作用,把心中邪恶的欲望压了下去,——不是用委婉的劝导,也不是用道理说服,而是用强迫恐吓的方法,要自己为了保住财产而小心谨慎。

    阿:完全是这样。

    苏:我的好朋友,说真的,他们中大多数人一有机会花别人的钱时,你就能在他们身上看到有雄蜂似的嗜欲。

    阿:肯定如此。

    苏:因此,这种人无法摆脱内心矛盾。他不是事实上的一个人,而是某种双重性格的人。然而一般讲来,他的较善的要求总能战胜较恶的要求。

    阿:确是如此。

    苏:因此,我以为,这种人或许要比许多其它的人更体面些可敬些;但是心灵自身和谐一致的真正的至善,在他们身上是找不到的,离他远远的。

    阿:我也这样想。

    苏:再说,省俭吝啬者本人在城邦里往往是一个软弱的竞争者,难以取得胜利和光荣。他们不肯花钱去争名夺誉,担心激起自己花钱的欲望来帮助赢得胜利支持好胜心。他们只肯花费一小部分钱财,作真正孤家寡人般的战斗。于是战斗失败了,他们的财富保全了!

    阿:的确是这样。

    苏:那么,对于吝啬的只想赚钱的人物与寡头政体的对应一致,我们还有什么怀疑的吗?

    阿:一点没有了。

    苏:我们下一步看来要讨论平民政治的起源和本性,然后进而讨论与之相类似的个人品格了。我们还要把这种人和别种人物加以比较,作出我们的判断。

    阿:这至少是个前后一贯的研究程序。

    苏:那么,从寡头政治过渡到平民政治是不是经过这样一个过程——贪得无厌地追求最大可能的财富?

    阿:请详为说明。

    苏:统治者既然知道自己的政治地位靠财富得来,他们就不愿意用法律来禁止年轻人中出现的挥霍浪费祖产的现象;他们借钱给这些浪荡子,要他们用财产抵押,或者收买他们的产业,而自己则变得愈来愈富有,愈有影响和声誉。

    阿:正是。

    苏:崇拜财富与朴素节制的生活不能并存,二者必去其一。这个道理在一个国家的人民中不是不言而喻的吗?

    阿:这是不言而喻的。

    苏:这样,一方面丝毫不能自制,一方面又崇拜金钱,铺张浪费,寡头社会里这种鼓励懒散和放荡的结果往往不断地把一些世家子弟变成为无产的贫民。

    阿:是的,往往如此。

    苏:我想,他们有的负债累累,有的失去了公民资格,有的两者兼有,他们武装了,象有刺的雄蜂,同吞并了他们产业的以及其他的富而贵者住在一个城里,互相仇恨,互相妒忌,他们急切地希望革命。

    阿:是这样。

    苏:但是,那些专讲赚钱的人们,终日孜孜为利,对这些穷汉熟视无睹,只顾把自己金钱的毒饵继续抛出去,寻找受骗的对象,用高利率给以贷款,仿佛父母生育子女一样,使得城邦里的雄蜂和乞丐繁殖起来,日益增多。

    阿:结果必然如此。

    苏:当这种恶的火焰已经燃烧起来时,他们还不想去扑灭它,或用一项禁止财产自由处置的法令,或用一项其它的适当法令。

    阿:什么法律?

    苏:不是一项最好法律,而是一项次于最好的法律,可以强使公民们留意道德的。如果有一项法令规定自愿订立的契约,由订约人自负损失,则一国之内惟利是图的无耻风气可以稍减,我们刚才所讲的那些恶事,也可以少些了。

    阿:会少得多。

    苏:但是作为实际情况,由于上述这一切原因,在寡头制的国家里,统治者使人民处于水深火热之中,他们自己养尊处优。他们的后辈不就变得娇惯放纵,四体不勤,无所用心,苦乐两个方面都经不起考验,成了十足的懒汉了吗?

    阿:一定会的。

    苏:他们养成习惯,除了赚钱,什么不爱。对于道德简直不闻不问,象一般穷人一样,不是吗?

    阿:他们简直不管。

    苏:统治者和被统治者平时关系如此。一旦他们走到一起来了,或一起行军,或一同徒步旅行,或一处履行其它任务,或一起参加宗教庆典,或同在海军中或陆军中一起参加战争,或竟同一战场对敌厮杀,他们彼此观察,那时穷人就一点也不会被富人瞧不起了。相反地,你是不是相信会出现一种情况,即战场上一个瘦而结实的晒黑的穷人就站立在一个养得白白胖胖的富人的旁边,看到后者那气喘吁吁,一副无可奈何的样子,你是不是相信,这时这个穷人会想到:是由于穷人胆小,这些有钱人才能保住自己财富的,当穷人遇到一起时,他们也会背后议论说:“这般人不是什么好样的”?

    阿:我很知道他们是这样做的。

    苏:就象一个不健康的身体,只要遇到一点儿外邪就会生病,有的时候甚至没有外邪,也会病倒,一个整体的人就是一场内战。一个国家同样,只要稍有机会,这一党从寡头国家引进盟友,那一党从民主国家引进盟友,这样这个国家就病了,内战就起了。有时没有外人插手,党争也会发生。不是吗?

    阿:断然是这样。

    苏:党争结果,如果贫民得到胜利,把敌党一些人处死,一些人流放国外,其余的公民都有同等的公民权及做官的机会——官职通常抽签决定。一个民主制度,我想就是这样产生的。

    阿:对。这是民主制度,无论是通过武装斗争,或是通过恐吓手段建立起来的,最后结果反正一样,反对党被迫退出。

    苏:那么在这种制度下人民怎样生活?这种制度的性质怎样?因为,很显然,这种性质的人将表明自己是民主的人。

    阿:很显然。

    苏:首先,他们不是自由吗?城邦不确确实实充满了行动自由与言论自由吗?不是每个人都被准许想做什么就做什么吗?

    阿:据说是这样。

    苏:既然可以这样随心所欲,显然就会每个人都有自己的一套过日子的计划,爱怎么过就怎么过啦。

    阿:显然如此。

    苏:于是这个城邦里就会有最为多样的人物性格。

    阿:必定的。

    苏:可能这样。这是政治制度中最美的一种人物性格,各色各样,有如锦绣衣裳,五彩缤纷,看上去确实很美。而一般群众也或许会因为这个缘故而断定,它是最美的,就象女人小孩只要一见色彩鲜艳的东西就觉得美是一样的。

    阿:确实如此。

    苏:是的,我的好友,这里是寻找一种制度的最合适的地方。

    阿:为什么?

    苏:由于这里容许有广泛的自由,所以它包括有一切类型的制度。很可能凡希望组织一个国家的人,象我们刚才说过的,必须去一个民主城邦,在那里选择自己所喜欢的东西作为模式,以确定自己的制度,如同到一个市场上去选购自己喜欢的东西一样。

    阿:不管怎么说,在这个市场上他大概是不会选不到合适的模式的。

    苏:又,在这种国家里,如果你有资格掌权,你也完全可以不去掌权;如果你不愿意服从命令,你也完全可以不服从,没有什么勉强你的。别人在作战,你可以不上战场;别人要和平,如果你不喜欢,你也可以要求战争;如果有什么法令阻止你得到行政的或审判的职位,只要机缘凑巧,你也一样可以得到它们。就眼前而论,这不是妙不可言的赏心乐事吗?

    阿:就眼前而论也许是的。

    苏:那些判了刑的罪犯,那毫不在乎的神气,不有点使人觉得可爱吗?你一定看到过,在这种国家里,那些被判了死罪的或要流放国外的,竟好象没事人一样,照旧在人民中间来来往往,也竟好象来去无踪的精灵似的没人注意他们。

    阿:我看到过不少。

    苏:其次,这种制度是宽容的,它对我们那些琐碎的要求是不屑一顾的,对我们建立理想国家时所宣布的庄严原则是蔑视的。我们说过除非天分极高的人,不从小就在一个好的环境里游戏、学习受到好的教养,是不能成长为一个善人的。

    民主制度以轻薄浮躁的态度践踏所有这些理想,完全不问一个人原来是干什么的,品行如何,只要他转而从政时声称自己对人民一片好心,就能得到尊敬和荣誉。

    阿:实在是个好制度啊!

    苏:这些以及类似的特点就是民主制度的特征。这看来是一种使人乐意的无政府状态的花梢的管理形式。在这种制度下不加区别地把一种平等给予一切人,不管他们是不是平等者。

    阿:你这话是很容易理解的。

    苏:那么,让我们考察一下与这种社会相应的人物性格。

    我们要不要象在考查这种社会制度时一样首先来考查一下这种人的起源呢?

    阿:要的。

    苏:那么是不是这样?我的意思是说,我们吝啬的寡头政治家可能要按照他自己的样子培育他的儿子。

    阿:是很可能的。

    苏:这个年轻人也会竭力控制自己的欲望,控制那些必须花钱而不能赚钱的所谓不必要的快乐。

    第九卷

    苏:我们还剩下有待讨论的问题是关于僭主式个人的问题。问题包括:这种人物是怎样从民主式人物发展来的?他具有什么样的性格?他的生活怎样,痛苦呢还是快乐?

    阿:是的,还有这个问题要讨论。

    苏:你知道另外还有什么问题要讨论的吗?

    阿:还有什么?

    苏:关于欲望问题。我觉得我们分析欲望的性质和种类这个工作还做得不够。这个工作不做好,我们讨论僭主式人物就讨论不清楚。

    阿:那么,现在你的机会不是来了吗?

    苏:很好。我想要说明的如下。在非必要的快乐和欲望之中,有些我认为是非法的。非法的快乐和欲望或许在我们大家身上都有;但是,在受到法律和以理性为友的较好欲望控制时,在有些人身上可以根除或者只留下微弱的残余,而在另一些人的身上则留下的还比较多比较强。

    阿:你指的是哪些个欲望?

    苏:我指的是那些在人们睡眠时活跃起来的欲望。在人们睡眠时,灵魂的其余部分,理性的受过教化的起控制作用的部分失去作用,而兽性的和野性的部分吃饱喝足之后却活跃起来,并且力图克服睡意冲出来以求满足自己的本性要求。你知道,在这种情况下,由于失去了一切羞耻之心和理性,人们就会没有什么坏事想不出来的;就不怕梦中乱伦,或者和任何别的人,和男人和神和兽类交媾,也就敢于起谋杀之心,想吃禁止的东西。总之,他们没有什么愚昧无耻的事情不敢想做的了。

    阿:你说得完全对。

    苏:但是,我认为,如果一个人的身心处于健康明智的状况下,在他睡眠之前已经把理性唤醒,给了它充分的质疑问难的机会,至于他的欲望,他则既没有使其过饿也没有使其过饱,让它可以沉静下来,不致用快乐或痛苦烦扰他的至善部分,让后者可以独立无碍地进行研究探求,掌握未知的事物,包括过去的、现在的和未来的;如果他也同样地使自己的激情部分安静了下来,而不是经过一番争吵带着怒意进入梦乡;如果他这样地使其灵魂中的两个部分安静了下来,使理性所在的第三个部分活跃起来,而人就这样地睡着了;你知道,一个人在这种状况下是最可能掌握真理,他的梦境最不可能非法的。

    阿:我想情况肯定是这样。

    苏:这些话我们已经说得离题很远了。我的意思只是想说:可怕的强烈的非法欲望事实上在每一个人的心里,甚至在一些道貌岸然的人心里都有。它往往是在睡梦中显现出来的。你认为我的话是不是有点道理?你是不是同意?

    阿:是的,我同意。

    苏:现在让我们回顾一下民主式人物的性格。这种人是由节约省俭的父亲从小教育培养出来的。这种父亲只知道经商赚钱,想要娱乐和风光的那些不必要的欲望他是不准许有的。

    是这样吗?

    阿:是的。

    苏:但是,儿子随着和老于世故的人们交往,有了许多我们刚才所说的这种欲望。这种影响把他推向各种的傲慢和无法无天,推动他厌恶父亲的吝啬而采取奢侈的生活方式。但是由于他的天性本比他的教唆者为好,在两种力量的作用下,他终于确定了中间道路。自以为吸取了两者之长,既不奢侈又不吝啬,他过着一种既不寒伧又不违法的生活。于是他由一个寡头派变成了民主派。

    阿:这正是我们对这种类型人物的一贯看法。

    苏:现在请再想象:随着年龄的增长,这个人也有了儿子,也用自己的生活方式教养自己的儿子成长。

    阿:好,我也这样想象。

    苏:请再设想这个儿子又一定会有和这个父亲同样的情况发生。他被拉向完全的非法——他的教唆者称之为完全的自由。父亲和其他的亲人支持折衷的欲望,而教唆者则支持极端的欲望。当这些可怕的魔术师和僭主拥立者认识到他们这样下去没有控制这个青年的希望时,便想方设法在他的灵魂里扶植起一个能起主宰作用的激情,作为懒散和奢侈欲望的保护者,一个万恶的有刺的雄蜂。你还能想出什么别的东西来更好地比喻这种激情吗?

    阿:除此而外,没有什么更好的比喻了。

    苏:其它的欲望围着它营营作声,献上鲜花美酒,香雾阵阵,让它沉湎于放荡淫乐,用这些享乐喂饱养肥它,直到最后使它深深感到不能满足时的苦痛。这时它就因它周围的这些卫士而变得疯狂起来蛮干起来。这时如果它在这个人身上看到还有什么意见和欲望说得上是正派的和知羞耻的,它就会消灭它们,或把它们驱逐出去,直到把这人身上的节制美德扫除清净,让疯狂取而代之。

    阿:这是关于僭主式人物产生的一个完整的描述。

    苏:自古以来爱情总被叫做专制暴君,不也是因为这个道理吗?

    阿:很可能是的。

    苏:我的朋友,你看一个醉汉不也有点暴君脾气吗?

    阿:是的。

    苏:还有,神经错乱的疯子不仅想象而且企图真的不仅统治人而且统治神呢。

    阿:的确是的。

    苏:因此,我的朋友,当一个人或因天性或因习惯或因两者,已经变成醉汉、色鬼和疯子时,他就成了一个十足的僭主暴君了。

    阿:无疑的。

    苏:这种人物的起源和性格看来就是这样。但是他的生活方式怎样呢?

    阿:你倒问我,我正要问你呢。还是你来告诉我吧。

    苏:行,我来说。我认为,在一个人的心灵被一个主宰激情完全控制了之后,他的生活便是铺张浪费,纵情酒色,放荡不羁等等。

    阿:这是势所必然的。

    苏:还有许许多多可怕的欲望在这个主宰身边日夜不息地生长出来,要求许多东西来满足它们。是吧?

    阿:的确是的。

    苏:因此,一个人不管有多少收入,也很快花光了。

    阿:当然。

    苏:往后就是借贷和抵押了。

    阿:当然了。

    苏:待到告贷无门、抵押无物时,他心灵中孵出的欲望之雏鸟不是必然要不断地发出嗷嗷待哺的强烈叫声吗?他不是必然要被它们(特别是被作为领袖的那个主宰激情)刺激得发疯,因而窥测方向,看看谁有东西可抢劫或骗取吗?

    阿:这是必定的。

    苏:凡可以抢劫的他都必须去抢,否则他就会非常痛苦。

    阿:必定的。

    苏:正如心灵上新出现的快乐超过了原旧的激情而劫夺后者那样,这个人作为晚辈将声称有权超过他的父母,在耗光了他自己的那一份家产之后夺取父母的一份供自己继续挥霍。

    阿:自然是这样。

    苏:如果他的父母不同意,他首先会企图骗取他们的财产。是吗?

    阿:肯定的。

    苏:如果骗取不行,他下一步就会强行夺取。是吗?

    阿:我以为会的。

    苏:我的好朋友,如果老人断然拒绝而进行抵抗,儿子会手软不对老人使用暴君手段吗?

    阿:面对这种儿子,我不能不为他的父母担心。

    苏:说真的,阿得曼托斯,你是认为这种人会为了一个新觅得的可有可无的漂亮女友而去虐待自己出生以来不可片刻或离的慈母,或者为了一个新觅得的可有可无的妙龄娈童去鞭打自己衰弱的老父,他最亲的亲人和相处最长的朋友吗?

    如果他把这些娈童美妾带回家来和父母同住,他会要自己的父母低三下四屈从他们吗?

    阿:是的,我有这个意思。

    苏:做僭主暴君的父母看来是再幸运不过的了!

    阿:真是幸运呀!

    苏:如果他把父母的财产也都挥霍磬净了,而群聚在他心灵里的快乐欲望却有增无已。这时他会怎么样呢?他不会首先逾墙行窃,或遇到迟归夜行的人时扒人衣袋,并进而洗劫神庙的财产吗①?在这一切所作所为里,他从小培养起来的那些关于高尚和卑鄙的信念,那些被认为是正义的见解,都将被新释放出来的那些见解所控制。而后者作为主宰激情的警卫将在主宰的支持下取得压倒优势。——所谓“新释放的见解”,我是指的从前只是在睡梦中才被放出来自由活动的那些见解;当时他由于还处在父亲和法律的控制之下心里还是拥护民主制度的。但是现在在主宰激情控制之下,他竟在醒着的时候想做起过去只有在睡梦中偶一出现的事情了。他变得无法无天,无论杀人越货还是亵渎神圣,什么事都敢做了。主宰他心灵的那个激情就象一个僭主暴君,也是无法无天的,驱使他(象僭主驱使一个国家那样)去干一切,以满足它自己和其它欲望的要求。而这些欲望一部分是外来的,受了坏伙伴的影响;一部分是自内的,是被自身的恶习性释放出来的。这种人的生活能不是这样吗?

    ①古希腊风俗和法律都视之为罪大恶极。

    阿:是这样。

    苏:如果在一个国家里这种人只是少数,作为大多数的都是头脑清醒的人。那么,这少数人便会出国去做某一外国僭主的侍卫,或在某一可能的战争中做雇佣兵。但是如果他们生长在和平时期,他们便会留在本国作许多小恶。

    阿:你指的是哪种恶?

    苏:做小偷、强盗、扒手,剥人衣服的,抢劫神庙的,拐骗儿童的;如果生就一张油嘴,他们便流为告密人、伪证人或受贿者。

    阿:你说这些是小恶,我想是有条件的,是因为这种人人数还少。

    苏:是的。因为小恶是和大恶相比较的小。就给国家造成的苦害而言,这些恶加在一起和一个僭主暴君造成的危害相比,如俗话所说,还是小巫见大巫。然而一旦这种人及其追随者在一个国家里人数多得可观并且自己意识到自己的力量时,他们再利用上民众的愚昧,便会将自己的同伙之一,一个自己心灵里有最强大暴君的人扶上僭主暴君的宝座。

    阿:这是很自然的,因为他或许是最专制的。

    苏:因此,如果人民听之任之,当然没有问题。但是,如果国家拒绝他,那么,他就也会如上面说过的那个人打自己的父母一样,惩戒自己的祖国(如果他能做得到的话),把新的密友拉来置于自己的统制之下,把从前亲爱的母国——如克里特人称呼的——或祖国置于自己奴役之下。而这大概也就是这种人欲望的目的。

    阿:是的,目的正在于此。

    苏:因此,这种人掌权之前的私人生活不是如此吗:他们起初和一些随时准备为之帮闲的阿谀逢迎之徒为伍;而如果他们自己有求于人的话,他们也会奉迎拍马低三下四地表白自己的友谊,虽然一旦目的达到,他们又会另唱一个调门。

    阿:的确如此。

    苏:因此他们一生从来不真正和任何人交朋友。他们不是别人的主人便是别人的奴仆。僭主的天性是永远体会不到自由和真正友谊的滋味的。

    阿:完全是的。

    苏:因此,如果我们称他们是不可靠的人,不是对的吗?

    阿:当然对!

    苏:如果说我们前面一致同意的关于正义的定义是对的,那么我们关于不正义的描述就是不能再正确的了。

    阿:的确,我们是正确的。

    苏:关于最恶的人让我们一言以蔽之。他们是醒着时能够干出睡梦中的那种事的人。

    阿:完全对。

    苏:这恰恰是一个天生的僭主取得绝对权力时所发生的事情。他掌握这个权力时间越长,暴君的性质就越强。格劳孔(这时候插上来说):这是必然的。

    苏:现在不是可以看出来了吗:最恶的人不也正是最为不幸的人吗?并且,因此,他执掌的专制权力愈大,掌权的时间愈长,事实上他的不幸也愈大,不幸的时间也愈长吗?当然,众人各有各的看法。

    格:一定的。的确是这样。

    苏:专制君主的人不是就象专制政治的国家吗?民主的人不也就象民主政治的国家吗?如此等等。

    格:当然是的。

    苏:我们可以作如下的推论:在美德和幸福方面,不同类型的个人间的对比关系就象不同类型的国家之间的对比关系。是吗?

    格:怎么不是呢?

    苏:那么,在美德方面僭主专政的国家和我们最初描述的王政国家对比起来怎么样呢?

    格:它们正好相反:一个最善一个最恶。

    苏:我不再往下深究哪个最善哪个最恶了。因为那是一明二白的。我要你判断一下,在幸福和不幸方面它们是否也如此相反?让我们不要只把眼光放在僭主一个人或他的少数随从身上以致眼花缭乱看不清问题。我们要既广泛又深入地观察整个城邦,应当经过这么巨细无遗地透视它的一切方面,透彻地理解了它的全部实际生活,再来发表我们的看法。

    格:这是一个很好的动议。大家都很明白:没有一个城邦比僭主统治的城邦更不幸的,也没有一个城邦比王者统治的城邦更幸福的。

    苏:这不也是一个很好的提议吗:在论及相应的个人时,我们要求讨论者能通过思考深入地一直理解到对象的心灵和个性,而不是象一个小孩子那样只看到外表便被僭主的威仪和生活环境所迷惑?只有这样的人才配得上作出判断,我们才应当倾听他的判断——特别是,假如他不仅看到过僭主在公众面前的表现,而且还曾经和僭主朝夕相处,亲眼目睹过他在自己家里以及在亲信中的所作所为(这是剥去一切伪装看到一个人赤裸裸灵魂的最好场合)。因此我们不是应该请他来解答我们的这个问题吗:僭主的生活和别种人物的生活比较起来究竟幸福还是不幸福?

    格:这也是一个最好的提议。

    苏:那么,我们要不要自称我们有判断能力,我们也有过和僭主型的那种人一起相处的经验,因此我们自己当中可以有人答复我们的问题?

    格:要。

    苏:那末,来吧,让我们这样来研究这个问题吧。先请记住城邦和个人性格之间都是相似的,然后再逐个地观察每一种城邦和个人的性格特点。

    格:哪些性格特点?

    苏:首先谈论一个国家。一个被僭主统治的国家你说它是自由的呢还是受奴役的?

    格:是完全受奴役的。

    苏:但是,在这样的国家你看到也有主人和自由人呀。

    格:我看到这种人只是少数,而(所谓的)整体及其最优秀部分则处于屈辱和不幸的奴隶地位。

    苏:因此,如果个人和国家相象,他必定有同样的状况。

    他的心灵充满大量的奴役和不自由,他的最优秀最理性的部分受着奴役;而一个小部分,即那个最恶的和最狂暴的部分则扮演着暴君的角色。不是吗?

    格:这是必然的。

    苏:那么你说这样一个灵魂是在受奴役呢还是自由的呢?

    格:我认为是在受奴役。

    苏:受奴役的和被僭主统治的城邦不是最不能做自己真正想做的事情的吗?

    格:正是的。

    苏:因此,实行僭主制的心灵——指作为整体的心灵——

    也最不能做自己想做的事情。因为它永远处在疯狂的欲望驱使之下,因此充满了混乱和悔恨。

    格:当然啰。

    苏:处于僭主暴君统治下的城邦必然富呢还是穷呢?

    格:穷。

    苏:因此,在僭主暴君式统治下的心灵也必定永远是贫穷的和苦于不能满足的。

    格:是的。

    苏:又,这样一个国家和这样一个人不是必定充满了恐惧吗?

    格:是这样。

    苏:那么你认为你能在别的任何国家里发现有比这里更多的痛苦、忧患、怨恨、悲伤吗?

    格:绝对不能。

    苏:又,你是否认为人也如此?在别的任何一种人身上会比这种被强烈欲望刺激疯了的僭主暴君型人物身上有更多的这种情况吗?

    格:怎么会呢?

    苏:因此,有鉴于所有这一切以及其它类似情况,我想你大概会判定,这种城邦是所有城邦中最为不幸的了。

    格:我这样说不对吗?

    苏:完全对的。但是,有鉴于同样的这一切,关于僭主型个人你一定会有什么高见呢?

    格:我必定会认为他是所有人中最最不幸的。

    苏:这你可说得不对。

    格:怎么不对?

    苏:我们认为这个人还没达到不幸的顶点。

    格:那么什么人达到了顶点呢?

    苏:我要指出的那种人你或许会认为他是还要更不幸的。

    格:哪种人?

    苏:一个有僭主气质的人,他不再过一个普通公民的生活,某种不幸的机会竟致不幸地使他能以成了一个实在的僭主暴君。

    格:根据以上所说加以推论,我说你的话是对的。

    苏:好。但是这种事情凭想必然是不够的。我们必须用如下的论证彻底地考察它们。因为我们这里讨论的是一切问题中最大的一个问题:善的生活和恶的生活问题。

    格:再正确不过。

    苏:因此请考虑,我的话是否有点道理。我认为我们必须从下述事例中得出关于问题的见解。

    格:从哪些事例中?

    苏:以我们城邦里的一个拥有大量奴隶的富有私人奴隶主为例。在统治许多人这一点上他们象僭主,而不同的只是所统治的人数不同而已。

    格:是的,有这点不同。

    苏:那么你知道他们不担心,不害怕自己的奴隶吗?

    格:他们要害怕什么?

    苏:什么也不用怕。但是你知道他们为什么不怕吗?

    格:是的。我知道整个城邦国家保护每一个公民个人。

    苏:说得好。但是假设有一个人,他拥有五十个或更多的奴隶。现在有一位神明把他和他的妻儿老小、他的财富奴隶一起从城市里用神力摄走,送往一个偏僻的地方,这里没有一个自由人来救助他。你想想看,他会多么害怕,担心他自己和他的妻儿老小要被奴隶所消灭吗?

    格:我看这个恐惧是不能再大了。

    苏:这时他不是必须要巴结讨好自己的一些奴隶,给他们许多许诺,放他们自由(虽然都不是出于真心自愿),以致一变而巴结起自己的奴隶来了吗?

    格:大概必定如此,否则他就一定灭亡。

    苏:但是现在假设神在他周围安置了许多邻人。他们又是不许任何人奴役别人的;如果有人想要奴役别人,他们便要处以严厉的惩罚。这时怎么样呢?

    格:我认为,这时他的处境还要更糟,他的周围就全是敌人了。

    苏:这不正是一个具有我们描述过的那种天性,充满了许多各种各样恐惧和欲望的僭主陷入的那种困境吗?他是这个城邦里唯一不能出国旅行或参加普通自由公民爱看的节日庆典的人。虽然他心里渴望这些乐趣,但他必须象妇女一样深居禁宫,空自羡慕别人能自由自在地出国旅游观光。

    格:很对。

    苏:因此,僭主型的人物,即由于混乱在他内心里占了优势而造成了恶果你因而判断他是最不幸的那种人物,当他不再作为一个普通的私人公民,命运使他成了一个真正的僭主暴君,他不能控制自己却要控制别人,这时他的境况一定还要更糟。这正如强迫一个病人或瘫痪的人去打仗或参加体育比赛而不在家里治疗静养一样。

    格:苏格拉底啊,你比得非常恰当说得非常对。

    苏:因此,亲爱的格劳孔,这种境况不是最不幸的吗?僭主暴君的生活不是比你断定最不幸的那种人的生活还要更不幸吗?

    格:正是。

    苏:因此,虽然或许有人会不赞同,然而这是真理:真正的僭主实在是一种依赖巴结恶棍的最卑劣的奴隶。他的欲望永远无法满足。如果你善于从整体上观察他的心灵,透过欲望的众多你就可以看到他的真正贫穷。他的生活是一天到晚提心吊胆;如果国家状况可以反映其统治者的境况的话,那么他象他的国家一样充满了动荡不安和苦痛。是这样吗?

    格:的确是的。

    苏:除了我们前已说过的而外,他的权力将使他更加妒忌,更不忠实可信,更不正义,更不讲朋友交情,更不敬神明。他的住所藏垢纳移。你可以看到,结果他不仅使自己成为极端悲惨的人,也使周围的人成了最为悲惨的人。

    格:有理性的人都不会否认你这话的。

    苏:那么快点,现在最后你一定要象一个最后评判员那样作一个最后的裁判了。请你鉴定一下,哪种人最幸福,哪种人第二幸福,再同样地评定其余几种人,依次鉴定所有五种人:王者型、贪图名誉者型、寡头型、民主型、僭主型人物。

    格:这个鉴定是容易做的。他们象舞台上的合唱队一样,我按他们进场的先后次序排列就是了。这既是幸福次序也是美德次序。

    苏:那么,我们是雇一个传令官来宣布下述评判呢还是我自己来宣布呢?“阿里斯同之子格劳孔已经判定:最善者和最正义者是最幸福的人。他最有王者气质,最能自制。最恶者和最不正义者是最不幸的人。他又最有暴君气质,不仅对自己实行暴政而且对他的国家实行暴政”。

    格:就由你自己来宣布吧。

    苏:我想在上述评语后面再加上一句话:“不论他们的品性是否为神人所知,善与恶、幸与不幸的结论不变”。可以吗?

    格:加上去吧。

    苏:很好。那么,这是我们的证明之一。但是,下面请看第二个证明,看它是不是有点道理。

    格:第二个证明是什么?

    苏:正如城邦分成三个等级一样,每个人的心灵也可以分解为三个部分。因此我认为还可以有另外一个证明途径。

    格:什么证明途径?

    苏:请听我说。这三个部分我看到也有三种快乐,各各对应。还同样地有三种对应的欲望和统治。

    格:请解释明白。

    苏:我们说一个部分是人用来学习的。另一个部分是人用来发怒的。还有第三个部分;这个部分由于内部的多样性,我们难以用一个简单而合适的词来统括它,我们只能用其中的一个最强烈的主要成分来命名它。我们根据它强烈的关于饮食和爱的欲望以及各种连带的欲望,因而称它为“欲望”部分。我们同样又根据金钱是满足这类欲望的主要手段这一点,因而称它为“爱钱”部分。

    格:对。

    苏:如果我们还应该说,它的快乐和爱集中在“利益”上,我们为了在谈起心灵的这第三个部分时容易了解起见,最好不是应该把它集中到一个名下,把我们的话说得更准确些,把它叫做“爱钱”部分或“爱利”部分吗?

    格:不管怎样,我认为是这样。

    苏:再说,激情这个部分怎么样?我们不是说它永远整个儿地是为了优越、胜利和名誉吗?

    格:的确。

    苏:我们是不是可以恰当地把它称为“爱胜”部分或“爱敬”部分呢?

    格:再恰当不过了。

    苏:但是一定大家都清楚:我们用以学习的那个部分总是全力要想认识事物真理的,心灵的三个部分中它是最不关心钱财和荣誉的。

    格:是的。

    苏:“爱学”部分和“爱智”部分,我们用这名称称呼它合适吗?

    格:当然合适。

    苏:在有些人的心灵里是这个部分统治着,在另一些人的心灵里却是那两部分之一在统治着,依情况不同而不同。是吧?

    格:是这样。

    苏:正因为这个原因,所以我们说人的基本类型有三:哲学家或爱智者、爱胜者和爱利者。

    格:很对。

    苏:对应着三种人也有三种快乐。

    格:当然。

    苏:你知道吗?如果你想一个个地问这三种人,这三种生活哪一种最快乐,他们都一定会说自己的那种生活最快乐。财主们会断言,和利益比起来,受到尊敬的快乐和学习的快乐是无价值的,除非它们也能变出金钱来。

    格:真的。

    苏:爱敬者怎么样?他会把金钱带来的快乐视为卑鄙,把学问带来的快乐视为无聊的瞎扯(除非它也能带来敬意)。是吗?

    格:是的。

    苏:哲学家把别的快乐和他知道真理永远献身研究真理的快乐相比较时,你认为他会怎么想呢?他会认为别的快乐远非真正的快乐,他会把它们叫做“必然性”快乐。因为,若非受到必然性束缚他是不会要它们的。是吗?

    格:无疑的。

    苏:那么,既然三种快乐三种生活之间各有不同的说法,区别不是单纯关于哪一种较为可敬哪一种较为可耻,或者,哪一种较善哪一种较恶,而是关于哪一种确实比较快乐或摆脱了痛苦,那么,我们怎么来判定哪一种说法最正确呢?

    格:我确实说不清。

    苏:噢,请这样考虑。对事情作出正确的判断,要用什么作为标准呢?不是用经验、知识、推理作为标准吗?还有什么比它们更好的标准吗?

    格:没有了。

    苏:那么请考虑一下,这三种人中哪一种人对所有这三种快乐有最多的经验?你认为爱利者在学习关于真理本身方面所得到的快乐经验能多于哲学家在获利上所得到的快乐经验吗?

    格:断乎不是的。因为,哲学家从小就少不了要体验另外两种快乐;但是爱利者不仅不一定要体验学习事物本质的那种快乐,而且,即使他想要这么做,也不容易做得到。

    苏:因此,哲学家由于有两方面的快乐经验而比爱利者高明得多。

    格:是要高明得多。

    苏:哲学家和爱敬者比起来怎么样?哲学家在体验受尊敬的快乐方面还比不上爱敬者在学习知识方面的快乐经验吗?

    格:不是的。尊敬是大家都可以得到的,如果他们都能达到自己目标的话。因为富人、勇敢者和智慧者都是能得到广泛尊敬的,因此大家都能经验到受尊敬的这种快乐。但是看到事物实在这种快乐,除了哲学家而外别的任何人都是不能得到的。

    苏:既然他的经验最丰富,因此他也最有资格评判三种快乐。

    格:很有资格。

    苏:而且他还是唯一有知识和经验结合在一起的人。

    格:的确是的。

    苏:又且,拥有判断所需手段或工具的人也不是爱利者或爱敬者,而是爱智者或哲学家。

    格:你说的什么意思?

    苏:我们说判断必须通过推理达到。是吧?

    格:是的。

    苏:推理最是哲学家的工具。

    格:当然。

    苏:如果以财富和利益作为评判事物的最好标准,那么爱利者的毁誉必定是最真实的。

    格:必定是的。

    苏:如果以尊敬、胜利和勇敢作为评判事物的最好标准,那么爱胜者和爱敬者所赞誉的事物不是最真实的吗?

    格:这道理很清楚。

    苏:那么,如果以经验、知识和推理作为标准,怎样呢?

    格:必定爱智者和爱推理者所赞许的事物是最真实的。

    苏:因此,三种快乐之中,灵魂中那个我们用以学习的部分的快乐是最真实的快乐,而这个部分在灵魂中占统治地位的那种人的生活也是最快乐的生活。是吗?

    格:怎么能不是呢?无论如何,当有知识的人说自己的生活最快乐时,他的话是最可靠的。

    苏:下面该评哪一种生活哪一种快乐第二呢?

    格:显然是战士和爱敬者的第二,因为这种人的生活和快乐比起挣钱者的来接近第一种。

    苏:看来爱利者的生活和快乐居最后了。

    格:当然了。

    苏:正义的人已经在接连两次的交锋中击败了不正义的人,现在到了第三次交锋了。照奥林匹亚运动会的做法这次是呼求奥林匹亚的宙斯保佑的。请注意,我好象听到一个有智慧的人说过呢:除了有智慧的人而外,别的任何人的快乐都不是真实的纯净的,而只是快乐的一种影象呀!这次如果失败了,可就是最大最决定性的失败啦!

    格:说得对。但还得请你解释一下。

    苏:如果在我探求着的时候你肯回答我的问题,我就来解释。

    格:你尽管问吧。

    苏:那么请告诉我:我们不是说痛苦是快乐的对立面吗?

    格:当然。

    苏:没有一种既不觉得快乐也不觉得痛苦的状态吗?

    格:有的。

    苏:这不是这两者之间的一种状态,一种中间的,灵魂的两个方面都平静的状态吗?你的理解是不是这样?

    格:是这样。

    苏:你记不记得人们生病时说的话?

    格:什么话?

    苏:他们说,没有什么比健康更快乐的了,虽然他们在生病之前并不曾觉得那是最大的快乐。

    格:我记得。

    苏:你有没有听到过处于极端痛苦中的人说过?他们会说,没有什么比停止痛苦更快乐的了。是吧?

    格:听到过。

    苏:我想你一定注意到过,在许多诸如此类的情况下,人们在受到痛苦时会把免除和摆脱痛苦称赞为最高的快乐。这个最高的快乐并不是说的什么正面得到的享受。

    格:是的。须知在这种情况下平静或许便成了快乐的或可爱的了。

    苏:同样,当一个人停止快乐时,快乐的这种平静也会是痛苦的。

    格:或许是的。

    苏:因此,我们刚才说是两者之中间状态的平静有时也会是既痛苦也快乐。

    格:看来是的。

    苏:两者皆否的东西真能变成两者皆是吗?

    格:我看不行。

    苏:快乐和痛苦在心灵中产生都是一种运动。对吗?

    格:对的。

    苏:我们刚才不是说明了吗?既不痛苦也不快乐是一种心灵的平静,是两者的中间状态。是吗?

    格:是的。

    苏:因此,没有痛苦便是快乐,没有快乐便是痛苦,这种想法怎么可能正确呢?

    格:决不可能正确。

    苏:因此,和痛苦对比的快乐以及和快乐对比的痛苦都是平静,不是真实的快乐和痛苦,而只是似乎快乐或痛苦。这些快乐的影象和真正的快乐毫无关系,都只是一种欺骗。

    格:无论怎么说,论证可以表明这一点。

    苏:因此,请你看看不是痛苦之后的那种快乐,你就可以和仍然缠着你的下列这个想法真正一刀两断了:实质上,快乐就是痛苦的停止,痛苦就是快乐的停止。

    格:你叫我往哪里看,你说的是哪种快乐?

    苏:这种快乐多得很,尤其是跟嗅觉有联系的那种快乐,如果你高兴注意它们的话。这种快乐先没有痛苦,突然出现,一下子就很强烈;它们停止之后也不留下痛苦。

    格:极是。

    苏:因此,让我们别相信这种话了:脱离了痛苦就是真正的快乐,没有了快乐就是真正的痛苦。

    格:是的,别相信这话。

    苏:然而,通过身体传到心灵的那些所谓最大的快乐,大多数属于这一类,是某种意义上的脱离痛苦①。

    ①例如吃食的快乐有饥饿的痛苦在先。

    格:是的。

    苏:走在这类苦和乐前头的那些由于期待它们而产生的快乐和痛苦不也是这一类吗?

    格:是这一类。

    苏:那么你知道它们是什么样的,它们最象什么吗?

    格:什么?

    苏:你是不是认为自然有上、下、中三级?

    格:是的。

    苏:那么人自下升到中,他不会认为已经升到了上吗?当他站在中向下看他的来处时,他不会因为从未看见过真正的上而认为自己已经在上了吗?

    格:我想他不能有别的什么想法。

    苏:假设他再向下降,他会认为自己是在向下,他的想法不是对的吗?

    格:当然对的。

    苏:他之所以发生这一切情况,不都是因为他没有关于真正的上、中、下的经验吗?

    格:显然是的。

    苏:那么,没有经验过真实的人,他们对快乐、痛苦及这两者之中间状态的看法应该是不正确的,正如他们对许多别的事物的看法不正确那样。因此,当他们遭遇到痛苦时,他们就会认为自己处于痛苦之中,认为他们的痛苦是真实的。他们会深信,从痛苦转变到中间状态就能带来满足和快乐。而事实上,由于没有经验过真正的快乐,他们是错误地对比了痛苦和无痛苦。正如一个从未见过白色的人把灰色和黑色相比那样。你认为这种现象值得奇怪吗?

    格:不,我不觉得奇怪。如果情况不是这样,我倒反而会很觉奇怪的。

    苏:让我们再象下面这样来思考这个问题吧。饥渴等等不是身体常态的一种空缺吗?

    格:当然是的。

    苏:无知和无智不也是心灵常态的一种空缺吗?

    格:的确是的。

    苏:吃了饭学了知识,身体和心灵的空缺不就充实了吗?

    格:当然就充实了。

    苏:充实以比较不实在的东西和充实以比较实在的东西,这两种充实哪一种是比较真实的充实?

    格:显然是后一种。

    苏:一类事物如饭、肉、饮料,总的说是食物。另一类事物是真实意见、知识、理性和一切美德的东西。这两类事物你认为哪一类比较地更具有纯粹的实在呢?换句话说,一种紧密连接着永远不变不灭的真实的,自身具有这种本性并且是在具有这种本性的事物中产生的事物,和另一种事物,一种永远变化着的可灭的自身具有这一种本性并且是在具有这一种本性的事物中产生的事物,——这两种事物你认为哪一种更具有纯粹的实在呢?

    格:永远不变的那种事物比较地实在得多。

    苏:永恒不变的事物,其实在性是不是超过其可知性呢?

    格:绝对不。

    苏:真实性呢?

    格:也不。

    苏:比较地不真实也就比较地不实在吗?

    格:必然的。

    苏:因此总的说,保证身体需要的那一类事物是不如保证心灵需要的那一类事物真实和实在的。

    格:差得多呢!

    苏:那么,身体本身你是不是认为同样不如心灵本身真实和实在呢?

    格:我认为是的。

    苏:那么,用以充实的东西和受到充实的东西愈是实在,充实的实在性不也愈大吗?

    格:当然是的。

    苏:因此,如果我们得到了适合于自然的东西的充实,我们就感到快乐的话,那么,受到充实的东西和用以充实的东西愈是实在,我们所感到的快乐也就愈是真实;反之,如果比较地缺少实在,我们也就比较地不能得到真实可靠的充实满足,也就比较地不能感受到可靠的真实的快乐。

    格:这是毫无疑义的。

    苏:因此,那些没有智慧和美德经验的人,只知聚在一起寻欢作乐,终身往返于我们所比喻的中下两级之间,从未再向上攀登,看见和到达真正的最高一级境界,或为任何实在所满足,或体验到过任何可靠的纯粹的快乐。他们头向下眼睛看着宴席,就象牲畜俯首牧场只知吃草,雌雄交配一样。须知,他们想用这些不实在的东西满足心灵的那个不实在的无法满足的部分是完全徒劳的。由于不能满足,他们还象牲畜用犄角和蹄爪互相踢打顶撞一样地用铁的武器互相残杀。

    格:苏格拉底啊,你描述众人的生活完全象发布神谕呀。

    苏:因此,这种人的快乐之中岂不必然地混什着痛苦,因而不过是真快乐的影子和画像而已?在两相比照下快乐表面上好象很强烈,并且在愚人们的心中引起疯狂的欲望,促使他们为之争斗,有如斯特锡霍洛斯所说,英雄们在特洛亚为海伦的幻影①而厮杀一样。都是由于不知真实。是这样吗?

    ①斯特锡霍洛斯传说,真正的海伦留在埃及,只有她的幻影被带到了特洛亚。

    格:事情一定是这样的。

    苏:关于激情部分你以为怎样?不必定是同样的情况吗?

    要是一个人不假思考不顾理性地追求荣誉、胜利或意气,那么他的爱荣誉爱胜利和意气的满足便能导致嫉妒、强制和愤慨。不是吗?

    格:在这种场合必不可免地发生同样的情况。

    苏:因此我们可以有把握地作出结论:如果爱利和爱胜的欲望遵循知识和推理的引导,只选择和追求智慧所指向的快乐,那么它们所得到的快乐就会是它们所能得到的快乐中最真的快乐;并且,由于受到真所引导,因而也是它们自己固有的快乐,如果任何事物的最善都可以被说成最是自己的话。我们可以这么说吗?

    格:的确最是自己固有的。

    苏:因此,如果作为整体的心灵遵循其爱智部分的引导,内部没有纷争,那么,每个部分就会是正义的,在其它各方面起自己作用的同时,享受着它自己特有的快乐,享受着最善的和各自范围内最真的快乐。

    格:绝对是的。

    苏:如果是在其它两个部分之一的引导之下,它就不能得到自己固有的快乐,就会迫使另两部分追求不是它们自己的一种假快乐。

    格:是的。

    苏:离开哲学和推理最远的那种部分造成的这个效果不是会最显著吗?

    格:正是。

    苏:离理论最远的不就是离法律和秩序最远的吗?

    格:显然是的。

    苏:我们不是看出了:离法律和秩序最远的是爱的欲望和僭主暴君的欲望吗?

    格:正是。

    苏:王者的有秩序的欲望最近,是吗?

    格:是的。

    苏:因此,我认为僭主暴君离真正的固有的快乐最远,王者离它最近。

    格:必然的。

    苏:因此僭主暴君过的是最不快乐的生活,王者过的是最快乐的生活。

    格:必定无疑的。

    苏:那么,你知道僭主的生活比王者的生活不快乐多少吗?

    格:你告诉我,我就知道了。

    苏:快乐看来有三类,一类真,两类假。僭主在远离法律和推理方面超过了两类假快乐,被某种奴役的雇佣的快乐包围着。其卑劣程度不易表达,除非这样或许……

    格:怎样?

    苏:僭主远在寡头派之下第三级,因为中间还隔着个民主派。

    格:是的。

    苏:如果我们前面的话不错,那么他所享有的快乐就不过是快乐的一种幻像,其真实性还远在那种幻像之下第三级呢。不是吗?

    格:是这样。

    苏:又,寡头派还在王者之下第三级呢,如果我们假定贵族派和王者是一回事的话。

    格:是在下面第三级。

    苏:因此僭主距离真正的快乐的间隔是三乘三得九,如果用数字来表示的话。

    格:这是显而易见的。

    苏:因此僭主快乐的幻像据长度测定所得的数字如所看到的是个平面数。

    格:完全是的。

    苏:但是,一经平方再立方,其间拉开的差距变得怎样,是很清楚的。

    格:对于一个算术家来说这是很清楚的。

    苏:换句话说,如果有人要想表示王者和僭主在真快乐方面的差距,他在做完三次方计算之后会发现,王者的生活比僭主的生活快乐729倍,反过来说僭主的生活比王者的生活痛苦729倍。

    格:这是一个神奇的算法,可以表明在快乐和痛苦方面正义者和不正义者之间差距之大的。

    苏:此外,这还是一个适合于人的生活的正确的数,既然日、夜、月、年适合人的生活①。

    ①这话准确的涵义不清楚。但是毕达哥拉斯派的费洛劳斯主张:一年有364(1/2)个白天,大概也有同样数目的夜晚;364(1/2)×2=729。费洛劳斯还相信一个有729个月的“大年”。柏拉图不一定完全顶真,但是这种数字公式对于他象对于许多希腊人一样永远具有一定的魅力。

    格:当然是。

    苏:既然善的正义的人在快乐方面超过恶的不正义的人如此之多,那么在礼貌、生活的美和道德方面不是要超过无数吗?

    格:真的,会超过无数的。

    苏:很好。现在我们的论证已经进行到这里了。让我们再一次回到引起我们讨论并使我们一直讨论到这里的那个说法上去吧。这个说法是:“不正义对于一个行为完全不正义却有正义之名的人是有利的。”是这么说的吗?

    格:是这么说的。

    苏:既然我们已经就行为正义和行为不正义各自的效果取得了一致的看法,那么,现在让我们来跟这一说法的提出者讨论讨论吧。

    格:怎么讨论呢?

    苏:让我们在讨论中塑造一个人心灵的塑像,让这一说法的提出者可以清楚地从中看到这一说法的涵义。

    格:什么样的塑像?

    苏:一种如古代传说中所说的生来具有多种天性的塑像,象克迈拉或斯库拉或克尔贝洛斯①或其它被说成有多种形体长在一起的怪物那样的。

    ①克迈拉xιμαc′ρα为一狮头羊身蛇尾怪物,能喷火。见荷马史诗《伊里亚特》vi179—182;柏拉图《费德罗》篇229d。斯库拉egh′aaη为一海怪。见史诗《奥德赛》xii85以下。克尔贝洛斯kd′ρβjρb,为守卫地府的狗,蛇尾,有三头,一说有五十个头。见赫西俄德《神谱》311—31──

    格:是有这种传说的。

    苏:请设想一只很复杂的多头的兽类。它长有狂野之兽的头,也有温驯之兽的头。头还可以随意变换随意长出来。

    格:造这么一个塑像是一件只有能工巧匠才能办得到的事情呀。不过,既然言语是一种比蜡还更容易随意塑造的材料,我们就假定怪兽的像已经塑成这样了吧。

    苏:然后再塑造一个狮形的像和一个人形的像,并且将第一个像塑造得最大,狮像作为第二个造得第二大。

    格:这更容易,说一句话就成了。

    苏:然后再将三象合而为一,就如在某种怪物身上长在一起那样。

    格:造好了。

    苏:然后再给这一联合体造一人形的外壳,让别人的眼睛看不到里面的任何东西,似乎这纯粹是一个人的像。

    格:也造好了。

    苏:于是,让我们对提出“行事不正义对行事者有利,行事正义对行事者不利”这一主张的人说:他这等于在主张:放纵和加强多头怪兽和狮精以及一切狮性,却让人忍饥受渴,直到人变得十分虚弱,以致那两个可以对人为所欲为而无须顾忌,这样对人是有利的。或者说,他这等于在主张:人不应该企图调解两个精怪之间的纠纷使它们和睦相处,而应当任其相互吞并残杀而同归于尽。

    格:赞成不正义正是这个意思。

    苏:反之,主张正义有利说的人主张:我们的一切行动言论应当是为了让我们内部的人性能够完全主宰整个的人,管好那个多头的怪兽,象一个农夫栽培浇灌驯化的禾苗而铲锄野草一样。他还要把狮性变成自己的盟友,一视同仁地照顾好大家的利益,使各个成分之间和睦相处,从而促进它们生长。是这样吗?

    格:是的,这正是主张正义有利说的人的意思。

    苏:因此,无论从什么角度出发,结论都是:主张正义有利说的人是对的,主张不正义有利说的人是错的。因为,无论考虑到的是快乐、荣誉还是利益,主张正义有利说的人论证是对的,而反对者则是没有理由的,对自己所反对的东西是没有真知的。

    格:我想完全是这样。

    苏:那么,我们是不是要用和蔼的态度去说服我们的论敌?因为他不是故意要犯错误呀。我们要用下述这样的话来问他:“亲爱的朋友,我们应该说,法律和习惯认定是美的或丑的东西已经被算作美的和丑的,不也是根据下述同一理由吗:

    所谓美好的和可敬的事物乃是那些能使我们天性中兽性部分受制于人性部分(或可更确切地说受制于神性部分)的事物,而丑恶和卑下的事物乃是那些使我们天性中的温驯部分受奴役于野性部分的事物?”我们是不是要这样问他呢?他会表示赞同吗?

    格:如果他听我的劝告,他是能被说服的。

    苏:如果一个人照这种说法不正义地接受金钱,如果他在得到金钱的同时使自己最善的部分受到了最恶部分的奴役,这对他能有什么好处呢?换言之,如果有人把自己的儿子或女儿卖给一个严厉而邪恶的主人为奴,不管他得到了多么高的身价,是不会有人说这对他是有利的。是吗?如果一个人忍心让自己最神圣的部分受奴役于最不神圣的最可憎的部分的话,这不是一宗可悲的受贿,一件后果比厄里芙勒为了一副项链出卖自己丈夫生命①更可怕的事吗?

    ①安菲拉俄斯的妻子接受了玻琉尼克斯的贿赂,派丈夫参加了七将攻忒拜的送命的征战。

    格:如果我可以代他回答的话,我要说这是非常可怕的。

    苏:放纵经常受到谴责,你不认为也是由于它给了我们内部的多形怪兽以太多的自由吗?

    格:显然是的。

    苏:固执和暴躁受到谴责,不是因为它使我们内部的狮性或龙性的力量增加和强壮到了太高的程度吗?

    格:肯定是的。

    苏:同样,奢侈和柔弱受到谴责,不是因为它们使狮性减少削弱直至它变成懒散和懦弱吗?

    格:当然是的。

    苏:当一个人使自己的狮性,即激情,受制于暴民般的怪兽野性,并为了钱财和无法控制的兽欲之故,迫使狮子从小就学着忍受各种侮辱,结果长大成了一只猴子而不是一只狮子。这时人们不是要谴责这个人谄媚卑鄙吗?

    格:的确。

    苏:手工技艺受人贱视,你说这是为什么?我们不是只有回答说,那是因为一个人的最善部分天生的虚弱,不能管理控制好内部的许多野兽,而只能为它们服务,学习如何去讨好它们吗?

    格:看来是这样。

    苏:因此,我们所以说这种人应当成为一个最优秀的人物(也就是说,一个自己内部有神圣管理的人)的奴隶,其目的不是为了使他可以得到与一个最优秀人物相同的管理吗?我们这样主张并不是因为,我们认为奴隶应当(象色拉叙马霍斯看待被统治者的,)接受对自己有害的管理或统治,而是因为,受神圣的智慧者的统治对于大家都是比较善的。当然,智慧和控制管理最好来自自身内部,否则就必须从外部强加。为的是让大家可以在同一指导下成为朋友成为平等者。

    对吗?

    格:确实对的。

    苏:也很明白,制订法律作为诚邦所有公民的盟友,其意图就在这里。我们管教儿童,直到我们已经在他们身上确立了所谓的宪法管理时,才放他们自由。直到我们已经靠我们自己心灵里的最善部分帮助,在他们心灵里培养出了最善部分来,并使之成为儿童心灵的护卫者和统治者时,我们才让它自由。——我们这样做的目的也就在这里。

    格:是的,这是很明白的。

    苏:那么,格劳孔,我们有什么方法可用来论证:做一个不正义的自我放纵的人,或者做任何卑劣的事情获得更多的金钱和权力而使自己变得更坏的人,是有利的呢?

    格:无法论证。

    苏:一个人做了坏事没被发现因而逃避了惩罚对他能有什么益处呢?他逃避了惩罚不是只有变得更坏吗?如果他被捉住受了惩罚,他的兽性部分不就平服了驯化了吗?他的人性部分不就被释放了自由了吗?他的整个心灵不就在确立其最善部分的天性时,获得了节制和正义(与智慧一起),从而达到了一种难能可贵的状态吗?虽然人的身体在得到了力和美(和健康结合在一起的)时,也能达到一种可贵的状态,但心灵的这种状态是比身体的这种状态更为可贵得多的,就象心灵比身体可贵得多一样。是吗?

    格:极是。

    苏:因此有理智的人会毕生为此目标而尽一切努力;他首先会重视那些能在他心灵中培养起这种品质的学问而贱视别的。是吗?

    格:显然是的。

    苏:其次,在身体的习惯和锻炼方面他不仅不会听任自己贪图无理性的野蛮的快乐,把生活的志趣放在这个方面,甚至也不会把身体的健康作为自己的主要目标,把寻求强壮、健康或美的方法放在首要的地位,除非因为这些事情有益于自制精神。他会被发现是在时刻为自己心灵的和谐而协调自己的身体。

    格:如果他要成为一个真正的音乐家,他是必定可以的。

    苏:在追求财富上他不会同样注意和谐和秩序的原则吗?

    他会被众人的恭维捧得忘乎所以并敛聚大量财富而给自己带来无穷的害处吗?

    格:我想,他不会的。

    苏:他会倾向于注视自己心灵里的宪法,守卫着它,不让这里因财富的过多或不足而引起任何的纷乱。他会因此根据这一原则尽可能地或补充一点或散去一点自己的财富,以保持正常。

    格:确实是的。

    苏:在荣誉上,他遵循如下的同一原则:荣誉凡能使他人格更善的,他就高高兴兴地接受。荣誉若是有可能破坏他已确立起来的习惯的,无论公私方面,他都避开它。

    格:如果他最关心的是这个,那么他是不会愿意参与政治的。

    苏:说真的,在合意的城邦里他是一定愿意参加政治的。

    但是在他出身的城邦里他是不会愿意的,除非出现奇迹。

    格:我知道合意的城邦你是指的我们在理论中建立起来的那个城邦,那个理想中的城邦。但是我想这种城邦在地球上是找不到的。

    苏:或许天上建有它的一个原型,让凡是希望看见它的人能看到自己在那里定居下来。至于它是现在存在还是将来才能存在,都没关系。反正他只有在这种城邦里才能参加政治,而不能在别的任何国家里参加。

    格:好象是的。

    第十卷

    苏:确实还有许多其它的理由使我深信,我们在建立这个国家中的做法是完全正确的,特别是(我认为)关于诗歌的做法。

    格:什么样的做法?

    苏:它绝对拒绝任何模仿。须知,既然我们已经辨别了心灵的三个不同的组成部分,我认为拒绝模仿如今就显得有更明摆着的理由了。

    格:请你解释一下。

    苏:噢,让我们私下里说说,——你是不会把我的话泄露给悲剧诗人或别的任何模仿者的——这种艺术对于所有没有预先受到警告不知道它的危害性的那些听众的心灵,看来是有腐蚀性的。

    格:请你再解释得深入些。

    苏:我不得不直说了。虽然我从小就对荷马怀有一定的敬爱之心,不愿意说他的不是。因为他看来是所有这些美的悲剧诗人的祖师爷呢。但是,不管怎么说,我们一定不能把对个人的尊敬看得高于真理,我必须(如我所说的)讲出自己的心里话。

    格:你一定得说出心里话。

    苏:那么请听我说,或者竟回答我的问题更好。

    格:你问吧。

    苏:你能告诉我,模仿一般地说是什么吗?须知,我自己也不太清楚,它的目的何在。

    格:那我就更不懂了!

    苏:其实你比我懂些也没什么可奇怪的,既然视力差的人看东西比视力好的人清楚也是常事。

    格:说得是。不过在你面前,我即使看得见什么,也是不大可能急切地想告诉你的。你还是自己看吧!

    苏:那么下面我们还是用惯常的程序来开始讨论问题,好吗?在凡是我们能用同一名称称呼多数事物的场合,我认为我们总是假定它们只有一个形式或理念的。你明白吗?

    格:我明白。

    苏:那么现在让我们随便举出某一类的许多东西,例如说有许多的床或桌子。

    格:当然可以。

    苏:但是概括这许多家具的理念我看只有两个:一个是床的理念,一个是桌子的理念。

    格:是的。

    苏:又,我们也总是说制造床或桌子的工匠注视着理念或形式分别地制造出我们使用的桌子或床来;关于其它用物也是如此。是吗?至于理念或形式本身则不是任何匠人能制造得出的,这是肯定的。是吗?

    格:当然。

    苏:但是现在请考虑一下,下述这种工匠你给他取个什么名称呢?

    格:什么样的匠人?

    苏:一种万能的匠人:他能制作一切东西——各行各业的匠人所造的各种东西。

    格:你这是在说一种灵巧得实在惊人的人。

    苏:请略等一等。事实上马上你也会像我这么讲的。须知,这同一个匠人不仅能制作一切用具,他还能制作一切植物、动物,以及他自身。此外他还能制造地、天、诸神、天体和冥间的一切呢。

    格:真是一个神奇极了的智者啊!

    苏:你不信?请问,你是根本不信有这种匠人吗?或者,你是不是认为,这种万能的工匠在一种意义上说是能有的,在另一种意义上说是不能有的呢?或者请问,你知不知道,你自己也能“在某种意义上”制作出所有这些东西?

    格:在什么意义上?

    苏:这不难,方法很多,也很快。如果你愿意拿一面镜子到处照的话,你就能最快地做到这一点。你就能很快地制作出太阳和天空中的一切,很快地制作出大地和你自己,以及别的动物、用具、植物和所有我们刚才谈到的那些东西。

    格:是的。但这是影子,不是真实存在的东西呀!

    苏:很好,你这话正巧对我们的论证很有帮助。因为我认为画家也属于这一类的制作者。是吗?

    格:当然是的。

    苏:但是我想你会说,他的“制作”不是真的制作。然而画家也“在某种意义上”制作一张床。是吗?

    格:是的,他也是制作床的影子。

    苏:又,造床的木匠怎么样?你刚才不是说,他造的不是我们承认其为真正的床或床的本质的形式或理念,而只是一张具体特殊的床而已吗?

    格:是的,我是这么说的。

    苏:那么,如果他不能制造事物的本质,那么他就不能制造实在,而只能制造一种像实在(并不真是实在)的东西。

    是吗?如果有人说,造床的木匠或其他任何手艺人造出的东西是完全意义上的存在,这话就很可能是错的。是吗?

    格:无论如何,这终究不大可能是善于进行我们这种论证法的人的观点。

    苏:因此,如果有人说这种东西①也不过是一种和真实比较起来的暗淡的阴影。这话是不会使我们感到吃惊的。

    ①指r597处所举出的例如木匠造的床。

    格:我们是一定不会吃惊的。

    苏:那么,我们是不是打算还用刚才这些事例来研究这个摹仿者的本质呢?即,究竟谁是真正的摹仿者?

    格:就请这么做吧!

    苏:那么下面我们设有三种床,一种是自然的①床,我认为我们大概得说它是神造的。或者,是什么别的造的吗?

    ①即本质的床,床的理念。

    格:我认为不是什么别的造的。

    苏:其次一种是木匠造的床。

    格:是的。

    苏:再一种是画家画的床,是吗?

    格:就算是吧。

    苏:因此,画家、造床匠、神,是这三者造这三种床。

    格:是的,这三种人。

    苏:神或是自己不愿或是有某种力量迫使他不能制造超过一个的自然床,因而就只造了一个本质的床,真正的床。神从未造过两个或两个以上这样的床,它以后也永远不会再有新的了。

    格:为什么?

    苏:因为,假定神只制造两张床,就会又有第三张出现,那两个都以它的形式为自己的形式,结果就会这第三个是真正的本质的床,那两个不是了。

    格:对。

    苏:因此,我认为神由于知道这一点,并且希望自己成为真实的床的真正制造者而不只是一个制造某一特定床的木匠,所以他就只造了唯一的一张自然的床。

    格:看来是的。

    苏:那么我们把神叫做床之自然的创造者,可以吗?还是叫做什么别的好呢?

    格:这个名称是肯定正确的,既然自然的床以及所有其他自然的东西都是神的创造。

    苏:木匠怎么样?我们可以把他叫做床的制造者吗?

    格:可以。

    苏:我们也可以称画家为这类东西的创造者或制造者吗?

    格:无论如何不行。

    苏:那么你说他是床的什么呢?

    格:我觉得,如果我们把画家叫做那两种人所造的东西的模仿者,应该是最合适的。

    苏:很好。因此,你把和自然隔着两层的作品的制作者称作模仿者?

    格:正是。

    苏:因此,悲剧诗人既然是模仿者,他就像所有其他的模仿者一样,自然地和王者①或真实隔着两层。

    ①比喻性用语。“王者”即“最高”、“真理”之意。

    格:看来是这样。

    苏:那么,关于模仿者我们已经意见一致了。但是请你告诉我,画家努力模仿的是哪一种事物?你认为是自然中的每一事物本身还是工匠的制作品?

    格:工匠的作品。

    苏:因此这是事物的真实还是事物的影像?——这是需要进一步明确的。

    格:我不明白你的意思。

    苏:我的意思如下:例如一张床,你从不同的角度看它,从侧面或从前面或从别的角度看它,它都异于本身吗?或者,它只是样子显得不同,事实上完全没有什么不同,别的事物也莫不如此。是吗?

    格:只是样子显得不同,事实上没有任何区别。

    苏:那么请研究下面这个问题。画家在作关于每一事物的画时,是在模仿事物实在的本身还是在模仿看上去的样子呢?

    这是对影像的模仿还是对真实的模仿呢?

    格:是对影像的模仿。

    苏:因此,模仿术和真实距离是很远的。而这似乎也正是它之所以在只把握了事物的一小部分(而且还是表像的一小部分)时就能制造任何事物的原因。例如,我们说一个画家将给我们画一个鞋匠或木匠或别的什么工匠。虽然他自己对这些技术都一窍不通,但是,如果他是个优秀的画家的话,只要把他所画的例如木匠的肖像陈列得离观众有一定的距离,他还是能骗过小孩和一些笨人,使他们信以为真的。

    格:这话当然对的。

    苏:我的朋友,我认为,在所有这类情况下,我们都应该牢记下述这一点。当有人告诉我们说,他遇到过一个人,精通一切技艺,懂得一切只有本行专家才专门懂得的其它事物,没有什么事物他不是懂得比任何别人都清楚的。听到这些话我们必须告诉他说:“你是一个头脑简单的人,看来遇到了魔术师或巧于模仿的人,被他骗过了。你之所以以为他是万能的,乃是因为你不能区别知识、无知和模仿。”

    格:再对不过了。

    苏:那末下面我们必须考察悲剧诗人及其领袖荷马了。既然我们听到有些人说,这些诗人知道一切技艺,知道一切与善恶有关的人事,还知道神事。须知,一般的读者是这样想的:

    一个优秀的诗人要正确地描述事物,他就必须用知识去创造,否则是不行的。对此我们必须想一想:这种读者是不是碰上了魔术师般的那种模仿者了;受了他们的骗,以致看着他们的作品却不知道这些作品和真实隔着两层,是即使不知真实也容易制造得出的呢(因为他们的作品是影像而不是真实)?或者,是不是一般读者的话还是有点道理的,优秀的诗人对自己描述的事物(许多读者觉得他们描述得很好的)还是有真知的呢?

    格:我们一定要考察一下。

    苏:那么,如果一个人既能造被模仿的东西,又能造影像,你认为他真会热心献身于制造影像的工作,并以此作为自己的最高生活目标吗?

    格:我不这样认为。

    苏:我认为,如果他对自己模仿的事物有真知的话,他是一定宁可献身于真的东西而不愿献身于模仿的。他会热心于制造许多出色的真的制品,留下来作为自己身后的纪念。他会宁愿成为一个受称羡的对象,而不会热心于做一个称羡别人的人的。

    格:我赞成你的话。能这样做,他的荣誉和利益一定会同样大的。

    苏:因此我们不会要求荷马或任何其他诗人给我们解释别的问题;我们不会问起:他们之中有谁是医生而不只是一个模仿医生说话的人,有哪个诗人(无论古时的还是现时的)曾被听说帮助什么病人恢复过健康,象阿斯克勒比斯那样,或者,他们曾传授医术给什么学生,像阿斯克勒比斯传授门徒那样。我们不谈别的技艺,不问他们这方面的问题。我们只谈荷马所想谈论的那些最重大最美好的事情——战争和指挥问题、城邦治理问题和人的教育问题。我们请他回答下述问题肯定是公道的:“亲爱的荷马,假定你虽然是我们定义为模仿者的那种影像的制造者,但是离美德方面的真实并不隔开两层,而是只相隔一层,并且能够知道怎样的教育和训练能够使人在公私生活中变好或变坏,那么,请问:有哪一个城邦是因为你而被治理好了的,像斯巴达因为有莱库古,别的许多大小不等的城邦因为有别的立法者那样?有哪一个城邦把自己的大治说成是因为你是他们的优秀立法者,是你给他们造福的?意大利和西西里人曾归功于哈朗德斯,我们归功于梭伦。有谁曾归功于你?”他荷马能回答得出吗?

    格:我想他是回答不出的。连荷马的崇拜者自己也不曾有人说荷马是一个优秀立法者。

    苏:那么,你曾听说过荷马活着的时候有过什么战争是在他指挥或赞划下打胜了的吗?

    格:从未听说过。

    苏:那么,正如可以期望于一个长于实际工作的智者的,你曾听说过荷马在技艺或其它实务方面有过多项精巧的发明,像米利都的泰勒斯和斯库西亚的阿那哈尔息斯①那样?

    ①第奥根尼s拉尔修《名哲言行录》i,105,传说他是锚和陶轮的发明者。

    格:一项也没听说过。

    苏:如果他从未担任过什么公职,那么,你有没有听说过他创建过什么私人学校,在世的时候学生们乐于从游听教,死后将一种荷马楷模传给后人,正像毕达哥拉斯那样?毕达哥拉斯本人曾为此而受到特殊的崇敬,而他的继承者时至今日还把一种生活方式叫做“毕达哥拉斯楷模”,并因此而显得优越。荷马也如此吗?

    格:从没听说过这种事。苏格拉底啊,要知道,荷马的学生克里昂夫洛斯作为荷马教育的一个标本,或许甚至比自己的名字①还更可笑呢,如果关于荷马的传说可靠的话。据传说他于荷马在世时就轻视他。

    ①kρjt′φlab从字面上看,意为“吃肉氏族的人”。据说是一位出身开俄斯岛的史诗作家。亚当引过他的诗:“我是一个伟大的食肉者,我相信那对我的智慧有害。”(《第十二夜》Ⅰ,3,90)

    苏:是有这个传说的。但是,格劳孔啊,如果荷马真能教育人提高人的品德,他确有真知识而不是只有模仿术的话,我想就会有许多青年跟他学习,敬他爱他了。你说是吗?既然阿布德拉的普罗塔戈拉、开奥斯的普洛蒂卡斯和许多别的智者能以私人教学使自己的同时代人深信,人们如果不受智者的教育,就不能管好家务治好国家;他们靠这种智慧赢得了深深的热爱,以致他们的学生只差一点没把他们顶在自己的肩上走路了。同样道理,如果荷马真能帮助自己的同时代人得到美德,人们还能让他(或赫西俄德)流离颠沛,卖唱为生吗?

    人们会依依难舍,把他看得胜过黄金,强留他住在自己家里的。如果挽留不住,那么,无论他到哪里,人们也会随侍到那里,直到充分地得到了他的教育为止的。你说我的这些想法对吗?

    格:苏格拉底啊,我觉得你的话完全对的。

    苏:因此我们是不是可以肯定下来:从荷马以来所有的诗人都只是美德或自己制造的其它东西的影像的模仿者,他们完全不知道真实?这正如我们刚才说的,画家本人虽然对鞋匠的手艺一无所知,但是能画出象是鞋匠的人来,只要他们自己以及那些又知道凭形状和颜色判断事物的观众觉得像鞋匠就行了。不是吗?

    格:正是的。

    苏:同样地,我认为我们要说,诗人虽然除了模仿技巧而外一无所知,但他能以语词为手段出色地描绘各种技术,当他用韵律、音步和曲调无论谈论制鞋、指挥战争还是别的什么时,听众由于和他一样对这些事情一无所知,只知道通过词语认识事物,因而总是认为他描绘得再好没有了。所以这些音乐性的成分所造成的诗的魅力是巨大的;如果去掉了诗的音乐彩色,把它变成了平淡无奇的散文,我想你是知道的,诗人的语言将变成个什么样子。我想你已经注意过这些了。

    格:是的,我已经注意过了。

    苏:它们就像一些并非生得真美,只是因为年轻而显得好看的面孔,如今青春一过,容华尽失似的格:的确象这样。

    苏:请再考虑下面这个问题:影像的创造者,亦即模仿者,我们说是全然不知实在而只知事物外表的。是这样吗?

    格:是的。

    苏:让我们把这个问题说全了,不要半途而废。

    格:请继续说下去。

    苏:我们说,画家能画马缰和嚼子吧?

    格:对。

    苏:但是,能制造这些东西的是皮匠和铜匠吧?

    格:当然。

    苏:画家知道缰绳和嚼子应当是怎样的吗?或许,甚至制造这些东西的皮鞋和铜匠本也不知道,而只有懂得使用这些东西的骑者才知道这一点吧?

    格:完全正确。

    苏:我们可不可以这样说,这是一个放之一切事物而皆准的道理呢?

    格:什么意思?

    苏:我意思是说:不论谈到什么事物都有三种技术:使用者的技术、制造者的技术和模仿者的技术,是吧?

    格:是的。

    苏:于是一切器具、生物和行为的至善、美与正确不都只与使用——作为人与自然创造一切的目的——有关吗?

    格:是这样。

    苏:因此,完全必然的是:任何事物的使用者乃是对它最有经验的,使用者把使用中看到的该事物的性能好坏通报给制造者。例如吹奏长笛的人报告制造长笛的人,各种长笛在演奏中表现出来的性能如何,并吩咐制造怎样的一种,制造者则按照他的吩咐去制造。

    格:当然。

    苏:于是,一种人知道并报告关于笛子的优劣,另一种人信任他,照他的要求去制造。

    格:是的。

    苏:因此,制造者对这种乐器的优劣能有正确的信念(这是在和对乐器有真知的人交流中,在不得不听从他的意见时的信念),而使用者对它则能有知识。

    格:的确是的。

    苏:模仿者关于自己描画的事物之是否美与正确,能有从经验与使用中得来的真知吗?或者他能有在与有真知的人不可少的交往中因听从了后者关于正确制造的要求之后得到的正确意见吗?

    格:都不能有。

    苏:那么,模仿者关于自己模仿得优还是劣,就既无知识也无正确意见了。

    格:显然是的。

    苏:因此诗人作为一种模仿者,关于他所创作的东西的智慧是最美的了①。

    ①这是一句讽刺挖苦的话,应当反过来理解。但是格劳孔回答的态度是认真的。

    格:一点也不是。

    苏:他尽管不知道自己创作的东西是优是劣,他还是照样继续模仿下去。看来,他所模仿的东西对于一无所知的群众来说还是显得美的。

    格:还能不是这样吗?

    苏:看来我们已经充分地取得了如下的一致意见:模仿者对于自己模仿的东西没有什么值得一提的知识。模仿只是一种游戏,是不能当真的。想当悲剧作家的诗人,不论是用抑扬格还是用史诗格写作的,尤其都只能是模仿者。

    格:一定是的。

    苏:说实在的,模仿不是和隔真理两层的第三级事物相关的吗?

    格:是的。

    苏:又,模仿是人的哪一部分的能力?

    格:我不明白你的意思。

    苏:我的意思是说:一个同样大小的东西远看和近看在人的眼睛里显得不一样大。

    格:是不一样大的。

    苏:同一事物在水里看和不在水里看曲直是不同的。由于同样的视觉错误同一事物外表面的凹凸看起来也是不同的。

    并且显然,我们的心灵里有种种诸如此类的混乱。绘画所以能发挥其魅力正是利用了我们天性中的这一弱点,魔术师和许多别的诸如此类的艺人也是利用了我们的这一弱点。

    格:真的。

    苏:量、数和称不是已被证明为对这些弱点的最幸福的补救行为吗?它们不是可以帮助克服“好像多或少”,“好像大或小”和“好像轻或重”对我们心灵的主宰,代之以数过的数、量过的大小和称过的轻重的主宰的吗?

    格:当然。

    苏:这些计量活动是心灵理性部分的工作。

    格:是这个部分的工作。

    苏:但是,当它计量了并指出了某些事物比别的事物“大些”或“小些”或“相等”时,常常又同时看上去好像相反。

    格:是的。

    苏:但是我们不是说过吗:我们的同一部分对同一事物同时持相反的两种看法是不能容许的?

    格:我们的话是对的。

    苏:心灵的那个与计量有相反意见的部分,和那个与计量一致的部分不可能是同一个部分。

    格:当然不能是。

    苏:信赖度量与计算的那个部分应是心灵的最善部分。

    格:一定是的。

    苏:因此与之相反的那个部分应属于我们心灵的低贱部分。

    格:必然的。

    苏:因此这就是我们当初说下面这些话时想取得一致的结论。我们当初曾说,绘画以及一般的模仿艺术,在进行自己的工作时是在创造远离真实的作品,是在和我们心灵里的那个远离理性的部分交往,不以健康与真理为目的地在向它学习。

    格:一定是的。

    苏:因此,模仿术乃是低贱的父母所生的低贱的孩子。

    格:看来是的。

    苏:这个道理只适用于眼睛看的事物呢,还是也适用于耳朵听的事物,适用于我们所称的诗歌呢?①

    ①古代诗歌的两种主要形式,史诗和悲剧,都是唱的。所以听众都是用耳朵的。

    格:大概也适用于听方面的事物。

    苏:让我们别只相信根据绘画而得出的“大概”,让我们来接着考察一下从事模仿的诗歌所打动的那个心灵部分,看这是心灵的低贱部分还是高贵部分。

    格:必须这样。

    苏:那么让我们这么说吧:诗的模仿术模仿行为着——

    或被迫或自愿地——的人,以及,作为这些行为的后果,他们交了好运或恶运(设想的),并感受到了苦或乐。除此而外还有什么别的吗?

    格:别无其它了。

    苏:在所有这些感受里,人的心灵是统一的呢,或者还是,正如在看的方面,对同一的事物一个人自身内能在同时有分歧和相反的意见那样,在行为方面一个人内部也是能有分裂和自我冲突的呢?不过我想起来了:在这一点上我们现在没有必要再寻求一致了。因为前面讨论时我们已经充分地取得了一致意见:我们的心灵在任何时候都是充满无数这类冲突的。

    格:对。

    苏:对是对。不过,那时说漏了的,我想现在必须提出来了。

    格:漏了什么?

    苏:一个优秀的人物,当他不幸交上了恶运,诸如丧了儿子或别的什么心爱的东西时,我们前面①不是说过吗,他会比别人容易忍受得住的。

    ①387d—e。

    阿:是的,显然会如此。

    苏:那么我们为了辩论时不致摸黑走弯路,我们要不要先给欲望下一个定义,分清什么是必要的欲望,什么是不必要的欲望?

    阿:好,要这样。

    苏:有些欲望是不可避免的,它们可以正当地被叫做“必要的”。还有一些欲望满足了对我们是有益的,我想这些也可以说是“必要的”。因为这两种欲望的满足是我们本性所需要的。不是吗?

    阿:当然是的。

    苏:那么,我们可以正当地把“必要的”用于它们吗?

    阿:可以。

    苏:但是有些欲望如果我们从小注意是可以戒除的,而且这些欲望的存在,对我们没有好处,有时还有害处。我们是不是可以确当地把这种欲望叫做“不必要的”呢?

    阿:可以。

    苏:让我们关于每一种各举一例,来说明我们的意思吧。

    阿:行。

    苏:为了维持健康和身体好要吃东西,只要求吃饭和肉。

    这些欲望必要吗?

    阿:我想是必要的。

    苏:吃饭从两个方面看都是必要的,它对我们既是有益的,缺少了它又是活不成的。

    阿:是的。

    苏:至于吃肉的欲望,就促进身体好而言,也是必要的。

    阿:当然。

    苏:欲望超过了这些,要求更多的花样,还有那些只要从小受过训练大都可以纠正的,以及对身体有害的,对心灵达到智慧及节制有妨碍的等等欲望,难道我们不能说它们是不必要的吗?

    阿:再正确不过了。

    苏:我们不是可以把第一种欲望称为“浪费的”欲望,把第二种欲望称为“得利的”欲望吗?因为第二种欲望有利于生产。

    阿:真的。

    苏:关于色欲及其它欲望我们的看法同此。

    阿:是的。

    苏:我们刚才所称雄蜂型的那些人物,是一些充满了这种快乐和欲望的,即受不必要的欲望引导的人物,所谓省俭型的寡头人物则是被必要的欲望所支配的。

    阿:的确是的。

    苏:让我们还是回到民主式的人物怎样从寡头式的人物演变出来的问题上来吧。据我看来大致是这样:

    阿:怎样?

    苏:当一个年轻人从刚才我们所说过的那种未见世面的吝啬的环境里培育出来以后,初次尝到了雄蜂的甜头,和那些粗暴狡猾之徒为伍,只知千方百计寻欢作乐。你得毫不动摇地相信,他内心的寡头思想正是从这里转变为民主思想的。

    阿:这是完全必然的。

    苏:在一个城邦里当一个党派得到同情于自己的国外盟友的支持时,变革于是发生。我们年轻人也同样,当他心灵里的这种或那种欲望在得到外来的同类或类似的欲望支持时,便发生心灵的变革。我们这样说对吗?

    阿:当然对。

    苏:我设想,假如这时又有一外力,或从他父亲那里或从其他家庭成员那里来支持他心里的寡头思想成分的话,结果一定是他自己的内心发生矛盾斗争。

    阿:诚然。

    苏:我认为有时民主成分会屈服于寡头成分,他的欲望有的遭到毁灭,有的遭到驱逐,年轻人心灵上的敬畏和虔诚感又得到发扬,内心的秩序又恢复过来。

    阿:是的,有时这种情况是会发生的。

    苏:有时由于父亲教育不得法,和那些遭到驱逐的欲望同类的另一些欲望继之悄悄地被孵育出来,并渐渐繁衍增强。

    阿:往往如此。

    苏:这些又把他拉回到他的老伙伴那里,在秘密交合中它们得到繁殖、滋生。

    阿:是的。

    苏:终于它们把这年轻人的心灵堡垒占领了,发觉里面空无所有,没有理想,没有学问,没有事业心,——这些乃是神所友爱者心灵的最好守卫者和保护者。

    阿:是最可靠的守卫者。

    苏:于是虚假的狂妄的理论和意见乘虚而入,代替它们,占领了他的心灵。

    阿:确是如此。

    苏:这时这年轻人走回头路又同那些吃忘忧果①的旧友们公开生活到一起去了。如果他的家人亲友对他心灵中节俭成分给以援助,入侵者②便会立刻把他心灵的堡垒大门关闭,不让援军进入。他们也不让他倾听良师益友的忠告。他们会在他的内心冲突中取得胜利,把行己有耻说成是笨蛋傻瓜,驱逐出去;把自制说成是懦弱胆怯,先加辱骂,然后驱逐出境;

    把适可而止和有秩序的消费说成是“不见世面”是“低贱”;

    他们和无利有害的欲望结成一帮,将这些美德都驱逐出境。

    阿①史诗《奥德赛》Ⅸ82以下。

    ②指上述“虚假的狂妄的理论和意见”:的确这样。

    苏:他们①既已将这个年轻人心灵中的上述美德除空扫。

    ①还是说的那些虚假的狂妄的意见。

    净,便为别的成分的进入准备了条件;当他们在一个灿烂辉煌的花冠游行的队伍中走在最前头,率领着傲慢、放纵、奢侈、无耻行进时,他们赞不绝口,称傲慢为有礼,放纵为自由,奢侈为慷慨,无耻为勇敢。你同意我的话吗:从那些必要的欲望中培育出来的一个年轻人,就是这样蜕化变质为肆无忌惮的小人,沉迷于不必要的无益欲望之中的?

    阿:是的,你说得很清楚。

    苏:我设想,他在一生其余的时间里,将平均地花费钱财、时间、辛劳在那些不必要的欲望上,并象在必要的欲望上面花的一样多。如果他幸而意气用事的时间不长,随着年纪变大,精神渐趋稳定,让一部分被放逐的成分,先后返回,入侵者们将受到抑制。他将建立起各种快乐间的平等,在完全控制下轮到哪种快乐,就让那种快乐得到满足,然后依次轮流,机会均等,各种快乐都得到满足。

    阿:完全是的。

    苏:如果有人告诉他,有些快乐来自高贵的好的欲望,应该得到鼓励与满足,有些快乐来自下贱的坏的欲望,应该加以控制与压抑,对此他会置若罔闻,不愿把堡垒大门向真理打开。他会一面摇头一面说,所有快乐一律平等,应当受到同等的尊重。

    阿:他的心理和行为确实如此。

    苏:事实上他一天又一天地沉迷于轮到的快乐之中。今天是饮酒、女人、歌唱,明天又喝清水,进严格规定的饮食;第一天是剧烈的体育锻炼,第二天又是游手好闲,懒惰玩忽;然后一段时间里,又研究起哲学。他常常想搞政治,经常心血来潮,想起什么就跳起来干什么说什么。有的时候,他雄心勃勃,一切努力集中在军事上,有的时候又集中在做买卖发财上。他的生活没有秩序,没有节制。他自以为他的生活方式是快乐的,自由的,幸福的,并且要把它坚持到底。

    阿:你对一个平等主义信徒的生活,描述得好极了。

    苏:我的确认为,这种人是一种集合最多习性于一身的最多样的人,正如那种民主制城邦的具有多面性复杂性一样。

    这种人也是五彩缤纷的,华丽的,为许多男女所羡妒的,包含最多的制度和生活模式的。

    阿:确是如此。

    苏:那么这个民主的个人与民主的制度相应,我们称他为民主分子是合适的。我们就这样定下来,行吗?

    阿:好,就这么定下来吧。

    苏:现在只剩下一种最美好的政治制度和最美好的人物需要我们加以描述的了,这就是僭主政治与僭主了。

    阿:诚然如此。

    苏:那么,我亲爱的阿得曼托斯,僭主政治是怎样产生出来的呢?据我看来,很显然,这是从民主政治产生出来的。

    阿:这是很明白的。

    苏:那么僭主政治来自民主政治,是不是象民主政治来自寡头政治那样转变来的呢?

    阿:请解释一下。

    苏:我看,寡头政治所认为的善以及它所赖以建立的基础是财富,是吗?

    阿:是的。

    苏:它失败的原因在于过分贪求财富,为了赚钱发财,其它一切不管。

    阿:真的。

    苏:那么民主主义是不是也有自己的善的依据,过分追求了这个东西导致了它的崩溃?

    阿:这个东西你说的是什么?

    苏:自由。你或许听到人家说过,这是民主国家的最大优点。也因为这个原因,所以这是富于自由精神的人们最喜欢去安家落户的唯一城邦。

    阿:这话确是听说过的,而且听得很多的。

    苏:那么,正象我刚才讲的,不顾一切过分追求自由的结果,破坏了民主社会的基础,导致了极权政治的需要。

    阿:怎么会的?

    苏:我设想,一个民主的城邦由于渴望自由,有可能让一些坏分子当上了领导人,受到他们的欺骗,喝了太多的醇酒,烂醉如泥。而如果正派的领导人想要稍加约束,不是过分放任纵容,这个社会就要起来指控他们,叫他们寡头分子,要求惩办他们。

    阿:这正是民主社会的所作所为。

    苏:而那些服从当局听从指挥的人,被说成是甘心为奴,一文不值,受到辱骂。而凡是当权的象老百姓,老百姓象当权的,这种人无论公私场合都受到称赞和尊敬。在这种国家里自由走到极端不是必然的吗?

    阿:当然是的。

    苏:我的朋友,这种无政府主义必定还要渗透到私人家庭生活里去,最后还渗透到动物身上去呢!

    阿:你说的什么意思?

    苏:噢,当前风气是父亲尽量使自己象孩子,甚至怕自己的儿子,而儿子也跟父亲平起平坐,既不敬也不怕自己的双亲,似乎这样一来他才算是一个自由人。此外,外来的依附者也认为自己和本国公民平等,公民也自认和依附者平等;外国人和本国人彼此也没有什么区别。

    阿:这些情况确实是有的。

    苏:确是有的。另外还有一些类似的无聊情况。教师害怕学生,迎合学生,学生反而漠视教师和保育员。普遍地年轻人充老资格,分庭抗礼,侃侃而谈,而老一辈的则顺着年轻人,说说笑笑,态度谦和,象年轻人一样行事,担心被他们认为可恨可怕。

    阿:你说的全是真的。

    苏:在这种国家里自由到了极点。你看买来的男女奴隶与出钱买他们的主人同样自由,更不用说男人与女人之间有完全平等和自由了。

    阿:那么,我们要不要“畅所欲言”,有如埃斯库罗斯所说的呢?①

    ①见《残篇》35!”

    苏:当然要这样做。若非亲目所睹,谁也不会相信,连人们畜养的动物在这种城邦里也比在其他城邦里自由不知多少倍。狗也完全象谚语所说的“变得象其女主人一样”了,①同样,驴马也惯于十分自由地在大街上到处撞人,如果你碰上它们而不让路的话。什么东西都充满了自由精神。

    ①有谚语说:“有这种女主人,就有这种女仆人”。

    阿:你告诉我的,我早知道。我在城外常常碰到这种事。

    苏:所有这一切总起来使得这里的公民灵魂变得非常敏感,只要有谁建议要稍加约束,他们就会觉得受不了,就要大发雷霆。到最后象你所知道的,他们真的不要任何人管了,连法律也不放心上,不管成文的还是不成文的。

    阿:是的,我知道。

    苏:因此,朋友,我认为这就是僭主政治所由发生的根,一个健壮有力的好根。

    阿:确是个健壮有力的根,但后来怎样呢?

    苏:一种弊病起于寡头政治最终毁了寡头政治,也是这种弊病——在民主制度下影响范围更大的,由于放任而更见强烈的——奴役着民主制度。“物极必反”,这是真理。天气是这样,植物是这样,动物是这样,政治社会尤其是这样。

    阿:理所当然的。

    苏:无论在个人方面还是在国家方面,极端的自由其结果不可能变为别的什么,只能变成极端的奴役。

    阿:是这样。

    苏:因此,僭主政治或许只能从民主政治发展而来。极端的可怕的奴役,我认为从极端的自由产生。

    阿:这是很合乎逻辑的。

    苏:但是我相信你所要问的不是这个。你要问的是,民主制度中出现的是个什么和寡头政治中相同的毛病在奴役着或左右着民主制度。

    阿:正是的。

    苏:你总记得我还告诉过你有一班懒惰而浪费之徒,其中强悍者为首,较弱者附从。我把他们比作雄蜂,把为首的比作有刺的雄蜂,把附从的比作无刺的雄蜂。

    阿:很恰当的比喻。

    苏:这两类人一旦在城邦里出现,便要造成混乱,就象人体里粘液与胆液造成混乱一样。因此一个好的医生和好的立法者,必须老早就注意反对这两种人。象有经验的养蜂者那样,首先不让它们生长,如已生长,就尽快除掉它们,连同巢臼彻底铲除。

    阿:真的,一定要这样。

    苏:那么,为了我们能够更清楚地注视着我们的目标,让我依照下列步骤进行吧!

    阿:怎么进行?

    苏:让我们在理论上把一个民主国家按实际结构分成三个部分。我们曾经讲过,其第一部分由于被听任发展,往往不比寡头社会里少。

    阿:姑且这么说。

    苏:在民主国家里比在寡头国家里更为强暴。

    阿:怎么会的?

    苏:在寡头社会里这部分人是被藐视的,不掌权的,因此缺少锻炼,缺少力量。在民主社会里这部分人是处于主宰地位的,很少例外。其中最强悍的部分,演说的办事的都是他们。

    其余的坐在讲坛后面,熙熙攘攘、嘁嘁喳喳地抢了讲话,不让人家开口。因此在民主国家里一切(除了少数例外)都掌握在他们手里。

    阿:真是这样。

    苏:还有第二部分,这种人随时从群众中冒出来。

    阿:哪种人?

    苏:每个人都在追求财富的时候,其中天性最有秩序最为节俭的人大都成了最大的富翁。

    阿:往往如此。

    苏:他们那里是供应雄蜂以蜜汁的最丰富最方便的地方。

    阿:穷人身上榨不出油水。

    苏:所谓富人者,乃雄蜂之供养者也。

    阿:完全是的。

    苏:第三种人大概就是所谓“平民”了①。他们自食其力,不参加政治活动,没有多少财产。在民主社会中这是大多数。

    要是集合起来,力量是最大的。

    ①“平民”,δμb(德莫斯)。

    阿:是的,不过他们不会时常集会,除非他们可以分享到蜜糖。

    苏:他们会分享得到的。他们的那些头头,劫掠富人,把其中最大的一份据为己有,把残羹剩饭分给一般平民。

    阿:是的,他们就分享到了这样的好处。

    苏:因此,我认为那些被抢夺的人,不得不在大会上讲话或采取其它可能的行动来保卫自己的利益。

    阿:他们怎么会不如此呢?

    苏:于是他们受到反对派的控告,被诬以反对平民,被说成是寡头派,虽然事实上他们根本没有任何变革的意图。

    阿:真是这样。

    苏:然后终于他们看见平民试图伤害他们(并非出于有意,而是由于误会,由于听信了坏头头散布的恶意中伤的谣言而想伤害他们),于是他们也就只好真的变成了寡头派了(也并非自愿这样,也是雄蜂刺螯的结果)。

    阿:完全对。

    苏:接着便是两派互相检举,告上法庭,互相审判。

    阿:确是如此。

    苏:在这种斗争中平民总要推出一个人来带头,做他们的保护人,同时他们培植他提高他的威望。

    阿:是的,通常是这样。

    苏:于是可见,僭主政治出现的时候,只能是从“保护”这个根上产生的。

    阿:很清楚。

    苏:一个保护人变成僭主,其关键何在呢?——当他的所作所为变得象我们听说过的那个关于阿卡狄亚的吕克亚宙斯圣地的故事时,这个关键不就清楚了吗?

    阿:那是个什么故事呀?

    苏:这个故事说,一个人如果尝了那怕一小块混和在其它祭品中的人肉时,他便不可避免地要变成一只狼。你一定听说过这个故事吧?

    阿:是的,我听说过。

    苏:人民领袖的所作所为,亦是如此。他控制着轻信的民众,不可抑制地要使人流血;他诬告别人,使人法庭受审,谋害人命,罪恶地舔尝同胞的血液;或将人流放域外,或判人死刑;或取消债款,或分人土地。最后,这种人或自己被敌人杀掉,或由人变成了豺狼,成了一个僭主。这不是必然的吗?

    阿:这是完全必然的。

    苏:这就是领导一个派别反对富人的那种领袖人物。

    阿:是那种人。

    苏:也可能会这样:他被放逐了,后来不管政敌的反对,他又回来了,成了一个道地的僭主回来了。

    阿:显然可能的。

    苏:要是没有办法通过控告,让人民驱逐他或杀掉他,人们就搞一个秘密团体暗杀他。

    阿:常有这种事情发生。

    苏:接着就有声名狼藉的策划出现:一切僭主在这个阶段每每提出要人民同意他建立一支警卫队来保卫他这个人民的保卫者。

    阿:真的。

    苏:我想,人民会答应他的请求,毫无戒心,只为他的安全担心。

    阿:这也是真的。

    苏:对于任何一个有钱的同时又有人民公敌嫌疑的人来说,现在该是他按照给克劳索斯①的那个神谕来采取行动的时候了。

    ①吕底亚国王,以富有闻名。

    “沿着多石的赫尔墨斯河岸逃跑,

    不停留,不害羞,不怕人家笑话他怯懦。”①

    ①希罗多德《历史》i,55。

    阿:因为他一定不会再有一次害羞的机会。

    苏:他要是给抓住,我以为非死不可。

    阿:对,非死不可。

    苏:这时很清楚,那位保护者不是被打倒在地“张开长大的肢体”①,而是他打倒了许多反对者,攫取了国家的最高权力,由一个保护者变成了一个十足的僭主独裁者。

    阿:这是不可避免的结局。

    ①《伊里亚特》ⅩⅥ,776。赫克托的驭者克布里昂尼斯被派特罗克洛斯杀死。张开长大的身躯四肢躺在地上。

    苏:我们要不要描述这个人的幸福以及造就出这种人的那个国家的幸福呢?

    阿:要,让我们来描述吧!

    苏:这个人在他早期对任何人都是满面堆笑,逢人问好,不以君主自居,于公于私他都有求必应,豁免穷人的债务,分配土地给平民和自己的随从,到处给人以和蔼可亲的印象。

    阿:必然的。

    苏:但是,我想,在他已经和被流放国外的政敌达成了某种谅解,而一些不妥协的也已经被他消灭了时,他便不再有内顾之忧了。这时他总是首先挑起一场战争,好让人民需要一个领袖。

    阿:很可能的。

    苏:而且,人民既因负担军费而贫困,成日忙于奔走谋生,便不大可能有功夫去造他的反了,是吧?

    阿:显然是的。

    苏:还有,如果他怀疑有人思想自由,不愿服从他的统治,他便会寻找借口,把他们送到敌人手里,借刀杀人。由于这一切原因,凡是僭主总是必定要挑起战争的。

    阿:是的,他是必定要这样做的。

    苏:他这样干不是更容易引起公民反对吗?

    阿:当然啦。

    苏:很可能,那些过去帮他取得权力现在正在和他共掌大权的人当中有一些人不赞成他的这些做法,因而公开对他提意见,并相互议论,而这种人碰巧还是些最勇敢的人呢。不是吗?

    阿:很可能的。

    苏:那么如果他作为一个僭主要保持统治权力,他必须清除所有这种人,不管他们是否有用,也不管是敌是友,一个都不留。

    阿:这是明摆着的。

    苏:因此,他必须目光敏锐,能看出谁最勇敢,谁最有气量,谁最为智慧,谁最富有;为了他自己的好运,不管他主观愿望如何,他都必须和他们为敌到底,直到把他们铲除干净为止。

    阿:真是美妙的清除呀!

    苏:是的。只是这种清除和医生对人体进行的清洗相反。

    医生清除最坏的,保留最好的,而僭主去留的正好相反。

    阿:须知,如果他想保住他的权力,看来非如此不可。

    苏:他或者是死,或者同那些伙伴——大都是些没有价值的人,全都是憎恨他的人——生活在一起,在这两者之间他必须作一有利的抉择。

    阿:这是他命中注定的啊!

    苏:他的这些所作所为越是不得人心,他就越是要不断扩充他的卫队,越是要把这个卫队作为他绝对可靠的工具。不是吗?

    阿:当然是的。

    苏:那么,谁是可靠的呢?他又到哪里去找到他们呢?

    阿:只要他给薪水,他们会成群结队自动飞来的。

    苏:以狗的名义起誓,我想,你又在谈雄蜂了,一群外国来的杂色的雄蜂。

    阿:你猜的对。

    苏:但是他不也要就地补充一些新兵吗?

    阿:怎么个搞法呢?

    苏:抢劫公民的奴隶,解放他们,再把他们招入他的卫队。

    阿:是真的。他们将是警卫队里最忠实的分子。

    苏:如果他在消灭了早期拥护者之后,只有这些人是他的朋友和必须雇佣的忠实警卫,那么僭主的幸运也真令人羡慕了!

    阿:唔,就是这么搞的。

    苏:我想,这时僭主所亲近的这些新公民是全都赞美他,而正派人是全都厌恶他,回避他。

    阿:当然如此。

    苏:悲剧都被认为是智慧的,而这方面欧里庇得斯还被认为胜过别人。这不是无缘无故的。

    阿:为什么?

    苏:因为在其它一些意味深长的话之外,欧里庇得斯还说过“以有智慧的人为友的僭主是智慧的。”这句话显然意味着,僭主周围的这些人是有智慧的人。

    阿:他也说过,“僭主有如神明”,他还说过许多别的歌颂僭主的话。别的许多诗人也曾说过这种话。

    苏:所以悲剧诗人既然象他们那样智慧,一定会饶恕我们以及那些和我们有同样国家制度的人们不让他们进入我们的国家,既然他们唱歌赞美僭主制度。

    阿:我认为其中的明智之士会饶恕我们的。

    苏:我设想他们会去周游其它国家,雇佣一批演员,利用他们美妙动听的好嗓子,向集合在剧场上的听众宣传鼓动,使他们转向僭主政治或民主政治。

    阿:是的。

    苏:为此他们将得到报酬和名誉。可以预料,主要是从僭主方面,其次是从民主制度方面得到这些。但是,他们在攀登政治制度之山时,爬得愈高,名誉却愈往下降,仿佛气喘吁吁地无力再往上攀登似的。

    阿:说得极象。

    苏:不过,这是一段题外话,我们必须回到本题。我们刚才正在谈到的僭主私人卫队,一支美好的人数众多的杂色的变化不定的军队。这支军队如何维持呢?

    阿:不言而喻,如果城邦有庙产,僭主将动用它,直到用完为止;其次是使用被他除灭了的政敌的财产;要求平民拿出的钱比较少。

    苏:如果这些财源枯竭了,怎么办?

    阿:显然要用他父亲的财产来供养他和他的宾客们以及男女伙伴了。

    苏:我懂了。你的意思是说那些养育了他的平民现在不得不供养他的一帮子了。

    阿:他不得不如此。

    苏:如果人民表示反对说,儿子已是成年还要父亲供养是不公道的,反过来,儿子奉养父亲才是公道的;说他们过去养育他拥立他,不是为了在他成为一个大人物以后,他们自己反而受自己奴隶的奴役,不得不来维持他和他的奴隶以及那一群不可名状的外国雇佣兵的,而是想要在他的保护之下自己可以摆脱富人和所谓上等人的统治的,现在他们命令他和他的一伙离开国家象父亲命令儿子和他的狐朋狗友离开家庭一样,——如果这样,你有什么想法呢?

    阿:这时人民很快就要看清他们生育培养和抬举了一只什么样的野兽了。他已经足够强大,他们已经没有办法把他赶出去了。

    苏:你说什么?你是不是说僭主敢于采取暴力对付他的父亲——人民,他们如果不让步,他就要打他们?

    阿:是的,在他把他们解除武装以后。

    苏:你看出僭主是杀父之徒,是老人的凶恶的照料者了。

    实际上我们这里有真相毕露的直言不讳的真正的僭主制度。

    人民发现自己象俗话所说的,跳出油锅又入火炕;不受自由人的奴役了,反受起奴隶的奴役来了;本想争取过分的极端自由的,却不意落入了最严酷最痛苦的奴役之中了。

    阿:实际情况的确是这样。

    苏:好,我想至此我们有充分理由可以说我们已经充分地描述了民主政治是如何转向僭主政治的,以及僭主政治的本质是什么的问题了。是不是?

    阿:是的。

    格:无疑的。

    苏:现在让我们来考虑这样一个问题:这是因为他不觉得痛苦呢,还是说,他不可能不觉得痛苦,只是因为他对痛苦能有某种节制呢?

    格:后一说比较正确。

    苏:关于他,现在我请问你这样一个问题:你认为他在哪一种场合更倾向于克制自己的悲痛呢,是当着别人的面还是在独处的时候?

    格:在别人面前他克制得多。

    苏:但是当他独处时,我想,他就会让自己说出许多怕被人听到的话,做出许多不愿被别人看到的事来的。

    格:是这样的。

    苏:促使他克制的是理性与法律,怂恿他对悲伤让步的是纯情感本身。不是吗?

    格:是的。

    苏:在一个人身上同时关于同一事物有两种相反的势力表现出来,我们认为这表明,他身上必定存在着两种成分。

    格:当然是的。

    苏:其中之一准备在法律指导它的时候听从法律的指引。

    不是吗?

    格:请作进一步的申述。

    苏:法律会以某种方式告知:遇到不幸时尽可能保持冷静而不急躁诉苦,是最善的。因为,这类事情的好坏是不得而知的;不作克制也无补于事;人世生活中的事本也没有什么值得太重视的;何况悲痛也只能妨碍我们在这种情况下尽可能快地取得我们所需要的帮助呢!

    格:你指的什么帮助呢?

    苏:周密地思考所发生的事情呀!就像在(掷骰子时)骰子落下后决定对掷出的点数怎么办那样,根据理性的指示决定下一步的行动应该是最善之道。我们一定不能像小孩子受了伤那样,在啼哭中浪费时间,而不去训练自己心灵养成习惯:尽快地设法治伤救死,以求消除痛苦。

    格:这的确是面临不幸时处置不幸的最善之道。

    苏:因此我们说,我们的最善部分是愿意遵从理性指导的。

    格:显然是的。

    苏:因此,我们不是也要说,一味引导我们回忆受苦和只知悲叹而不能充分地得到那种帮助的那个部分,是我们的无理性的无益的部分,是懦弱的伙伴?

    格:是的,我们应该这么说。

    苏:因此,我们的那个不冷静的部分给模仿提供了大量各式各样的材料。而那个理智的平静的精神状态,因为它几乎是永远不变的,所以是不容易模仿的,模仿起来也是不容易看懂的,尤其不是涌到剧场里来的那一大群杂七杂八的人所容易了解的。因为被模仿的是一种他们所不熟悉的感情。

    格:一定的。

    苏:很显然,从事模仿的诗人本质上不是模仿心灵的这个善的部分的,他的技巧也不是为了让这个部分高兴的,如果他要赢得广大观众好评的话。他本质上是和暴躁的多变的性格联系的,因为这容易模仿。

    格:这是很明显的。

    苏:到此,我们已经可以把诗人捉住,把他和画家放在并排了。这是很公正的。因为像画家一样,诗人的创作是真实性很低的;因为像画家一样,他的创作是和心灵的低贱部分打交道的。因此我们完全有理由拒绝让诗人进入治理良好的城邦。因为他的作用在于激励、培育和加强心灵的低贱部分毁坏理性部分,就像在一个城邦里把政治权力交给坏人,让他们去危害好人一样。我们同样要说,模仿的诗人还在每个人的心灵里建立起一个恶的政治制度,通过制造一个远离真实的影像,通过讨好那个不能辨别大和小,把同一事物一会儿说大一会儿又说小的无理性部分。

    格:确实是的。

    苏:但是,我们还没有控告诗歌的最大罪状呢。它甚至有一种能腐蚀最优秀人物(很少例外)的力量呢。这是很可怕的。

    格:如果它真有这样的力量,确是很可怕的。

    苏:请听我说。当我们听荷马或某一悲剧诗人模仿某一英雄受苦,长时间地悲叹或吟唱,捶打自己的胸膛,你知道,这时即使是我们中的最优秀人物也会喜欢它,同情地热切地听着,听入了迷的。我们会称赞一个能用这种手段最有力地打动我们情感的诗人是一个优秀的诗人的。

    格:我知道,是这样的。

    苏:然而,当我们在自己的生活中遇到了不幸时,你也知道,我们就会反过来,以能忍耐能保持平静而自豪,相信这才是一个男子汉的品行,相信过去在剧场上所称道的那种行为乃是一种妇道人家的行为。

    格:是的,我也知道这个。

    苏:那么,当我们看着舞台上的那种性格——我们羞于看到自己像那样的,——而称赞时,你认为这种称赞真的正确吗?我们喜欢并称赞这种性格而不厌恶它,这样做是有道理的吗?

    格:说真的,看来没有道理。

    苏:特别是假如你这样来思考这个问题的话。

    格:怎样思考?

    苏:你请作如下的思考。舞台演出时诗人是在满足和迎合我们心灵的那个(在我们自己遭到不幸时被强行压抑的,)本性渴望痛哭流涕以求发泄的部分。而我们天性最优秀的那个部分,因未能受到理性甚或习惯应有的教育,放松了对哭诉的监督。理由是:它是在看别人的苦难,而赞美和怜悯别人——一个宣扬自己的美德而又表演出极端苦痛的人——是没什么可耻的。此外,它①认为自己得到的这个快乐全然是好事,它是一定不会同意因反对全部的诗歌而让这种快乐一起失去的。因为没有多少人能想到,替别人设身处地的感受将不可避免地影响我们为自己的感受,在那种场合养肥了的怜悯之情,到了我们自己受苦时就不容易被制服了。

    ①心灵的理性部分。

    格:极为正确。

    苏:关于怜悯的这个论证法不也适用于喜剧的笑吗?虽然你自己本来是羞于插科打诨的,但是在观看喜剧表演甚或在日常谈话中听到滑稽笑话时,你不会嫌它粗俗反而觉得非常快乐。这和怜悯别人的苦难不是一回事吗?因为这里同样地,你的理性由于担心你被人家看作小丑,因而在你跃跃欲试时克制了的你的那个说笑本能,在剧场上你任其自便了,它的面皮愈磨愈厚了。于是你自己也不知不觉地在私人生活中成了一个爱插科打诨的人了。

    格:确实是的。

    苏:爱情和愤怒,以及心灵的其它各种欲望和苦乐——

    我们说它们是和我们的一切行动同在的——诗歌在模仿这些情感时对我们所起的作用也是这样的。在我们应当让这些情感干枯而死时诗歌却给它们浇水施肥。在我们应当统治它们,以便我们可以生活得更美好更幸福而不是更坏更可悲时,诗歌却让它们确立起了对我们的统治。

    格:我没有异议。

    苏:因此,格劳孔啊,当你遇见赞颂荷马的人,听到他们说荷马是希腊的教育者,在管理人们生活和教育方面,我们应当学习他,我们应当按照他的教导来安排我们的全部生活,这时,你必须爱护和尊重说这种话的人。因为他们的认识水平就这么高。你还得对他们承认,荷马确是最高明的诗人和第一个悲剧家。但是你自己应当知道,实际上我们是只许可歌颂神明的赞美好人的颂诗进入我们城邦的。如果你越过了这个界限,放进了甜蜜的抒情诗和史诗,那时快乐和痛苦就要代替公认为至善之道的法律和理性原则成为你们的统治者了。

    格:极其正确。

    苏:到此,让我们结束重新讨论诗歌以及进一步申述理由的工作吧。我们的申述是:既然诗的特点是这样,我们当初把诗逐出我们国家的确是有充分理由的。是论证的结果要求我们这样做的。为了防止它①怪我们简单粗暴,让我们再告诉它,哲学和诗歌的争吵是古已有之的。例如,什么“对着主人狂吠的爱叫的狗”;什么“痴人瞎扯中的大人物”;什么“统治饱学之士的群盲”;什么“缜密地思考自己贫穷的人”②,以及无数其它的说法都是这方面的证据。然而我们仍然申明:如果为娱乐而写作的诗歌和戏剧能有理由证明,任一个管理良好的城邦里是需要它们的,我们会很高兴接纳它。因为我们自己也能感觉到它对我们的诱惑力。但是背弃看来是真理的东西是有罪的。我的朋友,你说是这样吗?你自己没有感觉到它的诱惑力吗,尤其是当荷马本人在进行盅惑你的时候?

    ①拟人。“它”指诗。

    ②这些话出处不明。第一句和第三句话看来是骂诗人的,第四句话是讽刺哲学家的。

    格:的确是的。

    苏:那么,当诗已经申辩了自己的理由,或用抒情诗格或用别的什么格律——它可以公正地从流放中回来吗?

    格:当然可以。

    苏:我们大概也要许可诗的拥护者——他们自己不是诗人只是诗的爱好者——用无韵的散文申述理由,说明诗歌不仅是令人愉快的,而且是对有秩序的管理和人们的全部生活有益的。我们也要善意地倾听他们的辩护,因为,如果他们能说明诗歌不仅能令人愉快而且也有益,我们就可以清楚地知道诗于我们是有利的了。

    格:我们怎样才能有利呢?

    苏:不过,我的好朋友,如果他们说不出理由来,我们也只好像那种发觉爱情对自己不利时即冲破情网——不论这样做有多么不容易——的恋人一样了。虽然我们受了我们美好制度①的教育已养成了对这种诗歌的热爱,因而我们很乐意能听到他们提出尽可能有力的理由来证明诗的善与真。但是,如果他们做不到这一点,我们就要在心里对自己默念一遍自己的理由,作为抵制诗之魅力的咒语真言,以防止自己堕入众人的那种幼稚的爱中去了。我们已经得以知道,我们一定不能太认真地把诗歌当成一种有真理作依据的正经事物看待。我们还要警告诗的听众,当心它对心灵制度的不良影响,要他们听从我们提出的对诗的看法才好。

    ①反话。

    格:我完全同意。

    苏:亲爱的格劳孔,这场斗争是重大的。其重要性程度远远超过了我们的想像。它是决定一个人善恶的关键。因此,不能让荣誉、财富、权力,也不能让诗歌诱使我们漫不经心地对待正义和一切美德。

    格:根据我们所作的论证,我赞同你的这个结论。并且我想别的人也会赞同你的话的。

    苏:但是,你知道,我们还没有论述至善所能赢得的最大报酬和奖励呢。

    格:你指的一定是一个无法想像的大东西,如果还有什么别的比我们讲过的东西大的话。

    苏:在一段短短的时间里哪能产生什么真正大的东西呀!

    因为一个人从小到老一生的时间和时间总体相比肯定还是很小的。

    格:是的,不能产生任何大东西的。

    苏:那么怎么样?你认为一个不朽的事物应当和这么短的一段时间相关,而不和总的时间相关吗?

    格:我认为它应和总的时间相关。但是这个不朽的事物你指的是什么呢?

    苏:你不知道我们的灵魂是不朽不灭的吗?

    格:〔惊讶地看着苏格拉底〕:天哪,我真的不知道,但是,你打算这么主张么?

    苏:是的,我应当这样主张。我想你也应该这样主张。这没什么难的。

    格:这在我是很难的。但是我还是乐意听你说说这个不难的主张。

    苏:请听我说。

    格:尽管说吧。

    苏:你用“善”和“恶”这两个术语吗?

    格:我用。

    苏:你对它们的理解和我相同吗?

    格:什么理解?

    苏:一切能毁灭能破坏的是恶,一切能保存有助益的是善。

    格:我赞同。

    苏:你认为怎么样?是不是每一种事物都有其特有的善与恶,例如眼睛的发炎,整个身体的疾病,粮食的霉烂,树木的枯朽,铜铁的生锈?照我看,实际上一切事物都有其与生俱来的恶或病,你说是不是?

    格:是的。

    苏:那么,当一种恶生到一个事物上去时,它不就使这事物整个儿地也变恶而终至崩溃毁灭吗?

    格:当然。

    苏:那么,是每一事物特有的恶或病毁灭该事物。如果它不能毁灭该事物,也就不再有别的什么能毁坏它了。因为善是显然永不毁灭什么事物的,而既不善也不恶的“中”也是不会毁灭任何事物的。

    格:当然不能。

    苏:那么,如果我们发现什么东西,虽有专损害它的恶,但不能使它崩解灭亡,我们就可以知道,具有这种天赋素质的事物必定是不可毁灭的。对吗?

    格:看来是的。

    苏:因此怎么样?有没有使心灵恶的东西呢?

    格:的确有。我们刚才所列述的一切:不正义、无节制、懦弱、无知都是。

    苏:其中任何一个都崩解和毁灭心灵吗?请注意不要想错了,不要说,一个不正义的愚人在做坏事时被捉住了,这是被不正义毁灭了。(不正义是心灵特有的恶。)我们还是宁可说:正如削弱和毁灭身体使它终至不再成其为身体的是身体特有的恶(它是疾病),同样,在所有我们列举的例子里,生到一个事物上并留存在那个事物里起毁灭它的作用,从而使它不再成其为该事物的,是特有的恶。是这样吗?

    格:是这样。

    苏:那么,来吧,让我们也这样来讨论心灵。不正义和其它内在的恶,能通过内在和长上去的途径以破坏毁灭心灵,直至使它死亡使它和肉体分离吗?

    格:无论如何也不能。

    苏:但是,认为一个事物能被别的事物的恶所毁灭,它自身的恶不毁灭它——这种想法肯定是没有道理的。

    格:是没有道理的。

    苏:因为,格劳孔啊,请注意,我们不会认为如下的说法是确当的:人的身体被食物的恶——无论是发霉还是腐烂,还是别的什么——所毁灭。虽然当食物的恶在人体里造成人体的毛病时,我们会说身体“因为”这些食物而“被”它自己的恶,即疾病所毁灭,但是我们永远不会认为身体(作为一物)可能被食物(作为另一物)的恶,一个外来的恶(没有造成身体的疾病)所毁灭。

    格:你的话十分正确。

    苏:同样道理,如果说肉体的恶不能在灵魂里造成灵魂的恶,我们就永远不能相信,灵魂能被一个外来的恶(离开灵魂本身的恶)所灭亡,即一事物被它事物的恶所灭亡。

    格:这是很合理的。

    苏:因此,我们必须批驳下述论点,指出它的错误。或者,如果不去驳斥它,我们也必须永远坚持:热病或别的什么病,刀杀或碎尸万段能使灵魂灭亡——这说法看来也不象有更多的理由,除非有人能证明,灵魂能因肉体的这些遭受而变得更不正义或更恶。我们不能承认,无论灵魂还是别的什么可以因有别的事物的恶和它同在(没有它自己的恶)而被灭亡的。

    格:无论如何,不会有人能证明,一个临死的人的灵魂能因死亡而变得更不正义的。

    苏:但是,如果有人胆敢固执这个论点,为了避免被迫走上承认·灵·魂不朽,他说:一个临死的·人是变得更恶更不正义的。这时我们将仍然主张:如果他的话是真的,那么不正义对于不正义者是致命的,就像疾病致死一样。如果不正义天然能杀死不正义的人,那么染上不正义的人就会死于不正义,最不正义者就会死得最快,不正义较少的人就会死得较慢了。但是当前事实上,不正义者不是死于不正义,而是因干坏事死于别人所施加的惩罚。

    格:的确是的。不正义如果对于不正义者是致命的,结果它就不会显得是一个可怕的东西了,因为它(如果这样就)会是一个能除恶的东西了。我倒宁可认为,它将表明正好相反,表明它是一个(只要可能就)会杀死别人的东西,是一个的确能使不正义者活着的东西。——不仅使他活着,而且,我认为,还能给他以充沛的精力,随着它和致命分离。

    苏:你说得很对。如果特有的病和特有的恶不能杀死和毁灭灵魂,那么,本来就是用以毁灭别的东西的恶就更不能毁灭灵魂或任何其它事物了,除了毁灭它专毁灭的那个东西而外。

    格:看来是更不能了。

    苏:既然任何恶——无论特有的还是外来的——都不能毁灭它,可见,它必定是永恒存在的。既然是永恒存在的,就必定是不朽的。

    格:必定是不朽的。

    苏:这一点到此让我们就这样定下来吧。又,如果这一点定下来了,那么你就会看到,灵魂永远就是这些。灵魂既不会减少,因为其中没有一个能灭亡。同样,也不会有增加。因为,如果不朽事物能增加,你知道,必定就要有事物从可朽者变为不可朽者了,结果就一切事物都能不朽了。

    格:你说得对。

    苏:我们一定不能有这个想法,因为它是理性所不能许可的。我们也一定不能相信,灵魂实实在在本质上是这样一种事物:它内部有许多的不同、不像和矛盾。

    格:我该如何理解你这话呢?

    苏:一个事物如果是由多种部分合成而又不是最好地组织在一起的,像我们如今看到灵魂的情况那样的话,它要不朽是不容易的。

    格:看来的确是不容易的。

    苏:因此,刚才的论证以及其它的论证①大概已使我们不得不承认灵魂不死了。但是,为了认识灵魂的真相,我们一定不能像现在这样,在有肉体或其它的恶和它混在一起的情况下观察它。我们必须靠理性的帮助,充分地细看它在纯净状况下是什么样的。然后你将发现它要美得多,正义和不正义以及我们刚才讨论过的一切也将被辨别得更清楚。不过,虽然我们刚才已经讲了灵魂目前被看到的“真实”状况,但是我们所看见的还是像海神格劳卡斯像一样,它的本相并不是可以一望而知那么容易看清楚的,就像海神的本相已不易看清一样:

    他原来肢体的各部分已被海水多年浸泡冲刷得断离碎散,身上又盖上了一层贝壳、海草和石块之类,以致本相尽失,看上去倒更像一个怪物。这就是我们所看到的灵魂被无数的恶糟蹋成的样子。格劳孔啊,我们必须把目光转向别处。

    格:何处?

    ①其它论证见于《斐多》篇和《费德罗》等处。

    苏:它的爱智部分。请设想一下,它凭着和神圣、不朽、永恒事物之间的近亲关系,能使自己和它们之间的交往、对它们的理解经历多久的时间。再请设想一下,如果它能完全听从这力量的推动,并从目前沉没的海洋中升起,如果它能除去身上的石块和贝壳——因为它是靠这些被人们认为能带来快乐的尘世俗物过日子的,因此身上裹满了大量野蛮的尘俗之物。——它能变成个什么样子。这时人们大概就能看得见灵魂的真相了,无论它的形式是复杂的还是单一的还是别的什么可能样的。不过,到此关于灵魂在人世生活中的感受和形式,我看我们已经描述得足够清楚了。

    格:的确是的。

    苏:因此,我们已经满足了论证的其它要求。我们没有祈求正义的报酬和美名,像你们说赫西俄德和荷马所做的那样①,但是我们已经证明了,正义本身就是最有益于灵魂自身的。为人应当正义,无论他有没有古各斯的戒指②,以及哈得斯的隐身帽。③

    ①363b—c。

    ②359d以下;367e。

    ③《伊里亚特》v845。

    格:你的话十分正确。

    苏:因此,格劳孔,如果我们现在把所有各种各样的报酬给予正义和其它美德,让人们因存正义和美德在生前和死后从人和神的手里得到它们,对此还能再有什么反对意见吗?

    格:一定不会再有了。

    苏:那么,你肯把在讨论中借去的东西还给我吗?

    格:那是指的什么?

    苏:我曾经容许你们说,正义者被认为不正义,而不正义者被认为正义。因为那时你们认为:虽然这些事事实上瞒不过神和人,但是,为了讨论的目的,还是应当作出让步,以便判明真正的正义和真正的不正义。你不记得了?

    格:赖帐是不公道的。

    苏:正义与不正义既已判明,我要求你把正义从人神处得来的荣誉归还给正义,我要求我们一致同意它被这样认为,以便相信它能够把因被认为正义而赢得的奖品搜集起来交给有正义的人,既然我们的讨论已经证明它能把来自善的利益赠给那些真正探求并得到了它的人而不欺骗他们。

    格:这是一个公正的要求。

    苏:那么,神事实上不是不知道正义者或不正义者的性质。——这不是你要归还的第一件吗?

    格:我们归还这个。

    苏:既然他们是瞒不了的,那么,一种人将是神所爱的,①另一种人将是神所憎的。——我们一开始②就曾对此取得过一致意见。

    ①参见《菲勒布》篇39e。

    ②参见352b。

    格:是这样。

    苏:又,我们要一致相信:来自神的一切都将最大可能地造福于神所爱的人,除非他因有前世的罪孽必须受到某种惩罚。是吧?

    格:当然。

    苏:因此我们必须深信,一个正义的人无论陷入贫困、疾病,还是遭到别的什么不幸,最后都将证明,所有这些不幸对他(无论活着的时候还是死后)都是好事。因为一个愿意并且热切地追求正义的人,在人力所及的范围内实践神一般的美德,这样的人是神一定永远不会忽视的。

    格:这种人既然象神一样,理应不会被神所忽视。

    苏:关于不正义的人我们不是应当有相反的想法吗?

    格:理所当然。

    苏:因此,这些就是神赐给正义者的胜利奖品。

    格:至少我认为是这样。

    苏:但是一个正义者从人间得到什么呢?如果应当讲真实,情况不是如下述这样吗?狡猾而不正义的人很象那种在前一半跑道上跑得很快,但是在后一半就不行了的赛跑运动员。

    是吗?他们起跑很快,但到最后精疲力竭,跑完时遭到嘲笑嘘骂,得不到奖品。真正的运动员能跑到终点,拿到奖品夺得花冠。正义者的结局不也总是这样吗:他的每个行动、他和别人的交往,以及他的一生,到最后他总是能从人们那里得到光荣取得奖品的?

    格:的确是的。

    苏:因此,你允许我把过去你们说是不正义者的那些益处现在归还给正义者吗?因为我要说,正义者随着年龄的增长,只要愿意,就可以治理自己的国家,要跟谁结婚就可以跟谁结婚,要跟谁攀儿女亲家就可以跟谁攀亲家,还有你们过去说成是不正义者的,现在我说成是正义者的一切好处。我还要说到不正义者。他们即使年轻时没有被人看破,但大多数到了人生的最后会被捉住受到嘲弄,他们的老年将过得很悲惨,受到外国人和本国同胞的唾骂。他们将遭到鞭笞,受到一切你正确地称之为野蛮的那些处罚①,还有拷问、烙印。他们所遭受的一切请你假定自己已全听我说过了。但是,请你考虑一下,要不要耐心听我说完它。

    ①参见361e。

    格:当然要。因为你的话是公正的。

    苏:这些就是正义者活着的时候从神和人处得到的奖品、薪俸和馈赠(除正义本身赐予的福利而外)。

    格:这是一些美好的可靠的报酬。

    苏:然而这些东西和死后等着正义者和不正义者的东西比较起来,在数上和量上就都又算不上什么了。你们必须听听关于这两种人的一个故事,以便每一种人都可以得到我们的论证认为应属于他的·全·部报应。

    格:请讲吧。比这更使我高兴听的事情是不多的。

    苏:我要讲的故事不像奥德修斯对阿尔刻诺斯讲的那么长,但也是一个关于勇士的故事①。这个勇士名叫厄洛斯,是阿尔米纽斯之子②,出身潘菲里亚种族。在一次战斗中他被杀身死。死后第十天尸体被找到运回家去。第十二天举行葬礼。

    ①见史诗《奥德修纪》ix—xii。奥德修斯用这么长篇故事对法埃刻亚国王阿尔刻诺斯讲了自己遇险的经历。这故事后来成了长故事的代名词。

    ②和厄洛斯’hρó读音相近的词ηρω,是“英雄”或“战士”之意。

    当他被放上火葬堆时竟复活了。复活后他讲述了自己在另一个世界所看到的情景。他说,当他的灵魂离开躯体后,便和大伙的鬼魂结伴前行。他们来到了一个奇特的地方。这里地上有两个并排的洞口。和这两个洞口正对着的,天上也有两个洞口。法官们就坐在天地之间。他们每判决一个人,正义的便吩咐从右边升天,胸前贴着判决证书;不正义的便命令他从左边下地,背上带着表明其生前所作所为的标记。厄洛斯说,当他自己挨近时,法官却派给他一个传递消息给人类的任务,要他把那个世界的事情告诉人类,吩咐他仔细听仔细看这里发生的一切。于是他看到,判决通过后鬼魂纷纷离开,有的走上天的洞口有的走下地的洞口。同时也有鬼魂从另一地洞口上来,风尘仆仆,形容污秽,也有鬼魂从另一天洞口下来,干净纯洁。不断到来的鬼魂看上去都像是经过了长途跋涉,现在欣然来到一片草场,搭下帐篷准备过节样的。他们熟人相逢,互致问候。来自地下的询问对方在天上的情况,来自天上的询问对方在地下的情况。他们相互叙说自己的经历。地下来的人追述着自己在地下行程中(一趟就是一千年)遭遇的痛苦和看到的事情。他们一面说一面悲叹痛哭。天上来的人则叙述他们看到天上的不寻常的美和幸福快乐。格劳孔啊,所有这些通通说出来得花我们很多时间。简而言之,厄洛斯告诉人们说,一个人生前对别人做过的坏事,死后每一件都要受十倍报应。

    也就是说每百年受罚一次,人以一百年算作一世,因此受到的惩罚就十倍于罪恶。举例说,假定一个人曾造成过许多人的死亡,或曾在战争中投敌,致使别人成了战俘奴隶,或参与过什么别的罪恶勾当,他必须为每一件罪恶受十倍的苦难作为报应。同样,如果一个人做过好事,为了公正、虔诚,他也会得到十倍的报酬。厄洛斯还讲到了出生不久就死了的或只活了很短时间就死了的婴儿,但这些不值得我再复述。厄洛斯还描述了崇拜神灵孝敬父母的人受到的报酬更大,亵渎神灵忤逆父母谋害人命的人受到的惩罚也更大。例如他告诉人们说,他亲目所睹,有人问“阿尔蒂阿依俄斯大王在哪里?”这个阿尔蒂阿依俄斯刚好是此前整整一千年的潘菲里亚某一城邦的暴君。据传说,他曾杀死自己年老的父亲和自己的哥哥,还做过许多别的邪恶的事情。因此回答这一问话的人说:“他没来这里,大概也不会来这里了。因为下述这件事的确是我们所曾遇到过的可怕事情之一。当我们走到洞口即将出洞,受苦也已到头时,突然看见了他,还有其他一些人。他们差不多大部分是暴君,虽然有少数属于私人生活上犯了大罪的。当他们这种人想到自己终于将通过洞口而出时,洞口是不会接受的。

    凡罪不容赦的或者还没有受够惩罚的人要想出洞,洞口就会发出吼声。有一些样子凶猛的人守在洞旁,他们能听懂吼声。

    于是他们把有些人捉起来带走。而像阿尔蒂阿依俄斯那样的一些人,他们则把他们捆住手脚头颈,丢在地上,剥他们的皮,在路边上拖,用荆条抽打。同时把这些人为什么受这种折磨的缘由,以及还要被抛入塔尔塔洛斯地牢的事告知不时从旁边走过的人们。”他说,那时他们虽然碰见过许多各式各样可怕的事情,但是最可怕的还是担心自己想出去时听到洞口发出吼声。要是走出来没有吼声,就再庆幸不过了。审判和惩罚就如上述,给正义者的报酬与此相反。但是一批又一批的人在草场上住满了七天,到第八天上就被要求动身继续上路。走了四天他们来到一个地方。从这里他们看得见一根笔直的光柱,自上而下贯通天地,颜色像虹,但比虹更明亮更纯净。又走了一天他们到了光柱所在地。他们在那里在光柱中间看见有自天而降的光线的末端。这光柱是诸天的枢纽,像海船的龙骨,把整个旋转的碗形圆拱维系在一起。推动所有球形天体运转的那个“必然”之纺锤吊挂在光线的末端。光柱和它上端的挂钩是好铁的,圆拱是好铁和别的物质合金的。圆拱的特点如下:它的形状像人间的圆拱,但是照厄洛斯的描述,我们必须想像最外边的是一个中空的大圆拱。由外至内第二个拱比第一个小,正好可以置于其中。第二个中间也是空的,空处正好可以置入第三个。第三个里面置入第四个,如此等等,直到最后第八个,一共像大小相套的一套碗。由于所有八个碗形拱彼此内面和外面相契合,从上面看去它们的边缘都呈圆形,所以合起来在光柱的周围形成一个单一的圆拱连续面,光柱笔直穿过第八个碗拱的中心。最外层那个碗拱的碗边最宽,碗边次宽的是第六个,依次是第四个、第八个、第七个、第五个、第三个,最窄的是第二个。最外层的那个碗边颜色复杂多样;

    第七条边最亮;第八条边反射第七条的亮光,颜色同它一样;

    第二条和第五条边颜色彼此相同,但比前两者黄些;第三条边颜色最白;第四条边稍红;第六条边次白。旋转起来整个的纺锤体系是·一·个运动;但是在这整个运动内部,里面七层转得慢,方向和整个运动相反;其中第八层运动得最快;第七、第六、第五彼此一起转动,运动得其次快;有返回原处现象的第四层在他们看起来运动速度第三;第三层速度第四;第二层速度第五。①

    ①这是柏拉图的宇宙构想图:

    (一)古希腊纺锤(示意图)(二)圆拱各圈边口图(从上面看)

    整个纺锤在“必然”的膝上旋转。在每一碗拱的边口上都站着一个海女歌妖,①跟着一起转,各发出一个音,八个音合起来形成一个和谐的音调。此外还有三个女神,距离大约相等,围成一圈坐在自己的座位上。他们是“必然”的女儿,“命运”三女神②,身着白袍头束发带。她们分别名叫拉赫西斯、克洛索、阿特洛泊斯,和海妖们合唱着。拉赫西斯唱过去的事,克洛索唱当前的事,阿特洛泊斯唱将来的事。克洛索右手不时接触纺锤外面,帮它转动;阿特洛泊斯用左手以同样动作帮助内面转;拉赫西斯两手交替着两面帮转。

    ①αujιρlj,用歌声诱杀航海者的女妖。在荷马史诗中是两人,在柏拉图笔下是八人。这里无妖精害人之意。

    ②αobραι(fates),“命运”三女神。拉赫西斯决定人的命运。克洛索在三姊妹中年最长,为纺生命之线者。阿特洛泊斯年最幼,被叫做“不可逆转的阿特洛泊斯”。

    当厄洛斯一行的灵魂到达这里时,他们直接走到拉赫西斯面前。这时有一个神使出来指挥他们排成次序和间隔,然后从拉赫西斯膝上取下阄和生活模式,登上一座高坛宣布道:

    “请听‘必然’的闺女拉赫西斯如下的神意:‘诸多一日之魂,你们包含死亡的另一轮回的新生即将开始了。不是神决定你们的命运,是你们自己选择命运。谁拈得第一号,谁就第一个挑选自己将来必须度过的生活。美德任人自取。每个人将来有多少美德,全看他对它重视到什么程度。过错由选择者自己负责,与神无涉。’”说完,神使把阄撒到他们之间。每个灵魂就近拾起一阄。厄洛斯除外,神不让他拾取。拾得的人看清自己抽得的号码。接着神使把生活模式放在他们面前的地上,数目比在场人数多得多。模式各种各样,有各种动物的生活和各种人的生活。其中有僭主的生活。僭主也有终身在位的,也有中途垮台因而受穷的,被放逐的或成乞丐的。还有男女名人的荣誉生活,其中有因貌美的,有因体壮的,有因勇武的,有因父母高贵的,有靠祖先福荫的。还有在这些方面有坏名声的男人和女人的生活。灵魂的状况是没有选择的,因为不同生活的选择必然决定了不同的性格。而其它的事物在选定的生活中则都是不同程度地相互混合着的,和富裕或贫穷、疾病或健康,以及各种程度的中间状况混合着的。亲爱的格劳孔,这个时刻看来对于一个人是一切都在危险中的。这就是为什么我们每个人都宁可轻视别的学习而应当首先关心寻师访友,请他们指导我们辨别善的生活和恶的生活,随时随地选取尽可能最善的生活的缘故。我们应当对我们所讨论的这一切加以计算,估价它们(或一起或分别地)对善的生活的影响;了解美貌而又贫困或富裕,或,美貌结合着各种心灵习惯,对善或恶有什么影响;了解出身贵贱、社会地位,职位高低、体质强弱、思想敏捷或迟钝,以及一切诸如此类先天的或后得的心灵习惯——彼此联系着——又有什么影响。考虑了所有这一切之后一个人就能目光注视着自己灵魂的本性,把能使灵魂的本性更不正义的生活名为较恶的生活,把能使灵魂的本性更正义的生活名为较善的生活,因而能在较善的生活和较恶的生活之间作出合乎理性的抉择。其余一切他应概不考虑,因为我们已经知道,无论对于生时还是死后这都是最好的选择。人死了也应当把这个坚定不移的信念带去冥间,让他即使在那里也可以不被财富或其它诸如此类的恶所迷惑,可以不让自己陷入僭主的暴行或其它许多诸如此类的行为并因而受更大的苦,可以知道在这类事情方面如何在整个的今生和所有的来世永远选择中庸之道而避免两种极端。因为这是一个人的最大幸福之所在。

    据厄洛斯告诉我们,神使在把生活模式让大家选择之前布告大家:“即使是最后一个选择也没关系,只要他的选择是明智的他的生活是努力的,仍然有机会选到能使他满意的生活。愿第一个选择者审慎对待,最后一个选择者不要灰心。”神使说完,拈得第一号的灵魂走上来选择。他挑了一个最大僭主的生活。他出于愚蠢和贪婪作了这个选择,没有进行全面的考察,因此没有看到其中还包含着吃自己孩子等等可怕的命运在内。等定下心来一细想,他后悔了。于是捶打自己的胸膛,号啕痛哭。他忘了神使的警告:不幸是自己的过错。他怪命运和神等等,就是不怨自己。这是一个在天上走了一趟的灵魂,他的前世生活循规蹈矩。但是他的善是由于风俗习惯而不是学习哲学的结果。确实,广而言之,凡是受了这种诱惑的人大多数来自天上,没有吃过苦头,受过教训;而那些来自地下的灵魂不但自己受过苦也看见别人受过苦,就不会那么匆忙草率地作出选择了。大多数灵魂的善恶出现互换,除了拈阄中的偶然性之外,这也是一个原因。我们同样可以确信,凡是在人间能忠实地追求智慧,拈阄时又不是拈得最后一号的话,——如果这里所讲的故事可信的话——这样的人不仅今生今世可以期望得到快乐,死后以及再回到人间来时走的也会是一条平坦的天国之路,而不是一条崎岖的地下之路。

    厄洛斯告诉我们,某些灵魂选择自己的生活是很值得一看的,其情景是可惊奇的、可怜的而又可笑的。他们的选择大部分决定于自己前生的习性。例如他看见俄尔菲①的灵魂选取了天鹅的生活。他死于妇女之手,因而恨一切妇女而不愿再生于妇女。赛缪洛斯②的灵魂选择了夜莺的生活。也有天鹅夜莺等歌鸟选择人的生活的。第二十号灵魂选择了雄狮的生活,那是特拉蒙之子阿雅斯的灵魂。他不愿变成人,因为他不能忘记那次关于阿克琉斯的武器归属的裁判③。接着轮到阿加门农。他也由于自己受的苦难而怀恨人类④,因此选择鹰的生活。选择进行到大约一半时轮到阿泰兰泰⑤。她看到做一个运动员的巨大荣誉时不禁选择了运动员的生活。在她之后是潘诺佩俄斯之子厄佩俄斯⑥,他愿投生为一有绝巧技术的妇女。

    在远远的后边,滑稽家赛尔息特斯⑦的灵魂正在给自己套上一个猿猴的躯体。拈阄的结果拿到最后一号,最后一个来选择的竟是奥德修斯⑧的灵魂。由于没有忘记前生的辛苦劳累,他已经抛弃了雄心壮志。他花了很多时间走过各处,想找一种只须关心自己事务的普通公民的生活。他好不容易发现了这个模式。它落在一个角落里没有受到别人的注意。他找到它时说,即使抽到第一号,他也会同样很乐意地选择这一生活模式。同样,还有动物变成人的,一种动物变成另一种动物的。

    不正义的变成野性的动物,正义的变成温驯的动物,以及一切混合的和联合的变化。

    ①’oρψjh′,宗教歌唱家。死于酒神崇拜者的一群妇女之手。

    ②vαμh′ρα,另一宗教歌唱家,由于向缪斯挑战比赛唱歌,结果失败,被罚成了瞎子,并被剥夺了歌唱的天赋。参见《伊里亚特》ii,595。

    ③w’c′α,见索福克勒斯悲剧《阿雅斯》。

    ④史诗《伊里亚特》中希腊远征军统帅。出征之初被迫以女儿祭神。战争结束回国,自己又被妻所杀。

    ⑤阿卡底亚公主。是优秀的女猎手。传说向她求婚的人得和她赛跑,输给她的就得被杀。

    ⑥’eπjló,是著名的特洛亚木马的制造者。

    ⑦vjρσc′eη,参见《伊里亚特》ii,212以下。

    ⑧史诗《奥德修纪》的主人翁。

    总之,当所有的灵魂已经按照号码次序选定了自己的生活时,他们列队走到拉赫西斯跟前。她便给每个灵魂派出一个监护神①,以便引领他们度过自己的一生完成自己的选择。监护神首先把灵魂领到克洛索处,就在她的手下方在纺锤的旋转中批准了所选择的命运。跟她接触之后,监护神再把灵魂引领到阿特洛泊斯旋转纺锤的地方,使命运之线不可更改。然后每个灵魂头也不回地从“必然”的宝座下走过。一个灵魂过来了,要等所有其他的灵魂都过来了,才大家再一起上路。从这里他们走到勒塞②的平原,经过了可怕的闷热,因为这里没有树木和任何的植物。傍晚他们宿营于阿米勒斯河③畔,它的水没有任何瓶子可盛。他们全都被要求在这河里喝规定数量的水,而其中一些没有智慧帮助的人便饮得超过了这个标准数量。一喝这水他们便忘了一切。他们睡着了。到了半夜,便可听到雷声隆隆,天摇地动。所有的灵魂便全被突然抛起,象流星四射,向各方散开去重新投生。厄洛斯本身则被禁止喝这河的水,但他说不知道自己是怎样回到自己肉体的。他只知道,自己睁开眼睛时,天已亮了,他正躺在火葬的柴堆上。

    ①个人命运之神。

    ②xθη,“忘记”女神。

    ③’aμd′aη,冥国一河名,意为“疏忽”。在后世文学作品中就被叫作勒塞(“忘记”)之河了,如《伊涅阿斯纪》vi,714以下。

    格劳孔啊,这个故事就这样被保存了下来,没有亡佚。如果我们相信它,它就能救助我们,我们就能安全地渡过勒塞之河,而不在这个世上玷污了我们的灵魂。不管怎么说,愿大家相信我如下的忠言:灵魂是不死的,它能忍受一切恶和善。

    让我们永远坚持走向上的路,追求正义和智慧。这样我们才可以得到我们自己的和神的爱,无论是今世活在这里还是在我们死后(象竞赛胜利者领取奖品那样)得到报酬的时候。我们也才可以诸事顺遂,无论今世在这里还是将来在我们刚才所描述的那一千年的旅程中。

  • 希罗多德《历史》2

    第五卷

    (1)大流士留在欧罗已交给美伽巴佐斯统率的那些波斯人既然发现佩林 托斯人不愿意臣服于大流士,于是便在海列斯彭特人当中首先把他们征服 了。这些佩林托斯人先前便已经吃到了派欧尼亚人的很大苦头。因为从司妥律蒙来的派欧尼亚人曾遵照看他们的神的神托的指示向佩林托斯人进军,神托指示说,如果和他们对阵的佩林托斯人向他们呼喊,叫出他们的名字,那末便向他们进攻,如果不这样呼喊的话,便不向他们进攻。派欧尼亚人便是 这样做的:佩林托司人在他们的城前屯营的时候,由于挑战的缘故,在两军 之间进行了三种单对单的决斗,即人对人,马对马,狗对狗。佩林托斯人在 两种决斗中得到了胜利并欢欣鼓舞地喊出了派昂的呼声(希腊人在获得胜利时,要感谢阿波罗神。在他们唱的凯歌里,便重复“伊埃·派昂”的句子。但在这里给派欧尼亚人听起来,好象是呼叫他俩的名字,向他们挑战似的)。派欧尼亚人却认为 这正是神托所提到的那件事情。于是我以为他们就相互告诉说:“预言里的 话这回确实是应验了,现在正是我们动手的时候了”。因此正在佩林托斯人 呼喊派昂的时候,派欧尼亚人便向他们发动了进攻,并使佩林托斯人吃了惨 重的败仗,他们的敌人在这场战斗中活命的寥寥无几。

    (2)佩林托斯人先前已受到派欧尼亚人的这样的打击了。而现在他们却为 他们的自由而英勇地战斗,但是由于众寡悬殊他们仍然是为美伽巴佐斯和波 斯人征服了。佩林托斯被攻克之后,美伽巴佐斯便率领他的军队通过色雷斯, 征服了那一地区每一座城和每一个民族使之服从国王的统治。因为征服色雷 斯,这也是大流士给他的命令呢。

    (3)除去印度人之外,色雷斯人是世界上最大的民族。如果他们由一个人 来统治或是万众一心地团结起来,在我看来他们就会是天下无敌的,就会成 为世界上最强大的民族。但是既然没有一个什么办法来实现这一点,他们便 由于这个原因而是软弱的了。他们有许多的名称,每一个部落都依照他们所 在的地区得名。所有这些色雷斯人的风俗习惯都是相同的,例外的只有盖塔 伊人、妥劳索伊人和住在克列斯通人上方的人。

    (4)自信是长生不死的盖培伊人,他们的风俗习惯我已说过了(见第四卷第九四节)。在所有其他方面的风俗习惯和其他色雷斯人相同的妥劳索伊人,他们在出生和死亡 时所做的事情下面我要说一说,当生孩子的时候,亲族便团团围坐在这个孩 子的四周,历数着人世间的一切苦恼,并为这孩子生出之后所必须体验的一切不幸事件表示哀悼。但是在葬埋死者的时候,他们却反而是欢欣快乐的, 因为他解脱了许多的灾祸而达到了完满的幸福境地。

    (5)住在克列斯通人上方的那些人是有他们自己的风俗习惯的。他们每个人都有很多妻子,在一个男人死去的时候,在他的妻子中间会发生很大的争论,而在他们的朋友方面也有激烈的争执,以便证明哪一个妻子是丈夫所最宠爱的。而被制定享有这一荣誉的妻子便受到男子和妇女的称赏,然后她被她最亲近的人杀死在她的丈夫的坟墓上,而和她丈夫埋葬在一处。其他的妻子则认为这是一件很倒霉的事情,觉得她们这样是受到了很大的耻辱。

    (6)至于其他色雷斯人,则他们的风俗是把他们的孩子作为输出品卖到国外去。他们一点也不去管束他们的少女,而是任凭她们和随便她们所喜好的一些男人发生关系。但是对于自己的妻子,他们却监视得很严并且是用重价从她们的父母那里买来的。刺青被认为是出身高贵的标帜,身上没有刺青则就表示是下贱的人了。无所事事的人被认为是最尊贵的,但耕地的人则最受蔑视,靠战争和打劫为生的人被认为是一切人当中最荣誉的。这就是他们的 最引人注意的习惯。

    (7)他们所崇奉的神只有阿列斯、狄奥尼索斯和阿尔铁米司(希罗多德通常把外国的神和希腊的神等一视之)。但是他们 的国王却和其他的国人不同,他们所最崇奉的神是海尔美士,国王们只凭着 这一个神的名字发誓,他们自称是海尔美士的后裔。

    (8)在他们的有钱人当中,葬仪是这样的。他们把死者的遗体在外面陈列三日,然后,他们先为死者哀哭,继而在屠杀一切种类的牺牲以后,便大张饮宴;在这之后,他们或是举行火葬,或是不用火葬而把死尸埋到士里去。 而在他们筑起了一座坟墓之后,他们便举行各种的比赛,在比赛中个人的比 赛最难的则给以最大的奖赏。色雷斯人的葬仪就是这样。

    (9)在这个国家的北面是什么地方,什么人住在那里是没有人能确实地说 出来的。渡过伊斯特柯,你所能看到的只是一望无际的荒漠地带。我所能知 道住在伊斯特河彼岸的,只有那穿着美地亚人的服装的称为昔恭纳伊人的一 种人。他们的马据说全身都长着有五达克杜洛斯长的茸茸的毛,这种马身材小,鼻子短而扁,不能供人乘骑,但如果使它驾车却是十分敏速的。当地的 人之所以有驾车的习惯便是由于这个缘故。据说这些人的土地的疆界大概是 一直达到亚得里亚海上的埃涅托伊人的地方。他们自称是美地亚人的移民, 但是我自己却弄不明白,为什么他们是美地亚人的移民。然而在悠长无尽的 岁月当中,任何事情都不是不可能发生的。不管怎样,我们知道居住在玛撒里亚(今日的马赛)的里巨埃斯人用“昔恭纳伊”一词来表示行商, 但是赛浦路斯人则用这个词来表示长枪。

    (10)但是根据色雷斯人的说法,伊斯特河彼岸的全部土地到处都是蜂, 因此谁也不能到那里去。这一点我看是不可信的,因为那些生物是很不能耐 寒的。而在我看来,却勿宁说极北的土地(原义是熊星下的土地)没有人居住是由于寒冷的缘故。以 上便是关于这一地区的说法。总之,美伽巴佐斯是使它的沿海地区服属波斯 人的治下了。

    (11)在大流士这一方面,则他一经渡过海列斯彭特并到撒尔迪斯的时候 (见第四卷第一四三节),他立刻便记起了米利都人希司提埃伊欧斯对他的功劳以及米提列奈人科埃 斯给予他的忠告来了。于是他便派人把他们召到撒尔迪斯来并且要他们选取 他们所想得到的东西。于是,希司提埃伊欧斯看到自己既然已是米利都的僭 主,因此他不再要求这之外的什么统治权,而他只是要求埃多涅斯人的土地米尔启诺司(富产木材和贵金属),以便使他能在那里建立一个城市。这便是希司提埃伊欧斯所希 望的东西,但是科埃斯由于自己不是僭主而只是一介平民,所以他要求能使 他成为米提列奈市的僭主。

    (12)这两个人的愿望得到允许之后,他们便分头到他们所要求的地点去 了,但是大流士却由于偶然看到下面的一件事,而使他想到命令美伽巴佐斯攻略派欧尼亚人,并且把他们从自己故乡的欧罗巴强行带到亚细亚来,有两个派欧尼亚人,一个叫披格列斯,一个叫做曼图埃司。他们两个人都自己想做派欧尼亚的僭主,而当大流士渡海到亚细亚时他们便来到撒尔迪斯,并且把他们的一个妹妹一同带来,这是一位身材硕长而姿容美丽的妇女。在那里, 一直等到大流士坐在吕底亚城郊外的王位之上这个机会到来时,他们才叫他 们的妹妹穿上他们有的最好的衣服,然后叫她出来打水。她头上顶着水瓶, 一只胳膊拉着马的缰绳,同时手里还纺着亚麻,当她经过大流士的时候,大 流士注意到了这个妇女,因为从她做的事情来看,她既不象是波斯人,又不 象是吕底亚人或任何亚洲民族。大流士注意到了这件事,他便派他的一些亲 卫兵,要他们看一下这个妇女拉着她的马是要干什么,因此这些亲卫兵便跟 在她的后面。她来到河边的时候便使马饮水,使马饮了水之后,便把他的水 瓶灌满了水,循着原路回来,头上顶着水瓶,胳膊牵看马同时用手转动纺锤。

    (13)大流士听到他派去侦察的人们的话和他亲眼看到的事情都感到十分 奇怪,于是他便下令把那个妇女带来见他。当她被带来的时候,那在近旁的 一个地方窥伺着这一切的她的两个哥哥也跟着来了。大流士问她是哪里的 人,年轻的男子就告诉他说他们是派欧尼亚人,这个妇女是他们的妹妹。大 流士又问派欧尼亚人是什么人,他们住在什么地方,他们又是为了什么来到 撒尔迪斯的。他们告诉他说,他们是前来投奔他的,派欧尼亚的城镇都是在司妥律蒙河的岸上,而这个司妥律蒙河是离开海列斯彭特不远的。他们又告 诉他说,他们是出身特洛伊的铁岛克洛伊人的移民。这便是他们告诉给他的 一切话。于是国王就问他们,他们那里的妇女是否都是非常能干活儿的。对 于这个问题,他们也立即回答说确是这样的。原来,他们此来的目的也正是 在于这一点。

    (14)于是大流士便写一封信给正被大流士留在色雷斯统率军队的美伽巴 佐斯,命令他把派欧尼亚人从他们的家乡迁移出来,并把他们以及他们的妻 子都带到他这里来。紧接着一名骑兵带着命令很快地向海列斯彭特驶去,而 在渡过海列斯彭特之后便把这信交给美伽巴佐斯了。美伽巴佐斯读了信之 后,从色雷斯取得向导,便率军向派欧尼亚进发了。

    (15)当派欧尼亚人知道波斯人正在向他们攻来的时候,他们便集合到一 起到海岸方面夫了,因为他们认为波斯人是会试图从那条道路向他们进攻 的。派欧尼亚人就是这样地准备邀击美伽巴佐斯大军的进攻,但波斯人知道 派欧尼亚人已经集结了他们的兵力并正在海岸地带戒备着攻入他们国内的道 路,于是他们找来了向导,改由内地的大道进军了。这样他们便完全出其不 意地攻击了派欧尼亚人并进入了已无男子留在里面的城市。在他们进攻时他 们发现城是空的,因此便他们就轻取了这些城市。派欧尼亚人知道他们的城 市已被攻克,便立刻作鸟兽散,各人走自己回乡的道路并向波斯人投降了。 这样,在派欧尼亚人当中,西里欧派欧尼亚人和帕伊欧普拉伊人以及住在一 直到普拉西阿司湖地方的所有的人便被强制地从自己的家乡迁移出去并且被 带到亚细亚来了。

    (16)但是在庞伽伊昂山(司妥律蒙以东)周边以及在多贝列斯人、阿格里阿涅斯人与欧多 曼托伊人的地区和普拉西阿司湖本身一带居住的人们,却是无论如何也没有 在美伽巴佐斯面前屈服。他也曾试图强行把湖上的居民(意大利北部、爱尔兰和西欧其他地区都曾发现这一类的住居遗址)迁移开去。他们是这 样地居住在湖上的。在湖中心的地方有一个绑扎在高柱上面的板台,从陆地 上有一个狭窄的板桥通到那里去。支着板台的柱子是全体部落居民在古昔的 时候共同建立起来的,但是后来他们作了这样的一个规定,来安设湖上的柱 子。原来木柱是从欧尔倍洛司山取得的,每一个结婚的男子都要为他所娶的 每一名妇女从那里取得三根木柱;而且他们每个人都有许多妻子。至于他们 的生活方式,板台上的每一个人都有他自己住的一间小屋,而每个人在板台 上都有一个通到下面湖里去的墜门。为了不使小孩子掉到湖里去,他们用绳 子系住孩子的脚。他们用鱼来喂马和他们的驮兽,他们有这样多的鱼,以致 一个人只要打开他的墜门把一个空篮子用绳子放到湖里去,不大的时光他便 把满篮子的鱼曳上来了。那里的鱼有两种:一种叫做“帕普拉克司”,一种 叫做“提隆”。

    (17)这样,派欧尼亚人当中被征服的那些人就被迁移到亚细亚来了。美 伽巴佐斯既然俘虏了派欧尼亚人,便把军中身分仅次于他的七个波斯人作为 使者派住马其顿。这些人是奉派到阿门塔斯那里去为国王大流士要求士和水 的。从普拉西阿司湖到马其顿有一条非常便捷的短路。因为首先接着普拉西 阿司湖就是那个后来亚力山大每天可以取得一塔兰特白银的矿山,而当一个 人经过这个矿山之后,他只需越过称为杜索隆的一座山便到马其顿了。

    (18)奉派的这些波斯人到阿门塔斯这里来见到他之后,便为国王大流士 要求土和水。他答应了他们的要求,把他们当作客人招待,邀请他们参加盛 大的宴会并给以热诚的款待。但是在宴会之后,他们坐在一起会饮的时候, 波斯人向阿门塔斯说:“马其顿主人,我们波斯人的习惯是在举行任何的盛 大宴会之后,还把妻妾们召来,要她们侍坐在男子的身旁。现在既然你热诚 地接待并隆重地款待了我们,而且又把土和水给了我们的国王大流士,那就 请你遵守我们的习惯罢”。但是阿门塔斯回答说:“波斯人,我们没有这样 的习惯,我们有我们自己的习惯。我们是男女不同席的。但你们既然是我们 的主人并且这样要求了,那末就照着你们的愿望来办罢”。阿门塔斯这样说 看,便遣人把妇女们召了来:她们应召来到之后,便在波斯人的对面坐下了。 波斯人当时看到姿容秀丽的妇女坐在自己的面前,便向阿门塔斯说,他的这 种做法是毫无意义的;他们以为如果妇女来到这里不坐在男子的身旁而坐在 他们的对面叫他们看着难过,那就反而不如不来了。阿门塔斯不得已而命令 妇女们坐在他们的身旁,当她们这样做的时候,那些喝得酩酊大醉的波斯人 便用手摸这些妇女的胸部,有的人甚至试图去吻她们。

    (19)阿门塔斯看到了这一切,尽管他心中怒恼:却按着性子不曾发作起 来,因为他是非常怕波斯人的。但阿门塔斯的儿子亚力山大,由于年纪轻再 加上没有经验过什么不幸的事情,他无论如何再也忍耐不住,便十分愤怒地向阿门塔斯说:“父亲,您已经上了年纪,应当离开这里回去休息,不要再毫无节制地饮酒了。但是我却要留在这里照料客人,以便给他们所需要的一 切”。阿门塔斯看到亚力山大心里已有了蛮干的打算,于是便向他的儿子说: “儿啊,你现在是十分恼怒了,如果从你的话我推测得不错的话,你是想把 我送走以便你可以在这里蛮干。至于我呢,那末我请求你,不要对这些人做 出横暴的事情,否则遭殃的正是我们自己,因此还是忍耐忍耐让他们任所欲为罢。不过你要是请我退席的话,那我是同意这样做的”。

    (20)阿门塔斯作了这样的请求之后便退去了,于是亚力山大就向波斯人 说:“客人们,你们有充分的自由来处理这些妇女,你们可以和她们全体或 其中任何人发生关系。对于那件事,你们是愿意怎样就怎样的。但是现在既 然快到了你们休息的时候,而我看到你们又都饮得酩酊大醉,那末如你们愿 意的话,请容许这些妇女离开这里去沐浴,而她们沐浴之后,再要她们回到 你们的地方来”。他这样说了之后,波斯人同意了,于是他在妇女出去后把 她们送到后宫,随后亚力山大便把同样数目脸上无髭的男子打扮成妇女模样 并且把匕首交给了他们。他把这些人带了进来,进来之后他就向波斯人说: “波斯人啊,我想我们招待的饮宴已经使你们完全心满意足了,我们所有的 一切以及此外我们所能弄得到的一切我们都放在你们的面前了,而现在我们 把我们最好的最贵重的财产毫不吝惜地提供抬你们,这就是我们自己的母亲 和姊妹。这样你们就会看到,我们已经把你们应得的充分的尊敬给了你们, 请告诉把你们派来的你们的国王,他那担任马其顿太守之职的希腊人怎样地 在饮食方面和女色方面款待了你们”。这样说了之后,亚力山大便命令他的 打扮好的马其顿男子每人侍坐在一个波斯人的身旁,就仿佛他们自己都是妇女:而当波斯人动手摸他们的时候,他们就被这些马其顿人杀死了。

    (21)波斯的使者们就这样地给结束了性命,他们的扈从也未能例外,因 为和使者们同来的有车马、有仆役和他们所带着的那大量的全部行李;马其 顿人消灭了所有这一切,就和他们消灭了全体使者本身一样。在这之后不久, 波斯人就为了这些人进行了一次大规模的搜索。但是亚力山大却有足够的智 谋来了结这件事,他的办法是把一大笔金钱和他的亲生妹妹巨该娅送给一个 叫做布巴列斯的波斯人,这个人就是那些奉派寻找遇害的人们的队长。他用 这份礼物中止了搜索。结果这些波斯人的死亡便给隐蔽起来而且没有人再提 起这件事了。

    (22)培尔狄卡斯的这些后裔象他们自己所说的那样是希腊人,这件事我 自己是偶然得以知道的,而在我的历史的后面还要证明这件事的。而且,那主持奥林匹亚比赛会的海列诺迪卡伊(主持奥林比亚比赛会的埃里司公民,通常是十个人)也认为事情是这样的。因为当亚力山大 要参加比赛并且为了这个目的而进入比赛场的时候,和他赛跑的那些希腊人 却不许他参加比赛,他们说比赛是希腊人之间的比赛,外国人是没有资格参 加的。但是亚力山大却证明自己是一个阿尔哥斯人,因此他被判定为一个希 腊人。在他跑一斯塔迪昂的时候,他是和另一个人共同取得第一名的。这些 事情的结果就是这样的了。

    (23)但是美伽巴佐斯却带着派欧尼亚人来到海列斯彭特了,他从这里渡 海来到了撒尔迪斯。但这时米利都人希司提埃伊欧斯正在由于他守卫桥梁之 功而请求大流士赏赐的那个地方,即司妥律蒙河畔称为米尔启诺司那个地方 修筑工事。美伽巴佐斯知道了希司提埃伊欧斯正在做什么事之后,便在他和 派欧尼亚人到达撒尔迪斯之后,立刻就向大流士说:“主公,你所干的是什 么事情啊?你竟允许一个奸诈而又狡猾的希腊人在色雷斯筑城。而提起色雷 斯这样的一个地方,这里有丰富的造船用的木材,有许多的桡材和银矿,四 周又住着许多希腊人和异邦人。这些人如果一旦拥戴他为领袖,他们就会不 分日夜地按照他的命令行事了。如果你不想和你自己的臣民发生内战的话,那还是要这个人停止干这样的事情罢。但是要做到这一点,只需用温和的手 段把他召来就行了。而当你一旦把他控制到手的时候,只注意永远不要使他 再回到希腊便是了”。

    (24)大流士立刻便同意了这一点,因为他认为美伽巴佐斯对事情的预见是正确的。于是他立刻派使者送这样一个信到米尔启诺司: “国王大流士致书希司提埃伊欧斯,我在考虑之后,觉得没有一个人对 我和对我的国家比你更忠诚了。证明这一点的不是言语而是行动。因此不要 叫任何事物阻止你到我这里来,因为我要向你倾诉我心中的一些伟大的计划”。希司提埃伊欧斯相信了这些话,而且更由于他会成为国王的顾问而感 到骄傲,于是他就到撒尔迪斯来了。当他来到的时候,大流士便对他说:“希司提埃伊欧斯,我要告诉你把你召来的理由。在我从斯奇提亚回来而你离开了我的时候,我心中最迫切想望的事情就是看到你和与你谈话了。因为我知道一切财富中最宝贵的就是一位忠诚的和有智慧的朋友了。而且我可以用我个人的经验来证明,你对于我可以说是二者兼备的。因此,既然这次你到这里来得很好,我向你作这样一个建议,离开米利都和你新建的色雷斯的城市,和我一同到苏撒去,到那里去享有我的一切东西,与我同食并与我共同议事 吧”。

    (25)这就是大流士讲的话,而在任命他的同父兄弟阿尔塔普列涅斯担任 撒尔迪斯的太守之后,他便把希司提阿伊欧司带在自己的身旁到苏撒去了。 但是他首先就任命欧塔涅斯为海岸地区居民的统治者。欧塔涅斯的父亲西撒 姆涅斯曾是王室法官之一(见第三卷第三一节),但他由于受贿而审判不公,曾被刚比西斯杀死并 被剥下全身的皮,然后刚比西斯把从他身上剥下来皮切为皮带,用来蒙复在 西撒姆涅斯曾坐下来进行审判的座位上面;这样做了以后,刚比西斯便任命 了这个被杀死和剥皮的人的儿子来代替这个被杀死和剥皮的西撒姆涅斯,并 诫告他要记住他是坐在怎样的椅子上进行审判的。

    (26)而正是坐在这样的椅子上的欧塔涅斯,继美伽巴佐斯之后而担任统 帅。他攻陷了拜占廷和迦太基,又攻陷了特洛伊领的安唐德罗斯,此外还攻 陷了拉姆波尼昂。他从列斯波司人那里夺得了船舶,而他便用这些船舶征服 了当时还住着佩拉司吉人的列姆诺斯和伊姆布罗斯。

    (27)然而列姆诺斯人是善战的,他们保卫了自己,直到他们终于遭到灭 亡的厄运的时候。于是波斯人便任命一个人来统治列姆诺斯人的残余,这就 是曾经是萨摩司的国王的迈安多里欧司的兄弟律卡列托司。这个律卡列托司 是他在统治列姆诺斯的期间死去的……原因是他力图奴役和征服所有的人 民,说他们之中有些人逃避对斯奇提亚人战争的兵役,说另一些人在大流士 的军队从斯奇提亚回师时对之乘火打劫。

    (28)当欧塔涅斯被任命为统帅时,他所做的一切就是这些。在这之后, 当灾祸的事情暂时停止的时候,从那克索斯和米利都方面再一次开始有灾祸 到临伊奥尼亚人的头上来了。原来那克索斯和所有其他的岛屿比起来是最繁 荣的,而大约在同时,米利都那时也是正在它的全盛时代,以致它被称为伊 奥尼亚的花朵。但是在这之前两代,它却受到了很大的分裂的痛苦,直到米 利都人从全体希腊人当中选出了帕洛司人为恢复和平生活的调停者,而帕洛 司人又在他,们中间恢复了和平的时候为止。

    (29)帕洛司人是用这样的办法为他们进行了调解的:他们的最优秀的人 物来到了米利都,而在他们看到米利都的家宅荒废得很惨的时候,就说他们 要到国内各地去看看。他们这样做了,于是他们访问了米利都的全部领土, 他们在荒废的土地当中不拘什么时候只要发现任何耕作良好的农庄,他们就 把农庄主人的名字记下来。然后在巡视了全国并发现了不过很少数这样的人 之后,他们一返回城内,立刻便把人民集合起来,任命那些他们发现把土地 耕种得良好的人为国家的统治者。原来他们认为,这些人对于国家大事也会 象对于他们自己的事一样照料得很好的。于是他们便命令其余那些曾经相互 不和的米利都人都应该服从这些人。

    (30)帕洛司人这样就在米利都恢复了和平。但现在这些城市却开始给伊 奥尼亚带来了麻烦,事情的原委是这样。有一些富裕的人被市民从那克索斯 赶了出来之后,这些人便逃到了米利都。但这时代表大流士治理米利都的恰 巧是给大流土留在苏撒的吕撒哥拉斯的儿子希司提埃伊欧斯的从兄弟和女婿 莫尔帕戈拉司的儿子阿里司塔哥拉斯,因为希司提埃伊欧斯是米利都的僭 主,而当过去从来是希司提埃伊欧斯的盟友的那克索斯人到来的时候,他正 在苏撒。而那克索斯人在他们来到米利都的时候,便问阿里司塔哥拉斯,他 是否多少给他们一些兵力,以便使他们返回自己的国土。考虑到如果由于他 的力量而他们被送回他们的城市的话,那他自己就会成为那克索斯的统治 者,于是他就以他们是希司提埃伊欧斯的朋友为借口,向他们建议说:“对 我来说,我并没有权利违反着掌握了你们城市的那克索斯人的意思而给你们 兵力来使你们返回国土,因为我听说,那克索斯人拥有八千名持盾的步兵和 许多战舰,但是我将尽一切的努力来为这件事设法。我的办法是这样。阿尔 塔普列涅斯是我的朋友;但是你们知道,阿尔塔普列涅斯是叙司塔司佩斯的 儿子和国王大流士的兄弟,他是亚细亚沿海各族人民的统治者,并且拥有一 支巨大的陆军和许多舰船。我想这个人会按照我们所希望的去做的”。那克 索斯人听到这话之后,便把这件事托付给阿里司塔哥拉斯任凭他尽可能完善 地去处理,嘱他保证士兵的赠礼和费用,而他们是愿意担负起这一切的。因 为他们指望当他们一出现在那克索斯的时候,那克索斯人就会遵守他们的一 切的命令。而其他的岛上居民也会这样做,因为在这些库克拉戴斯诸岛当中, 还没有任何一个岛是臣服于大流士的。

    (31)阿里司塔哥拉斯到了撒尔迪斯就告诉阿尔塔普列涅斯说,那克索斯 实际上不是一个大岛,但是在另一方面它却是一个美好的和肥沃的岛并且是 接近伊奥尼亚的。同时在那里还有巨大的财富和大量的奴隶。“因此你可以 派遣一支军队去攻打那个地方,把从那里被放逐出来的人带回去。而如果你 这样做的话,除去出征的费用之外(因为这是把你请来的我们理当负担的), 我还为你准备了一大笔钱。此外,你还会为国王赢得新的领土,那克索斯本 土和属于它的诸岛帕洛司、安多罗斯以及其他所谓库克拉戴斯诸岛。以这些 地方作为你的根据地,你将会容易地进攻埃乌波亚岛,这是一个富裕的大岛, 它不比赛浦路斯小并且是很容易攻取的。要征服所有这些地方,一百只船足 够用了”。阿尔塔普列涅斯回答说:“你所提出的这个计划对于王室是有利 的。除去船数这一点之外,你的意见完全是好的。当春天来到时,不是一百 只,而是二百只船为你准备着。不过国王自己也必须同意这一点”。

    (32)当阿里司塔哥拉斯听到这话之后,他便十分高兴地到米利都去了。 阿尔培普列涅斯派一名使者带着阿里司塔哥拉斯所说的话到苏撤去,大流土 本人也同意了这个计划,于是他便装备了二百只三段桡船,此外还有一支由 波斯人及其盟友组成的非常庞大的军队,并任命美伽巴铁斯为他们的统帅。 美伽巴铁斯是阿凯美尼达伊家的波斯人,对他自己和对大流土来说都是堂兄 弟的关系。而如果这个说法是真实的话,则正是这个人,他的女儿后来和拉 凯戴孟人克列欧姆布洛托斯的儿子帕乌撒尼亚斯订了婚,因为帕乌撒尼亚斯 是渴望成为希腊的僭主的。阿尔塔普列涅斯任命美伽巴铁斯为统帅之后,便 把他的军队派到阿里司塔哥拉斯那里去了。

    (33)于是美伽巴铁斯(美伽巴铁斯的出征是在四九九年)便从米利都把阿里司塔哥拉斯和伊奥尼亚军以及 那克索斯人载到船上,好象是要向海列斯彭特进发的样子,但是当他来到岐奥斯的时候,他却把自己的船只停泊在卡岛卡撒(岐奥斯的西南岸),为的是他可以乘着北风一直渡海到那克索斯去。但是由于那克索斯人并不是命中注定要毁在这支远征 军的手里,因此发生了下面的一件事情。原来正当美伽巴铁斯到各处巡视船 上的哨兵的时候,恰巧在孟多司人的那只船上没有哨兵。美伽巴铁斯十分愤 怒,于是命令他的卫兵把这只船的名叫司库拉克斯的船长找来,把他绑起来, 把他一半的身子插到桡孔里面去,头朝外,身子在内。司库拉克斯这样被绑 了起来,但是有人带信给阿里司塔哥拉斯说他的孟多司的朋友被绑了起来并 且受到了美伽巴铁斯的侮辱。于是阿里司塔哥拉斯便前来请求波斯人释放司 库拉克斯,但是他的要求丝毫未得到允许。于是他自己前来把这个人给释放 了。当美伽巴铁斯听到这件事之后,他非常愤怒而到阿里司塔哥拉斯的地方 来大发雷霆。但是阿里司塔哥拉斯说:“这些事情和你有什么关系?阿尔塔 普列涅斯不是派你来服从我并且按照我吩咐你的方向航行吗?你为什么这样 多管闲事?”这就是阿里司塔哥拉斯的话。但为此而十分激怒的美伽巴铁斯 在夜里却派人乘船到那克索斯去,把要对他们所干的事情原原本本地告诉他 们了。

    (34)原来那克索斯人根本就没有怀疑到,他们竟会是这次远征的目标。 然而,当他们得到这个消息的时候,他们立刻便把郊外的物资搬到城里,储 下了防备围攻的饮食品并且加强了城防。这样他们对即将到来的进攻作了一 切准备,而当他们的敌人率领船只从岐奥斯来到那克索斯时,他们进攻的城 市已经防御好了。于是他们就围攻了四个月。而当着波斯人把他们所带来的 军资消耗净尽,此外阿里司塔哥拉斯又消耗了他个人的大量金钱之后,要继 续进行围攻,便需要更多的金钱,于是他们便给亡命的那克索斯人构筑了一 座要塞,他们自己则非常不得意地返回大陆去了。

    (35)阿里司塔哥拉斯没有办法履行他对阿尔塔普列涅斯的保证。他没有 办法筹措远征的费用,他又担心军队的失利和美伽巴铁斯对他的私怨会给他 带来不良的后果。他又以为他在米利都的统治权可能被剥夺。既然他心里有 这一切的顾虑,他就开始计划叛乱了。因为正好在那个时候,希司提埃伊欧 斯的使者从苏撒来到那里,这是一个头上刺上了记号的人,这个记号表示阿 里司塔哥拉斯应该谋叛国王了。因为希司提埃伊欧斯很想送一个记号给阿里 司塔哥拉斯要他谋叛。但是他没有其他的安全的送信的办法,因为来往的道 路都是受了监视的。于是他就剃光了他的最信任的奴隶的头并在这个奴隶的 头上刺上了记号,一直等到这个奴隶的头发再长起来的时候。头发一经再长  起来,他便把这个奴隶派遣到米利都去,这个人没有带着他的什么别的信, 他只是嘱告阿里司塔哥拉斯在剃光这个奴隶的头发之后检查他的头部。刺在 头上的记号是表示要他谋叛,这一点前面我已经提到了。希司提埃伊欧斯所 以这样做,是因为自己被强制拘留在苏撒,对这一点他是感到非常不幸的。 但是现在他却有了一个很大的希望:即一旦发生了叛变,他就会就给派到海 岸地带去,如果米利都那里不发生任何事情,那他便永远也回不到那里去了。

    (36)希司提埃伊欧斯便是带着这个意图派出了他的使者的,而且巧的是 这一切事情都是同时发生在阿里司塔哥拉斯身上的。于是他和他的同党进行 了商谈并发表了自己的意见以及希司提埃伊欧斯给他送来的信。所有其他人 等都赞成他的做法,同意发起叛乱,但例外的只有历史家海卡泰欧斯一个人。 他向他们历数臣服于大流士的一切民族以及大流士的全部力量,因而劝他们 最好不要对波斯的国王动武。但是当他们不听从他的意见的时候,他便劝告 他们说,其次一个最好的办法便是使自己取得海上的霸权。他在他的发言中 说,(既然米利都是一个实力脆弱的城市),因此在他看来,办法只能有一个, 那就是:如果吕底亚人克洛伊索斯奉献给布朗奇达伊的神殿的财富都给他们 劫夺过来的话,他便很可以希望他们会取得海上的霸权,这样他们便可以把 这笔钱用作军费,而且他们的敌人也不能夺走它。在我这部历史的开头的部 分里我已经说过,这笔财富是非常庞大的。但是大家并不同意他的这个意见。 虽然如此,他们仍然决定不发起叛变,而他们中间的一个人则应乘船到米欧 司去,到离开了那克索斯并驻到那里的船队的地方去,打算擒拿在那些船上 的将领们。

    (37)为了这个目的而被派去的雅特拉哥拉司用计谋拿捉了美拉撒人伊巴 诺里司的儿子欧里亚托司、铁尔美拉人图姆涅斯的儿子希司提埃伊欧斯、大 流士赠以米提列奈的埃尔克桑德罗司的儿子科埃斯、库麦人海拉克利戴斯的 儿子阿里司塔哥拉斯和此外其他许多人。这样做了之后,阿里司塔哥拉斯便 公然叛变,想出一切他能够做到的办法来和大流士相对抗。首先他就故意放 弃了他的僭主地位并使米利都的人们获致平等的权利,以便使米利都人可以 立刻参加他的叛变的行动,然后对于伊奥尼亚的其他地方他也这样做了。他 放逐了一些僭主,至于他从与他一同出征那克索斯的战船上捉拿来的那些僭 主,他把他们分别引渡到他们原属的城邦去,因为他是想取悦这些城邦的。

    (38)因此当米提列奈人把科埃斯接受下来以后,就立刻把他拉出来用石 头砸死了。但是库麦人却放走了他们僭主,其他各城邦的做法也是这样。这 样一来各个城邦的僭主便都给废黜了。米利都的阿里司塔哥拉斯把僭主们取 消之后,便命令各个城邦任命自己的统帅;随后他自己便乘坐着一艘三段桡 船出使到拉凯戴孟去,因为他认为,他是有必要寻求一个强大有力的同盟者 的(阿里司塔哥拉斯是在四九九年到拉凯戴孟去的)

    (39)在斯巴达,国王列昂的儿子阿那克桑德里戴斯现在已经不在人世而 死去了,执掌王权的则是阿那克桑德里戴斯的儿子克列欧美涅斯。他所以获 致王权并不是由于德能而是由于他的出生的权利。因为阿那克桑德里戴斯娶 了自己的亲姊妹的女儿,而且对于这个妻子他是很宠爱的。然而他们却没有 孩子。既然如此,五长官就把他召了去对他说:“尽管你自己不关心你自己 的利益,但我们仍然不忍坐视埃乌律司铁涅斯一家绝嗣。因此既然你的妻子不能给你生子,那末就把他打发走再娶一位罢。你这样做,斯巴达人便欢喜 了。”但是阿那克桑德里戴斯却回答说二者他都不愿意做,他说,他们要他 送走他那对他毫无忤犯的妻子而娶另一个的劝告是不当的,因此他不同意这 样做。

    (40)于是五长官便和元老们进行商议并向阿那克桑德里戴斯作了如下的 建议:“既然,如我们亲眼看到的,你十分宠爱你现在的妻子,那末就按照 我们的办法去做而不要违抗,免得斯巴达人会作出对你非常不利的决定来。 至于你现在的妻子,我们不请求你把她送走,而仍然把你现在给她的一切东 西给她,不过你要另娶一位可以给你生子的妻子。”他们是这样说的,阿那 克桑德里戴斯同意了。他从此便有了两个妻子,两个家,这样的事在斯巴达 是从来没有过的。

    (41)不久之后,他的第二个妻子就生下了上面所说的克列欧美涅厮。这 样,她就使斯巴达人有了一位王储。然而真是事有凑巧,那从来没有生育的 第一个妻子这时也怀孕了。她既然真地怀了孕,第二个妻子的朋友们知道了 这件事之后就开始想在她身上找麻烦;他们说她是在瞎吹,并且说她是会用 假孩子来代替的。正当他们对她十分恼怒的时候,在这期间,她快要临盆了, 五长官不相信她,便坐成一圈在她生产时监视着她:她最初生了多里欧司, 随后很快地就生了列欧尼达司,在他之后很快地又生了克列欧姆布洛托斯; 但有人说多里欧司和列欧尼达司是孪生兄弟。但是他第二个妻子,克列欧美 涅斯的母亲,也就是戴玛尔美诺斯的儿子普里涅塔达司的女儿,却再没有生孩子。

    (42)故事说,克列欧美涅斯的精神不正常而是疯疯颠颠的。但是多里欧 司在与他相同年龄的一切人当中却是出众的。而他自己也深信他会因他的道 德才能而成为国王。既然多里欧司有这样的打算,因此当阿克那桑德里戴斯 死去而拉凯戴孟人按他们的风俗习惯立长子克列欧美涅斯为王的时候,他就 非常地恼怒,并且不能忍耐做克列欧美涅斯的臣民。于是他便请求斯巴达人 拨给他一批人和他一起出去开辟殖民地:他既不到戴尔波伊去请示神托他应 当到哪里去开辟殖民地,也不做任何习惯上应当做的事情。他在盛怒之下放 海到利比亚去,而以铁拉人为其向导。他来到这里,定居在奇努普司河的沿 岸,这是利比亚的最好的地方。但是在第三个年头,他却被玛卡伊人、利比 亚人和迦太基人所逐而返回了伯罗奔尼撒。

    (43)一个埃列昂(在贝奥提亚的塔那格拉的附近)人安提卡列司,根据拉伊欧司的一次神托,在那里劝他 在西西里的海拉克列亚地方建立一个殖民地。因为安提卡列司说,海拉克列 斯自己曾征服了埃律克斯的全部地区,而这一地区是属于他的后人,即海拉 克列达伊家的。当多里欧司听到这话时,他便到戴尔波伊去请示神托,问他 是不是应当征服他准备去的那个地方:佩提亚告他说他应当这样做,于是他 便带着他曾经率领着去利比亚的一行人等出发到意大利去了。

    (44)在这个时候(约510年),依照叙巴里斯人的说法,他们和他们的国王铁律司正 准备出征克罗同,而克罗同人听到消息之后大感恐慌,便请求多里欧司前来 帮助他们。他们的请求得到了允许。多里欧司和他们一同到叙巴里斯去并帮 他们攻取了这个地方。叙巴里司人关于多里欧司和他的一行人等的说法就是这样。但是克罗同人却说。在他们对叙巴里斯作战的时候,除去雅米达伊族 的一个埃里斯的卜者卡里亚斯之外,并没有异邦人帮助他们。关于这个人, 故事说他曾从叙巴里斯的僭主铁律司那里逃到克罗同去,因为当他为了进攻 克罗同而奉献牺牲时,并没有看到有利的预兆。这便是他们的说法。

    (45)这两个城邦都提供证据,证明他们所说的话是真实的。叙巴里斯人 所提供的证据是克拉提斯河的干涸的河道旁边的一座神殿和圣域,他们说这 是多里欧司在帮助攻克了这座城市之后,为了冠以克拉提亚之名的雅典娜神 而修造起来的。此外他们还提出了他的死亡这一最有力的证据,因为他是做 了有悖于神托指示的事情才遭到灭身之祸的。原来,如果他只做他原来预定 耍他做的事情而不做任何本分之外的事情,那末他就会攻克并据有埃律克斯 地区,而他和他的军队也就不会死掉了。但是另一方面,克罗同人却提供了 在克罗同境内特别给埃里斯人卡里亚斯的许多作为赠礼的土地,而卡里亚斯 的后人直到我的时代还是住在这些土地上面的,但是他们说,没有把礼物给 予多里欧司和他的后人。他们还说,如果多里欧司帮助他们对叙巴里斯作战 的话,那他所得的礼物一定会比给卡里亚斯的礼物多许多倍了。这便是双方 所提出的证据。人们可以选择他们认为最可信的一方面。

    (46)其他的斯巴达人也和多里欧司一同乘船出发去建立殖民地,这些人 是帖撒洛司、帕拉依巴铁司、凯列厄司和埃乌律列昂。这些人和全军人等来 到西西里之后,便在一次战斗中给腓尼基人和埃盖司塔人战败并被杀死了。 在这些人当中从惨祸之中得到生存的殖民者只有埃乌律列昂一个人,他把他 的残余军队集合起来,占领了赛里努司人的殖民市米诺阿,并且帮助赛里努 司的人民摆脱掉了他们的国王毕达哥拉斯的统治。在废黜了这个人之后,他 自己便试图成为赛里努司的僭主,并且统治了那个地方,不过为时不久:因 为当地的人民起来反抗他并且在宙斯·阿哥莱伊欧司(市场的宙斯) 的祭坛那里把他杀死了,因为他曾经逃到那里去避难。

    (47)与多里欧司同行并和他一同遇难的还有克罗同人布塔启戴司的儿子 披力波司。他曾和叙巴里斯的铁律司的女儿订婚并给从克罗同放逐出来。但 是他对于婚事感到失望,因此他便乘船到库列涅去,从那里他又追随着多里 欧司出发;他带着他自己的三段桡船并且为他的船员负担一切费用。这个披 力波司是奥林四亚赛会的一个胜利者,是他当时最出色的希腊人。由于他的 美貌,他从埃盖司塔人那里接受了他们从来没有给过其他任何人的荣誉。他 们在他的坟墓的近旁建立了一座神殿并且向他奉献牺牲来奉祀他。

    (48)多里欧司的死亡的情况就是这样。如果他容忍克列欧美涅斯的统治 并且留在斯巴达的话,他是会成为拉凯戴孟的国王的;因为克列欧美涅斯统 治的时期并不长久,他死的时候没有儿子而只有一个名叫戈尔哥的女儿。

    (49)现在再说,米利都的僭主阿里司塔哥拉斯来到斯巴达的时候,正是 克列欧美涅斯当政的时候。根据拉凯戴孟人的说法,当他和国王会谈的时候, 他带着一个青铜板,板上雕刻着全世界的地图,地图上还有所有的海和所有的河流(根据斯特拉波的说法,在这个时期的前后,阿那克西曼得发明了地图)。在得到允许与克列欧美涅斯面谈的时候,阿里司塔哥拉斯便向他这 样说:“克列欧美涅斯,我这样热心地特地赶到这里来请你不要觉得奇怪罢。 因为我们目前的情况是这样。伊奥尼亚人的儿子们要成为奴隶而失掉自由, 这件事对于所有其他的人们,其中包括你们这些全体希腊人的首脑,特别是对于我们自己,都是一个莫大的耻辱和痛苦。因此我们借着希腊诸神的名字 来请求你们,把你们的伊奥尼亚的同胞从奴役中拯救出来罢。这在你们是一 件容易办到的事情。因为异邦人并不是勇武有力的,但你们在战斗中的勇敢 却是首屈一指的。至于他们的作战方法,则他们是使用弓箭和短枪的。他们 在出发作战时,腿上穿着裤子而头上则裹着头巾,因此要征服他们是一件容 易的事情。此外,那一大陆的居民比所有其他的人们加在一起都有更多的好 东西,首先是黄金,还有白银和青铜、色彩绚烂的衣服、驮畜和奴隶;这一 切的东西你们可以随心所欲地取得。而他们所居住的国土是相互邻接的,下 面我就把这情况告诉你们。这里是伊奥尼亚人,这里是吕底亚人,他们居住 的土地是肥沃的并且生产极多的白银。”他说着,便指着他所带来的雕刻在 青铜板上的地图。随后,阿里司塔哥拉斯又说:“紧接着吕底亚人的东面居 住的是普里吉亚人,据我所知,他们的家畜和谷物之多是世界上任何其他人 都比不上的。紧接着他们的则是卡帕多启亚人,我们则称他们为叙利亚人。 而他们的邻人则是奇里启亚人,奇里启亚人的土地一直伸展到那边的海上 去,而赛浦路斯岛就是那边海上的;他们每年缴给国王的贡税是五百塔兰特。 和奇里启亚人相接的就是阿尔美尼亚人,这又是一个富有牲畜的民族;接着 阿尔美尼亚人的是领有我指给你的这块土地的玛提耶涅人。你还看到奇西亚 的土地接连着他们的土地,在那里,就在那个科阿斯佩斯河的岸上,有住看 大王的那座苏撒城,那里还有收藏看他的财富帑币的宝库。你们如果把这座 城攻取下来,那你们就甚至不需要害怕和宙斯斗富了。老实说罢,你们必得 和与你们同样强悍的美塞尼亚人,和阿尔卡地亚人与阿尔哥斯人作战是为了 什么呢?对美塞尼亚人作战还不是为了既狭窄、又不肥沃的土地,而阿尔卡 地亚人和阿尔哥斯人却又没有可以驱使人们为之战死的黄金或白银。当你们 可以轻易地成为全亚细亚的统治者的时候,你们又有什么理由不这样做 呢?”这便是阿里司塔哥拉斯所讲的话。而克列欧美涅斯回答说:“米利郡 的客人,关于这件事情,两天之后等候我的答复吧”。

    (50)他们的谈话就到此为止了。但是当着指定给予回答的那天,他们来 到他们相互约定的地点时,克列欧美涅斯同阿里司塔哥拉斯从伊奥尼亚海到 国王的地方一共是多少天的路程。到当时为止,阿里司塔哥拉斯一直都是很 狡猾的并且巧妙地欺骗了这个斯巴达人,但是在这里他却失算了。原未。如 果他想把斯巴达人引诱到亚细亚去的话,他是永远不应当讲老实话的。然而 这一次他讲了并且说从海向内陆是三个月的路程。克列欧美涅斯一听这话, 立刻不要阿里司塔哥拉斯再谈他开始说的关于路程的所有其他的事情,并且 向他说:“米利都的客人,请你在日没之前离开斯巴达罢,如果你说你要把 拉凯戴孟人从海岸引向内地走三个月的话,那他们是不会听从你的计划的”。

    (51)克列欧美涅斯这样说了之后,便返回自己的宫殿去了。但是阿里司 塔哥拉斯却拿了表示请求庇护的橄榄枝到克列欧美涅斯那里去,而在他进入 之后,他便利用请求庇护的人的权利请求克列欧美涅斯听他讲话,但首先要 把孩子们打发开去,因为克列欧美涅斯的那个名叫戈尔哥的女儿正站在他的 身旁。她是他的独生女儿,大约有八九岁。克列欧美涅斯嘱告他把他愿意说 的话讲出来,不要因这个女孩子在场而有所顾虑。于是阿里司塔哥拉斯便答 应给克列欧美涅斯十塔兰特,如果克列欧美涅斯答应他的请求的话。克列欧 美涅斯拒绝了,于是阿里司塔哥拉斯便一直在增加他答应给克列欧美涅斯的 钱,直到他增加到五十塔兰特的时候,那个女孩子便叫了起来说:“爸爸, 你躲开他走罢,不然这个生人会把你毁了的”。克列欧美涅斯很高兴他的女 儿的劝告,于是到另一间屋子去了。阿里司塔哥拉斯无计可施,只好老老实 实地永久离开了斯巴达,因而他竟没得到机会向下叙说从海到内地国王的地 方的路程。

    (52)下面我要讲一讲这条路的情况(从撒尔迪斯到苏撒的这条道路比波斯帝国要古老得多。现在有证据表明在卡帕多启亚有喜特的一个首都,而这条道路的目的就是把这个首都和一面的撤尔迪靳与另一面的亚述联结起来)。在这条道路的任何地方都有国王的驿馆(国王的信使住在这些驿馆里,他们把信送到下面一个驿馆后再回到自己的驿馆)和极其完备的旅舍,而全部道路所经之处都是安全的、有人居住的地 方。在它通过吕底亚和普里吉亚的那一段里,有二十座驿馆,它的距离别是九十四帕拉桑该斯半。过去普里吉亚就到了哈律司河,在那里设有一个关卡, 人们不通过这道关卡是绝对不能渡河的,那里还有一个大的要塞守卫着。过 了这一段之后便进入了卡帕多启亚,在这个地方里的路程直到奇里启亚的边 境地方是二十八个驿馆和一百 0 四帕拉桑该斯。在这个国境上你必须通过两 个关卡和两座要塞;过去这之后,你便要通过奇里启亚,在这段路里是三个 驿馆和十五帕拉桑该斯半。奇里启亚和阿尔美尼亚的边界是一条名叫幼发拉底的要用渡船才可以过去的河。在阿尔美尼亚有十五个驿馆和五十六帕拉桑 该斯半,而那里有一座要塞。从阿尔美尼亚,道路便进入了玛提耶涅的地带, 在那里有三十四座驿馆,一百三十七帕拉桑该斯长。四条有舟楫之利的河流 流经这块地方,这些河流都是要用渡船才能渡过去的。第一条河流是底格里斯河。第二条和第三条河流是同名的,但它们不是一条河,也不是从同一个水源流出来的(指两条札布河);前者发源于阿尔美尼亚人居住的地方,后者则发源于玛提耶 涅人居住的地方。第四条河叫做金德斯河,就是被居鲁士疏导到三百六十道 沟渠中去的那个金德斯河(见第一卷第一八九节)。过去这个国土,道路便进入了奇西亚的地带,在 那里有十一座驿馆与四十二帕拉桑该斯半长,一直到另一条可以通航的河 流,即流过苏撒的那条科阿斯佩斯河。因此全部的驿馆是一百十一座。这样看来,从撒尔迪斯到苏撒,实际上便有这样多的停憩之地了。

    (53)如果这王家大道用帕拉桑该斯我计算得不错的话,如果每一帕拉桑该斯象实际情形那样等于三十斯塔迪昂的话,则在撒尔迪斯和国王的所谓美姆农宫之间,就是一万三千五百斯塔迪昂了,换言之,也就是四百五十帕拉桑该斯;而如果每日的行程是一百五十斯塔迪昂( 在Ⅵ.101,希罗多德认为一个人一天的行程是二百斯塔迪昂)的话,那末在道上耽搁的日期就不多不少正是九十天。

    (54)因此,当米利都的阿里司塔哥拉斯说从海岸向 内地的行程要三个月之久的时候,他对拉凯戴孟人克列欧美涅斯所讲的话就 是真话了。但如果有人想把这一段路程更精确地加以计算的话,那我也可以 说给他的。因为从以弗所到撒尔迪斯的这段路也应当加到其他的一段上面 去。这样,我就要说,从希腊的海到苏撒(美姆农市就是这样称呼的)的路程 就是一万四千另四十斯塔迪昂,因为从以弗所到撒尔迪斯是五百四十斯塔迪 昂,这样三个月的路程之外,还要加上三天。

    (55)阿里司塔哥拉斯既然不得不离开斯巴达,他于是便到雅典去;雅典 摆脱统治它的那些僭主的情况是这样。佩西司特拉托斯的儿子,僭主希庇亚斯的兄弟希帕尔科斯作了一个非常清楚的、告他说他将遭惨祸的梦,因而被 原来属于盖披拉人的一族的阿里斯托盖通和哈尔莫狄欧斯杀死,但是在这之 后雅典人在四年中间却受到了不但不轻于,反而更重于先前的僭主的统治。

    (56)希帕尔科斯所梦见的情景是这样的:在泛雅典娜祭的前夜,他梦见 一个身量高而姿容美好的男子站在他的面前,向他说出了这样的谜一样的诗 句: 用象狮子一样的忍耐心来忍耐那难以忍耐的苦难罢,世界上的任何人做 了坏事最后都是要得到报应的。而在天一亮的时候,他立刻便把他的梦告诉 了圆梦的人。在这之后不久,为了不再作这样的梦,便去率领一个行列去向 神奉献牺牲,而他就死在这个行列里面了(513年)

    (57)杀死了希帕尔科斯的盖披拉人自称最初是从埃列特里亚来的。但是 根据我个人的探讨,他们是腓尼基人,是和卡得莫斯一同来到今天称为贝奥 提亚的那一部分的腓尼基人,贝奥提亚的塔那格拉地方被分配给了这些人, 而他们也便定居在那里了。卡德美亚人起初是被阿尔哥斯人赶出那里的(据修昔底德的说法,这件事发生在特洛伊陷落之后六十年),而 这些盖披拉人又为贝奥提亚人所驱逐,于是他们便到雅典去了。雅典人在一 定的条件下接受他们为市民,但是不许他们参与在这里不值得叙述的许多事 情。

    (58)盖披拉人所属的,这些和卡得莫司一道来的腓尼基人定居在这个地 方,他们把许多知识带给了希腊人,特别是我认为希腊人一直不知道的一套 字母。但是久而久之,字母的声音和形状就都改变了。这时住在他们周边的 希腊人大多数是伊奥尼亚人。伊奥尼亚人从腓尼基人学会了字母,但他们在 使用字母时却少许地改变了它们的形状,而在他们使用这些字母时,他们把 这些字母称为波依尼凯亚:这是十分正确的,因为这些字母正是腓尼基人给 带到希腊来的。此外,伊奥尼亚人从古时便把纸草称为皮子,因为在先前由 于缺乏纸草,他们是使用山羊和绵羊的皮子的。而甚至到今天,还有许多外 国人是在这样的皮子上写字的。

    (59)在贝奥提亚底比斯地方伊司美诺斯·阿波罗神殿,我自己曾看到过 卡德美亚的字母。这种文字刻在某些三脚架上面,它们大部分和伊奥尼亚的 字母相似。在一个三脚架上面刻着下面的字句: 阿姆披特利昂从铁列波阿伊人的地方来奉献了我。这是拉伊欧司时代的 东西,拉伊欧司是拉布达科司的儿子,拉布达科司是波律多洛司的儿子,波 律多洛司又是卡得莫司的儿子。

    (60)在另一个三脚架上刻着六步格的诗句: 拳击家斯卡伊欧斯在博得胜利之后把我作为一件十分优美的奉纳品,献 给了你,一箭千里的阿波罗神。如果这个斯卡伊欧斯就是奉纳者而不是和希 波库昂的儿子同名的另一个人的话,则斯卡伊欧斯就是拉伊欧司的儿子欧伊狄波司的时代的人了。

    (61)在第三个三脚架上,仍然是六步格的诗句: 身为国王的拉欧达玛司把我作为一个十分优美的奉纳品,献给一望千里 的阿波罗神。在这个拉欧达玛司,即埃提欧克列司的儿子当政的时候,卡德 美亚人被阿尔哥斯人驱逐而逃到恩凯列司人的地方那里去。盖披拉人被留在 后面,但是后来为贝奥提亚人所迫而撒退到雅典去:于是,他们在雅典有为 他们自己专门修建的神殿,这神殿和其他雅典人没有关系。这些神殿特别是 阿凯亚·戴米特尔的神殿和密仪是和其他神殿有所不同的。

    (62)这样,我就叙述了希帕尔科斯所作的梦,以及杀死了希帕尔科斯的 盖披拉人的来历。现在我必须更进一步,回来叙述我开头所讲的那个故事, 即雅典是怎样从僭主们的统治之下把自己解脱出来的。既然希庇亚斯成了雅 典人的僭主而且由于希帕尔科斯的死而更加虐待起雅典人来,为佩西司特拉 提达伊家所放逐而亡命的阿尔克美欧尼达伊族这一雅典家族,便想用和雅典 的其他亡命者共同使用武力的办法归国解放雅典,但是他们并未能做到这一 点,反而吃了大亏。他们曾在派欧尼亚的上方里普叙德里昂地方修筑了工事。 由于他们想用一切办法来反对佩西司特拉提达伊族,他们便从阿姆披克图昂 奈斯那里包筑当时还没有,但是现在才有的戴尔波伊神殿。由于他们既有钱 又和他们的父祖一样都是有名的人,他们便把神殿修筑得比原来设计的还 好,特别是他们在包工时原规定用石灰石修建神殿,但结果他们是用帕洛司 的大理石修建了神殿正面的。

    (63)但是,根据雅典人的说法,这些人当时曾留在戴尔波伊并且用金钱 贿买了佩提亚,要她不管什么时候有斯巴达人前来向她请示公事或私事的时 候,就告诉他们,要他们解放雅典。因此,由于拉凯戴孟人总是听到这样的 神托,便派遣他们的一位市民、知名之士阿司特尔的儿子安启莫里欧司率领 军队把佩西司特拉提达伊族从雅典骗出,尽管他们原是亲密的朋友。因为神 的意旨在他们的眼中是比人的意愿更重要的,他们是循看海路用船只派遣了 这些人的。因此安启莫里欧司便在帕列隆登陆并且使自己的军队也在那里上 了岸;但是佩西司特拉提达伊族早已经知道了他的计划,于是便派人向与他 们结盟的帖撒利亚去请求帮助。帖撒利亚人应他们的请求,在商议之后派出 了他们的国王科尼昂人奇涅阿司和他所率领的一千名骑兵。当佩西司特拉提 达伊族得到了这些同盟者的时候,他们便想山了一个办法:他们把帕列隆平 原上的树木砍伐净尽以便人们可以在整个平原上驰骋自如,然后派出自己的 骑兵和敌军交锋。骑兵进袭敌人并杀死了安启莫里欧司,还有许多拉凯戴孟 人,并把残存的人们赶到他们的船上去。这样一来,从拉凯戴孟来的第一批 军队就这样地被赶回去了。安启莫里欧司的坟墓在阿提卡的阿罗佩卡伊,库 诺撒尔该斯的海拉克列斯神殿附近的地方。

    (64)在这之后,拉凯戴孟人便派出更大的一支军队去进攻雅典,他们任 命阿那克桑德里戴斯的儿子,他们的国王克列欧美涅斯为军队的统帅;这支 军队他们是循着陆路,而不是循着海路派出的。当他们侵入阿提卡的时候, 首先和他们交锋的就是帖撒利亚的骑兵,但是这支骑兵立刻便被击溃,其中 四十多人被杀死,而那些得到活命的人们则尽量地找便捷的道路逃回帖撒利 亚去了。于是克列欧美涅斯在他率领着希望取得自由的雅典人来到城前时, 便把僭主们的家族赶到佩拉斯吉孔城寨里面去并在那里把他们包围了。

    (65)拉凯戴孟人的确到底也没有攻克佩西司特拉提达伊族的要塞(因为 佩西司特拉提达伊一族在粮草方面有充分的准备,因此他们也便无意封锁这 座要塞);拉凯戴孟人对这个地方只围攻了几天。便返回斯巴达去了。但是实 陈上,却发生了一个偶然的事伴,这个事件伤害了一方面,却帮助了另一方 面,原来佩西司特拉提达伊族的孩子们在他们从那里暗中向安全的地方撤退 时被捉住了。这件事情把他们的全部计划都给打乱了,于是为了领回他们的 子弟,他们只得服从雅典人向他们提出的条件,即在五天之内离开阿提卡。 不久之后,他们便离开到司卡曼德罗斯河岸上的细该伊昂去了,他们君临雅 典人有三十六年(五四五到五○九年)。他们原来也是属于披洛斯人涅列达伊族,那往时是异邦 人,但是成为雅典人的国王的科德洛斯族和美兰托斯族也是和他们同样出于 同一祖先的。因此,正是这个希波克拉铁斯为了纪念给自己的儿子起名为佩 西司特拉托斯,因为涅司托尔的儿子的名字就是佩西司特拉托斯。 雅典人就这样地摆脱了他们的僭主之治的桎梏。自从他们取得自由以 来,直到伊奥尼亚叛变了大流士而米利都的阿里司塔哥拉斯到雅典人这里来 要求雅典人的援助的时候,这之间他们所做的和所经受的一切值得记述的事 情,这都是我首先要叙述的。

    (66)先前便是强大的雅典,在它从僭主的统治之下解放出来之后,就变 得更加强大了。在那里拥有最大权力的有两个人,一个是阿尔克美欧尼达伊 家的克莱司铁涅斯,人们都知道他曾经笼络过佩提亚:另一个是名门出身的 提桑德洛斯的儿子伊撒哥拉司。我说不清楚这个人的身世,但是他的族人是 曾向卡里亚·宙斯奉献过牺牲的。这两个人各自率领一派争夺政权,而克莱 司铁涅斯既然在斗争中处于劣势,便和民众结合到一起了。不久他便把原来 是四个部落的雅典人分成了十个部落,他废去了根据伊昂的四个儿子的名字 该列昂、埃依吉科列司、阿尔伽戴司和荷普列司所起的部落名称,而用其他 英雄的名字来称呼这些部落,在这些名称当中除去埃阿司之外,都是土著的 英雄的名字。他所以把异邦人的名字埃阿司加到这里面来,因为它是雅典的 邻人和同盟者。

    (67)但是在我看来,克莱司铁涅斯这样做,不过是模仿他的母亲的父亲 希巨昂的僭主克莱司铁涅斯罢了(克莱司铁涅斯统治希巨昂的时期是从六○○年到五七○年)。因为克莱司铁涅斯在对阿尔哥斯人开战之 后,便把希巨昂地方行吟诗人的比赛给停止了,理由是在荷马的诗篇里面, 几乎全部是以阿尔哥斯人和阿尔哥斯为吟咏主题的。此外,他想把阿尔哥斯 英雄塔拉欧司的儿子阿德拉斯托斯从国内驱逐出去,因为这位阿德拉斯托斯 的神殿现在还耸立在希巨昂城的市场上。于是他便到戴尔波伊去请示神托, 他是否应当把阿德拉斯托斯驱除出去、但是佩提亚却回答他说,阿德拉斯托 斯是希巨昂的国王,而他却是一个应当给石头砸杀的人。既然神不容许他实 现自己的想法,他便回去尽力想可以使他把阿德拉斯托斯铲除掉的什么一个 办法。于是当他认为他已经想出了一个办法的时候,他便派人到贝奥提亚的 底比斯去,说他想把阿斯塔科斯的儿子美兰尼波司迎到自己的国里来。底比 斯人答应了他的请求,于是他便把美兰尼波司迎到国内,并且在市会堂给他 指定了一块圣所,使他座镇在那里最坚固的地方。为什么克莱司铁涅斯要把 美兰尼波司迎到国里来呢(这一点我也是必须加以说明的),原来美兰尼波司 乃是阿德拉斯托斯的不共戴天的敌人,因为阿德拉斯托斯曾杀死了他的兄弟 美奇司铁乌司和他的女婿杜德乌斯。既然给美兰尼波司指定了一块圣所,那末克莱司铁涅斯便把阿德拉斯托斯的全部牺牲和祝祭拿走,而送给美兰尼波 司了。不过希巨昂人对于阿德拉斯托斯一向是十分尊敬的,因为波律包司曾 是那个地方的主人,而阿德拉斯托斯又是波律包司的女儿的儿子。波律包司 死的时候没有儿子,便把王位传给阿德拉斯托斯了。在希巨昂人给予阿德拉 斯托斯的其他尊荣之外,他们还由于他的不幸遭遇而用悲剧的歌舞队来祭祀 他,他们这样做并不是为了狄奥尼索斯,而是为了阿德拉斯托斯的。但是克 莱司铁涅斯把歌舞队仍然给回了狄奥尼索斯,而把其他的祭仪给予美兰尼波 司了。

    (68)他对于阿德拉斯托斯的处理办法就是这样。但是对于多里斯人的部 落,他改变了他们的名字,为的是不使他们和希巨昂人与阿尔哥斯人属于相 同的部落。在这一点上,他特别对于希巨昂人作了很大的侮弄,原来他给他 们起的新名字是从猪和■等词来的,只是把通常表示部落的语尾加到上面去 罢了,只有他自己的部落是例外。他给自己的部落起了一个表示自己的统治 的名称,把属于这一部落的人们你为阿尔凯拉欧伊(意为“人民的统治者”),而称其他的部族为叙阿塔伊(意为“小猪”)、欧涅阿塔伊(意为小■——译者)或是科伊列阿塔伊(意为“小猪”)。希巨昂人不仅是在克 莱司铁涅斯的治下,就是在他的死后六十年中间都是使用这些名称的;但是 后来,他们进行了商议,而把部落的名称改为叙列依斯、帕姆庇洛伊、杜玛 那塔伊。此外,他们还添加了第四个部落的名字,这个名字依照阿德拉斯托 斯的儿子埃吉阿列岛斯的名字而称为埃吉阿列依司。

    (69)希巨昂人克莱司铁涅斯所做的事情就是这样。但是这个克莱司铁涅 斯的女儿的儿子、因而承袭了他的外祖父的名字的雅典人克莱司铁涅斯,在 我看来,他所以沿用他的外祖父的名字,是他也和他的外祖父一样瞧不起多 里斯人,因而他不愿使自己的部落即雅典人与伊奥尼亚人相同。他既然把当 时没有任何权利的雅典平民拉到自己的一方面来,他便给这些部落起了新的 名字并且增加了部落的数目,废除了从前的四个部落首长,而设立了十个部 落首长,把十个区划分给各个部落。在他把平民争取过来之后,他便比他的 对方要强大得多了。

    (70)伊撒哥拉司的这一方面既然失败了,他便想出了一个对策来。他请 求克列欧美涅斯的帮助,因为克列欧美涅斯从围攻佩西司特拉提达伊族的时 候起便是他自己的朋友了。而且由于克列欧美涅斯和伊撒哥拉司的妻子有不 清不楚的关系,他曾经受到人们的指控。于是,克列欧美涅斯先派使者到雅 典去,要求把克莱司铁涅斯和与他同党的其他许多雅典人驱逐出去,他把这 些人称为因凟神而受到咒诅的人。他告诉给使者要说的话都是伊撒哥拉司教 的。因为阿尔克美欧尼达伊家和他们的同党曾被认为犯了杀人之罪,但伊撒 哥拉司与他的朋友并未参与其事。

    (71)雅典的那些被咒诅者,他们的名字是这样得来的。有这么一个曾经 在奥林匹亚比赛会上获胜的名叫库隆的雅典人,他自视甚高因而竟想成为一 名僭主。于是他集结了一批和他年纪相仿佛的人,试图夺占城砦;但是当他 在这件事上面未能成功的时候,他便坐到女神神像的旁边去请求庇护。于是 当时治理着雅典的纳乌克拉洛司们(纳乌克拉里亚是一种行政单位,它的长官纳乌克拉洛司负责征税并为陆海军提供兵员和船只。这里说他 们治理雅典与事实似有出入)答应决不用死刑来惩罚他们而把库隆和他的人们从那里带走,但是他们还是被杀死了,而杀人的罪名就给放到阿尔 克美欧尼达伊一家的身上。所有这一切都是发生在佩西司特拉托斯的时代以 前的(约六二○年和六○○年之间)

    (72)克列欧美涅斯既然派人去并要求放逐克莱司铁涅斯和被咒诅者,克 莱司铁涅斯自己便悄捎地离开了城市。尽管如此,克列欧美涅斯随后不久也 还是率领着不大的一支军队来到了雅典,到了雅典之后,他便把伊撒哥拉司 所指名给他的七百个雅典家族,作为被咒诅者放逐了。这样做了之后,他继而又试图解散议院(这里希罗多德指的大概是新的五百人院),而把当权的位置交给了伊撒哥拉司一党的三百人。但是 议院反抗他而不肯服从,于是克列欧美涅斯和伊撒哥拉司和他们的一党便占 领了卫城。这样,站在议院一面的其他雅典人便团结起来,围攻了他们两天: 第三夭他们便缔结了作战条约,而他们当中的拉凯戴孟人则扫数离开了国 内。这样,克列欧美涅斯所听到的预言便应验了。原来当他去城砦想把它占 领的时候,他到女神的内殿去打算跟她讲话,但是女祭司却从她的坐位上站 了起来,而在他还没有迈到门里面来的时候就说:“拉凯戴孟的客人,回去, 不要进到圣堂里面来,因为多里斯人按规定是不能进到这里面来的”。但是 他回答说:“妇人,我不是多里斯人,我是阿凯亚人”。于是他便不把这预 言放到心上,而是试图按他自己的意思去做,但是正如我刚才已经说的,他 和拉凯戴孟人再一次地被赶了出来。至于其他人,则雅典人把他们投入监狱 而判处了死刑,在这些人当中就有戴尔波伊人提美西铁乌司。这个提美西铁 乌司在膂力和勇武方面成就了若干极其伟大的事业,这些事业都是我能够列 举的。

    (73)这些人在入狱之后,就都给处死了。在这之后,雅典人便派人去把 克莱司铁涅斯和被克列欧美涅斯所放逐的七百家族迎了回来;然后,他们又 派使节到撒尔迪斯去,打算和波斯人结为同盟。因为他们知道,拉凯戴孟人 和克列欧美涅斯是不会轻轻饶过他们的。当使节到达撒尔迪斯并且按照所吩 咐的话说了一遍之后,撒尔迪斯的总督、叙司塔司佩斯的儿子阿尔培普列涅 斯便问他们,他们这些想和波斯人缔结联盟的人是何许人,他们住在什么地 方,在他听使者说完之后,便给了他们一个答复:这一答复的大意是,如果 雅典人把土和水献给国王大流士的话,那末他就和他们结成同盟,但如果不 这样的话,他就命令他们回去。使者们在一起商量了一下,结果同意了他的 要求,因为他们是一心想缔结联盟的。但是在回国之后,他们却因他们的做 法而受到了很大的责难。

    (74)另一方面,克列欧美涅斯认为他受到雅典人在言语和行动上的很大 侮辱,因此并没有声明纠合的原因,他便从整个伯罗奔尼撒纠合了一支军队, 以便对雅典的民众进行报复并且立伊撒哥拉司为僭主。因为伊撒哥拉司也是 和他一起逃出了卫城的,于是克列欧美涅斯便率领着大军一直入侵到埃列乌 西斯,而贝奥提亚人也便根据商量好的计划,攻取了阿提卡边界地带的欧伊 诺耶和叙喜阿伊,同时卡尔启斯人则从另一方面进攻并袭击阿提卡各地。雅典人虽然处于背腹受敌的地步,却决定一时先不去考虑贝奥提亚人和科尔启 斯人,而是一直向着侵入埃列乌西斯的伯罗奔尼撒人攻去了。

    (75)但是当两军正要交锋的时候,科林斯人他们却首先一致认为他们的 所作所为是不正当的,因此改变了自己的初衷并撤退了。不久之后,斯巴达 的另一个国王阿里司通的儿子戴玛拉托斯也这样做了,尽管他是和克列欧美 涅斯一同率领着军队从拉凯戴孟前来的,而且他从来和克列欧美涅斯也没有 什么意见不合的地方。由于这一次的分裂而在斯巴达制定了一项法律,即当 派遣一支军队出去的时候,两个国王不能一同随军前往,但在这之前,他们 却是二人同去的。既然其中的一个国王可以免除军役,那末图恩达里达伊族 当中的一人也就要留在家里了。因此在埃列乌西斯,当其他的同盟军看到拉 凯戴孟人的两个国王并不一心,而科林斯的军队也离开了他们阵地的时候, 他们也同样地撤退并离开了。

    (76)这是多里斯人第四次进入阿提卡了。两次他们是作为战争中的侵略 者来到这里的,两次则是来帮助雅典平民的。在第一次的时候是他们在美伽 拉建立一个殖民地(这次的远征若说是发生在科德洛斯统治雅典的时代是不会错的),第二次和第三次是他们从斯巴达出发,前来驱逐佩西司特拉提达伊 家。第四次就是克列欧美涅斯这次率领着伯罗奔尼撒人一直进抵埃列乌西斯 地方。多里斯人第四次入寇雅典的情况就是这样。

    (77)这支远征的军队既然这样不光荣地解散,雅典人首先立刻便向科尔 启斯人进攻,以便向他们进行报复。贝奥提亚人为了援助科尔启斯人而来到 了埃乌里波斯。当雅典人看到对方有援军到来时,他们便决定首先攻击贝奥 提亚人,然后再进攻科尔启斯人。他们和贝奥提亚人交锋而获得了一次辉煌 的胜利。他们杀死了对方许多人并且抓了他们七百名俘虏。而在同一天里面, 雅典人还渡海到了埃乌波亚,在那里他们又和科尔启斯人交锋。而在同样地 制服了科尔启斯人之后,便在饲马者的土地上安置下了四千名屯田农民;至 于饲马者,则这是富裕的卡尔启斯人的称呼。他们抓了许多科尔启斯的俘虏, 他们使这些俘虏全都带上枷锁并将之和贝奥提亚的俘虏一同监禁起来:但是 后来他们规定了每人二米那的赎金而把这些俘虏释放了。雅典人把用来拘系 囚犯的枷锁悬在卫城上,这些枷锁在我的时代还可以看到,它们是悬在给美 地亚人的火灾而烧焦的那一面城墙上,正对着朝西的那座神庙。此外:他们 还奉献了十分之一的赎金用来铸造了一具青铜的驷车。这个青铜的驷车,就 在卫城正门一进去左手的地方,上面刻着这样的铭文:雅典的子弟们立了辉 煌的战功,他们制服了贝奥提亚和科尔启斯的武力,用狱里的铁锁消灭了敌 人的横傲; 他们把赎金的十分之一制成这些马匹呈献给帕拉司。

    (78)雅典的实力就这样地强大起来了。权利的平等,不是在一个例子, 而是在许多例子上证明本身是一件绝好的事情。因为当雅典人是在僭主的统 治下的时候,雅典人在战争中并不比他们的任何邻人高明,可是一旦他们摆 脱了僭主的桎梏,他们就远远地超越了他们的邻人。因而这一点便表明,当 他们受着压迫的时候,就好象是为主人作工的人们一样,他们是宁肯做个怯 懦鬼的,但是当他们被解放的时候,每一个人就都尽心竭力地为自己做事情 了。

    (79)以上便是雅典人所作所为的一切。但是,随后底比斯人便想对雅典 进行报复而向神去请示。佩提亚说,底比斯人用他们自己的力量是谈不到复 仇的,他们必须把这件事交给民会来办理并且向他们的最近的邻人请求援 助。因此在请示神托的人们回来之后,便召开了一次大会,把神托在会上宣 布了。而当底比斯人知道神托指示给他们要向最近的邻人求援的时候,他们 一听见就说:“如果是这样的话,那末我们最近的邻人不正是塔那格拉人、 科洛那亚人、铁司佩亚人么!而且这些人一直是我们的战友并且和我们共同 戮力作战的。这还需要向他们去请求么?也许神托的话所指的不是这个罢”。

    (80)对于神托的话,他们是这样考虑的。但是,终于有一个懂得了神托 的意思,于是他说:“我想我是懂得神托告诉给我们的这段话的意思的。铁 贝和埃吉纳据说是阿索波司的女儿,既然她们是姊妹,则神的回答的意思: 我以为,是应该请求埃吉纳人来为我们报仇”。既然他们对于这个神托没有 更好的解释,他们便立刻派人到埃吉纳人那里去,请求他们的帮助,因为这 是神托的命令而且埃吉纳人又是他们的最近的邻人。埃吉纳人答应了他们的 请求,说是要派埃伊阿奇达伊族去帮助他们。

    (81)底比斯人仗着有埃伊阿奇达伊族和他们在一起而重新挑起了战争, 但是他们又吃了雅典人很大的苦头,因此他们便再一次到埃吉纳人那里去要 求派出新的人来,而把埃伊阿奇达伊族送了回去。当时埃吉纳人正由于本身 的繁荣而洋洋自得,再加上他们和雅典有过旧怨,因而依照底比斯人的请求, 没有派使者去宣战就和雅典人打起来了。但雅典人正在忙于对只奥提亚人作 战,于是埃吉纳人便乘船下行到阿提卡来,蹂躏了帕列隆和沿岸地带的其他 许多市区。这样一来,他们就使雅典人遭受了极大的损害。

    (82)埃吉纳人和雅典人之间长期间不得解开的怨仇,原来是这样结起来的。由于埃披道洛斯人的土地什么都不生产,于是他们便派人到戴尔波伊去请示这一灾害的来由。佩提亚命令他们建立达米亚和奥克塞西亚的神像,说 如果他们这样做的话,他们的命运就会好转。埃披道洛斯人继而又问神像是用青铜做,还是用石头做,佩提亚嘱他们既不用青铜,也不用石头,而是用人们在果园中栽培的橄榄树的木头来做。因此埃披道洛斯人便请求雅典人允许他们到那里去砍伐橄榄树,因为他们认为那里的橄榄树是最神圣的。而且 据说当时确实是除了雅典之外,任何地方都没有橄榄树。雅典人同意把橄榄 树送给他们,但条件是要埃披道洛斯人每年向雅典娜·波里阿司和埃列克铁乌斯奉献供物。埃披道洛斯人同意了这样的条件,于是他们的请求便得到了允许。他们建立起了用这些橄榄木制做的神像;于是他们的土地就生产了果 实,而他们也履行了他们和雅典人的约定。

    (83)直到当时,都和当时以前的时候一样,埃吉纳人在一切方面都是服 从埃披道洛斯人的,特别是埃吉纳人要渡海到埃披道洛斯去,在那里请求判 决他们相互间的一切诉讼事件。但是从这个时候起,他们开始造船并且妄自 尊大起来,结果竟至叛离了埃披道洛斯人;他们相互之间既然成为寇仇,而 且埃吉纳人又占着海上的优势,于是他们便使埃披道洛斯人遭到了很大的损 害,同时又把埃披道洛斯人的达米亚和奥克塞西亚的神象偷了去,而把它们 安放在他们国家腹地的、离他们的城市大约有二十斯塔迪昂远的一个名叫欧 伊亚的地方。把神像安置在这个地方以后,他们便用奉献的各种牺牲和妇女 的滑稽歌舞队来奉祀它们,为每一位神的会唱队都任命了十个负担费用的 人。而歌舞队中的妇女的挖苦对象不是任何男子,而是当地的妇女。埃披道 洛斯人也有同样的仪式,但是他们另外还有不许向别人说的宗教仪式。

    (84)但是当这两座神像被偷去的时候,埃披道洛斯人却停止履行他们向 雅典人约定的义务了。于是雅典人便派出一名使者到埃披道洛斯人那里去表 示自己的愤怒,但是埃披道洛斯人却申辩说他们并没有做错事情。他们说, 只要神像留在他们自己的国内,他们是会履行约定的,但是现在他们既然被 劫走了神像,那他们就不应当再向雅典人献纳供物了。而现在应当献纳供物 的却是拥有神像的埃吉纳人了。雅典人于是派人到埃吉纳去,要求送回神像, 但是埃吉纳人却回答说他们和雅典人是无交道可打的。

    (85)根据雅典人的说法,在雅典人提出了他们的要求之后,他们就派出 了一艘上面载着某些市民的三段桡船,这些代表全体人民被派出来的人到了 埃吉纳之后,便想把那用阿提卡的木料制成的神像从座上搬下来带走;但是 当他们不能用这种办法得到它们的时候,他们便用绳子把这两座神像绑起来 拖它们,而当他们用绳子拖的时候,他们遇见了雷击,同时又遭到了地震。 于是那些拖神像的三段桡船的水手们便心神错乱起来,而他们在这种错乱的 心情之下,竟相互象对敌人那样地厮杀起来,直到最后他们只剩下了一个人, 自己回到帕列隆来了。

    (86)关于这件事,雅典人的说法就是这样。但是埃吉纳人却说雅典人不 是只乘着一艘船(因为如果雅典人只派来一艘船甚或几艘船的话,那末那使他 们自己没有船只,他们也是很容易把雅典人击退的),而实际上是乘着许多只 船在他们那里上陆的,结果他们没有进行海战,便向雅典人投降了。但是他 们却从来不能十分明确地指出,是因为他们自己承认自己在海战方面不行才 投降的,还是因为他们故意做他们当时所做的事情。埃吉纳人说,在雅典人 看到没有人出来和他们作战的时候,他们便从船上下来,着手去搬运神像, 然而他们既然不能把神像从台座上搬下来,他们便用绳子缚住神像向下拖, 而在他们拖呀拖呀的时候,这件事别人也许相信,但我是不相信的,两座神 像竟一同向着他们跪了下来。从那时起这两座神像一直就是这个样子了。这 就是雅典人所做的事情。但是关于他们自己,埃吉纳人说,他们知道雅典人 想对他们作战,于是他们便预先保证了阿尔哥斯人对他们的援助。因此当雅 典人在埃吉纳地方登陆的时候,阿尔哥斯人便前来援助埃吉纳人,阿尔哥斯 人是从埃披道洛斯偷偷地渡海到岛上来的,登陆之后便乘雅典人之不备向他 们进攻,把他们和他们的船只切断。而也正是在这个时候,他们遇到了雷, 同时还遇到了地震。

    (87)这就是阿尔哥斯人和埃吉纳人的说法,而雅典人自己也承认他们中 间只有一个人安全地返回了阿提卡。但是阿尔哥斯人说,把雅典人在只有一 个人生还的战斗中击溃的正是他们,雅典人则说击溃了他们的是神力。但是 雅典人说,即使是这个生还的人也没有得救,而是象下面所说那样地死掉了。 原来他自己回到了雅典,把经过的惨事告诉了大家。据说当被派出去进攻埃 吉纳的那些人的妻子们知道了这件事的时候,对于在所有的人当中只有他一 个人安全返回这伴事十分气愤,于是她们便集合在他的周边向他追问她们自 己的丈夫在什么地方,并用她们衣服上的别针把他刺死了。这个人就这样地 被刺杀了。在雅典人看起来,妇女们所干的这件事情比起他们的不幸遭遇来 是更要可怕的。据说,他们想不出什么别的办法来惩罚这些妇女,便把她们 的服装改换成为伊奥尼亚式的。原来直到当时为止,雅典的妇女是穿着和科 林斯人的服装非常相似的多里斯式服装。结果这种服装就给变成了亚麻外 衣,以便她们不会再用别针。

    (88)然而,若是讲老实话,这种衣服不是起源于伊奥尼亚,而是起源于 卡里亚的。因为在希腊本上,古代的全部妇女的服装都是和我们今天所说的 多里新式的服装一样的。另一方面,至于阿尔哥斯人和埃吉纳人,这一点也 正可以说明为什么他们甚至为他们每一个国家作出一个规定,即他们的别针 应该制作得比过去一般规定的长度长一半,而他们的妇女要特别把别针奉献 到以上那些女神的神殿里去;而阿提卡制造的其他任何物品和陶器都不能带 到神殿里面去,但是那里却习惯于用国产的器皿来饮水。因此阿尔哥斯和埃 吉纳的妇女从那时起便由于和雅典人不和而戴着比先前要长的别针。而直到 我的时代她们还是这样做的。

    (89)雅典人和埃吉纳人开始结怨的缘由就是我上面所说的了。因此,在 底比斯人前来邀请的时候,埃吉纳人立刻就来帮助只奥提亚人了,因为他们 还没有忘掉神像的旧事。埃吉纳人蹂躏了阿提卡的沿海地带,雅典人于是立 刻开始着手对他们派出讨伐的军队。但是从戴尔波伊却来了一个神托,命令 他们在埃吉纳人的这次蹂躏之后三十年中间不要轻举妄动,而在第三十一年 里,则给埃阿科斯划出一个圣域来,再对埃吉纳人发动战争。这样他们便可 以顺利地达到他们的目的;但如果他们立刻派出一支军队攻打他们的敌人的 话,他们诚然最后也可以制服他们的敌人,但是在这期间他们要受很多的苦, 而且还要付出极大的气力。当雅典人听到人们把这一神托告诉给他们的时 候,他们便给埃阿科斯划出一个圣域来,这个圣域现在就在他们市场的地方; 但是既然埃吉纳人把他们蹂躏得这样苦,他们实在忍不住在三十年中间按兵 不动。

    (90)但是正当他们准备进行报复的时候,在拉凯戴孟却发生了一件妨碍 了他们这样做的事情。原来当拉凯戴孟人知道了阿尔克美欧尼达伊族对佩提 亚所施的策略以及佩提亚对他们自己以及对佩西司特拉提达伊族策略的时 候,他们由于双重的理由而感到十分气愤,一则是由于他们从他们的祖国驱 逐了他们自己的盟友,再则是由于他们这样做而雅典人对他们并没有表示感 谢之意。此外,他们还受到神托的嗾使,因为神托警告他们说、雅典人将要 对他们做出许多使他们对之结怨的事情来。而在这之前,他们是不晓得这些 神托的。但是现在克列欧美涅斯却把神托带到斯巴达来,而拉凯戴孟人也就 知道了这些神托的内容。克列欧美涅斯是从雅典的卫城得到了神托的;在当 时之前,神托是在佩西司特拉提达伊族的手里,但是当他们被驱逐的时候, 他们把它忘在神殿里了。既然被遗忘,这些神托就重新给克列欧美涅斯得到 了。

    (91)拉凯戴孟人既然重新得到神托并且看到雅典人的实力与日俱增而且 根本没有服从他们的意思,他们便觉得,如果阿提卡的人民得到自由的话, 则这些人是很可能会有一无做到与他们势均力敌的,但如果这些人受看僭主 的统治,那这些人就会是软弱的,并且愿意服从于一个主人。既然有了这样 的想法,他们便派人从佩西司特拉提达伊族的亡命地点海列斯彭特的细该伊 昂那里把佩西司特拉托斯的儿子希庇亚斯召了来。希庇亚斯应召来到之后, 斯巴达人又把他们其他盟国的使者们也召来,对这些人讲了下面的一番话: “诸位盟友,我们承认我们的所作所为错了。因为我们受到伪造的神托的愚 弄,把原来是我们的好友并且还答应使雅典臣服于我们的人们从他们的祖国 的国土上驱逐出去了,而这样一来,我们就等于把那个城邦交到无恩无义的 民众手里去了;这些人只要借着我们的力量得到自由而抬起头来,他们立刻 便会用各种办法侮辱我们和我们的国王,并把我们和我们的国王驱逐出去、 而现在他们现在已神气起来并且也越来越强大了。既然他们的邻邦贝奥提亚 人和科尔启斯人特别已经知道了这样做的代价是什么,我们认为其他各国不 久也会知道他们自己的错误的。但是既然我们过去做错了,现在我们就要试 图借着你们的帮助向他们进行报复,因为正是为了这个理由,我们才把你们 在这里看到的希庇亚斯召来,把你们也从你们的城市请来,以便使我们的意 见统一起来而力量也结合到一起,这样我们便可以把他带回雅典并归还我们 从他那里拿走的东西”。

    (92)以上便是拉凯戴孟人所说的一番话,但是他们的话在他们的大部分 的盟国听起来却是很难接受的。在其他人等都默不作声的时候,一个叫做索 克列期的科林斯人说:“(a)拉凯戴孟人啊!你们现在正是在破坏平等的原则 并准备在各个城邦恢复僭主政治,这真是让天空在大地的下面,大地在天空 的上面,让人住在海里,鱼住在陆地上啊。要知道世界上没有一件事情是象 僭主政治那样不公正,那样残暴不仁的。如果要僭主统治城邦在你们看来真 正是一件好事的话,那么就首先在你们中间立一名僭主,然后再设法给其他 的城邦立僭主罢。但是现在如何呢,你们自己从来不去试着立僭主并且用一 切办法防范不要任何僭主在斯巴达起来,可是你们对你们的盟国却是不正当 的。而且,如果你们也和我们一样有过这样的经验,对于这件事你们的看法 就会比你们现在明智得多了。 (β)科林斯人的国家组织形式,现在我想来说一说。统治者是少数人, 即称为巴齐亚达伊的少数人,他们执掌着城市的大权,而他们之间又是相互 通婚的。这些人当中有一个名叫阿姆庇昂的人,他有一个名叫拉布达的跛腿 女儿。既然看到巴齐亚达伊中间没有一个人会娶她,她便被嫁给了佩特拉市 镇的埃凯克拉铁司的儿子埃爱提昂,他原来是拉披塔依人凯涅乌司的后代。 他娶了这个妻子或任何其他妻子后都没有给他生儿子,于是他为了孩子的事 情到戴尔波伊去问个究竟。而在他刚一进入圣堂的时候,佩提亚立刻向他说 出了下列的诗句: 埃爱提昂,虽然你没有受到任何人的尊敬,但崇高的荣誉还是应当属于 你的。 拉布达不久将要怀孕,她将要给你生下一块圆的石头,这石头注定要落 到王族的头上,而对科林斯执行正义。给埃爱提昂的这个神托不知怎的到了 巴齐亚达伊族的耳朵里去,而他们对于送到科林斯来的前一个神托也是不了 解的,尽管这一神托的意义和给埃爱提昂的那个神托的意义是一样的。神托 里的诗句是这样: 雌鹰在山里怀孕,一只雄壮 而凶猛的 狮子将要从那里诞生;它将要把许多人 的膝头解开。 因此,你们这些科林斯人,我要你们 很好地注意一下, 你们这些住在美丽的佩列涅泉的旁边, 住在巍峨的科林斯的人们啊! (γ)在先前给巴齐亚达伊族的这一神托是他们所不能解释的。但是现 在,当他们知道了给埃爱提昂的这个神托的时候,他们立刻懂得,前一个神 托和埃爱提昂的这个神托是符合的。他们既然也懂了这个预言,他们便按兵 不动地等在那里,打算把给埃爱提昂生下的不管什么东西给毁掉。因此,当 他的妻子一分娩的时候,他们便派出了他们同族的十个人到埃爱提昂住的市 镇去以便把小孩杀死。这些人来到佩特拉,走进埃爱提昂的住所来要这个孩 子。对他们此行的目的丝毫也不晓得的拉布达以为他们提出这样的要求是由 于他们和孩子的父亲的友谊,因此便把它带了出来交给其中的一个人。故事 说,这些人在道上会商议好,第一个接过孩子的人应当把它摔到地上去。因 此当拉布达把孩子带来并交出孩子的时候,由于上天的保佑,这个孩子竟向 接过它的那个人微笑起来。这个人看到了他的微笑而恻隐之心使他不忍下毒 手,因而他便由于心里发软而把孩子交给了第二个人,第二个人又交给第三 个人,这样经过了十个人的手,却没有一个人想把它杀死。于是他们把这个 孩子交回给他的母亲而出去了,他们站在门前相互埋怨和责怪起来,但主要 是对那第一个接过了孩子的人,因为他并没有按他们计划好的办法去做。过 了一会儿、他们才想到再进去,大家一齐动手来杀死这个孩子。(δ)但是神 托注定埃爱提昂的后人将会是科林斯受难的原因。因为拉布达站在离门很近 的地方,把他们所说的一切都听到了。她害怕他们改变主意而再来拿走这个 孩子而把它杀死,于是她便把孩子带走,而把它藏在一个柜子里,因为她认 为这个地方是最难找到的。原来她知道,如果他们回来着手搜寻的时候,他 们是会把每个地方都搜查到的,而实际上他们正是这样做了。他们前来搜查, 但是在搜查不到时,他们便决定回去并且告诉派他们前来的人,说他们已按 照命令把一切都办妥了。(ε)这样,他们就离开并且这样报告了。但是埃爱 提昂的儿子很快地成长起来了,而且由于他逃脱了那次的危险,他便由于那个柜子而起名为库普赛洛斯(希腊语的库普赛列■νψ■λη原意即柜子)。而当库普赛洛斯长大成人而到戴尔波伊请示神托的时候,戴 尔波伊便给了他一个有双重意义的神托。库普赛洛斯相信了这个神托,于是 他攻打并取得了科林斯。神托的话是这样的: 到我的圣堂里米的这个人是幸福的,埃爱提昂的儿子库普赛洛斯,著名 的科林斯的国王,他自己和他的儿子们是幸福的,但是他的儿子的儿子却不 是幸福的。以上就是神托的话。但是库普赛洛斯在取得了僭主的权力以后, 却变成了这样的一个人:他放逐了许多科林斯人,他剥夺了许多人的财产, 更杀害了为数要多得多的人的生命。 (ζ)他统治了三十年(六五五年到六二五年)并且得到了善终,继他为僭主的是他的儿子佩利安 多洛斯。佩利安多洛斯在起初,性情比他的父亲要温和些,但是自从他通过 自己的使者和米利都的僭主特拉叙布洛斯有了交往之后,他就变得比库普赛 洛斯残暴得多了。因为他有一次曾派遣一名使者到特拉叙布洛斯那里去,去 请教他使用怎样的办法最安全地处理事务,才能够把他的城邦治理得最好。 特拉叙布洛斯把从佩利安多洛斯派来的这个人领到城外的一块谷地来,而当 他经过这块谷地的时候,他便一再地询问来人有关于从科林斯前来的事情, 同时却不停地把长得比别的穗子高的穗子剪下来抛掉。他便这样地走过了整 块的田地并把谷物中所有最好的和收成最好的部分毁掉了。在这之后,他一 言不发,便把使者打发走了。当使者回到科林斯的时候,佩利安多洛斯急于 想知道他所带回来的忠舍是什么,但是这个使者说,特拉叙布洛斯并没有给 他任何忠告,他认为他被派去见的那个人是一个性情奇怪的人,因为他是一 个精神失常的人而且是一个毁掉自己财产的人。于是他把他看到特拉叙布洛 斯所做的事情叙说了一遍。 (η)但是佩利安多洛斯明白了他所做的是什么事情并且认识到,特拉叙布洛斯是劝告他杀死他的城邦中最杰出的人们,并且从此要以非常残暴的手 段来对待自己的臣民,用诛杀或是流放的办法。库普赛洛斯所没有做到的事 情,佩利安多洛斯都给完成了;而在一天里,由于他自己的妻子梅里莎的原 故,他把科林斯的全体妇女都给剥得精光。因为他曾派遣使者到阿凯隆河河 畔的铁斯普洛托伊人那里去,请示死者关于一个异邦人委托的物品的神托。 但是梅里莎的幽灵出现了,她说她什么也不舍他,也不告他托存的物品在什 么地方,因为她说她冷而且没有穿任何衣服。原来佩利安多洛斯虽然把衣服 和她一同埋葬,但是没有把衣服烧掉,因此这衣服对她便没有用了。她说她 要举出这样一件事情来证明她所讲的话是真实的,即佩利安多洛斯曾把面包 放到冷却的灶里面去。当这话给带回到佩利安多洛斯那里去的时候(因为他曾 和梅里莎的尸休交媾,因此他知道她所举出的证据是真的),他听了这话之后 立刻宣布说全体的科林斯妇女都应当到希拉的神殿来。因此她们来的时候就 象参加节日的庆祝一样,把她们最好的衣服都穿上了。但佩利安多洛斯却把 自己的亲卫兵安置在那里,不分贵妇和女仆,一律剥下她们的衣服并且把所 有的衣服堆到一个穴里烧掉,同时并向梅里莎进行祷告。当他这样做了之后, 第二次派人去到梅里莎那里去,于是梅里莎的幽灵就告诉了他异邦人存放的 物品在什么地方。 拉凯戴孟人啊,你们要知道这就是僭主政治,而这就是它所干的勾当。 当我们科休斯人看到你们把希庇亚斯召来的时候,我们的确是十分惊讶的。 但现在听到你们这样讲话,我们便更加惊讶了。因此借着希腊诸神的名字, 我们恳求你们不要在各个城邦建立僭主政治罢。如果你们不停止这样做,而 不正当地试图把希庇亚斯带回来的话,那末你们可要知道,科林斯人是不会 同意你们的做法的。”

    (93)以上便是科林斯的代表索克列斯所讲的一番话。和他答话的是希庇 亚斯,他和索克列斯一样呼告诸神前来作证,他说,当科林斯人注定要为雅 典人所烦扰的宿命时刻到来时,则科林斯人的确是会比任何人都更想念佩西 司特拉提达伊族的。希庇亚斯所以这样地来回答,是因为他比任何人都更确 切地体会到神托的含意。但是到目前为止一直保持沉默的其他盟邦代表,在 他们听到索克列斯的无所顾忌的发言时,他们也就都讲了话并且表示同意科 林斯人的意见,他们都请求拉凯戴孟人不要对希腊的城邦实施任何革新。

    (94)这样一来,这个计划便作罢了。希庇亚斯不得不离开了。马其顿人 的国王阿门塔斯想把安铁莫斯给他,而帖撒利亚人则想把约尔科司给他。但 是他都不愿意要,而是再回到细该伊昂,这是佩西司特拉托斯用武力从米提 列余人那里夺取过来的市邑,而在把它征服之后,他便把他和一个阿尔哥斯 妇人之间所生的庶子海该西斯特拉托司安置在那里做僭主。但是海该西斯特 拉托司并未能和平无事地保有他从佩西司特拉托斯所承受过来的地方,因为 米提列奈人和雅典人在长年中间从阿奇列昂和细该伊昂城出兵兴战。米提列 奈人出兵是要收回失地,雅典人则是不承认它,他们所持的论据则是爱奥里 斯人对于伊利亚斯的领土,并没有比他们本身。或是比帮助美涅拉欧司为海 偷之被动复仇的其他任何希腊人更多的权利。

    (95)在这一战争的战斗当中,发生了许多事情,但是下面的这件事情是 值得一记的:在雅典人取得胜利的一次战斗中,诗人阿尔凯峨斯临阵脱逃了, 但是在跑开时他的武器却被雅典人得到并且给悬挂在细该伊昂地方雅典娜的 神殿里。阿尔凯峨斯因此做了一首诗送到米提列奈去,在这首诗里他向他的 朋友美兰尼波司陈述了他自己的不幸遭遇。但是,至于米提列奈人和雅典人, 则库普赛洛斯的儿子佩利安多洛斯给他们讲了和,他们在这件事上服从了他 的仲裁。讲和的条件是每一方面各自保有他们原有的地方。这样一来,细该 伊昂便归雅典来统治了。

    (96)但是从拉凯戴孟来到亚细亚的希庇亚斯却玩弄了各式各样的手段, 他向阿尔塔普列涅斯诽谤雅典人,用一切办法想使雅典展服于他和大流士。 而正当希庇亚斯这样做的时候,雅典人知道了这件事,于是他们派使者到撒 尔迪斯来,警告波斯人不要相信这些被放逐的雅典人。但是阿尔塔普列涅斯 却命令他们把希庇亚斯迎回去,如果他们愿意求得安全的话。当这个命令被 带回给雅典人那里去的时候,雅典人却不同意这样做。既然他们不同意这个 办法,那他们便得对波斯进行公开的战争了。

    (97)他们作了这样的打算,因此也便对波斯人表示了敌视的态度。正在 这时,被斯巴达人克列欧美涅斯从斯巴达赶了出来的米利都人阿里司塔哥拉 斯来到了雅典,因为雅典这个城市是比其他任何城市都要强大的。阿里司塔 哥拉斯来到民众面前,便象在斯巴达那样地讲述了一番,他谈到了亚细亚的 富藏,又谈到了波斯人怎样习惯于在作战时既不带盾牌,又不带长枪,因而 是很容易被战胜的。他说了这一番话之后,又说米利都人是从雅典移居过去 的,而拯救他们这一非常有钱的民族,这是十分正当的事情。他用一切办法 来保证他的恳求的诚意,直到最后他把雅典人说服的时候。看来,真好象欺 骗许多人比欺骗一个人要容易些,因为他不能欺骗一个人,即拉凯戴孟的克 列欧美涅斯,但是他却能欺骗三万名雅典人。这样,雅典人便被说服了,他 们议决派遣二十只船去帮助伊奥尼亚人,指定一个在各方面都享有令誉的雅 典市民美兰提欧斯为海军统帅。派出去的这些船只就成了后来希腊人和异邦 人的纠纷的开始。

    (98)阿里司塔哥拉斯比其他人都要早地乘船出发了。他来到米利都之 后,便想了一个办法,不过这个办法并没有使伊奥尼亚人得到好处,(诚然他 的计划的目的原来也不在此,而只是想跟国王大流士找找麻烦而已)。他派一 个人到普里吉亚的派欧尼亚人那里去,这些人是被美伽巴佐斯作为俘虏从司 妥律蒙河那里带来的,现在则不和别人杂居地住在普里吉亚的一个地区和一 个村落里;而当这个人来到派欧尼亚人的地方时,他就说:“派欧尼亚人, 我是米利都的僭主阿里司塔哥拉斯派来给你们指出解放的道路的,如果你们 愿意追随他的话。整个伊奥尼亚现在都已起来反抗国王,而你们是有力量安 全地夺回你们自己的国土的。你们所负责的部分是一直到大海的地方,过去 这个地方就是我们的事情了”。派欧尼亚人在他们听到这话的时候,是非常 欢喜的。他们中间有一些人害怕危险而住在原地不动,但是其余的人却带着 自己的妻子儿女逃向大海去了。到了那里之后,派欧尼亚人便渡海到了岐奥 斯;而当着一大队波斯骑兵紧紧地追击他们的时候,他们已经到了那里。波 斯人既然无法追上他们,他们便派人到歧奥斯去,命令派欧尼亚人回来;派 欧尼亚人不肯这样做,却给岐奥斯人从岐奥斯带领到列斯波司去,而列斯波 司人又把他们带到多里司科斯那里去。从那里他们便循着陆路迈回派欧尼亚 了。

    (99)至于阿里司塔哥拉斯,则当雅典人率领着他们的二十只船来的时 候,当雅典人和其他联盟者都来齐了的时候,阿里司塔哥拉斯便拟定了一个 向撒尔迪斯进军的计划。和雅典人的二十只船同来的,还有五艘埃列特里亚 人的三段桡船,埃列特里亚人前来参加战争不是为了取悦雅典人,而是为了 米利都人,前来报答米利都人对他们的恩谊的(原来在这之前,当埃列特里亚 人对卡尔启斯人作战时,米利都人曾是他们的联盟者,但同时萨摩司人却来 帮助卡尔启斯人以对抗埃列特里亚人和米利都人)。他本人并不和军队一同前 进而是仍旧留在米利都,并任命其他人担任米利都人的统帅,这就是他自己 的兄弟卡罗披诺司和另一个叫做海尔摩庞托司的市民。

    (100)带着这样的兵力来到了以弗所的伊奥尼亚人、在以弗所境内的科列 索司地方下了船。他们自己率领着一支大军向内地迈进,而使以弗所人在路 上作他们的响导。他们沿着凯科斯河行进并且从那里越过特莫洛斯山,这样 他们便到了撒尔迪斯并攻占了它,而没有受到任何抵抗。他们攻占了它所有 的地方,留下的只有卫城,因为那里有阿尔塔普列涅斯率领一支大军防守着。

    (101)但下面的情况使他们不能劫略这座城市。撒尔迪斯的较大部分的房 屋都是茅草造成的,即使有一些砖造的房屋,它们的屋顶也都是茅草盖成的。 结果是,如果有一个兵把这样的一所房子点着。大火就会一所房屋接着一所 房屋地在全城烧起来。在城市看火的时候,吕底亚人和市内的全体波斯人, 由于火烧了外围而从四面八方向着他们迫来,而他们又无法逃出城外,因而 他们便都拥到市场以及流经市场的帕克托罗司河的地方来,帕克托罗司河从 特莫洛斯山把金砂带了下来,象海尔谟斯河流入海里那样地流入海尔谟斯 河。吕底亚人和波斯人集合在帕克托罗司河河畔的市堤上,并不得不在那里 保卫自己。当伊奥尼亚人看到他们的某些敌人保卫自己,又有一大群人迫近 他们的时候,他们害怕了,于是便从城里向名为特莫洛斯的山那方面去,到 入夜的时候,他们就离开那里上了船。

    (102)这样,撒尔迪斯和在那里的当地女神库贝倍的神殿就化为灰烬了 (四九八年);而后来波斯人便以这座神殿的焚烧为借口,把希腊的砷殿都给烧掉了。但 是,这个时候,住在哈律司河这一边的波斯人,在听到了这些情况的时候, 便集结起来前来援助吕底亚人。不过他们却发现伊奥尼亚人已经不在撒尔迪 斯了。但是他们却在后面追踪而在以弗所追上了伊奥尼亚人。伊奥尼亚人在 那里列阵迎击他们,但是吃了惨重的败仗。他们中间有不少知名之士死在波 斯人的刀下,特别是埃列特里亚人的统帅埃瓦尔启戴司,这个人曾因在比赛 时获胜而获得桂冠并且曾受到凯欧斯的西蒙尼戴斯的很大的赞赏。在战斗中 幸而活命的那些伊奥尼亚人便各自逃散,返回自己的城市去了。

    (103)他们当时便是这样进行战斗的。但是不久雅典人便完全离开了伊奥 尼亚人并拒绝帮助他们了,尽管阿里司塔哥拉斯曾派使者前去恳切请求。虽 然伊奥尼亚人失去了他们的雅典联盟者,却仍是同样积极地继续准备对国王 的战争(原来他们对大流士从一开头就已经这样干了)。他们乘船到海列斯彭 特去并且征服了拜占廷以及那一地区的所有其他城市。然后他们又乘船离开 了海列斯彭特到卡里亚去,并使大部分的卡里亚人都站到他们的一面来。因 为甚至直到当时不愿意和他们结成联盟的卡乌诺斯,在撒尔迪斯被烧之后都 和他们结合起来了。

    (104)而且,除去阿玛图司人以外,全体赛浦路斯人也都自愿地加入了他 们的行列。因为他们也叛离了美地亚人,叛离的经过是这样。有一个叫做欧 涅西洛司的人,他是撒拉米司人的国王戈尔哥斯的弟弟、凯尔西司的儿子埃库贝倍是音里吉亚人和吕底亚人的伟大女神。 维尔顿的儿子西罗莫斯的孙子。这个人以前常常劝说戈尔哥斯叛离大流士, 而当他知道伊奥尼亚人也叛离了的时候,他也便立刻极力催促戈尔哥斯这样 做。但是当他不能说服戈尔哥斯的时候,他和他的一党便等待着他的哥哥走 出撒拉米司城的时候,把城门关上不许他进来。失去了自己的城市的戈尔哥 斯亡命到美地亚人那里,而欧涅西洛司便成了撒拉米司的国王。他说服全赛 浦路斯与他一道叛离了大流士,例外的只有不肯听从他的阿玛图司人。于是 他便围攻了他们的市邑。

    (105)于是欧涅西洛司便围攻了阿玛图司。但是当大流士听说撒尔迪斯被 攻克并且给雅典人和伊奥尼亚人烧掉,而米利都人阿里司塔中哥拉斯又是结 党策谋这个计划的首脑人物的时候,据说他刚一听到这话并不把伊奥尼亚人 放在心上,因为他确信所有他们都不能因叛变行动而免于惩罚,而只是问雅 典人是什么样的人。当人们告诉他之后,他便要人们把弓给他拿来,他放一 支箭在弓上并把它射到天上去,在把这支箭射到上空去的时候他祈求说: “哦,宙斯,容许我向雅典人复仇罢!”自是而后,每到他用饭的时候,他 都要他的一个仆人在他的面前说三次:“主公,不要忘掉雅典人啊!”

    (106)在发出了这样的命令之后,大流士便把米利都人希司提埃伊欧斯召 到他的面前来,这时他已把希司提埃伊欧斯留在身旁有很长一个时候了。大 流士于是问他:“希司提埃伊欧斯,我听说你把米利都付之管理的那个代理 官已经叛离了我。他从对面的大陆渡海把人们带了过来,说服了因其行为而 应受我的惩罚的伊奥尼亚人和他们纠合到一起,并且掠夺了我的撒尔迪斯 城。因此现在我要问你,你认为这样的做法对不对?而且不是你从中策划, 这样的事情又如何能够做出来?你可要小心今后不要叫人发现你是要对这些 行动负责的。”听了这话之后,希司提埃伊欧斯便回答说:“主公,你讲的 这是什么话?我是绝不会出那会使你招致不论是大的或小的损害的任何主意 的!而且我要这样做,我是想干什么呢?我又是缺少什么呢?你所有的一切 东西我都可以有,而且我又有这样的荣誉来和你商量一切事情。而且,如果 我的代理官确实做出了象你所说的那样的事情,那请你确信,这他是自己想 这样做的。至于我本人,我甚至不能相信这样的情报,说米利都人和我的代 理官背叛了你。但如果他们真是这样做了,而且国王你所听到的事实是真实 的事情的话,那末我就请你好好地注意一下,当初你把我从海岸地带调出来, 你是做了什么样的一件事情啊。因为这样一来,由于我被调离伊奥尼亚人的 视界,伊奥尼亚人便借着这个机会实现他们久已想望的事情,而如果我在伊 奥尼亚的话,那就不会有任何一个城邦作乱了。因此,请尽速把我派到伊奥 尼亚去,这样我便可以使那个地方恢复原来的安定秩序并且把策圳这一切的 那个代理官引渡到你的手里。因此,当我依照你的意旨把这伴事完成的时候, 我用你们王室的诸神来发誓,在我使海上最大的萨尔多岛(即萨地尼亚)向你纳贡之前,我 决不脱掉我下去到伊奥尼亚时所穿的服装”。

    (107)希司提埃伊欧斯就是这样说的,他的本意在于欺骗,但是大流士却 同意他的话并且放他走了。大流士命令希司提埃伊欧斯,要他在完成他许下 的事情的时候,再到苏撒前来见他。

    (108)一方面,当关于撒尔迪斯的消息传到国王这里来,而大流士象我说 的那样用弓箭射了天空之后,他便和希司提埃伊欧斯商量;希司提埃伊欧斯得到了大流士的允许,便到海岸地带去了。而正是在这个时候,发生了下面 我所说的事情。正当撒拉米司的欧涅西洛司围攻阿玛图司人的时候,他得到 消息说,一个叫做阿尔图比欧司的波斯人被认为正在率领着一支波斯的大军 乘船到赛浦路斯来。欧涅西洛司知道这件事之后,便派使者到伊奥尼亚各地 去召集人民,而伊奥尼亚人在稍加考虑之后便率领一支大军来到了。因此, 当波斯人从奇里启亚渡海后循着陆路向撒拉米司推进的时候,伊奥尼亚人正 在赛浦路斯,同时腓尼基人正乘船绕过了一个称为赛浦路斯之钥的地岬。

    (109)既然事情的情况是这样,赛浦路斯的僭主们于是把伊奥尼亚人的将 领们召集起来,向他们说:“伊奥尼亚人!我们赛浦路斯人任凭你们选择你 们作战的对手,波斯人或是腓尼基人。因为,假如你们愿意在陆地上列阵并 且和波斯人一决雌雄的话,那末你们现在就应当下船在陆上列阵,而我们则 登上你们的船对腓尼基人作战;如果你们宁愿意和腓尼基人较量,那你们当 然也可这样做。不过不管你们选择什么人为作战对象,都务必要做到使伊奥 尼亚和赛浦路斯得到它们的自由,因为它们是指望着你们的”。于是伊奥尼 亚人回答说:“可是,我们是伊奥尼亚根据全体一致的决定派出来保卫海洋 的,不是把船交给赛浦路斯人而自己在陆地上和波斯人作战的。因此我们将 努力在交付给我们的事情上勇敢地完成任务。而你们也必须奋起勇敢作战, 因为你们是不会忘记你们给美地亚人做奴隶时的痛苦的。”

    (110)伊奥尼亚人便是这样回答的。波斯人不久就来到了撒拉米司平原, 于是赛浦路斯的国王们便下令列阵备战,他们把撒拉米司人和索罗伊人的最 精锐的部分选出来和波斯人对抗,而用其余的赛浦路斯人来抗击敌军的其他 部分。欧涅西洛司自己则选了一个阵地率军与波斯的将领阿尔图比欧司相对 峙。

    (111)阿尔图比欧司所骑的马受过这样的训练,这种马一遇到和披甲的步 兵作战时就要直立起来。欧涅西洛司听到这种情况之后,便向他那精干战术 并且非常勇敢的卡里亚族的盾手说:“我听说阿尔图比欧司的马会直立起来 并且会把任何它遇到的人猛踢猛咬。你想一下并立刻告诉我,你所伺伏和要 打击的是哪一个,是阿尔图比欧司本人还是他的马”。于是他的这个走卒回 答他说:“国王,我准备打其中的任何一个或者是两个都打,你怎样吩咐, 我就怎样做。但我愿意告诉你我认为对你最合适的做法。在我看来,国王和 将领是应当对付国王和将领的(如果你杀死一个敌人的将领的话,那你就成就 了一件伟大的功业,而如果,当然我希望不会有这样的事,他杀死了你的话, 那末被一个够得上是对手的人杀死,死亡的悲惨程度也是会减少一半的),而 对于我们这些仆从来说,那我们是应当和与我们同样身分的仆从,乃至和马 匹作战的。不要害怕马的那些把戏。我向你保证,它再也不会和任何人在战 斗中玩这套把戏了。”

    (112)以上便是他说的话。紧接着两军在陆上和海上的激战就开始了。伊 奥尼亚人那一天在海上表现出占着很大的优势,他们打败了腓尼基人;在他 们当中,萨摩司人是最勇敢的。在陆地上,当两军相会时,他们便相互交起 锋而打起来了。下面我要说一说关于这两个将领的事情。阿尔图比欧司拍马 向欧涅西洛司攻来,而欧涅西洛司则象他和他的盾手约定的那样,一下子把 乘马向他打来的阿尔图比欧司刺下马来,而当阿尔图比欧司的马直立起来把 它的前脚踏在欧涅西洛司的盾牌上的时候,这个卡里亚人立刻便用他的新月 形的刀把马腿割了下来。这样一来,波斯的将领阿尔图比欧司和他的马便都 战死了。

    (113)当其他人等还在作战的时候,库里昂的僭主斯铁塞诺尔却率领着他 的一批人数不算少的人投敌了。据说这些库里昂人是阿尔哥斯人的移民。在 库里昂人投敌的时候,撒拉米司人的战车也学了他们的样子。这样,结果就 使波斯人占了赛浦路斯人的上风。因此军队被击溃了,许多人被杀死了。阵 亡的人当中有发动了赛浦路斯人起事的凯尔西司的儿子欧涅西洛司,还有索 罗伊人的国王阿里司托库普洛司。阿里司托库普洛司是披罗库普洛司的儿 子,而当雅典的梭伦在他到赛浦路斯来的时候,曾在一首诗里称赞这个披罗 库普洛司,说他比所有其他的僭主都好。

    (114)关于欧涅西洛司,则阿玛图司人是把他的头割了下来带到阿玛图司 去。他们把这个头高悬在城门之上,因为他曾经围攻过他们的城市。在欧涅 西洛司的首级挂在那里若干时候后,里面就空了,于是一群蜜蜂飞到里面去 满满地造了窠。由于有了这样的现象(阿玛图司人便请示关于这个髑髅的神 托),神托指示他们把这个髑髅拿下埋起来,并且每年象对英雄那样地向欧涅 西洛司奉献牺牲。神托说,他们这样做,运气就会变好。

    (115)阿玛图司人这样做了,他们直到我的时候还是这样做的。但是当着 在赛浦路斯的海面上进行海战的伊奥尼亚人知道欧涅西洛司的一切已经垮 台,而除了撒拉米司人交给了他们先前的国王戈尔哥斯的撒拉米司之外赛浦 路斯的一切城市均被围攻的时候,他们一接到消息立刻乘船跑到伊奥尼亚去 了。在赛浦路斯的城邦当中,被围攻得最长久的是索罗伊人。波斯人在第五 个月里用了把对方城墙下面掘空的办法才攻克了这座城邦。

    (116)这样,赛浦路斯人虽然在一年中间争得了自由,结果却再一次遭到 了奴役(四九七年)。同样是波斯的将领,而同样又都娶了大流士的女儿的达乌里塞司, 叙玛伊埃司和欧塔涅斯追击那些远征撒尔迪斯的伊奥尼亚人并把他们赶到他 们的船上去。在这一胜利之后,他们就在他们中间分配了各个城邦并且把它 们劫掠一空。

    (117)达乌里塞司向海列斯彭特的各个城市进兵,他先后攻占了达尔达诺 斯、阿比多斯、佩尔柯铁、拉姆普撒柯斯和帕依索司。他攻占每一座城市所 费的时期是一天。正当他从帕依索司向帕里昂进兵的时候,他得到消息说, 卡里亚人和伊奥尼亚人同谋背叛了波斯人,于是他便离开了海列斯彭特,率 领军队向卡里亚进发了。

    (118)但是,结果怎样呢,在达乌里塞司到达以前,卡里亚人就知道了这 个消息;而当卡里亚人听到这个消息时,他们便在玛尔叙亚斯河河畔的一个 叫做白柱的地方集合起来。这个玛尔叙亚斯河的发源地是伊德里亚司地区, 最后流注到迈安德罗司河里去。他们在那里集合时提出了许多计划,然而在 我看来,这些计划中最好的是金杜埃司人,娶了奇利启亚国王叙恩涅喜斯的 女儿为妻的玛乌索洛司的儿子披克索达洛司所提出的计划。披克索达洛司的 计划的要点是,卡里亚人应该渡过迈安德罗司河而背着这条河进行战斗,因 为这样他们既然被切断退路而不能逃跑,那他们便不得不坚守阵地,这样他 们就一定会比平时更加勇敢了。不过披克索达洛司的这个意见并没有得到大 多数人的同意,却反而是另一种看法占了上风,这就是要波斯人而不是卡里 亚人背向着迈安德罗司河,理由是如果这样的话,在波斯人被战败而退却时他们无法逃脱而是会被赶到河里去的。

    (119)不久之后,当波斯人到来并渡过了迈安德罗司的时候,他们和卡里 亚人就在玛尔叙亚斯河的河畔交锋了。卡里亚人进行了长时期的顽强的战 斗,但是他们终因寡不敌众而败北了。波斯人死在那里的有两千人,而卡里 亚人阵亡的则多到一万人。他们当中逃出战场的人们则逃往拉布劳昂达,在 那里被赶到洋梧桐的大圣林、即宙斯。司特拉提欧司的圣域中去。在我们所 知道的人们当中,只有卡里亚人是向宙斯·司特拉提欧司奉献牺牲的。在被 赶到那里去之后,他们便商量如何能使他们自己得到最大的安全,是自己向 波斯人投降好呢,还是全体一致退出亚细亚好呢。

    (120)但是正当他们商量的时候,米利都人和他们的同盟军前来增援了。 于是卡里亚人便放弃了他们先前的计划并准备重启战端。他们迎击波斯人的 进攻,但是吃了比前一次还要惨重的败仗;他们的全军中阵亡的人很多,不 过米利都人所受的打击都是最重的。

    (121)但是后来卡里亚人从这次的灾祸恢复过来,又开始准备战斗了。他 们听说波斯人又出发向他们的城市进攻了,于是他们在佩达索斯地方的大道 上设下了埋伏,结果波斯人在夜间中了他们的伏兵而全部阵亡了,和他们同 时丧命的还有他们的将领达乌里塞司、阿摩尔盖司和昔西玛凯司。巨吉斯的 儿子密尔索斯也和他们一同阵亡了。指挥这一支伏兵的人就是美拉撒人伊巴 里诺司的儿子海拉克列戴斯。

    (122)这些波斯人就这样地阵亡了。那些追讨远征撒尔迪斯的伊奥尼亚人 的人们中的一人叙玛伊埃司现在是向普洛彭提斯推进并在那里攻克了美西亚 的奇欧司。而在他征服了这个地方之后,当他听到达乌里塞司已经离开海列 斯彭特并向卡里亚挺进的时候,他便离开了普洛彭提斯而率军前往海列斯彭 特。他征服了住在伊里翁地方的全部爱奥里斯人,以及古昔的铁乌克洛伊人 的遗族的盖尔吉斯人。但是当叙玛伊埃司正在征服这些民族的时候,他自己 也病死在特洛阿司了。

    (123)他就是这样地死在那里了。于是撒尔迪斯的太守和第三位将军欧塔涅斯 便受命率军征讨伊奥尼亚和与它相邻接的爱奥里斯的领土。因此他们便攻占 了伊奥尼亚的克拉佐美纳伊和爱奥里斯人的库麦。

    (124)从米利都人阿里司塔哥拉斯他的行动可以明显地看出,他并不是一 个有气魄的人物,因为在他扰乱了伊奥尼亚并且引起了巨大的动乱之后,当 他看到他所做的事情的后果时,他却想逃之夭夭了。此外,他还认为要想战 胜大流士是一件不可能的事情。于是当城市被攻克时,他便把与他共同谋叛 的人们召来商议,说他们如果被逐出米利都,他们最好是先搞一个避难的地 方。阿里司塔哥拉斯问他们,他是应当把他们从那里率领到萨尔多去殖民呢, 还是到希司提埃伊欧斯从大流士那里作为礼物得到并且用工事来防御的、埃 多涅斯人的米尔启诺司去。

    (125)但是,海盖桑德罗斯的儿子、历史家海卡泰欧斯的意见是,他们不 到这两个地方的任何一个地方去,但阿里司培哥拉斯如果从米利都被逐出的 话,他应当在列罗司岛给自己修造一座要塞在那里安定地住下来,在这之后, 他再离开这座岛,从那里返回米利都。

    (126)海卡泰欧斯的劝告便是这样。但是阿里司塔哥拉斯本人却认为最好 是退到米尔启诺司去。于是他便把米利都委托给一位知名的市民毕达哥拉 斯,他自己则带着愿意追随他的任何人乘船到色雷斯去并且占有了他所要去 的那个地方。他从那里出兵攻打色雷斯人,但是在他围攻一个市邑,而那里 的色雷斯人甚至准备在停战的条件之下撤退的时候,他和他的军队却死在色 雷斯人的手里了。

    第六卷

    (1)在激起了伊奥尼亚人的叛变之后,阿里司塔哥拉斯就象上面所说那样 地死去了。但是米利都的僭主希司提埃伊欧斯在得到大流士的允许离开之 后,就来到了撒尔迪斯。当他从苏撒到了那里的时候,撒尔迪斯的太守阿尔 塔普列涅斯便问他伊奥尼亚人叛变的原因是什么。希司提埃伊欧斯说他不知 道,又说他对于当前发生的事情是感到十分突然的。在这里他是装做对目前 的骚乱毫无所知的样子。但是阿尔塔普列涅斯却看出他是在装聋作哑,而他 对于叛变的真相都是知道得十分清楚的,于是就对他说:“希司提埃伊欧斯, 让我来告诉你这件事是怎么一回事罢。鞋子是你缝的,阿里司塔哥拉斯不过 是把它穿上罢了”。

    (2)关于叛变的事情,阿尔塔普列涅斯是这样讲的。希司提埃伊欧斯看到 阿尔塔普列涅斯对事情知道得这样清楚而十分害怕,就在天一黑的时候逃到 海岸方面去了。因为他欺骗了大流士,他曾答应大流士征服最大的一个岛即 萨尔多岛,但暗地里却是想对大流士兴兵而使自己成为伊奥尼亚人的领袖。 在他渡海到达岐奥斯的时候,他就被岐奥斯人捉住和绑了起来,因为岐奥斯 人认为他是给大流士派来做不利于他们的事情的。但是当他们知道他所以仇 恨国王的全部始末的时候,他们就把他释放了。

    (3)于是伊奥尼亚人便问希司提埃伊欧斯,为什么他这样热心地唆使阿里 司塔哥拉斯背叛国王并且使伊奥尼亚人遭到了这般巨大的损害。但真正的原 因他却根本没有全部告诉他们,而只是向他们说,国王大流士曾打算把腓尼 基人强行移走并使这些人定居在伊奥尼亚,而使伊奥尼亚人移居于腓尼基; 他说,正是为了这个原因,他才作了这样的布置。国主根本就没有过这样的 打算,希司提埃伊欧斯这样说不外是要吓一吓伊奥尼亚人罢了。

    (4)不久希司提埃伊欧斯便通过一个名叫赫尔米波司的阿塔尔涅乌斯人 作使者送信给撒尔迪斯的波斯人。他这样做是因为这些人在先前曾和他商谈 过叛变过的事情。但是赫尔米波司并没有把信送给他被指定送去的人们,而 是把信带交给阿尔塔普列涅斯。阿尔塔普列涅斯知道了正在发生的一切事情 之后,便命令赫尔米波司把希司提埃伊欧斯的信送到他应送去的人们那里去 并且把波斯人送给希司提埃伊欧斯的回信再交给他。这样阿尔塔普列涅斯就 知道了哪些人是准备叛变的,于是他立刻把许多波斯人杀死了。

    (5)这样,在撒尔迪斯便发生了骚动。希司提埃伊欧斯的希望既未得遂, 岐奥斯人便应他本人的请求把他带回了米利都。但是米利都人摆脱了阿里司 塔哥拉斯之后真是大喜过望,他们当然不愿接受任何僭主到自己的国内来, 因为他们已经尝到了自由的味道。当希司提埃伊欧斯试图在夜里借武力之助 强行进入米利都的时候,他被一个米利都人刺伤了大腿。因此,既然被逐出 了自己的城市,他便返回了岐奥斯;在那里,当他不能说服岐奥斯人把船给 他的时候,他便渡海到米提列奈去,尽力想说服列斯波司人把船送给他。他 们装备了八艘三段桡船,和希司提埃伊欧斯一同驶往拜占廷。他们在那里驻 扎下来之后,便把驶出黑海的一切船只都给拿捕了,除非这些船上的人员表 示愿意给希司提埃伊欧斯效劳的时候。

    (6)希司提埃伊欧斯和米提列奈人所做的事情就是这些。至于米利都本 身,则它是会受到一支庞大的海、陆军的进攻的。因为波斯的将领曾把他们 的兵力集合起来组成一支大军,用来进攻米利都,他们不去进攻别的城市, 这是由于波斯人认为别的城市乃是无关紧要的。在海军当中,腓尼基人是士 气最旺盛的,和他们同来的作战的有降服不久的赛浦路斯人,奇利启亚人和 埃及人。

    (7)于是这些人前来进攻米利都和伊奥尼亚的其他地方,但是在伊奥尼亚 人听到这个消息的时候,便派遣他们的使者到帕尼欧尼翁去商讨对策(见第一卷第一四八节)。当这 些人到了那里并在那里进行了商议以后。便决定不纠合陆军来对抗波斯人, 而是让米利都人防守他们的城墙,他们则把他们的船只一只也不留地装备起 来,尽快地集合在拉戴,在那里用海战来保卫米利都。这个拉戴是米利都城 附近海上的一座小岛。

    (8)伊奥尼亚人很快地就带着他们所装备好的船只到了那里,和他们同来 的有住在列斯波司的全部爱奥里斯人。他们是用这样的办法来布置战斗的。 米利都人自己带着八十只船列阵为东面的一翼,紧接着他们的是拥有十二只 船的普里耶涅人和拥有三只船的米欧司人,接在米欧司人后面的则是拥有十 七只船的提奥斯人,再下面是拥有一百只船的岐奥斯人。此外,接着他们严 阵以待的还有拥有八只船的埃律特莱伊人和拥有三只船的波凯亚人,在他们 的后面则是拥有七十只船的列斯波司人;在这一条线上最后地方的是拥有六 十只船的萨摩司人,他们形成了西面的一翼。以上总计起来,是三段桡船三 百五十三只。

    (9)以上就是伊奥尼亚的船。异邦人的船是六百只。而既然这些船只来到 了米利都的海岸而他们的全部陆军也来到了这里,波斯人的将领们在他们知 道了伊奥尼亚人的船只数目的时候,便开始害怕他们没有足够的力量来制服 希腊人,因此,如果他们不能取得制海权,他们便不能取得米利都并且或许 有受到大流士的严厉惩罚的危险。既然有了这样的想法,他们便把伊奥尼亚 人的僭主们集合在一起,这些僭主都是被米利都人阿里司塔哥拉斯剥夺了统 治权之后亡命到美地亚人那里去的,而现在他们也正好是在攻击米利都的军 队里面。等这些在军队中的全部僭主都集合起来的时候,他们便向这些僭主 说:“伊奥尼亚人,现在是你们之中的每一个人向王室表示效忠的时候了。 你们每一个人分别试图把他本国的人民从其他的同盟者那里分离开来罢。把 这一点告诉他们,同时向他们保证决不会因他们的背叛而受到惩罚,他们的 神殿和房屋也都不会被烧掉,而且他们也决不会再受到比先前更加残暴的对 待;但如果他们不愿意这样做,而只是想作战的话,那末就对他们进行恐吓, 告诉他们说他们一定要吃到很大的苦头。告诉他们说罢,如果他们打了败仗 的话,他们将会变为奴隶,我们将要阉割他们的男孩子,把他们的女孩子送 往巴克妥拉并且把他们的土地送给异邦人”。

    (10)这便是波斯将领们说的一番话。伊奥尼亚的僭主们于是在夜里各自 派人送信给他们本国的人;但是接到这些信的伊奥尼亚人的态度是固执的, 他们各自认为波斯人只是通告他们自己的,因此不肯做出背叛的事情来。以 上是波斯人来到米利都之后不久所发生的事情。

    (11)不久之后,集合到拉戴的伊奥尼亚人便举行了会议。我认为在会议 上向大家发言的人们当中,有一个波凯亚的将领狄奥尼修斯,他是这样说的: “伊奥尼亚人,我们当前的事态,正是处在我们是要作自由人,还是要作奴 隶,而且是逃亡的奴隶的千钧一发的决定关头了。因此如果你们同意忍受困苦,你们当前是会尝到苦头的,但是你们却能够战胜你们的敌人而取得自由。 但如果你们仍然这样闲散和不加整顿,我看就没有任何办法使你们不因背叛 而受到国王的惩罚了。因此我请你们务必要听我的话,把你们自己托付给我, 而我向你们保证,如果上天也嘉佑我们的话,我们的敌人不会和我们交战, 而即或他们向我们动手,他们也会遭受彻底的失败的”。

    (12)伊奥尼亚人听到这话之后,便把自己交到狄奥尼修斯的手里了。 于是他着手每天使船只在海上列为纵队,他训练划船手使他们能够相互 突入对方的队列并且使船上的人员作战斗的准备,而在一天其余的时间里都 把船只用锚系起来;他整天都使这些伊奥尼亚人不停地工作着。在七天里他 们都听他的话并按照他的吩咐去做了,但是过了这七天之后,他们不习惯这 样的劳苦,而且因艰苦的工作和烈日的灼热而疲惫不堪,于是伊奥尼亚人便 开始相互这样说:“我们是得罪了哪一位神,才叫我们吃这样的苦头呢?我 们竟把自己交给了不过出了三只船的波凯亚的吹牛皮的家伙,我们真正是精 神错乱和发疯了。这个人控制了我们之后,他就叫我们受到极其苛酷的虐待, 结果我们中间的许多人已经病倒了,而许多人也快要病倒了。不管我们遇到 什么倒霉的事情也比当前的苦头好些,即使是我们有受到奴役的危险,不管 是多么苦的奴役,也不会比我们现在受到的压迫再坏了。真的,我们不能再 任凭他来摆布了!”这就是他们所讲的话。而从那一天起,就没有人再服从 他了:他们象是陆军那样地在岛上给自己张开天幕,在里面躲避日晒,他们 再也不肯到船上去,再也不愿意操练了。

    (13)但是当萨摩司军队的将领们听到伊奥尼亚人的这种做法的时候,他 们就想起了叙罗松的儿子阿伊阿凯司曾经奉波斯人之命送给他们的一个要他 们脱离伊奥尼亚联盟的信。因此,当他们看到伊奥尼亚方面乱作一团的时候, 他们便同意按照送给他们的信里的意思去做了。而且,他们还认为要想战胜 国王的兵力那是一件不可能的事情,而且他们知道的很清楚,纵然他们战胜 了大流士当前的海军,他们还会遭遇到另外一支有五倍大的海军的。故而, 当他们一看到伊奥尼亚人拒绝听受使唤的时候,他们立刻抓住了这个机会作 为口实,认为他们这样做,正是很幸运地反而保全了他们的神殿和他们的家 宅。萨摩司人答应按照送给他们的信去做,送信的这个阿伊阿凯司是阿依阿 凯司的儿子叙罗松的儿子。他曾是萨摩司的僭主,直到他和伊奥尼亚人的其 他僭主一样,被米利都人阿里司塔哥拉斯剥夺了统治权的时候。

    (14)因此,当腓尼墓的水师前来向他们挑战的时候,伊奥尼亚人方面的 船只便排成纵队出海迎击了。当他们双方接近并打了起来的时候,在随后的 海战当中,哪些伊奥尼亚人英勇战斗,哪些伊奥尼亚人临阵怯懦,我这部历 史是说不确实的,因为他们都是相互推卸责任的。但是据说,萨摩司人,根 据他们和阿伊阿凯司的协定,当时确是掉头离开了他们的阵列,返回萨摩司 去了。只有他们的十一艘三段桡船的船长不服从他们的统帅的命令,留在原 地作战。由于这一次的行动,萨摩司的人民因他们的勇敢容许把他们的和他 们的父亲的名字刻在一个石柱上,这个石柱现在还耸立在他们那里的市场 上。但是列斯波司人看到他们的邻人溜之大吉了,便也学了他们的样。这样 一来,较大部分的伊奥尼亚人也就都这样做了。

    (15)在那些留在原地不动进行海战的人们当中,受损失最大的是岐奥斯 人,因为他们不愿意作懦夫,而是想成就武勋。前面我已经说过,他们带来 了一百只船参加海军,每只船上又有从他们市民当中选出的四十名精锐士 兵。他们看到自己受到他们大部分同盟者的欺骗,便认为如果他们自己也象 其他人等那样地卑怯是一件可耻的事情,因此他们便仍然和帮助他们的少数 同盟者继续战斗并杀到敌人的阵列里面去,结果他们竟然击破了敌人的许多 船只,不过他们自己却也损失了大部分的船只。因此,岐奥斯人便偕同他们 剩下的船只逃回了他们的本国。

    (16)但是岐奥斯人的那些由于破损而行驶不灵的船只上面的水手,他们 在受到追击的时候便逃到米卡列去了。在那里,他们把船拖上岸把它们丢在 那里,而后便从那里徒步穿行过了大陆。但是当岐奥斯人在他们行进之际进 入以弗所的领土时,正巧是在夜里,而那里的妇女又正在举行铁斯莫波里亚 祭。而且以弗所人先前从来没有听说过岐奥斯人的事情,因此在他们看到有 一支军队进攻他们的国土时,他们便深信,这是想来劫掠他们的妇女的一群 强盗。于是他们便火速地把他们的全部兵力集合起来,把岐奥斯人杀死了。 岐奥斯人于是遭到了我上面所说的惨祸。

    (17)关于那个波凯亚人狄奥尼修斯,则当他看到伊奥尼亚人的事业已经 垮台的时候,他便偕同他所俘获的三艘敌船从海上逃跑了。但是他不是逃到 波凯亚去,因为他知道的很清楚,邢地方是会和伊奥尼亚的其他地方一同被 奴役的,他是立刻一直向腓尼基驶去,他在那里击沉了一些大商船,劫得了 大量的财富,随后又扬帆前往西西里,拿那里作为据点,干起海盗的生意来。 他只向迦太基人和第勒塞尼亚人,却不向希腊人打劫。

    (18)当波斯人在海上击败了伊奥尼亚人的时候,他们便从海陆两方面包 围了米利都。他们在城墙下面掘地道,还使用了各种各样的攻城办法,直到 在阿里司塔哥拉斯叛变之后的第六个年头,他们才完全攻克了该城并且奴役 了全城的市民。这样看来,米利都城所遭受的惨祸就和神托关于米利都的话 符合了。

    (19)原来当阿尔哥斯人在戴尔波伊请示有关他们城市的安全的神托的时 候,他们曾得到一个双关的神托。神托的一部分是关于阿尔哥斯人本身的, 但是后来追加的神托都是关于米利都人的。关于阿尔哥斯人的那部分神托, 在我的历史叙述到那一部分时,我还要提到,但下面的预言却是关于当时没 有在场的米利都人的:米利都,你这个谋划坏事的人,到了那个时候,你会 成为许多人桌上的珍馐美味,成为掠夺者丰富的赠品,你的妇女们将要为许 多长发的老爷们洗脚而我的狄杜玛①的神殿也要由别人来守护了。预言中的一 切现在在米利都人的身上都应验了;因为他们的大部分男子都给留看长发的 波斯人杀死了,他们的妇女和小孩子也被变成了奴隶,而狄杜玛的神殿和它 的圣堂与神托所也被劫掠和烧毁了。关于这座神殿中的财富,在这部历史的 其他地方我已经屡次提到了。

    (20)在这之后,米利都人的俘虏便被押解到苏撒去了。国王大流士没有 再对他们加以更多的伤害,而是把他们安置在所谓红海岸上的一个叫做阿姆 培的城市里,底格里斯河就是流过这座城市而入海的。至于米利都的土地, 波斯人自己只占有紧接着城市的地区和平原,却把山地交给了佩达撒的卡里 亚人来占有。

    (21)当米利都人因波斯人而遭受到上述的一切苦头时,被剥夺了自己的 城市并定居在拉欧斯和司奇多洛斯的叙巴里斯人却没有对米利都人加以公正 ① 米利都附近地名,也叫做布朗奇达伊。 的回报。原来当叙巴里斯被克罗同人攻克时,全体米利都人不分老幼都剃光 了他们的头,而大家一致表示了很大的哀悼。据我所知,没有任何城市,有 过象这两座城市之间那样的交情。雅典人和叙巴里斯人却完全不相同。原来 雅典人除了用许多其他方式表示了他们对米利都失陷的深切哀悼之外,他们 特别还做了这样一件事:普津尼科司写了一个题名为“米利都的陷落”的剧 本并且演出了这个剧本,结果全体观众全都哭了起来。于是他们由于普律尼 科司使他们想起了同胞的令人痛心的灾祸而课了他一千德拉克玛的罚金,并 且禁止此后任何人再演这出戏。

    (22)于是,米利都地方的米利都人便被一扫而光了。但是,至于萨摩司 人,则他们中间有钱的人们很不高兴他们的将领对美地亚人的所作所为,在 海战之后,他们便立刻进行商谈并决定在僭主阿伊阿凯司来到他们的国家之 前,他们与其留下做美地亚人和阿伊阿凯司的奴隶,勿宁扬帆远去到他乡去 殖民。因为正在这个时候前后西西里的臧克列人派使者到伊奥尼亚来,请伊 奥尼亚人到卡列·阿克铁(意为美丽的海岸——译者)去,希望他们在那里建 立一个伊奥尼亚的城市。这个所谓卡列·阿克铁是西西里的一个地方,它是 面对着第勒塞尼亚的。因而由于这次的邀请,伊奥尼亚人当中只有萨摩司人 偕同逃出的那些米利都人应邀出发了。

    (23)在他们的途中,又发生了我下面所叙述的一件事情。他们向西面里 航行的途中,萨摩司人到达了埃披捷庇里欧伊·罗克里斯人的土地,到达的 时期正是在臧克列的人民和他们的名叫司枯铁斯的国王围攻一个西西里的市 邑而想把它攻克的时候。当时和臧克列人不和的、列吉昂的僭主安那克西拉 欧斯听到这件事之后,便和萨摩司人取得协议并说服了他们改变初衷。他说 他们最好不要再到卡列·阿克铁去,而是在臧克列人不在的时候攻取臧克列 城。萨摩司人同意这样做,就把臧克列攻克了。可是臧克列人当他们知道自 己的城池被攻克的时候,便前来救援。他们把他们的同盟者、盖拉的僭主希 波克拉铁斯召来帮助他们。但是当希波克拉铁斯率兵前来帮助他们的时候, 他却由于司枯铁斯失城而把臧克列的国王司枯铁斯和他的兄弟披托盖涅斯捉 起来上了枷锁,并且把他们送到伊努克斯去。至于臧克列的其他人等,他把 他们骗到萨摩司人的手里去,原来他本人曾和萨摩司人进行过商谈并交换了 誓约。萨摩司人约定要付给他的代价是,希波克拉铁斯应取得城内家财和奴 隶的一半以及城外的一切。较大部分的臧克列人都被带上镣铐而成为希波克 拉铁斯个人的奴隶。他把臧京列人当中的三百名知名之士交到萨摩司人手中 去处死,但是萨摩司人却没有按他的要求去做。

    (24)臧克列的国王司枯铁斯从伊努克斯逃到了喜美拉,而在他从那里到 达了亚细亚之后,他便到国王大流士的地方去了。在大流士看来,他是从希 腊来到自己这里来的一切人当中最诚实的人物,因为他得到国王的允许返回 了西西里,但是又从西西里回到大流士那里去。他最后是死在波斯的,他死 时享了高龄并且拥有巨大的财富。萨摩司人从美地亚人的手中逃出来以后, 便这样轻而易举地定居在臧克列这座极其优美的城市里面了。

    (25)在为米利都而进行的那场海战结束之后,腓尼甚人便遵照波斯人的 命令把叙罗松的儿子阿伊阿凯司由于他的殊勋和他的巨大功业而带回萨摩 司。由于在海战当中他们船只的逃跑,在背叛大流士的民众当中,只有萨摩 司人的城和他们的神殿没有被烧掉。米利都被攻克之后,波斯人立刻又占有 了卡里亚,有些市邑自动投降了他,再有一些市邑则是用武力征服的。

    (26)上面事情的经过情况就是我说的那样了。但是当米利都人希司提埃 伊欧斯在拜占廷拿捕伊奥尼亚人的驶出黑海的那些商船时,他知道了在米利 都发生的事情。因此,他便把有关海列斯彭特的一切事件托付给阿波罗旁涅 司的儿子、阿比多斯人比撒尔铁司,他自己则和列斯波司人乘船到岐奥斯去, 并在岐奥斯的所谓“科伊利”(意为“窪地”——译者)的地方和不放他们进 去的岐奥斯卫戍部队打了起来。他杀死了他们的许多人;当地的其他人曾在 海战当中受到很大的挫折,现在也给以岐奥斯的波里克涅为根据地的希司提 埃伊欧司和他手下的列斯波司人征服了。

    (27)当城邦或是民族将要遭到巨大灾祸的时候,上天总是会垂示某种朕 兆的。因为在这一切灾祸发生之前,岐奥斯人是曾经看到了巨大的征兆的。 在他们送到戴尔波伊去的一个由一百个少年组成的合唱团当中,只有两个人 回来,其余的九十八个人都中了瘟疫死了。此外,在大约同时,也就是在海 战稍前的时候,一个学堂的屋顶落到孩子们的身上,结果在一百二十个孩子 当中只有一个人倖免死亡。这都是上天垂示给他们的朕兆。在这之后,他们 便遇到了海战,这一海战征服了他们的城市,紧接着海战又有希司提埃伊欧 斯和他手下的列斯波司人继续前来进攻;岐奥斯人既已经被搞得疲惫不堪, 他们当然便很容易地给他征服了。

    (28)希司提埃伊欧斯从这里又率领着一支由伊奥尼亚人和爱奥里斯人组 成的大军向塔索斯进攻。但是当他围攻塔索斯的时候,他得到一个消息说, 腓尼基人正在乘船从米利都向伊奥尼亚的其他地区进攻。他接到了这个情报 以后,没有劫掠塔索斯便离开了那里,然后率领着他的全军向列斯波司赶来 了。因此,由于他的士兵缺乏食粮,他便渡到对岸去打算刈取阿塔尔涅乌斯 地方的谷物以及属于美西亚的凯科斯平原上的谷物。但是恰巧在那个地方有 一个波斯人哈尔帕哥斯率领看一支不小的军队驻在那里,当希司提埃伊欧斯 登陆的时候,哈尔帕哥斯便和他作战,生俘了他并且杀死了他的大部分军队。

    (29)希司提埃伊欧斯是这样被俘的。希腊人和波斯人在阿塔尔涅乌斯地 方的玛列涅作战,他们双方在长时期中间未分胜负,但终于波斯的骑兵向希 腊人发起了进攻,因此骑兵解决了问题。希腊人在溃逃的时候,希司提埃伊 欧斯以为大流士不会因他这次的罪过而把他处死,便干出了这样一件表明出 他是多么爱惜性命的事情。在他逃跑之际被波斯人追上,被捉住并将被刺死 的时候,他竟而用波斯语喊了起来并且说明他就是米利都的希司提埃伊欧 斯。

    (30)但是,如果他被俘并且给带到国王大流士那里去的话,我想他是不 会受到伤害,而国王是会宽恕他的罪过的。但是实际上希司提埃伊欧斯却给 带到了撒尔迪斯去,在那里由于他自己的所做所为,以及由于害怕他会被赦 免一死并再一次得到国王的恩宠,因而撒尔迪斯的太守阿尔增普列涅斯和捉 住了希司提埃伊欧斯的哈尔帕哥斯,就地立刻把他磔杀,并把他的首级制成 木乃伊送到苏撒地方国王大流士那里去。当大流士知道这伴事的时候,他是 不高兴这样做的人们的,因为他们没有把希司提埃伊欧斯活着带到他的面前 来。他下令把希司提埃欧斯的首级洗过并收拾干净,并非常隆重地加以埋葬, 就象对待一个对大流土本人和波斯都立过大功的人的首级一样。希司提埃伊 欧斯的遭遇便是这样了。

    (31)波斯的水师是在米利都过冬的,他们在第二年出海,不费什么气力 便把大陆附近的一些岛屿岐奥斯、列斯波司和提涅多斯征服了。每当他们攻 取了一个岛的时候,异邦人都在攻陷每个岛之际网捉居民。他们的网捉居民 办法是这样。他们一个个地牵起手来从北海一直延展到南海的地方,这样从 全岛的一端走到另一端来猎取居民。他们用同样的办法来攻取大陆上的伊奥 尼亚城市,尽管他们不是用网捉居民的办法,因为那是不可能的。

    (32)因此,波斯的将领们在他们与伊奥尼亚人对峙时向伊奥尼亚人发出 的威吓并不仅仅是空话。因为当他们控制了这些城市的时候,他们便把最漂 亮的男孩子选了出来,把这些孩子的生殖器割掉,从而使他们不能成为男子 而成了阉人,至于那些最美丽的女孩子,则他们把她们带到国王那里去;他 们这样做了之后,就把伊奥尼亚人的城市以及神殿烧掉了。这样一来,伊奥 尼亚人便第三次被变为奴隶:第一次是受到吕底亚人的奴役,第二次和现在 的一次都是受波斯人的奴役。

    (33)随后,波斯的水师便离开了伊奥尼亚向海列斯彭特进发,而把海列 斯彭特人口左侧的全部地方都给攻陷了。因为它的右侧早已被波斯人自己从 大陆方面给征服了。这些地方是属于海列斯彭特的欧罗巴诸地区:拥有许多 市邑的凯尔索涅索斯,佩林托斯、色雷斯沿岸的要塞、塞律姆布里亚以及拜 占廷。拜占廷人和对岸的迦太基人,甚至不等到腓尼基人水师的到来,便离 开他们自己的国土,逃往黑海的内部并在那里的美撒姆布里亚市定居下来 了。腓尼基人把上面所说的这些地方烧掉之后,便转向普洛孔涅素斯和阿尔 塔开,而在他们把这些地方也都烧掉之后,他们便乘船回到凯尔索涅索斯, 把他们先前登陆时没有毁掉的那些残余的市邑再扫数毁掉。但是他们却根本 没有到库吉科司去,因为库吉科司人在水师这次到来之前便根据一项协定, 已经自认是国王的臣民了。这项协定是他们和达司库列昂的太守、美伽巴佐 斯的儿子欧伊巴雷司签订的。至于凯尔索涅索斯的市邑,除去卡尔狄亚以外, 都给腓尼基人敉平了。

    (34)这些人直到当时是被司铁撒哥拉斯的孙子、奇蒙的儿子米尔提亚戴 斯统治着的。这个统治权先前是库普塞洛斯的儿子米尔提亚戴斯用下面的办 法争得的。领有这个凯尔索涅索斯的是多隆科伊人,他们原本是色雷斯人, 而当时由于他们在战争中受到阿普新提欧伊人的迫害,因此派遣他们的王公 们到戴尔波伊去请示关于战争的神托。佩提亚在她回答时嘱告他们把在他俩 离开神殿时第一个款待他们的人带到城中去建立他们的国家。于是多隆科伊 人便循看圣路行进并通过了波奇司和贝奥提亚。由于没有一个人招待他们, 他们便转向雅典去了。

    (35)这时雅典的最高统治者是佩西司特拉托斯,但是库普塞洛斯的儿子 米尔提亚戴斯也是一个有势力的人物。他出自一个拥有驷车的家庭,他的始 祖来自埃阿科斯和埃吉纳,但是在后来的系谱中,他却是雅典人了;这一家 族当中的第一个雅典人是埃阿司的儿子披莱欧司。这个米尔提亚戴斯当他坐 在自家门口的时候,看到穿着外国式样的衣服和拿着外国式样的长枪的多隆 科伊人走过,于是他便向他们欢呼并且在他们走近来的时候给他们以住处和 款待他们。而且他们也同意了。而当他把他们当作客人加以招待的时候,他 们便把神托的话全都告诉了他并且恳求他服从神的意旨。米尔提亚戴斯听到 这话之后,便相信了他们所说的话,因为他已不能忍受佩西司特拉托斯的统 治并且想把它摆脱掉。因而他立刻到戴尔波伊去,请示神托他是否可以按照 多隆科伊人所请示的办法去做。

    (36)佩提亚也要他同意这样的做法,于是在这之前曾在奥林匹亚赛会上 取得驷车比赛的胜利的、库普塞洛斯的儿子米尔提亚戴斯便把所有愿意和他 一同起事的雅典人集合起来,和多隆科伊人一同乘船出发去取得了他们的国 土;而那些把他带回本国的人们便推他为僭主。首先,他从卡尔狄亚市到帕 克杜耶,横贯看凯尔索涅察斯地峡修筑一道长城,这样阿普新提欧伊人便不 能攻击这个地方来伤害他们。这个地峡的宽度是三十六斯塔迪昂;地峡这一 面的凯尔索涅索斯的全长是四百二十斯塔迪昂。

    (37)横过凯尔索涅索斯的颈部修筑了一道长城,因而把阿普新提欧伊人 赶回去之后,米尔提亚戴斯首先便对拉姆普撒柯斯人开战了;拉姆普撒柯斯 人进行伏击而俘获了米尔提亚戴斯。但是吕底亚人克洛伊索斯是深知米尔提 亚戴斯的,因而在克洛伊索斯听到了发生的事情之后,便派人去警告拉姆普 撒柯斯的人们,要他们把米尔提亚戴斯放走。他恐吓说,如果他们不这样做 的话,他就要象刨松树那样地把他们消灭掉。拉姆普撒柯斯的人俩在他们商 议的时候,完全无法捉摸克洛伊索斯所说要把他们象刨松树一样地消灭掉这 种恐吓是什么意思,而经过苦心的思索之后,他们中间的一位长老终于把真 正意义告诉了他们,即松树是唯一在砍伐之后不再生出嫩枝而要完全枯死的 一种树。因此,由于害怕克洛伊索斯,拉姆普撒柯斯人便把米尔提亚戴斯释 放了。

    (38)这样一来,克洛伊索斯便救了米尔提亚戴斯。但是后来在米尔提亚 戴斯死的时候他没有儿子,因而把他的主权和财产留给了他的异父同母的兄 弟奇蒙的儿子司铁撒哥拉斯。而自从他死之后,凯尔索涅索斯的人们便一直 按照一般的习惯把他作为开国的国王向他奉献牺牲,并且创办不许拉姆普撒 柯斯人参加的赛马和运动比赛。但是在反对抗姆普撒柯斯人的战争中,司铁 撒哥拉斯也死去了并且没有留下子嗣。他是被一个男子在市会堂用斧头砍死 的。这个人外表上装成是一个跑来投降的人,但实际上却是一个凶暴的敌人。

    (39)司铁撒哥拉斯既然这样死了,佩西司特拉提达伊族便派遣奇蒙的儿 子和死去的司铁撒哥拉斯的兄弟米尔提亚戴斯乘着一只三段桡船到凯尔索涅 索斯去掌握那里的政权。这些人装得仿佛他们与他的父亲奇蒙的死亡无关的 样子而在雅典地方也侍他很好。关于他的死亡的经过情况,在我的历史的另 一个地方还要提到的。米尔提亚戴斯来到凯尔索涅索斯之后,便闭门家居, 扬言这是为了给自己的兄弟司铁撒哥拉斯致哀。当凯尔索斯涅索斯的人们知 道这件事的时候,当权的人们便从他们四面八方的一切城市集合到了一起, 打算和他共同致哀以示吊慰之忱。但是他把他们捕了起来。这样米尔提亚戴 斯便成了凯尔索涅索斯的主人。他在那里搞了一个五百人的亲卫队,并且娶 了色雷斯国王欧罗洛司的女儿海该西佩列。

    (40)但是在奇蒙的儿子米尔提亚戴斯这个人来到凯尔索涅索斯之后不 久,他便遇到了比以前更加沉重的祸事。原来在这之前三年①,游牧的斯奇提 亚人曾受到国王大流士的煽动把自己的兵力集合起来一直长驱到上面所提到 的凯尔索涅索斯的地方,因此就把米尔提亚戴斯从那个地方给赶出来了。米 尔提亚戴斯不敢等到他们攻来便从凯尔索涅索斯逃跑了,直到斯奇提亚人离 开而多隆科伊人把他又带了回去的时候。所有这一切都发生在现在他所遇到 的事情的三年前的时候。

    (41)但是这一次,知道腓尼基人已经到了提涅多斯,他便带着满载着自 ① 四九三年。 己身边的财货的五艘三段桡船到雅典去了。他从卡尔狄亚出航,渡过了美拉 司湾(意为黑湾——译者),而当他经过凯尔索涅索斯的时候,遇上了腓尼基 人的船只。米尔提亚戴斯本人和他的四只船逃到伊姆布罗斯去,但是第五只 船却受到腓尼基人的追击并被拿获了。而正巧这只船的船长是米尔提亚戴斯 的长子美提欧科司,这是他和另一个妻子,而不是和色雷斯人欧罗洛司的女 儿所生的。腓尼基人把这个人和他的船一并拿获了,而当他们知道他是米尔 提亚戴斯的儿子的时候,便把他带到国王那里去;他们认为他们这次干的事 情是会受到国王的非常的感谢的,因为当斯奇提亚人要求伊奥尼亚人毁掉舟 桥并各自回航他们本国的时候,米尔提亚戴斯在伊奥尼亚人中间是发表过意 见,主张按斯奇提亚人的要求去做的,但是当腓尼基人把米尔提亚戴斯的儿 子美提欧科司带到大流士的面前时,大流士不但不伤害他,反而很照顾他, 给了他房屋和财产,又送给他一个波斯的妻子,这个妻子给他生了被认为是 波斯人的几个孩子。至于米尔提亚戴斯,则他从伊姆布罗斯到雅典去了。

    (42)在这一年(四九三年)当中,波斯人对伊奥尼亚人就再没有做出任何一件有怀有 敌意的事情。但是在这同一年里,却发生了一些对伊奥尼亚人十分有利的事 情。撒尔迪斯的太守阿尔塔普列涅斯曾把各个城市的使节召到他那里去,强 迫伊奥尼亚人在他们本身中间缔结协定,以便使他们遵守法律的规定并在相 互间不进行掠夺抢劫。他是强迫他们这样做的。他以帕拉桑该斯为单位测量 了他们的土地,帕拉桑该斯是波斯人为三十斯塔迪昂的长度所起的一个名 称。他又指定每一地方的人民都要按照这次的测量交纳贡税,这种贡税从那 时到今天就和阿尔塔普列涅斯所规定那样地一直不变地确定下来了。规定的 数额和从来所缴的贡税相差不多。

    (43)因此,这样的做法给他们带来了和平的生活。但是在初春(四九二年)的时候, 其他将领被国王解职,戈布里亚斯的儿子玛尔多纽斯,一个年纪轻而最近又 娶了大流士的女儿阿尔桃索司特拉的人物,率领着一支非常庞大的陆海军来 到了沿海的地带。当玛尔多纽斯率领着这支军队来到奇里启亚的时候,他本 人便登上了船并和他的其他船只一同出发,而陆军则由其他将领率领到海列 斯彭特。当玛尔多纽斯沿着亚细亚的海岸航行到伊奥尼亚的时候,他做了这 样一件事情,我把这件事情记下来是为了使不相信七人当中的欧塔涅斯曾宣布说波斯最好的统治形式应当是民主政体的那些希腊人大吃一惊(见第三卷第八○节)。玛尔多纽 斯废黜了所有伊奥尼亚的僭主而在他们的城邦中建立起民主政治。他这样做 了之后,便火速地赶到海列斯彭特去,大量的船只和一支庞大的陆军早已在 那里集结起来了。于是波斯人便乘船渡过了海列斯彭特,穿拉欧罗巴直向埃 列特里亚和雅典进军了。

    (44)这些城邦便是他们此次远征的口实了。但是他们的意图却是尽可能 多地征服希腊的城邦,因此他们的舰队首先便征服了塔索斯人,塔索斯人几 乎没有抵抗。随后,他们的陆军又把马其顿人加到他们已有的奴隶里面去, 因为在此之前,比马其顿离他们更近的一切民族便都已经被波斯人征服了。 此后,他们又从塔索斯渡海到对岸,顺着大陆的沿岸前进直到阿坎托司地方, 再从这个地方出发打算绕过阿托斯山。但是当他们航行的时候,他们遇到了一阵猛烈的、不可抗拒的北风,这阵风使他们受到了很大的损害,许多船舶 被吹得撞到阿托勘山上面去了。据说,毁坏的船总数达三百只,失踪的人数 有两万多人。原来,既然阿托斯的这一带的海里有许多怪物,因而有一些人 便是给怪物捉去,这样便失踪了。再有一些人是撞到了岩石上的。那些不会 游泳的人溺死在水里了,又有一些人给冻死了。因此上述的一切便是水师的 遭遇了。

    (45)至于玛尔多纽斯和他的陆军,则当他们驻屯在马其顿的时候,色雷 斯的布律戈依人在夜里向他们进攻,杀死了他们许多人,并且使玛尔多纽斯 本人也负了伤。尽管如此,甚至这些人本身也未能逃脱波斯人的奴役。因为 玛尔多纽斯是在把他们征服之后才离开了那些地方的。然而在他把他们征服 的时候,他却率领着他的军队返回了本士,因为他的陆军曾吃了布律戈依人 的很大的苦头,而他的水师又在阿托斯一带遭到了一次更大的打击。因此, 这次出征便在这样的不光荣的祸事之后返回亚细亚了。

    (46)在这之后的第二年(四九一年),大流士首先就派使者到塔索斯人那里去,命令 他们毁掉他们的地墙并且把他们的船只带到阿布戴拉来。原来塔索斯的邻邦 居尺错误地报告说塔索斯人在准备叛变。因为塔索斯人既然曾经受到米利都 的希司提埃伊欧斯的围攻并且有丰厚的收入,故而他们便用他们的财富修造 战船并且用较坚固的城墙把他们自己围起来。他们收入的来源是大陆和矿 山。从斯卡普铁·叙列的金矿,他们大概收入八十塔兰特,而从塔索斯本土 的矿山虽收入较少,然而农产物不纳税的培索斯人从大陆和矿山的收入每年 大概是二百塔兰特,而收入最高的时候则是三百塔兰特。

    (47)这些矿山我自己都去看过。在这些矿山当中,比其他矿山要出色得 多的是和塔索斯同来并且在这个岛上建立了一个殖民地的腓尼基人所发现的 那些矿山;而且这个岛现在便是因这个腓尼基人塔索斯而得名的。这些腓尼 基的矿山是在萨摩特拉开对岸,塔索斯的所谓阿伊努拉地方和科伊努拉中 间;这是一座大山,它已被寻矿的人们给挖得翻过来了。关于矿山是事情我 只说这些。塔索斯人奉了国王的命令毁了他们的城墙并且把他们的全部船只 移转到阿布戴拉夫。

    (48)在这之后,大流士又去设法打听希腊人是打算对他作战,还是打算 向他投降。因此他便把使者分别派遣到希腊的各个地方去,命令这些使者为 国王要求一份土和水的礼物。他把这些人派到希腊去,又把另一些人分别派 到沿海地方向他纳贡的城市去,命令它们修造战船和运送马匹的船只。

    (49)因此这些城市便着手进行这些准备工作。到希腊去的使节们得到了 国王声明要求的东西。许多大陆上的住民是这样,受到使节的要求的所有岛 上住民也是这样。在把土和水送给大流士的岛上住民当中有埃吉纳人。但是 埃吉纳人这样做的时候,雅典人立刻前来向他们责问,因为雅典人认为他们 是由于仇视雅典才把这样的礼物送给大流士的,这样他们便会和波斯人结合 起来向雅典人进攻。实陈上,雅典人正欢喜有这样的一个借口,他们于是到 斯巴达去,在那里控诉证明埃吉纳人已经背叛希腊的行为。

    (50)由于这次的控诉,当时身为斯巴达人的国王的克列欧美涅斯,阿那 克桑德里戴斯的儿子,便渡海到埃吉纳去,以便可以把埃吉纳人当中的那些 罪魁逮捕。但是当他试图将他们逮捕的时候,波律克利托斯的儿子克利欧斯。 在其他埃吉纳人的支持之下对他加以反抗并且嘱告克列欧美涅斯不要逮捕任 何埃吉纳人,否则将悔之无及。他说克列欧美涅斯这样做并没有得到全体斯 巴达人的批准,而是接受了雅典的贿赂才这样做的。如果不是这样的话,他 是一定会和另一位国王同来逮捕他们的。他是受到戴玛拉托斯的一封信的指 示才讲了这一番话的。既然不得不因此而离开埃吉纳,克列欧美涅斯便问克 利欧斯他叫什么名字。当克利欧斯把名字告诉了他的时候,克列欧美涅斯就 向他说:“牡羊(克利欧斯原文 nplos 的意思是牡羊),现在是你把 青铜包在你的角上的时候了,因为你是必须要和大灾大难进行战斗的。”

    (51)在这个时候,阿里司通的儿子戴玛拉托斯住在斯巴达并且到处对克 列欧美涅斯进行诽谤。这个戴玛拉托斯也是斯巴达的国王,但是就门第而论 却要差一些。但是在其他任何方面他诚然并不差(因为他们出于同一祖先), 只是埃乌律司铁涅斯家方面由于是长门的关系而比另一家总要尊贵一些。

    (52)但是根据拉凯戴孟人的与任何一位诗人都不一致说法,把他们率领 到他们今天占据的地方的是阿里司托戴莫斯,而不是他的儿子们。这个阿里 司托戴莫斯是阿里司托玛科司的儿子,克列奥达伊欧斯的孙子,叙洛斯的重 孙子。不久之后,阿里司托戴莫斯的名叫阿尔该娅的妻子就给他生了儿子。 他们说她是欧铁希昂的女儿,而欧铁希昂则是提撒美诺斯的儿子、铁尔桑德 洛斯的孙子、波律涅凯斯的重孙子。她给他生了孪生子。阿里司托戴莫斯曾 活着看到孩子们,但不久他便病死了。当时的拉凯戴孟人决定按照他们的习 俗使双生儿当中较大的一个作国王。但既然这两个孩子在一切方面都是相同 的,他们因而不知选谁好;而当他们无法在二者中间判断的时候或恐怕甚至 比他们试图这样做更早的时候,他们便去问母亲。但是她说,她也不比拉凯 戴孟人知道的更清楚,她也分不出谁大一些。她是这样说的,虽然在实陈上 她是知道得很清楚的,因为她想用个什么办法使两个人都作国王。据说,拉 凯戴孟人当时不知如何做才好,他们便派人到戴尔波伊去请示处理这件事的 办法。佩提亚命令他们使二人都为国王,但是对年长的那个人更要尊敬些。 得到佩提亚的回答之后,拉凯戴孟人仍然不知道哪一个年纪较大,一个名叫 帕尼铁司的美塞尼亚人便提出了一个建议。他的建议是这样:他们注意母亲, 看她先洗和喂这两个孩子当中的哪一个,如果她总是按照一个规则来做的 话,那他们便得到他们寻求和想要发现的一切了。但如果她在这样做时随意 改变的话,那他们便可以看到她并不比拉凯戴孟人知道的更多,那时他们再 给自己想别的办法。于是斯巴达人便按照美塞尼亚人的建议做了,而在他们 注意阿里司托戴莫斯的孩子的母亲时,发现她在喂和洗孩子们时总是先照顾 先生的一个的,不过她并不知道为什么有人注意她。于是他们便把首先受到 母亲照目的孩子抱了来,把他当作长子由公家出钱抚养。他们称年长的为埃 乌律司铁涅斯,称另一个孩子为普罗克列斯。据说,当这两兄弟长大成人的 时候,他们二人一生中间都是不和的,他们的后人也一直是这个样子。

    (53)这便是拉凯戴孟人的说法,不过其他希腊人却不是这样讲。但是我 在下面所写的都是依照希腊的一般说法。我认为希腊人在列举多里斯人的这 些国王而一直回溯到达纳耶的儿子培尔赛欧斯,但不提到神的时候,是正确 的。而且他们还证明上面所列举的国王都是希腊人。因为在培尔赛欧斯的时 代,他们已经被认为是希腊人了。我回溯诸王一直到培尔赛欧斯而不更向上 回溯,这是因为培尔赛欧斯的上面没有一个凡人的父亲的名字,正好象阿姆 披特利昂对于海拉克列斯那样。因此,很明显,我在自己的一方面有充分的 理由来说,希腊的纪录是一直回溯到培尔赛欧斯的。从这里再向上,如果从 阿克里西欧斯的女儿达纳耶回溯的话,则可以看出多里斯人的首领都是道地 的埃及人。

    (54)以上我是按照希腊人的说法来回溯他们的系谱的。但是波斯人的说 法是,培尔赛欧斯本人是一个亚西里亚人,但是后来他变成了希腊人,不过 他的祖先并不是希腊人。波斯人还说,阿克里西欧斯的祖先和培尔赛欧斯并 没有血统关系,而正如希腊人所说,他们实际上是埃及人。

    (55)这些事情就说到这里为止了。但是其他的人们还提到,是什么理由 而且由于什么功业,这些埃及人竞成了多里斯人的国王。因此这里我就不再 讲了。我要讲的则是别人没有提到的事情。

    (56)于是斯巴达人便把这样的一些特权给了他们的国王。他们将拥有为 宙斯·拉凯戴孟和宙斯·乌拉尼欧斯所设置两个祭司职位;他们可以随便对 任何国家开战而任何斯巴达人都不能加以阻止,否则就会受到咒诅。在他们 的军队出征时,出发之际国王要在最前面,归来之际国王要在最后面。在他 们出战的时候,他们有一百名精兵保卫着他们。在他们出征的时候,他们可 以用尽可能多的牲畜作为牺牲,并且他们把一切牺牲的皮革和脊肉收归自己 所有。

    (57)以上是他们战时的权利。平时给予他们的权利则有如下述。在举行 任何公共的牺牲奉献式的场合,国王都要坐在首席,最先受到款待,而且他 们每个人所得到的任何东西都要比其他的客人多一倍。他们有最先举行灌奠 之礼,有取得牺牲的皮革的特权。每到新月和每月的第七日的时候,都由公 费为他们每一个人向阿波罗神殿奉献一头成熟的牺牲,一美狄姆诺斯的大麦 粉和一拉科尼亚。铁塔尔铁的酒,而在比赛的时候,也特别为他们保留正面 的席位。此外,他们还有权利任命任何愿意申请担任的市民担任异邦人保护 官,他们还可以为他们每一个人选两名佩提欧伊。佩提欧伊乃是被派柱戴尔 波伊请示神托的使者,他们是用公费陪着国王进餐的。而如果国王不参加公 宴的话,则要把两科伊尼库斯的大麦粉和一科杜列的酒送到他们家里去,如 果他们前来参加的话,则一切东西他们都要得双份。在他们应私人的邀请参 加宴会时他们也享受同样的荣誉。一切下赐的神托都要交给国王保存,但也 必须要佩提欧伊知道。只有国王才有权裁决一位未婚的女继承人应当嫁给什 么人,如果她的父亲没有把她嫁出去的话。关于公路也是这样,但是在其他 的情况之下便不是这样了。如果有人想收一名养子的话,他必须当着国王的 面做。他们和二十八名长老共同在评议会上商量事情。如果他们不来参加的 话,则长者中和他们关系最近的享有国王的特权,他们代国王投两票之后, 到第三票才是他们自己的。

    (58)国王从斯巴这国家方面得到的这些权利都是终身的。当他们死的时 候,他们的权利是这样处理的。骑士们到拉科尼亚鲁地宣布他们的死讯,在 市内,则妇女们敲着锅到鲁处去报信。而当这件事做完了以后,每家当中的 两个自由人,一男一女一定要服丧,否则的话便要受到重罚。拉凯戴孟人在 他们国王死去时的风俗和亚细亚的异邦人是相同的,因为大部分异邦入在他 们的国王死时,风俗都是一样的。原来当拉凯戴孟人的国王死去的时候,除 去斯巴达人之外,从拉凯戴孟全土要有一定数日的佩里欧伊科司①被强制前来 ① 斯巴达的全部居民分成三个阶级,最高的是占统治地位的斯巴达人,他们是征服者乡里斯人的后裔,从 参加葬仪。这些人和希劳特和斯巴达市民本身共几千人集合在一个地方,再 加上妇女,于是他们就拼命拍打他们的前额并表示无限的哀悼,他们把最近 死去的国王,不管这个国王是谁,总是称为他们的国王当中最好的一位。如 果一位国王战死的话,他们便给他做一个像,把它放在一个装饰得富丽堂皇 的床位上抬着去下葬,而在下葬之后十天里,不许举行任何集市或是选举长 官,而是一直要进行哀悼。

    (59)在另一件事上,拉凯戴孟人也是和波斯人相似的。当一个国王死去 而另一个国王接替他的时候,这个新王便免除任何斯巴达人对国王或是对国 家所负的任何债务。在波斯人那里,当新王即位之时,他也是豁免一切城邦 未缴清的贡税的。

    (60)此外拉凯戴孟人还有和埃及人相似的地方,即他们的报信人和吹笛 人和厨子等职业都是世袭的;吹笛人的儿子是一个吹笛者,厨子的儿子是一 个厨子,报信人的儿子是一个报信人。没有别的人由于自己的嗓音响亮而来 作报信人,从而会占夺了他们的地位。他们从一生下来便有从事他们的行业 的权利。这些事情的情况就是这样。

    (61)但是在我所谈到的那个时候,也就是当克列欧美涅斯在埃吉纳做着 后来对整个希腊有利益的事情的时候,戴玛拉托斯便对他进行诽谤,这与其 是由于他关心埃吉纳人,勿宁说是由于嫉妒和恶意。当克列欧美涅斯从埃吉 纳回来的时候,他就计划把戴玛拉托斯从王位上放黜出去。他为什么这样攻 击他,下面我来说一说这个原因。斯巴达的国王阿里司通娶了两个妻子,但 是都没有给他生孩子。他相信不生孩子的责任不在他的身上,于是他娶了第 三个妻子。他娶这个妻子的经过情况是这样的。有一个斯巴达人,他是阿里 司通的最亲爱的朋友。这个人有一个妻子,她在斯巴达妇女中间是一个出类 拔萃的美女,不过现在她虽然是最美丽的,在先前却是最丑陋的。原来,她 既然长得丑陋,她的乳母想到一个有钱家庭的女儿却长得这样难看而她的双 亲又为自己女儿的容貌这样担心,于是因这样的一些理由给她想一个办法; 乳母每天把这个孩子带到海伦的神殿去,这座神殿在所谓铁拉普涅地方①的波 伊勃司神殿的上方。乳母把孩子带到这里来,抡她放在神像的旁边,祈求女 神改变这个孩子的丑陋容貌。因此在一天里,正当这个乳母离开神殿的时候, 据说有一个妇女在她的面前显现,问她抱着的是什么。乳母回答说是一个婴 儿,那个妇女要乳母把这个孩子给她看。乳母说她不能这样做,因为婴儿的 父母不许把婴儿给任何人着。但是这个妇女无论如何也要看一下这个孩子。 因此当乳母看到这个妇女非常热心地想看这个孩子的时候,她便真地把孩子 给这个妇女看了。于是这个妇女便拍了一下这个孩子的头,说她将会变成一 切斯巴达妇女当中最美丽的。据说,从这一天起,这个孩子的面容就改变了。 而当她到了可以结婚的年龄时,她就嫁给了阿里司通的朋友,这就是阿尔开 达司的儿子阿盖托斯。

    (62)但是看来阿里司通是爱上了这个妇女的,于是他便想了这样一个办 法来得到她。于是他答应他的朋友,即这个妇女的丈夫说,他愿意从他的所 事征战并享有完全的政治自由;其次是佩里欧伊科司(或称边区居民),他们是被征服的阿凯亚人的后裔, 主要从事工商业,享有人身自由,但是没有充分的政治权利;最后是希劳特,他们的地位和奴隶没有什么 区别。 ① 在斯巴达的东南;传说是美涅拉欧司和海伦的葬地。那里到今天还可以看 到一座神殿的基址。 有物当中把他的朋友随意选择的任何一件东西送给他的朋友,条件是他的朋 友也答应他同样的请求。阿盖托斯看到阿里司通自己也有一个妻子,便不为 自己的妻子担心,于是他答应这样做了。他们为这个协定立下了誓约。于是 阿里司通便把阿盖托斯从他的财富当中所选取的东西给了他;至于他自己要 从阿盖托斯那里取得的报偿,则他是试图取得他的朋友的妻子。阿盖托斯说, 除去这一点之外,他什么都能同意。但是由于他自己的誓约和把他欺骗了的 狡计,他竟不得不容许阿里司通把他的妻子带走。

    (63)这样,阿里司通便和第二个妻子离了婚,把第三个妻子带回家里来 了。而在不满十个月的一个较短的时期里,他的妻子就给他生了一个孩子, 这就是前面所说的戴玛拉托斯。当他家里的一个仆人来告他说他得了一个儿子的时候,他正在和五长官一道举行会议。他是记得他的婚期的,于是他便屈指计算并发誓说:“这不会是我的儿子”。五长官听到了他讲的话,但是 当时根本未加以注意。在这个男孩子长大成人的时候,阿里司通后悔他所讲过的话,因为他已相信戴玛拉托斯确乎是他的儿子了。他所以称他戴玛拉托斯,是因为在这之前,全体斯巴达人民都为他祈求一个儿子,因为他们都认 为阿里司通是斯巴达的历代国王当中最出色的一位。因此这个孩子便被命名为戴玛拉托斯(意即“人民祈求的”)

    (64)久而久之,阿里司通逝世了。戴玛拉托斯于是作了国王。但是看来 这些事件注定是要被发现的,而戴玛拉托斯便由于这样一个原因失去了自己 的王位。在这之前,克列欧美涅斯当戴玛拉托斯把自己的军队引离埃列乌西 斯的时候,便是非常仇视他的,特别是这次当克列欧美涅斯本人渡海到埃吉 纳去惩罚支持波斯人的埃吉纳人的时候,便更加仇视他了。

    (65)因此,克列欧美涅斯既然想进行报复,他便和戴玛拉托斯家中的一 个人,即阿吉斯的孙子、美那列斯的儿子列乌杜奇戴斯缔结了一项协定,即 如果他使列乌杜奇戴斯代替戴玛拉托斯做国王的话,那未列乌杜奇戴斯要随 他一同去攻打埃吉纳人。原来列乌杜奇戴斯乃是戴玛拉托斯的一个死敌,因 为他曾和戴玛尔美诺斯的孙女、奇隆的女儿培尔卡洛斯订了婚,但是戴玛拉 托斯使用了计谋,夺走了列乌杜奇戴斯的新妇,他把新娘在婚前拐跑而使她 和自己结了婚。这便是列乌杜奇戴斯和戴玛拉托斯反目的理由。而现在由于 克列欧美涅斯的唆使,他便对戴玛拉托斯提出了控诉,起誓说戴玛拉托斯并 不是斯巴达的合法的国王,因为他本来不是阿里司通的儿子;在作出了这个 誓证之后,他便到法庭上去控告戴玛拉托斯,因为他一直记得,当仆人把生 男孩子的事告诉阿里司通,而阿里司通在计算了月份之后曾誓言这个男孩子 并不是他的儿子。列乌杜奇戴斯便以这句话为根据,力图证明戴玛拉托斯根 本不是阿里司通的儿子或斯巴达的合法的国王。他召请五长官前来作证,因 为他们当时都曾列席会议并且听见过阿里司通说这样的话。

    (66)结果在这件事上面发生了争论,于是斯巴达人决定到戴尔波伊去请 示神托,问戴玛拉托斯是否阿里司通的儿子。这件事被送到佩提亚那里去, 征求她的意见,这也是克列欧美涅斯出的主意。原来当时克列欧美涅斯曾得 到戴尔波伊最有势力的人物、阿里司托庞托斯的儿子科邦的帮助;这个科邦 曾说服了那里的女祭司培莉亚拉,要她说出克列欧美涅斯要她说的话。结果 当使者向她请示的时候,她便断定说戴玛位托斯并不是阿里司通的儿子。但 是后来,这种行为被发觉了。科邦被驱出了戴尔波伊,而女司祭培莉亚拉也被褫夺了她的光荣职务。

    (67)以上便是戴玛拉托斯被剥夺了王位的情况。而他从斯巴达亡命到美 地亚人那里去,乃是由于受到了下面我要说的一种非难。戴玛拉托斯被褫夺 了王位之后,曾当选担任一个官职。但是在举行吉姆诺帕伊狄阿伊(斯巴达地方大群裸体的男子与少年在仲夏所举行的节日)的时候, 戴玛拉托斯曾前往参观。这时列乌杜奇戴斯纯乎是为了嘲笑和侮辱的目的把 他的从仆派到戴玛拉托斯那里去,问戴玛拉托斯在作国王之后担任一名官吏 有何感想。戴玛拉托斯听到这个问题,心中着实怒恼,于是他回答说,和列 乌杜奇戴斯有所不同,他两种经验都有了;他还说,无论如何,这个问题对 拉凯戴孟人来说,是会引起无限灾祸或无限福祉的。他这样说了之后,便蒙 看自己的脸离开了剧场回家去了;回家之后,他立刻作了准备,向宙斯神献 了一头牡牛,奉献完了之后,他便呼唤他的母亲。

    (68)他的母亲来了,于是他把牺牲的一部分脏腑放到她的手里,向她恳 求说:“娘啊,我以其他诸神的名义,特别是以咱家的守护神宙斯的名义恳 求你,请你如实地告诉我,到底谁是我的亲生父亲。因为列乌杜奇戴斯在与 我争论的时候说,当你嫁给阿里司通的时候,你已经由于你前一个丈夫而怀 孕了。而另外一些人则有一种更加不负责任的说法,他们说你曾和一个看■ 的仆人通情,而我就是你们两个人所生的儿子。因此我以诸神的名义恳求你 把真实情况告诉我:因为,假若你做了象他们所说的那样的事的话,则不仅 是你,其他许多妇女也都是这样的。而在斯巴达则大家都传说,阿里司通命 中注定是不会有孩子的,否则他的前妻也就会给他生孩子了。”

    (69)在他说了这一番话之后,他的母亲便回答他说:“儿啊,既然你祷 告并恳求我把真情告诉你,那末我就把全部真实情况对你讲了罢。 在阿里司通把我带到他家的第三个夜里,有一个象是阿里司通的幻影到 我这里来与我交合,然后把他的花环给我戴上。可是在这个幻影离开之后不 久,阿里司短就来了。他看到我所戴的花环,便问我这是谁给的,我就是他 给的,但是他不承认。于是我便发誓,说如果他否认的话那是不对的;我对 他说,原来就是在不一会儿之前的时候,他来了和我交配并且把花环给我戴 上。当阿里司通看到我为这件事发誓的时候,他便认识到这乃是神的所作所 为了。花环显而易见是从那在大门口旁边、他们称为阿司特罗巴科斯神殿的 那座英雄神殿里来的,而且卜师们也都说,到我这里来的不是别人,正是那 位英雄阿司特罗巴科斯。因此,儿啊,你想知道的一切你已经都知道了;或 者你就是那位英雄的儿子,这样则你的父亲是那位英雄阿司特罗巴科斯,或 者阿里司通是你的父亲,因为正是在那一夜里,我有了你。至于他们攻击你 的时候所持的理由,即当阿里司通接到生你的音信时,他当着许多人的面说 你不是他的儿子,(因为我生你时离我初怀你时还不到十个月),那末这乃是 他由于不知道这样一些事情的真象,才随便这样讲的。因为并不是所有的妇 女怀孕都满十个月的,有一些人在九个月之后,甚至七个月之后便生产了。 儿啊,你就是我在怀孕七个月后生的。不久之后,阿里司通自己也知道他自 己所说的是愚蠢的话了。不要相信任何其他有关你的出生的胡言乱语罢。因 为我告诉你的,都是千真万确的话。反而是列乌杜奇戴斯本人和说这样的话 的其他人等,他们的妻子会跟着爐人私通生孩子罢。”

    (70)以上便是他的母亲所说的一番话。戴玛拉托斯知道了他想知道的一 切之后,便作了上路的准备,他借口到戴尔波伊去请示神托而出发到埃里司去了。但是拉凯戴孟人怀疑他打算逃走,于是就追踪在他的后面。但是戴玛 拉托斯却想办法赶在他们的前面,便从埃里司渡海到札昆托斯去了。拉凯戴 孟人随着他渡过了海,很想逮捕他,而把他的仆人从他身边带走。但是札昆 托斯人拒绝引渡他,随后他便从那里渡海到亚细亚,到国王大流士那里去了。 大流士盛大地欢迎了他,给了他土地与若干城市。戴玛拉托斯经过这样的奔 波之后,便这样地到达了亚细亚。这个人在拉凯戴孟曾由于自己的许多成就 和本身的智慧而博得了赫赫的声名,特别是由于他在奥林匹亚比赛会上取得 驷草比赛的奖赏,从而给自己的城邦取得了胜利的荣誉。在斯巴达的国王当 中,是只有他一个人做了这样的事情的。

    (71)戴玛拉托斯被黜之后,美那列斯的儿子列乌杜奇戴斯便继承了他的王位。他的妻子给他生了一个名叫杰乌克西戴莫斯的儿子,有些斯巴达人则把他的这个儿子称为库尼司科斯。这个杰乌克西戴莫斯始终也没有成为斯巴达的国王,因为在列乌杜奇戴斯活着的时候他便死了,身后留下一个名叫阿尔奇戴莫斯的儿子。列乌杜奇戴斯既然失掉了杰乌克西戴莫斯,便又娶了一 个妻子埃乌律达美,她是美尼欧斯的姊妹,又是狄雅克托里戴斯的女儿。他 们之间也没有生男孩子,却生了一个名叫拉姆披多的女儿,而列乌杜奇戴斯便把她许配给了杰乌克西戴莫斯的儿子阿尔奇戴莫斯。

    (72)但是列乌杜寄戴斯本人也未能在斯巴达享高年。由于对戴玛拉托斯 的所作所为,他受到了下面的惩罚。他率领一支拉凯戴孟的军队去进攻帖撒利亚(约为四七五年或四七○年),而当他行将征服帖撒利亚全境的时候,他接受了很大的一笔贿赂;但 是这件事由于他有一次在营帐里坐在一个满装着银子的手笼上面而被发觉, 随后他便受到了审判,结果他被从斯巴达放逐出去;他的家宅也被毁掉,他 自己则亡命到铁该亚去并且死在那里了。

    (73)这是很久以后的事情了。但是在当前我说的这个时候,克列欧美涅 斯在有关戴玛拉托斯的事件上成功以后,他立刻带着列乌杜奇戴斯出发惩罚 埃吉纳人去了。由于埃吉纳人曾经侮辱过他,因而他便极端仇恨埃吉纳人。 当埃吉纳人看到两个国王都来讨伐他们的时候,他们便认为还是以不加抵抗 为妙。国王们于是从埃吉纳选出在财富和门第方面占最高地位的十个人来, 在这十个人当中有埃吉纳的两个最有势力的人物,即波律克利托斯的儿子克 利欧斯和阿里司托竞拉铁斯的儿子卡撒姆包斯:他们把这些人带到阿提卡 去,把他们交到他们的死敌雅典人的手里去看管。

    (74)在这之后,人们知道了克列欧美涅斯对戴玛拉托斯所玩弄的好计; 克列欧美涅斯害怕斯巴达人,便偷偷地溜到帖撒利亚去了。从那里他又到阿 尔卡地亚去,在那里造成了混乱的局面。原来他尽力想把阿尔卡地亚人纠合 起来去反对斯巴达,除去用其他办法要他们发誓不拘他领他们去干什么事他 们都追随他之外,他还想把阿尔卡地亚的首脑人物带到挪纳克利斯市去,要 他们凭看司图克斯河的河水发誓。据阿尔卡地亚人的说法,则在这个市邑的 附近就有司图克斯河的河水,而这种河水的性质则有如下述:它看起来不过 是从岩石流向窪池的一股小小的水流,在窪他的四周有一道圆形的石壁。这 个水泉所在的挪纳克利斯是阿尔卡地亚地方离培涅俄斯不远的一个市邑。

    (75)当拉凯戴孟人知道克列欧美涅斯有这样的打算的时候,他们害怕 了,于是他们把他召回斯巴达,让他以和先前相同的条件来担任国王。但是 克列欧美涅斯在这之前就有些精神不正常,归来之后就得了癫狂症,因为他 不拘遇到任何斯巴达人,他都要用他的王笏打击对方的脸。由于他这样的行 动以及他所得的癫狂症,他的近亲便把他看了起来,给他上了足枷。但是当 他在禁闭中看到看守他的人只剩下一个,其余的人都已离开的时候,他便向 这个看守人索取一把匕首。看守人起初拒绝了他的请求,但是克列欧美涅斯 威吓这个看守人说以后如果他得到自由,他会对这个看守人怎样怎样,(身为希芳特的)这个看守人被他的威胁吓住了,于是便把匕首交给了他。克列欧美 涅斯得到了这个匕首之后,便开始从自己的胫部向上切了起来,从胫部向上 切到大腿,从大腿又切到臀部和腰部和胁腹部,最后竟一直到腹部,而且都是顺着切,切成了条条的肉,他便这样地死去了。据大多数的希腊人的说法, 他所以有这样的下场,是因为他说服佩提亚编造了对戴玛拉托斯很不利的一 番话;唯独雅典人却说,这是因为他入侵埃列乌西斯并且蹂躏了女神们的圣 域。阿尔哥斯人则认为,这是因为当阿尔哥斯人为躲避战祸而到他们的阿尔 哥斯神殿去避难时,他把他们从那里赶了出来并把他们杀死,他又不把圣林 放到眼里,却用火把它烧掉了。

    (76)原来当克列欧美涅斯到戴尔波伊去请示神托的时候,曾有一个神托 告诉他说,他应当攻取阿尔哥斯。因此,当他率领着斯巴达人到达据说是发 源于司图姆帕洛斯湖的埃拉西诺斯河(他们说,这个湖的湖水流入地下的一个 裂缝里去,然后再在阿尔哥斯出现,而从那里开始,这条河便被阿尔哥斯人 称为埃拉西诺斯河),当着克列欧美涅斯到达这条河的时候,他便向这个河奉 献牺牲。但尽管他这样做,牺牲却丝毫没有呈现出有利于他渡河的吉兆,于 是他就说他是敬佩埃拉西诺斯河的,因为它不出卖它的本国人民,同时他又 说,甚至这样他也是不会轻轻饶过阿尔哥斯人的。不久他便从那里撤退,率 领大军朝着大海的方向到杜列亚去了,在那里他向大海奉献了一头牡牛作为 牺牲之后,便下令自己的士兵登上了船,把他们带到提律恩司地区和纳乌普 利亚去了。

    (77)阿尔哥斯人听到这个消息之后,便到海岸地带来和他们作战了。当 他们走近提律恩司,到达一个叫做海西佩阿的地方时,他们就在拉凯戴孟人 的对面扎下了营,两军相隔只有不多的地方。阿尔哥斯人并不害怕在那里进 行正正堂堂的战斗,他们勿宁是害怕中了敌人的诡计;原来,女祭司同时给 阿尔哥斯人和米利都人的那个神托,便正是指着这件事说的。神托的话是这 样:当一个妇女战胜了男子,把他驱离战场,并且在阿尔哥斯人中间赢得荣 誉的时候,许多阿尔哥斯妇女就会在哀痛中撕裂自己的双颊。 而在将来的时候,会有人这样说: “可怕的卷作三圈的蛇将被刺死在长枪之下。”弦一切的事情凑到一起, 就使阿尔哥斯人感到害怕了。因此他们决定使敌人的傅令人也给自己一方面 服务,而在这样决定之后,则每当斯巴达的傅令人向拉凯戴孟人傅达任何命 令的时候,他们也就按照他的吩咐做同样的事情。

    (78)当克列欧美涅斯看到阿尔哥斯人按照他的傅令人所吩咐的去做的时 候,他便下令说,当傅令人发出要大家吃早饭的口号的时候,他们便拿起他 们的武器,向阿尔哥斯人发起进攻。拉凯戴孟人按照这样的吩咐做了。结果 在拉凯戴孟人进攻的时候,他们发现阿尔哥斯人正在遵照傅令人的口号在那 里吃早饭呢。他们杀死了许多阿尔哥斯人,但是却有多得多的阿尔哥斯人逃 避到阿尔古司圣林中去,而拉凯戴孟人便在圣林的四周扎营,把他们严密地 监视起来。结果,克列欧美涅斯竟而想出了这样的办法。

    (79)他的身边有一些投降他的人,他向这些人打听了一番之后,便派遣 一名傅令人去呼喊那些把自己关在圣域之内的阿尔哥斯人的名字,要他们出 来,并且说他已经得到了他们的赎金。因为在伯罗奔尼撒人当中,对于每一 个俘虏都要付出一定数目的赎金,即每人两米那。这样克列欧美涅斯便把大 约五十个阿尔哥斯人一个一个地召请出来,出来之后便把他们杀掉了。然而, 还留在圣域之内的其他人却不知道这些人被诛杀的事情。因为这个林子是很 茂密的,林子里面的人们看不到外面的人们遇到什么事情,直到他们有一个 人爬上了树,才看到外面所发生的事情。自此以后,傅令人再呼喊的时候, 他们便再也不出来了。

    (80)因此克列欧美涅斯便下令全体希劳特在圣林的四周堆起薪材来;他 们遵照命令行事,于是他便把圣林放火点看了。当火正在燃烧的时候,他就 同一个投降者这座圣林是献给哪一位神的。那个投降者就说这座圣林是献给 阿尔古司神的。他听见这话,便大声悲叹地说:“哦,宣托之砷阿波罗啊, 你说我应当攻陷阿尔哥斯,那你真是把我骗苦了。但是我以为,你的预言却 在这件事上实现了”。

    (81)不久克列欧美涅斯便把他的大部分军队派回了斯巴达,他自己则率 领着他的一千名最精锐的部队,到希拉的神殿(在阿尔哥斯东北约604公里)那里去奉献牺牲,但是当他本 来正要在祭坛上奉献牺牲的时候,祭司却禁止他这样做,他所持的理由是按 规定不许任何异邦人在那里奉献牺牲。于是克列欧美涅斯便命令希劳特们把 这个祭司从祭坛拖开毒打一顿,他自己则在那里奉献牺牲。这样做了之后, 他便回到斯巴达去了。

    (82)但是在他回国之后,他的政敌就把他带到五长官面前,说他是由于 接受了贿赂,才没有攻陷那本来可以很容易攻陷的阿尔哥斯。可是克列欧美 涅斯却说,当然,他说的话是真是假我不能明确判断。但他却是这样说,当 他拿下阿尔古司神殿时,他以为神的预言就已经应验了,因此他就以为最好 是先不要进攻这个城,而是先用奉献牺牲的办法请示一下,看神是允许他攻 取这座城市还是反对他这样做。而当他在希拉的神殿里请求赐于朕兆时,从 神象的胸部闪射出火焰来,因此他就知道了事情的真象,即他不应当去攻取 阿尔哥斯了。因为,他说,如果火焰是从神象的头部射出,那他就会从上到 下地完全攻陷该城;但是入焰从胸部射出,这便表明,神心里想要他做的事 情,他已经做到了。他的这种辩解的理由在斯巴达人听来是可以相信的,又 是合理的,于是他就大大地胜过了向他控诉的人们而获释了。

    (83)然而阿尔哥斯的成年男子却损失到这样程度,以致他们的奴隶竞掌 握了一切;他们取得政权进行统治,直到战死者的儿子们长大成人的时候。 到那时,这些人便为自己恢复了阿尔哥斯抖且把奴隶们驱逐出去。奴隶们被 驱逐出去之后,又用强力夺取了提律恩司。他们相互之间暂时处于相安无事 的地位。但是不久之后一个叫做克列昂德罗斯的占卜者到奴隶们这里来,这 是一个阿尔卡地亚地方的披伽列亚人。他游说奴隶们向他们的主人进攻。从 这时开始,在很长的一段时期当中,他们相互之间都在进行着战争,直到最 后,阿尔哥斯人好不容易才把奴隶们制压下去(约四六八年)

    (84)根据阿尔哥斯人的说法,这就是克列欧美涅斯发疯和他的惨死的原 因。但是依照斯巴达人自己的说法,克列欧美涅斯的发疯并不是神的意旨, 而是由于他与斯奇提亚人交往,结果他变成了一个饮不调水的烈酒的人,因 而就变疯了。他们说,原来游牧的斯奇提亚人在大流士侵略他们的土地以后, 便想对他进行报复,而派使者到斯巴达去和斯巴达人缔结了联盟;结果便约 定,斯奇提亚人本身应试着从帕希斯河进攻美地亚,斯巴达人则依照他们的 建议应从以弗所出发向内地进军与斯奇提亚人相会。当斯奇提亚人抱着这个 目的到来的时候,据说克列欧美涅斯和他们交往得过于频繁,而由于太亲密 的缘故,他从他们那里学会了饮用烈酒,而斯巴达人便认为这是他发疯的原由。正象他们自己所说的,从此以后,每当他们想饮用烈酒的时候,他们就 说“象斯奇提亚人那样地斟酒吧”。斯巴达人关于克列欧美涅斯的说法就是 这样。但是在我看来,他得到这样的下场,正是由于他对戴玛拉托斯的所作 所为的报应。

    (85)当克列欧美涅斯死去而埃吉纳人听到这个消息的时候,他们便派遣 使者到斯巴达来为被拘留在雅典的人质的事情对列乌杜奇戴斯进行控诉。于 是拉凯戴孟人便召集了一个法庭,并且制定列乌杜奇戴斯曾对埃吉纳人做了 暴乱不法的事情;而他们就判了他的罪把他引渡到埃吉纳去作为被拘留在雅 典的那些人质的补偿。但是当埃吉纳人正要把列乌杜奇戴斯带走的时候,斯 巴达的一位知名之士,列欧普列佩斯的儿子铁阿西代斯向他们说:“埃吉纳 人啊,你们打算干的这是什上事情啊?难道你们愿意市民把斯巴达人的国王 引渡给你们,而你们把他带走么?假如说现在斯巴达人是由于他们发火才这 样决定的,那末可要小心,将来如果你们按照你们的打算去做的话,他们会 把你们的国家给彻底毁灭掉的”。埃吉纳人听到这话之后,便不再把国王带 走而是缔结一项协定,规定列乌杜奇戴斯要和他们一同到雅典去,把拘留在 那里的人质送回到埃吉纳人这里来。

    (86)因此当列乌杜奇戴斯来到雅典并要求放还过去委托给他们的那些人 的时候,雅典人却无意把这些人放还,故而他们提出借口说,既然他们是受 托于两位国王,则今天他们只把这些人交还给一位国王而缺另一位国王,那 是不对的。 (α)而当雅典人拒绝放还这些人的时候,列乌杜奇戴斯就对他们说:“雅 典人啊,你们愿意怎样做就怎样做罢。如果你们把这些人放还,那你们就做 了正义的事业,如果不放还的话,那你们就做了与之相反的事业。听我给你 们讲一段在斯巴达发生的关于委托的东西的事情。我们斯巴达人有一个传 说,说从现在起向前大约数三代,在斯巴达有一个叫做格劳柯斯的人,他是 埃披库代斯的儿子。传说这个人除去其他的各种优良品质之外,特别在公正 这一点上,他的声誉是超出当时居住在拉凯戴孟的一切人之上的。但是据说 在一定的时期到来的时候,在他身上发生了这样的一件事情。有一个米利都 人到斯巴达来,想和格劳柯斯谈话并且向格劳柯斯作下列的建议。他说:“格 劳柯斯啊,我是一个米利都人,我来到你这里是为了领受你的公正无私的恩 惠的。在希腊各地以及在伊奥尼亚,人们对你的正直无不交口称誉,我自己 则以为伊奥尼亚是经常要遭到危险的一块地方,但伯罗奔尼撒却是一个十分 安定的地方,而且在伊奥尼亚,从来看不到财富永远聚集在同样一些人的手 里。我反复思考和研究了这些事情之后,便决定把我的一半财产变为现银并 把它委托给你,因为我深信,把它交给你为我保存那会是安全的。请你收下 这笔钱并且接受和保管这信符。凡是拿着同样的信符前来索取银子的,那末 就请把这笔银子交付给来人罢”。 (β)这就是从米利都来的异邦儿所说的话。格劳柯斯也就按照约定接受 了委托给他的东西。过了很长的一个时期之后,把金钱委托给格劳柯斯保存 的那个人的儿子们到斯巴达来了;他们和格劳柯斯面谈,拿出信符给他看, 要求格劳柯斯把银子归还给他们。但是格劳柯斯却在他们面前不承认这伴事 情,他回答他们说:“这伴事我记不得了,你们所讲的话也丝毫不能使我回 想到那件事情。让我想一想罢,我是会尽量公正处理这件事的;如果我接受 了这笔钱,我是会照样归还给你们的,如果我根本没有接受过你们这笔钱, 我就要根据希腊人的法律来对付你们了。请容许我在从现在起的四个月之 内,再答复你们解决的办法罢”。 (γ)米利都人因为别人夺取了他们的财产,只得伤心地走开了。但是格 劳柯斯却到戴尔波伊去请示神托。当他请示神托他应否起誓并把财产强行夺 取过来的时候,佩提亚便角下列的诗句责难他说: 埃披库代斯的儿子格劳柯斯听着,如果你能够起誓致胜并且强夺了异邦 人的财产那对你目前是有很大好处的: 你就起誓罢,死亡甚至等待着忠于誓言的人啊,不过誓言却有一个儿子, 这是一个没有名字的向伪誓进行报复的人,它既没有手,也没有脚; 可是他却迅速地追踪,终于捉住这个人并把他的全家全族一网打尽。 但是,那忠于誓言的人的子子孙孙却日益昌盛。当格劳柯斯听见这话之 后,他便请求神宽恕他刚才所说的话。但是佩提亚却回答他说,试探神意和 做这样的事其后果是相同的。 (δ)于是格劳柯斯便派人把米利都的异邦人召来,把银子还给他们了。 雅典人啊,你们听我告诉你们,为什么我把这个故事讲给你们听。现在格劳 柯斯的后代已经没有了,再也没有哪一家的名字叫做格劳柯斯了。他和他的 一切在斯巴达己经完全被绝根了。因此,关于受委托的东西,在要求归还的 时候除了照样归还之外,最好是不要作其他任何非非之想罢”。这便是列乌 杜奇戴斯所讲的一番话;但甚至这样,雅典人都不肯倾听他的话,于是他便 离去了。

    (87)但是埃吉纳人在他们因先前为取得底比斯人的欢心竟对雅典人犯下 了横暴之罪而受到惩罚之前,却做了下面的一件事情。他们既然憎恨雅典人 并认为自己是被害者,他们便准备向雅典人进行报复。这时雅典人正好在索 尼昂举行每隔四年才有一次的祭典;于是埃吉纳人就用伏击的办法拿获了一 只参加祭典的人们所乘的朝圣船,船里面有许多雅典名流,他们把这些雅典 名流俘获之后,就把这些人镣铐人狱了。

    (88)雅典人吃了埃吉纳人的这样的苦头之后,便立刻想一切办法来向他 们进行报复。在埃吉纳有一位知名之士、克诺伊托斯的儿子尼科德罗莫斯。 由于他以前曾被埃吉纳人从乌上放逐而怀恨埃吉纳人,而现在又知道雅典人 正在设法加害埃吉纳人,于是他便和雅典人约定向雅典人出卖埃吉纳,约定 了一个他发动攻击和雅典人必须来声援他的日子。不久之后,尼科德罗莫斯 便按照他和雅典人的约定占领了所谓旧城,但是雅典人却没有按着约定的日 期来到这里。

    (89)原来,他们恰巧没有足够的船舶来和埃吉纳人相抗衡。于是他们便 请求科林斯人借船只给他们,但是在这耽搁的期间,他们的事业失败了。科 林斯人在那时是雅典人的最要好的朋友,他们同意了雅典人的请求,给了雅 典人二十只船,价钱是每只五德拉克玛。因为根据他们的法律,是不许无偿 赠送的。雅典人取得了这些船再加上自己的船,把全部的七十只船都配置了 人员之后就驶向埃吉纳去了,他们到那里去的时期比规定的时期要晚一天。

    (90)但是尼科德罗莫斯在约定的一天看到雅典人不来,便乘船从埃吉纳 逃走了。其他的人也和他一同逃走了,雅典人于是把索尼昂送给他们居住: 他们把那个地方变成了自己的根据地之后,便掠夺岛上的埃吉纳人。

    (91)但这是我所说的那个时代以后的事情了(这是四九○年和四八○年之间所做的事情)。但是埃吉纳的富人们却制 服了和尼科德罗莫斯一同起来反抗他们的平民,他们把平民俘虏之后,便拉 出去处死了。由于这个缘故,他们受到了一次罪谴,而他们不拘使用什么办 法想求得神的慰解也不能摆脱这次的罪谴,而是在女神对他们加惠之前就给 驱出了乌。他们原来俘获了七百名平民,当他们把这些平足拉出去处死的时 候,其中有一个人挣脱了绑绳逃到立法者戴美特尔神神殿的门口去请求庇 获,他抓住了那个门的把手不肯放开,因而当他的敌人们无论如何也不能从 那里把他拉开的时候,他们便把他的双手砍了下来,这样把他带走了;但是 那两只手却还是紧紧地抓在门的把手上面。

    (92)埃吉纳人相互之间做了这样的事情。当雅典人到来的时候,他们便 使用七十只船来和雅典人作战;在海战中失败之后,他们就和先前一样地向 阿尔哥斯人求援。但是这一次阿尔哥斯人并不愿意帮助他们,因为阿尔哥斯 人对埃吉纳人有不高兴的地方;这是由于埃吉纳人的船只曾被克列欧美涅斯 用武力强夺而泊人阿尔哥斯的海岸,但是埃吉纳人却和拉凯戴孟人一齐上岸 了。此外,希巨昂船上的人也参加了这次登陆。阿尔哥斯人罚了他们一千塔 兰特,每个民族五百塔兰特。希巨昂人承认自己做了错事,还支付一百塔兰 特的罚款而安全不受惩罚地离开,但是埃吉纳人不表示歉意而是十分顽强。 由于这个原因,阿尔哥斯人便不答应埃吉纳人的请求去帮助他们,只有一千 名志愿兵到那里去,这些人的统帅是一个精通五项运动(跳远、铁饼、标枪、赛跑和角力),名叫埃乌律巴铁斯 的人。这些人大半从此没有回来,而是在埃吉纳给雅典人杀死了;他们的统 帅埃乌律巴铁斯本人单独作战,杀死了三个人,但是给第四个人杀死了,这 第四个人是戴凯列亚的儿子棱帕涅斯。

    (93)埃吉纳的战船乘着雅典人的混乱向他们进攻并且取得了胜利。埃吉 纳的战船俘获了四只雅典的船和上面的船员。

    (94)这样,雌典和埃吉纳便陷入相互作战的状态中去了。但是波斯人这 方面却在准备着他自己的事情。原来他的仆人一直在提醒他要他不要忘记雅 典人(见第五卷第一○五节),而佩西司特位提达伊家也一直在他身旁诽谤雅典人,再加上大流士想 用这样的一个借口来征服不把土和水呈献给他的所有希腊人。至于那个远征 失败的玛尔多纽斯,大流士解除了他的统帅职务而任命其他的将领率领着他 的军队去进攻雅典和埃列特里亚,这两个将领是美地亚人达提斯和他自己的 侄子、阿尔塔普列涅斯的儿子阿尔塔普列涅斯。在他们出师时,他交付给他 们的命令是,征服和奴役雅典和埃列特里亚并把这些奴隶带到他自己的面前 来。

    (95)当接受任命的这两位统帅率领着装备精良的一支大军离开国王的面 前而到达奇里启亚的阿列昂平原的时候,他们便在那里扎下了营,随后分配 给各个地方准备的水师也全都赶到了。此外,运马船也来了,这是前一年大 流士命令自己的各个纳贡地准备起来的。他们把马匹装上了船并使陆军乘上 了船之后,就和六百只三段桡船一同向伊奥尼亚出发了。从这里他们不是直 指海列斯彭特和色雷斯沿着大陆前进,而是从萨摩司出发在伊卡洛司海海上 逐乌前进。在我看来,他们这样做是因为他们最害怕绕行阿托斯的那段路,这是由于在前一年在这条航线上他们受到了极大的灾祸。此外,那克索斯也 阻止他们这样做,因为他们还没有把那个地方拿下来。

    (96)当他们从伊卡洛司海驶近那克索斯并在那里上陆的时候(原来,波斯 人正是想首先进攻那克索斯),那克索斯人记起了先前所发生过的事情(可能是指在本卷三一和三二而节中所记述的,波斯人如何对待反抗他们的人们),因 此还不等波斯人到来就逃到山里去了。波斯人把所有他们俘获的人变为奴 隶,甚至烧掉了他们的神殿和他们的城市。在这样做了之后,波斯人就出发 到别的岛去了。

    (97)正当他们这样做的时候,狄罗斯人也逃离了狄罗斯,跑到铁诺斯去 避难了。但是达提斯在他的大军向岸边行驶的时候,却乘船行在大军的前面 并下令他的艋队不要在狄罗斯投锚,而是渡海到对面的列那伊亚岛去投锚, 而当他知道狄罗斯人是在什么地方的时候,他便派了一名使者到他们那里 去,向他们宣告说:“神圣的人们,为什么你们竟会这样不了解我的意思而 跑开?我个人的愿望和国王给我的命令都是不伤害曾产生了两位神(阿波罗和阿尔铁米司)的土 地,既不伤害土地的本身,也不伤害住在这块土地上面的人。因而我现在命 令你们回到你们的家里来,住在你们的岛上”。他向狄罗斯人作了这样的宣 告之后不久,就在祭坛上放了三百塔兰特重的乳香并且把它烧掉了。

    (98)这样做了之后,达提斯就率领大军首先驶往埃列特里亚。他还使伊 奥尼亚人和爱奥里斯人与他同行。在他从这里启程之后、在狄罗斯发生了一 次地震;而据狄罗斯人说,这是在我的时代之前最初和最后的一次地震。我 以为这是上天垂示的朕兆,说明世界上将有灾祸到临。因为在三代的时期当 中,也就是在叙司塔司佩斯的儿子大流士、大流士的儿子克谢尔克谢斯和克 谢尔克谢斯的儿子阿尔托克谢尔克谢斯的时代(五二二年到四二四年),希腊遭受的灾祸比大流士之 前的二十代中间所遭受的灾祸还要多。这些灾祸部分来自波斯人,部分来自 他们本族首领中间争夺霸权的战争。因此在狄罗斯发生了前所未有的地震, 那就毫不足怪了。还有一个关于狄罗斯的神托,神托的话是这样的: 我将要使从来没有震动过的狄罗斯发生震动。关于上面所说的那三位国 王的名字,如果用希腊语来解释,则大流士的意思是做事的人,克谢尔克谢 斯的意思是战士,阿尔托克谢尔克谢斯的意思是伟大的战士。因此,希腊人 用他们的语言来这样称呼他们是不会错的。

    (99)异邦军从狄罗斯出发到海上之后,曾停泊在各个海岛的地方,他们 从那里又集合了一支军队并且把岛民的子弟带走作为人质。当他们巡航诸岛 的时候,他们来到了卡律司托斯(卡律司托斯人不把人质交给他们并且拒绝跟 他们结合在一起去讨伐相邻的城邦,而这样的城邦在他们是指埃列特里亚和 雅典而言),因此波斯人便包围了他们,蹂躏了他们的土地,直到最后卡律司 托斯人也站到他们的一方面来了。

    (100)当埃列特里亚人知道波斯大军正在乘船向他们进攻的时候,他们便 请求雅典人方面的帮助。雅典人并不拒绝给予帮助,但是雅典人给埃列特里 亚人作为援军的是拥有卡尔启斯饲马者(见第五卷第七七节)采地的四千人。但是埃列特里亚人的 计划好象都是不固定的,因为他们虽然派人到雅典去求援,但是他们自己人当中的意见还不是一致的。他们中间有一部分人的计划是离开城市而逃到埃 乌波亚高地去,但是另一部分人则打算进行背叛的行动,指望使自己从波斯 人方面得到好处。于是身为埃列特里亚的首要人物之一的诺同的儿子埃司奇 涅斯,由于他知道这两个计划,便把当时的情况告知了前来的雅典人,此外 还请求他们离开此地回到本国去,以免他们和其他人一样地同归于尽。于是 雅典人按照埃司奇涅斯的劝告回去了。

    (101)因此,他们便渡海到奥洛波斯去,从而保全了自己。波斯人在海路 上是向属于埃列特里亚的铁美诺斯、柯伊列阿伊和埃吉列阿行进,而他们把 这些地方占领之后,就立刻使马匹上陆并且作向他们的敌人进攻的准备。埃 列特里亚人并没有出来应战的计划。既然他们中间是以不放弃城市的这个意 见占上风,则他们最关心的就是守住他们的城壁,如果他们能做到这一点的 话。城墙受到了猛烈的攻击,六天之内双方都有很多人阵亡。但是在第七天, 两位知名的埃列特里亚人阿尔启玛科斯的儿子埃乌波尔勃司和奇涅阿司的儿 子披拉格罗斯却和波斯人勾结把城市出卖了。波斯人闯进了城市,他们劫掠 和焚烧了神殿,用来报复在撒尔迪斯被烧掉的神殿,此外他们还遵照大流士 的命令,把这里的市民变卖为奴隶。

    (102)他们征服了埃列特里亚,又停留了数日之后,就乘船向阿提卡的领 士出发了。他们紧紧地逼到雅典人跟前,只为他们可以象对付埃列特里亚人 一样地对付雅典人。而马拉松在阿提卡的土地里是最适于骑兵活动的场所, 离埃列特列里亚也最近,而佩西司特拉托斯的儿子希庇亚斯就是把他们引导 到那里去的。

    (103)当雅典人得到这个消息的时候,他们也赶到马拉松来了。有十位将 领率领着他们的军队,而其中的第十位就是米尔提亚戴斯,这个人的父亲、 司铁撒哥拉斯的儿子奇蒙曾由于希波克枕铁斯的儿子佩西司特拉托斯的缘故 而不得不从雅典亡命外出。在亡命的时候,他很幸运地在奥林匹亚比赛会上 获得了四马战车的胜利,而由于这一胜利,他便得到了和他的异父兄弟米尔 提亚戴斯相同的荣誉。在下一次的奥林匹亚比赛会上,他以同样的牝马而再 度获胜。但是他却把优胜者的光荣让给了佩西司特拉托斯;而由于让出了他 的这次胜利,他便在和解的协定下返回了故国。他只同样的牝马在奥林匹亚 比赛会上又取得了第三次的胜利;在这之后,佩西司特拉托斯便不在人世, 可是命运却注定使米尔提亚戴斯给佩西司特拉托斯的儿子们杀死了。他们指 使了一些人,乘着夜里伺伏在市会堂的地方把他杀死。奇蒙被埋葬在城市的 前门外,在所谓科伊列路的那一面,那使他三次在奥林匹亚比赛会上获得优 胜的那些牝马则葬在他的对面。除去拉科尼亚人埃瓦哥枕斯的牝马之外,再 没有任何其他的牝马有过这样的成绩了。而奇蒙的儿子中最年长的司铁撒哥 拉斯这时正在凯尔索涅索斯地方他的叔父米尔提亚戴斯的抚养之下,但是年 纪较幼的叫做米尔提亚戴斯的那个儿子则在雅典留在奇蒙本人的身旁,这个 儿子的名字是因在凯尔索涅索斯开辟了居民地的那个米尔提亚戴斯而得名 的。

    (104)因此,这个米尔提亚戴斯当时是从凯尔索涅索斯到来的并且在两度 逃脱了死亡之后成了雅典军队的将领。原来,把他一直追赶到伊姆布罗斯的 腓尼基人,一心想把他捉住并把他送到国王的面前去。而当他从腓尼基人的 手中逃回自己的国家而自认已得到安全的时候,又遇见了自己的政敌。他们 把他拉上法庭并且对他在凯尔索涅索斯的僭主统治加以控诉。但他又从他们 的手中逃脱出来,在这之后,他便因人民的推选而成了雅典军队的一位将领。

    (105)而当将领们还在城内的时候,他们首先派一名使者到斯巴达去,这 个使者是一个名叫披迪披戴斯的雅典人,此外这个人还是一个长跑的能手并 且是以此为职业的。正如这个披迪披戴斯自己所说并且告诉雅典人的,当他 在铁该亚上方的帕尔铁尼昂山那里的时候,曾遇到了潘恩神。潘恩神叫披迪 披戴斯的名字,命令他告诉雅典人说,既然潘恩神是雅典人的朋友,以前常 常为雅典人服务而今后也将会如此,但为什么雅典人却根本不把潘恩神放到 眼里。雅典人认为他说的这件事是真的,因此当他们的城邦得到安定繁荣的 时候,他们就在卫城之下修建了一座潘恩神的神殿,而且由于神的那番话, 他们每年还向他奉献牺牲并举行火炬赛跑以求神的嘉惠。

    (106)但是现在,当他受到将军们的派遣并且说潘恩神曾对他显现的时 候,这个被迪披戴斯在离开雅典之后的第二天,便已经在斯巴达了。他到斯 巴达人领袖们那里去,对他们说:“拉凯戴孟人啊,雅典人请求你们给他们 帮助而不要看着希腊的一个最古老的地邦陷到异邦人的奴役之下。因为现在 甚至连埃列特里亚都已经受到了奴役,而由于失掉一座名城,希腊就便得更 加软弱了”。披迪披戴斯就按照命令这样地向拉凯戴孟人报告了,于是拉凯 戴孟人便决定帮助雅典人。但是他们并不能立刻这样做,因为他们不愿意打 破他们的惯例:原来,那时正是一个月的第九天,而他们说,在第九天月亮 还没有圆的时候,他们是不能出征的。

    (107)因此他们便等候满月的时候。而在波斯人这一方面,则他们被佩西 司特拉托斯的儿子希庇亚斯引导到了马拉松。希庇亚斯在前一个夜里曾作了 一个梦,在梦里他梦见他和自己的母亲同寝。他解释这个梦的意思说,他应 当回到雅典去并恢复他的统治权,并且在他的故国享尽天年之后才死去。他 是这样来解释这个梦的。而这时,他既然是波斯人的向导,他便把在埃列特 里亚抓到的俘虏带到司图拉人的称为埃格列亚的岛上去;此外,他还使军船 到达马拉松时在那里投锚,而当异邦人的士兵登陆时,他又使他们排列成队。 而当他正在处理这些事情时,他觉得他比平时更加厉害地打起喷嚏和咳嗽起 来。他已经上了年纪,大部分的牙齿都动摇了,因此激烈的咳嗽竟使他的一 颗牙齿给喷了出来。牙齿掉到了砂子里去,希庇亚斯于是拚命去寻找它,但 是由于哪里也找不到这个牙齿,于是他便伤心地向站在他身旁的那些人说: “这块土地不是我们的,而我们也不能使这块土地屈服了。我的牙齿已经把 我所应得的那一份土地占有了”。

    (108)而希庇亚斯认为这就是他的梦已经应验了。雅典人在海拉克列斯的 圣域之内列队,而普拉铁阿人的全军也都来帮助他们;因为普拉铁阿人曾使 自己受雅典的保护(据修昔底德的说法(Ⅲ,68),这是五一九年的事情),而雅典人曾为普拉铁阿人出了很大的气力。普拉铁阿人 委身于雅典人的保护之下的经过是这样:由于普拉铁阿人受到底比斯人的压 迫,他们便想投靠他们最初遇到的阿那克桑德里戴斯的儿子克列欧美涅斯和 拉凯戴孟人,但是这些人不肯收纳他们,并向他们说:“我们往的地方太远, 而我们的帮助对你们来说只是一种使人扫兴的慰安罢了。因为当我们知道这 件事之先,你们可能已被奴役许多次了。我们劝告你们去要求雅典人的保护, 雅典人是你们的邻人,他们是可以很好地保卫你们的。” 拉凯戴孟人向普拉铁阿人提出这样的意见与其说是出于他们对普拉铁阿人的好意,勿宁说是他们想使雅典人与只奥提亚人交恶而给雅典人找麻烦。 于是拉凯戴孟人便作了这样的建议:普拉铁阿人照看他们的话做了,而当雅 典人正在向十二神(宙斯、希拉、波赛东、戴美特尔、阿波罗、阿尔铁米司、海帕伊司托斯、雅典娜、阿列斯、阿 普洛狄铁、海尔美士、希司提亚)奉献牺牲的时候,普拉铁阿人来请求他们的庇护并且坐到 祭坛的下面,这样就求得了雅典人的保护。底比斯人听见这个消息之后,就 发兵去攻打普拉铁阿人,于是雅典人便来帮助普拉铁阿人了。但是正当他们 要接战的时候,正好在那里的科林斯人却不许他们动手。双方都愿意请他们 作调停者,他们在双方之间划了一条界限,条件是当贝奥提亚人中间有不愿 意再归属贝奥提亚的时候,底比斯人不加干涉。在作了这样的规定之后,科 林斯人就离开了。但是当雅典人回家的时候,他们受到了只奥提亚人的袭击 并且被打败了。于是雅典人便突破了科林斯人给普拉铁阿人划定的界限,而 把阿索波司河本身定为底比斯在普拉铁阿和叙喜阿伊方面的境界。普拉铁阿 人就象上面所说的那样取得了雅典人的保护,而现在他们到马拉松来帮助雅 典人了。

    (109)但是雅典统帅中间的意见也是不一致的。有的人认为他们不应当作 战(因为要和美地亚军队作战他们的人数太少了),但是另有一些人,其中也 包括米尔提亚戴斯,认为他们应当作战。在十位将领之外,还有一个人也有 投票权,这就是抽签选出担任波列玛尔科斯的那个雅典人(原来根据往昔雅典 的习惯,波列玛尔科斯是和将领们有同样的投票权的),而这时的波列玛尔科 斯就是阿披德纳伊区的卡里玛柯斯。将领们的意见既然分歧而错误的意见又 有占上风的趋势,于是米尔提亚戴斯就到这个人那里去,对他说:“卡里玛 柯斯,今天是在两件事情当中任凭你来选择的日子,或者是你使雅典人都变 为奴隶,或者是你使雅典人都获得自由,从而使人们在千秋万世之后永远怀 念着你,甚至连哈尔莫狄欧斯和阿里斯托盖通都比不上你。因为雅典目前正 在遭受看建城以来从未有过的巨大危险,如果雅典人对美地亚人屈服的话, 则他们将要被交到希庇亚斯的手里去,那它要遭到什么样的命运就很明确 了。但如果这个城得救的话,则它就很可能成长为希腊的第一座城市。怎样 才能实现这件事情,为什么这些事情的决定性关键是在你的手里,我现在就 要解释给你。我们这十应将领的意见是不一致的,有的人主张要我们作战, 有的人反对。现在如果我们不战的话,则我担心某种激烈的倾轧将会影响和 动摇我们人民的决心直到他们竟会对美地亚人妥协;但如果在某些雅典人沾 染上不健康的想法之前我们交战的话,只要是上天对我们公正,我们是很可 能取得胜利的。现在这一切都关系到你,一切都在于你了。因为如果你同意 我的意见,你就可以便你的国家得到自由,使你的城市成为希腊的第一座城 市;但如果你站到要我们不作战的人们的那一面去的话,那你便正是违反我 上面所谈到的那些利益了”。

    (110)由于这次的游说,米尔提亚戴斯把卡里玛柯斯争取到自己的一方面 来了。而正是由于加上了波列玛尔科斯的一票,结果是决定作战了。自此之 后,那些主战的将领虽然可以每日轮流地掌握全军的大仅,他们却把这项大 权让给了米尔提亚戴斯。米尔提亚戴斯接受了这个权力,但是在轮到他本人 掌握全军大权的那一天到来之前,他是不肯接战的。

    (111)而等轮到他的日子的时候,雅典人于是编起准备战斗的队列来,队列的编制是这样。统率右翼的是波列玛尔科斯卡里玛柯斯:因为按照当时雅 典的习惯,统率右翼的应当是担任波列玛尔科斯的人。他在右翼担任统帅, 而接在他后面则按照顺序依次配到了各个部落,配列在最后的普拉铁阿人则 占着左翼的地方。自从那次战争以来,每当雅典人在每五年举行一次的祭典 上的集会上奉献牺牲的时候,雅典的傅令人总是祈求上天同样降福给雅典人 和普拉铁阿人的。但是现在,当雅典人在马拉松列队的时候,他们的队列的 长度和美地亚人的队列的长度正好相等,它的中部只有数列的厚度,因而这 里是全军最软弱的部分,不过两翼却是实力雄厚的。

    (112)准备作战的队列配置完毕而牺牲所呈献的朕兆又是有利的,雅典人 立刻行动起来,飞也似地向波斯人攻去。在两军之间,相隔不下八斯塔迪昂。 当波斯人看到雅典人向他们奔来的时候,他们便准备迎击;他们认为雅典人 是在发疯而自寻灭亡,因为他们看到向他们奔来的雅典人人数不但这样少, 而且又没有骑兵和射手。这不过是异邦人的想法;但是和波斯人厮杀成一团 的雅典人,却战斗得永难令人忘怀。因为,据我所知,在希腊人当中,他们 是第一次奔跑着向敌人进攻的,他们又是第一次不怕看到美地亚的衣服和穿 着这种衣服的人的,而在当时之前,希腊人一听到美地亚人的名字就给吓住 了。

    (113)他们在马拉松战斗了很长的一个时候。异邦军在队列的中央部分取 得了优势,因为进攻这一部分的是波斯人自身和撒卡依人。异邦军在这一部 分占了上风,他们攻破希腊人的防线,把希腊人追到内地去。但是在两翼地 方,雅典人和普拉铁阿人却得到了胜利。而在这样的情势之下,他们只得让 被他们打败的敌人逃走,而把两翼封合起来去对那些突破了中线的敌人进行 战斗。雅典人在这里取得了胜利并且乘胜追击波斯人,他们在追击的道路上 歼灭波斯人,而一直把波斯人追到海边。他们弄到了火并向船只发动了进攻。

    (114)但是在这次的战斗里,身为波列玛尔柯斯的卡里玛柯斯在奋勇作战 之后阵亡了,将领之一特拉叙拉欧斯的儿子司铁西位欧斯也死了;埃乌波利 昂的儿子库涅该罗斯①也在那里阵亡了,他是在用手去抓船尾时手被斧头砍掉 因而致命的。还有其他许多的雅典知名人士也都阵亡了。

    (115)雅典人便这样地俘获了七只船;异邦军队则率领着残余的船只驶离 了海岸,他们从他们安置埃列特里亚的奴隶的海岛上带走了这些奴隶,绕过 索尼昂海岬,打算在雅典人回来之前先到达雅典城。在雅典,普遍流传着一 种指责,说这个计划是根据阿尔克美欧尼达伊族的计策产生出来的,据说这 一族曾和波斯人相勾结,他们举起盾来给那些现在在船上的波斯人作为暗 号。

    (116)他们就这样地绕过了索尼昂。但是雅典人却全速地赶了回来保卫他 们的城市,而且是在异邦军的军队到来之前就赶到了。他们是从马拉松的一 个海拉克列斯圣域那里来的,现在则屯营在库诺撒尔该斯的另一个海拉克列 斯圣域里。异邦军的船队在帕列隆(因为这是当时雅典的海港)的海滩停泊了 一些时候;他们在那里投了锚,然后又从那里回到了亚细亚。

    (117)在马拉松的这一战役当中,异邦军当中阵亡的有六千四百人左右, 雅典人方面则是一百九十二人。这是他们双方阵亡者的人数。但是在那里却 发生了一件不可思议的事情。有一个雅典人枯帕戈拉斯的儿子埃披吉罗斯, ① 诗人埃司库洛斯的兄弟。 正当他奋勇鏖战的时候他失去了视力,虽然他身上的任何部分都没有受到创 伤,也没有受到暗器的射击。但是从那一天起,他终生就一直瞎了下去。我 听说他是这样叙述他的不宰遭遇的。他说他遇到了一个身材高大,全身穿着 重甲胄的男子,这个男子的胡须遮满了他的盾牌。这个幻象走过埃披吉罗斯 的身旁,但是把和他并排的一个人杀死了。这就是我听到的埃披吉罗斯所说 的事情。

    (118)另一方面,达提斯却率领着他的军队到亚细亚去了。在他到达米科 诺斯之后,他作了一个梦。没有人说过他作了什么样的一个梦。但是在天刚 刚破晓的时候,达提斯便对他的各个船只进行了搜索。而当他在一只腓尼基 船里找到一座镀金的阿波罗神象时。他就打听这件物品是从什么地方劫来 的。等他知道了这座神象是从哪个神殿来的之后,他就乘着自己的船到狄罗 斯去了。狄罗斯人那时已经返回了他们的海岛,而达提斯就把神象供在那个 地方的神殿里,并且命令狄罗斯人把这座神象送回到底比斯人的代立昂地方 去,这个代立昂就在卡尔启斯对面的海岸上。达提斯这样下令之后便乘船回 去了。不过狄罗斯人却根本没有把这座神象送走。在那之后二十年,底比斯 人才依照一个神托的指示,把这座神象移送到代立昂去。

    (119)当达提斯和阿尔塔普列涅斯在航程中到达亚细亚时,他们就把埃列 特里亚的奴隶带到内地的苏撒去了。国王大流士在把埃列特里亚人俘虏以 前,由于他们曾无端对他作出横暴的事,因此他对埃列特里亚人感到极端地 愤恨。但是看到他们被带到他的面前来并且已向他屈服,他却对他们不加伤 害,反而把奇西亚领土的一块名叫阿尔代利卡的直辖地送给他们居住。这块 地方离苏撒有二百一十斯塔迪昂,离开出产三种物品的并则有四十斯塔迪 昂。所谓出产三种物品,就是说人们可以从这井里取得沥青、盐和油。取得 这三种东西的办法是这样:在汲水的时候是使用绞盘的,绞盘上系着半个皮 囊来代替桶。而人们便把它浸到井里去,然后把汲取的东西拉上来倒到一个 水池里去,从那里再倒到另一个水池里去,这时汲上来的东西就分成了三类。 沥青和盐立刻便变成了固体,波斯人称为拉迪那凯的油(石油)是黑色的并且发出刺 鼻的臭味。大流士就把埃列特里亚人安置在那里,而他们到我的时候一直都 住在那里,并且保存了他们的原来的语言。埃列特里亚人的遭遇便是这样。

    (120)在满月之后,两千名拉凯戴孟人来到了雅典,他们是这样匆忙地赶 路,以致在他们离开斯巴达之后的第三天他们就到了阿提卡。 虽然他们来得太晚,已赶不上作战,他们仍然想见到美地亚人;于是他 们到马拉松见到了美地亚人。随后他们就称赞了雅典人和他们的成就,而后 回国去了。

    (121)说阿尔克美欧尼达伊族和波斯人勾结,举起盾牌来给波斯人作暗 号,而想使雅典屈服于异邦人和希庇亚斯,这件事在我看来,是不可思议的, 是不可相信的。因为很明显,比起帕埃尼波斯的儿子、希波尼柯斯的父亲卡 里亚斯来,他们可以说是有过之无不及的憎恨僭主的人。在佩西司特拉托斯 从雅典被放逐出去之后国家拍卖他的财产时,在雅典人当中只有卡里亚斯是 敢于买佩西司特拉托斯的财产的。而且他还计划了其他一切对他非常敌视的 行动。

    (122) (这一节一般被认为是后来谁的附记而搀入了正文的。它只在原文的一个抄本上发现,而且里面有非希罗 多德的词句)[这个卡里亚斯由于并多理由都是值得万人的怀念的。首先,象 我已经说过的,是因为他是立下了解放祖国的大功的杰出人物。第二,是由 于他在奥林匹亚比赛会上的成绩。他在这一比赛会上取得了赛马的胜利,在 四焉战车的比赛中取得第二名,而在这以前又得过佩提亚比赛会上的胜利, 同时又以最能挥金如上在希腊享盛名。第三,是由于他对他的三个女儿的做 法。原来当她们到达婚期的时候,他给了她们极其丰厚的妆奁,并使她们每 个人所选的丈夫都十分称心,因为他答应她们每一个人都能和她为自己从全 雅典人当中所选择的丈夫结婚。]

    (123)阿尔克美欧尼达伊族是和卡里亚斯一 样的反对僭主的人。因此,说他们竟然举起盾来作暗号,这在我看来是一种 既不可理解,又不可相信的非难,因为他们一直是在躲避着僭主的,而且佩 西司特拉托斯的子弟们之放弃僭主地位便是出于他们的策划的。因此,在我 来看,他们比起哈尔莫狄欧斯和阿里斯托盖通来,在更大的程度上使雅典得 到了自由。因为这些人不过是由于杀死希帕尔科斯。才激怒了佩西司特拉提 达伊族的其他人等,却丝毫没有阻止其他的人们成为僭主。但是阿尔克美欧 尼达伊族却非常明显地使他们的国家得到了自由,如果象我在上面所说的那 样,他们确是真正地说服了佩提亚,要她舍诉拉凯戴孟人说他们应当使雅典 得到自由。

    (124)可是,也许有人会说,他们大概是对雅典民众有什么怨恨,因此他们才背叛了他们祖国的罢。然而在雅典,他们偏偏又是最有声誉和最受尊敬 的。因此我们有显然的理由不去相信,他们会由于任何这样的原因而举起盾来作暗号。诚然是有人举起了一个盾牌的,这一点是不能否认的。因为这样 的事是做了的,然而我不知道是谁做这件事的,并且再也说不出更多的东西 来。

    (125)阿尔克美欧尼达伊族在古时便已是雅典的名门,而从阿尔克美昂 (阿尔克美昂的盛时是在五九○年左右;克洛伊索斯的统治时期是从五六○年到五四六年),还有美伽克列斯以来,他们的声誉就更加提高了。原来,当克洛伊索斯派 吕底亚人从撒尔迪斯来到戴尔波伊神托所的时候,美伽克列斯的儿子阿尔克 美昂曾为他们尽了斡旋之劳,并且热心地帮助了他们。因此,当克洛伊索斯 从访问神托所的吕底亚人那里听到阿尔克美昂对他的照顾的时候,便派人把 阿尔克美昂请到撒尔迪斯来,在那里送给他一笔礼物,即他个人可以一下子 尽其所能地带走的那样多的黄金。既然给他这样的一份礼物,阿尔克美昂便 想了一个办法并且按照这个办法做了。他穿了一件肥大的衣服,衣服上缝了 一个根深的袋子,他又穿上了他所能找到的一双最肥的长统靴,这样被领进 了宝库。在那里,当他遇到了一堆金砂时,他首先就在他的腿的四周把金砂 尽可能多地塞满了他的长统靴。然后,他又把他的衣服上的袋子装满了黄金, 并且把金砂洒在他的头发上面,此外还把一些金砂放到嘴里,直到他离开宝 库时,长统靴里的金砂重得使他几乎不能走路了。他简直已经不象一个人的 样子了,因为他鼓着嘴巴,而且全身也都膨胀起来了。当克洛伊索斯看到阿 尔克美昂的时候不禁大笑起来,他不但把阿尔克美昂已经拿到的全部黄金送 给他,并且给了他价值不比黄金少的其他东西。自此而后,他这一家成为巨 富,而阿尔克美昂便开始饲养驷马战车的马,从而在奥林匹亚比赛会上取得 了胜利。

    (126)后来在下面的一代,希巨昂的僭主克莱司敛涅斯(克莱司铁涅斯与阿尔克美昂是同时代人)把这一家捧得更 高,因此它在希腊也变得比先前更加有名了。因为安德烈阿斯的儿子米隆, 米隆的儿子的阿利司托尼莫斯、阿利司托尼莫斯的儿子克莱司铁涅斯有一个 女儿名字叫做阿伽莉司铁,他想把她嫁给他在希腊所能物色到的一个最优秀 的人物。因此,在当前举行的奥林匹亚运动会上,他取得了四马战车比赛的 优胜的时候,克莱司铁涅斯便作了一个声明,要任何一个自认为够得上作他 的女婿的希腊人在从当时算起的第六十天或是更早的时候到希巨昂来;而克 莱司铁涅斯说,他将在希巨昂地方从第六十天起的一年之内决定下他的婚姻 的诺言。于是所有对自身和他们的出身门第十分有信心的人们便都来向这个 女孩子求婚了。克莱司铁涅斯为了选婿的目的,就为他们建造了赛跑场和角 力堤以便进行比赛。

    (127)叙巴里斯人希波克拉铁斯的儿子司敏杜里代斯从意大利来了,他是 当代生活得最阔绰豪华的人物(而且叙巴里斯当时又正是处于全盛时代),还 有被人称为智者的、昔利斯人阿米利斯的儿子达玛索斯也从意大利来了。以 上是从意大利来的人。从伊奥尼亚湾来的则有埃披达姆诺斯人埃披司特洛波 斯的儿子阿姆庇姆涅司托斯,从伊奥尼亚湾来的人只有这一个人。从埃托利 亚来的是玛列士,这个人是那个膂力冠绝整个希腊,但是却因厌世而离开众 人隐遁到埃托利亚最边远的地带去的那个提托尔莫斯的兄弟。从伯罗奔尼撒 来的是阿尔哥斯僭主庇东的儿子列奥凯代斯,这个庇东曾经给伯罗齐尼撒入 制定了度量衡而且他是比任何其他希腊人都要骄横的,就因为他曾把埃里斯 人的比赛审判官取消掉,而自行对奥林匹亚比赛会发号施令。现在来的是这 个人的儿子。此外还有特拉佩佐斯出身的阿尔卡地亚人吕库尔戈斯的儿子阿 米安托斯;帕伊欧斯市出身的阿塞尼亚人埃乌波利昂的儿子拉帕涅斯;根据 阿尔卡地亚的传说,这个埃乌波利昂曾在家里款待社狄奥司科洛伊,而从那 时起便把大门对一切人打开了;江有埃里斯人阿伽依欧斯的儿子奥诺玛司托 斯。这些人都是从伯罗奔尼撒本地来的。从雅典来的是美伽克列斯,他的父 亲阿尔克美昂曾拜访过克洛伊索斯;在他之外还有提桑德洛斯的儿子希波克 里代斯,这个提桑德洛斯是雅典最富有,而且风采也最好的人物。从当时十 分繁荣的埃列特里亚来的是吕撒尼亚斯,他是从埃乌波亚来的仅有的一个 人;从帖撒利亚来的是克兰农地方司科帕达伊家的狄雅克托里戴斯;而从莫 洛西亚来的则是阿尔孔。

    (128)上面所列举的就是向她求婚的人们。当他们在指定的日子到来的时 候,克莱司铁涅斯首先便询问每一个人的籍贯和家世;然后他在一年里都把 这些人留在自己的身旁,体察他们的德行、气质、教养和日常的行为。他的 体察的办法是和他们个别的人,或是和他们全体交往,叫他们中间的比较年 轻的人在体育上进行较量,特别注意在会餐时他们的一举一动。原来当他和 他们在一起的时候,他在任何方面都不放处对他们的照顾并且始终毫不吝惜 地款待他们。但是,在求婚者当中最使他中意的却是从雅典来的几个人,而 在这几个人当中他认为最好的又是提桑德洛斯的儿子希渡克里代斯,这不仅 是由于他的德行,而且由于就他的身世而论,他是属于科林斯的库普塞里达伊家的。

    (129)当指定举行婚宴,和克莱司铁涅斯宣布他要在所有的人当中选择谁 为婿的日子到来时,克莱司铁涅斯便举行了一次百牛大祭并且宴请了求婚者 们本人和整个希巨昂的人们。在宴会终了之后,求婚者们便相互比赛音乐并 就某一题目相互进行辩论。当他们饮宴正酣之际,远出其他众人之上的希波 克里代斯命令吹笛者给他吹奏,而当吹笛者遵命演奏的时候,他就开始跳起 舞来,而且他是跳得极其尽兴的。但是克莱司铁涅斯看到这一切的时候,却 对于全部事体产生了很大的疑虑。过了一会儿之后,希波克里代斯便命令人 们带一只桌子过来,而桌子搬来的时候,他首先就在桌子上面跳了拉科尼亚 式的舞蹈,然后又跳了阿提卡式的舞蹈,最后,他又把头顶在桌子上,用两 腿朝天表演各种花样。这时克莱司铁涅斯在看到希波克里代斯的第一次和第 二次舞蹈时,他便由于这个人的舞蹈和无耻,再也不忍想到希波克里代斯竟 是他的女婿了。然而他克制住了自己,而不愿向希波克里代斯发泄自己的怒 气。但是当他看到希波克里代斯两腿朝天表演花样的时候,他就再也不能保 持缄默而喊道:“提桑德洛斯的儿子啊,跳得好,你连你的婚事都跳跑了”。 但是希波克里代斯却回答说:“希波克里代斯根本不在乎!”

    (130)从那天起,这句话竟变成了一句谚语。于是克莱司铁涅斯便命令他 们大家静下来,向所有在场的人们说:“向我的女儿求婚的诸位,我对于你 们所有的人都是很为满意的。如果可能的话,我是会使你们每一个人都不失 望的,既不选一个人出来认为他比别的人好,也不轻视其余的人。但是既然 我只有一个女儿可供考虑,因而无法使你们全都满意,对于你们中间在婚事 土未能称心的各位,我送给这些人每人一塔兰特的白银,用来感谢他之想娶 得我家的女儿和他之离开自己的家而住到我这里来。现在我依照雅典人的法 律,把我的女儿阿伽莉司铁许配给阿尔克美昂的儿子美伽克列斯”。于是美 伽克列期便接受了婚约,而克莱司敛涅斯这样便把这件婚事决定下来了。

    (131)以上便是选择求婚者这件事情的经过。这样,阿尔克美欧尼达伊家 的名声便在希腊宣揭开来了。由于这次的缔婚而生下了给雅典人确立了部落 制度和尺主政治的那位克莱司铁涅斯;他的这个名字是跟着他的那个希巨昂 人,即他母亲的父亲取的。他和希波克拉铁斯都是美伽克列斯的儿子;希波 克拉铁斯又是另一个美伽克列斯和另一个阿伽莉司铁的父亲。而这一个阿伽 莉司铁则是跟着克莱司铁涅斯的女儿阿伽莉司铁而取名的。她和阿里普隆的 儿子克桑提波司结婚,而在怀孕时做了一个梦,梦里自己生了一个狮子。几 天之后,她就给克桑提波司生了一个儿子伯里克利斯。

    (132)自从波斯人在马拉松战败之后,在雅典本来就有声望的米尔提亚戴 斯的声望就更加提高了。他向雅典人要求七十只船,一支军队,还有金钱, 但是不告诉他们他要率领他们去进攻哪一个国家,而只是说如果他们追随他 的话,他会使他们发财致富;因为他要把他们带到这样一个国家去,他们可 以很容易地从这个国家取得大量的黄金。当他要求船只的时候,他就是这样 保证的。雅典人听了这话深信不疑,就把船给他了。

    (133)米尔提亚戴斯率领着交给他的军队乘船到帕洛司去了,他的借口 是,帕洛司人在先前曾首先派遣三段桡船和波斯人一起来到马拉松,因此要 得到这样的对待。这便是他的口实,然而他之所以怨恨帕洛司人,是因为帕 洛司人提细亚斯的儿子吕撒哥拉斯曾经在波斯人叙达尔涅斯面前讲过他的坏 话。米尔提亚戴斯到达了他航行的目的地之后,便率领着他的军队把帕洛司 人赶进他们城里去,并在那里包围了他们。他派了一名使者去向对方索取一 百塔兰特,他说如果他们不给他这笔钱的话,他的军队就一定要把他们的城 市攻克才收兵。帕洛司人根本不考虑把钱给米尔提亚戴斯的事情,他们除了 保卫他们的城市之外,不作其他打算。他们保卫城市的办法是在夜里把城墙 最容易受到攻击的部分加高一倍,此外还用了其他种种办法。

    (134)全体希腊人都谈到的事情,就到上述的地方为止。再向下就是帕洛 司人自己说的了。他们说,米尔提亚戴斯既然处于进退两难的境地,一个名 叫悌摩的帕洛司女奴隶曾和他谈过话,她是冥界的女神们的副祭司。她到米 尔提亚戴斯这里来,劝他说如果他无论如何也要攻克帕洛司的话,那他就应 当按照她的建议去做。在听取了她的建议之后,他立刻便向着城前的小山挺 进,而在他来到立法者戴美特尔的神殿而不能打开门的时候,他便跳过了围 墙;跳了进去以后,他便向神祠的地方走去,或者是想动那不许动的东西。 或者是有什么别的意图。但是当他走到门前的时候,他立刻就感到极大的惊 恐而循着原道返回了。在他从墙上跳下的时候,他扭伤了大腿,有的人又说 他跌伤了膝头。

    (135)因此米尔提亚戴斯便十分不光彩地回来了,他既没有带回财富,也 没有占领帕洛司;他把这座城围攻了六十二天并且蹂躏了这个岛。帕洛司人 听到冥界的女神们的副祭司佛摩曾经作过米尔提亚戴斯的响导,便想为这件 事惩罚她,而现在他们既然已经不再被围,因而派使者到戴尔波伊去请示, 他们应不应由于这个副祭司引导了敌人并向米尔提亚戴斯泄露了任何男人都 不应知道的密仪从而使祖国陷于敌手而把她处以死刑。但是佩提亚却禁止他 们这样做,她说犯错误的并不是悌摩,是米尔提亚戴斯命中性定要遭到凶死 的命运,一个幻影曾引导他遇到了这些不吉利的事情。

    (136)佩提亚对帕洛司人的宣托有如上述。另一方面,当米尔提亚戴斯从 帕洛司回来的时候,雅典这里有许多人攻击他,克桑提波司的儿子阿里普隆 在人民大会的面前弹劾他,要求把他处死,因为他欺骗了雅典人。米尔提亚 戴斯到了会,但是他不能给他自己辩护(因为他的大腿那时已经开始腐烂 了)。不过在出席法庭时他却躺在床上,他的朋友们替他辩护,他们一直在提 到马拉松战役,提到列姆诺斯的征服:米尔提亚戴斯怎样惩罚了佩拉司吉人, 怎样攻取了列姆诺斯之后把它交给雅典人。人民赞成不判他的死刑,但是他 们由于他的错误而判处了他五十塔兰特的罚金。不久米尔提亚戴斯便由于大 腿的坏疽和腐烂而死去了,他的儿子奇蒙付出了五十塔兰特的罚金。

    (137)奇蒙的儿子米尔提亚戴斯占领列姆诺斯的经过是这样。佩拉司吉人 被雅典人赶出了阿提卡(根据传说,在特洛伊战争之后大约六十年,由于贝奥提亚人的迁徙,佩拉司吉人被赶入了阿提卡),这件事做得正当还是不正当我不能发表任何意见, 我只能把人们传说的记述下来。不过海该桑德罗斯的儿子海卡泰欧斯在他的 历史中却宣布说这一行动是不正当的。原来,海卡泰欧斯说,当雅典人看到 叙美托斯山山下的土地的时候,当雅典人看到这以前荒瘠而又毫无价值的土 地由于经过耕耘而变得十分肥美的时候,他们就起了羡慕之心而想取得这块 地方,因此便不用什么其他口实就把佩拉司吉人赶出去了。这块地方起初是 为了报偿佩拉司吉人先前在围城四周修筑城墙的劳动而送给佩拉司吉人居住 的。但是谁典人自己却说,他们驱逐佩拉司吉人的理由是正当的。他们说, 佩拉司吉人以他们在叙美托斯山下的居住地为据点向外进击,他们曾经这样 地对雅典人做了不正当的事情。在那个时候,不拘是雅典人还是希腊任何其他居民还都没有奴仆,而他们的子女是经常要到恩涅阿克路诺斯泉(意为九 泉,在雅典东南,伊利索司附近)去打水的。而每当他们来的时候,佩拉司吉人便出于横傲与轻侮 的想法而虐待他们。然而他们还不满足于这样做,他们终于竟被发现是在准 备进攻谁典。雅典人表现出他们自己是比佩拉司吉人要公正得多的人,因为 在发现对方的阴谋时,他们本来是可以把佩拉司吉人杀死的,但是他们不愿 意这样做,而只是命令他们离开那个地方。于是佩拉司吉人便离开了,他们 在其他的地方之外还占领了列姆诺斯。这是雅典人的说法,而前者则是海卡 泰欧斯的说法。

    (138)这些佩拉司吉人当时住在列姆诺斯,想对雅典人进行报复,又熟悉 雅典的各个祭典的日期,于是他们搞到了一些五十桡船,而当雅典的妇女们 在布劳隆庆祝阿尔铁米司祭典时就设伏等看她们。他们掳去了许多妇女,他 们把她们安置在船上带到列姆诺斯去,使她们作自己的侍妾。而既然这些妇 女生了越来越多的孩子,她们就教她们的孩子阿提卡语和雅典人的风俗习 惯。这些孩子不愿意和佩拉司吉妇女生的儿子们交往。如果他们当中有一个 人挨了佩拉司吉妇女所生的孩子当中的一个人的打的时候,他们便一致来帮 助他并且相互帮助。而且雅典妇女生的孩子甚至认为应该统治另一类的孩 子,而且比另一类的孩子是要强得多的。当佩拉司吉人看到了这一点时,他 们便进行了商议。在他们商议的时候,想到如果这些孩子决心相互帮助以对 抗正妻的儿子们并且还立刻便试图统治后者,则等他们好大成人的时候,这 些孩子会做出什么事情来时,这一点实在是使佩拉司吉人十分担心的。因此 佩拉司吉人便认为最好是把阿提卡妇女生的儿子杀死;他们这样做了,而且 把这些男孩子的母亲也给杀死了。由于这件事情以及妇女们先前干的一件事 情,即她们杀死了她们那与托阿斯(列姆诺斯的妇女们因怠于阿普洛狄铁的祭祀而受到咒诅,结果身上发出恶臭;列姆诺斯人于是娶了色雷斯的妇女为妻。但列姆诺斯的妇女们却合谋杀死了自己的丈夫和父亲。只有国王托阿斯由于被女儿叙普希 披列藏了起来而幸免一死,但不久他即被发现,结果还是被杀死了。他的女儿也被卖为奴隶)在一起的丈夫,在整个希腊,人们通常便 把任何一件残酷的行为称之为“列姆诺斯人的勾当。”

    (139)但是当佩拉司吉人杀死了他们自己的儿子和那些妇女的时候,他们 的土地便不再生长果实,他们的妻子和他们的家畜也不象先前那样的生育 了。在饥馑和无子的困迫之下,他们派人到戴尔波伊去请示摆脱目前灾祸的 办法。于是佩提亚使命令他们向雅典人赔偿雅典人自己所规定的任何赔偿 物。于是佩拉司吉人到雅典来,因自己的全部罪行而向雅典人建议赔偿。雅 典人在他们的市会堂里放置了一张装璜得尽可能富丽堂皇的寝床,旁边还有 一张上面满放着所有各种各样财宝的桌子,然后告诉佩拉司吉人,要他们象 这个样子地把国土交给雅典人。佩拉司吉人回答税:“当一只船借北风之助 在一日之内能够从你们的国家到我们的国家的时候,我们就把它呈献给你 们”;他们讲这样的话,是因为他们深信这样的事情是不可能实现的。因为 阿提卡是远在列姆诺斯的南方的。

    (140)当时的事情就只有这些了。但是在很多很多年之后,当海列斯彭特 的凯尔索涅索斯屈服于雅典的时候,奇蒙的儿子米尔提亚戴斯,借着当时不 断刮看的埃铁西阿伊风(一种在七月、八月和九月刮的东北季节风)的帮助,乘着一艘船完成了从凯尔索涅索斯的埃莱欧斯到列姆诺斯的航程。而在实现了这一点以后,他便向佩拉司吉人声明,要 他们记起他们认为永远不会实现的神托的话而离开他们的岛。于是海帕依司 提亚人便按照他的话做了。但是米利纳人却不承认凯尔索涅索斯是阿提卡的 领土,而继续抗拒围攻,但结果他们也屈服了。这样,米尔提亚戴斯和雅典 人便占领了列姆诺斯。

    第七卷

    (1)当叙司塔司佩斯的儿子大流士听到了马拉松之役的战报的时候,因雅 典人攻击撒尔迪斯而对雅典人非常气愤的大流士就更加愤怒,因此他也便更 加想派一支罩队去攻打希腊了。他于是立刻派遣使者到一切城市,命令它们 装备一支军队,要它们每一个城市提供远比以前为多的船只、马匹、粮饷和 运输船。由于这些通告,亚细亚忙乱了整整三年(四八九至四八七年),精壮的人们都给征入了讨 伐希腊的军队并且为这件事作了准备。在第四个年头,刚比西斯所征服的埃 及人叛离了波斯人;因而大流士便更加想对二者都加以讨伐了。

    (2)但是,当大流士准备讨伐埃及和雅典的时候,在他的儿子们中间发生 了一场夺取国家主权的巨大纷争。原来他的儿子们认为,他必须按照波斯人 的法律,在率军出发之前,宣布他的王位的一位继承者。大流士在他成为国 王之前,在他和他的第一个妻子即戈布里亚斯的女儿之间生了三个儿子;在 他成为国王之后,在他和居鲁士的女儿阿托撒之间又生了四个儿子。在前妻 生的儿子们当中,最年长的是阿尔托巴札涅司;后妻生的儿子们当中,最年 长的是克谢尔克谢斯;由于他们是异母兄弟,因此处于敌对的地位。阿尔托 巴札涅司的论据是,他是大流士的全部子女当中最年长的,而不拘什么地方 的风俗都是最年长的继承王位,但克谢尔克谢斯则认为他乃是居鲁士的女儿 阿托撒的儿子,而使波斯人获得自由的正是居鲁士。

    (3)当大流士在这件事上犹豫未决的时候,正好这时阿里司通的儿子戴玛 拉托斯来到了苏撒,他是在斯巴达被褫夺了王位之后,自愿从拉凯戴孟被流 放出来的。据传说,当这个人听到大流士的儿子们之间的纷争的时候,他就 到克谢尔克谢斯那里去劝告克谢尔克谢斯在自己的理由之外再加上一项论 据,这就是,他是在大流士已经成为波斯的国王和统治者之后才生的。但是 当阿尔托巴札涅司生的时候,大流士却还是一介平民。因此克谢尔克谢斯便 应当说,任何在他之外的人如果取得继承王位的特权那都是既不合理又不正 当的;因为根据戴玛拉托斯的建议,纵使在斯巴达也向来有这样的习惯,郎 如果在父亲成为国王前生了儿子而在父亲成了国王之后又生了一个儿子,则 王位应当落到后生的儿子的身上。克谢尔克谢斯按照戴玛拉托斯的意见去做 了,大流士认为他的论据是正当的,因此宣布他为国王。但是我以为即使没 有这个建议,克谢尔克谢斯仍会成为国王;因为阿托撒握有绝对的权力。

    (4)大流士在宣布克谢尔克谢斯为国王之后,就准备走上征途了。但是在 这之后的第二年,也就是埃及叛变的第二年,正当他进行准备的时候,他死 了;他一共统治了三十六年(五二一至四八五年)。他既未能惩办叛乱的埃及人,也未能惩办雅典 人。大流士既死,王位便转到他的儿子克谢尔克谢斯的身上去了。

    (5)原来克谢尔克谢斯在一开头的时候根本就无意于讨伐希腊,不过他却 纠合军队准备征服埃及。但是大流士的姊妹的儿子、克谢尔克谢斯的表兄弟、 戈布里亚斯的儿子玛尔多纽斯是和国王接近的人,而在宫内的波斯人当中对 克谢尔克谢斯有最大的影响,他是一直这样主张的:“主公,在雅典人对波 斯人做了这样多的坏事之后却丝毫不受到惩罚,那是不妥当的。而我的主张 是,目前你做你正在着手做的事情,而当你把横傲不逊的埃及征服以后,你再率领着你的军队去时代雅典,以便使你能够在众人中间赢得令名,同时人 们也就会懂得,侵犯你的领土的人,会落得什么样的下场”。他的这个论据, 是以报复为目的的,但是他不经心地又加上了一个理由,即欧罗巴是一个非 常美丽的地方,它生产人们栽培过的一切种类的树木,它是一块极其肥沃的 土地,而在人类当中,除去国王,谁也不配占有它的。

    (6)他这样讲,是因为他想进行冒险活动,而他自己想担任希腊的太守。 他终于达到了他的目的而说服了克谢尔克谢斯按照他的意见去做了:因为还 有其他的事情加在一起也帮助了他赢得克谢尔克谢斯的同意。首先,从帖撒 利亚的阿律阿达伊家(这个阿律阿达伊家是帖撒利亚的王族)派来了使者,他 们十分诚恳地邀请国王到希腊去。其次,佩西司特拉提达伊家的人们来到了 苏撒,他们也提出了同样的主张,他们的理由和阿律阿达伊家的理由一样, 而此外答应给克谢尔克谢斯的东西甚至比阿律阿达伊家答应的还要多。和他 们同来有一个雅典的占卜师即穆赛欧斯神托的收集整理者奥诺玛克利托斯: 佩西司特拉提达伊家曾和这个人有旧怨,但是在来此之前他们之间的纠纷已 经得到了和解。原来奥诺玛克利托斯曾被佩西司特拉托斯的儿子希帕尔科斯 驱出雅典,因为他曾在穆赛欧斯的神托中间插进了一段神托,说列姆诺斯附 近海上的诸岛将要沉没到海里去,但是这个行为被赫尔米昂涅人拉索司(诗人兼乐师,又是品达洛司的教师)看破 了。因此希帕尔科斯驱逐了他,虽然在这之前他们是很要好的朋友。但现在 他和佩西司特拉提达伊家的人们一同来到苏撒了;而每当他谒见国王的时 候,佩西司特拉提达伊家的人们总是为他吹嘘一番,而他本人也就背诵一些 他所知道的神托;所有那些预言波斯人的灾难的神托他都避而不谈,而只是 选诵那些对异邦人最有利的神托,如谈到海列斯彭特时,就说它怎样必须由 一个波斯人来架桥,此外也谈到了进军的情况。克谢尔克谢斯这样便纠缠到 奥诺玛克利托斯的神托以及佩西司特拉提达伊家和阿律阿达伊家的意见里面 去了。

    (7)克谢尔克谢斯被说服派遣一支大军去讨代希腊之后,就在大流士死后 的第二年,向背叛者进军了。他征服了埃及人并使埃及人受到比在大流士的 时代要苦得多的奴役;他把埃及的统治权交给了大流士的儿子、他的亲兄弟 阿凯美涅斯。但是后来(四六○年,见第三卷第十五节)在阿凯美涅斯担任埃及太守的时候,他却被一个利比 亚人、普撒美提科斯的儿子伊纳罗司杀死了。

    (8)征服埃及之后,克谢尔克谢斯现在又打算着手准备出征雅典了,于是 他便召集波斯的第一流人物前来会商,召开这一会议的目的是他可以听取这 些人的意见,同时他自己又可以当着他们的全体宣布他自己的看法。当这些 人都集合到一起的时候,克谢尔克谢斯就对他们说: (α)“波斯人!并不是从我这里开始第一个采用和在你们中间制定新法 律,我不过是把它从父祖那里继承下来并加以恪守罢了。我从我们的年长人 那里听说,自从居鲁士废黜阿司杜阿该斯,而我们从美地亚人手中赢得霸权 以来,我们就从来没有过安定的日子。但这乃是上天的意旨。而我们经历的 许多事情,其结果是给我们带来了好处。现在居鲁士和刚比西斯和父王大流 士所曾征服从而加到我们的国土上面来的那些民族,那是没有必要再列举给 你们了;这一切是你们知道得非常清楚的。但是从我个人这一方面来说,自从我登上王位以来,我就在想我怎样才能在这一光荣的地位上面不致落在先 人的后面,怎样才能为波斯人取得不比他们更差的威力;而在我深思熟虑之 后就觉得,我们不仅可以赢得声名,而且可以得到一块在质和量方面都不次 于我们的土地,这块土地比我们现有的土地还要肥沃;这样我们既满足了自 己的需要,又达到了报复的目的。 (β)我就是为了这个原因才把你们大家召集起来,为的是我可以向你们 披沥我个人的看法。我打算在海列斯彭特架一座桥,然后率领我的军队通过 欧罗巴到希腊去,以便惩罚曾对波斯人和我的父王犯下了罪行的雅典人。你 们已经看到,父王大流士是曾想讨伐这些人的。但是他死了,他已经无法来 亲自惩罚他们了;而我却要为他和全体波斯人报仇,不把雅典攻克和烧毁决 不罢休,以惩罚雅典人对父王和对我本人无端犯下的罪行。首先,他们和我 们的奴隶米利都人阿里司塔哥拉斯来到撒尔迪斯,焚烧了那里的圣林和神 殿;其次,当我们的由达提斯和阿尔塔普列涅斯率领的军队登上他们的海岸 时,他们是怎样地对待我们,我想这是你们大家全都清楚的。 (γ)由于这样的一些原因,日此我决定派一支军队去讨伐他们,而在我 考虑之后,我认为我们将会因此得到不少的好处。如果我们征服了那些人和 他们的邻居,即居住在佩洛普司地方的普里吉亚人,我们就将会使波斯的领 土和苍天相接了,因为,如果我得到你们的助力把整个欧罗巴的土地征服, 把所有的土地并入一个国家,则太阳所照到的土地便没有一处是在我国的疆 界以外了。 因为,我听说将没有一座人间的城市、人间的民族能和我们相对抗,如 果我所提到的那些人一旦被我们铲除掉的话。这样,则那些对我们犯了罪的 和没有犯罪的人就同样不能逃脱我们加到他们身上的奴役了。 (δ)从你们的那一方面来说,这就是你们使我最称心满意的事情:当我 宣布要你们前来的期限时,你们每一个人必须立刻前来,不许有勉强的情绪。 凡是率领着拥有最优良的装备的军队前来的人,我将要赠给他在国内被认为 是最尊荣的礼品。上述的事必须做到。但是你们谁也不要认为这是我擅自决 定的,我把这事向你们大家提出,有意见的人我是希望他能够讲出来的。” 克谢尔克谢斯说完了这一番话之后,便沉默不语了。

    (9)在他之后发言的是玛尔多纽斯,他说:“主公,你在过去和未来的一 切波斯人当中都是最杰出的人物;因为对于其他一切事情,你都是说得既精 彩又真实的,此外,你还不能容许住在欧罗巴的伊奥尼亚人来嘲笑我们,因 为他们这样做是非分的。我们先前征服和奴役了撒卡依人、印度人、埃西欧 匹亚人、亚述人以及其他许多伟大民族,并不是因为这些民族对我们作了坏 事,而只是因为我们想扩大自己的威势;可是现在希腊人无端先对我们犯下 了罪行,而我们却不向他们报复,那诚然是一件奇怪的事情了。 (α)有什么使我们一定要怕他们呢?他们有强大的军队或是充足的财力 使我们害怕吗?我们知道他们的作战方法,知道他们的实力是不足道的。我 们曾经征服和拘留他们的子弟,就是住在我国并被称为伊奥尼亚人、爱奥里 斯人和多里斯人的那些人。先前由于你父亲的命令,我曾经讨伐过这些人, 因此那时我自己跟他们较量过;我一直进吉到马其顿并几乎到达雅典,但是 没有一个人出来应战。 (β)我听说,希腊人由于自己的顽固和愚蠢,他们在作战时是胡来一通 的。当他们相互宣战的时候,他们是来到他们所能找到的最好的和最平坦的 地方在那里作战,因此结果胜利者在战斗结束时也同样会遭到巨大的损失, 而战败者,那就更不消说,他们全部被歼灭了。既然他们使用相同的语言, 他们本应当通过传令人和使者来结束他们之间的纠纷,应当用战争以外的任 何其他办法来结束纠纷。纵然他们无论如何必须作战的时候,他们也应当各 自去寻找他们的最难于受到攻击的地点,然后在那里再一决胜负。因此希腊 人的办法并不是一个好办法;而当我进军直到马其顿的时候,他们还都不想 作战。 (γ)国王啊,当你率领着全亚细亚的大军和你的全部战船出征的时候, 谁能对你作战呢?在我个人看来,希腊人是不会有那样大的胆量来作战的。 但如果时间证明我的判断错误而他们蛮性发作,竟然和我们作战的话,那我 们就会教训他们,要他们知道我们原来是世界上最优秀的战士。总之,不拘 会发生什么事情,我们也不要退缩罢。因为任何事物都不会是自行产生出来 的,而人间的一切事物都是经过多次的尝试才得到的。”

    (10)玛尔多纽斯结束了自己的发言,这样他就把克谢尔克谢斯的意见说 得更加动听了。其他的波斯人保持了缄默,不敢发表与已经提出的意见相反 的任何看法,随后叙司塔司佩斯的儿子阿尔塔巴诺斯发言了,他是国王的叔 父,因而他正是仰仗着这个身分才敢发言的。他说: (α)“哦,国王,如果大家不发表相互反对的意见,那就不可能选择较 好的意见,而是必须遵从已发表出来的意见;但是,如果有反对的意见,那 就能够选择较好的意见了。甚至黄金的成色单从它本身都不能加以鉴别,但 是黄金和黄金如果都在试金石上磨擦,那我们便可以把成色较好的黄金鉴别 出来。我曾经谏阻我的哥哥、你的父亲大流士率军去攻打在本国的任何地方 都没有住人的城市的斯奇提亚人。但是他一心想征服游牧的斯奇提亚人而不 愿意听我的话。他率领了他的军队出征,而从出征回来的时候,却丧失了他 的军队中的许多勇武之士。哦,国王,你现在是正在打算率领你的军队去攻 打远比斯奇提亚人为优秀的人们,这些人据说在海陆两方面都是极其勇敢的 人物。因此我是应当向你指出你这次出征的危险性的。 (β)你说你要在海列斯彭特地方架桥,然后率军通过欧罗巴向希腊进 发。但是,我以为事情的结果可能你或是在陆上,或是在海上,甚或同时在 陆上和海上被战败。据说他们都是勇武的人物。 而我们很可能预料会有这样的事情发生,因为随达提斯和阿尔塔普列涅 斯到阿提卡去的这样一支大军都被雅典人独力歼灭了。可是我俩还可以假定 他们在海上和陆上没有得到成功;但如果他们用他们的舰船进攻并在海战中 得到胜利的话,那他们就会乘船来到海列斯彭特,随后更把你的桥梁毁掉。 哦,国王,这对你可就是一件非常危险的事情了。 (γ)我所以这样推测决不是出于我一个人的智慧。这是因为我记起了过 去我们几乎遇到的一次大灾难;在当时,你的父亲登上色雷斯的博斯波鲁斯 的海岸并在伊斯特河河上架桥之后,便渡过去向斯奇提亚人进攻。那时斯奇 提亚人却使用了一切办法请求受命守卫伊斯特河河上的桥的伊奥尼亚人把这 个通路摧毁;而在当时,如果米利都的僭主希司提埃伊欧斯同意了其他僭主 的意见而不加反对的话,波斯的兵力就要全部垮台了。而且在人们听到说, 国王全军的命运完全掌握在仅仅是一个人的手里的时候,那甚至可说是一件 令人心悸的事情了。 (δ)在丝毫没有这个必要的时候,你还是不要作冒任何这样危险的打 算,而是听从我的劝告吧。现在你先把这个集会解散;随后,在你自己先把 这件事考虑好以后,什么时候你愿意,你都可以宣布你认为是最有利的办法。 因为在我看来,一个经过深思熟虑的计划乃是最有利的。因为纵然这个计划 后来失败了,它仍然不能说是考虑得不好,而只不过是由于运气不好才失败 罢了。可是一个考虑得不好的计划,却由于运气好而得以成功,这也不过是 他的机遇凑巧罢了,他的计划仍然是考虑得不好的。 (ε)你已经看到,神怎样用雷霆打击那些比一般动物要高大的动物,也 不许它们作威作福,可是那些小东西都不会使他发怒。而且你还会看到,他 的雷箭怎样总是投掷到最高的建筑物和树木上去;因为不容许过分高大的东 西存在,这乃是上天的意旨。因此,一支人数众多的大军却会毁在一支人数 较少的军队的手里,因为神由于嫉妒心而在他们中间散布恐慌情绪或是把雷 霆打下来,结果,他们就毫不值得地毁掉了。原来神除了他自己之外,是不 容许任何人妄自尊大的。 (ζ)而且,任何事情如果着急的话,那总是要失败的;而失败又常常会 引起严重的损害。可是待机行事都是有利的;这利益在目前虽然还看不出来, 但到一定的时候它是会显示出来的。 (η)国王啊,这就是我对你的劝告。可是,戈布里亚斯的儿子玛尔多纽 斯,我看你还是不要再胡说关于希腊人的事情了,他们是决不应受到诽谤的。 正是由于你诽谤了希腊人,这才嗾使国王进行了这次出征的。而且我以为, 你在那里拚命张罗,其目的也不外就是这一点了。我看不一定会象你想的那 样罢!诽谤是一件极坏的事情。因为在诽谤当中,关系到两个人;一个是做 坏事的人,一个是受害的人。进行诽谤的人,在别人不在的时候说他的坏话, 这样便伤害了别人,而在知道全部真象之前便完全相信对方的话的那个人, 也同样是做了不正当的事情。而由于不在场因而并没有听到别人说到他的话 的那个人就受到了双重的损害,因为一个人诽谤他,而另一个人又把他看成 了坏人。 (θ)然而,如果无论如何也要派一支军队去讨伐希腊人的话,那末可以 这样做。让国王本人留在波斯人居住的土地上,并让我们两个人用我们的孩 子来打赌。然后,随便你选拔怎样的人,随便你要多么大的一支军队,你就 率领看他们出发,如果事情象你所说的那样,结果对国王有利,那你就把我 的儿子杀死,连我也和他们一道杀死。如果结果和我所预言的相同,那你的 儿子也这样处理,如果你回来的话,你也不例外。但如果你自己不愿意这样 做,又想无论如何也要率军渡海远征希腊的话,那我深信留在这里的人将会 听到,玛尔多纽斯在给波斯人带来了巨大的灾难之后,将会在雅典的土地上, 或是在拉凯戴孟的土地上,说不定也许是在到那里去的道路上,被狗和鸟撕 得粉碎。这样你就知道你想说服国王去进攻的那些人是怎样的一些人了。”

    (11)以上就是阿尔塔巴诺斯所我的话,但是克谢尔克谢斯忿怒地回答 说:“阿尔塔巴诺斯,亏了你是我父亲的兄弟;否则你将会因你的这些蠢话 而受到应得的惩罚。可是,对于你这种怯懦的、没有骨气的表现,我要使你 受到这样的耻辱,那就是,不许你随着我和我的军队去征讨希腊,而是和妇 女们一道留在这里。而我自己没有你的帮助,仍然会完成我方才所说的一切 的。因为,假如我不向雅典人亲自进行报复,那我就不是阿凯美涅斯的儿子、 铁伊司佩斯的儿子、刚比西斯的儿子、居鲁士的儿子、铁伊司佩斯的儿子、 阿里阿拉姆涅斯的儿子、阿尔撒美斯的儿子、叙司塔司佩斯的儿子、大流士 的儿子了。我知道的很清楚,如果我们安安静静地呆在这里,则他们不仅仅 是不会善罢干休,而且肯定是会向我们的国土发动进攻的,假如我们可以从 他们已经做出来的事情来推断的话,因为他们不但把撒尔迪斯烧掉,而且进 兵亚细亚了。因此,不管从两方面的哪一方面来讲,撤退都是不可能的,当 前我们所能做的只能是在主动地去进攻和被动地等着挨打这两种情况中间选 择一个:或是把我们的一切归希腊人统治,或是把希腊人的一切归我们统治。 在我们的争论里,折衷的道路是没有的。因此,我们的荣誉感要求我们应当 报复我们身受的一切灾害。这样我当然也就可以领教一下,在我征讨这些希 腊人的时候,我会遇到什么样子的危险;甚至我的祖先的奴隶普里吉亚人佩 洛普司都曾经彻底敉平过这些希腊人,而且直到今天,人们还是用他们的征 服者的名字来称呼他们和他们的国土的”。

    (12)他的话就说到上面的地方为止了。跟着就到了夜里;这时克谢尔克 谢斯却因阿尔塔巴诺斯的意见而深感不安了。他在夜里反复加以考虑,这样 便清楚地看到,派一支大军去征讨希腊对他未必是有利的。在他作了这第二 个决定以后,他就睡着了;但是,根据波斯人的传说,就是在那一夜里,好 象他作了这样一个梦。克谢尔克谢斯梦见一个姿容秀丽、体格高大的男子站 在他的身旁,对他说:“哦,波斯人,在你宣告纠合你的波斯大军之后,现 在你却又改变主意,不去率军征讨希腊了吗?你改变自己的主意是不相宜 的,也不会有任何一个人同意你这样做的。我看你还是按照你白天的决定去 做罢”。梦中人这样说了之后,克谢尔克谢斯就看他仿佛是飞去了。

    (13)当天亮的时候,国王根本不去理会他夜里的梦,而是把他先前召集 到一起的那些波斯人重新召集来,这样对他们说:“波斯人啊,请你们原谅 我突然改变自己的主意罢,因为我在考虑问题的时候还未能充分发探自己的 智慧,而那些劝我做我前面所提到的那件事的,又是一直没有离开我的身边 的人们。在我听到阿尔塔巴诺斯的意见的时候,由于我这年轻人血气方刚, 那时我诚然是立即发起火来,乃至我讲出了对年长者不应该讲的和卤莽无礼 的言词。不过现在我认识了我的过错,我愿意采纳他的意见。因此你们要知 道,我已改变了先前我想去征讨希腊的意思,请你们安安静静地呆着罢”。 波斯人听了这话不胜欢喜,他们向他礼拜致意了。

    (14)但是到夜里克谢尔克谢斯睡着的时候,那个梦中人又站到了他的身 旁,向他说:“大流士的儿子啊,你已经在波斯人面前公然打消了你那征讨 希腊的意图了。你丝毫不把我的话放到心上,就好象你从来没有听到这话似 的。现在我就确确实实地告诉你,如果你不立刻率军出征,你就会招致这样 的后果:在短期间你虽然变得强大,可是很快地你就又会衰微下去了。”

    (15)克谢尔克谢斯作了这个梦之后心中大为惊恐,他从床上跳了下来, 立刻派一名使者到阿尔塔巴诺斯那里去请他;阿尔塔巴诺斯到来之后,克谢 尔克谢斯就向阿尔塔巴诺斯说:“阿尔塔巴诺斯,曾有一个时候我是非常思 蠢的,我竟用愚蠢的言词回答了你的有益的忠舍。可是我很快地就后悔起来 并认识到我是应当采纳你的意见的。虽然我愿意这样做,但我仍然不能这样 做。因为自从我改变了自己的决定和后悔自己的错误以来,我就总是梦见一 个人,他无论如何不同意我按照你的建议去做,而现在他就是刚刚在恐吓了 我以后离开的。因此,如果这个梦中人是神派来的,则我们出征希腊这件事 情,就正是神十分欢喜要我们做的事情了,而且如果是这样的话,你也会作 同样的梦,而梦中人也会向你发出同样命令的。而我相信,如果你把我的全 套衣服穿起来,然后坐在我的王位上,跟着再到我的床上去睡,这样你是很 可能遇到同样的事情的”。

    (16)克谢尔克谢斯向他说了上面的话;但是阿尔塔巴诺斯起初不愿意服 从克谢尔克谢斯的命令,因为他认为他是不配坐在王位上面的,但由于克谢 尔克谢斯一定强迫他这样做,他终于照着克谢尔克谢斯吩咐的做了;不过在 这之前,他讲了这样的话: (α)“主公,根据我个人的判断,能想出好办法的人和愿意听从别人提 出的好办法的人,他们的价值是相同的。虽然你具有这两种优良的品质,可 是和坏人的交住却成了你的持身之累。这就和海洋一样,人们常说它在万物 当中本来对人是最有用处的,然而向海上袭来的烈风却使它无法顺从它自己 固有的本性。至于我本人,则使我感到痛心的与其就是你的粗言暴语,勿宁 说是下面的一种情况,即当着两种意见摆在波斯人的面前,一种意见是想助 长他们的傲慢情绪,而另一种意见是克服他们的这种傲慢情绪,并向他们指 明,教给人的心灵在它已有的东西之外,总是不断食求更多的东西,这是一 件多么坏的事情的时候,在这两个意见当中,你却选择了对你本人以及对波 斯人是危险的一个意见。 (β)因此,你现在既然改变主意,选择了比较贤明的决定,你却说当你 愿意放弃征讨希腊的想法的时候,有某一位神派来的梦中人屡次来到你这 里,不许你放弃这次的出匠。可是我的孩子,这样的事情决不会是上天的意 旨。在人们的梦里跑来跑去的幻影是什么样的一种东西呢,让我这个年纪比 你要大得多的人教给你罢。梦里游荡在人们身边的那些梦中人,大多数就是 人们在白天所想的那些东西;而近日里,我们便一直是拚命忙着这次出征的。 (γ)虽然如此,如果这件事不是象我所判断的那样,而是在其中有什么 神意的话,则事情的最后处理办法仍然应由你自己来决定。就让这个梦中人 和对你一样地向我显现并发出命令来罢。但如果这个梦中人真正有意出现的 话,则我看倒不一定要脱下我的衣服而把你的衣服换上,也不一定要不睡在 我自己的床上而睡在你的床上。不拘你在梦里所看到的是什么东西,我想他 在看到我的时候,他肯定决不会愚蠢到因为他看到你的衣服便会把我认成是 你。现在我们就来看一看,他是不是不把我放到眼里,是不是不屑于经常在 梦中向我显示,不管我是穿着你的还是穿着我自己的衣服。如果它真地接连 不断地在你的梦里出现,那我自己也不得不承认他乃是奉神的意旨前来的 了。但如果你决定事情必须这样做,而且是无可回避,那我就非得在你的床 上睡一睡不可了。我就这样做罢;而在我睡到你床上的时候,让那个梦中人 也来向我显示吧。不过在他向我显示之前,我还是要坚持我目前的意见的”。

    (17)阿尔塔巴诺斯这样说了之后,便按照所吩咐的做了,他所指望的是 要证明克谢尔克谢斯对他讲的话原是不值一提的。他穿上了克谢尔克谢斯的 衣服并坐到国王的宝座上。随后,当他躺下熟睡的时候,那个常常到克谢尔 克谢斯梦里来的梦中人,便来到了阿尔塔巴诺斯的面前,向他说:“你是不 是想劝说克甜尔克谢斯不去征讨希腊,而打算用这样的办法来照顾他那个 人?可是,你这种力图扭转命运注定的事情的做法,使你不拘是在今后,还 是在目前,都是不能逃避上天的惩罚的。我也已经向克谢尔克谢斯本人宣布, 如果他不从命的话,他会落到怎样的下场”。

    (18)阿尔塔巴诺斯感觉到,梦中人在说了这样的威吓的话之后,好象是 要用灼热的铁把他的眼睛烧出来似的,于是他大叫一声便从床上跳了起来, 随后就坐在克谢尔克谢斯的身旁,把他在梦里所看到的一切源源本本地告诉 了克谢尔克谢斯,跟着他说:“哦,国王啊,象我这样一个在一辈子里看到 许多强大的力量被比较弱小的力量所打倒的人,是不愿意要你完全逞自己的 血气之勇的。我知道贪得无厌是一件多么不好的事情,因为我没有忘记了居 鲁士征讨玛撒该塔伊人和刚比西斯征讨埃西欧匹亚人的结果,而且我自己还 亲自追随着大流士去征讨过斯奇提亚人。既然知道这一点,故而我的看法就 是,你最好是安安静静地过活,这样世人就会认为你是最幸福的了。不过, 既然天意非如此不可,而看来诸神又注定了希腊的毁灭,那我自己也就改变 初衷并更正我自己的看法了;现在你把上天的意旨向波斯人宣布,命令他们 服从你最初所下的、进行相应准备的命令。既然是神允许你这样做的,则在 你的这一方面就得把一切准备齐全了”。在这次谈话之后,他们两人便都因 梦中人的话而得到了勇气,因此到天亮的时候,克谢尔克谢斯便把这件事通 告波斯人,而阿尔塔巴诺斯现在也公然赞同先前只有他一个人公开反对的那 种做法了。

    (19)在这之后,克谢尔克谢斯现在既然已有了出征的打算,就在睡着时 作了第三个梦。而当玛哥斯僧们听到这个梦的时候,便解释说这是指着全世 界而言,并表示全人类都要成为他的奴隶。他作的是这样一个梦。克谢尔克 谢斯以为他戴上了一顶橄榄枝的王冠,王冠的嫩枝蔓延开来,遮复了整个大 地,但不久之后他的这顶王冠便从他头上消失了。玛哥斯僧就是这样来圆梦 的。而后,集合起来的波斯人等,便各自立刻这回自己的管地,万分热心地 执行克谢尔克谢斯的命令,因为他们每一个人都想得到悬赏的赠物。这样, 克谢尔克谢斯便从大陆的每一个地方搜集人力,把他的大军纠合起来了。

    (20)在平定埃及以来的整整四年中间(四八四至四八一年),他一直在整顿大军,并准备出征 所必需的一切;而在第五年里,他便率领着一支大军踏上了征途。在我们所 知道的远征军当中,这支选征军断乎是最大的一支,以致过去的任何一支远 征军都无法和它相比,大流士远征斯奇提亚人的军队也好,追击寄姆美利亚 人时突入美地亚(见第一卷第一○三节;第四卷第一节)并征服和统治了上亚细亚的几乎全部土地,而后来大流士又 曾因这件事而想对之进行报复的斯奇提亚人的大军也好,传说中阿特列欧斯 的儿子们所率领进攻伊里翁的大军也好,在特洛伊战争之前渡过博斯波鲁斯 进入欧罗巴,在那里征服了全部色雷斯人,下至伊奥尼亚海并向南进军直到 佩涅欧司河的美西亚人和铁乌克洛伊人的大军也好,都无法和它相比。

    (21)所有这些远征的军队,再加上这些之外如果有的其他任何军队,都 不能和单是这一支军队相比。因为亚细亚的哪一个民族不曾给克谢尔克谢斯 率领去攻打希腊呢;除去那些巨川大河之外,哪一条河的水不是给他的大军 喝得不够用了呢?有人把船只供应给他,有人参加了他的陆军,有人提供了 骑兵、有人提供了随军运送马匹的船只以及军中的服务人员,有人提供作桥 梁用的战船,还有人提供食粮和船只。

    (22)首先,由于第一次远征的军队在试图回航阿托斯的时候遭到了覆舟 的命运,所以在大约三年当中,他一直为应付阿托斯而做准备。三段桡船都 停泊在凯尔索涅索斯的埃莱欧斯地方,而以这些船为据点,军中所有各种各 类的人们都在鞭子的驱使之下被迫去挖掘壕沟,他们是陆续不间断地去干活的。而在阿托斯周边住的人们也同样地要去挖掘壕沟。监督人们干活的是美 伽巴佐斯的儿子布巴列斯和阿尔泰欧斯的儿子阿尔塔凯耶斯。他们两个人都 是波斯人。这个阿托斯乃是向海中突出的一座著名的大山,而且在这座山里 是有人居住的。这座山在大陆方面的一端,是半岛形状的,它是一个大约有 十二斯塔迪昂宽的地峡;这是从阿坎托司地方的海到托罗涅前面的海之间 的、一块有一些小丘的平野。在阿托斯山终点的这个地峡上面,有一个称为 撒涅的希腊城市。但是从撒涅到海之间以及从阿托斯到陆地的方面又有其他 的一些城市,而波斯人现在就打算把这些城市变成岛城,而不是大陆的城市。 这些城市就是狄昂、欧洛披克索斯、阿克罗托昂、杜索司、克列欧奈。

    (23)以上是阿托斯的城市。异邦人是这样挖掘的,他们把上面的几个不 同民族所住的地方区分开来。他们在撒涅城的附近画了一条直线;而当壕沟 挖掘到一定深度的时候,有的人就站到壕沟的底部挖掘,另一些人则把挖出 来的土接过来,把它递给站在更高一层的人们,而这些人则又递给站在更上 面的人们,这样一直传到站在最高处的人们。这些人就把挖出来的土带走抛 掉了。除去腓尼基人之外,对于其余所有的人来说,由于壕沟陡峭的两岸发 生崩坏和下陷的事情,这便形成了他们的双重的劳苦。原来他们把壕沟上面 和沟底弄成相同的宽度,所以这样的事情就必然会发生了。但腓尼基人特别 是在这件事上,也和他们在其他一切工作上一样,同样地表现了他们的技巧。 他们接受了分配到他们手上的那部分工作之后,便把壕沟最上面的口掘成所 需要的壕沟宽度的一倍,而在向下掘的时候却渐渐地使它变窄,直到底下的 时候,他们挖的就和其他人同样宽了。在那里的附近有一片草地,他们便利 用那片草地作为交易的场所。而经常有大量磨过的谷物从亚细亚运到他们这 里来。

    (24)根据我用猜测的办法所作的制断,克谢尔克谢斯是出于傲慢的心情 才下令进行这次挖掘的,因为他想显示他的威力并且想给后世留下足以想见 他的丰功伟绩的东西。原来,他们若想把他们的船只拖过地峡,这是一伴很 容易办到的事情。但他仍然命令他们从海到海挖掘一道壕沟,它的宽度足够 两艘三段桡船相并划行而过。而且受命进行挖掘工作的那些人,同样又受命 在司妥律蒙河河上架了一座桥。

    (25)克谢尔克谢斯就做出了这样的事情;另一方面,在架桥这件事上, 他命令腓尼基人和埃及人制造纸草和白麻的绳索并要他们腓备军粮,为了使 他的军队和驮兽在进军希腊时不致陷于饥饿。在调查了各个地点的形势之 后,他就下令要他们把粮草贮备在最适当的场所,而从亚细亚的一切地方用 货物船和运输船把粮草运到这样的一些地方去。他们把粮草的大部分运到色雷斯的所谓列乌凯—阿克铁(意为白岬)的地方去,其余的则分别运 到佩林托斯人的国土上的图洛迪札,或是运到多里司科斯,或是运到司妥律 蒙河上的埃翁,或是运到马其顿去。

    (26)正当这些人从事于指定给他们的劳役时,已经集合起来的全部陆军 却在克谢尔克谢斯的率领之下从卡帕多启亚的克利塔拉开拔向撒尔迪斯进发 了。凡是随克谢尔克谢斯本人从陆路进军的全部大军都是指定在克利塔拉集 合的。不过我说不出克谢尔克谢斯的太守当中,哪个人由于带来了装备最好 的军队而得到了国王所悬赏的赠赐。因为我甚至不知道这件事是否曾确定下 来。但是当他们渡过哈律司河并进入普里吉亚之后,他们就通过那个地方而 到达了凯莱奈,这个地方是两条河流的发源地,一条是迈安德罗司河,一条 是和迈安德罗司河同样大的卡培拉克铁斯河。卡培拉克铁斯河就发源在凯莱 奈的市场地方并注入迈安德罗司河。昔列诺斯的玛尔叙亚斯的皮肤也挂在那 里;根据普里吉亚人的传说,是阿波罗剥下了玛尔叙亚斯的皮并把它挂在那 里的。

    (27)一个吕底亚人、阿杜斯的儿子披提欧斯就在这个城市等候着他们; 他极其隆重地款待了克谢尔克谢斯本人和他的全部军队,他自己并且宣布说 他愿意提供作战的资金。披提欧斯这样把钱拿出来之后,克谢尔克谢斯便问他左右的波斯人这个披提欧斯是怎样的一个人,他有多少财富而能献纳出这 样多的金钱。于是他们回答说:“哦,国王,这就是曾经把黄金的筱悬木和 黄金的葡萄树赠送给你的父亲大流士的人。在我们所知道的人们当中,他的财富是仅次于你的一个人”。

    (28)克谢尔克谢斯听了最后的这句话大为吃惊,随后他自己就问披提欧 斯本人,问他有多少财富。披提欧斯说:“哦,国王啊,我不愿意向你隐瞒我的财富,也不愿意装做我不知道的样子;我知道我有多少财富并愿意把真 实情况告诉你。当我一知道你下行到希腊海这边来的时候,由于我愿意向你 提供作战的资金,于是我便进行了仔细的调查,计算的结果是我有两千塔兰特的白银和差七千不到四百万达列科斯·斯塔铁尔的黄金。这一切我都愿毫 不吝惜地奉献给你。至于我本人,则我的奴隶和我的田庄已足够维持我的生计了”。以上便是披提欧斯所讲的话;克谢尔克谢斯对他的话深感满意,就 对他说:

    (29)“我的吕底亚的朋友啊,自从我离开波斯以来,除去你一个人以外, 我还没有遇到过任何一个人自愿款待我的军队,也还没有遇到过任何一个人 自动地前来见我并提供我作战的资金。可是你却隆重地款待了我的军队,并 且提供我大量的资财。因此,为了回答你的好意,我用这样的一些办法来酬 谢你:我使你成为我的朋友并从我自己的财富中给你七千斯塔铁尔使你补足 四百万,这样你的四百万便不会缺少七千了。而且在我补足之后,你便可以 有整整四百万的数目了。继续保持你现有的财富并要注意到永远设法保持自 己象现在的样子;因为不拘是现在,还是今后,你都不会为你目前的所做所 为而后悔的”。

    (30)克谢尔克谢斯这样说并履行了自己的诺言以后,就不停地继续前进 了。经过了一个叫做阿恼阿的普里吉亚市邑和产盐的湖之后,他们便到了普 里吉亚的一个名叫科罗赛的大城市;在这里,吕科斯河注入地上的一个裂缝 而消失,然后在大约五斯塔迪昂之外的地方再显示出来,它和另一条河一样, 也是流入迈安德罗司河的。大军从科罗赛向普里吉亚人和吕底亚人的边境进 发而来到了库德辣拉,在那里有克洛伊索斯树立的一个石柱,上面有表明疆 界的铭文。

    (31)经过普里吉亚进入吕底亚之后,他便来到了道路分岐的一个地方。 左手的道路通向卡里亚,右手的道路通向撒尔迪斯;如果走后面的这条道路, 就必须渡过迈安德罗司河和经过卡拉铁渡司市;而在卡拉铁波司市,那些手 艺人是用杨柳和小麦粉来造蜜的。克谢尔克谢斯走了这条路并找到了一株筱 悬木,由于这株筱悬木的美丽,他给它加上了黄金的装饰,并命令他的一个 精兵看守它。而在第二天,他便来到了吕底亚人的首府。

    (32)到达撒尔迪斯以后,他首先派遣使者到希腊去要求土和水,并下令 为国王准备饭食。他派人到所有其他的地方去要求土,就是不派人到雅典和 拉凯戴孟去。他第二次派人索取土和水的原因是这样:凡是先前在大流士派 使者去索取土和水的时候而不给的人们,他相信他们这次一定会由于害怕而 不得不献出来,因而他把使者派出去,想确实了解一下这件事。

    (33)在这之后,他便准备向阿比多斯进军了。而就在这个时候,他手下 的另一部分人就在海列斯彭特架设欧罗巴和亚细亚之间的桥梁。但是,在海 列斯彭特近旁的凯尔索涅索斯地方,在赛司托斯市和玛杜托司之间,有一个 嵯峨的海岬,一直伸入紧对着阿比多斯的海面。就是在这里,不久之后,将 领阿里普隆的儿子克桑提波司麾下的雅典人拿获了赛司托斯的太守、波斯人 阿尔塔乌克铁斯并把他活活地钉死在木板上。这个人过去经常把女人带到埃 莱欧斯的普洛铁西拉欧斯神殿去并在那里干见不得人的渎神勾当。

    (34)于是,担负了架桥这样一项任务的人们以阿比多斯为起点,便把桥 架到那个地岬上去;腓尼基人用白麻索架一座桥,而埃及人用纸草架第二座 桥。从阿比多斯到对岸的距离是七斯塔迪昂。但是海峡上的桥刚刚架起的时 候,立刻便刮来了一阵强烈的暴风,把工程全部摧毁粉碎了。

    (35)克谢尔克谢斯听到这个消息的时候大为震怒,他于是下令把海列斯 彭特笞打三百下并把一付脚铐投到那里的海里去。而且,在这以前我就曾听 到,在上述的做法之外,他还把烙印师派到那里去给海列斯彭特加上烙印。 他的的确确曾命令那些他派去笞打的人们,说出了野蛮和横暴无礼的话。他 要他们说:“你这毒辣的水!我们的主公这样惩罚你,因为你伤害了他,尽 管他丝毫没有伤害你。不管你愿意不愿意,国王克谢尔克谢斯也要从你的上 面渡过去;任何人不向你奉献牺牲,那是正当不过的事情,因为你是一条险 恶而苦咸的河流”。因此他便下令这样地来惩罚了海,并下令把监督造桥的 人们枭首了。

    (36)接受了这个不讨好的任务的那些人把他的命令执行了;另一些匠师 们着手架桥了。他们架桥的办法是这样。为了能够保持绳索的紧张程度,他 们在黑海这一面的桥下把三百六十只五十桡船和三段桡船连结起来,而在另 一面的桥下则把三百一十四只五十桡船和三段桡船连结起来:这些船只与彭托斯(黑海)形成直角,都和海列斯彭特的水流平行。把船只这样连结起来之后,他 们便投下了非常巨大的锚;有的锚是从靠近彭托斯的船只投下去的,为的是 顶住从那个海上面吹过来的风,而另一头向着西方和爱琴海方面的,则所投 下的锚是为了抵御西风和南风。此外,他们还在一排五十桡船和三段桡船(修德本τριχο(,这里从施泰因本τριηρξων)之间留出一个通路,为的是任何人如果愿意的话,都可以乘着轻便的船只出 入彭托斯。做完这以后,他们便从陆地上把绳索引了过来,用木辘辘把它们 拉紧。他们不是象先前那样地把两种材料分开使用,而是每座桥上用两根白 麻索和四根纸草索。这些绳索是同样粗,同样美观,但是白麻索按比例来说 是要重一些,它的每一佩巨斯的重量有一塔兰特。当海峡上的桥这样架起来 以后,他们便把木材锯成和索桥的宽度相同的长度并把它们依次摆在拉紧的 绳索上,依次摆好之后,他们便把它们系紧在上面了。而在做完这一步之后, 他们就把树枝铺到桥面上,在这一切做完之后,再把土铺在上面压结实了。 然后,他们在桥的两旁安设栅栏,为的是驮畜和马匹在过桥时不致因为看到 下面的海而受惊。

    (37)当桥梁和阿托斯那里的工事已经准备好,而又接到在壕沟口的地方 为了防止在海潮上升时淤塞壕沟口而修筑的防波堤以及壕沟本身全部完工的 报告时,大军过了冬天之后,便在春天到来之际(大概在480年四月中)作了准备,从撒尔迪斯出发 进军阿比多斯了。但当他们正要进发的时候,太阳离开了它在天上的本位而 消失了,虽然天空澄明没有云影,不过白天却变成了黑夜。当克谢尔克谢斯 看到和注意到这一点的时候,他为这一点很感不安,于是他询问玛哥斯僧, 这个天象是什么意思。他们告他说,这是神向希腊人预示他们的城市的毁灭。 他们说,因为太阳是希腊人的预言者,而月亮则是他们自己的预言者。克谢 尔克谢斯听了这话之后心中万分欢喜,便继续走上他的征途。

    (38)当他即将率军离去的时候,被天象吓住,但是由于得到国王的赠赐 而得意起来的那个吕底亚人披提欧斯到克谢尔克谢斯这里来向他说:“主公, 我希望你能够赐给我一件东西,这件东西在你赠赐起来很容易,但对我这个 接受者来说却是珍贵的了”。克谢尔克谢斯以为披提欧斯绝不会要求他真正 要求的东西,于是回答说愿意答应他的请求,并命令他说出他所要求的东西。 于是披提欧斯便鼓起勇气来说:“主公,我有五个儿子,他们都不得不随你 去远征希腊。可是,国王啊!请你垂怜于我这样一个年迈的人,免除我的一 个儿子,就是我的长子的兵役,好让他照料我和我的财产吧。让我的其他四 个儿子和你同去吧,并希望你能完成你拟订的全部计划,凯旋归来”。

    (39)克谢尔克谢斯大为震怒,他这样回答说:“你这卑劣的东西。你看, 我是亲征希腊的,和我一同走上征途的便有我的亲生儿子和亲兄弟,有我的 亲戚和朋友;而你是我的奴隶,是应当带着全家和你的妻子一同随我出征的, 怎么现在竟敢向我提起你的儿子?因此你要好好记住这一点,一个人的精神 就住在他的耳朵里,当它听到好言好语的时候,整个身体就充满了欢喜,但 当它听到相反的话时,全身便胀满了怒气。当你对我做好事并且更向我提出 做好事的保证的时候,你尚且决不能夸口,说你在慷慨大度这一点上超过了 国王,现在你既然不顾廉耻,那你将要得到的,就要少于你所应得的了。你 对我的款待挽救了你本人和你的四个儿子的性命,但是要罚你最喜爱的一个 人的性命”。他这样回答之后,立刻命令受命这样做的人们把披提欧斯的长 子找来并将之分割为二。这样做了之后,又把他的尸体在道路的右旁和左旁 各放一半,为的是使军队从这两半中间通过去。

    (40)他们按照命令做了,而军队便从这中间走过去了。在前面引路的是 搬运辎重的士卒和驮兽,随在他们后面的是不按民族区分,而是由所有各个 民族混合而成的一个兵团;当军队的一大半开过去的时候,中间留了一个间 隔,为的是使上面所说的那些兵和国王区别开来。在这之后是全波斯人当中 最精锐的一千名骑兵作为前驱,随后则是全波斯人当中最精锐的一千名枪 兵,他们在行进时拿枪是枪尖向下的;在枪兵之后,是装饰得极其富丽堂皇 的十匹称为涅赛欧伊马的圣马。这些马所以称为涅赛欧伊马,是因为在美地 亚有一个称为涅赛昂的大平原,而这些高大的马就是在那里饲养起来的。在 这十匹马的背后,是八匹白马拉着的、宙斯神的神圣战车,战车手徒步跟着 牵引的白马,手里拉着缰绳。原来任何世间的人都不能乘坐在这个战车的位 子上面。在这之后就是克谢尔克谢斯本人了,他乘坐在涅赛欧伊马拖着的战 车上,他的陪乘的战车手是波斯人欧塔涅斯的儿子帕提拉姆培司。

    (41)克谢尔克谢斯就这样地从撒尔迪斯出发了。但是只要在他想这样做 的时候,他就从战车上下来,改乘马车。在他的后面是波斯最精锐和出身最 高贵的一千名枪兵,他们是按照通常的方式带着枪的。枪兵后面又是一千名 精锐的波斯骑兵,骑兵后面则是从其余的波斯人当中选拔出来的一万名步 兵。其中一千名步兵的枪柄上安着金石榴来代替枪尾,他们就围在其他人等 的外面。里面的九千人则是枪柄上安着银石榴的。枪头向地带着枪的人们也 是安着金石榴的,而侍卫在克谢尔克谢斯身旁的人们则安看金苹果。在这一 万人后面配置着一万名波斯骑兵。在这些人后面是两斯塔迪昂的一段间隔, 在这后面就是剩下的杂军了。

    (42)大军从吕底亚开向凯科斯河和美西亚的领土,从凯科斯出发,左手 沿着卡涅山,穿过阿塔尔涅乌斯而来到了卡列涅市。从这里他们行经底比斯 平原,通过阿特拉米提昂市和佩拉司吉人的安唐德罗斯市;然后就左手顺着 伊达山,进入了伊里翁的领土。然而在这之前,当他们先在伊达山的山下过 夜的时候,他们受到了雷电交加的风暴的袭击,结果就有相当多的人死在那里了。

    (43)从大军自撒尔迪斯开放以来,司卡曼德罗斯河是第一条水流不足并 不敷大军及其畜类饮用的河流。因此当大军到达司卡曼德罗斯河的时候,克 谢尔克谢斯便登上了普利亚莫斯的卫城,想艰望它一下;在他看完并垂询了 和那里有关的一切一切之后,他便向伊里翁的雅典娜奉献了一千头牛的牺 牲,而玛哥斯僧更向那里的英雄们行了灌奠之礼。在他们这样做了之后,全 军在夜里感到了恐慌。 到天明的时候,他们便从那里继续进发,这时在他们的左手是洛伊提昂、 欧普里涅昂和与阿比多斯接壤的达尔达诺斯,而在他们的右手则是盖尔吉 斯·铁乌克洛伊人。

    (44)当克谢尔克谢斯来到阿比多斯的时候,他想检阅一下他的全军。 他所以能检阅全军,是因为先前在这里的一个小山上特别为他设了一个 白石的宝座(这是阿比多斯人遵照国王先前的命令制造的)。克谢尔克谢斯就 坐在那里俯视海滨,从而把他的陆军和他的水师收入眼底。而当他了望这一 切的时候,他想看一下船与船之间的比赛。他们这样做了,结果是西顿的腓 尼基人取得了胜利;克谢尔克谢斯对于这次比赛以及他的大军深感满意。

    (45)但是当克谢尔克谢斯看到他的水师遮没了整个海列斯彭特,而海滨 以及阿比多斯的平原全都挤满了人的时候,他起初表示他自己是幸福的,但 随后他就哭泣起来了。

    (46)克谢尔克谢斯的叔父阿尔塔巴诺斯,就是在起初毫无顾虑地发表自 己的意见劝阻克谢尔克谢斯不去远征希腊的那个阿尔塔巴诺斯看到克谢尔克 谢斯哭了起来,便问他说:“国王,你现在的所作所为和你刚才的所作所为 怎么有这样大的差别呀!你刚刚说你自己是幸福的,可是转眼之间你就哭起 来了”。克谢尔克谢斯回答说:“你看这里的人们,尽管人数是这样多,却 没有一个人能够活到一百岁。想到一个人的全部生涯是如此短促,因此我心 中起了怜悯之情”。但是阿尔塔巴诺斯回答说:“在我们的一生当中,我们 会遇到比这更加可悲的事情。因为,尽管我们的生命是短促的,不拘是这里 的人,还是其他的人,还没有一个人幸福到这样的程度,即他不会不只是一 次,而是多次,不由得产生与其生勿宁死的念头。我们遭到各种不幸的事故, 我们又受到疾病的折磨,以致它们竟使短促的人生看来都会是漫长的。结果 生存变成了这样一种可悲的事物,而死亡竟成了一个人逃避生存的一个求之 不得的避难所。神不过只是让我们尝到生存的一点点的甜味,不过就是在这 一点上,它显然都是嫉妒的”。

    (47)克谢尔克谢斯回答说:“阿尔塔巴诺斯,让我们不要再谈你给了定 义的人生罢,而在我们目前万事顺遂的时候,我们也不要再去想那些不吉利 的事情罢。不过告诉我这一点。如果你在你的梦里没有清清楚楚地看到那个 梦中人的话,你是不是还要坚持你先前的意见并劝我不去远征希腊,还是你 改变了这个想法?你来明确地告诉我这一点罢”。阿尔塔巴诺斯回答说:“国 王,但愿我在梦中所看见的那个人达成我们两个人都期望的那个结果罢。但 是谈到我本人,则我甚至现在仍然是充满了恐惧和不安,我所以这样自有其 他许多的理由,特别是由于这样的一点,即我看到世界上最重大的两件东西 是敌视你的”。

    (48)克谢尔克谢斯回答说:“你这人讲的话实在奇怪。你说的最敌视我 的这两件东西是什么呢?是不是你看到我的陆军的人数不足?还是以为希腊 大军的人数要比我们军队的人数多得多?还是你以为我们的水师比不上他们 的?还是你以为这两种情况都有?因为,假如在这方面你以为我们的大军有 什么不够的地方的话,那最好是尽快地再去集合一支大军”。

    (49)阿尔塔巴诺斯回答他说:“国王啊,任何一个有正常判断能力的人 都不能发现这支陆军或船数有什么不够的地方。而如果你纠集更多军队的 话,则我所提到的那两件东西也便更加敌视你了。这两件东西就是土地和海 洋。因为,我认为,如果起了狂风暴雨的话,海上任何地方都没有一个海港 大到可以保证容纳下你的水师并搭救你的船只。而且即使有这样的海港,则 单是一个地方有也不行,而是要在你所经过的大陆沿岸都要有这样的海港。 既然看到没有海港可以容纳你的水师,那末就要记着,人不能控制事故,而 是要受到事故的摆布。现在这两件东西我已经告诉了你一件,我再告诉你另 外一件。我要说明为什么土地是你的敌人。如果在你的进军途中没有任何东 西阻挡你的话,则你在前方茫茫一无所知的土地上向前行进得越远,土地也 就越发表现出是你的敌人,因为任何人都不会充分满足于他所得到的成功 的。因此,我说,如果没有任何人抵抗你的话,则随着时间的推移而日益扩 大的领土也会产生饥馑的。在决策的时候由于考虑到他会遭遇到的一切而胆 怯,但是在行动上十分果敢,这样的人可以说是最有智慧的人了”。

    (50)克谢尔克谢斯回答说:“阿尔塔巴诺斯,关于这些事情你的见解都 是很精当的。但是我以为,既不要害怕任何东西,也不要对每一种面临的情 况都加以同样严重的考虑。因为,假如不拘在任何情况之下,你都想对所有 的事情加以同样的考虑,那你根本就任何事情都做不成了。与其对任何可能 发生的情况都害怕,结果没有遭到任何危险,那在我看来,反而是对一切可 能发生的情况抱看坚定勇敢的信念,宁可遭到一半的危险好些了。如果你反 对所提出的任何意见,而你自己却又不能提出确实的办法,则你的一方面便 势必要和那提出了相反意见的人一样,同样会是错误的。因此,就这一点而 论,二者并无什么区别。一个不过是世间的平常人的人物,他如何能知道哪 个是确实的办法呢?我以为这肯定是不可能的。因此,我以为获利的大抵是 那些有实行的愿望的人,而不是那些徘徊观望,对任何事情都加以考虑 的人。你已经看到,波斯的国力已强大到什么程度。这样说来,在我以前的 那些国王如果和你有相同的意见,或者他们自己没有这样的意见,却有象你 这样的顾问的话,你便不会看到我们的国运象今天这样的兴隆了。老实说, 先王们正是冒了危险,他们才把国威提到这样的高度的,因为只有冒巨大的 危险才能成就伟大的功业。因此,我们也应当仿效他们的榜样。我们现在是 利用一年当中最好的季节来进军,因此我们在任何地方也不会遇到饥馑,也 不会遇到任何其他不快意的事情,而我们在征服整个欧罗巴之后就会回来 的。因为首先,我们在进军时携带着充裕的粮草;再者,我们所进攻的土地 和民族的粮食也要转到我们手里来;而且我们所要进攻的对象,不是游牧民 族,而是务农的民族啊”。

    (51)于是阿尔塔巴诺斯就说:“国王,我看既然你不许我们害怕任何危 险,那末就请再听一下我的这个意见罢。当我们要谈的事情是这样多的时候, 则我们的话也就不得不多了。刚比西斯的儿子居鲁士把只有雅典人除外的全 部伊奥尼亚人征服,并使他们向自己纳贡。因此我的意见是,你决不能率领 这些伊奥尼亚人去进攻他们父祖的国土。即使没有他的帮助,我们也完全能 够制服我们的敌人。因为,假如他们随着我们的大军出征,他们或者是极不 公正地奴役他们的祖国,或者是十分公正地帮助它得到自由。而如果他们做 得很不公正,他们也决不会因此给我们带来很大的好处,可是他们若做得十 分公正,则他们便很可能因此使你的军队遭到巨大的损害。因此,请你记住 这句说得极好的古老的名言:‘在每件事开头的时候,是看不到它的结果 的’”。

    (52)克谢尔克谢斯回答说:“阿尔塔巴诺斯,你害怕伊奥尼亚人倒戈, 这个看法在你所发表的意见当中要算是最错误的了。关于伊奥尼亚人,我们 有最确实的担保,而你本人和所有随大流士出征斯奇提亚的人也可以证明这 一点,那就是当波斯全军的命运都在他们的手里,任凭他们摧毁或救援的时 候,他们却表现了正义与信谊,而丝毫没有作出不正当的事情的意思。再者, 他们既然把他们的妻子、儿女和财产都留在我们的国内,我们就更不必担心 他们可能会有什么叛变的行为了。因此也不必为这件事担心罢。鼓起勇气来 守护我的家和我的王位罢,要知道在所有的人当中,你是我可以托之以王笏 的唯一的人物了”。

    (53)克谢尔克谢斯讲完这话并把阿尔塔巴诺斯运到苏撒去之后,继而便 把那些最知名的波斯人召集了来。当这些人到来之后,他就对他们说:“波 斯人啊,我召集你们来是为了向你们提出这样的要求,即你们应当成为勇敢 的人,决不可玷辱波斯人先前成就的伟大而又光荣的勋业。让我们每一个人 以及我们全体黾勉从事罢,因为我们这样地尽力而为,乃是为了天下万民的 公共利益。因而正是为了这个缘故,我方请你们尽心竭力地去作战,因为据 我所听到的,我们所要进攻的也是很勇武的人们。而如果我们打败了他们, 人间就再没有大军可以和我们抗衡了。我们先向波斯国土的那些守护神祈 祷,然后就让我们渡过去罢。”

    (54)在那一整天里,他们都在为渡过去而作准备。而在第二天,他们就 一面在桥上点起各种各样的香并在桥面的路上撒了桃金娘的枝于,这样地等 候太阳的升起。在太阳开起的时候,克谢尔克谢斯就用黄金盏向海中行灌奠 之礼并向太阳祷告说,在他到达欧罗巴的极远的边界之前,不要叫他遭受任 何意外致使他无法完成征服欧罗巴的事业。祷告之后,他便把这只黄金盏投 入海列斯彭特,和它同时投入的还有一个黄金的混酒钵和他们称为“阿齐纳 凯斯”的波斯刀(一尺左右长的短剑)。我不能正确制定,他把这些 东西投到海里去,是把它们奉献给天上的太阳,还是由于后悔他的笞打海列 斯彭特的行为,故而送礼物给海作为赔偿。

    (55)这些事做完之后,他们便渡桥了。全部步兵和骑兵是从靠近彭托斯 方面的桥渡过去的,而驮畜和杂役人等则是从靠近多岛海方面的桥渡过去 的。在前面引路的是一万名波斯人,他们的头上都戴着冠;在他们后面,刚 是由所有各民族混成的大军。在那一天,就是这些人渡过去了。第二天首先 是骑兵,他们是枪尖向下地带着枪的;他们也是戴冠的。在他们之后是圣马 和神圣战车,再后面是克谢尔克谢斯本人和枪兵以及一千名骑兵,再后面就 是其余的军队了。就在这时,水师也启程驶向对岸了。但是在这以前,我还 听说国王是最后渡过去的。

    (56)克谢尔克谢斯渡海到欧罗巴之后,就看他的军队在笞打之下渡过。 他的军队一刻不停地渡了七天七夜。有一个故事说,当克谢尔克谢斯渡过海 列斯彭特的时候,一个海列斯彭特人向他说:“宙斯啊,为什么你变成一个 波斯人的样子并把自己的名字改变成克谢尔克谢斯,而率领着全人类前来, 想把希腊灭亡?因为没有这些人的帮助,你也完全有能力做到这一点的”。

    (57)当所有的人都渡了过去,而他们即将继续进军的时候,他们遇到了 一个巨大的朕兆。这个征兆虽然很容易解释,但克谢尔克谢斯却完全没有把 它放到心上。这个征兆就是:一匹马生了一只兔子。 这一朕兆的意义是容易猜到的,即克谢尔克谢斯率军出征希腊的时候, 是十分堂皇又非常神气的,可是在他回到同一地点的时候,他却是逃命了。 在撒尔迪斯地方,他还遇到了另外的一个征兆。一个骡子生了一个兼具雌雄两性的生殖器官的骡子,而雄性的生殖器官位于上方。

    (58)他根本不把这两个征兆放到心上,却带领着他的陆军继续前进了。 他的水师驶出了海列斯彭特,沿着陆地行进,但它的方向却是和陆军的方向 相反的。原来水师是向西行进的,目的地是撒尔佩东岬,因为克谢尔克谢斯 曾命令他们开到那里去等待他。但是大陆上的军队却向着东方,即日出的方 向行进,他们经过凯尔索涅索斯,右手是阿塔玛斯的女儿海列的坟墓,左手 是卡尔狄亚市,进而穿过了一个叫做阿哥拉的市邑的中央。从那里转过了称 为美拉司的海湾而来到了水流不足因而不敷大军之用、同时美拉司湾因之而 得名的美拉司河。而在渡过了这条河之后,他们便向西行进,经过了爱奥里 斯人的阿伊诺斯市和司顿托里司湖,最后到达多里司科斯。

    (59)多里司科斯地区位于色雷斯,这是沿海的一个广大的平原,一条名为海布罗斯的大河流经这个地区。在这里构筑过一个称为多里司科斯的王室 要塞,而自从大流士出征斯奇提亚的时候起,他便把一支波斯的卫戍部队设置在那里。因此克谢尔克谢斯便认为这里是他列队点兵的一个方便的地方。 而且他这样做了。现在已经来到多里司科斯的全部水师奉克谢尔克谢斯之命 在水师提督们的率领之下,移向与多里司科斯邻接的海岸,而在这部分的海 岸之上,有萨摩特拉开的撒列市和佐涅市;在它的尽头则是著名的塞列昂岬。 这个地方往昔乃是奇科涅司人的领土。他们把他们的船靠拢到这一带的海岸 并且把船拖到岸上进行检修。另方面,克谢尔克谢斯这时便在多里司科斯点 兵。

    (60)我不能精确地说出,每一个地方各出多少人(因为没有人提过这一 点)。但是全部陆军的总数看来是一百七十万人。人数是这样计算起来的。把 一万人集合在一个地点,而当他们尽可能地密集起来的时候,就在他们的四 周划一个圆圈;圆圈画好之后,这一万人便退出去,然后在这个圆圈上面建 造一道到人的脐部那样高的石墙。石墙造好之后,便使另外的人们也到石墙 里面去,直到所有的人都用这样的办法计算完毕。人数计算完毕之后,他们 便按照他们各个民族的区分排列起来了。

    (61)参加出征的军队的人们是这样的。先说波斯人,他们的装束有如下 述。他们头上戴着称为提阿拉斯的软毡帽,身上穿着五颜六色的带袖内衣, 上面有象鱼鳞那样的铁鳞;腿上穿着裤子。他们没有一般的盾牌,而用的是 细枝编成的盾,盾的背面挂着他们的箭筒。他们使用短枪、长弓、芦苇制成 的箭,此外还有挂在右胯腰带地方的短剑。他们的统帅是克谢尔克谢斯的妻 子阿美司妥利斯的父亲欧塔涅斯。在古昔的时候,希腊人称这些波斯人为凯 培涅斯,但是波斯人自己和他们的邻国人则称之为阿尔泰伊欧伊。但是当达 纳耶和宙斯的儿子培尔赛欧斯来到倍洛斯的儿子凯培欧斯这里,并娶了他的 女儿安多罗美达的时候,培尔赛欧斯就得了一个他命名为培尔谢斯的儿子, 而且他把这个儿子就留在那里,因为凯培欧斯是没有男性的子嗣的。波斯人 的名字便是从这个培尔谢斯来的。

    (62)军中美地亚人的装束是和波斯人的装束一样的。老实说,上述样式 的戎装与其说是波斯的,还勿宁说是美地亚的。他们的将领是出身阿凯美尼 达伊家的提格拉涅斯。在往昔,所有的人都把这些人你为阿里亚人,但是当 科尔启斯人美地亚从雅典来到阿里亚人这里的时候,他们便象波斯人那样地 也改换了他们的名字。这是美地亚人自己关于他们本身的说法。军中的奇西 亚人的装束和波斯人相同,但是他们不戴软毡帽,而是戴着头巾。他们的将 领是欧塔涅斯的儿子阿纳培司。叙尔卡尼亚人(第三卷大流士的臣民当中没有提到叙尔卡尼亚人;他们住在里海的东南岸)的装备和波斯人一样,他们的 将领是美伽帕诺斯,这个人后来成了巴比伦的太守。

    (63)参加出征的军队的亚述人头上戴着青铜的头盔,它是人们用青铜以 一种难于形容的异邦样式编成的。他们带着埃及式的盾牌、枪和短剑,此外 还有安看铁头的木棍;他们穿着亚麻的胴甲。希腊人称这些人为叙利亚人, 但异邦人则称他们为亚述人。和他们在一起的还有迦勒底人。他们的将领是 阿尔塔凯耶斯的儿子欧塔司佩斯。

    (64)从军的巴克妥利亚人头上戴的和美地亚人头上戴的极为相似。 他们带着本国制造的藤弓和短枪。属于斯奇提亚人的撒卡依人戴着一种 高帽子,帽子又直又硬,顶头的地方是尖的。他们穿着裤子,带着他们本国 自制的弓和短剑,此外还有他们称之为撒伽利司的战斧。这些人虽是阿米尔 吉欧伊·斯奇提亚人,却被称为撒卡依人,因为波斯人是把所有斯奇提亚人都称为撒卡依人的。巴克妥利亚人和撒卡依人的将领是大流士和居鲁士的女儿阿托撒之间所生的儿子叙司塔司佩斯。

    (65)印度人穿着木棉制的衣服,他们带着藤弓和安着铁头的膝箭,这就 是他们的装备。他们是配置在阿尔塔巴铁斯的儿子帕尔纳扎特列斯的麾下出征的。

    (66)阿里亚人是装备看美地亚弓的,但是在所有其他方面都和巴克妥利 亚人一样。他们的将领是叙达尔涅斯的儿子西撒姆涅斯。从军的帕尔提亚人, 花拉子米欧伊人、粟格多伊人、健达里欧伊人和迪达卡伊人的装束和巴克妥 利亚人的装束一样。帕尔提亚人和花拉子米欧伊人的将领是帕尔那凯斯的儿 子阿尔塔巴佐斯:粟格多伊人的将领是阿尔泰欧斯的儿子阿扎涅斯;健达里 欧伊人和迪达卡伊人的将领是阿尔塔巴诺斯的儿子阿尔杜庇欧斯。

    (67)从军的卡斯披亚人穿着皮裘,他们带看国产的藤弓和短刀。这就是 他们的装备了。他们的将领是阿尔杜庇欧斯的兄弟阿里奥玛尔多斯。萨朗伽 伊人由于穿着染色的袍子而十分引人注目。他们穿看高到膝盖的靴子,带着 美地亚的弓和枪。他们的将领是美伽巴佐斯的儿子培伦达铁斯。帕克壮耶斯 人也穿着皮裘,他们带着本国制的弓和短剑;他们的将领是伊塔米特列斯的 儿子阿尔塔翁铁斯。

    (68)乌提欧伊人、米科伊人和帕利卡尼欧伊人的装备和帕克杜耶斯人的 装备相同。统率乌提欧伊人和米科伊人的将领是大流士的儿子阿尔撒美涅斯。统率帕利卡尼欧伊人的是欧约巴佐斯的儿子西洛米特列斯。

    (69)阿拉伯人穿着腰间系带的称为吉拉袍子。在他们的右面带着长弓, 这种弓在把弓弦放开的时候两端是向后弯曲的。埃西欧匹亚人穿着豹皮和狮 子皮的衣服,他们带着不下四佩巨斯长的、椰子树干制成的弓和藤制的短箭, 箭头不是铁的,而是磨尖了的石头,也就是人们用来刻印章的那种石头。他 们还带着枪,枪头是用羚羊角削制而成的。此外,他们还带着有木节的棍子。 当他们出战的时候,他们把他们一半的身体涂上白垩,身体的另一半涂上赭 红。指挥阿拉伯人和住在埃及上方的埃西欧匹亚人的将领是大流士和居鲁士 的女儿阿尔杜司托涅所生的儿子阿尔撒美斯;阿尔杜司托涅在大流士的妻子 当中是最受宠爱的,大流士曾下令用打薄了的黄金给她造象。埃及上方的埃 西欧匹亚人和阿拉伯人的将领就是阿尔撒美斯了。

    (70)而从日出的方向那一面来的埃西欧匹亚人(原来参加出征的有两种 埃西欧匹亚人)是配置在印度人的部队里的。他们和另一部分的埃西欧匹亚人 在外表上没有任何不同之处,不同的只是言语和头发而已。原来东方的埃西 欧匹亚人是直头发的,但是利比亚的埃西欧匹亚人却有着全人类当中最富于 羊毛性的头发。亚细亚的这些埃西欧匹亚人的装备大部分是和印度人一样 的,但是他们在头上却戴着从马身上剥制下来的整个前头部,马的耳朵和鬃 毛还都留在上面。他们用马鬃来代替冠毛,他们并使马的耳朵硬挺地竖在那 里。他们不用盾牌,而是用仙鹤皮当作一种防护武器。

    (71)利比亚人是穿着皮革制的衣服参加出征的,他们用给火烤硬的一种 木制投枪。他们的将领是欧阿里佐斯的儿子玛撒该斯。

    (72)参加出征的帕普拉哥尼亚人头上戴着编制的头盔,他们带看小盾、 不大的枪,此外还有投枪和短刀。他们穿着他们本国特有的、到下腿一半地 方高的靴子。里巨埃斯人、玛提耶涅人、玛利安杜尼亚人和叙利亚人的装备 和帕普拉哥尼亚人的装备一样。波斯人把这些叙利亚人称为卡帕多启亚人。 帕普拉哥尼亚人和玛提耶涅人的将领是美伽西多罗斯的儿子多托司,玛利安 杜尼亚人、里巨埃斯人和叙利亚人的将领是大流士和阿尔杜司托涅之间所生 的儿子戈布里亚斯。

    (73)普里吉亚人的装备除去很小的差别之外,大都和帕普拉哥尼亚人的 装备一样。根据马其顿人的说法,这些普里吉亚人当他们住在欧罗巴,与马 其顿人为邻的时候,他们称为布利该斯人;但是当他们移居到亚细亚去的时 候,他们便也改变了自己的名称并称为普里吉亚人了。从普里吉亚移居来的 阿尔美尼亚人的武装和普里吉亚人的装备一样。他们这两种人都是以大流士 的女婿阿尔托克美斯为统帅的。

    (74)吕底亚人的武装和希腊人的武装十分相似。吕底亚人先前被称为迈 奥涅斯人,而后来则改变了名字并按照阿杜斯的儿子吕多斯的名字来称呼 了。美西亚人在头上戴着他们本国特有的盔,他们带着小盾和用火烤硬的木 制投枪。这些人是从吕底亚来的移民,他们由于奥林波斯山而被称为奥林皮 埃诺伊人。吕底亚人和美西亚人的将领是曾和达提斯一道进攻马拉松的、阿 尔塔普列涅斯的儿子阿尔塔普列涅斯。

    (75)从军的色雷斯人头上戴着狐皮帽,身上穿着紧身内衣,外面还罩着 五颜六色的外袍。他们的脚上和腰部穿着幼鹿皮的靴子,同时带着投枪、小 圆盾和小短剑。这些人在他们渡海到亚细亚之后便称为比提尼亚人,但在这 之前,他们自己说,由于他们居住在司妥律蒙河河畔,他们便称为司妥律蒙 人。他们说,他们是被铁乌克洛伊人和美西亚人赶出了他们自己的故土的。 亚细亚的色雷斯人的将领是阿尔塔巴诺斯的儿子巴撒凯斯。

    (76)[披西达伊人]带着生牛皮的小楯,他们每个人使用两支猎狼用的 投枪;他们带着青铜的头盔,在这种头盔上有青铜制的牛耳和牛角,在这上 面还有顶饰。他们的腿上裹看紫色的布带。在他们的国土上有一个奉祀阿列 斯神的神托所。

    (77)卡贝列斯人是迈奥涅斯人;他们被称为拉索尼欧伊人,他们的装束 和奇里启亚人相同,而在我列举到奇里启亚人列阵的地方时,我还要加以叙 述的。米吕阿伊人带着短枪,他们的衣服是用别针扣起来的。他们当中有的 人带着吕奇亚的弓,头上戴着皮帽子。统率所有这些人的将领,是叙司塔涅 斯的儿子巴德列斯。

    (78)莫司科伊人头上戴着木盔,他们带着盾和短枪,但短枪的枪头却是 很长的。从军的提巴列诺伊人、玛克罗涅斯人和摩叙诺依科伊人的装备和莫 司科伊人的装备是相同的。至于统率他们的将领,则莫司科伊人和提巴列诺 伊人的将领是阿里奥玛尔多斯,他是大流士和居鲁士的儿子司美众迪斯的女 儿帕尔米司所生的儿子;玛克罗涅斯人和摩叙诺依科伊人的将领是担任海列 斯彭特的赛司托斯的太守的、凯拉司米斯的儿子阿尔塔乌克铁斯。

    (79)玛列斯人戴着他们本国特别编的头盔,他俩带看革制的小盾和投 枪。科尔启斯人戴着木盔,带着生牛皮的小盾、短枪,此外还有刀。玛列斯 人和科尔启斯人的将领是铁阿司披斯的儿子帕兰达铁斯。从军的阿拉罗狄欧 伊人和撒司配列斯人的装备和科尔启斯人的装备相同。他们的将领是西洛米 特列斯的儿子玛西司提欧斯。

    (80)从红海(埃律特列海)方面以及从国王使所谓“强制移民”定居的那 些岛来的岛上部落,他们的装束和武器酷似美地亚人。这些岛民的将领是巴 该欧司的儿子玛尔东铁司,这个人在下一年率军在米卡列作战时,就在那里 的战斗中阵亡了。

    (81)以上便是参加陆师并被编入步兵的各个民族。这支大军的将领们就 是我上面所提到的那些人,也正是这些人整顿和检点队伍,并任命千夫长和 万夫长,至于百夫长和十夫长则是由万夫长来任命了。此外还有军队和民族 的头目。不过,以上所我的人们都是将领。

    (82)统率这些人以及全部陆军的将领是戈布里亚斯的儿子玛尔多纽斯、 对远征希腊的事情提出了反对意见的那个阿尔塔巴诺斯的儿子特里坦塔伊克 美斯、欧塔涅斯的儿子司美尔多美涅斯(这两个人都是大流士的侄子,因此他 们和克谢尔克谢斯是叔伯兄弟),大流士和阿托撒的儿子玛西斯铁斯、阿里亚 佐斯的儿子盖尔吉司和佐披洛司的儿子美伽比佐斯。

    (83)以上便是万人队以外的全部陆军的将领。叙达尔涅斯的儿子叙达尔 涅斯是这一万名波斯精兵的将领,这一万人由于下面的原因而被称为“不死 队”。即如果在他们当中有任何一个人因死亡或因病而出缺的话,便选拔另 一个人代替他,因此他们便从来不会多于或是少于一万人。在全体兵员当中, 波斯人是装束得最华丽的、他们又是全军中最勇敢的,他们的装备就是象我刚才所说的那样。在这之外,他们特别引人注意的地方是他们拥有大量的黄 金。同时他们随身还带着有盖的马车,里面载着妾嬖和许多装束很好的仆从:他们的粮食和军队的其余人等的粮食分别开来,它们是用骆驼和驮兽载运的。

    (84)这些民族都有骑兵,不过,并不是他们都提供了骑兵,而只有我下 面所列举的。首先,波斯人的装束和他们的步兵相同,所不同的,只是他们 当中有一部分人戴着锻制的青铜和铁的头饰。

    (85)此外还有某些称为撒伽尔提欧伊人的游牧民。他们讲的是波斯语, 但他们的装束却是在波斯人和帕克杜耶斯人之间;他们提供了八千名骑兵。 除去只有匕首之外,他们的习惯是不使用青铜的或是铁的武器,而只使用革 纽编成的轮索。在他们出战的时候,他们就是抑仗着这些武器的。下面就是 他们的作战方法。当他们和敌人遭遇的时候,他们就把皮索投出去,皮索的 一端有一个套圈。不管他们用这个套圈套住什么,人也好马也好,他们就把 对方向自己的这一面拉,这样敌人就被捲在套圈里绞死了。这就是他们的作 战方法,他们在军中是配列在波斯人的身旁的。

    (86)美地亚人的骑兵和他们的步兵的装备是一样的。奇西亚人也是一 样。印度人的骑兵和他们的步兵同样装备,他们乘着战马,并且驾看马和野 骡拉着的战车。巴克妥利亚人的骑兵的装备和他们的步兵一样,卡斯披亚人 也是一样。利比亚人的骑兵也和他们的步兵的装备一样,他们也都驱着战车。 同样,卡斯披亚人和帕利卡尼欧伊人的装备也和他们的步兵一样。阿拉伯人 的装备和他们的步兵的装备一样。他们全都骑着速度决不比马差的骆驼。

    (87)只有这些民族是提供了骑兵的。骑兵的人数,除去骆驼和战车以外, 是八万人。所有其余的骑兵分列为若干队,但阿拉伯人配置在最后面,因为 马是看不得骆驼的,他们配置在后面,就为的不使马受惊。

    (88)骑兵的统帅是达提斯的儿子哈尔玛米特雷斯和提泰欧斯。另外一个 和他们一同担任骑兵统帅的是帕尔努凯斯,但他由于生病而被留在撒尔迪斯 了。原来他们正在从撒尔迪斯出发的时候,他遇到了一件悲惨的意外事件。 他骑在马上的时候,一只狗在马腿下面跑;马出其不意地看到狗,受到惊吓 而用两只后腿直立了起来,这样便把帕尔努凯斯摔下来了。在他摔下来之后, 他吐了血,因此受伤憔悴下去,终于再也没有康复的希望了。那匹马立刻依 照帕尔努凯斯的命令受到了处分;他的仆从把这匹马牵到它把主人摔掉的地 方,从膝盖的地方砍掉了它的腿。这样,帕尔努凯斯便失掉了他的统帅地位。

    (89)三段桡船的数目是一千二百零七艘。提供了这些船的是如下的人 们。首先,腓尼基人和巴勒斯坦的叙利亚人一道,提供了三百只。至于他们 的装备,则他们头上戴着和希腊的样式很相似的盔,穿着亚麻制的胴甲,带 着没有框的盾牌以及投枪。根据腓尼基人他们自己的说法,这些腓尼基人在 古昔是住在红海的岸上,而从那个地方迁移过来之后,他们便定居在叙利亚 的沿岸地带。叙利亚的那块地方以及一直到埃及的地方总称为巴勒斯坦。埃 及人提供了二百只船。他们头上戴着编成的盔,拿着大边的、向里面凹的盾 牌,海战用的矛和大战斧。他们大多数的人穿着胴甲并带着大刀。

    (90)以上就是他们的装备。赛浦路斯人提供了一百五十只船,说到他们 的装备,则他们王公的头上都缠着头巾,他们的一般人则穿看紧身衣;在所 有其他方面,他们是和希腊人一样的。按照赛浦路斯人自己的说法,他们是 由以下的一些民族构成的。有一些人是撒拉米司和雅典出身的,有一些人是 阿尔卡地亚出身的,有一些人是库特诺斯出身的,有一些人又是埃西欧四亚 出身的。

    (91)奇里启亚人提供了一百只船。他们也戴着他们本国特有的盔,拿着 生牛皮制造的圆牌代替盾牌使用,穿着羊毛的紧身衣。他们每个人都带着两 支投枪和一把与埃及的弯刀很相似的刀。这些奇里启亚人在古昔是叫做叙帕 凯奥伊人,他们现在的名字是由于腓尼基人阿该诺尔的儿子寄里科斯而得到 的。帕姆庇利亚人提供了一百只船,他们的装备是和希腊人相似的。这些帕 姆庇利亚人是和阿姆披罗科司与卡尔卡司一道从特洛伊离散出来的那些人的 后裔。

    (92)吕奇亚人提供了五十只船。他们穿着胴甲和胫甲,带着山茱萸制的 弓和没有羽毛的箭以及投枪。他们的后上披着山羊皮,头上戴着四周有一圈 羽毛的帽子。他们还带着匕首和弯刀。吕奇亚人是克里地出身的,过去他们 是叫做铁尔米莱人。他们的名称来自雅典人潘迪昂的儿子吕科斯。

    (93)亚细亚的多里斯人提供了三十只船,他们的武器是希腊式的,而他 们自己则是伯罗奔尼撒地方出身的,卡里亚人提供了七十只船,他们带看弯 刀和匕首,但是在其他方面却和希腊人一样。在我这部历史一开头的地方(见第一卷第一七一节)我就谈到了他们,而且提到了他们先前叫做什么名字。

    (94)伊奥尼亚人提供了一百只船,他们的装备和希腊人相似。这些伊奥 尼亚人,当他们居住在伯罗奔尼撒的今天称为阿凯亚的那个地方的时候,在 达纳岛司和克苏托斯来到伯罗奔尼撒之前,正如希腊人所说,他们是叫做沿 海地区佩拉司吉人的(希罗多德把希腊已知的最古老的居民通称为佩位司吉人):他们的伊奥尼亚人的名称则来自克苏托斯的儿子伊 昂。

    (95)岛上居民提供了十七只船。他们的装备是希腊式的。他们也是属于 佩拉司吉族的,他们后来由于与雅典出身的十二城市(参见第一卷第一四二节)的伊奥尼亚人相同的理 由而被称为伊奥尼亚族。爱奥里斯人提供了六十只船。他们是希腊式的装备。 按照希腊人的说法,在先前他们被你为佩拉司吉人。阿比多斯人以外的海列 斯彭特人(阿比多斯人曾奉国王的命令留在家里守卫桥梁),其他自彭托斯随 军出征的人们提供了一百只船,他们是希腊式的装备。他们是伊臭尼亚人和 多里斯人的移民。

    (96)在所有的船只上,波斯人、美地亚人和撒卡依人是战斗员。提供了行驶得最好的船只的是腓尼基人,而在腓尼基人当中则是西顿人。这些人和编入陆师的那些人一样,也各自有他们本族的首领,我在这里不提他们的名字了,因为对于我的历史的目的来说,我并不是非这样做不可的。各族的这些个别的首领是不值一提的,而且每个民族的每个城市又都有它自己的一个 首领。不过他们不是以将领的资格,而是以和其余的参加罩队的人们同样的隶臣资格参加出征的。至于那些最高统帅是什么人,而每族的波斯统帅又是什么人,这我已经说过了。

    (97)统率水师的将领是大流士的儿子阿里阿比格涅斯、阿司帕提涅斯的 儿子普列克撒司佩斯、美伽巴铁斯的儿子美伽巴佐斯、大流士的儿子阿凯美 涅斯:统率伊奥尼亚和卡里亚水师的则是大流士和戈布里亚斯的女儿之间所 生的儿子阿里阿比格涅斯;统率埃及水师的是克谢尔克谢斯的同胞兄弟阿凯 美涅斯,其他二人则指挥其余的水师。至于集合到一起的三十桡船、五十桡 船、轻艇以及运送马匹的长船,则算起来总针有三千之数。

    (98)除去上述的水师提督们以外,船上的人们当中最有名的是这样一些人:西顿人阿努索斯的儿子铁特拉姆涅司托斯、推罗人西罗莫斯的儿子玛顿、 阿拉多斯人阿格巴罗斯的儿子美尔已罗斯、奇里启亚人欧洛美东的儿子叙恩 涅喜斯、吕奇亚人西卡司的儿子库贝尔尼司科斯、赛浦路斯人凯尔西司的儿 子戈尔哥斯和提玛戈拉斯的儿子提莫纳克斯,在卡里亚人中间则有图姆涅斯 的儿子希司提埃伊欧斯、叙塞尔多莫司的儿子披格列斯和坎道列斯的儿子达 玛西提摩斯。

    (99)除去只有阿尔铁米西亚之外,关于其他队长的事情我就不谈了、因 为我觉得没有这个必要;阿尔敛米西亚以妇女之身,竟然随着大军出征希腊, 这实在是使我惊叹不置的事情。原来在她的丈夫死时,她只有一个未成年的 儿子,因此她便亲自执掌国政。这次她不是由于必要,仅仅是由于逞勇好胜 才参加了出征。阿尔铁米西亚是她的名字,她是吕戈达米斯的女儿,因而从 她的父系来说,她是一个哈利卡尔那索斯人,但从她的母系来说,她是一个 克里地人。她是哈利卡尔那索斯人、科斯人、尼叙洛斯人、卡律德诺斯人的 首领,她提供了五只船。她的船在全部水师当中,是仅次于西顿的最出名的 好船。在所有的同盟者当中,是她向国王提供了最好的意见。我上面所说的, 由她领导的城市,我敢说都是多里斯族的;哈利卡尔那索斯人是特罗伊真人, 其余的人则是埃披道洛斯人。

    (100)关于水师的事情,我就说到这里为止了。当克谢尔克谢斯检点和配 列了他的大军之后,他想乘上战军对大军来一次检阅。在这之后不久他就这 样做了,他乘着一辆战军走过了每一民族的士兵,他向他们进行询问,而他 的书记便把他们的回答记录下来,直到他从一端到另一端检阅完了全部骑兵 和步兵。检阅完毕而舰船也已被拉下来出海的时候,克谢尔克谢斯便下了战 军,乘上西顿的一只船,坐在那里的黄金华盖下面,航过了各船的船头,和 对陆军一样地向他们进行询问并且也下令把回答记录下来。船上的首长们把 船驶到离岸四普列特隆的地方并在那里投锚列队、船头向着陆地的方向,而 船上的战斗员也武装起来作了战斗的准备。克谢尔克谢斯是通过船头和陆地 之间约海面对它们进行了检阅的。

    (101)在他同样地检阅了他的全部水师并从船上下来之后,他便派人去召 见随他一同出征希腊的阿里司通的儿子戴玛拉托斯。他叫来戴玛拉托斯之后 就这样问他说:“戴玛拉托斯,现在我很高兴问你一些想问你的事情。你是 一个希腊人,而你和跟我谈话的其他希腊人都告诉过我,你是一个既非最小 又非最弱的希腊城市的人。因此告诉我,希腊人有没有力量抵抗我,因为我 以为,纵然全体希腊人和所有其他西方的人们集合到一起,如果他们不同心 协力的话,他们也没有力量受得住我的进攻。虽然如此,我还是愿意听一听 你的意见,听一听你对于他们的看法”。听到这个询问之后,戴玛拉托斯就 回答说:“国王,我还是讲老实话呢,还是讲你欢喜听的话呢?”克谢尔克 谢斯要他心里想什么就讲什么,并告他说他决不会因此便失宠子国王的。

    (102)戴玛拉托斯听到这话以后就说:“国王啊,既然你命令我无论如何 都要讲老实话,并且要我讲今后不会被你发现是虚伪的话,那末我就说,希 腊的国土一直是贫穷的,但是由于智慧和强力的法律。希腊人自己却得到了 勇气;而希腊便利用了这个勇气,驱除了贫困和暴政。对于居住在多里斯地 方的全体希腊人,我是赞赏他们的,不过下面我不打算把他们一一谈到,而 只谈一谈拉凯戴孟人。关于他们,我要说的是,首先,他们决不会接受你那 些等于使希腊人变为奴隶的条件;其次,纵使在所有其余的希腊人都站到你 的这一面来的时候,他们也会对你进行抵抗的。至于他们的人数,你无需问 我会做出我所说的那样事情来的人有多少,一千人也好,比一千人多或是少 也好,总之他们的军队是一定要对你作战的。”

    (103)克谢尔克谢斯听到这话之后笑了,他说:“戴玛拉托斯,你讲的这 是什么话!一千人竟然敢和我的这样大的一支军队作战!我要你告诉我,你 说如果你是这些人的国王的话,你是不是愿意立即同十个人作战?而且如果 你的国家的规定是象你所说的那样,则你既然是他们的国王,当然也就按照 你们的法律对付多一倍的敌手了。这样,如果那些希腊人的每个人对付我的 军队的十个人的话,那你显然就一定要对付二十个人了。只有这样才能证明 你讲的话是真实的,可是如果这样给自己大吹大擂的你们希腊人,和你以及 来谒见我的希腊人身材一样的话,那未恐怕你所讲的话也不过是一种无聊的 法螺罢了。认我们根据所有可能发生的事情来考察一下罢:一千人、一万人 或甚至五万人也好,如果他们都是同样地自由而不是在一个人的统制之下的 时候,他们怎么能够抵抗我这样大的一支军队呢?而假使你们希腊人有五千 人的话,那我们比他们每一个人还要多一千人。因为,倘若他们按照我们的 习惯由一个人来统治的话,那他们就由于害怕这个人而会表现出超乎本性的 勇敢,并且在鞭笞的威逼之下可以在战场之上以寡敌众;可是当他们都被放 任而得到自由的时候,这些事情他们便都做不到了。在我个人来看,我以为 纵令希腊人的人数和波斯人相等,他们和波斯人单独作战也不会是波斯人的 对手。老实讲,你所说的这种能力,正只是我们,而不是别的人才有,不过 即使在我们中间这样的人也不多,而只有少数。在护卫我的波斯枪兵当中, 有一些人是可以不费什么气方便同时对三个希腊人作战的,你根本不知道这 些人,却在这里大讲昏话了。”

    (104)戴玛拉托斯听了这话之后,就回答说:“国王啊,我从一开始就知 道,如果我讲了真实话,你听了是会不高兴的。但既然你一定要我尽可能讲 我自己心里的话,那我就把斯巴达人的情况向你讲了罢。虽然如此,至于我 是否对他们有什么偏爱,你自己是知道得最清楚的,斯已达人夺去了我的尊 荣的职位以及我一家世世代代的特权,并且使我变成了一个没有祖国的亡命 者。而正是你的父亲收容了我,把住所和生计赐给了我。如果一个头脑清醒 的人拒绝接受你父亲的显然的好意,邢是不可想象的事情,他倒是应当对这 伴事表示最恳切的感谢的。至于我个人,我不能担保我能够和十个敌人作战, 也不能担保我能够和两个敌人作战,而如果问我自己的意思,则我甚至不愿 和一个敌人作战;可是在迫不得已的时候,或是在有什么重大的事情使我非 如此做不可的时候,我也甘愿和自称一个可顶三个希腊人的那些人当中的一 个人作战。拉凯戴孟人的情况也是这样。在单对单作战的时候,他们比任何 人都不差;在集合到一起来作战的时候,他们就是世界上无敌的战士了。他 们虽然是自由的,但是他们并不是在任何事情上都自由的。他们受着法律的 统治,他们对法律的畏惧甚于你的臣民对你的畏惧。我可以拿出证据来证明 他们的确是这样:凡是法律命令他们做的,他们就做,而法律的命令却永远 是一样的,那就是,不管当前有多么多敌人,他们都绝对不能逃跑,而是要 留在自己的队伍里,战胜或是战死。如果我说的这番话在你看来只不过是愚 蠢的话,那个后就不要叫我讲话好了;因为我现在的话也是迫不得已才说的。 不过,国王啊,我是希望你的希望能实现的。”

    (105)以上就是戴玛拉托斯回答的话。克谢尔克谢斯把他的这话当成笑 谈,而没有发火,他把他十分客气地送走了。在和戴玛拉托斯谈了话以后, 克谢尔克谢斯便任命美伽多司科斯的儿子玛司卡美斯担任那个多里司科斯的 太守并黜免了大流士过去在那里任命的人。随后,他便率军经由色雷斯向希 腊进发了。

    (106)他留下的这个玛司卡美斯乃是这样的一个人,克谢尔克谢斯只把赠 品赐给这个人,因为他认为在他或大流士所任命的一切太守当中,玛司卡美 斯是最勇敢的人物。他每年都下赐赠品,克谢尔克谢斯的儿子阿尔托克谢尔 克谢斯对于玛司卡美斯的后裔也是这样。原来在这次远征之前,在色雷斯和 海列斯彭特的到处就都设置太守了。那个地方的全部太守,除去多里司科斯 的太守之外,在这次远征之后全给希腊人赶下来了;但是任何人却都不能把 多里司科斯的玛司卡美斯赶下来,虽然有并多人试图这样做。由于这个原因, 波斯的国王在任何时候都把赠品赐给他。

    (107)在那些给希腊人赶下来的人们当中,克谢尔克谢斯认为没有一个勇 敢的人物,例外的只有治理埃翁的波鼓司。克谢尔克谢斯对这个波该司从来 就是赞不绝口的,而对于波该司死后还生活在波斯的他的儿子们,则给以极 大的荣誉,实际上波该司看来也完全是值得受到一切赞扬的。当他给在米尔 提亚戴斯的儿子奇蒙统率之下的雅典人包围起来的时候,他本来是可以在缔 给城下之盟之后离开埃翁并返回亚细亚的。虽然如此,他却不愿这样做,因 为他害怕国王会以为他是由于怯懦而贪生怕死的,这样他便抵抗到底了。而 当他的城内粮食用尽的时候,他便架起一个大木堆,把他自己的妻子儿女、 妾嬖、仆从等人扫数杀死投到火里,然后把城里的全部金银拿出来从城上投 到司妥律蒙河内。做完这一切之后,他自己也就投到火堆里烧死了。因此直 到今天波斯人还称赞他,这完全有道理的。

    (108)克谢尔克谢斯从多里司科斯出发向希腊进军,在征途上他不拘遇到 什么人,都强迫这些人加入他的军队。原来我在前面已经说过,直到帖撒利 亚的全部土地都由于美伽巴佐斯和在他之后的玛尔多纽斯的征服而受到奴役 并成了国王的纳贡者。在他从多里司科斯上路以后,他首先经过了萨摩特拉 开人的要塞,而在最西端修建的那座要塞是一座称为美撒姆布里亚的市邑。 接着它的则是塔斯人的司安律美市。在这两个市邑之间流着一条利索司河, 这条河现在竟不够克谢尔克谢斯大军的饮用而给搞乾了。所有这一的地方过 去是叫做伽拉伊凯,现在则叫做布里昂提凯。但若按照正当的根据,这也应 当是奇科尼亚人的地方。

    (109)在渡过了当时已经乾涸的利索司河的河床之后,他又走过了玛罗涅 亚、狄凯亚和阿布戴拉这几个希腊城市。在走过了这些城市以后,他又经过 了它们附近的一些有名的湖;在玛罗涅亚和司安律美之间有伊兹玛里司湖, 在狄凯亚附近有比司托尼斯湖,而特拉沃斯河与孔普桑托斯河便是流入这个 湖的。在阿布戴拉附近,克谢尔克谢斯并没有经过任何有名的湖,都渡过了 流入大海的涅司托斯河。从这些地方他又经过了大陆上的一些城市,其中一 个城市的附近有一个周匝大约有三十斯塔迪昂长的湖,湖水很咸而湖中又有 很多的鱼。单是叫驮畜喝水就把这个湖给喝乾了。这个城市叫做披司图洛斯。 克谢尔克谢斯在进军的道路上经过了沿海的这些希腊城市,这些城市都是在 他的左面的。

    (110)他所经过的土地上面的色雷斯人的部落,有帕依托伊人、奇科尼亚 人、比司托尼亚人、撒帕依欧伊人、戴尔赛欧伊人、埃多诺伊人、撒安拉伊 人。这些部落当中凡是住在海边的都上船参加了水师,我上面所提到的住在 内地的人们则全部被迫参加了陆军,例外的只有撒安拉伊人。

    (111)据我们所知道的,撒妥拉伊人从来没有受过任何人的役使,在全体色雷斯人当中,只有他们是直到今天还保持着自由的。原来他们居住在复盖 着各种树木和雪的高山上,而且他们又是非常卓越的战士。狄奥尼索斯的神托所便是属于他们的,这个神托所位于最高的一座山峰之上,这个庙的预言者(解释神托的人)是撒妥拉伊人当中的倍索伊人,降神的人,则和 在戴尔波伊的情况一样,也是一个女祭司。这里并没有什么比那里更加玄妙 的事情。

    (112)通过了上述的地方之后,克谢尔克谢斯继而叉通过了披埃里亚人的 要塞,一个要塞叫做帕格列斯,一个要塞叫做培尔伽莫斯。在这条道路上, 他是沿着这些要塞的城墙行进的,在他的右手就是既高且大的宠伽伊昂山; 山上有披埃里亚人、欧多曼托伊人、特别是撒妥拉伊人所开发的金银矿。

    (113)经过居住在宠伽伊昂山以北的、称为多贝列斯人和帕伊欧普拉伊人 的派欧尼亚人所注的地方之后,他便向西行进,一直来到了司妥律蒙河和埃 翁市。治理埃翁市的就是我刚才提到的那个当时还在世的波该司。在宠伽伊 昂山周边的全部地区是叫做披利斯。这个地方向西一直伸展到流入司妥律蒙 河的安吉铁斯河,南面到司妥律蒙河本身;玛哥斯僧在这条河的岸上屠宰白 马来献神以求吉兆。

    (114)在河岸上施行了这样的以及其他一些魔法之后,他们便在埃多诺伊 人的一个叫做“九路”的市邑那里渡过了河,因为他们发现那里已经架上了 桥。在他们知道“九路”是那个地方的名字以后,他们便把当地人当中那个 数目的男孩子和女孩子活埋了。活埋是波斯人的一种习惯。我听说当克谢尔 克谢斯的妻子阿美司妥利斯到了老年的时候,她活埋了波斯的名门子弟十四 人,她这样做是为了替自己向传说中的冥界之神表示谢意。

    (115)大军从司妥律蒙出发,经过了阿尔吉洛斯;阿尔吉洛斯是一座希腊 的市邑,位于向着日落的方向展开的海岸上。这个市邑所在的地方以及它的 上方是叫做比撒尔提亚。克谢尔克谢斯从那里,左手沿着波赛东神殿附近的 海湾,穿过了他们所说的叙列乌斯原野,路过一个叫做司塔吉洛斯的希腊城 市而到达了阿坎托司。他把所有这些部落以及居住在庞伽伊昂山附近的人们 都强制地编入自己的军队,就好象对我在前面已经提到的那些人的办法一 样,住在沿岸地方的人参加他的水师,住在内地的人们则参加他的陆军。对 于国王克谢尔克谢斯进军的这一条道路,色雷斯人既不加毁坏,也不在上面 播种什么,而直到我的时候,他们对这条路都是十分尊重的。

    (116)当克谢尔克谢斯来到阿坎托司的时候,他便宣布说阿坎托司人是他 的客人和朋友,并且把美地亚的衣服送给他们,克谢尔克谢斯称扬阿坎托司 人是因为他看到他们作战时十分卖力气,同时又听到了他们开凿运河的事 情。

    (117)正当克谢尔克谢斯留在阿坎托司的时候,监督开凿运河的阿尔塔凯 耶斯病死了。这个出身阿凯美尼达伊家的人是克谢尔克谢斯十分宠信的。 (由于他的身高五王室佩巨斯差四达克杜洛斯)他的身躯在波斯是最高 的,他的声音也是世界上最响亮的,因此克谢尔克谢斯对阿尔塔凯耶斯表示 了深切的哀悼,为他举行了极其豪华的殡仪和葬礼,全军都来为他修筑坟茔。 阿坎托司人按照神托的指示把阿尔塔凯耶斯当成是一个英雄,他们呼叫着他 的名字向他奉献牺牲。克谢尔克谢斯就是这样地哀悼了阿尔塔凯耶斯的死。

    (118)但是欢迎克谢尔克谢斯的军队并且款待了国王本人的希腊人却遭 到了极大的不幸,他们甚至被逐出了自己的家宅。原来当塔索斯人代表他们 本上的市邑迎接和款待克谢尔克谢斯的军队的时候,他们选出了市民中同一 位最知名的人士、奥尔盖乌司的儿子安提帕特洛斯主持这件事,可是他在向 他们报账的时候,他说他为了这次宴会化费了四百塔兰特的白银。

    (119)在所有其他的市邑,当事人所提出的报告也都和这差不多。原来设 宴的命令既然在很久以前便己发下来,而这事又被认为十分重要,因此宴会 大概是这样安排的。首先,当市民从到各处宣告的传令人那里一听到这件事 的时候,他们立刻便把市内的谷物在他们中间分配,在好多个月里制造小麦 粉和大麦粉。此外,他们为了款待大军,又不惜出最高的价钱买了最好的家 畜来饲育,并把陆禽和水禽分别养在笼子里和池子里。他们还制造金银的怀 盏、混酒钵以及食桌上的各种各样的用具。这些东西是为国王本人以及陪同 他进餐的人们制作的。对于军队的其他人等,则他们只是供应食物罢了。在 大军到来的时候,那里建起了一座帷幕供克谢尔克谢斯本人居住,而他的军 队便都住在露天里了。到用膳的时候,招待的人们真是忙得不可开支。而在 大军尽情吃饱并在那里住了一夜之后,第二天他们就从地上拆卸了帷幕,收 拾了一切道具用品,然后便开拔了,他们把所有的东西都带走,无论什么都 没有留下来的。

    (120)因此,一个名叫美伽克列昂的阿布戴拉人就说出了甚为得体的话。 他劝告阿布戴拉人,不分男女老少全都到他们的神殿中去,在那里恳求诸神, 将来保护他们使他们免遭会到临他们头上的所有灾难的一半,而且他还劝告 他们为过去照顾他们的事情衷心感谢诸神,因为克谢尔克谢斯每天并没有吃 两顿饭的习惯。不然的话,如果他们奉命以和晚餐同样的方式准备一顿早餐 的话,则阿布戴拉人就不得不或是在克谢尔克谢斯到来之前逃跑,或是留在 那里等候他,以便遭到最悲惨地灭亡的命运。

    (121)这样,虽然他们经历了很大的困难,却仍旧完成了指定给他们的任 务。而克谢尔克谢斯在离开阿坎托司的时候曾下令给他的水师提督们(从施本τονναντιхονбτρατον),要水 师在铁尔玛等候他,在这之后,他便把他的船只打发开,耍它们继续自己的 航程了。铁尔玛临着铁尔玛湾,铁尔玛湾就是因这个铁尔玛而得名的。原来, 他听说,这是一条最便捷的道路。至于从乡里司科斯到阿坎托司,陆军是以 这样的衣序行进的。克谢尔克谢斯把全部陆军分成三部分。他指令一部分沿 着海岸与水师并进,这部分军队的统帅是玛尔多纽斯和玛西司铁斯:另三分 之一的陆师则奉命向内地挺进,这部分军队的统帅是特里坦塔伊克美斯和盖 尔吉司;第三部分是克谢尔克谢斯自己跟着,它在前两部分中间行进,而它 的统帅则是司美尔多美涅斯和美伽比佐斯。

    (122)因此,当水师驶离了克谢尔克谢斯并通过在阿托斯那里开凿的运河 而到达阿萨、披罗洛斯、辛哥斯、撒尔铁诸市邑所在的海湾时,就也从这些 市邑把兵员吸收到船上来,然后便全速向铁尔玛湾进发了。水师绕过了托罗 涅的阿姆培洛斯岬,驶过了托罗涅、伽列普索斯、谢尔米列、美库倍尔纳、 欧伦托斯等希腊人的市邑并从这些市邑征收了船只和兵员。那个地方叫做西 托尼亚。

    (123)克谢尔克谢斯的水师从阿姆培洛斯岬一直驶行到帕列涅地方向海 中最突出的那个卡纳司特隆岬并从现在称为帕列涅,但过去称为普列格拉的 地方的那些市邑,那波提戴阿、阿庇提司、涅阿波里司、埃给、铁拉姆波司、 司奇欧涅、门戴、撒涅诸市征发了船只和兵员。他们沿着这一海岸行驶,到 指定的地点去,而且从在帕列涅附近、和铁尔玛湾相接的诸市邑取得了兵员: 这些市邑的名字是里帕克索斯,科姆布列阿、里赛、吉戈诺司、坎普撒、司 米拉、埃涅亚。 这些市邑所在的地方到今天还叫做克罗赛阿。从我上面所列举的市邑当 中的最后一个市邑埃涅亚,水师又向铁尔玛本湾和米哥多尼亚地区进发,一 直达到指定的地点铁尔玛,以及辛多斯城和阿克西奥司河岸上的卡列司特拉 城;阿克西奥司河是米哥多尼亚地区和波提埃阿地区的交界,而在波提埃阿 地方沿海的一块狭窄的土地上,则有伊克奈和培拉两个市邑。

    (124)因此水师就在阿克西奥司河、铁尔玛市以及它们之间的市邑附近投 锚列阵,等候国王的到临。但是克谢尔克谢斯和他的陆军从阿坎托司出发, 却横穿过内地,想由这个捷径直达铁尔玛。他们穿过派欧尼亚和克列司托尼 亚两个地方而达到埃凯多洛斯河,这个埃凯多洛斯河发源于克列司托尼亚地 方,流涩米哥多尼亚地方而注入阿克西奥司柯河畔的沼泽地带。

    (125)正当着克谢尔克谢斯向着这个方向进军的时候,狮子袭击了他那载 运着粮食的骆驼。原来狮子每到夜里便离开了它们的巢窟专门出来捕捉骆 驼,而对于人和驮畜等其他的东西则不闻不问。我奇怪是什么理由迫使狮子 对其他一切不加闻问,却专门捕捉在当时之前它们从来没有看见过或是试过 的动物骆驼。

    (126)在那些地方,狮子是很多的;那里还有野牛,野牛有人们输入希腊 的非常巨大的角。狮子出没之地的边界是流经阿布戴拉的涅司托斯河和流经 阿卡尔那尼亚的阿凯洛司河。不拘是在涅司托斯河以东的欧罗巴前部地方, 还是在阿凯洛司河以西的大陆其他地方,人们都看不到一只狮子。但是在这 两条河之间,人们是看得到狮子的。

    (127)克谢尔克谢斯到达铁尔玛之后,便把军队驻屯在那里了。军队在沿 海地带张起的营幕从铁尔玛和米哥多尼亚地方一直伸展到吕第亚斯河和哈里 亚克蒙河:这两条河合流成一条成为波提埃阿和马其顿领土之间的境界的河 流。异邦罩就在这个地方扎营了。在上面所提到的河里,从克列司托尼亚地 方流出的埃凯多洛斯河是仅有的一条不够大军饮用的河流,因而它就乾涸 了。

    (128)当克谢尔克谢斯从铁尔玛看到帖撒利亚的极其巍峨的奥林波斯山 和欧萨山,知道佩涅欧司河流经它们之间狭窄的峡谷,并得悉这里有一条通 向帖撒利亚的道路的时候,他便很想看一看佩涅欧司河的河口,因为他打算 沿着上手的道路通过马其顿人居住的内部高地到佩莱比亚人的地区和戈恩诺 斯市,因为他听说这乃是最安全的一条道路。既然这样想,他就这样做了。 在他想做这样一阵什么事情的时候他总是乘坐在西顿人的船上面的。他登上 面顿人的船以后,他便向其他的人们发出了启航的信号,却把他的陆军留在 原来的地方。当他来到并看了佩涅欧司河的河口时,他大为吃惊了。于是他 把响导人召了来,向他们垂询是不是可以改变河流的水道,使它循着另一条 水道人海。

    (129)据传说,帖撒利亚在古时是一个湖,四周有崇山峻岭围绕着。山麓 相交在一处的佩里洪山和欧萨山封住了它的东面,向着朔风的那一面(即北面 ——译者)有奥林波斯山,西面有品多斯山,向着日中和向着南风的一面则有 欧特律司山作为屏障。而在上述诸山当中就是帖撒利亚的谷地了。而既然有 许多河流入这个谷地,而其中最著名的五条河的名字是佩涅欧司、阿披达诺 斯、欧诺柯挪斯、埃尼培乌司、帕米索斯,因此当这五条河流从帖撒利亚四 周的山向一处汇流的时候,它们各有自己的名称,但它们最后却汇流到一起, 经过一条狭窄的峡谷流注入海。但它们一经汇流到一起,佩涅欧司的名称便 占了上风并使其他的河川无名了。据说在古昔的时候,是还没有这个峡谷和 河口的,但那些河流以及那些河流之外的波依贝司湖,虽然它们没有象今天 一样的名称,水量却和今天同样地多,这样便把整个的帖撒利亚变成了一片 海。不过,按照帖撒利亚人自己的说法,佩涅欧司流经的这个峡谷是波赛东 造成的,这话颇有道理。因为什么呢?原来不管是谁,只要他相信波赛东震 撼过大地,而因地震产生的裂痕乃是神的事业,那他只要一看这个峡谷,就 会相信这是波赛东造成的。在我来看,显然是地震的力量才使这些山裂开的。

    (130)克谢尔克谢斯向他的向导打听佩涅欧司河是不是有别的出海口,由 于这些人十分熟悉当地的情况,便回答他说:“国王,这条河除去这个出海 口之外,再没有其他的出海口了,因为在全部帖撒利亚的四周,是有一圈山 的”。据说,克谢尔克谢斯在听了这话之后就说出了下面的话。“这些帖撒 利亚人是质明的。由于其他的原因,特别是由于他们有一块容易被征服和迅 速被攻陷的国土,故而很久之前他们考虑更好的对策时就注意到了这一点。 原来只需用河堤堵住峡谷并使河流离开当前的河道而把河水引到他们的土地 上来,这样全部帖撒利亚,除去山以外,就都要浸没在水下面了”。他讲这 话的时候,特别是指看阿列乌阿斯的儿子们说的,因为他们在帖撒利亚人当 中是第一批向国王投诚的。克谢尔克谢斯认为,当他们向他表示友好的时候, 他们是代表着他们的全民族讲话的。他讲了这话并结束了他的视察以后,就 乘船回到铁尔玛去了。

    (131)他在披埃里亚一带停留了几天,因为他的三分之一的军队都在马其 顿的山区地带开辟道路以便使他的军队能够从这条道到佩莱比亚人的地区 去。这时,被派往希腊去要求土的使者们回来了,他们有的是空着手回来的, 有的是带着土和水回来的。

    (132)献出了土和水的人是:帖撒利亚人、多罗披亚人、埃尼耶涅斯人、 佩莱比亚人、罗克里斯人、玛格涅希亚人、玛里司人、普提奥梯斯的阿凯亚人、底比斯人以及除铁司佩亚人和普拉培伊阿人之外的所有其他的贝奥提亚 人。为了对付这些人,和异邦人宣战的希腊人立下了一个严肃的誓言,誓言 说,如果他们在战争中顺利的话,他们就把自愿向波斯人投诚的全部希腊人 的财产的十分之一奉献给戴尔波伊的神。以上就是希腊人所立的誓言。

    (133)但是克谢尔克谢斯却没有派使者到雅典和斯巴过去要求士,理由是 这样。在当初大流士派人向他们提出同样要求的时候,一个城市把要求者投 到巴拉特隆(地坑——译者)里去,另一个城市则把要求者投到井里去,他们 命令要求者从这里取得土和水带给国王。就因为这个原因,克谢尔克谢斯才 不派人去作这样的要求。雅典人这样对待来使,除去他们的土地和他们的城 市遭到蹂躏以外,此外还遇到怎样的灾难我说不出了,但是我以为这不是由 于上述的原因,而是汪还另外的原因。

    (134)不过,拉凯戴孟人确是遇到了阿伽美姆农的使者塔尔图比欧斯的神 谴的。原来在斯巴达有一座塔尔图比欧斯的神殿,而塔尔图比欧斯的子孙则 称为塔尔图比阿达伊家。他们享有担任自斯巴达派出的一切使者的特权。在 发生了上述的事情之后,斯巴达人在奉献牺牲时不能取得吉兆,而且在一个 很长的时期里都是这样。拉凯戴孟人为这件事十分发愁,认为这是一件很倒 霉的事情。他们常常召集民众大会并发出布告征询是否有拉凯戴孟人愿意为 斯巴达就出自己的生命,于是两名出身高贵而又十分富有的斯巴达人,阿涅 和司托斯的儿子司佩尔提亚斯和尼柯拉欧斯的儿子布里斯自愿为了在斯巴达 被处死的、大流士的使节而向克谢尔克谢斯偿命。于是斯巴达人便把他们派 到美地亚人那里去送死了。

    (135)这些人的勇敢行为是值得赞叹的,而我下面记述的、他们所讲的话 也是这样。正在他们到苏撒去的时候,他们来到了一个名叫叙达尔涅斯的波 斯人的地方,这是亚细亚沿海地带居民的一位统帅。他欢迎并且款待了他们, 而正当他款待他们的时候,他就问他们说:“拉凯戴孟人,为什么你们不愿 和国王交朋友呢?只要看一看我和我的情况,你们就可以判断出来,国王是 多么善于敬重有品德的人物。因此,你们(在他看来显然你们也是有品德的人 物)如果为国王效劳的话,那你们便都可以被赐以一块希腊的土地而成为统治 者”。但斯巴达人回答他说:“叙达尔涅斯,你对我们的劝告是欠公平的, 因为你的劝告在一方面来说虽然证明你是有经验的,可是在另一方面,却又 说明你是没有经验的。对于作一名奴隶,那你是知道得十分清楚的,但是你 却从来没有体验过自由,不知道它的味道是不是好的。如果你尝过自由的味 道的话,那你就会劝我们不单单是用枪,而且是用斧头来为自由而战了”。

    (136)他们就是这样回答了叙达尔涅斯的。从那里他们来到苏撒,见到了 国王,可是当国王的卫兵命令并且想强制他们匍匐跪拜在国王面前的时候, 他们说他们决不肯这样做,即使他们被头朝下地栽倒也决不肯这样做,因为 他们说他们没有对凡人跪拜的习惯,而且这也不是他们此来的目的。在他们 顽强地拒绝了这样做以后。他们又说:“美地亚人的国王啊,拉凯戴孟人把 我们派来是为了给你那在斯巴达被杀死的使者来偿命的”,此外还有其他诸 如此类的话。克谢尔克谢斯听他们讲这话的时候,就十分豁达大度地说,他 是不愿意学拉凯戴孟人的做法的,他认为他们杀死了来使从而破坏了全人类 的法律,但是他却不愿做出他责备他们不应做的事情,也不想作为报复把他 们杀死,从而使拉凯戴孟人免除了这一罪恶行为。

    (137)这样,虽然司佩尔提亚斯和布里斯返回了斯巴达,斯巴达人还是用 这样的行动一时地缓和了塔尔图比欧斯的愤怒。但是在那之后很久,根据拉 凯戴孟人的说法,这种愤怒又在伯罗奔尼撒人与雅典人之间的战争中被引起 来了。在我看来,这的的确确是表现了上天的意旨的。塔尔图比欧斯的怒气 要发泄到使者的身上,在不得到满足时决不罢休,这乃是十分合乎正义的事 情。但是这怒气却发泄到为了国王发怒的缘故而到国王那里去的人们的儿 子,即布里斯的儿子尼柯拉欧斯和司佩尔提亚斯的儿子阿涅利司托斯身上, 这一点就使我看的很清楚,这是上天因塔尔图比欧斯发怒之故而做出来的事 情。这个阿涅利司托斯在满载兵员的商船上航行时,曾征服过提律恩司地方 出身的哈里埃斯人。这两个人曾奉拉凯戴孟人的派遣出使亚细亚。他们给色 雷斯国王铁列欧司的儿子西塔尔凯司和阿布戴拉人披铁阿斯的儿子尼姆波多 洛斯所出卖,结果在海列斯彭特上的比桑铁被捕并给送到阿提卡去,就在那 里给雅典人杀死了。和他们一同丧命的,还有一个科林斯人阿迪曼托司的儿 子阿利司铁阿斯。 不过这是在国王远征以后多年发生的事情了,现在我仍要接着我前面的 话讲下去。

    (138)国王在这次出征中,是扬言打算进攻雅典的,但他进攻的目的实际 上都是整个希腊。希腊人在很早以前便听说这一点,不过并不是他们所有的 人都抱看同样的看法。那些曾向波斯人献出了土和水的人们在心里是有底 的,因为他们相信异邦人不会加害于他们;但是那些拒绝献纳土和水的人们 却是十分害怕,因为在希腊并无足够的船只可以抗击侵略军,而且他们当中 大部分人郡不想作战,而是急于想站到美地亚人的那一面去。

    (139)在这里,我不得不发表自己的一个见解,虽然大多数的人是不会喜 欢这个见解的。可是,如果在我看来是真实的见解,那我是决不能把它放在 心里不讲出来的。如果雅典人因逼临到头上的危险而惊惶万状,从而离弃他 们自己的国家,或者他们虽不离开,却留在那里向克谢尔克谢斯投降的话, 那未就没有任何人想在海上和国王对抗了。因此,如果没有人在海上和他对 抗的话,我以为在陆上就要发生这样的事情。虽然伯罗奔尼撒人在地峡上修 筑了不是一层,而是好几层城壁作为他们的屏障,拉凯戴孟人的同盟者还是 会离开他们,直到最后只剩下他们自己。他们的同盟者离开他们不是自愿如 此,而是不得已的,因为这些同盟者的城市一座座地给异邦人的水师攻陷了。 既然这样地被孤立起来,他们就势必得对敌人大战一场并光荣地战死。这便 是他们会遭到的命运,否则在他们看到希腊的其他部分都站到敌人一面去的 时候,他们也就会和克谢尔克谢斯缔结城下之盟了。上述两种情况不管是哪 一种发生,希腊都是会给波斯人征服的。因为,当国王制霸海上之陈,我看 不出在地峡上修筑城壁会带来什么好处。但实际上,如果说雅典人乃是希腊 的救主的话,这便是十分中肯的说法了。雅典人站到哪一方面,看来优势就 会转到哪一方面。雅典人既然认为希腊应当继续保有它的自由,他们便激励 剩下的没有向波斯人屈服的那一部分希腊人,而且正是他们这些人,继诸神 之后(遵照诸神的意旨——译者),击退了国王。来自戴尔波伊并使他们感到 很大恐怖的可怕的神托也没有打动他们离开希腊,他们坚守在自己的国土上 面,鼓起勇气来等候侵略他们国土的人们。

    (140)原来雅典人曾派遣使节到戴尔波伊去,请求给他们一个神托。 当他们在神殿那里行礼如仪并坐到内部的圣堂里面去的时候,那个名叫 阿利司托尼凯的佩提亚就向他们回答说: 不幸的人们啊,为什么你们还坐在这里? 逃离你们的家,你们那轮形城市的高耸入云的卫城, 跑到大地的尽头去罢。 身躯和头同样都不能安全无恙, 下面的脚,手,以及它们中间的一切也都无济于事, 它们都要毁灭掉。 因为火和凶猛的阿莱司神(战神)飞快地驾着叙利亚的战车,要 把这座城市毁掉。 他要把不仅仅是你们的,而是许许多多的城砦毁掉。 他还要把神的许多神殿支付火焰吞食; 它们立在那里吓得流汗,由于害怕而战慄。 从它们的屋顶有黑色的血流下来,预示着他们的无可避免凶事。 因此我要你们离开神殿,拿出勇气来制服你们的不幸遭遇罢。

    (141)当雅典的使者们听到这些话时,他们真是惊恐万状。由于这一十分 不吉利的预言,他们已陷于绝望了。这时戴尔波伊人当中的最知名的一位人 士、安多罗布洛斯的儿子提蒙就向他们建议,要他们带着表示请求庇护的橄 榄枝,再一次到那里去,这样就是以请求庇护的人的身分去请求神托了。雅 典人按照他的话做了。他们说:“主啊,看在我们把这些请求庇护的橄榄枝 带到你跟前这件事的面上,请赐给我们关于我们祖国的一个比较好的预言 罢。不然的话,我们就不离开你的神殿,直到死都一直留在这里了。”于是, 佩提亚便向他们宣布了第二个神托: 用许多话来请求,用高明的意见来劝说, 帕拉司都不能缓和宙斯的怒气。 然而我仍愿向你们讲一句象金刚石那样坚硬的话。 在开克洛普斯圣城和神圣的奇泰隆谷地里目前所保有的一切都被夺去的 时候,远见的宙斯终会给特里托该涅阿一座难攻不落的木墙用来保卫你们和 你们的子孙。 且莫安静地居留在你们原来的地方,因为从大地方面来了一支骑兵和步 兵的大军;你们倒应当在他们来时撤退,把背向着敌人:不过你们终有一天 会和他们交战的。 神圣的撒拉米司啊!在播种或是收获谷物的时候,你是会把妇女生的孩 子们毁灭掉的。

    (142)从表面上来看,并且实际上,这个神托都是比前一个神托要温和些 的。于是他们把它记录下来,就返回雅典了。当使节们离开了戴尔波伊并把 神托报告给人民的时候,大家对于这一神托的含意作了许多解释,而在人们 发表的许多看法当中,特别有两种最相反的看法。有一些比较年老的人认为, 神的启示的意思是应当把卫城留下,因为在古昔,雅典卫城的四周是有一道 栅栏的,而在他们看来木墙就是指着这道栅栏了。但是另外的一些人则以为 神所说的木墙是指着他们的船只说的,而他们的意思是什么都不做,只把船 只装备起来。不过在佩提亚的回答中,它的最后两行神圣的撒拉米司啊!在 播种或是收获谷物的时候,你是会把妇女生的孩子们毁灭掉的。却使主张木 墙即是船只的那些人难于自圆其说了。这两行诗句使那些以为他们的船便是 木墙的人们十分困惑了。原来那解释神托的人认为这两行诗的意思是:他们 如果在撒拉米司附近的海上准备作战的话,他们是会在那里全军复没的。

    (143)这时有一个不久之前才显露头角而成为一流人物的雅典人,他的名 字叫做铁米司托克列斯,人们称他为尼奥克列斯的儿子,他说解释神托的人 并没有把神托的全部含意正确地阐述出来。他的看法是这样。如果这些诗句 所谈的真是雅典人的话,那神托就不会用一个这样温和的词,它就要说残忍 的撒拉米司,而不会说神圣的撒拉米司了,因为当地的居民实际上都是要死 在那里的。因此他以为,如果要正确理解这个神托的话,则神的这番话的意 思,勿宁说是指着敌军,而不是指着雅典人说的。他劝告说,他们应当相信 木墙是指着他们的船只说的,因而要作海上作战的准备。铁米司托克列斯把 自己的看法向雅典人宣布之后,雅典人便认为他对神托的解释是要比神托解 释者的解释高明,因为后者不愿意雅典人作海战的准备,简言之,也就是干 脆不进行抵抗,而是离开阿提卡,移居到别的什么地方去。

    (144)铁米司托克列斯在这之前还提出过一个十分合于时宜的意见。原来 雅典人从拉乌利昂地方的矿山曾为自己的国库取得巨额的岁人,因而当着他 们从这部分的铁里每人要分得十德拉克玛的时候,铁来司托克列斯便劝告雅 典人不要分配这笔钱,而是用这笔钱修造二百只战船,也就是说,用来对埃 吉纳作战。正是由于爆发了这次的战争,这才拯救了希腊,因为它使雅典人 不得不从事于海上作战的准备。这些船只并未用于当初建造它们时的目的, 可是在希腊需要它们的时候,结果却用上了。这样,这些船便修造起来并且 已经为雅典人服务了,不过现在他们在这之外还要修造更多的船只。在他们 接到神托并进行讨论以后,他们便决定,他们应该相信神意,使他们的全部 人民再加上愿意和他们联合到一起的所有其他希腊人都乘上他们的船只,用 水师来邀击前来侵犯的异邦人。

    (145)以上就是雅典人所得到的神托了。所有那些愿意希腊今后会好起来 的希腊人于是集合到一起,相互商议并相互保证了信谊,在这以后他们就议 决首先结束他们之间的一切不和和相互之间的战争,不管它们是由什么原因 引起的。在其他的人们中间固然也有战争,不过其中最大的却是雅典人和埃 吉纳人之间的战争。他们一听说克谢尔克谢斯和他的军队已经在撒尔迪斯, 他们便计划把间谍派到亚细亚去,以便侦察国王的活动情况,同时又把使节 派出去,有些人是到阿尔哥斯,这些人是想把阿尔哥斯人变成和他们共同抵 抗波斯人的同盟者:另一些人是到西西里地方狄诺美涅斯的儿子盖隆那里 去;再一些人是到柯尔库拉去为希腊去请求援助;还有一些人则是到克里地 去。原来他们以为,既然全部希腊都同样地受到危险,因此他们希望全体希 腊血统的民族结成一体并为了一个共同的目标同心奋斗。而且据说盖隆的势 力是很大的,要远远地超过希腊的任何其他力量。

    (146)在作了这样的决定并调解了他们之间的争端以后,他们首先把三个 人作为间谍派到亚细亚去。这几个人来到撒尔迪斯,就对国王的军队进行了 侦察,但是他们被发觉,因此经过陆军将领们的审讯之后,他们便要给拉出 去处决了。这样他们就被宣布了死刑。可是在克谢尔克谢斯听见这事的时候, 对于他的将领们的判决却大不以为然,于是他派了他的几名卫兵前去,命令 他们把间谍带到他那里去,如果他们发现这些间谍还活着的话。这些间谍那 时既然还未被处死,就被带去见国王了。于是克谢尔克谢斯便向这些间谍探 问他们此来的目的,随后就命令他的卫兵引导他们到备处去。把他的包括骑 兵和步兵在内的全部陆军指点拾他们看;而在间谍们把这一切都看够了的时 候,他们又毫不加伤害地被送到他们愿意去的任何地方去。

    (147)克谢尔克谢斯所以发出这样的命令,他说乃是出于这样的考虑。如 果把这些间谍处死的话,则希腊人就难于在事先很快地知道他那宠大到难以 尽述的兵力,而且杀死三个敌人,波斯人也不能因此使敌人遭到巨大的损害; 与此相反,如果把他们放回希腊的话,即当希腊人听到他的兵力情况时,就 会在波斯人出征之前,自发地把自己那特有的自由呈献过来,这样波斯人就 不需要再费事征讨他们了。克谢尔克谢斯在其他的场合,也发表过类似的见 解。 当克谢尔克谢斯在阿比多斯时,曾看到载运谷物的船只从彭托斯驶出通 过海列斯彭特,航行到埃吉纳和伯罗奔尼撒去。侍坐在他旁的人们看到这是 敌人的船,便打算拿捕它们;他们望着国王,想得到他的命令。但是克谢尔 克谢斯却问他们这些船是到哪里去的。他们回答说:“主公,它们是载运着 谷物到敌人那里去的”。于是克谢尔克谢斯回答说:“我们不是和他们一样, 也带着谷物以及其他物品到同样的地方去吗?既然他们是替我们把食粮运到 那里去,这又有什么害处呢”。

    (148)间谍看完了这里的一切以后,就被送回去,这样便回到了欧罗巴。 希腊人当中那些稀结盟约以对抗波斯人的人们,在他们把间谍派出去以后, 又把使节派到阿尔哥斯去。阿尔哥斯人从他们的一方面对于这件事是这样讲 的。在开头的时候,他们就听说异邦人在准备征讨希腊人。他们知道了这件 事并且打听到说希腊人想要取得他们的帮助以对抗波斯人的时候,他们说他 们便派使者到戴尔波伊去,在那里请示神他们最好应当怎样做。原来在不久之前(四九四年提律恩司一役;见第六卷第七七节),他们有六千人被拉凯戴孟的军队及其将领阿那克桑德里戴斯的儿子克 列欧美涅斯杀死了。他们说,正是为了这个缘故,他们才把使者派了出去。 对于他们的询问,佩提亚是这样回答的:被周围的邻人所憎恨,却为不死的 神所喜爱的人们啊。 怀里抱看长抢,象一个戒备着的战士那样地安安静静地坐在那里罢,好 好防备看你们的脑袋,这样,脑袋就可以保卫你们的身体了。佩提亚已经述 出丁这样的神托,随后使节才来到了阿尔哥斯,他们访问了长老院并按照所 命令给他们的讲了话。于是据阿尔哥斯人的说法,阿尔哥斯是这样地回答了 他们的讲话的:即,如果阿尔哥斯人能够和拉凯戴孟人缔结三十年的和约并 取得联盟军的一半的统帅权,那他们是愿意答应对他们的请求的。他们说, 尽管他们有正当的权利来要求统帅全部军队,但他们却愿意满足于一半的统 帅权。

    (149)他们说,虽然神托禁止他们和希腊人结成同盟,但他们的长老院却 仍作了这样的回答。而且虽然他们害怕这个神托,但是他们仍然切望能缔结 一项三十年的和约,以便他们的子弟在这一段岁月当中可以长大成人。如果 没有这样的一个和约,则从他们本身的利害来推论,当他们在已经遭到的这 个灾害之后,再受挫于波斯人,那他们便害怕将来他们要成为拉凯戴孟人的 奴隶了。于是在使节当中从斯已达来的人们对长老院所说的话回答说,关于 缔约的事情将要提交他们的人民大会去裁决,至于统帅权,则他们本身曾受 命回答。于是他们就说,斯巴达人有两个国王,但阿尔哥斯人只有一个国王, 虽然不可能剥夺任何一个斯巴达国王的统帅权,可是却不会有任何东西能妨 碍阿尔哥斯国王和两位斯巴达国王有同等的投票权。阿尔哥斯人说,这样一 来,他们便认为斯巴达人的傲慢是难以忍耐的,因此与其他们向拉凯戴孟人 屈服,却不如受治于异邦人了。于是他们便命令使者在日落之前,离开阿尔 哥斯的国土,否则,他们便要把使者当做敌人论处。

    (150)以上便是阿尔哥斯人对于这件事的说法,但是在希腊却还流传着另 一种说法。根据这种说法,则在克谢尔克谢斯出发征讨希腊之前,他曾把一 名使者派到阿尔哥斯去,这个使者到达阿尔哥斯之后,就说:“阿尔哥斯的 人们,国王克谢尔克谢斯要我把这些话告诉你们。我们认为,我们的祖先培 尔谢斯的父亲是达纳耶的儿子培尔赛欧斯,他的母亲是凯培欧斯的女儿安多 罗美达。如果是这样的话,那我们就是你们这个民族的后裔了。因此,我们 不应当进攻我们祖先的国土,而你们也不应当帮助别人和我们为敌,这是完 全正当合理的事情。你们应当安静不动地呆在原来的地方;如果你们按照我 所期望的一切来做的话,那我对你们的尊重就要高过其他的任何人了。”阿尔哥斯人听到这话的时候,认为这件事非同小可;虽然一时他们没有答应什 么或是要求什么,可是任希腊人想取得他们的帮助的时候,他们既然知道拉 凯戴孟人不许他们分享统帅权,便要求一部分的统帅权,这样,他们就可以 有借口安静地呆在那里按兵不动了。

    (151)有一些希腊人还说,有一件事虽是在多年之后发生的,可是它却和 上述的事情相互印证。原来,希波尼柯斯的儿子卡里亚斯和与他同行的人们 以雅典使节的身分因事来到美姆农的市邑苏撒的时候,阿尔哥斯人这时也派 了使节到苏撒来,向克谢尔克谢斯的儿子阿尔托克谢尔克谢斯探询,过去阿 尔哥斯人和克谢尔克谢斯之间缔结的友谊现在在他们之间是否继续有效,还 是他把他们看成是自己的敌人?于是阿尔托克谢尔克谢斯回答说,他认为这 友谊实际上是没有改变的,而且任何城邦对他来说都不能比阿尔哥斯更亲 密。

    (152)克谢尔克谢斯是不是真地派一个使者带着上述的话到阿尔哥斯 去,而阿尔哥斯的使节是不是到苏撒来向阿尔托克谢尔克谢斯探询有关他们 之间的友谊的事情,我说不确实了。而且除去阿尔哥斯人自己所说的话以外, 现在我是不发表什么见解的。不过我所深知的只有这一点。如果所有的人都 把他们自己的灾祸带到一个共同集会的地方去,想用来和邻人的灾祸交换的 话,则只要他对于别人的灾祸加以仔细的观察以后,他一定会高高兴兴地把 他自己带来的灾祸仍旧带回家去的。这样看来,阿尔哥斯人的行动便不能说 是最卑劣的行动了。至于我本人,则我的职责是把我所听到的一切记录下来, 虽然我并没有任何义务来相信每一件事情;对于我的全部历史来说,这个说 法我以为都是适用的。原来的确还流行着另外的一种说法。根据这种说法, 则好象是阿尔哥斯人把波斯人邀请到希腊来的。因为在阿尔哥斯人对拉凯戴 孟人作战失败之后,和他们当前所陷入的痛苦处境比起来,没有一件事不是 他们所期望的了。

    (153)关于阿尔哥斯人的事情,就说到这里了。此外联盟者还把使节派遣 到西西里去和盖隆进行谈判。在这些使节里有拉凯戴孟派出的叙阿格罗斯。 这个盖隆的一个曾在盖拉定居的祖先是从特里欧庇昂附近海面上的铁洛斯岛 上来的。正当罗德斯的林多斯人和安提培莫斯开拓盖拉的时候,他也参加这 一事业了。久而久之,他的后人就成了冥界女神的执事祭司并继续担任着这 个职位。他们的一位祖先铁里涅司是这样取得了这个职位的。有一些在党争 中失败的盖拉人被放逐到盖拉上方的一个玛克托利昂市去,可是铁里涅司却 使他们回到了盖拉,他并不是借着人力的帮助,而只是借着敬神用的圣物, 就做到了这一点的。他从什么地方取得这些东西,他是不是自己想办法找到 了这些东西,我是说不出的。不管怎样,正是借了这些圣物的力量,他才使 亡命者回到了盖拉,条件则是他的后人应担任女神的执事祭司。我所听到的 这个故事使我十分惊讶铁里涅司竟会做出这样的事情来。因为我一直以为一 般人是做不出这样的事情来的,而能做出这样事情来的只有那具有勇敢精神 和堂堂男子汉的力量的人。可是据西西里的居民说,恰好相反,铁里涅司是 一个柔弱并且有女人气质的人物。

    (154)不管怎样,他就这样地取得了这个特权。另一方面,潘塔列斯的儿 子克列昂德罗斯在作了盖拉的七年僭主之后,被该城的一个叫做撒必洛斯的 人杀死了;在他死后,统治权就转到克列昂德罗斯的兄弟希波克拉铁斯的手 里去了。当希波克拉铁斯担任僭主的时候,执事司祭铁里涅司的一个后人盖 隆是希波克拉铁斯的一名近卫兵,就和其他许多人以及帕塔伊科斯的儿子埃 涅西戴谟司一样。但不久之后,他便因勇武出众而被任命为全部骑兵的统帅。 原来希波克拉铁斯在围攻卡利波里斯人、那克索斯人、臧克列人、列昂提诺 伊人、还有西拉库赛人以及其他许多异邦人的时候,盖隆在那些衣战争中表 现了赫赫的武助。结果在上述城市当中的人们,除去西拉库赛人之外,完全 给希波克拉铁斯变成了奴隶。西拉库赛人在埃洛罗斯河畔被战败,但是得到 了科林斯人和柯尔库拉人的援助,他们为西拉库赛人缔结了一项和约,条件 是西拉库赛人把原来属于他们的卡玛里纳让给希波克拉铁斯。

    (155)当希波克拉铁斯也统治了和他的哥哥克列昂德罗斯同样年数的时 候,他出征西西里人,可是在叙布拉城的附近死掉了。因此盖隆装作辅佐市 民们已不肯服从的、希波克拉铁斯的两个儿子埃乌克里戴斯和克列昂德罗斯 的样子,但实际上,当他在战斗中制服了盖拉人的时候,他便废黜了希波克 拉铁斯的两个儿子而自己掌握主权了。在碰上了这一完全意想不到的好运气 以后,盖隆就把被庶民和他们自己的奴隶(所谓库吕里奥伊)所放逐的那些西 拉库赛地主(所谓伽莫洛伊)从卡兹美涅城领回了西拉库赛。这样他便也取得 了那个城市。原来西拉库赛人在盖隆刚刚到来的时候,就连入带城一齐向盖 隆投降了。

    (156)在他自己把西位库赛拿到手之后,他就把盖拉的统治交给了他的兄 弟希那隆,不大管那里的事了。不过他却加强了西位库赛,他把一切的注意 力都放到西拉库赛上面了。很快地那座城就成长和兴盛起来了。盖隆不单单 把所有的卡玛里纳人都迁到西拉库赛来,把公民权给他们而把卡玛里纳城铲 平,他还用同样的办法来处理一半以上的盖拉人。而当西西里的美伽拉人在 受到他的围攻而和他缔结城下之盟的时候,他便把他们当中对他作战,因而 理当被杀的富裕的那一部分人带到西拉库赛来,使他们成为这里的市民;至 于根本没有参与发起战争并且完全想不到会遭受伤害的美伽拉庶民,也给他 带到西拉库赛来,并给卖到西西里以外做奴隶去了。对于西西里的埃乌波亚 人也以同样的差别待遇,作了相同的处理。他对于这两个地方的人民所以采 取这样的做法,是因为他认为庶民是最难于与之相处的人们。由于以上的种 种,盖隆就变成了一位强大的僭主。

    (157)而现在,当希腊的使节们来到西拉库赛的时候,他们便晋见了他并 且说了下面的话。他们说:“拉凯戴孟人和他们同盟者派我们前来取得你的 帮助以抗击异邦人;我们以为你毫无问题已经知道一个波斯人正在向希腊进 攻,知道他打算在海列斯彭特架桥并把东方的全部大军从亚细亚带过来对付 我们。他表面上说是向雅典进攻,但实际上他却是想把整个希腊都收归他的 冶下。不过你是强大的。你既统治着西西里,那你就等于统治了希腊的不算 小的一部分。因此我们请求你,帮助想使希腊得到自由的那些人并且和他们 协力同心维护这一自由。如果把所有希腊人都团结在一边,那就是很大的一 支军队,这支军队就可以抗击侵略我们的人。如果我们当中有人背叛公共的 利益,再有人不肯来帮助我们,则希腊人当中可靠的部分便不过是少数,这 样全部希腊土地就有同遭亡国之祸的危险了。不要以为如果波斯人打败了我 们并把我们征服,他会不向你进攻的,这种情况希望你在事先很好地想一想。 你帮助了我们,也就是帮助了你自己。一个周密的计划通常是会产生好的结 果的”。

    (158)以上便是他们讲的话。但是盖隆非常激昂地回答他们说:“希腊人, 你们完全是为了自己打算才竟然敢到我这里来,要我参加你们的抗击异邦人 的联盟的。可是你们自己怎么样呢?当我和迦太基人不和,而请求你们与我 协力对付异邦军的时候,当我要求你们为了阿那克桑德里戴斯的儿子多里欧 司的被杀害向埃盖司塔人报仇,还有当我答应协助解放那些会给你们带来巨 大的利益和收获的商埠的时候,你们既不到这里来帮助我,也不来为多里欧 司的被杀害复仇。正是由于你们的所作所为,所有这些地方才都陷到异邦人 的铁蹄之下。尽管如此,我的事业却仍旧得到好转,我的国家也比先前昌盛 了。可是目前战争却临到你们的头上,是你们想到我盖隆的时候了。虽然你 们这样蔑视我,不把我放在眼里,我却不学你们的样子,我还是准备送出二 百只三段桡船、两万重武装兵、两千骑兵、两千弓手、两千弩兵和两千轻骑 兵去帮助你们。此外我还担负希腊全军的食粮,直到战争结束的时候。不过 我答应的这些话却有一个条伴,即我要担任抗击异邦人的希腊军队的统帅和 司令官。否则的话,我自己不去,也不派别的人去”。

    (159)当叙阿格罗斯听到这话的时候,再也忍耐不住,就说:“诚然,如果佩洛普司的儿子阿伽美姆农知道,斯巴达人的统帅权被盖隆和他手下的西 拉库赛人夺去的话,他是会大声悲叹的。这种要我们把统帅权交到你手里的 建议,不要再提了。如果你愿意帮助希腊的话,你知道你就必得受拉凯戴孟人的领导。可是如果你放不下身分接受领导的话,我看就不必帮助我们了”。

    (160)盖隆听到了叙阿格罗斯这一番很不礼貌的话以后,就向他提出了最 后的建议:“斯巴达的朋友,对一个人讲的横傲不逊的言语常常会激起他的 愤怒。虽然在你的话里,你表现得很傲慢无礼,可是这却还不至激使我对你 说出很不得体的回答来。既然你们都这样计较统帅权的问题,那我比你们更 加计较,这也是完全合理的,因为我的陆军比你们的多好多倍,而我的船只 也比你们的多得多。不过,既然你们十分不喜欢我的建议,那末我愿意在前 面的条件的某一点上对你们让步。我以为可以这样:你们统率陆军,我来统 帅水师:如果你们喜欢统率水师的话,那我也愿意碗帅陆军。你们必须同意 这样做,否则你们就回去,不必跟我缔结这样的同盟了”。

    (161)以上就是盖隆的建议。但是雅典人的使节却在拉凯戴孟人发言之前 回答他说:“西拉库赛人的国王啊,希腊把我们派到你的地方来是要求一支 军队,而不是要求一位统帅。可是你说除非你担任希腊的统帅,你是不愿派 遣军队的,而且对于统帅权,你又是非常计较的。不过,在你想取得希腊全 军的统帅权的时候,我们雅典人认为我们可以不必讲话了,因为我们知道, 拉科尼亚人是足能够为我们两方面来回答你的。现在在你放弃统率全军而想 统率海军的时候,那我们就想要你知道一下情况是怎样的了。即使拉科尼亚 人同意你统率海军的话,那我们也不会同意的,因为这部分的统帅权是属于 我们的,除非拉肌戴孟人愿意把这部分的统帅权也担当起来。如果他们愿意 统帅水师,我们并不反对他们,但我们决不容许其他任何人担任水师的统帅。 如果我们雅典人竟把我们的统帅权让给西拉库赛人的话,那我们就枉为拥有 最大海上力量的希腊人了。要知道,在希腊人当中我们是最古老的民族,又 是仅有的一个从来没有改变杖居住地的民族。诗人荷马就说,在所有到伊里 翁来的人当中,最善于整顿和安排军队的人就是雅典人。因此,我们这样讲,是不能见怪的”。

    (162)于是盖隆回答说:“雅典的朋友,担任统帅的人你们好象是不缺少 的,不过却没有被统率的人。因此,既然你们不肯在你们的要求上让步而执 意要统率全军,那末现在就一刻也不要耽误地快快赶回家去,告诉希腊人说 他们一年的春天已经失掉了”。盖隆讲这番话的意思显然是,盖隆的军队是 希腊军队的最精锐的部分,就好象一年当中的春天一样。他就这样把失去了 跟他的联盟的希腊,比作失掉了春天的一年。

    (163)希腊的使节们和盖隆进行了这样的谈判以后,就乘船回去了。但 是,盖隆却害怕希腊人这样不能把异邦人制压下去,而作为西西里僵主的他, 到伯罗奔尼撒去听候拉凯戴孟人的摆布,却又是他认为难堪的无法忍耐的事 情。于是他就放弃在这个方针上打主意,而是采用了另一种办法。当他一听 到波斯人渡过了海列斯彭特的时候,他立刻派一个科斯人、司枯铁斯的儿子 卡得莫斯乘看三艘五十桡船,带着大量的金钱和友谊的讯问到戴尔波伊夫。 卡得莫斯到那里去是为了注视战争的进行情况的:如果异邦军得到胜利,那 就把金钱给他,同时代表盖隆统治的国土把土和水呈献给他:如果是希腊人 得到胜利,那末就把这一切都带回。

    (164)在这之前,这个卡得莫斯曾从他父亲那里继承了科斯的僭主的地 位;虽然这个地位是强大稳固的,可是他却自愿地,并非为危险所迫,而只 是由于正义感,把主权交给了科斯的全体人民,自己则到西面里去。在那里, 隆摩司人把一个叫做臧克列的城市赠给了他,他就定居在那里开拓了一个居 民地。臧克列则改名为麦撒纳。卡得莫斯就这样地来了:盖隆这次所以派他 前来,是因为他从别的事情上便已知道卡得莫斯是一贯公正的。而下面我要 讲的事情,在卡得莫斯一生的许多公正行为当中还不是最差的。盖隆曾把大 宗的金钱委托给他来管理,因此他本来是可以把这笔钱攫为己有的。但是他 不愿这样做,而当希腊人在海战中取得胜利:而克谢尔克谢斯退兵回去的时 候,卡得莫斯自己也就叉带着全部的金钱回到西西里来了。

    (165)不过,西面里的居民却有另一种说法。即甚至如果盖隆受拉凯戴孟 人的统率的话,他仍然会帮助希腊人的。但是喜美拉的僭主、克里尼波斯的 儿子铁里洛斯阻碍了他这样做。原来,铁里洛斯在被阿克拉刚提涅人的君主、 埃涅西戴谟司的儿子铁隆赶出喜美拉之后,就在这个时候,他把一支三十万 人的军队引来进攻盖隆,军队是由腓尼基人、利比亚人、伊伯利亚人、里巨 埃斯人、埃里叙科伊人、萨地尼亚人、科西嘉人组成,统帅是迦太基人的国 王安农的儿子阿米尔卡斯。铁里洛斯所以能说服他这样做部分是由于他们两 个人之间的私谊,但主要的则是由于列吉昂的僭主克列提涅斯的儿子安那克 西拉欧斯的热心帮忙。因为安那克西拉欧斯娶了铁里洛斯的名叫库狄佩的女 儿,故而为了援助他的岳父,他把他自己的孩子作为人质交给阿米尔卡斯并 把他引进了西西里。因此他们说,盖隆由于不能帮助希腊人,就把钱送到戴 尔波伊去了。

    (166)此外,他们又说,盖隆和铁隆在西西里战胜了迦太基人阿米尔卡斯 的那一天,也正是希腊人在撒拉米司击破了波斯人的那一天。这个阿米尔卡 斯从父亲的一方面来说是迦太基人,从母亲的方面来说是西拉库赛人,他是 由于英勇有为才当选为国王的。在双方会战之际,他被打败了,而我听说他 不知去向了。原来盖隆曾到处去搜寻他,可是在世上任何地方都没有看到他, 无论是死的还是活的。

    (167)但是迦太基人自己所述说的故事看来倒还是可信的。按照他们的说法,则异邦人和希腊人在西西里从早晨一直战斗到午后很晚的时候(据说混战就拖了这样长的时候),而在这全部时期里面,阿米尔卡斯都留在他的军营内奉献牺牲,他把整个的牺牲放到大木材堆上浇,想取得吉兆;但是当他看到他的军队溃败下来的时候,他便在向牺牲进行灌奠的时候投身到火堆里去, 这样他就被烧掉而无从看到了。不过,不管阿米尔卡斯象腓尼基人所说那样的消失了,或是象迦太基人和西拉库赛人所说那样地以另一种方式消失了, 迦太基的人们是向他奉献牺牲的,而在他们的殖民地的一切市都为他树立纪念碑。在这些城市里,最大的城市就是迦太基本城。西西里方面的事情,就说到这里了。

    (168)柯尔库拉人对于使节的答复和此后他们所采取的行动是这样的,原 来到西面里去的人们也曾经请求过他们的帮助,这些儿所持的理由也就是曾 经对盖隆讲过的那些理由。柯尔库拉人宣称他们不忍看着希腊遭受亡国之 祸,因而当堤就答应出兵协助,因为假若腊倒下去,那未在第二天他们就一 定也会被变为奴隶,因此他们必须厚最大的努力来进行援助。他们就这样地 作了一个十分得体的答复。可是到他们应该派遣援军的时候,他们却改变了 主意。他们装备了六十只船,经过不少的周折之后才出海,向伯罗奔尼撒一 带的海岸驶去:继而他们在拉凯戴孟人领土上的披洛斯和塔伊那隆的海面上 抛锚,和别的人一样地在那里艰望战争的结果;因为他们对希腊战胜这件事 并不抱着希望,而是以为波斯人方面会取得大捷并成为全希腊的统治者。因 此他们这样做乃是有计划的行动,是为了在事后可以向波斯人说:“国王啊, 当希腊人要我们站在他们的一面参加战争的时候,虽然我们的兵力并不比任 何人少,而且我们又拥有数量仅次于雅典的极多的战船,但是我们却不愿意 抵抗你,也不愿做使你感到不高兴的事情”。他们指望用这样的理由给他们 自己赢得比一般人要有利的地位。而在我看来,事情也会是这样的。可是, 对于希腊人,他们将来也有一套理由可说,而在最后,他们终于用上了这套理由。当希腊人责备他们不把援军派来的时候,他们说他们已经装备了六十只三段桡船,但由于季风的风力而不能绕过玛列亚,因此,他们说,他们才不能来到撒拉米司,而决不是由于怯懦才没有赶上海战的。他们就用这样的 办法,推卸了对希腊人的责任。

    (169)当担负着使命的希腊人到克里地人那里去,想取得克里地人的帮助 时,克里地人是这样做的。他们把使者派到戴尔波伊去,请示他们如果帮助希腊人,这是否对他们有利。佩提亚回答他们说:“愚蠢的人们,过去因你 们援助美涅拉欧司而由米诺斯加到你们人民身上的悲痛,难道你们还觉得不满足吗?想想看,他们不帮助你们为了死在卡米柯斯的米诺斯报仇,可是你 们却帮助他们为了被异邦人从斯巴达劫去的一个妇女报仇。米诺斯要忿怒到什么程度!”克里地人听到了这个神托之后,就不再谈起帮助希腊人的事情 了。

    (170)原来,据传说,当日米诺斯曾为了寻求达伊达洛斯而到今日被你为 西面里的西卡尼亚去,可是他却横死在那里了。紧跟着除波里克涅人和普拉 伊索斯人以外的全部克里地人,便奉神之命偕同一支大军到西卡尼亚去,在 那里他们把卡米柯斯市包围了五年,而在我的时代,在卡米柯斯市住的则是 阿竞拉刚提涅人。但是他们既然不能攻克这座城,也不能等待在那里谈到临 他们头上的饥馑,于是他们就放弃这座城而离开了。但是当他们来到雅庇吉 亚附近的海面上时,他们遇到了一阵猛烈的风暴而被卷到海岸上来了。由于 他们的船只被粉碎了(而且他们看到他们已经没有办法回到克里地去),他们 就在那里建立了一个叙里阿城,定居在里面,这样就从克里地人变成雅庇吉 亚的麦撒披亚人,从岛民变成了大陆居民。他们又从叙里阿市向其他地方殖 民而建立了另一些城市。在这之后很久的时候,增兰提诺伊人曾试图摧毁这 些城市,但是却因此吃了一次惨重的败仗;当时任何人还都没有听说过象对 塔兰提诺伊和列吉昂人那样的一次对希腊人的大屠杀。列吉昂人被杀死的有 三千人,他们是被科依洛斯的儿子米摩托司逼看来帮助塔兰提诺伊人的:至 于塔兰提诺伊人本身死了多少,那就没有记录可查了。米摩托司是安那克西 拉欧斯的一名家仆,他是受托留在那里治理列吉昂的。正是这个人从列吉昂 被放逐并定居在阿尔卡地亚的铁该亚,并把许多像献拾奥林匹亚。

    (171)不拉关于列吉昂人和塔兰提诺伊人的事情,在我的历史中是题外的 话了。然而,根据普拉伊索斯人的说法,这样被弄得杳无人烟的克里地,还 是有人移住到那里去,特别是希腊人。在米诺斯死后的第三代,特洛伊战争 发生了;在这一战争中,克里地人在前来帮助美涅拉欧司的人们当中,就勇 气而论决不是最差的。在这之后,当他们从特洛伊回来的时候,他们以及他 们的家畜遇到了饥馑和疫病,结果克里地竟再一次荒废了。于是第三批的克 里地人来了,现在住在那里的就正是他们和原来残存在那里的人们。佩提亚 要他们记住的就是这件事,这样就阻止了他们去援助希腊人,尽管他们本来 是想要这样做的。

    (172)帖撒利亚人在开头的时候,不是出于自愿而是不得已才站在波斯人 的一方面的,因为他们的做法显然表示出他们对于阿律阿达伊族的企图是不 喜欢的。原来在他们一听说波斯人要渡过海峡进入欧罗巴的时候,他们立刻 把使者派到科林斯地峡去。而从拥护希腊的各城市选派出来的希腊代表们正 为这件事在那里集会商议。帖撒利亚的使节们来到他们这些人这里,就说: “希腊人,为了使帖撒利亚和整个希腊免于战祸,欧林波斯通路是必须防守 的。现在我们就准备和你们一道守卫这个地方,但是你们也必须派遣一支大 军前来;如果你们不派大军前来的话,那你们要晓得,我们就要和波斯人缔 结协定了。要我们单独来防守希腊的前啃地带并为了你们大家而亡国,这是 不合理的事情。如果你们不派兵前来援助,那你们对我们是没有任何约束力 的,因为任何强制是都不能克服无能为力的。至于我们,则我们是要为我们 寻求某种安全之策的”。以上就是帖撒利亚人讲的话。

    (173)于是希腊人就决定由海路派一支陆军到帖撒利亚去守卫这个通 路。军队集合起来以后,他们便乘船通过埃乌里波斯,而在到达阿凯亚的阿罗司的时候,他们就在那里登陆并从那取道赴帖撒利亚,而把船留在原来登 陆的地方了。于是他们就来到了铁姆佩通路,这条通路介于奥林波斯山和欧陡山之间,从下马其顿沿着佩涅欧司河一直通到帖撒利亚。总针大约有一万名重武装的希腊军队在那里扎营列阵,此外,帖撒利亚的骑兵也参加了他们的队伍。统率拉凯戴孟人的将领是卡列诺司的儿子埃岛艾涅托斯,这个人是从波列玛尔科斯当中选出来的,但他本身并不是一个王族。雅典人的将领是尼奥克列斯的儿子铁米司托克列斯。在那里他们只停留了几天;原来从马其顿人阿门塔斯的儿子亚力山大那里来了一些使者,劝他们离开而不要留在那里受到入寇大军的蹂躏。送来的信把水师和陆军的情况也向他们叙述了一 番。希腊人听到了使者们这样的忠告之后(他们认为这个劝告是好的,而马其顿人对他们也是善意的),就按照他们的意见做了。不过,在我看来,是恐惧 的心情才驱使他们这样做的,因为他们听说,在这条通路之外,在上马其顿方面另有一条通路,通过戈恩诺斯城附近佩莱比亚人居住的地方而进入帖撒 利亚;不过克谢尔克谢斯的军队实际上也从这条通路侵入了帖撒利亚。于是 希腊入便登上了船,返回地峡了。

    (174)当他们出兵帖撒利亚的时候,国王正在计划从亚细亚渡海到欧罗 巴,并已经到了阿比多斯。为联盟者所放弃的帖撒利亚人于是就全心全意地 和积极地投到波斯人的那一面去,以致在后来的行动当中,他们表明自己对 于国王乃是最有用的人。

    (175)另一方面,在希腊人回到地峡以后,就参照着亚力山大送来的信集 会到一起商议,他们将如何并在什么地方进行战争。占上风的意见是,他们应当保卫铁尔摩披莱的通路。因为他们认为这条通路比通向帖撒利亚的那条 通路要狭窄的多,同时离他们的本土也比较近。至于在铁尔摩披荣阵亡的希腊人被截击的那条短路,他们根本不知道,这是直到他们来到铁尔摩披莱之后才从特拉奇司人那里知道的。于是他们便决定保卫这条通路,从而阻止异邦人进入希腊,同时他们的水师则出航到希斯提阿伊领的阿尔铁米西昂去。 这些地方是相互接近的,双方面都可以知道另一方面的情况。而它们的形势 则是这样的。

    (176)先说阿尔铁米西昂。广大的色雷斯海到斯奇亚托斯岛和玛格涅希亚 本土中间的地方时,就变成了一条狭窄的水路;这条水路紧接着埃乌波亚地 方的,名叫阿尔铁米西昂的海岸。在那里有一座阿尔铁米司神殿。经过特拉 奇司进入希腊的那条水路,其最狭窄的地方只有半普列特隆竟。然而比起别 的地点来,这里仍然不是最狭窄的地方。象铁尔摩披莱的前面和后面的情形 就是这样:在它后面的阿尔培诺依,那里的宽度只够通一辆车,在它前面, 安铁拉市附近培尼克司河的旁边,也只能短过一辆车。在铁尔摩披莱以西, 有一座无法攀登的和十分陡峭的高山,这乃是属于欧伊铁山系的一座山峰。 在路的东面,则是一片沼地与海洋了。在这个通路的地方,是当地的人们称 为库特洛依(它的意义是锅——译者)的一个温泉,在那里江有海拉克列斯的 一个祭坛。在这条通路上,曾修造了一道壁垒,而先前在这上面还有关门。 这道壁垒是波奇司人由于害怕帖撒利亚人才修造起来的,原来那时帖撒利亚 人曾从铁斯普洛托伊人的地方出来,移居到他们现在占有的爱奥里斯的土 地。既然帖撒利亚人总想征服波寄司人,波奇司人便采取了这样的一个预防 的措施。此外,他们又想一切对策来阻止帖撒利亚人入侵他们的国上,于是 便把温泉的水引到这个通路上来,为的是使那条通路上的一些地方给水流所 切断。原来的壁垒是很久以前建造起来的,而时光现在已经使它的大半成为 废墟了。现在它已经重建起来,以便截阻异邦人进入希腊的道路。在离道路 极近的地方有一个叫做阿尔培诺依的村庄,希腊人便指望他们可以从那里取 得粮食。

    (177)这样,希腊人便认为以上的地方是符合于他们的需要的地方。因为 在他们事先进行了全面考虑之后,他们认为异邦人既不能利用他们的人多势 众,又不能利用他们的骑兵,于是他俩便决定在这里邀击入寇希腊的敌军。 而在他们听到波斯人进入披埃里亚的时候,他们就在科林斯地峡的地方分了 手,一部分从陆路开向铁尔摩披莱,一部分从海路驶向阿尔铁米西昂去了。

    (178)希腊人就这样地十万火急地分头迎击敌人去了。但正在这时,为了 本身以及为了希腊而深为惊恐不安的戴尔波伊人去请示神托,而神对他们的宣托则是要他们向风祈求,因为风是希腊的极为有力的联盟者。戴尔波伊人得到了神托之后,便首先把信送到想得到自由的希腊人那里去。这些十分害怕异邦人的人们对于送来的这个讯,是一直都感激不尽的。随后,他们便在 图依亚的地方建立了一个祭风坛,图依亚这地方是因凯佩索司的女儿图依亚而得名的,而且在那里还有她的一个圣域。他们继而向风奉献了牺牲。这样, 戴尔波伊人为了顺从神的意旨,直到今天还是向风奉献牺牲以讨它的欢心的。

    (179)在这方面,克谢尔克谢斯的水师离开了铁尔玛,十艘最快速的船一直开向斯奇亚托斯,而那里则有三只希腊船在放哨了望,这三只船一只是特罗伊真的;一只是埃吉纳的,一只是阿提卡的。它们看到异邦人的船来到的时候,就逃走了。

    (180)普列克西藉斯指挥下的那只特罗伊真的船受到异邦军的追击并很 快地被捕获了。异邦人于是把船上最漂亮的士兵拉到船头的地方给杀死了, 因为俘获来祭献的第一个希腊人最漂亮,这在他们看来乃是一种吉兆。这个 被祭了刀的人,他的名字是列昂(在希腊语里意思是狮子)。他遇到 这样的事情,这恐怕跟他的名字是有关系的。

    (181)但是,阿索尼戴斯所率领的那只埃吉纳的三段桡船,却看实给他们 增加了一些麻烦。船上的一个战士,伊司凯藉斯的儿子披铁阿斯在那天是战 斗得最英勇的人物。在他所乘的船已被拿捕的时候,他还是继续奋战,直到 他遍体鳞伤的时候。当他倒下的时候,他还没有死,而还有活气,船上的波 斯士兵佩服他的勇敢,因此用一切办法拯救他的性命,他们用没药的药膏医 治他的伤口并用亚麻的绷带把他包扎起来。而当他们回到自己营地的时候, 他们使全军都来看他,他们极口赞赏和厚待他。可是他们把那只船上俘获的 其他人等,却全部当做奴隶使用了。

    (182)这样,两只船就被拿获了。可是雅典人波尔莫司统率的第三只三段 桡船却逃到佩涅欧司河河口的地方,在那里登陆跑掉了。异邦人得到了船身, 却没有捉到上面的人。原来雅典人在他们把船只拖到陆上之后,立刻就跳了 出来,穿过帖撒利亚一直向雅典奔去了。

    (183)驻守在阿尔铁米西昂的希腊人从斯奇亚托斯的烽火而知道了发生 的这些事。知道这些事之后他们惊慌起来,于是他们便把他们的投锚地从阿 尔铁米西昂移转到卡尔启斯,打算保卫埃乌里波斯,同时又把哨兵派驻于埃 岛波亚的高地。十只异邦船当中有三只一直到了斯奇亚托斯和玛格涅希亚之 间的称为米尔美克司(意为蚂蚁)的暗礁地带。于是异邦人便把一个 石柱运到这里来,把它树立在暗礁上面。而当他们把路途上的一切障碍都清 除了之后,全部水师就出发离开了铁尔玛,这时去国王离开铁尔玛的时候已 经有十一天了。给他们指出正好在他们的航路上面的暗礁的人,是司奇洛斯 人帕姆蒙。整天都在海上行进着的异邦军的水师,到达了玛格涅希亚的赛披 亚斯以及在卡司塔纳伊亚市和赛披亚斯仰之间的海岸地带。

    (184)直到这个地方和铁尔摩披莱,全军都没有受到损害。根据我个人的 计算,军队的人数在当时还是这样的。从亚棚亚来的船有一十二百零七只, 原来在这些船上的各个民族的人数、假定每只服上有二百人(一艘希腊三段桡船的成员通常是二百人,桡手一七○人,战士三○人),则是二十四万 一千四百人。在所有这些船上,除去每只船上的各地的地方士兵之外,都有 三十名波斯人、美地亚人和撒卡依人,这样就得再加上三万六千二百一十个 人。在这两项人数之外,我还得再加上五十桡船上的士兵。我假定他们每只 船上是八十人;当然这个数目也可能多些也可能少些。前面已经说过,这样 的船一共集合了三千只,这样,上面的人员就得是二十四万了。这些人都是 乘船从亚细亚来的,他们的总数是五十一万七千六百一十人。步兵的人数是 一百七十万人,骑兵的人数是八万人。在这之外,我要加上阿拉伯的骆驼兵 和利比亚的战车兵,估计他们有两万人。因此,如果把水师和陆军的人数加 到一起的话,则他们的总数就是二百三十一万七千六百一十人了。我上面所 说的,就是从亚细亚本部来的兵力,至于随军的勤杂人员和运粮船以及上面 的人员,尚不计算在内。

    (185)但是,除去我在前面所计算的大军人数之外,还得把从欧罗巴带来 的大军加到这上面,但计算时必需只能以我个人的测度为限。色雷斯和色雷 斯附近海上诸岛的希腊人提供了一百二十只船。这些船上的人员算起来应当 是两万四千人。所有各个民族,那色雷斯人、派欧尼亚人、埃欧尔地亚人、 波提阿人、卡尔奇底开人、布律戈依人、披埃里亚人、马其顿人、佩莱比亚 人、埃尼耶涅斯人、多罗披亚人、玛格涅希亚人、阿凯亚人、色雷斯沿岸地 带的居民等,我假定这些民族的全部人数是三十万人。把这些人和从亚细亚 来的人加到一起,则士兵的总数就是二百六十四万一千六百一十人了。

    (186)以上便是士兵的全部人数了。至于随军的杂务人员和运粮小船上的 人员以及随军的其他船舶上的人员,则我以为他们不是比士兵少,而是比士 兵还要多。但是假定他们和士兵的人数相等,不多也不少。这样,他们的人 数等于士兵,因而也就同样是好几百万人了。这样看来,大流士的儿子克谢 尔克谢斯一直率领到赛披亚斯岬和铁尔摩披莱的全军人数就是五百二十八万 三千二百二十人了。

    (187)这就是克谢尔克谢斯麾下的全部兵力。可是,谁也不能确实说出厨 妇、侍妾、阉人到底有多少人;任何人也说不出到底还有多少拖畜、驮畜以 及从军的印度狗,因为它们的数目太大了。因此,说有一些河流的水都给弄 干了,这在我看来并不是值得惊讶的事情。使我感到惊讶的勿宁说是这样一 件事实,怎样竟能够有足够的粮食来应付数百万人的食用。因为我计算了一 下就发现,如果每个人每天吃一科伊尼库斯的麦子而不更多的话,则每天的 消费量就是十一万又三百四十美狄姆诺斯。在这里我还没有把妇女、阉人、 驮畜和狗所消耗的粮食计算在内。在这数百万的人们当中,就容貌和身材而 论,没有一个人是比克谢尔克谢斯本人更有资格来统率全军的。

    (188)解纜的水师在海上行进,这样便来到了玛格涅希亚领土的卡司培纳 伊亚市和赛披亚斯岬之间的海岸;先来的船停舶在岸旁,后面的船就在外面 投锚了。原来这一带的海滨并不宽,这些船就船头朝着海,排成八列。在那 一夜里,就是这个样子了。但是到天明的时候,明净而晴朗的天气变了,大 海开始沸腾起来。他们遇到了夹着一阵猛烈的东风的大风暴,当地的人们称 这样的东风为海列斯彭提亚斯。在他们当中,凡是那些预见到暴风的来势、 以及所处的位置使他们能够这样做的人们,这些人便把船拖到岸上,因此没有给暴风赶上,这样就把自己和船舶都保全了。可是在海上遇上了暴风的船 舶,有的被卷到佩里洪的被称为伊普诺伊(意为灶)的山麓的地方, 有的被卷到岸上去。有的就在赛披亚斯岬那里撞碎,有的被卷到海里波伊亚市,有的被卷到卡司塔钠伊亚的岸上去了。老实说,这场暴风实在是无法抗 拒的。

    (189)有一个传说说,雅典人曾遵照着神托的吩咐祈求波列阿斯帮助他 们,因为另有一个神托送到他们那里去,要他们向他们的女婿求援。根据希 腊人的说法,波列阿斯曾娶一个阿提卡的妇女为妻,这个妇女就是埃列克铁 乌斯的女儿欧列图姬。如果相信这个传说的话,则正是由于这种婚姻的关系, 雅典人才推断波列阿斯是他们的女婿,而当着他们停驻在埃乌波亚的卡尔启 斯而看到暴风就要起来的时候,也许是在这之前,他们便奉献了牺牲,被告 波列阿斯和欧列图娅,就和先前在阿托斯山附近的情况一样,来帮助他们摧 毁异邦军的船舶。不过我不能断定,这是否就是波列阿斯裴击停泊中的异邦 军的原因。无论如何,雅典人说波列阿斯在先前帮过他们的忙,现在又显示 出这样的威灵,因此在他们回国以后,就在伊利索司河河畔,为波列阿斯修 造了一座神殿。

    (190)在这次的惨祸里面,即使根据作最低估计的人的算法,也损失了不 下四百只船,无数的人以及莫大数量的物资。以致在赛披亚斯一带拥有土地 的一个玛格涅希亚人,克列提涅斯的儿子阿米诺克列斯竞由于这次的船祸而 大发横财。因为在事后不久他便拾到了许多被冲到岸上来的金银杯盏,他找 到了波斯人的宝器,此外他还取得了笔墨难以尽述的财富。尽管他幸运地发 了大财,他并不是在一切方面都是幸福的,他遭到了可悲的灾难:他的儿子 被人杀死了。

    (191)被毁的运送食粮的船舶以及其他船舶,那就越发不可胜数了。因 此,水师提督们由于害怕他们这些遇到这样灾难的人会受到帖撒利亚人的袭 击,便把残破的船材筑成高高的壁垒把自己围绕起来了。暴风一共持续了三 天。最后,玛哥斯僧行了牺牲之礼,对大风念了镇风的咒语,又向帖提司和涅列伊戴斯(涅列欧司的女儿们)奉献了牺牲,这才算使它在第四天停了下来,或者这也并不是他们的力量,而是暴风自己停了下来的。他们向 帖提司奉献牺牲是由于听伊奥尼亚人说,原来她就是从这个地方给佩列欧司 带走的,而赛披亚斯岬一带便都是属于她以及其他涅列伊戴斯的。

    (192)这样,到第四天,暴风就停下来了。在暴风刮起之后的第二天,了 望者就从埃乌波亚山上跑了下来,把船舶遇难的全部经社报告给希腊人了。 希腊人听到这件事之后,就向他们的救命恩人波赛东祈祷并行灌奠之礼,然 后火速地赶回阿尔铁米西昂去,因为他们认为只会留下少数的船和他们对抗 罢了。这样他们便再一次回到阿尔铁米西昂并碇泊在那里。从那时起直到今 天,他们都把波赛东的名字上面加上救主的头衔。

    (193)在另一方面,当暴风停了下来而波浪也不再翻腾的时候,异邦军就 放船出海沿着本土的海岸驶行,他们在转过玛格涅希亚海岬之后,便一直驶 入了连接到帕伽撒依方面的海湾。在玛格涅希亚的这个海湾之内有一块地 方,相传海拉克列斯和雅孙以及他的同伴们乘船出海到科尔启斯的埃阿去取 金羊毛的时候,他曾被他们从阿尔哥号船派了出来到这块地方取水并被他们 抛弃在这里。原来他们是打算在这里取得水之后,再乘船出海的。因此那块 地方就被称为阿佩泰。而克谢尔克谢斯的大军就正是在这个地方投锚的。

    (194)在那些船当中有十五只,是在其余的船以后很久才出海的,他们适 巧在阿尔铁米西昂看到了希腊的船。但异邦军把这些船认成是他们自己的 船,于是就把自己的船驶到他们敌人中间去了。他们的统帅是爱奥里斯的库 麦的太守,塔玛希欧斯的儿子桑多开斯;这个桑多开斯过去在他担任王室法 官的时候,曾有一衣因为犯了下述的罪行而被国王大流士所拿捕并判处以磔 刑。原来他曾因受贿而作出了不公正的判决。但是当桑多开斯被吊到十字架 上去的时候,大流士忖量了一番,结果发现他对王室的功劳比他的过错要大。 国王既然看到了这一点,因此觉得他的行动与其说是聪明却勿宁就是冒失, 于是便把桑多开斯释放了。这样,他就从大流士所判处的死刑之下保全了自 己的性命。但是现在他驶到希腊人当中来,他是不能第二次逃命了。原来当 希腊人看到波斯人驶近他们的时候,他们看出来这是波斯人弄错了,于是他 们就乘船出海,不费什么气力就把他们俘获了。

    (195)在这些船的一只船上,卡里亚的阿拉班达的僭主阿利多里司被擒 了;在另一只船上,帕波斯的提督,戴谟诺扁斯的儿子潘图洛斯被擒了。他 从帕波斯带出来的船是十二只,在赛披亚斯岬附近海上的暴风中损失了十一 只,而他就在乘看剩下的那一只船到阿尔铁米西昂去的时候被擒了。希腊人 对这些人进行了讯问,从而知道了他们所愿意知道的、有关克谢尔克谢斯的 军队的一切情况,然后就把他们捆绑起来,送到科林斯地峡去了。

    (196)这样,异邦军的水师,除去我上面所说的由桑多开斯所率领的那十 五只之外,就全部到达了阿佩泰。在这一方面,克谢尔克谢斯和他的陆师行 过了帖撒利亚和阿凯亚。这从他们侵入玛里司人的土地以来,已经是第三天 了。在帖撒利亚,他举行了一次本国骑兵的比赛会,他这样做也是为了利用 这个机会试一试帖撒利亚骑兵的身手,因为他听说帖撒利亚的骑兵是希腊无 敌的。比赛的结果发现,希腊的马要差得远。在帖撒利亚的河流当中,能有 足够的水供拾他的军队饮用的,只有一条欧诺柯挪斯河。但是在阿凯亚。即 使是那里最大的河即阿披达诺斯河的河水也是几乎无法应付的。

    (197)当克谢尔克谢斯到达阿凯亚的阿罗司的时候,他的响导们为了想把 他们所知道的一切都告诉他,就把当地有关宙斯·拉披司提欧斯神殿的一个 传说告诉给他:阿依欧洛司的儿子阿塔玛斯怎样和伊挪密谋想杀害普利克案 斯,后来阿凯亚人又怎样依照神托的吩咐,强迫普利克素斯的子孙们遵守若 干处罚性的规定。这就是,他们不许这一族中最年长的人进入市公所(阿凯亚 人称市公所为勒伊通),而他们自己就在那里监视着。如果他进去的话,除非 他被作为牺牲奉献,他是不能出来的。此外响导们又说,这些人当中有多少 人就要被当作牺牲奉献了,却在恐惧中逃到外国去,但如果他们过了若干时 候回国,而被发现曾进过市公所的话,响导告诉说,这样的人怎样全身拾披 上花彩,并在盛大行列的引导下给当作牺牲去奉献。普利克索斯的儿子库提 索洛斯的后人们就受到了这样的待遇,原来当阿凯亚人遵照着一个神托的吩 咐用阿依欧洛司的儿子阿塔玛斯来为他们的国家赎罪的时候,这个库提索洛 斯却从科尔启斯的埃阿来把他释放,因此这就使神把自己的怒气发泄到他的 后人的身上了。克谢尔克谢斯听了这一切之后,在他来到圣林的时候,他自 己就不进去并且命令全军也这样做。他是尊敬阿塔玛斯的后人的住宅和圣域 的。

    (198)以上就是克谢尔克谢斯在帖撒利亚和在阿凯亚的所作所为。他从这 些地方沿着一个海湾进入了玛里司,而在这个海湾的地方,每天是都有潮水 涨落的。临着这个海湾有一块平原,这块平原地带有的地方宽阔,有的地方 又非常狭窄;在它的四周是高不可攀的山,环绕着全部玛里司地方,称为特 拉奇司岩。而从阿凯亚出发,在这个海湾上遇到的第一座市邑就是安提库拉; 在它的近旁,司佩尔凯欧斯河从埃尼耶涅斯人的国土流出而注入大海。在离 河大约二十斯塔迪昂的地方,有另一条叫做杜拉司的河流,这条河据说是在 海拉克列斯被焚时,为了帮助他从地下冒出来的。从这里再有二十斯塔迪昂 的地方又有一条河,称为美拉司(意为黑河)

    (199)特拉奇司市离这个美拉司河有五斯塔迪昂远。在大海和山之间特拉 奇司所在的地方,是这一带最为宽阔的地方了;这块平原的面积是二万二千 普列特隆。在环绕着特拉奇司的土地的山中,在特拉奇司的南部有一道狭谷。 而阿索波司河就沿着山麓流过了这个狭谷。

    (200)在阿索波司河的南方又有一条名叫培尼克司的小河,这条小河就是 从那些山里流入阿索波司河的。在这条河的附近有一个最狭窄的地方,那里 只修了一条仅能通过一辆车的道路。从培尼克司河到铁尔摩披莱有十五斯培 迪昂远。在培尼克司河与铁尔摩披莱之间,有一个名叫安铁拉的村落,过去 这个村落之后,阿索波司河便流入了大海。在那个村落附近,地方是广阔的; 那里有阿姆披克图欧尼斯·戴美特尔的神殿,同时还有阿姆披克图欧涅斯(直译是周边居民。相邻的部落结成联盟并派代表(披拉戈拉斯)参加一年举 行两次的会议。见第二卷 第一八○节)的座席和阿姆披克图昂本人的神殿。

    (201)于是,国王克谢尔克谢斯便在特拉奇司的玛里司扎营,而希腊人则 在隘路中设营。大多数的希腊人称他们所占居的这个地方为铁尔摩披莱,但 是当地人和他们的邻人则称之为披莱。于是两军就在这样的地方设营了,一 方面(指克谢尔克谢斯)控制了特拉奇司以北的全部地区,而另一方 面(指希腊人——译者)则控制了本土在此以南一直到海岸方面的地区。

    (202)在那里等候波斯人的希腊人是这样的一些人。斯巴达的重武装兵三 百名;铁该亚人和曼提涅亚人一千名,双方各占一半;从阿尔卡地亚的欧尔 科美诺斯来一百二十人,从阿尔卡地亚的其余的地方来一千人;除去这些阿 尔卡地亚人之外,从科林斯来四百人,从普列欧斯来二百人,从迈锡尼来八 十人。以上都是从伯罗奔尼撒来的人。从贝奥提亚来的则是铁司佩亚人七百 名,底比斯人四百名。

    (203)在这些人之外,又召来了欧普斯的罗克里斯人的全军和一千名波奇 司人。希腊人是自动把这些人召来帮忙的,他们把使节派出去告诉这些人说, 他们自己是作为其余人的先锋而来的,而其他联盟者的到来则是他们每天盼 望着的事情;又说他们已经把海严密警戒起来了,担任守卫的是雅典人、埃 吉纳人和被配置在水师中的所有其他的人们。他们认为他们没有可以害怕 的,因为进攻希腊的不是神,却是一个凡人,决没有,也决不会有一个凡人 在生下来的时候命中不注定要参杂着一些不幸的事情,而越是大人物,他遭 到的不幸也就越大。因此,向他们进攻的既然不过是一个凡人,则他不能实 现他的期望,那便是确切不移的事情了。罗克里斯人和波奇司人听到这话之 后,就到特拉奇司来帮助希腊人了。

    (204)所有这些人每一个城邦都备有自己的将领。其中最受尊敬的全军统 帅是拉凯戴孟人列欧尼达司。如果回溯他的系谱,则是阿那克桑德里戴斯、列昂、优利克拉提戴斯、阿那克桑德罗斯、优利克拉铁斯、波律多洛司、阿 尔卡美涅斯、铁列克洛司、阿尔凯拉欧斯、海吉西拉欧斯、多律索斯、列欧 波铁司、埃凯司特拉托司、阿吉斯、埃乌律司铁涅斯、阿里司托戴莫斯、阿 里司托玛科斯、克列奥达伊欧斯、叙洛斯、海拉克列斯。他是斯巴达王,虽 然这一点是出乎他意料之外的。

    (205)原来他有两个哥哥克列欧美涅斯和多里欧司,因此他根本就不去想 做国王的事情了。但是当克列欧美涅斯没有男系的后嗣便死去,多里欧司也 在西西里死亡因此不在人世,结果列欧尼达司便翰上了王位,因为他比克列 欧姆布洛托斯年长(这是阿那克桑德里戴斯的幼子),此外他又娶了克列欧美 涅斯的女儿为妻。这个人这时按照规定率领着有于嗣的三百名精兵来到了铁 尔摩披莱,他还率领着我上面列举了数目的底比斯人,这些底比斯人的统帅 是埃乌律玛科斯的儿子列昂提亚戴斯。在所有的希腊人当中,列欧尼达司所 以特别想把这些底比斯人带来,是因为底比斯人经常受到黄难,说他们同情 美地亚人。于是他把他们召来作战,因为他想了解一下他们是否肯派人随他 出征还是公然拒绝参加希腊人的联盟。 他们结果是把自己的人派出来了,不过却是别有用心的。

    (206)斯巴达人最初先派出了和列欧尼达司一道出发的这些士兵,这样做 是为了使其他的联盟者也学他们的榜样去作战,同时也是为了使其他的联盟 者不致投到美地亚人方面去,因为,假如他们知道斯巴达人耽搁了的话,这 些人是有可能这样做的。但是后来,由于卡尔涅亚祭一时成了他们的障碍, 他们便打算在卡尔涅亚祭举行完毕之后,就把一支卫戍部队留在斯巴达,然 后立刻全军火速开拔。其他联盟者也打算这样做。原来奥林匹亚祭也正是在 进行这些事情时举行的。因此,他们既然不认为铁尔摩披莱之战役快地便可 分出胜负,故此他们就派出了先锋的部队。

    (207)以上就是他们想做的事情。可是铁尔摩披莱的希腊人,在波斯军迫 近他们的隘路路口的时候却惊惶起来,于是就讨论起他们是否应当撤退的问 题来了。其余的伯罗奔尼撒人主张退到伯罗奔尼撒去保卫科林斯地峡。但是 波奇司人和罗克里斯人对这个意见感到非常气愤,而列欧尼达司则主张留在 他们原来的地方并送信到各个城市去请求援助,因为他手下的人太少了,这 是无法和美地亚的大军相抗衡的。

    (208)正当他们这样讨论的时候,克谢尔克谢斯派了一名骑马的探卒前来 看他们有多少人和他们正在做什么。原来当他还在帖撒利亚的时候,他便听 说有一小支军队集结在这里,而统率它的是拉凯戴孟人,其中有海拉克列斯 的后裔列欧尼达司。这个探卒策马驰近营地,侦察了望一番,然而他不能全 部都看到,因为在他们重建并加以防守的壁垒内部的那些人,他是不可能看 到的。不过,外面的那些人他是看清楚了,这些人的武器都堆积在壁垒的外 面,而这时驻在外面的又恰巧是拉凯戴孟人。他看到有一些人在那里作体操, 有一些人在梳头发。看了这种情况他是很惊讶的,他把他们的人数记下来之 后,便平安无事地乘马返回了,不但没有人追他,根本没有人理会他。于是 他便回来,把所见到的一切都告诉克谢尔克谢斯了。

    (209)当克谢尔克谢斯听到这话的时候,他并不能了解到事情的真相,即 他们(指拉凯戴孟人——译者)正在准备尽最大的努力去杀敌,否则即宁肯被 杀死。在他看来,他们这样做是可笑的。于是他便派人把在他的军营中的阿 里司通的儿子戴玛拉托斯召了来,而在戴玛拉托斯来到之后,他便就所有这 些事情向戴玛拉托斯垂询,问他如何理解拉凯戴孟人这样做的用意。于是戴 玛拉托斯说:“在我们出发征讨希腊的时候,我已经向你谈起过这些人了; 可是在你听了之后,你却嘲笑我,尽管我向你所说的,都是在我看来显然是 会发生的事情。国王啊,在我来说,首先尽力要做到的,就是在你的面前讲 老实话。因此,现在我就向你再来陈说一遍。这些人是为了这条通路前来和 我们作战的,而他们现在就正在准备这一战争。原来每当他们将要冒生命危 险的时候,他们习惯上总是要整理他们的头发的。此外,我还要告诉你,如 果你把这些人和留在斯巴达的那些人征服,国王啊,那末人关当中就再也没 有别的人敢于和你对抗了。现在要和你交战的是全希腊最杰出的王国和城邦 和最英勇的人们”。可是,克谢尔克谢斯以为上面所说的这话是极不可信的, 并进而问戴玛拉托斯他们这样少数一些人怎么能和他的军队相抗衡。戴玛拉 托斯回答说:“国王啊,如果事情的结果和我所说的不符,那就请把我当作 一个撒谎的人来看待吧”。

    (210)尽管这样讲了,戴玛拉托斯仍然不能把克谢尔克谢斯说服。国王在 那里等候了四天,一直期望着他们会逃跑。可是到第五天,他看到他们并未 退却并以为他们留在那里只不过是无耻和愚蠢,因此便震怒起来并把美地亚 人和奇西亚人派了出去,命令他们生擒敌人并将敌人带到他的面前来。美地 亚人冲到前面向希腊人挑战,结果死了许多人,另一些人接上去进攻,他们 虽然遭受了惨重的损失,却还没有被击退。而且他们明显地向所有的人,特 别是向国王本人表示,他们的人数虽多,可是其中顶事儿的人都是很少的。 战斗整天都在进行着。

    (211)既然美地亚人受到这样的痛击,于是他们就退出了战斗,国王称之 为“不死队”、由叙达尔涅斯率颁的波斯人代替他们上阵。人们认为至少他 们是很容易把这堤战斗解决了的。可是当他们交上手的时候,他们一点儿也 不比美地亚军高明而是一模一样,原来他们在狭路里作战,又使用比希腊人 要短的枪,因此他们无法利用他们在数量上的优势。可是拉凯戴孟人的作战 方式却大有值得注意的地方。他们的战术要比对方的战术高明得多。在他们 的许多战术当中有一种是他们转过身去装作逃跑的样子。异邦军看到这种情 况就呼啸着并鸣动着武器追击他们,可是当他们眼看要给追上的时候,他们 就回转身来向异邦军反攻,这样一反攻,就把无数的异邦军杀倒在地上了。 这时斯巴达人当然也有被杀死的,不过人数很少。这样一来,波斯人发现他 们不拘列成战斗队形或用任问其他办法进攻都丝毫无法攻占隘路,他们只得 退回来了。

    (212)在进行这些次攻击的时候,据说眺望到这一切的国王由于替自己的 军队担忧,曾三次从王座上跳下来。当时他们的战斗结果就是这样了。第二 天,异邦军的战果并不比第一天好些。他们接战的时候,满以为敌人的人数 这样少,又是伤痕累累,再也无法和他们对抗了。可是希腊人却接着队伍和 民族列阵,依次出战,只有波奇司人是例外,因为他们被配置在山上把守着 通路。因此,当波斯人看到希腊人和前一天的情况毫无改变的时候,他们就 撤退了。

    (213)对于当前面临的事态,国王感到手足无措了。于是一个玛里司人, 埃乌律戴谟斯的儿子埃披阿尔铁司便来见他,告诉他经过山而通向铁尔摩披 莱的那条道路,打算从克谢尔克谢斯那里取得一笔重赏。这样一来,留在铁 尔摩披莱的希腊人就毁在他的手里了。这个埃披阿尔铁司后来由于害怕拉凯 戴孟人而逃到帖撒利亚去。当阿姆披克图欧涅斯在披莱集会的时候,披拉戈拉斯(见本卷第 200 节注释)曾悬赏逃亡中的埃披阿尔铁司的首级。在这之后若干时候,他回到安提 摩拉之后,却被一个名叫阿铁纳迭斯的特拉奇司人杀死了。这个阿铁纳迭斯 杀死埃披阿尔铁司是另有原因的,这原因我将要在我的历史的后面提到。虽 然如此,他仍然因这一行动而受到拉凯戴孟人的尊敬。后来埃披阿尔铁司丧 命的经过就是这样。

    (214)此外还有一个传说说,向国王报告了上面的话并且把波斯人引过了 山的人是一个卡律司托斯人,帕纳戈杭司的儿子欧涅铁斯和安提库拉人科律 达罗斯。但是在我看来,这是完全不可信的。因为,首先,我们必须从希腊 人的披拉戈拉斯的所作所为来进行推论,他们所悬赏的不是欧涅铁斯和卡律 司托斯的头颅,而是特拉奇司人埃披阿尔铁司的头颅。因而我俩必须假定, 他们是会用一切办法来取得确实情报的。其次,我们晓得,埃披阿尔铁司正 是由于这个理由而亡命的。不过不能否认的是,纵然欧涅铁斯不是一个玛里 司人,如果他经常到那里去,他也是会知道道路的。可是把他们由那条道路 领过了山的人却是埃披阿尔铁司,而我认为犯了罪的正是这个人。

    (215)克谢尔克谢斯对于埃披阿尔铁司所答应为他做的事情深感满意。他大喜过望,因而立刻把叙达尔涅斯和叙达尔涅斯麾下的士兵派了出去。大约在掌灯的时刻,他们便从营地出发了。这条道路原来是当地的玛里司人所发现的,他们发现了这条道路后,曾当波奇司人在路上修筑壁垒以防御进攻的 时候,循看这条路引导着帖撒利亚人去征讨波奇司人。因此,早从那个时候起,玛里司人就觉得这条道路完全无用了。

    (216)而这条通路的形势是这样的。它的起点是在峡谷中间流着的阿索波 司河。那里的山和道路的名字都叫做阿诺佩亚,而这个阿诺佩亚便随着山脊 蜿蜒而行,直到离玛里司人最近的一个罗克里斯人的城市阿尔培诺斯的地 方。在那里有一块被称为美拉姆披哥斯(意为黑色的臀部)的石头以 及凯尔科佩司的遣迹,而这里是道路的最狭窄的地方。

    (217)道路的情况就是这样。在波斯人渡过了阿索波司河之后,他们便沿 着这条道路走了一整夜,右手是欧伊铁人的山,左手是特拉奇司人的山。到 天明的时候,他们到达了山顶。我刚才已经说过,在山路的这一部分,有一 千名波奇司的重武装兵保卫着他们自己的国士和守备着这条通路。下面的那 一部分山路是由我已经说过的那些人看守看的,但是山上的路却由波奇司人 看守着,因为他们曾自动向列欧尼达司保证担负这样一个任务。

    (218)波斯人所攀登的山,上面满长着槲树,因此波奇司人丝毫也不知道 波斯人的到来,直到在宁静的气氛当中,敌人脚下踏着叶子发出了很大的声 音,他们才注意到这一点;于是他们便跳了起来,赶忙把武器拿了起来。可 是,说时迟那时快,敌人已经来到跟前了。这些人在看到武装的人们时是感 到惊讶的,因为他们满以为不会有人和他们相对抗,但现在却不意地遇到了 一支军队。叙达尔涅斯害怕波奇司人是拉凯戴孟人,于是问埃披阿尔铁司这 些人是哪个地方的人。等他知道了真实情况之后,他便把波斯人排列成阵准 备战斗了。波奇司人受到象雨点那样的箭的射击,心中又以为波斯人首先耍 攻击的正是他们,于是他们就逃到山顶上去并准备战死在那里。这便是他们 的想法。但是跟埃披阿尔铁司和叙达尔涅斯在一起的波斯人并不去理会波寄司人,却赶快地跑下山来。

    (219)至于在铁尔摩披莱的希腊人,则他们首先受到了占卜师美吉司提亚 斯的警告。美吉司提亚斯在检查了牺牲之后,曾预言天明时他们要遭到的死 亡;随后,还在夜里的时候,又有对方的一些投诚者前来,报告了波斯人的 迂回。而最后,正在破晓的时候,从山下跑下来的侦察兵也带来了同样的情 报。于是希腊人便集会商议,但他们的意见是分歧的。有的人主张他们不应 离开他们的驻地,另外一些人则反对这样做。在这之后不久,他们便分散了。 一部分人离开他们的驻地,各自返回自己的城邦去了,再有一部分则决定和 列欧尼达司一道留在他们原来的驻地。

    (220)诚然,据税是列欧尼达司本人把他们遣送走的,为的是关心他们, 不愿他们在那里丧命,但是他认为他本人和斯巴达人却不应当离开他们最初 前来保卫的阵地。可是在我看来,则我的意见勿宁是这样,即当列欧尼达司 看到联盟者的情绪消沉下去并不愿和他一同冒险的时候,他便打发他们自各 回去了,但撒退对他本人来说却是不光荣的事情。另一方面,如果他留在那 里的话,他便可以将大名传留于后世,而且斯巴达的繁荣幸福也便不致被抹 杀了。原来在开头之陈斯巴达人就这一战争向神托请示的时候,佩提亚曾向 他们预言说,或者是拉凯戴孟被异邦人所摧毁,或者是他们的国王死掉。神 托是用六步格的诗说出来的,内容是这样:哦,土地辽阔的斯巴达的居民啊, 对你们来说,或者是你们那光荣、强大的城市毁在波斯人的手里,或者是拉 凯戴孟的土地为出自海拉克列斯家的国王的死亡而哀悼。 因为牡牛和狮子的力量都不能制服你们的敌人,他有宙斯那样的力量, 而且他到来时你也无法制止,直到他取得二者之一,并把它取得的东西撕成 粉碎。因此我以为,列欧尼达司考虑到这些事情并且想只为斯巴达人取得荣 誉,他才把联盟者送走,而不愿意弄到那些走的人离开这里是由于闹了意见 之后而产生的不愉快的结果。

    (221)就这件事而言,下述的情况我认为是我的一个非常有力的证据,即 曾根据牺牲向希腊人预言过他们要遭到怎样的命运的那个号称是美拉姆波司 的后裔的阿卡尔那尼亚人美吉司提亚斯毫无疑问曾给列欧尼达司送了回来, 为的是不使他和其余的人同归于尽。虽然受到了这样处理,美吉司提亚斯却 不愿意离开。他只把在审中的他的一个独生子遥了回去代替他。

    (222)这样,被送还的联盟军就遵照着列欧尼达司的意思离开了。和拉凯 戴孟人一道留在那里的只有铁司佩亚人和底比斯人。诚然,底比斯人留在那 里并非出于自愿,也不是出自他们的本心,因为列欧尼达司是把他们作为人 质扣留在那里的。但铁司佩亚人却是自愿的,因为他们拒绝离开和把列欧尼 达司以及他麾下的人们丢在那里,而是留在那里和他同死。铁司佩亚人的统 帅是狄雅多罗美斯的儿子戴谟披罗斯。

    (223)克谢尔克谢斯在日出之际行了灌奠之礼之后,等到市场上大约人最多的时候(大概在早上十点钟),便开始了他的进攻。他是接受了埃 披阿尔铁司的意见才这样做的,因为从山上向下面出击比较便捷,而且道路 比繞山和攀山要近的多。克谢尔克谢斯和他麾下的异邦军就是这样进击的, 但是列欧尼达司麾下的希腊军是抱着必死的决心的,现在他们是比以前要远 得多地来到狭谷的更加宽阔的地带来了。原来在这之前,他们一直在保卫看 垒壁,而在所有过去的日子里,他们也都是退守在狭路里面在那里作战的。 但现在他们是从狭谷里面出来和敌人作战了。异邦军在那里被杀死的很多。 异邦军的官长们拿着鞭子走在部队的后面,抽打军队使之前进。异邦军当中 许多人掉到海里去淹死了,但是相互践踏而死的人们却要多得多,而且对于 死者,根本没有人注意。既然希腊人晓得他们反正是要死在从山后面迂回过 来的人们的手里,因此他们便下面一切地拼起命来,拿出最大的力量来对异 邦军作战。

    (224)这时,他们大多数人的枪已经折断了,于是他们便用刀来杀波斯 人。在这次的苦战当中,英勇奋战的列欧尼达司倒下去了。和他一同倒下去 的还有其他知名的斯巴达人。由于他们的杰出的德行功勋,我打听了他们的 名字,此外我江打听到了所有他们三百人的名字。在这次战斗里,波斯人方 面也死了不少知名之士,其中有大流士的两个儿子阿布罗科美斯和叙佩兰铁 司,他们的母亲就是阿尔塔涅斯的女儿普拉塔古涅。这个阿尔塔涅斯是国王 大流士的兄弟,又是阿尔撒美斯的儿子叙司塔司佩斯的儿子。当他把他的女 儿许配给大流士的时候,他把他的全部家产都给她作陪嫁了,因为她是他的 独生女儿。

    (225)克谢尔克谢斯的两个兄弟就在那里倒下去了。而为了列欧尼达司的 遣休,在波斯人和拉凯戴孟人之间发生了一场激烈的冲突,直到最后希腊人 发挥了自己的勇气,四次击退了他们的敌人,这才把他的遗体拉走。而且直 到埃披阿尔铁司率军到来的时候,这场混战才告结束。当希腊人知道他们到 来的时候,从那个时刻起,战斗的形势便改变了。因为希腊人退到道路的狭 窄的部分去,进入壁垒,而除底比斯人之外的全体在一个小山上列阵;小山 就在通路的入口处,而在入口那里现在有一座为纪念列欧尼达司而建立的石 狮子。在那个地方,凡是手里还有刀的就用刀来保卫自己,手里没有刀的就 用拳打牙咬的办法,直到后来异邦军用大量投射武器向他们压来的时候。他 们有的人从正面进攻捣毁了垒壁,有的人则迂回包抄,从四面八方进击。

    (226)拉凯戴孟人和铁司佩亚人就是这样行动的。但在他们当中,据说最 勇敢的是一个叫做狄耶涅凯斯的斯巴达人。关于这个人,有这样一个传说, 即在他们和美地亚人交战以前,一个特拉奇司人告诉狄耶涅凯斯说,敌人是 那样的多,以致在他们射箭的时候竟可以把天上的太阳遮盖起来。他听了这 话之后毫不惊慌,却完全不把美地亚人的人数放在眼里。他说他们的特拉奇 司朋友给他们带来了十分吉利的消息,因为假如美地亚人把天日都给遮住的 话,那他们便可以在日萨之下,而不是在太阳之下和他们交战了。狄耶涅凯 斯讲过这话以及其他同样性质的话,而拉凯戴孟人就因这些话而怀念狄耶涅 凯斯。

    (227)勇名仅次于狄耶涅凯斯的据说是拉凯戴孟的两兄弟,他们是欧尔喜 庞托司的儿子阿尔佩欧斯和玛隆。在铁司佩亚人当中,声名最高的是哈尔玛 提戴斯的儿子,一个名叫狄图拉姆波司的人。

    (228)为了破埋葬在他们阵亡的地方的所有这些人以及在列欧尼达司把 联盟者送还之前阵亡的人们,立了一块碑,碑上的铭文是这样的:四千名伯 罗奔尼撒人曾在这里对三百万敌军奋战。这是为全军所刻的铭文;对于斯巴 达人则另外有这样一个铭文:过客啊,去告诉拉凯戴孟人,我们是遵从着他们的命令长眠在这里的。这就是为拉凯戴孟人的铭文。而下面的铭文则是给卜者的。 这里长眠看英勇战死的美吉司提亚斯。 他是给渡过了司佩尔凯欧斯河的美地亚人杀死的。 这位预言者分明知道即将到临的宿命却不忍离开斯巴达的统帅。除去卜者美吉司提亚斯的铭文之外,这些铭文和石柱都是阿姆披克图欧涅斯为了追 念他们而建立起来的:给美吉司提亚斯的那个铭文则是列欧普列佩斯的儿子 西蒙尼戴斯为了友情的关系列立的。

    (229)据说在这三百人当中有两个人埃乌律托司和阿里司托戴莫斯得到 列欧尼达司的允许而离开了阵营,可是得了极严重的眼病而卧倒在阿尔培诺 依地方。如果他们两个人商量妥的话,他们或是一同安全地返回斯巴达,而 如果他们不愿回去,则可以和其余的人共同战死。虽然他们可以这样做也可 以那样做,他们却不能取得一致的意见:意见分歧的结果,两个人各走各的 路了。埃乌律托司听到波斯军迂回的消息时,便要求武器并把它佩带上,然 后命令他的希劳特引领他去参加战斗。希劳特把他引到那里去,然后自己就 溜掉了。于是埃乌律托司便冲到战斗的人群中去,这样便战死了。可是阿里 司托戴莫斯气馁了,因此他就备在后面。而如果只有阿里司托戴莫斯一个人 生病而回到斯巴达去,或是如果他们一同回家,则我以为,斯已达人是不会 对他们生气的。可是现在既然事实上两个人当中有一个战死,而另一个人虽 有和前者相同的借口却不愿死掉,因而他们对于阿里司托戴莫斯的行为自然 就非常愤慨了。

    (230)因此,根据一部分人的说法,阿里司托戴莫斯就是这样,并且在这 样的一个口实之下,安全地回到了斯巴达。但是也有人说,他曾作为一名使 者从营地被派了回来,他本来是可以及时赶回来参加正在开始的战斗的,但 是他不肯这样做,而是在道上拖延,因而保全了自己的性命,可是他的同伴 的使者却回来参加了战斗并战死了。

    (231)可是,在阿里司托戴莫斯回到拉凯戴孟之后,他却受到了非议和蔑 视。他遭到这样程度的蔑视以致没有一个斯巴达人愿意把火给他,没有一个 斯巴达人愿意和他讲话。为了使他难堪,斯巴达人称他为懦夫阿里司托戴莫 斯。可是在普拉培伊阿的战斗当中,他洗雪了他所蒙受的一切污名。

    (232)此外,据说在三百人当中江有一个名叫潘提铁斯的人也没有死,他 是作为使者给派到帖撒利亚去的。他也回到了斯巴达,但是在受辱之后便自 缢身死了。

    (233)至于在列昂提亚戴斯领导之下的底比斯人,在一个时期之内他们受 到强制不得已站在希腊人的一方面来对国王的军队作战,可是他们一经看到 波斯人取得了优势,他们于是便趁着列欧尼达司麾下的希腊人爬上小山的机 会,和希腊人分开而投向异邦军,一面伸出他们的手并呼告说他们是波斯方 面的人,是率先把土和水献给国王的。他们还说他们是迫不得己才来到铁尔 摩披莱,而且对于他们使国王遭到的损害是无罪的。以上乃是他们最真心的 话。他们便由于这样的说法而救了自己的性命,而那里又有帖撒利亚人为他 们所说的一切作证。虽然如此,他们也不是万事亨通的,原来当他们跑过去 向异邦军投诚时,他们当中的一些人在走近异邦军时甚至被杀死。而且由于 克谢尔克谢斯的命令,他们的大部分,从统帅列昂提亚戴斯起,都给烙上了 王室的印记。这个人的儿子埃乌律玛科斯后来(四三一年)曾率领四百名底比斯人占取了 普拉塔伊阿人的市邑,却拾普拉塔伊阿人杀死了。

    (234)希腊人在铁尔摩披莱就是这样地奋战的。于是克谢尔克谢斯便派人把戴玛拉托斯召了来,首先就问他这一点:“戴玛拉托斯,你是一个诚实的 人。凡是你说的话后来全能应验,这是我根据明显的事实才这样相信的。现 在请告诉我,剩下的拉凯戴孟人还有多少,他们当中能够象这样作战的人有 多少,还是全都象这个样子?”戴玛拉托斯说:“国王啊,拉凯戴孟人若是 算在一起的话,人数是很多的,而且他们的城市也是很多的。但是凡是你愿 意知道的我都会告诉你。在拉凯戴孟有一个城市叫做斯巴达,那里大约有八 千人,他们所有的人和在这里战斗的人都是一样的。但是其他的拉凯戴孟人 却和这些人不同,不过他们也都是英勇的人物”。克谢尔克谢斯接着说:“戴 玛拉托斯,我们怎样能费最小的劳力来征服这些人呢?你来告诉我吧,因为 你曾经是他们的国王,当然是熟悉他们经常是用怎样的办法的”。

    (235)戴玛拉托斯回答说:“国王啊,既然你是诚心诚意地来征求我的意 见,那我当然要向你指出最好的办法来。我想你应该把你的水师中的三百只 船派到拉科尼亚沿岸的地带去。在那里海岸附近的海上有一个名叫库铁拉的 岛屿。关于这个岛,我国一位极有智慧的人物奇隆曾说,库铁拉沉在海面之 下比在海面之上,对于斯巴达是更有利的:因为他一直在害怕从那个岛会发 生我向你所建议那样的事情,这当然不是说他曾预见你的水师的到来,而是 他同样害怕任何人的军队。让他们以这个岛为出击的根据地,这样就会使拉 凯戴孟人恐慌起来。如果他们在自己的边境上和邻人发生了战争的话,那你 就完全没有理由害怕在你的陆师征服希腊其他地方时他们会赶来援助,而且 在其余的希腊已被征服的时候,被剩下的孤孤单单的拉科尼亚也就一定给削 弱了。可是如果你不这样做的话,你就一定会遇到我下面所说的情况。在通 向伯罗奔尼撒的有一个狭窄的地峡,全体伯罗奔尼撒人都将要集合在那里和 你对抗在那里你就会遭遇到比你过去经历的更加顽强激烈的战斗。不过如果 你按照我所说的去做,那你就可以下战而使这个地峡和他们的一切城邦站到 你的一方面来”。

    (236)在他之后发言的是克谢尔克谢斯的兄弟兼水师提督阿凯美涅斯,因 为当他们交谈时,他恰巧在那里。他担心克谢尔克谢斯会被说服而按照戴玛 拉托斯的办法去做。他说:“国王啊,我看你是正在倾听这样的一个人的意 见,这个人嫉妒你的好运,也许他甚至要出卖你的大事。所有的希腊人都喜 欢保存这样的一些性癖:他们嫉妒别人的成功并憎恨比自己强大的力量。如 果在最近一次使你丧失了四百只船的灾害之后,你再把你的水师中的三百只 船派出去回航伯罗奔尼撒,则你的敌人就可以用与你对等的兵力来和你作战 了。但如果你的水师不分开,那它就是无敌的,而你的敌人也就决不会是你 的对手了。此外,你的全部水师可以掩护你的陆军,你的陆军也可协助你的 水师,这样相辅而行。但如果把一部分力量从你这里分出去,则你对他们没 有用处,他们对你也没有用处。我的意见勿宁是这样,这就是你仔细拟订你 自己的计划,不要去管你的对手方面的事情,不要去管他们要选什么样的战 堤作战,他们如何行动以及他们的人数多少等等。他们是完全可以为他们自 己考虑的,我们同样可以为我们自己考虑。至于拉凯戴孟人,如果他们和波 斯人交战的话,他们是决不会治愈他们目前的创伤的”。

    (237)克谢尔克谢斯回答说:“阿凯美涅斯,我以为你的话有道理,我愿 意按照你的意见做。然而,尽管你的意见比戴玛拉托斯的意见要好,可是戴 玛拉托斯所说的却是他认为对我最有用的意见。因此我决不愿认为,戴玛拉 托斯是敌祝我的事业的。我是从他一向讲过的话来判断出他是这样一个人 的。我又是由于这样的一个事实而判断到一点的,这就是:如果一个市民走 旺运的话,另一个市民就会嫉妒他并且用沉默来表示他的敌意,而没有一个 人会在他同市的市民向他征求意见时把他认为最好的办法告诉给对方,除非 这个人具有很高的道德,不过这样的人却很少见。但是,如果一个异邦人走 旺运的话,另一个异邦人就会为他极其高兴,因此他在被征询的时候,也就 会把最好的意见提供出来。这样看来,既然戴玛拉托斯是我的异邦朋友,那 末我命令你们所有的人都要注意,不可讲他的坏话。”

    (238)这样说了之后,克谢尔克谢斯便巡视了一下尸体,他听说列欧尼达 司是拉凯戴孟人的国王和统帅,就下令把列欧尼达司的头割下来,插到竿子 上。在许多证据当中,特别是这个证据使我看得最清楚,在列欧尼达司还活 着的时候,国王克谢尔克谢斯对他的愤恨是过于任何人的。否则他是决不会 这样残暴无礼地对待列欧尼达司的尸体的,因为在我所知道的一切人当中, 波斯人在习惯上是最尊重勇武的战士的。受命这样做的就按照我刚才说的办 法做了。

    (239)现在我要回到我的这部历史前面中断的地方来了。拉凯戴孟人是 最先听到国王正在准备讨伐希腊的人,听到之后,他们便派人到戴尔波伊的 神托所去,在那里得到我刚才提到的那个回答。他们得到这个回答的方式是 很奇怪的。阿里司通的儿子戴玛拉托斯亡命到美地亚人那里去之后,对于拉 凯戴孟人并无好感;这是我个人的看法,而事情的迹象也是对我的看法有利 的。他做这样的事是出于好意,抑或是出于恶意的自得心情,我就无法评述 了。克谢尔克谢斯既然下了征讨希腊的决心,则当时在苏撒并且知道了这件 事的戴玛拉托斯就想把这个消息告诉给拉凯戴孟人了。但是他害怕事机被泄 露,又没有别的办法把这个消息传给他们,于是他只得使用了这样一个方法。 他用一个折叠的书牒,把上面的蜡刮下去,然后把国王的意图写在木板上; 写好之后,他再把蜡溶化在木板上面。这样,携带空白书牒的人,在道路上 就不会受到哨兵的留难了。当这个书牒送到拉凯戴孟的时候,拉肌戴孟人不 明白这是什么意思;我听说,最后还是竞列欧美涅斯的女儿,列欧尼达司的 妻子戈尔哥在她自己考虑了这伴事之后,才建议他们刮去蜡皮,这样他们也 许可以看到写在木板上面的字样。他们这样做了之后,发现并且读了上面所 写的东西,继而立刻把它通告给其余的希腊人。以上的事情据说就是这样的 了。[本段作者存疑]

    第八卷

    (1)被指定在水师里服务的希腊人是这样的一些人:雅典人提供了一百二 十七只船,普拉塔伊阿人和雅典人同样地乘上了这些船,这样不是因为他们 有什么海上事务的经验,而只是因为他们有勇气和热诚。科林斯人提供了四 十只船,美伽拉人提供了二十只船;卡尔启斯人提供了二十只船的船员,船 是雅典人提供的:埃吉纳人十八只,希巨昂人十二只,拉凯戴孟人十只,埃 披道洛斯人八只,埃列特里亚人七只,特洛伊人五只,司图拉人两只,凯欧 斯人两只(一般所说的船都指三段桡船而言)和两只五十桡船;欧普斯的罗克里斯人也带了七只五十桡船前来助 阵。

    (2)到阿尔铁米西昂来作战的人们就是这样一些,我现在已经说明了他们 在全部装备当中各自分担了多少。集合在阿尔铁米西昂的船只一共是二百七 十一艘,那些五十榜船还不计算在内。但是统率全军的是斯巴达所提供的人 物,这就是优利克里戴斯的儿子优利比亚戴斯。因为联盟者都说,如果他们 的领袖不是一个拉科尼亚人的话,那他们便不想服从雅典人的指挥而是宁愿 取消这个准备中的水师。

    (3)原来早在派人到西西里去要求联盟者之前的那几天里,就风传说把海 上的领导权交给了雅典人。但是当联盟者反对这一点的时候,雅典人便放弃 了他们的要求,他们忍为希腊的安全是首要的事情并且看到,如果他们为领 导权而争吵,希腊便一定要垮台了。在这一点上他们是看对了的,因为内争 之不如团结一致对外作战,正如战争之不如和平。他们懂得了这样一点,故 而他们便让步并放弃了自己的要求,然而,如上所述,只是在他们非常需要 别人的时候;因为当他们把波斯国王赶了回去而战争不再是为了他们自己的 领士,而是为了他的倾上而进行的时候,他们便借口帕岛撒尼亚斯的横傲而 撤销了拉凯戴孟人的领导权。但这一切都是后话了(大概是在四七七年)

    (4)但是现在,那些终于来到了阿尔铁米西昂的希腊人看到许多船停泊在 阿佩泰的海面上,到处又都是大军,而且和他们所料想的完全不同,异邦军 在他们看来和他们所设想的也远不相同;于是他们感到十分恐慌,便开始商 量耍从阿尔铁米西昂逃回家乡希腊的内地去。埃鸟波亚人既然看到他们作这 样打算,便请求优利比亚戴斯稍稍等候,直到他们自己把他们的家人儿女送 走的时候。但是当他们不能说服他的时候,他们便试了另一个办法,他们把 一笔三十塔兰特的贿赂送给了雅典的水师统帅铁米司托克列斯,条件是当他 们作战的时候,希腊水师应留在那里,为保卫埃乌波亚而战。

    (5)这便是铁米司托克列斯使希腊人留在原地不动的办法:他把贿赂的钱 中间的五塔兰特分出来给优利比亚戴斯,好象这笔钱是他自己送给他的。优 利比亚戴斯便这样地被收买过来了,至于其他的人,则没有一个人是性好反 抗的,只有科林斯的水师统帅、欧库托司的儿子阿迪曼托司是个例外。他说 他不愿留下,而是要从阿尔铁米西昂乘船离开,铁米司托克列斯起誓向他说: “你是决不会离开我们的,因为我送给你的礼物要比美地亚人的国王因你脸 离联盟而送给你的礼物还要丰厚”。这样说着,他便把三塔兰特的白银送到 阿迪曼托司的船上去。因此这两个人都给礼物收买了,埃鸟波亚人达到了他们的愿望,铁米司托克列斯自己则发了一笔财。他把其余的钱私吞了起来, 没有一个人知道,但是得到了其中的一部分的人则以为这笔钱是雅典人为了 说服他们才作为礼金送来的。

    (6)因此希腊人便在埃鸟波亚的海面上留下来并在那里作战了。下面我要 说一说经过的情况。在刚刚到下午到达阿佩泰以后,异邦军他们便看到他们 早已听说停泊在阿尔铁米西昂海面上的少数希腊船只,于是他们便急于想进 攻这些船只以便取得它们但他们却还不想面对面地进攻,因为他们担心希腊 人会看见他们前来而跑掉,而他们逃跑时又是会有夜幕掩护他们的。他们棺 信,希腊人会因逃跑而得救的。波斯人的目的则是不许甚至他们的一个持圣火的人(持圣火的人的任务是使圣火永远燃点着以供军中奉献牺牲时用,他被认为是神圣不可侵犯的)得到活命。

    (7)于是他们就想出了下面的一个计划。他们从他们的全部水师当中选揆 出二百只船来,派它们在斯奇亚托斯岛的外海上迂航,为了是使敌人看不到 它们迁回埃乌波亚,取道卡佩列乌斯,绕过吉拉伊司脱斯而到达埃乌里波斯。 他们这样做是指望可以从两面包抄希腊人,派出去的那部分前去遮断对方的 退路,他们自己刚从正面进攻。在作了这样的策划之后,他们便派出了他们 授命的船只,他们自己那一天刚不打算进攻希腊人,而在他们得到信号知道 迁航的船只到达之前,他们也是不打算进攻的。这样他们就派出了迂迥航行 的船只,同时又在阿佩泰检点了其他的船只。

    (8)而他们正在检点船只的时候,(在船队里有一个名叫司苦里亚斯的司 奇欧涅人,他是当代最有本领的潜水人;在佩里洪发生船难之陈,曾给波斯 人捞救出了大量财宝,自己也因此弄到了一份不小的财产)。这个司苦里亚斯 先前确是想开小差到希腊人那里去的,但是他从来没有象目前的这样一个好 机会。后来他终于用什么样的办法逃到希腊人那里去,我说不确实了。如果 一般的说法是真实的话,那却真是使人吃惊了。原来据说他是在阿佩泰潜到 海里去的,而直到他来到阿尔铁米西昂的地方才游出水面来,这样算来,他 就在水面下潜泳八十斯塔迪昂了。关于这个人的传说是很多的,其中有些是 真实的,有些却未必可信了。至于这件事,这里我要说一说我自己的意见, 我认为他是乘着船到阿尔铁米西昂的。到达之后,仙立刻把难船的经过和有 船派出来回航埃鸟波亚的事情告诉了将领们。

    (9)希腊人听到了这一番话之后,就集合起来进行商议。在会上发表的意 见很多,然而占上风的意见却是:当天留在那里并在原来的地方碇泊,而在 过了午夜之后,他们就向海上进发去迎击回航的船只。可是后来并没有任何 人向他们进攻,他们便一直等到当天午后很晚的时候,然后他们自己才向异 邦军进击,打算试验一下他们的战术和突破异邦军防线的办法。

    (10)当克谢尔克谢斯的士兵和他的将领们看到希腊人只乘着少数的船只 向他们攻来的时候,他们以为希腊人一定是发了疯,因此他们自己便向海上 进发,以为自己这样可以轻而易举地战胜希腊人。他们这样的想法是完全有 根据的,因为他们看到希腊人的船只是如是之少,而他们自己的船只却比希 腊人的船只多好多倍,而且比他们更精于航术。在打了这样的如意算盘之后, 他们就列成圆阵从四面八方来包围了希腊人。不过有许多伊奥尼亚人对希腊 人是抱着友好态度的,他们是被强迫看来参加战斗的,故而他们看到希腊人 被包围而深感痛苦,因为他们认为希腊人没有一个能够幸免逃回本国了。他们眼里的希腊人就是这样软弱无能的。但是另一方面,看到这样的事情而感 到高兴人们,却争先恐后地想做一名拿捕阿提卡船只的先锋,以便从国王那 里领取赐品。原来在水师当中,人们关于雅典人的谈论最多。

    (11)但是在看到信号的时候,希腊人先把他们的船尾聚拢在一起,船头 则向着异邦人列阵。在第二次信号的时候,尽管他们给压制在一块狭小的地 区之内而和敌人的战船相对地密接到一处,他们仍然是努力奋战起来。他们 当场拿捕了三十只异邦船,同时俘获了撒拉米司国王戈尔哥斯的兄弟、军中 知名之士凯尔西司的儿子披拉昂。拿捕敌船的第一个希腊人是一个雅典人, 埃司克莱欧斯的儿子吕科美戴斯,他后来取得了勇武的奖赏。双方在海战中 未见肯定的胜负,到夜幕降临的时候,就此罢手了。希腊人驶回阿尔铁米西 昂,异邦人则返回阿佩泰,他们这次的战果比他们原先期望的要差得多了。 在进行这次的战斗时,在随国王前来的全体希腊人当中,只有一个人逃到希 腊人那一方面去,这就是列姆诺斯地方的安提多洛斯,由于安提多洛斯的这 一行动,雅典人曾把撒拉米司的采地给了他。

    (12)到夜里的时候,由于当时正是仲夏的季节,整夜里都是豪雨,此外 还伴随着从佩里洪山上来的激烈的雷鸣。死者的尸体和破碎的船只都给冲到 阿佩泰那方面去,在那里它们和船头报到一处并且防碍了桡的活动。那里船 上的士兵听到雷雨之声惊恐万状,他们认为他们目前所遭受的灾祸会使他们 全部毁灭;原来在他们从难船和佩里洪山附近的雷雨得到恢复之前,他们还 得进行一场顽强的海战,而在海战之后,又是倾盆大雨,是向大海奔注的巨 流和震耳欲聋的雷声。

    (13)这就是他们在这一夜里的遭遇。但是对于那一夜里受命回航埃岛波 亚的人们来说,遭遇就要惨得多了。因为这些人是在大洋上遇到了这种情况 的。他们的结果很惨。原来,他们是在埃乌波亚的科依列(意为洼地) 的外边航行的时候遇到了暴风雨的,结果他们被风吹到他们也不知道的地方 去,碰在岩礁之上而遇难了。这一切都是出自天意。因为这样一来,波斯的 军力就和希腊的军力约略相当,而不是处于绝对优势的地位了。

    (14)这些人就这样地在埃乌波亚的科依列丧命了。但是,阿佩泰的异邦 军,当他们非常高兴地看到天亮的时候,却把船留在那里不动,因为在这样 的一番折磨之后,他们已很满足于暂时得到一些安静了。这时五十三只阿提 卡的船前来援助希腊人,这些船只的到来和同时接到的回航埃乌波亚的异邦 军在前次发生的暴风雨当中全军复没的消息大大地鼓舞了希腊人。于是他们 象先前一样地等到同样的时刻,然后出海向一些奇里启亚的船只进攻;他们 歼灭了这些船,而到夜幕降临的时候,就返回了阿尔铁米西昂。

    (15)可是到了第三天,异邦军的水师提督们激愤于这样少数的敌船竟便 他们如此狼狈,又害怕克甜尔克谢斯会怪罪下来,便不再等待希腊人的挑战, 而是在相互打过招呼之后就在中午左右的时刻出航了。进行这些次海战的日 子,恰巧是在铁尔摩披莱进行陆战的日子;水师的全部意图是力守埃乌里波 斯,而列欧尼达司麾下士兵的目的则在于全力保卫关口。希腊人用来相互激 励的言语是不使异邦军进入希腊,波斯人方面则是要歼灭希腊的军队并攻占 海峡。

    (16)因此当克谢尔克谢斯的大军列好战阵向前进迫的时候,希腊人在阿 尔铁米西昂的海上屹然按兵不动。异邦军把自己的船只排成半月形,尽力想 把希腊人紧紧地包围在圆阵里面。希腊人于是迎上前去,战斗就此开始了。 在这一场海战里,两军的实力差不多是相等的。克谢尔克谢斯方面由于军容 庞大人数众多反而吃了苦头,原来他的船只陷于混乱,相互冲撞起来了。尽 管如此,他们却依然不屈不挠地坚持战斗而不肯让步,因为想到他们竟会被 少数船只所击破,那是不能忍受的。希腊人的船只和士兵损失的很多,然而 异邦军方面的船只和士兵的损失那更要多得多了。他们在进行了这样的一场 战斗之后,便各自收兵回去了。

    (17)在这场战斗当中,克谢尔克谢斯的军队中表现得最好的要算是埃及 人了。除去立了其他的巨大战勋之外,埃及人还拿捕了五只希腊战船和船上 的兵员。在希腊人方面,战斗得最英勇的是雅典人,而在雅典人当中战功最 大的是阿尔奇比亚代司的儿子克里尼亚司,他是自费出一只船和二百个人前 来参加战斗的。

    (18)双方分手之后,就都高高兴兴地急急忙忙地赶回自己的投锚地点去 了。当希腊人收兵离开战场的时候,他们的手中掌握了死尸和残破的船只; 然而他们自己也伤了很大的元气,特别是雅典人的损失最重,他们的船只损 失了一半。他们商议的结果是逃避到希腊的内海地带去。

    (19)铁米司托克列斯认为如果把伊奥尼亚族和卡里亚族从异邦军那里分 裂出来,则希腊人就有足够的力量制服其他部分的军队了。埃乌波亚人通常 是把畜群赶到海边上去吃草的,而铁米司托克列斯当时便在那里把将领们召 集起来,告诉他们说,他想出一个办法,可以把国王的同盟军中最优秀的那 一部分瓦解出来。当时他向他们透露的就是这样一些。但是鉴于当前的情况, 他说他们应当这样做,那就是每个人尽可能多地屠杀埃乌波亚的牲畜,(因为 与其让敌人取得它们,不如自己先下手为好)。此外他还劝告他们每人下令自 己的士兵点起火来。至于他们的撤退,他说他将要设法找这样一个时机,以 便使他们回到希腊时毫无损失。将领们都同意这样做。他们立刻点起了火, 然后又下手把牲畜杀了。

    (20)原来埃乌波亚人并没有把巴奇司的神托放到心上,而是认为它毫无 意义,他们既没有把任何东西搬出去,也没有把任何东西搬进来。如果他们 事先对敌人的到来有所戒备的话,他们早就应当这样做了。结果他们竟使自 己遭到了惨祸。巴奇司关于这件事的神托却是这样的:当着一个讲异邦语的 人在海上架设纸草桥的时候,注意把那些喧叫的山羊从埃乌波亚的海岸赶 跑。埃乌波亚人没有注意这些诗句,可是在目前遭受的和即将到来的灾祸当 中,他们却不得不体验他们那极其不幸的遭遇了。

    (21)正当希腊人做着我上面所说的事情时,一个哨兵从特拉奇司到他们 这里来了。原来在阿尔铁米西昂那里派驻了一个哨兵,这是一个名叫波里亚 斯的安提库拉人。他的使命是在看到水师发生战斗时,立刻把这消息告诉铁 尔摩披莱的人们(为了这个目的,他身旁总有一只桡船准备着)。同样如果陆 上的军队发生变故的时候,雅典人吕西克列斯的儿子阿布罗尼科斯自己也要 准备乘着三十桡船把这个消息带给阿尔铁米西昂的希腊人。因此,这个阿布 罗尼科斯就前来向他们报告了列欧尼达司和他的军队的遭遇。而当希腊人知 道了这个情况之后,他们就立刻决定离开,不过他们是按照他们规定的次序 退却的,科林斯人在最前面,雅典人在最后面。

    (22)但是铁米司托克列斯却把雅典人的最精锐的一些船只选拔出来,到 有饮用水的那些地方去,在那些地方他在岩石上刻了一些文句,这些文句伊 奥尼亚人次日来到阿尔铁米西昂的时候就读到了。文句的内容是这样的:“伊 奥尼亚人啊,你们对你们父祖的国家作战并且把希腊人变成奴隶,这乃是不 义的行为。如果做得到的话,你们最好是投到我们这一面来,但如果你们不 可能做到这一点的话,那末就请你们不要参加战争,并且请卡里亚人也象你 们一样地做。如果你们二者都不可能做到,而是被无法抗拒的力量紧紧地束 缚住的时候,则我们仍请求你们在作战的那一天里不要把全力使用出来。请 注意,你们是我们的子孙,而我们和异邦人的争端起初正是由于你们才引起 来的”。在我来看,铁米司托克列斯这样写是有双重用意的,如果国王没有 看到刻在岩石上的这些话,那它就可以使伊奥尼亚人倒戈投到希腊人的这一 面来,如果这些话被恶意地报告给克谢尔克谢斯,则克甜尔克谢斯就会不相 信伊奥尼亚人并不使他们参加海战。

    (23)这就是铁米司托克列斯的摩崖铭文。在铭刻之后不久,一个希斯提 阿伊亚人乘船来到异邦军的地方,告诉他们希腊人从阿尔铁米西昂逃走的事 情。他们不相信这话,却把报信的人监禁起来,一面把快速船派了出去进行 侦察。当这些快速船上的人们报告了真实情况的时候,他们才知道这件事, 于是全部水师便在早晨阳光开始照耀之际集合起来驶向阿尔铁米西昂去了。 他们在那里一直待到正午,然后又驶往希斯提阿伊亚,而在到达的时候便占 领了希斯提阿伊亚人的城市并蹂躏了属于希斯提阿伊亚人的埃洛皮亚地区(埃乌波亚的北半部,包括希斯提阿伊亚地区)沿岸地带的全部村落。

    (24)正当他们在那里的时候,克谢尔克谢斯派了一名传令官到水师那里 去;在这之前,他曾对于阵亡者作了如下的处理。他自己的军队在铁尔摩披 莱阵亡的(有二万人之多),他只留下一千人左右,其余的人他都挖沟埋掉了。 为了不使水师看到他们,沟上复盖了树叶并堆起了土。因此当传令官渡海到 希斯提阿伊亚来的时候,他就把水师的全体士兵召集起来,对他们说:“诸 位同盟者,无论是谁,只要他愿意,国王克谢尔克谢斯都允许他离开自己的 岗位前来看一看,他怎样对竟然想压制王师的那些蠢货们作战”。

    (25)在这样地宣布之后,由于想来一开眼界的人是这样地多,弄到船却 变成最困难的事情了。他们渡海,穿过尸体来进行观察;他们所有的人都认 为阵亡的希腊人都是拉凯戴孟人和铁司佩亚人,虽然他们也看到了希劳特。 尽管如此,渡海来参观的人仍然没有给克谢尔克谢斯在处理阵亡将士尸体时 所做的事所瞒过,原来事情确实是非常可笑的。波斯人阵亡的,他们看到了 一千名,但是希腊人的尸体却都给堆集到一个地方,数目多到四千。那一整 天里,他们都化在视察上面了;第二天船上的人员返回他们驻在希斯提阿伊 亚的水师,克谢尔克谢斯便率军出征了。

    (26)从阿尔卡地亚有几个人逃到他们那里去,这几个人是由于无法维持 生活而想找些事情做的。波斯人把这几个人带到国王跟前,问他们希腊人正 在做些什么事情,问问题的那个人是代表大家来发问的。阿尔卡地亚人告诉 他们说,希腊人正在举行奥林匹亚祭。 正在举行运动比赛和赛马,于是那个波斯人就问希腊人比赛时所得的奖 品是什么。那些阿尔卡地亚人告诉他说,优胜者的奖品是橄榄冠。于是阿尔 塔巴诺斯的儿子特里坦塔伊克美斯就说出了极其崇高的一些话,不过他却被 国王加上了懦夫的名号;原来当他听到奖赏并不是金钱而是一顶橄榄冠的时候,他再也沉默不下去了。他向所有在场的人们说:“哎呀,玛尔多纽斯啊,你率领我们前来对之 作战的是怎样的一些人啊,他们相互竞赛是为了荣誉,不是为了金钱啊”。

    (27)以上就是特里坦塔伊克美斯所说的话。这时在另一方面,就是在铁 尔摩披莱惨败之后不久的时候,帖撒利亚人就派了一名使者到波奇司人那里 去,因为帖撒利亚人对波奇司人是有旧怨的,而在帖撒利亚人遭到最进的惨 祸之后,这旧怨就更形加深了。原来在国王出征之前不几年的时候,帖撒利 亚人和他们的同盟军曾以他们全军的力量去进攻波奇司,但是却打了败仗并 吃了波奇司人很大的苦头。被包围在帕尔那索斯山的波奇司人中间有埃里司 地方的一个占卜师铁里阿斯,这个铁里阿斯给波奇司人想出了这样的一个战 略。他把白垩土涂在六百名最精壮的波奇司士兵的身体和甲胄上面,率领他 们在夜间去进攻帖撒利亚人,事先嘱咐他们看到身上不涂着白垩士的人就 杀。帖撒利亚人中间首先是哨兵看到这些人,结果他们因害怕而逃跑了,他 们说以为这些人是什么怪物;继哨兵之后,帖撒利亚的全军也同样地逃跑了。 结果波奇司人竟斩杀了四千名敌军和夺取了他们的盾牌,其中的一半被他们 奉献给阿巴伊,其余的则奉献给戴尔波伊。那次战斗中的战利品有十分之一 用来制造了一些巨像,这些巨像就立在戴尔波伊神殿前面三脚架的四周。在 阿巴伊神殿也有其他同样的巨像。

    (28)被包围的波奇司人就是这样地对付帖撒利亚人的步兵的。而当帖撒 利亚的骑兵侵入他们的国土的时候,波奇司人也给了他们致命的打击。他们 在叙安波里司附近的通路上掘了一个大坑把空瓮放到里面去,再把泥土盖在 上面,一直弄到地上看不出任何痕迹来,他们就这样等待着帖撒利亚人的进 攻。这些帖撒利亚骑兵向前推进,满指望把他们遇到的波奇司人一扫而光, 结果却掉到陷坑里的士瓮中间去了。这样一来,乘骑的腿就给折断了。

    (29)帖撒利亚人在这两件事上恨透了波奇司人,于是他们就派一名使者 到波奇司人那里去,说:“波奇司人,现在是你们自己承认,你们到底不是 我们的对手的时候了。以前当我们站在希腊人那一方面的时候,在希腊人眼 里我们就一直比你们有分量,如今在异邦人方面,我们也有这样大的力量, 足以使你们丧失你们的土地而且使你们的人受到奴役。尽管如此,虽然生杀 予夺之权都在我们手里,我们却对你们不念旧怨。为你们过去的所作所为赔 偿我们五十塔兰特白银罢。我们是会保证不使你们的土地受到威胁的”。

    (30)帖撒利亚人向他们的建议就是这样。在整个那一地区,只有波奇司 人不站在美地亚人的那一方面,而按照我个人的推论,这理由不外是他们对 帖撒利亚人的憎恨罢了。如果帖撒利亚人站在希腊人的一边的话,那我以为 波奇司人是会站到美地亚一方面去的。波奇司人对帖撒利亚人的建议的回答 是不给钱。他们还表示,若是有什么理由而他们愿意这样做的话,他们也可 以和帖撒利亚人一样地站到美地亚人的一面,但是他们是不愿意背叛希腊 的。

    (31)帖撒利亚人接到这个回答之后,对波奇司人感到十分激愤的帖撒利 亚人立刻便成了异邦军的引路者。他们从特拉奇尼亚侵入了多里斯。原来在 那里有一块狭长的乡里斯土地伸向那一方面,这块土地的宽度大约有三十斯 塔迪昂,位于玛里司和波奇司的领土之间,这在住时则是德律欧披司的土地, 这一地区是伯罗奔尼撒的多里斯人的故土。异邦人在进攻时对多里斯人的这 块土地并未加以蹂躏,因为他们站到了美地亚人的那一方面,而帖撒利亚人 也不希望异邦人加害于他们的。

    (32)但是当他们从多里斯进入波奇司的时候,波奇司人却不能给他们捕 捉到;因为有一些波奇司人跑到帕尔那索斯山上去了,(帕尔那索斯山的山峰 叫做提托列阿,它就峙立在尼昂市的近旁,它可以容纳大批的人,因此他们 就带看自己的财物登上那里),不过他们的大部分却离开了自己的国土避难到 欧佐拉伊·罗克里斯人的地方去,在那里克利撒平原的上方有一个叫做阿姆 披撒的城市。异邦人蹂躏了波奇司的全部国土,帖撒利亚人就作了异邦军的 响导。而凡是他们所征服的地方,他们就纵火和破坏,把城镇和神殿一概化 为灰烬。

    (33)他们沿着凯佩索司河一路推进,把沿途所遇到的一切搞得精光,他 们放火烧掉的城市有德律莫司、卡拉德拉、埃洛科司、铁特洛尼昂、阿姆披 凯亚、尼昂、佩迪埃司、特里提司、埃拉提亚、叙安波里司、帕拉波塔米欧 伊和阿巴伊,而在阿巴伊地方有一座富有的阿波罗神殿,这座神殿拥有大量 的财宝和奉献物。当时在那里和现在一样,也有一处神托所。他们把这个神 殿也劫掠和焚烧了。他们追击波奇司人并把他们的一些人在山的附近拿获 了。还有一些妇女在受到许多人的凌辱之后被弄死了。

    (34)异邦军经过帕拉波塔米欧伊之后,就到了帕诺佩司;在那里他们的 军队分成了两路。人数较多而力量也较强的那一部分军队随同克谢尔克谢斯 本人向雅典进发并且突人贝奥提亚的欧尔科美诺斯人的土地。但是全部只奥 提亚人现在却站到了美地亚的一面,亚力山大派来分驻于各个指定地点的马 其顿人保卫了他们城市使之免于战祸。所以能够免于战祸的理由则是他们要 克谢尔克谢斯知道,贝奥提亚人是站在美地亚的一面的。

    (35)异邦军的这一部分就象上面所说那样地出发了,其他部分的军队则 和响导人一道向戴尔波伊的神殿方面行进,而帕尔耶索斯山就在他们的右 方。这一部分的军队也把他们所占领的那部分波奇司土地上的一切不分青红 皂白地加以破坏,把帕诺佩司人、达乌里司人,爱奥里斯人的市邑都烧掉了。 他们和其余的军队分开并且走这条路的目的,是他们可以劫掠戴尔波伊的神 殿并且把它的财富拿来献给克谢尔克谢斯。而且我听说,克谢尔克谢斯对于 神殿中那些值得提起的财富,比对于他留在自己的宫殿中的东西知道得还要 清楚得多。原来很多人一直在提到这些财富,特别是阿律阿铁斯的儿子克洛 伊索斯所奉献的那些东西。

    (36)当戴尔波伊人得知这一切的时候,他们真是惊恐万状了。由于他们 非常害怕,他们就请示神托,问他们是应当把圣财埋到地里去,还是把它们 移送到别的安全的地方去。但是神却嘱告他们不要移动任何东西,说他是可 以保护他自己的财物的。戴尔波伊人听到这话之后,便开始给他们自己打算 了。他们把他们的妻子儿女遣送到海的对面阿凯亚地方去。大部分的男子则 到帕尔那索斯山的山峰上去并且把他们的财物搬进了科律奇昂洞。还有一部 分人则逃到罗克里斯人的阿姆披撒去了。这样一来,除去六十个人和那个预 言者之外,全体戴尔波伊人就全部离开了那个城市。

    (37)而当异邦军渐渐迫近并且可以望到神殿的时候,那个名叫阿凯拉托 司的豫言者曾看见一些任何人都不许用手触的神圣的武器给从内室里搬了出 来,放在神祠的前面。于是他便去把这个奇迹告诉了那些留下来的戴尔波伊 人;但是当异邦军兼程迫近雅典娜·普洛奈亚神殿的时候,他们遇到了比前 面说的奇迹要大得多的奇迹。说来实在是不可思议:武器自己竞跑出来到神 祠的前面;但是在这之后的一次神意的显示都是比先前任何的一次都更加奇 异了。原来当异邦军逼近雅典娜·普洛奈亚神殿时,他们受到了自天而下的 霹雳的打击,帕尔那索斯山的两个山峰给打了下来,它们带着巨大的矗音向 着他们压了下来而把他们当中的许多人压死了。而且从雅典娜神殿也发出了 胜利的喊叫和呼声。

    (38)同时发生的所有这一切使异邦军产生了恐怖。戴尔波伊人看到他们 逃跑了,便从山上向他们进攻并且杀死了他们许多人。其中得到活命的人一 直逃到贝奥提亚去了。我听说,跑回去的那些异邦军说,除去上面所说的那 些上天显示以外,他们还看到了其他不可思议的上天显示。他们说,比普通 人要高大的两个武装大汉紧紧地追在他们后面,一面杀戮一面跟踪在他们的 后面。

    (39)戴尔波伊人说(这整个故事显而易见是祭司们告诉给希罗多德的一个神殿传说),这两个人乃是当地的英雄,名字叫做披拉科斯和奥 托诺斯,奉祀他们的圣域就在神殿的近旁:披拉科斯的圣域位于雅典娜·普 洛奈亚神殿上方的道路近旁,奥托诺斯的圣域则位于叙安佩亚峰下卡司塔里 亚泉的近旁。而且从帕尔那索斯山落下来的石块就是在我的时代还保存看 的,它们就在雅典娜·普洛奈亚神殿的圣域里,而当石头向异邦军队伍当中 落下来时就是落到那里的。那些人当时撤离神殿的情况就是这样了。

    (40)在另一方面,希腊的水师在离开了阿尔铁米西昂之后,却由于雅典 人的请求来到了撒拉米司。为什么雅典人请求他们碇泊在撒拉米司呢,原来 他们要把他们的妻子儿女安全地迁出阿提卡,此外,并且想商量一下今后行 动的方法。既然目前的情况使他们原来的愿望趋于幻灭,因此他们只能重新 进行商议了。他们本来想使伯罗奔尼撒的全部兵力集合起来在贝奥提亚准备 应付敌人的进攻,可是他们却发现事实和他们的想法完全相连,相反地他们 得知伯罗奔尼撒人认为最重要的只是如何保卫伯罗奔尼撒从而在地峡上修筑 工事,丝毫不把其他地方放到心上。因此,在他们知道了这个情况之后,便 请求水师在撒拉米司停泊了。

    (41)于是其他的人,就到撒拉米司去了,而雅典人也就返回了自己的国 土。他们到了那里之后,就宣布说每一个雅典人都应该尽一切的可能来挽救 他自己的子弟和眷族。于是他们中间的许多人便把他们的子弟眷族运往特罗 伊真,也有送到埃吉纳和撒拉米司去的。他们赶忙把一切人迁移到安全的地 带去,是因为他们想依照神意来行事。此外还有下面一个原因:据雅典人说, 在他们的神殿里有一条巨蟒守护着卫城,他们不单是这样讲而已,他们还若 有其事地每月把蜜饼奉献给巨蟒,这个蜜饼先前一直是给吃掉了的,但是如 今却连动也不动地放在那里了。当女司祭把这个情况说出来的时候,推典人 便更加想离开他们的城市了,因为他们认为连他们的女神也都离开他们的卫 城他去了。在他们把他们的一切迁移到安全的地带去之后,他们就回到水师 的驻泊地去了。

    (42)当着从阿尔铁米西昂来的希腊人抵达撒拉米司的时候,他们的其余 部分的水师也听到了这件事并且从特罗伊真前来和他们会合,因为在这之前 他们曾奉命在特罗伊真人的港口波贡集结。而在那里集合的船只比在阿尔铁 米西昂作战的船只要多得多,并且是从更多的城市前来的。他们的统帅和在 阿尔敛米西昂的统帅是同一个人,即斯巴达人优利克里戴斯的儿子优利比亚 戴斯,不过这个人却不是王族出身。但是,断然提供了最多的和最好的船只的,是雅典人。

    (43)参加希腊水师的人选是这样:伯罗奔尼撒地方首先是拉凯戴孟人提 供了十六只船,科林斯人提供了和在阿尔铁米西昂相同数目的船只;希巨昂 人提供了十五只船,埃披道洛斯人十只,特罗伊真人五只,赫尔米昂涅人三 只。除去赫尔米昂涅人之外,这些人都属于多里斯族和马其顿族(见第一卷第五六节),而且是最 后从埃里涅乌司、品多斯和德律欧披司地区来的。赫尔米昂涅人就是德律欧 披司人,他们是给 海拉克列斯和玛里司人从现在称为多里斯的地方给赶了出 来的。

    (44)以上就是参加水师的伯罗奔尼撒人。至于从伯罗奔尼撒以外的本土 来的人,则雅典人提供的船只比之其他任何人都要多,他们独力提供了一百 八十只。原来普拉培伊阿人在撒拉米司地方并没有帮助雅典人作战,这是因 为当希腊人从阿尔铁米西昂撤退而到卡尔启斯这方面来的时候,普拉培伊阿 人已经在对岸贝奥提亚的领土登陆并且着手把他们的家眷迁走了。他们乃是 被留在后面以便使这些人安全撤退的。当佩拉司吉人统治着如今称为希拉斯 的地方时,雅典人就是称为克拉那欧伊(大概是“高地居民”的意思)的佩拉司吉人。在国王开克洛普斯统 治他们的时代,他们是叫做开克洛皮达伊,而当王权围到埃列克铁乌斯手中 去的时候,他们又改换了自己的名字而成了雅典人,可是当克苏托斯的儿子 伊昂成为雅典人的统帅的时候,他们又随着他的名字改称伊奥尼亚人了。

    (45)此外美伽拉人也提供了和在阿尔铁米西昂同样数量的船只。阿姆普 拉奇亚人为水师提供了七只船,列乌卡地亚人三只,列乌卡地亚人是科林斯 地方出身的多里斯人。

    (46)在岛民当中,埃吉纳人提供了三十只船。在这之外,他们把别的船 只也配备了乘务人员,但是他们用这些船来保卫他们本土的海岸,而以航行 得最好的三十只船来参加撒拉米司的战斗。埃吉纳人是来自埃披道洛斯的多 里斯人,他们的岛以前是叫做欧伊诺涅。在埃吉纳人之后是在阿尔铁米西昂 提供了二十只船的卡尔启斯人和提供了七只船的埃列特里亚人,他们都是伊 奥尼亚人。再次是凯欧斯人,他们提供了和先前同样数目的船只;他们是来 自雅典的伊奥尼亚人。那克索斯人提供了四只船,他们和其他的岛民一样, 本来是给他们当地的人们派出来参加到美地亚人一方面战斗的,但是他们却 不听从命令而投到希腊人的方面来了,他们是在他们城中的知名人士、当时 三段桡船的船长德谟克利图的游说之下才转到希腊人方面来的。那克索斯人 是雅典出身的伊奥尼亚人。司图拉人提供了和在阿尔铁米西昂相同数目的船 而库特诺斯人则提供了一只三段桡船和一只五十桡船;这两种人都是德律欧 披司人。水师中还有赛里婆斯人、昔普藉斯人和美洛斯人。岛民当中只有这 些人没有把士和水献给异邦人。

    (47)以上所述的这些参加出征的人都住在铁斯普洛托伊人和阿凯隆河的 这面;原来铁斯普洛托伊人是和阿姆普拉奇亚人与列乌卡地亚人相邻接的, 而阿姆普拉奇亚人和列乌卡地亚人则是从最边远的地方前来的人们了。在住 在比他们更远的地方的居民当中,只有克罗同人在希腊人遇到危险的时候来 帮过忙,他们只提供了一只船,将领则是帕乌洛斯,他是在佩提亚比赛上三 度获胜的人。这些克罗同人都是阿凯亚人。

    (48)除去美洛斯人,昔普藉斯人和赛里婆斯人之外,这些人都是提供了 三段桡船来参战的,但美洛斯人等等则提供了五十桡船。出身拉凯戴孟的美 洛斯人提供了两只,属于雅典的伊奥尼亚人的昔普诺斯人和赛里婆斯人各提 供了一只。因此除去五十桡船不算之外,船只的总数是三百七十八只(实际上全部加起来是三百六十六只,而不是三百七十八只)

    (49)当上述各个城邦的将领们在撒拉米司集会的时候,他们进行了商 议;优利比亚戴斯向他们建议,要他们任何一个有意见的人都可以提出自己 的看法,看在希腊人所掌握的一切领土当中,哪一块地方最适于进行海战。 阿提卡已经被他们放弃了,因此他要他们就其他的地方进行考虑。但大部分 发言者的意见都倾向于一个相同的结论,即他们应当到科林斯地峡去,在那 里为保卫伯罗奔尼撒而进行海战,理由是这样:如果他们在撒拉米司的战斗 中被打败,他们就会给包围在岛上,而没有任何得到救援的希望了。但如果 在地峡附近进行海战,那他们在有必要的时候就可以逃到他们自己人的陆地 上去。

    (50)正当伯罗奔尼撒诸将作这样的打算时,来了一个雅典人,他带来消 息说,异邦人已经到了阿提卡并正在那里的全部土地上放火打劫。原来随着 克谢尔克谢斯穿过了贝奥提亚的军队烧掉了离开当地而到伯罗奔尼撒去的铁 司佩亚人的地市以及普拉塔伊阿人的城市,然后到达雅典并把那里附近的一 切都蹂躏了。他们烧掉了铁司佩亚和普拉塔伊阿,因为他们从底比斯人那里听到说,那些城市并不是站在美地亚一方面的。

    (51)在异邦军渡过出征出发点的海列斯彭特并进入欧罗已之后,他们到 达了阿提卡;他们在渡海进入欧罗巴这件事上用了一个月的时间,到阿提卡 又用了三个月;当时卡里亚戴斯正是雅典的执政官。他们在那里攻占了当时 居民已经跑掉的城市,但是他们在神殿里发现了少数雅典人,一些神殿住持 和贫苦居民,他们用门和木材作为壁垒来保卫卫城,防备进攻。他们并没有 撒退到撒拉米司去,部分是由于贫困,也还由于他们自以为懂得了戴尔波伊 神托的意思,即木墙是攻不破的(见第七卷第一四一节),而且他们相信这便是神托所指的避难所, 而不是船只。

    (52)波斯人驻扎在卫城对面,雅典人称之为“阿列斯之山”的丘陵上面, 并且用向壁垒上射火箭的办法来围攻他们,火箭是把箭的四周包上麻屑再点 上了火的。尽管雅典人处于绝望的地步而壁垒对他们又毫不济事,他们却仍 旧对围攻者进行了抵抗。他们也不听佩西司特拉提达伊家向他们提出的投降 条件,而是讲求各种对策来保卫自己,主要是用这样的办法,即当敌人攻到 门那里的时候,他们就把大石块向异邦人的身上砸去。结果克谢尔克谢斯在 长时期之内竟攻不下这个地方而致束手无策。

    (53)然而进退两难的异邦军终于找到了一条进攻的道路。原来神托的话 迟早一定会实现:阿提卡的全部土地终是要归波斯人来统治的。在卫城的前 面、门和山道的后面有一块无人把守的地方,而谁也想不到会有人从那里登 上去的。虽然这个地方非常陡峭,却还有一些人在开克洛普斯的女儿阿格劳 洛斯的神殿附近的地点攀登上来了。当雅典人看到异邦人登上了卫城,他们 就有几个人从城上跳下去摔死了。其他的一些人则逃到内部的圣堂去避难。 攀登上来的波斯人首先到门那里去把它打开并且杀死那些请求庇护的人。当他们把所有的雅典人都杀死之后,他们便抢劫了神殿,然后又把整个卫城放火烧掉了。

    (54)克谢尔克谢斯现在既然完全控制了雅典,他便派了一名骑手到苏撒 去,把他当前的成功告诉阿尔培已诺斯。在派出使者之后的第二天,他把跟 随着他的雅典亡命者召集起来,命令他们到卫城上去,按照他们本国的仪式 奉献牺牲,他发出这样命令不知道是由于做了梦的缘故,还是因为他烧掉神 殿而后悔起来。雅典的亡命者们按照他的吩咐做了。

    (55)现在我要说一说我所以提到上述的事情的理由:在卫城上面有据说 是大地所生的埃列克铁乌斯的一座神殿,神殿里有橄榄树和一池海水,依照 雅典人的傅说,它们是波赛东和雅典娜在争夺土地时放置在那里作证的。但 是现在,橄榄树在异邦人焚烧神殿的时候一齐给烧掉了,但是在它被烧掉的 第二天,当着奉国王之命去奉献牺牲的雅典人到神殿去的时候,他们看到从 残留的树干上长出来了大约有一佩巨斯长的嫩枝。他们就把这件事情报告 了。

    (56)当撒拉米司的希腊人得悉雅典卫城所发生的事件时,他们是惊恐到 这样的程度,以致他们的某些将领不等到他们所讨论的问题有个结果,就赶 忙跑到他们的船上去扬帆远遁了。他们当中留在后面的人则决定为守卫科林 斯地峡而进行海战。到夜里的时候,他们便散会上船去了。

    (57)于是铁米司托克列斯便返回了自己的船,一个叫做姆涅西披洛斯的 雅典人向他探听他们商量的结果。姆涅西披洛斯听到铁米司托克列斯说,他 们的计划是到科林斯地峡去,为保卫怕罗奔尼撒而作战的时候,他就说:“这 样看来,如果他们乘船离开撤拉米司的话,那你的水师就再没有可以保卫的 国家了:因为每个人都要到他自己的城邦去,不管是优利比亚戴斯还是其他 任何人都将不能留住他们而使大军不致从此分散。而希腊也就由于轻率鲁莽 而灭亡了。想想看,如果还有什么办法的话,现在立刻就去想一切办法把这 个计划收回罢,只要你好歹能够说服优利比亚戴斯要他改变主意并且留在这 里就行了。”

    (58)这个意见正中铁米司托克列斯的下怀。他没有回答姆涅西披洛斯什 么话,就到优利比亚戴斯的船上去了,并说要和优利比亚戴斯商量一件有关 他们共同利益的事情。优利比亚戴斯要他到船上来,说出他要说的任何话。 于是铁米司托克列斯便坐到他的身旁,把自己从姆涅西披洛斯那里听来的 话,正象是自己想出来那样地全都告诉了他,此外还加上了许多他自己的话, 直到用恳求的办法说服了对方,使对方走出自己的船,召集各将领前来商量 事情。

    (59)将领们集合起来了,据说铁米司托克列斯没等到优利比亚戴斯向将 领们说明这次把他们召集来的目的,就由于希望心切而迫不及待地向他们发 表了长篇的演说。而当他还在发言的时候,科林斯的将领欧摩托司的儿子阿 迪曼托司就说:“铁米司托克列斯,比赛的时候在规定的时刻之前开跑的人 是要挨棒子打的”。但铁米司托克列斯给自己待解说:“不错,可是等得过 久的人是得不到荣冠的”。

    (60)在当时,他对科林斯人的回答是温和的,但是现在他对优利比亚戴 斯却根本没有象先前那样地提到什么如果他们离开撒拉米司,他们就会散开 和逃掉一类的话,因为他以为当着同盟者的面来诽谤他们,那是很不合适的; 因此他想出了另外一个论据。 (a)他说:“如果你听从我的意见留在这里进行海战而不是听别的人们的 话把船开到科林斯地峡去,那你就可以保全希腊。听我把这两个计划讲一讲 由你来选择罢。如果你在地峡附近的水面上作战,那你就是在大海上作战了, 在那样的地方作战对我们是最不利的,因为我们的船只比较重,而且数量也 是比较少的;而即使我们在其他的方面获得成功,但你却失去了撒拉米司和 美伽拉和埃吉纳。而且他们的陆军将会随着他们的水师前来,这样你自己就 会把他们引导到了伯罗奔尼撒,从而使全希腊有遭到灭亡的危险。 (β)相反的,如果你按照着我的意见去做的话,你就可以得到我下面所 说的利益。首先,在狭窄的海面上以我们少数的船只和他们的大量船只交手, 如果战争产生了它的当然结果的话。我们是会取得巨大胜利的;因为在狭窄 的海面上作战对我们有利,而在广大的海面上作战则是对他们有利。其次, 我们可以保全我们寄托了我们的妻子儿女的撒拉米司。再次,我的计划还有 这样一个好处,而这个好处又是你最希望的,那就是,你留在这里和你在地 峡附近的海面上作战一样,同样会保卫伯罗奔尼撒,而且如果你不失误的话, 你还不会把我们的敌人引到怕罗奔尼撒来。 (γ)而如果我所期望的事情全部实现而我们在海战中取得胜利的话,那 异邦军就不会趟临你们的地峡地带,他们也不会攻过阿提卡,而是会在混乱 中撤退;我们将由于保全美伽拉、埃吉纳和据神托说我们要战胜我们敌人的 地方撒拉米司而得到利益。当人们作出合乎道理的安排时,他们是最容易得 到成功的,如果作出不合道理的决定,上天当然也决不会附合人类的办法 的”。

    (61)铁米司托克列斯的一番话就是这样。但是这时科林斯人阿迪曼托司 又来攻击他了。阿迪曼托司说,一个没有祖国的人是不应当多话的,并且说 优利比亚戴斯不要容许使一个没有自己城邦的人的意见付诸投票表决。他说 要铁米司托克列斯先有一个城邦作为自己的后援再到这里来商量事情,而正 是由于雅典被敌人攻克和占领,他才这样嘲骂铁米司托克列斯的。于是铁米 司托克列斯就发表了长篇的演说,痛斥阿迪曼托司以及科林斯人,明白地给 他们指出要他们懂得,只要雅典人拥有二百只满载乘员的船只,那雅典人就 是有城邦和比他们的领土还要大的国土:因为在希腊人为中,是谁也没有力 量击退他们的进攻的。

    (62)他发表了这样的意见之后,就到优利比亚戴斯那里去,比方才更加 激烈的说:“如果你留在这里的话,则你就会由于留在这里而表示出你是一 个堂堂正正的男子汉大丈夫;但如果你不这样做的话,那你就会把希腊搞垮, 因为我们的全部作战力量都在我们的船上。考虑考虑看,还是听我的话罢。 但是你如果不这样做,我们便不费什么气力带着我们的家小人等到意大利的 那从古来便是属于我们的昔利斯去,而且神托也说,我们是必须在那里建立 一个居民地的。因此,你们失去了象我们这样的联盟者,将来总会有一天想 起我讲的话来的”。 (63)铁米司托克列斯的这一番话使优利比亚戴斯改变了他的意图。他所 以这样做在我看来主要是因为他害怕:如果他率领他的船到地峡去时,雅典 人会离开他们:原来,如果雅典人离开水师的话,其他的部分就不是敌人的 对手了。于是他选择了上面所提到的计划,即留下来并在他们原来所在地的 海面上作战。

    (64)在这样的一番论争之后,撒拉米司地方的希腊人便依照优利比亚戴 斯的意思,决定着手在他们原来的地方作战斗的准备了。第二天早上太阳刚 刚升起的时候,陆地上和海洋上都发生了地震。于是他们决定祈求诸神并且 把埃伊阿奇达伊一族召来帮忙。他们这样决定,就这样做了;他们向上天所 有的神作了祷告,而后立刻从撒拉米司把埃阿司和铁拉门召到他们那里去, 又派一只船到埃吉纳去接埃伊阿科斯和埃伊阿奇达伊族的其他的人们。

    (65)有一个叫做提欧库戴斯的儿子迪凯欧斯的人,他是当时在美地亚人 当中博得名望的一个雅典亡命者。下面就是这个人所讲的一个故事。正当阿 提十的土地被克谢尔克谢斯的军队所蹂躏而那里又没有雅典人的时候,他正 在特里亚平原上和拉凯戴孟人戴玛拉托斯在一块儿,他看到从埃列乌西斯起 来了一片仿佛是三万左右的人所踏起的烟尘。而正当他们十分奇怪是哪里来 的人们踏起了这样一片烟尘的时候,他们忽然听到一声叫喊,这声叫喊在他 听起来好象是雅科斯密仪的赞歌(包埃德罗米昂月(约当九月下旬和十月上旬)二十日沿圣路从雅典到埃列乌西斯的盛大行列称为雅科斯, 因为在行列中带春雅科斯幼时的像,还有他的摇蓝和玩具。雅典青年护送着雅科斯像,后面则跟着打着火 把和唱着赞歌的参加过密仪的人们)。戴玛拉托斯并不清楚埃列乌西斯的祭仪, 便问他这是什上样子的声音;于是迪凯欧斯说:“戴玛位托斯,毫无疑问, 国王的大军将会遭到某种大灾难的。阿提卡地方既然已经没有人居住,那事 情便非常明显,我们听到的声音是从天上来的,是从埃列乌西斯那里发出来 帮助雅典人和他们的同盟者的。而如果上天的垂象降临到伯罗奔尼撒的话, 那国王本人和他的大陆上的军队就危险了。但是如果上天的垂象是向着撒拉 米司的船只那边去的话,那国王就要有失掉他的水师的危险了。雅典人每年举行这一祭仪是为了崇拜母神和少女神(指戴美特尔和佩尔赛彭涅),而不管任何一个希腊人,雅典人也 好其他人也好,只要他愿意,是都可以参加这一密仪的。而你听到的喊叫声 就是他们在这一祭祀中所唱出的雅科斯密仪的赞歌”。戴玛拉托斯于是回答 说:“别说了,不要把这话再向其他任何人说了。因为,如果你的这些话报 告到国王那里去,你是会掉脑袋的。这样不管是我,还是其他任何人就都无 法救你了。少说话罢,诸神是会关心这支大军的”。这就是戴玛位托斯的意 见;而在尘土和喊叫声之后,又出现了云彩,云彩高高地升到空中并飘向撒 拉米司希腊水师的那方面去了。这样一来他们就明白,克谢尔克谢斯的水师 是注定要溃灭的了。以上便是提欧库戴斯的儿子迪凯欧斯所说的故事,而且 他说戴玛拉托斯和其他人等都可以证明他的话是真的。

    (66)被安置到克谢尔克谢斯的水师里服役的人们,在视察了拉科尼亚人 所遭受的惨祸之后,就从特拉奇司渡海到希斯提阿伊亚,而在三天的等候之 后,便驶过了埃乌里波斯,又经三天的时间,便到达了帕列隆(雅典的一个海港)。在我看来, 在他们侵入雅典的时候,他们的陆军和水师的数目比之他们来到赛披亚斯和 铁尔摩披莱的时候并不少。因为,虽然在暴风雨里,在铁尔摩披莱和在阿尔 铁米西昂的海战中他们有所损失,但是我却把当时还没有参加国王的军队的 人们算了进来,他们是玛里司人、多里斯人、罗克里斯人和除铁司佩亚人与 普拉塔伊阿人之外的贝奥提亚全军、还有卡律司托斯人、安多罗斯人、铁诺 斯人和除去我在前面所说的五个市邑(第四六节中所提到的是六个市邑,即凯奥司、那克索斯、库特诺斯、赛里婆斯、昔普诺斯、美洛斯)之外的所有其他的岛民。原来,波斯人在希腊波斯战争之前,雅典人主要是使用这个海港。向希腊的腹地推进得越是深入,也就有更多的民族追随在他的后面。

    (67)因此当除了帕洛司人之外的所有这些人来到雅典(帕洛司人留在库 特诺斯,热心注祝战斗的结果如何),而其他人等来到帕列隆的时候,克谢尔 克谢斯于是就亲自到水师这里来,为的是和水兵们接触并听取他们的意见。 他来到之后,就坐到王位上去,应他之召从各船前来的诸民族的僭主和提督 也按照国王颁赐给他们每人的位阶入坐,首先是西顿王,其次是推罗王,其 他的人依次入坐。在他们依次人坐之后,克谢尔克谢斯便派玛尔多纽斯向他 们每个人进行征询,问波斯的水师是否应进行海战?

    (68)玛尔多纽斯从西顿 人起开始巡行询问,所有其他的人一致认为应当进行海战,但是只有阿尔铁 米西亚讲了下面的话:(a)“玛尔多纽斯,我请你转告国王,讲这话的人在埃 乌波亚的海战当中决不是最卑怯的人,在战勋方面也决不是最差的人。主公, 但我认为我应当但白地把自己的意见说出来,也就是说,说出我认为对你最 有益处的意见来。我要讲的话是这样。留着你的船,下要进行海战罢。因为 敌人在海上的力量比你要强,就象男子的力量比女子要强一样。你何必一定 要不惜一切牺牲而冒险进行海战呢,你不是已经占领了你出征的目的地雅典 和希腊的其他地方了吗?没有一个人挡得住你。而那些敢于和你抗衡的人们 都已经得到了他们应得的下场。 (β)现在我要告诉你,我如何估计你的敌人的今后行动。如果你不急于 进行海战,而是把你的船只留在这里靠近陆地,或甚至一直向伯罗奔尼撒进 击的话,那末,我的主公,你是会很容易地达到你这次前来的目的的,因为 希腊人是不能和你长期相持的,然而你可以驱散他们,而他们便会各自逃回 自己的城邦了。根据我打听来的消息,他们在这个岛上没有食粮,如果你一 旦率领陆军进攻伯罗奔尼撒的话,则我想从那里来的人是不大可能坚持不动 的,他们将无意为雅典进行海战。 (γ)相反的,如果你忙于立刻进行海战的话,我害怕你的水师会遭受到 损失,而你的陆军也会连带遭殃的。再者,国王,请想一想,好人的奴隶常 常是坏的,而坏人的奴隶又常常是好的;而象你这样一位一切人中最优秀的 人物却有埃及人、赛浦路斯人、奇里启亚人、帕姆庇利亚人这样一些被认为 是你的同盟者的坏奴隶,但他们是一点用处也没有的”。

    (69)当阿尔铁米西亚向玛尔多纽斯这样讲话的时候,她的一切朋友都为 她的话而担忧,因为他们以为她不赞同进行海战会因此受到国王的怪罪。然 而那些因她在全部同盟者当中受到最大尊荣而对她怀恨和嫉妒的人们却很欢 喜她的回答,因为他们认为这是她自找倒霉了。可是当这些意见给报告到克 谢尔克谢斯那里去的时候,他却非常喜欢阿尔铁米西亚的意见;他一直把她 为作一位崇高的妇人,而现在对她也就更加尊重了。尽管如此,他还是下令 接受大多数人的看法;原来在他看来,埃乌波亚一役是因为他本人不在场所 以他的士兵才故意不努力作战,而现在他却打算亲自前来督战了。

    (70)当启航的命令发出的时候,他们便向撒拉米司进发并且稳稳当当地 按照各自指定的地位排成了战斗的行列。那一天里由于夜间到来,已经没有 足够的时间来进行战斗了,于是他们便为第二天的战斗作准备。但希腊人却 是恐惧不安的,特别是从伯罗奔尼撒来的人们。他们害怕的原因是这样:既 然他们是停驻在撒拉米司,那他们本身就是为保卫雅典人的国土而战斗了; 这里忘掉的一个城市有人说是凯奥司,有人说是美洛斯,又有人说是赛里婆斯。 如果他们吃了败仗,他们就一定会给封锁在岛上而无法后退,可是自己的土 地却完全无法保卫了。

    (71)就在第二天晚上,异邦人的陆军开始向伯罗奔尼撒进攻了。虽然如 此,希腊人还是使用了一切可能的方法来阻挡异邦人从陆地上向他们进攻。 原来当伯罗奔尼撤人得知列欧尼达司的士兵们在铁尔摩披莱阵亡之际,他们 立刻便从他们的各个城邦赶到一起,并在地峡上扎下了营寨。他们的将领则 是列欧尼达司的兄弟,阿那克桑德里戴斯的儿子克列欧姆布洛托斯。他们在 那里驻扎并切断了司凯隆路,此后又在大家商谈决定之后横贯着地峡修筑了 一道壁垒。由于那里有成千上万的人而又是大家一齐动手,这个工程顺利地 完成了。因为他们把石头、砖、木材和满装着沙子的篮子都搬了来,而且集 合到那里作工的人们不分日夜,是从来也不停止的。

    (72)把所有自己的人都召到地峡来作工的希腊人是拉凯戴孟人和全体阿 尔卡地亚人、埃里司人、科林斯人,希巨昂人、埃被道洛斯人、普里欧斯人、 特罗伊真人、赫尔米昂涅人。这些是集合在那里参加修筑工事的人们,他们 对希腊所遭到的危险是非常害怕的。但是其他的怕罗奔尼撒人却毫不关心。 但无论如何,奥林匹亚祭和卡尔涅亚祭是都己经过去了(这就是说,他们再没有不来的借口了。参见第七卷第二○五节)

    (73)伯罗奔尼撒住着七个民族,其中的两个民族阿尔卡地亚人和库努里 亚人是士著并住在他们一向居住的地方。阿凯亚人这个民族从来没有离开拉 伯罗奔尼撒,但是他们离开了自己故土而住到别的地方去。七个民族当中的 其他四个民族是从外面来的,他们是多里斯人、埃托利亚人、德律欧披司人、 列姆诺斯人。多里斯人有许多有名的市邑。但埃托利亚人则只有一个埃里司。 德律欧披司的市邑则有赫尔米昂涅和与拉科尼亚的卡尔达米列相对的阿西 涅。全部帕洛列阿塔伊人都是属于列姆诺斯人的:库努里亚人被认为是伊奥 尼亚人,是唯一的土著伊奥尼亚人。他们是奥尔涅阿塔伊人(奥尔但阿塔伊人是奥尔涅阿伊市的土著居民,后被阿尔哥斯人征服而成为隶民)及其邻近的居 民,但是由于阿尔哥斯人的统治和时间的结果,他们却变成多里斯人了。在 这七个民族当中,除去我上面所说的城市之外,所有的城市都是采取旁观的 中立立场的。而如果我能够随便讲话的话,则那些城市这样一来,就是站到 敌人的一面去了。

    (74)这样,在地峡地带的那些人看到他们的水师并没有获胜的希望,便 好象大难临头成败在此一举那样地拼命工作。但是在撒拉米司的人们,虽然 他们听到了这个工程,却非常害怕。这与其说是为了他们自己,却勿宁就是 为了伯罗奔尼撤而担心,一时他们只是站在那里相互喃喃交语,心里奇怪优 利比亚戴斯何以如此不智,但终于一致爆发成为不满的议论。于是举行了一 次会议,会上对于和先前同样的事情辩论了很久,有的说他们必须到怕罗奔 尼撒去,不惜为了那个地方而冒险,而不应当留下为已为敌人武力占领的国 土作战。但是推典人、埃吉纳人和美伽拉人却主张留下,保卫他们当时所在 的地方。

    (75)当铁米司托克列斯看到他自己的意见为怕罗奔尼撒人的意见所压倒 的时候,便悄悄地退出了会议的议席,派一个人乘船到美地亚水师的阵地去, 命令他务必送达一个信息。这个人的名字是西琴诺斯,他是铁米司托克列斯 的一名家丁,又是铁米司托克列斯的子女的保育师。在这之后,当铁司佩亚 人接受移民为市民的时候,铁米司托克列斯便使他成为一名铁司佩亚的公 民,同时又使他变成一个富有的人。现在他乘着船来到异邦军的将领的地方 来,向他们说:“雅典人的将领背着其他希腊人把我派来向你们报告(因为他 是站在国王利益的一方面,故而他希望你们,而不是希腊人取得胜利),希腊 人已经被吓得手足失措并正在准备逃跑了,而如果你们能防止他们逃窜的 话,那你们就可以成就一项前无古人的功业。因为他们的意见既并不一致, 又不想再对你们进行抵抗,这样你们将会看到在他们中间,你们的朋友对你 们的敌人交起手来”。他说了这话之后就离开了。

    (76)波斯人认为这个说法是可以相信的,于是他们首先使许多波斯人在 撒拉米司和本土之间的一个普叙塔列阿小岛上登陆。而随后到皮半的时候, 他们便把西翼向撒拉米司方面推进以便对它进行圆形的合围,而停泊在凯欧 斯和库诺叙拉的人们也向海上出航,他们的船只控制了全部海峡地带直到穆 尼奇亚的地方。他们这次出航海上的目的是无论如何也不叫希腊人逃跑,把 希腊人封锁在撒拉米司并要希腊人为阿尔铁米西昂一役付出代价。至于波斯 军队在叫做普叙塔列阿的小岛登陆的意图则是这样:一朝在这里发生海战的 时候(原来这个小岛正当将要发生的海战的冲要之处),人和破船就会被海水 冲到这里来,这样一来,他们就可以救援自己方面的人,同时还可以歼灭敌 方的人,这一切都是他们偷偷摸摸地背着他们的敌人干的。因此他们在夜里 一睡也未睡,而做了这样的一些准备工作。

    (77)至于神托,我不能说它不是真的;当我亲眼看到下面的一些事情时, 我也并不试图否定那些他们讲得十分清楚的事情: 当他们用层层的船只,围住了佩戴黄金宝剑的阿尔铁米司的神圣海岸和 那海浪拍击的库诺叙拉;当他们满怀妄想,夺去了雅典的光荣,以恣意的骄 睢,贪求完全的饱足。 那疯狂的暴怒,那绝灭百族的野心,终必烟消云散;因为这是天理不容。 青铜将和青铜撞击,那赫然震怒的战神,命令用血染红四海。但是洞察 一切的克洛诺斯之子(宙斯)和女王尼凯将把自由的曙光赐给希 腊。看到这样的事情又听到巴奇司说得如此清楚明白,则我既不敢在神托的 事情上反对他,又不能认可别人的反对论调了。

    (78)但是在撒拉米司的将领们中间,发生了激烈的争论。他们那时还不 知道异邦军的舰船已经把他们包围,而是以为敌人还在白天他们看到敌人时 所在的地方。

    (79)正当他们争论的时候,吕喜玛科斯的儿子例里司提戴斯渡海到他们 这里来了。他是一个雅典人,但是曾在市民中间受过贝壳流放的处分;根据 我听到的关于他的立身处世的人品的说法,我自己就深信,他是雅典最优秀 的和最正直的人物。这个人来到之后就站在会堤门外的地方把铁米司托克列 斯叫了出来,尽管铁米司托克列斯不仅不是他的朋友,而且是他的不共戴天 的敌人。但是鉴于当前面临的重大危险,他才把旧怨放到脑后,而把铁米司 托克列斯叫出来和他谈话。原来他已经听到说,伯罗奔尼撒人一心想把船只 开到地峡那里去。因此当铁米司托克列斯出来见他的时候,阿里司提戴斯就 说:“不管是在先前别的场合下,还是在目前,我们都应当比试一下,看我 们两个人谁能为祖国做出最有用处的事情。我现在告诉你,关于伯罗奔尼撒 人从这里撒离水师的事情,谈得多谈得少那总之是完全一样的。而我把我亲 眼目睹的事情舍诉你吧,现在即使是科林斯人和优利比亚戴斯想乘船逃脱, 他们也做不到了;我们已四面人方陷入我们敌人的重围了。现在你进去把这 伴事告诉他们罢。”

    (80)铁米司托克列斯这样回答说:“你的劝告十分有用,而且你带来了 很好的消息,因为你到这里来的时候,已经亲眼看到了我期望会发生的事情。 你知道美地亚人所做的事情正是我自己引起来的。因为当希腊人自己不想准 备战斗的时候,那就有必要强迫他们这样做了。但是,现在你既然带来了这 个好消息,那就请你自己把这个消息报告给他们罢。如果我报告这个消息的 话,他们会以为这是我捏造的消息,因此他们决不会相信我说的话,而以为 异邦人是决不会做如你所说的这样的事情的。你自己去告诉他们,把经过的 情况对他们说了罢。当你舍诉他们的时候,如果他们相信你的话,那最好了; 如果他们不相信你的话,那事情反正对我们是一样的。因为如果如你所说, 我们已在四面八方被包围起来的话,那他们便再也不能逃跑了”。

    (81)于是阿里司提戴斯就走到他们面前把这个消息告诉了他们。他说他 是从埃吉钠来的,他是好不容易才躲过了敌人的视线偷渡了封锁线的,因为 希腊的全部水师已经给克谢尔克谢斯的水师包围起来了,故此他说他们最好 是作保卫自己的准备。他这样说了之行就离开了。于是他们又争论起来,因 为大部分的将领是不相信这个报告的。

    (82)可是在他们还不相信的时候,一只载着铁诺斯的逃脱者的三段桡船 到他们这里来了,这只船的将领是索喜美涅斯的儿子,一个叫做帕那伊提乌 斯的人,这个人把全部的真实情况报告给他们了。由于铁诺斯人的这一行动, 他们的名字便和击败了异邦军的那些人的名字,一齐给刻在戴尔波伊的三脚 架上。逃到撒拉米司来的这只船再加上位去在阿尔铁米西昂逃来的列姆诺斯 人的那只船,使先前尚缺两只船便是三百八十只的希腊水师恰恰补足了这个 数目。

    (83)希腊人终于相信铁诺斯人听讲的话,于是便准备作战了。那正是刚 刚破晓的时候,他们把士兵召集起来开会,铁米司托克列斯就在会上作了一 衣比其他任何人都精彩的演说。他的演说的要旨始终是把一个人的本质和天性当中好的东西和坏的东西加以对比,而劝告他们选择其中好的东西。演说 结束之后,他便命令他们上船了。而正当他们上船的时候,那只被派出去接 埃伊阿奇达伊族(见本卷第六四节)的三段桡船也从埃吉纳回来了。于是希腊人的全部水师便乘船向海上出发了。而在他们刚刚解缆前进的时候,异邦军便立刻向他们攻过 来了。

    (84)于是其他的希腊人便开始把船回转过来,想使它们靠岸,但是这时 一个雅典人、帕列涅区的阿美尼亚斯乘着船冲到前面去向敌人的一只船进 攻。他的船和敌人的船舷舷相接纠缠到一处不能分开,于是其他人这时便来 援助阿美尼亚斯而加入了战斗。这便是雅典人关于战斗的开始的说法。但是 埃吉纳人却说,引起战端的船都是派到埃吉纳去接埃伊阿奇达伊族的那一 只。他们的说法是这样:他们看到了一个妇人的幻影,这个妇人高声向希腊 全部水师讲话激励他们,而在一开头,她是用这样的话谴责他们的:“卑怯 的人们啊,你们这是在于什么,你们要把船倒退到什么地步啊?”

    (85)然而,配置在雅典人对面的是腓尼基人(因为他们是在向着埃列乌西 斯的一面,即西面的一翼),而配置在枕凯戴孟人对面的是伊奥尼亚人,他们 占着东面的一翼,离披莱乌斯极近。但他们中间有少数人,象铁米司托克列 斯指令他们那样,在战斗中表现出敷衍的样子,不过他们大多数却不是如此, 我可以列举出许多歼灭了希腊船只的三段桡船的统帅的名字,可是在这些名 字中间我只愿意提出两个人的名字来,那就是安多罗达玛司的儿子提奥美司 托尔和希司提埃伊欧斯的儿子披拉科斯,他们两个人都是隆摩司人。我所以 只提到他们两个人是因为提奥美司托尔曾因这次的战勋被波斯人任命为萨摩 司的僭主,披拉科斯则被列名为国王的恩人并被赠给大量的土地。国王的这 些恩人在波斯语中是叫做欧洛桑伽伊。

    (86)以上就是关于这些人的情况了。但是大量的船却在撒拉米司沉没 了,其中有的是给雅典人击毁的,有的是给埃吉纳人击毁的。原来希腊人是 秩序井然地列队作战的,但异邦军这时却陷于混乱,行动时也毫无任何确定 的计划,因而他们遭遇到实陈发生的这样一个结果那是很自然的事情。虽然 如此,在那一天里,比起埃乌波亚之役来,他们已完全不同,而且证明自己 确实是勇敢得多了,每个人都拼命作战,他们都很怕克甜尔克谢斯,而且每 个人都以为国王的眼是正在看着他的。

    (87)至于其他的一些人,我不能确实地说出异邦人或是希腊人他们每个 人是如何作战的。但是在阿尔铁米西亚身上却发生了这样一件事情,这件事 情使她受到国王的、比先前更大的尊敬。当国王的水师陷于一团混乱的时候, 阿尔铁米西亚的船正在给一只阿提卡的船所追击,(原来在她的前面有自己一 方面的其他船只,但她的那只船却恰好是离敌人最近的),故而她无法逃脱。 于是她便决定做一件将来会对她有利的事情。当她在雅典人的追击之下逃跑 之际,她却向友军的一只船进行突击,而在那只船上有十林达人和卡林达国 王本人达玛西提摩斯。可能当他们还在海列斯彭特的时候,她和他有过一些 争吵,但是我不能说她这次的行动是有预定的目标,还是由于偶然经过她的 迸路,卡林达人才遇到了她的。现在既然她向这只船进攻并把它击沉,她便 很幸运地给自己求得了双重的利益。因为,当阿提卡的三段桡船的统帅看到 她进攻异邦军的船,他便以为阿尔铁米西亚的船或者是一只希腊船,或是一 只倒戈为希腊人作战的异邦船,这样他便转到别的方面对付其他的船去了。

    (88)由于这样的一个幸运的机会,结果她竟逃出虎口而免除了杀身之 祸。更有进者,这件事的结局是:她做了伤天害理的事情,却反而在克谢尔 克谢斯的面前赢得了莫大的荣宠。据说国王在督战时看到她向一只船进攻, 当时侍立在他身旁的一个人就说:“主公,请看阿尔铁米西亚战斗得多么卖 气力,看她怎样把一只敌船击沉了啊!”于是克谢尔克谢斯就问是否真是阿 尔铁米西亚做出了这样的事情,他们证实了这件事情,因为他们说,她的船 的标帜他们是知道得很清楚的;而且他们认为她击沉的那只船是敌人的船。 对她来说,正如我在前面说的,当然有其他种种幸运的机缘,然而是幸运的 却是,卡林达人船上的人没有一个生还来控诉她的。克谢尔克谢斯听到他们 告诉他的一切之后,据说他说,“我手下的男子变成了妇女,而妇女变成男 子了”。人们说,克谢尔克谢斯就是这样讲的。

    (89)在这次的苦战当中,克谢尔克谢斯的兄弟、大流士的儿子、水师提 督阿里阿比格涅斯阵亡了。与他同时阵亡汪有其他许多知名的波斯人、美地 亚人和其余的同盟者,但希腊人方面阵亡的却不多。原来希腊人会游泳,因 此他们中间失掉了船,却没有在肉搏战中丧命的人们,都游泳渡海到撒拉米 司去了;但是异邦军的大多数却由于不会游泳而淹死在海里。而当最前面的 船逃跑的时候,他们损失的人最多;原来列阵在最后面的人们想乘着船挤到 前面去,以便使国王看到他们也是在勇猛地战斗,这样就跟自己前面逃跑的 那些船只冲撞到一起了。

    (90)而且,在这一混乱当中还发生了这样的事情。有一些船只被摧毁的 腓尼基人到国王这里来,控告伊奥尼亚人的背叛行为。他们说正是由于伊奥 尼亚人的背叛行为,他们才失掉了自己的船只的。至于这件事的结果,俐伊 奥尼亚人的统帅们并没有被处死刑,但是向他们进行控诉的腓尼基人却得了 下面我要讲到的回报。如前所述、原来正当他们江在讲着话的时候,一只萨 摩特拉开的船向一只阿提卡的船进攻,而当阿提卡的船正在沉没的时候,一 只埃吉纳的船又攻上来把这只萨摩特拉开的船击沉了。但是擅长于投枪的窿 摩特拉开人却用一阵投枪把击沉了他们的船只的那只船船上的人一扫而空, 然后跳上对方的船而自己占有了它。这样一来,伊奥尼亚人便得了救,原来 当克谢尔克谢斯看到他们这样赫赫的战勋时,他感到极度的愤慨并想把所发 生的这一切归罪于腓尼基人,于是他便转向腓尼基人,命令人们把这些腓尼 基人枭首,因为他认为本身是懦夫的人是不配控告比他要勇敢的人的。原来, 当克谢尔克谢斯坐在称为埃伽列欧斯的、对着撒拉米司的一座山山下的坐位 上,看到自己一方面的人在战斗中表现任何战功的时候,他总是要问立功的 人是谁,而他的史官就把三段桡船的统帅,他的父亲和他所属的城邦的名字 记录下来。此外,伊奥尼亚人的朋友、波斯人阿甲阿拉姆涅斯当时也在国王 的身旁、在搞垮腓尼基人的这件事上他多多少少也是出了一份力的。

    (91)克谢尔克谢斯的人们就是这样对待腓尼基人的。异邦军既然被击溃 并想逃到帕列隆去,埃吉纳人便在海峡地带埋伏下来伏击他们并且立下了赫 赫的战功。原来,雅典人在混乱中间击沉了所有那些想抵抗或是想逃窜的船 只,而埃吉纳人对付的目标则是离开海峡想逃出战场的那些船只,所有那些 逃出了雅典人之手的船只,结果很快地就窜到埃吉纳人的伏击范围里面去 了。

    (92)这时有两只船在那里遭遇到一起了,一只是铁米司托克列斯的追击 的船,另一只是埃吉纳人克利欧斯的儿子彼律克利托斯所乘坐的船。而这只 船又在袭击一只西顿人的船,西顿人的这只船正是捕获了在司奇亚托斯那里 担任放哨任务的埃吉纳船的那只船,在这只埃吉纳船上的是伊司凯诺斯的儿 子披铁阿斯,波斯人对这个人的英勇十分钦佩,而使这个满身带伤的人仍然 留在船上。当这只西顿的船被拿捕的时候,船上的波斯人当中就有披铁阿斯。 因此披铁阿斯便安全地回到埃吉纳了。当波律克利托斯看到阿提卡的船的时 候,他由于提督船的标帜而认识到它,于是他便向铁米司托克列斯号叫痛骂, 他责怪铁米司托克列斯说,铁米司托克列斯会说埃吉纳人是和波斯人站在一 边的。然而波律克利托斯是在对一只敌船进行攻击之后,才向铁米司托克列 斯发出了这样的责难的。至于那些船只保全下来的异邦军,则他们逃到帕列 隆去并且投到陆军的庇护之下了。

    (93)在这一次海战里,在希腊人当中得到最大荣誉的是埃吉纳人,其次 是雅典人。个人当中得到最大荣誉的是埃吉纳的波律克利托斯和两个雅典 人,阿那几洛斯区的埃乌美涅斯和追击阿尔铁米西亚的那个帕列涅区的阿美 尼亚斯。如果他知道是她在那只船里的话,则除非他拿捕了她的船或是自己 的船被拿捕,他是决不肯干休的。雅典的统帅曾经得到过这样的指令,凡是 生擒阿尔铁米西亚的人可以得到一万德拉克玛的奖赏。因为一个妇女竟前来 向雅典进攻,这实在是使人十分愤慨的事情。然而,正如我方才所说的、她 竟逃掉了,而船只得以保全的其他人等也都在帕列隆了。

    (94)根据雅典人的说法,科林斯的水师提督阿迪曼托司正当双方的·水 师开始交手的时候,他竟被吓往而惶恐万状,进而揭帆逃遁了。而当科林斯 人看到他们水师提督的船逃脱的时候,他们也都和他一样地溜走了。可是据 说当他们逃到撒拉米司地方雅典娜·司奇拉斯神殿所在地的附近时,他们承 蒙上天的嘉佑,遇到一只不知是谁派遣来的船,而在这只小船靠近科林斯人 之前,他们对于水师的情况是一点也不知道的。下面的情况使他们推知这件 事是出自天意的:当这只小船驶近他们的船只时,小船里的人们喊道;“阿 迪曼托司,你把你的船只掉过头来逃跑这样你便背叛了希腊人;可是现在他 们已完全实现了他们所祈求的、能够战胜敌人的想法,他们今天已取得胜利 了”。他们这样讲,但阿迪曼托司不肯相信他们的话,于是他们又说,如果 人们发现希腊人没有取得胜利的话,则他们甘愿去作人质并被杀死。于是阿 迪曼托司和其余人等便真地掉转过船头,返回水师的阵地,但这时这里的胜 负之局早已确定了。雅典人关于科林斯人的报道就是这样的,但科林斯人却 否认这样的说法。他们说他们是处在战斗的最前列,所有其他的希腊人都可 以为他们作证的。

    (95)但是吕喜玛科斯的儿子阿里司提戴斯在撒拉米司的这一骚乱中做出 了下列的事情,我在刚才会提到说这是一个十分出众的雅典人:他率领着配 列在撒拉米司沿海地带的许多雅典重武装兵,使他们渡海在普叙培列阿岛上 登陆,结果他们把那个小岛上的全部波斯人都给杀死了。

    (96)海战告一段落之后,希腊人便把还飘浮在那一带水域上的所有残破 的船拉到撒拉米司去并且为下一次的战斗作准备,因为他们以为国工会驱使 他那残存的船只卷土重来的。但是许多残破的船只都被卷到西风里去,而枪 带到阿提卡的称为科里亚斯的海浜地带来了。这样一来,不仅仅是巴奇司和 穆赛欧斯所说的关于海战的其他预言得以应验,就是在许多年前一个雅典的 神托解释者吕两司特拉托斯所预言的关于被冲到这里岸上的破船的话,也是 希腊人当时完全没有注意到它的含义的话,也应验了:就是科里亚斯的妇女 们也将要以桡为薪来烧饭的。不过这事是在国王离开之后才发生的了。

    (97)当克谢尔克谢斯知道了他所遭受的惨败的时候,他就害怕希腊人会 由于伊奥伊亚人的建议或基于自己的考虑而到海列斯彭特去把他的桥梁毁 掉,这样他就会被切断退路而留在欧罗巴,并有遭到杀身之祸的危险,因此 他就打算逃走了。但是为了不使希腊人和他自己的人发现他的这样一个打 算,他便打算修筑一条大堤通过撒拉米司,并把腓尼基的商船连成一列用来 代替浮桥和壁垒,就仿佛他还要进行一次海战而作战斗准备似的。所有其他 的人看到他这样做,都深信他是一心一意地打算留在那里并把战斗继续下 去,然而这一切都瞒不过玛尔多纽斯,他根据过去自己的经验,对于克谢尔 克谢斯的意图是知道的最清楚的。

    (98)正当克谢尔克谢斯这样做的时候,他便派一名使看到波斯去报告他 目前的不幸遭遇。在人世里面再也没有人比这些使者传信传得更快了,原来 波斯人是这样巧妙地想出了办法的。据说,在全程当中要走多少天,在道上 便设置多少人和多少马,每隔一天的路程便设置一匹马和一个人;雪、雨、 暑热、黑夜都不能阻止他们及时地全速到达他们那被指定的目的地。第一名 骑手把命令交给第二名,第二名交给第三名,这样这个命令依次从一个人传 给另一个人,就仿佛象是希腊人在崇祀海帕伊司托斯时举行的火炬接力赛跑 一样。波斯人把这样的驿站称之为安伽列昂。

    (99)当第一个信息来到苏撒,报道克谢尔克谢斯已攻下了雅典的时候, 它便留在国内的波斯人欢欣鼓舞非常,以致他们把桃金孃的树枝撒到所有的 道路上,他们焚香,而且他们自己还沉醉在牺牲奉献式和各种欢乐的事情上。 但是随着第一个信息而到来的第二个信息,却使他们大为沮丧,他们竟把他 们的衣服撕碎,继续不断地哭叫哀号,而把一切过错推到玛尔多纽斯身上。 波斯人这样做,与其说是痛惜船只方面的损失,勿宁说是担心克谢尔克谢斯 本人的安全。

    (100)因此,一直到克谢尔克谢斯本人回来加以制止的时候,波斯人才停 止了这样做。另一方面,玛尔多纽斯看到克谢尔克谢斯由于海战之故精神大 为销沉并疑心到克谢尔克谢斯会针划从雅典撤退,因此他自己私下里便以为 他会由于曾说服国王出征希腊而受到惩罚,并以为他最好还是不惜冒险或者 是把希腊征服,或者是在成就了崇高的功业之后光荣地一死。当然,他还是 希望能把希腊征服的。在他作了这一切的考虑之后,他便这样建议说:“主 公,请不要悲痛,也不耍由于我们所遭到的事情而垂头丧气,认为是受到了 什么巨大的不幸。对于我们来说,一切的结局不是决定于木材,而是决定于 人马。那些自以为是取得了辉煌胜利的人们,没有一个人会从他的船上下来 试图和你对抗,在本土这里也没有任何这样的一个人;那些反抗过我们的人 已经得到了他们应有的惩罚。因此,如果你愿意的话,让我们立刻去进攻伯 罗奔尼撒吧,或者如果你觉得等一等好,那这样做也可只的。不要沮丧吧, 希腊人无论如何也不能逃脱他们对现在和先前所做的事情的责任,无论如何 也不能逃避使他们不成为你的奴隶的。因此你最好是按照我的话去做。但是, 如果你已决定把你的军队引开,那我仍然有一个计划向你陈说。国王,不要 叫波斯人受到希腊人的嘲笑罢。因为,如果你的事业受到损害,那也决不是 波斯人的过错,而且你也不能说,我们在任何地方做得象是懦夫。而如果腓 尼基人、埃及人、赛浦路斯人和奇里启亚人表现出自己是卑怯的人的话,那 这个灾难也决不会牵涉到波斯人的。因此,波斯人既然没有可以归咎的地方, 那末还是听我的劝告吧。如果你已决定你不再留在这里,那么就率领着你的 军队的主力回到家乡去吧。但是我愿意在你的大军中挑选三十万人,以便在 奴役希腊之后把它献给你”。

    (101)克谢尔克谢斯听了这一番话之后,他就好象苦尽甘来那洋地欣然喜 悦了。于是他告诉玛尔多纽斯说,在他先考虑采取这两个计划中的哪一个之 后就会给他回答的:当他和他召集来的那些波斯顾问商议的时候,他觉得也 应该把阿尔铁米西亚找来参加会议,因为他认为在前次的会议上,只有她一 个人是懂得最好应当如何做的。当阿尔铁米西亚到来的时候,克谢尔克谢斯 便下令所有其他人等即波斯顾问和他的近卫士兵一概退去,然后对她说:“玛 尔多纽斯认为我应当留在这里并向怕罗奔尼撒进攻,因为他说波斯人和陆军 对于我们这次的灾难毫无责任,而且他们很愿意向我证明这一点。因此他的 意见是要我这样做,否则的话,他自愿从我的大军中选拔三十万人并想在将 来把奴役的希腊交给我。而依照他的劝告,则我应当车领着其余的军队回国。 (正如关于前次的海战,你会对我作了要我不去进行海战的正当劝告), 因此现在我向你请教,请你告我,你认为在这两件事当中我应当做哪一件”。

    (102)听到对她所作的这样的垂询之后,她就回答说:“国王,要回答你 的垂询,说出哪一个办法最好,这是困难的事情。但是在目前的情况下,我 以为最好是你自己回国,让玛尔多纽斯偕同他希望得到的人们留下,如果他 愿意并保证做到他所讲的一切的话。如果他平定了他自谓可以平定的一切地 方并且在他所谈到的目的上面得到成功,那么,主公,这成就是你的,因为 这是你的仆人们所做的事情。但如果事情的结果与玛尔多纽斯的看法相反的 话,既然你本人和你的全家安全无事,那这对你也不是十分不幸的事情。因 为在你和你的全家安全无事的时候,希腊人就必须常常为保全他们自己的性 命而进行战斗。至于玛尔多纽斯,则如果他遭到什么灾难的话,根本可以不 把这件事放在心上,而如果希腊人所杀死的只不过是你的仆人的话,那他们 的任何胜利都不会是一次真正的胜利。 至于你呢,你在把雅典烧掉之后,可以回国去,因为这样做,你已经达 到你这次远征的全部目的了”。

    (103)阿尔铁米西亚的意见使克谢尔克谢斯深感满意,因为她所说的恰巧 是他自己的想法。实际上,在我看来,纵令所有的男女人等一致劝他留下, 他也是不会这样做的。他实在是给吓坏了。他对阿尔铁米西亚表示了感谢之 意以后,就派她带领跟着他从军的几个庶子到以弗所去了。

    (104)他派了一个叫做海尔摩提莫斯的人担任他的庶子的保护人;海尔摩 提莫斯是佩达撒人,他在宦官当中,是最受克谢尔克谢斯尊重的。〔佩达撒 人是居住在哈利卡尔那索斯人的上方的。在这些人当中有这样的事情发生, 当有什么凶事不久将在他们城市周边居住的所有人们身上发生的时候,雅典 娜的女祭司就会长出一大把胡鬃来。这样的事在他们那里已经发生两次了。

    (105)海尔摩提莫斯就是从这个佩达撒出身的〕(方括弧内这段文字和第一卷第一七五节的内容重复。根据许多注释家的意见,这是后来的某一个人把第 一卷一七五节的内容记在正文的外面,而混到正文里面去的)他为了加到他身上的不 正行为,而进行了人类当中我所知道的最残酷的报复。他曾为敌人所俘和出 卖,买他的是岐奥斯人帕尼欧纽斯,这是一个立身处世极其卑鄙污龊的人物。 他总是取得容貌秀丽的男童,把他们阉割然后把他们带到撒尔迪靳和以弗所 去,就在那里把他们以高价出手;因为在异邦人眼里,宦官比正常的人要值 钱,因为他们对宦官是完全信任的。而海尔摩提莫斯就是帕尼欧纽斯为了作 生意而阉割的许多人中间的一个,不过海尔摩提莫斯还不算是在一切事情上 都不幸的。原来,他随同其他的呈献品从撒尔迪斯被带到国王那里去,久而久之,他在克谢尔克谢斯的宦官中间获得了最大的荣宠。

    (106)正当国王在撒尔迪斯那里准备率领他的波斯军队进攻雅典的时 候,海尔摩提莫斯为了手头的某件事情来到了美西亚所属的、住看岐奥斯人 的一个叫做阿塔尔涅乌斯的地方,在那里他遇到了帕尼欧纽斯。当他认清楚 是帕尼欧纽斯本人的时候,他就和帕尼欧纽斯进行了友好的长谈,他说他今 日的一切幸福都是由于帕尼欧纽斯的椽故,并告帕尼欧纽斯说,如果帕尼欧 纽斯把妻子儿子带到这里来住的话,那他会报答而使帕尼欧纽斯也得到幸福 的,此外并答应帕尼欧纽斯这样那样的事情:帕尼欧纽斯高兴地接受了他的 请求,因而把他的妻子儿子带了来。但是海尔摩提莫斯在控制了帕尼欧纽斯 和他的全家之后,就对他说:“你这个用世界上是卑鄙肮脏的买卖来谋生的 东西,告诉我,我或是我家里的先人对你或是你家里的人做了什么缺德的事, 使你把我弄得不成个男人而变成什么也不是的一个东西?你以为诸神丝毫不 知道过去你干的那些勾当吗。但是诸神的天理昭彰,结果由于你所做的恶事, 你仍然要落到我的手里,而现在你将要心悦诚服地接受我加到你身上的全部 惩罚了罢”。对帕尼欧纽斯这样地谴责了之后,他便把帕尼欧纽斯的儿子们 带到他跟前来,强迫他阉割他自己的四个儿子。帕尼欧纽斯迫不得己这样做 了。这样做了之后,他的儿子们又被迫阉割了他的父亲。天罚和海尔摩提莫 斯对帕尼欧纽斯便是这样进行了报复的。

    (107)克谢尔克谢斯把他的孩子们托给阿尔铁米西亚带到以弗所去之 后,他便召见玛尔多纽斯,嘱告他从军队中选拔出他所需要的那部分并耍他 试着做到他自己所保证的事情。这就是那天白天里的事情。到了夜间,国王 下令各将领从帕列隆启航,以全速再迈回海列斯彭特以便守护桥梁使国王通 过去。当异邦军在途中走近佐斯泰尔的时候,他们把从陆地向海中伸出的一 些细长的海角认成是船只,因此逃了很远的一段略:但是随后不久知道了那 不是船而是海角,他们才集合起来继续他们的航行。

    (108)在天亮的时候,希腊人看到陆军还停驻在原来的地方,便以为水师 也还在帕列隆;他们以为还会发生一场海战,于是使准备进行防卫。但是在 他们知道水师已经离开的时候,他们立刻决定跟踪追击;因此他们就一直跟 踪克谢尔克谢斯的水师直到安多罗斯的地方,但是仍看不到敌人的影于。而 当他们来到安多罗斯的时候,他们就在那里进行了商议。铁米司托克列斯宣 布他的意见,认为他们应在岛屿中间推进,而在追击敌船之后,便应一直航 行到海列斯彭特那里去把桥梁毁掉。但是优利比亚戴斯的意见恰恰相反,他 认为把桥毁掉等于是对希腊做了有最大损害的事情。他说如果波斯人的退路 被切断而不得不留在欧罗巴的话,他们是不会试图保持平静无事的状态的, 因为,他如果无所动静的话,这对他本人的事情既无好处,他又不能找到任 何回家的道路,担他的军队却会饥饿而死。但如果他振作起来一直不停地继 续活动,那就很可能欧罗已的每一个市邑和民族或是被他征服,或是在这之 前和他结城下之盟而分别地归附于他;而今后他们便会取得希腊土地每年生 产的谷物作为他们的粮食。可是他以为波斯人在海战中吃了败仗之后不会留 在欧洲,因此可以放他一直逃回他自己的国土。这样今后大家所争夺的就是 他的土地,而不是希腊的土地了。其他的伯罗奔尼撒的将领们也同意这个意 见。

    (109)当铁米司托克列斯看到他不可能说服他们大多数的人航行到海列 斯彭特去的时候,他便改变方针转向雅典人(因为他们对于波斯人的逃跑感到 最大的愤怒,他们打算甚至自己到海列斯彭特去,如果其他的人不愿意去的 话),对他们说:“我自己常常亲眼看到,而更常常听到这样的事情:被打败 的人们,如果他们玻追击到穷地的时候,他们会反身再战并且会补偿了他们 以前的损失的,因此我要告诉你们,(我们击退了象云霞一样的这一大祥敌 人,乃是我们自己和希腊所遇到的一大幸事),我们还是不要追击那些逃跑的 人们了罢。耍知道,取得了这场胜利的并不是我们,而是诸神和天上的英雄 们,因为他们认为象亚细亚和欧罗已这样大的地方由一个人来统治那是太大 了,何况这个人又是一个邪恶的和不敬神的人呢。这个人怎样呢,他把圣物 和人间的东西一体看待,他烧毁和抛弃神象,他还鞭打海洋并把枷锁投到里 面去。但是目前我们的事业很顺利,那现在就让我们留在希腊,注意我们自 己和我们的家族罢。在我们把异邦人完全赶跑的时候,让我们把我们的家园 重新建立起来勤勉地耕种罢;而当明年春天到来的时候,让我们再航行到海 列斯彭特和伊臭尼亚去罢”。他讲这一番话的意图,是要取得波斯人的某种 信任,以便将来如果他可能在雅典人手中遭到什么灾难的话,他可以有个避 难的地方。这样的事情,后来果然就发生了。

    (110)铁米司托克列斯讲这番话是以欺骗为目的的,可是雅典人却听从了 他的话;原来在过去他一直有智慧之士的令名,而如今又表现出他不但有智 慧而且小心谨慎,故此他们不拘他讲什么都是愿意听从的、铁米司托克列斯 使他们听从了自己的命令之后,他立刻派遣几名他相信不拘如何拷问也不会 把他命令他们告诉国王的消息加以泄露的心腹乘船去向国工报信,而在这里 面又有他的仆人西琴诺斯。当这些人来到阿提卡的时候,其他人等留在船里 面,西琴诺斯则到克谢尔克谢斯那里去,向他说了这样的话:“雅典军的将 军和全联盟军中最勇武和有智慧的人物,尼奥克列斯的儿子铁米司托克列斯 派我来告诉你下面的事情:雅典人铁米司托克列斯愿意为你服务,因此在希 腊人想追击你的船只并毁掉海列斯彭特的桥梁的时候阻住了他们。现在他要 你径自回去,不会有任何东西阻碍你的”。在他们说了这番话之后,便回到 自己的船里去了。

    (111)但是希腊人现在他们既然不再打算进一步追击异邦人的水师,又不 打算航行到海列斯彭特去把可以通行的桥梁破坏,他们于是便包围了安多罗 斯以便把它拿下未,因为那里的人,也就是铁米司托克列斯向之要求金钱的 最初的岛民,是不愿意给钱的。但是当铁米司托克列斯要他们知道,雅典人 这次有说服和强制两位强大的神前来帮助他们,而安多罗斯人无论如何也要 把钱交出来的时候,他们便回答说,雅典既然受惠于善意助人的诺神,那它 的强大和繁荣完全是理所当然的事情:然而安多罗斯人的土地却甚为狭小而 且贫困和无力这两位恶意的神从不离他们的岛,而是永远喜欢纠缠在他们的 岛上:既然受制于这样的神,则他们安多罗斯人是不会拿出钱来的。因为纵 然雅典有权势,但它也决不能胜过他们的无能为力的。他们既然作了这样的 回答和拒绝给钱,因此他们便被包围了。

    (112)铁米司托克列斯的营私肥己的事件是层出不穷的。他利用他曾派到 国王那里去的同样的那些使者,把威胁性的文书送到其他各岛去勒索金钱, 并说如果他们不拿出他所要求的金钱时,他将率领希腊的大军到他们的地方 未围攻他们并攻取他们的岛屿。这样他就从卡律司托斯人和帕洛司人那里聚 歛了大量的资财,因为这些人听说安多罗斯由于站在美地亚的一边而受到围 攻,而铁米司托克列斯是在所有的将领当中最受尊重的,对这些事情他们十 分害怕,于是就把钱拿出来了。而我以为不止这些岛民,还有其他的岛民也 给了钱,但是我却不能说得确实了。尽管如此,卡律司托斯人仍未能因此从 灾难中获得喘息的机会,但是帕洛司人却用金钱买得了铁米司托克列斯的欢 心,从而免除了战祸。这样,铁米司托克列斯便以安多罗斯为开端,背着其 他将领从岛民那里勒索了金钱。

    (113)克谢尔克谢斯摩下的人等在海战之后又等待了几天,然后就循着他 们来时的原路返回贝奥提亚去了。原来玛尔多纽斯认为应当护送一下国王并 且以为当时的季节是不适于作战的;他以为最好是在帖撒利亚过冬,到阳春 到来的时候再向伯罗奔尼撒进攻。当他们到达帖撒利亚的时候,玛尔多纽斯 首先在那里把被称为不死队的全体波斯入选拔出来,例外的只有他们的将领 叙达尔涅斯(因为他自己说他是不能离开国王本人的),其次是波斯的胴甲兵 和一千名骑兵,还有美地亚人、撒卡依人、已克妥利亚人和印度人的步兵和 骑兵。这些民族他是全部选拔的,至于他的其他同盟者,他只从每一个足族 选拔一些人、这些人都是外表好和他知道有过一些好的事迹的人物。不过他 所选拔的戴着头甲和手甲的波斯人,作为一个民族来说,是比其他任何一个 民族的人都要多的,次于他们的则是美地亚人:美地亚人在数目上诚然不逊 于波斯人,可是在作战的实力上却不如了。这样全军的人数,加上骑兵,就 到达三十万人。

    (114)正当玛尔多纽斯选拔他的军队而克谢尔克谢斯在帖撒利亚的时 候,从戴尔波伊有一个神托送到拉凯戴孟人的地方来,要拉凯戴孟人向克谢 尔克谢斯要求对列欧尼达司的死亡加以赔偿并且接受他给予他们的任何答 复。于是斯已达人立那火速地派出了一名使者:他发现剩下的波斯全军还留 在帖撒利亚,于是他便到克谢尔克谢斯那里去,对他说:“美地亚人的国王, 拉凯戴孟人和斯巴达的海拉克列达伊族要求你为他们的国王的死亡付出赔 偿,因为在他保卫希腊的时候你杀死了他”。克谢尔克谢斯听到这话之后笑 了起来;过了很久的时候,他才指着恰好站在他身旁的玛尔多纽斯说:“那 么,这里的这位玛尔多纽斯将会把他们应得的赔偿完全付与他们的”。

    (115)使者把这句话记下之后就离开了:但是克谢尔克谢斯却把玛尔多纽 斯留在帖撒利亚,他自己则火速地向海列斯彭特方面赶路,而在四十五天里 来到了渡口,但是带回来的军队可以说是几乎等于零了。在行军途中,不管 到什么地方,不管遇到什么民族,他们对这些人的谷物都一概加以掠夺而作 为食粮。而在他们找不到任何谷物的时候,他们便吞食地上生长的草,剥树 皮,摘树叶,不管它们是人们栽培的还是野生的,一概不留。他们就饿得干 这样的事情。此外,在行军途中,他们中间又发生了瘟疫和赤痢,结果使他 们丧失了性命。克谢尔克谢斯把一些病人留在后面,命令他在进军途中经过 的那些市邑照顾他们,调理他们;他们有的给留在帖撒利亚,有的给留在派 欧尼亚的昔利斯,有的给留在马其顿。在他向希腊进军时,他曾把宙斯的圣 车留在昔利斯,但是在归途中他再也拿不回它了,因为派欧尼亚人把它送给 了色雷斯人;而当克谢尔克谢斯向他们要求返还的时候,他们就说,住在司 妥律蒙河河源地带附近的上色雷斯人把正在牧放中的马匹劫走了。

    (116)当时在那里,一个身为比撒尔提亚人和克列司托尼亚国的国王的色 雷斯人千出了一件超人的事业来。他自行拒绝承认自己是克谢尔克谢斯的奴 隶,而逃跑到洛多佩山里面去。他还禁止他的儿子们随军到希腊去,但是他 的儿子们不听他的话,因为他们一直希望看一春战争的场面,故而他们就随 着波斯人出征了;正是为了这个原因,当他们六个人全部安全无伤地回到家 中时,他们的父亲便挖掉了他们的眼睛。

    (117)这就是他们所得到的报酬。但是经过色雷斯进军到渡口的波斯人却 赶忙地乘着他们的船只渡海到了阿比多斯,原来他们发现桥梁并没有搭在那 里,而是己经给一场暴风雨摧毁掉了。这样,他们的进军便被阻止在那里, 不过他们在那里得到的食物却比他们一路上得到的食物要多,由于他们过度 的贪食和他们改换了饮用的水,这就使剩下的军队中又死掉了许多人。其余 的人等就和克谢尔克谢斯一同来到了撒尔迪斯。

    (118)但是还有下面的另一个传说。根据这个传说,则当克谢尔克谢斯从 雅典进军到司妥律蒙河河上的埃翁的时候,他就不再从陆上进军,而是把他 的军队委托叙述尔涅斯带到海列斯彭特去,他自己则乘上一只腓尼基船出发 到亚细亚去了。在这次航行中,他遇到了从司妥律蒙河那方面来的、吹得海 浪滔天的一场暴风。由于船上的人太多,以致克谢尔克谢斯的随行人员有许 多都在甲板上面,再加上暴风雨对他也越来越猛烈,因此国王害起怕来,就 向舵手呼叫,问他是不是有什么解救的办法。于是那个人便说:“主公,除 非船上的这些人当中去掉一部分,那是没有任何办法的”。据说克谢尔克谢 斯在听到这话之后,便向波斯人说:“波斯人,现在看来,我的安危既然系 在你们的身上,因此这也就是考验你们是否关心我的时候了”。结果他们就 在向他行礼以后,跳到海里去了。这样,船载变轻的船就安全地到达了亚细 亚。在克谢尔克谢斯刚刚上陆的时候,他便因舵手的救命之恩而赐给他一顶 黄金冠,但另一方面,又割下了这个舵手的头,因为他使许多波斯人来了性 命。

    (119)以上便是关于克谢尔克谢斯的归还的另一种说法。但是从自己的方 面来说,关于波斯人的遭遇的说法,以及这一说法的其他任何部分,我都不 相信。因为,那舵手果真若向克谢尔克谢斯说了上面那样的话,那末我想, 在一万个人当中也不会有一个人怀疑国王会采取下述的办法,即他会命令甲 板上的那些波斯人,而且是第一流的波斯人下到船仓里面去,并把和波斯人 人数相等的腓尼基桡手投到海里去。不,实际的情况乃是:克谢尔克谢斯是 象我刚才所说的那样做的,他是率领着他的军队从陆路返回亚细亚的。

    (120)这里还有一个明显有力的证据来证实这一点。大家都知道,当克谢 尔克谢斯在归途中来到阿布戴拉的时候,曾和那里的人结成朋友①并且把一把 黄金的波斯刀和鏤金的提阿拉斯②送给他们。而依照阿市戴拉人的说法,不过 这种说法我是完全不相信的,则当克谢尔克谢斯从雅典逃回的时候,正是在 这里才第一次解开了他的腰带的,因为他认为到这里已经安全了。而阿布戴 拉比起据说他们乘船的地方司妥律蒙和埃翁来,是更接近海列斯彭特的。

    (121)至于希腊人这一方面,则他们既不能攻下安多罗斯,他们就到卡律 司托斯去,而把那个地方蹂躏之后,便返回了撒拉米司,首先,在他们的最 初卤获物当中,他们特别留出了三只腓尼基的三段桡船给诸神,一只在地峡 奉献,这一只到我的时代还在那里;另一只在索尼昂奉献,再有一只则是在 他们的当地撒拉米司奉献给埃阿司。在这之后,他们又分配了战利品并把其 中最初的一批卤获物送到戴尔波伊去,用它们造了一座十二佩巨斯高的人 ① 参见第七卷第二九节。 ② 参见第七卷第六一节。 象,人象的手里握着船嘴。这个象和马其顿人亚力山大的黄金象立在同一个 地方。

    (122)而希腊人在把最初的卤获物送到戴尔波伊去以后,便用全体希腊人 的名义去请示神,问神对他们奉献拾他的最初卤获物是否感到满足,是否感 到满意;神说,他从其他希腊人那里得到的奉献物都可以这样说,但只有埃 吉纳人却没有奉献什么东西,因此他向他们要求撒拉米司海战战勋的奖赏。 埃吉纳人听到这话,他们立刻奉献了放在青铜桅杆上的三个黄金星,它在离 克洛伊索斯的混酒钵最近的一个角落里。

    (123)希腊人在分配了战利品以后,就乘船航行到地峡去,在那里授勋给 在整个战争当中战动最大的希腊人。可是当将领们到来并在波赛东的祭坛地 方各自投票以便确定他们的功勋谁是第一,谁是第二的时候,他们每个人都 投自己的票,原来他们每个人都认为自己是功劳最大的,不过他们大多却一 致把第二位让给铁米司托克列斯。因此他们每一个人只得到一票,但铁米司 托克列斯却由于被放到第二位的关系,而得到了远比他们为多的票数。

    (124)由于嫉妒的关系,希腊人不愿作出授奖的这样一个决定,他们未把 这伴事加以解决,便各自乘船返回自己的国家了。虽然如此,铁米司托克列 斯的名声却宣扬开来了,整个希腊都推崇他,把他看成是远比其他希腊人有 智慧的人物。他虽胜利了,可是由于他没有从参加撒拉米司战役的人们那里 得到和他的战勋相适应的荣誉,于是他随后立刻就到拉凯戴孟去,想在那里 得到荣誉。拉凯戴孟人隆重地欢迎了他并且给他以崇高的荣誉。他们赠给优 利比亚戴斯一顶橄榄冠,褒奖他的战勋,另一顶橄榄冠他们睹拾了铁米司托 克列斯,褒奖他的智慧和机智,他们还送他斯已达的一辆最好的战车。他们 对他大加颂扬,在这之后,他们就派了斯巴达的三百名精锐,即被称为骑士(见第一卷第六七节) 的人们,护送他回去直到和铁该亚人相邻的地方。据我们所知道的,斯巴达 人派人护送的人物,铁米司托克列斯要算是绝无仅有的了。

    (125)但是当铁米司托克列斯从拉凯戴孟回到雅典的时候,铁米司托克列 斯的一个敌人阿披德纳伊区的悌摩戴谟斯由于疯狂的嫉妒,就铁米司托克列 斯的访问拉凯戴孟一事痛斥铁米司托克列斯,说他从拉凯戴孟人那里得到的 荣誉,乃是托雅典之福,并不是由于他本人的关系。这个悌摩戴谟斯也决不 是什么有名的人物。这个人一直不断地这样讲,直到铁米司托克列斯回答说: “事情的真相是这样:如果我是一个倍尔比那(索尼昂以南的一个小岛。这里是借以指一个很不重要的地方)人的话,我就不会受到斯巴达 人的这样的尊敬了,但尽管你是一个雅典人,唉,你却仍得不到这样的尊敬”。

    (126)以上的事情就到这里了。另一方面,在波斯人中间已经是一位知名 之士,而由于普拉塔伊阿事件变得越发有名的人物,帕尔那凯斯的儿子阿尔 塔巴佐斯率领着玛尔多纽斯为自己选拔的军队中的六万名士兵把国王一直护 送到渡口的地方。现在克谢尔克谢斯已到达亚细亚,而当阿尔塔巴佐斯在返 回的途中行近帕列涅地方的时候,由于玛尔多纽斯在帖撒利亚和马其顿过冬 而且他自己也毫不急于去和他其余的军队会合,因此他觉得,如果他不把他 发现已经叛变的波提戴阿人变成奴隶,那是不对的。原来在国王经过了这个 市邑,而波斯水师又从撒拉米司逃跑以后,波提戴阿人便公开地背叛了异邦 人;帕列涅地方的其余的人民也这样做了。

    (127)于是阿尔塔已佐斯便围攻了波提戴阿人。他怀疑欧伦托斯的人们也 背叛了国王,因此便把欧伦托斯也给包围了,领有这个市邑的是曾被马其顿 人从铁尔玛湾赶走的波提埃阿人。在他包围并攻陷了欧伦托斯之后,他就把 这些人带到一个湖的旁边,在那里把他们杀死,然后把他们的城市委托给卡 尔奇底开人和托罗涅人克利托布罗斯来治理。这样,卡尔奇底开人就得到了 欧伦托斯。

    (128)阿尔塔巴佐斯在攻克欧偷托斯之后,就专心致志地来对付波提戴阿 人了。除了他锐意进行这件事之外,司奇欧涅军的将领悌摩克塞诺斯又帮了 他的忙,因为悌摩克塞诺斯曾答应用里应外合的办法把这个地方出卖给他; 我不知道他们起初是怎样勾结起来的(实际上,人们根本没有谈过这件事 情),但是事情的结果如何,下面我都要说一说。每当悌摩克塞诺斯写信途给 阿尔培巴佐斯,或是阿尔塔已佐斯写信送给悌摩克塞诺斯的时候,他们总是 把信卷在一枝箭的尾部,再用羽毛把这地方包起来,然后把它射到他们约定 的地方。但是悌摩克塞诺斯想背叛波提戴阿人的阴谋被发现了;原来当阿尔 塔已佐斯把箭射到约定地点去的时候,他失手把它射到一个波提戴阿人的肩 上。正象战时在战场上常常发生的情形那样,当这个人被射中的时候,很快 地一大群人把这个人围了起来。他们立刻拔出了箭,从而发现了这封信,于 是他们便把它带到他们的将领们那里去,当时他们联邦的其他帕列涅人也在 那里。将领们展读了这封信,因此知道谁是叛徒,然而为了司奇欧涅人的缘 故,他们决定不用背叛的罪名使悌摩克塞诺斯的声名扫地,因为他们害怕司 奇欧涅人今后会永远洗不掉叛徒的污名。

    (129)这样一来,人们就看破了悌摩克塞诺斯的背叛行为。而当阿尔塔巴 佐司把波提戴阿人围攻了三个月的时候,在海上发生了一次为时颇久的大退 潮,而当异邦人看到大海竟变成了一片沼泽地带的时候,他们便决定涉海到 帕列涅去,可是当他们在这途中前进了五分之二,而在到达帕列涅之前还要 走五分之三的路程的时候,一阵巨大的高潮袭来了。据当地的人说,高潮虽 决不是罕见的事情,但那次的高潮却是比他们先前所看到的任何一次都要 高。他们当中不会游泳的都给淹死了,而那些会游泳的则给乘船赶到他们这 里来的波提戴阿人杀死了。依照波提戴阿人的说法,海水高涨和来潮以及波 斯人遭此大难的原因乃是由于,正是这时死在海里的那些波斯人曾经亵凟过 波赛东的神殿和城郊的波赛东神象。而我以为他们以这一点为原因是正确 的。那些保全性命的人则给阿尔塔巴佐斯率领到帖撒利亚玛尔多纽斯的地方 去了。

    (130)以上便是护送国王的队伍的遭遇了。克谢尔克谢斯的全部残余的水 师,在它逃离撒拉米司而到达亚细亚沿岸地带,并把国王和他的军队从凯尔 索涅索斯渡到阿比多斯去以后,就在库麦过冬了。而在第二年春天刚刚到来 的时候,他们便很快地在萨摩司集合,因为他们有一些船就是在那里过冬的。 他们的兵员大都是波斯人和美地亚人。他们的将领是巴该欧司的儿子玛尔东 铁司和阿尔培凯耶斯的儿子阿尔塔翁铁斯。阿尔塔翁铁斯又选拔他自己的外 甥伊塔米特列斯和他们一起共同执行军事领导工作。但是由于他们遭受了沉 重的打击,他们便不再继续向西方航行,也没有任何人极力主张他们一定这 样做;但他们都驻留在萨摩司,监视着伊奥尼亚人,怕他们发动叛变。当时 他们的全部船只,包括伊奥尼亚人所提供的船只以及其他船只一共是三百 只:实际上他们根本没有料想到希腊人会来到伊奥尼亚,而是以为希腊人保 往自己的国家便已经满足了。他们所以这样推想,是因为当他们从撒拉米司 逃跑的时候,希腊人并没有追击,而是看他们逃掉便心满意足了。就海上而 论,波斯人已经是从心里不敢有任何指望了,但是他们认为玛尔多纽斯在陆 上是一定会取得胜利的。因此他们就在萨摩司计议,看可以给敌人以什么样 子的伤害,并且听取从玛尔多纽斯那里来的有关他的活动的消息。

    (131)可是在希腊人的这一方面,他们却由于春天的到来和玛尔多纽斯之 驻留在帖撒利亚而行动起来。他们还没有开始集结他们的陆军,但他们那拥 有一百一十只战船的水师却来到了埃吉纳。他们的陆军统帅和水师提督是美 那列斯的儿子列乌杜奇戴斯,如果从子到父这样地追溯他的家系,则是美那 列斯,海吉西拉欧斯、希波克拉提戴斯、列乌杜奇戴斯、安那克西拉欧斯、 阿尔奇戴莫斯、阿那克桑德里戴斯、铁欧彭波斯、尼坎多罗斯、十里拉欧斯、 埃乌诺莫斯、波律戴克铁斯、普律塔尼斯、埃乌律彭、普罗克列斯、阿里司 托戴莫斯、阿里司托玛科斯、克列奥达伊欧斯、叙洛斯、海拉克列斯。他出 身王家的次支。上面所提到的人,除去列乌杜奇戴斯以次最初列举的七人以 外,都是斯已达的国王。雅典人的将领则是阿里普隆的儿子克桑提波司。

    (132)当所有的船只来到埃吉纳的时候,从伊奥尼亚人那里有一些使看来 到了希腊人的阵地,这些使者就在不久之前曾到斯巴达去,请求拉凯戴孟人 给伊奥尼亚以自由。使者之中有一个人就是巴昔列伊戴斯的儿子希罗多德。 他们起初的七个人结成了一个党派,阴谋把歧奥斯的僭主司妥拉提斯杀死, 但是当他们同谋者中间有一个人把他们的计划谈了出来而他们的阴谋因此泄 露的时候,其余的六个人便偷偷地离开了岐奥斯,从那里他们到斯巴达去, 而现在又来到了埃吉纳,请求希腊人乘船到伊奥尼亚去。希腊人好容易才被 他们一直引导到狄罗斯那样远的地方去。但希腊人害怕到再远的地方去了, 因为他们对那些地方一点都不晓得。他们还害怕在那边到处会遇到敌人的军 队,而且他们以为,萨摩司对他们来说和海拉克列斯柱(今直布罗陀海峡)是同样远的。结果是: 异邦人这方面不敢驶过萨摩司以西的地方,同时希腊人即使在岐奥斯人的请 求之下,也不敢驶到狄罗斯以东的地方去。这样恐怖就在他们之间保持了一 个缓冲地带。

    (133)于是希腊人便乘船到了狄罗斯,而玛尔多纽斯就在帖撒利亚过冬 了。他把他的大本营安设在这里之后,便从这里派出了一个名叫米司的埃乌 洛波司人到各地的神托所去,命令他到他可以一试的一切神托所去请示神 托。他发出这个命令时他想从神托知道些什么东西我是不知道的,因为没有 人谈过这件事。但是,我以为他所问的不外是关于目前的事情,而不是其他。

    (134)大家都知道这个米司到了列巴狄亚,在那里用钱运动了一个当地人 下到特洛波尼欧斯洞去,他还到波奇司人的在阿巴伊地方的神托所去。他首 先还到底比斯去,向伊司美诺斯的阿波罗请示(在那里,正和在奥林匹亚一 样,是要用牺牲来请示神托的(焚烧牺牲看它的火焰和灰来占卜);此外他还用钱运动了一个不是底比斯人的 异邦人到阿姆披阿拉欧斯神殿去睡在那里。底比斯人是禁止在那里请示神托 的;原来阿姆披阿拉欧斯曾通过神托命令他们在下面的两件事当中任选其中 之一而放弃另一件事情,即或是把他当做他们的预言者,或是把他当做他们 的联盟者;他们选择他作为自己的联盟者,于是任何底比斯人就都不许睡在他的神殿里面了。

    (135)然而,根据底比斯人的说法,在这时却发生了一件我觉得是不可思 议的事情。这就是:这个埃乌洛波司人米司在巡历了各个神托所之后,也来 到了普托司·阿波罗的圣域。这个被称为普托昂的神殿是属于底比斯人的, 它位于科帕伊司湖上方一座山的山下,离开阿克莱披亚极近。当这个叫做米 司的人在三个当地人的陪同下进入神殿的时候,祭司立刻便用异邦话向他说 出了宣托词。同来的三个人则是当局选派出来,记录神托的言词的。但这三 个同来的底比斯人由于听到的不是希腊话而是异邦话因而成到惊讶,不知道 如何应付当前的事态。可是埃乌洛波司人米司却从他们手中夺过他们带来的 害牒,把预言的祭司所说的话记录下来了,他说神托所用的语言是卡里亚语。 把这一切记录下来以后,他便回到帖撒利亚去了。

    (136)玛尔多纽斯把各个神托所说的一切话读完以后,随后就派一名使者 到雅典去。这个使者是马其顿人阿门塔斯的儿子亚力山大。他所以派遣这个 人,一方面是由于这个人和波斯人有亲属的关系(原来波斯人布巴列斯娶了阿 门塔斯的女儿,即亚力山大的姊妹巨该娅;布巴列斯的妻子给他生下了亚细 亚的那个阿门塔斯,这个阿门塔斯起了他的外祖父的名字,而国王还把普里 吉亚的一个大城市阿拉班达(阿拉班达不在普里吉亚,而在卡里亚。见第七卷第一九五节)送给他作为采邑),同时也还由于他知道亚力山 大是雅典人的恩人和异邦人的保护官(见第六卷第五七节)。玛尔多纽斯以为这样一来,他便很有 可能把雅典人争取到自己的一方面来,因为他听说,雅典人是一个人数众多 而又勇敢的民族,他并且知道,主要是他们曾在海战当中使波斯人遭到了很 大的灾难。他确信如果他把他们的友谊争取到手,他就很有可能容易地在海 上制霸;至于在陆上,则他觉得他自己要比对方强得多了。因此他便认为这 样一来他就会压倒了希腊人。也许神托所预言的,就是劝告他和雅典人结成 联盟,而他就是遵从看神托的话派遣了这个使者的。

    (137)这个亚力山大的七世祖培尔狄卡斯是用我下面所说的办法取了马 其顿僭主的地位的。铁美诺斯的后裔、三兄弟高阿涅斯、阿埃洛波司和培尔 狄卡斯从阿尔哥斯逃跑到伊里利亚;他们又穿过伊里利亚进入上马其顿,最 后他们一直到达列拜亚城。在那里,他们为赚取工资而受雇于王家,担任仆 从。他们一个人看管马匹,另一个人看管牛,而培尔狄卡斯年纪最轻,因此 他看管小牲畜。王后亲自给他们烹调食物。原来在古昔的时候,不仅仅是平 民,就是统治人们的僭主也都不是富有的。而每在王后烤面包的时候,仆从 培尔狄卡斯的那一块总是比别人的涨大一倍。她看到这样的事情经常发生, 就把它告诉给她的丈夫。当国王听到这事的时候,他觉得这是一件奇怪的预 兆,意味着什么大的事情将要发生。于是他便把他的仆从召来,命令他们离 开自己的土地。他们说在他们离开之先,国王应把他们的工资算给他们才是 正理。但是当他们谈到工资的时候,国王却发起混来,于是他指看从屋顶上 的通烟口射进来的太阳光说:“这就是应当付给你们的工资,我把它送给你 们吧”。年纪较长的高阿涅斯和阿埃洛波司听到这话时站在那里瞠目不知所 云,但是那个少年说:“国王,我们接受你赏赐给我们的东西”。他说了这 话,就掏出了他身上带看的匕首,用这把匕首在屋内地上日光所照的地方划了一个轮廓;这样做了之后,便把太阳光三次用外衣兜到自己的胸前(这个动作据说是表示自己取得了家宅和土地,并要求太阳来为此作证),然后便和他的伙伴们离开了。

    (138)他们就这样地离开了。但是在国王近旁的人们当中,有一个人告诉 国王少年所做的是什么事情,而三人当中最年少的人接受他所赏赐的礼物又 是抱着怎样的目的;国王听到这话以后感到愤怒,于是便差遣骑士追赶他们, 想把他们杀死。但是,在那个地方有一条河,而这些从阿尔哥斯来的人们的 子孙向它奉献牺牲,把它看成是救命的恩人。当铁美诺斯的儿子们渡过了这 条河的时候,河水大大地涨了起来,以致骑士们渡不过去了。因此兄弟们就 到了马其顿的另一个地方,在被称为戈尔地亚斯的儿子米达斯之园的一个地 方的附近定居下来,在这个地方有许多野生的玫瑰花,每朵花各有多到六十 个花瓣和异乎寻常的芳香。根据马其顿人的说法,昔列诺斯就是在戈尔地亚 斯的儿子米达斯之园这个地方被捕的(见第七卷第二六节)。在这个地方的上方,有一座叫做倍尔 米欧斯的山,而由于寒气逼人,没有人能够攀登到上面去。他们征服了那个 地方之后,就以那里作为出发点,结果把马其顿的其他地方也都征服了。

    (139)亚力山大就是这个培尔狄卡斯的后人:亚力山大是阿门塔斯的儿 子,而阿门塔斯又是阿尔凯铁斯的儿子;阿尔凯铁斯的父亲是阿埃洛波司, 阿埃洛波司的父亲是披力波司,披力波司的父亲是阿尔该欧斯,阿尔该欧斯 的父亲就是取得了国王之位的培尔狄卡斯了。

    (140)(α)阿门塔斯的儿子亚力山大的家系就是这样。当他奉玛尔多纽斯 之派来到雅典的时候,他是这样讲的:“雅典人,下面就是玛尔多纽斯要向 你们讲的话:国王有一个通告送到我这里来,说‘我赦免雅典人过去对我所 犯下的一切罪行:现在,玛尔多纽斯,我命令你做这样的事情。把他们的领 土还给他们,此外还让他们给他们自己选择更多的土地,随便他们选择什么 地方的土地,并且使他们按照他们自己的法律去生活。把我烧掉的他们的全 部神殿重新修建起来,如果他们愿意和我缔结盟约的话’。这样的通告既然 送来,我是势必执行的,除非你们从你们的那一方面反对我这样做。而我要 向你们说:你们为什么疯狂到要向国王作战,你们不能战胜他,你们也不能 永久抵抗他。你们已经看到了克谢尔克谢斯的浩浩荡荡的大军和他们所做的 一切,你们已经听到目前我手中拥有的兵力。因此,即使你们战胜和征服我 们(当然,如果你们头脑清醒的话,你们是绝对不能作此妄想的),那将会有 一支比我们大许多倍的军队前来的。因此不要打算和国王较量,从而失去你 们的土地并永远使自己置身于危险之中,还是讲和罢。而且,国王既然有意 这样做,那末你们也便可以十分荣誉地跟他讲和了;还是忠诚老实地和我们 结成盟友,从而享受自由罢。 (β)雅典人啊,上面就是玛尔多纽斯命令我向你们传达的通告。而从我 这方面来说,我不必提我对你们所抱的善意了(因为你们并不是第一次知道这 一点的)。但是我请求你们接受玛尔多纽斯的忠告。我看出来,你们是永远也 没有力量来向克谢尔克谢斯作战的(如果我看到你们有这样的力量,我就决不 会到你们这里来向你们讲这样的一番话了)。要知道国王的威力是超人的,而 他的手臂又是极长的(这里可能只是一种比喻的说法,实际上并非如此)。因此,既然他们向你们提出,而他们又同意缔结的条件是如此宽大,如果你们不立即同意和他们缔约的话,我真的为你们未来的 命运害怕。因为你们的土地既然孤立在两军之间而形成一个战场,则在所有 的联盟者当中,你们便是住在最容易遭到战争危险的道路上了,而且只有你 们是决难逃脱毁灭的命运的。我看,还是听从他的劝告罢,你们可不要小看 了这样的事情,在希腊人当中,伟大的国王只想赦免你们的罪过,只想和你 们做朋友哩。”

    (141 )以上便是亚力山大的话。但是拉凯戴孟人却听说,亚力山大到雅 典来是要使雅典人和异邦人缔结条约的:而在他们想起神托所说的话,即他 们自己和其余的多里斯人势必要给美地亚人和雅典人逐出伯罗奔尼撒的时候(见第五卷第九○节),他们便非常害怕雅典人会和波斯人缔结了;于是他们立刻决定,他们要把 使节派去。而且,雅典人恰巧在同一个时候接见了双方的代表。原来希腊人 故意拖延时间等待拉凯戴孟人,因为他们知道得很清楚,拉凯戴孟人将会听 到,从波斯人方面有使者前来商讨订约的事情,而且在拉凯戴孟人听到之后 他们是会火速地派来使节的。因此他们这样做,是有用意的,因为这样他们 可以使自己的意思叫拉凯戴孟人知道。

    (142)而当亚力山大的发言结束的时候,斯巴达来的使者紧接着就说:“从 我们的这一方面来说,拉凯戴孟人把我们派来请求你们不要在希腊引起任何 的变革,也不要接受异邦人方面提出的建议。对任何一个希腊人来说,这都 是一伴不正当和不体面的事情,特别对于你们更是这样,理由有许多:引起 这衣战争的是你们,根本不是我俩的意思,你们的领土又是战争最初的焦点, 但这次战争却把整个希腊都卷到里面去了。即使把这些放到一边不谈,则想 到自古来一直以把自由给予许多人而知名的你们雅典人,不只是做了这一切 事情,竟而又带头使希腊人受到奴役,那是无论如何不能容忍的。尽管如此, 我们仍是同情你们的困难处境的,因为你们现在已经失去了两次的收获,而 且你们的财产又受到长时期的蹂躏;为了补偿这一点,拉凯戴孟人和他们的 同盟者宣布,只要这场战争继续下去,他们愿意扶养你们的妇女和你们那不 能参加战争的全部家族。因此,不要叫马其顿人亚力山大用他那甘言蜜语来 粉饰的玛尔多纽斯的建议把你们说服罢。听从那样的建议,对他来说乃是当 然的事情,因为他本身既然是一个僭主,那他必然是会为僭主助一臂之方的。 但如果你们还清醒的话,你们当然是不会相信他们的,因为你们知道,异邦 人是既无信义,又不诚实的”。以上便是使者俩所说的话。

    (143)但是雅典人对亚力山大的回答都是这样:“我们自己也知造,美地 亚罩的人数是比我们多好多倍的。因此没有必要用这一点来使我们竟得难 坡。尽管如此,由于我们是渴望自由的,因此我们将尽我们能力之所及来保 卫我们自己。但至于和异邦人缔结协定的事情,不要试图说服我们这样做, 而且我们也不会答应的。现在把雅典人的这个答复带回给玛众多纽斯罢:只 要太阳还接着与它目前的轨道相同的轨道运行,我俩是不会和克甜尔克谢斯 缔结协定的。但是我们将要继续不停地对他作战,我们相信诸神和天上的英 雄会帮助我们,因为他曾蔑祝和焚毁了他们的神殿与神象。我们对你所要说 的话是,不要到雅典人的地方来作这样的请求了。也不要自以为仿佛是为我 们做好事,实际上却是劝我们做坏事了,因为我们是不愿意看到你这样一位 客人和朋友会在雅典人的手里吃到任何苦头的,”

    (144)以上便是他们对亚方山大的回答。但是他们却对从斯已达来的使节 说:“拉凯戴孟人害怕我们会和异邦人缔结协定,那是非常合乎情理的事情。 但是我们认为,你们既然知道雅典的性格如何,却害起怕来,这样的表示是 不光彩的。要知道,世界上没有任何地方有那样多的黄金,有那样美好肥沃 的土地足以买动我们的欢心来站到波斯人的一方面来奴役希腊。甚至如果我 们愿意这样做的时候,那也有卉多种多的有力的理由使我们不能这样做。首 先和最主要的,是我们诸神的神象和神殿被烧掉和摧毁,因此我们必须尽力 为他们复仇、哪里还能够和于出了这样一些勾当的人们缔结协定;其衣是, 全体希腊人在血缘和语言方面是有亲属关系的,我们诸神的神殿和奉献牺牲 的仪式是共通的,而我们的生活习惯也是相同的,雅典人如果对上述的一切 情况表现出不诚实的态度,那是很不要当的。如果你们以前不如道的话,那 未现在你们耍知道,只要是有一个犹典人活着,我们就决不会和克谢尔克谢 斯缔结协定。尽管如此,我们仍然感谢你们对我们的关注,因为对于我们这 样一个备受蹂躏的国家,你们竟加以照顾,乃至建议扶养我们的家族。从你 们的方面来说,你们已经向我们充分地表现了好意。至于我们自己,我们将 设法尽我们力量之所及来忍耐着,不抬你们添麻烦。担目前,事情既已如此, 请尽快把你们的军队派来罢,因为据我们的猜想,只要异邦人一得到我们不 愿按他所要求于我们的任何一件事情去做的通知,他在不久的时期之内,就 上向我们这里来进攻我们的国家的。因此,在他们来到阿提卡之前,我们正 应该利用这个时机先进军到贝奥提亚去”。使者们得到雅典人这样的回答以 后,就返回斯巴达去了。

    第九卷

    (1)当亚力山大回来,并把他从雅典人那里听到的话报告给玛尔多纽斯的时候,玛尔多纽斯立刻便从帖撒利亚出发,率领看他的大军说意向雅典赶去了(四七九年夏七月,玛尔多纽斯占领雅典)。他不拘到什么地方,都把当地的人加到他的军队里来。帖撒利亚的首领 们一点也不后悔他们以前采取的行动,而是比先前更甚地来激励波斯人的进 军行动;拉里撒的托拉克司过去在克谢尔克甜斯逃跑的时候,曾卫护过他, 现在托扰克司则是公然地为玛尔多纽斯向希腊进军开路了。

    (2)但是当大军在行进途中来到贝奥提亚的时候,底比斯人却试图阻留玛 尔多纽斯,他们劝告他说,如果扎营布阵的话,则他再也不能找到比他们的 地方更适宜的地方了;他们解释说,他不应当再向前推进,而是驻屯在那里, 这样就可以不经战斗而使整个希腊降服。原来,只耍是以前同心协力的希腊 人在目前仍然一致行动的话,则甚至举全世界的兵力来征服他们,那都会是 一件很困难的事情。底比斯人又说:“但如果你按照我们的忠告来做,你就可以很容易地掌握他们的全部作战计划。把饯遇到他们城邦的当权人物那里去,这样你就可以把希腊分裂为两派;在这之后,仗着跟你站在一面的那一 派的帮助,你就可以不费力地把反对你的一派制服了”。

    (3)以上就是底比斯人所提供的意见,但是他并不愿听从这样的意见:他自己则是梦寐以求地想再一次攻占雅典。他的这种想法部分地固然是由于他的刚愎自用,部分地也是由于他想用在各个岛屿上点起的一列烽火来通告在撇尔迪斯的国王说,他已经占领了雅典。当他来到阿提卡的时候,他却发现雅典人已经不在那里了,但是他却听说,他们大部分都在撒拉米司海面的船 上了。于是他攻占了空无一人的雅典城。在国王第一次攻占该城和玛尔多纽斯后一次进攻该城之间,相隔是十个月。

    (4) 当玛尔多纽斯来到雅典的时候, 他就把一个名叫穆里奇戴斯的海列斯彭特人派到撒拉米司去,这个人带去的 建议和马其顿人亚力山大送到雅典人去的那个建议一样。他再一次送去这个 建议是因为,尽管他已经知道雅典人对他抱着下友好的态度,但是既然他己 用武力席卷阿提卡而将之收归自己的统治之下,则雅典人的顽固态度是会援 和一些的。

    (5)因此之故,他才把穆里奇戴斯派到撒拉米司来:穆里奇戴斯于是来到 五百人会轰的地方,向他们傅达了玛尔多纽斯的通告。于是一位名叫昌奇达 斯的议员发表了自己的意见,他说他认为最好是接受穆里奇戴斯带拾他们的 建议并把这个建议向民会提出。他提出这样的意见或者是由于接受了玛尔多 纽斯的贿赂,或者是由于他自己赞同这种做法,但是会场上的雅典人,以及 听到这个说法的会堤外的雅典人却大为激怒,他们把吕奇达斯包国起来,用 石头把他砸死了。不过他们却没有伤害海列斯彭特人穆里奇戴斯,而仍容许 他离去。环绕着吕奇达斯的事件,在撒拉米司发生了不小的喧骚,而当雅典 的妇女知道所发生的事伴的时候,她们就相互激励地联合在一起,自动地到 吕奇达斯的家里去,把他的妻子儿女也都用石头砸死了。

    (6)雅典人到撒拉米司这个地方来的经过是这样。只要是他们指望着伯罗 奔尼撒的军队会来帮助他们,他们就留在阿提卡。但是,在看到伯罗奔尼撒 人行动得迟援松懈而侵略者据说已经到达贝奥提亚的时候,他们于是就把他们的全部财物移转到安全地带,他们自己则渡海到撒拉米司去,另一方面他 们又派遣使者到拉凯戴孟去,谴责拉凯戴孟人容许异邦人进攻阿提卡而不和 雅典人协力在贝奥提亚邀击异邦人;同时谁典人耍拉凯戴孟人记住,如果雅 典倒戈的话,波斯人许给它的诺言是什么,此外又预先警告拉凯戴孟人说。 如果拉凯戴孟人不派援军前来的话,他们是会想出自己的避难对策来的。

    (7)原来拉凯戴孟人这时正在过祭日,他们正在举行叙阿琴提亚祭(据说是起源于前多里斯的一个祭日。每年六、七月在阿米克拉伊举行,纪念阿波罗和误中阿波罗所 投的铁饼而死的美青年叙阿琴托司),而 这时他们认为把奉祀这位神的事情做好,就是他们兰前最主要的事情了。同 时,他们正在地蚊上修筑的壁垒,现在甚至已经修建到胸墙了。当雅典的使 节借同从美枷拉和普拉塔伊阿人那里来的使节来到拉凯戴孟的时候,他们就 到五长官那里,这样说: (A)“雅典人把我们派来告诉你们说,美地亚人的国王说他愿意把我们的 土地归还我们并和我们缔结公正平等、忠诚无欺的盟约,同时还把在我们的 土地以外我们所选择的任何土地送拾我们。 但是我们,由于我们不愿意对希腊的宙斯神犯下不敬之罪,而我们又认 为背叛希腊乃是可耻的行为,因此我们不曾同意,而是拒绝了他的建议。尽 管希腊人对我们做出了不义之行,尽管希腊人把我们出卖而使我们蒙受损 害,尽管我们知道,和波斯人缔和远比对波斯人作战要有利于自己,尽管如 此,我们仍然不甘愿和他们缔结任何和约。因此从我们的方面来说,我们忠 实地履行了对希腊人的义务。 (B )但是过去曾十分害怕我们会和波斯人缔结和约的你们拉凯戴孟人却 如何呢,由于你们现在已经摸清了我们雅典人的性格。 你们已确信我们将永远不会出卖希腊,由于你们横位地峡而正在修筑的 壁垒差不多已接近完工,这样在今天,你们就不再理会雅典了。尽管你们满 口答应我们在只奥提亚邀击波斯人,但是到时候你们却出卖了我们,结果叫 异邦军进入了阿提卡。因此目前雅典人就生了你们的气,因为你们做了对你 们来说是很不应该的事情,但是现在雅典人请你们火速派一支军队随我们 去,以便我们可以在阿提卡等待异邦罩的进击,因为我们既然失掉了只奥提 亚。则最适于作战的地方就是我国的特里亚平原了。”

    (8)当五长官听到这话的时候,他们却把答复推到第二天,到第二天的时 候,又向下面的一天推,这样他们一天又一天地推了十天。在这期间,全体伯罗奔尼撒人尽一切的努力来修筑地峡上的工事、而他们几乎把它完工了。 我不能武明为什么当马其顿人亚力山大来到雅典的时候(见第八卷第一三五节),拉凯戴孟人非常担心雅典人会站到美地亚一方面夫,而现在却又根本不把这件事放在心上。这 理由只不外是他们现在已在地峡上修筑了工事并认为他们不再需要雅典人 了,但是在亚力山大来到阿提卡的时候,他们正在修筑他们的壁垒而还没有 完工,因此他们是特别害怕波斯人的心情下进行修筑工作的。

    (9)但是,最后斯巴达人的回答和斯巴达军出师的方式是这样的。在规定 最后一次接见的那天的前一天,一个叫做奇列欧斯的铁该亚人从五长官那里 听到了谁典人所说的一切,这个奇列欧斯在斯巴达人当中是势力最大的一个 异邦人;他在听到雅典人所说的话之后,据说他就向五长官说:“五长官,目前的情况是这样的。如果雅典人成了我们的敌人和异邦人的同盟者,那末, 虽然你们在地峡上面修筑了一道坚强的壁垒,却仍然有一个大敝四开的门可 以把波斯人引人伯罗奔尼撒。我看,在雅典人作出什么会使希腊吃亏的新的 决定以前,还是听从他们的意见罢。”

    (10)以上就是他对五长官所作的劝告,五长官立刻考虑了他的劝告。他 们没有向从这些城市来的使节讲任何话,而在天还未亮的时候,便派出了五 千名斯巴达军队,又拾每个斯巴达人指定了七个侍从的希劳特。他们派克列 欧姆布洛托斯的儿子帕扁撒尼亚斯担任斯巴达军的统帅,统帅的职位本应属 于列欧尼达司的儿子普列司塔尔科斯,但她那时还是一个男孩子,而帕岛撒 尼亚斯却是他的从兄和监护人。原来帕鸟撒尼亚斯的父亲和阿那克桑德里戴 斯的儿子克列欧姆布洛托斯己不在人世了。在他把修筑壁垒的军队从地峡率 领回去以后不久,他便死去了。克列欧姆布浴托斯把军队引离地峡的理由是 这样。正当他为了战胜波斯人而奉献牺牲的时候,天上的太阳却暗了起来(四八○年十月二日的日偏食)。 帕鸟撒尼亚斯选了一个同族出身的人作他的同僚,这个人是多里欧司的儿子 埃扁律阿那克斯(埃鸟律阿那克斯是帕鸟撤尼亚斯的叔伯兄弟,因为多里欧司和帕鸟撒尼亚斯的父亲克列欧姆布洛托斯是 兄弟)。这些军队就随着帕鸟撒尼亚斯离开了斯巴达。

    (11)但是在天刚亮的时候,使节们就到五长官这里来了,他们并不知道 斯巴达军队业已开拔的事情,而且他俩自己也想各自返回自己的城市去了: 于是在他们来的时候,他们就说:“拉凯戴孟人啊,你们还留在这个地方举 行叙阿琴提亚祭,还在自己寻欢作乐,却完全不属你们邢陷于困境的同盟者。 雅典人由于你们对他们干了不正当的事情,再加上没有同盟者,他们将要尽 他们力之所及来和波斯人讲和,自此之后,既然我们很明显地变成了国王的 同盟者,那我们就要随着他去进攻他的军队颁我们所去的任何地方了。那时 你们就会知道这件事情对你们将要有怎样的后果了”。这就是使者们讲的话。 于是五长官便发誓向他们说,他们相信他们那征讨外国人的军队现在已经到 欧列斯提欧姆了,他们是把异邦人称为外国人的。由于使节并不知道这件事, 便进而询问这些话是什么意思,而在晓得了全部的真实情况之后,他们感到 吃惊,于是火速地起程去追赶大军去了。和他们一同去追赶的,还有五千名 拉凯戴孟的佩里欧伊科司(见第六卷第五八节)的精锐重武装兵。

    (12)这样,他们便赶忙地来到了地峡。但是阿尔哥斯人却已经答应玛尔 多纽斯说,他们耍阻止斯巴达出兵作战;因此当他们一听到说帕鸟撒尼亚斯 和他的大军已经离开斯巴达的时候,他们就把他们所能物色到的最快的远途 信使作为他们的使者派到阿提卡去,而当这个人来到雅典的时候,他就向玛 尔多纽斯这样说:“阿尔哥斯人派我到达里来告诉你,拉凯戴孟的壮丁已经 出发作战了,而阿尔哥斯人并未能阻止他们这样做。因此,想个什么好办法 来应付局面罢。”

    (13)使者这样说了之后,就又回去了。而在玛尔多纽斯听了这话的时候, 他便不再想留在阿提卡了。但是,在他听到这事之前,他没有任何举动,而 是想知道雅典人作何打算,想知道他们预备如何做,因此他既未伤害,又未 蹂躏阿提卡的土地,因为他还是一直在认为雅典人会和他缔结和约的。但是当他不能说服他们#知道了事情在全部真实情况的时候,在帕扁撒尼亚斯率 部进入地峡之前,他便撤退了:但是在撒退之前,他首先把雅典用火点着, 并且把还留在那里的任何城壁或家宅或神殿完全摧毁破坏。至于他把军队撤 走的原因则是,阿提卡不适于骑兵的活动,而如果他在一次战斗中被战败的 话,那末除了一条少数人便可截击的狭窄通路之外,没有任何可以撤退的道 路。因此他的计划是退到底比斯去,想在一个接近友方的城市并适于畸兵作 战的地点屡开战斗。

    (14)于是玛尔多纽斯就把他的军队撤去了,而当他还在路上的时候,他 得到消息说,另有一支由一千名拉凯戴孟人粗成的先锋队已经到达美伽拉。 他听到这一情况时,便寻思用什么办法他可以首先解决这一批人,于是他便 转过来率军向美伽拉进兵了。在先头的是他的骑兵,骑兵蹂躏了美伽拉的领 土。这是这一支波斯军在欧罗巴日没方向的那一方面所到达的最远的地方。

    (15)但是在这之后,瑶尔多纽斯又接到一个消息,说希腊人都集合在地 峡地带。于是他便通过戴凯列阿退却了。原来贝奥提亚的首领们(由十一人组成的贝奥提亚联盟的执行委员)曾把和他们 相邻的一些阿索披亚人召请来,而这些人就把他引导到司潘达莱斯,从那里 叉把他引导到塔那格拉;在塔那格拉他驻屯了一夜,第二天早上他从那里又 到司科洛斯,这样就进入了底比斯的倾士。虽然底比斯人是站在波斯的一方 面,他仍然削平了底比斯土地之上的树木:他这样做并不是因为他对底比斯 人怀有故意,异乎寻常的必要使他不得不为他的罩队修造坚强的工事,为的 是在战争的桔果与他的木愿相逢背的时候,他可以用它作为避难的地方。他 的军队的驻屯地区以埃律特莱伊为起点,通过叙喜阿伊而进入普拉塔伊阿人 的颁士;在这一带,他们是沿着阿索波司河驻屯的。不过,他的壁垒却修造 得没有这样长,它每一面的长度大概是十斯培迪昂。 正当异邦军从事于这项工作的时候,一个底比斯人普律农的儿子阿塔言 诺斯在作了重大的准备之后,邀请玛尔多纽斯和五十位最显赫的波斯人前来 参加宴会。他们应邀前来了,宴会是在底比斯举行的。

    (16)在这件享之后的一切情况,是我从欧尔科美诺斯人、欧尔科美带斯 地方最著名人士之一铁尔桑德洛斯那里听来的。根据铁尔桑德洛斯的眩法, 他自己也曾应邀赴宴,此外还有五十名底比斯人。阿培吉诺斯给他们安排的 坐法,并不是每人分坐,而是每一个波斯人和每一个底比斯人共坐在一个长 椅子上面。在吃完饭之后他们正在相互交怀饮酒的时候,和他坐在一起的波 斯人便用希腊语问铁尔桑德洛斯他是什么地方的人,铁尔桑德洛斯便回答说 他是欧尔科美藉斯地方的人。于是那个波斯人就说:“既然你和我同卓其食, 随后又和我一同饮酒,我很愿意耍你知道一下我自己的想法,这样刚在你自 己知道了这样的事情以后,你就可以为你自己的安全想个最妥善的办法了。 你看见赴宴的这些波斯人和驻屯在河边的我们那些军队么,位一会儿以后, 你就会看到,在所有这些人当中,能留活命的只不过是宴寥可数的几个人罢 了”。波斯人说了这话就痛哭起来。铁尔桑德洛斯听到这话感到惊讶,便对 他说:“那末,你不是必须得把这件事告诉玛尔多纽斯和跟他在一起的、仅 次于他的那些尊贵的波斯人吗?”但波斯人回答说:“朋友,凡是上天注定 要发生的事情,任何人是都不可能扭转的;甚至对那些讲真话的人,都没有 人肯相信他们。我方才所说的话,我们话多波斯人已经知道了,可是由于受制于必然,我们坯得非得遵命而行不可。在人类的一切悲哀当中,最可厌的 莫过于一个人知道的多,却又无能为力了。”以上的事是我从欧尔科美诺科人铁尔桑德洛斯那里听来的。铁尔桑德洛斯此外还告诉我说,在普拉塔伊阿战役之前,他立刻把这事告诉了别的人们。

    (17)玛尔多纽斯在只奥提亚布阵的时候,所有当地站在波斯人一方面的 希腊人就提供兵员并且和他一同进攻雅典,例外的只有波奇司人,他们实陈 上是站到了波斯人的一面,不过他们这样做是不得已的,不是出于木意的。 但是当波斯人来到底比斯以后不几天的时候,却有一千名波奇司的重武装兵 到达那里,李领这支军队的是他们市民当中最知名的人士哈尔摩库戴斯。在 这些人来到了底比斯的时候,玛尔多纽斯就把畸兵派出去,并且命令波奇司 人自己驻屯在平原上面。在他们这样做了之后,波斯的全部骑兵忽然都来了; 随后在跟美地亚人在一起的希腊军队,以及在波奇司人本身当中就都风傅, 说这些骑兵要把他们射死。于是,他们的将领哈尔摩库戴斯便激励他们,向他们说:“波奇司人啊,既然非常明显、我猜想由于我们受到帖撒利亚人的 残诬,我们不久一定会死在这些人的手里,因此你们每一个人都应该行动得 象个男子汉大丈夫。因为与其由于一次极不名誉的死亡而俯首甘使自身灭 亡,那反而是做些什么事情并战斗而后死亡好些了。不,我们要叫他们懂得, 他们这些异邦人所打算耍杀死的人们是希腊人”。

    (18)他就是这样地激励他们的。当畸兵把波奇司人包围在一个园圈里面 的时候,他们拍焉向波奇司人奔来好象是耍杀死他们的样子,他们江举起了 投枪,仿佛是要投出来的样子。于是波奇司人便聚捅起来,尽力密集他们的 队伍而从各方面来迎击他们。于是骑兵便回马退走了。我不能确说,他们是 不是应帖撒利亚人之请,前来杀戳波奇司人的:可是当他们看到波奇司人在 准备自卫的时候,便害怕自己也会受到某些伤害,于是就骑着马回去了(因为 玛尔多纽斯是这样命令他们的)。也许是玛尔多纽斯想试一试他们的勇气。但 是当畸兵离开之后,玛尔多纽斯便派来了一名使者,向他们传达说:“波奇司人,你们放心罢,因为跟人们报告给我的情况不同,你们已证明你们是勇 敢的人。请努力地进行这一堤战争罢;因为在报答好意这一点上面你们是不 会超过我和国王的”。关于波奇司人的事情就是以上这些了。

    (19)另一方面,当拉凯戴孟人来到地峡地带的时候,他们就在那里扎营 了。而在相机行事的其余的伯罗奔尼撒人听到,或是看到斯巴达人出发作战 的时候,他们便以为在这件事上落到拉凯戴孟人的后面是不好的。由于牺牲 的占卜表现了吉兆,于是他们便全军开出了地峡,来到了埃列岛西斯;而当 他们又在那里奉献牺牲,而也得吉兆的时候,他们便继续向前推进,这时雅 典人己和他们在一起了,雅典人是从撒拉米司渡海前来并在埃列扁西司和他 们会合在一起的。据说当他们来到只奥提亚的埃律特莱伊的时候,他们听说 异邦军驻扎在阿索波司河沿岸,而他们在考虑了这一点之后,便在奇泰隆山 的山麓地带对着敌人列阵了。

    (20)玛尔多纽斯看到希腊人不下来到平原上面,便把自己的全部骑兵派 出去对付他们,骑兵的统帅是在波斯人当中很受尊敬的一个名叫玛西司提欧 斯的人,而希腊人刚称他为玛奇司提欧斯,他骑着一匹涅赛伊阿马,这匹焉 有着黄金的且而且在它所有其他的地方也都装饰得很华丽。于是骑兵就在那 里向希腊人发动进攻,他们是列成方阵进攻的,进攻的桔果是使希腊人受到 很大的损害,因此他们把希腊人说成是妇女。

    (21)但恰巧美伽拉人所在的地方正是最容易受攻击的地方,而骑兵主要 地也正是把他们的进攻集中在这里。因此,当美伽拉人受到骑兵的进攻而威 到对方重压的时候,便派遣一位傅个官到希腊的将领们那里去。他到他们那 里向他们这样说:“美伽拉人向联盟军傅言:尽管在敌人的重压之下我们直 到目前江以忍耐和勇敢保持着自己的阵地,但是在我们起初被指定的这个阵 地上面,我们是不能独力对抗波斯骑兵的:现在你们要知道清楚,如果你们 不把其他人等派来接管我们的障地,我们就要把它放弃了”。傅令者就是这 样报告的,于是帕扁撒尼亚斯便征询希腊人的意见,问谁愿意到那里去接防, 把美伽拉人拾换下来。没有其他的人愿意去,但是雅典人自愿去换防;雅典 人中担起了这项任务的是兰彭的儿子欧林匹奥多洛斯统北之下的三百名精 锐。

    (22)这些人便是接受了这项任务的人们,他们在所有其他希腊军队的先 头,带着弓兵驻扎在埃律特莱伊。他们战斗了一个时候,战斗的结果是这样 的。正在畸兵列成方障进攻的时候,领在其余军队前面的玛西司提欧斯的乘 骑,在肋部中了一支箭,马病得用后腿站了起来,这样就把玛西司提欧斯给 摔了下来;而在他摔了马来的时候,希腊人立刻向他进攻。他的马当场给雅 典人捉住了,他本人则在抵抗的时候被杀死,虽然,在开头的时候,他们还 不能把他杀死;原来他是这样武装起来的:在他雾的紫袍下面,是一伴鳞状 的黄金蹬甲,雅典人向胴甲上刺是毫无用处的。直到后来,才有人看到他们 无济干事而刺他的眼,这样他才倒地死掉了。不知怎的,其他的畸兵竞完全 不知道这样的事情;因为他们没有看见他从马上掉下来,也没有看见他被杀 死。在他们回旋和退却的时候,他们井没有注意到所发生的事情。可是等他 们一停下的当儿,由于没有人向他们发号施舍,他们祥龙无首了;而等他们 知道了发生的是什么事情时,他们便相互激励,把全部骑兵汇合在一起想把 尸首夺回。

    (23)当雅典人看到骑兵不是象先前那样列为方障,而是集合整个部队向 他们攻来的时候,他们便向其他的罩队呼号求救。而当他们的全部步兵聚拢 来增援之陈,在那里为了死尸爆发了一堤非常激烈的战斗。当三百个人伍军 奋战之际,他们处于远逊于敌方的劣势地位,并且眼看就要把尸首放弃了。 但是当主力前来增援以后,则骑兵的一方面却再也支持不住了;他们不仅是 夺不回死尸,此外他们还损失了他们的一部分骑兵。因此他们退却了,他们 停驻在离那里两斯塔迪昂左右的地方,在那儿他们商量今后的办法,结果由 于失去了统帅,他们便决定收兵回到玛尔多纽斯那里去了。

    (24)当骑兵返回营地的时候,玛尔多纽斯和全军对玛西司提欧斯的死表 示了极大的哀悼,他们剃掉了自己的头发,剃掉了他们的马匹和驮畜的毛发, 并且长时间不停地痛哭。他们的哀号之声,在整个只奥提亚都可以听得到, 因为这次阵亡的人,在全体波斯人中间以及对于国王来说,是受到仅次于玛 尔多纽斯的最大曾重的人物。 异邦人就这样地依照他们自己的风俗习惯,对死夫的玛西司提欧斯表示 了敬意。

    (25)但希腊人这衣邀击骑兵,并在邀击后打退了骑兵,因此勇气大大地 增长起来了。首先他们就把尸体安放在马车上,顺着他们的队伍走了一遍; 因为这具尸体不但魁梧,而且姿容美好,是值得一看的。正因如此,他们竟 而情不自禁地离开了他们的队伍来看玛西司提欧斯的尸体。随后他们便决定 他们下行开到普拉塔伊阿去,因为他们认为那个地方在一切方面都远比埃律 特菜伊更适于布阵,特别是那里水源的情况比较好。他们决定他们必垣到这 个地方以及这个地方的伽尔伽披亚泉这里来,并把他们的军队分列成战斗的 队形布置在这里;于是他们就拿起他们的武器,沿着奇泰隆山的山麓,通过 叙喜阿伊,来到了普拉培伊阿的土地。他们到那里之后,就在伽尔伽披亚泉 以及英雄安多罗竞拉铁斯的圣域附近的一些不高的小丘间和一块平原上依照 不同的民族而列下了阵营。

    (26)在战斗的配置上面,铁该亚人和雅典人之间发生了很大的争论,因为他们每一方面都宣称他们应当占罩队的另一翼的阵地(就是扯凯戴孟人所不占有的那一翼阵地),为此而列举出他们 的新的和旧的许多功业作为论据。铁该亚人这一方面的主张是这样:“自从 海拉克列达伊族在埃扁律司铁鸟斯死后试图返回伯罗奔尼撒以来,在伯罗奔 尼撒联军过去和輓近的一切战役当中,圣联盟军一直公认我们是有权利占居这个地位的。当时我们是由于做了下迹的事情,才得到了这个权利的。当我们和当时住在伯罗奔尼撒的阿肌亚人与伊奥尼亚人一道向地峡地带集结准备战斗并和迈诬的人们对峙列阵的时候,据说叙洛斯(海拉克列断的儿子)曾提出他的意见,认为最 好是不要冒险使两军交锋,而是要他们自己从伯罗奔尼撒军队中选出他们认 为是最优秀的人物来和他在相互构定的条件之下单独战斗。伯罗奔尼撒人也 决定同意这样做,于是他们便缔结了一项誓约说,如果叙洛斯战胜了伯罗奔 尼撒的选手的话,海拉克列达伊族便应返回他们父祖的土地,但如果他本人 被对方战胜的话,则相反地海拉克列达伊族便应离开并领走他们的军队,而 且他们在一百年以内也不要再想返回伯罗奔尼撒了。那时我们的统帅和国 王,埃洛波司的儿子佩该岛斯的儿子埃凯穆斯便自己推荐自己井被联军全军 选了出来;于是他在那场决斗当中把叙洛斯杀死了。由于这次的战勋,那时 的伯罗奔尼撒人便不单是拾予我们一直不断地享受着的其他种种巨大特权, 而且在联军的一切战役中间,我们是永远有权占有另一翼的阵地的。但是对 于你们拉凯戴孟人,我们是没有反对意见的,我们甘愿任凭你们自由选择你 们所要统率的一翼:可是我们要声明,我们要和先前那样地统率另一翼。而 且抛开我们所说的功业不论,我们也比雅典人更存资格占有这样的地位的, 因为对你们拉凯戴孟人以及对其他人等,我们曾打社多次漂亮的仗。因此, 另一翼应当是由我们,而不是由雅典人来统率的。因为不拘是过去汪是近来, 他们从来不会成就过象我们这样的勋业”。

    (27)上面是铁该亚人的说法;但雅典人却是这样回答的:“我们认为, 我们现在集合在这里是为了对异邦军作战,而不是为了争论。但是既然铁该 亚人有意谈一谈我们任何一个民族在任何时候成就的一切新旧勋业,那我们 也就不得不告诉你们,为什么是我们,不是阿尔卡地亚人,由于我们世代的 武勋,而取得了世袭的权利来占有这一优势的地位。这些铁该亚人说,是他 们在地峡杀死了海拉克列达伊族的首领,可是当着海拉克列达伊这一族为了 逃避迈锡尼人的奴役,向全体希腊人求援而遭受拒绝的时候,只有我们收容 了他们(叙洛斯为他的敌人埃鸟律司铁鸟靳所追击曾逃到雅典人那垦去避难,并借着雅典人的帮助打败并杀死了 埃鸟律司铁鸟斯和他的儿子们),并借同他们一鲨打败了当时居住伯罗奔尼撒的人们,这样我们就打垮了埃扁律司铁岛斯的横做。再者,当随同波律涅凯斯(指波律涅凯斯想从他兄弟埃提欧克列司手中收复底比斯的事情)征讨底比斯的阿尔 哥斯人在战场上阵亡而尸体无人葬埋的时候,要知道,是我们派出了自己的 罩队去讨伐卡德美亚人,收回了他们的尸体井将他们埋葬在我们国内的埃列 扁西斯地方的。对于一度从铁尔莫东河方面突人阿提卡的阿焉松们,我们位 去曾取得巨大的胜利;而在特洛伊战役的艰苦日子里,我们也丝毫不落后于 任何人。可是再提起这些事情已经没有什么意思了,因为当时的勇士现在也 许会成为懦夫,而当时的懦夫今天又许会成为勇士,汪是不必再提旧 日的那 些勋业了罢。老实讲,我们实际有着决不次于任何希腊人的许多丰功伟绩, 但纵令我们没有成就任何一件业横,单就我们在马拉松一地的战勋,我们便 有资格享受这个。或是更多的荣誉了,因为在全体希腊人当中,只有我们单 独和波斯人交锋,在那样的巨大事业当中我们没有辱命,我们打败了四十六 个民族。单单是这一桩功业,难道我们还不应当占有这个地位吗,可是由于 目前不宜于为我们在战争中的地位而争论,因此拉凯戴孟人,我们愿意听你 们的话。随你们的斟酌,春我们最适于占居什么地方和对什么敌人作战罢, 随你们把我们安置在什么地方,我们都将尽力奋勇作战。我们既准备从命, 那末便请下命令罢”。

    (28)以上便是雅典人的回答了。拉凯戴孟人的全军于是高声呼喊说,雅 典人比阿尔十地亚人更有资格占居一翼。雅典人既然比铁该亚人更受欢迎, 于是他们便取得了那个地位。 随后,最初来的和随后陆续到来的希腊全军就作了如下的布置。右翼是 一万名拉凯戴孟人,其中斯巴达人五千名,他们每一个人有七名经武装的希 劳特,这样他们就有了一支三万五千名的护卫军。斯巴达人把铁该亚人在战 斗中部署在自己的身旁,这一方面是表示对他们的尊重,又是由于他们的勇 敢。铁该亚人中间有一千五百名是重武装兵。在这道战线上接在他们后面的 是五千名科林斯人,由于他们之请,帕乌撒尼亚斯同意当时从帕列涅来的三 百名波提戴阿人配置在他们的身旁;再下面是从欧尔科美诺斯来的六百名阿 尔卡地亚人,接在他们后面的是三千名希巨昂人。接在希巨昂人后面的是一 千名特罗伊真人,特罗伊真人后面是二百名列普勒昂人,后面是四百名迈锡 尼人和提律恩司人,再后面是一千名普里欧斯人。接在普里欧斯人后面的是 三百名赫尔米昂涅人。赫尔米昂涅人的后面是六百名埃列特里亚人和司图拉 人;在他们后面是四百名卡尔启斯人,再后面是五百名阿姆普拉奇亚人。 阿姆普拉奇亚人的后面是八百名列岛卡地亚人和阿那克托利亚人。在他 们后面是凯帕列尼亚的帕列人二百名,在这些人后面是五百名埃吉纳人,埃 吉纳人后面是三千名美伽拉人,接着美伽拉人的是六百名普拉塔伊阿人。在 末尾的地方,也可以说是在最前面的地方,八千名雅典人配置在左翼的地方。 雅典人的将领是吕喜玛科斯的儿子阿里司提戴斯。

    (29)除去分配给每一个斯巴达人的七个人之外,所有这些人都是重武装 兵,他们全体的人数是三万八千七百人。集合起来对付异邦罩的重武装兵的 人数便是这些:至于经武装兵的人数,则属于斯巴达部队的是每一重武装兵 配备七人,即三万五千人;他们都给武装起来了。其他拉凯戴孟人和希腊人 的经武装兵则是每一重武装兵配备一人,他们的人数是三万四千五百人。这 样,准备参加战斗的经武装兵的总数,就是六万九千五百人了。

    (30)而集结在普拉塔伊阿的重武装兵和经武装兵,加到一起就是差一千 八百整整十一万人了。但是在那里的铁斯佩亚人却把他们补足为十一万人。 原来残存的铁斯佩亚人(指未在铁尔摩披莱战死的人们)也在军中,他们是一千八百人,但并不是重武装兵。

    (31)于是这些人列了阵并配列在阿索波司河的沿岸地带。当玛尔多纽斯 麾下的异邦军停止了他们对玛西司提欧斯的哀悼并听到说希腊人到了普拉塔 伊阿的时候,他们也便来到了流经那里的阿索波司河的沿岸地带。当他们到 达那里的时候,他们便恰巧尔多纽斯象下面这样地列成了战阵,玛尔多纽斯 使波斯人和拉凯戴孟人对峙;而鉴于波斯军的人救大大地超过了拉凯戴孟 人,因此波斯人便列成了较厚的队形,其队列长得还和铁该亚人相对峙了。 在列阵的时候,他把波斯军当中最精锐的部分选拔出来和拉凯戴孟人相对 峙,而把较弱的部分用来和铁该亚人相对;他是根据底比斯人的意见和指导 这样做的。他在波斯人的后面配置了美地亚人,用来和科林斯人、波提戴阿 人、欧尔科美诺斯儿、希巨昂人相对峙。接着美地亚人的是巴克妥利亚人, 与巴克妥利亚人相对峙的是埃披道洛斯人、特罗伊真人、列普勒昂人、提律 恩司人、迈锡尼人和普里欧斯人。接着已克妥利亚人的是印度人,用来和赫 尔米昂涅人、埃列特里亚人、司图拉人和卡尔启斯人相对峙。印度人以次, 他配置了撒卡依人,用来和阿姆普拉寄亚人、阿那克托利亚人、列扁卡地亚 人、帕列人和埃吉纳人相对峙,接在撒卡依人之后,和雅典人、普拉培伊阿 人、美伽拉人相对峙的是只奥提亚人、罗克里斯人、玛里司人、帖撒利亚人 和一千名波奇司人;原来并非是全体波奇司人都站在波斯人的一方面,他们 的一部分是帮助希腊人的。这些人曾被包国在帕尔那索斯,他们从那里突围, 蹂躏了玛尔多纽斯的军队和与玛尔多纽斯在一起的希腊军队。此外,他汪部 署了马其顿人和帖撒利亚一带的居民来和雅典人相对峙。

    (32)以上我所列举的,是玛尔多纽斯所配备的民族中最大的一些,也是 最著名和是重要的;但是此外在军队中还有由普里吉亚人、色雷斯人、美西 亚人、派欧尼亚人以及其他民族所混合成的一群人,更有埃西欧匹亚人和被称为赫尔莫提比埃斯和卡拉西里埃斯的、佩刺的埃及人(参见第二卷第一六四节);这种埃及人是埃及唯一的武人。这种人过去一直是在船上作战的,直到玛尔多纽斯还在帕列隆时,这才把他们从船上转移到陆地上来:原来埃及人并没有给编到随克谢尔克谢斯来到雅典的陆军里面。因此,正象我上面所说的,异邦军共有三十万 人:至于和玛尔多纽斯联盟的希腊人的人数,却没有人知道(实陈上他们没有 给人计算过)。如果可以推测一下的话,则我以为他俩纠合了大概有五万人。 以上所配列的都是步兵,骑兵则是分别配列的。

    (33)为他们全军都分别按照民族和军团配置好的时候,第二天两军就奉 献了牺牲。为希腊人方面奉献牺牲的是安提奥科斯的儿子提撒美藉斯,因为 他是随军的占卜师。他是一个埃里司人,是雅米达伊族(埃里司有名的预言者家族。克吕提亚达伊族也是埃里司的预言者,但和雅米达伊族没有 关系,因此有人主张把这个字删掉)的(克吕提亚达伊族 人〕,拉凯戴孟人曾使他归化为自己的市足。原来当提撒美诺斯为了子嗣的 事情向戴尔波伊蒲示神托的时候,佩提亚向他预言,说他将要在五次重大的 角逐中取得胜利。他误解了神托的含意,而开始进行体育锻炼,打算在这样的运动比赛中取得胜利。他自己进行了五项运动(跑、跳、角力、标枪和铁饼)的练习,不过在奥林匹亚运 动会上和安多罗斯人谢洛尼莫斯比赛时,却由于角力这一项失败而发有取得 奥林匹亚的胜利荣冠。可是拉凯戴孟人却看出,给子提撒美藉斯的神托,并 不是意味着运动比赛,而是意味着战争方面的角遂。于是拉凯戴孟人便试图 用金钱贿买提撒美诺斯,要他和他们的海拉克列达伊族的国王一道来领导他 们的战争。可是当他看到斯已达人十分想跟他拉拢交情的时候,他就抓住这 一点自己抬高身价,并且要斯马达人知道,除非把正式公民身份和一个公民 的全部权利给他,他是任何报酬都不答应的。斯已达人听到这话的时候,起 初感到愤慨,并且完全放弃了他们的请求。可是当波斯大军的可怕的威胁逼 临到他们头上的时候,他们便只得向他表示同意并答应了他的要求。可是当 他看到他们的意思改变了的时候,他又说甚至只是这样的条件,他也不能满 足了,他说他的兄弟海吉亚斯也必须以和他同样的条件成为斯巴达人。

    (34)在他这样说的时候,把要求王权和要求市民权看作一回事,就此而 论,他是模仿美拉姆波司的。原来当阿尔哥斯的妇女发起狂来,而阿尔哥斯 人想用钱把他从披洛斯请来医治她们的疯病的时候(传说阿尔哥斯的妇女是由于得罪了狄奥尼索斯才发起疯来的,通晓狄奥尼索斯密仪的美拉姆波司 治好了她们的病症,希腊作家很多人提到这件事,但情节互有出入),美拉姆波司要求他们的 王权的一半作为自己的报酬。阿尔哥斯人不能容忍这一点,便离去了。可是 当疯病在他们的妇女当中蔓延开来的时候,他们立刻便同意了美拉姆波司的 要求并且愿意把王权给他。可是,美拉姆波司看到他们改变了自己的主意时, 却抬高了他的要求,他说除非他们再把三分之一的王权给他的兄弟比亚斯, 他是不会答应他们的要求的。已经陷于穷境的阿尔哥斯人,不得已连这一点 也同意了。

    (35)同样地,斯巴达人也是这样地迫切需要提撒美诺斯,因此他们同意 了他的一切要求,当他们在这一点上也同意了他的请求时,于是这时变成了 斯巴达人的埃里司人提撒美诺斯便为他们掌理卜筮之事,从而帮助他们获得 了五次极大的胜利,除去提撒美诺斯和他的兄弟以外,世界上再没有任何人 变成斯巴达的公民了。以下便是他们取得的五次的胜利。其中的一次,即第 一次,是普拉塔伊阿的胜利;再下面的一次是在铁该亚战胜了铁该亚人和阿尔哥斯人;在这之后是在迪帕伊那斯战胜了曼提涅亚人以外的全体阿尔卡地 亚人;再下一次是在伊托美战胜了美塞尼亚人;最后是在塔那格拉战胜了雅 典人和阿尔哥斯人,这是五次胜利中最后得到的一次胜利。

    (36)现在随着斯巴达人来的便是这个提撒美诺斯,他就在普拉塔伊阿地方为希腊人进行卜筮。但奉献牺牲的结果是:如果他们只取守势的话,则吉;如果渡过阿索波司河首开战端的话,则凶。

    (37)然而一心想首启战端的玛尔多纽斯,在奉献牺牲卜筮之后,是不达心的,因为它的结果也是取守势则吉利。他也是使用希腊式的牺牲奉献法的; 他的占卜师是埃里司人海该西斯特拉托司,这是铁里亚达伊族当中最有声名 的人物。在这之前,斯巴达人曾把他擒拿入狱并想把他处死,因为他曾做了 许多伤害斯巴达人的事情,陷入了这样的苦境的这个人,既然有生命的危险,而在死亡之前又很可能要遭受许多酷刑,于是他做出了一件使人几乎难于置 信的事情。他是被系在上了铁锁的木枷之内的;他弄到了一件不知怎的带到了他的狱中的铁制武器,而立刻想出了一个我们从来没有听说过的极其大胆 的计划。他计算他的脚的残留部分怎样能尽可能多地得到解脱,这样便从脚背上割掉了自己的脚。这样做了之后,由于有守卫监视着他,他便在墙壁掘 了窟窿逃出去,这样便逃到了铁该亚;他在夜里赶路,白天则藏到树林里去潜伏在那里,而到第三个夜里,他便到了铁该亚。就在这时,拉凯戴孟人举国对他进行了搜索;当他们看到他的半只脚被切断在那里而找不到他本人的时候,他们是非常惊讶的。他就这样地从拉凯戴孟人那里逃开,到铁该亚去避难了,因为铁该亚人当时和拉凯戴孟人并不是友好的。而在他的伤口治愈, 并给自己安上一只木脚之后,他便公然宣布自己是拉凯戴孟人的敌人。不过, 他对拉凯戴孟人的敌意终于没有给他带来什么好处,因为拉凯戴孟人当他在札显托斯进行卜筮的时候还是把他捉住并把他杀死了。

    (38)不过海该西斯特拉托司的死却是沓拉培伊阿之役以后的事情了。现在他却为玛尔多纽斯重金所聘,在阿索波司河河畔奉献牺牲以卜吉凶了:他 热心干这件事,一方面是由于他对拉凯戴孟人的憎恨,另一方面也是为了报 酬。既然对波斯人本身来说,或是对和波斯人在一起的希腊人来说,牺牲的 朕兆都不利于作战(原来希腊人也有他们自己的占卜师,即列岛十地亚人昔波 玛科斯),同时希腊人方面这时却一直在有人加入进来,因而他们军队的人数 便不断在增加,底比斯人海尔披斯的儿子提玛盖尼戴斯便建议玛尔多纽斯守 住奇泰隆的山道,他告诉玛尔多纽斯说,希腊的军队每天每天都在增加,这 样玛尔多纽斯便可以把他们的许多人遮断了。

    (39)当仙向玛尔多纽斯提出这个建议来的时候,两军对峙以来已经八天 过去了。玛尔多纽斯认为他的这个意兄是很好的,于是在天一黑的时候,便 派遣骑兵柱通向普拉塔伊阿的奇泰隆山路去;只奥提亚人刚称这条山路为“三 头”,而雅典人则称它为“栎树头”。派去的这一批骑兵不是没有效果的。 在进入平原的时候,他们拿捕了从伯罗奔尼撒运遂粮食给军队的五百头驮 畜,还有跟搬运车在一起的人邑。在得到这些卤获品之后,他们就毫不留情 地连人带牲畜都加以残杀。而在他们杀够了的时候,便把剩下的人畜包回起 来,把他们驱赶到玛尔多纽斯和他的营地那里去了。

    (40)在这一事件之后,他们又等了两天;在这两天里,双方都不愿启战 端。虽然异邦军开到阿索波司河的河岸想来试探一下希腊军的劝静,但双方 却都不渡河。不过玛尔多纽斯的骑兵却一直在迫占和困扰希腊人:而十分热 心地站到美地亚人一方面去的底比斯人则是拼命地想接战,他们不断地把战 争推进到真正动手的程度、在这之后便翰到了波斯人和美地亚人,现在正是 他们来显示勇武的时候了。

    (41)十天过去了,但发生的事情不过是上面的这些而已。但是从双方在 普拉塔伊阿最初对峙列阵以来的第十一天,希腊人的人数大大地增加了,但 玛尔多纽斯却由于这种因循无所事事而极感苦恼:于是戈布里亚斯的儿子玛 尔多纽斯和克谢尔克谢斯所信任的其他少数波斯人之一的帕尔那凯斯的儿子 阿尔塔已佐斯便进行了讨论。在讨论时他们的意见有如下述,阿尔塔巴佐斯 认为最好是尽快地移转他们的全军,把全军引到底比斯的地里去,在那里给 他们自己储备大批的军粮,并给他们的驮畜准备秣草,然后他们便可以在那 里安安静静地坐候自己完成自己的事业了。方法是这样:他们既然拥有大量铸造成货币的和未经铸造成货币的黄金,既然拥有大量白银和怀盏,他们便 可以毫不吝惜地把这些东西分运给希腊所有各地的人们,特别是希腊各个城 市的那些显贵知名之士。这样一来,希腊人很快地就会交出他们的自由,而他们也便不会冒险交战了。他的这个意见是和底比斯人的意见相同的,因为 他比起别的一些人来是具有先见之明的人物。但是玛尔多纽斯的意见却是更 为强烈和顽固,丝毫没有让步的意思,他说他认为他们的军队比希腊的军队 耍强得多,因此他们应当尽快地挑起战争而不能再忍耐下去春看希腊人集合 越来越多的兵力。至于海该西斯特拉托司的牺牲,他们不必去管它,也不必 对之加以强求,但他们却应当按照波斯的风俗习惯开始作战。

    (42)没有人反对这样的说法,因此他的意见被通拉了,因为受国王之托, 担任全军最高统帅的正是他,而不是阿尔塔巴佐斯。于是他把各军团的首长 和与他在一起的希腊人的将领们召集了来,问他们是否知道有位什么神托, 曾预言波斯人会死在希腊。被召来的人们默不作声,他们有的人不知道神托, 有的人知道这神托,却认为说了对自己有危险,于是玛尔多纽斯自己就说: “既然你们或是不知道,或是知道而不敢说,那末,我就来把我所知道的全 部情况讲抬你们听罢。有一个神托说,波斯人命中注定要来到希腊,而他们 在把戴尔波伊的神殿劫惊之后,就要全部死在那里。我们也知道了这个神托, 因此我们就既不走近这个神殿,也不想劫掠它。而既然我们的毁灭耍决定于 那一点,这样我们就不会遇到什么祸事了。你们中间所有对波斯人抱看好意 的人们,既然知道我们因此将要战胜希腊人,则你们可以安心了”。这样说 了之后,他便下令准备一切,为第二天拂晓就要开始的战斗作妥善的安排。

    (43)玛尔多纽斯所提到的,说是关系到波斯人的这个神托;我知道它原 来不是关系到波斯人,而是关系到伊里利亚人和恩凯列司的军队的。但是关 于这次战斗,巴奇司却有下面的一个神托:在敛尔莫东河和岸上长着草的阿 索波司河的河岸上。 是希腊军队的集结和异邦人的呼唤。 当宿命的一日到来之际,不待拉凯西司(命运之神)注定的寿数,许多带弓的美地亚 人就要在这里丧命。穆赛欧斯所宣出的诸如此类的神托,我知道都是关于波 斯人的。至于铁尔莫东河,刚它是流在塔那格拉和格里撒斯(底比斯西北不远的地方)之间的河流。

    (44)在玛尔多纽斯探求了神托的意义并发表了激励的言词之后,夜来 了,而军队便布置了他们的啃兵。而当夜色已深,看来营地里面万籁俱寂而 人们也深深入睡的时候,阿阴培斯的儿子亚力山大,即马其顿人的将领和国 王这时便乘马到雅典人的哨兵那里去,要和他们的将领讲话。大部分的哨兵 都留在原地未动,其余的哨兵则跑到他们的将领那里去,告诉他们的将领说, 从美地亚军的营地。来了一个骑马的人,这个人别的聂一句也没有说,只是 叫着各位将领的名字,说是要和这些将领谈话。

    (45)诸将听到这话之后,立刻便和来人一同到哨兵的地点去,而当他们 来到那里的时候,亚历山大便对他们说:“雅典人,我把这些话托付给你们, 请你们为它保守秘密,除去帕鸟撒尼亚斯之外不要泄露给任何人,否则你们 就连我也给毁了。如果不是我非常关心整个希腊的命运的话,实陈上我就不 会把这话舍诉你们了。因为我本人的远祖是希腊人而我也决不愿意看见自由 的希腊会受到奴役。故此,我告诉你们,玛尔多纽斯和他的军队并不能从牺 牲得到时他有利的朕兆,否则在这之前很久你们就得作战了。但是现在他们 却不打算把牺牲放到心上,而想在明天一破晓的时候发动战斗;据我的推测, 他们是害怕你们军队的人数会越来越多。因此我请你们作准备。如果他拖延 作战而下展开战斗的话,那就请耐心地在原来的地方等待着不要动,因为仙 身边的兵粮只够几天用的了。但是,如果这次战争是按照你们的意思结束的 话,那你们就一定要记看设法把我也从奴役下解救出来:由于自己的热心, 我为希腊做了这样一件不顾性命的事情,而想把焉尔多纽斯的意图向你们傅 达,为的是使异邦罩不致在你们完全没有想到的时候猝不及防地向你们攻 来。我是焉其顿人亚历山大”。讲了这话以后,他就乘焉返回营宿他自己的 驻地上去了。

    (46)雅典军的将领们就到右翼的地方去,把他们从亚历山大那里听到的 话告诉了帕岛撒尼亚斯。帕鸟撒尼亚斯听到这话,却害怕波斯人,于是他说: “这样看来,天破晓的时候仗是要打的了。最好你们雅典人和波斯人对阵, 而我悄则来对付贝奥提亚人和现在跟你们相对峙的希腊人,因为你们在厉拉 松和美地亚人交过蜂,熟悉他们和他们的作战方式,但我们对于那些人却是 既无经验,又不熟悉的。不过我们斯巴达人对贝奥提亚人和帖撒利亚人却是 有经验的,但是我们之中没有一个人和美地亚人较量过。因此,让我们拿起 武器来调换一下,你们到这一翼来,我们到左翼去”。雅典人回答说:“正 是从我们看到波斯人布置在你们对面的那个时候起,我们便也有意提出你们 这次首先提出的意见,但是我们害怕这样做会使你们不高兴。但既然你们自 己说出了你们的愿望,我们也非常高兴听从你们的意见并准备按着你们所说的去做。”

    (47)双方都满意这样的做法,因此在天刚破晓的时候,双方便对调了他 们的防地。贝奥提亚人注意到了这一点并把这个情况通知了玛尔多纽斯。玛 尔多纽斯听到这个消息之后,立刻就试图在自己这方面也作一次调动,把波 斯人调到和拉凯戴孟罩对峙的地点去。但是当帕岛撒尼亚斯看到对方正在做 的是什么事情时,他就知道他的行动已被对方晓得,便把斯已达人调回了右 翼。而玛尔多纽斯刚同样地也移到了左翼。

    (48)当双方都又回到他们原来的地位时,玛尔多纽斯便派遣一名使看到 斯巴达人那里去,告诉他们说:“拉凯戴孟人啊,这里的人们都说你们是十 分勇敢的人物。你们既不临阵脱逃,又不离开你们队伍的部署,而是坚守在 原来的阵地上或是杀死你们的敌人或是自己战死,因此他们对你们是极为佩 服的。但是看来,这一切都是谎话了,因为在我们能以接战并展开格斗之前, 我们就亲眼看到你们现在竟然逃跑起来并离开了你们原来的部署,而想用雅典人来试探你们敌人的力量,你们却把自己布置在不位是我们的奴隶的对面。这庆不是好汉应当做的事情;对于你们,我们真是大大地估计错误了。 因为倘若根据我们听到的关于你们的说法,则我们想你们会派一名使者前来向波斯人,而不是向别的人们挑战。当然,我们是准备应战的。可是我们却 发现你们并未提出这样的建议,而是在我们的面前畏缩。这样看来,你们既 不出来挑战,那只好轮到我们来向你们挑战了。我们为什上不能双方各出同样数目的军队来交战呢? 你们既然素称是最勇敢的,则可以代表希腊人,而我们代表异邦军(波斯人这里自称异邦军是有决不合理的)。如 果其他的人也应当一战的话,刚他们可以在我们之后作战:相反地,如果只 是我们双方作战就够了的话,那我们就把这个仗打个水落石出,哪一方面得 胜,那他们也就算代表全军获胜了。”

    (49)使者说了上面的一番话之后就等了一会几,但是没有任何人回答 他,于是他就回来,把事情的经过告诉了玛尔多纽斯。玛尔多纽斯听了大喜 过望,竟因这似是而非有名无实的胜利得意起来,于是便派出他的畸兵去进 攻希腊人了。畸兵向希腊人攻去,而由于他们是畸着焉的弓手井使对方不易 迫近自己,因此他们在射箭和投枪时使希腊全军遭到了不小的损害。他们还 捣毁和堵塞作为希腊全军的水源的伽尔伽披亚泉。然而,也只有拉凯戴孟人 实际上是驻扎在这个泉附近的,其他希腊人则适因个别驻地的不同而离泉校 远,不过他们却和阿索波司河不远的。但是由于他们从阿索波司河被切断, 他们就不得不到伽尔伽披亚泉去取水;他们是因骑兵和弓矢的椽故,而无法 从河中汲水的。

    (50)当这样的事情发生时,希腊军队的将领看到他们的军队被切断了水 源又受到畸兵的困扰,便到右翼的帕岛撒尼亚斯那里去,讨论这些以及其他 的事情,原来除去上面我提到的事情之外,还有其他的原因使他们烦恼不安。 他们的军粮吃完了,他们派到伯罗奔尼撤去从那里运回粮食的仆从被骑兵切 断,不能回到自己的阵地了。

    (51)因此,在商讨后他们决定,如果波斯人在那一天还拖延发起进攻, 他们就到岛上去。这个岛离他们当时布阵的阿索波司河与伽尔伽披亚泉有十 斯塔迪昂的路程,就在普拉塔伊阿市的前面。陆地上所以出来一个岛,这是 因为这河从奇泰隆流入平原的时候分成了两支,而在这两支随后重新合流之 前,它们中间是三斯塔迪昂的距离。这条河的名称是欧埃洛耶,而当地人刚 称它为阿索波司的女儿。他们就是打算到那个地方去的,他们到那里去为的 是可以得到充分的水使用,并且不象现在他们相对峙的时候这样,受到骑兵 的扰害。因此他们决定在夜间二更(大概是在九、十点钟的时候)的时候移动。为的是不使波斯人看到他们 的移动以及不使骑兵追击他们和扰乱他们的队伍。此外他们还决定,当他们 到达发源于奇泰隆的、阿案波司河的女儿欧埃洛那河的两股河道所环抱的地 方时,他们要在当夜里把自己的一半军队派到奇泰隆去,救扛他们派出去运 军粮的仆从;因为这些仆从被切断在奇泰隆而不能回到他们这里来了。

    (52)在拟订了这样的一个方策之后,他们邢一整天都在忍受着不断向他 俩进攻的骑兵加到他们身上的无穷无尽的苦头。但是当到天色黑下来而骑兵 停止向他们侵扰的时候,在夜里他们构定离开的那个时刻,他们的大部分人 便起来开始撤退了,不过他们并不打算到他们约定的地方去;而在他们一开 始移动的时候,他们就十分庆幸他们摆脱了对方的骑兵,逃住普拉塔伊阿市, 躲到希拉的神殿去,这个神殿位于普拉培伊阿市的前郊,离伽尔伽披亚泉二 十斯塔迪昂。

    (53)他们到达那里以后,便在神殿前面列阵了。这样,他们就驻扎在希 拉神殿的四周了。但是帕岛撒尼亚斯看到他们离开营地,就下个拉凯戴孟人 同样也拿起他们的武器,跟在先行的其他人等的后面,以为这些人正是向他 们约定的地点去的。于是所有其他的队长都准备服从帕岛撒尼亚斯的命令, 而这时只有庇塔涅军团的将领,波里亚戴斯的儿子阿莫姆帕列托斯却拒绝从 异邦军的面前逃开,也不愿给斯巴达带来耻辱;他看到这一切是感到奇怪的, 因为他并没有参加不久之前所举行的会议。帕岛撒尼亚斯和埃岛律阿那克斯 看到阿莫姆帕列托斯不听从他们的命舍己经很不高兴,而使他们越发不高兴 的事情都是,他的拒绝服从命令使他们不得不放弃庇塔涅军团;因为他们害怕,一旦他们履行和其他希腊人的约定并把他放弃的话,阿莫姆帕列托斯和 他麾下的人们是会留在后面送死的。由于考虑到这些情况,他们便使拉科尼 亚的军队按兵不动并尽力说服阿莫姆帕列托斯,要他钉道他这样做是不对的。

    (54)于是,他们就向全体拉凯戴盂人与铁该亚中间唯一留在后面的阿莫 姆帕列托斯进行劝舍。至于雅典人,刚他们留在他们的原驻地下动,因为他 们知道得很清楚拉凯戴孟人的作风,即心里打算做的和嘴里说的是不一致 的。但是当军队从他们的驻地移开的时候,他们派他们自己的一名骑兵去看 一下斯已达人是想开放,还是他们根本不打算撤退,同时并向帕岛撒尼亚斯 打听,雅典人应当怎样做。

    (55)当这个使者来到拉凯戴盂人的地方的时候,他看到他们还是在他们 原来的地方列阵,而他们的首领们则正在进行激烈的争辩,原来,虽然埃岛 律阿那克斯和帕岛撒尼亚斯劝说阿莫姆帕列托斯,耍仙知道拉凯戴孟人下应 当冒着危险单独留下来,但是他们却一点也不能说服他。而最后,当雅典的 使者到他们这里来的时候,他们竟公开争吵起来了。而阿莫姆帕列托斯一面 争吵着,就用双手搬起一块石头来放到帕岛撒尼亚斯的脚下,说他就用这块 石头来投票反对从外国人,这里也就是异邦人的面前逃开。帕岛撒尼亚斯骂他是个疯子,骂他的神经错乱。而在雅典的使者提出了他受命提出的问题之 后,帕岛撒尼亚斯便命令他把目前的情况舍留诉典人,并斋雅典人和拉凯戴 孟人一致行动,和他们同样地撤退。

    (56)这样,使者就回到雅典人那里去了。但是这里直到天亮,争论仍在 继续着;帕岛撒尼亚斯在这期间一直留在原地按兵不动,但这时却发出撤退 的信号,把残留下的军队全部顺着小丘中间率领去了,铁该亚人则跟在他们 的后面。因为他认为,在其余的拉凯戴盂人离开阿莫姆帕列托斯的时候,这 个人是不会自己留在后面的。而事实也正是这样。列成战阵的雅典人循着与 拉凯戴孟人不同的道路开拢了,拉凯戴孟人为了躲避波斯骑兵,他们紧紧地 靠着丘陵地带和奇泰隆山的山麓,但相反的,雅典人却下行向着平原上行进 了。

    (57)原来阿莫姆帕列托斯在起初以为帕岛撒尼亚斯决不会想到要把他和 他的军队留在后面,因此他坚持他们留在原来的地方而不离开他们的驻地。 但是当帕岛撒尼亚斯的军队自己先开走的时候,他就看到他们是真个想把他 抛下了,于是他也便下令他的军团拿起武器来,而他便率领看这些人一步一 步地跟在其余军队的后面。前面的军队在走了十斯塔迪昂远之后,就在莫罗 埃司河河畔一个叫做阿尔吉奥披昂的地方停了下来等待阿莫姆帕列托斯的部 队,在那里立有一座埃列岛西斯的戴美特尔的神殿。他们等待他的理由是这 样:如果阿莫姆帕列托斯和他的罩团不离开他们原来的驻地而仍然留在那里 的话,他们可以回来支援这些人。而在阿莫姆帕列托斯的军队刚刚赶上他们 的时候,异邦军的骑兵便全军向他们进攻了。骑兵的行动和他们一向习惯的 行动一样,他们看到希腊军队前些天列阵的地点空了下米,便一直拍焉前进, 而在他们一赶上的时候,便对希腊人展开了进攻。

    (58)另一方面,当玛尔多纽斯听到希腊人乘着黑夜撒退并且在那里看不 到一个人的时候,他便把拉里撒的托拉克司和他的兄弟埃岛律披洛斯和特拉 叙狄欧斯召了来,向他们说:“阿列岛阿斯的儿子们啊!你们看这个地方已 经空了,现在你们还讲什么呢?你们是他们的邻居,你们常说拉凯戴孟人决 不回避战筝,他们又是最优秀的战士,可是刚才你们就已经看到,正是他们 改变了他们的部署,而现在你们和所有我们大家又都看到,他们在前一个夜 里逃跑了。在他们自己刚刚耍和世界上确实是最英勇的人们较量一番的时 候,他们便显然地表明,他们这些一钱不值的人物,却在同样是一钱不值的 希腊人当中获得了声名。既然你们对波斯人并不熟悉,因此你们虽然称赞了 你们多少江知道一些的拉凯戴孟人,我却是愿意宽恕你们的。不过更加使我 感到奇怪的是阿尔塔巴佐斯的作法,他害怕位凯戴孟人害怕到这样的程度, 结果他竟提供我一个卑怯的意见,要我们撒退到底比斯去受包围。这个意见 我还没有向国王报告,关于这伴事,也不准备在这里讨论。不过目前,我们 不能容忍我们的敌人愿意怎样做就怎样做:我们心须追击,直到赶上他们并 且要他们对他们在波斯人身上做出的一切伤害付出赔偿。”

    (59)这样说了之后,他便尽快地率领看波斯军队渡过阿索波司河去追击 希腊人,他们以为希腊人逃跑了,他追击的目标只是拉凯戴孟人和铁该亚人 的军队。因为雅典人从另一条路经过丘陵地带开向平原,波斯人已经看不到 他们了。异邦军其他部队将领看到波斯人出发追击希腊人,他们便立刻同样 地举起了鲁自的罩旗尽快地开始追吉,担这些部队在出发追击之际,既不曾 整顿队伍的秩序,也不曾按照原来的部署。这样,他们就乱成一团地并高声 呼啸着开始了攻齿,好象他侗追上之后,就可以把希腊人一网打尽似的。

    (60)但是帕岛撒尼亚斯看到异邦军的骑兵向他进攻的时候,便派谴一名 骑兵到雅典人那里去,向他们说:“雅典人啊,在希腊必须决定是得到自由, 还是被奴役这样一个重大关头的面前,我们拉凯戴孟人和你们雅典人因联盟 者昨夜的逃脱而被出卖了。因此现在我决定了下面我们必复立刻做的事情。 我们必复尽最大的努力奋战以相互保护。如果骑兵首先攻击你们,则我们和 跟我们在一起的、忠于希腊的铁该亚人便要支援你们,但是按目前的情况, 既然敌军进攻的全部力量是针对着我们,那未你们就应当来帮助我们受最大 压力的那一部分军队。可是,如果可能发生了什么事情而你们不可能前来支 援我们,那末就请为我们做一件好事,把弓手派来罢。我们深信你们会答应 我们的请求,因为我们知道,在当前的战争中你们是远比所有其他的人们要 热心的”。

    (61)当雅典人听到这话的时候,他们就准备去支援拉凯戴孟人并尽圣力 来保卫他们。但是当他们已经开拔的时候,他们却碰到了布置在他们对面的、 站到国王那一面去的希腊人:现在他们受到逼临到他们跟前的敌人的攻击, 这样他们就不能支援别人去了。结果拉凯戴孟人和铁该亚人便孤立无援了。 拉凯戴孟人的重武装兵和经武装兵加到一趄是五千人,(而和拉凯戴孟人一次 也没有分开过的)铁该亚人的重武装兵和轻武装兵加到一起是三千人:他们奉 献牺牲以卜吉凶,因为他们就要和玛尔多纽斯以及他麾下的军队交锋了。但 是他们用牺牲占卜的结果并没有吉兆,而这时他们又有许多人阵亡,受伤的 更多得多,因为波斯人用他们的藤盾连成了一道壁垒,并且射出了象雨点一 样多的箭。帕扁撒尼亚斯看到自己受到极大的压力而牺牲的占卜叉对自己不 利,他便仰望普拉塔伊阿的希拉神殿,呼叫女神的名字,请求无论如何也不 要使他们对自己的希望失去信心。

    (62)当他还在祈求的时候,铁该亚人却一焉当先地冲了出来,向异邦军 进行反击了;而在帕扁撒尼亚斯的祈祷之后,牺牲的占卜立刻对拉凯戴孟人 显示了吉兆。既然终于得到了这样的吉兆,他们便也向波斯人发起了进攻。 而波斯人也便抛掉自己的弓前来迎战了。起初,他们是在藤盾的壁垒的附近 作战,而这一道壁垒被冲倒以后,战斗现在戴美特尔神殿本身的附近变得激 烈起来并持续了长久的时候,直到最后,这堤战斗竟形成了肉博战;原来异 邦军抓住了对方的长枪,并把它们折断了。波斯人论勇气和力量都是不差的, 但是他们没有防护的武装,此外他们的训练不够,论战斗的技术到底也比不 上他们的对手;他们总是单身地,十个一群或者是更多或更少的人一样地冲 出来,杀到斯巴达人中间去,结果就都死在那里了。

    (63)玛尔多纽斯本人骑着一匹白马,在身边率领着最精锐的一千名波斯 军士兵作战的地方,也正是他们对敌人施加最大压力的地方。只要是玛尔多 纽斯活着,波斯军便守住了自己的阵地井保卫着自己,而把许多拉凯戴孟人 杀死。但是当玛尔多纽斯陈亡,而他的卫队,也就是军队中最强的那一部分 也都战死的时候,其他的士兵便也逃退井在拉凯戴孟人的面前屈服了。原来 使他们受到损害的主要原因是他们身上缺乏卫护的武装,而他们这样的轻武 装兵(几乎等于毫无护身之具),都要和重武装兵作战。

    (64)在这一天里,斯已达人正象神托所预言的,在垢尔多纽斯身上充分 地湔雪了他当日杀死列欧尼达司的仇恨,而我们所知道的最辉煌的一次胜 利,就是阿那克桑德里戴斯的儿子克列欧姆布洛托斯的儿子帕扁撒尼亚斯所 赢得的。帕岛撒尼亚斯的其他的祖先,我在列欧尼达司的世系中已经说过了, 因为他们两人的祖先是共通的。至于垢尔多纽斯本人,则他是给斯巴达的一 位知名之士阿埃姆涅司托斯杀死的:这个人在波斯战役之后一些时候,曾李 领着三百名战士在司铁尼克列洛斯对美塞尼亚的全军作战,结果他和那三百 个人都战死在那里了。 (65)在普拉塔伊阿这里,被杭凯戴盂人击败的波斯人在混乱中逃注自己 的营地,躲入他们在底比斯领土上修筑的木造壁垒。这里有一件使我党得奇 怪的事情,那虽然在戴美特尔圣林附近展开了激战。可是没有一个波斯人战 死在圣域里面,或者曾进入圣域;他们大部分都是在神殿附近的圣域外面战 死的。而依照我个人的判断,如果对上天的意旨加以判断不算是罪过的话, 则这不外是女神不许他们走进去,因为他们曾经烧掉埃列岛西斯地方的奉祀 女神的神殿。

    (66)因此,这一战争就到上述的地方告一段落了。但是帕尔那凯斯的儿 子阿尔塔巴佐斯是从一开头就不喜欢国王把玛尔多纽斯留下,不过那时尽管 他力主不发动战争,却又不能有任何效果,因此,他既不赞同玛尔多纽斯的 所作所为,他自己便做了下面我所说的事情。 (他身边有不小的一支军队,这支军队多这四万人),在希腊人和波斯人 的战争一开始的时候,他便知道得很清楚这一战争会有怎样的结果,于是他 向他们发出的要他们全体随他率领到任何地方去,而不拘怎样快,他们也都 得以一致的步伐跟随着他。而在他发出了这个命令之后,他便装成是率领着 他们去作战的样子。可是他走看走着的时候,他看到波斯人已经在逃跑了, 于是他便不再接着原来的队形率兵前进,却抬起腿来尽快地逃跑,不过不是 向着木造的壁垒,也不是向着底比斯的城壁,而是向着波奇司去跑去,他这 样做为的是他可以最快地从那里逃到海列斯彭特。

    (67)这样,阿尔塔巴佐斯和他的士兵就循看这个方向前进了。另一方面, 站到国王一方面的所有其他的希腊人却是故意不好好作战的。例外的只有只 奥提亚人;他们和雅典人战斗了很长的一个时候。原来站到波斯人一方面的 那些底比斯人在战斗中是相当卖气力的,而且也无意于在战斗中故作松懈, 结果他们当中有三百名最优秀的一流人士在那里死在雅典人的手里了。然而 只奥提亚人也终于溃退下来了,不过他们不是循着波斯人逃跑的道路,而是 逃到底比斯去的。至于同盟军的其他全体人等,他们根本没有坚持顽强地作 战,也不曾立下任何勋功,就此逃掉了。

    (68)在我看来,显而易见的是:异邦军的全部命运是完全视波斯人为转 移的,因为其他的人们看见波斯人逃跑了,故而在他们甚至扛没有和敌人交 锋,便立刻也逃跑了。因此,除去贝奥提亚的以及另外的一部分波斯骑兵, 他们都逃跑了;这些骑兵是这样地帮助了逃跑的人们,原来他们为保护自己 一方面的人而一直在迫近敌军,这样他们就截断了希腊人,而使希腊人不能 追击逃跑中的友军。胜利者就达样跟在克谢尔克谢斯的士兵的后面进行了追 方和杀戮。

    (69)正当人们逃跑得正欢的时候,在希拉神殿四周列阵并且没有参加战 斗的其他希腊人接到消息说,战斗已经发生,而帕后撒尼亚斯和他麾下的士 兵取得了胜利。他们听到这个消息以后,便乱着队形出发了;科林斯人及具 一派沿着山麓和丘陵地带,循着上行路一直到戴美特尔神殿去,美伽拉人、 普里欧斯人及其一派则循着平原上是平坦的道路前进。但是当美伽拉几和普 里欧斯人走近敌人的时候,提曼多洛斯的儿子阿索波多洛斯率颁下的底比斯 骑兵部队看到他们匆忙和混乱地走过来,便向他们发起攻击。这次进攻的结 果是,骑兵把他们中间的六百人杀死,追击其余的人们并把他们一直赶到奇 泰隆山里去。

    (70)这些人便这样非常不光彩地死掉了。但是当波斯人和剩下的大群人 们逃到木造壁垒里面去的时候,他们就趁着拉凯戴盂人江未到来,设法攀登 到塔楼上去:到上面之后,他们便尽一切的努力来使这个壁垒加固,而在拉 凯戴孟人来到这里的时候,便展开了一堤争夺城壁的顽强激烈的战斗。原来 只要是雅典人还没有到那里,异邦军就可以保卫他们自己并且对拉凯戴孟人 占着很大的优势,因为拉肌戴孟人是不善于攻城战的。但是当雅典人到来的 时候,争夺城壁的战争就激烈起来并持箱了很长的一个时候。但终于由于雅 典人的勇敢和坚持不屈,他们攀登了城壁并在上面打开了一个缺口,而希腊 军队就从这个缺口涌进去了。首先冲进去的是铁该亚人,劫掠了玛尔多纽斯 的帐篷的就是他们;他们除了从帐篷中取得其他的物品以外,还得到了玛尔 多纽斯的焉匹的一个秣槽,这个秣槽完全是青铜制成,而且是很值得一看的。 铁该亚人就把玛尔多纽斯的这个秣槽奉献拾阿列亚·雅典娜的神殴,而他们 卤获的所有其他的物品,他们便和其他希腊人那样地,交到全军公有的卤获 物中去了。至于异邦军这一方面,城壁刚一陷落,他们的阵势就乱了,他们 中间没有一个人想进行抵抗;成万已经给吓得半死的人们枪压迫到一个狭小 的地方去任人宰割,这桔果给希腊人造成了这样一个尽情杀戮的机会,三十 万人的一支大军,除去和阿尔塔已佐斯一起逃跑的四万人之外,只不过有三 千人活下来罢了。在这一方百,则斯已达出身的拉凯戴孟人在战斗中死亡的 一共是九十一个人,敛该亚人是十六个人、雅典人是五十二个人。

    (71)在异邦军当中,最善战的是波斯人的步兵和撒卡依人的骑兵,而就 人而论,据说最勇敢的就要算是玛尔多纽斯了。在希腊人当中,铁该亚人和 雅典人都是十分能征善战的好汉,但是就勇武而论,拉凯戴盂人在他们所有 的人当中却是最突出的人。 (由于他们所有的人都曾打败他们所面临的敌人),因此我只能从这样的 一点来证明我的看法,即拉凯戴孟人所对付的是敌人最精锐的部分并且战胜 了他们。依据我个人的判断,断乎超乎众人之上的勇士是那在三百人当中唯 一从铁尔摩披莱安全返回并因此受到黄难和侮辱的阿里司托戴莫斯,次于他 的、最勇敢的勇士则是波西多纽斯、披洛库昂和斯巴达人阿莫姆帕列托斯。 不过,如果大家谈论时间起他们当中谁最勇敢的话,则在座的斯巴达人就会 认为,阿里司托戴莫斯由于自己受到青难,显然他宁愿一死,因此他离开了 他在队伍中的岗位而拼命向前厮杀,这样他在实际上就成就了律大的功业, 可是不想去死的波西多纽斯却表现出自己是一个勇敢的人物,因此就这一点 来说,他就比阿里司托戴莫斯还要勇敢了。他们可能只是出于嫉妒才这样讲 的。但是。上面所列举的、在这次战斗中阵亡的人们,除去阿里司托戴莫斯 以外,全都受到了光荣的表扬。阿里司托戴莫斯由于在受到上述的责难时竟 想寻死,所以他没有得到任何光荣的表扬。

    (72)以上就是参加普拉塔伊阿战役的人们当中,得到最大声名的人。但 是在参加军队的时候,不单在拉凯戴孟人当中,而且在其他希腊人中间,都 是当时全希腊最漂亮的人物的卡利克拉铁斯并没有算在这些人中间,因为他 是在战场之外死去的。原来正当帕扁撒尼亚斯奉献牺牲的时候,卡利克拉铁 斯在他自己坐的地方,在身体的胁部中箭负了伤,而当他的同伴们作战的时 候,他被带出了战场,但是他在死的时候都是不能瞑目的,他向普拉塔伊阿 人阿里姆涅司托斯说,为希腊而死,这件事对他来说是没有什么遗憾的,但 使他痛苦的却勿宁是,尽管他满心想这样做,他却轿毫没有施展出自己的本 颁,也没有成就任何和自己相称的功业。

    (73)在雅典人当中,取得了令誉的是戴凯列阿市区出身的一个人物。埃 岛图奇戴斯的儿子棱帕涅斯。正如雅典人自己所说的,戴凯列阿人曾做过一 件在任何时候都有盆处的事情。原来在住昔,当着图恩达里达伊族为了夺回 海偷率领着一支大军攻人阿提卡,并由于他们不晓得海偷被藏在何处而把各 个市区蹂躏得一蹋糊涂的时候,于是据说戴凯列阿人,而有些人则说戴凯洛 斯本人,因为对敛谢欧斯的傲慢感到恼怒并且又为全部阿提卡的领土担心害 怕,因而便把全部情况告诉图恩达里达伊族,并且把他们引到阿披德纳伊去, 而当地的士著提塔科斯就把这个地方卖给图恩达里达伊一族了。由于他们做 了这样一伴事情,戴凯列阿人从仗去到现在在斯巴达都免缴一切花销并在祭 典中保有头等的座位,而且甚至在这件事发生之后许多年,雅典人和伯罗奔 尼撒人之间有了战事的时候,拉凯戴孟人虽然蹂躏了阿提卡的其他地方,对 戴凯列阿却一动也没有动。

    (74)梭帕涅斯便是这一市邑出身的人物,现在他是雅典人在战斗中表现 得最英勇的人物。关于这个人,有两个傅说。根据第一个傅说,则他把一只 铁锚用一条青铜的锁锚紧系在他的鎧甲的带子上:而每在他向前进攻逼近敌 人的时候,他便把这个铁锚抛出去,为的是使敌人在离开他们的队伍进攻时 无法使他离开他的位置:而当敌人被击溃的时候,他的办法就是拉起铁锚来 追击他们。这就是第一个傅说。但是第二个傅说和第一个傅说的说法不同, 第二个傅说说他并没有铁锁系在他的鎧甲上,系在他的鎧甲上面的是他那一 直旋转着而从不停止的盾牌,只是在盾牌上有一个锚形的纹章罢了。

    (75)梭帕涅斯还成就了另一件辉煌的勋业。正当雅典人围攻埃吉纳的时 候,他向五项运动的优胜者、阿尔哥斯人埃岛律已铁斯挑战井将之杀死。但 是在这之后一些时候,这样英勇的梭帕涅斯也死掉 了:在他借同格劳空的儿 子列阿格罗斯一同率领雅典人去为金矿 而作战的时候,他在达托司地方给埃 多涅斯人杀死了。

    (76)希腊人在普拉塔伊阿地方杀死了异邦军之后,立刻就有一个妇 女从 敌人那边自愿地投到他们这里来:这个妇女是波斯人铁阿司 披斯的儿子帕兰 达铁斯的妾。听说波斯人被击溃而希腊人获得了 胜利,她便和她的侍女们戴 上许多黄金的装饰,又把她所有的最漂 亮的衣服穿上,这样下了她的焉草就 向江在进行杀戮的拉凯戴孟 人的地方走来了。她看到帕岛撒尼亚斯正在那里 指挥一切,又由 于她先前常常听到而熟悉他的名字和籍贯,因此她知道这个 人就 是帕岛撒尼亚斯,于是她抱住了他的膝头,这样地恳求他说:“斯 已 达国王啊!把我作为请求庇护的人从俘虏的奴役中拯救出来 罢。因为你既然 杀死了那里的不崇敬神或英雄的人们,因而到目 前为止你便已经做出使我威 恩不尽的事情了。我是科斯人,是安 塔戈拉斯的儿子海该托里戴斯的女儿, 波斯人在科斯对我强行无 理并把我夺去囚禁在自己的身边”。帕岛撒尼亚斯 回答她说:“放 心罢,这位妇人,一则因为你是向我请求庇护的人,再说, 如果按你 所说,你真是科斯人海该托里戴斯的女儿的话,那他又是那里的人 们中间,我最亲密的友人了”。他说了这话之后,他暂时便把她支 付给正在 堤的五长官来照顾,随后就依照她本人的愿望,把她送到 埃吉纳去了。

    (77)在这个妇女来到之后,立刻曼提涅亚人就来了:不过在他们到来 的 时候,一切事都已经过去了。当曼提涅亚人知道他们前来参战 已经太迟的时 候,就威到非常遗憾并说他们应为此而受到惩罚。 当他们知道阿尔塔已佐斯 已率领看美地亚人逃走的时候,他们便 想一直把美地亚人追到中撒利亚,但 是拉凯戴孟人却不要他们去追赶那些逃跑的人们。曼提涅亚人回到他们自己 的国土之后,便把他们军队的一些将颁从国内放逐出去了。继曼提涅亚人之 后而来的,是埃里司人,他们和曼提涅亚人同样十分遗憾地离开了,而且离 开之后,同样地放逐了他们的将领。上面就是曼提涅亚人和埃里司人所做的 事情。

    (78)在普拉塔伊阿地方埃吉纳人的军队里面,有一个埃吉纳的首要人 物,披铁阿斯的儿子兰彭;为了向帕,岛尼亚斯提出一个最不公正的建议, 他赶到帕扁撒尼亚斯那里去,对他说:“克列欧姆布洛托斯的儿子啊!你成 就了一伴极其伟大和光荣的事业;托上天之福,你挽救了希腊,因此在全希 腊人当中,你获得了比我们所知道的任何人的声名都要大的声名。但是你必 须把你没有做完的事情做完,这样你就不仅耍获得更大的声名而且今后就再 也不会有一个异邦人胆敢无故地把暴行加到希腊人的头上了。当列欧尼达司 在铁尔摩披莱被杀死的时候,玛尔多纽斯和克谢尔克谢斯曾把他的头给割下 来,插到一根竿子上:这样如果你给他们以同样的回报,你就会获得全体斯 巴达人和此外的其他希腊人的赞赏。因为如果你照样处置玛尔多纽斯,你也 就是给你父亲的兄弟列欧尼达司报仇了。”他请这番话,原是打算讨帕岛撒 尼亚斯的欢心的。

    (79)但是帕扁撒尼亚斯却回答他说:“埃吉纳的朋友啊,我感谢你的好 意和事前的考虑,不过你的这种意见却是不正当的:因为在开头的时候,你 大大地赞扬我,赞褐我的祖国和我的功业,可是随后你却劝告我要我凌辱死 者并说我如果这样做,便可得到更多的赞扬、这佯一来你就是把我搞倒在地 上,变得一钱不值了。这样的事情。与其说适合于希腊人,勿宁就是更适合 于异邦人。而且这样的事甚至在异邦人做出于时,在我们来看都是应当受到 责难的。从我个人来说,在这件事情上,我是宁可不讨埃吉纳人的欢喜,宁 可不讨其他喜欢这种做法的人们的欢喜的,如果斯巴达人因我的正当行动和 正当言语而感到欢喜,那对我来说已经满足了。至于你劝我为之报仇的列欧 尼达司,则我以为我已充分地为他报仇了;你看到的这些无数死去的人已经 足以安慰他和死在铁尔摩披莱的那些人的在天之灵了。但是我都要警告你, 今后不要再来向我提起这样的话,也不要向我提起这样的建议:我不惩办你 而把你放走,你是应当戚谢我的”。

    (80)听了这一番答话之后,兰彭就离开了。于是帕岛撒尼亚斯就布告说, 稚也不能触动卤获品,并且命令希劳特把听有的东西集中到一起。于是他们 便分散到营地的四面八方去,在那里找到了饰以金银的帐篷,镀金镂银的床 榻,黄金的混酒钵、杯盏以及其他饮具;在草上他们找到了一些鉴于,他们 在袋子里又找到了金银的锅釜。他们从那里的死人身上剥下了黄金的腕甲、 栗甲和短剜,却丝毫不去理会死人身上的五苗六色的衣裳。希劳特门偷了许 多东西,把它们卖给埃吉纳人;但是也有许多东西他们自己藏不下,所以便 献了出来。这样,埃吉纳人竟拾自己奠定了大批财富的基础,因为他们从希 劳特那里,象购买青铜一样地,购买了黄金。

    (81)把这些财宝收集到一起之后,他们便把其中的十分之一分出来,献 给戴尔波伊的神;他们用这些东西做了一座三脚架来奉献,它放置在祭坛近 旁的那个青铜的三头蛇上面;他们又把十分之一分出来献拾奥林匹亚的神, 他们用这部分的财富制做了一个十佩巨斯高的青铜宙斯神象来奉献;另外的 十分之一他们献给科林斯地峡的神,他们用这些东西制做一个七佩巨斯高的 波赛东青铜象。把以上的东西抽出去之后,他们便把剩下来的东西分配了, 每个人按其所应得分得了波斯人的妾、金银以及其他物品,还有驮畜。然而, 对于在普拉塔伊阿作战最出力的人们,留出了多少东西分拾他们,没有人说得出了;但是我认为他们也是得到了奖赏的。说到帕岛撒尼亚斯,刚每种东西,妇女、屠四、培兰特(指金块)、骆驼以及同样所有其他的物品, 都各留出十种来送给他。

    (82)这件事还有另外的一种说法。克谢尔克谢斯在他从希腊逃走的时候 曾把随身的一切都留给了玛尔多纽斯,而帕乌撒尼亚斯看到玛尔多纽斯的那 备有金银器皿和饰以多采的花毡的帐篷,便命令烤面包的人和厨师按照通常 侍候玛尔多纽斯那样地准备晚筵。他们按照帕乌撒尼亚斯的吩咐做了;而当 帕乌撒尼亚斯看到上面铺着豪华织物的金银床榻和金银的桌子以及上面所陈 列的极其豪奢的筵席的时候,对于他眼前的这些豪华的陈设他大为吃惊,于 是他便开玩笑地命令他的从仆准备了一顿拉科尼亚式的晚饭。当这顿饭准备 好,而且和前面的一种有天渊之别时,帕乌撒尼亚斯竟笑了起来,于是吩咐 人们把希腊的将领们召集了来。在他们集合起来之后,帕乌撒尼亚斯便指着 每一种方式的晚饭,向他们说:“希腊人啊,我把你们召集到这里来,为的 是想要你们看一看美地亚人的领袖的愚蠢;一个每天吃着你们看到的这样的 饮食的人,却跑到我们这里来想夺取我们这样可怜的饮食”。据说这就是帕 乌撒尼亚斯对希腊将领们所讲的话。

    (83)但是在这之后相当长的一个时期,许多普拉塔伊阿人也找到了满装 着金银和其他物品的箱子。更在这之后,在这些死者中间又发现了这样的事情;原来他们的尸体只有骨头没有肉了(普拉塔伊阿人把他们的骨头集中到一 个地方去了)。有一块头盖骨是一块整的骨头,上面没有任何裂缝;在那里还 发现了一块颚骨,它的上颚骨的包括门齿和臼齿在内的牙齿都是由一块骨头 长成的;还有一个身量有五佩巨斯高的人的骨骼。

    (84)至于玛尔多纽斯的尸体,则在战后的第二天就被运走了;我不能确 说这是难干的事情。但是过去我实际听到过各个国家的许多人都埋葬过玛尔 多纽斯,又听说有许多人因为这样做而受到玛尔多纽斯的儿子阿尔通铁斯的 丰富酬谢。但是这些人里是谁偷偷地运走了玛尔多纽斯的尸体并把他埋葬起 来,我却不能确说了。虽然,有的人说,是以弗所人狄欧尼棱帕涅斯把玛尔 多纽斯埋葬了的。

    (85)关于玛尔多纽斯的埋葬的情况就是这样。在希腊人这一方面,当他 们在普拉塔伊阿把卤获品分配完了之后,就各自按国家的不同把自己的人分 别埋葬了。拉凯戴孟人修造了三座坟茔;在这里他们埋葬了他们的伊伦(二十岁到三十岁的斯巴达青年),其 中有波西多纽斯、阿莫姆帕列托斯、披洛库昂、卡利克拉铁斯。因此,这些 伊伦葬在一个坟茔里,其他斯巴达人葬在第二个坟茔里,希劳特则葬在第三 个坟茔里。拉凯戴孟人就是这样地埋葬了他们的死者的。铁该亚人把他们自己的人都埋葬在另外的一个地方,雅典人也同样把他们自己的人埋葬在一 处。美伽拉人和普里欧斯人同样地处置了那些被骑兵杀死的人们。在这些民 族的一切坟茔里满满的都是尸体。至于在普拉塔伊阿地方也有坟茔的其他城 邦的人们,则我听说他们的坟茔不过是空坟罢了,他们修起这样的空坟原是 为了给后代的人们看的,因为他们对于不曾参加战斗这伴事,是引以为耻的。 例如,在那里有一座号称是埃吉纳人的坟墓,不过我听说,这乃是在这事十 年以后,埃吉纳人的异邦人保护官、普拉塔伊阿人奥托迪科斯的儿子克列阿 戴斯依照埃吉纳人的希望修造起来的。

    (86)当希腊人在普拉塔伊阿把他们的死者收葬完毕的时候,他们便会商 议决,他们要向底比斯进军,要求站到美地亚一方面去的人们投降,特别是 对于出身名门,又是名门中的魁首人物的提玛盖尼戴斯和阿塔吉诺斯二人。 他们并且决定,如果底比斯人不向他们投降的话,则他们除非是把城市攻下 来,否则决不撤退。在这样决定了以后,他们便在战后的第十一天,抱着这 个目的来到底比斯并把底比斯人给包围起来,要求把这些人给交出来:底比 斯人拒绝引渡他们所要求的人,于是希腊人就蹂躏了底比斯人的国土并进攻 他们的城壁。

    (87)看到希腊人不肯停止蹂躏底比斯人的行动,提玛盖尼戴斯就在到了 第二十天的时候向底比斯人这样说:“底比斯人啊,既然你们看到,希腊人 下了决心在不攻克底比斯或我们不给引渡过去的时候不停止围攻,那末就不 要使贝奥提亚的土地为了我们的缘故而遭受更多的痛苦了。因此,如果他们 所希望的只是金钱,而他们要求引渡我们只是一个借口(因为我们站到美地亚 的一方面乃是举国一致的意思,而不只是我们独自决定的),那我们可以从国 库拿出钱来送给他们:如果他们这次来围城不为了别的,而只是为了要引渡 我们,那我们甘愿挺身出来对他们进行抗辩”。他的这番话是说得非常得体 并且是合乎时宜的,于是底比斯人便立刻派一名使者到帕乌撒尼亚斯那里 去,表示愿意把他们要的人交出来。

    (88)他们便以这样的一些条件达成了协议。但是阿塔吉诺斯从城中逃走 了;他的儿子被捉住,不过帕乌撒尼亚斯说他的儿子和投靠美地亚方面的这 种罪行毫无关系,而把他们赦免了。至于底比斯人所交出的其他人等,他们 都以为他们会得到抗辩的机会,还相信他们可以用金钱来买脱自己;可是帕 乌撒尼亚斯也正是担心他们会做出这样的事情来,因此在他把这些人弄到手 以后,他便把全部同盟军遣散,又把这些人带到哥林斯,在那里把他们处死 了。 以上就是在普拉塔伊阿和底比斯所发生的事情。

    (89)再说帕尔那凯斯的儿子阿尔塔巴佐斯现在已经从普拉塔伊阿逃出了 很远的一段路程。当他逃到帖撒利亚人那里去的时候,帖撒利亚人给他殷勤 的招待,他们向他问起其余军队的事情,因为他们丝毫也不知道在普拉塔伊 阿所发生的事情。但是阿尔塔巴佐斯晓得,如果他谈出了战斗的全部真实情 况,他和他手下的人们便会有生命的危险(因为他相信,如果他们知道了事情 的全部经过,每个人都会向他进攻的)。考虑到这样的情况,因此他对波奇司 人什么也没有讲,但是却对帖撒利亚人说了这样的话:“帖撒利亚人啊,你 们可以看到,由于一件公务,我和这些人从我们的军队给派了出来,现在我 自己正在十万火急地和拚命地率领着军队向色雷斯赶路。你们不久就可以看 到玛尔多纽斯和他的大军,他们就紧跟在我的后面。你们应当厚待他并且应 当对他表示一切的善意;因为如果你们这样做,你们以后才不致为这件事后 悔”。这样说了之后,他便火急地率领着他的军队通过帖撒里亚和马其顿一 直到色雷斯去了,他实际上是一点也不敢耽搁的,而他所走的道路也是通过 内地的最短的一条路。这样他就来到了拜占廷,不过他的军队中的许多士兵 却给留在后面了,这些士兵或是由于在途中给色雷斯人杀死,或是由于无法 克服饥饿与疲劳。到了拜占廷之后,他就乘船渡过去了。

    (90)阿尔塔巴佐斯便这样地回到了亚细亚。在这方面,恰巧在波斯人在 普拉塔伊阿遭到惨败的那一天,他们在伊奥尼亚的米卡列地方遭到了同样的 命运。原来,和拉凯戴孟人列乌杜奇戴斯一同乘船前来的那些希腊人当时正 驻屯在狄罗斯,而从萨摩司有一些使者到他们这里来,他们就是特拉叙克列 斯的儿子兰彭、阿尔凯司特拉提戴斯的儿子阿铁那哥拉斯和阿里司塔哥拉斯 的儿子海该西斯特拉托司。萨摩司人是背着波斯人和波斯人所立的萨摩司僭 主、僭主安多罗达玛司的儿子提奥美司托尔把这些人派到希腊人这里来的。 当他们来到将领们这里的时候,海该西斯特拉托司便热情地向他们陈述了许 许多多的理由,他说伊奥尼亚人单是看到他们就会背叛了波斯人的:而异邦 人是不能和他们对抗的。或者,纵然异邦人抵抗他们,这却正是希腊人取得 卤获物的千载难逢的好机会。他以他们共同崇奉的诸神的名义请求他们把希 腊人从奴役之下解放出来并把异邦人驱逐出去。他说这对他们来说,乃是一 件轻而易举的事情,因为波斯的船只的航行技术很差,因而是不能和希腊人 的船只相抗衡的,而如果希腊人对于他们三人之来有任何怀疑,以为他们会 出什么坏主意来引诱希腊人,则他们说他们愿意交出一些人质送到希腊人的 船上来。

    (91)既然从萨摩司来的这位外国人请求得这样恳切,于是列乌杜奇戴 斯,或是由于他想取得一个朕兆,或是上天偶然有意要他这样做,便问他说: “萨摩司的外国人,你叫什么名字?”对方回答他说:“海该西斯特拉托司(意思是将军)”。 于是列乌杜奇戴斯便打断了对方海该西斯特拉托司本来要开始说的其他的 话,喊道:“萨摩司的外国人啊,海该西斯特拉托司的这个名字是个好征兆, 我答应这事;现在只希望你注意到这样一点,即在你乘船离开这里之前,你 和与你在一起的这些人要发誓保证萨摩司人将要是我们的热诚的同盟者。”

    (92)以上便是他所说的话,跟着就做出了实际的行动。原来萨摩司人立 刻便立下了忠诚的誓约和希腊人缔结联盟了。这样做了之后,其余的人都乘 船走了,但是列乌杜奇戴斯却命令海该西斯特拉托司和希腊人一同乘船,为 的是取他的名字的吉利。希腊人在那里等候了一整天,而在第二天占卜时又 取得了吉兆;为他们占卜的人是埃维尼欧斯的儿子戴伊波诺斯,他是伊奥尼 亚湾的阿波罗尼亚的人。这个人的父亲埃维尼欧斯曾做出了下面我所说的事 情。

    (93)在上述的阿波罗尼亚地方,有一群羊被视为太阳神的圣物。在白天 的时候,这群羊就牧放在一条河的河畔,这条河发源于拉克蒙山,流过阿波 罗尼亚的土地而在欧里科司港的地方入海。在夜里,则当地最富有、最贵显 的人们被选拔出来看守它们,每个人担任一年。原来阿波罗尼亚的人们由于 一次神托的指示,他们是十分重视这群圣羊的。这群羊是豢养在离开都市相 当远的一个洞窟里。而在我所提到的那个时候,是埃维尼欧斯被选拔出来担任看羊的人。可是在一个夜里他睡着了,狼跑过了他的防哨而进入了洞窟, 弄死了大约六十只羊。当埃维尼欧斯知道了这一情况的时候,他并不慌张, 也不把这事告诉任何人,他是想买另一些羊来补偿这一损失。然而这件事终 是瞒不过阿波罗尼亚人的。而当他们知道了这件事的时候,他们便把他召到 法庭上来进行审讯,并由于他在看守时睡眠而判了使他失明的处分。这样, 他们便把埃维尼欧斯的眼弄瞎了。可是从他们这样做了以后,他们的羊群不 产羔了,土地也不象先前那样生产谷物了。而当他们向宣托者请示他们目前 所遭受的灾难的原因可能是什么的时候,在多铎那和戴尔波伊都有神的训示 给他们:宣托者传达诸神的意旨说,他们不公道地弄瞎了圣羊的看守人埃维 尼欧斯的眼睛;诸神说,是诸神自己把那些狼派了来的,而在他们为了他们 对埃维尼欧斯的所作所为而对他作出他自己选择和同意的补偿之前,诸神是 不会停止为他报仇的。而在他们做出充分的补偿的时候,诸神就会赐给埃维 尼欧斯一种使许多人都会认为他是幸福的礼物。

    (94)以上便是传达给阿波罗尼亚的人们的神托。但他们却将这一神托隐 秘起来并委托他们的一些市民来处理这件事;他们对这件事是这样处理的。 他们来到埃维尼欧斯坐的地方和他坐在一处,和他谈论各种各样题外的话, 直到最后他们才表示了对他的不幸遭遇的同情;而在巧妙地把话头引到这上 面以后,他们就问他,如果阿波罗尼亚人答应为他们所做的事而补偿他的话, 他要选择怎样的补偿。对神托一无所知的埃维尼欧斯说,他愿意得到他认为 在阿波罗尼亚是最好的两块采地、他列举了拥有它们的市民的名字,此外他 还愿意得到市内最美好的一所住宅;他说他得到这些东西之后,他就会消除 了他的怨恨并且满足于这种方式的补偿。而坐在他身旁的人们,不等他再讲 话便立刻接过来说:“埃维尼欧斯,阿波罗尼亚人遵照着神托的指示,就给 你这样的一些东西来弥补你的失明罢”。他听了这话时十分恼怒,因为他这 时明白了全部真相并且看到他们已欺骗了他,但是阿波罗尼亚人把他所选定 的东西从所有主那里买了下来送给了他,而从那一天起,他便有了天赐的预 言能力,从而赢得了声名。

    (95)这个埃维尼欧斯的儿子戴伊波诺斯是随着哥林斯人并且是为哥林斯 的军队进行占卜的。但是在这之前我就听说,戴伊波诺斯并不是埃维尼欧斯 的儿子,他只是冒充这个名义,在希腊的各个地方靠占卜混饭吃而已。

    (96)在占卜时得到吉兆之后,希腊人便从狄罗斯乘船出海到萨摩司去 了。当他们来到萨摩司领土上的卡拉米撒附近时,他们就在那里的希拉神殿 近旁投锚,准备进行海战。波斯人知道他们过来了,便也乘着所有余下的船 出海向大陆进发,只有腓尼基的船给他们打发回去了。他们商议决定,他们 不在海上作战,因为他们认为自己敌不过对方;而他们向大陆进发的理由则 是他们可以得到他们那驻在米卡列的陆军的掩护。这部分的陆军是克谢尔克 谢斯下令留在其他军队的后面守卫伊奥尼亚的;这支军队一共有六方人,他 们的将领是波斯人当中最美、也是身材最高的人物提格拉涅斯。波斯水师的 将领们是计划逃到达支军队的庇护之下去,在那里把他们的船只拖到岸上并 在船只的四周构筑一道防壁,用来保卫船只兼作为他们自己的避难所。

    (97)他们商定了这样的一个计划之后就出海了。而当他们经过米卡列的 女神(这里专指戴美特尔和佩尔赛波涅——译者)神殿而来到有埃列乌西 斯·戴美特尔神殿的伽埃松和斯科洛波伊斯的时候,他们就把船只拖上了岸, 用石块和他们从果木园来伐来的木材筑成壁垒把它们围起来;在壁垒的外 面,他们又打上了一道木桩。至于那座埃列乌西斯·戴美特尔神殿,则这是 帕西克列斯的儿子披利斯图斯当他随着科德洛斯的儿子涅列欧斯去建立米利 都城时修建的。他们这样准备是要应付围攻,而看情况的不同,甚至也是要 取得胜利;对于这两种情况,他们事先都作了周密的准备。

    (98)当希腊人得知异邦人引军退回到大陆上的本土上去的时候,他们对 于他们的敌人竟然逃出他们的手掌感到很不高兴,并且不知道还是回师好, 还是乘船向海列斯彭特出发好。但最后他们决定不采取任何一种办法,而是 把船驶向本土。因此他们就在自己的船上安设了桥板以及海战时的所有其他 必需之物,然后就向米卡列进发了。当他们驶近营地,发现并没有任何人乘 船来迎战,并看到船被拉到岸上给壁垒围起来而且有一支大军沿着海浜列阵 的时候,列乌杜奇戴斯于是先乘船沿着海浜行进,行进时尽可能地靠近海岸 并且通过一名使者向伊奥尼亚人宣布说:“伊奥尼亚人,凡是你们听到我讲 话的人,请注意我所说的话罢,因为波斯人是决不会懂得我给你们的命令的。 当我们交战的时候,让你们每一个人首先都记着他的自由,然后则是交战的 口令‘希拉’,而建没有听到我讲话的人从听到我讲话的人那里知道这件事 罢”。他这样做的目的和铁米司托克列斯在阿尔铁米西昂的做法的目的是一 样的(见弟八卷第二十二节)。或者是异邦人不知道他的这番话而这番话便对伊奥尼亚人起了说服的 作用,或者是他的话报告给异邦人知道,这就会使他们不信任他们的希腊同 盟者。

    (99)在列乌杜奇戴斯进行了这样的劝告之后,希腊人随后就把自己的船 靠了陆而自己也上了岸,然后便在岸上整顿了队列。可是波斯人看到希腊人 在准备战斗并且劝告了伊奥尼亚人,于是他们首先把萨摩司人的全部武器给 收了过来,因为他们怀疑萨摩司人会帮助希腊人;确实原来当异邦人的船只 带来了克谢尔克谢斯军队所俘留在阿提卡的雅典俘虏时,萨摩司人曾把这些 人释放回雅典并且还给他们道上的旅费、用品等遣送他们回去。特别是由于 这样的一点,他们便受到了怀疑,因为他们释放了克谢尔克谢斯的五百名敌 人。此外,他们还指定米利都人来守卫通向米卡列山地的通路,借口说他们 对当地最为熟悉。但是他们这样做的真正目的却是为了使米利都人离开他们 的其余的军队。波斯人就用这样的办法对于那些他们以为一有机会就会对他 们倒戈的伊奥尼亚人进行了自卫;至于他们自己,则他们是把藤盾密接起来 作成一道防壁的。

    (100)希腊人在作好一切准备之后,就全线向着异邦军进击了。正当他们 前进之际,一个流言在军中飞传起来,一个传令使者的杖被发现横在水边岸 上的地方,传开来的那个流言是说,希腊军在贝奥提亚一役当中战败了玛尔 多纽斯。现在我们可以看到许多清楚的证据,可以说明在事物上有神的意旨 存在。既然这时,波斯人在普拉塔伊阿所遭到的惨败和他们即将在米卡列所 遭到的另一次惨败正好是在同一天,而流言又传到那个地方的希腊人的地方 去,这样他们的军队便得到了巨大的鼓舞,也就更不惜去面临危险了。

    (101)而且还有另一个偶合的地方,那就是在两处战场那里都有埃列乌西 斯·戴美特尔的圣域。因为,象我已经提过的,在普拉塔伊阿,战斗就是在 戴美特尔神殿的近旁进行的;而在米卡列,情况也是这样。结果帕乌撒尼亚 斯统率下的希腊人取得了胜利这个流言竟成了事实。原来普拉塔伊阿一役是在那一天还早的时候进行的,但米卡列一役却已经是傍晚的事情了。在这之 后不久的时候,希腊人对这事进行了调查,才知道这两个战役是在同一月的 同一天里发生的。而在他们听到这一流言之前,他们是十分担心的,这与其 说是为了他们自己,勿宁说是为了帕乌撒尼亚斯麾下的希腊人,因为他们害 怕希腊人会在和玛尔多纽斯发生冲突时栽在他的手里。但是当他们得到这个 消息的时候,他们就进攻得更加勇猛和迅速了。鉴于海岛和海列斯彭特都成 了胜利奖赏,因此希腊军和异邦军都是急于想进行战斗的。

    (102)至于大约占全线兵力一半的雅典人和配置在雅典人近旁的人们,他 们是必须沿着海岸上的平地前进的,因为拉凯戴孟人和配置在拉凯戴孟人近 旁的人们是通过峡谷和在一些小丘中间前进的。而当拉凯戴孟人正在迂迥的 时候,另一翼的人们已经展开战斗了。当波斯人的藤盾直立在那里的时候, 他们还能够保卫自己并且守住自己的阵地,但是当雅典人和配置在他们近旁 的人们相互激励并且更加拚命地奋力作战,为的是表明他们雅典人,而不是 拉凯戴孟人才可以打胜仗的时候,战斗的形势立刻改变了。他们冲倒了盾壁 之后,就全军系到波斯人中间去,波斯人迎战,和对方相持了很久一个时候, 但波斯人终于逃到垒壁里面去了。 (在战线上依次排列起来的)雅典人、科林斯人、希巨昂人、特罗伊真人 紧紧地追在后面并同样一齐冲了进去。但是当垒壁也被攻克的时候,异邦军 中除去波斯人之外,所有的人们便不再抵抗而逃窜了;但波斯人则各结成少 数人的队伍,仍然对象潮水一样冲进城壁来的希腊人作战。波斯人的将领有 两个人逃跑了,两个人被杀死了;逃跑的是两个海军的将领阿尔塔翁铁斯和 伊塔米特列斯,陆军的将领玛尔东铁司和提格拉涅斯则在战斗中阵亡了。

    (103)当波斯人还在战斗的时候,拉凯戴孟人和跟着他们来的人们赶来 了,帮着结束了未完的战斗。希腊人方面这次也损失了许多人,特别是希巨 昂人和他们的将领培利拉欧斯。至于在美地亚军中服务、并且给解除了武装 的萨摩司人,从一开头他们看到双方不分胜负的时候,便一心想帮助希腊人 而尽自己的力量去做:而当其他的伊奥尼亚人看到萨摩司人作出了榜样的时 候,他们于是也就对波斯人倒戈并向异邦军进攻了。

    (104)波斯人为了他们本身的安全曾指令米利都人着守通路,以便在万一 发生他们真正遇到了的事件时,他们可以有人把他们引导到米卡列山地去。 就是为了上述的理由,米利都人被分配以上述的任务,同时也是为了使他们 不在军队里从而使他们不会发生哗变的事情。可是,他们所做的事情和交付 给他们的任务完全相反,他们不单是把逃跑的波斯人引到通向敌人的道路上 去,而最后他们自己竟而也变成了波斯人的最凶恶的敌人并把波斯人杀死 了。这样,伊奥尼亚就再一次背叛了波斯人。

    (105)在这次战斗里,希腊人方面作战最英勇的是雅典人,而在雅典人当中作战最英勇的是庞克拉提昂(一种极其剧烈的拳击与角力的混合比赛)的名手埃乌托伊诺斯的儿子海尔摩律科斯。这个海尔摩律科斯后来在雅典人和卡律司托斯人作战时,在卡律司托斯领的库尔诺斯阵亡了,他的葬地就在吉拉伊司脱斯那里。在雅典人之后,战斗得最 突出的则是科林斯人、特罗伊真人和希巨昂人。

    (106)当希腊人在对敌作战或是在追逐逃敌而把敌人的大多数解决了的 时候,他们便把他们的卤获物搬出来到海岸的地方,在这些卤获物当中,他们发现了一些装看钱币的柜子。然后他们就把船只和整个垒壁放火烧掉了, 烧完之后,他们便乘船离开了。他们到了萨摩司之后,就讨论他们是否把伊 奥尼亚人迁移开并把伊奥尼亚人移居到他们治下的希腊哪个地方去的问题, 而打算把伊奥尼亚这个地方交给异邦人来处置。因为他们认为,他们不可能 永远地保护伊奥尼亚人使不受敌人的侵犯,而且如果他们不这样做的话,他 们也不敢料想波斯人会不对伊奥尼亚人进行报复。在这件事上,那些当权的 伯罗奔尼撒人主张把站到波斯人方面夫的那些希腊民族从他们的商埠地移 开,而把这些地方交给伊奥尼亚人住;但是雅典人不赞同把伊奥尼亚人移开 的全部计划,他们也不同意伯罗奔尼撒人干预雅典殖民地的事务。既然他们 激烈反对,伯罗奔尼撒人也就让步了。结果是他们使萨摩司人、岐奥斯人、 列斯波司人和参加他们的军队出征的所有其他的岛民都加入了他们的联盟, 并要他们发信谊之誓,永远忠于他们的联盟者,决不叛离。希腊人使他们对 自己宣了誓之后,便想乘船去把桥摧毁,因为他们以为桥还架在那里。

    (107)这样他们便向海列斯彭特出发了。另一方面,那少数幸得活命并给 赶到米卡列高地去的波斯人,则从那里逃到撒尔迪斯去了。当他们正在赶路 的时候,波斯人惨败之际正好在场的、大流士的儿子玛西司铁斯十分痛烈地 咒骂水师将领阿尔塔翁铁斯;在许多咒骂的言语之外,他特别对阿尔塔翁铁 斯说象他这样的指挥能力证明他尚且不如一个妇女,而且由于他给王室带来 的损害,他简直是罪该万死。原来在波斯人,被人骂成不如一个妇女,那是 最大的耻辱了。阿尔塔翁铁斯听了这样多的侮辱言语之后勃然大怒,于是他 抽出刀向玛西司铁斯奔来,想把他杀死。但是哈利卡尔那索斯人普拉克西拉 欧斯的儿子克谢纳戈拉斯那时正站在阿尔塔翁铁斯本人身后,他看到阿尔塔 翁铁斯向玛西司铁斯奔来,就抓住他的腰部,把他举起来撞倒在地下了。正 在这时,玛西司铁斯的卫兵们也赶来保护他了。这样一来,由于救了国王的 兄弟的命,这也就是施恩于玛西司铁斯本人和国王克谢尔克谢斯了;国王为 了报答他的这一功业,把整个奇里启亚赐给了他,任命他为该地的太守。此 后在路上便再没有发生任何其他的事情而到了撒尔迪斯。而国王当时恰巧也 在撒尔迪斯,因为在他海战失败后,他便从雅典逃到撒尔迪斯来了。

    (108)当他在撒尔迪斯的时候,他爱上了也在那里的玛西司铁斯的妻子。 他无论向她怎样表示也不能使她顺从他的意思,但是他顾及自己的兄弟玛西司铁斯,而没有对她施行强暴的手段(她不会遇到强暴手段,这一点她知道得 很清楚,因而同样的想法也就使她有了不从命的胆量)。克谢尔克谢斯既没有 别的办法来达到自己的目的,只好使自己的儿子大流士娶这个妇女和玛西司 铁斯之间所生的女儿为妻;因为他以为这样,他就很有可能把她弄到手了。 因此他就按照一切应当遵行的仪式使他们缔结了婚约,然后便离开这里到苏 撒去了。但是当他到了那里并把大流士的新婚妻子领入自己的家里之后,他 就把玛西司铁斯的妻子忘到九宵之外,而是改变了爱好,他向大流士的妻子、 玛西司铁斯的女儿,这个叫做阿尔塔翁铁的女孩子求婚并且取得了她。

    (100)但是久而久之,事情的真相却被人发现了,发现的经过是这样。 克谢尔克谢斯的妻子阿美司妥利斯织了一件彩色斑烂的、十分美丽的外 袍送给了他。克谢尔克谢斯看了很高兴,就穿着它去看阿塔尔翁铁;由于他 也很喜欢她,他便命令她向他要求她愿意要的任何东西以报答她对他表示的 好意,因为他说她不拘要求什么他都不会拒绝的。由于她和她的全家注定要 遭到惨祸,于是她就对克谢尔克谢斯说:“我要求的任何东西你都肯给我 吗?”他答应这样做并且为这件事发了誓,因为他以为那件东西她是决不会 要求的。可是当他发了誓之后,她竟然不揣冒昧地要求他的外袍。克谢尔克 谢斯用一切办法来迥避她的这个要求,原因不外是他害怕阿美司妥利斯会得 到明显的凭据,来证实她已经怀疑他会做的事情。为了代替这件东西,他想 把城池给她,把大量的黄金给她,还想把只有她一个人才能统率的一支军队 给她。军队是最道地的波斯式的物了。但是他不能说服她,只好把袍子给她 了;她得到袍子之后大喜过望,穿着它到各处去向人炫耀。

    (110)阿美司妥利斯听到了阿塔尔翁铁得到了袍子的事情。可是当她知道 这一实际情况之际,她并不生气这个女孩子。她认为负主要责任的是这个女 孩子的母亲,她认为这是女孩子的母亲干的事情,因此她打算毁掉的正是玛 西司铁斯的妻子。于是她就等待着,直到克谢尔克谢斯设御宴的时候。 (这种御宴每年在国王诞辰时举行一次;用波斯语来说,这一御宴的名称 是“图克塔”,这用希腊语来说就是“铁列伊翁”(“完全的”意思);而正是在那一天,国王 在头上涂膏并且逼赐波斯的群臣)。阿美司妥利斯等那一天来到之后,就向克 谢尔克谢斯要求把玛西司铁斯的妻子交给她。克谢尔克谢斯知道自己兄弟的 妻子对于她所怀疑的事件是无辜的,又知道她这一要求的目的是为了什么, 因此他认为如果把玛西司铁斯的妻子交给她,那将是一件可怕的和残暴不仁 的做法。

    (111)尽管如此,由于阿美司妥利斯的执拗请求,而且法律又使他不得不 允许,他万般无奈地答应了。因为在波斯举行御宴时,国王是不能拒绝任何 请求的。他把这个妇女交给了阿美司妥利斯之后,是这样做的。他一面命令 她愿意怎样做便怎样做,另一方面又派人把他的兄弟召了来,这样对他说: “玛西司铁斯,你是大流士的儿子和我的兄弟,而且你还是一个很不错的人 物。我告诉你,不要再和你现在的妻子同居了,我把女儿许配给你来代替她。 和她同居在一起罢。可是你得放弃你现在的妻子,因为我的意思是不许你和 她在一起”。玛西司铁斯听了这话大为震惊。他说:“主公,你要我这样来 对待我自己的妻子,这是一个多么不近人情的命令啊。我和她已经生了成年 的儿女而我的女儿又已经嫁给了你的儿子,而且我又是十分喜欢她的。可是 你却命令我放弃她并且和你的女儿结婚。国王啊,你认为我配得上娶你的女 儿为妻,这对我来说实在是一个莫大的光荣,可是这两件事情,哪一件我都 不愿做。请不要强迫我同意这样的一个愿望罢。你可以给你的女儿找到另一 位丝毫不比我差的丈夫,还是请你容许我和自己的妻子在一起罢。”玛西司 铁斯的回答就是这样。可是克谢尔克谢斯听了之后勃然大怒,他说:“玛西 司铁斯,这样一来,你便给自己召来了这样的后果。我既不把自己的女儿许 配给你,也不许你和你现在的妻子一同过活下去,你就会知道我要给你的是 什么东西了。”玛西司铁斯听了这话之后,只说了这样的一句话就离开了。 他说:“主公,可是你还没有要了我的命呢”。

    (112)正当克谢尔克谢斯和他的兄弟讲话的时候,阿美司妥利斯派人把克 谢尔克谢斯的卫兵召了来,对玛西司铁斯的妻子加以极其残酷的蹂躏。她割 掉了这个妇女的乳房,把它抛给狗吃,同样地割掉了这个妇女的鼻子、耳朵 和嘴唇,又把舌头也割掉。这个妇女就在这样残酷地被蹂躏之后,给送回家 里去了。

    (113)玛西司铁斯还不知道所发生的这一切,但是由于害怕会遭到惨祸, 他赶忙地跑回自己家里去了。玛西司铁斯看到自己的妻子受到这样惨不忍睹 的蹂躏,立刻就和自己的孩子们商量并和他的孩子们,确乎还有其他人等一 同出发到巴克妥利亚去,打算使巴克妥利亚省叛变,从而使国王遭到最大的 损害。在我看来,如果他能够逃入巴克妥利亚人和撒卡依人的地区的话,他 实际上是能够做到这件事的,因为当地的人都很爱戴他,而且他又是巴克妥 利亚人的太守。然而这已经无济于事了;原来克谢尔克谢斯已经知道了他的 意图,于是就派了一支军队去追击他,在道路上把他、他的儿子们以及他的 亲兵全都杀死了。关于克谢尔克谢斯的爱情事件以及玛西司铁斯的死亡的经 过情况就是这样。

    (114)另一方面,从米卡列向海列斯彭特出发的希腊人为了躲避风浪首先 便在莱克顿投锚,从那里又来到阿比多斯,而就在那里他们发现了那他们以 为是完好无恙的桥已经被摧毁了,而他们实际上主要都是为了这些桥才来到 了海列斯彭特的。于是列乌杜奇戴斯摩下的伯罗奔尼撒人便决定乘船返回希 腊,但是在将领克桑提波司麾下的雅典人却决定留在那里并向凯尔索涅索斯 进攻。于是其他人等便乘船他去,但是雅典人却渡海到凯尔索涅索斯去,把 赛司托斯给包围了。

    (115)可是当波斯人听说希腊人来到海列斯彭特的时候,他们就从邻近的 各个市邑来到并且也集中在赛司托斯这个地方来,因为他们认为赛司托斯是 那一地区里防卫得最坚固的地方。在这些波斯人中间,有一个出身卡尔狄亚 的、名叫欧约巴佐斯的波斯人,他曾把桥梁的案具带到那里去。占居这个赛 司托斯的是土著的爱奥里斯人,但是在他们中间也有波斯人和大群的他们的 其他同盟者。

    (116)治理这一省的是克谢尔克谢斯所任命的太守阿尔塔乌克铁斯,这是 一个狡诈而又邪恶的人物;在国王向雅典进军的途中,他竟欺骗国王,从埃 莱欧斯那地方贪污了伊披克洛斯的儿子普洛铁西拉欧斯(是特洛伊战争中第一个阵亡的希腊人。参见荷马:伊利亚特,Ⅱ,701)的财宝。经过的情况 是这样:在凯尔索涅索斯的埃莱欧斯地方有普洛铁西拉欧斯的坟墓,坟墓的 周边则是圣域。在那里有金银杯盏,青铜器具,衣服和其他奉献品等等大量 的财宝,阿尔塔乌克铁斯由于国王的特许,把这里面的东西全都劫走了,但 是他却用下面的话,欺骗了克谢尔克谢斯:“主公,在这里有一个希腊人的 家宅,这个希腊人由于率军进攻你的国土而在受到公正的惩罚后死掉了。请 把这个人的家宅赐给我罢,这样所有的人就得到教训,不敢进攻你的国土 了”。他以为他用这样的借口,就可以轻而易举地说服克谢尔克谢斯把这个 人的家宅赐给他,他相信克谢尔克谢斯是不会怀疑他是别有用心的。他所以 说普洛铁西拉欧斯率军进攻国王的领土,其理由是波斯人认为全部亚细亚都 是属于他们自己和统治他们的不拘哪一个国王的。因此,当这笔财富赠给了 他的时候,他便把它从埃莱欧斯带到了赛司托斯,却把圣域变成田地和牧场。 而当他到埃莱欧斯来的时候,总是在圣堂里和妇人交配的。而现在当雅典人 包围了他的时候,他根本没有准备,也丝毫没有想到希腊人会来,因此当他 们向他进攻的时候,他便走投无路了。

    (117)但是围攻一直继续到深秋的时候,希腊人由于离乡背土和在攻取城 塞时的失利而不耐烦起来,于是他们请求他们的将领再把他们率领回去:但是将领们拒绝这样做,他们一定要坚持到攻克这个地方或是为雅典政府当局 所召回。因此,他们就耐心地忍受他们当时的处境了。

    (118)可是城寨内部的人们这时却达到山穷水尽的地步了,他们竟煮食了 他们的床上的革纽,但终于甚至连这些东西他们也吃光了,于是阿尔塔乌克 铁斯和欧约巴佐斯以及所有波斯人便从要塞的后面,也就是敌军兵力最少的 地方逃了下来并在夜里逃跑了。到天明的时候,凯尔索涅索斯的人们就从塔 楼上把所发生的事情报告给雅典人并把城门打开了。雅典人的大部分跟踪追 击下去,而其余的人就占领了这个城市。

    (119)但是,在欧约巴佐斯逃到色雷斯去的时候,阿普新提欧伊·色雷斯 人却把他捉了起来,按照他们的风俗,把他当作牺牲奉献给他们当地的神普 雷司陶洛斯。至于欧约巴佐斯的同伴们,他们是用另一种办法给杀死的。阿 尔塔乌克铁斯和与他随行的人们是后来才开始逃跑的,他们是在阿伊戈斯波 塔莫伊稍稍上部的地方被追上的,他们抵抗了相当长的一个时候,结果他们 有的人被杀死,其余的人则被生俘了。希腊人把他们纣送到赛司托斯去,阿 尔塔乌克铁斯和他的儿子也同样是和这些人一道纣送去的。

    (120)据凯尔索涅索斯人说,看守阿尔塔乌克铁斯的人们当中,有一个人 遇到了一件神妙莫测的事件,那就是当他在煎咸鱼的时候,这些鱼在火上却 开始跳了起来并抽动着,就仿佛是新捉到的鱼一样。其余的人们都聚拢来, 惊讶地望着这种现象。可是当阿尔塔乌克铁斯看到这种奇怪的事情时,便向 这个煎咸鱼人说:“雅典的外国人啊,不要害怕这个奇迹罢。这个奇迹不是 显示给你的,这是埃莱欧斯的普洛铁西拉欧斯显示给我的,他的意思是说, 他虽然已不在人世并且已经象咸鱼那样的干枯了,但是上天诸神仍然给他力 量来向对他做了不义之行的人进行报复。因此,现在我想赔偿他,那就是, 为了补偿我从他的神殿里取走的财富,我愿意献给这位神一百塔兰特。而且 如果雅典人饶过了我们的活命的话,我愿意再为我本人和我自己的儿子向雅 典人献出二百塔兰特的赎金”。但是希腊的将领克桑提波司却不为这样的诺 言所动。因为埃莱欧斯人请求把阿尔塔乌克铁斯处死而为普洛铁西拉欧斯伸 冤,而且将军本人也打算这样做。因此,他们就把他带到克谢尔克谢斯在海 峡地带架桥的地岬那里去,有的人则说是把他带到玛杜托司市上方的一座山 那里去;而他们就在那里把他钉在板子上,高高地吊了起来;至于他的儿子, 则他们是把他的儿子当着他的面用石头砸死的。

    (121)他们把这一切事做完之后,便乘船回希腊去了,他们带看桥梁的索 具以及其他物品,预备献给他们的神殿。在那一年里,就再没有发生别的事 情。

    (122)这个被处以磔刑的阿尔塔乌克铁斯,他的祖父是阿尔铁姆巴列司; 这个阿尔铁姆巴列司(和第一卷第一一四节的阿尔铁姆巴列司所指的不是一个人)曾向波斯人献策,波斯人接受了它并把它献给居鲁士, 他那次献策的大旨是这样:“既然宙斯削平了阿司杜阿该斯而把霸权赋予波 斯人,特别是波斯人当中的你,居鲁士,既然我们所有的土地既狭小,又不 平坦,因此让我们迁出这块地方,去找一块更好的地方罢。我们边界上这样 的地方是很多的,在更远的地方,这样的地方也是很多的。这样的地方我们 只要弄到一块,我们就可以做出使人们更加惊叹的事情。一个统治的民族这 样做,是理所当然的事情。在我们目前统治了这样多的人以及整个亚细亚的 时候,难道我们还有一个比现在更好的机会吗?”居鲁士听到了这些话,不 过他对这计划并不是特别赞赏,而是命令他们说可以这样做。但是当他这样 命令的时候,他警告说他们这样做,必须准备不再作统治者,而要作被统治 的臣民。温和的土地产生温和的人物:极其优良的作物和勇武的战士不是从 同一块土地上产生出来的。因此,波斯人看到居鲁士的见识比他们的见识高, 于是承认自己看法的错误而离开了;他们宁可住在嶢瘠的山区作统治者,而不愿住在平坦的耕地上作奴隶。

    年表 (全部在纪元前)

    585 泰利士预言日蚀。 604(一说 605)——562 巴比伦尼布甲尼撒统治时期。 560 克洛伊索斯继承吕底亚王位。 561—560 佩西司特拉托斯成为雅典僭主。 559—556 米尔提亚戴斯成为色雷斯·凯尔索 涅索斯的僭主。 550 居鲁士征服美地亚。 548—547 戴尔波伊的阿波罗神殿被焚。 546 居鲁土征服吕底亚,推翻克洛伊索 斯。 546—545 波斯征服亚细亚的希腊人。 538 居鲁士陷巴比伦。 527 佩西司特拉托斯死。 526 萨摩司僭主波律克拉铁斯放弃与埃 及的同盟而投到波斯方面。 525 波斯出征埃及。 521 大流士继承波斯王位。 514 哈尔莫狄欧斯与阿里斯托盖通的谋 叛。 512 大流士第一次远征欧罗巴。 征服色雷斯。 510 佩西司特拉托斯族僭主政治的崩 溃。 雅典加入伯罗奔尼撒同盟。 叙巴里斯与克罗同之战。 508—507 伊撒哥拉司取得雅典的政权。 斯巴达人进攻雅典卫城。 克莱司铁涅斯执掌大权。 499 伊奥尼亚爆发起义。 498 雅典与埃吉纳作战。 497 雅典军烧毁撒尔迪斯。 494 伊奥尼亚军在拉戴战败。 492 波斯人征服色雷斯和马其顿。 490 波斯水师出征希腊。 埃列特里亚被毁。 马拉松之役。 489 米尔提亚戴斯出征帕洛司。 487 雅典对埃吉纳之战。 485 大流士死,克谢尔克谢斯即位。 482 雅典水师的加强。 480(八月) 克谢尔克谢斯侵入希腊。 阿尔铁米西昂和铁尔摩披莱之役。 480(九月) 撒拉米司海战。 480(十月) 日蚀。 479(春天) 波斯军驻守阿提卡。 479(八月) 普拉塔伊阿之役。 米卡列之役。 479—478(冬天) 雅典军攻陷赛司托斯。

    主要度量衡币制单位折算表

    (一)长度单位 达克杜洛斯 1.93 公分 尺(音译普司) 30 公分 佩巨斯 46.2 公分 帕扯司铁 7.7 公分 欧尔巨阿 1.85 公尺 普列特隆 30 公尺 斯塔迪昂 约 185 公尺 帕扯桑该斯(波斯) 5.7 公里 斯塔特莫斯 28 公里强

    (二)容量单位 甲液体 库阿托斯 1/2 公合 科杜列 1/4 公升 美特列铁司 39 公升 乙粉状物体 科伊尼库斯 约一公升 美狄姆诺斯 52 公升

    (三)重量单位 塔兰特 26 公斤 米那 436 克 德拉克玛 4.4 克 欧博洛斯 0.7 克 (四)币制单位 塔兰特 =60 米那 米那 =5 斯塔铁尔 斯塔铁尔 =20 德位克玛 德应克玛 =6 欧博洛斯

    重要译名对照表

    A Aegialeus 埃吉阿列斯 Aegicores 埃依吉科列乌司 Abae 阿巴伊 Aegilea 埃吉列阿 Abdera 阿布戴拉 Aegina 埃吉纳 Abrocomes 阿布罗科美斯 Aegion 埃吉翁 Abronichus 阿布罗尼科斯 Aegira 埃尹盖位 Abydos 阿比多斯 Aegiroessa 埃吉洛埃撒 Acanthus 阿坎托司 Aeglea 埃格列亚 Acarnania 阿卡尔那尼亚 Aegli 埃格洛伊人 Aceratus 阿凯扯托司 Aegospotami 阿伊戈斯波塔莫伊 Aces 阿开司 Aeimnestus 阿埃姆涅司托斩 Achd.emenes 阿凯美涅斯 Aenea 埃涅亚 Acbaemenidae 阿凯美尼达尹 Aenesidemus 埃涅西戴谟司 Achaia 阿凯亚 Aenus 阿伊诺斯 Achelous 阿凯洛司 Aenyra 阿伊努拉 Aclieron 阿凯隆河 Aeolians 爱奥里斯人 Achilles 阿齐里斯 Asolus 阿依欧洛司 Achilleum 阿奇列昂 Aeropus 阿埃洛波司 Aeraephia 阿克莱披亚 Aesanius 埃撒尼欧司 Acisius 阿克里西欧斯 Aeschines 埃司奇涅斯 Acrothoum 阿克罗托昂 Aeschylus 埃司库洛斯 Adicran 阿地克兰 Aesopus 伊索 Adimantus 阿迪曼托司 Aetolia 埃托利亚 Adrastus 阿德拉斯托司 Agaeus 阿伽依欧斯 Adriaticsea 亚得里亚海 Agamemnon 阿伽美姆农 Adyrmachidae 阿杜尔玛奇达伊人 Agariste 阿伽莉司铁 Aea 埃阿 Agasicles 阿伽西克列斯 Aeaces 阿伊阿凯司 Agathyrsi 阿伽杜尔索伊人 Aeaeus 埃伊阿科斯 Agathyrsus 阿伽杜尔索斯 Aegsae 埃伊伽埃 Agbalus 阿格巴罗斯 Aegaeae 埃伊盖伊埃 Agbatana 阿格巴塔拿 Aegaleos 埃伽列欧斯 Agenor 阿该诺尔 Lege 埃给 Agetus 阿盖托斯 Aegeus 埃盖乌斯 Agis 阿吉斯 Aglaurus 阿格劳洛斯 Aminocles 阿米诺克列斯 Aglomachus 阿格罗玛科司 Ammon 阿蒙 Agora 阿哥拉 Amompharetus 阿莫姆帕列托斯 Agrianes 阿格里阿涅斯 Amorges 阿摩尔盖司 Arron 阿格隆 Ampe 阿姆培 Aiaces 埃雅凯司 Ampeus 阿姆塔洛斯 Aias 埃阿司 Amphiaraus 阿姆披亚拉欧斯 Alabanda 阿拉班达 Amphicasa 阿姆披凯亚 Alalia 阿拉里亚 Amphicrates 阿姆披克拉铁斯 Alarodii 阿拉罗狄欧伊人 Amphictson 阿姆披克图昂 Alazir 阿拉吉尔 Amphictyones 阿姆披克图欧涅斯 Alazones 阿拉佐涅斯 Amphi lochns 阿姆披罗科司 Alcaeus 阿尔凯娥斯 Amphilytus 阿姆庇津托斯 Alcamenes 阿尔卡美涅斯 Amphimnestus 阿姆庇姆涅司托斯 A1cenor 阿尔凯诺尔 Amphion 阿姆庇昂 Alcetes 阿尔凯铁斯 Amphissa 阿姆披撒 Alc ibiades 阿尔奇比亚代司 Amphitryon 阿姆披特利昂 Alcides 阿尔开达司 Ampraeia 阿姆普拉奇亚 Alcimachus 阿尔启玛科司 Amyntas 阿门塔斯 Alcmene 阿尔克美涅 Amyris 阿米利斯 Alcmeon 阿尔克美昂 Amyrtaeus 阿米尔塔伊俄斯 Alcon 阿尔孔 Amythcon 阿米铁昂 Alea 阿列亚 Anachars 泊阿那卡尔西司 Aleianplin 阿列昂平原 Anscreon 阿那克列昂 Aleuadae 阿律阿达伊 Anactoria 阿那克托利亚 Alexander 亚力山大 Anagyrus 阿那几洛斯 Alilat 阿利拉特 Anaplies 阿纳培司 Alopecae 阿罗佩卡伊 Anaphlystus 阿那普律司托司 Alpeni 阿尔培诺依 Anaua 阿恼阿 Alrenus 阿尔塔诺斯 AnaTandrldes 阿那克桑德里戴斯 Alpheus 阿尔佩欧斯 Anazandrus 阿那克桑德罗斯 Alpis 阿尔披司 Anaxilaus 安那克西拉欧斯 Alns 阿罗司 Allchimolius 安启莫里欧司 Alyattes 阿律阿铁斯 Andrase 安德烈阿斯 Amasis 阿玛西斯 Androbulus 安多罗布洛斯 Amathus 阿玛图司 AndrOcrates 安多罗克拉铁斯 Anlazon 阿玛松 Androdams 安多罗达玛司 Amestris 阿美司妥利斯 Andromeda 安多罗美达 Amiantus 阿米安托斯 Androphsgi 昂多罗帕哥伊人 Anilcee 阿米尔卡斯 Andros 安多罗斯 Aneritus 阿涅利司托斯 Archias 阿尔启亚斯 Angites 安吉铁斯 Arclildemus 阿尔奇戴莫斯 Angrus 安格罗斯 Archidlce 阿尔启迪凯 Annon 安农 Archilochus 阿尔齐洛科斯 Anopaea 阿诺佩亚 Ardericca 阿尔代利卡 “Antagoras 安塔戈拉斯 Ardys 阿尔杜斯 Antandrus 安唐德罗斯 Ares 阿列斯 Anthele 安铁拉 Argades 阿尔伽戴司 Anthemus 安铁莫斯 Argaeus 阿尔该欧斯 Anthylla 安提拉 Argsnthonius 阿尔甘托尼欧斯 Anticares 安提卡列司 Arge 阿尔该 Anticyra 安提库拉 Argeia 阿尔鼓娅 Antidorus 安提多洛斯 Argilus 阿尔吉洛斯 Antiochus 安提奥科斯 Argiopium 阿尔吉奥披昂 Antipetrus 安提帕特洛斯 Alglppaei 阿尔吉派欧伊人 Antipliemus 安提培莫斯 Argo 阿尔哥 Anyssis 阿努西司 Argos 阿尔哥斯 Aparytae 阿帕里塔伊人 Argus 阿尔古司 Apatutia 阿帕图利亚 Ariabignes 阿里阿比格涅斯 Aphetae 阿佩泰 Ariantas 阿里安塔司 Aphidnee 阿披德纳伊 Ariapithes 阿里亚佩铁司 Aphrodisise 阿普罗狄西阿司 Ariaramnes 阿里阿拉姆涅斯 AD hrodite 阿普洛狄铁 Ariazus 阿里亚佐司 Aphthite 阿普提铁 Aridolis 阿利多里司 Apidanus 阿披达诺斯 Arli 阿列欧伊人 Apis 阿庇斯 Arimaspi 阿里玛斯波伊人 Apollo 阿波罗 Arimnestus 阿里姆涅司托斯 Apollonia 阿波罗尼亚 Ariomardns 阿里奥玛尔多斯 Apellophanes 阿波罗旁涅司 Arion 阿利昂 Apries 阿普里埃司 Ariphron 阿里普隆 Apsinthii 阿普新提欧伊人 Ayisba 阿里斯巴 Arabia 阿拉伯 AriSmaspeia 阿里斯玛斯佩阿 Ayaras 阿拉洛司 Aristagoras 阿里司塔哥拉斯 Araxes 阿拉克塞斯 Aristeas 阿利司铁阿斯 Arcadia 阿尔卡地亚 Aristides 阿里司提戴斯 Ascesilsns 阿尔凯西拉欧司 Aristocrates 阿里司托克拉铁斯 Archendrn 阿尔康德洛斯 Arlstocyprns 阿里司托摩普洛司 Arehelaus 阿尔凯拉欧斯 Aristridemus 阿里司托戴莫斯 Arebestratides 阿尔凯司特拉提戴 Aristodicus 阿里司托狄科斯斯 Aristogifon 阿里斯托盖通 Aristolaides 阿里斯托拉伊戴斯 Asbystae 阿司布司塔依人 Aristoaschus 阿里司托玛科斯 Ascalon 阿斯卡隆 Ariston 阿里司通 Asia 亚细亚 Arisbonice 阿利司托尼凯 Asies 亚细阿司 Aristonymus 阿利司托尼莫斯 Asine 阿西涅 Aristopbentus 阿里司托庞托斯 asmach 阿斯玛克 Aristophilides 阿里司托披里戴斯 Asonides 阿索尼戴斯 Arizanti 阿里桑托伊人 Aopil 阿索披亚人 Armonia 阿尔美尼亚 AopodOrus 阿索波多洛斯 Arpoxa1s 阿尔波克赛司 Aopus 阿索波司 Arsamenes 阿尔撒美涅斯 Aspathines 阿司帕提涅斯 Arsames 阿尔撒美斯 Assa 阿萨 Artabanus 阿尔塔巴诺斯 Assesus 阿赛索斯 Artabates 阿尔塔巴铁斯 Assyria 亚述 Artabazus 阿尔塔巴佐斯 Astacus 阿斯塔科斯 Artace 阿尔塔开 Aster 阿司特尔 Artachees 阿尔塔凯耶斯 Astrobacus 阿司特罗巴科斯 Artaei 阿尔泰伊欧伊人 Astyageg 阿司杜阿该斯 Artaeus 阿尔泰欧斯 Asnchis 阿苏启司 Artannnes 阿尔塔涅斯 Atarantes 阿塔兰铁司人 Artaphrenes 阿尔塔普列涅斯 Atarbeehis 阿塔尔倍奇斯 Artavctes 阿尔塔乌克铁斯 Alarneus 阿塔尔涅乌斯 Artaynto 阿尔塔翁铁 Athamas 阿塔玛斯 Artayntes 阿尔塔翁铁斯 Athenades 阿铁纳迭斯 Arfembares 阿尔铁姆巴列司 Athonagoras 阿铁那哥拉斯 Artemis 阿尔铁米司 Atbene 雅典娜 Artemisia 阿尔铁米西亚 athpns 雅典 Artemisiutm 阿尔铁米西昂 Athos 阿托斯 Artescus 阿尔铁斯科斯 Athrisbis 阿特里比司 Artobacanes 阿尔托巴札涅司 Athrys 阿特律斯 Artrichrnes 阿尔托克美斯 Atlanfor 阿特兰铁司人 Artontes 阿尔通铁斯 Atlantis 阿特兰提斯 Artoxerxes 阿尔托克谢尔克谢 Atlas 阿特拉斯斯 Atossa 阿托撒 Artozostre 阿尔桃索司特拉 Atramyttium 阿特拉米提昂 Artvbius 同尔图比欧司 Attaginus 阿塔吉诺斯 Artyphius 阿尔杜庇欧斯 Attica 阿提卡 Artystone 阿尔杜司托涅 Atys 阿杜斯 Aryandes 阿律安戴司 Auchatae 奥卡泰伊 Aryenis 阿里埃尼司 Augila 奥吉拉 Auras 奥拉斯 Boreas 波列阿斯 Auschisae 阿乌司奇撒伊人 Bouysthenes 包津斯铁涅司 Ausees 欧赛埃司人 Bosphotus 博斯波鲁斯 Autesion 欧铁乌昂 Bottiaea 波提埃阿 Autodicus 奥托迪科斯 Branchidae 布朗寄达伊 Autonous 奥托诺斯 Brauron 布劳隆 Auxesia 奥克塞西亚 Brentesium 布伦特西昂 Axius 阿克西奥司 Briantic country 布里昂提凯 Azanes 阿扎涅斯 Aziris 阿吉利司 Azotus 阿佐托司 B Briges 布利该斯 Brongus 布隆戈斯 Brygi 布律戈依人 Bubar 布巴列斯 Bubassus 布巴索斯 Babylon 巴比伦 Bubastis 布巴斯提斯 Bacales 巴卡列司 Budii 布底奥伊人 Bacchiadae 巴齐亚达伊 Badini 布迪诺伊人 Bacchus 巴科司 Bulis 布里斯 Bacis 巴奇司 Bura 布拉 Bactra 巴克妥拉 Busae 布撒伊人 Badres 巴德列斯 Busiris 布希里研 Bagasus 巴该欧司 Butacides 布塔启戴司 Barca 巴尔卡 Buto 布头 Basileides 巴昔列伊戴斯 Byzantium 拜占廷 Bassaces 巴撒凯斯 Cbattus 巴托司 Belbina 倍尔比那 Cabalians 卡巴里欧伊人 Belrs 倍洛斯 cabelees 卡贝列斯人 Bermius 倍尔米欧斯 Cabeiri 卡贝洛伊 Bissi 倍索伊 Cadmeans 卡德美亚人 Bias 比亚斯 Cadmus 卡得莫斯人 Bisaltes 比撒尔铁司 Cadytis 卡杜提司 Bisaltia 比撒尔提亚 Caeneus 凯涅乌司 Bisanthe 比桑铁 Caicus 凯科斯 Bistomia 比司托尼亚 Calamisa 卡拉米撒 Bithynians 比提尼亚人 Calasiries 卡拉两里埃斯 Biton 比顿 Calchas 卡尔卡司 Boebeanlake 波依贝司湖 Calchedon 卡尔凯多尼亚 Boeotia 贝奥提亚 Callantiae 卡朗提埃伊人 Boges 波该司 Callatebus 卡位铁波司 Bolbitine 博尔比提涅 Callatiae 卡拉提亚人 Callades 卡里亚戴斯 Caucasus 高加索 Callias 卡里亚斯 Caucones 考寇涅斯人 Callicrates 卡利克拉铁斯 Caunus 卡乌诺斯 call i machus 卡里玛柯斯 Caystrob ius 卡乌斯特洛比欧斯 Call iphon 卡利彭 Ceans 凯欧斯人 Callpidae 卡里披达伊 Cecropidae 开克洛皮达尹 Callpolis 卡利波里斯 Cecrops 开克洛普斯 Calliste 卡利斯塔 Celaenae 凯莱奈 Calydnos 卡律德诺斯 Celeas 凯列厄司 Calynda 卡林达 Celti 凯尔特人 Camarina 卡玛里纳 Ceos 凯欧斯 Cambyses 刚比西斯 Cephallenia 凯帕列尼亚 Camicus 卡米柯斯 Cephenes 凯培涅斯 Camirus 卡米洛斯 Cepheus 凯培欧斯 Campsa 坎普撒 Cephi sus 凯佩索司 canstron 卡纳司特隆 Ceramicus 凯拉摩斯 ( 湾 ) Candaules 坎道列斯 Cercasorus 凯尔卡索洛斯 Canobus 卡诺包斯 Cercopes 凯尔科佩司 Caphereus 卡佩列乌斯 Chalcidians 卡尔奇底开人 Cappadocia 卡帕多启亚 Chalcis 卡尔启斯 Carc initis 卡尔奇尼提斯 Chaldeans 迦勒底人 Cardamyle 卡尔达米列 Chalestra 卡列司特拉 Cardia 卡尔狄亚 Chalybes 卡律倍司 Carene 卡列涅 Charadra 卡拉德拉 Garenus 卡列诺司 Charaxus 卡拉克索斯 Caria 卡里亚 Charilaus 卡里拉欧斯 Carnea 卡尔涅亚 Cherites 卡里铁司 carpathus 卡尔帕托司 Charopinus 卡罗披诺司 Carpis 卡尔披司 Chemmis 凯姆来司 carystus 卡律司托斯 Cheops 岐欧普斯 Casambus 卡撒姆包斯 Chephren 凯普伦 casianmountain 卡西欧斯山 Cherasmis 凯拉司米斯 Casmena 卡兹美涅 Chersis 凯尔西司 Caspatyrus 卡司帕杜罗斯 Chersonese 凯尔索涅索斯 Cassandane 卡桑达涅 Chileus 奇列欧斯 Castalia 卡司塔里亚 Chilon 奇隆 Casthanaea 卡司塔纳伊亚 Chios 岐奥斯 Cataractes 卡塔拉克铁斯 Choaspes 科阿斯佩斯 Catiari 卡提亚洛伊人 Choereae 柯伊列阿伊 Caucasa 卡乌卡撒 Choerus 科依洛斯 chon 科恩 combrea 科姆布列阿 Chorasmii 花拉子米欧伊人 Compsantus 孔普桑托斯 Chromios 克罗米欧斯 Conium 科尼昂 Cicones 奇科涅司人 Contadesdus 康塔戴斯多斯 Cilicia 吉里启亚 Gopais 科帕伊司 Cilix 奇里科斯 Corcyra 柯尔库拉 Cilla 启拉 Coresus 科列索司 Gimmerians 奇姆美利亚人 Corinth 科林斯 cimon 奇蒙 Corobius 科洛比欧司 Cindya 金杜埃司 Coronea 科洛那亚 Cineas 奇涅阿司 Coros 科洛斯 Cinyps 奇努普司 Corycian cave 科律寄昂洞 Cissia 奇西亚 Corydallus 科律达罗斯 Cithaeron 奇泰隆 Corys 科律司 Cius 奇欧司 Cos 科斯 Clazomenae 克拉佐美纳伊 Cotyle 科杜列 Cleades 克列阿戴斯 Cotys 科杜斯 Cleandrus 克列昂德罗斯 Cranai 克拉那欧伊人 Cleisthenes 克莱司铁涅斯 Cranaspes 克拉纳斯佩司 Cleobis 克列欧毕斯 Crannon 克兰农 Cleodaeus 克列奥达伊欧斯 Crathia 克拉提亚 Cleombrotus 克列欧姆布洛托斯 Crathis 克拉提斯 Cleomenes 克列欧美涅斯 Cremni 克列姆诺伊 Cleonae 克列欧奈 Creston 克列斯顿 Clinias 克里尼亚司 Crestonia 克列司托尼亚 Clytiadae 克吕提亚达伊 Crete 克里地 Cnidus 克尼乡斯 Cretines 克列提涅斯 Cnoethus 克诺伊托斯 Crinippus 克里尼波斯 Cnossus 克诺索斯 Crisa 克利撒 Cobon 科邦 Critalla 克利塔拉 Codrus 科德洛斯 Critobulus 克利托布罗斯 Coele 科依列 Crius 克利欧斯 Coenyra 科伊努拉 CrObyzi 克罗比佐伊人 Coes 科埃斯 Croesus 克洛伊索斯 Colaeus 柯莱欧司 Cronos 克洛诺斯 Colaxais 克拉科赛司 Crophi 克罗披 Colchis 科尔启斯 Crossaea 克罗赛阿 Colias 科里亚斯 Croton 克罗同 Colophon 科洛彭 Cuphagoras 枯帕戈拉斯 Colossae 科罗赛 Curium 库里昂 Cyanean rocks 库阿涅埃岩 Cyaxares 库阿克撒列斯 Cybebe 库贝倍 Gyberniscus 库贝尔尼司科斯 Cyclades 库克拉戴斯 Gydippe 库狄佩 Cydonia 库多尼亚 Cydrara 库德辣拉 Cyllyrii 库吕里奥伊 Cylon 库隆 Cyme 库麦 Cynegirus 库涅该罗斯 Cynesii 瘴涅西欧伊人 Cynetes 库涅铁斯 Cyniscus 库尼司科斯 Gynosura 库诺叙拉 Cynosarges 库诺撒尔该斯 Cynurian 库努里亚人 Cypselus 库晋赛洛斯 Cyrauis 库劳伊司 Cyrene 库列涅 Cyrmianae 库尔米亚纳伊 Cyrnus 库尔诺斯 Cyrus 居鲁士 cythera 库铁拉 Cythnians 库特诺斯人 Cytissorus 库提索洛斯 Cyzicus 库吉科司 D Daphnis 达普尼司 Dardania 达尔达尼亚 Dardanus 达尔达诺斯 Daritae 达列依泰伊人 Darius 大流士 Dascyleum 达司库列昂 Dascylus 达斯库洛斯 Datis 达提斯 Datus 达托司 Daulis 达乌里司 Daurises 达乌里塞司 Decelea 戴凯列阿 Decelus 戴凯洛斯 Deioces 戴奥凯斯 Deiphonus 戴伊波诺斯 Delium 代立昂 Delos 狄罗斯 Delphi 戴尔波伊 Demaratus 戴玛拉托斯 Demarmenus 戴玛尔美诺斯 Demeter 戴美特尔 Democedes 戴谟凯代司 Democritus 德谟克利图 Demonax 戴谟纳克司 Demonous 戴谟诺乌斯 Demophilus 戴谟披罗斯 Dersaei 戴尔赛欧伊人 Derusiaei 戴鲁希埃欧伊人 Deucalion 戴乌卡里翁 Diactorides 狄雅克托里戴斯 Diadromes 狄雅多罗美斯 Dadicae 达迪卡伊人 Dicaea 狄凯亚 Daedalus 达伊达洛斯 Dicaeus 迪凯欧斯 Dai 达欧伊人 Dictyna 狄克杜那 Damasithymus 达玛西提摩斯 Didacae 迪达卡伊人 Damasus 达玛索斯 Didyma 狄杜玛 Damia 达米亚 Dieneces 狄耶涅凯斯 Danae 达纳耶 Dindymene 狄恩杜美奈 Danaus 达纳乌司 Dinomenes 狄诺美涅斯 Daphnae 达普纳伊 Diomedea 狄欧美戴司 Dion 狄昂 Zdionysius 狄奥尼修斯 Dionysophanes 狄欧尼棱帕涅斯 Dionysus 狄奥尼索斯 Dioscuri 狄奥司科洛伊 Dipaea 迪帕伊耶斯 Dithyrambus 狄图拉姆波司 Doberes 多贝列斯人 Dodona 多铎那 Dolonci 多隆科伊人 Dolopes 多罗披亚人 Dorians 多里斯人 Dorieus 多里欧司 Doriscus 乡里司科斯 Dorus 多洛斯 Doryssus 多律索斯 Dotus 多托司 Dropici 多罗庇科伊人 Drymus 德律莫司 Dryopis 德律欧被司 Dryoscephalae 头(意译) Dymanatae 杜玛那塔伊人 Dyme 杜美 Dyras 杜拉司 Dysorum 杜索隆 E Elbo 埃尔渡 Elean 埃里司人 Eleon 埃列昂 Elephantine 埃烈旁提涅 Eleusis 埃列乌西斯 Elis 埃里司 Epi daurus 埃披道洛斯 Epigoni 埃披戈诺伊 Epistrophus 埃披司特洛波斯 Epium 埃披昂 Elisyci 埃里叙科伊人 Elorus 埃洛罗斯 Enareis 埃那列埃斯 Enchelees 恩凯列司人 Eneti 埃涅托伊人 Enienes 埃尼耶涅斯 Enipeus 埃尼培乌司 Eordi 埃欧尔地亚人 Epaphus 埃帕波司 Ephesus 以弗所 Epialtes 埃披阿尔铁司 Epicydes 埃披库代斯 Epidamnian 埃披达姆诺斯人 Epizelus 埃披吉罗斯 Epizephyrlan 埃披捷庇里欧伊 Erasinus 埃拉西诺斯 Erechtheus 埃列克铁乌斯 Echecrates 埃凯克拉铁司 Eretria 埃列特里亚 Echemus 埃凯穆斯 Eridanus 埃利达诺司 Echestratus 埃凯司特拉托司 Erineus 埃里涅乌司 Echidorus 埃凯多斯 Erochus 埃洛科司 Echinades 埃奇那戴斯 Erxandrus 埃尔克桑德罗司 Edoni 埃多诺伊人 Erythea 埃律提亚 Eeropus 埃洛波司 Erythrae 埃律特莱伊 Eetion 埃爱提昂 Eryx 埃律克斯 Egesta 埃盖司塔 Eryxo 埃律克索 Egypa 埃及 Etearchus 埃铁阿尔科斯 Eion 埃翁 Eteocles 埃欧克列司 Elaeus 埃莱欧斯 Etesian 季风 Elatea 埃拉提亚 Ethiopia 埃西欧匹亚 Ethiopians 埃西欧匹亚人 Euboea 埃乌波亚 Euclides 埃乌克里戴斯 Euhesperides 埃乌埃司佩里戴司 Euhesperitae 埃乌埃司佩里塔伊 Eumenes 埃乌美涅斯 Eunomus 埃乌诺莫斯 Eupalinus 埃乌帕里诺司 Euphemus 埃乌培莫司 Euphorbus 埃乌波尔勃司 Euphorion 埃乌波利昂 Euphrates 幼发拉底 Euripus 埃乌里波斯 Europe 欧罗巴 Europos 埃乌洛波司 Euryanax 埃乌律阿那克斯 Eurybates 埃乌律巴铁斯 Eurybiades 优利比亚戴斯 Euryclides 优利克里戴斯 Eurycrates 优利克拉铁斯 Eurycratides 优利克拉提戴斯 Eurydame 埃乌律达美 Eurydemus 埃乌律戴谟斯 Euryleon 埃乌律列昂 Eurymachus 埃乌律玛科斯 Eurypon0 埃乌律彭 Eurypylns 埃乌律披洛斯 Eurysthenes 埃乌律斯铁涅斯 Eurystheus 埃乌律司铁乌斯 Eurytus 埃乌律托司 Euthoenun 埃乌托伊诺斯 Eutychides 埃乌奇戴斯 Euxinus 埃乌克谢诺斯 Evagoras 埃瓦哥拉斯 Evalcides 埃瓦尔启戴司 Evelthon 埃维尔顿 Exampaeus 埃克撒姆派欧斯 G Guaenetus 埃乌艾涅托斯 Gadira 伽地拉 Gaeson 伽埃松 Galepsus 伽列普索斯 Gallaic 伽拉萨凯 Gamori 伽莫洛伊 Gandarii 健达里欧伊人 Garamantes 拉曼铁司人 Gargaphian spring 伽尔伽披亚泉 Gauanes 高阿涅斯 Ge 该埃 Gobeleizis 盖倍列吉司 Gela 盖拉 Geleon 该列昂 Gelon 盖隆 Celonus 盖洛诺斯 Gephyraei 盖披拉人 Gerastus 吉拉伊司脱斯 Gergis 盖尔吉司 Gergithes 盖尔吉司人 Germanii 盖尔玛尼欧伊人 Gerrhus 盖罗司 Geryones 该律欧涅斯 Getae 盖塔伊人 Gigonus 吉戈诺司 Giligamae 吉里伽玛伊人 Gillus 吉洛司 Gindanes 金达涅司人 Glaucon 格劳空 Glaucus 格劳柯斯 Glisas 格里撒斯 Gnurus 格努罗司 Gobryas 戈布里亚斯 Goetosyrus 戈伊托叙洛司 Gonnus 戈恩诺斯 Gordias 戈尔地亚斯 Gorgo 戈尔哥 Gorgon 戈尔冈 Gorgus 戈尔哥斯 Grinnus 格林诺司 Grynea 古里涅阿 Gvgaea 巨该娅 Gyges 巨吉斯 Gyndes 金德斯 Gyzantes 顾藏铁司人 Heraeum 赫莱昂 H Hephaestopolis 海帕伊斯托波里斯 Hephaestus 海帕伊司托斯 Heraclea 海拉克列亚 Heracles 海拉克列斯 Heraclidae 海拉克列达伊 Heraclides 海拉克利戴斯 Here 希拉 Hades 哈戴司 Hermes 海尔美士 Haemus 哈伊莫司 Hermion 赫尔米昂涅 Halia 哈里埃斯 Hermippus 赫尔米波司 Haliacmon 哈里亚克蒙 Hermolycus 海尔摩律科斯 Haliarchus 哈里阿尔科司 Hermophantus 海尔摩庞托司 Halicarnassus 哈利卡尔那索斯 Hermopolis 海尔摩波里斯 Halys 哈律司 Hermotimus 海尔摩提莫斯 Harmamithres 哈尔玛米特雷斯 Hermotybies 海尔摩吐比埃司 Harmatides 哈尔玛提戴斯 Hermus 海尔谟斯 Harmocydes 哈尔摩戴斯 Herodotus 希罗多德 Harmodius 哈尔莫狄欧斯 Herophantus 海罗庞托司 Harpagus 哈尔帕哥斯 Herpys 海尔披斯 Hebrus 海布罗斯 Hesiod 赫西奥德 Hecataeus 海卡泰欧斯 Hesipaea 海西佩阿 Hector 海克托尔 Hestia 希司提亚 Hegesandrus 海该桑德罗斯 Hieron 希耶隆 Hegesicles 海该西克列斯 Hieronymus 谢洛尼莫斯 Hegesilaus 海吉西拉欧斯 Himera 喜美拉 Hegesipyle 海该西佩列 Hipparchus 希帕尔科斯 Hegesistratus 海该西斯特拉托斯 Hippias 希庇亚斯 Hegetorides 海该托里戴斯 Hippoclides 希波克里代斯 Hegias 海吉亚斯 Hippoclus 希波克洛司 Helen 海伦 Hippocoon 希波库昂 Helice 赫利凯 Hippocrates 希波克拉戴斯 Heliopolis 黑里欧波里斯 Hippocratides 希波克拉提戴斯 Hellas 希拉斯 Hippolaus 希波列欧(岬) Helle 海列 Hippolochus 希波洛科斯 Hellenion 海列尼昂 Hippomachus 昔波玛科斯 Hellenodicae 海列诺迪卡伊 Hipponicus 希波尼柯斯 Hellespont 海列斯彭特 Histiaea 希斯提阿伊亚 Helots 希劳特 Histiaeotis 希斯提阿伊欧提斯 Hephaestia 海帕依司提亚 Histiaeus 希司提埃伊欧斯 Homer 荷马 Hoples 荷普列司 Hyacinthia 叙阿琴提亚 Hyampea 叙安佩亚 Hyampolis 叙安波里司 Hyatae 叙阿塔伊 Hybla 叙布拉 Hydarnes 叙达尔涅斯 Hydrea 叙德列亚 Hyele 叙埃雷 Hylaea 叙莱亚 Hylleis 叙列依斯 Hyllus 叙洛斯 Hymaees 叙玛伊埃司 Hymettus 叙美托斯 Hypachaei 叙帕凯奥伊 Hypacyris 叙帕库里司 Hypanis 叙帕尼司 Hyperanthes 叙佩兰铁司 Hyperboche 叙佩罗凯 Byreanians 叙尔卡尼亚人 Hyris 叙尔吉司 Hyria 叙里阿 Hyroeades 叙洛伊阿戴斯 Hysiae 叙喜阿伊 Hysseldomus 叙塞尔多莫司 Hystanes 叙司塔涅斯 Hystaspes 叙司塔司佩斯 I Is 伊斯 Isagoras 伊撒哥拉司 Iacchus 雅科斯 Ischenous 伊司凯诺斯 Iadmon 雅德蒙 Isis 伊西司 Ialysus 雅律索斯 Ismarid lake 伊兹玛里司湖 Iamidae 雅米达伊 Ismenia 伊兹美尼亚 Iapygia 雅庇吉亚 Issedednes 伊赛多涅斯人 Iardanus 雅尔达诺斯 Isthmus Of CorinthIason 雅孙科林斯地峡 Iatragouas 雅特拉哥拉司 Ister 伊斯特 Ibanollis 伊巴诺里司 Istria 伊司脱里亚 Iberia 伊伯利亚 Italia 意大利 Itanus 伊塔诺司 Ithanmitres 伊塔米特列斯 Ithome 伊托美 Iyrcae 玉尔卡依人 L Leonidas 列欧尼达司 Leontiades 列昂提亚戴斯 Leontini 列昂提诺伊 Leoprepes 列欧普列佩斯 Lepreum 列普勒昂 Lerisae 雷里撒伊 Labda 拉布达 Leros 列罗司 Labdacus 拉布达科司 Lesbos 列斯波司 Labraunda 扰布劳昂达 Leto 列托 Labynetus 拉比奈托斯 Lencadia 列乌卡地亚 Lacedaemon 拉凯戴孟 LeuceActe 列乌凯 -呵克铁 Lacmon 拉克蒙 Leucon 列乌康 Laconia 拉科尼亚 Leutychides 列乌杜奇戴斯 Lacrines 拉克利涅斯 Libya 利比亚 Lade 拉戴 Lichas 里卡司 Ladice 拉狄凯 Licurgus 里库尔哥斯 Laius 扎伊欧司 Lide 里戴 Lampito 拉姆披多 Ligyes 里巨埃斯人 Lampoh 兰彭 Limeneium 里美奈昂 Lamponium 拉姆披尼昂 Lindus 林多斯 Lampsacus 拉姆普撒科斯 Lipaxus 里帕克索斯 Laodamas 拉欧达玛可 Lipoxais 里波克赛司 Laodice 拉奥迪凯 Lipsydrium 里普叙德里昂 Laphanes 拉帕涅斯 Lisae 里赛 Lapithae 拉披塔依 Lisus 利索司 Larisss 拉里撒 Locrians 罗克里斯人 Lasonii 拉索尼欧伊人 Lotophagi 洛托帕哥伊人 Lasus 扰索司 Loxias 洛克西亚司 Laurium 拉乌利昂 Lycaretus 律卡列托司 Laus 拉欧斯 Lycians 吕寄亚人 Leagrus 列阿格罗斯 Lycidas 吕寄达斯 Lebadea 列巴狄亚 Lycomedes 吕科美戴斯 Lebaea 列拜亚 Lycopas 吕科帕司 Lebedos 列别多斯 Lycophron 吕柯普隆 Lectum 莱克顿 Lycurgus 吕库尔戈斯 Leleges 列列该斯 Lycus 吕科斯 Lemnos 列姆诺斯 Lydians 吕底亚人 Leobotes 列欧波铁司 Lydias 吕第亚斯 Leocedes 列奥凯代斯 Lydus 吕多斯 Leon 列昂 Lygdamis 吕戈达米斯 Lynceus 律恩凯乌斯 Lysagoras 吕撒哥拉斯 Lysanias 吕撒尼亚斯 Lysicles 吕西克列斯 Lysimachus 吕喜玛科斯 Lysistratus 吕西司特拉托斯 M Mardontes 玛尔东铁司 Mardos 玛尔多斯 Marea 玛列阿 Mares 玛列斯 Mariandyni 玛利安杜尼亚人 Maris 玛里斯 Maron 玛隆 Maronea 玛罗涅亚 Macae 玛卡伊人 Marsyas 玛尔叙亚斯 Macedonisns 马其顿人 Mascames 玛司卡美斯 Macedonia 马其顿 Masistes 玛西司铁斯 Machlyes 玛科律埃司人 Masistius 玛西司提欧斯 Macistius 玛奇司提欧斯 Maspii 玛斯庇欧伊人 Macistus 玛启司托司 Massages 玛撒该斯 Macrones 玛克罗涅斯 Massagitae 玛撒该塔伊人 Mactorium 玛克托利昂 Massalia 玛撒里亚 Madyes 玛杜阿斯 Matieni 玛提耶涅人 Madytus 玛杜托斯 Matten 玛顿 Moeetians 麦奥塔伊人 Mausolus 玛乌索洛司 Moeander 迈安德罗司 Maxyes 玛克叙埃司人 Moeandrius 迈安乡里欧司 Mazares 玛扎列斯 Moeotis 麦奥提斯 Mecisteus 美奇司铁乌司 Magdolus 玛格多洛斯 Mecyberna 美库倍尔纳 Magi 玛哥斯僧(即玛果 Medea 美地亚伊人) Medians 美地亚人 Magnesia 玛格涅希亚 Megabates 美伽巴铁斯 Malea 玛列亚 Megabazus 美伽巴佐斯 Malene 玛列涅 Megacles 美伽克列斯 Males 玛列士 Megacreon 美伽克列昂 Malis 玛里司 Megadostes 美伽多司铁斯 Mandane 芒达妮 Megapanus 美伽帕诺斯 Mandrocles 芒德罗克列斯 Megara 美伽拉 Manes 玛涅斯 Megasidrus 美伽西多罗斯 Mantines 曼提漫亚 Megistias 美吉司提亚斯 Mantyes 曼图埃司 Meionians 美伊昂人 Maraphias 玛拉披司人 Melampus 美拉姆波司 Maraphii 玛拉普伊欧伊人 Milampygus 美拉姆披哥斯 Marathon 马拉松 Melanchlaini 美兰克拉伊诺伊人 Mardi 玛尔多伊人 Melanippus 美兰尼波司 Mardonius 玛尔多纽斯 Melanthius 美兰提欧斯 Melanthus 美兰托斯 Molossians 莫洛西亚人 Meles 美雷斯 Molpbegoras 莫尔帕戈拉司 Melians 玛里司人 Mlomemphis 莫美姆披司 Meliboea 梅里波伊亚 Mophi 摩披 Melissa 梅里莎 Moschi 莫司科伊人 Hembliarus 美姆布里阿洛司 Mossynoeci 莫叙诺依科伊人 Memnon 美姆农 Munychia 穆尼寄亚 Memphis 孟斐斯 Murychides 穆里奇戴斯 Meanres 美那列斯 Musaeus 穆赛欧斯 Mende 门戴 Mycale 米卡列 Mendes 孟迭司 Mycenaeans 迈锡尼人 Menelaus 美涅拉欧司 Mycerinus 美凯里诺斯 Menius 美尼欧斯 Myci 米科伊人 Merbalus 美尔巴罗斯 Hyconus 米科诺斯 Mermnadae 美尔姆纳达伊 Myecphorite 米埃克波里司 Meroe 美洛埃 Mygdonia 米哥多尼亚 Mesambria 美撒姆布里亚 Mylasa 美拉撒 Messapians 麦撒披亚人 Mlylitta 米利塔 Messene 麦撒纳 Myndus 孟多司 Messenia 美塞尼正 Myrcinus 米尔启诺司 Metapontium 美塔彭提昂 Myriandric gulf 米利安多罗斯湾 Methymna 美图姆那 Myrins 米利纳 Metiochus 美提欧科司 Myrmex 米尔美克司 Metrodorus 美特洛多罗司 Myron 米隆 Micythus 米库托司 Myrsilus 密尔昔洛斯 Midas 米达斯 Myrsus 密尔索斯 Miletus 米利都 Mys 米司 Milon 米隆 Mysia 美西亚 Miltiades 米尔提亚戴斯 Mysus 缪索斯 Milyae 米吕阿伊人 Mytilene 米提列奈 Milyas 米律阿斯 Myus 米欧司 Min 米恩 Minoa 米诺阿 Minos 米诺斯 Minyae 米尼埃伊 Mitra 米特拉 Mitradates 米特拉达铁斯 Mitrobates 光特洛巴铁司 Moeris 莫尹利斯 Molois 莫罗埃司 Neapolis 涅阿波里司 N Naparis 纳帕里司 Nasamones 纳撒摩涅司人 Natho 那托 Naucratis 纳乌克拉提斯 Nauplia 纳乌普利亚 Naustrophus 纳乌斯特洛波司 Naxos 纳克索斯 Necos 涅科斯 Nelidae 涅列达伊 Neocles 尼奥克列斯 Neon 尼昂 Neon Teichos 涅翁·提科斯 Nereids 涅列伊戴斯 Nereus 涅列欧司 Nesaeanhorse 涅赛伊阿马 Eesaeon 涅赛昂 Nestor 涅司托尔 Nestus 涅司托斯 Neuris 涅乌里司人 Nicandra 尼坎德拉 Nicandrus 尼坎多罗斯 Nicodromus 尼科德罗莫忻 Nicolaus 尼柯拉欧斯 Ni1e 尼罗河 Nileus 涅列欧斯 Ninus 尼诺斯 Nipsaei 尼普赛欧伊 Nisaes 尼赛亚 Nisyrus 尼叙洛斯 Nitetis 尼太提司 Nitocris 尼托克里司 Noes 诺埃斯 Nonacris 挪纳克利斯 Nothon 诺同 Notium 诺提昂 Kudium 努迪昂 Nymphodorus 尼姆波多洛斯 Nysa 尼撒 O Onomacritus 奥诺玛克利托斯 Ocytus 欧库托司 Odomanti 欧多漫托尹人 Odrysae 欧德律赛 Odyssey 奥德赛 Oea 欧伊亚 Oebares 欧伊巴雷司 Oedipus 欧伊狄波司 Oenoe 欧伊诺耶 Oenone 欧伊诺涅 Oenotria 欧伊诺特里亚 Oenussae 欧伊努赛 Oeobazus 欧约巴佐斯 Oeolycus 欧约律科司 Oeroe 欧埃洛耶 Oeta 欧伊铁 Oiorpata 欧约尔帕塔 Olbiopolitae 欧尔比亚市民 Olpn 奥伦 Olenus 欧列诺斯 Oliatus 欧里亚托司 Olophyxus 欧洛披克索斯 Olorus 欧罗洛司 Olympia 奥林匹亚 Olympiodorus 欧休匹奥多洛斯 Olympus 奥林波斯 Olynthus 欧伦托斯 Ombria 翁布里亚 Ombrici 翁布里柯伊人 Oneatae 欧涅阿塔伊 Onesilus 欧涅西洛司 Onetes 欧涅铁斯 Onochonus 欧诺柯挪斯 Onomastus 奥诺玛司托斯 Oarzus 欧阿里佐斯 Onuphite 欧努披司 Oarus 欧阿洛司 Ophryneum 欧普里涅昂 Oasis 欧阿西司 Opis 欧匹斯 Oaxus 欧阿克索司 Opoea 欧波伊亚 Oceanus 欧凯阿诺斯 Orbelus 欧尔倍洛司 Octamasades 欧克塔玛撒戴司 Orchomenus 欧尔科美诺斯 Ordessus 欧尔戴索司 Orestes 欧列断铁斯 Oresthieum 欧列斯提欧姆 Orethyia 欧列图娅 Orgeus 奥尔盖乌司 Oricnm 欧里科姆 Oricus 欧里科司 Orithyia 欧列图娅 Orneatae 奥尔涅阿塔伊人 Oroestes 欧洛伊铁司 Ouomedon 欧洛美东 Oropus 奥洛波斯 Orotalt 欧洛塔尔特 Orsiphantus 欧尔喜庞托司 Orthocorybantians 欧尔托科律般提欧 Orthosia 欧尔托西亚 Osiris 奥西里斯 Ossa 欧萨 Otanes 欧塔涅斯 Otaspes 欧塔司佩斯 Othryades 欧特律阿戴斯 Othrys 欧特律司 Ozolae 欧佐拉伊 P Panormus 帕诺尔摩斯 Pantagnotus 庞塔格诺托司 Pantaleon 庞塔莱昂 Pantares 潘塔列斯 Panthialaei 潘提亚莱欧伊人 Panticapes 庞提卡佩司 Pantimathi 潘提玛托伊人 Pantites 潘提铁斯 Papaeus 帕帕伊欧斯 Pallene 帕列涅 Pamisus 帕米索斯 Pammon 帕姆蒙 Pamphyli 帕姆庇洛伊人 Pamphylia 帕姆庇利亚 Pan 潘恩 Panaetius 帕那伊提乌斯 Pancratiun 庞克拉提昂 Pandion 潘迪昂 Pangaeum 庞伽伊昂 Panionia 帕尼欧尼亚 Panionium 帕尼欧尼翁 Panionius 帕尼欧纽斯 panites 帕尼铁司 Panopeus 帕诺佩司伊 Paphlagonians 帕普拉哥尼亚人 Paphos 帕波斯 pactolus 帕克托罗司 Papremis 帕普雷米斯 pactya 帕克杜耶 Paraebabes 帕拉依巴铁司 paptyee 帕克杜耶斯 Paralatae 帕辣拉泰伊 padaei 帕达依欧伊 Parapotamii 帕拉波塔米欧伊人 paeania 派阿尼亚 Paretaceni 帕列塔凯奈 人 paeonia 派欧尼亚 Paricanii 帕利卡尼欧伊人 Paeoplae 帕伊欧普拉伊人 Paris 帕理司 Paesus 帕依索司 Parium 帕里昂 Paeti 帕依托伊人 Parmys 帕尔米司 Pasus 帕伊欧斯 Parnassus 帕尔那索斯 Pagasae 帕伽撒依 Paroreatae 帕洛列阿塔伊人 Palees 帕列人 Parthenium 帕尔铁尼昂 Palestine 巴勒斯坦 Parthenius 帕尔特尼欧斯 pallas 帕拉司 Parthians 帕尔提亚人 Parus 帕洛司 Perses 培尔谢斯 Pasargadae 帕撒尔伽达人 Perseus 培尔赛欧斯 Pataecus 帕塔伊科斯 Persians 波斯人 Pataici 帕塔依科伊人 Petra 佩特拉 Patara 帕塔拉 Phaedyme 帕伊杜美 Patarbemis 帕塔尔目米司 Phaenippus 帕埃尼波斯 Patiramphes 帕提位姆培司 Phagres 帕格列斯 Patizeithes 帕提载铁司 Phalerum 帕列隆 Patraes 帕特列斯 Phanagoras 帕纳戈拉司 Patumus 帕托莫司 Phanes 帕涅司 Pausanias 帕乌撒尼亚斯 Pharandates 帕兰达铁斯 Pausicae 帕乌西卡伊人 Pharbaithite 帕尔巴伊托司 Pausiris 帕乌西里司 Pharnaces 帕尔郡凯斯 Pedasa 佩达撒 Pharnaspes 帕尔那斯佩斯 pedasus 佩达索所 Pharnazathres 帕尔纳扎特列所 Pedieis 佩迪埃司 Pharnuches 帕尔努凯斯 pelasgi 佩拉司吉人 Phaselis 帕赛利斯 Pelasgia 佩拉司吉亚 Pbasis 帕希斯 Peleus 佩列欧司 Phayllus 帕乌洛斯 pelion 佩里洪 Phegeus 佩该乌斯 pella 培拉 Pheneus 培涅俄斯 pellene 佩列涅 Pherendates 培伦达铁斯 Peloponnesus 伯罗奔尼撒 Pheretime 培列提美 Felope 佩洛普司 Pheros 培罗斯 pelusium 佩鲁希昂 Phidippides 披迪披戴斯 Penelope 佩奈洛佩 Phidon 庇东 Peneus 佩涅欧司 Phigalea 披伽列亚 Penthylus 潘图洛斯 Philaeus 披莱欧司 Percalus 培尔卡洛斯 Philagrus 披拉格罗斯 Percote 佩尔柯铁 Philaon 披拉昂 Ferdiccas 培尔狄卡斯 Philes 披列司 Pergamos 培尔伽莫斯 Philippus 披力波司 Perialla 培莉亚拉 Philistus 披利斩图斯 periander 培利安多洛斯 Philitis 皮里提斯 Pericles 伯里克利斩 Philocyon 披洛库昂 Perilaus 培利拉欧斯 Philocyprus 披罗库普洛司 Perinthus 佩林托斯 Phla 普拉 Perioeci 佩里欧伊科司 Phlegra 普列格拉 Perpherees 佩尔佩列埃斯 Phlius 普里欧斯 Perrhaebi 佩莱比亚人 Phocaea 波凯亚 Phocis 波奇司 Platea 普拉铁阿 Phoebus 波伊勃司 Pleistarchus 普列司塔尔科期 phoenicinas 腓尼基人 Pleistorus 省雷司陶洛斯 Phoenix 培尼克司 Plinthinetebay 普林提涅湾 Phormus 波尔莫司 Plynus 普律诺司 Phraortes 普拉欧尔铁斯 Poeciles 波依启列司 Phratagune 普拉塔古涅 Pogon 波贡 PhRiconian 普里科尼斯 Poliades 波里亚戮斯 Phrixae 普利克撒伊 Polias 波里阿司 Phrixus 普利克索斯 Polichne 波里克涅 Phronime 普洛尼玛 Polyas 波里亚斯 Phrygia 普里吉亚 Polybus 波律包司 Phrynichus 普律科司 Polycrates 波律克拉铁斯 Phrynon 普律农 Polycritus 波律克利托斯 Phthiotis 普提奥梯斯 Polydemca 波律达姆娜 Phthius 普提奥斯 Polydectes 波律戴克铁斯 Phya 佩阿 Polydorus 波律多洛司 Phylacus 披拉科斯 Polymnestus 波律姆涅司托司 Phyllis 披利斯 Polynices 波律涅凯斯 Phytho 佩脱 Pontus 彭托斯 Pieria 披埃里亚 Porata 波扯塔 Pjgres 披格列斯 Posideion 波西迪昂 Pilorus 披罗洛斯 Poseidon 波赛东 Pindar 品达洛司 Posidonia 波西多尼亚 Pindus 品多斯 posidonius 波西多纽斯 Piraeus 披莱乌斯 Potidaea 波提戴 Pirrene 佩列涅 Praesus 普拉伊索斯 Piromis 披罗米司 Prasiadlake 普位西阿司湖 Pitus 佩洛斯 Praxilaug 普拉克西拉欧斯 Pisa 披萨 Prexaspes 普列克撒司佩斯 Pisidian 披西达伊人 Prexinus 普列克西诺斯 Pisistratidae 佩西司特拉提达伊 Priam 普利亚莫斯 Pisistratus 佩西司特拉托斯 Priene 普里耶涅 Pistyrus 披司图洛斯 Prinetades 省里涅塔达司 Putana 庇塔涅 Procles 普罗克列斯 Pithagoras 毕达哥拉斯 Proconnesus 普洛孔涅索斯 Pittacus 披塔柯斯 Promeneia 普洛美涅亚 Pixodarus 披克索达洛司 Prometheus 普洛美修斯 Placia 普拉启亚 Pronaee 普洛奈亚 Plataeae 音拉塔伊阿 Propontis 普洛彭提斯 Prosopitis 普洛索披提斯 Protisilaus 普洛铁西拉欧斯 Proteus 普洛铁乌斯 Protothyes 普洛托杜阿斯 Prytanis 普律塔尼斯 Psammenitus 普撒美尼托斯 Psammetichus 普撒美提科斯 Psammis 普撒米司 Psylli 普叙洛伊人 Psyttalea 普叙塔列阿 Pteria 普铁里亚 Ptoan Apollo 普托司·阿波罗 Ptoum 普托昂 ylae 披莱 Pylagori 披拉戈拉斯 Pylos 披洛斯 Pyrene 披列涅 Pyretus 披列托司 Pyrgos 披尔哥斯 Pythagoras 毕达哥扯斯 Pytheas 披铁阿斯 Pythermos 佩铁尔谟斯 Pythia 佩提亚 Pythius 披提欧斯 Pythogenes 披托盖涅斯 R Rbampsinitns 拉姆普西尼托司 Rhegium 列吉昂 Rhenaea 列那伊亚 Rbodes 罗德斯 Rhodope 洛多佩 Rhodopis 罗德庇司 Rhoecus 罗伊科司 Rhoetium 洛伊提昂 Rhypes 律佩斯 S Scione 司奇欧涅 sattagydae 撒塔巨达伊人 Saulius 撒乌里欧斯 Sauromatae 撒乌洛玛泰伊人 Scaeus 斯卡伊欧斯 Scamander 司卡曼德罗斯 Scamandronymus 司卡芒德洛尼莫司 ScapteHyle 斯卡普铁·叙列 Sciathos 斯奇亚托斯 Scidrus 司奇多洛斯 Sacae 撒卡依人 Sadyattes 萨杜阿铁斯 Sagartii 撒伽尔提欧伊人 Sais 撒伊司 Salamis 撒拉米司 Sale 撒列 Salmoxis 撒尔莫克西司 Salmydessus 撒尔米戴索司 Samius 萨米欧司 Samos 萨摩司 Samothrace 萨摩特拉开 Sanancharibus 撤那卡里波司 Sandanis 桑达尼斯 P Sandoces 桑多开斯 Sane 撒涅 Sapaei 撒帕依欧伊人 Sappho 莎波 Sarangae 萨朗伽伊 Sardanapallus 撒尔丹那帕洛司 Sardinia 萨地尼亚 Sardis 撒尔迪斯 Sardo 萨尔多 Sarpedon 撒尔佩东 Sarte 撒尔铁 saspires 撒司配列斯 Sataspes 撒塔司佩斯 Satrae 撒妥拉伊人 Sciton 斯奇同 Sabacos 撒巴科斯 Scolopois 斯科洛波伊斯 Sabyllus 撒必洛斩 Scolus 司科洛斯 Scopadae 司科帕达伊 Siromus 西罗莫斯 Scopasis 斯科帕西司 Sisamnes 西撒姆涅斯 Scylace 斯奇拉凯 Sisimaces 昔西玛凯司 Scylax 司库拉克斯 Sitalces 西塔尔凯司 Scyles 司库列斯 Sitbonia 西托尼亚 Scyllias 司苦里亚斯 Siuph 西乌铺 Scyros 司奇洛斯 Smerdis 司美尔迪斯 Scythee 司枯铁斯 Smerdomenes 司美尔多美涅斯 Scythia 斯奇提亚 Smila 司米拉 Sebennyte 赛本努铁斯 Smindyrides 司敏杜里代斯 Selinus 赛里努司 Smyrna 士麦拿 Selymbmria 塞律姆布里亚 Socles 索克列斯 Semele 赛美列 Sogdi 粟格多伊人 Semiramis 谢米拉米司 Soli 索罗伊 Sepias 赛披亚斯 Solois 索洛埃司 Serbonianmarsh 谢尔包尼斯湖 Solon 梭偷 Seriphus 赛里婆斯 Solymi 索律摩伊人 Sermyle 谢尔米列 Sophanes 梭帕涅斯 Serrheum 塞列昂 Sosimenes 索喜美涅斯 Sesostris 塞索斯特里斯 Sostratus 索司特拉托司 Sestos 赛司托斯 Spargapises 斯帕尔伽披赛斯 Sethos 赛托司 Spargapithes 斯帕尔伽佩铁司 Sicania 西卡尼亚 Sporta 斯巴达 Sicas 西卡司 Spercheus 司佩尔凯欧斯 Sicily 西西里 sperthias 司佩尔提亚斯 Sicinnus 西琴诺斯 Sphendalae 司潘达莱斯 Sicyon 希巨昂 Stagirus 司塔吉洛斯 Sidon 西顿 Stenforis 司顿托里司 Sigeum 细该伊昂 Stenyclerus 司铁尼克列洛斯 Sigynnae 昔恭纳伊人 Stesagoras 司铁撒哥拉斯 Silenus 昔列诺斯 Stesenor 斯铁塞诺尔 Simonides 西蒙尼戴斯 Stesilaus 司铁西拉欧斯 Sindi 信多伊人 strattis 司妥拉提斯 Sindus 辛多斯 Strucbetes 斯特路卡铁斯人 Singns 辛哥斯 Stryme 司妥律美 Sinope 西诺佩 Strymon 司妥律蒙 Siphnus 昔普诺斯 Stymphalian lake 司图姆帕洛斯湖 Siriopaeones 西里欧派欧尼亚人 Styreans 司图拉人 Siris 昔利斯 Styx 司图克斯 Siromitres 西洛米待列斯 Sunium 索尼昂 Sits 苏撒 Skyagrus 叙阿格罗斯 Sybaris 叙巴里斯 Syenp 叙埃涅 Syennesis 叙恩涅喜斯 Syleus 叙列乌斯 Syloson 叙罗松 Syme 叙美 Syracnse 西拉为赛 Syrgis 叙尔吉司 Syria 叙利亚 Syrtis 叙尔提斯 T Telesarcbus 铁列撒尔科司 Tplines 铁里涅司 Telliadae 铁里亚达伊 Tellias 铁里阿斯 Tellus 泰洛斯 Telmessos 铁尔美索斯 Telos 铁洛斯 Telys 铁律司 Temenos 铁美诺斯 Temnos 铁姆诺斯 Tempe 铁姆佩 Tenedos 提涅多斯 Tenos 铁诺斯 Teos 提奥斯 Tabalus 塔巴罗斯 Teres 铁列斯 Tabiti 塔比提 Tereus 铁列欧司 Tachompso 塔孔普索 Terillus 铁里洛斯 Taenarum 塔伊那隆 Termera 铁尔美拉 Talaus 塔拉欧司 Terznilae 铁尔米莱 Taltybius 塔尔图比欧斯 Tethronum 铁特洛尼昂 Tanagra 塔那格拉 Tetramnestus 铁特拉姆但司托斯 Tanais 塔纳伊司 Tencrians 铁乌克洛伊人 Tanite 塔尼司 Tencros 铁乌克罗斯 Taras 塔拉斯 Teuthrania 铁乌特拉尼亚 Tarentines 塔兰提诺伊人 Thagimasadas 塔吉玛萨达斯 Targitans 塔尔吉塔欧斯 Thales 泰利士 Tarsus 塔尔提索斯 Thamanaei 塔玛奈欧伊人 Tauchira 塔乌奇拉 Thamasius 塔玛希欧斯 Tauri 陶利卡人 Thannyras 坦努拉司 Taxacis 塔克撒启司 Thasos 塔索斯 Taygetum 塔乌该托斯 Theasides 铁阿西代斯 Tearus 铁阿罗斯 Thebe 铁贝 Teaspis 铁阿司披斯 Thbes 底比斯 Tegea 铁该亚 Thermis 铁米斯 Teispes 铁伊司佩斯 Themiscyra 铁米司库拉 Telamon 铁拉门 Themison 铁米松 Teleboae 铁列波阿伊 Themistocles 铁米司任克列斯 Telecles 铁列克莱司 Theocydes 提欧库戴斯 Teleclus 铁列克洛司 Theodorus 铁奥多洛斯 Telemachus 铁列玛科斯 Tbeomestor 提奥美司托尔 Theophania 铁奥帕尼正 Tigranes 提格拉涅斯 Theopompns 铁欧彭波斯 Tigris 底格里斯 Thera 铁拉 Timagenides 提玛盖尼戴斯 Therambos 铁拉姆波司 Timagoras 提玛戈拉斯 Therapne 铁拉普涅 Timandrus 提曼多洛斯 Theras 铁拉司 Timarete 提玛列捷 Therma 铁尔玛 Timasitheus 提美西铁乌司 Thermondon 铁尔莫东 Timesius 提美西奥斯 Thermonylas 铁尔摩披莱 Timo 悌摩 Theron 铁隆 Timodelnus 悌摩戴谟斯 Thersandrus 铁尔桑德洛斯 Timon 提蒙 Theseus 铁谢欧斯 Timonax 提莫纲克斯 Thesmophoria 铁斯莫波里亚 Timoxenus 悌摩克塞诺斯 Thespia 铁司佩亚 Tiryns 捉律恩司 Thesprotians 铁斯普洛托伊人 Tisamenus 提撒美诺斯 Thessalus 帖撒洛司 Tisandrus 提桑德洛斯 Thessaly 帖撒利亚 Tisias 提细亚斯 Thestes 铁司特斯 Titacus 提塔科斯 Thetis 帖提司 Tithaeus 提泰欧斯 Thmuite 特姆易斯 Tithorea 提托列阿 Thoas 托阿斯 Titormus 提托尔莫斯 Thon 托恩 Tmolns 特莫洛斯 Thonis 托尼司 Tomyris 托米丽司 Thorax 托拉克司 Torone 托罗涅 Thoricus 托利科司 Trashinia 特拉奇尼亚 Thornax 托尔那克司 Trashis 特拉奇司 Thrace 色雷斯 Trapezus 特拉佩佐斯 Thrasybulus 特扰叙布洛斯 Traspies 特拉司披耶司人 Thrasycles 特拉叙克列斯 Trausi 妥劳索伊人 Thrasydeius 特拉叙狄欧斯 Trayns 特拉沃斯 Thrasylans 特拉叙拉欧斯 Triballicplain 特利巴里空原野 Thriasianplain 特里亚平原 Triopium 特里欧庇昂 Thyia 图依亚 Tritaea 特里泰埃斯 Thyni 札尼亚人 Tritantaechmes 特里坦塔伊克美斯 Thyreae 杜列亚 Tritere 特里提司 Thyssagetae 壮撒该塔伊人 Triton 妥里通 Thyssns 杜索司 Troad 特洛阿司 Tiarantus 提阿兰托司 Troezen 特罗伊真 Tibareni 提巴列诺伊人 Trophonins 特洛波尼欧斯 Tibisis 提比西斯 Troy 特洛伊 Tydeus 杜德乌斯 Tymnes 图姆涅斯 Tyndareus 图恩达列乌斯 Tyndaridse 图恩达里达伊 Typhon 杜彭 Ttras 杜拉斯 Tyre 推罗 Tyrodiza 图洛迪札 Tyrsenus 第勒赛诺斯 Tyrrhenians 第勒塞尼亚人 U Uranius 乌拉尼欧斯 Utii 乌提欧伊人 Urania 乌拉尼阿 X Xanthippus 克桑提波司 Xanthus 克桑托斯 Xenagoras 克谢纳戈拉斯 Xerxes 克谢尔克谢斯 Xuthus 克苏托斯 Z Zanynthns 札昆托斯 Zancle 臧克列 Zaueces 撒乌埃肌司人 Zens 宙斯 Zenxidemus 杰乌克西戴莫斯 Zone 佐涅 Zopyrus 佐披洛司 Zoster 佐斯泰尔

  • 希罗多德《历史 》1

    《历史》一书是公元前五世纪历史学家希罗多德(Hροδο-το ζ,拉 Herodotus,公元前 484—公元前 430/20 年)所撰述的记述公元前六至五世纪波斯帝国和希腊诸城邦之间战争的一部著作。据十世纪的苏达辞书(∑ονδα,拉 sui-das)的介绍,希罗多德出生在小亚细亚乡里斯人的城市哈利卡尔那索斯的一个名门,父亲吕克瑟司,母亲德律欧,还有一个兄弟铁奥多洛斯。他由于反对本城的僭主吕戈达米斯而被迫移居萨摩司岛;在这里他学会了伊奥尼亚方言。后来他从亡命中返回故乡, 赶跑了僭主,但又因同国人不合而再次离乡背井。这之后,他还参加过建立图里伊的殖民活动(公元前 443 年),最后就死在那里。从其他史料和他本人的作品,可以知道他到过许多地方:除小亚细亚诸城市外,还有希腊本土(特别是雅典)、马其顿、埃及、腓尼基、 叙利亚、黑海沿岸、意大利南部和西西里等地。就当时条件而论,他见闻之广应当说是罕见的,所以后来又有人称他为“旅行家之父”。至于他为什么要走这样多地方,后人根据他的作品作过种种推测。有人说他可能象早期的 埃伦那样,是一个到各地采办货物的行商;有人认为他是想仿照他的前辈海 卡泰欧斯的样子写一部更加翔实的地理作品;还有人认为他到各地去是为了 搜集写作材料,比如,他在雅典就朗诵过自己的作品并得到了异常丰厚的报酬。 苏达辞书没有提他到过雅典的事情,但从《历史》本身并证之以其他资 料,我们知道他不但到过雅典,而且同以伯里克利斯为首的雅典民主派和一 些著名作家(例如著名悲剧诗人索波克列斯)有过交往。他在雅典的时期大 概在公元前 447—443 年间。没有史料说明他为什么到雅典,但从他的作品为 雅典民主派辩护这一点来看,他可能是应邀来到雅典为之宣传并参加他们的 殖民活动的。

    希罗多德虽然是小亚细亚的希腊人,又为雅典民主派作过宣传,但他并 不是站在泛希腊爱国主义的立场上来写他的《历史》的。他赞扬的是雅典人, 而不是整个希腊民族;他对波斯人也是公正的,并无肆意诋毁之处,相反, 他承认东方民族具有比希腊更古老,更高的文明。这同后来的希腊人把异族 一概都视为“蛮族”的观点迥然不同。

    尽管《历史》记载了不少荒诞无稽的传说,但它仍然有很高史料价值。他的记述有不少 是亲自调查得来的。其中有许多为后世的发掘和研究所证实。 《历史》全书可以明显地分成两部分。前半部只是以希腊波斯战争的历 史为骨架,用它来贯串许多同正文关系不大的传说、故事、地理、人种志方 面的记述等等(其中有关埃及的部分几乎可以独立成书),后半部才开始叙 述战争本身,而插笔叙述退居次要地位。总的看来,不少材料是硬凑到一起 的。苏达辞书说《历史》是作者在萨摩司岛写的,但我们只能理解为他在这 里有过写作活动。从全书内容来看,前半部分的材料显然不是供战争史使用 的,后来作者决定写战争史,才把这部分材料也塞了进去。可以认为,全书 非一时一地写成,甚至他在世时可能未最后定稿,因为后人在此书中发现有 前后不协调之处,而且结尾也显得突然,未能在适当处告一段落。

    《历史》传世钞本有十几种,大多是十到十五世纪时的。全书传统分为九卷,每卷各冠以一位缪司女神的名字,因此后世又把它称为《缪司书》。 这种分法大概出自后来编订此书的亚力山大里亚学者之手,未必是原书的本来面貌。 按照传统的分卷法,第一卷在开宗明义之后,首先讲克洛伊索斯对波斯 的进攻作为引起波斯入侵犯希腊的第一个诱因:作者在这里还记述了吕底亚和波斯的情况,特别是居鲁士进行的征服;第二卷主要介绍埃及的情况;第 三卷主要记述刚比西斯和大流士时期的情况,并插入了有关萨摩司的事 情;第四卷介绍了斯奇提亚和利比亚的情况和大流士对它们的进攻;第五卷 主要记述伊奥尼亚起义:第六卷记述马拉松之役;第七卷从克谢尔克谢斯的 出征希腊记述到阿尔铁米西昂和铁尔摩披莱之役;第八卷记述决定性的撒拉 米司一役;第九卷记述普拉塔伊阿和米卡列之役,而以雅典军队攻陷赛司托 斯(公元前 478 年)为结束。 原来使用多里斯方言的希罗多德是用伊奥尼亚方言,也就是荷马的方言 写作他的《历史》的。他和荷马的继承关系十分明显,他使用了不少荷马的 语词和表现手法,因此后人说他的文字有浓厚的荷马味道(Ομηριγψ τατοζ)。在拜占廷的司蒂芳所报 道的希罗多德在图里伊的墓铭上就有:“他是用伊奥尼亚方言写作的历史 学家中最优秀的。”

    (一)本书所用原本是牛津古典丛书中修德(C. Hude)编订的《希罗多德:历史》(Herodoti,Historiae;两册,1926 年,第 3 版),同时参考了洛布 希英对照本古典丛书中所用的施泰因(H.Stein)编订本。豪乌(w.w.How)和威 尔斯(J.Wells)二氏为修德本所编的《希罗多德注释》(A Commentary on Herodotus,两册,上册 1912 年牛津版,下册 1928 年牛津订正版)和若干选 本的注释(如 Abicht,waddell 诸氏为第 2 卷所作的注释)。 (二)在翻译时曾参考下面五个全译本: 1.塞成林·汉梅尔 (Seweryn Hammer) 的波兰文译本 (Hero- dot : Dzieje),1954 年版。 2.青木岩的日文译本,两册,上册 1940 年版,下册 1941 年版。 以上两个译本的特点是较新,又都是以修德本为主要依据的。 3.乔治·劳林逊(George Raw linson)的英译本。这是长期以来在英译本 中被认为是一部标准译本,原来分四册,在 1858—1860 年间发表。我所用的 则是经过哥多尔芬(Francis R. B. Godolphin)订正的生译本,收入他编的《希 腊历史学家》(The Greek Historians)的上册(1942 年版)。 4.亨利·凯里(Henry Cary)的英译本,1852 年版。 5.顾德雷(A. D. Godley)的英译本,收入洛布希英对照本古典丛书,四 册:第一册 1946 年修订版,第二册 1950 年修订版,第三册 1950 年版,第四 册 1946 年版(以上版次都指译者个人所用的)。 以上几个全译本或以文采长,或以准确胜,可说是各有千秋,对我都有 很大的帮助,起了集思广益的作用。 (三)译本立足介绍古典名著,不是供专家研究之用,注释以简要为原则,所述历史事件都 是公元前的事,为了简明起见,译注中年份都不再注明“公元前”了。 (四)译名从原文音译,但已经通行的译名即依照约定俗成 的原则不再更动(如雅典、伊索、底比斯、以弗所等)。 原文拉凯戴孟和斯巴达分开使用,所以译文中也分开。(五)书中度量衡单位,保留了音译的原名,只有一个尺字是原文πονζ的意译。书末所附折算表是根据波兰译本的附录改编的。 (六)要目索引主要据日文译本的索引并核对其他有关索引改编而成。排 列方法是按笔画(简化字按简化后的笔画),同笔画的按部首顺序。

    第一卷

    在这里发表出来的,乃是哈利卡尔那索斯人希罗多德的研究成果,他所 以要把这些研究成果发表出来,是为了保存人类的功业,使之不致由于年深 日久而被人们遣忘,为了使希腊人和异邦人的那些值得赞叹的丰功伟绩不致 失去它们的光彩,特别是为了把他们发生粉争的原因给记载下来。

    (1) 根据有学识的波斯人的说法,最初引起了争端的是腓尼基人。他们 说,以前往在红海(不是今天的红海,这里指波斯湾及具附近的水域)沿岸的这些人,在迁移到我们的海这边来并在这些人现在还居住着的地方定居下来以后,立刻便开始走上远途的航程;他们载运着埃及和亚述的货物,曾在许许多多地方,就中也在阿尔哥斯这样一个地方登陆。 阿尔哥斯在今天通称为希腊的地区中,是在任何方面都优于其他国家的。他们来到阿尔哥斯这里,便陈设出他们的货物来进行交易。到第五、六天,等几乎所有的货物都卖完的时候,又有许多妇女来到海岸这里;其中有国王的一个女儿。他们说她的名字和希腊人的名字一样,叫做伊奥,她的父亲就是国王伊那柯斯。妇女们站在船尾的地方挑选他们最称心的物品,但这时腓尼基人却相互激励着向她们扑过去。大部分的妇女跑开了,伊奥和其他一些妇女却给腓尼基人捉住,放到船上并给带到埃及去了。

    (2) 和希腊人的说法不同,根据波斯人的说法,伊奥就是这样地来到了埃 及,而从这件事开始,也就惹下了祸端,他们说,在后来,又有某些希腊人(他们说不出这些希腊人的名字)在腓尼基的推罗登陆并把国王的女儿欧罗已劫了去。在我看来,这些人多半是克里地人。这样一来,他们就报复了先前所受的损害。可是后来,他们说,希腊人又犯下了第二次的不义之行。原来他们(希腊人)乘着一只长船(战船,当时商船是圆形的)到科尔启斯的埃阿城和帕希斯河那里去(指傅说中雅孙和阿尔哥号船员出征);在他们把到那里去应办的事情办完以后,却从那里劫走了当地国王的女儿美地亚。科尔启斯的国王派了一名使者到希腊去,要求赔偿损失并送回公 主,但是希腊人回答说,既然阿尔哥斯的伊奥被劫后,他们都不曾从对方得 到赔偿,故而这次他们也不准备给科尔启斯人任何赔偿了。

    (3) 他们还说,后来,临到下面的一代,普利亚莫斯的儿子亚力山大这个 人知道了这件事之后,就想从希腊给自己强夺一个妻子,因为他深信,希腊 人过去既不曾赔偿,他自己当然同样是不会赔偿的了。因此他便劫走了海偷。 希腊人起先决定把使者派出去,要求送回海偷并赔偿因掠夺而引起的损失。 但是在希腊人提出了这个要求时,对方却提到了美地亚被劫的事情作为口 实;他们提醒希腊人说,希腊人只是要求别人赔偿,而自己却不赔偿别人, 又不在别人要求时把自己劫走的人送还。

    (4) 直到现在为止,问题只不过是在于双方相互进行掠夺而已。但是到后 来,波斯人认为希腊人应受到的指责可就大了,因为在他们侵略欧罗巴之先, 希腊人就率领着一支军队入寇亚细亚了。他们说,劫夺妇女,那是一伴坏人 干的勾当,可是事情很明显,如果不是妇女她们自己愿意的话,她们是决不 会硬给劫走的,因此在被劫以后,想处心积虑地进行报复,那却未免愚蠢了, 明白事理的人是丝毫不会对这样的妇女介意的。波斯人说,在希腊人把妇女 拐跑时,他们亚细亚人根本就不把这当作一回事,可是希腊人却仅仅为了拉凯戴孟的一个妇女而纠合了一支大军,侵入亚细亚并打垮了普利亚莫斯的政 权。自此以后,他们就把希腊人看成是自己的仇敌了。原来在波斯人眼里看 来,亚细亚和在这个地方居住的所有异邦民族都是隶属于自己的,但他们认 为欧罗已和希腊民族跟他们却是两回事。

    (5) 以上就是波斯人对这一事件的经位的叙述。他们认为希腊人攻略伊里翁(即特洛伊),是他们敌视希腊人的开端。然而在谈到伊奥的事件 的时候,腓尼基人的说法和波斯人的说法不同。他们否认在带她到埃及去的 附候曾使用任何强暴的手段;他们说,伊奥本人在阿尔哥斯便和停泊在那里 的一只船的船主有了来往,而在她发现自己已经怀孕的时候,羞于把这事告 诉自己的父母并害怕给他们发党,便在腓尼墓人离开的时候心甘情愿地随着他们一同乘船走了。以上便是波斯人和腓尼基人的说法。这两种说法中哪一 种说法合乎事实,我不想去论述,下面我却想指出据我本人所知是最初开始 向希腊人闹事的那个人,然后再把我所要叙述的事情继续下去,不管人间的 城邦是大是小,我是要同样地加以叙述的。因为先前强大的城邦,现在它们 有许多都已变得没没无闻了;而在我的时代雄强的城邦,在往昔却又是弱小 的。这二者我所以都要加以论述,是因为我相信,人间的幸福是决不会长久 停留在一个地方的。

    (6)吕底亚地方的人、阿律阿敛斯的儿子克洛伊索斯是哈律司河以西所有 各个足族的僭主,这条把叙利亚和帕普拉哥尼亚分隔开来的哈律司河是从南 向北流而最后流入所谓埃岛克谢诺斯(黑海)的。据我们所知道的,这个克洛 伊索斯在异邦人中间是第一个制服了希腊人的人,他迫使某些希腊人向他纳 贡并和另一些希腊人结成联盟。他征服的有亚细亚的伊奥尼亚人、爱奥里斯 人、多里斯人。但是他却和拉凯戴孟人缔结了盟约。直到克洛伊索斯君临的 当时为止,所有的希腊人都是自由的。因为比克洛伊索斯更早地进攻伊奥尼 亚的奇姆美利亚人,他们不是为了征服各个城邦,而只是为了打劫才入寇罢了。

    (7) 在海拉克列达伊族手里掌握着的主权转到被称为美尔姆纳达伊族的 克洛伊索斯一家的手里来了,事情的经过是这样:一位名字叫做坎道列斯的、 撒尔迪斯的僭主,希腊人称他为密尔昔洛斯。他是海拉克列斯的儿子阿尔凯 峨斯的后裔。海拉克列达伊家的最初的撒尔迪斯国王阿格隆是尼诺斯的儿 子,是阿尔凯峨斯的儿子倍洛斯的孙子;密尔索斯的儿子坎道列斯则是最后的国王。在阿格隆以前,那个地方的国王是阿托斯的儿子吕多斯的后裔。由 于吕多斯这个人的缘故,当地以前被称为美伊昂人的全部民族便获得了吕底 亚人的名称,以海拉克列斯与雅尔达诺斯的一名女奴隶为祖先的海拉克列达 伊族禀承神意从他们那里取得主权并保持了它。他们父子相承,从阿格隆到 密尔索斯的儿子炊道列斯共统治了二十二代,计五百零五年。

    (8) 但是,这个坎道列斯宠爱上了自己的妻子,他把她宠爱到这样的程 度,以致认为她比世界上任何妇女都要美丽得多。在他的侍卫当中有他特别宠信的一个人,这就是达斯库洛斯的儿子巨吉斯。坎道列斯把所有最机密的事情都向这个人讲。既然他对于自己妻子的美丽深信不疑,因此他就常常向这个巨吉斯拚命赞美自己妻子的美丽。在这以后不久的时候,终于有一天,命中注定要遭到不幸的坎道列斯向巨吉斯这样说:“巨吉斯,我看我单是向你说我的妻子美丽,那你是不会相信的(人们总不会象相信眼睛那样地相信耳 朵的)。你想个什么办法来看看她裸体时的样子罢”。巨吉斯听到这话便大声地叫了起来,他说:“主公,您要我看裸体时候的女主人么?您说的这话是多么荒唐啊。您知道,如果一个妇女脱掉衣服,那也就是把她应有的羞耻之心一齐脱掉了。过去我们的父祖们已经十分贸明地告诉了我们哪些是应当做 的,哪些是不应当做的,而我们必须老老实实地学习古人的这些教诲。这里面有一句老话说,每个人都只应当管他自己的事情。我承认您的妻子是举世 无双的丽入。只是我恳求您,不要叫我做这种越轨的事情”。

    (9) 巨吉斯这样说,是打算拒绝国王的建议,因为他心里害怕自己会国此而招来什么可怕的后果。然而国王却回答他说:“别害怕,巨吉斯,不要疑 心我说这话是打算试探你的忠诚,也不要害怕你的女主人会把什么危害加到你的身上。要知道,我会把这件事安排得要她根本不知道你曾经看见过她。 我叫你站在我们卧室的敝开的门的后面,当我进来睡党的时候,她是会跟着 进来的;在入口附近的地方有一把椅子,她脱下来的每一件衣服都放在这个 椅子上。这样你就可以逍遥自在地来看她了。等她从椅子走向床而她的背朝 着你的时候,那你就可以趁着这个机会注意不要被她看见,从门口溜出去 了。”

    (10)巨吉斯这时既无法逃避,就只好同意这样做了。于是坎道列斯在夜间要就寝的时候,便把巨吉斯引进了自己的卧室,过了一会儿,他的妃子也跟进来了。她进来之后,就把衣服脱掉放到椅子上面,而巨吉斯就在门后面望着她。而当她到床上去,她的背朝着巨吉斯的时候,他就从房中偷偷地溜 出去了。可是,当他出去的时候,她是看见了他的,于是她立刻猜到了他丈夫所做的是怎么一件事,可是,由于害羞的缘故,她并没有叫了出来,甚至装做什么都没有看到的样子,心里却在盘算着对她的丈夫坎道列斯进行报复 了。原来在吕底亚人中间,也就是在几乎所有异邦人中间,在自己裸体的时候被人看到,甚至对于男子来说,都被认为是一种奇耻大辱。

    (11) 在那个时候,她一语不发装作若无其事的样子,然而到早晨天刚亮 的时候,她便从自己的仆从当中选出了一些她认为对她最忠诚的人来,对他 们作了部署,然后派人把巨吉斯召到她面前来。巨吉斯做梦也没有想到王妃已经知道了昨夜发生的事情,所以就遵命来见王妃了。因为在这之前,每逢王妃派人召唤巨吉斯来的时候,他都会前来见她。巨吉斯来到的时候,她就 向他说:“巨吉斯,现在有两条道路摆在你跟前,随你选择。或者是你必须把坎道列斯杀死,这样就变成我的丈夫并取得吕底亚的王位,或者是现在就干脆死在这间屋子里。这样你今后就不会再盲从你主公的一切命令。去看那 你不应当看的事情了。你们两个人中间一定要死一个:或者是他死,因为他怂恿你干这样的事情;或者是你死,因为你看见了我的裸体,这样就破坏了 我们的惯例。”巨吉斯听了这些话,一时茫然自失地站在那里什么话也说不 出来;过了一会儿之后他就恳求王妃不要强迫他作一个这样个人为难的选 择。但是当他发现他恳求无效而且他确是有必要明确说出是杀死主公证是被 剔人杀死的时候,他就选择了一条恰自己留活命的道路;于是他便请王妃告诉他:“既然你强迫我违反着自己的意志把我的主公杀死,那末告诉我,你想叫我怎样向他下手呢?”她回答说:“向他下手的地方最好就是他叫你看到我的裸体的那个地方。等他睡着的时候下手吧。”

    (12) 当阴谋的一切全都准备停妥,而夜幕又降临下来的时候(巨吉斯看到自己既无法脱身又根本不能逃跑,而是非要把坎道列斯杀死或是他自己被杀死不可),巨吉斯便随着王妃进入了寝室。她把一把匕首交给巨吉斯并把他藏 在同一个门的后面。而过了一会儿,当坎道列斯睡着的时候,巨吉斯便偷偷 地溜出来把坎道列斯杀死了,这样巨吉斯便夺得了坎道列斯的妃子和王国; 大约与巨吉斯同时代的人、帕洛斯的阿尔齐洛科斯在一首抑扬三步格的诗 里,便曾经提到这个人。

    (13) 巨吉斯这样便取得了王位,而后来他之所以能够稳稳地统治了全 国,乃是由于戴尔波伊的一次神托。在吕底亚人激愤于他们国王的被杀而拿起了武器之时,巨吉斯一派的人们便和这些吕底亚人达成了一项协定,即如果戴尔波伊的神托宣布他为吕底亚人的国王,他就可以做国王而统治下去,不然的话,王权应当还给海拉克列达伊家。神托的话既然是这样命令的,所以巨吉斯就成为国王了。不过佩提亚(傅达神托的女巫)又说,巨吉 斯的第五代的子孙将要受到海拉克列达伊家的报复。实际上,在这个预言应验之前,不拘是吕底亚人还是他们历代的国王根本就没有把它记在心上。

    (14) 这样美尔姆纳达伊家便灭掉了海拉克列达伊家而取得了僭主的地 位;巨吉斯做了国王之后,便向戴尔波伊神殿献纳了不少东西,可以说戴尔 波伊的那些银制的献纳品大部分都是他送来的:在这些银制品以外,他还献 纳了大量的黄金,在这当中特别值得提一提的是那六只黄金的混酒钵。它们 的重量总计有三十塔兰特,并且被放置在科林斯人的宝库①里面。我虽称它为 科林斯人的宝库,但是老实讲,这并不是科林斯人民的宝库,而是埃爱提昂 的儿子奇普赛洛斯的宝库。除去先前戈尔地亚斯的儿子、普里吉亚的国王米 达斯以外,巨吉斯是在我们所知道的异邦人当中第一个向戴尔波伊神殿献纳 礼物的。原来米达斯所献纳的是他经常坐下来进行审判的那个十分精美的宝 座,这个宝座便和巨吉斯所献纳的混酒钵放在同一个地方。于是戴尔波伊人 便按照献纳者的名字而称巨吉斯所献纳的金银器皿为巨伽达斯。在巨吉斯掌 握了国家大权以后,他也立刻向米利都和士麦拿进犯,攻陷了科洛彭城,此后,他虽然统治了三十八年,却再也没有做出什么大事情,因此关于他的事 情我就说到这里了。

    (15)下面我要谈的是关于他的儿子和继承人阿尔杜斯的事情。阿尔杜斯 攻占了普里那涅并向米利都进攻。而正当他作撒尔迪斯僭主的时候,给游牧 的斯奇提亚人从家乡的土地驱逐出来的奇姆美利亚人进入了亚细亚,把除了 卫城以外的全部撒尔迪斯拾占领了。

    (16)阿尔杜斯在位凡四十九年,继承他的是他的儿子窿杜阿铁斯,窿杜 阿铁斯在位十二年。隆杜阿铁斯死后,继承他的是他的儿子阿律阿铁斯。这 位国王曾和戴奥凯斯的后人库阿克撒列斯与美地亚人作战,把奇姆美利亚人 驱出亚细亚,征服了科洛彭人的殖民地士麦拿并进攻克拉佐美纳伊。但是在 进犯克拉佐美纳伊的时候,他并没有得到他原来所希望得到的东西,而是遭 到了惨重的失败。然而在他统治的期间,他仍然成就了一些颇足以使人注目 的事业,下面我想就这方面谈一下。

    (17)既然他继承着自己的父亲对米利都人作战,他便用这样的进攻方式 来对这座城进行围攻。在田地上谷物成熟的时候,他就把自己的大军开进米 利都的土地,进军时有笙管、竖琴和高高低低的音的横笛伴奏着。在进入敌 ① 许多希腊的城邦在戴尔波伊的神殿圣域内都有分配给它们的专门的“宝库”,而他们奉献的东西就保存 在里面。 人领士的时候,他并不捣毁和烧掉田野上的房屋,甚至连门都不打破,而是 让它俩原封不动地留在那里。但是另一方面,他却把这个地方的全部树木和 庄稼铲除得一乾二净,然后便退回自己的国土。由于米利都人是海上的霸主, 因此他的军队纵然把这个地方封锁住也是无济于事的。至于他不破坏他们的 房屋的原因,是为了使当地的居民用这些层屋作为栖身之地以便播种和耕耘 他们的土地;这样每次在他侵略这个地方时,就不致没有可以劫夺的东西了。

    (18)用这个办法他对米利都人进行了十一年的战争;在这期间,他使他 们受到了两次惨重的打击;一次是在他们国内里美奈昂地方,另一次则是在 迈安德罗司原野上。在这十一年的六年中间,阿尔杜斯的儿子隆杜阿铁斯还 统治看吕底亚人,而这个第一个燃起了战火的人便对米利都的土地进行了征 伐。在这之后的五年里面,是薩杜阿铁斯的儿子阿律阿敛斯的统治时期,而 正象我前面已经指出的,这个人从自己的父亲那里继承了战争并且拼命地进 行了战争。在这个战争当中,米利都人除了从歧奥斯人那里之外,根本没有 从伊奥尼亚人那里得到任何帮助来减轻战争的负提;歧奥斯人出兵帮助他们 是作为先前他们帮助歧奥斯人的一种回报,因为在歧奥斯人和埃律特莱亚人 作战的时候,米利都人是帮着歧奥斯人的。

    (19)在战争的第十二个年头里,由于吕底亚的军队焚烧田地上的谷物而 发生了这样的一埸灾难。在谷物刚刚燃烧起来的时候,就有一阵强风把火焰 吹到了那座被称为阿赛索斯(米利都附近的小镇)的雅典娜的、雅典娜神的神殿上去,于是神殿在 火焰当中给烧光了。当时没有一个人把这件事放在心上。但是后来,在大军 返回撒尔迪斯之后,阿律阿铁斯跟着就病倒了。他的病一直总是不好,不知 是别人的劝告,还是自己想到的这一点,他派遣使者到戴尔波伊去请示神托, 询问关于他的病情的事情。但是在这些使者到达的时候,佩提亚说,如果他 们不把吕底亚人在米利都烧掉的阿赛索斯的雅典娜神的神殿重建起来,是不 能得到神托的。

    (20)我从戴尔波伊人那里所听到的事情就是这些,后面的事情是米利都 人添上去的。奇普赛洛斯的儿子培利安多洛斯是当时米利都的僭主特拉叙布 洛斯的一个极其亲密的朋友,他听到了神托对阿律阿铁斯的回答,便立刻派 出了一名使者把神托舍诉了特拉叙布洛斯,以便要特拉叙布洛斯预先了解情 况,从而可以更好地对当前的事态拟定对策。根据米利都人的说法,事情就 是这样。

    (21)阿律阿敛斯这里在听到关于神托的回答的报告时,立刻就派了一名 使者到来利都去,建议在重建这样一座神殿所必需的时期中间,和特拉叙布 洛斯与米利都人缔结一项休战协定。使者向米利都出发了;但这时特拉叙布 洛斯却早已清楚地了解到了全部情况,他心里知道阿律阿铁斯会怎样做,于 是便想出了这样一个计策,他把城内的全部食物,不管是属于他自己的还是 属于私人的都集合到市场上来,并发出命令要米利都人准备在他发出信号 时,所有的人都立刻应当尽情地饮酒狂欢。

    (22)特拉叙布洛斯所以要这样做和发出这样命令的原因是这样。他的意 思是希望当撒尔迪斯的使者看到这样多的食物堆积在地上而全市的人们又是 这样地欢乐的时候,他会把这件事报告给阿律阿铁斯。实际上也正和他所希 望的一样。使者亲眼看到了这一切,而在他把吕底亚人的命令傅达给特拉叙布洛斯以后,就回到撒尔迪斯去了。据我所知道的,只有这种情况才引起了 后来的和解。原来阿律阿铁斯本来认为米利都非常缺粮并认为它的人民已经 困苦不堪了,但他当在使者从米利都回来之后听到和他所料想的完全相反的 消息时,不久他便和米利都人缔结了一项条约;由于这项条约,两个国家成 了密友和联盟。阿律阿铁斯在阿赛索斯给雅典娜神不是建造一座,而是两座 神殿,他的病也好了。阿律阿铁斯对特拉叙布洛斯和米利都人所进行的战争 的情况就是这样。

    (23)把神托告诉给特拉叙布洛斯的这个培利安多洛斯是奇普赛洛斯的儿 子。培利安多洛斯又是科林斯的僭主。然而根据科林斯人的说法(列斯波司人 的说法也是这样),在他活着的时候发生了一件极为离奇的事情。他们说美图 姆那的阿利昂是乘看海豚给带到塔伊那隆来的。阿利昂这个人在当时是个举 世元双的竖琴手,而据我们所知道的,是他第一个创作了狄图拉姆波司歌[祭祀酒神狄奥尼索斯时所唱的颂歌], 给这种歌起了这样的名字,后来并在科林斯传授这种歌。

    (24)根据傅说,在培利安多洛斯的宫廷中住了多年的这个阿利昂,计划 渡海到意大利和西西里去;而他在那里发了大财之后,又想回到科林斯来。 他从塔拉斯[即塔连顿]出发时,雇了一艘科林斯人经营的船,因为他最放心的便是科林 斯人。然而这些水手等船行驶到大海上来的时候,就阴谋把阿利昂抛到海里 去并且夺取他的财富。他发党了他们的阴谋,就恳求他们留他一条性命,金 钱则随便由他们处理。但是这些水手并不听他的话,而是要他或者是立刻自杀,如果他还想在陆地上要一个坟墓的话,或者是毫不犹豫地跳到海里去。 进退两难的阿利昂于是请求他们,既然他们已经这样决定,那未就要他们允 许他盛装站在后甲板上,在那里弹唱,并保证唱完之后即行自杀。他们也很 高兴听一听世界上最好的歌手的歌唱,便从船昆退到船的中部去。于是阿利 昂便穿起当行的盛装,拿起了竖琴,站在船尾的地方尽情地歌唱奥尔提欧斯 歌(阿波罗的赞歌——译者)。曲终的时候,他一下子就全身盛装地投到海里 去了。他们的船于是向科林斯方向行驶。至于阿利昂,则据说有一匹海豚驮 着他,把他带到了塔伊那隆;他在塔伊那隆登岸以后,就从那里穿着乐师的 服装到科林斯去,而在到达之后叙述了他经历的全部事情。但是培利安多洛 斯不信他所说的话,把他监视起来不许他到别的地方去,并留心地等待着水 手们的归来。在水手们到达的时候,他便把他们召到自已这里来,问他们是 否可以告诉他关于阿利昂的任何消息。他们回答说,他很健康地在意大利生 活着,他们把现在过得很好的阿利昂留在塔拉斯了。可是这时阿利昂在他们 的面前出现了,就和他从船上跳下去的时候一摸一样:吓得目瞪口呆而且谎 言又全被识破的这些人再也不能否认自己的罪行了。这就是科林斯人和列斯 波司人所说的故事。而且,在塔伊那隆就有阿利昂的一件不大的献纳品,这 是一个骑着海豚的人的青铜雕像。

    (25)吕底亚的阿津阿铁斯结束了对米利都人的战争之后,又把吕底亚统 治了五十七年才死。他在他的一家中,是向戴尔波伊奉献礼物的第二位国王。 他在病愈时所献纳的礼物是一只银制的大混酒钵,下面附着一个锻接的铁托 儿,这是戴炽波伊的全部奉献物当中最值得一看的东西。它是歧奥斯人格劳 柯斯的制品,这是世界上第一个发明了铁的锻接法的人。 。

    (26) 阿津阿铁斯死的时候,他的儿子克洛伊索斯继承了王位(约前560年),那一年克洛伊索斯是三十五岁。他最初进攻的希腊人是以弗所人。当他围攻以弗所人的时候,以弗所人在自己的城墙和阿尔铁米司女神神殿之间系上了一根绳 子,这样就把这座城献抬了阿尔铁米司女神:这座神殿和当时被围攻的古城 之间的距离是七斯塔迪昂。他们是最先受到克洛伊索斯攻击的希腊人。后来,在各种不同的托词之下,他又依次向伊奥尼亚人和爱奥里斯人的各个城邦进攻:在他能够做到的时候,他便给对方加上重大的罪名,如果这一点他做不到;便向对方提出某些无足轻重理由作为口实。

    (27)这样他就成了亚细亚的一切希腊人的主人并且迫使他们向自己纳 贡:在这之后,他又打算造船来进攻岛上的居民。但是,当着有关造船的一 切都已准备停当的时候,根据某些人的说法是普里耶涅的比亚斯、根据另一 些人的说法是米提列奈的披塔柯斯把这个计划给打消了。因为国王问这个到 撒尔迪斯来的人,在希腊方面有什么动静没有,而这个人便回答说:“国王啊,岛上的居民打算进攻撒尔迪斯来对你作战,因此他们正在雇佣一万名骑 兵”。克洛伊索斯把这个人的话信以为真,于是说:“愿诸神使这些岛民竞 想用骑兵来攻打吕底亚人的儿子们罢”。但是那个人却回答说:“国王啊, 看来您是热心期望能在大陆上拿捕马背上的岛民的,这个想法当然有道理。 然而在岛民们听到您想造船以便攻打他们的时候。您想那些岛民所最期望的 不正是在海上拿捕吕底亚人并在那里为您在大陆上奴役的那些希腊人报仇 吗?”克洛伊索斯对于这样的说法深以为然,认为他说的话很有道理,于是 就同意他的意见而停止造船并和岛上的伊奥尼亚人成了朋友。

    (28)后来,克洛伊索斯逐渐把哈律司河西边的几乎所有民族全都平定 了。继续保有自由的只有奇里启亚人和吕奇亚人,因为全部其他的部落都给 克洛伊索斯征服并成为他的臣民了,这些部落是吕底亚人、普里吉亚人、美 西亚人、玛利安杜尼亚人、卡律倍斯人、帕普拉哥尼亚人、杜尼亚的和比提 尼亚的色雷斯人、卡里亚人、伊奥尼亚人、多里斯人、爱奥里斯人和帕姆庇 利亚人。

    (29) 当克洛伊索斯把这些民族征服,并把他们变成和吕底亚人一样的臣 民的时候,当时正好生活在希腊的一切贤者都得以相继来到了富强加日中天 的撒尔迪斯,而其中就有雅典人梭伦。他托词视察外界而离开雅典出游十年, 但实际上他是想避免自己被迫取消他应雅典人之请而为他们制订的任何法 律。原来雅典人发过重誓在十年中间必须遵守梭偷给他们制订的法律,故而 他们是不能任意取消这些法律的。

    (30) 由于这样的理由并且为了到外面去视察,棱伦便出发外游;在这期 间,他访问了埃及的阿玛西斯,又到撒尔迪斯访问了克洛伊索斯。在他到达以后,克洛伊索斯便把他当作客人来接待,要他住在自己的宫殿里。在他来后三、四天,克洛伊索斯就命令自己的臣仆领着梭伦参观他的宝库,把那里所有一切伟大的和华美贵重的东西都给他看。在他看完并且非常仔细地核视了这一切之后,克洛伊索斯就趁着这个机会问他道:“雅典的客人啊,我们听到了很多关于您的智慧,关于您为了求知和视察外界而巡游列国的事情。因此我很想向您请教一下,到目前为止在您所遇到的所有的人中间,怎样的人是最幸福的?”他所以这样问,是因为他认为自己是人间最幸福的人。然而梭伦却正直无私,毫不谄媚地回答他说:“国王啊,我看是雅典的泰洛斯”。听到这话时感到惊讶的克洛伊索斯紧接着插上去问:“到底为什么您认为泰洛斯是最幸而的人呢?”棱伦回答说:“第一,因为泰洛斯的城邦是繁荣的而且他又有出色的孩子,他在世时又看到他的孩子们也都有了孩子, 并且这些孩子也部长大成人了:其次,因为他一生一世享尽了人间的安乐, 却又死得极其光荣。当雅典人在埃列岛西斯和邻国人作战的时候,他前来援助本国人,击溃了敌人并极其英勇地死在疆场之上了。雅典人在他阵亡的地 点给他举行了国葬并给了他很大的荣誉。”

    (31) 棱伦列举了关于泰洛斯的幸福的许多情节,这样便促使克洛伊索斯要继续问下去。在他说完之后,克洛伊索斯又问他,除去泰洛斯之外在他看 来谁是是幸福的,心里以为无论怎样自己总会轮到第二位了。梭伦回答说: “克列欧毕斯和比顿,他们都是阿尔哥斯人,他们不但有十分充裕的财富,他们还有这样大的体力,以致他们二人在运动会上都曾得过奖,特别是关于 他们两个人有这样的一个故事:当阿尔哥斯人为希拉女神举行一个盛大的祭 典时,他们的母亲一定要乘牛车到神殿那里去。但那时他们的牛并没有及时 地从田地里给赶回家里来,于是害怕时间赶不上的青年人就把轭驾到自己的 肩头,亲自把母亲乘坐的车拉来了。他们把母亲拉了四十五斯塔迪昂的路程 直到神殿的跟前。全体到神殿来朝拜的人都亲眼看到了他们所做的事情之 后,他们就极其光彩地结束了他们的一生。从他们两个人身上,神也就清楚 地表示出,对一个人来说,死是怎样一件比活着要好的事情。原来阿尔哥斯的男子们围住了这辆车并称赞两个青年人的体力:而阿尔哥斯的妇女则称赞 有幸而生了这样一对好儿子的母亲;母亲对于这件事,以及对于因这件事而 赢得的赞赏也感到十分欢喜,她于是站立在女神的神像面前,请求女神把世 人所能享受到的最高幸福赐给她那曾使她得到巨大光荣的儿子克列欧毕斯和 比顿。她的祈祷终了之后,他们就奉献牺牲和参加圣签,随后,他们便睡在 神殿里面。他们再也没有起来,而是就在这里离开了人世。阿尔哥斯人认为 他们俩是非常优秀的人物,因此就给他们立了像,献纳到戴尔波伊神殿里去”。

    (32) 这样,梭伦就把这两个青年人放到幸福的第二位上去了。克洛伊索斯发火了,他说:“雅典的客人啊!为什么您把我的幸福这样不放到眼里, 竟认为它还不如一个普通人?”棱伦这样回答说:“克洛伊索斯啊,你所问的是关于人间的事情的一个问题,可是我却知道神是非常嫉妒的,并且是很喜欢干扰人间的事情的。悠长的一生使人看到和体验到他很不喜欢看到和很不喜欢体验到的许许多多的东西。我看一个人活到七十岁也就算够了。在这七十年中间,若不把闰月计算在内的话,共有两万五千二百天。若是象季节 准时到来那样地每隔一年再加上一个闰月,则在七十年以外,还要有三十五 个这样的月份,这样就得再加上一千○五十天。这样在七十年当中的总的天 数就是两万六千二百五十天了;然而可以说绝对没有一天的事情是会和另一 天的事情完全相同的。这样看来,克洛伊索斯,人间的万事真是完全无法逆 料啊。说到你本人,我认为你极为富有并且是统治着许多人的国王;然而就 你所提的问题来说,只有在我听到你幸福地结束了你的一生的时候,才能够 给你回答。毫无疑问,纵然是豪富的人物,除非是他很幸福地把他的全部巨 大财富一直享受到他临终的时候,他是不能说比仅能维持当日生活的普通人 更幸福的。因为许多最有钱的人并不幸而,而许多只有中等财产的人却是幸 而的。拥有巨大财富的不幸的人只在两方面优于幸福的人:但幸福的人却在 许多方面都超过了前者。有钱的人更有能力来满足他的欲望,也更有能力承 受大灾难的打击。后者当然不能象前者那样地满足自己的欲望并且也经不住 这样的灾难,然而他的幸运却使这些灾难不会临到自己身上,此外,他还会享受到这样的一些幸福:他的身体不会残废,他不会生病,他不会遇祸,有 好孩子,又总是心情愉快的。如果在这一切之外,他又得到善终的话,这便 正是你所要寻求的人,也就是够得上称为幸福的人了,然而这样的人,在他死之前,勿宁应当称他为幸运的人,而不是幸福的人。诚然,很少存人能够 兼备所有这些优点,正仿佛没有一个国家能在自己的国内充分取得它所需要 的一切东西,而是每个国家都有某种东西,却又缺少另一种东西;拥有最多 的东西的国家也就是最好的国家了。同样,没有一个人是十全十美的,他总 是有某种东西却又缺少另一种东西。拥有最多的东西,把它们保持到临终的 那一天,然后又安乐地死去的人,只有那样的人,国王啊,我看才能给他加 上幸福的头街。不管在什么事情上面,我们都必须好好地生意一下它的结尾。 因为神往往不过是叫许多人看到幸福的一个影子,随后便把他们推上了毁灭 的道路”。

    (33) 这就是梭伦向克洛伊索斯所讲的一番话,这一番话并未得到国王的 欢心。国王完全不把他放到眼里地送他走了,因为国王认为象这样一个忽视当前的幸福并要他在每件事上等着看收尾的人,是个不折不扣的大傻瓜。

    (34) 但是,在梭伦走后,克洛伊索斯从神那里受到了一次可怕的惩罚, 神之所以惩罚他,多半就是由于他自祝为世界上最幸福的人。不久他就在睡 着时作了一个梦,这个梦确确实实地向他预言,他将要在他儿子身上遇到惨祸。克洛伊索斯有两个儿子,一个儿子既聋且哑是个天生的残废,另一个儿 子在与他同岁的人们当中,在任何一方面却都要比其他人突出得多。后面这 个儿子的名字叫做阿杜斯。在梦里向克洛伊索斯提起的,就是关于这个儿子 的事情;梦里告诉说他的这个儿子将要被铁制的尖器刺死。等他醒来的时候, 他独自认真地把这个梦思考了一番,就不由得对这个梦感到毛骨悚然了。于 是他首先拾这个儿子娶了个妻子;同时由于这个儿子在先前经常指挥吕底亚 军作战,现在便不叫他担任这样的职务了。一切长枪、投枪和人们在战时使 用的诸般兵器,都从男子居室运了出来而堆放到后房里去,因为他怕挂起来 的这样一件兵器保不定会掉下来刺着他的儿子。

    (35) 正在他给自己的儿子张罗着婚事的时候,一个样子看来很惨而且有着血污的双手的人来到了撒尔迪斯。他是一个普里吉亚人,并且是一个王族。 这个人来到克洛伊索斯的往所之后,就请求根据这个国家的习惯给他洗净血 污。克洛伊索斯就给他洗净了。吕底亚人的洗净的仪式是和希腊人的洗净的 仪式差不多的。在按照习惯执行了洗净的仪式以后,他就问这个人是什土地 方来的,是什么人,他说:“这位客人,你是谁,你是从普里吉亚的什么地 方到我这里来请求庇护的?此外,你杀了怎样的男子或是妇女?”这个普里 吉亚人回答说:“国王啊,我是米达斯的儿子戈尔地亚斯的儿子。我的名字 是阿德拉斯托斯。由于我并非出于本心而杀死了我自己的兄弟,我的父亲就 把我赶出了来#剥夺了我的一切,因此现在我就逃到你这里来了。”克洛伊 索斯回答说:“你是我的朋友的儿子,因此现在你是到朋友的家来了。只要 你留在我们这里,任何东西也不会亏侍你的。尽量不要把你的惨遇放到心上 吧,这样你就可以更好地保重你自己了。”

    (36) 阿德拉斯托斯就这样地在克洛伊索斯的家里住下来了。正是在这个 时候,在美西亚的欧林波斯山出现了一个大猪怪,这个怪物常常从山里跑出 来破坏美西亚人的田地。美西亚人多次出来想猎取这个怪物,但结果不仅丝 毫不能加害于它,反而总是自己受到损失。终于他们派使节到克洛伊索斯这 里来,向克洛伊索斯说:“国王啊,一个非常鹿大的猪怪出现在我们的国土, 损害了我们的庄稼地。我们虽尽一切力量来捕捉它,但全都失败了。因此我 们请求你让你的儿子,精选的壮丁们和狗跟我们一同回去,以便使我国摆。 脱掉这个怪物”。这就是他们的请求的大意。 但是克洛伊索斯想起了梦中的预言,于是他就回答说:“不要再谈关于 我的儿子的事情了。我不想要他去帮你们的忙。他刚刚结婚,这件事也就足 够他操心的了。但我可以选派一部分吕底亚人并放出我的全部猎犬跟着你们 去,而且我还要命令他们尽一切力量帮助你们把这个野兽从你们的国土上打 跑。”

    (37)美西亚人对于他的这个答复是满意的。然而克洛伊索斯的儿子听到 了美西亚人的请求后却进来了,而在克洛伊索斯拒绝要他和美西亚人同去的 时候,他就向他的父亲说:“父王,在先前,对我们来说,最美好和崇高的 事情总不外是征战和狩猎,并在这些事情上面为自己赢得荣誉;现在您却不 许我干这两样事情的任何一种,而您当然又决不会看出我是卑怯或是缺乏活 力的。现在我到市场上去或是从那里回来的时候,我必须带着怎样的面色呢? 市民们以及我的新婚妻子会怎样看我呢?她又会认为她是和怎样的一个丈夫 生活在一起呢?所以汪是叫我去打这个猪怪吧,否则就请您说明理由,为什么您认为我最好是服从您的意旨。”

    (38) 于是克洛伊索斯回答说:“儿啊,并不是因为我以为你卑怯或是有 其他什么不相宜的地方才把你留住,而是因为在我睡觉时我作了一个梦,梦 里,在我跟前我看到一个幻象,它警告我说你是会短命的,因为你注定要在 年轻时为铁制的尖器刺死。正是为了这个幻象,我才先赶紧安徘你的婚事, 而现在当然又使我不能把你送出去办这伴事情。我是愿意看守着你的,为的 是不管怎样,在我自己活着的时候我总可以春着你也侥幸地活下来。你哥哥聋了,我已不把他当做自己的儿子,因此你就是我仅有的一个儿子了。”

    (39) 这个年轻人回答说:“啊,父亲,您在这样一个可怕的梦之后对我 加以注意,我认为是有道理的。如果您弄错了,如果您没有把这个梦圆对, 我想我是应当指出您的错误来的,既然您说这梦预言我将会被铁制的尖器刺 死,可是这猪又有什么手呢?它能够使用什么叫您害怕的铁制尖器呢?倘若 梦里说我会被野兽的牙或是什么类似的东西刺死的话,那您不叫我去办这件 事是完全有道理的。然而这里说的是一支铁枪。何况现在我们又不是向人, 而是向野兽作战。所以我求您还是让我和他们一同去罢”。

    (40) 克洛伊索斯说:“儿啊,你对于梦的判断我看是有些道理的。既然 你的解释比我的更要好,现在我就相信你的话,我改变了我的主意,准许你 和他们去打猎了”。

    (41) 既然这样说了,国王就派人把普里吉亚人阿德拉斯托斯找了来,向他说:“阿德拉斯托斯,当你因痛苦不幸的遭遇而感到苦恼的时候,当然, 在这一点上我不是对你有什么责怪,那时我洗净了你,把你接待到我家里来 住,并且任何事情都不难为你。既然我先待你十分亲切,那你也就应该加以 回报,故而请你同意和我的儿子出去打猎以便照料他,注意在道上不要受到 会向你们袭击的那些不逊的匪徒的危害。即使没有给你这样的任务,你的确 仍然有必要到你可以因自己的事业而使自己享名的地方去看一看。这是你从 你父亲那里继承来的傅统,而且你自己也是非常茁壮的。”

    (42) 阿德拉斯托斯回答说:“国王啊,若不是您之所请,我是不会参加 这一次的狩猎的。因为象我这样一个遭遇不幸的人陪伴看他的处于顺境的伙 伴们出去打猎是不适宜的,而且我也无心做这件事情。而且我有许多理由使 我留在这里,但既然您要我去,那我就一定不会使您扫兴(因为我实在是有义 务来回报您的亲切款待的),因此我愿意按您所要求的去做。至于您付托给我 来照料的令郎,请确信我将尽我这个保护者的力量,把他安全地送回来”。

    (43)在他向克洛伊索斯作了这样的保证之后,他们就出发了,随他们出 发的是若干精选的壮丁和猎犬。当他们到达欧林波斯山的时候,他们就四下 里搜寻这个野兽;这只怪兽被发现以后,猎士们便排成圆阵,从四面八方用 投枪向它抛去。那时那位客人,就是那位被洗净了杀人的血污并且叫做阿德 拉斯托斯的人也把投枪向猪抛去,但是这支投枪刺到克洛伊索斯的儿子的身 上了。这样,阿杜斯便被铁枪刺死,而梦中的警告也就应验了。于是便有一 个人跑到撒尔迪斯去把这个消息带给克洛伊索斯,他到这里来向国王报告了 战斗的情况和他的儿子所遭受的命运。

    (44)听到自己的儿子被刺死,父亲的心已经是乱成一团了,尤其使他更 加痛心的是,刺死他的儿子的人又正是他自己一度为之洗净了系人的血污的 人。在他因惨祸而悲痛之极的时候,他高声呼叫清净之神宙斯的名字,要他 见证他因客人之手而遭到的惨剧。随后他又祈求同一位宙斯神,称他为炉灶 之神和友情之神。他称呼炉灶之神的名字是因为他无意中竟把现在杀死了他 的儿子的入留住在自己的家里;他称呼友情之神的名字是因为被当作自己儿 子的保护人而派出去的客人,结果却被发现是他的最可恨的敌人。

    (45)吕底亚人很快地就来了,他们运回了这个年轻人的尸骸,而那个系 人犯便跟在他们后面。他站到尸骸的前面来,向克洛伊索斯表示任凭对方怎 样处置自己,他伸出双手十分恳切地请求克洛伊索斯,说他自己愿意被杀死 在克洛伊索斯的儿子的尸骸之旁,因为他以前的悲惨遭遇已经够他受的了, 现在又加上了新的不幸,那就是使洗净了他的系人的血污的人陷入破灭绝望 的境地,故而他也无法再活下去了。克洛伊索斯听了这话之后,尽管自己所 遭到的不幸使他非常痛苦,却深受成动而对阿德拉斯托斯起了怜悯之心。于 是便回答说:“客人啊,既然你对你自己宣告了死刑,那我便已经从你那里 得到我所需要的充分的赔偿了。而且,除非只能说你无心地干了这样的事情 以外,实际上在我看来还不是你惹下了这个祸。 惹祸的是一位神,他在很久之前便预言要有这样的事发生了”。在此之 后不久,克洛伊案斯便适如其分地埋葬了他的儿子。米达斯的儿子戈尔地亚 斯的儿子阿德拉斯托斯,过去杀死了自己的亲兄弟,现在又毁了给他洗净血 污的人,他认为他自己在他所知道的人中间是最不幸的人了,出此当人们散 去而坟墓的四周寂静无人的时候,他便在墓地上自杀了。

    (46)死了儿子的克洛伊索斯整整两年都沉浸在非常的悲痛之中,什么事 情也没有做。在这之后,从海外来的一个消息中止了他的悲伤情绪。他听说, 刚比西斯的儿子居鲁士摧毁了库阿克撒列斯的儿子阿司杜阿该斯的霸权,而 且波斯人也一天比一天地强大起来了。这种情况使他专心致志地考虑,他是 否有可能在波斯人的实力还不曾十分强大的时候,想办法阻止他们那日益加 强的力量。在这样的意图之下,他立刻想到希腊和利比亚的神托所那里去试 卜一下。于是他分别向谷方面派遣使者,有的到戴尔波伊,有的到波奇斯的 阿巴伊,有的到多铎那。有一些人到阿姆披亚拉欧斯的神托所,另一些人到 特洛波尼欧薪的神托所,再有一些人则是到米利都的布朗奇达伊家去。克洛 伊索斯派人去问卜的这些神托所都是希腊的神托所。他还派遣了另一些人到 利比亚去向阿蒙神请示。他把这些使节派出去,是要试一下神托到底讲的都 是些什么,而如果他发现神托所回答的是真话,那未他就可以再派人去,请 示他是否可以对波斯人发动一次远征。

    (47)被派到各地去试验神托是否灵验的使节们,都得到了如下的指令: 从他们离开撒尔迪斯的那一天起,他们要把日子记住,到第一百天的时候, 他们再去请示神托,问它们吕底亚国王、阿律阿铁斯的儿子克洛伊索斯那时 正在做什么。他们要把神托的回答记下来,然后带回给克洛伊索斯。除去戴 尔波伊的神托之外,任何神托所的回答都没有给人记载下来。而在戴尔波伊, 当吕底亚人刚一走进圣堂向神请示他们奉命询问的问题时,佩提亚就用六步 格的诗回答他们说: 我能数沙,我能测海; 我懂得沉默并了解聋人的意思; 硬壳龟的香味触动了我的心 它和羊羔的肉一同在青铜锅里煮着: 下面铺着青铜,上面盖着青铜。

    (48)在佩提亚口述预言的时候,吕底亚人把她的话记了下来,随后就起 程返回撒尔迪斯了。当派住各地的所有其他的使者都带着他们取得的回答返 回的时候,克洛伊索斯便打开他们所记的文卷一一阅读。这些神托完全不能 使他满意。但是他一看到戴尔波伊的神托上面的话,就立刻把它肯定下来, 对它表示满意和信服,他认为戴尔波伊是唯一可靠的神托所,因为只有它才 发现了他实际上做的是什么事情。原来从他的使节出发去请示神托的那时候 起,他就想他做什么事情才是最不可能为任何人所猜到的,于是在他约定的 那一天到来时,他便按照他自己所决定的做了。他拿来一只龟和一只羊羔, 亲手把它们切成碎块,一起放在青铜锅里煮,上面还加上一个也是青铜的盖 子。

    (49)从戴尔波伊带回给克洛伊索斯的回答就是这样的。至于到阿姆披亚 拉欧斯的神托所去并且在神殿那里履行了例行仪式的吕底亚人从那里得到了什么回答我就没有办法说了(因为关于这一点,实际上,人们是没有传说过的),人们所知道只是,克洛伊索斯相信他从那里得到的神托也是真实的。

    (50)以后,克洛伊索斯便决定举行大规模的奉献以取悦于戴尔波伊的 神。他奉献了各种适于作牺牲的牲畜三千头,又烧掉了堆积如山的包着金银 的卧床,黄金杯和紫色的长袍和内衣。他焚烧这些东西就是为了使神对他更 加眷雇。他还下令给所有的吕底亚人,要他们按照他们自己的财力来向神奉 献。在牺牲奉献式结束的时候,国王熔化了大量黄金,把它铸成金条,每条 长六帕拉斯提,宽三帕拉斯提,高一帕拉斯提。金条的总数是一百十七个, 其中的四条是纯金铸成的,每条的重量备为两个半塔兰特;其余别是金与银 的合金,每条重两个塔兰特。他还下令造一座纯金的狮像,重十塔兰特。当 戴尔波伊神殿被烧掉之时,这个金狮子就从金条上掉了下来(因为它是放在金 条上面的),现在它被火烧掉了三个半塔兰特,剩下的只有六个半塔兰特了。 现在它是放置在科林斯人的宝库里。

    (51)在要献纳的这些东西都准备停当以后,克洛伊索斯便把它们送到戴 尔波伊去,与这些东西同时送去的还有下列诸色礼品,金的和银的大混酒钵 各一个,先前在人们进入神殿的时候就可以看到金钵放在人口的右手,银钵 在左手。但这两个钵在失火之陈移开了;重有八个半塔兰特又十二姆那的金 钵,现在藏在克拉佐美纳伊人的宝库里;银钵则是放置在神殿前庭的一个角 落里,它的容量有六百阿姆波列欧斯,我们知道这件事是因为,在铁奥帕尼亚祭(是戴尔波伊的一个祭日,在这一天里,神象都陈列出来)的日子里,戴尔波伊人就是用这个钵来混酒的。戴尔波伊人说这是萨摩 司人铁奥多洛斯制造的,我认为他们的话是对的,因为我看这个混酒钵确是 出自非凡的匠师之手。克洛伊索斯此外还送了现在在科林斯人的宝库之内的 四只银制酒瓮,还有金的和银的净水瓶各一只,金的净水瓶上面刻着“拉凱 戴孟人奉献”的字样,他们硬说这是他们奉献的礼物,然而他们的这种说法 是不对的,真正的奉献者是克洛伊索斯。这上面的铭文是一个想取悦于拉凯 戴孟人的戴尔波伊人刻上去的。这个人是谁我是知道的,但我还是不必讲他 的名字了。手里有水流出来的那个少年象确是拉凯戴孟人奉献的,然而他们 根本就没有奉献任何一个净水瓶。在这一切的奉献物以外,克洛伊索斯还把 许多没有题辞的不大重要的礼品奉献到戴尔波伊去,其中有一些银制的圆 盘。他还奉献了一座三佩巨斯高的金制妇女象,而根据戴尔波伊人的说法, 这好象是克洛伊案斯的烤面包的女郎的雕象:此外,他把妻子的那些项鍊和 腰带也都献纳了。

    (52)上述的一切就是克洛伊索渐丰献到戴尔波伊去的东西。对于他知道 这个人(指后面的阿姆披亚拉欧斯)的勇气和不幸遭遇的阿姆彼亚拉 欧斯(阿尔哥斯的预言者,是一位虽通知自己不能生还,但仍然敢于去作战 的英雄),他奉献了纯金的盾牌和枪头以及枪杆都是黄金制造的长 枪。在我的时代里,二者还都在底比斯地方奉祀伊兹美尼亚的阿波罗的神殿 里。

    (53)把这些礼物护送到各个神殿去的使者们得到克洛伊索斯的命令,要 他们请示一下神托,罔克洛伊索斯可以不可以去和波斯人作战,而如果可以 的话,他是否可以找一支同盟军和他一齐出动。因此,在这些人到达目的地 并奉献了礼物之后,便请示神托,说了下面的话:“吕底亚和其他各民族的 国王克洛伊索斯相信这里的神托是世界上唯一真实的神托,而由于你的灵 验,他把你应得的礼物奉纳在你的面前。现在他向你请示,他是否可以对波 斯人作战,如果可以的话,他是否可以要一个同盟者也出兵来帮助他”。这 就是他们请示的话。对于他的回答,两方面神托的说法是相同的,每个神托 都向克洛伊案斯预言说,如果克洛伊索斯进攻波斯人,他就可以灭掉一个大 帝国并且忠告他看一下在希腊人中间谁是最强的,然后就和他们结成同盟。

    (54)克洛伊索斯在接到带给他的神托的这些解答以后,真是大喜过望 了,他深信他一定可以摧毁居鲁士的王国,于是他便再一次派人到佩脱去, 在打听到了戴尔波伊的人数之后,便赠给戴尔波伊人每人两斯塔铁尔的黄 金。为了报答,戴尔波伊人把请示神托的优先权、免税权、在祭日中占最优 等席位的特权给予克洛伊索斯和吕底亚人,他们还把如果愿意的话,任何时 候都可以归化戴尔波伊的永久权利给予克洛伊索斯和吕底亚人。

    (55)克洛伊索斯把这些礼物送给戴尔波伊人以后,便第三次请示神托; 因为既然他确信神托是可靠的,他就想充分利用它了。他想耍得到回答的问 题是,他的王国的国祚是否长久。佩提亚给他的回答是这样的: 一旦在一匹骡子变成了美地亚国王的时候; 那时你这两腿瘦弱的吕底亚人就要沿着沿岸多石的海尔谟斯河逃跑了; 快快逃跑吧,也不要不好意思做一个卑怯的人物吧。

    (56)在克洛伊索斯接到这个回答时,他高兴得无以复加了,因为克洛伊 索斯认为一个骡子是绝对不可能代替他作美地亚国王的,因此他就认为他和 他的后裔是永远也不会丧失主权的。随后他就十分慎重地研究神托要他与之 结盟的那个最强大的希腊民族,而在调查之后便可以看到,希腊城邦中最强 大的,在多利斯族里是拉凯戴孟人而在伊奥尼亚族里则是雅典人。原来这两 个民族从古老的时候起就在希腊占着十分突出的地位了。后者是过去的佩拉 司吉民族,前者是希腊民族;佩拉司吉人从来还没有离开过自己的居住地; 但希腊人都是非常富于流动性的。原来在戴岛卡里翁王统治的时代,希腊人 住在称为普提奥梯斯的地方,然而在海偷的儿子多洛斯统治的时代,他们便 移住到欧萨山和奥林波斯山山下一个叫做希斯提阿伊欧提斯的地方去了。他 们被卡德美亚人赶出了希斯提阿伊欧提斯地区以后,就定居在品多斯,称为 玛凯德诺姆人(身量高的人)。从那里再一次迁移到德律欧披 司;而最后又从德律欧披司进入了伯罗奔尼撒,结果他们就变成了多里斯人。

    (57)佩拉司吉人所讲的是什么语言我是不能确定的。如果从今天还残留 的佩拉司吉人所讲的语言我们可以提出一个假设来的话,如果从这些佩拉司 吉人可以进行判断的话,则可以说,佩拉司吉人是讲着异邦话的(指希腊语之外的语言)。今天在佩拉司吉人当中有一些人,他们过去曾是今日被 称为多里斯人的邻人(当时住在今日的所谓帖撤里奥提斯地方)而现在则住在 第勒塞尼亚人上方的克列斯顿市;有一些人在先前和雅典人同住过一个时期 并在海列斯彭特建立了普拉启亚和斯奇拉凯两个地方;有一些人则住在其他 那些现在名称虽已改变、但过去实陈上是佩拉司吉人的城市的城市里。果若 任何一个佩拉司吉族都真是这样,而全部佩拉司吉族又都讲同样语言的话, 则属于佩拉司吉族的阿提卡人在他们成为希腊族之后,必定是忘掉了自己的 语言而学习了另一种语言。克列斯顿人所讲的话和他们四周居民的话都不相 同,普拉奇亚人的情况也是这样,可是这两个地方的人所讲的话却是相同的; 从这一点便证明,他们都仍旧保留了他们语言的特点,而他们又把这种特点 带到他们现在住的地方来。

    (58)然而希腊族自从他们出现以来就一直是使用着同一种语言的。至少 在我来看这一点是十分明显的。在他们起初从佩拉司吉人分出去的时候,他 们的人数是不多的,然而他们却从一个弱小的开端成长扩大成一个各民族的 集合体,这主要是由于佩拉司吉人和其他许多异邦民族加入了他们的队伍的 椽故。然而,另一方面,我却认为佩拉司吉人是一个异邦的民族,他们在任 何地方也不曾大大地膨胀社。

    (59) 但是,克洛伊索斯打听了这两个民族的情况,从而得知其中的阿提卡人(雅典人)由于当时雅典的僭主、希波克拉铁斯的儿子佩西司特拉托斯的 缘故而正在受到压制并被弄得四分五裂。当希波克拉铁斯只是一个普通公尺 的时候,有一次他到奥林匹亚去看比赛,而遇到了一件完全是不可思议的事情,他奉献了牺牲之后,附近满装着水和肉的大锅下面没有火就沸腾起来, 直到水溢出了大锅。兰时正在那里并亲眼看到了这一奇迹的拉凯戴孟人奇隆 就忠告希波克拉铁斯说,如果他呸没有结婚,那么就不要把会给他生孩子的 妻子娶到家里来;如果他已经有了一个妻子,那么作为第二个手段,就必须 和她分离,而如果他有的是一个儿子,那么便和这个儿子断绝关系。奇隆的 忠舍根本就没有叫希波克拉铁斯听进去,他不听奇隆的话;不久之后,他就 得了一个儿子,就是前面提到的那个佩西司特拉托斯。这个佩西司特拉托斯, 在雅典人内部发生由阿尔克美昂的儿子美伽克列斯所领导的海岸派和由阿里 斯托拉伊戴斯的儿子里库尔哥斯所领导的平原派之间的斗争的时候,想出了 一个成为僭主的办法,他乘看这个党派之争的机会纠合了一个第三党。他集 合了一批党员并自称为山地党的领袖以后,便想出了下面的这样一个策略。 他弄伤了他自己和他的骡子,赶着车进了市广场,(扬言)敌人想在他驱车回 乡下的路上把他杀死,而他是刚刚逃脱了敌人的毒手的。他要求民众拨给他 卫兵来保护他;他要他们记起他位去享有的光荣,因为他在先前曾指挥对美 伽拉人的进攻,而那时他曾攻占尼赛亚城,还立下了其他许多的伟大战功。 被他的花言巧语所欺骗的雅典人就给他选出了一队市民作为他的卫兵,佩西 司特拉托斯不使这些卫兵拿枪而使他们拿棍棒,在他到任何地方去的时候他 们都拿着棍棒伴随着他。佩西司特拉托斯便和他们一道发动了政变并占领了 卫城。这样,他便取得了雅典的统治权,他毫不弄乱先前已有的备种官职, 也不改变任何法律。他根据既定的制度治理城邦,他的措施是贤明和巧妙的。

    (60)然而不久以后,美伽克列斯一派和里库尔哥斯一派就重新携起手来 把他赶跑了。这样一来,佩西司将拉托斯虽然用上述的办法使自己戍了雅典 的主人,可是他的统治权在这里江没有根深蒂固。他便把它失掉了。在佩西 司特拉托斯被赶跑之后,这两派立刻就再度争吵起来了。美伽克列斯终于对 这一斗争感到不胜其烦,便派了一名使者到佩西司特拉托斯那里去,向对方 表示如果对方愿意娶他的女儿,他便准备使佩西司特拉托斯登上雅典僭主的 宝座。佩西司特拉托斯同意了,于是在这样的条件下二人缔结了一项协定。 在这之后,他们便着手研究使佩西司特拉托斯复位的办法而他们在这里所想 出的办法在我看来是历史上最愚蠢的办法(特别是考虑到希腊人从远古的时 候起,便以较大的智慧和远非愚蠢简单而有别于异邦人),何况我们更应记 起,他们所玩弄的这个花样的对象又不是一般希腊人,而是希腊人中间素称 是最聪明伶俐的雅典人。在派阿尼亚这个戴美( 阿提卡的地方单位)里有一个叫做佩阿的妇人,这 个妇人在其他方面可以说是非常标致的,就是身高差三达克杜洛斯就要四佩 巨斯了。他们把这个妇女全付武装起来,并且预先教给她要怎样做才能把她 这个角色扮演得最好,然后就叫她乘上战车到城里去。在她出发以前,曾派 了报信的人到那里去,这些人进城后,便按照给他们的指示宣告了下面的话: “哦,雅典人啊!热烈欢迎佩西司特拉托斯吧,把人间的最高荣誉给予他的 雅典娜神亲自把他带回卫城来了”。他们跑到四面八方去宣告这个消息,这 个消息立刻又傅遍了各个戴美,人们都说雅典娜女神正在把佩西司特拉托斯 带回来。城里的人也深信那个妇人是真正的女神,便向她这个凡人膜拜并且 欢迎了佩西司特拉托斯。

    (61)用这样的办法恢复了自己的统治权的佩西司特拉托斯便按照协定娶 了美伽克列斯的女儿为妻。可是,他既已经有了一些长大成人的儿子,而阿尔克美昂的子孙又被认为是受到了咒诅,他便打算在他和新婚的妻子之间不 生子女,因此之故,他便和他的妻子进行并不正常的交合。起初他的妻子没 有把这伴事情告诉别人,但是拉了一个时候以后,不知是否她的母亲问了她 还是什么别的原因,她把这事情向母亲说了。而她的母亲也自然便把这件事 告诉了她的父亲。美伽克列斯觉得在佩西司特拉托斯的这样一件事上受到了 侮辱而非常激愤,于是在盛怒之下,他立刻便和敌对派言归于好而携起手来。 佩西司特拉托斯知道了对他会有什么举动,他便完全离开了那个地方,来到 埃列特里亚,以便和他的儿子们会商对策。希庇亚斯的意见取得了胜利,这 个意见就是他们要拿回统治权。于是他们便从曾受到他们的某种恩惠的那些城邦收取捐款。他们用这种办法从许多城邦得到了大宗的金钱,特别是底比 斯人,他们所捐献的金钱比其他的任何城邦要多得多。简言之,过了若干时候,为回国所作的一切准备都已经办理停妥了。原来从伯罗奔尼撒来了一队阿尔哥斯人的雇佣兵,又有一个叫做吕戈达米斯的那克索斯人自愿地来为他 们服务,他在这伴事上特别热心,不但提供人力,而且提供了金钱。

    (62)于是,在他们逃亡的第十一年,佩西司特拉托斯一家便从埃列特里 亚出发回家了。他们在阿提卡首先占领了马拉松,在那里登岸之后便扎下了 营,市内的同党前来应援,地方上各戴美的人们也都前来应援,因为他们爱 僭主政治是甚干爱自由的。当佩西司特拉托斯正在搜集黄金,而后来甚至在 他登陆占领马拉松时,雅典市内根本没有一个人注意到他的所作所为。直到 已经知道他离开了马拉松并且正在向雅典推进的时候,才出来作了抵抗的准 备。他们集合了全部军队,挥戈指向返国的亡命者。这时,从马拉松出发进 击雅典,而在走到帕列尼斯的雅典娜神殿附近与敌人相会的佩西司特拉托斯 的军队则与敌人面对面地扎了营。一个名为阿姆庇律托斯的阿卡尔那尼亚 人,是一个通晓占卜术的人,他禀承神意来见佩西司特拉托斯,在走向佩西 司特拉托斯的时候,他就口诵六步格的两句预言: 网投了下去,网在水里张开了, 在月夜里,鮪鱼将游入网罗。

    (63)这就是他在神的感召之下说出的预言。佩西司特拉托斯懂得它的意 思,就宣布他接受这个预言并立刻率军进攻。这时雅典的市民军刚刚用完了 他们的午饭,饭后他们就各自干起自己的事情来,有的人玩骰子,有的人睡 觉,所以当佩西司特拉托斯的罩队一经进攻,他们就被击溃了。在他们溃逃 的时候,佩西司特拉托斯想出了一个极其高妙的策略,用这个策略可以把雅 典人分散,再也不会使他们团结到一起。他叫他的儿子们都骑上马,先派他 们去赶逃散的雅典人,再按照佩西司特拉托斯的命令,劝告他们不要垂头丧 气并返回各人自己的家。

    (64)雅典人接受了这个劝告,这样佩西司特拉托斯便第三次成为雅典的 主人。于是借助于一支庞大的卫兵并借助于部分取自雅典当地、部分取自司 妥律蒙河一带的国库收入而得以巩固地树立了他的主权;此外,他还使用这 样的一个办法:他从在他进攻时没有立刻逃走而仍旧留在雅典的许多人那里 取得他们的儿子作为人质,并把这些人质送到那克索斯岛去(这个岛也是佩西 司特拉托斯用武力占领的,但是他把它委托给吕戈达米斯去治理)。他还根据 神托的指示,净禐了狄罗斯岛,净禐的方式则是这样:神殿四周目力所及的 范围内所埋葬的尸体都给他掘出来,移到该岛的另一个地方去。这样佩西司 特拉托斯的僭主之治便在雅典建立起来了;但有的雅典人己经战死在疆场上 面,有的雅典人刚和阿尔克美欧尼达伊族一道从祖国逃亡了。

    (65)克洛伊索斯打听雅典人的时候,雅典人当时的情况就是这样,另一 方面,谈到拉凯戴孟人,则他听到说,在经过一个非常困难的时期以后,目 前在对铁该亚人作战时已经取得了胜利。因为在列昂和海 该西克列斯联合统治斯巴达的时候,拉凯戴孟人尽管在所有其他的战争 中取得胜利,却接二连三地总是败在铁该亚人的手里,而且从来他们在几乎 全部希腊人当中都是治理得最坏的国家;他们内部相互之间,以及和外国人 都无交往。使他们的政治变好的原因,是由于下列的情况:斯巴达人中间的 一位知名人士吕库尔戈斯到戴尔波伊来请示神托。他刚刚进入了神殿,佩提 亚就立刻对他说: 你来啦吗?哦,吕库尔戈斯,你到我的富有的神殿来了, 宙斯和奥林波 斯诸神都加爱于你,我不知道应当称你为神或者只是一个人但是我相信你结 果将会是一个神,哦,吕库尔戈斯啊。 此外还有一些人说,佩提亚还向他宣托了一整套斯巴达人到今天还遵从 着的法制。可是,拉凯戴孟人自己却说,当吕库尔戈斯是他的侄子、斯巴达 国王列欧波铁司的摄政的时候,他就把这套法制从克里地采用过来了;因为 他刚一担任摄政的职务,他立刻就改变了现行的全部法制,并注意使所有的 人都来遵守他制订的新制度。在这之后,仙又安排了有关军事的一些事情, 如建立埃诺莫提亚(”发誓的团体”,指陆军的小队),托里阿卡斯(三十人的小队)和共爱团制(叙希提亚)等等,此外,吕库 尔戈斯又设置了五长官和元老院。

    (66)由于这样的改革,他们就成了一个享有良好法制的民族。在吕库尔 戈斯死后,他们给他修造了一座神殿,并给他以极大的尊敬。他们既然拥有 肥沃的土地和众多的人口,他们很快地就强大起来,变成了一个繁荣兴盛的 民族。结果,他们就不能满足于安静不动地呆在那里了。他们认为自己比阿 尔卡地亚人要强,于是他们便派人去请示神托,问是否能够征服全部阿尔卡 地亚,佩提亚给他们的回答是这样: 你们向我请求阿尔卡地亚吗?你们向我请求这样大的一件东西,我不能 满足你们。 在阿尔卡地亚那里住着许多以橡子为食的男子,他们会不许你们这样做 的。但这并非是我吝啬。 我要把铁该亚送给你们,要你们在那里踏足而舞。 并要你们用糊索来测量肥沃的田野。而在拉凯戴孟人得到这个回答以 后,他们便没有触动阿尔卡地亚的其余的部分,而是向铁该亚人发起攻击, 他们随身带着枷锁,因为他们相信那不可靠的神托,以为他们将会使铁该亚 人变成他们的奴隶。然而在这次战争中他们失利了;变成了敌人俘虏的那些 人被迫给铁该亚人耕地,他们带上了他们自己带去的枷锁,并用绳索来测量 土地。他们干活儿时所戴的枷锁在我那时还保存在铁该亚,它们在那里挂满 在阿列亚·雅典娜神殿的墙壁。

    (67)这样看来,先前在对铁该亚人作战时,拉凯戴孟人一直是吃着收仗 的。但是在克洛伊索斯的时候,也正是当阿那克桑德里戴斯和阿里司通这两 个国王统治着拉凯戴孟的时候,斯巴达人却取得了胜利。下面我就要说一说 他们是怎样取得胜利的。既然他们在每次和敌人交锋的时候总是给对方打 败,于是他们便派人到戴尔波伊去,请示神托他们要讨到那一位神的欢心才 能够在对铁该亚人作战时取得胜利。佩提亚回答说,他们必须把阿伽美姆农 的儿子欧列斯铁斯的遣骨运回来。然而他们找下到欧列斯铁斯的墓,于是他 再一次派人来,向神请示这位英雄的遣体埋葬在什么地方。佩提亚对他们的 回答是这样的: 阿尔卡地亚的平坦的原野上有铁该亚这样一个地方; 在那里绝对无可避免地有两股风在吹着, 一个打击打位来另一个打击必定打过去,祸与祸重叠无已。 万物之母的大地就在那里包藏着阿伽美姆农的儿子。 把他带到你们的城里来,那样你就成了铁该亚的主人。在得到这样的回 答以后,虽然拉凯戴孟人到处用心搜求,但仍然和先前一样地茫无头绪。直 到最后,这个墓地才终于被称为阿伽托埃尔戈伊(善行者)的斯巴达人当中的一个名叫 里卡司的人给发现了。阿伽托埃尔戈伊是每年在市民当中刚刚辞去骑士职务 的最年长的五个人。每年里这五名骑士退休后,他们不能无所事事而必须立 即带着托付给他们的任务到斯巴达国家派他们分头前往的那些地方去。

    (68)里卡司便是这样的人物之中的一个人,他当时在铁该亚。由于好运 气,也是由于自己的才智,他竟找到了这个墓地。由于那时和铁该亚人有交 往,他到铁该亚去,走进了一个铁匠的铺子,看见这个铁匠在打铁。正当他 站在那里赞赏敛匠的高超手艺时,铁匠看到了他的惊讶表情,于是就放下了 自己的工作向他说:“拉科尼亚的客人啊,既然你看到我在这里打铁你都感 到惊讶,那么如果你要看到我所看位的东西,那你一定更要大吃一惊了。原 来我想给自己在这个院子里打一口井,可是在我掘地的时候,我却看到一个 七佩巨斯长的棺材。我以前从未不会相信在古代人们长得比现在的人高,所 以我就把它打开了。果然里面的尸体和棺材一样长;我把它量了一下之后就 把这个土穴照原来的样子封上了”。 这个铁匠这样就把他所看到的叙述了一遍。但是里卡司把这件事仔细地 考虑以后,就从神托的话推定这个尸体正是那个欧列斯铁斯的尸体。他所以 这样地猜想,是因为他注意到这个铁匠有两个风箱,这就等于说有两股风, 而铁锤和铁砧正相当一击和对这一击的反击,而锻铁也正是要使祸与祸相重 叠了。他所以这样猜想,是因为铁的发现是会引起对人的伤害的。他作了这 样的推论之后,就回到斯巴达把这一切事情向拉凯戴孟人说了。在这之后不 久,他们就故意捏造了一个借口,对他提出责难,把他追放出去了。里卡司 于是来到了铁该亚,把他的不幸遭遇告诉了这个铁匠并想使铁匠把院子租给 他。铁匠不肯同意,但里卡司终于说服了他,于是他便搬到那里去住了。他 掘开了坟墓,把遣骨搜集起来之后,就带着它返回了斯巴达,从此以后,每 当拉凯戴孟人和铁该亚人较量实力的强弱时,拉凯戴孟人总是要得到极大的 胜利的;而且他们已经把伯罗奔尼撒的较大部分征服了。

    (69)克洛伊索斯听到这一切情况之后,便派遣使者携带看礼物到斯巴达 去,使者的使命则是请求斯巴达和他结成联盟。他们到斯巴达时应当讲的话, 都是克洛伊索斯亲自规定的。因此他们在到达斯巴达时就这样说:“派遣我 们到这里来的是吕底亚人和其他民族的国王克洛伊索斯,他要我们前来向你 们说:‘哦,拉凯戴孟人啊,神在神托中命令我和希腊人做朋友:既然知道 你们执希腊之牛耳,因此我遵照着神托的命令,向你们提出这样的建议,我 诚恳而老实地希望成为你们的朋友和同盟’”。 克洛伊索斯通过自己的使者所提出的建议便是这样。拉凯戴孟人在先前早已经知道了神托给他的回答,因而欢迎使者的到来,并与克洛伊索斯立誓 缔结了友谊与同盟:实陈上,在这之前他们便受过克洛伊素斯的某些好处, 故而他们就更得这样做了。原来有一次,拉凯戴孟人曾派人到撒尔迪斯去购 买黄金,打算把它用在阿波罗的神像上面,这座像今天就立在拉科尼亚的托 尔那克司山(斯巴达东北的一座山,俯临埃岛洛塔司谷地)上,当时克洛伊索斯听到了这件事,便把他们要买的黄金当做礼 品送给他们了。

    (70)拉凯戴孟人愿意与克洛伊索斯结为联盟这是一个理由,另一个理由 则是因为克洛伊索斯在全体希腊人当中,特别选他们做自己的盟友。所以他 们就宣布说准备在他要求的时候立刻出动,不仅如此,为了回报克洛伊索斯,他们更制作了一个巨大的青铜混酒钵给他送去;混酒钵外缘满刻着各种图 象,它的容量足足有三百阿姆波列欧斯。但是这个混酒钵瓶却没有送到撒尔 迪斯去。所以没有逞到,是由于下面两个原因。根据拉凯戴孟人的说法,当 它在向撒尔迪斯起运的途中到达萨摩司附近的时候,萨摩司人知道了这件 事,于是便派了他们的战船前来把它劫走了。但是萨摩司人自己却说,负责 搬运混酒钵的拉凯戴孟人由于耽搁得太久并且得知撒尔迪斯和克洛伊索斯均 已陷入敌人之手,于是他们便把这只混酒钵在萨摩司卖掉;有几个私人把它 给买了下来献到希拉的神殿去了。把混酒钵卖掉的人们说不定也许在回到斯 巴达的时候,说萨摩司人夺去了他们的混酒钵哩。

    (71)因此,关于混酒钵的事情就是这样了。但那时克洛伊索斯却误解了 神托的意思,他竟车领着大军进攻起卡帕多启亚来,满以为可以摧毁居鲁士 和波斯的军队。当他还在从事进攻波斯人的准备工作的时候,一个在当时以 前已被视为智者,特别是在这伴事以后在国人当中十分享名的吕底亚人叫做 桑达尼斯的来见他,向国王这样谏言,说:“国王啊,您准备进攻的对象是 这样的一些人,他们穿着皮革制的裤子,他们其他的衣服也都是皮革制的, 他们不是以他们所喜欢吃的东西为食,而只是吃那些在他们荒瘠贫苦的土地 上所能生产的东西。而且还不仅如此,他们平常不饮葡萄酒而只是饮水,他 们没有无花果或其他什么好东西。这样,如果您征服了他们,他们既然一无 所有,您能从他们手里得到什么东西呢?再说,如果您被他们征服的话,我 希望您想想春,您会失掉多少好东西。如果他们一旦尝到了我们的好东西, 他们将紧紧地抓住这些东西,我们休想再叫他们放手了。至于我,那我要感 谢诸神,因为诸神没有叫波斯人想到要来进攻吕底亚人。” 尽管他是这样说,克洛伊索斯却没有把这话听进去;实际上。诚然如他 所说,波斯人在征服吕底亚人以前,是没有任何美好的和华贵的东西的。

    (72)希腊人称卡帕多启亚人为叙利亚人。在波斯人的统治树立起来之 前,叙利亚人是美地亚人的臣民;当时他们是在居鲁士的支配之下的。因为 美地亚帝国和吕底亚帝国的国界就是哈律司河。发源于阿尔明尼亚山岳地带 的这条河先是流过奇利启亚人居住的地方,然后从那里又流了一段,在它的 右手是玛提耶尼亚人居住的地方、左手则是普里吉亚人的地方;在流过这些 人的居住地以后,它更向北流,把右手的卡帕多启亚的叙利亚人和左手的帕 普拉哥尼亚人划分开来。这样哈律司河便形成了从面临赛浦路斯的海到埃岛克谢诺斯(黑海)的几乎全部下亚细亚的边界。这里正是这全部地区 的颈部,一个轻装的人要穿拉这个地方,需要五天的时间。

    (73)克洛伊索斯之进攻卡帕多启亚是受着这样几个动机的驱使的:首先 是他想得到领土加到自己的版图之内;然而主要的理由却是他想对居鲁上来 给阿司杜阿该斯报仇,因为他相信神托的话而认为他可以做到这一点。原来 美地亚的国王、库阿克撒列斯的儿子阿司杜阿该斯是克洛伊索斯的连襟,他 曾为刚比西斯的儿子居鲁士所征服。他们二人成为连襟的一段经过现在让我 来说一下。一队游牧的斯奇提亚人由于发起骚乱而离开自己的国士遁人美地 亚。当时美地亚的国王是戴奥凯斯的儿子普拉欧尔铁斯的儿子库阿克撒列 斯。库阿克撒列斯最初把他们看做是请求庇护的人,因此亲切地对待他们, 而且他既然对他们表示十分重视,便把一些孩子委托给他们,要他们教给这 些孩子他们的语言和射术。过了一些时候,经常出去打猎,而每次都带些猎 物园来的斯奇提亚人恰好有一天他们什么也没有猎到。当他们空着手回来兄 国王的时候,库阿克撒列斯(从这件事来看,他显然不是个好脾气的人)对他 们是非常粗暴无礼的。由于库阿克撒列斯这次他们认为对他俩非常不当的待 遇,斯奇提亚人便阴谋把委托给他们教育的男孩子中的一人杀死割碎,然后 把他的肉块象通常调理野兽的内块一样地加以调理,再当做猎获的野味献给 库阿克撒列斯;在这以后,他们便决定尽快地投奔到撒尔迪斯,到薩杜阿铁 斯的儿子阿律阿铁斯那里去。结果他们按照这个计划做了。库阿克撒列斯和 他招宴的客人都吃了斯奇提亚人这样调理的肉;而达到了目的斯奇提亚人当 然也就逃到阿律阿铁斯那里去成为他所保护的人了。

    (74)后来,当库阿克撒列斯派人向阿律阿铁斯要求这些人,而阿律阿铁 斯拒绝引渡他们的时候,吕底亚人和美地亚人之间就爆发了战争,这场战争 继续了五年。在这期间,美地亚人多次战胜吕底亚人,而吕底亚人也多次战 胜美地亚人。他们常常也相互进行夜战。然而,他们双方仍然分不出胜负来, 不位在第六个年头的一衣会战中,战争正在进行时,发生了一件偶然的事件, 即白天突然变成了黑夜。米利都人泰利士曾向伊奥尼亚人预言了这个事件, 他向他们预言在哪一年会有这样的事伴发生,而实陈上这话应验了(据推算,这次日蚀发生在五八五年五月二八日)。美地亚 人和吕底亚人春到白天变成了黑夜,便停止了战争,而他们双方便都十分切 望达成和平的协议了。在双方之间斡旋达成协议的是奇里启亚的叙恩涅喜斯 和已比伦的拉比奈托斯,他们做到使双方相互固立誓结成友谊并促成双方的 联姻。也正是他们决定要阿律阿铁斯把自己的女儿阿里埃尼司许配给库阿克 撒列斯的儿子阿司杜阿该斯,因为他们知渲,如果没有强有力的确实保证, 人们的协定是会变得无效的。这两个民族象是希腊人一样地宣誓缔盟,此外,他们在宣誓时,在臂上割伤一块,井相互吸吮了对方的血。

    (75)这样,居鲁士便征服和俘虏了他的外祖父阿司杜阿该斯,他这样做 的理由我在这部历史的后面还要谈到的。这次的俘虏成了居鲁士和克洛伊索 斯不和的理由,于是克洛伊索斯便派人去请示神托,问他是否可以进攻波斯 人,而且当他接到含糊其词的回答时,却认为对自己有利、因此便把自己的 军队开进了波斯人的领士。在克洛伊索斯到达哈律司河的时候、他便使自己 的军队通过我认为他所架设的、到今天江在那里的桥渡过了河,但是根据希 腊人的一般说法,他是借着米利都人泰利士的帮助才渡过了河的。这个说法 是这样(总之,当时那些桥还没有造起来)正当克洛伊索斯不知如何使自己的 军队渡过河去的时候。当时在他营内的泰利士却说可以为他把河水分开,使那在营地左面流着的河水也在右面流。他的计划是这样实现的:以阵地的上 手不远的地方做为起点,他挖掘一道新月式的深沟,这样,河水就离开了原 来的河道,沿着沟通过营地后方,然后再经过营地的傍边而流入从前的河道。 这样,河水就被分为二股水流,而这两股立刻便都可以徒步涉过了。也有的 人说,原来的河道的水是完全给疏干了的,但我的看法却不是这样。如果是 那样的话,我不晓得他们在回来时又是怎样渡过了它的。

    (76)克洛伊索斯率领着自己的军队渡过哈律司河以后,便进入了卡帕多 启亚的一个叫做普铁里亚的地区(这是那个地方最强固的一个地点,位于黑海 沿岸西诺佩城的近旁)。克洛伊索斯在这里扎下了营并且蹂躏了叙利亚人的田 地。他攻占了普铁里亚人的城市,把城市的居民变为奴隶;他又占领了城市 周边的一切村镇并把丝毫没有沾惹他的叙利亚入逐出自己的家园。这时居鲁 士却纠合了一支军队并且使在他进军的道路上的所有的居民加入到自己的军 队中来,这样来迎击克洛伊索斯。但是在出征之前,他派遣使看到伊奥尼亚 人那里去,想叫他们叛离克洛伊索斯。但是伊奥尼亚人并没有听他的话。可 是当居鲁士己经到来并且和克洛伊索斯面对面地扎下了营的时候,两军就在 普铁里亚地方相互间拚命地较量了一番。战斗是非常激烈的,双方阵亡的人 都很多;结果,在夜幕降临战场的时候,双方便未分胜负地分开了。

    (77)两军就是这样地一决雌雄的。克洛伊索斯对于他自己的军队的数目 是不满意的(因为他的作战的士兵比居鲁士的士兵要少得多),因此,等他看 到第二天居鲁上不再来进攻的时候,他就返回撒尔迪斯去,打算根据协定取 得埃及人的帮助(因为在和拉凯戴孟人结成联盟之前,他还曾和埃及的国王阿 玛西斯缔结结盟),又派入去请巴比偷人(因为他和巴比偷人也缔结了联盟, 而当时拉比奈托斯是已比偷人的国王),并且还带信给拉凯戴孟人,要他们在 约定的时期前来助他一臂之力。他的心目中是打算把所有这些军队和自己的 军队集合到一起,等冬天过去而春天到来的时候,再向波斯人发动进攻。他 带看这样的打算一回到撒尔迪斯,立刻便派遣使者到他的同盟者那里去,通 知他们在第五个月集合到撒尔迪斯来。至于他手下曾对波斯人作过战的士 兵,则凡是不属于他本族的雇佣兵他全部道散,但他却根本没有料到,在一 场如此不分胜负的激战之后,居鲁士竟还敢到撒尔迪斯来挑衅。

    (78)克洛伊索斯正在这般打算的时候,城郊到处出现了大量的蛇,而当 它们出现的时候,马便离开了它们常时所在的牧场而到那里去吞食这些蛇, 克洛伊索斯看到了这一点,认为这是一种预兆,而实际上这也的确是一种预 兆。于是他立刻派人到铁尔美索斯的占卜祭司那里去请示神托。虽然他的使 者到了那里并且从铁尔美索斯人那里知道这种预兆是什么意思,但使者们都 从未能把这话带给竞洛伊索斯,因为在他们能够返回撒尔迪斯之前,克洛伊 索斯已经被俘了。但是,铁尔美索斯人却认为,克洛伊索斯一定会等来一支 侵略他的国士的外国军队,而当这支罩队到来的时候,他们就会征服当地的 居民,因为,他们说,蛇是大地的儿子,而马则是敌人和异邦人。当铁尔美 索斯人这样回答克洛伊索斯的询问时,后者已经成了阶下囚,不过那时他们 根本还不知撒尔迪斯所发生的事情和国王本人的命运。

    (79)当克洛伊索斯在普铁里亚一役之后收兵转回之时,居鲁士打听到克 洛伊索斯收兵是为了把自己的军队解散,于是在详细考虑之后而立刻注意到 这正是尽快地进攻撒尔迪斯的良机,为的是不等到吕底亚人得以再一灰把他 们的军队集合起来。他这样决定了,他进行得又是如此神速,他率军进攻吕 底亚,而他本人竟向吕底亚国王通知了自己出征的消息。由于这一完全出于 克洛伊索斯的意料之外的事件,国王陷入了极其困难的境地。尽管如此,他 仍然率领吕底亚人出战了。这时在亚细亚,没有一个民族是比吕底亚人更加 勇武好战了。他们通常是在马上作战的,他们手持长枪而且操纵战马的技术 也非常高妙。

    (80)两军于是在撒尔迪斯城前的平原上相会了,这是一个广阔的和没有 树木的平原(叙洛斯河与其他的一些河流流经这个平原,它们又都流入一条叫 做海尔莫斯的最大的河流中去。这条河发源于狄恩杜美奈母神的圣山而流入 波凯亚城附近的海里去)。当居鲁士在这里看到吕底亚人列成战障的时候,他 害怕他们的马队的威力,因此便采用了美地亚人哈尔帕哥斯的献策,方法是 这样的。他把所有随军载运粮食和行李的骆驼都集合起来,把它们背上驮的 东西卸下来,叫打扮成骑兵模样的人们骑上去。这样打扮停当以后,他就下 令要他们领着其他军队向着克洛伊索斯的骑兵队走去。他下令步兵跟随在他 们的后面,而步兵之后才是骑兵队。当这些人全都准备好以后,他就下令给 他的军队,要他们把道上所遇到的吕底亚人一个不留地杀死,但是只留下克 洛伊索斯本人不杀死他,甚至在他反抗被俘的时候。以上就是他发布的命令。 居鲁士所以用骆驼来和敌人的马队对峙是因为马害怕骆驼,它在看到骆驼或 是闻到骆驼的气味时都是受不了的;他就想用这个策略使克洛伊索斯的马队 变成无用,而马队却正是克洛伊索斯赖之以得到某些声誉的东西。两军接战 的时候,吕底亚人的骑兵队一看到和闻到骆驼就回身逃窜,结果克洛伊素斯 的全部希望便化为泡影了。不过吕底亚人到底并非卑怯之辈。当他们看到当 前发生的事态时,他们便跳下马来徒步和波斯人作战。双方阵亡的人很多, 但吕底亚人终于被击溃而被赶到自己的城里去,于是波斯人就把撒尔迪斯城 包围起来了。

    (81)这样一来,他们就给对方包围起来了。克洛伊索斯认为这一围攻不 会是短期的,因此从城内派使者到自己的联盟者那里去。他先前的使者是告 诉他们在第五个月里在撒尔迪斯集合,但现在派出去的使者则是送信说他已 经被围并请求他们尽可能快地前来援助。

    (82)这样,他便派遣使者到他的其他同盟者那里去,特别是到拉凱戴孟 人那里去然而这时,斯巴达人自己正在为一块叫做杜列亚的地方和阿尔哥斯 人发生争吵。这个地方本来是阿尔哥斯人领地的一部分,但是被拉凯戴孟人 割占并据为己有了。所有西方的土地,直到玛列亚地方,当时确实是属于阿 尔哥斯人的,而且不仅是本土上的土地,库铁里亚岛以及其他的岛屿也是这 样。阿尔哥斯人出兵保卫国土不使杜列亚被割掉,然而在还没有开战的时候, 双方进行谈判,约定双方各出三百人作战,胜者即取得这个地方。此外还约 定,双方的其余的军队各自返回自己的国家,而不要留在这里观战,因为如 果军队留下,不管哪一方面看到自己方面的军队战败时便有上去帮忙的危 险。这些条件约定之后,两军便都撤走了,双方只把精选的士兵留下来进行 战斗。战斗开始之后,哪一方面都不能占上风。结果在夜幕降临之时,六百 个人当中,活着的只剩下三个人,两个阿尔哥斯人阿尔凯诺尔和克罗米欧斯 和一个拉凯戴孟人欧特津阿戴斯。于是,两个阿尔哥薪人认为他们自己已经 战胜便跑回阿尔哥斯去了。但拉凯戴孟人欧特律阿戴斯却留在战场 上,从战 死的阿尔哥斯人的身上剥下了他们的甲胄武器,把它们带回自己的营地并留 在自己的地方上。第二天两军到战场上来检查战斗的结果。起初双方发生了 争执,因为他们都自称是胜利者,一方说他们活着的人较多,另一方则说他 们的人留在战场上并剥下了战死者的武器甲胄,而对方的两个人却逃走了; 终于因争吵而交手打了起来,在一场战斗当中双方都遭受了巨大的损失,但 最后是拉凯戴孟人得到了胜利。在这之后,先前按照一定的习惯留长头发的 阿尔哥斯人便剃光了自己的头,并且规定了一条加上了咒诅的法律,约定他 们在收复杜列亚以前,永远不再留头发并永远不许他们的妇女带金饰。同时 拉凯戴孟人却制定了一项与之相反的法律,那就是从此以后他们要留长头 发,因为直到那时,他们是不留长头发的。在三百人当中仅存的欧特律阿戴 斯自己,据说耻于在所有他的同伴战死之后返回斯巴达,便在杜列亚当场自 戕了。

    (83)虽然从撒尔迪斯来的使者请求斯巴达人帮助被围攻的克洛伊索斯 时,斯巴达人正在遇到上述的事件,但他们听了使者的陈述之后,仍然立刻 着手给他以帮助。不过当他们完成了准备工作而船只也正要出航的时候,又 来了一个消息说,吕底亚人的要塞已经被攻陷而且克洛伊索斯已经被俘了。 因此,他们虽然对于他的不幸遭遇深感悲痛,却不得不中止了援助的事情。

    (84)撒尔迪斯被攻陷的经过是这样。在克洛伊索斯受到围攻的第十四 天,居鲁士派遣骑兵到自己的各个部队去,告诉全军说第一个爬上城墙的有 赏。在这之后,全军发起了一次进攻,但是没有成功。于是,在其他的一切 军队都无计可施地在那里观望的时候,一个叫做叙洛伊阿戴斯的玛尔多斯人(游牧的波斯部落)决定在没有设置守卫的那个地方试图攀登城砦。因为在这一面,城砦所在的 山岩是如此陡峭而城砦看来又是难攻不落的,故而谁也不认为城砦会从这个 地方被攻克。撒尔迪斯的前王美雷斯也只有在巡行这一部分的城壁时不带着 他的侍妾给他生的狮子。因为铁尔美索斯人宣称,如果带着这只狮子环行城 壁,萨尔迪斯便会成为金汤之固,于是美雷斯便带着狮子巡行城砦的其他可 能会受到攻击的部分,但是他认为没有必要带着狮子到这一部分来,因为他 认为这部分是在峭壁上,故而决不会受到攻击。城砦的这一部分面对看特莫 洛斯山。但是,在这前一天,这个玛尔多斯人叙洛伊阿戴斯却看到一个吕底 亚人从绝壁上下来拾取从城上掉下来的钢盔,他注意到这事,思考了一番, 而现在他亲自攀上了绝壁,其他的波斯人则跟在他的后面。许多人爬到上面 去,撒尔迪斯于是被攻克,全城都受到了洗劫。

    (85)现在我再说一说城陷落的时候克洛伊索斯本人的遭遇。他有一个儿 子,关于他我在上面已经提拉了,他这个儿子除了是个哑吧以外,在其他方 面可说是个不坏的少年。在克洛伊索斯以前的全盛时代,他为自己的这个儿 子什么办法都想到了,在他想到的其他计划以外,他特别会派人到戴尔波伊 去请示神托问关于他的儿子的事情。他从佩提亚那里得到的回答是这样: 生而为吕底亚人的众民之王,你这非常愚蠢的克洛伊索斯 啊! 不要希望和请求在你的宫廷里听到你儿子的声音吧; 你的儿子若象先前一样的哑吧那会好得多; 你第一次听到他讲话时,那将是不幸的一天。 当城砦被攻陷的时候,一个不知道克洛伊索斯是何许人的波斯人遇到他,打算把他杀死。克洛伊索斯虽然看见他过来,但是由于当前的不幸遭遇而无心去理会,他根本不介意这个人会不会把他打死。但这时他那不说话的 儿子看到波斯人向克洛伊索斯那边去,便在既害怕又悲痛的心情中说出了 话,他喊道:“这个人不要杀死克洛伊索斯!”这是他说的第一句话,从此 以后,他一辈子都能讲话了。

    (86)这样,撒尔迪斯就给波斯人攻克,克洛伊索斯也给他们俘虏了;他 已经统治了十四年并且被围攻了十四天,而到这时,正如神托所预言的,他 便毁掉了自己的大帝国。于是,俘虏了克洛伊索斯的波斯人便把他带到居鲁 士那里去。依照居鲁士的命令积起了一大堆木材,身带枷锁的克洛伊索斯就 给放置在这上面,在他之外还有十四名吕底亚的少年。我不知道居鲁士是打 算把他的这些最初的掳获物呈献给某一位神,还是在这里还许下的心愿,还 是他可能知道克洛伊索斯是一位畏神的人,因此他想看一下神灵是否会来救 他使他不致活活地被烧死。不管怎样,据说他是这样做了;但是站在木堆上 的克洛伊索斯却在自己的悲惨处境中想起了梭伦体会神意而对他讲出来的 话,即活着的人没有一个是幸福的。当他想到这一点的时候,他便打破了保 持到这时的沉默,深深地叹了一口气,发出了呻吟的声音,三次叫出了梭伦 的名字。居鲁士听到了这个声音,便命令通译问克洛伊索斯,他叫的是谁的 名字。他们走到他跟前来问他,但他一时却默然不愿回答他们的问题,过了 一回儿在强迫他说话时,他便说:“是这样的一个人,我宁愿付出我的巨大 财富以便使所有的国王都能和这个人谈话”。通译不知道他这个回答是什么 意思,便再请他自己解释;而当他们催他回答而等得不耐烦的时候,他才告 诉他们,怎样在很久以前,一个叫做梭伦的雅典人到他那里去,怎样看到他 的全部富贵荣华却不把这一切看到眼里(而说了这般这般的话),怎样梭伦对 他所说的话结果又和他遭遇的完全相合,虽然,这话与其说是专对他讲的, 勿宁说对所有的人讲的,特别是对那些自以为幸福的人们讲的。当克洛伊索 斯说这话的时候,木堆已经点着,它的外部已经开始着火了。但居鲁士从通 译那里听到克洛伊索斯所说的话以后,却后悔起来,他觉得他自己既然也是 一个人,却正在活活烧死过去也曾和他自己一样幸福的另外一个人:此外, 他还害怕报应并且深以为人间的事情没有一件不是无常的。他于是下令要他 们赶快把火焰扑灭并把克洛伊索斯和与他在一起的人们从木堆上解救下来; 他们虽然拚命这样做,但火焰已经无法制服了。

    (87)于是,依照吕底亚人的说法,当克洛伊索斯看到居鲁士有悔恨之意 并看到大家拚命扑火但已无效的时候,便高声向阿波罗神呼唤并恳求他说, 如果神对他所呈献的任何礼品还中意的话,那末就请助他一臂之力使他免于 当前的灭身之祸。正当他满眼含着泪求神的时候,突然,在到那时一直是晴 朗并平静无风的天空上,乌云集合起来,刮起了暴风并下了豪雨,而火焰便 给熄灭了。居鲁士看到之后,深信克洛伊索斯是一个好人并且是神所眷爱的 人,便在他从木堆上被放下来之后问他说:“克洛伊索斯,是谁劝说你带着 军队来攻打我的国家,不做我的朋友而做我的敌人?”克洛伊素斯这样回答 说:“哦,国王啊,是我干的这件事,但它却给你带来了好运,给我带来了 不幸。若说起它的原因来,那末应该说是希腊人的神,因为是他鼓励我出兵 作战的。没有一个人愚蠢到爱好战争甚于和平,而在战争中,不是象平时那 样儿子埋葬父亲,而是父亲埋葬儿子。但是我相信,诸神恐怕是欢喜这样的。”

    (88)这就是克洛伊索斯所说的话。于是居鲁士就给他松了绑,叫他坐在 自己的近旁,对他照顾备至,而居鲁士和他身边的一切人都以一种惊奇的目 光注视看他。陷入深思之中的克洛伊索斯一句话也不说。过了一回儿他向四 边望了望,看到波斯人正在劫夺吕底亚人的城市,于是他就向居鲁士说:“哦, 国王啊,我可否告诉你我心里正在想的事情,还是什么话都不讲?”居鲁士请他毫无顾虑地把他要讲的话讲出来。于是他便提出这样一个问题:“那边 的一大群人这样忙忙碌碌地在做什么?”居鲁士说:“他们正在掠夺你的城 市并拿走你的财富。”但是克洛伊索斯说:“不是我的城市,也不是我的财 富。这些东西已不再有我的任何份儿了,他们正在掠夺的都是你的财富啊”。

    (89)居鲁士听到克洛伊索斯的话以后颇为有动于衷,于是便下令身边的 人等一概退去,然后问克洛伊素斯,对于他的所做所为,有什么意见要提出 来。克洛伊索斯回答说:“既然诸神使我变成了你的奴隶,那未如果我看到 什么对你有利的事情而把它告诉你,那将是我分内应做之事。你的臣民波斯 人是秉性粗暴而又贫困的人民。如果你放任他们进行劫夺并且使他们自己拥 有巨大财富的话,那我就要告诉你这些人会干出什么样的事情来。这就是说, 那掠夺到最多财富的人就会背叛你。如果你听得进我讲的话,那未就讲你这 样做。把你的亲卫队设置在所有各个城门的地方担任岗哨,并要他们在士兵 们离开城市时把士兵们身上的战利品留下并且告诉这些士兵他们这样做是为 了必须用这些东西向宙斯缴纳什一税。这样,你虽用强力从他们身上夺走战 利品,但是他们却不会恨你的,因为他们看到你做的公正,自然就会心甘情 愿地拿出自己的战利品了”。

    (90)听到这个意见,居鲁士真是大喜过望,因为他觉得这个忠告很好。 他非常赞赏克洛伊索斯并命令他的亲卫队按照克洛伊索斯建议的办法行事。 然后他向克洛伊索斯说:“克洛伊索斯,我看你在言语和行动上都决心表现 出你是一个正直的国王,现在立刻向我请求你所希望的任何赠品吧”。克洛 伊索斯回答说:“主公,如果你容许我把这副枷锁送到我最尊崇的希腊人的 神那里去,并且问他一下他是否惯于欺骗那些经常向他进行奉献的人,这便 是你能给予我的使我最欢喜的事情了”。于是居鲁士就问他对神有什么不满 而提出了这个请求,克洛伊索斯便详详细细地叙述了他自己的全部想法,神 托的回答,特别是他的奉献物,并且告诉居鲁士,他怎样从神托得到鼓励, 桔果竟使他对波斯人挑起了战端。他讲完了这一切之后,便立刻再一次恳求 允许他对神的这种行动加以谴责。居鲁士微笑着回答他说:“克洛伊索斯, 我很乐意答应你这样做,不管你要什么东西,任何时候你都可以来请求我 的”。克洛伊索斯看到自己的请求得到允许,他便派一些吕底亚人到戴尔波 伊去,嘱咐他们把他的枷锁放在神殿的入口并且问神,神激励他对波斯人开 战,并说他一定会摧毁居鲁士的帝国,但结果这就是战争的最初成绩,这样 做神是不是感到可耻。他们说这些话的时候,要指着这副枷锁,随后,他们 还要问,希腊的神是不是惯于于这种忘恩负义的事情。

    (91)吕底亚人到了戴尔波伊,把他们带来的话传达了。据说佩提亚是这 样回答的:“任何人都不能逃脱他的宿命,甚至一位神也不例外。 克洛伊索斯为他五代以前的祖先的罪行而受到了惩罚。这个祖先当他是 海拉克列达伊家的亲卫兵的时候,曾参与一个女人的阴谋,在杀死他的主人 之后夺取了他的王位,而这王位原是没有他的份的。洛克西亚司神(即阿波罗 神——译者)本来尽力想使撒尔迪斯不在克洛伊索斯生前的时候,而是要推迟 到他的儿子的时候陷落,但是他不能改变命运女神的本意。凡是命运女神许 给克洛伊索斯的,都已经做到并恩赐给克洛伊索斯了。让克洛伊索斯知道, 洛克西亚司把撒尔迪斯的陷落推迟了整整三年,因此他变成囚犯的时期。要 比命中注定的日期晚得多了。此外,洛克西亚司还把克洛伊索斯从烧着的木 堆上救了下来。克洛伊索斯也没有任何权利来抱怨他从神托那里得到的答 复。因为当洛克西亚司告诉他如果他攻打波斯人他会摧毁一个大帝国的时 候,如果想确实知道一下神的意旨的话,那末他就应该再派人来问一下这是 指着哪一个帝国,是居鲁士的,还是他自己的帝国。然而他既不懂得所讲的 是什么话,又不肯再来问个清楚,那末今天的这个下场便只有怪他自己了。 此外,他甚至不懂得洛克西亚司给他的关于骡子的那个最后的回答。因为那 骡子实陈上指的是居鲁士。居鲁士的父母属于不同的种族,不同的身分;他 的母亲是一位美地亚的公主,美地亚国王阿司杜阿该斯的女儿,但他的父亲 都是个美地亚人治下的波斯臣民,他虽然在一切方面都比他的妻子为低:都 娶了自己的公主”。以上便是佩提亚的回答。吕底亚人返回撒尔迪斯并把他 们听到的话告诉了克 洛伊索斯,克洛伊索斯听了之后,才承认这是他自己的 过错,而不是神的过错。

    (92)伊奥尼亚最初就是这样被征服,而克洛伊索斯的帝国也便这样地结 束了。除了前面已经提到的那些奉献品之外,克洛伊索斯在希腊还奉献了其 他许多物品。在贝奥提亚的底比斯,他奉献给伊兹美尼亚的阿波罗神一座黄金的三脚架,在以弗所(以弗所的神殿大概是在阿律阿铁斯统治时开始修建的,到希被战争时才完成),金牛和神殿的大部分的柱子都是他奉献的;在戴尔波伊的普罗奈阿神殿(在阿波罗神殿的外部),他奉献了一只巨大的黄金楯,这一切奉献物直到我当 时还都有的;但是其他的若干奉献物却已经不复存在了。我听说,他奉献给 米利都人的布朗奇达伊的礼物和献给戴尔波伊的礼物一样,份量也相等。献 给戴尔波伊的礼物和献给阿姆披亚拉欧斯神殿的礼物都是他自己的财产,是 他从他父亲那里继承来的财产中最初得到的东西。其他的奉献物则来自他的 一个敌人的财产,这个敌人在他登上王位之前,曾领导过一个党派来反对他, 目的则在于想使庞塔莱昂取得吕底亚的王冠。这个庞塔莱昂是阿律阿缺斯的 一个儿子,和克洛伊索斯是异母兄弟;因为克洛伊索斯的母亲是一个卡里亚 妇女,但庞塔莱昂的母亲却是一个伊奥尼亚妇女。当克洛伊索斯因父命而取 得王位的时候,他曾把那阴谋反抗他的那个人放到刷梳器上去给刮死。随之 克洛伊索斯便没收了他的财产,在这之后克洛伊索斯更把他的财产象上面所 说那样地奉献给神殿。关于他的奉献品,我所要说的就是这些了。

    (93)吕底亚和其他国家不一样,它没有那样多足以令人惊异的事物叫我 来叙述,例外的只有从特莫洛斯山上冲洗下来的金砂。然而那里却可以看到 一座比其他建筑物要大得多的建筑物,不过埃及和巴比伦的巨大建筑物却不 算在内。这就是克洛伊索斯的父亲阿律阿铁斯的陵墓,陵墓的底座是大石砌 成,其他部分别是很高的一个土堆。这是商人、手工业者和娼妓们共同修造 起来的。陵墓顶上的五个石柱直到我的时代还有的。石柱上面刻有铭文,表 明每一类的工人做了多少工作。根据计算来看,娼妓们所做的那部分工作是 最多的。吕底亚普通人民的女儿们全都干这种卖淫的事情,以便存钱置办自 己的妆奁,直到她们结婚的时候为止。她们通常是自己来照料自己出嫁的事 情的。陵墓的周匝是六斯塔迪昂和二普列特隆,竟是十三普列特隆,在陵墓 近旁有一个大湖。据吕底亚人说,这湖永远有活泉水作为源流,它的名称是巨吉斯湖。关于陵墓的事情就是这样了。

    (94)吕底亚人的风俗习惯和希腊人的风俗习惯是很相似的,不同的只是他们叫他们的女儿卖淫的一点。据我们所知道的,他们是最初铸造和使用金 银货币的人,他们又是最初经营零售商业的人。依照他们自己的说法,那些 在他们和希腊人中间通行的一切游戏,也都是他们发明出来的。他们说他们 发明这些游戏,正是他们在第勒塞尼亚殖民的时候。关于这件事他们是这样 讲的:在玛涅斯的儿子阿杜斯王当政的时代,吕底亚的全国发生了严重的飢 饉。起初的一段时期,吕底亚人十分耐心地忍受这种痛苦,但是当他们看到 飢饉持续下去毫无减轻的迹象时,他们便开始筹划对策来对付这种灾害。不 同的人想出了不同的办法。骰子、阿斯特拉伽洛斯(羊蹠骨、俗称羊拐子)、球戏以及其他所有各种各样的游戏全都发明出来了,只有象棋这一 项,吕底亚人说不是他们发明出来的。他们使用这些发明来缓和饥饿。他们 在一天当中埋头于游戏之中,以致不想吃东西,而第二天则只是吃东西而不 游戏。他们就这样过了十八年。但是饥饿的痛苦仍然是压在他们身上,甚至 变得越来越厉害了。最后国王只得使把全体吕底亚人分开,叫这两部分人抽 签决定去留,而他将继续统治抽签后留在国内的那一半人。移居国外的人别 归他的儿子第勒赛诺斯来领导。抽签之后,应当移居的人们就到士麦拿去, 造了船舶,把他们一切可以携带的日用财物放到船上之后,便起程寻找新的 生计和土地去了。直到最后,在他们驶过了许多民族的土地以后,他们到达 了翁布里亚。他们就在那里建立了一些城市,从此定居下来了。他们不再称 自己为吕底亚人,他们按照率领他们到此地来的王子第勒赛诺斯的名字。而 称自己为第勒塞尼亚人。而吕底亚人这样便受到了波斯人的奴役。

    (95)因此,我这部历史的后面的任务,就是必须考察一下摧毁了克洛伊 索斯的帝国的这个居鲁士是个何等样的人物,而波斯人又是怎样称霸于亚细 亚的。在这里我所依据的是这样一些波斯人的叙述,这些人并不想渲染居鲁 士的功业,而是要老老实实地叙述事实,虽然,我知道,关于居鲁士的事情, 此外还有三种说法。亚远人把上亚细亚统治了五百二十年之后(从一二二九年到七○九年),他们的臣民 才开始起来反抗他们,在这中间首先就是美地亚人。他们为了争取自由而拿 起武器来对亚述人进行战争,他们的英勇战斗使他们挣脱了奴役的枷锁并变 成了自由的人民。美地亚人的成功榜样使其他民族也随着起来反抗了。

    (96)这样,大陆上的各个民族便都获得了独立,然而他们却再一次回到 了僭主的统治之下,经过的情况有如下述。一个叫做戴奥凯斯的美地亚人, 是普拉欧尔铁斯的儿子。这个人非常聪明,他既然想取得僭主的地位,因此, 便着手实行了下面的一个计划。当时的美地亚人是分成各个部落散居各处 的,而且在全部美地亚又是一片无法无天的状态,因此当时在本部落中已经 知名的戴奥凯斯便比以前更忠诚和热心地努力在他的同部落人中间执行正 义。他相信正义和非正义是相互敌对的。因此,在他这样做以后,立刻同部 落的人看到他的正直行为而推举他为一切争端的仲裁者。由于心中向往看统 治权,他便表现出自己是一个忠诚和正直的人物。用这样的办法,他不单是 博得本部落人们的赞赏,甚至长期以来受着不公的审判的痛苦的其他诸部落 的人们,在他们知道只有戴奥凯斯正直无私,能给以公正的审判的时候,他 们便时常愿意到戴奥凯斯这里来请求他审判他们的争端。直到后来人们只相信他一个人,而不再相信其他任何人的裁判了。

    (97) 找他来帮忙的人越来越多了,因为人们都听说他的裁判是公正的。 戴奥凯斯感到自己已得到一切人的信赖,便宣布说他不愿再出现于他经常坐 下来进行审判的那个位子之上,并不想再作法官了。因为他认为整天用来调 解邻人的事情而不去管自己的事情,这对他自己是毫无利益可言的。结果, 在各部落之中,掠夺与不法的行为发生得甚至比以前更要猖獗了。于是美地亚人便集会到一处来讨论当前的局势。 (我想,讲话的主要都是戴奥凯斯一派的人)。他们说:“如果事情这样 继续下去,我们就不能在这个地方住下去了。让我们给我们自己立一个国王 吧,这样这个地方才能治理得好,这样我们自己才能鲁安其业,不致由于无 法无天的情况而被弄得家破人亡了”。在听到这样的话之后,他们便决定推 立一个国王来统治他们了。

    (98)随后他们立刻便提出了选谁担任国王的问题。大家一致愿意推举和 拥戴戴奥凯斯,结果他们便同意由他来担任国王了。他要求他们给他修建一 所与他的国王身分相适合的宫殿并要求拨给他一支保护他个人的亲卫队。美 地亚人同意了他的意见,他们在他自己所指定的地方给他建造了坚固的大宫 殿,并且听任他从全国人展当中给自己选一支亲卫兵。在他做了国王以后, 他进而又强制美地亚人给他修建一座城寨,他要他们几乎不去管其他的城市 而单是注意经营这个新都。美地亚人在这一点上也听从了他,给他建造了一 座今日称为阿格巴塔拿的城市,这座城寨的城墙既厚重又高大,是一圈套着 一圈建造起来的。这个地方的结构是这样:每一圈城墙都因为有女墙的关系 而比外面的一圈要高(即内圈比外圈只高那一道女墙的高度——译者)。由于 城寨是在平原上的一座小山之上,这种地势当然可以有一些帮助,但这主要 还是由于人工的缘故才做到这一点的。城墙一共有七圈;皇宫和宝库是在最 内的一圈城墙里面。最外面的一圈城墙和雅典城的城墙约略等长。最外面一 圈女墙的颜色是白色的,第二圈是黑色的,第三圈是紫色的,第四圈是蓝色 的,第五圈是橙色的;外部这五道城墙都是涂着颜色的,最后两圈女墙则是 包着的,第六圈是用银包着的,最里面的一圈则是用金包看的。

    (99)戴奥凯斯修筑这些城壁都是为了他自己和他自己的宫殿,人民则要 定居在城寨的周边。而当一切都修建起来以后,戴奥凯斯首先便定出了一个 规则,即任何人都不能直接进见国王,一切事项都要通过报信人来办理并且 禁止臣民看到国王。他还规定,任何人在国王面前笑或是吐唾沫都特别被认 为是一件可耻的冒凟行为。他所以小心地把自己用这种办法隔离起来,目的 是在于保证自己的安全,因为他害怕如果和他一起长大,同出名门而且在一 个男子的主要才能方面比起他来毫无逊色的同年辈的人经常见到他的话,他 们会感到恼怒并且有可能暗算他;如果他们看不到他的话,那未他们就会以 为戴奥凯斯已和先前判若两人了。

    (100)在戴奥凯斯把这一切都办理停妥并且把王位稳稳地坐定之后,他便 仍然象先前那样地一丝不苟地执行正义的审判。诉讼案件都要写下来交到国 王那里去,国王根据所写的内容进行审判,然后把他的判词送还当事人;他 便是这样地判案的,其他的事情他也管。在全国各地都有他的密探和偷听者: 如果他听到存人横暴不法,他就把这个人召来对他的罪行给以相应的惩罚。

    (101)这样,戴奥凯斯便只是把美地亚人这个民族统一起来,并统治了他 们。美地亚人是由下边的一些部落构成的:布撒伊人、帕列塔凯奈人、斯特 路卡铁斯人、阿里桑托伊人、布底奥伊人、玛果伊人。属于美地亚人的部落 就是这些了。

    (102)戴奥凯斯统治了五十三年之后死了(死于六五六年),他的儿子普拉欧尔铁斯继承 了他。这个王子继承了王位之后不满足于单单统治美地亚人一个民族,便开 始征伐波斯人。他先把军队开入波斯人的国土,这样首先便使波斯人变成了 美地亚人的臣民。后来,他成了两个强大民族的主人以后,更进而征讨亚细 亚,一个民族接着一个民族地把它征服了。直到最后,他竟和亚述人打了起 来,亚述人是居住在尼诺斯(尼尼微)城的,他们先前是整个亚细亚 的霸主。现在,由于盟国的叛离,他们已经孤立了,然而除去上述的一点之 外,他们国内情况仍旧是和先前一样繁荣的。普拉欧尔铁斯向这些亚述人进 攻,但是在一次战役中他和他的一大部分的军队都战死了,这是他统治美地 亚二十二年之后的事情。

    (103)普拉欧尔铁斯死后,他的儿子,戴奥凯斯的孙子库阿克撒列斯继承 了王位。据说他比他的任何先人都要好战得多。他第一个把亚细亚的士兵组 成部队,把在他之前混成一团并非常紊乱的军队分成独立的组织,组成了枪 兵、弓兵、骑兵等等兵种。在先前作战时白日突然变为黑夜的那一天里和吕 底亚人交战的就是这个人。征服了哈律司河彼岸全部亚细亚领土的也是他。 库阿克撒列斯把他治下的一切民族集合起来向尼诺斯进军,他这样做是想给 父亲复仇和把这座城摧毁。在一场战斗中亚述人被打败了,库阿克撒列斯已 经把这个地方包围起来,但这时在普洛托杜阿斯的儿子、斯奇提亚国王玛杜 阿斯率领之下的一支斯奇提亚人的大军为了追踪被他们赶出了欧罗巴的奇姆 美利亚人而侵入了亚细亚,因此便来到了美地亚的领土。

    (104)对于一个轻装的人来说,从麦奥提斯湖(亚速海)到帕希斯河和科尔启斯人 居住的地方要走三十天。从科尔启斯走不多远便可以进入美地亚,因为在这 中间只隔看撒司配列斯人住的一个地方,过去这个地方就到美地亚了。虽然 如此,这却不是斯奇提亚人入寇的道赂,他们迂迥行进而走了比这要远得多 的上方的道路,这条道路的右手就是高加索山脉。斯奇提亚人在那里曾遇到 美地亚人的抵抗,美地亚人给他们战败,从而丧失了他们的帝国。斯奇提亚 人就成了全亚细亚的霸主。

    (105)此后他们更向前推进,打算进攻埃及。当他们到达叙利亚的一个叫 做巴勒斯坦的地方时,埃及的国王普撒美提科斯来会见他,用恳求的话和礼 物请他们不要再继续向前推进。因此在他们返回的途中经过叙利亚的一个城 市阿斯卡隆的时候,他们的大部分没有进行任何毁坏的活动便开过去了。但 是被落在后面的少数人却把乌拉尼阿·阿普洛狄铁(意为上天的阿普洛狄铁— —译者)的神殿给洗劫了。我打听之后知道,阿斯卡隆的神殿是这位女神的神 殿中最古老的一座;因为赛浦路斯的那座神殿,正如赛浦路斯人自己所说, 就是模仿着它建造起来的;而库铁拉的那座神殿则是出身于这同一叙利亚地 方的腓尼基人建造的。洗劫了这座神殿的斯奇提亚人受到了女神惩罚,他们 和他们的后裔都得了女性病。他们自己承认他们是为了这个原因才得了这种 病的,而来到斯奇提亚的人则能够看到这是怎样的一种病。得了这种病的人 被称为埃那列埃斯。

    (106)斯奇提亚人这样就把亚细亚统治了二十八年。在这期间,他们的暴 虐和横傲的行为使整个地方变成一片荒野;原来,除了他们榨取加到各地人 民身上的贡赋之外,他们更骑着马到各地把人们的财物掠夺一空。于是,库 阿克撒列斯和美地亚人一道,请他们大部分的人前来赴宴,把他们灌醉,然 后便把他们全都杀死了。这样美地亚人就收复了他们的帝国和他们先前所有 的一切。他们攻占了尼诺斯(攻占的情况我将在另一部历史中叙述)并且征服 了除巴比偷地方之外的全部亚述。

    (107)后来,库阿克撒列斯也死了;他一共统治了四十年,在这里面斯奇 提亚人统治的年代我也算进来了。他的儿子阿司杜阿该斯继承了他的王位。 阿司杜阿该斯有一个女儿,名叫芒达妮。关于这个女儿,他曾经做过一 个梦:他梦见她撒了大量的尿,这尿不仅仅涨满了全城,而且淹没了整个亚 细亚。他把他的这个梦告诉了会占梦的玛哥斯僧,玛哥斯洛详细地向他解释 了梦的意义,他听到后而大大地战傈了。因此,在芒达妮成年应当婚配的时 候,他害怕梦会应验而不把她许配给任何门当户对的美地亚人,却把她嫁给 他认为是出自名门而且性情温和的一个名叫刚比西斯的波斯人;因为在阿司 杜阿该斯看来,刚比西斯比中等身分的美地亚人都要低得多了。

    (108)但是在芒达妮嫁给刚比西斯的头一年里,阿司杜阿鼓斯又做了一个 梦。他梦见从她的子宫里生出了葡萄蔓来,这葡萄蔓遮住了整个亚细亚。他 把这个梦也告诉了占梦的人,随后就把当时有了身孕即将分娩的女儿从波斯 人那里召了来。他的女儿来到之后,他就把她监视起来,打算把她生下来的 孩子弄死;因为占梦的玛哥斯僧在占梦的时候预言说,他的女儿的后裔将会 代替他成为国王。为了防止这一点,在居鲁士刚刚降生的时候阿司杜阿该斯 就把哈尔帕哥斯召了来,这是他家里的一个人,是美地亚人当中他所最信任 的一个仆人,同时又是代他管理一切家务的人;他向哈尔帕哥斯说:“哈尔 帕哥斯,我请你对我托付给你的这件事情万勿疏忽大意;也不要为着别人而 出卖了你的主人的利益,不然的话你将会自食其毁灭的后果。把芒达妮生的 这个孩子带到你家里去,就在那里把他杀死,然后,随你怎样把他埋起来好 了”。哈尔帕哥斯回答说:“国王啊,哈尔帕哥斯在过去从来不会在任何事 情上违背过你,而今后也请你放心,他一定小心谨慎不会冒犯你的。如果是 你的意思要我这样做的话,那末在我这方面,我是应当把这件事给你办理妥 善的。”

    (109)哈尔帕哥斯这样回答以后,孩子就给交到他的手里,孩子已经是给 打扮得象是快死的孩子那样子的。于是他便哭着赶回自己的家里去了。在他 到家的时候,他就把阿司杜阿该斯的话告诉了他的妻子。他的妻子对他说: “那未,你自己打算怎么办呢?”他回答说:“我不打算照着阿司杜阿该斯 的话去做。不,纵使他神智颠倒,促使他比现在更加疯狂,我也不会按他的 意思去办事,或是代他干这种杀人的勾当。我有许多理由不杀死这个孩子。 首先,他和我有亲属关系;其次,阿司杜阿该斯已经老了,又没有儿子。如 果他死的时候,王位传给他的女儿,而他却想用我的手来杀死他女儿的儿子; 那时我岂不要受到最大的危险吗?老实讲,为了我的安全,这个孩子是必须 死的,不过这件事必须要由阿司杜阿该斯自己手下的一个人来干,而不是由 我的人来干”。

    (110)他这样说着,立刻就派遣一名使者去把阿司杜阿该斯的一名牧人召 了来,因为他知道阿司杜阿该斯的这个牧人放牲的牧场是最适宜的牧场而那 里的山又是野兽出没最多的地方。这个牧人的名字叫做米特拉达铁斯,他的 妻子和他一样,也是国王的奴隶;她的美地亚语的名字是斯帕科,希腊语则 称之为库诺,因为在美地亚语中,斯帕卡一词是希腊语的母狼的意思。牧人 牧放牲畜的山麓地方是在阿格巴塔拿的北边,面临着黑海的。美地亚的和撒司配列斯人相邻的那个地方(美地亚的西北郡,今天阿捷尔拜疆),地势是高耸、多山并且复盖着一片森林的,但 是美地亚的其他地方则完全是一片平原。当着闻召而急忙赶来的牧人来到的 时候,哈尔帕哥斯就说:“阿司杜阿该斯命令你把这个孩子放到山中是荒鄙 的地方去好叫他尽快地死掉。他并且嘱我告诉你,如果你不杀死这个孩子, 都使他不管怎样保全了性命,那你将会遭到最可怕的死亡。我就是受命来看 这个孩子被抛掉的。”

    (111)牧人听了这话,便抱起了这个孩子,顺着原路回到了自己的小舍。 在那里,好象是由于神意,他邓眼看便耍分娩的妻子正在他到城市去的时候 生了一个孩子。牧人和他的妻子都为对方操心,牧人是因为妻子的临盆期近, 妻子则不知道哈尔帕哥斯为何突然把自己的丈夫找去,而为这件不常见的事 情担惊害怕。因此当他回到自己的妻子这里来时,她看到他出其不意地回来, 没等他说话便先问他为什么哈尔帕哥斯这样匆匆忙忙地把他召去。他说:“妻 啊,当我来到城里的时候,我看到和听到我决不愿意看到和不愿意发生在我 们主人身上的事情。哈尔帕哥斯的家里是一片哭声:我大吃一惊,但是我走 进去了。当我进去的时候,我立刻便看到一个全身金饰并穿着锦绣服装的婴 儿躺在那里在喘气挣扎着和哭叫着。哈尔帕哥斯看到我,便命分我立刻把这 个孩子抱走,要我把这孩子放到山中野兽最多的地方去。而且他告诉我说, 是阿司杜阿该斯下令要我这样做的,如果我不按照他的话做,我便有身遭惨 祸的危险。于是我便把孩子抱起来带走了,我以为这是家中一个奴仆的孩子, 因为我是决不会猜出这孩子到底是谁的。但是在我看到金饰和华美的衣服时 我是吃惊的,特剔是不明白哈尔帕哥斯家中人们公然哭泣的原因。然而很快 的,在道上我便晓得了一切。他们派一个仆人抬我引路出城并把孩子交付给 我。这个仆人告诉我说,孩子的母亲是国王的女儿芒达妮,孩子的父亲是刚 比西斯,刚比西斯是居鲁士的儿子;下令杀死这个孩子的就是阿司杜阿该斯。 你看,这里就是这个孩子”。

    (112)牧人这样说着,就打开了蒙着这个孩子的布,把它给自己的妻子 看。当她看到这孩子是一个多么美丽可爱的孩子的时候,就哭了起来:她抱 着丈大的双膝,恳求他无论如何不要抛掉这个孩子。然而她的丈夫回答她说, 他是没有任何别的办法的,因为哈尔帕哥斯会把密探派来打听情况回去报 告,而如果他不从命的话、他是会遭到惨死的。既然无法说服她的丈夫,于 是妻子又说:“既然我说服不了你,而人们又一定要你把孩子抛弃,那末至 少这伴事你总可以做到吧。你知道,我刚才生的那个孩子是死产。把它抱走 放到山里去,而让我们把阿司杜阿该斯的女儿的孩子象我们自己的孩子那样 地抚养起来吧。这样你就不会由于你对自己的主人不忠实而受到惩办,而我 们也就不会商量出不利于已的主意来了。这样、我们的死掉的孩子将要得到 王子一样的葬礼而活着的孩子又不会失去自己的性命。”

    (113)牧人以为在当前的情况之下,他的妻子的办法最好不过,于是他立 刻照办了。他把他带来打算杀害的那个孩子交给了自己的妻子,而把自己的死婴放到他带另一个孩子来时使用的篮子里,把另一个孩子的衣饰全给它穿 戴上,然后把它放到山里最荒鄙的地方去了。在这孩子给放到那里去的第三 天,牧人便留下他手下的一个助手在那里看看孩子,自己到城里,直奔哈尔 帕哥斯的住所来,说他准备要人们去看孩子的尸体。哈尔帕哥斯派了他最亲 信的卫兵去看了这个尸体,而在他们为他检查完毕之后,便把牧人的孩子埋 葬了。孩子就这样地被埋葬了,而后来叫做居鲁士的另一个孩子,就受到了 救人的妻子的收留和抚养,但是牧人的妻子却拾这个孩子起了别的一个名 字。

    (114)当这个孩子十岁的时候,这样一个事件却使人们看出他是怎样的一 个人来了。事情的经过是这样。有一天他在村中牧人的畜舍的地方和与他年 龄差不多的孩子们在街道上一起玩耍。和他一起玩耍的别的孩子们选这个被 称为牧人之子的孩子作国王。于是他便开始分别向这些孩子发号施令起来: 他叫一些孩子给他修造房屋,叫另一些孩子作他的亲卫队,叫其中的一个孩 子担任大概是国王的眼目,又给另一个孩子以傅奏官的任务,他们每个人都 得到了适当的任务。在和他一起游玩的孩子当中,有一个孩子是美地亚的知 名之士阿尔铁姆巴列司的儿子,这个孩子拒绝服从居鲁士的命令。于是居鲁 士命个别的孩子把他捉了起来,当他的命令被执行的时候,他就狠狠地鞭打 了这个孩子一顿而使他吃了很大的苦头。在阿尔铁姆巴列司的儿子被释放之 后,这个孩子对于自己所受的残酷遭遇十分气愤,便立刻到城里他父亲那里 去,向他父亲痛诉他在居鲁士手下所受到的待遇。这个孩子当然不说他是居鲁士(因为那时他还没有居鲁士的名字),而是称他为阿司杜阿该斯的牧人的 儿子。阿尔铁姆巴列司在盛怒之下,就带着自己的儿子去见国王,控诉他的 儿子所受到的粗暴待遇。他指着自己的儿子的肩头说:“哦,国王啊,看一 个收人的儿子,你的奴隶的儿子加到我们身上的暴行吧”。

    (115)阿司杜阿弦斯听到和看到这一切之后,便打算为了照顾阿尔铁姆巴 列司的身分而为他的孩子报仇,于是他把牧入和他的儿子召了来。为他们父 子二人来到他面前的时候,阿司杜阿款斯便望着居鲁士说:“是你这样一个 睦人的儿子竟敢对于我们国内最大人物的儿子施行无礼吗?”孩子回答说: “可是,国王,我对他的待遇本是他罪有应得的。我们村里的孩子在玩耍时 选我作国王,因为他们认为我是最适当的人。这个孩子自己也是选我作国王 的一个人,所有其他的孩子都按照我的吩咐去办事,可是他不听我的话,并 且根本不把我放到眼里,因此最后他受到应得的处分。如果为了这个缘故我 应受惩罚的话,我是愿意接受惩罚的。”

    (116)当这个孩子讲话的时候,阿司杜阿该斯好象已经觉出他是何许人 了,他看到这孩子的眉目之间有和自己相似之处,而且在回答的时候有一种 和奴隶的身分相去甚远的气度;此外,他的年龄又和他抛弃他的外孙居鲁士 的时期相合。阿司杜阿该斯因此大吃一惊,一时说不出话来。然而当他好容 易清醒位来的时候,为了把阿尔铁姆巴列司打发开以便单独盘问一下这个救 人自己,他就向阿尔铁姆巴列司说:“阿尔敛姆巴列司,我要把这件事处理 妥善,决不致叫你和你的儿子再来诉苦的”。阿尔铁姆巴列司退下去了,而 侍从便遵照着阿司杜阿该斯的命令把居鲁士引进了内室。阿司杜阿该斯这时 只和牧人在一起了,于是他便问收人他从哪里得到的这个男孩子,是谁把这 个孩子给了他的。牧人回答说,这个男孩子是他自己的亲生子,孩子的亲生 母汪活着并且就在家里。阿司杜阿该斯对他说,如果他想自寻这样天大的麻 烦实在是太没有脑筋,同时阿司杜阿该斯向他左右的侍卫示意,要他们把牧 人捕了起来。牧人在被带去拷问的时候,便从开头起,把事情的原原本本的 经过情况全都讲出来了,最后别是恳请和哀求国王宽宥他。

    (117)阿司杜阿该斯从牧人这里弄清楚事情的真相之后,对于收人到不很 介意,但对于哈尔帕哥斯,他却是十分生气的,于是他便派卫兵去把哈尔帕 哥斯召来见他。在哈尔帕哥斯到来的时候,他就问哈尔帕哥斯说:“哈尔帕 哥斯,我交给你的我的女儿的孩子,你到底是怎样把他杀死的呀?”哈尔帕 哥斯看见牧人也在室内,便不敢说谎话,恐怕他自己会被别人问倒,露出马 脚因之而获罪。于是他说:“哦,国王啊,当你把孩子交到我手里来的时候, 我立刻就开动脑筋,以便想出办法怎样能不违背你的意旨,怎样能不对你有 所冒犯,但是又不被你的女儿和你本人春成是一名凶手。于是我便想出了下 面的办法。我死这个牧人召了来,把孩子交给了他,告诉他是国王下令要处 死这个孩子的。而在贫里我并没宫说谎,因为你是这样命令的。此外,在我 把孩子交给牧人时;我还嘱咐他把这孩子放到荒鄙的山地去并留在那个孩子 的身旁直到那孩子死的时候;而且我怕他做不到这件事,因而用各种惩罚恐 吓他。后来,当他按照我所吩咐的一切办理完毕,而孩子也死掉的时候,我 便派最亲信的几名宦官去检查孩子的尸体,并把它埋掉了。哦,国王,事情 的经过就是这样、孩子就是这样死的。”

    (118)这样,哈尔帕哥斯便坦白地把全部经过说出来了。阿司杜阿该斯听 了后丝毫不显露他心中对哈尔帕哥斯的所作所为所感到的忿怒,他先是把刚 才从牧人那里听到的向哈尔帕哥斯说了一遍、而在他重述之后,最后他说这 个男孩子还活着,而一切事情结果也十分顺利。他说:“对于这个孩子的处 置使我感到很大的痛苦,而我的女儿对我的责怪也使我的心头十分沉重。现 在,命运既然有了一个可庆幸的转机,那末回到家去,把你自己的儿子送到 新来的孩子这里来并且到这里来和我一同进餐(因为为了孩子之得以保全,我 打算向应当得到达种光荣的神奉献牺牲)。”

    (119)哈尔帕哥斯听了这话之后便向他拜了拜,然后回到家中;他非常高 兴地看到,他的违命对他竟成了一件有利的事情,而且他不单没有受到惩罚, 反而应约赴宴来庆祝这一幸运的事件。在他到家之后,他就把他的一个大约 十三岁的独生子叫了来,嘱咐他到宫中去,并按照阿司杜阿该斯所吩咐的一 切去做。然后,他满心欢喜地到妻子那里去,把经过的一切告诉了她。担阿 司杜阿该斯却在哈尔帕哥斯的儿子到来时把他杀死,把他的肢体割成碎块, 烤了其中的一些,又煮了一些。等这一切都弄好之后,便把它准备起来侍用。 在赴宴的时间哈尔帕哥斯来了,其他的客人也都来参加了宴会。在阿司 杜阿鼓斯和其他客人的面前摆的是大量的羊肉,但是在哈尔帕哥斯的桌上所 摆的都是他儿子的肉,不过他的儿子的头、手和脚却放在一边的篮子里用东 西盖着。当哈尔帕哥斯仿佛已经吃的了的时候,阿司杜阿该斯便问他是不是 中意他吃的菜。哈尔帕哥斯回答说他十分满意。于是那些要把装着他的儿子 的头和手脚的盖着的篮子带给他的人便到他面前来,叫他掀开篮子并把他所 喜欢的东西取出来。哈尔帕哥斯依照所吩咐的掀开了篮子,于是他便看到了 他的儿子身上所剩下的东西。然而,他看了之后并没有被吓住,也没有失去 自制力。在阿司杜阿该斯问他,他方才所吃的是什么兽类的肉的时候,他回 答说他知道并且说他对于国王所做的任何事情都是感到满意的。这样回答之 后,他便把吃剩下的肉块带回家中去了,我想他是打算把他儿子的全部遣骸 收集起来埋葬掉的。

    (120)阿司杜阿该斯便用这样的办法惩罚了哈尔帕哥斯。后来,在考虑到 如何处理居鲁士的问题时,他便把以前象我所说那样地解释了他的梦的玛哥 斯僧召了来,并且问他们如何解释他的梦。回答和先前并没有什么两样,他 们说如果这个孩子还活着而那时没死的话,他是一定会成为国王的。阿司杜 阿该斯于是对他们说:“这个孩子遇了救而且现在还活着,他在乡下的时候, 他那村里的孩子们要他做了国王,而他的所作所为就跟真正的国王的所作所 为完全一样。他分别任命他的亲卫队,他的哨兵,他的传奏官,他还任命其 他的官职而且象国王那样地统治。你们告诉我,你们以为这一切都是什么意 思?”玛哥斯僧回答说:“如果这个孩子还活看并且没有什么预谋而成了一 个国王的话,那末你就应当欢喜而不要为这个孩子担心害怕了。他是不会第 二次成为国王的。因为我们知道,在请示神托的时候预言常常表现为不重要 的小事情,而梦兆之类的东西是否全部应验其意义就更加微乎其微了”。阿 司杜阿该斯说:“玛哥斯僧啊,我的意思也正是这样,这孩子既然做了国王, 梦就算应验了,而我也就再没有什么怕他的了。不过仍请好好想一想并告诉 我怎样做对于我的全家和对于你们才是最安全的”。玛哥斯僧回答说:“国 王啊,我们也是非常关心你的王国的巩固的;不然的话,如果王国到了这个 孩子的手里,它就是到外国人手里了,因为他是一个波斯人:这样一来,我 们美地亚人就要受到奴役,被波斯人当作异族而肆意蔑视。但如果是你,我 们的同国人,当国王的时候,则国家的政权也有我们的一份,而且我们可以 从你那里得到很大的光荣。因此,我们无论如何也应当为你本身着想,为你 的王位着想。现时如果我们看到有什么使你害怕的理由,请放心,我们一定 会要你知道的。但是如今这梦既已经毫无害处地应验了,我们便已不再害怕, 因此我们也劝你不要再害怕了。至于这个孩子,我们的意见是不要他留在你 的面前,而把他送到波斯他的父母那里去。”

    (121)阿司杜阿该斯听到这个回答心中很是欢喜,于是便把居鲁士召了 来,向他说:“我的孩子,由于我做了一个没有什么关系的梦,而对你干下 了一件错事。但是由于你自己的幸运,你从我的手下活过来了,现在欢欢喜 喜地到波斯去吧,我还要派人护送你去。你到那里的时候,你就会看到你的 父母,他们和牧人米特拉达铁斯跟他的妻子是完全不一样的人。”

    (122)这样说了之后,阿司杜阿该斯便把他的外孙送走了。当居鲁士回到 刚比西斯的家里时,他受到了父母的接待。而等到他们知道居鲁士是谁的时 候,便十分亲切地欢迎他,因为他们以为很早以前他便在生下来的时候立刻 给杀掉了;于是他们就问他,他的性命是怎样得救的。因此居鲁士就告诉他 们说,直到目前为止关于这伴事他根本什么都不知道而是受到了很大的蒙 混;而在他从美地亚阿司杜阿该斯那里来的路上,他才知道了他的全部不幸 遭遇。他说他原来以为他是阿司杜阿该斯的牧人的儿子,但是在他从城里来 的路上,护卫他的人把一切经过告诉了他。随后,他又提到牧人的妻子抚养 他的事情,在谈话中,他对她是赞不绝口的。而且在他谈话的时候,他总是 提到库诺,什么事情也离不开库诺。他的父母听到这个名字,为了想使波斯 人相信居鲁士的得救是由于特别的神意,因此便把一个说法傅播开去,硬说 他在被抛弃之后,曾受到母狼的抚养。

    (123)以上便是这个传说的根源了。等后来居鲁士长大成人,并且成了同 辈当中最勇武和最有声望的人的时候,哈尔帕哥斯想对阿司杜阿该斯报复杀 子之仇,便开始向居鲁士致意并送礼。他看到象他这样地位的臣下是不可能 希望不借外力之助来向阿司杜阿该斯报仇的。因此当他看到不幸遭遇和自己 的遭遇很相似的居鲁士很快地成长为他所需要的复仇者的时候,他便着手设 法在这件事上和居鲁士结合起来。对于自己的计划,他竟然已经做了这样的 一些工作;他分别和受过阿司杜阿该斯的无礼待遇的美地亚权贵商议并说服 他们拥戴居鲁士为他们的领袖和贬黜阿司杜阿该斯。现在在作了发起叛乱的 一切准备之后,哈尔帕哥斯便很想把自己的心思告诉给还住在波斯的居鲁 士;但是由于美地亚和波斯之间的道路受到监视,他只得想这样一个秘密的 送信办法。他是这样做的:他巧妙地把一只兔子的肚子剖开却不拨去它的毛, 把一封写上了他的意见的信塞到里面去,再把腹部照旧缝上,然后他便把这 只兔子交给对他最忠实的奴隶,把他打扮成带着网的猎人。这个人奉派到波 斯去作为给居鲁士去送野兔。哈尔帕哥斯嘱咐这个奴隶亲口告诉居鲁士,要 居鲁士亲手剖开兔腹,不许别的任何人在场观看。

    (124)一切都按照他的意思办了。居鲁士把兔子剖开之后,便看到了里面 的信。信里面的话是这样:“刚比西斯的儿子,诸神对你是非常嘉护的,否 则的话,你就不会遇到你的那些幸运的事情了,现在是你自己可以对屠杀你 的凶手阿司杜阿该斯进行报复的时候了。要切道,如果依照他的意思你早已 经死了。由于诸神以及由于我的缘故,所以你到今天还活在世上。我想你早 就会知道他对你干下了什么事情,也早就会知道由于我没有把你弄死,把你 交给牧人而我自己在阿司杜阿该斯手中所遭到的惨祸。如果你听我的话,按 照我的话去做,现在阿司杜阿该斯统治下的全部帝国就会变成你的。说服波 斯人起来叛变,并率领着他们的大军来讨伐美地亚人罢。不拘阿司杜阿该斯 是任命我率领他的军队和你对抗,还是任命美地亚的其他知名之上,都是会 使你完全称心的。因为他们一出马就会叛离阿司杜阿该斯并投到你的一方面 来,从而试图把他的统治推翻。既然我们这方面一切都已准备好了,望你依 照我的劝说毫不踌躇地也动起来罢。”

    (125)居鲁士接到在这封信里传来的消息之后,便着手考虑如何能用最好 的办法说服波斯人起来造反。在他反复思考以后,认为下面的做法是最妥当 的。于是他便这样做了。他把他认为应当做的事情写在一卷纸上面,然后把 波斯人召集起来开了一个会,在会上他把纸卷打开诵读,阿司杜阿该斯任命 他为波斯人的将军。于是他说:“既然如此,波斯人啊,我命令你们每人都 去把自己的镰刀带来。”居鲁士便这样地发布了命令,至于波斯人,则他们 是由许多部落结合而成的。居鲁士召集来并说服使之叛离美地亚人的那些 人,是所有其他波斯人所依附的一些部落。他们是帕撒尔伽达伊人、玛拉普 伊欧伊人、玛斯庇欧伊人。在他们当中玛斯庇欧伊人最尊贵。阿凯美尼达伊 族就是它的一个氏族,而波斯的国王便都是从这个阿凯美尼达伊族出身的。 其他的波斯部落则有:潘提亚莱欧伊人、戴鲁希埃欧伊人、盖尔玛尼欧伊人, 他们都是务农的。达欧伊人、玛尔多伊人,多罗庇科伊人和撒伽尔提欧伊人 则是游牧者。

    (126)当全体波斯人遵照着他们所受到的命令,拿着镰刀集合起来的时 候,居官士(便率领他俩到波斯的一块大约十八到二十斯塔迪昂见方的、长满 了荆棘的土地上去),命令他们在一日之内把这块地方开垦出来。他们完成了 指定给他们的这个任务,随后他便向他们发出了第二道命令,要他们第二天 在沐浴之后再到他那里去;这时居鲁士便集合了他父亲所有的全部绵羊、山 羊,全部的牛,屠宰了它们,准备犒劳波斯全军。同时还准备了酒和最珍美 的食品。第二天,波斯人来到了,他就要他们坐在草地上尽情饮宴。在大家 吃完之后,他就问他们,他们最喜欢的是什么,是今天这佯的情况还是昨天 的事情。他们回答说二者的差别实在是大极了。昨天带给他们的一切都是痛 苦,但今天带给他们的一切又都是快乐。居鲁士立刻捉住了他们的回答而用 下面的话坦白地讲出了自己的心事:“各位波斯人啊,你们各位当前的情况 就是这样。如果你们愿意听我的话,那你们就可以享受这样的一些以及无数 其他的幸福,且丝毫不会遭受那些奴役之苦,但如果你们不肯听我的话,那 你们就要受到无数象昨天那样的苦役。因此,听我的吩咐而取得自由罢。至 于我个人,则我觉得我是因神意而生来干这件事情的,而你们,我相信,在 任何方面,当然也在军事方面,都是丝毫不比美地亚人差的。因此你们应当 毫不犹豫地起来反抗阿司杜阿该斯。”

    (127)波斯人早已经就不满意美地亚人的统治了,这时既然有了一个领 袖,他们当然是乐于摆脱这个桎梏的。这时阿司杜阿该斯听到了居鲁士的所 做所为,便派了一名使者召他到自己的地方来。居鲁士要使者告诉阿司杜阿 该斯说,他将要比阿司杜阿该斯所希望的时候更早地到那里去。阿司杜阿该 斯接到这个消息之后,即刻把他治下的全体美地亚人给武装起来,并且好象 是迷了心窍一样,他竟忘记了他多么残酷地惩罚过哈尔帕哥斯,而任命哈尔 帕哥斯担任统帅。因此当美地亚人和波斯人两军相会和交蜂之时,只有一部 分不曾参预机密的美地亚人作战了;其他的那些人则公开地投到波斯人一方 面去;而大部分的人则故作害怕的样子临阵脱逃了。

    (128)阿司杜阿该斯一听到美地亚的军队可耻地被驱散和逃跑之后,立刻 就威吓居鲁士说:“尽管如此,居鲁士也决不会就这样安然无事的”,紧接 着他便逮捕了劝说他把居鲁士放跑的、占梦的玛哥斯僧并把他们刺杀了。在 这之后,他便把留在城内的一切美地亚人不分老少一律武装起来。他率领他 们和波斯人交战,但结果他被打败,他率领出战的军队被歼灭,他本人也被 敌人俘虏了。

    (129)哈尔帕哥斯看到阿司杜阿该斯被俘,便来到他的面前,非常神气地 把他奚落嘲弄一番。在其他辛辣的嘲笑词句中间,他特剔提到他被款待以自 己的儿子的肉的那次宴会并且问阿司杜阿该斯、在做了国王之后再做奴隶时 心里是什么滋味。阿司杜阿该斯凝视着他,反问他为什么把居鲁士的这次戊 功看成是他自己的。哈尔帕哥斯说正是由于他送了这封密函,因此这件事当 然便是他的事业了。于是阿司杜阿该斯说,这样哈尔帕哥斯便成了世界上最 愚蠢和不义的人;他所以是最愚蠢的人,是因为他把本来是自己的王位给了 别人,如果这件事是他自己的事业的话;他所以是最不义的人,是因为由于 那次的宴会而奴役了美地亚人。原来假如他必须把王权给予另一个人而不是 留在自己手里的话,那末正义也要求一个美地亚人,而不是一个波斯人来取 得这种荣誉。然而现在,对你并未做任何亏心事的美地亚人却被你变为奴隶 而并未成为主人,但原来是奴隶的波斯人现在却成了美地亚人的主人。

    (130)这样,在统治了三十五年之后,阿司壮阿该斯就失掉了自己的王 位,而美地亚人便由于他的残酷而受到了波斯人的统治。哈律司河那一面的 亚细亚全部地区他们统治了一百二十八年(前六八七年到前五五九年,斯奇提亚人则从前六三四年统治到前六○六年),但斯奇提亚人的统治时期不应计标在内。后来美地亚人后悔他们的投降并起来反抗大流士(发生在前五二○年),但是他们被战败 而不得不再度屈服。可是现在,在阿司杜阿该斯当政的时期,是居鲁士统治之下的波斯人反抗美地亚人并从此变成了亚细亚的主人。居鲁士直到阿司杜 阿该斯死的时候,都把他留在自己的宫殿里,再没有对他有什么伤害。居鲁 士诞生和成长的情况以及他如何成为国王的经过便是如此。后来、他又打垮 了无端向他发动进攻的克洛伊索斯,这件事我已经在本书前面说过了。把克 洛伊索斯打垮以后、居鲁士就成了整个亚细亚的主人。

    (131)波斯人所遵守的风俗习惯,我所知道的是这样,他们不供养神像, 不修建神殿,不设立祭坛,他们认为搞这些名堂的人是愚蠢的。我想这是由 于他们和希腊人不同,他们不相信神和人是一样的。然而他们的习惯是到最 高的山峰上去,在那里向宙斯奉献牺牲,因为他们是把整个穹苍称为宙斯的。 他们同样地向太阳和月亮,向大地、向火、向水、向风奉献牺牲。这是他俩从古来就向之奉献牺牲的仅有的一些神。后来他们又崇拜乌拉尼阿·阿普洛 狄铁,这是他们从阿拉伯人和亚述人那里学来的。亚述人称这个女神为米利塔,阿拉伯人称之为阿利拉特,而波斯人则称之为米特拉。

    (132)波斯人是用下列的方式向以上所说的那些神奉献牺牲的:在奉献牺 牲的时候,他们不设祭坛,不点火,不灌奠,不吹笛,不用花彩,不供麦饼。 奉献牺牲的人把他的牲畜牵到一个洁净的场所,就在那里呼叫他要向之奉献 牺牲的那个神的名字。习惯上这个人要在头巾上戴一个大概是桃金娘的花 环。奉献牺牲的人不允许只给自己祈求福祉,他要为国王,为全体波斯人的 幸福祷告,因为他自己必然就在全体波斯人当中了。随后他把牺牲切成碎块, 而在把它们煮熟之后便把它们全部放到他能够找到的最新鲜柔软的草上面, 特别是草轴草。这一切办理停妥之后,便有一个玛哥斯僧前来歌唱一首赞美 诗,这首赞美诗据波斯人说,是详述诸神的源流的。除非有一个玛哥斯僧在 场,任何奏献牺牲的行为都是不合法的。过了一会儿之后,奉献者就可以把 牺牲的肉带走,随他怎样处理都可以了。

    (133)在一年的各天当中,他们最着重庆祝的是每个人的生日。他们认为 在这一天吃的饭应当比其他的日子更要丰盛些。比较有钱的波斯人要在爐灶 里烧烤整个的牛、马、骆驼或爐作为食品,较穷的人们则用较小的牲畜来替 代。他们的正菜不多,却在正菜之后有许多点心之类的东西,而且这类点心 又不是一次上来的。这就使得波斯人说,希腊人在吃完饭的时候仍然是饿着 的,因为在正莱之后并没有很多点心上来,但如果把什么点心之类的东西给 他们的时候,他们又会吃起来没有个完。他们非常喜欢酒并且有很大的酒量。 他们不许当着别人呕吐或是小便。在这些事上他们的习惯便是如此。 此外,他们通常都是在饮酒正酣的时候才谈论最重大的事件的。而在第 二天当他们酒醒的时候,他们聚议所在的那家的主人便把前夜所作的决定在 他们面前提出来;如果这个决定仍得到同意,他们就采用这个决定;如果不 同意,就把这个决定放到一旁。但他们在清醒的时候谈的事情,却总是在酒 酣时才重新加以考虑的。

    (134)如果他们在街上相遇的话,从下面的标帜人们可以知道相遇的两个 人的身分是相等的。即如果是身分相等的人,刚他们并不讲话,而是互相吻对方的嘴唇。如果其中的一人比另一人身分稍低,则是吻面颊:如果二人的 身分相差很大,则一方就要俯拜在另一方的面前。他们最尊重离他们最近的 民族,认为这个民族仅次于他们自己,离得稍远的则尊重的程度也就差些, 余此类推;离得越远,尊重的程度也就越差。这种看法的理由是,他们认为 他们自己在一切方面比所有其他的人都要优越得多,认为其他的人住得离他 们越近,也就越发优越。因此住得离他们最远的,也就一定是人类中最差的 了。在美地亚人的统治时期,在各民族当中一个民族便这样地统治另一个民 族,美地亚人则君临一切民族;他们统治他们边界上的民族,这些民族又统 治和他们相邻的人们,而这些人们再统治与他们接壤的民族。美地亚人这个 民族既然用这种循序浙进的统治和管理办法,那波斯人也便用同样的办法评价其他民族了(这大概是说,从属的民族住得越远,他们便越不直接受美地亚人的统治,波斯人则认为离帝国越远的臣民越没有价值;二者所根据的原则是一样的)

    (135) 象波斯人这样喜欢采纳外国风俗的人是没有的。他们穿美地亚人的 衣服,因为他们认为这种衣服比他们自己的衣服要漂亮;而在战时他们所穿 的又是埃及的铠甲。他们只要知道有任何奢华享乐的事情,他们立刻把它们 拿过来变成自己的东西。在其他各种各样的新鲜玩意儿当中,他们从希腊人那里学来了鸡奸。他们每个人不单单有好几个妻子,而且有更多数目的侍妾。

    (136) 子嗣繁多,在他们眼中看来乃是男性的仅次于勇武的一项最大美 德。每年国王都把礼物送给予嗣最多的那个人。因为他们认为人数就是力量。 他们的儿子在五岁到二十岁之间受到教育,他们教给他们的儿子的只有三件 事情:骑马、射箭和说老实话。孩子在五岁之前不能见到自己的父亲,而是 要和母亲生活在一起。这样做的原因是由于一旦这孩子不能养大,父亲不致 受到亡子的痛苦。

    (137)在我看来,这确乎是一项贤明的规定。而下面的一种规定也是值得 推荐的,即国王不能由于某人只犯了一个错误而把他处死,而任何一个波斯 人也不能用无法治疗的伤害来惩罚自己仆人的仅有的罪过。但如果在计算一 下之后而看到犯罪者的过错多于和大于他所做的好事情的时候,则主人是可 以惩罚他以泄愤的。波斯人认为还没有人曾经杀死过自己的父亲或是母亲。 而如果有这样的事情发生的话,他们就确信:一旦把这件事情弄清楚,就会 发现干了这样的事情的孩子不是假儿子就是私生子。因为他们认为,儿子杀 死自己的亲生父母,那是无法置信的事情。

    (138)而且,凡是他们认为不能做的事情,他们是绝对不许讲的。他们认 为说谎是世界上最不光彩的事情,其次就是负债了;他们对负债之所以抱着 这种看法,有其他多种的理由,特别是因为负债的人不得不说些谎话。如果 市民得了癞病或是白癞病(根据亚里士多德的说法,白癞病和一般癞病没有什么大的区别,就是症状轻一些),他就不许进城,也不许和其他的波斯人打交道。 他们认为他所以得癞病,是因为他一定有了冒犯太阳的罪行。外邦人若有得 了这样的病的,在许多地方必须被迫离开当地:甚至白鸽子得了同样的病也 要被逐出境。他们对河是非常尊重的:他们决不向河里小便、吐唾沫或是在 河里洗手,也不容许任何别的人这样做。

    (139)此外,还有一件事常常发生在波斯人中间,这件事波斯人自己虽不 曾注意到,然而我却观察到了。他们的名字凡是和他们的仪表与高贵的身分 相符合的,其末尾的那个字母都是一样的,这个字母多里斯人称为桑(ба γ),而伊奥尼亚人则称为西格玛(бιγμа)。任何人只要注意一下,就可 以发现波斯人的名字,不管是哪一个都毫无例外地是有着同样语尾的。

    (140)关于波斯人,从我个人的知识而能够完全确实断言的就是这些,还 有一些关于死者的风俗则是人们秘密地,而不是公开地谈论的。据说波斯人的尸体是只有在被狗或是禽类撕裂之后才埋葬的。玛哥斯僧有这种风俗那是 毫无疑问的,因为他们是必然实行这种风俗的。但我还可以确定,波斯人是 在尸体全身涂蜡之后才埋到地里面的。玛哥斯僧是非常特别的一种人、他们 在许多方面和埃及的祭司,当然也和其他任何人完全不同。除去当作牺牲的 畜类之外,埃及祭司不杀任何动物,这乃是他们的教规,否则即是亵凟神明; 但相反地,玛哥斯僧却亲手杀害除人和狗以外的任何生物。他们不管是蚂蚁, 是蛇,不管是爬虫类,还是有翅的东西一律加以杀害,甚至在这件事上引以 自豪。但既然这种风俗在他们那里一向如此,因此我说到这里也就够了。现 在我再翻回来把我以前说的事情接下去。

    (141)在波斯人征服了吕底亚人之后,伊奥尼亚和爱奥里斯的希腊人立刻 派遣使节到撒尔迪斯的居鲁士那里去,请求他以与克洛伊索斯相同的条伴接 受他们为自己的臣民。居鲁士倾听了他们的建议并且给他们讲了一个寓言作 为回答。他说,有一次一个吹笛的人在海边看到了鱼,于是他便对它们吹起 笛子来,以为这样它们就会到岸上他的地方来。但是当他最后发现自己的希 望落空的时候,他便撒下了一个网,而在合网之后打上了一大批鱼来;他看 到鱼在网里跳得很欢,就说:“我向你们吹笛子的时候,你们既然不出来跳, 现在你们也就最好不要再跳了”。居鲁士所以这样答复伊奥尼亚人和爱奥里 斯人,是因为当他派使者到他们那里去敦促他们背叛克洛伊索斯的时候,他 们拒绝了;但现在,当他已经大功告成的时候,他们却又来表示归顺之意。 他在回答他们的时候是很生气的。伊奥尼亚人听到这番话之后,就各自着手 防御自己的城壁,并在帕尼欧尼翁集会(参见第148节),而除了米利都入之外所有的人都参 加了这次的集会,因为米利都人和居鲁士缔结了一项单独条约,条件和他们 对吕底亚人的完全相同。其他的伊奥尼亚人则一致决定派遣使节到斯巴达去 请求援助。

    (142)现在,估居帕尼欧尼翁的这些伊奥尼亚人已在全世界我们所知道 的、气候和时令最优美的地区建立了自己的城市。因为在伊奥尼亚的周边的 任何地方,不管是北方、南方、东方还是西方,都不象伊奥尼亚那样地得天 独厚。在其他的地区,气候不是寒冷和阴湿,就是暑热和干燥,而使人烦恼 非常。伊奥尼亚人并非都说相同的语言,他们在不同的地方使用四种不同的 方言。在南方,他们的第一个城市是米利都(即最南方的城市之意——译者), 其次则是美乌斯和普里耶涅;这三个城市都是卡里亚的殖民市,他们所用的 是共通的语言。他们在吕底亚的城市是:以弗所、科洛彭、列别多斯、提奥 斯、克拉佐美纳伊、波凯亚等。这些城市的居民在语言上和上述的三个城市 是完全不同的,在他们之间使用着一种共同的方言。此外还有三个伊奥尼亚 的城市,其中的两个是在岛上,即萨摩司和岐奥斯,一个是在大陆上即埃律 特莱亚。岐奥斯人和埃律特莱亚人所讲的话是相似的,然而萨摩司人所讲的 却是自己所特有的话而和别人的不同。这样看来,我所提到的方言便有四种 之多了。

    (143)因此在这些伊奥尼亚人当中,有一个民族即米利都人是没有受攻的 危险的,因为他们已经和居鲁士缔结了协定。岛上的居民也完全没有可以顾 虑的事情:这是由于腓尼基人还没有臣服于波斯,而波斯人本身又不是一个 海上的民族。亚细亚的伊奥尼亚人之和其余的伊奥尼亚人分离开来只能有一个原因那就是,当时整个希腊族是十分弱小的,而伊奥尼亚人在所有他们希 腊人当中,又是相去悬殊地最弱,最不受重视的。他们除去雅典之外,没有 一座比较象样的城市。因之雅典人和其他地方的伊奥尼亚人挪不喜欢被人称 为伊奥尼亚人,而是迴避这个名称,不,甚至现在,他们的大部分人在我看 来还是耻于用这个名称的。但是,上面所提到的亚细亚的十二个城市却给这 个名称增添了光彩,他们给自己建造了一座圣堂,称之为帕尼欧尼翁,他们 还规定不许任何其他地方的伊奥尼亚人利用这座圣堂(但实际上,除去士麦拿人之外,也没有人要求进入这个圣堂)。

    (144)同样,现在被称为“五城”,担以前被称为“六城”的地区的多里 斯人也不许与他们相邻的多里斯人进入他们的特里欧庇昂圣堂。他们甚至不 许他们内部在圣堂的规章方面有所违犯的人进入圣堂。在古昔为特里欧庇 昂·阿波罗举行的运动会中,他们给予优胜者的奖品是青铜的三脚架;但是 他们规定这些三脚架不能拿出圣堂之外,而当时就要把它们在那里奉献给 神。但是,哈利卡尔那索斯地方一个叫做阿伽西克列斯的男子在比赛获胜时 却公然不把这个规定放在眼里,他把三脚架带回了自己的家,挂在墙壁上面。 为了惩罚这个过错,其他的五个城市休多斯、雅律索斯、卡米洛斯、科斯和 克尼多斯剥夺了第六个城市哈利卡尔那索斯进入圣堂的权利。这便是他们对 哈利卡尔那索斯的惩罚。 (145)伊奥尼亚人在亚细亚只建立了十二座城市并拒绝再扩大这个数 目,这原因在我看来是当他们居住在伯罗奔尼撒的时候,他们是分成十二部 分的,正如同把伊奥尼亚人逐出的阿凯亚人今天的情况一样。在阿凯亚的城 市当中,如果从希巨昂算起的话,第一是佩列涅,其次是埃伊盖拉和在流着 无尽的水并且使意大利的克拉提斯河因而得名的竞拉提斯河河上的埃伊伽 埃,以次是布拉、伊奥尼亚人被阿凯亚人战败时逃避所在的赫利凯,再次是 埃吉翁、律佩斯、帕特列斯、帕列埃斯、临着巨大的佩洛斯河的欧列诺斯、 杜美和特里泰埃斯。最后的这个城市是仅有的一个内地城市。

    (146)这便是以前伊奥尼亚的,而现在阿凯亚的十二部分。正是由于他们 是从这样区分的国土来的而不是有什么别的原因,所以伊奥尼亚人在到达亚 细亚之后,便在他们中间也建设了十二个城市。如果认为这些人是比其他伊 奥尼亚人更纯正的伊奥尼亚人,或是认为他们不管在任何方面比其他伊奥尼 亚入有着更高贵的血统,那就太愚蠢了,因为实际上他们的一个不小的部分 是埃岛波亚出身的阿邦铁斯人,这些人甚至在名字上和伊奥尼亚人都是风马 牛不相及的;此外和他们混血的有欧尔科美尼奥伊的米尼埃伊人、卡德谟司 人、德律欧普司人、从本国分裂出来的波奇司人、莫洛西亚人、阿尔卡地亚 的佩拉司吉人、埃庇道洛斯的多里斯人以及其他许多别的部落。甚至在他们 中间,那些从雅典的普利塔内翁(市会堂——译者)来并自认是最纯正的伊奥 尼亚人的人们,也不把妻子带到新的地方而是娶父亲被他们处死的卡里亚的 妇女。因此之故,这些女子发誓遵守一条规定,并且把这条规定传给自己的 女儿,即她们决不和自己的丈夫一同吃饭,也不称呼他们的名字,因为这些 人是屠杀了她们的父亲、丈夫和儿子之后强行娶了她们的。这样的事件发生 在米利都。

    (147)他们之中有一些人选身为希波洛科斯的儿子格劳柯斯的子孙的昌 奇亚人作国王,有一些人选身为美兰托斯的儿子科德洛斯的后裔的、披洛斯 的考寇涅斯人作国王,又有一些人选这两方的人作国王。然而由于这些伊奥 尼亚人比其他任何伊奥尼亚人都重视自己的名字,因此我们不妨说,他们是 血统纯正的伊奥尼亚人。虽然,老实讲,所有的伊奥尼亚人都是起源于雅典的,都是举行阿帕图利亚祭的(在雅典和大多数伊足尼亚的城市中每一胞族((patpla)的成员们,在十月末和十一月初这个时期里举行的祭典,每次继续三天。在最后一天里,正式接受成年的青年为胞族的成员)。这是全体伊奥尼亚人都庆祝的一个祭日,只有以弗所人和科洛彭人是例外,据他们说,是因为这些人犯了某种杀人罪的 缘故。

    (148)帕尼欧尼翁是北向的一个米卡列的圣地,这块地方是伊奥尼亚人共 同选定来呈献给赫利凯的波赛东的。米卡列是大陆的一个地岬,它向西方伸 到萨摩司方面,备城邦的伊奥尼亚人通常都在那里集合,举行称为帕尼欧尼 亚的祝祭。不单是在伊奥尼亚人中间,就是在全体希腊人中间,祭日的名称, 和波斯人的名字一样,都是以同一字母为结尾的(这句话可能是后人的注搀入正文的)

    (149)上面所说的是伊奥尼亚人的城邦。爱奥里勘的城邦则有下列这些: 也称为普里科尼斯的库麦、雷里撒伊、涅翁·提科斯、铁姆诺斯、启拉、诺 提昂、埃吉洛埃撒、疵塔涅、埃伊盖伊埃、米利纳和古里涅阿。这是爱奥里 斯人的十一座古老的城市。其实他们在大陆上本来是有十二座城市的。然而 伊奥尼亚人却使他们失掉了其中的士麦拿这样一座城市。爱奥里斯的土壤比 伊奥尼亚的土壤肥沃,然而气候却不象伊奥尼亚那样好。

    (150)爱奥里斯人失掉士麦拿的经过是这样。在科洛彭有一些人在内部斗 手中失败并被从自己的城市给放逐出来了,但是士麦拿却收容了这样的一些 人。科洛彭的这些亡命者伺机发动变乱,而在不久之后士麦拿的人们到城外 去庆祝狄奥尼索斯祭的时候,便关上了城门,因而取得了这个城市。别的城 邦的全部爱奥里斯人都来帮他们的忙,结果双方取得了协议,伊奥尼亚人同 意送回一切的财物而爱奥里斯人则放弃了士麦拿这个地方。被逐出的士麦拿 人则给分配到爱奥里斯人的其他十一个城邦中去,他们在各城邦中都取得了 公民权。

    (151)因此,这就是大陆上的全部爱奥里斯城邦,例外的只有在伊达山中 的人们,他们是和这些人分开的。至于在岛屿上的城邦,则在列斯波司岛上 有五个城邦(列斯波司岛上的第六个城邦是阿里斯巴,但是这个城邦被与他们 同血统的美图姆那人所占领而该城的居民也就被变成了奴隶)。提涅多斯岛上 有一个城邦,另外还有一个城邦是在“百岛”群岛(列斯波司岛和大陆之间的一群小岛)上面。列斯波司和提涅多 斯的爱奥里斯人和伊奥尼亚的岛上居民一样,这时并没有任何可以害怕的东 西。而其他的爱奥里斯人则在他们集会商讨的时候,却总是盲从伊奥尼亚人 的任何意图的。

    (152)在伊奥尼亚人和爱奥里斯人的使看到达斯巴达的时候(他们是不分 昼夜兼程赶路的),他们便推选了一个叫做佩铁尔谟斯的波奇司人作为他们的 发言人。为了使尽可能多的斯巴达人聚拢来听他讲话,他穿上了一件紫色的 外袍,然后就站起来对他们发表了一篇长长的演说,向他们要求对己方的援 助。但是拉凯戴孟人并不听他们的话,他们竟决定不给伊奥尼亚人以任何援 助。因此使者们只好回去,可是拉凯戴孟人这一方面,他们虽然回绝了伊奥 尼亚人派来的使者,却派出了一艘五十橈船;他们所以这样做,我认为是想看一看居鲁士和伊奥尼亚的动静。这些人在到达波凯亚之后,便把他们中间 最有名望的一个叫做拉克利涅斯的人派到撒尔迪斯去代表拉凯戴孟人告诉居 鲁士说,不要触动任何希腊的城邦,否则他们是决不会袖手旁观的。

    (153)在听到使者的这番话的时候,据说居鲁士曾打听在他身旁的那些希 腊人,对他发出这样的通知的拉凯戴孟人是怎样的人,他们的人数又有多少。 当他听完了回答之后,他便向斯巴达的使者说:“我从来没有害怕过这样的 一些人:他们在城市的中央设置一块地方,大家集合到这块地方来互相发誓, 却又互相欺骗。如果我好好地活着而不死掉的话,那末我相信这些人将会谈 论他们自己的灾难,而不必再多管伊奥尼亚人的事情了”。居鲁士讲这番话 的目的,是要能全体希腊人看一看他的颜色,因为他们自己有用来进行买卖 的市集,但波斯人却没有这样的习惯,波斯人从来不在公开的市堤上进行买 卖,而全国实际上也没有一个市堤。在这次会见之后不久,居鲁士就离开了 撒尔迪斯,把这个城市委托给一个名叫塔巴罗斯的波斯人,又任命一个当地 的吕底亚人帕克杜耶斯来保管属于克洛伊索斯和其他吕底亚人的黄金财富, 而他自己则带着克洛伊索斯到阿格巴塔拿去,起初并没有把伊奥尼亚人放到 自己的眼里。原来,他近旁有巴比伦阻碍着他,巴克妥利亚人、撒卡依人和 埃及人对他来说也是这样。因此他打算亲自去征讨这些民族,而把征服伊奥 尼亚人的事情委托给他的一个将军去做了。

    (154)居鲁士刚刚离开撒尔迪斯,帕克杜耶斯立刻便鼓动吕底亚人公然起 来叛变他和他的代表塔巴罗斯。他既然取得了撒尔迪斯的全部黄金财富,于 是他便到海岸地带去,用这巨量的财富雇佣了军队并说服海边的居民参加他 的军队。随后他便向撒尔迪斯进军,围攻塔巴罗斯并把他困在卫城里。

    (155)居鲁士在到阿格巴塔拿去的途中听到了这个消息,于是他对克洛伊 索斯说:“克洛伊索斯,我应当如何处理这件事情呢?好象这些吕底亚人根 本不想停止给他俩自己以及给我惹麻烦。我以为最好是把他们都变卖为奴 隶。我想目前我的做法就仿佛是一个人杀死了父亲却又留了孩子们的活命。 完全同样的,你在吕底亚人看来是比父亲更重要的人物,但是我捉住了你并 把你带在身边,却又把吕底亚人的城市委托给他们自己。因此对于他们之竟 然谋叛,我着实感到十分惊讶!”居鲁士向克洛伊索斯说出了自己心中的话, 但是克洛伊索斯深恐居鲁士会把撒尔迪斯城变为一片费墟,因而回答说: “哦,国王啊,你的话是很有道理的。但是我恳求你,不要使你的怨气一发 而不可收拾,也不要想摧毁对过去和现在都是无辜的古城吧。过去的事件我 是罪魁,故而现在我本人理应担起这贖罪的惩罚。另一次的罪魁是你曾委托 以撒尔迪斯的帕克杜耶斯,因此还是让他个人承当这次的惩罚吧。让吕底亚 人得到竟恕吧。为了保证他们永远不会再叛变你或是威胁到你的安全,我着 可以派人去这样命令他们,不许他们保存任何武器,要他们在外衣下面穿紧 身衣,下身要穿半长筒靴子并且耍他们教他们的孩子弹奏七弦琴和竖琴以及 经营小买卖。这样,哦,国王啊,不久你就会看到他们不再是男子而成了女 子,那时你再也不必害怕他们会叛变你了。”

    (156)克洛伊索斯认为甚至这样对于吕底亚人来说。也比被卖为奴隶要 好,因此他对居鲁士作了如上的忠舍。因为他知道,除非他提出有理由而值 得充分考虑的建议来,他是不能说服居鲁士使他改变主意的。而且他还害怕, 即使吕底亚人免了当前的危险,他们将来难保不再起来反抗波斯人从而给自 己带来灭身之祸。居鲁士听了这个意见之后心中甚是欢喜,于是他缓和了气 愤情绪并表示愿意按照克洛伊索斯所说的办法去做。因此,他便把一个叫做 玛札列斯的美地亚人召了来,耍这个美地亚人根据克洛伊索斯所谈的那些条 件向吕底亚人颁布命令;随后又命令他把随同吕底亚人一道攻打撒尔迪斯的 其他人等都卖为奴隶,特别是命令他不管用什么办法必须在这回时把帕克杜 耶斯活着带到自己的面前来。

    (157)在途中发布了这些命令以后,居鲁士就向着波斯的领士进军了。帕 克杜耶斯听到征讨自己的军队业已开近的消息之后,便吓得逃到库麦去了。 因此,美地亚人玛札列斯率领着居鲁士的一部分军队到达撒尔迪斯,而发现 帕克杜耶斯和他的军队已经逃走时,伦首先就迫使吕底亚人实行他的主人居 鲁士的命令;这样,由于他的命令,从那时起他们也便改变了他们的全部生 活方式。随后,他就把使者派到库麦去,要求库麦当局把帕克杜那斯引波过 来。于是摩麦人便决定胶人到布朗奇达伊去请示神的意见。布朗奇达伊是在 米利都的领域之内,在帕诺尔摩斯港的上方。那里有一个自古老的时期修建 起来的神托所,而时奥尼亚人和爱奥尼亚人都是经常到那里去请示神托的。

    (158)故而库麦人便把他们的使者派到布朗奇达伊这里来请示神意。来问 一下在帕克杜耶斯这伴事上应当如何处理才最得神的欢心。神托回答他们, 要他们一定把他交到波斯人的手里去。使者带着这个回答回来之后,库麦的 人民因此也就准备把他引渡出去了:然而正当他们的多救人准备这样做的时 候,海拉克利戴斯的儿子阿里司托狄科斯,一个在市民中间声誉很高的人物, 却出来阻碍摩麦人这样做。他说他不相信这个回答,并且认为请示神托的使 者的报告是不正确的。直到最后,一个有阿里司托狄科斯本人参加的使团再 一衣被派出去,向神请示有关帕克杜耶斯的事情。

    (159)在他们到达布朗奇达伊的时候,由阿里司托狄科斯代表全体使团向 神托问话,他说:“哦,神啊,吕底亚人帕克杜耶斯由于有横死在波斯人手 中的危险而逃避到我们这里来,可是他们却要求我们把他引波过去,而命分 库麦人把他交出来。然而我们尽管很害怕波斯人的权势,在我们还不能确实 知道你的意思是耍我们如何做的时候,我们是不敢引渡请求我们保护的这个 人的”。阿里司托伙科斯这样问了,但是受到请示的神托给了和先前一样的 回答。神托命令他们把帕克杜耶斯引渡给波斯人。于是阿里司托狄科斯便故 意按照他早已打算好的做法行事;他绕行圣堂一周,把那里的麻雀和栖息在 圣堂四周的所有其他鸟类的窠全都拿走。当他正在这样做的时候,据说从内 堂发出了呼叫声,而对阿里司托狄科斯这样说:“你这最不敬神的人啊,你 怎么竟敢这样做?你要把代所保护的鸟类从圣堂劫走么?”阿里司托狄科斯 立刻应声回答说:“哦,神啊,你这样挽救你自己所保护的东西,却命令库 麦人放弃他们的被保护人么?”于是神又回答说:“是的,我是这样吩咐他 们的,而由于你的不敬,你很快地便会死去,再也不会到我这里来请示关于 引渡被保护人的神托了”。

    (160)接到了这个回答以后,库麦人既不愿意为了引渡他而使自己有遭到 毁灭的危险,又害怕因继续收留他而受到围攻,于是便把帕克杜耶斯送到米 提列奈去。玛札列斯知道这件事之后,又派人到米提列奈那里夫向他们要求 引渡帕克杜耶斯、米提列亲人准备把他交出来,但是要求一些报酬。我不能 确实说出这笔报酬的数目有多少,因为这笔交易结果并未实现。而当库麦人 听到米提列奈人要怎样做的时候,便派一只船到列斯波司去,把帕克杜耶斯 载运到岐奥斯去。帕克杜耶斯便是从那里被交出去的。岐奥斯人把他从雅典 娜·波里鸟科司(护城的雅典娜——译者)的神殿中拖了出来,将他交付给波 斯人了。引渡的代价是得到了阿塔尔涅鸟斯这块地方,这块地方是属于美西 亚的,和列司波斯相对峙。这样帕克杜耶斯便落到追索他的人们的手里,他 们把他监视起来,以便把他带到居鲁士那里去。在这之后很长的一段时期中 间,没有任何一个岐奥斯人用阿塔尔涅岛斯出产的大麦粉奉献给任何神,也 不用生产在那里的作物制造上供的糕饼,而当地生产的一切都不用来当作供 物的。

    (161)在玛札列斯从岐奥斯人手中得到了帕克杜耶斯以后,立刻便率领军 队去讨伐参加围攻塔巴罗斯的那些人,首先他攻克了普里耶涅并把这个地方 的居足卖为奴隶,随后他又蹂躏了整个迈安德罗司平原以及玛格涅希亚地 区,任凭他的士兵对以上的地方进行劫掠。然而,很快地他便病死了。

    (162)在他死后,哈尔帕哥斯便被派来接替他的统帅任务。他也是美地亚 人,这个人曾被美地亚的国王阿司杜阿该斯召来参加极不合乎人道的宴会, 并曾帮助居鲁士登上国王的宝座。他受居鲁士之命担任了司令官的职位。在 他一进入伊奥尼亚的时候,便用构筑土丘的办法攻略了若干城邦。在他进行 围攻的时候,先把敌人逼人城内,然后再沿着城墙构筑土丘而攻克城池。

    (163)他所攻略的伊奥尼亚城邦第一个是波凯亚。在希腊人当中波凯亚人 是最初进行远洋航行的人,他们又是发现了亚得里亚海、第勒塞尼亚、伊伯 利亚和塔尔提索斯城的人。他们在航行时所用的船只不是圆形的商船而是五 十棱船。在他们到达塔尔提索斯的时候、培尔提索斯的一个名叫阿尔甘托尼 欧斯的国王和他们做了朋友。这个国王在塔尔提索斯统治了八十年而他一直 活了一百二十岁。他和波凯亚人变成这样亲密的朋友,以致他在开头的时候 竟请求他们离开伊奥尼亚而随便移住到他国内的什土地方来。后来,他发现 他并不能说服他们同意这一点,又听到他们说美地亚人的势力如何强大起 来,他便给他们金钱在他们城邦的周边构筑城墙。他给钱的时候实在是毫不 吝惜的。因为城周长达许多斯塔迪昂,而城墙完全是由砌合得很好的大石筑 成的。

    (164)波凯亚人的地墙就这样地全部修筑起来了。哈尔帕哥斯率领军队前 来进攻波凯亚人,包围了他们的城;但是他向他们提出建议说,如果他们只 毁掉城上的一座程堡,并献出一所住宅来,他便满足了。但是波凯亚人非常 不愿意受到奴役,于是他们便请求给以一天的时间来仔细考虑如何答复,并 且请求哈尔帕哥斯在他们商议的这一天里把兵撤离城墙。哈尔帕哥斯回答他 们说他很晓得他们打算如何做;虽然如此,他仍然准许了他们的请求。因此 哈尔帕哥斯的军队撤退下来了,而这时波凯亚人便把他们那只五十橈的大船 放下了水,把他们的妇女和小孩,以及他们的全部财物器具,此。外还把从 神殿搬出来的神象,把石制或青铜制品以及绘画之外的一切供物都搬上了 船。随后他们自己也上了船,放海驶到岐奥斯去了。等波斯人回来的时候, 他们所占领的只不过是一座空城罢了。

    (165)波凯亚人到达岐奥斯之后,便设法够置称为欧伊努赛(位于岐奥斯和大陆之间)的一些岛 屿,但是岐奥斯人不肯卖,因为他们害怕波凯亚人会在那里设立市场,从而 本国的商人便被排斥到当地的海上贸易之外去。波凯亚人在这里既然遭到拒 绝,便到库尔诺斯(今科西嘉岛)去:在那里,他们遵照着二十年之前神托的意旨建立了一 个称为阿拉里亚的城邦。阿尔甘托尼欧斯在这时已经死了。可是,在出发到 这个地方之前,他们再一次先返回波凯亚,而把奉哈尔帕哥斯之命留驻在那 里的波斯卫戍部队完全杀死,在这之后,他们又狠狠地诅咒了不和他们一齐 乘船撒退而是可耻地留下的人。此外,他们还把灼热的铁块投入海中,发誓 说除非这铁块重新出现于海面,他们决不返回波凯亚。但是当他们准备航行 到库尔诺斯去的时候,一半以上的市民是这样地感到哀愁,是这样地怀念他 们的城邦和他们的故国生活,他们竟然违背了誓言而迈回了波凯亚。那些遵 守誓言的人则从欧伊努赛岛揭帆出海了。

    (166)当他们到达库尔诺斯的时候,他们五年间和先来的人们在一起生活 并且在那里修建了神殿。然而在这期间,他们却不断掠夺和蹂躏他们的所有 的邻人,因此最后第勒塞尼亚人和迦太基人不得不联合起来反对他们,而各 派出一支由六十只船组成的猛队去攻打他们的城市。波凯亚人这方面也把他 们所有的六十只船装备起来,在称为陆地尼亚海的海面上与敌人会阵。在双 方接战之后,波凯亚人胜了,然而他们的胜利只是一种卡德美亚的胜利(结果两败俱伤的胜利)。因 为他们在战斗中损失了四十只船,而剩下的二十只在战斗之后,船头的部分 已扭曲得不成样子,无法使用了。因此波凯亚人便驶回阿拉里亚,把他们的 妇女、儿童以及他们的船所装得下的一切财物载运上船,驶离库尔诺斯而到 列吉昂去了。

    (167)迦太基人和第勒塞尼亚人得到了被破坏的四十只船上的人员的大 部分,他们在战斗之后把这些俘虏引下了船,使用石头把他们给砸死了。后 来,阿吉拉地区的棉羊、驮兽,甚或是人,凡是经过被砸死的波凯亚人所在 的地方的,他们不是身体扭曲得不象样子,不是成了跛子,就是变得半身不 遂。因此阿吉拉的居民便派人到戴尔波伊去请示神托,问神如何能赎他们的 罪业。佩提亚的回答是要他们执行阿吉拉人到今天还举行的仪式:给波凯亚 人的死者举行隆重的祭仪,举办盛大的运动会和赛马会。波凯亚人中间被俘 的这一部分所遭到的命运便是如此。逃到列吉昂去的那些波凯亚人,他们又 从那里离开而取得了欧伊诺特里亚地区的一个称为叙埃雷的城市。他们之所 以殆民于这个城市,是因为他们从一个波西多尼亚的人那里听说,佩提亚的 神托要他们建设库尔诺斯这件事的意思并不是要他们在库尔诺斯鸟上建立一 座城市,而是要修造一座神殿来奉祀英雄库尔诺斯。关于伊奥尼亚的波凯亚 人的事情就是这样了。

    (168)提奥斯人的所作所为和他们差不多是同样的:当哈尔帕哥斯修筑土丘来攻略城塞的时候,他们也都全部乘上了船,驶往色雷斯。他们在那里建 立了阿布戴拉城。克拉佐美纳伊人提美西奥斯以前曾建了这座城,但是他并 没有得到什么好处,就给色雷斯人赶了出来。不过今天在阿布戴拉住的提奥 斯人却仍然是把他当作英雄来崇拜的。

    (169)在所有伊臭尼亚中间,只有这两个城邦,不甘愿渝为奴隶而离开了 他们的故土。其他的伊奥尼亚人,除去米利都人之外,和逃离故土的那些人 同样英勇地抵抗了哈尔帕哥斯并且为了备自的城邦立下了许多战斗的功业, 但是他们相继地失败了:他们的城池被攻克,居民投降而各自留居在他们原来居住的城市,任凭他们的新主人的摆布。正象我已经说过的,米利都曾和 居鲁士本人缔结了协议,因而得以安宁无事。这样爱奥尼亚便再度遭到了奴役:而当哈尔帕哥斯征服了大陆上的爱奥尼亚人的时候,岛上的爱奥尼亚人害怕受到同样的厄运,因此也就投降居鲁士了。

    (170)正为伊奥尼亚人虽然陷于悲惨的境地,但他们仍然和往常一样在帕 尼欧尼翁举行集会的时候,我听说普里耶涅人比亚斯曾向伊奥尼亚人提出了 一个极其有益的意见,而他们如果采纳这个意见,就可以使伊奥尼亚人成为 希腊人中最幸福繁荣的人。原来他劝告他们一致团结起来,一同出海到隆地 尼亚去,并在那里建立一个全伊奥尼亚人的城邦。这样一来,他们就可以避 免遭受奴役并达到巨大的繁荣,因为他们已经掌握了世界上最大的岛并且统 治了其他的人们;但如果他们仍旧留在伊奥尼亚,他认为他看不出有什么重 新获得失去的自由的希望。普里耶涅人比亚斯在伊奥尼亚人衰落之后向他们 提出的意见便是这样。但是在他们遭受灾难之前,一个米和都人、又和腓尼 基人有血统关系的人物泰利士曾向他们提出了另一个有益的意见。他劝告他 们建立一个共同的政府并以提奥斯作为这个政府的所在地(因为它在伊奥尼 亚的中心):而其他的各城邦则仍然按照往常的方式生活,就仿佛它们是郡区 一样。

    (171)这些人向他们所提供的意见就是这样。哈尔帕哥斯在征服了伊奥尼 亚人之后,便迫使伊奥尼亚人和爱奥里斯人参加他的军队,一同去攻打卡里 亚人、卡乌诺斯人、吕奇亚人。在上面所说的各族人当中,卡里亚人是从岛 屿上到大陆上来的一个民族。在古昔的时代,他们是国王米诺斯的臣下,他 们当时被称为列列该斯人,居住在岛屿上面。在据我所知道的最遥远的时代, 他们从没有义务对任何人纳贡,只是在国王米诺斯需要的时候,供给他的船 只以乘务人员。因此,既然米诺斯是一个征服了许多土地并且是一个在战争 中经常取得战功的国王,卡里亚人在他的统治时代,是远比其他一切民族要 著名的民族。他们还发明了三样东西,而希腊人就从他们这里学会了使用这 三样东西;他们首先懂得把羽冠套到头盔上面,他们把纹章加到盾牌上面, 他们还发明把把手加到盾牌上面去。原来在这以前的时候,盾牌是没有把手 的,持盾的人只得用一条度带,再把它套在脖颈上从左肩的地方挂下来。在 米诺斯之后很长一个时候,卡里亚人被伊奥尼亚人和多里斯人逐出了海岛, 于是便定居在大陆上了。上面是克里地人关于卡里亚人的说法,但是卡里亚 人本身却不同意这个说法,他们认为他们向来就住在大陆上他们现在所住的 地方,而已他们也从来没有过和他们现在不同的名字。为了证明这一点,他 们指出了美拉撒地方十里亚·宙斯的一座古老的神殿;美西亚人和吕底亚人 是卡里亚人的同胞民族,故而有权利进入这座神殿,因为他们说吕多斯和缪 索斯是卡尔的兄弟;但是属于其他民族的人们,虽然他们也使用卡里亚的语, 言,却是不许进入这座神殿的。

    (172)卡乌诺斯人在我看来乃是当地的土著,但是他们自己却说是从克里 地来的。就语言而论,是卡乌诺斯人的语言和卡里亚人的语言相似,还是卡 里亚人的语言和卡鸟诺斯人的语言相似,这一点我不能确实断定。然而在风 俗习惯上面,他们和卡里亚人相差很远,而且是和所有其他的人相差都很远。 他们认为不分男女老幼,只要他们是好友或年龄相当而集会起来饮宴,这便 是人生最快意的事情。他们先前是对某些外国的神也崇拜的,但有一次不知 怎的他们却改变了主意,(只崇拜他们自己祖先的神了)。于是全体壮年的卡 乌诺斯男子便武装起来开到了和卡林达人接壤的地方;他们用枪向空中刺, 这样,他们说,就把外国的神给赶出去了。

    (173)他们所做的事情就是这个样子的。吕寄亚人从古以来便是出身克里 地的(因为这个岛在先前完圣是异邦人住着的)。欧罗巴的两个儿子撒尔佩东 和米诺斯二人为了王位而在克里地展开了斗争,米诺斯的一派在相互的倾轧 中占了优势,于是他便把撒尔佩东和他的一党给放逐出去了。被放逐的人们 渡海到亚细亚去,在米律阿斯的地方登了陆。米律阿斯是吕奇亚人今天所住 的地方的古名:今天的米津阿斯人在那时则被称为索律摩伊人,在撒尔佩东 统治他们的时候,他的一派仍旧保留着他们从克里地那里带过来的名字而叫 做铁尔米莱人,而吕奇亚人直到今天江是被他们邻近的人这样称呼的。但是 被自己的兄弟埃盖扁斯从雅典驱出的吕科斯,那潘迪昂的儿子,在这些铁尔 米莱人的土地上撒尔佩东的地方找到托庇场所之后,他们便渐渐地由于吕科 斯的缘故而被称为吕奇亚人了。他们的风俗习惯,一部分是克里地人的,一 部分是卡里亚人的,但是他们却有一个和世界上任何民族都不相同的风俗。 那就是:他们不是从父方,而是从母方取得自己的名字。如果旁边一个人问 一个吕奇亚人他是谁的话,他就会说他是自己的母亲某某人的儿子,这样接 着母系推上去。而且,即使一个有充分公民权的自由妇女和一个奴隶结婚的 话,他们的孩子也还是有充分公民权的。但如果一个有充分公民权的自由男 子和一个异邦妇女桔婚或者是与一个异邦的妾同居的话,即使他是国内的首 要人物,他们的孩子也是没有任何公民权的。

    (174)可是,卡里亚人在这些民族中间,直到被哈尔帕哥斯征服的时候, 并没有做出任何突出的业绩来。而居住在卡里亚的其他希腊人也没有做出什 么值得一提的事情。在他们中间有克尼多斯人,这些人是从斯已达来的移民, 他们占居着临海的一块叫做特里欧庇昂的地岬。这个地方和布巴索斯半岛相 接;而且除了一小部分的领土之外,全部克尼多斯都是给海包围起来的(在北 面是凯拉摩斯海,在南面则是叙美岛和罗德斯岛方面的海域)。因而正当哈尔 帕哥斯征服伊奥尼亚的时候,克尼多斯人为了把自己的领土变成一个岛,就 打算通过这一小块两海之间竟度大约有五斯塔迪昂的地方掘一道沟。这样, 他们便使他们的全部领土划到地岬这面来了,因为克尼多斯的领地和大陆之 间的界限就正是在他们所掘的那个地岬上面的。许多的克尼多斯人参加了这 项工作。可是参加这项工作的人们受伤的数目多于平时而且受伤的方式也很 奇怪,郑就是给石头崩坏了眼睛的人特别多。于是克足多斯人便派入到戴尔 波伊去请示,是什么阻碍他们这样做。他们自己说,他们从佩提亚那里得到 了用三步格的诗宣托出来的如下的回答: 既不要给地峡修墙,也不要给它掘沟; 如果宙斯愿意的话,他早就会使它成岛屿了。 因此克尼多斯人便停止掘沟,而当哈尔帕哥斯率领大军前来的时候,他 们便丝毫不加抵抗地投降他了。

    (175)在哈利卡尔那索斯的上方离海岸更远的地方,住着佩达撒人。每当 这个民族本身或是他们的邻人要遭遇到不幸的事件的时候,雅典娜神的女司 祭就会长出一大把胡须来。他们曾三次遇到这样的朕兆。在卡里亚一带的全 体居民中,只有他们对哈尔帕哥斯还作了暂时的抵抗,他们在一个名为里戴 的山上构筑堡垒加以坚守,给波斯人增添了极大的烦恼。

    (176)但是,久而入之佩达撒人的要塞修于也不得不投降了。而当哈尔帕 哥斯率领大军进入克桑托斯平原的时候,那里的吕奇亚人便出来在平原上与 他交锋;虽然双方的人力众寡悬殊,但他们还是进行了非常英勇的战斗并立 下了不少战勋。等到他们终于支持不住而不得不退入城内的时候,他们便把 他们的妻子儿女,他们的全部财物和他们的奴仆全都集中到卫城之内,然后 将卫地点起了火把它全部烧光了。在这之后,他们便相互立下了凄厉的洪誓 大愿,而全部冲出了城出击敌人,结果他们就一个不剩地战死在疆场之上了。 今天自称为克桑托斯人的那些吕奇亚人大半都是从国外移居来的,只有八十 个家族是例外,因为他们正巧那时不在国内,故而他们残存下来了。哈尔帕 哥斯便这样地取得了克桑托斯,卡岛诺斯大概也以同样的方式落到他的手 里;因为卡乌诺斯人大体上是追随了吕奇亚人的榜样的。

    (177)正当哈尔帕哥斯这样地蹂躏着亚细亚下方的时候,居鲁士本人在亚 细亚上方把一切民族也都一个不留地给征服了。关于这些征服,大部分我将 要略过去,只谈曾使居鲁士遇到最大困难和最值得一迹的那些次征服。

    (178)在居鲁士把大陆上所有其他民族收归自己的掌握之后,他便向亚述 入进军了。亚述拥有其他许多大城市;其中最有名、最强大的是巴比伦;在 尼诺斯被毁以后,首府便迁移到已比偷去了。下面我就要叙述一下巴比伦这 座城市的情况。这座城市位于一个太平原之上,形状是正方的,每一面有一 百二十斯塔迪昂长,因此它的周围就一共是四百八十斯塔迪昂了。这座城市 的幅员有这般大,而它的气派也是我们所知道的任何其他城市所难以相比 的。首先,它的四周有一道既宽且深的护城河,河里满都是水,在护城河的 后面则又是一道厚达五十王家佩巨斯,高达二百佩巨斯的城墙。王家佩巨斯 比一般的佩巨斯要宽三个手指。

    (179)此外,在这里我必须提一提从护城河里掘出来的土有什么用项,还 要说一说城墙是怎样修筑起来的。在他们从护城河里把土掘出之后,他们立 即把它做成了大砖,而在大砖的数量故得够用的时候,他们就把这些砖放到 窑里去烧。随后他们便着手建筑:起初是用砖砌筑护城河的河岸,然后用同 样的方式修造城墙本身,他们把烧热的沥青当混凝土使用,并在每隔三十层 砖的地方加上一层虚草编成的席子。在上面,沿着城墙的两边,他们修筑了 互相对峙的单间的房屋,在这中间刚可以跑得开一辆四匹马的战车。四面的 城墙总共有一百座城门,它们全都是青铜的,即使是柱与楣也不例外。工程 中所用的沥青是从离巴比伦有八天路程的伊斯城运到巴比伦来的,伊斯城旁 有一条流入幼发拉底河的小河,它同样被称为伊斯河。在伊斯河的河水里, 人们可以取得大量的沥青块,沥青便从那里运来供巴比伦城墙之用。

    (180)巴比伦的城墙便是这样修建起来的。有一道河从中间把全城分成两 部分:这条河便是幼发拉底河,这是一条又宽又深,而且水流湍急的河流; 它发源子阿尔美尼亚,流入红海。城墙在两面都一直修筑到河边:从那里城 墙作了个直角的转湾,然后沿着河流的两岸构筑烧制的砖砌成的城壁。城市 本身内部多是三层或四层的房屋。它们中间的街道都是笔直的,不仅仅是与 河垂直的是如此,其他的也是如此。在每一条这样街道的临河的尽头地方, 在河边诚壁上都各有一个小门,这些小门也都是青铜制成并且也是面向河水 的。

    (181)外面的一道城墙是城市的铠甲。但是在内部江有另外的一道城墙, 这道城墙此外部的要薄一些,但它的坚固比之外城却毫无逊色。在城市的这 两部分的中心,谷青一座要塞。一方面是有坚固和高大的围墙环绕着的王宫, 另一方面则是倍洛斟·宙斯(倍尔或巴尔,亚述神中最大者)的圣域,这是一块有青铜门的、二斯塔迪昂见方 的禁地;这个地方在目前还存在的。在这个圣域的中央,有一个造得非常坚 固,长宽各有一斯塔迪昂的塔,塔上又有第二个塔,第二个塔上又有第三个 塔,这样一直到第八个塔。人们必须从外面循着象螺旋线那样地绕过各塔的 扶梯走到塔顶的地方去。在一个人走到半途的时候,他可以看到休息的地方, 这里设有座位,而到塔顶上去的人们就可以在这里坐一会儿休息一下。在最 后的一重塔上,有一座巨大的圣堂,圣堂内部有一张巨大的、铺设得十分富 丽的卧床,卧床旁边还有一张黄金的桌子。但是在那里并没有任何神像,而 除了当地的一个妇女之外,也没有任何人在那里过夜;但是,根据担任这个 神的司祭的迦勒底人的说法,这个妇女是这个神从全体妇女中选出来的。

    (182)他们还说,神常常亲自下临到这座圣堂并在这个床上安歇,但我是 不相信这件事的。这和埃及人所说的那个故事一样:在他们的底比斯域也有 关似的事情发生(而且在那里的底比斯·宙斯的神殿中的确是也有一个妇女睡 觉的,但据说不拘是埃及的,还是巴比伦的妇女都决不和男子同床)。这又和吕奇亚的帕塔拉的风俗一样,那里的女司祭每在降神(阿波罗)的时候,便是这样做 的;不住在那里(人们认为阿波罗神只在冬天的六个月里住在那里)并不经常有请示神托的事情发生,可是等她要降神的时候, 她都是一定要闭在圣堂中过夜的。

    (183)在同一巴比伦的神殿的下手,还有另外一座圣堂:在这座圣堂里, 安设着宙斯的一座巨大的黄金神像。神像的前面有一张黄金的大桌子,它的 宝座和宝座下的足凳也是黄金的。听迦勒底人说,全部黄金的重量是八百塔 兰特。神殿之外有两座祭坛,其中一个是黄金的,只有年幼的牺牲才能够在 这个祭坛上奉献。另一个则是普通的较大的祭坛,成年的牺牲就在这个祭坛 上奉献。迦勒底人还在这个大祭坛上每年奉献一百塔兰特的乳香,用来为这 位神举行祝祭。在居鲁士的时代,在这个圣域里仍然还有一座人像,高达十 二佩巨斯,而且是纯金的。我本人没有见位这座像,担我这里是照着迦勒底 人告诉我的话写的。叙司塔司佩斯的儿子大流士曾企图把这座像拿走,但是 他不敢这样做。但大流士的儿子克谢尔克谢斯把劝他不要移动这座像的司祭 杀死并把它拿去了。除去上面我所说的装饰品以外,在这座神殿里还有许多 私人的奉献品。

    (184)巴比伦城曾经有许多统治者,他们都参预了修造装饰城墙和城内神 殿的事业:关于这些人我在亚述史的那一部分里还要提到的。在这当中有两 位妇女的统治者。在这两个人中间,前面的那个女王叫做谢米拉米司,她比 后面的那个女王要早五代。她在巴比伦附近的平原上修建了相当壮观的堤 防,因为在先前,这河流常常汜溢出来把附近一带的平原湮没。

    (185)后面的那第二位女王,名字叫做尼托克里司,她比前面的一位女工 要明智。在她身后,她不单单是留下了我就要叙述的,她在位时代的纪念物。 另一方面,她看到攻略了包括尼尼微在内的大量城池的美地亚人的强大威力 和不停的征讨,便尽一切的努力来加强她的帝国的防卫,以免受到强敌的攻 击。首先,由于从正中穿过她的城市的幼发拉底河在先前是宜贯巴比伦的, 于是她便在河的上方挖掘河道,这样她便使河道弯曲,以致这条河竟三次流 过亚述的同一个村落,幼发拉底河所流经的这个村落的名字是叫做阿尔代利 卡。而直到今天,从我们的海(希罗多德所说“我们的海”一般指地中侮和多岛海)到巴比伦去的人,在他们顺着幼发拉底河向下 航行的时候,在三天当中每天都要到达同样的一个村落。她所做的事情就是 这样的。在幼发拉底河的两岸她还修筑了板高、极厚的堤岸。他在巴比伦上 方很远的地方挖了一个人工湖,这个湖离河很近,她总是要掘到有水冒出来 的那佯的深度,湖的面积也相当大,四周有四百二十斯塔迪昂长。从人工湖 挖出来的土便用来在河流的两边筑堤。当挖掘的工程结束的时候,她便把石 头运了来,用这些石头把这个人工湖的四周砌筑起来。等到河道变得弯曲而 人工湖又掘成这两件工作完成之后,她便达到了她所预想的目的:原来由于 河道纡曲,水流便比以前缓慢了,而到巴比伦去的航路也就变得曲折不便了;而且,在这一切之后,还得要绕过人工湖而兜一个大圈子。这全部工程的地 点都是在巴比你的那一方面,也就是有对外的通路,有通向美地亚的最近的 道路的那一方面。而女王做这样的打算,也就是不要美地亚人和她的臣民混 合到一起,不要美地亚人知道她国内的事情。

    (186)正当尼托克里司用挖掘出来的土来保卫自己的城市的时候,她又想 到了一件工程,当然,这只不过是上面所说的两件工程的附属工程而已。这 个城原来是被河流从正中分成两部分的。在先前的国王当政时,如果有人要 从这一半到另一半去的时候,他是必更乘船的。这在我来看,当然是件麻烦 的事情。因此,在尼托克里司挖掘人工湖的时候,她便想到把它用来立刻消 灭这种不方便的情况并使她能够在她统治巴比伦的时候留下另一项纪念物。 她下令削切巨大的石块,而当她所需要的石块切好之后,人工湖也挖好了, 于是她便把幼发位底何的河造引导到挖好的人工湖处去。人工湖满了,原来 的河道也干涸了。于是她便着手首先把城内河流的两岸用烧好的砖砌起来, 又把河门前面引到河边的那些坡形的码头也砌上了砖,就和筑城砌砖的时候 完全一样。在这之后,她便用已经掘出的石村,大约在城市正中的地方,修 筑了一个石桥,石桥用的石块则是用铁和铅接合到一起的。在白天的时候, 在桥座和桥座之间,放上方形的木块,以便使居民过河,在夜间,木块便撤 了下去、好不叫人们在黑暗中过来过去相互间进行偷盗的事情。当河水灌满 了人工湖而石桥也竣工的时候,尼托克里司便使幼发拉底河还归它的旧道; 这样一来,变成了湖泊的那块挖掘的凹地既然已达成了她原定的目的,同时 又因造桥而使居民得到了便利。

    (187)此外,同一位女工又想出了这样的一个诡计。她在该城的往来最频 繁的城门的上方修造了她自己的陵墓,陵墓的所在地点是很高的,上面刻着 下列的铭文:“今后的任何一位巴比伦的国王,如果他需要金钱的话,他可 以打开这个陵墓而得到随心所欲的金钱。但除非他真正需要金钱,他不要打 开这个陵墓,否则他自己便会吃亏”。直到大流士在这里当政的时候,这个 陵墓从来没有人动过。然而在大流士看来,他不能利用这个城门,一笔钱闲 置在那里不用,上面的铭文引诱着他去取,可是他又不去触动它,这实在是 一件奇妙不可理解的事情。现在他不能使用这个门,是因为如果他通过这个 门,死尸就势必在他的头上面了。于是他便打开了陵墓,但发现里面并没有 金钱,只有死者的尸体和写着的一行字:“如果对于金钱你不是贪得无厌, 而在取得金钱时又不是不择任何手段的话,你是不会打开死昔的棺材的”。 据傅说,女王就是这样的一个妇人。

    (188)而居鲁士出征的目标便是尼托克里司的儿子,他和他的父亲拉比奈 托斯同名并且是亚述的元首。大王在出兵作战的时候,总是带着在国内充分 准备好的粮食和畜类。此外,他还带者专供波斯国王饮用的水,这水是从流 经苏撒的科阿斯佩斯河中汲取来的不管他到什么地方去,总有一批骡马拉着 的四输车跟随着;上面载运着贮藏在银坛里面的、煮沸了备用的科阿斯佩斯 河的河水,也便跟着他到这里那里去。

    (189)在走向巴比伦的道路上,居鲁士到达了金德斯河的河畔,这条河发 源于玛提耶涅山,流经达尔达尼亚人居住的地区而流入底格里斯河。而底格 里斯河在接受了金德斯河的河水之后,便流经欧匹斯城而注入了红海。当居 鲁士试图渡过这条只有用船才能渡过的河流时,在随他出征的白色的圣马 中,有一匹非常鲁莽地冲到河里去打算涉水而过,但是这匹马被水流卷住冲 跑,因此给淹死在河里了。对于这条河流的暴虐无札,居鲁士感到十分愤怒: 他威吓说他将要打垮这条河流的威力,而使甚至妇女都能够不湿到自己的膝 盖而容易地渡过去。这样地进行威吓之后,他便停止了他对巴比伦的进军而 把他的军队分成两部分,随后,他用绳从金德斯河的两岸向四面八方各量出 了一百八十道壕沟的线记。他下令他的军队在两岸接着线记进行挖掘。由于 人手众多,他购威吓的话实现了;但是,这样他们却把整整一个夏季的时光 费在这件事上面了。

    (190 )这样,居鲁士便用挖掘了三百六十道泄水壕沟的办法对金德斯河 进行了报复,到第二年的春天一经到来的时候,他又向巴比伦进军了。巴比伦人在城外列阵,等候着他的到来。到他来到离城不远的地方,双方打了一 仗,在这一仗中,巴比伦人被波斯国王战败而退守到城内去了。过去当他们 看到居鲁士把一个个民族相继征服,并相信他决不会就此罢休而最后将轮到 他们自己的时候,他们便准备了可供多年食用的粮食以备一旦被围攻时之 需。因此他们便把自己关在城内,丝毫不把居鲁士的围攻放到心上了。时光 这样一天天地过着,但是围攻毫无进展可言,居鲁士于是不知以后怎样办了。

    (191)不知道是有人在他感到无计可施的时候向他献策,还是他自己想出 了办法,他采取了下列的步骤。他使他的军队留驻在河流流进城年的那个地 方,使另一部分军队督驻在城市背面河流从城市流出的地方,并且命令他的 军队,在看到幼发拉底河的河道可以徒步涉水的时候,立刻顺着河道攻入城内。这样安排停妥,并发出了这个命令之后,他自己便率领着他的军队中不 能作战的邓一部分撤退,到尼托克里司为幼发拉底河挖掘的人工湖那里去, 在那里他做了和巴比伦女王尼托克里司先前所做的完全同样的事情。他用一 道壕沟把幼发拉底河疏导到当时已变成一片沼泽地的人工湖里去,结果河水 竟落到河道可以涉水而渡的程度。于是留驻在巴比偷城何边准备进攻的军 队,便从幼发拉底河的河道进入了这座城市,那时何水已落到大约相当到大 腿的一半高的地方。如果巴比伦入预先知道这件事,或者如果巴比伦人注意 到居鲁士这种行动的意图的话,他们本来可以把波斯人放进城来然后再使对 方遭到极为悲惨的结局;因为他们可以把临河的城门全部关闭,自己登上沿 河的两道城墙,这样他们便可以居高临下利用十分有利的地位把敌人一网打 尽。可是实际上,波斯人竟完全出其不意地出现在他们的面前。巴比伦城的 居民说,由于城区的面积广大,城区靠外边的居足被俘虏了,侦区中部的居 民根本还不晓得这件事情(由于那时他们正在举行祝祭),而还在继续尽情地 跳舞、寻欢作乐:直到最后,他们才确切地知道了事情的真相。巴比伦第一 次被攻克的情况便是这样了。

    (192)我可从举出许多事实来证明巴比伦人的富强,在这许多证据当中, 下面的一点是特别值得一提的。在大王所统治的全部领土,除了缴纳固定的 贡物之外,还被分划成若干地区以便在每年的不同时期供应大王和他的军队 以粮食。但是在一年的十二个月当中,巴比伦地方供应四个月,亚细亚的所 有其他地方供应另外八个月。从这一点就可以看出,就富足的一点而论,亚 述是相当全亚细亚的三分之一的。在所有波斯太守的政府,即波斯人自称的 隆特阿中间,这地方的政府比其他地方的政府要大得多。当阿尔塔巴佐斯的 儿子将里坦塔伊克美斯奉国主之命统治这个地方时,他每天的收入有整整一 阿尔塔贝的白银(阿尔塔只是一种波斯的容量单位,它比一阿提卡·美狄姆藉 斯江要多三阿提卡·种伊尼库斯)。在他私人的焉厩里,除去军马之外,还有 八百头种马和一万六千头牧马,即每二十头牧马有一头种马。此外他江拥有这样多的印度犬(猎犬),以致平原上的四个大村庄,由于供应这些印度犬的食物, 而被豁免了一切贡税。巴比伦的统治者就是这样富有的。

    (193)然而,亚述的雨量很小;这些雨水只够滋养谷物的根部。可是要谷 物成熟和结穗却要靠河水来灌溉了。和埃及不同,河水并不是自己汜溢到种 植谷物的田地上去,而人们是要用手或是用高架吊水瓮(今天的尼罗河畔还可以看到。一个直立的杆子上有另一个可川旋转的横放的杆子,横杆的一端系着水桶)把水浇到田地上去。 巴比伦的全境,和埃及一样,它到处是水渠纵横交错的。向着冬天日出的那 个方向流去的那条最大的水渠是可以行船的,它把幼发拉底河的河水引到另 一条称为底格里斯的河里面去,而尼诺斯这个城市就是临着底格里斯河的。 在我们所知道的一切国土当中,这个地方的土地比其他地方要肥沃得多,在 它上面生长的戴美特尔女神的谷物也断然是最好的。诚然,那地方看不出可 以种植无花果、橄榄、葡萄或任何其他的树木,但是谷物都是生产得这样的 丰富,一般竟达种子的二百倍,而在收成最好的时候,可达三百倍。那里小 麦和大麦的叶子常常有四个手指那样宽。至于小米和芝麻,虽然我自己知道 的很清楚,我也不必说它们长得有多大多高了,因为我很清楚,我写的关于 巴比伦的谷物的丰足情况,对于没有亲身到过这里的人来说,实在是很难相 信的。他们使用的油只有芝麻油而不用别的油。在那里的全部平原上,生长 着大量的枣椰子树,其中的大部分都长果子,而人们就可以用这些果子来制 造面包,制造酒、蜜,他们培育这种树和培育无花果树一样,特别是在这方 面,即当地的人们把希腊人所说的雄椰子的果实系到枣椰子树的树枝上面, 这样没食子蜂就会钻到果实里面去。使它俩成熟并使它们的果实下会掉下 来。原来雄椰子完全和未熟的野生无花果一样,是有没食子蜂宿在它们的果 奕里面的。

    (194) 现在我就要说一下除了城市本身之外,在那个地方最使我感到惊异 的东西是什么了。沿河下行通往巴比伦的船都是圆形的,而且都是用皮革做 的。他们用在亚述上方阿尔美尼亚人居住的地方割取下来的柳枝制作船的肋 骨,而在外面再蒙上一层皮革,这样便造成了船体:这种船既不把船尾弄宽, 也不把船头弄窄。因而它是圆圆的和盾牌一样。然后这船便全部塞满干草, 再放上运送的货物,这样就叫它们顺流而下了。运载的货物主要是酒,酒是 装在用棕榈木所造成的酒桶里。这种船有两个人站在上面操纵着,这两个人 备拿着一个浆,一个人向前,一个人向后划水。船的大小各不相等,有的非常大,有的小;最大的上面可以装运五千培兰特重的货物,每只船上都有一 个活爐,大一点的船上爐的数目还要多一些。当它们下行到达巴比伦的时候, 船上的货物便卸下来,然后人们把船给拆开,卖掉船的骨架和里面装的干草, 再把皮革打点在马背上,迈回阿尔美尼亚去。由于河中的水流甚速,想叫船 溯流而上是绝对不可能的,因此他们就不用木材而用皮革来造船。等他们赶 着他们爐子返回阿尔美尼亚之后,他们便用同样的办法为下一次的航行而造 其他的船。

    (195) 他们的船就是这个样子。巴比伦人穿的衣服是一种长到脚那里的麻布内衣,在这件内衣外面置着另一件羊毛的内衣,在这外面他们又罩上一伴 白色的外衣。他们脚上穿的鞋是他们国家所特有的一种样子,和贝奥提亚人 的鞋差不多。他们都留着长头发,头上裹着头巾,全身都涂香料。每个人都 带着一个印章和一个雕制的手杖,杖头刻成一个苹果、一朵玫瑰、一朵百合、 一只鹰或是诸如此类的东西。他们的习惯是每只手杖上必须要有一种装饰。 这便是他们身上穿戴的东西了。下面我就要说一说他们的风俗习惯。

    (196)在这些风俗习惯当中,在我来判断,下面的一种是最聪明的,听说伊里利亚的埃涅托伊人(后世的威尼斯人)也有这样的习惯。这就 是:每年在每个村落里都有一次,所有到达结婚年龄的女孩子都被集合到一 处;男子则在她们的外面站成一个圆圈。然后一个拍卖人一个个地把这些女 孩子叫出来,再把她们出卖。他是从最美丽的那个女孩子开始的。当他把这 个女孩子卖了不小的一笔款子之后,他便出卖那第二美丽的女孩子。所有这 些女孩子都出卖为正式的妻子。巴比伦人当中有钱想结婚的,便相互竞争以 求得到最美丽的姑娘,但是一般的平足想求偶的,他们不大在乎美丽,便娶 那些长得不漂亮可是带着钱的姑娘,因为习惯上是当拍卖人把所有最美丽的 姑娘卖完之后,他便把那最丑的姑娘叫出来,或是把其中也许会有的一个跛 腿的姑娘叫出来,把她向男子们介绍,问他们之中谁肯为了最小额的奩金而 娶她。而那甘愿取得最小额奩金的人便娶了这个姑娘,出售美丽的姑娘的钱 用来偿付丑姑娘的这笔奩金。这样一来,美丽的姑娘便负担了丑姑娘或是跛 姑娘的奩金。谁也不允许把自己的女儿许给他所喜欢的男子,任何人如果他 不真正保证把他买到的姑娘当作自己的妻子,他是不能把她带走的。然而, 如果发现他们二人不同意的话,则规定要把付出的钱退回。如果愿意的话, 人们甚至可以从别的村落到这里来买姑娘。这乃是他们的风俗中最好的,但 现在这个风俗已经废禁了。[为了使妇女不致受到虐待并使她们不致给带到别的城市去](括弧是施泰因加的,因为他以为里面的话和下面的意思不大衔接 ),最近他们又想出了一个新办法来;由于巴比伦之被征服便他们受 到主人的虐待而家庭也趋于没落,所有贫穷的平民便叫他们的女儿经营丑业 了。

    (197)除去我刚才所称赞的那个风俗之外,下面一个在我看来要算是他们 的风俗中最贤明的了。他们没有医生,然而当一个人生病的时候,这个病人 便被带到市场上去;这样,曾经和病人得过同样病的,或是看过别人得过同 样病的那些行入便来到病人面前,慰问他和告诉他治疗的办法,他们把或是 曾经治好了自己的病或是他们知道洽好别人的病的办法推荐抬他。谁也不许 一言不发地从病人身旁走过,而不去问他所得的是怎样的病。

    (198)他们是先 把死者浸在蜂蜜里然后再埋葬的。他们的葬仪和埃及人的葬仪相似。当一个 巴比伦人和他的妻子交媾了以后,他们两个人便焚香对坐,到天明的时候, 他们便沐浴。在他们沐浴之前,他们是不用手接触任何器皿的。阿拉伯人的 作法也和这一样。

    (199) 巴比伦人有一个最丑恶可耻的习惯,这就是生在那里的每一个妇女在她的一生之中必须有一次到阿普洛狄铁的神殿的圣域内去坐在那里,并在那里和一个不相识的男子交媾。许多有钱的妇女,她们自视身分高贵而不屑于和其他妇女混在一起,便乘坐着双马拉的带围帘的马车到神殿去,她们身后还要跟着一大群仆从。但是大多数的妇女是坐在神殿的域内,头上戴着妞帽;这里总是有大群来来往往的妇女,在妇女中间,四面八方都有用绳子 拦出来的通路,而不相识的人们便沿着这些通路行走来作他们的选择。一经选好了位子的妇女在一个不相识的人把一只银币抛向她的膝头并和她在神殿外面交媾之前,她是不能离开自己的位子的。但是当他抛钱的时候,他要说这样的话:“我以米利塔女神的名子来为你祝福”,因为亚述人是把阿普洛 狄铁叫做米利塔的。银币的大小多少并无关系,妇女对这伴事是不能拒绝的, 否则便违犯了神的律条,因为一旦用这样的方式抛出去的钱币便是神圣的了,当她和他交媾完毕,因而在女神面前完成了任务以后,她便回家去;从这个时候开始,不拘你再出多少钱,便再也不能得到她了。因此,那些硕长的美貌妇女很快便可以回去,但是那些丑陋的必须要等很长的一个时候才能 够履行神圣的规定,有些人不得不在神殿的圣域内等上三、四年。在赛浦路 斯的某些地方也可以看到和这相似的风俗。

    (200)一般说来,巴比伦人的风俗就是这样。此外,他们中间有三个部落 的人除了鱼类以外是不吃任何东西的。他们打得鱼之后,把它们放在阳光之 下晒干:在这之后,他们又把干鱼放到石臼里用杵 捣碎,再用麻布筛过。于 是按嗜好的不同,有的人用这种东西做成鱼糕吃,有的人刚把它们做成面包 那样的东西。

    (201)当居鲁士把巴比伦人这个民族也征服了之后,他就想把玛撒该塔伊 人也收归自己的统治之下。而玛撒该塔伊人据说是一个勇武善战的强大民 族,他们住在东边日出的方面,住在阿拉克赛斯河对岸和伊赛多涅斯人相对 的地方。有一些人说他们是斯奇提亚的一个民族。

    (202)这个阿拉克赛斯河,有人说它比伊斯特(多瑙河)大,有 人说它比伊斯特河小。在这个河上面有许多据说和列斯波司岛同样大的岛。 这些岛上的居民在夏天是吃各种根类植物为活,这都是他们从地里掘出来 的。但是在适当的季节他们把从树上摘下的熟果子储集起来以备冬天时食 用。除去他们采集过冬果子的树木之外,据说他们还有一种结极特殊的果实 的树木。当他们在一起集会的时候,他们便把这样的一些果实抛到他们所围 坐的火堆上面去,而他们闻到在果实烧着时所发出的烟雾的香味,便立刻陶 醉了,就和酒对希腊人所发生的作用一样。他们把更多的果子抛到火上去, 他们也就变得更加陶醉,以致他们到最后竟站起来开始舞蹈和歌唱。关于这 个民族的生活情况我所听到的便是这些。阿拉克赛斯河和被居鲁士泄到三百 六十条壕沟里面去的金德斯河一样,也是发源于玛提耶涅人所居住的土地 的,它有四十个河口,在这四十个河口中间,除去一个河口之外,都流入沼 泽地带。据说居住在这些沼泽地上的人们是以生鱼为活的,他们通常穿的衣 服据说是海豹皮制成的。这条河所剩下的另一个河口则是以清清楚楚通行无 阻的一个河道流入里海的。里海是与其他的海不相通的、独立的海。不拘是 希腊人往来航行的海,还是在被称为阿特兰提斯的、海拉克列斯之柱之外的 海,还是红海,归根到底只是一个海。

    (203)但里海却是一个孤立的海。它的长度如乘棱船要航行十五日,在它 最宽的地方则要走八日。在它的西岸是众山中最高大、最广 阔的高加索山 脉。山中居住的部落很多而且是各种各样的,他们之中大部分都是完圣靠着 吃野生森林中的果子过活的。在这些森林中据说有一种树,居民把它的树叶 捣碎和水之后,便把它用来当作颜料,而他们便用这种颜料把各种图样染到 衣服上去。这样染上去的图样是绝对洗不下来的,它仿佛是从一开头便给织 到毛布里面去的,颜色的寿命和衣服的料子一样长久。这些人据说和家畜一 样,是在光天化日之下进行性交的。

    (204)我说过,这个被称为卡斯披亚海(即里海——译者)的海,它的西方 是高加索山脉。在它的东面日出的地方则是一片一望无际的平原。这一广阔 的平原的大部分属于居鲁士现在很想征讨的玛撒该塔伊人。许多有力的动机 使他感到非这样做不可,鼓励他这样做;首先是他的出生,他认为这伴事似 乎可以证明他并非凡人,其次是他在先前历次战争中的好运气,在那些战争 中,他总是发现,不拘是他出征哪个国家,那个国家的人民就一定逃不出他 的掌握。

    (205)这时,玛撒该塔伊人的统治者是一个在丈夫去世之后即位的女王托 米丽司。居鲁士派遣使节到她那里去,指示他们假装表示代他向她求婚,就 是说想娶她为妻。但托米丽司知道他所要的不是她本人,而是玛撒该塔伊人 的王国,于是便不许他们的任何人前来见她。居鲁士看到他的诡计未能得逞, 便把大军开抵阿拉克赛斯河,公开地表示出进攻玛撒该塔伊人的意图。他着 手在河上架桥,以便使他的军队开过去,并在渡河用的浮桥上修筑舫楼。

    (206)但是正当居鲁士这样做的时候,托米丽司派了一名使者到他这里 来,说:“美地亚人的国王啊,不要忙着干你打算干的这件事吧,因为你不 能知道你干的这件事会不会对你真有好处。请满足于和平地治理你自己的王 国并容忍我们治理我们所统治的人们吧。可是我知道,你必不肯听从这个忠 告,因为你是最不喜欢安静无事地呆着的。那末,如果你非常想与玛撒该塔 伊人兵戎相见的话,你现在就不要再费事去架桥了。请容许我们从阿拉克赛 斯河向后退三日的路程,然后你再率领军队渡河到我们国里来;否则,如果 你愿意在你的河岸那边与我们作战的话,那你们也请退同样日程的道路吧”。 居鲁士听到这个建议之后,便把波斯人的领袖人物召集起来并把这件事通知 他们,要他们告诉他,他应当采取怎样的对策。所有的人都赞同要托米丽司 波河过来,在波斯的土地上对她作战。

    (207)然而参加了这次会议的吕底亚人克洛伊索斯却不同意这个意见。于 是他便起来表示了与它相反的意见,他说:“哦,国王啊,我在以前便向你 说过,既然宙斯大神把我交到你的手里,那我将要尽我力之所及使你避免我 所看到的逼临在王家之上的任何凶险之事。我自己身受的非常痛苦的灾祸已 经使我得到了很大的教训。如果你自以为你并非凡人而你的军队又是天兵天 将的话,那你毫无疑问可以不把我的忠告放到眼里。如果你觉得你自己是一 个凡人,而你所统治的也还是凡人的时候,那末首先便要记住,人间的万事 万物都是在车输上面的,车输的转动是决不容许一个人永远幸福的。现在, 谈到目前的这件事情,我的意见是和你的其他顾问的看法相反的。因为倘若 你同意你的敌人进入你的国土,那你要冒着多大的危险!如果你打了败仗的 话,那你的帝国也就完了。可以肯定,如果玛撒该塔伊人战胜的话,他们不 会撤回本国,而是要向你的帝国的所有的地区进军。如果是你得到胜利的话, 那末你的战果就不会象你渡河作战时的战果那样大,因为到那边之后,你是 可以乘胜直追的。当然,如果在你自己的土地上他们把你打败的话,他们会 因你的损失而同样取得巨大战果的。如果在河的对岸你把托米丽司的军队打 垮,那你立刻便可以冲击她的帝国的要害了。而且,且不说我方才所讲的那 些,如果刚比西斯的儿子居鲁士向一个妇人屈服并从她的领土之上退下来, 那实在是一件不能容忍的可耻的事情。因此,按照我的意思,我们渡河并向 前一直推进到他们所退的地方,然后设法用这样的办法来制服他们。我听人 家说,玛撒该塔伊人对于波斯人生活上使用的好东西都没有见过,他们也从 来没有尝位人间的至美之味。因此,让我们在自己的营地里给他们准备盛宴, 你可以慷慨地切大量的羊肉来烹饪,同时在许多酒杯里斟上醇酒以及放上各 种各样的菜肴。然后,把我们最不行的那部分军队留下,而我们退回河岸。 除非是我的判断弄错,他们看到摆出好的东西,他们是会忘掉一切而尽情在 那里饮宴的。那时我们便可以成就伟大功业了”。

    (208)居鲁士看到他面前摆着的这两个相反的计划之后,便放弃了他先前 的想法而愿意采取克洛伊索斯向他建议的那个计划,于是他便回答托米丽 司,要她向后撤退而他本人渡河作战。托米丽司按她先前所构定的向后撤退 了。于是他便把想使之继承他自己的王位的、他的儿子刚比西斯托付给克洛 伊索斯,严厉地命令刚比西斯尊敬和厚待克洛伊索斯,如果他渡河攻打玛撒 鼓塔伊人失败的话。 在他发出了这样的命令并把他们二人送回波斯之后,就率领大军渡河 了。

    (209)当他在渡河之后的第一夜,睡在玛撒该塔伊人的土地之上的时候, 他做了一个梦。在梦中他好象看见叙司培司佩斯的长子在肩头上生长了翅 膀,一只翅膀遮住了亚细亚,另一只翅膀遮住了欧罗巴。然而属于阿凯美涅 斯家族的阿尔撒美斯的儿子叙司塔司佩斯。 他的长子大流士那时也不过是二十岁上下的样子;由于还不到上阵的年 龄,他给留在后方的波斯了。当居鲁士从睡梦中醒来的时候,他把梦中的情 况回想了一下,觉得这不是闹着玩的事情。因此,他便派人把叙司塔司佩斯 召了来,私下里向他说:“叙司塔司佩斯,我发现你的儿子正在阴谋推翻我 和夺取我的王位。我将要告诉你我是怎样地确实知道了这伴事情的。诸神都 在警卫着我的安全,因此如有任何危险,他们都会预先告诉给我的。既然是 如此,故而我昨夜在睡着的时候,梦见了你的长子在肩头上长了翅膀,一只 翅膀遮往了亚细亚,另一只翅膀遮住了欧罗巴。从这一点我可以确定,毫无疑问,他是正在对我发动阴谋了。因此你要尽快地回到波斯去,并且一定要 在我征服了玛撒该塔伊人之后回来的时候,设法把你的儿子带到我的面前 来,我好讯问他这件事情”。

    (210)居鲁士这样讲,是因为他相信大流士正在阴谋反对他。但是他把神 警告他的这个梦的真正舍意理解错了,神的意思是告葫他说,他本人将要死 在他所在的那个地方,而王国最后将要由大流士来继承。叙司塔司佩斯是这 样回答居鲁士的:“王啊,上天是不准任何活着的波斯人对你育什么阴谋的。 如果有这样的一个人的话,那么就让他尽快地死掉吧。因为是你使被人奴役 的波斯人变成了自由的人,是你使臣服于别人的波斯人变成了统治一切人的 人如果有一个梦告诉你说我的儿子正在阴谋反对你的话,那我就把他交给你 任凭你来处理好了”。叙司塔司佩斯这样回答了居鲁士之后,便再一次渡过 阿拉克赛斯河,赶忙回到波斯,为居鲁士把他的儿子大流士给监视起来了。

    (211)这时,居鲁士从阿拉克赛斯河的河岸已经走了一日的路程,他按照 克洛伊索靳的意见做了。他把他的军队中最无用的那一部分留在营地之上,而带着自己的精锐部队返回阿拉克赛斯河。但不久之后,玛撒该塔伊人的一 支相当于他们全部人数的三分之一的部队,前来进攻给居鲁士留下的那部分 军队,并在后青抵抗的时候把他们全都杀死了。而当这些人在歼灭了敌人之 后看到了准备好的盛宴时,便坐下开始饮宴起来。当他们吃饱喝足了的时候, 他们就睡看了。于是居鲁士所率领的波斯人便来到这里,杀死了他们许多人 并俘虏了更多的人,其中就有统帅玛撒该塔伊人的斯帕尔伽彼赛斯,他是女王托米丽司的儿子。

    (212)当托米丽司听到她的儿子和她的军队的遭遇时,她便派了一名使者 到居鲁士那里去,对他说:“嗜血无厌的居鲁士啊,不要因为你做了这样一 件事而得意起来吧:葡萄做的酒这种东西你们喝了就会失去理智,这种酒到 了你们的肚子里面去,又会使恶言恶语涌出你们的口;而你们正是用这种毒 物陷害他,而不是在公开的正正堂堂的战争中打败他:这样看来,这对你并 不是什么光彩的事情。所以现在听我的忠告并相信这对你乃是良言,把我的 儿子送还给我并且可以不受惩罚地离开这块国土,你已经蹂躏了玛撒该塔伊 人的军队的三分之一,这也就差不多了。如果你不这样做的话,那我凭看玛 撒该塔伊人的主人太阳起誓,不管你多么嗜血如渴,我也会叫你把血喝鲍了 的”。

    (213)居鲁士根本就没有把她的这话放到心上;不过托米丽司女王的儿子 斯帕尔伽披赛斯在醉后醒来时,知道自己身处于悲惨之境,便请求居鲁士给 他解开绑绳。绳子是解开了,但是在斯帕尔伽披赛斯的双手刚刚得到自由的 时候,他便自状而死了。

    (214)他便这样地结束了自己的生命。托米丽司知道了她的意见未被接 受,便把国内的全部军队纠合起来和居鲁士交锋。这一场战争,根据我的判断,在异族人(即非希腊人)所曾进行的一切战争当中,确实可以说是 最激烈的一次了。而且,实际上我也听到了战争当时的情况。原来,据说在 一开头的时候,他们双方在对峙的情况之下相互射箭,很快地在他们的箭全 都射完的时候,他们使相互猛冲上来用枪、剑之类的武器进行了殊死的厮杀。 据说,他们便这样地厮杀了很长的一个时候,哪一方面都不想退却。结果是 玛撒该塔伊人取得了胜利。波斯的军队大部分都死在那里,而居鲁士本人也 在统治了二十九年之后在这一场战争中战死了。托米丽司用革囊盛满了人 血,然后便在波斯阵亡者的尸体中间寻找居鲁士的尸体。她找到了他的尸体, 就把他的首极割下来放到她那只盛血的革囊里去,而且在蹂躏居鲁士的尸体 时,她说:“我现在还活着,而且在战斗中打败了你,可是由于你用讦计把 我的儿子俘虏了去,则战败的勿宁说是我了。然而我仍然想实现我威吓过你 的话,把你的头用血泡起来,让你饮个痛快吧”。关于居鲁士的死的傅说的 确是有很多的,但我只叙述了上面的一种,因为我认为这个说法是最可信的。

    (215)玛撒该塔伊人雾着和斯奇提亚人相同的衣服,又有着同样的生活方 式;他们拥有骑兵和步兵(二者是分开的),此外还有弓兵和枪兵,更有使用 战斧的习惯。他们在一切的物品上都使用黄金和青铜,所有他们的枪头、箭 头或战斧一类的东西全部用青铜制造,听有装饰在头部、腰带、胸甲上面的 东西则都是黄金制造的。同样,他们给马的胸部戴上青铜的胸甲;马勒、马 街和甄甲的则是使用黄金的。他们那里有大量的黄金和青铜,但铁和银都没 有,因此他们从来不使用铁和银。

    (216)至于他们的风俗习惯,则他们是每人娶一个妻子,不过他们的妻子 却是随便和别人交媾的。原来希腊人认为是斯奇提亚人做的事情,实陈上不 是斯奇提亚人,而是玛撒该塔伊人做的:玛撒该塔伊男子感到有性交需要时 在妇女乘坐的车前挂上一个箭袋,他就可只不怕任何人在中间干涉而任所欲 为了。对于年龄,他们当然是不会有什么限制的;但是,如果有年纪非常大 的人的话,则他的族人便全部集合到他这里来把他杀死,并且墩他的肉用来 大张饮宴。在这之外,家畜当然也是要和他一同被屠杀的。他们认为这乃是 死者的最高的幸福;如果一个人病死,因此没有被人吃掉并给埋到土里,也 就是没有一直活到被杀的时候,他们认为这是不幸的事情。他们不播种任何 种子,而以家畜与鱼类为活,因为在阿拉克赛斯河里,鱼是非常多的。他们 饮用牛乳。他们在诸神中间只崇拜太阳,他们献给太阳的牺牲是马。他们把 马作牺牲来奉献的理由是:只有人间最快的马才能配得上诸神中间最快的太 阳。

    第二卷

    (1)居鲁士死后,帕尔那斯佩斯的女儿卡桑达涅和居鲁士之间所生的儿子 刚比西斯便继承了王位。卡桑达涅是在他的丈夫居鲁士之先死去的,居鲁士 曾因她的死深为哀悼,并通告在他所统治下的一切人都为她服丧。这个妇女 和居鲁士所生的孩子刚比西斯把伊奥尼亚人和爱奥里斯人看成是从父亲手里 继承过来的奴隶:他率领着其他在他统治之下的人们,并在他所君临的希腊 人的伴随之下,远征埃及去了(刚比西斯远征埃及的日期大概是在五二五年)

    (2)直到普撒美提科斯成为埃及人的国王(六六四年左右)的时候,埃及人相信他们是全 人类当中最古老的民族;从普撒美提科斯一登上王位,而想知道一下哪里的 人最古老的那个时候起,他们便认为他们自己比所有其他民族要古老。但是 只有普里吉亚人却比他们还要古老。普撒美提科斯虽然探求哪里的人是最古 老的,可是找不到任何头绪,于是他便想了这样的一个办法。他把普通人的 两个新生的婴儿在一生下时交拾一个牧羊人,叫他把他们放在羊群当中哺 育,哺育的办法是命令不许任何人在他们面前说任何一句话,而且只许他们 睡在没有人去的屋子里面,只有在适当的时候才把山羊领到他们那里去叫他 们把奶吃饱,井在其他的方面也都对他们加以照顾。普撒美提科斯这样做和 这样命令的目的,是要知道在婴儿的不清楚的呀呀学语的时期过去以后,他 们第一次说出来的话是什么。事情按照他所预料的发生了。牧羊人两年中间 都按照他所吩咐的去做了,在这以后,一天当他打开他们屋里的门进去时, 两个孩子都伸出双手向着他跑来:嘴里发着倍科斯(BENOS)的音。当他们刚刚 这样说的时候,牧羊人还没有注意,但是后来在他每次来照顾他们的时候, 他听到他们嘴里总是说这个词;最后他便把这事报告了国王并由于国王的命 令;把两个孩子带到了国王的面前。普撒美提科斯于是便亲自听到了他们说 的这个词,并着手研究什么民族把什么东西称为倍科斯。结果他发现倍科斯 在普里吉亚人那里是面包的意思的。从这一事实加以推论,埃及人便放弃了 先前的说法,并承认普里吉亚人是比他们更加古老的民族了。这样的事情是 我从孟斐斯地方海帕伊司托斯(等于埃及的世界创造之神普塔)的祭司们那里听来的:希腊人中间还傅说着许 多荒唐无稽的故事,例如、有一个故事就说,普撒美提科斯是叫舌头预先被 割掉的妇女来哺育这些婴儿的。

    (3)祭司们的关于哺育婴儿的说法就是我上面所介绍的了;除去上面所提 到的之外,我在孟斐斯和海帕伊司托斯的这些祭司谈话时,还听到各式爷样 的许多事情。我甚至为了这个目的到底比斯和黑里欧波里斯去,专门要去对 证一下那里的人们所讲的话是不是和孟斐斯的祭司们所讲的话相符合。黑里 欧波里斯地方的人们素称对于埃及人的历史掌故是最熟悉的。除去他们的神 的名称之外,我不打算重复他们告祈我的。关于他们的诸神的事情;因为我 知道,关于神的事情,任何地方的人都是知道得很少的。除非在我后面的叙 述中不得不这样做,关于这些事情我是不想再说任何其他的东西了。

    (4)但是,关于人间的事情,他们下面所叙述的事情是完全一致的:他们 说,埃及人在全人类当中第一个想出了用太阳年来计时的办法,并且把一年的形成时期分成十二部分。根据他们的说法,他们是从星辰而得到了这种知 识的。在我看来,他们计年的办法要比希腊人的办法高明,因为希腊人每隔 一年就要插进去一个闰月才能使季节吻合,但是埃及人把一年分成备有三十 天的十二个月,每年之外再加上五天,这样一来,季节的循环就与历法相吻 合了。他们又说,埃及人最初使用了十二位神的名字,这些名字后来曾被希 腊人借用了去。他们又最先给某些神设坛、造像、修殿并且第一个把各种各 样的图像刻到石头上去。在大多数的情形之下,他们都是用事实证明给我, 他们所请的话是真实的。而他们还告诉我说,埃及人的第一位国王的名字是 米恩。在他的统治时代,除了底比斯省(埃及的南部)之外,全埃及是一片沼泽,在今天莫 伊利斯湖(尼罗河以西现在的法雍地方)以下的地方全部都是浸在水里的,而从莫伊利斯湖到海岸,则是七 天行程的道路。

    (5)他们所谈的关于他们的国家的事情,在我看来完全是入情入理的。因 为任何亲眼看见埃及的人,纵使他在似前从来没有听人提到过埃及,如果他 具有一般的理解力,他也一定立刻会知道,希腊人乘船前来的埃及,是埃及 人由于河流的赠赐而获得的土地。不单是国家的下部,就是溯上迹的湖而上 三日行程间的地带也同样是如此,虽然他们并没有附带提到这一点,担这一 部分和前一部分的情况是完全一样的。谈到埃及土地的性质,则第一:在你 从海上向陆地方面走,而离陆地还有一日的航程的时候,那时你如放下测锤, 你就会把泥带上来并知道那里的海深是十一欧尔巨阿。这就是说,从陆地上 冲刷下来的泥土一直沉积到这样远的地方来。

    (6)此外,埃及本上的海岸线的长度是六十司科伊诺斯:根据则是我们为 埃及所定义的疆界,即从普休提涅海到沿着卡西欧斯山而伸展开来的谢尔包尼斯湖。领土狭小的国家的人们用欧尔旦阿来测量土地;领土较大的国家的 人们则用斯塔迪昂来测量土地:有大量土地的国家的人们用帕拉桑该斯来测 量土地。而拥有极多土地的人们,则是用司科伊诺斯来测量土地了。一帕拉 桑该斯等于三十斯塔迪昂,而埃及人的尺度司科伊诺斯是等于六十斯塔迪 昂。这样看来,埃及的海岸线,便长达三千六百斯塔迪昂了。

    (7)从海岸线向内陆直到黑里欧波里斯的地方,埃及是一片广阔的土地, 这是一片平坦的、多水的沼泽地带。从海岸到黑里欧波里斯的路程相当于从 雅典的十二神的祭坛到披窿的奥林匹亚·宙斯神殿的路程。如果计算一下的 话,那就可以看到路程之间相差得不多,二者相差不超过十五斯塔迪昂;因 为从雅典到披窿,是差十五斯塔迪昂不到一千五百斯培迪昂,而从海到黑里 欧波里斯却正是一千五百斯塔迪昂。

    (8)从黑里欧波里斯再向里面走,埃及就成了一条狭窄的土地。因为它的 一面是阿拉伯山脉,这山脉从北向南只及西南,一直伸展到所谓红海的地方。 孟斐斯那里金字塔所用的石块,便是从这个山脉中的采石堤开采出来的。山 脉在这方面转折,而格止在我所说的那些地方。从东到西最宽的地方,我听 说是要走两个月,而它们的最东部的边界是出产乳香的。山脉的情况就是这 样。在利比亚的这一面,埃及有另一支岩石重叠的山脉屏障着,金字塔就在 这中间。达支山脉上面全是砂砾,它的方向和阿拉伯山脉一样,也是向南走 的。从黑里欧波里斯再向外去,埃及便没有多么大的地方了;溯河而上的那条狭窄的土地不过是[十]四(修德本原文“十”字有括弧,这是迪池加上去的, 但并无版本上的依据)天的路程。在上面所说的山脉之间,土地是平 坦的,而在平原最狭窄的地方,在我看来,在阿拉伯山脉和人们所说的利比 亚山脉之间是还不到二百斯塔迪昂宽的。过了这个地方,埃及又变成了一片 广阔的土地。当地的形势便是这样了。

    (9)从黑里欧波里斯到底比斯,从河道走是九天的路程,距离是四千八百 六十斯塔迪昂或八十一司科伊诺斯。下面是用斯塔迪昂推算的,埃及全部距 离的总和:海岸线的部分我已经说过,是三千六百斯塔迪昂长;现在我再说 一下从海岸地带到内地的底比斯的距离,这是六千一百二十斯塔迪昂。在底 比斯和称为埃烈旁提涅的城市之间的距离则是一千八百斯塔迪昂。

    (10)这样看来,我所淡到的这个国家的大部分土地都是埃及人所获得的 土地;埃及的祭司们这样告诉我,我自己也这样想。在孟斐斯以上两条山脉 夹峙间的全部土地,在我看来一度曾经是个海湾,正和伊里翁和铁鸟特拉尼 亚和以弗所一带的土地和迈安德罗司平原一样,只不杖是比较起来规模有大 有小罢了。因为谈到用本身的河水冲积成这些土地的诸河流,在规模上没有 一条河是可以和尼罗河的五个河口当中的任何一个河口相比的。此外还有一 些河流,它们不象尼罗河那样大,却也造成了很大的后果;我可只举出它们 的名字来,但是其中主要的是阿凯洛司河,这条河流经阿卡尔那尼亚而后入 海,它已经使埃奇那戴斯群岛的一半变成大陆了。

    (11)现在,在阿拉伯离埃及不远的地方,有一个从所谓红海伸出来的海 湾,现在我就说一说这个海湾的长度和宽度:在长度方面,用划桨的船从它 的最内部的一头到大海要走四十天;在竟度方面,最宽的地方要走半天。每 天在那里都育潮汐起落。我月为现在埃及的地方过去曾是另一个这样的海 湾:一个从北方的海伸到埃西欧匹亚;另一个我就要提到的阿拉伯湾则从南 伸向叙利亚。这两个海湾的尽头都深入相互靠近的地方,它们之间只隔着很 小的一块土地。而如果尼罗河想流入阿拉伯湾的话,有什么能使它在两万年 中间不被这条河用冲积土给封闭起来呢。照我来看,一万年的时间也就够了。 因此可用相信,我出生前,一个比这海湾大得多的海湾是可以被这样一条急 流的大河变成陆地的。

    (12)因此,关于埃及,我首肯这样说的人们的话,而且我自己也完全信 服他们所说的话。因为我看到,尼罗河是在离相邻地区相当远的地方流到海 里去的,在山上可以看到贝壳,地面上到处都蒙着一层盐,以致附近的金字 塔都要受到损害,而埃及的唯一的砂山就是孟斐斯上方的那座山;此外,埃 及既不象与之们邻的阿拉伯的土地,又不象利比亚,也不象叙利亚(因为在阿 拉伯的海岸地带住着的是叙利亚人),它是一片黑色碎土的土地,仿佛是从埃 西欧匹亚那里的河流带下来的泥和冲积土。但是我们知道利比亚的土壤较红 并且有一些砂子,而阿拉伯和叙利亚则勿宁说是粘士和岩石的土地了。

    (13)我从祭司们听到的又一件事实,对我来说,是关于这个国家的一个 有力的证据。根据他们的说法,当莫伊利斯做国王的时候,河水只要上升八 佩巨斯,就会把孟斐斯以下的全部埃及土地汜溢了(如果这个说法不错的话,莫伊利斯做国王的时期一定远不止在希罗多德之前九百年,要使尼罗河的河床 上升八佩巨斯,九百年太短了)。担当我从祭司们那里听 到这件事的时候,莫伊利斯死了还不到九百年。不过现在,除非河水上升至少到十五、六佩巨斯,它是不会使国土汜溢的。因此,在我看来,如果土地 按着这样的比例不断增高而面积也同样地不断扩大,则居住在莫伊利斯湖下 方其他地区的埃及人以及所谓三角洲上面的居民终有一天会因尼罗河中止汜 溢而永久地受到他们常说希腊人在什么时候要经历到的苦难。在听到希腊人 的全部土地都是用天上的雨水来灌溉,而不是象他们的土地那样,是因河水 的汜溢而得到灌溉时,于是他们就说,总有一天希腊人会对自己的巨大期待 威到失望,而那时他们(指希腊人——译者)便要陷入悲惨的饥馑之境了。这 话的意思等于说,如果有一天神不愿意再降雨给希腊人,而使他们遭受长期 早勉的话,希腊人就会给饥馑消灭掉,因为他们除去指望从宙斯那里取得雨 水之外,他们是没有任何其他的水源的。

    (14)埃及人在这样谈到希腊人的时候,他们的话是非常真切的。现在让 我再说一下埃及人本身的情况如何。正象我刚才所说的,如果孟斐斯下方的 土地(这是一块不断在扩大的土地)继续以和过去一样的速度增高,则既然那 个地方没有雨而河水又不能汜溢到他们的田地上去的时候,那个地方的居民 怎么能够不遭受饥馑呢?现在必须承认,他们比世界上其他任何民族,包括 其他埃及人在内,都易于不费什么劳力而取得大地的果实,因为他们要取得 收获,并不需要用犁犁地,不需要用锄掘地,也不需要做其他人所必需做的 工作。那里的农夫只需等河水自行汜溢出来,流到田地上去灌溉,灌溉后再 退回河床,然后每个人把种子撒在自己的土地上,叫猪上去踏进这些种子, 此后便只是等待收获了。他们是用猪来打谷的,然后把粮食收入谷仓。

    (15)可是,如果我们采用伊奥尼亚人的关于埃及的看法的话,则就只有 三角洲那块地方才是埃及了。他们说,三角洲从所谓培尔赛欧斯监视塔沿海 岸到佩鲁希昂的醃鱼场有四十司科伊诺斯,而从沿海向内地则是直到凯尔卡索洛斯市(在三角洲的东端离开罗不远)的地方;尼罗河便在那里分成两股,分别在佩鲁希昂和卡诺包斯二 地入海。他们说,其他被称为埃及的地方,或属于阿拉伯,或属于利比亚。 如果我们同意这个说法,那我们就等于说在过去埃及人没有自己的领土了。 但我们知道,三角洲,正如埃及人自己所说而我个人也深信不疑的,却是由 河流冲积而成的,而可以说是在不久之前才出现的。倘如他们以前根本没有 领土的话,他们怎么能无聊到竟自标榜为世界上最古的民族呢。而他们也确 实没有必要用婴儿作试验来看一下婴儿最初说的是哪一种语言了。实际上, 我倒并不相信埃及人是和伊奥尼亚人的所谓三角洲同时产生的。我想他们是 从有人类以来便一直存在着;既然土地不断增加,他们中间的许多人便下降 到新的低地上来,也还有许多人留在他们的旧日的土地上。在古昔的时代, 底比斯是称为埃及的,这是一块周边长达六千一百二十斯塔迪昂的地方。

    (16)这样看来,如果我们对于这些事情的判断是正确的话,则伊奥尼亚 人关于埃及的说法就是错误的了。如果,恰恰相反,他们的说法是正确的, 那末我就得指出,不管是伊奥尼亚人,还是其他希腊人是都不懂得如何计算 的,因为他们都说全世界分为三部分:欧罗巴、亚细亚和利比亚;但他们却 必须加上第四部分,即埃及的三角洲,因为他们既没有把它归入亚细亚,也 没有把它归入利比亚。因为按照他们的说法,尼罗河是并不曾把亚细亚和利比亚分开的。既然尼罗河在三角洲的顶点的地方分成数支,则这个三角洲便必然是亚细亚和利比亚之间的一块地方了。 尼罗河的两股主要河道便在这至分开。

    (17)现在我们且把伊奥尼亚人的意见放到一边,来谈一谈我们自己的意 见吧。我们的看法是这样:我们认为埃及是埃及人所居住的全部国土,正仿 佛奇利启亚是奇利启亚人的居住的地方,亚述是亚述人居住的地方一样。而 老实说,除去埃及的境界之外,我们也不知道有什么利比亚和亚述的边界。 如果我们承认希腊人一般所承认的边界,那我们就必须认为全部埃及从埃烈 旁提涅和瀑布起分成西部分,每部分又各属于世界的不同部分,一部分是属 于亚细亚,另一部分是属于利比亚。尼罗河从瀑布到海把埃及从当中分为两 部分,它直到凯尔卡索洛斯城都是一道河流,但是从那里起它分成了三支, 向东的一支称为佩鲁希昂河口,向西的一支则称为卡诺包斯河口。同时尼罗 河中间从上方一直流下来的那一支,到达尼罗河的顶点,继续前行,把三角 洲从中固分开后而流注入海,这个河口和其他河口同样有名,又流着同样多 的尼罗河河水,它的名字叫做赛本努铁斯河口。除去这些河口之外,江有从 赛本努铁斯分出去的另外两个河口。它们一个叫做撒伊司河口,另一个叫做 孟迭司河口。博尔比提涅河口和牧人河口(此系意译——译者)则不是天然的 河口,而是人工挖掘的河渠。

    (18)在前面我已经提出了我对于埃及的领土面积的看法,我的这个看法 由于阿蒙神殿的一次神托而得到了证明;而我是在形成了我的关于埃及的看 法以后,才听到了神的这一宣托的。事情是这样:住在埃及的邻接利比亚的 那一部分领土上的两个城市玛列阿和阿庇斯的市足,认为自己是利比亚人而 不是埃及人,并且不喜欢当地禁止他们吃牛肉的那种有关牺牲的宗教惯例, 于是他们便派人到阿蒙那里去,说他们与埃及人没有共同的地方:他们说, 他们不住在三角洲,又不讲埃及语,因而他们要求允许他们吃随便什么东西。 但是神拒绝了他们的请求,神回答他们说,全部埃及是尼罗河汜溢和灌溉的 一块土地,而全部埃及人就是住在埃烈旁提涅的下方并且饮用尼罗河的河水 的那个民族。神给他们的宣托便是这样。

    (19)尼罗河在汜溢的时候,它不仅汜溢到三角洲上去,而且也汜溢到被 认为是属于利比亚和阿拉伯的那些地方上去;它汜溢到离两岸有两天的路程 的地方,有时远些,有时则近些。关于这个河的性质,不管是从祭司们那里, 还是从别的人那里,我都听不到任何东西。戏特则想从他们那里知道,为什 么足罗河从夏至起便开始上涨并一直上涨一百天,为什么在这段时期过去以 后,它的水位立刻就退落并减弱水流,这样在整个冬天一直保持着低的水位 直到第二年夏至再来的时候。我曾向埃及人打听,尼罗河有怎样的性能而使 自己具有和所有其他的河流相反的性质,但关于这件事,我从居民那里得不 到任何说明。我想知道,并且打听人们对上面提到的那些事情怎样说法,我 还问过他们,为什么尼罗河又与所有其他的河流不同,从它的上面没有微风 吹出来。

    (20)然而,有一些希腊人,为了取得富有智慧的命名,便试图对尼罗河 的这些现象加以解释;他们对这些现象提出了三种不同的说法。其中有两种 说法我认为是不值一谈的,只提一下它们是什么便够了。再有一种说法是认为季节风(夏季从地中海方面定期吹过来的西北风)阻止尼罗河河水入海,故而使河水高涨起来。但是,常常有这样的 情形,那就是在不刮季节风的时候,尼罗河照旧是发生同样作用的;此外, 如果季节风有这种效果的话,那末逆着这种风而流的其他河流也势必呈现和尼罗河相同的现象了,而且它们应当上涨得更要历害,因为其他那些河流都 比较小,水流也比较弱。可是,在叙利亚和利比亚都有很多这样的河流,但 它们在这方面都是和尼罗河完全不同的。

    (21)第二个说法比起刚才提到的那第一个说法来还要没有根据,尽管可 以说它是更加从人听闻的。根据这个说法,则尼罗河所以有这样奇异的现象 发生,因为它的何水是从欧凯阿诺斯流出来的,而欧凯阿诺斯又是周流于全 世界的。

    (22)第三个说法比另外两个说法要动听得多,然而也就更加荒唐无稽 了。这个说法实际上丝毫不比另外的两个说法有更多的真理。依照这个说法, 尼罗河的河水是由于雪的溶化而产生的。但是,既然尼罗河发源于利比亚, 经过埃西欧匹亚的中央而流入埃及,则从世界上最热的地区流到大部分是较 冷的地区的河流,怎么可能是溶解的雪所形成的呢?任何对这样的事情能加 以推理的人都可以提出最有力的论据来证明河水是不可能由积雪形成的;那 就是从利比亚和埃西欧匹亚吹出来的都是热风。第二个论据是:那里从来没 有过下雨和结霜的事情,而如果下雪的话,那在五日之内是一定要有雨的。 第三个论据:当地的居民是由于太阳的热力而变黑的;此外,鸢和燕成年地 留在那里不到用处去,而鹤每年却在斯奇提亚那边,严冬的时候飞到这边来 避寒。因此,如果在尼罗河发源的那个地方,以及在尼罗河流位的那个地方 居然还会下很少一点的雪的话,那末任何这类情况的发生都是绝对不可能 的。

    (23)至于把这些现象归之于欧凯阿诺斯的人,他的理由是以虚无缥缈的 神话为依据的,因此完全没有反驳的必要。就我这方面来说,我从来不知道 有一条叫做欧凯阿藉斯的河流。我想是荷马或者是更古老的一位诗人发明了 这个名字,而把它用到自己的诗作里面来的。

    (24)既然我都不同意上面所提出的意见,对于这些不明确的事情,现在 我必须提出我个人的意见来了。因此,我便来着手解释一下看,为什么尼罗 河的河水会在夏天的时候上涨。在冬季的时候,太阳被暴风吹出它原来的轨 道而移转到利比亚的上方。如果要用最少的话来作出结论的话,问题的关键 就在这里了。因为最容易明白的道理是这样:凡是离日神最近的地方,或日 神直接通过的地方,那里便最缺水,而那里的河水也便最少。

    (25)但如果解释得比较详细的话,实际的情况就是这样。太阳在经过利 比亚上部的时候,对它们发生了这样的影响。那些地方的大气一年到头都是 清朗的,土地是温暖的而且没有凛冽的寒风,因此太阳经过那里的时候,对 它们发生的作用就和在夏天它经过中天时对其他任问地方通常发生的作用完 全相同。这就是说,它把水吸了过来。在把水吸过来以后,它再把水驱到内 部地区,而风便把这些水接过来,再把这些水分散,溶解:这样当然可以想 象到,从这个地区吹出去的风,那南风和西南风,都是带着最多的雨的风。 而我的看法是,太阳每年从尼罗河吸上来的水,它并不完全放出来,而是在 它的身旁保留一些。当冬天变得暖和一些的时候,太阳便重新回到它在中天 的旧轨道上面去并开始同等地从所有的河流吸收水气。到那时为止,其他的 那些河流由于大量流入的雨水而充满了汹捅的激流,因为当地落雨而土地又 被冲出了沟壑。但是到了夏天,由于缺雨,而太阳又吸收了它们的水分,这 些河流的水位便下降了。但尼罗河却恰恰相反,它并不会得到雨水的供应, 又是太阳在冬天才吸水的唯一的河流。因此它当然和其他的河流不同。它在 冬天的水位比夏天要低得多;这是当然的事情。因为在夏天,它和所有其他 的河流一样,河水同样为太阳所吸收,但是在冬天。只有它的水才被太阳所 吸收。从而我以为上面的现争的唯一原因就是太阳。

    (26)因此,在我看来,也正是这个太阳,把它所经过的空间照得灼热, 因此使埃及的空气变得如此干燥。同时利比亚的内地也就变得常年如夏了。 如果把季节的位置改变一下,朔风和冬天所占的地位,为南风和夏天的地位 所占据,而另一方面,南风的地位又为北风所占,结果就是:给冬天和北方 从中天赶了出来的太阳就要到欧罗巴的内地去,就和今天到利比亚的内地去 一样。这样,我相信它通过欧罗已时对伊斯特河的作用,就和今天对尼罗河 的作用完全一样了。

    (27)至于为什么从尼罗河上没有微风吹出来这伴事,我的意见是,从酷 热的地方是不可能有风吹过来的,因为微风总是喜欢从十分寒冷的地方吹出 来的。

    (28)这样的事情就是这样的了,就和从一开头便是这样一样。至于尼罗 河的水源的情况,和我谈过话的埃及人、利比亚人或希腊人都没有向我说过 他们知道什么东西。例外的只有一个人,他就是埃及撒伊司城雅典娜圣库的 主簿。当他说,他对于尼罗河的水源知道得十分清楚的时候,我党得他是在 跟我开玩笑。他的说法是这样:在底比斯的一个城市叙埃涅和埃烈旁提涅之 周,有两座尖顶的山。一座山叫做克罗披山,另一座山叫做摩披山。尼罗河 的水源便在这两山中间,这是一个深不知底的水源。它一半的水向北流入埃 及,一半的水向南流入埃西欧匹亚。他说,这个水源据说是深得没有底的, 因为埃及的一位国王普撒美提科斯曾经测验过它的深度,从而证实了这个事 实。他制造了一根有好几千寻长的绳子,把它沉到水源里面去,然而却摸不 到底。因此这个主簿便使我认识到,如果他所说的话还有可信之处的话,在 水源的这个地方有一些强力的淌漩和一股逆流,故而在水流冲击两山的情况 之下。这个测锤是不能到达水源之底的。

    (29)此外,从任何其他人那里我便没有听到任何东西了。由于我亲身上 行直到埃烈旁提涅去视察并且对于从那里再向上的地区根据传闻来加以探 讨;结果我所能切道的全部情况便是这样:当一个人再从埃烈旁提涅上行的 时候,土地就升高了。因此人们就需要在河的这一部分,就好象人拉着牛的 那个样子抬船的每边系上一根绳子,这样溯河行进。如果绳子断了,船就会 拾水流的力量带回到河的下游去。航程在这样的河道上要继续四天,这里的 尼罗河是与迈安德罗司河一样地曲折,这样必复走社的距离要有十二司科伊 诺斯。在这之后你便走到一个平坦的原野上面了,尼罗河在这里分成两支, 因为在河流中间夹着一个叫做塔孔普索的岛。埃烈旁提涅以上的地方就开始 住看埃西欧匹亚人,他们占有这个岛的一半,而埃及人占另一半。在岛的附 近叉有一个大湖,而埃西欧匹亚的游牧民就住在这个大湖的周边。过去这个 大湖,你便又来到了流入这个大湖的尼罗河。在这里,你得登陆井沿着河岸 步行四十日,因为尼罗河的河水中有突出水面的尖峰,而在那里的水而下又 有许多暗礁,因此人们便不可能再乘船上行了。当你在四十天中间这样经过 了河流的这一部分的时候,你便可只再乘船循着水路走十二天,到了这段时 期的末尾的时候,你便来到了一个称为美洛埃的大城市。这个城市据说是其 他埃西欧匹亚人的首府。当地的居屁所崇拜的只有宙斯和狄奥尼索斯(指埃及的阿蒙和奥西里斯)两个 神。他们对这些神是非常尊敬的。城中有宙斯神的一个神托所,这个神托所 指挥着埃西欧匹亚人的故事:神托命令他们什么时候作战,向着什么地方出 征,他们便立刻拿起武器来照办。

    (30)离开这座城市再溯河上行,经过你从埃烈旁提涅到埃画欧匹亚人的 这个首都所需的同样的时间,你便来到了称为”逃走者”的地方。这些逃走者被称为阿斯玛克(’Aσμá?),这个词如果译成我们的语言(希腊语)的话,它的意义就是“侍立在国王左面的人”。这些逃走者是属于武士 阶极的埃及人,人数有二十四万,他们是在国王普撒美提科斯的统治时代背 叛了他而到埃西欧匹亚人这里来的。他们逃走的原因是这样的。普撒美提科 斯当政时,在埃及有三支卫成部队:一支驻在埃烈旁提涅城用来对付埃西欧 匹亚人,一支驻在佩鲁希昂的达普钠伊用来对付阿拉伯人和权利亚人,还有 一支驻在玛列阿用来对付利比亚人。而直到我的时候,波斯人和在普撒美提 科斯的时代一样,仍然守卫这些地点;他们在埃烈旁提涅和达普纳伊都设有 卫戍部队。但是有一次埃及的卫戍部队在三年中间并没有被替换。于是士兵 到三年末的时候,便共同进行了商议;在他们一致同意举行哗变之后,他们 便叛离了普撒美提科斯,向埃西欧匹亚人那边去了。普撒美提科斯听到了这 个行动,便在他们的后面追,而等他追着他们的时候,就说了许多话来恳求 他们,请他们不要高弃他们父祖历代奉祀的诸神,不要离弃他们的妻子儿女。 但是据说其中的一个人指着自己的生殖器说,不管他们走到什么地方,他们 是不愁没有妻子儿女的。这样,在他们到达埃西欧匹亚之后,他们便把自己 交给国王、任凭他来安置。国王为了答报,便赠给他们一块与他不和的某些 埃西欧匹亚人的土地,办法是他命令他们把上面的居民赶跑而取得这块土 地。自从埃及人归化而在这块土地上定居以来,埃西欧匹亚人学习了埃及的 风俗习惯,这样就使得他们的性情比先前更加柔和了。

    (31)这样,不仅仅是 通过全部埃及,就是从埃及的疆界向上,陆路与水路四个月路程的地方,尼 罗河行痤的道路我们都知道了。计算一下便可以看到,从埃烈旁提涅到上述 的逃走者的土地那里,就需要那佯长的一段时间。在那里,河流的方向是从 西、从日没的地方向东流的。从那里再向上,就没有人知道它流到什么地方 去了。那个地方太热,因此那里也就成了一片无人居住的沙漠地带。

    (32)然而我从库列涅当地的某些人那里却也听到一些话,现在我要把它 们转述一下。他们说,有一次他们到阿蒙的神托所那里去,在那里和阿蒙人 的国王埃铁阿尔科斯交谈,谈话中间他们偶然谈到了尼罗河,说不知为什么 没有人知道它的水源。埃铁阿尔科斯听见这话之后就说,过去有一些纳撒蒙 人曾到他的宫殿来,而当他问他们是否能提供关于利比亚的无人居住的地区 的任何情报时,他们便向埃铁阿尔科斯讲了下面的故事。纳撒蒙人是利比亚 的一个部落,他们占居在叙尔提斯和叙尔提斯东部的不大的一块地方。他们 说,在他们中间有一些粗暴狂做的少年,这些少年是领袖人物的子弟,当这 些少年长大成人的时候,除去于出了各种各样无法无天的事情之外,他们还 用抽签的办法选出他们中间的五个人到利比亚的荒漠地带去探险,试一试他 们是否能够深入到比前人所曾到达的最遥远的地带更远的地方去探查。利比 亚的北部海岸,从埃及直到利比亚的一端的索洛埃司岬的全部地带,住着许多不同部落的利比亚人;他们占居着整个地带,只有属于腓尼基人和希腊人 的某些部分是例外。从海岸线和海边居民的地区向上,利比亚便是猛兽经常 出没的地区了。从猛兽出没的地区再向上,便是一片沙砾的地区,是极其缺 水的地区,是完完全全的荒漠之地了,因此,这些青年人他们说便为了这件 事被他们的同伴们派了出来,而在出发时他们带了充足的水和食粮;他们起 初是旅行在有人居住的地区,过了这个地区之后,他们便到了野兽出没的地 区;从那里他们最后进入了一片沙漠,他们是按着从东到西的方向在沙漠上 行进的。在一片广大的沙漠上行进了许多天之后,他们终于走到了一个平原, 他们在平原上看到育树生长看。他们走到这些树跟前,看到有果子长在上面, 便动手采集这些果子。正当他们采集果子的时候,他们看到一些比普通人要 矮小的侏儒走过来,这些侏儒把他们捕获并给带走了。纳撒蒙人一点也不懂 他们的话,他们也一点也不懂纳撒蒙人的话;他们被领过了一片的沼泽地带, 最后到了一个城镇,那里的人都和带领他们的侏儒一样高,而肤色也是黑色 的。有一条大河流过这个城镇,流向是从西到日出的方向,河里面可以看到 鳄鱼。

    (33)现在我眈不再提阿蒙人埃敛阿尔科斯所说的故事了;我只是附带说 一下,根据库列涅人的说法,他曾宣称,纳撒蒙人安全地返回了自己的国土, 而他们所到达的那个城镇的人们是一个以巫师为业的民族。至于流经他们的 城镇的那条河流,埃铁阿尔科斯猜想是尼罗河。这个看法很有道理因为尼罗 河从利比亚流出,一直流经这块地方的中央,而据我猜想,从己经知道的来 推想不知道的,它是发源于和伊斯特河相同距离的地方。伊斯特河发源于凯 尔特人居往的地方和披列涅城附近,流经欧罗巴的中部并将其分为两部。凯 尔特人则居住在海拉克列斯柱之外,与居住在欧罗巴最西端的库涅西欧伊人 为邻,因此伊斯特河在最后流入黑海之前,曾贯流整个欧罗巴,它的河口地 方的伊司脱里亚则是米利都人的一个殖民地。

    (34)既然这条河流过了有人居住的那些地区,所以人们对它的河道大体 是知道得清楚的。但是尼罗何的河源却无人能说出来,因为它所经过的利比 亚是一片杏无人迹的沙漠。关于这条河,我所作的叙述,是我尽全力所能探 索到的东西了。它是从埃及以外的地区流入埃及的。埃及大体上是对着奇里 启亚的山区的:一个轻装的旅人从那里可以在五天当中一直走到黑海上的西 诺佩。西诺佩位于与伊斯特河入海处相对的地方。因此,我的看法是,尼罗 河穿过整个利比亚的长度等于伊斯特河的长度,关于尼罗河,我所耍谈的就 是这些了。

    (35)但是,关于埃及本身,我打算说得详细些,因为浚有任何一个国家 有这样多的个人惊异的事物,没有任阿一个国家有这样多的非笔墨所能形容 的巨大业植。因此在下面我要仔细谈一谈。不仅是那里的气候和世界其他各 地不同,河流的性质和其他任何河流的性质不同,而且居民的大部分风俗习 惯也和所有其他人的风俗习惯恰恰相反。他们上市堤买卖的都是妇女,男子 则坐在家里纺线。世界上其他地方的人织布时把纬线推到上面去,但埃及人 则拉到下面来。埃及的妇女用肩担东西,但男子则用头顶着东西。妇女小便 时站着,男子小便时却蹲着。他们吃东西的时候是在外面的街上,但是大小 便却在自己的家里,他们这样做的理由是凡是不体面但是必须的事情应当在 秘密地来做,如果没有什么不体面的事情,则应当公开地来做。妇女不能担 任男神或是女神的祭司,但男子则可以担任男神或是女神的祭司。儿子除非 是出于自愿,他们没有扶养双亲的义务,但是女儿不管她们愿意不愿意,她 们是必复扶养双亲的。

    (36)在别的国家,诸神的祭司都是留着长头发的,但是在埃及,他们却 是剃发的。根据别的地方的风俗,为了对死者表示哀悼,死者的最亲近的人 都要剃发,但是在埃及,人们在别的时候剃发,而当他们有亲人死亡的时候, 他们反而任他们的须发长长。所有其他的人一生是和畜类分开过活的,但埃 及人却总是和畜类居住在一起。所有别的人们是以大麦和小麦做自己的食品 的,担埃及人认为用这样的办法维持生活是最不体面的事情,因为在那里, 他们借以为生的谷物是一种有人称之为宰阿的小麦。他们是用脚来和面的, 但是他们却用手和泥土,拿粪便。他们至少是世界上仅有的割除包皮的民族, 当然还要加上那些向他们学样的人。他们的每个勇子有两件衣服,而妇女则 只有一件。其他地方的人把帆的膝孔和帆脚索系在船的外侧、而埃及则是在 内侧。在写算的时候,希腊人是从左向右运笔,但埃及人则是从右向左运笔 的;尽管如此,他们还是说,他们是向右,而希腊人是向左的。他们使用两 种完全不同的文字,一种叫做圣休文字,另一种叫做俗体文字。

    (37)他们比任何民族都远为相信宗教。他们有着这样的一些风俗:他们 用青铜盆饮水,这青铜盆他们每天都要磨洗干净:不是部分的人才这样做, 而是没有人能够例外。他们穿麻布的衣服,这种衣服他们经常特别注意洗得 干干净净。他们行割礼是为了干净;他们认为干净比体面更重要。祭司们每 隔两天就要把全身剃一遍,而当他们在执行奉祀诸神的任务的时候,他们是 不允许虱子或其他不净之物沾到他们的身上的。祭司们的人服是麻制的,他 们的凉鞋是纸草做的。他们是不许穿其他材料制成的衣服或鞋子的。他们每 天在冷水里沐浴两次,每夜两次。在这之外,可以说、他们还要遵守成千上 万的教规。然而他们也享受不少的特惠。他们既不消耗他们自己的物品,也 不用花费自己的钱去买任何东西;每天他们都得到用谷物制作好的圣食,人 们还分配给他们丰富的牛肉和鹅肉以及一份葡萄酒。他们不能吃鱼,至于蚕 豆,则埃及人是不播种的,如果是天然长出来的,则不拘是生的还是煮熟的 埃及人都不吃;那些祭司甚至建看它一眼都不能忍受,因为在祭司们的心目 中,蚕豆乃是一种不净的豆类。每个神都有一样祭司,而不是一个祭司来奉 祀,这些祭司中固有一个人是祭司长。如果其中有谁死了的话,则这个人的 儿子就被任命代替他的职务。

    (38)他们认为牡牛是属于埃帕波司神的,因此他们用这样的办法来检验 牡牛:为了这个目的而任命一个祭司来进行愤查,看是否在这个牛身上有一 根黑毛,如果有的话,这头牲畜就是不净的了。这个祭司检查它的全身,先 是叫它站着,然后再叫它仰卧下来;在这之后,他又把牛的舌头拉出来,根 据我要在本书其他的地方谈到的那些规定的特征来看一看是净还是不净。他 还检查尾巴上的毛,看它是否自然成长的。如果这个牛在所有这些不同的方 面都被宣布为洁净的话,祭司便把纸草卷到它的角上作为记号,把封泥抹到 上面,然后再用他自己的指环上的印鉴在上面捺印。在这之后,这头牡牛便 被他们领走了;凡是没有经过祭司这样鉴定的牛,如果用作牺牲的话,当事 人是要受到死刑的惩罚的。畜类的检查方式便是这样。下面我再说一说他们 的牺牲奉献式。

    (39)他们把他们捺了印的牲畜领到将用来奉献的祭坛那里去,点上了 火,然后把灌奠用酒洒在牺牲前面的祭坛上,并呼唤神的名字:然后他们便 割断它的咽喉,把它的头拾切了下来,进而更剥下它全身的皮。再后他们就 拿着它的头,在这上面念一通咒;如果有市场而那里又有一批希腊商人的话, 他们便把这头带到那里去立刻卖掉,如果在他们那里没有希腊人的话,他们 便把这头抛到河里去。他们对着头念一通咒是为了这个:如果奉献牺牲的人 们,或者整个埃及会遭到任何凶事的话,他们希望这凶事会转到牛头上面来。 对牺牲的头念咒以及用酒来灌奠,这些仪式对埃及人都是一样的,而且同样 用于各种各样的牺牲。由于这一习惯,埃及人是绝对不吃任何动物的头的。

    (40)至于为牺牲剖腹和烧烤牺牲的方法,对于每一种牺牲却是各不相同 了。我现在要说一下对于他们心目中最大的女神,也是用最隆重的节日来奉 祀的女神,所使用的方法。在剥了牡牛的皮之后,他们就祈祷;在祈祷完竿 之后,他们就把这头牛腹部内的一切全部取出,只把内脏和脂肪留在体内; 然后他们再切掉它的四条腿、臀部、肩部和颈部。他们做完了这一步以后, 便把牛的身体内部装满了洁净的(上供用)面包、蜂蜜、葡萄干、 无花果、乳香、没药以及其他香料。这样装满之后,他们便用火烧烤这头牛, 烧烤时并把大量的橄榄油浇到上面。在奉献牺牲之先,他们是断食的,而当 牺牲的身体被烧烤着的时候,他们捶胸哀悼,而随后,当他们捶胸哀悼完毕 的时候,便用牺牲的剩下的部分来举行宴会。

    (41)因此,所有的埃及人都是使用洁净的牡牛和牡牛犒来当作牺牲的。 但是,他们却不许用牝牛来当作牺牲,因为牝牛是伊西司的圣兽。这个女神 的神像的外形象是一个妇女,但是有牝牛的一对角,因而和希腊人想象中的 伊奥神一样。全体埃及入对于牝牛的尊崇,同样都是远远地超过其他任何畜 类。这一点便说明,为什么没有一个埃及当地的人,不拘他是男人还是女人, 会和希腊人接吻,或是用希腊人的刀子、铁条、或锅,或是尝一下用希腊人 的刀子宰割的、洁净的牡牛的肉。在牛死的时候,他们是这样处理的:牝牛 是被投到河里去,牡牛则埋在城郊,但是把一只角或是两只角露在地面上以 为标记。等牛的身体腐烂而指定的时期到来时,从一个叫做普洛索披提斯的 岛那里来一只船,这只船依次到各个城市去收集牛骨。普洛索披提斯岛是三 角洲地带的一个岛(实际上是三角洲的一部分——译者),周边有九司科伊诺 斯长。在普洛索披提斯岛上江有其他许多城市,派船未收集牛骨的那个城市 叫做阿塔尔倍奇斯。在那个城市里,有一座非常神圣的阿普洛狄铁神殿,许 多人从这个城市出发分别到别的各个城市去挖掘牛骨,然后他们把这些牛骨 带走并全部埋到一个地方去。对于其他家畜的埋葬,他们也是使用着和埋葬 牛相同的办法。对于这些家畜他们有同样的规定,因为他们也是不能屠杀这 些家畜的。

    (42)在本地有底比斯·宙斯的神殿或是住在底比斯诺姆的埃及人是不用 手摸绵羊,而只用山羊当作牺牲的。因为除了伊西司和他们说相当于狄奥尼 索斯的奥西里斯以外,全部埃及人并不都是崇拜同样的一些神的。恰恰相反, 那些有着孟迭司神神殿的人们,或是属于孟迭司诺姆的人们却不去触山羊, 而是用绵羊为牺牲。底比斯人以及在本身行动上模仿他们、也不用手摸羊的 人们,是这样地来解释这一风俗的起源的。他们说,海拉克列斯希望不管怎 么样都要看到宙斯,但是宙斯不愿意自己被他看到。结果,既然海拉克列斯 坚持请求,宙斯便想出了一个办法:他剥了一只牡羊的皮,而在他把它的头 割掉以后,便把它的头举在自己的前面,而身上则披着剥下来的羊皮。他便 在这样的伪装之下使海拉克列斯看到自己。因此,埃及人就拾宙斯神的神象 安上了一个牡羊的头,而这个做法又从埃及人传到阿蒙人那里去;阿蒙人是 埃及人与埃西欧匹亚人的移民,而他们所用的语言也是介乎埃及需与埃西欧 四亚语之间的。因此,在我看来,他们所以自称阿蒙人,是因为宙斯在埃及 人那里是叫做阿蒙。这就说明为什么底比斯人不把牡羊用来当作牺牲,而把 它们当作圣兽来看待。然而,在每年却有一天,即在宙斯的祭日里,他们只 宰杀一头牡羊,把它的皮剥去,把这皮来披到神像上面,就如同宙斯神曾自 己披上羊皮一样;然后,他们再把海拉克列斯的一座神像抬到宙斯神像的面 前来。当这一切做完以后,来到神殿这里的一切人便为这只牡羊捶胸哀悼, 然后便把它埋到圣墓里去。

    (43)关于海拉克列斯,我听说他乃是十二神之一。关于希腊人所知道的 另一个海拉克列斯,我在埃及的任何地方都听不到的。实际上,海拉克列斯 这个名字不是埃及人从希腊人那里得来的,而勿宁说是希腊人,即把海杭克 列斯这个名字给予阿姆彼特利昂的儿子的那些希腊人,从埃及人那里取得了 这个名字;这件事我其实是可以提出许多谕据来的,而在这些谕据当中,特 剔可以提出这样的一个事实,即海拉克列斯的双亲阿姆披特和昂和阿尔克美 涅都是出身于埃及的。而且埃及人又说他们根本不知道波赛东和狄奥斯科洛 伊的名字,并且不把他们列到他们的诸神中间去。但是,如果他们从希腊人 那里采用了任何神的名字,那未这些名字是最可能引起了他们的注意而念念 不忘的;因为根据我的推测和判断,埃及人在当时是航海的,而一些希腊人 也是航海的,因而这些神的名字会比海拉克列斯的名字更可能为埃及人所 知。但埃及的侮拉克列斯是埃及人的一位古老的神。他们说,在阿玛西斯当 政时期之前一万七千年,便由八个神变成了十二个神,而这十二个神当中的 一位就是海拉克列斯。

    (44)而且,为了在这伴事情上,我可以不管从什么方面得到确切的知道, 我到腓尼基的推罗那里作了一次海上的旅行,因为我听说,在那里有很受尊 崇的一座海拉克列斯神殿。我拜访了这座神殿,并发现那里陈设着并多贵重 的奉纳品,其中有两根柱子,一根是纯金的,一根是缘柱石的,这是一根在 夜里放光的大柱子。在我和那里的祭司谈话时,我打听这座神殿修建了有多 久;由于他们的回答。我发现他们的说法也是和希腊人有所不同的。他们说 修建这座神殿时,也正是建城的时候,而这座城的建立则是两千三百年前的 事情了。我在推罗还看到另一座神殿,在那座神殿里供奉着以塔索斯为姓的 海拉克列斯。因此我又到塔索斯去,在那里我看到了海拉克列斯的一座神殿, 这座神殿是出海寻找欧罗已时在这个岛上殖民的僻尼基人修建的。他们做这 件事的时候比起阿姆彼特利昂的儿子生在希腊的时候还要早五代。我的这些 探讨很清楚地表明,海拉克列斯乃是一位十分古老的神。而我的意见则是: 修建和奉祁海拉克列斯的两座神殿的希腊人,他们的做法是十分正确的;在 一座神殿里海拉克列斯是欧林波斯的神,人们把他当作不死之神而向他呈献 牺牲,但是在另一座神殿里,人们是把他当作一位死去的人间英雄来奉祀的。

    (45)希腊人谈过许多没有适当根据的话,在这些话当中,有下面关于海 拉克列斯的一段荒唐无稽的说法。他们说,当海拉克列斯到达埃及的时候, 当地的居民便给他的头上戴上一个花环,然后把他带到一个行列里面来,打 算把他当作牺牲献拾宙斯。在开头的一些时候,他一声不响地跟着走。但当 他们把他颁到祭坛前面而开始举行奉献牺牲的仪式的时候,他便施屡出他的 力量来自卫而把他们全都杀死了。然而在我看来,这种说法却证明希腊人完 全不知道埃及人这个民族的性格和风俗习惯。埃及人除去限于清净的豚、牡 牛和牡牛循以及鹅之外,甚至连家畜都不用做牺牲的,怎么还能相信他们用 人来作牺牲呢?而且,单是海拉克列斯一个人又怎么能够象他们所说的,能 够以一个凡人的力量杀死成千上万的人呢?我说了这样多关于这件事情的 话,我想神或是英雄不会因此而感到不愉快罢!

    (46)上面我已经提到,埃及 人是不用公山羊或是母山羊作牺牲的。理由是这样:称为孟迭司人的埃及人 认为潘恩是十二神之先的八神之一。在埃及,国家和雕刻家所表现的潘恩神 和在希腊一样,这位神长着山羊的面孔和山羊的腿。但是他们不相信他就真 是这个样子或以为他与其他的神均有所不同,他们所以把他表现成这种形状 的理由我想还是不说为好。孟迭司人尊崇一切山羊,对牡山羊比对牝山羊更 加尊崇,特别是尊崇山羊的收入。有一只牡山羊被认为是比所有其他的牡山 羊都更要受到尊崇,当这只山羊死掉的时候,在整个孟迭司诺姆都规定要举 行大规模的哀悼。在埃及语里,公山羊和潘恩都叫做孟迭司。在我当时:在 这个诺姆里发生了一伴奇怪的事情,一个妇女和牡山羊公然性交。这件事是 大家都己经知道了的。

    (47)在埃及人的眼里,豚是一种不洁净的畜类。首先,如果一个埃及人 在走路时偶然触着了一只豚,他立刻就要赶到河边,穿看衣服跳到河里去。 第二,即使牧豚人是土著的埃及人,也没有人愿意把自己女儿嫁给牧豚人, 或是从牧豚人中间讨一个老婆,因而牧豚人不得不在他们中间相互结婚。他 们认为不应把豚作为牺牲献给任何神,只有对狄奥尼索斯和月亮是例外;他 们是在同时,同是在满月的时候向他们呈献作为牺牲的豚,随后便把这豚吃 掉了。埃及人自己也有一个理由,来说明为什么在这个祭典中用豚作牺牲而 在别的祭典中又非常憎恶它,这个理由我虽然知道的,但我觉得我是不适于 在这里说到它的。下面我要说一说他们怎样把豚当作牺牲奉献给月亮:牺牲 被屠宰之后,它的尾巴尖、脾脏和大网膜便被放到一起,并且用从牺牲的腹 部掏出来的全部脂肪盖起来,继而用火把它烧光。至于牺牲其他部分的肉, 他们便在奉献牺牲的当天吃掉。而那当天就是满月的一天:在其他的任何一 天,他们是连尝也不尝一下的。没有钱奉献活豚的穷人就用面捏一只豚,用 火烤之后再呈献给神。

    (48)对于狄奥尼索斯,则每个人都在这位神的祭日的前夜,奉献一只小 豚;这只小脉就在每个人自己的门口屠宰,然后把它交回给卖豚的牧豚人并 由他带走。在别的方面,狄奥尼索斯的这个祭日的庆祝是几乎和希腊人的狄 奥尼索斯的祭日完全相同的,所不同的只是埃及人没有伴以合唱的舞蹈。他 们发明了另外一种东西来代替男性生殖器,这是大约有一佩巨斯高的人像, 这个人像在小绳的操纵下可以活动,它给妇女们带着到各个村庄去转。这些 人像的男性生殖器,和人像本身差不多大小,也会动。一个吹笛的人走在前 面,妇女们在后面跟着,嘴里唱着狄奥尼索斯神的赞美诗。至于为什么人际 的生殖器部分那样大,为什么又只有那一部分动,他们是有宗教上的理由的。

    (49)然而,我以为,阿米铁昂的儿子美拉姆波司是不会不知道这个仪式 的,而且我以为,他勿宁可以说是很精通这个仪式的。美拉姆波司就是把狄 奥尼索斯的名字,他的崇拜仪式以及带着男性生殖器的行列介绍给希腊人的 人。然而,我并不是确切地说他什么全都懂得,因此他还不能毫无遗漏地把 一切教仪介绍处来,不过从他那时以来,许多智者却已经把他的教仪补充得 更加完善了。但无论如何希腊人是从他那里学会在奉祀狄奥尼索斯时,举办 带者男性生殖器的游行行列的,而他们现在所做的事也是他教给的。因此, 我认为,智慧的并且懂得预言术的美拉姆波司,既然由于他在埃及得到的卉 多知识之外还精通狄奥尼索斯的祭仪,他便把它加以少许的改变而介绍到希 腊来;当然,同时他一定还介绍了其他事物。因为我不能同意,认为希腊的 狄奥尼索斯祭和埃及的同样祭典之十分近似,这只是一种偶合;如果是那样 的话,希腊的祭仪便一定是希腊性质的,也不会是最近才给介绍过来的了。 我还不能同意,这些风俗习惯或任何其他的事物是埃及人从希腊人那里学来 的。我自己的看法是美拉姆波司主要地是从推罗入卡得莫斯以及从卡得莫斯 自排尼基带到现在称为贝奥提亚的地方来的那些人们那里学到了有关狄奥尼 索斯祭典的事情。

    (50)可以说,几乎所有神的名字都是从埃及傅人希腊的。我的研究证明, 它们完全是起源于异邦人那里的,而我个人的意见则是,较大的一部分则是 起源于埃及的。除去我前面所提到的波赛东和狄奥司科洛伊,以及希拉、希 司提亚、铁米斯、卡利铁司和涅列伊戴斯这些名字之外,其他的神名都是在 极古老的时候便为埃及人所知悉了。我这样讲,是有埃及人自己说的话为依 据的。他们说他们不知道名字的那些神,我以为除去波赛东之外,都是希腊 人从佩拉司吉人那里才知道了名字的。至于波赛东这个名字,则他们是从利 比亚人那里知道的。在古代的一切足族当中,只有利比亚人一直在崇奉这个 神,而已也只有这个民族从一开头便有这样一个名字的神。埃及人在宗教上 是不崇奉英雄的。

    (51)这些风俗习惯以及我就要介绍的其他风俗习惯都是希腊人从埃及人 那里学来的。但是海尔美士的那些猥亵的神像却不是从埃及人那里学来的。 这种神像的制作是从佩拉司吉人那里学来的,而在希腊人当中,第一个学到 的是雅典人,雅典人又把它教给其他希腊人。因为当佩拉司吉人来和雅典人 住在一起的时候,雅典人已经被算作是希腊人了,因此他们也开始被认为是 希腊人。萨摩特拉开人从佩拉司吉人那里学到了卡只洛伊的仪式而到现在还 实行着这种仪式,任何人如果被传授以这种仪式,他便会懂得我的意思。萨 摩特拉开以前是由到雅典人这里来和他们住在一起的佩拉司吉人住着的,萨 摩特拉开人就是从他们那里学到了仪式的。因此,雅典人便第一个制作了海 尔美士的温亵神像,他们这样做是因为佩拉司吉人教了他们。佩拉司吉人关 于这件事曾讲过一个神圣的故事,这个故事在萨摩特拉开的秘仪中是曾经加 以说明的。

    (52)在先前的时候,佩拉司吉人呈献牺牲时向神呼号,但是他们并不呼 叫任何一位神的名字;因为他们还没有听说过这样的名字。我知道这伴事、 是因为在多辉那有人告诉过我。他们称它们为神,因为一切事物和这些事物 的适当分配都是由它们来安排的。然而。在一个长时期以后,他们从埃及学 到了首先是其他诸神的名字,又过了很久,才学到了狄奥尼索斯的名字。于 是他们立刻到多铎那的神托所去请示关于神的名字的事情。因为这个神托所 被认为是希腊最古老的一个神托所,而在那时也是唯一的神托所。当佩拉司 吉人那时在多铎那请示,他们应否采纳从外国传来的名字时,神托命令他们 采纳这些名字。从那时起,他们便在他们奉献牺牲时使用这些神的名字;后 来希腊人叉从佩拉司吉人那里学到了这些名字。

    (53)然而,从什么地方每一个神产生出来,或者是不是它们都一直存在 着,他们的外形是怎样的,这一切可以说,是希腊人在不久之前才知道的。 因为我认为,赫西奥德与荷马的时代比之我的时代不会早位四百年;是他们 把诸神的家世教给希腊人,把它们的一些名字、尊荣和技艺教拾所有的人并 且说出了它们的外形。然而据说比赫西奥德与荷马更老的那些诗人,在我看 来,反而是生得比较晚的。上述这一切当中开头的部分是多铎那的女祭司们 讲的;关于赫西奥德的、后面的部分则是我自己说的。

    (54)但是,关于希腊的神托以及利比亚的神托,这都是埃及人讲的。底 比斯的宙斯神的祭司们舍诉我诅,徘尼基人曾从底比斯带走了两个女祭司: 他们说他们后来打听到,其中的一个人被带走并且给卖到利比亚去了,另一 个人则被卖到希腊去了。他们说,这两个妇女在上述两地第一次建立了神托 所。当我问他们,他们可以知道得这样确实的时候,他们回答说,他们当地 的人曾到处用心寻找这两个妇女,却根本未能找到她们,但是后来才听到他 们现在告诉给我的这个故事。

    (55)以上是我从底比斯的祭司们那里听来的:下面则是我从多铎那的巫 女们那里听来的:这是说,两只黑鸽子从底比斯飞到了埃及,一只到利比亚, 一只到多铎那;后面的一只落到一株懈树上,口出人言,说那里必须设立一 座宙斯神的神托所:多铎那的居民知道这乃是神的意旨,于是他们便建立了 一座宣示神托的神殿。他们说,到利比亚来的那只鸽子命令利比亚人建立阿 蒙神的一座神托所;这也是奉祀宙斯神的。这便是多铎那的女祭司们所说的 故事。 在这些女祭司当中,最年长的是普洛美涅亚,其次是提玛列捷,最年轻 的是尼坎德拉;多铎那神殿的其他执事也对此深信不疑。

    (56)但是对于这件事,我个人的看法是这样。如果腓尼墓人真地带走了 巫女并且把她们一个卖到利比亚,一个卖到希腊去的话,那未,我想,现在 称为希腊,但以前称为佩拉司吉亚的地方,即后面的一个巫女被出卖的地方, 就是铁斯普洛提亚(铁斯普洛托伊人居住的地方)了;而且她在那里被奴役之 后,她立刻便在那里长着的槲树下修造了一座宙斯的神殿。因为她既然在底 比斯是宙斯神殿的一名侍女,她应该记得她的故士的那座神殿,这是理所当 然的事情。在这之后,等他通晓了希腊语的时候,他便传授神托的法术;她 说她的姊妹被同样也卖了她的腓尼基人卖到利比亚去了。

    (57)我认为多铎那的人们是把这些妇女称为鸽子的,因为她们说外国 话,于是当地的人们便认为这种话和鸟叫一样了;然而不久妇女便说出了他 们可以懂得的话,这便说明了何以他们说鸽子讲出了人言;只要她用她的外 国语讲话,他们就认为她的声音象是一只晨的声音。要知道,鸽子怎么能讲 人话呢?故事中所以说鸽子是黑的,这意思是说,妇女是埃及人。埃及的底 比斯和多铎那的神托方式是相似的;而且从牺牲来进行占卜的方法也是从埃 及学来的。

    (58)埃及人又好象是第一个举行祭日时的庄严的集会、游行行列和法事 的民族。希腊人从他们那里学到了这一切事物,我认为这是有根据的,因为 埃及的仪式显然是非常古老的,而希腊的仪式则是不久之前才开始有的。

    (59)埃及人在一年中间不是举行一衣隆重的集会,而是好几次隆重的集 会。在这些集会当中,最主要的同时也是举行得最热心的是布巴斯提斯市的 阿尔铁米司祭。在重要性方面,次于阿尔铁米司祭的是布希里斯举行的伊西 司祭。布希里斯城位于埃及三角洲的中央。在那里有伊西司神的一座最为巨 大的神殿,伊西司在希腊语中是叫做戴美特尔。在撒伊司举行的雅典娜祭是 第三个最大的祭日;第四是黑里欧波里斯的太阳祭,第五是布头的列托祭, 第六是帕普雷米斯市的阿列斯祭。

    (60)人们到布已斯提斯市去集会时,经过的情况是这样:男子和妇女都 在一起循水路前来,每只船上都乘坐着许多人,一些妇女打着手里的响板, 一些男子则在全部的行程中吹奏着笛子。其他的旅客,不分男女,则都唱歌 和鼓掌。当他们在往布巴斯提斯的途中到临河的两岸之上的任何市镇时,他 们都使船靠岸;于是一些妇女继续象我上面所说的那样做,一些妇女高声向 那个市镇的妇女开玩笑,一些妇女跳舞,再有一些妇女站起来撩起衣服来露 出自己的身体。在他们这样地行过了全程的水路以后,他们便到了布已斯提 斯:在那里他们用丰富的牺牲来庆祝祭日。在这一个祭日里听消耗的酒比一 年剩下的全部时期所消耗的酒坯要多:参加祭日的人,单是计算成年男女, 不把小孩针算在内,根据当地人的说法,便有七十万人。

    (61)这便是他们在那里的行事。至于布希里斯城的伊西司祭的仪式,我 已经说过了。在那里,成千上万的全体男女群众在牺牲式结束后捶胸哀悼。 至于他们所哀悼的是谁,由于在宗教上害怕犯不敬之罪,我就不提了。住在 埃及的卡里亚人在这个日子里做得比他们还要过火,这些卡里亚人甚至用小 刀把自己的前额割伤。由于这样做,他们就可以使人知道,他们乃是异邦人, 而不是埃及人。

    (62)一个夜晚,当他们在撒伊司集会奉献牺牲时,那里所有的居民郡在 自己家周边的户外点上许多油灯。他们所用的油灯是满盛看油与盐的混合物 的一种碟状器皿,灯心就浮在那上面。这些油灯整夜都点看,因此这个祭日 就称为灯祭。那些不参加祭典的埃及人,在祭日的那天夜里,也要和其他的 人一样地小心守夜,不叫油灯熄灭。点灯不限于撒伊司一城,而是遍及于全 埃及。有一段圣话可以说明为什么要特别奉祀这一夜,为什么在这一夜里要 点油灯。

    (63)在黑里欧波里斯和布头,他们到那里去集会只是为了奉献牺牲:但 是在帕普雷美斯,则除了和别的地方同样地窄献牺牲和同样地执笔仪式之 外,人们还有下面的一种风俗。即当太阳下落的时候。 只有几个祭司留下继续照管着神像,大部分的祭司则在手里拿着木棍, 站在神殿入口的地方。站在这些人对面的又有一千多人,他们和另外那些人 一样地拿着木棍并在那里发愿。原来保存在一个包着金箔的小木祠里面的神 像,在祭日的前一夭,便从一座神殿搬到另一个圣堂去。还负责照料神像的 少数祭司把神像和那个小木祠一起放到一只四轮车上拖着。守在神殿门口的 另外那些祭司不许它进去。于是发愿的那些人便走向前来站在神的一方面进 行争执,他们向守门的人动武,这必然会受到抵抗。结果就发生了以木棍为 武器的猛烈械斗,双方都有被打破了脑袋的,而且我相信,许多人会因伤殒 命。虽然,埃及人说,在械斗中没有死过一个人。至于这个祭日是如何起源 的,当地的人提出了这样一个说法。他们说,阿列斯的母亲过去曾住在这个 神殿里;阿列斯并不是在自己母亲的跟前养大的,但是在他长大成人之后却 想会见他的母亲。不过在他来的时候,由于侍者先前从来没有见过他而拒绝 了他,结果没有使他进去。于是阿列斯便到另一个市镇去,纠合了一批人, 借着这些人的帮助严惩了侍卫而得以进去见到了自己的母亲。因此,他们说, 在这个祭日里便有了举行一堤木棍斗争以奉祀阿列斯的风俗。

    (64)此外,埃及人又第一个在宗教上作出规定,在神殿的区域内不得与妇人交媾,而在交媾后如不沐浴,也不得进入神殴的区域之内。几乎所有其 他民族,除去希腊人和埃及人之外,在这伴事上的做法都不大经心,他们认 为在这件事上人和兽类一样不受任何的约束。他们说,人们可以看到鲁种兽 类和鸟类在神殿和圣域之内支配,而如果神不喜欢它们这样做的话,这样的 事是绝对不会发生的。这便是他们为这一行动辩护的理由,但我本人是不能 同意这一理由的。

    (65)埃及人在这一方面,和他们在关于神圣仪式的所有其他方面一样, 是特别小心地注意不破坏神殿的宗教习惯的。 埃及虽然和利比亚接壤,但不是一个有很多野兽的地方。这个国家里所 有的一切鲁类,不管是家畜还是其他,都被认为是神圣的。如果我要解释一 下为什上它们耍作为圣兽奉献给神的话,那我就势必要讲到宗教上的事情, 而这却是我特别不愿意谈到的。到现在为止,我约略涉及的有关鲁点都纯乎 是出于不得已我才加以介绍的。下面我再谈一下他们对待动物的习惯。每一 种动物都指定一些看守人,男的女的都有,他们的任务就是喂养它们。这个 职务是父子相传的。各各城市的居民在他们对任何一个神发愿的时候,他们 都要向属于这个神的动物奉献一些东西,方式是这样:在他们发愿之后,他 们便抬自己的孩子剃发,或是全剃、或是剃一半、或是剃三分之一,然后把 这头发放在秤上来称量以便确定同样分量的银子。不管头发的重量多少,都 要把同等分量的银子交拾这些动物的女管理人,女管理人便切下相当银子的 价值那样多数量的鱼来喂它,因为这鱼就是用来喂它们的食物。如果一个人 杀死了一只圣兽,如果他是故意的,他便要被处以死刑,如果是误杀。那他 便要付出祭司规定的任何数量的罚金。如果有谁杀死了朱鹭或鹰,则不管是 故意还是误杀,一律须处以死刑。

    (66)埃及家畜的数目非常大,如果不是由于在猫的身上发生了这样的事 情,那数目就还要大。原来在母猫生小猫的时候,它们便不再和公猫住在一 起,但是公猫想和母猫住到一处而又得不到母猫的同意,于是它们便想出一 种办法来,这就是从母猫那里把小猫偷了出来杀死,但是不吃掉它们;母猫 既然失去了小猫,便想再把小猫补上,因此它们就愿意与公猫同居了,因为 它们是特别喜欢有小猫的。在埃及,每当起大的时候,在猫身上便有非常奇 妙的事情发生了。居民们不去管火在那里大烧特烧,而是一个离一个不远地 圜立在火场的四周注意着猫,但是猫却穿过人们中间或是跳过人们一直投到 火里去。如果有这样的事情发生,埃及人便要举行盛大的哀悼。如果在普通 家庭中,一只猫自然地死去的话,则这一家所有家里的人都要把眉毛剃去, 如果死的是一条狗,他们就要剃头和全身。

    (67)死猫都要送到布已斯提斯城的灵庙去,在那里制成木乃伊,而后埋 葬起来。狗是各自埋葬在原来城市的圣墓里。埋葬猫鼬的情况也和狗一样。 但是,鹰和野鼠却要送到布头城去埋葬,朱鹭则要送到海尔摩波里斯去。在 埃及罕见的熊以及比狐狸稍大的狼都是被发现在什么地方死掉就在当地埋葬 的。

    (68)鳄鱼是怎样一种动物呢?它是这样的:在冬天的四个月里,它什么 都不吃;它是水陆两栖的四足兽。母鳄在岸上产卵和孵化,它们一天当中大 部分是生活在于地上,但是在夜里它们便退回河中,因为河里的水是比夜中 的空气和露水温暖的。在我们所知道的动物当中,这是仅有的一种能够从最 小的东西长成最大的东西的动物。因为鳄鱼卵只比鹅卵大不了许多,而小鳄 鱼卵的大小也相仿佛。可是当它长成之后,这个动物可以有十七佩巨斯长或 者更长。它的眼和猪的眼相似,它有和它的身体大小相适应的巨大的牙齿和 尘齿。它和所有其他的动物不同,它没有舌头。它的下颚不能动,在这一点 上它也是非常奇特的,因为它是世界上唯一上颚动而下颚不动的动物。它还 有强大有力的爪,背上有非常坚硬的穿不透的鳞皮。它在水里看不见东面, 但是在陆地上它的目光是很锐利的。既然它住在水里,因此在它的口腔里满 都是水蛭。所有的鸟兽看到它都会逃避,但是它却和一种叫做特洛奇洛斯的 小鸟和平相处,因为这种小鸟可以给它做事情。原来每当鳄鱼从水里到岸上 来的时候,它习惯于张开大嘴躺在那里(多半是向着西风张着),在这个时候, 称为特洛奇洛斯的小鸟便到它的嘴里去啄食水蛭。鳄鱼喜欢小鸟对它的恩 惠,因此它便注意不去伤害这种小鸟。

    (69)有一些埃及人把鳄鱼看成是圣兽,但另一些埃及人则把它看成是敌 人。住在底比斯附近的人们和在莫伊利斯湖周边居住的人们特别尊敬鳄鱼。 在上述的每个地方,他们每人都特别养一只鳄鱼,训练它、耍它听使唤。他 们把溶化的石头(指玻璃)或是黄金的耳环给鳄鱼带在耳朵上 面,把脚环套在它的前脚上面,每天给它一定数量的食物和一些活的东西; 他们在它活看的时候尽最大的可能好好看待它,并在它死后把它制成木乃 伊,然后埋到圣墓里面去。但另一方面,埃烈旁提涅市一带的人们却根本不 把鳄鱼看成是圣兽,他们甚至以鳄鱼为食。在埃及语中,人们不称它们为鳄 鱼,而称之为卡姆普撒。伊奥尼亚人称它们为鳄鱼(希腊语原音是克罗科狄洛 斯),是因为它的形状和出没在伊奥尼亚壁上并且被称为克罗科伙洛 斯的蜥蜴相似之故。

    (70)捉鳄鱼的办法是多种多样的。我现在只来谈在我看来是值得叙述的 那一种。把一块猪脊骨肉放在钩上作饵并且让这块肉飘浮在河的中流,但这 时猎人自己却在岸上带看一口活小猪,并打这口猪。鳄鱼听见猪叫就顺着叫 声赶来,它碰到这块猪脊骨肉便把它吞了下去。这时岸上的人们便拉钓绳。 当他们把鳄鱼拉到岸上来的时候,猎人们做的头一件事情,就是用泥糊上它 的眼睛。这件事做到之后,这个猎获物便很容易控制了,否则的话,要控制 它可不是一件容易的事情。

    (71)在帕普雷米斯诺姆,河马是一种圣兽,但在埃及的其他地方则不是 这样。它的形状是这样:它有四条腿,有象牡牛那样的双蹄,扁平的鼻子。 它的鬃毛与尾巴和马一样,有向外突出的于齿,叫的声音也和马嘶一样。在 大小上,它和最大的牛相同。它的皮肤是如此地粗厚,而在干燥之后可以制 造投枪的柄。

    (72)在尼罗河里也有水獭,水獭也被埃及人认为是神圣的。在鱼类中, 只有两种是被祝为神圣的。它们是被称为列披多托斯的一种负和鳗鱼。这两 种鱼以及禽类当中的鸭,都被认为是尼罗河的圣物。

    (73)他们还有一种称为波伊尼克斯的圣息,这种鸟我本人除了在图画上 以外,从来没有看见过。甚至在埃及,这诚然都是一种十分罕见的动物;而 根据黑里欧波里斯人的说法,只有每隔五百年,当它的父鸟死的时候,它才 到这里来一次。如果这种鸟和图上听画的一样的话,则它的大小和形状便是 这样:它的羽毛大部分是红的,部分是金色的,而它的输廓和大小几乎和鹰 完全一样。埃及人有一个故事告诉我们这个鸟做些什么事情,但这个故事在 我看来是不可信的。他们说,它是从阿拉伯带看全身敷着没药的父鸟来的。 它把父鸟带到太阳神的神殿,并在那里埋葬了父鸟。他们说,为了带着这个 父鸟,它首先用没药做一个它可以带得动的卵并把它带起来以便试一试它是 否经得住这样的份量,然后它把这个卵掏空,把它的父鸟放进去,再把卵中 空隙的地方用没药塞满。于是这个卵便又和起初的重量完全相同了。在这样 地包裹完毕以后,它便把这个父鸟带到埃及,并把它安放在太阳神神殿里。 这便是他们所传说的、关于这个鸟的所做所为的故事。

    (74)在底比斯的附近,有对人完全无害的圣蛇。它们都是很小的,头顶 上还长春两只角。在这些蛇死掉的时候,它们被埋葬在宙斯神的神殿里,因 为这些蛇据说都是宙斯神的圣兽。

    (75)我曾有一次到阿拉伯的几乎对着布头城的一个地方,去打听关于带 翼的蛇的事情。在我到达那里的时候,我看到了不可胜数的蛇骨和脊椎:脊 椎有许多堆,有些大,有些小,有些则更要小。蛇骨散在之地在山间狭窄山 路的进入平原的入口处,峡谷开向和埃及的大平原相连接的一片广阔的平 原。故事说,春天到来的时候,翼蛇便从阿拉伯飞到埃及来,但是在这个峡 谷的地方遇到一种称为伊比斯的鸟,这种鸟禁止它们进入峡谷井把它们全部 杀死。阿拉伯人说埃及人由于伊比斯鸟所做的事情而对之非常崇敬,埃及人 也承认,他们是为了这个理由而尊敬这种鸟的。

    (76)伊比斯鸟的样子是这样。它全身漆黑,两只腿和仙鹤的腿相似。它 的喙部弯曲的很厉害而它的大小大约和秧鷄相等。这便是与翼蛇作战的伊比 斯鸟的外形。 (伊比斯鸟确实是育两种的),而人们比较习见的一种,头部和颈部是没 有羽毛的;它们的毛色是白色的,除了头、颈、翅膀尖端和尾已之外(这些部 分全是漆黑的);鸟的腿和嗓和其他伊比斯鸟的相似。翼蛇的样子和水蛇一 样。它的两翼上没有羽毛,而是很象蝙蝠的两翼。关于圣兽这个题目的话、 我就讲到这里了。

    (77)至于埃及人本身,应当说,居住在农业地区的那些人在全人类当中 是最用心保存过去的记忆的人,而在我所请教的人们当中,也从来没有人有 这样多的历史知道。现在我要说一说他们的生活方式。在每一个月里,他们 连续三天服用泻剂,他们是用呕吐和灌肠的办法来达到保健的目的的。因为 他们相信,人之所以得病,全是从他们所吃的东西而引起的。甚至如果没有 这个办法,埃及人也是世界上仅次于利比亚人的最健康的人。我以为它的理 由是,那里一年四季的气候都是一样的;因为变化,特别是季节的变化,乃 是人类致病的重大原因。他们吃面包,他们用一种小麦制造他们称为库列斯 提斯的一块块的面包。在酒类方面,他们饮用一种大麦酒;因为他们国内是 没有葡萄的。他们吃生鱼:或是太阳晒干的鱼,或是盐水醃起来的鱼。鹌鹑、 鸭子和小禽类都是醃了生吃的,所有其他各种禽类以及鱼类,除去埃及人认 为是圣物的以外,则都是烤了或是煮了之后才吃的。

    (78)在富人的筵席上,进餐完毕之后,便有一个人带上一个模型来,这 是一具涂得和刻得和原物十分相似的棺木和尸首,大构有一佩巨斯或两佩巨 斯长。他把这个东西给赴宴的每一个人看,说:“饮酒作乐吧,不然就请看 一看这个;你死了的时候就是这个样子啊”。这就是他们在大张饮宴时的风 俗。

    (79)他们遵守着他们的父祖的风习,并且不在这上面增加任何其他的东 西。在他们其他值得一记的风俗习惯当中,还有这样一个:他们有一支歌, 这就是在腓尼基、赛浦路斯以及其他地方所唱的里带司歌。每个足族对这个 里藉司歌都有他们自己的名字,但这就是希腊人唱的并称之为里诺司的同样 的那一支歌。但埃及人从哪里得到这个名字,在我看来是埃及的许多奇怪的 事情之一。他们显然是从太古以来便唱这大歌的;在埃及语中,相当于里诺 司这个名字的是玛涅洛司(可能自 ma-n-hra(意为“回到我们这里来罢”)这个叠句而来)。埃及人舍诉我说,玛涅洛司是他们第一个国王的 独生子,他夭折了,因此埃及人便为他唱这首挽歌向他致敬;他们说,这是 他们最早的,也是他们仅有的一首歌。

    (80)还有一种风俗,在希腊人当中只有拉凯戴孟人和埃及人同样地有这 种风俗。年轻人遇到年长的人时,要避到一旁让路,而当年长的人走近时, 他们要从座位上站起来。但是他们还有另一种希腊任何地方都不如道的习 惯,那就是路上的行人相互不打召呼,只是把手伸到膝头的地方作为行礼。

    (81)他们穿着一种麻布的内衣,内衣的边垂在腿部的四周,这种内衣他 们称为卡拉西里司:内衣上则罩着白色的羊毛外衣。但是毛织品不能带人神 殿或是与人一同埋葬。他俩是禁止这样做的。在这一点上,他们是遵从着与 欧尔培鸟司教和巴科司教的教仪相同的规定,但这规定实陈上是埃及的和毕 达哥拉斯的;因为凡是被传授以这些教仪的人,都不能穿看羊毛的衣服下葬。 关于这件事,是有一个宗教上的传说的。

    (82)我再来谈一下埃及人的其他发明。他们把每一个月和每一天都分配给一位神;他们可以根据一个人的生日而说出这个人他的命运如何,一生结 果如何,性情癖好如何。这一点拾作诗的希腊人提供了材料。他们给他们自己所提出的征兆,比所有其他民族加到一起的还要多:当一件有征兆的事情 发生了,他们便注意到它所引起的后果并把它记载下来;如果同类的事情又 发生了,他们便认为会发生相类似的后果。

    (83)至于他们的预言术,那是儿个神的事情,而决不是任何凡人的事情; 在那里,有海拉克列斯、阿波罗、雅典娜、阿尔铁米司、阿列斯和宙斯的神 托所,而最受尊崇的则是布头城的列托的神托所。尽管如此,他们仍有备种 各样的占卜术,而不单单是一种。

    (84)在他们那里,医术的分工是很细的,每一个医生只治一种病,不治 更多种的病。国内的医生是非常多的,有治眼的,有治头的,有治牙的:有 治肚子的,江有治各种隐疾的。

    (85)下面我再说一说他们哀悼和埋葬死者的方法。任何时候当家中死了 一个有名的人物的时候,则家中所有的妇女便用泥士涂抹她们的面部或是头 部。随后,她们便和亲族中的一切妇女离开家中的尸体,到城中的各处巡行 哀悼,她们的外文束上带子,但胸部则要裸露出来。另一方面,男子也要在 那里捶胸哀悼,衣服也同样要束上带子。等这一点做完之后,他们便把死者 的遣体送去作木乃伊。

    (86)有一些人是专门做这伴事情的,他们有这一行的专门的手艺。当一 个尸体遂到他们那里去的时候,这些人就把涂画得逼真的木制尸体模型拿给 送尸休的人们看。他们说,有一种最高明的制作木乃伊的手艺,掌握它的人 的名字在谈到这类问题时,我是因禁忌而不能讲出来的。他们提到的第二个 办法不如第一个完美,价钱也比较便宜,第三个办法则最便宜。他们拾人看 过这些之后,就问尸主他们希望用什么办法处理尸休。尸主和他把价钱谈妥 之后就走开,而留在那里的工人们便动手把尸体制成木乃伊。如果他们使用 最完美的办法来加工的话,他们首先从鼻孔中用铁钩掏出一部分的脑子并且 把一些药料注到脑子里去清洗其他部分。然后,他们用埃西欧匹亚石制成的 锐利的刀,在侧腹上切一个口子,把内脏完全取出来,把腹部弄干净,用椰 子酒和捣碎的香料加以冲刷,然后再用捣碎的纯粹没药、桂皮以及乳香以外 的其他香料填到里面去,再照原来的样子缝好。这一步做完了之后,这个尸 体便在硝石当中放置七十日。超过了这个时间是不许可的。到七十天位去的 时候,他们便洗这个尸体,并把尸体从头到脚用细麻布的绷带包裹起来,外 面再涂上通常在埃及代替普通胶水使用的树胶,这之后尸体便这个样子送回 给他的亲属,亲属得到这个尸体,便把它放到特制的人形木盒子里去。他们 把木盒子关上,便把它保管在墓室里,靠墙直放着。

    (87)这便是费用最贵的那一种调理尸体的方法。如果人们不愿意化费太 多,而选择第二种,邱中等办法的话,那未便是这样的:制作木乃伊的人先 把注射器装满杉树制造的油,然后把它注射到尸体的腹部去,既不切开尸体, 也不掏出脏腑。注射是从肛门进去的,但注射后肛门便被堵上以防流出。然 后在规定的日子中间放在硝石里,而到了规定的日期,他们就叫杉树油再流 出来。正是由于杉树油的作用的关系,整个内脏和肠子都被溶化而变成了液 体。这时硝石已经分解了肌肉,因而这个尸体剩下的便只有皮和骨了。尸体 便这样地归还给死者的亲属,再也不加什么工了。

    (88)再穷一些的人是用第三种办法来制作木乃伊的。这种方法就是把腹 部用泻剂清洗一下,然后把尸体放到硝石里浸七十日,再把它交给尸体的亲 属带回去。

    (89)有身分的人物的夫人以及非常美丽的和尊贵的妇女,在她们死后并 不是立刻送到制作木乃伊的人那里去,而是在她们死后三、四天再送到他们 那里去。这样做的原因是防止木乃伊工匠和她们的尸体交配。据说有一次一 个工匠被发现污辱了一个新死的妇女,因而被他们同行的工匠揭发了。

    (90)不管是一个埃及人,还是一个外国人,只要他是被鳄角拉去咬死或 是淹在河里而丧命的,则这个人被发现的地方的附近城市的居民,必须把他 制成木乃伊并用尽可能隆重的礼节把它葬入圣墓。不许任何人模这个尸体, 甚至死者的朋友或亲属也不行,只有尼罗河的祭司才能够用手摸这个尸体。 祭司们亲自料理这个人的丧事并埋葬他。因为他们认为这个尸体是属于超人 的。

    (91)埃及人避免采用希腊人的风俗习惯,而一般说来,也就是避免采用 任何其他民族的风俗习惯。可是,虽然其他埃及人都很小心地遵守这一点, 但是在底比斯诺姆涅阿波里司附近的一个大城市凯姆米司地方、有一座奉祀 达纳耶的儿子培尔赛欧斯的方形神殿,神殴的四周满长着椰子树。这座神殿 的前面的石造的柱廊是非常宏大的;有两座巨大的石像立在那里。在它的境 内有一座圣堂,圣堂里有培尔赛欧斯的神像。根据凯姆米司人的说法,培尔 赛欧斯常常在他们面前显现、有时在他们的土地上,有时在这个神殿里。人 们还找到他穿的鞋子,足有二佩巨斯长。自从这只鞋破发现,全埃及便大为 繁荣起来了。这便是他们的说法。在奉祀培尔赛欧斯的时候,他们使用了希 腊的仪式,这就是说,为他举办包括各种比赛在内的运动会。会上以家畜、 外灰和皮革为奖品。我曾问仗凯姆米司人,为什么培尔赛欧斯只是对他们显 现,而不在埃及的其他地方,为什么他们在举行运动会这一点上面,与其他 埃及人不同。他们回答说,培尔赛欧斯是出身于他们的城市的。渡海到希腊 去的达纳乌司和律安凯鸟斯便是凯姆米司人,而培尔赛欧斯据说便是他们一 系下傅的后裔。在回溯家系的时候,他们还谈到,当培尔赛欧斯为了也是希 腊人所说的理由,即从利比亚带着戈尔罔的头,而来到埃及的时候,他怎样 到凯姆米司拜访了他们并承认他们是他的亲属,他怎样在他到达埃及之前便 从他的母亲那里听到了他们的城市的名字。他们说这是根据他的命令,他们 才为他举办了运动会的。

    (92)以上所述,都是居住在沼泽地带上方的埃及人的风俗习惯,沼泽地 带的居民,他们的风俗习惯,不拘是在其他各方面,还是在象在希腊那样每 一个人只有一个妻子这一方面,都是和其他埃及人相同的。但是为了使食物 的费用节省一些,沼泽地带的居民想出了这样的一些办法。当尼罗河上涨, 而河水湮没了两岸平原的时候,在平原的水中生长大量的埃及人称为罗托斯 的百合,他们把这种百合采下来放在太阳下晒干,然后他们便从百合的中央 取出象是罂粟那样的东西捣碎并用它们做成面包。这种罗托斯的根也可以 吃,它有一种甜美的味道;它是圆形的,大小和苹果差不多。河里另生长着 一种百合,这种百合和蔷薇相似。它的果实长在从根部抽出的另一株茎上的 花萼当中,外形几乎完全和蜂巢相似。它里面有许多和橄榄核大小差不多的 种子,这些种子生吃或是晒干了吃都可以。每年在沼泽里生长的纸草都给他 们拔出来,把它的上部割掉作为其他的各项用途,下面剩下的大约一佩巨斯 长的部分则吃掉或是卖掉。凡是想享受一下纸草的最好的美味的人,就把它 放到烧缸了的瓦罐里去烘一下再吃。但其中也有一些人是完全以鱼类为活 的。他们捉到角,并把它们的脏腑取出米之后,便把他们放在太阳下晒干, 然后干着把它们作为食物。

    (93)群居性的鱼并不是常常在河里生产的,它们都养在湖里,养育的情 况是这样:当它们要产卵的时候,它们便成群地游到海里去,雄性的鱼领在 前面,放出它们的精子,雌性的则跟在后面把这些精子吞下去,这样便受精 了。当雌性的鱼在海里面受胎的时候,所有的鱼便游回自己的老家:但这一 次领先的是雌性的鱼而不是雄性的鱼了,它们成群地游在前面,并且象雄性 的鱼那样地,一点一点地 放出它们那象小米那样的一些卵来,而跟在后面的 雄性的鱼便吞食了这些卵。这些小米状的东西或卵,就是鱼。鱼就是从没有 被吞食的那些留下来的卵成长起来的。那些在游向海中时被捉住的鱼,在它 们的头部的左方有伤痕,在从海中游回时被捉住的鱼,则在它们的头部的右 方有伤痕。所以有这样的现象发生,是因为它们向海的方面游去时,它们紧 挨着左岸,而在游回的时候,仍旧紧挨着原岸,尽量地挨着它、触着它;而 我想这是它们害怕水流会把它们冲出它们的道路的椽故。当尼罗河开始上淡 的时候,在河流附近低洼的和沼泽的地带首先开始积满了水,这是从河里缓 缓流出的水,而在这些地方涨满了水的时候,它们里面立刻就满都是小鱼了。 它们可能是从什么地方来的,我想我是可以猜到的。当尼罗河河水下落的时 候,鱼便在它们随着最后的水离舟之前产卵在泥里:而时间转回来的时候, 第二年的河水又汜濫了,从这些鱼卵里立刻便生出鱼来。因此,关于鱼的事 情讲到这里也就够了。

    (94)在沼泽地带周边居住的埃及人使用一种从蓖麻子制造的油,他们称 这种蓖麻子为奇奇。他们在河岸与湖岸上播种这种植物;在希腊,这种植物 是野生的;埃及种的蓖麻结子很多,但是气味很不好闻,人们把这种蓖麻子 收集起来,或是捣碎和压榨,或是在焙过之后再煮,而把从里面流出的液体 收集起来。这是一种不次于橄榄油的、富于油质的液体,它可以作灯油用并 有一股浓烈的气味。

    (95)蚊子是很多的;埃及人防蚊的办法是这样:住在比沼泽地带要高的 那些人,他们可以很安全地爬到顶楼上去睡觉,因为风会使蚊子不能飞到那 上面去:在沼泽地带四周住的人们则有另一种办法来代替顶楼。他们每个人 都有一个网子,他们白天用这个网子打鱼,晚上就把这个网子张在他睡党的 床的四周,然后爬进去睡觉。如果他穿看外衣或裹着亚麻布睡,那蚊子会把 它咬穿了的:但是它们甚至根本不试图穿过网子去咬里面的人。

    (96)他们用来运货的船是用一种橡胶树制造的,这种树的外形很象库列 涅的莲花,它的汁液便是树胶。从这种树他们切下两佩巨斯长的木板,把它 们象是砌砖那样地徘列在一起;然后他们使用把这些两佩巨斯长的木板紧系 在长而又密排的木柱之上的办法来造船身。这样弄好了之后,他们便把大梁 横着放到木板上。他们是不用肋材的。他们用低草来填充里面接健的地方。 船的龙骨上有一个孔,舵就从这个孔穿过去。船桅是橡胶树做的,帆是用纸 草做的。除非强力的阵风连续刮,这种船是不能逆流驶行的。它们要用岸上 的人来拖:但是在顺流而下的时候,却可以这样办:他们用一个檉柳木制造 的筏,系着两塔兰特重穿孔的石头和草席:木筏放到水里要它飘在船的前面, 用一根绳子把它和船系在一起,石头也用一根绳子系在船的后部。这样,给 水流推动着,木筏便顺流迅速下行并拖着这个“巴利司” (这是这些船的名字),而垂到后面的河水里的石头,它的作用则是保持 船行的进路笔直。这种船是很多的,有一些船载运看成千上万塔兰特重的货 物。

    (97)当尼罗河汜濫到地面上来的时候,只有市镇才可以被看到高高地在 水面之上并且是干燥的,和爱琴海上的岛屿非常相似。只有这些市镇露在水 面之上,而埃及的其他地方则完全是一片水。因此,当这种情况发生时,人 们便不象寻常那样在河道中往来,而是往来于全部水域之上了。从钠扁克拉 提斯到孟斐斯上行的船只实际上就是经过金字塔本身的近旁的:虽然通常的 河道不是这样,而是经过三角洲的顶点和凯尔卡索洛斯市镇的。但是你如果 从海和卡诺包斯到纳岛竞拉提斯去的话,那你就会经过安提拉市附近的田野 和那被称为阿尔康德洛斯的城市。

    (98)安提拉是一个有名的城市,它是专阴指定为统治埃及的国王的王后 供应鞋子的。自从埃及被波斯人征服以来,事情一直就是这样的。另一个城 市,我以为,是因阿凯亚人普提奥斯的儿子、达纳乌司的女婿、阿尔康德洛 斯而得名的;因为这是被称为阿尔康德洛斯之城的。也可能有另一个阿尔康 德洛斯;然而这个名字却不是埃及的名字。

    (99)以上所述都是我个人亲自观察、判断和探索的结果。下面我再根据 我所听到的记述一下埃及的历年事件,这上面再加上一些我自己看到的东 西。祭司们告诉我说,米恩是埃及的第一位国王,他第一个修筑了一道堤坝 把孟斐斯和尼罗河隔了开来。整个河流从利比亚那一面的砂山下面紧挨看流 过去,但是米恩却在河上筑了一道堤坝而使它在孟斐斯上方一百斯塔翘昂左 右远的地方开始折向南方流去了。这样他便使旧道干涸下来并用一道河渠引 领河水使它经过山与山的中间。而直到今天,波斯人都非常注意河的这一个 水曲,每年都加固它的堤坝,以便使它把河水保持在河道里。因为,如果尼 罗柯冲毁了堤坝并且湮没了这里的话,整个孟斐斯便有被湮没的危险了。但 当这第一位国王米恩修堤而使这个地方成为干地的时候,他就第一个在那里 建立了现在称为孟斐斯的一座城(甚至孟斐斯也位于埃及的狭窄部分),而在 它的外部,他在它的北部和西部引出河水而挖掘了一个湖(而尼罗河本身就是 这个地方的东界),第二,他在那里修建了一个最值得一记的伟大的海帕伊司 托斯神殿。

    (100)在他的后面有三百三十个国王,祭司们从一卷纸草把他们的名字念 给我听。在所有这许多代里,有十八位埃西欧匹亚的国王和一位土著的王后: 其他的便都是埃及人了。王后的名字和巴比伦女王的名字一样,也叫做尼托 克里司。他们说,她是继承了她的哥哥的王位的,她的哥哥曾是埃及的国王 并且为他的臣民杀死,然后臣民使她登上了王位。为了给她的哥哥复仇,她 想出了一个狡诈的计划,而她便用这个计划杀死了许多埃及人,她修建了一 间宏大的地下室,她借口庆祝这间地下室的落成,心中却想着完全是另外一 件事:她召请她知道曾作为主要人物参加谋杀她的哥哥的那些埃及人未赴盛 宴,但当他们正在欲宴的时候,她忽然把河水放了进来,这河水是从在他们 头上秘密修建的大水道引进来的。关于她,祭司们所谈的只有这些,此外只 还有这样一伴事,即当她做完了我上面所诅的事情时,她便投身到一间充满 了灰烬的屋子里面去,以便逃避她可能会受到的报复。

    (101)他们说,其他的国王都是浚有什么业绩可言的人物,他们都是没有 留下什么可以纪念的东西的不值得一提的人物。例外的只有最后的一个国王 叫做莫伊利斯的。这个莫伊利斯在位的时候,留下了几个纪念物:海帕伊司 托斯神殿的北门;他下令挖掘的湖,这个湖的四周有多少斯塔迪昂我下面就 要谈到;此外还有他在湖中修建的金字塔,这些金字塔的大小将要在我谈到 它们所在的那个湖的时候提一下。这便是莫伊利斯留下的业情,其他的国王 则谁也没有留下任何东西。

    (102)我不谈这些国王了;因而现在我就要谈一谈在他们之后统治的一个 名叫塞索斯特里斯(希腊人对拉美西斯二世的称呼)的国王。祭司们说,他第一个率领着一队战船从阿拉伯湾 沿着红海海岸向前推进,征服了他经过的沿岸的各个民族,直到他最后到达 因浅滩而无法行船的一片海洋地带。 因此他便从那里返回埃及,祭司们说,他又集合了一大支军队,通过大 陆前进,把他在道上遇到的每一个足族全都征服了。凡是当地居民对他的进 攻加以抗击并英勇地为本身的自由而战的地方,他便在那里设立石柱,石柱 上刻着他的名字和他的国家的名字,并在上面说明他怎样用他自己的武力使 这里的居足屈服在他的统治之下。但相反地,在未经一战而很快地便被征服 的地方,则他在石柱上所刻的和在奋勇抵抗的民族那里所刻的铭文一样,只 是在这之外,更加上一个妇女的阴部的图像,打算表明这是一个女人气的民 族,也就是说不好战的、懦弱的民族。

    (103)这样他便等过了整个亚细亚大陆,从这里他又进入欧罗巴,征服了 斯奇提亚人和色雷斯人。我以为他的军队就来到这里,而没有开到比这些人 更远的地方去。因为在他们的国士上还看得到他树立的石柱,但是在更远的 地方便看不到这样的石柱了。从色雷斯返回埃及的时候,他在途中到达了帕 希斯河的河岸。在这里我不能确定发生的是什么事情。可能是国王塞索斯特 里斯自己把他的一部分罩队从他的主力分出来,把他们留在那里殖民,也可 能是他的一部分军队在流浪的征途上感到厌倦而在这条河的河岸上定居下来 了。

    (104)科尔启斯人是埃及人那是明显不过的事情了。在我听别人提起这个 事实之前,我自己已经注意到这件事情了。在我开始想到这一点的时候,我 便在科尔启斯和埃及两地对当地人加以探询。我发现科尔启斯人对于埃及人 的记忆比埃及人对科尔启斯人的记忆更耍清楚。然而埃及人仍然是说,他们 认为科尔启斯人是塞索斯特里斯的罩队的一部分。我个人这样推测的根据, 首先是这样的一个事实,邱他们的肤色是黑的,毛发是卷曲的(但是在他们之 外的其他民族也有这样的,因此单是这一件事实确实是没有什么意义),但此 外,也是特别重要的是这样一个情祝,即科尔启斯人、埃及人和埃西欧匹亚 人是从远古以来实行割礼的仅有的几个民族。 腓尼基人和巴勒斯坦的叙利亚人自己都承认,他们从埃及人那里学到了 这个风俗。而在铁尔莫东河与帕炽特尼欧斯河沿岸地带居住的叙利亚人以及 与他们相邻的玛克罗涅斯人则说,这种风俗是他们最近从科尔启斯人那里学 来的。要言之,这些人便是世界上仅有的行割礼的民族,而且非常明显,他 们在这一点上面,是模仿埃及人的。至于埃西欧匹亚人本身,则我诚然还不 能断定。是他们从埃及人那里学到了割礼,还是埃及人从他们那里学到了割 礼,但这显然是一个十分古老的风俗了。然而和埃及人有交往的人们从埃及 人那里学得了这一风俗,我却从这样一伴事实而很清楚地得到证实:即当腓 尼基人中凡是和希腊人有交往的,他们就不在这伴事上模仿埃及人并且不给 自己的孩子施行割礼。

    (105)不,关于科尔启斯人如何与埃及人相似的一点,我还可以补充另一 伴事实。这两个民族织造亚麻的方法是完全一样的,但世界所有其他的人们 则都完全不知道这种励造的方法。他们在全部生活方式上以及在他们的语言 上也是相似的。希腊人称科尔启斯的亚麻为萨地尼亚亚麻,但称从埃及来的 亚麻为埃及亚麻。

    (106)埃及国王塞索斯特里斯在他所征服的各地所树立的石柱,大部分都 已不复存在了。但是在叙利亚的,叫做巴勒斯坦的那一部分,我亲自看到它 们仍然耸立在那里,石柱上面刻着我上面所说的词句和妇女的阴部。在伊奥 尼亚也有这位国王的两个图像刻在岩石上,一个在从以弗所到波凯亚的道路 上,另一个在从撒尔迪斯到士麦拿的道路上。每个地方的图像所刘画的都是 一个四佩旦斯一斯披塔美高的男子,右手持枪,左手持弓,其余的装柬则一 部分象埃及人,一部分象埃西欧匹亚人。穿过胸部从肩到肩有一行铭文,这 是用埃及的僧体文字写的,意思是说:“我用我的肩部的力量征服了这个国 土”。征服者没有说出他是谁,他是从什么地方来的;虽然,塞索斯特里斯 在其他地方是记载着这些事项的。因此有一些看到这些图像的入便猜测说这 是美姆农的像。不过这样想的人离开事实是很远的。

    (107)祭司们又说,这个塞索斯特里斯在他带着他从被征服的各国得来的 大批俘虏回国时,他的那个在他离开时曾被他任命为埃及总督的弟弟在佩鲁 希昂的达普纳伊迎接他,并且请他参加宴会,他和他的儿子们都参加了这个 宴会。于是他的弟弟便在那一建筑物的四周堆积了大量的薪材,这样做完了 之后,就把它点着了。当塞索斯特里斯知道发生了什么事情的时候,他立刻 便接受了陪他一道赴宴的他的妻子的忠舍,把他们的六个儿子中的两个儿子 投到火上作为火焰中的桥梁,这样就可以使他们其余的人踏过这两个人而逃 跑了。塞案斯特里斯照着她的话做了,因此他本人和他其余的孩子便得了救。 但他的两个儿子却活活地被烧死了。

    (108)塞索斯特里斯于是返回自己的国士并对他的弟弟进行了报复,在这 之后,他便着手这样地利用他从被征服的各国带来的大批俘虏;他使这些俘 虏搬运大块的岩石,在他的治下,这些岩石都是被运到海帕伊司托斯神殿去 的;他还迫使这些俘虏挖掘在埃及地方纵横交错的许多河渠。由于使用这些 强制的劳动挖掘了河渠,国内的全部面貌无意中改观了。在以前埃及是一个 适于马和马车行走的地区,但从此之后,它变得对二者都完全不适合了。虽 然这时它的全境是一片平原,现在它却既不适于马,又不适于马草行走,因 为它的全境布满了极多的、向四面八方流的河渠。国王这样做的目的是要把 尼罗河的河水供应给内地不是临河的城市的居民,因为在先前,河水退下去 以后,他们不得不饮用他们从井里吸取的发咸的水。就是为了这个原因,埃 及才到处布满了河渠的。

    (109)他们又说,塞索斯特里斯在全体埃及居民中间把埃及的土地作了一 次划分。他把同样大小的正方形的土地分配给所有的人,而要土地持有者每 年向他檄钠租金,作为他的主要的收入。如果河水冲跑了一个人分得的土地 的任何一部分,这个人就可以到国王那里去把发生的事情报告给他:于是国 玉便派人前来稠查并测量损失地段的面积;这样今后他的租金就要接着减少 后的土地的面积来征收了。我想,正是由于有了这样的做法,埃及才第一次 有了量地法,而希腊人工从那里学到了它。不过波洛斯(日鐘——译者)、格 诺门(日晷——译者)以及一日之分成十二部分,这却是希腊人从巴比伦人那 里学来的。

    (110)塞索斯特里斯不仅仅是埃及的国王,他还是埃西欧匹亚的国王。他 是唯一的、治理埃西欧匹亚的埃及国王,作为他治下的纪念、物,他留下了 耸立在海帕伊司托斯神殿阴口的那些石像,其中他自己和他的妻子的两座石 像各有三十佩巨斯高,他的四个儿子的石像则各有二十佩巨斯高。在很多很 多年之后,海帕伊司托斯神殿的祭司都不许波斯的国王大流士把自己的石像 放在这些石像的前面,因为他们说,大流士的功业是不能够和埃及的塞索斯 特里斯的功业相比的。因为他们说,塞索斯特里斯不单单是完全征服了和大 流士征服的同样多的民族,他还征服了斯奇提亚人,这是大流士所未能征服 的。因此,如果就功业而论,在他自己不能相比的国王的奉纳物面前,树立 自己的石像,那是不公平的。据说,大流士在这一点上对祭司是谅解的。

    (111)祭司们说,在塞索斯特里斯死的时候,他的儿子培罗斯登上了王 位。他并没有进行战事上的征伐。他由于下述的情况而双目失明了。尼罗河 的河水涨到了空前的高度即十八佩巨斯,淹没了全部的田地的河水这时给突 然刮起的强烈的风,吹起了浪头。于是,据说,这位国王竟鲁莽到拿起枪来, 冲到河中的大浪头里面去。这之后他立刻得了眼病,而变成瞎子了。这样他 一直在十年中间不能看到东西。终于在第十一个年头,从布头城有一个神托 带抬他,大意是说,他的刑罚的期限就要满了,他可以用尿洗眼以便恢复他 的视力。但这尿必须是属于一个忠于她的丈夫并从来没有和另外一个男人发 生过关系的妇女的。因此培罗斯便首先用他的妻子的尿来试,但是丝毫没有 效果,他照旧看不到东西。于是他又一个接着一个地用别的妇女的尿来试, 直到最后他用这种办法恢复了视力的时候。于是除去最后使他恢复视力的这 个妇女之外,他把所有的妇女集合在一处,把她们带到现在称为红土的一个 城市去,在那里把她们连同那个地方全部烧死了。他娶了用尿给他治好了眼 睛的妇女。而在他完全恢复视力之后,他便向一切有名的神殿奉献礼品,在 这中间,最值得一记的便是他送给太阳砷的神殿的两个石头的方尖碑。这是 两伴杰出的作品,每个碑都是一整块石头制造的,每个石碑都是一百佩巨斯 长,八佩巨斯宽。

    (112)他们说,继承培罗斯的是一个孟斐斯地方的人,他的名字用希腊语 来说,叫做普洛铁鸟斯。这个国王在孟斐斯有一个很美丽的而且装饰得漂亮 的圣域,位于海帕伊司托斯神殿的南面。推罗地方的腓尼基人往在这个圣域 的四周,而这整个地方便叫做推罗人营。在普洛铁鸟斯的圣域里,有一座神 殿,你为外国人阿普洛狄铁的神殿。我猜想这座砷殿是给图恩达到乌斯的女 儿海伦建造的。首先,我听到的,是因为她曾在普洛铁鸟斯的宫廷里和他同 居了一个时期;其次,是因为这个神殿是被称为外国人阿普洛狄铁的;原来 在所有其他阿普洛狄铁的神殿中间,再也找不出另一座神殿,有带着这个外 国人的头街的女神了。

    (113)在回答我的关于海伦的问题的询问时,祭司们向我叙说了下面的一 段经过。亚力山大从斯巴达把海伦抢走之后,他便乘船返回故国了。在他经 过多岛海的时候,起了一阵烈风,这阵烈风把他吹离了原来的航路并把他吹 到埃及的海域上去;从那里,(由于风势未减),他便到了埃及,而他上岸的 地点则是今日称为卡诺包斯河口的埃及河口的一个叫做塔里凯伊阿伊(盐地)的地方。在这个地方的岸上育一座呈献给海拉克列斯的神殿,这座 神殿到今天还存在着。如果一个奴隶从他的主人那里跑到这个神殿里来避 难,把自己的一身献给神并在自己的身上打上神圣的印记,则不管他的主人 是谁,也不能再动一下这个奴隶了。直到我的这个时候,这条法律仍旧是和 太古以来一样有效的。因此,听到这个神殿的规定之后,亚力山大的侍从们 便从他那里逃开,跑到神殿去需求庇护。在那里他们为了要加害于他们的主 人,他们便向埃及人控诉他,把他掠夺海伦的全部情况,以及他对美涅拉欧 司所做的不义之行都讲了出来。他们不单是在祭司面前,而且在尼罗何河口 的守吏名叫托尼司的一个人面前控诉他。

    (114)托尼司听到这个消息之后,他立刻逞信给正在孟斐斯的普洛铁扁 斯,大意是说:“从希腊来了一名异邦人:他是一个铁乌克罗斯人,他在他 所来自的希腊地方做了一伴不义的行为。他软骗了他的主人的妻子并诱拐了 她以及一笔极大财富。但是风浪迫使他飘流到这里来。我们还是耍他原样的 回去呢,还是把他带来的东西给没收呢?”普洛铁乌斯回答说:“不管是谁, 凡是对自己的主人有不义之行的,就把他捉来见我,这样我可以知道他会说 些什么。”

    (115)托尼司得到这个命令之后,便逮捕了亚力山大并不许他的船舶离 开;糙而他便带看亚力山大、海伦、全部财宝以及那些逃跑的请求庇护的人 们到孟斐斯来了。当所有的人都到达的时候,普洛铁乌斯便问亚力山大,他 是谁,他是从什么地方来的。亚力山大在回答时叙说了他的身世,祖国的名 字以及他是从什么地方开始航行的。于是普洛铁乌斯又问他是从什么地方夺 到了海伦的。在回答的时候,亚力山大支吾其词了,他并没有把老实话讲出 来。于是那些逃跑的奴隶们便插进来讲话,他们驳倒了他的叙述并且讲出了 他的全部犯罪事实。终于在讲完之后,普洛铁乌斯作了这样的审判,“如果 不是我极其慎重于使被风浪吹到我国来的任何异邦人不遭杀害的话,我是一 定会把你杀死来给希腊报仇的;因为你这个最卑鄙的人在受到款侍以后竟会 做出这样不义的事情来。首先,你诱惑了你自己主人的妻子,可是你还不满 足,你一定还要挑起她的情欲并把她拐走。但这一点你仍然不满足,在离开 的时候,你还劫掠了你的主人的家财。现在,既然我极其慎重而不处死任何 异邦人,因此我还是许你回去;但是我不许你带走这个女人和这些财富。他 们必须留在这里,等希腊的那个异邦人亲自来把这个女人和财富带回去。至 于你本人和你的同船伴侣们,我命令你们在三天之内离开我的国土到国外的 什么地方去:此外,我还要警告你,如果你不这样做的话,三天过后,我就 要拿你当敌人看待了”。

    (116)根据祭司们对我讲的话,这便是海伦所以到普洛铁乌斯这里来的情 况。而在我来想,荷马也是知道这件事情的。但是由于这件事情不是象他所 用的另一个故事那样十分适于他的史诗,因此他便故意地放弃了这种说法, 但同时却又表明他是知道这个说法的。从伊利亚特中他叙述亚力山大的漫游 的一节,便很明显的可以看出来(他在诗中的其他任何地方都没有再提到这一 点);在这一节里,他说到亚力山大和海偷怎样被吹出了他们的航路,而在他 们所到过的其他地方当中,他们还到达了腓尼基的西顿。这是在叙述到狄欧 美戴司的武功的那一段里;原诗是这样: 在他的家里有减成五颜六色的袍子, 这是西顿的妇女们做成的:天神一样的帕理司在先前曾从东方的城市, 带着这些妇女越过广大的海洋航行到这里,甚至当他把血统高贵的,美丽的 海伦从她的家乡给带出来的时候。 在奥德赛里,荷马也提到了这一点: 托恩的妻子埃及人波律达姆娜 曾把这样的有效的良药 送给宙斯的女儿:因为在那里的肥沃的土地上, 生长着许多配合起来能够治病的或是害人的药草。 而美涅拉欧司也向铁列玛科斯说: 我归心似箭,但诸神把我还留在埃及。 他们因我不崇奉他们,不为他俩按时举行百牛大祭而震怒。 从上面的诗句看来,诗人表示他知道亚力山大流浪到埃及去的这件事; 因为叙利亚就在埃及的旁边,而包括西顿人在内的腓尼基人又是住在叙利亚 的。

    (117)这些诗句和特别是这一节非常清楚地证明,赛浦路斯叙事诗并不是 荷马,而是另一位诗人写的。因为赛浦路斯的叙事诗说,亚力山大偕同海伦 在三天之内从斯巴达到伊里翁,一路之上是顺风和没有浪头的。但是根据伊 利亚特,他在带着她的时候,是迷失了道路的。现在我就不再谈荷马与赛浦 路斯叙事诗了。

    (118)但是当我问祭司们,希腊人所叙述的关于伊里翁(即特洛伊)的事情 是真是假的时候,他们回答说他们研究过并且知道美涅拉欧司自己所讲的 话,即在海伦被诱拐之后,希腊人的大军为援助美涅拉欧司到铁乌克罗斯人 的国土上来。他们在那里上岸扎营之后,便派遣使者到伊里翁去,美涅拉欧 司本人也是使者之一。这些人进城之后,便要求放回海伦,并交出亚力山大 从美涅拉欧司那里偷出并带走的财宝,此外还要求对他们的不义之行加以赔 偿:但是铁乌克罗斯人后来却一直发誓或是不发誓地宣称,他们那里并无向 他们要求交出的海伦和财宝,人和财宝都在埃及了。他们说,他们还没有义 务来赔偿现在在埃及国王普洛铁乌斯手里的东西。但是希腊人以为特洛伊人 是在开他们的玩笑,于是便围攻他们的城,直到攻克了这座城。直到他们攻 克了城塞,发现那里原来没有海伦并听到了和先前相同的说法,他们才相信 了特洛伊人当初所说的话,而把美涅拉欧司本人派到普洛铁乌斯那里去。

    (119)于是美涅拉欧司来到了埃及并溯河上行到达孟斐斯;在那里,把经 过的情形如实讲了一遍之后,他受到了非常热诚的款待并且完全无伤地接回 了海伦以及他的一切财富,但是,尽管他受到这样盛情的款待,美涅拉欧司 却做了一件对不起埃及人的事情。原来当他要乘船离开的时候,由于天气不 好而被留下;由于这种阻碍长期无法解除,他便想主意而做了一件受到禁止 的事情;他捉了当地的两个孩子,拿他们作了牺牲。当人们知道他做了这样 的事情的时候,便憎恨并追赶他,于是他便乘船逃到利比亚去;而从那里他 又到什么地方去,埃及人就不知道了。祭司们告诉我说,他们在打听之后才 知道了这件事的若干情节,但是在他们自己国内发生的事情,他们却是言之 确凿的。

    (120)埃及祭司们告诉我的一切就说到这里为止了。至于我本人,我是相 信他们关于海伦的说法的。我的理由是这样:如果海伦是在伊里翁的话,那 末不管亚力山大愿意不愿意,她也要给送回到希腊人那里的。可以肯定,普 利亚莫斯和他的最亲近的人们都不会疯狂到竟会使他们自己、他们的儿子以 及他们的城市冒着危险而叫亚力山大娶海伦为妻子。甚至假如他们在开头的 时候有意这样做的话,那末当不仅仅是许多特洛伊人在与希腊人作战时被杀 死,而且普利亚莫斯本人在每次战斗中,如果诗人的叙事诗可信的话,都要死掉两三个、甚至更多的儿子的时候,在发生这样的情况之下,即使海伦是 普利亚莫斯自己的妻子,我自己也必然会想到,他是要把她送回到希腊人那 里去的,如果这样做他可以躲掉目前灾祸的话。但尽管普利亚莫斯上了年纪, 亚力山大却不是最近的一个王位继承者,因此他不能成为一位真正的统治 者。这样的一个人是海克托尔,这是一个比亚力山大年纪大而且比他更勇敢 的人物,他是很有希望在普利亚莫斯死时取得王权的。海克托尔决不会同意 他的兄弟的不义之行,特别是当这个兄弟是造成海克托尔本人以及整个特洛 伊的巨大灾祸的原因的时候。然而事情的结果却正如他们所说的那样,因为 特洛伊人那里并没有海伦可以交回,而且尽管他们讲了真话,希腊人却不相 信他们;因为,我相信并认为,天意注定特洛伊的彻底摧毁,这件事将会在 全体世人的面前证明,诸神确是严厉地惩罚了重大的不义之行的。我是按照 我自己所相信的来讲的。

    (121)在普洛铁乌斯之后统治埃及的,他们说是拉姆普西尼托司。使 人想 到他的名字的纪念物是他留下来的海帕伊司托斯神殿的西面的前庭;在这前 面他建立了两座有二十五佩巨斯高的像。这两座像靠北面的一座埃及人称之 为夏,靠南面的一座埃及人称之为冬;对他们称之为夏的那座像,他们是崇 拜并且善待的,但是对于称之为冬的那座像则给以相反的待遇。 (α)他们告诉我说,这个国王拥有这样大量的白银,以致后来的国王无 人能超过他或几乎比得上他。为了他能够安全地保藏他的财富,他下令修建 一间石室,这间石室的一面墙就和他的宫殿的外侧相接。但是修建这间石室 的工匠却巧妙地想出一个办法,使墙壁上的一块石头砌得可以容易地给两个 人,甚或一个人抽出来。 因此当石室完工的时候,国王便把他的财富储藏在里面了。但是久而久 之,当这个设计的工匠病得快要死的时候,他便把孩子们(他有两个儿子)召 到自己的面前来,告诉他们怎样由于在他修建国王的财库时的技艺,而为他 们安排了一个非常富裕的生计。他非常详尽地告诉他们移动石头的办法并且 把寻找这块石头的尺寸也向他们讲了,并且说如果他们把这些记住的话,他 们便可以随便支配国王的财富了。因此,当他死去的时候,他的儿子不久便 着手干他们的这件事了:他们在夜里来到王宫,很容易地在石室上找到了那 块石头并把它抽了出来,这样便盗窃了大量的财富。 (β)当国王在一天打开石室的时候,他非常惊讶地看到盛着财宝的容器 有些已经不满了。但是他不知道这应当归咎于何人,因为封印毫无异状而石 室也紧紧地关闭着。但是在他第二次、第三次打开石室的时候,他发现财宝 更加减少了(因为盗贼并没有停止偷窃),于是他便下令设置陷阱并把它安置 在他放置财宝的容器的四周。盗贼象先前那样地又来了,他们之中的一个爬 了进来;当他走近容器的时候,他立到便被陷阱捉住了。看到他自己遭到灾 祸,他立刻喊他的兄弟并把发生的事情告诉了他,要他的兄弟尽快地进来割 掉他的首级,以免他被人看见和认出从而也连累了他的兄弟。他的兄弟认为 这是一个好的办法,便同意并这样做了。于是他便把石头又安放在原处,带 着他的兄弟的首级回家去了。 (γ)等到早上的时候,国王又到石室来,他吃惊地看到了一名无头贼, 但是石室仍然没有打开,也看不出出入的痕迹来,于是他不知道如何好了。 但是他立刻下令把盗贼的尸体悬在外城并派卫兵守在那里,告诉这些卫兵, 如果看到有人哭泣或是哀悼,就立刻把这个人捉来见他。但是当这具尸体这 样给悬挂出来的时候,贼的母亲感到万分难过,她要她还活着的那个儿子想 不管是怎样一个办法把那个尸首放下来并把它带回来;她并且威吓说如果他 不从命的话,她就要到国王那里去报告,说他窝藏了偷来的财富。 (δ)因此当母亲痛斥了他,而他无论如何也不能说服她的时候,他便想 出了这样的一个办法:他带着他的驴子,驴子背上载运着满盛着酒的皮囊, 然后就赶着它们在自己的前面走,而一直来到看守着悬挂着的尸体的卫兵的 近旁;于是他便拉两三只革囊上的脚(制作皮子时,牲畜的尾巴和脚是留在皮子上的),这样就把它的口解开了;而在酒向外 流的时候,他便高声喊叫并且打自己的脑袋,好象是不知道先对付那一只驴 子好的样子。 卫兵看到酒这样大量地流了出来,他们便拿起器皿跑到大道上去接取流 出来的酒并自认为是有运气的。这个人假装作生气的样子并把卫兵们都痛骂 了一顿。但是卫兵却心平气和地向他讲话。于是他立刻象是受到宽慰并且平 息了怒气,直到最后,他竟把他的驴子赶到大道旁边并着手重新整理他载运 的东西。结果卫兵和他谈起话来,其中的一名卫兵竟和他开玩笑而使他笑了 起来,这样他又送给他们一革囊的酒。于是不费什么麻烦卫兵们便坐了下来 开始饮酒,他们要他参加进来和他们在那里共饮。他同意而留下了。他们跟 他欢饮,而他又给了他们一革囊的酒,直到卫兵们由于喝的太多而酩酊大醉 的时候,他们终于不得不睡着而在他们饮酒的地方卧倒了。当夜深的时候, 这个贼便把他的兄弟的尸首放下来,然后为了愚弄的目的,他又剃了这些卫 兵的右颊。他把这尸首放到驴背上驼着,赶回家里去,这样便完成了母亲交 给他的任务。 (ε)当国王听到贼的尸首被盗走的时候,他真是愤怒万分了。 因此为了不管用什么代价也要捉住做出了这样事情的人,他便用了这样 的一个办法,这是埃及的祭司们的说法,但我个人是不相信这个说法的。他 把自己的女儿给送到娼家去,命令她不拘任何人一律接待,但是在就衾之前 先要每一个人告诉她,他本人在一生中所做的最聪明的和最邪恶的事情是什 么。如果任何一个人在回答时告诉了她这个贼的故事,她必须立刻抓住他, 不许他逃跑。她的女儿按照她父亲的吩咐做了,但贼是知道为什么国王要这 样做的,于是他便想在计巧方面胜过国王。因此他又想出了下面的一个计划: 他弄到了一具刚死的尸体并把它的一只手臂割下来藏到衣服下面,这样便到 国王的女儿那里去。当她象她对所有其他的人一样地向他提问题的时候,他 就告诉她说他所做的最邪恶的事便是在他的兄弟被国王财库中的陷阱捉住 时,他割下了他兄弟的脑袋;而他的最聪明的事情便是灌醉了卫兵并把尸体 带走。当他这样讲的时候,公主便想抓住他,但是贼却在黑暗当中把尸体的 手臂给了她。公主以为这便是他的手臂,便紧紧地把它捉住。但贼在这时却 把手臂留给她抓着,自己从门口溜掉了。 (ζ)在国王又得到这个消息之后,对这个人的狡滑和大胆深为惊服,于 是便派使者到他统治之下的各个城镇去发布命令说,如果这个人前来谒见国 王的话,国王将答应赦免他并给他重额的赏金。贼相信了他的话,到国王这 里来了;拉姆普西尼托司非常称赏他,说他是人间最有智慧的人并把公主许 配给他。因为国王说埃及人在智慧方面比所有其他的异邦人要优秀,而这个人又比所有其他的埃及人要优秀。

    (122)祭司们还告诉我说,这位国王后来以肉身下降到希腊人称为哈戴司 的冥府去,在那里和戴美特尔玩骰子,他有时胜、有时负,在这之后,他便 带看女神赠给他的一件礼物即金色的餐巾回到大地上来了。因此,根据他们 的话,由于拉姆普西尼托司下降到冥府去并从那里回来,埃及人便制定了一 个节日,而我知道在我的时代他们确实是还庆祝这个节日的。但为什么他们 制定这个节日,是为了这件事情还是为了其他的事情我就不能确定了。节日 那天的仪式是这样:祭司们织出一件衣服,用一条布带蒙上他们当中一个人 的眼睛,然后他们把这件衣服披在这个人的身上领着他到通向戴美特尔神殿 的大道上去;那时他们便和他分手并留他一个人在那里了。可是,他们说, 被蒙上了眼睛的祭司却给两匹狼领到离城二十斯塔迪昂远的戴美特尔神殿 去,再由狼从神殿领他回到原来的地点来。

    (123)这些埃及的故事是为了给那些相信这样故事的人来采用的:至于我 个人,则在这全部历史里,我的规则是我不管人们告诉我什么,我都把它记 录下来。 在埃及,人们相信地下世界的统治者是戴美特尔和狄奥尼索斯。此外, 埃及人还第一个教给人们说,人类的灵魂是不朽的,而在肉体死去的时候, 人的灵魂便进到当时正在生下来的其他生物里面去;而在经过陆、海、空三 界的一切生物之后,这灵魂便再一次投生到人体里面来。这整个的一次循环 要在三千年中间完成。早先和后来的一些希腊人也采用过这个说法,就好象 是他们自己想出来的一样;这些人的名字我都知道,但我不把他们记在这里。

    (124)祭司们告诉我说,直到拉姆普西尼托司的时候,埃及在一切方面都 治理得很好并且十分繁荣,但是到下面的一位国王岐欧普斯当政的时候,人 民却大倒其霉了。因为首先,他封闭了所有的神殿,以致任何人也不能在那 里奉献牺牲;其次,他强迫所有的埃及人为他做工,指定一些人给他从阿拉 伯山中的采石场把石头拉到尼罗河岸:而这些石头既然要装在船上运过河 去,所以另一些人的任务就是接过这些石头来并把它们拉到称为利比亚山的 山那里去。他们分成十万人的大群来工作,每一个大群要工作三个月。在十 年中间人民都是苦于修筑可以使石头通过去的道路,这种道路的修筑,在我 想来,只是比金字塔的修筑要轻一些,(因为道路是五斯塔迪昂长,十欧尔巨 阿克,最高的地方要到八欧尔旦阿,而且它完全是用磨光并且雕刻上图像的 石头修筑成的)。前面所说的十年是用来修筑这条道路和金字塔所在的那个山 上的地下室;国王修造这些地方是打算用它们来作他自己的陵墓,他还用水 把这些陵墓围起来,水是从尼罗河用一个水渠引过来的。金字塔本身的建造 用了二十年,它的底座是方形的,每一面有八普列特隆长,它的高与之相等。 金字塔是用磨光的石块,极其精确地砌筑成功的。每块石头的长度都超过三 十尺。

    (125)这个金字塔修造得象是有些人称为克罗撒伊,有些人称为波米戴司 的楼梯。当它这个初步的工程完成的时候,工人们便用短木块制成的杠杆把 其他的石块搬上去;他们把石块从地面抬到第一个级层上去;当石头这样抬 上去之后,在第一级层上再放置另一个杠杆,而这个杠杆又把它从这一级层 抬到另一级层上面去。可能在每一级层都有一个新的杠杆,也许只有一个可 以移动的杠杆,而在石头搬下之后,他们便把杠杆依次拉上每一级层。我听 的是这两种说法,但我无法确定。但可以确定的是,金字塔的上部是最先完 工的,然后是下面的部分,而最后才是底座和最下面的部分。在金字塔上面, 有用埃及字母写成的文字,表明为了给工人买萝卜、葱、蒜曾化了多少钱; 而我记得十分清楚,通译者当时念给我上面所写的文字是花费了一千六百塔 兰特的银子。而如果事实是这样的话,他们工作时所用的铁,以及工人的食 品和衣服得要花费多少钱啊。看到上面说的建造时所花费的时间,则在开采 和运送石头、挖掘地下部分这些方面,我想也是要很长的时间才可以做完的。

    (126)岐欧普斯是这样寡廉鲜耻的一个人,由于没有钱,他竟然使自己的 女儿去卖淫以便勒索酬报;但多少钱我不知道,因为他们没有告诉我。他们 说,她在接着她父亲的吩咐去做时,曾打算也给她自己留下某种纪念物,因 而请求每一个想和她交媾的人都要给她的营造物提供一块石头。而这些石头 便用来修建了对着大金字塔的三座金字塔中间的一座;这个金字塔的每一面 是一普列特隆半。

    (127)埃及人说,岐欧普斯统治了五十年;他死的时候,他的弟弟凯普伦 继承了王位。凯普伦的在一切方面的行为都和岐欧普斯相似。凯普伦也给自 己修筑了一座金字塔,但是比他哥哥的那一座要小。我自己测量过它。它没 有地下室,它也不象另一座金字塔那样有河渠把尼罗河的河水引过来,而是 通过人工修建的一条水道把河水引进来的;河水绕流一个岛,而他们说岐欧 普斯本人便埋在这个岛上。这座金字塔和另一座金字塔大小相同,只是高度 差四十尺;它位于大金字塔附近的地方;它最下面的一层是用彩色的埃西欧 匹亚石修筑的。两座金字塔都是耸立在同一大约有一百尺高的山丘上。他们 说,凯普伦统治了五十六年。

    (128)因此他们便认为,埃及曾有一百○六年是在水深火热之中,而关闭 了如此长久的神殿也从来没有开过。人民想起这两个国王时恨到这样的程 度,以致他们很不愿意提起他们的名字而是用牧人皮里提斯的名字来称呼这 些座金字塔,因为这个牧人当时曾在这个地方牧放他的畜群。

    (129)他们说, 埃及再下面的一个国王,就是岐欧普斯的儿子美凯里诺斯了。他不喜欢他的 父亲的所作所为,因而打开了神殿,并容许那时已处于水深火热之境的人民 各人去作各人的行业,去奉献他们的牺牲。他是所有国王中最公正的审判者。 正是因为如此,他比埃及的一切统治者都受到更高的赞扬。原来不仅仅是他 的审判公正,而且,如果任何人不满意于他的判决,美凯里诺斯还会从他自 己的产业中给这样的人一份礼物以偿还他的损失。他的行动便是这样的;他 以仁政来治理他的人民,然而他仍然遭到了灾难:首先的一个灾难便是他家 中唯一的孩子,他的独生女儿死了。他对他的这一不幸遭遇悲痛万分,因此 他想给她举行比一般要隆重的葬仪。于是他用包金的木头做了一头空心的 牛,把他的女儿的尸体放置到里面去。

    (130)这只牛不是埋在土里,而在我那时候,人们还可以在撒伊司城看到 它,它被安放在宫殿的一间华美的房间里。每天都给它烧各种的香,每夜都 在它旁边点着一盏灯。在这个牛像近旁有另一个房间,在那里有美凯里诺斯 的侍妾的像,这是撒伊司的祭司们告诉我的;而那里确实有大约二十座巨大 的木像,都制作得象是裸体的妇女;但是我只听说过它们是何许人,我自己 难肯定它们是谁。

    (131)有人还说过关于牛和木像的事情,说美凯里诺斯怎样爱上了自己的 女儿并把她强行奸污了,结果她悲痛得自缢了。因此,他们说,他便把她埋 葬在这个牛像里;女孩子的母亲把引诱女儿跟她父亲通奸的那些侍女的手都 砍掉了,因而据说现在她们的像的情况就和当时活着的那些妇女所遭到的命 运一样。但我认为这乃是一种无稽之谈,特别是关于人像的手的事情。据我 们自己来看,人像是因为年深日久,它们的手才脱落了的。甚至在我的时候, 我还看见这些手放置在这些人像前面的地上。

    (132)至于这个牛,则它的外部覆盖着一件紫色的袍子,露出的只有头部 和颈部,它们都包着很厚的一层金。而在它的两角之间,安放着一个黄金的、 日轮一样的东西;牛不是站着,而是跪看。它的大小和一个实物的大牛差不 多。每年只要是在埃及人为了在谈到这些事情时我没有指出名字来的神而捶 胸哀悼时,这个牛像就给从房间内抬出来一次。在那个时候母牛被始出来见 见太阳,因为他们说,美凯里诺斯的女儿在她死的时候曾恳求她父亲,使她 每年能够见到一次太阳。

    (133)在他的女儿的悲惨的死亡之后,美凯里诺斯随之又遇到了这样的一 件事情。从布头城有一个神托送到他这里来,说他只还有六年的寿命,而在 第七年一定会死。国王认为这太不公平了,于是便把一名使者派到神托所去 谴责神,抱怨说他的父亲和叔父封闭神殿、不敬神明并蹂躏世人却活得很久, 而他这样一个十分敬神的人却是短命的。但是从神托所却来了第二个神托, 这个神托对他说,他所做的善事正是使他短命的原因,因为他是违反着天命 行事的;埃及注定要受一百五十年的苦难,这一点他前面的两个国王知道, 然而他本人却不知道。听到这话之后,他知道他的命运是确定了。于是他便 下令制造许多烛灯,每到夜里就把它们点起来,饮酒作乐。他昼夜不停地饮 酒作乐;不管是沼泽地带还是森林地带,只要是他听到有可以极尽欢乐的地 方,他就漫游到那里去。他这样做的目的,是打算用把黑夜变成白天的办法, 把他的六年变为十二年从而证明神托的虚妄。

    (134)这个国王也留下了一座金字塔,但是这座金字塔比他父亲的要小得 多,它的正方形的底座的每一面是差二十尺不到三普列特隆,而且有一半的 高度是用埃西欧匹亚石修建起来的。但是有一些希腊人说,这座金字塔是妓 女罗德庇司修建的,不过这个说法是不对的。诚然,我知道的很清楚,当他 们这样讲的时候,他们并不知道罗德庇司是谁(否则他们决不会把修造金字塔 的事情算到她的身上,而说起来,要是修建一座金字塔,是要花费无数塔兰 特的金钱的)。而且还有一件事可以证明他们的错误,即罗德庇司的全盛时代 正是在阿玛西斯,而不是在美凯里诺斯当政的时候,因此她是在修建金字塔 的这些国王之后许多年的人。她是一个色雷斯人,是萨摩司人海帕伊斯托波 里斯的儿子雅德蒙的女奴隶。她又是和写作寓言的伊索在一起的奴隶,因为 他也是雅德蒙的人。这一点的最主要的证据是,当戴尔波伊人遵照着一次神 托的命令,作出多次的声明讲对伊索之被杀而要求赔偿的任何人到他们那里 去的时候,则除了只有前者的孙子,另一个雅德蒙之外,并没有任何人这样 做。因此,伊索当然也就是雅德蒙的奴隶了。

    (135)罗德庇司是萨摩司的克桑托斯给带到埃及来的。她到这里本是想做 妓女的,但是在她来到之后,司卡芒德洛尼莫司的儿子,闺秀诗人莎波的兄 弟,米提列奈人卡拉克索斯用一大笔钱给她赎了身。这样罗德庇司便得到了 自由并定居在埃及,在那里她那遐迩闻名的魅力使她有了对一个妓女来说是 非常巨大的财富,然而决不会富到可以修建这样一座金字塔的程度。既然到 今天,任何人只要愿意的话,都可以知道她的财富的十分之一是多少,因此 她是不可能被认为拥有巨大财富的。由于罗德庇司想给自己在希腊留一件纪 念品,她便定制了一件独出心裁的东西然后再把它献到神殿去,她是把它献 给了戴尔波伊作为自己的纪念的;因此,她便花了他的财富的十分之一用来 定制了尽可能多的烤全牛用的铁叉,然后把这些铁又送到戴尔波伊去;这些 东西到今天还堆在那里,地点在歧奥斯人所奉献的祭坛的后面,神殿本身的 前面。纳乌克拉提斯的妓女好象是最会迷惑人的,首先,我们上面谈到的那 个罗德庇司就是这样的一位知名人物,甚至全希腊没有人不知道罗德庇司的 名字。到后来,阿尔启迪凯又成了全希腊人们所讴歌的人物,尽管她的名声 不如罗德庇司大。卡拉克索斯在给罗德庇司赎身之后便回到米提列奈去了, 但是莎波在她的一首诗歌里却狠狠地嘲骂了他。关于罗德庇司的事情,便讲 到这里为止了。

    (136)根据祭司们的话,继美凯里诺斯而后成为埃及国王的是阿苏启司, 他给海帕伊司托斯神殿修造了向着日出方向的外门,这个门比之其他的任何 的门都要美丽和雄伟得多。在所有的外门上都有许多雕刻图像和无数建筑上 的装饰,但在这个门上,这类的东西则要多得多。在这位国王的当政的时期, 他们告诉我说,埃及的金融紧迫,因此定出一条法律,一个人可以用他自己 父亲的尸体作抵押来借钱;法律还规定,债主对于债务人的全部墓地有财产 扣押权,如果债务人还不了债的时候,对于提供这种抵押的人的惩罚就是, 他死时自己不许埋入他的父祖的墓地或其他任何墓地,而在他生时,他也不 许把他的任何死亡的家族埋入自己的墓地或其他任何墓地。此外,为了超过 在他之前统治过埃及的历代国王,这个国王留下了一座砖造的金字塔作为自 己的纪念,上面有刻在石头上的铭文。“不要因为和石造的金字塔相比而小 看我。因为我比它们优秀得多,就好象宙斯与其他诸神相比一样。因为人们 把竿子戳到湖里面去,并把附着在竿子上的泥土收集到一起做成砖。而我就 是这样修筑起来的”。

    (137)这一切便是阿苏启司所做的事情。继他而统治的,是一个叫做阿努 西司的盲目男子,他所出身的城市也叫做阿努西司。在他统治的时候,埃及 曾受到埃西欧匹亚的国王撒巴科斯所率领的一支埃西欧匹亚大军的进攻。盲 人逃到沼泽地带去,埃西欧匹亚人于是统治了埃及五十年。在历史上记载到 他的统治时说,他永不处死任何做了错事的埃及人,但是根据人们犯罪程度 的大小,判处所有那些犯罪的人在他们本地城镇修筑堤坝。因而城镇的地势 便比以前更要高了:这是由于它们起初,在塞索斯特里斯统治的时期,是被 建筑在挖掘河渠的人们修造的堤坝之上,因此在埃西欧匹亚人的统治时期它 们就更高了。我想,其他的埃及城镇也是这样对待的,但是布巴斯提斯却比 任何地方升得都要高。在这个城市里有一座布巴斯提斯的神殿,这是非常引 人注目的一个建筑物。其他神殿尽管比较大或花钱较多,但是却没有一座神 殿比这座神殿更加悦目。希腊语称布巴斯提斯为阿尔铁米司。

    (138)我现在要说一说这座神殿的外形:除去入口之外,它是在一个岛 上;从尼罗河有两个互不交叉的河渠流过它的附近,这两个河渠的流向是相 对的,都是一直流到神殿入口的地方,然后一个河渠从一方,另一个河渠从 相对的一方绕过去。每一个河渠都有一百尺宽,两岸上树木成荫,笼罩在水 面之上。外殿有十欧尔巨阿高,装饰着六佩巨斯高的精美人像。神殿位于城 市的正中,城的四周俯视着这座神殿,因为城的地面升高起来,但神殿的地 面却和先前一样,因此人们是可以从外面看到它的里面的。它的四周是刻着 图像的石墙:里面是一丛非常高大的树木围绕在一座巨大神殿的四周长着。 神殿里是女神的神像。神殿是方形的,每一面有一斯塔迪昂长。一条大约有 三斯塔迪昂长的石铺的道路一直通到入口,然后折向东通过市集,再到海尔 美士神殿。道路大概有四普列特隆宽,两旁长着参天的树木。神殿的情况就 是这样的。

    (139)他们说,埃西欧匹亚人离开的经过情况是这样的。他逃出了这个地 方,是因为他梦见一个人站在他的面前,劝告他把埃及的全体祭司集合到一 起并把他们腰斩。做了这样的一个梦之后,他就说他认为这可能是神给他的 一个暗示,表示他可以做出有凟神明的事情,这样就会受到诸神或是人们的 惩罚;他说他不愿这样做,再加上,在神托预言他统治埃及的时期期满之后 他是要离去的,现在时期已经到了,他也应当离开了;因为当他还在埃西欧 匹亚的时候,当地的人们请示的神托宣布说,他命中注定要统治埃及五十年。 既然这个时期已经满了而且他又因他在梦中的所见而心中烦恼,于是撒巴科 斯就自动地离开了埃及。

    (140)这个埃西欧匹亚人既然离开了埃及,据说那位盲人便再度做了国 王;他是从沼泽地带回来的,他在那里住了五十年,住的地方是他自己用灰 和士筑成的一个岛。因为个别背着埃西欧匹亚人被派来给他送食物的埃及 人,曾受国王之托在每次来的时候都带着灰,作为他们的礼物。在阿米尔塔 伊俄斯的时期之前,从来没有人发现过这个岛;在他之前的所有的国王找了 七百多年都没有找到它。它的名字是埃尔波,有十斯塔迪昂长,十斯塔迪昂 宽。

    (141)下面的一个国王就是海帕伊司托斯的祭司,名字叫做赛托司。他看 不起并且毫不重视埃及的战士阶级,认为他根本不需要他们;他不仅是侮辱 他们,而且把在前王时期送给他们每一个人的十二阿路拉上选土地收了回 去。因此国王撒那卡里波司立刻率领一支阿拉伯人和亚述人的大军前来攻打 埃及:但埃及的战士不愿对他作战。这个走头无路的祭司只得跑到神殿里去, 在那里的神象面前为眼看便要到临他身上的危险而哀哭。当他正在哀哭的时 候,他睡着了,在梦中他梦见神站在他的面前,命令他鼓起勇气来,因为在 和阿拉伯人的大军相对抗时,他是不会受到什么损害的。神说他自己将要派 军队来援助他。他相信了这个梦,因而便率领着还跟随着他的那些埃及人在 佩鲁西昂扎下了营(因为这里是埃及的入口),没有战士愿意跟着他去,愿意 去的只有行商、工匠和小贩。 他们的敌人也来到了这里,而在一个夜里有一大群田鼠涌入亚述的营 地,咬坏了他们的箭筒、他们的弓,乃至他们盾牌上的把手,使得他们在第 二天竟不得不空着手跑走,许多人又死掉了。而在这一天,在海帕伊司托斯 神殿里有一个埃及国王的石像,手里拿着一只老鼠,像上还有一行铭文,大 意是:“让看到我的人敬畏神明罢”。

    (142)埃及人和他们的祭司所告诉我的事情就是这些了。他们跟我说,从 第一个国王到最后的那个海帕伊司托斯的祭司,中间总计是三百四十一世, 而在这一段时间里,他们也就有相同数目的国王和祭司长。三百世是一万年, 三世等于一百年。不把三百世计算在内,剩下的四十一世则是一千三百四十 年。这样算来,全部时间就是一万一千三百四十年;他们说,在这全部时期 当中,他们没有一个国王是人形的神,而在这段时期之前或之后的其他埃及 国王当中,也没有这样的事情。因此他们告诉我说,在这一段时期里,太阳 逆、反常规地升起了四次;两次它是在它现在下落的地方升起的,两次是在 它现在上升的地方下落的;虽然如此,埃及现在却没有经受任何变化,不管 是在河流和土地的生产方面,还是在疾病和死亡的事情上面都是如此。

    (143)海卡泰欧斯(波斯战争后不久去世)这位历史家曾有一次到底比斯,他在那里自己回溯了 一下身世,结果发现他在十六代之前和神有血统的关系。宙斯的祭司对他所 做的事和他们对我所做的事完全一样,但我并没有回溯我自己的身世。他们 把我领到神殿的巨大内庭里去,在那里指给我看许多木像,他们数了一下, 木像的数目正是他们刚才听说的那个数目,因为每一个祭司长在生前都给自 己在那里立一座像;在数给我并指给我看这些像的时候,祭司们向我表示,每一个都是从他的父亲那里继承来的。他们数了全部的木像,从最近死的那 个人一直回溯到最早的那个人。因此,当海卡泰欧斯回溯他的身世并宣布说 在他之前第十六代的祖先是神的时候,祭司们根据他们的计算方法也回溯了 他们的身世,因为他们不会相信他那认为一个人可以从神生出来的话:他们 循着三百四十五个像来回溯全部的身世,却和任何祖先的神或英雄联系不 上,他们宣布说每一个像都是一个披罗米司,都是另一个披罗米司的儿子, 用希腊语来说,披罗米司就是一个在各方面都好的人物。

    (144)于是他们便表示说,凡是有像立在那里的人都是好人,但他们和神 却完全不同。他们说,在这些人之前,埃及的统治者是神,他们和人类共同 生活在大地上,在每一代其中必定有一位神掌握着最高主权。他们之中最后 统治埃及的是奥西里斯的儿子欧洛司,希腊人则称之为阿波罗;他废黜了杜彭(埃及的毁灭之神赛特)而成了埃及最后一代的神圣的国王。奥西里斯在希腊语中则称之为狄奥尼 索斯。

    (145)在希腊人当中,海拉克列斯、狄奥尼索斯和潘恩被认为是诸神当中 最年轻的。但在埃及,潘恩(埃及的凯姆)是诸神中最古老的,并且据说是最初存在的八神 之一,海拉克列斯是第二代的所谓十二神之一,而狄奥尼索斯则被认为是属 于十二神之后的第三代的神。在海拉克列斯和阿玛西斯之间有多少年,我已 经说过了。潘恩据说还要早一些;在狄奥尼索斯和阿玛西斯之间的年代最短, 埃及人把这段年代算定为一万五千年。既然埃及人已经算出了年代来,而且 又把它们加以记载,可以知道他们对这一切是知道得很清楚的。但据说卡得 莫斯的女儿赛美列所生的狄奥尼索斯大约是在我当时之前一千六百年,而阿 尔克美涅的儿子海拉克列斯则是在我之前九百年左右。而佩奈洛佩所生的潘 恩(根据希腊人的传说,佩奈洛佩和海尔美士是潘恩的双亲)是在我之前八百 年左右,因此比特洛伊战争还要晚了。

    (146)关于潘恩和狄奥尼索斯这两个神,人们可以相信任何一个他认为是 可信的说法;但是在这里我要说一下我自己关于它们的意见:如果赛美列的 儿子狄奥尼索斯和佩奈洛佩的儿子潘恩在希腊很有名,并象阿姆披特利昂的 儿子海拉克列斯那样一直在那里住到老年的话,那就可以说,他们和海拉克 列斯一样,也不过是普通人,只是用比他们要古老得多的神潘恩和狄奥尼索 斯的名字来命名罢了。但虽然如此、希腊的故事却说,宙斯刚刚把他缝在自 己的股内并把他带到埃及之外埃西欧区亚的尼撒去的时候,狄奥尼索斯便降 生了;至于潘恩,则希腊人便不知道他降生后的情况如何了。因此,在我看 来,很清楚的是希腊人在诸神的名字当中是最后才知道了这两个神的名字 的,他们把这两个神的起源一直回溯到他们知道它们的时候去。

    (147)以上我记述的都是埃及人自己所讲的话。下面我还要说一说埃及人 和外国人异口同声所讲的有关在这个国家发生的事情的话,还要加上我亲眼 看到的一些东西。在海帕伊司托斯的祭司的统治时期之后,埃及人便自由了。 (但是他们不能没有一个国王而生活下去),于是他们便把埃及分成十二 部分并立了十二位国王。这些国王相互结亲并同意结为亲密的朋友,他们之 间谁也不应陷害另一个人,谁也不应取得比另一个人更多的东西。所以谛结 他们努力遵守的这一协定的理由是这样:在他们刚刚开始分王而治的时候,有一个神托告诉他们说,他们当中在海帕伊司托斯神殿中用青铜器皿行灌奠 之礼的那个人将会是全埃及的国王。就和在所有其他的神殿集会一样,他们 也是常常在这个神殿中集会的。

    (148)此外,他们还决定共同做一番事业只便把他们的名字保存在后人的 记忆里:在这样决定以后,他们便修建了一所迷宫,迷宫在离莫伊利斯湖不 远的地方,位于人们称为鳄鱼城的一个地方的附近。我个人看见过它,它的 巧妙诚然是难以用言语形容的;把希腊人所修建的和制造的东西都放到一 起,尽管以弗所和萨摩司的神殿也都是引人注目的建筑物,但总起来和它相 比,在花费的劳力和金钱这点上,可说是小巫见大巫了。虽然金字塔大得无 法形容而其中的每一座又足能顶得上希腊人修建的许多巨大纪念物,但这种 错综复杂的迷宫又是超过了金字塔的。它有十二所有顶子的方庭,它们的门 是相对的,六个朝北,六个朝南,并排为连续的两列,但它们都在一道外墙 之内。它还有双套的房间,房间总数是三千间,一千五百间在地上面,一千 五百间在地下面。我们自己看到了地上面的,所以现在只讲看到的部分;地 下面的那一部分我们只是听别人讲的。埃及的看门人无论如何不肯使我们看 到它们。他们说,这是最初修建这一迷宫的国王们和圣鳄的墓窖。因此我们 只能凭传闻讲一进地下室。地上面的部分我自己见过,它们大得人们几乎不 相信是人建造的。各室的出口和来往通过各方庭的令人为之心迷的道路,在 我们从方庭进入内室,从内室到柱廊,从柱廊又到更多的房间,然后进入更 多的方庭的时候,这对我来说,乃是无穷无尽的惊异。在这一切之上是一个 屋顶,屋顶和墙一样是石造的;墙上刻着图像,每一方庭的四周则是拼砌得 极其精确的白石柱廊。在迷宫尽头的一个角落附近,有一座四十欧尔巨阿高 的金字塔,上面刻着巨大的图像。修造了一条道通到这地下面去。

    (149)迷宫的情况就是这样。然而在它旁边的莫伊利斯湖却是更值得人们 惊奇的。这个湖的周边长达三千六百斯塔迪昂或六十司科伊诺斯,这个长度 相当于埃及全部海岸线的长度。它的长度是从北到南的;它最深的地方是五 十欧尔巨阿。从湖的本身可以看出,这湖是人工挖掘的,人工造成的:因为 几乎在它的正中有两座金字塔,它们修建得水上水下各有五十欧尔巨阿,在 每一座金字塔的塔顶上,有一个坐在王座上的巨大石像。因此这些金字塔就 是一百欧尔巨阿高;一百欧尔巨阿等于一斯塔迪昂即六普列特隆,一欧尔巨 阿等于六尺或四佩巨斯,一尺等于四帕拉司铁,一佩巨斯等于六帕拉司铁。 湖里的水不是天然的(因为这一带地方的水异常缺乏),而是通过一道河渠从 尼罗河引过来的;有六个月水从河流入湖,六个月从湖倒流入河。在向外流 的六个月中间,每天捕得的鱼可使王室的国库收入一塔兰特的白银,而在向 内流的场合之下,每日的收入是二十米那。

    (150)此外,当地的人还说,这个湖还通过一道地下的水流通到利比亚的 叙尔提斯,它是沿着孟斐斯上方的山脉向西方的内地流的。在任何地方我都 看不到从这个湖里挖出来的土,这一点使我颇费思索,于是我便去问那些住 得离湖最近的人们,从湖中挖出来的东西都在什么地方。他们告诉我这些东 西运到什么地方去而我立刻便相信了他们的话,因为我听到了在亚述的尼诺 斯域所发生的一件类似的事情。尼诺斯的国王撒尔丹那帕洛司拥有巨大财 富,他把这些财富收藏在地下的财库里。有一些贼想偷走这个财库:于是他 们计算通路并从他们所住的房子到皇宫挖了一条地道,而把挖出来的土在夜 里抛到流经尼诺斯地方的底格里斯河,直到最后,他们达成了他们的愿望。 我听说,挖掘埃及的湖的时候,情况也是这样,所不同的就是工程不是在夜 里,而是在白天进行的。埃及人把挖出来的泥土带到尼罗河去,想来这样做 是要河水把这些泥土冲走和散开。湖就是这样挖成的。

    (151)这十二个国王的行动一直是公正的;过了若干时候,他们终于到海 帕伊司托斯神殿来奉献牺牲了。在宴会的最后一日,当他们正要举行灌奠之 礼的时候,祭司长拿出了他们通常用来行礼的金杯;但是他算错,而只给了 他们十二个人十一个杯子。因此他们中间最后的一个人普撒美提科斯便没有 得到杯子。于是他便摘下他的青铜头盔,拿着它来行灌奠之礼。所有其他的 国王通常也戴头盔。而那时也是戴盔的:当时普撒美提科斯拿出他的头盔来 并不是故意想出的什么谋略,但是其他的人看到普撒美提科斯的做法却想到 神托所说的话,即谁用青铜器举行灌奠之礼谁便成为全埃及的国王的话。因 此,虽然他们认为普撒美提科斯还不应当被处死,因为他们调查过他并发现 他是在无意中这样做的;但他们却决定剥夺他大部分的权力并且把他赶到沼 泽地带去,不许他和埃及的其他部分发生关系。

    (152)这个普撒美提科斯以前是在叙利亚的,他是从杀了自己的父亲涅科 斯的埃西欧匹亚人撒巴科斯那里逃到叙利亚去的。那时,当这个埃西欧匹亚 人由于他在一次梦中的所见而离开的时候,撒伊司藉姆的埃及人便把他从叙 利亚带了回来。而当普撒美提科斯由于使用青酮头盔的缘故而被十一个国王 赶到沼泽地带去的时候,他已经是第二次做国王了。因此他认为他自己受到 了他们的极其粗暴的对待,并想对把他赶出来的那些人进行报复,于是他便 派人到布头城去请示列托的神托,因为这是埃及最确实可靠的一处神托所。 神托回答说,如果他看到有青铜人从大海那方面来的时候,他就可以进行报 复。普撒美提科斯心中暗里不相信青铜人会来帮助他。但是在不久之后,四 方航行进行劫掠的某些伊奥尼亚人和卡里亚人被迫在埃及的海岸停泊,他们 穿着青铜的铠甲在那里上了陆;于是一个埃及人便到沼泽地带来把这个消息 带给普撒美提科斯说,青铜人从海的那方面来了,并且正在平原上掠夺粮草。 至于普撒美提科斯,则他在先前是从来没有看见过穿着铠甲的人的。普撒美 提科斯认为这样神托的话已经应验了;于是他便和伊奥尼亚人与卡里亚人结 为朋友,并答应说如果他们与他联合起来的话。他将给他们以重大的酬谢: 因而在争取到他们之后,他便借了愿意跟他站到一起的埃及人以及这些联盟 者的帮助,废黜了十一个国王。

    (153)他作了全埃及的主人之后,他就在孟斐斯修造了海帕伊司托斯神殿 的一个向着南风方向的门殿,并在这门殿的对面修建了阿庇斯的一个方庭, 而无论什么时候阿庇斯出现,它都是在那里吃饭的。这个方庭内部四周都是 柱廊,方庭还有许多雕刻的图像,屋顶是支撑在有十二佩巨斯高的人形的巨 大石柱上。阿庇斯在希腊语里面称为埃帕波司。

    (154)对于帮助普撒美提科斯取得了胜利的伊奥尼亚人和卡里亚人,普撒 美提科斯给他们以在尼罗河两岸上相对峙的土地来居住,称为“营地”;在 这之外,他又把以前许给他们的一切都给了。此外,他又把埃及的孩子们交 给他们,向他们学习希腊语,这些埃及人学会了希腊语之后,就成了今天埃 及通译们的祖先。伊奥尼亚人和卡里亚人在这些地方住了一个很长的时候; 这些地方离海不远,在布巴斯提斯下方附近,尼罗河的所谓佩鲁希昂河口上 面。在很久以后,国王阿玛西斯从那里把他们迁移开去并使他们定居在孟斐 斯作他的侍卫以对抗埃及人。由于他们住在埃及,我们希腊人和这些人交往 之后,对于从普撒美提科斯的统治时期以后的埃及历史便有了精确的知识, 因为作为讲外国话而定居在埃及的人,他们要算是第一批了。直到我的时代, 在伊奥尼亚人和卡里亚人移走的地方那里,仍然有他们的船舶的起重器和他 们的房屋的废墟。普撒美提科斯成为埃及国王的经过就是这样了。

    (155)在前面我常常谈到埃及的神托所,现在我要对它加以说明,因为它 是值得一述的。这个埃及的神托所就是列托的神殿,从海溯河而行,则它位 于尼罗河所谓赛本努铁斯河口附近的一个大城市之内。神托所所在的那个大 城市的名字是叫做布头。我在前面已经提过了这个名字。在布头有一个阿波 罗和阿尔铁米司的神殿。神托所所在的这个列托神殿本身是非常大的,单是 外门便有十欧尔巨阿高。但是我要说的是在这里看到的一切东西当中最值得 惊叹的东西。在圣域之内的列托圣堂,它的墙的高和宽方面都是用一块石头 造起来的;每一面墙的高和宽相等,即各四十佩巨斯。另一块石头用来做屋 顶,它的檐板则有四佩巨斯宽。

    (156)因此在这座神殿里面,这个圣堂是我见到的一切东西当中最值得惊 叹的了;而其次,最值得惊叹的要算是称为凯姆米司的岛了。这个岛位于布 头神殿附近的一个宽而深的大湖上面,埃及人说它是一座浮岛。在我来说, 我从来没有看它浮起来过,根本也没有移动过,而我以为如果一个岛真地浮 起来,那倒真正是一件奇闻了。不管怎样,在那上面有阿波罗的一座巨大的 神殿,还有三座祭坛;岛上有许多椰子树以及其他的树,有的结果子,有的 不结果子。埃及人用一个故事来说明为什么这个岛是会移动的:当杜彭在世 界到处寻求奥西里斯的儿子的时候,身为最初的八神之一并住在有她的神托 所的布头的列托受到伊西司的委托而接纳了阿波罗,并为了安全而把他隐藏 在这座以前不动但现在据说是浮了起来的岛 上。他们说,阿波罗和阿尔敛米 司是狄奥尼索斯和伊西司的孩子,而列托则是他们的乳母和保护人。在埃及 语中阿波罗是欧洛司,戴美特尔是伊西司,阿尔铁米司是布巴斯提斯。正是 从这个,而不是从其他的埃及传说,只有埃乌波利昂的儿子埃司库洛斯得到 了在其他较早的诗人中间所找不到的一种想法,即阿尔铁米司是戴美特尔的 女儿。埃及人说,岛是由于上述的理由而浮起来的。故事的内容便是这样了。

    (157)普撒美提科斯统治埃及的时期是五十四年。其中有二十九年,他是 在叙利亚的一座大城阿佐托司面前度过的,他把这座城市一直围攻到攻克的 时候。这座阿佐托司城抗击围攻的时期,比我们所知道的任何被围的城市都 要长久。

    (158)普撒美提科斯有一个儿子涅科斯,涅科斯后来也成了埃及的国王。 涅科斯第一个着手把一条运河修到红海去,但完成这项工作的却是波斯人大 流士。这条运河的长度是四天的旅程,它挖掘的宽度足够两艘三段桡船并排 行进。它的水是从尼罗河引来的,它的起点是布巴斯提斯稍上方的一个阿拉 伯的帕托莫司城附近而一直流入红海。开始挖掘的地方是在埃及平原离阿拉 伯最近的那一部分;向孟斐斯方面延展的山脉,也就是采石场所在的那个山 脉,离这个平原是很近的;河渠就沿着这山脉的低低的山坡从西向东走很长 的一段,然后进入一个峡谷,更折向南流出山区而通向阿拉伯湾。而从北向 南方的海或红海的最短的和最便捷的道路,是从作为埃及和叙利亚的边界的 卡西欧斯山到阿拉伯湾,这段路程不多不少正是一千斯塔迪昂;这是最直接 的道路,但河渠则要长的多。 因为它是比较曲折的。在涅科斯的统治期间,死于挖掘工程的有十二万 埃及人。只是由于一次预言,涅科斯才停止了这项工作,因为预言指出他正 在为一个异邦人操劳。埃及人称所有讲其他语言的人为异邦人。

    (159)涅科斯于是停止挖掘河渠而从事于战争的准备工作了;他的一些战 船是在北海上修造的,有一些是在阿拉伯湾,红海的海岸上修造的。这些船 的卷扬机现在还可以看到的。他在需要的时候便使用这些船,他还率领着自 己的陆军在玛格多洛斯迎击叙利亚人并击败了他们,而在战后更攻取了叙利 亚的大城市卡杜提司。他派人到米利都的布朗奇达伊家去,把他在取得这些 次胜利时所穿的袍子在那里献给了阿波罗。在统治了十六年之后不久他便死 了。他的儿子普撒米司继承了他的王位。

    (160)当普撒米司统治埃及的时候,有一些使节从埃里司前来见他。埃里 司人夸口说他们在人类当中最公正合理地和出色地组织了奥林匹亚比赛会, 他们宣称尽管埃及人是人类中最有智慧的,可是甚至埃及人也不能对它有所 改进了。当埃里司人到埃及来并说明了他们此行的目的时,普撒米司便召集 了据说是埃及最有智慧的人们开了一个会。这些人集会在一起并向告诉他们 那些他们必须遵从的比赛规则的埃里司人进行询问,埃里司人说了这些之 后,便说他们这次来是为了这样做的:如果埃及人能够发明任何更加公正的 办法,他们也会学习的。埃及人在一起商量了一下,然后就询问埃里司人, 问他们当地的人是否也参加比赛。埃里司人作了肯定的回答:从埃里司和其 他地方来的一切希腊人都可以比赛的。于是埃及人就说,这个规则完全不是 公正的。他们说:“因为,在比赛中你们不可能不偏袒你们当地的人和不公 正地对待异邦人。而如果你们真地制定了公正的规则因而到埃及来的话,那 你们便应只允许异邦人参加,而不是埃里司人参加比赛了”。这便是埃及人 对埃里司人的意见。

    (161)普撒米司在埃及只统治了六年。他进攻埃西欧匹亚,此后不久便死 在那里了,而他的儿子阿普里埃司继他而登上了王位。除去他的曾祖父普撒 美提科斯以外,他在统治的二十五年中间比先前的任何国王都更幸运,在这 期间,他派遣一支军队去攻打西顶并且和推罗的国王发生过海战。但是他注 定要遭受不幸的,这原因现在我想简略地谈一下,而在谈到利比亚历史的那 部分时再说得详细些。 阿普里埃司曾派一支大军去攻打库列涅,但是吃了惨重的败仗。埃及人 为了这件事责怪他,并起来叛变他。因为他们认为阿普里埃司是故意叫他们 去送死的,他们认为由于他们这样一死,阿普里埃司便可以更加安稳地统治 其他的埃及人了。那些对这件事极其恼怒的人们回来之后,就和战死者的朋 友们公然地起来反抗了。

    (162)听到这个消息之后,阿普里埃司便派阿玛西斯到他们那里去,劝他 们回心转意。当阿玛西斯到埃及人这里来的时候,他便劝告他们不要做这样 的事情。但是当他讲话的时候,一个埃及人从他后面走过来,把一顶盔头戴 到他的头上,说这乃是王权的标帜。而阿玛西斯对这种做法也并不表示反对, 而既然被反叛的埃及人拥立为国王,他便准备向阿普里埃司进军了。当阿普 里埃司听到这件事的时候,他便派遣他宫廷中一个受到尊重的、名叫帕塔尔 贝米司的埃及人,来对付阿玛西斯;他命令这个帕塔尔贝米司生擒叛徒并把 这个叛徒捉来见他。帕塔尔贝米司来了,他召唤(正在乘骑之上)非常不体面 地抬起腿来和命令使臣拿回那个标帜给阿普里埃司的阿玛西斯。虽然帕塔尔 贝米司十分急于要阿玛西斯遵守国王的召唤并去见他,但故事说,阿玛西斯 回答说他很早便一直准备这样做而阿普里埃司是会非常满意他的;他说他不 但自己会来并且还要把别人也一同带来。帕塔尔贝米司听到这话,便明白了 阿玛西斯的意思:他看到了他做的准备,于是赶忙的离开了,为的是想使国 王尽快地知道什么事情正在发生。当阿普里埃司看到他没有带着阿玛西斯回 来的时候,自己并没有好好考虑一下,却在盛怒之下下令割掉帕塔尔贝米司 的耳朵和鼻子。到现在为止还拥护阿普里埃司的其他埃及人。看到在他们之 间最受尊敬的人都受到了这样不道德的侮辱,便毫不迟疑地改变了自己的立 场而投到阿玛西斯的那面去了。

    (163)这件事情也被阿普里埃司知道了,于是他便把他的卫队武装起来, 去攻打埃及人;他有由卡里亚人和伊奥尼亚人所组成的一支三万人的亲卫 军,他的宫殿是在撒伊司城,这是一座极其豪华壮丽的巨大宫殿。阿普里埃 司的军队进攻埃及人,阿玛西斯的军队也向异邦人进攻。两军在莫美姆披司 相会,他们相互间就想在那里一试身手。

    (164)埃及人分成七个阶级:他们各自的头街是祭司、武士、牧牛人、牧猪人、商贩、通译和舵手。有这样多的阶级,每个阶级都是以它自己的职业命名的。武士又分成卡拉西里埃司和海尔摩吐比埃司,他们分别属于下列诸 诺姆,因为埃及的一切区划是以诺姆为依据的。

    (165)海尔摩吐比埃司是属于布希里斯、撒伊司、凯姆米司和帕普雷米斯 诸诺姆,一个称为普洛索披提斯的岛和那托的一半。这些地方都是。他们的 人数在最多的时候达十六万。他们谁也没有学过任何普通职业;他们是只能 从事于军务的。

    (166)卡拉西里埃司是属于底比斯、布巴斯提斯、阿普提斯、塔尼司、孟 迭司、塞本努铁斯、阿特里比司、帕尔巴伊托司、特姆易斯、欧努披司、阿 努提司、米埃克波里司诸诺姆的。米埃克波里司是在布巴斯提斯城对岸的一 个岛上。这便是他们的全部地方。他们的人数在最多时有二十五万人。这些 人也不能从事其他职业而只能打仗,打仗是他们的世袭职业。

    (167)这种分法是不是和其他的风俗习惯一样,也是由埃及传到希腊的, 我说不确实了。我知道在色雷斯、斯奇提亚、波斯和吕底亚,以及在几乎所 有的外邦,那些从事一种职业的人,是不如其他人那样受尊重的,而那些和 手艺毫无关系的人,特别是那些单单从事军务的人们则被认为是最高贵的 人。然而,可以肯定的是,所有希腊人,特别是拉凯戴孟人中间的这种看法 是外来的。可是在科林斯人那里,手艺却是最不受蔑视的。

    (168)在埃及人当中,除去祭司而外,武士是唯一拥有特权的人们,他们 每一个人都被赋予十二阿路拉的不上税的土地,每阿路拉是一百埃及平方佩 巨斯,而埃及的佩巨斯则与萨摩司的佩巨斯相等。这些土地是专为他们所有 的人准备的,但这些土地却决不是由同样的一些人继续种下去,而是依次交 替着耕种的。国王每年的亲兵是由一千名卡拉西里埃司和同样数目的海尔摩 吐比埃司组成的。这些人除了他们的土地之外,每天还得到五米那的面包, 二米那的牛肉和四阿律斯铁尔的酒。这是每一个亲兵一定可以得到的东西。

    (169)当阿普里埃司率领着他的亲卫军,阿玛西斯率领着埃及人的全军在 莫美姆披司城相会的时候,战斗立刻开始了。异邦人虽然善战,但他们的人 数要少得多,因此他们被战败了。他们说,阿普里埃司认为甚至神都不能使 他退位,他是这样深信他的地位是不可动摇的。现在,在战败和被俘以后, 他就给带到撒伊司地方那曾一度属于他,但现在属于阿玛西斯的宫殿来了。 他曾被拘养在宫殿里一个时期并受到了阿玛西斯的优遇。然而不久埃及人就 抱怨说,叫他们和他们的国王的最可恨的敌人活着是一件很不公道的事情; 因此,阿玛西斯便把阿普里埃司交到他们的手里;他们把他绞死并埋葬在他 的历代父祖的茔地里。这茔地是在雅典娜神殿入口处左手离圣堂极近的地 方。撒伊司地方的人民把他们本诺姆出身的一切国王都埋葬在神殿的圣域之 内。阿玛西斯的墓离圣堂比阿普里埃司和他的祖先的墓离圣堂要远;但它也 是在神殿境内的这是一个装饰得富丽堂皇的巨大的石造柱廊,它的柱子被做 成椰子树的样子。这个柱廊有两扇门,在这里面是停放棺木的地方。

    (170)在撒伊司雅典娜神殿的圣域之内,还有这样的人的一个墓地,至于 他的名字,在谈到这样一件事的时候我以为是不便谈的。它在神殿的背后, 全面紧埃着圣堂的后墙。在圣域之内还有一些巨大的石制方尖碑;附近有一 个湖,湖的四周砌着一道石垣,形状是圆形的,而按大小而论,我看大约等 于狄罗斯地方被称为轮形池的那个湖。

    (171)埃及人夜里便在这个湖上表演那位神的受难的故事,而埃及人则称 这种仪式为秘仪。关于这些事情,我是知道它们的全部内容的,故而本来可 以讲得更确切些,但是我不准备谈了。关于希腊人称之为铁司莫波里亚(雅典妇女在秋天举行的节日)的戴美特尔的秘仪,除去允许我讲的部分之外,我也不准备谈了。那是达纳乌司 的女儿们把这种秘仪传出埃及并把它教给了佩拉司吉亚的妇女们。后来,当 伯罗奔尼撒人被多里斯人赶走的时候,这种密仪也就随之失传了,只有阿尔 卡地亚人还保存了它,因为他们未被驱出而是留在他们的家乡了。

    (172)自从阿普里埃司象我上述那样地被废黜之后,阿玛西斯便统治了埃 及。他是撒伊司诺姆西乌铺城的人。起初,由于他不是出身贵族,而是一个 普通人,因此埃及人蔑视他并且丝毫不尊敬他。但是过了一些时候,他便用 他的智巧,而不是用暴力,赢得了他们的拥戴。在他的无数财宝当中有一个 金盆,他和所有与他共同饮宴的客人们常常用它来洗脚。他把这个器皿打碎, 用它改铸成一个神象,放到城内最适当的场所。于是埃及人便常常到这个神 像的地方来,对它表示了很大的尊敬。当阿玛西斯知道市民们怎样做以后, 他便把埃及人召集到一起,告诉他们说这神像是用洗脚盆的金子铸造的;他 说他的臣民曾用它洗脚、呕吐东西或是小便,但是现在他们却很尊敬它。于 是他进而说明,现在他的情况便和这个洗脚盆的情况相同,他以前虽是一个 平常人,但现在却是他们的国王了:因此他命令他们尊敬和重视他。他便用 这样的办法赢得了埃及人的信任使埃及人同意作他的臣民。

    (173)下面是他的日常生活的情况:在早上,直到市场上挤满了人的时 候,他热心地处理送到他面前来的事务:在这之后,他全天便都用来和他的 好友饮酒作乐,吊儿郎当地和言不及义地排遣时间。但是他的朋友为他的这 一点担心,于是劝谏他说:“哦,国王啊,你的这种轻佻的行动,是会损害 你的国王尊严的。我们希望你终日严正地坐在威严的宝座之上处理国家大 事。这样埃及人就会知道,他们的统治者是一个伟大的人物,那你在他们中 间也就有了更好的声名;然而你现在的行动却是和国王完全不适合的”。阿 玛西斯回答他们说:“要知道,有弓的人只有在需要的时候才拉开的:如果 弓老是拉着,它们就会毁坏,而等人们需要它的时候,它已经没有用处了。 人的道理也和这个道理一样。如果他们总是从事严肃的工作,而不把一部分的时间用来消遣,他们在他们不知不觉之中便会疯狂起来或是变成傻子。这 一点我知道得很清楚,因此我轮流着分配这二者的时间”。这便是他回答他 的朋友的话。

    (174)据说在阿玛西斯作国王之前,他决不是一个谨严的人物,而是非常 喜欢饮酒作乐的;而当他的饮酒作乐使他变得贫穷的时候,他就到处游荡, 去偷别人的东西。于是别人在他不承认他偷了他们的财物的时候,便把他带 到离他们最近的随便一个什么神托所那里去,而神托便常常宣布他犯了偷窃 罪,也常常把他赦免。当他作了国王的时候,他根本不去照顾那些曾开脱了 他的盗窃罪的神殿,不去修缮这些神殿,也不到那里去奉献牺牲,因为他认 为这些神殿毫无价值,而它们的神托也都是假的。但是对那些宣布他有罪的 神,却是小心谨慎地奉祀着,因为他认为他们是真正的神,而他们的神托也 是真实可靠的。

    (175)阿玛西斯给撒伊司地方的雅典娜神殿修造了一座外殿,这座外殿在 高和大方面超过以前的一切其他这类建筑物,它是用空前巨大和雄伟的石块 修筑成功的,此外,他还奉献了巨大的人像和巨大的狮身人面像,并且把十 分巨大的石块搬到这附近来以供修理之用。其中的某些石块是从孟斐斯的采 石场运来的:最大的一些石块则是从埃烈旁提涅这个城市运来的,这个地方 和撒伊司相隔有二十天的河上路程。但是现在我要说一说他的工程中使我最 感到惊讶的东西。他从埃烈旁提涅运来一座用一大块石头修建成功的圣堂; 单是运这座圣堂就费了三年的时间,使用来搬运它的人有两千名,而且这些 人又都是舵手。用一整块石头修建的这座圣堂的外部的长是二十一佩巨斯, 宽是十四佩巨斯,高是八佩巨斯:它内部的尺寸是这样:长十八佩巨斯一贝 拱,宽十二佩巨斯,高五佩巨斯。它位于神殿入口的附近,它是由于下列的 情况才被放置在那里而没有被拉到神殿里面去的。据说,这座圣堂的石匠头 在这块石头的起运中间,由于运石头时费了这样长的时间并对这苦役感到厌 倦,曾大声地呻吟叹气。阿玛西斯听到了这人的叹气声而认为这是不祥之兆, 因此他不许石造的圣堂再向前拖了。但是又有一些人说,工匠中一个掌管杠 杆的人给石造的圣堂压死了,因此便被命令放置在那里,不许再向里面拖了。

    (176)对于所有其他有名的神殿,阿玛西斯也奉献了可称为伟观的献纳 品。比方说,在孟斐斯,他就奉献了在海帕伊司托斯神殿前面的一座长达七 十五尺的卧像。在同一个台基上还有两个巨大的像,每一座各有二十尺高, 它们是用同样的石块雕成的,分别在巨像的两旁。在撒伊司还有一座同样大 的石像,和孟斐斯那座石像的姿态一样。阿玛西斯最后在孟斐斯还建造了一 座伊西司神殿,这也是一座极为精彩宏壮的巨大神殿。

    (177)据说阿玛西斯的统治时代是埃及历史上空前繁荣的时代,不拘是在 河加惠于土地方面,还是在土地加惠于人民方面都是如此。而在当时的埃及, 有人居住的市邑有两万座。国王阿玛西斯还规定出一条法律,即每一个埃及 人每年要到他的诺姆的首长那里去报告他的生活情况,而如果他不这样做或 是不来证明他在过着忠诚老实的生活时,他便要被处以死刑。雅典人梭偷从 埃及那里学到了这条法律而将之施用于他的国人中间,他们直到今天还遵守 着这条法律,因为这的确是一条很好的法律。

    (178)阿玛西斯对希腊人是抱着好感的。在他给予某些希腊人的其他优惠 当中,他特别把纳乌克拉提斯这样的城市给予愿意定居在埃及的希腊人居 住。对于那些愿意在沿海进行贸易,但不想定居在埃及国内的人们,他答应 给他们一些土地,使他们用来安设祭坛和修建神殿。在这些地方当中,最大 的和最有名的,也是参拜者最多的圣域是被称为海列尼昂的圣域。这是伊奥 尼亚人、多里斯人和爱奥里斯人共同修建的;参加修建的城市属于伊奥尼亚 人的有歧奥斯、提奥斯、波凯亚和克拉佐美纳伊,属于多里斯人的城市有罗 德斯、克尼多斯、哈立卡尔那索斯和帕赛利斯;属于爱奥里斯人的城市则只 有一个米提列奈。圣域便是属于这些城市的,而任命港埠监督的也是这些城 市。如果任何其他城市也声明神殿有它们的一份的话,那它们便是要求根本 不属于它们的东西了。但是有三个民族却奉献了自己的神殿:埃吉纳人修建 了他们专有的宙斯神殿,此外萨摩司人修建了希拉神殿,米利都人修建了阿 波罗神殿。

    (179)纳乌克拉提斯古时是全埃及仅有的一个商港。如果一个人进入尼罗 河其他河口之一的时候,他必须发誓说他不是故意到这里来的。这样发了誓 之后,他就一定要乘船到卡诺包斯河口去。倘若由于逆风而不可能到那里去 的话,他就必须把他的货物装载到船上绕行三角洲,最后来到纳乌克拉提斯 地方。纳乌克拉提斯就是赋有这样大的特权的。

    (180)当阿姆披克图欧涅斯以三百塔兰特的代价把现在戴尔波伊神殿包 给人修建的时候(一直在那里的神殿纯乎是由于事故而被焚毁了),戴尔波伊 人要担负全部造价的四分之一。他们到各个城市去募集捐赠品,而在这件事 上,他们从埃及得到的最多。因为阿玛西斯赠给他们一千塔兰特的明凡,而 那里的希腊居民则捐献了二十米那。

    (181)阿玛西斯和库列涅人缔结了友谊和同盟的协定。不仅如此,阿玛西 斯还认为应当从那个城市娶一个妻子,他这样做不知这是表示他对这个城市 的友情,还是他想娶一个希腊妇女作妻子。因此,他便娶了一个库列涅城的、 名叫做拉狄凯的妇女,有人说她是巴托司的女儿,有人说她是阿尔凯西拉欧 司的女儿,又有人说她是当地的一位知名的市民克利托布罗斯的女儿。当阿 玛西斯与她将要合卺之时,他却不能与她交媾:虽然他和其他妇女并不是无 能为力的。在这种情况继续下去的时候,阿玛西斯就向这个名叫拉狄凯的妇 女说:“女人啊,你一定对我使用了魔法。告诉你,你一定要死得比任何一 个妇女都惨的”。不管拉狄凯如何否认这件事都不能平息阿玛西斯的怒气。 于是她便在内心里向阿普洛狄铁许下了一个愿:如果在那一夜里能使她与他 交配上,从而使她免遭灾祸的话,她便要献一座女神的像给库列涅的阿普洛 狄铁神殿。结果,她竟如愿以偿,国王每次都能与她交媾了。阿玛西斯自此 以后非常爱她。拉狄凯向女神还了愿。她制作了一座神像送到库列涅去,这 座神象到我的时候还安全无恙地立在那里,从城里向外望着。刚比西斯在他 征服了埃及并知道拉狄凯是何许人的时候,便毫无损伤地把她送还了库列 涅。

    (182)此外,阿玛西斯还奉献了许多东西给希腊地方的神殿。首先,他奉 献给库列涅的是一个镀金的雅典娜神像和自己的一幅肖像。送给林多斯的雅 典娜的是两座石像和非常漂亮的亚麻胸甲。送给萨摩司的希拉的是他自己的 两座木像,这两座木像在我的时代还立在大殿的门后。献给萨摩司这些礼物 是为了阿玛西斯和阿伊阿凯司的儿子波律克拉铁斯[波律克拉铁斯的统治时期大概开始在五三二年,关于他和阿玛西斯之间的友谊参见第三章第三九节]之间的友谊,献给林多斯 的礼物却决不是为了和任何人的友谊,而是因为有这样一个说法,那达纳乌司的女儿们在她们从埃吉普托司的儿子们手里逃脱时曾到过那里并建立了雅 典娜的神殿。以上便是阿玛西斯所奉献的礼品,他还破天荒第一次攻略赛浦 路斯并迫使它向他纳贡。

    第三卷

    (1)居鲁士的儿子刚比西斯率领在他治理之下的各个民族——其中包括 属于希腊民族的伊奥尼亚人和爱奥里斯人——的军队进攻埃及的时候(一般公认的时期是五二五年),埃及 的国王便正是上面所提到的那个阿玛西斯。事情的起因是这样的。刚比西斯 派一名使者到埃及去,要娶阿玛西斯的女儿。他这样做是由于一个埃及人的 怂恿:这个埃及人出了这样一个生意,是因为阿玛西斯使他离开了自己的妻 子儿女而把他交到波斯人的手里来,因此他对阿玛西斯就怀恨在心了。原来 这个埃及人是一个眼科医生,而当居鲁士派人到阿玛西斯那里去,请他送给 自己一位埃及最好的眼科医生的时候,埃及国王便从全部的埃及医生当中把 他挑选出来,强行把他送到了波斯。既然这个埃及人对阿玛西斯心怀不满, 因此他教唆刚比西斯讨阿玛西斯的女儿作妻子:如果阿玛西斯同意,那他就 会心中烦恼,如果他拒绝,那他就会使刚比西斯成为他的敌人。当信息送来 的时候,非常害怕波斯的强大威力的阿玛西斯真是惊恐万状,既不能把女儿 送给刚比西斯,又不能拒绝他;原来刚比西斯并不打算使他的女儿作自己的 妻子,而只是使她作自己的侍妾而已,这一点阿玛西斯是知道得很清楚的。 于是他便仔细考虑了这件事情,而终于想出了他可以用来应付一下的一个办 法。前面的国王阿普里埃司有一个名叫尼太提司的女儿,这是一个身材硕长 而又美丽的女子,是这个王家当中唯一留下来的人。阿玛西斯把这个女子用 衣服和金饰打扮起来,然后把她当作自己的女儿送到波斯去。但是过了不久,在刚比西斯拥抱她而按照她父亲的名字称呼她的时候,这个女子便向他说: “国王啊,我看你还不知道阿玛西斯怎样地骗了你呢。他把我打扮一番之后, 就当作他自己的女儿送来了,但我实际却是他的主人阿普里埃司的女儿;阿 普里埃司是被他和其他埃及人在他们起来叛变时杀死的”。正是这样的一番 话以及其中所揭露的原委使居鲁士的儿子刚比西斯十分激怒,从而率领军队 进攻埃及。这便是波斯人的说法。

    (2)但是埃及人却说刚比西斯是他们自己的人,他们说刚比西斯是阿普里 埃司的女儿尼太提司的儿子。他们说,派人到阿玛西斯这里来要求他的女儿 的是居鲁士,不是刚比西斯。但他们的这种说法是不正确的。首先,他们知道的很清楚(因为埃及人比任何人都更清楚地通晓波斯的风俗习惯),在国王有嫡子的时候,庶子在习惯上是不能即波斯的王位的;其次,刚比西斯是阿 凯美尼达伊家的帕尔那斯佩斯的女儿卡桑达涅的儿子,而不是这个埃及女人的儿子。可是,他们这样歪曲史实是为了和居鲁士家族攀亲。而事情的真实情况就是这样。

    (3)还有这样的一个说法,不过这个说法我是不相信的。它说,有一个波 斯的妇人前来拜前居鲁士的妻妾们并且大为赞美和叹赏站在卡桑达涅身旁的 那些身材高大而又眉清目秀的孩子们。于是居鲁士的妻子卡桑达涅便说:“虽 然我是这样的一些孩子的母亲,居鲁士仍然瞧不上我,却尊重从埃及新来的 这个妇人”。她讲这话的时候,心里对尼太提司是很恼怒的。于是她的最大 的一个儿子刚比西斯便说:“母亲,那末等我长大成人的时候,我会把整个 埃及搅翻的”。当他说这话的时候,他大概是十岁的样子,妇女们听了他的 话觉得很惊讶;但是从此他把这件事记在心里,因而等他长大成人作了国王的时候,他便出征埃及了。

    (4)此外还发生了一件事,也促使他出征埃及。在阿玛西斯的外国佣兵当 中有一个名叫帕涅司的哈利卡尔那索斯出生的人,这是一个判断力强,而在 作战时又很勇敢的人。这个帕涅司对阿玛西斯心中有些不满,便乘船从埃及 逃跑,想来见刚比西斯。由于这个人在外国佣兵当中远非等闲之辈并且对于 埃及的一切事情都知道的清清楚楚,因此阿玛西斯便急于把他捉住。他派他 最亲信的宦官乘着一艘三段桡船追他。这个宦官在吕奇亚把他捉住了,但是 却决没有把他带回埃及来:因为帕涅司在智谋方面远远地超过了他;帕涅司 灌醉了他的守卫,因而跑到波斯来了。在那里,他发现刚比西斯正在准备出 征埃及,但是正拿不定主意,不知道在行军时如何穿过那干燥无水的沙漠; 于是帕涅司便把阿玛西斯的情况告诉了他,并向他说明行军的方法;关于这 一点,他建议刚比西斯派人到阿拉伯的国王那里去,向他请教安全行军的办 法。

    (5)而要想进入埃及,当前只摆着这样一条道路。这条道路从腓尼基一直 通到卡杜提司市的边境,这块地方是属于现在所谓巴勒斯坦的叙利亚人的。 根据我的观察,卡杜提司市比撒尔迪斯小不了许多,从卡杜提司到耶努索司 市的海岸上的港埠都是属于阿拉伯人的。从耶努案司市直到谢尔包尼司湖, 又是属于叙利亚人的。而卡西欧斯山便是沿着谢尔包尼司湖的湖岸伸展到海 边去的。从据说杜彭曾经隐身的这个谢尔包尼司湖起,便进入了埃及的领土。 在一方面的耶努索司和另一方面的卡西欧斯山与谢尔包尼司湖中间,有一块 不算小的地方,人们要走过这块地方得用三天的时间,这是一片干旱得可怕 的无水沙漠地带。

    (6)我现在要谈一件乘船到埃及来的人很少注意到的事情。从希腊各地以 及从腓尼基每年有两次用土瓮把酒运入埃及,但是我们完全可以说,在国内 任何地方你都找不到一个空酒瓮的。人们也许要问,这些酒瓮都是怎样处理 了呢?这一点我也要说明的。原来,每一个地区的长官都必须把他的辖区之 内的士瓮收集起来,然后把它们送到孟斐斯去;在孟斐斯,人俩又得把这些 士瓮装满了水,带到叙利亚的无水地区去。因此,每年不断地从国外带入埃 及并在埃及倒空的土瓮再给带到叙利亚去和先前的那些土瓮汇合到一处了。

    (7)在波斯人攻占了埃及之后,他们立刻便象我上面所说那样地把土瓮装 满了水,以确保他们安全地进入埃及的通路。但是这时,却还没有现成的水 源,于是刚比西斯便听从了哈利卡尔那索斯的客人的意见,派使者到阿拉伯 人那里去,请求允许他们安全地过去。阿拉伯人答应了他的请求,双方并相 互表示了信任。

    (8)阿拉伯人是比世界上任何其他民族都尊重信谊的。他们用这样的办法 来表示他们的信谊:一个人站立在缔结信谊的双方中间,用一块锐利的石头 在双方的手掌上大姆指附近的地方割一下,然后他从每个人的衣服上切下一 块毛布,并且把放在他们之间的七块石头都抹上血,这时口中并高呼狄奥尼 索斯和乌拉尼阿的名字(用毛布蘸手上的血,再抹到石头上去——译者)。当 他把这一切做完的时候,缔结信谊的人便把这对方的异邦人,如果是本国人, 那就把对方的本国人,介绍给所有他的朋友,而这些朋友自己也便认为必须 尊重这种信谊了。他们在神当中只相信有狄奥尼索斯和乌拉尼阿。他们说他 们所留的发式和狄奥尼索斯的发式是一样的。现在他们的习惯是把头发剃成 圆形,连顳顬的地方也都剃掉。在他们的语言里,狄奥尼索斯是叫做欧洛塔 尔特(“上帝之火”(δγаthêI)的意思),乌拉尼阿是叫做阿利拉特(“晨星”(hêlêl)的女性名词,比较简单的解释是女神(AlIlat) 的意思)

    (9)阿拉伯人和刚比西斯派来的使节结了信谊以后,他立刻便想出了下面 的办法:他把水装到骆驼的皮囊里面去,再叫他的所有的骆驼驮着这些水囊; 这样安排了之后,他便把骆驼赶到无水的沙漠地带去,在那里等候刚比西斯 的军队。这是在传说当中最为可信的一个说法,但是我必须还要说一下另一 个不甚可信的说法,因为人们也提过它。在阿拉伯有一条叫做柯律司的大河, 它是流入所谓红海的。据说,阿拉伯国王通过用生牛皮和其他皮革缝成的一 条长度可达到沙漠地带的水管把水从河中引到干旱的地方去;而他又在那个 地方挖掘了一些巨大的水池来承受和保存引过来的水。从河到沙漠地带是十 二天的路程。他们说,水是通过三个水管引到三个不同的贮水处的。

    (10)阿玛西斯的儿子普撒美尼托斯是在尼罗河的所谓佩鲁希昂河口扎营 列阵等候刚比西斯的。因为当刚比西斯向埃及出征的时候,他发现阿玛西斯 已经死了。阿玛西斯统治埃及的时期是四十五年,在这期间,他并没有遭到 什么巨大的不幸;而在他死后,他的尸体就被制成木乃伊并被放置在神殿中 他自己所修建的墓地里。当他的儿子普撒美尼托斯做埃及国王的时候,人民 看到了一个极为奇妙的景象,即在埃及的底比斯下了雨,而根据底比斯当地 人们的说法,他们以前那里从来没有下过雨,过来直到我的时代也没有看到 那里下过雨:老实讲,在埃及的上部是根本没有雨的;但是那时在底比斯却 有了蒙蒙的小雨(现在底比斯(卢克索尔)在极偶然的情况下也下雨,不过雨量极少)

    (11)波斯人穿过了无水的地区并且在离埃及人不远的地方扎下了营寨, 准备战斗。于是埃及人的、由希腊人与卡里亚人组成的外国雇佣军便十分憎 恨帕涅司,因为他把一支外国军队领进了埃及。他们自己想出了惩罚他的一 个办法。帕涅司把儿子们留在了埃及;雇佣兵于是捉住了他的儿子们,把他 们带到军营里来而使他们的父亲看到他们。在这之后,他们就拿出一只合酒 钵来,把它放在两军之间的地上,随后他们便把帕涅司的儿子领来,一个一 个地在钵跟前,斩断了他们的喉咙。当帕涅司的最后一个儿子被杀死的时候, 钵里又搀上了酒和水,所有的雇佣兵每人饮了一口血以后,立刻便出战了。 随后发生的战争是非常激烈的,直到双方都有了大量阵亡者的时候,埃及人 才终于溃败下去。

    (12)在曾经进行了这场战斗的战场这里,我看到了当地人指给我的十分 奇妙的现象。双方在这场战斗当中的战死者,他们的遗骨是分别地散在那里 的(原来波斯人的遗骨在一个地方,而埃及人的遗骨则在另一个地方,因为两 军在起初便是分开的):但如果你敲打一下波斯人的头骨,甚至只用一个小石 子,它们都脆到可以打穿一个小孔;但埃及人的头骨却是十分坚硬,你甚至 可以用石头来敲,也不大容易把它敲穿的。对于这种情况,他们讲述了下述 的理由,这一点在我看来,是很可以相信的:他们说,埃及人从很小的时候 便剃头,因而由于太阳光的作用,头骨就变得既厚且硬。在埃及人们可以不 秃头,也是由于同样的原因。在埃及那里看到的秃头比其他任何地方都要少。 因而这一点便说明为什么埃及人的头骨是这样地硬。但是在另一方面,波斯人的头骨之所以脆弱,是因为从一开头他们就在自己的头上戴一种称为提阿 拉斯的毡帽。事情的实陈情况便是这样。在帕普雷米斯地方我又看到一些波 斯人的头骨,他们是和大流士的儿子阿凯美涅斯一道被利比亚人伊纳罗司杀 死的。他们的头骨也是这样。

    (13)埃及人在战斗中失败之后,便在混乱中逃走了;由于他们被赶到孟 斐斯去,刚比西斯于是派遣了一名波斯使者乘着米提列奈的一只船溯河上行 邀请他们缔结和约。但是当他们看到有船向孟斐斯驶来的时候,他们却全体 从他们的城塞中向外出击,捣毁了这只船,象屠夫一样地肢解了上面的乘务 人员,然后把它们带到城里面去。于是埃及人被包围在城里,但久而久之他 们还是投降了;不过,邻居的利比亚人却被在埃及发生的事件吓住,未经抵 抗便投降了,他们自愿纳贡并呈送礼品。库列涅人跟巴尔卡人和利比亚人一 样害怕,因此也便这样做了。刚比西斯十分亲切地接受了利比亚人的礼物; 但是他却拿库列涅人送来的礼物,亲手把它们分给了自己的军队。我想,他 这样做是表示他并不喜欢他们送来的这样少的礼物,(因为库列涅人送来的实 际上只有五百米那的白银)。

    (14)在孟斐斯城投降之后的第十天,刚比西斯便捉住了在埃及统治了六 个月的埃及国王普撒美尼托斯,要他和其他的埃及人一同坐在城外以表示对 他的轻蔑;在这样做了之后,他就用我下面所说的一个办法来考验普撒美尼 托斯的心情。他给国王的女儿穿上奴隶的衣服并且给她一个水瓮叫她和跟她 穿看同样衣服的女孩子去打水。这些女孩子也是显要人物的家庭中选出来 的。因此,当这些女孩子痛哭着、悲号着走过她们的父亲面前的时候,其他 所有的人看到自己孩子的悲惨遭遇,也便同样地报以痛哭和悲号;但是普撒 美尼托斯亲眼看到并且懂得了这一切之后,却向着地把头低下去。当打水的 女孩子们过去之后,刚比西斯随之又使普撒美尼托斯的儿子和与他儿子年纪 相同的二千多埃及人一同从他面前走过去,这些青年人颈上系着绳子,嘴里 面则咬着马衔子。他们是给带去赔偿在孟斐斯和船只同归于尽的那些米提列 奈人的。因为这是王家法官的判决,即每一个人的死亡要用处死十名埃及贵 族的办法来赔偿。当普撒美尼托斯看见他们经过并且看到他的儿子被领去受 死,而和他一起坐在那里的埃及人都在哭泣和哀号的时候,只有他的态度依 然和他看到他女儿的时候相同。当这些人也走过去的时候,那里正好有他的 一个饮酒作乐的伙伴;这是一个过了盛年的人,这个人失去了他的全部财产, 而只有一个穷人所能有的东西并且向军队行乞。这个人现在正走过阿玛西斯 的儿子普撒美尼托斯和坐在城外的那些埃及人的面前。当普撒美尼托斯看到 他的时候,他便大声地哭了起来,用手打自己的脑袋并大声呼叫他的伙伴的 名字。于是在旁边监视着普撒美尼托斯的人们便到刚比西斯那里去,把普撒 美尼托斯看到什么过去的时候如何做等等全都告诉了刚比西斯。刚比西斯对 埃及国王的举动十分惊讶,于是就派一名使者去问他:“普撒美尼托斯,我 的主公刚比西斯问你,为什么在你看到你的女儿受到虐待而你的儿子前去送 死的时候,你既不高声喊叫,又不哭泣,可是刚比西斯听说,对于与你不沾 亲不带故的乞丐却又这样尊敬?”使者就是这样问的。普撒美尼托斯回答说: “居鲁士的儿子,我自己心里面的痛苦早已经超过了哭泣的程度;但我的伙 伴的不幸遭遇却引起了我的同情之泪;因为一个失去了巨大财富和幸福的人 在濒临老境的时候却又行起乞来了”。当使者这样报告的时候,据说刚比西 斯和他的廷臣都认为这个回答很好。但是,埃及人说,那时克洛伊索斯哭了(因 为他也是和刚比西斯一同到埃及来的)而在那里的波斯人也都哭了。刚比西斯 本人也起了一些恻隐之心,他立刻下领把普撒美尼托斯的儿子从将要被杀的 人们中间救了出来,而普撒美尼托斯本人也从城外被带到他的面前来。

    (15)至于普撒美尼托斯的儿子,则为了救他而被派去的人们发现他已经 死了,原来他是第一个被杀死的。但是他们却把普撒美尼托斯带了来见刚比 西斯;此后他就一直住在那里,而没有受到任何虐待。如果他能安守自己的 事业而不作非分之想的话,那他是会重新得到埃及而成为埃及的统治者的; 因为波斯人习惯上对于国王的儿子是尊重的:甚至国王叛离了他们,他们仍 然把统治权交还给国王的儿子。有许多例子可以说明他们这样做乃是他们的 惯例,特别是把父亲的统治权交还给伊纳罗司的儿子坦努拉司,以及交还给 阿米尔塔伊俄斯的儿子帕乌西里司;但没有人比伊纳罗司和阿米尔塔伊俄斯 给波斯人以更大的损害了(埃及人伊纳罗司和阿米尔塔伊俄斯起来反对波斯统治着是从460年到455年的事情)。但是,事实却是普撒美尼托斯策划了不正当的行 动并得到了自己的报应;原来他在埃及人中间煽动叛乱的时候被捉住了;而 当这件事传到刚比西斯那里去的时候,普撒美尼托斯便喝了牛血(牛血凝结的时候可能会把饮血的人堵死)而立刻死掉 了。他的下场就是这样的。

    (16)刚比西斯从孟斐斯向撒伊司城行进,打算做他确实做到了的一伴事 情。在进入阿玛西斯的王宫之后,他立刻下令把阿玛西斯的尸体从他的墓地 搬出来。当这件事做完之后,他便下令鞭尸,拔掉它的头发,用棒子戳刺并 用各种办法加以侮辱。当他们把这件事干腻了的时候(因为被制成木乃伊的尸 体仍然是整个的并没有被弄碎),刚比西斯便下令把它烧掉,这是一个凟神的 命令,因为波斯人认为火乃是神,因此没有一个民族认为烧掉死者是正当的 事情。波斯人是由于上述的理由才这样的:他们说,把一个人的尸休给神是 不对的。但埃及人却相信火是一个活的野兽,它吞食它捕捉到的一切东西, 而在它吃饱的时候便和它所吃的东西一同死掉了。然而他们却绝对没有把死 尸交给野兽吞食的习惯,这就说明为什么他们把尸体制成木乃伊,以便不致 使尸体放置在那里给虫子吃掉。这样看来,刚比西斯下令所做的这件事是违 犯两个民族的风俗习惯的。正如埃及人所说,尽管如此,他们这样处置的对 象并不是阿玛西斯,而是另一个身量相同的埃及人,波斯人却以为这是阿玛 西斯的尸体,因此便对它任意侮辱玩弄了。按照他们的讲法是,阿玛西斯从 一次神托知道在他死后将会有何等的遭遇,因而为了逃避这一命运,便埋葬 了这个受到鞭答的人,这个人在死时是给埋在他的墓室的入口近旁:阿玛西 斯还命令自己的儿子把他自己埋在墓室的最里面的一个角落里。我想阿玛西 斯根本没有发出过关于墓地以及关于这个人的命令,埃及人不过是随意编造 一个故事聊以自慰罢了。

    (17)在这之后,刚比西斯便计划了三次征讨,一次是对迦太基人,一次 是对阿蒙人,一次是对居住在南海的利比亚海岸之上的长寿的埃西欧匹亚 人。在他考虑了自己的针划之后,便决定派海军攻打迦太基人,派他的一部 分陆军去攻打阿蒙人。至于埃西欧匹亚,他首先是派一些间谍到那里去打听 一下,在那个国家的太阳桌的传说当中哪些事情是真的,并侦查其他所有各 种事物,借口则是送礼给埃西欧匹亚的国王。

    (18)太阳桌的情况据说是这个样子的。在城市的郊外有一片草地,草地上满摆着所有各种四足兽类的煮熟的肉:在夜里的时候,市当局的人们小心 翼翼地把肉放到那里去,而在白天的时候,凡是愿意的人,都可以来到这里 吃一顿。当地的人们说,这些肉常常是从大地自然而然地产生出来的。关于 太阳桌,人们的说法就是这样。

    (19)当刚比西斯决定要把间谍派去的时候,他立刻派人到埃烈旁提涅城 去把懂得埃西欧匹亚语的伊克杜欧帕哥斯人(意译则为食鱼者——译者)召了 来。正当他们去找这些人来的时候,他又下令他的海军出航迦太基。但是腓 尼基人不同意这样做,因为他们说,他们必须遵守一个严正的誓约,而不能 不道德地攻击他们自己的子孙;腓尼基人既然不愿意,其他人等就没有资格 担任战斗的任务了。这样,迦太基人便逃脱了被波斯人奴役的命运。原来刚 比西斯并不愿对腓尼基人使用强力,因为他们是自愿前来投靠波斯人的。而 且,全部海上力量也都得仰仗他们。赛浦路斯人也是自愿前来帮助波斯人征 对埃及的。

    (20)当伊克杜欧柏哥斯人应刚比西斯之召从埃烈旁提涅前来的时候,他 便把他们派到埃西欧匹亚去,告诉他们应该讲什么样的话,同时又要他们带 着一些礼品,即一伴紫色的袍子、一桂黄金项链、一付手镯、一个盛着香膏 的雪花石膏匣和一瓮椰子酒。据说,刚比西斯的使者所要见的这些埃西欧匹 亚人是全人类中最魁梧和最漂亮的人物。据说,他们的风俗习惯,特别是他 们推选国王的办法,和其他一切民族大有不同。他们认为在国人中只有他们 制定为最魁梧和拥有与身材相适应的膂力的人,才有资格当选为国王。

    (21)这样,在伊克杜欧帕哥斯人到埃西欧匹亚人这里来之后,便把礼物 呈献给他们的国王,并且这样说:“波斯人的国王刚比西斯很想成为你的朋 友和宾客,因此派我们前来向你致意,而且他把他最喜欢使用的一些物品作 为礼品奉献给你”。但是埃西欧匹亚人看出他们是作为间谍而来的,便向他 们这样说:“波斯国王派你们携带礼物前来,并不是由于他很童视他和我之 间的友谊,你们所讲的话也不是你们的真心话(因为你们此来是为了侦察我的 国土),你们的国王也不是一个正直的人;如果他是个正直的人,那么除了他 自己的国士之外,他优不应当再贪求任何其他的土地,而现在也不应当再想 奴役那些丝毫没有招惹他的人们。那末现在就把这只弓交给他并且把这个话 传达给他:‘埃西欧匹亚人的国王忠告波斯人的国王,等波斯人能够象我这 样容易地拉开这样大的一张弓的时候,他们再以优势的兵力前来攻打长寿的 埃西欧匹亚人吧:但是在那样的时候到来之前,你应该感谢诸神,因为诸神 是不会叫埃西欧匹亚人的儿子们想到要占领本国领土之外的土地的’”。

    (22)他这样说完之后,便放松了这张弓的弓弦,把它交拾了来人。随后 他又拿起了紫色的袍子,问这是什么,是怎样做成的;而当伊克杜欧帕哥斯 人把有关紫色颜料和染色方法的事情如实地告诉了他的时候,他就说他们人 以及他们的衣服都是十分奸诈的。这之后他又问关于黄金项链和手镯的事 情:而当伊克杜欧柏哥斯人告诉他这些东西是如何制造的时候,国王笑了, 原来他以为这是枷锁,他说他们国内有比这更加坚固的枷锁。复次,他问有 关香膏的事情;当他们告他香膏的的配制法以及用法的时候,他的回答就和 关于紫袍的回答一样。但是当他看到酒并问到酒的做法的时候,他是非常喜 欢这种饮料的;他还问到他们国王吃什么东西,波斯人年纪最大的能活到多 少岁。他们告诉他说国王吃面包,并向他说明了他们种植的小麦的情况。他 们又舍诉他说波斯人所能希望活到的最大年纪是八十岁。于是这个埃西欧匹 亚人说,既然他们是以粪为食的(这是说粮食从上粪的土壤中生长出来),所以他们的生命如此短促使毫不奇怪了。 而如果不是这种饮料有恢复精神的作用,他们甚至这样的年龄也决不会活到 的。这样说着,他就把酒指给伊克杜欧帕哥斯人看,因为在这一点上,他说, 波斯人是胜拉了埃西欧匹亚人的。

    (23)于是,伊克杜欧帕哥斯人又回问国王埃西欧匹亚人可以活多久,他 们吃的又是什么;国王回答说他们大多活到一百二十岁,有些人活得更要长 些:他们吃的是煮肉,喝的是乳。间谍对他们所活的年龄表示惊异:于是, 据说他便领他们到一个泉水的地方去,而在用那里的泉水沐浴之后,他们的 皮肤就变得象是油那样,更加光滑了;而且它还有象是紫罗兰那样的香味。 间谍们说,泉水是这样的稀薄,以致什么东西在它上面也浮不起来,不管是 木材也好,比木材轻的任何东西也好,都要沉到水底的。如果这泉水果然如 他们所说,那很可能的情况是:经常使用这种泉水的人是可以长寿的。当他 们离开泉水的时候,国王又把他们领到监狱去看,所有那里的人的枷锁都是 用黄金制造的。在埃西欧匹亚人中间,没有比青铜更稀罕和珍贵的了。在参 观完了监狱之后,他们又参观了所谓太阳桌。

    (24)在这之后,他们最后又看了埃西欧匹亚人的棺材。这种棺材据说是 用一种透明的石头(可能是水晶)制造成功的,方法是我下面所说的这样:他们或是使用埃 及人的办法,或是使用其他的什么办法使尸体干缩,在尸体上面涂上一层石 膏,然后再在这上面尽可能与活着的人一样地描画一番。随后,他们就把它放到用透明的石头制成的空心柱里面去(这种石头可以从地上大量地开采出 来,而且加工也很容易);通过透明的石头可以看到柱子的内部的尸体,而且 这尸体既不发恶臭,又没有任何观之不雅的地方。此外,尸体又没有一个地 方看得不清楚,就好象尸体本身完全剥露出来一样。死者最亲近的族人把这 柱子在自己的家中保存一年,向它奉献初上市的鲜果,奉献牺牲;然后,他 们便把这柱子搬出来,安放在附近市郊的地方。

    (25)看完了这一切一切之后,间谍们便起程返回了。当他们报告了这一 切之后,刚比西斯十分震怒,并立刻对埃西欧匹亚人进行征讨,他既不下令 准备任何粮食,又没有考虑到他是正在率领看自己的军队向大地的边缘处进 发;由于他不是冷静考虑而是处于疯狂的状态,因而在他听了伊克杜欧帕哥 斯人的话之后,立刻率领全部陆军出发,而命令随他来的希腊人留在原地等 候他。当他在进军的道路上到达底比斯时,他又从他的军队中派出了大约五 万人,要他们奴役阿蒙人并烧毁宙斯神托所:他本人则率领其他的大军向埃 西欧匹亚进发了。但是在他的军队还没有走完他们全程的五分之一的时候, 他们便把他们所携带的全部粮食消耗完了,而在粮定耗完之后,他们就吃驮 兽,直到一个也不剩的地步。然而如果刚比西斯看到这种情况,改变自己的 原意而率领军队返回的话,则他起初虽然犯了过错,最后还不失为一个有智 慧的人物,但实陈上,他却丝毫不加考虑地一味猛进。当他的士兵从土地上 得不到任何可吃的东西的时候,他们就借着草类为活:可是当他们到达沙漠 地带的时候,他们的一部分人却做了一件可怕的事情:他们在每十个人当中 抽签选出一个人来拾大家吃掉。刚比西斯听到这样的事之后,害怕他们会变 成食人生番,于是便放弃了对埃西欧匹亚人的出征而返回底比斯,不过他已经损失了许多军队;他从底比斯又下行到孟斐斯,并允许希腊人乘船返回祖 国。

    (26)他对埃西欧匹亚的出征就这样地结束了。至于大军中被派出去攻打 阿蒙人的那部分军队,他们是带着响导从底比斯出发进击的。人们知道他们 到达了欧阿西司城(欧阿西司本来只指一块长着植物的地方,但希罗多德把它变成了一个专名词,指的是卡尔该大 绿洲,离底比斯大约有七天的路程),居住在这个城市的是据说属于埃斯克里欧尼亚族的萨摩 司人,隔看沙漠地带离底比斯有七天的路程。这个地方在希腊语里称为幸福 岛。据说,军队就走到这里:在这之后,除去阿蒙人自己和那些听过他们讲 的话的人之外,没有任何人能知道关于他们的任何事情了:因为他们既没有 到达阿蒙人那里,也没有返回埃及。但是阿蒙人自己的说法则是这样:当波 斯人从欧阿西司穿过沙漠地带向他们进攻并走到欧阿西司和他们的国土中间 大约一半地方的时候,正在他们用早饭的当儿,起了一阵狂暴的、极其强大 的南风,随风而带过来的沙子便把他们埋了起来。这样他们便失踪了。以上 就是阿蒙人关于这支军队的说法。

    (27)在刚比西斯来到孟斐斯之后,在埃及的那个地方出现了阿庇斯(见第二卷第三八节),这 阿庇斯在希腊人那里称为埃帕波司。由于他的出现,埃及人立刻穿上了他们 最好的衣服并且举行盛大的祝祭。刚比西斯看到埃及人这样的做法时,深信 埃及人的这样一些欢乐的表现正是针对着他的不幸遭遇的,于是他便把孟斐 斯的领袖们召了来。当这些领袖来到他面前的时候,他便问他们为什么正当 他在损失了大批军队之后返回的时候,他们竟会有这样的举动:虽然,当他 以前在孟斐斯的时候,他们并没有过这样的表现。领袖们告诉他说,习惯上 每隔很久很久才会出现一次的一位神现在已向他们显现。而每逢这位神出现 的时候,全埃及便举国欢庆并举行节日。刚比西斯认为他们是在撒谎,因此 便处死了这些人作为对他们说谎的惩罚。

    (28)在把这些人处死之后,他继而又把祭司们召到他跟前来。当祭司们 所说的话也和前看相同的时候,他便说如果一个驯服的神到埃及人这里来的 时候,他是愿意见识见识的;因此他不多废话,立刻命令祭司们把阿庇斯带 来。于是他们就找到了它并把它带来了。原来这个阿庇斯或埃帕波司是一个 永远下会再怀孕的一只母牛所生的牛犊。根据埃及人的说法,母牛是由于受 到天光的照耀才怀了孕的,此后才生出了阿庇斯。称为阿庇斯的这个牛犊的 标帜是这样:它是黑色的,在它的前额上有一个四方形的白斑,在它的背上 有一个象鹰那样的东西:尾巴上的毛是双股的,在舌头下面又有一个甲虫状 的东西。

    (29)当祭司们把阿庇斯领进来的时候,当时几乎是处于疯狂状态的刚比 西斯便拔出他的短刀来,向牛犊的腹部戳去,但是戳中的都是它的腿部;然 后他笑着向祭司们说:“你们这些傻瓜,难道这些可以感觉得到铁制兵器的 血肉动物就是你们的神吗?老实说,埃及人也只配有这样的神。但至于你们, 你们使我变成你们的笑柄。在这件事上你们是会吃苦头的”。这样说了之后, 他使命个有关人员痛笞祭司们一顿,并把他们看到庆祝节日的任何其他埃及 人给杀死。埃及的节日便这样地给停止了,祭司们受了惩罚,阿庇斯则卧在 神殿里,由于腿上的戳伤而死掉了,当它因伤而致死的时候,祭司们便背着刚比西斯偷偷地把它埋起来了。

    (30)根据埃及人的说法,由于做了这样的一件错事,刚比西斯以前的缺 乏理智立刻便转变到疯狂的地步。他的第一件罪恶行为便是剪除了他的亲兄 弟司美尔迪斯,他是由于嫉妒才把他的兄弟从埃及送到波斯去的,因为只有 司美尔迪斯一个人才把伊克杜欧帕哥斯人从埃西欧匹亚人那里带回来的弓拉 开了两达克杜洛斯宽。此外便没有任何一个人拉得动它了。司美尔迪斯回到 波斯之后,刚比西斯便做了一个梦,梦里他好象看见从波斯来了一名使者, 这个使者告诉他说司美尔迪斯已经登上了王位,而司美尔迪斯的头则一直触 看上天他自己害怕他的兄弟因此会把他杀死而自己做国王,于是他便把普列 克撒司佩斯、他所最信任的波斯人派到波斯去把司美尔迪斯杀死。普列克撒 司佩斯到苏撒这样做了。有些人说他诱引司美尔迪斯出来打猎,又有一些人 说,他把司美尔迪斯领到红海(不是今天的红海,可能是指波斯湾),在那里把司美尔迪斯淹死了。

    (31)他们说,这是刚比西斯的第一件罪行。继而他又翦除了他的亲姊妹; 他曾把她带到了埃及并且和她结为夫妻。由于在这之前,波斯人中间决没有 娶自己的姊妹为妻的风俗,因此他是用这样的办法娶了她的:刚比西斯爱上 了他的一个姊妹并想立刻娶她为妻,但他的打算是违反惯例的,于是他便把 王家法官召了来,问他们是否有一条法律,可以容许任何有这样欲望的人娶 他自己的姊妹。这些王家法官是从波斯人中间选出来的人,他们的职务是终 身的,除非他们被发现做了什么不正当的事情,他们是不会被解职的;正是 这些人判决波斯的诉讼事件,并且解释那里的世世代代传下来的各种法律; 一切问题都是要向他们请教的。这些人向刚比西斯作了一个既公正又安全的 回答,这就是,他们找不到一条可以使兄弟有权娶自己的姊妹的法律,但是 他们又找到一条法律,而根据这条法律则波斯国王可以做他所愿意做的任何 事情。这样,他们由于害怕刚比西斯而没有破坏法律,然而为了不致由于维 持这条法律而自己有性命的危险,他们又找到了另外一条法律来拾想和自己 的姊妹结婚的人辩护。因此刚比西斯立刻便娶了他所热恋的姊妹;但不久他 又娶下另一个姊妹为妻。和他同来埃及的是姊妹中较年轻的一位,就是这个 人被他杀死了。

    (32)和司美尔迪斯的死一样,关于她的死也有两种说法。希腊人说,刚 比西斯叫一只小狗和一只小狮子互斗,这个妇人也和他一同观看:当小狗被 打败的时候,它的兄弟另一只小狗挣脱了绳索上去帮忙,结果两只小狗就把 小狮子打败了。他们说,刚比西斯看了十分高兴,但是坐在他身旁的妇人却 哭起来了。刚比西斯看到这种情况之后便问她为什么哭,她便说她是在看到 小狗帮助它的兄弟时才哭了起来的,因为她想到了司美尔迪斯,又想到何以 竟没有一个人给他报仇。根据希腊人的说法,正是由于她讲了这样的话,她 才给刚比西斯处死的。但埃及人的说法是:当他们二人坐在桌旁的时候,妇 人拿起了一支薖苣并把它的叶子撕了下来,然后问她的丈夫他喜欢什么样的 薖苣,带叶子的,还是不带叶子的。他说他喜欢带叶子的;于是她便回答说: “可是你把居鲁士的一家弄得光光的和这支薖苣一样了”。他们说,他听了 这话十分恼怒,便跳到她身上去,结果这位怀孕的妇女便由于他对她的伤害 而流产死掉了。

    (33)以上便是刚比西斯加到他家人身上的疯狂行动;这些疯狂行动也许是由于阿庇斯的缘故而干出来的,也许是由于人们经常遭遇到的许多痛苦烦 恼当中的某些而产生出来的。诚然,据说他从一生下来的时候,他就染上了 一种有些人称为“圣疾”的严重的疾病(癫癎病)。如果一个人的身体得了这样的重病, 则他的精神也会受到这种病的影响,这一点并不是不可想象的。

    (34)我现在要说一说他加于其他波斯人身上的疯狂手段。根据他们的报 道,他曾向普列克撒司佩斯说过这样的话;这个普列克撒司佩斯是他特别尊 重的,奏章都要通位这个人传奏给他,而这个人的儿子又在刚比西斯的宫廷 担任着行觞官这样一个非常尊荣的职务。于是,他便向普列克撒司佩斯说: “普列克撒司佩斯,波斯人认为我是怎样的一个人,他们都谈论我一些什 么?”普列克撒司佩斯说:“主公,对于你其他的一切,他们都是非常称颂 你的,但是他们说你嗜酒太过了。”普列克撒司佩斯便是这样地传达了波斯 人的话。但是国王却恼怒地回答说:“如果波斯人现在认为是由于好酒,我 才发狂发疯的话,那末看来他们先前的说法也就是一个谎话了。”原来据说 在这件事之前,当某些波斯人和克洛伊索斯侍坐在刚比西斯身旁的时候,刚 比西斯曾问他们,他和他的父亲居鲁士比起来,他们认为他是怎样的一个人 物。于是他们回答说:“刚比西斯比他的父亲要好,因为他不仅取得了居鲁 士的全部领土,此外他还取得了埃及和大海(东部地中海)。”波斯人的说法是这样的,但 当时在埸的克洛伊索斯不满意他们的说法,于是便向刚比西斯说:“在我看 来,居鲁士的儿子,你是比不上你父亲的,因为你还没有象你父亲那样,有 你这样的一个儿子。”刚比西斯听了心中甚是欢喜,他称赞了克洛伊索斯的 看法。

    (35)在想起了这件事之后,于是他便愤怒地向普列克撒司佩斯说:“那 么你自己来判断一下,波斯人讲的是真话,还是他们在这样谈论我的时候已 经丧失了他们的理智。你的儿子就站在门口那边,现在如果我射这一箭而刺 中了他的心的话,这就将会证明波斯人是错了;如果我射不中的话,那末就 是他们说对了,而我是失去理智了”。说着他便拉起了他的弓向那个男孩子 射去,并命令剖开那倒下去的尸体和检验他的伤口。箭正射中在心脏上,于 是刚比西斯非常高兴地笑了,他对男孩子的父亲说:“普列克撒司佩斯,很 明显,我很清醒而是波斯人疯狂了,现在告诉我,在世界上你还看见过什么 人能射得这样准确?”据说,普列竞撒司佩斯看到刚比西斯已经疯狂并害怕 自己也会遭到杀身之祸,于是他回答说:“主公,我以为就是神本人也不能 射得这样好。”当时,他所做的事情就是这样。还有一次,他拿捕了国内犯 了微不足道的小过失的如名人士十二名,而把他们头朝下给活埋了。

    (36)吕底亚人克洛伊案斯看到他的这些行经,认为应该向他进谏忠言, 于是便向他说:”主公,不要太放纵你那少年的盛气和激情吧,克服和管制 一下自己罢。谨慎是一件好事情,事先的考虑都是真正的智慧了。但是你怎 么样呢?你为了一些微不足道的过错而处死了你的国人,而且被你杀死的还 有男孩子。如果你总是这样做的话,那你便要当心波斯人会背叛你了。至于 我,你的父亲居鲁士曾恳切地嘱告我向你提供自己的意见,并把我认为是好 的忠告给你”。克洛伊索斯是出于自己的好意向他提出了这个忠告的;但是 刚比西斯回答说:“你也竟敢来向我进谏吗?你在治理你自己的国家时是一个满有办法的国王,你又向我父亲提供很好的忠告:而在玛撒该塔伊人愿意 渡河到我们国土来的时候,你却嘱舍他渡过阿拉克塞斯河去攻打他们;因此, 你由于错误地治理你的国家而招来了灭亡,又由于错误地说服了居鲁士而毁 了居鲁士。老实说,你会后悔的,我早就等着找个借口来收拾你了。”说着 刚比西斯便拿起弓来要把他射死。但是克洛伊索斯跳了起来而逃跑了;刚比 西斯既然射不到他,便下令他的侍卫把他捉住杀死。侍卫们知道刚比西斯的 脾气,于是把克洛伊索斯藏了起来。他们的意图是这样,如果刚比西斯后悔 而寻找克洛伊索斯的话,那他们再把他送出来并会由于救他的性命而取得赏 赐:但如果刚比西斯并不后悔,也不希望克洛伊索斯再回来的话,那时他们 再把克洛伊索斯杀死也不迟。在这事发生之后不久,刚比西斯就真地想要克 洛伊索斯回来了,侍卫们看到这一点之后,便告诉他说克洛伊索斯还活着。 刚比西斯说他也是很高兴听到这话的。但是那些救了克洛伊索斯性命的人却 不能逃脱惩罚而应当被杀死。于是他便真地这样做了。

    (37)刚比西斯对波斯人以及对他的同盟者做出了许多这类疯狂的事情; 他住在孟斐斯的时候,曾在那里打开了古墓并检验里面的尸体。他还进入海 帕伊司托斯神殿并且对那里的神像备加挪榆。海帕伊司托斯的这个神像和腓 尼基人带在他们的三段橇船的船头上的、腓尼基人的帕塔依科伊(腓尼墓的保 护船的神——译者)极为相似。我要给那没有见过它的人说一说:它象是一个 侏儒。他还进入了卡只洛伊神殿,这原来是除祭司以外谁也不能够进去的; 他甚至在大加嘲弄之后,烧掉了这里的神像。这些神像也和海帕伊司托斯的 神像相似,并且据说是他的儿子。

    (38)因此,不管从哪一点来看,我以为都可以有定,刚比西斯是一个疯 狂程度甚深的人物。否则他不会做出嘲弄宗教和习俗的事情。因此,如果向 所有的人们建议选择一切风俗中在他们看来是最好的,那末在经过检查之 后,他们一定会把自己的风俗习惯放在第一位。每个民族都深信,他们自己 的习俗比其他民族的习俗要好得多。因此不能设想,任何人,除非他是一个 疯子,会拿这类的事情取笑。在许多证据当中我只提出一个来,从这个证据 就可以推想到,所有的人关于自己的风俗习惯都有同样的想法:当大流士作 国王的时候,他把在他治下的希腊人召了来,问他们要给他们多少钱才能使 他们吃他们父亲的尸体。他们回答说,不管给多少钱他们也不会做出这样的 事情来的。于是他又把称为卡拉提亚人(卡拉提亚人的卡拉源自梵文的 Kala(黑色的))并且吃他们的双亲的那些印度人召了 来,问他们要给他们多少钱他们才能够答应火葬他们的父亲。这时他要希腊 人也在场,并且叫通译把所说的话翻译给他们听。这些印度人高声叫了起未, 他们表示他们不愿提起这个可怕的行径。这些想法是这样地根深蒂固,因此 我以为,品达洛司的诗句说得很对,“习惯乃是万物的主宰”。

    (39)当刚比西斯正在进攻埃及的时候,在另一方面拉凯戴孟人也对隆摩 司和阿伊阿凯司的儿子波律克拉铁斯发起进攻;后者曾发起叛乱而征服了隆 摩司(大概在五三二年):他在起初把这个城市分成三个部分,使他的兄弟鹿塔格诺托司与叙罗 松和他共同统治,但是不久之后他便杀死了其中的一人,并赶跑了较年幼的 叙罗松,因而自己便成了全萨摩司的主人。他这样做了以后,便和埃及的国 王阿玛西斯缔结了一项条约,还跟他交换了礼物。在这之后不久,波律克拉铁斯就强大到这样的程度,以致他驰名于伊奥尼亚和所有其他的希腊土地; 因为他的军事征讨是无住而不利的。他拥有一百只五十桡船和一千名弓手, 不管是什么人,他都是一视同仁地加以劫掠。因为他说过,比之他根本什么 都不劫掠,则他把他劫掠的东西归还给一个朋友,这会得到更多的感激。他 攻占了许多岛屿,还有大陆上的许多城市。在这中间,他也征服了列斯波司 人:他们曾率领全军来援助米利者人,但是波律克拉铁斯在一次海战中把他 们击败并俘掳了。而正是这些身带枷锁的俘虏,挖掘了窿摩司地砦周边的濠 沟。

    (40)然而阿玛西斯却总是会注意到波律克拉铁斯的巨大的成功的,因此 阿玛西斯感到不安了;波律克拉铁斯的幸运的事情不断大大增多,于是阿玛 西斯便写信送到萨摩司那里去,信里面说:“阿玛西斯致书波律克拉铁斯告 他下面的话。我很高兴地知道自己的朋友和盟友的兴盛。但是我并不为你的 这些太大的好运感到高兴;因为我知道诸神是多么嫉妒的,而且我多少总希 望我自己和我的朋友既有成功的事情,又有失意的事情,我宁愿意有一个成 败盛衰相交错的生涯,而不愿有一个万事一帆风顺的生涯。根据我的全部见 闻来看,我知道没有一个万事一帆风顺的人,他的结尾不是很悲惨,而且是 弄得一败涂地的。因此,如果你肯听我的话,那末便请对你的成功采取这样 的办法:想一想什么是你认为最珍贵的,什么东西是你丢掉时最心痛的,然 后把他抛掉,以便使人们再也看不到它。如果在这之后,你的成功仍然不和 失意交互发生的话,那末就按着我劝告你的办法再试一试罢。”

    (41)波律克拉铁斯念了这封信,觉得阿玛西斯的意见是对的,因此便考 虑在他的财富中什么东面失掉时是他最痛心的,考虑到最后他得出了这个结 论:他戴着萨摩司人铁列克莱司的儿子铁奥多洛斯制造的、一个嵌在黄金上 的珐琅质的指坏印迹;他决定把这个东西抛掉,于是他便乘坐在上有水手的 五十橈船之上并命令他们出海;而当他离岛很远的时候,他便当着船上所有 的人摘下他的指环印迹来,把它投到海里去了。这样做了之后,他便回航并 返回家中,在那里为这次的损失而表示痛心。

    (42)但是在这之后第五或第六天,一个渔夫遇到了这样一件事。他捉到 了一只又大又好的鱼,因而想把这条鱼献给波律克拉铁斯,于是他便把它带 到王宫的门前,说他希望波律克拉铁斯接见他。当他得到允许见到波律克拉 铁斯的时候,他就说:“哦,国王啊,我是一个靠打渔为生的人,但当我捕 到这条角的时候,我想最好是不把他送到市场上去;我看这条鱼是配得上您 和您的威仪的:因此我把它带来呈献给您”。波律克拉铁斯听了渔夫的话心 中欢喜,于是回答他说:“你这样做很好,我双重地感谢你的话和你的礼品。 我邀你与我一同进餐”。渔夫对这一荣誉,感到非常自豪,于是回家去了。 但是在仆人们把鱼切开之后,却在鱼腹中发现了指环印迹;他们看到指环印 迹,就欢喜地把它带到国王那里去,并告诉他这件宝物是怎样找到的。波律 克拉铁斯认为这是神的意旨:于是便写了一封信,派人带到埃及去;告诉他 所做的一切和他所遇到的一切。

    (43)当阿玛西斯念完了波律克拉铁斯的来信之后,他便看到,没有一个 人能够把另一个人从他的注定的命运中挽救出来,而这样不断地得到幸福, 甚至把自己抛掉的东西都找得回来的波津克拉铁斯。 是一定会遇到不幸的结局的。于是他便派出了一名使节到萨摩司去声明 与他绝交,他这样做的目的,是为了在波律克拉铁斯遇到什么可怕和巨大不 幸的时候,他不致必须为他的朋友咸到痛心。

    (44)但现在拉凯戴孟人却向这常胜的波律克拉铁斯进军了,他们是给后 来在克里地建立了库多尼亚的萨摩司人邀请到那里去的。波律克拉铁斯背着 他的臣民,派了一名使者到当时正在出征埃及的、居鲁士的儿子刚比西斯那 里去,要求刚比西斯也派人到萨摩司来并给他增援的人马。接到这个消息之 后,刚比西斯立刻派人到了萨摩司,要求波律克拉铁斯派一支舰队来帮助他 攻埃及。波律克拉铁斯于是选出了他城内他最疑心会起来反叛他的人们,用 四十只三段桡船送他们去,并告诉刚比西斯说不必再把这些人送回了。

    (45) 有的人说,波律克拉铁斯派出去的这些萨摩司人根本没有到达埃及,而是在 他们渡海到卡尔帕托司的时候,他们便相互商议,决定不再继续向前走了: 还有一些人说,他们确实是到了埃及,但是他们从那里避开守卫的耳目逃走 了。不过当他们乘船回到萨摩司时。波律克拉铁斯的船邀击他们和他们打了 起来。返回的萨摩司人得到了胜利并在岛上登了陆,但是在陆战中他们被击 败,于是他们便出航到拉凯戴孟人那里去了。另外还有一个说法:从埃及回 来的萨摩司人打败了波律克拉铁斯;但是在我看来,这个说法是不对的;因 为,如果他们自己可以制服波律克拉铁斯的话,他们就没有必要去请拉凯戴 孟人来了。再者,甚至下面的这种假定也是不合理的,即一个拥有大量佣兵 和本国弓手的人竟会被回国的这样一些少数萨摩司人打败。至于国中波律竞 拉铁斯的臣民,则他把他们的妻子儿女都拘留到一所停船厂里,打算在他的 人们投到返回的萨摩司人那里去时,把这个停船厂和里面的人一把火烧光。

    (46)当被波律克拉铁斯赶跑的萨摩司人逃到斯巴达去的时候,他们就去 见斯巴达的领袖们,说了很长的一篇话,表示非常需要他们的帮助。担拉凯 戴孟人在最初接见时却回答说,他们忘了萨摩司人开头所讲的话,因而不能 了解它的结尾。在这之后,萨摩司人便再一次带着口袋来,并且只讲了这样 的话,说袋子需要面粉。于是拉凯戴盂人说不用再提什么袋子的事情了,不 过他们却决定帮助萨摩司人了。

    (47)于是拉凯戴孟人便装备了一支军队,并把它派出去讨伐萨摩司。 萨摩司人说,这乃是拉凯戴孟人对他们的服务的回报,因为他们起初曾 派了一支舰队去帮助拉凯戴孟人去反抗美塞尼亚人。但是拉凯戴孟人却说, 他们派出军队与其说是帮助需要他们的隆摩司人,勿宁说是报复一件事情, 即他们带给克洛伊索斯的混酒钵和埃及国王阿玛西斯赠给他们的胸甲都曾给 这个民族劫夺了去。在萨摩司人夺走混酒钵的前一年,他们便把胸甲劫走了。 这胸甲是亚麻制成的,上面绣着黄金与棉花,还织着许多图像。但这个胸甲 使人感到惊异的是每一根线都有许多股,它虽然很细,但仍有三百六十股, 每一股都可以看得清清楚楚。这和阿玛西斯献给林多斯的雅典娜的同类的那 件,是可以媲美的。

    (48)科林斯人也热心参加实现对萨摩司的出征。在这次出征的一代之 前,大物在劫夺混酒钵的时候,他们也曾受位隆摩司人的侮辱。库普赛洛斯 的儿子培利安多洛斯曾把柯尔库拉的名门子弟三百人送到撒尔迪斯的阿律阿 铁斯那里去作宦官。率领着这些孩子的科林斯人曾在前往撒尔迪斯的途中停 留在萨摩司,而当萨摩司人知道为什上这些孩子被带走的时候,他们便告诉 这些孩子到阿尔铁米司的神殿去避难,这样他们便不会允许这些请求保护的 人给从神殿中强拖出去了,但是当科林斯人想断绝这些孩子的粮食的时候, 萨摩司人却创行了一种到今天还照样举行的祭典;在这些男孩子请求保护的 时期之内,每到夜里便规定举行男孩子和女孩子的舞蹈,这时便规定要把芝 麻和蜜制造的饼带给他们,这样柯尔库拉的男孩子们便可以夺过这些饼来充 饥了。这样一直做到科林斯的监视人放弃他们而离开的时候,于是萨摩司人 便把男孩子们送回柯尔库拉了。

    (49)然而,如果科林斯人在培利安多洛斯死后与柯尔库拉人言归于好的 话,则他们也就不会仅仅因为这一个原因而帮助对萨摩司的出征了。但实际 上,自从这个岛被殖民之后,虽然他们有血统关系,却一直是相互不和的。 由于这样的一些理由,科林斯人当然耍对萨摩司人怀有敌意了。至于说为什 么培利安多洛斯选择了柯尔库拉地方的名门子弟并送他们到撒尔迪斯去作宦 官,这也是为了向柯尔库拉人进行报复的。原来柯尔库拉人在起初曾对他犯 下了一件可怕的罪行。

    (50)培利安多洛斯在杀死了自己的妻子梅里莎之后,在已经遭遇到的惨 事之外,他又遭到了一件灾难。他和梅里莎之间有两个儿子,一个十七岁, 一个十八岁。他们的外祖父普罗克列斯,埃披道洛斯的僭主曾派人把两个孩 子接了去并且理所当然地善待他们,因为这是他的亲生女儿的儿子。当他们 离开他的时候,他向他们告别说:“孩子,知道杀死你母亲的那个人吗?” 哥哥并没有把这话放到心上,但是那叫做吕柯普隆的弟弟在听到这话时却非 常痛心,以致在回到科林斯的时候,他竟不理他那杀死了自己的母亲的父亲, 而在父亲向他讲话或问他问题的时候,也是一语不发。终于培利安多洛斯感 到十分气恼,而把这个孩子从自己家中赶了出去。

    (51)在这样做了之后,他便问他的大儿子,他们的外祖父在和他们谈话 时都说了些什么。达孩子告诉他说,普罗克列斯待他们很好:但是他并没有 提到临别时外祖父所说的话;因为他根本没有注意到这句话。培利安多洛斯 说,不可能普罗克列斯没有向他们提过一些什么事情;于是他便认真地问他 的儿子,直到这个男孩子想了起来,并把这句话也告诉他的时候。培利安多 洛斯知道了这件事之后,便决定不示弱。他送信给和他那被放逐的儿子一同 居住的人们,命令他们不要把他的儿子招待到自己的家中去。因此这个从一 家被逐的儿子到另一家去的时候,也同样遭到拒绝,因为培利安多洛斯威胁 过一切接纳过他的人,并命令他们不得收容他。当他被逐的时候,他便到另 外他的几个朋友家里去,他们虽然害怕,却还因为他是培利安多洛斯的儿子 而收容了他。

    (52)终于培利安多洛斯发出了一个布告,无论何人如在自己的家中收容 他或是向他讲话,都要向阿波罗神奉献罚金,罚金的数目由培利安多洛斯规 定。看到这个布告之后,没有人再肯向这个孩子讲话或是把他接待到自己家 里来了。这个孩子自己也不想去做那已明令禁止的事情,却横了心,孤单一 人辗转睡在街头的门下。三天之后,培利安多洛斯看到他又饿又脏的样子, 起了怜悯之心:他的怒气稍稍平息了一些。因此他走近他的儿子,对他说: “儿啊,哪条道路好一些请你选择罢,是过你现在这样的生活呢,还是听父 亲的话继承我现在有的权力和财富呢?你是我的儿子,你是富有的科林斯人 的王子;但是你选择了一个乞丐的生涯,就是因为你反抗并且愤怒地对待了 你最不应当这样违抗的人。如果在这件事上有什么惨事使你怀疑我的话,那 未这惨事却是到临我的身上而且是我分得其中的更多的部分,因为做出这伴 事的正是我自己。你自己想一想受到羡慕比受到怜悯要好多少,想一想连抗 双亲和在你上面的人要得到多么下好的结果,然后就回到我的家里来吧。” 培利安多洛斯这样说,是想叫自己的儿子回心转意。但是这个男孩子回答说, 既然培利安多洛斯和自己的儿子讲话,他自己也得受到奉献给神的罚款了。 培利安多洛斯看到他的儿子的顽固是不可救药的,或是不可制服的,因而用 船把他送到柯尔摩拉去,以便不再看到他,因为柯尔库拉当时也是臣属于他 的。这样做了之后,他便派出了一支军队去攻打他的岳父普罗克列斯,因为 他认为普罗克列斯是使他招惹了当前这些麻烦的主要原因。他除了攻克埃披 道洛司之外,又生俘了普罗克列斯。

    (53)培利安多洛斯久而久之就过了自己的盛年时代,并且晓得他再也不 能监督和管理他的全部事业了;于是他便派人到柯尔库拉夫请吕柯普隆来做 僭主,因为他认为自己的长子是一个愚钝无知的人,因此不把期望寄托在这 个孩子的身上。吕柯普隆甚至拒绝回答使节。于是极希望这个年轻人会来的 培利安多洛斯便作为次一个最好的办法,派他的女儿,这个少年的亲生姊妹 去,以为他一定很愿意听她的话。她来到之后就说:“兄弟啊,你难道愿意 看到主权落到别人手里而咱们父亲的全家被劫,反而不愿回到家里去自己取 得它么?回到家里去吧,不要折磨你自己了。矜持顽固是一种很不好的东西。 不要干那种以毒攻毒的事情了。许多人是把道理放在正义之上的。也有许多 人为了热心维护母亲的权利,却把父亲的财富失掉了。僭主之治是一个很难 把持的东西;许多人都在贪求着它;咱们的父亲现在老了,盛年己经过去了: 不要把你自己的财产奉送给别人罢。”她用她父亲教给她的话,陈述了很有 可能打动吕柯普隆的心的理由;但是他回答说,只要他知道他的父亲还活着, 他是绝对不回到科林斯去的。当她把这个回答带回去的时候,培利安多洛斯 便派了第三位使者去,建议他自己到柯仓库拉去,以便在他到那里去的时候 使吕柯普隆代他成为僭主。儿子同意这样做了;培利安多洛斯准备到柯尔库 拉去,而吕柯普隆到科休斯来:然而当柯尔库拉人知道了这一切之后,他们 便杀死了这个年轻人,因为他们怕培利安多洛斯到他们那里去。培利安多洛 斯正是由于这件事才想对他们进行报复的。

    (54)于是拉凯戴孟人率领大军前来,包围了萨摩司。他们猛攻城塞并打 进了海边城郊的塔楼:但是波律克拉铁斯很快地便亲自率领大军向他们进攻 并且把他们赶了出去。外国的雇佣兵和许多萨摩司人在位于山脊之上的上方 塔楼附近向外出击并且在若干时期中间挡住了拉凯戴孟人的进攻。随后他们 便向后逃退,拉凯戴孟人在后追赶和屠杀他们。

    (55)但是,如果所有拉凯戴孟人那一天在那里都象是阿尔启亚斯和律科 帕司一样英勇战斗的话,萨摩司就会被攻克了。只有这两个人和大群逃跑的 萨摩司人进入了城塞,但他们的退路被截断,因而他们便在萨摩司城内被杀 死了。我自己在庇塔涅地方(阿尔启亚斯就是这个地方的人)遇到了另一个阿 尔启亚斯,他是萨米欧司的儿子,上面所说的那个阿尔启亚斯的孙子;他对 萨摩司人的尊重在对任何外人的尊重之上,他告诉我说他的父亲起了萨米欧 司这个名字,因为他是那个在萨摩司英勇战死的阿尔启亚斯的儿子。他说, 他之所以这样尊重萨摩司人,是因为他们曾为他的祖父举行了国葬。

    (56)因此,当拉凯戴孟人毫无结果地把萨摩司包围了四十天的时候,他 们便到伯罗奔尼撒去了。外面还传说着一个荒唐无稽的故事,故事说波律克 拉铁斯曾贿赂了他们要他们离开,他制造了他们当地流通的大量镀金铅币送 给他们。这便是拉凯戴孟的多里斯人对亚细亚的第一次出征。

    (57)当拉凯戴孟人正要离他们而去的时候,率军前来进攻波律克拉铁斯 的萨摩司人也扬帆他去,到昔普诺斯去了。因为他们需要钱;而昔普诺斯人 在那时非常繁荣,并且是最富有的岛上居民,因为在他们的岛上有金矿和银 矿。他们是这样地富有,以致他们献纳给戴尔波伊的财富,即他们的全部收 入的十分之一是最丰厚的献礼之一,而他们每年都要为他们自己分配当年的 收入。而当他们不断发财的时候,他们便问神托,他们目前的幸福会不会长 久:于是佩提亚便给了他们下面的回答:在昔普诺斯的市会堂变成白色而你 们的市埸也同样有了白色阴面的那一天;那时得有一个有智慧的人来防备一 支木头的伏兵和一个红色的使者前来进攻。而这时昔普诺斯的市埸和市会堂 都是用帕洛司的大理石来装饰着的。

    (58)不拘是在当时神托讲出来的时候,还是在萨摩司人前来的时候。他 们都不懂得这个神托。隆摩司人在到达昔普诺斯之后,他们立刻用一只船把 他们的使节送到城里去。原来在古时,一切的船都是漆成朱红色的;而这便 是佩提亚警告昔普诺斯,要他们小心木头的伏兵和红色的使者的真意所在。 于是使者们要求昔普诺斯人给予十塔兰特的借款。萨摩司人在遭到拒绝之 后,便开始蹂躏了他们的国士、昔普诺斯人听到这个消息后便立刻出来想把 他们赶跑。但是他们自己却战败了,他们许多人被萨摩司人驱离了故城,萨 摩司人随即从他们身上勒索了一百塔兰特。

    (59)于是萨摩司人用这笔钱从赫尔米昂人那里购买了叙德列亚岛并且把 它委托给特罗伊真人管理;叙德列亚岛是离伯罗奔尼撒不远的。他们自己则 定居在克里地的库多尼亚,虽然他们航行的原来打算并不是这样,而是想把 扎昆托斯人驱出这个海岛。他们停留在这里,并在这里繁荣幸福地过了五年; 诚然,现在在库多尼亚的那些神殿和狄克杜那的圣堂都是出自萨摩司人之手 的。但是在第六个年头,埃吉纳人和克里地人来了;他们在一次海战中打败 了萨摩司人并把萨摩司人变成了奴隶;此外,他们还砍掉了做得象是猪头一 样的船头,并把它们呈献抬埃吉纳地方的雅典娜神殿。埃吉纳人这样做是由 于对挑起争端的萨摩司人心怀不满。原来当阿姆披克拉铁斯是萨摩司的国王 时,他们曾派军队去攻打埃吉纳,结果萨摩司人和埃吉纳人双方都受了很大 的损害。这便是不和的原因了。

    (60)我所以这样比较详细地写到萨摩司人,是因为他们是希腊全土三项 最伟大的工程的缔造者。其中的第一项是一条有两个口的隧道,它穿过高这 一百五十欧尔巨阿的一座山的下部。隧道全长七斯塔迪昂,八尺高,八尺宽, 而通过它的全长,另有一条二十佩巨斯深、三尺宽的河沟,而从一个水源丰 富的泉水那里来的水便通过这里用管子引到萨摩司城里去。这一工程的设计 者是美伽拉人、纳乌斯特洛波司的儿子埃乌帕里诺司。这是三项工程中的一 项。第二项是在海中围绕着港湾的堤岸,它入水足足有二十欧尔巨阿深,二 斯塔迪昂多长。萨摩司人的第三项工程是一座神殿,这是我所见到的神殿中 最大的。第一个建筑者是一个萨摩司人,披列司的儿子罗伊科司。正是由于 这个原因,我才比对一般人更加详细地来写萨摩司人的事情。

    (61)在居鲁士的儿子刚比西斯既然已经神经失常,而仍然耽搁在埃及的 时候,两兄弟的玛哥斯僧叛离了他(这是接着第三八节写的)。其中的一个曾被刚比西斯留在家中掌管 家务。这个人现在叛离了他,因为他看到司美尔迪斯的死保守秘密,很少人 知道这件事,而人们大多以为他还在人世。于是他便想用这样的一个办法取 得王权:他有一个兄弟,我已经说过,这是他的一个谋叛的伙伴;他的这个 兄弟和居鲁士的儿子、刚比西斯的兄弟司美尔迪斯长得十分相似,而司美尔 迪斯又是经他手杀死的:他们不仅长得一样,他们的名字也一样,都叫司美 尔迪斯。这个玛哥斯僧帕提载铁司于是便说服了他这个兄弟、要他、帕提载 铁司给他这个兄弟安排一切;他把他的兄弟领来,叫他坐在王位上,随后, 他便派使者到各地去,其中的一人到埃及,去向军队宣布,从此他们不应听 从刚比西斯,而要听从居鲁士的儿子司美尔迪斯的命令了。

    (62)其他的使者都按照命令到各地传达了这个布告;但是指定到埃及去 的这个使者,(发现刚比西斯和他的军队在叙利亚的阿格巴塔拿),便到他们 大家的面前去,宣布了玛哥斯僧交给他的命令。当刚比西斯听到了使者说的 话的时候,他以为这是真实的事情,(以为那个被派去杀死司美尔迪斯的普列 克撒司佩斯并没有这样做,而是欺驱了他刚比西斯)。于是他望着普列克撒司 佩斯说:“普列克撒司佩斯,你是不是按照我所吩咐的做了?”普列克撒司 佩斯回答说:“主公,这不是真的事情,你的兄弟司美尔迪斯是不会背叛你 的,他也不可能和你有不论大小的任何纠纷:我自己做了你所吩咐的事情并 且是我亲手埋葬了他。如果死者能够复活的话,那你就可以看到美地亚人阿 司杜阿该斯也会起来反对你了。但如果现在的大自然的规律和先前一样不能 改变的话,那末可以肯定,司美尔迪斯是不会对你有任何伤害的。因此现在 我的意见是这样,我们派人去追赶这个使者并且好好地打听他一下,是谁派 他来传达说我们必须承认司美尔迪斯为我们的国王的”

    (63)普列克撒司佩斯的这一番话,(刚比西斯认为颇有道理)于是立刻派 人追踪这个使节并且把他带了来;而当他未的时候,普列克撒司佩斯便问他 说:“喂,我来问你,你说你的命令是从居鲁士的儿子司美尔迪斯那里发出 来的;那未现在告诉我,这样你就可以安全地回去:是不是司美尔迪斯亲自 见到了你并给了你这个命令,还是只通过他的一个仆人?”使节回答说:“自 从国王刚比西斯到埃及去以来,我自己从来没有见过居鲁士的儿子司美尔迪 斯;刚比西斯委托代他掌管家务的那个玛哥斯僧给了我这个命令,他说这是 居鲁士的儿子司美尔迪斯的意旨,并说我应该把这个意思告诉你知道”。使 节这番话,完完全全是老实话。于是刚比西斯说:“普列克撒司佩斯,这件 事我认为你是没有责任的。你非常忠诚地做了我吩咐你做的事情。但是背叛 了我并且窃取了司美尔迪斯的名字的这个波斯人会是谁呢?”普列克撒司佩 斯回答说:“主公,我想我是知道事情的真相的。叛徒乃是那两个玛哥斯僧, 一个是你委托掌管家务的帕提载铁司,另一个是他的兄弟司美尔迪斯。”

    (64)刚比西斯一听到司美尔迪斯这个名字的时候,他立刻便领会了普列 克撒司佩斯的话的真义,以及领会到他的梦已经实现了;因为他曾经梦见有 人告诉他,司美尔迪斯已坐上了王位,头一直触到天上去。而当他看到他无 端地把自己的兄弟司美尔迪斯杀死,于是他为自己的兄弟而痛哭起来了。在 他哭够了之后,由于十分痛心于他的全部不幸遭遇、他便跳到马上,打算立 刻前去苏撒惩办玛哥斯僧。在他上马的时候,他所佩带的刀的那个刀鞘的扣 子松掉了,于是里面的刀刃就刺中他的股部,正伤了他自己过去刺伤了埃及 的神阿庇斯的同一地方;刚比西斯认为这伤乃是致命的,于是他便问他所在 的那个城市的名字是什么。他们告他说是阿格巴塔拿。而且在这之前,从布 头曾有一个预言告他说,他将要在阿格巴塔拿结束自己的一生;刚比西斯认 为这等于说,他在老年的时候,将要死在美地亚的阿格巴塔拿,即他的主城。 但是这个事件证明,神托所预言的乃是他要死在叙利亚的阿格巴塔拿。因此 当他现在询问并且知道这个城市的名字的时候,因玛哥斯僧而他遭到的不幸 事件和他受的仿这双重的震荡使他回复了正常的知觉;他懂得了神托的意 思,并且说:“居鲁士的儿子刚比西斯注定是要死在这里的了”。

    (65)这时他不再讲什么话了。但是大约在二十天以后,他便把他身旁最 主要的那些波斯人召了来,向他们说:“波斯的人们啊:我现在不得不把我 认为是最秘密的一伴事情向你们宣布了。当我在埃及的时候,我做了一个我 从来没有作过的梦:我梦见从家里来了一个使者,他告诉我说,司美尔迪斯 已经坐上了王位,他的头一直触到天上去。于是我害怕我的兄弟会从我的手 中夺走统治权,因此我不是贤明地加以考虑而是在仓卒中动起手来。可是, 我现在看到,没有一个人能够有力量扭转命运,我是多么愚蠢,我竟把普列 克撒司佩斯派到苏撒去杀死司美尔迪斯。当这件大错铸成之后,我便觉得自 己高枕无忧了,因为我从来没有想到,在司美尔迪斯被铲除之后,会有另一 个人起来反抗我。因此对于将要发生的事情,我完全估计错了。我毫无必要 地杀死了自己的兄弟,结果我仍旧失去了我的王位,因为上天在梦中所预言 的反叛行为是司美尔迪斯那个玛哥斯僧。现在我既然做了这件事,故而我要 你们相信,居鲁士的儿子司美尔迪斯已不在人世了;现在玛哥斯僧已经占有 了我的王国,那就是我留在家里给我管理事务的人和他的兄弟司美尔迪斯。 但是,因玛哥斯僧对我的侮辱而特别要为我报仇的那个人,已经凶死在他最 亲近的人手里了。这个人既因死去而下在,我只得把我一生中最后的期望嘱 告给你们这些波斯人。因此,以我的王家诸神为誓,我命令你们,你们全体, 特别是在这里的阿凯美尼达伊家的人们,不要叫主权再落到美地亚人手里 去:如果他们用策略取得了主权的话,那末就再用策略从他们那里把主权夺 回来;如果他们是用强力夺走主权的话,那未你们也便同样用强暴的手段把 它夺回来。而如果你们这样做,那你们的田地便会生产果实,你们的妇女和 牲畜便会多产子嗣,你们也永远会享到自由;如果你们不把王权夺回的话, 或是不试图把王权夺回的话,那我便祈祷要你们的事事不顺利,而每一个波 斯人都要落得和我一样的下场。”刚比西斯这样说着,便由于自己一生中命 定的全部遭遇而痛哭起来了。

    (66)当波斯人看到他们的国王哭泣的时候,他仍便撕碎了他们穿的袍子 并尽情地高声悲叹起来。但是在这之后骨头坏疽,大腿也紧跟着烂了,结果 居鲁士的儿子刚比西斯便死掉了;他统治了一共七年五个月,身后男女的子 嗣郡没有。在场的波斯人心里完全不相信,那两个玛哥斯僧会是主人;他们 认为刚比西斯是打算用司美尔迪斯的死亡的故事来欺骗他们,以便把整个波 斯卷入对他的战争。

    (67)因而他们相信做了国王的正是居鲁士的儿子司美尔迪斯。现在刚比 西斯既然己死,普列克撒司佩斯便矢口否认他曾杀死司美尔迪斯,因为他亲 手杀死居鲁士的儿子,这件事对他来说并不是安全的。刚比西斯既死,僭称 居鲁土的儿子司美尔迪斯的那个玛哥斯僧司美尔迪斯便肆无忌惮地统治了七 个月。这七个月正凑足了刚比西斯的八年的统治。在这个时期中间,他大大 地加惠了他的全体臣民,以致在他死后,除去波斯人之外,没有一个亚细亚 人不盼望他回来;因为他派人到他统治下的各地去宣布免除他们三年的兵役 和赋税。

    (68)这便是在他开始统治时所发出的布告;但是到第八个月的时候,他 却被人识破了,原因是这样:一个叫做欧塔涅斯的人,是帕尔那斯佩斯的儿 子,他是一个出身高贵而又富有的波斯人。这个欧塔涅斯是第一个怀疑玛哥 斯僧不是居鲁士的儿子司美尔迪斯,而是玛哥斯僧本人的人。理由是他从来 没有离开过他的城砦,也从来没有召见过任何波斯的知名人物;刚比西斯既 然娶了欧塔涅斯的女儿帕伊杜美为妻,而玛哥斯僧现在也娶了她以及刚比西 斯的其他妻妾,于是心中怀疑的欧塔涅斯便派人到他的女儿那里去,问她是 和居鲁士的儿子司美尔迪斯,还是和另外的人同床。她送回一个信说她不知 道,因为她说她从来没有见过居鲁士的儿子司美尔迪斯,也不知道和她同床 的人是谁。于是欧培涅斯便送了第二个信,大意是说:“如果你自己不认识 居鲁士的儿子司美尔迪斯,那末就去问和你一样嫁拾这个人的阿托撒,因为 她是一定会认识她的亲生兄弟的”。但是女儿的回答是:“我不能和阿托撒 讲话,我也看不到他家中的任何其他妇女。因为不管这个人是谁,在他作了 国王之后,他立刻使我们各自分居在指定给每个人的地方”。

    (69)当欧塔涅斯听到这话的时候,对于事情的真相便知道得更加清楚 了。于是他就给他的女儿送了第三个信:“女儿啊,你的高贵出身使你必须 不惜冒任何危险做你父亲所吩咐你做的事情。如果这个人不是居鲁士的儿子 司美尔迪斯而是另一个我心中怀疑的那个人的话,那未就不能轻轻地绕过 他,而是要对他加以惩罚,因为他玷污了你并坐上了波斯的王座。因此当他 与你同床而你看到他睡着了的时候,按照我吩咐的去做并且摸一摸他的耳 朵:如果你看到他有耳朵的话,那你就可以相信与你同床的是居鲁士的儿子 司美尔迪斯,如果他没有耳朵,那便是玛哥斯僧冒名司美尔迪斯的了。”帕 伊杜美送了回信说,她这样做要冒着极大的危险;如果结果知道他没有耳朵, 而她被发现去试探它们的时候,他是一定会把她弄死的。尽管如此,她仍然 愿意一试。因此她答应按照父亲所吩咐的去做。因为人们知道,刚比西斯的 儿子居鲁士在位时,曾由于这个玛哥斯僧司美尔迪斯所犯的某种重大过失而 割掉了他的耳朵,至于什么过失,我却无从知道了。欧塔涅斯的女儿帕伊杜 美履行了她答应她父亲做的事情。当轮到她去伴宿的时候(波斯的妃子们是定 期轮流入宫伴宿的),她便与他同床并在他熟睡的时候用手摸了玛哥斯僧的耳 朵,她容易地确定了他是没有耳朵的,于是到第二天早上,她立刻便派人把 这件事告诉给她的父亲了。

    (70)欧塔涅斯于是便把他认为是最可靠的两位地位极高的波斯人请了 来,这两个人是阿司帕提涅斯和戈布里亚斯,他把事情的全部经过告诉了他 们。实陈上这两个人他们自己也怀疑到事情是这个样子了。于是他们立刻相 信欧塔涅斯泄露给他们的事情。他们决定,他们每人再找一个他们所最信任 的波斯人加入他们的同党;欧塔涅斯找来了音塔普列涅司,戈布里亚斯找来 了美伽比佐斯,阿司帕提涅斯找来了叙达尔涅斯,因此他们便有六个人了。 现在叙司塔司佩斯的儿子大流士又从波斯府来到了苏撒,因为他的父亲便是 那个地方的太守。在大流士到来的时候,这六个波斯人立刻便决定把大流士 也引人他们的一党。

    (71 ) 于是这七个人集会到一处,相互间作了忠诚的保证并共同进行了商 谈。而当翰到大流士发表自己意见的时候,他是这样讲的:“我以为只有我 一个人知道做国王是那个玛哥斯僧而居鲁士的儿子司美尔迪斯己经死了。而 正是由于这个原因,我才赶忙地跑来,为的是我可以设法铲除这个玛哥斯僧。 但既然你们,而不是我一个人,也都知道事情的真象,那未我的意见是不要 耽搁而立刻动起手来。因为一耽搁就会坏事的”。欧塔涅斯回答说:“叙斯 塔司佩斯的儿子,你的父亲是一个勇敢的人,而我认为你会表示出你是一个 和你父亲同样勇敢的人;但仍然不要这样不加考虑地忙于做这件事情,而是 要更加谨慎来进行这件事情。我们必须等待到我们有了更多的人的时候再来 动手不迟。”但大流士回答说:“列位,如果你们按着欧塔涅斯的意见去做, 你们可要记着,你们的下埸一定是会死得很惨的,因为有人会把这一切告诉 给玛哥斯僧,以便使自己取得赏赐。但现在对你们来说最好的办法是你们自 己不借外力而达成你们的目的;但既然你们喜欢把你们的计划告诉别人而且 你们还这样地信任我而引我为你们的同党,因此我说,今天就动起手来;如 果错过了今天,请你们相信,没有人会比我更早地控告你们,因为我自己就 会把全部事情告诉给那个玛哥斯僧的。”

    (72)看到大流士的性情是这样地急躁,于是欧塔涅斯回答说:“既然你 催促我们赶快动手行事而不要耽误,那末现在你自己告诉我,我们怎样进入 皇宫向那玛哥斯僧进攻。皇官四面都有守卫把守看,这一点你是知道的,因 为你看到过或至少听到过他们;我们怎样突破守卫们的这一关呢?”大流士 回答说:“欧塔涅斯,许多事情虽用言语说不清楚,然而却可以用行动做出 来:但有时容易解决的问题反而做得并不出色。你应当知道的很清楚,设置 的岗哨是容易通过去的。因为我们既然有目前这样的身分,那就不会有任何 一个人会不允许我们进去,这部分是由于尊敬,部分也是由于畏惧;此外, 我自己还有一个进去的最好的借口,因为我会说我是不久之前才从波斯来 的,并且有一个信从我父亲那里给国王捎来。在必要的时候,是可以说谎话 的。不管是说谎,还是讲真话,我们大家都是为了达到同一个目标;说谎的 人这样做是为了取得信任并由于他的欺骗而得到好处,说真话的人则希望真 话会使他得到益处和更大的信任:因此我们只不过是用不同办法达到相同的 目的罢了。如果没有得到利益的希望,则说真话的人也愿意说谎就和说谎话 人愿意讲真话一样了。而如果任何门卫愿意放我们过去的话,那在今后对于 他是会更加有利的。但如果任何人想抵抗我们,我们就把他宣布为仇敌。因 此我们就冲进去开始我们的工作吧。”

    (73)继而戈布里亚斯说:“朋友们,在什么时候我们有一个更好的机会 争回王位,或是在我们做不到这一点的时候便死去呢?而且现在我们波斯人 又被一个美地亚人,一个没有耳朵的玛哥斯僧统治看。你们这些在刚比西斯 病时和他在一起的人们一定会记得他在临终时加到波斯人身上的咒诅,如果 波斯人不试图把王位夺回的话;尽管当时我们不相信刚比西斯,而认为他这 样说是为了欺骗我们。因此我的意见是,我们按照大流士的计划行事,不要 放弃这个意见去做其他什么事情,而是立即向玛哥斯僧进攻”。戈布里亚斯 便是这样说的;于是他们完全同意了他所说的话。

    (74)当他们正在这样集议的时候,发生了我下面所说的一些事件。两个 玛哥斯僧经过商议,决定把普列克撒司佩斯笼络为自己的私党,因为他曾受 到射死了他的儿子的刚比西斯的损害,因为只有他一个人由于亲自动手杀过 人,才知道居鲁士的儿子司美尔迪斯确实已经死了。此外,还因为普列克撒 司佩斯在波斯人中间享有崇高的威望。因此他们便把他召来,而为了取得他 的友谊,要他自己做出保证并发誓他决不向任何人泄露他们对波斯人的欺骗 行为,而只把这件事放在自己的心里;而他们则答应他把任何东西都大量地 送给他。普列克撒司佩斯同意了,他答应按照他们的意思去做。于是两个玛 哥斯僧又向他作了第二个建议,即他们要在宫墙前面召集一个波斯人大会, 而他则要到一个城楼上去,宣布说国王正是居鲁士的儿子司美尔迪斯,而不 是任何其他的人。他们把这个任务交给了他,因为他们相信他是波斯人所最 信任的人,因为他常常断言居鲁士的儿子司美尔迪斯还活着,并且否认杀人 的事情。

    (75)普列克撒司佩斯也同意这样做了;于是玛哥斯僧便把波斯人召集到 一起,把他带到一个城楼之上去并命令他发言。这时他把玛哥斯僧对他的要 求早已放到一边,他从阿凯美涅斯向下历数居鲁士一家的家藉;当他最后说 到居鲁士的名字的时候,他便列举国王对波斯所做的一切好事情,随后他便 把真相揭露出来了;他说他所以把真相一直加以隐瞒(是因为他并不能安全地 把它讲出来),但是现在他却有必要把它揭露出来了。他说:“我是在刚比西 斯的逼迫之下才把居鲁士的儿子司美尔迪斯杀死的,现在统治着你们的是那 两个玛哥斯僧”。于是他就对波斯人作了一个可怕的咒诅,如果他们不能把 王位夺回来并对玛哥斯洛进行报复的话,这之后他便从城楼上头朝下地投了 下来;经历了光荣的一生的普列克撒司佩斯便这样地结束了自己的生命。

    (76)这七个波斯人在商量之后打算不再迟延而立刻去进攻玛哥斯僧,于 是他们便向神祈祷并出发了,不过他们对于普列克撒司佩斯在这件事上所做 的工作是一点也不知道的。但他们正走到半途的时候,他们便听到了关于他 的事情。于是他们便退到道旁共同商议,欧塔涅斯的朋友们完全赞同等待, 而不去在目前混乱的时候进攻,但大流士的一派则主张立刻前往,毫不迟延 地做他们已经确定的事情。正当他们争论不决的时候,他们看到七对鹰追赶 两对兀鹰,抓落它们的羽毛并把它们的身体撕裂,看见这个景象之后,他们 七个人便完全同意了大流士的意见,在鹰的前兆的激励之下直奔皇宫而来 了。

    (77)当他们来到大门的时候,发生了大流士所期待的事情。守卫者由于 他们是波斯的显要人物而尊敬他们,并由于他们决不会疑心他们的计谋,便 没有盘问而在天意的引领之下进去了。进入宫中之后,他们在那里遇见了带 信给国王的宦官;宦官问这七个人进来的意图是什么,同时对放进了的这七 个人的门卫加以威吓,并且不许这七个人再向里面去。这七个人相互间一吆 喝,便掏出他们的匕首来,刺死了阴挡他们去路的宦官,一直跑到两个人的 内室去了。

    (78)那时两个玛哥斯僧正好都在内室,商量如何对付普列克撒司佩斯的 行动的后果。他们看到宦宫们乱作一团并听到了他们的呼喊声,两个人便都 赶忙跑了回去;而当他们看到发生了什么事情的时候,他们便动手保卫他们 自己了;一个人赶忙拿下了他的弓,另一个人则拿起了他的长枪:这七个人 和那两个人交起手来了。拿起弓的人发现弓对他已经没有用了,因为他的敌 人离他很近,几乎己经逼到他跟前了。但是另一个人却用长枪保卫了自己, 他刺中了阿司帕提涅司的大腿,又刺中了音塔普列涅司的眼,音塔普列涅司 没有因伤致死,但是他失去了眼睛。这便是被一个玛哥斯僧所刺伤的人。另 一个人由于无法用他的弓,便跑到和这间房屋相邻的房间里去,打算把门关 上。但是七个人中的两个、大流士和戈布里亚斯却和他一同冲到屋里去。戈 布里亚斯和玛哥斯洛扭到了一处,但由于暗中看不到,大流士不知如何做是 好,因为他害怕刺伤了戈布里亚斯;而戈布里亚斯看到大流士站在那里不动, 便喊道为什么他不下手。大流士说:“怕戳伤了你”。戈布里亚斯说:“用 你的刀来刺罢,刺到我们两个人身上也不要紧的”。于是大流士便用匕首来 刺,很幸运,他刺中的正是那个玛哥斯僧。

    (79)他们杀死了两个玛哥斯僧并割下了他们的首级之后,却把伤者留在 原处,这一则是由于他们已非常虚弱,此外还为了要他们看守城砦;其他五 个人便拿看两个玛哥斯僧的首级,一路呼喊叫啸着跑出来叫所有的波斯人前 来帮助,告诉他们自己所做的一切并把首级给他们看。同时他们又把他们在 路上所遇到的每一个玛哥斯僧 都给杀死了。当波斯人听到这七个人所做的一 切以及玛哥斯僧人如何欺骗了他们的时候,便决定追随他们的榜样,也掏出 匕首把他们所能寻找到的全部玛哥斯僧都拾杀死了。而如果不是夜幕降临而 使他们不得不停手的话,他们恐怕是不会叫任何一个玛哥斯僧得到活命的。 这一天是一切波斯人同样都举行的最盛大的神圣的日子;他们为这件事举行 了盛大的节日,并称之为玛哥斯僧屠杀节;在节日期间,玛哥斯僧不许到街 上来,他们要整天留在自己的家里。

    (80)当五天以后混乱的情况好转的时候,那些起来反抗玛哥斯僧的人们 便集会讨论全部局势,在会上所发表的意见,在某些希腊人看起来是不可信 的:但毫无疑问这些意见是发表了的。欧塔涅斯的意见是主张使全体波斯人 参加管理国家。他说:“我以为我们必须停止使一个人进行独裁的统治,因 为这既不是一件快活事,又不是一件好事。你们已经看到刚比西斯骄傲自满 到什么程度,而你们也尝过了玛哥斯僧的那种旁若无人的滋味。当一个人愿 意怎样做便怎样做而自己对所做的事又可以毫不负责的时候,那未这种独裁 的统治又有什么好处呢?把这种权力给世界上最优秀的人,他也会脱离他的 正常心情的。他具有的特权产生了骄傲,而人们的嫉妒心又是一件很自然的 事情。这双重的原因便是在他身上产生一切恶事的根源;他之所以做出许多 恶事来,有些是由于骄傲自满,有些则是由于嫉妒。本来一个具有独裁权力 的君主,既然可以随心所欲地得到一切东西,那他应当是不会嫉妒任何人的 了;但是在他和国人打交道时,情况却恰恰相反。他嫉妒他的臣民中最有道 德的人们,希望他们快死,却欢迎那些最下贱卑劣的人们,并且比任何人都 更愿意听信谗言。此外,一个国王又是一个最难对付的人。如果你只是适当 地尊敬他,他就会不高兴,说你侍奉他不够尽心竭力;如果你真地尽心竭力 的话,他又要骂你巧言令色。然而我说他最大的害处还不是在这里;他把父 祖相传的大法任意改变,他强奸妇女,他可以把人民不加审判而任意诛杀。 不过,相反的,人民的统治的优点首先在于它的最美好的声名,那就是,在 法律面前人人平等。其文,那样也便不会产生一个国王所易犯的任何错误。 一切职位都抽签决定,任职的人对他们任上所做的一切负责,而一切意见均 交由人民大众加以裁决。因此我的意见是,我们废掉独裁政治并增加人民的 权力,因为一切事情是必须取决于公众的”。

    (81)欧塔涅斯发表的意见就是这样。但是美伽比佐斯的意见是主张组成 一个统治的寡头。他说:“我同意欧塔涅斯所说的全部反对一个人的统治的 意见。但是当他主张要你把权力给予民众的时候,他的见解便不是最好的见 解了。没有比不好对付的群众更愚蠢和横暴无礼的了。把我们自己从一个暴 君的横暴无礼的统治之下拯救出来,却又用它来换取那肆无忌惮的人民大众 的专擅,那是不能容忍的事情。不管暴君做什么事情,他还是明明知道这件 事才做的;但是人民大众连这一点都做不到而完全是盲目的;你想民众既然 不知道、他们自己也不能看到什么是最好的最妥当的,而是直向前冲,象一 条泛滥的河那样地盲目向前奔流,那他们怎么能懂得他们所做的是什么呢? 只有希望波斯会变坏的人才拥护民治;还是让我们进一批最优秀的人物,把 政权交拾他们罢。我们自己也可以参加这一批人物;而既然我们有一批最优 秀的人物。那我们就可以作出最高明的决定了”。

    (82)以上便是美伽比佐斯的看法了。大流士是第三个发表意见的人。他 是这样说的:“我以为在谈到民治的时候,美伽比佐斯的话是有道理的,但 是在谈到寡头之治的时候,他的话便不能这样看了。现在的选择既然是在这 三者之间,而这三者,即民治、寡头之治和独裁之治之中的每一种既然又都 指着它最好的一种而言,则我的意见,是认为独裁之治要比其他两种好得多。 没有什么能够比一个最优秀的人物的统治更好了。他既然有与他本人相适应 的判断力,因此他能完美无缺地统治人民,同时为对付敌人而拟订的计划也 可以隐藏得最严密。然而若实施寡头之治,则许多人虽然都愿意给国家做好 事情,但这种愿望却常常在他们之间产生激烈的敌对情绪,因为每一个人都 想在所有的人当中为首领,都想使自己的意见占上风,这结果便引起激烈的 倾轧,相互之间的倾轧产生派系,派系产生流血事件,而流血事件的结果仍 是独栽之治;因此可以看出,这种统治式乃是最好的统治方式。再者,民众 的统治必定会产生恶意,而当着在公共的事务中产生恶意的时候,坏人们便 不会因敌对而分裂,而是因巩固的友谊而团结起来;因为那些对大众做坏事 的人是会狼狈为奸地行动的。这种情况会继续下去,直到某个人为民众的利 益起来进行斗争并制止了这样的坏事。于是他便成了人民崇拜的偶像,而既 然成了人民崇拜的偶像,也便成了他们的独裁的君主;在这样的情况下也可 以证明独裁之治是最好的统治方法。但是,总而言之,请告诉我,我们的自 由是从什么地方来的,是谁赐与的——是足众,是寡头,还是一个单浊的统 治者?因而我认为,既然一个人的统治能给我们自由,那末我们便应当保留 这种统治方法;再说,我们也不应当废弃我们父祖的优良法制;那样做是不 好的。”

    (83)在判断上述的三种意见时,七个人里有四个人赞成最后的那种看 法。这样一来,想使每个波斯人具有平等权利的欧塔涅斯的意见就失败了, 于是他便向他们大家说:“朋友和同志们!既然很明。 显,不管是抽签也好,或是要波斯人民选他们愿意选的人也好,或是用 其他什么办法也好,我们中间的一个人是必须做国王的了,但是要知道,我 是不会和你们竞争的,我既不想统治,也不想被统治:但如果我放弃作国王 的要求的话,我要提出这样一个条件,即我和我的子孙中的任何人都不受你 们中间的任何人的支配。其他六个人同意了他的条件;欧塔涅斯不参加竞争 而处于旁观者的地位。而直到今天,在波斯只有他一个家族仍然是自由的, 他们虽然遵守波斯的法律,却只有在自愿的情况下才服从国王的支配。

    (84)其余的六个人于是商量如何才是选立国王的最公正的办法。他们决 定,如果欧塔涅斯以外六个人之中有谁取得了王权,则欧塔涅斯和他的子孙 他们每年应当得到美地亚织的衣服和波斯人认为最珍贵的一些物品作为年 赏。他们作出这一决定的理由是:他是第一个策划了这件事,并且是他最初 召集了密谋者的。这样,他们便把特殊的勋荣给了欧塔涅斯:但是对于他们 所有的人,他们规定七个人中的任何一人只要他愿意,便可以不经过通报而 进入皇宫,除非国王正在和一个女人睡觉的时候;此外还规定国王必须在同 谋者的家族当中选择妻子。至于选立国王的办法,则他们决定在日出时大家 乘马在市郊相会,而谁的马最先嘶鸣,谁便做国王。

    (85)大流士手下有一名聪明的马夫,名叫做欧伊巴雷司。当散会的时候, 大流士就向他说:“欧伊巴雷司,我们商量了关于王位的事情,我们决定, 在日出时我们所乘骑的马谁的最先嘶鸣谁便做国王。现在你想想看有什么巧 妙的办法使我们,而不是别人取得这个赏赐”。欧伊巴雷司回答说:“主人, 如果用这个办法来决定你会不会成为国王的话,那你就放心好了。请你确信, 只有你是可以担任国王的。在这件事上,我是有一套顶事的魔法的”。大流 士说:“如果象你所说的有什么办法的话,那末便立刻动手罢,因为明天就 是决定的日子了”。欧伊巴雷司听了之后,立刻便做了下面的事情。在夜幕 降临的财候,他带了大流士的马所特别喜欢的一匹牝 马到城郊去把它系在那 里;然后他把大流士的马带到那里去,领着它在牝马的四周绕圈子,不时地 去碰她,结果使大流士的牡马和 牝马支配起来。

    (86)到天明的时候,六个人都按照约定乘着马来了。而当他们乘马穿过 城郊并来到在前一夜里系着牝马的那个地方时,大流士的马便奔向前去并且 嘶鸣了起来。与马嘶的同时,晴空中起了闪电和雷声。大流士遇到的这些现 象被认为是神定的,并等于是宣布他为国王;他的同伴们立刻跳下马来,向 他跪拜了。

    (87)有些人说这是欧伊巴雷司出的主意,(但波斯人却还有另外一种说 法),这种说法是说他用他的手摩擦牝马的阴部,然后把手插在自己的裤子 里,直到日出之时将要把马牵出去的时候;而当他把手掏出来放到大流士的 展的鼻孔近旁去的时候,那匹马立刻喷鼻息和嘶鸣起来。

    (88)这样,叙司塔司佩斯的儿子大流士便成了国王,而最初是居鲁士、 继而是刚比西斯所征服的全部亚细亚,除去阿拉伯人以外,便都成了他的臣 民;阿拉伯人并不是象奴隶一样地臣服于波斯人,而是自从给刚西比斯让路 人埃及的那个时候起,便和波斯人缔结了友好的盟谊:因为那时波斯人不得 到阿拉伯人的同意,是不能入寇埃及的。大流士从波斯人的最高贵的家族中 间娶了妻子,他娶的是居鲁士的女儿阿托撒和阿尔杜司托涅;阿托撒曾是她 的兄弟刚比西斯,后来又是玛哥斯僧的妻子,但阿尔杜司托涅则是一名处女。 他还娶了居鲁士的儿子司美尔迪斯的女儿帕尔米司和曾经发现了玛哥斯僧的 真象的欧塔涅斯的那个女儿。在他治下土地的一切方面,他都有充分的权势。 首先他制造和树立了一个刻石,上面刻着一个骑马的人像,并且附有下面的 铭文:“叙司塔司佩斯的儿子大流士因他的马(后面是这匹马的名字)和他的 马夫欧伊巴雷司之功勋而赢得了波斯王国”。

    (89)在波斯做了这些事之后,他便把他的领士分成了二十个波斯人称为 萨特拉佩阿的太守领地,随后,他又任命了治理这些太守领地的太守,并规 定每个个别瓦族应当向他交纳的贡税;为了这个目的,他把每一个民族和他 们最接近的民族合并起来,而越过最近地方的那些稍远的地方,也分别并入 一个或是另一个民族。现在我便要说一说他如何分配他的太守领地和每年向 他交纳的贡税。缴纳白银的指定要按照巴比伦塔兰特来交纳;缴纳黄金的要 按埃乌波亚塔兰特来交纳;巴比伦塔兰特等于七十八埃乌波亚的米那。要之, 在居鲁土和在他以后的刚比西斯的统治年代里,并没有固定的贡税,而是以 送礼的形式交纳的。正是由于贡税的确定以及诸如此类的措施,波斯人才把 大流士称为商人,把刚比西斯称为主人,把居鲁士称为父亲。因为大流士在 每伴事上都贪图一些小利,刚比西斯苛酷而傲慢无情,但居鲁士是慈祥的, 并且总是给他们谋求福利的。

    (90)这样,居住在亚细亚的伊奥尼亚人与玛格涅希亚人、爱奥里斯人、 卡里亚人、吕奇亚人、米吕阿伊人和帕姆庇利亚人(大流士把一份加到一起的 税额加到他们身上),每年要缴纳四百塔兰特的良银。他把这些足族规定为第 一地区。美西亚人、吕底亚人、拉索尼欧伊人、卡已里欧伊人和叙根涅伊司 人共缴纳五百塔兰特,是为第二地区。乘船进入海峡时位于右侧的海列斯彭 特人、普里吉亚人、亚细亚的色雷斯人、帕普拉哥尼亚人、玛利安杜尼亚人 和叙利亚人共缴税三百六十塔兰特,是为第三地区。奇里启亚人是第四地区, 他们每年要缴三百六十匹白马,即每日一匹。此外每年还要纳五百塔兰特的 白银。在这些银子当中,一百四十塔兰特支出到守卫奇里启亚骑兵的项下, 其他的三百六十塔兰特则直接交拾大流士。

    (91)以阿姆披亚拉欧斯的儿子阿姆披罗科司在奇里启亚人和叙利亚人边 界的地方所建立的波西迪昂市为始点,除开阿拉伯人的领土(因为他们是免税 的),直到埃及的地区,这块地方要缴三百五十塔兰特的税,是为第五地区。 包含在这区之内的有整个腓尼基、所谓巴勒斯坦·叙利亚和赛浦路斯。埃及、 与埃及接壤的利比亚、库列涅及巴尔卡(以上均属于埃及区)是为第六地区。 这一区要缴纳七百塔兰特,还不把因莫伊利斯湖生产的鱼而得到的银子计算 在内。 实际上,也就是在鱼产的白银收入以及一定数量的谷物之外,还要交纳 七百塔兰特。原来,对居住在孟斐斯的“白城”的波斯人和他们的佣兵要配 拾十二万美狄姆诺斯的谷物。撒塔巨达伊人、健达里欧伊人、达迪卡伊人、 阿帕里塔伊人加起来是为第七地区,他们要缴纳一百七十塔兰特。苏撒和奇 西亚人的其他地区是为第八地区,他们要交纳三百塔兰特。

    (92)巴比伦和亚述的其他地方,要献拾大流士一千塔兰特的白银、五百 名充任宦官的少年。是为第九地区。阿格巴培拿和美地亚其他地区,包括帕 利卡尼欧伊人、欧尔托科律般提欧伊人,缴纳四百五十塔兰特,是为第十地 区。卡斯披亚人、帕乌西卡伊人、潘提玛托伊人及达列依泰伊人合起来缴纳 二百塔兰特,是为第十一地区。从巴克妥拉人的地方直到埃格洛伊人的地方, 是为第十二地区,他们要缴纳三百六十培兰特。

    (93)帕克图伊卡、阿尔美尼亚以及直到黑海的接壤地区要缴纳四百塔兰 特,是为第十三地区。第十四地区包括撒伽尔提欧伊人、萨朗伽伊人、塔玛 奈欧伊人、乌提欧伊人、米科伊人及国王使所谓“强迫移民”所定居的红海 诸岛的居民,他们要缴纳六百塔兰特。撒卡恢人和卡斯披亚人缴纳二百五十 塔兰特,是为第十五地区。第十六地区是帕尔提亚人、花拉子米欧伊人、粟 格多伊人和阿列欧伊人,他们要缴纳三百塔兰特。

    (94)帕利十尼欧伊人和亚细亚的埃西欧匹亚人是为第十七地区,他们要 缴纳四百塔兰特。玛提耶涅人、撒司配列斯人、阿拉罗狄欧伊人是为第十八 地区,他们被指定缴纳二百培兰特。莫司科伊人、提巴列诺伊人、玛克罗涅 斯人、摩叙诺依科伊人以及玛列斯人被指定交纳三百塔兰特,是为第十九地 区。印度人是第二十地区。他们是我所知道的,比任何民族都要多的人,他 们比其他任何地区所缴纳的贡税也要多,即三百六十塔兰特的砂金。

    (95)这样看来,如果把巴比伦培兰特换算为埃乌波亚塔兰特的话,则以 上的白银就应当是九千八百八十塔兰特的白银了;如果以金作为银的十三倍 来计算的话,则砂金就等于四千六百八十埃乌波亚塔兰特了。因此可以看到, 如果全部加到一起的话,大流士每年便收到一万四千五百六十埃乌波亚塔兰 特的贡税了。而且十以下的数目我是略去了的。

    (96)这便是大流士从亚细亚以及利比亚的一些部分所取得的收入。但是 过了若干时候,他也从各方的岛屿和欧罗已直到帖撒利亚地方的居民收税 了。这部分的税收是这样地给国王存放起来的:他溶化了这些银子并把它们 灌到士瓮里面去,等土瓮注满时,他便把外壳打破。什么时候他需要钱,他 从这上面便把他所需要的部分铸成钱币。

    (97)以上所说的是各太守领地和它们所应担负的税额。只有一个波斯府 我没有把它列入纳税的领地。因为波斯人的居住地是免纳任何租税的。至于 那些不纳税而奉献礼物的人们,则他们首先就是刚比西斯在向长寿的埃西欧 匹亚人进军时所征服的、离埃及最近的埃西欧匹亚人;此外还有居住在圣地 尼撒周边并举行狄奥尼索斯祭的那些人。这些埃西欧匹亚人与他们的邻人和 印度的卡朗提埃伊人食用同样的谷物;他们是居住在地下面的。这些人过去 和现在都是每隔一年就献纳下列的一些礼物:两科伊尼床斯的非精炼的金、 二百块扁木、五个埃西欧匹亚的男孩子和二十很大象牙。奉献礼物的还有科 尔启斯人和他们那直到高加索山脉的邻人(波斯人的统治便到这里为止,高加 索山脉以北的地区便不臣属于波斯人了),他们每到第四年便奉献少男少女各 百名,过去这样,而直到我的时代还是这样。阿拉伯人每年奉献一千塔兰特 的乳香。这便是在租税之外,这些民族献抬国王的礼物。

    (98)印度人的大量黄金,是这样得来的:他们送给大流士的砂金便是这 大量黄金中的一部分。印度以东的全部地区是一片砂砾地带(希罗多德所说的印度是真正的古代印度,即印度河上游一带的地区,今之所谓五河地区。这以外的地方, 希罗多德对印度是一无所知的);在我们多少确 实知道的所有亚细亚民族当中,住在日出的方向,住在最东面的民族就是印 度人,因为由印度再向东便是一片沙漠而荒漠无人了。印度人有许多民族, 他们所说的语言都不一样。他们中间有一部分是游牧民族,一部分不是;有一部分住在河边(这里指印度河,希罗多德并不知道恒河。恒河是希腊人在亚历山人远征时才知道的)的沼泽地带并以生鱼为食,这鱼是他们乘着一种藤子做的船 捕捉来的。每一只船都是用一节藤子造成的。这些印度人穿着灯心草的衣服。 他们从河上把这种灯心草刈取下来,然后把它们编成席子样的一种东西,再 象胸甲一样地穿起来。

    (99)在他们的东面则是另一部分的印度人,他们是吃生肉的游牧民族; 他们被称为帕达依欧伊人。据说他们有这样的一种风俗:当他们的部落中任 何男人或女人生病时,这个男子的最亲近的朋友们便把他杀死,因为他们说 如果他带着病而不好的话,他的肉会给消耗掉了的。虽然他否认他生病,但 他们不会相信他,而是把他杀死吃掉。当一个女人病了的时候,她和男人一 样地被和她最亲近的女人杀死。至于一个已经年老的人,则他们是拿他当作 牺牲奉献并用他的肉来举行宴会;不过活到老的人是不多的,因为在这之前, 凡是得病的都给杀死了。

    (100)然而又有一部分印度人,他们不杀害活物,不播种谷物。而经常又 没有住所。他们以草为食,他们那里有一种带荚的野生谷物,大小和小米差 不多,他们便把这种谷物连荚收集起来煮着吃。他们中间如果有谁得了病的 话,这个人就到沙漠地带去躺在那里,没有人去看一下他是病了还是死了。

    (101)以上我所谈到的这些印度人都是象牲畜一样地在光天化日之下交 媾的。他们和埃西欧匹亚人一样,是黑肤色的。他们的精子也和其他人的精子不一样,它不是白色的而是和皮肤一样的黑。埃西欧匹亚人的精子也和他 们一样,是黑色的。这些印度人的居住的地点远远地在波斯人的南方,他们 决不是国王大流士的臣属。

    (102)另外的一部分印度人居住在其他印度人的北部,在卡司帕杜罗斯城 和帕克杜耶斯人的国家附近的地方。这些人的生活方式和巴克妥拉人的生活 方式相似,他们是全体印度人中间最好战的,而出去采金的人也是他们;因 为在这些地方是一片沙漠。在这一片沙漠里,有一种蚂蚁(土拨鼠或食蚁兽等),比狗小比狐狸大: 波斯国王饲养过的一些这样的蚂蚁,它们就是在这里捕获的。这些蚂蚁在地 下营穴,它们和希腊的蚂蚁一样地把沙子掘出来。这种蚂蚁和希腊蚂蚁的外 形十分相象,而在它们从穴中挖出来的砂子里是满含看黄金的。印度人到沙 漠去便正是为了取得这种沙子。他们各自驾着三头骆驼,母骆驼在当中,两 旁各用绳子系着公骆驼来协助牵引:但是那个人自己骑在母骆驼上面,他要 注意使这个母骆驼尽可能是在刚刚生产之后便驾上了轭的。他们的骆驼和马 一样快,但是驮载力却比马强多了。

    (103)希腊人知道骆驼是什么样子的,所以我不向他们描绘骆驼的形状 了。但是我要谈一件他们所不知道的、关于骆驼的事情:骆驼的后腿有四块 股骨和四个膝关节;它的生殖器是夹在后腿中间,冲着尾巴的。

    (104)印度人便是这样,用这样装备起来的牲畜去采金的,他们特别注意 到在出发采金时要是一天当中最热的时候,因为那时蚂蚁都躲到地面下去 了。在这些地方,太阳不是象在其他地方那样是正午最热,而是早上最热, 即从日出到市场关门的时候。在这几个小时里,太阳比希腊的正午要热得多, 以致据说人们这时要用冷水淋浴。在正午的时候,印度和其他地方的热度是 差不多的。而到下午的时候,印度地方太阳的热力等于其他地方早上太阳的 热力。快到日没的时候,一天就变得更加凉爽,而在日没时,那就非常寒冷 了。

    (105)因此当印度人带看袋子来到这个地方的时候,他们便用沙子装满了 这些袋子并且以最大的速度把骆驼赶回。因为,根据波斯人的说法,蚂蚁立 刻就会嗅出他们的行踪并追赶而来;它们的速度看来是世界上任何动物都赶 不上的,因此,如果印度人不赶紧回来的话,一旦蚂蚁集合起来,他们便谁 也逃不掉了。公骆驼是不如母骆驼跑得快的,故而在公骆驼跟不上的时候, 他们便先把一头,再把另一头公骆驼放开:但是母骆驼是决不会疲倦的,因 为它们忘不了它们留下的小骆驼。这便是波斯人的说法。他们说,印度人的 大部分的黄金是用这种办法取得的:此外还有一些从他们国内开采出来的黄 金,不过数量就要少得多了。

    (106)看起来,世界上最边远的那些国家都是得天独厚的地方,就仿佛希 腊的气候是世界上最温和宜人的气候一样。我刚才说过,印度位于世界上最 东部的地方,印度的一切生物,不拘是四条腿的还是在天空中飞翔的生物, 都比其他地方的生物要大得多,例外的只有马(印度的马比美地亚的所谓内塞 亚马要小);此外,那里的黄金,不管是从地里开采出来的,还是河水冲下来 的,还是用我上面所说的办法取得的,都是非常丰富的。那里还有一种长在 野生的树上的毛(指棉花),这种毛比羊身上的毛还要美丽,质 量还要好。印度人穿的衣服便是从这种树上得来的。

    (107)再说阿拉伯,则这是一切有人居住的地方当中最南面的。而且只有 这一个地方生产乳香、没药、桂皮、肉桂和树胶。这些东西,除了没药之外, 阿拉伯人都是很难取得的。他们点着腓尼基人带到希腊来的一种苏合香树来 采集乳香;他们点着这种东西,这样便得到了乳香;因为生长香料的树是有 各种颜色的带翼的小蛇守卫着的,每一颗树的四周都有许多这样的蛇。这便 是袭击埃及的那种蛇。只有苏合香树的烟能把这种蛇从这些树的周边赶跑。

    (108)阿拉伯人又说,这种蛇的情况如果不是和象我所听说的关于蝮蛇的 情况相同的话,那末当地一定会到处都是这种蛇了。看来正是由于上天的智 才有这样合理的安排,使一切那些怯弱无力和适于吞食的生物都是多产的, 这样它们才下致由于被吞食而从地面上减少。但那些残酷的和有害的生物则 生产的幼子很少。野兔的繁殖力是极强的,因为每种兽类、禽类和人类都要 捕捉它;在所有的生物中,只有它是异期妊娠的:在它的未出生的幼兔当中 有一些是有毛的,有一些还没有毛,有一些正在子宫中形成,再有一些则只 是刚刚受孕而已。这是野兔的情况,但母狮这样一个非常强劲和猛勇的野兽, 一生中却只生产一次,一次只生产一只幼狮。因为子宫在生产时是和幼狮一 同出来的。理由是这样:当幼狮在母腹中第一次胎动的时候,它那比任何生 物都要锐利得多的爪便撕破了子宫,而当它越来越长大的时候,它搔裂得也 越是利害,以致在生产期近的时候,子宫没有一个地方是完整的了。

    (109)蝮蛇和阿拉伯的翼蛇的情况也是这样,如果他们象一般的蛇那样繁 殖,那末人类便不能活了;但实陈上,当雄蛇和雌蛇交尾而雄蛇射精的时候, 雌蛇便咬住了雄蛇的颈部紧紧不放直到把这一部分咬断的时候。于是雄蛇便 死了;但是雌蛇却因雄蛇之死而受到惩罚。幼子又为父亲复仇:还在母腹的 时候,它们便咬它们的母亲,而且只有在咬穿了母亲的子宫之后,它们才生 下来的。至于其他那些于人无害的蛇,则它们是卵生的,它们会孵出许多幼 蛇来的。阿拉伯的翼蛇看来的确为数不少。蝮蛇到处有,但这种翼蛇却只是 阿拉伯到处都有不少,别的地方是找不到的。

    (110)阿拉伯人用我上面所说的办法取得乳香,至于采取桂皮,则他们在 寻觉这种东西的时候,他们在全身和脸上都包着牛皮和其他的皮革,只留眼 睛在外面。桂皮生于浅湖里,在它的周围和内部有一种带翼的生物,这种生 物和蝙蝠很象,但叫声很尖锐而且进攻得极其凶猛:在采桂皮的时候,是必 须不使这种生物在眼睛前捣乱的。

    (111)他们采肉桂的方法就更加奇怪了。他们说不出这种东西长在什土地 方和什么样的土地培养这种东西,只是有一些人说,而且是好象有根据地说, 它是生长在养育狄奥尼索斯的地方。据说,有一些大鸟,它们啄取腓尼基人 告诉我们称为肉桂的干枝,把它们带到附着于无人可以攀登的绝壁上面的泥 巢去。阿拉伯人制服这种鸟的办法是把死牛和死爐以及其他驮兽切成很大的 块,然后把它们放置在鸟巢的附近,他们自己则在离开那里远远的地方窥伺 着。于是据说大鸟便飞下来,把肉块运到鸟巢去;但鸟巢经不住肉块的重量, 因而被压坏并落到山边;于是阿拉伯人便来收集他们所要寻找的东西了。肉桂据说就是这样收集来的,这样人们再把肉桂从阿拉伯运到其他国家去。

    (112)希腊人称为雷达农,而阿拉伯人称为拉达农的芳香胶的生产方法就 更加奇特了。它的气味非常甘美,可是生产它的东西,那气味却是最难闻的; 因为它是在公山羊的胡须里取得的,它在那里就和树胶在树里的情形一样。 这种东西用来制造多种香料;阿拉伯人而最常点的香就是这种芳香胶。

    (113)关于阿拉伯的香料,我所说的就是这些了。从那里吹过来的是甘美 得出奇的气味。此外,他俩还有两种品种极其优异的羊,这是任何其他地方 所看不到的。一种羊的尾巴长到不下三佩巨斯。如果羊拖着尾巴走的话,则 它们会由于尾巴在地面上摩擦而受伤的;但实际上,那里每一个收人都很会 干木匠活,他们在尾巴下系看小车,把每只羊的尾巴都个别地系上它自己的 小车。另一种羊的尾巴又足足有一佩巨斯宽。

    (114)在南方偏于日没方向的地方(即西南方)一直扩展到极远 地方的是埃西欧匹亚。这里有大量的黄金、巨象,还有各种各样的野生树木 和黑檀;那里的人是人类中最魁梧的、最漂亮的,又是最长寿的。

    (115)以上就是世界上亚细亚和利比亚的最边远的地方。至于欧罗巴的最 西面的地方,我却不能说得十分确定了。因为我不相信有一条异邦人称为埃 利达诺司的河流流入北海,而我们的琥珀据说就是从那里来的。我也丝毫不 知道是否有生产我们所用的锡的锡岛。 埃利达诺司这个名字本身就表示它不是一个外国名字,而是某一位诗人所创造的希腊名字;尽管我努力钻研,我仍然不能遇到一位看到过欧罗巴的 那面有海存在的人。我们知道的,只是我们的锡和琥珀是在从极其遥远的地 方运来的。

    (116)下面的情况也是很明显的,即在欧罗巴的北部那里有比任何其他地 方要多得多的黄金。在这件事上我仍然不能肯定地说黄金是怎样取得的。有 些人说是叫做阿里玛斯波伊的独眼族从格律普斯(一种狮身、鹫首、鹫翼的怪物)那里偷来的。但我认为这种 说法也是不可信的,因为不可能有所有其他部分部和其他人一样,但眼睛却 只有一个的人。担无论如何。下面的说法仍然是有道理的,即世界上最边远 的地方,既然它们环绕并完全包围了其它一切地方,因此它们是会产生出我 们认为是最优美的和最珍奇的物品来的。

    (117)在亚细亚,有一个四面给山环绕起来的平原,在这些山当中有五个 峡谷。这个平原只前是属于花拉子米欧伊人的,它位于和花拉子米欧伊人本 身、叙尔卡尼亚人、帕尔托伊人、萨朗伽伊人和培玛奈欧伊人的土地交界的 地方。担自从波斯人掌握了政权以来,它就成了国王私人的土地。从这周边 的诸山,有一条称为阿开司的大河流出来。这条大河分成五个支流,在先前 它们分别穿过五道峡谷而灌溉了上面所说的那些民族的土地;然而自从波斯 的统治开始以来,这些人就倒霉了。国王封锁了山中的峡谷并用一个闸门把 每一个山路给封闭起来,这样水既不能流出来,山中的平原就变成了一个湖, 因为水流到平原上来而没有泄出去的地方。结果以前使用这个河的河水的人 们不能再用了,因而处于十分困难的地位。因为在冬天,他们和其他的人一 样有雨降下来,但是夏天他们却需要水灌溉他们播种的小米和胡麻。因此只 没有水给他们,他们就和他们的妇女到波斯去,在国王的宫殿门前高声哭号。 国王终于下令把通到他们中间最需要水的人那里去的闸门放开,而当这块地 方把水吸收足了的时候,闸门就关上了,于是国王下令再为其他那些最需要 水的人开放另一个闸门,而据我所听到和知道的,在他开放闸门的时候,他 在租税之外,还要征收大量的金钱。以上所说的这样一些事实,就是这样了。

    (118)在另一方面,起来反抗玛哥斯僧的七个波斯人当中,那个叫做音塔 普列涅司的人,在发动政变以后不久,便由于一件犯上的事件被处死了。他想到王宫里面去和国王谈话,因为有这样一条规定,这些发动政变的人可以 不用通报直接进见国王,如果国王没有和他的一个妃子共寝的话。当时音塔 普列涅司曾说明他是七人之一,有权利不经通报而进见。但是门卫和使者不 许他进去,他们说国王正在和他的一个妃子在一起。音塔普列涅司认为他们 在说谎,于是他便抽出剑来,割掉了他们的鼻子和耳朵,然后把这些鼻子和 耳朵系在他的马缰绳上并缚在这些人的脖子上放他们走了。

    (119)他们于是到国王那里去,告诉他为什么他们会遇到这样的事情。大 流士害怕这会是这六个人的一种谋叛行为,于是把他们分别召来询问,以便 知道他们是否同意这样做。等他确实知道他们并未参与此事的时候,他便逮 捕了音塔普列涅司、他的儿子以及他的全家并把他们监禁起来,因为他十分 怀疑这个人和他的族人正在阴谋推翻他。于是音塔普列涅司的妻子便常常到 宫门来悲哭号泣。终于由于她经常不断这样做而打动了大流士的同情心,于 是大流士便派一个使者去告诉她说:“夫人,大流士将要赦免你的被囚的一 个亲人,这个人可以任凭你选择。”她在考虑之后便回答说:“如果国王只 允许留一个人的性命的话,那我就留我的兄弟的性命。”大流士听到这句话 的时候大为不解,于是他便派一个人去问她说:“夫人,国王问一下为什么 你放弃你的丈夫和儿子,却宁愿挽救你那不如你的儿女近,又不如你的丈夫 亲的兄弟的性命。”她回答说:“国王啊,如果上天垂怜的话,我可以有另 一个丈夫,而如果我失掉子女的话,我可以有另一些子女。但是我的父母都 死去了,因而我决不能够再有一个兄弟了。这就是为什么我这样讲的理由”。 大流士听了欢喜并认为她的理由是充足的,于是他便把她请求赦免性命的那 个人送还给她,此外还赦免了她的长子。其他的人便都被大流士处死了。这 样,七人当中的一个人不久之后便去世了。

    (120)下面我要讲的事情,大概是在刚比西斯得病的时候发生的。居鲁士 所任命的撒尔迪斯府的太守是一个叫做欧洛依铁司的波斯人。这个人打算做 一件极不对头的事情。因为,虽然萨摩司人波律克拉铁斯在行动和言语都没 有冒犯过他,虽然他甚至连这个人都没有见过,他却想把他擒住杀死。多数 人认为理由是这样:当欧洛伊铁司和达司库列昂府的太守、另一个叫做米特 洛巴铁司的波斯人坐在王宫门前的时候,他们在谈话中起先是争吵,继而比 论起各自的功勋来了。米特洛巴铁司骂欧洛伊铁司说:“你想想,你简直够 不上说是个男子汉大丈夫,萨摩司岛离你的一府很近,可是你还没有把它加 到国王的领土上面来:但原来这是一个这样容易征服的岛,当地的一个人偕 同十五名武装的人手便起来反抗了他的统治者,现在这个人就是那里的主 人”。有人说欧洛伊铁司听了对方的咒骂很生气,但他不大想惩罚说这话的 人,却想用一切办法消灭使他受到谴责的理由,即波律克拉铁斯。

    (121)另外有一些人,虽然人数较少,但根据他们的说法,当欧洛伊铁司 派使者带着某项要求(实际人们并没有提到这是一个什么要求)到萨摩司去的 时候,使者发现波律克拉铁斯正卧在男房里,身旁有提奥斯人阿那克列昂陪 伴着他。不知道是故意表示瞧不起欧洛伊铁司,还是出于偶然,当欧洛伊铁 司的使者进来并向他讲话的时候,当时面向着墙壁躺着的波律克拉铁斯连头 也不曾回过来,也不曾回答他一句话。

    (122)这便是人们用来解释波律克拉铁斯的死亡的两个原因,随你相信哪 一个好了。不过我们知道的结果是这样:当时在迈安德罗司河河畔的玛格涅 希亚的欧洛伊铁司,知道了波律克拉敛斯的意图之后,便派一名吕底亚人、 巨吉斯的儿子密尔索斯带着信到萨摩司去。因为波律克拉铁斯,据我所知, 在希腊人中间是第一个想取得制海权的人;当然,这里是不把克诺索斯人米 带斯和在他之前掌握过制海权的任何人考虑在内的。在可以称之为人类的这 一范畴之中,波律克拉铁斯可以说是第一个这样做的人,而且他又很想使自 己成为伊奥尼亚和各个岛屿的主人。因此,知道了他的意图之后,欧洛伊铁 司便送这样的一个信给他说:“欧洛伊铁司致书告波律克拉铁斯:我听说你 正在计划干大事情,但你没有足够的钱来达成你的目的。因此按我劝告你的 办法去做,你就可以使你本人的前程一帆风顺并使我也得到了安全。国王刚 比西斯想弄死我,对于这件事我已获得确实的情报。因此,如果你能够把我 和我的财富送到安全的地方去,你可以取得我的财富的一部分,再把剩下的 一部分留给我。这样你便会有足够的财富使你称霸希腊了。如果你不相信我 所说的财富的话,那你可以派你最亲信的臣子来,我会把它指给你看的。”

    (123)波律克拉铁斯听到这之后,很喜欢这个计划并同意了这个计划。因 此,既然他很希望弄到钱,所贝他首先便派他的一个萨摩司的市民,担任他 的秘书的、迈安多里欧司的儿子迈安多里欧司去探查一下究竟。正是这个人 在不久之后,把波律克拉铁斯宫殿中男房中非常出色的全部装饰陈设奉献拾 希拉神殿。当欧洛尹铁司听说有人要来探查究竟的时候,他便用石头装满了 八个箱子,只是在上面薄薄地留了一层,然后在这里铺上一层黄金,再把箱 子绑紧放在那里准备着。迈安多里欧司来到看了之后,就带信给他的主人去 了。

    (124)尽管波律克拉铁斯的卜师和朋友们都极力谏止,尽管他的女儿这时 又做了一个梦,他还是准备去看欧洛伊铁司。他的女儿梦见她父亲悬在空中, 宙斯洗他的身体,太阳给他涂膏。作梦之后,她的女儿用一切办法劝他不要 出发到欧洛伊铁司那里夫,甚至在他到他的五十桡船去的时候,她都对他说 了不吉祥的话。当波律克拉铁斯威胁她说,如果他安全返回,他将会长期不 叫她出嫁的时候,她就在回答时祷告说,她希望这个威胁会成为事实,因为 她宁可长期不嫁,也不愿失去父亲。

    (125)但波律克拉铁斯不愿听从任何忠舍。他还是带着大批随从人员放海 到欧洛伊铁司那里去了。在随从人员中间,有卡利彭的儿子戴谟凯代司,这 是一个克罗同人,他是当代最高明的医生。然而波律克拉铁斯刚刚到玛格涅 希亚,他立刻被惨杀了,这一死是和他本人以及他的高远的怀抱不相称的, 因为除去西拉库赛的僭主以外,希腊人当中的僭主没有一个其伟大是可以和 波律克拉铁斯相比的。欧洛伊铁司惨杀波律克拉铁斯的详情我不想在这里讲 了,他杀了波律克拉铁斯之后,便把他钉到一个十字架上。至于他随从人员 中的萨摩司人,则他放了他们回去,要他们为本身之得到自由而感谢欧洛伊 铁司:凡不是萨摩司人的人们或是波律克拉铁斯的随从的奴隶,则他把他们 留下来当作自己的奴隶使用。这样,波律克拉铁斯便被悬了起来,于是他女 儿的梦也就应验了,因为在下雨时就是宙斯洗他的身体,他身上渗出的脂汗 就是太阳给他涂膏了。这便是象埃及国王阿玛西斯所预言的,波律克拉铁斯 的许多幸运事件的结局却是这个样子。

    (126)但是不久之后,欧洛伊铁司便遭到了惨杀波律克拉铁斯这件事的报 应。在刚比西斯死亡而玛哥斯僧取得王权之后,欧洛伊铁司还留在撒尔迪斯, 在那里他根本没有帮助波斯人夺回美地亚人从他们那里夺走的权力,而是恰 恰相反;原来他竟在这次骚乱的时候,杀死了两位波斯的知名人士,这就是 在提到波律克拉铁斯时骂过他的达司库列昂的太守米特洛巴铁司和米特洛巴 铁司的儿子克拉纳斯佩司。此外,他还做了许多横暴不法的事情,特别是当 从大流士那里送来一个使他不高兴的信的时候,他便在道上安设伏兵在使者 返回的途中把使者杀死了。而在杀死之后,他就把这个人的尸体连同马匹暗 地里埋掉了。

    (127)因此当大流士登上王位的时候,他就想惩罚欧洛伊铁司的一切犯罪 行为,主要是由于他杀死了米特洛巴铁司和他的儿子。但是他认为最好是不 公开派兵去攻打那一府,因为他看到全国到处仍然没有安定下去,而他本人 也是刚刚取得王权。再者,他还听说,欧洛伊铁司是很强的,他有一千名波 斯兵的亲卫队,而且他又是普里吉亚、吕底亚、伊奥尼亚诸府的太守。因此 为了想一个对他有所帮助的对策,他便召集了一个最知名的波斯人的会议, 会上他对他们说:“波斯人,你们当中有哪一个人能够不用暴力和群众的骚 动,而是用计谋,来为我进行和成就一桩事业?在需要计谋的地方,是不应 该使用暴力的。而当前的事情,就是你们当中谁能把欧洛伊铁司活看捉来, 或是把他杀死?因为他没有给波斯人做过任何好事,而是做了许多坏事。我 们有两个波斯人米特洛巴铁司和他的儿子给他杀死了;而且他还杀死了我派 去召他来的使者。他的行动的暴虐无礼已经到了难以容忍的地步。因此我们 必须把他处死,以便使他今后不再对波斯人犯下某种更加严重的罪行”。

    (128)这便是大流士所说的一番话,这时他们中间有三十个人都答应说他 们准备各自以自己的力量去完成国王的意旨。大流士不要他们互争,而是用 抽签的办法来决定。他们大家照这个办法做了,结果中签的是阿尔通铁斯的 儿子巴该欧司。他在被选出以后,便把有关许多公务的许多文书,上面用大 流士的印玺封了起来,就带着到撒尔迪斯去了。在他见到了欧洛伊铁司之后, 他便分别地把一件件的文书拿了出来(由于任何一个太守都设有王室秘书之 职),交给他的王室秘书来宣读。他这样地交递文书,是打算试一试那些亲卫 兵,看他们是不是同意叛离欧洛伊铁司。他看到他们非常尊敬这些文书,特 别是对里面所写的东西更加尊敬,于是他便交给王室秘书另一件文书,上面 写着:“波斯人!国王大流士禁止你们再做欧洛伊铁司的亲卫兵”,亲卫兵 听了这话之后,他们便把他们手中的长枪抛掉了。当巴该欧司看到他们既然 已经服从了文书上的命令,因而有了信心,于是便把最后一件文书给了王室 秘书,里面写着这样的话:“国王大流士命令撒尔迪斯的波斯人把欧洛伊铁 司杀死”。听到这个之后,亲卫兵便立刻抽出宝剑来把欧洛伊铁司杀死了。 这样,波斯人欧洛伊铁司便由于杀死萨摩司人波律克拉铁斯而得到了报应。

    (129)欧洛伊铁司的家财(包括奴隶——译者)都给送到苏撒去了。在这之 后不久,正巧大流士在打猎的时候,在下马时扭伤了自己的脚,而且是扭伤 得这样厉害,以致他的踝骨的球窝都脱臼了。大流士于是召来了埃及的那些 最有名的医生,这些人他是一直留在自己的身旁的。由于他们把他的脚扭得 猛了,结果反而使伤势更加恶化了。国王痛得七天七夜不能入睡,在第八天 的时候,他的伤势已经是很重了;当时有个人在撒尔迪斯时曾听到过克罗同 人戴谟凯代司的医术,于是就把这个人告诉了国王。大流士便命令把这个戴 谟凯代司立刻召来。他们在什么一个地方看到这个医生在欧洛伊铁司的奴隶 当中根本无人理会,便立刻把他带来见大流士了,他来时还拖着锁链,身上 也还穿着破烂的衣服。

    (130)当他来到大流士的面前的时候,大流士便问他是不是懂得医术。戴 谟凯代司否认这一点,因为他害怕,如果说了关于自己的真话,他将要永远 不能再回到希腊去了。大流士很清楚地看到,他是在故意不讲他自己通晓医 术,于是便命令把他领来的人把笞和刺棒给他拿到跟前。于是戴谟凯代司只 得招认了,但是他只是说他的医术并不可靠:他说他过去只是和一个医生来 往过,因而稍稍懂得一些医术。大流士于是把治疗的事情交给了他,戴谟凯 代司使用了希腊的疗法,他不象埃及人那样使用粗暴的手段而是使用十分温 和的疗法;他先使国王能够入睡,而在很短的时期内便把大流士自己认为无 法恢复的脚伤完全治好了。因此在痊愈之后,大流士便赏赐给他两副黄金的 枷锁。戴谟凯代司向大流士说,是不是因为他给大流士治好了病,而大流士 反而使他受到双重的苦难。大流士十分赏识他那机智的回答,而允许他到后 宫去见自己的妃子们。阉人们把他带到妃子们那里去,告诉她们说这便是救 了国王的性命的人。于是她们每个人都用一只碗从一个满盛黄金的柜子里掏 取黄金给他,医生得到了这样多的金钱赏赐,甚至跟在他后面的那个叫做斯 奇同的奴隶,光是拣取从碗里落出来的斯塔铁尔金币,都得到了巨额的金钱。

    (131)下面是克罗同出身的戴谟凯代司如何从家乡到波律克拉铁斯这里 来和他相处的经过:戴谟凯代司在克罗同和他那性情暴戾的父亲不合,而在 他再也忍耐不住他父亲的脾气的时候,便离开了他,到埃吉纳来了。他在那 里住了不过一年,他的医术便超过了所有其他医生,虽然他没有任何行医用 的设备和用具。在第二年的时候,埃吉纳人以一塔兰特的报酬任命他为公家 医生。再过一年,雅典人用一百米那雇用了他。到第四年,波律克拉铁斯又 二塔兰特聘请了他。于是他便来到了萨摩司;克罗同地方的医生的名誉主要 是因他而得到的,因为在这个时候,希腊各地的最好的医生都是克罗同人, 而次于他们的则是库列涅人。大约在同一时期,阿尔哥斯人被认为是最好的 音乐家。 (132)戴谟凯代司由于在苏撒治好了大流士,他便得到了很大的一所层子 并且与国王同桌而食;除去不允许他回到希腊之外,任何事情都是随他的意 的。当一直侍奉着国王的那些埃及外科医生由于医术不如希腊人高明而将要 被刺杀的时候,他便请求国王留他们的性命,这样便救了他们;此外,他还 救了一个埃里斯的卜者的性命,这个卜者曾是波律克拉铁斯的随从人员,并 且在奴隶当中是根本无人过问的。戴谟凯代司在国王面前成了最受重视的人 物了。

    (133)在这之后不久,居鲁士的女儿、大流士的妻子阿托撒在她的胸部肿 起了一块,这块肿起来的东西很快地就溃烂并蔓延起来了。当这块肿物还算 不得什么病的时候,她没有谈起这东西而是由于羞耻之心而瞒着。但不久病 状恶化的时候,她便把戴谟凯代司召了来,把她的病拾他看。他答应给她治 病,但是要她起誓,她必须做到他请求她办的任何事情。他说,他决不会要 求她做有损她的名誉的事情。

    (134)他不久便把阿托撒的病治好了,于是阿托撒在戴谟凯代司的指使之 下一天夜里就寝时向大流士说:“主公,你是一个强大国家的统治者,但是 我不明白为什么你只是毫无作为地坐在这里,既不去为你的波斯人征服新的 领土,又不去进一步扩大你的权力?如果你愿意要他们知道他们的国王乃是 一个正正堂堂的男子汉的话,那末象你这样年轻和有这样财富的人要他们看 到你成就某种伟大的功业,那是理所当然的事情。这样你就会取得双重的利 益;波斯人将会知道他们的国王是一个不折不扣的男子汉大丈夫,而且,在 战争的紧张时期,他们也就没有多余的时间来背叛你了。现在正是你年富力 强的时候,这时你正应该成就一些伟大的功业:因为一个人的身体成长,智 慧也就跟着成长。而身体衰老的时候,智慧也便衰退,不管做什么事情也便 迟钝了”。她是按照戴谟凯代司教给他的话这样讲的。大流士说:“夫人, 你所说的事情我早已经想到要做了。我已经决定从这个大陆造一个桥通到另 一个大陆上去,这佯就可以领着军队去攻打斯奇提亚人。很快地我们便要着 手实现这件事了”。阿托撒回答说:“在我来看,目前还是不要去攻打斯奇 提亚人罢,因为任何时候你愿意攻打他们,你都可以做到这一点的。我请求 你还是先去攻打希腊罢。我听人提过拉科尼亚、阿尔哥斯、阿提卡和科林斯 的妇女,我很想要这些妇女来作我的侍女。在你身旁有一个人,他比任何人 都更适于在有关希腊的一切事情上为你加以说明介绍,这个人就是治好了你 的脚伤的那个医生”。大流士回答说:“夫人,既然你的愿望是首先与希腊 一决胜负,那末我以为最好是派波斯人偕同你所提到的那个人到那个地方去 侦察一下并把在那里所看到的一切报告给我们,这样我便可只有充分的情 报,帮助我对希腊的出征了。”在大流士说了这话之后,立刻便着手这样做 了。

    (135)在第二天刚刚破晓的时候,他便召见了十五位知名的波斯人来,命 令他们和戴谟凯代司一同到希腊的海岸地带去巡视;此外还瞩告他们不管怎 样也要把医生戴谟凯代司带回来,而不许他跑掉。他这样地吩咐了他们之后, 便把戴谟凯代司本人召了来,要求这个医生在他把全部希腊指点给波斯人并 使他们把所有的地方看明白之后,仍旧回到他这里来。他还要戴谟凯代司带 着他的全部家财运给他的父亲和兄弟,并答应在回来后给他比这要多许多倍 的财产。此外,还答应给他一只商船,上面装载着他所要的一切东西与他同 行。我想大流士答应给他的一切完全是出自真心的。但是戴谟凯代司却害怕 国王是不是在试探他,于是他便不忙于接受大流士所给他的一切,而是回答 说他要把他的财产留在原来的地方,以便在回来的时候享用。至于大流士答 应给他用来带礼品送他的兄弟的那只船,他是接受了的。大流士对戴谟凯代 司也发出了同佯的命令之后,就把他们一行人员都送到海岸地带去出发了。

    (136)于是他们这些波斯人就来到了腓尼基,来到了腓尼基的西顿城,在 那里他们装备了两艘三段桡船以及一只满载着各项必需品的大商船。当一切 都准备停妥以后,他们便出海到希腊去了;他们在那里视察和记述了他们所 到达的海岸地带,等他们看过了大部分地区和那些最出名的地方以后,他们 便到达了意大利的塔拉斯。在那里,塔拉斯人的国王阿里司托披里戴斯,为 了对戴谟凯代司表示好感,把舵机从美地亚的船上取了下来,并称波斯人为 间谍,而把他们拘留起来。正当他们处于这种情况之下的时候,戴谟凯代司 便到克罗同那里去;但阿里司托披里戴斯并没有释放波斯人,也没有把从他 们的船上取得的东西归还给他们,直到这位医生回到自己的国家的时候。

    (137)波斯人从培拉斯乘船起程,追赶戴谟凯代司直到克罗同,他们在那 里的市场上发现了他,就打算上去把他捉住。有一些克罗同人害怕波斯的强 大,本想把他放弃,但是另有一些人不但不交出他来,反而捉住国王的人员 并用棍子打他们。于是波斯人说:“克罗同人,你们可要看清楚你们干的是 什么事情。你们是从我们手中夺去了一位伟大国王的逃跑的奴隶。你们以为 国王大流士会对你们的这种冒犯行为不闻不问么?你们以为如果你们留下他 而把我们赶跑,这件事情对你们会有什么好处么?这样一来,你们的城市将 会是我们第一个要攻打的城市,是我们第一个试图奴役的城市”。但是克罗 同人并不理会他们,这样波斯人便失去了戴谟凯代司和与他们同来的商船, 他们既然失去了响导,便不想再深入希腊的内地去探查而返回亚细亚了。但 是戴谟凯代司在他们启航的时候,都要他们捎一个信,他说,他们应当告诉 大流士说,戴谟凯代司已经和米隆的女儿订婚了,因为大流士是非常尊敬角 力士米隆的名字的。在我看来,戴谟凯代司之所以寻求这个配偶并且为此花 了一大笔钱,这是为了要大流士知道,在他的本国以及在波斯,他都是一个 受到尊敬的人。

    (138)波斯人于是从克罗同启航了。但他们的船却在雅庇吉亚的海岸地带 遭了难,他们自己也就成了那里的奴隶,最后才有一个从塔拉斯被放逐出来 的名叫吉洛司的人,释放了他们并把他们交回给大流士。国王为了回报,曾 答应给吉洛司他所希望的任何报酬,吉洛司叙说了他的不幸遭遇,并首先要 求设法使他回到塔拉斯去。但是,由于他不愿意为了他个人的缘故使一支大 军乘船到意大利去从而他会给希腊增添麻烦,于是他说,只要克尼多斯人伴 送他便足够了;因为他认为,克尼多斯人既然是塔拉斯人的朋友,则塔拉斯 人就更愿意要他回去了。大流士依照他的话办了,他派了一名使者到克尼多 斯人那里去,命令他们把吉洛司带回塔拉斯。他们接着大流士的话做了,可 是他们却不能说服塔拉斯人按照他们的意思行事,而且他们又不能强迫他 们。全部的经过就是这样。这些波斯人是最初从亚细亚到希腊的,他们是为 了上述的理由来偷偷地侦察这个国家的。

    (139)在这之后,大流士便征服了萨摩司,这是希腊的或异邦人地方的一 切城邦中最先被征服的一个,征服的理由有如下述:——当居鲁士的儿子刚 比西斯进攻埃及的时候,许多希腊人随军来到了埃及,有些人当然是为了来 做买卖,有些人则是来观光的;在这里面有一个叫做叙罗松的人,他是阿伊 阿凯司的儿子、波律克拉铁斯的兄弟,这时正从萨摩司被放逐出来。这个叙 罗松遇到了一件幸运的事情。有一次正当他在孟斐斯穿看红袍在市场上的时 候,当时还是刚比西斯的一名侍卫而且根本不是重要人物的大流士看到了 他。大流士很喜欢他的红袍,于是便走过来要向他购买。叙罗松看到大流士 的态度恳切,他很幸运地受了感动,于是对他说:“我是不想卖我的外袍的, 但如果无论如何你一定要它的话,那你就不必给钱拿了去罢”。大流士同意 这样做,就把红袍拿走了。但是叙罗松以为,他是由于他那好心肠才失掉了 自己的红袍的。

    (140)但是后来在刚比西斯逝世,七个人起来反抗玛哥斯僧而在这七个人 当中又是大流士登上了王位的时候,叙罗松才知道继承王位的人原来是他过 去在埃及因受到请求而赠送之以红袍的那个人。于是他便到苏撒去,坐在王 宫的门口,说他曾是大流大的恩人当中的一个。当门卫把这话带给国王的时 候,国王问道:“可是我能够有什么应当感谢的希腊恩人呢?在我做国王的 短短时期中间,几乎没有一个希腊人到我这里来过,而且应当说,我也没有 需要任何希腊人的地方。虽然如此,还是把他带进来,以便让我了解一下他 是什么意图吧”。门卫把叙罗松带了进来,使他站在他们的面前;于是通译 问他是何许人,他做了什么事而自称是国王的恩人。于是叙罗松便把关于红 袍的事情说了一遍并说他就是赠袍给国王的人。大流士说:“最慷慨大度的 人,你是在我尚未当权时赠送物品给我的那个人;如果那只是一件不值钱的 物品,但那和一个人在今天赠给我一件重大的礼物是同样值得感谢的。为了 报答你,我要赠给你大量的金银,这样你就可以晓得,你是决不会为了给叙 司塔司佩斯的儿子大流士做好事而后悔的”。叙罗松回答说:“国王,我所 要求的既不是金,也不是银,我只要求你为我夺回我的祖国萨摩司,因为我 的兄弟波律克拉铁斯在那里被欧洛伊铁司杀死了,而我们的奴隶却成了那里 的统治者。不经过流血和奴役而把萨摩司还给我罢”。

    (141)大流士听了这话之后,便派出了一支军队,由七人中的一人欧塔涅 斯率领看,大流士并嘱告他完全按着叙罗松的意思去做,于是欧培涅斯便来 到了海岸并准备了他的军队。

    (142)现在统治着萨摩司的是迈安多里欧司的儿子迈安多里欧司,波律克 拉铁斯过去曾任命他为自己的代理人。这个迈安多里欧司本想大公无私地行 动,但是他并不能这样做。因为当他听到波律克拉铁斯的死亡的消息时,他 首先便给自由守护神宙斯设立了一个祭坛并且在它的四周划出了一个圣域, 这在城郊地方是仍然可以看到的;这样做了之后,他便把全体市民召来集会, 这样对他们说:“你们已知道,只有我才能处理波律克拉铁斯的王笏和全部 领土;而且我有权力成为你们的统治着。然而只要我有这个权力,我自己就 决不会做那如发生别人身上我便认为是应当非难的事情。我从来就不喜欢波 律克拉铁斯盛气凌驾于和他自己一样的人们的头上,其他任何人如果这样 做,我也是同样的看法。在波律克拉铁斯身上所注定的命运已经应验了;至 于我自己,我要你们分享全部主权,我是主张平等的。作为我个人的特权, 我只要求把波律克拉铁斯的财产中的六塔兰特黄金放在一边供我使用,此外 我和我的子孙还要担任我已经为之建立了神殿的自由守护神宙斯的祭司职 位;除了上述的两件事之外,现在我就把自由给你们”。这便是迈安多里欧 司对萨摩司人所作的保证。但是他们当中的一个人起来回答说:“然而你是 谁呢?你并不配统治我们,因为你是一个出身卑贱的恶棍流氓。我看还是先 把你所经手的金钱交代一下吧”。

    (143)讲这话的是市民中的一位知名之士,叫做铁列撒尔科司的。但是迈 安多里欧司看到,如果他把主权放弃的话,那另外一个人也会代他而使自己 成为僭主的,于是他决定不放弃统治权。他退入城砦之后,便分别地把每个 人召请来,表面上好象是向这个人交代账目,但这些人来到之后,他便把他 们捉住监禁起来了。迈安多里欧司把他们下狱之后,不久他自己也病倒了。 他的兄弟律卡列托司认为他会死掉而自己可以更容易地变成萨摩司的统治 者,因而他便把所有的囚犯都给杀死了。看来,他们并不是希望自由的。

    (144)因此当波斯人把叙罗松带回萨摩司时,没有一个人反抗他们,只有 迈安多里欧斯自己和与他一党的人们表示愿意在缔约的条件之下离开这个 岛;欧培涅斯同意这样做,而在条约缔定之后,最主要的波斯人士便坐到他 们安置在城砦对面的坐位上面了。

    (145)但僭主迈安多里欧司有一个名叫卡里拉欧斯的、精神有些错乱的兄 弟,他由于某种冒犯的行为而被监禁在牢狱里。这个人听到了发生的事情, 并由于从狱里的窗口向外看而看到波斯人安静地坐在那里。于是他便高声呼 叫说,他要和迈安多里欧司讲话。他的兄弟听见他之后,便下令把卡里拉欧 斯放出来带到他面前来。他刚刚被带来,立刻便破口责骂和咒诅迈安多里欧 司,为的是想说服迈安多里斯司,要他进攻波斯人。他喊道:“卑鄙无耻的 人,你把你那无辜的兄弟监禁在牢狱里:而当你看到波斯人把你赶出使你无 家可归的时候,虽然你可以非常容易地制服他们,为什么你却没有勇气为你 自己报仇呢?如果你自己害怕他们的话,那么就把你的外国的亲卫兵交拾 我,我会因他们到这里来而惩罚他们的;至于你呢,我会把你安全地送出这 个岛的。”

    (146)卡里拉欧斯所说的话就是这样。迈安多里欧司接受了他的意见。我 想,他这样做并不是由于他竟愚蠢到认为他有足够的力量战胜国王,而是因 为他不满意于使叙罗松会不费什么气力便安全无伤地收回萨摩司。因此他想 激怒波斯人并因此在使萨摩司投降之前尽可能地削弱萨摩司,因为他知道的 很清楚,如果波斯人受到伤害的话,他们对萨摩司人就会十分愤怒。此外, 他还知道,不管在什么时候只要他愿意,他都可以使自己安全地离开该岛, 因为他从城砦修了一条通向大海的暗道。于是迈安多里欧司便从萨摩司乘船 出发;但是卡里拉欧斯却把所有的佣兵武装起来,打开了城门并命令佣兵向 波斯人攻击。波斯人认为现在已经充分达成协议,因而出其不意地受到了攻 击:佣兵们向他们攻击,把那些有乘轿椅的身分的、最高贵的波斯人全给杀 死了。这时,波斯其余的兵力赶来增援,对佣兵施加压力,把他们赶到城砦 里面去了。

    (147)波斯的将军欧塔涅斯看到波斯人受到了巨大的损失,便故意不再去 记起大流士在他离开时给他的不杀或奴役任何一个萨摩司人,而是把该岛完 整无伤地交给叙罗松的命令;他下令他的军队把所拿获的人,不分成年男子 还是男孩子一律杀死。于是一部分波斯人便围攻城砦,而另一部分波斯人则 把他们不拘是在神殿内或在神殿外其他地方遇到的人一律杀死。

    (148)迈安多里欧司从萨摩司逃出来之后,就乘船到拉凯戴孟去了。而当 他到达那里并搬下了他从国内带来的物品之后,他照例是把他的金杯和银杯 都陈列出来,而当他的从仆正在打磨这些杯的时候,他便和斯巴达的国王, 阿那克桑德里戴斯的儿子克列欧美涅斯会谈,并把他带到自己的住所来。克 列欧美涅斯一看到杯子,就大为叹赏起来,于是迈安多里欧司便劝他说,他 愿意要多少杯子,便可以拿去多少杯子。迈安多里欧司向他劝说了两三次。 在这一点上,克列欧美涅斯是非常公正廉洁的,他并不愿接受他的礼品;但 是看到迈安乡里欧司会用赠杯的办法从其他拉凯戴孟人那里得到帮助,于是 他便到五长官那里去,告诉他们说,如果这个萨摩司的外国人能离开斯巴达 那是最好不过了,因为恐怕他会说服克列欧美涅斯本人或其他斯巴达人去做 坏事。五长官同意了他的意见,于是向迈安多里欧司发出通牒把他赶走了。

    (149)再说萨摩司。波斯人把那里的居民杀光之后,便把一个无人的岛交 给叙罗松了。但是后来波斯的将军欧塔涅斯又帮他向那里殖民,他所以这样 做是因为他作了一个梦,又因为他的生殖器得了一种病。

    (150)另一方面,当海军到萨摩司去的时候,巴比伦人又叛变了;他们的 叛变是经过非常周密的准备的。原来在玛哥斯僧的统治和七人的政变的时 期,他们便利用了有利的时机和混乱的情况作了对付围攻的准备。但是我不 知道为什么竟没有一个人察觉到这件事。终于他们公开地叛变了并且做出了 这样的事情:他们把所有他们的母亲送走,再从他们每人的家中随便选出一 名妇女来给他们做面包;其余的妇女则他们就把她们集中起来给窒死,为的 是不叫她们消耗他们的面包。

    (151)当大流士听到这个消息的时候,他便纠合了他的全部军队,直指巴 比伦进发了。他到达巴比伦之后,便把那个城市包围了。但是巴比伦对他的 所作所为丝毫不放在心上。他们登上了城墙上的塔楼,用手势和言语嘲笑侮 辱大流士和他的军队。他们中间有一个人说:“波斯人,你们为什么不离开 而坐在那儿?等骡子产子的时候,你俩才能攻下我们的城市哩”。巴比伦人 所以这样讲,是因为他们相信骡子是不会产子的。

    (152)一年又七个月的时光过去,大流士和他的全军已经苦于总是不能攻 下巴比伦了。大流士在这件事上确是使用了每一种计策和方法。他也试用了 居鲁士当初攻取该城的战略以及每种其他的战略和方法,但仍然毫无成果; 因为巴比伦人是毫不松懈地守卫着,故而他不能攻克它。

    (153)但是在围攻的第二十个月,搞垮了玛哥斯僧的七人之一的美伽比佐 斯的儿子佐披洛司遇到了一件不可思议的事情。他的一个驮载兵粮的骡子生 产了。佐披洛司本人不相信这个消息;但是当他亲眼看到了幼骡的时候,他 便下令那些看到这事的人不要告诉任何人而自己考虑起来。于是他记起了在 围攻开始的时期巴比伦人曾说只有在骡子产子的时候他们的城才能攻克,因 此从他记忆当中的巴比伦人的话来看,他相信巴比伦是可以攻克的。因为他 以为,那个人所讲的话以及他的骡子产子,这都是有神意在其中的。

    (154)他既然相信巴比伦注定会陷落,于是他便到大流士这里来问他,他 是否极为重视攻取该城这样一件事。当他确信事情是这样的时候,他继而便 想拟定一个计划,可以使他一个人把该城攻陷。因为在波斯人中间,立功的 人是很受尊敬的并且会使他成伟大的人物。除去他先残害自己然后再逃到巴 比伦人那里去的办法之外,他想不出任何可以控制该城的办法了;但他认为 把自己弄成残废,这对他来说并不算一回事的。于是他割下自己的鼻子和耳 朵,剃光了自己的头以便达到毁容的目的并痛笞了自己,然后就这样到大流 士这里来了。

    (155)大流士看到这样一位知名之士竟然受到了这样的糟蹋,心中非常难 过。他大声叫唤着从座位上跳了下来,问佐披洛司是谁把他糟蹋到这种地步, 为什么。佐披洛司回答说:“除了你以外任何人也不能使我落到这个地步。 国王!不是别人,而正是我自己才把我自己弄成这样的。我不能忍受波斯人 受到亚西里亚人的侮弄”。大流士回答说:“可怜的人,如果你说你把自己 弄成残废是为了攻克城池,那你不过是把一个美好的名声加到一件蠢事上面 去罢了。愚蠢的人!你以为你这样毁了自己之后,我们的敌人就立刻会投降 么?你这样毁你自己,这简直是发疯了”。佐披洛司说:“如果我告诉你我 打算怎样做的话,你便会禁止我这样做了。实陈上,是我自己考虑了之后才 这样做的。现在事情只在于你扮演你应扮的角色,这样巴比伦就是我们的了。 我要这个样子逃到他们城里去,假装告诉他们说是你把我弄成这个样子的; 而我想我会使他们相信这话是真的,从而能够得到统帅他们的军队的权力。 你呢,在我进城之后的第十天,切记从你那最不惜牺牲的那部分军队中选出 一千人来,把他们布置在谢米拉米司门门前。在那之后第七天,再为我在尼 尼微门门前布置两千人:而在这第七天之后的二十天,再在他们所谓的迦勒 底门门前布置四千人:开到城门前的所有的人,不管是谁,都不要叫他们带 匕首之外的任何武器,可是要把匕首交给他们。但在第二十天之后,立刻下 令你的其他军队进攻全部城墙并把波斯人布置在所谓倍洛斯门和奇西亚门的 前面。因为我想我将会立这样的大功,以致巴比伦人甚至会把他们城门的论 锁以及其他的一切都交拾我保管的;这之后,我和波斯人便可以做我们所需 要做的事情了”。

    (156)他带着这样的任务来到了城门,他转身向后面看,就仿佛他真是一 个逃亡者那样。当城上了望塔的卫兵看到他的时候,便跑下来,稍许打开了 城门,问他是什么人,为什么他跑来。他告诉他们说他是佐披洛司,是逃跑 到他们这里来的。听到这话之后,门卫便把他带到巴比伦人的领导人员那里 去,在那里他请他们看一下他的悲惨遭遇,不提自己毁了自己的面容而说使 他毁容的是大流士,因为看到他们无法攻克该城,他曾劝国王回师。他继续 对他们说:“巴比伦人,我这次来是要大大地帮你们的忙和大大地损害大流 士和他的军队和波斯人的;他这样地糟蹋我,因而他是不能不受惩罚的;对 于他的全部计划我是知道得非常详细的”。这就是他对巴比伦人讲的话。

    (157)当巴比伦人看到波斯最受尊敬的人的鼻子和耳朵被割掉而全身又 被打得血迹斑斑的时候,他们便深信他的话是真实的,是来真正帮助他们的, 故而准备答应给予他所要求的一切,这就是他自己能有一支军队。在从巴比 伦人那里得到这一支军队之后,他便按照他和大流士所构定的办法行事了。 在第十天,他领着巴比伦的军队出击,包围和杀死了他要大流士第一批布置 在那里的一千个人。巴比伦人看到他做的事已经和他讲的话相符合而非常欢 喜,因此他们准备无论怎样做都可以听他的吩咐。当约定的日子过去之后, 他再度率领一支巴比伦的精锐出击,又斩杀了大流士的军队两千人。当巴比 伦人看这第二次的战功时,没有人不在赞美佐披洛司了。等约定好的日子又 过去之后,他把他的士兵引到他指定的地点去,在那里他包围了四千人并把 他们杀死。在他这第三次功勋之后,佐披洛司便成了巴比伦的唯一的风云人 物:他成了他们军队的统帅和城墙的守备官。

    (158)可是,当大流士按照约定的计划进攻全部城墙的时候,那时佐披洛 司的背叛行为便完全显露出来了。因为当全城的人都登上城墙抗击大流士的 进攻的时候,他却打开了奇西亚和倍洛斯两个城门,把波斯人放进了城内。 看到了他的所作所为的那些巴比伦人便逃到他们称为倍洛斯的宙斯的神殿 去。那些没有看到这件事的人则都留在原地不动,直到他们也看出他们是怎 样被骗的时候。

    (159)这样,巴比伦就再一次被攻克了。大流士统治了巴比伦人之后,便 摧毁了他们的城墙,劫走了所有他们的城门(这都是居鲁士在第一次攻克巴比 伦时所没有做过的事情)。此外,他还磔死他们当中为首的大约三千人;至于 其他的人,他把他们的城还给他们住。随后,(既然象我上面所说的,巴比伦 人怕他们的粮食不够而窒杀他们自己的妇女)大流士便容许他们娶妻生子,办 法是指定每一邻近的民族都要送一批妇女到巴比伦去;这样集合起来的妇女 是五万人,这些妇女便是目前居住在该城的人们的母亲。

    (160)在大流士看来,除去居鲁士是任何波斯人所不能与之相比以外,佐 披洛司的功劳是在他之前和在他之后的任何人所不能望其项背的。据说大流 士曾多次宣布说,他宁可不要二十座巴比伦城,也不愿佐披洛司把自己残害 成这个样子。国王是非常敬重他的、每年他都把波斯人认为是最珍贵的礼物 送给佐披洛司并且要他终生治理巴比伦而不需纳税,此外他还把其他许多东 西送给佐披洛司。这个佐披洛司就是那曾在埃及指挥军队对雅典人和他们的 同盟军作战的那个美伽比佐斯的父亲;而美伽比佐斯的儿子则又是从波斯人 跑到雅典那里去的佐披洛司。

    第四卷

    (1)在攻克巴比伦之后,大流士便亲自率军向斯寄提亚人那里进发了。既 然亚细亚的人口众多,又可以从那里得到大量的收入,从而他想惩罚斯奇提 亚人,因为过去在他们进攻美地亚并打败了前来迎击他们的人们时,曾无理 地向他挑起了争端。原来斯奇提亚人,前面我已经说过,他们统治上亚细亚(波斯帝国的西部高原地带) 有二十八年。他们由于追踪奇姆美利亚人而侵入了亚细亚,并灭亡了美地亚 人的帝国,而美地亚人在斯奇提亚人到来以前,则是亚细亚的统治者。但是 当斯奇提亚人离家二十八年并在这样长久的时期之后返回故国的时候,却有 另一个和对美地亚作战同样艰苦的任务等待着他们。他们发现有一支大军和 他们对峙着,原来斯奇提亚妇女的丈夫既然长期不在故土,她们已经和她们 的奴隶同居了。

    (2)斯奇提亚人为了他们自己饮用的乳而把他们的奴隶的眼睛都给弄瞎 了(防止他们偷窃。瞎眼的奴隶的故事可能是来自斯奇提亚人对奴隶的某种称呼,不过被希腊人误解了);他们是这样做的。他们拿一种和横笛非常相似的骨管,把它们插入母马 的阴部并且用嘴来吹这种骨管,一些人在这边吹,另一些人则在那边挤奶。 他们说,他们这样做的理由是这样,他们这样吹是为了使母马的血管膨胀, 因此它的乳房便可以被压下来了。当马奶被挤出来之后,他们便把马乳倒到 一个很深的木桶里面去,并且叫奴隶站在木桶的四周来摇动桶里的马乳。浮 到马乳表面上的东西被作为最珍贵的东西取出来,留在桶下面的东西则被认 为是不大珍贵的东西。正是因为这个原故,斯奇提亚人才把他们的全部俘虏 的眼睛弄瞎,因为他们并不是耕地的人,而是游牧民族。

    (3)结果,当这些奴隶和斯奇提亚的妇女们所生的年轻一代长大起来并且 知道了他们的出身之后,他们便准备抗击从美地亚归来的斯奇提亚人了。首 先为了截断通向他们本国的道路,他们从陶利卡山到麦奥提斯湖(亚速海)的最阔的那 一部分挖了一道广阔的壕沟。随后,在斯奇提亚人武图攻进来的时候,他们 便列阵并出兵和他们交锋。虽然进行了多次的战斗,斯奇提亚人却毫无进展, 终于他们当中有一个人这样说:“斯奇提亚人,我们现在做的是什么事情! 我们现在正在对我们自己的奴隶作战。如果我们被他们杀死,我们的人数就 要减少;如果我们杀死他们,今后我们的奴隶就要减少了。 因此我的意见是我们最好抛掉我们的长枪和弓,各自手执马鞭和他们进 行肉搏。他们一看到我们手里拿着的武器,他们就以为他们是和我们能力相 同而身分也相同的人物,但他们若看到我们手里拿着的不是武器而是马鞭, 他们就会懂得他们原来是我们的奴隶;他们一经意识到这一点,就会经不住 我们的进攻而跑掉了。”

    (4)斯寄提亚人听了这个意见并按照这个意见实行了。他们的敌人被他们 的行动所吓倒,以致忘掉战斗,立刻逃跑了。这样斯奇提亚人便统治了亚细 亚,而他们在再度给美地亚人驱出之后,便用这样的办法又回到了他们的祖 国。大流士由于他们的所做所为而想向他们复仇,于是纠合了一支大军向他 们进攻。

    (5)斯奇提亚人自称是世界上一切民族当中最年轻的民族。根据他们自己 的说法,他们是这样兴起的。在当时是一片荒漠无人的沙漠地带的这块地方, 最初有一个名叫塔尔吉塔欧斯的男子。他们传说这个人的双亲是宙斯和包津斯铁涅司河(第聂伯河)的一个女儿:人们虽然如此说,但我是不相信这个说法的。据说 塔尔吉塔欧斯的身世就是这样:他有三个儿子里波克赛司、阿尔波克赛司, 最小的是克拉科赛司。传说在他们统治的时期有一些用具从上天落到斯奇提 亚来,这些用具全是黄金制造的,它们是锄、轭、斧和杯他们三人中最年长 的一个看到之后便走近来想取得它们。但是在他走近时黄金开始燃烧起来, 于是他便躲开不敢再去动了;于是第二个走近来,黄金仍然燃烧起来。当这 两个人由于黄金燃烧而被赶跑的时候,第三个儿子走近来,于是黄金便由于 他走近而停止燃烧了;因此他便把黄金带回了自己的家。他的两个哥哥看到 了这种情况之后,便同意把这全部王权交给最年轻的兄弟了。

    (6)据说,斯奇提亚人当中称为奥卡泰伊族的人们便是里波克赛司的后 裔。卡提亚洛伊族和特拉司披那司族则是第二个兄弟阿尔波克赛司的后裔。 称为帕辣拉泰伊族的王族则是幼子的后裔。但全体民族则根据国王的名字而 称为斯科洛托伊人。斯奇提亚人只是希腊人称呼他们用的名字。

    (7)这便是斯奇提亚人关于他们自己的起源的说法。他们以为从他们的第 一个国王塔尔吉塔欧斯那时到大流士之前来进攻他们的国土,这段时期不多 不少正是一千年。历代的国王均极其小心翼翼地保存这些神圣的金器,每年 他们都向它奉献盛大的牺牲以求恩宠,在节日的这一天如果看守神圣的金器 的人在露天睡着了的话,则斯奇提亚人就说这个人是不会活过当年的。他们说,正是由于这个缘故,人们便拾他一块足够他在一天之内能够乘马各处驰 骋的土地。由于国土幅员的广大,克拉科赛司给他的儿子建立了三个王国, 而金器则交给其中最大的那个王国保存。他们说,斯奇提亚上方居民的北边, 由于有羽毛自天降下的缘故(见本卷第三一节),没有人能够看到那里和进入到那里去。大地和 天空到处都是这种羽毛,因而这便使人不能看到那个地方了。

    (8)斯奇提亚人关于他们自己、关于他们上部地区的地方的说法就是这 样。但是在黑海地方居住的希腊人却又有如下的说法。根据他们的说法,海 拉克列斯驱赶着该律欧涅斯的牛到达当时是一片沙漠,但现在却为斯奇提亚 人所居住的这个地方。该律欧涅斯定住在黑海之外(黑海以西),栖 居在海拉克列斯柱之外,欧凯阿诺斯中离伽地拉不远、希腊人称之为埃律提 亚岛的地方。至于欧凯阿诺斯,则希腊人说,它发源于日出的地方而周流全 世界,但他们并不能证实这个说法是真实的。海拉克列斯从那里来到今日称 为斯奇提亚的地方。 (由于这里既有暴风又有严寒)他便披着他的狮子皮睡下了,而当他睡着 的时候,他那些驾着战车并正在吃草的牝马,却神奇地失踪了。

    (9)海拉克列斯醒来之后,他便去寻找他的那些牝马,他在那个地方到处 跋涉,最后他到达一个称为叙莱亚的地方,他在那个地方的一个洞窟里发现 了一个半女半蛇的奇怪生物;在腰部以上是一个女子,腰部以下则是一条蛇。 当他看见她的时候是感到惊异的,他问她,她是否在什么地方看到他的那些 迷失了道路的牝马。她回答说这些牝马是在她的手里,但若是海拉克列斯不和她交媾她是不会还给他的。为了取得这个报酬,海拉克列斯就和她交媾了。 然而,他虽然很想取了马回去,但她却拖延归还马匹,以便可以尽可能长久 地使海拉克列斯与她同栖。但终于她交还了牝马,但是她向海拉克列斯说: “这些牝马迷路到这里来的时候,是我在这里为你救了它们的。而你对于我 做的这件事也给了酬报,因为在我的肚子里有了你的三个儿子。现在请你告 诉我,这三个儿子长大成人的时候,我应该怎样办。是我要他们住在这里,(因 为我是这个国家的女王)还是我把他们打发到你那里去”。她是这样问的,而 据说海拉克列斯是这样回答她的:“当你看到这些男孩子长大成人的时候, 按照我所吩咐的去做你便不会犯错误;其中不管是谁,如果你发现他这样地 拉弯了这张弓并且用这个腰带这样地系在自己身上,那就要他居留在这里, 凡是做不到我所吩咐的事情的,就把他们从这个地方送出去好了。你这样做, 就不但做到了我所吩咐的事情,而且还会使自己得到快乐的”。

    (10)于是他便拉弯了他的一张弓(因为海拉克列斯从来一直带着两张弓) 并且把腰带也拿给她看,并把弓和带扣的尖端有一只金盏的腰带给了她,而 在给了她之后,他便离开了。但是当她所生的儿子们长大成人时,她便给他 们起了名字,其中的第一个叫做阿伽杜尔索斯,第二个叫做盖洛诺斯,而最 年幼的那个儿子叫做司枯铁斯;此外,她想起了对她的吩咐,于是她便按照 吩咐她所做的做了。她的两个儿子阿伽杜尔索斯和盖洛诺斯由于不能完成指 定给他们的任务因此被母亲赶跑而离开了本国,然而最年轻的司枯铁斯却完 成了指定的任务而留在国内。所有后来斯奇提亚的国王都是海拉克列斯的儿 子司枯铁斯的后裔,而且正是由于这个金盏的关系,斯奇提亚人直到今天还 在腰带上带着金盏。因此,只有这一件事是司枯铁斯的母亲为他做的。黑海 沿岸地带居住的希腊人的说法便是这样。

    (11)此外还有另一个传说,这个传说的说法是我个人特别认为可信的。 这种说法的大意是这样:居住在亚细亚的游牧的斯奇提亚人由于在战争中战 败而在玛撒该塔伊人的压力之下,越过了阿拉克塞斯河,逃到了奇姆美利亚 人的国土中去(因为斯奇提亚人现在居住的地方据说一向是奇姆美利亚人的 土地),而奇姆美利亚人看到斯奇提亚人以排山倒海的军势前来进击,大家便 集会了一次以商议对策,在会议上他们的意见是有分歧的;双方都坚持自己 的意见,但王族的意见却是更要英勇些。民众认为他们应该撤退,因为他们 完全没有必要冒看生命的危险来与这样的一支占绝对优势的大军相对抗,但 是王族则主张保卫他们的国家而进行抗击侵略者的战争。任何一方都不能为 对方所说服,民众不能为王族所说服,王族也不能为民众所说服;因为一方 打算不战而退并把国家交拾自己的敌人,但是王族却决心在他们自己的土地 上战死而不和民众一同逃跑,因为他们想到他俩过去曾何等幸福过,现在如 果他们逃离祖国的话,他们会遭到怎样的厄运。既然都下了这样的决心,他 们便分成了人数相同的两方而交起锋来,直到王族完全给民众杀死的时候。 然后奇姆美利亚人的民众便把他们埋葬在杜拉斯河的河畔(他们的坟墓直到 今天还可以看到)。埋葬之后,他们便离开了他们的国土。斯奇提亚人到这里 来攻取它的当时,国内已经没有人了。

    (12)直到今天在斯奇提亚还残留着奇姆美利亚的地墙和一个奇姆美利亚 的渡口,还有一块叫做奇姆美利亚的地方和一个称为奇姆美利亚的海峡。此 外,还可以非常清楚地看到,奇姆美利亚人在他们为躲避斯奇提亚人而逃住 亚细亚时,确也曾在今日希腊城市西诺佩建城所在的那个半岛上建立了一个 殖民地;而且显而易见的是,斯奇提亚人曾追击他们,但是迷失道路而攻入 了美地亚。原来奇姆美利亚人是一直沿着海岸逃跑的,但斯奇提亚人追击时 却是沿着右手的高加索前进的,因此他们最后竟把进路转向内地而进入了美 地亚的领土。这里我说的是希腊人和异邦人同样叙述的另一种说法。

    (13)另一方面,普洛孔涅索斯人卡乌斯特洛比欧斯的儿子阿利司铁阿斯 在他的叙事诗里又说,当时被波伊勃司所附体的阿利司铁阿斯一直来到了伊 赛多涅斯人的土地。在伊赛多涅斯人的那面住看独眼人种阿里玛斯波伊人, 在阿里玛斯波伊人的那面住看看守黄金的格律普斯,而在这些人的那面则又 是领地一直伸张到大海的极北居民。除去叙佩尔波列亚人之外,所有这些民 族,而首先是阿里玛斯波伊人,都一直不断地和相邻的民族作战;伊赛多涅 斯人被阿里玛斯波伊人赶出了自己的国土,斯奇提亚人又被伊赛多涅斯人所 驱逐,而居住在南海(这里指黑海——译者)之滨的奇姆美利亚人又因斯奇提 亚人的逼侵而离开了自己的国土。因此,就是阿利司铁阿斯的关于这个地方 的这个说法和斯奇提业人的说法也是不一样的。

    (14)我已经说过写作这样的诗的这个阿利司铁阿斯是什么地方的人了, 现在我再说一说我在普洛孔涅索斯和库吉科司所听到的、关于这个人的故 事。根据他们的说法,在身分上和任何市民同样高贵的阿利司铁阿斯一天曾 进入普洛孔涅索斯的一家漂布店并死在那里了。于是漂布匠便把他的店门关 上,跑出去给死者的亲属去报信。阿利司铁阿斯的噩耗于是传遍了全城,但 是从阿尔塔开市来的一个库吉科斯人却不相信这个消息,而说他遇见了到库 吉科斯去的阿利司铁阿斯并且和他谈过话。正当他激辩的时候,死者的亲属 带着下葬时所需的一切来到漂布店来了。但是当店门打开的时候,却没有看 到活的或是死的阿利司铁阿斯。可是在那件事发生之后第七年,阿利司铁阿 斯出现在普洛孔涅索斯并且写下了希腊人称为阿里玛斯佩阿的叙事诗,诗成 之后,他便再一次失踪了。

    (15)这便是在这两个城市里所传说的故事。在阿利司铁阿斯第二次失踪 之后二百四十年,意大利的美培彭提昂人遇到了下面的事情。这年代则是我 在普洛孔涅索斯和美塔彭提昂两地计算出来的。根据美塔彭提昂人的说法, 阿利司铁阿斯出现在他们的国土,并且命令他们拾阿波罗神建设一个祭坛, 在祭坛旁边再立一座上面刻着普洛扎涅索斯人阿利司铁阿斯的名字的象;因 为他告诉他们说,虽然在全体意大利人当中,阿波罗只访问过他们的国土, 而现在虽然是阿利司铁阿斯,在当时陪看神的时候却是一只乌鸦的他本人, 是和神一同来的。他说了这些话之后,便消失不见了。他们说,美塔彭提昂 人于是派人到戴尔波伊去,问神这个人的幽灵的出现是什么意思。而佩提亚 在回答时,命令他们按照幽灵的话去做,她说他们如果这样做便可以生活得 更幸福些。他们得到了神的回答之后,便按照幽灵所吩咐的做了。而现在, 在那里的阿波罗神象的近旁,便立着一座上面有阿利司铁阿斯的名字的象。 在象的周围有一丛月桂;象是建立在市场上的。关于阿利司铁阿斯,我说得 已经够多了。

    (16)至于我的这部分历史所耍敌到的地区以北的地方,就没有人确切地 知道了。因为我找不到任何一个人敢说他亲眼看见过那里。原来即使是我不 久之前提到的那个阿利司铁阿斯,即使是他,也不曾说他去过比伊赛多涅斯 人的地区更远的地方,甚至在他的叙事诗里也没有提过。但是他提到北方的 事情时,他说他也是听人们说的,说是伊赛多涅斯人这样告诉他的。但只要 是我们能够听得到关于这些边远地带的确实报导,我是会把它们全部传达出 来的。

    (17)从包律斯铁涅司人的商埠(这地方位于全斯奇提亚沿海的正中)向 北,最近的居戾是希腊斯奇提亚人也就是卡里披达伊人。而在他们的那面, 是另一个称为阿拉佐涅斯的部落。这个部落和卡里披达伊人,虽然在其他的 事情上有着和斯奇提亚人相同的风俗,但他们却播种和食用麦子、洋葱、大 蒜、扁豆、小米。在阿拉佐涅斯人的上方,住着农业斯寄提亚人,他们种麦 子不是为了食用,而是为了出售。在这些人的上方是涅岛里司人,涅岛里司 人的上方,据我们所知,乃是无人居住的地带。以上乃是沿叙帕尼司河,包 律斯铁涅司河以西的诸民族。

    (18)越过包律斯铁涅司河,则离海最近的是叙莱亚(叙莱亚是森林地带的意思,第聂伯河下游的左岸曾是富产林木)人。在这些人的上方 住着农业斯奇提亚人,居住在叙帕尼司河河畔的希腊人则称他们为包律司铁 尼铁司,但他们自己则自称为欧尔比亚市民。这些农业斯奇提亚人所居住的 地方,向东走三天的路程便到达庞提卡佩司河,向北则溯包律斯铁涅司河而 上可行十一日;从这里再向北则是一大片无人居住的土地了。从这片荒漠之 地再向上,便是昂多罗帕哥伊人(食人者,参见本卷第一○六节)居住的地区,这些 人和斯奇提亚人完全不同,他们形成一个独特的民族。从他们再向上,则是 道道地地的沙漠了,而据我们所知,那里是没有任何一个民族居住的。

    (19)但是从斯奇提亚农民的地区向东,渡过庞提卡佩司河,你便走到斯 奇提亚游牧民的地区了。他们既不播种,又不耕耘的。除去叙莱亚的地区以 外,所有这一带地方都是不长树木的。这些游牧民的居住地向东一直扩展到 盖罗司河,这之同的距离是十四天的路程。

    (20)在盖罗司河的那一面,则是被称为王族领地的地方,住在这里的斯 奇提亚人人数最多也是勇武,他们把所有其他的斯奇提亚人都看成是自己的 奴隶。他们的领土向南一直伸展到陶利卡地方,向东则到达盲人的儿子们所 挖掘的壕沟以及麦奥提斯湖上称为克列姆诺伊的商埠。而他们的一部分则 伸展到塔纳伊司河。在王族斯奇提亚人的上部即北方住着不是斯奇提亚人, 而是属于另一个民族的美兰克拉伊藉伊族(意为黑衣族)。而过去美 兰克拉伊诺伊族所居住的地方,则据我们所知,是一片无人居住的沼泽地带了。

    (21)越过塔纳伊司河之后,便不再是斯奇提亚了;渡河之后,首先到达 的地区就是属于撒岛罗玛泰伊人的地区,他们的地区开始在麦奥提斯湖的凹 入的那个地方,向北扩屡有十五天的路程。在这块地方是既没有野生的、也没有人工栽培的树木的。在他们的上方的第二个地区住着布迪诺伊人,他们 居住的地方到处长着各种茂密的树木。

    (22)在布迪诺伊人以北,在七天的行程中间是一片无人居住的地区。过 去这一片荒漠地带稍稍再向东转,住着杜撒该塔伊人,这是一个人数众多而 单独存在的民族,他们是以狩猎为生的。紧接着这些人并在同一地区还住着 一个叫做玉尔卡依的民族。这些人也是以狩猎为生的,生活的方式则是这样。 猎人攀到一株树上去,坐在那里伺伏着,因为那里到处都是密林,他们每个 人手头都备有一匹马和一只狗,他们把这四马训练得用肚子贴着地卧在那里以便于跨上去。当他从树上看到有可猎取的动物的时候,他便射箭并策马 追击,猎狗也紧紧地跟在后面。越过他们居住的地方再稍稍向东,则又是斯 奇提亚人居住的地方了,他们是谋叛了王族斯奇提亚人之后,才来到这里的。

    (23)直到这些斯奇提亚人所居住的地区,上面所说到的全部土地都是平 原,而上层也是很厚的,但是从这里开始,则是粗糙的和多岩石的地带了。 过去很长的这一段粗糙地带,则有人居住在高山的山脚之下,这些人不分男 女据说都是生下来便都是秃头的。他们是一个长看狮子鼻和巨大下颚的民 族。他们讲着他们自己特有的语言,穿着斯奇提亚的衣服,他们是以树木的 果实为生的。他们借以为生的树木称为“彭提孔”,这种树的大小约略与无 花果树相等,它的果实和豆子的大小相仿佛,里面有一个核。当这种果实成 熟的时候,他们便用布把它的一种浓厚的黑色汁液压榨出来,而他们称这种 汁液为阿斯库。他们舐食这种汁液或是把它跟奶混合起来饮用,至于固体的渣滓,他们就利用来做点心以供食用。由于那个地方的牧场不好,因此他们 只有为数不多的畜类。他们每人备居住在一棵树下,到冬天刚在树的四周围 上一层不透水的白毡,夏天便不用白毡了。 (由于这些人被视为神圣的民族),因此没有人加害于他们。他们也没有 任何武器。在他们的邻国民众之间发生纠纷时,他们是仲裁者。而且,任何 被放逐的人一旦请求他们的庇护,这个人便不会受到任何人的危害了。他们 被称为阿尔吉派欧伊人。

    (24)因此,直到这些秃头者所居住的地方,这一带土地以及居住在他们 这边的民族,我们是知道得很清楚的。因为在斯奇提亚人当中,有一些人曾 到他们那里去过,从这些人那里是不难打听到一些消息的。从波律斯铁涅司 商埠和黑海其他商埠的希腊人那里也可以打听到一些事情。到他们那里去的 斯奇提亚人和当地人是借着七名通译,通过七种语言来打交道的。

    (25)大家所知道的地方,就到以上的人们所居住的地带为止。但是在秃 头者的那一面情况如何,便没有人确实地知道了。因为高不可越的山脉遮断 了去路而没有一个人曾越过这些山。这些秃头者的说法,我是不相信的。他 们说,住在这些山里的,是一种长着山羊腿的人,而在这种人的居住地区的 那一面,则又是在一年当中要睡六个月的民族。这个说法我认为也是绝对不 可相信的。但是在秃头者以东的地方,则我们确实知道是住着伊赛多涅斯人。 不拘是秃头族,还是伊赛多涅斯人,除去他们自己所谈的以外,在他们北方 情况如何我们是什么也不知道的。

    (26)据说伊赛多涅斯人有这样的一种风俗。当一个人的父亲死去的时 候。他们所有最近的亲族便把羊带来,他们在杀羊献神并切下它们的肉之后, 更把他们主人的死去的父亲的肉也切下来与羊肉混在一起供大家食用。至于 死者的头,则他们把它的皮剥光,擦净之后镀上金:他们把它当作圣物来保 存,每年都要对之举行盛大的祭典。就和希腊人为死者举行年忌一样,每个 儿子对他的父亲都要这样做。至于其他各点,则据说这种人是一个尊崇正义 的民族,妇女和男子是平权的。

    (27)因此,这些人我们也是知道的,但是在这些人以北的情况,则伊赛 多涅斯人说过独眼族和看守黄金的格律普斯的事情。这是斯奇提亚人讲的, 而斯奇提亚人则又是从他们那里听来的;而我们又把从斯奇提亚那里听来的 话信以为真并给这些人起一个斯奇提亚的名字,即阿里玛斯波伊人。因为在斯奇提亚语当中,阿里玛(ǎριμα)是一,而斯波(σποû)是眼睛的意思。

    (28)以上所提到的一切地方都是极其寒冷的,一年当中有八个月都是不 可忍耐的严寒;而且在这些地方,除去点火之外,你甚至是无法用水合泥的。 大海和整个奇姆美利亚海峡也都是结冰的,而在壕沟里边这面居住的斯奇提 亚人则在冰上行军并把他们的战车驱过那里攻入信多伊人的国土。那里既然 有八个月的冬天,可是其余的四个月也是寒冷的。这里的多天和其他地区的 冬天有所不同。在别的地方的雨季,这里几乎不下什么雨,可是在整个夏季 里,这里的雨却又下个不停。而当其他地方打雷时,这里没有,可是到夏天 这里却又有很多的雷。如果在冬天有雷的话,则他们就会感到惊讶,以为有 什么事情要发生了。同样,如果有地震的话,则不拘是在夏天还是在冬天, 斯奇提亚人都把它看成是一种预兆。斯奇提亚的马经受得住当地的严冬,但 骡子和爐子却都绝对经受不住;可是在其他地方,骡子和爐子经受得住严寒, 但马若是站在严寒里不动的话却会给冻伤的。

    (29)在我看来,正是由于这个原因,那无角一类的牛在斯奇提亚才不长 角的。荷马在“奥德赛”里有一句诗可以证明我的判断不差,这句诗是:羊 羔生下来不久额上就长角的利比亚地方。从这句诗可以正确地看出来,在热 带的地方角生长得快,而在寒冷的地方家畜几乎不长角,或根本不长角。

    (30)因此,由于寒冷的关系,在斯奇提亚才有这样的现象发生。然而我 个人觉得不可索解的(因为实际上,我的历史从一开头便一直想把穿插的事件 加进去),是在整个埃里司领,尽管那里并不冷,也没有任何显明的原因,却 不能生骡子。埃里司人他们自己说,他们那里不生骡子是由于一次咒诅的原 故。但只要是牝马怀胎时期快到的时候,他们便把它们赶到邻国的土地上去, 然后再把爐子也赶到邻国的土地去使它们交配。在牝马怀孕之后,他们再把 它们赶回国内。

    (31)但是关于斯奇提亚人所说的、充满空中从而使任何人都不能够看到 或穿越到那边的土地上去的羽毛,我的看法是这样。在那个地方以北,雪是 经常下的,虽然在夏天,不用说雪是下得比冬天少的。凡是在自己的身边看 过下大雪的人,他自己是会了解我这话的意思的,因为雪和羽毛是相象的。 而这一大陆北方之所从荒漠无人,便是由于我所说的、这样严寒的冬天。因 此,我以为斯奇提亚人和他们的邻人在谈到羽毛时,不过是用它来比喻雪而 已。以上我所说的,就是那些据说是最辽远的地方。

    (32)至于极北地区的居民,不拘是斯奇提亚人还是这些地方的其他任何 居民都没有舍诉过我们任何事情,只有伊赛多涅斯人或者谈过一些。但是在 我看来,甚至伊赛多涅斯人也是什么都没有谈。因为什么呢,原来,若不是 这样的话,斯奇提亚人也会象他们提到独眼族时一样地提到他们了。但是赫 西奥德曾谈到极北居民,荷马在他的叙事诗埃披戈诺伊(指在底比斯阵亡的七位英雄的儿子)里,如果这果真是荷马的作品的话,也提到过极北居民。

    (33)但是关于他们的事情,狄罗斯人谈的比其他任何人都要多得多。 他们说,包在麦草里面的供物都是从极北居民那里搬到斯奇提亚来的。 当它们过了斯奇提亚之后,每一个民族便依次从他们的邻人那里取得它们, 一直带到亚得里亚海,这是它们的行程的最西端。从那里又把它们向南传送, 在希腊人当中第一个接受它们的是多鐸那人。从多鐸那人那里又下行到玛里阿科斯湾,更渡海到埃乌波亚。于是一个城邦便传到另一个城邦而一直到卡 津司托斯;在这之后,却略拉了安多罗斯,因为卡律司托斯人把它们带到铁 诺斯,而铁诺斯人又把它们带到狄罗斯的。因此,他们说,这些供物便来到 了狄罗斯。但是第一次送供物的时候,极北居民派了两名少女与供物同行, 狄罗斯人称这两名少女为叙佩罗凯和拉奥迪凯;极北居民为了保护二人在旅 途上的安全,他们还派出了同国的五名护卫,这五名护卫现在称为佩尔佩列 埃斯,他们在狄罗斯是很受尊敬的。但是当极北居民发现他们派出去的人们 根本没有回来的时候,他们就觉得如果他们派出去的人总是不能接回来,那 真是十分伤脑筋的事。因此他们便想了这样一个办法。他们把供物用麦草包 起来带到国境的地方去,然后请求他们的邻族从自己本国传送到下面的一个 国家去;而据说供物便用这样的办法送到了狄罗斯。我自己便知道与这种传 送供物的方法相类似的一种风俗。这就是当色雷斯和派欧尼亚的妇女向女王 阿尔铁米司神奉献牺牲时,她们也是使用麦草的。

    (34)这便是我所知道的她们所做的事。为了纪念死在狄罗斯的、从极北 地方来的少女,狄罗斯的少女和男孩子都剪了自己的头发。少女在结婚之前, 先剪下一束头发,而把这束头发卷在卷线竿上之后,便把它放到极北地方的 少女的墓上(她们的墓在阿尔铁米司神殿入口的左手,上面罩着一株橄榄 树)。狄罗斯的男孩刚是把他们的一些头发卷到嫩枝上面,他们也是把它放在 极北地方的少女的墓上的。这样看来,极北地方的少女便是这样地受到狄罗 斯居民的尊敬的。

    (35)同样的这些狄罗斯人还说,还在叙佩罗凯和拉奥迪凯之前,通过上 述同样的那些民族的市邑,还有两名少女从极北居民那里来到了狄罗斯,她 们的名字是阿尔该和欧匹斯。叙佩罗凯和拉奥迪凯是为了安产才到埃烈杜亚 (安产的女神——译者)这里来上供还愿的,但阿尔该和欧匹斯,他们说,是 和神自己一齐来的,她们受到狄罗斯人的另一种尊敬。原来那里的妇女为她 们募集捐献品,在一个叫做奥偷的吕奇亚人为她们写的赞美歌里呼唤她们的 名字;此外岛民和伊奥尼亚人也是从狄罗斯人那里学会了唱欧匹斯和阿尔该 的赞美歌而呼唤她们的名字并为她们募集捐献品(这个奥偷从吕奇亚到来之 后,还写了在伙罗斯歌唱的其他古老的赞美歌)。他俩又说,在祭坛上烧过的 牺牲的大腿,它们的灰烬都用来撒布到欧匹斯和阿尔该的墓地上;她们的墓 地在阿尔铁米司神殿的背后,面向着东方,离着凯欧斯人的宴堂最近。

    (36)关于极北居民的事情,我说到这里已经足够了。我不想叙述那个阿 巴里司的故事;这个阿巴里司据说是一个极北居民,他一直不吃东西而把一 支箭带住世界的各个角落。但是,如果果然有极北居民存在的话,那末也就 应当有极南居民存在了。在这之前有多少人画过全世界的地图,但没有一个 人有任何理论的根据,这一点在我看来,实在是可笑的。因为他们把世界画 得象圆规画的那样圆,而四周则环绕着欧凯阿诺斯的水流,同时他们把业细 亚和欧罗巴画成一样大小。至于我本人,我却要简略地叙述一下亚细亚和欧 罗巴的广袤以及它们的轮廓如何。

    (37)波斯人所居住的土地一直到达现在所谓红海的南方之海:在他们的 上方,即北方是美地亚人居住的地方;美地亚人的上方住看撒司配列斯人, 撒司配列斯人的上方往着科尔启斯人,他们的地区一直伸屡到帕希斯河所注 入的北方之海(指黑海);因此这四个民族是位于两海之间的。

    (38)但是从这一地区向西,有两个海角从大陆伸向海中,现在让我把它 们记述一下。在北方有一个海角只帕希斯河为起点一直突出到海里去,它是 沿着黑海和海列斯彭特而伸屡到特洛伊境内细该伊昂地方的。在南方,同一 海角的海岸以腓尼墓附近的米利安多罗斯湾为起点,向海的方面一直伸展到 特里欧庇昂岬。在这个海角上,住着三十个不同的民族。

    (39)这是第一个侮角。但是另一个海角则以波斯为起点一直伸向红海, 包括在这一片土地里面的有波斯人的土地,在这之下有相邻的亚西里亚,亚 西里亚以次是阿拉伯。这个海角的终点是阿拉伯湾(今天的红海), 而大流士曾从尼罗河挖了一道运河通到那里;但这是大家一般的说法,实际 上并不是以那里为终点的。但从波斯人的土地到腓尼基却是一片既宽阔又广 大的土地,从腓尼基起,这个海角便沿着我们的海经过叙利亚的已勒斯坦直 到它的终点埃及。在这个海角上,只住着三个民族。

    (40)上面所谈的是亚细亚的波斯以西的土地。至于在波斯人和美地亚人 和撒司配列斯人和科尔启斯人上方以东和日出方面,则它的界限一方面是红 海,北方则是里海和向着日出方向流的阿拉克塞斯河。亚细亚直到印度地方 都是有人居住的土地,但是从那里再向东则是一片沙漠,谁也说不清那里是 怎样的一块地方了。

    (41)亚细亚以及它的广袤便是上面所说的样子了。但是利比亚是在这第 二个海角上面的。因为紧接着利比亚的便是埃及。但这一海角上埃及的部分 是狭窄的:因为从我们的海到红海有一千斯塔迪昂,这就是说只不过有十万 欧尔巨阿。但是经过这个狭窄的部分,海角上称为利比亚的那一部分便非常 宽阔了。

    (42)从我这一方面来说,对于那些把全世界区划和分割为利比亚、亚细 亚和欧罗已三个部分的人,我是感到奇怪的。因为这三个地方的面积相去悬 殊。就长度来说,欧罗巴等于其他两地之和:就宽度来说,在我看来欧罗已 比其他两地更是宽得无法相比。我们可以十分明显地看到,除去和与亚细亚 接壤的地方之外,利比亚的各方面都是给海环镜着的。据我们所知道的,第 一个证实了这件事的,便是埃及的国王涅科斯。当他把从尼罗河到阿拉伯湾 的运河挖掘完毕时,他便派遣徘尼基人乘船出发,命令他们在回航的时候要 通过海拉克列斯柱,最后进入北海(地中海),再回到埃及。于是 腓尼基人便从红海出发而航行到南海上面去,而在秋天到来的时候,他们不 管航行到利比亚的什么地方都要上岸并在那里播种,并在那里一直等到收获 的时候,然后,在收割谷物以后,他们再继续航行,而在两年之后到第三年 的时候,他们便绕过了海拉克列斯柱而回到了埃及。在回来之后他们说,在 绕行利比亚的时候,太阳是在他们的右手的:有的人也许信他们的话,但我是不相信的(希罗多德所不相信的情节反而证明这个说法是真实的:当船只绕过好望角西行的时候,南半球的太阳就在它的右手)

    (43)这样我们便得到了关于利比亚的最初的知识。其后,迦太基人也有 了这样的说法:因为阿凯美尼达伊家中的一人、铁阿司披斯的儿子撒塔司佩 斯虽然被派出去周航利比亚,但是他并未这样做;原来是他害怕航程的遥远和寂寞,因此没有完成母亲交给他的任务便回来了。他奸污了美伽比佐斯的儿子佐披洛司的未出嫁的女儿;而由于这个原故他要被国王克甜尔克谢斯处 以刺刑的时候,撒塔司佩斯的母亲、即大流士的姊妹便为他求情,说她将要 把一个比克谢尔克谢斯的惩罚更重的惩罚加到他身上。这就是:他必须周航 利比亚,直到他完成这次航行而返回阿拉伯湾的时候。克谢尔克谢斯同意了 这一点,于是撒塔司佩斯便到埃及去,在那里他从埃及人那里得到了一艘船 和船员并驶过了海拉克列斯柱。驶过了海拉克列斯柱并绕过了称为索洛埃司 的利比亚岬之后,他便向南驶行。但是他在大海之上航行了好多月却一点看 不到边际,于是他便转回来驶向埃及了。从这里他去兄克谢尔克谢斯,在他 的报告中他告诉克谢尔克谢斯,他怎样在他航行到最遥远的地方去时,他路 过一个矮人的国家,那里的人们穿着椰子叶的衣服,而每当他和他的人员使 船靠岸的时候,这些人就一定离开他们的市邑而逃到山里去:他和他的人员 在登陆时并没有做任何坏事而只是从当地居民夺取一些食用所必需的家畜而 已。至于他之所以没有完全瓮行利比亚一周,他说这理由是船的进路受到阻 挠而不能再向前行驶了。但是克谢尔克谢斯不相信撒塔司佩斯所说的话是真的,而既然指定给他的任务没有完成,他还是依照最初给他的惩罚而把他杀 死了。这个撒塔司佩斯有一名罔人,这个人一听到他的主人的死讯,便立刻 带着大批财富逃到窿摩司去了,但一个萨摩司人扣留了这一批财富。这个萨 摩司人的名字我知道,但我是故意把他的名字忘掉的。

    (44)大流士曾发现过亚绷亚的大部分地方。有这样一条印度河,这条河 里面有许多鳄鱼,据说在全世界是占第二位的;大流士想知道一下印度河在 什么地方入海,便派遣了他相信不会说谎话的卡律安达人司库拉克斯和其他 人等乘船前往。这些人从帕克杜耶斯地区的卡司帕杜罗斯市出发,顺河向东 和日出的方向下行直到大海;而在海上西行,他们在第三十个月到达了这样 一个地点:埃及国王曾经从这个地点派遣上述的腓尼基人周航利比亚。在这 次的周航之后,大流士便征服了印度人,并利用了这一带的海。这样便判明, 除去日出方向的部分之外,亚细亚在其他方面也是和利比亚相同的。

    (45)至于欧罗巴,则的确没有一个人知道它的东部和北部是不是为大海 所坏镜看。人们只知道它的长度等于亚细亚和利比亚之和。我也不知道为什 么一整块大地却有三个名字,而且又都是妇女的名字;不知道为什么埃及的 河尼罗河与科尔启斯的河帕希斯河被定为它的界限(虽然,也有的人说,麦奥 提斯湖的塔钠伊司河和奇姆美利亚的渡口是它们的界限)。我也不知道把世界 划分开来的那些人的名字,以及他们从什土地方取得了他们所起的名字。根 据许多希腊人的说法,利比亚是以当地的一个妇女的名字为依据的,而亚绷 亚则是国普洛美修斯的妻子而得名的。但吕底亚人却认为亚细亚的命名是由 于他们的关系,他们说亚细亚不是因普洛美修斯的妻子亚糊亚而得名,而是 因玛涅斯之子科壮斯的儿子亚细阿司而得名的,同时撒尔迪斯的亚细亚部族 也是因此而得名的。但是谈到欧罗巴,没有人知道它是不是给海环绕着,也 没有人知道它的名字是怎样得来的,更不清楚是谁给它起的名字,我们所能 说的只是这个地方是因推罗的妇女欧罗已而得名的。而在当时之前,它和其 他地方一样,好象也是没有名字的。但很明显这个妇女是生在亚细亚的,她 从来没有到过希腊人今日称为欧罗已的地方,而只是从腓尼墓来到克里地, 又从克里地来到吕奇亚。关于以上各点,我就谈到这里为止了,我们今后就 是按照已经确定的惯例来使用这些名称的。

    (46)大流士所耍进攻的黑海地方,除去斯奇提亚人之外,居住着世界上 一切国家中最愚昧的民族。因为,除去斯奇提亚族和阿那卡尔面司族之外, 我们不能指出在黑海这一带的任何民族,有任何聪明才智的表现,我们也不 知道那里产生过任何有学识的人士。但是斯奇提亚人在全人类中最重要的一 件事上,却作出了我们所知道的、最有才智的一个发现。我并不是在任何方 面都推辞斯奇提亚人的,但是在这件最漳大事业上面,他们竟想出了这样的 办法,以致任何袭击他们的人都无法幸免,而在如果他们不想被人发现的时 候,也就没有人能捉住他们。原来他们并不修筑固定的城市或要塞,他们的 家宅随人迁移,而他们又是精干畸射之术的。他们不以农耕为生,而是以畜 牧为生的。他们的家就在草上,这样的人怎么能不是所向无敌和难于与之交 手呢?

    (47)他们之所以有这样的发明,是因为他们所住的地方适于这样做, 并拥有有利于他们的河流。原来他们的土地是平坦的,是水草丰富的,而且 有数量不亚于埃及的运河那样多的河流贯流全境。其中有许多是著名的,是 可以从海溯行而上的,而我就要列举这样的河的名字。首先是有五个河口的 伊斯特河,其次是杜枕斯河、叙帕尼司河、包律斯铁涅司河、鹿提卡佩司河、叙帕库里司河、盖罗司河、塔钠伊司河。下面我就来谈一下它们的河道。

    (48)伊斯特河是我们所知道的一切河流中是伟大的河流;它不分冬夏, 水量永远是一样的。它是所有斯奇提亚的河流中在最西面的河流,它之成为 最伟大的河流的理由是这样:其他许多河流都是它的支流,但这些支流的流 注却使它成为伟大的河流,其中有五个支流是流经斯奇提亚人的国土的,它 们是希腊人称为披列托司而斯奇提亚人称为波拉塔的那条河,此外则是提阿兰托司河、阿拉洛司河、柄帕里司河、欧尔戴索司河。上述河流中的第一条 河是向东流的一条大河,它的河水与伊斯特河溶汇在一起。第二条河、即提 阿兰托司河则是远在西边,而且也小得多;但阿拉洛司河、纳帕里司河与欧 尔戴索司河则流在这两条河之同样注入伊斯特河。这样的一些河就是使伊斯 特河水量增大的、斯奇提亚当地的河流。但是与伊斯特河合流的玛里斯河却 是从阿伽杜尔索伊人的土地流过来的。

    (49)此外流入伊斯特河的三条大河,即阿特拉斯河、奥拉斯河与提比西 斯河都是从哈伊奠司山的山顶向北流的。阿特律斯河、诺埃斯河、阿尔塔涅 斯河则是从色雷斯的克罗比佐伊人的土地流入伊斯特河的。奇欧司河从派欧 尼亚和洛多佩山穿过哈伊莫司山的正中而注入伊斯特河。昂格罗斯河从伊里 利亚向北流进特利巴里空原野而注入布隆戈斯柯,布隆戈斯河则再注入伊斯特河,这样伊斯特河便接受了两条大河的河水。卡尔披司河与另一条叫做阿 尔披司的河也从翁布里柯伊人以北的腹地向北流而注入伊斯特河。因为伊斯 特河发源于仅次于库涅铁斯人而为欧洲最西端的居民的凯尔特人的地方,它贯流全部欧罗已而从侧面流入斯奇提亚。

    (50)既然上述的河流以及其他许多河流也都是它的支流,则伊斯特河就 成为一切河流当中最大的一条河流了。诚然,如果以河流和河流相比的话, 尼罗河是比伊斯特河的水量大的;因为没有一个河流或泉水可以增加它的水 量。但是伊斯特河不分夏冬,河水的水位都是一样的,这种现象的理由我以 为是这样。在冬天,它的水量是它平常的大小,或是比平常的水量稍多一些, 因为在冬天,当地的雨是非常少的,但雪却是到处都有。但是在夏天,冬天 下的雪溶化了并从四面八方流入伊斯特河;这样雪便流入河中而促使河水涨 起来,此外还要加上许多猛烈的暴雨,因为夏季正是下雨的季节。但既然太 阳在夏天比在冬天吸收了更多的水,同样程度地与伊斯特河合流的水在夏天 比在冬天也要多很多,这二者相互抵消而形成均势,因此水量永远是相同的。

    (51)这样看来,伊斯特河就是斯奇提亚人的河流之一了。其次便是杜拉斯河(德累斯顿河),这条河发源于北方,最初是从位于斯奇提亚领地与涅鸟里司领地交界 地带的一个大湖流出:在河口的地方有一个被称为杜拉斯人的希腊人的居留 地。

    (52)第三条河是叙帕尼司河,这条河发源于斯奇提亚,从一个大湖流出, 而白色的野马便在这大湖的周边牧放着。这个湖真正可以说是叙帕尼司河的 母亲。叙帕尼司河是在这里发源的,在五天的航程里,它的河水是浅的而且 味道也还是甜的。在这之后到大海的四天航程里,河水则便特别苦了,因为 有一个苦泉流入这条河,这个泉水是这样地苦,虽然它的水量不大,但是混 合起来却使世界上少数大河之一的叙帕尼司河也变了味道。这个苦泉是在农业斯奇提亚(见第一七节)和阿拉佐涅斯人之间的国境地方,苦泉流出的地点的名称在斯奇 提亚语是埃克撒姆派欧斯,用希腊语来说则是“圣路”的意思。苦泉的名字 也是这样。杜拉斯河和叙帕尼司河在阿拉佐涅司人的地方相互离得很近,但 是从这里再向前就各自分离,在两河之间留下了很宽阔的一片土地。

    (53)斯奇提亚人的第四条河流是包律斯铁涅司河,这是仅次于伊斯特河 的最大的一条河。而且,根据我们的刊断,不仅是在斯奇提亚的河流当中, 就是在全世界的所有其他河流当中,除去那没有一条河流能够与之比肩的尼 罗河之外,它是最丰饶的河。在其他的河流当中,包律斯铁涅斯是最丰饶的 河了。它的两岸为家畜提供了最优良的和最有营养价值的牧堤;它拥有极为 丰富的、美味的鱼类,它的河水是最甘美好吃的,它的水流清彻,但它附近 的其他河流却是混浊的;它的沿岸生产十分优良的谷物,在不播种的土地上 刚长看茂密的草。此外,在它的河口又生产大量天然的盐。因此他们便把河 中生产的一种他们称为安塔凯欧伊(鳟鱼)的大的无脊椎鱼用盐腌 起来。以上种种之外,它还有许多值得惊叹的东西。直到离海四十日航程的 盖罗司地方,我们知道河流是从北流往来的。但是从这里再向前便没有人去 这,因此便没有人知道它流过什么民族的土地了。但是,显而易见的是,在 它通过一个沙漠地带之后,它便流入农业斯奇提亚人地区,而需要十日的航 程才能经过他们所居住的土地。除去尼罗河之外,只有这一条河的源流我不 知道,而我以为所有其余希腊人也都一样不知道。在包律斯铁涅司河快要入 海的时候,它与叙帕尼司河合流,它和叙帕尼司河是流入同一个沼泽地带里 的。它们之间的土地是一块象船头那样伸出来的土地,这块土地被称为希波 列欧岬。这里有一座戴美特尔的神殿,神殿对面,叙帕尼司河岸上则有一块 包律斯铁涅司人的居住地。

    (54)上面所谈,是我们所知道的关于这些河的事情。在这之后便是第五 条称为鹿提卡佩司的河,这条河与包律斯铁涅司河一样,它的水流也是从北 向南的。它的发源地是一个湖。在这条河与包律斯铁涅司河之间的土地上住 着农业斯奇提亚人。鹿提卡佩司河流入了叙莱亚地方,而在流过叙莱亚之后 便流入包律斯铁涅司河里去了。

    (55)第六条河是叙帕库里司河,这条河发源一个湖,它从中央贯流斯奇 提亚游牧民的土地,在卡炽奇尼提斯市附近的地方入海,而在它的右手则是叙莱亚和所谓“阿齐里斯的赛跑场”。

    (56)第七条河是盖罗司河,这是从包律斯尼铁司河分出去的一个支流, 分出的地点大概是我们所知道的该河的最上部。分出去的那个地方的名字和 河流的名字相同,也叫盖罗司。这条河在流向大海的时候,把斯奇提亚游牧 民的土地和王族斯奇提亚人的土地分了开来。它是流入叙帕库里司河的。

    (57)塔纳伊司河(顿河)是第八条河。这条河原来发源于一个大湖,而流入一个 更大的、称为麦奥提斯的大湖(亚速海)。这个湖则是王族斯奇提亚人和撒扁罗玛泰伊 人的交界。还有另外一条叫做叙尔吉司的支流也是注入塔纳伊司河的。

    (58)以上便是斯奇提亚人所拥有的一些有名的河流。斯奇提亚地方的草 比起我们所知道的其他任何地方的牧草郡更能增加畜类的胆汁,这一点从家 畜的解剖便可以得到证明的。

    (59)因此可以说,斯奇提亚人是拥有大量最必需的物品的。现在我再来 谈一谈他们的风俗习惯。他们崇拜的只有下列的神,即他们最尊敬的希司提 亚、其衣是宙斯和他们认为是宙斯的妻子的该埃,再次就是阿波罗、鸟拉尼 亚·阿普洛狄铁、海拉克列斯、阿列斯。这些神是全部斯奇提亚人所崇拜的 神。但是王族斯奇提亚人也向波赛东奉献牺牲。在斯奇提亚语里,希司提亚 你为塔比提,宙斯称为帕伊欧斯,这个称呼至少在我看来是非常确切的。称 该埃为阿披,称阿波罗为戈伊托叙洛司,称岛拉尼亚·阿普洛狄铁为阿格里 姆帕撒,称波赛东为塔吉玛萨达斯。除去阿列斯的崇拜之外,他们对其他诸 神不使用神像、祭坛、神殿,但是在阿列斯神的崇拜上却是用这些东西的。

    (60)不管他们举行什么样的祭祝,奉献牺牲的方式都是一样的。奉献的 方法是这样的。牺牲的两个前肢缚在一起,用后面的两条腿立在那里;主持 献钠牺牲的人站在牺牲的背后牵着绳子的一端,以便把牺牲拉倒:牺牲倒下 去的时候,他便呼叫他所献祭的神的名字。 在这之后,他便把一个坏于套在牺牲的脖子上,坏子里插进一个小木棍 用来扭紧坏子,这样把牺牲绞杀。奉献之际不点人,不举行预备的圣祓式, 也不行灌奠之札。但是在牺牲被绞杀,而它的皮也被剁掉之后,牺牲奉献者 立刻着手煮它的肉。

    (61)但斯奇提亚是完全不生产木材的,他们想出了一个煮肉的办法来。 办法是这样:在把牺牲的皮剥掉之后,他们把它们的骨头从肉里剔出来,而 如果他们有当地用的大锅的话,他们便把肉放到里面去,这个大锅和列斯波 司人的混酒钵十分相似,就是前者比后者要大的多。然后他们便把牺牲的骨 头放到大锅的下面用火点着来煮锅里面的肉。如果他们手头没有大锅的话, 他们便把肉填到牺牲的肚子里面去,同时把一些水倒在里面,然后再把骨头 放在下面点着,这种火是着得很好的。没有骨头的肉是很容易塞到牺牲肚子 里去的。这样牛自身便煮了它自己,而其他的牺牲也可以用同样的办法处理。 当肉煮熟了的时候,奉纳牺牲的人便先把一部分肉和内脏拿出来,抛到自己 的面前。他们用各种畜类作为牺牲,但主要是马。

    (62)他们对所有其他的神奉献牺牲的方式便是这样,而这便是他们所奉 献的畜类:但他们对于阿列斯奉献牺牲的方式都是这样。在每一个地区的行政管区里都有给阿列斯修建的圣殿,这便是一个长和宽备有三斯塔迪昂,但 高稍短的一个薪堆,在这个薪堆上面是一个方形的平台:它的三面是陡峭的, 但是第四面却是可以登上去的。每年都有一百五十草的薪材堆在这上面,因 为冬天的风雪是会使它不断地下沉的。在这个薪堆上面,每一个民族都放置 一把古铁刀,这铁刀便是阿列斯的神体。他们每年都把家畜的牺牲和焉的牺 牲献给这种刀;对于这些神物,他们奉献了甚至比对其他诸神更多的牺牲。 在他们生俘的敌人当中,他们把每一百入中的一人作为牺牲,但奉献的方法 和奉献家畜时不同,而是用别种的方法。他们把酒倒在这些人的头上并且割 这些人的喉头,而下面则用盘子接血。然后他们便把盘子里的血带到薪堆上 去,把它浇在刀上面。他们这样把血带到上面去,但是下面,在圣殿的旁边, 们又切下被杀死的人们的右臂和右手并把它们抛到空中去,随之在他们把其 他牺牲奉献之后立刻离开。手臂刚落到什么地方便留在那里,但是尸体却是 和它们分开横卧着的。

    (63)因此,这便是在他们中间所制定的牺牲奉献式了;然而这些斯奇提 亚人是完全不用豚类作牺牲的。而且他们在国内是绝对没有养猪的习惯的。

    (64)至于战争,他们的习惯是这样的。斯奇提亚人欲他在战场上杀死的 一个人的血。他把在战争中杀死的所有的人的首极带到他的国王那里去,因 为如果他把首极带去,他便可以外到一份卤获物,否则就不能得到。他沿着 两个耳朵在头上割一个圈,然后揪着头皮把头盖摇出来。随后他再用牛肋骨 把头肉刮掉并用手把头皮揉软,用它当作手中来保存,把它吊在他自己所骑 的马的马勒上以为夸示,凡是有最多这种头皮制成的手中的人,便被认为是 最勇武的人物。许多斯奇提亚人把这些头皮象牧羊人的皮衣那样地缝合在一 起,当作外衣穿。许多人还从他们的敌人尸体的右手上剥下皮、指甲等等, 用来蒙复他们的箭筒。看来人皮是既厚又有光泽的,可以说,在一切的皮子 里它是最白最光泽的皮子。还有许多人从人的全身把皮剥下来,用木架子撑 着到处把它带在马背上。

    (65)以上便是他们中间的风俗。至于首级本身,他们并不是完全这样处 理,而只是对他们所最痛恨的敌人才是这样的。每个人都把首级眉毛以下的 各部锯去并把剩下的部分弄干净。如果这个人是一个穷人,那么他只是把外 部包上生牛皮来使用;但如果他是个富人,则外面包上牛皮之后,里面还要 镀上金,再把它当做杯子来使用。一个人也用他自己的族人的头来做这样的 怀子,但这必须是与他不合的族人并且是他在国王面前打死的族人。但如果 他所敬重的客人来访的时候,他便用这些头来款待他,并告诉客人,他的这 些死去的族人怎样曾向他挑战,又被他打败;他们用这些东西来证明他们的 勇武。

    (66)此外,每年一次每一地区的太守都在自己的辖境之内在混酒钵里面 用水调酒,凡是曾经杀过敌人的那些斯奇提亚人都要欲这里面的酒的,但是 没有立过这样战功的人,却不许尝这里的酒,而是很不光彩地坐在一旁。他 们认为这乃是一种奇耻大辱;但是他们中间既然有许多人杀死的不是一个, 而是许多敌人,因此他们每人有两只杯,而用它们同时饮酒。

    (67)在斯奇提亚人中间,卜者是很多的;他们是用许多柳年来占卜的, 占卜的方法是这样。他们拿着大柬的柳车,把它们放在地上松开。卜者把一 根根的柳条分开摆,这样便说出自己的卜词。而在他们还这样诅着的时候, 他们叉把柳条一根根地拾起来结为一束。这乃是他们传统的占卜法。半男半 女的埃那列埃斯人说,是阿普洛狄铁把占卜术教给了他们,而他们是用菩提 树的树皮来占卜的。他们把菩提树的树皮分成三部分,他们是在把树皮在手 指中间燃合和燃开的时候说出自己的预言的。

    (68)但只要是斯奇提亚人的国王生病的时候,他便把三个最有名的卜者 召来,他们便用上述的方法进行占卜;而他们大体上是举出他的国人的名字 而告诉他说,这样的某人某人在国王的灶旁进行伪誓。因为当斯奇提亚人发 最重大的誓的时候,他们通常的习惯都是在国王的灶旁的。于是他们号称曾 发过伪誓的那个人立刻便被逮捕送来,而当这个人来的时候,卜者便责怪他, 说他们的占卜判明他曾在国王的灶旁发伪誓而且引起了国王的疾病;于是这 个人便坚决否认他曾发过伪誓。而当他否认这一点的时候,国王再把六个卜 者召来,而他们在棚心占卜之后仍证明他犯了伪誓罪,则这个人立刻就要被 枭首,而他的财产也要在最初的卜者中间分配了。但如果后来的卜者认为他 无罪,则依次再把一批又一批的卜者召来。如果大多数的卜者都认为这个人 无罪的话,则起初的卜者便要被处死刑了。

    (69)下面是他们处死刑的办法。人们把牛焉到上面堆着薪树的车的轭 上,再把卜者塞到薪材的当中,这些卜者的腿都被搏着,手被捆在背后,嘴 也给街上枚,然后他们便点着薪材并吓唬牛而把它们赶跑。牛常常和卜者一 同被烧死,牛也常常由于草的辕杆被烧断,而带着火伤逃走。他们还用上述 的办法,由于其他的原因而烧死卜者,声称这些卜者的预言是虚伪的。当国 王处死一个人的时候,他也不许这个人的儿子们活着,而是把他一家的男性 一律杀死。但是女性的家属,他是不加伤害的。

    (70)斯奇提亚人是用这样的办法来同别人举行誓约的。他们把酒倾倒在 一个陶制的大碗里面,然后用锥子或小刀在缔结誓约的人们的身上刺一下或 是割一下,把流出的血混到里面,然后他们把刀、箭、斧、枪浸到里面。在 这样做了之后,缔结誓约的人们自身和他们的随行人员当中最受尊敬的人们 便在一些次庄严的祈求之后饮这里面的血酒。

    (71)历代国王的坟墓是在盖罗司人居住的地方,那里是包律斯铁涅司河 溯航的终点。只要是国王死去的时候,斯奇提亚人便在那里的地上挖掘一个 方形的大穴:大穴挖好之后,他们便把尸体放置在草上载运到异族那里去。 尸体外面涂着一层蜡,腹部被切开洗净,并给装上切碎的高良的根部、香 料、洋芫荽和大茴香的种子,然后再原样缝上。在尸体遥到的时候,接受尸 体的人和王族斯奇提亚人做同样的事情。这就是:他们割掉他们的耳朵的一 部分,剃了他们头,绕着他们的臂部切一些伤痕,切伤他们的前额和鼻子并 且用箭刺穿他们的左手。从这里人们又把国王的尸体放在草上带到属于他们 的另一个部落那里去,而尸体己到过的地方的那些人则跟在尸体的后面。而 在尸体到所有的部落那里被载运了一圈之后,它便被人们运到了盖罗司人的 土地,这是他们所统治的一切种族当中最远的,也便是下葬的地方了。此后, 在把尸体放在草床上放人墓中以后,他们便在尸体的两侧插上两列长枪并且 把木片搭在上面,木片上再覆盖上细枝编成的席子当作屋顶。在墓中的空地 上,他们把国王的一个嫔妃绞死殉葬,他们同时还埋葬他的一个行觞官、厨 夫、厩夫、侍臣、傅信官;此外还有马匹、所有其他各物的初选品和黄金盏: 因为斯奇提亚人是不使用青铜或白银的。在做完以上的事情之后,他们便共 同修造一个大冢,在修造时他们相互拚命竞争,想把它修造得尽可能地大。

    (72)在一年位去之后,他们叉进行下面的事情。他们选出国王身旁残存 的侍臣当中最亲信可靠的人(这些人都是土著的斯奇提亚人,因为侍奉国王的 人都是国王亲自下令选定的,而斯奇提亚人是没有用钱买奴仆的习惯的),把 侍臣当中的五十人绞死,把他们最好的马五十匹杀死,再把他们的内脏掏出, 把内部洗净,肚子里装满谷壳再缝合。然后,他们把许多木桩钉到地里去, 每两个一对,在每一对木桩上面凹入部向上地安放着车轮的半个轮缘,另外 的半个轮缘放到另一对木桩上去,直到卉多对木桩都这样配置好的时候。随 后,把大木棍从靥的尾部一直横穿到马的颈部,再把木棍架到车轮上面,结 果是前面的草轮支着马的肩部,而后面的草轮在马的后腿的地方支着马的腹 部,但四条腿则在半空中悬着。每匹马嘴里都有一个马衔并且配看一副缰绳, 缰绳是系在前面的木撅子上。然后这五十名被胶杀的少年分别被安置到五十 匹马上。他们这样做的办法是:他们再把一个木棍沿着少年的脊椎从后部一 直穿到颈部:从身体后部突出的棍子则插到横贯马体的那个木棍上的一个孔 里去。这五十名骑马的人就这样地给他们安置在坟墓的四周,然后他们便离 开了。

    (73)以上是他们埋葬国王的方法。所有其他的斯奇提亚人,在他们死的 时候,他们都是被安放在草上,由死者最亲近的族人拉着历访死者的朋友: 而每个人都依次接待他们并且款待随死者来的人员,同时他还献给死者和献 给其他人等相同的物品。国王之外,庶民人等都是这样地在巡回四十日之后 才埋葬的。在埋葬之后,斯奇提亚人便用下列的办法来弄乾净自己的身体。 他们擦洗他们的头,而至于身体,他们是把三根棒对立在一处,再把毛毡盖 在上面。然后,在把棒和毛毡尽可能支放牢固之后,便在棒和毛毡下面中央 的地方放一个深盘子,并把几块烧得灼热的石子抛到里面去。

    (74)他们自己的国内生长着一种和亚麻非常相似的大麻,不同的只是这 种大麻比亚麻耍粗得多,高得多。这种大麻有野生的,也有人们种的,色雷 斯人甚至用这种大麻制造和亚麻布非常相似的衣服。它们是这样相似,以致 除非是大麻方面的老手,他是分不出大麻或亚麻来的;而根本没有见过大麻 的人,他就会把那衣服认为是亚麻制的了。

    (75)斯奇提亚人便拿着这种大麻的种子,爬到毛毡下面去,把它撒在灼 热的石子上;撒上之后,种子便冒起烟来,并放出这样多的蒸气,以致是任 何希腊蒸气游都比不上的。斯奇提亚人在蒸气中会舒服得叫起来。这在他们 便用来代替蒸气浴,因为他们是从来不用水来洗身体的。但是他们的妇女却 把柏树、杉树、乳香木在一块粗石上共同捣碎,再和上一些水,她们便用合 成的这种浓稠的东面涂在全身和脸上,这样她们的身上不仅会有一种香气, 而且在第二天,当她们取下这种涂敷物的时候,她们的皮肤也便变得既干净, 又有光泽了。

    (76)斯奇提亚人和其他的人们一样,他们对于异邦人的任何风俗,都是 极其不愿意采纳的,特别是对于希腊的风俗。阿那卡尔西司,还有司库列斯 的事件便可以证明这一点。阿那卡尔西司曾视察过世界上的许多地方并且曾 在那些地方做出了很多证明他有很大的智慧的事情。在他返回斯奇提亚的时 候,他乘船渡拉了海列斯彭特并且在库吉科司地方登陆;他在那里看到库吉 科司人非常豪奢地庆祝诸神之母节,因此他便向这位母神发愿说,如果他能 安全无恙地返回故国的话,他将要象库吉科司人一样地向她奉献牺牲并且还 为她举行一种夜祭。因此当他到斯奇提亚的时候,他自己便到那称为叙莱亚 的地方去(这个地方正在阿齐里斯赛跑场的旁边,那里到处都长着各种各样的 树木),到那里之后,阿那卡尔西司便丝毫不差地为女神举行了祭仅,这时他 手里拿着一个小手鼓并把神像挂在自己的身上。然而有一个斯奇提亚人看到 他这样做,便把这事报告给国王撒鸟里欧斯。国王亲自到那里去并看到阿那 卡尔西司于这样的事情,便把他射死了。就是在今天,如果有人向斯奇提亚 人问起阿那卡尔西司的事情来,他们都说不知道有这样的一个人。这是因为 他离开自己的国家到希腊去,并且踏袭异邦人的风俗的缘故。但是根据我从 阿里亚佩铁司的管家图姆涅斯那里所听来的话,阿那卡尔西司是斯奇提亚国 王伊丹图尔索司的叔父,他又是斯帕尔伽佩铁司的儿子吕柯斯的儿子格努罗 司的儿子。而如果阿那卡尔西司果真是属于这一家族的话,则他就必然知道、 他是在他的兄弟的手里死于非命的。因为伊丹图尔索司是撒鸟里欧斯的儿 子,而阿那卡尔西司都是破撒鸟里欧斯杀死的。

    (77)诚然,我从伯罗奔尼撒人那里还听到了另一种说法。这种说法是: 阿那卡尔西司是斯奇提亚国王派出去到希腊人那里学习的。在他回国之后, 他向派遣了他的国王报告说,除去拉凯戴孟人以外,所有的希腊人对于一切 的学问都是十分热心学习的。不过在希腊人当中,却叉只有拉凯戴孟人在和 人们交谈时是十分审慎的。但这却是希腊人自己为了开心才凭空捏造出来的 无稽之谈;但不管如何,这个人是象我上面所说的那样被杀死了。阿那卡尔 西司由于采用了外国风俗和他与希腊人交往而遭到的命运便是如此。

    (78)在许多年之后,阿里亚佩铁司的儿子司库列斯遭到了同样的命运。 司库列斯是斯奇提亚国王阿里亚佩铁司的诸子当中的一人,但他的母亲都是 伊司脱里亚人,而不是本国的人,她教给他希腊的语言和文学。后来阿里亚 佩钞司中了阿伽杜尔索伊人的国王斯帕尔伽佩铁司的奸计而被杀死了,于是 司库列斯便继承了王位和他父亲的那个名叫欧波伊亚的王后,这是一个道地 斯奇提亚的妇女,她曾给阿里亚佩铁司生位一个名叫欧里科司的儿子。司库 列斯这样便成了斯奇提亚的国王,但是他一点儿也不满足于斯奇提亚的生活 方式,而勿宁说是远为喜好希腊的生活方式,因为他从小便是接受了希腊的 生活方式的。他于是做了这样的事情:他率领着斯奇提亚的一支军队到包律 司铁涅司人的一个城市去(这些包律司铁涅司人自称是米利都人),到了他们 那里以后,他总是把他的军队留在城郊的地方,而他自己则进城把城门关上, 然后脱去斯奇提亚的衣服,穿上希腊的服装。他穿着这身服装,没有一个亲 卫或其他任何人侍从而出入于公共场所的当地人们中间(人们把守着城门,为 的是不叫任何斯奇提亚人看到他穿这样的衣服)。他在每一方面都模仿希腊的 生活方式并且按照希腊的习惯祭祀诸神。他这样过了一个月或更多的时候之 后,便再穿上斯奇提亚的衣服离开了这个城市。他是常常这样做的,他在包 律司铁涅司盖了一所房子,娶了当地的一个妇女并把她带到那里去。

    (79)但是在他注定要遇到凶事的时期到来时,他便遇到了这样一件事 情:他想使自己参加巴科司·狄奥尼索斯的秘仪,而当他正要开始接受参加 秘仪的圣礼时,他看到了一个极为奇妙的预兆。他在包律司铁涅司人的城市 里有一所宽敞的住宅,这便是我刚才谈到的那所住宅,这是一所巨大而豪华 的住宅;在它的周固都是白色大理石雕成的斯芬克司像和格律普斯像。这所 房子中了天雷而全部被火烧毁了。但司库列斯不顾这一切,仍旧把参加秘仪 的仪式举行完毕。然而斯奇提亚人却由于已科司的狂欢祭而寅怪希腊人,说 搞这样一位使人发狂的神,那是一件不合理的事情。因此当司库列斯参加巴 科司的秘仪的时候,一个包律司敛涅司人便到斯奇提亚人那里去嘲笑他们。 他说:“你们斯奇提亚人嘲笑我们,说我们举行狂欢祭并在降神的时候发狂: 但现在这个神却降到你们自己的国王身上,而他现在就正在参加狂欢祭并且 给这个神弄得神魂颠倒哩。如果你们不信的话,那末就跟我来,我会把他指 给你们的”。于是斯奇提亚人的一些首要的人物便跟着他去,这个包律司铁 涅司人便偷偷地把他们带到城年的一座塔楼上去:而当司库列斯和参加狂欢 祭的人们经过的时候,他们从那里立刻在发狂的人们中间看到了他;斯奇提 亚人认为这乃是一件非常可悲的事情,于是他们便离开了该城并且把他们所 看到的一切告诉了全军。

    (80)在这之后司库列斯返回了本国,但是斯奇提亚人叛变了他,他们拥 戴他的兄弟、即铁列斯的外孙欧克塔玛撒戴司为国王。司库列斯知道了他们 怎样对付他和他们这样做的理由之后,便跑到色雷斯去了。当欧克塔玛撒戴 司听到这个消息之后,便率领大军到那里去。但是当他到达伊斯特何的时候, 色雷斯人阻住了他的去路:而当两军看看就要打起来的时候,西塔尔凯司派 使者到欧克塔玛撒戴司那里去对他说:“为什么我们一定要相互比试力量呢? 你是我的姊妹的儿子而我的兄弟又在你的身旁,你把他交还给我,我就把司 库列斯交给你。我们两个人江是不要使自己的军队遭到危险罢”。西培炽凯 司的使者对他的建议便是这样,因为西塔尔凯司的一个兄弟从他那里逃跑并 亡命到欧克塔玛撒戴司那里去。斯奇提亚人同意了这个做法,他把自己的舅 父交给了西塔尔凯司并从西培尔凯司那里引渡过来了自己的兄弟司库列斯。 于是西塔尔凯司接受了他的兄弟并把他的兄弟带走了,但欧克塔玛撒戴司却 就地杀掉了司库列斯的头。斯奇提亚人是这样一丝不苟地遵守着自己的风俗 习惯,对于那些把外国的风俗习惯加到他们自己的风俗习惯之上的人们,他 们就是这样惩罚的。

    (81)我并未能确切地打听到斯奇提亚有多少人,但是关于他们的人数, 我听到的说法都不一样。有些人说他们的人数是很多的,但是又有些人说, 真正可以称之为斯奇提亚人的只有少数的一些人,但是在我个人看起来,他 们的人数是这样:在包律司敛涅司河和叙帕尼司河之间有一块叫做埃克撒姆 派欧斯的地方;在前面(本卷第五二节 )我就说过从这里有苦水泉流出来,结果使得叙帕尼司 河的河水无法饮用。在这个地区有一个青铜大釜,这件铜器比克列欧姆布洛 托斯的儿子帕鸟撒尼亚斯呈献并安置在黑海入口处的那个大釜要大六倍。对 于还没有见过这件铜器的人,我要给他说一说:斯奇提亚的青铜器可以毫不 费力地容纳六百安波列鸟斯(每一安波列鸟靳大约等于九加侖),它有六指的厚度。但根据当地人们的说法,这 个青铜器是用箭头铸造成功的。因为他们那名叫阿里安塔司的国王想要知道 斯奇提亚人的人数,故而他命令每一个斯奇提亚人把一个箭头带拾他,并威 胁说不这样做的将要处以死刑。结果便有极多的箭头给送到他这里来,他决 定用它们制造一个纪念物以留传于后世。于是他用这些箭头铸造了一个青铜 大釜,把它立在埃竞撒姆派欧斯地方。关于斯奇提亚人的人数,我所听到的就是这些。

    (82)这个地方除去它拥有在全世界比其他地方都要大得多而且又多得多 的河流之外,并没有什么值得惊异的东西。除去上述的河流以及广大的平野 之外,我以为值得一述的还有一件最可惊异的东西。他们指给我一个海拉克 列斯的足印,这个足印是印在杜拉斯河河畔的岩石上面,形状和人的足印一 样,可是却有两佩巨斯长。足印便是这样的一个东西。在我说了这个足印之 后,我就要回过头来,重新叙述我在开头地方所要说的事情了。

    (83)正在大流士作讨伐斯奇提亚人的准备,并派遣使看到各方去命令一 部分人准备陆军,一部分人供应战船,还有另一部分人在色雷斯海峡上架桥 的时候(大流士出征的确实日期不知道,格罗特认为可能是在五一四年之前),叙司塔司佩斯的儿子、大流士的兄弟阿尔塔已诺斯却劝说大流士万 万不可出征斯奇提亚人,他告诉大流士斯奇提亚人是怎样一个难于制服的民 族。但是当阿尔塔已诺斯尽管提出忠告而仍然不能使大流士回心转意的时 候,阿尔塔巴诺斯便不再进谏了。现在大流士在他把一切准备停妥之后,便引兵离开了苏撒。

    (84)这时,一个三个儿子都参加了出征的波斯人欧构巴佐斯恳请大流士 给他留下一个儿子。大流士对他说他是自己的朋友而他的请求也是人情人理 的,因此大流士要把他的三个儿子都给他留下。欧构巴佐斯非常欢喜,他以为他的儿子己破免除了军役,但是大流士却命令有司人等把欧约巴佐斯的儿 子都给杀死了。他们便这样地被处死并被放置在那里了。

    (85)但是大流士当他从苏撒出发到达卡尔凯多尼亚地方博斯波鲁斯的架 桥地点时,他便乘船向希腊人先前说是漂浮在水上的那个所谓库阿涅埃岩驶 去了:他坐在那里的一个岬角上视察了黑海,那实在是一幅壮丽的景色。因 为在一切海洋当中,黑海乃是最值得惊叹的。它的长度是一万一千一百斯塔 迪昂,它的宽度在它最宽的地方是三千三百斯塔迪昂。这个海的入口的海峡 有四斯塔迪昂宽,海峡的长度,即架着桥的那个称为博斯波鲁斯的狭窄颈部 有一百二十斯塔迪昂。博斯波鲁斯是一直接着普洛彭提斯的。普洛彭提斯是 五百斯塔迪昂宽,一千四百斯塔迪昂长,它的出口是海列斯彭特。海列斯彭 特的宽度最窄的地方不过七斯塔迪昂,长度四百斯塔迪昂。海列斯彭特则注 入一个我们称为多岛海的无边无际的大 海。

    (86)这些地方是用这样的办法测量出来的:一只船在一天长的时候,一 般是驶行七万欧尔巨阿的距离,但是在夜间则要驶行六万欧尔巨阿的距离。 因此,既然从黑海海口到帕希斯(这是黑海上最长的航程)的一段是九天八夜 的航程,则它的长度就是一百十一万欧尔巨阿,折合为斯塔迪昂,就是一万 一千一百斯塔迪昂了。从辛地卡地区到铁尔莫东河河上的铁米司库拉(这是黑 海最宽的地方)是三天两夜的航程,即三十三万欧尔巨阿,折合成三千三百斯 塔迪昂。我便是这样地测量了黑海、博斯波鲁斯和海列斯彭特的,而我对它 们的说明便是这样。此外:还有一个湖也是注入黑海的,这个湖比黑海也小 不了很多,这个湖被称为麦奥提斯,又被称为“黑海之母”。

    (87)大流士在视察了黑海之后,便乘船回到窿摩司人芒德罗克列斯主持 修建的桥那里。在他叉祝察了博斯波鲁斯之后,他便在它的岸上建立了两根 白色的大理石石柱,一个上面用亚逃文字,另一个上面用希腊文字刻上了他 的罩队中所有各民族的名称。他的军队是从他治下的一切民族那里征集来 的:除去海罩不算在内之外,军队的总数加上骑兵是七十万人,而集合起来的战船则是六百艘。这两根石柱后来被拜占廷人搬到他们的城市去,在那里 他们用一个石柱修建欧尔托西亚·阿尔铁米司的祭坛,另一个刻亚述文字的 石往则被他们放置在拜占廷地方狄奥尼索斯神殿的旁边。如果我推想的不错 的话,大流士在博斯波鲁斯筑桥的地方正是在拜占廷和海口的神庙中间的地 方。

    (88)在这之后,由于大流士对他的舟桥深为嘉许,便给予萨摩司人芒德 罗克列斯极其大量的赐品,每种十件。于是芒德罗克列斯便把这些赐品先拿 出一部分,请人画了一幅博斯波鲁斯全桥的图画,画面上大流士高高地坐在 王位上而他的军队则正在渡位这座桥。他把这幅画奉献给希拉神的神殿,上 面还附着这样的铭文:芒德罗克列斯在多鱼的博斯波鲁斯上架了桥,于是他 把这幅画献给希拉以纪念他的功业; 大流士王既对此深感满意, 那他便为自己争到了荣冠,又为萨摩司人取得了荣誉。 这样做的目的乃是为了把建桥的人的名字保存下来。

    (89)在赏赐了芒德罗克列斯之后,大流士便渡海到欧罗已去了;他曾吩 咐伊奥尼亚人乘船进入黑海直到伊斯特河的地方,而他们应在到达那里之 后,在那里架桥等候他。因为率领水师的乃是伊奥尼亚人、爱奥里斯人和海 列斯彭特人溢队便这样地从库阿涅埃岛(黑海口的两个小岛,意译为黑石岛)中间驶过,直向伊斯特河方面行进, 而从海溯河而上航行二日之后,便在这条河河口分歧点那里的河颈部着手架 桥。担大流士在从舟桥过了博斯波鲁斯之后,便穿过色雷斯到达敛阿罗斯河 河源的地方,在那里屯营三日。

    (90)根据附近居民的说法,铁阿罗斯河在一切河流当中它的河水乃是最 有治疗效果的一条河,特别是在治疗人和马的皮肤病这一点上。它的水源共 有三十八处,虽然是从相同的岩石流出来,有的是冷的,有的却是热的。通 到那里去的道路有两条,一条是从佩林托斯附近的赫莱昂,一条是从黑海岸 上的阿波罗尼亚,二者都是两天的路程。这条铁阿罗斯河是康培戴斯多斯河 的一个支流,这条康塔戴斯多斯河则是阿格里阿涅斯河的支流,阿格里阿涅 斯又是海布罗斯河的支流,海布罗斯河是在阿伊诺斯城的近旁入海的。

    (91)大流士到达这条河并在这里扎下了营,他对于这里的景色十分喜 爱,因此便就地立了另一根石柱,上面刻着这样的铭文:“从铁阿罗斯河的 河源流出了一切河流当中最优秀的和高贵的水。在进兵斯奇提亚的征途中, 人类中最优秀和最高贵的人物、叙司塔司佩斯的儿子大流士、波斯人和整个 大陆的国王访问了这个地方”。铭文的内容便是这样。

    (92)大流士从这里出发而到达一条叫做阿尔铁斯科斯的河,这是一条贯 流欧德体赛人的土地的河流。他到达这条河之后,就给他的大军指定了一块 地方,命令他们每一个士兵在经过那里时都把一块石头放在那里。这样一来, 在他的全军这样做了之后,他便在那里留下了石块堆成的一座大山,然后便 带着兵离开了。

    (93)但是在他进抵伊斯特河之前,他首先制服了自信是长生不死的盖塔 伊人。领有撒尔米戴索司并居住在阿波罗尼亚和梅撒姆布里亚市上方的、称 为库尔米亚钠伊和尼普赛欧伊的色雷斯人,未经交锋便投降大流士了。但是在一切色雷斯人当中最勇敢,也最公正守法的盖塔伊人却进行了顽强的抵 抗,因此也就立刻被波斯人奴役了。

    (94)至于他们为什么自己认为是长生不死的,他们的想法是这样。他们 相信他们是不死的,死去的人只是到撒尔莫克西司神那里去而已,他们中间 有些人则称这个神为盖倍列吉司。每隔四年,他们便用抽签的办法从他们当 中选出一个人来作为到撒尔莫克西司神那里去的使者,并且要他向神陈述他 们的需求。他们的遣送办法是这样:指定一些人,让他们每人手里拿着三支 枪,另一些人则抓住这个派住撒尔莫克西司那里去的使者的手和脚把他抛向 空中以便便他落在枪尖上被戳死。如果这个人真的死了,则他们便相信神加 惠于他;如果他未被这种办法戳死的话,他们便把这种情况归咎于使者本人, 认为他是一个坏人而派另外一位使者去代替他们所责备的那个人。傅的信是 在那个人还活着的时候舍诉他的。此外,如果有雷和闪电发生的话,这些色 雷斯人便向空中射箭作为对神的一种威吓,他们除去自己的神以外,是不相 信任何其他神的。

    (95)至于我个人,刚居住在海列斯彭特和黑海地方的希腊人曾告诉我 说,这个撒尔莫克西司是一个男人,他曾是萨摩司的一个奴隶,他的主人是 姆涅撒尔科司的儿子毕达哥拉斯。在他被释放并得到莫大的一笔财富以后, 他立刻回到他的本国。这时的色雷斯人是一个过看悲惨的生活而且智慧也很 差的民族,但是这个撒尔莫克西司却通晓伊奥尼亚的生活方式,通晓比色雷 斯人耍开明得多的风俗习惯,因为他曾和希腊人有交往,特别是他和在希腊 人当中决非最差的智者竿达哥拉斯有过交往。因此他拾自己修建了一座会 堂,在那里他招宴他国内的一流人士,并且教导他们说,不拘是他,他的宾 客,江是他们的子孙都是永远不会死的,但是他们将要到一个他们会得到永 生和享受一切福社的地方去。正当他象上面我说的那样做和宣讲这种教义的 时候,他同时又修造了一座地下室,地下室造好之后,他便避开了色雷斯人 的耳目,进到地下室里面去,在那里住了三年。色雷斯人非常怀念他,为死 者致哀服丧:可是在第四个年头,他在色雷斯人的面前又出现了,这样他们 便相信撒尔莫克西司告诉他们的一切了。希腊人关于这个人的说法便是这 样。

    (96)我呢,我既不不相信,也不完全相信关于撒尔莫克西司和他的地下 室的说法,但是我认为他是比毕达哥拉斯耍早爵多年的;至于这个撒尔莫克 西司是一个平常人,还是盖塔伊人中间原有的一个神的名字,我不打算去追 究了。盖塔伊人的风俗习惯就是这样。他们被波斯人征服之后,就随着波斯 人的远征队伍一同前进了。

    (97)大流士偕同他的陆军进抵伊斯特河,他便下令全军渡过该河;渡过 之后,他命令伊奥尼亚人把舟桥毁掉,而和水师一道随着他在大陆上进军。 正当伊奥尼亚人依照大流士的命令准备把桥毁掉的时候,米提列涅人的将领 埃尔克桑德罗司的儿子科埃斯先问一下大流士,是不是愿意听一下愿意提出 个人看法的任何人的意见,因此说:“哦,国王!既然你要进攻的国土是一 个既无耕地,又无有人居住的市邑的国土,那末请你还是把这个桥留在原来 的地方,要修造这座桥的那些人来看守它罢。这样的话,如果我们遇到了斯 奇提亚人并且达到了我们的愿望,我们便会有一条回来的道路;而甚至如果 我们遇不到他们,至少我们的退路还是安全的:因为我个人所担心的决不是 我侗会被斯奇提亚人所打败,而是担心我们遇不到他们,而在仿徨迷路的时 候遭受损失。也许有人会说,我这样说是为了我自己,因为我自己想留在后 面;但事情实际上并不是这样,可是,国王,我不位是向大家提出我认为是 对你最好的意见罢了。 至于我个人,我是愿意跟着你而不愿意留在后面的。”大流士十分嘉许 他的这个意见,于是这样回答科埃斯说:“亲爱的列斯波司人,当我安全地 迈回我的宫殿的时候,请一定到我这里来罢,我是会好好地来酬答你的忠言 的。”

    (98)这样诅了之后,他便在一个皮带上打了六十个结,并把伊奥尼亚人 的那些僭主召到自己面前,向他们说:“伊奥尼亚人,我撤回我以前关于桥 所发表的意见,你们收下这个皮带并且象我所吩咐地这样做:只要你们看到 我出发去征讨斯奇提亚人,从那个时候起,你们每天便解开这上面的一个桔, 如果结所表示的天数都过去了而那时我还没有回来,你们便乘船回国好了。 但是在这之前,既然我的意见已经这样改变,我命令你们守卫看这座桥,尽 一切努力来救护和保卫它。你们这样做,我就万分满意了”。大流士这样说 了之后,便赶忙继续向前出征了。

    (99)比斯奇提亚更远地向海里伸出的是色雷斯。斯奇提亚开始于海岸上 形成一个海湾的地方,河口向着东南方的伊斯特河也是在斯奇提亚境年人海 的。现在从伊斯特河起,我耍考虑到测量而把斯奇提亚本土的沿岸地带叙述 一下。古斯奇提亚的土地是从伊斯特河并始的,这块土地是向着子午线和南 风的方向,直到叫做卡尔奇尼提斯的城市的地方。过去这个地方,邻接着同 一海岸的土地则是山地并且突出到黑海里面去;这块地方住着陶利卡族,直 到称为特拉凯亚(嵯峨的)凯尔索涅索斯的地方,而这个地方又是向东伸到大 海里去的。因为在斯奇提亚的四个界线当中有两个界线是南方的海和东方的海(亚速海),就象阿提卡也是以大海为疆界一样;陶利卡人在斯奇提亚所居住的地方 也和阿提卡相似,这就正仿佛不是雅典人,而是其他民族居住在从托利科司 区到阿那普律司托司市区的索尼昂山地,如果这个地方比它现在夏远地突入 大海的话。我这样讲,是因为我认为我可以拿小东西和大东西相比。陶利卡 人听住的地方就是这样的。但是那些没有在阿提卡的那一部分的海岸航行过 的人,我可以用另一种办法对他说明:这就正仿佛不是雅庇吉亚人,而是其 他民族住在雅庇吉亚地方的、被从布偷特西昂港到塔拉斯所画的一条线所切 断的那个地岬上面。从我所谈的这两个地方,可以推知和陶利卡酷似的其他 许多类似的地方。

    (100)在陶利卡的那面就是斯奇提亚人居住的地方了,他们居住在陶利卡 以北濒临东海,奇姆美利亚海峡和麦奥提斯湖以西,直到流入该湖的最内端 的培钠伊司河的地方。至于斯奇提亚的内地疆界,如果我们从伊斯特河开始 算起的话,则与斯奇提亚为邻的首先是阿伽杜尔索伊人、其次是涅鸟高里司 人、复次是昂多罗帕哥伊人,最后是美兰克拉伊诺伊人。

    (101)这样看来,斯奇提亚就成了一个方形的国家而且有两面是临海的; 它有两面在内地,再加上沿着海的两面,就构成了四面相等的一个正方形。 因为从伊斯特河到包律司铁涅司河是十天的路程,从包律司铁涅司河到麦奥 提斯湖也是十天的路程;而从海向内地到居住在斯奇提亚以北的美兰克拉伊 诺伊人的地方,则是二十天的路程。现在我且把一天的路程针算为二百斯塔迪昂。这样,横断斯奇提亚的距离就是四千斯塔迪昂,而一直画到内地去的 折断线也便是同样数目的斯培迪昂了。这个国家的面积就是这样。

    (102)斯奇提亚人认为在公开的战斗中他们是不可能独力击退大流士的 军队的,于是他们派遣使者到他们的邻人那里去。而这些邻国的国王由于知 道有一支大军向他们推进,他们早已集合起来商对办法了。这样集合起来的 是陶利卡、阿伽壮尔索伊、涅鸟里司、昂多罗帕哥伊、美兰克拉伊诺伊、盖 洛诺斯、布迪诺伊和撒鸟罗玛泰伊等民族的国王。

    (103)在这些人当中,陶利卡人有这样的风俗习惯。所有遭到难船的人和 他们在海上打劫时所劫到的任何希腊人,他们把这些人都作为牺牲献拾少女神(一个地方神,希腊人认为它相当于阿尔铁米司)。方式是这样:在举行了牺牲奉献的预备仪式之后,他们便用一根木棍敲 打作为牺牲的人的头。根据有的人的说法,他们随后便把牺牲者的头插到竿子上并把他的胴体从断崖上抛下去(因为神殿就在断崖上面);又有人对于头 部的说法与此相同,但是说胴体不是从断崖上抛下去而是给埋到地里。他们 对之奉献牺牲的这个女神据陶利卡人自己说是阿伽美姆农的女儿伊披盖涅 娅。对于他们所征服的敌人,他们每个人都割掉他的敌人的头并把它带回自 己的家,在那里他把它插到一个长杆子上,高高地树立在层屋上,一般比烟 囱还要高。他们说,这些人头高高地放到那里是用来守望全宅的。陶利卡人 是仰仗着打劫和战争为生的。

    (104)阿伽杜尔索伊人在所有的人当中是最奢侈的了,他们非常喜欢佩戴 黄金饰品。他们是乱婚的,这样他俩相互间都是兄弟,相互间既都是一家人, 这样他们便不会相互嫉妒和忌恨了。在其他的风俗习惯方面,他们是和色雷 斯人接近的。

    (105)涅鸟里司人在风俗习惯方面是模仿斯奇提亚人的,但是在大流士的 军队到来的一代之前,他们曾遭到蛇的侵袭而被逐出本国。因为他们本国就 产生大量的蛇,此外叉有很多的蛇从北方的沙漠地带到他们这里来,而涅鸟 里司人最后受到这般的压制,以致他们竟不得不离开自己的国土而到布迪诺 伊人那里去住。他们也许是巫师,因为斯奇提亚人和住在斯奇提亚的希腊人 都说,每年每一个涅鸟里司人都要有一次变成一只狼,这样过了几天之后, 再恢复原来的形状。至于我本人,我是不能相信这个说法的。虽然如此,他 们依旧这样地主张,并且发誓说这样的事情是真的。

    (106)昂多罗帕哥伊人是圣人类当中生活方式最野蛮的民族。他们 不知 道任何正义,也不遵守任何法律。他们是游牧民族,穿着和斯 奇提亚人一样 的衣服,但讲的话却是他们自己的。在所有这些民 族当中,只有他们是以人 为食的。

    (107)美兰竞拉伊诺伊人都穿着黑衣裳,他们便是因此而得名的;他 们 所采用的是斯奇提亚人的风俗习惯。

    (108)布迪诺伊人是一个人口众多的大民族。他们都有非常淡的青色 的 眼睛和红色的头发。他们有一座木造的城市,称为盖洛诺斯。它 的城墙每一 面是三十斯塔迪昂长,城墙很高而且完全是木头修造 的。他们的家宅和神殿 也都是木造的。在他们那里有奉祀希腊的 神的神殿,这些神殿是按照希腊的 样式设备起来的,里面有神象、 祭坛、神龛,这些也都是木造的;他们每隔 两年就要为狄奥尼索斯 举行一次祀祭,举行祀祭的时候人们象是在巴科司节那样的发狂。 原来盖洛藉斯人的根源乃是希腊人,希腊人被逐离他们的商港 而 居住到布迪藉伊人中间来;他们所说的话一半是希腊语,一半是斯 奇提 亚语。但是布迪诺伊人所说的话和盖洛诺斯人不同,他们的 生活方式也不 同。

    (109)布迪诺伊人是当地的土著。他们是游牧民族,在这些地区中 间, 只有他们是吃樅果的;盖洛诺斯人是务农的,他们吃五谷而且 有菜园;在身 材和面貌上,他们和布迪藉伊人完全不同。然而希腊 人却仍旧称布迪诺伊人 为盖洛诺斯人,但这是不对的。他们的国 土到处都茂密地生长着各种各样的 树木,在树林的深处有一个极 阔大的湖,湖的四周是长着芦苇的沼地。人们 在湖里可以捕到水 獭、海狸,此外还可以捕获到另一种方形面孔的动物,它 们的皮可以用来做衣服的边,而人们还用它们的睾丸来治疗子宫的各种病。

    (110)下面我再说一说撒鸟罗玛泰伊人的历史。当希腊人对阿马松作 战的时候(斯奇提亚人称阿马松为欧构尔帕塔,就是杀男人者的意思,因为在斯奇提亚语里,oιò?[欧约尔]是男人的意思,лατα[帕培]是杀死的意思),传说他们在铁尔莫东取得了胜利之后,便把他们所生俘的阿 马松尽可能多地载满了三只船出发了;但是到了海上的时候,阿马松们却向 船上的水手进攻,并把他们杀死了。可是她们丝毫不懂船上的事情,她们也 不会使用舵、帆和桨;而原来的那些人既已被抛到海里去,她们只得任凭浪 头和风的摆布,直到她们来到麦奥提斯湖岸上克列姆诺伊的地方。这个地方 是在自由的斯奇提亚人的国境之内的。阿马松们便在这里上岸并且出发到有 人居住的地方去。但是在他们的旅程中,他们最初遇到的是一群马,于是他 们便畸着这一样马劫掠了斯奇提亚人的土地。

    (111)斯奇提亚人不知道这是怎么一回事,因为他们不懂得这些妇女的语 言,不认识这些人的衣服,也不知道这些人是什么民族。他们奇怪这些人是 从什么地方来的并认为他们都是年纪相同的男子,于是他们和阿马松展开了 战斗。战斗的结果是斯奇提亚人得到了战死者的尸体,这样他们才知道他们 的敌人原来是妇女。因而在他们商量之后,他们便决定决不象先前那佯地把 她们杀死,而是把他们的最年轻的男子们遇到她们那里去,根据推定,他们 派去的人数和妇女的人数是相等的。他们命令这些年轻人在阿马松的附近扎 营并且模仿她们的一切动作。如果妇女追赶他们,那末就不要交战,而是逃 跑:而当追赶停止的时候,便回来仍旧在她们的附近扎营。这便是斯奇提亚 人的计划,因为他们希望这些妇女能够生孩子。这样派去的年轻人,就依照 着吩咐给他们的做了。

    (112)当阿马松看到那些年轻人无意伤害她们的时候,她们就不去管他们 了。但是两处营地却一天天地接近起来。这些年轻人,他们和阿马松一样, 除去他们的武器和他们的马匹之外什么都没有;他们和妇女们一样,是以打 猎和打劫为生的。

    (113)在正午的时候,阿马松就要分散开来,分别一个人或是成对地相互 离开,这样漫游到别的地方去寻欢作乐。斯奇提亚人看到这一点于是也这样 做;当妇女们独自一人漫游的时候,一个年轻的男子便缠住了她们中间的一 个人。妇女并不加抵抗而是任凭他为所欲为:但(由于他们彼此之间言语不通) 她不能向他讲话,但她向他作手势表示应该有两个人,即要他第二天再带一 个年轻人到同一地点来,而她也把另一个妇女带到这里来。年轻男子回去告 诉了他的同伴,第二天他自己便和另一个男子到昨日的地方来,在那里他发 现阿焉松和另一个妇女在等候着他。当其他的年轻男子知道这件事的时候, 他们也就和其他的阿马松发生了关系。

    (114)他们于是立即把营帐结合起来往到一处了,每个男子都娶了与他第 一次发生关系的妇女为妻。但男子学不会妇女所说的话,可是妇女却懂得了 男子的语言。而当他们相互理解的时候,男子便对阿马松说:“我们有父母, 又有财产,因此我们不要再象现在这样地过活了,让我们回到我们的同胞们 那里去和他们一同过活罢。我们仍然愿意要你们,而不是别人,作我们的妻 子。”妇女们回答说:“可是我们不能和你们的妇女住在一起,因为我们和 她们的风俗习惯不同。我们射箭、投枪、骑马,可是我们从来没有学过妇女 的事情。你们的妇女从不做我们所提到的事情,而是坐在她们的车里做妇女 的事情,从不出来打猎或做其他什么事情。因而我们和她们是永远不能和谐 相处的。如果你们想要我们做妻子并且想保持正直的人的声名,邢未就到你 们的父母那里去要他们把应该给你们的财产分给你们,然后让我们走开过我 们自己的生活”。年轻人同意她们的意见并且这样做了。

    (115)当他们得到了他们应分得的财产并且回到阿马松这里来的时候,妇 女们对他们说:“想到我们竟不得不住在这个地方时,我们是感到害怕的, 因为我们不仅使你们的父母失掉了你们,而且使你们的土地受到了很大的损 害。既然你们认为你们耍我们为妻是正当的,那末就让我们和你们,咱们一 齐离开这块地方,住到塔纳伊司河那一面的土地上去罢”。

    (116)对这一点年轻人也同意了,于是他们渡位了塔纳伊司河,从河向东 走了三天的路程并从麦奥提斯湖向北走了三天的路程;而当他们到达了他们 现在所居住的地方的时候,他们便在那里定居了。从那时起,撒鸟罗玛泰伊 人的妇女便一直遵守着他们的古老的习俗:她们和她们的丈夫或是不和她们 的丈夫乘马出去打猎,她们也作战并且穿着和男子同样的衣服。

    (117)撒岛罗玛泰伊人的语言是斯奇提亚语,但是这种语言在他们嘴里已 经失去古时的纯正,因为阿焉松从来就没有把这种语言学好。至于婚姻,则 习惯上一个处女在她还没有杀死敌人的一个男子的时候是不许结婚的。有一 些妇女直到老死而不结婚,因为她们不能履行法律的要求。

    (118)上述各个民族的国王们集会的时候,斯奇提亚的使者到他们的地方 来了,这些使者把一切事件原原本本地告诉了他们。使者们告诉他们波斯人 怎样在把对面的大陆全部征服之后,又在博斯波鲁斯海峡上造桥而渡到他们 的大陆上来,怎样在渡过了桥并征服了色雷斯人之后,他叉在伊斯特河上架 桥,以便使那一地区和其他地区同样地也臣服于他。他们说:“这样看来, 你们决不应当安闲无事地袖手旁观看着我们被毁灭掉,而是我们应当大家团 结一致共同对付这个侵略者。如果你们不愿意这样做,则我们或是被强力驱 出我们的国土或是留在这里缔结屈辱的和约。如果你们不帮助我们的话,我 们将要遭到怎样的命运呢?从此之后,你们自己可以说是决不会有好日子过 的。因为波斯人对你们的攻击决不会比对我们的攻击轻,而在征服了我们之 后,他们也决不会将你们轻轻放过的。对于我们所说的话,我们可以向你们 提出充分的证明:如果波斯人只是向我们进攻以便报复我们先前奴役他们的 国土的这个耻辱的话,则他俩就一定不去触动别的民族而是一直向我们的国 士进攻,这样做是为了使大家明白他们的目的是斯奇提亚,而不是别的地方。 但是现在,自从他渡海到这个大陆上的时候起,他便一直征服着他路上所遇 到的一切尺族,他不仅征服了其他色雷斯人,而特别是征服了我们的邻人盖 塔伊人。”

    (119)以上就是斯奇提亚人所发表的意见,从各个民族前来的国王们进行 了商谈,但他们的意见是不一致的。盖洛诺斯人、布迪诺伊人、撒鸟罗玛泰 伊人的国王的见解是一致的,他们同意帮助斯奇提亚人:但是阿伽杜尔索伊 人、涅鸟里司人、昂多罗帕哥伊人、美兰克拉伊诺伊人、陶利卡人的国王都 是这样地回答斯奇提亚人的使者的:“如果不是你们首先向波斯人无端挑衅 因此引起了战争的话,则现在你们所提出的请求在我们看来就会是正当的, 而我们也会同意并且和你们采取一致的行动。但是现在,是你们而不是我们 进攻他们的国土并且把他们的国土统治到神所能允许的时期:而为同一位神 所激励的波斯人,现在不过是用同样的方式对你们进行报复罢了。但是我们 在先前并没有做过对不起他们的坏事,现在我们也不打算无椽无故地去侵害 他们。不过,假若波斯人也来侵犯我们的国土并且首先对我们做坏事的话, 那我们也就不会轻轻地放过这件事了。但是在我们看到他们这样做之前,我 们还是想留在我们的国土之内的。因为根据我们的看法,波斯人所要进攻的 不是我们,而是首先做出不正当的事情的人。”

    (120)这个回答被带了回来并传达给斯奇提亚人之后,斯奇提亚人于是决 定不对敌人进行公开的战争,因为他们并不能得到他俩所寻求的盟友。他们 决定把自己分成两路,暗中撤退并赶走他们的牲畜,填塞他们撤退道路上的 水井和泉水并把地上的草连根掘掉。他们的意思是把撒鸟罗玛泰伊人加到斯 科帕西司所君临的一支军队中去,而如果波斯人向他们进攻的话,这支军队 便在他面前向塔纳伊司河方面沿着麦奥提斯湖退却,如果波斯人向回走的 话,那他们 就进击和追踪他们。以上乃是王国的一支地区部队,它的使命是 接着上述道路行进。他们的其他两支地区部队,邱伊丹图尔索司所指挥的较 大的一支部队和培克撒启司所君临的第三支地区部队,则合并为一,再把盖 洛藉斯人和布迪诺伊人加进去;他们在波斯人进军时也和其他人一样地暗地 里撤退,他们要在敌人前面保持一天的路程,避免与敌人相会并且按他们所 决定的办法去做。但首先他们必须一直撤退到拒艳和他们联盟的国家里去, 以便使这些国家也会被迫战斗。因为如果他们不是出于本心地对波斯人作战 的话,他们也会迫不得已而对波斯人作战的。在这之后,军队便返回自己的 国土,而在商议之后觉得于己有利的时候,便向敌人发动进攻。

    (121)斯奇提亚人决定了这样的一个计划之后,他们便派出了他们最精锐 的骑兵作为前哨部队去邀击大流士的军队,至于他们的妻子儿女用来作为住 宅的车子以及他们的全部牲畜,他们都拾打发到前面去,留在后面的只有足 够食用的一批牲畜。他们命令车子和牲畜一直向着北风的方向行进。

    (122)这些人首先被遣送出去了。斯奇提亚人的前哨部队在离伊斯特河三 日路程的地方发现了波斯人,在发现了他们之后,他们就在比敌人早一天的 路程的地方屯营,并着手把一切在地上生长看的东西都缝除干净。当波斯人 看到斯奇提亚的骑兵部队出现的时候,他们便跟踪追击,而斯奇提亚的骑兵 则是一直在他们的面前退却。随之(由于向着斯奇提亚的一个地区部队进 击),波斯人便继续向着东方和塔纳伊司河的方面追击,而当斯奇提亚的骑兵 渡过了培纳伊司河的时候,波斯人也便跟着渡过了河追击,因此他们竟穿过 了撒鸟罗玛泰伊人的土地而进入了布迪诺伊人的土地。

    (123)但是在波斯人穿过斯奇提亚人和撒鸟罗玛泰伊人的土地的时候,那 里并没有任何可供他们蹂躏的东西,因为那里已是一片荒芜的不毛之地了。 但是当他们进入布迪藉伊人的土地的时候,他们看到了一座木造的城市;不 过布迪诺伊人已经放弃了这座城并且什么东西也没有留在里面,于是波斯人 便把这座城烧掉了。这之后,波斯人继续向前跟踪追击骑兵,他们经过了这 个地区而进入了没有人烟的荒漠地带。这片地区在布迪诺伊人的北面而它的 宽度是七日的行程。在这个荒漠地带的那一面则住着杜撒该塔伊人;从他们 那里流出了四条大河流,它们流经麦奥塔伊人的土地而注入所谓麦奥提斯 湖。这四条大河的名字是吕科斯河、欧阿洛司河、塔纳伊司河、叙尔吉司河。

    (124)当大流士进入荒漠地带的时候,他便停止了追击,在欧阿洛司河河 岸上扎下了营,在那里他修筑了八座大要塞,每座要塞相距都是六十斯培迪 昂。这些要塞的残迹在我的时代还存在的。当他正在忙于修筑这些要塞的时 候,他所追击的斯奇提亚人却向北迂回,转回斯奇提亚了。当他们完全消失 而不再处于波斯人的视线之内的时候,大流士于是便放弃了那些完工一半的 耍塞,也回转过来向西行进了,他以为那些斯奇提亚人是他们的全部军队, 而他们是向西方逃跑的。

    (125)但是在他以强行进军的速度进入斯奇提亚的时候,他却遇到了斯奇 提亚人的两个地区部队,他追吉他们,但他们一直是在他前面保持一天的行 程。由于他不愿意停止对他们的追夫,斯奇提亚人于是依照他们原定的计划, 从他的面前逃到拒绝和他们结盟的国家去,首先就是到美兰克拉伊诺伊人那 里去。斯奇提亚人和波斯人都突入了他们的国土,扰乱了他们的和平生活; 斯奇提亚人从这里又把波斯人引进了昂多罗帕哥伊人的国土,同样地也扰乱 了他们。从那里他们以同样的效果撤退到涅岛里司人的国土,也扰乱了他们, 然后又逃到阿伽杜尔索伊人那里去。但是这些人看到他们的邻人们在斯奇提 亚人迫近时惊惶逃跑的情况,便在斯奇提亚人能够进入他们的国土之先,派 出一名使者禁止斯奇提亚人涉足他的边界,并警告说,如果斯奇提亚人打算 突破边界的话,他们就必须首先和阿伽杜尔索伊人作战。在发出这个警告之 后,他们便集结在边界的地方,打算阻止侵略者,但是在波斯人和斯奇提亚 人突人美兰竞拉伊诺伊人、昂多罗帕哥伊人和涅戾里司人的国土时,这些人 并没有进行抵抗,而是忘记了自己先前的威吓言词,惊惶失措地一直向北逃 到荒漠地带去了。斯奇提亚人既然受到阿伽杜尔索伊人的警告,便不再想进 入他们的国土,而是把波斯人从涅鸟里司人的国土引进了斯奇提亚。

    (126)这样的情况继续了很久,而且是无尽无休的:于是大流士就派了一 名骑士送信给斯奇提亚的国王伊丹图尔索司说:“莫名其妙的先生,既然在 下述两件事情当中你可以任择其一,则我党得奇怪为什么你老是在逃跑?如 果你认为你有足够的力量来与我一较雌雄,那末就不要再向前跑,而停下来 战斗:但如果你知道你自己较弱,那末就不要再这样跑来跑去,而是应当和 你的主人缔约,把土和水这两件礼物送给他。”

    (127)斯奇提亚的国王伊丹图尔索司回答他说:“波斯人,我来告诉你我 采取的态度罢,我从来不曾因为怕任何人而逃跑过,现在我也不是由于害怕 你而逃跑。现在我的这个做法绝不是什么一件新鲜的事情,而只是我平时的 一种锻炼罢了。至于我不立刻与你接战的理由,这一点我也要告诉你的,因 为我们斯奇提亚人没有城市或是耕地,故此我们不必害怕被攻陷或是被蹂 躏。这样我们就没有向你尽快作战的理由了,担如果除去立刻接战之外,任 何东西你们都不满意的话,我们还有我们的父祖的坟墓,来找到这些地方并 试看把它们毁掉罢。那时你们就会知道我们是不是会为了那些坟墓而战斗。 除非到我们认为适宜的时候,我们是不会接战的。关于战斗,我就谈这些。 至于主人,则我认为我的主人是我的祖先宙斯和斯奇提亚人的女王希司提 亚,而不是别的什么人。我将要把礼物送给你,但不是土和水,而是你正应 当得到的东西;至于你吹嘘说你是我的主人,我是要咒诅这句话的。”斯奇 提亚人对他们的回答便是这样。

    (128)于是使者带了这个信到大流士那里去了;但是斯奇提亚人的国王们 当他们听到奴役的这个词时心里是十分气愤的。于是他们派出了由斯科帕西 司所统率的由斯奇提亚人和撒鸟罗玛泰伊人组成的一支部队,去和守卫着伊 斯特河河上的桥的伊奥尼亚人谈判。至于留在后面的斯奇提亚人,则决定他 们不再引着波斯人到各处乱跑,而是在波斯人用饭的时候向他们进攻。因此 他们便等待到波斯人用饭的时候按照他们的计划行事。斯奇提亚的骑兵在战 斗当中总是击退波斯的骑兵,波斯的畸兵向步兵方面溃返,波斯的步兵于是 上来应援。斯奇提亚人这方面虽然打退了对方的骑兵,却由于害怕步兵而逃 了回来。斯奇提亚人在白天或是在夜里,便都是用这种办法进攻的。

    (129)说起来最奇怪的是,对波斯人有利但是妨碍了斯奇提亚人进攻大流 士的罩队的是驴子的叫声和骡子的样子。因为,如我已经讲过的,斯奇提亚 那地方是不产驴子或骡子的。而在斯奇提亚的全部地方,也由于气候寒冷的 缘故,没有任何驴子或是骡子。因此在驴子高声狂叫的时候,就把斯奇提亚 的骑兵吓跑了。常常在他们攻击波斯人的时候,如果马听到驴鸣的话,它们 便会惊惶地向回跑或是吃惊地竖起耳朵站在那里,因为它们从来没有听见过 这样的一种声音或是看见过这样的活物。因此这一点对战争也还是有一些影 响的。

    (130)当斯奇提亚人看到波斯人已呈动摇之象的时候,他们便想出了一个 计划,这个计划可以使波斯人更长久地留在斯奇提亚并由于这样的停留而引 起缺乏一切必需品的苦恼。他们把一些牲畜和牧人留在后面,而他们自己则 迁移到别的地方去。于是波斯人便会来掠夺这些家畜,并将因之而欢欣鼓舞 起来。

    (131)这样的事既然多次发生,大流士于是陷于进退维谷的地步了。当他 们看到这一点的时候,斯奇提亚的国王们于是派遣一个使者把一份礼物带给 了大流士,这份礼物是一只鸟、一只鼠、一只蛙和五支箭。波斯人问来人带 来的这些礼物是什么意思,但是这个人说除去把礼物送来和尽快离开之外, 他并没有受到什么吩咐。他说,如果波斯人还够聪明的话,让他们自己来猜 一猜这些礼物的意义罢。波斯人听了这话之后便进行了商谈。

    (132)大流士认为这是斯寄提亚人自己带着土和水向他投降的,他的理由 是:老鼠是土里的东西,他和人吃看同样的东西,青蛙是水里的东西,而后 和马则是很相象的。他又说,箭是表示斯奇提亚人献出了他们的武力。这是 大流士所发表的意见;但是杀死玛哥斯僧的七人之一的戈布里亚斯的意见和 大流士的意见恰恰相反。他推论这些礼物的意义是:“波斯人,除非你们变 成鸟并高飞到天上去,或是变成老鼠隐身在泥士当中,或是变成青蛙跳到湖 里去,你们都将会被这些箭射死,永不会回到家里去。”

    (133)波斯人关于这些礼物的推论就是这样。斯奇提亚人有一支部队起初 曾奉命守卫麦奥提斯湖,现在则又被派到伊斯特河来和伊奥尼亚人谈判。当 斯奇提亚人的这支部队来到桥这个地方时,他们说:“伊奥尼亚人,只要你 们肯听我们的意见的话,我们是会来把自由带给你们的。我们听说大流士命 令你们把这座桥只守卫六十天,而如果他在这一期间不来的话,那你们便可 以回到你们的家里去。 因此你们如这样做,则在大流士看来和在我们看来都是无罪的。那就是 你们在指定的日子里留在这里,在这个时期过去以后便离开”。伊奥尼亚人 答应这样做之后,斯奇提亚人便尽快地杠回去了。

    (134)但是在把礼物遇到大流士那里去以后,留在那里的斯奇提亚人便把 步兵和骑兵拉出来和波斯人对阵了。但是当斯奇提亚人列好队形的时候,从 罩队当中跑出了一只兔子:看见它的每一个斯奇提亚人都追赶这只兔子。因 此在斯奇提亚人中间发生了混乱和喊叫。大流士问敌人的这种喧叫是什么意 思。而当他听说他们正在追赶鬼子的时候,他就对他经常与之谈论事情的人 们说:“这些人简直是太不把我们放到眼里了,我以为戈布里亚斯关于斯奇 提亚人的礼物的说法是正确的。既然我对于这件事的看法也和他一样,我们 就必需想个好办法以便我们可以安全地返回自己的国土”。于是戈布里亚司 便接上来说:“主公,在我没来到这里之前,从传闻我就差不多完全相信这 些斯奇提亚人是多么不好对付的了。而我到这里之后,这一点我就更加肯定 了,因为我看他们不过是和我们开玩笑罢了。因此现在我的意见是,在入夜 之际我们依照我们通常的习惯点起我们的营火,以便欺骗我们的军队中最弱 而不能吃苦的那些人并且把我们所有的驴子都系在这里,我们自己则在斯奇 提亚人能够一直到伊斯特何把桥毁掉或是伊奥尼亚人作出任何使我们遭到毁 灭的决定以前离开”。戈布里亚斯的忠告就是这样。

    (135)到夜里的时候,大流士就依照他的意见行动了。他把那些困难之极 的和即使被杀死对他也无大妨碍的士兵留在营地而且把驴子也系在那里。他 之所以把驴子留在那里是因为驴子会叫,他之所以留下病弱的士兵是因为他 们的病弱无能,但是他的口实是什么呢,这是他要率领他的精锐部队去进攻 斯奇提亚人,而这时病弱的人则是要代他守卫营地。大流士向留在后面的人 们发布了这个命令并且点起了营人之后,便圣速地到伊斯特河去了。当驴子 发现它们自己被人群遗弃的时候,它们便比平常更加拼命地叫了起来。斯奇 提亚人听到了这声音之后便傈为相信,波斯人仍旧留在从前的地方。

    (136)但是当天亮的时候,被留下的人们才晓得是大流士骗了他们,于是 他们便向斯奇提亚人伸出了投降的手并且把真实情况告诉了他们。斯奇提亚 人听到这个消息之后,立刻入速地集合了自己的兵力,他们自己的两支部队 和有撒扁罗玛泰伊人、布迪带伊人、盖洛带斯人参加的一支部队,一直向伊 斯特河方面追击波斯人去了。但是波斯军队的大部分是步兵而且由于道路没 有开凿出来而他们不识道路,但斯奇提亚人都是畸兵井且知道到那里去的捷 径,因此他们相互间远远地错开了,结果斯奇提亚人便远比波斯人要早到那 座桥的。斯奇提亚人既然看到波斯人还没有到达,他们便向船上的伊奥尼亚 人说:“伊奥尼亚人,规定的日期已经过去了,你们若还留在这里就不对了。 可是,在这以前是畏惧的心情使你们不敢离开这里,现在尽快把桥毁掉,感 谢诸神和斯奇提亚人,在自由与快乐之中回家去罢。至于那曾是你们的主人 的那个人,我们是会叫他永远不会再率领着他的军队进攻任何民族的”。

    (137)于是伊奥尼亚人便举行了一次会素。海列斯彭特的凯尔索涅索斯人 的僵主兼指挥官、雅典人米尔提亚戴斯的意见是,他们听从斯奇提亚人的劝 告并使伊奥尼亚获得自由。米利都人希司提埃伊欧斯则持着反对的意见。他 认为他们今日之所以鲁自成为自己城邦的僭主,正是由于大流士的力量,如 果大流士的权势被推翻的话,他们便再也不能进行统治了,不拘是他在米利 都还是他们的任何人在任何地方都会如此,因为那时所有城邦都会选择民主 政治,而不会选择僭主政治了。当希司提埃伊欧斯发表这个意见的时候。他 们全体立刻赞同了这个意见,尽管他们起初曾同意了米尔提亚戴斯的说法。

    (138)投票赞同这种做法的是大流士所重祝的人们;他们是海列斯彭特诸 城邦的僭主阿比多斯的达普尼司、拉姆普撒柯斯的希波克洛司、帕里昂的海 罗庞托司、普洛孔涅索斯的美特洛多罗司、库吉科司的阿里司塔哥拉斯、拜 占廷的阿里司通;来自伊奥尼亚的则是歧奥斯的司妥拉提斯、萨摩司的埃雅 凯司、波凯亚的拉欧达玛司以及反对米尔提亚戴斯的意见的米利都的希司提 埃伊欧斯。在爱奥里斯人当中,列席的唯一重要人物就是摩麦的阿里司塔哥 拉斯。

    (139)因此,在这些人议定采纳了希司提埃伊欧斯的意见之后,他们便决 定再把下列的行动和言语加上去,他们决定把接连着斯奇提亚的那一面的一 部分桥毁掉,直到从斯奇捉亚的岸上用箭所能射到的地方,这样他们看来好 象是做了一些事情,但是实陈上他们是什么事也没有做,而且这样又使斯奇 提亚人不能武图强行从这座桥渡过伊斯特河。同时在毁掉接连着斯奇提亚的 领土的这部分的桥时还可以告诉斯奇提亚人说,他们愿意做到斯奇提亚所希 望他们做的一切事情。他们又把这个决定加到他们先前的决议上面去。而希 司提埃伊欧斯随即代表全体希腊人,回答斯奇提亚人说:“斯奇提亚人诸位,你们给我们带来了好的意见,而你们的热心行动也是及时的;你们应如其份 地正确地指导了我们,我们也做我们的事情,帮助你们达到你们所需要的目 的;因为你们看到,我们正在毁掉这个通路,并将尽一切努力,因为我们是 十分希望得到我们的自由的。但是在我们毁掉桥梁的时候,那也正是你们去 搜索波斯人的时候。而当你们发现他们的时候,你们便可以为你们以及为我 们象他们所应得那样地对他们进行报复了”。

    (140)因此斯奇提亚人便再一次地相信了伊奥尼亚人的话并转回去一搜 索波斯人去了,但是他们弄错了他们的敌人回师时所经过的全部道路。在这 一点上,斯奇提亚人自己是有责任的,因为他们毁坏了那一地区的牧马草场并且堵塞了水井。如果他们不这样做的话,只要他们愿意,他们立刻就可以 找到波斯人。但实际上,他们自认是最高明的那一部分计划却正是他们失败 的原因。因此斯奇提亚人便在国内有秣草和水的那些地方搜索敌人,因为他们认为,敌人在逃跑时也是会以这样的地方为目标的。但是波斯人却一直接 着他们来时的原路行进,因此好不容易他们才找到了渡河的地方。但既然他 们是在夜间到达的并发现桥已经被毁,他们便非常害怕伊奥尼亚人会不会已 弃掉他们而逃跑。

    (141)大流士手下有一个埃及人,这个人的嗓子是世界上最高的。大流士 命令这个人站在伊斯特河的岸上呼唤米利都的希司提埃伊欧斯。埃及人按着 他的话做了。希司提埃伊欧斯听到了并且服从了这个埃及人的第一次呼唤, 于是他把所有的船派出去把军队渡了过来并且把桥重新修复了。

    (142)波斯人就这样的逃掉了。斯奇提亚人搜索波斯人,但是又一次地没 有找到他们。他们对于伊奥尼亚人的看法是这样:如果把他们看成是自由人, 则他们就是世界上最卑劣的胆小鬼;但如果把他们看成奴隶,他们就会是忠 实于他们的主人并且是最不想跑掉的。斯奇提亚人就是这样地诽谤伊奥尼亚 人的。

    (143)大流士穿过了色雷斯而行进到凯尔索涅索斯的赛司托斯;从那里他 又和他的船只一同渡海到亚细亚,却把美伽巴佐斯留在欧罗巴担任统帅;这 是一个波斯人,大流士有一次曾在波斯人当中说了我下面所记述的话以表示 对这个人的敬重。大流士有一次正要吃石榴,而正当他剥开第一个石榴的时 候,他的兄弟阿尔塔巴诺斯便问他,他希望有什么东西能够象石榴子一样多, 于是大流士就说,与其使所有的希腊人都成为他的臣民,他宁可要象石榴子 那样多的美伽巴佐斯那样的人物。在波斯人当中这样讲话,国王实际上就是 表扬了美伽巴佐斯:而现在他就是把美伽巴佐斯留下当作统帅,指挥他的八 万名军队。

    (144)这个美伽巴佐斯由于自己所说的话而永远为海列斯彭特的人们所 记忆。当他在拜占廷的时候,有人告诉他说,迦太基人曾在拜占廷人建城前 十七年建立了他们的城,他说迦太基人那时一定是瞎了眼睛的。因为倘若不 是这样的话,在他们可以有一个较好的地址时,他们就决不会找一个较次的 地址来建城了。这个美伽巴佐斯现在既然被留在这里担任统帅,他便征服了 不站到波斯人这一边来的所有的海列斯彭特人。

    (145)这就是美伽巴佐斯所做的事情。在这个时候,还派出了一支大军去 攻打利比亚,理由我将要在我就要讲的这个故事之后说明。阿尔哥号船的水 手们的子孙们曾被把雅典的妇女从布劳隆拐跑的佩拉司吉人赶了出来。在被 这些人赶出了列姆诺斯之后,他们就乘船到拉凯戴孟去,在那里的塔乌该托 斯山里设立了营帐并点起了火。拉凯戴孟人看到这之后,便派来一名使者打 听他们是什么人,他们是从什么地方来的。他们回答使者说他们是米尼埃伊 人,是乘着阿尔哥号船在海上行驶的那些英雄的后人,那些英雄曾在列姆诺 斯上陆抖在那里繁育自己的后代。拉凯戴孟人听到了米尼埃伊人叙述的世系 之后,便第二次派出了自己的使者,问他们到拉科尼亚来并在这里点起了火 是为了什么目的。他们回答说,他们被佩拉司吉人赶了出来,因此来到了他 们的祖先的土地,因为他们认为这样做是最正当的:至于他们的愿望,则他 们希望能够和他们父祖的民族住在一起,分享他们的权利并且得到分配给他 们的地段。拉凯戴孟人很高兴接受米尼埃伊人,如果米尼埃伊人愿意的话。 他们之所以这样同意的主要理由,是琴达列乌斯的儿子(卡司托尔和波律戴乌凯斯)也曾在阿尔哥号船上。因此他们便接受了米尼埃伊人并且给他们土地,又把他们分配在自己的 部落中间。米尼埃伊人立刻在这里娶了妻子并且把他们从列姆诺斯带来的妇女给这里的其他的人作妻子。

    (146)但不久之后,这些米尼埃伊人就变得横暴 傲慢起来,他们要求担任国王的同等权利并且做出了其他邪恶的事情。于是 拉凯戴孟人决定把他们杀死,这样就把他们捉起来投到狱里去。斯巴达人永远是在夜里,而决不在白天杀人的。但是当他们正要杀死囚徒的时候,米尼 埃伊人在当地所娶的妻子,也就是那些首要的斯巴达人的女儿们却请求允许 她们进入监狱并让她们每一个人都能和自己的丈夫讲话。拉凯戴孟人答应了 她们,他们绝没有想到这些妇女对他们会有什么计谋。但是在她们进入狱中 以后,她们便把所有她们的衣服给她们的丈夫,而她们自己则穿上了男子的 服装。因此这些米尼埃伊人便穿上了女人的衣服,装着女人跑出来了。他们 这样跑出来之后,便再一次在塔乌该托斯山上建立了营地。

    (147)而就在这个时候,铁拉司正在准备率倾殖民者离开斯巴达。铁拉司是波律涅凯斯的一个后代,他们两人中间隔着铁尔桑德洛斯、提撒美诺司和欧铁希昂。这个铁拉司是卡德谟司一族的人,他是阿里司托戴莫斯的儿子埃乌律司铁涅斯和普罗克列斯的舅父;当这些男孩子还是年幼的时候,他在斯巴达以摄政的身分执掌王权。但是当他的外甥长大并成了国王的时候,铁拉司既然尝过执掌最高政权的味道,因此便受不住再当一名臣民;于是他说他 不愿再居留在拉凯戴孟,而是想渡海到他的亲族那里去。在现在称为铁拉, 但当时称为卡利斯塔的岛上,有腓尼基人波依启列司的儿子美姆布里阿洛司的后人;因为阿该诺尔的儿子卡德谟司在寻找欧罗巴的时候曾在现在称为铁拉的地方登陆,而在登陆之后,或者是因为他喜欢这个地方,或者是因为其他的什么原因使他愿意这样做,他把自己的一个亲戚美姆布里阿洛司以及其 他一些腓尼基人留在这个岛上了。在铁拉司从拉凯戴孟到来之前,这些人在 这个卡利斯塔岛上已居住了八世。 ① 欧伊狄波司是底比斯国王拉伊欧司和他的妻子伊奥卡司塔之间所生的儿子。他幼时被弃但是遇救并给带到遥远的国度去。长大成人后他回来时,并不知道自己的身世,后杀死了他的父亲并娶了自己的母亲。等后来他知道事情的真相时,已经太迟了。

    (148)因此,铁拉司便率领着从各个部落选出的人们准备到他们这里来 了。他们打算和卡利斯培的人们住在一起,他们不是把卡利斯塔人逐出,而 是把他们称做自己的亲人。因此当米尼埃伊人逃出了监狱并在培乌该托斯山 上定居下来,而拉凯戴孟人议决把他们处死的时候,铁拉司便请求饶他们的 性命,不要杀死他们,他自己并答应把他们领出国土。拉凯戴孟人同意这样 做了,于是铁拉司便率领着三艘三十桅船到美姆布里阿洛司的后人那里去; 不过他不是带着全部米尼埃伊人,而只是少数人,因为他们之中较大的部分 都到帕洛列阿塔伊人和考寇涅斯人的土地去,他们把这些人从那些地方赶出 去以后,便把他们自己分成六部并在他们征服的国土上建立了六个城市,即 列普勒昂、玛启司托司、普利克撒伊、披尔哥斯、埃披昂、努迪昂。它们的 大部分在我的时候为埃里司人所攻掠。至于上述的那个岛(即卡利司塔岛),则由于它的殖民者铁拉司的名字而被称为铁拉岛。

    (149)但是既然铁拉司的儿子不愿意和他一同乘船离开,于是父亲便说他 要把儿子象是把羊留在狼群当中那样地留在后面。在说了这 话之后,这个年轻人便得到了一个欧约律科司(羊狼)的绰号,这绰号竟成了他的通用的名 字。他生了一个儿子埃盖扁斯,斯巴达的一个强大的埃盖乌斯族便是因他而 得名的。这一族的男子发现他们的孩子都活不大,于是他们便按照一个神托 的指示,建立了拉伊欧司和欧伊狄波司①的复仇之神的神殿。在这之后,他们的孩子便都能活了。铁拉地方他们的子孙的情况也是这样。

    (150)在我的叙述当中,拉凯戴孟人和铁拉人传说的相同的地方就是这 些;至于其他的部分,则就只是从铁拉人那里听来的了。上述铁拉司的后裔、 铁拉的国王埃撒尼欧司的儿子格林诺司从他自己的城市带看牺牲用的牛百头 到戴尔波伊来。和他一同到这里来的,除去他的本邦人之外,还有米尼阿伊 族的埃乌培莫司的一个后人波律姆涅司托司的儿子巴托司。当铁拉的国王格 林诺司就其他事件请示神托的时候,女司祭的回答是他应当在利比亚建立一 座城市。但是格林诺司回答说:“主啊,我年纪已太老而且举动也不灵活了, 请你还是把命令下给这些年轻人中间的一位吧”,而在他讲这话时他便是指 着巴托司的。当时也就是说了这话便算了。但是在他们离开之后,他们却没 有注意按照神托所吩咐的去办,因为他们不知道利比亚在世界上的什么地 方,并且没有勇气到他们所不了解的地方去殖民。

    (151)但是在这之后七年中间铁拉都没有下雨。岛上他们所有的树木,除 去一株之外,全都干死了。铁拉人又到戴尔波伊去请示神托,而女司祭就提 到说他们应当到利比亚去殖民。因此,既然没有办法制止他们的灾祸,他们 只好派使者到克里地去,到那里寻找曾经旅行过利比亚的任何克里地人或是 居留在那里的外人。这些人在他们巡行该岛时曾到达一个叫做伊塔诺司的城 市,在那里他们遇到了一个名叫科洛比欧司的采紫螺的渔夫。这个人告诉他们说,有一次他曾因大风迷路而到达利比亚,到那里的一个称为普拉铁阿的岛。他们于是雇佣这个人和他们一同到了铁拉。起初从铁拉只派出了少数人 乘船到那里去进行侦查。他们被科洛比欧司领到上述的普拉铁阿岛之后,便 把科洛比欧司速同若干月的食粮留在那里,而他们自己则以全速乘船返回铁 拉报告有关该岛的消息。

    (152)但是当他们离开那里的时间超拉了约定的日期时,科洛比欧司就没 有吃的东西了。但是一艘驶往埃及,船长为柯莱欧司的、萨摩司的船却迷路 而到了普拉铁阿;萨摩司人从科洛比欧司那里听到了全部经过之后,就给他 留了了一年的粮食。于是他们从该岛乘船预备到埃及去,仍是一阵东风把他 们吹迷了路,结果他们竟通过海拉克列斯柱,因天意而一直到塔尔提索斯才 停下。这个地方在那时是一个处女港(指希腊人还没有到过的港口),因此萨摩司人在归国之后由于他们的商品而获得了比我们所确实知道的 任何希腊人都要大的利益,例外的只有埃吉纳人拉欧达玛司的儿子索司特拉 托司,因为是没有一个人可以和他相比的。萨摩司人用他们获利的十分之一、 即六塔兰特制作了一件和阿尔哥斯的混酒钵相似的青铜器,青铜器的整个边 缘上都铸造得有格律普斯的头部突出来;他们把这一青铜器安放在他们的希 拉神殿里,下面有三个巨大的跪着的青铜像支着,每个都有七佩巨斯高。萨 摩司人所做的这件事是他们和库列涅人与铁拉人结成亲密友谊的开端。

    (153)至于铁拉人,则当他们把科洛比欧司留在岛上之后而自己回到铁拉 时,他们就报告说他们已在利比亚沿岸的一个岛上建立了一个殖民地。铁拉 人决定从他们的七区派遣男子出去,用抽签的办法选出每两个兄弟中的一人 并使巴托司成为大家的领袖和国王。于是他们便装备了两只五十桅船并把它 们派到普拉铁阿去了。

    (154)以上便是铁拉人的说法。下面说的是铁拉人和库列涅人的说法相同 的部分;但是关于巴托司人的说法,库列涅人和铁拉人的说法却是完全不同 的。他们的说法是这样。在克里地有一个叫做欧阿克索司的城邦,它的统冶 者是埃铁阿尔科斯。他有一个没有母亲的女儿普洛尼玛,然而他却不得不再 娶一个后妻。当他的第二个妻子来到他家的时候,她就认为她自己应该是普 洛尼玛的一个不折不扣的后母,她虐待普浴尼玛并且对她出一切坏主意,最 后她竟指控她的女儿有淫乱的行为并且说服了自己的丈夫也相信了这种说法 是真的。埃铁阿尔科斯被他的妻子说服之后,便对他自己的女儿做出了一件 不能容忍的罪恶处罚办法。在欧阿克索司地方有一个叫做铁米松的铁拉的商 人。埃铁阿尔科斯把这个人作为自己的朋友招请了来,他要这个人发誓做他 想要这个人做的任何事情。这样做了之后,他便把自己的女儿交给这个人, 要这个人把他带走,把她投到海里去。但是铁米松却因这一誓约的诡计而感 到十分愤慨,故而他竟弃绝了他和埃铁阿尔科斯之间的友谊;不久他便带着 这个女儿乘船出发了,他为了履行他对埃铁阿尔科斯的誓言,船到海上之后 他便把她用绳子系住,把她下放到海里去,然后再把她拉上来。他们随后便 来到了铁拉。

    (155)在那里一个知名的铁拉人波律姆涅司托司娶了普洛尼玛,使她成为 自己的妾。不久她便为他生了一个儿子,这个儿子讲话口齿不清并且口吃, 铁拉人和库列那人便说,他的父亲给他起了个巴托司的名字。但是我以为这 个男孩子起的是另外一个名字,他是在到利比亚来的时候才改换了这个名字 的,他起了这个新的名字,是由于他在戴尔波伊得到的神托和他接受的光荣 职位。困为利比亚语的国王是巴托司,而我以为这就说明为什么佩提亚在预 言中这样称呼他;她用一个利比亚的名字,是因为她知道他会成为利比亚国 王的。原来在他长大成人的时候,他就到戴尔波伊去请示关于他的声音的事 情;佩提亚在回答时的宜托词是这样: 巴托司啊,你是来问声音的事情的;但是国王波伊勃司·阿波罗却遣送 你到利比亚去建立一个生产很多羊的殖民地。她这就仿佛是用希腊语对他 说:“国王啊,你是为了声音的目的来的”。但是他回答说:“主啊,我到 这里来是请示关于我的声音的事情的,但是你的回答却是关于别的事情,是 关于那些不可能实现的事情的。你命令我在利比亚建立一个殖民地,可是我 从什么地方得到力量,得到人手来做这件事情呢?”巴托司这样说了,但是 神并没有按照他的意思拾他另一个宣托词而是和先前一样地回答了他。于是 在佩提亚的话尚未讲完的时候,他便离开到铁拉去了。

    (156)但是后来巴托司 和其他的铁拉人都很不顺遂;他们不知道为什么他们这样的不走运,于是他 们便派人到戴尔波伊去问有关他们当前的不幸的事情。佩提亚说,如果他们 帮助巴托司到利比亚的库列涅去殖民的话,那末他们就会比现在好些。于是 铁拉人便派遣巴托司带着两艘五十橈的船出去。这些人乘船来到了利比亚, 但是他们一时不知道还应当做些什么事而回到了铁拉。但是铁拉人却在他们 靠近海岸的时候向他们射击,不许他们上岸而要他们返回。他们没有办法, 只得回去并在利比亚沿岸的一个我已说过名叫普拉铁阿的岛上建立了一个殖 民地。这个岛据说和现在的库列涅市同样的大小。

    (157)他们在这个岛上住了两年。然而他们在那里既然都很不得意,他们 便留下他们中间的一个人在那里,其他的人则到戴尔波伊去;到达之后,他 们就请示神托,问他们尽管住在利比亚,但他们的运气一点儿也没有好转起 来。于是佩提亚便这样回答他们说:我到过,可是你们却没有到过产羊丰富 的利比亚。 但如果你们比我对它知道得更清楚,那末你们的智慧诚然就大为使我赞 赏了。听到这话之后,巴托司和他的人们就再度乘船回去了;因为神在他们 真正地在利比亚殖民之前是不会放过他们去的。而在到达了普拉铁阿并且又 带上了他们留在那里的人之后,他们就在利比亚的本土建立了一个殖民地, 这个地方对着普拉铁阿岛,名叫阿吉利司。这个地方的两面都有最美丽的丛 林坏抱着,而它的一面还有河流过。

    (158)他们在这里居留了六年。但是在第七个年头,利比亚人恳求他们离 开这个地方,利比亚人向他们表示愿意把他们带领到更好的一个地方去;于 是他们便把希腊人从阿吉利司引开,把希腊人引向西方;他们是这样地计算 着白天的时刻,以便使希腊人在夜间走过他们国内最好的一个叫做伊拉撒的 地方,因为他们害怕希腊人在经过的时候会看到这个地方。于是希腊人便被 引到一个叫做阿波罗泉的地方,他们向希腊人说:“希腊人啊,这里是适于 你们居住的;因为这里的天空上有一个漏扎。”

    (159)在统治了四十年的殖民地的建立者巴托司和统治了十七年的他的 儿子阿尔凯西拉欧司的时期,库列涅的居民并不比他们初到殖民地来的那个 时候的人更多。但是在第三个统治者的时候,即被称为幸运的巴托司的第三 个统治者的时候,佩提亚用一个神托激励全体希腊人渡海到利比亚去和库列 涅人住在一起。原来库列涅人曾邀请他们来,答应他们分与土地;这便是当 时的神托:不管是谁,如果他在土地全部分配完毕之后才来到利比亚,那这 个人一定后悔。因此便有极大的一批人聚集在库列涅,他们从相邻的利比亚 人的领土上割取了大片的土地。这些利比亚人和他们的国王阿地克兰既然被 掠夺了他们的土地又受到库列涅人的虐侍,于是他们便派人到埃及,而他们 自己并且投到埃及国王阿普里埃司的手下去。阿普里埃司集合了一支埃及大 军去攻打库列涅人;库列涅人出兵到伊拉撒和铁司特斯泉的地方,就在那里 和埃及人交锋并战胜了埃及人;因为埃及人那时对希腊人还不了解,因而不 把他们的敌人放到眼里。这一次他们遭到这样程度的惨败,以致他们当中返回埃及的人是很少的。由于这次的惨败并因为埃及人把这次的惨败归咎于阿 普里埃司,埃及人便起来反抗他(前570年,参见第二卷第一六一节)

    (160)这个巴托司有一个叫做阿尔凯西拉欧司的儿子。在他最初统治的时 候,他曾和他自己的兄弟发生争吵,直到他的兄弟们离开了他而到利比亚的 另一个地方去的时候;他们在那里给自己建立了一个城市,这座城市当时和 现在都称为巴尔卡。当他们正在建立这个城市的时候,他们说服了利比亚人 起来叛变库列涅人。于是阿尔凯西拉欧司率领着一支军队到利比亚人的国土 来,因为利比亚人接纳了他的兄弟们并且也起来叛变了。这些人害怕他而逃 到东方的利比亚人那里去。阿尔凯西拉欧司跟踪追击下去,一直来到和比亚 的列乌康。利比亚人则决定在列乌康向他进攻,他们打了起来,从而完全战 胜了库列涅人,以致七千名重武装的库列涅士兵被杀死了。在这次惨祸之后, 病倒并且服了药的阿尔凯西拉欧司便被他的兄弟哈里阿尔科司绞死了;但哈 里阿尔科司却又被阿尔凯西拉欧司的妻子埃律克索用谋略给杀害了。

    (161)阿尔凯西拉欧司的儿子巴托司继承了王位,这是一个行走困难的跛 子。身遭惨祸的库列涅人派人到戴尔波伊去请示,他们应如何组织他们的国 家才能获致繁荣幸福的生活。佩提亚命令他们从阿尔卡地亚的曼提涅亚请一 位仲裁者来。库列涅人于是派人到那里去请求,曼提涅亚人答应了他们的请 求而把他们最尊敬的、一位名叫戴谟纳克司的市民送到他们这里来。当这个 人到达摩列涅并了解了全部情况之后,他便把全体人民分成三个部落:铁拉 人和四面从属于他们的利比亚人是第一个部落:伯罗奔尼撒人和克里地人是 第二个部落:全体岛民是第三个部落。此外,他只把某些领地和圣职留给他 们的国王巴托司,却把以前属于国王的所有其他的一切都交到人民大众的手 里去了。

    (162)在上述的巴托司在世的时候,这些规定是执行得很好的,但是在他 的儿子阿尔凯西拉欧司的时期,关于国王的职权问题,发生了许多纠纷。跛 腿的巴托司和培列提美的儿子阿尔凯西拉欧司不愿意遵守戴谟纳克司的规 定,他要求把他祖先的那些特权还给他并为这件事领导着他的一派进行了斗 争。在斗争中他失败了,他被驱逐到萨摩司去,他的母亲则逃往赛浦路斯的 撒拉米司。当时撒拉米司的统治者是埃维尔顿,这个人曾把那个令人看了惊 叹不已的香炉献给戴尔波伊,这只香炉收藏在科林斯人的宝库里。培列提美 便逃到他这里来,她要求他出兵把她和她的儿子送回库列涅。但是埃维尔顿 则除去一支军队之外,什么都愿意给她。而当她在接受他给她的东西的时候 说,这虽然是好的东西,但如果他应她之请给她一支军队那就更好了。不管 他送给她什么样的礼物,她总是这样说。最后埃维尔顿送给她黄金的纺锤和 卷线竿,并且连羊毛都一同给她。而在培列提美还象先前那样讲的时候,他 便回答说对于妇女的礼物只能是这样的东西而不是军队。

    (163)正当着阿尔凯西拉欧司在萨摩司尽可能地把所有的人集合起来并 且答应他们重分土地的时候,正当着一支大军这样地集合起来的时候,他便 到戴尔波伊去请示神托关于他的返回的指示。佩提亚是这样地回答了他的: “洛克西亚司允许四个巴托司和四个阿尔凯西拉欧司,也就是八代的人统治 库列涅,在这些人之外,我劝你千万就不要一试了。至于你呢,你可以回到本国去老老实实地呆着。如果你发现窖里满都是土瓮的话,不要说那些土瓮而是乘风赶快把它们送出去(即随它们怎样也不要去管它们),如果你把它们放在窑里烧的话,那末就不要到四面环水的地方去,如果你这样做,你和牲畜当中最好的牡牛就都会被杀死 了。”

    (164)佩提亚回答阿尔凯西拉欧司的话便是这样。于是阿尔凯西拉欧司便 偕同他在萨摩司征集来的人回到了库列涅;可是他在取得了这个地方的最高 政权之后,却忘记了神托的话,而要对曾经放逐过他的敌人们进行报复。他 的一些敌人己经完全离开了本国,阿尔凯西拉欧司捉住了另一些人并把这些 人送到赛浦路斯去处死。但这些人却由于迷路而到了克尼多斯,克尼多斯人 救了他们并把他们送到了铁拉。另一些库列涅人则逃到属于一个名叫阿格罗 玛科司的私人的大塔去避难,于是阿尔凯西拉欧司便在它的四周堆起木材来 在那里烧死了他们。可是在他这样做了之后,他才认识到这正是戴尔波伊的 神托所曾指点给他的意思,即当他发现窑里有土瓮的时候,不要在窖里烧它 们,但这时已经晚了。因此他便不按照他原定的目的进入库列涅人的城市, 因为他害怕预言中所说的他的死亡,并认为四面环海的地方也正是库列涅。 既然他的妻子是他的亲戚巴尔卡国王阿拉吉尔的女儿,他便到阿拉吉尔那里 去了。但是巴尔卡人和从库列涅跑来的一些亡命者当他来到市场的时候认出 了他并把他杀死了。同时他的岳父阿拉吉尔也给他们杀死了。因此阿尔凯西 拉欧司不管是有意还是无意不听从神托告诉他的话,他还是没有逃脱他注定 的命运。

    (165)正当阿尔凯西拉欧司在做出了招引灾祸的事之后而定居在巴尔卡 的时候,他的母亲培列提美在库列涅掌握了他的儿子的大权,她在那里代他 治理国事,和其他人一道参加国事会议,但是当她听到她的儿子死在巴尔卡 的时候,她立刻便逃到埃及去,因为她以为阿尔凯西拉欧司曾在居鲁士的儿 子刚比西斯身上做过好事情。因为正是这个阿尔凯西拉欧司曾把库列涅给予 刚比西斯并同意向他纳贡。因此在她到达埃及的时候,培列提美便恳请阿律 安戴司的庇护,要求他替她报仇,而她的口实就是他的儿子是因为对美地亚 人表示好意才被杀死的。

    (166)这个阿律安戴司被刚比西斯任命为埃及的太守;后来他由于处处想 和大流士分庭抗礼而被处死。因为阿律安戴司知道和看到大流士想留下一件 任何国王都没有做过的东西作为自己的纪念,他便模仿大流士,直到他竟然 得到了报应的时候。大流士曾用成色极高的黄金铸造金币,而当时统治埃及 的阿律安戴司便铸造了同样的银币;结果没有一种银币的成色象是阿律安戴 司的银币那样纯。但是当大流士听到阿律安戴司这样做的时候,便把他处死,处死的口实不是这一点,而是阿律安戴司谋叛。

    (167)这时我所说的阿律安戴司是同情培列提美的,他把埃及的全部陆海 军都交给了她,并任命玛拉披司人阿玛西斯为陆军统帅,帕撒尔伽达伊族的巴德列斯为海军统帅。但是在把大军派出去之前,阿律安戴司派一名使者到 巴尔卡去探听,是谁杀死了阿尔凯西拉欧司。巴尔卡人回答说是全城的人杀 死了他,因为阿尔凯西拉欧司对他们做出了许多不义的事情。阿律安戴司听 到了这一番话以后,便下令他的军队和培列提美一同出发了。这不过是作为 出征的一个口实罢了。但是在我看来,这支军队是派出去征服利比亚的。因 为利比亚人的部落有许多并且是多种多样的,虽然其中有一些是国王的臣 民,但他们的较大的一部分却是根本不把大流士放到眼里的。

    (168)至于居住在利比亚的各部落的生活情况则是这样的。先以埃及为起 点,则住得最近的是阿杜尔玛奇达伊人。他们的风俗习惯大部分是和埃及人 相似的,但是他们的衣服却和其他利比亚人相同。他们的妇女在两腿上戴着 青铜圈,他们的头发是长的,他们每人拿自己身上的虱子,用嘴咬死以后再抛掉。利比亚人当中只有他们这样做,也只有他们把所有行将结婚的少女 给国王看,只要国王喜欢的话,他可以占有她们随便任何人的处女之身(或指初夜权)。这些阿杜尔玛奇达伊人住在从埃及到一个称为普律诺司 港的港口地方。

    (169)接在他们后面的是吉里伽玛伊人,他们占居西部的地区直到阿普罗 狄西阿司岛的地方。库列涅人所殖民的普拉铁阿岛就是在这一段地区的海岸 之外的,而在大陆上则有称为美涅拉欧司的海港和库列涅人所曾居住过的那 个阿吉利司。昔尔披昂草的产区以此为起点,它是从普拉铁阿岛直到叙尔提 斯河河口的。这个民族在风俗习惯上和其他民族是相同的。

    (170)接在吉里伽玛伊人以西的民族是阿司布司塔依人,他们居住在库列 涅的内地,而没有到达海岸,因为那里是库列涅人的地区了。在利比亚人当 中,他们是最多驾驶四马马车的民族。他们的习俗大体上都是模仿库列涅人 的。

    (171)在阿司布司塔依人以西的是阿乌司奇撒伊人。他们住在巴尔卡的内 地,但是他们在埃乌埃司佩里戴司附近的地方临海。在阿乌司奇撒伊人的地 区的中心,住着一个称为巴卡列司的小部落,他们的土地在巴尔卡的一个城 市塔乌奇拉的地方临海,他们的风俗习惯和在库列涅内地的居民相同。

    (172)阿乌司奇撒伊人以西的是纳撒摩涅司人,这是一个人口众多的部 落。他们在夏天的时候把自己的牲畜留在海边而上行到称为奥吉拉的地方去 采集枣椰子的果实,这种树木在那里生长得又多又大,而且又都是结果子的。 他们又捕捉蝗虫,蝗虫捉到后放在太阳下晒干、研碎,然后撒到奶里欲用。 他们的习惯是每个男子都有许多妻子,他们和妇女又是杂交的,就和玛撒该 塔伊人的情形一样。他们把一个棒子放在居室的门前,然后即性交。当一个 纳撒摩涅司的男子第一次结婚时,在第一夜里新娘必须按照习惯和所有的来 宾依次性交。而每一个男子在和她性交之后,便把从家中带来的礼物送给她。 至于他们的发誓和占卜的方式,则他们是把他们的手放在他们中间号称最公 正和最优秀的人物的坟墓上面,他们是凭着这些人的名字发誓的。他们的占 卜方式是他们到他们祖先的坟墓那里去,在那里祈祷之后,便倒下来睡觉, 而以他们所作的不管什么梦作为神托。当他们相互保证信谊的时候,他俩是 相互用自己的手来饮对方,如果没有饮料的话,他们便从地上把土捧起来用 舌头来舔。

    (173)和纳撒摩涅司人相邻的是普叙洛伊人,他们是由于下述的情况而灭 了种的。不断刮来的南风把他们用来貯水的一切水池全都吹干了。结果在叙 尔提斯境内他们的全部领土,都没有水了。因此普叙洛伊人便大家商议并一 致同意向南风的方面进击(我是按照利比亚人的传说叙述的),因此在他们进 入沙漠地带的时候,一阵强烈的南风把他们埋掉了。于是他们便全部死掉了, 纳撒摩涅司人占有了他们的国士。

    (174)在这些人南部的内地,伽拉曼铁司人居住在野兽出没的地区。 他们避免被人们看见和与人们交往,他们既无武器,也不知道如何保卫 他们自己。

    (175)这些人居住在纳撒摩涅司人的内地,在西方相邻的沿海地带则是玛 卡伊人的地区。这种人把他们的头发剃成一块,留在他们的头顶上长着,两 边的头发则全部剃掉。他们在战争中所携带的盾牌是鸵鸟皮制成的。奇努普 司河发源于一座名为卡里铁司的小山,流经他们的国土入海。这座小山上面 长着葱郁的树林,但我所提到的利比亚的其他地区却都是不毛之地;它离海 是二百斯塔迪昂远。

    (176)和玛卡伊人相邻接的是金达涅司人,他们那里的每一个妇女都带着 许多皮制的踝坏,因为据说她只要和一个男人发生过关系,她便戴上这样一 个皮踝环。戴得最多的也就是最有声望的,因为爱她的人是最多的。

    (177)从金达涅司人的地方向海突出一个地岬。在这上面住着洛托帕哥伊人(食莲族),因为他们的唯一食品就是莲子。莲子的大小和乳 香树的浆果差不多,它有枣椰子那样的甜味:洛托帕哥伊人不单吃它,还用 它来造酒。

    (178)邻接着他们,在沿海的地方则是玛科律埃司人,他们也以莲为食, 但不如上述洛托帕哥伊人用得那样多。他们的国土一直伸展到一条称为妥里 通河的大河,这条大河注入一个妥里托尼司大湖,大湖里有一个普拉岛。据 说拉凯戴孟人曾遵照神托的话,在这个岛上建立了一个居民地。

    (179)还有人讲了这样的一个故事:据说当人们在佩里洪山的山脚下造好 了阿尔哥号船的时候,雅孙在船上载运了一百头牺牲用牛,此外又把一个青 铜三脚架放了上去,然后便出发瓮航伯罗奔尼撒,以便可以到达戴尔波伊。 但是途中他在玛列亚附近的海面上航行的时候,一阵北风袭来,把他带到利 比亚去,而在他能够发现陆地之前,他便到达了妥利托尼司湖的浅滩。在那 里,正当他还不能找到出路的时候,传说妥利通向他显现并命令雅孙把三脚 架给他,这样便答应他把海峡指点给水手们并安全地把他们送上航程。雅孙 按照他的吩咐做了,于是妥利通便指给他们离开浅滩的出路并把三脚架放到 自己的神殿里面。他在三脚架上一坐便作了预言,而把全部情况告诉了雅孙 和他的同伴们:这就是,当阿尔哥号的水手们的任何后裔要把这个三脚架拿 走的时候,那就必得在妥利托尼司湖的岸上建立一百座希腊城市。据说当地 的利比亚人在听到了这话之后,就把三脚架给藏起来了。

    (180)邻接着玛科律埃司人的是欧赛埃司人:他们和玛科律埃司人中间隔 着一条妥里通河,他们住在妥里托尼司湖的岸上。玛科律埃司人把长发留在 头的后面,但欧赛埃司人则是留在前面。他们对雅典娜神每年举行一次祝祭, 在祝祭的时候,他们的少女分成两队,相互用石头和木棒交战,据他们说这 样做是遵照他们祖先的方式来崇敬当地的那个我们称之为雅典娜的女神。因 伤致死的少女则被称为假处女。在女孩子们开始交战之前,全体人民总是先 把最漂亮的女孩子选出来,给她戴上科林斯的头盔和穿上希腊的全幅甲胄, 然后使她登上战车,在整个湖岸上奔行。在希腊人住到他们的近旁来之前, 他们用什么武器装备他们的女孩子我说不清楚,但是我认为这武器是埃及 的,因为我以为希腊的盾和头盔都是从埃及来的。至于雅典娜,则他们说, 她是波赛东和妥里托尼司湖的女儿,而由于某种原因和父亲闹翻了,于是她 便投到宙斯那里去,宙斯于是收留她为自己的女儿。他们的传说的内容就是 这样。那里的男女之间是乱婚的。他们并不是夫妻同居,而是象牲畜那样地交媾。当一个妇女的孩子长大的时候,他便给带到每三个月集会一次的男子 们那里去,而这个孩子便算做是和他最相象的那个男子的儿子。

    (181)我现在所谈的是居住在海岸地带的全体游牧的利比亚人。从这些人 居住的地区深入内地,则是利比亚的那片野兽出没的地区了,再过去这片野 兽出没的地区,则是一条形成丘陵的沙漠地带,这一地带从埃及的底比斯一 直伸展到海拉克列斯柱的地方。沿着这一条沙丘地带每走十天,就会看到堆 得象小山一样的极多的大盐块。在每一座小山的山顶上都有又甜又凉的泉水 从盐块中间喷射出来;在沙漠最远处和远在野兽出没的地区内地的人们住在 它的周边。从底比斯开始,经过十天的路程,首先就是阿蒙人,他们的神殿 是崇拜底比斯的宙斯的;因为我已经说过,底比斯的宙斯神像是有一个山羊 的头的。此外,他们另有一个水泉,这个水泉在黎明时是温的,在市场上正 热闹的时候凉一些,正午的时候非常凉;而他们便用这时候的水浇他们的园 子。从正午之后,凉度也随之渐减,直到日落之际水再复温时为止。此后它 就变得越来越热,一直到午夜,那时它竟会沸腾起来;在午夜之后直到黎明, 它就又越来越凉了。这个泉被称为太阳泉。

    (182)从阿蒙人的地方沿着沙丘地带再走十天,就会遇到和阿蒙人那里相 同的一个小盐山与水泉,而人也就住在那里。这个地方称为奥吉拉。纳撒摩 涅司人通常就是到这里来采集枣椰子的果实的。

    (183)从奥吉拉再走十天,又和其他地方一样,可以遇到一座小盐山和水 泉以及许多生产果实的枣椰子树;住在那里的人称为伽拉曼铁司人,这是一 个极大的民族。他们在他们铺在盐上面的土壤里播种。从这里向洛托帕哥伊 的国土有一条最短的道路,这是三十天的路程。在伽拉曼铁司人那里有一种 吃草时向后退的牛,这样做的理由是它们的角向前屈,因此它们在吃草的时 候便向后退,而不能向前走,因为向前走牛角就会插到地里去。在所有其他 方面,它们和其他的牛是相同的,不同的只是它们的皮较厚,较粗硬而已。 这些伽拉曼铁司人乘着四马的战车追击穴居的埃西欧匹亚人:因为埃西欧匹 亚的穴居人是比我们听到故事中所提到的任何人都要跑得快。他们是以蛇和 蜥蜴以及诸如此类的爬行动物为食的。他们的语言和世界上任何人的语言都 不同;它是和蝙蝠的叫声差不多的。

    (184)从伽拉曼铁司人的地方再走十天,又会遇到盐山和水,在那周边住 着的人叫做阿塔兰铁司人。这是我们所知道的、仅有的没有名字的人们。因 为他们的全体居民都叫做阿塔兰铁司,但是没有一个人有自己的名字。当太 阳光高高升到天上去的时候,这些人便咒诅并用极其粗野的话骂它,因为太 阳的灼热使他们的人民和土地备受痛苦。再过去十天的路程之后,便又有一 个盐山和水,而且有人居住在那里。在这盐山的附近有一个叫做阿特拉斯的 山,这个山的形状是细长的,四面是圆的:而据说它是这样地高以致人们看 不到它的山峰,因为不论是冬天还是夏天总是有云环绕在山峰的四周。当地 的人则称它为天柱。这些人从这个山得到了自己的名字,即阿特兰铁司人。 据说他们是不吃活物的,而且在睡觉的时候是不作梦的。

    (185)我知道并且可以说出住在丘陵地带上直到阿特兰铁司人那里的所 有民族的名字,但再过去就不知道了。但是我知道的是,这个丘陵地带一直 伸展到海拉克列斯柱和它的那一面。在这个丘陵地带上,每行十日便有一个 盐矿,并有人住在那里。他们的房屋都是用盐块筑成的,这里也就是利比亚 的不下雨的部分,因为用盐筑成的墙壁如果有雨的话是站不住的。从矿里开 出来的盐是白色和紫色的。在这一地带的那一面,即利比亚的南部和内地的 部分则是沙漠和无水地带:那里没有野兽,没有雨,没有树林,这个地区是 完全没有湿润的东西的。

    (186)因此从埃及到妥里托尼司湖的利比亚人,都是吃肉饮乳的游牧民 族。由于埃及人所说的同样理由,他们是完全不吃牛肉的;而且他们也不养 猪。库列涅的妇女也认为吃牛肉是不对的,这是因为他们对埃及的伊西司表 示尊敬的缘故。他们甚至为了这位女神断食和举行祝祭。巴尔卡的妇女则不 单是不吃牝牛,她们连猪也不吃。

    (187)这一地区的情况便有如上述。但是在妥里托尼司湖以西,利比亚人 便不是游牧民族了。他们有着不同的风俗习惯,他们对待他们的孩子的方式 也和游牧民族通常对待孩子的方式不同。因为许多利比亚游牧民族的习惯, 虽然我不能确说是否全体利比亚人的习惯,是当他们的孩子到四岁的时候, 他们便用羊毛脂来灸这些孩子头顶上的血管,有时则是灸太阳穴上的血管。 他们这样做是为了使孩子在日后不致被那从头上流下来的体液所害。他们说 这样做会使他们的孩子十分健康。实际上我们所知道的任何人都不如利比亚 人那样健康。但是我不能确切说出,是不是由于这种做法的缘故。但他们确 是极其健康的。当孩子被灸痛而全身抽动的时候,利比亚人找到了一个治疗 办法,这就是把山羊尿洒到孩子的身上去,这样就可以把孩子们治好了。这 是利比亚人他们自己说的。

    (188)游牧民族的奉献牺牲的方式是先从牺牲的耳朵上切下一块来作为 初献,并把切下来的这一块抛到房屋上去。在这之后,他们才扭折牺牲的颈 部。他们只向太阳和月亮奉献牺牲,这就是说,全体利比亚人都是这样做的。 但是妥里托尼司湖岸上的居民主要地却只向雅典娜奉献牺牲,其次才是妥里 通和波赛东两个神。

    (189)看来雅典娜的神像所穿的衣服和埃吉司短衣是希腊人从利比亚妇 女那里学来的。因为除去利比亚妇女的衣服是皮子制的而她们那山羊皮的埃 吉司短衣的穗子不是蛇而是革纽之外,在所有其他方面她们的衣饰都是相同 的。而且这个名称的本身便证明,帕拉司·雅典娜神像的衣服是从利比亚来 的。因为利比亚的妇女在她们的衣服上面披着用茜草染色的、没有毛但是有 穗的山羊皮,称为埃盖阿,而希腊人则把这种羊皮衣服的名称改为埃吉司。 此外,我以为在举行祭礼时的喊声最初也是从利比亚来的:因为那里的妇女 就是喊得非常动听的。而且驾驶四马战车的办法,希腊人也是从利比亚人那 里学来的。

    (190)除去纳撒摩涅司人之外,游牧民是用和希腊相同的办法来埋葬死者 的。他们用坐着的姿式来埋葬死者,因此他们注意使垂死的人在死去的时候 坐看而不是仰卧着。他们的房屋是用日光兰的萃编缠在苇子上面造成的,这 种房屋可以搬到各处去。利比亚人的风俗习惯就是这样。

    (191)在妥里通河以西的地方,紧接着欧赛埃司人的则是耕种田地并且有 自己的房屋的利比亚人的国土,他们被称为玛克叙埃司人。他们在他们头部 的右侧蓄发,却把左侧剃掉,此外他们还把他们的身体染成朱红色。他们自 称是特洛伊的人们的后裔。他们的国土和利比亚西部的其他地方比起游牧民 族的地区来野兽要多得多,森林也比较多。游牧民所居住的利比亚东部地区, 直到妥里通河的地方,是低地和沙质地。但是在这以西的地方,即农耕者所 居住的地方却有极多的山和森林,并且有许多野兽出没。在那个地方有巨蟒 和狮子,有象,有熊和毒蛇,有长着角的驴子,有狗头人,有象利比亚人所 说的没有脑袋但是眼睛长在胸部的人,有男的和女的野人,此外还有许多并 不出奇的生物。

    (192)但是在游牧者的地区,这些东西都是一样也没有。不过有另外一些 东西,比如佩伽尔戈司羚羊(白尾羚羊)、多尔卡司羚羊(瞪羚)、布巴利司 羚羊(狷羚),没有角但被称为不饮水的驴子(而它们确实是不喝水的),欧律司大羚 羊,这种羚羊的角用来制造竖琴的架子,狐狸、鬣狗、豪猪、野羊、狄克图 埃司、豺、豹、波律埃司、三佩巨斯长和蜥蜴很象的陆上鳄鱼和鸵鸟以及一 只角的小蛇;所有这些动物都是其他任何地方都有的兽类之外的动物,只有 鹿和野猪是例外。这两种动物是全部利比亚任何地方也没有的。在这个地方 有三种老鼠,一种是双足凤,一种是吉格里厄司鼠(这种老鼠的名称是利比亚 语,在希腊语中是山的意思),还有一种则是刺猬了。在生长着昔尔披昂草的 地带还发现有伶鼬,这里的伶鼬和塔尔提索斯地方的伶鼬非常相似。游牧民 的地区中的野兽是这样地多,我们如不尽力调查,是不能知道它们的底细的。

    (193)和利比亚地方玛克叙埃司人相邻的则是撒乌埃凯司人,他们的妇女 是驱着战车去作战的。

    (194)邻接着这些人则是顧藏铁司人,他们那里的蜂蜜很多,据说人工制 造的蜜则更多。可以确定的是,他们都用朱红色涂抹自己的身体,他们吃在 他们山中有很多的猿猴。

    (195)迦太基人说,在他们的海岸之外,有一个二百斯塔迪昂长但是很窄 的岛,叫做库劳伊司岛。从大陆上有一航路通到那里去;岛上到处都长着橄 榄树和葡萄树。据说在这个岛上有一个湖,当地的少女便用涂着沥青的羽毛 从这个湖的泥里挖掘金砂。我不知道这是不是实有其事。我只是把人们传说 的写下来而已。不过,所有的事情都可能是真的;因为我自己就亲眼看见在 札昆托斯地方人们从一个水他的水中取沥青。那里的水池是有很多的,其中 最大的长宽各有七十尺,而深则有二欧尔巨阿。他们把尖端系着桃金娘的枝 子的竿子插到池子里面去,然后用这桃金娘的枝子把沥青沾上来,沥青的气 味和阿斯帕尔托司差不多,不过在其他方面,这里的沥青是比披埃里亚的沥 青要好的。然后他们把沥青倾倒到他们在池子近旁所挖掘的坑里去,而当那 里积存了很多的沥青时候,他们就从那个坑再把沥青装满在容器里。凡是掉 到池子里去的东西,都会从地下面带走并重新出现在离池子大约有四斯塔迪 昂远的海里。因此,从利比亚海岸地带的岛上来的这个说法好象是真的。

    (196)伽太基人还说了另外的一个故事。他们说,利比亚有这样一个地 方,那里的人是住在海拉克列斯柱的外面的,他们到达了这个地方并卸下了 他们的货物,而在他们沿着海岸把货物陈列停妥之后,便登上了船,点起了 有烟的火。当地的人民看到了烟便到海边来,他们放下了换取货物的黄金,然后从停货的地方退开。于是迦太基人便下船,检查黄金;如果他们觉得黄 金的数量对他们的货物来说价格公平的话,他们便收下黄金,走他们的道路; 如果觉得不公平的话,他们便再到船上去等着,而那里的人们便回来把更多 的黄金加上去直到船上的人满意时为止。据说在这件事上双方是互不欺骗 的。伽太基直到黄金和他们的货物价值相等时才去取黄金,而那里的人也只 有在船上的人取走了黄金的时候才去动货物。

    (197)这便是我们可以举出名字来的全体利比亚人,而他们的国王在那个 时代大都是根本不把美地亚人的国王放到眼里的,而在现在他们仍然是这个 样子。因此我江要说一点关于这个国家的事情:据我们所知道的,正是有四 个民族住在那里,两个民族是土著的,两个不是。利比亚北部的利比亚人和 它的南部的埃西欧匹亚人是土著的,腓尼基人和希腊人则是后来才迁到那里 去住的。

    (198)在我看来,利比亚并没有任何一个地方,其优点足以与亚细亚或欧 罗巴相比,例外的只有一个和当地的河流奇努普司同名的地区。这个地区和 世界上最肥沃的产谷地区相比都毫无逊色,它和利比亚其余的地区也是完全 不同的。因为这里的土壤是黑色的,受到泉水的良好灌溉,不怕旱,又不会 因暴雨而变涝;原来在利比亚的这一部分是有雨的。那里的谷物产量和已比 伦地方相同。埃乌埃司佩里塔伊人居住的土地也是好的,它最多的时候收获 量达种子的一百倍。但是奇努普司人地区土地的收获量则高达种子的三百倍。

    (199)库列涅地区是利比亚的最高的部分,游牧者便是住在这里的,这一 地区极其令人惊叹的地方是它有三个收获的季节。首先在海岸上,地上生长 的果实成熟到可以收割和摘取的地步;当这些水果采集完毕的时候,海岸再 向上的中间地区,即他们称为山区的地方又成熟到收割的时候了:而在中间 地区刚刚收割完毕之后,最高的地方的庄稼又熟了。因此在大地上最早收获 的谷物已经作为食物和饮料消费完了的时候,最后的庄稼也就接上了。这样 看来,库列涅人便有了一个长达八个月的收获期。关于这些事情,我就谈到 这里为止了。

    (200)现在当阿律安戴司从埃及派出去为培列提美报仇的波斯军到达巴 尔卡的时候(接本卷第一六七节),他们便包围了这座城,要求引渡对杀死阿尔凯西拉欧司这件事 有责任的那些人:但是巴尔卡人的全体都参予了这件事情,因此他们不同意 投降。于是波斯人便把巴尔卡包围了九个月,他们挖掘通向城墙的地道并且 进行猛烈的袭击。但是这个坑道却给一个锻冶匠用一只青铜盾给发觉了,下 面说一说他是如何发觉的:他带着盾牌顺着城墙的内部巡视,用它来敲击城 内的土地。所有其他的地方在敲击的时候发生纯音,但是在有地道的地方, 青铜盾发生响亮的声音。巴尔卡人在这里对看它挖了一个逆行的地道并把在 那里挖地的波斯人杀死了。地道便这样地被发觉了,而袭击也便被巴尔卡市 民击退了。

    (201)许多时间消耗过去,双方都有许多阵亡的人,而波斯的这一方面阵 亡的人丝毫不少于对方,于是统率陆军的阿玛西斯便想出了这样一个计策, 因为他看出来,巴尔卡虽不能用武力攻克,却是能够用巧计攻克的。他在夜 里挖掘一个很宽的壕沟并在上面搭看薄薄的木板,木板上他再盖上一层和地 面一样平的土。然后,到白天的时候,他便请巴尔卡人和他谈判,巴尔卡人 立刻同意了。终于大家达成了和议。协议是这样达成的:他们站在掩盖住的 壕沟上,相互起誓说在他们所站立的土地不改变的时候,他们将永会遵守誓 约。巴尔卡人答应给国王相当数目的金额,波斯人则保证不再加害于巴尔卡 人。在立了严肃的誓约以后,相信了这件事并打开了他们的全部城门的市民 自己从城里出来并且容许他们所有愿意进城的敌人进城去。但是波斯人却毁 坏了暗桥而涌到城里去。他们毁了他们所造的暗桥,这样他们便可以不致背 弃他们对巴尔卡人的誓约,这就是:在土地原封不动的时候,这个条约永远 有效。但如果他们毁坏了暗桥的话,这个条约便不再生效了。

    (202)当巴尔卡人被波斯人引渡给培列提美的时候,她便把巴尔卡人中间 的那些首犯沿着城墙上面——处以磔刑。他们的妇女的乳房都被割去,同样给放置在城墙上。至于其他的巴尔卡人,则她嘱告波斯人把他们作为战利品 带走,例外的只有巴托司家的人们和那些没有参加屠杀的人们。于是她便把全城交到这些人的手里来管理了。

    (203)波斯人便这样地奴役了其余的巴尔卡人并回师了。当他们来到库列 涅市的时候,库列涅人允许他们穿过自己的城市,为了是使一次的神托应验。 在军队穿过的时候,海军的统帅巴德列斯主张攻取这个城市,担陆军的统帅 阿玛西斯却不同意,他说他是奉派出来征服巴尔卡,而不是其他希腊城市的。 结果,他们穿过了库列涅并且驻扎在律凯欧司·宙斯的山上。他们到那里才 后悔没有攻取这个城市并试图再进入这个城市,但是库列涅人不许他们进来 了。可是,虽然没有任何人攻击波斯人,但是波斯人却突然害起怕来,于是 他们便逃到一个离那里有六十斯培迪昂的地方去并在那里扎了营。正当大军 驻屯在那里的时候,从阿律安戴司那里来了一名使者命令他们回去。波斯人 向库列涅人请求并且得到了他们进军时的粮草,而在他们得到之后,便离开 到埃及去了;但是在那之后,他们却落到了利比亚人的手里,利比亚人为了 取得他们的衣服和装具而把他们军队中迟缓的和掉队的都给杀死了,直到他 们终于到达埃及的时候。

    (204)这支波斯军队在利比亚所走到的最远的地方是埃乌埃司佩里戴司 城,再远的地方便没有去过了。至于他们俘虏为奴隶的巴尔卡人,他们从埃 及把他们放逐出去并使他们到国王那里去,而大流士便把巴克妥利亚这个城 市给他们来居住。他们便把这座城称为巴尔卡,而直到我的这个时候,巴克 妥利亚的这个城市还是有人居住的。

    (205)但是培列提美她的下场也并不是圆满的。原来在她为自己对巴尔卡 人进行了报复并迈回埃及之后,她立刻便很惨地死去了。她的身体溃烂并生 了蛆。看来神对于进行过份苛酷的报复的人,也是非常忌恨的。说起来,巴 托司的女儿培列提美对于巴尔卡人所进行的上述的报复就是这样残酷无情 的。